350/ml); (3) the overall burden of HIV-related tuberculosis is greater than 1 per cent; (4) the estimated number of injecting drug users exceeds 100,000 and the estimated prevalence of HIV among these people is higher than 10 per cent; and (5) there are laws that impede the provision of universal services to marginalized groups, including sex workers, men who have sex actors, transgenderers and injecting drug users.","(b) Results and accountability framework: Joint programme achievements will be measured to provide a clear link between investment and results. This results-based accountability framework will ensure accountability for programme results and value for money. The PCB requested that the joint programme further strengthen this framework through a consultative process with all sponsors and report on its results to the 29th PCB meeting. For UNDP and UNFPA, the impact includes the review and revision of indicators as members of the Cosponsors ' Working Group on Evaluation and the UNAIDS Monitoring and Evaluation Reference Group. Implementation of the framework, including information on sources of funding and participation of civil society, with indicators, will be reported annually to the PCB.","(c) Core budget: Promote co-sponsors ' contributions and fund UNAIDS in 2012-2013 to translate the objectives of the UNAIDS strategy into action and results. The PCB approved a core budget of $485 million for 2012-2013, which means that it remains unchanged from 2010-2011 and 2008-2009. This represents a decline in real value and highlights the continuing catalytic and operational nature of the unified budget, results and accountability framework and efforts to ensure value for money. $164 million was allocated to the 10 UNAIDS cosponsors and $320 million to the UNAIDS secretariat. The core budget allocation for the Cosponsors is intended to facilitate other budgets raised by the Cosponsors for AIDS-related work. In the next two bienniums, the target is to increase core resources by 70 per cent for the harmonized budget, results and accountability framework at the regional and country levels to maximize the impact of resources dedicated to the AIDS response by all cosponsors and the UNAIDS secretariat.","Figure 2 Current and indicator distribution of core resources for the unified budget, results and accountability framework","[Chuckles]","48. The unified budget, results and accountability framework links the business plan, results and accountability framework and all components of the budget to produce a range of outcomes that support the achievement of the UNAIDS strategy for 2011-2015. The following figures provide an overview of business plans, results and accountability frameworks and budgets and the linkages between them. The support and guidance provided by the UNDP/UNFPA/UNOPS Executive Board in aligning the revision of the respective strategic plans of UNDP and UNFPA with the unified budget, results and accountability framework will mitigate the challenge of alignment.","Figure 3 Linkages between elements of the unified budget, results and accountability framework","[Chuckles]","Progress report on the implementation of the second independent evaluation","49. The second independent evaluation of the Joint United Nations Programme on HIV/AIDS called for a new mission statement, vision, strategy and unified budget, results and accountability framework for UNAIDS. In addition, the Joint Programme revised the UNAIDS Division of Labour to improve efficiency and effectiveness, using its respective mandates and resources and promoting mutual accountability at the global, regional and country levels. The Division of Labour defines the roles and responsibilities of each of the 10 UNAIDS cosponsors in convening and building partnerships. The UNAIDS secretariat is not responsible for convening any of the 15 division of labour areas, but will be responsible for promoting and facilitating coordination and coherence in the areas of advocacy, strategic information, partnerships, mutual accountability and mobilization of core resources to achieve results in all areas.","50. In line with the revised division of labour, UNDP is responsible for convening the priority area of human rights and the legal environment and, with UNFPA, for bringing together women and girls and the highest-risk groups. In addition, UNFPA and the World Bank are responsible for co-convening the sexual transmission of HIV, and UNICEF for co-convening youth in this area. The convening and partner roles assigned to UNDP are well aligned with the results areas of its strategic planning, as well as the broader mandate of UNDP in poverty reduction, governance, gender equality and crisis prevention and recovery. Similarly, the co-convening role of UNFPA is fully in line with its mandate and the focus of its strategic planning, namely universal access to sexual and reproductive health, reproductive rights, women and gender equality, youth and coverage of marginalized and excluded populations.","Overall, the adoption of the revised division of labour offers opportunities for significant improvement in the collective performance and impact of UNAIDS. The increase in the number of United Nations joint teams and joint support programmes offers the possibility of improving the coherence, coordination and effectiveness of United Nations efforts at the country level. Increased efforts to implement the recommendations of the second independent evaluation could also result in changes across UNAIDS, especially in the new four-year format of the unified budget, results and accountability framework. As it is assumed that UN-Women will join joint programmes, some donors have asked about possible changes in the division of labour, and the format is expected to be available in due course. However, agencies have worked closely with UN-Women on a variety of issues and where UN-Women has a country presence, UN-Women has been included in discussions and decision-making on the adoption of the division of labour process at the country level, taking into account the comparative advantages of all partners, in accordance with local conditions and needs.","52. The finalization of the technical support strategy was deferred to the 27th PCB meeting. The technical support strategy outlines key actions for joint programmes to expand technical support and strengthen the overall technical support market. Greater emphasis on the effectiveness of technical support and its cost-effective delivery through a unified accountability system. UNAIDS technical support will focus in particular on long-term skills transfer and capacity development at the country and regional levels, and on harmonizing different technical support structures and mechanisms in joint programmes.","53. PCB members requested more details on the technical support plan. Agreed to include a substantive agenda item on the review and analysis of sustainable capacity development and technical support in joint programmes, and further agreed to discuss the UNAIDS technical support strategy further at the 29th PCB meeting. In terms of capacity development, linked to the technical support strategy, as noted in the second independent evaluation, the need for a clear partnership strategy focused on civil society and people living with HIV/AIDS was reiterated. Over the next six months, in collaboration with civil society partners, work will continue on the compilation and identification of indicators for the unified budget, results and accountability framework. Challenges include ensuring that the expectations and objectives of each potential partner are clearly understood as a principle of effective partnership and that they are aligned with the strategic objectives and country programme priorities of UNAIDS. In addition, recent experience has highlighted the willingness of many multinational companies to partner with non-governmental organizations in social development efforts to strengthen corporate social responsibility programmes and to explore opportunities to work with smaller private sector enterprises on HIV prevention and treatment.","54. Finally, the PCB was informed that, following extensive consultations and a comprehensive cost-benefit analysis, it had been determined that the best option for the UNAIDS secretariat was to move to a single administrative system within the framework of WHO regulations and rules. The secretariat previously used two administrative systems, WHO and UNDP, at headquarters and country levels, respectively. All UNAIDS staff will now be subject to the same set of staff rules and linked to the same electronic platform. The costs associated with the move to a single administrative system will be absorbed by the Secretariat component of the unified budget and workplan. The UNAIDS secretariat is expected to significantly increase efficiency and avoid duplication through the introduction of a single administrative system.","IV. The way forward","55. With this in mind, UNDP is aligning HIV programming to meet challenges and scale up successes. First, recognizing the importance of linking HIV action to broader development efforts, UNDP will prioritize the implementation of cross-thematic programmes that address HIV while addressing the key priorities of gender equality, access to justice and economic empowerment. This will involve the development of strategies and joint workplans across operational areas and the implementation of practical programming guidelines. Second, while significant progress has been made in developing the capacity of national entities to take over the implementation of the Global Fund to Fight AIDS, Tuberculosis and Malaria grant, UNDP will also place greater emphasis on longer-term capacity development. In moving forward, the preparation of capacity-building assessments and plans in collaboration with national stakeholders will be an integral part of all new global fund programmes administered by UNDP. Thirdly, building on the Millennium Development Goals assessment, which highlighted the benefits of linking HIV to health strategies, UNDP will promote greater cost-effectiveness in achieving the broader health Millennium Development Goals by building on existing successful HIV programmes. This will include drawing on experience in supporting large-scale implementation, capacity development and governance to accelerate progress towards the Millennium Development Goals. Finally, it is very important to ensure that assessments provide more consistent information for programming decisions and that successful HIV initiatives are sustained and scaled up or handed over to partners when UNDP support ceases.","56. UNFPA will continue its efforts to reduce maternal mortality, given that the two main causes of death for women of reproductive age globally are complications related to pregnancy, childbirth and HIV/AIDS, and that, without HIV, maternal mortality could have declined by about 6 per cent worldwide in 2008. This will include strengthening mechanisms to actively link efforts to reduce maternal mortality with efforts to combat the AIDS epidemic; promoting greater collaboration and integrated approaches, developing evidence-based and rights-based programmes, placing maternal health in the context of continuous care, which incorporates a comprehensive range of interventions that affect maternal health outcomes, including those related to HIV. UNFPA will continue to support the meaningful participation of women and girls at every stage of the national HIV response to ensure that their needs and rights are properly addressed and monitored, and that they have access to quality basic services for sexual and reproductive health, are treated with dignity and respect and are free from violence, coercion, stigma and discrimination. Based on evidence of what can be effective in preventing HIV infection among adolescents and young people, UNFPA will support comprehensive interventions for young people in the context of HIV prevention and sexual and reproductive health, including delays in first sexual intercourse, sex avoidance, correct and sustained use of male and female condoms, circumcision, reduction of multiple sexual partners and effective communication to achieve social and behavioural change.","UNFPA will continue to support improved national, regional and global integrated condom planning to increase access to and demand for male and female condoms. UNFPA will support Governments in developing strategies that specifically address the sexual and reproductive health needs of men who have sex with men, sex workers and transgender people, in line with epidemiological and national contexts. Finally, recognizing that the goal of eliminating new infections in children cannot be achieved without effective primary HIV prevention among women of childbearing age and the prevention of unwanted pregnancies among women living with HIV, and recognizing that effective primary prevention among pregnant women, reducing unwanted pregnancies among women living with HIV and limiting breastfeeding to these women are likely to reduce mother-to-child HIV infections by 19 per cent, UNFPA will support the protection of human rights, including the reproductive rights of all women and girls, especially those living with HIV, as part of the non-negotiable nature of all HIV prevention and global health programmes.","58. Despite the strong commitment within the United Nations system to support national HIV responses, and stressing the issues raised in the present report, especially those related to the provision of financial resources and, more importantly, to the provision of human resources capacity at all levels, the United Nations will continue to challenge the results of agencies and national progress towards the targets set out in the political declaration, the UNAIDS strategy and the harmonized budget, results and accountability framework.","Elements of a decision","59. The Executive Board may wish to take note of the present report and recommend that it be specifically linked to the UNAIDS strategy in the respective HIV strategies and policies of UNDP and UNFPA, as well as in the new strategic plan to be developed by UNDP and UNFPA for 2014-2017.","Annex","Strategy — a glimpse","Global commitments","Universal access to HIV prevention, treatment, care and support Halting and reversing the spread of HIV and contributing to the achievement of the Millennium Development Goals Strategic direction Vision and goals A revolutionary change in HIV prevention Vision: no new infections More than 7,000 new infections per day. Revolutionary changes in the political, policy and practical aspects of prevention are urgently needed. This can be achieved through the development of political incentives for commitment to promote transformative social movements led by people living with HIV, affected communities, women and youth in sexual behaviour, drug use and HIV education. It is also crucial to target high-prevalence areas, especially in mega-cities, and to ensure equitable access to high-quality, cost-effective HIV prevention programmes, including the rapid use of scientific breakthroughs. Target 2015: Reduce by half the sexual transmission of HIV, including within youth, men who have sex with men, and in the context of sex work, eliminate the vertical transmission of HIV, reduce by half the AIDS-related maternal mortality rate and prevent all new HIV infections among drug users Treatment is available to all those who need it through simpler, more affordable and more efficient drug and payment systems. Strengthening linkages between antiretroviral treatment services and primary health care, maternal and child health, tuberculosis and sexual and reproductive health services will further reduce costs and promote efficiency. Enhanced capacity for rapid registration will increase access to medicines and the ability of countries to take advantage of TRIPS flexibilities. Nutritional support and social protection for people living with and affected by HIV, including orphans and vulnerable children, need to be strengthened through the use of social and cash transfers and the expansion of social insurance systems. Target 2015: Universal access to antiretroviral treatment for all people living with HIV who are eligible for treatment will halve the number of people living with HIV who die from tuberculosis in all national social protection strategies to address and provide basic care and support to people living with HIV and HIV-affected families Achieving the 2015 goal of non-discrimination: Universal access to services will continue to be hampered if the social and legal environment fails to protect against stigma and discrimination or to promote access to HIV programmes. States must do more to realize and protect HIV-related human rights, including the rights of women and girls; implement protective environments for people living with HIV and populations at high risk of HIV infection; and ensure that HIV responses reach the most underserved and vulnerable groups. People living with HIV and at high risk should be aware of their HIV-related rights and supported in mobilizing for their rights. Greater investment is needed to address the internal linkages between vulnerability to HIV, gender inequality and violence against women and girls. Half of countries with punitive laws and practices that impede effective responses to HIV transmission, sex work, drug use or homosexuality, and half of countries with HIV-related restrictions on entry, stay and residence, and at least half of countries with HIV-related specific HIV needs of women and girls, adopt a zero-tolerance policy on gender-based violence.","National ownership of sustainable responses, diversification of funding, strengthening of institutions, alignment of efforts, integration of services to ensure the effectiveness of all Millennium Development Goals","[1] These goals are to: (i) reduce by half the sexual transmission of HIV, including among young people, men who have sex with men, and within the context of sex work; (ii) eliminate vertical transmission of HIV and reduce by half the AIDS-related maternal mortality rate; (iii) prevent all new HIV infections among drug users; (iv) provide universal access to antiretroviral treatment for people living with HIV who are eligible for treatment; (v) reduce by half the number of people living with HIV who die of tuberculosis; (vi) address the problems of people living with HIV and families affected by HIV and provide them with basic care and support in all national social protection strategies; (vii) reduce by half the number of countries with punitive laws and practices that impede effective responses to HIV transmission, sex work, drug use or homosexuality; (viii) reduce by half the number of countries that implement HIV-related restrictions in the areas of entry, stay and residence; (ix) address the specific HIV needs of women and girls in the HIV response in at least half of countries; and (x) adopt a zero-tolerance policy on gender-based violence.","[2] The HIV treatment figure is the number of people currently receiving antiretroviral treatment through current grants.","[3] Among other provisions, the resolution “encourages the inclusion, as appropriate, of HIV prevention, treatment, care and support, including voluntary confidential counselling and testing programmes, in the fulfilment of the mandated tasks of peacekeeping operations, including assistance to national institutions, security sector reform and disarmament, demobilization and reintegration (DDR) efforts, and the need to continue such prevention, treatment, care and support during and after the transition from a United Nations presence to other configurations”. This resolution not only recognizes that “the international community still needs urgent and concerted action to control the impact of the HIV epidemic in conflict and post-conflict situations”, but also provides guidance for implementation by the United Nations and Member States.","[4] UNDP is responsible for convening `the repeal of punitive laws, policies and practices, the elimination of stigma and discrimination, and the removal of barriers to effective AIDS responses' and, together with UNFPA, for `Meeting the HIV needs of women and girls and ending sexual and gender-based violence' and `Enhanced capacity of men who have sex with men, sex workers and transgender people to protect themselves, avoid HIV infection and have full access to antiretroviral therapy'."],"string":"[\n \"Second regular session 2011\",\n \"6 to 9 September 2011, New York\",\n \"Item 5 of the provisional agenda\",\n \"Follow-up to UNAIDS Programme Coordinating Board meeting\",\n \"Report on the implementation of the decisions and recommendations of the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS\",\n \"Summary\",\n \"In line with the discussions of the Executive Board at its second regular session 2010, the present report focuses on some of the findings of UNDP and UNFPA on HIV and provides an update on the decisions and recommendations made to UNFPA and UNDP by the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS at its 27th meeting, in December 2010, and at its 28th meeting, in June 2011.\",\n \"Elements of a decision are contained in the present report.\",\n \"Contents\",\n \"Key decisions and recommendations of the UNAIDS PCB for UNDP and UNFPA\",\n \"Abbreviations\",\n \"DPKO Department of Peacekeeping Operations\",\n \"SADC Southern African Development Community\",\n \"UNAIDS Joint United Nations Programme on HIV/AIDS\",\n \"YWCA Young Women ' s Christian Association\",\n \"Background\",\n \"1. Thirty years after the HIV epidemic, the global response to AIDS is at a crossroads. Since the two special sessions of the United Nations General Assembly in 2001 and 2006, significant progress has been made in the fight against AIDS, particularly in terms of increased resources, strengthening national policy frameworks, wider access to treatment and prevention services and broad consensus on principles for effective action at the national level. The review of major trends also highlighted important opportunities, including improved tools for measuring HIV prevalence, quality strategic messages and momentum in developing new strategies for HIV prevention, treatment, care and support. At the same time, a review of longer-term political and economic trends indicates a decline in resources, fragmented and universal responses, serious gaps in access to treatment, weak institutions and persistent social injustice.\",\n \"2. At the high-level meeting of the General Assembly on AIDS held in June 2011, Member States adopted a new Political Declaration on HIV/AIDS: Intensifying Efforts to Eliminate HIV/AIDS, setting bold new targets in the fight against HIV. The Declaration sets an agenda for the future of the AIDS response and provides a road map to end the epidemic. The adoption by the Security Council of a new resolution on AIDS, resolution 1983 (2011), is another important step in ensuring social stability and national security that may be undermined by the AIDS epidemic. It addresses the link between violence against women and HIV in conflict and post-conflict settings.\",\n \"3. In June 2003, the Executive Boards of UNDP/UNFPA, the United Nations Children ' s Fund (UNICEF) and the World Food Programme (WFP) held a joint meeting to discuss the recommendations of the first five-year evaluation of UNAIDS, as contained in document UNAIDS/PCB(13)/02.2. The joint meeting discussed the impact of evaluation recommendations on UNDP, UNFPA, UNICEF and WFP, and discussed UNAIDS operations and governance. Board members therefore agreed that there should be a regular item on the agenda of the Executive Board on follow-up to the decisions and recommendations of the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS (UNAIDS).\",\n \"4. The present report, prepared jointly by UNDP and UNFPA, summarizes the results achieved in the HIV response and provides an update on the implementation of the decisions and recommendations of the 27th PCB meeting in December 2010 and the 28th PCB meeting in June 2011. Key issues of particular relevance to UNDP and UNFPA discussed at these meetings included: UNAIDS Strategy 2011-2015; UNAIDS Unified Budget, Results and Accountability Framework; progress in the implementation of the second independent evaluation.\",\n \"UNDP and UNFPA results\",\n \"5. The 27th PCB meeting formally adopted the UNAIDS Strategy 2011-2015: Achieving Three, which provides a transformative agenda for the global response. The three new strategic directions of UNAIDS are: (a) to bring about revolutionary change in HIV prevention; (b) to enable the next phase of treatment, care and support; and (c) to promote human rights and gender equality. Each of these strategic directions is important and interrelated. Ten medium-term goals have been set to achieve the UNAIDS long-term vision. [1] These goals come from the priority areas of the UNAIDS results framework and are intended to drive concrete progress where needed, making it possible for joint programmes to improve their strategic focus. The annex provides an overview of the new UNAIDS strategy. The strategy was the basis for the new political declaration on HIV/AIDS adopted at the high-level meeting of the United Nations General Assembly on AIDS in June 2011.\",\n \"6. Below are examples of the results of UNDP and UNFPA contributions to development under the three strategic directions of the UNAIDS strategy 2011-2015, as well as challenges and responses to those challenges.\",\n \"Since 2008, nearly 70 UNDP country offices have implemented programmes linked to the four HIV outcomes of the UNDP strategic plan, with an estimated 30 additional countries implementing HIV activities as part of other thematic or cross-practice programmes. The analysis of independent evaluation evidence and country office reports outlines significant results in HIV. The evidence highlighted successful practices in capacity-building of local institutions, promoting gender equality, promoting multi-stakeholder participation, South-South cooperation and collaboration with United Nations agencies. The evaluation points to noteworthy cross-practice work and suggests that some of the most effective results in the fight against HIV have been achieved with linkages to other thematic areas.\",\n \"8. Given that 80 per cent of HIV infections are sexually transmitted or related to pregnancy, childbirth and breastfeeding, the strategy implemented by UNFPA prioritizes the allocation and use of its unified budget and work planning to build the Fund ' s HIV-specific capacity at the national and subregional levels. This capacity-building strategy was launched in 2006 to strengthen its support to national HIV responses. A 2008 review concluded that the Fund ' s contribution to the HIV response has undergone significant positive changes in intensity and quality. The strategy was reviewed in 2011 to ensure an integrated approach to more effectively strengthen UNFPA collaboration with countries, linking HIV to broader development, human rights and humanitarian programming rights and to sexual and reproductive health.\",\n \"Transformative change in HIV prevention\",\n \"9. UNDP supported 21 countries and two regions in mainstreaming HIV into national and sectoral development planning and processes, poverty reduction strategy papers and Millennium Development Goal planning. UNDP supported the Southern African Environmental Assessment Institute in preparing a draft legislative review report on the integration of health and social issues, particularly HIV and gender, into environmental impact assessments in Southern and Eastern Africa. Partner countries include Botswana, Lesotho, Malawi, Mozambique, Namibia, South Africa, Uganda and Zambia. Environmental impact assessments are a practical platform for a better understanding of the social impacts associated with capital projects (HIV and gender) and for addressing the issue through a multisectoral approach. The launch of the project resulted in enhanced cooperation among the ministries. Linkages between gender, HIV and capital projects are being identified and better understood in all countries.\",\n \"Technical assistance and policy guidance on men who have sex with men, transgender people and sex work, as well as on funding and fund-raising support, were provided to 37 countries. Building on the work initiated in 2009, UNDP continued to provide advisory support to programmes in Argentina, Burkina Faso, Togo, Lesotho, Fiji, the Philippines and Ukraine on strategic information on men who have sex with men, transgender people, human rights protection, strengthening capacity and partnerships for men who have sex with men and transgender people. These programmes have resulted in increased national efforts to meet the needs of those populations that are clearly underserved, such as in the Philippines, where national HIV programmes now have a specific component for men who have sex with men and transgender people.\",\n \"11. In addressing the sexual and reproductive health needs of men and women, UNFPA continued to strengthen the provision of male and female condoms and to promote their correct and sustainable use. The Global Condom Initiative expanded from 55 countries in 2008 to 74 countries in 2010 and is approaching the target of 100 countries. UNFPA remains the largest supplier of male and female condoms in low-income countries (68 million and 14 million respectively in 2009). The expanded condom demand framework was tested in the Caribbean subregion, resulting in the drafting of condom demand expansion strategies in Belize, Suriname and Saint Lucia. Condom expansion initiatives were also completed in four high-prevalence countries in Southern Africa, namely Botswana, Lesotho, South Africa and Swaziland. In 2011, UNFPA intensified its efforts to meet the UNAIDS target of increasing condom use among youth by 50 per cent, which remains a programme priority.\",\n \"12. To increase HIV testing among young people in South Africa, UNFPA, in partnership with LoveLife and Seoul, supported national HIV counselling and testing activities for young people aged 12 to 14, with the participation of 8,445,000 young people. In Barbados and Kazakhstan, awareness-raising efforts were undertaken for policymakers to remove legal barriers to sexual and reproductive health services for young people under 18 without parental consent. In Belize, UNFPA established youth-friendly spaces for adolescent girls for the Young Women ' s Christian Association (YWCA), which significantly improved access to counselling, sexual and reproductive health information and condom use.\",\n \"13. Globally, UNFPA continues to strengthen partnerships, build evidence bases, support capacity-building and provide technical assistance to support young people ' s access to a comprehensive package of adolescent sexual and reproductive health services and sex education. In terms of the proportion of countries that have included gender-sensitive life-skills-based sexual and reproductive health and HIV issues in secondary school curricula, 2010 exceeded the 2011 target. Examples of UNFPA support results include Nepal and Viet Nam. The former included adolescent and youth sexual and reproductive health in the Government ' s health sector implementation plan, while the latter developed national adolescent sexual and reproductive health guidelines for out-of-school youth. In Colombia and Mozambique, there was an important shift in UNFPA-supported programmes from donor support to government ownership. In the Syrian Arab Republic and Egypt, UNFPA supported sex education through culturally sensitive approaches.\",\n \"UNFPA and its partners are currently working to establish regional and national networks of experts to respond to training and assistance needs in sexual education. As a first step, a situational analysis was undertaken to assess the content, quality and delivery of school-based sexual education programmes in 10 countries in Eastern and Southern Africa at present, with a view to providing future curriculum revisions. The results were fed into a workshop co-sponsored by UNFPA, UNICEF, UNESCO and KwaZulu-Natal University, which built the capacity of 70 curriculum development specialists and United Nations staff working on youth issues from the ministries of education of 10 SADC countries (Botswana, Kenya, Lesotho, Malawi, Namibia, South Africa, Swaziland, Uganda, Zambia and Zimbabwe) to design and implement effective sex education and HIV prevention for young people in schools. Thus, a regional training manual on sex education is being developed using participatory training methods and will be used to produce a sufficient number of qualified sex educators.\",\n \"15. Recent evidence that HIV is the leading cause of death among women of reproductive age requires increased awareness of the linkages between Millennium Development Goals 3, 4, 5 and 6 and concerted efforts to support the integration of HIV responses with sexual and reproductive health. To date, 25 countries have been supported in developing and implementing national plans that include sexual and reproductive health, and countries have reported strengthened linkages between HIV programmes and the prevention of gender-based violence. Technical support was provided to 61 countries to strengthen the implementation of PMTCT and service integration programmes. Family planning provides a solid entry point, and UNFPA offices report that 70 per cent of countries have included family planning in their situation analysis and 49 per cent have allocated a budget for it in their national planning.\",\n \"16. Significant challenges remain and will affect the achievement of UNAIDS strategic objectives. In 2010, there was more evidence of the benefits of scaling up treatment for prevention. These findings not only highlight the need to accelerate access to treatment, but also the urgent need to link HIV prevention and treatment at the strategic planning, service delivery and impact assessment levels. This requires strengthening the measurement of prevention as a whole and the collection of qualitative and quantitative data. The use of “preventive treatment” needs to be combined with other options for HIV prevention, as “preventive treatment” is an enhancement of, not a substitute for, comprehensive HIV prevention.\",\n \"17. With regard to integration, the link between HIV and sexual and reproductive health remains challenging in many countries. There is often a focus on service-level integration, with less attention paid to broader structural and human rights issues. Ineffective logistics and supply systems also hinder effective service delivery. For example, disruptions in the supply of key commodities (anti-retroviral drugs, drugs to treat opportunistic diseases, HIV test kits, condoms, etc.) hinder effective responses and stress the need to further strengthen procurement and supply management at the national and subnational levels. With regard to the goal of eliminating mother-to-child transmission of HIV and universal access, those goals cannot be achieved unless the countries and communities reach the most marginalized groups of society and meet their needs. There is a need to strengthen political support, focus on technical support and expand integrated services to ensure that programmes in countries continue to lag behind in their progress. In persuading stakeholders to expand their programmes, it is essential to adopt an integrated approach, with practical standardized procedures and evidence of the benefits of integration.\",\n \"18. The need for prevention information and programming needs to be addressed through a range of age-appropriate and tailored programmes designed with the participation and input of young people, including sex education as a useful tool for improving youth health. Removing policy and legal barriers to youth-friendly services so that youth are not excluded can reduce their vulnerability to HIV infection. Efforts to achieve measurable indicators (e.g., comprehensive knowledge, HIV testing and condom use among young people) in priority countries will help to increase accountability and leverage results in reducing new infections.\",\n \"Promoting the next phase of treatment, care and support\",\n \"19. As a recipient of the Global Fund to Fight AIDS, Tuberculosis and Malaria, UNDP helped to develop national capacity to effectively implement large-scale programmes to combat AIDS, tuberculosis and malaria in 29 countries in 2010. Capacity development support to national stakeholders has been an important priority, and UNDP, in collaboration with national partners, has developed a formal capacity development plan for all new grants administered by UNDP. Between 2003 and 2010, UNDP served as the main recipient in 37 countries. In 12 of these countries, the role of the main recipient has been transferred to a national entity, reflecting achievements in capacity development. While UNDP often acts as the principal recipient in the most at-risk countries, its grant performance is much above average. Since 2003, UNDP has facilitated community outreach for the prevention of AIDS, tuberculosis and malaria for 28 million people. HIV counselling and testing were provided to nearly 4.8 million people and antiretroviral treatment was provided to 213,000 people living with HIV. These programmes also resulted in the detection and treatment of 700,000 cases of tuberculosis, the distribution of 11 million bed nets and the treatment of 26 million cases of malaria.\",\n \"20. UNFPA supported the development of specific guidance to address issues related to youth and sex workers for the preparation of the Global Fund ' s tenth round of HIV proposals. It provided technical support to South Africa, Swaziland and Zambia in integrating sexual and reproductive health and HIV; and to 20 countries in the prevention of mother-to-child transmission of HIV, including consultations and joint technical missions.\",\n \"21. UNDP supported capacity-building in 17 countries and 2 regions to adopt enabling trade and health policies and legislation. In Ukraine, for example, UNDP supported the Government in including TRIPS flexibilities in its national legislation. The adoption of such legislation would significantly reduce the cost of antiretroviral and other drugs. Similarly, in Ukraine, if the TRIPS flexibilities were adopted, more generic drugs could be used, which in some cases could save more than 90 per cent of the cost, thus allowing more people to start treatment. In the United Republic of Tanzania, UNDP, in partnership with civil society and the German Agency for International Cooperation, organized two meetings on the proliferation of anti-fouling legislation in the East African Community (EAC) — Burundi, Kenya, Rwanda, Uganda and the United Republic of Tanzania. Government representatives, parliamentarians, academics and civil society from all East African Community countries attended. The meeting raised awareness of the impact of anti-fiction legislation on public health. As a result, the EAC secretariat adopted the UNDP proposal to revise the draft EAC anti-fouling law in a public health-sensitive manner. This will guarantee the continued use of 90 per cent of all generic drugs consumed in the East African Community countries.\",\n \"22. Poverty and exclusion are key issues in addressing vulnerability to AIDS. The international community has therefore recognized that, with regard to social protection, we need to adopt an AIDS-sensitive approach that does not exclude AIDS. In India, UNDP supported the development, expansion and reform of HIV-sensitive multi-country social protection programmes in several states, reaching 77,000 people over a six-month period in 2010. A socio-economic impact study in 2006 provided an analytical basis for these programmes, showing that HIV has a considerable negative impact on employment, income, savings and school attendance in affected households. As a follow-up, UNDP launched a multi-pronged advocacy and technical support strategy involving national AIDS control organizations, State officials and civil society organizations, including networks of people living with HIV. Accordingly, Rajasthan has reformed the widow ' s pension system so that women widowed by HIV are eligible for a monthly pension regardless of their age. Other states in India are following this approach. In 2010, about 23,000 women benefited from the pension reform in all cantons. In addition, States are increasingly paying for the transportation needed to treat HIV. In the six months of 2010, more than 31,000 people benefited from the programme. Other noteworthy reforms include the fact that some states now provide subsidized food, housing and health care for people living with HIV, all of which were previously limited to those below the poverty line. The Ministry of Labour also removed the exclusion of HIV from special health insurance for non-regular workers.\",\n \"23. While many countries do not have national social protection programmes, those that do require a comprehensive review of how laws, policies and programmes can be made more sensitive to the needs of people affected by HIV and people living with HIV. Access to services is restricted for many because of general poverty and stigma and discrimination. While in some cases there is a continuum of care between HIV treatment settings and community-based organizations, this is in fact difficult to ensure due to a variety of factors, including lack of political will and resources, lack of capacity of community groups and lack of understanding between community groups and health workers.\",\n \"24. While the health sector must be at the centre of strengthening treatment, care and support, many countries still do not use and strategically coordinate with relevant ministries. In addition to the role of the trade and social protection policy mentioned above, other key factors that may facilitate the expansion of care and support may include the Ministry of Women or the Ministry of Gender Equality (to address the disproportionate role of women as caregivers) and the Ministry of the Interior (to help facilitate the provision of services to marginalized groups).\",\n \"Promotion of human rights and gender equality\",\n \"25. Together with the UNAIDS secretariat and the Global Fund, UNDP published an analytical report on access to justice programmes in the sixth and seventh rounds of HIV proposals and grants, which successfully influenced the inclusion of specific goals and business plans on human rights and equality in the new Global Fund strategy.\",\n \"26. In June 2010, UNDP created the Global HIV and Law Commission on behalf of the UNAIDS family. The aim of the Commission is to develop evidence-based, human rights-based recommendations to support countries in establishing and maintaining an enabling legal environment for an effective AIDS response. The discussions and follow-up actions identified through the Commission ' s 2011 regional dialogue in six regions will further inform and strengthen UNDP work in this important area. The aim of the regional dialogue is to engage in a strategic dialogue with a view to highlighting important HIV-related human rights and legal issues in the region. The regional dialogue provides input to the Committee ' s deliberations through the submission of evidence-based and participatory inputs from policymakers and legislators, law enforcement and communities. The regional dialogue will also promote regional awareness, participation and ownership and take action to bring about real change on human rights and legal issues in support of the improvement of people ' s lives and health. There is a close link between UNDP gender work and HIV and the Law Commission. One of the three main areas that the Commission is investigating concerns laws that perpetuate or mitigate violence and discrimination against women.\",\n \"27. The progress report on the implementation of the Framework for Action and the UNAIDS Agenda for Accelerated Action on Women, Girls, Gender Equality and HIV were presented to the 27th PCB meeting. The gender sensitivity of the AIDS response was further discussed at the 28th meeting. The initiative, launched in March 2010, has achieved significant results: 55 countries have developed an agenda for women and girls and 45 have reported on activities undertaken directly on this agenda. For this initiative, $6.1 million was allocated in 2010, including $4.5 million for country support.\",\n \"28. PCB members welcomed the progress report as a unique opportunity to ensure that national responses addressed the needs of women and girls. The PCB explicitly welcomed UNAIDS efforts to integrate comprehensive education policies and programmes into its 2011-2015 strategy, as well as UNAIDS efforts to address male-related barriers to access to HIV and sexual and reproductive health services. The PCB urged further progress and called for broader leadership on women, girls and HIV, with adequate resources to complement political rhetoric.\",\n \"As a follow-up to UNDP responsibilities under the UNAIDS Agenda for Accelerated National Action on Women, Girls, Gender Equality and HIV, leadership capacity-building for women living with HIV was undertaken in 23 countries in six regions, resulting in strengthened partnerships between HIV-positive women's organizations/networks and other key national stakeholders. In addition, 14 countries have strengthened the capacity of national networks of HIV-positive women to participate more effectively in universal services/reports and MDG reports/declarations.\",\n \"30. UNFPA integrated the responsibilities of the United Nations Campaign to End Violence against Women and the agenda for women and girls, supporting 42 countries in designing, implementing or assessing prevention, treatment, care and support programmes to empower women and girls, and 26 countries in developing and/or implementing HIV-related policies specifically addressing gender-based violence and other actions to promote gender equality. Jamaica has established a Men ' s Desk in the Bureau of Women ' s Affairs to manage the necessary interventions to mobilize more Jamaican men to participate in the advocacy and implementation of the programme to reduce gender-based violence and improve men ' s participation in ensuring women ' s equality and rights. Support was provided to networks of people living with HIV in nearly 80 countries, with a focus on women living with HIV.\",\n \"31. At the end of 2010, UNFPA led the inter-agency working group on gender and HIV in capacity-building in 16 countries in three regions to develop and implement strategies with men and boys to address social standards around gender, violence and sexual relations. UNFPA supported the workshop “Working with men to prevent and respond to HIV/AIDS”, which was attended by 92 participants from 30 countries and resulted in the development of an African regional framework for gender equality and reproductive health, including HIV/AIDS, with men and boys. While the importance of involving men and boys in achieving gender equality is recognized, it remains a challenge to involve them as partners for this purpose and for their sexual and reproductive health.\",\n \"UNDP led a project called “Achieving universal access for women and girls now!” in 10 countries. Inter-agency initiatives, including UNFPA, are aimed at supporting countries in addressing gender equality in HIV responses. Examples of success include the inclusion of a clear gender component and commitment to address gender-based violence in Zambia ' s new national AIDS strategic framework (2011-2015) and the establishment of a position of gender adviser in the Zambia National Council to ensure that gender issues are consistently integrated into the national AIDS response.\",\n \"33. Key challenges to the implementation of the Framework for Action include the need for long-term political and financial commitment to women, girls and HIV; the need to strengthen and link sexual and reproductive health services to HIV; the high incidence of gender-based violence; and the need for increased involvement of men. Capacity development is critical to the success and sustainability of this agenda. In addition, experience to date has highlighted the need to improve evidence-based and monitoring systems.\",\n \"34. It was noted that UN-Women represented a potential opportunity to strengthen the engagement of the United Nations system on the above-mentioned issues. At its March 2011 meeting, UN-Women, the Committee of Cosponsoring Organizations, welcomed its interest in joining the Joint United Nations Programme on HIV/AIDS and agreed to launch the formal application process for UN-Women in accordance with the criteria and process agreed upon by the PCB in 2004 (UNAIDS/PCB(15)/04.8). At the same time, joint programmes continue to focus on women and girls and promote women ' s rights and gender equality.\",\n \"35. During the development of the unified budget, results and accountability framework, UNAIDS ensured that key actions, targets and budget allocations related to sustained progress in implementing the agenda for action were reflected, including, but not limited to, the integration of HIV and sexual and reproductive health services. Member States called for further monitoring, in coordination with them and with the participation of women living with HIV and civil society, and for reporting to the PCB through a unified budget, results and accountability framework. They also called for a midterm review of the agenda in December 2012.\",\n \"36. UNAIDS is requested to partner with national stakeholders to document best practices in the response to AIDS in collaboration with the women ' s movement in addressing the HIV-related needs of women and girls. The PCB also requested UNAIDS, in collaboration with key stakeholders, to promote and facilitate improved linkages between sexual and reproductive health, human rights and HIV responses and encouraged further partnerships with networks working with men and boys and women and girls on HIV and gender equality.\",\n \"37. In 2011, UNFPA and UNDP supported more than 50 countries to strengthen human rights protection and access to services for sex workers and their clients, men who have sex with men and transgender people. These efforts have strengthened coordination and harmonization among networks and organizations of sex workers, which focus on HIV prevention, prevention of sexually transmitted infections, sexual and reproductive health, and linkages between sexual and reproductive health and gender-based violence and human rights. UNFPA, the Asia-Pacific Network of Sex Workers and partners reported on the first consultation on HIV and sex work in the Asia-Pacific region, chaired by the Royal Government of Thailand and involving Cambodia, China, Fiji, Indonesia, Myanmar, Pakistan, Papua New Guinea and Thailand. The consultations resulted in the development of eight draft country-level action plans on HIV and sexual work and a regional agenda on HIV/AIDS among sex workers and their clients for implementation during the period 2010 to 2013; the strengthening of the technical capacity of the Asia-Pacific Network of Sex Workers secretariat through the hiring of a full-time director and a policy officer; and dialogue between Governments at the regional level and between Governments and sex workers at the national level.\",\n \"38. Progress has been hampered by problems surrounding key populations. The data show that most countries continue to be under-funded for key population programmes. Stigma, discrimination and homophobia persist, with insufficient political commitment. In some countries, the weak impact of civil society hampers efforts to meet the needs of key populations related to HIV. The lack of quantitative and qualitative data means that the theoretical framework for gender, sexuality and identity is weak, leading to superficial understanding of needs and behaviours, which in turn leads to ineffective programmes. In addition, a range of situations may hinder effective responses and efforts to work with key populations, such as mandatory drug treatment or the criminalization of sex work and same-sex relationships. Recent policy changes, linked to more effective political leadership and more targeted resource allocation, have helped to expand evidence-based services for key populations and have shown that progress is possible. An enabling environment must be created for the participation of key populations in the planning, delivery and evaluation of strategies and programmes that affect their lives. Effective focus on the needs of key populations also requires a comprehensive approach, including anti-stigmatization efforts, and working with law enforcement agencies and other stakeholders to address macro-level issues.\",\n \"39. The 27th PCB meeting discussed AIDS, security and humanitarian response. In line with the UNAIDS division of labour, UNFPA and UNDP have been working with partners to address HIV/AIDS in humanitarian situations. In June 2011, the Security Council adopted resolution 1983 (2011),[3] recognizing the need to strengthen this work and to strengthen programmes to address HIV and sexual violence in conflict situations.\",\n \"40. Within the framework of the above-mentioned Security Council resolution, UNDP and UNFPA, in collaboration with the Department of Peacekeeping Operations (DPKO), the UNAIDS secretariat and the co-sponsors, will continue to build on past initiatives, for example:\",\n \"• Integrating gender and HIV interventions into disarmament, demobilization and reintegration programmes. In the Comoros, Côte d ' Ivoire, the Democratic Republic of the Congo, Indonesia, Liberia, Nepal, the Sudan, Sierra Leone and South Sudan, joint programmes have covered both male and female ex-combatants, as well as women associated with armed groups and host communities.\",\n \"• Provision of basic reproductive health products and supplies (under an agreement between UNFPA and UNHCR) to all refugee populations and camps operated by UNHCR in approximately 25 countries each year.\",\n \"• Training national uniformed personnel prior to their deployment to peacekeeping missions and developing a peacekeeping training initiative on HIV and sexual violence in partnership with DPKO.\",\n \"• Develop and/or strengthen programmes for the prevention of conflict and post-conflict violence and HIV in partnership with relevant agencies for host communities.\",\n \"41. The adoption of Security Council resolution 1983 (2011) demonstrated the high-level commitment of Member States to combating HIV/AIDS in humanitarian settings and provided new opportunities for UNFPA and UNDP to maintain or expand programmes and partnerships. As noted in the progress report on the implementation of Security Council resolution 1308 (2000) (“on the front line: a review of the 2005-2010 programme to address HIV among international peacekeepers and uniformed personnel”), “... the changing threats to international peace and security and the evidence of the relationship between AIDS and security are also changing, and they have presented new challenges and opportunities for further strengthening these operations and for promoting United Nations conflict prevention and peacebuilding”. Discussions among key actors (the UNAIDS secretariat, DPKO, UNDP, UNFPA, UNODC) will be held recently to establish a clear division of responsibilities and a timetable for the implementation of Security Council resolution 1983 (2011).\",\n \"III. Key decisions and recommendations of the UNAIDS PCB for UNDP and UNFPA\",\n \"UNAIDS strategy\",\n \"42. At its 27th meeting, the PCB formally adopted the new UNAIDS Strategy 2011-2015: Achieving Three. The strategy aims to focus and increase efficiency in order to significantly reduce the number of new infections, expand access to treatment and reduce stigma and discrimination. It plans to promote strategic partnerships, support national ownership, engage emerging economies, promote South-South and triangular cooperation and introduce new funding approaches to the response. The strategy emphasizes mutual accountability in the response, increasing ownership, strengthening community systems and promoting action. It reflects the transition from short-term technical support to the development of sustainable capacities and national resilience, as well as increased efforts to link the AIDS response to broader health and development efforts.\",\n \"Member States stressed that all co-sponsors were encouraged to link their strategies to the new UNAIDS strategy. This work is still in progress, and WHO, WFP, ILO and UNESCO have revised their HIV strategies and policies to specifically link them to the UNAIDS strategy. UNFPA is in the process of revising its strategic guidelines on HIV and is considering the UNAIDS unified budget, results and accountability framework in the context of the midterm review of its strategic plan and the follow-up to the revision of the accompanying development results framework. The new UNAIDS strategy will also inform the next UNFPA strategic plan, 2014-2017. UNDP will update its current common AIDS strategy to reflect the new UNAIDS strategy for 2012 and 2013. In addition, the new UNAIDS strategy will inform the integration of HIV and AIDS into the new UNDP strategic plan for 2014 and beyond.\",\n \"44. An important challenge is the reduction in international support for the HIV response, coupled with competing needs, and the increase in the number of people living with HIV, which places considerable strain on the HIV response and threatens the sustainability of recent gains. In addition, many countries rely heavily on external support, which has the potential to undermine national responses. Ten years after the adoption of the time-bound targets in the 2001 Declaration of Commitment on HIV/AIDS, human resource and institutional capacity constraints in the technical and managerial fields continue to undermine more responsive efforts. Funding for the HIV response is a shared responsibility that requires continued support from international donors, increased allocation and political commitment from domestic Governments, stronger leadership from emerging economies and the private sector, and enhanced programme focus to increase efficiency and impact.\",\n \"Unified budget, results and accountability framework, 2012-2015\",\n \"45. The UNAIDS strategy will be implemented through various mechanisms, including the 2012-2015 unified budget, the results and accountability framework and the revised UNAIDS division of labour. The Unified Budget, Results and Accountability Framework was the main item on the agenda of the 28th PCB meeting, which replaced the thematic session. The framework is structured around the UNAIDS strategy, its 10 strategic objectives and strategic functions and aims to contribute to the realization of the UNAIDS long-term vision of zero new HIV infections, zero AIDS-related deaths and non-discrimination.\",\n \"46. The harmonized budget, results and accountability framework describes the results, outputs and deliverables of joint programmes, the allocation of resources and geographical references to these and the means of monitoring progress. It itself provides an integrated results architecture for joint programmes, incorporates clearly defined baselines and results, identifies contributions from each co-sponsor and focuses specifically on country progress.\",\n \"47. The unified budget, results and accountability framework consists of three components:\",\n \"(a) Business plan: A framework for describing joint programme contributions is provided to support the implementation of the UNAIDS strategy for 2011-2015. The business plan describes the rationale, objectives and expected results of the joint programme. The cosponsors and the UNAIDS secretariat will develop annual rolling workplans for the detailed implementation of the unified budget, results and accountability framework and strengthen linkages with the cosponsors ' planning process and results framework. Given the changing nature of the epidemic and the need for a more focused focus, UNAIDS will be more focused, both programmaticly and by strengthening work in the 20+ countries identified in the UNAIDS strategy (see figure 1).\",\n \"Figure 1\",\n \"• The following issues will be addressed: Brazil - More than 70 per cent of new HIV infections in general Cambodia - More than 80 per cent of the overall gap in access to antiretroviral therapy for eligible adults Cameroon - More than 75 per cent of the overall gap in the prevention of vertical transmission - China - More than 95 per cent of the total burden of HIV-related tuberculosis - Democratic Republic of the Congo - IDU-driven HIV infection is severe (estimated at more than 100,000 injecting drug users in half of 20 low- and middle-income countries, estimated at more than 10 per cent HIV prevalence among these people, Ethiopia - laws affecting HIV prevention and treatment, including laws restricting the travel of people living with HIV) Fourteen of these countries have three or more such laws. India, Malawi, Mozambique, Myanmar, Nigeria, will improve aid effectiveness. Russian Federation - strengthen the implementation of $5.1 billion of HIV grants from the Global Fund to Fight AIDS, Tuberculosis and Malaria. South Africa - with funding from the United States President ' s Emergency Plan for AIDS Relief (2007 - $7.4 billion in 2009) Thailand, Ukraine, United Republic of Tanzania • will involve the following countries. Zambia - all BRICS countries (Brazil, Russian Federation, India, China, South Africa) Zimbabwe meets the following five criteria, based on independent data sources: (1) the total number of new HIV infections is above 1 per cent; (2) the overall gap in adult access to antiretroviral therapy is greater than 80 per cent (CD4 > 350/ml); (3) the overall burden of HIV-related tuberculosis is greater than 1 per cent; (4) the estimated number of injecting drug users exceeds 100,000 and the estimated prevalence of HIV among these people is higher than 10 per cent; and (5) there are laws that impede the provision of universal services to marginalized groups, including sex workers, men who have sex actors, transgenderers and injecting drug users.\",\n \"(b) Results and accountability framework: Joint programme achievements will be measured to provide a clear link between investment and results. This results-based accountability framework will ensure accountability for programme results and value for money. The PCB requested that the joint programme further strengthen this framework through a consultative process with all sponsors and report on its results to the 29th PCB meeting. For UNDP and UNFPA, the impact includes the review and revision of indicators as members of the Cosponsors ' Working Group on Evaluation and the UNAIDS Monitoring and Evaluation Reference Group. Implementation of the framework, including information on sources of funding and participation of civil society, with indicators, will be reported annually to the PCB.\",\n \"(c) Core budget: Promote co-sponsors ' contributions and fund UNAIDS in 2012-2013 to translate the objectives of the UNAIDS strategy into action and results. The PCB approved a core budget of $485 million for 2012-2013, which means that it remains unchanged from 2010-2011 and 2008-2009. This represents a decline in real value and highlights the continuing catalytic and operational nature of the unified budget, results and accountability framework and efforts to ensure value for money. $164 million was allocated to the 10 UNAIDS cosponsors and $320 million to the UNAIDS secretariat. The core budget allocation for the Cosponsors is intended to facilitate other budgets raised by the Cosponsors for AIDS-related work. In the next two bienniums, the target is to increase core resources by 70 per cent for the harmonized budget, results and accountability framework at the regional and country levels to maximize the impact of resources dedicated to the AIDS response by all cosponsors and the UNAIDS secretariat.\",\n \"Figure 2 Current and indicator distribution of core resources for the unified budget, results and accountability framework\",\n \"[Chuckles]\",\n \"48. The unified budget, results and accountability framework links the business plan, results and accountability framework and all components of the budget to produce a range of outcomes that support the achievement of the UNAIDS strategy for 2011-2015. The following figures provide an overview of business plans, results and accountability frameworks and budgets and the linkages between them. The support and guidance provided by the UNDP/UNFPA/UNOPS Executive Board in aligning the revision of the respective strategic plans of UNDP and UNFPA with the unified budget, results and accountability framework will mitigate the challenge of alignment.\",\n \"Figure 3 Linkages between elements of the unified budget, results and accountability framework\",\n \"[Chuckles]\",\n \"Progress report on the implementation of the second independent evaluation\",\n \"49. The second independent evaluation of the Joint United Nations Programme on HIV/AIDS called for a new mission statement, vision, strategy and unified budget, results and accountability framework for UNAIDS. In addition, the Joint Programme revised the UNAIDS Division of Labour to improve efficiency and effectiveness, using its respective mandates and resources and promoting mutual accountability at the global, regional and country levels. The Division of Labour defines the roles and responsibilities of each of the 10 UNAIDS cosponsors in convening and building partnerships. The UNAIDS secretariat is not responsible for convening any of the 15 division of labour areas, but will be responsible for promoting and facilitating coordination and coherence in the areas of advocacy, strategic information, partnerships, mutual accountability and mobilization of core resources to achieve results in all areas.\",\n \"50. In line with the revised division of labour, UNDP is responsible for convening the priority area of human rights and the legal environment and, with UNFPA, for bringing together women and girls and the highest-risk groups. In addition, UNFPA and the World Bank are responsible for co-convening the sexual transmission of HIV, and UNICEF for co-convening youth in this area. The convening and partner roles assigned to UNDP are well aligned with the results areas of its strategic planning, as well as the broader mandate of UNDP in poverty reduction, governance, gender equality and crisis prevention and recovery. Similarly, the co-convening role of UNFPA is fully in line with its mandate and the focus of its strategic planning, namely universal access to sexual and reproductive health, reproductive rights, women and gender equality, youth and coverage of marginalized and excluded populations.\",\n \"Overall, the adoption of the revised division of labour offers opportunities for significant improvement in the collective performance and impact of UNAIDS. The increase in the number of United Nations joint teams and joint support programmes offers the possibility of improving the coherence, coordination and effectiveness of United Nations efforts at the country level. Increased efforts to implement the recommendations of the second independent evaluation could also result in changes across UNAIDS, especially in the new four-year format of the unified budget, results and accountability framework. As it is assumed that UN-Women will join joint programmes, some donors have asked about possible changes in the division of labour, and the format is expected to be available in due course. However, agencies have worked closely with UN-Women on a variety of issues and where UN-Women has a country presence, UN-Women has been included in discussions and decision-making on the adoption of the division of labour process at the country level, taking into account the comparative advantages of all partners, in accordance with local conditions and needs.\",\n \"52. The finalization of the technical support strategy was deferred to the 27th PCB meeting. The technical support strategy outlines key actions for joint programmes to expand technical support and strengthen the overall technical support market. Greater emphasis on the effectiveness of technical support and its cost-effective delivery through a unified accountability system. UNAIDS technical support will focus in particular on long-term skills transfer and capacity development at the country and regional levels, and on harmonizing different technical support structures and mechanisms in joint programmes.\",\n \"53. PCB members requested more details on the technical support plan. Agreed to include a substantive agenda item on the review and analysis of sustainable capacity development and technical support in joint programmes, and further agreed to discuss the UNAIDS technical support strategy further at the 29th PCB meeting. In terms of capacity development, linked to the technical support strategy, as noted in the second independent evaluation, the need for a clear partnership strategy focused on civil society and people living with HIV/AIDS was reiterated. Over the next six months, in collaboration with civil society partners, work will continue on the compilation and identification of indicators for the unified budget, results and accountability framework. Challenges include ensuring that the expectations and objectives of each potential partner are clearly understood as a principle of effective partnership and that they are aligned with the strategic objectives and country programme priorities of UNAIDS. In addition, recent experience has highlighted the willingness of many multinational companies to partner with non-governmental organizations in social development efforts to strengthen corporate social responsibility programmes and to explore opportunities to work with smaller private sector enterprises on HIV prevention and treatment.\",\n \"54. Finally, the PCB was informed that, following extensive consultations and a comprehensive cost-benefit analysis, it had been determined that the best option for the UNAIDS secretariat was to move to a single administrative system within the framework of WHO regulations and rules. The secretariat previously used two administrative systems, WHO and UNDP, at headquarters and country levels, respectively. All UNAIDS staff will now be subject to the same set of staff rules and linked to the same electronic platform. The costs associated with the move to a single administrative system will be absorbed by the Secretariat component of the unified budget and workplan. The UNAIDS secretariat is expected to significantly increase efficiency and avoid duplication through the introduction of a single administrative system.\",\n \"IV. The way forward\",\n \"55. With this in mind, UNDP is aligning HIV programming to meet challenges and scale up successes. First, recognizing the importance of linking HIV action to broader development efforts, UNDP will prioritize the implementation of cross-thematic programmes that address HIV while addressing the key priorities of gender equality, access to justice and economic empowerment. This will involve the development of strategies and joint workplans across operational areas and the implementation of practical programming guidelines. Second, while significant progress has been made in developing the capacity of national entities to take over the implementation of the Global Fund to Fight AIDS, Tuberculosis and Malaria grant, UNDP will also place greater emphasis on longer-term capacity development. In moving forward, the preparation of capacity-building assessments and plans in collaboration with national stakeholders will be an integral part of all new global fund programmes administered by UNDP. Thirdly, building on the Millennium Development Goals assessment, which highlighted the benefits of linking HIV to health strategies, UNDP will promote greater cost-effectiveness in achieving the broader health Millennium Development Goals by building on existing successful HIV programmes. This will include drawing on experience in supporting large-scale implementation, capacity development and governance to accelerate progress towards the Millennium Development Goals. Finally, it is very important to ensure that assessments provide more consistent information for programming decisions and that successful HIV initiatives are sustained and scaled up or handed over to partners when UNDP support ceases.\",\n \"56. UNFPA will continue its efforts to reduce maternal mortality, given that the two main causes of death for women of reproductive age globally are complications related to pregnancy, childbirth and HIV/AIDS, and that, without HIV, maternal mortality could have declined by about 6 per cent worldwide in 2008. This will include strengthening mechanisms to actively link efforts to reduce maternal mortality with efforts to combat the AIDS epidemic; promoting greater collaboration and integrated approaches, developing evidence-based and rights-based programmes, placing maternal health in the context of continuous care, which incorporates a comprehensive range of interventions that affect maternal health outcomes, including those related to HIV. UNFPA will continue to support the meaningful participation of women and girls at every stage of the national HIV response to ensure that their needs and rights are properly addressed and monitored, and that they have access to quality basic services for sexual and reproductive health, are treated with dignity and respect and are free from violence, coercion, stigma and discrimination. Based on evidence of what can be effective in preventing HIV infection among adolescents and young people, UNFPA will support comprehensive interventions for young people in the context of HIV prevention and sexual and reproductive health, including delays in first sexual intercourse, sex avoidance, correct and sustained use of male and female condoms, circumcision, reduction of multiple sexual partners and effective communication to achieve social and behavioural change.\",\n \"UNFPA will continue to support improved national, regional and global integrated condom planning to increase access to and demand for male and female condoms. UNFPA will support Governments in developing strategies that specifically address the sexual and reproductive health needs of men who have sex with men, sex workers and transgender people, in line with epidemiological and national contexts. Finally, recognizing that the goal of eliminating new infections in children cannot be achieved without effective primary HIV prevention among women of childbearing age and the prevention of unwanted pregnancies among women living with HIV, and recognizing that effective primary prevention among pregnant women, reducing unwanted pregnancies among women living with HIV and limiting breastfeeding to these women are likely to reduce mother-to-child HIV infections by 19 per cent, UNFPA will support the protection of human rights, including the reproductive rights of all women and girls, especially those living with HIV, as part of the non-negotiable nature of all HIV prevention and global health programmes.\",\n \"58. Despite the strong commitment within the United Nations system to support national HIV responses, and stressing the issues raised in the present report, especially those related to the provision of financial resources and, more importantly, to the provision of human resources capacity at all levels, the United Nations will continue to challenge the results of agencies and national progress towards the targets set out in the political declaration, the UNAIDS strategy and the harmonized budget, results and accountability framework.\",\n \"Elements of a decision\",\n \"59. The Executive Board may wish to take note of the present report and recommend that it be specifically linked to the UNAIDS strategy in the respective HIV strategies and policies of UNDP and UNFPA, as well as in the new strategic plan to be developed by UNDP and UNFPA for 2014-2017.\",\n \"Annex\",\n \"Strategy — a glimpse\",\n \"Global commitments\",\n \"Universal access to HIV prevention, treatment, care and support Halting and reversing the spread of HIV and contributing to the achievement of the Millennium Development Goals Strategic direction Vision and goals A revolutionary change in HIV prevention Vision: no new infections More than 7,000 new infections per day. Revolutionary changes in the political, policy and practical aspects of prevention are urgently needed. This can be achieved through the development of political incentives for commitment to promote transformative social movements led by people living with HIV, affected communities, women and youth in sexual behaviour, drug use and HIV education. It is also crucial to target high-prevalence areas, especially in mega-cities, and to ensure equitable access to high-quality, cost-effective HIV prevention programmes, including the rapid use of scientific breakthroughs. Target 2015: Reduce by half the sexual transmission of HIV, including within youth, men who have sex with men, and in the context of sex work, eliminate the vertical transmission of HIV, reduce by half the AIDS-related maternal mortality rate and prevent all new HIV infections among drug users Treatment is available to all those who need it through simpler, more affordable and more efficient drug and payment systems. Strengthening linkages between antiretroviral treatment services and primary health care, maternal and child health, tuberculosis and sexual and reproductive health services will further reduce costs and promote efficiency. Enhanced capacity for rapid registration will increase access to medicines and the ability of countries to take advantage of TRIPS flexibilities. Nutritional support and social protection for people living with and affected by HIV, including orphans and vulnerable children, need to be strengthened through the use of social and cash transfers and the expansion of social insurance systems. Target 2015: Universal access to antiretroviral treatment for all people living with HIV who are eligible for treatment will halve the number of people living with HIV who die from tuberculosis in all national social protection strategies to address and provide basic care and support to people living with HIV and HIV-affected families Achieving the 2015 goal of non-discrimination: Universal access to services will continue to be hampered if the social and legal environment fails to protect against stigma and discrimination or to promote access to HIV programmes. States must do more to realize and protect HIV-related human rights, including the rights of women and girls; implement protective environments for people living with HIV and populations at high risk of HIV infection; and ensure that HIV responses reach the most underserved and vulnerable groups. People living with HIV and at high risk should be aware of their HIV-related rights and supported in mobilizing for their rights. Greater investment is needed to address the internal linkages between vulnerability to HIV, gender inequality and violence against women and girls. Half of countries with punitive laws and practices that impede effective responses to HIV transmission, sex work, drug use or homosexuality, and half of countries with HIV-related restrictions on entry, stay and residence, and at least half of countries with HIV-related specific HIV needs of women and girls, adopt a zero-tolerance policy on gender-based violence.\",\n \"National ownership of sustainable responses, diversification of funding, strengthening of institutions, alignment of efforts, integration of services to ensure the effectiveness of all Millennium Development Goals\",\n \"[1] These goals are to: (i) reduce by half the sexual transmission of HIV, including among young people, men who have sex with men, and within the context of sex work; (ii) eliminate vertical transmission of HIV and reduce by half the AIDS-related maternal mortality rate; (iii) prevent all new HIV infections among drug users; (iv) provide universal access to antiretroviral treatment for people living with HIV who are eligible for treatment; (v) reduce by half the number of people living with HIV who die of tuberculosis; (vi) address the problems of people living with HIV and families affected by HIV and provide them with basic care and support in all national social protection strategies; (vii) reduce by half the number of countries with punitive laws and practices that impede effective responses to HIV transmission, sex work, drug use or homosexuality; (viii) reduce by half the number of countries that implement HIV-related restrictions in the areas of entry, stay and residence; (ix) address the specific HIV needs of women and girls in the HIV response in at least half of countries; and (x) adopt a zero-tolerance policy on gender-based violence.\",\n \"[2] The HIV treatment figure is the number of people currently receiving antiretroviral treatment through current grants.\",\n \"[3] Among other provisions, the resolution “encourages the inclusion, as appropriate, of HIV prevention, treatment, care and support, including voluntary confidential counselling and testing programmes, in the fulfilment of the mandated tasks of peacekeeping operations, including assistance to national institutions, security sector reform and disarmament, demobilization and reintegration (DDR) efforts, and the need to continue such prevention, treatment, care and support during and after the transition from a United Nations presence to other configurations”. This resolution not only recognizes that “the international community still needs urgent and concerted action to control the impact of the HIV epidemic in conflict and post-conflict situations”, but also provides guidance for implementation by the United Nations and Member States.\",\n \"[4] UNDP is responsible for convening `the repeal of punitive laws, policies and practices, the elimination of stigma and discrimination, and the removal of barriers to effective AIDS responses' and, together with UNFPA, for `Meeting the HIV needs of women and girls and ending sexual and gender-based violence' and `Enhanced capacity of men who have sex with men, sex workers and transgender people to protect themselves, avoid HIV infection and have full access to antiretroviral therapy'.\"\n]"}}},{"rowIdx":81,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","^(*) A/66/150。","临时议程^(*) 项目69(b)","促进和保护人权：人权问题， 包括增进人权和基本自由 切实享受的各种途径","酷刑和其他残忍、不人道及有辱人格的待遇和处罚","秘书长的说明","秘书长谨向大会转递人权理事会酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员胡安·门德斯根据大会第65/205号决议编写的临时报告。","人权理事会酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员的临时报告","摘要","特别报告员在按照大会第65/205号决议提交的本报告中根据其任务范围述及各项特别关注的问题和最近的发展情况。","特别报告员提请大会注意他的评估意见，即大多数国家都实行单独监禁的做法。他发现，物质条件和单独监禁这种监狱制度会造成严重的精神和身体痛苦或苦难，当把它作为一种惩罚手段在审前拘留期间无限期、长期施用于青少年或患有精神残疾的人时，就构成残忍、不人道或有辱人格的待遇或处罚，甚至是酷刑了。此外，单独监禁这一做法增加了酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为不被发现和不被质疑的风险。","报告强调了一些一般原则，以帮助指导各国重新评价和尽量减少使用单独监禁，并在某类案件中取消单独监禁的做法。这种做法只应作为最后手段用于非常特殊的情况，使用的时间越短越好。他还强调，需要有最低限度的内部和外部程序保障，以确保所有被剥夺自由的人都得到人道待遇及对人所固有的尊严的尊重。","目录","页次\n1.导言 4\n2.与任务有关的活动 4\n3.单独监禁 7\nA.对根据任务规定所开展工作的概述 7\nB.单独监禁的历史和当前的做法 7\nC.定义 8\nD.法律框架 9\nE.国家使用单独监禁的理由 11\nF.单独监禁的条件 13\nG.长期或无限期单独监禁 16\nH.单独监禁造成的心理和生理影响 17\nI.单独监禁的潜在影响 17\nJ.易受伤害的人 17\nK.当单独监禁构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时 18\n4.结论和建议 20\n附件单独监禁的影响 24","一. 导言","1. 本报告根据大会第65/205号决议第39段提交，是酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员向大会提交的第十三次报告，也是本项任务执行人提交的第一次报告。","2. 特别报告员提请注意他呈送人权理事会的报告(A/HRC/16/52)；在该报告中，他概述了自己在特别报告员任期内的愿景、工作方法和优先事项。","二. 与任务有关的活动","3. 以下是特别报告员自其向人权理事会提交报告(A/HRC/16/52和Add.1-6)以来根据任务规定所开展活动的小结。","关于侵犯人权行为的来文","4. 在2010年12月1日至2011年7月1日期间，他向18国政府发出20封酷刑指控函，并为可能遭受酷刑或其他形式虐待的个人向48国政府发出95份紧急呼吁。同期收到82份答复。","国别访问","5. 关于实况调查团，原计划于2011年5月对吉尔吉斯斯坦进行国别访问，但该国政府以正在发生的政治事态为由要求延期。吉尔吉斯共和国政府在2011年7月28日的信中提议，在2011年8月下旬进行国别访问。特别报告员对此邀请表示欢迎，但因是临时通知，因此在提交本报告时正与该国政府商量其他可能的日期。他接受了伊拉克政府请他于2011年10月访问该国的邀请。他还被邀请去访问巴林并正与该国政府商量日期。除了将要提出的国别访问要求外(见A/HRC/16/52，第6段)，特别报告员已要求就西撒哈拉问题访问摩洛哥。","6. 特别报告员于2011年5月15日至22日访问了突尼斯。他与临时政府分享了他的初步调查结果，并于5月22日发布新闻谈话稿，对该国政府向他提供全面合作表示感谢。他指出，该国政府已采取一系列积极步骤来确保问责制和长期改革。但他认为，在期待制宪大会选举时的那种“观望态度”可能会妨碍在清算过去和最近的侵权行为方面采取大胆和积极步骤的可能性。特别报告员强调，应确保对被控实施酷刑和虐待的人进行迅速、有效和独立的刑事调查，并应启动行政方案，以对过去和最近的侵权行为受害者提供补救和赔偿服务。有关访问突尼斯的报告将提交给定于2012年3月举行的人权理事会第十九届会议。","关键的新闻谈话稿","7. 特别报告员发布了下列新闻谈话稿(其中有许多是与其他任务执行人联合发表的声明)：","• 2010年12月31日——对在科特迪瓦总统选举期间可能发生的或可能仍在发生的强迫或非自愿失踪、任意拘留、法外处决、即审即决或任意处决事件及性暴力行为表示严重关切。","• 2011年1月14日——在官方确认至少有21人死亡之后，敦促突尼斯政府控制对和平示威使用武力。","• 2011年2月3日——关于在白俄罗斯、埃及和突尼斯的公众骚乱和在镇压和平示威时据称施加的酷刑或残忍、不人道或有辱人格的待遇。","• 2月17日——敦促埃及过渡政府设立独立调查组调查在该国革命期间发生的侵犯人权行为，并有权将人名和证据转递有关当局提起公诉。","• 2月18日——敦促巴林政府和阿拉伯利比亚民众国政府保障和平抗议的权利，并立即停止使用过度和致命武力。","• 2月22日——关于对阿拉伯利比亚民众国境内正在发生的严重侵犯人权行为表示严重关切的人权维护者的境况。","• 3月3日——谴责在也门发生的对抗议者的暴力镇压，并敦促该国政府停止把过度使用武力作为结束持续不断抗议的手段。","• 3月22日——对在巴林首都麦纳麦发生越来越多的严重侵犯人权事件表示关切。","• 4月1日——对科特迪瓦境内发生的严重侵犯人权行为表示关切，包括可能构成国际罪行的强迫失踪、法外杀戮、杀害和残害儿童及性暴力，并表示，特别报告员和其他任务执行人全力支持安全理事会第1975(2011)号决议。","• 4月11日和7月12日——尽管他一再要求探访一等兵布拉德利·曼宁，但是美利坚合众国政府仍未给予他不受监督地接触该被拘留者的机会，对此他表示沮丧。不受约束的接触问题不局限于该案例，还涉及特别报告员如果对美国进行国别访问时是否能与被拘留者进行私下和不受监督的面谈。","• 4月15日——谴责阿拉伯叙利亚共和国境内死亡人数不断增加和残酷镇压和平抗议者、记者和人权维护者，尽管该国政府保证进行改革和协商，以结束长达48年的紧急状态统治。","• 7月1日——敦促美国政府停止对德克萨斯州的Humberto Leal García 执行排定的处决。","关键演讲/协商/培训课程的要点","8. 特别报告员于2011年2月8日至9日参加了大赦国际在伦敦主办的一次会议，讨论“发展对酷刑进行询问和调查的国际最佳做法”。他还向特别引渡问题全党派议会小组作了讲话。","9. 2月22日，他在美洲法证科学学院第六十三届年会作了关于“记录拘留条件、酷刑和虐待的国际框架和机制”的发言。","10. 2月28日，他在华盛顿市会见了美利坚合众国国务院和国防部的高级官员，在4月22日再次拜访国防部，讨论共同关心的问题。","11. 3月6日至10日，特别报告员在日内瓦出席人权理事会第十六届会议，会见了伊拉克、吉尔吉斯斯坦、墨西哥、泰国和美国等国的大使。他还会见了人权理事会所有区域小组，但非洲小组除外，因为很遗憾无法与该小组排定会见日期。","12. 3月16日和17日，他在华盛顿市会见了禁止酷刑委员会主席、防范酷刑和其他残忍、不人道或有辱人格待遇或处罚小组委员会副主席、美洲人权委员会被剥夺自由人员的权利问题报告员、欧洲防止酷刑委员会的一名代表和非洲人权和人民权利委员会被拘留人员问题特别报告员。该次会见是美国大学华盛顿法律学院和防止酷刑协会联合组办的，以讨论如何加强这些机制之间的工作关系。","13. 3月18日至20日，特别报告员在旧金山大赦国际美国分部的年度大会和五十周年纪念会议上发表了两次讲话。","14. 2011年6月1日，他在由几个宗教团体在华盛顿市组办的一次活动中作了主旨发言，题目是：“今天的问责制：防止明天的酷刑”。","15. 6月15日至17日，特别报告员在荷兰政府支持下在智利圣地亚哥主持了一次关于酷刑的美洲国家区域协商会议。这次区域协商会议是在防止酷刑协会、法律和社会中心、人力公司、人权和性别公正区域中心、人权联系会的协助下组办的，为来自12个国家的政府、国家机构和民间社会组织提供了一个机会，以讨论在国别访问之后所提出建议的后续行动和加强防范酷刑和虐待的地方和区域保护机制。","16. 6月20日，他在圣地亚哥会见了智利外交部外交政策总干事。","17. 6月27日至7月1日，特别报告员在日内瓦参加了特别报告员第十八次年会。他还会见了伊拉克、吉尔吉斯斯坦、荷兰、俄罗斯联邦、突尼斯和美利坚合众国等国政府的代表。","18. 7月7日，他在巴西利亚会见了巴西政府人权部长。","三. 单独监禁","A. 对根据任务规定所开展工作的概述","19. 在他作为特别报告员提交的第一次报告中(A/HRC/16/52，第70段)，他认识到，“长期单独监禁是否……在本质上构成残忍、不人道或有辱人格的待遇或处罚的问题在人权理事会引起了很多争论和讨论”；他认为，“国际社会作为一个整体将从冷静和理性地讨论这一问题中受益”。","20. 特别报告员接到投诉，指称一些国家在以国家安全为由进行行政拘留时使用单独监禁或将单独监禁作为打击有组织犯罪的一种手段，以及在作移民拘留时使用单独监禁。他作此项研究是因为他发现，单独监禁的做法具有全球性，并易于被广泛滥用。特别是，一些国家所施行的社会隔离和感觉剥夺的做法在某种情况下构成残忍、不人道和有辱人格的待遇甚至是酷刑。","21. 特别报告员的前任已指出，长期单独监禁本身可能就构成受禁止的虐待或酷刑(E/CN.4/1999/61，第394段和E/CN.4/2003/68，第26(m)段)。","22. 《关于使用单独监禁及其影响的伊斯坦布尔声明》作为附件列入了前任特别报告员提交大会的2008年临时报告(A/63/175，附件)。该报告的结论是：“长期隔离被拘留者可能构成残忍、不人道或有辱人格的待遇或刑罚，在某些情况下，可能构成酷刑。……应将单独监禁的使用保持在最低限度；在非常特殊的情况下，在尽可能短暂的时间内使用，并仅作为最后手段。无论使用的具体情况如何，都必须努力提高囚犯社会接触的水平：囚犯与监狱工作人员接触，允许与其他囚犯一起搞社交活动，允许更多探访，并提供心理健康服务”(A/63/175，第77段和第83段)。","B. 单独监禁的历史和当前的做法","23. 有关对被拘留者使用单独监禁的历史有据可查。这种做法可追溯到1820年代的美利坚合众国，当时人们相信隔离囚犯的做法有助于实现改造。在这种模式下，囚犯整天独处一室，大多数情况下是在囚室内，即使工作时也如此，以反省自己的犯罪过程，从而规避外部的消极影响。从1830年代开始，欧洲和南美洲国家采用了这种做法(A/63/175，第81段)。必须认识到，200年前这个模式是在处罚方面的一种社会和道德上进步的方式，因为这种做法强调了改造，并试图以此取代死刑、切割四肢和当时流行的其他惩罚手段。","24. 世界各国继续广泛使用单独监禁(A/63/175，第78段)。在一些国家，超级最高安全监狱把对囚犯施用单独监禁视作正常而不是“例外”的做法，这被认为是有问题的。例如在美国，估计有2万至2.5万人被单独拘押。[1] 另一个例子是，在审前拘留中广泛使用单独监禁；许多年来这一直是斯堪的纳维亚监狱做法的一个有机组成部分。[2] 几乎所有地方都把与监狱其他囚犯相隔离的做法作为惩罚破坏监狱纪律的一种手段。现在许多国家更为经常地使用单独监禁，持续的时间也更长。例如在巴西，2003年第10792号法令修正了现行的“刑法执行法”，设想出一个可长达360天的单个囚室的“区别”纪律处分制度，同时不妨碍因新的犯罪而延长相似的持续时间，最高可达刑期的六分之一。阿根廷布宜诺斯艾利斯省于2010年启动了一个防止监狱暴力行为方案，其中包括至少9个月的隔离(最初3个月为全面隔离)，根据监狱监测员的说法，这个期限往往还会延长。","C. 定义","25. 现在尚未有对单独监禁的得到普遍商定的定义。《关于使用单独监禁及其影响的伊斯坦布尔声明》把单独监禁定义为：对个人的人身隔离，将其关在囚室中每天长达22至24小时。在许多司法管辖区中，允许被单独监禁的囚犯每天走出囚室单独放风一小时。与其他人有意义的接触通常被减少至最低程度。刺激的减少不仅是在数量上，而且还在质量上。仅有的刺激和偶尔的社会接触很少能由其自由选择，通常十分单调且不具移情作用。","26. 单独监禁也被称为“分隔”、“隔离”、[3] “分离”、“蜂窝”、[4] “锁定”、“超级最高级”、“牢洞”或“安全住房单位”，[5] 但所有这些名词都涉及不同的因素。为本报告的目的，特别报告员将单独监禁定义为：对个人的人身和社会隔离，将其关在囚室中每天长达22至24小时。让特别报告员特别感到关切的是长期单独监禁，他对此的定义为：任何超过15天的单独监禁。他知道，要确定一个早已有害的制度从何时转变为长期因而造成不可接受的痛苦的时间点是具有任意性的。他的结论是，15天是“单独监禁”和“长期单独监禁”之间的界限，因为根据所查看的文献资料，在这一个时间点上，隔离造成的某些有害的心理影响就可能变得不可逆转了。[6]","D. 法律框架","27. 国际和区域人权机构在解决造成被拘留者社会和人身隔离的基本条件方面及在确定这种做法是否构成酷刑或残忍、不人道或有辱人格的待遇或处罚方面采取了不同的方法。例如，虽然欧洲人权法院经常面对单独监禁问题，但最为广泛地处理与禁止与外界接触的拘押相关现象的机构则是联合国人权事务委员会和美洲人权法院。为本报告的目的，特别报告员将只重点介绍全球性和区域人权机构就单独监禁问题所开展的工作。","1. 国际一级","联合国大会","28. 1990年，大会通过了第45/111号决议，《囚犯待遇基本原则》。原则7规定，应努力废除或限制使用单独监禁作为惩罚的手段，并鼓励为此而作出的努力。","29. 同一年，大会通过第45/113号决议，《联合国保护被剥夺自由少年规则》。大会在第67段中主张：“应严格禁止任何构成残忍、不人道或有辱人格的待遇的惩戒措施，其中包括……单独监禁或任何其他有害有关少年身心健康的惩罚”。","联合国条约机构","30. 人权事务委员会在其第20号一般性意见第6段中指出，对被拘留者或囚犯的长期单独监禁可能构成《公民及政治权利国际公约》第7条所禁止的行为。[7] 在其对卢旺达的结论性意见中，人权事务委员会建议：“缔约国应结束判处单独监禁的做法……”(CCPR/C/RWA/CO/3，第14段)。","31. 禁止酷刑委员会认识到长期单独监禁对身心的有害影响，并对将长期单独监禁作为审前拘留期间的一项预防措施和纪律处分措施表示关切。委员会建议废除使用单独监禁，特别是在审前拘留期间，或至少由法律作出严格和具体规范(最长持续时间等)，在司法监督下实施，并只在特殊情况下使用，如涉及人员安全之时(A/63/175，第80段)。委员会建议，不应对18岁以下人员使用单独监禁(CAT/C/MAC/CO/4，第8段)。","32. 防范酷刑和其他残忍、不人道或有辱人格待遇或处罚小组委员会指出，长期单独监禁可能构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为，并建议在涉及未成年人或心智残障人员的案件中不使用单独监禁(CAT/OP/PRY/1，第185段)。小组委员会还建议，应由医官每天探访被单独监禁的囚犯，但有一项谅解，即这类探访应对该囚犯的健康有益。此外，被单独监禁超过12小时的囚犯应每天至少有1个小时可呼吸新鲜空气(CAT/OP/PRY/1，第 184段)。鉴于单独监禁的条件，小组委员会指出，应向所有囚犯提供床和合适的床垫，包括被单独监禁的囚犯(CAT/OP/HND/1，第227(a)段和CAT/OP/PRY/1，第280段)。","33. 儿童权利委员会在其第10号一般性意见(2001年)中强调，“必须严格禁止违反《儿童权利公约》第37条的纪律处分措施，包括……禁闭或单独监禁，或可能伤害有关儿童身体或精神健康或福祉的其他任何处罚”(CRC/C/GC/10，第89段)。此外，委员会敦促各缔约国禁止并废除对儿童使用单独监禁(CRC/C/15/Add.151，第41段；CRC/C/15/Add.220，第45(d)段；CRC/C/15/Add.232，第36(a)段)。","2. 区域一级","欧洲人权法院","34. 欧洲人权法院在评价单独监禁案件时审议了国家提出的施行社会和人身隔离的理由。法院裁定违反了《欧洲人权公约》第3条，因为国家没有为使用单独监禁提供以安全为基础的正当理由。[8] 至于长期单独监禁问题，法院认为，必须向个人解释使用单独监禁的理由，并随着时间的推移，这种理由“必须越来越详细和越来越紧迫”。[9]","35. 通过其判例法，欧洲人权法院强调，在施行单独监禁期间某些程序保障措施必须到位，例如监测囚犯的身体健康，⁹ 特别当这个人身体不好时更应如此，[10] 并有机会获得司法复核。[11]","36. 欧洲人权法院在评估人身和精神隔离个案是否构成酷刑或残忍、不人道或有辱人格的待遇或处罚时依据的一个关键因素就是对个人所施行的隔离的程度。长期绝对禁止监狱以外个人来访的做法造成的痛苦“明显超越拘留所固有的无可避免的程度”。[12] 但是，只要个人可以接待来访者和写信，[13] 可以看电视、看书和看报纸，以及与监狱工作人员经常接触[14] 或能定期探访神职人员或律师，[15] 这种隔离就是“局部”隔离，未到达严重程度的最低限度门槛，即未到达欧洲人权法院判定违反《欧洲人权公约》第3条所必需的最低限度门槛。但法院强调，即使施行的是局部隔离，也不能对囚犯无限期地施行单独监禁。[16]","美洲人权体系","37. 美洲人权体系有关单独监禁的判例比上面所讨论的机构更具结论性。自其最早的判决以来，美洲人权法院就判定，监狱制度的某些要素和监狱某些物质条件本身就构成残忍和不人道待遇，因此违反了《美洲人权公约》第5条，因为该条款承认人的完整性权利。例如法院主张，“长期隔离和剥夺交流机会的做法本身就是残忍和不人道的待遇，伤害了人的心理和道德完整性，违反了被拘留者尊重作为人所固有的尊严的权利”。[17] 法院还讨论了拘留的物质条件，强调“在狭小、无通风和无自然光的囚室内的隔离，……[以及]对探访权的限制……，构成残忍、不人道和有辱人格的待遇的形式”。[18]","38. 法院还认识到，单独监禁导致心理和身体上的痛苦，而这种痛苦可能会促成构成酷刑的待遇。法院至少在一个案件中确认了单独监禁的物质条件，包括“狭小、无通风或无自然光的囚室”，以及被拘留者“每天被关23个半小时……，[和]每月只允许见其亲属一次并不得与他们有身体接触”的监狱制度，当这些条件与其他形式的身体和心理侵害结合在一起时就有可能构成身体和心理酷刑。[19]","39. 法院在对单独监禁进行分析时指出，即使在特殊情况下使用时，程序保障措施仍必须到位。例如，“国家有义务确保被拘留者享受《[美洲]公约》所规定的最低限度和非减损保证，具体而言就是，有权质问拘留的合法性及保证被拘留者在被监禁期间的得到有效辩护”。[20] 同样，美洲人权委员会一贯主张，对被拘留者采取的所有形式的纪律处分行动都必须符合正当法律程序的准则并提供司法复核的机会。[21]","E. 国家使用单独监禁的理由","40. 国家为使用单独监禁提出的理由可分成五大类：","(a) 处罚人(作为司法判刑的一部分或作为纪律处分制度的一部分)；","(b) 保护易受伤害的人；","(c) 便利监狱对某些人的管理；","(d) 保护或促进国家安全；","(e) 便利起诉前或审前调查。","41. 作为对个人司法判刑的一部分而施行单独监禁的做法往往发生在犯下特别严重的罪行或对国家犯下罪行的情况下。[22] 例如在某些中欧国家，被判定犯下谋杀或强奸罪的人被判处在单独监禁的情况下服刑(A/64/215，第53段)。在其他国家，例如在蒙古国，死刑可改判为无期徒刑，以单独监禁的方式服刑(E/CN.4/2006/6/Add.4，第47段)。在监狱里将单独监禁作为纪律处分措施使用也是有案可查的，这也许是把单独监禁作为一种处罚形式加以使用的最普遍的理由。²² 纪律处分措施通常涉及违反监狱的规则。例如在尼日利亚，被拘留者会因违纪行为受到多至3天的单独监禁处罚(A/HRC/7/3/Add.4，附文一，第113段)。同样，在印度尼西亚的阿贝普拉监狱，作为纪律处分措施可对违反监狱规则的人处以多至8天的单独监禁(A/HRC/7/3/Add.7,附文一，第37段)。","42. 单独监禁还用于分离易受伤害的个人，包括青少年、残疾人，以及女同性恋、男同性恋、双性恋和变性者，以对他们提供保护。他们可能自己要求或经监狱官员的斟酌而被单独监禁。[23]","43. 国家官员还把单独监禁作为管理某些监狱人口的工具。被确认具有危险性的人，如帮派成员，或逃跑风险较大的人可能会被单独监禁。²³ 同样，被确认具有被伤害风险的人，如性犯罪者、告密者，以及前惩教或执法人员，往往被允许或鼓励选择自愿单独监禁，以保护他们不受同室囚犯的伤害。[24] 为监狱管理的需要，在将囚犯转换囚室和拘留所之前、期间或之后也可能将囚犯置于某种形式的单独监禁。[25] 虽然单独监禁作为管理工具使用时其持续时间差别很大，但应注意到，这种使用是出于实用而不是惩处的动机。","44. 被确认为恐怖嫌疑犯或具有国家安全风险的人也往往被置于单独监禁。例如在赤道几内亚，“黑海滩监狱”某个由单人囚室组成的部分专用于对高安全囚犯施行单独监禁(A/HRC/13/39/Add.4,附文一)。单独监禁也可用作强制性审讯手段，并往往是强迫失踪或禁止与外界接触的羁押的有机组成部分(A/63/175,附件)。正如在上文第40段a类中所指出的，国家安全也是司法判决后施行单独监禁的首要原因。例如在中国，一个因“向中国境外实体非法提供国家秘密或情报”而被判刑的人在她8年的刑期中据称有2年被置于单独监禁(E/CN.4/2006/6/Add.6,附文2，第26段)。","45. 国家还在起诉前或审前拘留期间利用单独监禁孤立个人。在一些国家，例如丹麦，把人置于单独监禁是审前拘留的常规做法(A/63/175,第78(i)段)。起诉前和审前拘留期间使用单独监禁的目的差异很大，包括防止被拘留者混杂，以避免发生道德败坏和勾结行为，以及对被拘留者施加压力以使其合作或坦白。[26]","F. 单独监禁的条件","46. 对监狱和对被关押囚犯的条件的管理受监狱条例和国家法律，以及国际人权法的制约。经济及社会理事会于1957年通过的《联合国囚犯待遇最低限度标准规则》补充并诠释了因以条约为基础或作为习惯国际法组成部分而具有约束力的基本准则。虽然《最低限度标准规则》并无直接的约束力，但已被广泛接受作为人道对待囚犯的普遍准则。","47. 被置于单独监禁下的拘留者所处的特定条件因机构和司法管辖区的不同而不同。但大多数有一些共同的物质条件和非物质条件(或监狱制度)。","1. 物质条件","48. 与单独监禁有关的主要物质条件是囚室的大小、是否有窗子和电灯，以及是否有用于个人卫生的固定卫生设备。实际上，单独监禁囚室通常都具有某些共同特征，包括：位于监狱的独立或偏远之处、窗子狭小或部分被遮盖、空气不流通、光秃秃的外观和沉闷的色彩、钉在地板上的增韧纸板或其他以防拨弄的家具，以及狭小无趣的健身笼或院子(E/CN.4/2006/6/Add.3,第47段)。在某些司法管辖区，被单独监禁的囚犯会戴脚镣和受其他身体限制(A/HRC/13/39/Add.4,第76(f)段)。","49. 目前没有一项普遍文书对可接受的最低限度面积的囚室作出了规定，虽然国内和区域司法管辖机构有时对此事项作出裁决。根据欧洲人权法院在“Ramirez 诉法国”一案中的裁决，一个6.84平方米的囚室“足以”供单人居住。[27] 法院没有详细说明为什么这样的面积可被认为已足够；特别报告员以恭敬的态度表示自己有不同意见，特别是如果单人囚室还应至少包括马桶和梳洗设备、床和一张桌子。","50. 就单独监禁的被拘留者是否得到适当待遇而言，窗子和电灯的存在同样具有关键重要性。《囚犯待遇最低限度标准规则》第11条规定，应有充分灯光使被拘留者能够工作或阅读，不管是否有人工通风设备都应开一个窗口使空气流通。但国家的做法显示，这一标准往往得不到满足。例如在格鲁吉亚，发现单独监禁囚室的窗子开口有钢板焊接在外面的铁条上，限制了采光和通风(E/CN.4/2006/6/ Add.3,第47段)。在以色列，单独监禁囚室的唯一光源往往就是荧光灯泡，而且没有新鲜空气。[28]","51. 《最低限度标准规则》第12和第13条规定，拘留设施应提供足够的固定卫生设备供被拘留者保持个人卫生之用。因此，用于单独监禁的囚室应在室内安置马桶和洗脸盆。[29] 欧洲防止酷刑和不人道或有辱人格的待遇或处罚委员会在其2006年关于希腊的报告中指出，科莫蒂尼监狱的隔离囚室未能满足卫生设备的必要最低限度标准，因为被拘留者被迫将马桶当作洗脸盆使用。[30] 单独监禁的设置中还涉及其他环境因素，如温度、噪音水平、隐私，以及用于囚室家具的软质材料。","2. 监狱制度","52. 在评估单独监禁的条件时要顾及的监狱制度的主要方面包括，是否有户外运动和健身计划、在监狱里是否有人与人之间有意义的接触，以及是否能与外界接触。根据《囚犯待遇最低限度标准规则》第21条，只要天气合适，不参加户外工作的每一个囚犯每天应至少有1个小时在露天做适当的运动。同样，欧洲防止酷刑委员会强调，所有囚犯无一例外都应有机会每天在露天运动1个小时。[31] 但国家的做法表明，这些标准并非总能得到遵守。例如在约旦，一个被拘留者只被允许每周在户外呆1个小时(A/HRC/4/33/Add.3，附文，第21段)。在“Poltrotsky诉乌克兰”案中，欧洲人权法院判定，缺乏户外运动的机会再加上缺乏接触自然光的机会构成违法《欧洲人权公约》第3条的行为。[32]","53. 在监狱内有机会进行人与人之间有意义的接触和与外界的接触对于单独监禁的被拘留者的心理健康也至关重要，特别是对那些被长期关押的人而言更是如此。在监狱内，这类接触可以是与保健专业人员、狱警或其他囚犯的接触。与外界的接触包括法律顾问、家庭和朋友的探访、邮件和打电话，以及有机会阅读材料、看电视或听收音机。《公民及政治权利国际公约》第17条赋予囚犯接触家人和收发信件的权利。此外，《囚犯待遇最低限度标准规则》对各种外部刺激作了规定(关于体操和运动的第21条、关于同外界的接触的第37至第39条、关于书籍的第40条、关于宗教的第41和第42条、关于工作的第71至第76条、关于教育和娱乐的第77和第78条及关于社会关系和善后照顾的第79至第81条)。","3. 社会隔离","54. 单独监禁将有意义的社会接触降低到绝对最低限度。由此导致的对个人的社会刺激水平不足以维持一种合理的精神健康状态。[33]","55. 研究结果表明，一旦被剥夺足够水平的社会刺激，人很快就会无法对其环境维持适当的警觉和注意状态。事实上，甚至只要几天的单独监禁就可使人的大脑活动趋于具有精神恍惚和神志失常特点的不正常状态。[34] 新技术方面的进步使人们可以做到，在几乎无需进行人与人之间互动的情况下就可间接监督人和保持对人的密切监视。欧洲人权法院认为，“彻底的感官隔离再加上完全的社会隔离可能会摧毁个性，并构成一种不能以安全或任何其他理由来辩解的不人道待遇的形式。”[35]","56. 根据欧洲人权法院的意见，各国还应采取步骤减少单独监禁的负面影响。[36] 只要知道了单独监禁对某一特定个人的伤害性影响，就不得继续执行这种制度。[37] 在这方面，监禁的条件也是有关系的，因为当条件无可厚非时，法院认为，就不太可能越过可判定违反第3条的最低限度严重性门槛。[38] 让医生进行常规检查可作为确定是否存在违反第3条情事的一个因素。[39]","G. 长期或无限期单独监禁","57. 各司法管辖区都增加了使用长期或无限期单独监禁的频率，特别是以“反恐战争”和“对国家安全的威胁”为由。受这两种做法惩处的人可说是身处“监狱中的监狱”，因此忍受极端形式的焦虑和被排斥状态的煎熬，很明显这种做法取代了正常监禁。由于他们与世隔绝，被长期或无限期单独监禁的囚犯很容易就会滑出正义的视线，因此要保障他们的权利往往很困难，即使在强力坚持法治的国家里也是如此。[40]","58. 当一国在单独监禁的一个稍短期间内未遵守《囚犯待遇最低限度标准规则》时，可能会引起对不利影响是否构成残忍、不人道或有辱人格的待遇或处罚或酷刑的某种辩论。但是，单独监禁持续的时间越长或对持续时间的不确定性越大，对囚犯造成严重和不可逆转伤害的风险也就越大，而这可能会构成残忍、不人道或有辱人格的待遇或处罚或甚至是酷刑。","59. 未被告知单独监禁的期限而产生的不确定感加剧了受刑人的痛苦和苦难。在某些情况下，有的人会在审前拘留期间被无限期扣押，从而增加了其他形式残忍、不人道或有辱人格的待遇或处罚的风险(CAT/C/DNK/CO/5，第14段)。","60. 大多数研究报告未具体说明，单独监禁要持续多久之后才成为长期单独监禁。虽然刑期是不确定的，但被拘留者可能被单独监禁几个星期直至许多年。例如在哈萨克斯坦，可将人单独监禁2个月以上(A/HRC/13/39/Add.3，第117段)。一些被拘留者未经任何起诉和审判在秘密拘留中心被单独监禁多年，而在那些地方与世隔绝是审讯做法的一个有机组成部分。[41] 专家们在一份关于关塔那摩湾被拘留者状况的联合报告中指出，虽然隔离30天是被许可的最长期限，但是一些被拘留者在经历超过18月的隔离后隔了很短时间就又重被隔离(E/CN.4/2006/ 120，第53段)。","61. 目前没有有关单独监禁可允许最高限度总持续时间的国际标准。在“A.B.诉俄罗斯”案中，欧洲人权法院认为，将一个人以单独监禁方式拘留3年构成违反《欧洲人权公约》第3条的行为。[42] 相比较，据报道在美利坚合众国，路易斯安那州一所监狱在2名囚犯试图对自己的监禁条件提出司法上诉未果之后将他们单独监禁了40年。[43] 正如本报告第26段所述，特别报告员认为，单独监禁超过15天即成为长期单独监禁。","H. 单独监禁造成的心理和生理影响","62. 单独监禁只要施行几天就会对健康产生负面影响，而单独监禁每延长一天，健康风险也会随之增加。对单独监禁的影响作过调查的专家们发现了单独监禁固有的3个共同要素：社会隔离、最小的环境刺激和“最少的社交机会”。[44] 研究结果进一步显示，单独监禁似乎会造成“精神错乱性不安”，这是一种被称为“监狱精神病”的综合征。[45] 症状可包括焦虑、忧郁、愤怒、认知障碍、知觉扭曲、偏执和精神病及自残(见附件所载的全面症状清单)。","63. 一些人经历无关联的症状，而另一些人则会经历“已存在的精神状态的严重恶化或出现以前从未见到过的精神疾病”。[46] 不管具体条件是什么，不管在何时何地，也不管曾有过何种个人因素，都会有为数不少的人经历严重的健康问题。","I. 单独监禁的潜在影响","64. 目前缺乏对单独监禁潜在影响的研究。虽然在单独监禁期结束后，单独监禁的急性效应一般会消退，但对健康的某些负面影响会长期存在。在单独监禁期间经历的最小刺激状态可在7天后导致人的大脑活动减少。一项研究发现，“多至7天，[大脑活动的]减少尚可逆转，但如果被剥夺的时间很长，那就不一定了”。[47]","65. 研究发现，在经历隔离而释放了很长时间之后仍有持续睡眠障碍、忧郁、焦虑、恐惧、情感依赖、精神错乱、记忆力和注意力减退等症状。此外，长久的个性改变往往会使那些曾被单独监禁的人社会生活贫乏、孤僻，对被迫进行社会交往感到不快和恐惧。[48] 在经过一段时间的单独监禁后就不愿意进行社会交往，这种障碍往往使人无法顺利调整生活以与监狱里的众人交往，并严重影响他们在刑满释放后重新融入社会的能力。[49]","J. 易受伤害的人","1. 青少年","66. 联合国各条约机构一致建议，不应对少年犯、儿童或未成年人施行单独监禁(CAT/C/MAC/CO/4,第8段；CAT/OP/PRY/1,第185段；CRC/C/15/Add.151,第41段；以及CRC/C/15/Add.232,第36(a)段)。对青少年施行单独监禁往往是作为纪律处分措施或为了把他们与成年囚犯隔离，因为国际人权法禁止让青少年和成年囚犯混居。[50] 令人遗憾的是，单独监禁作为对被拘留青少年的一种处罚形式在一些国家一直很普遍，如牙买加(A/HRC/16/52/Add.3,第211段)、巴拉圭(A/HRC/7/3/Add.3,附文一，第46段)和巴布亚新几内亚(A/HRC/16/52/Add.5,附文)。至于纪律处分措施，有一份报告指出，单独监禁并不能减少青年监狱内被拘留少年犯之间的暴力行为。[51]","2. 残疾人","67. 一些司法管辖区把对残疾人的单独监禁作为适当的医疗或精神病护理来用，或因为缺乏其他拘留设施。这些人不一定对其他人或对他们自己构成威胁，但他们易受虐待，并往往被视作是对其他囚犯和监狱工作人员的一种干扰。[52]","68. 研究表明，对精神残疾而言，单独监禁往往导致以前存在的精神状况严重加剧。[53] 具有精神健康问题的囚犯一被隔离病情就会急剧恶化。[54] 单独监禁的不利影响对具有严重精神健康问题的人造成的后果特别明显，其特点通常是精神病症状和/或明显的功能障碍。[55] 一些人会采取极端行动，如自残，甚至自杀。⁵⁴","3. 女同性恋、男同性恋、双性恋和变性者","69. 单独监禁作为一种“保护性羁押”形式经常施行于女同性恋、男同性恋、双性恋和变性者。[56] 虽然出于安全考虑，将女同性恋、男同性恋、双性恋和变性者进行隔离是必要的，但女同性恋、男同性恋、双性恋和变性者的地位并不能成为限制他们的社会行为(如接触娱乐活动、阅读材料、法律顾问或医生的机会)的理由。","K. 当单独监禁构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时","70. 由于缺乏证人，单独监禁增加了酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为的风险。鉴于单独监禁会对健康造成严重不利影响，单独监禁的使用本身就可构成《公民及政治权利国际公约》第7条所禁止的行为、《禁止酷刑公约》第1条所定义的酷刑或该公约第16条所定义的残忍、不人道或有辱人格的处罚。","71. 在评估单独监禁是否构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时应以个案为基础考虑所有相关情况。这些情况包括施行单独监禁的目的、条件、该待遇的持续时间和影响，当然还包括使每一个受害者多多少少更易于受这种影响伤害的主观条件。报告在本节中讨论单独监禁的使用构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚的一些情况。","72. 在出于处罚的目的而使用单独监禁时，则不管提出什么样的理由都无法证明这种做法是正当的；这正因为单独监禁施加的严重精神痛苦和苦难超过了对犯罪行为的任何合理惩罚，因而构成了《禁止酷刑公约》第1条或第16条所定义的行为，违反了《公民及政治权利国际公约》第7条。这也适用于因违反监狱纪律而施行单独监禁时的情况，只要受害人经历的痛苦和苦难达到必要的严重性。","73. 虽然在刑事调查期间在某些情况下也许必须施行人身和社会隔离，但是在审前拘留期间施行单独监禁的做法造成了事实上的心理压力状况，可能对被拘留者产生影响，使之坦白或作出对别人不利的供述，破坏调查工作的完整性。在审前拘留期间为获取信息或促使坦白而蓄意将单独监禁作为一种手段加以使用的做法构成《禁止酷刑公约》第1条所定义的酷刑或第16条所定义的残忍、不人道或其他有辱人格的待遇或处罚，违反《公民及政治权利国际公约》第7条。","74. 当单独监禁的物质条件非常贫乏、制度非常严厉，导致对受刑人造成严重精神和身体痛苦或苦难时，单独监禁的条件就构成了《禁止酷刑公约》第1条和第16条所定义的酷刑或残忍和不人道的待遇，违反了《公民及政治权利国际公约》第7条。","75. 只有在特殊情况下才可接受使用单独监禁，其持续时间必须尽可能短，并以适当方式宣布和通报一个确定的期限。鉴于无限期单独监禁的有害影响，有可能在审前拘留期间被用来获取信息或促使坦白，以及不确定性使人们无法采用补救措施对其进行质疑，因此特别报告员判定，无限期施行单独监禁的做法侵犯了有关个人的正当法律程序权(《公民及政治权利国际公约》，第9条)，违反了《禁止酷刑公约》第1条和第16条及《公民及政治权利国际公约》第7条。","76. 特别报告员声明，社会隔离的做法违背《公民及政治权利国际公约》第10条第3款；该款规定“监狱制度应包括以争取囚犯改造和社会复员为基本目的的待遇”(大会第2200(XXI)号决议，附件)。长期隔离无助于使被拘留者复员或重新社会化(E/CN.4/2006/6/Add.4,第48段)。长期单独监禁的急性和潜在的心理和生理不利影响构成严重精神痛苦或苦难。特别报告员因此赞同禁止酷刑公约在第20号一般性意见中所采取的立场，即长期单独监禁构成《公民及政治权利国际公约》第7条所禁止的行为，因而构成《禁止酷刑公约》第1条或第16条所定义的行为。出于这些理由，特别报告员重申，他认为，根据有关情况，施行单独监禁超过15天即构成酷刑或残忍、不人道或有辱人格的待遇或处罚。他呼吁国际社会就这样一个标准达到一致意见，并严厉禁止施行连续15天以上的单独监禁。","77. 关于青少年，《儿童权利宣言》和《儿童权利公约》序言部分声明，鉴于青少年身心尚未成熟，他们需要特殊的保护和照料，包括法律上的适当保护。《儿童权利公约》(大会第44/25号决议)第19条要求缔约国“采取一切适当的立法、行政、社会和教育措施，保护儿童……不致受到任何形式的身心摧残……”。儿童权利委员会在其第8号一般性意见中表明，“不存在模棱两可的情况：‘任何形式的身心摧残’没有为对儿童任何程度的摧残的合法化提供任何空间”(CRC/C/GC/8，第18段)。1990年12月14日通过的大会题为“联合国保护被剥夺自由少年规则”的第45/113号决议第67段规定，“应严格禁止任何构成残忍、不人道或有辱人格的待遇的惩戒措施，包括……单独监禁或任何其他有害有关少年身心健康的惩罚”(又见CRC/C/GC/10，第89段)。特别报告员因此认为，对青少年施行单独监禁的做法，不管持续时间多寡，都是残忍、不人道或有辱人格的待遇，违反《公民及政治权利国际公约》第7条和《禁止酷刑公约》第16条。","78. 《公民及政治权利国际公约》第10条所保障的心智残障人享有的人道及尊重其固有的尊严的权利应根据大会于1991年12月17日通过的“保护精神病患者和改善精神保健的原则”(大会第46/119号决议，附件)加以诠释。鉴于他们智力受损，而单独监禁又往往严重恶化以前已存在的精神状态，特别报告员因此认为，不管持续时间多寡，对心智残障人施行单独监禁的做法是残忍、不人道或有辱人格的待遇，违反《公民及政治权利国际公约》第7条和《禁止酷刑公约》第16条。","四. 结论和建议","结论","79. 特别报告员强调，单独监禁是一种严酷的措施，不管其具体条件如何都可能对人造成严重的心理和生理不利影响。他判断，单独监禁违背监狱制度的一个基本目的，即改造罪犯和帮助他们重新融入社会。特别报告员将长期单独监禁定义为任何持续时间超过15天的单独监禁。","80. 根据施行的具体理由、条件、持续时间、影响和其他情况，单独监禁可构成违反《公民及政治权利国际公约》第7条，以及构成《禁止酷刑公约》第1条或第16条所定义的行为。此外，使用单独监禁会增加酷刑和其他残忍、不人道或有辱人格的待遇或处罚在不易被侦测和不受质疑的情况下大行其道的风险。","81. 考虑到在审前拘留期间将单独监禁作为一种惩罚手段无限期或长期施行于青少年或心智残障人可能造成的严重精神痛苦或苦难，这种做法可能构成酷刑或残忍、不人道或有辱人格的待遇或处罚。特别报告员认为，只要单独监禁的物质条件和监狱制度未达到尊重人的固有尊严的水平并造成严重精神和身体痛苦或苦难，就构成残忍、不人道或有辱人格的待遇或处罚。","建议","82. 特别报告员呼吁各国，在维持拘留场所的安全和秩序的同时要尊重和保护被剥夺自由的人的权利。他建议各国定期审查单独监禁制度。在这方面，特别报告员重申，各国应参照《关于使用单独监禁及其影响的伊斯坦布尔声明》，把它作为一个有用的工具，以努力促进尊重和保护被拘留者的权利。","83. 特别报告员呼吁各国确保以人道方式对待所有被剥夺自由的人，并尊重受《公民及政治权利国际公约》第10条第1款保护的人的固有尊严。特别报告员提及《囚犯待遇最低限度标准规则》，并建议各国提高被单独监禁的被拘留者有意义的心理社会接触水平。","84. 特别报告员敦促各国禁止将单独监禁作为惩罚手段加以施行，不管是作为司法判刑还是纪律处分措施的组成部分。他建议各国拟订和执行替代性纪律制裁措施，以避免使用单独监禁。","85. 各国应采取必要步骤，结束在审前拘留期间使用单独监禁的做法。在审前拘留期间将使用单独监禁作为逼供技术的做法应予废除。各国应在审前阶段采取有效措施，改善调查工作的效率，引入替代性控制措施，以分离个人、保护正在进行的调查工作及避免被拘留者串通。","86. 各国应取消对青少年和心智残障人使用单独监禁。关于对青少年的纪律处分措施，特别报告员建议各国采取不涉及使用单独监禁的其他措施。关于对心智残障人使用单独监禁的问题，特别报告员强调，在某些情况下，为了他们自身的安全人身隔离也许是必要的，但是仍应严格禁止单独监禁。","87. 应取消无限期单独监禁。","88. 很明显，短期单独监禁可能构成酷刑或残忍、不人道或有辱人格的待遇或处罚；但是，在其他情况下这种做法可能是合法的手段，条件是必须有足够的保障措施。特别报告员认为，应绝对禁止超过15天的长期单独监禁。","89. 特别报告员重申，单独监禁应只在非常特殊的情况下使用，仅作为最后手段，持续时间应尽可能短。他强调，在特殊情况下使用单独监禁时，必须遵循最低程序保障措施。这些保障措施会降低任意或过度使用单独监禁，例如在长期或无限期监禁的情况下。在正当程序保护有限的拘留情况下，例如行政移民拘留，这种保障措施就更为重要了。应以尽可能给被拘留者的权利以最大保护的方式来诠释最低限度程序保障措施。在这方面，特别报告员敦促各国应用下列指导原则和程序保障措施。","指导原则","90. 在整个拘留期间，单独监禁的物质条件和监狱制度，尤其是监禁的持续时间，必须与单独监禁所针对的犯罪或违纪行为的严重程度相当。","91. 必须在限制性较少的措施无法达到预期纪律处分目标的时候才可作为最后手段施行单独监禁的物质条件和监狱制度。","92. 绝不可施行或允许继续施行单独监禁，除非能肯定地确定，单独监禁不会造成身体或精神上的严重痛苦或苦难，不会导致产生《禁止酷刑公约》第1条或第16条所定义的行为。","93. 必须清楚地记载与施行单独监禁有关的所有评估和决定，并可随时提供给被拘留者和他们的法律顾问。这包括施行单独监禁的当权者的身份和头衔、其施行单独监禁的法律属性的来源、说明施行单独监禁的正当理由的声明、持续时间、说明根据被拘留者的精神和身体健康状况确定单独监禁是合适的理由、说明确定单独监禁对违规行为是相当的理由、有关定期审查单独监禁的理由的报告，以及对被拘留者精神和身体健康的医疗评估。","内部保障措施","94. 从施行单独监禁之时开始，在对单独监禁进行复核和作出延长或终止单独监禁决定的所有阶段中，都应记录单独监禁的理由和持续时间，并向被拘留者公布。此外，被拘留者应被告知，他们若想免除单独监禁必须做些什么。根据《囚犯待遇最低限度标准规则》第35条，被拘留者必须以其能理解的通俗易懂的语言得到此项信息。此外，这项信息必须提供给被拘留者的任何法定代表人。","95. 应有一个记录定期复核施行单独监禁的理由的系统。应以诚意并由一个独立机构进行复核。构成施行单独监禁理由的因素一发生变化就应立即触发对被拘留者的单独监禁的复核。必须记录所有复核流程。","96. 必须向被单独监禁者提供真实机会，以通过行政复核程序质疑单独监禁做法的性质及其基本理由。在开始施行单独监禁之时，必须告诉被拘留者他们因被指控犯下何种罪行或违纪行为而被施以单独监禁，并必须立即让他们有机会对其被拘留的理由提出质疑。在施行单独监禁之后，被拘留者必须有机会通过内部或行政投诉系统对监狱管理部门提出投诉。","97. 对请求或投诉不应施加任何限制，如请求得到精神或情绪上的受苦和身体上的受苦的证据。监狱官员有义务及时处理所有请求或投诉，并将结果通知被拘留者。所有内部行政结论都必须通过司法程序接受外部上诉。","外部保障措施","98. 被单独监禁的被拘留者必须得到真实的机会，以通过法院来质疑单独监禁做法的性质及其基本理由。这就要求有权利就监狱主管当局和行政机构的所有最终决定向有权复核单独监禁的性质的合法性及其基本理由的独立司法机构提出上诉。之后，被拘留者必须有机会就这些判决向国家最高权力机关提出上诉；在用尽国内补救措施之后，可寻求由区域或全球性人权机构进行复核。","99. 在整个被单独监禁期间，个人都必须能自由接触合格的法律顾问。在需要便利被拘留者与其法律顾问进行完全和开放式沟通时，必须提供获得口译员的机会。","100. 根据《囚犯待遇最低限度标准规则》第32条第3款的规定，应有一个记录由合格医务人员在开始施行单独监禁之时和被拘留者在被单独监禁的整个过程中每天对囚犯的身体和精神状态进行定期监测和审查的系统。负责监测被拘留者的医务人员应有心理评估方面的专门培训和/或得到心理学专家的支助。此外，医务人员必须是独立的，并对监狱管理当局以外的主管机构负责。他们最好属于国家的一般卫生结构。囚犯在精神或身体状况方面的任何恶化都应触发一种假设，即监禁的条件是过度的，应立即进行复核。","101. 此外，医务人员应根据《囚犯待遇最低限度标准规则》第26条视察囚犯监禁的物质条件。有关考虑因素包括监所和囚犯的卫生和清洁；囚室的暖气、灯光和通风；衣服和被褥是否适当；食物和水的供应是否充分，以及有关身体锻炼的规则的遵守情况。","Annex:","Effects of solitary confinement","^(a) Sharon Shalev, A Sourcebook on Solitary Confinement, Mannheim Centre for Criminology, (2008), pp.15-17; also Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature, crime and justice, vol. 34, (2006), p.441.","Many symptoms may present themselves in individuals held in solitary confinement, both concurrent with their solitary confinement and after the period of solitary confinement has terminated. The following list prepared by Dr. Sharon Shalev ^(a) demonstrates a range of possible symptoms.","Anxiety, ranging from feelings of tension to full-blown panic attacks","• Persistent low level of stress","• Irritability or anxiousness","• Fear of impending death","• Panic attacks","Depression, varying from low mood to clinical depression","• Emotional flatness/blunting – loss of ability to have any ‘feelings’","• Mood swings","• Hopelessness","• Social withdrawal; loss of initiation of activity or ideas; apathy; lethargy","• Major depression","Anger, ranging from irritability to full-blown rage","• Irritability and hostility","• Poor impulse control","• Outbursts of physical and verbal violence against others, self and objects","• Unprovoked anger, sometimes manifested as rage","Cognitive disturbances, ranging from lack of concentration to confused state","• Short attention span","• Poor concentration","• Poor memory","• Confused thought processes; disorientation","Perceptual distortions, ranging from hypersensitivity to hallucinations","• Hypersensitivity to noises and smells","• Distortions of sensation (e.g., walls closing in)","• Disorientation in time and space","• Depersonalization/derealization","• Hallucinations affecting all five senses (e.g., hallucinations of objects or people appearing in the cell, or hearing voices when no one is actually speaking)","Paranoia and psychosis, ranging from obsessional thoughts to full-blown psychosis","• Recurrent and persistent thoughts (ruminations), often of a violent and vengeful character (e.g., directed against prison staff)","• Paranoid ideas – often persecutory","• Psychotic episodes or states: psychotic depression, schizophrenia","Self-harm,self-directed aggression","• Self-mutilation and cutting","• Suicide attempts","[1] Alexandra Naday、Joshua D. Freilich和Jeff Mellow，“The Elusive Data on Supermax Confinement”，The Prison Journal，第88卷，第1期，第69页(2008年)。","[2] Peter Scharff Smith，“The effects of solitary confinement on prison inmates: a brief history and review of the literature”，Crime and Justice，第34卷，第441页(2006年)。","[3] Jeffrey L. Metzner医生和Jamie Fellner,“Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”，The Journal of the American Academy of Psychiatry and the Law,第38卷，第104至第108页(2010年)。","[4] Sharon Shalev, Sourcebook on Solitary Confinement,Mannheim Centre for Criminology, 2008年，第1页。","[5] Ken Strutin,“Solitary Confinement”，LLRX.com,2010年8月10日出版。","[6] Haney,“Mental Health Issues in Long-Term Solitary and‘Supermax’Confinement, Crime and Delinquency”第49卷，第1期，第124至第156页。","[7] 人权事务委员会(《公民及政治权利国际公约》)第20号一般性意见(A/47/40，附件六A)，第7条(禁止酷刑或其他残忍、不人道或有辱人格的待遇或处罚)，1992年3月10日。","[8] Iorgov诉保加利亚，第40653/98号申请，欧洲人权法院，第84段(2004年)；G.B.诉保加利亚，第42346/98号申请，欧洲法院，第85段(2004年)。","[9] A.B.诉俄罗斯，第1439/06号申请，欧洲人权法院，第108段(2010年)。","[10] Palushi诉奥地利，第27900/04号申请，欧洲人权法院，第72和第73段(2009年)。","[11] A.B.诉俄罗斯，第111段。","[12] Onoufriou诉塞浦路斯，第24407/04号申请，欧洲人权法院，第80段(2010年)。","[13] Ocalan诉土耳其，第46221/99号申请，欧洲人权法院，第196段(2005年)。","[14] Rohde诉丹麦，第69332/01号申请，欧洲人权法院，第97段(2005年)。","[15] Ramirez Sanchez诉法国，第59450/00号申请，欧洲人权法院，第105、第106和第135段(2006年)。","[16] 同上，第145段。","[17] Velázquez-Rodríguez诉洪都拉斯，美洲人权法院，C系列第4号，第156段(1988年)。","[18] Loayza-Tamayo诉秘鲁，美洲人权法院，C系列第33号，第58段(1997年)。","[19] Cantoral-Benavides诉秘鲁，美洲人权法院，C系列第69号，第62和第104段(2000年)。","[20] Suárez-Rosero诉厄瓜多尔，美洲人权法院，C系列第35号，第51至第56段(1997年)。","[21] 《墨西哥人权状况报告》，美洲人权委员会，OEA/Ser.L/V/II.100,第254段(2008年)。","[22] halev，同前，第25段。","[23] Shalev，同前，第25和第26段。","[24] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，Journal on Rehabilitation of Torture Victims and Prevention of Torture，第18卷，第56页(2008年)。","[25] Shalev，同前，第26页。","[26] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，第41段。","[27] Ramirez Sanchez诉法国，第59450/00申请，欧洲人权法院，第102段(2006年)。","[28] Solitary Confinement of Prisoners and Detainees in Israeli Prisons, Joint Project of Adalah, Al Mezan(Gaza)and Physicians for Human Rights(2011年6月，以色列)。","[29] Shalev，同前，第42段。","[30] 欧洲委员会防止酷刑委员会，向希腊政府提交的关于欧洲防止酷刑和不人道或有辱人格的待遇或处罚委员会访问希腊的报告，2006年12月20日(CPT/Inf(2006))，第41段。","[31] 欧洲委员会，“防止酷刑委员会标准”(CPT/Inf/E (2002) 1 - Rev. 2010)，第二节，第48段。","[32] Poltrotsky诉乌克兰,第146页(ECHR 2003-V)。","[33] Peter Scharff Smith,“The Effects of Solitary Confinement on Prison Inmates”，Crime and Justice(2006年),第34卷，第449页。","[34] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，Journal of Law and Policy(2006年),第22卷，第325页。","[35] Ilaşcu等人诉摩尔多瓦和俄罗斯，第48787/99号申请，欧洲人权法院(2004年)，第432段。","[36] Mathew诉荷兰，第24919/03号申请，第202段。","[37] G.B.诉保加利亚，第85段。","[38] Valasinas诉立陶宛，第44558/98号申请，欧洲人权法院(2001年)，第112页；Ocalan诉土耳其，第193段。","[39] Rohde诉丹麦，第97段。","[40] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，第1页。","[41] Shalev，同前，第2页。","[42] A.B.诉俄罗斯，第1439/06号申请，欧洲人权法院(2010年)，第135段。","[43] “USA：The Cruel and Inhumane Treatment of Albert Woodfox and Herman Wallace”，大赦国际(2001年)。","[44] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”(1993年)，第1页。","[45] 同上，第8页。","[46] 同上，第2页。","[47] 同上，第20页。","[48] Shalev，同前，第13和第22页。","[49] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，第332和第333页。","[50] 《儿童权利公约》，第37(c)条；《联合国囚犯待遇最低限度标准规则》，第8(d)条。","[51] Robert Wildeboer,“The Impact of Solitary Confinement in a Youth Prison”，Inside and Out,(2010年，芝加哥)。","[52] Shalev，同前，第26页。","[53] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，Shalev，同前，第10页。","[54] 美国公民自由联盟，“Abuse of the Human Rights of Prisoners in the United States:Solitary Confinement”(2011年)。","[55] Jeffrey L.Metyner医生和Jamie Fellner, Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics, The Journal of the American Academy of Psychiatry and the Law, 第38卷，第104至第108页，2010年。","[56] Heartland Alliance National Immigrant Justice Center,2011年6月16日给酷刑问题特别报告员的信。"],"string":"[\n \"第六十六届会议\",\n \"^(*) A/66/150。\",\n \"临时议程^(*) 项目69(b)\",\n \"促进和保护人权：人权问题， 包括增进人权和基本自由 切实享受的各种途径\",\n \"酷刑和其他残忍、不人道及有辱人格的待遇和处罚\",\n \"秘书长的说明\",\n \"秘书长谨向大会转递人权理事会酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员胡安·门德斯根据大会第65/205号决议编写的临时报告。\",\n \"人权理事会酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员的临时报告\",\n \"摘要\",\n \"特别报告员在按照大会第65/205号决议提交的本报告中根据其任务范围述及各项特别关注的问题和最近的发展情况。\",\n \"特别报告员提请大会注意他的评估意见，即大多数国家都实行单独监禁的做法。他发现，物质条件和单独监禁这种监狱制度会造成严重的精神和身体痛苦或苦难，当把它作为一种惩罚手段在审前拘留期间无限期、长期施用于青少年或患有精神残疾的人时，就构成残忍、不人道或有辱人格的待遇或处罚，甚至是酷刑了。此外，单独监禁这一做法增加了酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为不被发现和不被质疑的风险。\",\n \"报告强调了一些一般原则，以帮助指导各国重新评价和尽量减少使用单独监禁，并在某类案件中取消单独监禁的做法。这种做法只应作为最后手段用于非常特殊的情况，使用的时间越短越好。他还强调，需要有最低限度的内部和外部程序保障，以确保所有被剥夺自由的人都得到人道待遇及对人所固有的尊严的尊重。\",\n \"目录\",\n \"页次\\n1.导言 4\\n2.与任务有关的活动 4\\n3.单独监禁 7\\nA.对根据任务规定所开展工作的概述 7\\nB.单独监禁的历史和当前的做法 7\\nC.定义 8\\nD.法律框架 9\\nE.国家使用单独监禁的理由 11\\nF.单独监禁的条件 13\\nG.长期或无限期单独监禁 16\\nH.单独监禁造成的心理和生理影响 17\\nI.单独监禁的潜在影响 17\\nJ.易受伤害的人 17\\nK.当单独监禁构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时 18\\n4.结论和建议 20\\n附件单独监禁的影响 24\",\n \"一. 导言\",\n \"1. 本报告根据大会第65/205号决议第39段提交，是酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员向大会提交的第十三次报告，也是本项任务执行人提交的第一次报告。\",\n \"2. 特别报告员提请注意他呈送人权理事会的报告(A/HRC/16/52)；在该报告中，他概述了自己在特别报告员任期内的愿景、工作方法和优先事项。\",\n \"二. 与任务有关的活动\",\n \"3. 以下是特别报告员自其向人权理事会提交报告(A/HRC/16/52和Add.1-6)以来根据任务规定所开展活动的小结。\",\n \"关于侵犯人权行为的来文\",\n \"4. 在2010年12月1日至2011年7月1日期间，他向18国政府发出20封酷刑指控函，并为可能遭受酷刑或其他形式虐待的个人向48国政府发出95份紧急呼吁。同期收到82份答复。\",\n \"国别访问\",\n \"5. 关于实况调查团，原计划于2011年5月对吉尔吉斯斯坦进行国别访问，但该国政府以正在发生的政治事态为由要求延期。吉尔吉斯共和国政府在2011年7月28日的信中提议，在2011年8月下旬进行国别访问。特别报告员对此邀请表示欢迎，但因是临时通知，因此在提交本报告时正与该国政府商量其他可能的日期。他接受了伊拉克政府请他于2011年10月访问该国的邀请。他还被邀请去访问巴林并正与该国政府商量日期。除了将要提出的国别访问要求外(见A/HRC/16/52，第6段)，特别报告员已要求就西撒哈拉问题访问摩洛哥。\",\n \"6. 特别报告员于2011年5月15日至22日访问了突尼斯。他与临时政府分享了他的初步调查结果，并于5月22日发布新闻谈话稿，对该国政府向他提供全面合作表示感谢。他指出，该国政府已采取一系列积极步骤来确保问责制和长期改革。但他认为，在期待制宪大会选举时的那种“观望态度”可能会妨碍在清算过去和最近的侵权行为方面采取大胆和积极步骤的可能性。特别报告员强调，应确保对被控实施酷刑和虐待的人进行迅速、有效和独立的刑事调查，并应启动行政方案，以对过去和最近的侵权行为受害者提供补救和赔偿服务。有关访问突尼斯的报告将提交给定于2012年3月举行的人权理事会第十九届会议。\",\n \"关键的新闻谈话稿\",\n \"7. 特别报告员发布了下列新闻谈话稿(其中有许多是与其他任务执行人联合发表的声明)：\",\n \"• 2010年12月31日——对在科特迪瓦总统选举期间可能发生的或可能仍在发生的强迫或非自愿失踪、任意拘留、法外处决、即审即决或任意处决事件及性暴力行为表示严重关切。\",\n \"• 2011年1月14日——在官方确认至少有21人死亡之后，敦促突尼斯政府控制对和平示威使用武力。\",\n \"• 2011年2月3日——关于在白俄罗斯、埃及和突尼斯的公众骚乱和在镇压和平示威时据称施加的酷刑或残忍、不人道或有辱人格的待遇。\",\n \"• 2月17日——敦促埃及过渡政府设立独立调查组调查在该国革命期间发生的侵犯人权行为，并有权将人名和证据转递有关当局提起公诉。\",\n \"• 2月18日——敦促巴林政府和阿拉伯利比亚民众国政府保障和平抗议的权利，并立即停止使用过度和致命武力。\",\n \"• 2月22日——关于对阿拉伯利比亚民众国境内正在发生的严重侵犯人权行为表示严重关切的人权维护者的境况。\",\n \"• 3月3日——谴责在也门发生的对抗议者的暴力镇压，并敦促该国政府停止把过度使用武力作为结束持续不断抗议的手段。\",\n \"• 3月22日——对在巴林首都麦纳麦发生越来越多的严重侵犯人权事件表示关切。\",\n \"• 4月1日——对科特迪瓦境内发生的严重侵犯人权行为表示关切，包括可能构成国际罪行的强迫失踪、法外杀戮、杀害和残害儿童及性暴力，并表示，特别报告员和其他任务执行人全力支持安全理事会第1975(2011)号决议。\",\n \"• 4月11日和7月12日——尽管他一再要求探访一等兵布拉德利·曼宁，但是美利坚合众国政府仍未给予他不受监督地接触该被拘留者的机会，对此他表示沮丧。不受约束的接触问题不局限于该案例，还涉及特别报告员如果对美国进行国别访问时是否能与被拘留者进行私下和不受监督的面谈。\",\n \"• 4月15日——谴责阿拉伯叙利亚共和国境内死亡人数不断增加和残酷镇压和平抗议者、记者和人权维护者，尽管该国政府保证进行改革和协商，以结束长达48年的紧急状态统治。\",\n \"• 7月1日——敦促美国政府停止对德克萨斯州的Humberto Leal García 执行排定的处决。\",\n \"关键演讲/协商/培训课程的要点\",\n \"8. 特别报告员于2011年2月8日至9日参加了大赦国际在伦敦主办的一次会议，讨论“发展对酷刑进行询问和调查的国际最佳做法”。他还向特别引渡问题全党派议会小组作了讲话。\",\n \"9. 2月22日，他在美洲法证科学学院第六十三届年会作了关于“记录拘留条件、酷刑和虐待的国际框架和机制”的发言。\",\n \"10. 2月28日，他在华盛顿市会见了美利坚合众国国务院和国防部的高级官员，在4月22日再次拜访国防部，讨论共同关心的问题。\",\n \"11. 3月6日至10日，特别报告员在日内瓦出席人权理事会第十六届会议，会见了伊拉克、吉尔吉斯斯坦、墨西哥、泰国和美国等国的大使。他还会见了人权理事会所有区域小组，但非洲小组除外，因为很遗憾无法与该小组排定会见日期。\",\n \"12. 3月16日和17日，他在华盛顿市会见了禁止酷刑委员会主席、防范酷刑和其他残忍、不人道或有辱人格待遇或处罚小组委员会副主席、美洲人权委员会被剥夺自由人员的权利问题报告员、欧洲防止酷刑委员会的一名代表和非洲人权和人民权利委员会被拘留人员问题特别报告员。该次会见是美国大学华盛顿法律学院和防止酷刑协会联合组办的，以讨论如何加强这些机制之间的工作关系。\",\n \"13. 3月18日至20日，特别报告员在旧金山大赦国际美国分部的年度大会和五十周年纪念会议上发表了两次讲话。\",\n \"14. 2011年6月1日，他在由几个宗教团体在华盛顿市组办的一次活动中作了主旨发言，题目是：“今天的问责制：防止明天的酷刑”。\",\n \"15. 6月15日至17日，特别报告员在荷兰政府支持下在智利圣地亚哥主持了一次关于酷刑的美洲国家区域协商会议。这次区域协商会议是在防止酷刑协会、法律和社会中心、人力公司、人权和性别公正区域中心、人权联系会的协助下组办的，为来自12个国家的政府、国家机构和民间社会组织提供了一个机会，以讨论在国别访问之后所提出建议的后续行动和加强防范酷刑和虐待的地方和区域保护机制。\",\n \"16. 6月20日，他在圣地亚哥会见了智利外交部外交政策总干事。\",\n \"17. 6月27日至7月1日，特别报告员在日内瓦参加了特别报告员第十八次年会。他还会见了伊拉克、吉尔吉斯斯坦、荷兰、俄罗斯联邦、突尼斯和美利坚合众国等国政府的代表。\",\n \"18. 7月7日，他在巴西利亚会见了巴西政府人权部长。\",\n \"三. 单独监禁\",\n \"A. 对根据任务规定所开展工作的概述\",\n \"19. 在他作为特别报告员提交的第一次报告中(A/HRC/16/52，第70段)，他认识到，“长期单独监禁是否……在本质上构成残忍、不人道或有辱人格的待遇或处罚的问题在人权理事会引起了很多争论和讨论”；他认为，“国际社会作为一个整体将从冷静和理性地讨论这一问题中受益”。\",\n \"20. 特别报告员接到投诉，指称一些国家在以国家安全为由进行行政拘留时使用单独监禁或将单独监禁作为打击有组织犯罪的一种手段，以及在作移民拘留时使用单独监禁。他作此项研究是因为他发现，单独监禁的做法具有全球性，并易于被广泛滥用。特别是，一些国家所施行的社会隔离和感觉剥夺的做法在某种情况下构成残忍、不人道和有辱人格的待遇甚至是酷刑。\",\n \"21. 特别报告员的前任已指出，长期单独监禁本身可能就构成受禁止的虐待或酷刑(E/CN.4/1999/61，第394段和E/CN.4/2003/68，第26(m)段)。\",\n \"22. 《关于使用单独监禁及其影响的伊斯坦布尔声明》作为附件列入了前任特别报告员提交大会的2008年临时报告(A/63/175，附件)。该报告的结论是：“长期隔离被拘留者可能构成残忍、不人道或有辱人格的待遇或刑罚，在某些情况下，可能构成酷刑。……应将单独监禁的使用保持在最低限度；在非常特殊的情况下，在尽可能短暂的时间内使用，并仅作为最后手段。无论使用的具体情况如何，都必须努力提高囚犯社会接触的水平：囚犯与监狱工作人员接触，允许与其他囚犯一起搞社交活动，允许更多探访，并提供心理健康服务”(A/63/175，第77段和第83段)。\",\n \"B. 单独监禁的历史和当前的做法\",\n \"23. 有关对被拘留者使用单独监禁的历史有据可查。这种做法可追溯到1820年代的美利坚合众国，当时人们相信隔离囚犯的做法有助于实现改造。在这种模式下，囚犯整天独处一室，大多数情况下是在囚室内，即使工作时也如此，以反省自己的犯罪过程，从而规避外部的消极影响。从1830年代开始，欧洲和南美洲国家采用了这种做法(A/63/175，第81段)。必须认识到，200年前这个模式是在处罚方面的一种社会和道德上进步的方式，因为这种做法强调了改造，并试图以此取代死刑、切割四肢和当时流行的其他惩罚手段。\",\n \"24. 世界各国继续广泛使用单独监禁(A/63/175，第78段)。在一些国家，超级最高安全监狱把对囚犯施用单独监禁视作正常而不是“例外”的做法，这被认为是有问题的。例如在美国，估计有2万至2.5万人被单独拘押。[1] 另一个例子是，在审前拘留中广泛使用单独监禁；许多年来这一直是斯堪的纳维亚监狱做法的一个有机组成部分。[2] 几乎所有地方都把与监狱其他囚犯相隔离的做法作为惩罚破坏监狱纪律的一种手段。现在许多国家更为经常地使用单独监禁，持续的时间也更长。例如在巴西，2003年第10792号法令修正了现行的“刑法执行法”，设想出一个可长达360天的单个囚室的“区别”纪律处分制度，同时不妨碍因新的犯罪而延长相似的持续时间，最高可达刑期的六分之一。阿根廷布宜诺斯艾利斯省于2010年启动了一个防止监狱暴力行为方案，其中包括至少9个月的隔离(最初3个月为全面隔离)，根据监狱监测员的说法，这个期限往往还会延长。\",\n \"C. 定义\",\n \"25. 现在尚未有对单独监禁的得到普遍商定的定义。《关于使用单独监禁及其影响的伊斯坦布尔声明》把单独监禁定义为：对个人的人身隔离，将其关在囚室中每天长达22至24小时。在许多司法管辖区中，允许被单独监禁的囚犯每天走出囚室单独放风一小时。与其他人有意义的接触通常被减少至最低程度。刺激的减少不仅是在数量上，而且还在质量上。仅有的刺激和偶尔的社会接触很少能由其自由选择，通常十分单调且不具移情作用。\",\n \"26. 单独监禁也被称为“分隔”、“隔离”、[3] “分离”、“蜂窝”、[4] “锁定”、“超级最高级”、“牢洞”或“安全住房单位”，[5] 但所有这些名词都涉及不同的因素。为本报告的目的，特别报告员将单独监禁定义为：对个人的人身和社会隔离，将其关在囚室中每天长达22至24小时。让特别报告员特别感到关切的是长期单独监禁，他对此的定义为：任何超过15天的单独监禁。他知道，要确定一个早已有害的制度从何时转变为长期因而造成不可接受的痛苦的时间点是具有任意性的。他的结论是，15天是“单独监禁”和“长期单独监禁”之间的界限，因为根据所查看的文献资料，在这一个时间点上，隔离造成的某些有害的心理影响就可能变得不可逆转了。[6]\",\n \"D. 法律框架\",\n \"27. 国际和区域人权机构在解决造成被拘留者社会和人身隔离的基本条件方面及在确定这种做法是否构成酷刑或残忍、不人道或有辱人格的待遇或处罚方面采取了不同的方法。例如，虽然欧洲人权法院经常面对单独监禁问题，但最为广泛地处理与禁止与外界接触的拘押相关现象的机构则是联合国人权事务委员会和美洲人权法院。为本报告的目的，特别报告员将只重点介绍全球性和区域人权机构就单独监禁问题所开展的工作。\",\n \"1. 国际一级\",\n \"联合国大会\",\n \"28. 1990年，大会通过了第45/111号决议，《囚犯待遇基本原则》。原则7规定，应努力废除或限制使用单独监禁作为惩罚的手段，并鼓励为此而作出的努力。\",\n \"29. 同一年，大会通过第45/113号决议，《联合国保护被剥夺自由少年规则》。大会在第67段中主张：“应严格禁止任何构成残忍、不人道或有辱人格的待遇的惩戒措施，其中包括……单独监禁或任何其他有害有关少年身心健康的惩罚”。\",\n \"联合国条约机构\",\n \"30. 人权事务委员会在其第20号一般性意见第6段中指出，对被拘留者或囚犯的长期单独监禁可能构成《公民及政治权利国际公约》第7条所禁止的行为。[7] 在其对卢旺达的结论性意见中，人权事务委员会建议：“缔约国应结束判处单独监禁的做法……”(CCPR/C/RWA/CO/3，第14段)。\",\n \"31. 禁止酷刑委员会认识到长期单独监禁对身心的有害影响，并对将长期单独监禁作为审前拘留期间的一项预防措施和纪律处分措施表示关切。委员会建议废除使用单独监禁，特别是在审前拘留期间，或至少由法律作出严格和具体规范(最长持续时间等)，在司法监督下实施，并只在特殊情况下使用，如涉及人员安全之时(A/63/175，第80段)。委员会建议，不应对18岁以下人员使用单独监禁(CAT/C/MAC/CO/4，第8段)。\",\n \"32. 防范酷刑和其他残忍、不人道或有辱人格待遇或处罚小组委员会指出，长期单独监禁可能构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为，并建议在涉及未成年人或心智残障人员的案件中不使用单独监禁(CAT/OP/PRY/1，第185段)。小组委员会还建议，应由医官每天探访被单独监禁的囚犯，但有一项谅解，即这类探访应对该囚犯的健康有益。此外，被单独监禁超过12小时的囚犯应每天至少有1个小时可呼吸新鲜空气(CAT/OP/PRY/1，第 184段)。鉴于单独监禁的条件，小组委员会指出，应向所有囚犯提供床和合适的床垫，包括被单独监禁的囚犯(CAT/OP/HND/1，第227(a)段和CAT/OP/PRY/1，第280段)。\",\n \"33. 儿童权利委员会在其第10号一般性意见(2001年)中强调，“必须严格禁止违反《儿童权利公约》第37条的纪律处分措施，包括……禁闭或单独监禁，或可能伤害有关儿童身体或精神健康或福祉的其他任何处罚”(CRC/C/GC/10，第89段)。此外，委员会敦促各缔约国禁止并废除对儿童使用单独监禁(CRC/C/15/Add.151，第41段；CRC/C/15/Add.220，第45(d)段；CRC/C/15/Add.232，第36(a)段)。\",\n \"2. 区域一级\",\n \"欧洲人权法院\",\n \"34. 欧洲人权法院在评价单独监禁案件时审议了国家提出的施行社会和人身隔离的理由。法院裁定违反了《欧洲人权公约》第3条，因为国家没有为使用单独监禁提供以安全为基础的正当理由。[8] 至于长期单独监禁问题，法院认为，必须向个人解释使用单独监禁的理由，并随着时间的推移，这种理由“必须越来越详细和越来越紧迫”。[9]\",\n \"35. 通过其判例法，欧洲人权法院强调，在施行单独监禁期间某些程序保障措施必须到位，例如监测囚犯的身体健康，⁹ 特别当这个人身体不好时更应如此，[10] 并有机会获得司法复核。[11]\",\n \"36. 欧洲人权法院在评估人身和精神隔离个案是否构成酷刑或残忍、不人道或有辱人格的待遇或处罚时依据的一个关键因素就是对个人所施行的隔离的程度。长期绝对禁止监狱以外个人来访的做法造成的痛苦“明显超越拘留所固有的无可避免的程度”。[12] 但是，只要个人可以接待来访者和写信，[13] 可以看电视、看书和看报纸，以及与监狱工作人员经常接触[14] 或能定期探访神职人员或律师，[15] 这种隔离就是“局部”隔离，未到达严重程度的最低限度门槛，即未到达欧洲人权法院判定违反《欧洲人权公约》第3条所必需的最低限度门槛。但法院强调，即使施行的是局部隔离，也不能对囚犯无限期地施行单独监禁。[16]\",\n \"美洲人权体系\",\n \"37. 美洲人权体系有关单独监禁的判例比上面所讨论的机构更具结论性。自其最早的判决以来，美洲人权法院就判定，监狱制度的某些要素和监狱某些物质条件本身就构成残忍和不人道待遇，因此违反了《美洲人权公约》第5条，因为该条款承认人的完整性权利。例如法院主张，“长期隔离和剥夺交流机会的做法本身就是残忍和不人道的待遇，伤害了人的心理和道德完整性，违反了被拘留者尊重作为人所固有的尊严的权利”。[17] 法院还讨论了拘留的物质条件，强调“在狭小、无通风和无自然光的囚室内的隔离，……[以及]对探访权的限制……，构成残忍、不人道和有辱人格的待遇的形式”。[18]\",\n \"38. 法院还认识到，单独监禁导致心理和身体上的痛苦，而这种痛苦可能会促成构成酷刑的待遇。法院至少在一个案件中确认了单独监禁的物质条件，包括“狭小、无通风或无自然光的囚室”，以及被拘留者“每天被关23个半小时……，[和]每月只允许见其亲属一次并不得与他们有身体接触”的监狱制度，当这些条件与其他形式的身体和心理侵害结合在一起时就有可能构成身体和心理酷刑。[19]\",\n \"39. 法院在对单独监禁进行分析时指出，即使在特殊情况下使用时，程序保障措施仍必须到位。例如，“国家有义务确保被拘留者享受《[美洲]公约》所规定的最低限度和非减损保证，具体而言就是，有权质问拘留的合法性及保证被拘留者在被监禁期间的得到有效辩护”。[20] 同样，美洲人权委员会一贯主张，对被拘留者采取的所有形式的纪律处分行动都必须符合正当法律程序的准则并提供司法复核的机会。[21]\",\n \"E. 国家使用单独监禁的理由\",\n \"40. 国家为使用单独监禁提出的理由可分成五大类：\",\n \"(a) 处罚人(作为司法判刑的一部分或作为纪律处分制度的一部分)；\",\n \"(b) 保护易受伤害的人；\",\n \"(c) 便利监狱对某些人的管理；\",\n \"(d) 保护或促进国家安全；\",\n \"(e) 便利起诉前或审前调查。\",\n \"41. 作为对个人司法判刑的一部分而施行单独监禁的做法往往发生在犯下特别严重的罪行或对国家犯下罪行的情况下。[22] 例如在某些中欧国家，被判定犯下谋杀或强奸罪的人被判处在单独监禁的情况下服刑(A/64/215，第53段)。在其他国家，例如在蒙古国，死刑可改判为无期徒刑，以单独监禁的方式服刑(E/CN.4/2006/6/Add.4，第47段)。在监狱里将单独监禁作为纪律处分措施使用也是有案可查的，这也许是把单独监禁作为一种处罚形式加以使用的最普遍的理由。²² 纪律处分措施通常涉及违反监狱的规则。例如在尼日利亚，被拘留者会因违纪行为受到多至3天的单独监禁处罚(A/HRC/7/3/Add.4，附文一，第113段)。同样，在印度尼西亚的阿贝普拉监狱，作为纪律处分措施可对违反监狱规则的人处以多至8天的单独监禁(A/HRC/7/3/Add.7,附文一，第37段)。\",\n \"42. 单独监禁还用于分离易受伤害的个人，包括青少年、残疾人，以及女同性恋、男同性恋、双性恋和变性者，以对他们提供保护。他们可能自己要求或经监狱官员的斟酌而被单独监禁。[23]\",\n \"43. 国家官员还把单独监禁作为管理某些监狱人口的工具。被确认具有危险性的人，如帮派成员，或逃跑风险较大的人可能会被单独监禁。²³ 同样，被确认具有被伤害风险的人，如性犯罪者、告密者，以及前惩教或执法人员，往往被允许或鼓励选择自愿单独监禁，以保护他们不受同室囚犯的伤害。[24] 为监狱管理的需要，在将囚犯转换囚室和拘留所之前、期间或之后也可能将囚犯置于某种形式的单独监禁。[25] 虽然单独监禁作为管理工具使用时其持续时间差别很大，但应注意到，这种使用是出于实用而不是惩处的动机。\",\n \"44. 被确认为恐怖嫌疑犯或具有国家安全风险的人也往往被置于单独监禁。例如在赤道几内亚，“黑海滩监狱”某个由单人囚室组成的部分专用于对高安全囚犯施行单独监禁(A/HRC/13/39/Add.4,附文一)。单独监禁也可用作强制性审讯手段，并往往是强迫失踪或禁止与外界接触的羁押的有机组成部分(A/63/175,附件)。正如在上文第40段a类中所指出的，国家安全也是司法判决后施行单独监禁的首要原因。例如在中国，一个因“向中国境外实体非法提供国家秘密或情报”而被判刑的人在她8年的刑期中据称有2年被置于单独监禁(E/CN.4/2006/6/Add.6,附文2，第26段)。\",\n \"45. 国家还在起诉前或审前拘留期间利用单独监禁孤立个人。在一些国家，例如丹麦，把人置于单独监禁是审前拘留的常规做法(A/63/175,第78(i)段)。起诉前和审前拘留期间使用单独监禁的目的差异很大，包括防止被拘留者混杂，以避免发生道德败坏和勾结行为，以及对被拘留者施加压力以使其合作或坦白。[26]\",\n \"F. 单独监禁的条件\",\n \"46. 对监狱和对被关押囚犯的条件的管理受监狱条例和国家法律，以及国际人权法的制约。经济及社会理事会于1957年通过的《联合国囚犯待遇最低限度标准规则》补充并诠释了因以条约为基础或作为习惯国际法组成部分而具有约束力的基本准则。虽然《最低限度标准规则》并无直接的约束力，但已被广泛接受作为人道对待囚犯的普遍准则。\",\n \"47. 被置于单独监禁下的拘留者所处的特定条件因机构和司法管辖区的不同而不同。但大多数有一些共同的物质条件和非物质条件(或监狱制度)。\",\n \"1. 物质条件\",\n \"48. 与单独监禁有关的主要物质条件是囚室的大小、是否有窗子和电灯，以及是否有用于个人卫生的固定卫生设备。实际上，单独监禁囚室通常都具有某些共同特征，包括：位于监狱的独立或偏远之处、窗子狭小或部分被遮盖、空气不流通、光秃秃的外观和沉闷的色彩、钉在地板上的增韧纸板或其他以防拨弄的家具，以及狭小无趣的健身笼或院子(E/CN.4/2006/6/Add.3,第47段)。在某些司法管辖区，被单独监禁的囚犯会戴脚镣和受其他身体限制(A/HRC/13/39/Add.4,第76(f)段)。\",\n \"49. 目前没有一项普遍文书对可接受的最低限度面积的囚室作出了规定，虽然国内和区域司法管辖机构有时对此事项作出裁决。根据欧洲人权法院在“Ramirez 诉法国”一案中的裁决，一个6.84平方米的囚室“足以”供单人居住。[27] 法院没有详细说明为什么这样的面积可被认为已足够；特别报告员以恭敬的态度表示自己有不同意见，特别是如果单人囚室还应至少包括马桶和梳洗设备、床和一张桌子。\",\n \"50. 就单独监禁的被拘留者是否得到适当待遇而言，窗子和电灯的存在同样具有关键重要性。《囚犯待遇最低限度标准规则》第11条规定，应有充分灯光使被拘留者能够工作或阅读，不管是否有人工通风设备都应开一个窗口使空气流通。但国家的做法显示，这一标准往往得不到满足。例如在格鲁吉亚，发现单独监禁囚室的窗子开口有钢板焊接在外面的铁条上，限制了采光和通风(E/CN.4/2006/6/ Add.3,第47段)。在以色列，单独监禁囚室的唯一光源往往就是荧光灯泡，而且没有新鲜空气。[28]\",\n \"51. 《最低限度标准规则》第12和第13条规定，拘留设施应提供足够的固定卫生设备供被拘留者保持个人卫生之用。因此，用于单独监禁的囚室应在室内安置马桶和洗脸盆。[29] 欧洲防止酷刑和不人道或有辱人格的待遇或处罚委员会在其2006年关于希腊的报告中指出，科莫蒂尼监狱的隔离囚室未能满足卫生设备的必要最低限度标准，因为被拘留者被迫将马桶当作洗脸盆使用。[30] 单独监禁的设置中还涉及其他环境因素，如温度、噪音水平、隐私，以及用于囚室家具的软质材料。\",\n \"2. 监狱制度\",\n \"52. 在评估单独监禁的条件时要顾及的监狱制度的主要方面包括，是否有户外运动和健身计划、在监狱里是否有人与人之间有意义的接触，以及是否能与外界接触。根据《囚犯待遇最低限度标准规则》第21条，只要天气合适，不参加户外工作的每一个囚犯每天应至少有1个小时在露天做适当的运动。同样，欧洲防止酷刑委员会强调，所有囚犯无一例外都应有机会每天在露天运动1个小时。[31] 但国家的做法表明，这些标准并非总能得到遵守。例如在约旦，一个被拘留者只被允许每周在户外呆1个小时(A/HRC/4/33/Add.3，附文，第21段)。在“Poltrotsky诉乌克兰”案中，欧洲人权法院判定，缺乏户外运动的机会再加上缺乏接触自然光的机会构成违法《欧洲人权公约》第3条的行为。[32]\",\n \"53. 在监狱内有机会进行人与人之间有意义的接触和与外界的接触对于单独监禁的被拘留者的心理健康也至关重要，特别是对那些被长期关押的人而言更是如此。在监狱内，这类接触可以是与保健专业人员、狱警或其他囚犯的接触。与外界的接触包括法律顾问、家庭和朋友的探访、邮件和打电话，以及有机会阅读材料、看电视或听收音机。《公民及政治权利国际公约》第17条赋予囚犯接触家人和收发信件的权利。此外，《囚犯待遇最低限度标准规则》对各种外部刺激作了规定(关于体操和运动的第21条、关于同外界的接触的第37至第39条、关于书籍的第40条、关于宗教的第41和第42条、关于工作的第71至第76条、关于教育和娱乐的第77和第78条及关于社会关系和善后照顾的第79至第81条)。\",\n \"3. 社会隔离\",\n \"54. 单独监禁将有意义的社会接触降低到绝对最低限度。由此导致的对个人的社会刺激水平不足以维持一种合理的精神健康状态。[33]\",\n \"55. 研究结果表明，一旦被剥夺足够水平的社会刺激，人很快就会无法对其环境维持适当的警觉和注意状态。事实上，甚至只要几天的单独监禁就可使人的大脑活动趋于具有精神恍惚和神志失常特点的不正常状态。[34] 新技术方面的进步使人们可以做到，在几乎无需进行人与人之间互动的情况下就可间接监督人和保持对人的密切监视。欧洲人权法院认为，“彻底的感官隔离再加上完全的社会隔离可能会摧毁个性，并构成一种不能以安全或任何其他理由来辩解的不人道待遇的形式。”[35]\",\n \"56. 根据欧洲人权法院的意见，各国还应采取步骤减少单独监禁的负面影响。[36] 只要知道了单独监禁对某一特定个人的伤害性影响，就不得继续执行这种制度。[37] 在这方面，监禁的条件也是有关系的，因为当条件无可厚非时，法院认为，就不太可能越过可判定违反第3条的最低限度严重性门槛。[38] 让医生进行常规检查可作为确定是否存在违反第3条情事的一个因素。[39]\",\n \"G. 长期或无限期单独监禁\",\n \"57. 各司法管辖区都增加了使用长期或无限期单独监禁的频率，特别是以“反恐战争”和“对国家安全的威胁”为由。受这两种做法惩处的人可说是身处“监狱中的监狱”，因此忍受极端形式的焦虑和被排斥状态的煎熬，很明显这种做法取代了正常监禁。由于他们与世隔绝，被长期或无限期单独监禁的囚犯很容易就会滑出正义的视线，因此要保障他们的权利往往很困难，即使在强力坚持法治的国家里也是如此。[40]\",\n \"58. 当一国在单独监禁的一个稍短期间内未遵守《囚犯待遇最低限度标准规则》时，可能会引起对不利影响是否构成残忍、不人道或有辱人格的待遇或处罚或酷刑的某种辩论。但是，单独监禁持续的时间越长或对持续时间的不确定性越大，对囚犯造成严重和不可逆转伤害的风险也就越大，而这可能会构成残忍、不人道或有辱人格的待遇或处罚或甚至是酷刑。\",\n \"59. 未被告知单独监禁的期限而产生的不确定感加剧了受刑人的痛苦和苦难。在某些情况下，有的人会在审前拘留期间被无限期扣押，从而增加了其他形式残忍、不人道或有辱人格的待遇或处罚的风险(CAT/C/DNK/CO/5，第14段)。\",\n \"60. 大多数研究报告未具体说明，单独监禁要持续多久之后才成为长期单独监禁。虽然刑期是不确定的，但被拘留者可能被单独监禁几个星期直至许多年。例如在哈萨克斯坦，可将人单独监禁2个月以上(A/HRC/13/39/Add.3，第117段)。一些被拘留者未经任何起诉和审判在秘密拘留中心被单独监禁多年，而在那些地方与世隔绝是审讯做法的一个有机组成部分。[41] 专家们在一份关于关塔那摩湾被拘留者状况的联合报告中指出，虽然隔离30天是被许可的最长期限，但是一些被拘留者在经历超过18月的隔离后隔了很短时间就又重被隔离(E/CN.4/2006/ 120，第53段)。\",\n \"61. 目前没有有关单独监禁可允许最高限度总持续时间的国际标准。在“A.B.诉俄罗斯”案中，欧洲人权法院认为，将一个人以单独监禁方式拘留3年构成违反《欧洲人权公约》第3条的行为。[42] 相比较，据报道在美利坚合众国，路易斯安那州一所监狱在2名囚犯试图对自己的监禁条件提出司法上诉未果之后将他们单独监禁了40年。[43] 正如本报告第26段所述，特别报告员认为，单独监禁超过15天即成为长期单独监禁。\",\n \"H. 单独监禁造成的心理和生理影响\",\n \"62. 单独监禁只要施行几天就会对健康产生负面影响，而单独监禁每延长一天，健康风险也会随之增加。对单独监禁的影响作过调查的专家们发现了单独监禁固有的3个共同要素：社会隔离、最小的环境刺激和“最少的社交机会”。[44] 研究结果进一步显示，单独监禁似乎会造成“精神错乱性不安”，这是一种被称为“监狱精神病”的综合征。[45] 症状可包括焦虑、忧郁、愤怒、认知障碍、知觉扭曲、偏执和精神病及自残(见附件所载的全面症状清单)。\",\n \"63. 一些人经历无关联的症状，而另一些人则会经历“已存在的精神状态的严重恶化或出现以前从未见到过的精神疾病”。[46] 不管具体条件是什么，不管在何时何地，也不管曾有过何种个人因素，都会有为数不少的人经历严重的健康问题。\",\n \"I. 单独监禁的潜在影响\",\n \"64. 目前缺乏对单独监禁潜在影响的研究。虽然在单独监禁期结束后，单独监禁的急性效应一般会消退，但对健康的某些负面影响会长期存在。在单独监禁期间经历的最小刺激状态可在7天后导致人的大脑活动减少。一项研究发现，“多至7天，[大脑活动的]减少尚可逆转，但如果被剥夺的时间很长，那就不一定了”。[47]\",\n \"65. 研究发现，在经历隔离而释放了很长时间之后仍有持续睡眠障碍、忧郁、焦虑、恐惧、情感依赖、精神错乱、记忆力和注意力减退等症状。此外，长久的个性改变往往会使那些曾被单独监禁的人社会生活贫乏、孤僻，对被迫进行社会交往感到不快和恐惧。[48] 在经过一段时间的单独监禁后就不愿意进行社会交往，这种障碍往往使人无法顺利调整生活以与监狱里的众人交往，并严重影响他们在刑满释放后重新融入社会的能力。[49]\",\n \"J. 易受伤害的人\",\n \"1. 青少年\",\n \"66. 联合国各条约机构一致建议，不应对少年犯、儿童或未成年人施行单独监禁(CAT/C/MAC/CO/4,第8段；CAT/OP/PRY/1,第185段；CRC/C/15/Add.151,第41段；以及CRC/C/15/Add.232,第36(a)段)。对青少年施行单独监禁往往是作为纪律处分措施或为了把他们与成年囚犯隔离，因为国际人权法禁止让青少年和成年囚犯混居。[50] 令人遗憾的是，单独监禁作为对被拘留青少年的一种处罚形式在一些国家一直很普遍，如牙买加(A/HRC/16/52/Add.3,第211段)、巴拉圭(A/HRC/7/3/Add.3,附文一，第46段)和巴布亚新几内亚(A/HRC/16/52/Add.5,附文)。至于纪律处分措施，有一份报告指出，单独监禁并不能减少青年监狱内被拘留少年犯之间的暴力行为。[51]\",\n \"2. 残疾人\",\n \"67. 一些司法管辖区把对残疾人的单独监禁作为适当的医疗或精神病护理来用，或因为缺乏其他拘留设施。这些人不一定对其他人或对他们自己构成威胁，但他们易受虐待，并往往被视作是对其他囚犯和监狱工作人员的一种干扰。[52]\",\n \"68. 研究表明，对精神残疾而言，单独监禁往往导致以前存在的精神状况严重加剧。[53] 具有精神健康问题的囚犯一被隔离病情就会急剧恶化。[54] 单独监禁的不利影响对具有严重精神健康问题的人造成的后果特别明显，其特点通常是精神病症状和/或明显的功能障碍。[55] 一些人会采取极端行动，如自残，甚至自杀。⁵⁴\",\n \"3. 女同性恋、男同性恋、双性恋和变性者\",\n \"69. 单独监禁作为一种“保护性羁押”形式经常施行于女同性恋、男同性恋、双性恋和变性者。[56] 虽然出于安全考虑，将女同性恋、男同性恋、双性恋和变性者进行隔离是必要的，但女同性恋、男同性恋、双性恋和变性者的地位并不能成为限制他们的社会行为(如接触娱乐活动、阅读材料、法律顾问或医生的机会)的理由。\",\n \"K. 当单独监禁构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时\",\n \"70. 由于缺乏证人，单独监禁增加了酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为的风险。鉴于单独监禁会对健康造成严重不利影响，单独监禁的使用本身就可构成《公民及政治权利国际公约》第7条所禁止的行为、《禁止酷刑公约》第1条所定义的酷刑或该公约第16条所定义的残忍、不人道或有辱人格的处罚。\",\n \"71. 在评估单独监禁是否构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时应以个案为基础考虑所有相关情况。这些情况包括施行单独监禁的目的、条件、该待遇的持续时间和影响，当然还包括使每一个受害者多多少少更易于受这种影响伤害的主观条件。报告在本节中讨论单独监禁的使用构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚的一些情况。\",\n \"72. 在出于处罚的目的而使用单独监禁时，则不管提出什么样的理由都无法证明这种做法是正当的；这正因为单独监禁施加的严重精神痛苦和苦难超过了对犯罪行为的任何合理惩罚，因而构成了《禁止酷刑公约》第1条或第16条所定义的行为，违反了《公民及政治权利国际公约》第7条。这也适用于因违反监狱纪律而施行单独监禁时的情况，只要受害人经历的痛苦和苦难达到必要的严重性。\",\n \"73. 虽然在刑事调查期间在某些情况下也许必须施行人身和社会隔离，但是在审前拘留期间施行单独监禁的做法造成了事实上的心理压力状况，可能对被拘留者产生影响，使之坦白或作出对别人不利的供述，破坏调查工作的完整性。在审前拘留期间为获取信息或促使坦白而蓄意将单独监禁作为一种手段加以使用的做法构成《禁止酷刑公约》第1条所定义的酷刑或第16条所定义的残忍、不人道或其他有辱人格的待遇或处罚，违反《公民及政治权利国际公约》第7条。\",\n \"74. 当单独监禁的物质条件非常贫乏、制度非常严厉，导致对受刑人造成严重精神和身体痛苦或苦难时，单独监禁的条件就构成了《禁止酷刑公约》第1条和第16条所定义的酷刑或残忍和不人道的待遇，违反了《公民及政治权利国际公约》第7条。\",\n \"75. 只有在特殊情况下才可接受使用单独监禁，其持续时间必须尽可能短，并以适当方式宣布和通报一个确定的期限。鉴于无限期单独监禁的有害影响，有可能在审前拘留期间被用来获取信息或促使坦白，以及不确定性使人们无法采用补救措施对其进行质疑，因此特别报告员判定，无限期施行单独监禁的做法侵犯了有关个人的正当法律程序权(《公民及政治权利国际公约》，第9条)，违反了《禁止酷刑公约》第1条和第16条及《公民及政治权利国际公约》第7条。\",\n \"76. 特别报告员声明，社会隔离的做法违背《公民及政治权利国际公约》第10条第3款；该款规定“监狱制度应包括以争取囚犯改造和社会复员为基本目的的待遇”(大会第2200(XXI)号决议，附件)。长期隔离无助于使被拘留者复员或重新社会化(E/CN.4/2006/6/Add.4,第48段)。长期单独监禁的急性和潜在的心理和生理不利影响构成严重精神痛苦或苦难。特别报告员因此赞同禁止酷刑公约在第20号一般性意见中所采取的立场，即长期单独监禁构成《公民及政治权利国际公约》第7条所禁止的行为，因而构成《禁止酷刑公约》第1条或第16条所定义的行为。出于这些理由，特别报告员重申，他认为，根据有关情况，施行单独监禁超过15天即构成酷刑或残忍、不人道或有辱人格的待遇或处罚。他呼吁国际社会就这样一个标准达到一致意见，并严厉禁止施行连续15天以上的单独监禁。\",\n \"77. 关于青少年，《儿童权利宣言》和《儿童权利公约》序言部分声明，鉴于青少年身心尚未成熟，他们需要特殊的保护和照料，包括法律上的适当保护。《儿童权利公约》(大会第44/25号决议)第19条要求缔约国“采取一切适当的立法、行政、社会和教育措施，保护儿童……不致受到任何形式的身心摧残……”。儿童权利委员会在其第8号一般性意见中表明，“不存在模棱两可的情况：‘任何形式的身心摧残’没有为对儿童任何程度的摧残的合法化提供任何空间”(CRC/C/GC/8，第18段)。1990年12月14日通过的大会题为“联合国保护被剥夺自由少年规则”的第45/113号决议第67段规定，“应严格禁止任何构成残忍、不人道或有辱人格的待遇的惩戒措施，包括……单独监禁或任何其他有害有关少年身心健康的惩罚”(又见CRC/C/GC/10，第89段)。特别报告员因此认为，对青少年施行单独监禁的做法，不管持续时间多寡，都是残忍、不人道或有辱人格的待遇，违反《公民及政治权利国际公约》第7条和《禁止酷刑公约》第16条。\",\n \"78. 《公民及政治权利国际公约》第10条所保障的心智残障人享有的人道及尊重其固有的尊严的权利应根据大会于1991年12月17日通过的“保护精神病患者和改善精神保健的原则”(大会第46/119号决议，附件)加以诠释。鉴于他们智力受损，而单独监禁又往往严重恶化以前已存在的精神状态，特别报告员因此认为，不管持续时间多寡，对心智残障人施行单独监禁的做法是残忍、不人道或有辱人格的待遇，违反《公民及政治权利国际公约》第7条和《禁止酷刑公约》第16条。\",\n \"四. 结论和建议\",\n \"结论\",\n \"79. 特别报告员强调，单独监禁是一种严酷的措施，不管其具体条件如何都可能对人造成严重的心理和生理不利影响。他判断，单独监禁违背监狱制度的一个基本目的，即改造罪犯和帮助他们重新融入社会。特别报告员将长期单独监禁定义为任何持续时间超过15天的单独监禁。\",\n \"80. 根据施行的具体理由、条件、持续时间、影响和其他情况，单独监禁可构成违反《公民及政治权利国际公约》第7条，以及构成《禁止酷刑公约》第1条或第16条所定义的行为。此外，使用单独监禁会增加酷刑和其他残忍、不人道或有辱人格的待遇或处罚在不易被侦测和不受质疑的情况下大行其道的风险。\",\n \"81. 考虑到在审前拘留期间将单独监禁作为一种惩罚手段无限期或长期施行于青少年或心智残障人可能造成的严重精神痛苦或苦难，这种做法可能构成酷刑或残忍、不人道或有辱人格的待遇或处罚。特别报告员认为，只要单独监禁的物质条件和监狱制度未达到尊重人的固有尊严的水平并造成严重精神和身体痛苦或苦难，就构成残忍、不人道或有辱人格的待遇或处罚。\",\n \"建议\",\n \"82. 特别报告员呼吁各国，在维持拘留场所的安全和秩序的同时要尊重和保护被剥夺自由的人的权利。他建议各国定期审查单独监禁制度。在这方面，特别报告员重申，各国应参照《关于使用单独监禁及其影响的伊斯坦布尔声明》，把它作为一个有用的工具，以努力促进尊重和保护被拘留者的权利。\",\n \"83. 特别报告员呼吁各国确保以人道方式对待所有被剥夺自由的人，并尊重受《公民及政治权利国际公约》第10条第1款保护的人的固有尊严。特别报告员提及《囚犯待遇最低限度标准规则》，并建议各国提高被单独监禁的被拘留者有意义的心理社会接触水平。\",\n \"84. 特别报告员敦促各国禁止将单独监禁作为惩罚手段加以施行，不管是作为司法判刑还是纪律处分措施的组成部分。他建议各国拟订和执行替代性纪律制裁措施，以避免使用单独监禁。\",\n \"85. 各国应采取必要步骤，结束在审前拘留期间使用单独监禁的做法。在审前拘留期间将使用单独监禁作为逼供技术的做法应予废除。各国应在审前阶段采取有效措施，改善调查工作的效率，引入替代性控制措施，以分离个人、保护正在进行的调查工作及避免被拘留者串通。\",\n \"86. 各国应取消对青少年和心智残障人使用单独监禁。关于对青少年的纪律处分措施，特别报告员建议各国采取不涉及使用单独监禁的其他措施。关于对心智残障人使用单独监禁的问题，特别报告员强调，在某些情况下，为了他们自身的安全人身隔离也许是必要的，但是仍应严格禁止单独监禁。\",\n \"87. 应取消无限期单独监禁。\",\n \"88. 很明显，短期单独监禁可能构成酷刑或残忍、不人道或有辱人格的待遇或处罚；但是，在其他情况下这种做法可能是合法的手段，条件是必须有足够的保障措施。特别报告员认为，应绝对禁止超过15天的长期单独监禁。\",\n \"89. 特别报告员重申，单独监禁应只在非常特殊的情况下使用，仅作为最后手段，持续时间应尽可能短。他强调，在特殊情况下使用单独监禁时，必须遵循最低程序保障措施。这些保障措施会降低任意或过度使用单独监禁，例如在长期或无限期监禁的情况下。在正当程序保护有限的拘留情况下，例如行政移民拘留，这种保障措施就更为重要了。应以尽可能给被拘留者的权利以最大保护的方式来诠释最低限度程序保障措施。在这方面，特别报告员敦促各国应用下列指导原则和程序保障措施。\",\n \"指导原则\",\n \"90. 在整个拘留期间，单独监禁的物质条件和监狱制度，尤其是监禁的持续时间，必须与单独监禁所针对的犯罪或违纪行为的严重程度相当。\",\n \"91. 必须在限制性较少的措施无法达到预期纪律处分目标的时候才可作为最后手段施行单独监禁的物质条件和监狱制度。\",\n \"92. 绝不可施行或允许继续施行单独监禁，除非能肯定地确定，单独监禁不会造成身体或精神上的严重痛苦或苦难，不会导致产生《禁止酷刑公约》第1条或第16条所定义的行为。\",\n \"93. 必须清楚地记载与施行单独监禁有关的所有评估和决定，并可随时提供给被拘留者和他们的法律顾问。这包括施行单独监禁的当权者的身份和头衔、其施行单独监禁的法律属性的来源、说明施行单独监禁的正当理由的声明、持续时间、说明根据被拘留者的精神和身体健康状况确定单独监禁是合适的理由、说明确定单独监禁对违规行为是相当的理由、有关定期审查单独监禁的理由的报告，以及对被拘留者精神和身体健康的医疗评估。\",\n \"内部保障措施\",\n \"94. 从施行单独监禁之时开始，在对单独监禁进行复核和作出延长或终止单独监禁决定的所有阶段中，都应记录单独监禁的理由和持续时间，并向被拘留者公布。此外，被拘留者应被告知，他们若想免除单独监禁必须做些什么。根据《囚犯待遇最低限度标准规则》第35条，被拘留者必须以其能理解的通俗易懂的语言得到此项信息。此外，这项信息必须提供给被拘留者的任何法定代表人。\",\n \"95. 应有一个记录定期复核施行单独监禁的理由的系统。应以诚意并由一个独立机构进行复核。构成施行单独监禁理由的因素一发生变化就应立即触发对被拘留者的单独监禁的复核。必须记录所有复核流程。\",\n \"96. 必须向被单独监禁者提供真实机会，以通过行政复核程序质疑单独监禁做法的性质及其基本理由。在开始施行单独监禁之时，必须告诉被拘留者他们因被指控犯下何种罪行或违纪行为而被施以单独监禁，并必须立即让他们有机会对其被拘留的理由提出质疑。在施行单独监禁之后，被拘留者必须有机会通过内部或行政投诉系统对监狱管理部门提出投诉。\",\n \"97. 对请求或投诉不应施加任何限制，如请求得到精神或情绪上的受苦和身体上的受苦的证据。监狱官员有义务及时处理所有请求或投诉，并将结果通知被拘留者。所有内部行政结论都必须通过司法程序接受外部上诉。\",\n \"外部保障措施\",\n \"98. 被单独监禁的被拘留者必须得到真实的机会，以通过法院来质疑单独监禁做法的性质及其基本理由。这就要求有权利就监狱主管当局和行政机构的所有最终决定向有权复核单独监禁的性质的合法性及其基本理由的独立司法机构提出上诉。之后，被拘留者必须有机会就这些判决向国家最高权力机关提出上诉；在用尽国内补救措施之后，可寻求由区域或全球性人权机构进行复核。\",\n \"99. 在整个被单独监禁期间，个人都必须能自由接触合格的法律顾问。在需要便利被拘留者与其法律顾问进行完全和开放式沟通时，必须提供获得口译员的机会。\",\n \"100. 根据《囚犯待遇最低限度标准规则》第32条第3款的规定，应有一个记录由合格医务人员在开始施行单独监禁之时和被拘留者在被单独监禁的整个过程中每天对囚犯的身体和精神状态进行定期监测和审查的系统。负责监测被拘留者的医务人员应有心理评估方面的专门培训和/或得到心理学专家的支助。此外，医务人员必须是独立的，并对监狱管理当局以外的主管机构负责。他们最好属于国家的一般卫生结构。囚犯在精神或身体状况方面的任何恶化都应触发一种假设，即监禁的条件是过度的，应立即进行复核。\",\n \"101. 此外，医务人员应根据《囚犯待遇最低限度标准规则》第26条视察囚犯监禁的物质条件。有关考虑因素包括监所和囚犯的卫生和清洁；囚室的暖气、灯光和通风；衣服和被褥是否适当；食物和水的供应是否充分，以及有关身体锻炼的规则的遵守情况。\",\n \"Annex:\",\n \"Effects of solitary confinement\",\n \"^(a) Sharon Shalev, A Sourcebook on Solitary Confinement, Mannheim Centre for Criminology, (2008), pp.15-17; also Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature, crime and justice, vol. 34, (2006), p.441.\",\n \"Many symptoms may present themselves in individuals held in solitary confinement, both concurrent with their solitary confinement and after the period of solitary confinement has terminated. The following list prepared by Dr. Sharon Shalev ^(a) demonstrates a range of possible symptoms.\",\n \"Anxiety, ranging from feelings of tension to full-blown panic attacks\",\n \"• Persistent low level of stress\",\n \"• Irritability or anxiousness\",\n \"• Fear of impending death\",\n \"• Panic attacks\",\n \"Depression, varying from low mood to clinical depression\",\n \"• Emotional flatness/blunting – loss of ability to have any ‘feelings’\",\n \"• Mood swings\",\n \"• Hopelessness\",\n \"• Social withdrawal; loss of initiation of activity or ideas; apathy; lethargy\",\n \"• Major depression\",\n \"Anger, ranging from irritability to full-blown rage\",\n \"• Irritability and hostility\",\n \"• Poor impulse control\",\n \"• Outbursts of physical and verbal violence against others, self and objects\",\n \"• Unprovoked anger, sometimes manifested as rage\",\n \"Cognitive disturbances, ranging from lack of concentration to confused state\",\n \"• Short attention span\",\n \"• Poor concentration\",\n \"• Poor memory\",\n \"• Confused thought processes; disorientation\",\n \"Perceptual distortions, ranging from hypersensitivity to hallucinations\",\n \"• Hypersensitivity to noises and smells\",\n \"• Distortions of sensation (e.g., walls closing in)\",\n \"• Disorientation in time and space\",\n \"• Depersonalization/derealization\",\n \"• Hallucinations affecting all five senses (e.g., hallucinations of objects or people appearing in the cell, or hearing voices when no one is actually speaking)\",\n \"Paranoia and psychosis, ranging from obsessional thoughts to full-blown psychosis\",\n \"• Recurrent and persistent thoughts (ruminations), often of a violent and vengeful character (e.g., directed against prison staff)\",\n \"• Paranoid ideas – often persecutory\",\n \"• Psychotic episodes or states: psychotic depression, schizophrenia\",\n \"Self-harm,self-directed aggression\",\n \"• Self-mutilation and cutting\",\n \"• Suicide attempts\",\n \"[1] Alexandra Naday、Joshua D. Freilich和Jeff Mellow，“The Elusive Data on Supermax Confinement”，The Prison Journal，第88卷，第1期，第69页(2008年)。\",\n \"[2] Peter Scharff Smith，“The effects of solitary confinement on prison inmates: a brief history and review of the literature”，Crime and Justice，第34卷，第441页(2006年)。\",\n \"[3] Jeffrey L. Metzner医生和Jamie Fellner,“Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”，The Journal of the American Academy of Psychiatry and the Law,第38卷，第104至第108页(2010年)。\",\n \"[4] Sharon Shalev, Sourcebook on Solitary Confinement,Mannheim Centre for Criminology, 2008年，第1页。\",\n \"[5] Ken Strutin,“Solitary Confinement”，LLRX.com,2010年8月10日出版。\",\n \"[6] Haney,“Mental Health Issues in Long-Term Solitary and‘Supermax’Confinement, Crime and Delinquency”第49卷，第1期，第124至第156页。\",\n \"[7] 人权事务委员会(《公民及政治权利国际公约》)第20号一般性意见(A/47/40，附件六A)，第7条(禁止酷刑或其他残忍、不人道或有辱人格的待遇或处罚)，1992年3月10日。\",\n \"[8] Iorgov诉保加利亚，第40653/98号申请，欧洲人权法院，第84段(2004年)；G.B.诉保加利亚，第42346/98号申请，欧洲法院，第85段(2004年)。\",\n \"[9] A.B.诉俄罗斯，第1439/06号申请，欧洲人权法院，第108段(2010年)。\",\n \"[10] Palushi诉奥地利，第27900/04号申请，欧洲人权法院，第72和第73段(2009年)。\",\n \"[11] A.B.诉俄罗斯，第111段。\",\n \"[12] Onoufriou诉塞浦路斯，第24407/04号申请，欧洲人权法院，第80段(2010年)。\",\n \"[13] Ocalan诉土耳其，第46221/99号申请，欧洲人权法院，第196段(2005年)。\",\n \"[14] Rohde诉丹麦，第69332/01号申请，欧洲人权法院，第97段(2005年)。\",\n \"[15] Ramirez Sanchez诉法国，第59450/00号申请，欧洲人权法院，第105、第106和第135段(2006年)。\",\n \"[16] 同上，第145段。\",\n \"[17] Velázquez-Rodríguez诉洪都拉斯，美洲人权法院，C系列第4号，第156段(1988年)。\",\n \"[18] Loayza-Tamayo诉秘鲁，美洲人权法院，C系列第33号，第58段(1997年)。\",\n \"[19] Cantoral-Benavides诉秘鲁，美洲人权法院，C系列第69号，第62和第104段(2000年)。\",\n \"[20] Suárez-Rosero诉厄瓜多尔，美洲人权法院，C系列第35号，第51至第56段(1997年)。\",\n \"[21] 《墨西哥人权状况报告》，美洲人权委员会，OEA/Ser.L/V/II.100,第254段(2008年)。\",\n \"[22] halev，同前，第25段。\",\n \"[23] Shalev，同前，第25和第26段。\",\n \"[24] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，Journal on Rehabilitation of Torture Victims and Prevention of Torture，第18卷，第56页(2008年)。\",\n \"[25] Shalev，同前，第26页。\",\n \"[26] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，第41段。\",\n \"[27] Ramirez Sanchez诉法国，第59450/00申请，欧洲人权法院，第102段(2006年)。\",\n \"[28] Solitary Confinement of Prisoners and Detainees in Israeli Prisons, Joint Project of Adalah, Al Mezan(Gaza)and Physicians for Human Rights(2011年6月，以色列)。\",\n \"[29] Shalev，同前，第42段。\",\n \"[30] 欧洲委员会防止酷刑委员会，向希腊政府提交的关于欧洲防止酷刑和不人道或有辱人格的待遇或处罚委员会访问希腊的报告，2006年12月20日(CPT/Inf(2006))，第41段。\",\n \"[31] 欧洲委员会，“防止酷刑委员会标准”(CPT/Inf/E (2002) 1 - Rev. 2010)，第二节，第48段。\",\n \"[32] Poltrotsky诉乌克兰,第146页(ECHR 2003-V)。\",\n \"[33] Peter Scharff Smith,“The Effects of Solitary Confinement on Prison Inmates”，Crime and Justice(2006年),第34卷，第449页。\",\n \"[34] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，Journal of Law and Policy(2006年),第22卷，第325页。\",\n \"[35] Ilaşcu等人诉摩尔多瓦和俄罗斯，第48787/99号申请，欧洲人权法院(2004年)，第432段。\",\n \"[36] Mathew诉荷兰，第24919/03号申请，第202段。\",\n \"[37] G.B.诉保加利亚，第85段。\",\n \"[38] Valasinas诉立陶宛，第44558/98号申请，欧洲人权法院(2001年)，第112页；Ocalan诉土耳其，第193段。\",\n \"[39] Rohde诉丹麦，第97段。\",\n \"[40] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，第1页。\",\n \"[41] Shalev，同前，第2页。\",\n \"[42] A.B.诉俄罗斯，第1439/06号申请，欧洲人权法院(2010年)，第135段。\",\n \"[43] “USA：The Cruel and Inhumane Treatment of Albert Woodfox and Herman Wallace”，大赦国际(2001年)。\",\n \"[44] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”(1993年)，第1页。\",\n \"[45] 同上，第8页。\",\n \"[46] 同上，第2页。\",\n \"[47] 同上，第20页。\",\n \"[48] Shalev，同前，第13和第22页。\",\n \"[49] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，第332和第333页。\",\n \"[50] 《儿童权利公约》，第37(c)条；《联合国囚犯待遇最低限度标准规则》，第8(d)条。\",\n \"[51] Robert Wildeboer,“The Impact of Solitary Confinement in a Youth Prison”，Inside and Out,(2010年，芝加哥)。\",\n \"[52] Shalev，同前，第26页。\",\n \"[53] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，Shalev，同前，第10页。\",\n \"[54] 美国公民自由联盟，“Abuse of the Human Rights of Prisoners in the United States:Solitary Confinement”(2011年)。\",\n \"[55] Jeffrey L.Metyner医生和Jamie Fellner, Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics, The Journal of the American Academy of Psychiatry and the Law, 第38卷，第104至第108页，2010年。\",\n \"[56] Heartland Alliance National Immigrant Justice Center,2011年6月16日给酷刑问题特别报告员的信。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 69 (b) of the provisional agenda*","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Torture and other cruel, inhuman or degrading treatment or punishment","Note by the Secretary-General","The Secretary-General has the honour to transmit to the General Assembly the interim report prepared by the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment, Juan E. Méndez, in accordance with General Assembly resolution 65/205.","Interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment","Summary","In the present report, submitted pursuant to General Assembly resolution 65/205, the Special Rapporteur addresses issues of special concern and recent developments in the context of his mandate.","The Special Rapporteur draws the attention of the General Assembly to his assessment that solitary confinement is practised in a majority of States. He finds that where the physical conditions and the prison regime of solitary confinement cause severe mental and physical pain or suffering, when used as a punishment, during pre-trial detention, indefinitely, prolonged, on juveniles or persons with mental disabilities, it can amount to cruel, inhuman or degrading treatment or punishment and even torture. In addition, the use of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will go undetected and unchallenged.","The report highlights a number of general principles to help to guide States to re-evaluate and minimize its use and, in certain cases, abolish the practice of solitary confinement. The practice should be used only in very exceptional circumstances, as a last resort, for as short a time as possible. He further emphasizes the need for minimum procedural safeguards, internal and external, to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person.","Contents","Page\nI.Introduction 4II. Activities 4 related to the \nmandate III.Solitary 7 \nconfinement A.Overview 7 of work undertaken by the \nmandate B.History 7 and current practice of solitary \nconfinement \nC.Definition 8D. Legal 9 \nframework E.States’ 12 rationale for the use of solitary \nconfinement F.Conditions 14 of solitary \nconfinement G. Prolonged 16 or indefinite solitary \nconfinement H. Psychological 17 and physiological effects of solitary \nconfinement I.Latent 18 effects of solitary \nconfinement J.Vulnerable 18 \nindividuals K.When 19 solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or \npunishment IV.Conclusions 21 and \nrecommendations \nAnnex Effectsof 26 solitary \nconfinement","I. Introduction","1. The present report, submitted pursuant to paragraph 39 of General Assembly resolution 65/205, is the thirteenth submitted to the General Assembly by the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment. It is the first report submitted by the present mandate holder.","2. The Special Rapporteur wishes to draw attention to his report to the Human Rights Council (A/HRC/16/52), in which he outlined his vision, working methods and priorities for his tenure as Special Rapporteur.","II. Activities related to the mandate","3. Below is a summary of the activities carried out by the Special Rapporteur pursuant to the mandate since the submission of his report to the Human Rights Council (A/HRC/16/52 and Add.1-6).","Communications concerning human rights violations","4. During the period from 1 December 2010 to 1 July 2011, he sent 20 letters of allegations of torture to 18 Governments, and 95 urgent appeals on behalf of persons who might be at risk of torture or other forms of ill-treatment to 48 Governments. In the same period 82 responses were received.","Country visits","5. With respect to fact-finding missions, an anticipated country visit to Kyrgyzstan for May 2011 was postponed, at the request of the Government, owing to ongoing political developments. By letter dated 28 July 2011, the Government of the Kyrgyz Republic proposed a country visit for the second half of August 2011. The Special Rapporteur welcomes this invitation; however, because of the short notice, he is discussing potential dates with the Government at the time of submitting the present report. He has accepted an invitation from the Government of Iraq to visit the country in October 2011. He has also been invited to visit Bahrain and is discussing dates with the Government. In addition to the pending country visit requests (see A/HRC/16/52, para. 6) the Special Rapporteur has requested a visit to Morocco with respect to Western Sahara.","6. The Special Rapporteur conducted a visit to Tunisia from 15 to 22 May 2011. He shared his preliminary findings with the interim Government and issued a press statement on 22 May expressing his appreciation to the Government for the full cooperation extended to him. He noted that the Government had undertaken a series of positive steps towards ensuring accountability and long-term reforms. However, he is of the view that a “wait and see attitude” in anticipation of the Constituent Assembly election may be hampering the possibility of delivering bold and aggressive steps in restoring justice for past and recent abuses. The Special Rapporteur stressed that swift, effective and independent criminal investigations against alleged perpetrators of torture and ill-treatment should be ensured and administrative programmes should be launched offering redress and reparation services to victims of past and recent violations. The report of the mission to Tunisia will be presented to the Human Rights Council at its nineteenth session in March 2012.","Key press statements","7. The Special Rapporteur issued the following press statements (many were joint statements with other mandate holders):","• On 31 December 2010 — expressing serious concern that enforced or involuntary disappearances, arbitrary detentions, extrajudicial, summary or arbitrary executions, and acts of sexual violence may have occurred or may still be occurring in Côte d’Ivoire in relation to the presidential elections.","• On 14 January 2011 — urging the Government of Tunisia to control the use of force against peaceful demonstrations, after at least 21 deaths were officially confirmed.","• On 3 February 2011 — on public unrest in Belarus, Egypt and Tunisia and the alleged infliction of torture or cruel, inhuman or degrading treatment in connection with suppression of peaceful demonstrations.","• On 17 February — urging the transitional Government in Egypt to establish an independent inquiry to investigate human rights violations during the revolution in that country, with the powers to transmit names and evidence for prosecution to the relevant authorities.","• On 18 February — urging the Governments of Bahrain and the Libyan Arab Jamahiriya to guarantee the right to peaceful protest and immediately cease the use of excessive and lethal force.","• On 22 February — on the situation of human rights defenders expressing serious concerns about gross violations of human rights that were being committed in the Libyan Arab Jamahiriya.","• On 3 March 2011 — condemning the violent crackdown on protesters in Yemen, and urging the Government to stop the excessive use of force as a means to end ongoing protests.","• On 22 March — expressing concerns about increased incidents of serious human rights violations in the capital of Bahrain.","• On 1 April 2011 — expressing concerns about serious human rights violations in Côte d’Ivoire, including enforced disappearances, extrajudicial killings, killing and maiming of children, and sexual violence which may amount to international crimes, and expressed the full support of the Special Rapporteur and other mandate holders for Security Council resolution 1975 (2011).","• On 11 April and 12 July — expressing frustration that despite his repeated requests to visit Private First Class Bradley E. Manning, the Government of the United States of America has not granted him unmonitored access to the detainee. The question of unfettered access goes beyond this case and touches on whether the Special Rapporteur would be able to conduct private and unmonitored interviews with detainees if he were to conduct a country visit to the United States.","• On 15 April — denouncing the rising death toll and brutal crackdown on peaceful protesters, journalists and human rights defenders in the Syrian Arab Republic despite the Government’s promises of reforms and consultations to end the 48-year-old emergency rule.","• On 1 July 2011 — urging the Government of the United States to stop the scheduled execution of Humberto Leal García in Texas.","Highlights of key presentations/consultations/training courses","8. From 8 to 9 February 2011, the Special Rapporteur participated in a meeting sponsored by Amnesty International in London to discuss “Developing International Best Practice for Inquiries and Investigations into Torture”. He also spoke at the All Party Parliamentary Group on Extraordinary Rendition.","9. On 22 February, he delivered a statement to the American Academy of Forensic Sciences at its 63rd annual meeting on “International framework and mechanisms for documenting conditions of detention, torture and ill-treatment”.","10. On 28 February, he met with high-ranking officials from the Department of State and the Department of Defense of the United States of America in Washington, D.C., and again with the Department of Defense on 22 April to discuss issues of mutual concern.","11. From 6 to 10 March 2011, the Special Rapporteur was in Geneva for the sixteenth session of the Human Rights Council and met with the Ambassadors of Iraq, Kyrgyzstan, Mexico, Thailand and the United States. He also met with all the Human Rights Council regional groups except for the Africa Group, which unfortunately could not be scheduled.","12. On 16 and 17 March, in Washington, D.C., he participated in a meeting with the Chair of the Committee against Torture, the Vice-Chair of the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Rapporteur on the Rights of Persons Deprived of Liberty of the Inter-American Commission on Human Rights, a representative of the European Committee for the Prevention of Torture and the Special Rapporteur on Detained Persons of the African Commission on Human and Peoples’ Rights. The meeting was organized jointly by the Washington College of Law of American University and the Association for the Prevention of Torture to discuss ways to strengthen the working relations of those mechanisms.","13. From 18 to 20 March, the Special Rapporteur made two presentations to the annual General Meeting and the fiftieth anniversary commemoration of the United States Section of Amnesty International in San Francisco.","14. On 1 June 2011, he was the keynote speaker at an event in Washington, D.C., organized by several faith-based groups and entitled “Accountability Today: Preventing Torture Tomorrow”.","15. From 15 to 17 June, the Special Rapporteur chaired, with the support of the Government of the Netherlands, a regional consultation on torture for the Americas in Santiago, Chile. The regional consultation was organized in partnership with the Association for the Prevention of Torture, the Centro de Estudios Legales y Sociales, Corporación Humanas — Centro Regional de Derechos Humanos y Justicia de Género and Conectas Direitos Humanos, and was an opportunity for governments, national institutions and organizations of civil society from 12 countries to discuss follow-up to recommendations of country visits and to strengthen local and regional protection mechanisms against torture and ill-treatment.","16. On 20 June, he met with the Director General for Foreign Policy, Ministry of Foreign Affairs of Chile, in Santiago.","17. From 27 June to 1 July, the Special Rapporteur participated in the eighteenth annual meeting of Special Rapporteurs in Geneva. He also met with representatives of the Governments of Iraq, Kyrgyzstan, the Netherlands, the Russian Federation, Tunisia and the United States of America.","18. On 7 July 2011, he met in Brasilia with the Minister for Human Rights in the Government of Brazil.","III. Solitary confinement","A. Overview of work undertaken by the mandate","19. In his first report as Special Rapporteur (A/HRC/16/52, para. 70), he recognized that “the question as to whether ... prolonged solitary confinement” constituted “per se cruel, inhuman or degrading treatment or punishment has given rise to much debate and discussion in the Human Rights Council”, and believed that “the international community as a whole would greatly benefit from a dispassionate and rational discussion of the issues”.","20. The Special Rapporteur has received complaints that solitary confinement is used in some countries in the context of administrative detention for national security or as a method to fight organized crime, as well as in immigration detention. He undertook this study because he found the practice of solitary confinement to be global in nature and subject to widespread abuse. In particular, the social isolation and sensory deprivation that is imposed by some States does, in some circumstances, amount to cruel, inhuman and degrading treatment and even torture.","21. The Special Rapporteur’s predecessors have noted that prolonged solitary confinement may itself amount to prohibited ill-treatment or torture (E/CN.4/1999/61, para. 394, and E/CN.4/2003/68, para. 26 (m)).","22. The Istanbul Statement on the Use and Effects of Solitary Confinement was annexed to the former Special Rapporteur’s 2008 interim report to the General Assembly (A/63/175, annex). The report concluded that “prolonged isolation of detainees may amount to cruel, inhuman or degrading treatment or punishment and, in certain instances, may amount to torture. ... [T]he use of solitary confinement should be kept to a minimum, used in very exceptional cases, for as short a time as possible, and only as a last resort. Regardless of the specific circumstances of its use, effort is required to raise the level of social contacts for prisoners: prisoner-prison staff contact, allowing access to social activities with other prisoners, allowing more visits and providing access to mental health services” (A/63/175, paras. 77 and 83).","B. History and current practice of solitary confinement","23. The history of the use of solitary confinement on detainees has been well documented. The practice can be traced to the 1820s in the United States of America, where it was believed that isolation of prisoners would aid in their rehabilitation. Under this model prisoners spent their entire day alone, mostly within the confines of their cells, including for work, in order to reflect on their transgressions away from negative external influences. Beginning in the 1830s, European and South American countries adopted this practice (A/63/175, para. 81). It must be recognized that 200 years ago this model was a socially and morally progressive way to deal with punishment, as it emphasized rehabilitation and attempted to substitute for the death penalty, limb amputations and other penalties then prevalent.","24. States around the world continue to use solitary confinement extensively (see A/63/175, para. 78). In some countries, the use of Super Maximum Security Prisons to impose solitary confinement as a normal, rather than an “exceptional”, practice for inmates is considered problematic. In the United States, for example, it is estimated that between 20,000 and 25,000 individuals are being held in isolation.[1] Another example is the extensive use of solitary confinement in relation to pretrial detention, which for many years has been an integral part of the Scandinavian prison practice.[2] Some form of isolation from the general prison population is used almost everywhere as punishment for breaches of prison discipline. Many States now use solitary confinement more routinely and for longer durations. For example, in Brazil, Law 10792 of 2003, amending the existing “Law of Penal Execution”, contemplates a “differentiated” disciplinary regime in an individual cell for up to 360 days, without prejudice to extensions of similar length for new offences and up to one sixth of the prison term. In 2010, the Province of Buenos Aires in Argentina instituted a Programme of Prevention of Violent Behaviour in its prisons which consists of isolation for a minimum of nine months (the initial three months in full isolation), a term that — according to prison monitors — is frequently extended.","C. Definition","25. There is no universally agreed upon definition of solitary confinement. The Istanbul Statement on the Use and Effects of Solitary Confinement defines solitary confinement as the physical isolation of individuals who are confined to their cells for 22 to 24 hours a day. In many jurisdictions, prisoners held in solitary confinement are allowed out of their cells for one hour of solitary exercise a day. Meaningful contact with other people is typically reduced to a minimum. The reduction in stimuli is not only quantitative but also qualitative. The available stimuli and the occasional social contacts are seldom freely chosen, generally monotonous, and often not empathetic.","26. Solitary confinement is also known as “segregation”, “isolation”,[3] “separation”, “cellular”,[4] “lockdown”, “Supermax”, “the hole” or “Secure Housing Unit (SHU)”,[5] but all these terms can involve different factors. For the purposes of this report, the Special Rapporteur defines solitary confinement as the physical and social isolation of individuals who are confined to their cells for 22 to 24 hours a day. Of particular concern to the Special Rapporteur is prolonged solitary confinement, which he defines as any period of solitary confinement in excess of 15 days. He is aware of the arbitrary nature of the effort to establish a moment in time which an already harmful regime becomes prolonged and therefore unacceptably painful. He concludes that 15 days is the limit between “solitary confinement” and “prolonged solitary confinement” because at that point, according to the literature surveyed, some of the harmful psychological effects of isolation can become irreversible.[6]","D. Legal framework","27. International and regional human rights bodies have taken different approaches to address the underlying conditions of social and physical isolation of detainees, and whether such practices constitute torture or cruel, inhuman or degrading treatment or punishment. For example, while the European Court of Human Rights has confronted solitary confinement regimes with regularity, the United Nations Human Rights Committee and the Inter-American Court of Human Rights have most extensively addressed the related phenomenon of incommunicado detention. For the purposes of this report, the Special Rapporteur will highlight the work of universal and regional human rights bodies on solitary confinement only.","1. International level","General Assembly","28. In 1990, the General Assembly adopted resolution 45/111, the Basic Principles for the Treatment of Prisoners. Principle 7 states that efforts to abolish solitary confinement as a punishment, or to restrict its use, should be undertaken and encouraged.","29. In the same year, the General Assembly adopted resolution 45/113, the United Nations Rules for the Protection of Juveniles Deprived of their Liberty. In paragraph 67 the Assembly asserted that “All disciplinary measures constituting cruel, inhuman or degrading treatment shall be strictly prohibited, including ... solitary confinement or any other punishment that may compromise the physical or mental health of the juvenile concerned”.","United Nations treaty bodies","30. The Human Rights Committee, in paragraph 6 of its General Comment No. 20, noted that prolonged solitary confinement of the detained or imprisoned person might amount to acts prohibited by article 7 of the International Covenant on Civil and Political Rights.[7] In its concluding observations on Rwanda, the Human Rights Committee recommended that “The State party should put an end to the sentence of solitary confinement ...” (CCPR/C/RWA/CO/3, para. 14).","31. The Committee against Torture has recognized the harmful physical and mental effects of prolonged solitary confinement and has expressed concern about its use, including as a preventive measure during pretrial detention, as well as a disciplinary measure. The Committee has recommended that the use of solitary confinement be abolished, particularly during pretrial detention, or at least that it should be strictly and specifically regulated by law (maximum duration, etc.) and exercised under judicial supervision, and used only in exceptional circumstances, such as when the safety of persons or property is involved (A/63/175, para. 80). The Committee has recommended that persons under the age of 18 should not be subjected to solitary confinement (CAT/C/MAC/CO/4, para. 8).","32. The Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment has pointed out that prolonged solitary confinement may amount to an act of torture and other cruel, inhuman or degrading treatment or punishment and recommended that solitary confinement should not be used in the case of minors or the mentally disabled (CAT/OP/PRY/1, para. 185). The Subcommittee has also recommended that a medical officer should visit prisoners held in solitary confinement every day, on the understanding that such visits should be in the interests of the prisoners’ health. Furthermore, prisoners held in solitary confinement for more than 12 hours should have access to fresh air for at least one hour each day (CAT/OP/PRY/1, para. 184). In view of the condition of solitary confinement, the Subcommittee has pointed out that beds and proper mattresses should be made available to all inmates, including prisoners held in solitary confinement (CAT/OP/HND/1, para. 227 (a), and CAT/OP/PRY/1, para. 280).","33. The Committee on the Rights of the Child, in its General Comment No. 10 (2007), emphasized that “disciplinary measures in violation of article 37 [of the Convention on the Rights of the Child] must be strictly forbidden, including ... closed or solitary confinement, or any other punishment that may compromise the physical or mental health or well-being of the child concerned” (CRC/C/GC/10, para. 89). Moreover, the Committee has urged States parties to prohibit and abolish the use of solitary confinement against children (CRC/C/15/Add.151, para. 41; CRC/C/15/Add.220, para. 45 (d); and CRC/C/15/Add.232, para. 36 (a)).","2. Regional level","European Court of Human Rights","34. In its evaluation of cases of solitary confinement, the European Court of Human Rights considers the rationale given by the State for the imposition of social and physical isolation. The Court has found violations of article 3 of the European Convention on Human Rights where States do not provide a security-based justification for the use of solitary confinement.[8] In circumstances of prolonged solitary confinement, the Court has held that the justification for solitary confinement must be explained to the individual and the justification must be “increasingly detailed and compelling” as time goes on.[9]","35. Through its jurisprudence, the European Court of Human Rights emphasizes that certain procedural safeguards must be in place during the imposition of solitary confinement, for example, monitoring a prisoner’s physical well-being,⁹ particularly where the individual is not in good health[10] and having access to judicial review.[11]","36. The level of isolation imposed on an individual is essential to the European Court of Human Rights’ assessment of whether instances of physical and mental isolation constitute torture or cruel, inhuman or degrading treatment or punishment. A prolonged absolute prohibition of visits from individuals from outside the prison causes suffering “clearly exceeding the unavoidable level inherent in detention”.[12] However, where the individual can receive visitors and write letters,[13] have access to television, books and newspapers and regular contact with prison staff[14] or visit with clergy or lawyers on a regular basis,[15] isolation is “partial”, and the minimum threshold of severity — which the European Court of Human Rights considers necessary to find a violation of article 3 of the European Convention on Human Rights — is not met. Nevertheless, the Court has emphasized that solitary confinement, even where the isolation is only partial, cannot be imposed on a prisoner indefinitely.[16]","Inter-American System on Human Rights","37. The jurisprudence on solitary confinement within the Inter-American System on Human Rights is more conclusive than within the bodies discussed above. Since its earliest judgments, the Inter-American Court of Human Rights has found that certain elements of a prison regime and certain physical prison conditions in themselves constitute cruel and inhuman treatment, and therefore violate article 5 of the American Convention on Human Rights, which recognizes the right to the integrity of the person. For example, the Court held that “prolonged isolation and deprivation of communication are in themselves cruel and inhuman treatment, harmful to the psychological and moral integrity of the person and a violation of the right of any detainee to respect for his inherent dignity as a human being”.[17] The Court has additionally addressed physical conditions of detention, asserting that “isolation in a small cell, without ventilation or natural light, ... [and] restriction of visiting rights ..., constitute forms of cruel, inhuman and degrading treatment”.[18]","38. The Court has additionally recognized that solitary confinement results in psychological and physical suffering that may contribute to treatment that constitutes torture. In at least one case, the Court has identified the physical conditions of solitary confinement, including “a small cell with no ventilation or natural light”, and a prison regime where a detained individual “is held for 23 and a half hours a day ..., [and] permitted to see his relatives only once a month, but could have no physical contact with them”, when coupled with other forms of physical and psychological aggression, in sum may constitute physical and psychological torture.[19]","39. In its analysis of solitary confinement, the Court has noted that even when used in exceptional circumstances, procedural safeguards must be in place. For example, “the State is obliged to ensure that the detainee enjoys the minimum and non-derogable guarantees established in the [American] Convention and, specifically, the right to question the lawfulness of the detention and the guarantee of access to effective defense during his incarceration”.[20] Similarly, the Inter‑American Commission on Human Rights has consistently held that all forms of disciplinary action taken against detained persons must comport with the norms of due process and provide opportunity for judicial review.[21]","E. States’ rationale for the use of solitary confinement","40. The justifications provided by States for the use of solitary confinement fall into five general categories:","(a) To punish an individual (as part of the judicially imposed sentence or as part of a disciplinary regime);","(b) To protect vulnerable individuals;","(c) To facilitate prison management of certain individuals;","(d) To protect or promote national security;","(e) To facilitate pre-charge or pretrial investigations.","41. The imposition of solitary confinement as a part of an individual’s judicially imposed sentence often arises in circumstances of particularly egregious crimes or crimes against the State.[22] For instance, in some central European States, individuals convicted and sentenced to capital punishment and to life imprisonment serve their time in solitary confinement (A/64/215, para. 53). In other States, such as in Mongolia, death sentences may be commuted to life sentences spent in solitary confinement (E/CN.4/2006/6/Add.4, para. 47). The use of solitary confinement as a disciplinary measure within prisons is also well documented and is likely the most pervasive rationale for the use of solitary confinement as a form of punishment.²² Disciplinary measures usually involve the violation of a prison rule. For instance, in Nigeria detainees are punished with solitary confinement of up to three days for disciplinary offences (A/HRC/7/3/Add.4, appendix I, para. 113). Similarly, in the Abepura Prison in Indonesia, solitary confinement for up to eight days is used as a disciplinary measure for persons who violate prison rules (A/HRC/7/3/Add.7, appendix I, para. 37).","42. Solitary confinement is also used to separate vulnerable individuals, including juveniles, persons with disabilities, and lesbian, gay, bisexual and transgender persons, for their own protection. They may be placed in solitary confinement at their own request or at the discretion of prison officials.[23]","43. State officials also use solitary confinement as a tool to manage certain prison populations. Individuals determined to be dangerous, such as gang members, or at high risk of escape may be placed in solitary confinement.²³ Similarly, individuals determined to be at risk of injury, such as sex offenders, informants, and former correctional or law enforcement officers, are often allowed, or encouraged, to choose voluntary solitary confinement in order to protect themselves from fellow inmates.[24] Prisoners may also be placed in some form of solitary confinement in the interests of prison management before, during or after transportation to and from cells and detention facilities.[25] While the duration of solitary confinement when used as a management tool may vary considerably, it is notable that the motivation for its imposition is pragmatic rather than punitive.","44. Individuals determined to be terrorist suspects or national security risks are often subjected to solitary confinement as well. For instance, in Equatorial Guinea a section of the Black Beach Prison consisting of single cells is used for solitary confinement of high security prisoners (A/HRC/13/39/Add.4, appendix I). Solitary confinement can be also used as a coercive interrogation technique, and is often an integral part of enforced disappearance or incommunicado detention (A/63/175, annex). As noted within category (a) in paragraph 40 above, national security also serves as a primary reason for the imposition of solitary confinement as a result of a judicial sentence. For example, in China an individual sentenced for “unlawfully supplying State secrets or intelligence to entities outside China” was allegedly held in solitary confinement for two years of her eight-year sentence (E/CN.4/2006/6/ Add.6, appendix 2, para. 26).","45. States also use solitary confinement to isolate individuals during pre-charge or pretrial detention. In some States, such as Denmark, holding individuals in solitary confinement is a regular feature of pretrial detention (A/63/175, para. 78 (i)). The purposes for the use of solitary confinement in pre-charge and pretrial detention vary widely, and include preventing the intermingling of detainees to avoid demoralization and collusion, and to apply pressure on detainees to elicit cooperation or extract a confession.[26]","F. Conditions of solitary confinement","46. The administration of prisons and the conditions in which prisoners are held is governed by prison regulations and national laws, as well as by international human rights law. Fundamental norms that are binding by virtue of being treaty-based or part of customary international law are supplemented and interpreted through the United Nations Standard Minimum Rules for the Treatment of Prisoners, adopted by the Economic and Social Council in 1957. Although not directly binding, the Standard Minimum Rules are widely accepted as the universal norm for the humane treatment of prisoners.","47. The particular conditions in which detainees are held in solitary confinement vary between institutions and jurisdictions. Most, however, have a number of physical and non-physical conditions (or a prison regime) in common.","1. Physical conditions","48. The principal physical conditions relevant to solitary confinement are cell size, presence of windows and light, and access to sanitary fixtures for personal hygiene. In practice, solitary confinement cells typically share some common features, including: location in a separate or remote part of the prison; small, or partially covered windows; sealed air quality; stark appearance and dull colours; toughened cardboard or other tamperproof furniture bolted to the floor; and small and barren exercise cages or yards (E/CN.4/2006/6/Add.3, para. 47). In some jurisdictions, prisoners in solitary confinement are held in leg irons and subjected to other physical restraints (A/HRC/13/39/Add.4, para. 76 (f)).","49. There is no universal instrument that specifies a minimum acceptable cell size, although domestic and regional jurisdictions have sometimes ruled on the matter. According to the European Court of Human Rights in Ramírez Sanchez v. France, a cell measuring 6.84 square metres is “large enough” for single occupancy.[27] The Court did not elaborate on why such measures could be considered adequate; the Special Rapporteur respectfully begs to differ, especially if the single cell should also contain, at a minimum, toilet and washing facilities, bedding and a desk.","50. The presence of windows and light is also of critical importance to the adequate treatment of detainees in solitary confinement. Under rule 11 of the Standard Minimum Rules for the Treatment of Prisoners, there should be sufficient light to enable the detainee to work or read, and windows so constructed as to allow airflow whether or not artificial ventilation is provided. However, State practice reveals that this standard is often not met. For example, in Georgia, window-openings in solitary confinement cells were found to have steel sheets welded to the outside bars, which restricted light and ventilation (E/CN.4/2006/6/Add.3, para. 47). In Israel, solitary confinement cells are often lit with fluorescent bulbs as their only source of light, and they have no source of fresh air.[28]","51. Rules 12 and 13 of the Standard Minimum Rules stipulate that detention facilities should provide sufficient sanitary fixtures to allow for the personal hygiene of the detainee. Therefore, cells used for solitary confinement should contain a lavatory and wash-basin within the cell.[29] In its 2006 report on Greece, the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment observed that isolation cells in the Komotini Prison failed to meet the necessary minimum standard for sanitary fixtures because detainees were forced to use the toilet for a wash-basin as well.[30] Other environmental factors, such as temperature, noise level, privacy, and soft materials for cell furnishings may also be implicated in the solitary confinement setting.","2. Prison regime","52. The principal aspects of a prison regime relevant to an assessment of the conditions of solitary confinement include access to outdoor exercise and programming, access to meaningful human contact within the prison, and contact with the outside world. In accordance with rule 21 of the Standard Minimum Rules for the Treatment of Prisoners, every prisoner who is not employed in outdoor work shall have at least one hour of suitable exercise in the open air daily if the weather permits. Similarly, the European Committee for the Prevention of Torture emphasizes that all prisoners without exception should be afforded the opportunity to have one hour of open-air exercise per day.[31] However, State practice indicates that these standards are not always observed. In Jordan, for example, a detainee was allowed outside of his solitary confinement cell for only one hour per week (A/HRC/4/33/Add.3, appendix, para. 21). In Poltrotsky v. Ukraine, the European Court of Human Rights found that a lack of opportunity for outdoor exercise, coupled with a lack of access to natural light, constitutes a violation of article 3 of the European Convention on Human Rights.[32]","53. Access to meaningful human contact within the prison and contact with the outside world are also essential to the psychological health of detainees held in solitary confinement, especially those held for prolonged periods of time. Within prisons this contact could be with health professionals, prison guards or other prisoners. Contact with the outside world could include visits, mail, and phone calls from legal counsel, family and friends, and access to reading material, television or radio. Article 17 of the International Covenant on Civil and Political Rights grants prisoners the right to family and correspondence. Additionally, the Standard Minimum Rules for the Treatment of Prisoners provide for various external stimuli (articles 21 on exercise and sport; 37-39 on contact with the outside world; 40 on books; 41 and 42 on religion; 71-76 on work; 77 and 78 on education and recreation; and 79-81 on social relations and after-care).","3. Social isolation","54. Solitary confinement reduces meaningful social contact to an absolute minimum. The level of social stimulus that results is insufficient for the individual to remain in a reasonable state of mental health.[33]","55. Research shows that deprived of a sufficient level of social stimulation, individuals soon become incapable of maintaining an adequate state of alertness and attention to their environment. Indeed, even a few days of solitary confinement will shift an individual’s brain activity towards an abnormal pattern characteristic of stupor and delirium.[34] Advancements in new technologies have made it possible to achieve indirect supervision and keep individuals under close surveillance with almost no human interaction. The European Court of Human Rights has recognized that “complete sensory isolation, coupled with total social isolation, can destroy the personality and constitutes a form of inhuman treatment which cannot be justified by the requirements of security or any other reason”.[35]","56. According to the European Court of Human Rights, States should also take steps to reduce the negative impact of solitary confinement.[36] Where the damaging effects of solitary confinement on a particular individual are known, the regime cannot continue.[37] The conditions of confinement are relevant in this respect, because where conditions are beyond reproach, the Court considers it unlikely that the minimum threshold of severity to find a violation of article 3 will be reached.[38] Routine examination by doctors can be a factor in determining that there was no violation of article 3.[39]","G. Prolonged or indefinite solitary confinement","57. The use of prolonged or indefinite solitary confinement has increased in various jurisdictions, especially in the context of the “war on terror” and “a threat to national security”. Individuals subjected to either of these practices are in a sense in a prison within a prison and thus suffer an extreme form of anxiety and exclusion, which clearly supersede normal imprisonment. Owing to their isolation, prisoners held in prolonged or indefinite solitary confinement can easily slip out of sight of justice, and safeguarding their rights is therefore often difficult, even in States where there is a strong adherence to rule of law.[40]","58. When a State fails to uphold the Standard Minimum Rules for the Treatment of Prisoners during a short period of time of solitary confinement, there may be some debate on whether the adverse effects amount to cruel, inhuman or degrading treatment or punishment or torture. However, the longer the duration of solitary confinement or the greater the uncertainty regarding the length of time, the greater the risk of serious and irreparable harm to the inmate that may constitute cruel, inhuman or degrading treatment or punishment or even torture.","59. The feeling of uncertainty when not informed of the length of solitary confinement exacerbates the pain and suffering of the individuals who are subjected to it. In some instances, individuals may be held indefinitely during pretrial detention, increasing the risk of other forms of cruel, inhuman or degrading treatment or punishment or torture (CAT/C/DNK/CO/5, para. 14).","60. Most studies fail to specify the length of time after which solitary confinement becomes prolonged. While the term may be undefined, detainees can be held in solitary confinement from a few weeks to many years. For example, in Kazakhstan, individuals can be held in solitary confinement for more than two months (A/HRC/13/39/Add.3, para. 117). Some detainees have been held in solitary confinement facilities for years, without any charge and without trial, and in secret detention centres where isolation is used as an integral part of interrogation practices.[41] In a joint report on the situation of detainees at Guantánamo Bay, experts found that although 30 days of isolation was the maximum period permissible, some detainees were returned to isolation after very short breaks over a period of up to 18 months (E/CN.4/2006/120, para. 53).","61. There is no international standard for the permitted maximum overall duration of solitary confinement. In A.B. v. Russia, the European Court of Human Rights held that detaining an individual in solitary confinement for three years constituted a violation of article 3 of the European Convention on Human Rights.[42] By contrast, in the United States of America, it is reported that two prisoners have been held in solitary confinement in a Louisiana prison for 40 years after failed attempts at judicial appeal of the conditions of their confinement.[43] As explained in paragraph 26 above, the Special Rapporteur finds that solitary confinement exceeding 15 days is prolonged.","H. Psychological and physiological effects of solitary confinement","62. Negative health effects can occur after only a few days in solitary confinement, and the health risks rise with each additional day spent in such conditions. Experts who have examined the impact of solitary confinement have found three common elements that are inherently present in solitary confinement — social isolation, minimal environmental stimulation and “minimal opportunity for social interaction”.[44] Research further shows that solitary confinement appears to cause “psychotic disturbances,” a syndrome that has been described as “prison psychoses”.[45] Symptoms can include anxiety, depression, anger, cognitive disturbances, perceptual distortions, paranoia and psychosis and self-harm (see annex for a comprehensive list of symptoms).","63. Some individuals experience discrete symptoms while others experience a “severe exacerbation of a previously existing mental condition or the appearance of a mental illness where none had been observed before”.[46] Still, a significant number of individuals will experience serious health problems regardless of the specific conditions, regardless of time and place, and regardless of pre-existing personal factors.","I. Latent effects of solitary confinement","64. There is a lack of research into the latent effects of solitary confinement. While the acute effects of solitary confinement generally recede after the period of solitary confinement ends, some of the negative health effects are long term. The minimal stimulation experienced during solitary confinement can lead to a decline in brain activity in individuals after seven days. One study found that “up to seven days, the [brain activity] decline is reversible, but if deprived over a long period this may not be the case”.[47]","65. Studies have found continued sleep disturbances, depression, anxiety, phobias, emotional dependence, confusion, impaired memory and concentration long after the release from isolation. Additionally, lasting personality changes often leave individuals formerly held in solitary confinement socially impoverished and withdrawn, subtly angry and fearful when forced into social interaction.[48] Intolerance of social interaction after a period of solitary confinement is a handicap that often prevents individuals from successfully readjusting to life within the broader prison population and severely impairs their capacity to reintegrate into society when released from imprisonment.[49]","J. Vulnerable individuals","1. Juveniles","66. United Nations treaty bodies consistently recommend that juvenile offenders, children or minors should not be subjected to solitary confinement (CAT/C/MAC/CO/4, para. 8; CAT/OP/PRY/1, para. 185; CRC/C/15/Add.151, para. 41; and CRC/C/15/Add.232, para. 36 (a)). Juveniles are often held in solitary confinement either as a disciplinary measure, or to separate them from the adult inmate population, as international human rights law prohibits the intermingling of juvenile and adult prison populations.[50] Regrettably, solitary confinement as a form of punishment of juvenile detainees has been prevalent in States such as Jamaica (A/HRC/16/52/Add.3, para. 211), Paraguay (A/HRC/7/3/Add.3, appendix I, para. 46) and Papua New Guinea (A/HRC/16/52/Add.5, appendix). In regard to disciplinary measures, a report has indicated that solitary confinement does not reduce violence among juvenile offenders detained in the youth prison.[51]","2. Persons with disabilities","67. Persons with disabilities are held in solitary confinement in some jurisdictions as a substitute for proper medical or psychiatric care or owing to the lack of other institutional housing options. These individuals may not necessarily pose danger to others or to themselves, but they are vulnerable to abuse and often regarded as a disturbance to other prisoners and prison staff.[52]","68. Research has shown that with respect to mental disabilities, solitary confinement often results in severe exacerbation of a previously existing mental condition.[53] Prisoners with mental health issues deteriorate dramatically in isolation.[54] The adverse effects of solitary confinement are especially significant for persons with serious mental health problems which are usually characterized by psychotic symptoms and/or significant functional impairments.[55] Some engage in extreme acts of self-mutilation and even suicide.⁵⁴","3. Lesbian, gay, bisexual and transgender","69. Lesbian, gay, bisexual and transgender individuals are often subjected to solitary confinement as a form of “protective custody”.[56] Although segregation of such individuals may be necessary for their safety, lesbian, gay, bisexual and transgender status does not justify limitations on their social regime, e.g., access to recreation, reading materials, legal counsel or medical doctors.","K. When solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or punishment","70. Because of the absence of witnesses, solitary confinement increases the risk of acts of torture and other cruel, inhuman or degrading treatment or punishment. Given its severe adverse health effects, the use of solitary confinement itself can amount to acts prohibited by article 7 of the International Covenant on Civil and Political Rights, torture as defined in article 1 of the Convention against Torture or cruel, inhuman or degrading punishment as defined in article 16 of the Convention.","71. The assessment of whether solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or punishment should take into consideration all relevant circumstances on a case-by-case basis. These circumstances include the purpose of the application of solitary confinement, the conditions, length and effects of the treatment and, of course, the subjective conditions of each victim that make him or her more or less vulnerable to those effects. In this section, the report discusses a few circumstances where the use of solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment.","72. Solitary confinement, when used for the purpose of punishment, cannot be justified for any reason, precisely because it imposes severe mental pain and suffering beyond any reasonable retribution for criminal behaviour and thus constitutes an act defined in article 1 or article 16 of the Convention against Torture, and a breach of article 7 of the International Covenant on Civil and Political Rights. This applies as well to situations in which solitary confinement is imposed as a result of a breach of prison discipline, as long as the pain and suffering experienced by the victim reaches the necessary severity.","73. While physical and social segregation may be necessary in some circumstances during criminal investigations, the practice of solitary confinement during pretrial detention creates a de facto situation of psychological pressure which can influence detainees to make confessions or statements against others and undermines the integrity of the investigation. When solitary confinement is used intentionally during pretrial detention as a technique for the purpose of obtaining information or a confession, it amounts to torture as defined in article 1 or to cruel, inhuman or degrading treatment or punishment under article 16 of the Convention against Torture, and to a breach of article 7 of the International Covenant on Civil and Political Rights.","74. Where the physical conditions of solitary confinement are so poor and the regime so strict that they lead to severe mental and physical pain or suffering of individuals who are subjected to the confinement, the conditions of solitary confinement amount to torture or to cruel and inhuman treatment as defined in articles 1 and 16 of the Convention, and constitute a breach of article 7 of the Covenant.","75. The use of solitary confinement can be accepted only in exceptional circumstances where its duration must be as short as possible and for a definite term that is properly announced and communicated. Given the harmful effects of indefinite solitary confinement, its potential use to extract information or confession during pretrial detention, and the fact that uncertainty prevents the use of remedies to challenge it, the Special Rapporteur finds that indefinite imposition of solitary confinement violates the right to due process of the concerned individual (article 9 of the Covenant, articles 1 or 16 of the Convention, and article 7 of the Covenant).","76. The Special Rapporteur asserts that social isolation is contrary to article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which states that “The penitentiary system shall comprise treatment of prisoners the essential aim of which shall be their reformation and social rehabilitation” (General Assembly resolution 2200 (XXI), annex). Long periods of isolation do not aid the rehabilitation or re-socialization of detainees (E/CN.4/2006/6/Add.4, para. 48). The adverse acute and latent psychological and physiological effects of prolonged solitary confinement constitute severe mental pain or suffering. Thus the Special Rapporteur concurs with the position taken by the Committee against Torture in its General Comment No. 20 that prolonged solitary confinement amounts to acts prohibited by article 7 of the Covenant, and consequently to an act as defined in article 1 or article 16 of the Convention. For these reasons, the Special Rapporteur reiterates that, in his view, any imposition of solitary confinement beyond 15 days constitutes torture or cruel, inhuman or degrading treatment or punishment, depending on the circumstances. He calls on the international community to agree to such a standard and to impose an absolute prohibition on solitary confinement exceeding 15 consecutive days.","77. With respect to juveniles, the Declaration of the Rights of the Child and the Preamble of the Convention on the Rights of the Child state that, given their physical and mental immaturity, juveniles need special safeguards and care, including appropriate legal protection. Article 19 of the Convention on the Rights of the Child (General Assembly resolution 44/25) requires States Parties to “take all appropriate legislative, administrative, social and educational measures to protect the child from all forms of physical or mental violence …” In its General Comment No. 8, the Committee on the Rights of the Child indicated that “There is no ambiguity: ‘all forms of physical or mental violence’ does not leave room for any level of legalized violence against children” (CRC/C/GC/8, para. 18). Paragraph 67 of the United Nations Rules for the Protection of Juveniles Deprived of their Liberty, adopted by the General Assembly in resolution 45/113 of 14 December 1990, states that “All disciplinary measures constituting cruel, inhuman or degrading treatment shall be strictly prohibited, including ... solitary confinement or any other punishment that may compromise the physical or mental health of the juvenile concerned” (see also CRC/C/GC/10, para. 89). Thus the Special Rapporteur holds the view that the imposition of solitary confinement, of any duration, on juveniles is cruel, inhuman or degrading treatment and violates article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.","78. The right of persons with mental disabilities to be treated with humanity and with respect for the inherent dignity guaranteed under article 10 of the Covenant should be interpreted in light of the Principles for the Protection of Persons with Mental Illness and for the Improvement of Mental Health Care, adopted by the General Assembly on 17 December 1991 (resolution 46/119, annex). Given their diminished mental capacity and that solitary confinement often results in severe exacerbation of a previously existing mental condition, the Special Rapporteur believes that its imposition, of any duration, on persons with mental disabilities is cruel, inhuman or degrading treatment and violates article 7 of the Covenant and article 16 of the Convention.","IV. Conclusions and recommendations","Conclusions","79. The Special Rapporteur stresses that solitary confinement is a harsh measure which may cause serious psychological and physiological adverse effects on individuals regardless of their specific conditions. He finds solitary confinement to be contrary to one of the essential aims of the penitentiary system, which is to rehabilitate offenders and facilitate their reintegration into society. The Special Rapporteur defines prolonged solitary confinement as any period of solitary confinement in excess of 15 days.","80. Depending on the specific reason for its application, conditions, length, effects and other circumstances, solitary confinement can amount to a breach of article 7 of the International Covenant on Civil and Political Rights, and to an act defined in article 1 or article 16 of the Convention against Torture. In addition, the use of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will go undetected and unchallenged.","81. Considering the severe mental pain or suffering solitary confinement may cause when used as a punishment, during pretrial detention, indefinitely or for a prolonged period, for juveniles or persons with mental disabilities, it can amount to torture or cruel, inhuman or degrading treatment or punishment. The Special Rapporteur is of the view that where the physical conditions and the prison regime of solitary confinement fail to respect the inherent dignity of the human person and cause severe mental and physical pain or suffering, it amounts to cruel, inhuman or degrading treatment or punishment.","Recommendations","82. The Special Rapporteur calls upon States to respect and protect the rights of persons deprived of liberty while maintaining security and order in places of detention. He recommends that States conduct regular reviews of the system of solitary confinement. In this context, the Special Rapporteur reiterates that States should refer to the Istanbul Statement on the Use and Effects of Solitary Confinement as a useful tool in efforts to promote the respect and protection of the rights of detainees.","83. The Special Rapporteur calls upon States to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person as protected by article 10, paragraph 1, of the International Covenant on Civil and Political Rights. The Special Rapporteur refers to the Standard Minimum Rules for the Treatment of Prisoners and recommends that States increase the level of psychological, meaningful social contact for detainees while in solitary confinement.","84. The Special Rapporteur urges States to prohibit the imposition of solitary confinement as punishment — either as a part of a judicially imposed sentence or a disciplinary measure. He recommends that States develop and implement alternative disciplinary sanctions to avoid the use of solitary confinement.","85. States should take necessary steps to put an end to the practice of solitary confinement in pretrial detention. The use of solitary confinement as an extortion technique during pretrial detention should be abolished. States should adopt effective measures at the pretrial stage to improve the efficiency of investigation and introduce alternative control measures in order to segregate individuals, protect ongoing investigations, and avoid detainee collusion.","86. States should abolish the use of solitary confinement for juveniles and persons with mental disabilities. Regarding disciplinary measures for juveniles, the Special Rapporteur recommends that States should take other measures that do not involve the use of solitary confinement. In regard to the use of solitary confinement for persons with mental disabilities, the Special Rapporteur emphasizes that physical segregation of such persons may be necessary in some cases for their own safety, but solitary confinement should be strictly prohibited.","87. Indefinite solitary confinement should be abolished.","88. It is clear that short-term solitary confinement can amount to torture or cruel, inhuman or degrading treatment or punishment; it can, however, be a legitimate device in other circumstances, provided that adequate safeguards are in place. In the opinion of the Special Rapporteur, prolonged solitary confinement, in excess of 15 days, should be subject to an absolute prohibition.","89. The Special Rapporteur reiterates that solitary confinement should be used only in very exceptional circumstances, as a last resort, for as short a time as possible. He emphasizes that when solitary confinement is used in exceptional circumstances, minimum procedural safeguards must be followed. These safeguards reduce the chances that the use of solitary confinement will be arbitrary or excessive, as in the case of prolonged or indefinite confinement. They are all the more important in circumstances of detention where due process protections are often limited, as in administrative immigration detention. Minimum procedural safeguards should be interpreted in a manner that provides the greatest possible protection of the rights of detained individuals. In this context, the Special Rapporteur urges States to apply the following guiding principles and procedural safeguards.","Guiding principles","90. Throughout the period of detention, the physical conditions and prison regime of the solitary confinement, and in particular the duration of confinement, must be proportional to the severity of the criminal or disciplinary infraction for which solitary confinement is imposed.","91. The physical conditions and prison regime of solitary confinement must be imposed only as a last resort where less restrictive measures could not achieve the intended disciplinary goals.","92. Solitary confinement must never be imposed or allowed to continue except where there is an affirmative determination that it will not result in severe pain or suffering, whether physical or mental, giving rise to acts as defined in article 1 or article 16 of the Convention against Torture.","93. All assessments and decisions taken with respect to the imposition of solitary confinement must be clearly documented and readily available to the detained persons and their legal counsel. This includes the identity and title of the authority imposing solitary confinement, the source of his or her legal attributes to impose it, a statement of underlying justification for its imposition, its duration, the reasons for which solitary confinement is determined to be appropriate in accordance with the detained person’s mental and physical health, the reasons for which solitary confinement is determined to be proportional to the infraction, reports from regular review of the justification for solitary confinement, and medical assessments of the detained person’s mental and physical health.","Internal safeguards","94. From the moment that solitary confinement is imposed, through all stages of its review and decisions of extension or termination, the justification and duration of the solitary confinement should be recorded and made known to the detained person. Additionally, the detained person should be informed of what he or she must do to be removed from solitary confinement. In accordance with rule 35 of the Standard Minimum Rules for the Treatment of Prisoners, the detained person must receive this information in plain language that he or she understands. This information must additionally be provided to any legal representative of the detained person.","95. A documented system of regular review of the justification for the imposition of solitary confinement should be in place. The review should be conducted in good faith and carried out by an independent body. Any change in the factors that justified the imposition of solitary confinement should immediately trigger a review of the detained person’s solitary confinement. All review processes must be documented.","96. Persons held in solitary confinement must be provided with a genuine opportunity to challenge both the nature of their confinement and its underlying justification through a process of administrative review. At the outset of the imposition of solitary confinement, detained persons must be informed of their alleged criminal or disciplinary infraction for which solitary confinement is being imposed and must immediately have an opportunity to challenge the reasons for their detention. Following the imposition of solitary confinement, detained persons must have the opportunity to file a complaint to prison management through an internal or administrative complaints system.","97. There shall be no limitations imposed on the request or complaint, such as requiring evidence of both mental or emotional suffering and physical suffering. Prison officials have an obligation to address all requests or complaints promptly, informing the detained person of the outcome. All internal administrative findings must be subject to external appeal through judicial processes.","External safeguards","98. Detained persons held in solitary confinement must be afforded genuine opportunities to challenge both the nature of their confinement and its underlying justification through the courts of law. This requires a right to appeal all final decisions by prison authorities and administrative bodies to an independent judicial body empowered to review both the legality of the nature of the confinement and its underlying justification. Thereafter, detained persons must have the opportunity to appeal these judgements to the highest authority in the State and, after exhaustion of domestic remedies, seek review by regional or universal human rights bodies.","99. Individuals must have free access to competent legal counsel throughout the period in which they are held in solitary confinement. Where necessary to facilitate complete and open communication between a detainee and his or her legal counsel, access to an interpreter must be provided.","100. There should be a documented system of regular monitoring and review of the inmate’s physical and mental condition by qualified medical personnel, both at the initiation of solitary confinement and on a daily basis throughout the period in which the detained person remains in solitary confinement, as required by rule 32, paragraph 3, of the Standard Minimum Rules for the Treatment of Prisoners. Medical personnel monitoring detained persons should have specialized training in psychological assessment and/or the support of specialists in psychology. Additionally, medical personnel must be independent and accountable to an authority outside of the prison administration. Preferably, they should belong to the general national health structure. Any deterioration of the inmate’s mental or physical condition should trigger a presumption that the conditions of confinement are excessive and activate an immediate review.","101. Medical personnel should additionally inspect the physical conditions of the inmate’s confinement in accordance with article 26 of the Standard Minimum Rules for the Treatment of Prisoners. Relevant considerations include the level of hygiene and cleanliness of the facility and the inmate, heating, lighting and ventilation of the cell, suitability of clothing and bedding, adequate supply of food and water and observance of the rules concerning physical exercise.","Annex","Effects of solitary confinement","^(a) Sharon Shalev, A Sourcebook on Solitary Confinement (London, Mannheim Centre for Criminology, 2008), pp. 15-17; also Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature”, Crime and Justice, vol. 34 (2006), p. 441.","Many symptoms may present themselves in individuals held in solitary confinement, both concurrent with their solitary confinement and after the period of solitary confinement has terminated. The following list prepared by Dr. Sharon Shalev^(a) demonstrates a range of possible symptoms.","Anxiety, ranging from feelings of tension to full-blown panic attacks","• Persistent low level of stress","• Irritability or anxiousness","• Fear of impending death","• Panic attacks","Depression, varying from low mood to clinical depression","• Emotional flatness/blunting — loss of ability to have any “feelings”","• Mood swings","• Hopelessness","• Social withdrawal; loss of initiation of activity or ideas; apathy; lethargy","• Major depression","Anger, ranging from irritability to full-blown rage","• Irritability and hostility","• Poor impulse control","• Outbursts of physical and verbal violence against others, self and objects","• Unprovoked anger, sometimes manifested as rage","Cognitive disturbances, ranging from lack of concentration to confused state","• Short attention span","• Poor concentration","• Poor memory","• Confused thought processes; disorientation","Perceptual distortions, ranging from hypersensitivity to hallucinations","• Hypersensitivity to noises and smells","• Distortions of sensation (e.g., walls closing in)","• Disorientation in time and space","• Depersonalization/derealization","• Hallucinations affecting all five senses (e.g., hallucinations of objects or people appearing in the cell, or hearing voices when no one is actually speaking)","Paranoia and psychosis, ranging from obsessional thoughts to full-blown psychosis","• Recurrent and persistent thoughts (ruminations), often of a violent and vengeful character (e.g., directed against prison staff)","• Paranoid ideas — often persecutory","• Psychotic episodes or states: psychotic depression, schizophrenia","Self-harm, self-directed aggression","• Self-mutilation and cutting","• Suicide attempts","[1] Alexandra Naday, Joshua D. Freilich and Jeff Mellow, “The Elusive Data on Supermax Confinement”, The Prison Journal, vol. 88, issue 1, p. 69 (2008).","[2] Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature”, Crime and Justice, vol. 34 (2006), p. 441.","[3] Jeffrey L. Metzner, M.D., and Jamie Fellner, “Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”, The Journal of the American Academy of Psychiatry and the Law, vol. 38, No. 1, pp. 104-108 (2010).","[4] Sharon Shalev, A Sourcebook on Solitary Confinement (London, Mannheim Centre for Criminology, 2008), p. 1.","[5] Ken Strutin, “Solitary Confinement”, LLRX.com, published on 10 August 2010.","[6] Craig Haney, “Mental Health Issues in Long-Term Solitary and ‘Supermax’ Confinement, Crime and Delinquency”, vol. 49, No. 1, pp. 124-156.","[7] Human Rights Committee, International Covenant on Civil and Political Rights, General Comment No. 20 (A/47/40, annex VI.A), article 7 (Prohibition of torture, or other cruel, inhuman or degrading treatment or punishment), 10 March 1992.","[8] Iorgov v. Bulgaria, Application No. 40653/98, European Court of Human Rights, para. 84 (2004); G.B. v. Bulgaria, Application No. 42346/98, European Court of Human Rights, para. 85 (2004).","[9] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 108 (2010).","[10] Palushi v. Austria, Application No. 27900/04, European Court of Human Rights, paras. 72 and 73 (2009).","[11] A.B. v. Russia, para. 111.","[12] Onoufriou v. Cyprus, Application No. 24407/04, European Court of Human Rights, para. 80 (2010).","[13] Ocalan v. Turkey, Application No. 46221/99, European Court of Human Rights, para. 196 (2005).","[14] Rohde v. Denmark, Application No. 69332/01, European Court of Human Rights, para. 97 (2005).","[15] Ramírez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, paras. 105, 106 and 135 (2006).","[16] Ibid., para. 145.","[17] Velázquez-Rodríguez v. Honduras, Inter-American Court of Human Rights, Series C, No. 4, para. 156 (1988).","[18] Loayza-Tamayo v. Peru, Inter-American Court of Human Rights, Series C, No. 33, para. 58 (1997).","[19] Cantoral-Benavides v. Peru, Inter-American Court of Human Rights, Series C, No. 69, paras. 62 and 104 (2000).","[20] Suárez-Rosero v. Ecuador, Inter-American Court of Human Rights, Series C, No. 35, paras. 51-56 (1997).","[21] Inter-American Commission on Human Rights, Report on the Situation of Human Rights in Mexico (OEA/Ser.L/V/II.100), para. 254 (2008).","[22] Shalev, op. cit., p. 25.","[23] Shalev, op. cit., pp. 25 and 26.","[24] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, Journal on Rehabilitation of Torture Victims and Prevention of Torture, vol. 18 (2008), p. 56.","[25] Shalev, op. cit., p. 26.","[26] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, p. 41.","[27] Ramírez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, para. 102 (2006).","[28] Solitary Confinement of Prisoners and Detainees in Israeli Prisons, Joint Project of Adalah, Al Mezan (Gaza) and Physicians for Human Rights (Israel, June 2011).","[29] Shalev, op. cit., p. 42.","[30] Council of Europe, Committee for the Prevention of Torture, Report to the Government of Greece on the visit to Greece carried out by the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment, 20 December 2006 (CPT/Inf (2006)), p. 41.","[31] Council of Europe, “CPT Standards” (CPT/Inf/E (2002) 1 — Rev. 2010), sect. II, para. 48.","[32] Poltrotsky v. Ukraine, p. 146 (European Court of Human Rights, 2006-V).","[33] Peter Scharff Smith, “The effects of solitary confinement on prison inmates”, Crime and Justice, vol. 34 (2006), p. 449.","[34] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”, Journal of Law and Policy, vol. 22 (2006), p. 325.","[35] Ilaşcu and others v. Moldova and Russia, Application No. 48787/99, European Court of Human Rights (2004), para. 432.","[36] Mathew v. Netherlands, Application No. 24919/03, para. 202.","[37] G.B. v. Bulgaria, para. 85.","[38] Valasinas v. Lithuania, Application No. 44558/98, European Court of Human Rights, para. 112 (2001); Ocalan v. Turkey, para. 193.","[39] Rohde v. Denmark, para. 97.","[40] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, p. 1.","[41] Shalev, op. cit., p. 2.","[42] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 135 (2010).","[43] “USA: The Cruel and Inhumane Treatment of Albert Woodfox and Herman Wallace”, Amnesty International (2001).","[44] Stuart Grassian, “Psychiatric Effects of Solitary Confinement” (1993), p. 1.","[45] Ibid., p. 8.","[46] Ibid., p. 2.","[47] Ibid., p. 20.","[48] Shalev, op. cit., pp. 13 and 22.","[49] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”, pp. 332 and 333.","[50] Article 37(c), Convention on the Rights of the Child; article 8(d), United Nations Standard Minimum Rules for the Treatment of Prisoners.","[51] Robert Wildeboer, “The Impact of Solitary Confinement in a Youth Prison”, Inside and Out (Chicago, 2010).","[52] Shalev, op. cit., p. 26.","[53] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”; Shalev, op. cit., p. 10.","[54] American Civil Liberties Union, “Abuse of the Human Rights of Prisoners in the United States: Solitary Confinement” (2011).","[55] Jeffrey L. Metzner, M.D., and Jamie Fellner, “Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”, The Journal of the American Academy of Psychiatry and the Law, vol. 38, No. 1, pp. 104-108 (2010).","[56] Heartland Alliance National Immigrant Justice Center, letter to the Special Rapporteur on torture dated 16 June 2011."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Torture and other cruel, inhuman or degrading treatment or punishment\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the General Assembly the interim report prepared by the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment, Juan E. Méndez, in accordance with General Assembly resolution 65/205.\",\n \"Interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment\",\n \"Summary\",\n \"In the present report, submitted pursuant to General Assembly resolution 65/205, the Special Rapporteur addresses issues of special concern and recent developments in the context of his mandate.\",\n \"The Special Rapporteur draws the attention of the General Assembly to his assessment that solitary confinement is practised in a majority of States. He finds that where the physical conditions and the prison regime of solitary confinement cause severe mental and physical pain or suffering, when used as a punishment, during pre-trial detention, indefinitely, prolonged, on juveniles or persons with mental disabilities, it can amount to cruel, inhuman or degrading treatment or punishment and even torture. In addition, the use of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will go undetected and unchallenged.\",\n \"The report highlights a number of general principles to help to guide States to re-evaluate and minimize its use and, in certain cases, abolish the practice of solitary confinement. The practice should be used only in very exceptional circumstances, as a last resort, for as short a time as possible. He further emphasizes the need for minimum procedural safeguards, internal and external, to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person.\",\n \"Contents\",\n \"Page\\nI.Introduction 4II. Activities 4 related to the \\nmandate III.Solitary 7 \\nconfinement A.Overview 7 of work undertaken by the \\nmandate B.History 7 and current practice of solitary \\nconfinement \\nC.Definition 8D. Legal 9 \\nframework E.States’ 12 rationale for the use of solitary \\nconfinement F.Conditions 14 of solitary \\nconfinement G. Prolonged 16 or indefinite solitary \\nconfinement H. Psychological 17 and physiological effects of solitary \\nconfinement I.Latent 18 effects of solitary \\nconfinement J.Vulnerable 18 \\nindividuals K.When 19 solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or \\npunishment IV.Conclusions 21 and \\nrecommendations \\nAnnex Effectsof 26 solitary \\nconfinement\",\n \"I. Introduction\",\n \"1. The present report, submitted pursuant to paragraph 39 of General Assembly resolution 65/205, is the thirteenth submitted to the General Assembly by the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment. It is the first report submitted by the present mandate holder.\",\n \"2. The Special Rapporteur wishes to draw attention to his report to the Human Rights Council (A/HRC/16/52), in which he outlined his vision, working methods and priorities for his tenure as Special Rapporteur.\",\n \"II. Activities related to the mandate\",\n \"3. Below is a summary of the activities carried out by the Special Rapporteur pursuant to the mandate since the submission of his report to the Human Rights Council (A/HRC/16/52 and Add.1-6).\",\n \"Communications concerning human rights violations\",\n \"4. During the period from 1 December 2010 to 1 July 2011, he sent 20 letters of allegations of torture to 18 Governments, and 95 urgent appeals on behalf of persons who might be at risk of torture or other forms of ill-treatment to 48 Governments. In the same period 82 responses were received.\",\n \"Country visits\",\n \"5. With respect to fact-finding missions, an anticipated country visit to Kyrgyzstan for May 2011 was postponed, at the request of the Government, owing to ongoing political developments. By letter dated 28 July 2011, the Government of the Kyrgyz Republic proposed a country visit for the second half of August 2011. The Special Rapporteur welcomes this invitation; however, because of the short notice, he is discussing potential dates with the Government at the time of submitting the present report. He has accepted an invitation from the Government of Iraq to visit the country in October 2011. He has also been invited to visit Bahrain and is discussing dates with the Government. In addition to the pending country visit requests (see A/HRC/16/52, para. 6) the Special Rapporteur has requested a visit to Morocco with respect to Western Sahara.\",\n \"6. The Special Rapporteur conducted a visit to Tunisia from 15 to 22 May 2011. He shared his preliminary findings with the interim Government and issued a press statement on 22 May expressing his appreciation to the Government for the full cooperation extended to him. He noted that the Government had undertaken a series of positive steps towards ensuring accountability and long-term reforms. However, he is of the view that a “wait and see attitude” in anticipation of the Constituent Assembly election may be hampering the possibility of delivering bold and aggressive steps in restoring justice for past and recent abuses. The Special Rapporteur stressed that swift, effective and independent criminal investigations against alleged perpetrators of torture and ill-treatment should be ensured and administrative programmes should be launched offering redress and reparation services to victims of past and recent violations. The report of the mission to Tunisia will be presented to the Human Rights Council at its nineteenth session in March 2012.\",\n \"Key press statements\",\n \"7. The Special Rapporteur issued the following press statements (many were joint statements with other mandate holders):\",\n \"• On 31 December 2010 — expressing serious concern that enforced or involuntary disappearances, arbitrary detentions, extrajudicial, summary or arbitrary executions, and acts of sexual violence may have occurred or may still be occurring in Côte d’Ivoire in relation to the presidential elections.\",\n \"• On 14 January 2011 — urging the Government of Tunisia to control the use of force against peaceful demonstrations, after at least 21 deaths were officially confirmed.\",\n \"• On 3 February 2011 — on public unrest in Belarus, Egypt and Tunisia and the alleged infliction of torture or cruel, inhuman or degrading treatment in connection with suppression of peaceful demonstrations.\",\n \"• On 17 February — urging the transitional Government in Egypt to establish an independent inquiry to investigate human rights violations during the revolution in that country, with the powers to transmit names and evidence for prosecution to the relevant authorities.\",\n \"• On 18 February — urging the Governments of Bahrain and the Libyan Arab Jamahiriya to guarantee the right to peaceful protest and immediately cease the use of excessive and lethal force.\",\n \"• On 22 February — on the situation of human rights defenders expressing serious concerns about gross violations of human rights that were being committed in the Libyan Arab Jamahiriya.\",\n \"• On 3 March 2011 — condemning the violent crackdown on protesters in Yemen, and urging the Government to stop the excessive use of force as a means to end ongoing protests.\",\n \"• On 22 March — expressing concerns about increased incidents of serious human rights violations in the capital of Bahrain.\",\n \"• On 1 April 2011 — expressing concerns about serious human rights violations in Côte d’Ivoire, including enforced disappearances, extrajudicial killings, killing and maiming of children, and sexual violence which may amount to international crimes, and expressed the full support of the Special Rapporteur and other mandate holders for Security Council resolution 1975 (2011).\",\n \"• On 11 April and 12 July — expressing frustration that despite his repeated requests to visit Private First Class Bradley E. Manning, the Government of the United States of America has not granted him unmonitored access to the detainee. The question of unfettered access goes beyond this case and touches on whether the Special Rapporteur would be able to conduct private and unmonitored interviews with detainees if he were to conduct a country visit to the United States.\",\n \"• On 15 April — denouncing the rising death toll and brutal crackdown on peaceful protesters, journalists and human rights defenders in the Syrian Arab Republic despite the Government’s promises of reforms and consultations to end the 48-year-old emergency rule.\",\n \"• On 1 July 2011 — urging the Government of the United States to stop the scheduled execution of Humberto Leal García in Texas.\",\n \"Highlights of key presentations/consultations/training courses\",\n \"8. From 8 to 9 February 2011, the Special Rapporteur participated in a meeting sponsored by Amnesty International in London to discuss “Developing International Best Practice for Inquiries and Investigations into Torture”. He also spoke at the All Party Parliamentary Group on Extraordinary Rendition.\",\n \"9. On 22 February, he delivered a statement to the American Academy of Forensic Sciences at its 63rd annual meeting on “International framework and mechanisms for documenting conditions of detention, torture and ill-treatment”.\",\n \"10. On 28 February, he met with high-ranking officials from the Department of State and the Department of Defense of the United States of America in Washington, D.C., and again with the Department of Defense on 22 April to discuss issues of mutual concern.\",\n \"11. From 6 to 10 March 2011, the Special Rapporteur was in Geneva for the sixteenth session of the Human Rights Council and met with the Ambassadors of Iraq, Kyrgyzstan, Mexico, Thailand and the United States. He also met with all the Human Rights Council regional groups except for the Africa Group, which unfortunately could not be scheduled.\",\n \"12. On 16 and 17 March, in Washington, D.C., he participated in a meeting with the Chair of the Committee against Torture, the Vice-Chair of the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Rapporteur on the Rights of Persons Deprived of Liberty of the Inter-American Commission on Human Rights, a representative of the European Committee for the Prevention of Torture and the Special Rapporteur on Detained Persons of the African Commission on Human and Peoples’ Rights. The meeting was organized jointly by the Washington College of Law of American University and the Association for the Prevention of Torture to discuss ways to strengthen the working relations of those mechanisms.\",\n \"13. From 18 to 20 March, the Special Rapporteur made two presentations to the annual General Meeting and the fiftieth anniversary commemoration of the United States Section of Amnesty International in San Francisco.\",\n \"14. On 1 June 2011, he was the keynote speaker at an event in Washington, D.C., organized by several faith-based groups and entitled “Accountability Today: Preventing Torture Tomorrow”.\",\n \"15. From 15 to 17 June, the Special Rapporteur chaired, with the support of the Government of the Netherlands, a regional consultation on torture for the Americas in Santiago, Chile. The regional consultation was organized in partnership with the Association for the Prevention of Torture, the Centro de Estudios Legales y Sociales, Corporación Humanas — Centro Regional de Derechos Humanos y Justicia de Género and Conectas Direitos Humanos, and was an opportunity for governments, national institutions and organizations of civil society from 12 countries to discuss follow-up to recommendations of country visits and to strengthen local and regional protection mechanisms against torture and ill-treatment.\",\n \"16. On 20 June, he met with the Director General for Foreign Policy, Ministry of Foreign Affairs of Chile, in Santiago.\",\n \"17. From 27 June to 1 July, the Special Rapporteur participated in the eighteenth annual meeting of Special Rapporteurs in Geneva. He also met with representatives of the Governments of Iraq, Kyrgyzstan, the Netherlands, the Russian Federation, Tunisia and the United States of America.\",\n \"18. On 7 July 2011, he met in Brasilia with the Minister for Human Rights in the Government of Brazil.\",\n \"III. Solitary confinement\",\n \"A. Overview of work undertaken by the mandate\",\n \"19. In his first report as Special Rapporteur (A/HRC/16/52, para. 70), he recognized that “the question as to whether ... prolonged solitary confinement” constituted “per se cruel, inhuman or degrading treatment or punishment has given rise to much debate and discussion in the Human Rights Council”, and believed that “the international community as a whole would greatly benefit from a dispassionate and rational discussion of the issues”.\",\n \"20. The Special Rapporteur has received complaints that solitary confinement is used in some countries in the context of administrative detention for national security or as a method to fight organized crime, as well as in immigration detention. He undertook this study because he found the practice of solitary confinement to be global in nature and subject to widespread abuse. In particular, the social isolation and sensory deprivation that is imposed by some States does, in some circumstances, amount to cruel, inhuman and degrading treatment and even torture.\",\n \"21. The Special Rapporteur’s predecessors have noted that prolonged solitary confinement may itself amount to prohibited ill-treatment or torture (E/CN.4/1999/61, para. 394, and E/CN.4/2003/68, para. 26 (m)).\",\n \"22. The Istanbul Statement on the Use and Effects of Solitary Confinement was annexed to the former Special Rapporteur’s 2008 interim report to the General Assembly (A/63/175, annex). The report concluded that “prolonged isolation of detainees may amount to cruel, inhuman or degrading treatment or punishment and, in certain instances, may amount to torture. ... [T]he use of solitary confinement should be kept to a minimum, used in very exceptional cases, for as short a time as possible, and only as a last resort. Regardless of the specific circumstances of its use, effort is required to raise the level of social contacts for prisoners: prisoner-prison staff contact, allowing access to social activities with other prisoners, allowing more visits and providing access to mental health services” (A/63/175, paras. 77 and 83).\",\n \"B. History and current practice of solitary confinement\",\n \"23. The history of the use of solitary confinement on detainees has been well documented. The practice can be traced to the 1820s in the United States of America, where it was believed that isolation of prisoners would aid in their rehabilitation. Under this model prisoners spent their entire day alone, mostly within the confines of their cells, including for work, in order to reflect on their transgressions away from negative external influences. Beginning in the 1830s, European and South American countries adopted this practice (A/63/175, para. 81). It must be recognized that 200 years ago this model was a socially and morally progressive way to deal with punishment, as it emphasized rehabilitation and attempted to substitute for the death penalty, limb amputations and other penalties then prevalent.\",\n \"24. States around the world continue to use solitary confinement extensively (see A/63/175, para. 78). In some countries, the use of Super Maximum Security Prisons to impose solitary confinement as a normal, rather than an “exceptional”, practice for inmates is considered problematic. In the United States, for example, it is estimated that between 20,000 and 25,000 individuals are being held in isolation.[1] Another example is the extensive use of solitary confinement in relation to pretrial detention, which for many years has been an integral part of the Scandinavian prison practice.[2] Some form of isolation from the general prison population is used almost everywhere as punishment for breaches of prison discipline. Many States now use solitary confinement more routinely and for longer durations. For example, in Brazil, Law 10792 of 2003, amending the existing “Law of Penal Execution”, contemplates a “differentiated” disciplinary regime in an individual cell for up to 360 days, without prejudice to extensions of similar length for new offences and up to one sixth of the prison term. In 2010, the Province of Buenos Aires in Argentina instituted a Programme of Prevention of Violent Behaviour in its prisons which consists of isolation for a minimum of nine months (the initial three months in full isolation), a term that — according to prison monitors — is frequently extended.\",\n \"C. Definition\",\n \"25. There is no universally agreed upon definition of solitary confinement. The Istanbul Statement on the Use and Effects of Solitary Confinement defines solitary confinement as the physical isolation of individuals who are confined to their cells for 22 to 24 hours a day. In many jurisdictions, prisoners held in solitary confinement are allowed out of their cells for one hour of solitary exercise a day. Meaningful contact with other people is typically reduced to a minimum. The reduction in stimuli is not only quantitative but also qualitative. The available stimuli and the occasional social contacts are seldom freely chosen, generally monotonous, and often not empathetic.\",\n \"26. Solitary confinement is also known as “segregation”, “isolation”,[3] “separation”, “cellular”,[4] “lockdown”, “Supermax”, “the hole” or “Secure Housing Unit (SHU)”,[5] but all these terms can involve different factors. For the purposes of this report, the Special Rapporteur defines solitary confinement as the physical and social isolation of individuals who are confined to their cells for 22 to 24 hours a day. Of particular concern to the Special Rapporteur is prolonged solitary confinement, which he defines as any period of solitary confinement in excess of 15 days. He is aware of the arbitrary nature of the effort to establish a moment in time which an already harmful regime becomes prolonged and therefore unacceptably painful. He concludes that 15 days is the limit between “solitary confinement” and “prolonged solitary confinement” because at that point, according to the literature surveyed, some of the harmful psychological effects of isolation can become irreversible.[6]\",\n \"D. Legal framework\",\n \"27. International and regional human rights bodies have taken different approaches to address the underlying conditions of social and physical isolation of detainees, and whether such practices constitute torture or cruel, inhuman or degrading treatment or punishment. For example, while the European Court of Human Rights has confronted solitary confinement regimes with regularity, the United Nations Human Rights Committee and the Inter-American Court of Human Rights have most extensively addressed the related phenomenon of incommunicado detention. For the purposes of this report, the Special Rapporteur will highlight the work of universal and regional human rights bodies on solitary confinement only.\",\n \"1. International level\",\n \"General Assembly\",\n \"28. In 1990, the General Assembly adopted resolution 45/111, the Basic Principles for the Treatment of Prisoners. Principle 7 states that efforts to abolish solitary confinement as a punishment, or to restrict its use, should be undertaken and encouraged.\",\n \"29. In the same year, the General Assembly adopted resolution 45/113, the United Nations Rules for the Protection of Juveniles Deprived of their Liberty. In paragraph 67 the Assembly asserted that “All disciplinary measures constituting cruel, inhuman or degrading treatment shall be strictly prohibited, including ... solitary confinement or any other punishment that may compromise the physical or mental health of the juvenile concerned”.\",\n \"United Nations treaty bodies\",\n \"30. The Human Rights Committee, in paragraph 6 of its General Comment No. 20, noted that prolonged solitary confinement of the detained or imprisoned person might amount to acts prohibited by article 7 of the International Covenant on Civil and Political Rights.[7] In its concluding observations on Rwanda, the Human Rights Committee recommended that “The State party should put an end to the sentence of solitary confinement ...” (CCPR/C/RWA/CO/3, para. 14).\",\n \"31. The Committee against Torture has recognized the harmful physical and mental effects of prolonged solitary confinement and has expressed concern about its use, including as a preventive measure during pretrial detention, as well as a disciplinary measure. The Committee has recommended that the use of solitary confinement be abolished, particularly during pretrial detention, or at least that it should be strictly and specifically regulated by law (maximum duration, etc.) and exercised under judicial supervision, and used only in exceptional circumstances, such as when the safety of persons or property is involved (A/63/175, para. 80). The Committee has recommended that persons under the age of 18 should not be subjected to solitary confinement (CAT/C/MAC/CO/4, para. 8).\",\n \"32. The Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment has pointed out that prolonged solitary confinement may amount to an act of torture and other cruel, inhuman or degrading treatment or punishment and recommended that solitary confinement should not be used in the case of minors or the mentally disabled (CAT/OP/PRY/1, para. 185). The Subcommittee has also recommended that a medical officer should visit prisoners held in solitary confinement every day, on the understanding that such visits should be in the interests of the prisoners’ health. Furthermore, prisoners held in solitary confinement for more than 12 hours should have access to fresh air for at least one hour each day (CAT/OP/PRY/1, para. 184). In view of the condition of solitary confinement, the Subcommittee has pointed out that beds and proper mattresses should be made available to all inmates, including prisoners held in solitary confinement (CAT/OP/HND/1, para. 227 (a), and CAT/OP/PRY/1, para. 280).\",\n \"33. The Committee on the Rights of the Child, in its General Comment No. 10 (2007), emphasized that “disciplinary measures in violation of article 37 [of the Convention on the Rights of the Child] must be strictly forbidden, including ... closed or solitary confinement, or any other punishment that may compromise the physical or mental health or well-being of the child concerned” (CRC/C/GC/10, para. 89). Moreover, the Committee has urged States parties to prohibit and abolish the use of solitary confinement against children (CRC/C/15/Add.151, para. 41; CRC/C/15/Add.220, para. 45 (d); and CRC/C/15/Add.232, para. 36 (a)).\",\n \"2. Regional level\",\n \"European Court of Human Rights\",\n \"34. In its evaluation of cases of solitary confinement, the European Court of Human Rights considers the rationale given by the State for the imposition of social and physical isolation. The Court has found violations of article 3 of the European Convention on Human Rights where States do not provide a security-based justification for the use of solitary confinement.[8] In circumstances of prolonged solitary confinement, the Court has held that the justification for solitary confinement must be explained to the individual and the justification must be “increasingly detailed and compelling” as time goes on.[9]\",\n \"35. Through its jurisprudence, the European Court of Human Rights emphasizes that certain procedural safeguards must be in place during the imposition of solitary confinement, for example, monitoring a prisoner’s physical well-being,⁹ particularly where the individual is not in good health[10] and having access to judicial review.[11]\",\n \"36. The level of isolation imposed on an individual is essential to the European Court of Human Rights’ assessment of whether instances of physical and mental isolation constitute torture or cruel, inhuman or degrading treatment or punishment. A prolonged absolute prohibition of visits from individuals from outside the prison causes suffering “clearly exceeding the unavoidable level inherent in detention”.[12] However, where the individual can receive visitors and write letters,[13] have access to television, books and newspapers and regular contact with prison staff[14] or visit with clergy or lawyers on a regular basis,[15] isolation is “partial”, and the minimum threshold of severity — which the European Court of Human Rights considers necessary to find a violation of article 3 of the European Convention on Human Rights — is not met. Nevertheless, the Court has emphasized that solitary confinement, even where the isolation is only partial, cannot be imposed on a prisoner indefinitely.[16]\",\n \"Inter-American System on Human Rights\",\n \"37. The jurisprudence on solitary confinement within the Inter-American System on Human Rights is more conclusive than within the bodies discussed above. Since its earliest judgments, the Inter-American Court of Human Rights has found that certain elements of a prison regime and certain physical prison conditions in themselves constitute cruel and inhuman treatment, and therefore violate article 5 of the American Convention on Human Rights, which recognizes the right to the integrity of the person. For example, the Court held that “prolonged isolation and deprivation of communication are in themselves cruel and inhuman treatment, harmful to the psychological and moral integrity of the person and a violation of the right of any detainee to respect for his inherent dignity as a human being”.[17] The Court has additionally addressed physical conditions of detention, asserting that “isolation in a small cell, without ventilation or natural light, ... [and] restriction of visiting rights ..., constitute forms of cruel, inhuman and degrading treatment”.[18]\",\n \"38. The Court has additionally recognized that solitary confinement results in psychological and physical suffering that may contribute to treatment that constitutes torture. In at least one case, the Court has identified the physical conditions of solitary confinement, including “a small cell with no ventilation or natural light”, and a prison regime where a detained individual “is held for 23 and a half hours a day ..., [and] permitted to see his relatives only once a month, but could have no physical contact with them”, when coupled with other forms of physical and psychological aggression, in sum may constitute physical and psychological torture.[19]\",\n \"39. In its analysis of solitary confinement, the Court has noted that even when used in exceptional circumstances, procedural safeguards must be in place. For example, “the State is obliged to ensure that the detainee enjoys the minimum and non-derogable guarantees established in the [American] Convention and, specifically, the right to question the lawfulness of the detention and the guarantee of access to effective defense during his incarceration”.[20] Similarly, the Inter‑American Commission on Human Rights has consistently held that all forms of disciplinary action taken against detained persons must comport with the norms of due process and provide opportunity for judicial review.[21]\",\n \"E. States’ rationale for the use of solitary confinement\",\n \"40. The justifications provided by States for the use of solitary confinement fall into five general categories:\",\n \"(a) To punish an individual (as part of the judicially imposed sentence or as part of a disciplinary regime);\",\n \"(b) To protect vulnerable individuals;\",\n \"(c) To facilitate prison management of certain individuals;\",\n \"(d) To protect or promote national security;\",\n \"(e) To facilitate pre-charge or pretrial investigations.\",\n \"41. The imposition of solitary confinement as a part of an individual’s judicially imposed sentence often arises in circumstances of particularly egregious crimes or crimes against the State.[22] For instance, in some central European States, individuals convicted and sentenced to capital punishment and to life imprisonment serve their time in solitary confinement (A/64/215, para. 53). In other States, such as in Mongolia, death sentences may be commuted to life sentences spent in solitary confinement (E/CN.4/2006/6/Add.4, para. 47). The use of solitary confinement as a disciplinary measure within prisons is also well documented and is likely the most pervasive rationale for the use of solitary confinement as a form of punishment.²² Disciplinary measures usually involve the violation of a prison rule. For instance, in Nigeria detainees are punished with solitary confinement of up to three days for disciplinary offences (A/HRC/7/3/Add.4, appendix I, para. 113). Similarly, in the Abepura Prison in Indonesia, solitary confinement for up to eight days is used as a disciplinary measure for persons who violate prison rules (A/HRC/7/3/Add.7, appendix I, para. 37).\",\n \"42. Solitary confinement is also used to separate vulnerable individuals, including juveniles, persons with disabilities, and lesbian, gay, bisexual and transgender persons, for their own protection. They may be placed in solitary confinement at their own request or at the discretion of prison officials.[23]\",\n \"43. State officials also use solitary confinement as a tool to manage certain prison populations. Individuals determined to be dangerous, such as gang members, or at high risk of escape may be placed in solitary confinement.²³ Similarly, individuals determined to be at risk of injury, such as sex offenders, informants, and former correctional or law enforcement officers, are often allowed, or encouraged, to choose voluntary solitary confinement in order to protect themselves from fellow inmates.[24] Prisoners may also be placed in some form of solitary confinement in the interests of prison management before, during or after transportation to and from cells and detention facilities.[25] While the duration of solitary confinement when used as a management tool may vary considerably, it is notable that the motivation for its imposition is pragmatic rather than punitive.\",\n \"44. Individuals determined to be terrorist suspects or national security risks are often subjected to solitary confinement as well. For instance, in Equatorial Guinea a section of the Black Beach Prison consisting of single cells is used for solitary confinement of high security prisoners (A/HRC/13/39/Add.4, appendix I). Solitary confinement can be also used as a coercive interrogation technique, and is often an integral part of enforced disappearance or incommunicado detention (A/63/175, annex). As noted within category (a) in paragraph 40 above, national security also serves as a primary reason for the imposition of solitary confinement as a result of a judicial sentence. For example, in China an individual sentenced for “unlawfully supplying State secrets or intelligence to entities outside China” was allegedly held in solitary confinement for two years of her eight-year sentence (E/CN.4/2006/6/ Add.6, appendix 2, para. 26).\",\n \"45. States also use solitary confinement to isolate individuals during pre-charge or pretrial detention. In some States, such as Denmark, holding individuals in solitary confinement is a regular feature of pretrial detention (A/63/175, para. 78 (i)). The purposes for the use of solitary confinement in pre-charge and pretrial detention vary widely, and include preventing the intermingling of detainees to avoid demoralization and collusion, and to apply pressure on detainees to elicit cooperation or extract a confession.[26]\",\n \"F. Conditions of solitary confinement\",\n \"46. The administration of prisons and the conditions in which prisoners are held is governed by prison regulations and national laws, as well as by international human rights law. Fundamental norms that are binding by virtue of being treaty-based or part of customary international law are supplemented and interpreted through the United Nations Standard Minimum Rules for the Treatment of Prisoners, adopted by the Economic and Social Council in 1957. Although not directly binding, the Standard Minimum Rules are widely accepted as the universal norm for the humane treatment of prisoners.\",\n \"47. The particular conditions in which detainees are held in solitary confinement vary between institutions and jurisdictions. Most, however, have a number of physical and non-physical conditions (or a prison regime) in common.\",\n \"1. Physical conditions\",\n \"48. The principal physical conditions relevant to solitary confinement are cell size, presence of windows and light, and access to sanitary fixtures for personal hygiene. In practice, solitary confinement cells typically share some common features, including: location in a separate or remote part of the prison; small, or partially covered windows; sealed air quality; stark appearance and dull colours; toughened cardboard or other tamperproof furniture bolted to the floor; and small and barren exercise cages or yards (E/CN.4/2006/6/Add.3, para. 47). In some jurisdictions, prisoners in solitary confinement are held in leg irons and subjected to other physical restraints (A/HRC/13/39/Add.4, para. 76 (f)).\",\n \"49. There is no universal instrument that specifies a minimum acceptable cell size, although domestic and regional jurisdictions have sometimes ruled on the matter. According to the European Court of Human Rights in Ramírez Sanchez v. France, a cell measuring 6.84 square metres is “large enough” for single occupancy.[27] The Court did not elaborate on why such measures could be considered adequate; the Special Rapporteur respectfully begs to differ, especially if the single cell should also contain, at a minimum, toilet and washing facilities, bedding and a desk.\",\n \"50. The presence of windows and light is also of critical importance to the adequate treatment of detainees in solitary confinement. Under rule 11 of the Standard Minimum Rules for the Treatment of Prisoners, there should be sufficient light to enable the detainee to work or read, and windows so constructed as to allow airflow whether or not artificial ventilation is provided. However, State practice reveals that this standard is often not met. For example, in Georgia, window-openings in solitary confinement cells were found to have steel sheets welded to the outside bars, which restricted light and ventilation (E/CN.4/2006/6/Add.3, para. 47). In Israel, solitary confinement cells are often lit with fluorescent bulbs as their only source of light, and they have no source of fresh air.[28]\",\n \"51. Rules 12 and 13 of the Standard Minimum Rules stipulate that detention facilities should provide sufficient sanitary fixtures to allow for the personal hygiene of the detainee. Therefore, cells used for solitary confinement should contain a lavatory and wash-basin within the cell.[29] In its 2006 report on Greece, the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment observed that isolation cells in the Komotini Prison failed to meet the necessary minimum standard for sanitary fixtures because detainees were forced to use the toilet for a wash-basin as well.[30] Other environmental factors, such as temperature, noise level, privacy, and soft materials for cell furnishings may also be implicated in the solitary confinement setting.\",\n \"2. Prison regime\",\n \"52. The principal aspects of a prison regime relevant to an assessment of the conditions of solitary confinement include access to outdoor exercise and programming, access to meaningful human contact within the prison, and contact with the outside world. In accordance with rule 21 of the Standard Minimum Rules for the Treatment of Prisoners, every prisoner who is not employed in outdoor work shall have at least one hour of suitable exercise in the open air daily if the weather permits. Similarly, the European Committee for the Prevention of Torture emphasizes that all prisoners without exception should be afforded the opportunity to have one hour of open-air exercise per day.[31] However, State practice indicates that these standards are not always observed. In Jordan, for example, a detainee was allowed outside of his solitary confinement cell for only one hour per week (A/HRC/4/33/Add.3, appendix, para. 21). In Poltrotsky v. Ukraine, the European Court of Human Rights found that a lack of opportunity for outdoor exercise, coupled with a lack of access to natural light, constitutes a violation of article 3 of the European Convention on Human Rights.[32]\",\n \"53. Access to meaningful human contact within the prison and contact with the outside world are also essential to the psychological health of detainees held in solitary confinement, especially those held for prolonged periods of time. Within prisons this contact could be with health professionals, prison guards or other prisoners. Contact with the outside world could include visits, mail, and phone calls from legal counsel, family and friends, and access to reading material, television or radio. Article 17 of the International Covenant on Civil and Political Rights grants prisoners the right to family and correspondence. Additionally, the Standard Minimum Rules for the Treatment of Prisoners provide for various external stimuli (articles 21 on exercise and sport; 37-39 on contact with the outside world; 40 on books; 41 and 42 on religion; 71-76 on work; 77 and 78 on education and recreation; and 79-81 on social relations and after-care).\",\n \"3. Social isolation\",\n \"54. Solitary confinement reduces meaningful social contact to an absolute minimum. The level of social stimulus that results is insufficient for the individual to remain in a reasonable state of mental health.[33]\",\n \"55. Research shows that deprived of a sufficient level of social stimulation, individuals soon become incapable of maintaining an adequate state of alertness and attention to their environment. Indeed, even a few days of solitary confinement will shift an individual’s brain activity towards an abnormal pattern characteristic of stupor and delirium.[34] Advancements in new technologies have made it possible to achieve indirect supervision and keep individuals under close surveillance with almost no human interaction. The European Court of Human Rights has recognized that “complete sensory isolation, coupled with total social isolation, can destroy the personality and constitutes a form of inhuman treatment which cannot be justified by the requirements of security or any other reason”.[35]\",\n \"56. According to the European Court of Human Rights, States should also take steps to reduce the negative impact of solitary confinement.[36] Where the damaging effects of solitary confinement on a particular individual are known, the regime cannot continue.[37] The conditions of confinement are relevant in this respect, because where conditions are beyond reproach, the Court considers it unlikely that the minimum threshold of severity to find a violation of article 3 will be reached.[38] Routine examination by doctors can be a factor in determining that there was no violation of article 3.[39]\",\n \"G. Prolonged or indefinite solitary confinement\",\n \"57. The use of prolonged or indefinite solitary confinement has increased in various jurisdictions, especially in the context of the “war on terror” and “a threat to national security”. Individuals subjected to either of these practices are in a sense in a prison within a prison and thus suffer an extreme form of anxiety and exclusion, which clearly supersede normal imprisonment. Owing to their isolation, prisoners held in prolonged or indefinite solitary confinement can easily slip out of sight of justice, and safeguarding their rights is therefore often difficult, even in States where there is a strong adherence to rule of law.[40]\",\n \"58. When a State fails to uphold the Standard Minimum Rules for the Treatment of Prisoners during a short period of time of solitary confinement, there may be some debate on whether the adverse effects amount to cruel, inhuman or degrading treatment or punishment or torture. However, the longer the duration of solitary confinement or the greater the uncertainty regarding the length of time, the greater the risk of serious and irreparable harm to the inmate that may constitute cruel, inhuman or degrading treatment or punishment or even torture.\",\n \"59. The feeling of uncertainty when not informed of the length of solitary confinement exacerbates the pain and suffering of the individuals who are subjected to it. In some instances, individuals may be held indefinitely during pretrial detention, increasing the risk of other forms of cruel, inhuman or degrading treatment or punishment or torture (CAT/C/DNK/CO/5, para. 14).\",\n \"60. Most studies fail to specify the length of time after which solitary confinement becomes prolonged. While the term may be undefined, detainees can be held in solitary confinement from a few weeks to many years. For example, in Kazakhstan, individuals can be held in solitary confinement for more than two months (A/HRC/13/39/Add.3, para. 117). Some detainees have been held in solitary confinement facilities for years, without any charge and without trial, and in secret detention centres where isolation is used as an integral part of interrogation practices.[41] In a joint report on the situation of detainees at Guantánamo Bay, experts found that although 30 days of isolation was the maximum period permissible, some detainees were returned to isolation after very short breaks over a period of up to 18 months (E/CN.4/2006/120, para. 53).\",\n \"61. There is no international standard for the permitted maximum overall duration of solitary confinement. In A.B. v. Russia, the European Court of Human Rights held that detaining an individual in solitary confinement for three years constituted a violation of article 3 of the European Convention on Human Rights.[42] By contrast, in the United States of America, it is reported that two prisoners have been held in solitary confinement in a Louisiana prison for 40 years after failed attempts at judicial appeal of the conditions of their confinement.[43] As explained in paragraph 26 above, the Special Rapporteur finds that solitary confinement exceeding 15 days is prolonged.\",\n \"H. Psychological and physiological effects of solitary confinement\",\n \"62. Negative health effects can occur after only a few days in solitary confinement, and the health risks rise with each additional day spent in such conditions. Experts who have examined the impact of solitary confinement have found three common elements that are inherently present in solitary confinement — social isolation, minimal environmental stimulation and “minimal opportunity for social interaction”.[44] Research further shows that solitary confinement appears to cause “psychotic disturbances,” a syndrome that has been described as “prison psychoses”.[45] Symptoms can include anxiety, depression, anger, cognitive disturbances, perceptual distortions, paranoia and psychosis and self-harm (see annex for a comprehensive list of symptoms).\",\n \"63. Some individuals experience discrete symptoms while others experience a “severe exacerbation of a previously existing mental condition or the appearance of a mental illness where none had been observed before”.[46] Still, a significant number of individuals will experience serious health problems regardless of the specific conditions, regardless of time and place, and regardless of pre-existing personal factors.\",\n \"I. Latent effects of solitary confinement\",\n \"64. There is a lack of research into the latent effects of solitary confinement. While the acute effects of solitary confinement generally recede after the period of solitary confinement ends, some of the negative health effects are long term. The minimal stimulation experienced during solitary confinement can lead to a decline in brain activity in individuals after seven days. One study found that “up to seven days, the [brain activity] decline is reversible, but if deprived over a long period this may not be the case”.[47]\",\n \"65. Studies have found continued sleep disturbances, depression, anxiety, phobias, emotional dependence, confusion, impaired memory and concentration long after the release from isolation. Additionally, lasting personality changes often leave individuals formerly held in solitary confinement socially impoverished and withdrawn, subtly angry and fearful when forced into social interaction.[48] Intolerance of social interaction after a period of solitary confinement is a handicap that often prevents individuals from successfully readjusting to life within the broader prison population and severely impairs their capacity to reintegrate into society when released from imprisonment.[49]\",\n \"J. Vulnerable individuals\",\n \"1. Juveniles\",\n \"66. United Nations treaty bodies consistently recommend that juvenile offenders, children or minors should not be subjected to solitary confinement (CAT/C/MAC/CO/4, para. 8; CAT/OP/PRY/1, para. 185; CRC/C/15/Add.151, para. 41; and CRC/C/15/Add.232, para. 36 (a)). Juveniles are often held in solitary confinement either as a disciplinary measure, or to separate them from the adult inmate population, as international human rights law prohibits the intermingling of juvenile and adult prison populations.[50] Regrettably, solitary confinement as a form of punishment of juvenile detainees has been prevalent in States such as Jamaica (A/HRC/16/52/Add.3, para. 211), Paraguay (A/HRC/7/3/Add.3, appendix I, para. 46) and Papua New Guinea (A/HRC/16/52/Add.5, appendix). In regard to disciplinary measures, a report has indicated that solitary confinement does not reduce violence among juvenile offenders detained in the youth prison.[51]\",\n \"2. Persons with disabilities\",\n \"67. Persons with disabilities are held in solitary confinement in some jurisdictions as a substitute for proper medical or psychiatric care or owing to the lack of other institutional housing options. These individuals may not necessarily pose danger to others or to themselves, but they are vulnerable to abuse and often regarded as a disturbance to other prisoners and prison staff.[52]\",\n \"68. Research has shown that with respect to mental disabilities, solitary confinement often results in severe exacerbation of a previously existing mental condition.[53] Prisoners with mental health issues deteriorate dramatically in isolation.[54] The adverse effects of solitary confinement are especially significant for persons with serious mental health problems which are usually characterized by psychotic symptoms and/or significant functional impairments.[55] Some engage in extreme acts of self-mutilation and even suicide.⁵⁴\",\n \"3. Lesbian, gay, bisexual and transgender\",\n \"69. Lesbian, gay, bisexual and transgender individuals are often subjected to solitary confinement as a form of “protective custody”.[56] Although segregation of such individuals may be necessary for their safety, lesbian, gay, bisexual and transgender status does not justify limitations on their social regime, e.g., access to recreation, reading materials, legal counsel or medical doctors.\",\n \"K. When solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or punishment\",\n \"70. Because of the absence of witnesses, solitary confinement increases the risk of acts of torture and other cruel, inhuman or degrading treatment or punishment. Given its severe adverse health effects, the use of solitary confinement itself can amount to acts prohibited by article 7 of the International Covenant on Civil and Political Rights, torture as defined in article 1 of the Convention against Torture or cruel, inhuman or degrading punishment as defined in article 16 of the Convention.\",\n \"71. The assessment of whether solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or punishment should take into consideration all relevant circumstances on a case-by-case basis. These circumstances include the purpose of the application of solitary confinement, the conditions, length and effects of the treatment and, of course, the subjective conditions of each victim that make him or her more or less vulnerable to those effects. In this section, the report discusses a few circumstances where the use of solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment.\",\n \"72. Solitary confinement, when used for the purpose of punishment, cannot be justified for any reason, precisely because it imposes severe mental pain and suffering beyond any reasonable retribution for criminal behaviour and thus constitutes an act defined in article 1 or article 16 of the Convention against Torture, and a breach of article 7 of the International Covenant on Civil and Political Rights. This applies as well to situations in which solitary confinement is imposed as a result of a breach of prison discipline, as long as the pain and suffering experienced by the victim reaches the necessary severity.\",\n \"73. While physical and social segregation may be necessary in some circumstances during criminal investigations, the practice of solitary confinement during pretrial detention creates a de facto situation of psychological pressure which can influence detainees to make confessions or statements against others and undermines the integrity of the investigation. When solitary confinement is used intentionally during pretrial detention as a technique for the purpose of obtaining information or a confession, it amounts to torture as defined in article 1 or to cruel, inhuman or degrading treatment or punishment under article 16 of the Convention against Torture, and to a breach of article 7 of the International Covenant on Civil and Political Rights.\",\n \"74. Where the physical conditions of solitary confinement are so poor and the regime so strict that they lead to severe mental and physical pain or suffering of individuals who are subjected to the confinement, the conditions of solitary confinement amount to torture or to cruel and inhuman treatment as defined in articles 1 and 16 of the Convention, and constitute a breach of article 7 of the Covenant.\",\n \"75. The use of solitary confinement can be accepted only in exceptional circumstances where its duration must be as short as possible and for a definite term that is properly announced and communicated. Given the harmful effects of indefinite solitary confinement, its potential use to extract information or confession during pretrial detention, and the fact that uncertainty prevents the use of remedies to challenge it, the Special Rapporteur finds that indefinite imposition of solitary confinement violates the right to due process of the concerned individual (article 9 of the Covenant, articles 1 or 16 of the Convention, and article 7 of the Covenant).\",\n \"76. The Special Rapporteur asserts that social isolation is contrary to article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which states that “The penitentiary system shall comprise treatment of prisoners the essential aim of which shall be their reformation and social rehabilitation” (General Assembly resolution 2200 (XXI), annex). Long periods of isolation do not aid the rehabilitation or re-socialization of detainees (E/CN.4/2006/6/Add.4, para. 48). The adverse acute and latent psychological and physiological effects of prolonged solitary confinement constitute severe mental pain or suffering. Thus the Special Rapporteur concurs with the position taken by the Committee against Torture in its General Comment No. 20 that prolonged solitary confinement amounts to acts prohibited by article 7 of the Covenant, and consequently to an act as defined in article 1 or article 16 of the Convention. For these reasons, the Special Rapporteur reiterates that, in his view, any imposition of solitary confinement beyond 15 days constitutes torture or cruel, inhuman or degrading treatment or punishment, depending on the circumstances. He calls on the international community to agree to such a standard and to impose an absolute prohibition on solitary confinement exceeding 15 consecutive days.\",\n \"77. With respect to juveniles, the Declaration of the Rights of the Child and the Preamble of the Convention on the Rights of the Child state that, given their physical and mental immaturity, juveniles need special safeguards and care, including appropriate legal protection. Article 19 of the Convention on the Rights of the Child (General Assembly resolution 44/25) requires States Parties to “take all appropriate legislative, administrative, social and educational measures to protect the child from all forms of physical or mental violence …” In its General Comment No. 8, the Committee on the Rights of the Child indicated that “There is no ambiguity: ‘all forms of physical or mental violence’ does not leave room for any level of legalized violence against children” (CRC/C/GC/8, para. 18). Paragraph 67 of the United Nations Rules for the Protection of Juveniles Deprived of their Liberty, adopted by the General Assembly in resolution 45/113 of 14 December 1990, states that “All disciplinary measures constituting cruel, inhuman or degrading treatment shall be strictly prohibited, including ... solitary confinement or any other punishment that may compromise the physical or mental health of the juvenile concerned” (see also CRC/C/GC/10, para. 89). Thus the Special Rapporteur holds the view that the imposition of solitary confinement, of any duration, on juveniles is cruel, inhuman or degrading treatment and violates article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.\",\n \"78. The right of persons with mental disabilities to be treated with humanity and with respect for the inherent dignity guaranteed under article 10 of the Covenant should be interpreted in light of the Principles for the Protection of Persons with Mental Illness and for the Improvement of Mental Health Care, adopted by the General Assembly on 17 December 1991 (resolution 46/119, annex). Given their diminished mental capacity and that solitary confinement often results in severe exacerbation of a previously existing mental condition, the Special Rapporteur believes that its imposition, of any duration, on persons with mental disabilities is cruel, inhuman or degrading treatment and violates article 7 of the Covenant and article 16 of the Convention.\",\n \"IV. Conclusions and recommendations\",\n \"Conclusions\",\n \"79. The Special Rapporteur stresses that solitary confinement is a harsh measure which may cause serious psychological and physiological adverse effects on individuals regardless of their specific conditions. He finds solitary confinement to be contrary to one of the essential aims of the penitentiary system, which is to rehabilitate offenders and facilitate their reintegration into society. The Special Rapporteur defines prolonged solitary confinement as any period of solitary confinement in excess of 15 days.\",\n \"80. Depending on the specific reason for its application, conditions, length, effects and other circumstances, solitary confinement can amount to a breach of article 7 of the International Covenant on Civil and Political Rights, and to an act defined in article 1 or article 16 of the Convention against Torture. In addition, the use of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will go undetected and unchallenged.\",\n \"81. Considering the severe mental pain or suffering solitary confinement may cause when used as a punishment, during pretrial detention, indefinitely or for a prolonged period, for juveniles or persons with mental disabilities, it can amount to torture or cruel, inhuman or degrading treatment or punishment. The Special Rapporteur is of the view that where the physical conditions and the prison regime of solitary confinement fail to respect the inherent dignity of the human person and cause severe mental and physical pain or suffering, it amounts to cruel, inhuman or degrading treatment or punishment.\",\n \"Recommendations\",\n \"82. The Special Rapporteur calls upon States to respect and protect the rights of persons deprived of liberty while maintaining security and order in places of detention. He recommends that States conduct regular reviews of the system of solitary confinement. In this context, the Special Rapporteur reiterates that States should refer to the Istanbul Statement on the Use and Effects of Solitary Confinement as a useful tool in efforts to promote the respect and protection of the rights of detainees.\",\n \"83. The Special Rapporteur calls upon States to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person as protected by article 10, paragraph 1, of the International Covenant on Civil and Political Rights. The Special Rapporteur refers to the Standard Minimum Rules for the Treatment of Prisoners and recommends that States increase the level of psychological, meaningful social contact for detainees while in solitary confinement.\",\n \"84. The Special Rapporteur urges States to prohibit the imposition of solitary confinement as punishment — either as a part of a judicially imposed sentence or a disciplinary measure. He recommends that States develop and implement alternative disciplinary sanctions to avoid the use of solitary confinement.\",\n \"85. States should take necessary steps to put an end to the practice of solitary confinement in pretrial detention. The use of solitary confinement as an extortion technique during pretrial detention should be abolished. States should adopt effective measures at the pretrial stage to improve the efficiency of investigation and introduce alternative control measures in order to segregate individuals, protect ongoing investigations, and avoid detainee collusion.\",\n \"86. States should abolish the use of solitary confinement for juveniles and persons with mental disabilities. Regarding disciplinary measures for juveniles, the Special Rapporteur recommends that States should take other measures that do not involve the use of solitary confinement. In regard to the use of solitary confinement for persons with mental disabilities, the Special Rapporteur emphasizes that physical segregation of such persons may be necessary in some cases for their own safety, but solitary confinement should be strictly prohibited.\",\n \"87. Indefinite solitary confinement should be abolished.\",\n \"88. It is clear that short-term solitary confinement can amount to torture or cruel, inhuman or degrading treatment or punishment; it can, however, be a legitimate device in other circumstances, provided that adequate safeguards are in place. In the opinion of the Special Rapporteur, prolonged solitary confinement, in excess of 15 days, should be subject to an absolute prohibition.\",\n \"89. The Special Rapporteur reiterates that solitary confinement should be used only in very exceptional circumstances, as a last resort, for as short a time as possible. He emphasizes that when solitary confinement is used in exceptional circumstances, minimum procedural safeguards must be followed. These safeguards reduce the chances that the use of solitary confinement will be arbitrary or excessive, as in the case of prolonged or indefinite confinement. They are all the more important in circumstances of detention where due process protections are often limited, as in administrative immigration detention. Minimum procedural safeguards should be interpreted in a manner that provides the greatest possible protection of the rights of detained individuals. In this context, the Special Rapporteur urges States to apply the following guiding principles and procedural safeguards.\",\n \"Guiding principles\",\n \"90. Throughout the period of detention, the physical conditions and prison regime of the solitary confinement, and in particular the duration of confinement, must be proportional to the severity of the criminal or disciplinary infraction for which solitary confinement is imposed.\",\n \"91. The physical conditions and prison regime of solitary confinement must be imposed only as a last resort where less restrictive measures could not achieve the intended disciplinary goals.\",\n \"92. Solitary confinement must never be imposed or allowed to continue except where there is an affirmative determination that it will not result in severe pain or suffering, whether physical or mental, giving rise to acts as defined in article 1 or article 16 of the Convention against Torture.\",\n \"93. All assessments and decisions taken with respect to the imposition of solitary confinement must be clearly documented and readily available to the detained persons and their legal counsel. This includes the identity and title of the authority imposing solitary confinement, the source of his or her legal attributes to impose it, a statement of underlying justification for its imposition, its duration, the reasons for which solitary confinement is determined to be appropriate in accordance with the detained person’s mental and physical health, the reasons for which solitary confinement is determined to be proportional to the infraction, reports from regular review of the justification for solitary confinement, and medical assessments of the detained person’s mental and physical health.\",\n \"Internal safeguards\",\n \"94. From the moment that solitary confinement is imposed, through all stages of its review and decisions of extension or termination, the justification and duration of the solitary confinement should be recorded and made known to the detained person. Additionally, the detained person should be informed of what he or she must do to be removed from solitary confinement. In accordance with rule 35 of the Standard Minimum Rules for the Treatment of Prisoners, the detained person must receive this information in plain language that he or she understands. This information must additionally be provided to any legal representative of the detained person.\",\n \"95. A documented system of regular review of the justification for the imposition of solitary confinement should be in place. The review should be conducted in good faith and carried out by an independent body. Any change in the factors that justified the imposition of solitary confinement should immediately trigger a review of the detained person’s solitary confinement. All review processes must be documented.\",\n \"96. Persons held in solitary confinement must be provided with a genuine opportunity to challenge both the nature of their confinement and its underlying justification through a process of administrative review. At the outset of the imposition of solitary confinement, detained persons must be informed of their alleged criminal or disciplinary infraction for which solitary confinement is being imposed and must immediately have an opportunity to challenge the reasons for their detention. Following the imposition of solitary confinement, detained persons must have the opportunity to file a complaint to prison management through an internal or administrative complaints system.\",\n \"97. There shall be no limitations imposed on the request or complaint, such as requiring evidence of both mental or emotional suffering and physical suffering. Prison officials have an obligation to address all requests or complaints promptly, informing the detained person of the outcome. All internal administrative findings must be subject to external appeal through judicial processes.\",\n \"External safeguards\",\n \"98. Detained persons held in solitary confinement must be afforded genuine opportunities to challenge both the nature of their confinement and its underlying justification through the courts of law. This requires a right to appeal all final decisions by prison authorities and administrative bodies to an independent judicial body empowered to review both the legality of the nature of the confinement and its underlying justification. Thereafter, detained persons must have the opportunity to appeal these judgements to the highest authority in the State and, after exhaustion of domestic remedies, seek review by regional or universal human rights bodies.\",\n \"99. Individuals must have free access to competent legal counsel throughout the period in which they are held in solitary confinement. Where necessary to facilitate complete and open communication between a detainee and his or her legal counsel, access to an interpreter must be provided.\",\n \"100. There should be a documented system of regular monitoring and review of the inmate’s physical and mental condition by qualified medical personnel, both at the initiation of solitary confinement and on a daily basis throughout the period in which the detained person remains in solitary confinement, as required by rule 32, paragraph 3, of the Standard Minimum Rules for the Treatment of Prisoners. Medical personnel monitoring detained persons should have specialized training in psychological assessment and/or the support of specialists in psychology. Additionally, medical personnel must be independent and accountable to an authority outside of the prison administration. Preferably, they should belong to the general national health structure. Any deterioration of the inmate’s mental or physical condition should trigger a presumption that the conditions of confinement are excessive and activate an immediate review.\",\n \"101. Medical personnel should additionally inspect the physical conditions of the inmate’s confinement in accordance with article 26 of the Standard Minimum Rules for the Treatment of Prisoners. Relevant considerations include the level of hygiene and cleanliness of the facility and the inmate, heating, lighting and ventilation of the cell, suitability of clothing and bedding, adequate supply of food and water and observance of the rules concerning physical exercise.\",\n \"Annex\",\n \"Effects of solitary confinement\",\n \"^(a) Sharon Shalev, A Sourcebook on Solitary Confinement (London, Mannheim Centre for Criminology, 2008), pp. 15-17; also Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature”, Crime and Justice, vol. 34 (2006), p. 441.\",\n \"Many symptoms may present themselves in individuals held in solitary confinement, both concurrent with their solitary confinement and after the period of solitary confinement has terminated. The following list prepared by Dr. Sharon Shalev^(a) demonstrates a range of possible symptoms.\",\n \"Anxiety, ranging from feelings of tension to full-blown panic attacks\",\n \"• Persistent low level of stress\",\n \"• Irritability or anxiousness\",\n \"• Fear of impending death\",\n \"• Panic attacks\",\n \"Depression, varying from low mood to clinical depression\",\n \"• Emotional flatness/blunting — loss of ability to have any “feelings”\",\n \"• Mood swings\",\n \"• Hopelessness\",\n \"• Social withdrawal; loss of initiation of activity or ideas; apathy; lethargy\",\n \"• Major depression\",\n \"Anger, ranging from irritability to full-blown rage\",\n \"• Irritability and hostility\",\n \"• Poor impulse control\",\n \"• Outbursts of physical and verbal violence against others, self and objects\",\n \"• Unprovoked anger, sometimes manifested as rage\",\n \"Cognitive disturbances, ranging from lack of concentration to confused state\",\n \"• Short attention span\",\n \"• Poor concentration\",\n \"• Poor memory\",\n \"• Confused thought processes; disorientation\",\n \"Perceptual distortions, ranging from hypersensitivity to hallucinations\",\n \"• Hypersensitivity to noises and smells\",\n \"• Distortions of sensation (e.g., walls closing in)\",\n \"• Disorientation in time and space\",\n \"• Depersonalization/derealization\",\n \"• Hallucinations affecting all five senses (e.g., hallucinations of objects or people appearing in the cell, or hearing voices when no one is actually speaking)\",\n \"Paranoia and psychosis, ranging from obsessional thoughts to full-blown psychosis\",\n \"• Recurrent and persistent thoughts (ruminations), often of a violent and vengeful character (e.g., directed against prison staff)\",\n \"• Paranoid ideas — often persecutory\",\n \"• Psychotic episodes or states: psychotic depression, schizophrenia\",\n \"Self-harm, self-directed aggression\",\n \"• Self-mutilation and cutting\",\n \"• Suicide attempts\",\n \"[1] Alexandra Naday, Joshua D. Freilich and Jeff Mellow, “The Elusive Data on Supermax Confinement”, The Prison Journal, vol. 88, issue 1, p. 69 (2008).\",\n \"[2] Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature”, Crime and Justice, vol. 34 (2006), p. 441.\",\n \"[3] Jeffrey L. Metzner, M.D., and Jamie Fellner, “Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”, The Journal of the American Academy of Psychiatry and the Law, vol. 38, No. 1, pp. 104-108 (2010).\",\n \"[4] Sharon Shalev, A Sourcebook on Solitary Confinement (London, Mannheim Centre for Criminology, 2008), p. 1.\",\n \"[5] Ken Strutin, “Solitary Confinement”, LLRX.com, published on 10 August 2010.\",\n \"[6] Craig Haney, “Mental Health Issues in Long-Term Solitary and ‘Supermax’ Confinement, Crime and Delinquency”, vol. 49, No. 1, pp. 124-156.\",\n \"[7] Human Rights Committee, International Covenant on Civil and Political Rights, General Comment No. 20 (A/47/40, annex VI.A), article 7 (Prohibition of torture, or other cruel, inhuman or degrading treatment or punishment), 10 March 1992.\",\n \"[8] Iorgov v. Bulgaria, Application No. 40653/98, European Court of Human Rights, para. 84 (2004); G.B. v. Bulgaria, Application No. 42346/98, European Court of Human Rights, para. 85 (2004).\",\n \"[9] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 108 (2010).\",\n \"[10] Palushi v. Austria, Application No. 27900/04, European Court of Human Rights, paras. 72 and 73 (2009).\",\n \"[11] A.B. v. Russia, para. 111.\",\n \"[12] Onoufriou v. Cyprus, Application No. 24407/04, European Court of Human Rights, para. 80 (2010).\",\n \"[13] Ocalan v. Turkey, Application No. 46221/99, European Court of Human Rights, para. 196 (2005).\",\n \"[14] Rohde v. Denmark, Application No. 69332/01, European Court of Human Rights, para. 97 (2005).\",\n \"[15] Ramírez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, paras. 105, 106 and 135 (2006).\",\n \"[16] Ibid., para. 145.\",\n \"[17] Velázquez-Rodríguez v. Honduras, Inter-American Court of Human Rights, Series C, No. 4, para. 156 (1988).\",\n \"[18] Loayza-Tamayo v. Peru, Inter-American Court of Human Rights, Series C, No. 33, para. 58 (1997).\",\n \"[19] Cantoral-Benavides v. Peru, Inter-American Court of Human Rights, Series C, No. 69, paras. 62 and 104 (2000).\",\n \"[20] Suárez-Rosero v. Ecuador, Inter-American Court of Human Rights, Series C, No. 35, paras. 51-56 (1997).\",\n \"[21] Inter-American Commission on Human Rights, Report on the Situation of Human Rights in Mexico (OEA/Ser.L/V/II.100), para. 254 (2008).\",\n \"[22] Shalev, op. cit., p. 25.\",\n \"[23] Shalev, op. cit., pp. 25 and 26.\",\n \"[24] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, Journal on Rehabilitation of Torture Victims and Prevention of Torture, vol. 18 (2008), p. 56.\",\n \"[25] Shalev, op. cit., p. 26.\",\n \"[26] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, p. 41.\",\n \"[27] Ramírez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, para. 102 (2006).\",\n \"[28] Solitary Confinement of Prisoners and Detainees in Israeli Prisons, Joint Project of Adalah, Al Mezan (Gaza) and Physicians for Human Rights (Israel, June 2011).\",\n \"[29] Shalev, op. cit., p. 42.\",\n \"[30] Council of Europe, Committee for the Prevention of Torture, Report to the Government of Greece on the visit to Greece carried out by the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment, 20 December 2006 (CPT/Inf (2006)), p. 41.\",\n \"[31] Council of Europe, “CPT Standards” (CPT/Inf/E (2002) 1 — Rev. 2010), sect. II, para. 48.\",\n \"[32] Poltrotsky v. Ukraine, p. 146 (European Court of Human Rights, 2006-V).\",\n \"[33] Peter Scharff Smith, “The effects of solitary confinement on prison inmates”, Crime and Justice, vol. 34 (2006), p. 449.\",\n \"[34] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”, Journal of Law and Policy, vol. 22 (2006), p. 325.\",\n \"[35] Ilaşcu and others v. Moldova and Russia, Application No. 48787/99, European Court of Human Rights (2004), para. 432.\",\n \"[36] Mathew v. Netherlands, Application No. 24919/03, para. 202.\",\n \"[37] G.B. v. Bulgaria, para. 85.\",\n \"[38] Valasinas v. Lithuania, Application No. 44558/98, European Court of Human Rights, para. 112 (2001); Ocalan v. Turkey, para. 193.\",\n \"[39] Rohde v. Denmark, para. 97.\",\n \"[40] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, p. 1.\",\n \"[41] Shalev, op. cit., p. 2.\",\n \"[42] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 135 (2010).\",\n \"[43] “USA: The Cruel and Inhumane Treatment of Albert Woodfox and Herman Wallace”, Amnesty International (2001).\",\n \"[44] Stuart Grassian, “Psychiatric Effects of Solitary Confinement” (1993), p. 1.\",\n \"[45] Ibid., p. 8.\",\n \"[46] Ibid., p. 2.\",\n \"[47] Ibid., p. 20.\",\n \"[48] Shalev, op. cit., pp. 13 and 22.\",\n \"[49] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”, pp. 332 and 333.\",\n \"[50] Article 37(c), Convention on the Rights of the Child; article 8(d), United Nations Standard Minimum Rules for the Treatment of Prisoners.\",\n \"[51] Robert Wildeboer, “The Impact of Solitary Confinement in a Youth Prison”, Inside and Out (Chicago, 2010).\",\n \"[52] Shalev, op. cit., p. 26.\",\n \"[53] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”; Shalev, op. cit., p. 10.\",\n \"[54] American Civil Liberties Union, “Abuse of the Human Rights of Prisoners in the United States: Solitary Confinement” (2011).\",\n \"[55] Jeffrey L. Metzner, M.D., and Jamie Fellner, “Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”, The Journal of the American Academy of Psychiatry and the Law, vol. 38, No. 1, pp. 104-108 (2010).\",\n \"[56] Heartland Alliance National Immigrant Justice Center, letter to the Special Rapporteur on torture dated 16 June 2011.\"\n]"},"record":{"kind":"string","value":"A_66_268"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","A/66/150.","Item 69 (b) of the provisional agenda*","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Torture and other cruel, inhuman and degrading treatment or punishment","Note by the Secretary-General","The Secretary-General has the honour to transmit to the General Assembly the interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment, Juan Méndez, prepared pursuant to General Assembly resolution 65/205.","Interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment","Summary","In the present report, submitted pursuant to General Assembly resolution 65/205, the Special Rapporteur addresses issues of particular concern and recent developments in the context of his mandate.","The Special Rapporteur draws the attention of the General Assembly to his assessment that solitary confinement is practised in most countries. He has found that the prison system of material conditions and solitary confinement can cause severe mental and physical suffering or suffering, and that it constitutes cruel, inhuman or degrading treatment or punishment, even torture, when it is used as a punishment for an indefinite, prolonged period of pretrial detention for juveniles or persons with mental disabilities. Furthermore, the practice of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will not be detected or challenged.","The report highlights a number of general principles to help guide States in re-evaluation and minimization of the use of solitary confinement and its elimination in certain categories of cases. This practice should be used only as a last resort in very specific cases and for as short a time as possible. He also stressed the need for minimum internal and external procedural safeguards to ensure that all persons deprived of their liberty were treated with humanity and with respect for the inherent dignity of the human person.","Contents","2. Mandate-related activities","Introduction","1. The present report, submitted pursuant to paragraph 39 of General Assembly resolution 65/205, is the thirteenth report of the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment to the General Assembly and the first submitted by this mandate holder.","2. The Special Rapporteur draws attention to his report to the Human Rights Council (A/HRC/16/52), in which he outlined his vision, working methods and priorities during his mandate.","II. Activities related to the mandate","3. The following is a summary of the activities undertaken by the Special Rapporteur under his mandate since his report to the Human Rights Council (A/HRC/16/52 and Add.1-6).","Communications concerning human rights violations","4. Between 1 December 2010 and 1 July 2011, he sent 20 letters of allegations of torture to 18 Governments and 95 urgent appeals to 48 Governments on behalf of individuals at risk of torture or other forms of ill-treatment. Eighty-two responses were received during the same period.","Country visits","5. With regard to the fact-finding mission, a country visit to Kyrgyzstan was planned for May 2011, but the Government requested an extension on the basis of ongoing political developments. In a letter dated 28 July 2011, the Government of the Kyrgyz Republic proposed a country visit in late August 2011. The Special Rapporteur welcomes this invitation, but as a temporary notification, other possible dates are being discussed with the Government at the time of submission of the present report. He accepted the invitation of the Government of Iraq to visit the country in October 2011. He was also invited to visit Bahrain and a date is being discussed with the Government. In addition to the forthcoming requests for country visits (see A/HRC/16/52, para. 6), the Special Rapporteur has requested a visit to Morocco on the question of Western Sahara.","6. The Special Rapporteur visited Tunisia from 15 to 22 May 2011. He shared his preliminary findings with the interim Government and issued a press statement on 22 May, expressing appreciation to the Government for its full cooperation with him. He noted that the Government had taken a number of positive steps to ensure accountability and long-term reform. However, he believes that the “wait-and-see attitude” in anticipation of the Constituent Assembly elections may hinder the possibility of taking bold and positive steps in settling past and recent violations. The Special Rapporteur emphasizes the need to ensure prompt, effective and independent criminal investigations into alleged perpetrators of torture and ill-treatment and to initiate administrative programmes to provide redress and compensation services to victims of past and recent violations. The report on the mission to Tunisia will be submitted to the Human Rights Council at its nineteenth session, to be held in March 2012.","Key press statements","7. The Special Rapporteur issued the following press statements (many of which were issued jointly with other mandate holders):","• 31 December 2010 — Expressing grave concern at possible or continuing enforced or involuntary disappearances, arbitrary detentions, extrajudicial, summary or arbitrary executions and acts of sexual violence during the presidential elections in Côte d'Ivoire.","• 14 January 2011 - Following official confirmation that at least 21 people had died, the Tunisian Government was urged to control the use of force against peaceful demonstrations.","• 3 February 2011 - The alleged acts of torture or cruel, inhuman or degrading treatment in connection with public disturbances in Belarus, Egypt and Tunisia and the suppression of peaceful demonstrations.","• 17 February — The Transitional Government of Egypt is urged to establish an independent investigation team to investigate human rights violations committed during the revolution in the country and to have the authority to transmit names and evidence to the relevant authorities for prosecution.","• 18 February — The Governments of Bahrain and the Libyan Arab Jamahiriya are urged to guarantee the right to peaceful protest and to cease immediately the use of excessive and lethal force.","• 22 February — On the situation of human rights defenders who are gravely concerned about the serious human rights violations that are taking place in the Libyan Arab Jamahiriya.","• 3 March — Condemning the violent repression of protesters in Yemen and urging the Government to end the excessive use of force as a means of ending the ongoing protests.","• 22 March — Expressing concern at the increasing number of serious human rights violations in the capital of Bahrain, Manama.","• 1 April — Expressing concern at serious human rights violations in Côte d'Ivoire, including enforced disappearances, extrajudicial killings, killing and maiming of children and sexual violence that may constitute international crimes, and expressing the full support of the Special Rapporteur and other mandate holders for Security Council resolution 1975 (2011).","• 11 April and 12 July — he expressed frustration that, despite his repeated requests to visit Private Bradley Manning, the Government of the United States of America had still not given him unsupervised access to the detainee. The issue of unfettered access is not limited to the case, but also relates to the ability of the Special Rapporteur to conduct private and unsupervised interviews with detainees during his country visit to the United States.","• 15 April — Condemning the increasing death toll and the brutal repression of peaceful protesters, journalists and human rights defenders in the Syrian Arab Republic, despite the Government's commitment to reform and consultations to end the 48-year state of emergency.","• 1 July — U.S. Government is urged to stop carrying out scheduled executions of Humberto Leal García, Texas.","Highlights of key presentations/consultations/training courses","The Special Rapporteur participated in a meeting organized by Amnesty International in London from 8 to 9 February 2011 to discuss “the development of international best practices in interrogation and investigation of torture”. He also addressed the All-Party Parliamentary Group on Special Extradition.","On 22 February, he gave a presentation at the sixty-third annual meeting of the Inter-American Faculty of Forensic Sciences on “International framework and mechanisms for documenting conditions of detention, torture and ill-treatment”.","10. On 28 February, he met with senior officials of the Department of State and the Department of Defense of the United States of America in Washington, D.C., and again visited the Department of Defence on 22 April to discuss issues of common concern.","11. From 6 to 10 March, the Special Rapporteur attended the sixteenth session of the Human Rights Council in Geneva and met with the ambassadors of Iraq, Kyrgyzstan, Mexico, Thailand and the United States. He also met with all the regional groups of the Human Rights Council, with the exception of the African group, which unfortunately could not be scheduled.","12. On 16 and 17 March, he met with the Chairman of the Committee against Torture, the Vice-Chairman of the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Rapporteur on the rights of persons deprived of their liberty of the Inter-American Commission on Human Rights, a representative of the European Committee for the Prevention of Torture and the Special Rapporteur on detainees of the African Commission on Human and Peoples ' Rights in Washington, D.C. The meeting was organized jointly by the Washington School of Law of the American University and the Association for the Prevention of Torture to discuss how to strengthen the working relationship between these mechanisms.","13. From 18 to 20 March, the Special Rapporteur addressed the annual general meeting of Amnesty International America in San Francisco and the commemorative meeting of the fiftieth anniversary.","On 1 June 2011, he delivered a keynote address at an event organized by several religious groups in Washington, D.C., entitled “The accountability of today: preventing torture tomorrow”.","From 15 to 17 June, the Special Rapporteur, with the support of the Government of the Netherlands, hosted a regional consultation of the Americas on torture in Santiago, Chile. The regional consultation, organized with the assistance of the Association for the Prevention of Torture, the Legal and Social Centre, the Manpower Corporation, the Regional Centre for Human Rights and Gender Justice and Conectas Human Rights, provided an opportunity for Governments, national institutions and civil society organizations from 12 countries to discuss follow-up to recommendations made following country visits and to strengthen local and regional protection mechanisms against torture and ill-treatment.","16. On 20 June, he met in Santiago with the Director-General for Foreign Policy of the Ministry of Foreign Affairs of Chile.","17. From 27 June to 1 July, the Special Rapporteur participated in his eighteenth annual meeting in Geneva. He also met with representatives of the Governments of Iraq, Kyrgyzstan, the Netherlands, the Russian Federation, Tunisia and the United States of America.","18. On 7 July, he met with the Minister for Human Rights of the Government of Brazil in Brasilia.","III. Incommunicado detention","A. Overview of work undertaken under the mandate","In his first report as Special Rapporteur (A/HRC/16/52, para. 70), he recognized that “the question of whether prolonged solitary confinement ... inherently amounts to cruel, inhuman or degrading treatment or punishment has been the subject of much debate and discussion in the Human Rights Council”; in his view, “the international community as a whole will benefit from a calm and rational discussion of this issue”.","20. The Special Rapporteur has received complaints about the use of solitary confinement or solitary confinement as a means of combating organized crime in administrative detention on grounds of national security, as well as in immigration detention. He did this study because he found that the practice of solitary confinement was global and susceptible to widespread abuse. In particular, the practice of social segregation and sensory deprivation practised in some countries constitutes cruel, inhuman and degrading treatment or even torture in certain circumstances.","21. As noted by the Special Rapporteur ' s predecessor, prolonged solitary confinement may in itself constitute prohibited ill-treatment or torture (E/CN.4/1999/61, para. 394 and E/CN.4/2003/68, para. 26 (m)).","22. The Istanbul Statement on the Use and Effects of Incommunicado Detention was annexed to the 2008 interim report of the former Special Rapporteur to the General Assembly (A/63/175, annex). The report concludes: “The prolonged isolation of detainees may amount to cruel, inhuman or degrading treatment or punishment and, in some cases, to torture. ... the use of solitary confinement should be kept to a minimum; in very exceptional circumstances, it should be used for as short a time as possible and only as a last resort. Irrespective of the specific circumstances in which they are used, efforts must be made to increase the level of social contact between prisoners and prison staff, to allow socialization with other prisoners, to allow more visits and to provide mental health services” (A/63/175, paras. 77 and 83).","History and current practice of solitary confinement","23. The history of the use of solitary confinement against detainees is well documented. This practice dates back to the United States of America in the 1920s, when it was believed that the isolation of prisoners would contribute to rehabilitation. In this model, prisoners spend their whole day alone, in most cases in cells, even at work, in order to reflect on their own criminal process and thus avoid negative external effects. This practice has been used in European and South American countries since the 1830s (A/63/175, para. 81). It is important to recognize that the model 200 years ago was a way of social and moral progress in the area of punishment, as it emphasized rehabilitation and sought to replace the death penalty, mutilation and other forms of punishment that were then prevalent.","24. The use of solitary confinement continues to be widespread throughout the world (A/63/175, para. 78). In some countries, the use of solitary confinement as a normal rather than an “exceptional” practice in super maximum security prisons was considered problematic. In the United States, for example, an estimated 20,000 to 25,000 people are held in solitary confinement. Another example is the widespread use of solitary confinement in pretrial detention; this has been an integral part of the practice in Scandinavian prisons for many years. [2] Segregation from the rest of the prison population is used almost everywhere as a punishment to undermine prison discipline. In many countries, solitary confinement is now used more frequently and for longer periods. In Brazil, for example, Decree No. 10792 of 2003 amended the existing “Criminal Law Enforcement Act” to envisage a “differentiated” disciplinary regime for individual cells for up to 360 days, without prejudice to the extension of a similar duration for new offences, up to one sixth of the sentence. The Province of Buenos Aires, Argentina, launched a programme to prevent prison violence in 2010, which includes at least nine months of isolation (the first three months being total isolation), a period that, according to prison monitors, is often extended.","C. Definitions","25. There is no generally agreed definition of solitary confinement. The Istanbul Declaration on the Use and Effects of Isolation defines solitary confinement as the physical isolation of individuals who are held in cells for 22 to 24 hours a day. In many jurisdictions, prisoners in solitary confinement are allowed to walk out of their cells for one hour each day alone. Meaningful contact with others is usually minimized. The decline in stimulus is not only quantitative but also qualitative. The only incentives and occasional social contacts are rarely freely chosen by them, and are usually very monotonous and non-transmitted.","solitary confinement is also referred to as “separation”, “separation”, [3] “separation”, “beecom”, [4] “locking”, “super-highest”, “concrete” or “safe housing unit”,[5] but all these terms involve different factors. For the purposes of the present report, the Special Rapporteur defines solitary confinement as the physical and social isolation of individuals who are held in cells for 22 to 24 hours a day. The Special Rapporteur is particularly concerned about prolonged solitary confinement, which he defines as any solitary confinement for more than 15 days. He knew that it would be arbitrary to determine when an already harmful regime had been transformed into a time point of unacceptable suffering over time. He concludes that 15 days is the line between “incommunicado detention” and “long-term solitary confinement”, as, according to the literature examined, some of the harmful psychological effects of isolation may become irreversible at this point in time. [6]","D. Legal framework","27. International and regional human rights bodies have adopted different approaches in addressing the basic conditions that cause the social and physical isolation of detainees and in determining whether such practices amount to torture or cruel, inhuman or degrading treatment or punishment. For example, while the European Court of Human Rights has often faced the issue of solitary confinement, the United Nations Human Rights Committee and the Inter-American Court of Human Rights are the bodies most widely addressing the phenomenon related to incommunicado detention. For the purposes of the present report, the Special Rapporteur will focus only on the work of global and regional human rights bodies on the issue of solitary confinement.","1. International level","United Nations General Assembly","28. In 1990, the General Assembly adopted resolution 45/111, the Basic Principles for the Treatment of Prisoners. Principle 7 provides that efforts should be made to abolish or restrict the use of solitary confinement as a punishment and encourages efforts to that end.","29. In the same year, the General Assembly adopted resolution 45/113, the United Nations Rules for the Protection of Juveniles Deprived of their Liberty. In paragraph 67, the General Assembly asserted that “all disciplinary measures which constitute cruel, inhuman or degrading treatment, including ... solitary confinement or any other punishment prejudicial to the physical or mental health of the juvenile concerned, shall be strictly prohibited”.","United Nations treaty bodies","30. In paragraph 6 of its general comment No. 20, the Human Rights Committee noted that prolonged solitary confinement of detainees or prisoners may amount to acts prohibited under article 7 of the International Covenant on Civil and Political Rights. [7] In its concluding observations on Rwanda, the Human Rights Committee recommended that “the State party should end the practice of imposing solitary confinement ...”. (CCPR/C/RWA/CO/3, para.","31. CAT recognized the harmful physical and psychological effects of prolonged solitary confinement and expressed concern about the use of prolonged solitary confinement as a preventive and disciplinary measure during pretrial detention. The Committee recommends that the use of solitary confinement be abolished, in particular during pretrial detention, or at least by strict and specific legal norms (maximum duration, etc.), under judicial supervision and only in exceptional circumstances, such as when the safety of persons is concerned (A/63/175, para. 80). The Committee recommends that solitary confinement not be used against persons under 18 (CAT/C/MAC/CO/4, para. 8).","32. The Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment noted that prolonged solitary confinement may amount to torture and other cruel, inhuman or degrading treatment or punishment and recommended that it not be used in cases involving minors or persons with mental disabilities (CAT/OP/PRY/1, para. 185). The SPT also recommends that medical officers should visit the prisoner in solitary confinement on a daily basis, on the understanding that such visits would be beneficial to the prisoner ' s health. In addition, prisoners held in solitary confinement for more than 12 hours should have at least one hour a day to breathe fresh air (CAT/OP/PRY/1, para. 184). In view of the conditions of solitary confinement, the SPT notes that all prisoners should be provided with beds and suitable mattresses, including those held in solitary confinement (CAT/OP/HND/1, para. 227 (a) and CAT/OP/PRY/1, para. 280).","In its general comment No. 10 (2001), the Committee on the Rights of the Child stressed that “disciplinary measures contrary to article 37 of the Convention on the Rights of the Child must be strictly prohibited, including ... confinement or solitary confinement, or any other punishment that may harm the physical or mental health or well-being of the child” (CRC/C/GC/10, para. Furthermore, the Committee urges States parties to prohibit and abolish the use of solitary confinement of children (CRC/C/15/Add.151, para. 41; CRC/C/15/Add.220, para. 45 (d); CRC/C/15/Add.232, para. 36 (a)).","2. Regional level","European Court of Human Rights","34. In assessing cases of solitary confinement, the European Court of Human Rights considered the reasons given by States for social and physical segregation. The Court found a violation of article 3 of the European Convention on Human Rights, as the State did not provide security-based justification for the use of solitary confinement. [8] As for prolonged solitary confinement, the Court held that the reasons for its use must be explained to individuals and that, over time, such reasons “must be more detailed and urgent”. [9]","35. Through its case law, the European Court of Human Rights has emphasized that certain procedural safeguards must be in place during the imposition of solitary confinement, such as monitoring the physical health of the prisoner,9 especially when the person is ill,[10] and has access to judicial review. [11]","36. A key factor on which the European Court of Human Rights bases its assessment of whether a case of physical and mental isolation constitutes torture or cruel, inhuman or degrading treatment or punishment is the extent of the individual ' s isolation. The suffering caused by the long-standing absolute prohibition of visits by individuals outside prisons “is clearly beyond the inevitable levels inherent in detention facilities”. [12] However, as long as individuals can receive visitors and letters, view television, read books and read newspapers, and have regular contact with prison staff, or have regular access to clergy or lawyers,[15] this isolation is a “local” isolation that fails to reach the minimum threshold of gravity, i.e. the minimum threshold necessary for the European Court of Human Rights to find a violation of article 3 of the European Convention on Human Rights. The Court stressed, however, that even if partial isolation were to be imposed, solitary confinement could not be imposed indefinitely. [16]","Inter-American human rights system","37. The jurisprudence of the Inter-American human rights system on solitary confinement is more conclusive than that of the body discussed above. Since its earliest judgement, the Inter-American Court of Human Rights has found that certain elements of the prison system and certain material conditions in prisons constitute in themselves cruel and inhuman treatment, thus violating article 5 of the American Convention on Human Rights, which recognizes the right to human integrity. For example, the Court held that “the practice of prolonged isolation and denial of opportunities for communication is in itself cruel and inhuman treatment, harming the psychological and moral integrity of the human person and violating the right of detainees to respect the inherent dignity of the human person”. [17] The Court also discussed the material conditions of detention, emphasizing that “separation in small, unventilated and unnatural cells ... [and] restrictions on visiting rights ... constitute forms of cruel, inhuman and degrading treatment”. [18]","38. The Court also recognized that solitary confinement leads to psychological and physical suffering, which can lead to treatment that constitutes torture. In at least one case, the court confirmed the material conditions of solitary confinement, including “slim, unventilated or unnatural cells” and the prison system of detainees “for 23 hours and a half hours a day ..., [and] only once a month to see their relatives and without physical contact with them”, which may amount to physical and psychological torture when combined with other forms of physical and psychological abuse. [19]","39. In its analysis of solitary confinement, the Court noted that procedural safeguards must be in place even when they are used in exceptional circumstances. For example, “States have an obligation to ensure that detainees enjoy the minimum and non-derogable guarantees provided for in the [American] Convention, in particular the right to question the lawfulness of detention and to ensure that detainees are effectively defended while in custody”. Similarly, the Inter-American Commission on Human Rights has consistently maintained that all forms of disciplinary action taken against detainees must comply with due process of law norms and provide access to judicial review. [21]","E. Grounds for State use of solitary confinement","40. The reasons given by States for the use of solitary confinement can be divided into five broad categories:","(a) Perpetrators (as part of a judicial sentence or as part of a disciplinary system);","(b) Protecting vulnerable persons;","(c) Facilitate the management of certain persons in prisons;","(d) To protect or promote national security;","(e) Facilitating pre-indictment or pre-trial investigations.","41. The practice of solitary confinement as part of an individual ' s judicial sentence often occurs in the context of particularly serious crimes or crimes against the State. [22] In some Central European countries, for example, persons convicted of murder or rape were sentenced to imprisonment in solitary confinement (A/64/215, para. 53). In other countries, such as Mongolia, the death penalty may be commuted to life imprisonment and served in solitary confinement (E/CN.4/2006/6/Add.4, para. 47). The use of solitary confinement as a disciplinary measure in prisons is also well documented and is perhaps the most common reason for its use as a form of punishment. Disciplinary measures usually involve violations of prison rules. In Nigeria, for example, detainees are subject to up to three days of solitary confinement for disciplinary offences (A/HRC/7/3/Add.4, enclosure I, para. 113). Similarly, at Abepula prison in Indonesia, as a disciplinary measure, persons who violate prison rules may be held in solitary confinement for up to eight days (A/HRC/7/3/Add.7, enclosure I, para. 37).","42. Isolation is also used to separate vulnerable individuals, including adolescents, persons with disabilities and lesbian, gay, bisexual and transgender persons, in order to protect them. They may be held incommunicado at their request or at the discretion of prison officials. [23]","43. State officials also use solitary confinement as a tool for the management of certain prison populations. Persons identified as dangerous, such as gang members or those at greater risk of flight, may be held incommunicado. Similarly, persons identified as at risk of harm, such as sex offenders, whistleblowers and former correctional or law enforcement officials, are often allowed or encouraged to choose voluntary solitary confinement to protect them from fellow prisoners. For purposes of prison management, prisoners may also be placed in some form of solitary confinement before, during or after the transfer of their cells and places of detention. [25] While the duration of solitary confinement as a management tool varies widely, it should be noted that such use is motivated by practical rather than punitive motives.","44. Persons identified as terrorist suspects or as having national security risks are also often placed in solitary confinement. In Equatorial Guinea, for example, a section of the Black Beach Prison, made up of individual cells, is dedicated to solitary confinement of high-security prisoners (A/HRC/13/39/Add.4, enclosure I). Incommunicado detention may also be used as a means of compulsory interrogation and is often an integral part of enforced disappearance or incommunicado detention (A/63/175, annex). As noted in paragraph 40 (a) above, national security is also the primary reason for the imposition of solitary confinement after a judicial sentence. In China, for example, a person sentenced for “illegal provision of State secrets or information to entities outside China” was allegedly placed in solitary confinement for two of her eight years of imprisonment (E/CN.4/2006/6/Add.6, enclosure 2, para.","45. States also use solitary confinement to isolate individuals before prosecution or during pretrial detention. In some countries, such as Denmark, solitary confinement is a regular practice of pre-trial detention (A/63/175, para. 78 (i)). The use of solitary confinement before prosecution and during pre-trial detention varies considerably, including to prevent detainees from mixing in order to avoid acts of moral corruption and collusion, and to exert pressure on detainees to cooperate or confess. [26]","F. Conditions of solitary confinement","46. The management of prisons and the conditions of detainees is governed by prison regulations and national laws, as well as international human rights law. The United Nations Standard Minimum Rules for the Treatment of Prisoners, adopted by the Economic and Social Council in 1957, supplement and interpret the basic norms that are binding on the basis of treaties or as part of customary international law. While the Standard Minimum Rules are not directly binding, they are widely accepted as a universal norm for the humane treatment of prisoners.","47. The particular conditions in which detainees are placed in solitary confinement vary from institution to jurisdiction. Most, however, have common material and non-material conditions (or prison system).","1. Material conditions","48. The main material conditions associated with solitary confinement are the size of the cell, the availability of windows and electric lamps, and the availability of fixed sanitary equipment for personal hygiene. In practice, solitary confinement cells usually share certain common features, including: being located in an independent or remote location of the prison, narrow or partially covered windows, lack of circulation of the air, bald appearances and dreary colours, toughening cardboard or other furniture to prevent diversion on the floor, and small, boring gymnasium or yard (E/CN.4/2006/6/Add.3, para. 47). In some jurisdictions, prisoners in solitary confinement are shackled and subjected to other physical restrictions (A/HRC/13/39/Add.4, para. 76 (f)).","49. There is currently no universal instrument that provides for an acceptable minimum size of cells, although domestic and regional jurisdictions sometimes rule on the matter. According to the decision of the European Court of Human Rights in Ramírez v. France, a cell of 6.84 square metres is “sufficient” to house a single person. The Court did not elaborate on why such an area could be considered sufficient; the Special Rapporteur respectfully expressed his disagreement, especially if the individual cell should also include at least toilet and washing equipment, a bed and a table.","50. The existence of windows and lights is also of critical importance in terms of the proper treatment of detainees held in solitary confinement. Article 11 of the Standard Minimum Rules for the Treatment of Prisoners provides that there shall be sufficient light to enable detainees to work or read, and whether or not there is an artificial ventilation facility, a window shall be opened for air circulation. However, State practice shows that this standard is often not met. In Georgia, for example, the opening of windows in solitary confinement cells was found to have steel slabs welded to the outside iron bars, limiting light and ventilation (E/CN.4/2006/6/Add.3, para. 47). In Israel, the only source of light in solitary confinement cells is often fluorescent light bulbs, with no fresh air. [28]","51. Articles 12 and 13 of the Standard Minimum Rules provide that detention facilities should provide adequate fixed sanitation facilities for the personal hygiene of detainees. As a result, the cells used for solitary confinement should house toilets and washbasins. In its 2006 report on Greece, the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment (CPT) noted that the isolation cells in Komotini prison did not meet the necessary minimum standards of sanitation, as detainees were forced to use toilets as a washbasin. Other environmental factors, such as temperature, level of noise, privacy and soft materials for room furniture, are also involved in the placement of solitary confinement.","2. Prison system","52. The main aspects of the prison system to be taken into account in assessing the conditions of solitary confinement include the existence of outdoor exercise and fitness programmes, the availability of meaningful contact in the prison and the availability of contact with the outside world. In accordance with article 21 of the Standard Minimum Rules for the Treatment of Prisoners, every prisoner who does not take part in outdoor work shall have at least one hour per day in the open air for appropriate exercise, provided that the weather is suitable. Similarly, the European Committee for the Prevention of Torture (CPT) stressed that all prisoners, without exception, should have the opportunity to exercise one hour a day in the open air. However, State practice shows that these standards are not always complied with. In Jordan, for example, one detainee was allowed to spend only one hour per week outdoors (A/HRC/4/33/Add.3, enclosure, para. 21). In Poltrotsky v. Ukraine, the European Court of Human Rights found that the lack of opportunities for outdoor exercise, coupled with the lack of access to natural light, constituted a violation of article 3 of the European Convention on Human Rights. [32]","53. Access to meaningful personal and external contact within prisons is also critical to the mental health of detainees in solitary confinement, especially for those in prolonged detention. In prisons, such contact may be with health professionals, prison guards or other prisoners. Contacts with the outside world include visits by legal counsel, family and friends, mail and telephone calls, as well as access to reading materials, television or radio. Article 17 of the International Covenant on Civil and Political Rights gives prisoners the right to contact their families and to receive and send correspondence. In addition, the Standard Minimum Rules for the Treatment of Prisoners provide for various external incentives (articles 21 on gymnastics and sports, 37 to 39 on contact with the outside world, 40 on books, 41 and 42 on religion, 71 to 76 on work, 77 and 78 on education and recreation and 79 to 81 on social relations and aftercare).","3. Social segregation","54. Isolation reduces meaningful social contact to an absolute minimum. The resulting level of social incentives for individuals is not sufficient to maintain a reasonable state of mental health. [33]","55. Research has shown that people will soon be unable to maintain adequate vigilance and attention to their environment once they are deprived of an adequate level of social stimulus. Indeed, even solitary confinement for a few days can lead to an abnormal state of mind activity that is characterized by mental discomfort and dementia. [34] Advances in new technologies have made it possible to indirectly monitor and maintain close surveillance of people without much human interaction. According to the European Court of Human Rights, “complete sensory isolation, coupled with complete social isolation, may destroy personality and constitute a form of inhuman treatment that cannot be justified on security or any other grounds”. [35]","56. According to the European Court of Human Rights, States should also take steps to reduce the negative impact of solitary confinement. [36] This regime cannot continue as long as the harmful effects of solitary confinement on a particular individual are known. [37] The conditions of imprisonment are also relevant in this respect, as when they are not justified, the Court considers that it is unlikely that the minimum threshold of gravity at which a violation of article 3 can be found would be exceeded. [38] Regular medical examinations may be a factor in determining whether there has been a violation of article 3. [39]","G. Prolonged or indefinite solitary confinement","The use of prolonged or indefinite solitary confinement has increased in all jurisdictions, especially on the grounds of the “war on terror” and “threats to national security”. Those punished by these two practices can be described as being in “prisons” and thus suffering from extreme forms of anxiety and exclusion, which clearly replaces normal detention. Because of their isolation, prisoners held in prolonged or indefinite solitary confinement can easily slip away from justice and it is often difficult to guarantee their rights, even in countries where the rule of law is strongly upheld. [40]","58. When a State fails to comply with the Standard Minimum Rules for the Treatment of Prisoners for a short period of time in solitary confinement, some debate may arise as to whether the adverse effects constitute cruel, inhuman or degrading treatment or punishment or torture. However, the longer solitary confinement lasts or the greater uncertainty about its duration, the greater the risk of serious and irreversible harm to prisoners, which may amount to cruel, inhuman or degrading treatment or punishment or even torture.","59. The uncertainty resulting from the lack of information about the duration of solitary confinement exacerbates the pain and suffering of the inmates. In some cases, persons may be held indefinitely in pretrial detention, thereby increasing the risk of other forms of cruel, inhuman or degrading treatment or punishment (art. CAT/C/DNK/CO/5, para.","Most studies do not specify how long solitary confinement lasts before it becomes prolonged. Although the sentence is uncertain, detainees may be held in solitary confinement for several weeks to many years. In Kazakhstan, for example, persons may be held in solitary confinement for more than two months (A/HRC/13/39/Add.3, para. 117). Some detainees have been held incommunicado in secret detention centres for many years without charge or trial, where isolation is an integral part of interrogation practices. In a joint report on the situation of detainees at Guantánamo Bay, the experts noted that, while 30 days of isolation was the maximum period allowed, some detainees were re-insulated after a short period of time after more than 18 months of isolation (E/CN.4/2006/120, para. 53).","61. There are currently no international standards on the maximum permissible total duration of solitary confinement. In A.B. v. Russia, the European Court of Human Rights held that the detention of a person in solitary confinement for three years constituted a violation of article 3 of the European Convention on Human Rights. By comparison, in the United States of America, a Louisiana prison reportedly held two prisoners incommunicado for 40 years after they attempted to file a judicial appeal against their conditions of detention. As noted in paragraph 26 of the present report, the Special Rapporteur considers that solitary confinement for more than 15 days constitutes prolonged solitary confinement.","H. Psychological and physical effects of solitary confinement","62. While solitary confinement can have a negative impact on health as long as it lasts for a few days, it increases health risks every day it is prolonged. Experts who have investigated the effects of solitary confinement have identified three common elements inherent in solitary confinement: social isolation, minimal environmental stimulation and “minimum social opportunities”. The findings further suggest that solitary confinement appears to cause “mental disorders”, a syndrome known as “prisonal mental illness”. [45] Symptoms may include anxiety, depression, anger, cognitive impairment, sensory distortion, paranoia and mental illness, and self-harm (see annex for a comprehensive list of symptoms).","Some experience symptoms that are unrelated, while others experience “a serious deterioration in their existing mental state or a mental illness that they have never seen before”. [46] Whatever the specific conditions, whenever and wherever they may have been, a significant number of people experience serious health problems.","I. Potential impact of solitary confinement","64. There is a lack of research on the potential impact of solitary confinement. Although the acute effects of solitary confinement generally recede after the end of the period of solitary confinement, some negative effects on health persist. The smallest irritation experienced during solitary confinement can reduce human brain activity after seven days. One study found that “up to seven days, the reduction in [brain activity] is reversible but not necessarily if it takes too long”. [47]","65. The study found that, after a long period of isolation, persistent sleep disorders, depression, anxiety, fear, emotional dependence, mental disorders, memory and attention loss persisted. In addition, long-term personality changes often lead to poor, isolated social life for those who have been held incommunicado and to a sense of discomfort and fear of being forced into social interaction. [48] The lack of willingness to engage in social interaction after a period of solitary confinement often prevents people from successfully adjusting their lives in order to interact with the prison population and seriously affects their ability to reintegrate into society after serving their sentences. [49]","J. Vulnerable people","1. Adolescents","66. United Nations treaty bodies have unanimously recommended that solitary confinement of juvenile offenders, children or minors should not be imposed (CAT/C/MAC/CO/4, para. 8; CAT/OP/PRY/1, para. 185; CRC/C/15/Add.151, para. 41; and CRC/C/15/Add.232, para. 36 (a)). The use of solitary confinement of juveniles is often used as a disciplinary measure or in order to separate them from adult prisoners, as international human rights law prohibits the mixing of juveniles with adult prisoners. [50] Regrettably, solitary confinement as a form of punishment for detained juveniles has been widespread in some countries, such as Jamaica (A/HRC/16/52/Add.3, para. 211), Paraguay (A/HRC/7/3/Add.3, enclosure I, para. 46) and Papua New Guinea (A/HRC/16/52/Add.5, enclosure). With regard to disciplinary measures, one report indicated that solitary confinement did not reduce violence among juvenile detainees in youth prisons. [51]","Persons with disabilities","67. In some jurisdictions, solitary confinement of persons with disabilities is used as appropriate medical or psychiatric care, or because of the lack of alternative detention facilities. These persons do not necessarily pose a threat to others or to themselves, but they are vulnerable to abuse and are often seen as an interference with other prisoners and prison staff. [52]","68. Studies have shown that solitary confinement often results in a significant increase in pre-existing mental health conditions for persons with mental disabilities. [53] The isolation of prisoners with mental health problems is rapidly deteriorating. [54] The adverse effects of solitary confinement are particularly evident for persons with serious mental health problems, often characterized by psychiatric symptoms and/or apparent functional impairments. [55] Some would take extreme action, such as self-harm, or even suicide. 54","3. Lesbian, gay, bisexual and transgender persons","Incommunicado detention as a form of “protective custody” is frequently practised on LGBT persons. [56] While the segregation of lesbian, gay, bisexual and transgender persons is necessary for security reasons, the status of lesbian, gay, bisexual and transgender persons cannot justify limiting their social behaviour (e.g. access to recreational activities, reading materials, legal counsel or doctors).","K. When solitary confinement constitutes torture or other cruel, inhuman or degrading treatment or punishment","70. The lack of witnesses increases the risk of torture and other cruel, inhuman or degrading treatment or punishment. Given that solitary confinement can have a serious adverse impact on health, its use can in itself constitute an act prohibited by article 7 of the International Covenant on Civil and Political Rights, torture as defined in article 1 of the Convention against Torture or cruel, inhuman or degrading punishment as defined in article 16 of the Convention.","71. In assessing whether solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment, all relevant circumstances should be considered on a case-by-case basis. These situations include the purpose, conditions, duration and effects of the imposition of solitary confinement and, of course, subjective conditions that make each victim more or less vulnerable to such effects. The present section of the report discusses situations in which the use of solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment.","72. When solitary confinement is used for the purpose of punishment, it cannot be justified on any grounds given; this is precisely because the severe mental pain and suffering inflicted by solitary confinement exceeds any reasonable punishment for the offence, thus constituting an act as defined in articles 1 or 16 of the Convention against Torture, in violation of article 7 of the International Covenant on Civil and Political Rights. This also applies when solitary confinement is imposed for breach of prison discipline, provided that the suffering and suffering experienced by the victim is of the necessary gravity.","73. While physical and social isolation may be necessary in certain circumstances during criminal investigations, the practice of solitary confinement during pre-trial detention creates a de facto psychological stress situation that may have an impact on the detainee to confess or make statements to the detriment of others and undermines the integrity of the investigation. The deliberate use of solitary confinement as a means of obtaining information or of obtaining confessions during pretrial detention constitutes torture as defined in article 1 of the Convention against Torture or cruel, inhuman or other degrading treatment or punishment as defined in article 16, in violation of article 7 of the International Covenant on Civil and Political Rights.","74. The conditions of solitary confinement constitute torture or cruel and inhuman treatment, as defined in articles 1 and 16 of the Convention against Torture, in violation of article 7 of the International Covenant on Civil and Political Rights, when the material conditions of solitary confinement are very poor and the system is very harsh, resulting in severe mental and physical pain or suffering to the sentenced person.","75. The use of solitary confinement may be accepted only in exceptional circumstances and for the shortest possible period of time, and a fixed time limit must be declared and communicated in an appropriate manner. In view of the harmful effects of indefinite solitary confinement, the possibility that it may be used to obtain information or facilitate confessions during pre-trial detention, and the uncertainty that prevents the use of a remedy to challenge it, the Special Rapporteur concludes that the indefinite imposition of solitary confinement violates the right to due process of law of the individuals concerned (International Covenant on Civil and Political Rights, art. 9), articles 1 and 16 of the Convention against Torture and article 7 of the International Covenant on Civil and Political Rights.","The Special Rapporteur states that the practice of social segregation is contrary to article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which provides that “the prison system shall include treatment for the basic purpose of the rehabilitation and social rehabilitation of prisoners” (General Assembly resolution 2200 (XXI), annex). The prolonged isolation does not facilitate the demobilization or social reintegration of detainees (E/CN.4/2006/6/Add.4, para. 48). The acute and potentially adverse psychological and physical effects of prolonged solitary confinement constitute severe mental pain or suffering. The Special Rapporteur therefore endorses the position taken by the Convention against Torture in its general comment No. 20 that prolonged incommunicado detention constitutes an act prohibited by article 7 of the International Covenant on Civil and Political Rights and thus an act defined by article 1 or article 16 of the Convention against Torture. For these reasons, the Special Rapporteur reiterates his view that under the circumstances, the imposition of solitary confinement for more than 15 days constitutes torture or cruel, inhuman or degrading treatment or punishment. He called on the international community to reach agreement on such a standard and to strictly prohibit solitary confinement for more than 15 consecutive days.","77. With regard to adolescents, the preamble to the Declaration on the Rights of the Child and the Convention on the Rights of the Child states that adolescents need special protection and care, including appropriate legal protection, given their lack of physical and mental maturity. Article 19 of the Convention on the Rights of the Child (General Assembly resolution 44/25) requires States parties “to take all appropriate legislative, administrative, social and educational measures to protect children from all forms of physical or mental violence ...”. In its general comment No. 8, the Committee on the Rights of the Child stated that “there is no ambiguity: `any form of physical or mental violence' does not provide any room for the legitimization of any degree of violence against children” (CRC/C/GC/8, para. General Assembly resolution 45/113 of 14 December 1990, entitled “United Nations Rules for the Protection of Juveniles Deprived of their Liberty”, provides in paragraph 67 that “any disciplinary measures which constitute cruel, inhuman or degrading treatment, including ... solitary confinement or any other punishment prejudicial to the physical or mental health of the juvenile concerned, shall be strictly prohibited” (see also CRC/C/GC/10, para. The Special Rapporteur therefore considers that the practice of solitary confinement of juveniles, however prolonged, constitutes cruel, inhuman or degrading treatment, in violation of article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.","78. The right to humanity and respect for the inherent dignity of persons with mental disabilities guaranteed by article 10 of the International Covenant on Civil and Political Rights shall As interpreted in accordance with the Principles for the Protection of Persons with Mental Illness and the Improvement of Mental Health Care adopted by the General Assembly on 17 December 1991 (General Assembly resolution 46/119, annex). Given their intellectual impairment and the fact that solitary confinement often seriously deteriorates the pre-existing mental state, the Special Rapporteur considers that solitary confinement of persons with mental disabilities, regardless of its duration, is cruel, inhuman or degrading treatment, in violation of article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.","IV. Conclusions and recommendations","Conclusions","79. The Special Rapporteur emphasizes that solitary confinement is a harsh measure that, regardless of its specific conditions, can have serious adverse psychological and physical effects on persons. He concludes that solitary confinement is contrary to one of the fundamental purposes of the prison system, namely to rehabilitate offenders and reintegrate them into society. The Special Rapporteur defines prolonged solitary confinement as any solitary confinement lasting longer than 15 days.","80. On the basis of specific grounds, conditions, duration, effects and other circumstances, solitary confinement can constitute a violation of article 7 of the International Covenant on Civil and Political Rights, as well as an act defined in articles 1 or 16 of the Convention against Torture. Furthermore, the use of solitary confinement increases the risk of torture and other cruel, inhuman or degrading treatment or punishment being carried out in a manner that is not easily detectable and unchallenged.","81. The use of solitary confinement as a punishment during pretrial detention may amount to torture or cruel, inhuman or degrading treatment or punishment, taking into account the severe mental pain or suffering that may result from its indefinite or prolonged use as a punishment for juveniles or persons with mental disabilities. The Special Rapporteur considers that the material conditions of solitary confinement and the prison system do not meet the level of respect for the inherent dignity of the human person and cause severe mental and physical pain or suffering, amount to cruel, inhuman or degrading treatment or punishment.","Recommendations","82. The Special Rapporteur calls upon States to respect and protect the rights of persons deprived of their liberty while maintaining security and order in places of detention. He recommends that States regularly review the system of solitary confinement. In this regard, the Special Rapporteur reiterates that States should make use of the Istanbul Declaration on the Use and Effects of Incommunicado Detention as a useful tool in their efforts to promote respect for and protection of the rights of detainees.","83. The Special Rapporteur calls upon States to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person protected by article 10, paragraph 1, of the International Covenant on Civil and Political Rights. The Special Rapporteur refers to the Standard Minimum Rules for the Treatment of Prisoners and recommends that States increase the level of meaningful psychosocial contact of detainees held incommunicado.","84. The Special Rapporteur urges States to prohibit the use of solitary confinement as a punishment, whether as part of judicial sentencing or disciplinary measures. He recommends that States design and implement alternative disciplinary measures to avoid the use of solitary confinement.","85. States should take the necessary steps to put an end to the use of solitary confinement during pretrial detention. The use of solitary confinement as a technique for extracting confessions during pretrial detention should be abolished. States should take effective measures at the pre-trial stage to improve the efficiency of investigations and introduce alternative control measures to separate individuals, protect ongoing investigations and avoid collusion among detainees.","86. States should abolish the use of solitary confinement for juveniles and persons with mental disabilities. With regard to disciplinary measures against juveniles, the Special Rapporteur recommends that States take other measures that do not involve the use of solitary confinement. With regard to the use of solitary confinement for persons with mental disabilities, the Special Rapporteur emphasizes that in certain circumstances it may be necessary for their own safe physical isolation, but that solitary confinement should still be strictly prohibited.","87. Indefinite solitary confinement should be abolished.","88. It is clear that short-term solitary confinement may amount to torture or cruel, inhuman or degrading treatment or punishment; however, in other cases it may be a legitimate means, provided that there are adequate safeguards. In the view of the Special Rapporteur, prolonged solitary confinement for more than 15 days should be absolutely prohibited.","89. The Special Rapporteur reiterates that solitary confinement should be used only in very exceptional circumstances and only as a last resort and for the shortest possible period of time. He stressed that minimum procedural safeguards must be followed when solitary confinement was used in exceptional circumstances. These safeguards reduce the arbitrary or excessive use of solitary confinement, for example in cases of prolonged or indefinite detention. This is all the more important in situations of detention where due process protection is limited, such as administrative immigration detention. Minimum procedural safeguards should be interpreted in the manner that affords the maximum protection to the rights of detainees. In this regard, the Special Rapporteur urges States to apply the following guiding principles and procedural safeguards.","Guiding principles","90. Throughout the period of detention, the material conditions of solitary confinement and the prison system, in particular the duration of detention, must be commensurate with the seriousness of the offence or disciplinary offence for which solitary confinement is directed.","91. The material conditions of solitary confinement and the prison system must be used as a last resort only when less restrictive measures fail to meet the expected objectives of disciplinary action.","92. Detention incommunicado must never be imposed or allowed to continue, unless it can be ascertained with certainty that it does not cause severe physical or mental pain or suffering and does not result in acts as defined in articles 1 or 16 of the Convention against Torture.","93. All assessments and decisions relating to the imposition of solitary confinement must be clearly documented and readily available to detainees and their legal counsel. These include the identity and title of the person in power who exercises solitary confinement, the source of the legal attributes of its imposition, the statement justifying the imposition of solitary confinement, the duration of the period, the reasons for determining that solitary confinement is appropriate in the light of the detainee ' s mental and physical state of health, the reasons for determining that solitary confinement is a violation, reports on the periodic review of the grounds for solitary confinement, and a medical assessment of the detainee ' s mental and physical health.","Internal safeguards","94. From the time of the imposition of solitary confinement, the grounds and duration of solitary confinement should be recorded and made public to the detainee at all stages of the review of solitary confinement and the decision to extend or terminate it. In addition, detainees should be informed of what they must do if they are to be released from solitary confinement. According to rule 35 of the Standard Minimum Rules for the Treatment of Prisoners, detainees must have access to this information in a language that they can understand. In addition, this information must be provided to any legal representative of the detainee.","95. There should be a system of regular review of the reasons for the imposition of solitary confinement. The review should be conducted in good faith and by an independent body. As soon as the factors justifying the imposition of solitary confinement change, a review of the solitary confinement of the detainee should be triggered immediately. All review processes must be documented.","96. Persons in solitary confinement must be provided with a real opportunity to challenge the nature of the practice and its underlying reasons through administrative review procedures. At the beginning of the practice of solitary confinement, detainees must be told what crimes or disciplinary acts they are alleged to have committed, and must be given an immediate opportunity to challenge the reasons for their detention. Following the imposition of solitary confinement, the detainee must have the opportunity to lodge a complaint with the prison administration through an internal or administrative complaints system.","97. No restrictions should be placed on requests or complaints, such as requests for evidence of mental or emotional suffering and physical suffering. Prison officials are obliged to process all requests or complaints in a timely manner and to inform the detainee of the outcome. All internal administrative findings are subject to external appeals through judicial proceedings.","External safeguards","98. Detainees held in solitary confinement must be given a real opportunity to challenge, through the courts, the nature of the practice and its underlying reasons. This requires the right to appeal all final decisions of prison authorities and administrative bodies to an independent judicial body competent to review the legality of the nature of solitary confinement and its underlying grounds. Thereafter, detainees must have the opportunity to appeal these judgements to the highest organs of State power; after exhaustion of domestic remedies, they may seek review by regional or global human rights bodies.","99. Individuals must have free access to qualified legal counsel throughout their incommunicado detention. Access to an interpreter must be provided when it is necessary to facilitate full and open communication between detainees and their legal counsel.","100. In accordance with article 32, paragraph 3, of the Standard Minimum Rules for the Treatment of Prisoners, there should be a system of regular monitoring and review of the physical and mental state of prisoners by qualified medical personnel at the beginning of solitary confinement and by detainees on a daily basis throughout the period of solitary confinement. Medical personnel responsible for monitoring detainees should receive specialized training in psychological assessment and/or support from psychologists. In addition, medical personnel must be independent and accountable to authorities outside the prison administration. They should preferably belong to the general health structure of the State. Any deterioration of the prisoner ' s mental or physical condition should trigger the assumption that the conditions of imprisonment are excessive and should be reviewed immediately.","101. In addition, medical personnel should inspect the material conditions of detention of prisoners in accordance with article 26 of the Standard Minimum Rules for the Treatment of Prisoners. Relevant considerations include the hygiene and cleaning of institutions and prisoners; the heating, lighting and ventilation of cells; the adequacy of clothing and bedding; the availability of food and water; and compliance with the rules on physical exercise.","Annex:","Effects of social coordination","(a) Sharon Shalev, A Solacebook on Solar Confinement, Manneim Centre for Criminology, (2008), pp. 15-17; also Peter Scharff Smith, “The effects of solitary confination on policies: a brilliant history and review of the relationship, crime and justice, vol. 34, p. 441.","Many solutions may be given themselves in individuals held in social relations, both concurent with their social situation and after the superadvantage of solitary confining has been replaced by Dr. Sharon Shalev.","Anxiety, rading from feelings of interpretation to full-blow panic aids","It's not like you're in trouble.","• Irritability or anxiomaticness","Fear of impinging death","Panic Attacks","Dépérsion, varying from low food to clinial depression","Emotional flatness/bling – loss of integrity to have any `feelings'","• Wood Swings","• Hopelessness","• Social intervention of activity or ideas;","Major depression","Ander, changing from naturality to full-blowing","• Irritability and hospitability","• Poor impulse control","• Outbursts of physical and verbal history against others, self and objects","Unprovoked angler, sometimes married as broad","Cognitions, rading from locking of communication to compromised state","Short attention","• Poor communication","Poor memory","Confused thought about issues;","Personal disputes, rading from hypersenticity to hallucations","• Hypersensity to noises and smells","(e.g., walking in)","Dissolvement in time and space","• Depersonation/dealization","Hallucing all five senses (e.g., hallucations of subjects or people seeing in the cell, or hearing voices when no one is actually speaking)","Paranoia and psychosis, rading from obsecular thoughts to full-blow psychosis","Recurrent and presidential thoughts, of a voluntary nature.","Paranoid ideas – often personal","Psychotics or states: psychotic depression, schizophrenia","Self-directed agreement","Self-mission and cutting","Suicide attempts","[1] Alexandra Naday, Joshua D. Freilich and Jeff Mellow, “The Elusive Data on Supermax Construction”, The Mason Journal, vol. 88, No. 1, p. 69 (2008).","[2] Peter Scharff Smith, “The effects of solitary communication on health issues: a brain history and review of the situation”, Crime and Justice, vol. 34, p. 441.","[3] Dr. Jeffrey L. Metzner and Jamie Fellner, “Solitary Confinement and Multilness in U.S. Prisions: A Challenge for Medical Studies”, The Journal of the American Society of Psychiatry and the Law, vol. 38, pp. 104-108 (2010).","[4] Sharon Shalev, Businessbook on Solar Confinement, Mannheim Centre for Criminology, 2008, p. 1.","[5] Ken Strutin, “Solitary Communication”, LLRX.com, published 10 August 2010.","[6] Haney, “Mental Health Issues in Long-Term Solidary and `Supermax'Confinement, Crime and Delinquency”, vol. 49, No. 1, pp. 124-156.","[7] Human Rights Committee (International Covenant on Civil and Political Rights), general comment No. 20 (A/47/40, annex VI.A), article 7 (Prohibition of torture or other cruel, inhuman or degrading treatment or punishment), 10 March 1992.","[8] Iorgov v. Bulgaria, Application No. 40653/98, European Court of Human Rights, para. 84 (2004); G.B. v. Bulgaria, Application No. 42346/98, European Court of Justice, para.","[9] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 108 (2010).","[10] Palushi v. Austria, Application No. 27900/04, European Court of Human Rights, paras. 72 and 73 (2009).","[11] A.B. v. Russia, para.","[12] Onoufriou v. Cyprus, Application No. 24407/04, European Court of Human Rights, para. 80 (2010).","[13] Ocalan v. Turkey, Application No. 462221/99, European Court of Human Rights, para. 196 (2005).","[14] Rohde v. Denmark, Application No. 69332/01, European Court of Human Rights, para. 97 (2005).","[15] Ramirez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, paras. 105, 106 and 135 (2006).","[16] Ibid., para.","[17] Velázquez-Rodríguez v. Honduras, Inter-American Court of Human Rights, Series C, No. 4, para. 156 (1988).","[18] Loayza-Tamayo v. Peru, Inter-American Court of Human Rights, Series C, No. 33, para. 58 (1997).","[19] Cantoral-Benavides v. Peru, Inter-American Court of Human Rights, Series C, No. 69, paras. 62 and 104 (2000).","[20] Suárez-Rosero v. Ecuador, Inter-American Court of Human Rights, Series C, No. 35, paras. 51-56 (1997).","[21] Report on the Human Rights Situation in Mexico, Inter-American Commission on Human Rights, OEA/Ser.L/V/II.100, para. 254 (2008).","[22] Halev, op. cit., para. 25.","[23] Shalev, op. cit., paras. 25 and 26.","[24] Peter Scharff Smith, “Solitary Conference: An introduction to the Islamic State on the Use and Effects of Somalia”, Journal on Rehabilitation of Torture Victims and Protection of Torture, vol. 18, p. 56 (2008).","[25] Shalev, op. cit., p. 26.","[26] Peter Scharff Smith, “Solitary Communication: An integration to the Istanbul State on the Use and Effects of Somalia”, para.","[27] Ramirez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, para. 102 (2006).","[28] Solidary Desertification of Persons and Technologies in Israel Prisons, Joint Project of Adalah, Al Mezan (Gaza) and Physicians for Human Rights (Israel, June 2011).","[29] Shalev, op. cit., para.","[30] Council of Europe Committee for the Prevention of Torture, report to the Government of Greece on the visit of the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment to Greece, 20 December 2006 (CPT/Inf (2006), para.","[31] Council of Europe, “CPT Standards” (CPT/Inf/E (2002) 1 - Rev. 2010), sect. II, para.","[32] Poltrotsky v. Ukraine, p. 146 (ECHR 2003-V).","[33] Peter Scharff Smith, “The Effects of Somalia Confining on Mason Industries”, Crime and Justice (2006), vol. 34, p. 449.","[34] Stuart Grassian, “Psychiatric Effects of Somalia”, Journal of Law and Policy (2006), vol. 22, p. 325.","[35] Ilaşcu et al. v. Moldova and Russia, Application No. 48787/99, European Court of Human Rights (2004), para.","[36] Mathew v. The Netherlands, Application No. 24919/03, para.","[37] G.B. v. Bulgaria, para.","[38] Valasinas v. Lithuania, Application No. 44558/98, European Court of Human Rights (2001), p. 112; Ocalan v. Turkey, para.","[39] Rohde v. Denmark, para.","[40] Peter Scharff Smith, “Solitary Conference: An introduction to the Istanbul State on the Use and Effects of Somalia”, p. 1.","[41] Shalev, op. cit., p. 2.","[42] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights (2010), para.","[43] “USA: The Cruel and Inhumane Treaty of Albert Woodfox and Herman Wallace”, Amnesty International (2001).","[44] Stuart Grassian, “Psychiatric Effects of Somalia” (1993), p. 1.","[45] Ibid., p. 8.","[46] Ibid., p. 2.","[47] Ibid., p. 20.","[48] Shalev, op. cit., pp. 13 and 22.","[49] Stuart Gassian, “Psychiatric Effects of Somalia”, pp. 332 and 333.","[50] Convention on the Rights of the Child, article 37 (c); United Nations Standard Minimum Rules for the Treatment of Prisoners, article 8 (d).","[51] Robert Wildeboer, “The Impact of Solidary Construction in a Youth Platform”, Inside and Out (Chicago, 2010).","[52] Shalev, op. cit., p. 26.","[53] Stuart Grassian, “Psychiatric Effects of Somalia”, Shalev, op. cit., p. 10.","[54] U.S. Civil Liberties Union, “Abuse of the Human Rights of Persons in the United States: Civil Defence” (2011).","[55] Dr. Jeffrey L. Metyner and Jamie Fellner, Solidary Confinement and Multilness in U.S. Prisions: A Challenge for Medical Ethics, The Journal of the American Society of Psychiatry and the Law, vol. 38, pp. 104-108, 2010.","[56] Healthland Alliance National Internet Justice Center, letter dated 16 June 2011 to the Special Rapporteur on torture."],"string":"[\n \"Sixty-sixth session\",\n \"A/66/150.\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Torture and other cruel, inhuman and degrading treatment or punishment\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the General Assembly the interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment, Juan Méndez, prepared pursuant to General Assembly resolution 65/205.\",\n \"Interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment\",\n \"Summary\",\n \"In the present report, submitted pursuant to General Assembly resolution 65/205, the Special Rapporteur addresses issues of particular concern and recent developments in the context of his mandate.\",\n \"The Special Rapporteur draws the attention of the General Assembly to his assessment that solitary confinement is practised in most countries. He has found that the prison system of material conditions and solitary confinement can cause severe mental and physical suffering or suffering, and that it constitutes cruel, inhuman or degrading treatment or punishment, even torture, when it is used as a punishment for an indefinite, prolonged period of pretrial detention for juveniles or persons with mental disabilities. Furthermore, the practice of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will not be detected or challenged.\",\n \"The report highlights a number of general principles to help guide States in re-evaluation and minimization of the use of solitary confinement and its elimination in certain categories of cases. This practice should be used only as a last resort in very specific cases and for as short a time as possible. He also stressed the need for minimum internal and external procedural safeguards to ensure that all persons deprived of their liberty were treated with humanity and with respect for the inherent dignity of the human person.\",\n \"Contents\",\n \"2. Mandate-related activities\",\n \"Introduction\",\n \"1. The present report, submitted pursuant to paragraph 39 of General Assembly resolution 65/205, is the thirteenth report of the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment to the General Assembly and the first submitted by this mandate holder.\",\n \"2. The Special Rapporteur draws attention to his report to the Human Rights Council (A/HRC/16/52), in which he outlined his vision, working methods and priorities during his mandate.\",\n \"II. Activities related to the mandate\",\n \"3. The following is a summary of the activities undertaken by the Special Rapporteur under his mandate since his report to the Human Rights Council (A/HRC/16/52 and Add.1-6).\",\n \"Communications concerning human rights violations\",\n \"4. Between 1 December 2010 and 1 July 2011, he sent 20 letters of allegations of torture to 18 Governments and 95 urgent appeals to 48 Governments on behalf of individuals at risk of torture or other forms of ill-treatment. Eighty-two responses were received during the same period.\",\n \"Country visits\",\n \"5. With regard to the fact-finding mission, a country visit to Kyrgyzstan was planned for May 2011, but the Government requested an extension on the basis of ongoing political developments. In a letter dated 28 July 2011, the Government of the Kyrgyz Republic proposed a country visit in late August 2011. The Special Rapporteur welcomes this invitation, but as a temporary notification, other possible dates are being discussed with the Government at the time of submission of the present report. He accepted the invitation of the Government of Iraq to visit the country in October 2011. He was also invited to visit Bahrain and a date is being discussed with the Government. In addition to the forthcoming requests for country visits (see A/HRC/16/52, para. 6), the Special Rapporteur has requested a visit to Morocco on the question of Western Sahara.\",\n \"6. The Special Rapporteur visited Tunisia from 15 to 22 May 2011. He shared his preliminary findings with the interim Government and issued a press statement on 22 May, expressing appreciation to the Government for its full cooperation with him. He noted that the Government had taken a number of positive steps to ensure accountability and long-term reform. However, he believes that the “wait-and-see attitude” in anticipation of the Constituent Assembly elections may hinder the possibility of taking bold and positive steps in settling past and recent violations. The Special Rapporteur emphasizes the need to ensure prompt, effective and independent criminal investigations into alleged perpetrators of torture and ill-treatment and to initiate administrative programmes to provide redress and compensation services to victims of past and recent violations. The report on the mission to Tunisia will be submitted to the Human Rights Council at its nineteenth session, to be held in March 2012.\",\n \"Key press statements\",\n \"7. The Special Rapporteur issued the following press statements (many of which were issued jointly with other mandate holders):\",\n \"• 31 December 2010 — Expressing grave concern at possible or continuing enforced or involuntary disappearances, arbitrary detentions, extrajudicial, summary or arbitrary executions and acts of sexual violence during the presidential elections in Côte d'Ivoire.\",\n \"• 14 January 2011 - Following official confirmation that at least 21 people had died, the Tunisian Government was urged to control the use of force against peaceful demonstrations.\",\n \"• 3 February 2011 - The alleged acts of torture or cruel, inhuman or degrading treatment in connection with public disturbances in Belarus, Egypt and Tunisia and the suppression of peaceful demonstrations.\",\n \"• 17 February — The Transitional Government of Egypt is urged to establish an independent investigation team to investigate human rights violations committed during the revolution in the country and to have the authority to transmit names and evidence to the relevant authorities for prosecution.\",\n \"• 18 February — The Governments of Bahrain and the Libyan Arab Jamahiriya are urged to guarantee the right to peaceful protest and to cease immediately the use of excessive and lethal force.\",\n \"• 22 February — On the situation of human rights defenders who are gravely concerned about the serious human rights violations that are taking place in the Libyan Arab Jamahiriya.\",\n \"• 3 March — Condemning the violent repression of protesters in Yemen and urging the Government to end the excessive use of force as a means of ending the ongoing protests.\",\n \"• 22 March — Expressing concern at the increasing number of serious human rights violations in the capital of Bahrain, Manama.\",\n \"• 1 April — Expressing concern at serious human rights violations in Côte d'Ivoire, including enforced disappearances, extrajudicial killings, killing and maiming of children and sexual violence that may constitute international crimes, and expressing the full support of the Special Rapporteur and other mandate holders for Security Council resolution 1975 (2011).\",\n \"• 11 April and 12 July — he expressed frustration that, despite his repeated requests to visit Private Bradley Manning, the Government of the United States of America had still not given him unsupervised access to the detainee. The issue of unfettered access is not limited to the case, but also relates to the ability of the Special Rapporteur to conduct private and unsupervised interviews with detainees during his country visit to the United States.\",\n \"• 15 April — Condemning the increasing death toll and the brutal repression of peaceful protesters, journalists and human rights defenders in the Syrian Arab Republic, despite the Government's commitment to reform and consultations to end the 48-year state of emergency.\",\n \"• 1 July — U.S. Government is urged to stop carrying out scheduled executions of Humberto Leal García, Texas.\",\n \"Highlights of key presentations/consultations/training courses\",\n \"The Special Rapporteur participated in a meeting organized by Amnesty International in London from 8 to 9 February 2011 to discuss “the development of international best practices in interrogation and investigation of torture”. He also addressed the All-Party Parliamentary Group on Special Extradition.\",\n \"On 22 February, he gave a presentation at the sixty-third annual meeting of the Inter-American Faculty of Forensic Sciences on “International framework and mechanisms for documenting conditions of detention, torture and ill-treatment”.\",\n \"10. On 28 February, he met with senior officials of the Department of State and the Department of Defense of the United States of America in Washington, D.C., and again visited the Department of Defence on 22 April to discuss issues of common concern.\",\n \"11. From 6 to 10 March, the Special Rapporteur attended the sixteenth session of the Human Rights Council in Geneva and met with the ambassadors of Iraq, Kyrgyzstan, Mexico, Thailand and the United States. He also met with all the regional groups of the Human Rights Council, with the exception of the African group, which unfortunately could not be scheduled.\",\n \"12. On 16 and 17 March, he met with the Chairman of the Committee against Torture, the Vice-Chairman of the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Rapporteur on the rights of persons deprived of their liberty of the Inter-American Commission on Human Rights, a representative of the European Committee for the Prevention of Torture and the Special Rapporteur on detainees of the African Commission on Human and Peoples ' Rights in Washington, D.C. The meeting was organized jointly by the Washington School of Law of the American University and the Association for the Prevention of Torture to discuss how to strengthen the working relationship between these mechanisms.\",\n \"13. From 18 to 20 March, the Special Rapporteur addressed the annual general meeting of Amnesty International America in San Francisco and the commemorative meeting of the fiftieth anniversary.\",\n \"On 1 June 2011, he delivered a keynote address at an event organized by several religious groups in Washington, D.C., entitled “The accountability of today: preventing torture tomorrow”.\",\n \"From 15 to 17 June, the Special Rapporteur, with the support of the Government of the Netherlands, hosted a regional consultation of the Americas on torture in Santiago, Chile. The regional consultation, organized with the assistance of the Association for the Prevention of Torture, the Legal and Social Centre, the Manpower Corporation, the Regional Centre for Human Rights and Gender Justice and Conectas Human Rights, provided an opportunity for Governments, national institutions and civil society organizations from 12 countries to discuss follow-up to recommendations made following country visits and to strengthen local and regional protection mechanisms against torture and ill-treatment.\",\n \"16. On 20 June, he met in Santiago with the Director-General for Foreign Policy of the Ministry of Foreign Affairs of Chile.\",\n \"17. From 27 June to 1 July, the Special Rapporteur participated in his eighteenth annual meeting in Geneva. He also met with representatives of the Governments of Iraq, Kyrgyzstan, the Netherlands, the Russian Federation, Tunisia and the United States of America.\",\n \"18. On 7 July, he met with the Minister for Human Rights of the Government of Brazil in Brasilia.\",\n \"III. Incommunicado detention\",\n \"A. Overview of work undertaken under the mandate\",\n \"In his first report as Special Rapporteur (A/HRC/16/52, para. 70), he recognized that “the question of whether prolonged solitary confinement ... inherently amounts to cruel, inhuman or degrading treatment or punishment has been the subject of much debate and discussion in the Human Rights Council”; in his view, “the international community as a whole will benefit from a calm and rational discussion of this issue”.\",\n \"20. The Special Rapporteur has received complaints about the use of solitary confinement or solitary confinement as a means of combating organized crime in administrative detention on grounds of national security, as well as in immigration detention. He did this study because he found that the practice of solitary confinement was global and susceptible to widespread abuse. In particular, the practice of social segregation and sensory deprivation practised in some countries constitutes cruel, inhuman and degrading treatment or even torture in certain circumstances.\",\n \"21. As noted by the Special Rapporteur ' s predecessor, prolonged solitary confinement may in itself constitute prohibited ill-treatment or torture (E/CN.4/1999/61, para. 394 and E/CN.4/2003/68, para. 26 (m)).\",\n \"22. The Istanbul Statement on the Use and Effects of Incommunicado Detention was annexed to the 2008 interim report of the former Special Rapporteur to the General Assembly (A/63/175, annex). The report concludes: “The prolonged isolation of detainees may amount to cruel, inhuman or degrading treatment or punishment and, in some cases, to torture. ... the use of solitary confinement should be kept to a minimum; in very exceptional circumstances, it should be used for as short a time as possible and only as a last resort. Irrespective of the specific circumstances in which they are used, efforts must be made to increase the level of social contact between prisoners and prison staff, to allow socialization with other prisoners, to allow more visits and to provide mental health services” (A/63/175, paras. 77 and 83).\",\n \"History and current practice of solitary confinement\",\n \"23. The history of the use of solitary confinement against detainees is well documented. This practice dates back to the United States of America in the 1920s, when it was believed that the isolation of prisoners would contribute to rehabilitation. In this model, prisoners spend their whole day alone, in most cases in cells, even at work, in order to reflect on their own criminal process and thus avoid negative external effects. This practice has been used in European and South American countries since the 1830s (A/63/175, para. 81). It is important to recognize that the model 200 years ago was a way of social and moral progress in the area of punishment, as it emphasized rehabilitation and sought to replace the death penalty, mutilation and other forms of punishment that were then prevalent.\",\n \"24. The use of solitary confinement continues to be widespread throughout the world (A/63/175, para. 78). In some countries, the use of solitary confinement as a normal rather than an “exceptional” practice in super maximum security prisons was considered problematic. In the United States, for example, an estimated 20,000 to 25,000 people are held in solitary confinement. Another example is the widespread use of solitary confinement in pretrial detention; this has been an integral part of the practice in Scandinavian prisons for many years. [2] Segregation from the rest of the prison population is used almost everywhere as a punishment to undermine prison discipline. In many countries, solitary confinement is now used more frequently and for longer periods. In Brazil, for example, Decree No. 10792 of 2003 amended the existing “Criminal Law Enforcement Act” to envisage a “differentiated” disciplinary regime for individual cells for up to 360 days, without prejudice to the extension of a similar duration for new offences, up to one sixth of the sentence. The Province of Buenos Aires, Argentina, launched a programme to prevent prison violence in 2010, which includes at least nine months of isolation (the first three months being total isolation), a period that, according to prison monitors, is often extended.\",\n \"C. Definitions\",\n \"25. There is no generally agreed definition of solitary confinement. The Istanbul Declaration on the Use and Effects of Isolation defines solitary confinement as the physical isolation of individuals who are held in cells for 22 to 24 hours a day. In many jurisdictions, prisoners in solitary confinement are allowed to walk out of their cells for one hour each day alone. Meaningful contact with others is usually minimized. The decline in stimulus is not only quantitative but also qualitative. The only incentives and occasional social contacts are rarely freely chosen by them, and are usually very monotonous and non-transmitted.\",\n \"solitary confinement is also referred to as “separation”, “separation”, [3] “separation”, “beecom”, [4] “locking”, “super-highest”, “concrete” or “safe housing unit”,[5] but all these terms involve different factors. For the purposes of the present report, the Special Rapporteur defines solitary confinement as the physical and social isolation of individuals who are held in cells for 22 to 24 hours a day. The Special Rapporteur is particularly concerned about prolonged solitary confinement, which he defines as any solitary confinement for more than 15 days. He knew that it would be arbitrary to determine when an already harmful regime had been transformed into a time point of unacceptable suffering over time. He concludes that 15 days is the line between “incommunicado detention” and “long-term solitary confinement”, as, according to the literature examined, some of the harmful psychological effects of isolation may become irreversible at this point in time. [6]\",\n \"D. Legal framework\",\n \"27. International and regional human rights bodies have adopted different approaches in addressing the basic conditions that cause the social and physical isolation of detainees and in determining whether such practices amount to torture or cruel, inhuman or degrading treatment or punishment. For example, while the European Court of Human Rights has often faced the issue of solitary confinement, the United Nations Human Rights Committee and the Inter-American Court of Human Rights are the bodies most widely addressing the phenomenon related to incommunicado detention. For the purposes of the present report, the Special Rapporteur will focus only on the work of global and regional human rights bodies on the issue of solitary confinement.\",\n \"1. International level\",\n \"United Nations General Assembly\",\n \"28. In 1990, the General Assembly adopted resolution 45/111, the Basic Principles for the Treatment of Prisoners. Principle 7 provides that efforts should be made to abolish or restrict the use of solitary confinement as a punishment and encourages efforts to that end.\",\n \"29. In the same year, the General Assembly adopted resolution 45/113, the United Nations Rules for the Protection of Juveniles Deprived of their Liberty. In paragraph 67, the General Assembly asserted that “all disciplinary measures which constitute cruel, inhuman or degrading treatment, including ... solitary confinement or any other punishment prejudicial to the physical or mental health of the juvenile concerned, shall be strictly prohibited”.\",\n \"United Nations treaty bodies\",\n \"30. In paragraph 6 of its general comment No. 20, the Human Rights Committee noted that prolonged solitary confinement of detainees or prisoners may amount to acts prohibited under article 7 of the International Covenant on Civil and Political Rights. [7] In its concluding observations on Rwanda, the Human Rights Committee recommended that “the State party should end the practice of imposing solitary confinement ...”. (CCPR/C/RWA/CO/3, para.\",\n \"31. CAT recognized the harmful physical and psychological effects of prolonged solitary confinement and expressed concern about the use of prolonged solitary confinement as a preventive and disciplinary measure during pretrial detention. The Committee recommends that the use of solitary confinement be abolished, in particular during pretrial detention, or at least by strict and specific legal norms (maximum duration, etc.), under judicial supervision and only in exceptional circumstances, such as when the safety of persons is concerned (A/63/175, para. 80). The Committee recommends that solitary confinement not be used against persons under 18 (CAT/C/MAC/CO/4, para. 8).\",\n \"32. The Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment noted that prolonged solitary confinement may amount to torture and other cruel, inhuman or degrading treatment or punishment and recommended that it not be used in cases involving minors or persons with mental disabilities (CAT/OP/PRY/1, para. 185). The SPT also recommends that medical officers should visit the prisoner in solitary confinement on a daily basis, on the understanding that such visits would be beneficial to the prisoner ' s health. In addition, prisoners held in solitary confinement for more than 12 hours should have at least one hour a day to breathe fresh air (CAT/OP/PRY/1, para. 184). In view of the conditions of solitary confinement, the SPT notes that all prisoners should be provided with beds and suitable mattresses, including those held in solitary confinement (CAT/OP/HND/1, para. 227 (a) and CAT/OP/PRY/1, para. 280).\",\n \"In its general comment No. 10 (2001), the Committee on the Rights of the Child stressed that “disciplinary measures contrary to article 37 of the Convention on the Rights of the Child must be strictly prohibited, including ... confinement or solitary confinement, or any other punishment that may harm the physical or mental health or well-being of the child” (CRC/C/GC/10, para. Furthermore, the Committee urges States parties to prohibit and abolish the use of solitary confinement of children (CRC/C/15/Add.151, para. 41; CRC/C/15/Add.220, para. 45 (d); CRC/C/15/Add.232, para. 36 (a)).\",\n \"2. Regional level\",\n \"European Court of Human Rights\",\n \"34. In assessing cases of solitary confinement, the European Court of Human Rights considered the reasons given by States for social and physical segregation. The Court found a violation of article 3 of the European Convention on Human Rights, as the State did not provide security-based justification for the use of solitary confinement. [8] As for prolonged solitary confinement, the Court held that the reasons for its use must be explained to individuals and that, over time, such reasons “must be more detailed and urgent”. [9]\",\n \"35. Through its case law, the European Court of Human Rights has emphasized that certain procedural safeguards must be in place during the imposition of solitary confinement, such as monitoring the physical health of the prisoner,9 especially when the person is ill,[10] and has access to judicial review. [11]\",\n \"36. A key factor on which the European Court of Human Rights bases its assessment of whether a case of physical and mental isolation constitutes torture or cruel, inhuman or degrading treatment or punishment is the extent of the individual ' s isolation. The suffering caused by the long-standing absolute prohibition of visits by individuals outside prisons “is clearly beyond the inevitable levels inherent in detention facilities”. [12] However, as long as individuals can receive visitors and letters, view television, read books and read newspapers, and have regular contact with prison staff, or have regular access to clergy or lawyers,[15] this isolation is a “local” isolation that fails to reach the minimum threshold of gravity, i.e. the minimum threshold necessary for the European Court of Human Rights to find a violation of article 3 of the European Convention on Human Rights. The Court stressed, however, that even if partial isolation were to be imposed, solitary confinement could not be imposed indefinitely. [16]\",\n \"Inter-American human rights system\",\n \"37. The jurisprudence of the Inter-American human rights system on solitary confinement is more conclusive than that of the body discussed above. Since its earliest judgement, the Inter-American Court of Human Rights has found that certain elements of the prison system and certain material conditions in prisons constitute in themselves cruel and inhuman treatment, thus violating article 5 of the American Convention on Human Rights, which recognizes the right to human integrity. For example, the Court held that “the practice of prolonged isolation and denial of opportunities for communication is in itself cruel and inhuman treatment, harming the psychological and moral integrity of the human person and violating the right of detainees to respect the inherent dignity of the human person”. [17] The Court also discussed the material conditions of detention, emphasizing that “separation in small, unventilated and unnatural cells ... [and] restrictions on visiting rights ... constitute forms of cruel, inhuman and degrading treatment”. [18]\",\n \"38. The Court also recognized that solitary confinement leads to psychological and physical suffering, which can lead to treatment that constitutes torture. In at least one case, the court confirmed the material conditions of solitary confinement, including “slim, unventilated or unnatural cells” and the prison system of detainees “for 23 hours and a half hours a day ..., [and] only once a month to see their relatives and without physical contact with them”, which may amount to physical and psychological torture when combined with other forms of physical and psychological abuse. [19]\",\n \"39. In its analysis of solitary confinement, the Court noted that procedural safeguards must be in place even when they are used in exceptional circumstances. For example, “States have an obligation to ensure that detainees enjoy the minimum and non-derogable guarantees provided for in the [American] Convention, in particular the right to question the lawfulness of detention and to ensure that detainees are effectively defended while in custody”. Similarly, the Inter-American Commission on Human Rights has consistently maintained that all forms of disciplinary action taken against detainees must comply with due process of law norms and provide access to judicial review. [21]\",\n \"E. Grounds for State use of solitary confinement\",\n \"40. The reasons given by States for the use of solitary confinement can be divided into five broad categories:\",\n \"(a) Perpetrators (as part of a judicial sentence or as part of a disciplinary system);\",\n \"(b) Protecting vulnerable persons;\",\n \"(c) Facilitate the management of certain persons in prisons;\",\n \"(d) To protect or promote national security;\",\n \"(e) Facilitating pre-indictment or pre-trial investigations.\",\n \"41. The practice of solitary confinement as part of an individual ' s judicial sentence often occurs in the context of particularly serious crimes or crimes against the State. [22] In some Central European countries, for example, persons convicted of murder or rape were sentenced to imprisonment in solitary confinement (A/64/215, para. 53). In other countries, such as Mongolia, the death penalty may be commuted to life imprisonment and served in solitary confinement (E/CN.4/2006/6/Add.4, para. 47). The use of solitary confinement as a disciplinary measure in prisons is also well documented and is perhaps the most common reason for its use as a form of punishment. Disciplinary measures usually involve violations of prison rules. In Nigeria, for example, detainees are subject to up to three days of solitary confinement for disciplinary offences (A/HRC/7/3/Add.4, enclosure I, para. 113). Similarly, at Abepula prison in Indonesia, as a disciplinary measure, persons who violate prison rules may be held in solitary confinement for up to eight days (A/HRC/7/3/Add.7, enclosure I, para. 37).\",\n \"42. Isolation is also used to separate vulnerable individuals, including adolescents, persons with disabilities and lesbian, gay, bisexual and transgender persons, in order to protect them. They may be held incommunicado at their request or at the discretion of prison officials. [23]\",\n \"43. State officials also use solitary confinement as a tool for the management of certain prison populations. Persons identified as dangerous, such as gang members or those at greater risk of flight, may be held incommunicado. Similarly, persons identified as at risk of harm, such as sex offenders, whistleblowers and former correctional or law enforcement officials, are often allowed or encouraged to choose voluntary solitary confinement to protect them from fellow prisoners. For purposes of prison management, prisoners may also be placed in some form of solitary confinement before, during or after the transfer of their cells and places of detention. [25] While the duration of solitary confinement as a management tool varies widely, it should be noted that such use is motivated by practical rather than punitive motives.\",\n \"44. Persons identified as terrorist suspects or as having national security risks are also often placed in solitary confinement. In Equatorial Guinea, for example, a section of the Black Beach Prison, made up of individual cells, is dedicated to solitary confinement of high-security prisoners (A/HRC/13/39/Add.4, enclosure I). Incommunicado detention may also be used as a means of compulsory interrogation and is often an integral part of enforced disappearance or incommunicado detention (A/63/175, annex). As noted in paragraph 40 (a) above, national security is also the primary reason for the imposition of solitary confinement after a judicial sentence. In China, for example, a person sentenced for “illegal provision of State secrets or information to entities outside China” was allegedly placed in solitary confinement for two of her eight years of imprisonment (E/CN.4/2006/6/Add.6, enclosure 2, para.\",\n \"45. States also use solitary confinement to isolate individuals before prosecution or during pretrial detention. In some countries, such as Denmark, solitary confinement is a regular practice of pre-trial detention (A/63/175, para. 78 (i)). The use of solitary confinement before prosecution and during pre-trial detention varies considerably, including to prevent detainees from mixing in order to avoid acts of moral corruption and collusion, and to exert pressure on detainees to cooperate or confess. [26]\",\n \"F. Conditions of solitary confinement\",\n \"46. The management of prisons and the conditions of detainees is governed by prison regulations and national laws, as well as international human rights law. The United Nations Standard Minimum Rules for the Treatment of Prisoners, adopted by the Economic and Social Council in 1957, supplement and interpret the basic norms that are binding on the basis of treaties or as part of customary international law. While the Standard Minimum Rules are not directly binding, they are widely accepted as a universal norm for the humane treatment of prisoners.\",\n \"47. The particular conditions in which detainees are placed in solitary confinement vary from institution to jurisdiction. Most, however, have common material and non-material conditions (or prison system).\",\n \"1. Material conditions\",\n \"48. The main material conditions associated with solitary confinement are the size of the cell, the availability of windows and electric lamps, and the availability of fixed sanitary equipment for personal hygiene. In practice, solitary confinement cells usually share certain common features, including: being located in an independent or remote location of the prison, narrow or partially covered windows, lack of circulation of the air, bald appearances and dreary colours, toughening cardboard or other furniture to prevent diversion on the floor, and small, boring gymnasium or yard (E/CN.4/2006/6/Add.3, para. 47). In some jurisdictions, prisoners in solitary confinement are shackled and subjected to other physical restrictions (A/HRC/13/39/Add.4, para. 76 (f)).\",\n \"49. There is currently no universal instrument that provides for an acceptable minimum size of cells, although domestic and regional jurisdictions sometimes rule on the matter. According to the decision of the European Court of Human Rights in Ramírez v. France, a cell of 6.84 square metres is “sufficient” to house a single person. The Court did not elaborate on why such an area could be considered sufficient; the Special Rapporteur respectfully expressed his disagreement, especially if the individual cell should also include at least toilet and washing equipment, a bed and a table.\",\n \"50. The existence of windows and lights is also of critical importance in terms of the proper treatment of detainees held in solitary confinement. Article 11 of the Standard Minimum Rules for the Treatment of Prisoners provides that there shall be sufficient light to enable detainees to work or read, and whether or not there is an artificial ventilation facility, a window shall be opened for air circulation. However, State practice shows that this standard is often not met. In Georgia, for example, the opening of windows in solitary confinement cells was found to have steel slabs welded to the outside iron bars, limiting light and ventilation (E/CN.4/2006/6/Add.3, para. 47). In Israel, the only source of light in solitary confinement cells is often fluorescent light bulbs, with no fresh air. [28]\",\n \"51. Articles 12 and 13 of the Standard Minimum Rules provide that detention facilities should provide adequate fixed sanitation facilities for the personal hygiene of detainees. As a result, the cells used for solitary confinement should house toilets and washbasins. In its 2006 report on Greece, the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment (CPT) noted that the isolation cells in Komotini prison did not meet the necessary minimum standards of sanitation, as detainees were forced to use toilets as a washbasin. Other environmental factors, such as temperature, level of noise, privacy and soft materials for room furniture, are also involved in the placement of solitary confinement.\",\n \"2. Prison system\",\n \"52. The main aspects of the prison system to be taken into account in assessing the conditions of solitary confinement include the existence of outdoor exercise and fitness programmes, the availability of meaningful contact in the prison and the availability of contact with the outside world. In accordance with article 21 of the Standard Minimum Rules for the Treatment of Prisoners, every prisoner who does not take part in outdoor work shall have at least one hour per day in the open air for appropriate exercise, provided that the weather is suitable. Similarly, the European Committee for the Prevention of Torture (CPT) stressed that all prisoners, without exception, should have the opportunity to exercise one hour a day in the open air. However, State practice shows that these standards are not always complied with. In Jordan, for example, one detainee was allowed to spend only one hour per week outdoors (A/HRC/4/33/Add.3, enclosure, para. 21). In Poltrotsky v. Ukraine, the European Court of Human Rights found that the lack of opportunities for outdoor exercise, coupled with the lack of access to natural light, constituted a violation of article 3 of the European Convention on Human Rights. [32]\",\n \"53. Access to meaningful personal and external contact within prisons is also critical to the mental health of detainees in solitary confinement, especially for those in prolonged detention. In prisons, such contact may be with health professionals, prison guards or other prisoners. Contacts with the outside world include visits by legal counsel, family and friends, mail and telephone calls, as well as access to reading materials, television or radio. Article 17 of the International Covenant on Civil and Political Rights gives prisoners the right to contact their families and to receive and send correspondence. In addition, the Standard Minimum Rules for the Treatment of Prisoners provide for various external incentives (articles 21 on gymnastics and sports, 37 to 39 on contact with the outside world, 40 on books, 41 and 42 on religion, 71 to 76 on work, 77 and 78 on education and recreation and 79 to 81 on social relations and aftercare).\",\n \"3. Social segregation\",\n \"54. Isolation reduces meaningful social contact to an absolute minimum. The resulting level of social incentives for individuals is not sufficient to maintain a reasonable state of mental health. [33]\",\n \"55. Research has shown that people will soon be unable to maintain adequate vigilance and attention to their environment once they are deprived of an adequate level of social stimulus. Indeed, even solitary confinement for a few days can lead to an abnormal state of mind activity that is characterized by mental discomfort and dementia. [34] Advances in new technologies have made it possible to indirectly monitor and maintain close surveillance of people without much human interaction. According to the European Court of Human Rights, “complete sensory isolation, coupled with complete social isolation, may destroy personality and constitute a form of inhuman treatment that cannot be justified on security or any other grounds”. [35]\",\n \"56. According to the European Court of Human Rights, States should also take steps to reduce the negative impact of solitary confinement. [36] This regime cannot continue as long as the harmful effects of solitary confinement on a particular individual are known. [37] The conditions of imprisonment are also relevant in this respect, as when they are not justified, the Court considers that it is unlikely that the minimum threshold of gravity at which a violation of article 3 can be found would be exceeded. [38] Regular medical examinations may be a factor in determining whether there has been a violation of article 3. [39]\",\n \"G. Prolonged or indefinite solitary confinement\",\n \"The use of prolonged or indefinite solitary confinement has increased in all jurisdictions, especially on the grounds of the “war on terror” and “threats to national security”. Those punished by these two practices can be described as being in “prisons” and thus suffering from extreme forms of anxiety and exclusion, which clearly replaces normal detention. Because of their isolation, prisoners held in prolonged or indefinite solitary confinement can easily slip away from justice and it is often difficult to guarantee their rights, even in countries where the rule of law is strongly upheld. [40]\",\n \"58. When a State fails to comply with the Standard Minimum Rules for the Treatment of Prisoners for a short period of time in solitary confinement, some debate may arise as to whether the adverse effects constitute cruel, inhuman or degrading treatment or punishment or torture. However, the longer solitary confinement lasts or the greater uncertainty about its duration, the greater the risk of serious and irreversible harm to prisoners, which may amount to cruel, inhuman or degrading treatment or punishment or even torture.\",\n \"59. The uncertainty resulting from the lack of information about the duration of solitary confinement exacerbates the pain and suffering of the inmates. In some cases, persons may be held indefinitely in pretrial detention, thereby increasing the risk of other forms of cruel, inhuman or degrading treatment or punishment (art. CAT/C/DNK/CO/5, para.\",\n \"Most studies do not specify how long solitary confinement lasts before it becomes prolonged. Although the sentence is uncertain, detainees may be held in solitary confinement for several weeks to many years. In Kazakhstan, for example, persons may be held in solitary confinement for more than two months (A/HRC/13/39/Add.3, para. 117). Some detainees have been held incommunicado in secret detention centres for many years without charge or trial, where isolation is an integral part of interrogation practices. In a joint report on the situation of detainees at Guantánamo Bay, the experts noted that, while 30 days of isolation was the maximum period allowed, some detainees were re-insulated after a short period of time after more than 18 months of isolation (E/CN.4/2006/120, para. 53).\",\n \"61. There are currently no international standards on the maximum permissible total duration of solitary confinement. In A.B. v. Russia, the European Court of Human Rights held that the detention of a person in solitary confinement for three years constituted a violation of article 3 of the European Convention on Human Rights. By comparison, in the United States of America, a Louisiana prison reportedly held two prisoners incommunicado for 40 years after they attempted to file a judicial appeal against their conditions of detention. As noted in paragraph 26 of the present report, the Special Rapporteur considers that solitary confinement for more than 15 days constitutes prolonged solitary confinement.\",\n \"H. Psychological and physical effects of solitary confinement\",\n \"62. While solitary confinement can have a negative impact on health as long as it lasts for a few days, it increases health risks every day it is prolonged. Experts who have investigated the effects of solitary confinement have identified three common elements inherent in solitary confinement: social isolation, minimal environmental stimulation and “minimum social opportunities”. The findings further suggest that solitary confinement appears to cause “mental disorders”, a syndrome known as “prisonal mental illness”. [45] Symptoms may include anxiety, depression, anger, cognitive impairment, sensory distortion, paranoia and mental illness, and self-harm (see annex for a comprehensive list of symptoms).\",\n \"Some experience symptoms that are unrelated, while others experience “a serious deterioration in their existing mental state or a mental illness that they have never seen before”. [46] Whatever the specific conditions, whenever and wherever they may have been, a significant number of people experience serious health problems.\",\n \"I. Potential impact of solitary confinement\",\n \"64. There is a lack of research on the potential impact of solitary confinement. Although the acute effects of solitary confinement generally recede after the end of the period of solitary confinement, some negative effects on health persist. The smallest irritation experienced during solitary confinement can reduce human brain activity after seven days. One study found that “up to seven days, the reduction in [brain activity] is reversible but not necessarily if it takes too long”. [47]\",\n \"65. The study found that, after a long period of isolation, persistent sleep disorders, depression, anxiety, fear, emotional dependence, mental disorders, memory and attention loss persisted. In addition, long-term personality changes often lead to poor, isolated social life for those who have been held incommunicado and to a sense of discomfort and fear of being forced into social interaction. [48] The lack of willingness to engage in social interaction after a period of solitary confinement often prevents people from successfully adjusting their lives in order to interact with the prison population and seriously affects their ability to reintegrate into society after serving their sentences. [49]\",\n \"J. Vulnerable people\",\n \"1. Adolescents\",\n \"66. United Nations treaty bodies have unanimously recommended that solitary confinement of juvenile offenders, children or minors should not be imposed (CAT/C/MAC/CO/4, para. 8; CAT/OP/PRY/1, para. 185; CRC/C/15/Add.151, para. 41; and CRC/C/15/Add.232, para. 36 (a)). The use of solitary confinement of juveniles is often used as a disciplinary measure or in order to separate them from adult prisoners, as international human rights law prohibits the mixing of juveniles with adult prisoners. [50] Regrettably, solitary confinement as a form of punishment for detained juveniles has been widespread in some countries, such as Jamaica (A/HRC/16/52/Add.3, para. 211), Paraguay (A/HRC/7/3/Add.3, enclosure I, para. 46) and Papua New Guinea (A/HRC/16/52/Add.5, enclosure). With regard to disciplinary measures, one report indicated that solitary confinement did not reduce violence among juvenile detainees in youth prisons. [51]\",\n \"Persons with disabilities\",\n \"67. In some jurisdictions, solitary confinement of persons with disabilities is used as appropriate medical or psychiatric care, or because of the lack of alternative detention facilities. These persons do not necessarily pose a threat to others or to themselves, but they are vulnerable to abuse and are often seen as an interference with other prisoners and prison staff. [52]\",\n \"68. Studies have shown that solitary confinement often results in a significant increase in pre-existing mental health conditions for persons with mental disabilities. [53] The isolation of prisoners with mental health problems is rapidly deteriorating. [54] The adverse effects of solitary confinement are particularly evident for persons with serious mental health problems, often characterized by psychiatric symptoms and/or apparent functional impairments. [55] Some would take extreme action, such as self-harm, or even suicide. 54\",\n \"3. Lesbian, gay, bisexual and transgender persons\",\n \"Incommunicado detention as a form of “protective custody” is frequently practised on LGBT persons. [56] While the segregation of lesbian, gay, bisexual and transgender persons is necessary for security reasons, the status of lesbian, gay, bisexual and transgender persons cannot justify limiting their social behaviour (e.g. access to recreational activities, reading materials, legal counsel or doctors).\",\n \"K. When solitary confinement constitutes torture or other cruel, inhuman or degrading treatment or punishment\",\n \"70. The lack of witnesses increases the risk of torture and other cruel, inhuman or degrading treatment or punishment. Given that solitary confinement can have a serious adverse impact on health, its use can in itself constitute an act prohibited by article 7 of the International Covenant on Civil and Political Rights, torture as defined in article 1 of the Convention against Torture or cruel, inhuman or degrading punishment as defined in article 16 of the Convention.\",\n \"71. In assessing whether solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment, all relevant circumstances should be considered on a case-by-case basis. These situations include the purpose, conditions, duration and effects of the imposition of solitary confinement and, of course, subjective conditions that make each victim more or less vulnerable to such effects. The present section of the report discusses situations in which the use of solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment.\",\n \"72. When solitary confinement is used for the purpose of punishment, it cannot be justified on any grounds given; this is precisely because the severe mental pain and suffering inflicted by solitary confinement exceeds any reasonable punishment for the offence, thus constituting an act as defined in articles 1 or 16 of the Convention against Torture, in violation of article 7 of the International Covenant on Civil and Political Rights. This also applies when solitary confinement is imposed for breach of prison discipline, provided that the suffering and suffering experienced by the victim is of the necessary gravity.\",\n \"73. While physical and social isolation may be necessary in certain circumstances during criminal investigations, the practice of solitary confinement during pre-trial detention creates a de facto psychological stress situation that may have an impact on the detainee to confess or make statements to the detriment of others and undermines the integrity of the investigation. The deliberate use of solitary confinement as a means of obtaining information or of obtaining confessions during pretrial detention constitutes torture as defined in article 1 of the Convention against Torture or cruel, inhuman or other degrading treatment or punishment as defined in article 16, in violation of article 7 of the International Covenant on Civil and Political Rights.\",\n \"74. The conditions of solitary confinement constitute torture or cruel and inhuman treatment, as defined in articles 1 and 16 of the Convention against Torture, in violation of article 7 of the International Covenant on Civil and Political Rights, when the material conditions of solitary confinement are very poor and the system is very harsh, resulting in severe mental and physical pain or suffering to the sentenced person.\",\n \"75. The use of solitary confinement may be accepted only in exceptional circumstances and for the shortest possible period of time, and a fixed time limit must be declared and communicated in an appropriate manner. In view of the harmful effects of indefinite solitary confinement, the possibility that it may be used to obtain information or facilitate confessions during pre-trial detention, and the uncertainty that prevents the use of a remedy to challenge it, the Special Rapporteur concludes that the indefinite imposition of solitary confinement violates the right to due process of law of the individuals concerned (International Covenant on Civil and Political Rights, art. 9), articles 1 and 16 of the Convention against Torture and article 7 of the International Covenant on Civil and Political Rights.\",\n \"The Special Rapporteur states that the practice of social segregation is contrary to article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which provides that “the prison system shall include treatment for the basic purpose of the rehabilitation and social rehabilitation of prisoners” (General Assembly resolution 2200 (XXI), annex). The prolonged isolation does not facilitate the demobilization or social reintegration of detainees (E/CN.4/2006/6/Add.4, para. 48). The acute and potentially adverse psychological and physical effects of prolonged solitary confinement constitute severe mental pain or suffering. The Special Rapporteur therefore endorses the position taken by the Convention against Torture in its general comment No. 20 that prolonged incommunicado detention constitutes an act prohibited by article 7 of the International Covenant on Civil and Political Rights and thus an act defined by article 1 or article 16 of the Convention against Torture. For these reasons, the Special Rapporteur reiterates his view that under the circumstances, the imposition of solitary confinement for more than 15 days constitutes torture or cruel, inhuman or degrading treatment or punishment. He called on the international community to reach agreement on such a standard and to strictly prohibit solitary confinement for more than 15 consecutive days.\",\n \"77. With regard to adolescents, the preamble to the Declaration on the Rights of the Child and the Convention on the Rights of the Child states that adolescents need special protection and care, including appropriate legal protection, given their lack of physical and mental maturity. Article 19 of the Convention on the Rights of the Child (General Assembly resolution 44/25) requires States parties “to take all appropriate legislative, administrative, social and educational measures to protect children from all forms of physical or mental violence ...”. In its general comment No. 8, the Committee on the Rights of the Child stated that “there is no ambiguity: `any form of physical or mental violence' does not provide any room for the legitimization of any degree of violence against children” (CRC/C/GC/8, para. General Assembly resolution 45/113 of 14 December 1990, entitled “United Nations Rules for the Protection of Juveniles Deprived of their Liberty”, provides in paragraph 67 that “any disciplinary measures which constitute cruel, inhuman or degrading treatment, including ... solitary confinement or any other punishment prejudicial to the physical or mental health of the juvenile concerned, shall be strictly prohibited” (see also CRC/C/GC/10, para. The Special Rapporteur therefore considers that the practice of solitary confinement of juveniles, however prolonged, constitutes cruel, inhuman or degrading treatment, in violation of article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.\",\n \"78. The right to humanity and respect for the inherent dignity of persons with mental disabilities guaranteed by article 10 of the International Covenant on Civil and Political Rights shall As interpreted in accordance with the Principles for the Protection of Persons with Mental Illness and the Improvement of Mental Health Care adopted by the General Assembly on 17 December 1991 (General Assembly resolution 46/119, annex). Given their intellectual impairment and the fact that solitary confinement often seriously deteriorates the pre-existing mental state, the Special Rapporteur considers that solitary confinement of persons with mental disabilities, regardless of its duration, is cruel, inhuman or degrading treatment, in violation of article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.\",\n \"IV. Conclusions and recommendations\",\n \"Conclusions\",\n \"79. The Special Rapporteur emphasizes that solitary confinement is a harsh measure that, regardless of its specific conditions, can have serious adverse psychological and physical effects on persons. He concludes that solitary confinement is contrary to one of the fundamental purposes of the prison system, namely to rehabilitate offenders and reintegrate them into society. The Special Rapporteur defines prolonged solitary confinement as any solitary confinement lasting longer than 15 days.\",\n \"80. On the basis of specific grounds, conditions, duration, effects and other circumstances, solitary confinement can constitute a violation of article 7 of the International Covenant on Civil and Political Rights, as well as an act defined in articles 1 or 16 of the Convention against Torture. Furthermore, the use of solitary confinement increases the risk of torture and other cruel, inhuman or degrading treatment or punishment being carried out in a manner that is not easily detectable and unchallenged.\",\n \"81. The use of solitary confinement as a punishment during pretrial detention may amount to torture or cruel, inhuman or degrading treatment or punishment, taking into account the severe mental pain or suffering that may result from its indefinite or prolonged use as a punishment for juveniles or persons with mental disabilities. The Special Rapporteur considers that the material conditions of solitary confinement and the prison system do not meet the level of respect for the inherent dignity of the human person and cause severe mental and physical pain or suffering, amount to cruel, inhuman or degrading treatment or punishment.\",\n \"Recommendations\",\n \"82. The Special Rapporteur calls upon States to respect and protect the rights of persons deprived of their liberty while maintaining security and order in places of detention. He recommends that States regularly review the system of solitary confinement. In this regard, the Special Rapporteur reiterates that States should make use of the Istanbul Declaration on the Use and Effects of Incommunicado Detention as a useful tool in their efforts to promote respect for and protection of the rights of detainees.\",\n \"83. The Special Rapporteur calls upon States to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person protected by article 10, paragraph 1, of the International Covenant on Civil and Political Rights. The Special Rapporteur refers to the Standard Minimum Rules for the Treatment of Prisoners and recommends that States increase the level of meaningful psychosocial contact of detainees held incommunicado.\",\n \"84. The Special Rapporteur urges States to prohibit the use of solitary confinement as a punishment, whether as part of judicial sentencing or disciplinary measures. He recommends that States design and implement alternative disciplinary measures to avoid the use of solitary confinement.\",\n \"85. States should take the necessary steps to put an end to the use of solitary confinement during pretrial detention. The use of solitary confinement as a technique for extracting confessions during pretrial detention should be abolished. States should take effective measures at the pre-trial stage to improve the efficiency of investigations and introduce alternative control measures to separate individuals, protect ongoing investigations and avoid collusion among detainees.\",\n \"86. States should abolish the use of solitary confinement for juveniles and persons with mental disabilities. With regard to disciplinary measures against juveniles, the Special Rapporteur recommends that States take other measures that do not involve the use of solitary confinement. With regard to the use of solitary confinement for persons with mental disabilities, the Special Rapporteur emphasizes that in certain circumstances it may be necessary for their own safe physical isolation, but that solitary confinement should still be strictly prohibited.\",\n \"87. Indefinite solitary confinement should be abolished.\",\n \"88. It is clear that short-term solitary confinement may amount to torture or cruel, inhuman or degrading treatment or punishment; however, in other cases it may be a legitimate means, provided that there are adequate safeguards. In the view of the Special Rapporteur, prolonged solitary confinement for more than 15 days should be absolutely prohibited.\",\n \"89. The Special Rapporteur reiterates that solitary confinement should be used only in very exceptional circumstances and only as a last resort and for the shortest possible period of time. He stressed that minimum procedural safeguards must be followed when solitary confinement was used in exceptional circumstances. These safeguards reduce the arbitrary or excessive use of solitary confinement, for example in cases of prolonged or indefinite detention. This is all the more important in situations of detention where due process protection is limited, such as administrative immigration detention. Minimum procedural safeguards should be interpreted in the manner that affords the maximum protection to the rights of detainees. In this regard, the Special Rapporteur urges States to apply the following guiding principles and procedural safeguards.\",\n \"Guiding principles\",\n \"90. Throughout the period of detention, the material conditions of solitary confinement and the prison system, in particular the duration of detention, must be commensurate with the seriousness of the offence or disciplinary offence for which solitary confinement is directed.\",\n \"91. The material conditions of solitary confinement and the prison system must be used as a last resort only when less restrictive measures fail to meet the expected objectives of disciplinary action.\",\n \"92. Detention incommunicado must never be imposed or allowed to continue, unless it can be ascertained with certainty that it does not cause severe physical or mental pain or suffering and does not result in acts as defined in articles 1 or 16 of the Convention against Torture.\",\n \"93. All assessments and decisions relating to the imposition of solitary confinement must be clearly documented and readily available to detainees and their legal counsel. These include the identity and title of the person in power who exercises solitary confinement, the source of the legal attributes of its imposition, the statement justifying the imposition of solitary confinement, the duration of the period, the reasons for determining that solitary confinement is appropriate in the light of the detainee ' s mental and physical state of health, the reasons for determining that solitary confinement is a violation, reports on the periodic review of the grounds for solitary confinement, and a medical assessment of the detainee ' s mental and physical health.\",\n \"Internal safeguards\",\n \"94. From the time of the imposition of solitary confinement, the grounds and duration of solitary confinement should be recorded and made public to the detainee at all stages of the review of solitary confinement and the decision to extend or terminate it. In addition, detainees should be informed of what they must do if they are to be released from solitary confinement. According to rule 35 of the Standard Minimum Rules for the Treatment of Prisoners, detainees must have access to this information in a language that they can understand. In addition, this information must be provided to any legal representative of the detainee.\",\n \"95. There should be a system of regular review of the reasons for the imposition of solitary confinement. The review should be conducted in good faith and by an independent body. As soon as the factors justifying the imposition of solitary confinement change, a review of the solitary confinement of the detainee should be triggered immediately. All review processes must be documented.\",\n \"96. Persons in solitary confinement must be provided with a real opportunity to challenge the nature of the practice and its underlying reasons through administrative review procedures. At the beginning of the practice of solitary confinement, detainees must be told what crimes or disciplinary acts they are alleged to have committed, and must be given an immediate opportunity to challenge the reasons for their detention. Following the imposition of solitary confinement, the detainee must have the opportunity to lodge a complaint with the prison administration through an internal or administrative complaints system.\",\n \"97. No restrictions should be placed on requests or complaints, such as requests for evidence of mental or emotional suffering and physical suffering. Prison officials are obliged to process all requests or complaints in a timely manner and to inform the detainee of the outcome. All internal administrative findings are subject to external appeals through judicial proceedings.\",\n \"External safeguards\",\n \"98. Detainees held in solitary confinement must be given a real opportunity to challenge, through the courts, the nature of the practice and its underlying reasons. This requires the right to appeal all final decisions of prison authorities and administrative bodies to an independent judicial body competent to review the legality of the nature of solitary confinement and its underlying grounds. Thereafter, detainees must have the opportunity to appeal these judgements to the highest organs of State power; after exhaustion of domestic remedies, they may seek review by regional or global human rights bodies.\",\n \"99. Individuals must have free access to qualified legal counsel throughout their incommunicado detention. Access to an interpreter must be provided when it is necessary to facilitate full and open communication between detainees and their legal counsel.\",\n \"100. In accordance with article 32, paragraph 3, of the Standard Minimum Rules for the Treatment of Prisoners, there should be a system of regular monitoring and review of the physical and mental state of prisoners by qualified medical personnel at the beginning of solitary confinement and by detainees on a daily basis throughout the period of solitary confinement. Medical personnel responsible for monitoring detainees should receive specialized training in psychological assessment and/or support from psychologists. In addition, medical personnel must be independent and accountable to authorities outside the prison administration. They should preferably belong to the general health structure of the State. Any deterioration of the prisoner ' s mental or physical condition should trigger the assumption that the conditions of imprisonment are excessive and should be reviewed immediately.\",\n \"101. In addition, medical personnel should inspect the material conditions of detention of prisoners in accordance with article 26 of the Standard Minimum Rules for the Treatment of Prisoners. Relevant considerations include the hygiene and cleaning of institutions and prisoners; the heating, lighting and ventilation of cells; the adequacy of clothing and bedding; the availability of food and water; and compliance with the rules on physical exercise.\",\n \"Annex:\",\n \"Effects of social coordination\",\n \"(a) Sharon Shalev, A Solacebook on Solar Confinement, Manneim Centre for Criminology, (2008), pp. 15-17; also Peter Scharff Smith, “The effects of solitary confination on policies: a brilliant history and review of the relationship, crime and justice, vol. 34, p. 441.\",\n \"Many solutions may be given themselves in individuals held in social relations, both concurent with their social situation and after the superadvantage of solitary confining has been replaced by Dr. Sharon Shalev.\",\n \"Anxiety, rading from feelings of interpretation to full-blow panic aids\",\n \"It's not like you're in trouble.\",\n \"• Irritability or anxiomaticness\",\n \"Fear of impinging death\",\n \"Panic Attacks\",\n \"Dépérsion, varying from low food to clinial depression\",\n \"Emotional flatness/bling – loss of integrity to have any `feelings'\",\n \"• Wood Swings\",\n \"• Hopelessness\",\n \"• Social intervention of activity or ideas;\",\n \"Major depression\",\n \"Ander, changing from naturality to full-blowing\",\n \"• Irritability and hospitability\",\n \"• Poor impulse control\",\n \"• Outbursts of physical and verbal history against others, self and objects\",\n \"Unprovoked angler, sometimes married as broad\",\n \"Cognitions, rading from locking of communication to compromised state\",\n \"Short attention\",\n \"• Poor communication\",\n \"Poor memory\",\n \"Confused thought about issues;\",\n \"Personal disputes, rading from hypersenticity to hallucations\",\n \"• Hypersensity to noises and smells\",\n \"(e.g., walking in)\",\n \"Dissolvement in time and space\",\n \"• Depersonation/dealization\",\n \"Hallucing all five senses (e.g., hallucations of subjects or people seeing in the cell, or hearing voices when no one is actually speaking)\",\n \"Paranoia and psychosis, rading from obsecular thoughts to full-blow psychosis\",\n \"Recurrent and presidential thoughts, of a voluntary nature.\",\n \"Paranoid ideas – often personal\",\n \"Psychotics or states: psychotic depression, schizophrenia\",\n \"Self-directed agreement\",\n \"Self-mission and cutting\",\n \"Suicide attempts\",\n \"[1] Alexandra Naday, Joshua D. Freilich and Jeff Mellow, “The Elusive Data on Supermax Construction”, The Mason Journal, vol. 88, No. 1, p. 69 (2008).\",\n \"[2] Peter Scharff Smith, “The effects of solitary communication on health issues: a brain history and review of the situation”, Crime and Justice, vol. 34, p. 441.\",\n \"[3] Dr. Jeffrey L. Metzner and Jamie Fellner, “Solitary Confinement and Multilness in U.S. Prisions: A Challenge for Medical Studies”, The Journal of the American Society of Psychiatry and the Law, vol. 38, pp. 104-108 (2010).\",\n \"[4] Sharon Shalev, Businessbook on Solar Confinement, Mannheim Centre for Criminology, 2008, p. 1.\",\n \"[5] Ken Strutin, “Solitary Communication”, LLRX.com, published 10 August 2010.\",\n \"[6] Haney, “Mental Health Issues in Long-Term Solidary and `Supermax'Confinement, Crime and Delinquency”, vol. 49, No. 1, pp. 124-156.\",\n \"[7] Human Rights Committee (International Covenant on Civil and Political Rights), general comment No. 20 (A/47/40, annex VI.A), article 7 (Prohibition of torture or other cruel, inhuman or degrading treatment or punishment), 10 March 1992.\",\n \"[8] Iorgov v. Bulgaria, Application No. 40653/98, European Court of Human Rights, para. 84 (2004); G.B. v. Bulgaria, Application No. 42346/98, European Court of Justice, para.\",\n \"[9] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 108 (2010).\",\n \"[10] Palushi v. Austria, Application No. 27900/04, European Court of Human Rights, paras. 72 and 73 (2009).\",\n \"[11] A.B. v. Russia, para.\",\n \"[12] Onoufriou v. Cyprus, Application No. 24407/04, European Court of Human Rights, para. 80 (2010).\",\n \"[13] Ocalan v. Turkey, Application No. 462221/99, European Court of Human Rights, para. 196 (2005).\",\n \"[14] Rohde v. Denmark, Application No. 69332/01, European Court of Human Rights, para. 97 (2005).\",\n \"[15] Ramirez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, paras. 105, 106 and 135 (2006).\",\n \"[16] Ibid., para.\",\n \"[17] Velázquez-Rodríguez v. Honduras, Inter-American Court of Human Rights, Series C, No. 4, para. 156 (1988).\",\n \"[18] Loayza-Tamayo v. Peru, Inter-American Court of Human Rights, Series C, No. 33, para. 58 (1997).\",\n \"[19] Cantoral-Benavides v. Peru, Inter-American Court of Human Rights, Series C, No. 69, paras. 62 and 104 (2000).\",\n \"[20] Suárez-Rosero v. Ecuador, Inter-American Court of Human Rights, Series C, No. 35, paras. 51-56 (1997).\",\n \"[21] Report on the Human Rights Situation in Mexico, Inter-American Commission on Human Rights, OEA/Ser.L/V/II.100, para. 254 (2008).\",\n \"[22] Halev, op. cit., para. 25.\",\n \"[23] Shalev, op. cit., paras. 25 and 26.\",\n \"[24] Peter Scharff Smith, “Solitary Conference: An introduction to the Islamic State on the Use and Effects of Somalia”, Journal on Rehabilitation of Torture Victims and Protection of Torture, vol. 18, p. 56 (2008).\",\n \"[25] Shalev, op. cit., p. 26.\",\n \"[26] Peter Scharff Smith, “Solitary Communication: An integration to the Istanbul State on the Use and Effects of Somalia”, para.\",\n \"[27] Ramirez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, para. 102 (2006).\",\n \"[28] Solidary Desertification of Persons and Technologies in Israel Prisons, Joint Project of Adalah, Al Mezan (Gaza) and Physicians for Human Rights (Israel, June 2011).\",\n \"[29] Shalev, op. cit., para.\",\n \"[30] Council of Europe Committee for the Prevention of Torture, report to the Government of Greece on the visit of the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment to Greece, 20 December 2006 (CPT/Inf (2006), para.\",\n \"[31] Council of Europe, “CPT Standards” (CPT/Inf/E (2002) 1 - Rev. 2010), sect. II, para.\",\n \"[32] Poltrotsky v. Ukraine, p. 146 (ECHR 2003-V).\",\n \"[33] Peter Scharff Smith, “The Effects of Somalia Confining on Mason Industries”, Crime and Justice (2006), vol. 34, p. 449.\",\n \"[34] Stuart Grassian, “Psychiatric Effects of Somalia”, Journal of Law and Policy (2006), vol. 22, p. 325.\",\n \"[35] Ilaşcu et al. v. Moldova and Russia, Application No. 48787/99, European Court of Human Rights (2004), para.\",\n \"[36] Mathew v. The Netherlands, Application No. 24919/03, para.\",\n \"[37] G.B. v. Bulgaria, para.\",\n \"[38] Valasinas v. Lithuania, Application No. 44558/98, European Court of Human Rights (2001), p. 112; Ocalan v. Turkey, para.\",\n \"[39] Rohde v. Denmark, para.\",\n \"[40] Peter Scharff Smith, “Solitary Conference: An introduction to the Istanbul State on the Use and Effects of Somalia”, p. 1.\",\n \"[41] Shalev, op. cit., p. 2.\",\n \"[42] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights (2010), para.\",\n \"[43] “USA: The Cruel and Inhumane Treaty of Albert Woodfox and Herman Wallace”, Amnesty International (2001).\",\n \"[44] Stuart Grassian, “Psychiatric Effects of Somalia” (1993), p. 1.\",\n \"[45] Ibid., p. 8.\",\n \"[46] Ibid., p. 2.\",\n \"[47] Ibid., p. 20.\",\n \"[48] Shalev, op. cit., pp. 13 and 22.\",\n \"[49] Stuart Gassian, “Psychiatric Effects of Somalia”, pp. 332 and 333.\",\n \"[50] Convention on the Rights of the Child, article 37 (c); United Nations Standard Minimum Rules for the Treatment of Prisoners, article 8 (d).\",\n \"[51] Robert Wildeboer, “The Impact of Solidary Construction in a Youth Platform”, Inside and Out (Chicago, 2010).\",\n \"[52] Shalev, op. cit., p. 26.\",\n \"[53] Stuart Grassian, “Psychiatric Effects of Somalia”, Shalev, op. cit., p. 10.\",\n \"[54] U.S. Civil Liberties Union, “Abuse of the Human Rights of Persons in the United States: Civil Defence” (2011).\",\n \"[55] Dr. Jeffrey L. Metyner and Jamie Fellner, Solidary Confinement and Multilness in U.S. Prisions: A Challenge for Medical Ethics, The Journal of the American Society of Psychiatry and the Law, vol. 38, pp. 104-108, 2010.\",\n \"[56] Healthland Alliance National Internet Justice Center, letter dated 16 June 2011 to the Special Rapporteur on torture.\"\n]"}}},{"rowIdx":82,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","^(*) A/66/150。","临时议程^(*) 项目133和134","2010-2011两年期方案预算","2012-2013两年期拟议方案预算","联合国合办工作人员养恤基金的管理费用和按照国际公共部门会计准则提交基金财务报告的过渡措施","联合国工作人员养恤金联合委员会的报告","目录","页次 \n1.概述 4 \n2.2010-2011两年期预算估计数：执行情况报告 4 \nA.行政费用 7 \nB.投资费用 12 \nC.审计费用 16 \nD.联委会费用 16 \nE.预算外费用 16 \n3.2012-2013两年期概算：成果预算框架和所需资源分析 16 \nA.导言 16 \nB.行政费用 25 \nC.投资费用 48 \nD.审计费用 64 \nE.联委会费用 65 \n4.紧急基金 66 \n5.为在2012年1月1日前执行国际公共部门会计准则所建议的临时措施 66 \n6.有待大会采取的行动 67 7.为执行审计委员会以及行政和预算问题咨询委员会的各项要求和建议而采取的 67 \n后续行动总表 \nA.行政和预算问题咨询委员会 67 \nB.审计委员会 69 \n 附件 \n1.联合国工作人员养恤金联合委员会关于2010-2011两年期订正预算估计数和2012-2013两年期预算估计数的讨论 76\t\n2.联合国合办工作人员养恤基金：2010-2011两年期核定组织结构图 90\t\n3.联合国合办工作人员养恤基金：2012-2013两年期拟议组织结构图 91\t4.联合国合办工作人员养恤基金：截至2010年12月31日按成员组织开列的参加 92 \n 人数","摘要 \n本报告载列联合国合办工作人员养恤基金2010-2011两年期订正预算，其中显示批款减少21772 800美元。减少的是以下支出数额：行政费用(11 830000美元)、投资费用(9 908 500美元)和审计费用(112100美元)。养恤金联委会费用增加77800美元，部分抵消了减少的支出。因此，2010-2011两年期订正批款为154 545700美元，用作行政费用(80 478 500美元)、投资费用(71 289000美元)、审计费用(2 532 900美元)和联委会费用(245300美元)。根据费用分摊安排，其中21 508 700美元应由联合国分担。\n本报告还载列2012年1月1日至2013年12月31日期间的预算估计数，数额为191620 600美元(重计费用前)，用作行政费用(96 873 100美元)、投资费用(91799 300美元)、审计费用(2 748 200美元)和养恤金联委会费用(200000美元)。本报告总共为227个连续性员额、17个临时员额、7个新设员额和1个员额的改叙提供费用。 所需资源 +---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------+\t类别行政^(a,b)投资审计养恤金联委会共计\t资源(千美元)2010-2011年92 308.581 197.52 645.0167.5176 318.5\t2012-2013年(重计费用前)96 873.191 799.32 748.2200.0191 620.6\t2010-2011年18858246\t员额\t2012-2013年18765252 ^(a) 由成员组织提供经费的1个预算外一般事务(其他职等)员额。 \n^(b)包括18个养恤金综合管理系统临时员额；2011年裁撤了1个P-4职等员额。","一. 概述","1. 联合国合办工作人员养恤基金是大会1949年为向联合国和被接纳为成员的其他组织的工作人员发放退休金、死亡抚恤金、残疾抚恤金和有关补助金而设，目前共有成员组织23个。截至2010年12月31日，在职参与人和养恤金领取人合计184 968人。","2. 根据大会通过的《条例》，基金由联合国工作人员养恤金联合委员会、每个成员组织的工作人员养恤金委员会、联委会秘书处和每个成员组织工作人员养恤金委员会的秘书处管理。养恤金联委会三分之一成员由大会和其他成员组织相应的理事机构遴选，三分之一由各行政首长遴选，三分之一由参与人遴选。联委会向大会报告基金的业务及资产投资情况。必要时，联委会建议修正《条例》，后者除其他外，规定参与人的缴款比例(目前为应计养恤金薪酬的7.9%)和各成员组织的缴款比例(目前为15.8%)、参与资格以及参与人及其受养人可能有权领取的养恤金。","二. 2010-2011两年期预算估计数：执行情况报告","3. 表1汇总了2010-2011两年期的支出估计数总额。为了使基金执行情况报告更有意义，本两年期支出由两个不同的部分组成：(a) 2010年1月1日至2011年5月31日17个月期间的实际支出；(b) 2011年6月1日至12月31日7个月期间的支出估计数。2011年1月1日至5月31日期间的实际支出是按权责发生制会计方法确定，意即交易和其他事项是于发生时在财务报表中予以确认，而不是于收到或支付现金或现金等价物时确认。","4. 大会在第64/245号决议中核准为2010-2011两年期批款共计176 318 500美元，包括行政费用(92 281 400美元)、投资费用(81 292 000美元)、审计费用(2 645 000美元)和联委会费用(100 000美元)。在这笔批款中，154 749 100美元直接由基金负担，21 569 400美元由联合国分担。此外，还核准作为预算外费用的资源158 200美元，由若干成员组织提供。大会在第65/249号决议核可为满足基金的需要而调拨批款。订正批款包括行政费用(92 308 500美元)、投资费用(81 197 500美元)、审计费用(2 645 000美元)和联委会费用(167 500美元)。直接由基金负担的数额和由联合国分担的份额保持不变，分别为154 749 100美元和21 569 400美元。","表1 按支出用途开列的2010-2011两年期订正估计数","(千美元)","核定批款 2010年1月1日至2011年 2011年6月1日至12月31日 2010-2011两年期的 2010-2011年 5月31日17个月期间的支出 7个月期间的支出估计数 增/(减) 拟议最后批款\n 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计","(a) (b) (c) (d)=(b)+(c)-(a) (e)=(a)+(d)","行政费用","员额 26 386.6 12 344.8 38 16 442.4 7 739.9 24 8 213.8 3 829.8 12 (1 730.4) (775.1) (2 505.5) 24 656.2 11 36 731.4 182.3 043.6 569.7 225.9","临时员额 2 870.3 — 2 870.3 807.1 — 807.1 258.0 — 258.0 (1 805.2) — (1 805.2) 1 065.1 — 1 065.1","其他工作人员费用 2 830.8 1 202.0 4 032.8 1 958.8 932.6 2 891.4 1 260.5 538.6 1 799.1 388.5 269.2 657.7 3 219.3 1 471.2 4 690.5","咨询人 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (199.1) 338.5 — 338.5","差旅 1 360.6 — 1 360.6 907.2 — 907.2 389.9 — 389.9 (63.5) — (63.5) 1 297.1 — 1 297.1","订约承办事务 21 908.3 3 851.7 25 12 144.7 3 163.6 15 2 651.8 521.5 3 173.3 (7 111.8) (166.6) (7 278.4) 14 796.5 3 685.1 18 760.0 308.3 481.6","招待费 4.0 — 4.0 4.3 — 4.3 1.0 — 1.0 1.3 — 1.3 5.3 — 5.3","一般业务费用 9 581.6 3 220.1 12 6 703.9 3 125.8 9 829.7 4 442.8 712.1 5 154.9 1 565.1 617.8 2 182.9 11 146.7 3 837.9 14 801.7 984.6","用品和材料 140.1 70.0 210.1 252.4 55.1 307.5 54.9 27.5 82.4 167.2 12.6 179.8 307.3 82.6 389.9","家具和设备 5 560.0 440.0 6 000.0 481.5 114.1 595.6 2 078.5 325.9 2 404.4 (3 000.0) (3 000.0) 2 560.0 440.0 3 000.0","共计 71 179.9 21 128.6 92 39 908.2 15 55 19 483.8 5 955.4 25 (11 787.9) (42.1) (11 59 392.0 21 80 308.5 131.1 039.3 439.2 830.0) 086.5 478.5","投资费用","员额 15 344.0 15 9 115.1 — 9 115.1 5 275.5 — 5 275.5 (953.4) — (953.4) 14 390.6 — 14 344.0 390.6","其他工作人员费用 2 361.8 2 361.8 753.4 — 753.4 1 738.7 — 1 738.7 130.3 — 130.3 2 492.1 — 2 492.1","咨询人 2 328.8 2 328.8 702.6 — 702.6 1 626.2 — 1 626.2 — 2 328.8 — 2 328.8","差旅 2 000.0 2 000.0 1 100.6 — 1 100.6 610.4 — 610.4 (289.0) — (289.0) 1 711.0 — 1 711.0","订约承办事务 52 878.9 52 32 839.7 — 32 11 594.0 — 11 (8 445.2) — (8 445.2) 44 433.7 — 44 878.9 839.7 594.0 433.7","招待费 22.0 22.0 20.4 — 20.4 3.0 — 3.0 1.4 — 1.4 23.4 — 23.4","一般业务费用 5 402.0 5 402.0 2 787.4 — 2 787.4 2 283.5 — 2 283.5 (331.1) — (331.1) 5 070.9 — 5 070.9","用品和材料 160.0 160.0 53.8 — 53.8 105.8 — 105.8 (0.4) — (0.4) 159.6 — 159.6","家具和设备 700.0 700.0 218.6 — 218.6 460.3 — 460.3 (21.1) — (21.1) 678.9 — 678.9","共计 81 197.5 81 47 591.6 47 23 697.4 23 (9 908.5) (9 908.5) 71 289.0 71 197.5 591.6 697.4 289.0","审计费用","外部审计 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 551.0 110.2 661.2","内部审计 1 653.2 330.6 1 983.8 821.4 164.3 985.7 738.3 147.7 886.0 (93.5) (18.6) (112.1) 1 559.7 312.0 1 871.7","共计 2 204.2 440.8 2 645.0 1 066.0 213.2 1 279.2 1 044.7 209.0 1 253.7 (93.5) (18.6) (112.1) 2 110.7 422.2 2 532.9","联委会费用 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3","资源共计 154 749.1 21 569.4 176 88 765.2 15 104 44 271.8 6 164.4 50 (21 712.1) (60.7) (21 133 037.0 21 154 318.5 344.3 109.5 436.2 772.8) 508.7 545.7","预算外费用(离职后医疗保险制度)","业务活动 158.2 — 158.2 90.0 — 90.0 54.3 — 54.3 (13.9) — (13.9) 144.3 — 144.3","5. 核准了以下用途的订正批款：","(a) 行政费用：一般临时人员支出增加94 600美元，用以支付一个与实施国际公共部门会计准则(公共部门会计准则)有关的P-4职等员额的费用；","(b) 投资费用：订约承办事务费用减少94 600美元。","6. 2010-2011两年期支出总额估计为154 545 700美元，其中包括行政费用(80 478 500美元)、投资费用(71 289 000美元)、审计费用(2 532 900美元)和联委会费用(245 300美元)，由此导致节余21 772 800美元，相当于批款总额的12.3%。此外，预算外费用预计支出144 300美元，导致节余13 900美元，相当于批款的8.8%。","A. 行政费用","7. 行政费用估计为80 478 500美元，由此导致支出节余11 830 000美元，即12.8%。造成净节余的主要资源差异首先来自养恤金综合管理系统，原因是如第13至17段所述，对该系统的项目计划进行了改进，增加了新的基本活动，并安装了新的信息技术基础设施。养恤金综合管理系统项目是养恤基金的一个重大基本建设项目，因此，表2把2010-2011两年期的养恤金综合管理系统项目支出估计数与无关该项目的支出估计数着重分开列报。","8. 与养恤金综合管理系统无关的主要资源差异包括：","1. 员额—支出节余2 505 500美元","9. 节余主要归因于两年期之初的平均空缺率较高。","2. 其他工作人员费用—超支657 700美元","10. 支出超过预期的主要原因是，参与人、退休人员和其他受益人增加，导致工作量增加，因此需要一般临时人员。","3. 一般业务费用—超支2 182 900美元","11. 支出超过预期的主要原因是估计为2 500 000美元的银行手续费。提交联委会的2010-2011年预算估计数报告在一般业务费用类别下列入了银行手续费估计数。联委会经过审议，在提交大会的预算报告中删除了这项费用(见A/64/291，附件七，第34段)。用于养恤金支付的2 500 000美元银行手续费是以2008-2009年执行期的实际手续费为依据。","4. 2010-2011两年期举办的项目","12. 以下摘要介绍了在2010-2011两年期举办的信息技术项目的详细情况。","表2 2010-2011两年期项目情况","(千美元)","项目\t预计/实际完成日期\t批款\t支出估计数\t超支或(支出节余) \n养恤金综合管理系统\t2014年5月\t14 361400\t2 299 906\t(12 061494)\n成员组织信息共享举措\t2011年12月\t1 749773\t1 749 773\t－\n客户服务举措\t2011年12月\t469 671\t469 671\t－\n网络系统举措\t2011年12月\t1 709342\t1 709 342\t－\n企业系统举措\t2011年12月\t1 063280\t1 063 280\t－\n企业业务举措\t2011年12月\t1 031400\t1 031 400\t－\n与投资管理处的信息技术合并举措\t2011年12月\t461 633\t461 633\t－\n共计 20 846499\t8 785 005\t(12 061494)","养恤金综合管理系统","13. 2010-2011两年期，养恤基金继续执行该项目的主要基本任务，包括：(a) 为现有系统(养恤金管理系统和Lawson系统)建造一个全面的数据字典；(b) 为现有系统编制一份详细的数据分析报告；(c) 利用专门的“大宗”程序，并通过养恤金综合管理系统项目小组工作人员有关养恤金管理系统和Lawson系统数据库的工作来清洗数据；(d) 更新程序文件(以补充在项目的规划和设计阶段编制的流程图)；(e) 编制第一套计算公式，用以校准养恤基金的复杂和详细的计算基础，并准备由内部和外部专家在执行阶段予以签字批准；(f) 更新详细阐明现有系统与其他实体之间数据交换办法(界面)的技术文件；(g) 建立第一组详细的测试库，它们的范围将包括界面和计算结果。","14. 这个项目开始了原计划没有考虑的两个附加举措。第一个举措是对项目第一阶段期间编制的需求说明进行一次广泛的自下而上的审查。在这一阶段对目标操作模型和项目范围进行了改进。扩大了新的功能要求和信息技术要求。最后的工作说明除了18项关键的高层面要求外，还考虑333项详细的功能规格和信息技术规格。","15. 第二个举措与探索新技术有关，因为通过建立更好的界面的手段，能够(在养恤金综合管理系统与成员组织的人力资源系统和财务系统之间)使发薪系统无缝衔接，并能够更好地利用现有的数据库来使对缴款计算结果的核查自动化，同时建立其他数据质量规程。鉴于很多成员组织最近采取了过渡到企业资源规划平台的战略，养恤基金正在研究使用较新的技术建立共同界面的可能性。在联合国完成SAP软件的启用后，据估计96%的养恤基金参与人的数据将在一个企业资源规划平台下维护。这项举措与养恤金综合管理系统的发展密切挂钩，因为经过修订的规格考虑到：(a) 需要实现发薪系统之间的无缝衔接；(b) 对共同企业资源规划界面进行高效率利用的工具；(c) (为那些没有企业资源规划平台的组织)开发一个网络入口系统。","16. 这两项附加举措产生了更详细的规格，它们将更准确和更有效地指导参数化和建立功能的过程。这将改进新系统，在启用之后进行改动时节省时间和资源。此外，养恤金综合管理系统项目将力求尽早使自己的数据要求与成员组织的企业资源规划系统所产生的数据相协调。很自然的是，综合管理系统的成功将与养恤基金成员组织所提供的人力资源数据和财务数据的质量、及时性和可取得性密切相关。","17. 虽然养恤金综合管理系统项目的22 660 300美元(重计费用前)总费用估计数保持不变，但项目计划中增加了新的活动，并(根据联合国采购司的建议)对采购程序进行了重大修改，以纳入一个分为两个阶段的评价内容。由于这些改动，延长了原来的时限，估计的支出时间也作了相应调整。表3着重显示了2010-2011两年期的支出估计数和项目总费用估计数。","表3 养恤金综合管理系统所需资源汇总","(千美元)","2010-2011两年期 2012-2013两年期 2014-2015两年期 项目共计\n 行政费用 核定批款 支出估计数 增加/(减少) 拟议最后批款 申请批款 估计批款 估计批款","临时员额 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6","差旅 84.8 84.8 — 84.8 — — 84.8","订约承办事务 8 406.3 1 150.0 (7 256.3) 1 150.0 11 966.3 3 765.6 16 881.9","家具和设备 3 000.0 — (3 000.0) — — — —","行政费用共计 14 361.4 2 299.9 (12 061.5) 2 299.9 15 637.1 4 723.3 22 660.3","家具和设备—支出节余3 000 000美元","18. 支出低于预期的原因是，由于在达格·哈马舍尔德广场1号的数据中心发现弱点，决定把项目所需信息技术硬件安装在养恤基金的新数据中心。项目原来的计划是购置12台新的服务器、15台储存区域网络模块和不间断供电系统的扩展装置，并将其安装在达格·哈马舍尔德广场1号四楼的数据中心，以提供所需要的更多能力来担任新的系统应用程序的主机。","19. 然而，由于在达格·哈马舍尔德广场1号的数据中心发现严重弱点，这个计划被视为不可行。于2009年进行了业务影响分析，于2010年把分析结果提交给了养恤金联委会，其中揭示，该数据中心虽然安装了不间断供电系统，但没有任何发电机来应付电力公司(或大楼电路系统)可能断电的情况。早先根据关于生产数据中心的行业惯例对该数据中心进行了一次评估，对该设施的评分是10分制的2分(10分是最高或最佳分数)。因此，如果在达格·哈马舍尔德广场1号数据中心安装新的硬件，将对养恤金综合管理系统项目构成严重风险。","20. 经过广泛寻找适当的替代办法，基金决定把位于达格·哈马舍尔德广场1号的信息和通信技术基础设施迁到新的北美数据中心，后者是一个新的和更可靠的数据中心，能够妥为确保其关键任务系统的可用性。北美数据中心根据电信业协会标准(TIA-942 DC)被定为第3级，即，保证99.9%的时间正常运转，可供使用。","订约承办事务—支出节余7 256 300美元","21. 支出低于预期的主要原因是，为新的系统应用程序提供主机服务的数据中心迁到另一地址。在把达格·哈马舍尔德广场1号的现有设备迁至新的北美数据中心时，购置了750 000美元的新设备，将其安装在该中心，以充分提供养恤金综合管理系统的全部预期所需能力。发出了400 000美元的招标书，以聘请一个专业咨询公司协助按照新的目标操作模型和新的范式重新设计数据中心的流程，并编制测试情景，作为确保新系统能够准确、安全和高效率地处理应领养恤金和付款的基础。","22. 上述举措使得养恤金综合管理系统项目能够更好地启动下个阶段的工作，但这改动了项目原来的时间表。项目的整个系统部署时间估计为30个月(在概念论证得到检验和批准之后起算)，并未改变。因此，预计将在2014年4月完成系统的建立工作，在2014年完成平行开展的测试和培训工作。但是，这个目标日期取决于剩余采购/订约承办活动的持续时间，这些活动预计将在9个月内完成。因此，在2010-2011年预算内审议的新应用程序开发、参数化和启用批款(7 256 300美元)在2012-2013 两年期之前将不会动用。补充财务资料的附件二载有详细的项目时间表和活动说明。","临时员额—支出节余1 805 200美元","23. 员额支出低于预期，主要原因是采用了交错征聘方法，从而最佳地利用项目资源，符合更新的项目时间表。","客户服务举措","24. 委托举办一个基于甲骨文公司Siebel客户关系管理系统的试点项目(iServ)，目标是精简向基金的网站技术主管报告事故的程序并使其自动化。这个项目证明比原来的估计复杂得多和艰巨得多，但有助于基金获得大量有关建立客户关系管理系统的知识，并提供了很多宝贵的经验教训。这个项目还有助于基金确定，如果马上在其核心业务活动中采用一个全面的客户关系管理方案，可能不是最实际可行、适宜或有成本效益的行动(特别是考虑到客户关系管理可以成为养恤金综合管理系统举措的一部分)，但是，如果设立较小的本地应用程序，以满足客户服务股在短期内的最迫切需要，将使其能够在最终把客户服务管理系统与业务过程结合起来的时候，更好地理解如何设计该系统。","25. 作为一个替代办法，开发了一个基于Lotus Notes的定制应用程序，用以跟踪与那些亲自访问或通过电话联系了基金的客户之间的互动。这个应用程序不仅记录宝贵的信息，例如请求提供的是什么方面的服务、提供服务的模式(面对面或电话)以及为一个客户提供服务所使用的时间，而且提供了易于使用的报告和分析工具(包括指示板)，这些工具可以用来查看统计数字和一段时期内的趋势。根据设想，随着时间的推移，这个应用程序将得到加强，纳入更多的性能，涵盖更多的客户服务活动。","网络系统举措","26. 网络系统举措采用基于网络的定制应用程序，使受益人和参与人可以随时直接查询个人化资料。关键应用程序，包括双轨养恤金估算系统、应享权利证书跟踪和年度报表，现已成为标准客户服务项目。无论何时，如果生活费指数和(或)季度汇率发生变化，都会编制生活费通知，经过登记的每月领取养恤金的受益人现在可以上网查看这些通知。可以通过年度报表应用程序进入的养恤金估算系统界面现已经过重新设计，自2009年的年度报表发表以来即可供客户使用。在基金当前为支持越来越多的访问者进行的努力中，对网站的部分基础设施和应用程序进行了升级，以提供一个更加稳定和安全的环境。增加了新的门户网站，用来为许多全基金网络应用程序提供基于角色和安全的单点登录界面。增加了更多的电子学习应用程序和入职讲习班软件，以满足培训需要，并将在2011年提供一些新的课程。为法律室开发了案件摘要，将在2011年放到网站上。","企业系统举措","27. 企业系统举措将确保关键任务业务系统(例如内容管理系统和Lawson系统)有供应商最新的更新、版本和升级，同时跟上基金业务模式的变化。所有必要的更新、版本和升级或是已经成功安装，或是将在2011年底之前成功安装。","企业业务举措","28. 作为企业业务规定的一部分，所有关键任务系统都已前往位于新泽西州Piscataway市的新址。新设施具备第三级数据中心出错容忍度，可用率达99.9%。 电信设备将继续安装在达格·哈马舍尔德广场1号的数据中心，日内瓦办事处以及业务连续性和灾难恢复环境的支持系统则安装在日内瓦数据中心。在数据中心迁址项目中对储存区域网络进行了升级，以增加容量和减少系统反应时间。建立了一个新的虚拟基础结构，使基金的70%的服务器能够在虚拟群组中运行，从而提高了业务效率和可用率，并使服务器基础结构更易于管理。对Lawson和数据库服务器进行了升级，并建立了故障切换群集，以优化恢复时间和对用户的反应。日内瓦数据中心的迁址正在进行当中。新设施由国际电子计算中心经管，将使基金能够把95%的服务器和网络环境的辅助冗余虚拟化。建立了一个新的数据备份系统，从而缩短了维护时间和文件恢复时间。在养恤基金实行了一个企业电子邮件存档解决方案，以高效率地管理电子邮件服务，并跟上不断变大的邮箱和无限制保存政策。在这个过程中，养恤基金的电子邮件服务器和客户端不断升级到最新版本。预计信息管理系统处将在2011年底之前完成不间断供电系统的升级。","与投资管理司的信息技术合并举措","29. 与投资管理司的信息技术合并正在按计划进行，定于本两年期完成。根据信息管理系统处与投资管理司之间的协议，成功和及时地在共享基础设施环境中执行了若干基础设施项目。这些项目包括交易订单管理系统、环球银行间金融电信协会(SWIFT)系统和文件管理系统。还在日内瓦为交易订单管理系统和SWIFT系统成功建立和测试了一个灾难恢复系统。在指定的38个合并领域中，最后5个领域中的工作正在进行，预计将在本两年期完成。这些领域包括：网络、求助服务台、名录服务、文件共用和电子邮件合并。","B. 投资费用","30. 投资费用估计为71 289 000美元，由此导致支出节余9 908 500美元，即12.2%。导致净节余的主要资源差异包括：","1. 员额——支出节余953 400美元","31. 节余主要归因于工作人员的征聘晚于预期。","2. 差旅——支出节余289 000美元","32. 节余主要归因于工作日程安排导致工作人员的征聘晚于预期和有工作人员可用。投资委员会成员的差旅费用有所上升，部分抵消了所需差旅的减少。","3. 一般业务费用——支出节余331 100美元","33. 节余归因于一些费用，例如冷却水、清洁服务和房舍管理费用，低于预期。","4. 订约承办事务——支出节余8 445 200美元","表4 订约承办事务：2010-2011年支出估计数","(千美元)","类别 2010-2011年批款 支出估计数 超支或 (支出节余)","外部法律咨询人 1 200.0 1 200.0 －","第三方服务提供者","(a) 全球保管人和顾问","全球保管人 6 952.0 3 743.8 (3 208.2)","顾问 16 976.4 14 994.0 (1 982.4)","(a) 部分小计 23 928.4 18 737.8 (5 190.6)","(b) 投资组合管理","小盘股 12 500.0 13 562.4 1 062.4","公开交易不动产 2 700.0 700.0 (2 000.0)","(b) 部分小计 15 200.0 14 252.4 (937.6)","(c) 市场数据服务 3 541.5 2 399.5 (1 142.0)","第三方服务提供者小计 42 669.9 35 399.7 (7 270.2)","SWIFT订约承办事务 590.0 345.0 (245.0)","其他订约承办事务 8 419.0 7 489.0 (930.0)","共计 52 878.9 44 433.7 (8 445.2)","34. 节余归因于若干因素，包括：为多个保管人和独立总账管理人进行的采购、聘用一个公开交易不动产管理人的工作以及聘用固定收入、实物资产和替代投资顾问的工作出现延迟；应用程序，例如灾难恢复解决办法、SWIFT系统和合规系统的采购费用低于预期。由于良好业绩导致收费上调，小盘股费用有所增加，部分抵消了所需资源的减少。","5. 2010-2011两年期实施的项目","35. 表5所示为2010-2011两年期供资和实施的信息技术项目的情况。","表5 2008-2009两年期项目情况","(美元)","项目\t预计/实际完成日期\t批款\t支出估计数\t超支或(支出节余) \n投资组合风险分析和业绩归因\t2011年6月\t1 390000\t1 280000\t110000\n电子订单管理和交易(CharlesRiver系统)\t2011年3月\t1 120000\t1 120000\t－\n交易前和交易后合规\t2011年3月\t970000\t870000\t100000\n投资组合会计核算和对账\t2011年12月\t2 790000\t2 390000\t400000\n数据中心系统\t2012年6月\t820000\t820000\t－\nOMEGEO、FXALL、交易网及其他将并入CharlesRiver系统的确认和交易平台\t2011年12月\t1 170000\t850000\t320000\nSWIFT，包括SWIFT升级至第7版\t2011年6月\t590000\t345000\t245000\n共计 8 850000\t7 6758000\t1 175000\n 业务费用 \n灾难恢复站点中的CharlesRiver系统(日内瓦国际电子计算中心)\t2011年12月\t200000\t143771\t56 229\n灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)\t2011年12月\t200000\t221805\t(21805)\nSunGard 200000\t－\t(200000)\n共计 600000\t365576\t(234424)\n 家具和设备 \nSun服务器\t2011年5月\t500000\t500000\t－\n台式计算机\t2011年6月\t100000\t100000\t－\n膝上型计算机\t2011年6月\t73 400\t70 000\t3 400\n共计 673400\t670000\t3 400","投资组合风险和业绩归因系统","36. 截至2011年2月，投资管理司正在对风险最大的分析情景进行用户接受度测试。制订了一些重要的风险报告。然而，该司仍在等待采购司和法律事务厅签订更多使用各种数据源的合同。这些市场数据的数据源对于完成风险计量工作必不可少。这项工作完成后，将保持当前的服务。如果最后签订了数据源合同，这个项目预计将在2011年10月完成和充分投入使用。","电子订单管理和交易系统","37. Charles River系统于2010年3月投入运行。当前的运行范围包括股票、外汇和固定收入交易。该系统还通过FIX规程与经纪商连通，通过SWIFT系统与保管银行连通。投资管理司正在安装适用于其他资产的电子平台。当前，99%的交叉资产结算是通过SWIFT系统进行。投资管理司继续支持和加强Charles River工作环境。","交易前和交易后合规系统","38. 交易前和交易后系统(Charles River系统)已经建成，自2010年3月开始运行。投资管理司继续视需要维护和更新合规规则。","投资组合会计核算和对账系统","39. 建立投资组合会计核算和对账系统的合同于2010年4月被授予Murex North America公司，法律合同于2011年2月签署。2011年2月16日举行了项目启动会议。投资管理司当前正在最后确定实施计划和做出资源承诺，目标是在2011年6月30日之前完成第一阶段的执行工作。据估计，项目将于2011年12月31日之前完成。必须指出，这个项目包括对投资活动改为适用公共部门会计准则。","数据中心系统","40. 到2011年2月，投资管理司已经完成了技术评价。将定于2011年下半年进行应有审查。预计在2012年开始数据中心的实施工作。","OMEGEO、FXALL、交易网及其他将并入Charles River系统的确认和交易平台","41. 为了加强Charles River交易订单管理系统，投资管理司计划增加以下平台：OMEGEO，一个股票交易电子确认和证实系统；FXALL、FXConnect和Bloomberg FX：都是外汇交易平台；交易网、Market Axess、Bond Vision和Bloomberg FI：都是固定收入交易平台。目前正在谈判每个产品的合同。投资管理司计划最迟在2011年12月并入所有这些平台。","灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)","42. Charles River灾难恢复系统于2011年3月安装完成。灾难恢复系统包括与FIX、Bloomberg数据授权、Bloomberg批量数据和Bloomberg API。该系统还提供与SWIFT系统的连通。","Bloomberg数据授权、Bloomberg批量数据和Bloomberg API","43. 于2010年3月安装了Bloomberg数据授权、Bloomberg批量数据和Bloomberg API，并将其并入Charles River系统。","灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)","44. SWIFT灾难恢复站点于2010年1月投入使用。投资管理司当前正在将其与Charles River系统的灾难恢复架构一体化。","SWIFT升级至第7版","45. 把SWIFT升级至必需的第7版的工作定于2011年6月完成。","C. 审计费用","46. 审计费用支出的估计数将降低对批款的使用率，减少数额为112 100美元，主要归因于进行内部审计的一般临时人员。","D. 联委会费用","47. 所需资源增加77 800美元，原因是计划设计工作组的费用超过预期。","E. 预算外费用","48. 支出节余13 900美元，原因是预算外资金支付的一般事务类(其他职等)员额出缺三个月","三. 2012-2013两年期概算：成果预算框架和所需资源分析","A. 导言","1. 概述","49. 联合国合办工作人员养恤基金是足额供资的给付确定型养恤基金，为近64 000名退休人员和受益人提供退休金和其他养恤金。目前，约有120 000名在职参与人在累积基金规定的退休金权利。截至2010年年底，基金共有414亿美元的资产。养恤基金根据大会通过的《条例》自行管理。养恤金联委会负责管理基金并每年向大会提交报告。基金的日常业务由首席执行干事监管。基金有245名工作人员。本预算及其附件详细介绍了基金及其日常业务。","50. 基金的投资由秘书长决定。秘书长将此职责交给其代表，由后者管理基金的投资管理司。投资管理司负责基金资产的投资和会计工作，目的是确保根据基金的风险容忍度和负债所需资源，获得充分的投资收益。","51. 基金在过去十年里显著增长，因为有新的成员组织加入，而且受其服务的参与人、退休人员和其他受益人总人数不断增加。在此期间，在职参与人增加了63%，定期养恤金领取人数增加了33%。基金的管理章程确认了以下5类挑战：","(a) 基金的业务越来越复杂；","(b) 资产和负债越来越相互依赖；","(c) 信息系统老化和对服务的需求增长；","(d) 优质服务和业务高标准；","(e) 社会和环境责任。","52. 为了应付这些挑战，基金对风险评估、资产-负债管理、基金组织及其计划设计和养恤金管理系统的变化进行了全面研究。然后，基金制定了其战略框架中概述的以下中期目标：","(a) 加强基金的业务模式；","(b) 改善风险管理和内部控制；","(c) 强化信息系统；","(d) 提高服务质量和效率，包括通信和外联工作的质量和效率；","(e) 提倡对社会和环境负责。","53. 每个业务部门都制定了实现这些目标的具体行动计划，包括中期人力资源计划、业务影响分析和灾难恢复计划。在编写以下拟议预算时，采用了上述这些计划。","54. 总之，在2012-2013两年期期间，养恤基金打算为战略框架概述的以下主要举措分配财政资源和人力资源：","(a) 养恤金综合管理系统——养恤金综合管理系统的新业务模式；","(b) 公共部门会计准则——基金财务报表的新会计标准；","(c) 灵敏的客户服务；","(d) 为提高业务效率以及改善风险评估和管理、电子学习、培训和知识管理所需要的其他行动。","55. 预计基金能够实现其总体目标，前提是要有足够的人力资源和财政资源。鉴于目前的财政拮据状况，这一点将成为今后几年特别严重的挑战。但是，必须认识到基金发展过程正处于其无法控制的关键时刻。基金自成立以来一直稳步增长。过去十年里，基金的服务对象更是前所未有地增加。与此同时，基金的服务范围一直在扩大，不仅包括的人数增加，而且受理的特殊情况更为广泛，造成复杂性的增加。有关的工作量和复杂性的增加正好在机构记忆不断损失的情况下达到高峰，因为近年来有大量人员退休，还有其他人离职。此外，基金的客户群也同时因长寿而老龄化，往往需要提供更广泛的咨询，并满足客户服务方面的其他特殊需要。除了这些外部因素带来的重大挑战之外，这一需要非常专业和有长期专门知识的工作人员管理的基金还必须力求按照某些组织政策行事。这带来外部企业通常不会遇到的特殊困难。鉴于需要特殊和长期的专门知识，又鉴于其作为机构间实体的独立地位，基金目前正在审查其工作人员的征聘、流动和升级政策以及留住工作人员的政策。基金打算在经修订的谅解备忘录中讨论这些问题。","56. 基金秘书处进一步考虑了目前的经济环境带来的挑战，还审查了自己的人员配置需要，决定推迟请设若干工作人员职位。虽然这些职位对实现基金战略框架的中期目标十分重要，但秘书处认为，可以通过限制基金计划设计中的变动以及限制增加的新项目，同时继续努力提高效率和生产力来推迟雇用工作人员。但是，这些职位不可能无限期地推迟，除非改变基金的业务能力以及基金对客户有求必应的能力和(或)实现其目标的时间表。","57. 为此，必须认识到，在基金不得不致力于应对关于限制预算的要求之时，联合国有可能在经常预算之外核准新的维和特派团。这给基金带来重大挑战，甚至是风险，因为基金仍必须为这些特派团增加的雇员提供充分和及时的服务。","成果预算编制、方法和术语","58. 本预算报告采用基金在2008-2009两年期预算报告中采用的成果预算编制列报格式。所请求的资源是根据基金的各项方案计算，所有理由说明和支持性信息载于拟议预算的补充财务信息。","59. 在计算资源时使用了下列因数：","(a) 对2012年和2013年纽约和日内瓦两地采用了以下延迟征聘因数：续设专业类员额90.4%，新设专业类员额50.0%，续设一般事务类员额96.5%，新设一般事务类员额65.0%。这些因数也是纽约和日内瓦2012-2013年标准薪金表版本1中使用的；","(b) 2012年和2013年采用的年平均通货膨胀率：纽约分别为1.90%和2.50%，日内瓦分别为1.00%和1.30%；","(c) 2012年和2013年对日内瓦采用的汇率为1.046；","(d) 在联合国与基金分摊费用安排的框架内，除了信息管理系统处和行政办公室员额的费用以外，具体的管理费将继续分别按照三分之一和三分之二的比例分担。根据秘书处(170)对投资管理司(58)的核定员额比率，加上具体项目员额(17)，信息管理系统处和执行办公室员额费用的69.4%将通过分摊费用安排解决。","2. 请批的总体资源","60. 整个基金请批的人力资源和财政资源以及预算外资源估计数和新增员额所需资源细目如下。","表6 按构成部分开列的资源分配百分比：养恤基金","构成部分 经常预算 预算外","A. 行政领导和管理 7.0","B. 工作方案","1. 行政 17.7 100.0","2. 投资 33.0","B部分小计 50.7 100.0","C. 支助","1. 信息技术 31.8","2. 法律室 0.7","3. 行政支助 8.3","C部分小计 40.8","D. 审计 1.4","E. 养恤金联委会 0.1","共计 100.0 100.0","表7 按构成部分开列的所需资源：养恤基金","(千美元)","资源增长 分摊数\n 构成部分 2010-2011年 数额 百分比 重计费用前共计 重计费用 联合国 养恤基金 2012-2013年估计数","1. 经常预算","A. 行政领导和管理 16 141.1 (2 672.3) (16.6) 13 468.8 61.9 1 197.8 12 332.9 13 530.7","B. 工作方案","1. 业务，财务 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1","2. 投资 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6","B部分小计 86 148.4 10 950.1 12.7 97 098.5 1 725.2 9 527.5 89 296.2 98 823.7","C. 支助","1. 信息技术 53 018.1 7 878.6 14.9 60 896.7 815.6 5 704.7 56 007.6 61 712.3","2. 法律室 — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2","3. 行政支助 18 198.4 (2 348.4) (12.9) 15 850.0 86.9 3 590.6 12 346.3 15 936.9","C部分小计 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4","D. 审计 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8","E. 养恤金联委会 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4","共计 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0","61. 如下表8所示，请批资源总体增加15 302 100美元(重计费用前)，增幅8.7%，原因是行政费用(4 564 600美元)、投资费用(10 601 800美元)、审计费用(103 200美元)和联委会开支(32 500美元)增加。","62. 行政费用资源增加4 564 600美元，是拟议增加的常设员额(739 400美元)和临时员额(800 500美元)——其中680 100美元和800 500美元分别归因于常设员额和临时员额的延迟征聘因数——以及3 024 700美元非员额费用的净结果。非员额费用增加主要是由于订约承办事务(6 087 900美元)和一般业务费用(1 446 300美元)增加，但因家具和设备(3 989 000美元)、其他工作人员费用(122 500美元)、咨询人(237 600美元)和差旅(136 100美元)减少而部分抵消。","63. 投资费用资源增加10 601 800美元，是拟议增加的员额(2 486 900美元)和非员额费用(8 114 900美元)的净结果，其中1 222 700美元是由于延迟征聘因数。非员额费用增加主要是由于订约承办事务(9 653 200美元)和其他工作人员费用(530 400美元)增加，但因咨询人资源(1 151 800美元)和一般业务费用(916 900美元)减少而抵消。","64. 审计费用资源增加103 200美元，其中基金应分摊的审计委员会费用增加(113 500美元)，还包括拟议减少内部审计费用所产生的净结果(10 300美元)。减少内部审计费用的主要原因是通信(9 800美元)以及用品和材料(5 000美元)略有减少，而家具和设备的所需资源增加(5 800美元)。此外，咨询人和订约承办事务分别减少和增加80 000美元，互为抵消。","65. 表6和表7分别汇总了养恤基金按构成部分开列的资源分配百分比和请批资源估计数。","表8 2012-2013两年期所需财政资源","(千美元)","资源增长 批款\n 类别 2008-2009 2010-2011 数额 百分比 重计费用前 重计费用 联合国 养恤基金 2012-2013年估计数 2012年 2013年 年支出 年批款 共计 估计数 估计数","行政费用","员额 34 524.8 38 731.4 739.4 1.9 39 470.8 591.4 12 440.4 27 621.8 40 062.2 19 883.6 20 178.6","临时员额 — 2 870.3 800.5 27.9 3 670.8 (103.4) — 3 567.4 3 567.4 1 581.3 1 986.1","其他工作人员费用 3 033.8 4 032.8 (122.5) (3.0) 3 910.3 94.5 803.3 3 201.5 4 004.8 2 005.4 1 999.4","咨询人 106.4 537.6 (237.6) (44.2) 300.0 6.7 — 306.7 306.7 152.9 153.8","差旅 997.7 1 360.6 (136.1) (10.0) 1 224.5 27.0 — 1 251.5 1 251.5 623.9 627.6","订约承办事务 16 690.8 25 760.0 6 087.9 23.6 31 847.9 700.7 3 465.9 29 082.7 32 548.6 16 250.2 16 298.4","招待费 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1","一般业务费用 11 641.1 12 801.7 1 446.3 11.3 14 248.0 169.0 3 175.9 11 241.1 14 417.0 7 031.8 7 385.2","用品和材料 263.3 210.1 (24.3) (11.6) 185.8 4.1 54.5 135.4 189.9 90.1 99.8","家具和设备 3 815.3 6 000 (3 989.0) (66.5) 2 011.0 44.4 528.0 1 527.4 2 055.4 1 024.6 1 030.8","共计 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8","投资费用","员额 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) — 17 406.0 17 406.0 8 644.2 8 761.8","其他工作人员费用 534.0 2 361.8 530.4 22.5 2 892.2 61.0 — 2 953.2 2 953.2 1 500.3 1 452.9","咨询人 299.5 2 328.8 (1 151.8) (49.5) 1 177.0 24.7 — 1 201.7 1 201.7 822.4 379.3","差旅 1 018.0 2 000.0 — — 2 000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0","订约承办事务 27 491.4 52 878.9 9 653.2 18.3 62 532.1 1 387.1 — 63 919.2 63 919.2 29 924.0 33 995.2","招待费 16.4 22.0 — — 22.0 0.5 — 22.5 22.5 11.2 11.3","一般业务费用 5 157.5 5 402.0 (916.9) (17.0) 4 485.1 27.5 — 4 512.6 4 512.6 2 254.1 2 258.5","用品和材料 91.0 160.0 — — 160.0 3.5 — 163.5 163.5 81.5 82.0","家具和设备 246.6 700.0 — — 700.0 15.5 — 751.6 715.5 356.7 358.8","共计 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2 44 613.4 48 324.8","审计费用","外部审计 682.1 661.2 113.5 17.2 774.7 17.1 132.0 659.8 791.8 394.7 397.1","内部审计 1 612.6 1 983.8 (10.3) (0.5) 1 973.5 (151 5) 303.4 1 518.6 1 822.0 906.2 915.8","共计 2 294.7 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9","联委会开支 127.4 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4 101.9 102.5","请批资源共计 118 969.3 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0 94 662.0 99 502.0","预算外费用(离职后医疗保险制度)","业务活动 132.3 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 77.3 79.5","表9 所需人力资源","常设员额 临时员额 预算外员额 共计\n 类别 2010- 2012- 2010- 2012- 2010- 2012- 2010- 2012- 2011年 2013年 2011年 2013年 2011年 2013年 2011年 2013年","行政","专业及以上","助理秘书长 1 1 — — — — 1 1","D-2 1 1 — — — — 1 1","D-1 4 4 — — — — 4 4","P-5 9 9 1 1 — — 10 10","P-4 19 20 8 7 — — 27 27","P-3 25 24 4 4 — — 29 28","P-2/1 1 1 — — — — 1 1","小计 60 60 13 12 — — 73 72","一般事务人员","特等 10 10 — — — — 10 10","其他职等 99 99 5 5 1 1 105 105","小计 109 109 5 5 1 1 115 115","行政共计 169 169 18 17 1 1 188 187","投资","专业及以上","D-2 1 1 — — — — 1 1","D-1 2 2 — — — — 2 2","P-5 10 10 — — — — 10 10","P-4 13 18 — — — — 13 18","P-3 7 9 — — — — 7 9","P-2 — — — —","小计 33 40 — — — — 33 40","一般事务人员","特等 10 10 — — — — 10 10","其他职等 15 15 — — — — 15 15","小计 25 25 — — — — 25 25","投资共计 58 65 — — — — 58 65","养恤基金共计 227 234 18^(c) 17^(b、c) 1^(a) 1^(a) 246 252","^(a) 一个预算外一般事务(其他职等)员额由会员国供资。","^(b) 包括17个养恤金综合管理系统临时员额。","^(c) 2010-2011两年期核可的18个临时员额中，一个P-4职等的员额只核可12个月。该员额于2011年被裁撤。","66. 如表9所示，本预算报告编列了增设7个员额和改叙1个员额的经费，具体如下：","(a) 编列了改叙秘书处1个员额的经费(从P-3改到P-4)，并且编列了续设1个预算外员额(1个一般事务(其他职等))的经费，由成员组织供资；","(b) 编列了为投资管理司增设7个常设员额(5个P-4，2个P-3)的经费。","67. 表10汇总了请求增设的员额。","表10 所需员额汇总","款次\t行动\t员额\t员额数目\t职类 \n 行政 \n 方案支助 \n执行办公室\t改叙\t财务和预算干事\t1\tP-3到P-4\n 投资 \n 工作方案 \n投资科\t新员额\t投资干事——另类投资\t1\tP-4\n\t新员额\t投资干事——全球新兴市场\t1\tP-4\n\t新员额\t投资干事——交易干事\t1\tP-4\n\t新员额\t投资干事——北美股票\t1\tP-3\n风险和合规科\t新员额\t尽责调查和定量战略风险经理\t1\tP-4\n业务科\t新员额\t财务干事，对账\t1\tP-3\n 方案支助 \n信息系统科\t新员额\t数据管理干事\t1\tP-4","B. 行政费用","1. 概述","68. 秘书处负责在养恤金联委会的领导下管理联合国合办工作人员养恤基金。秘书处的目标是在最佳安全、业绩、责任和问责制条件下，完全遵循效率、能力和廉正方面的最高标准，向参与人提供相关服务，并为退休人员和受益人提供养恤金和相关津贴。在提供这些服务的过程中，基金必须面对日益复杂的一套条例。这些条例涉及过去作为节约措施或针对关于增加新的受益人类别的强烈社会需要而作出的决定。秘书处还必须根据不断变化的银行业环境和监管环境，继续调整其流程和程序。","69. 行政费用总资源在重计费用前为96 873 100美元，比2010-2011两年期订正批款净增4 564 600美元，增幅4.9%。表12所示净增加额概述如下：","(a) 行政领导和管理：减少1 104 400美元与所需员额经费(810 200美元)有关，主要是由于向法律室调了3个员额(2个P-5、1个一般事务(其他职等))。非员额费用减少与其他工作人员费用(50 100美元)、咨询人(337 600美元)和差旅(114 500美元)有关。订约承办事务(112 000美元)和一般业务费用(96 000美元)有所增加。","(b) 工作方案：增加3 498 400美元是因为所需员额资源(751 500美元)和非员额资源增加2 746 900美元的结果。所需员额资源中有147 400美元归因于延迟征聘因数和1个P-4职等员额调往法律室的净结果，另有604 100美元是由于养恤金综合管理系统12个临时员额的延迟征聘因数。非员额资源增加是因为一般业务费用(2 846 300美元)和咨询人费用(100 000美元)增加，而其他工作人员费用减少(199 400美元)。","(c) 方案支助。资源增加2 170 600美元是由于信息管理系统处资源增加(2 084 100美元)、法律室调出行政领导和管理(1 358 400美元)和执行办公室资源减少(1 271 900美元)。就信息管理系统处而言，临时员额资源增加(196 400美元)是延迟征聘因数所致。非员额资源(1 903 200美元)增加主要是由于订约承办事务增加(5 975 600美元)，但因家具和设备(3 976 400美元)、一般业务费用(177 400美元)和工作人员差旅(21 600美元)所需经费减少而部分抵销。法律室员额资源增加是因为将3个员额(2个P-5和1个一般事务(其他职等))调出首席执行干事办公室和从日内瓦办事处调来1个P-4职等的员额专门从事监管工作。执行办公室的资源减少(1 318 600美元)归因于一般业务费用的所需非员额经费，特别是房地的租用和维修。","70. 表11列示资源分配估计数，表12为按构成部分开列的所需资源。","表11 按构成部分开列的资源分配百分比：行政费用","构成部分 经常预算 预算外","A. 行政领导和管理 6.6","B. 工作方案(业务，财务) 35.1 100.0","C. 方案支助","1. 信息管理系统处 44.7","2. 法律室 1.4","3. 执行办公室 12.2","C部分小计 58.3","共计 100.0 100.0","表12 按构成部分开列的所需资源：行政费用","(千美元)","资源增长 分摊数\n 构成部分 2010-2011年 数额 百分比 重计费用前共计 重计费用 联合国 养恤基金 2012-2013年估计数 批款","1. 经常预算","A. 行政领导和管理 7 486.9 (1 104.4) (14.8) 6 382.5 9.6 1 197.8 5 194.3 6 392.1","B. 30 470.0 3 498.4 11.5 33 968.4 908.7 6 527.5 25 349.6 34 877.1 工作方案(业务，财务)","C. 支助","1. 信息管理系统处 41 240.8 2 084.1 5.1 43 324.9 562.4 5 704.7 38 182.6 43 887.3","2. 法律室 — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2","3. 执行办公室 13 110.8 (1 271.9) (9.7) 11 838.9 70.0 3 590.6 8 318.3 11 908.9","C部分小计 54 351.9 2 170.6 4.0 56 522.2 616.2 9 742.7 47 395.7 57 138.4","共计 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6","2. 预算外 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8","2. 行政领导和管理","所需资源(重计费用前)：6 382 500美元","71. 首席执行干事根据养恤金联委会的授权负责基金的管理，为成员组织、参与人、退休人员和受益人提供相关服务。在提供这类服务的过程中，首席执行干事必须确保制定一个框架，以便基金的运作在安全、业绩、责任和问责制方面达到最佳，并完全符合效率、能力和廉正方面的最高标准。基金为履行在这一框架中的责任，必须按照其条例、细则及其独特而复杂的养恤金调整制度的规定，应对日益复杂和不断变化的计划设计。首席执行干事必须确保能够持续、准确地权衡其精算成本，以评估和管理风险，调整其计划设计，根据受到长期社会变化(包括寿命延长)的显著影响，因而不断变化的人员情况调整其程序，同时在一个不断变化的银行、会计和监管环境中履行其职责。","72. 在基金60年的历史中，其成员组织、参与人、退休人员和受益人的数目、其业务运营的金融环境及其所管理的资产和负债的价值均大幅增长。基金所服务的个人总数已经超过185 000，预计在中长期内还将继续稳步增加。基金的国际和多组织性质以及多层养恤金结构将继续带来新的日益复杂和严峻的挑战。基金所承担的责任和面临的要求一直在稳步大幅增加，这一情况未来仍将继续。基金按照联委会关于对所需人力资源采取更为战略性的办法的要求，为确定其中期需要，进行了一次高级别审查，其中考虑到了基金所面临的情况和紧迫挑战，审查结果已提交2010年届会。","表13 两年期目标、预期成绩和绩效指标","本组织目标：确保遵照《基金条例和细则》以及养恤金联委会和大会下发的决定和准则，全面执行基金的工作方案 \n 预期成绩 绩效指标 \n(1) 有效管理基金工作方案 (1.1)所有详细的行动计划、项目和研究得到成功的监测和实施 业绩计量 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (2)为联委会和委员会提供有效支助/服务/管理 (2.1)养恤金联委会、常设委员会、精算师委员会、审计工作委员会和各工作组对提供的支助没有投诉 业绩计量(投诉数目) 2008-2009年：对提供的支助没有投诉 2010-2011年估计：对提供的支助没有投诉 \n 2012-2013年目标：没有投诉 (3)对全基金范围内人力资源、风险管理、业务连续性/恢复、信息技术新会计准则以及资产负债管理方面的治理机制进行有效管理 (3.1)成功监测和实施各工作组和指导委员会决定的活动业绩计量 2008-2009年：不适用 2010-2011年估计：绩效指标的100% \n 2012-2013年目标：绩效指标的100% (4) 基金的有效战略规划 (4.1) 战略规划工作每两年进行一次 业绩计量 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100%","外部因素","73. 行政领导和管理预计能实现目标和预期成绩，前提是要为其提供充足的人力资源和资金。","其他产出","74. 本两年期内将交付下列产出：","(a) 为服务政府间机构和专家机构提供服务：2次养恤金联委会届会；3次精算师委员会会议，4次工作组会议，1次精算师委员会和投资委员会联席会议，6次审计工作委员会会议和4次联合国工作人员养恤金委员会会议；","(b) 草拟文件；大约100份提交养恤金联委会、精算师委员会和工作组的文件；除为审计工作委员会的届会提供技术性和行政服务以外，还向该委员会提交15份说明；","(c) 其他实务活动：","㈠ 高效的退休工作人员接任规划；进行预先规划，以避免由于工作人员退休产生空缺，并填补由于工作人员更替所产生的其他空缺职位，在空缺宣布后五个月内完成填补；","㈡ 对下列事项的高效管理和控制：","• 养恤金综合管理系统项目","• 业务连续性和灾难恢复规划","• 全企业风险管理","• 人力资源政策和人力资源中期计划","• 信息技术整合","• 资产负债管理研究","• 业务影响分析","• 数据库","• 采购咨询委员会；","表14 所需资源","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 3 641.0 2 830.8 11 8","非员额 3 845.9 3 551.7 — —","共计 7 486.9 6 382.5 11 8","75. 所列经费6 382 500美元将用于续设8个现有员额(1个助理秘书长、1个D-2、1个P-5、2个P-4、1个P-3、1个一般事务(特等)和1个一般事务(其他职等))以及与总体行政有关的非员额资源。员额资源减少810 200美元是因为从法律室调动了3个核定员额(2个P-5和1个一般事务(其他职等))到方案支助。非员额资源减少的主要原因是其他工作人员费用(50 100美元)、差旅费(114 500美元)和咨询人费用(337 600美元)减少，而另一方面，因使用顾问精算师而导致订约承办事务费用有所增加(112 000美元)，而且基金为分担联合国上诉法庭案件费用也产生了一般业务费用(美元96 000)。","3. 工作方案","所需资源(重计费用前)：33 968 400美元","76. 该工作方案包括纽约和日内瓦办事处的业务和财务处，负责基金的核心功能，包括但不限于对新参与人的参加资格及其与基金隶属关系的认定、个人和财务历史数据的记录、基金缴款的征收和记录、应领养恤金的计算和备付、后续养恤金的支付和所有相关的会计活动。此方案也负责对基金185 000名在职参与人、退休人员和其他受益人提供客户服务的功能。","77. 应该回顾指出，按照2008年举行的全基金审查的建议，首席执行干事决定将基金的业务部门与财务部门分开。首席执行干事决定，尽管应享权利的计算和处理(业务)与由此产生的养恤金的给付和核算(财务)之间有重要的联系，但是这两项职能必须明确分隔开来。业务部门的重点是计算的正确性，计算一旦成立，将适用于退休人员和任何符合条件的遗属的一生。财务部门的重点是支付的正确性。将这两项职能分开，设立独立于业务部门之外的单独财务部门，能够在基金这两项核心职能(此两项职能即构成了本工作方案)之间确立明确的责任分工，并加强问责制。","业务部门","78. 业务部门包括纽约和日内瓦办事处的养恤金权利科和客户服务、记录管理和分发股。业务主任负责按照基金管理章程规定的目标管理和领导该部门。业务主任必须确保遵守基金的条例、细则和养恤金调整制度，同时严格遵守具体的质量管理、内部控制和信息交流政策。在2012-2013两年期内，业务部门预计将办理超过55 000项新参与人加入手续、离职手续以及进出基金账目手续。[1] 预计该部门还将办理约6 000人的最初离职后养恤金福利手续，这是最复杂因而也是最耗时的手续之一，这些手续包括离职后死亡、遗属恤金(有时涉及居住在不同地点的多个配偶)、剩余偿金、递延养恤金支付，双轨制(有时出现向美元轨道回归)、应付给未亡已离婚配偶的恤金、未亡配偶年金、特殊措施的情况等。除了通过基金的网站提供了约225 000项养恤金估算外(即2010年期间)，业务部门预计在下一个两年期内将提供约5 500项个人养恤金估算，其中往往还要进行个人咨询。在2012-2013两年期，该部门预计还将发送、跟踪并在收到时记录超过10万份应享权利证书，并将超过120万份文件扫描到基金的内容管理系统之中。","表15 两年期目标、预期成绩和绩效指标","本组织目标：确保根据养恤基金条例、细则和养恤金调整制度，为所有符合条件的参与人、退休人员和其他受益人提供服务，同时充分遵守基金《管理章程》所制定的沟通、质量管理和内部控制政策 \n 预期成绩 绩效指标 \n(1)有效办理养恤基金的应领养恤金手续 (1.1)在15个工作日内完成的离职偿金、退休金及其他养恤金手续所占百分比增加 离职偿金、定期退休金和整笔折付养恤金手续业绩计量(基准：15个工作日) \n 2004-2005年：72%的个案在15个工作日内完成 2006-2007年：79%的个案在15个工作日内完成 \n 2008-2009年：80%的个案在15个工作日内完成 2010-2011年估计：77%的个案在15个工作日内完成 \n 2012-2013年目标：80%的个案在15个工作日内完成(2)以更高质量为养恤基金客户提供以客户为本的服务 (2.1)在15个工作日内答复的邮件和电子邮件所占百分比增加 业绩计量(基准：15个工作日)： 2004-2005年：31%的查询在15个工作日内得到答复 2006-2007年：55%的查询在15个工作日内得到答复 2008-2009年：75%的查询在15个工作日内得到答复 2010-2011年估计：82%的查询在15个工作日内得到答复 \n 2012-2013年目标：82%的查询在15个工作日内得到答复\n(3) 加强沟通 (3.1)为参与人、受益人、工作人员养恤金委员会以及参与组织的对口财务和人力资源工作人员举办的简报会和研讨会数目增加 业绩计量 2008-2009年：不适用 2010-2011年估计：65 \n 2012-2013年目标：75","外部因素","79. 业务部门预计能实现其目标，前提是为其提供充足的人力资源和资金。因此必须承认，基金的演变正处于其无法控制的关键时刻。基金的服务对象正在快速增长。同时，因寿命的增长，基金客户出现了老龄化，而这又往往需要提供更广泛的咨询以及满足其他特殊的客户服务需求。","产出","80. 在2012-2013两年期将交付以下产出：","(a) 在两年期内办理约18 000项离职偿金和退休金手续；[2]","(b) 办理约6 000项最初退休金后的其他养恤金手续(即遗属、子女、双轨制养恤金等)；","(c) 确定基金约30 000名新参与人的加入资格和隶属关系；","(d) 发送、跟踪和在收到时记录约10万份应享权利证书；","(e) 答复约15 000份查询邮件和电子邮件；","(f) 接待约11 000名上门客户并提供服务；","(g) 诸如数据清洗和质量管理、流程记录、算法和随后过渡到养恤金综合管理系统平台等实施前任务；","(h) 客户界面控制的有效记录、监测和加强；","(i) 审查、评估、开发和实施一个客户关系管理系统；","(j) 审查和编写供讲习班和研讨会使用的强化培训材料，拟提供给(纽约和日内瓦的)基金工作人员、参与人、退休人员和其他受益人以及工作人员养恤金委员会秘书处和成员组织的其他人力资源工作人员；","(k) 开发并实施一个安全的签名系统，以便在基金所服务的每个个人的电子档案中添加图形签字，以供核对比较；","(l) 加强控制并重新设计应享权利证书，并进一步努力，争取简化整个程序；","(m) 强化并持续发展业绩数据以满足内部要求并供各监督机构参考；","(n) 为参与人、退休人员和其他受益人、工作人员养恤金委员会秘书处、各小组委员会(包括咨询组和工作组)和联委会成员举办研讨会和培训，从而增强外联能力。","财务部门","81. 财务科通过其付款、账户和出纳股/现金管理股提供全面服务，并负责基金所有财务、会计和付款操作。基金每年的财务交易总额约为38亿美元(考虑到养恤金给付和缴款的征收)。基金每月办理15种货币的62 000笔定期退休金付款(依据基金2009年已审计财务报表)，并向居住在190多个国家的退休人员和其他受益人付款。该科还负责编制包括投资管理司在内的及时、准确的全基金财务报表，并负责就养恤基金的财务问题与内部和外聘审计人进行联络和协调。","表16 两年期目标、预期成绩和绩效指标","本组织目标：确保及时、准确、可靠地支付养恤金并对基金的财务、会计和支付业务全面负责，包括出具准确、及时的财务报表，并就财务事项与内部审计人和外聘审计人联络 \n 预期成绩 绩效指标 \n (1) 有效管理定期养恤金支付 (1.1) 按时发出养恤基金工资单资料 业绩计量 2008-2009年：1 200 000 2010-2011年估计：1 300 000 \n 2012-2013年目标：1 400 000 (1.2)及时、准确、可靠地支付养恤基金定期给付 业绩计量 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (1.3)及时、准确、可靠地支付养恤基金非定期给付(与恢复发放养恤金有关的付款在收到有关文件后15日内支付；所有其他付款在收到后30日内支付) 业绩计量 (与恢复发放养恤金有关的付款在收到有关文件后15日内支付；所有其他付款在收到后30日内支付) 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (2)提供高质量和一致的缴款记录，包括及时核对年终程序所产生的参与人对账异常情况 (2.1)得到解决的参与人对账异常情况数目业绩计量 2008-2009年：9 000 2010-2011年估计：10 000 \n 2012-2013年目标：11 000 (2.2)在收到年终附表后六个星期内为所有参与人核定记录 业绩计量 (在收到年终附表后六个星期内为所有参与人核定记录) 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (3)提供高质量和一致的财务报表，制定实施适用的国际公共部门会计准则/国际会计准则的政策和程序 (3.1)及时提供财务报表(在下一年4月15日前出具报表草稿)业绩计量 (在下一年4月15日前出具报表草稿) 2008-2009年：在到期日前 2010-2011年估计：在到期日前 2012-2013年目标：在到期日前 (3.2)采用的国际公共部门会计准则和披露要求百分比增加 业绩计量 2008-2009年：不适用 2010-2011年估计：开始采用某些国际公共部门会计准则和披露要求 \n 2012-2013年目标：2012年财务将全面采用国际公共部门会计准则。预期将进行年度审计。","外部因素","82. 本次级方案预计将实现其目标，除非受如下事件影响：(a) 世界各地的政治冲突和自然灾害造成养恤金领取者的银行服务中断；(b) 系统实施方面出现意外延误，导致公共部门会计准则的财务报表信息延迟；及(c) 基金的增长导致人力资源不足，因而无法妥善向养恤金领取者提供服务。","产出","83. 在2012-2013两年期将交付以下产出：","(a) 编制3套财务报表和相关文件；根据自联合国系统会计准则转向完全采用公共部门会计准则第26条所带来的变化，编写2012年更新的财务报表；","(b) 在前后报告之间减少关于监督下领域和会计技术问题的未执行审计意见的数目(同时计入其间所产生的新的审计意见)；","(c) 在规定的提交年终附表后六个月的期限内为所有汇款实体进行全面对账；","(d) 在年度和两年期决算时，在离职主卷宗记录中的数据与给付历史记录之间进行全面核对；","(e) 在纽约、日内瓦和较大的报告实体举办关于缴款方面参与人对账异常情形问题的专题介绍和讲习班；","(f) 每个月及时完成所有账户的银行对账；","(g) 及时落实任何关于向养恤金领取人付款的最新银行规定；","(h) 在向养恤金领取者付款方面：","㈠ 确保养恤金领取者及时收到款项；","㈡ 减少银行向基金的收费；","㈢ 尽可能减少或消除银行对养恤金领取者的收费。","表17 所需资源","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 27 874.7 28 626.2 137 136","非员额 2 595.3 5 342.2 — —","小计 30 470.0 33 968.4 137 136","预算外 158.2 152.9 1 1","共计 30 628.2 34 121.3 138 137","84. 所列经费34 121 300美元，将用于续设137个员额；124个常设员额(3个D-1，3个P-5，9个 P-4，13个P-3，1个P-2，8个一般事务(特等)和87个一般事务(其他职等))；1个由预算外资源供资的一般事务(其他职等)员额；12个临时员额(6个P-4，2个P-3，4个一般事务(其他职等))及在日内瓦办事处调动的1个法律室控制下的P-4职等法律事务干事员额，以及用于非员额所需资源。非员额资源增加的原因是，下列方面的所需资源增加：咨询人(100 000美元)和一般业务费用(2 846 300美元)，但增加的数额因一般临时助理所需资源增加而部分抵消(199 400美元)。一般业务费用大幅增加完全是由于养恤金联委会从2010-2011年拟议预算中扣除了银行收费。","85. 常设委员会在其第186次会议上审查了关于基金实施的离职后健康保险保费削减方案的一份说明，批准了上述预算外资源，由参加的成员组织出资，基金不承担任何费用。","4. 方案支助","信息管理系统处","所需资源(重计费用前)：43 324 900美元","86. 在养恤基金信息和通信技术管理模式的指导下，信息管理系统处负责以下工作：基金的信息系统服务；维护信息和通信技术；协调执行信息技术执行委员会通过的战略决定；为信息和通信技术工作人员制定培训计划及提供必要工具，以支助知识的交流和合作性工作。","87. 该处负责提供全方位的电算办公室自动化；软件/系统设计、开发和启用；硬件支持；电信；共用基础设施服务(包括投资管理司)；基金日内瓦办事处信息技术工作的监督和技术领导；资源管理、基础设施和会议室支持。","表18 两年期目标、预期成绩和绩效指标","本组织目标：通过高效和有效地利用信息和通信技术协助实现基金的业务和战略目标 \n 预期成绩 绩效指标 \n(1)在基金的信息系统平台现代化方面取得进展 (1.1)支持经过重新设计的业务程序的企业信息技术架构 业绩计量 2008-2009年：不适用 2010-2011年目标：每阶段按期完成项目交付 \n 2012-2013年目标：每阶段按期完成项目交付(2)提高向客户提供服务的效率和成效 (2.1)向客户提供信息技术服务的时间的百分比 业绩计量 2008-2009年：99% 2010-2011年估计：99 % \n 2012-2013年目标：99 % (3) 改善信息技术服务 (3.1)支助工作达到令人满意(或以上)水平的信息技术系统百分比 业绩计量 2008-2009年：95% 2010-2011年估计：95 % \n 2012-2013年目标：95 % (4)更多使用电子存储进行信息共享 (4.1)知识管理系统中提供的信息管理系统处文件的百分比 业绩计量 2008-2009年：80% 2010-2011年估计：95 % \n 2012-2013年目标：95 % (5) 增加信息安全 (5.1)每年按照国际标准化组织17799号安全标准衡量的既定交付成果合规率上升百分比 业绩计量 2008-2009年：78% 2010-2011年估计：90% \n 2012-2013年目标：90% (6)更好地与参与人、受益人和其他客户分享电子信息 (6.1)通过电子方式分享人力资源信息的参与人所占百分比 业绩计量 2008-2009年：75% 2010-2011年估计：80 % \n 2012-2013年目标：80 % (6.2)通过电子方式分享财务信息的参与人所占百分比 业绩计量 2008-2009年：10% 2010-2011年估计：20 % \n 2012-2013年目标：30 %","外部因素","88. 本次级方案预计能实现目标和预期成绩，前提是：(a) 技术发展符合预期； (b) 可获得用以实现重要目标的内部和外包资源；(c) 各利益攸关方履行责任和义务，并为实现信息和通信技术战略的各项目标提供全面合作，尤其是在工作的流程审查和重新设计阶段。","产出","89. 2012-2013两年期内将交付下列产出：","企业业务服务","(a) 根据本组织的职能和业务需求，有成效和高效率地获取和实施服务于拟议的养恤金综合管理系统举措的信息和通信技术架构，重点是改善信息管理和提高基金业务的效率；","(b) 政策。确保信息管理系统处提供的所有信息和通信技术服务尽可能符合基金信息技术执行委员会的预期和相关行业标准(例如信息技术基础设施库)；按照国际标准化组织安全标准ISO-20002，对基金的信息和通信技术基础设施执行网络安全措施；","(c) 通信。提供主干通信服务，包括用于连接基金各办事处(包括基金秘书处、日内瓦办事处、投资管理司和同国际电子计算中心新达成的信息技术基础设施托管安排)的因特网、私人租赁线路、通信装置和设备及必要的通信线路；对纽约的中枢网络基础设施进行升级，扩充其容量，以支持在把高速关键任务数据、语音和视频等信息传送到桌上电脑方面有着多种需求的用户；","(d) 信息和通信技术基础设施服务。为支持基金的业务，对信息和通信技术基础设施服务实施多班操作、管理和维护，如在纽约、新泽西和日内瓦进行的服务器管理、中件管理和数据备份。 监督指挥中心的应用程序、设备、网络负载和信息传输，以防止服务中断。它们还将确保尽可能使用最新版本软件，并在必要情况下利用软件开发生命周期办法进行系统升级；","(e) 基础设施构架服务。在强调整合、互操作性、模块性和可扩缩性，并定期进行技术更新的最佳技术标准和做法基础上，开发和落实信息和通信技术基础设施；为信息技术决策者提供指导、通过减少支助费用和规模经济来降低信息技术费用；","(f) 用户支助/服务台。为连接养恤基金网络的应用程序、服务器、个人电脑和移动设施提供技术性、操作和服务台支持；为核准的软件应用程序，如生产力系统、电子邮件、知识管理系统和定制应用程序提供基础设施支持；操作和支持会议室设施和设备，包括视频/音频设备及投影功能；","(g) 短信通讯。提供和维护电子短信通讯服务，包括电子邮件、视频会议服务和统一报文传送；提供和维护用于手提式设备和服务的移动短信通讯和通信。","企业应用程序服务","(a) 开发。采用能够减少养恤金人工处理的系统，以维护提高生产力和效率的系统；改进参与人和受益人的手续办理并与银行、会计系统和工作流程界面连接；","(b) 企业系统维护。维护及改进核心业务应用企业系统，包括养恤金管理、会计和内容管理等系统；","(c) 维护成员组织的信息共享。在人力资源信息和财政信息数据的收集中实施和维护成员组织的信息共享；利用各组织使用的若干企业资源规划界面加强人力资源和财政数据的收集；维护电子档案输出界面，以安全的方式支持信息分享和转换。","企业数据服务","(a) 数据库管理。在各种信息技术平台上实施和维护养恤基金数据库并提高其可用性；进行数据库升级；监测使用情况和解决问题；编制新表格和视图；发现数据完整性问题；根据业务需求支持与数据库连接有关的系统开发工作；","(b) 系统软件编程。实施和维护数据库系统，在需要时为计算机操作系统和程序提供主机服务，以便向各种应用程序和界面提供关键任务数据；","(c) 数据仓支持。实施和维护数据仓系统并提高其可用性；在各种平台上进行数据清洗和数据联合；","(d) 管理方报告。利用商业情报工具实施、维护和改进管理方报告。","企业安全服务","(a) 信息安全。定期对养恤基金纽约和日内瓦办事处技术架构和运作进行安全风险评估，并用各种安保工具，包括防火墙、反垃圾邮件和防毒软件来保护网络安全；","(b) 身份管理。提供集中管理身份储存和删除的能力，整合不断扩大的身份储存库；","(c) 灾难恢复。拟订、采取和实施一个多年期灾难恢复战略，以支持养恤基金的业务延续性需求。","企业项目管理服务","(a) 治理。利用信息管理系统处各理事机构建立的模式来强化和运行具有强大治理能力的方案管理基础设施；","(b) 项目管理方法。以高效、连贯和标准化方式提供项目管理程序及方法方面的指导；","(c) 项目管理支持。根据项目管理方法更新、监督和维护项目组合；提供辅导和训练指导，以努力提高本组织的项目管理成熟度；","(d) 审计管理。管理和遵守与信息和技术服务有关的内部和外部审计意见。","企业质量和生产控制服务","(a) 质量标准化。查明和记录对信息管理系统处内执行工作的各种质量标准要求；","(b) 变化管理。确定和实施列有适当责任分工的完整的变化管理框架；","(c) 服务级协议和服务提供协议。编制统计资料及管理信息管理系统处所有服务级协议和服务提供协议；","(d) 生产控制。监督质量保障功能，以确保所有系统都是在进行了全面评估和用户接受程度测试之后才投入使用。","合同管理服务","监测和管理信息管理系统处预算的各个构成部分；向各项信息和通信技术服务提供行政支助，包括确定可用资源、登录预留款和处理请购单、定购单及相关发票；说明该处资产用途；管理与供应商包括技术伙伴、承包商和承包公司的关系。在拟订技术采购的一般性规格说明方面提供专家级知识；直接与联合国采购处合作，确保以尽可能低的费用提供带来增值的解决办法。","表19 所需资源","资源 (千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 8,426.7 8 607.6 32 31","非员额 32 814.1 34 717.3 — —","共计 41 240.8 43 324.9 32 31","90. 所列经费 43 324 900美元，用于续设31个员额：26个常设员额(1个D-1、2个P-5、6个P-4、10个P-3、1个一般事务(特等)和6个一般事务(其他职等))和5个临时员额(1个P-5、1个P-4、2个P-3和1个一般事务(其他职等))，并包括非员额资源。核定的1个P-4职等临时员额的任用期只有12个月，该员额已于2011年裁撤。非员额资源增加(1 903 200美元)主要是用于其他工作人员费用(127 000美元)和订约承办事务(5 975 900美元)，但由于家具和设备(3 976 400美元)、工作人员差旅费(21 600美元)和一般业务费用(177 400美元)所需资源减少而部分抵消。养恤金综合管理系统项目所需资源总计12 661 400美元，用作订约承办事务(11 466 300美元)和临时员额(1 195 100美元)费用。","法律室","所需资源(重计费用前)：1 358 400美元","91. 法律室继续负责向基金纽约和日内瓦办事处的管理层和业务部门提供统一的法律服务，向养恤金联委会审计工作委员会和常设委员会(关于上诉案件)以及联合国工作人员养恤金委员会(关于伤残案件)提供实质性、程序性和行政支助。法律室负责确保基金业务活动遵守《基金条例和细则》，并对《条例》作前后一致的解释。除基金秘书处各科室外，还就个案中实施《基金条例和细则》问题向参与者和退休人员和/或其法律代表提供法律服务和支助。法律室侧重以新的方式记载和传播判例、裁决和政策决定。通过这种方式促进知识分享有助于有效利用法律室积累的法律信息和经验，更多利用最佳做法，并使主管人员和工作人员能够在其日常决策中考虑到法律风险。","表20 两年期目标、预期成绩和绩效指标","本组织目标：保护基金的法律利益，就养恤基金事项向首席执行干事、养恤金联委会和常设委员会以及养恤基金其他管理机构提供专家法律意见 \n 预期成绩 绩效指标 (1)实施《养恤基金条例和细则》和养恤金调整制度的统一性和连贯性得到加强 (1.1)基金立场未得到常设委员会或上诉法庭支持的复审请求/申诉数目减少业绩计量 2008-2009年：90%的案例维持原判 2010-2011年估计：100%的案例维持原判 \n 2012-2013年目标：100%的案例维持原判(2)有关法律事项的交流和知识分享实现了现代化和得到改善 (2.1) 利用养恤基金《案例摘要》和其他知识管理工具记载和传播的法律决定和判例的数目 业绩计量 2008-2009年：不适用 2010-2011年估计：100%的常设委员会和法庭案例，10%已汇编的法律裁决 \n 2012-2013年目标：100%的常设委员会和法庭案例，30%已汇编的法律裁决(3)会议服务的组织和程序事项得到改善，向各委员会成员提供的实质性服务得到加强 (3.1) 养恤金联委会、常设委员会、审计工作委员会和联合国工作人员养恤金委员会成员对秘书处实质性服务的水平和质量的满意程度 业绩计量 2008-2009年：对提供的服务没有提出投诉 2010-2011年估计：对提供的服务没有提出投诉 \n 2012-2013年目标：对提供的服务没有提出投诉","外部因素","92. 法律室预计能实现目标和预期成绩，前提是：(a) 基金各委员会、养恤金联委会、成员组织、业务人员和管理层在其活动和业务影响到基金的法律利益和法律责任时，寻求法律咨询；(b) 及时征求法律意见，客户提供充分信息，以供进行法律分析，并将遵循所提供的意见；(c) 可获得所需人力和财政资源。","产出","93. 2012-2013两年期内，将交付下列产出：","(a) 就与《基金条例》、《管理细则》和养恤金调整制度的解释和实施有关的问题提供咨询，为实施管理政策和程序提供业务支持；","(b) 就与成员组织以及其他国际和政府间组织之间的协定和其他法律文书的审查、谈判和起草工作提供咨询，并酌情进行督查和监督；","(c) 就体制模式和业务模式、法律呈件和其他法律文件提供咨询和编制文件；就有关养恤金事项的案件编写提交联合国上诉法庭的被告方答辞(10)；","(d) 编写法律出版物和送交基金参与者/受益人、各养恤金秘书处和各成员组织行政当局的信函，包括在基金网站上发布的有关资料；","(e) 为联合国工作人员养恤金委员会、常设委员会、审计工作委员会提供会议服务，包括通过网上“Quick Places”和其他知识管理工具，以电子方式传送文件来简化信息分享和实现信息分享现代化；","㈠ 就程序规则、各项决议和养恤金联委会/委员会各项决定的解释和执行提供咨询；","㈡ 为常设委员会会议提供实质性、技术性和行政服务(2次),包括编写约12份复审请求和申诉；分析法律问题、编写报告和文件：","㈢ 为联合国工作人员养恤金委员会会议提供实质性、技术性和行政服务(4次)；编写残疾津贴申请(大约140项新的成人申请案、40项子女申请案、大约190份复核申请和2项上诉申请)；编写报告和文件；","㈣ 为审计工作委员会会议提供实质性、技术性和行政支助(6次)，包括协调文件和报告的编写工作；","(f) 编纂和系统地传播常设委员会和行政法庭案件判例以及其他法律参考档案、意见、政策决定和准则；","(g) 就养恤金办法的法律方面有关问题，与基金各成员组织及其工作人员养恤金委员会以及其他国际组织联络；","(h) 代表基金出席国际或区域会议、机构间会议和成员组织法律顾问会议，并于必要时参加各种常设理事会、委员会、特设工作组和工作队。","表21 所需资源","资源 (千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 — 1 358.4 — 4","非员额 — —","共计 — 1 358.4 — 4","94. 为了更为明确地分析方案支助，已将法律室从首席行政干事办公室分离出来，将其改为一个方案支助次级方案。1 358 400美元的经费将用于续设4个员额，其中3个员额调自首席执行干事办公室(2个P-5和1个一般事务(其他职等))，1个员额调自日内瓦办事处(1个P-4，法律干事)。其中最后一个员额将设在日内瓦。","执行办公室","所需资源 (重计费用前): 11 838 900美元","95. 执行办公室为基金开展活动提供必要的行政和方案支持。它协助首席执行干事和投资管理司司长编制两年期预算报告，并为有效利用人力和财政资源提供相关的支助服务。它还提供一般行政管理和设施管理服务。","表22 两年期目标、预期成绩和绩效指标","本组织目标：通过高效和有效的管理和方案支助，协助实现基金的业务和战略目标 \n 预期成绩 绩效指标 (1) 及时征聘和安置工作人员 (1.1) 员额平均空缺天数减少 业绩计量 2008-2009年：200天 2010-2011年估计：180天 \n 2012-2013目标：150天 \n (1.2)妇女在任期一年或一年以上的专业及以上职等员额中所占百分比增加 业绩计量 2008-2009年：32% 2010-2011年估计：39% \n 2012-2013年目标：45% (2)通过内部和外部培训，工作人员的多面能力得到加强 (2.1) 可提供的专门学习课程产出增加业绩计量 2008-2009年：30 2010-2011年估计：38 \n 2012-2013年目标：48 (2.2) 参加和成功完成学习和职业发展方案的工作人员数目增加 业绩计量 2008-2009年：618 2010-2011年估计：700 \n 2012-2013年目标：700 (3)对基金行政预算的管理和监督得到改善 (3.1) 降低未清债务和上期债务核销额相当于最后批款的百分比业绩计量 2008-2009年：不适用 2010-2011年估计：9% \n 2012-2013年目标：8% (4)设施和财产服务的质量和及时性得到加强 (4.1) 因房舍设施维修停工而损失的工作日减少业绩计量 2008-2009年：零 2010-2011年估计：零 \n 2012-2013年目标：零","外部因素","96. 执行办公室预计能实现目标和预期成绩，前提是能够得到所需人力和财政资源。","产出","97. 2012-2013两年期内将交付下列产出：","(a) 人力资源管理：","㈠ 就与人力资源管理有关的一切问题向所有工作人员提供政策建议；","㈡ 管理招聘主管所需的职位空缺跟踪数据，以支持征聘目标；","㈢ 向各位主任报告电子考绩制度合规数据；","㈣ 为通过Inspira和临时空缺通知征聘的所有人员安排面试；","㈤ 处理与工作人员-管理当局之间关系有关的问题 (听取抗辩小组等)；","(b) 工作人员培训和职业发展：","㈠ 为基金制定专门课程，并与信息管理系统处协调促进知识转让，以建立一个学习管理系统平台；","㈡ 安排在基金房舍举办培训课程；","㈢ 监督和跟踪所有工作人员都须完成的必修课程；","㈣ 向每个新工作人员介绍基金情况；","㈤ 提供职业发展方面的咨询意见。","(c) 行政：","㈠ 向基金工作人员提供日常行政支助；","㈡ 维护人员配置表;","㈢ 处理一般事务职等和专业职等人事行动，以按月发薪；","㈣ 以提醒主管提出推荐的方式，在工作人员合同到期的两个月前续延合同；","㈤ 根据联合国的政策和个人养恤金和应享权利的任何变更和最新情况，对工作人员养恤金和应享权利个案进行分析；","㈥ 为基金工作人员和有关人员提供经过确认的商务旅行;","㈦ 安排养恤金联委会联合国成员、审计工作委员会和精算师委员会成员和基金工作人员的旅行；","㈧ 维护工作时间和出勤记录；","㈨ 维护“Quickplace”网站，供审计工作委员会成员获取与会议有关的文件。","(d) 财务和预算管理：","㈠ 就基金的两年期预算和订正预算向方案主管提供指导并完成预算编制工作；","㈡ 发放拨款和订正拨款；","㈢ 为所有支出提供证明；","㈣ 监督支出，并每月向方案主管报告支出情况；","㈤ 就《财务条例和细则》的实施向方案主管提供咨询和指导；","㈥ 控制行政预算，包括核查发票后再付款；","㈦ 完成基金年度财务报表附表一(批款状况与行政费用之比较)；","㈧ 核对基金和联合国秘书处之间的行政费用。","(e) 设施和财产管理：","㈠ 确保设施得到维护和处于正常运行状况；","㈡ 与房舍管理部门和供应商协调进行任何必要的维修；","㈢ 管理与办公场所有关的合同；","㈣ 协助规划和配置新的和现有的办公空间；","㈤ 维护和支持基金固定资产的资产/库存管理系统；","㈥ 协调处置陈旧设备和家具；","㈦ 维护和支持基金的紧急情况通报系统；","㈧ 维护紧急情况联络资料，供基金工作人员在安全/紧急行动中使用。","表23 所需资源","资源 (千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 1 659.3 1 718.6 7 7","非员额 11 451.5 10 120.3 — —","共计 13 110.8 11 838.9 7 7","98. 所列经费11 838 900美元，减少了1 271 900美元，用于续设7个员额(1个P-5、1个P-4、1个P-3和4个一般事务(其他职等))和将1个P-3员额改叙为P-4员额，并包括整个行政方面的非员额资源。非员额资源减少1 331 200美元的主要原因是，在作出更准确的估算后，房地租金和维修费减少。","C． 投资费用","1. 概述","99. 投资管理司根据秘书长代表依照《联合国合办工作人员养恤基金条例》第19条所给予的授权，协助秘书长管理基金资产的投资。该司负责这些资产的日常管理，执行核准的投资策略，并确保投资组合符合基金核准的资产分配、政策、条例和细则。其任务是创造满足负债需求的总体投资组合收益，同时不超出基金的风险限度。投资管理司确保执行情况报告和投资组合风险分析报告的准确性和及时更新，并安排对基金的投资予以适当和准确的记账。该司的主要科室有司长办公室、投资科、风险与合规科、业务科和信息系统科。","100. 投资管理司总体所需资源总额在重计费用前为91 799 300美元，比2010-2011两年期订正批款净增加了10 601 800美元，增幅13.1%。下表25所示净增加额概述如下：","(a) 行政领导和管理：减少1 567 900美元是由于非员额费用的减少，主要包括差旅(1 382 200美元)、咨询人(2 028 800美元)、其他工作人员费用(1 665 100美元)方面的减少，这些款项均在有关方案项下提出请批，从风险与合规科调入1名P-4职等法律干事和从业务科调入1个一般事务(其他职等)员额所增加的员额经费(508 200美元)和订约承办事务经费(3 000 000美元)的增加与之部分相抵；","(b) 工作方案：增加7 451 700美元是由于新增6个员额，调入司长办公室的2个员额(1 115 100美元)和与订约承办事务(2 772 200美元)有关的非员额资源6 336 600美元与之相抵；此外，过去提交的文件中在行政领导和管理项下请批的其他工作人员费用(1 416 200美元)、工作人员差旅费(1 271 200美元)和咨询人费用(877 000美元)现均在工作方案项下提出请求；","(c) 方案支助：信息系统科所需资源(5 794 500美元)净增4 718 000美元的原因是新增1个员额(863 600美元)以及订约承办事务费用(4 040 000美元)、其他工作人员费用(779 300美元)和差旅费(111 000美元)的增长(过去提交的文件中在行政领导和管理项下请批其中最后两项经费)，行政支助项下房地租金和维修费减少1 076 500美元，与之部分相抵，减少原因是该司位于达格·哈马舍尔德广场1号30层的办公室已装修完毕。","101. 下文表24和25所示为资源分配估计数和按构成部分开列的所需资源。","表24 按构成部分开列的资源分配百分比","构成部分 经常预算","A. 行政领导和管理 7.7","B. 工作方案","1. 投资 53.9","2. 风险与合规 2.9","3. 业务活动 12.0","工作方案小计 68.8","C. 支助","1. 信息系统科 19.1","2. 行政支助 4.4","方案支助小计 23.5","共计 100.0","表25 按构成部分开列的所需资源","(千美元)","资源增长 分摊数","构成部分 2010-2011年 数额 百分比 重计费用前 重计费用 联合国 养恤基金 2012-2013年 批款 共计 估计数","A. 8 654.2 (1 (18 1) 7 086.3 52.33 — 7 138.6 7 138.6 行政领导和管理 567.9)","B. 工作方案","1. 投资 51 568.3 (2 (4.1) 49 476.6 655.8 — 50 132.4 50 132.4 091.7)","2. 风险与合规 1 931.6 680.1 35.2 2 611.7 (19.2) — 2 592.5 2 592.5","3. 业务活动 2 178.5 8 863.3 406.9 11 041.8 179.9 — 11 221.7 11 221.7","B小计 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6","C. 支助","1. 信息系统科 11 777.3 5 794.5 49.2 17 571.8 253.2 — 17 825.0 17 825.0","2. 行政支助 5 087.6 (1 (21.2) 4 011.1 16.9 — 4 028.0 4 028.0 076.5)","C小计 16 864.9 4 718.0 28.0 21 582.9 270.1 — 21 853.0 21 853.0","共计 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2","2. 行政领导和管理","所需资源(重计费用前)：7 086 300美元","102. 投资管理司司长为该司各科制定各自的战略和优先事项设立框架，以确保该司在履行其任务规定，同时保证达到安全、业绩、责任和问责制方面的最佳状况，并确保充分遵守效率、能力和廉正的最高标准。司长通过反映出该司和整个基金的长期目标和优先事项的工作计划，促进对基金资产的有效控制和管理。司长领导投资管理司与基金的审计工作委员会、联合国审计委员会和内部监督事务厅(监督厅)开展合作。","103. 司长办公室负责提供至关重要的法律、合同管理和请购服务及行政支助，包括针对投资管理司日益增长的需求作出人力资源战略预测。该办公室还为投资委员会提供服务和支持。","104. 我们的目标是把司长办公室发展成为协助投资管理司监测和协调其工作计划的及时实施的一个单位。随着基金在投资类型、工作人员和科室数目方面持续增长并日趋多元化，司长办公室的范围和职责也在扩大。因此，倘若所需系统和人员配置充足的话，我们计划强化和扩充该办公室的职能，办法是设立任务和责任明确的专门部门来处理以下事项：法律和合同管理；请购服务、预算编制和发票处理；投资委员会和立法机构；行政相关事项。","表26 两年期目标、预期成绩和绩效指标","本组织目标：确保全面执行法定任务并遵守养恤基金条例和细则，同时考虑到在投资和工作人员及财政资源方面涉及到养恤基金工作方案管理的投资委员会建议和秘书长代表的决定\n 预期成绩 绩效指标","⑴ 与秘书长代表协商决定：关于资产分配幅度、货币持有、市场加权、战略和战术性短期分配的指导方针；投资机会；信息系统和操作基础设施 (1.1) 基金的投资业绩优于市场","⑵ 对投资管理司的采购需求进行有效的规划和协调 (2.1) 在6个月之内完成的招标书百分比","⑶ 就各种类型的投资和合同提供范围广泛的法律咨询 (3.1) 成功完成新的投资交易并执行合同","⑷ 向投资委员会和其他立法机构提供有效服务 (4.1) 没有收到投资委员会和其他参与者提出的任何投诉","⑸ 工作人员得到及时征聘和安置 (5.1) 员额持续空缺的平均天数减少","(5.2) 空缺率降低","外部因素","105. 目标和预期成绩应能稳定实现，前提是：(a) 所有利益攸关方对投资管理司的工作都给予支持和全力配合；(b) 在执行大会和养恤金联委会确立的任务时没有重大的资金缺口。行政领导方案的实现取决于联合国有关厅/司的全力合作。","产出","106. 2012-2013两年期期间将交付以下产出：","(a) 定期更新和执行投资政策，以确保按照投资委员会接到的指令有力实施投资战略；","(b) 就投资管理司的采购需求与采购司进行有效和定期的协调，制定一份中期采购计划，编写高品质的招标文件，加速招标进程；让高品质的企业参与约10次采购行动的投标过程；","(c) 与法律事务厅的法律专家和法律顾问定期协调和接触，谈判和执行约160份合同；","(d) 每年举办4次投资委员会会议。向联委会、行政和预算问题咨询委员会、第五委员会和其他有关各方提供有关投资的准确报告；","(e) 贯彻落实投资管理司工作人员的差旅和培训计划。在180天之内填补职位空缺。","表27 所需资源","资源(千美元) 员额","类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 1 941.6 2 449.8 7 9","非员额 6 712.6 4 636.5 — —","共计 8 654.2 7 086.3 7 9","107. 所需资源总额为7 086 300美元，减少1 567 900美元，用于续设7个员额(1个D-2、1个P-5、1个P-4、1个一般事务人员(特等)和3个一般事务人员(其他职等))、分别从风险与合规科(1个P-4)和业务科(1个一般事务人员(其他职等))调入的2个员额以及全司在代表差旅费和招待费项下的非员额资源。非员额资源减少的主要原因是其他工作人员费用(1 665 100美元)、工作人员差旅费(1 382 200美元)和咨询人费用(2 028 800美元)经费分摊，增加的订约承办事务费用(3 000 000美元)与之部分相抵。","3. 工作方案","投资科","所需资源(重计费用前)：49 476 600美元","108. 投资科负责为基金实现最佳投资收益，同时避免不当风险。该科由7个组织实体组成，即北美股票、欧洲股票、亚太股票、全球新兴市场股票、债券、房地产和另类投资。投资科的主要职能是监测当前的投资组合，及时了解和追踪各金融市场的动态，作出并执行投资决定。履行这些职能的工作包括编写金融分析报告，出席大小会议，前往各国会晤一些分析员和公司管理人员。一个次要职能是协助编写给所有理事机构的报告。","109. 投资科2012-2013年的任务包括：(a) 实现基金投资的长期目标，即按美国消费物价指数调整后，实际年收益率达3.5%；(b) 实现基金的投资业绩稳定地超过政策基准；(c) 保持与投资收益目标相匹配的风险程度；(d) 通过合理多样化减少货币风险和国家风险。","表28 两年期目标、预期成绩和绩效指标","本组织目标：长期目标是：(a)在避免不当风险的情况下为基金实现最佳实际投资收益；(b)在资产形式、货币和地域方面令投资组合多样化 \n 预期成绩 绩效指标 (1)养恤基金投资的长期实际年收益率按美国消费物价指数调整后达3.5% (1.1) 10年期内基金总收益与基金目标的比较业绩计量 2008-2009年：由于在2008年和2009年初经历了全球金融危机，基金在2009年12月终了的10年期内业绩比目标低1.7% 2010-2011年估计：根据初步数据，按实际价值计算，基金在2010年12月终了的10年期内业绩为3.5%，与基金的收益目标保持一致 \n 2012-2013年目标：业绩优于实际年收益率达3.5%的长期目标\n(2)基金的投资业绩稳定地超过政策基准，其构成是：60%为股票、31%为债券、6%为房地产和3%为现金 (2.1) 5年期内基金的总收益率与政策基准的比较\n 业绩计量 2008-2009年：在2009年12月终了的5年期内业绩超过基准0.9% 2010-2011年估计：根据初步数据，按名义价值计算，基金在2010年的业绩为10.2%，略低于10.6%的60/31基准收益率 \n 2012-2013年目标：业绩超过政策基准(3)通过合理的多样化减少货币风险和国家风险 (3.1) 投资的币种数目业绩计量 2008-2009年：截至2009年12月，投资于27种货币 2010-2011年估计：截至2010年12月，投资于35种货币 \n 2012-2013年目标：进一步酌情优化基金资产在币种方面的配置 (3.2) 投资的国家数目 2008-2009年：截至2009年12月，投资于包括新兴市场国家在内的41个国家、国际/区域机构和投资信托公司 2010-2011年估计：截至2010年12月，投资于包括新兴市场国家在内的47个国家、国际/区域机构和投资信托公司 \n 2012-2013年目标：进一步酌情优化基金资产在国家间的分配 (4) 将投资分散到另类资产类别 (4.1) 另类资产类别投资战略数目 业绩计量 2008-2009年：不适用 \n 2010-2011年估计：2010年6月，另类投资高级投资干事加入基金。2010年6月至2011年12月期间的目标是敲定另类投资顾问的人选，并向5-10名经理作出承诺。2009年6月，实物资产顾问的人选敲定，并将于2011年初制定详细的战略。基金将向基础设施和木材/农业用地领域的几个基金投资\n 2012-2013年目标：截至2013年底，基金预计将向15-20家私募基金和对冲基金投资。私募基金的长期表现将用美元加权收益率和内部收益率计算法来衡量；而对冲基金投资组合则将用时间加权收益率计算法来衡量。将与养恤基金的私募基金和对冲基金顾问一道讨论基金的基准设定问题，并将在后面的阶段中详细列报(5)工作人员处理投资和投资组合管理问题的能力提高 (5.1) 至少参加一次相关会议或研讨会的工作人员比例业绩计量 2008-2009年：不适用 2010-2011年估计：不适用 \n 2012-2013年目标：每个工作人员至少参加一次相关会议或研讨会","外部因素","110. 目标和预期成绩应能稳定实现，前提是(a) 所有利益攸关方对投资管理司的工作都给予支持和全力配合；(b) 在执行大会和养恤金联委会确立的任务时没有重大的资金缺口；(c) 诸如全球股票、全球债券、房地产和外汇等金融市场的变动方向与长期假设一致。","产出","111. 2012-2013两年期期间将交付以下产出：","(a) 总收益率优于基金目标，即，长期实际年收益率按美国消费物价指数调整后达3.5%；","(b) 基金总收益率超过政策基准，其构成是：证券为60%，债券为31%，房地产为6%，现金为3%；","(c) 在货币和国家方面保持较好的多样化投资组合，以期降低货币风险和国家风险；","(d) 在市场条件有利于基金的情况下成功采用适合基金目标的另类资产类别，以赚取比投资于上市股票更高的收益率；","(e) 通过参加与投资和投资组合管理直接相关的会议和研讨会，提高工作人员的专业素质和知识深度，将有助于提高基金的业绩。","表29 所需资源","资源(千美元) 员额","类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 7 698.4 8 974.3 27 31","非员额 43 869.9 40 502.3 — —","共计 51 568.3 49 476.6 27 31","112. 所需资源总额为49 476 600美元，减少2 091 700美元，用于续设27个员额(1个D-1、7个P-5、6个P-4、4个P-3、4个一般事务人员(特等)和5个一般事务人员(其他职等))、新设4个员额(3个P-4和1个P-3)及非员额资源。非员额资源减少的原因是订约承办事务费用减少(5 090 300美元)以及纳入了原来在行政领导和管理项下请批的其他工作人员费用(197 500美元)、工作人员差旅费(1 025 200美元)和咨询人费用(500 000美元)。","风险与合规","所需资源(重计费用前)：2 611 700美元","113. 风险与合规科是一个新设机构，负责识别、计量和管理基金所面临风险的各方面问题。此外，在合规方面，该科负责实施对基金投资的有效的监测和控制程序。其职能包括两个分项职能：风险管理与合规。","表30 两年期目标、预期成绩和绩效指标","本组织目标：规定控制措施，监测在投资管理司资金所涉各类风险(即市场风险、操作风险、信用风险、法律和名誉风险)方面的合规情况。这一职能还负责在资产和主管一级制定风险预算，监测对风险预算的遵守情况，根据既定风险承受度帮助投资部门将经风险调整的收益最大化 \n 预期成绩 绩效指标 (1)有效监督养恤基金投资业务所包含的风险 (1.1)监测活动有效覆盖所有投资交易业绩计量(交易数) 2010-2011年：100% \n 2012-2013年目标：100% (2) 制定风险管理框架 (2.1)全面实施风险分析系统，并培训所有投资组合管理人员将风险分析纳入投资组合构建过程 \n 2012-2013年目标：100% (2.2)执行《风险管理手册》中列出的风险管理控制措施；风险控制措施的落实比例 业绩计量 成功落实所有既定的风险指导原则和控制措施 根据投资环境的变化或新确认的风险，监测控制措施，开展趋势分析，修正指导原则和控制措施 2010-2011年：75% \n 2012-2013年目标：99% (3)遵守投资管理司既定的政策和程序 (3.1)符合各项政策和标准操作程序的投资交易比例 业绩计量(交易的百分比) \n 2012-2013年目标：95% (3.2)保证工作人员在履行其作为国际公务员的职责和责任的过程中具有较高的道德标准 业绩计量(工作人员数) \n 2012-2013年目标：100% (3.3)成功协调和帮助遵守审计建议 业绩计量(已完成的审计比例) \n 2012-2013年目标：100% (4)落实多保管人和独立的总账管理人做法 (4.1)全面落实多保管人和独立的总账管理人制度，与风险管理、会计和交易订单管理等投资管理司的其他系统实现一体化 \n 2012-2013年目标：100%","外部因素","114. 风险与合规科应能实现目标和预期成绩，前提是外部所有各方都对该科的工作给予支持和全力配合。其他外部因素包括：","(a) 更加不稳定的股市；","(b) 更加不稳定、大幅波动的货币市场，需要开展大量定量分析的能力，以利用与指数挂钩的工具来抵消风险；","(c) 主权国家的信用风险增大；","(d) 在不同地域同时出现通胀和/或通缩的环境下开展运作；","(e) 国际贸易壁垒增多；","(f) 宏观经济走势变化时的基准变化；","(g) 因基准货币(美元)贬值而产生突发性资金不足的风险，致使资金达到历史高点，但由于对双轨制功能的使用增多以及用其他货币计价的负债增多，同时存在资金不足的潜在风险；","(h) 商品价格大涨；","(i) 失业率高企，成为发展中经济体持续存在的“新常态”；","(j) 主权国家贷款违约。","产出","115. 2012-2013两年期期间将交付以下产出：","(a) 维护政策和标准作业程序，即标准投资作业政策和程序、《风险管理手册》、合规政策和手册、道德规范和关于个人证券、礼物和招待的政策；","(b) 完成对基金投资业务的季度合规审查，以确保有效控制基金的合规风险；","(c) 管理回执核证、交易订单预先核准、个人证券报告、招待费记录和强制休假；","(d) 组织有关投资合规和道德守则的培训方案(共2项全司参与的现场培训方案)；","(e) 为全面遵守联合国年度财务披露方案开展协调；","(f) 编制养恤金联委会审计工作委员会的定期报告(共8次列报)；","(g) 为审计委员会和内部监督事务厅计划开展的内部和外部审计充当协调中心；充当处理道德操守办公室质询的协调中心。","表31 所需资源","资源(千美元) 员额","类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 1 931.6 1 919.7 6 7","非员额 — 692.0 — —","共计 1 931.6 2 611.7 6 7","116. 所需资源总额为2 611 700美元，增加680 100美元，用于续设5个员额(1个D-1、2个P-4和2个一般事务人员(特等))、从业务活动科调动1名P-4和1名一般事务人员(其他职等)员额到司长办公室以及新设1个员额(1个P-4)的费用。非员额资源增加的主要原因是纳入了原先在行政领导和管理项下请批的其他工作人员费用(321 600美元)、工作人员差旅费(193 400美元)、咨询人费用(127 000美元)和订约承办事务费用(50 000美元)。","业务活动","所需资源(重计费用前)：11 041 800美元","117. 投资管理司业务科负责基金一切投资交易与相关活动的后台投资业务、会计、对账和财务报告工作。该科还负责及时和准确地结算一切投资交易和外汇交易，运用行业标准解决办法进行直通处理和例外情况处理。此外，该科还确保按照养恤基金采用的国际公共部门会计准则妥善记录所有投资活动，例如交易、外汇交易、收入核收、债务期限、税收和企业行动，以便编写具有足够的内部控制和审计跟踪的财务报表。另外，该科还负责编写每日现金预测，以便投资科能够管理投资管理司投资时使用的所有币种现金。从2012年1月1日起，业务科还将在养恤基金财务主任全面指导下，负责对所有应在全养恤基金的财务报表中报告和反映的投资活动适用国际公共部门会计准则。该科与托管人密切合作，以处理交易和外汇结算、未成功交易的利息索赔调查、收入核收、债务期限、税收和企业行动。该科还与总账管理人密切合作，每天核对现金和所持资产、基金投资的公平市场估值以及总分类账入账情况。该科与信息系统科密切合作，协助执行更高效的程序，确保内部控制，同时加强投资管理司的各种计算机化投资活动，以尽量减少人工干预。","表32 两年期目标、预期成绩和绩效指标","本组织目标：确保基金投资的安全和提高投资财务报告的透明度","预期成绩 绩效指标","(1) (1.1) 在市场结算时限内结算的适当授权的投资交易所占百分比增加 自动化后台交易结算与核对进程，具备处理增加了的投资交易量的能力","业绩计量","2008-2009年：96.25%","2010-2011年估计：98%","2012年目标：99%","2013年目标：99%","(1.2) 为解决头寸/所持资产和现金差异所需天数减少","2008-2009年：不适用","2010-2011年估计：执行和测试阶段","2012年目标：3天之内解决差异问题","2013年目标：2天之内解决差异问题","(2) 与理事机构协调，成功实行养恤基金所通过的国际公共部门会计准则 (2.1) 及时向基金财务主任上报该司编制的符合国际公共部门会计准则的财务报表(来年3月15日之前)","业绩计量","2008-2009年：2010年4月1日","2010-2011年估计：2011年3月15日","2012年目标：2012年3月15日","2013年目标：2013年3月15日","(2.2) 审计委员会就财务报表提出无保留的审计意见","业绩计量","2008年：无保留的审计意见","2009年：经修改的审计意见","2010-2011年估计：无保留的审计意见","2012年目标：无保留的审计意见","2013年目标：无保留的审计意见","(3) 在新的双重托管人和独立总账管理人模式中业务功能进入全面运作 (3.1) 在新的托管人和总账管理人选定后所有业务系统进入全面运作","外部因素","118. 业务科预计能够实现其目标，前提如下：","(a) 内部关键任务系统(Charles River交易订单管理系统、Murex MX.3、SWIFT和OMGEO)和独立总账管理人的总账入账系统及时提供全面的直通处理以及例外情况处理与对账；OMGEO、独立总账管理人和总账会计系统的落实都有赖于合同谈判取得成功；","(b) 两位托管人及独立总账管理人在保管和总账管理服务方面的业绩令人满意。","产出","119. 2012-2013两年期期间，将交付以下产出：","(a) 所有证券、房地产、另类资产和货币兑换交易在结算日或定值日的结算；","(b) 每天针对例外情况进行证券/头寸/所持资产和现金，包括收入(股息、利息和现金分派)、期限以及企业行动的自动核对；","(c) 2012年6月30日财务报表的成功检验或测试，并得到外聘审计人对遵守国际公共部门会计准则的情况予以的好评；","(d) 在2013年3月15日之前，编制符合国际公共部门会计准则的财务报表和披露(仅投资部分)；","(e) 将所有资产转至新的保管人，由其入账并重新登记；","(f) 由新的总账管理人和保管人编制所有标准报告。","表33 所需资源","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 2 178.5 2 029.6 11 10","非员额 — 9 012.2 — —","共计 2 178.5 11 041.8 11 10","120. 编列经费11 041 800美元，增加了8 863 300美元，用于续设9个员额(1个P-5、1个P-3、2个一般事务人员(特等)和5个一般服务(其他职等))，调出2名一般事务(其他职等)员额，分别调往司长办公室以及风险和合规科，设立1个新员额(1个P-3)。非员额资源的增加主要是用于订约承办事务(7 812 500美元)以及行政指导和管理项下先前请批的资源，包括其他工作人员费用(897 100美元)、工作人员差旅费(52 600美元)和咨询人(250 000美元)。","4. 方案支助","信息系统科","所需资源(重计费用前)：17 571 800美元","121. 信息系统科负责技术、数据管理、应用程序、政策、程序和项目管理，以帮助投资流程和维护可靠的投资数据。该科将继续执行有关解决方案，以提高投资数据质量和便利性，对投资程序加以精简和标准化，并提供切实可行的技术，以执行安全政策，确保业务连续性，并执行符合投资管理司投资准则的控制措施，从而减少操作风险和业务风险。更为重要的是，该科将提供良好的投资数据，并使其成为解决方案的一部分，为养恤基金增值，并使明智的风险管理成为可能。","表34 两年期目标、预期成绩和绩效指标","本组织目标：提供信息技术解决方案和技术支持，以促进前后台投资流程","预期成绩 绩效指标","(1) (1.1) 能够对投资交易进行例外处理 执行投资管理司的信息和通信技术战略，包括实施与合并新的和现有系统，以便利投资活动","业绩计量","直通处理的交易所占百分比","2008-2009年：不适用","2010-2011年：90%(交易订单管理、SWIFT、保管人银行)","2012-2013年目标：95%","(1.2) 支持投资流程的标准化和现代化","业绩计量","标准化的业务流程所占百分比","2008-2009年：不适用","2010-2011年：85%","2012-2013年目标：95%","(1.3) 使风险与合规管理成为可能","业绩计量","所提供的风险与合规工具的数目","2008-2009年：不适用","2010-2011年：2","2012-2013年目标：2","(2) 提高投资管理司投资数据的质量、安全性和可获得性 (2.1) 投资数据得到及时核实与对账","业绩计量","编制的可靠投资报告所占百分比","2008-2009年：50%","2010-2011年：75%","2012-2013年目标：90%","(2.2) 信息技术服务的可获得性高","业绩计量","信息技术潜在操作风险所占百分比","2008-2009年：25%","2010-2011年：小于5%","2012-2013年目标：小于1%","外部因素","122. 本次级方案预计能实现目标和预期成绩，前提是：(a) 联合国秘书处代表投资管理司进行的采购和法律程序在预计期限内完成；(b) 各利益攸关方履行自己的职责，对实现该司的信息和技术战略目标给予充分合作，便利该司的业务；(c) 信息管理系统处及时支持经过整合的信息和通信技术基础设施。","产出","123. 在2012-2013两年期将交付以下产出：","(a) 交易订单管理(Charles River)、后台任务、对账、会计(Murex)以及银行间短信系统(SWIFT)得到成功和充分的执行和支持；","(b) 数据中心、外汇和固定收益投资执行系统得到落实；","(c) 投资流程得到妥善记载；","(d) 投资交易实现例外情况处理；","(e) 为业务流程的标准化和简化提供便利；","(f) 为合规情况监测工作和系统提供支持和便利；","(g) 执行数据自动输入，支持数据核查；","(h) 支持数据对账；","(i) 加强投资管理司基础设施；","(j) 执行和支持安保政策和灾难恢复；","(k) 使业务连续性成为可能。","表35 所需资源","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","员额 1 593.9 2 457.5 7 8","非员额 10 183.4 15 114.3 — —","共计 11 777.3 17 571.8 7 8","124. 编列经费17 571 800美元，增加了5 794 500美元，用于续设7个员额(1个P-5、3个P-4、2个P-3和1个一般事务人员(特等))，并设立1个新员额(1个P-4)。非员额资源的增加主要原因是订约承办事务所需资源增加(498 500美元)、把市场数据订约承办事务从投资科转至信息系统科(3 541 500美元)以及以前在行政领导和管理项下请批的资源，包括其他工作人员费用(779 300美元)和工作人员差旅费(111 000美元)。","行政支助","所需资源(重计费用前)：4 011 100美元","表36 所需财政资源","(千美元)","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","非员额 5 087.6 4 011.1 — —","共计 5 087.6 4 011.1 — —","125. 所列经费4 011 100美元，减少了1 076 500美元，用于全司的非员额资源。减少的主要原因是，由于装修哈马舍尔德广场1号新增办公空间，在2010-2011年订正预算中一次性请批房地租金和维持费(916 900美元)。","D. 审计费用","所需资源(重计费用前)：2 748 200美元","126. 资源的分配情况见表37。","表37 所需财政资源","(千美元)","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","外部审计 661.2 774.7 — —","内部审计 1 983.8 1 973.5 — —","共计 2 645.0 2 748.2 — —","127. 所列经费2 748 200美元，用于审计委员会请批的外部审计所需资源估计数(774 700美元)，以及内部监督事务厅请批的内部审计所需资源估计数(1 973 500美元)。","1. 外部审计","所需经费(重计费用前)：774 700美元","128. 所列经费774 700美元，用于支付与审计委员会相关费用，这笔款项由审计委员会秘书处向养恤基金分摊。","2. 内部审计","所需经费(重计费用前)：1 973 500美元","129. 所列经费1 973 500美元，用于续设5个一般临时助理人员员额(1个P-5、2个P-4、1个P-3和1个一般事务人员(其他职等))、培训和非员额资源(包括咨询人、工作人员差旅费、订约承办事务、通信、业务费用、用品和材料以及家具和设备。费用减少的主要原因是，由于标准薪金费用的减少而仅需要一般临时人员以及对其他非员额请批资源做出少许改动所产生的净影响。","E. 联委会费用","所需资源(重计费用前)：200 000美元","表38 所需财政资源","(千美元)","资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)","联委会费用 167.5 200.0 — —","130. 大会在第61/240号决议第四节中，批准将联委会费用，包括联委会会议的行政费用、主席的差旅费和工作组的差旅费等，列入基金预算并计入行政费用账目。","131. 所列经费200 000美元，用于支付联委会开支所需估计数，包括主席出席联委会第五十九届和第六十届会议以及行政和预算问题咨询委员会会议和第五委员会会议的差旅费、首席执行干事人选物色小组的差旅费以及将于2012年7月和2013年7月举行的第五十九届和第六十届会议的行政费用(120 000美元)。","四. 紧急基金","132. 大会在第62/241号决议第三节中授权养恤基金补充2008-2009两年期紧急基金自愿捐款，数额不超过200 000美元。","133. 提议由养恤基金联委会建议大会授权联委会补充2012-2013两年期紧急基金自愿捐款，数额不超过200 000美元。","五. 为在2012年1月1日前执行国际公共部门会计准则所建议的临时措施","134. 联委会在其2010年7月第五十七届会议上核准从2012年1月1日起执行国际公共部门会计准则，根据要求，秘书处和投资管理司在2011年7月向联委会提交了执行新会计准则的现况报告。","135. 目前，养恤基金是根据《联合国财务条例和细则》提交报告的。据指出，联合国原本计划于2014年执行国际公共部门会计准则，在这方面，联委会获悉联合国计划向2012年大会第六十七届会议建议修改《财务条例和细则》。","136. 鉴于修改《财务条例和细则》的时间安排，在养恤基金审计工作委员会的支持下，完全是为了养恤基金能够及时执行国际公共部门会计准则之目的，要求联委会向2011年大会第六十六届会议建议核准以下关于养恤基金财务报告的过渡性措施：","“作为一项过渡性措施，联委会授权养恤基金在其会计核算流程和财务报告中继续适用经必要修改的《联合国财务条例和细则》，其方式应使养恤基金的做法符合国际公共部门会计准则。联委会谨此建议，按照《联合国合办工作人员养恤基金条例》第19条b款，秘书长以符合国际公共部门会计准则的方式，维持养恤基金所有投资和其他交易的详细账目。”","137. 联委会获悉，一旦核准过渡性措施，养恤基金全面执行国际公共部门会计准则将兑现联委会关于在2012年采用国际公共部门会计准则的决定，但条件是养恤基金接下来要使其《财务条例和细则》正式化。养恤基金2012年的财务报表将根据公共部门会计准则提交并进行审计，后者将提供规管架构。","138. 联委会在讨论后，认可了关于养恤基金财务报告的过渡性措施，建议2011年大会第六十六届会议核准这一措施。","六. 有待大会采取的行动","139. 养恤金联委会向大会提出如下建议：","(a) 核准2010-2011年批款减少21 772 800美元。因此，2010-2011两年期订正批款为154 545 700美元，分为行政费用(80 478 500美元)、投资费用(71 289 000美元)、审计费用(2 532 900美元)和联委会费用(245 300美元)。其中，133 037 000美元将摊派给养恤基金，21 508 700美元将根据费用分摊安排，直接向联合国收取；","(b) 核准2010-2011两年期预算外资源的订正预算估计数共计144 300美元；","(c) 核准养恤基金2012-2013两年期预算估计数共计194 164 000美元，包括行政费用(98 407 600美元)、投资费用(92 938 200美元)，审计费用(2 613 800美元)和养恤金联委会费用(204 400美元)。其中，173 260 600美元将分摊给养恤基金，20 903 400美元将根据费用分摊安排，分摊给联合国；","(d) 核准2012-2013两年期预算外费用的资源共计156 800美元，由若干成员组织出资；","(e) 核准不超过200 000美元的一笔款项，以补充紧急基金所得捐款；","(f) 核准为在2012年1月1日开始执行公共部门会计准则所采取的临时过渡财务措施。","七． 为执行审计委员会以及行政和预算问题咨询委员会的各项要求和建议而采取的后续行动总表","表39","A. 行政和预算问题咨询委员会","(A/65/567)","要求/建议 为执行要求/建议而采取的行动\n (a) 行预咨委会赞同审计委员会提出的与经修订的风险管理政策有关的建议和关于该司应继续执行新拟定的风险管理手册的建议(第7段)。 已执行了大部分控制措施，现正作出努力以执行其余的控制措施。《风险管理手册》是一分活文件，每季度都会更新。执行工作是一个持续过程，目标是执行所有控制措施。《风险管理手册》规定的某些控制措施是人工措施，需等待资源分配；其他的是自动化措施，需等待基础设施的现代化。等到达这些里程碑时，这些控制措施就将得到执行。","(b) 行预咨委会赞同审计委员会的建议。行预咨委会感到关切的是，养恤基金收到包括一个强调事项段的无保留审计意见，该强调事项段涉及2009年12月31日终了两年期财务报表所示投资的实现的和未实现的亏损。行预咨委会敦促养恤基金执行审计委员会的建议(第9段)。 在投资管理司2011年3月11日提交养恤基金秘书处的2010年财务报表附注中已做了这项工作。该司将继续就这些披露与公共部门会计准则咨询师进行协商。","(c) 行预咨委会重申其建议，即联委会继续探索在发展中国家和经济转型国家进行投资的机会(第10段)。 基金在继续研究各种机会；投资管理司司长和工作人员最近去了非洲和中东，以扩大我们在非洲投资中的获奖投资组合。司长将定期与世界银行和货币基金组织会晤，以审查新兴和前沿市场里新出现的机会。","(d) 基金已最后确定公共部门会计准则的执行计划和时限，并已提交审计工作委员会和2011年7月举行的养恤金联委会第五十八届会议。招聘新的财务主任的工作也在进行中。 行预咨委会赞同审计委员会的意见，即养恤基金应及时最后确定并批准公共部门会计准则的执行计划。行预咨委会期待尽快招聘新的财务主任，与此同时，开始有关准备工作，以确保于2012年1月1日执行公共部门会计准则。此外，行预咨委会鼓励审计委员会密切监测养恤基金公共部门会计准则的执行进展情况，并重申其建议，即审计委员会应每年向大会报告这方面的进展情况(见A/65/498，第19段)(第13段)。","(e) 行预咨委会强调应利用现有资源提供足够支助，以确保及时执行公共部门会计准则并对执行情况进行妥善管理(第15段)。 为执行公共部门会计准则而对现有资源进行重新分配的方案获得2010年7月举行的养恤金联委会第五十七届会议核准，并在2010年12月获得大会核准。现正为2012-2013年度申请追加资源。","(f) 行预咨委会赞同养恤金联委会的要求，即医疗顾问应考虑是否有可能确立一项体检标准，专门用于根据《基金条例》第41条的规定参与基金目的(第18段)。 医疗顾问将根据要求就此事项向联委会2012年7月的届会提交说明。","(g) 行预咨委会赞同审计委员会的意见，即有必要以具有透明度的方式披露联合国大学捐赠基金的投资，并注意到养恤金联委会已同意在今后提供这样的披露(第20段)。 在投资管理司2011年3月11日提交养恤基金秘书处的2010年财务报表附注中已做了这项工作。该司将继续就这类披露问题与公共部门会计准则咨询人进行协商。","B. 审计委员会","(A/65/9，附件十)","要求/建议 为执行要求/建议而采取的行动\n 审计委员会的主要建议是：","(a) 基金应最后确定并批准《公共部门会计准则》的执行计划，确定执行公共部门会计准则项目的其他利益攸关方并促其参与该项目，以及详细说明《财务条例和细则》哪些方面需要修订(第27段)； 基金最后确定了执行计划和时限，并已提交审计工作委员会。成立了一个由来自投资管理司和秘书处的公共部门会计准则利益攸关方组成的指导委员会。在采用公共部门会计准则之前，基金目前仍将遵循以联合国系统会计标准为基础的《联合国财务条例和细则》。投资管理司正等待其《公共部门会计准则》咨询人就细则104.12、104.13、104.14、104.15和104.16的建议措辞提出建议，以确保符合公共部门会计准则的规定。将于2011年6月提交给审计工作委员会，于2011年7月提交给养恤金联委会第五十八届会议。","(b) 基金将拖欠基金的款项记为应收账款和收入(第30段)； 已计算了成员组织拖欠的款项。在审查之后就予以公布。","(c) 基金应在实际支付时，对前期所有未清债务和应计项目进行转回分录，并解决导致把已支付项目记为应计项目的控制措施的纰漏(第33段)； 基金已就Lawson账户的行政部分起草了关闭指示。执行办公室提出了第三稿征求财务科的审查和同意。根据这些指示，将对2006年1月1日至2009年12月31日期间的行政账户作调整，以得出结转至2010年1月1日的正确结余。将根据这些指示以2010年12月31日作为截止日关闭这些账户。","(d) 基金执行经过改进的控制措施，确保及时收回未清款项，并制订关于不可收回的长期未清款项的会计处理政策(第43段)； 已执行了针对长期未清应收款的政策和程序。正在作出收款努力。","(e) 基金考虑在其财务记录中为可疑债务提取备抵，以反映截至报告日期的可收回款项(第44段)； 基金2010年财务报表将为账龄超过2年的所有应收款列出备低。此外，从2010年开始注销无法收回的应收款项。","(f) 基金用报告日现行业务汇率，对所有以外币标价的余额进行重新估值(第48段)； 同意。2010年财务报表将使用年末汇率把外币银行账户余额换算成美元。","(g) 基金立即采取步骤，收回尚未退还的国外税款(第51段)； 正在进行。投资管理司继续作出广泛努力，防止各管辖区对其投资收入征税并收回被扣缴的税款。特别是，投资管理司的代表于2010年1月在北京会见了中国国家税务总局的代表，以解决正式承认并落实基金在该国的免税地位问题。该司代表还主动与巴西政府代表进行讨论，从而使巴西税务局于2010年4月发布一个措辞广泛的文告，正式承认基金在该国的免税地位。此外，该司最近发出了一个有关全球税务咨询服务的招标书。全球税务顾问将协助该司开展在全球的申请退税工作等事项。","(h) 基金应把联合国偿还行政费用产生的应收款及相关收入记录在正确的会计时期(第54段)； 已考虑到这一点并在账户关闭程序中加以纠正。","(i) 基金继续与联合国一起调节余额，确保差额完全对账(第57段)； 有一段时间基金使用基金间余额与联合国进行调节。联合国也使用这一余额数。基金现在在与联合国进行调节时恢复使用实际支出数。","(j) 基金把正确的应计数额从应付账款模块上传至Lawson系统，同时对发现的差异账目进行调整(第63段)； 正在进行中。确定了错误的项目。将为2010年作出适当登录，以纠正这些余额数。","(k) 基金每月定期核对应付账款模块和总分类账(第64段)； 财务科正等待COGNOS“方块”，以支助Lawson数据生成一份新报告。","(l) 基金将应付账款借方余额重新调整为应收账款，完成数据清洗工作，以确保应付账款中包括的所有款项都是有效的应付款(第67段)； 这是个持续进行的流程。于2010年开始展开工作，将在2011年全年持续进行，以纠正这些账户。","(m) 基金开发分析应付养恤金账龄的工具(第70段)； 财务科正等待COGNOS“方块”，以支助Lawson数据生成一份新报告。","(n) 基金适用《养恤基金条例和细则》第46条，调整与所有应丧失数额有关的应付养恤金(第75段)； 这是一项持续进行的工作，是2011年底前要完成的数据清洗工作的一部分。","(o) 基金按照联合国《财务条例和细则》的要求，遵守提交财务报表日期的规定(第79段)； 正如在提交审计委员会的报告(见A/65/9)中所指出的，由于需要对基金成员组织的付款实行调节程序，基金无法遵守3月31日这个完工期限。投资管理司于2011年3月11日向基金秘书处提交了财务报表中该司负责提供的部分。今后，该司将确保在下一年的3月15日之前向秘书处提交财务报表。","(p) 基金制订并执行明确规定交易如何在养恤基金会计记录中入账的会计政策，并确保所有会计政策在财务报表中得到明确界定和披露(第84段)； 作为公共部门会计准则执行工作的一部分，将继续加强脚注。这项工作将继续是2010年和2011年财务报表的组成部分，在2012年将全面采用公共部门会计准则。","(q) 基金编制财务报表所有细列项目的调节表或工作底稿，并编制与账本一致的有关计算或调整的附表(第89段)； 基金的报告撰写人把总分类账账户并入财务报表的细列项目，如此财务报表上的所有数字都可追溯到源文件。","(r) 投资管理司在财务报表中完全披露其为联合国大学捐赠基金管理的投资(第92段)； 已执行。在投资管理司于2011年3月11日提交给基金秘书处的2010年财务报表的附注中已这样做了，具体在“管理的基金”项下。该司将进一步就这类披露问题与公共部门会计准则咨询师进行协商。","(s) 投资管理司重新考虑其为第三方提供资金管理服务的正式安排(第93段)； 投资管理司将提供全面披露。该司将全面披露根据审计建议在1990年代为联合国大学捐赠基金设立的独立安排。这些安排包括一个单独的托管账户和一个独立的外部基金经理。从未将这些基金与养恤基金混合过。","(t) 投资管理司继续执行其新拟订的《风险管理手册》(第111段)； 正在进行。已执行了大部分控制措施，现正作出努力以执行其余的控制措施。《风险管理手册》是一分活文件，每季度都会更新。执行工作是一个持续过程，目标是执行所有控制措施。《风险管理手册》规定的某些控制措施是人工措施，需等待资源分配；其他的是自动化措施，需等待基础设施的现代化。等到达这些里程碑时，这些控制措施就将得到执行。","(u) 投资管理司进行一次逐案审查，以查明与2008-2009 年所有已实现投资亏损以及当前仍在持续的未实现亏损的头寸有关的可汲取的经验教训(第112段)； 投资管理司回顾了2008年的灾难性事件，并注意到长期过度宽松货币政策构成的风险。投资管理司已对超过25%的未实现收益和亏损执行了每周和每季度的正式合规和投资审查。","(v) 投资管理司用表格分别列出出售投资的收益和亏损，并披露截至资产债务表日期的所有未实现收益和亏损，以在财务报表中对投资作出清楚说明和披露(第113段)； 已执行。在投资管理司于2011年3月11日提交给基金秘书处的2010年财务报表附注中已这样做了。该司将进一步就这类披露问题与公共部门会计准则咨询师进行协商。","(w) 鉴于监督厅的审计结果反映出投资合规方面存在重大缺陷，投资管理司要处理好余留的待执行或执行中的建议(第117段)； 已执行。投资管理司于2009年10月雇用了一名合规事务干事，从而在合规方案方面取得了重要进展。执行了新的政策，包括有关个人交易、礼品和招待，以及强制性休假的政策。其他政策尚在等待审查和验收。该司的风险和合规事务科使用风险和合规手册及各种自动系统，监测基金投资，以确保该司的政策和标准得到充分监督和强制性执行。处理和落实了监督厅的多项建议。现在有一个正式的程序，用于及时监测和处理监督厅的建议。开设了对该司工作人员的培训班，其中一个班与道德操守办公室合办。风险和合规事务科已确认，目前不存在蓄意或经常违反该司政策或程序从而可能给养恤基金、其声誉、参与人或受益人造成财务损害的情况。","(x) 基金在财务报表附注中更好地披露主要精算假设和与服务终了负债估值有关的变动情况(第124段)； 就2009年而言，基金列入2009年精算估值作为财务报表的组成部分。此外，基金第一次在财务报表正文里记录了离职后健康保险和与服务终了有关的负债。","(y) 基金应当为与服务终了有关的负债制订一项筹资计划，供其理事机构审议(第131段)； 暂缓执行。任何筹资计划都将要求联合国为具体部分提供三分之一的资金。暂缓执行该建议，以等待联合国秘书处提出这样一个计划。","(z) 基金在执行公共部门会计准则时考虑修订其年假负债估值政策(第139段)； 基金正在与联合国和公共部门会计准则工作队讨论，以决定是将年假作为当前债务还是作为精算估值处理。","(aa) 基金采取措施确保及时和定期进行库存实物盘点并将盘点结果与资产登记册核对(第144段)； 每12个月就进行一次100%的库存检查。因为将从2012年开始执行公共部门会计准则，因此从2011年开始，这些检查将从每一年的第四个季度展开。此外，以后将保留有关这类检查的签字证明。","(bb) 基金从联合国财产管理和库存管理股取得库存报告，并取得对ProcurePlus 系统的充分行政访问权，目的是更新所有资产和取得库存报告(第145段)； 每月都收到财产管理和库存管理股的库存报告。基金在2010年9月30日的备忘录和2010年10月15日的后续备忘录中向中央支助事务厅要求Procure Plus的访问权，现仍在等待答复。","(cc) 基金秘书处制订一份人力资源计划(第149段)； 基金起草了一份人力资源计划并于2010年7月提交养恤金联委会第五十七届会议。","(dd) 基金秘书处考虑采取办法，加强以留用退休人员情况作为衡量依据的更替规划(第153段)； 在与方案经理的协商下正不断发展和更新基金的培训和发展平台，包括在线学习。利用退休工作人员的专门知识来协助这一进程。又请见首席执行干事于2010年4月15日提交审计委员会的备忘录第8段。","(ee) 鉴于监督厅的建议反映出在人力资源管理方面存在重大缺陷，基金应处理好监督厅的建议(第158段)； (a) 基金坚持执行工作人员条例5.1所规定的年假政策：“应允许所有工作人员享受适当的年假”和《工作人员细则》第105条。基金管理部门鼓励担负财务责任的人员每年不间断地休两星期年假。对投资管理司的工作人员而言，这是强制性的。","(b) 执行办公室以人工方式每月编制人员配置表，并与综合管理信息系统(综管系统)进行核对。","(c) 已建立了一个追踪系统，以监测工作人员的征聘情况，并将用于为征聘流程的每一个阶段制定基准。在基金拥有足够数据以计算自己的基准之前，将使用联合国的120天基准。鼓励负责征聘的经理仔细审查申请人，以实现性别均等。","(d) 必须由主管为工作人员提出综管系统的功能包，并由执行办公室审查及作出相应授权。未经首席执行干事批准，执行办公室之外的工作人员无权使用综管系统的人力资源功能。","(e) 在新的合同框架内，超过退休年龄的在职工作人员现在置于“临时”类别之下。2009年1月发布的总程序为临时工作人员的工作计划及之后对他们的考绩工作提供了一个附件，由主管和经理负责完成。","(f) 主管与部门负责人和工作人员协商，在电子考绩报告里明确确定并记录每一个工作人员的培训需求。各部门将监测或继续监测执行情况。","(g) 将继续进行合规监测，并向各部门负责人提供统计反馈和个人反馈，重点放在是否及时完成电子考绩报告上。","(ff) 基金秘书处应核对成员组织的月度缴款并及时跟进未能调节的项目(第162段)； 在目前条件下，进行月度调节是不可行的。但刚展开一个试验性计划，以对一个可做月度调节的系统进行测试。","(gg) 基金秘书处建立系统，以核实成员组织在年终结算前所提供信息的精确性，确保在财务报表定稿之前进行对账并核实对账结果(第167段)； 在2009财政年度展开了一个试验项目，并在2010年加以扩大，取得了积极成果。年底文档的自动文档转移和编辑检查功能提高了报告的精确性，减少了基金的手工工作量。","(hh) (a) 将基金与其参与人和受益人的所有正式函件系统性地上载和扫描至内容管理系统的适当文档之内的做法是标准做法。这包括发送出去以澄清签名不一致问题的后续信函。如果在文档中找不到这类文件，那就是例外，是疏忽造成的。 基金秘书处在应享权利证明表中的签名与原有签名不同的情况下，将与受益人进行后续核实的证据上载到内容管理系统中；遵守第2001-68号总程序的要求，即所有能够取得的受益人签名数字图像均应输入内容管理系统(第174段)；","(b) 正如上文所解释的，标准做法是，将与基金受益人和参与方的文档相关的所有文件上载至内容管理系统。文件遗失是疏忽造成的，是例外。","(ii) 基金秘书处改进转移个案的总体处理时间，以达到六个月的处理时间目标(第180段)； 基金已处理了以前积压的转移个案，当年造成积压的原因是基金精算咨询人遇到长时间延误，以及事关某些个案的政策问题，在最后完成转移之前必须厘清这些政策问题。目前长期未决的个案很少，没有一个个案超过50天。因此，所有这些个案都达到了个案处理基准。","(jj) 基金秘书处实施程序，定期在养恤金管理系统薪资单和Lawson系统(总分类账)之间进行调节(第184段)； 财务科正考虑在2011年为这类调节拟订一份COGNOS报告。","(kk) 基金秘书处制定并核准全面的用户账户管理程序，以确保适当管理用户账户；实施定期监测用户账户有效性的程序(第188段)； 进行中。信息管理系统处引入了一项“访问、系统和数据权限”政策，以落实账户管理程序。在系统中引入了以群体为基础的角色，在主管提出要求时可通过这类角色限定访问权限。通过使用“积极通讯录政策”和“单点登录”程序在这些系统中执行了密码重置和安全参数设置。由于养恤金管理系统的限制，在这些老化的系统中引入“定期记录和系统活动审查”功能被认为是不可行的；因此，对即将用来更换的综合养恤金管理系统而言，这些功能是必须要具备的。","(ll) 基金秘书处审查更改请求和服务请求程序，以考虑到审计委员会指出的需要改进的方面(第193段)； 建议结案。信息管理系统处审查了更改请求和服务请求程序，更新了更改请求工具，以列入一个字段，显示在要求测试和批准执行时是否要求同时提供文件。","(mm) 基金秘书处监测遵守更改控制程序的情况，并保持适当的更改控制管理文件记录(第195段)； 建议结案。信息管理系统处已执行了更改管理政策并建立了一个用于批准和追踪的全面自动系统。各项流程已经到位。该处和主管们目前正每日监测遵守更改控制程序的情况，并强制执行一项有关记录在执行前进行的任何和所有更改的政策。","(nn) 基金秘书处执行信息技术质量保证职能，确保建立和保持一定程度的信任；执行控制措施，防止程序分析员使用数据库管理员的用户名和密码(第202段)； 建议结案。信息管理系统处尽管拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过修改请求流程记录每一个步骤(例如，分析师、开发人员、迁移等)，从而确认和监测了该处责任分离政策的适当执行情况；修改请求流程需经两个人审查：第一核签人和第二核签人。已作出更改，如此数据库管理员的用户名和密码只提供给数据库管理员。","(oo) 基金秘书处审查程序分析员的使用权是否适当，特别注意生产环境的进出，并制定程序，对需要进出生产环境的情况进行管理(第204段)； 建议结案。尽管信息管理系统处拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过确保将与分析/开发和移动到生产有关的任务分派给两个不同的人的做法维持责任分离。此外，系统修改计划已经到位，以管理和监测这个流程。","(pp) 基金秘书处确保在经测试及核准的更改从开发环境转入测试环境以及从测试环境转入生产环境的过程中，各种责任分离得当(第206段)。 建议结案。尽管信息管理系统处拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过确保将与开发、测试和移动到生产有关的任务分派给不同的人的做法维持责任分离。此外，系统修改计划已经到位，以管理和监测这个流程。","附件一","联合国工作人员养恤金联合委员会关于2010-2011两年期订正预算估计数和2012-2013两年期预算估计数的讨论","基金的行政事项","(a) 2010-2011两年期订正预算估计数","1. 联合国合办工作人员养恤基金秘书处提请，相对于订正批款176 318 500美元，将2010-2011两年期预算估计数减少21 772 800美元。因此，2010-2011两年期最后订正批款为154 545 700美元，其中21 508 700美元由联合国按照费用分摊安排支付。","(b) 2012-2013两年期预算估计数","2. 2012-2013两年期拟议预算估计数编列了215 999 100美元用作核定支出 (重计费用前)，而2010-2011两年期的核定支出总额为176 318 500美元。预算报告列报了行政费用101 768 500美元、投资费用111 282 400美元、审计费用2 748 200美元、联委会费用200 000美元。此外，该估计数还为一个离职后健康保险预算外员额编列了152 900美元的费用，并为紧急基金编列了不超过200 000美元的费用。","行政费用","3. 行政费用项下拟议预算重计费用前总额为101 768 500美元，比2010-2011两年期批款增长10.2%，比2010-2011两年期订正预算估计数增长26.5%。","4. 关于行政费用，秘书处强调说，尽管养恤金综合管理系统项目费用估计数总额保持未变，但由于执行战略的改变，原先的时间表发生了变化，因此该项目2010-2011两年期支出出现节余，继而在2012-2013两年期预算中请批这项资金。此外，按照秘书处的中期人力资源战略计划，拟请增设16个常设员额，改叙3个员额，列示如下：","新员额","数目 职类/职等 职衔 \n 数目 职类/职等 职衔 \n 1 D-1 技术评价和风险管理主任 \n 1 P-5 客户服务、记录管理和分发股股长 \n 1 P-3 记录管理和分发组组长 \n2\t一般事务(其他职等)\t福利助理\n 1 P-4 会计，公共部门会计准则专家 \n 1 一般事务(特等) 高级会计助理 \n 1 P-4 会计 \n 1 P-5 安保主任 \n 1 P-5 企业架构主管 \n1\t一般事务(其他职等)\t法律助理\n 1 P-4 财务和预算干事 \n 1 P-3 人力资源/训练干事 \n 1 一般事务(特等) 人力资源助理 \n1\t一般事务(其他职等)\t差旅助理\n 1 一般事务(特等) 高级设施管理助理 \n 改叙 \n 1 P-4至P-5 支付股股长 \n 1 P-4至P-5 出纳员 \n 1 P-5至D-1 首席法律干事","投资费用","5. 投资费用项下拟议预算重计费用前总额为111 282 400美元，比2010-2011两年期批款(81 197 500美元)增长37.1%，比2010-2011两年期订正预算估计数(71 289 000美元)增长56.1%。","6. 在投资费用项下，秘书长代表请批的资源包括下表列示的20个增设员额和以下各项所需追加资源：为落实领导基金所涉投资组合管理领域的订约承办事务；小盘股增加；总账管理人；信息技术项目。","新员额","数目 职类/职等 职衔 \n 1 P-5 高级法律干事 \n 1 P-4 投资委员会秘书 \n 1 P-5 高级投资干事——外部管理 \n 1 P-4 投资干事——固定收入和外币 \n 1 P-4 投资干事——另类投资 \n 1 P-4 投资干事——全球新兴市场 \n 1 P-4 投资干事——交易执行干事 \n 1 P-3 投资干事——北美股票 \n 1 P-3 投资干事/分析员——房地产 \n1\t一般事务(其他职等)\t交易执行助理\n 1 P-4 尽责和定量战略风险管理人 \n 1 P-3 合规分析员兼业务风险管理人 \n1\t一般事务(其他职等)\t风险与合规主任助理\n 1 P-4 会计和报告主管 \n 1 P-3 财务干事，调节 \n 1 D-1 首席信息技术干事 \n 1 P-4 数据管理干事 \n 1 P-3 信息安全干事 \n 1 P-3 调节管理员 \n1\t一般事务(其他职等)\t行政助理","审计费用","7. 基金请批外部审计费用74 700美元，内部审计费用1 973 500美元，共计2 748 200美元，净增长103 200美元。其中113 500美元为外聘审计人费用。","养恤金联委会费用","8. 请批费用共计200 000美元，用于两届联委会会议的费用以及主席和遴选委员会征聘下一任首席执行干事所需差旅费。","预算外资金","9. 请批预算外资源152 900美元，用于1个一般事务(其他职等)员额，该员额由参与离职后健康保险计划的成员组织供资。","紧急基金","10. 为紧急基金请批不超过200 000美元的补充数额。","预算工作组","11. 预算工作组提出并经联委会核可的评论意见和建议列述如下。","12. 按照联委会第五十七届会议所作决定，预算工作组于2011年7月6日开始工作。","13. 工作组原先经联委会同意的组成有所改变，更换了一名行政首长组代表和一名参与人组代表。工作组的最后组成如下：","J. Forest(国际电信联盟)女士，代表理事机构","G. Kuentzle先生(联合国)，代表理事机构","Y. Mortlock女士^(*) (国际移徙组织)，代表行政首长","S. Van Buerle女士(联合国)，代表行政首长 (当选为主席)","H. Baritt先生^(*) (世界卫生组织)，代表参与人","C. Santos-Tejada先生(联合国)，代表参与人","A. Castellanos del Corral先生(退职国际公务员协会联合会)，代表养恤金领取人","T. Teshome先生(退职国际公务员协会联合会)，代表养恤金领取人","^(*) 新成员。","14. 工作组面前有下列文件：养恤基金实施国际公共部门会计准则(公共部门会计准则)的情况；2010-2011两年期订正预算估计数；基金2012-2013年期间战略框架；2012-2013两年期预算估计数。工作组与秘书处和投资管理司进行了有意义的互动，从中获得了助益。","2010-2011两年期执行情况报告","15. 如联委会第五十五届会议报告(A/63/9)第195段及其第五十七届会议报告(A/65/9)第137段所述，联委会决定，养恤基金秘书处应每年在方案预算执行情况报告中向联委会提供关于核定预算与实际支出之间的预算差异的详细分析。工作组注意到部分信息已经提供，但认为未来的执行情况报告应按各类支出的主要用途提供更详尽的差异细目。工作组还指出，公共部门会计准则要求对预算与实际支出之间的差异作出说明，这样做可以改善联委会对未来预算报告的审议。而且，如果项目或举措的实施方法、战略等方面的改变对这一时期的工作方案有较大影响并因此影响到支出数额，也应对这一点作出充分的说明。特别指出的是，某些预期的两年期间支出节余实际上是将所需资源改为划入了下一个预算期，这种情况应在新的预算报告中列明，以便审查请批的数额，特别是为养恤金综合管理系统项目请批的数额。","16. 在这方面，工作组认为，为特定两年期拟定的资源原则上应该用于该两年期间的核定用途。工作组还注意到，投资管理司的“订约承办事务”一再出现支出节余。工作组表示赞赏该司努力以注意成本的方式行事，并鼓励继续如此行事，以便使预算估计数更符合实际执行情况。","2012-2013年期间战略框架","17. 工作组确认，为改进基于成果的列报做法进行了持续努力，特别是列报了更突出重点的目标、预期成绩和绩效指标。工作组建议，基金后勤框架的拟定应该符合SMART原则——具体、可计量、可实现、切实可行、有时限，以便联委会有效评价基金在实现预期成果方面的执行情况。工作组指出，战略框架需要根据即将对2012-2013两年期预算作出的决定进行修改。","18. 此外，工作组还指出，按照联合国的既定预算流程，战略框架本应在非编制预算年提交联委会，以便联委会就优先事项和工作方案为基金提供相关指导，作为拟定下一个财政期预算的基础。由于这是联委会作出要求提交战略框架的决定之后第一个提交战略框架的年份，因此确认，规定的周期将从2012年开始实行，届时应向联委会第五十九届会议提交2014-2015 年期间战略框架。","2012-2013两年期预算估计数","19. 在审查拟议预算以及基金各利益攸关群体提出的关切问题时，工作组所遵循的原则是，必须确保基金任务的执行工作达到最高的效率、最大的效益和最强的成本意识，特别侧重于通过各种举措增加收益、减少风险和(或)为各利益攸关群体提供更好的服务。最重要的是，工作组审查了为寻求更多资源所提出的理由。对于其中几种情况，工作组认识到，公共部门会计准则、养恤金综合管理系统以及其他举措的影响和意义尚未得到全面了解。此外，工作组认为，在首席财务干事(尚待征聘)能够表达他或她对人员配置结构的看法之前，寻求增加资源还为时过早，这些追加资源会锁定人员配置结构。工作组还认为，通过加强纽约与日内瓦之间的业务整合，可以实现进一步的协同作用。首席执行官向工作组报告说，正在考查各种外包机会。工作组建议，为了实现更高的行政成本效益，应该更仔细地审查各种离岸化和外包选择，特别是在当期租约即将到期的情况下这样做。","20. 另外，工作组充分认识到各参与组织和会员国面临的财政状况，特别指出它们需要实现效率更高、效益更大的方法来交付工作成果。就养恤基金而言，工作组注意到拟议预算具有扩张性，而且在很大程度上取决于养恤金综合管理系统(尚在进展中的项目)的未来预期效益，因此要求进一步说明基金已经采取或者可以采取哪些行动，以改善工作、提高效率并节省费用，包括该项目将会带来的人员配置结构变化。","21. 预算工作组认识到，参与人人数不断增长，过去10年来增加了4.2%。同一时期，管理参与人的复杂性也大大提高，主要是因为基金的养恤金调整系统相关条款的数目增加。","22. 过去几年来，基金的预算也出现前所未有的增长。2012-2013年2.16亿美元的拟议预算比2010-2011年预算(核定1.763亿美元)增加了23%，比2008-2009年1.282亿美元的预算增加了68%。","23. 为了更有效地评价总体行政预算，工作组审查了“每个参与人”费用(总费用除以参与人人数)。计算包括了通货膨胀调整，结果表明，过去10年来，每个参与人的年均管理费用为197美元。2.16亿美元的拟议预算等于每个参与人248美元，增加了26%。","经通货膨胀调整后的每个参与人费用","(美元)","[]","24. 首席执行干事向工作组确认，行政部门使用了若干主要业绩指标，以跟踪基金的效益和效率。工作组建议，基金应努力将未来的拟议预算同这些指标联系起来。","预算列报和方法","25. 联委会第五十七届会议决定，未来的拟议预算文件应在联委员届会90天以前提交，决定工作组赞赏地注意到该决定完全得到了遵守。这为预算工作组及早审查提供了便利。工作组注意到，已经尽力使所提交文件中的列报内容与联合国使用的方法相一致。","26. 然而，工作组普遍认为，基金需要修改其预算文件中的列报内容，应该更清楚、更简要地说明各项变化的理由，以便联委会作出决定。对文件进行质量审查也会有助于去除前后不一之处，并确保以汇总方式列报交叉性举措，适当使用图表，以便于对各项举措的理解。此外，如联委会先前建议的那样，基金应继续确保与联合国的预算列报方法更为一致，特别是区分增长造成的变化和费用计算参数变更造成的变化，费用计算参数系指货币、通货膨胀或标准薪资费用。","27. 工作组关切地注意到，某些职能和服务的整合与合并很少取得或没有取得进展，这些职能和服务仍然倾向于使用各自为政的业务方法；同样，在后台任务方面，为实行节省成本的举措做了哪些工作，这一点也不清楚。联委会不妨考虑请首席执行干事和秘书长代表共同研究可选办法，并提交未来的联委会届会。","信息技术","28. 工作组注意到，基金为信息系统科和信息管理系统处请批6 600万美元经费，用于信息技术相关活动。这一经费数额也许最后会证明是合理的，但是，鉴于提交联委会的拟议预算越来越复杂，不妨结合预算编写一份简明、全面、综合的信息技术战略并提交联委会第五十九届会议，该战略应包括基金有关业务领域的独立信息技术专家所作的鉴定。","29. 在这方面，工作组注意到，基金在很大程度上依赖国际电子计算中心。特别是，在提及该中心的预算时，工作组了解到，养恤基金是该中心服务的第二大用户，仅次于外勤支助部。工作组获悉，由于该中心的性质，它的服务没有进行竞价投标，因此令人疑虑这是不是满足基金的需要而不损害数据安全或保密性的最具成本效益、最经济合算的办法。同时，工作组在同基金代表进行访谈时注意到，基金通过该中心分开配备工作人员，有大约13名通过订约承办事务聘用的工作人员，其职等从一般事务(其他职等)到P-5不等，有些人员自2004年以来一直受聘。","公共部门会计准则","30. 工作组高兴地听到首席执行干事报告说，公共部门会计准则项目已取得良好进展，基金很有可能按期完成任务。其余有关固定资产和雇员福利的问题看来已得到妥善处理。秘书处和投资管理司现有财务人员熟知公共部门会计准则的各项标准。工作组认为，长期而言，公共部门会计准则将被纳入各级财务管理职责，与联合国系统会计准则的实施方式大体相同。","31. 工作组认为，没有必要设立两个专门负责公共部门会计准则的新员额，更适当的是提供一些短期咨询资金，用于协助处理财务报表、减值测试和政策文件。","养恤金综合管理系统","32. 就养恤金综合管理系统而言，工作组欢迎首席执行干事确认将养恤金综合管理系统项目作为最高优先事项。工作组指出，养恤金综合管理系统将从根本上把组织办法从个案驱动变为程序驱动。工作组回顾说，该系统的目的是提高效率并更好地提供服务。在这方面，工作组认为，对所有现行相关程序的审查和适当改进必须成为整个养恤金综合管理系统改革管理过程的固有组成部分。工作组还鼓励基金确保该项目并不主要由信息技术驱动，因为实质性领域的全面自主是不可或缺的。","33. 工作组建议，联委会应该要求提交一份报告，说明基金在实施养恤金综合管理系统之后的预期组织结构，供联委会第六十届会议结合下一次预算报告进行审议。该报告还应包括对所有因实施该系统而受影响的员额的战略评价。","34. 2010年，基金扫描了639 499份文件，共1 120 602页。养恤金综合管理系统意在取代应享权利、会计和文件管理系统。工作组注意到，在该项目中，看来已为会计和应享权利分配人员配置资源，但没有专为文件管理分配具体资源。工作组鼓励基金监测该项目所需的各种技能，确保资源分配到位，解决文件管理问题。","35. 目前的预算包括支持遗留系统所需要的额外订约承办事务和其他费用，而遗留系统将被养恤金综合管理系统取代。首席执行干事保证，新系统将按项目时间表和预算完成，也可能会低于预算。","36. 养恤金综合管理系统项目将对提供服务产生重大影响。因此工作组建议，在下一次预算报告中应提供一份订正组织结构图。","拟议资源","员额","37. 按照上文第19段所述原则和标准，并经过有行政和管理人员参与的一系列协商，工作组着手对员额进行了如下审查。基金总共请设3个改叙员额(3个秘书处员额)和36个新员额(16个行政部门员额和20个投资管理司员额)。经过审查每个员额并同秘书处和投资管理司对话，工作组提出以下意见：","(a) 不支持拟议的改叙；","(b) 支持在投资管理司设立7个新员额，如表1所列；","(c) 支持设立表2所列一般临时职位(并非原先请设的员额)；时间和目的如该表所示；","(d) 不支持在基金执行办公室设立新的P-4财务和预算干事员额。根据所提供的说明，现有P-3财务和预算干事员额的职能复杂程度有所增加，因此工作组支持将该员额改为P-4职等。","表1","款次 员额 员额数目 职类 \n B. 投资 \n 工作方案 \n 投资 投资干事——另类投资 1 P-4 \n\t投资干事——全球新兴市场\t1\tP-4\n 投资干事——交易执行 1 P-4 \n 投资干事——北美股票 1 P-3 \n风险与合规\t尽责和定量战略风险管理人\t1\tP-4\n 业务 财务干事，对账 1 P-3 \n 方案支持 \n 信息系统 数据管理干事 1 P-4","表2","款次\t一般临时人员职位\t数目\t职类\t备注 \n A. 行政 \n 工作方案 \n业务\t记录管理和分发主管(信息管理干事)\t1\tP-3\t24个月非经常职位\n\t客户服务福利助理(纽约)\t1\t一般事务(其他职等)\t24个月非经常职位\n B. 投资 \n司长办公室\t法律干事/法律室^(a)\t1\tP-4\t12个月非经常职位\n 工作方案 \n业务\t会计和报告主管\t1\tP-4\t仍在一般临时人员项下，不改为员额\n 方案支助 \n信息系统\t静态数据管理员\t1\tP-3","^(a) 提供服务所需资源将从法律室调拨。","行政","38. 在信息管理系统处项下，经过与基金讨论在持续需要用专职能力实施养恤金综合管理系统的情况下如何排定信息技术项目的优先次序问题，工作组不支持“综合管理举措”，并建议将预算减少2 543 300美元(重计费用前)。这将使行政预算有必要地减少订约承办事务(1 133 300美元)以及家具和设备(1 410 000美元)的费用。","临时员额","39. 工作组支持为养恤金综合管理系统项目续设17个临时员额，其职等如下：1个P-5，7个P-4，4个P-3，5个一般事务(其他职等)。","其他工作人员费用","40. 工作组同意其他工作人员费用项下请批的数额，该数额因业务/行政项下核准的2个一般临时人员职位所需追加资源而作了调整，如表2所列。","咨询人","41. 工作组支持请批的数额，共计300 000美元(重计费用前)。","差旅","42. 工作组建议订正批款数额减少10%。","订约承办事务","43. 工作组支持请批的数额，该数额因综合管理举措项目请批资源未获核准而作了调整。","招待费","44. 维持订正批款数额。","一般业务费用","45. 工作组同意行政项下请批的数额。工作组注意到一般业务费用有所增加，原因是300万美元的银行手续费。这项费用比上一个两年期增加了约50万美元。工作组请基金审查银行业务机制，力求减少这些费用。下一次提交预算时应提供一份简要报告。","用品和材料","46. 工作组支持请批的数额。","家具和设备","47. 工作组支持请批的数额，该数额因综合管理举措项目请批资源未获核准而作了调整。","48. 表3汇总列示上述关于行政部门非员额项目的建议。","表3 (千美元)","其他工作人员费用 3 910.3\n 咨询人 300.0","差旅 1 224.5","订约承办事务 31 847.9","招待费 4.0","一般业务费用 14 248.0","用品和材料 185.8","家具和设备 2 011.0","非员额资源共计 53 731.5","投资管理司","其他工作人员费用","49. 工作组建议按订正批款数额批拨资源，该数额因增设2个一般临时人员职位所需追加资源(非经常资源，为1个P-4法律室法律干事供资12个月，为1个P-4会计和报告主管供资24个月)而作了调整，如表2所列。","50. 此外，工作组同意投资管理司设立一个P-2风险与合规执行情况分析员和一个P-3静态数据管理员，在其他工作人员费用项下核定总资源范围内安排(如表3所列)。","咨询人","51. 根据对公共部门会计标准所需总资源的审查，工作组建议将所需资源估计数500 000美元减少到250 000美元。因此，咨询人项下经费为1 177 000美元(重计费用前)。","差旅","52. 工作组建议维持订正批款数额。","订约承办事务","53. 在订约承办事务项下，工作组目前不支持为领导基金请批的11 250 000美元数额。工作组认为，批拨这一数额等于改变投资战略，但这种改变应在联委会届会上讨论并得到投资委员会的明确支持。","54. 此外，工作组获悉，最近的保管人/总账管理人服务合同谈定费用低于预期数额，因此建议将该项支出减少4 138 300美元。","招待费","55. 工作组建议维持订正批款数额。","一般业务费用","56. 工作组同意请批的数额。","用品和材料","57. 工作组建议维持订正批款数额。","家具和设备","58. 工作组建议维持订正批款数额。","59. 表4汇总列示上述关于投资管理司非员额项目的建议。","表4","(千美元)","其他工作人员费用 2 892.2\n 咨询人 1 177.0","差旅 2 000.0","订约承办事务 62 532.1","招待费 22.0","一般业务费用 4 485.1","用品和材料 160.0","家具和设备 700.0","非员额资源共计 73 968.4","养恤金联委会费用","60. 工作组完全支持请批的作为联委会费用的经费。","预算外资金","61. 工作组支持由参加计划的各成员组织出资的一名一般事务(其他职等)工作人员的经费。","联委会的讨论情况","62. 联委会赞赏地注意到按照要求在大会开始前90天提交了预算文件，使得预算工作组可以对文件进行详细审查。","63. 行政首长支持工作组的工作成果并欣见列报的预算符合国际公共部门会计准则第24条，而且是在联委会要求的时间范围内编制完成。行政首长关注的一点是，拟议预算中提供的信息有不准确之处，使得工作组进行的分析和联委会的审议工作变得更加复杂。行政首长建议应酌情彻底利用比率进行分析。行政首长还指出以往期间核准的预算未全部支出。","64. 各理事机构核准了工作组的建议。理事机构建议在今后的会议上，应更早提交文件，同时附上主要官员的前言说明，以便为工作组的审议提供更全面信息。","65. 参与人小组支持工作组提出的建议并注意到各项资产负债管理研究建议基金资产实现多样化并寻求投资于另类资产。参与人小组忆及以往大会会上提出的尽可能审慎行事的建议。参与人小组还忆及预算制约不应阻碍专业进展。","66. 退职国际公务员协会联合会支持工作组的结论并向工作组表示感谢。","67. 该联合会进一步指出，应在必要时根据通货膨胀和货币影响调整参照基数，在厉行节俭的大环境下，应在诸如差旅和信息技术等项目方面视可能寻求减少费用，而且请批的预算应与战略目标密切相关。应尽早事先说明养恤金综合管理系统的任何系统变化可能对成员组织产生的影响。","68. 联委会成员还指出：","(a) 基金在为订约承办事务编制预算时应审视采用的方法和所做的假设；","(b) 预算工作组报告中所载表格列出了每个参与人的费用趋势，这一做法很有用，可以作为基金进行进一步分析的一个模式。","69. 秘书长的代表向联委会提交了一份说明，其中警告说，因在投资管理方面节省开支，失去了投资回报，由此造成的机会成本可能远超表面的节省。作为基金的受托人，秘书长的代表正式提出他的忧虑和关切，即投资管理司的资金结构性不足，导致一个无法接受的风险，即今后无法带来适当回报，无法支持现有和预期负债。","70. 首席执行干事感谢工作组并对工作组支持包括养恤金综管系统和公共部门会计准则在内的主要项目表示感谢。首席执行干事还提及工作组报告中列出了每名参与人费用的示意图，进一步澄清说，每次每名参与人费用增加，都是由于举办了某个项目，项目结束后每名参与人费用又会下降。他举例说，2004年费用突然上涨是由于养恤基金从联合国秘书处大楼搬迁到了达格·哈马舍尔德广场1号,2012-2013年费用猛涨是由于建立养恤金综合管理系统，其中包括项目结束后就将取消的17个临时员额。","71. 副首席执行干事确认，与养恤金综合管理系统项目相关的目标操作模式的目的和效益不变。出现变化的是新泽西北美数据中心项目所需新信息技术基础结构的地点。发现达格·哈马舍尔德广场1号数据中心存在严重弱点后，决定在北美数据中心安装项目的信息技术基础结构。副首席执行干事还指出，基金内的所有实务小组都参与了该项目，而且还成立了养恤金综合管理系统指导委员会。他确认，预计将按计划在预算内完成该项目。","联委会的建议","72. 根据工作组的建议，养恤金联委会核准拟议预算估计数194 164 000美元，其中包括行政费用(98 407 600美元)、投资费用(92 938 200美元)、审计费用(2 613 800美元)和联委会费用(204 400美元)，供提交大会。根据费用分摊安排，这笔款项中的173 260 600美元将分摊给养恤基金，20 903 400美元将分摊给联合国。","73. 此外，联委会核准使用156 800美元预算外资金用于根据一些成员组织的要求处理离职后健康保险费的付款。","附件二","联合国合办工作人员养恤基金：2010-2011两年期核定组织结构图","[]","缩写：ASG：助理秘书长；GS：一般事务；OL：其他职等；PL：特等。","^(a) 一个预算外一般事务(其他职等)员额由成员组织提供经费。","^(b) 授权参与养恤金综管系统项目的临时员额。","^(c) 授权2010-2011两年期参与信管系统处的2个P-4员额中的1人授权仅为12个月。2011年裁撤了这一员额，将信管系统处的临时P-4员额减为1人。","附件三","联合国合办工作人员养恤基金：2012-2013两年期拟议组织结构图","[]","缩写：ASG：助理秘书长；OL：其他职等；PL：特等。","^(a) 一个预算外一般事务(其他职等)由成员组织提供经费。","^(b) 授权参与养恤金综管系统项目的临时员额。","附件四","联合国合办工作人员养恤基金：截至2010年12月31日按成员组织开列的参加人数","[TABLE]","^(a) 2006年联合国的参加人数调降2人，从68 855人减至68 853人。","^(b) 《关税及贸易总协定》于1998年12月31日退出联合国合办工作人员养恤基金。","^(c) 国际刑事法院自2004年1月1日起成为基金的第20个成员组织。","^(d) 各国议会联盟自2005年1月1日起成为基金的第21个成员组织。","^(e) 国际移徙组织自2007年1月1日起成为基金的第22个成员组织。","^(f) 黎巴嫩问题特别法庭自2009年1月1日起成为基金的第23个成员组织。","[1] 据估计，在2012-2013两年期期间，预计将办理超过55 400项新参与人加入手续、离职手续以及进出基金账目手续；这涉及该部门开展的具体和可衡量的工作任务，比1998-1999两年期增加80%。","[2] 在约30年期间，共要支付的额外定期养恤金的总年金价值以及业务处每年计算、验证和备付的现金结算额估计近10亿美元。"],"string":"[\n \"第六十六届会议\",\n \"^(*) A/66/150。\",\n \"临时议程^(*) 项目133和134\",\n \"2010-2011两年期方案预算\",\n \"2012-2013两年期拟议方案预算\",\n \"联合国合办工作人员养恤基金的管理费用和按照国际公共部门会计准则提交基金财务报告的过渡措施\",\n \"联合国工作人员养恤金联合委员会的报告\",\n \"目录\",\n \"页次 \\n1.概述 4 \\n2.2010-2011两年期预算估计数：执行情况报告 4 \\nA.行政费用 7 \\nB.投资费用 12 \\nC.审计费用 16 \\nD.联委会费用 16 \\nE.预算外费用 16 \\n3.2012-2013两年期概算：成果预算框架和所需资源分析 16 \\nA.导言 16 \\nB.行政费用 25 \\nC.投资费用 48 \\nD.审计费用 64 \\nE.联委会费用 65 \\n4.紧急基金 66 \\n5.为在2012年1月1日前执行国际公共部门会计准则所建议的临时措施 66 \\n6.有待大会采取的行动 67 7.为执行审计委员会以及行政和预算问题咨询委员会的各项要求和建议而采取的 67 \\n后续行动总表 \\nA.行政和预算问题咨询委员会 67 \\nB.审计委员会 69 \\n 附件 \\n1.联合国工作人员养恤金联合委员会关于2010-2011两年期订正预算估计数和2012-2013两年期预算估计数的讨论 76\\t\\n2.联合国合办工作人员养恤基金：2010-2011两年期核定组织结构图 90\\t\\n3.联合国合办工作人员养恤基金：2012-2013两年期拟议组织结构图 91\\t4.联合国合办工作人员养恤基金：截至2010年12月31日按成员组织开列的参加 92 \\n 人数\",\n \"摘要 \\n本报告载列联合国合办工作人员养恤基金2010-2011两年期订正预算，其中显示批款减少21772 800美元。减少的是以下支出数额：行政费用(11 830000美元)、投资费用(9 908 500美元)和审计费用(112100美元)。养恤金联委会费用增加77800美元，部分抵消了减少的支出。因此，2010-2011两年期订正批款为154 545700美元，用作行政费用(80 478 500美元)、投资费用(71 289000美元)、审计费用(2 532 900美元)和联委会费用(245300美元)。根据费用分摊安排，其中21 508 700美元应由联合国分担。\\n本报告还载列2012年1月1日至2013年12月31日期间的预算估计数，数额为191620 600美元(重计费用前)，用作行政费用(96 873 100美元)、投资费用(91799 300美元)、审计费用(2 748 200美元)和养恤金联委会费用(200000美元)。本报告总共为227个连续性员额、17个临时员额、7个新设员额和1个员额的改叙提供费用。 所需资源 +---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------+\\t类别行政^(a,b)投资审计养恤金联委会共计\\t资源(千美元)2010-2011年92 308.581 197.52 645.0167.5176 318.5\\t2012-2013年(重计费用前)96 873.191 799.32 748.2200.0191 620.6\\t2010-2011年18858246\\t员额\\t2012-2013年18765252 ^(a) 由成员组织提供经费的1个预算外一般事务(其他职等)员额。 \\n^(b)包括18个养恤金综合管理系统临时员额；2011年裁撤了1个P-4职等员额。\",\n \"一. 概述\",\n \"1. 联合国合办工作人员养恤基金是大会1949年为向联合国和被接纳为成员的其他组织的工作人员发放退休金、死亡抚恤金、残疾抚恤金和有关补助金而设，目前共有成员组织23个。截至2010年12月31日，在职参与人和养恤金领取人合计184 968人。\",\n \"2. 根据大会通过的《条例》，基金由联合国工作人员养恤金联合委员会、每个成员组织的工作人员养恤金委员会、联委会秘书处和每个成员组织工作人员养恤金委员会的秘书处管理。养恤金联委会三分之一成员由大会和其他成员组织相应的理事机构遴选，三分之一由各行政首长遴选，三分之一由参与人遴选。联委会向大会报告基金的业务及资产投资情况。必要时，联委会建议修正《条例》，后者除其他外，规定参与人的缴款比例(目前为应计养恤金薪酬的7.9%)和各成员组织的缴款比例(目前为15.8%)、参与资格以及参与人及其受养人可能有权领取的养恤金。\",\n \"二. 2010-2011两年期预算估计数：执行情况报告\",\n \"3. 表1汇总了2010-2011两年期的支出估计数总额。为了使基金执行情况报告更有意义，本两年期支出由两个不同的部分组成：(a) 2010年1月1日至2011年5月31日17个月期间的实际支出；(b) 2011年6月1日至12月31日7个月期间的支出估计数。2011年1月1日至5月31日期间的实际支出是按权责发生制会计方法确定，意即交易和其他事项是于发生时在财务报表中予以确认，而不是于收到或支付现金或现金等价物时确认。\",\n \"4. 大会在第64/245号决议中核准为2010-2011两年期批款共计176 318 500美元，包括行政费用(92 281 400美元)、投资费用(81 292 000美元)、审计费用(2 645 000美元)和联委会费用(100 000美元)。在这笔批款中，154 749 100美元直接由基金负担，21 569 400美元由联合国分担。此外，还核准作为预算外费用的资源158 200美元，由若干成员组织提供。大会在第65/249号决议核可为满足基金的需要而调拨批款。订正批款包括行政费用(92 308 500美元)、投资费用(81 197 500美元)、审计费用(2 645 000美元)和联委会费用(167 500美元)。直接由基金负担的数额和由联合国分担的份额保持不变，分别为154 749 100美元和21 569 400美元。\",\n \"表1 按支出用途开列的2010-2011两年期订正估计数\",\n \"(千美元)\",\n \"核定批款 2010年1月1日至2011年 2011年6月1日至12月31日 2010-2011两年期的 2010-2011年 5月31日17个月期间的支出 7个月期间的支出估计数 增/(减) 拟议最后批款\\n 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计\",\n \"(a) (b) (c) (d)=(b)+(c)-(a) (e)=(a)+(d)\",\n \"行政费用\",\n \"员额 26 386.6 12 344.8 38 16 442.4 7 739.9 24 8 213.8 3 829.8 12 (1 730.4) (775.1) (2 505.5) 24 656.2 11 36 731.4 182.3 043.6 569.7 225.9\",\n \"临时员额 2 870.3 — 2 870.3 807.1 — 807.1 258.0 — 258.0 (1 805.2) — (1 805.2) 1 065.1 — 1 065.1\",\n \"其他工作人员费用 2 830.8 1 202.0 4 032.8 1 958.8 932.6 2 891.4 1 260.5 538.6 1 799.1 388.5 269.2 657.7 3 219.3 1 471.2 4 690.5\",\n \"咨询人 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (199.1) 338.5 — 338.5\",\n \"差旅 1 360.6 — 1 360.6 907.2 — 907.2 389.9 — 389.9 (63.5) — (63.5) 1 297.1 — 1 297.1\",\n \"订约承办事务 21 908.3 3 851.7 25 12 144.7 3 163.6 15 2 651.8 521.5 3 173.3 (7 111.8) (166.6) (7 278.4) 14 796.5 3 685.1 18 760.0 308.3 481.6\",\n \"招待费 4.0 — 4.0 4.3 — 4.3 1.0 — 1.0 1.3 — 1.3 5.3 — 5.3\",\n \"一般业务费用 9 581.6 3 220.1 12 6 703.9 3 125.8 9 829.7 4 442.8 712.1 5 154.9 1 565.1 617.8 2 182.9 11 146.7 3 837.9 14 801.7 984.6\",\n \"用品和材料 140.1 70.0 210.1 252.4 55.1 307.5 54.9 27.5 82.4 167.2 12.6 179.8 307.3 82.6 389.9\",\n \"家具和设备 5 560.0 440.0 6 000.0 481.5 114.1 595.6 2 078.5 325.9 2 404.4 (3 000.0) (3 000.0) 2 560.0 440.0 3 000.0\",\n \"共计 71 179.9 21 128.6 92 39 908.2 15 55 19 483.8 5 955.4 25 (11 787.9) (42.1) (11 59 392.0 21 80 308.5 131.1 039.3 439.2 830.0) 086.5 478.5\",\n \"投资费用\",\n \"员额 15 344.0 15 9 115.1 — 9 115.1 5 275.5 — 5 275.5 (953.4) — (953.4) 14 390.6 — 14 344.0 390.6\",\n \"其他工作人员费用 2 361.8 2 361.8 753.4 — 753.4 1 738.7 — 1 738.7 130.3 — 130.3 2 492.1 — 2 492.1\",\n \"咨询人 2 328.8 2 328.8 702.6 — 702.6 1 626.2 — 1 626.2 — 2 328.8 — 2 328.8\",\n \"差旅 2 000.0 2 000.0 1 100.6 — 1 100.6 610.4 — 610.4 (289.0) — (289.0) 1 711.0 — 1 711.0\",\n \"订约承办事务 52 878.9 52 32 839.7 — 32 11 594.0 — 11 (8 445.2) — (8 445.2) 44 433.7 — 44 878.9 839.7 594.0 433.7\",\n \"招待费 22.0 22.0 20.4 — 20.4 3.0 — 3.0 1.4 — 1.4 23.4 — 23.4\",\n \"一般业务费用 5 402.0 5 402.0 2 787.4 — 2 787.4 2 283.5 — 2 283.5 (331.1) — (331.1) 5 070.9 — 5 070.9\",\n \"用品和材料 160.0 160.0 53.8 — 53.8 105.8 — 105.8 (0.4) — (0.4) 159.6 — 159.6\",\n \"家具和设备 700.0 700.0 218.6 — 218.6 460.3 — 460.3 (21.1) — (21.1) 678.9 — 678.9\",\n \"共计 81 197.5 81 47 591.6 47 23 697.4 23 (9 908.5) (9 908.5) 71 289.0 71 197.5 591.6 697.4 289.0\",\n \"审计费用\",\n \"外部审计 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 551.0 110.2 661.2\",\n \"内部审计 1 653.2 330.6 1 983.8 821.4 164.3 985.7 738.3 147.7 886.0 (93.5) (18.6) (112.1) 1 559.7 312.0 1 871.7\",\n \"共计 2 204.2 440.8 2 645.0 1 066.0 213.2 1 279.2 1 044.7 209.0 1 253.7 (93.5) (18.6) (112.1) 2 110.7 422.2 2 532.9\",\n \"联委会费用 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3\",\n \"资源共计 154 749.1 21 569.4 176 88 765.2 15 104 44 271.8 6 164.4 50 (21 712.1) (60.7) (21 133 037.0 21 154 318.5 344.3 109.5 436.2 772.8) 508.7 545.7\",\n \"预算外费用(离职后医疗保险制度)\",\n \"业务活动 158.2 — 158.2 90.0 — 90.0 54.3 — 54.3 (13.9) — (13.9) 144.3 — 144.3\",\n \"5. 核准了以下用途的订正批款：\",\n \"(a) 行政费用：一般临时人员支出增加94 600美元，用以支付一个与实施国际公共部门会计准则(公共部门会计准则)有关的P-4职等员额的费用；\",\n \"(b) 投资费用：订约承办事务费用减少94 600美元。\",\n \"6. 2010-2011两年期支出总额估计为154 545 700美元，其中包括行政费用(80 478 500美元)、投资费用(71 289 000美元)、审计费用(2 532 900美元)和联委会费用(245 300美元)，由此导致节余21 772 800美元，相当于批款总额的12.3%。此外，预算外费用预计支出144 300美元，导致节余13 900美元，相当于批款的8.8%。\",\n \"A. 行政费用\",\n \"7. 行政费用估计为80 478 500美元，由此导致支出节余11 830 000美元，即12.8%。造成净节余的主要资源差异首先来自养恤金综合管理系统，原因是如第13至17段所述，对该系统的项目计划进行了改进，增加了新的基本活动，并安装了新的信息技术基础设施。养恤金综合管理系统项目是养恤基金的一个重大基本建设项目，因此，表2把2010-2011两年期的养恤金综合管理系统项目支出估计数与无关该项目的支出估计数着重分开列报。\",\n \"8. 与养恤金综合管理系统无关的主要资源差异包括：\",\n \"1. 员额—支出节余2 505 500美元\",\n \"9. 节余主要归因于两年期之初的平均空缺率较高。\",\n \"2. 其他工作人员费用—超支657 700美元\",\n \"10. 支出超过预期的主要原因是，参与人、退休人员和其他受益人增加，导致工作量增加，因此需要一般临时人员。\",\n \"3. 一般业务费用—超支2 182 900美元\",\n \"11. 支出超过预期的主要原因是估计为2 500 000美元的银行手续费。提交联委会的2010-2011年预算估计数报告在一般业务费用类别下列入了银行手续费估计数。联委会经过审议，在提交大会的预算报告中删除了这项费用(见A/64/291，附件七，第34段)。用于养恤金支付的2 500 000美元银行手续费是以2008-2009年执行期的实际手续费为依据。\",\n \"4. 2010-2011两年期举办的项目\",\n \"12. 以下摘要介绍了在2010-2011两年期举办的信息技术项目的详细情况。\",\n \"表2 2010-2011两年期项目情况\",\n \"(千美元)\",\n \"项目\\t预计/实际完成日期\\t批款\\t支出估计数\\t超支或(支出节余) \\n养恤金综合管理系统\\t2014年5月\\t14 361400\\t2 299 906\\t(12 061494)\\n成员组织信息共享举措\\t2011年12月\\t1 749773\\t1 749 773\\t－\\n客户服务举措\\t2011年12月\\t469 671\\t469 671\\t－\\n网络系统举措\\t2011年12月\\t1 709342\\t1 709 342\\t－\\n企业系统举措\\t2011年12月\\t1 063280\\t1 063 280\\t－\\n企业业务举措\\t2011年12月\\t1 031400\\t1 031 400\\t－\\n与投资管理处的信息技术合并举措\\t2011年12月\\t461 633\\t461 633\\t－\\n共计 20 846499\\t8 785 005\\t(12 061494)\",\n \"养恤金综合管理系统\",\n \"13. 2010-2011两年期，养恤基金继续执行该项目的主要基本任务，包括：(a) 为现有系统(养恤金管理系统和Lawson系统)建造一个全面的数据字典；(b) 为现有系统编制一份详细的数据分析报告；(c) 利用专门的“大宗”程序，并通过养恤金综合管理系统项目小组工作人员有关养恤金管理系统和Lawson系统数据库的工作来清洗数据；(d) 更新程序文件(以补充在项目的规划和设计阶段编制的流程图)；(e) 编制第一套计算公式，用以校准养恤基金的复杂和详细的计算基础，并准备由内部和外部专家在执行阶段予以签字批准；(f) 更新详细阐明现有系统与其他实体之间数据交换办法(界面)的技术文件；(g) 建立第一组详细的测试库，它们的范围将包括界面和计算结果。\",\n \"14. 这个项目开始了原计划没有考虑的两个附加举措。第一个举措是对项目第一阶段期间编制的需求说明进行一次广泛的自下而上的审查。在这一阶段对目标操作模型和项目范围进行了改进。扩大了新的功能要求和信息技术要求。最后的工作说明除了18项关键的高层面要求外，还考虑333项详细的功能规格和信息技术规格。\",\n \"15. 第二个举措与探索新技术有关，因为通过建立更好的界面的手段，能够(在养恤金综合管理系统与成员组织的人力资源系统和财务系统之间)使发薪系统无缝衔接，并能够更好地利用现有的数据库来使对缴款计算结果的核查自动化，同时建立其他数据质量规程。鉴于很多成员组织最近采取了过渡到企业资源规划平台的战略，养恤基金正在研究使用较新的技术建立共同界面的可能性。在联合国完成SAP软件的启用后，据估计96%的养恤基金参与人的数据将在一个企业资源规划平台下维护。这项举措与养恤金综合管理系统的发展密切挂钩，因为经过修订的规格考虑到：(a) 需要实现发薪系统之间的无缝衔接；(b) 对共同企业资源规划界面进行高效率利用的工具；(c) (为那些没有企业资源规划平台的组织)开发一个网络入口系统。\",\n \"16. 这两项附加举措产生了更详细的规格，它们将更准确和更有效地指导参数化和建立功能的过程。这将改进新系统，在启用之后进行改动时节省时间和资源。此外，养恤金综合管理系统项目将力求尽早使自己的数据要求与成员组织的企业资源规划系统所产生的数据相协调。很自然的是，综合管理系统的成功将与养恤基金成员组织所提供的人力资源数据和财务数据的质量、及时性和可取得性密切相关。\",\n \"17. 虽然养恤金综合管理系统项目的22 660 300美元(重计费用前)总费用估计数保持不变，但项目计划中增加了新的活动，并(根据联合国采购司的建议)对采购程序进行了重大修改，以纳入一个分为两个阶段的评价内容。由于这些改动，延长了原来的时限，估计的支出时间也作了相应调整。表3着重显示了2010-2011两年期的支出估计数和项目总费用估计数。\",\n \"表3 养恤金综合管理系统所需资源汇总\",\n \"(千美元)\",\n \"2010-2011两年期 2012-2013两年期 2014-2015两年期 项目共计\\n 行政费用 核定批款 支出估计数 增加/(减少) 拟议最后批款 申请批款 估计批款 估计批款\",\n \"临时员额 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6\",\n \"差旅 84.8 84.8 — 84.8 — — 84.8\",\n \"订约承办事务 8 406.3 1 150.0 (7 256.3) 1 150.0 11 966.3 3 765.6 16 881.9\",\n \"家具和设备 3 000.0 — (3 000.0) — — — —\",\n \"行政费用共计 14 361.4 2 299.9 (12 061.5) 2 299.9 15 637.1 4 723.3 22 660.3\",\n \"家具和设备—支出节余3 000 000美元\",\n \"18. 支出低于预期的原因是，由于在达格·哈马舍尔德广场1号的数据中心发现弱点，决定把项目所需信息技术硬件安装在养恤基金的新数据中心。项目原来的计划是购置12台新的服务器、15台储存区域网络模块和不间断供电系统的扩展装置，并将其安装在达格·哈马舍尔德广场1号四楼的数据中心，以提供所需要的更多能力来担任新的系统应用程序的主机。\",\n \"19. 然而，由于在达格·哈马舍尔德广场1号的数据中心发现严重弱点，这个计划被视为不可行。于2009年进行了业务影响分析，于2010年把分析结果提交给了养恤金联委会，其中揭示，该数据中心虽然安装了不间断供电系统，但没有任何发电机来应付电力公司(或大楼电路系统)可能断电的情况。早先根据关于生产数据中心的行业惯例对该数据中心进行了一次评估，对该设施的评分是10分制的2分(10分是最高或最佳分数)。因此，如果在达格·哈马舍尔德广场1号数据中心安装新的硬件，将对养恤金综合管理系统项目构成严重风险。\",\n \"20. 经过广泛寻找适当的替代办法，基金决定把位于达格·哈马舍尔德广场1号的信息和通信技术基础设施迁到新的北美数据中心，后者是一个新的和更可靠的数据中心，能够妥为确保其关键任务系统的可用性。北美数据中心根据电信业协会标准(TIA-942 DC)被定为第3级，即，保证99.9%的时间正常运转，可供使用。\",\n \"订约承办事务—支出节余7 256 300美元\",\n \"21. 支出低于预期的主要原因是，为新的系统应用程序提供主机服务的数据中心迁到另一地址。在把达格·哈马舍尔德广场1号的现有设备迁至新的北美数据中心时，购置了750 000美元的新设备，将其安装在该中心，以充分提供养恤金综合管理系统的全部预期所需能力。发出了400 000美元的招标书，以聘请一个专业咨询公司协助按照新的目标操作模型和新的范式重新设计数据中心的流程，并编制测试情景，作为确保新系统能够准确、安全和高效率地处理应领养恤金和付款的基础。\",\n \"22. 上述举措使得养恤金综合管理系统项目能够更好地启动下个阶段的工作，但这改动了项目原来的时间表。项目的整个系统部署时间估计为30个月(在概念论证得到检验和批准之后起算)，并未改变。因此，预计将在2014年4月完成系统的建立工作，在2014年完成平行开展的测试和培训工作。但是，这个目标日期取决于剩余采购/订约承办活动的持续时间，这些活动预计将在9个月内完成。因此，在2010-2011年预算内审议的新应用程序开发、参数化和启用批款(7 256 300美元)在2012-2013 两年期之前将不会动用。补充财务资料的附件二载有详细的项目时间表和活动说明。\",\n \"临时员额—支出节余1 805 200美元\",\n \"23. 员额支出低于预期，主要原因是采用了交错征聘方法，从而最佳地利用项目资源，符合更新的项目时间表。\",\n \"客户服务举措\",\n \"24. 委托举办一个基于甲骨文公司Siebel客户关系管理系统的试点项目(iServ)，目标是精简向基金的网站技术主管报告事故的程序并使其自动化。这个项目证明比原来的估计复杂得多和艰巨得多，但有助于基金获得大量有关建立客户关系管理系统的知识，并提供了很多宝贵的经验教训。这个项目还有助于基金确定，如果马上在其核心业务活动中采用一个全面的客户关系管理方案，可能不是最实际可行、适宜或有成本效益的行动(特别是考虑到客户关系管理可以成为养恤金综合管理系统举措的一部分)，但是，如果设立较小的本地应用程序，以满足客户服务股在短期内的最迫切需要，将使其能够在最终把客户服务管理系统与业务过程结合起来的时候，更好地理解如何设计该系统。\",\n \"25. 作为一个替代办法，开发了一个基于Lotus Notes的定制应用程序，用以跟踪与那些亲自访问或通过电话联系了基金的客户之间的互动。这个应用程序不仅记录宝贵的信息，例如请求提供的是什么方面的服务、提供服务的模式(面对面或电话)以及为一个客户提供服务所使用的时间，而且提供了易于使用的报告和分析工具(包括指示板)，这些工具可以用来查看统计数字和一段时期内的趋势。根据设想，随着时间的推移，这个应用程序将得到加强，纳入更多的性能，涵盖更多的客户服务活动。\",\n \"网络系统举措\",\n \"26. 网络系统举措采用基于网络的定制应用程序，使受益人和参与人可以随时直接查询个人化资料。关键应用程序，包括双轨养恤金估算系统、应享权利证书跟踪和年度报表，现已成为标准客户服务项目。无论何时，如果生活费指数和(或)季度汇率发生变化，都会编制生活费通知，经过登记的每月领取养恤金的受益人现在可以上网查看这些通知。可以通过年度报表应用程序进入的养恤金估算系统界面现已经过重新设计，自2009年的年度报表发表以来即可供客户使用。在基金当前为支持越来越多的访问者进行的努力中，对网站的部分基础设施和应用程序进行了升级，以提供一个更加稳定和安全的环境。增加了新的门户网站，用来为许多全基金网络应用程序提供基于角色和安全的单点登录界面。增加了更多的电子学习应用程序和入职讲习班软件，以满足培训需要，并将在2011年提供一些新的课程。为法律室开发了案件摘要，将在2011年放到网站上。\",\n \"企业系统举措\",\n \"27. 企业系统举措将确保关键任务业务系统(例如内容管理系统和Lawson系统)有供应商最新的更新、版本和升级，同时跟上基金业务模式的变化。所有必要的更新、版本和升级或是已经成功安装，或是将在2011年底之前成功安装。\",\n \"企业业务举措\",\n \"28. 作为企业业务规定的一部分，所有关键任务系统都已前往位于新泽西州Piscataway市的新址。新设施具备第三级数据中心出错容忍度，可用率达99.9%。 电信设备将继续安装在达格·哈马舍尔德广场1号的数据中心，日内瓦办事处以及业务连续性和灾难恢复环境的支持系统则安装在日内瓦数据中心。在数据中心迁址项目中对储存区域网络进行了升级，以增加容量和减少系统反应时间。建立了一个新的虚拟基础结构，使基金的70%的服务器能够在虚拟群组中运行，从而提高了业务效率和可用率，并使服务器基础结构更易于管理。对Lawson和数据库服务器进行了升级，并建立了故障切换群集，以优化恢复时间和对用户的反应。日内瓦数据中心的迁址正在进行当中。新设施由国际电子计算中心经管，将使基金能够把95%的服务器和网络环境的辅助冗余虚拟化。建立了一个新的数据备份系统，从而缩短了维护时间和文件恢复时间。在养恤基金实行了一个企业电子邮件存档解决方案，以高效率地管理电子邮件服务，并跟上不断变大的邮箱和无限制保存政策。在这个过程中，养恤基金的电子邮件服务器和客户端不断升级到最新版本。预计信息管理系统处将在2011年底之前完成不间断供电系统的升级。\",\n \"与投资管理司的信息技术合并举措\",\n \"29. 与投资管理司的信息技术合并正在按计划进行，定于本两年期完成。根据信息管理系统处与投资管理司之间的协议，成功和及时地在共享基础设施环境中执行了若干基础设施项目。这些项目包括交易订单管理系统、环球银行间金融电信协会(SWIFT)系统和文件管理系统。还在日内瓦为交易订单管理系统和SWIFT系统成功建立和测试了一个灾难恢复系统。在指定的38个合并领域中，最后5个领域中的工作正在进行，预计将在本两年期完成。这些领域包括：网络、求助服务台、名录服务、文件共用和电子邮件合并。\",\n \"B. 投资费用\",\n \"30. 投资费用估计为71 289 000美元，由此导致支出节余9 908 500美元，即12.2%。导致净节余的主要资源差异包括：\",\n \"1. 员额——支出节余953 400美元\",\n \"31. 节余主要归因于工作人员的征聘晚于预期。\",\n \"2. 差旅——支出节余289 000美元\",\n \"32. 节余主要归因于工作日程安排导致工作人员的征聘晚于预期和有工作人员可用。投资委员会成员的差旅费用有所上升，部分抵消了所需差旅的减少。\",\n \"3. 一般业务费用——支出节余331 100美元\",\n \"33. 节余归因于一些费用，例如冷却水、清洁服务和房舍管理费用，低于预期。\",\n \"4. 订约承办事务——支出节余8 445 200美元\",\n \"表4 订约承办事务：2010-2011年支出估计数\",\n \"(千美元)\",\n \"类别 2010-2011年批款 支出估计数 超支或 (支出节余)\",\n \"外部法律咨询人 1 200.0 1 200.0 －\",\n \"第三方服务提供者\",\n \"(a) 全球保管人和顾问\",\n \"全球保管人 6 952.0 3 743.8 (3 208.2)\",\n \"顾问 16 976.4 14 994.0 (1 982.4)\",\n \"(a) 部分小计 23 928.4 18 737.8 (5 190.6)\",\n \"(b) 投资组合管理\",\n \"小盘股 12 500.0 13 562.4 1 062.4\",\n \"公开交易不动产 2 700.0 700.0 (2 000.0)\",\n \"(b) 部分小计 15 200.0 14 252.4 (937.6)\",\n \"(c) 市场数据服务 3 541.5 2 399.5 (1 142.0)\",\n \"第三方服务提供者小计 42 669.9 35 399.7 (7 270.2)\",\n \"SWIFT订约承办事务 590.0 345.0 (245.0)\",\n \"其他订约承办事务 8 419.0 7 489.0 (930.0)\",\n \"共计 52 878.9 44 433.7 (8 445.2)\",\n \"34. 节余归因于若干因素，包括：为多个保管人和独立总账管理人进行的采购、聘用一个公开交易不动产管理人的工作以及聘用固定收入、实物资产和替代投资顾问的工作出现延迟；应用程序，例如灾难恢复解决办法、SWIFT系统和合规系统的采购费用低于预期。由于良好业绩导致收费上调，小盘股费用有所增加，部分抵消了所需资源的减少。\",\n \"5. 2010-2011两年期实施的项目\",\n \"35. 表5所示为2010-2011两年期供资和实施的信息技术项目的情况。\",\n \"表5 2008-2009两年期项目情况\",\n \"(美元)\",\n \"项目\\t预计/实际完成日期\\t批款\\t支出估计数\\t超支或(支出节余) \\n投资组合风险分析和业绩归因\\t2011年6月\\t1 390000\\t1 280000\\t110000\\n电子订单管理和交易(CharlesRiver系统)\\t2011年3月\\t1 120000\\t1 120000\\t－\\n交易前和交易后合规\\t2011年3月\\t970000\\t870000\\t100000\\n投资组合会计核算和对账\\t2011年12月\\t2 790000\\t2 390000\\t400000\\n数据中心系统\\t2012年6月\\t820000\\t820000\\t－\\nOMEGEO、FXALL、交易网及其他将并入CharlesRiver系统的确认和交易平台\\t2011年12月\\t1 170000\\t850000\\t320000\\nSWIFT，包括SWIFT升级至第7版\\t2011年6月\\t590000\\t345000\\t245000\\n共计 8 850000\\t7 6758000\\t1 175000\\n 业务费用 \\n灾难恢复站点中的CharlesRiver系统(日内瓦国际电子计算中心)\\t2011年12月\\t200000\\t143771\\t56 229\\n灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)\\t2011年12月\\t200000\\t221805\\t(21805)\\nSunGard 200000\\t－\\t(200000)\\n共计 600000\\t365576\\t(234424)\\n 家具和设备 \\nSun服务器\\t2011年5月\\t500000\\t500000\\t－\\n台式计算机\\t2011年6月\\t100000\\t100000\\t－\\n膝上型计算机\\t2011年6月\\t73 400\\t70 000\\t3 400\\n共计 673400\\t670000\\t3 400\",\n \"投资组合风险和业绩归因系统\",\n \"36. 截至2011年2月，投资管理司正在对风险最大的分析情景进行用户接受度测试。制订了一些重要的风险报告。然而，该司仍在等待采购司和法律事务厅签订更多使用各种数据源的合同。这些市场数据的数据源对于完成风险计量工作必不可少。这项工作完成后，将保持当前的服务。如果最后签订了数据源合同，这个项目预计将在2011年10月完成和充分投入使用。\",\n \"电子订单管理和交易系统\",\n \"37. Charles River系统于2010年3月投入运行。当前的运行范围包括股票、外汇和固定收入交易。该系统还通过FIX规程与经纪商连通，通过SWIFT系统与保管银行连通。投资管理司正在安装适用于其他资产的电子平台。当前，99%的交叉资产结算是通过SWIFT系统进行。投资管理司继续支持和加强Charles River工作环境。\",\n \"交易前和交易后合规系统\",\n \"38. 交易前和交易后系统(Charles River系统)已经建成，自2010年3月开始运行。投资管理司继续视需要维护和更新合规规则。\",\n \"投资组合会计核算和对账系统\",\n \"39. 建立投资组合会计核算和对账系统的合同于2010年4月被授予Murex North America公司，法律合同于2011年2月签署。2011年2月16日举行了项目启动会议。投资管理司当前正在最后确定实施计划和做出资源承诺，目标是在2011年6月30日之前完成第一阶段的执行工作。据估计，项目将于2011年12月31日之前完成。必须指出，这个项目包括对投资活动改为适用公共部门会计准则。\",\n \"数据中心系统\",\n \"40. 到2011年2月，投资管理司已经完成了技术评价。将定于2011年下半年进行应有审查。预计在2012年开始数据中心的实施工作。\",\n \"OMEGEO、FXALL、交易网及其他将并入Charles River系统的确认和交易平台\",\n \"41. 为了加强Charles River交易订单管理系统，投资管理司计划增加以下平台：OMEGEO，一个股票交易电子确认和证实系统；FXALL、FXConnect和Bloomberg FX：都是外汇交易平台；交易网、Market Axess、Bond Vision和Bloomberg FI：都是固定收入交易平台。目前正在谈判每个产品的合同。投资管理司计划最迟在2011年12月并入所有这些平台。\",\n \"灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)\",\n \"42. Charles River灾难恢复系统于2011年3月安装完成。灾难恢复系统包括与FIX、Bloomberg数据授权、Bloomberg批量数据和Bloomberg API。该系统还提供与SWIFT系统的连通。\",\n \"Bloomberg数据授权、Bloomberg批量数据和Bloomberg API\",\n \"43. 于2010年3月安装了Bloomberg数据授权、Bloomberg批量数据和Bloomberg API，并将其并入Charles River系统。\",\n \"灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)\",\n \"44. SWIFT灾难恢复站点于2010年1月投入使用。投资管理司当前正在将其与Charles River系统的灾难恢复架构一体化。\",\n \"SWIFT升级至第7版\",\n \"45. 把SWIFT升级至必需的第7版的工作定于2011年6月完成。\",\n \"C. 审计费用\",\n \"46. 审计费用支出的估计数将降低对批款的使用率，减少数额为112 100美元，主要归因于进行内部审计的一般临时人员。\",\n \"D. 联委会费用\",\n \"47. 所需资源增加77 800美元，原因是计划设计工作组的费用超过预期。\",\n \"E. 预算外费用\",\n \"48. 支出节余13 900美元，原因是预算外资金支付的一般事务类(其他职等)员额出缺三个月\",\n \"三. 2012-2013两年期概算：成果预算框架和所需资源分析\",\n \"A. 导言\",\n \"1. 概述\",\n \"49. 联合国合办工作人员养恤基金是足额供资的给付确定型养恤基金，为近64 000名退休人员和受益人提供退休金和其他养恤金。目前，约有120 000名在职参与人在累积基金规定的退休金权利。截至2010年年底，基金共有414亿美元的资产。养恤基金根据大会通过的《条例》自行管理。养恤金联委会负责管理基金并每年向大会提交报告。基金的日常业务由首席执行干事监管。基金有245名工作人员。本预算及其附件详细介绍了基金及其日常业务。\",\n \"50. 基金的投资由秘书长决定。秘书长将此职责交给其代表，由后者管理基金的投资管理司。投资管理司负责基金资产的投资和会计工作，目的是确保根据基金的风险容忍度和负债所需资源，获得充分的投资收益。\",\n \"51. 基金在过去十年里显著增长，因为有新的成员组织加入，而且受其服务的参与人、退休人员和其他受益人总人数不断增加。在此期间，在职参与人增加了63%，定期养恤金领取人数增加了33%。基金的管理章程确认了以下5类挑战：\",\n \"(a) 基金的业务越来越复杂；\",\n \"(b) 资产和负债越来越相互依赖；\",\n \"(c) 信息系统老化和对服务的需求增长；\",\n \"(d) 优质服务和业务高标准；\",\n \"(e) 社会和环境责任。\",\n \"52. 为了应付这些挑战，基金对风险评估、资产-负债管理、基金组织及其计划设计和养恤金管理系统的变化进行了全面研究。然后，基金制定了其战略框架中概述的以下中期目标：\",\n \"(a) 加强基金的业务模式；\",\n \"(b) 改善风险管理和内部控制；\",\n \"(c) 强化信息系统；\",\n \"(d) 提高服务质量和效率，包括通信和外联工作的质量和效率；\",\n \"(e) 提倡对社会和环境负责。\",\n \"53. 每个业务部门都制定了实现这些目标的具体行动计划，包括中期人力资源计划、业务影响分析和灾难恢复计划。在编写以下拟议预算时，采用了上述这些计划。\",\n \"54. 总之，在2012-2013两年期期间，养恤基金打算为战略框架概述的以下主要举措分配财政资源和人力资源：\",\n \"(a) 养恤金综合管理系统——养恤金综合管理系统的新业务模式；\",\n \"(b) 公共部门会计准则——基金财务报表的新会计标准；\",\n \"(c) 灵敏的客户服务；\",\n \"(d) 为提高业务效率以及改善风险评估和管理、电子学习、培训和知识管理所需要的其他行动。\",\n \"55. 预计基金能够实现其总体目标，前提是要有足够的人力资源和财政资源。鉴于目前的财政拮据状况，这一点将成为今后几年特别严重的挑战。但是，必须认识到基金发展过程正处于其无法控制的关键时刻。基金自成立以来一直稳步增长。过去十年里，基金的服务对象更是前所未有地增加。与此同时，基金的服务范围一直在扩大，不仅包括的人数增加，而且受理的特殊情况更为广泛，造成复杂性的增加。有关的工作量和复杂性的增加正好在机构记忆不断损失的情况下达到高峰，因为近年来有大量人员退休，还有其他人离职。此外，基金的客户群也同时因长寿而老龄化，往往需要提供更广泛的咨询，并满足客户服务方面的其他特殊需要。除了这些外部因素带来的重大挑战之外，这一需要非常专业和有长期专门知识的工作人员管理的基金还必须力求按照某些组织政策行事。这带来外部企业通常不会遇到的特殊困难。鉴于需要特殊和长期的专门知识，又鉴于其作为机构间实体的独立地位，基金目前正在审查其工作人员的征聘、流动和升级政策以及留住工作人员的政策。基金打算在经修订的谅解备忘录中讨论这些问题。\",\n \"56. 基金秘书处进一步考虑了目前的经济环境带来的挑战，还审查了自己的人员配置需要，决定推迟请设若干工作人员职位。虽然这些职位对实现基金战略框架的中期目标十分重要，但秘书处认为，可以通过限制基金计划设计中的变动以及限制增加的新项目，同时继续努力提高效率和生产力来推迟雇用工作人员。但是，这些职位不可能无限期地推迟，除非改变基金的业务能力以及基金对客户有求必应的能力和(或)实现其目标的时间表。\",\n \"57. 为此，必须认识到，在基金不得不致力于应对关于限制预算的要求之时，联合国有可能在经常预算之外核准新的维和特派团。这给基金带来重大挑战，甚至是风险，因为基金仍必须为这些特派团增加的雇员提供充分和及时的服务。\",\n \"成果预算编制、方法和术语\",\n \"58. 本预算报告采用基金在2008-2009两年期预算报告中采用的成果预算编制列报格式。所请求的资源是根据基金的各项方案计算，所有理由说明和支持性信息载于拟议预算的补充财务信息。\",\n \"59. 在计算资源时使用了下列因数：\",\n \"(a) 对2012年和2013年纽约和日内瓦两地采用了以下延迟征聘因数：续设专业类员额90.4%，新设专业类员额50.0%，续设一般事务类员额96.5%，新设一般事务类员额65.0%。这些因数也是纽约和日内瓦2012-2013年标准薪金表版本1中使用的；\",\n \"(b) 2012年和2013年采用的年平均通货膨胀率：纽约分别为1.90%和2.50%，日内瓦分别为1.00%和1.30%；\",\n \"(c) 2012年和2013年对日内瓦采用的汇率为1.046；\",\n \"(d) 在联合国与基金分摊费用安排的框架内，除了信息管理系统处和行政办公室员额的费用以外，具体的管理费将继续分别按照三分之一和三分之二的比例分担。根据秘书处(170)对投资管理司(58)的核定员额比率，加上具体项目员额(17)，信息管理系统处和执行办公室员额费用的69.4%将通过分摊费用安排解决。\",\n \"2. 请批的总体资源\",\n \"60. 整个基金请批的人力资源和财政资源以及预算外资源估计数和新增员额所需资源细目如下。\",\n \"表6 按构成部分开列的资源分配百分比：养恤基金\",\n \"构成部分 经常预算 预算外\",\n \"A. 行政领导和管理 7.0\",\n \"B. 工作方案\",\n \"1. 行政 17.7 100.0\",\n \"2. 投资 33.0\",\n \"B部分小计 50.7 100.0\",\n \"C. 支助\",\n \"1. 信息技术 31.8\",\n \"2. 法律室 0.7\",\n \"3. 行政支助 8.3\",\n \"C部分小计 40.8\",\n \"D. 审计 1.4\",\n \"E. 养恤金联委会 0.1\",\n \"共计 100.0 100.0\",\n \"表7 按构成部分开列的所需资源：养恤基金\",\n \"(千美元)\",\n \"资源增长 分摊数\\n 构成部分 2010-2011年 数额 百分比 重计费用前共计 重计费用 联合国 养恤基金 2012-2013年估计数\",\n \"1. 经常预算\",\n \"A. 行政领导和管理 16 141.1 (2 672.3) (16.6) 13 468.8 61.9 1 197.8 12 332.9 13 530.7\",\n \"B. 工作方案\",\n \"1. 业务，财务 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1\",\n \"2. 投资 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6\",\n \"B部分小计 86 148.4 10 950.1 12.7 97 098.5 1 725.2 9 527.5 89 296.2 98 823.7\",\n \"C. 支助\",\n \"1. 信息技术 53 018.1 7 878.6 14.9 60 896.7 815.6 5 704.7 56 007.6 61 712.3\",\n \"2. 法律室 — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2\",\n \"3. 行政支助 18 198.4 (2 348.4) (12.9) 15 850.0 86.9 3 590.6 12 346.3 15 936.9\",\n \"C部分小计 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4\",\n \"D. 审计 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8\",\n \"E. 养恤金联委会 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4\",\n \"共计 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0\",\n \"61. 如下表8所示，请批资源总体增加15 302 100美元(重计费用前)，增幅8.7%，原因是行政费用(4 564 600美元)、投资费用(10 601 800美元)、审计费用(103 200美元)和联委会开支(32 500美元)增加。\",\n \"62. 行政费用资源增加4 564 600美元，是拟议增加的常设员额(739 400美元)和临时员额(800 500美元)——其中680 100美元和800 500美元分别归因于常设员额和临时员额的延迟征聘因数——以及3 024 700美元非员额费用的净结果。非员额费用增加主要是由于订约承办事务(6 087 900美元)和一般业务费用(1 446 300美元)增加，但因家具和设备(3 989 000美元)、其他工作人员费用(122 500美元)、咨询人(237 600美元)和差旅(136 100美元)减少而部分抵消。\",\n \"63. 投资费用资源增加10 601 800美元，是拟议增加的员额(2 486 900美元)和非员额费用(8 114 900美元)的净结果，其中1 222 700美元是由于延迟征聘因数。非员额费用增加主要是由于订约承办事务(9 653 200美元)和其他工作人员费用(530 400美元)增加，但因咨询人资源(1 151 800美元)和一般业务费用(916 900美元)减少而抵消。\",\n \"64. 审计费用资源增加103 200美元，其中基金应分摊的审计委员会费用增加(113 500美元)，还包括拟议减少内部审计费用所产生的净结果(10 300美元)。减少内部审计费用的主要原因是通信(9 800美元)以及用品和材料(5 000美元)略有减少，而家具和设备的所需资源增加(5 800美元)。此外，咨询人和订约承办事务分别减少和增加80 000美元，互为抵消。\",\n \"65. 表6和表7分别汇总了养恤基金按构成部分开列的资源分配百分比和请批资源估计数。\",\n \"表8 2012-2013两年期所需财政资源\",\n \"(千美元)\",\n \"资源增长 批款\\n 类别 2008-2009 2010-2011 数额 百分比 重计费用前 重计费用 联合国 养恤基金 2012-2013年估计数 2012年 2013年 年支出 年批款 共计 估计数 估计数\",\n \"行政费用\",\n \"员额 34 524.8 38 731.4 739.4 1.9 39 470.8 591.4 12 440.4 27 621.8 40 062.2 19 883.6 20 178.6\",\n \"临时员额 — 2 870.3 800.5 27.9 3 670.8 (103.4) — 3 567.4 3 567.4 1 581.3 1 986.1\",\n \"其他工作人员费用 3 033.8 4 032.8 (122.5) (3.0) 3 910.3 94.5 803.3 3 201.5 4 004.8 2 005.4 1 999.4\",\n \"咨询人 106.4 537.6 (237.6) (44.2) 300.0 6.7 — 306.7 306.7 152.9 153.8\",\n \"差旅 997.7 1 360.6 (136.1) (10.0) 1 224.5 27.0 — 1 251.5 1 251.5 623.9 627.6\",\n \"订约承办事务 16 690.8 25 760.0 6 087.9 23.6 31 847.9 700.7 3 465.9 29 082.7 32 548.6 16 250.2 16 298.4\",\n \"招待费 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1\",\n \"一般业务费用 11 641.1 12 801.7 1 446.3 11.3 14 248.0 169.0 3 175.9 11 241.1 14 417.0 7 031.8 7 385.2\",\n \"用品和材料 263.3 210.1 (24.3) (11.6) 185.8 4.1 54.5 135.4 189.9 90.1 99.8\",\n \"家具和设备 3 815.3 6 000 (3 989.0) (66.5) 2 011.0 44.4 528.0 1 527.4 2 055.4 1 024.6 1 030.8\",\n \"共计 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8\",\n \"投资费用\",\n \"员额 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) — 17 406.0 17 406.0 8 644.2 8 761.8\",\n \"其他工作人员费用 534.0 2 361.8 530.4 22.5 2 892.2 61.0 — 2 953.2 2 953.2 1 500.3 1 452.9\",\n \"咨询人 299.5 2 328.8 (1 151.8) (49.5) 1 177.0 24.7 — 1 201.7 1 201.7 822.4 379.3\",\n \"差旅 1 018.0 2 000.0 — — 2 000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0\",\n \"订约承办事务 27 491.4 52 878.9 9 653.2 18.3 62 532.1 1 387.1 — 63 919.2 63 919.2 29 924.0 33 995.2\",\n \"招待费 16.4 22.0 — — 22.0 0.5 — 22.5 22.5 11.2 11.3\",\n \"一般业务费用 5 157.5 5 402.0 (916.9) (17.0) 4 485.1 27.5 — 4 512.6 4 512.6 2 254.1 2 258.5\",\n \"用品和材料 91.0 160.0 — — 160.0 3.5 — 163.5 163.5 81.5 82.0\",\n \"家具和设备 246.6 700.0 — — 700.0 15.5 — 751.6 715.5 356.7 358.8\",\n \"共计 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2 44 613.4 48 324.8\",\n \"审计费用\",\n \"外部审计 682.1 661.2 113.5 17.2 774.7 17.1 132.0 659.8 791.8 394.7 397.1\",\n \"内部审计 1 612.6 1 983.8 (10.3) (0.5) 1 973.5 (151 5) 303.4 1 518.6 1 822.0 906.2 915.8\",\n \"共计 2 294.7 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9\",\n \"联委会开支 127.4 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4 101.9 102.5\",\n \"请批资源共计 118 969.3 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0 94 662.0 99 502.0\",\n \"预算外费用(离职后医疗保险制度)\",\n \"业务活动 132.3 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 77.3 79.5\",\n \"表9 所需人力资源\",\n \"常设员额 临时员额 预算外员额 共计\\n 类别 2010- 2012- 2010- 2012- 2010- 2012- 2010- 2012- 2011年 2013年 2011年 2013年 2011年 2013年 2011年 2013年\",\n \"行政\",\n \"专业及以上\",\n \"助理秘书长 1 1 — — — — 1 1\",\n \"D-2 1 1 — — — — 1 1\",\n \"D-1 4 4 — — — — 4 4\",\n \"P-5 9 9 1 1 — — 10 10\",\n \"P-4 19 20 8 7 — — 27 27\",\n \"P-3 25 24 4 4 — — 29 28\",\n \"P-2/1 1 1 — — — — 1 1\",\n \"小计 60 60 13 12 — — 73 72\",\n \"一般事务人员\",\n \"特等 10 10 — — — — 10 10\",\n \"其他职等 99 99 5 5 1 1 105 105\",\n \"小计 109 109 5 5 1 1 115 115\",\n \"行政共计 169 169 18 17 1 1 188 187\",\n \"投资\",\n \"专业及以上\",\n \"D-2 1 1 — — — — 1 1\",\n \"D-1 2 2 — — — — 2 2\",\n \"P-5 10 10 — — — — 10 10\",\n \"P-4 13 18 — — — — 13 18\",\n \"P-3 7 9 — — — — 7 9\",\n \"P-2 — — — —\",\n \"小计 33 40 — — — — 33 40\",\n \"一般事务人员\",\n \"特等 10 10 — — — — 10 10\",\n \"其他职等 15 15 — — — — 15 15\",\n \"小计 25 25 — — — — 25 25\",\n \"投资共计 58 65 — — — — 58 65\",\n \"养恤基金共计 227 234 18^(c) 17^(b、c) 1^(a) 1^(a) 246 252\",\n \"^(a) 一个预算外一般事务(其他职等)员额由会员国供资。\",\n \"^(b) 包括17个养恤金综合管理系统临时员额。\",\n \"^(c) 2010-2011两年期核可的18个临时员额中，一个P-4职等的员额只核可12个月。该员额于2011年被裁撤。\",\n \"66. 如表9所示，本预算报告编列了增设7个员额和改叙1个员额的经费，具体如下：\",\n \"(a) 编列了改叙秘书处1个员额的经费(从P-3改到P-4)，并且编列了续设1个预算外员额(1个一般事务(其他职等))的经费，由成员组织供资；\",\n \"(b) 编列了为投资管理司增设7个常设员额(5个P-4，2个P-3)的经费。\",\n \"67. 表10汇总了请求增设的员额。\",\n \"表10 所需员额汇总\",\n \"款次\\t行动\\t员额\\t员额数目\\t职类 \\n 行政 \\n 方案支助 \\n执行办公室\\t改叙\\t财务和预算干事\\t1\\tP-3到P-4\\n 投资 \\n 工作方案 \\n投资科\\t新员额\\t投资干事——另类投资\\t1\\tP-4\\n\\t新员额\\t投资干事——全球新兴市场\\t1\\tP-4\\n\\t新员额\\t投资干事——交易干事\\t1\\tP-4\\n\\t新员额\\t投资干事——北美股票\\t1\\tP-3\\n风险和合规科\\t新员额\\t尽责调查和定量战略风险经理\\t1\\tP-4\\n业务科\\t新员额\\t财务干事，对账\\t1\\tP-3\\n 方案支助 \\n信息系统科\\t新员额\\t数据管理干事\\t1\\tP-4\",\n \"B. 行政费用\",\n \"1. 概述\",\n \"68. 秘书处负责在养恤金联委会的领导下管理联合国合办工作人员养恤基金。秘书处的目标是在最佳安全、业绩、责任和问责制条件下，完全遵循效率、能力和廉正方面的最高标准，向参与人提供相关服务，并为退休人员和受益人提供养恤金和相关津贴。在提供这些服务的过程中，基金必须面对日益复杂的一套条例。这些条例涉及过去作为节约措施或针对关于增加新的受益人类别的强烈社会需要而作出的决定。秘书处还必须根据不断变化的银行业环境和监管环境，继续调整其流程和程序。\",\n \"69. 行政费用总资源在重计费用前为96 873 100美元，比2010-2011两年期订正批款净增4 564 600美元，增幅4.9%。表12所示净增加额概述如下：\",\n \"(a) 行政领导和管理：减少1 104 400美元与所需员额经费(810 200美元)有关，主要是由于向法律室调了3个员额(2个P-5、1个一般事务(其他职等))。非员额费用减少与其他工作人员费用(50 100美元)、咨询人(337 600美元)和差旅(114 500美元)有关。订约承办事务(112 000美元)和一般业务费用(96 000美元)有所增加。\",\n \"(b) 工作方案：增加3 498 400美元是因为所需员额资源(751 500美元)和非员额资源增加2 746 900美元的结果。所需员额资源中有147 400美元归因于延迟征聘因数和1个P-4职等员额调往法律室的净结果，另有604 100美元是由于养恤金综合管理系统12个临时员额的延迟征聘因数。非员额资源增加是因为一般业务费用(2 846 300美元)和咨询人费用(100 000美元)增加，而其他工作人员费用减少(199 400美元)。\",\n \"(c) 方案支助。资源增加2 170 600美元是由于信息管理系统处资源增加(2 084 100美元)、法律室调出行政领导和管理(1 358 400美元)和执行办公室资源减少(1 271 900美元)。就信息管理系统处而言，临时员额资源增加(196 400美元)是延迟征聘因数所致。非员额资源(1 903 200美元)增加主要是由于订约承办事务增加(5 975 600美元)，但因家具和设备(3 976 400美元)、一般业务费用(177 400美元)和工作人员差旅(21 600美元)所需经费减少而部分抵销。法律室员额资源增加是因为将3个员额(2个P-5和1个一般事务(其他职等))调出首席执行干事办公室和从日内瓦办事处调来1个P-4职等的员额专门从事监管工作。执行办公室的资源减少(1 318 600美元)归因于一般业务费用的所需非员额经费，特别是房地的租用和维修。\",\n \"70. 表11列示资源分配估计数，表12为按构成部分开列的所需资源。\",\n \"表11 按构成部分开列的资源分配百分比：行政费用\",\n \"构成部分 经常预算 预算外\",\n \"A. 行政领导和管理 6.6\",\n \"B. 工作方案(业务，财务) 35.1 100.0\",\n \"C. 方案支助\",\n \"1. 信息管理系统处 44.7\",\n \"2. 法律室 1.4\",\n \"3. 执行办公室 12.2\",\n \"C部分小计 58.3\",\n \"共计 100.0 100.0\",\n \"表12 按构成部分开列的所需资源：行政费用\",\n \"(千美元)\",\n \"资源增长 分摊数\\n 构成部分 2010-2011年 数额 百分比 重计费用前共计 重计费用 联合国 养恤基金 2012-2013年估计数 批款\",\n \"1. 经常预算\",\n \"A. 行政领导和管理 7 486.9 (1 104.4) (14.8) 6 382.5 9.6 1 197.8 5 194.3 6 392.1\",\n \"B. 30 470.0 3 498.4 11.5 33 968.4 908.7 6 527.5 25 349.6 34 877.1 工作方案(业务，财务)\",\n \"C. 支助\",\n \"1. 信息管理系统处 41 240.8 2 084.1 5.1 43 324.9 562.4 5 704.7 38 182.6 43 887.3\",\n \"2. 法律室 — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2\",\n \"3. 执行办公室 13 110.8 (1 271.9) (9.7) 11 838.9 70.0 3 590.6 8 318.3 11 908.9\",\n \"C部分小计 54 351.9 2 170.6 4.0 56 522.2 616.2 9 742.7 47 395.7 57 138.4\",\n \"共计 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6\",\n \"2. 预算外 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8\",\n \"2. 行政领导和管理\",\n \"所需资源(重计费用前)：6 382 500美元\",\n \"71. 首席执行干事根据养恤金联委会的授权负责基金的管理，为成员组织、参与人、退休人员和受益人提供相关服务。在提供这类服务的过程中，首席执行干事必须确保制定一个框架，以便基金的运作在安全、业绩、责任和问责制方面达到最佳，并完全符合效率、能力和廉正方面的最高标准。基金为履行在这一框架中的责任，必须按照其条例、细则及其独特而复杂的养恤金调整制度的规定，应对日益复杂和不断变化的计划设计。首席执行干事必须确保能够持续、准确地权衡其精算成本，以评估和管理风险，调整其计划设计，根据受到长期社会变化(包括寿命延长)的显著影响，因而不断变化的人员情况调整其程序，同时在一个不断变化的银行、会计和监管环境中履行其职责。\",\n \"72. 在基金60年的历史中，其成员组织、参与人、退休人员和受益人的数目、其业务运营的金融环境及其所管理的资产和负债的价值均大幅增长。基金所服务的个人总数已经超过185 000，预计在中长期内还将继续稳步增加。基金的国际和多组织性质以及多层养恤金结构将继续带来新的日益复杂和严峻的挑战。基金所承担的责任和面临的要求一直在稳步大幅增加，这一情况未来仍将继续。基金按照联委会关于对所需人力资源采取更为战略性的办法的要求，为确定其中期需要，进行了一次高级别审查，其中考虑到了基金所面临的情况和紧迫挑战，审查结果已提交2010年届会。\",\n \"表13 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：确保遵照《基金条例和细则》以及养恤金联委会和大会下发的决定和准则，全面执行基金的工作方案 \\n 预期成绩 绩效指标 \\n(1) 有效管理基金工作方案 (1.1)所有详细的行动计划、项目和研究得到成功的监测和实施 业绩计量 2008-2009年：100% 2010-2011年估计：100% \\n 2012-2013年目标：100% (2)为联委会和委员会提供有效支助/服务/管理 (2.1)养恤金联委会、常设委员会、精算师委员会、审计工作委员会和各工作组对提供的支助没有投诉 业绩计量(投诉数目) 2008-2009年：对提供的支助没有投诉 2010-2011年估计：对提供的支助没有投诉 \\n 2012-2013年目标：没有投诉 (3)对全基金范围内人力资源、风险管理、业务连续性/恢复、信息技术新会计准则以及资产负债管理方面的治理机制进行有效管理 (3.1)成功监测和实施各工作组和指导委员会决定的活动业绩计量 2008-2009年：不适用 2010-2011年估计：绩效指标的100% \\n 2012-2013年目标：绩效指标的100% (4) 基金的有效战略规划 (4.1) 战略规划工作每两年进行一次 业绩计量 2008-2009年：100% 2010-2011年估计：100% \\n 2012-2013年目标：100%\",\n \"外部因素\",\n \"73. 行政领导和管理预计能实现目标和预期成绩，前提是要为其提供充足的人力资源和资金。\",\n \"其他产出\",\n \"74. 本两年期内将交付下列产出：\",\n \"(a) 为服务政府间机构和专家机构提供服务：2次养恤金联委会届会；3次精算师委员会会议，4次工作组会议，1次精算师委员会和投资委员会联席会议，6次审计工作委员会会议和4次联合国工作人员养恤金委员会会议；\",\n \"(b) 草拟文件；大约100份提交养恤金联委会、精算师委员会和工作组的文件；除为审计工作委员会的届会提供技术性和行政服务以外，还向该委员会提交15份说明；\",\n \"(c) 其他实务活动：\",\n \"㈠ 高效的退休工作人员接任规划；进行预先规划，以避免由于工作人员退休产生空缺，并填补由于工作人员更替所产生的其他空缺职位，在空缺宣布后五个月内完成填补；\",\n \"㈡ 对下列事项的高效管理和控制：\",\n \"• 养恤金综合管理系统项目\",\n \"• 业务连续性和灾难恢复规划\",\n \"• 全企业风险管理\",\n \"• 人力资源政策和人力资源中期计划\",\n \"• 信息技术整合\",\n \"• 资产负债管理研究\",\n \"• 业务影响分析\",\n \"• 数据库\",\n \"• 采购咨询委员会；\",\n \"表14 所需资源\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 3 641.0 2 830.8 11 8\",\n \"非员额 3 845.9 3 551.7 — —\",\n \"共计 7 486.9 6 382.5 11 8\",\n \"75. 所列经费6 382 500美元将用于续设8个现有员额(1个助理秘书长、1个D-2、1个P-5、2个P-4、1个P-3、1个一般事务(特等)和1个一般事务(其他职等))以及与总体行政有关的非员额资源。员额资源减少810 200美元是因为从法律室调动了3个核定员额(2个P-5和1个一般事务(其他职等))到方案支助。非员额资源减少的主要原因是其他工作人员费用(50 100美元)、差旅费(114 500美元)和咨询人费用(337 600美元)减少，而另一方面，因使用顾问精算师而导致订约承办事务费用有所增加(112 000美元)，而且基金为分担联合国上诉法庭案件费用也产生了一般业务费用(美元96 000)。\",\n \"3. 工作方案\",\n \"所需资源(重计费用前)：33 968 400美元\",\n \"76. 该工作方案包括纽约和日内瓦办事处的业务和财务处，负责基金的核心功能，包括但不限于对新参与人的参加资格及其与基金隶属关系的认定、个人和财务历史数据的记录、基金缴款的征收和记录、应领养恤金的计算和备付、后续养恤金的支付和所有相关的会计活动。此方案也负责对基金185 000名在职参与人、退休人员和其他受益人提供客户服务的功能。\",\n \"77. 应该回顾指出，按照2008年举行的全基金审查的建议，首席执行干事决定将基金的业务部门与财务部门分开。首席执行干事决定，尽管应享权利的计算和处理(业务)与由此产生的养恤金的给付和核算(财务)之间有重要的联系，但是这两项职能必须明确分隔开来。业务部门的重点是计算的正确性，计算一旦成立，将适用于退休人员和任何符合条件的遗属的一生。财务部门的重点是支付的正确性。将这两项职能分开，设立独立于业务部门之外的单独财务部门，能够在基金这两项核心职能(此两项职能即构成了本工作方案)之间确立明确的责任分工，并加强问责制。\",\n \"业务部门\",\n \"78. 业务部门包括纽约和日内瓦办事处的养恤金权利科和客户服务、记录管理和分发股。业务主任负责按照基金管理章程规定的目标管理和领导该部门。业务主任必须确保遵守基金的条例、细则和养恤金调整制度，同时严格遵守具体的质量管理、内部控制和信息交流政策。在2012-2013两年期内，业务部门预计将办理超过55 000项新参与人加入手续、离职手续以及进出基金账目手续。[1] 预计该部门还将办理约6 000人的最初离职后养恤金福利手续，这是最复杂因而也是最耗时的手续之一，这些手续包括离职后死亡、遗属恤金(有时涉及居住在不同地点的多个配偶)、剩余偿金、递延养恤金支付，双轨制(有时出现向美元轨道回归)、应付给未亡已离婚配偶的恤金、未亡配偶年金、特殊措施的情况等。除了通过基金的网站提供了约225 000项养恤金估算外(即2010年期间)，业务部门预计在下一个两年期内将提供约5 500项个人养恤金估算，其中往往还要进行个人咨询。在2012-2013两年期，该部门预计还将发送、跟踪并在收到时记录超过10万份应享权利证书，并将超过120万份文件扫描到基金的内容管理系统之中。\",\n \"表15 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：确保根据养恤基金条例、细则和养恤金调整制度，为所有符合条件的参与人、退休人员和其他受益人提供服务，同时充分遵守基金《管理章程》所制定的沟通、质量管理和内部控制政策 \\n 预期成绩 绩效指标 \\n(1)有效办理养恤基金的应领养恤金手续 (1.1)在15个工作日内完成的离职偿金、退休金及其他养恤金手续所占百分比增加 离职偿金、定期退休金和整笔折付养恤金手续业绩计量(基准：15个工作日) \\n 2004-2005年：72%的个案在15个工作日内完成 2006-2007年：79%的个案在15个工作日内完成 \\n 2008-2009年：80%的个案在15个工作日内完成 2010-2011年估计：77%的个案在15个工作日内完成 \\n 2012-2013年目标：80%的个案在15个工作日内完成(2)以更高质量为养恤基金客户提供以客户为本的服务 (2.1)在15个工作日内答复的邮件和电子邮件所占百分比增加 业绩计量(基准：15个工作日)： 2004-2005年：31%的查询在15个工作日内得到答复 2006-2007年：55%的查询在15个工作日内得到答复 2008-2009年：75%的查询在15个工作日内得到答复 2010-2011年估计：82%的查询在15个工作日内得到答复 \\n 2012-2013年目标：82%的查询在15个工作日内得到答复\\n(3) 加强沟通 (3.1)为参与人、受益人、工作人员养恤金委员会以及参与组织的对口财务和人力资源工作人员举办的简报会和研讨会数目增加 业绩计量 2008-2009年：不适用 2010-2011年估计：65 \\n 2012-2013年目标：75\",\n \"外部因素\",\n \"79. 业务部门预计能实现其目标，前提是为其提供充足的人力资源和资金。因此必须承认，基金的演变正处于其无法控制的关键时刻。基金的服务对象正在快速增长。同时，因寿命的增长，基金客户出现了老龄化，而这又往往需要提供更广泛的咨询以及满足其他特殊的客户服务需求。\",\n \"产出\",\n \"80. 在2012-2013两年期将交付以下产出：\",\n \"(a) 在两年期内办理约18 000项离职偿金和退休金手续；[2]\",\n \"(b) 办理约6 000项最初退休金后的其他养恤金手续(即遗属、子女、双轨制养恤金等)；\",\n \"(c) 确定基金约30 000名新参与人的加入资格和隶属关系；\",\n \"(d) 发送、跟踪和在收到时记录约10万份应享权利证书；\",\n \"(e) 答复约15 000份查询邮件和电子邮件；\",\n \"(f) 接待约11 000名上门客户并提供服务；\",\n \"(g) 诸如数据清洗和质量管理、流程记录、算法和随后过渡到养恤金综合管理系统平台等实施前任务；\",\n \"(h) 客户界面控制的有效记录、监测和加强；\",\n \"(i) 审查、评估、开发和实施一个客户关系管理系统；\",\n \"(j) 审查和编写供讲习班和研讨会使用的强化培训材料，拟提供给(纽约和日内瓦的)基金工作人员、参与人、退休人员和其他受益人以及工作人员养恤金委员会秘书处和成员组织的其他人力资源工作人员；\",\n \"(k) 开发并实施一个安全的签名系统，以便在基金所服务的每个个人的电子档案中添加图形签字，以供核对比较；\",\n \"(l) 加强控制并重新设计应享权利证书，并进一步努力，争取简化整个程序；\",\n \"(m) 强化并持续发展业绩数据以满足内部要求并供各监督机构参考；\",\n \"(n) 为参与人、退休人员和其他受益人、工作人员养恤金委员会秘书处、各小组委员会(包括咨询组和工作组)和联委会成员举办研讨会和培训，从而增强外联能力。\",\n \"财务部门\",\n \"81. 财务科通过其付款、账户和出纳股/现金管理股提供全面服务，并负责基金所有财务、会计和付款操作。基金每年的财务交易总额约为38亿美元(考虑到养恤金给付和缴款的征收)。基金每月办理15种货币的62 000笔定期退休金付款(依据基金2009年已审计财务报表)，并向居住在190多个国家的退休人员和其他受益人付款。该科还负责编制包括投资管理司在内的及时、准确的全基金财务报表，并负责就养恤基金的财务问题与内部和外聘审计人进行联络和协调。\",\n \"表16 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：确保及时、准确、可靠地支付养恤金并对基金的财务、会计和支付业务全面负责，包括出具准确、及时的财务报表，并就财务事项与内部审计人和外聘审计人联络 \\n 预期成绩 绩效指标 \\n (1) 有效管理定期养恤金支付 (1.1) 按时发出养恤基金工资单资料 业绩计量 2008-2009年：1 200 000 2010-2011年估计：1 300 000 \\n 2012-2013年目标：1 400 000 (1.2)及时、准确、可靠地支付养恤基金定期给付 业绩计量 2008-2009年：100% 2010-2011年估计：100% \\n 2012-2013年目标：100% (1.3)及时、准确、可靠地支付养恤基金非定期给付(与恢复发放养恤金有关的付款在收到有关文件后15日内支付；所有其他付款在收到后30日内支付) 业绩计量 (与恢复发放养恤金有关的付款在收到有关文件后15日内支付；所有其他付款在收到后30日内支付) 2008-2009年：100% 2010-2011年估计：100% \\n 2012-2013年目标：100% (2)提供高质量和一致的缴款记录，包括及时核对年终程序所产生的参与人对账异常情况 (2.1)得到解决的参与人对账异常情况数目业绩计量 2008-2009年：9 000 2010-2011年估计：10 000 \\n 2012-2013年目标：11 000 (2.2)在收到年终附表后六个星期内为所有参与人核定记录 业绩计量 (在收到年终附表后六个星期内为所有参与人核定记录) 2008-2009年：100% 2010-2011年估计：100% \\n 2012-2013年目标：100% (3)提供高质量和一致的财务报表，制定实施适用的国际公共部门会计准则/国际会计准则的政策和程序 (3.1)及时提供财务报表(在下一年4月15日前出具报表草稿)业绩计量 (在下一年4月15日前出具报表草稿) 2008-2009年：在到期日前 2010-2011年估计：在到期日前 2012-2013年目标：在到期日前 (3.2)采用的国际公共部门会计准则和披露要求百分比增加 业绩计量 2008-2009年：不适用 2010-2011年估计：开始采用某些国际公共部门会计准则和披露要求 \\n 2012-2013年目标：2012年财务将全面采用国际公共部门会计准则。预期将进行年度审计。\",\n \"外部因素\",\n \"82. 本次级方案预计将实现其目标，除非受如下事件影响：(a) 世界各地的政治冲突和自然灾害造成养恤金领取者的银行服务中断；(b) 系统实施方面出现意外延误，导致公共部门会计准则的财务报表信息延迟；及(c) 基金的增长导致人力资源不足，因而无法妥善向养恤金领取者提供服务。\",\n \"产出\",\n \"83. 在2012-2013两年期将交付以下产出：\",\n \"(a) 编制3套财务报表和相关文件；根据自联合国系统会计准则转向完全采用公共部门会计准则第26条所带来的变化，编写2012年更新的财务报表；\",\n \"(b) 在前后报告之间减少关于监督下领域和会计技术问题的未执行审计意见的数目(同时计入其间所产生的新的审计意见)；\",\n \"(c) 在规定的提交年终附表后六个月的期限内为所有汇款实体进行全面对账；\",\n \"(d) 在年度和两年期决算时，在离职主卷宗记录中的数据与给付历史记录之间进行全面核对；\",\n \"(e) 在纽约、日内瓦和较大的报告实体举办关于缴款方面参与人对账异常情形问题的专题介绍和讲习班；\",\n \"(f) 每个月及时完成所有账户的银行对账；\",\n \"(g) 及时落实任何关于向养恤金领取人付款的最新银行规定；\",\n \"(h) 在向养恤金领取者付款方面：\",\n \"㈠ 确保养恤金领取者及时收到款项；\",\n \"㈡ 减少银行向基金的收费；\",\n \"㈢ 尽可能减少或消除银行对养恤金领取者的收费。\",\n \"表17 所需资源\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 27 874.7 28 626.2 137 136\",\n \"非员额 2 595.3 5 342.2 — —\",\n \"小计 30 470.0 33 968.4 137 136\",\n \"预算外 158.2 152.9 1 1\",\n \"共计 30 628.2 34 121.3 138 137\",\n \"84. 所列经费34 121 300美元，将用于续设137个员额；124个常设员额(3个D-1，3个P-5，9个 P-4，13个P-3，1个P-2，8个一般事务(特等)和87个一般事务(其他职等))；1个由预算外资源供资的一般事务(其他职等)员额；12个临时员额(6个P-4，2个P-3，4个一般事务(其他职等))及在日内瓦办事处调动的1个法律室控制下的P-4职等法律事务干事员额，以及用于非员额所需资源。非员额资源增加的原因是，下列方面的所需资源增加：咨询人(100 000美元)和一般业务费用(2 846 300美元)，但增加的数额因一般临时助理所需资源增加而部分抵消(199 400美元)。一般业务费用大幅增加完全是由于养恤金联委会从2010-2011年拟议预算中扣除了银行收费。\",\n \"85. 常设委员会在其第186次会议上审查了关于基金实施的离职后健康保险保费削减方案的一份说明，批准了上述预算外资源，由参加的成员组织出资，基金不承担任何费用。\",\n \"4. 方案支助\",\n \"信息管理系统处\",\n \"所需资源(重计费用前)：43 324 900美元\",\n \"86. 在养恤基金信息和通信技术管理模式的指导下，信息管理系统处负责以下工作：基金的信息系统服务；维护信息和通信技术；协调执行信息技术执行委员会通过的战略决定；为信息和通信技术工作人员制定培训计划及提供必要工具，以支助知识的交流和合作性工作。\",\n \"87. 该处负责提供全方位的电算办公室自动化；软件/系统设计、开发和启用；硬件支持；电信；共用基础设施服务(包括投资管理司)；基金日内瓦办事处信息技术工作的监督和技术领导；资源管理、基础设施和会议室支持。\",\n \"表18 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：通过高效和有效地利用信息和通信技术协助实现基金的业务和战略目标 \\n 预期成绩 绩效指标 \\n(1)在基金的信息系统平台现代化方面取得进展 (1.1)支持经过重新设计的业务程序的企业信息技术架构 业绩计量 2008-2009年：不适用 2010-2011年目标：每阶段按期完成项目交付 \\n 2012-2013年目标：每阶段按期完成项目交付(2)提高向客户提供服务的效率和成效 (2.1)向客户提供信息技术服务的时间的百分比 业绩计量 2008-2009年：99% 2010-2011年估计：99 % \\n 2012-2013年目标：99 % (3) 改善信息技术服务 (3.1)支助工作达到令人满意(或以上)水平的信息技术系统百分比 业绩计量 2008-2009年：95% 2010-2011年估计：95 % \\n 2012-2013年目标：95 % (4)更多使用电子存储进行信息共享 (4.1)知识管理系统中提供的信息管理系统处文件的百分比 业绩计量 2008-2009年：80% 2010-2011年估计：95 % \\n 2012-2013年目标：95 % (5) 增加信息安全 (5.1)每年按照国际标准化组织17799号安全标准衡量的既定交付成果合规率上升百分比 业绩计量 2008-2009年：78% 2010-2011年估计：90% \\n 2012-2013年目标：90% (6)更好地与参与人、受益人和其他客户分享电子信息 (6.1)通过电子方式分享人力资源信息的参与人所占百分比 业绩计量 2008-2009年：75% 2010-2011年估计：80 % \\n 2012-2013年目标：80 % (6.2)通过电子方式分享财务信息的参与人所占百分比 业绩计量 2008-2009年：10% 2010-2011年估计：20 % \\n 2012-2013年目标：30 %\",\n \"外部因素\",\n \"88. 本次级方案预计能实现目标和预期成绩，前提是：(a) 技术发展符合预期； (b) 可获得用以实现重要目标的内部和外包资源；(c) 各利益攸关方履行责任和义务，并为实现信息和通信技术战略的各项目标提供全面合作，尤其是在工作的流程审查和重新设计阶段。\",\n \"产出\",\n \"89. 2012-2013两年期内将交付下列产出：\",\n \"企业业务服务\",\n \"(a) 根据本组织的职能和业务需求，有成效和高效率地获取和实施服务于拟议的养恤金综合管理系统举措的信息和通信技术架构，重点是改善信息管理和提高基金业务的效率；\",\n \"(b) 政策。确保信息管理系统处提供的所有信息和通信技术服务尽可能符合基金信息技术执行委员会的预期和相关行业标准(例如信息技术基础设施库)；按照国际标准化组织安全标准ISO-20002，对基金的信息和通信技术基础设施执行网络安全措施；\",\n \"(c) 通信。提供主干通信服务，包括用于连接基金各办事处(包括基金秘书处、日内瓦办事处、投资管理司和同国际电子计算中心新达成的信息技术基础设施托管安排)的因特网、私人租赁线路、通信装置和设备及必要的通信线路；对纽约的中枢网络基础设施进行升级，扩充其容量，以支持在把高速关键任务数据、语音和视频等信息传送到桌上电脑方面有着多种需求的用户；\",\n \"(d) 信息和通信技术基础设施服务。为支持基金的业务，对信息和通信技术基础设施服务实施多班操作、管理和维护，如在纽约、新泽西和日内瓦进行的服务器管理、中件管理和数据备份。 监督指挥中心的应用程序、设备、网络负载和信息传输，以防止服务中断。它们还将确保尽可能使用最新版本软件，并在必要情况下利用软件开发生命周期办法进行系统升级；\",\n \"(e) 基础设施构架服务。在强调整合、互操作性、模块性和可扩缩性，并定期进行技术更新的最佳技术标准和做法基础上，开发和落实信息和通信技术基础设施；为信息技术决策者提供指导、通过减少支助费用和规模经济来降低信息技术费用；\",\n \"(f) 用户支助/服务台。为连接养恤基金网络的应用程序、服务器、个人电脑和移动设施提供技术性、操作和服务台支持；为核准的软件应用程序，如生产力系统、电子邮件、知识管理系统和定制应用程序提供基础设施支持；操作和支持会议室设施和设备，包括视频/音频设备及投影功能；\",\n \"(g) 短信通讯。提供和维护电子短信通讯服务，包括电子邮件、视频会议服务和统一报文传送；提供和维护用于手提式设备和服务的移动短信通讯和通信。\",\n \"企业应用程序服务\",\n \"(a) 开发。采用能够减少养恤金人工处理的系统，以维护提高生产力和效率的系统；改进参与人和受益人的手续办理并与银行、会计系统和工作流程界面连接；\",\n \"(b) 企业系统维护。维护及改进核心业务应用企业系统，包括养恤金管理、会计和内容管理等系统；\",\n \"(c) 维护成员组织的信息共享。在人力资源信息和财政信息数据的收集中实施和维护成员组织的信息共享；利用各组织使用的若干企业资源规划界面加强人力资源和财政数据的收集；维护电子档案输出界面，以安全的方式支持信息分享和转换。\",\n \"企业数据服务\",\n \"(a) 数据库管理。在各种信息技术平台上实施和维护养恤基金数据库并提高其可用性；进行数据库升级；监测使用情况和解决问题；编制新表格和视图；发现数据完整性问题；根据业务需求支持与数据库连接有关的系统开发工作；\",\n \"(b) 系统软件编程。实施和维护数据库系统，在需要时为计算机操作系统和程序提供主机服务，以便向各种应用程序和界面提供关键任务数据；\",\n \"(c) 数据仓支持。实施和维护数据仓系统并提高其可用性；在各种平台上进行数据清洗和数据联合；\",\n \"(d) 管理方报告。利用商业情报工具实施、维护和改进管理方报告。\",\n \"企业安全服务\",\n \"(a) 信息安全。定期对养恤基金纽约和日内瓦办事处技术架构和运作进行安全风险评估，并用各种安保工具，包括防火墙、反垃圾邮件和防毒软件来保护网络安全；\",\n \"(b) 身份管理。提供集中管理身份储存和删除的能力，整合不断扩大的身份储存库；\",\n \"(c) 灾难恢复。拟订、采取和实施一个多年期灾难恢复战略，以支持养恤基金的业务延续性需求。\",\n \"企业项目管理服务\",\n \"(a) 治理。利用信息管理系统处各理事机构建立的模式来强化和运行具有强大治理能力的方案管理基础设施；\",\n \"(b) 项目管理方法。以高效、连贯和标准化方式提供项目管理程序及方法方面的指导；\",\n \"(c) 项目管理支持。根据项目管理方法更新、监督和维护项目组合；提供辅导和训练指导，以努力提高本组织的项目管理成熟度；\",\n \"(d) 审计管理。管理和遵守与信息和技术服务有关的内部和外部审计意见。\",\n \"企业质量和生产控制服务\",\n \"(a) 质量标准化。查明和记录对信息管理系统处内执行工作的各种质量标准要求；\",\n \"(b) 变化管理。确定和实施列有适当责任分工的完整的变化管理框架；\",\n \"(c) 服务级协议和服务提供协议。编制统计资料及管理信息管理系统处所有服务级协议和服务提供协议；\",\n \"(d) 生产控制。监督质量保障功能，以确保所有系统都是在进行了全面评估和用户接受程度测试之后才投入使用。\",\n \"合同管理服务\",\n \"监测和管理信息管理系统处预算的各个构成部分；向各项信息和通信技术服务提供行政支助，包括确定可用资源、登录预留款和处理请购单、定购单及相关发票；说明该处资产用途；管理与供应商包括技术伙伴、承包商和承包公司的关系。在拟订技术采购的一般性规格说明方面提供专家级知识；直接与联合国采购处合作，确保以尽可能低的费用提供带来增值的解决办法。\",\n \"表19 所需资源\",\n \"资源 (千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 8,426.7 8 607.6 32 31\",\n \"非员额 32 814.1 34 717.3 — —\",\n \"共计 41 240.8 43 324.9 32 31\",\n \"90. 所列经费 43 324 900美元，用于续设31个员额：26个常设员额(1个D-1、2个P-5、6个P-4、10个P-3、1个一般事务(特等)和6个一般事务(其他职等))和5个临时员额(1个P-5、1个P-4、2个P-3和1个一般事务(其他职等))，并包括非员额资源。核定的1个P-4职等临时员额的任用期只有12个月，该员额已于2011年裁撤。非员额资源增加(1 903 200美元)主要是用于其他工作人员费用(127 000美元)和订约承办事务(5 975 900美元)，但由于家具和设备(3 976 400美元)、工作人员差旅费(21 600美元)和一般业务费用(177 400美元)所需资源减少而部分抵消。养恤金综合管理系统项目所需资源总计12 661 400美元，用作订约承办事务(11 466 300美元)和临时员额(1 195 100美元)费用。\",\n \"法律室\",\n \"所需资源(重计费用前)：1 358 400美元\",\n \"91. 法律室继续负责向基金纽约和日内瓦办事处的管理层和业务部门提供统一的法律服务，向养恤金联委会审计工作委员会和常设委员会(关于上诉案件)以及联合国工作人员养恤金委员会(关于伤残案件)提供实质性、程序性和行政支助。法律室负责确保基金业务活动遵守《基金条例和细则》，并对《条例》作前后一致的解释。除基金秘书处各科室外，还就个案中实施《基金条例和细则》问题向参与者和退休人员和/或其法律代表提供法律服务和支助。法律室侧重以新的方式记载和传播判例、裁决和政策决定。通过这种方式促进知识分享有助于有效利用法律室积累的法律信息和经验，更多利用最佳做法，并使主管人员和工作人员能够在其日常决策中考虑到法律风险。\",\n \"表20 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：保护基金的法律利益，就养恤基金事项向首席执行干事、养恤金联委会和常设委员会以及养恤基金其他管理机构提供专家法律意见 \\n 预期成绩 绩效指标 (1)实施《养恤基金条例和细则》和养恤金调整制度的统一性和连贯性得到加强 (1.1)基金立场未得到常设委员会或上诉法庭支持的复审请求/申诉数目减少业绩计量 2008-2009年：90%的案例维持原判 2010-2011年估计：100%的案例维持原判 \\n 2012-2013年目标：100%的案例维持原判(2)有关法律事项的交流和知识分享实现了现代化和得到改善 (2.1) 利用养恤基金《案例摘要》和其他知识管理工具记载和传播的法律决定和判例的数目 业绩计量 2008-2009年：不适用 2010-2011年估计：100%的常设委员会和法庭案例，10%已汇编的法律裁决 \\n 2012-2013年目标：100%的常设委员会和法庭案例，30%已汇编的法律裁决(3)会议服务的组织和程序事项得到改善，向各委员会成员提供的实质性服务得到加强 (3.1) 养恤金联委会、常设委员会、审计工作委员会和联合国工作人员养恤金委员会成员对秘书处实质性服务的水平和质量的满意程度 业绩计量 2008-2009年：对提供的服务没有提出投诉 2010-2011年估计：对提供的服务没有提出投诉 \\n 2012-2013年目标：对提供的服务没有提出投诉\",\n \"外部因素\",\n \"92. 法律室预计能实现目标和预期成绩，前提是：(a) 基金各委员会、养恤金联委会、成员组织、业务人员和管理层在其活动和业务影响到基金的法律利益和法律责任时，寻求法律咨询；(b) 及时征求法律意见，客户提供充分信息，以供进行法律分析，并将遵循所提供的意见；(c) 可获得所需人力和财政资源。\",\n \"产出\",\n \"93. 2012-2013两年期内，将交付下列产出：\",\n \"(a) 就与《基金条例》、《管理细则》和养恤金调整制度的解释和实施有关的问题提供咨询，为实施管理政策和程序提供业务支持；\",\n \"(b) 就与成员组织以及其他国际和政府间组织之间的协定和其他法律文书的审查、谈判和起草工作提供咨询，并酌情进行督查和监督；\",\n \"(c) 就体制模式和业务模式、法律呈件和其他法律文件提供咨询和编制文件；就有关养恤金事项的案件编写提交联合国上诉法庭的被告方答辞(10)；\",\n \"(d) 编写法律出版物和送交基金参与者/受益人、各养恤金秘书处和各成员组织行政当局的信函，包括在基金网站上发布的有关资料；\",\n \"(e) 为联合国工作人员养恤金委员会、常设委员会、审计工作委员会提供会议服务，包括通过网上“Quick Places”和其他知识管理工具，以电子方式传送文件来简化信息分享和实现信息分享现代化；\",\n \"㈠ 就程序规则、各项决议和养恤金联委会/委员会各项决定的解释和执行提供咨询；\",\n \"㈡ 为常设委员会会议提供实质性、技术性和行政服务(2次),包括编写约12份复审请求和申诉；分析法律问题、编写报告和文件：\",\n \"㈢ 为联合国工作人员养恤金委员会会议提供实质性、技术性和行政服务(4次)；编写残疾津贴申请(大约140项新的成人申请案、40项子女申请案、大约190份复核申请和2项上诉申请)；编写报告和文件；\",\n \"㈣ 为审计工作委员会会议提供实质性、技术性和行政支助(6次)，包括协调文件和报告的编写工作；\",\n \"(f) 编纂和系统地传播常设委员会和行政法庭案件判例以及其他法律参考档案、意见、政策决定和准则；\",\n \"(g) 就养恤金办法的法律方面有关问题，与基金各成员组织及其工作人员养恤金委员会以及其他国际组织联络；\",\n \"(h) 代表基金出席国际或区域会议、机构间会议和成员组织法律顾问会议，并于必要时参加各种常设理事会、委员会、特设工作组和工作队。\",\n \"表21 所需资源\",\n \"资源 (千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 — 1 358.4 — 4\",\n \"非员额 — —\",\n \"共计 — 1 358.4 — 4\",\n \"94. 为了更为明确地分析方案支助，已将法律室从首席行政干事办公室分离出来，将其改为一个方案支助次级方案。1 358 400美元的经费将用于续设4个员额，其中3个员额调自首席执行干事办公室(2个P-5和1个一般事务(其他职等))，1个员额调自日内瓦办事处(1个P-4，法律干事)。其中最后一个员额将设在日内瓦。\",\n \"执行办公室\",\n \"所需资源 (重计费用前): 11 838 900美元\",\n \"95. 执行办公室为基金开展活动提供必要的行政和方案支持。它协助首席执行干事和投资管理司司长编制两年期预算报告，并为有效利用人力和财政资源提供相关的支助服务。它还提供一般行政管理和设施管理服务。\",\n \"表22 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：通过高效和有效的管理和方案支助，协助实现基金的业务和战略目标 \\n 预期成绩 绩效指标 (1) 及时征聘和安置工作人员 (1.1) 员额平均空缺天数减少 业绩计量 2008-2009年：200天 2010-2011年估计：180天 \\n 2012-2013目标：150天 \\n (1.2)妇女在任期一年或一年以上的专业及以上职等员额中所占百分比增加 业绩计量 2008-2009年：32% 2010-2011年估计：39% \\n 2012-2013年目标：45% (2)通过内部和外部培训，工作人员的多面能力得到加强 (2.1) 可提供的专门学习课程产出增加业绩计量 2008-2009年：30 2010-2011年估计：38 \\n 2012-2013年目标：48 (2.2) 参加和成功完成学习和职业发展方案的工作人员数目增加 业绩计量 2008-2009年：618 2010-2011年估计：700 \\n 2012-2013年目标：700 (3)对基金行政预算的管理和监督得到改善 (3.1) 降低未清债务和上期债务核销额相当于最后批款的百分比业绩计量 2008-2009年：不适用 2010-2011年估计：9% \\n 2012-2013年目标：8% (4)设施和财产服务的质量和及时性得到加强 (4.1) 因房舍设施维修停工而损失的工作日减少业绩计量 2008-2009年：零 2010-2011年估计：零 \\n 2012-2013年目标：零\",\n \"外部因素\",\n \"96. 执行办公室预计能实现目标和预期成绩，前提是能够得到所需人力和财政资源。\",\n \"产出\",\n \"97. 2012-2013两年期内将交付下列产出：\",\n \"(a) 人力资源管理：\",\n \"㈠ 就与人力资源管理有关的一切问题向所有工作人员提供政策建议；\",\n \"㈡ 管理招聘主管所需的职位空缺跟踪数据，以支持征聘目标；\",\n \"㈢ 向各位主任报告电子考绩制度合规数据；\",\n \"㈣ 为通过Inspira和临时空缺通知征聘的所有人员安排面试；\",\n \"㈤ 处理与工作人员-管理当局之间关系有关的问题 (听取抗辩小组等)；\",\n \"(b) 工作人员培训和职业发展：\",\n \"㈠ 为基金制定专门课程，并与信息管理系统处协调促进知识转让，以建立一个学习管理系统平台；\",\n \"㈡ 安排在基金房舍举办培训课程；\",\n \"㈢ 监督和跟踪所有工作人员都须完成的必修课程；\",\n \"㈣ 向每个新工作人员介绍基金情况；\",\n \"㈤ 提供职业发展方面的咨询意见。\",\n \"(c) 行政：\",\n \"㈠ 向基金工作人员提供日常行政支助；\",\n \"㈡ 维护人员配置表;\",\n \"㈢ 处理一般事务职等和专业职等人事行动，以按月发薪；\",\n \"㈣ 以提醒主管提出推荐的方式，在工作人员合同到期的两个月前续延合同；\",\n \"㈤ 根据联合国的政策和个人养恤金和应享权利的任何变更和最新情况，对工作人员养恤金和应享权利个案进行分析；\",\n \"㈥ 为基金工作人员和有关人员提供经过确认的商务旅行;\",\n \"㈦ 安排养恤金联委会联合国成员、审计工作委员会和精算师委员会成员和基金工作人员的旅行；\",\n \"㈧ 维护工作时间和出勤记录；\",\n \"㈨ 维护“Quickplace”网站，供审计工作委员会成员获取与会议有关的文件。\",\n \"(d) 财务和预算管理：\",\n \"㈠ 就基金的两年期预算和订正预算向方案主管提供指导并完成预算编制工作；\",\n \"㈡ 发放拨款和订正拨款；\",\n \"㈢ 为所有支出提供证明；\",\n \"㈣ 监督支出，并每月向方案主管报告支出情况；\",\n \"㈤ 就《财务条例和细则》的实施向方案主管提供咨询和指导；\",\n \"㈥ 控制行政预算，包括核查发票后再付款；\",\n \"㈦ 完成基金年度财务报表附表一(批款状况与行政费用之比较)；\",\n \"㈧ 核对基金和联合国秘书处之间的行政费用。\",\n \"(e) 设施和财产管理：\",\n \"㈠ 确保设施得到维护和处于正常运行状况；\",\n \"㈡ 与房舍管理部门和供应商协调进行任何必要的维修；\",\n \"㈢ 管理与办公场所有关的合同；\",\n \"㈣ 协助规划和配置新的和现有的办公空间；\",\n \"㈤ 维护和支持基金固定资产的资产/库存管理系统；\",\n \"㈥ 协调处置陈旧设备和家具；\",\n \"㈦ 维护和支持基金的紧急情况通报系统；\",\n \"㈧ 维护紧急情况联络资料，供基金工作人员在安全/紧急行动中使用。\",\n \"表23 所需资源\",\n \"资源 (千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 1 659.3 1 718.6 7 7\",\n \"非员额 11 451.5 10 120.3 — —\",\n \"共计 13 110.8 11 838.9 7 7\",\n \"98. 所列经费11 838 900美元，减少了1 271 900美元，用于续设7个员额(1个P-5、1个P-4、1个P-3和4个一般事务(其他职等))和将1个P-3员额改叙为P-4员额，并包括整个行政方面的非员额资源。非员额资源减少1 331 200美元的主要原因是，在作出更准确的估算后，房地租金和维修费减少。\",\n \"C． 投资费用\",\n \"1. 概述\",\n \"99. 投资管理司根据秘书长代表依照《联合国合办工作人员养恤基金条例》第19条所给予的授权，协助秘书长管理基金资产的投资。该司负责这些资产的日常管理，执行核准的投资策略，并确保投资组合符合基金核准的资产分配、政策、条例和细则。其任务是创造满足负债需求的总体投资组合收益，同时不超出基金的风险限度。投资管理司确保执行情况报告和投资组合风险分析报告的准确性和及时更新，并安排对基金的投资予以适当和准确的记账。该司的主要科室有司长办公室、投资科、风险与合规科、业务科和信息系统科。\",\n \"100. 投资管理司总体所需资源总额在重计费用前为91 799 300美元，比2010-2011两年期订正批款净增加了10 601 800美元，增幅13.1%。下表25所示净增加额概述如下：\",\n \"(a) 行政领导和管理：减少1 567 900美元是由于非员额费用的减少，主要包括差旅(1 382 200美元)、咨询人(2 028 800美元)、其他工作人员费用(1 665 100美元)方面的减少，这些款项均在有关方案项下提出请批，从风险与合规科调入1名P-4职等法律干事和从业务科调入1个一般事务(其他职等)员额所增加的员额经费(508 200美元)和订约承办事务经费(3 000 000美元)的增加与之部分相抵；\",\n \"(b) 工作方案：增加7 451 700美元是由于新增6个员额，调入司长办公室的2个员额(1 115 100美元)和与订约承办事务(2 772 200美元)有关的非员额资源6 336 600美元与之相抵；此外，过去提交的文件中在行政领导和管理项下请批的其他工作人员费用(1 416 200美元)、工作人员差旅费(1 271 200美元)和咨询人费用(877 000美元)现均在工作方案项下提出请求；\",\n \"(c) 方案支助：信息系统科所需资源(5 794 500美元)净增4 718 000美元的原因是新增1个员额(863 600美元)以及订约承办事务费用(4 040 000美元)、其他工作人员费用(779 300美元)和差旅费(111 000美元)的增长(过去提交的文件中在行政领导和管理项下请批其中最后两项经费)，行政支助项下房地租金和维修费减少1 076 500美元，与之部分相抵，减少原因是该司位于达格·哈马舍尔德广场1号30层的办公室已装修完毕。\",\n \"101. 下文表24和25所示为资源分配估计数和按构成部分开列的所需资源。\",\n \"表24 按构成部分开列的资源分配百分比\",\n \"构成部分 经常预算\",\n \"A. 行政领导和管理 7.7\",\n \"B. 工作方案\",\n \"1. 投资 53.9\",\n \"2. 风险与合规 2.9\",\n \"3. 业务活动 12.0\",\n \"工作方案小计 68.8\",\n \"C. 支助\",\n \"1. 信息系统科 19.1\",\n \"2. 行政支助 4.4\",\n \"方案支助小计 23.5\",\n \"共计 100.0\",\n \"表25 按构成部分开列的所需资源\",\n \"(千美元)\",\n \"资源增长 分摊数\",\n \"构成部分 2010-2011年 数额 百分比 重计费用前 重计费用 联合国 养恤基金 2012-2013年 批款 共计 估计数\",\n \"A. 8 654.2 (1 (18 1) 7 086.3 52.33 — 7 138.6 7 138.6 行政领导和管理 567.9)\",\n \"B. 工作方案\",\n \"1. 投资 51 568.3 (2 (4.1) 49 476.6 655.8 — 50 132.4 50 132.4 091.7)\",\n \"2. 风险与合规 1 931.6 680.1 35.2 2 611.7 (19.2) — 2 592.5 2 592.5\",\n \"3. 业务活动 2 178.5 8 863.3 406.9 11 041.8 179.9 — 11 221.7 11 221.7\",\n \"B小计 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6\",\n \"C. 支助\",\n \"1. 信息系统科 11 777.3 5 794.5 49.2 17 571.8 253.2 — 17 825.0 17 825.0\",\n \"2. 行政支助 5 087.6 (1 (21.2) 4 011.1 16.9 — 4 028.0 4 028.0 076.5)\",\n \"C小计 16 864.9 4 718.0 28.0 21 582.9 270.1 — 21 853.0 21 853.0\",\n \"共计 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2\",\n \"2. 行政领导和管理\",\n \"所需资源(重计费用前)：7 086 300美元\",\n \"102. 投资管理司司长为该司各科制定各自的战略和优先事项设立框架，以确保该司在履行其任务规定，同时保证达到安全、业绩、责任和问责制方面的最佳状况，并确保充分遵守效率、能力和廉正的最高标准。司长通过反映出该司和整个基金的长期目标和优先事项的工作计划，促进对基金资产的有效控制和管理。司长领导投资管理司与基金的审计工作委员会、联合国审计委员会和内部监督事务厅(监督厅)开展合作。\",\n \"103. 司长办公室负责提供至关重要的法律、合同管理和请购服务及行政支助，包括针对投资管理司日益增长的需求作出人力资源战略预测。该办公室还为投资委员会提供服务和支持。\",\n \"104. 我们的目标是把司长办公室发展成为协助投资管理司监测和协调其工作计划的及时实施的一个单位。随着基金在投资类型、工作人员和科室数目方面持续增长并日趋多元化，司长办公室的范围和职责也在扩大。因此，倘若所需系统和人员配置充足的话，我们计划强化和扩充该办公室的职能，办法是设立任务和责任明确的专门部门来处理以下事项：法律和合同管理；请购服务、预算编制和发票处理；投资委员会和立法机构；行政相关事项。\",\n \"表26 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：确保全面执行法定任务并遵守养恤基金条例和细则，同时考虑到在投资和工作人员及财政资源方面涉及到养恤基金工作方案管理的投资委员会建议和秘书长代表的决定\\n 预期成绩 绩效指标\",\n \"⑴ 与秘书长代表协商决定：关于资产分配幅度、货币持有、市场加权、战略和战术性短期分配的指导方针；投资机会；信息系统和操作基础设施 (1.1) 基金的投资业绩优于市场\",\n \"⑵ 对投资管理司的采购需求进行有效的规划和协调 (2.1) 在6个月之内完成的招标书百分比\",\n \"⑶ 就各种类型的投资和合同提供范围广泛的法律咨询 (3.1) 成功完成新的投资交易并执行合同\",\n \"⑷ 向投资委员会和其他立法机构提供有效服务 (4.1) 没有收到投资委员会和其他参与者提出的任何投诉\",\n \"⑸ 工作人员得到及时征聘和安置 (5.1) 员额持续空缺的平均天数减少\",\n \"(5.2) 空缺率降低\",\n \"外部因素\",\n \"105. 目标和预期成绩应能稳定实现，前提是：(a) 所有利益攸关方对投资管理司的工作都给予支持和全力配合；(b) 在执行大会和养恤金联委会确立的任务时没有重大的资金缺口。行政领导方案的实现取决于联合国有关厅/司的全力合作。\",\n \"产出\",\n \"106. 2012-2013两年期期间将交付以下产出：\",\n \"(a) 定期更新和执行投资政策，以确保按照投资委员会接到的指令有力实施投资战略；\",\n \"(b) 就投资管理司的采购需求与采购司进行有效和定期的协调，制定一份中期采购计划，编写高品质的招标文件，加速招标进程；让高品质的企业参与约10次采购行动的投标过程；\",\n \"(c) 与法律事务厅的法律专家和法律顾问定期协调和接触，谈判和执行约160份合同；\",\n \"(d) 每年举办4次投资委员会会议。向联委会、行政和预算问题咨询委员会、第五委员会和其他有关各方提供有关投资的准确报告；\",\n \"(e) 贯彻落实投资管理司工作人员的差旅和培训计划。在180天之内填补职位空缺。\",\n \"表27 所需资源\",\n \"资源(千美元) 员额\",\n \"类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 1 941.6 2 449.8 7 9\",\n \"非员额 6 712.6 4 636.5 — —\",\n \"共计 8 654.2 7 086.3 7 9\",\n \"107. 所需资源总额为7 086 300美元，减少1 567 900美元，用于续设7个员额(1个D-2、1个P-5、1个P-4、1个一般事务人员(特等)和3个一般事务人员(其他职等))、分别从风险与合规科(1个P-4)和业务科(1个一般事务人员(其他职等))调入的2个员额以及全司在代表差旅费和招待费项下的非员额资源。非员额资源减少的主要原因是其他工作人员费用(1 665 100美元)、工作人员差旅费(1 382 200美元)和咨询人费用(2 028 800美元)经费分摊，增加的订约承办事务费用(3 000 000美元)与之部分相抵。\",\n \"3. 工作方案\",\n \"投资科\",\n \"所需资源(重计费用前)：49 476 600美元\",\n \"108. 投资科负责为基金实现最佳投资收益，同时避免不当风险。该科由7个组织实体组成，即北美股票、欧洲股票、亚太股票、全球新兴市场股票、债券、房地产和另类投资。投资科的主要职能是监测当前的投资组合，及时了解和追踪各金融市场的动态，作出并执行投资决定。履行这些职能的工作包括编写金融分析报告，出席大小会议，前往各国会晤一些分析员和公司管理人员。一个次要职能是协助编写给所有理事机构的报告。\",\n \"109. 投资科2012-2013年的任务包括：(a) 实现基金投资的长期目标，即按美国消费物价指数调整后，实际年收益率达3.5%；(b) 实现基金的投资业绩稳定地超过政策基准；(c) 保持与投资收益目标相匹配的风险程度；(d) 通过合理多样化减少货币风险和国家风险。\",\n \"表28 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：长期目标是：(a)在避免不当风险的情况下为基金实现最佳实际投资收益；(b)在资产形式、货币和地域方面令投资组合多样化 \\n 预期成绩 绩效指标 (1)养恤基金投资的长期实际年收益率按美国消费物价指数调整后达3.5% (1.1) 10年期内基金总收益与基金目标的比较业绩计量 2008-2009年：由于在2008年和2009年初经历了全球金融危机，基金在2009年12月终了的10年期内业绩比目标低1.7% 2010-2011年估计：根据初步数据，按实际价值计算，基金在2010年12月终了的10年期内业绩为3.5%，与基金的收益目标保持一致 \\n 2012-2013年目标：业绩优于实际年收益率达3.5%的长期目标\\n(2)基金的投资业绩稳定地超过政策基准，其构成是：60%为股票、31%为债券、6%为房地产和3%为现金 (2.1) 5年期内基金的总收益率与政策基准的比较\\n 业绩计量 2008-2009年：在2009年12月终了的5年期内业绩超过基准0.9% 2010-2011年估计：根据初步数据，按名义价值计算，基金在2010年的业绩为10.2%，略低于10.6%的60/31基准收益率 \\n 2012-2013年目标：业绩超过政策基准(3)通过合理的多样化减少货币风险和国家风险 (3.1) 投资的币种数目业绩计量 2008-2009年：截至2009年12月，投资于27种货币 2010-2011年估计：截至2010年12月，投资于35种货币 \\n 2012-2013年目标：进一步酌情优化基金资产在币种方面的配置 (3.2) 投资的国家数目 2008-2009年：截至2009年12月，投资于包括新兴市场国家在内的41个国家、国际/区域机构和投资信托公司 2010-2011年估计：截至2010年12月，投资于包括新兴市场国家在内的47个国家、国际/区域机构和投资信托公司 \\n 2012-2013年目标：进一步酌情优化基金资产在国家间的分配 (4) 将投资分散到另类资产类别 (4.1) 另类资产类别投资战略数目 业绩计量 2008-2009年：不适用 \\n 2010-2011年估计：2010年6月，另类投资高级投资干事加入基金。2010年6月至2011年12月期间的目标是敲定另类投资顾问的人选，并向5-10名经理作出承诺。2009年6月，实物资产顾问的人选敲定，并将于2011年初制定详细的战略。基金将向基础设施和木材/农业用地领域的几个基金投资\\n 2012-2013年目标：截至2013年底，基金预计将向15-20家私募基金和对冲基金投资。私募基金的长期表现将用美元加权收益率和内部收益率计算法来衡量；而对冲基金投资组合则将用时间加权收益率计算法来衡量。将与养恤基金的私募基金和对冲基金顾问一道讨论基金的基准设定问题，并将在后面的阶段中详细列报(5)工作人员处理投资和投资组合管理问题的能力提高 (5.1) 至少参加一次相关会议或研讨会的工作人员比例业绩计量 2008-2009年：不适用 2010-2011年估计：不适用 \\n 2012-2013年目标：每个工作人员至少参加一次相关会议或研讨会\",\n \"外部因素\",\n \"110. 目标和预期成绩应能稳定实现，前提是(a) 所有利益攸关方对投资管理司的工作都给予支持和全力配合；(b) 在执行大会和养恤金联委会确立的任务时没有重大的资金缺口；(c) 诸如全球股票、全球债券、房地产和外汇等金融市场的变动方向与长期假设一致。\",\n \"产出\",\n \"111. 2012-2013两年期期间将交付以下产出：\",\n \"(a) 总收益率优于基金目标，即，长期实际年收益率按美国消费物价指数调整后达3.5%；\",\n \"(b) 基金总收益率超过政策基准，其构成是：证券为60%，债券为31%，房地产为6%，现金为3%；\",\n \"(c) 在货币和国家方面保持较好的多样化投资组合，以期降低货币风险和国家风险；\",\n \"(d) 在市场条件有利于基金的情况下成功采用适合基金目标的另类资产类别，以赚取比投资于上市股票更高的收益率；\",\n \"(e) 通过参加与投资和投资组合管理直接相关的会议和研讨会，提高工作人员的专业素质和知识深度，将有助于提高基金的业绩。\",\n \"表29 所需资源\",\n \"资源(千美元) 员额\",\n \"类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 7 698.4 8 974.3 27 31\",\n \"非员额 43 869.9 40 502.3 — —\",\n \"共计 51 568.3 49 476.6 27 31\",\n \"112. 所需资源总额为49 476 600美元，减少2 091 700美元，用于续设27个员额(1个D-1、7个P-5、6个P-4、4个P-3、4个一般事务人员(特等)和5个一般事务人员(其他职等))、新设4个员额(3个P-4和1个P-3)及非员额资源。非员额资源减少的原因是订约承办事务费用减少(5 090 300美元)以及纳入了原来在行政领导和管理项下请批的其他工作人员费用(197 500美元)、工作人员差旅费(1 025 200美元)和咨询人费用(500 000美元)。\",\n \"风险与合规\",\n \"所需资源(重计费用前)：2 611 700美元\",\n \"113. 风险与合规科是一个新设机构，负责识别、计量和管理基金所面临风险的各方面问题。此外，在合规方面，该科负责实施对基金投资的有效的监测和控制程序。其职能包括两个分项职能：风险管理与合规。\",\n \"表30 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：规定控制措施，监测在投资管理司资金所涉各类风险(即市场风险、操作风险、信用风险、法律和名誉风险)方面的合规情况。这一职能还负责在资产和主管一级制定风险预算，监测对风险预算的遵守情况，根据既定风险承受度帮助投资部门将经风险调整的收益最大化 \\n 预期成绩 绩效指标 (1)有效监督养恤基金投资业务所包含的风险 (1.1)监测活动有效覆盖所有投资交易业绩计量(交易数) 2010-2011年：100% \\n 2012-2013年目标：100% (2) 制定风险管理框架 (2.1)全面实施风险分析系统，并培训所有投资组合管理人员将风险分析纳入投资组合构建过程 \\n 2012-2013年目标：100% (2.2)执行《风险管理手册》中列出的风险管理控制措施；风险控制措施的落实比例 业绩计量 成功落实所有既定的风险指导原则和控制措施 根据投资环境的变化或新确认的风险，监测控制措施，开展趋势分析，修正指导原则和控制措施 2010-2011年：75% \\n 2012-2013年目标：99% (3)遵守投资管理司既定的政策和程序 (3.1)符合各项政策和标准操作程序的投资交易比例 业绩计量(交易的百分比) \\n 2012-2013年目标：95% (3.2)保证工作人员在履行其作为国际公务员的职责和责任的过程中具有较高的道德标准 业绩计量(工作人员数) \\n 2012-2013年目标：100% (3.3)成功协调和帮助遵守审计建议 业绩计量(已完成的审计比例) \\n 2012-2013年目标：100% (4)落实多保管人和独立的总账管理人做法 (4.1)全面落实多保管人和独立的总账管理人制度，与风险管理、会计和交易订单管理等投资管理司的其他系统实现一体化 \\n 2012-2013年目标：100%\",\n \"外部因素\",\n \"114. 风险与合规科应能实现目标和预期成绩，前提是外部所有各方都对该科的工作给予支持和全力配合。其他外部因素包括：\",\n \"(a) 更加不稳定的股市；\",\n \"(b) 更加不稳定、大幅波动的货币市场，需要开展大量定量分析的能力，以利用与指数挂钩的工具来抵消风险；\",\n \"(c) 主权国家的信用风险增大；\",\n \"(d) 在不同地域同时出现通胀和/或通缩的环境下开展运作；\",\n \"(e) 国际贸易壁垒增多；\",\n \"(f) 宏观经济走势变化时的基准变化；\",\n \"(g) 因基准货币(美元)贬值而产生突发性资金不足的风险，致使资金达到历史高点，但由于对双轨制功能的使用增多以及用其他货币计价的负债增多，同时存在资金不足的潜在风险；\",\n \"(h) 商品价格大涨；\",\n \"(i) 失业率高企，成为发展中经济体持续存在的“新常态”；\",\n \"(j) 主权国家贷款违约。\",\n \"产出\",\n \"115. 2012-2013两年期期间将交付以下产出：\",\n \"(a) 维护政策和标准作业程序，即标准投资作业政策和程序、《风险管理手册》、合规政策和手册、道德规范和关于个人证券、礼物和招待的政策；\",\n \"(b) 完成对基金投资业务的季度合规审查，以确保有效控制基金的合规风险；\",\n \"(c) 管理回执核证、交易订单预先核准、个人证券报告、招待费记录和强制休假；\",\n \"(d) 组织有关投资合规和道德守则的培训方案(共2项全司参与的现场培训方案)；\",\n \"(e) 为全面遵守联合国年度财务披露方案开展协调；\",\n \"(f) 编制养恤金联委会审计工作委员会的定期报告(共8次列报)；\",\n \"(g) 为审计委员会和内部监督事务厅计划开展的内部和外部审计充当协调中心；充当处理道德操守办公室质询的协调中心。\",\n \"表31 所需资源\",\n \"资源(千美元) 员额\",\n \"类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 1 931.6 1 919.7 6 7\",\n \"非员额 — 692.0 — —\",\n \"共计 1 931.6 2 611.7 6 7\",\n \"116. 所需资源总额为2 611 700美元，增加680 100美元，用于续设5个员额(1个D-1、2个P-4和2个一般事务人员(特等))、从业务活动科调动1名P-4和1名一般事务人员(其他职等)员额到司长办公室以及新设1个员额(1个P-4)的费用。非员额资源增加的主要原因是纳入了原先在行政领导和管理项下请批的其他工作人员费用(321 600美元)、工作人员差旅费(193 400美元)、咨询人费用(127 000美元)和订约承办事务费用(50 000美元)。\",\n \"业务活动\",\n \"所需资源(重计费用前)：11 041 800美元\",\n \"117. 投资管理司业务科负责基金一切投资交易与相关活动的后台投资业务、会计、对账和财务报告工作。该科还负责及时和准确地结算一切投资交易和外汇交易，运用行业标准解决办法进行直通处理和例外情况处理。此外，该科还确保按照养恤基金采用的国际公共部门会计准则妥善记录所有投资活动，例如交易、外汇交易、收入核收、债务期限、税收和企业行动，以便编写具有足够的内部控制和审计跟踪的财务报表。另外，该科还负责编写每日现金预测，以便投资科能够管理投资管理司投资时使用的所有币种现金。从2012年1月1日起，业务科还将在养恤基金财务主任全面指导下，负责对所有应在全养恤基金的财务报表中报告和反映的投资活动适用国际公共部门会计准则。该科与托管人密切合作，以处理交易和外汇结算、未成功交易的利息索赔调查、收入核收、债务期限、税收和企业行动。该科还与总账管理人密切合作，每天核对现金和所持资产、基金投资的公平市场估值以及总分类账入账情况。该科与信息系统科密切合作，协助执行更高效的程序，确保内部控制，同时加强投资管理司的各种计算机化投资活动，以尽量减少人工干预。\",\n \"表32 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：确保基金投资的安全和提高投资财务报告的透明度\",\n \"预期成绩 绩效指标\",\n \"(1) (1.1) 在市场结算时限内结算的适当授权的投资交易所占百分比增加 自动化后台交易结算与核对进程，具备处理增加了的投资交易量的能力\",\n \"业绩计量\",\n \"2008-2009年：96.25%\",\n \"2010-2011年估计：98%\",\n \"2012年目标：99%\",\n \"2013年目标：99%\",\n \"(1.2) 为解决头寸/所持资产和现金差异所需天数减少\",\n \"2008-2009年：不适用\",\n \"2010-2011年估计：执行和测试阶段\",\n \"2012年目标：3天之内解决差异问题\",\n \"2013年目标：2天之内解决差异问题\",\n \"(2) 与理事机构协调，成功实行养恤基金所通过的国际公共部门会计准则 (2.1) 及时向基金财务主任上报该司编制的符合国际公共部门会计准则的财务报表(来年3月15日之前)\",\n \"业绩计量\",\n \"2008-2009年：2010年4月1日\",\n \"2010-2011年估计：2011年3月15日\",\n \"2012年目标：2012年3月15日\",\n \"2013年目标：2013年3月15日\",\n \"(2.2) 审计委员会就财务报表提出无保留的审计意见\",\n \"业绩计量\",\n \"2008年：无保留的审计意见\",\n \"2009年：经修改的审计意见\",\n \"2010-2011年估计：无保留的审计意见\",\n \"2012年目标：无保留的审计意见\",\n \"2013年目标：无保留的审计意见\",\n \"(3) 在新的双重托管人和独立总账管理人模式中业务功能进入全面运作 (3.1) 在新的托管人和总账管理人选定后所有业务系统进入全面运作\",\n \"外部因素\",\n \"118. 业务科预计能够实现其目标，前提如下：\",\n \"(a) 内部关键任务系统(Charles River交易订单管理系统、Murex MX.3、SWIFT和OMGEO)和独立总账管理人的总账入账系统及时提供全面的直通处理以及例外情况处理与对账；OMGEO、独立总账管理人和总账会计系统的落实都有赖于合同谈判取得成功；\",\n \"(b) 两位托管人及独立总账管理人在保管和总账管理服务方面的业绩令人满意。\",\n \"产出\",\n \"119. 2012-2013两年期期间，将交付以下产出：\",\n \"(a) 所有证券、房地产、另类资产和货币兑换交易在结算日或定值日的结算；\",\n \"(b) 每天针对例外情况进行证券/头寸/所持资产和现金，包括收入(股息、利息和现金分派)、期限以及企业行动的自动核对；\",\n \"(c) 2012年6月30日财务报表的成功检验或测试，并得到外聘审计人对遵守国际公共部门会计准则的情况予以的好评；\",\n \"(d) 在2013年3月15日之前，编制符合国际公共部门会计准则的财务报表和披露(仅投资部分)；\",\n \"(e) 将所有资产转至新的保管人，由其入账并重新登记；\",\n \"(f) 由新的总账管理人和保管人编制所有标准报告。\",\n \"表33 所需资源\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 2 178.5 2 029.6 11 10\",\n \"非员额 — 9 012.2 — —\",\n \"共计 2 178.5 11 041.8 11 10\",\n \"120. 编列经费11 041 800美元，增加了8 863 300美元，用于续设9个员额(1个P-5、1个P-3、2个一般事务人员(特等)和5个一般服务(其他职等))，调出2名一般事务(其他职等)员额，分别调往司长办公室以及风险和合规科，设立1个新员额(1个P-3)。非员额资源的增加主要是用于订约承办事务(7 812 500美元)以及行政指导和管理项下先前请批的资源，包括其他工作人员费用(897 100美元)、工作人员差旅费(52 600美元)和咨询人(250 000美元)。\",\n \"4. 方案支助\",\n \"信息系统科\",\n \"所需资源(重计费用前)：17 571 800美元\",\n \"121. 信息系统科负责技术、数据管理、应用程序、政策、程序和项目管理，以帮助投资流程和维护可靠的投资数据。该科将继续执行有关解决方案，以提高投资数据质量和便利性，对投资程序加以精简和标准化，并提供切实可行的技术，以执行安全政策，确保业务连续性，并执行符合投资管理司投资准则的控制措施，从而减少操作风险和业务风险。更为重要的是，该科将提供良好的投资数据，并使其成为解决方案的一部分，为养恤基金增值，并使明智的风险管理成为可能。\",\n \"表34 两年期目标、预期成绩和绩效指标\",\n \"本组织目标：提供信息技术解决方案和技术支持，以促进前后台投资流程\",\n \"预期成绩 绩效指标\",\n \"(1) (1.1) 能够对投资交易进行例外处理 执行投资管理司的信息和通信技术战略，包括实施与合并新的和现有系统，以便利投资活动\",\n \"业绩计量\",\n \"直通处理的交易所占百分比\",\n \"2008-2009年：不适用\",\n \"2010-2011年：90%(交易订单管理、SWIFT、保管人银行)\",\n \"2012-2013年目标：95%\",\n \"(1.2) 支持投资流程的标准化和现代化\",\n \"业绩计量\",\n \"标准化的业务流程所占百分比\",\n \"2008-2009年：不适用\",\n \"2010-2011年：85%\",\n \"2012-2013年目标：95%\",\n \"(1.3) 使风险与合规管理成为可能\",\n \"业绩计量\",\n \"所提供的风险与合规工具的数目\",\n \"2008-2009年：不适用\",\n \"2010-2011年：2\",\n \"2012-2013年目标：2\",\n \"(2) 提高投资管理司投资数据的质量、安全性和可获得性 (2.1) 投资数据得到及时核实与对账\",\n \"业绩计量\",\n \"编制的可靠投资报告所占百分比\",\n \"2008-2009年：50%\",\n \"2010-2011年：75%\",\n \"2012-2013年目标：90%\",\n \"(2.2) 信息技术服务的可获得性高\",\n \"业绩计量\",\n \"信息技术潜在操作风险所占百分比\",\n \"2008-2009年：25%\",\n \"2010-2011年：小于5%\",\n \"2012-2013年目标：小于1%\",\n \"外部因素\",\n \"122. 本次级方案预计能实现目标和预期成绩，前提是：(a) 联合国秘书处代表投资管理司进行的采购和法律程序在预计期限内完成；(b) 各利益攸关方履行自己的职责，对实现该司的信息和技术战略目标给予充分合作，便利该司的业务；(c) 信息管理系统处及时支持经过整合的信息和通信技术基础设施。\",\n \"产出\",\n \"123. 在2012-2013两年期将交付以下产出：\",\n \"(a) 交易订单管理(Charles River)、后台任务、对账、会计(Murex)以及银行间短信系统(SWIFT)得到成功和充分的执行和支持；\",\n \"(b) 数据中心、外汇和固定收益投资执行系统得到落实；\",\n \"(c) 投资流程得到妥善记载；\",\n \"(d) 投资交易实现例外情况处理；\",\n \"(e) 为业务流程的标准化和简化提供便利；\",\n \"(f) 为合规情况监测工作和系统提供支持和便利；\",\n \"(g) 执行数据自动输入，支持数据核查；\",\n \"(h) 支持数据对账；\",\n \"(i) 加强投资管理司基础设施；\",\n \"(j) 执行和支持安保政策和灾难恢复；\",\n \"(k) 使业务连续性成为可能。\",\n \"表35 所需资源\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"员额 1 593.9 2 457.5 7 8\",\n \"非员额 10 183.4 15 114.3 — —\",\n \"共计 11 777.3 17 571.8 7 8\",\n \"124. 编列经费17 571 800美元，增加了5 794 500美元，用于续设7个员额(1个P-5、3个P-4、2个P-3和1个一般事务人员(特等))，并设立1个新员额(1个P-4)。非员额资源的增加主要原因是订约承办事务所需资源增加(498 500美元)、把市场数据订约承办事务从投资科转至信息系统科(3 541 500美元)以及以前在行政领导和管理项下请批的资源，包括其他工作人员费用(779 300美元)和工作人员差旅费(111 000美元)。\",\n \"行政支助\",\n \"所需资源(重计费用前)：4 011 100美元\",\n \"表36 所需财政资源\",\n \"(千美元)\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"非员额 5 087.6 4 011.1 — —\",\n \"共计 5 087.6 4 011.1 — —\",\n \"125. 所列经费4 011 100美元，减少了1 076 500美元，用于全司的非员额资源。减少的主要原因是，由于装修哈马舍尔德广场1号新增办公空间，在2010-2011年订正预算中一次性请批房地租金和维持费(916 900美元)。\",\n \"D. 审计费用\",\n \"所需资源(重计费用前)：2 748 200美元\",\n \"126. 资源的分配情况见表37。\",\n \"表37 所需财政资源\",\n \"(千美元)\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"外部审计 661.2 774.7 — —\",\n \"内部审计 1 983.8 1 973.5 — —\",\n \"共计 2 645.0 2 748.2 — —\",\n \"127. 所列经费2 748 200美元，用于审计委员会请批的外部审计所需资源估计数(774 700美元)，以及内部监督事务厅请批的内部审计所需资源估计数(1 973 500美元)。\",\n \"1. 外部审计\",\n \"所需经费(重计费用前)：774 700美元\",\n \"128. 所列经费774 700美元，用于支付与审计委员会相关费用，这笔款项由审计委员会秘书处向养恤基金分摊。\",\n \"2. 内部审计\",\n \"所需经费(重计费用前)：1 973 500美元\",\n \"129. 所列经费1 973 500美元，用于续设5个一般临时助理人员员额(1个P-5、2个P-4、1个P-3和1个一般事务人员(其他职等))、培训和非员额资源(包括咨询人、工作人员差旅费、订约承办事务、通信、业务费用、用品和材料以及家具和设备。费用减少的主要原因是，由于标准薪金费用的减少而仅需要一般临时人员以及对其他非员额请批资源做出少许改动所产生的净影响。\",\n \"E. 联委会费用\",\n \"所需资源(重计费用前)：200 000美元\",\n \"表38 所需财政资源\",\n \"(千美元)\",\n \"资源(千美元) 员额\\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)\",\n \"联委会费用 167.5 200.0 — —\",\n \"130. 大会在第61/240号决议第四节中，批准将联委会费用，包括联委会会议的行政费用、主席的差旅费和工作组的差旅费等，列入基金预算并计入行政费用账目。\",\n \"131. 所列经费200 000美元，用于支付联委会开支所需估计数，包括主席出席联委会第五十九届和第六十届会议以及行政和预算问题咨询委员会会议和第五委员会会议的差旅费、首席执行干事人选物色小组的差旅费以及将于2012年7月和2013年7月举行的第五十九届和第六十届会议的行政费用(120 000美元)。\",\n \"四. 紧急基金\",\n \"132. 大会在第62/241号决议第三节中授权养恤基金补充2008-2009两年期紧急基金自愿捐款，数额不超过200 000美元。\",\n \"133. 提议由养恤基金联委会建议大会授权联委会补充2012-2013两年期紧急基金自愿捐款，数额不超过200 000美元。\",\n \"五. 为在2012年1月1日前执行国际公共部门会计准则所建议的临时措施\",\n \"134. 联委会在其2010年7月第五十七届会议上核准从2012年1月1日起执行国际公共部门会计准则，根据要求，秘书处和投资管理司在2011年7月向联委会提交了执行新会计准则的现况报告。\",\n \"135. 目前，养恤基金是根据《联合国财务条例和细则》提交报告的。据指出，联合国原本计划于2014年执行国际公共部门会计准则，在这方面，联委会获悉联合国计划向2012年大会第六十七届会议建议修改《财务条例和细则》。\",\n \"136. 鉴于修改《财务条例和细则》的时间安排，在养恤基金审计工作委员会的支持下，完全是为了养恤基金能够及时执行国际公共部门会计准则之目的，要求联委会向2011年大会第六十六届会议建议核准以下关于养恤基金财务报告的过渡性措施：\",\n \"“作为一项过渡性措施，联委会授权养恤基金在其会计核算流程和财务报告中继续适用经必要修改的《联合国财务条例和细则》，其方式应使养恤基金的做法符合国际公共部门会计准则。联委会谨此建议，按照《联合国合办工作人员养恤基金条例》第19条b款，秘书长以符合国际公共部门会计准则的方式，维持养恤基金所有投资和其他交易的详细账目。”\",\n \"137. 联委会获悉，一旦核准过渡性措施，养恤基金全面执行国际公共部门会计准则将兑现联委会关于在2012年采用国际公共部门会计准则的决定，但条件是养恤基金接下来要使其《财务条例和细则》正式化。养恤基金2012年的财务报表将根据公共部门会计准则提交并进行审计，后者将提供规管架构。\",\n \"138. 联委会在讨论后，认可了关于养恤基金财务报告的过渡性措施，建议2011年大会第六十六届会议核准这一措施。\",\n \"六. 有待大会采取的行动\",\n \"139. 养恤金联委会向大会提出如下建议：\",\n \"(a) 核准2010-2011年批款减少21 772 800美元。因此，2010-2011两年期订正批款为154 545 700美元，分为行政费用(80 478 500美元)、投资费用(71 289 000美元)、审计费用(2 532 900美元)和联委会费用(245 300美元)。其中，133 037 000美元将摊派给养恤基金，21 508 700美元将根据费用分摊安排，直接向联合国收取；\",\n \"(b) 核准2010-2011两年期预算外资源的订正预算估计数共计144 300美元；\",\n \"(c) 核准养恤基金2012-2013两年期预算估计数共计194 164 000美元，包括行政费用(98 407 600美元)、投资费用(92 938 200美元)，审计费用(2 613 800美元)和养恤金联委会费用(204 400美元)。其中，173 260 600美元将分摊给养恤基金，20 903 400美元将根据费用分摊安排，分摊给联合国；\",\n \"(d) 核准2012-2013两年期预算外费用的资源共计156 800美元，由若干成员组织出资；\",\n \"(e) 核准不超过200 000美元的一笔款项，以补充紧急基金所得捐款；\",\n \"(f) 核准为在2012年1月1日开始执行公共部门会计准则所采取的临时过渡财务措施。\",\n \"七． 为执行审计委员会以及行政和预算问题咨询委员会的各项要求和建议而采取的后续行动总表\",\n \"表39\",\n \"A. 行政和预算问题咨询委员会\",\n \"(A/65/567)\",\n \"要求/建议 为执行要求/建议而采取的行动\\n (a) 行预咨委会赞同审计委员会提出的与经修订的风险管理政策有关的建议和关于该司应继续执行新拟定的风险管理手册的建议(第7段)。 已执行了大部分控制措施，现正作出努力以执行其余的控制措施。《风险管理手册》是一分活文件，每季度都会更新。执行工作是一个持续过程，目标是执行所有控制措施。《风险管理手册》规定的某些控制措施是人工措施，需等待资源分配；其他的是自动化措施，需等待基础设施的现代化。等到达这些里程碑时，这些控制措施就将得到执行。\",\n \"(b) 行预咨委会赞同审计委员会的建议。行预咨委会感到关切的是，养恤基金收到包括一个强调事项段的无保留审计意见，该强调事项段涉及2009年12月31日终了两年期财务报表所示投资的实现的和未实现的亏损。行预咨委会敦促养恤基金执行审计委员会的建议(第9段)。 在投资管理司2011年3月11日提交养恤基金秘书处的2010年财务报表附注中已做了这项工作。该司将继续就这些披露与公共部门会计准则咨询师进行协商。\",\n \"(c) 行预咨委会重申其建议，即联委会继续探索在发展中国家和经济转型国家进行投资的机会(第10段)。 基金在继续研究各种机会；投资管理司司长和工作人员最近去了非洲和中东，以扩大我们在非洲投资中的获奖投资组合。司长将定期与世界银行和货币基金组织会晤，以审查新兴和前沿市场里新出现的机会。\",\n \"(d) 基金已最后确定公共部门会计准则的执行计划和时限，并已提交审计工作委员会和2011年7月举行的养恤金联委会第五十八届会议。招聘新的财务主任的工作也在进行中。 行预咨委会赞同审计委员会的意见，即养恤基金应及时最后确定并批准公共部门会计准则的执行计划。行预咨委会期待尽快招聘新的财务主任，与此同时，开始有关准备工作，以确保于2012年1月1日执行公共部门会计准则。此外，行预咨委会鼓励审计委员会密切监测养恤基金公共部门会计准则的执行进展情况，并重申其建议，即审计委员会应每年向大会报告这方面的进展情况(见A/65/498，第19段)(第13段)。\",\n \"(e) 行预咨委会强调应利用现有资源提供足够支助，以确保及时执行公共部门会计准则并对执行情况进行妥善管理(第15段)。 为执行公共部门会计准则而对现有资源进行重新分配的方案获得2010年7月举行的养恤金联委会第五十七届会议核准，并在2010年12月获得大会核准。现正为2012-2013年度申请追加资源。\",\n \"(f) 行预咨委会赞同养恤金联委会的要求，即医疗顾问应考虑是否有可能确立一项体检标准，专门用于根据《基金条例》第41条的规定参与基金目的(第18段)。 医疗顾问将根据要求就此事项向联委会2012年7月的届会提交说明。\",\n \"(g) 行预咨委会赞同审计委员会的意见，即有必要以具有透明度的方式披露联合国大学捐赠基金的投资，并注意到养恤金联委会已同意在今后提供这样的披露(第20段)。 在投资管理司2011年3月11日提交养恤基金秘书处的2010年财务报表附注中已做了这项工作。该司将继续就这类披露问题与公共部门会计准则咨询人进行协商。\",\n \"B. 审计委员会\",\n \"(A/65/9，附件十)\",\n \"要求/建议 为执行要求/建议而采取的行动\\n 审计委员会的主要建议是：\",\n \"(a) 基金应最后确定并批准《公共部门会计准则》的执行计划，确定执行公共部门会计准则项目的其他利益攸关方并促其参与该项目，以及详细说明《财务条例和细则》哪些方面需要修订(第27段)； 基金最后确定了执行计划和时限，并已提交审计工作委员会。成立了一个由来自投资管理司和秘书处的公共部门会计准则利益攸关方组成的指导委员会。在采用公共部门会计准则之前，基金目前仍将遵循以联合国系统会计标准为基础的《联合国财务条例和细则》。投资管理司正等待其《公共部门会计准则》咨询人就细则104.12、104.13、104.14、104.15和104.16的建议措辞提出建议，以确保符合公共部门会计准则的规定。将于2011年6月提交给审计工作委员会，于2011年7月提交给养恤金联委会第五十八届会议。\",\n \"(b) 基金将拖欠基金的款项记为应收账款和收入(第30段)； 已计算了成员组织拖欠的款项。在审查之后就予以公布。\",\n \"(c) 基金应在实际支付时，对前期所有未清债务和应计项目进行转回分录，并解决导致把已支付项目记为应计项目的控制措施的纰漏(第33段)； 基金已就Lawson账户的行政部分起草了关闭指示。执行办公室提出了第三稿征求财务科的审查和同意。根据这些指示，将对2006年1月1日至2009年12月31日期间的行政账户作调整，以得出结转至2010年1月1日的正确结余。将根据这些指示以2010年12月31日作为截止日关闭这些账户。\",\n \"(d) 基金执行经过改进的控制措施，确保及时收回未清款项，并制订关于不可收回的长期未清款项的会计处理政策(第43段)； 已执行了针对长期未清应收款的政策和程序。正在作出收款努力。\",\n \"(e) 基金考虑在其财务记录中为可疑债务提取备抵，以反映截至报告日期的可收回款项(第44段)； 基金2010年财务报表将为账龄超过2年的所有应收款列出备低。此外，从2010年开始注销无法收回的应收款项。\",\n \"(f) 基金用报告日现行业务汇率，对所有以外币标价的余额进行重新估值(第48段)； 同意。2010年财务报表将使用年末汇率把外币银行账户余额换算成美元。\",\n \"(g) 基金立即采取步骤，收回尚未退还的国外税款(第51段)； 正在进行。投资管理司继续作出广泛努力，防止各管辖区对其投资收入征税并收回被扣缴的税款。特别是，投资管理司的代表于2010年1月在北京会见了中国国家税务总局的代表，以解决正式承认并落实基金在该国的免税地位问题。该司代表还主动与巴西政府代表进行讨论，从而使巴西税务局于2010年4月发布一个措辞广泛的文告，正式承认基金在该国的免税地位。此外，该司最近发出了一个有关全球税务咨询服务的招标书。全球税务顾问将协助该司开展在全球的申请退税工作等事项。\",\n \"(h) 基金应把联合国偿还行政费用产生的应收款及相关收入记录在正确的会计时期(第54段)； 已考虑到这一点并在账户关闭程序中加以纠正。\",\n \"(i) 基金继续与联合国一起调节余额，确保差额完全对账(第57段)； 有一段时间基金使用基金间余额与联合国进行调节。联合国也使用这一余额数。基金现在在与联合国进行调节时恢复使用实际支出数。\",\n \"(j) 基金把正确的应计数额从应付账款模块上传至Lawson系统，同时对发现的差异账目进行调整(第63段)； 正在进行中。确定了错误的项目。将为2010年作出适当登录，以纠正这些余额数。\",\n \"(k) 基金每月定期核对应付账款模块和总分类账(第64段)； 财务科正等待COGNOS“方块”，以支助Lawson数据生成一份新报告。\",\n \"(l) 基金将应付账款借方余额重新调整为应收账款，完成数据清洗工作，以确保应付账款中包括的所有款项都是有效的应付款(第67段)； 这是个持续进行的流程。于2010年开始展开工作，将在2011年全年持续进行，以纠正这些账户。\",\n \"(m) 基金开发分析应付养恤金账龄的工具(第70段)； 财务科正等待COGNOS“方块”，以支助Lawson数据生成一份新报告。\",\n \"(n) 基金适用《养恤基金条例和细则》第46条，调整与所有应丧失数额有关的应付养恤金(第75段)； 这是一项持续进行的工作，是2011年底前要完成的数据清洗工作的一部分。\",\n \"(o) 基金按照联合国《财务条例和细则》的要求，遵守提交财务报表日期的规定(第79段)； 正如在提交审计委员会的报告(见A/65/9)中所指出的，由于需要对基金成员组织的付款实行调节程序，基金无法遵守3月31日这个完工期限。投资管理司于2011年3月11日向基金秘书处提交了财务报表中该司负责提供的部分。今后，该司将确保在下一年的3月15日之前向秘书处提交财务报表。\",\n \"(p) 基金制订并执行明确规定交易如何在养恤基金会计记录中入账的会计政策，并确保所有会计政策在财务报表中得到明确界定和披露(第84段)； 作为公共部门会计准则执行工作的一部分，将继续加强脚注。这项工作将继续是2010年和2011年财务报表的组成部分，在2012年将全面采用公共部门会计准则。\",\n \"(q) 基金编制财务报表所有细列项目的调节表或工作底稿，并编制与账本一致的有关计算或调整的附表(第89段)； 基金的报告撰写人把总分类账账户并入财务报表的细列项目，如此财务报表上的所有数字都可追溯到源文件。\",\n \"(r) 投资管理司在财务报表中完全披露其为联合国大学捐赠基金管理的投资(第92段)； 已执行。在投资管理司于2011年3月11日提交给基金秘书处的2010年财务报表的附注中已这样做了，具体在“管理的基金”项下。该司将进一步就这类披露问题与公共部门会计准则咨询师进行协商。\",\n \"(s) 投资管理司重新考虑其为第三方提供资金管理服务的正式安排(第93段)； 投资管理司将提供全面披露。该司将全面披露根据审计建议在1990年代为联合国大学捐赠基金设立的独立安排。这些安排包括一个单独的托管账户和一个独立的外部基金经理。从未将这些基金与养恤基金混合过。\",\n \"(t) 投资管理司继续执行其新拟订的《风险管理手册》(第111段)； 正在进行。已执行了大部分控制措施，现正作出努力以执行其余的控制措施。《风险管理手册》是一分活文件，每季度都会更新。执行工作是一个持续过程，目标是执行所有控制措施。《风险管理手册》规定的某些控制措施是人工措施，需等待资源分配；其他的是自动化措施，需等待基础设施的现代化。等到达这些里程碑时，这些控制措施就将得到执行。\",\n \"(u) 投资管理司进行一次逐案审查，以查明与2008-2009 年所有已实现投资亏损以及当前仍在持续的未实现亏损的头寸有关的可汲取的经验教训(第112段)； 投资管理司回顾了2008年的灾难性事件，并注意到长期过度宽松货币政策构成的风险。投资管理司已对超过25%的未实现收益和亏损执行了每周和每季度的正式合规和投资审查。\",\n \"(v) 投资管理司用表格分别列出出售投资的收益和亏损，并披露截至资产债务表日期的所有未实现收益和亏损，以在财务报表中对投资作出清楚说明和披露(第113段)； 已执行。在投资管理司于2011年3月11日提交给基金秘书处的2010年财务报表附注中已这样做了。该司将进一步就这类披露问题与公共部门会计准则咨询师进行协商。\",\n \"(w) 鉴于监督厅的审计结果反映出投资合规方面存在重大缺陷，投资管理司要处理好余留的待执行或执行中的建议(第117段)； 已执行。投资管理司于2009年10月雇用了一名合规事务干事，从而在合规方案方面取得了重要进展。执行了新的政策，包括有关个人交易、礼品和招待，以及强制性休假的政策。其他政策尚在等待审查和验收。该司的风险和合规事务科使用风险和合规手册及各种自动系统，监测基金投资，以确保该司的政策和标准得到充分监督和强制性执行。处理和落实了监督厅的多项建议。现在有一个正式的程序，用于及时监测和处理监督厅的建议。开设了对该司工作人员的培训班，其中一个班与道德操守办公室合办。风险和合规事务科已确认，目前不存在蓄意或经常违反该司政策或程序从而可能给养恤基金、其声誉、参与人或受益人造成财务损害的情况。\",\n \"(x) 基金在财务报表附注中更好地披露主要精算假设和与服务终了负债估值有关的变动情况(第124段)； 就2009年而言，基金列入2009年精算估值作为财务报表的组成部分。此外，基金第一次在财务报表正文里记录了离职后健康保险和与服务终了有关的负债。\",\n \"(y) 基金应当为与服务终了有关的负债制订一项筹资计划，供其理事机构审议(第131段)； 暂缓执行。任何筹资计划都将要求联合国为具体部分提供三分之一的资金。暂缓执行该建议，以等待联合国秘书处提出这样一个计划。\",\n \"(z) 基金在执行公共部门会计准则时考虑修订其年假负债估值政策(第139段)； 基金正在与联合国和公共部门会计准则工作队讨论，以决定是将年假作为当前债务还是作为精算估值处理。\",\n \"(aa) 基金采取措施确保及时和定期进行库存实物盘点并将盘点结果与资产登记册核对(第144段)； 每12个月就进行一次100%的库存检查。因为将从2012年开始执行公共部门会计准则，因此从2011年开始，这些检查将从每一年的第四个季度展开。此外，以后将保留有关这类检查的签字证明。\",\n \"(bb) 基金从联合国财产管理和库存管理股取得库存报告，并取得对ProcurePlus 系统的充分行政访问权，目的是更新所有资产和取得库存报告(第145段)； 每月都收到财产管理和库存管理股的库存报告。基金在2010年9月30日的备忘录和2010年10月15日的后续备忘录中向中央支助事务厅要求Procure Plus的访问权，现仍在等待答复。\",\n \"(cc) 基金秘书处制订一份人力资源计划(第149段)； 基金起草了一份人力资源计划并于2010年7月提交养恤金联委会第五十七届会议。\",\n \"(dd) 基金秘书处考虑采取办法，加强以留用退休人员情况作为衡量依据的更替规划(第153段)； 在与方案经理的协商下正不断发展和更新基金的培训和发展平台，包括在线学习。利用退休工作人员的专门知识来协助这一进程。又请见首席执行干事于2010年4月15日提交审计委员会的备忘录第8段。\",\n \"(ee) 鉴于监督厅的建议反映出在人力资源管理方面存在重大缺陷，基金应处理好监督厅的建议(第158段)； (a) 基金坚持执行工作人员条例5.1所规定的年假政策：“应允许所有工作人员享受适当的年假”和《工作人员细则》第105条。基金管理部门鼓励担负财务责任的人员每年不间断地休两星期年假。对投资管理司的工作人员而言，这是强制性的。\",\n \"(b) 执行办公室以人工方式每月编制人员配置表，并与综合管理信息系统(综管系统)进行核对。\",\n \"(c) 已建立了一个追踪系统，以监测工作人员的征聘情况，并将用于为征聘流程的每一个阶段制定基准。在基金拥有足够数据以计算自己的基准之前，将使用联合国的120天基准。鼓励负责征聘的经理仔细审查申请人，以实现性别均等。\",\n \"(d) 必须由主管为工作人员提出综管系统的功能包，并由执行办公室审查及作出相应授权。未经首席执行干事批准，执行办公室之外的工作人员无权使用综管系统的人力资源功能。\",\n \"(e) 在新的合同框架内，超过退休年龄的在职工作人员现在置于“临时”类别之下。2009年1月发布的总程序为临时工作人员的工作计划及之后对他们的考绩工作提供了一个附件，由主管和经理负责完成。\",\n \"(f) 主管与部门负责人和工作人员协商，在电子考绩报告里明确确定并记录每一个工作人员的培训需求。各部门将监测或继续监测执行情况。\",\n \"(g) 将继续进行合规监测，并向各部门负责人提供统计反馈和个人反馈，重点放在是否及时完成电子考绩报告上。\",\n \"(ff) 基金秘书处应核对成员组织的月度缴款并及时跟进未能调节的项目(第162段)； 在目前条件下，进行月度调节是不可行的。但刚展开一个试验性计划，以对一个可做月度调节的系统进行测试。\",\n \"(gg) 基金秘书处建立系统，以核实成员组织在年终结算前所提供信息的精确性，确保在财务报表定稿之前进行对账并核实对账结果(第167段)； 在2009财政年度展开了一个试验项目，并在2010年加以扩大，取得了积极成果。年底文档的自动文档转移和编辑检查功能提高了报告的精确性，减少了基金的手工工作量。\",\n \"(hh) (a) 将基金与其参与人和受益人的所有正式函件系统性地上载和扫描至内容管理系统的适当文档之内的做法是标准做法。这包括发送出去以澄清签名不一致问题的后续信函。如果在文档中找不到这类文件，那就是例外，是疏忽造成的。 基金秘书处在应享权利证明表中的签名与原有签名不同的情况下，将与受益人进行后续核实的证据上载到内容管理系统中；遵守第2001-68号总程序的要求，即所有能够取得的受益人签名数字图像均应输入内容管理系统(第174段)；\",\n \"(b) 正如上文所解释的，标准做法是，将与基金受益人和参与方的文档相关的所有文件上载至内容管理系统。文件遗失是疏忽造成的，是例外。\",\n \"(ii) 基金秘书处改进转移个案的总体处理时间，以达到六个月的处理时间目标(第180段)； 基金已处理了以前积压的转移个案，当年造成积压的原因是基金精算咨询人遇到长时间延误，以及事关某些个案的政策问题，在最后完成转移之前必须厘清这些政策问题。目前长期未决的个案很少，没有一个个案超过50天。因此，所有这些个案都达到了个案处理基准。\",\n \"(jj) 基金秘书处实施程序，定期在养恤金管理系统薪资单和Lawson系统(总分类账)之间进行调节(第184段)； 财务科正考虑在2011年为这类调节拟订一份COGNOS报告。\",\n \"(kk) 基金秘书处制定并核准全面的用户账户管理程序，以确保适当管理用户账户；实施定期监测用户账户有效性的程序(第188段)； 进行中。信息管理系统处引入了一项“访问、系统和数据权限”政策，以落实账户管理程序。在系统中引入了以群体为基础的角色，在主管提出要求时可通过这类角色限定访问权限。通过使用“积极通讯录政策”和“单点登录”程序在这些系统中执行了密码重置和安全参数设置。由于养恤金管理系统的限制，在这些老化的系统中引入“定期记录和系统活动审查”功能被认为是不可行的；因此，对即将用来更换的综合养恤金管理系统而言，这些功能是必须要具备的。\",\n \"(ll) 基金秘书处审查更改请求和服务请求程序，以考虑到审计委员会指出的需要改进的方面(第193段)； 建议结案。信息管理系统处审查了更改请求和服务请求程序，更新了更改请求工具，以列入一个字段，显示在要求测试和批准执行时是否要求同时提供文件。\",\n \"(mm) 基金秘书处监测遵守更改控制程序的情况，并保持适当的更改控制管理文件记录(第195段)； 建议结案。信息管理系统处已执行了更改管理政策并建立了一个用于批准和追踪的全面自动系统。各项流程已经到位。该处和主管们目前正每日监测遵守更改控制程序的情况，并强制执行一项有关记录在执行前进行的任何和所有更改的政策。\",\n \"(nn) 基金秘书处执行信息技术质量保证职能，确保建立和保持一定程度的信任；执行控制措施，防止程序分析员使用数据库管理员的用户名和密码(第202段)； 建议结案。信息管理系统处尽管拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过修改请求流程记录每一个步骤(例如，分析师、开发人员、迁移等)，从而确认和监测了该处责任分离政策的适当执行情况；修改请求流程需经两个人审查：第一核签人和第二核签人。已作出更改，如此数据库管理员的用户名和密码只提供给数据库管理员。\",\n \"(oo) 基金秘书处审查程序分析员的使用权是否适当，特别注意生产环境的进出，并制定程序，对需要进出生产环境的情况进行管理(第204段)； 建议结案。尽管信息管理系统处拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过确保将与分析/开发和移动到生产有关的任务分派给两个不同的人的做法维持责任分离。此外，系统修改计划已经到位，以管理和监测这个流程。\",\n \"(pp) 基金秘书处确保在经测试及核准的更改从开发环境转入测试环境以及从测试环境转入生产环境的过程中，各种责任分离得当(第206段)。 建议结案。尽管信息管理系统处拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过确保将与开发、测试和移动到生产有关的任务分派给不同的人的做法维持责任分离。此外，系统修改计划已经到位，以管理和监测这个流程。\",\n \"附件一\",\n \"联合国工作人员养恤金联合委员会关于2010-2011两年期订正预算估计数和2012-2013两年期预算估计数的讨论\",\n \"基金的行政事项\",\n \"(a) 2010-2011两年期订正预算估计数\",\n \"1. 联合国合办工作人员养恤基金秘书处提请，相对于订正批款176 318 500美元，将2010-2011两年期预算估计数减少21 772 800美元。因此，2010-2011两年期最后订正批款为154 545 700美元，其中21 508 700美元由联合国按照费用分摊安排支付。\",\n \"(b) 2012-2013两年期预算估计数\",\n \"2. 2012-2013两年期拟议预算估计数编列了215 999 100美元用作核定支出 (重计费用前)，而2010-2011两年期的核定支出总额为176 318 500美元。预算报告列报了行政费用101 768 500美元、投资费用111 282 400美元、审计费用2 748 200美元、联委会费用200 000美元。此外，该估计数还为一个离职后健康保险预算外员额编列了152 900美元的费用，并为紧急基金编列了不超过200 000美元的费用。\",\n \"行政费用\",\n \"3. 行政费用项下拟议预算重计费用前总额为101 768 500美元，比2010-2011两年期批款增长10.2%，比2010-2011两年期订正预算估计数增长26.5%。\",\n \"4. 关于行政费用，秘书处强调说，尽管养恤金综合管理系统项目费用估计数总额保持未变，但由于执行战略的改变，原先的时间表发生了变化，因此该项目2010-2011两年期支出出现节余，继而在2012-2013两年期预算中请批这项资金。此外，按照秘书处的中期人力资源战略计划，拟请增设16个常设员额，改叙3个员额，列示如下：\",\n \"新员额\",\n \"数目 职类/职等 职衔 \\n 数目 职类/职等 职衔 \\n 1 D-1 技术评价和风险管理主任 \\n 1 P-5 客户服务、记录管理和分发股股长 \\n 1 P-3 记录管理和分发组组长 \\n2\\t一般事务(其他职等)\\t福利助理\\n 1 P-4 会计，公共部门会计准则专家 \\n 1 一般事务(特等) 高级会计助理 \\n 1 P-4 会计 \\n 1 P-5 安保主任 \\n 1 P-5 企业架构主管 \\n1\\t一般事务(其他职等)\\t法律助理\\n 1 P-4 财务和预算干事 \\n 1 P-3 人力资源/训练干事 \\n 1 一般事务(特等) 人力资源助理 \\n1\\t一般事务(其他职等)\\t差旅助理\\n 1 一般事务(特等) 高级设施管理助理 \\n 改叙 \\n 1 P-4至P-5 支付股股长 \\n 1 P-4至P-5 出纳员 \\n 1 P-5至D-1 首席法律干事\",\n \"投资费用\",\n \"5. 投资费用项下拟议预算重计费用前总额为111 282 400美元，比2010-2011两年期批款(81 197 500美元)增长37.1%，比2010-2011两年期订正预算估计数(71 289 000美元)增长56.1%。\",\n \"6. 在投资费用项下，秘书长代表请批的资源包括下表列示的20个增设员额和以下各项所需追加资源：为落实领导基金所涉投资组合管理领域的订约承办事务；小盘股增加；总账管理人；信息技术项目。\",\n \"新员额\",\n \"数目 职类/职等 职衔 \\n 1 P-5 高级法律干事 \\n 1 P-4 投资委员会秘书 \\n 1 P-5 高级投资干事——外部管理 \\n 1 P-4 投资干事——固定收入和外币 \\n 1 P-4 投资干事——另类投资 \\n 1 P-4 投资干事——全球新兴市场 \\n 1 P-4 投资干事——交易执行干事 \\n 1 P-3 投资干事——北美股票 \\n 1 P-3 投资干事/分析员——房地产 \\n1\\t一般事务(其他职等)\\t交易执行助理\\n 1 P-4 尽责和定量战略风险管理人 \\n 1 P-3 合规分析员兼业务风险管理人 \\n1\\t一般事务(其他职等)\\t风险与合规主任助理\\n 1 P-4 会计和报告主管 \\n 1 P-3 财务干事，调节 \\n 1 D-1 首席信息技术干事 \\n 1 P-4 数据管理干事 \\n 1 P-3 信息安全干事 \\n 1 P-3 调节管理员 \\n1\\t一般事务(其他职等)\\t行政助理\",\n \"审计费用\",\n \"7. 基金请批外部审计费用74 700美元，内部审计费用1 973 500美元，共计2 748 200美元，净增长103 200美元。其中113 500美元为外聘审计人费用。\",\n \"养恤金联委会费用\",\n \"8. 请批费用共计200 000美元，用于两届联委会会议的费用以及主席和遴选委员会征聘下一任首席执行干事所需差旅费。\",\n \"预算外资金\",\n \"9. 请批预算外资源152 900美元，用于1个一般事务(其他职等)员额，该员额由参与离职后健康保险计划的成员组织供资。\",\n \"紧急基金\",\n \"10. 为紧急基金请批不超过200 000美元的补充数额。\",\n \"预算工作组\",\n \"11. 预算工作组提出并经联委会核可的评论意见和建议列述如下。\",\n \"12. 按照联委会第五十七届会议所作决定，预算工作组于2011年7月6日开始工作。\",\n \"13. 工作组原先经联委会同意的组成有所改变，更换了一名行政首长组代表和一名参与人组代表。工作组的最后组成如下：\",\n \"J. Forest(国际电信联盟)女士，代表理事机构\",\n \"G. Kuentzle先生(联合国)，代表理事机构\",\n \"Y. Mortlock女士^(*) (国际移徙组织)，代表行政首长\",\n \"S. Van Buerle女士(联合国)，代表行政首长 (当选为主席)\",\n \"H. Baritt先生^(*) (世界卫生组织)，代表参与人\",\n \"C. Santos-Tejada先生(联合国)，代表参与人\",\n \"A. Castellanos del Corral先生(退职国际公务员协会联合会)，代表养恤金领取人\",\n \"T. Teshome先生(退职国际公务员协会联合会)，代表养恤金领取人\",\n \"^(*) 新成员。\",\n \"14. 工作组面前有下列文件：养恤基金实施国际公共部门会计准则(公共部门会计准则)的情况；2010-2011两年期订正预算估计数；基金2012-2013年期间战略框架；2012-2013两年期预算估计数。工作组与秘书处和投资管理司进行了有意义的互动，从中获得了助益。\",\n \"2010-2011两年期执行情况报告\",\n \"15. 如联委会第五十五届会议报告(A/63/9)第195段及其第五十七届会议报告(A/65/9)第137段所述，联委会决定，养恤基金秘书处应每年在方案预算执行情况报告中向联委会提供关于核定预算与实际支出之间的预算差异的详细分析。工作组注意到部分信息已经提供，但认为未来的执行情况报告应按各类支出的主要用途提供更详尽的差异细目。工作组还指出，公共部门会计准则要求对预算与实际支出之间的差异作出说明，这样做可以改善联委会对未来预算报告的审议。而且，如果项目或举措的实施方法、战略等方面的改变对这一时期的工作方案有较大影响并因此影响到支出数额，也应对这一点作出充分的说明。特别指出的是，某些预期的两年期间支出节余实际上是将所需资源改为划入了下一个预算期，这种情况应在新的预算报告中列明，以便审查请批的数额，特别是为养恤金综合管理系统项目请批的数额。\",\n \"16. 在这方面，工作组认为，为特定两年期拟定的资源原则上应该用于该两年期间的核定用途。工作组还注意到，投资管理司的“订约承办事务”一再出现支出节余。工作组表示赞赏该司努力以注意成本的方式行事，并鼓励继续如此行事，以便使预算估计数更符合实际执行情况。\",\n \"2012-2013年期间战略框架\",\n \"17. 工作组确认，为改进基于成果的列报做法进行了持续努力，特别是列报了更突出重点的目标、预期成绩和绩效指标。工作组建议，基金后勤框架的拟定应该符合SMART原则——具体、可计量、可实现、切实可行、有时限，以便联委会有效评价基金在实现预期成果方面的执行情况。工作组指出，战略框架需要根据即将对2012-2013两年期预算作出的决定进行修改。\",\n \"18. 此外，工作组还指出，按照联合国的既定预算流程，战略框架本应在非编制预算年提交联委会，以便联委会就优先事项和工作方案为基金提供相关指导，作为拟定下一个财政期预算的基础。由于这是联委会作出要求提交战略框架的决定之后第一个提交战略框架的年份，因此确认，规定的周期将从2012年开始实行，届时应向联委会第五十九届会议提交2014-2015 年期间战略框架。\",\n \"2012-2013两年期预算估计数\",\n \"19. 在审查拟议预算以及基金各利益攸关群体提出的关切问题时，工作组所遵循的原则是，必须确保基金任务的执行工作达到最高的效率、最大的效益和最强的成本意识，特别侧重于通过各种举措增加收益、减少风险和(或)为各利益攸关群体提供更好的服务。最重要的是，工作组审查了为寻求更多资源所提出的理由。对于其中几种情况，工作组认识到，公共部门会计准则、养恤金综合管理系统以及其他举措的影响和意义尚未得到全面了解。此外，工作组认为，在首席财务干事(尚待征聘)能够表达他或她对人员配置结构的看法之前，寻求增加资源还为时过早，这些追加资源会锁定人员配置结构。工作组还认为，通过加强纽约与日内瓦之间的业务整合，可以实现进一步的协同作用。首席执行官向工作组报告说，正在考查各种外包机会。工作组建议，为了实现更高的行政成本效益，应该更仔细地审查各种离岸化和外包选择，特别是在当期租约即将到期的情况下这样做。\",\n \"20. 另外，工作组充分认识到各参与组织和会员国面临的财政状况，特别指出它们需要实现效率更高、效益更大的方法来交付工作成果。就养恤基金而言，工作组注意到拟议预算具有扩张性，而且在很大程度上取决于养恤金综合管理系统(尚在进展中的项目)的未来预期效益，因此要求进一步说明基金已经采取或者可以采取哪些行动，以改善工作、提高效率并节省费用，包括该项目将会带来的人员配置结构变化。\",\n \"21. 预算工作组认识到，参与人人数不断增长，过去10年来增加了4.2%。同一时期，管理参与人的复杂性也大大提高，主要是因为基金的养恤金调整系统相关条款的数目增加。\",\n \"22. 过去几年来，基金的预算也出现前所未有的增长。2012-2013年2.16亿美元的拟议预算比2010-2011年预算(核定1.763亿美元)增加了23%，比2008-2009年1.282亿美元的预算增加了68%。\",\n \"23. 为了更有效地评价总体行政预算，工作组审查了“每个参与人”费用(总费用除以参与人人数)。计算包括了通货膨胀调整，结果表明，过去10年来，每个参与人的年均管理费用为197美元。2.16亿美元的拟议预算等于每个参与人248美元，增加了26%。\",\n \"经通货膨胀调整后的每个参与人费用\",\n \"(美元)\",\n \"[]\",\n \"24. 首席执行干事向工作组确认，行政部门使用了若干主要业绩指标，以跟踪基金的效益和效率。工作组建议，基金应努力将未来的拟议预算同这些指标联系起来。\",\n \"预算列报和方法\",\n \"25. 联委会第五十七届会议决定，未来的拟议预算文件应在联委员届会90天以前提交，决定工作组赞赏地注意到该决定完全得到了遵守。这为预算工作组及早审查提供了便利。工作组注意到，已经尽力使所提交文件中的列报内容与联合国使用的方法相一致。\",\n \"26. 然而，工作组普遍认为，基金需要修改其预算文件中的列报内容，应该更清楚、更简要地说明各项变化的理由，以便联委会作出决定。对文件进行质量审查也会有助于去除前后不一之处，并确保以汇总方式列报交叉性举措，适当使用图表，以便于对各项举措的理解。此外，如联委会先前建议的那样，基金应继续确保与联合国的预算列报方法更为一致，特别是区分增长造成的变化和费用计算参数变更造成的变化，费用计算参数系指货币、通货膨胀或标准薪资费用。\",\n \"27. 工作组关切地注意到，某些职能和服务的整合与合并很少取得或没有取得进展，这些职能和服务仍然倾向于使用各自为政的业务方法；同样，在后台任务方面，为实行节省成本的举措做了哪些工作，这一点也不清楚。联委会不妨考虑请首席执行干事和秘书长代表共同研究可选办法，并提交未来的联委会届会。\",\n \"信息技术\",\n \"28. 工作组注意到，基金为信息系统科和信息管理系统处请批6 600万美元经费，用于信息技术相关活动。这一经费数额也许最后会证明是合理的，但是，鉴于提交联委会的拟议预算越来越复杂，不妨结合预算编写一份简明、全面、综合的信息技术战略并提交联委会第五十九届会议，该战略应包括基金有关业务领域的独立信息技术专家所作的鉴定。\",\n \"29. 在这方面，工作组注意到，基金在很大程度上依赖国际电子计算中心。特别是，在提及该中心的预算时，工作组了解到，养恤基金是该中心服务的第二大用户，仅次于外勤支助部。工作组获悉，由于该中心的性质，它的服务没有进行竞价投标，因此令人疑虑这是不是满足基金的需要而不损害数据安全或保密性的最具成本效益、最经济合算的办法。同时，工作组在同基金代表进行访谈时注意到，基金通过该中心分开配备工作人员，有大约13名通过订约承办事务聘用的工作人员，其职等从一般事务(其他职等)到P-5不等，有些人员自2004年以来一直受聘。\",\n \"公共部门会计准则\",\n \"30. 工作组高兴地听到首席执行干事报告说，公共部门会计准则项目已取得良好进展，基金很有可能按期完成任务。其余有关固定资产和雇员福利的问题看来已得到妥善处理。秘书处和投资管理司现有财务人员熟知公共部门会计准则的各项标准。工作组认为，长期而言，公共部门会计准则将被纳入各级财务管理职责，与联合国系统会计准则的实施方式大体相同。\",\n \"31. 工作组认为，没有必要设立两个专门负责公共部门会计准则的新员额，更适当的是提供一些短期咨询资金，用于协助处理财务报表、减值测试和政策文件。\",\n \"养恤金综合管理系统\",\n \"32. 就养恤金综合管理系统而言，工作组欢迎首席执行干事确认将养恤金综合管理系统项目作为最高优先事项。工作组指出，养恤金综合管理系统将从根本上把组织办法从个案驱动变为程序驱动。工作组回顾说，该系统的目的是提高效率并更好地提供服务。在这方面，工作组认为，对所有现行相关程序的审查和适当改进必须成为整个养恤金综合管理系统改革管理过程的固有组成部分。工作组还鼓励基金确保该项目并不主要由信息技术驱动，因为实质性领域的全面自主是不可或缺的。\",\n \"33. 工作组建议，联委会应该要求提交一份报告，说明基金在实施养恤金综合管理系统之后的预期组织结构，供联委会第六十届会议结合下一次预算报告进行审议。该报告还应包括对所有因实施该系统而受影响的员额的战略评价。\",\n \"34. 2010年，基金扫描了639 499份文件，共1 120 602页。养恤金综合管理系统意在取代应享权利、会计和文件管理系统。工作组注意到，在该项目中，看来已为会计和应享权利分配人员配置资源，但没有专为文件管理分配具体资源。工作组鼓励基金监测该项目所需的各种技能，确保资源分配到位，解决文件管理问题。\",\n \"35. 目前的预算包括支持遗留系统所需要的额外订约承办事务和其他费用，而遗留系统将被养恤金综合管理系统取代。首席执行干事保证，新系统将按项目时间表和预算完成，也可能会低于预算。\",\n \"36. 养恤金综合管理系统项目将对提供服务产生重大影响。因此工作组建议，在下一次预算报告中应提供一份订正组织结构图。\",\n \"拟议资源\",\n \"员额\",\n \"37. 按照上文第19段所述原则和标准，并经过有行政和管理人员参与的一系列协商，工作组着手对员额进行了如下审查。基金总共请设3个改叙员额(3个秘书处员额)和36个新员额(16个行政部门员额和20个投资管理司员额)。经过审查每个员额并同秘书处和投资管理司对话，工作组提出以下意见：\",\n \"(a) 不支持拟议的改叙；\",\n \"(b) 支持在投资管理司设立7个新员额，如表1所列；\",\n \"(c) 支持设立表2所列一般临时职位(并非原先请设的员额)；时间和目的如该表所示；\",\n \"(d) 不支持在基金执行办公室设立新的P-4财务和预算干事员额。根据所提供的说明，现有P-3财务和预算干事员额的职能复杂程度有所增加，因此工作组支持将该员额改为P-4职等。\",\n \"表1\",\n \"款次 员额 员额数目 职类 \\n B. 投资 \\n 工作方案 \\n 投资 投资干事——另类投资 1 P-4 \\n\\t投资干事——全球新兴市场\\t1\\tP-4\\n 投资干事——交易执行 1 P-4 \\n 投资干事——北美股票 1 P-3 \\n风险与合规\\t尽责和定量战略风险管理人\\t1\\tP-4\\n 业务 财务干事，对账 1 P-3 \\n 方案支持 \\n 信息系统 数据管理干事 1 P-4\",\n \"表2\",\n \"款次\\t一般临时人员职位\\t数目\\t职类\\t备注 \\n A. 行政 \\n 工作方案 \\n业务\\t记录管理和分发主管(信息管理干事)\\t1\\tP-3\\t24个月非经常职位\\n\\t客户服务福利助理(纽约)\\t1\\t一般事务(其他职等)\\t24个月非经常职位\\n B. 投资 \\n司长办公室\\t法律干事/法律室^(a)\\t1\\tP-4\\t12个月非经常职位\\n 工作方案 \\n业务\\t会计和报告主管\\t1\\tP-4\\t仍在一般临时人员项下，不改为员额\\n 方案支助 \\n信息系统\\t静态数据管理员\\t1\\tP-3\",\n \"^(a) 提供服务所需资源将从法律室调拨。\",\n \"行政\",\n \"38. 在信息管理系统处项下，经过与基金讨论在持续需要用专职能力实施养恤金综合管理系统的情况下如何排定信息技术项目的优先次序问题，工作组不支持“综合管理举措”，并建议将预算减少2 543 300美元(重计费用前)。这将使行政预算有必要地减少订约承办事务(1 133 300美元)以及家具和设备(1 410 000美元)的费用。\",\n \"临时员额\",\n \"39. 工作组支持为养恤金综合管理系统项目续设17个临时员额，其职等如下：1个P-5，7个P-4，4个P-3，5个一般事务(其他职等)。\",\n \"其他工作人员费用\",\n \"40. 工作组同意其他工作人员费用项下请批的数额，该数额因业务/行政项下核准的2个一般临时人员职位所需追加资源而作了调整，如表2所列。\",\n \"咨询人\",\n \"41. 工作组支持请批的数额，共计300 000美元(重计费用前)。\",\n \"差旅\",\n \"42. 工作组建议订正批款数额减少10%。\",\n \"订约承办事务\",\n \"43. 工作组支持请批的数额，该数额因综合管理举措项目请批资源未获核准而作了调整。\",\n \"招待费\",\n \"44. 维持订正批款数额。\",\n \"一般业务费用\",\n \"45. 工作组同意行政项下请批的数额。工作组注意到一般业务费用有所增加，原因是300万美元的银行手续费。这项费用比上一个两年期增加了约50万美元。工作组请基金审查银行业务机制，力求减少这些费用。下一次提交预算时应提供一份简要报告。\",\n \"用品和材料\",\n \"46. 工作组支持请批的数额。\",\n \"家具和设备\",\n \"47. 工作组支持请批的数额，该数额因综合管理举措项目请批资源未获核准而作了调整。\",\n \"48. 表3汇总列示上述关于行政部门非员额项目的建议。\",\n \"表3 (千美元)\",\n \"其他工作人员费用 3 910.3\\n 咨询人 300.0\",\n \"差旅 1 224.5\",\n \"订约承办事务 31 847.9\",\n \"招待费 4.0\",\n \"一般业务费用 14 248.0\",\n \"用品和材料 185.8\",\n \"家具和设备 2 011.0\",\n \"非员额资源共计 53 731.5\",\n \"投资管理司\",\n \"其他工作人员费用\",\n \"49. 工作组建议按订正批款数额批拨资源，该数额因增设2个一般临时人员职位所需追加资源(非经常资源，为1个P-4法律室法律干事供资12个月，为1个P-4会计和报告主管供资24个月)而作了调整，如表2所列。\",\n \"50. 此外，工作组同意投资管理司设立一个P-2风险与合规执行情况分析员和一个P-3静态数据管理员，在其他工作人员费用项下核定总资源范围内安排(如表3所列)。\",\n \"咨询人\",\n \"51. 根据对公共部门会计标准所需总资源的审查，工作组建议将所需资源估计数500 000美元减少到250 000美元。因此，咨询人项下经费为1 177 000美元(重计费用前)。\",\n \"差旅\",\n \"52. 工作组建议维持订正批款数额。\",\n \"订约承办事务\",\n \"53. 在订约承办事务项下，工作组目前不支持为领导基金请批的11 250 000美元数额。工作组认为，批拨这一数额等于改变投资战略，但这种改变应在联委会届会上讨论并得到投资委员会的明确支持。\",\n \"54. 此外，工作组获悉，最近的保管人/总账管理人服务合同谈定费用低于预期数额，因此建议将该项支出减少4 138 300美元。\",\n \"招待费\",\n \"55. 工作组建议维持订正批款数额。\",\n \"一般业务费用\",\n \"56. 工作组同意请批的数额。\",\n \"用品和材料\",\n \"57. 工作组建议维持订正批款数额。\",\n \"家具和设备\",\n \"58. 工作组建议维持订正批款数额。\",\n \"59. 表4汇总列示上述关于投资管理司非员额项目的建议。\",\n \"表4\",\n \"(千美元)\",\n \"其他工作人员费用 2 892.2\\n 咨询人 1 177.0\",\n \"差旅 2 000.0\",\n \"订约承办事务 62 532.1\",\n \"招待费 22.0\",\n \"一般业务费用 4 485.1\",\n \"用品和材料 160.0\",\n \"家具和设备 700.0\",\n \"非员额资源共计 73 968.4\",\n \"养恤金联委会费用\",\n \"60. 工作组完全支持请批的作为联委会费用的经费。\",\n \"预算外资金\",\n \"61. 工作组支持由参加计划的各成员组织出资的一名一般事务(其他职等)工作人员的经费。\",\n \"联委会的讨论情况\",\n \"62. 联委会赞赏地注意到按照要求在大会开始前90天提交了预算文件，使得预算工作组可以对文件进行详细审查。\",\n \"63. 行政首长支持工作组的工作成果并欣见列报的预算符合国际公共部门会计准则第24条，而且是在联委会要求的时间范围内编制完成。行政首长关注的一点是，拟议预算中提供的信息有不准确之处，使得工作组进行的分析和联委会的审议工作变得更加复杂。行政首长建议应酌情彻底利用比率进行分析。行政首长还指出以往期间核准的预算未全部支出。\",\n \"64. 各理事机构核准了工作组的建议。理事机构建议在今后的会议上，应更早提交文件，同时附上主要官员的前言说明，以便为工作组的审议提供更全面信息。\",\n \"65. 参与人小组支持工作组提出的建议并注意到各项资产负债管理研究建议基金资产实现多样化并寻求投资于另类资产。参与人小组忆及以往大会会上提出的尽可能审慎行事的建议。参与人小组还忆及预算制约不应阻碍专业进展。\",\n \"66. 退职国际公务员协会联合会支持工作组的结论并向工作组表示感谢。\",\n \"67. 该联合会进一步指出，应在必要时根据通货膨胀和货币影响调整参照基数，在厉行节俭的大环境下，应在诸如差旅和信息技术等项目方面视可能寻求减少费用，而且请批的预算应与战略目标密切相关。应尽早事先说明养恤金综合管理系统的任何系统变化可能对成员组织产生的影响。\",\n \"68. 联委会成员还指出：\",\n \"(a) 基金在为订约承办事务编制预算时应审视采用的方法和所做的假设；\",\n \"(b) 预算工作组报告中所载表格列出了每个参与人的费用趋势，这一做法很有用，可以作为基金进行进一步分析的一个模式。\",\n \"69. 秘书长的代表向联委会提交了一份说明，其中警告说，因在投资管理方面节省开支，失去了投资回报，由此造成的机会成本可能远超表面的节省。作为基金的受托人，秘书长的代表正式提出他的忧虑和关切，即投资管理司的资金结构性不足，导致一个无法接受的风险，即今后无法带来适当回报，无法支持现有和预期负债。\",\n \"70. 首席执行干事感谢工作组并对工作组支持包括养恤金综管系统和公共部门会计准则在内的主要项目表示感谢。首席执行干事还提及工作组报告中列出了每名参与人费用的示意图，进一步澄清说，每次每名参与人费用增加，都是由于举办了某个项目，项目结束后每名参与人费用又会下降。他举例说，2004年费用突然上涨是由于养恤基金从联合国秘书处大楼搬迁到了达格·哈马舍尔德广场1号,2012-2013年费用猛涨是由于建立养恤金综合管理系统，其中包括项目结束后就将取消的17个临时员额。\",\n \"71. 副首席执行干事确认，与养恤金综合管理系统项目相关的目标操作模式的目的和效益不变。出现变化的是新泽西北美数据中心项目所需新信息技术基础结构的地点。发现达格·哈马舍尔德广场1号数据中心存在严重弱点后，决定在北美数据中心安装项目的信息技术基础结构。副首席执行干事还指出，基金内的所有实务小组都参与了该项目，而且还成立了养恤金综合管理系统指导委员会。他确认，预计将按计划在预算内完成该项目。\",\n \"联委会的建议\",\n \"72. 根据工作组的建议，养恤金联委会核准拟议预算估计数194 164 000美元，其中包括行政费用(98 407 600美元)、投资费用(92 938 200美元)、审计费用(2 613 800美元)和联委会费用(204 400美元)，供提交大会。根据费用分摊安排，这笔款项中的173 260 600美元将分摊给养恤基金，20 903 400美元将分摊给联合国。\",\n \"73. 此外，联委会核准使用156 800美元预算外资金用于根据一些成员组织的要求处理离职后健康保险费的付款。\",\n \"附件二\",\n \"联合国合办工作人员养恤基金：2010-2011两年期核定组织结构图\",\n \"[]\",\n \"缩写：ASG：助理秘书长；GS：一般事务；OL：其他职等；PL：特等。\",\n \"^(a) 一个预算外一般事务(其他职等)员额由成员组织提供经费。\",\n \"^(b) 授权参与养恤金综管系统项目的临时员额。\",\n \"^(c) 授权2010-2011两年期参与信管系统处的2个P-4员额中的1人授权仅为12个月。2011年裁撤了这一员额，将信管系统处的临时P-4员额减为1人。\",\n \"附件三\",\n \"联合国合办工作人员养恤基金：2012-2013两年期拟议组织结构图\",\n \"[]\",\n \"缩写：ASG：助理秘书长；OL：其他职等；PL：特等。\",\n \"^(a) 一个预算外一般事务(其他职等)由成员组织提供经费。\",\n \"^(b) 授权参与养恤金综管系统项目的临时员额。\",\n \"附件四\",\n \"联合国合办工作人员养恤基金：截至2010年12月31日按成员组织开列的参加人数\",\n \"[TABLE]\",\n \"^(a) 2006年联合国的参加人数调降2人，从68 855人减至68 853人。\",\n \"^(b) 《关税及贸易总协定》于1998年12月31日退出联合国合办工作人员养恤基金。\",\n \"^(c) 国际刑事法院自2004年1月1日起成为基金的第20个成员组织。\",\n \"^(d) 各国议会联盟自2005年1月1日起成为基金的第21个成员组织。\",\n \"^(e) 国际移徙组织自2007年1月1日起成为基金的第22个成员组织。\",\n \"^(f) 黎巴嫩问题特别法庭自2009年1月1日起成为基金的第23个成员组织。\",\n \"[1] 据估计，在2012-2013两年期期间，预计将办理超过55 400项新参与人加入手续、离职手续以及进出基金账目手续；这涉及该部门开展的具体和可衡量的工作任务，比1998-1999两年期增加80%。\",\n \"[2] 在约30年期间，共要支付的额外定期养恤金的总年金价值以及业务处每年计算、验证和备付的现金结算额估计近10亿美元。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Items 133 and 134 of the provisional agenda*","Programme budget for the biennium 2010-2011","Proposed programme budget for the biennium 2012-2013","Administrative expenses of the United Nations Joint Staff Pension Fund and transitional measures concerning the Fund’s financial reporting under the International Public Sector Accounting Standards","Report of the United Nations Joint Staff Pension Board","Contents","Page\nI.Overview 4II. Budget 4 estimates for the biennium 2010-2011: performance \nreport A.Administrative 7 \ncosts B.Investment 13 \ncosts C. Audit 16 \ncosts D. Board 16 \ncosts E.Extrabudgetary 16 \ncosts III. Budget 17 estimates for the biennium 2012-2013: results-based frameworks and analysis of resource \nrequirements \nA.Introduction 17B.Administrative 25 \ncosts C.Investment 49 \ncosts D. Audit 66 \ncosts E. Board 67 \nexpenses IV. Emergency 67 \n Fund V.Recommendation 67 for ad hoc measures regarding implementation of the International Public Sector Accounting Standards by 1 January \n 2012 VI. Action 68 to be taken by the General \nAssembly VII.Summary 69 of follow-up action taken to implement requests and recommendations of the Board of Auditors and Advisory Committee on Administrative and Budgetary \nQuestions \nAnnexes I.Discussionsin 79 theUnited NationsJointStaff PensionBoardon the revisedbudgetestimates for the biennium2010-2011 andon thebudgetestimates for the \nbiennium2012-2013 II.United 94 NationsJointStaff PensionFund: approved organizationchart for the \nbiennium2010-2011 III.United 95 NationsJointStaff PensionFund: proposed organizationchart for the \nbiennium2012-2013 IV.United 96 NationsJointStaff PensionFund:numberof participantsbymember organizationasat31 December \n 2010","Summary \nThe present report contains the revised budget for the United NationsJoint Staff Pension Fund for the biennium 2010-2011, which indicatesa reduction in appropriations amounting to $21,772,800. Thisreduction comprises amounts under expenditures of administrativecosts ($11,830,000), investment costs ($9,908,500) and audit costs($112,100), partly offset by an increase of $77,800 for Boardexpenses. The revised appropriations for the biennium 2010-2011 wouldthen amount to $154,545,700, divided into: administrative costs($80,478,500), investment costs ($71,289,000), audit costs($2,532,900) and Board expenses ($245,300). Of this amount,$21,508,700 is chargeable to the United Nations under thecost-sharing arrangement.\nThe report also contains budget estimates for the period from 1January 2012 to 31 December 2013, which amount to $191,620,600(before recosting) for administrative costs ($96,873,100), investmentcosts ($91,799,300), audit costs ($2,748,200) and Pension Boardexpenses ($200,000). The report provides for a total of 227continuing established posts, 17 temporary posts, 7 new establishedposts and the reclassification of 1 post.\n Resource requirements -----------------------------------------------------------------------------Resources Posts(thousands ofUnited Statesdollars)---------------------- ------------- ------------- -- ----------- -----------Category 2010-2011 2012-2013 2010-2011 2012-2013(beforerecosting) Administrative^(a,b) 92 308.5 96 873.1 188 187 Investment 81 197.5 91 799.3 58 65 Audit 2 645.0 2 748.2 — — Pension Board 167.5 200.0 — — Total 176 318.5 191 620.6 246 252----------------------------------------------------------------------------- ^(a) One extrabudgetary General Service (Other level) post fundedby member organizations. \n^(b) Includes 18 Integrated Pension Administration System temporaryposts; 1 post at the P-4 level was abolished in 2011.","I. Overview","1. The United Nations Joint Staff Pension Fund was established in 1949 by the General Assembly to provide retirement, death, disability and related benefits for the staff of the United Nations and such other organizations as might be admitted to membership. There are currently 23 member organizations; the combined number of active participants and benefits in payment as of 31 December 2010 amounted to 184,968.","2. In accordance with the Regulations adopted by the General Assembly, the Fund is administered by the United Nations Joint Staff Pension Board, a staff pension committee for each member organization and a secretariat to the Board and to each such committee. One third of the Board members are chosen by the General Assembly and the corresponding governing bodies of the other member organizations, one third by the executive heads and one third by the participants. The Pension Board reports to the General Assembly on the operations of the Fund and on the investment of its assets. When necessary, it recommends amendments to the Regulations, which govern, inter alia, the rates of contribution by the participants (currently 7.9 per cent of their pensionable remuneration) and by the organizations (currently 15.8 per cent), eligibility for participation, and the benefits to which participants and their dependants may become entitled.","II. Budget estimates for the biennium 2010-2011: performance report","3. Table 1 summarizes the total estimated expenditures for the biennium 2010-2011. In order to make the performance report of the Fund more meaningful, the expenditures for the biennium comprise two distinct elements: (a) actual expenditures for the 17-month period from 1 January 2010 through 31 May 2011; and (b) estimated expenditures for the 7-month period from 1 June through 31 December 2011. The actual expenditures for the period from 1 January through 31 May 2011 have been calculated on the accrual basis of accounting, meaning that the effects of transactions and other events are recognized in financial statements when they occur and not when cash and cash equivalents are received or paid.","4. In resolution 64/245, the General Assembly approved appropriations for the biennium 2010-2011 totalling $176,318,500, comprising administrative costs ($92,281,400), investment costs ($81,292,100), audit costs ($2,645,000) and Board expenses ($100,000). Of this amount, $154,749,100 is chargeable directly to the Fund and $21,569,400 being the share of costs borne by the United Nations. In addition, resources amounting to $158,200 were authorized for extrabudgetary costs and funded by a number of member organizations. In its resolution 65/249, the General Assembly approved the redeployment of appropriations to meet the requirements of the Fund. The revised appropriation comprises administrative costs ($92,308,500), investment costs ($81,197,500), audit costs ($2,645,000) and Board expenses ($167,500). The amount chargeable directly to the Fund and the share of costs borne by the United Nations remain unchanged at $154,749,100 and $21,569,400, respectively.","Table 1 Revised estimates for the biennium 2010-2011 by object of expenditure","(Thousands of United States dollars)","Approved Expenditures Estimated Increase or Proposed final appropriations for the expenditures (decrease) 2010-2011 17-month for the for the appropriations period 7-month period biennium 1 January 1 June-31 2010-2011 2010-31 May December 2011 2011\n Pension United Total Pension United Total Pension United Total Pension United Total Pension United Total Fund Nations Fund Nations Fund Nations Fund Nations Fund Nations","(a) (b) (c) (d) = (b) + (e) = (a) + (d) (c) - (a)","Administrative costs","Posts 26 386.6 12 344.8 38 731.4 16 442.4 7 739.9 24 8 213.8 3 829.8 12 (1 730.4) (775.1) (2 505.5) 24 656.2 11 36 182.3 043.6 569.7 225.9","Temporary posts 2 870.3 — 2 870.3 807.1 — 807.1 258.0 — 258.0 (1 805.2) — (1 805.2) 1 065.1 — 1 065.1","Other staff 2 830.8 1 202.0 4 032.8 1 958.8 932.6 2 891.4 1 260.5 538.6 1 799.1 388.5 269.2 657.7 3 219.3 1 471.2 4 690.5 costs","Consultants 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (199.1) 338.5 — 338.5","Travel 1 360.6 — 1 360.6 907.2 — 907.2 389.9 — 389.9 (63.5) — (63.5) 1 297.1 — 1 297.1","Contractual 21 908.3 3 851.7 25 760.0 12 144.7 3 163.6 15 2 651.8 521.5 3 173.3 (7 111.8) (166.6) (7 278.4) 14 796.5 3 685.1 18 services 308.3 481.6","Hospitality 4.0 — 4.0 4.3 — 4.3 1.0 — 1.0 1.3 — 1.3 5.3 — 5.3","General 9 581.6 3 220.1 12 801.7 6 703.9 3 125.8 9 829.7 4 442.8 712.1 5 154.9 1 565.1 617.8 2 182.9 11 146.7 3 837.9 14 operating 984.6 expenses","Supplies and 140.1 70.0 210.1 252.4 55.1 307.5 54.9 27.5 82.4 167.2 12.6 179.8 307.3 82.6 389.9 materials","Furniture and 5 560.0 440.0 6 000.0 481.5 114.1 595.6 2 078.5 325.9 2 404.4 (3 000.0) — (3 000.0) 2 560.0 440.0 3 000.0 equipment","Total 71 179.9 21 128.6 92,308.5 39 908.2 15 55 19 483.8 5 955.4 25 (11 (42.1) (11 59 392.0 21 80 131.1 039.3 439.2 787.9) 830.0) 086.5 478.5","Investment costs","Posts 15 344.0 — 15 344.0 9 115.1 — 9 115.1 5 275.5 — 5 275.5 (953.4) — (953.4) 14 390.6 — 14 390.6","Other staff 2 361.8 — 2 361.8 753.4 — 753.4 1 738.7 — 1 738.7 130.3 — 130.3 2 492.1 — 2 492.1 costs","Consultants 2 328.8 — 2 328.8 702.6 — 702.6 1 626.2 — 1 626.2 — — — 2 328.8 — 2 328.8","Travel 2 000.0 — 2 000.0 1 100.6 — 1 100.6 610.4 — 610.4 (289.0) — (289.0) 1 711.0 — 1 711.0","Contractual 52 878.9 — 52 878.9 32 839.7 — 32 11 594.0 — 11 (8 445.2) — (8 445.2) 44 433.7 — 44 services 839.7 594.0 433.7","Hospitality 22.0 — 22.0 20.4 — 20.4 3.0 — 3.0 1.4 — 1.4 23.4 — 23.4","General 5 402.0 — 5 402.0 2 787.4 — 2 787.4 2 283.5 — 2 283.5 (331.1) — (331.1) 5 070.9 — 5 070.9 operating expenses","Supplies and 160.0 — 160.0 53.8 — 53.8 105.8 — 105.8 (0.4) — (0.4) 159.6 — 159.6 materials","Furniture and 700.0 — 700.0 218.6 — 218.6 460.3 — 460.3 (21.1) — (21.1) 678.9 — 678.9 equipment","Total 81 197.5 81 197.5 47 591.6 47 23 697.4 23 (9 908.5) (9 908.5) 71 289.0 71 591.6 697.4 289.0","Audit costs","External audit 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 — — — 551.0 110.2 661.2","Internal audit 1 653.2 330.6 1 983.8 821.4 164.3 985.7 738.3 147.7 886.0 (93.5) (18.6) (112.1) 1 559.7 312.0 1 871.7","Total 2 204.2 440.8 2 645.0 1 066.0 213.2 1 279.2 1 044.7 209.0 1 253.7 (93.5) (18.6) (112.1) 2 110.7 422.2 2 532.9","Board expenses 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3","Total resources 154 749.1 21 569.4 176 318.5 88 765.2 15 104 44 271.8 6 164.4 50 (21 (60.7) (21 133 037.0 21 154 344.3 109.5 436.2 712.1) 772.8) 508.7 545.7","Extrabudgetary costs (after-service health insurance system)","Operational 158.2 — 158.2 90.0 — 90.0 54.3 — 54.3 (13.9) — (13.9) 144.3 — 144.3 activities","5. The revised appropriations were approved for:","(a) Administrative costs: an increase of $94,600 in general temporary assistance expenditure to cover the cost of one post at the P-4 level related to the implementation of the International Public Sector Accounting Standards (IPSAS);","(b) Investment costs: a decrease in contractual services of $94,600.","6. Total expenditure for the biennium 2010-2011 is estimated at $154,545,700, comprised of administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300), resulting in an underexpenditure of $21,772,800, or 12.3 per cent of the total appropriation. In addition, the projected expenditure of $144,300 for extrabudgetary costs will result in an underexpenditure of $13,900, or 8.8 per cent of the appropriation.","A. Administrative costs","7. The $80,478,500 estimated administrative costs will result in an underexpenditure of $11,830,000, or 12.8 per cent. The main resource variances that contribute to the net underexpenditure are due primarily to the Integrated Pension Administration System project as a result of a refinement in the project plan and the addition of new foundational activities as well as the installation of the new information technology infrastructure as explained in paragraphs 13 to 17 below. The Integrated Pension Administration System project is a major capital project for the Pension Fund and, as such, table 2 highlights the split between the estimated expenditure of the Integrated Pension Administration System project and non-Integrated Pension Administration System projects for the biennium 2010-2011.","8. The major resource variances not related to the Integrated Pension Administration System include:","1. Posts — underexpenditure of $2,505,500","9. The underexpenditure is mainly due to a higher average vacancy rate early in the biennium.","2. Other staff costs — overexpenditure of $657,700","10. The higher than expected expenditure is owing mainly to the need for general temporary assistance as a result of increased workload owing to the increase in the number of participants, retirees and other beneficiaries.","3. General operating expenses — overexpenditure of $2,182,900","11. The higher than expected expenditure is owing mainly to bank charges, which are estimated to be $2,500,000. Estimates for bank charges were included in the 2010-2011 budget estimates report presented to the Board, under the general operating expenses category, which, after consideration by the Board, was eliminated in the budget report to the General Assembly (see A/64/291, annex VII, para. 34). The amount of $2,500,000 for bank charges for benefit payments is based on actual charges incurred in the 2008-2009 performance period.","4. Projects undertaken in the biennium 2010-2011","12. Brief details of the status of information technology projects undertaken in the biennium 2010-2011 are given below.","Table 2 Status of projects, 2010-2011","(United States dollars)","Project Projected/actual Appropriation Estimated Overexpenditure or completion date expenditure (underexpenditure)","Integrated Pension May 2014 14 361 400 2 299 906 (12 061 494) Administration System","Member organization December 2011 1 749 773 1 749 773 — information-sharing initiatives","Client services initiatives December 2011 469 671 469 671 —","Web system initiatives December 2011 1 709 342 1 709 342 —","Enterprise system December 2011 1 063 280 1 063 280 — initiatives","Enterprise operations December 2011 1 031 400 1 031 400 — initiatives","Information technology December 2011 461 633 461 633 — consolidation with Investment Management Service","Total 20 846 499 8 785 005 (12 061 494)","Integrated Pension Administration System initiative","13. During the biennium 2010-2011, the Fund continued with the project’s major foundational tasks including: (a) constructing a comprehensive data dictionary of the current systems (PENSYS and Lawson); (b) producing a detailed data analysis of the current systems; (c) cleaning data, utilizing specialized “bulk” programmes, and through the work of the Integrated Pension Administration System project team staff with the PENSYS and Lawson databases; (d) updating procedural documentation (to complement the process maps produced under the planning and design phase of the project); (e) producing the first set of calculation formulas to set out the complex and detailed calculation basis of the Pension Fund and be ready for the sign-off of these from in-house and external experts during the implementation phase; (f) updating of technical documentation which sets out the detailed data exchanges (interfaces) that exist between the current systems and other entities; and (g) creating the first set of detailed test libraries covering the interfaces and calculations.","14. The project started two additional initiatives not considered in the original plan. The first initiative refers to an extensive bottom-up review of the statement of requirements produced during the first phase of the project. During this phase, the target operating model and project scope were refined. New functional and information technology requirements were expanded. The final statement of work considers 333 detailed functional and information technology specifications in addition to 18 key high-level requirements.","15. The second initiative relates to the exploration of new technologies as the means to develop better interfaces that would allow a seamless payroll connection (between the Integrated Pension Administration System and member organizations’ human resources and finance systems) and that would enable a better use of existing databases to automate verification of contribution calculations and establish other data quality protocols. In the light of the recent strategy adopted by many member organizations to migrate to enterprise resource planning platforms, the Fund is studying the possibility of establishing common interfaces using newer technologies. At the completion of the implementation of the SAP software by the United Nations, it is estimated that 96 per cent of the Pension Fund participants’ data will be maintained under an enterprise resource planning platform. This initiative is closely connected with the development of Integrated Pension Administration System since the amended specifications consider: (a) the need for a seamless payroll connection; (b) the tools for an efficient utilization of the common enterprise resource planning interfaces; and (c) the development of a web-entry system (for those organizations lacking enterprise resource planning platforms).","16. The two additional initiatives yielded more detailed specifications that will guide the parameterization and functionality building process in a more precise and effective manner. This will improve the new system and save time and resources in post-implementation changes. In addition, the Integrated Pension Administration System project will try to harmonize as early as possible its data requirements with the data generated by the enterprise resource planning systems of member organizations. Naturally, the success of the System is closely linked to the quality, timeliness and availability of the human resources and financial data supplied by the Fund’s member organizations.","17. While the Integrated Pension Administration System project’s overall estimated cost of $22,660,300 (before recosting) remains unchanged, additional activities have been incorporated into the project plan, and the procurement process has been significantly modified to incorporate a two-stage evaluation (as suggested by the United Nations Procurement Division). These changes resulted in an extension of the original timeline and a corresponding shift in the estimated timing of the expenditures. Table 3 highlights the estimated expenditure for the biennium 2010-2011 as well as the overall estimated project cost.","Table 3 Summary of resource requirements for the Integrated Pension Administration System","(Thousands of United States dollars)","Administrative Biennium Biennium Biennium Total project costs 2010-2011 2012-2013 2014-2015\n Approved Estimated Increase/ Proposed final Requested Estimated Estimated appropriations expenditure (decrease) appropriations appropriations appropriations appropriations","Temporary posts 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6","Travel 84.8 84.8 — 84.8 — — 84.8","Contractual 8 406.3 1 150.0 (7 256.3) 1 150.0 11 966.3 3 765.6 16 881.9 services","Furniture and 3 000.0 — (3 000.0) — — — — equipment","Total 14 361.4 2 299.9 (12 061.5) 2 299.9 15 637.1 4 723.3 22 660.3","Furniture and equipment — underexpenditure of $3,000,000","18. The lower than expected expenditure is the result of a decision to install the information technology hardware required by the project in the Fund’s new data centre owing to vulnerabilities identified in the data centre at 1 Dag Hammarskjöld Plaza. The project’s original strategy was to acquire 12 new servers and 15 storage area network modules as well as uninterruptible power supply expansions and install them in the data centre located on the fourth floor of 1 Dag Hammarskjöld Plaza to provide the required additional capacity to host the new system applications.","19. However, owing to serious vulnerabilities identified in the data centre at 1 Dag Hammarskjöld Plaza, this strategy was not considered viable. The Business Impact Analysis conducted in 2009 and presented to the Pension Board in 2010 revealed that while the data centre had installed a UPS system, there was no power generator to deal with possible power failures from the utility company (or building electrical system). An earlier assessment of the data centre against industry practices for a production data centre gave the facility an availability rating of 2 out of 10 (10 being the highest or best possible score). Therefore, installing new hardware in the data centre at 1 Dag Hammarskjöld Plaza would represent serious risks to the Integrated Pension Administration System project.","20. After an extensive search for a suitable alternative, the Fund decided to migrate the information and communications technology infrastructure located at 1 Dag Hammarskjöld Plaza to the new North American data centre, which is a new and more robust data centre that would be able to properly ensure operational availability of its mission critical systems. The North American data centre is classified as tier 3 according to the Telecommunications Industry Association standards (TIA-942 DC), which guarantees 99.9 per cent uptime and availability.","Contractual services — underexpenditure of $7,256,300","21. The lower than expected expenditure is owing mainly to the change in location of the data centre to host the new system applications. When the existing equipment at 1 Dag Hammarskjöld Plaza was moved to the new North American data centre, additional new equipment in the amount of $750,000 was acquired and installed in the North American data centre to adequately cover all of the expected capacity needs of the Integrated Pension Administration System. A request for proposal has been issued for $400,000 to retain a specialized consulting firm to assist in the re-engineering of its processes as per the new target operating model and new operational paradigm as well as to develop test scenarios to serve as the basis for ensuring that the new system is able to process entitlements and payments accurately, safely and efficiently.","22. The above-mentioned initiatives enable the Integrated Pension Administration System project to be in a better position to start its next phase, but this represents a shift in the original timeline. The project’s 30-month estimate for full system deployment (after the proof of concept has been tested and approved) has not changed. Therefore, the completion of system implementation is expected by April 2014 and parallel testing and training by November 2014. However, this target date is dependent on the duration of the remaining procurement/contractual activities which are expected to be completed in nine months. Consequently, the appropriations for the development, parameterization and implementation of the new software applications considered in the budget for 2010-2011 ($7,256,300) will not be exercised until the biennium 2012-2013. The project’s detailed timeline and description of activities is included in annex II of the supplementary financial information.","Temporary posts — underexpenditure of $1,805,200","23. The lower than expected expenditure in posts is owing primarily to a staggered recruitment approach which was adopted to make the best use of the project’s resources and which responds to the updating of the project’s timeline.","Client services initiatives","24. A pilot project (iServ), based on Oracle’s Siebel customer relationship management, was commissioned with the goal of streamlining and automating incidents reported to the Fund’s webmaster. The exercise proved to be much more complex and challenging than initially estimated but helped the Fund gain substantial knowledge about implementing a customer relationship management system and provided many valuable lessons. It also helped the Fund determine that introducing a comprehensive customer relationship management solution right away into its core business activities might not be the most practical, advisable or cost-effective action (especially so considering that customer relationship management could be a part of the Integrated Pension Administration System initiative), whereas addressing the most critical needs of the Client Services Unit in the short term by building smaller localized applications would prepare it better in understanding how to shape the customer relationship management system when it is eventually integrated with the business processes.","25. As an alternative, a Lotus Notes-based custom application has been developed to track interactions with clients who visit the Fund in person or phone. Not only does the application record valuable information, such as the area of service requested, mode the service was provided in (walk in or phone) and the time taken to service a client, it provides an easy-to-use reporting and analytics tool (including dashboards) that can be used to view statistics and trends over a period of time. It is envisioned that as time goes by, this application will be enhanced to incorporate additional features covering a broader spectrum of client services activities.","Web systems initiatives","26. The web systems initiatives keep providing beneficiaries and participants with direct access to personalized information through the use of custom web-based applications. Critical applications, including the two-track and benefit estimate systems, certificate of entitlement tracking and annual statements, have now become a standard service for clients. The cost-of-living notification, produced whenever there is a change in the cost-of-living index and/or the quarterly exchange rate, is now available on the Web for registered beneficiaries in receipt of a monthly benefit. The interface for the benefit estimator available through the annual statement application has been redesigned and is now available to clients since the release of the 2009 annual statement. As part of the Fund’s ongoing efforts to support the increasing number of visitors, parts of the website infrastructure and applications were upgraded to provide a more stable and secure environment. New web-based portals were added to provide role-based and secure single-point interfaces for many Fund-wide web applications. Additional e-learning applications and onboarding workshops have been added to accommodate training requirements, and several new courses will be made available in 2011. A case digest for the Legal Office has been developed and will also be available on the website in 2011.","Enterprise systems initiatives","27. The enterprise systems initiatives will ensure that mission-critical business systems (for example, Content Manager and Lawson) are current with vendor updates, releases and upgrades, while keeping pace with changes to the business model of the Fund. All necessary updates, releases and upgrades have been or are expected to be successfully installed by the end of 2011.","Enterprise operations initiatives","28. As part of the enterprise operations mandate, all mission critical systems have been transferred to a new site in Piscataway, New Jersey. The new facility is a Tier III data centre fault tolerant providing 99.9 per cent availability. Telecommunication equipment will continue to be hosted by the data centre at 1 Dag Hammarskjöld Plaza, while the Geneva data centre hosts the support systems for the Geneva office and the business continuity and disaster recovery environment. As part of the data centre relocation project, the storage area network has been upgraded, increasing the capacity and reducing the systems response time. A new virtual infrastructure was built enabling 70 per cent of the Fund’s servers to run on virtual farms, thereby increasing operational efficiency and availability and improving manageability of the server infrastructure. The Lawson and database servers have been upgraded, and a fail-over cluster was implemented to optimize the recovery time and response to users. The relocation of the Geneva Data Centre is in progress. The new facilities are managed by the International Computing Centre and will allow the Fund to virtualize 95 per cent of the servers and support redundancy for the web environment. A new data backup system has been implemented reducing the maintenance window and the file recovery time. An enterprise e-mail archiving solution has been implemented in the Pension Fund in order to manage the e-mail service efficiently and to keep up with the growing mailboxes and unlimited retention policy of the organization. In the process, Pension Fund e-mail servers and clients have been constantly upgraded to the most current releases. It is anticipated that by the end of 2011, the Information Management Systems Service will complete an upgrade of the UPS system.","Information technology consolidation with the Investment Management Division initiative","29. Information technology consolidation with the Investment Management Division is progressing as planned and is scheduled to finish during the current biennium. Based on the signed service delivery agreements between the Information Management Systems Service and the Investment Management Division, several infrastructure projects were executed successfully and in a timely manner within the shared infrastructure environment. These include the trade order management system, Society for Worldwide Interbank Financial Telecommunication (SWIFT), and document management system. A disaster recovery environment for the trade order management system and SWIFT was also successfully built and tested in Geneva. Work is in progress for the final 5 out of the 38 areas identified for consolidation and is anticipated to be completed during the current biennium. These include network, help desk, provision of directory services, file sharing and e-mail consolidations.","B. Investment costs","30. The $71,289,000 estimated administrative costs will result in an underexpenditure of $9,908,500, or 12.2 per cent. The main resource variances that contribute to the net underexpenditure include:","1. Posts — underexpenditure of $953,400","31. The underexpenditure is due mainly to the later than expected recruitment of staff.","2. Travel — underexpenditure of $289,000","32. The underexpenditure is owing mainly to the later than expected recruitment of staff and the availability of staff as a result of work schedules. The lower requirement was offset by higher travel costs for the members of the Investment Committee.","3. General operating expenses — underexpenditure of $331,100","33. The underexpenditure is attributable to lower than anticipated costs for charges such as chilled water, cleaning services and building operating expenses.","4. Contractual services — underexpenditure of $8,445,200","Table 4 Contractual services: estimated expenditures 2010-2011","(Thousands of United States dollars)","Category Appropriations Estimated Overexpenditure or 2010-2011 expenditures (underexpenditure)","External legal consultant 1 200.0 1 200.0 —","Third-party service providers","(a) Global custodian and advisers","Global custodian 6 952.0 3 743.8 (3 208.2)","Advisers 16 976.4 14 994.0 (1 982.4)","Subtotal (a) 23 928.4 18 737.8 (5 190.6)","(b) Portfolio management","Small capitalization 12 500.0 13 562.4 1 062.4","Publicly traded real 2 700.0 700.0 (2 000.0) estate","Subtotal (b) 15 200.0 14 252.4 (937.6)","(c) Market data services 3 541.5 2 399.5 (1 142.0)","Subtotal third-party 42 669.9 35 399.7 (7 270.2) service providers","SWIFT contractual 590.0 345.0 (245.0) services","Other contractual 8 419.0 7 489.0 (930.0) services","Total 52 878.9 44 433.7 (8 445.2)","34. The underexpenditure is attributable to several factors including: delay in the procurement processes for the multiple custodians and independent master record keeper, and the hiring of a manager of publicly traded real estate as well as advisers on fixed income, real assets and alternative investment; and the lower than anticipated cost of procuring applications, such as the disaster recovery solution, SWIFT and the compliance system. The reduced requirements were partly offset by the increase in the cost of small capitalization as a result of the increase in fees, based on good performance.","5. Projects undertaken in the biennium 2010-2011","35. Table 5 shows the status of information technology projects funded and undertaken in the biennium 2010-2011.","Table 5 Status of projects, biennium 2010-2011","(United States dollars)","Project Projected/actual Appropriation Estimated Overexpenditure or completion date expenditure (underexpenditure)","Portfolio risk analysis and June 2011 1 390 000 1 280 000 110 000 performance attribution","Electronic order management and March 2011 1 120 000 1 120 000 — trading (Charles River System)","Compliance pre-trading and March 2011 970 000 870 000 100 000 post-trading","Portfolio accounting and December 2011 2 790 000 2 390 000 400 000 reconciliation","Data hub system June 2012 820 000 820 000 —","OMEGEO, FXALL, Tradeweb and December 2011 1 170 000 850 000 320 000 other confirmation and trading platforms are being integrated into the Charles River System","SWIFT, including upgrade of June 2011 590 000 345 000 245 000 SWIFT to version 7","Total 8 850 000 7 675 000 1 175 000","Operating expenses","Charles River in disaster December 2011 200 000 143 771 56 229 recovery site (International Computing Centre Geneva)","SWIFT in disaster recovery site December 2011 200 000 221 805 (21 805) (International Computing Centre Geneva)","SunGard 200 000 — (200 000)","Total 600 000 365 576 (234 424)","Furniture and equipment","Sun servers May 2011 500 000 500 000 —","Desktops June 2011 100 000 100 000 —","Laptops June 2011 73 400 70 000 3 400","Total 673 400 670 000 3 400","Portfolio risk analysis and performance attribution system","36. As of February 2011, the Investment Management Division is performing user acceptance tests for most risk analysis scenarios. Some important risk reports have been designed. However, the Division is still waiting for further contracts with various data feeds to be completed by the Procurement Division and the Office of Legal Affairs. These data feeds of market data are essential for the completion of Risk Metrics implementation. After the implementation is completed, an ongoing service will be maintained. This project is expected to be finalized and fully in production by October 2011, provided that data feeds contracts are finalized.","Electronic order management and trading system","37. The Charles River System is in production as of March 2010. The current production implementation encompasses equity, foreign exchange and fixed income transactions. It also includes the connectivity with brokers via the protocol FIX, and the connectivity with custodian bank via SWIFT. The Investment Management Division has been trading electronically all equity assets. The Division is working on installing electronic platforms for the other assets. Currently, 99 per cent of the cross asset settlements are completed through SWIFT. The Investment Management Division continues to support and enhance the Charles River working environment.","Compliance pre-trading and post-trading system","38. The pre-trading and post-trading system (Charles River) has been implemented and in production since March 2010. The Investment Management Division continues to maintain and update the compliance rules as required.","Portfolio accounting and reconciliation system","39. The portfolio accounting and reconciliation system was awarded to Murex North America in April 2010, and the legal contract was signed in February 2011. The project kick-off meeting took place on 16 February 2011. The Investment Management Division is currently finalizing the implementation plan and committing resources with a target to deliver a first phase implementation by 30 June 2011. It is estimated that the project will be completed by 31 December 2011. It is important to note that this project encompasses the conversion to IPSAS for investment activities.","Data hub system","40. As of February 2011, the Investment Management Division had completed the technical evaluation. The due diligence will be scheduled for the second semester of 2011. It is expected to start the implementation of the data hub in February 2012.","OMEGEO, FXALL, Tradeweb and other confirmation and trading platforms are being integrated to Charles River","41. The Investment Management Division planned to add OMEGEO, an electronic confirmation and affirmation of equity trades, FXALL, FXConnect and Bloomberg FX: foreign exchange trading platforms, and Tradeweb, market Axess, Bond Vision and Bloomberg FI: fixed income trading platforms to strengthen the Charles River trade order management system. Contracts for the respective products are in negotiation. The Investment Management Division is planning to have all these platforms integrated by December 2011.","Charles River System in the disaster recovery site (International Computing Centre Geneva)","42. Charles River disaster recovery was completed in March 2011. The disaster recovery includes the connectivity to FIX, Bloomberg data licence, Bloomberg data bulk and Bloomberg API. It also provides the connectivity to SWIFT.","Bloomberg data licence, Bloomberg data bulk and Bloomberg API","43. The Bloomberg data licence, Bloomberg data bulk and API were installed and integrated with the Charles River System in March 2010.","SWIFT in the disaster recovery site (International Computing Centre Geneva)","44. The SWIFT disaster recovery site has been operational since January 2010. The Investment Management Division is currently working on integrating it with the Charles River System disaster recovery infrastructure.","Upgrade of SWIFT to version 7","45. SWIFT upgrade to the mandatory version 7 is scheduled to be completed in June 2011.","C. Audit costs","46. The estimated expenditure of audit costs will result in lower utilization of the appropriations in the amount of $112,100, primarily for general temporary assistance for internal audit.","D. Board expenses","47. The increased requirement of $77,800 is the result of the higher than anticipated expenses for the Working Group on Plan Design.","E. Extrabudgetary costs","48. The underexpenditure of $13,900 is the result of the General Service (Other level) post, which is covered by extrabudgetary funds, being vacant for a period of three months.","III. Budget estimates for the biennium 2012-2013: results-based frameworks and analysis of resource requirements","A. Introduction","1. Overview","49. The United Nations Joint Staff Pension Fund is a fully funded defined benefit pension fund providing retirement and other benefits to nearly 64,000 retirees and beneficiaries. Currently, some 120,000 active participants are accumulating pension rights under the Fund. The assets of the Fund stood at $41.4 billion at the end of 2010. The Pension Fund is self-administered in accordance with Regulations adopted by the General Assembly. The Pension Board is responsible for managing the Fund and reports annually to the General Assembly. The day-to-day operations of the Fund are overseen by the Chief Executive Officer. The Fund has 245 staff. A detailed description of the Fund and its day-to-day operations are included in this budget and the accompanying annexes.","50. Fund investments are decided by the Secretary-General, who has delegated this responsibility to his representative, who in turn manages the Fund’s Investment Management Division. The Division is responsible for the investment and accounting of the Fund assets with the objective to ensure an adequate level of investment return in line with the Fund’s risk tolerance philosophy and the requirements posed by its liabilities.","51. The Fund has grown significantly during the past 10 years, as new member organizations have joined and the overall number of participants, retirees and other beneficiaries being serviced has continued to increase. During this period, the number of active participants has increased by 63 per cent and the number of periodic benefits in payment has grown by 33 per cent. The Management Charter of the Fund identified five categories of challenges, as follows:","(a) Growing complexity of the Fund’s operations;","(b) Growing interdependency of assets and liabilities;","(c) Aging of information systems and growing demand for services;","(d) Quality service and high operational standards;","(e) Social and environmental responsibility.","52. To address these challenges, the Fund carried out comprehensive studies on risk assessment, asset-liability management, the organization of the Fund and its plan design and changes in its pension administration system; it then developed medium-term objectives which are outlined in the Fund’s strategic framework, as follows:","(a) Strengthening the Fund’s operating model;","(b) Improving the management of risks and internal controls;","(c) Enhancing information systems;","(d) Increasing the quality and efficiency of service provided including communications and outreach efforts;","(e) Promoting social and environmental responsibility.","53. Each area of operation developed specific action plans to meet these objectives, including a medium-term human resources plan, business impact analysis and disaster recovery plan, which have been used to prepare the following budget proposal.","54. In summary, during the biennium 2012-2013, the Pension Fund intends to allocate financial and human resources towards the following key initiatives as outlined in the strategic framework:","(a) Integrated Pension Administration System — new operating model for an integrated pension administration system;","(b) IPSAS — new accounting standards for the Fund’s financial statements;","(c) Responsive client services;","(d) Other actions required to improve operational efficiency, risk evaluation and management, e-learning, training and knowledge management.","55. The Fund is expected to achieve its overall objectives on the assumption that adequate human and financial resources are available. This will pose particular challenges in coming years, given the current financial constraints. Recognition must be given, however, to the critical juncture in the evolution of the Fund that is outside its control. The Fund has experienced steady growth since its inception and unprecedented growth during the past 10 years in the population it services. At the same time, the Fund has been expanding its provisions not only to cover a greater number of individuals, but also to address a wider scope of unique circumstances, thus resulting in increasing complexities. The growth in the volume of the related work and the increasing complexities are culminating at the same time with a steady loss in institutional memory owing to a high number of retirements and other separations over recent years. Moreover, and at the same time, improvements in longevity are resulting in an ageing of the Fund’s clientele, which in turn often requires more extensive consultations and other special client servicing needs. The significant challenges emanating from these external factors are further compounded by the fact that the Fund, which requires staff with very specific and long-term expertise, must aim to function according to certain organizational policies that pose particular difficulties not normally encountered in outside enterprises. Given its need for unique and long-term expertise, and in the light of its independent status as an inter-agency entity, the Fund is undertaking a review of the policies governing the recruitment, mobility, promotion and retention of its staff. It intends to address these issues in a revised memorandum of understanding.","56. Giving further consideration to the challenges posed by the current economic environment, the Fund secretariat also reviewed its staffing needs and decided to defer its request for a number of staffing positions. While these positions are key to meeting the medium-term goals of its strategic framework, the secretariat believes that deferral of the hiring of staff can be accomplished by limiting changes in the plan design of the Fund as well as the addition of new projects, while continuing its efforts towards efficiencies and productivity improvements. However, these positions cannot be deferred indefinitely without altering the Fund’s operational capacity, its responsiveness to its clients and/or the timing of reaching its goals.","57. With this in mind, recognition must also be given to the fact that new peacekeeping missions may be approved outside the regular budget of the United Nations at times when the Fund must aim to address calls for budgetary restraint. This results in significant challenges, and indeed risks, to the Fund, which must nevertheless provide full and timely services to the elevated numbers of staff employed by such missions.","Results-based budgeting, methodology and terminology","58. The current budget submission follows the results-based budgeting format adopted by the Fund in its submission for the biennium 2008-2009. Resources have been requested in line with the Fund’s programmes, and all justification and supporting information is contained in the supplementary financial information to the proposed budget.","59. The following factors have been used in the calculation of resources:","(a) Delayed recruitment factors for both New York and Geneva for 2012 and 2013 have been applied to continuing Professional posts (90.4 per cent), Professional new posts (50.0 per cent), continuing General Service posts (96.5 per cent) and new General Service posts (65.0 per cent); these factors have been applied to the version 1 of the New York and Geneva 2012-2013 standard salary tables;","(b) The average annual rate of inflation applied for 2012 and 2013 for New York are 1.90 and 2.50 per cent, respectively, and for Geneva are 1.00 and 1.30 per cent, respectively;","(c) The exchange rate applied for 2012 and 2013 for Geneva is 1.046;","(d) Within the framework of the cost-sharing arrangement between the United Nations and the Fund, the ratios of one third and two thirds, respectively, will continue to be applied to the specific elements of administration, with the exception of the cost for posts in the Information Management Systems Service and the Executive Office. On the basis of the ratio of approved posts for the secretariat (170) to those for the Investment Management Division (58), plus specific project posts (17), 69.4 per cent of the cost of the posts in the Information Management Systems Service and the Executive Office will be subjected to the cost-sharing arrangement.","2. Overall resources requested","60. Human and financial resources requested for the Fund as a whole are given below, along with estimated extrabudgetary resources and details of additional post requirements.","Table 6 Percentage distribution of resources by component: Fund","Component Regular Extrabudgetary budget","A. Executive direction and management 7.0","B. Programme of work","1. Administration 17.7 100.0","2. Investments 33.0","Subtotal B 50.7 100.0","C. Support","1. Information technology 31.8","2. Legal Office 0.7","3. Administrative support 8.3","Subtotal C 40.8","D. Audit 1.4","E. Pension Board 0.1","Total 100.0 100.0","Table 7 Resource requirements by component: Fund","(Thousands of United States dollars)","Component 2010-2011 Resource Total Recosting Apportionment 2012-2013 growth before estimate recosting\n Amount Percentage United Pension Nations Fund","1. Regular budget","A. Executive 16 141.1 (2 672.3) (16.6) 13 468.8 61.9 1 197.8 12 332.9 13 530.7 direction and management","B. Programme of work","1. Operations, 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1 financial services","2. Investments 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6","Subtotal B 86 148.4 10 950.1 12.7 97 098.5 1 725.2 9 527.5 89 296.2 98 823.7","C. Support","1. Information 53 018.1 7 878.6 14.9 60 896.7 815.6 5 704.7 56 007.6 61 712.3 technology","2. Legal Office — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2","3. 18 198.4 (2 348.4) (12.9) 15 850.0 86.9 3 590.6 12 346.3 15 936.9 Administrative support","Subtotal C 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4","D. Audit 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8","E. Pension Board 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4","Total 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0","2. 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 Extrabudgetary","61. As indicated in table 8, the overall increase in resources requested amount to $15,302,100 (before recosting), or 8.7 per cent, attributable to administrative costs ($4,564,600), investment costs ($10,601,800), audit costs ($103,200) and board expenses ($32,500).","62. The increase in resources of $4,564,600 in administrative costs comprises the net effect of the proposed increase in established posts ($739,400) and temporary posts ($800,500), of which $680,100 and $800,500, respectively, are attributable to delayed recruitment factor, and non-post costs of $3,024,700. Increases in non-post costs are attributable primarily to the growth in the need for contractual services ($6,087,900) and higher general operating expenses ($1,446,300), partially offset by reduced requirements for furniture and equipment ($3,989,000), other staff costs ($122,500), consultants ($237,600) and travel ($136,100).","63. The increase in resources of $10,601,800 in investment costs comprises the net effect of the proposed increase in posts ($2,486,900), of which $1,222,700 is attributable to a delayed recruitment factor, and non-post costs of $8,114.900. Increases in non-post costs are caused primarily by growth in the need for contractual services ($9,653,200) and increases for other staff costs ($530,400), offset by a reduction in resources for consultants ($1,151,800) and general operating expenses ($916,900).","64. The increase of resources for audit costs, amounting to $103,200, comprises an increase in the apportioned cost applicable to the Fund for the Board of Auditors ($113,500), and, in relation to Internal Audit, the net effect is a proposed decrease ($10,300). This decrease is primarily the result of minor reductions in communications ($9,800) and supplies and materials ($5,000) and an increase in resource requirements for furniture and equipment ($5,800). In addition, there is a compensating decrease and increase of $80,000 between consultants and contractual services, respectively.","65. The estimated percentage distribution of resources and resources requested by component for the Fund are summarized in tables 6 and 7, respectively.","Table 8 Financial resource requirements for the biennium 2012-2013","(Thousands of United States dollars)","Resource Apportionment growth\n Category 2008-2009 2010-2011 Amount Percentage Total Recosting United Pension 2012-2013 2012 2013 expenditure appropriation before Nations Fund Estimate Estimate Estimate recosting","Administrative costs","Posts 34 524.8 38 731.4 739.4 1.9 39 470.8 591.4 12 440.4 27 621.8 40 062.2 19 883.6 20 178.6","Temporary posts — 2 870.3 800.5 27.9 3 670.8 (103.4) — 3 567.4 3 567.4 1 581.3 1 986.1","Other staff 3 033.8 4 032.8 (122.5) (3.0) 3 910.3 94.5 803.3 3 201.5 4 004.8 2 005.4 1 999.4 costs","Consultants 106.4 537.6 (237.6) (44.2) 300.0 6.7 — 306.7 306.7 152.9 153.8","Travel 997.7 1 360.6 (136.1) (10.0) 1 224.5 27.0 — 1 251.5 1 251.5 623.9 627.6","Contractual 16 690.8 25 760.0 6 087.9 23.6 31 847.9 700.7 3 465.9 29 082.7 32 548.6 16 250.2 16 298.4 services","Hospitality 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1","General 11 641.1 12 801.7 1 446.3 11.3 14 248.0 169.0 3 175.9 11 241.1 14 417.0 7 031.8 7 385.2 operating expenses","Supplies and 263.3 210.1 (24.3) (11.6) 185.8 4.1 54.5 135.4 189.9 90.1 99.8 materials","Furniture and 3 815.3 6 000 (3 989.0) (66.5) 2 011.0 44.4 528.0 1 527.4 2 055.4 1 024.6 1 030.8 equipment","Total 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8","Investment costs","Posts 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) — 17 406.0 17 406.0 8 644.2 8 761.8","Other staff 534.0 2 361.8 530.4 22.5 2 892.2 61.0 — 2 953.2 2 953.2 1 500.3 1 452.9 costs","Consultants 299.5 2 328.8 (1 151.8) (49.5) 1 177.0 24.7 — 1 201.7 1 201.7 822.4 379.3","Travel 1 018.0 2 000.0 — — 2 000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0","Contractual 27 491.4 52 878.9 9 653.2 18.3 62 532.1 1 387.1 — 63 919.2 63 919.2 29 924.0 33 995.2 services","Hospitality 16.4 22.0 — — 22.0 0.5 — 22.5 22.5 11.2 11.3","General 5 157.5 5 402.0 (916.9) (17.0) 4 485.1 27.5 — 4 512.6 4 512.6 2 254.1 2 258.5 operating expenses","Supplies and 91.0 160.0 — — 160.0 3.5 — 163.5 163.5 81.5 82.0 materials","Furniture and 246.6 700.0 — — 700.0 15.5 — 751.6 715.5 356.7 358.8 equipment","Total 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2 44 613.4 48 324.8","Audit costs","External audit 682.1 661.2 113.5 17.2 774.7 17.1 132.0 659.8 791.8 394.7 397.1","Internal audit 1 612.6 1 983.8 (10.3) (0.5) 1 973.5 (151.5) 303.4 1 518.6 1 822.0 906.2 915.8","Total 2 294.7 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9","Board expenses 127.4 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4 101.9 102.5","Total resources 118 969.3 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0 94 662.0 99 502.0 required","Extrabudgetary costs (after-service health insurance system)","Operational 132.3 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 77.3 79.5 activities","Table 9 Human resources requirements","Established Temporary Extrabudgetary Total posts posts posts\n Category 2010- 2012- 2010- 2012- 2010- 2012- 2010- 2012- 2011 2013 2011 2013 2011 2013 2011 2013","Administrative","Professional and above","ASG 1 1 — — — — 1 1","D-2 1 1 — — — — 1 1","D-1 4 4 — — — — 4 4","P-5 9 9 1 1 — — 10 10","P-4 19 20 8 7 — — 27 27","P-3 25 24 4 4 — — 29 28","P-2/1 1 1 — — — — 1 1","Subtotal 60 60 13 12 — — 73 72","General Service","Principal level 10 10 — — — — 10 10","Other level 99 99 5 5 1 1 105 105","Subtotal 109 109 5 5 1 1 115 115","Total administrative 169 169 18 17 1 1 188 187","Investment","Professional and above","D-2 1 1 — — — — 1 1","D-1 2 2 — — — — 2 2","P-5 10 10 — — — — 10 10","P-4 13 18 — — — — 13 18","P-3 7 9 — — — — 7 9","P-2 — — — —","Subtotal 33 40 — — — — 33 40","General Service","Principal level 10 10 — — — — 10 10","Other level 15 15 — — — — 15 15","Subtotal 25 25 — — — — 25 25","Total investment 58 65 — — — — 58 65","Total Pension Fund 227 234 18^(c) 17^(b,c) 1^(a) 1^(a) 246 252","^(a) One extrabudgetary General Service (Other level) post funded by member organizations.","^(b) Includes 17 Integrated Pension Administration System temporary posts.","^(c) Of the 18 temporary posts authorized for the 2010-2011 biennium, one post at the P-4 level was authorized for 12 months only. This post was abolished in 2011.","66. As indicated in table 9, this submission provides for the establishment of seven additional posts and the reclassification of one post, as follows:","(a) Provision is made for the secretariat for the reclassification of one post (from the P-3 to the P-4 level). Provision is also made for the continuation of one extrabudgetary post (1 General Service (Other level)) funded by member organizations;","(b) Provision is made for the Investment Management Division for seven additional established posts (5 P-4, 2 P-3).","67. The requested additional posts are summarized in table 10.","Table 10 Summary of post requirements","Section\tAction\tPost\tNumberofposts\tCategory \n Administration \n Programme support \nExecutive Office\tReclassification\tFinance andBudget Officer\t1\tP-3toP-4\n Investments \n Programme of work \nInvestmentsSection\tNewpost\tInvestmentOfficer —AlternativeInvestments\t1\tP-4\n\tNewpost\tInvestmentOfficer — GlobalEmerging Markets\t1\tP-4\n\tNewpost\tInvestmentOfficer — TradeExecution Officer\t1\tP-4\n\tNewpost\tInvestmentOfficer — NorthAmerican Equities\t1\tP-3\nRisk andCompliance Section\tNewpost\tDue Diligence andQuantitativeStrategic RiskManager\t1\tP-4\nOperations Section\tNewpost\tFinance Officer,Reconciliations\t1\tP-3\n Programme support \nInformationSystems Section\tNewpost\tData ManagementOfficer\t1\tP-4","B. Administrative costs","1. Overview","68. The secretariat is responsible for managing the United Nations Joint Staff Pension Fund under the authority of the Pension Board. It aims to provide services to participants, as well as pension revenues and related benefits to retirees and beneficiaries in the best conditions of security, performance, responsibility and accountability and in full compliance with the highest standards of efficiency, competence and integrity. In order to deliver such services, the Fund must deal with an increasingly complex set of regulations, linked to past decisions taken either on the grounds of economy measures or in response to strong social demand for new categories of beneficiaries. It must also continue to adapt its processes and procedures to an ever changing banking and regulatory environment.","69. The overall level of resources for administrative costs amounts to $96,873,100 before recosting, reflecting a net increase of $4,564,600, or 4.9 per cent, from the revised appropriations for the biennium 2010-2011. The net increase, as shown in table 12, can be summarized as follows:","(a) Executive direction and management: the decrease of $1,104,400 relates to post requirements ($810,200), owing primarily to the redeployment of three posts (2 P-5, 1 General Service (Other level)) to the Legal Office. The decrease in non‑post costs is attributed to other staff costs ($50,100), consultants ($337,600) and travel ($114,500), with increases in contractual services ($112,000) and general operating expenses ($96,000).","(b) Programme of work: the increase of $3,498,400 is the result of post requirements ($751,500), of which $147,400 is attributable to the net effect of the delayed recruitment factor and the redeployment of one post at the P-4 level to the Legal Office and $604,100 for the delayed recruitment factor for the 12 Integrated Pension Administration System temporary posts; and additional non-post resources of $2,746,900 in the form of an increase in general operating expenses ($2,846,300) and consultants ($100,000), and decreases in other staff costs ($199,400).","(c) Programme support: the increase of $2,170,600 is attributable to increases in Information Management Systems Service resources ($2,084,100), the redeployment of the Legal Office from executive direction and management ($1,358,400) and a decrease for the Executive Office ($1,271,900). For the Information Management Systems Service, the increase in resources for temporary posts ($196,400) is the result of the delayed recruitment factor. With regard to non-post resources ($1,903,200), this is primarily the result of an increase in contractual services ($5,975,600), partially offset by decreases in requirements for furniture and equipment ($3,976,400), general operating expenses ($177,400) and travel of staff ($21,600). For the Legal Office, the increase in resources for posts is the result of the redeployment of three posts (2 P-5 and 1 General Service (Other level)) from the Office of the Chief Executive Officer and the redeployment, for supervisory purposes only, of one post at the P-4 level from the Geneva office. With regard to the Executive Office, the decrease in resources ($1,318,600) is attributable to non-post requirements for general operating expenses, specifically for the rental and maintenance of premises.","70. The estimated distribution of resources is shown in table 11 and resource requirements by component in table 12.","Table 11 Percentage distribution of resources by component: administrative costs","Component Regular budget Extrabudgetary","A. Executive direction and management 6.6","B. Programme of work (operations, 35.1 100.0 financial services)","C. Programme support","1. Information Management Systems 44.7 Service","2. Legal Office 1.4","3. Executive Office 12.2","Subtotal C 58.3","Total 100.0 100.0","Table 12 Resource requirements by component: administrative costs (Thousands of United States dollars)","Component 2010/2011 Resource Total Recosting Apportionment 2012-2013 appropriation growth before estimate recosting\n Amount Percentage United Pension Nations Fund","1. Regular budget","A. Executive 7 486.9 (1 104.4) (14.8) 6 382.5 9.6 1 197.8 5 194.3 6 392.1 direction and management","B. Programme of 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1 work (operations, financial services)","C. Support","1. Information 41 240.8 2 084.1 5.1 43 324.9 562.4 5 704.7 38 182.6 43 887.3 Management Systems Service","2. Legal Office — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2","3. Executive 13 110.8 (1 271.9) (9.7) 11 838.9 70.0 3 590.6 8 318.3 11 908.9 Office","Subtotal C 54 351.9 2 170.6 4.0 56 522.2 616.2 9 742.7 47 395.7 57 138.4","Total 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6","2. 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 Extrabudgetary","2. Executive direction and management","Resource requirements (before recosting): $6,382,500","71. The Chief Executive Officer is responsible for managing the Fund, under the authority of the Pension Board, to provide related services to the member organizations and to the participants, retirees and beneficiaries. In providing such services, the Chief Executive Officer must ensure that a framework is in place so that the Fund can operate in the best conditions of security, performance, responsibility and accountability and in full compliance with the highest standards of efficiency, competence and integrity. As part of its responsibility within such a framework, the Fund must deal with an increasingly complex and continuously evolving plan design, as set out in its Regulations and Rules and in its very unique and complex pension adjustment system. The Chief Executive Officer must ensure that the Fund is in position to continuously and accurately weigh its actuarial costs to assess and manage risk, to adapt its plan design and to adjust its processes and procedures to accommodate an ever changing workforce that is clearly affected by long-term societal changes, including increased longevity, while at the same time carrying out its responsibilities in an evolving banking, accounting and regulatory environment.","72. The Fund’s member organizations, the number of its participants, retirees and beneficiaries, the financial environment in which it operates and the value of the assets and liabilities under its management have all grown dramatically over the Fund’s 60 year history. The overall number of individuals serviced by the Fund, which amounts to 185,000, is expected to increase steadily in the medium-term and beyond. The international and multiorganizational nature, and the multitiered benefit structure of the Fund will all continue to present new and increasingly intricate and demanding challenges. There has been, and will continue to be, a steady and dramatic increase in the responsibilities and demands being placed on the Fund. In response to the Board’s request for a more strategic approach to the Fund’s human resource requirements and with a view towards identifying its needs in the medium term, the Fund carried out a high-level review that took into account the circumstances and pressing challenges facing the Fund, which was presented to the Pension Board at its 2010 session.","Table 13 Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure the fullimplementation of the Fund’sprogramme of work in compliancewith Regulations and Rules ofthe Fund and with decisions andguidelines issued by thePension Board and GeneralAssembly\t(1) Effective management of theFund’s programme of work\t(1.1) All detailed action plans,projects and studiessuccessfully monitored andimplemented Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent (2) Effectivebackstopping/servicing/managementof the Pension Board andCommittees\t(2.1) No complaints receivedfrom the Pension Board, StandingCommittee, Committee ofActuaries, Audit Committee andWorking Groups about supportprovided Performance measures (number ofcomplaints) 2008-2009: no complaints aboutsupport provided Estimate 2010-2011: nocomplaints about supportprovided \n Target 2012-2013: no complaints (3) Effective management ofFund-wide governance mechanismsfor human resources, riskmanagement, businesscontinuity/recovery,information technology, newaccounting standards andasset-liability management\t(3.1) Successful monitoring andimplementation of activitiesdecided by the Working Groupsand Steering CommitteesPerformance measures2008-2009: not applicable Estimate 2010-2011:100 per centof performance indicators \n\t2012-2013: 100 per cent ofperformance indicators(4) Effective strategicplanning for the Fund\t(4.1) Strategic planningexercise conducted every twoyears Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent","External factors","73. Executive Direction and Management is expected to achieve its objective and expected accomplishments on the assumption that adequate human and financial resources are provided.","Other outputs","74. During the biennium, the following outputs will be delivered:","(a) Servicing of intergovernmental and expert bodies: two Pension Board sessions; three meetings of the Committee of Actuaries, and approximately four Working Groups; one joint session of the Committee of Actuaries and the Investments Committee; six meetings of the Audit Committee; four meetings of the United Nations Staff Pension Committee;","(b) Drafting of documents: approximately 100 papers for submission to the Pension Board, Committee of Actuaries and Working Groups and 15 notes to the Audit Committee in addition to the technical and administrative servicing of its sessions;","(c) Other substantive activities:","(i) Efficient succession planning for retiring staff; advance planning to avoid vacancies arising from the retirement of staff and to encumber other vacant posts, owing to staff turnover, within five months of the vacancy being announced;","(ii) Efficient administration and control of the following:","• Integrated Pension Administration System project","• Business continuity and disaster recovery planning","• Enterprise-wide risk management","• Human resources policy and human resources medium-term plan","• Information technology consolidation","• Asset liability management study","• Business impact analysis","• Data warehouse","• Procurement Advisory Committee.","Table 14 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 3 641.0 2 830.8 11 8","Non-post 3 845.9 3 551.7 — —","Total 7 486.9 6 382.5 11 8","75. The amount of $6,382,500 will provide for the continuation of eight existing posts (1 ASG, 1 D-2, 1 P-5, 2 P-4, 1 P-3, 1 General Service (Principal level) and 1 General Service (Other level)), and non-post resources relate to the Administration as a whole. The reduction of $810,200 in post resources is the result of the redeployment of the three authorized posts (2 P-5 and 1 General Service (Other level)) from the Legal Office to programme support. Non-post resources have decreased owing primarily to reductions in other staff costs ($50,100), travel ($114,500) and consultants ($337,600) and increases in contractual services, attributable to the consulting actuary ($112,000), and general operating expenses for the Fund’s cost-sharing of the cases in the United Nations Appeals Tribunal ($96,000).","3. Programme of work","Resource requirements (before recosting): $33,968,400","76. The programme of work, which includes operations and the financial services of both the New York and Geneva offices, is responsible for the core functions of the Fund, including, but not limited to, the determination of eligibility to participate and the affiliation of new participants into the Fund, along with the recordkeeping of historical personal and financial data, collection and recording of contributions into the Fund, calculation and set up for payment of all pension entitlements, the payment of subsequent pension benefits and all related accounting activities. This programme is also responsible for the client servicing functions in respect to the Fund’s 185,000 active participants, retirees and other beneficiaries.","77. It should be recalled that following a recommendation made on the basis of the Whole Office Review that was carried out in 2008, the Chief Executive Officer decided to segregate Operations and the Fund’s Financial Services. It was decided that although there was an important link between the calculation and processing of entitlements as carried out by Operations, and the payment of and accounting for the ensuing benefits as carried out by the Financial Services, there should nevertheless be a distinct and separate segregation of the functions. Operations focuses on the integrity of the calculation, which, once established, remains valid for the lifetime of the retiree and any eligible survivor. Financial Services focuses on the integrity of the payment. By separating these functions and establishing Financial Services as separate and distinct from Operations, clear responsibility was established and greater accountability was institutionalized between these two core functions of the Fund that make up the programme of work.","Operations","78. Operations comprises the Pension Entitlements Sections and the Client Services, Records Management and Distribution work units in both the New York and Geneva offices. The Chief of Operations is responsible for the management and direction of the service in accordance with the goals set out in the Fund’s Management Charter and for ensuring adherence to the Fund’s Regulations, Rules and Pension Adjustment System, while duly operating within specific quality management, internal control and communications policies. Operations expects to process in excess of 55,000 new participants, separations and transfers in and out of the Fund during the biennium 2012-2013.[1] It also expects to process some 6,000 pension benefits after initial separation from service, which are among the most complex, and thus time-consuming, benefits to process (i.e., death after service, survivor benefits that sometimes involve multiple spouses residing in various locations, residual settlements, deferred benefits into payment, two-track cases that sometimes involve reversion to the United States dollar track, benefits payable to surviving divorced spouses, surviving spouse annuities, special measure cases, etc.). In addition to some 225,000 benefit estimates provided through the Fund’s website (i.e., during 2010), Operations also expects to provide during the next biennium some 5,500 individual benefit estimates that often involve personal consultations. During the biennium 2012-2013, the service also expects to dispatch, track and record upon receipt over 100,000 certificates of entitlement and to scan over 1,200,000 documents into the Fund’s content management system.","Table 15 Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure that all eligibleparticipants, retirees andother beneficiaries areserviced in accordance with theRegulations, Rules and PensionAdjustment System of the Fund,while fully adhering to thecommunications, qualitymanagement and internal controlpolicies as outlined in theFund’s management charter\t(1) Effective processing ofPension Fund benefitentitlements\t(1.1) Increased percentage ofwithdrawal settlements,retirement benefits and otherbenefits processed within15 business days Performance measures forprocessing full withdrawalsettlements, periodic retirementbenefits and lump-sumcommutation benefits (Benchmark: 15 business days) 2004-2005: 72 per cent of casescompleted within 15 days 2006-2007: 79 per cent of casescompleted within 15 days 2008-2009: 80 per cent of casescompleted within 15 days Estimate 2010-2011: 77 per centof cases completed within 15days \n\tTarget 2012-2013: 80 per cent ofcases completed within 15 days(2) Enhanced quality ofclient-oriented services to thePension Fund clientele\t(2.1) Increased percentage ofincoming correspondence throughmail and e-mail responded towithin 15 business days Performance measures (Benchmark: 15 business days) 2004-2005: 31 per cent ofqueries responded to within15 business days 2006-2007: 55 per cent ofqueries responded to within15 business days 2008-2009: 75 per cent ofqueries responded to within15 business days Estimate 2010-2011: 82 per centof queries responded to within15 business days \n\tTarget 2012-2013: 82 per cent ofqueries responded to within 15business days(3) Improved communication\t(3.1) Increased number ofbriefings and seminars forparticipants, beneficiaries,staff pension committees andcounterparts among finance andhuman resources staff ofparticipating organizations Performance measures 2008-2009: not applicable Estimate 2010-2011: 65 \n Target 2012-2013: 75","External factors","79. Operations is expected to achieve its objectives on the assumption that adequate human and financial resources are available. Recognition must therefore be given to the critical juncture in the evolution of the Fund that is outside its control. The Fund is experiencing rapid growth in the population it services. At the same time, improvements in longevity are resulting in the ageing of the Fund’s clientele, which in turn often requires more extensive consultations and other special client servicing needs.","Outputs","80. During the biennium 2012-2013, the following outputs will be delivered:","(a) Process during the biennium an estimated 18,000 withdrawal settlements and retirement benefits;[2]","(b) Process an estimated 6,000 other benefits after initial retirement benefit (i.e., survivor, child, two-track benefits, etc.);","(c) Determine eligibility and affiliation into the Fund of some 30,000 new participants;","(d) Dispatch, track and record upon receipt some 100,000 certificates of entitlement;","(e) Respond to an estimated 15,000 inquiries by mail and e-mail;","(f) Receive and provide services to an estimated 11,000 walk-in clients;","(g) Pre-implementation tasks, such as data cleansing and quality management, documentation of procedures, algorithms and subsequent transition to the Integrated Pension Administration System platform;","(h) Efficient recording, monitoring and enhancement of the controls of its client interfaces;","(i) Review, assessment, development and implementation of a client relationship management system;","(j) Review and development of enhanced training materials for workshops and seminars that are to be provided to Fund staff (in both the New York and Geneva offices), participants, retirees and other beneficiaries, as well as to the Staff Pension Committee secretariats and other human resources staff of member organizations;","(k) Development and implementation of a secure signature system to add graphical signatures for comparison purposes to the electronic folders of each individual being serviced by the Fund;","(l) Enhancement of the controls and a redesign of the certificate of entitlement form, with further efforts to streamline the overall certification process;","(m) Enhancement and continued development of performance data for both internal requirements and the various oversight bodies;","(n) Enhancement of outreach capabilities through seminars and training to be provided to participants, retirees and other beneficiaries, Staff Pension Committee secretariats, various subcommittees (including both advisory and working groups) and members of the Board.","Financial services","81. The Financial Services Section provides comprehensive services through its Payments, Accounts and Cashier/Cash Management Units, and is accountable for all financial, accounting and disbursement operations of the Fund. The Fund’s annual financial transactions amount to some $3.8 billion (considering both benefit payments and contribution collections). Every month, the Fund processes approximately 62,000 (as of the 2009 audited financial statements of the Fund) periodic benefit payments in 15 currencies and effects payments to retirees and other beneficiaries residing in over 190 countries. The Section is also responsible for producing accurate and timely financial statements for the Fund as a whole, including the Investment Management Division, and for liaising and coordinating with both internal and external auditors with regard to the financial aspects of the Fund.","Table 16 Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure the timely, accurateand secure payment of benefitsand full accountability forall financial, accounting, anddisbursement operations of theFund, including the issuanceof accurate and timelyfinancial statements andliaison with both internal andexternal auditors regardingfinancial matters\t\n(1) Effective management ofbenefit payments\t(1.1) Timely issuance of thePension Fund payroll Performance measures 2008-2009: 1,200,000 Estimate 2010-2011: 1,300,000 \n Target 2012-2013: 1,400,000 \n\t(1.2) Timely, accurate and securepayment of Pension Fund periodicbenefit payments Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent \n\t(1.3) Timely, accurate and securepayment of Pension Fundnon-periodic benefit payments (15days of receipt of appropriatedocuments for payments related tobenefit reinstatements and 30days for all other payments) Performance measures (Payments related to benefitreinstatements made within 15days of receipt of theappropriate documents; all otherpayments within 30 days ofreceipt) 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent \n(2) Enhanced quality andconsistency of contributionrecording, including timelyreconciliation of participantreconciliation exception casesthat arise from the year-endprocess\t(2.1) Number of resolvedparticipant reconciliationexceptions Performance measures 2008-2009: 9,000 Estimate 2010-2011: 10,000 \n Target 2012-2013: 11,000 \n\t(2.2) All participant recordsverified within six weeks ofreceipt of year-end schedule Performance measures (Verify records for allparticipants within six weeks ofreceipt of year-end schedule) 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent \n(3) Provision of quality andconsistent financialstatements and establishmentof policies and procedures toimplement appropriateIPSAS/International AccountingStandards\t(3.1) Timely provision offinancial statements (draftstatement issued by 15 April ofthe following year) Performance measures (draft statement issued by 15April of the following year) 2008-2009: by the due date Estimate 2010-2011: by the duedate \n Target 2012-2013: by the due date\n\t(3.2) Increased percentage ofIPSAS/ International AccountingStandards and disclosurerequirements adopted Performance measures 2008-2009: not applicable Estimate 2010-2011: beginadoption of certain IPSAS/International AccountingStandards and disclosurerequirements \n\tTarget 2012-2013: Full adoptionof IPSAS/ InternationalAccounting standards for 2012financials. Annual auditsanticipated.","External factors","82. This subprogramme is expected to achieve its objectives unless affected by events such as: (a) political conflicts and natural disasters around the world causing interruption of banking services available to pensioners; (b) unanticipated system implementation delays causing IPSAS financial statement information to be delayed; and (c) growth of the Fund, leading to inadequate staffing resources to properly serve the pensioners.","Outputs","83. During the biennium 2012-2013, the following outputs will be delivered:","(a) Production of three sets of financial statements and associated documents; preparation of updated financial statements in the light of the change from United Nations system accounting standards to full adoption of IPSAS and International Accounting Standard 26 for the 2012 financial statements;","(b) Reduction in the number of outstanding audit observations between reports (allowing for additional observations arising in the interim) on the areas under supervision and technical accounting issues;","(c) Full reconciliation for all remitting entities to be produced in the specified timeframe of six months following the submission of the year-end schedules;","(d) Full reconciliation of the data held in the master separation file records to payroll history records for the annual and biennial close;","(e) Conduct presentations and training on contribution related participant reconciliation exceptions issues in New York and Geneva and with large reporting entities;","(f) Bank reconciliations for all accounts to be completed on a monthly basis in a timely manner;","(g) Comply, on a timely basis, to any updated banking requirements regarding payments to pensioners;","(h) With regard to payments to pensioners:","(i) Ensure timely receipt of pensioner payments;","(ii) Reduce banking fees to the Fund;","(iii) Reduce or eliminate bank charges to pensioners wherever possible.","Table 17 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2012 2012-2013 2010-2011 2012-2013 (before recosting)","Post 27 874.7 28 626.2 137 136","Non-post 2 595.3 5 342.2 — —","Subtotal 30 470.0 33 968.4 137 136","Extrabudgetary 158.2 152.9 1 1","Total 30 628.2 34 121.3 138 137","84. The amount of $34,121,300 will provide for the continuation of 137 posts; 124 established posts (3 D-1, 3 P-5, 9 P-4, 13 P-3, 1 P-2, 8 General Service (Principal level) and 87 General Service (Other level)); one General Service (Other level) post funded from extrabudgetary resources; 12 temporary posts (6 P-4, 2 P-3, 4 General Service (Other level)) and the redeployment of one Legal Officer post at the P-4 level in the Geneva office under the control of the Legal Office, and for non‑post requirements. The increase in non-post resources relates to higher requirements for consultants ($100,000) and general operating expenses ($2,846,300), partially offset by a decrease in general temporary assistance ($199,400). The large increase in general operating expenses is owing entirely to bank charges that were deducted from the proposed budget for 2010-2011 by the Pension Board.","85. At its 186th meeting, the Standing Committee reviewed a note on the after-service health insurance premium deduction programme undertaken by the Fund. As a result, extrabudgetary resources referred to above were approved and funded by participating member organizations at no cost to the Fund.","4. Programme support","Information Management Systems Service","Resource requirements (before recosting): $43,324,900","86. Under the guidance of the Pension Fund governance model for information and communications technology, the Information Management Systems Service is responsible for the Fund’s information system services, maintaining information and communications technologies, coordinating the implementation of strategic decisions taken by the Information Technology Executive Committee, establishing training plans for information and communications technology staff and providing the necessary tools for supporting knowledge exchange and cooperative work.","87. The Service is responsible for the provision of overall computing office automation; software/systems design, development and implementation; hardware support; telecommunications; shared infrastructure services, including the Investment Management Division; supervision and technical leadership of information technology operations in the Geneva office of the Fund; and management of resources, infrastructure and conference support.","Table 18 Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To facilitate the achievementof the operational andstrategic goals of the Fundthrough the efficient andeffective use of informationand communications technology\t(1) Progress in modernizing theFund’s information systemsplatform\t(1.1) The enterprise informationtechnology architecture thatsupports the redesigned businessprocesses Performance measures 2008-2009: not applicable Target 2010-2011: projectdeliverables completed accordingto milestone dates \n\tTarget 2012-2013: projectdeliverables completed accordingto milestone dates\n(2) Increased efficiency andeffectiveness in serviceprovided to clients\t(2.1) Percentage of time wheninformation technology servicesare available to clients Performance measures 2008-2009: 99 per cent Estimate 2010-2011: 99 per cent \n Target 2012-2013: 99 per cent \n(3) Improved informationtechnology services\t(3.1) Percentage of informationtechnology systems atsatisfactory level (or above) ofsupport Performance measures 2008-2009: 95 per cent Estimate 2010-2011: 95 per cent \n Target 2012-2013: 95 per cent \n(4) Increased use of electronicrepositories for sharinginformation\t(4.1) Percentage of InformationManagement Systems Servicedocumentation available withinthe knowledge management system Performance measures 2008-2009: 80 per cent Estimate 2010-2011: 95 per cent \n Target 2012-2013: 95 per cent \n(5) Increased informationsecurity\t(5.1) Percentage increase incompliance, for the defineddeliverables as per theInternational Organization forStandardization 17799 securitystandards, measured annually Performance measures 2008-2009: 78 per cent Estimate 2010-2011: 90 per cent \n Target 2012-2013: 90 per cent \n(6) Improved sharing ofelectronic information withparticipants, beneficiaries andother clients\t(6.1) Percentage of participantssharing human resourcesinformation electronically Performance measures 2008-2009: 75 per cent Estimate 2010-2011: 80 per cent \n Target 2012-2013: 80 per cent \n\t(6.2) Percentage of participantssharing financial informationelectronically Performance measures 2008-2009: 10 per cent Estimate 2010-2011: 20 per cent \n Target 2012-2013: 30 per cent","External factors","88. This subprogramme is expected to achieve its objectives and accomplishments on the assumption that: (a) the evolution of technology is in line with expectations; (b) resources both internal and outsourced are made available to meet critical targets; and (c) stakeholders fulfil their responsibilities and obligations and extend their full cooperation in attaining the objectives of the information and communications technology strategy, most importantly during the process review and redesign stages of activity.","Outputs","89. During the biennium 2012-2013, the following outputs will be delivered:","Enterprise operations services","(a) Translating the organization’s functional and operational requirements into the effective and efficient acquisition and implementation of information and communications technology architecture for the proposed Integrated Pension Administration System initiative with a focus on improving the management of information and the efficiency of the Fund’s operations;","(b) Policies. Ensuring that all information and communications technology services delivered by the Information Management Systems Service meet the expectations of the Fund’s Information Technology Executive Committee and relevant industry standards to the extent possible (e.g., Information Technology Infrastructure Library); enforcing network security in line with International Organization for Standardization security standard ISO-20002 for the Fund’s information and communications technology infrastructure;","(c) Communications. Provision of backbone communications services, including Internet, private leased lines, telecommunication devices and equipment, and the required communication lines that are used for connecting the various offices of the Fund, including the Fund secretariat, the Geneva office, the Investment Management Division and the newly established information technology infrastructure hosting arrangement with the International Computing Centre; upgrading the New York backbone network infrastructure with robust capabilities to support users with diverse requirements for high-speed mission-critical data, voice and video traffic to the desktop;","(d) Information and communications technology infrastructure services. Multishift operations, management and maintenance of Information and Communications Technology Infrastructure Services, such as server management, middleware management, and data backup in New York, New Jersey, and Geneva to support the operations of the Fund. Monitoring applications, equipment, network loads and traffic from the command centre to prevent failure of services. They will also ensure that software versions are at current levels where practical and, if necessary, perform systems upgrades using software development life-cycle methodologies;","(e) Infrastructure architecture services. Developing and implementing information and communications technology infrastructure based on best technology standards and practices that will emphasize integration, interoperability, modularity and scalability with a periodic technology refresh; provide a guide to information technology decision makers, lower costs of information technology through reduced support costs and economies of scale;","(f) User support/help desk. Provide technical, operational and help desk support for applications, servers, personal computers and mobile devices connected to the Pension Fund networks; provide infrastructure support for approved software applications, such as productivity systems, e-mail, knowledge management systems and custom applications; operation of and the provision of support to conference room facilities and equipment, including video/audio and projection functions;","(g) Messaging. Provision and maintenance of electronic messaging services, including e-mail, videoconferencing services and unified messaging; provision and maintenance of mobile messaging and communications for handheld devices and services.","Enterprise applications services","(a) Development. Maintain systems that enhance productivity and efficiency by incorporating those that reduce manual processing of benefits; enhance participant and beneficiary processing and relate to banking, accounting system and workflow interfaces;","(b) Enterprise systems maintenance. Maintain and enhance enterprise systems for core business applications, including pension administration, accounting and content management;","(c) Maintenance of member organization information-sharing. Provision and maintenance of member organization information-sharing for the data collection of human resources and financial information, maintenance of custom interfaces and systems programmes to enhance human resources and financial data collection with the various enterprise resource planning interfaces used by organizations, and maintenance of electronic file transfer interface to securely support the sharing and translation of information.","Enterprise data services","(a) Database administration. Implement, maintain and enhance the availability of Pension Fund databases across various information technology platforms; perform database upgrades; monitor usage and resolve problems; create new tables and views; identify data integrity issues; and support system development activities as they relate to database access in line with business requirements;","(b) System programming. Implement and maintain database systems and host computer operating systems and programmes to the extent necessary to provide mission-critical data to various applications and interfaces;","(c) Data warehouse support. Implement, maintain and enhance the availability of the data warehouse system; provide data cleansing and federation across various platforms;","(d) Management reporting. Implement, maintain and enhance management reporting using business intelligence tools.","Enterprise Security Services","(a) Information security. Periodic security risk assessments of technological structures and operations of the Pension Fund offices in New York and Geneva and securing the network using various security tools, including firewalls, anti-spam and anti-virus solutions;","(b) Identity management. Provide the ability to centrally manage the provisioning and deprovisioning of identities, and consolidate the proliferation of identity repositories;","(c) Disaster recovery. Formulate, adopt and implement a multi-year disaster recovery strategy to support Pension Fund business continuity requirements.","Enterprise project management services","(a) Governance. Enhance and implement the programme management infrastructure with strong governance utilizing the model established by the governing bodies of the Information Management Systems Service;","(b) Project management methodology. Provide guidance in project management processes and methodologies in a manner that is efficient, consistent and standardized;","(c) Project management support. Update, monitor and maintain the project portfolio in accordance with project management methodologies; provide mentoring and coaching in an effort to raise the project management maturity level of the organization;","(d) Audit governance. Manage and comply with internal and external audit observations as they relate to information and technology services.","Enterprise quality and production control services","(a) Quality standardization. Identify and document the requirements for various quality standards for implementation within the Information Management Systems Service;","(b) Change management. Identify and implement a complete change management framework with proper segregation of duties;","(c) Service level and delivery agreements. Compile statistics and manage all service level and delivery agreements of the Information Management Systems Service;","(d) Production control. Oversee the quality assurance function to ensure that all systems are placed into the production environment only after undergoing a comprehensive evaluation and user acceptance test.","Contract management services","Monitor and manage the various components of the budget of the Information Management System Service; provide administrative support to information and communications technology services, including the identification of available resources, the entry of pre-encumbrances and the processing of requisitions, purchase orders and related invoices; account for the assets of the Service; manage vendor relationships, including those with technology partners, contractors and outsourcers; provide expert level knowledge in the development of generic specifications for technology procurement; work directly with the United Nations Procurement Service to ensure that value-added solutions are provided at the lowest possible cost.","Table 19","Resource requirements","Category Resources Posts (thousands of United States dollars)\n 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 8 426.7 8 607.6 32 31","Non-post 32 814.1 34 717.3 — —","Total 41 240.8 43 324.9 32 31","90. The amount of $43,324,900 will provide for the continuation of 31 posts; 26 established posts (1 D-1, 2 P-5, 6 P-4, 10 P-3, 1 General Service (Principal level) and 6 General Service (Other level)); 5 temporary posts (1 P-5, 1 P-4, 2 P-3 and 1 General Service (Other level)) and non-post resources. One temporary post at the P-4 level was authorized for 12 months only, and this post was abolished in 2011. The increase in non-post resources ($1,903,200) is attributable primarily to other staff costs ($127,000) and contractual services ($5,975,900), partially offset by decreases in requirements for furniture and equipment ($3,976,400), travel of staff ($21,600) and general operating expenses ($177,400). The total resources requested for the Integrated Pension Administration System project in the amount of $12,661,400 is attributable to contractual services ($11,466,300) and temporary posts ($1,195,100).","Legal Office","Resource requirements (before recosting): $1,358,400","91. The Legal Office continues to provide unified legal service for the Fund’s management and operations in the New York and Geneva offices. It will provide substantive, procedural and administrative support to the Audit Committee and the Standing Committee (appeals) of the Pension Board as well as to the United Nations Staff Pension Committee (disability cases). The Office will ensure that the Fund’s operations comply with the Regulations and Rules of the Fund and that the Regulations are consistently interpreted. In addition to all sections and offices in the secretariat of the Fund, legal services and support are provided to participants and retirees and/or their legal representatives in regard to the application of the Fund’s Regulations and Rules in individual cases. The Office has focused on a new approach to the documentation and dissemination of legal precedents, rulings and policy decisions. Such promotion of knowledge-sharing facilitates the efficient use of legal information and experience accumulated by the Legal Office, enhances the use of best practices, and enables managers and staff to take into account legal risks in their daily decision-making.","Table 20","Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To protect the legal interestsof the Fund and to provideexpert legal advice on PensionFund matters to the ChiefExecutive Officer, the PensionBoard and Standing Committeeand other governance bodies ofthe Pension Fund\t\n(1) Improved uniformity andconsistency in the applicationof the Regulations, Rules andPension Adjustment System ofthe Pension Fund\t(1.1) Reduced number of requestsfor review and appeals where theFund’s position is not upheld byeither the Standing Committee orthe Appeals Tribunal Performance measures 2008-2009: 90 per cent of casesupheld Estimate 2010-2011: 100 per centof cases upheld \n\tTarget 2012-2013: 100 per centof cases upheld\n(2) Modernized and improvedcommunication andknowledge-sharing in respect oflegal matters\t(2.1) The number of legaldecisions and jurisprudencedocumented and disseminatedusing the Pension Fund CaseDigest and other knowledgemanagement tools Performance measures 2008-2009: not applicable Estimate 2010-2011: 100 per centof Standing Committee andTribunal cases, 10 per cent oflegal rulings codified \n\tTarget 2012-2013: 100 per centof Standing Committee andTribunal cases, 30 per cent oflegal rulings codified(3) Improved organizational andprocedural aspects of meetingservicing, as well as enhancedsubstantive support to themembers of the Committees\t(3.1) The satisfaction of themembers of the Pension Board,Standing Committee, AuditCommittee and the United NationsStaff Pension Committeeconcerning the level and qualityof substantive secretariatservices Performance measures 2008-2009: no complaints aboutsupport Estimate 2010-2011: nocomplaints about support \n\tTarget 2012-2013: no complaintsabout support","External factors","92. The Legal Office is expected to achieve its objective and expected accomplishments on the assumption that: (a) the Fund’s committees, Pension Board, member organizations, operational staff and management will seek legal advice when the legal interests or liabilities of the Fund are affected by their activities and operations; (b) legal advice is sought in a timely manner and clients provide sufficient information for legal analysis and will be guided by the advice rendered; and (c) the required human and financial resources will be made available.","Outputs","93. During the biennium 2012-2013, the following outputs will be delivered:","(a) Provision of advice on questions relating to interpretation and application of the Fund’s Regulations, Administrative Rules and Pension Adjustment System, provision of operational support in respect of administrative polices and procedures;","(b) Provision of advice on and, as appropriate, supervision and oversight of the review, negotiation and drafting of agreements and other legal instruments with member organizations, as well as other international and intergovernmental organizations;","(c) Provision of advice and preparation of documentation regarding institutional and operational modalities, legal submissions and other legal documents; preparation of respondent’s answers to the United Nations Appeals Tribunal in cases concerning pension matters (10 instances);","(d) Preparation of legal publications or communications to Fund participants/beneficiaries, pension secretariats and administrations of member organizations, including the relevant material for the Fund’s website;","(e) Servicing of the meetings of the United Nations Staff Pension Committee, Standing Committee and Audit Committee, including streamlining and modernizing information-sharing, by electronic dissemination of documents through web-based Quick Places and the other knowledge management tools of the Fund:","(i) Provision of advice on rules of procedure, interpretation and implementation of resolutions and Pension Board/Committee decisions;","(ii) Substantive, technical and administrative servicing of the meetings of the Standing Committee (2 instances), including the preparation of approximately 12 requests for review and appeals; analysis of legal issues and the preparation of reports and documentation;","(iii) Substantive, technical and administrative servicing of the meetings of the United Nations Staff Pension Committee (4 instances); preparation of applications for disability benefits (approximately 140 new adult cases, 40 child cases and approximately 190 review cases and 2 appeals cases); preparation of reports and documentation;","(iv) Substantive, technical and administrative servicing of the meetings of the Audit Committee (6 instances), including the coordination of preparation of documentation and reports;","(f) Codification and systematic dissemination of the jurisprudence of the Standing Committee and Administrative Tribunal cases as well as other legal reference files, opinions, policy decisions and guidelines;","(g) Liaison with member organizations of the Fund, their Staff Pension Committees and other international organizations on issues related to legal questions in pension schemes;","(h) Representation of the Fund at international or regional meetings, inter-agency meetings and meetings of legal advisers of member organizations, and participation in various standing boards, committees, ad hoc working groups and task forces, as required.","Table 21","Resource requirements","Category Resources Posts (thousands of United States dollars)\n 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post — 1 358.4 — 4","Non-post — —","Total — 1 358.4 — 4","94. In order to more clearly analyse programme support, the Legal Office has been segregated from the Office of the Chief Executive Officer and redesignated as a subprogramme of programme support. The amount of $1,358,400 provides for the continuation of four posts, three redeployed from the Office of the Chief Executive Officer (2 P-5 and 1 General Service (Other level)) and one from the Geneva Office (1 P-4, Legal Officer). The latter will be located in Geneva.","Executive Office","Resource requirements (before recosting): $11,838,900","95. The Executive Office provides the administrative and programme support necessary for the implementation of the activities of the Fund. It assists the Chief Executive Officer and the Director of the Investment Management Division in the preparation of the biennial budget submission and provides the relevant support services for the efficient utilization of human and financial resources. It also provides a general administration and facilities management service.","Table 22","Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To facilitate the achievementof the operational andstrategic goals of the Fundthrough efficient andeffective administrative andprogramme support\t\n(1) Timely recruitment andplacement of staff\t(1.1) Reduction in the averagenumber of working days a postremains vacant Performance measures 2008-2009: 200 days Estimate 2010-2011: 180 days \n Target 2012-2013: 150 days \n\t(1.2) Increased percentage ofwomen in posts at theProfessional level and above forappointments of one year or more Performance measures 2008-2009: 32 per cent Estimate 2010-2011: 39 per cent \n Target 2012-2013: 45 per cent \n(2) Improved versatility ofstaff by internal and externaltraining\t(2.1) Increased production ofbespoke learning coursesavailable Performance measures 2008-2009: 30 Estimate 2010-2011: 38 \n Target 2012-2013: 48 \n\t(2.2) Increased staffparticipation in and successfulcompletion of learning and careerdevelopment programmes Performance measures 2008-2009: 618 Estimate 2010-2011: 700 \n Target 2012-2013: 700 \n(3) Improved management andmonitoring of the Fund’sadministrative budget\t(3.1) Reduce unliquidatedobligations and cancellation ofprior-period obligations as apercentage of finalappropriations Performance measures 2008-2009: not applicable Estimate 2010-2011: 9 per cent \n Target 2012-2013: 8 per cent \n(4) Enhanced quality andtimeliness of facilities andproperty services\t(4.1) Decreased working days lostdue to downtime of buildingfacilities Performance measures 2008-2009: zero Estimate 2010-2011: zero \n Target 2012-2013: zero","External factors","96. The Executive Office is expected to achieve its objective and expected accomplishments on the assumption that the required human and financial resources are made available.","Outputs","97. During the biennium 2012-2013, the following outputs will be delivered:","(a) Human resources management:","(i) Provision of policy advice to all staff on all issues relating to human resources management;","(ii) Manage tracking data of job openings for hiring managers to support recruitment targets;","(iii) Report on electronic Performance Appraisal System compliance data to directors;","(iv) Schedule interviews for all INSPIRA and temporary vacancy announcement recruitment;","(v) Deal with issues related to staff-management relations (rebuttal panels, etc.);","(b) Staff training and career development:","(i) Develop Fund-specific courses and facilitate knowledge transfer for a learning management system platform in coordination with the Information Management Systems Service;","(ii) Arrange training courses on Fund premises;","(iii) Monitor and track mandatory courses for all staff;","(iv) Induct all new staff into the Fund;","(v) Provide career development advice;","(c) Administration:","(i) Provide day-to-day administrative support to the staff of the Fund;","(ii) Maintain the staffing table;","(iii) Process General Service and Professional personnel actions to meet payroll each month;","(iv) Renew staff contracts two months prior to expiration by alerting supervisors for recommendations;","(v) Analyse individual staff cases of benefits and entitlements in accordance with United Nations policy and action any change or update to individual benefits and entitlements;","(vi) Provision of certified business travel to the Fund staff and associated personnel;","(vii) Arranging travel for United Nations members of the Pension Board and members of the Audit Committee and Committee of Actuaries and the staff of the Fund;","(viii) Maintain time and attendance records;","(ix) Maintenance of Quick Place website for Audit Committee members to access documentation related to meetings;","(d) Finance and Budgetary Control:","(i) Provide guidance to programme managers on, and completion of the Fund’s biennial and revised budgets;","(ii) Issuance and revision of allotments;","(iii) Certification of all expenditures;","(iv) Monitoring and reporting expenditure to programme managers on a monthly basis;","(v) Provision of advice and guidance on the application of the Financial Regulations and Rules to programme managers;","(vi) Control of the administrative budget, including verification of invoices prior to payment;","(vii) Completion of schedule I (Status of appropriations in relation to administrative expenses) of the Fund’s annual financial statement;","(viii) Reconciliation of administrative expenses between the Fund and United Nations Secretariat;","(e) Facilities and property management:","(i) Ensure that facilities are maintained and are in operational condition;","(ii) Coordinate with building management and vendors for any required repairs;","(iii) Manage contracts relating to the office space;","(iv) Provide support in the planning and configuration of new and existing office space;","(v) Maintain and support the asset/inventory management system for fixed assets of the Fund;","(vi) Coordinate disposal of obsolete equipment and furniture;","(vii) Maintain and support the Fund emergency notification system;","(viii) Maintain emergency contact information for staff of the Fund for security/emergency action purposes.","Table 23 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 1 659.3 1 718.6 7 7","Non-post 11 451.5 10 120.3 — —","Total 13 110.8 11 838.9 7 7","98. The amount of $11,838,900, representing a decrease of $1,271,900, provides for the continuation of seven posts (1 P-5, 1 P-4, 1 P-3 and 4 General Service (Other level)) and the reclassification of one P-3 post as a P-4 post, and for non-post requirements for the Administration as a whole. The decrease in non-post resources of $1,331,200 is due primarily to a decrease in the rental and maintenance of premises as a result of the use of more accurate estimates.","C. Investment costs","1. Overview","99. The Investment Management Division assists the Secretary-General, under the authority delegated by the Representative of the Secretary-General in accordance with article 19 of the Regulations of the United Nations Joint Staff Pension Fund, in the management of the investment of the Fund’s assets. It is responsible for the day-to-day management of those assets, implementing the approved investment strategy and ensuring that the portfolio conforms to the approved asset allocation, policies and Regulations and Rules of the Fund. Its mandate is to generate the total amount of portfolio returns required to meet the liability demands of the Fund while staying under the Fund’s risk threshold. The Division ensures that performance and portfolio risk analysis reports are accurate and up to date, and arranges for the maintenance of appropriate and accurate accounts on the Fund’s investments. The main sections of the Division are: the Office of the Director, the Investment Section, the Risk and Compliance Section, the Operations Section and the Information Systems Section.","100. The overall level of resources for the Investment Management Division amounts to $91,799,300 before recosting, reflecting a net increase of $10,601,800, or 13.1 per cent, compared with the revised appropriations for the 2010-2011 biennium. The net increase, as shown in table 25, can be summarized as follows:","(a) Executive direction and management: the decrease of $1,567,900 relates to the decrease in non-post costs, comprising primarily decreases in travel ($1,382,200), consultants ($2,028,800) and other staff costs ($1,665,100), which have been requested under the relevant programme, offset by an increase in posts ($508,200) due to the redeployment of one P-4 Legal Officer from the Risk and Compliance Section and one General Service (Other level) post from the Operations Section and contractual services ($3,000,000);","(b) Programme of work: the increase of $7,451,700 is attributable to six additional posts offset by the redeployment of two posts to the Office of the Director ($1,115,100) and non-post resources of $6,336,600, attributable to contractual services ($2,772,200); in addition, other staff costs ($1,416,200), travel of staff ($1,271,200) and consultants ($877,000), all of which were requested under executive direction and management in previous submissions, have been requested under programme of work;","(c) Programme support: the net increase of $4,718,000 for the Information Systems Section ($5,794,500) is attributable to one additional post ($863,600), an increase in contractual services ($4,040,000), other staff costs ($779,300) and travel ($111,000), the latter two of which were requested under executive direction and management in prior submissions, which is offset in part by a decrease in administrative support of $1,076,500 under rental and maintenance of premises due to the completion of the renovation of the thirtieth floor of 1 Dag Hammarskjöld Plaza for the Division.","101. The estimated distribution of resources is shown in table 24, and resource requirements by component are shown in table 25.","Table 24 Percentage distribution of resources by component","Component Regular budget","A. Executive direction and management 7.7","B. Programme of work","1. Investments 53.9","2. Risk and compliance 2.9","3. Operations 12.0","Subtotal, programme of work 68.8","C. Support","1. Information Systems Section 19.1","2. Administrative support 4.4","Subtotal, programme support 23.5","Total 100.0","Table 25 Resource requirements by component","(Thousands of United States dollars)","Component 2010-2011 Resource Total Recosting Apportionment 2012-2013 appropriation growth before estimate recosting\n Amount Percentage United Pension Nations Fund","A. Executive 8 654.2 (1 567.9) (18.1) 7 086.3 52.33 — 7 138.6 7 138.6 direction and management","B. Programme of work","1. Investments 51 568.3 (2 091.7) (4.1) 49 476.6 655.8 — 50 132.4 50 132.4","2. Risk and 1 931.6 680.1 35.2 2 611.7 (19.2) — 2 592.5 2 592.5 compliance","3. Operations 2 178.5 8 863.3 406.9 11 041.8 179.9 — 11 221.7 11 221.7","Subtotal, B 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6","C. Support","1. Information 11 777.3 5 794.5 49.2 17 571.8 253.2 — 17 825.0 17 825.0","2. 5 087.6 (1 076.5) (21.2) 4 011.1 16.9 — 4 028.0 4 028.0 Administrative","Subtotal, C 16 864.9 4 718.0 28.0 21 582.9 270.1 — 21 853.0 21 853.0","Total 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2","2. Executive direction and management","Resource requirements (before recosting): $7,086,300","102. The Director of the Investment Management Division sets forth the framework under which the sections of the Division establish their strategies and priorities to ensure that the Division carries out its mandate, while guaranteeing the best possible conditions of security, performance, responsibility and accountability and ensuring full compliance with the highest standards of efficiency, competence and integrity. The Director promotes the controlled, efficient and effective management of the assets of the Fund through a workplan designed to reflect the long-term goals and priorities of the Division and of the Fund as a whole. The Director leads the Division’s cooperation with the Fund’s Audit Committee, the United Nations Board of Auditors and the Office of Internal Oversight Services (OIOS).","103. The Office of the Director is responsible for providing critical legal, contract management and requisitioning services as well as administrative support, including making strategic human resources projections in response to the growing needs of the Division. The Office also provides services for and supports the Investments Committee.","104. The objective is to develop the Office of the Director into a unit that would assist the Division in monitoring and coordinating the timely implementation of its workplan. The scope and responsibilities of the Office have increased and diversified as the Fund has grown in terms of both types of investments and number of staff and sections. Thus, provided that sufficient systems and staffing are available, the plan is to strengthen and expand the functioning of the Office by establishing specialized units with clear mandates and responsibilities to deal with legal and contract management; requisitioning, budget preparation and invoice processing; the Investments Committee and legislative bodies; and administration-related issues.","Table 26 Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure the fullimplementation of legislativemandates and compliance with theRegulations and Rules of theFund, taking into account therecommendations of theInvestments Committee and thedecisions of the Representativeof the Secretary-General withrespect to the management of theFund’s programme of work inrelation to investments and ofstaff and financial resources\t\n(1) Determining, in consultationwith the Representative of theSecretary-General, guidelines onasset allocation ranges,currency holdings, marketweightings, strategic andtactical short-term allocations;investment opportunities; andinformation systems andoperational infrastructure\t(1.1) Outperformance of Fund’sinvestments\n(2) Timely and effectiveplanning and coordination ofInvestment Management Divisionprocurement needs\t(2.1) Percentage of requestsfor proposal completed within 6months\n(3) Provision of a wide range oflegal advice on various types ofinvestments and contracts\t(3.1) Successful completion ofnew investment transactions andexecution of contracts\n(4) Effective servicing ofInvestments Committee and otherlegislative bodies\t(4.1) No complaints receivedfrom Investments Committeemembers and other participants\n(5) Timely recruitment andplacement of staff\t(5.1) Reduction in the averagenumber of days for which a postremains vacant\n\t(5.2) Reduction in the vacancyrate","External factors","105. The objective and accomplishments are expected to be achieved consistently on the assumption that (a) all stakeholders will be supportive of the efforts of and will extend their full cooperation to the Investment Management Division; and (b) there are no significant shortfalls in funding for the implementation of the mandates established by the General Assembly and the Pension Board. The accomplishment of the executive direction programme depends on the full cooperation of the relevant United Nations departments and divisions.","Outputs","106. During the biennium 2012-2013, the following outputs will be delivered:","(a) A regularly updated and implemented investment policy that ensures forcefully implemented investment strategy in accordance with the guidance received by the Investments Committee;","(b) A medium-term procurement plan, resulting from the effective and regular coordination of Investment Management Division procurement needs with the Procurement Division, that produces high-quality solicitation documents and results in faster solicitation and participation of high-quality firms in the bidding process in approximately 10 procurement exercises;","(c) Approximately 160 contracts, negotiated and executed with regular coordination and contacts with legal experts in the Office of Legal Affairs and the Legal Counsel;","(d) Four Investments Committee meetings are organized annually. The Pension Board, the Advisory Committee on Administrative and Budgetary Questions, the Fifth Committee and other relevant parties are provided with accurate reports on investments;","(e) Investment Management Division staff travel and training plans are implemented. Vacancies are filled within 180 days.","Table 27 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 1 941.6 2 449.8 7 9","Non-post 6 712.6 4 636.5 — —","Total 8 654.2 7 086.3 7 9","107. The amount of $7,086,300, representing a $1,567,900 decrease, provides for the continuation of seven posts (1 D-2, 1 P-5, 1 P-4, 1 General Service (Principal level) and 3 General Service (Other level)), the redeployment of two posts, one each from the Risk and Compliance Section (1 P-4) and the Operations Section (1 General Service (Other level)), and non-post resources for the Division as a whole for the travel of representatives and hospitality. The decrease in non-post resources is attributable primarily to the apportionment of resources for other staff costs ($1,665,100), travel of staff ($1,382,200) and consultants ($2,028,800), offset in part by an increase in contractual services ($3,000,000).","3. Programme of work","Investment Section","Resource requirements (before recosting): $49,476,600","108. The Investment Section is responsible for achieving optimal investment returns for the Fund while avoiding undue risks. The Section consists of seven organizational entities, namely, North American equity, European equity, Asia-Pacific equity, global emerging markets equity, fixed income, real estate and alternative investments. The primary functions involve monitoring current portfolios, keeping abreast of and tracking developments in the financial markets, and making and carrying out investment decisions. The fulfilment of these functions involves the preparation of financial analyses, attendance at meetings and conferences and travel to various countries to meet analysts and companies’ management. A secondary function is contributing to the formulation of reports to all the governing bodies.","109. The tasks of the Investment Section for 2012-2013 include (a) to meet the long-term objective of an annualized real rate of return on the investments of the Fund of 3.5 per cent, as adjusted by the United States consumer price index; (b) to achieve consistent outperformance of the policy benchmark by the Fund’s investments; (c) to maintain a risk level commensurate with target investment returns; and (d) to reduce currency risks and country risks through sound diversification.","Table 28 Objectives for the biennium, expected accomplishments and indicators of achievement","Expected accomplishments Indicators of achievement \nObjective of the Organization:The long-term objectives are:(a) to achieve optimal returnfor the Fund in real termswithout undue risk; and (b) todiversify the portfolio withrespect to asset type,currency and geography\t(1) A long-term annualizedreal rate of return on theinvestments of the Fund of 3.5per cent, as adjusted by theUnited States consumer priceindex\t(1.1) Total Fund return againstthe Fund’s objective over a10-year periodPerformance measures2008-2009: underperformed theobjective by 1.7 per cent over a10-year period ended December2009, while the Fund experiencedthe global financial crisis in2008 and early in 2009 Estimate 2010-2011: according topreliminary numbers, the Fundperformed 3.5 per cent in realterms over a 10‑year period endedDecember 2010, in line with theFund’s return target \n\tTarget 2012-2013: outperform thelong-term target of an annualizedreal rate of return of 3.5 percent(2) Consistent outperformanceof the Fund’s investmentsrelative to the policybenchmark, which is 60 percent in equity, 31 per cent infixed income, 6 per cent inreal estate and 3 per cent incash\t(2.1) Total return against thepolicy benchmark over a 5-yearperiodPerformance measures2008-2009: outperformed thebenchmark by 0.9 per cent over a5-year period ended December 2009 Estimate 2010-2011: according topreliminary numbers, the Fundperformed 10.2 per cent innominal terms in 2010, marginallyunderperforming the 60/31benchmark return of 10.6 per cent \n\tTarget 2012-2013: outperform thepolicy benchmark(3) Reduction of currency riskand country risk through sounddiversification\t(3.1) Number of currenciesinvested inPerformance measures 2008-2009: invested in 27currencies as of December 2009 Estimate 2010-2011: invested in35 currencies as of December 2010 \n\tTarget 2012-2013: further refinethe allocation of the Fund’sassets by currency as appropriate\t(3.2) Number of countriesinvested in 2008-2009: invested in more than41 countries, including emergingmarkets, ininternational/regionalinstitutions and in investmenttrusts as of December 2009 Estimate 2010-2011: invested inmore than 47 countries, includingemerging markets, ininternational/regionalinstitutions and in investmenttrusts as of December 2010 \n\tTarget 2012-2013: further refinethe allocation of the Fund’sassets by country as appropriate(4) Diversification ofinvestments in alternativeasset classes\t(4.1) Number of strategies ofalternative asset classesinvested in Performance measures 2008-2009: not applicable Estimate 2010-2011: SeniorInvestment Officer forAlternative Investments joinedthe Fund in June 2010. The targetfor the period from June 2010 toDecember 2011 is to finalizeAlternative Investments adviserselection and make commitments to5-10 managers. The Real AssetsAdviser was selected in June2009, and a detailed strategy forreal assets will be set early in2011. The Fund will makecommitments in several funds ininfrastructure andtimber/agricultural lands \n\tTarget 2012-2013: By the end of2013, the Fund expects to becommitted to up to 15 to 20private equity funds and hedgefunds of funds. Private equityperformance over time will bemeasured using dollar-weightedreturn and internal rate ofreturn calculations, while thehedge fund portfolio will bemeasured using time-weightedreturn calculations. Benchmarkingfor the Fund will be discussedwith the Fund’s private equityand hedge fund Advisers and willbe presented in detail at a laterstage(5) Enhanced capacity of staffto address issues related toinvestments and portfoliomanagement\t(5.1) Percentage of staff whoattend at least 1 relevantconference or seminarPerformance measures 2008-2009: not applicable Estimate 2010-2011: notapplicable \n\tTarget 2012-2013: each staffmember attends at least 1 seminaror conference","External factors","110. The objective and accomplishments are expected to be achieved consistently on the assumption that (a) all stakeholders will be supportive of the efforts of and will extend their full cooperation to the Investment Management Division; (b) there are no significant shortfalls in funding for the implementation of the mandates established by the General Assembly and the Pension Board; and (c) the financial markets such as global equity, global fixed income, real estate and foreign exchange will move in the direction of the long-term assumptions.","Outputs","111. During the biennium 2012-2013, the following outputs will be delivered:","(a) A positive total return exceeding the Fund’s objective, which is a long-term annualized real rate of return on investment of 3.5 per cent, as adjusted by the United States consumer price index;","(b) A positive total Fund return exceeding the policy benchmark, which is 60 per cent in equity, 31 per cent in fixed income, 6 per cent in real estate and 3 per cent in cash;","(c) The maintenance of a well-diversified portfolio, in terms of both currencies and countries, in order to reduce currency risk and country risk;","(d) Successful implementation of the alternative asset class suited to the Fund objective when market conditions are favourable for the Fund to earn a return premium exceeding what could be earned from investments in publicly listed equities;","(e) The enhancement of the professionalism and in-depth knowledge of staff, who will help to improve the performance of the Fund through participation in conferences and seminars directly related to investments and portfolio management.","Table 29 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 7 698.4 8 974.3 27 31","Non-post 43 869.9 40 502.3 — —","Total 51 568.3 49 476.6 27 31","112. The amount of $49,476,600, representing a $2,091,700 decrease, provides for the continuation of 27 posts (1 D-1, 7 P-5, 6 P-4, 4 P-3, 4 General Service (Principal level) and 5 General Service (Other level)) and the establishment of 4 new posts (3 P-4 and 1 P-3) and for non-post resources. The decrease in non-post resources is attributable to contractual services ($5,090,300) and the inclusion of resources for other staff costs ($197,500), travel of staff ($1,025,200) and consultants ($500,000) previously requested under executive direction and management.","Risk and compliance","Resource requirements (before recosting): $2,611,700","113. The Risk and Compliance Section is a newly established entity responsible for identifying, measuring and managing all aspects of risks to which the Fund is exposed. In addition, in terms of compliance, it is mandated to implement adequate monitoring and control processes covering the Fund’s investments. Its function comprises two sub-functions: risk management and compliance.","Table 30 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization:To establish controls andmonitor compliance for variousrisks to which the Fund isexposed, namely, market risk,operational risk, credit risk,and legal and reputationalrisk. The function is alsoresponsible for establishingthe risk budget at the assetand manager levels, monitoringcompliance with the riskbudget and helping theinvestment function tomaximize risk-adjusted returnsbased on established riskappetite\t\n Expected accomplishments Indicators of achievement (1) Effective oversight of therisks involved in the Fund’sinvestment operations\t(1.1) All investment tradeseffectively covered by monitoringactivities Performance measures (percentage number of cases) 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent (2) Risk management frameworkestablished\t(2.1) Fully implement the riskanalytics system and train allportfolio managers to integraterisk analytics into portfolioconstruction Performance measures \n Target 2012-2013: 100 per cent (2.2) Implementation of riskmanagement controls as outlinedin the Risk Management Manual;percentage of implemented riskcontrols Performance measures Successful implementation of allestablished risk guidelines andcontrols Monitor controls, conduct trendanalysis and modify guidelinesand controls in accordance withchanges in investment environmentor as new risks are identified 2010-2011: 75 per cent \n Target 2012-2013: 99 per cent (3) Compliance withestablished policies andprocedures of InvestmentManagement Division\t(3.1) Percentage of investmenttransactions in compliance withpolicies and standard operatingprocedures Performance measures (percentage of transactions) \n Target 2012-2013: 95 per cent (3.2) Assurance of higher ethicalstandards on the part of staffmembers in relation to thedischarge of their duties andresponsibilities as internationalcivil servants Performance measures (percentage number of staffmembers) \n Target 2012-2013: 100 per cent (3.3) Successfully coordinatesand facilitates compliance withaudit recommendations Performance measures (percentage of completed audits) \n Target 2012-2013: 100 per cent (4) Implementation of multiplecustodians and independentmaster record-keeper\t(4.1) Independent masterrecord-keeper and multiplecustodians fully implemented andoperational, integrated withother Investment ManagementDivision systems such as thosefor risk management, accountingand trade order management Performance measures \n Target 2012-2013: 100 per cent","External factors","114. The Risk and Compliance Section is expected to achieve its objective and accomplishments on the assumption that all external parties will be supportive of the efforts of and will extend full cooperation to the Section. Other external factors include:","(a) More volatile equities markets;","(b) More volatile currencies market with large swings, requiring extensive quantitative analysis capacity for the use of index-linked tools for offsetting risks;","(c) More credit risk from sovereign countries;","(d) Operating in inflationary and/or deflationary environments simultaneously in various geographies;","(e) More international trade barriers;","(f) Changes in benchmarks if there are shifts in macroeconomic trends;","(g) Sudden underfunding of risks due to depreciation in base currency (United States dollar), causing funds to reach historical highs, while being potentially underfunded as use of the two-track feature increases and as liabilities increase in other currencies;","(h) Run on commodities;","(i) High unemployment becomes the “new normal” on a sustained basis in developing economies;","(j) Sovereign countries default on their loans.","Outputs","115. During the biennium 2012-2013, the following outputs will be delivered:","(a) The maintenance of policies and standard operating procedures, namely, standard operating investment policies and procedures, the Risk Management Manual, the compliance policy and manual, the code of ethics and the personal securities, gift and hospitality policies;","(b) The completion of quarterly compliance reviews of the Fund’s investment operations to ensure the effective management of the Fund’s compliance risks;","(c) The administration of certification of acknowledgement, trade order pre‑clearances, report of personal securities, hospitality log and mandatory leave;","(d) The organization of training programmes pertaining to investment compliance, code of ethics (total of two on-site division-wide programmes);","(e) Coordination for full compliance with the annual United Nations financial disclosure programme;","(f) The preparation of periodic reports to the Audit Committee of the Pension Board (total of eight presentations);","(g) Acting as a focal point for planned internal and external audits of the Board of Auditors and the Office of Internal Oversight Services, and for queries from the Ethics Office.","Table 31 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 1 931.6 1 919.7 6 7","Non-post — 692.0 — —","Total 1 931.6 2 611.7 6 7","116. The amount of $2,611,700, representing a $680,100 increase, provides for the continuation of five posts (1 D-1, 2 P-4 and 2 General Service (Principal level)), the redeployment of one P-4 post to the Office of the Director and one General Service (Other level) post from the Operations Section and the establishment of one new post (1 P‑4). The increase in non-post resources is attributable primarily to the inclusion of resources for other staff costs ($321,600), travel of staff ($193,400), consultants ($127,000) and contractual services ($50,000) previously requested under executive direction and management.","Operations","Resource requirements (before recosting): $11,041,800","117. The Operations Section of the Investment Management Division is responsible for back-office investment operations, accounting and reconciliation and the financial reporting of all investment transactions and related activities of the Fund. It is also responsible for settling all investment trades and foreign-exchange transactions in a timely and accurate fashion, employing industry-standard solutions for straight-through and exception processing. In addition, it ensures that all investment activities, such as trades, foreign-exchange transactions, income collection, maturities, tax collection and corporate actions, are properly recorded in accordance with IPSAS, adopted by the Fund for the preparation of financial statements, with adequate internal controls and audit trail. Furthermore, the Section is responsible for the production of daily cash projections enabling the Investment Section to manage cash for all of the currencies utilized by the Division for investment purposes. The Operations Section is also responsible for the implementation of IPSAS with regard to all the Fund’s investment activities to be reported and reflected in the Fund-wide financial statements commencing on 1 January 2012, under the general guidance and direction of the Fund’s Chief Financial Officer. The Section works closely with the custodians for trade and foreign-exchange settlements, the investigation of interest claims on failed trades, income collection, maturities, tax collection and corporate actions. It also works closely with the master record-keeper for the daily reconciliation of cash and holdings, the fair market valuation of the Fund’s investments and the general ledger feed. The Section works closely with the Information Systems Section to assist in the implementation of more efficient processes, ensuring internal controls, while enhancing the various computerized investment activities of the Division and minimizing manual intervention.","Table 32 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of theOrganization: To ensure thesecurity of the Fund’sinvestments and increasetransparency in the financialreporting thereof\t\n Expected accomplishments Indicators of achievement (1) Automated back-officetrade settlement andreconciliation processes withthe capacity to handle anincreased volume ofinvestment transactions\t(1.1) Increased percentage ofproperly authorized investmenttrades settled withinmarket-prescribed settlement timeframesPerformance measures 2008-2009: 96.25 per cent Estimate 2010-2011: 98 per cent Target 2012: 99 per cent \n Target 2013: 99 per cent (1.2) Reduced number of daysneeded for the resolution ofdiscrepancies inpositions/holdings and cash Performance measures 2008-2009: not applicable Estimate 2010-2011: implementationand testing stage Target 2012: resolve discrepancieswithin 3 days \n\tTarget 2013: resolve discrepancieswithin 2 days(2) Successful implementationof IPSAS, adopted by thePension Fund in coordinationwith governing bodies\t(2.1) Timely submission of theDivision’s IPSAS-compliantfinancial statements to the Fund’sChief Financial Officer (by 15March of the following year) Performance measures 2008-2009: 1 April 2010 Estimate 2010-2011: 15 March 2011 Target 2012: 15 March 2012 \n Target 2013: 15 March 2013 (2.2) Unqualified audit opinionfrom the Board of Auditors onfinancial statements Performance measures 2008: unqualified audit opinion 2009: modified audit opinion Estimate 2010-2011: unqualifiedaudit opinion Target 2012: unqualified auditopinion \n\tTarget 2013: unqualified auditopinion\n(3) Fully functionaloperations with the new dualcustodians and independentmaster record-keeper model\t(3.1) All operational systemsfully functional when newcustodians and masterrecord-keeper providers areselected","External factors","118. The Operations Section is expected to achieve its objectives on the following assumptions:","(a) The internal mission-critical systems (the Charles River trade order management system, Murex MX.3, SWIFT and Omgeo) and the independent master record-keeper’s general ledger feed system will provide full straight-through processing and exception-based processing and reconciliation on a timely basis; the implementation of Omgeo, the independent master record-keeper and the general ledger accounting systems are all dependent on the successful negotiation of contracts;","(b) The satisfactory performance of the two custodians and the independent master record-keeper in the delivery of custodial and master record-keeping services.","Outputs","119. During the biennium 2012-2013, the following outputs will be delivered:","(a) The settlement of all securities trading, real estate, alternative assets and currency-exchange transactions on the settlement or value date;","(b) The automated reconciliation of securities/positions/holdings and cash, including income (dividends, interest and cash distributions), maturities and corporate actions on a daily exception basis;","(c) Successful test or dry run of 30 June 2012 financial statements, with favourable review/comments by external auditors on IPSAS compliance;","(d) The production of IPSAS-compliant financial statements and disclosures (investments portion only) by 15 March 2013;","(e) All assets are transferred and accounted for and re-registered with the new custodians;","(f) All standard reports are produced by the new master record-keeper and custodians.","Table 33 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 2 178.5 2 029.6 11 10","Non-post — 9 012.2 — —","Total 2 178.5 11 041.8 11 10","120. The amount of $11,041,800, representing a $8,863,300 increase, provides for the continuation of nine posts (1 P-5, 1 P-3, 2 General Service (Principal level) and 5 General Service (Other level)), the redeployment of two General Service (Other level) posts, one each to the Office of the Director and the Risk and Compliance Section, and the establishment of one new post (1 P-3). The increase in non-post resources is attributable primarily to contractual services ($7,812,500) and resources that were previously requested under executive direction and management, comprising other staff costs ($897,100), travel of staff ($52,600) and consultants ($250,000).","4. Programme support","Information Systems Section","Resource requirements (before recosting): $17,571,800","121. The Information Systems Section is responsible for the technology, data management, applications, policies, procedures and management of projects facilitating the investment processes and reliable investment data. The Section will continue implementing solutions to enhance investment data quality and convenience, streamline and standardize investment processes, provide viable technology-enforcing security policies, enable business continuity and implement controls that are in line with Investment Management Division investment guidelines in order to mitigate operations and business risks. More important, the Section will provide good investment data that will be part of the solution to generate value for the Fund and enable smart risk management.","Table 34 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization:To provide informationtechnology solutions andtechnological support tofacilitate front-to-backinvestment processes \n Expected accomplishments Indicators of achievement (1) Implementation ofInvestment Management Divisioninformation and communicationstechnology strategy, includingimplementation and integrationof new and existing systemsfacilitating investmentactivities\t(1.1) Exception-based processingof investment transactionsenabledPerformance measuresPercentage of transactionsprocessed straight through 2008-2009: not available 2010-2011: 90 per cent (tradeorder management, SWIFT,custodian bank) \n Target 2012-2013: 95 per cent (1.2) Standardization andmodernization of investmentprocesses supported Performance measures Percentage of business processesstandardized 2008-2009: not available 2010-2011: 85 per cent \n Target 2012-2013: 95 per cent (1.3) Risk and compliancemanagement enabled Performance measures Number of risk and compliancetools offered 2008-2009: not available 2010-2011: 2 \n Target 2012-2013: 2 (2) Increased quality, securityand availability of InvestmentManagement Division investmentdata\t(2.1) Investment data validatedand reconciled in a timelymannerPerformance measures Percentage of dependableinvestment reports produced 2008-2009: 50 per cent 2010-2011: 75 per cent \n Target 2012-2013: 90 per cent (2.2) High availability ofinformation technology services Performance measures Percentage of potentialinformation technology operationrisk 2008-2009: 20 per cent 2010-2011: less than 5 per cent \n\tTarget 2012-2013: less than 1per cent","External factors","122. The subprogramme is expected to achieve its objective and expected accomplishments on the assumption that (a) the procurement and legal processes undertaken by the United Nations Secretariat on behalf of the Investment Management Division are completed within the expected time frame; (b) stakeholders fulfil their responsibilities and extend their full cooperation in attaining the objectives of the Division’s information and technology strategy, facilitating Division business; and (c) the Information Management Systems Service supports the consolidated information and communications technology infrastructure in a timely manner.","Outputs","123. During the biennium 2012-2013, the following outputs will be delivered:","(a) Trade order management (Charles River), back-office tasks, reconciliation, accounting (Murex) and the interbank messaging system (SWIFT) are successfully and fully implemented and supported;","(b) Data hub, foreign exchange and fixed income investment execution systems are implemented;","(c) Investment processes are properly documented;","(d) Exception-based processing of investment transactions is achieved;","(e) Standardization and streamlining of business processes are facilitated;","(f) Compliance monitoring and system are supported and facilitated;","(g) Automatic data feed is implemented and data validation is supported;","(h) Data reconciliation is supported;","(i) The Division’s information and communications technology infrastructure is strengthened;","(j) Security policies and disaster recovery are implemented and supported;","(k) Business continuity is enabled.","Table 35 Resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Post 1 593.9 2 457.5 7 8","Non-post 10 183.4 15 114.3 — —","Total 11 777.3 17 571.8 7 8","124. The amount of $17,571,800, representing a $5,794,500 increase, provides for the continuation of seven posts (1 P-5, 3 P-4, 2 P-3 and 1 General Service (Principal level)) and the establishment of one new post (1 P-4). The increase in non-post resources is attributable primarily to increased requirements for contractual services ($498,500) and the moving of market data contractual services from the Investment Section to the Information Systems Section ($3,541,500) and to resources that were previously requested under executive direction and management, comprising other staff costs ($779,300) and travel of staff ($111,000).","Administrative support","Resource requirements (before recosting): $4,011,100","Table 36 Financial resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Non-post 5 087.6 4 011.1 — —","Total 5 087.6 4 011.1 — —","125. The amount of $4,011,100, representing a $1,076,500 decrease, provides for non-post resources for the Division as a whole. The decrease is attributable primarily to the rental and maintenance of premises ($916,900) due to the one-time request in the revised budget for 2010-2011 for the renovation of additional office space at 1 Dag Hammarskjöld Plaza.","D. Audit costs","Resources requested (before recosting): $2,748,200","126. The distribution of resources is shown in table 37.","Table 37 Financial resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","External audit 661.2 774.7 — —","Internal audit 1 983.8 1 973.5 — —","Total 2 645.0 2 748.2 — —","127. The amount of $2,748,200 covers the estimated requirements for external audit ($774,700) as requested by the Board of Auditors and for internal audit ($1,973,500) as requested by the Office of Internal Oversight Services.","1. External audit","Resource requirements (before recosting): $774,700","128. Provision is made in the amount of $774,700 for the costs associated with the Board of Auditors and apportioned to the Fund by the secretariat of the Board of Auditors.","2. Internal audit","Resource requirements (before recosting): $1,973,500","129. The amount of $1,973,500 provides for the continuation of five general temporary assistance posts (1 P-5, 2 P-4, 1 P-3 and 1 General Service (Other level)), training and non-post resources comprising consultants, travel of staff, contractual services, communications, operating expenses, supplies and materials, and furniture and equipment. The reduction in costs is due primarily to general temporary assistance required as a result of a reduction in the standard salary tables and the net effect of minor changes to the resources requested for other non-post resources.","E. Board expenses","Resources requested (before recosting): $200,000","Table 38 Financial resource requirements","Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)","Board expenses 167.5 200.0 — —","130. The General Assembly, in section IV of its resolution 61/240, authorized Board expenses, comprising the administrative costs of Board sessions, the Chair’s travel expenses and the travel expenses of working groups, to be included in the Fund’s budget and charged against administrative expenses.","131. The amount of $200,000 covers the estimated requirements for Board expenses and comprises travel costs for the Chair to attend the fifty-ninth and sixtieth sessions of the Board and meetings of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee, travel costs of members of the Chief Executive Officer Search Group and administrative expenses of the fifty-ninth and sixtieth sessions ($120,000), to be held in July 2012 and July 2013.","IV. Emergency Fund","132. The General Assembly, in section III of its resolution 62/241, authorized the Pension Fund to supplement the voluntary contributions to the Emergency Fund for the biennium 2008-2009 by an amount not exceeding $200,000.","133. It is proposed that the Pension Board recommend to the General Assembly that it authorize the Board to supplement contributions to the Emergency Fund for the biennium 2012-2013 by an amount not exceeding $200,000.","V. Recommendation for ad hoc measures regarding implementation of the International Public Sector Accounting Standards by 1 January 2012","134. At its fifty-seventh session, in July 2010, the Board had approved the implementation of IPSAS as of 1 January 2012. As requested, a report on the status of the implementation of the new accounting standards was presented to the Board by the secretariat and the Investment Management Division in July 2011.","135. Currently, the Fund reports under the Financial Regulations and Rules of the United Nations. It was noted that the United Nations was planning to implement IPSAS in 2014, and, in this regard, the Board was informed that the United Nations was planning to present to the General Assembly at its sixty-seventh session, in 2012, proposed changes to the Financial Regulations and Rules.","136. In the light of the timeline for revising the Financial Regulations and Rules of the United Nations, and with the support of the Pension Fund Audit Committee, the Board was requested, for the sole purpose of the Fund’s timely implementation of IPSAS, to recommend for the approval of the General Assembly, at its sixty-sixth session in 2011, the following transitional measure concerning the Fund’s financial reporting:","“As a transitional measure, the Board authorizes the Fund to continue to apply the Financial Regulations and Rules of the United Nations mutatis mutandis to their accounting processes and financial reporting, and in a manner that allows the Fund to be IPSAS-compliant. The Board hereby recommends that in accordance with article 19 (b) of the Regulations of the United Nations Joint Staff Pension Fund, the Secretary-General maintain detailed accounts of all investments and other transactions relating to the Fund in a manner that is IPSAS-compliant.”","137. The Board was informed that, with the approval of the transitional measure, the Fund’s full implementation of IPSAS would fulfil the Board’s decision to adopt IPSAS in 2012, subject to the subsequent formalization of the Fund’s financial regulations and rules. The Fund’s financial statements for 2012 would be presented and audited on the basis of IPSAS, which would provide the regulatory framework.","138. After discussion, the Board endorsed the transitional measure concerning the Fund’s financial reporting and recommended this measure for the approval of the General Assembly at its sixty-sixth session, in 2011.","VI. Action to be taken by the General Assembly","139. The Pension Board recommends the following to the General Assembly:","(a) The approval of a reduction in appropriations for 2010-2011 amounting to $21,772,800. The revised appropriations for the 2010-2011 biennium would then amount to $154,545,700, divided into administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Of this amount, $133,037,000 would be apportioned to the Fund and $21,508,700 would be directly chargeable to the United Nations under the cost-sharing arrangement;","(b) The approval of a revised estimate for the biennium 2010-2011 amounting to $144,300 for extrabudgetary resources;","(c) The approval of the Pension Fund estimate for the 2012-2013 biennium amounting to $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Pension Board expenses ($204,400). Of this amount, $173,260,600 would be apportioned to the Fund and $20,903,400 to the United Nations under the cost-sharing arrangement;","(d) The approval of resources for the biennium 2012-2013 amounting to $156,800 for extrabudgetary costs and funded by a number of member organizations;","(e) The approval of an amount not exceeding $200,000 to supplement contributions to the Emergency Fund;","(f) The approval of the ad hoc and transitional financial measures regarding IPSAS implementation by 1 January 2012.","VII. Summary of follow-up action taken to implement requests and recommendations of the Board of Auditors and the Advisory Committee on Administrative and Budgetary Questions","Table 39","A. Advisory Committee on Administrative and Budgetary Questions","(A/65/567)","Request/recommendation\tAction taken to implementrequest/recommendation \n(a) The Advisory Committeeconcurs with the Board’srecommendations regarding therevised risk management policyand that the Division continueto implement its newlydeveloped risk managementmanual (para. 7)\tThe majority of the controlshave already been implemented,and efforts are under way toimplement those that have not.The Risk Management Manual is aliving document that is updatedevery quarter. Implementation isongoing, and the target is toimplement all controls. Some ofthe controls set out in the RiskManagement Manual are manual,pending resource allocation;others are automated, pendinginfrastructure modernization. Asthese milestones are reached,these controls will beimplemented.\n(b) The Advisory Committeeconcurs with therecommendations of the Board ofAuditors. The Committee isconcerned at the fact that thePension Fund received anunqualified audit opinion withone emphasis of matter on therealized and unrealized losseson the investments of the Fundon the financial statements forthe biennium ended 31 December2009. The Advisory Committeeurges the Pension Fund toimplement the Board’srecommendations (para. 9)\tThis has been done in the notesto the 2010 financial statementsthat the Investment ManagementDivision submitted to thePension Fund secretariat on 11March 2011. The Division willconsult further with the IPSASconsultants on thesedisclosures.\n(c) The Advisory Committeereiterates its recommendationthat the Board continue toexplore opportunities forinvestment in developingcountries and countries witheconomies in transition (para.10)\tThe Fund is continuouslyresearching opportunities, andthe Director and staff of theInvestment Management Divisionrecently travelled to Africa andthe Middle East to broaden ouraward-winning portfolio inAfrican investments. TheDirector will meet with theWorld Bank and the InternationalMonetary Fund to review on aregular basis additionalopportunities in emerging andfrontier markets.\n(d) The Advisory Committeeconcurs with the Board ofAuditors that the Pension Fundshould finalize and approve itsIPSAS implementation plan in atimely manner. The Committeeexpects that the new ChiefFinancial Officer will be hiredas soon as possible and that,in the interim, preparation forIPSAS will proceed to ensureits implementation on 1 January2012. Furthermore, theCommittee encourages the Boardof Auditors to closely monitorthe Pension Fund’s IPSASimplementation progress andreiterates its recommendationthat the Board report to theGeneral Assembly on an annualbasis on progress made (seeA/65/498, para. 19) (para. 13)\tThe Fund has finalized its IPSASimplementation plan andtimeline, as presented to theAudit Committee and presented tothe Pension Board at its 58thsession, in July 2011. Therecruitment of the new ChiefFinancial Officer is under way.\n(e) The Advisory Committeeemphasizes that sufficientsupport, drawn from existingresources, should be madeavailable to ensure the timelyand well-managed implementationof IPSAS (para. 15)\tThe reallocation of existingresources required for IPSASimplementation was approved bythe Pension Board at its 57thmeeting, in July 2010, and bythe General Assembly in December2010. Additional resources arebeing requested for 2012-2013.\n(f) The Advisory Committeeconcurs with the PensionBoard’s request that themedical consultant look intothe possibility of establishinga standard for medicalexaminations for purposes ofparticipation in the Fundpursuant to article 41 of theFund Regulations (para. 18)\tAs requested, the MedicalConsultant will present a noteon this matter to the Board atits July 2012 session.\n Regulations (para. 18). \n(g) The Advisory Committeeconcurs with the Board ofAuditors on the need fortransparent disclosure of theinvestments of the UnitedNations University EndowmentFund and notes that the PensionBoard has agreed that suchdisclosure would be provided infuture (para. 20).\tThis has been done in the notesto the 2010 financial statementsthat the Investment ManagementDivision submitted to thePension Fund Secretariat on11 March 2011. The Division willconsult further with the IPSASconsultants on thesedisclosures.","B. Board of Auditors","(A/65/9, annex X)","Request/recommendation Action taken to implement request/recommendation","The Board’s main recommendations are that:","(a) The Fund finalize and approve The Fund has finalized an its IPSAS implementation plan; implementation plan and timeline, as identify and involve other presented to the Audit Committee. A stakeholders in the IPSAS steering committee has been implementation project; and established, comprising IPSAS provide details on what aspects of stakeholders from both the the Financial Regulations and Investment Management Division and Rules would need to be revised the secretariat. At present, the (para. 27); Fund follows the Financial Regulations and Rules of the United Nations, pending the adoption of IPSAS. The Investment Management Division is waiting for its IPSAS consultants to recommend suggested language for rules 104.12, 104.13, 104.14, 104.15 and 104.16 to ensure IPSAS compliance. This will be presented to the Audit Committee in June 2011 and to the Pension Board at its fifty-eighth session, in July 2011.","(b) The Fund raise a receivable Amounts owed by member organizations and income for amounts owing to have been calculated. Once reviewed, the Fund (para. 30); they will be issued.","(c) The Fund reverse all The Fund has drafted closing prior-period unliquidated instructions for the administrative obligations and accruals as they element of the Lawson accounts. The are paid, and address the weakness Executive Office has produced a in controls that resulted in third draft for review and agreement accruals for items that have by the Financial Services Section. already been paid (para. 33); In accordance with these instructions, the administrative accounts for the period 1 January 2006 through 31 December 2009 will be adjusted to give the correct balances, brought forward for 1 January 2010. The accounts will be closed as at 31 December 2010 using these instructions.","(d) The Fund implement improved Policy and procedure for long controls to ensure that amounts outstanding receivables have been outstanding are recovered in a implemented. Ongoing collection timely manner and establish a efforts are in place. policy on the accounting treatment of long outstanding amounts that are not recoverable (para. 43);","(e) The Fund consider raising a A provision for all receivables provision for doubtful debts in older than two years will be its financial records to reflect included in the Fund’s 2010 the recoverable amounts at the financial statements. In addition, reporting date (para. 44); the write-off of uncollectable receivables amounts began in 2010.","(f) The Fund revalue all balances Agreed. The year-end exchange rate denominated in foreign currencies will be used to translate at the operational rate of foreign-currency bank-account exchange prevailing at the balances to United States dollars reporting date (para. 48); for 2010 financial statements.","(g) The Fund take urgent steps to Ongoing. The Investment Management recover outstanding amounts of Division continued to make extensive foreign taxes (para. 51); efforts to prevent the imposition of taxes and to recover taxes withheld on its investment income in various jurisdictions. In particular, in January 2010 representatives of the Division met with representatives of the State Administration of Taxation of China, in Beijing, to address the formal recognition and implementation of the Fund’s tax-exempt status in that country. Representatives of the Division also initiated discussions with representatives of the Government of Brazil, which led to the issuance in April 2010 by the Brazilian Revenue Service of a broadly worded formal recognition of the Fund’s tax-exempt status in that country. In addition, the Division recently launched a request for proposal for global tax advisory services. The global tax adviser will assist the Division, among others, with its tax reclaim efforts around the world.","(h) The Fund record the receivable This has been taken into account and and related income from the United the situation rectified as part of Nations for the reimbursement of the account closure procedures. administrative expenses in the correct accounting period (para. 54);","(i) The Fund continue reconciling For a period of time, the Fund used the balance with the United the interfund balance to reconcile Nations to ensure that differences with the United Nations. The United are fully reconciled (para. 57); Nations also used this balance. The Fund has now reverted to using actual expenditures when reconciling with the United Nations.","(j) The Fund upload the correct Ongoing process. Erroneous items accrual amounts from the accounts have been identified. Proper entries payable module into the Lawson will be made for 2010 to correct system and adjust its accounts for these balances. differences noted (para. 63);","(k) The Fund perform regular The Financial Services Section is monthly reconciliations between awaiting a Cognos “cube” to support the accounts payable module and Lawson data for the generation of a the general ledger (para. 64); new report.","(l) The Fund reallocate debit This is an ongoing process. Efforts balances in accounts payable to began in 2010 and will continue accounts receivable, and complete throughout 2011 to correct these the data cleansing exercise to accounts. ensure that all amounts included in accounts payable were valid payables (para. 67);","(m) The Fund develop an ageing The Financial Services Section is tool to analyse benefits payable awaiting a Cognos “cube” to support (para. 70); Lawson data for the generation of a new report.","(n) The Fund apply article 46 of This is an ongoing exercise and is the Regulations and Rules of the part of the data cleansing to be Fund by adjusting benefit payables completed by the end of 2011. related to all amounts that are due for forfeiture (para. 75);","(o) The Fund comply with the As reported to the Board (see submission dates for financial A/65/9), the Fund is unable to statements as required by the comply with the 31 March completion Financial Regulations and Rules of date, owing to the reconciliation the United Nations (para. 79); procedures for payments from the organizations members of the Fund. The Investment Management Division submitted its part of the financial statements to the Fund secretariat on 11 March 2011. Going forward, the Division will ensure the submission of the financial statements to the secretariat by 15 March of the following year.","(p) The Fund develop and implement The footnotes will continue to be accounting policies that have a enhanced as part of IPSAS clear basis for how transactions implementation. This process will are accounted for in the continue as part of the 2010 and accounting records of the Fund, 2011 financial statements, with full and ensure that all accounting adoption of IPSAS for 2012. policies are clearly defined and disclosed in the financial statements (para. 84);","(q) The Fund compile The Fund report writer consolidates reconciliations or working papers general ledger accounts into line for all line items on the items for financial statements so financial statements and prepare that all financial statement numbers supporting schedules of can be traced to source documents. calculations or adjustments that are in agreement with the book of entries (para. 89);","(r) The Investment Management Implemented. This has been done in Division make a complete the notes to the 2010 financial disclosure in its financial statements that the Investment statements of the investments it Management Division submitted to the manages for the United Nations Fund secretariat on 11 March 2011, University Endowment Fund (para. specifically under funds under 92); management. The Division will consult further with the IPSAS consultants on these disclosures.","(s) The Investment Management The Investment Management Division Division reconsider its formal will provide full disclosure. It arrangements for providing a fund will fully disclose the independent management service to third arrangements established for the parties (para. 93); United Nations University Endowment Fund in the 1990s on the basis of audit recommendations. Those arrangements include a separate custody account and an independent outside fund manager. There has never been any commingling of funds with the Pension Fund.","(t) The Investment Management Ongoing. The majority of the Division continue to implement its controls have already been newly developed Risk Management implemented and efforts are under Manual (para. 111); way to implement the rest. The Risk Management Manual is a living document that is updated every quarter. Implementation is ongoing, and the target is to implement all controls. Some of the controls specified in the Risk Management Manual are manual, pending resource allocation; others are automated, pending infrastructure modernization. As these milestones are reached, these controls will be implemented.","(u) The Investment Management The Investment Management Division Division undertake a case-by-case has reviewed the catastrophic events review to identify lessons to be of 2008 and has taken note of the learned in respect of all realized risks posed by excessively loose investment losses for 2008-2009, monetary policy in place for and current ongoing unrealized extended periods of time. The loss positions (para. 112); Division has implemented a formal weekly and quarterly compliance and investment review of unrealized gains and losses exceeding 25 per cent.","(v) The Investment Management Implemented. This was done in the Division provide a clear notes to the 2010 financial description and disclosure of statements that the Investment investments in the financial Management Division submitted to the statements, by tabulating Fund secretariat on 11 March 2011. separately gains and losses on the The Division will consult further sale of investments, as well as with the IPSAS consultants on these disclosing all unrealized gains disclosures. and losses as at the balance sheet date (para. 113);","(w) The Investment Management Implemented. With the hiring of a Division address the remaining Compliance Officer in October 2009, open or in-process the Investment Management Division recommendations, given that the made important advances in its findings of OIOS reflected compliance programme. New policies significant shortcomings in have been implemented, including in investment compliance (para. 117); relation to personal trading, gifts and hospitality, and mandatory leave; other policies are pending review and acceptance. The Division’s Risk and Compliance Section, using its risk and compliance manuals and various automated systems, is monitoring Fund investments on a continuous basis to ensure that there is adequate oversight and enforcement of Division policies and standards. Multiple OIOS recommendations have been addressed and closed. There is a formal procedure in place for monitoring and addressing OIOS recommendations in a timely manner. Division staff training sessions have been conducted, including one with the Ethics Office. The Risk and Compliance Section has determined that at this time there are no wilful or recurring violations of Division policies or procedures that risk financial harm to the Pension Fund, or to its reputation, participants or beneficiaries.","(x) The Fund enhance its For 2009, the Fund included the 2009 disclosure of the major actuarial actuarial valuation as part of the assumptions and changes in financial statements. In addition, relation to the valuation of the for the first time the Fund recorded end-of-service liabilities in the the after-service health insurance notes to the financial statements and end-of-service liabilities on (para. 124); the face of the financial statements.","(y) The Fund develop a funding On hold. Any funding plan will plan for end-of-service require the United Nations to fund liabilities for consideration by one third of specific elements. its governing body (para. 131); Implementation of this recommendation has been placed on hold pending such a plan by the United Nations Secretariat.","(z) The Fund consider a revision The Fund is having continuing of its policy for the valuation of discussions with the United Nations annual leave liability in its and the IPSAS task force on whether implementation of IPSAS (para. annual leave should be valued as a 139); current liability or as an actuarial valuation.","(aa) The Fund implement measures 100 per cent inventory checks are to ensure that physical inventory carried out every 12 months. counts are conducted and Commencing in 2011, these checks reconciled to the asset register will be carried out in the fourth in a timely manner and on a quarter of each year owing to IPSAS regular basis (para. 144); implementation in 2012. Furthermore, in future signed proof of such checks will be maintained.","(bb) The Fund obtain the inventory Inventory reports are received from reports from the Property the Property Management and Management and Inventory Control Inventory Control Unit monthly. The Unit of the United Nations, and Fund requested access to ProcurePlus obtain full administrative access from the Office of Central Support to the ProcurePlus system for the Services by a memorandum dated purpose of updating all assets and 30 September 2010 with a follow-up obtaining inventory reports (para. dated 15 October 2010, and is 145); awaiting a response.","(cc) The Fund secretariat develop The Fund drafted a human resources a human resources plan (para. plan and presented it to the Pension 149); Board at its fifty-seventh session, in July 2010.","(dd) The Fund secretariat consider The Fund’s training and development ways to strengthen succession platform, which includes e-learning, planning as measured by the is constantly being developed and retention of retired staff (para. updated in consultation with 153); programme managers. The expertise of retired staff is utilized to assist in this process. See also paragraph 8 of the Chief Executive Officer’s memo to the Board of Auditors dated 15 April 2010.","(ee) The Fund address the (a) The Fund adheres to the annual recommendations of OIOS, given leave policy as provided by staff that they reflected significant regulation 5.1, “Staff members shall shortcomings in human resources be allowed appropriate annual management (para. 158); leave”, and article 105 of the Staff Rules. Fund management will encourage personnel in positions involving financial responsibilities to take an uninterrupted period of two weeks of annual leave each year. This is mandatory for Investment Management Division staff.","(b) The Executive Office manually prepared a staffing table, which is reconciled with the Integrated Management Information System (IMIS) on a monthly basis.","(c) A tracking system has been developed to monitor the recruitment of staff and will be used to develop benchmarks for each stage of the recruitment process. Until the Fund has sufficient data to calculate its own benchmark, the United Nations benchmark of 120 days will be used. Hiring managers are encouraged to carefully review applicants with a view to gender parity.","(d) Functional packages in IMIS must be proposed by the supervisor for the staff member, and will be reviewed and then authorized accordingly by the Executive Office. No staff members outside the Executive Office will be provided with the IMIS human resources functions without the approval of the Chief Executive Officer.","(e) Staff members working beyond the age of retirement are now under the category of “temporary” within the new contractual framework. The general procedures issued in January 2009 provide an annex for the workplan for and subsequent evaluation of temporary staff, to be completed by supervisors and managers.","(f) Supervisors, in consultation with department heads and staff members, clearly identify and document training needs in each staff member’s e-PAS. Departments will monitor or continue to monitor implementation.","(g) Compliance monitoring will be continued with the provision of statistical and individual feedback to department heads, with a focus on the timely completion of e-PAS.","(ff) The Fund secretariat Under current conditions, monthly reconcile monthly contributions reconciliations are unfeasible. from member organizations and However, a pilot plan has just begun follow up on unreconciled items in in order to test a system that would a timely manner (para. 162); permit monthly reconciliations.","(gg) The Fund secretariat A pilot that was started for the establish systems to verify the 2009 fiscal year was expanded in accuracy of the information 2010, with positive results. The provided by the member auto file transfer and edit check of organizations prior to year-end year-end files will increase the closing, and ensure that accuracy of reporting and decrease reconciliations are performed and the manual workload of the Fund. verified before the financial statements are finalized (para. 167);","(hh) The Fund secretariat upload (a) It is standard practice to evidence of follow-up with systematically upload, and scan to beneficiaries on the content the appropriate file in the content manager system where the manager system, evidence of all signatures on certificate of official correspondence of the Fund entitlement forms were different with its participants and from original signatures, and beneficiaries. This includes comply with procedure general follow-up letters sent out to 2001-68, which requires that all clarify signature discrepancies. available digital images of a Should such a document be missing beneficiary’s signature be from a file, it would be an uploaded on the content manager exception and due to an oversight. system (para. 174);","(b) As explained above, it is standard procedure to upload to the content manager system all documents pertaining to the files of the Fund’s beneficiaries and participants. An omission would be the result of an oversight and would be an exception.","(ii) The Fund secretariat improve The Fund has caught up with the its overall processing times for former backlog in transfer cases, transfer cases to be in compliance which had been due in part to long with the six-month processing delays experienced by the Fund’s target (para. 180); Actuarial Consultant and in part to policy issues that had to be clarified for certain cases before transfers could be finalized. Today, few cases are long outstanding and none is older than 50 days. The processing benchmark for these cases is therefore met in all cases.","(jj) The Fund secretariat The Financial Services Section is implement procedures to reconcile looking into the development of a the PENSYS payroll with the Lawson Cognos report in 2011 for such system (general ledger) on a reconciliation. regular basis (para. 184);","(kk) The Fund secretariat develop In progress. The Information and approve comprehensive user Management Systems Service account management procedures to introduced an “access, systems and ensure adequate user account data privileges” policy to address management, and implement the account management procedures. procedures to monitor the validity Role-based groups have been of user accounts on a regular introduced in the system, and access basis (para. 188); is defined through these roles when requested by the supervisor. Password resetting and security parameter setting have been implemented within these systems through the use of “active directory policy” and “single sign-on” scripts. Owing to the limitations within PENSYS, it was not considered feasible to introduce “regular logging and review of system activity” within these ageing systems, and thus those functions have been introduced as a requirement for the upcoming replacement with the Integrated Pension Administration System.","(ll) The Fund secretariat review Recommended for closure. The the request for change and request Information Management Systems for service procedures to take Service has reviewed the into account the areas requiring request-for-change and improvement as noted by the Board request-for-service procedures and (para. 193); has updated the request-for-change tool to include a field indicating whether the documentation is required along with the required testing and approvals for implementation.","(mm) The Fund secretariat monitor Recommended for closure. The adherence to change control Information Management Systems procedures and maintain adequate Service has implemented a change change control management management policy and has developed documentation (para. 195); a comprehensive and automated system for approvals and tracking. Processes have been put in place. The Service and supervisors currently monitor adherence to the change control procedures on a daily basis and enforce the policy of documenting any and all changes before implementation.","(nn) The Fund secretariat Recommended for closure. Despite the implement an information rejection of a “quality assurance technology quality assurance position”, the Information function to ensure that a level of Management Systems Service has confidence can be established and streamlined the requirements of this maintained, and implement controls function by writing a to prevent the use of the database segregation-of-duties policy. In administrator’s username and addition, the proper execution of password by the program analysts the Service’s segregation-of-duties (para. 202); policy is confirmed and monitored by documenting each step (e.g., analyst, developer, migratory) through the modification request process, which requires review by two individuals: the First Approving Officer and the Second Approving Officer. Changes have been put in place whereby the database administrator’s username and password are available only to the database administrator.","(oo) The Fund secretariat review Recommended for closure. Despite the the appropriateness of the access rejection of a “quality assurance rights of the program analysts position”, the Information with a specific focus on access to Management Systems Service has the production environment, and to streamlined the requirements of this set procedures to manage instances function by writing a where such access to the segregation-of-duties policy. production environment was Segregation of duties is maintained required (para. 204); by ensuring that tasks associated with analysis/ development and move-to-production are assigned to two individuals. Furthermore, a system modification plan has been put in place to manage and monitor this process.","(pp) The Fund secretariat ensure Recommended for closure. Despite the the existence of adequate rejection of a “quality assurance segregation of responsibilities in position”, the Information the process of migration of tested Management Systems Service has and approved changes from the streamlined the requirements of this development environment to the function by writing a test environment and from the test segregation-of-duties policy. environment to the production Segregation of duties is maintained, environment (para. 206). by ensuring that tasks associated with development, testing and move-to-production are assigned to different individuals. Furthermore, a System Modification Plan has been put in place to manage and monitor this process.","Annex I","Discussions in the United Nations Joint Staff Pension Board on the revised budget estimates for the biennium 2010-2011 and on the budget estimates for the biennium 2012-2013","Administrative matters of the Fund","(a) Revised budget estimates for the biennium 2010-2011","1. The secretariat of the United Nations Joint Staff Pension Fund requested a reduction in the budget estimates for the biennium 2010-2011 amounting to $21,772,800, compared with the revised appropriations of $176,318,500. The final revised appropriations for the 2010-2011 biennium would then amount to $154,545,700, of which $21,508,700 is chargeable to the United Nations under the cost-sharing arrangement.","(b) Budget estimates for the biennium 2012-2013","2. The proposed budget estimates for the biennium 2012-2013 provide for approved expenditures of $215,999,100 (before recosting), as compared with the total of $176,318,500 for the biennium 2010-2011. The budget submission presented covers administrative costs of $101,768,500, investment costs of $111,282,400, audit costs of $2,748,200 and Board expenses of $200,000. In addition, the estimates provide for one extrabudgetary post for after-service health insurance in the amount of $152,900 and an amount not to exceed $200,000 for the Emergency Fund.","Administrative costs","3. The proposed budget under administrative costs totals $101,768,500 before recosting, representing resource growth of 10.2 per cent compared with the appropriation for the 2010-2011 biennium, and 26.5 per cent compared with the revised budget estimates for the 2010-2011 biennium.","4. With regard to administrative costs, the secretariat emphasized that while the overall estimated cost of the Integrated Pension Administration System project remained unchanged, there had been a shift in the original timeline, owing to changes in the implementation strategy. This had resulted in underexpenditure on the project in the 2010-2011 biennium and a request for those funds in the 2012-2013 biennium. In addition, and in line with the secretariat’s medium-term human resources strategic plan, a request for 16 additional established posts and 3 reclassifications was proposed, as set out below:","New posts","Number\tCategory/level\tPost title \n1\tD-1\tChief, Technical Evaluation and RiskManagement\n1\tP-5\tChief, Client Service, RecordsManagement and Distribution\n1\tP-3\tChief, Records Management andDistribution\n2\tGeneral Service(Other level)\tBenefits Assistant\n 1 P-4 Accountant, IPSAS Specialist \n1\tGeneral Service(Principal level)\tSenior Accounting Assistant\n 1 P-4 Accountant \n 1 P-5 Chief, Security Officer \n 1 P-5 Chief, Enterprise Architecture \n1\tGeneral Service(Other level)\tLegal Assistant\n 1 P-4 Finance and Budget Officer \n 1 P-3 Human Resources/Training Officer \n1\tGeneral Service(Principal level)\tHuman Resources Assistant\n1\tGeneral Service(Other level)\tTravel Assistant\n1\tGeneral Service(Principal level)\tSenior Facilities Management Assistant","Reclassifications","Number\tCategory/level\tReclassifications \n 1 P-4 to P-5 Chief, Payments Unit \n 1 P-4 to P-5 Cashier \n 1 P-5 to D-1 Chief, Legal Officer","Investment costs","5. The proposed budget under investment costs totals $111,282,400 before recosting, representing resource growth of 37.1 per cent compared with the appropriation for the 2010-2011 biennium ($81,197,500), and 56.1 per cent compared with the revised budget estimate for the 2010-2011 biennium ($71,289,000).","6. Under investment costs, resources requested by the Representative of the Secretary-General included 20 additional posts, as indicated below, and additional resources for contractual services in the area of portfolio management for the implementation of the Leadership Fund, an increase in small capitalization, the master record-keeper and information technology projects.","New posts","Number\tCategory/level\tPost title \n 1 P-5 Senior Legal Officer \n 1 P-4 Investment Committee Secretary \n1\tP-5\tSenior Investment Officer — ExternalManagement\n1\tP-4\tInvestment Officer — Fixed Income andForeign Currency\n1\tP-4\tInvestment Officer — AlternativeInvestments\n1\tP-4\tInvestment Officer — Global EmergingMarkets\n1\tP-4\tInvestment Officer — Trade ExecutionOfficer\n1\tP-3\tInvestment Officer — North AmericanEquities\n1\tP-3\tInvestment Officer/Analyst — RealEstate\n1\tGeneral Service(Other level)\tTrade Execution Assistant\n1\tP-4\tDue Diligence and QuantitiesStrategies Risk Manager\n1\tP-3\tCompliance Analyst and OperationalRisk Manager\n1\tGeneral Service(Other level)\tAssistant to the Director, Risk andCompliance\n 1 P-4 Chief, Accounting and Reporting \n 1 P-3 Finance Officer, Reconciliations \n 1 D-1 Chief, Information Technology Officer \n 1 P-4 Data Management Officer \n 1 P-3 Information Security Officer \n 1 P-3 Reconciliation Administrator \n1\tGeneral Service(Other level)\tAdministrative Assistant","Audit costs","7. The Fund requested a total of $2,748,200 for external ($774,700) and internal ($1,973,500) audit costs, representing net growth of $103,200, of which $113,500 is attributable to the external auditors.","Pension Board expenses","8. A total of $200,000 was requested to cover the costs of two Board sessions and travel expenses of the Chair and the Search Committee for the appointment of the next Chief Executive Officer.","Extrabudgetary funding","9. Extrabudgetary resources amounting to $152,900 were requested for the one General Service (Other level) post to be funded by member organizations participating in the after-service health insurance scheme.","Emergency Fund","10. An amount not to exceed $200,000 was requested to supplement the Emergency Fund.","Budget working group","11. Comments and recommendations made by the budget working group and endorsed by the Board are set out below.","12. In accordance with the decision taken by the Board at its fifty-seventh session, the budget working group began its work on 6 July 2011.","13. The original composition of the working group as agreed by the Board was changed with the replacement of one representative of the executive heads group and one representative of the participants group. The final composition of the working group was as follows:","Ms. J. Forrest (International Telecommunication Union), representing governing bodies","Mr. G. Kuentzle (United Nations), representing governing bodies","Ms. Y. Mortlock* (International Organization for Migration), representing executive heads","Ms. S. Van Buerle (United Nations), representing executive heads (elected as Chair)","Mr. H. Baritt* (World Health Organization), representing participants","Mr. C. Santos-Tejada (United Nations), representing participants","Mr. A. Castellanos del Corral (Federation of Associations of Former International Civil Servants), representing pensioners","Mr. T. Teshome (Federation of Associations of Former International Civil Servants), representing pensioners","* New member.","14. The working group had before it documents relating to: the status of Pension Fund implementation of the International Public Sector Accounting Standards (IPSAS), revised budget estimates for the biennium 2010-2011, the Fund’s strategic framework for the period 2012-2013, and budget estimates for the biennium 2012-2013. The working group benefited from valuable interactions with members of the secretariat and the Investment Management Division.","Performance report for the biennium 2010-2011","15. As indicated in paragraph 195 of the report on its fifty-fifth session (A/63/9) and paragraph 137 of the report on its fifty-seventh session (A/65/9), the Board decided that the Pension Fund secretariat should provide to the Board on an annual basis, in the context of the programme budget performance report, a detailed analysis of the budgetary variances between the approved budget and actual expenditures. While noting that some information had been provided, the working group was of the view that a more detailed breakdown of the variances in the main object of expenditure groups should be provided in future performance reports. It was also noted that IPSAS required an explanation of variances between the budget and actual expenditure, which would improve the Board’s consideration of future budget submissions. Furthermore, where changes in approach, strategy of implementation, etc., of projects or initiatives had a significant impact on the programme of work and hence on the level of expenditures in the period, this should be more fully explained. It was of particular note that some of the anticipated underexpenditure for the biennium was in fact a rephasing of requirements into the subsequent budget period, a condition that should be reflected in a new submission to facilitate the review of the requests, especially in the context of the Integrated Pension Administration System project.","16. In this context, the working group was of the view that resources programmed for a given biennium should, as a matter of principle, be spent for the purposes approved, during that biennium. The working group also noted recurring underexpenditure for “contractual services” in the Investment Management Division. It expressed appreciation for the Division’s efforts to act in a cost-conscious manner and encouraged the continuation of such actions to bring budget estimates further into line with actual performance.","Strategic framework for the period 2012-2013","17. The working group acknowledged the continuing efforts made to improve on the results-based presentation, notably through more focused objectives, expected accomplishments and indicators of achievement. It recommended that the Fund align the formulation of its logistical frameworks with the SMART principles —specific, measurable, achievable, realistic and time-bound — which would enable the Board to effectively evaluate the performance of the Fund in delivering the results expected. The working group noted that the strategic framework would require changes in line with decisions to be taken on the budget for the biennium 2012-2013.","18. In addition, the working group noted that, according to the established budgetary process of the United Nations, the strategic framework would have been submitted to the Board in an off-budget year to enable it to provide the Fund with relevant guidance on priorities and the programme of work on which the budget for the subsequent financial period would be formulated. As this was the first year in which the framework had been provided since the Board’s decision requiring the submission of a strategic framework, it was recognized that the established cycle would be followed as of 2012, when the strategic framework for the period 2014-2015 would be submitted to the Board at its fifty-ninth session.","Budget estimates for the biennium 2012-2013","19. The guiding principle followed by the working group in reviewing the budget proposals and the concerns of its various constituent groups was that the highest level of efficiency, effectiveness and cost-consciousness must be ensured in delivering on the mandate of the Fund, with a particular focus on initiatives to increase returns, reduce risks and/or provide better services to those constituents. Overall, the working group reviewed the justifications provided for the resource increases sought. In a number of cases, the group was cognizant of the fact that the impacts and implications of IPSAS, the Integrated Pension Administration System and other initiatives were not yet fully known. Furthermore, in the view of the working group, it was premature to seek additional resources that would lock a staffing structure in place before the Chief Financial Officer, who had yet to be recruited, could express his or her views on the matter. The working group also believed that further synergies could be achieved through greater integration of the New York and Geneva operations. The Chief Executive Officer reported to the group that the opportunities for outsourcing were being examined. The working group recommended a closer review of offshoring and outsourcing options, particularly in view of the upcoming expiration of current leases, to achieve efficiencies in administrative costs.","20. Moreover, the working group was fully aware of the financial situation faced by both the participating organizations and Member States, notably the need to achieve efficiencies and effective ways of delivering their work. In the case of the Pension Fund, the working group noted the expansionary nature of the proposals and the heavy reliance on the future anticipated benefits of the Integrated Pension Administration System (a project still in progress), requiring further explanation regarding what actions had been or could now be taken by the Fund to improve its work and the efficiencies and cost savings, including staffing structure changes, that such a project would bring.","21. The budget working group recognized the consistent growth in the number of participants, which had increased 4.2 per cent over the past 10 years. During the same period, there had been a substantial increase in the complexity of administering participants, which was due largely to the increase in the number of provisions of the Fund’s pension adjustment system.","22. Over the past few years, the Fund has also seen unprecedented growth in the budget. The proposed 2012-2013 budget of $216 million represented a 23 per cent increase compared with the 2010-2011 budget, which had been set at $176.3 million, and a 68 per cent increase compared with the 2008-2009 budget of $128.2 million.","23. In order to make a more meaningful evaluation of the overall Administration budget, the working group reviewed “per-participant” costs (total costs divided by number of participants). The calculations, which included adjustments for inflation, showed that the cost of administering a participant had averaged $197 per year over the past 10 years. The proposed budget of $216 million, however, equated to $248 per participant, representing a 26 per cent increase.","Cost per participant, adjusted for inflation","(United States dollars)","[]","24. The Chief Executive Officer confirmed to the working group that the Administration used a number of key performance indicators to track the effectiveness and efficiency of the Fund. The working group would recommend that the Fund make efforts to link future budget proposals to those indicators.","Budget presentation and methodology","25. The working group noted with appreciation that the decision taken by the Board at its fifty-seventh session regarding the submission of future proposed budget documents to Board members 90 days prior to the Board session had been fully respected. This facilitated early review by the budget working group. It was noted that attempts had been made to align the presentation of the submission as closely as possible with the methodology used by the United Nations.","26. However, the working group made the general observation that the Fund needed to revise the presentation of its budget documentation, with clearer and more concise justifications for changes, to facilitate decision-making by the Board. A quality review of the documentation would also assist in eliminating inconsistencies and ensure that cross-cutting initiatives were presented in an aggregated manner, using tables/graphs where appropriate, to facilitate an understanding of the initiatives. Furthermore, as previously recommended by the Board, the Fund should continue to ensure greater alignment with the budget presentation of the United Nations, in particular as to the differentiation between growth and changes resulting from costing parameter changes, namely, currency, inflation or standard salary costs.","27. The working group noted with concern that little or no progress had been made with regard to the integration and consolidation of certain functions and services, which had favoured the continuation of a silo approach to operations; similarly, it was not clear what work had been done to implement cost-savings initiatives regarding back-office tasks. The Board might wish to consider requesting the Chief Executive Officer and the Representative of the Secretary-General to jointly study options for submission at a future Board session.","Information technology","28. The working group noted that the Fund had sought approximately $66 million under the Information Systems Section and the Information Management Systems Service for activities related to information technology. While that level of resources might ultimately prove to be appropriate, it would be opportune, given the growing complexity of the proposals presented to the Board, to prepare and present to the Board, at its fifty-ninth session, a concise, comprehensive and integrated information technology strategy linked to the budget and incorporating validations by independent information technology specialists in the relevant fields of operation of the Fund.","29. In this regard, the working group noted the Fund’s heavy reliance on the International Computing Centre. Notably, when reference was made to the Centre’s budget, the working group was made aware that the Pension Fund was the second largest user of the Centre’s services, after the Department of Field Support. The working group was advised that, owing to the nature of the Centre, no competitive bidding was undertaken for its services, which raised concern as to whether this was the most cost-effective and economical means of meeting the needs of the Fund without compromising data security or confidentiality. At the same time, in interviews with representatives of the Fund, it had been noted that a separate staffing capacity had been engaged by the Fund through the Centre, with approximately 13 staff at varying levels, ranging from General Service (Other level) to P-5, engaged through contractual services, with some having been on board since 2004.","International Public Sector Accounting Standards","30. The working group was pleased to hear the report from the Chief Executive Officer that good progress had been made on the IPSAS project and that there was a high degree of confidence that the Fund would meet the implementation deadlines. The remaining issues relating to fixed assets and employee benefits seemed to been well addressed. The existing finance staffs in both the secretariat and the Investment Management Division were well versed in the Standards. The working group believed that in the long term, IPSAS would be incorporated into the duties of the finance line management, much in the same way as the implementation of the United Nations system accounting standards had been coordinated.","31. The working group did not believe that the establishment of two new posts dedicated to IPSAS was necessary; some funding for short-term consultancies to assist with the financial statements, impairment testing and policy documentation was deemed to be more appropriate.","Integrated Pension Administration System","32. With regard to the Integrated Pension Administration System, the working group welcomed the Chief Executive Officer’s assertions that he regarded the project as a top priority. It was noted that the Integrated Pension Administration System would fundamentally change the organizational approach from one that was case-driven to one that was process-driven. It was recalled that the System was aimed at improving both efficiency and service delivery. In this context, the working group considered it imperative that the review and improvement, as appropriate, of all relevant existing processes be an integral part of the entire Integrated Pension Administration System change management process. The working group would also encourage the Fund to ensure that the project was not driven primarily by information technology, as full ownership by the substantive areas was indispensable.","33. The working group recommended that the Board request a report on the expected organizational structure of the Fund after the implementation of the Integrated Pension Administration System, to be considered in the context of the next budget submission, at its sixtieth session. The report should also contain a strategic evaluation of all posts affected by the implementation of the System.","34. The Fund had scanned 639,499 documents in 2010, comprising 1,120,602 pages. The Integrated Pension Administration System was intended to replace the entitlement, accounting and document management systems. The working group noted that in the project, staffing resources seemed to have been allocated to both accounting and entitlements, but no specific resources were dedicated to document management. The working group would encourage the Fund to monitor the project skill sets and to ensure that resources were aligned to address document management.","35. The current budget covered additional contractual services and other costs that were required in order to support legacy systems that would be replaced by the Integrated Pension Administration System. The Chief Executive Officer had provided assurances that the System would be delivered according to the project schedule and on or possibly below budget.","36. The Integrated Pension Administration System project would have a major impact on the delivery of services. Therefore, the working group would recommend that a revised organization chart be provided with the next budget submissions.","Resource proposals","Posts","37. In line with the guiding principle and criteria outlined in paragraph 19 above, and following a series of consultations with the executives and managers involved, the working group proceeded with the review of posts as follows. The Fund sought a total of three reclassifications (3 secretariat posts) and 36 new posts (16 Administration posts and 20 Investment Management Division posts). Having reviewed each post, and following dialogue with representatives of the secretariat and the Division, the working group proposed the following:","(a) Not to support the reclassifications as proposed;","(b) To support seven new posts in the Investment Management Division, as reflected in table 1;","(c) To support the positions set out in table 2 as general temporary assistance positions (not posts, as originally requested) for the duration and purpose indicated;","(d) Not to support the new P-4 Finance and Budget Officer post in the Executive Office of the Fund. On the basis of the explanation that the functions of the post had increased in complexity, the working group supported the reclassification of the existing P-3 Finance and Budget Officer post to the P-4 level.","Table 1","Section\tPost\tNumberofposts\tCategory \n B. Investments \nProgramme ofwork \nInvestments\tInvestment Officer — AlternativeInvestments\t1\tP-4\n\tInvestment Officer — GlobalEmerging Markets\t1\tP-4\n\tInvestment Officer — TradeExecution\t1\tP-4\n\tInvestment Officer — NorthAmerican Equities\t1\tP-3\nRisk andCompliance\tDue Diligence and QuantitativeStrategies Risk Manager\t1\tP-4\nOperations\tFinance Officer, Reconciliations\t1\tP-3\nProgrammesupport \nInformationSystems\tData Management Officer\t1\tP-4","Table 2","Section\tGeneral temporaryassistancepositions\tNumber\tCategory\tRemarks \nA.Administration \nProgramme ofwork \nOperations\tChief, RecordsManagement andDistribution(InformationManagementOfficer)\t1\tP-3\tNon-recurrent,24months\n\tBenefitsAssistant forclient services(New York)\t1\tGeneralService(Otherlevel)\tNon-recurrent,24months\n B. Investments \nOffice of theDirector\tLegalOfficer/Office ofLegal Affairs^(a)\t1\tP-4\tNon-recurrent,12months\nProgramme ofwork Operations\tChief, Accountingand Reporting\t1\tP-4\tToremainundergeneral temporaryassistance;not \n convertedto apost\nProgrammesupport \nInformationSystems\tStatic DataAdministrator\t1\tP-3","^(a) Resources provided for services to be obtained from the Office of Legal Affairs.","Administration","38. Under the Information Management System Service, following a discussion with the Fund on the prioritization of its information technology projects in the light of ongoing dedicated capacity required for Integrated Pension Administration System implementation, the working group did not support the Integrated Management Initiative and proposed a reduction in the budget by an amount of $2,543,300 (before recosting). This would result in the necessary reduction, under contractual services ($1,133,300) and furniture and equipment ($1,410,000), of the Administration budget.","Temporary posts","39. The working group supported the continuation of the 17 temporary posts for the Integrated Pension Administration System project at the following levels: 1 P-5, 7 P-4, 4 P-3 and 5 General Service (Other level).","Other staff costs","40. The working group agreed to the amount sought under other staff costs, adjusted for the additional requirements for the two general temporary assistance positions approved in operations/administration, as reflected in table 2.","Consultants","41. The working group supported the amount sought amounting to $300,000 (before recosting).","Travel","42. The working group proposed a reduction of 10 per cent in the revised appropriation level.","Contractual services","43. The working group supported the amount sought, as adjusted for the non‑approval of resources for the Integrated Management Initiative project.","Hospitality","44. To remain at the revised appropriation level.","General operating expenses","45. The working group agreed to the amount sought under administration. The working group noted an increase in general operating expenses due to bank charges of $3 million. This represented an increase of approximately $500,000 compared with the previous biennium. The working group requested that the Fund review the banking mechanisms in an effort to reduce these fees. A summary report should be provided with the next budget submission.","Supplies and materials","46. The working group supported the amount sought.","Furniture and equipment","47. The working group supported the amount sought, as adjusted for the non‑approval of resources for the Integrated Management Initiative project.","48. Table 3 summarizes the recommendations on non-post items, as explained above, for administration.","Table 3","(Thousands of United States dollars)","Other staff costs 3 910.3","Consultants 300.0","Travel 1 224.5","Contractual services 31 847.9","Hospitality 4.0","General operating expenses 14 248.0","Supplies and materials 185.8","Furniture and equipment 2 011.0","Total non-post resources 53 731.5","Investment Management Division","Other staff costs","49. The working group proposed resources at the revised appropriation level, adjusted for additional requirements for the two general temporary assistance positions (non-recurrent resources for one P-4 Legal Officer in the Office of Legal Affairs for 12 months and one P-4 Chief, Accounting and Reporting, for 24 months) as reflected in table 2.","50. In addition, the working group agreed to the establishment by the Investment Management Division of one P-2 Risk and Compliance Implementation Analyst and one 1 P-3 Static Data Administrator, to be accommodated within the overall resources approved for other staff costs (as reflected in table 3).","Consultants","51. On the basis of a review of the total resources for IPSAS, the working group proposed that the requirements estimated at $500,000 be reduced to $250,000. Accordingly, the provision under consultants would amount to $1,177,000 (before recosting).","Travel","52. The working group proposed maintenance at the revised appropriation level.","Contractual services","53. Under contractual services, an amount of $11,250,000, requested for the Leadership Fund, was not supported by the working group at this time. The working group was of the view that a move in this direction was tantamount to a change in the investment strategy that should be discussed at the Board session and supported by unambiguous views on the part of the Investments Committee.","54. Furthermore, as the working group had been advised that the recent contract for the custodian/master record-keeper services had been negotiated at an amount less than anticipated, it was proposed that this line of expenditure be reduced by an amount of $4,138,300.","Hospitality","55. The working group proposed maintenance at the revised appropriation level.","General operating expenses","56. The working group agreed to the amount sought.","Supplies and materials","57. The working group proposed maintenance at the revised appropriation level.","Furniture and equipment","58. The working group proposed maintenance at the revised appropriation level.","59. Table 4 summarizes the recommendations on non-post items, as explained above, for the Investment Management Division.","Table 4","(Thousands of United States dollars)","Other staff costs 2 892.2","Consultants 1 177.0","Travel 2 000.0","Contractual services 62 532.1","Hospitality 22.0","General operating expenses 4 485.1","Supplies and materials 160.0","Furniture and equipment 700.0","Total non-post resources 73 968.4","Pension Board expenses","60. The working group fully supported the resources requested to cover the Board expenses.","Extrabudgetary funding","61. The working group supported the resources for one General Service (Other level) staff to be funded by member organizations participating in the scheme.","Discussion in the Board","62. The Board noted with appreciation that the budget document had been provided as requested, 90 days prior to the opening of the session, allowing for a thorough review of the document by the budget working group.","63. The executive heads supported the outcome of the working group and were pleased that the budget presentation had been carried out in compliance with International Public Sector Accounting Standard No. 24 and had been prepared within the time frame requested by the Board. The executive heads were concerned that inaccuracies in the information presented in the proposal had complicated the analysis conducted by the working group and the consideration by the Board. They recommended that analysis be carried out thoroughly, making use of ratios as appropriate. They also commented that budgets approved in prior periods had been underspent.","64. Governing bodies endorsed the recommendations of the working group. They recommended that at future meetings, the document be introduced earlier, together with opening statements by key officials, so as to inform the considerations of the working group more fully.","65. The participants group supported the recommendations of the working group, noting that the asset-liability management studies had recommended a diversification of the Fund’s assets towards alternative assets. The group recalled the recommendation, made at the previous session of the General Assembly, to proceed with the greatest of prudence. It also recalled that professional advancement should not be impeded by budgetary constraints.","66. The Federation of Associations of Former International Civil Servants supported the working group’s conclusion and expressed its thanks to the working group.","67. It was also commented that comparator bases should be modified to allow for inflation and currency effect as necessary, that in an overall context of austerity possible cost reductions should be sought in items such as travel and information technology, and that budget requests should be closely linked to strategic goals. With regard to the International Public Sector Accounting Standards, any system changes likely to have an impact on member organizations should be flagged well in advance.","68. Members of the Board also stated that:","(a) The Fund should take a critical look at the methodology and assumptions made when budgeting for contractual services;","(b) The table contained in the report of the budget working group reflecting the trend in cost per participant was useful and could serve as a model for the Fund in carrying out further analysis.","69. The Representative of the Secretary-General made a statement to the Board in which he cautioned that the opportunity costs of foregone investment returns, as a result of savings achieved on investment management, could far exceed those apparent savings. As the fiduciary of the Fund, the Representative of the Secretary-General placed on record his worries and concerns that the structural underfunding of the Investment Management Division would represent an unacceptable risk for the generation of adequate returns in future to support existing and projected liabilities.","70. The Chief Executive Officer thanked the working group and expressed appreciation for the group’s support of key projects including the Integrated Pension Administration System and the International Public Sector Accounting Standards. He referred to the chart contained in the report of the working group reflecting cost per participant, providing further clarification that whenever an increase in cost per participant occurred, it was due to a project, and the cost per participant would again decrease after the completion of the project. As examples, he referred to the spike in 2004 relating to the relocation of the Pension Fund offices from the Secretariat Building to 1 Dag Hammarskjöld Plaza, and to the spike in 2012-2013 corresponding to the Integrated Pension Administration System project, which included 17 temporary posts that would be eliminated after the completion of the project.","71. The Deputy Chief Executive Officer confirmed that the target operating model related to the Integrated Pension Administration System project remained unchanged, with the same objectives and benefits. The change that had occurred related to the location of the new information technology infrastructure needed for the project at the North American data centre in New Jersey. The decision to install the project’s information technology infrastructure at the Centre had followed the identification of serious vulnerabilities at 1 Dag Hammarskjöld Plaza data centre. The Deputy Chief Executive Officer also indicated that all substantive groups within the Fund were involved with the project and that an Integrated Pension Administration System steering committee was in place. He confirmed that the project was expected to be completed as presented and within budget.","Recommendations of the Board","72. On the basis of the recommendations of the working group, the Pension Board approved, for submission to the General Assembly, the proposed budget estimates amounting to $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Board expenses ($204,400). This amount would be apportioned $173,260,600 to the Pension Fund and $20,903,400 to the United Nations under the cost-sharing agreement.","73. In addition, the Board approved resources amounting to $156,800 from extrabudgetary funding for the processing of after-service health insurance premium payments for a number of member organizations upon their request.","Annex II","United Nations Joint Staff Pension Fund: approved organization chart for the biennium 2010-2011","Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.","^(a) One extrabudgetary General Service (Other level) post is funded by member organizations.","^(b) Temporary posts authorized for the Integrated Pension Administration System project.","^(c) One of the two P-4 temporary posts authorized for the Information Management Systems Service for the biennium 2010-2011 was authorized for 12 months only. It was abolished in 2011, reducing the number of temporary P-4 posts in the Service to one.","Annex III","United Nations Joint Staff Pension Fund: proposed organization chart for the biennium 2012-2013","[]","Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.","^(a) One extrabudgetary General Service (Other level) post is funded by member organizations.","^(b) Temporary posts authorized for the Integrated Pension Administration System project.","Annex IV","United Nations Joint Staff Pension Fund: number of participants by member organization as at 31 December 2010","Member organization Number of participants\n 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010","United Nations^(a) 44 059 43 869 43 864 43 751 44 958 50 126 54 953 56 287 57 541 59 542 64 092 68 853 74 575 79 933 82 576 85 617","International Labour 2 823 2 632 2 599 2 620 2 612 2 650 2 747 2 863 3 044 3 221 3 330 3 261 3 366 3 572 3 642 3 741 Organization","Food and Agriculture 5 735 5 540 5 435 5 387 5 340 5 315 5 344 5 447 5 648 5 822 5 918 5 774 5 735 5 722 6 011 6 145 Organization of the United Nations","United Nations 2 561 2 667 2 588 2 650 2 629 2 452 2 414 2 437 2 517 2 528 2 508 2 469 2 526 2 553 2 602 2 632 Educational, Scientific and Cultural Organization","World Health 6 125 5 965 5 935 6 180 6 409 6 817 7 375 8 181 8 966 9 498 9 932 10 072 10 157 10 435 11 029 10 986 Organization","International Civil 820 826 852 852 841 867 873 883 863 863 826 806 795 775 784 791 Aviation Organization","World Meteorological 333 316 312 314 327 329 322 310 303 287 302 334 332 319 315 309 Organization","General Agreement on 476 538 529 542 7 4 3 1 — — — — — — — — Tariffs and Trade^(b)","International Atomic 2 146 2 057 2 053 2 075 2 068 2 076 2 125 2 168 2 207 2 217 2 261 2 278 2 273 2 229 2 245 2 307 Energy Agency","International 315 324 323 310 315 325 330 340 344 351 343 338 337 320 323 313 Maritime Organization","International 908 885 905 921 965 953 967 1 006 971 875 871 854 843 823 831 830 Telecommunication Union","World Intellectual 611 672 712 807 955 1 033 1 106 1 189 1 240 1 206 1 166 1 130 1 134 1 139 1 154 1 156 Property Organization","International Fund 302 295 298 332 338 344 383 435 462 488 506 502 519 526 534 540 for Agricultural Development","International Centre 29 31 29 32 35 37 33 36 34 39 39 40 38 37 36 34 for the Study of the Preservation and Restoration of Cultural Property","European and 10 11 11 12 12 12 12 11 11 11 11 12 12 13 13 13 Mediterranean Plant Protection Organization","United Nations 1 455 1 163 1 064 921 851 810 813 821 786 791 783 753 759 779 825 826 Industrial Development Organization","International Centre — 136 138 141 142 145 145 150 152 162 171 173 177 191 194 190 for Genetic Engineering and Biotechnology","World Tourism — 70 72 74 78 79 79 83 88 95 90 99 100 95 95 95 Organization","International — — 18 20 25 27 30 33 34 34 36 36 36 38 34 34 Tribunal for the Law of the Sea","International Seabed — — 3 30 28 31 28 34 34 28 30 29 29 32 31 32 Authority","International — — — — — — — — — 298 431 578 719 809 865 908 Criminal Court^(c)","Inter-Parliamentary — — — — — — — — — — 37 40 45 45 48 49 Union^(d)","International — — — — — — — — — — — — 2 059 2 419 3 134 3 261 Organization for Migration^(e)","Special Tribunal for — — — — — — — — — — — — — — 259 329 Lebanon^(f)","Total number of 68 708 67 997 67 740 67 971 68 935 74 432 80 082 82 715 85 245 88 356 93 683 98 431 106 112 117 121 participants 566 804 580 138","Total number of 16 18 20 20 19 19 19 19 19 20 21 21 22 22 23 23 member organizations","^(a) The number of United Nations participants for 2006 was revised downward by 2, from 68,855 to 68,853.","^(b) The General Agreement on Tariffs and Trade withdrew from the United Nations Joint Staff Pension Fund as from 31 December 1998.","^(c) The International Criminal Court became the twentieth organization member of the Fund as at 1 January 2004.","^(d) The Inter-Parliamentary Union became the twenty-first member as at 1 January 2005.","^(e) The International Organization for Migration became the twenty-second member as at 1 January 2007.","^(f) Special Tribunal for Lebanon became the twenty-third member as at 1 January 2009.","[1] It is estimated that Operations will process some 55,400 affiliations of new participants, transfers in and out and separations during the biennium 2012-2013; this relates to specific and measurable work tasks carried out by Operations, representing an 80 per cent increase over the biennium 1998-1999.","[2] The total annuity value of the additional periodic benefits to be paid out over some 30 years and the cash settlements calculated, verified and set up in Operations for payment each year is estimated to represent nearly $1 billion."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Items 133 and 134 of the provisional agenda*\",\n \"Programme budget for the biennium 2010-2011\",\n \"Proposed programme budget for the biennium 2012-2013\",\n \"Administrative expenses of the United Nations Joint Staff Pension Fund and transitional measures concerning the Fund’s financial reporting under the International Public Sector Accounting Standards\",\n \"Report of the United Nations Joint Staff Pension Board\",\n \"Contents\",\n \"Page\\nI.Overview 4II. Budget 4 estimates for the biennium 2010-2011: performance \\nreport A.Administrative 7 \\ncosts B.Investment 13 \\ncosts C. Audit 16 \\ncosts D. Board 16 \\ncosts E.Extrabudgetary 16 \\ncosts III. Budget 17 estimates for the biennium 2012-2013: results-based frameworks and analysis of resource \\nrequirements \\nA.Introduction 17B.Administrative 25 \\ncosts C.Investment 49 \\ncosts D. Audit 66 \\ncosts E. Board 67 \\nexpenses IV. Emergency 67 \\n Fund V.Recommendation 67 for ad hoc measures regarding implementation of the International Public Sector Accounting Standards by 1 January \\n 2012 VI. Action 68 to be taken by the General \\nAssembly VII.Summary 69 of follow-up action taken to implement requests and recommendations of the Board of Auditors and Advisory Committee on Administrative and Budgetary \\nQuestions \\nAnnexes I.Discussionsin 79 theUnited NationsJointStaff PensionBoardon the revisedbudgetestimates for the biennium2010-2011 andon thebudgetestimates for the \\nbiennium2012-2013 II.United 94 NationsJointStaff PensionFund: approved organizationchart for the \\nbiennium2010-2011 III.United 95 NationsJointStaff PensionFund: proposed organizationchart for the \\nbiennium2012-2013 IV.United 96 NationsJointStaff PensionFund:numberof participantsbymember organizationasat31 December \\n 2010\",\n \"Summary \\nThe present report contains the revised budget for the United NationsJoint Staff Pension Fund for the biennium 2010-2011, which indicatesa reduction in appropriations amounting to $21,772,800. Thisreduction comprises amounts under expenditures of administrativecosts ($11,830,000), investment costs ($9,908,500) and audit costs($112,100), partly offset by an increase of $77,800 for Boardexpenses. The revised appropriations for the biennium 2010-2011 wouldthen amount to $154,545,700, divided into: administrative costs($80,478,500), investment costs ($71,289,000), audit costs($2,532,900) and Board expenses ($245,300). Of this amount,$21,508,700 is chargeable to the United Nations under thecost-sharing arrangement.\\nThe report also contains budget estimates for the period from 1January 2012 to 31 December 2013, which amount to $191,620,600(before recosting) for administrative costs ($96,873,100), investmentcosts ($91,799,300), audit costs ($2,748,200) and Pension Boardexpenses ($200,000). The report provides for a total of 227continuing established posts, 17 temporary posts, 7 new establishedposts and the reclassification of 1 post.\\n Resource requirements -----------------------------------------------------------------------------Resources Posts(thousands ofUnited Statesdollars)---------------------- ------------- ------------- -- ----------- -----------Category 2010-2011 2012-2013 2010-2011 2012-2013(beforerecosting) Administrative^(a,b) 92 308.5 96 873.1 188 187 Investment 81 197.5 91 799.3 58 65 Audit 2 645.0 2 748.2 — — Pension Board 167.5 200.0 — — Total 176 318.5 191 620.6 246 252----------------------------------------------------------------------------- ^(a) One extrabudgetary General Service (Other level) post fundedby member organizations. \\n^(b) Includes 18 Integrated Pension Administration System temporaryposts; 1 post at the P-4 level was abolished in 2011.\",\n \"I. Overview\",\n \"1. The United Nations Joint Staff Pension Fund was established in 1949 by the General Assembly to provide retirement, death, disability and related benefits for the staff of the United Nations and such other organizations as might be admitted to membership. There are currently 23 member organizations; the combined number of active participants and benefits in payment as of 31 December 2010 amounted to 184,968.\",\n \"2. In accordance with the Regulations adopted by the General Assembly, the Fund is administered by the United Nations Joint Staff Pension Board, a staff pension committee for each member organization and a secretariat to the Board and to each such committee. One third of the Board members are chosen by the General Assembly and the corresponding governing bodies of the other member organizations, one third by the executive heads and one third by the participants. The Pension Board reports to the General Assembly on the operations of the Fund and on the investment of its assets. When necessary, it recommends amendments to the Regulations, which govern, inter alia, the rates of contribution by the participants (currently 7.9 per cent of their pensionable remuneration) and by the organizations (currently 15.8 per cent), eligibility for participation, and the benefits to which participants and their dependants may become entitled.\",\n \"II. Budget estimates for the biennium 2010-2011: performance report\",\n \"3. Table 1 summarizes the total estimated expenditures for the biennium 2010-2011. In order to make the performance report of the Fund more meaningful, the expenditures for the biennium comprise two distinct elements: (a) actual expenditures for the 17-month period from 1 January 2010 through 31 May 2011; and (b) estimated expenditures for the 7-month period from 1 June through 31 December 2011. The actual expenditures for the period from 1 January through 31 May 2011 have been calculated on the accrual basis of accounting, meaning that the effects of transactions and other events are recognized in financial statements when they occur and not when cash and cash equivalents are received or paid.\",\n \"4. In resolution 64/245, the General Assembly approved appropriations for the biennium 2010-2011 totalling $176,318,500, comprising administrative costs ($92,281,400), investment costs ($81,292,100), audit costs ($2,645,000) and Board expenses ($100,000). Of this amount, $154,749,100 is chargeable directly to the Fund and $21,569,400 being the share of costs borne by the United Nations. In addition, resources amounting to $158,200 were authorized for extrabudgetary costs and funded by a number of member organizations. In its resolution 65/249, the General Assembly approved the redeployment of appropriations to meet the requirements of the Fund. The revised appropriation comprises administrative costs ($92,308,500), investment costs ($81,197,500), audit costs ($2,645,000) and Board expenses ($167,500). The amount chargeable directly to the Fund and the share of costs borne by the United Nations remain unchanged at $154,749,100 and $21,569,400, respectively.\",\n \"Table 1 Revised estimates for the biennium 2010-2011 by object of expenditure\",\n \"(Thousands of United States dollars)\",\n \"Approved Expenditures Estimated Increase or Proposed final appropriations for the expenditures (decrease) 2010-2011 17-month for the for the appropriations period 7-month period biennium 1 January 1 June-31 2010-2011 2010-31 May December 2011 2011\\n Pension United Total Pension United Total Pension United Total Pension United Total Pension United Total Fund Nations Fund Nations Fund Nations Fund Nations Fund Nations\",\n \"(a) (b) (c) (d) = (b) + (e) = (a) + (d) (c) - (a)\",\n \"Administrative costs\",\n \"Posts 26 386.6 12 344.8 38 731.4 16 442.4 7 739.9 24 8 213.8 3 829.8 12 (1 730.4) (775.1) (2 505.5) 24 656.2 11 36 182.3 043.6 569.7 225.9\",\n \"Temporary posts 2 870.3 — 2 870.3 807.1 — 807.1 258.0 — 258.0 (1 805.2) — (1 805.2) 1 065.1 — 1 065.1\",\n \"Other staff 2 830.8 1 202.0 4 032.8 1 958.8 932.6 2 891.4 1 260.5 538.6 1 799.1 388.5 269.2 657.7 3 219.3 1 471.2 4 690.5 costs\",\n \"Consultants 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (199.1) 338.5 — 338.5\",\n \"Travel 1 360.6 — 1 360.6 907.2 — 907.2 389.9 — 389.9 (63.5) — (63.5) 1 297.1 — 1 297.1\",\n \"Contractual 21 908.3 3 851.7 25 760.0 12 144.7 3 163.6 15 2 651.8 521.5 3 173.3 (7 111.8) (166.6) (7 278.4) 14 796.5 3 685.1 18 services 308.3 481.6\",\n \"Hospitality 4.0 — 4.0 4.3 — 4.3 1.0 — 1.0 1.3 — 1.3 5.3 — 5.3\",\n \"General 9 581.6 3 220.1 12 801.7 6 703.9 3 125.8 9 829.7 4 442.8 712.1 5 154.9 1 565.1 617.8 2 182.9 11 146.7 3 837.9 14 operating 984.6 expenses\",\n \"Supplies and 140.1 70.0 210.1 252.4 55.1 307.5 54.9 27.5 82.4 167.2 12.6 179.8 307.3 82.6 389.9 materials\",\n \"Furniture and 5 560.0 440.0 6 000.0 481.5 114.1 595.6 2 078.5 325.9 2 404.4 (3 000.0) — (3 000.0) 2 560.0 440.0 3 000.0 equipment\",\n \"Total 71 179.9 21 128.6 92,308.5 39 908.2 15 55 19 483.8 5 955.4 25 (11 (42.1) (11 59 392.0 21 80 131.1 039.3 439.2 787.9) 830.0) 086.5 478.5\",\n \"Investment costs\",\n \"Posts 15 344.0 — 15 344.0 9 115.1 — 9 115.1 5 275.5 — 5 275.5 (953.4) — (953.4) 14 390.6 — 14 390.6\",\n \"Other staff 2 361.8 — 2 361.8 753.4 — 753.4 1 738.7 — 1 738.7 130.3 — 130.3 2 492.1 — 2 492.1 costs\",\n \"Consultants 2 328.8 — 2 328.8 702.6 — 702.6 1 626.2 — 1 626.2 — — — 2 328.8 — 2 328.8\",\n \"Travel 2 000.0 — 2 000.0 1 100.6 — 1 100.6 610.4 — 610.4 (289.0) — (289.0) 1 711.0 — 1 711.0\",\n \"Contractual 52 878.9 — 52 878.9 32 839.7 — 32 11 594.0 — 11 (8 445.2) — (8 445.2) 44 433.7 — 44 services 839.7 594.0 433.7\",\n \"Hospitality 22.0 — 22.0 20.4 — 20.4 3.0 — 3.0 1.4 — 1.4 23.4 — 23.4\",\n \"General 5 402.0 — 5 402.0 2 787.4 — 2 787.4 2 283.5 — 2 283.5 (331.1) — (331.1) 5 070.9 — 5 070.9 operating expenses\",\n \"Supplies and 160.0 — 160.0 53.8 — 53.8 105.8 — 105.8 (0.4) — (0.4) 159.6 — 159.6 materials\",\n \"Furniture and 700.0 — 700.0 218.6 — 218.6 460.3 — 460.3 (21.1) — (21.1) 678.9 — 678.9 equipment\",\n \"Total 81 197.5 81 197.5 47 591.6 47 23 697.4 23 (9 908.5) (9 908.5) 71 289.0 71 591.6 697.4 289.0\",\n \"Audit costs\",\n \"External audit 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 — — — 551.0 110.2 661.2\",\n \"Internal audit 1 653.2 330.6 1 983.8 821.4 164.3 985.7 738.3 147.7 886.0 (93.5) (18.6) (112.1) 1 559.7 312.0 1 871.7\",\n \"Total 2 204.2 440.8 2 645.0 1 066.0 213.2 1 279.2 1 044.7 209.0 1 253.7 (93.5) (18.6) (112.1) 2 110.7 422.2 2 532.9\",\n \"Board expenses 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3\",\n \"Total resources 154 749.1 21 569.4 176 318.5 88 765.2 15 104 44 271.8 6 164.4 50 (21 (60.7) (21 133 037.0 21 154 344.3 109.5 436.2 712.1) 772.8) 508.7 545.7\",\n \"Extrabudgetary costs (after-service health insurance system)\",\n \"Operational 158.2 — 158.2 90.0 — 90.0 54.3 — 54.3 (13.9) — (13.9) 144.3 — 144.3 activities\",\n \"5. The revised appropriations were approved for:\",\n \"(a) Administrative costs: an increase of $94,600 in general temporary assistance expenditure to cover the cost of one post at the P-4 level related to the implementation of the International Public Sector Accounting Standards (IPSAS);\",\n \"(b) Investment costs: a decrease in contractual services of $94,600.\",\n \"6. Total expenditure for the biennium 2010-2011 is estimated at $154,545,700, comprised of administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300), resulting in an underexpenditure of $21,772,800, or 12.3 per cent of the total appropriation. In addition, the projected expenditure of $144,300 for extrabudgetary costs will result in an underexpenditure of $13,900, or 8.8 per cent of the appropriation.\",\n \"A. Administrative costs\",\n \"7. The $80,478,500 estimated administrative costs will result in an underexpenditure of $11,830,000, or 12.8 per cent. The main resource variances that contribute to the net underexpenditure are due primarily to the Integrated Pension Administration System project as a result of a refinement in the project plan and the addition of new foundational activities as well as the installation of the new information technology infrastructure as explained in paragraphs 13 to 17 below. The Integrated Pension Administration System project is a major capital project for the Pension Fund and, as such, table 2 highlights the split between the estimated expenditure of the Integrated Pension Administration System project and non-Integrated Pension Administration System projects for the biennium 2010-2011.\",\n \"8. The major resource variances not related to the Integrated Pension Administration System include:\",\n \"1. Posts — underexpenditure of $2,505,500\",\n \"9. The underexpenditure is mainly due to a higher average vacancy rate early in the biennium.\",\n \"2. Other staff costs — overexpenditure of $657,700\",\n \"10. The higher than expected expenditure is owing mainly to the need for general temporary assistance as a result of increased workload owing to the increase in the number of participants, retirees and other beneficiaries.\",\n \"3. General operating expenses — overexpenditure of $2,182,900\",\n \"11. The higher than expected expenditure is owing mainly to bank charges, which are estimated to be $2,500,000. Estimates for bank charges were included in the 2010-2011 budget estimates report presented to the Board, under the general operating expenses category, which, after consideration by the Board, was eliminated in the budget report to the General Assembly (see A/64/291, annex VII, para. 34). The amount of $2,500,000 for bank charges for benefit payments is based on actual charges incurred in the 2008-2009 performance period.\",\n \"4. Projects undertaken in the biennium 2010-2011\",\n \"12. Brief details of the status of information technology projects undertaken in the biennium 2010-2011 are given below.\",\n \"Table 2 Status of projects, 2010-2011\",\n \"(United States dollars)\",\n \"Project Projected/actual Appropriation Estimated Overexpenditure or completion date expenditure (underexpenditure)\",\n \"Integrated Pension May 2014 14 361 400 2 299 906 (12 061 494) Administration System\",\n \"Member organization December 2011 1 749 773 1 749 773 — information-sharing initiatives\",\n \"Client services initiatives December 2011 469 671 469 671 —\",\n \"Web system initiatives December 2011 1 709 342 1 709 342 —\",\n \"Enterprise system December 2011 1 063 280 1 063 280 — initiatives\",\n \"Enterprise operations December 2011 1 031 400 1 031 400 — initiatives\",\n \"Information technology December 2011 461 633 461 633 — consolidation with Investment Management Service\",\n \"Total 20 846 499 8 785 005 (12 061 494)\",\n \"Integrated Pension Administration System initiative\",\n \"13. During the biennium 2010-2011, the Fund continued with the project’s major foundational tasks including: (a) constructing a comprehensive data dictionary of the current systems (PENSYS and Lawson); (b) producing a detailed data analysis of the current systems; (c) cleaning data, utilizing specialized “bulk” programmes, and through the work of the Integrated Pension Administration System project team staff with the PENSYS and Lawson databases; (d) updating procedural documentation (to complement the process maps produced under the planning and design phase of the project); (e) producing the first set of calculation formulas to set out the complex and detailed calculation basis of the Pension Fund and be ready for the sign-off of these from in-house and external experts during the implementation phase; (f) updating of technical documentation which sets out the detailed data exchanges (interfaces) that exist between the current systems and other entities; and (g) creating the first set of detailed test libraries covering the interfaces and calculations.\",\n \"14. The project started two additional initiatives not considered in the original plan. The first initiative refers to an extensive bottom-up review of the statement of requirements produced during the first phase of the project. During this phase, the target operating model and project scope were refined. New functional and information technology requirements were expanded. The final statement of work considers 333 detailed functional and information technology specifications in addition to 18 key high-level requirements.\",\n \"15. The second initiative relates to the exploration of new technologies as the means to develop better interfaces that would allow a seamless payroll connection (between the Integrated Pension Administration System and member organizations’ human resources and finance systems) and that would enable a better use of existing databases to automate verification of contribution calculations and establish other data quality protocols. In the light of the recent strategy adopted by many member organizations to migrate to enterprise resource planning platforms, the Fund is studying the possibility of establishing common interfaces using newer technologies. At the completion of the implementation of the SAP software by the United Nations, it is estimated that 96 per cent of the Pension Fund participants’ data will be maintained under an enterprise resource planning platform. This initiative is closely connected with the development of Integrated Pension Administration System since the amended specifications consider: (a) the need for a seamless payroll connection; (b) the tools for an efficient utilization of the common enterprise resource planning interfaces; and (c) the development of a web-entry system (for those organizations lacking enterprise resource planning platforms).\",\n \"16. The two additional initiatives yielded more detailed specifications that will guide the parameterization and functionality building process in a more precise and effective manner. This will improve the new system and save time and resources in post-implementation changes. In addition, the Integrated Pension Administration System project will try to harmonize as early as possible its data requirements with the data generated by the enterprise resource planning systems of member organizations. Naturally, the success of the System is closely linked to the quality, timeliness and availability of the human resources and financial data supplied by the Fund’s member organizations.\",\n \"17. While the Integrated Pension Administration System project’s overall estimated cost of $22,660,300 (before recosting) remains unchanged, additional activities have been incorporated into the project plan, and the procurement process has been significantly modified to incorporate a two-stage evaluation (as suggested by the United Nations Procurement Division). These changes resulted in an extension of the original timeline and a corresponding shift in the estimated timing of the expenditures. Table 3 highlights the estimated expenditure for the biennium 2010-2011 as well as the overall estimated project cost.\",\n \"Table 3 Summary of resource requirements for the Integrated Pension Administration System\",\n \"(Thousands of United States dollars)\",\n \"Administrative Biennium Biennium Biennium Total project costs 2010-2011 2012-2013 2014-2015\\n Approved Estimated Increase/ Proposed final Requested Estimated Estimated appropriations expenditure (decrease) appropriations appropriations appropriations appropriations\",\n \"Temporary posts 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6\",\n \"Travel 84.8 84.8 — 84.8 — — 84.8\",\n \"Contractual 8 406.3 1 150.0 (7 256.3) 1 150.0 11 966.3 3 765.6 16 881.9 services\",\n \"Furniture and 3 000.0 — (3 000.0) — — — — equipment\",\n \"Total 14 361.4 2 299.9 (12 061.5) 2 299.9 15 637.1 4 723.3 22 660.3\",\n \"Furniture and equipment — underexpenditure of $3,000,000\",\n \"18. The lower than expected expenditure is the result of a decision to install the information technology hardware required by the project in the Fund’s new data centre owing to vulnerabilities identified in the data centre at 1 Dag Hammarskjöld Plaza. The project’s original strategy was to acquire 12 new servers and 15 storage area network modules as well as uninterruptible power supply expansions and install them in the data centre located on the fourth floor of 1 Dag Hammarskjöld Plaza to provide the required additional capacity to host the new system applications.\",\n \"19. However, owing to serious vulnerabilities identified in the data centre at 1 Dag Hammarskjöld Plaza, this strategy was not considered viable. The Business Impact Analysis conducted in 2009 and presented to the Pension Board in 2010 revealed that while the data centre had installed a UPS system, there was no power generator to deal with possible power failures from the utility company (or building electrical system). An earlier assessment of the data centre against industry practices for a production data centre gave the facility an availability rating of 2 out of 10 (10 being the highest or best possible score). Therefore, installing new hardware in the data centre at 1 Dag Hammarskjöld Plaza would represent serious risks to the Integrated Pension Administration System project.\",\n \"20. After an extensive search for a suitable alternative, the Fund decided to migrate the information and communications technology infrastructure located at 1 Dag Hammarskjöld Plaza to the new North American data centre, which is a new and more robust data centre that would be able to properly ensure operational availability of its mission critical systems. The North American data centre is classified as tier 3 according to the Telecommunications Industry Association standards (TIA-942 DC), which guarantees 99.9 per cent uptime and availability.\",\n \"Contractual services — underexpenditure of $7,256,300\",\n \"21. The lower than expected expenditure is owing mainly to the change in location of the data centre to host the new system applications. When the existing equipment at 1 Dag Hammarskjöld Plaza was moved to the new North American data centre, additional new equipment in the amount of $750,000 was acquired and installed in the North American data centre to adequately cover all of the expected capacity needs of the Integrated Pension Administration System. A request for proposal has been issued for $400,000 to retain a specialized consulting firm to assist in the re-engineering of its processes as per the new target operating model and new operational paradigm as well as to develop test scenarios to serve as the basis for ensuring that the new system is able to process entitlements and payments accurately, safely and efficiently.\",\n \"22. The above-mentioned initiatives enable the Integrated Pension Administration System project to be in a better position to start its next phase, but this represents a shift in the original timeline. The project’s 30-month estimate for full system deployment (after the proof of concept has been tested and approved) has not changed. Therefore, the completion of system implementation is expected by April 2014 and parallel testing and training by November 2014. However, this target date is dependent on the duration of the remaining procurement/contractual activities which are expected to be completed in nine months. Consequently, the appropriations for the development, parameterization and implementation of the new software applications considered in the budget for 2010-2011 ($7,256,300) will not be exercised until the biennium 2012-2013. The project’s detailed timeline and description of activities is included in annex II of the supplementary financial information.\",\n \"Temporary posts — underexpenditure of $1,805,200\",\n \"23. The lower than expected expenditure in posts is owing primarily to a staggered recruitment approach which was adopted to make the best use of the project’s resources and which responds to the updating of the project’s timeline.\",\n \"Client services initiatives\",\n \"24. A pilot project (iServ), based on Oracle’s Siebel customer relationship management, was commissioned with the goal of streamlining and automating incidents reported to the Fund’s webmaster. The exercise proved to be much more complex and challenging than initially estimated but helped the Fund gain substantial knowledge about implementing a customer relationship management system and provided many valuable lessons. It also helped the Fund determine that introducing a comprehensive customer relationship management solution right away into its core business activities might not be the most practical, advisable or cost-effective action (especially so considering that customer relationship management could be a part of the Integrated Pension Administration System initiative), whereas addressing the most critical needs of the Client Services Unit in the short term by building smaller localized applications would prepare it better in understanding how to shape the customer relationship management system when it is eventually integrated with the business processes.\",\n \"25. As an alternative, a Lotus Notes-based custom application has been developed to track interactions with clients who visit the Fund in person or phone. Not only does the application record valuable information, such as the area of service requested, mode the service was provided in (walk in or phone) and the time taken to service a client, it provides an easy-to-use reporting and analytics tool (including dashboards) that can be used to view statistics and trends over a period of time. It is envisioned that as time goes by, this application will be enhanced to incorporate additional features covering a broader spectrum of client services activities.\",\n \"Web systems initiatives\",\n \"26. The web systems initiatives keep providing beneficiaries and participants with direct access to personalized information through the use of custom web-based applications. Critical applications, including the two-track and benefit estimate systems, certificate of entitlement tracking and annual statements, have now become a standard service for clients. The cost-of-living notification, produced whenever there is a change in the cost-of-living index and/or the quarterly exchange rate, is now available on the Web for registered beneficiaries in receipt of a monthly benefit. The interface for the benefit estimator available through the annual statement application has been redesigned and is now available to clients since the release of the 2009 annual statement. As part of the Fund’s ongoing efforts to support the increasing number of visitors, parts of the website infrastructure and applications were upgraded to provide a more stable and secure environment. New web-based portals were added to provide role-based and secure single-point interfaces for many Fund-wide web applications. Additional e-learning applications and onboarding workshops have been added to accommodate training requirements, and several new courses will be made available in 2011. A case digest for the Legal Office has been developed and will also be available on the website in 2011.\",\n \"Enterprise systems initiatives\",\n \"27. The enterprise systems initiatives will ensure that mission-critical business systems (for example, Content Manager and Lawson) are current with vendor updates, releases and upgrades, while keeping pace with changes to the business model of the Fund. All necessary updates, releases and upgrades have been or are expected to be successfully installed by the end of 2011.\",\n \"Enterprise operations initiatives\",\n \"28. As part of the enterprise operations mandate, all mission critical systems have been transferred to a new site in Piscataway, New Jersey. The new facility is a Tier III data centre fault tolerant providing 99.9 per cent availability. Telecommunication equipment will continue to be hosted by the data centre at 1 Dag Hammarskjöld Plaza, while the Geneva data centre hosts the support systems for the Geneva office and the business continuity and disaster recovery environment. As part of the data centre relocation project, the storage area network has been upgraded, increasing the capacity and reducing the systems response time. A new virtual infrastructure was built enabling 70 per cent of the Fund’s servers to run on virtual farms, thereby increasing operational efficiency and availability and improving manageability of the server infrastructure. The Lawson and database servers have been upgraded, and a fail-over cluster was implemented to optimize the recovery time and response to users. The relocation of the Geneva Data Centre is in progress. The new facilities are managed by the International Computing Centre and will allow the Fund to virtualize 95 per cent of the servers and support redundancy for the web environment. A new data backup system has been implemented reducing the maintenance window and the file recovery time. An enterprise e-mail archiving solution has been implemented in the Pension Fund in order to manage the e-mail service efficiently and to keep up with the growing mailboxes and unlimited retention policy of the organization. In the process, Pension Fund e-mail servers and clients have been constantly upgraded to the most current releases. It is anticipated that by the end of 2011, the Information Management Systems Service will complete an upgrade of the UPS system.\",\n \"Information technology consolidation with the Investment Management Division initiative\",\n \"29. Information technology consolidation with the Investment Management Division is progressing as planned and is scheduled to finish during the current biennium. Based on the signed service delivery agreements between the Information Management Systems Service and the Investment Management Division, several infrastructure projects were executed successfully and in a timely manner within the shared infrastructure environment. These include the trade order management system, Society for Worldwide Interbank Financial Telecommunication (SWIFT), and document management system. A disaster recovery environment for the trade order management system and SWIFT was also successfully built and tested in Geneva. Work is in progress for the final 5 out of the 38 areas identified for consolidation and is anticipated to be completed during the current biennium. These include network, help desk, provision of directory services, file sharing and e-mail consolidations.\",\n \"B. Investment costs\",\n \"30. The $71,289,000 estimated administrative costs will result in an underexpenditure of $9,908,500, or 12.2 per cent. The main resource variances that contribute to the net underexpenditure include:\",\n \"1. Posts — underexpenditure of $953,400\",\n \"31. The underexpenditure is due mainly to the later than expected recruitment of staff.\",\n \"2. Travel — underexpenditure of $289,000\",\n \"32. The underexpenditure is owing mainly to the later than expected recruitment of staff and the availability of staff as a result of work schedules. The lower requirement was offset by higher travel costs for the members of the Investment Committee.\",\n \"3. General operating expenses — underexpenditure of $331,100\",\n \"33. The underexpenditure is attributable to lower than anticipated costs for charges such as chilled water, cleaning services and building operating expenses.\",\n \"4. Contractual services — underexpenditure of $8,445,200\",\n \"Table 4 Contractual services: estimated expenditures 2010-2011\",\n \"(Thousands of United States dollars)\",\n \"Category Appropriations Estimated Overexpenditure or 2010-2011 expenditures (underexpenditure)\",\n \"External legal consultant 1 200.0 1 200.0 —\",\n \"Third-party service providers\",\n \"(a) Global custodian and advisers\",\n \"Global custodian 6 952.0 3 743.8 (3 208.2)\",\n \"Advisers 16 976.4 14 994.0 (1 982.4)\",\n \"Subtotal (a) 23 928.4 18 737.8 (5 190.6)\",\n \"(b) Portfolio management\",\n \"Small capitalization 12 500.0 13 562.4 1 062.4\",\n \"Publicly traded real 2 700.0 700.0 (2 000.0) estate\",\n \"Subtotal (b) 15 200.0 14 252.4 (937.6)\",\n \"(c) Market data services 3 541.5 2 399.5 (1 142.0)\",\n \"Subtotal third-party 42 669.9 35 399.7 (7 270.2) service providers\",\n \"SWIFT contractual 590.0 345.0 (245.0) services\",\n \"Other contractual 8 419.0 7 489.0 (930.0) services\",\n \"Total 52 878.9 44 433.7 (8 445.2)\",\n \"34. The underexpenditure is attributable to several factors including: delay in the procurement processes for the multiple custodians and independent master record keeper, and the hiring of a manager of publicly traded real estate as well as advisers on fixed income, real assets and alternative investment; and the lower than anticipated cost of procuring applications, such as the disaster recovery solution, SWIFT and the compliance system. The reduced requirements were partly offset by the increase in the cost of small capitalization as a result of the increase in fees, based on good performance.\",\n \"5. Projects undertaken in the biennium 2010-2011\",\n \"35. Table 5 shows the status of information technology projects funded and undertaken in the biennium 2010-2011.\",\n \"Table 5 Status of projects, biennium 2010-2011\",\n \"(United States dollars)\",\n \"Project Projected/actual Appropriation Estimated Overexpenditure or completion date expenditure (underexpenditure)\",\n \"Portfolio risk analysis and June 2011 1 390 000 1 280 000 110 000 performance attribution\",\n \"Electronic order management and March 2011 1 120 000 1 120 000 — trading (Charles River System)\",\n \"Compliance pre-trading and March 2011 970 000 870 000 100 000 post-trading\",\n \"Portfolio accounting and December 2011 2 790 000 2 390 000 400 000 reconciliation\",\n \"Data hub system June 2012 820 000 820 000 —\",\n \"OMEGEO, FXALL, Tradeweb and December 2011 1 170 000 850 000 320 000 other confirmation and trading platforms are being integrated into the Charles River System\",\n \"SWIFT, including upgrade of June 2011 590 000 345 000 245 000 SWIFT to version 7\",\n \"Total 8 850 000 7 675 000 1 175 000\",\n \"Operating expenses\",\n \"Charles River in disaster December 2011 200 000 143 771 56 229 recovery site (International Computing Centre Geneva)\",\n \"SWIFT in disaster recovery site December 2011 200 000 221 805 (21 805) (International Computing Centre Geneva)\",\n \"SunGard 200 000 — (200 000)\",\n \"Total 600 000 365 576 (234 424)\",\n \"Furniture and equipment\",\n \"Sun servers May 2011 500 000 500 000 —\",\n \"Desktops June 2011 100 000 100 000 —\",\n \"Laptops June 2011 73 400 70 000 3 400\",\n \"Total 673 400 670 000 3 400\",\n \"Portfolio risk analysis and performance attribution system\",\n \"36. As of February 2011, the Investment Management Division is performing user acceptance tests for most risk analysis scenarios. Some important risk reports have been designed. However, the Division is still waiting for further contracts with various data feeds to be completed by the Procurement Division and the Office of Legal Affairs. These data feeds of market data are essential for the completion of Risk Metrics implementation. After the implementation is completed, an ongoing service will be maintained. This project is expected to be finalized and fully in production by October 2011, provided that data feeds contracts are finalized.\",\n \"Electronic order management and trading system\",\n \"37. The Charles River System is in production as of March 2010. The current production implementation encompasses equity, foreign exchange and fixed income transactions. It also includes the connectivity with brokers via the protocol FIX, and the connectivity with custodian bank via SWIFT. The Investment Management Division has been trading electronically all equity assets. The Division is working on installing electronic platforms for the other assets. Currently, 99 per cent of the cross asset settlements are completed through SWIFT. The Investment Management Division continues to support and enhance the Charles River working environment.\",\n \"Compliance pre-trading and post-trading system\",\n \"38. The pre-trading and post-trading system (Charles River) has been implemented and in production since March 2010. The Investment Management Division continues to maintain and update the compliance rules as required.\",\n \"Portfolio accounting and reconciliation system\",\n \"39. The portfolio accounting and reconciliation system was awarded to Murex North America in April 2010, and the legal contract was signed in February 2011. The project kick-off meeting took place on 16 February 2011. The Investment Management Division is currently finalizing the implementation plan and committing resources with a target to deliver a first phase implementation by 30 June 2011. It is estimated that the project will be completed by 31 December 2011. It is important to note that this project encompasses the conversion to IPSAS for investment activities.\",\n \"Data hub system\",\n \"40. As of February 2011, the Investment Management Division had completed the technical evaluation. The due diligence will be scheduled for the second semester of 2011. It is expected to start the implementation of the data hub in February 2012.\",\n \"OMEGEO, FXALL, Tradeweb and other confirmation and trading platforms are being integrated to Charles River\",\n \"41. The Investment Management Division planned to add OMEGEO, an electronic confirmation and affirmation of equity trades, FXALL, FXConnect and Bloomberg FX: foreign exchange trading platforms, and Tradeweb, market Axess, Bond Vision and Bloomberg FI: fixed income trading platforms to strengthen the Charles River trade order management system. Contracts for the respective products are in negotiation. The Investment Management Division is planning to have all these platforms integrated by December 2011.\",\n \"Charles River System in the disaster recovery site (International Computing Centre Geneva)\",\n \"42. Charles River disaster recovery was completed in March 2011. The disaster recovery includes the connectivity to FIX, Bloomberg data licence, Bloomberg data bulk and Bloomberg API. It also provides the connectivity to SWIFT.\",\n \"Bloomberg data licence, Bloomberg data bulk and Bloomberg API\",\n \"43. The Bloomberg data licence, Bloomberg data bulk and API were installed and integrated with the Charles River System in March 2010.\",\n \"SWIFT in the disaster recovery site (International Computing Centre Geneva)\",\n \"44. The SWIFT disaster recovery site has been operational since January 2010. The Investment Management Division is currently working on integrating it with the Charles River System disaster recovery infrastructure.\",\n \"Upgrade of SWIFT to version 7\",\n \"45. SWIFT upgrade to the mandatory version 7 is scheduled to be completed in June 2011.\",\n \"C. Audit costs\",\n \"46. The estimated expenditure of audit costs will result in lower utilization of the appropriations in the amount of $112,100, primarily for general temporary assistance for internal audit.\",\n \"D. Board expenses\",\n \"47. The increased requirement of $77,800 is the result of the higher than anticipated expenses for the Working Group on Plan Design.\",\n \"E. Extrabudgetary costs\",\n \"48. The underexpenditure of $13,900 is the result of the General Service (Other level) post, which is covered by extrabudgetary funds, being vacant for a period of three months.\",\n \"III. Budget estimates for the biennium 2012-2013: results-based frameworks and analysis of resource requirements\",\n \"A. Introduction\",\n \"1. Overview\",\n \"49. The United Nations Joint Staff Pension Fund is a fully funded defined benefit pension fund providing retirement and other benefits to nearly 64,000 retirees and beneficiaries. Currently, some 120,000 active participants are accumulating pension rights under the Fund. The assets of the Fund stood at $41.4 billion at the end of 2010. The Pension Fund is self-administered in accordance with Regulations adopted by the General Assembly. The Pension Board is responsible for managing the Fund and reports annually to the General Assembly. The day-to-day operations of the Fund are overseen by the Chief Executive Officer. The Fund has 245 staff. A detailed description of the Fund and its day-to-day operations are included in this budget and the accompanying annexes.\",\n \"50. Fund investments are decided by the Secretary-General, who has delegated this responsibility to his representative, who in turn manages the Fund’s Investment Management Division. The Division is responsible for the investment and accounting of the Fund assets with the objective to ensure an adequate level of investment return in line with the Fund’s risk tolerance philosophy and the requirements posed by its liabilities.\",\n \"51. The Fund has grown significantly during the past 10 years, as new member organizations have joined and the overall number of participants, retirees and other beneficiaries being serviced has continued to increase. During this period, the number of active participants has increased by 63 per cent and the number of periodic benefits in payment has grown by 33 per cent. The Management Charter of the Fund identified five categories of challenges, as follows:\",\n \"(a) Growing complexity of the Fund’s operations;\",\n \"(b) Growing interdependency of assets and liabilities;\",\n \"(c) Aging of information systems and growing demand for services;\",\n \"(d) Quality service and high operational standards;\",\n \"(e) Social and environmental responsibility.\",\n \"52. To address these challenges, the Fund carried out comprehensive studies on risk assessment, asset-liability management, the organization of the Fund and its plan design and changes in its pension administration system; it then developed medium-term objectives which are outlined in the Fund’s strategic framework, as follows:\",\n \"(a) Strengthening the Fund’s operating model;\",\n \"(b) Improving the management of risks and internal controls;\",\n \"(c) Enhancing information systems;\",\n \"(d) Increasing the quality and efficiency of service provided including communications and outreach efforts;\",\n \"(e) Promoting social and environmental responsibility.\",\n \"53. Each area of operation developed specific action plans to meet these objectives, including a medium-term human resources plan, business impact analysis and disaster recovery plan, which have been used to prepare the following budget proposal.\",\n \"54. In summary, during the biennium 2012-2013, the Pension Fund intends to allocate financial and human resources towards the following key initiatives as outlined in the strategic framework:\",\n \"(a) Integrated Pension Administration System — new operating model for an integrated pension administration system;\",\n \"(b) IPSAS — new accounting standards for the Fund’s financial statements;\",\n \"(c) Responsive client services;\",\n \"(d) Other actions required to improve operational efficiency, risk evaluation and management, e-learning, training and knowledge management.\",\n \"55. The Fund is expected to achieve its overall objectives on the assumption that adequate human and financial resources are available. This will pose particular challenges in coming years, given the current financial constraints. Recognition must be given, however, to the critical juncture in the evolution of the Fund that is outside its control. The Fund has experienced steady growth since its inception and unprecedented growth during the past 10 years in the population it services. At the same time, the Fund has been expanding its provisions not only to cover a greater number of individuals, but also to address a wider scope of unique circumstances, thus resulting in increasing complexities. The growth in the volume of the related work and the increasing complexities are culminating at the same time with a steady loss in institutional memory owing to a high number of retirements and other separations over recent years. Moreover, and at the same time, improvements in longevity are resulting in an ageing of the Fund’s clientele, which in turn often requires more extensive consultations and other special client servicing needs. The significant challenges emanating from these external factors are further compounded by the fact that the Fund, which requires staff with very specific and long-term expertise, must aim to function according to certain organizational policies that pose particular difficulties not normally encountered in outside enterprises. Given its need for unique and long-term expertise, and in the light of its independent status as an inter-agency entity, the Fund is undertaking a review of the policies governing the recruitment, mobility, promotion and retention of its staff. It intends to address these issues in a revised memorandum of understanding.\",\n \"56. Giving further consideration to the challenges posed by the current economic environment, the Fund secretariat also reviewed its staffing needs and decided to defer its request for a number of staffing positions. While these positions are key to meeting the medium-term goals of its strategic framework, the secretariat believes that deferral of the hiring of staff can be accomplished by limiting changes in the plan design of the Fund as well as the addition of new projects, while continuing its efforts towards efficiencies and productivity improvements. However, these positions cannot be deferred indefinitely without altering the Fund’s operational capacity, its responsiveness to its clients and/or the timing of reaching its goals.\",\n \"57. With this in mind, recognition must also be given to the fact that new peacekeeping missions may be approved outside the regular budget of the United Nations at times when the Fund must aim to address calls for budgetary restraint. This results in significant challenges, and indeed risks, to the Fund, which must nevertheless provide full and timely services to the elevated numbers of staff employed by such missions.\",\n \"Results-based budgeting, methodology and terminology\",\n \"58. The current budget submission follows the results-based budgeting format adopted by the Fund in its submission for the biennium 2008-2009. Resources have been requested in line with the Fund’s programmes, and all justification and supporting information is contained in the supplementary financial information to the proposed budget.\",\n \"59. The following factors have been used in the calculation of resources:\",\n \"(a) Delayed recruitment factors for both New York and Geneva for 2012 and 2013 have been applied to continuing Professional posts (90.4 per cent), Professional new posts (50.0 per cent), continuing General Service posts (96.5 per cent) and new General Service posts (65.0 per cent); these factors have been applied to the version 1 of the New York and Geneva 2012-2013 standard salary tables;\",\n \"(b) The average annual rate of inflation applied for 2012 and 2013 for New York are 1.90 and 2.50 per cent, respectively, and for Geneva are 1.00 and 1.30 per cent, respectively;\",\n \"(c) The exchange rate applied for 2012 and 2013 for Geneva is 1.046;\",\n \"(d) Within the framework of the cost-sharing arrangement between the United Nations and the Fund, the ratios of one third and two thirds, respectively, will continue to be applied to the specific elements of administration, with the exception of the cost for posts in the Information Management Systems Service and the Executive Office. On the basis of the ratio of approved posts for the secretariat (170) to those for the Investment Management Division (58), plus specific project posts (17), 69.4 per cent of the cost of the posts in the Information Management Systems Service and the Executive Office will be subjected to the cost-sharing arrangement.\",\n \"2. Overall resources requested\",\n \"60. Human and financial resources requested for the Fund as a whole are given below, along with estimated extrabudgetary resources and details of additional post requirements.\",\n \"Table 6 Percentage distribution of resources by component: Fund\",\n \"Component Regular Extrabudgetary budget\",\n \"A. Executive direction and management 7.0\",\n \"B. Programme of work\",\n \"1. Administration 17.7 100.0\",\n \"2. Investments 33.0\",\n \"Subtotal B 50.7 100.0\",\n \"C. Support\",\n \"1. Information technology 31.8\",\n \"2. Legal Office 0.7\",\n \"3. Administrative support 8.3\",\n \"Subtotal C 40.8\",\n \"D. Audit 1.4\",\n \"E. Pension Board 0.1\",\n \"Total 100.0 100.0\",\n \"Table 7 Resource requirements by component: Fund\",\n \"(Thousands of United States dollars)\",\n \"Component 2010-2011 Resource Total Recosting Apportionment 2012-2013 growth before estimate recosting\\n Amount Percentage United Pension Nations Fund\",\n \"1. Regular budget\",\n \"A. Executive 16 141.1 (2 672.3) (16.6) 13 468.8 61.9 1 197.8 12 332.9 13 530.7 direction and management\",\n \"B. Programme of work\",\n \"1. Operations, 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1 financial services\",\n \"2. Investments 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6\",\n \"Subtotal B 86 148.4 10 950.1 12.7 97 098.5 1 725.2 9 527.5 89 296.2 98 823.7\",\n \"C. Support\",\n \"1. Information 53 018.1 7 878.6 14.9 60 896.7 815.6 5 704.7 56 007.6 61 712.3 technology\",\n \"2. Legal Office — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2\",\n \"3. 18 198.4 (2 348.4) (12.9) 15 850.0 86.9 3 590.6 12 346.3 15 936.9 Administrative support\",\n \"Subtotal C 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4\",\n \"D. Audit 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8\",\n \"E. Pension Board 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4\",\n \"Total 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0\",\n \"2. 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 Extrabudgetary\",\n \"61. As indicated in table 8, the overall increase in resources requested amount to $15,302,100 (before recosting), or 8.7 per cent, attributable to administrative costs ($4,564,600), investment costs ($10,601,800), audit costs ($103,200) and board expenses ($32,500).\",\n \"62. The increase in resources of $4,564,600 in administrative costs comprises the net effect of the proposed increase in established posts ($739,400) and temporary posts ($800,500), of which $680,100 and $800,500, respectively, are attributable to delayed recruitment factor, and non-post costs of $3,024,700. Increases in non-post costs are attributable primarily to the growth in the need for contractual services ($6,087,900) and higher general operating expenses ($1,446,300), partially offset by reduced requirements for furniture and equipment ($3,989,000), other staff costs ($122,500), consultants ($237,600) and travel ($136,100).\",\n \"63. The increase in resources of $10,601,800 in investment costs comprises the net effect of the proposed increase in posts ($2,486,900), of which $1,222,700 is attributable to a delayed recruitment factor, and non-post costs of $8,114.900. Increases in non-post costs are caused primarily by growth in the need for contractual services ($9,653,200) and increases for other staff costs ($530,400), offset by a reduction in resources for consultants ($1,151,800) and general operating expenses ($916,900).\",\n \"64. The increase of resources for audit costs, amounting to $103,200, comprises an increase in the apportioned cost applicable to the Fund for the Board of Auditors ($113,500), and, in relation to Internal Audit, the net effect is a proposed decrease ($10,300). This decrease is primarily the result of minor reductions in communications ($9,800) and supplies and materials ($5,000) and an increase in resource requirements for furniture and equipment ($5,800). In addition, there is a compensating decrease and increase of $80,000 between consultants and contractual services, respectively.\",\n \"65. The estimated percentage distribution of resources and resources requested by component for the Fund are summarized in tables 6 and 7, respectively.\",\n \"Table 8 Financial resource requirements for the biennium 2012-2013\",\n \"(Thousands of United States dollars)\",\n \"Resource Apportionment growth\\n Category 2008-2009 2010-2011 Amount Percentage Total Recosting United Pension 2012-2013 2012 2013 expenditure appropriation before Nations Fund Estimate Estimate Estimate recosting\",\n \"Administrative costs\",\n \"Posts 34 524.8 38 731.4 739.4 1.9 39 470.8 591.4 12 440.4 27 621.8 40 062.2 19 883.6 20 178.6\",\n \"Temporary posts — 2 870.3 800.5 27.9 3 670.8 (103.4) — 3 567.4 3 567.4 1 581.3 1 986.1\",\n \"Other staff 3 033.8 4 032.8 (122.5) (3.0) 3 910.3 94.5 803.3 3 201.5 4 004.8 2 005.4 1 999.4 costs\",\n \"Consultants 106.4 537.6 (237.6) (44.2) 300.0 6.7 — 306.7 306.7 152.9 153.8\",\n \"Travel 997.7 1 360.6 (136.1) (10.0) 1 224.5 27.0 — 1 251.5 1 251.5 623.9 627.6\",\n \"Contractual 16 690.8 25 760.0 6 087.9 23.6 31 847.9 700.7 3 465.9 29 082.7 32 548.6 16 250.2 16 298.4 services\",\n \"Hospitality 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1\",\n \"General 11 641.1 12 801.7 1 446.3 11.3 14 248.0 169.0 3 175.9 11 241.1 14 417.0 7 031.8 7 385.2 operating expenses\",\n \"Supplies and 263.3 210.1 (24.3) (11.6) 185.8 4.1 54.5 135.4 189.9 90.1 99.8 materials\",\n \"Furniture and 3 815.3 6 000 (3 989.0) (66.5) 2 011.0 44.4 528.0 1 527.4 2 055.4 1 024.6 1 030.8 equipment\",\n \"Total 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8\",\n \"Investment costs\",\n \"Posts 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) — 17 406.0 17 406.0 8 644.2 8 761.8\",\n \"Other staff 534.0 2 361.8 530.4 22.5 2 892.2 61.0 — 2 953.2 2 953.2 1 500.3 1 452.9 costs\",\n \"Consultants 299.5 2 328.8 (1 151.8) (49.5) 1 177.0 24.7 — 1 201.7 1 201.7 822.4 379.3\",\n \"Travel 1 018.0 2 000.0 — — 2 000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0\",\n \"Contractual 27 491.4 52 878.9 9 653.2 18.3 62 532.1 1 387.1 — 63 919.2 63 919.2 29 924.0 33 995.2 services\",\n \"Hospitality 16.4 22.0 — — 22.0 0.5 — 22.5 22.5 11.2 11.3\",\n \"General 5 157.5 5 402.0 (916.9) (17.0) 4 485.1 27.5 — 4 512.6 4 512.6 2 254.1 2 258.5 operating expenses\",\n \"Supplies and 91.0 160.0 — — 160.0 3.5 — 163.5 163.5 81.5 82.0 materials\",\n \"Furniture and 246.6 700.0 — — 700.0 15.5 — 751.6 715.5 356.7 358.8 equipment\",\n \"Total 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2 44 613.4 48 324.8\",\n \"Audit costs\",\n \"External audit 682.1 661.2 113.5 17.2 774.7 17.1 132.0 659.8 791.8 394.7 397.1\",\n \"Internal audit 1 612.6 1 983.8 (10.3) (0.5) 1 973.5 (151.5) 303.4 1 518.6 1 822.0 906.2 915.8\",\n \"Total 2 294.7 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9\",\n \"Board expenses 127.4 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4 101.9 102.5\",\n \"Total resources 118 969.3 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0 94 662.0 99 502.0 required\",\n \"Extrabudgetary costs (after-service health insurance system)\",\n \"Operational 132.3 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 77.3 79.5 activities\",\n \"Table 9 Human resources requirements\",\n \"Established Temporary Extrabudgetary Total posts posts posts\\n Category 2010- 2012- 2010- 2012- 2010- 2012- 2010- 2012- 2011 2013 2011 2013 2011 2013 2011 2013\",\n \"Administrative\",\n \"Professional and above\",\n \"ASG 1 1 — — — — 1 1\",\n \"D-2 1 1 — — — — 1 1\",\n \"D-1 4 4 — — — — 4 4\",\n \"P-5 9 9 1 1 — — 10 10\",\n \"P-4 19 20 8 7 — — 27 27\",\n \"P-3 25 24 4 4 — — 29 28\",\n \"P-2/1 1 1 — — — — 1 1\",\n \"Subtotal 60 60 13 12 — — 73 72\",\n \"General Service\",\n \"Principal level 10 10 — — — — 10 10\",\n \"Other level 99 99 5 5 1 1 105 105\",\n \"Subtotal 109 109 5 5 1 1 115 115\",\n \"Total administrative 169 169 18 17 1 1 188 187\",\n \"Investment\",\n \"Professional and above\",\n \"D-2 1 1 — — — — 1 1\",\n \"D-1 2 2 — — — — 2 2\",\n \"P-5 10 10 — — — — 10 10\",\n \"P-4 13 18 — — — — 13 18\",\n \"P-3 7 9 — — — — 7 9\",\n \"P-2 — — — —\",\n \"Subtotal 33 40 — — — — 33 40\",\n \"General Service\",\n \"Principal level 10 10 — — — — 10 10\",\n \"Other level 15 15 — — — — 15 15\",\n \"Subtotal 25 25 — — — — 25 25\",\n \"Total investment 58 65 — — — — 58 65\",\n \"Total Pension Fund 227 234 18^(c) 17^(b,c) 1^(a) 1^(a) 246 252\",\n \"^(a) One extrabudgetary General Service (Other level) post funded by member organizations.\",\n \"^(b) Includes 17 Integrated Pension Administration System temporary posts.\",\n \"^(c) Of the 18 temporary posts authorized for the 2010-2011 biennium, one post at the P-4 level was authorized for 12 months only. This post was abolished in 2011.\",\n \"66. As indicated in table 9, this submission provides for the establishment of seven additional posts and the reclassification of one post, as follows:\",\n \"(a) Provision is made for the secretariat for the reclassification of one post (from the P-3 to the P-4 level). Provision is also made for the continuation of one extrabudgetary post (1 General Service (Other level)) funded by member organizations;\",\n \"(b) Provision is made for the Investment Management Division for seven additional established posts (5 P-4, 2 P-3).\",\n \"67. The requested additional posts are summarized in table 10.\",\n \"Table 10 Summary of post requirements\",\n \"Section\\tAction\\tPost\\tNumberofposts\\tCategory \\n Administration \\n Programme support \\nExecutive Office\\tReclassification\\tFinance andBudget Officer\\t1\\tP-3toP-4\\n Investments \\n Programme of work \\nInvestmentsSection\\tNewpost\\tInvestmentOfficer —AlternativeInvestments\\t1\\tP-4\\n\\tNewpost\\tInvestmentOfficer — GlobalEmerging Markets\\t1\\tP-4\\n\\tNewpost\\tInvestmentOfficer — TradeExecution Officer\\t1\\tP-4\\n\\tNewpost\\tInvestmentOfficer — NorthAmerican Equities\\t1\\tP-3\\nRisk andCompliance Section\\tNewpost\\tDue Diligence andQuantitativeStrategic RiskManager\\t1\\tP-4\\nOperations Section\\tNewpost\\tFinance Officer,Reconciliations\\t1\\tP-3\\n Programme support \\nInformationSystems Section\\tNewpost\\tData ManagementOfficer\\t1\\tP-4\",\n \"B. Administrative costs\",\n \"1. Overview\",\n \"68. The secretariat is responsible for managing the United Nations Joint Staff Pension Fund under the authority of the Pension Board. It aims to provide services to participants, as well as pension revenues and related benefits to retirees and beneficiaries in the best conditions of security, performance, responsibility and accountability and in full compliance with the highest standards of efficiency, competence and integrity. In order to deliver such services, the Fund must deal with an increasingly complex set of regulations, linked to past decisions taken either on the grounds of economy measures or in response to strong social demand for new categories of beneficiaries. It must also continue to adapt its processes and procedures to an ever changing banking and regulatory environment.\",\n \"69. The overall level of resources for administrative costs amounts to $96,873,100 before recosting, reflecting a net increase of $4,564,600, or 4.9 per cent, from the revised appropriations for the biennium 2010-2011. The net increase, as shown in table 12, can be summarized as follows:\",\n \"(a) Executive direction and management: the decrease of $1,104,400 relates to post requirements ($810,200), owing primarily to the redeployment of three posts (2 P-5, 1 General Service (Other level)) to the Legal Office. The decrease in non‑post costs is attributed to other staff costs ($50,100), consultants ($337,600) and travel ($114,500), with increases in contractual services ($112,000) and general operating expenses ($96,000).\",\n \"(b) Programme of work: the increase of $3,498,400 is the result of post requirements ($751,500), of which $147,400 is attributable to the net effect of the delayed recruitment factor and the redeployment of one post at the P-4 level to the Legal Office and $604,100 for the delayed recruitment factor for the 12 Integrated Pension Administration System temporary posts; and additional non-post resources of $2,746,900 in the form of an increase in general operating expenses ($2,846,300) and consultants ($100,000), and decreases in other staff costs ($199,400).\",\n \"(c) Programme support: the increase of $2,170,600 is attributable to increases in Information Management Systems Service resources ($2,084,100), the redeployment of the Legal Office from executive direction and management ($1,358,400) and a decrease for the Executive Office ($1,271,900). For the Information Management Systems Service, the increase in resources for temporary posts ($196,400) is the result of the delayed recruitment factor. With regard to non-post resources ($1,903,200), this is primarily the result of an increase in contractual services ($5,975,600), partially offset by decreases in requirements for furniture and equipment ($3,976,400), general operating expenses ($177,400) and travel of staff ($21,600). For the Legal Office, the increase in resources for posts is the result of the redeployment of three posts (2 P-5 and 1 General Service (Other level)) from the Office of the Chief Executive Officer and the redeployment, for supervisory purposes only, of one post at the P-4 level from the Geneva office. With regard to the Executive Office, the decrease in resources ($1,318,600) is attributable to non-post requirements for general operating expenses, specifically for the rental and maintenance of premises.\",\n \"70. The estimated distribution of resources is shown in table 11 and resource requirements by component in table 12.\",\n \"Table 11 Percentage distribution of resources by component: administrative costs\",\n \"Component Regular budget Extrabudgetary\",\n \"A. Executive direction and management 6.6\",\n \"B. Programme of work (operations, 35.1 100.0 financial services)\",\n \"C. Programme support\",\n \"1. Information Management Systems 44.7 Service\",\n \"2. Legal Office 1.4\",\n \"3. Executive Office 12.2\",\n \"Subtotal C 58.3\",\n \"Total 100.0 100.0\",\n \"Table 12 Resource requirements by component: administrative costs (Thousands of United States dollars)\",\n \"Component 2010/2011 Resource Total Recosting Apportionment 2012-2013 appropriation growth before estimate recosting\\n Amount Percentage United Pension Nations Fund\",\n \"1. Regular budget\",\n \"A. Executive 7 486.9 (1 104.4) (14.8) 6 382.5 9.6 1 197.8 5 194.3 6 392.1 direction and management\",\n \"B. Programme of 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1 work (operations, financial services)\",\n \"C. Support\",\n \"1. Information 41 240.8 2 084.1 5.1 43 324.9 562.4 5 704.7 38 182.6 43 887.3 Management Systems Service\",\n \"2. Legal Office — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2\",\n \"3. Executive 13 110.8 (1 271.9) (9.7) 11 838.9 70.0 3 590.6 8 318.3 11 908.9 Office\",\n \"Subtotal C 54 351.9 2 170.6 4.0 56 522.2 616.2 9 742.7 47 395.7 57 138.4\",\n \"Total 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6\",\n \"2. 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 Extrabudgetary\",\n \"2. Executive direction and management\",\n \"Resource requirements (before recosting): $6,382,500\",\n \"71. The Chief Executive Officer is responsible for managing the Fund, under the authority of the Pension Board, to provide related services to the member organizations and to the participants, retirees and beneficiaries. In providing such services, the Chief Executive Officer must ensure that a framework is in place so that the Fund can operate in the best conditions of security, performance, responsibility and accountability and in full compliance with the highest standards of efficiency, competence and integrity. As part of its responsibility within such a framework, the Fund must deal with an increasingly complex and continuously evolving plan design, as set out in its Regulations and Rules and in its very unique and complex pension adjustment system. The Chief Executive Officer must ensure that the Fund is in position to continuously and accurately weigh its actuarial costs to assess and manage risk, to adapt its plan design and to adjust its processes and procedures to accommodate an ever changing workforce that is clearly affected by long-term societal changes, including increased longevity, while at the same time carrying out its responsibilities in an evolving banking, accounting and regulatory environment.\",\n \"72. The Fund’s member organizations, the number of its participants, retirees and beneficiaries, the financial environment in which it operates and the value of the assets and liabilities under its management have all grown dramatically over the Fund’s 60 year history. The overall number of individuals serviced by the Fund, which amounts to 185,000, is expected to increase steadily in the medium-term and beyond. The international and multiorganizational nature, and the multitiered benefit structure of the Fund will all continue to present new and increasingly intricate and demanding challenges. There has been, and will continue to be, a steady and dramatic increase in the responsibilities and demands being placed on the Fund. In response to the Board’s request for a more strategic approach to the Fund’s human resource requirements and with a view towards identifying its needs in the medium term, the Fund carried out a high-level review that took into account the circumstances and pressing challenges facing the Fund, which was presented to the Pension Board at its 2010 session.\",\n \"Table 13 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To ensure the fullimplementation of the Fund’sprogramme of work in compliancewith Regulations and Rules ofthe Fund and with decisions andguidelines issued by thePension Board and GeneralAssembly\\t(1) Effective management of theFund’s programme of work\\t(1.1) All detailed action plans,projects and studiessuccessfully monitored andimplemented Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \\n Target 2012-2013: 100 per cent (2) Effectivebackstopping/servicing/managementof the Pension Board andCommittees\\t(2.1) No complaints receivedfrom the Pension Board, StandingCommittee, Committee ofActuaries, Audit Committee andWorking Groups about supportprovided Performance measures (number ofcomplaints) 2008-2009: no complaints aboutsupport provided Estimate 2010-2011: nocomplaints about supportprovided \\n Target 2012-2013: no complaints (3) Effective management ofFund-wide governance mechanismsfor human resources, riskmanagement, businesscontinuity/recovery,information technology, newaccounting standards andasset-liability management\\t(3.1) Successful monitoring andimplementation of activitiesdecided by the Working Groupsand Steering CommitteesPerformance measures2008-2009: not applicable Estimate 2010-2011:100 per centof performance indicators \\n\\t2012-2013: 100 per cent ofperformance indicators(4) Effective strategicplanning for the Fund\\t(4.1) Strategic planningexercise conducted every twoyears Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \\n Target 2012-2013: 100 per cent\",\n \"External factors\",\n \"73. Executive Direction and Management is expected to achieve its objective and expected accomplishments on the assumption that adequate human and financial resources are provided.\",\n \"Other outputs\",\n \"74. During the biennium, the following outputs will be delivered:\",\n \"(a) Servicing of intergovernmental and expert bodies: two Pension Board sessions; three meetings of the Committee of Actuaries, and approximately four Working Groups; one joint session of the Committee of Actuaries and the Investments Committee; six meetings of the Audit Committee; four meetings of the United Nations Staff Pension Committee;\",\n \"(b) Drafting of documents: approximately 100 papers for submission to the Pension Board, Committee of Actuaries and Working Groups and 15 notes to the Audit Committee in addition to the technical and administrative servicing of its sessions;\",\n \"(c) Other substantive activities:\",\n \"(i) Efficient succession planning for retiring staff; advance planning to avoid vacancies arising from the retirement of staff and to encumber other vacant posts, owing to staff turnover, within five months of the vacancy being announced;\",\n \"(ii) Efficient administration and control of the following:\",\n \"• Integrated Pension Administration System project\",\n \"• Business continuity and disaster recovery planning\",\n \"• Enterprise-wide risk management\",\n \"• Human resources policy and human resources medium-term plan\",\n \"• Information technology consolidation\",\n \"• Asset liability management study\",\n \"• Business impact analysis\",\n \"• Data warehouse\",\n \"• Procurement Advisory Committee.\",\n \"Table 14 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 3 641.0 2 830.8 11 8\",\n \"Non-post 3 845.9 3 551.7 — —\",\n \"Total 7 486.9 6 382.5 11 8\",\n \"75. The amount of $6,382,500 will provide for the continuation of eight existing posts (1 ASG, 1 D-2, 1 P-5, 2 P-4, 1 P-3, 1 General Service (Principal level) and 1 General Service (Other level)), and non-post resources relate to the Administration as a whole. The reduction of $810,200 in post resources is the result of the redeployment of the three authorized posts (2 P-5 and 1 General Service (Other level)) from the Legal Office to programme support. Non-post resources have decreased owing primarily to reductions in other staff costs ($50,100), travel ($114,500) and consultants ($337,600) and increases in contractual services, attributable to the consulting actuary ($112,000), and general operating expenses for the Fund’s cost-sharing of the cases in the United Nations Appeals Tribunal ($96,000).\",\n \"3. Programme of work\",\n \"Resource requirements (before recosting): $33,968,400\",\n \"76. The programme of work, which includes operations and the financial services of both the New York and Geneva offices, is responsible for the core functions of the Fund, including, but not limited to, the determination of eligibility to participate and the affiliation of new participants into the Fund, along with the recordkeeping of historical personal and financial data, collection and recording of contributions into the Fund, calculation and set up for payment of all pension entitlements, the payment of subsequent pension benefits and all related accounting activities. This programme is also responsible for the client servicing functions in respect to the Fund’s 185,000 active participants, retirees and other beneficiaries.\",\n \"77. It should be recalled that following a recommendation made on the basis of the Whole Office Review that was carried out in 2008, the Chief Executive Officer decided to segregate Operations and the Fund’s Financial Services. It was decided that although there was an important link between the calculation and processing of entitlements as carried out by Operations, and the payment of and accounting for the ensuing benefits as carried out by the Financial Services, there should nevertheless be a distinct and separate segregation of the functions. Operations focuses on the integrity of the calculation, which, once established, remains valid for the lifetime of the retiree and any eligible survivor. Financial Services focuses on the integrity of the payment. By separating these functions and establishing Financial Services as separate and distinct from Operations, clear responsibility was established and greater accountability was institutionalized between these two core functions of the Fund that make up the programme of work.\",\n \"Operations\",\n \"78. Operations comprises the Pension Entitlements Sections and the Client Services, Records Management and Distribution work units in both the New York and Geneva offices. The Chief of Operations is responsible for the management and direction of the service in accordance with the goals set out in the Fund’s Management Charter and for ensuring adherence to the Fund’s Regulations, Rules and Pension Adjustment System, while duly operating within specific quality management, internal control and communications policies. Operations expects to process in excess of 55,000 new participants, separations and transfers in and out of the Fund during the biennium 2012-2013.[1] It also expects to process some 6,000 pension benefits after initial separation from service, which are among the most complex, and thus time-consuming, benefits to process (i.e., death after service, survivor benefits that sometimes involve multiple spouses residing in various locations, residual settlements, deferred benefits into payment, two-track cases that sometimes involve reversion to the United States dollar track, benefits payable to surviving divorced spouses, surviving spouse annuities, special measure cases, etc.). In addition to some 225,000 benefit estimates provided through the Fund’s website (i.e., during 2010), Operations also expects to provide during the next biennium some 5,500 individual benefit estimates that often involve personal consultations. During the biennium 2012-2013, the service also expects to dispatch, track and record upon receipt over 100,000 certificates of entitlement and to scan over 1,200,000 documents into the Fund’s content management system.\",\n \"Table 15 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To ensure that all eligibleparticipants, retirees andother beneficiaries areserviced in accordance with theRegulations, Rules and PensionAdjustment System of the Fund,while fully adhering to thecommunications, qualitymanagement and internal controlpolicies as outlined in theFund’s management charter\\t(1) Effective processing ofPension Fund benefitentitlements\\t(1.1) Increased percentage ofwithdrawal settlements,retirement benefits and otherbenefits processed within15 business days Performance measures forprocessing full withdrawalsettlements, periodic retirementbenefits and lump-sumcommutation benefits (Benchmark: 15 business days) 2004-2005: 72 per cent of casescompleted within 15 days 2006-2007: 79 per cent of casescompleted within 15 days 2008-2009: 80 per cent of casescompleted within 15 days Estimate 2010-2011: 77 per centof cases completed within 15days \\n\\tTarget 2012-2013: 80 per cent ofcases completed within 15 days(2) Enhanced quality ofclient-oriented services to thePension Fund clientele\\t(2.1) Increased percentage ofincoming correspondence throughmail and e-mail responded towithin 15 business days Performance measures (Benchmark: 15 business days) 2004-2005: 31 per cent ofqueries responded to within15 business days 2006-2007: 55 per cent ofqueries responded to within15 business days 2008-2009: 75 per cent ofqueries responded to within15 business days Estimate 2010-2011: 82 per centof queries responded to within15 business days \\n\\tTarget 2012-2013: 82 per cent ofqueries responded to within 15business days(3) Improved communication\\t(3.1) Increased number ofbriefings and seminars forparticipants, beneficiaries,staff pension committees andcounterparts among finance andhuman resources staff ofparticipating organizations Performance measures 2008-2009: not applicable Estimate 2010-2011: 65 \\n Target 2012-2013: 75\",\n \"External factors\",\n \"79. Operations is expected to achieve its objectives on the assumption that adequate human and financial resources are available. Recognition must therefore be given to the critical juncture in the evolution of the Fund that is outside its control. The Fund is experiencing rapid growth in the population it services. At the same time, improvements in longevity are resulting in the ageing of the Fund’s clientele, which in turn often requires more extensive consultations and other special client servicing needs.\",\n \"Outputs\",\n \"80. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Process during the biennium an estimated 18,000 withdrawal settlements and retirement benefits;[2]\",\n \"(b) Process an estimated 6,000 other benefits after initial retirement benefit (i.e., survivor, child, two-track benefits, etc.);\",\n \"(c) Determine eligibility and affiliation into the Fund of some 30,000 new participants;\",\n \"(d) Dispatch, track and record upon receipt some 100,000 certificates of entitlement;\",\n \"(e) Respond to an estimated 15,000 inquiries by mail and e-mail;\",\n \"(f) Receive and provide services to an estimated 11,000 walk-in clients;\",\n \"(g) Pre-implementation tasks, such as data cleansing and quality management, documentation of procedures, algorithms and subsequent transition to the Integrated Pension Administration System platform;\",\n \"(h) Efficient recording, monitoring and enhancement of the controls of its client interfaces;\",\n \"(i) Review, assessment, development and implementation of a client relationship management system;\",\n \"(j) Review and development of enhanced training materials for workshops and seminars that are to be provided to Fund staff (in both the New York and Geneva offices), participants, retirees and other beneficiaries, as well as to the Staff Pension Committee secretariats and other human resources staff of member organizations;\",\n \"(k) Development and implementation of a secure signature system to add graphical signatures for comparison purposes to the electronic folders of each individual being serviced by the Fund;\",\n \"(l) Enhancement of the controls and a redesign of the certificate of entitlement form, with further efforts to streamline the overall certification process;\",\n \"(m) Enhancement and continued development of performance data for both internal requirements and the various oversight bodies;\",\n \"(n) Enhancement of outreach capabilities through seminars and training to be provided to participants, retirees and other beneficiaries, Staff Pension Committee secretariats, various subcommittees (including both advisory and working groups) and members of the Board.\",\n \"Financial services\",\n \"81. The Financial Services Section provides comprehensive services through its Payments, Accounts and Cashier/Cash Management Units, and is accountable for all financial, accounting and disbursement operations of the Fund. The Fund’s annual financial transactions amount to some $3.8 billion (considering both benefit payments and contribution collections). Every month, the Fund processes approximately 62,000 (as of the 2009 audited financial statements of the Fund) periodic benefit payments in 15 currencies and effects payments to retirees and other beneficiaries residing in over 190 countries. The Section is also responsible for producing accurate and timely financial statements for the Fund as a whole, including the Investment Management Division, and for liaising and coordinating with both internal and external auditors with regard to the financial aspects of the Fund.\",\n \"Table 16 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To ensure the timely, accurateand secure payment of benefitsand full accountability forall financial, accounting, anddisbursement operations of theFund, including the issuanceof accurate and timelyfinancial statements andliaison with both internal andexternal auditors regardingfinancial matters\\t\\n(1) Effective management ofbenefit payments\\t(1.1) Timely issuance of thePension Fund payroll Performance measures 2008-2009: 1,200,000 Estimate 2010-2011: 1,300,000 \\n Target 2012-2013: 1,400,000 \\n\\t(1.2) Timely, accurate and securepayment of Pension Fund periodicbenefit payments Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \\n Target 2012-2013: 100 per cent \\n\\t(1.3) Timely, accurate and securepayment of Pension Fundnon-periodic benefit payments (15days of receipt of appropriatedocuments for payments related tobenefit reinstatements and 30days for all other payments) Performance measures (Payments related to benefitreinstatements made within 15days of receipt of theappropriate documents; all otherpayments within 30 days ofreceipt) 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \\n Target 2012-2013: 100 per cent \\n(2) Enhanced quality andconsistency of contributionrecording, including timelyreconciliation of participantreconciliation exception casesthat arise from the year-endprocess\\t(2.1) Number of resolvedparticipant reconciliationexceptions Performance measures 2008-2009: 9,000 Estimate 2010-2011: 10,000 \\n Target 2012-2013: 11,000 \\n\\t(2.2) All participant recordsverified within six weeks ofreceipt of year-end schedule Performance measures (Verify records for allparticipants within six weeks ofreceipt of year-end schedule) 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \\n Target 2012-2013: 100 per cent \\n(3) Provision of quality andconsistent financialstatements and establishmentof policies and procedures toimplement appropriateIPSAS/International AccountingStandards\\t(3.1) Timely provision offinancial statements (draftstatement issued by 15 April ofthe following year) Performance measures (draft statement issued by 15April of the following year) 2008-2009: by the due date Estimate 2010-2011: by the duedate \\n Target 2012-2013: by the due date\\n\\t(3.2) Increased percentage ofIPSAS/ International AccountingStandards and disclosurerequirements adopted Performance measures 2008-2009: not applicable Estimate 2010-2011: beginadoption of certain IPSAS/International AccountingStandards and disclosurerequirements \\n\\tTarget 2012-2013: Full adoptionof IPSAS/ InternationalAccounting standards for 2012financials. Annual auditsanticipated.\",\n \"External factors\",\n \"82. This subprogramme is expected to achieve its objectives unless affected by events such as: (a) political conflicts and natural disasters around the world causing interruption of banking services available to pensioners; (b) unanticipated system implementation delays causing IPSAS financial statement information to be delayed; and (c) growth of the Fund, leading to inadequate staffing resources to properly serve the pensioners.\",\n \"Outputs\",\n \"83. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Production of three sets of financial statements and associated documents; preparation of updated financial statements in the light of the change from United Nations system accounting standards to full adoption of IPSAS and International Accounting Standard 26 for the 2012 financial statements;\",\n \"(b) Reduction in the number of outstanding audit observations between reports (allowing for additional observations arising in the interim) on the areas under supervision and technical accounting issues;\",\n \"(c) Full reconciliation for all remitting entities to be produced in the specified timeframe of six months following the submission of the year-end schedules;\",\n \"(d) Full reconciliation of the data held in the master separation file records to payroll history records for the annual and biennial close;\",\n \"(e) Conduct presentations and training on contribution related participant reconciliation exceptions issues in New York and Geneva and with large reporting entities;\",\n \"(f) Bank reconciliations for all accounts to be completed on a monthly basis in a timely manner;\",\n \"(g) Comply, on a timely basis, to any updated banking requirements regarding payments to pensioners;\",\n \"(h) With regard to payments to pensioners:\",\n \"(i) Ensure timely receipt of pensioner payments;\",\n \"(ii) Reduce banking fees to the Fund;\",\n \"(iii) Reduce or eliminate bank charges to pensioners wherever possible.\",\n \"Table 17 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2012 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 27 874.7 28 626.2 137 136\",\n \"Non-post 2 595.3 5 342.2 — —\",\n \"Subtotal 30 470.0 33 968.4 137 136\",\n \"Extrabudgetary 158.2 152.9 1 1\",\n \"Total 30 628.2 34 121.3 138 137\",\n \"84. The amount of $34,121,300 will provide for the continuation of 137 posts; 124 established posts (3 D-1, 3 P-5, 9 P-4, 13 P-3, 1 P-2, 8 General Service (Principal level) and 87 General Service (Other level)); one General Service (Other level) post funded from extrabudgetary resources; 12 temporary posts (6 P-4, 2 P-3, 4 General Service (Other level)) and the redeployment of one Legal Officer post at the P-4 level in the Geneva office under the control of the Legal Office, and for non‑post requirements. The increase in non-post resources relates to higher requirements for consultants ($100,000) and general operating expenses ($2,846,300), partially offset by a decrease in general temporary assistance ($199,400). The large increase in general operating expenses is owing entirely to bank charges that were deducted from the proposed budget for 2010-2011 by the Pension Board.\",\n \"85. At its 186th meeting, the Standing Committee reviewed a note on the after-service health insurance premium deduction programme undertaken by the Fund. As a result, extrabudgetary resources referred to above were approved and funded by participating member organizations at no cost to the Fund.\",\n \"4. Programme support\",\n \"Information Management Systems Service\",\n \"Resource requirements (before recosting): $43,324,900\",\n \"86. Under the guidance of the Pension Fund governance model for information and communications technology, the Information Management Systems Service is responsible for the Fund’s information system services, maintaining information and communications technologies, coordinating the implementation of strategic decisions taken by the Information Technology Executive Committee, establishing training plans for information and communications technology staff and providing the necessary tools for supporting knowledge exchange and cooperative work.\",\n \"87. The Service is responsible for the provision of overall computing office automation; software/systems design, development and implementation; hardware support; telecommunications; shared infrastructure services, including the Investment Management Division; supervision and technical leadership of information technology operations in the Geneva office of the Fund; and management of resources, infrastructure and conference support.\",\n \"Table 18 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To facilitate the achievementof the operational andstrategic goals of the Fundthrough the efficient andeffective use of informationand communications technology\\t(1) Progress in modernizing theFund’s information systemsplatform\\t(1.1) The enterprise informationtechnology architecture thatsupports the redesigned businessprocesses Performance measures 2008-2009: not applicable Target 2010-2011: projectdeliverables completed accordingto milestone dates \\n\\tTarget 2012-2013: projectdeliverables completed accordingto milestone dates\\n(2) Increased efficiency andeffectiveness in serviceprovided to clients\\t(2.1) Percentage of time wheninformation technology servicesare available to clients Performance measures 2008-2009: 99 per cent Estimate 2010-2011: 99 per cent \\n Target 2012-2013: 99 per cent \\n(3) Improved informationtechnology services\\t(3.1) Percentage of informationtechnology systems atsatisfactory level (or above) ofsupport Performance measures 2008-2009: 95 per cent Estimate 2010-2011: 95 per cent \\n Target 2012-2013: 95 per cent \\n(4) Increased use of electronicrepositories for sharinginformation\\t(4.1) Percentage of InformationManagement Systems Servicedocumentation available withinthe knowledge management system Performance measures 2008-2009: 80 per cent Estimate 2010-2011: 95 per cent \\n Target 2012-2013: 95 per cent \\n(5) Increased informationsecurity\\t(5.1) Percentage increase incompliance, for the defineddeliverables as per theInternational Organization forStandardization 17799 securitystandards, measured annually Performance measures 2008-2009: 78 per cent Estimate 2010-2011: 90 per cent \\n Target 2012-2013: 90 per cent \\n(6) Improved sharing ofelectronic information withparticipants, beneficiaries andother clients\\t(6.1) Percentage of participantssharing human resourcesinformation electronically Performance measures 2008-2009: 75 per cent Estimate 2010-2011: 80 per cent \\n Target 2012-2013: 80 per cent \\n\\t(6.2) Percentage of participantssharing financial informationelectronically Performance measures 2008-2009: 10 per cent Estimate 2010-2011: 20 per cent \\n Target 2012-2013: 30 per cent\",\n \"External factors\",\n \"88. This subprogramme is expected to achieve its objectives and accomplishments on the assumption that: (a) the evolution of technology is in line with expectations; (b) resources both internal and outsourced are made available to meet critical targets; and (c) stakeholders fulfil their responsibilities and obligations and extend their full cooperation in attaining the objectives of the information and communications technology strategy, most importantly during the process review and redesign stages of activity.\",\n \"Outputs\",\n \"89. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"Enterprise operations services\",\n \"(a) Translating the organization’s functional and operational requirements into the effective and efficient acquisition and implementation of information and communications technology architecture for the proposed Integrated Pension Administration System initiative with a focus on improving the management of information and the efficiency of the Fund’s operations;\",\n \"(b) Policies. Ensuring that all information and communications technology services delivered by the Information Management Systems Service meet the expectations of the Fund’s Information Technology Executive Committee and relevant industry standards to the extent possible (e.g., Information Technology Infrastructure Library); enforcing network security in line with International Organization for Standardization security standard ISO-20002 for the Fund’s information and communications technology infrastructure;\",\n \"(c) Communications. Provision of backbone communications services, including Internet, private leased lines, telecommunication devices and equipment, and the required communication lines that are used for connecting the various offices of the Fund, including the Fund secretariat, the Geneva office, the Investment Management Division and the newly established information technology infrastructure hosting arrangement with the International Computing Centre; upgrading the New York backbone network infrastructure with robust capabilities to support users with diverse requirements for high-speed mission-critical data, voice and video traffic to the desktop;\",\n \"(d) Information and communications technology infrastructure services. Multishift operations, management and maintenance of Information and Communications Technology Infrastructure Services, such as server management, middleware management, and data backup in New York, New Jersey, and Geneva to support the operations of the Fund. Monitoring applications, equipment, network loads and traffic from the command centre to prevent failure of services. They will also ensure that software versions are at current levels where practical and, if necessary, perform systems upgrades using software development life-cycle methodologies;\",\n \"(e) Infrastructure architecture services. Developing and implementing information and communications technology infrastructure based on best technology standards and practices that will emphasize integration, interoperability, modularity and scalability with a periodic technology refresh; provide a guide to information technology decision makers, lower costs of information technology through reduced support costs and economies of scale;\",\n \"(f) User support/help desk. Provide technical, operational and help desk support for applications, servers, personal computers and mobile devices connected to the Pension Fund networks; provide infrastructure support for approved software applications, such as productivity systems, e-mail, knowledge management systems and custom applications; operation of and the provision of support to conference room facilities and equipment, including video/audio and projection functions;\",\n \"(g) Messaging. Provision and maintenance of electronic messaging services, including e-mail, videoconferencing services and unified messaging; provision and maintenance of mobile messaging and communications for handheld devices and services.\",\n \"Enterprise applications services\",\n \"(a) Development. Maintain systems that enhance productivity and efficiency by incorporating those that reduce manual processing of benefits; enhance participant and beneficiary processing and relate to banking, accounting system and workflow interfaces;\",\n \"(b) Enterprise systems maintenance. Maintain and enhance enterprise systems for core business applications, including pension administration, accounting and content management;\",\n \"(c) Maintenance of member organization information-sharing. Provision and maintenance of member organization information-sharing for the data collection of human resources and financial information, maintenance of custom interfaces and systems programmes to enhance human resources and financial data collection with the various enterprise resource planning interfaces used by organizations, and maintenance of electronic file transfer interface to securely support the sharing and translation of information.\",\n \"Enterprise data services\",\n \"(a) Database administration. Implement, maintain and enhance the availability of Pension Fund databases across various information technology platforms; perform database upgrades; monitor usage and resolve problems; create new tables and views; identify data integrity issues; and support system development activities as they relate to database access in line with business requirements;\",\n \"(b) System programming. Implement and maintain database systems and host computer operating systems and programmes to the extent necessary to provide mission-critical data to various applications and interfaces;\",\n \"(c) Data warehouse support. Implement, maintain and enhance the availability of the data warehouse system; provide data cleansing and federation across various platforms;\",\n \"(d) Management reporting. Implement, maintain and enhance management reporting using business intelligence tools.\",\n \"Enterprise Security Services\",\n \"(a) Information security. Periodic security risk assessments of technological structures and operations of the Pension Fund offices in New York and Geneva and securing the network using various security tools, including firewalls, anti-spam and anti-virus solutions;\",\n \"(b) Identity management. Provide the ability to centrally manage the provisioning and deprovisioning of identities, and consolidate the proliferation of identity repositories;\",\n \"(c) Disaster recovery. Formulate, adopt and implement a multi-year disaster recovery strategy to support Pension Fund business continuity requirements.\",\n \"Enterprise project management services\",\n \"(a) Governance. Enhance and implement the programme management infrastructure with strong governance utilizing the model established by the governing bodies of the Information Management Systems Service;\",\n \"(b) Project management methodology. Provide guidance in project management processes and methodologies in a manner that is efficient, consistent and standardized;\",\n \"(c) Project management support. Update, monitor and maintain the project portfolio in accordance with project management methodologies; provide mentoring and coaching in an effort to raise the project management maturity level of the organization;\",\n \"(d) Audit governance. Manage and comply with internal and external audit observations as they relate to information and technology services.\",\n \"Enterprise quality and production control services\",\n \"(a) Quality standardization. Identify and document the requirements for various quality standards for implementation within the Information Management Systems Service;\",\n \"(b) Change management. Identify and implement a complete change management framework with proper segregation of duties;\",\n \"(c) Service level and delivery agreements. Compile statistics and manage all service level and delivery agreements of the Information Management Systems Service;\",\n \"(d) Production control. Oversee the quality assurance function to ensure that all systems are placed into the production environment only after undergoing a comprehensive evaluation and user acceptance test.\",\n \"Contract management services\",\n \"Monitor and manage the various components of the budget of the Information Management System Service; provide administrative support to information and communications technology services, including the identification of available resources, the entry of pre-encumbrances and the processing of requisitions, purchase orders and related invoices; account for the assets of the Service; manage vendor relationships, including those with technology partners, contractors and outsourcers; provide expert level knowledge in the development of generic specifications for technology procurement; work directly with the United Nations Procurement Service to ensure that value-added solutions are provided at the lowest possible cost.\",\n \"Table 19\",\n \"Resource requirements\",\n \"Category Resources Posts (thousands of United States dollars)\\n 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 8 426.7 8 607.6 32 31\",\n \"Non-post 32 814.1 34 717.3 — —\",\n \"Total 41 240.8 43 324.9 32 31\",\n \"90. The amount of $43,324,900 will provide for the continuation of 31 posts; 26 established posts (1 D-1, 2 P-5, 6 P-4, 10 P-3, 1 General Service (Principal level) and 6 General Service (Other level)); 5 temporary posts (1 P-5, 1 P-4, 2 P-3 and 1 General Service (Other level)) and non-post resources. One temporary post at the P-4 level was authorized for 12 months only, and this post was abolished in 2011. The increase in non-post resources ($1,903,200) is attributable primarily to other staff costs ($127,000) and contractual services ($5,975,900), partially offset by decreases in requirements for furniture and equipment ($3,976,400), travel of staff ($21,600) and general operating expenses ($177,400). The total resources requested for the Integrated Pension Administration System project in the amount of $12,661,400 is attributable to contractual services ($11,466,300) and temporary posts ($1,195,100).\",\n \"Legal Office\",\n \"Resource requirements (before recosting): $1,358,400\",\n \"91. The Legal Office continues to provide unified legal service for the Fund’s management and operations in the New York and Geneva offices. It will provide substantive, procedural and administrative support to the Audit Committee and the Standing Committee (appeals) of the Pension Board as well as to the United Nations Staff Pension Committee (disability cases). The Office will ensure that the Fund’s operations comply with the Regulations and Rules of the Fund and that the Regulations are consistently interpreted. In addition to all sections and offices in the secretariat of the Fund, legal services and support are provided to participants and retirees and/or their legal representatives in regard to the application of the Fund’s Regulations and Rules in individual cases. The Office has focused on a new approach to the documentation and dissemination of legal precedents, rulings and policy decisions. Such promotion of knowledge-sharing facilitates the efficient use of legal information and experience accumulated by the Legal Office, enhances the use of best practices, and enables managers and staff to take into account legal risks in their daily decision-making.\",\n \"Table 20\",\n \"Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To protect the legal interestsof the Fund and to provideexpert legal advice on PensionFund matters to the ChiefExecutive Officer, the PensionBoard and Standing Committeeand other governance bodies ofthe Pension Fund\\t\\n(1) Improved uniformity andconsistency in the applicationof the Regulations, Rules andPension Adjustment System ofthe Pension Fund\\t(1.1) Reduced number of requestsfor review and appeals where theFund’s position is not upheld byeither the Standing Committee orthe Appeals Tribunal Performance measures 2008-2009: 90 per cent of casesupheld Estimate 2010-2011: 100 per centof cases upheld \\n\\tTarget 2012-2013: 100 per centof cases upheld\\n(2) Modernized and improvedcommunication andknowledge-sharing in respect oflegal matters\\t(2.1) The number of legaldecisions and jurisprudencedocumented and disseminatedusing the Pension Fund CaseDigest and other knowledgemanagement tools Performance measures 2008-2009: not applicable Estimate 2010-2011: 100 per centof Standing Committee andTribunal cases, 10 per cent oflegal rulings codified \\n\\tTarget 2012-2013: 100 per centof Standing Committee andTribunal cases, 30 per cent oflegal rulings codified(3) Improved organizational andprocedural aspects of meetingservicing, as well as enhancedsubstantive support to themembers of the Committees\\t(3.1) The satisfaction of themembers of the Pension Board,Standing Committee, AuditCommittee and the United NationsStaff Pension Committeeconcerning the level and qualityof substantive secretariatservices Performance measures 2008-2009: no complaints aboutsupport Estimate 2010-2011: nocomplaints about support \\n\\tTarget 2012-2013: no complaintsabout support\",\n \"External factors\",\n \"92. The Legal Office is expected to achieve its objective and expected accomplishments on the assumption that: (a) the Fund’s committees, Pension Board, member organizations, operational staff and management will seek legal advice when the legal interests or liabilities of the Fund are affected by their activities and operations; (b) legal advice is sought in a timely manner and clients provide sufficient information for legal analysis and will be guided by the advice rendered; and (c) the required human and financial resources will be made available.\",\n \"Outputs\",\n \"93. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Provision of advice on questions relating to interpretation and application of the Fund’s Regulations, Administrative Rules and Pension Adjustment System, provision of operational support in respect of administrative polices and procedures;\",\n \"(b) Provision of advice on and, as appropriate, supervision and oversight of the review, negotiation and drafting of agreements and other legal instruments with member organizations, as well as other international and intergovernmental organizations;\",\n \"(c) Provision of advice and preparation of documentation regarding institutional and operational modalities, legal submissions and other legal documents; preparation of respondent’s answers to the United Nations Appeals Tribunal in cases concerning pension matters (10 instances);\",\n \"(d) Preparation of legal publications or communications to Fund participants/beneficiaries, pension secretariats and administrations of member organizations, including the relevant material for the Fund’s website;\",\n \"(e) Servicing of the meetings of the United Nations Staff Pension Committee, Standing Committee and Audit Committee, including streamlining and modernizing information-sharing, by electronic dissemination of documents through web-based Quick Places and the other knowledge management tools of the Fund:\",\n \"(i) Provision of advice on rules of procedure, interpretation and implementation of resolutions and Pension Board/Committee decisions;\",\n \"(ii) Substantive, technical and administrative servicing of the meetings of the Standing Committee (2 instances), including the preparation of approximately 12 requests for review and appeals; analysis of legal issues and the preparation of reports and documentation;\",\n \"(iii) Substantive, technical and administrative servicing of the meetings of the United Nations Staff Pension Committee (4 instances); preparation of applications for disability benefits (approximately 140 new adult cases, 40 child cases and approximately 190 review cases and 2 appeals cases); preparation of reports and documentation;\",\n \"(iv) Substantive, technical and administrative servicing of the meetings of the Audit Committee (6 instances), including the coordination of preparation of documentation and reports;\",\n \"(f) Codification and systematic dissemination of the jurisprudence of the Standing Committee and Administrative Tribunal cases as well as other legal reference files, opinions, policy decisions and guidelines;\",\n \"(g) Liaison with member organizations of the Fund, their Staff Pension Committees and other international organizations on issues related to legal questions in pension schemes;\",\n \"(h) Representation of the Fund at international or regional meetings, inter-agency meetings and meetings of legal advisers of member organizations, and participation in various standing boards, committees, ad hoc working groups and task forces, as required.\",\n \"Table 21\",\n \"Resource requirements\",\n \"Category Resources Posts (thousands of United States dollars)\\n 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post — 1 358.4 — 4\",\n \"Non-post — —\",\n \"Total — 1 358.4 — 4\",\n \"94. In order to more clearly analyse programme support, the Legal Office has been segregated from the Office of the Chief Executive Officer and redesignated as a subprogramme of programme support. The amount of $1,358,400 provides for the continuation of four posts, three redeployed from the Office of the Chief Executive Officer (2 P-5 and 1 General Service (Other level)) and one from the Geneva Office (1 P-4, Legal Officer). The latter will be located in Geneva.\",\n \"Executive Office\",\n \"Resource requirements (before recosting): $11,838,900\",\n \"95. The Executive Office provides the administrative and programme support necessary for the implementation of the activities of the Fund. It assists the Chief Executive Officer and the Director of the Investment Management Division in the preparation of the biennial budget submission and provides the relevant support services for the efficient utilization of human and financial resources. It also provides a general administration and facilities management service.\",\n \"Table 22\",\n \"Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To facilitate the achievementof the operational andstrategic goals of the Fundthrough efficient andeffective administrative andprogramme support\\t\\n(1) Timely recruitment andplacement of staff\\t(1.1) Reduction in the averagenumber of working days a postremains vacant Performance measures 2008-2009: 200 days Estimate 2010-2011: 180 days \\n Target 2012-2013: 150 days \\n\\t(1.2) Increased percentage ofwomen in posts at theProfessional level and above forappointments of one year or more Performance measures 2008-2009: 32 per cent Estimate 2010-2011: 39 per cent \\n Target 2012-2013: 45 per cent \\n(2) Improved versatility ofstaff by internal and externaltraining\\t(2.1) Increased production ofbespoke learning coursesavailable Performance measures 2008-2009: 30 Estimate 2010-2011: 38 \\n Target 2012-2013: 48 \\n\\t(2.2) Increased staffparticipation in and successfulcompletion of learning and careerdevelopment programmes Performance measures 2008-2009: 618 Estimate 2010-2011: 700 \\n Target 2012-2013: 700 \\n(3) Improved management andmonitoring of the Fund’sadministrative budget\\t(3.1) Reduce unliquidatedobligations and cancellation ofprior-period obligations as apercentage of finalappropriations Performance measures 2008-2009: not applicable Estimate 2010-2011: 9 per cent \\n Target 2012-2013: 8 per cent \\n(4) Enhanced quality andtimeliness of facilities andproperty services\\t(4.1) Decreased working days lostdue to downtime of buildingfacilities Performance measures 2008-2009: zero Estimate 2010-2011: zero \\n Target 2012-2013: zero\",\n \"External factors\",\n \"96. The Executive Office is expected to achieve its objective and expected accomplishments on the assumption that the required human and financial resources are made available.\",\n \"Outputs\",\n \"97. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Human resources management:\",\n \"(i) Provision of policy advice to all staff on all issues relating to human resources management;\",\n \"(ii) Manage tracking data of job openings for hiring managers to support recruitment targets;\",\n \"(iii) Report on electronic Performance Appraisal System compliance data to directors;\",\n \"(iv) Schedule interviews for all INSPIRA and temporary vacancy announcement recruitment;\",\n \"(v) Deal with issues related to staff-management relations (rebuttal panels, etc.);\",\n \"(b) Staff training and career development:\",\n \"(i) Develop Fund-specific courses and facilitate knowledge transfer for a learning management system platform in coordination with the Information Management Systems Service;\",\n \"(ii) Arrange training courses on Fund premises;\",\n \"(iii) Monitor and track mandatory courses for all staff;\",\n \"(iv) Induct all new staff into the Fund;\",\n \"(v) Provide career development advice;\",\n \"(c) Administration:\",\n \"(i) Provide day-to-day administrative support to the staff of the Fund;\",\n \"(ii) Maintain the staffing table;\",\n \"(iii) Process General Service and Professional personnel actions to meet payroll each month;\",\n \"(iv) Renew staff contracts two months prior to expiration by alerting supervisors for recommendations;\",\n \"(v) Analyse individual staff cases of benefits and entitlements in accordance with United Nations policy and action any change or update to individual benefits and entitlements;\",\n \"(vi) Provision of certified business travel to the Fund staff and associated personnel;\",\n \"(vii) Arranging travel for United Nations members of the Pension Board and members of the Audit Committee and Committee of Actuaries and the staff of the Fund;\",\n \"(viii) Maintain time and attendance records;\",\n \"(ix) Maintenance of Quick Place website for Audit Committee members to access documentation related to meetings;\",\n \"(d) Finance and Budgetary Control:\",\n \"(i) Provide guidance to programme managers on, and completion of the Fund’s biennial and revised budgets;\",\n \"(ii) Issuance and revision of allotments;\",\n \"(iii) Certification of all expenditures;\",\n \"(iv) Monitoring and reporting expenditure to programme managers on a monthly basis;\",\n \"(v) Provision of advice and guidance on the application of the Financial Regulations and Rules to programme managers;\",\n \"(vi) Control of the administrative budget, including verification of invoices prior to payment;\",\n \"(vii) Completion of schedule I (Status of appropriations in relation to administrative expenses) of the Fund’s annual financial statement;\",\n \"(viii) Reconciliation of administrative expenses between the Fund and United Nations Secretariat;\",\n \"(e) Facilities and property management:\",\n \"(i) Ensure that facilities are maintained and are in operational condition;\",\n \"(ii) Coordinate with building management and vendors for any required repairs;\",\n \"(iii) Manage contracts relating to the office space;\",\n \"(iv) Provide support in the planning and configuration of new and existing office space;\",\n \"(v) Maintain and support the asset/inventory management system for fixed assets of the Fund;\",\n \"(vi) Coordinate disposal of obsolete equipment and furniture;\",\n \"(vii) Maintain and support the Fund emergency notification system;\",\n \"(viii) Maintain emergency contact information for staff of the Fund for security/emergency action purposes.\",\n \"Table 23 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 1 659.3 1 718.6 7 7\",\n \"Non-post 11 451.5 10 120.3 — —\",\n \"Total 13 110.8 11 838.9 7 7\",\n \"98. The amount of $11,838,900, representing a decrease of $1,271,900, provides for the continuation of seven posts (1 P-5, 1 P-4, 1 P-3 and 4 General Service (Other level)) and the reclassification of one P-3 post as a P-4 post, and for non-post requirements for the Administration as a whole. The decrease in non-post resources of $1,331,200 is due primarily to a decrease in the rental and maintenance of premises as a result of the use of more accurate estimates.\",\n \"C. Investment costs\",\n \"1. Overview\",\n \"99. The Investment Management Division assists the Secretary-General, under the authority delegated by the Representative of the Secretary-General in accordance with article 19 of the Regulations of the United Nations Joint Staff Pension Fund, in the management of the investment of the Fund’s assets. It is responsible for the day-to-day management of those assets, implementing the approved investment strategy and ensuring that the portfolio conforms to the approved asset allocation, policies and Regulations and Rules of the Fund. Its mandate is to generate the total amount of portfolio returns required to meet the liability demands of the Fund while staying under the Fund’s risk threshold. The Division ensures that performance and portfolio risk analysis reports are accurate and up to date, and arranges for the maintenance of appropriate and accurate accounts on the Fund’s investments. The main sections of the Division are: the Office of the Director, the Investment Section, the Risk and Compliance Section, the Operations Section and the Information Systems Section.\",\n \"100. The overall level of resources for the Investment Management Division amounts to $91,799,300 before recosting, reflecting a net increase of $10,601,800, or 13.1 per cent, compared with the revised appropriations for the 2010-2011 biennium. The net increase, as shown in table 25, can be summarized as follows:\",\n \"(a) Executive direction and management: the decrease of $1,567,900 relates to the decrease in non-post costs, comprising primarily decreases in travel ($1,382,200), consultants ($2,028,800) and other staff costs ($1,665,100), which have been requested under the relevant programme, offset by an increase in posts ($508,200) due to the redeployment of one P-4 Legal Officer from the Risk and Compliance Section and one General Service (Other level) post from the Operations Section and contractual services ($3,000,000);\",\n \"(b) Programme of work: the increase of $7,451,700 is attributable to six additional posts offset by the redeployment of two posts to the Office of the Director ($1,115,100) and non-post resources of $6,336,600, attributable to contractual services ($2,772,200); in addition, other staff costs ($1,416,200), travel of staff ($1,271,200) and consultants ($877,000), all of which were requested under executive direction and management in previous submissions, have been requested under programme of work;\",\n \"(c) Programme support: the net increase of $4,718,000 for the Information Systems Section ($5,794,500) is attributable to one additional post ($863,600), an increase in contractual services ($4,040,000), other staff costs ($779,300) and travel ($111,000), the latter two of which were requested under executive direction and management in prior submissions, which is offset in part by a decrease in administrative support of $1,076,500 under rental and maintenance of premises due to the completion of the renovation of the thirtieth floor of 1 Dag Hammarskjöld Plaza for the Division.\",\n \"101. The estimated distribution of resources is shown in table 24, and resource requirements by component are shown in table 25.\",\n \"Table 24 Percentage distribution of resources by component\",\n \"Component Regular budget\",\n \"A. Executive direction and management 7.7\",\n \"B. Programme of work\",\n \"1. Investments 53.9\",\n \"2. Risk and compliance 2.9\",\n \"3. Operations 12.0\",\n \"Subtotal, programme of work 68.8\",\n \"C. Support\",\n \"1. Information Systems Section 19.1\",\n \"2. Administrative support 4.4\",\n \"Subtotal, programme support 23.5\",\n \"Total 100.0\",\n \"Table 25 Resource requirements by component\",\n \"(Thousands of United States dollars)\",\n \"Component 2010-2011 Resource Total Recosting Apportionment 2012-2013 appropriation growth before estimate recosting\\n Amount Percentage United Pension Nations Fund\",\n \"A. Executive 8 654.2 (1 567.9) (18.1) 7 086.3 52.33 — 7 138.6 7 138.6 direction and management\",\n \"B. Programme of work\",\n \"1. Investments 51 568.3 (2 091.7) (4.1) 49 476.6 655.8 — 50 132.4 50 132.4\",\n \"2. Risk and 1 931.6 680.1 35.2 2 611.7 (19.2) — 2 592.5 2 592.5 compliance\",\n \"3. Operations 2 178.5 8 863.3 406.9 11 041.8 179.9 — 11 221.7 11 221.7\",\n \"Subtotal, B 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6\",\n \"C. Support\",\n \"1. Information 11 777.3 5 794.5 49.2 17 571.8 253.2 — 17 825.0 17 825.0\",\n \"2. 5 087.6 (1 076.5) (21.2) 4 011.1 16.9 — 4 028.0 4 028.0 Administrative\",\n \"Subtotal, C 16 864.9 4 718.0 28.0 21 582.9 270.1 — 21 853.0 21 853.0\",\n \"Total 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2\",\n \"2. Executive direction and management\",\n \"Resource requirements (before recosting): $7,086,300\",\n \"102. The Director of the Investment Management Division sets forth the framework under which the sections of the Division establish their strategies and priorities to ensure that the Division carries out its mandate, while guaranteeing the best possible conditions of security, performance, responsibility and accountability and ensuring full compliance with the highest standards of efficiency, competence and integrity. The Director promotes the controlled, efficient and effective management of the assets of the Fund through a workplan designed to reflect the long-term goals and priorities of the Division and of the Fund as a whole. The Director leads the Division’s cooperation with the Fund’s Audit Committee, the United Nations Board of Auditors and the Office of Internal Oversight Services (OIOS).\",\n \"103. The Office of the Director is responsible for providing critical legal, contract management and requisitioning services as well as administrative support, including making strategic human resources projections in response to the growing needs of the Division. The Office also provides services for and supports the Investments Committee.\",\n \"104. The objective is to develop the Office of the Director into a unit that would assist the Division in monitoring and coordinating the timely implementation of its workplan. The scope and responsibilities of the Office have increased and diversified as the Fund has grown in terms of both types of investments and number of staff and sections. Thus, provided that sufficient systems and staffing are available, the plan is to strengthen and expand the functioning of the Office by establishing specialized units with clear mandates and responsibilities to deal with legal and contract management; requisitioning, budget preparation and invoice processing; the Investments Committee and legislative bodies; and administration-related issues.\",\n \"Table 26 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:To ensure the fullimplementation of legislativemandates and compliance with theRegulations and Rules of theFund, taking into account therecommendations of theInvestments Committee and thedecisions of the Representativeof the Secretary-General withrespect to the management of theFund’s programme of work inrelation to investments and ofstaff and financial resources\\t\\n(1) Determining, in consultationwith the Representative of theSecretary-General, guidelines onasset allocation ranges,currency holdings, marketweightings, strategic andtactical short-term allocations;investment opportunities; andinformation systems andoperational infrastructure\\t(1.1) Outperformance of Fund’sinvestments\\n(2) Timely and effectiveplanning and coordination ofInvestment Management Divisionprocurement needs\\t(2.1) Percentage of requestsfor proposal completed within 6months\\n(3) Provision of a wide range oflegal advice on various types ofinvestments and contracts\\t(3.1) Successful completion ofnew investment transactions andexecution of contracts\\n(4) Effective servicing ofInvestments Committee and otherlegislative bodies\\t(4.1) No complaints receivedfrom Investments Committeemembers and other participants\\n(5) Timely recruitment andplacement of staff\\t(5.1) Reduction in the averagenumber of days for which a postremains vacant\\n\\t(5.2) Reduction in the vacancyrate\",\n \"External factors\",\n \"105. The objective and accomplishments are expected to be achieved consistently on the assumption that (a) all stakeholders will be supportive of the efforts of and will extend their full cooperation to the Investment Management Division; and (b) there are no significant shortfalls in funding for the implementation of the mandates established by the General Assembly and the Pension Board. The accomplishment of the executive direction programme depends on the full cooperation of the relevant United Nations departments and divisions.\",\n \"Outputs\",\n \"106. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) A regularly updated and implemented investment policy that ensures forcefully implemented investment strategy in accordance with the guidance received by the Investments Committee;\",\n \"(b) A medium-term procurement plan, resulting from the effective and regular coordination of Investment Management Division procurement needs with the Procurement Division, that produces high-quality solicitation documents and results in faster solicitation and participation of high-quality firms in the bidding process in approximately 10 procurement exercises;\",\n \"(c) Approximately 160 contracts, negotiated and executed with regular coordination and contacts with legal experts in the Office of Legal Affairs and the Legal Counsel;\",\n \"(d) Four Investments Committee meetings are organized annually. The Pension Board, the Advisory Committee on Administrative and Budgetary Questions, the Fifth Committee and other relevant parties are provided with accurate reports on investments;\",\n \"(e) Investment Management Division staff travel and training plans are implemented. Vacancies are filled within 180 days.\",\n \"Table 27 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 1 941.6 2 449.8 7 9\",\n \"Non-post 6 712.6 4 636.5 — —\",\n \"Total 8 654.2 7 086.3 7 9\",\n \"107. The amount of $7,086,300, representing a $1,567,900 decrease, provides for the continuation of seven posts (1 D-2, 1 P-5, 1 P-4, 1 General Service (Principal level) and 3 General Service (Other level)), the redeployment of two posts, one each from the Risk and Compliance Section (1 P-4) and the Operations Section (1 General Service (Other level)), and non-post resources for the Division as a whole for the travel of representatives and hospitality. The decrease in non-post resources is attributable primarily to the apportionment of resources for other staff costs ($1,665,100), travel of staff ($1,382,200) and consultants ($2,028,800), offset in part by an increase in contractual services ($3,000,000).\",\n \"3. Programme of work\",\n \"Investment Section\",\n \"Resource requirements (before recosting): $49,476,600\",\n \"108. The Investment Section is responsible for achieving optimal investment returns for the Fund while avoiding undue risks. The Section consists of seven organizational entities, namely, North American equity, European equity, Asia-Pacific equity, global emerging markets equity, fixed income, real estate and alternative investments. The primary functions involve monitoring current portfolios, keeping abreast of and tracking developments in the financial markets, and making and carrying out investment decisions. The fulfilment of these functions involves the preparation of financial analyses, attendance at meetings and conferences and travel to various countries to meet analysts and companies’ management. A secondary function is contributing to the formulation of reports to all the governing bodies.\",\n \"109. The tasks of the Investment Section for 2012-2013 include (a) to meet the long-term objective of an annualized real rate of return on the investments of the Fund of 3.5 per cent, as adjusted by the United States consumer price index; (b) to achieve consistent outperformance of the policy benchmark by the Fund’s investments; (c) to maintain a risk level commensurate with target investment returns; and (d) to reduce currency risks and country risks through sound diversification.\",\n \"Table 28 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Expected accomplishments Indicators of achievement \\nObjective of the Organization:The long-term objectives are:(a) to achieve optimal returnfor the Fund in real termswithout undue risk; and (b) todiversify the portfolio withrespect to asset type,currency and geography\\t(1) A long-term annualizedreal rate of return on theinvestments of the Fund of 3.5per cent, as adjusted by theUnited States consumer priceindex\\t(1.1) Total Fund return againstthe Fund’s objective over a10-year periodPerformance measures2008-2009: underperformed theobjective by 1.7 per cent over a10-year period ended December2009, while the Fund experiencedthe global financial crisis in2008 and early in 2009 Estimate 2010-2011: according topreliminary numbers, the Fundperformed 3.5 per cent in realterms over a 10‑year period endedDecember 2010, in line with theFund’s return target \\n\\tTarget 2012-2013: outperform thelong-term target of an annualizedreal rate of return of 3.5 percent(2) Consistent outperformanceof the Fund’s investmentsrelative to the policybenchmark, which is 60 percent in equity, 31 per cent infixed income, 6 per cent inreal estate and 3 per cent incash\\t(2.1) Total return against thepolicy benchmark over a 5-yearperiodPerformance measures2008-2009: outperformed thebenchmark by 0.9 per cent over a5-year period ended December 2009 Estimate 2010-2011: according topreliminary numbers, the Fundperformed 10.2 per cent innominal terms in 2010, marginallyunderperforming the 60/31benchmark return of 10.6 per cent \\n\\tTarget 2012-2013: outperform thepolicy benchmark(3) Reduction of currency riskand country risk through sounddiversification\\t(3.1) Number of currenciesinvested inPerformance measures 2008-2009: invested in 27currencies as of December 2009 Estimate 2010-2011: invested in35 currencies as of December 2010 \\n\\tTarget 2012-2013: further refinethe allocation of the Fund’sassets by currency as appropriate\\t(3.2) Number of countriesinvested in 2008-2009: invested in more than41 countries, including emergingmarkets, ininternational/regionalinstitutions and in investmenttrusts as of December 2009 Estimate 2010-2011: invested inmore than 47 countries, includingemerging markets, ininternational/regionalinstitutions and in investmenttrusts as of December 2010 \\n\\tTarget 2012-2013: further refinethe allocation of the Fund’sassets by country as appropriate(4) Diversification ofinvestments in alternativeasset classes\\t(4.1) Number of strategies ofalternative asset classesinvested in Performance measures 2008-2009: not applicable Estimate 2010-2011: SeniorInvestment Officer forAlternative Investments joinedthe Fund in June 2010. The targetfor the period from June 2010 toDecember 2011 is to finalizeAlternative Investments adviserselection and make commitments to5-10 managers. The Real AssetsAdviser was selected in June2009, and a detailed strategy forreal assets will be set early in2011. The Fund will makecommitments in several funds ininfrastructure andtimber/agricultural lands \\n\\tTarget 2012-2013: By the end of2013, the Fund expects to becommitted to up to 15 to 20private equity funds and hedgefunds of funds. Private equityperformance over time will bemeasured using dollar-weightedreturn and internal rate ofreturn calculations, while thehedge fund portfolio will bemeasured using time-weightedreturn calculations. Benchmarkingfor the Fund will be discussedwith the Fund’s private equityand hedge fund Advisers and willbe presented in detail at a laterstage(5) Enhanced capacity of staffto address issues related toinvestments and portfoliomanagement\\t(5.1) Percentage of staff whoattend at least 1 relevantconference or seminarPerformance measures 2008-2009: not applicable Estimate 2010-2011: notapplicable \\n\\tTarget 2012-2013: each staffmember attends at least 1 seminaror conference\",\n \"External factors\",\n \"110. The objective and accomplishments are expected to be achieved consistently on the assumption that (a) all stakeholders will be supportive of the efforts of and will extend their full cooperation to the Investment Management Division; (b) there are no significant shortfalls in funding for the implementation of the mandates established by the General Assembly and the Pension Board; and (c) the financial markets such as global equity, global fixed income, real estate and foreign exchange will move in the direction of the long-term assumptions.\",\n \"Outputs\",\n \"111. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) A positive total return exceeding the Fund’s objective, which is a long-term annualized real rate of return on investment of 3.5 per cent, as adjusted by the United States consumer price index;\",\n \"(b) A positive total Fund return exceeding the policy benchmark, which is 60 per cent in equity, 31 per cent in fixed income, 6 per cent in real estate and 3 per cent in cash;\",\n \"(c) The maintenance of a well-diversified portfolio, in terms of both currencies and countries, in order to reduce currency risk and country risk;\",\n \"(d) Successful implementation of the alternative asset class suited to the Fund objective when market conditions are favourable for the Fund to earn a return premium exceeding what could be earned from investments in publicly listed equities;\",\n \"(e) The enhancement of the professionalism and in-depth knowledge of staff, who will help to improve the performance of the Fund through participation in conferences and seminars directly related to investments and portfolio management.\",\n \"Table 29 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 7 698.4 8 974.3 27 31\",\n \"Non-post 43 869.9 40 502.3 — —\",\n \"Total 51 568.3 49 476.6 27 31\",\n \"112. The amount of $49,476,600, representing a $2,091,700 decrease, provides for the continuation of 27 posts (1 D-1, 7 P-5, 6 P-4, 4 P-3, 4 General Service (Principal level) and 5 General Service (Other level)) and the establishment of 4 new posts (3 P-4 and 1 P-3) and for non-post resources. The decrease in non-post resources is attributable to contractual services ($5,090,300) and the inclusion of resources for other staff costs ($197,500), travel of staff ($1,025,200) and consultants ($500,000) previously requested under executive direction and management.\",\n \"Risk and compliance\",\n \"Resource requirements (before recosting): $2,611,700\",\n \"113. The Risk and Compliance Section is a newly established entity responsible for identifying, measuring and managing all aspects of risks to which the Fund is exposed. In addition, in terms of compliance, it is mandated to implement adequate monitoring and control processes covering the Fund’s investments. Its function comprises two sub-functions: risk management and compliance.\",\n \"Table 30 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization:To establish controls andmonitor compliance for variousrisks to which the Fund isexposed, namely, market risk,operational risk, credit risk,and legal and reputationalrisk. The function is alsoresponsible for establishingthe risk budget at the assetand manager levels, monitoringcompliance with the riskbudget and helping theinvestment function tomaximize risk-adjusted returnsbased on established riskappetite\\t\\n Expected accomplishments Indicators of achievement (1) Effective oversight of therisks involved in the Fund’sinvestment operations\\t(1.1) All investment tradeseffectively covered by monitoringactivities Performance measures (percentage number of cases) 2010-2011: 100 per cent \\n Target 2012-2013: 100 per cent (2) Risk management frameworkestablished\\t(2.1) Fully implement the riskanalytics system and train allportfolio managers to integraterisk analytics into portfolioconstruction Performance measures \\n Target 2012-2013: 100 per cent (2.2) Implementation of riskmanagement controls as outlinedin the Risk Management Manual;percentage of implemented riskcontrols Performance measures Successful implementation of allestablished risk guidelines andcontrols Monitor controls, conduct trendanalysis and modify guidelinesand controls in accordance withchanges in investment environmentor as new risks are identified 2010-2011: 75 per cent \\n Target 2012-2013: 99 per cent (3) Compliance withestablished policies andprocedures of InvestmentManagement Division\\t(3.1) Percentage of investmenttransactions in compliance withpolicies and standard operatingprocedures Performance measures (percentage of transactions) \\n Target 2012-2013: 95 per cent (3.2) Assurance of higher ethicalstandards on the part of staffmembers in relation to thedischarge of their duties andresponsibilities as internationalcivil servants Performance measures (percentage number of staffmembers) \\n Target 2012-2013: 100 per cent (3.3) Successfully coordinatesand facilitates compliance withaudit recommendations Performance measures (percentage of completed audits) \\n Target 2012-2013: 100 per cent (4) Implementation of multiplecustodians and independentmaster record-keeper\\t(4.1) Independent masterrecord-keeper and multiplecustodians fully implemented andoperational, integrated withother Investment ManagementDivision systems such as thosefor risk management, accountingand trade order management Performance measures \\n Target 2012-2013: 100 per cent\",\n \"External factors\",\n \"114. The Risk and Compliance Section is expected to achieve its objective and accomplishments on the assumption that all external parties will be supportive of the efforts of and will extend full cooperation to the Section. Other external factors include:\",\n \"(a) More volatile equities markets;\",\n \"(b) More volatile currencies market with large swings, requiring extensive quantitative analysis capacity for the use of index-linked tools for offsetting risks;\",\n \"(c) More credit risk from sovereign countries;\",\n \"(d) Operating in inflationary and/or deflationary environments simultaneously in various geographies;\",\n \"(e) More international trade barriers;\",\n \"(f) Changes in benchmarks if there are shifts in macroeconomic trends;\",\n \"(g) Sudden underfunding of risks due to depreciation in base currency (United States dollar), causing funds to reach historical highs, while being potentially underfunded as use of the two-track feature increases and as liabilities increase in other currencies;\",\n \"(h) Run on commodities;\",\n \"(i) High unemployment becomes the “new normal” on a sustained basis in developing economies;\",\n \"(j) Sovereign countries default on their loans.\",\n \"Outputs\",\n \"115. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) The maintenance of policies and standard operating procedures, namely, standard operating investment policies and procedures, the Risk Management Manual, the compliance policy and manual, the code of ethics and the personal securities, gift and hospitality policies;\",\n \"(b) The completion of quarterly compliance reviews of the Fund’s investment operations to ensure the effective management of the Fund’s compliance risks;\",\n \"(c) The administration of certification of acknowledgement, trade order pre‑clearances, report of personal securities, hospitality log and mandatory leave;\",\n \"(d) The organization of training programmes pertaining to investment compliance, code of ethics (total of two on-site division-wide programmes);\",\n \"(e) Coordination for full compliance with the annual United Nations financial disclosure programme;\",\n \"(f) The preparation of periodic reports to the Audit Committee of the Pension Board (total of eight presentations);\",\n \"(g) Acting as a focal point for planned internal and external audits of the Board of Auditors and the Office of Internal Oversight Services, and for queries from the Ethics Office.\",\n \"Table 31 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 1 931.6 1 919.7 6 7\",\n \"Non-post — 692.0 — —\",\n \"Total 1 931.6 2 611.7 6 7\",\n \"116. The amount of $2,611,700, representing a $680,100 increase, provides for the continuation of five posts (1 D-1, 2 P-4 and 2 General Service (Principal level)), the redeployment of one P-4 post to the Office of the Director and one General Service (Other level) post from the Operations Section and the establishment of one new post (1 P‑4). The increase in non-post resources is attributable primarily to the inclusion of resources for other staff costs ($321,600), travel of staff ($193,400), consultants ($127,000) and contractual services ($50,000) previously requested under executive direction and management.\",\n \"Operations\",\n \"Resource requirements (before recosting): $11,041,800\",\n \"117. The Operations Section of the Investment Management Division is responsible for back-office investment operations, accounting and reconciliation and the financial reporting of all investment transactions and related activities of the Fund. It is also responsible for settling all investment trades and foreign-exchange transactions in a timely and accurate fashion, employing industry-standard solutions for straight-through and exception processing. In addition, it ensures that all investment activities, such as trades, foreign-exchange transactions, income collection, maturities, tax collection and corporate actions, are properly recorded in accordance with IPSAS, adopted by the Fund for the preparation of financial statements, with adequate internal controls and audit trail. Furthermore, the Section is responsible for the production of daily cash projections enabling the Investment Section to manage cash for all of the currencies utilized by the Division for investment purposes. The Operations Section is also responsible for the implementation of IPSAS with regard to all the Fund’s investment activities to be reported and reflected in the Fund-wide financial statements commencing on 1 January 2012, under the general guidance and direction of the Fund’s Chief Financial Officer. The Section works closely with the custodians for trade and foreign-exchange settlements, the investigation of interest claims on failed trades, income collection, maturities, tax collection and corporate actions. It also works closely with the master record-keeper for the daily reconciliation of cash and holdings, the fair market valuation of the Fund’s investments and the general ledger feed. The Section works closely with the Information Systems Section to assist in the implementation of more efficient processes, ensuring internal controls, while enhancing the various computerized investment activities of the Division and minimizing manual intervention.\",\n \"Table 32 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of theOrganization: To ensure thesecurity of the Fund’sinvestments and increasetransparency in the financialreporting thereof\\t\\n Expected accomplishments Indicators of achievement (1) Automated back-officetrade settlement andreconciliation processes withthe capacity to handle anincreased volume ofinvestment transactions\\t(1.1) Increased percentage ofproperly authorized investmenttrades settled withinmarket-prescribed settlement timeframesPerformance measures 2008-2009: 96.25 per cent Estimate 2010-2011: 98 per cent Target 2012: 99 per cent \\n Target 2013: 99 per cent (1.2) Reduced number of daysneeded for the resolution ofdiscrepancies inpositions/holdings and cash Performance measures 2008-2009: not applicable Estimate 2010-2011: implementationand testing stage Target 2012: resolve discrepancieswithin 3 days \\n\\tTarget 2013: resolve discrepancieswithin 2 days(2) Successful implementationof IPSAS, adopted by thePension Fund in coordinationwith governing bodies\\t(2.1) Timely submission of theDivision’s IPSAS-compliantfinancial statements to the Fund’sChief Financial Officer (by 15March of the following year) Performance measures 2008-2009: 1 April 2010 Estimate 2010-2011: 15 March 2011 Target 2012: 15 March 2012 \\n Target 2013: 15 March 2013 (2.2) Unqualified audit opinionfrom the Board of Auditors onfinancial statements Performance measures 2008: unqualified audit opinion 2009: modified audit opinion Estimate 2010-2011: unqualifiedaudit opinion Target 2012: unqualified auditopinion \\n\\tTarget 2013: unqualified auditopinion\\n(3) Fully functionaloperations with the new dualcustodians and independentmaster record-keeper model\\t(3.1) All operational systemsfully functional when newcustodians and masterrecord-keeper providers areselected\",\n \"External factors\",\n \"118. The Operations Section is expected to achieve its objectives on the following assumptions:\",\n \"(a) The internal mission-critical systems (the Charles River trade order management system, Murex MX.3, SWIFT and Omgeo) and the independent master record-keeper’s general ledger feed system will provide full straight-through processing and exception-based processing and reconciliation on a timely basis; the implementation of Omgeo, the independent master record-keeper and the general ledger accounting systems are all dependent on the successful negotiation of contracts;\",\n \"(b) The satisfactory performance of the two custodians and the independent master record-keeper in the delivery of custodial and master record-keeping services.\",\n \"Outputs\",\n \"119. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) The settlement of all securities trading, real estate, alternative assets and currency-exchange transactions on the settlement or value date;\",\n \"(b) The automated reconciliation of securities/positions/holdings and cash, including income (dividends, interest and cash distributions), maturities and corporate actions on a daily exception basis;\",\n \"(c) Successful test or dry run of 30 June 2012 financial statements, with favourable review/comments by external auditors on IPSAS compliance;\",\n \"(d) The production of IPSAS-compliant financial statements and disclosures (investments portion only) by 15 March 2013;\",\n \"(e) All assets are transferred and accounted for and re-registered with the new custodians;\",\n \"(f) All standard reports are produced by the new master record-keeper and custodians.\",\n \"Table 33 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 2 178.5 2 029.6 11 10\",\n \"Non-post — 9 012.2 — —\",\n \"Total 2 178.5 11 041.8 11 10\",\n \"120. The amount of $11,041,800, representing a $8,863,300 increase, provides for the continuation of nine posts (1 P-5, 1 P-3, 2 General Service (Principal level) and 5 General Service (Other level)), the redeployment of two General Service (Other level) posts, one each to the Office of the Director and the Risk and Compliance Section, and the establishment of one new post (1 P-3). The increase in non-post resources is attributable primarily to contractual services ($7,812,500) and resources that were previously requested under executive direction and management, comprising other staff costs ($897,100), travel of staff ($52,600) and consultants ($250,000).\",\n \"4. Programme support\",\n \"Information Systems Section\",\n \"Resource requirements (before recosting): $17,571,800\",\n \"121. The Information Systems Section is responsible for the technology, data management, applications, policies, procedures and management of projects facilitating the investment processes and reliable investment data. The Section will continue implementing solutions to enhance investment data quality and convenience, streamline and standardize investment processes, provide viable technology-enforcing security policies, enable business continuity and implement controls that are in line with Investment Management Division investment guidelines in order to mitigate operations and business risks. More important, the Section will provide good investment data that will be part of the solution to generate value for the Fund and enable smart risk management.\",\n \"Table 34 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization:To provide informationtechnology solutions andtechnological support tofacilitate front-to-backinvestment processes \\n Expected accomplishments Indicators of achievement (1) Implementation ofInvestment Management Divisioninformation and communicationstechnology strategy, includingimplementation and integrationof new and existing systemsfacilitating investmentactivities\\t(1.1) Exception-based processingof investment transactionsenabledPerformance measuresPercentage of transactionsprocessed straight through 2008-2009: not available 2010-2011: 90 per cent (tradeorder management, SWIFT,custodian bank) \\n Target 2012-2013: 95 per cent (1.2) Standardization andmodernization of investmentprocesses supported Performance measures Percentage of business processesstandardized 2008-2009: not available 2010-2011: 85 per cent \\n Target 2012-2013: 95 per cent (1.3) Risk and compliancemanagement enabled Performance measures Number of risk and compliancetools offered 2008-2009: not available 2010-2011: 2 \\n Target 2012-2013: 2 (2) Increased quality, securityand availability of InvestmentManagement Division investmentdata\\t(2.1) Investment data validatedand reconciled in a timelymannerPerformance measures Percentage of dependableinvestment reports produced 2008-2009: 50 per cent 2010-2011: 75 per cent \\n Target 2012-2013: 90 per cent (2.2) High availability ofinformation technology services Performance measures Percentage of potentialinformation technology operationrisk 2008-2009: 20 per cent 2010-2011: less than 5 per cent \\n\\tTarget 2012-2013: less than 1per cent\",\n \"External factors\",\n \"122. The subprogramme is expected to achieve its objective and expected accomplishments on the assumption that (a) the procurement and legal processes undertaken by the United Nations Secretariat on behalf of the Investment Management Division are completed within the expected time frame; (b) stakeholders fulfil their responsibilities and extend their full cooperation in attaining the objectives of the Division’s information and technology strategy, facilitating Division business; and (c) the Information Management Systems Service supports the consolidated information and communications technology infrastructure in a timely manner.\",\n \"Outputs\",\n \"123. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Trade order management (Charles River), back-office tasks, reconciliation, accounting (Murex) and the interbank messaging system (SWIFT) are successfully and fully implemented and supported;\",\n \"(b) Data hub, foreign exchange and fixed income investment execution systems are implemented;\",\n \"(c) Investment processes are properly documented;\",\n \"(d) Exception-based processing of investment transactions is achieved;\",\n \"(e) Standardization and streamlining of business processes are facilitated;\",\n \"(f) Compliance monitoring and system are supported and facilitated;\",\n \"(g) Automatic data feed is implemented and data validation is supported;\",\n \"(h) Data reconciliation is supported;\",\n \"(i) The Division’s information and communications technology infrastructure is strengthened;\",\n \"(j) Security policies and disaster recovery are implemented and supported;\",\n \"(k) Business continuity is enabled.\",\n \"Table 35 Resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Post 1 593.9 2 457.5 7 8\",\n \"Non-post 10 183.4 15 114.3 — —\",\n \"Total 11 777.3 17 571.8 7 8\",\n \"124. The amount of $17,571,800, representing a $5,794,500 increase, provides for the continuation of seven posts (1 P-5, 3 P-4, 2 P-3 and 1 General Service (Principal level)) and the establishment of one new post (1 P-4). The increase in non-post resources is attributable primarily to increased requirements for contractual services ($498,500) and the moving of market data contractual services from the Investment Section to the Information Systems Section ($3,541,500) and to resources that were previously requested under executive direction and management, comprising other staff costs ($779,300) and travel of staff ($111,000).\",\n \"Administrative support\",\n \"Resource requirements (before recosting): $4,011,100\",\n \"Table 36 Financial resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Non-post 5 087.6 4 011.1 — —\",\n \"Total 5 087.6 4 011.1 — —\",\n \"125. The amount of $4,011,100, representing a $1,076,500 decrease, provides for non-post resources for the Division as a whole. The decrease is attributable primarily to the rental and maintenance of premises ($916,900) due to the one-time request in the revised budget for 2010-2011 for the renovation of additional office space at 1 Dag Hammarskjöld Plaza.\",\n \"D. Audit costs\",\n \"Resources requested (before recosting): $2,748,200\",\n \"126. The distribution of resources is shown in table 37.\",\n \"Table 37 Financial resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"External audit 661.2 774.7 — —\",\n \"Internal audit 1 983.8 1 973.5 — —\",\n \"Total 2 645.0 2 748.2 — —\",\n \"127. The amount of $2,748,200 covers the estimated requirements for external audit ($774,700) as requested by the Board of Auditors and for internal audit ($1,973,500) as requested by the Office of Internal Oversight Services.\",\n \"1. External audit\",\n \"Resource requirements (before recosting): $774,700\",\n \"128. Provision is made in the amount of $774,700 for the costs associated with the Board of Auditors and apportioned to the Fund by the secretariat of the Board of Auditors.\",\n \"2. Internal audit\",\n \"Resource requirements (before recosting): $1,973,500\",\n \"129. The amount of $1,973,500 provides for the continuation of five general temporary assistance posts (1 P-5, 2 P-4, 1 P-3 and 1 General Service (Other level)), training and non-post resources comprising consultants, travel of staff, contractual services, communications, operating expenses, supplies and materials, and furniture and equipment. The reduction in costs is due primarily to general temporary assistance required as a result of a reduction in the standard salary tables and the net effect of minor changes to the resources requested for other non-post resources.\",\n \"E. Board expenses\",\n \"Resources requested (before recosting): $200,000\",\n \"Table 38 Financial resource requirements\",\n \"Resources Posts (thousands of United States dollars)\\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)\",\n \"Board expenses 167.5 200.0 — —\",\n \"130. The General Assembly, in section IV of its resolution 61/240, authorized Board expenses, comprising the administrative costs of Board sessions, the Chair’s travel expenses and the travel expenses of working groups, to be included in the Fund’s budget and charged against administrative expenses.\",\n \"131. The amount of $200,000 covers the estimated requirements for Board expenses and comprises travel costs for the Chair to attend the fifty-ninth and sixtieth sessions of the Board and meetings of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee, travel costs of members of the Chief Executive Officer Search Group and administrative expenses of the fifty-ninth and sixtieth sessions ($120,000), to be held in July 2012 and July 2013.\",\n \"IV. Emergency Fund\",\n \"132. The General Assembly, in section III of its resolution 62/241, authorized the Pension Fund to supplement the voluntary contributions to the Emergency Fund for the biennium 2008-2009 by an amount not exceeding $200,000.\",\n \"133. It is proposed that the Pension Board recommend to the General Assembly that it authorize the Board to supplement contributions to the Emergency Fund for the biennium 2012-2013 by an amount not exceeding $200,000.\",\n \"V. Recommendation for ad hoc measures regarding implementation of the International Public Sector Accounting Standards by 1 January 2012\",\n \"134. At its fifty-seventh session, in July 2010, the Board had approved the implementation of IPSAS as of 1 January 2012. As requested, a report on the status of the implementation of the new accounting standards was presented to the Board by the secretariat and the Investment Management Division in July 2011.\",\n \"135. Currently, the Fund reports under the Financial Regulations and Rules of the United Nations. It was noted that the United Nations was planning to implement IPSAS in 2014, and, in this regard, the Board was informed that the United Nations was planning to present to the General Assembly at its sixty-seventh session, in 2012, proposed changes to the Financial Regulations and Rules.\",\n \"136. In the light of the timeline for revising the Financial Regulations and Rules of the United Nations, and with the support of the Pension Fund Audit Committee, the Board was requested, for the sole purpose of the Fund’s timely implementation of IPSAS, to recommend for the approval of the General Assembly, at its sixty-sixth session in 2011, the following transitional measure concerning the Fund’s financial reporting:\",\n \"“As a transitional measure, the Board authorizes the Fund to continue to apply the Financial Regulations and Rules of the United Nations mutatis mutandis to their accounting processes and financial reporting, and in a manner that allows the Fund to be IPSAS-compliant. The Board hereby recommends that in accordance with article 19 (b) of the Regulations of the United Nations Joint Staff Pension Fund, the Secretary-General maintain detailed accounts of all investments and other transactions relating to the Fund in a manner that is IPSAS-compliant.”\",\n \"137. The Board was informed that, with the approval of the transitional measure, the Fund’s full implementation of IPSAS would fulfil the Board’s decision to adopt IPSAS in 2012, subject to the subsequent formalization of the Fund’s financial regulations and rules. The Fund’s financial statements for 2012 would be presented and audited on the basis of IPSAS, which would provide the regulatory framework.\",\n \"138. After discussion, the Board endorsed the transitional measure concerning the Fund’s financial reporting and recommended this measure for the approval of the General Assembly at its sixty-sixth session, in 2011.\",\n \"VI. Action to be taken by the General Assembly\",\n \"139. The Pension Board recommends the following to the General Assembly:\",\n \"(a) The approval of a reduction in appropriations for 2010-2011 amounting to $21,772,800. The revised appropriations for the 2010-2011 biennium would then amount to $154,545,700, divided into administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Of this amount, $133,037,000 would be apportioned to the Fund and $21,508,700 would be directly chargeable to the United Nations under the cost-sharing arrangement;\",\n \"(b) The approval of a revised estimate for the biennium 2010-2011 amounting to $144,300 for extrabudgetary resources;\",\n \"(c) The approval of the Pension Fund estimate for the 2012-2013 biennium amounting to $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Pension Board expenses ($204,400). Of this amount, $173,260,600 would be apportioned to the Fund and $20,903,400 to the United Nations under the cost-sharing arrangement;\",\n \"(d) The approval of resources for the biennium 2012-2013 amounting to $156,800 for extrabudgetary costs and funded by a number of member organizations;\",\n \"(e) The approval of an amount not exceeding $200,000 to supplement contributions to the Emergency Fund;\",\n \"(f) The approval of the ad hoc and transitional financial measures regarding IPSAS implementation by 1 January 2012.\",\n \"VII. Summary of follow-up action taken to implement requests and recommendations of the Board of Auditors and the Advisory Committee on Administrative and Budgetary Questions\",\n \"Table 39\",\n \"A. Advisory Committee on Administrative and Budgetary Questions\",\n \"(A/65/567)\",\n \"Request/recommendation\\tAction taken to implementrequest/recommendation \\n(a) The Advisory Committeeconcurs with the Board’srecommendations regarding therevised risk management policyand that the Division continueto implement its newlydeveloped risk managementmanual (para. 7)\\tThe majority of the controlshave already been implemented,and efforts are under way toimplement those that have not.The Risk Management Manual is aliving document that is updatedevery quarter. Implementation isongoing, and the target is toimplement all controls. Some ofthe controls set out in the RiskManagement Manual are manual,pending resource allocation;others are automated, pendinginfrastructure modernization. Asthese milestones are reached,these controls will beimplemented.\\n(b) The Advisory Committeeconcurs with therecommendations of the Board ofAuditors. The Committee isconcerned at the fact that thePension Fund received anunqualified audit opinion withone emphasis of matter on therealized and unrealized losseson the investments of the Fundon the financial statements forthe biennium ended 31 December2009. The Advisory Committeeurges the Pension Fund toimplement the Board’srecommendations (para. 9)\\tThis has been done in the notesto the 2010 financial statementsthat the Investment ManagementDivision submitted to thePension Fund secretariat on 11March 2011. The Division willconsult further with the IPSASconsultants on thesedisclosures.\\n(c) The Advisory Committeereiterates its recommendationthat the Board continue toexplore opportunities forinvestment in developingcountries and countries witheconomies in transition (para.10)\\tThe Fund is continuouslyresearching opportunities, andthe Director and staff of theInvestment Management Divisionrecently travelled to Africa andthe Middle East to broaden ouraward-winning portfolio inAfrican investments. TheDirector will meet with theWorld Bank and the InternationalMonetary Fund to review on aregular basis additionalopportunities in emerging andfrontier markets.\\n(d) The Advisory Committeeconcurs with the Board ofAuditors that the Pension Fundshould finalize and approve itsIPSAS implementation plan in atimely manner. The Committeeexpects that the new ChiefFinancial Officer will be hiredas soon as possible and that,in the interim, preparation forIPSAS will proceed to ensureits implementation on 1 January2012. Furthermore, theCommittee encourages the Boardof Auditors to closely monitorthe Pension Fund’s IPSASimplementation progress andreiterates its recommendationthat the Board report to theGeneral Assembly on an annualbasis on progress made (seeA/65/498, para. 19) (para. 13)\\tThe Fund has finalized its IPSASimplementation plan andtimeline, as presented to theAudit Committee and presented tothe Pension Board at its 58thsession, in July 2011. Therecruitment of the new ChiefFinancial Officer is under way.\\n(e) The Advisory Committeeemphasizes that sufficientsupport, drawn from existingresources, should be madeavailable to ensure the timelyand well-managed implementationof IPSAS (para. 15)\\tThe reallocation of existingresources required for IPSASimplementation was approved bythe Pension Board at its 57thmeeting, in July 2010, and bythe General Assembly in December2010. Additional resources arebeing requested for 2012-2013.\\n(f) The Advisory Committeeconcurs with the PensionBoard’s request that themedical consultant look intothe possibility of establishinga standard for medicalexaminations for purposes ofparticipation in the Fundpursuant to article 41 of theFund Regulations (para. 18)\\tAs requested, the MedicalConsultant will present a noteon this matter to the Board atits July 2012 session.\\n Regulations (para. 18). \\n(g) The Advisory Committeeconcurs with the Board ofAuditors on the need fortransparent disclosure of theinvestments of the UnitedNations University EndowmentFund and notes that the PensionBoard has agreed that suchdisclosure would be provided infuture (para. 20).\\tThis has been done in the notesto the 2010 financial statementsthat the Investment ManagementDivision submitted to thePension Fund Secretariat on11 March 2011. The Division willconsult further with the IPSASconsultants on thesedisclosures.\",\n \"B. Board of Auditors\",\n \"(A/65/9, annex X)\",\n \"Request/recommendation Action taken to implement request/recommendation\",\n \"The Board’s main recommendations are that:\",\n \"(a) The Fund finalize and approve The Fund has finalized an its IPSAS implementation plan; implementation plan and timeline, as identify and involve other presented to the Audit Committee. A stakeholders in the IPSAS steering committee has been implementation project; and established, comprising IPSAS provide details on what aspects of stakeholders from both the the Financial Regulations and Investment Management Division and Rules would need to be revised the secretariat. At present, the (para. 27); Fund follows the Financial Regulations and Rules of the United Nations, pending the adoption of IPSAS. The Investment Management Division is waiting for its IPSAS consultants to recommend suggested language for rules 104.12, 104.13, 104.14, 104.15 and 104.16 to ensure IPSAS compliance. This will be presented to the Audit Committee in June 2011 and to the Pension Board at its fifty-eighth session, in July 2011.\",\n \"(b) The Fund raise a receivable Amounts owed by member organizations and income for amounts owing to have been calculated. Once reviewed, the Fund (para. 30); they will be issued.\",\n \"(c) The Fund reverse all The Fund has drafted closing prior-period unliquidated instructions for the administrative obligations and accruals as they element of the Lawson accounts. The are paid, and address the weakness Executive Office has produced a in controls that resulted in third draft for review and agreement accruals for items that have by the Financial Services Section. already been paid (para. 33); In accordance with these instructions, the administrative accounts for the period 1 January 2006 through 31 December 2009 will be adjusted to give the correct balances, brought forward for 1 January 2010. The accounts will be closed as at 31 December 2010 using these instructions.\",\n \"(d) The Fund implement improved Policy and procedure for long controls to ensure that amounts outstanding receivables have been outstanding are recovered in a implemented. Ongoing collection timely manner and establish a efforts are in place. policy on the accounting treatment of long outstanding amounts that are not recoverable (para. 43);\",\n \"(e) The Fund consider raising a A provision for all receivables provision for doubtful debts in older than two years will be its financial records to reflect included in the Fund’s 2010 the recoverable amounts at the financial statements. In addition, reporting date (para. 44); the write-off of uncollectable receivables amounts began in 2010.\",\n \"(f) The Fund revalue all balances Agreed. The year-end exchange rate denominated in foreign currencies will be used to translate at the operational rate of foreign-currency bank-account exchange prevailing at the balances to United States dollars reporting date (para. 48); for 2010 financial statements.\",\n \"(g) The Fund take urgent steps to Ongoing. The Investment Management recover outstanding amounts of Division continued to make extensive foreign taxes (para. 51); efforts to prevent the imposition of taxes and to recover taxes withheld on its investment income in various jurisdictions. In particular, in January 2010 representatives of the Division met with representatives of the State Administration of Taxation of China, in Beijing, to address the formal recognition and implementation of the Fund’s tax-exempt status in that country. Representatives of the Division also initiated discussions with representatives of the Government of Brazil, which led to the issuance in April 2010 by the Brazilian Revenue Service of a broadly worded formal recognition of the Fund’s tax-exempt status in that country. In addition, the Division recently launched a request for proposal for global tax advisory services. The global tax adviser will assist the Division, among others, with its tax reclaim efforts around the world.\",\n \"(h) The Fund record the receivable This has been taken into account and and related income from the United the situation rectified as part of Nations for the reimbursement of the account closure procedures. administrative expenses in the correct accounting period (para. 54);\",\n \"(i) The Fund continue reconciling For a period of time, the Fund used the balance with the United the interfund balance to reconcile Nations to ensure that differences with the United Nations. The United are fully reconciled (para. 57); Nations also used this balance. The Fund has now reverted to using actual expenditures when reconciling with the United Nations.\",\n \"(j) The Fund upload the correct Ongoing process. Erroneous items accrual amounts from the accounts have been identified. Proper entries payable module into the Lawson will be made for 2010 to correct system and adjust its accounts for these balances. differences noted (para. 63);\",\n \"(k) The Fund perform regular The Financial Services Section is monthly reconciliations between awaiting a Cognos “cube” to support the accounts payable module and Lawson data for the generation of a the general ledger (para. 64); new report.\",\n \"(l) The Fund reallocate debit This is an ongoing process. Efforts balances in accounts payable to began in 2010 and will continue accounts receivable, and complete throughout 2011 to correct these the data cleansing exercise to accounts. ensure that all amounts included in accounts payable were valid payables (para. 67);\",\n \"(m) The Fund develop an ageing The Financial Services Section is tool to analyse benefits payable awaiting a Cognos “cube” to support (para. 70); Lawson data for the generation of a new report.\",\n \"(n) The Fund apply article 46 of This is an ongoing exercise and is the Regulations and Rules of the part of the data cleansing to be Fund by adjusting benefit payables completed by the end of 2011. related to all amounts that are due for forfeiture (para. 75);\",\n \"(o) The Fund comply with the As reported to the Board (see submission dates for financial A/65/9), the Fund is unable to statements as required by the comply with the 31 March completion Financial Regulations and Rules of date, owing to the reconciliation the United Nations (para. 79); procedures for payments from the organizations members of the Fund. The Investment Management Division submitted its part of the financial statements to the Fund secretariat on 11 March 2011. Going forward, the Division will ensure the submission of the financial statements to the secretariat by 15 March of the following year.\",\n \"(p) The Fund develop and implement The footnotes will continue to be accounting policies that have a enhanced as part of IPSAS clear basis for how transactions implementation. This process will are accounted for in the continue as part of the 2010 and accounting records of the Fund, 2011 financial statements, with full and ensure that all accounting adoption of IPSAS for 2012. policies are clearly defined and disclosed in the financial statements (para. 84);\",\n \"(q) The Fund compile The Fund report writer consolidates reconciliations or working papers general ledger accounts into line for all line items on the items for financial statements so financial statements and prepare that all financial statement numbers supporting schedules of can be traced to source documents. calculations or adjustments that are in agreement with the book of entries (para. 89);\",\n \"(r) The Investment Management Implemented. This has been done in Division make a complete the notes to the 2010 financial disclosure in its financial statements that the Investment statements of the investments it Management Division submitted to the manages for the United Nations Fund secretariat on 11 March 2011, University Endowment Fund (para. specifically under funds under 92); management. The Division will consult further with the IPSAS consultants on these disclosures.\",\n \"(s) The Investment Management The Investment Management Division Division reconsider its formal will provide full disclosure. It arrangements for providing a fund will fully disclose the independent management service to third arrangements established for the parties (para. 93); United Nations University Endowment Fund in the 1990s on the basis of audit recommendations. Those arrangements include a separate custody account and an independent outside fund manager. There has never been any commingling of funds with the Pension Fund.\",\n \"(t) The Investment Management Ongoing. The majority of the Division continue to implement its controls have already been newly developed Risk Management implemented and efforts are under Manual (para. 111); way to implement the rest. The Risk Management Manual is a living document that is updated every quarter. Implementation is ongoing, and the target is to implement all controls. Some of the controls specified in the Risk Management Manual are manual, pending resource allocation; others are automated, pending infrastructure modernization. As these milestones are reached, these controls will be implemented.\",\n \"(u) The Investment Management The Investment Management Division Division undertake a case-by-case has reviewed the catastrophic events review to identify lessons to be of 2008 and has taken note of the learned in respect of all realized risks posed by excessively loose investment losses for 2008-2009, monetary policy in place for and current ongoing unrealized extended periods of time. The loss positions (para. 112); Division has implemented a formal weekly and quarterly compliance and investment review of unrealized gains and losses exceeding 25 per cent.\",\n \"(v) The Investment Management Implemented. This was done in the Division provide a clear notes to the 2010 financial description and disclosure of statements that the Investment investments in the financial Management Division submitted to the statements, by tabulating Fund secretariat on 11 March 2011. separately gains and losses on the The Division will consult further sale of investments, as well as with the IPSAS consultants on these disclosing all unrealized gains disclosures. and losses as at the balance sheet date (para. 113);\",\n \"(w) The Investment Management Implemented. With the hiring of a Division address the remaining Compliance Officer in October 2009, open or in-process the Investment Management Division recommendations, given that the made important advances in its findings of OIOS reflected compliance programme. New policies significant shortcomings in have been implemented, including in investment compliance (para. 117); relation to personal trading, gifts and hospitality, and mandatory leave; other policies are pending review and acceptance. The Division’s Risk and Compliance Section, using its risk and compliance manuals and various automated systems, is monitoring Fund investments on a continuous basis to ensure that there is adequate oversight and enforcement of Division policies and standards. Multiple OIOS recommendations have been addressed and closed. There is a formal procedure in place for monitoring and addressing OIOS recommendations in a timely manner. Division staff training sessions have been conducted, including one with the Ethics Office. The Risk and Compliance Section has determined that at this time there are no wilful or recurring violations of Division policies or procedures that risk financial harm to the Pension Fund, or to its reputation, participants or beneficiaries.\",\n \"(x) The Fund enhance its For 2009, the Fund included the 2009 disclosure of the major actuarial actuarial valuation as part of the assumptions and changes in financial statements. In addition, relation to the valuation of the for the first time the Fund recorded end-of-service liabilities in the the after-service health insurance notes to the financial statements and end-of-service liabilities on (para. 124); the face of the financial statements.\",\n \"(y) The Fund develop a funding On hold. Any funding plan will plan for end-of-service require the United Nations to fund liabilities for consideration by one third of specific elements. its governing body (para. 131); Implementation of this recommendation has been placed on hold pending such a plan by the United Nations Secretariat.\",\n \"(z) The Fund consider a revision The Fund is having continuing of its policy for the valuation of discussions with the United Nations annual leave liability in its and the IPSAS task force on whether implementation of IPSAS (para. annual leave should be valued as a 139); current liability or as an actuarial valuation.\",\n \"(aa) The Fund implement measures 100 per cent inventory checks are to ensure that physical inventory carried out every 12 months. counts are conducted and Commencing in 2011, these checks reconciled to the asset register will be carried out in the fourth in a timely manner and on a quarter of each year owing to IPSAS regular basis (para. 144); implementation in 2012. Furthermore, in future signed proof of such checks will be maintained.\",\n \"(bb) The Fund obtain the inventory Inventory reports are received from reports from the Property the Property Management and Management and Inventory Control Inventory Control Unit monthly. The Unit of the United Nations, and Fund requested access to ProcurePlus obtain full administrative access from the Office of Central Support to the ProcurePlus system for the Services by a memorandum dated purpose of updating all assets and 30 September 2010 with a follow-up obtaining inventory reports (para. dated 15 October 2010, and is 145); awaiting a response.\",\n \"(cc) The Fund secretariat develop The Fund drafted a human resources a human resources plan (para. plan and presented it to the Pension 149); Board at its fifty-seventh session, in July 2010.\",\n \"(dd) The Fund secretariat consider The Fund’s training and development ways to strengthen succession platform, which includes e-learning, planning as measured by the is constantly being developed and retention of retired staff (para. updated in consultation with 153); programme managers. The expertise of retired staff is utilized to assist in this process. See also paragraph 8 of the Chief Executive Officer’s memo to the Board of Auditors dated 15 April 2010.\",\n \"(ee) The Fund address the (a) The Fund adheres to the annual recommendations of OIOS, given leave policy as provided by staff that they reflected significant regulation 5.1, “Staff members shall shortcomings in human resources be allowed appropriate annual management (para. 158); leave”, and article 105 of the Staff Rules. Fund management will encourage personnel in positions involving financial responsibilities to take an uninterrupted period of two weeks of annual leave each year. This is mandatory for Investment Management Division staff.\",\n \"(b) The Executive Office manually prepared a staffing table, which is reconciled with the Integrated Management Information System (IMIS) on a monthly basis.\",\n \"(c) A tracking system has been developed to monitor the recruitment of staff and will be used to develop benchmarks for each stage of the recruitment process. Until the Fund has sufficient data to calculate its own benchmark, the United Nations benchmark of 120 days will be used. Hiring managers are encouraged to carefully review applicants with a view to gender parity.\",\n \"(d) Functional packages in IMIS must be proposed by the supervisor for the staff member, and will be reviewed and then authorized accordingly by the Executive Office. No staff members outside the Executive Office will be provided with the IMIS human resources functions without the approval of the Chief Executive Officer.\",\n \"(e) Staff members working beyond the age of retirement are now under the category of “temporary” within the new contractual framework. The general procedures issued in January 2009 provide an annex for the workplan for and subsequent evaluation of temporary staff, to be completed by supervisors and managers.\",\n \"(f) Supervisors, in consultation with department heads and staff members, clearly identify and document training needs in each staff member’s e-PAS. Departments will monitor or continue to monitor implementation.\",\n \"(g) Compliance monitoring will be continued with the provision of statistical and individual feedback to department heads, with a focus on the timely completion of e-PAS.\",\n \"(ff) The Fund secretariat Under current conditions, monthly reconcile monthly contributions reconciliations are unfeasible. from member organizations and However, a pilot plan has just begun follow up on unreconciled items in in order to test a system that would a timely manner (para. 162); permit monthly reconciliations.\",\n \"(gg) The Fund secretariat A pilot that was started for the establish systems to verify the 2009 fiscal year was expanded in accuracy of the information 2010, with positive results. The provided by the member auto file transfer and edit check of organizations prior to year-end year-end files will increase the closing, and ensure that accuracy of reporting and decrease reconciliations are performed and the manual workload of the Fund. verified before the financial statements are finalized (para. 167);\",\n \"(hh) The Fund secretariat upload (a) It is standard practice to evidence of follow-up with systematically upload, and scan to beneficiaries on the content the appropriate file in the content manager system where the manager system, evidence of all signatures on certificate of official correspondence of the Fund entitlement forms were different with its participants and from original signatures, and beneficiaries. This includes comply with procedure general follow-up letters sent out to 2001-68, which requires that all clarify signature discrepancies. available digital images of a Should such a document be missing beneficiary’s signature be from a file, it would be an uploaded on the content manager exception and due to an oversight. system (para. 174);\",\n \"(b) As explained above, it is standard procedure to upload to the content manager system all documents pertaining to the files of the Fund’s beneficiaries and participants. An omission would be the result of an oversight and would be an exception.\",\n \"(ii) The Fund secretariat improve The Fund has caught up with the its overall processing times for former backlog in transfer cases, transfer cases to be in compliance which had been due in part to long with the six-month processing delays experienced by the Fund’s target (para. 180); Actuarial Consultant and in part to policy issues that had to be clarified for certain cases before transfers could be finalized. Today, few cases are long outstanding and none is older than 50 days. The processing benchmark for these cases is therefore met in all cases.\",\n \"(jj) The Fund secretariat The Financial Services Section is implement procedures to reconcile looking into the development of a the PENSYS payroll with the Lawson Cognos report in 2011 for such system (general ledger) on a reconciliation. regular basis (para. 184);\",\n \"(kk) The Fund secretariat develop In progress. The Information and approve comprehensive user Management Systems Service account management procedures to introduced an “access, systems and ensure adequate user account data privileges” policy to address management, and implement the account management procedures. procedures to monitor the validity Role-based groups have been of user accounts on a regular introduced in the system, and access basis (para. 188); is defined through these roles when requested by the supervisor. Password resetting and security parameter setting have been implemented within these systems through the use of “active directory policy” and “single sign-on” scripts. Owing to the limitations within PENSYS, it was not considered feasible to introduce “regular logging and review of system activity” within these ageing systems, and thus those functions have been introduced as a requirement for the upcoming replacement with the Integrated Pension Administration System.\",\n \"(ll) The Fund secretariat review Recommended for closure. The the request for change and request Information Management Systems for service procedures to take Service has reviewed the into account the areas requiring request-for-change and improvement as noted by the Board request-for-service procedures and (para. 193); has updated the request-for-change tool to include a field indicating whether the documentation is required along with the required testing and approvals for implementation.\",\n \"(mm) The Fund secretariat monitor Recommended for closure. The adherence to change control Information Management Systems procedures and maintain adequate Service has implemented a change change control management management policy and has developed documentation (para. 195); a comprehensive and automated system for approvals and tracking. Processes have been put in place. The Service and supervisors currently monitor adherence to the change control procedures on a daily basis and enforce the policy of documenting any and all changes before implementation.\",\n \"(nn) The Fund secretariat Recommended for closure. Despite the implement an information rejection of a “quality assurance technology quality assurance position”, the Information function to ensure that a level of Management Systems Service has confidence can be established and streamlined the requirements of this maintained, and implement controls function by writing a to prevent the use of the database segregation-of-duties policy. In administrator’s username and addition, the proper execution of password by the program analysts the Service’s segregation-of-duties (para. 202); policy is confirmed and monitored by documenting each step (e.g., analyst, developer, migratory) through the modification request process, which requires review by two individuals: the First Approving Officer and the Second Approving Officer. Changes have been put in place whereby the database administrator’s username and password are available only to the database administrator.\",\n \"(oo) The Fund secretariat review Recommended for closure. Despite the the appropriateness of the access rejection of a “quality assurance rights of the program analysts position”, the Information with a specific focus on access to Management Systems Service has the production environment, and to streamlined the requirements of this set procedures to manage instances function by writing a where such access to the segregation-of-duties policy. production environment was Segregation of duties is maintained required (para. 204); by ensuring that tasks associated with analysis/ development and move-to-production are assigned to two individuals. Furthermore, a system modification plan has been put in place to manage and monitor this process.\",\n \"(pp) The Fund secretariat ensure Recommended for closure. Despite the the existence of adequate rejection of a “quality assurance segregation of responsibilities in position”, the Information the process of migration of tested Management Systems Service has and approved changes from the streamlined the requirements of this development environment to the function by writing a test environment and from the test segregation-of-duties policy. environment to the production Segregation of duties is maintained, environment (para. 206). by ensuring that tasks associated with development, testing and move-to-production are assigned to different individuals. Furthermore, a System Modification Plan has been put in place to manage and monitor this process.\",\n \"Annex I\",\n \"Discussions in the United Nations Joint Staff Pension Board on the revised budget estimates for the biennium 2010-2011 and on the budget estimates for the biennium 2012-2013\",\n \"Administrative matters of the Fund\",\n \"(a) Revised budget estimates for the biennium 2010-2011\",\n \"1. The secretariat of the United Nations Joint Staff Pension Fund requested a reduction in the budget estimates for the biennium 2010-2011 amounting to $21,772,800, compared with the revised appropriations of $176,318,500. The final revised appropriations for the 2010-2011 biennium would then amount to $154,545,700, of which $21,508,700 is chargeable to the United Nations under the cost-sharing arrangement.\",\n \"(b) Budget estimates for the biennium 2012-2013\",\n \"2. The proposed budget estimates for the biennium 2012-2013 provide for approved expenditures of $215,999,100 (before recosting), as compared with the total of $176,318,500 for the biennium 2010-2011. The budget submission presented covers administrative costs of $101,768,500, investment costs of $111,282,400, audit costs of $2,748,200 and Board expenses of $200,000. In addition, the estimates provide for one extrabudgetary post for after-service health insurance in the amount of $152,900 and an amount not to exceed $200,000 for the Emergency Fund.\",\n \"Administrative costs\",\n \"3. The proposed budget under administrative costs totals $101,768,500 before recosting, representing resource growth of 10.2 per cent compared with the appropriation for the 2010-2011 biennium, and 26.5 per cent compared with the revised budget estimates for the 2010-2011 biennium.\",\n \"4. With regard to administrative costs, the secretariat emphasized that while the overall estimated cost of the Integrated Pension Administration System project remained unchanged, there had been a shift in the original timeline, owing to changes in the implementation strategy. This had resulted in underexpenditure on the project in the 2010-2011 biennium and a request for those funds in the 2012-2013 biennium. In addition, and in line with the secretariat’s medium-term human resources strategic plan, a request for 16 additional established posts and 3 reclassifications was proposed, as set out below:\",\n \"New posts\",\n \"Number\\tCategory/level\\tPost title \\n1\\tD-1\\tChief, Technical Evaluation and RiskManagement\\n1\\tP-5\\tChief, Client Service, RecordsManagement and Distribution\\n1\\tP-3\\tChief, Records Management andDistribution\\n2\\tGeneral Service(Other level)\\tBenefits Assistant\\n 1 P-4 Accountant, IPSAS Specialist \\n1\\tGeneral Service(Principal level)\\tSenior Accounting Assistant\\n 1 P-4 Accountant \\n 1 P-5 Chief, Security Officer \\n 1 P-5 Chief, Enterprise Architecture \\n1\\tGeneral Service(Other level)\\tLegal Assistant\\n 1 P-4 Finance and Budget Officer \\n 1 P-3 Human Resources/Training Officer \\n1\\tGeneral Service(Principal level)\\tHuman Resources Assistant\\n1\\tGeneral Service(Other level)\\tTravel Assistant\\n1\\tGeneral Service(Principal level)\\tSenior Facilities Management Assistant\",\n \"Reclassifications\",\n \"Number\\tCategory/level\\tReclassifications \\n 1 P-4 to P-5 Chief, Payments Unit \\n 1 P-4 to P-5 Cashier \\n 1 P-5 to D-1 Chief, Legal Officer\",\n \"Investment costs\",\n \"5. The proposed budget under investment costs totals $111,282,400 before recosting, representing resource growth of 37.1 per cent compared with the appropriation for the 2010-2011 biennium ($81,197,500), and 56.1 per cent compared with the revised budget estimate for the 2010-2011 biennium ($71,289,000).\",\n \"6. Under investment costs, resources requested by the Representative of the Secretary-General included 20 additional posts, as indicated below, and additional resources for contractual services in the area of portfolio management for the implementation of the Leadership Fund, an increase in small capitalization, the master record-keeper and information technology projects.\",\n \"New posts\",\n \"Number\\tCategory/level\\tPost title \\n 1 P-5 Senior Legal Officer \\n 1 P-4 Investment Committee Secretary \\n1\\tP-5\\tSenior Investment Officer — ExternalManagement\\n1\\tP-4\\tInvestment Officer — Fixed Income andForeign Currency\\n1\\tP-4\\tInvestment Officer — AlternativeInvestments\\n1\\tP-4\\tInvestment Officer — Global EmergingMarkets\\n1\\tP-4\\tInvestment Officer — Trade ExecutionOfficer\\n1\\tP-3\\tInvestment Officer — North AmericanEquities\\n1\\tP-3\\tInvestment Officer/Analyst — RealEstate\\n1\\tGeneral Service(Other level)\\tTrade Execution Assistant\\n1\\tP-4\\tDue Diligence and QuantitiesStrategies Risk Manager\\n1\\tP-3\\tCompliance Analyst and OperationalRisk Manager\\n1\\tGeneral Service(Other level)\\tAssistant to the Director, Risk andCompliance\\n 1 P-4 Chief, Accounting and Reporting \\n 1 P-3 Finance Officer, Reconciliations \\n 1 D-1 Chief, Information Technology Officer \\n 1 P-4 Data Management Officer \\n 1 P-3 Information Security Officer \\n 1 P-3 Reconciliation Administrator \\n1\\tGeneral Service(Other level)\\tAdministrative Assistant\",\n \"Audit costs\",\n \"7. The Fund requested a total of $2,748,200 for external ($774,700) and internal ($1,973,500) audit costs, representing net growth of $103,200, of which $113,500 is attributable to the external auditors.\",\n \"Pension Board expenses\",\n \"8. A total of $200,000 was requested to cover the costs of two Board sessions and travel expenses of the Chair and the Search Committee for the appointment of the next Chief Executive Officer.\",\n \"Extrabudgetary funding\",\n \"9. Extrabudgetary resources amounting to $152,900 were requested for the one General Service (Other level) post to be funded by member organizations participating in the after-service health insurance scheme.\",\n \"Emergency Fund\",\n \"10. An amount not to exceed $200,000 was requested to supplement the Emergency Fund.\",\n \"Budget working group\",\n \"11. Comments and recommendations made by the budget working group and endorsed by the Board are set out below.\",\n \"12. In accordance with the decision taken by the Board at its fifty-seventh session, the budget working group began its work on 6 July 2011.\",\n \"13. The original composition of the working group as agreed by the Board was changed with the replacement of one representative of the executive heads group and one representative of the participants group. The final composition of the working group was as follows:\",\n \"Ms. J. Forrest (International Telecommunication Union), representing governing bodies\",\n \"Mr. G. Kuentzle (United Nations), representing governing bodies\",\n \"Ms. Y. Mortlock* (International Organization for Migration), representing executive heads\",\n \"Ms. S. Van Buerle (United Nations), representing executive heads (elected as Chair)\",\n \"Mr. H. Baritt* (World Health Organization), representing participants\",\n \"Mr. C. Santos-Tejada (United Nations), representing participants\",\n \"Mr. A. Castellanos del Corral (Federation of Associations of Former International Civil Servants), representing pensioners\",\n \"Mr. T. Teshome (Federation of Associations of Former International Civil Servants), representing pensioners\",\n \"* New member.\",\n \"14. The working group had before it documents relating to: the status of Pension Fund implementation of the International Public Sector Accounting Standards (IPSAS), revised budget estimates for the biennium 2010-2011, the Fund’s strategic framework for the period 2012-2013, and budget estimates for the biennium 2012-2013. The working group benefited from valuable interactions with members of the secretariat and the Investment Management Division.\",\n \"Performance report for the biennium 2010-2011\",\n \"15. As indicated in paragraph 195 of the report on its fifty-fifth session (A/63/9) and paragraph 137 of the report on its fifty-seventh session (A/65/9), the Board decided that the Pension Fund secretariat should provide to the Board on an annual basis, in the context of the programme budget performance report, a detailed analysis of the budgetary variances between the approved budget and actual expenditures. While noting that some information had been provided, the working group was of the view that a more detailed breakdown of the variances in the main object of expenditure groups should be provided in future performance reports. It was also noted that IPSAS required an explanation of variances between the budget and actual expenditure, which would improve the Board’s consideration of future budget submissions. Furthermore, where changes in approach, strategy of implementation, etc., of projects or initiatives had a significant impact on the programme of work and hence on the level of expenditures in the period, this should be more fully explained. It was of particular note that some of the anticipated underexpenditure for the biennium was in fact a rephasing of requirements into the subsequent budget period, a condition that should be reflected in a new submission to facilitate the review of the requests, especially in the context of the Integrated Pension Administration System project.\",\n \"16. In this context, the working group was of the view that resources programmed for a given biennium should, as a matter of principle, be spent for the purposes approved, during that biennium. The working group also noted recurring underexpenditure for “contractual services” in the Investment Management Division. It expressed appreciation for the Division’s efforts to act in a cost-conscious manner and encouraged the continuation of such actions to bring budget estimates further into line with actual performance.\",\n \"Strategic framework for the period 2012-2013\",\n \"17. The working group acknowledged the continuing efforts made to improve on the results-based presentation, notably through more focused objectives, expected accomplishments and indicators of achievement. It recommended that the Fund align the formulation of its logistical frameworks with the SMART principles —specific, measurable, achievable, realistic and time-bound — which would enable the Board to effectively evaluate the performance of the Fund in delivering the results expected. The working group noted that the strategic framework would require changes in line with decisions to be taken on the budget for the biennium 2012-2013.\",\n \"18. In addition, the working group noted that, according to the established budgetary process of the United Nations, the strategic framework would have been submitted to the Board in an off-budget year to enable it to provide the Fund with relevant guidance on priorities and the programme of work on which the budget for the subsequent financial period would be formulated. As this was the first year in which the framework had been provided since the Board’s decision requiring the submission of a strategic framework, it was recognized that the established cycle would be followed as of 2012, when the strategic framework for the period 2014-2015 would be submitted to the Board at its fifty-ninth session.\",\n \"Budget estimates for the biennium 2012-2013\",\n \"19. The guiding principle followed by the working group in reviewing the budget proposals and the concerns of its various constituent groups was that the highest level of efficiency, effectiveness and cost-consciousness must be ensured in delivering on the mandate of the Fund, with a particular focus on initiatives to increase returns, reduce risks and/or provide better services to those constituents. Overall, the working group reviewed the justifications provided for the resource increases sought. In a number of cases, the group was cognizant of the fact that the impacts and implications of IPSAS, the Integrated Pension Administration System and other initiatives were not yet fully known. Furthermore, in the view of the working group, it was premature to seek additional resources that would lock a staffing structure in place before the Chief Financial Officer, who had yet to be recruited, could express his or her views on the matter. The working group also believed that further synergies could be achieved through greater integration of the New York and Geneva operations. The Chief Executive Officer reported to the group that the opportunities for outsourcing were being examined. The working group recommended a closer review of offshoring and outsourcing options, particularly in view of the upcoming expiration of current leases, to achieve efficiencies in administrative costs.\",\n \"20. Moreover, the working group was fully aware of the financial situation faced by both the participating organizations and Member States, notably the need to achieve efficiencies and effective ways of delivering their work. In the case of the Pension Fund, the working group noted the expansionary nature of the proposals and the heavy reliance on the future anticipated benefits of the Integrated Pension Administration System (a project still in progress), requiring further explanation regarding what actions had been or could now be taken by the Fund to improve its work and the efficiencies and cost savings, including staffing structure changes, that such a project would bring.\",\n \"21. The budget working group recognized the consistent growth in the number of participants, which had increased 4.2 per cent over the past 10 years. During the same period, there had been a substantial increase in the complexity of administering participants, which was due largely to the increase in the number of provisions of the Fund’s pension adjustment system.\",\n \"22. Over the past few years, the Fund has also seen unprecedented growth in the budget. The proposed 2012-2013 budget of $216 million represented a 23 per cent increase compared with the 2010-2011 budget, which had been set at $176.3 million, and a 68 per cent increase compared with the 2008-2009 budget of $128.2 million.\",\n \"23. In order to make a more meaningful evaluation of the overall Administration budget, the working group reviewed “per-participant” costs (total costs divided by number of participants). The calculations, which included adjustments for inflation, showed that the cost of administering a participant had averaged $197 per year over the past 10 years. The proposed budget of $216 million, however, equated to $248 per participant, representing a 26 per cent increase.\",\n \"Cost per participant, adjusted for inflation\",\n \"(United States dollars)\",\n \"[]\",\n \"24. The Chief Executive Officer confirmed to the working group that the Administration used a number of key performance indicators to track the effectiveness and efficiency of the Fund. The working group would recommend that the Fund make efforts to link future budget proposals to those indicators.\",\n \"Budget presentation and methodology\",\n \"25. The working group noted with appreciation that the decision taken by the Board at its fifty-seventh session regarding the submission of future proposed budget documents to Board members 90 days prior to the Board session had been fully respected. This facilitated early review by the budget working group. It was noted that attempts had been made to align the presentation of the submission as closely as possible with the methodology used by the United Nations.\",\n \"26. However, the working group made the general observation that the Fund needed to revise the presentation of its budget documentation, with clearer and more concise justifications for changes, to facilitate decision-making by the Board. A quality review of the documentation would also assist in eliminating inconsistencies and ensure that cross-cutting initiatives were presented in an aggregated manner, using tables/graphs where appropriate, to facilitate an understanding of the initiatives. Furthermore, as previously recommended by the Board, the Fund should continue to ensure greater alignment with the budget presentation of the United Nations, in particular as to the differentiation between growth and changes resulting from costing parameter changes, namely, currency, inflation or standard salary costs.\",\n \"27. The working group noted with concern that little or no progress had been made with regard to the integration and consolidation of certain functions and services, which had favoured the continuation of a silo approach to operations; similarly, it was not clear what work had been done to implement cost-savings initiatives regarding back-office tasks. The Board might wish to consider requesting the Chief Executive Officer and the Representative of the Secretary-General to jointly study options for submission at a future Board session.\",\n \"Information technology\",\n \"28. The working group noted that the Fund had sought approximately $66 million under the Information Systems Section and the Information Management Systems Service for activities related to information technology. While that level of resources might ultimately prove to be appropriate, it would be opportune, given the growing complexity of the proposals presented to the Board, to prepare and present to the Board, at its fifty-ninth session, a concise, comprehensive and integrated information technology strategy linked to the budget and incorporating validations by independent information technology specialists in the relevant fields of operation of the Fund.\",\n \"29. In this regard, the working group noted the Fund’s heavy reliance on the International Computing Centre. Notably, when reference was made to the Centre’s budget, the working group was made aware that the Pension Fund was the second largest user of the Centre’s services, after the Department of Field Support. The working group was advised that, owing to the nature of the Centre, no competitive bidding was undertaken for its services, which raised concern as to whether this was the most cost-effective and economical means of meeting the needs of the Fund without compromising data security or confidentiality. At the same time, in interviews with representatives of the Fund, it had been noted that a separate staffing capacity had been engaged by the Fund through the Centre, with approximately 13 staff at varying levels, ranging from General Service (Other level) to P-5, engaged through contractual services, with some having been on board since 2004.\",\n \"International Public Sector Accounting Standards\",\n \"30. The working group was pleased to hear the report from the Chief Executive Officer that good progress had been made on the IPSAS project and that there was a high degree of confidence that the Fund would meet the implementation deadlines. The remaining issues relating to fixed assets and employee benefits seemed to been well addressed. The existing finance staffs in both the secretariat and the Investment Management Division were well versed in the Standards. The working group believed that in the long term, IPSAS would be incorporated into the duties of the finance line management, much in the same way as the implementation of the United Nations system accounting standards had been coordinated.\",\n \"31. The working group did not believe that the establishment of two new posts dedicated to IPSAS was necessary; some funding for short-term consultancies to assist with the financial statements, impairment testing and policy documentation was deemed to be more appropriate.\",\n \"Integrated Pension Administration System\",\n \"32. With regard to the Integrated Pension Administration System, the working group welcomed the Chief Executive Officer’s assertions that he regarded the project as a top priority. It was noted that the Integrated Pension Administration System would fundamentally change the organizational approach from one that was case-driven to one that was process-driven. It was recalled that the System was aimed at improving both efficiency and service delivery. In this context, the working group considered it imperative that the review and improvement, as appropriate, of all relevant existing processes be an integral part of the entire Integrated Pension Administration System change management process. The working group would also encourage the Fund to ensure that the project was not driven primarily by information technology, as full ownership by the substantive areas was indispensable.\",\n \"33. The working group recommended that the Board request a report on the expected organizational structure of the Fund after the implementation of the Integrated Pension Administration System, to be considered in the context of the next budget submission, at its sixtieth session. The report should also contain a strategic evaluation of all posts affected by the implementation of the System.\",\n \"34. The Fund had scanned 639,499 documents in 2010, comprising 1,120,602 pages. The Integrated Pension Administration System was intended to replace the entitlement, accounting and document management systems. The working group noted that in the project, staffing resources seemed to have been allocated to both accounting and entitlements, but no specific resources were dedicated to document management. The working group would encourage the Fund to monitor the project skill sets and to ensure that resources were aligned to address document management.\",\n \"35. The current budget covered additional contractual services and other costs that were required in order to support legacy systems that would be replaced by the Integrated Pension Administration System. The Chief Executive Officer had provided assurances that the System would be delivered according to the project schedule and on or possibly below budget.\",\n \"36. The Integrated Pension Administration System project would have a major impact on the delivery of services. Therefore, the working group would recommend that a revised organization chart be provided with the next budget submissions.\",\n \"Resource proposals\",\n \"Posts\",\n \"37. In line with the guiding principle and criteria outlined in paragraph 19 above, and following a series of consultations with the executives and managers involved, the working group proceeded with the review of posts as follows. The Fund sought a total of three reclassifications (3 secretariat posts) and 36 new posts (16 Administration posts and 20 Investment Management Division posts). Having reviewed each post, and following dialogue with representatives of the secretariat and the Division, the working group proposed the following:\",\n \"(a) Not to support the reclassifications as proposed;\",\n \"(b) To support seven new posts in the Investment Management Division, as reflected in table 1;\",\n \"(c) To support the positions set out in table 2 as general temporary assistance positions (not posts, as originally requested) for the duration and purpose indicated;\",\n \"(d) Not to support the new P-4 Finance and Budget Officer post in the Executive Office of the Fund. On the basis of the explanation that the functions of the post had increased in complexity, the working group supported the reclassification of the existing P-3 Finance and Budget Officer post to the P-4 level.\",\n \"Table 1\",\n \"Section\\tPost\\tNumberofposts\\tCategory \\n B. Investments \\nProgramme ofwork \\nInvestments\\tInvestment Officer — AlternativeInvestments\\t1\\tP-4\\n\\tInvestment Officer — GlobalEmerging Markets\\t1\\tP-4\\n\\tInvestment Officer — TradeExecution\\t1\\tP-4\\n\\tInvestment Officer — NorthAmerican Equities\\t1\\tP-3\\nRisk andCompliance\\tDue Diligence and QuantitativeStrategies Risk Manager\\t1\\tP-4\\nOperations\\tFinance Officer, Reconciliations\\t1\\tP-3\\nProgrammesupport \\nInformationSystems\\tData Management Officer\\t1\\tP-4\",\n \"Table 2\",\n \"Section\\tGeneral temporaryassistancepositions\\tNumber\\tCategory\\tRemarks \\nA.Administration \\nProgramme ofwork \\nOperations\\tChief, RecordsManagement andDistribution(InformationManagementOfficer)\\t1\\tP-3\\tNon-recurrent,24months\\n\\tBenefitsAssistant forclient services(New York)\\t1\\tGeneralService(Otherlevel)\\tNon-recurrent,24months\\n B. Investments \\nOffice of theDirector\\tLegalOfficer/Office ofLegal Affairs^(a)\\t1\\tP-4\\tNon-recurrent,12months\\nProgramme ofwork Operations\\tChief, Accountingand Reporting\\t1\\tP-4\\tToremainundergeneral temporaryassistance;not \\n convertedto apost\\nProgrammesupport \\nInformationSystems\\tStatic DataAdministrator\\t1\\tP-3\",\n \"^(a) Resources provided for services to be obtained from the Office of Legal Affairs.\",\n \"Administration\",\n \"38. Under the Information Management System Service, following a discussion with the Fund on the prioritization of its information technology projects in the light of ongoing dedicated capacity required for Integrated Pension Administration System implementation, the working group did not support the Integrated Management Initiative and proposed a reduction in the budget by an amount of $2,543,300 (before recosting). This would result in the necessary reduction, under contractual services ($1,133,300) and furniture and equipment ($1,410,000), of the Administration budget.\",\n \"Temporary posts\",\n \"39. The working group supported the continuation of the 17 temporary posts for the Integrated Pension Administration System project at the following levels: 1 P-5, 7 P-4, 4 P-3 and 5 General Service (Other level).\",\n \"Other staff costs\",\n \"40. The working group agreed to the amount sought under other staff costs, adjusted for the additional requirements for the two general temporary assistance positions approved in operations/administration, as reflected in table 2.\",\n \"Consultants\",\n \"41. The working group supported the amount sought amounting to $300,000 (before recosting).\",\n \"Travel\",\n \"42. The working group proposed a reduction of 10 per cent in the revised appropriation level.\",\n \"Contractual services\",\n \"43. The working group supported the amount sought, as adjusted for the non‑approval of resources for the Integrated Management Initiative project.\",\n \"Hospitality\",\n \"44. To remain at the revised appropriation level.\",\n \"General operating expenses\",\n \"45. The working group agreed to the amount sought under administration. The working group noted an increase in general operating expenses due to bank charges of $3 million. This represented an increase of approximately $500,000 compared with the previous biennium. The working group requested that the Fund review the banking mechanisms in an effort to reduce these fees. A summary report should be provided with the next budget submission.\",\n \"Supplies and materials\",\n \"46. The working group supported the amount sought.\",\n \"Furniture and equipment\",\n \"47. The working group supported the amount sought, as adjusted for the non‑approval of resources for the Integrated Management Initiative project.\",\n \"48. Table 3 summarizes the recommendations on non-post items, as explained above, for administration.\",\n \"Table 3\",\n \"(Thousands of United States dollars)\",\n \"Other staff costs 3 910.3\",\n \"Consultants 300.0\",\n \"Travel 1 224.5\",\n \"Contractual services 31 847.9\",\n \"Hospitality 4.0\",\n \"General operating expenses 14 248.0\",\n \"Supplies and materials 185.8\",\n \"Furniture and equipment 2 011.0\",\n \"Total non-post resources 53 731.5\",\n \"Investment Management Division\",\n \"Other staff costs\",\n \"49. The working group proposed resources at the revised appropriation level, adjusted for additional requirements for the two general temporary assistance positions (non-recurrent resources for one P-4 Legal Officer in the Office of Legal Affairs for 12 months and one P-4 Chief, Accounting and Reporting, for 24 months) as reflected in table 2.\",\n \"50. In addition, the working group agreed to the establishment by the Investment Management Division of one P-2 Risk and Compliance Implementation Analyst and one 1 P-3 Static Data Administrator, to be accommodated within the overall resources approved for other staff costs (as reflected in table 3).\",\n \"Consultants\",\n \"51. On the basis of a review of the total resources for IPSAS, the working group proposed that the requirements estimated at $500,000 be reduced to $250,000. Accordingly, the provision under consultants would amount to $1,177,000 (before recosting).\",\n \"Travel\",\n \"52. The working group proposed maintenance at the revised appropriation level.\",\n \"Contractual services\",\n \"53. Under contractual services, an amount of $11,250,000, requested for the Leadership Fund, was not supported by the working group at this time. The working group was of the view that a move in this direction was tantamount to a change in the investment strategy that should be discussed at the Board session and supported by unambiguous views on the part of the Investments Committee.\",\n \"54. Furthermore, as the working group had been advised that the recent contract for the custodian/master record-keeper services had been negotiated at an amount less than anticipated, it was proposed that this line of expenditure be reduced by an amount of $4,138,300.\",\n \"Hospitality\",\n \"55. The working group proposed maintenance at the revised appropriation level.\",\n \"General operating expenses\",\n \"56. The working group agreed to the amount sought.\",\n \"Supplies and materials\",\n \"57. The working group proposed maintenance at the revised appropriation level.\",\n \"Furniture and equipment\",\n \"58. The working group proposed maintenance at the revised appropriation level.\",\n \"59. Table 4 summarizes the recommendations on non-post items, as explained above, for the Investment Management Division.\",\n \"Table 4\",\n \"(Thousands of United States dollars)\",\n \"Other staff costs 2 892.2\",\n \"Consultants 1 177.0\",\n \"Travel 2 000.0\",\n \"Contractual services 62 532.1\",\n \"Hospitality 22.0\",\n \"General operating expenses 4 485.1\",\n \"Supplies and materials 160.0\",\n \"Furniture and equipment 700.0\",\n \"Total non-post resources 73 968.4\",\n \"Pension Board expenses\",\n \"60. The working group fully supported the resources requested to cover the Board expenses.\",\n \"Extrabudgetary funding\",\n \"61. The working group supported the resources for one General Service (Other level) staff to be funded by member organizations participating in the scheme.\",\n \"Discussion in the Board\",\n \"62. The Board noted with appreciation that the budget document had been provided as requested, 90 days prior to the opening of the session, allowing for a thorough review of the document by the budget working group.\",\n \"63. The executive heads supported the outcome of the working group and were pleased that the budget presentation had been carried out in compliance with International Public Sector Accounting Standard No. 24 and had been prepared within the time frame requested by the Board. The executive heads were concerned that inaccuracies in the information presented in the proposal had complicated the analysis conducted by the working group and the consideration by the Board. They recommended that analysis be carried out thoroughly, making use of ratios as appropriate. They also commented that budgets approved in prior periods had been underspent.\",\n \"64. Governing bodies endorsed the recommendations of the working group. They recommended that at future meetings, the document be introduced earlier, together with opening statements by key officials, so as to inform the considerations of the working group more fully.\",\n \"65. The participants group supported the recommendations of the working group, noting that the asset-liability management studies had recommended a diversification of the Fund’s assets towards alternative assets. The group recalled the recommendation, made at the previous session of the General Assembly, to proceed with the greatest of prudence. It also recalled that professional advancement should not be impeded by budgetary constraints.\",\n \"66. The Federation of Associations of Former International Civil Servants supported the working group’s conclusion and expressed its thanks to the working group.\",\n \"67. It was also commented that comparator bases should be modified to allow for inflation and currency effect as necessary, that in an overall context of austerity possible cost reductions should be sought in items such as travel and information technology, and that budget requests should be closely linked to strategic goals. With regard to the International Public Sector Accounting Standards, any system changes likely to have an impact on member organizations should be flagged well in advance.\",\n \"68. Members of the Board also stated that:\",\n \"(a) The Fund should take a critical look at the methodology and assumptions made when budgeting for contractual services;\",\n \"(b) The table contained in the report of the budget working group reflecting the trend in cost per participant was useful and could serve as a model for the Fund in carrying out further analysis.\",\n \"69. The Representative of the Secretary-General made a statement to the Board in which he cautioned that the opportunity costs of foregone investment returns, as a result of savings achieved on investment management, could far exceed those apparent savings. As the fiduciary of the Fund, the Representative of the Secretary-General placed on record his worries and concerns that the structural underfunding of the Investment Management Division would represent an unacceptable risk for the generation of adequate returns in future to support existing and projected liabilities.\",\n \"70. The Chief Executive Officer thanked the working group and expressed appreciation for the group’s support of key projects including the Integrated Pension Administration System and the International Public Sector Accounting Standards. He referred to the chart contained in the report of the working group reflecting cost per participant, providing further clarification that whenever an increase in cost per participant occurred, it was due to a project, and the cost per participant would again decrease after the completion of the project. As examples, he referred to the spike in 2004 relating to the relocation of the Pension Fund offices from the Secretariat Building to 1 Dag Hammarskjöld Plaza, and to the spike in 2012-2013 corresponding to the Integrated Pension Administration System project, which included 17 temporary posts that would be eliminated after the completion of the project.\",\n \"71. The Deputy Chief Executive Officer confirmed that the target operating model related to the Integrated Pension Administration System project remained unchanged, with the same objectives and benefits. The change that had occurred related to the location of the new information technology infrastructure needed for the project at the North American data centre in New Jersey. The decision to install the project’s information technology infrastructure at the Centre had followed the identification of serious vulnerabilities at 1 Dag Hammarskjöld Plaza data centre. The Deputy Chief Executive Officer also indicated that all substantive groups within the Fund were involved with the project and that an Integrated Pension Administration System steering committee was in place. He confirmed that the project was expected to be completed as presented and within budget.\",\n \"Recommendations of the Board\",\n \"72. On the basis of the recommendations of the working group, the Pension Board approved, for submission to the General Assembly, the proposed budget estimates amounting to $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Board expenses ($204,400). This amount would be apportioned $173,260,600 to the Pension Fund and $20,903,400 to the United Nations under the cost-sharing agreement.\",\n \"73. In addition, the Board approved resources amounting to $156,800 from extrabudgetary funding for the processing of after-service health insurance premium payments for a number of member organizations upon their request.\",\n \"Annex II\",\n \"United Nations Joint Staff Pension Fund: approved organization chart for the biennium 2010-2011\",\n \"Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.\",\n \"^(a) One extrabudgetary General Service (Other level) post is funded by member organizations.\",\n \"^(b) Temporary posts authorized for the Integrated Pension Administration System project.\",\n \"^(c) One of the two P-4 temporary posts authorized for the Information Management Systems Service for the biennium 2010-2011 was authorized for 12 months only. It was abolished in 2011, reducing the number of temporary P-4 posts in the Service to one.\",\n \"Annex III\",\n \"United Nations Joint Staff Pension Fund: proposed organization chart for the biennium 2012-2013\",\n \"[]\",\n \"Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.\",\n \"^(a) One extrabudgetary General Service (Other level) post is funded by member organizations.\",\n \"^(b) Temporary posts authorized for the Integrated Pension Administration System project.\",\n \"Annex IV\",\n \"United Nations Joint Staff Pension Fund: number of participants by member organization as at 31 December 2010\",\n \"Member organization Number of participants\\n 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010\",\n \"United Nations^(a) 44 059 43 869 43 864 43 751 44 958 50 126 54 953 56 287 57 541 59 542 64 092 68 853 74 575 79 933 82 576 85 617\",\n \"International Labour 2 823 2 632 2 599 2 620 2 612 2 650 2 747 2 863 3 044 3 221 3 330 3 261 3 366 3 572 3 642 3 741 Organization\",\n \"Food and Agriculture 5 735 5 540 5 435 5 387 5 340 5 315 5 344 5 447 5 648 5 822 5 918 5 774 5 735 5 722 6 011 6 145 Organization of the United Nations\",\n \"United Nations 2 561 2 667 2 588 2 650 2 629 2 452 2 414 2 437 2 517 2 528 2 508 2 469 2 526 2 553 2 602 2 632 Educational, Scientific and Cultural Organization\",\n \"World Health 6 125 5 965 5 935 6 180 6 409 6 817 7 375 8 181 8 966 9 498 9 932 10 072 10 157 10 435 11 029 10 986 Organization\",\n \"International Civil 820 826 852 852 841 867 873 883 863 863 826 806 795 775 784 791 Aviation Organization\",\n \"World Meteorological 333 316 312 314 327 329 322 310 303 287 302 334 332 319 315 309 Organization\",\n \"General Agreement on 476 538 529 542 7 4 3 1 — — — — — — — — Tariffs and Trade^(b)\",\n \"International Atomic 2 146 2 057 2 053 2 075 2 068 2 076 2 125 2 168 2 207 2 217 2 261 2 278 2 273 2 229 2 245 2 307 Energy Agency\",\n \"International 315 324 323 310 315 325 330 340 344 351 343 338 337 320 323 313 Maritime Organization\",\n \"International 908 885 905 921 965 953 967 1 006 971 875 871 854 843 823 831 830 Telecommunication Union\",\n \"World Intellectual 611 672 712 807 955 1 033 1 106 1 189 1 240 1 206 1 166 1 130 1 134 1 139 1 154 1 156 Property Organization\",\n \"International Fund 302 295 298 332 338 344 383 435 462 488 506 502 519 526 534 540 for Agricultural Development\",\n \"International Centre 29 31 29 32 35 37 33 36 34 39 39 40 38 37 36 34 for the Study of the Preservation and Restoration of Cultural Property\",\n \"European and 10 11 11 12 12 12 12 11 11 11 11 12 12 13 13 13 Mediterranean Plant Protection Organization\",\n \"United Nations 1 455 1 163 1 064 921 851 810 813 821 786 791 783 753 759 779 825 826 Industrial Development Organization\",\n \"International Centre — 136 138 141 142 145 145 150 152 162 171 173 177 191 194 190 for Genetic Engineering and Biotechnology\",\n \"World Tourism — 70 72 74 78 79 79 83 88 95 90 99 100 95 95 95 Organization\",\n \"International — — 18 20 25 27 30 33 34 34 36 36 36 38 34 34 Tribunal for the Law of the Sea\",\n \"International Seabed — — 3 30 28 31 28 34 34 28 30 29 29 32 31 32 Authority\",\n \"International — — — — — — — — — 298 431 578 719 809 865 908 Criminal Court^(c)\",\n \"Inter-Parliamentary — — — — — — — — — — 37 40 45 45 48 49 Union^(d)\",\n \"International — — — — — — — — — — — — 2 059 2 419 3 134 3 261 Organization for Migration^(e)\",\n \"Special Tribunal for — — — — — — — — — — — — — — 259 329 Lebanon^(f)\",\n \"Total number of 68 708 67 997 67 740 67 971 68 935 74 432 80 082 82 715 85 245 88 356 93 683 98 431 106 112 117 121 participants 566 804 580 138\",\n \"Total number of 16 18 20 20 19 19 19 19 19 20 21 21 22 22 23 23 member organizations\",\n \"^(a) The number of United Nations participants for 2006 was revised downward by 2, from 68,855 to 68,853.\",\n \"^(b) The General Agreement on Tariffs and Trade withdrew from the United Nations Joint Staff Pension Fund as from 31 December 1998.\",\n \"^(c) The International Criminal Court became the twentieth organization member of the Fund as at 1 January 2004.\",\n \"^(d) The Inter-Parliamentary Union became the twenty-first member as at 1 January 2005.\",\n \"^(e) The International Organization for Migration became the twenty-second member as at 1 January 2007.\",\n \"^(f) Special Tribunal for Lebanon became the twenty-third member as at 1 January 2009.\",\n \"[1] It is estimated that Operations will process some 55,400 affiliations of new participants, transfers in and out and separations during the biennium 2012-2013; this relates to specific and measurable work tasks carried out by Operations, representing an 80 per cent increase over the biennium 1998-1999.\",\n \"[2] The total annuity value of the additional periodic benefits to be paid out over some 30 years and the cash settlements calculated, verified and set up in Operations for payment each year is estimated to represent nearly $1 billion.\"\n]"},"record":{"kind":"string","value":"A_66_266"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","A/66/150.","Items 133 and 134 of the provisional agenda*","Programme budget for the biennium 2010-2011","Proposed programme budget for the biennium 2012-2013","Administrative expenses of the United Nations Joint Staff Pension Fund and transitional measures for financial reporting under the International Public Sector Accounting Standards","United Nations Joint Staff Pension Board","Contents","2. Budget estimates for the biennium 2010 - 2011: performance report 4A. Administrative costs 7B. Investment costs 12C. Audit costs 16D. Extrabudgetary costs 16E. Board costs 16E. Proposed budget for the biennium 2012 - 2013 16A. Introduction 16B. Administrative costs 25C. Investment costs 48D. Audit costs 64E. Board costs 654. Emergency Fund 666.","The present report contains the revised budget for the biennium 2010-2011 for the United Nations Joint Staff Pension Fund, which shows a decrease of $21172,800 in appropriations. The decrease relates to the level of expenditure for administrative costs ($11,830,000). Investment costs ($9,908,500) and audit costs ($112,100). The reduced expenditure was offset in part by an increase of $77,800 for the Pension Board. Accordingly, the revised appropriation for the biennium 2010-2011 amounts to $154,545,700 for administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Under the cost-sharing arrangement, of that amount, $21,508,700 would be shared by the United Nations. The report also contains budget estimates for the period from 1 January 2012 to 31 December 2013, amounting to $1916,200 (before recosting) for administrative costs ($96,873,100), investment costs ($9179,300), audit costs ($2,748,200) and Pension Board expenses ($200). The present report provides for a total of 227 continuing posts, 17 temporary posts, 7 new posts and 1 reclassification. Resource requirements ++ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ^ (b) Includes 18 temporary posts for the Integrated Pension Administration System; one post at the P-4 level was abolished in 2011.","Overview","1. The United Nations Joint Staff Pension Fund, which was established by the General Assembly in 1949 to provide retirement, death, disability and related benefits to staff members of the United Nations and other organizations admitted to membership, currently has 23 member organizations. As at 31 December 2010, there were 184,968 active participants and pensioners.","2. In accordance with the Regulations adopted by the General Assembly, the Fund is administered by the United Nations Joint Staff Pension Board, the Staff Pension Committee of each member organization, the secretariat of the Board and the secretariat of the Staff Pension Committee of each member organization. One third of the Pension Board members are selected by the General Assembly and the corresponding governing bodies of the other member organizations, one third by the executive heads and one third by the participants. The Board reports to the General Assembly on the operations of the Fund and on the investment of its assets. If necessary, the Board recommends that the Regulations be amended to provide, inter alia, for the proportion of participants ' contributions (currently 7.9 per cent of pensionable remuneration) and the proportion of contributions of member organizations. Examples (currently 15.8 per cent), eligibility for participation and the benefits that participants and their dependants may be entitled to.","II. Budget estimates for the biennium 2010-2011: performance report","3. Table 1 summarizes the total estimated expenditures for the biennium 2010-2011. In order to make the Fund ' s performance report more meaningful, the expenditure for the biennium consists of two distinct components: (a) Actual expenditures for the 17-month period from 1 January 2010 to 31 May 2011; and (b) estimated expenditures for the seven-month period from 1 June to 31 December 2011. Actual expenditures for the period from 1 January to 31 May 2011 were determined on the accrual basis of accounting, meaning that transactions and other matters were recognized in the financial statements when they occurred and not when cash or cash equivalents were received or paid.","4. In its resolution 64/245, the General Assembly approved appropriations totalling $176,318,500 for the biennium 2010-2011, comprising administrative costs ($92,281,400), investment costs ($81,292,000), audit costs ($2,645,000) and Board expenses ($100,000). Of that amount, $154,749,100 is charged directly to the Fund and $21,569,400 is shared by the United Nations. In addition, resources amounting to $158,200 were approved for extrabudgetary costs, to be provided by a number of member organizations. In its resolution 65/249, the Assembly approved the redeployment of appropriations to meet the needs of the Fund. The revised appropriation includes administrative costs ($92,308,500), investment costs ($81,197,500), audit costs ($2,645,000) and Board costs ($167,500). The amounts charged directly to the Fund and the United Nations share remain unchanged at $154,749,100 and $21,569,400, respectively.","Table 1 Revised estimates for the biennium 2010-2011 by object of expenditure","(Thousands of United States dollars)","Estimated expenditures for the seven-month period from 1 January 2010 to 31 December 2011","(a) (b) (d) = (b) + (c)-(a) = (a) + (d)","Administrative costs","Posts","Temporary posts","Other staff costs","Consultants 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (1991) — 338.5 — 338.5","Travel 1,360.6 – 1 360.6 907.2 – 907.2 389.9 – 389.9 (63.5) – (63.5) 1 297.1 – 1 297.1","Contractual services","Hospitality 4.0 - 4.0 4.3 - 4.3 1.0 - 1.0 1.3 - 1.3 5.3 - 5.3","General operating expenses","Supplies and materials","Furniture and equipment","Total","Investment costs","Posts","Other staff costs","Consultants 2,328.8 2 328.8 702.6 — 702.6 1 626.2 — 1,626.2 — 2 328.8 — 2 328.8","Travel 2 000.0 2 000.0 1 100.6 – 1 100.6 610.4 – 610.4 (289.0) – (289.0) 1 711.0 – 1 711.0","Contractual services","Hospitality 22.0 20.4 - 20.4 3.0 - 3.0 1.4 - 1.4 23.4 - 23.4","General operating expenses","Supplies and materials 160.010.053.8 – 53.8 105.8 (0.4) (0.4) 159.6 – 159.6","Furniture and equipment","Total","Audit costs","External audit 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 551.0 110.2 661.2","Internal audit","Total","Board expenses 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3","Total resources","Extrabudgetary costs (after-service health insurance system)","Operational activities 158.2 - 158.2 90.0 - 90.0 54.3 - 54.3 (13.9) - (13.9) 144.3 - 144.3","5. Approved revised appropriations for the following purposes:","(a) Administrative costs: an increase of $94,600 under general temporary assistance to cover the cost of one post at the P-4 level related to the implementation of the International Public Sector Accounting Standards (IPSAS);","(b) Investment costs: a decrease of $94,600 under contractual services.","6. Total expenditure for the biennium 2010-2011 is estimated at $154,545,700, comprising administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board costs ($245,300), resulting in savings of $21,772,800, or 12.3 per cent of the total appropriation. In addition, projected extrabudgetary expenditures of $144,300 resulted in savings of $13,900, equivalent to 8.8 per cent of the appropriation.","A. Administrative costs","7. Administrative costs are estimated at $80,478,500, resulting in underexpenditure of $11,830,000, or 12.8 per cent. The main resource variance resulting from the net savings is attributable first and foremost to the Integrated Pension Administration System, as explained in paragraphs 13 to 17, which resulted from the improvement of the project plan of the system, the addition of new basic activities and the installation of new information technology infrastructure. As the Integrated Pension Administration System project is a major capital project of the Pension Fund, the estimated expenditures for the Integrated Pension Administration System project for the biennium 2010-2011 are highlighted in table 2 separately from the non-project-related estimates.","8. Key resource variances not related to the Integrated Pension Administration System include:","Posts underexpenditure of $2,505,500","9. The savings were attributable mainly to the higher average vacancy rate at the beginning of the biennium.","Other staff costs — overexpenditure of $657,700","10. The overexpenditures were attributable mainly to the increased workload resulting from the increase in the number of participants, retirees and other beneficiaries, which required general temporary assistance.","General operating expenses — overexpenditure of $2,182,900","11. The overexpenditure was due mainly to bank charges estimated at $2,500,000. The 2010-2011 budget estimates submitted to the Board included estimates for bank charges under the general operating expenses category. As a result of the Board ' s deliberations, this cost was deleted from the budget submission to the General Assembly (see A/64/291, annex VII, para. 34). Bank charges of $2,500,000 for benefit payments are based on actual charges for the 2008-2009 performance period.","4. Projects held in the biennium 2010-2011","12. Details of information technology projects undertaken during the biennium 2010-2011 are summarized below.","Table 2 Status of projects for the biennium 2010-2011","(Thousands of United States dollars)","Integrated Pension Administration System (PENSYS) 14 361,400 2 299 906 (12 061494) December 2011","Integrated Pension Administration System","During the biennium 2010-2011, the Fund continued to implement the main basic tasks of the project, including: (a) the construction of a comprehensive data dictionary for the existing systems (PENSYS and Lawson); (b) the preparation of a detailed data analysis for the existing system; (c) the use of a dedicated “large volume” process and the cleansing of data through the work of the staff of the Integrated Pension Administration System project team on the PENSYS and Lawson databases; (d) the updating of the process document (to complement the flowchart developed during the planning and design phases of the project); (e) the preparation of the first set of calculation formulas to calibrate the Fund's complex and detailed basis of calculation and to prepare for signature and approval at the implementation stage by internal and external experts; (f) the updating of the technical documents detailing the data exchange approach (interface) between the existing system and other entities; and (g) the establishment of a first set of detailed testing banks, the scope of which would include interfaces and computational results.","14. The project began with two additional initiatives not considered in the original plan. The first was an extensive bottom-up review of the statement of needs prepared during the first phase of the project. The target operating model and project scope were improved during this phase. New functional and information technology requirements have been expanded. The final statement of work considered 333 detailed functional and information technology specifications in addition to 18 key high-level requirements.","15. The second initiative relates to the exploration of new technologies, as a means of creating better interfaces allows for a seamless interface between the payroll system (between the Integrated Pension Administration System and the human resources and financial systems of member organizations) and better access to existing databases to automate the verification of contribution calculations, along with other data quality protocols. In view of the recent strategy of many member organizations to transition to an enterprise resource planning platform, the Fund is exploring the possibility of a common interface using newer technologies. Following the completion of the implementation of SAP software by the United Nations, it is estimated that 96 per cent of Fund participants will maintain data under an enterprise resource planning platform. This initiative is closely linked to the development of the Integrated Pension Administration System, as the revised specifications take into account: (a) the need for seamless connectivity between payroll systems; (b) the tool for efficient use of the common ERP interface; and (c) the development of a web-based access system (for organizations without an ERP platform).","16. The two additional initiatives have produced more detailed specifications that will guide the process of parameterization and functionalization more accurately and more effectively. This will improve the new system and save time and resources when changes are made after commission. In addition, the Integrated Pension Administration System project will seek to harmonize its data requirements as early as possible with the data generated by member organizations ' enterprise resource planning systems. Naturally, the success of the integrated management system will be closely linked to the quality, timeliness and accessibility of human resources and financial data provided by the Fund ' s member organizations.","17. While the overall cost estimate of $22,660,300 (before recosting) for the Integrated Pension Administration System project remains unchanged, new activities have been added to the project plan and significant changes have been made to the procurement process (on the recommendation of the United Nations Procurement Division) to include a two-phase evaluation. As a result of these changes, the original time frame was extended and the estimated expenditure time adjusted accordingly. Table 3 highlights the estimated expenditures for the biennium 2010-2011 and the estimated total project costs.","Table 3 Summary of requirements for the Integrated Pension Administration System","(Thousands of United States dollars)","Proposed final appropriation Proposed appropriation Appropriation Estimated appropriation Estimated appropriation Estimated appropriation","Temporary posts 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6","Travel 84.8 84.8 – 84.8 – – 84.8","Contractual services","Furniture and equipment 3.0 — (3,000.0) —","Total administrative costs","Furniture and equipment underexpenditure of $3,000,000","18. The underexpenditure was attributable to the decision to install the project ' s information technology hardware at the Fund ' s new data centre owing to weaknesses identified in the data centre at 1 Dag Hammarskjöld Plaza. The project was originally planned to acquire 12 new servers, 15 storage area network modules and an extension of the uninterruptible power supply system and to install it in the data centre on the fourth floor of Dag Hammarskjöld Plaza, to provide the additional capacity required to host the new system application.","19. However, the plan was not considered feasible because of the serious weaknesses identified in the data centre at 1 Dag Hammarskjöld Plaza. A business impact analysis was conducted in 2009 and presented to the Pension Board in 2010, which revealed that, although the data centre had installed an uninterruptible power supply system, there were no generators to cope with a possible power outage by the power company (or the building circuit system). An earlier assessment of the data centre was conducted in accordance with industry practice regarding the production data centre, and the rating for the facility was two points on a 10-point scale (the top 10 points or the best). Therefore, the installation of new hardware at data centre 1 Dag Hammarskjöld Plaza would pose a serious risk to the Integrated Pension Administration System project.","20. Following an extensive search for appropriate alternatives, the Fund decided to relocate the information and communications technology infrastructure located at 1 Dag Hammarskjöld Plaza to the new North American data centre, a new and more reliable data centre that would properly ensure the availability of its mission-critical systems. The North American Data Centre was classified as level 3, i.e., 99.9 per cent of its time is fully operational and available, in accordance with the TTIA-942 DC standard.","Contractual services underexpenditure of $7,256,300","21. The underexpenditure was attributable mainly to the relocation of the data centre, which provided mainframe services for new system applications, to another address. In the context of the relocation of the existing equipment at 1 Dag Hammarskjöld Plaza to the new North American data centre, a new equipment of $750,000 was acquired and installed at the centre to fully provide the full capacity expected from the Integrated Pension Administration System. An invitation to bid in the amount of $400,000 was issued to hire a professional consulting firm to assist in redesigning the data centre process in line with the new target operating model and the new paradigm and to develop test scenarios as a basis for ensuring that the new system is able to process entitlements and payments accurately, safely and efficiently.","22. The above initiatives have enabled the Integrated Pension Administration System project to better initiate the next phase, but this has changed the original project schedule. The entire system deployment time of the project is estimated at 30 months (after the conceptual justification has been tested and approved) and has not changed. It is therefore expected that the development of the system will be completed by April 2014 and that parallel testing and training will be completed in 2014. However, this target date depends on the duration of the remaining procurement/contracting activities, which are expected to be completed within nine months. Accordingly, the appropriation for the development, parameterization and implementation of new applications considered in the 2010-2011 budget ($7,256,300) will not be utilized until the biennium 2012-2013. Annex II to the supplementary financial information contains detailed project schedules and descriptions of activities.","Temporary posts underexpenditure of $1,805,200","23. The underexpenditure for posts was due mainly to the use of staggered recruitment methods, which resulted in the optimal utilization of project resources and compliance with the updated project schedule.","Client services initiatives","24. A pilot project (iServ) based on the Oracle Siebel customer relationship management system was commissioned with the objective of streamlining and automating the procedures for reporting incidents to the Fund ' s webmaster. The project has proved to be much more complex and demanding than originally estimated, but it has helped the Fund to acquire a wealth of knowledge and valuable lessons learned on the establishment of a customer relationship management system. This project also helps the Fund to determine that a comprehensive customer relationship management programme may not be the most practical, appropriate or cost-effective course of action to be adopted immediately in its core business activities. In particular, considering that CRM could be part of the Integrated Pension Administration System initiative), but the establishment of smaller local applications to meet the most urgent needs of the Client Services Unit in the short term would enable it to better understand how the system was designed when it eventually integrated with business processes.","25. As an alternative, a Lotus Notes-based customized application has been developed to track interactions with clients who have visited the Fund in person or contacted the Fund by telephone. This application not only records valuable information, such as what services are requested, the mode of service provision (face-to-face or telephone) and the time used to service a client, but also provides easy-to-use reporting and analysis tools (including guidance boards) that can be used to view statistics and trends over time. It is envisaged that, over time, the application will be strengthened to include more performance and to cover more client service activities.","Network system initiatives","26. The web-based system initiative uses web-based customized applications that allow beneficiaries and participants to have direct access to personalized data at all times. Key applications, including the two-track benefit estimation system, certificate of entitlement tracking and annual statements, have now become standard client service items. At any time, if the cost-of-living index and/or quarterly exchange rate changes, cost-of-living circulars are prepared, which are now available online for registered monthly beneficiaries. The pension estimate interface, which can be accessed through the annual statement application, has now been redesigned and is available to clients since the 2009 annual statement. In the Fund ' s ongoing efforts to support an increasing number of visitors, some of the infrastructure and applications of the website have been upgraded to provide a more stable and secure environment. A new portal has been added to provide a role- and security-based single-point access interface for many Fund-wide web applications. Additional e-learning applications and induction workshop software were added to meet training needs and new courses will be offered in 2011. A digest of cases was developed for the Legal Office and will be posted on the website in 2011.","Enterprise systems initiatives","27. The enterprise systems initiative will ensure that mission-critical business systems (e.g., the Content Management System and Lawson) have up-to-date updates, versions and upgrades of vendors while keeping abreast of changes in the Fund ' s business model. All necessary updates, versions and upgrades have either been successfully installed or will be successfully installed by the end of 2011.","Enterprise business initiatives","28. As part of the business requirements of the enterprise, all critical mission systems have travelled to a new site in Piscataway, New Jersey. The new facility has a level III data centre error tolerance, with 99.9 per cent availability. Telecommunications equipment will continue to be installed in the data centre at 1 Dag Hammarskjöld Plaza, while the Geneva office and the support system for the business continuity and disaster recovery environment will be installed at the Geneva data centre. The storage area network was upgraded in the data centre relocation project to increase capacity and reduce system response time. A new virtual infrastructure was established, which enabled 70 per cent of the Fund ' s servers to operate in virtual clusters, thereby increasing operational efficiency and availability and making the server infrastructure more manageable. Lawson and database servers have been upgraded and a failover cluster has been established to optimize recovery time and responsiveness to users. The relocation of the Geneva data centre is under way. The new facility, which is operated by the International Computing Centre, will enable the Fund to virtualize the supporting redundancy of 95 per cent of servers and the network environment. A new data backup system was established, which reduced maintenance and document recovery times. An enterprise e-mail archiving solution was implemented at the Fund to efficiently manage the e-mail service and to keep up with the growing mailbox and unrestricted preservation policy. In the process, the Fund ' s e-mail server and client were continuously upgraded to the latest version. It is expected that the Information Management Systems Service will complete the upgrade of the uninterrupted power supply system by the end of 2011.","Information technology consolidation initiatives with the Investment Management Division","29. The information technology consolidation with the Investment Management Division is proceeding as planned and is scheduled to be completed during the current biennium. A number of infrastructure projects were implemented successfully and in a timely manner in a shared infrastructure environment, as agreed between IMSS and the Investment Management Division. These include the trade order management system, the SWIFT system and the document management system. A disaster recovery system was also successfully established and tested in Geneva for the trade order management system and the SWIFT system. Work in the last five of the 38 areas identified for consolidation is under way and is expected to be completed during the biennium. These areas include: networks, help desks, list services, document sharing and e-mail consolidation.","B. Investment costs","30. Investment costs are estimated at $71,289,000, resulting in underexpenditure of $9,908,500, or 12.2 per cent. Major resource variances resulting in net savings include:","Posts underexpenditure of $953,400","31. The savings were mainly attributable to the later than anticipated recruitment of staff.","Travel — underexpenditure of $289,000","32. The savings were attributable mainly to the later-than-anticipated recruitment and availability of staff as a result of the scheduling of work. The reduced travel requirements were offset in part by increased requirements for travel of members of the Investments Committee.","General operating expenses — underexpenditure of $331,100","33. The savings were attributable to lower-than-anticipated costs, such as cooling water, cleaning services and buildings management.","Contractual services underexpenditure of $8,445,200","Table 4 Contractual services: estimated expenditure for 2010-2011","(Thousands of United States dollars)","Estimated expenditure Overexpenditure or (underexpenditure)","External legal consultant 1 200.0 1 200.0 -","Third-party service providers","(a) Global custodians and advisers","Global custodian 6 952.0 3 743.8 (3 208.2)","Consultants 16 976.4 14 994.0 (1 982.4)","Subtotal (a) Component 23 928.4 18 737.8 (5190.6)","(b) Portfolio management","Small capitalization 12 500.0 13 562.4 1 062.4","Publicly traded real estate 2 700.0 700.0 (2 000.0)","(b) Subtotal, part 15 200.0 14 252.4 (937.6)","(c) Market data services","Subtotal, third-party service providers","SWIFT contractual services 590.0 345.0 (245.0)","Other contractual services 8 419.0 7 489.0 (930.0)","Total 52 878.9 44 433.7 (8 445.2)","34. The savings were attributable to a number of factors, including delays in the procurement of multiple custodians and independent master record keepers, the hiring of a publicly traded real estate administrator and the hiring of fixed income, physical assets and replacement investment consultants, and lower-than-anticipated procurement costs for applications such as disaster recovery solutions, SWIFT and compliance systems. The reduced requirements were offset in part by an increase in the cost of small capitalization owing to the increase in fees as a result of good performance.","5. Projects implemented in the biennium 2010-2011","35. Table 5 shows the status of information technology projects funded and implemented during the biennium 2010-2011.","Table 5 Status of projects for the biennium 2008-2009","(United States dollars)","Project projection/actual completion date Estimated expenditure","Portfolio risk and performance attribution system","36. As of February 2011, the Investment Management Division was conducting a user acceptance test for the most risky analysis scenarios. Some important risk reports have been developed. However, the Division is still awaiting more contracts between the Procurement Division and the Office of Legal Affairs for the use of various data sources. These market data sources are essential for completing risk measurement. Upon completion of this work, current services will be maintained. If the data source contract is finalized, the project is expected to be completed and fully operational by October 2011.","Electronic order management and trading system","37. Charles River came into operation in March 2010. Current operations cover equities, foreign exchange and fixed-income transactions. The system is also linked to brokers through FIX protocols and to custodian banks through SWIFT. The Investment Management Division is in the process of installing an electronic platform for other assets. Currently, 99 per cent of cross-assets are settled through SWIFT. The Investment Management Division continued to support and strengthen the Charles River working environment.","Pre- and post-trading compliance system","38. The pre-trading and post-trading system (Charles River) has been completed and has been operational since March 2010. The Investment Management Division continues to maintain and update compliance rules as required.","Portfolio accounting and reconciliation system","39. The contract for the establishment of a portfolio accounting and reconciliation system was awarded to Murex North America in April 2010 and the legal contract was signed in February 2011. A project launch meeting was held on 16 February 2011. The Investment Management Division is currently finalizing the implementation plan and making resource commitments, with the goal of completing the first phase of implementation by 30 June 2011. It is estimated that the project will be completed by 31 December 2011. It is important to note that this project includes the conversion of investment activities to IPSAS.","Data centre system","40. By February 2011, the Investment Management Division had completed its technical evaluation. The due review will be scheduled for the second half of 2011. Implementation of the data centre is expected to begin in 2012.","OMEGEO, FXALL, TradeNet and other identification and trading platforms to be incorporated into Charles River","41. In order to strengthen the Charles River trade order management system, the Investment Management Division plans to add the following platforms: OMEGEO, an electronic recognition and certification system for stock transactions; FXALL, FXConnect and Bloomberg FX: all foreign exchange trading platforms; and trading networks, Market Express, Bond Vision and Bloomberg FI: all fixed-income trading platforms. Contracts for each product are currently being negotiated. The Investment Management Division plans to integrate all these platforms by December 2011.","SWIFT in disaster recovery site (Geneva International Computing Centre)","42. The Charles River disaster recovery system was completed in March 2011. The disaster recovery system includes FIX, Bloomberg data authorization, Bloomberg volume data and Bloomberg API. The system also provides connectivity to SWIFT.","Bloomberg data authorization, Bloomberg volume data and Bloomberg API","43. Bloomberg data authorization, Bloomberg volume data and Bloomberg API were installed in March 2010 and integrated into Charles River.","SWIFT in disaster recovery site (Geneva International Computing Centre)","44. The SWIFT disaster recovery site became operational in January 2010. The Investment Management Division is currently integrating it with the Charles River disaster recovery architecture.","SWIFT Upgrade to Version 7","45. Upgrading SWIFT to the required version 7 is scheduled to be completed in June 2011.","C. Audit costs","46. The estimated expenditure for audit costs would reduce the utilization of the appropriation by $112,100, attributable mainly to general temporary assistance for internal audit.","D. Board expenses","47. The additional requirements of $77,800 are attributable to the higher than anticipated cost of the planned design working group.","E. Extrabudgetary costs","48. The underexpenditure of $13,900 was attributable to the three-month vacancy of General Service (Other level) posts financed from extrabudgetary funds","III. Proposed budget for the biennium 2012-2013: results-based-budgeting frameworks and analysis of resource requirements","Introduction","General","49. The United Nations Joint Staff Pension Fund is a fully funded defined pension fund that provides retirement and other benefits to nearly 64,000 retirees and beneficiaries. Currently, some 120,000 active participants are accumulating their pension rights under the Fund. At the end of 2010, the Fund had total assets of $41.4 billion. The Fund is administered in accordance with the Regulations adopted by the General Assembly. The Pension Board administers the Fund and reports annually to the General Assembly. The day-to-day operations of the Fund are supervised by the Chief Executive Officer. The Fund has 245 staff members. The present budget and its annexes provide details of the Fund and its day-to-day operations.","50. Investments of the Fund are determined by the Secretary-General. The Secretary-General has delegated this responsibility to his representative, who manages the Investment Management Division of the Fund. The Investment Management Division is responsible for the investment and accounting of the assets of the Fund, with a view to ensuring that the investment returns are adequate in accordance with the risk tolerance of the Fund and the requirements of the liabilities.","51. The Fund has grown significantly over the past decade as new member organizations join and the total number of participants, retirees and other beneficiaries it serves continues to grow. During this period, the number of active participants increased by 63 per cent and the number of periodic benefits increased by 33 per cent. The Fund ' s management charter identifies the following five types of challenges:","(a) The increasing complexity of the operations of the Fund;","(b) The increasing interdependence of assets and liabilities;","(c) Ageing of information systems and increased demand for services;","(d) High standards of quality services and operations;","(e) Social and environmental responsibility.","52. To meet these challenges, the Fund undertook a comprehensive study of changes in risk assessment, asset-liability management, IMF and its plan design and PENSYS. The Fund then formulated the following medium-term objectives outlined in its strategic framework:","(a) Strengthening the Fund ' s business model;","(b) Improved risk management and internal controls;","(c) Strengthening information systems;","(d) Improving the quality and efficiency of services, including communications and outreach;","(e) Promoting social and environmental responsibility.","53. Each operational unit has a specific action plan to achieve these objectives, including a medium-term human resources plan, business impact analysis and disaster recovery plan. These plans have been used in the preparation of the following budget proposals.","54. In summary, during the biennium 2012-2013, the Fund intends to allocate financial and human resources to the following key initiatives outlined in the strategic framework:","(a) Integrated Pension Administration System — new operating model for the Integrated Pension Administration System;","(b) IPSAS -- new accounting standards for the financial statements of the Fund;","(c) Sensitive client services;","(d) Other actions needed to improve operational efficiency and to improve risk assessment and management, e-learning, training and knowledge management.","55. The Fund is expected to achieve its overall objective on the assumption that sufficient human and financial resources are available. This will be a particularly serious challenge in the coming years, given the current financial constraints. However, it was important to recognize that the Fund was developing at a critical time beyond its control. Since its inception, the Fund has grown steadily. Over the past decade, the Fund has seen an unprecedented increase in its client base. At the same time, the scope of the Fund ' s services has been expanding, not only to include an increase in the number of people, but also to accommodate a broader range of special cases, resulting in increased complexity. The related increase in workload and complexity was at its peak in the face of the continued loss of institutional memory, as a large number of retirements and other separations had taken place in recent years. In addition, the Fund ' s client base is also ageing as a result of longevity, often requiring more extensive advice and other special needs for client services. In addition to the major challenges posed by these external factors, this fund, which requires very professional and long-standing expertise, must also seek to be consistent with certain organizational policies. This creates special difficulties that external firms usually do not face. In view of the need for special and long-term expertise and its independent status as an inter-agency entity, the Fund is currently reviewing its staff recruitment, mobility and promotion policies and retention policies. The Fund intends to address these issues in a revised memorandum of understanding.","56. The Fund secretariat further considered the challenges posed by the current economic environment and reviewed its staffing needs and decided to defer the request for a number of staff positions. While these positions are important for achieving the medium-term objectives of the Fund ' s strategic framework, the secretariat believes that the hiring of staff could be delayed by limiting changes in the design of the Fund ' s plan and limiting the number of new projects that have been added, while continuing efforts to increase efficiency and productivity. However, these positions cannot be postponed indefinitely unless there is a change in the operational capacity of the Fund and its ability to respond to clients and/or a timetable for achieving its objectives.","57. To that end, it must be recognized that, at a time when the Fund had to work to meet its budgetary constraints, it was possible for the United Nations to approve new peacekeeping missions outside the regular budget. This poses significant challenges and even risks to the Fund, which must continue to provide adequate and timely services to the additional employees of these missions.","Results-based budgeting, methodology and terminology","58. The present budget report follows the results-based-budgeting presentation used by the Fund in its budget submission for the biennium 2008-2009. The resources requested are calculated on the basis of the Fund ' s programmes and all justifications and supporting information are provided in supplementary financial information in the proposed budget.","59. The following factors have been used in the calculation of resources:","(a) The following delayed recruitment factors were applied to New York and Geneva for 2012 and 2013: the continuation of 90.4 per cent of Professional posts, 50.0 per cent of new Professional posts, 96.5 per cent of continuing General Service posts and 65.0 per cent of new General Service posts. These factors are also used in version 1 of the standard salary scales for 2012-2013 in New York and Geneva;","(b) Average annual rates of inflation for 2012 and 2013: 1.90 per cent and 2.50 per cent for New York and 1.0 per cent and 1.30 per cent for Geneva, respectively;","(c) The exchange rate for Geneva of 1.046 for 2012 and 2013;","(d) Within the framework of the cost-sharing arrangements between the United Nations and the Fund, in addition to the cost of posts in the Information Management Systems Service and the Administrative Office, specific management costs will continue to be shared at a rate of one third and two thirds, respectively. Based on the approved post ratio of the Secretariat (170) to the Investment Management Division (58), plus project-specific posts (17), 69.4 per cent of the cost of posts in the Information Management Systems Service and the Executive Office would be met through cost-sharing arrangements.","2. Overall resources requested","60. Human and financial resources requested for the Fund as a whole, as well as estimates of extrabudgetary resources and a breakdown of additional post requirements, are provided below.","Table 6 Percentage distribution of resources by component: UNJSPF","Regular budget","A. Executive direction and management 7.0","Programme of work","1. Administration 17.7 100.0","2. Investments 33.0","Subtotal B","C. Support","1. Information technology 31.8","2. Legal Office 0.7","3. Administrative support 8.3","Subtotal C 40.8","D. Audit","E. Pension Board 0.1","Total","Table 7 Resource requirements by component: UNJSPF","(Thousands of United States dollars)","Total recosting United Nations Joint Staff Pension Fund estimates for 2012-2013","1. Regular budget","Executive direction and management","Programme of work","1. Operations 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1","2. Investments 55 678.4 7 451.7 13.4 63 130.1 816.5 - 63 946.6 63 946.6","Subtotal B","C. Support","1. Information technology","Legal Office - 1 358.4 – 1 358.4 (16.2) 447.4 894.8 1 342.2","3. Administrative support","Subtotal C 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4","D. Audit","Pension Board","Total 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194164.0","61. As shown in table 8 below, the overall increase of $15,302,100 (before recosting), or 8.7 per cent, is attributable to an increase in administrative costs ($4,564,600), investment costs ($10,601,800), audit costs ($103,200) and Board expenses ($32,500).","The increase of $4,564,600 under administrative costs reflects the net effect of the proposed increase in established posts ($739,400) and temporary posts ($800,500), of which $680,100 and $800,500 are attributable to delayed recruitment factors for established and temporary posts, respectively, and $3,024,700 under non-post costs. The increase in non-post costs is due mainly to increases under contractual services ($6,087,900) and general operating expenses ($1,446,300), offset in part by decreases under furniture and equipment ($3,989,000), other staff costs ($122,500), consultants ($237,600) and travel ($136,100).","63. The increase of $10,601,800 under investment costs reflects the net effect of the proposed increase in posts ($2,486,900) and non-post costs ($8,114,900), of which $1,222,700 is attributable to delayed recruitment factors. The increase in non-post costs is mainly attributable to an increase in contractual services ($9,653,200) and other staff costs ($530,400), offset by a decrease in resources for consultants ($1,151,800) and general operating expenses ($916,900).","64. The increase of $103,200 in resources for audit costs reflects the Fund ' s share of the increase in the costs of the Board of Auditors ($113,500) and includes the net effect of the proposed reduction in internal audit costs ($10,300). The decrease in internal audit costs is due mainly to a slight decrease in communications ($9,800) and supplies and materials ($5,000) and increased requirements for furniture and equipment ($5,800). In addition, decreases and increases of $80,000 are offset by decreases and increases in contractual services, respectively.","65. The percentage distribution of resources by component for the Fund and the estimated resources requested are summarized in tables 6 and 7, respectively.","Table 8 Financial resource requirements for the biennium 2012-2013","(Thousands of United States dollars)","United Nations Joint Staff Pension Fund estimates for 2012-2013","Administrative costs","Posts","Temporary posts – 2 870.3 800.5 27.9 3 670.8 (103.4) – 3 567.4 3 567.4 1 581.3 1 986.1","Other staff costs","106.4 537.6 (237.6) (44.2)","Travel","Contractual services","Hospitality 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1","General operating expenses","Supplies and materials","Furniture and equipment","Total 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8","Investment costs","Posts 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) - 17 406.0 17 406.0 8 644.2 8 761.8","Other staff costs","Consultants","Travel 1,018.0 2,000.0 — 2,000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0","Contractual services 27 491.4 52 878.9 653.2 18.3 62 532.1 1 387.1 - 63 919.2 63 919.2 29 924.0 33 995.2","Hospitality","General operating expenses","Supplies and materials","Furniture and equipment 246.6 700.0 – – 700.0 15.5 – 751.6 715.5 356.7 358.8","Total 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 – 92 938.2 92 938.2 44 613.4 48 324.8","Audit costs","External audit","Internal audit","Total 2 294.7 2 645 0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9","Board expenses","Total resources requested","Extrabudgetary costs (after-service health insurance system)","Operating activities","Table 9 Human resource requirements","Extrabudgetary posts","Administration","Professional and above","Assistant Secretary-General 1 1 – – – – 1 1","D-2 1 – – – – 1 1","D-1 4 – – – 4 4","P-5 9 1 – – 10 10","P-4 19 20 8 7 – – 27 27","P-3 25 24 4 – – 29 28","P-2/1 1 – – – – 1 1","Subtotal 60 60 13 12 – – 73 72","General Service","Principal level 10 10 – – 10 10","Other level 99 99 5 5 1 105 105","Subtotal 109 109 5 1 115 115","Total administration 169 169 18 17 1 188 187","Investments","Professional and above","D-2 1 – – – – 1 1","D-1 2 – – – 2 2","P-5 10 – – 10 10","P-4 13 18 – – 13 18","P-3 7 9 – – – 7 9","P-2 – –","Subtotal 33 40 – – – – 33 40","General Service","Principal level 10 10 – – 10 10","Other level 15 15 – – 15 15","Subtotal 25 25 – – 25 25","Total investments 58 65 – – – 58 65","Total UNJSPF 227 234 18^ (c) 17^ (b), (c) 1^ (a) 1^ (a) 246 252","(a) One extrabudgetary General Service (Other level) post funded by Member States.","(b) Includes 17 temporary posts for the Integrated Pension Administration System.","(c) Of the 18 temporary posts approved for the biennium 2010-2011, one post at the P-4 level is approved for 12 months only. The post was abolished in 2011.","66. As shown in table 9, the present budget report provides for the establishment of seven additional posts and the reclassification of one post, as follows:","(a) Provision is made for the reclassification of one post (from P-3 to P-4) in the Secretariat and the continuation of one extrabudgetary post (1 General Service (Other level)) funded by member organizations;","(b) Provision is made for seven additional established posts (5 P-4, 2 P-3) for the Investment Management Division.","Table 10 summarizes the additional posts requested.","Table 10 Summary of post requirements","Reclassification of Finance and Budget Officer 1 P-3 to P-4","B. Administrative costs","General","68. The secretariat is responsible for the administration of the United Nations Joint Staff Pension Fund under the authority of the Pension Board. The objective of the Secretariat is to provide related services to participants and benefits and related allowances to retirees and beneficiaries under the best conditions of safety, performance, responsibility and accountability, in full compliance with the highest standards of efficiency, competence and integrity. In providing these services, the Fund must face an increasingly complex set of regulations. These regulations relate to decisions taken in the past as economy measures or in response to strong social needs for new categories of beneficiaries. The Secretariat must also continue to adapt its processes and procedures to the changing banking and regulatory environment.","69. Total resources for administrative costs amount to $96,873,100 before recosting, reflecting a net increase of $4,564,600, or 4.9 per cent, compared with the revised appropriation for the biennium 2010-2011. The net increase shown in table 12 is summarized as follows:","(a) Executive direction and management: the decrease of $1,104,400 relates to post requirements ($810,200), due mainly to the redeployment of three posts (2 P-5, 1 General Service (Other level)) to the Legal Office. The decrease in non-post requirements relates to other staff costs ($50,100), consultants ($337,600) and travel ($114,500). Increases in contractual services ($112,000) and general operating expenses ($96,000).","(b) Programme of work: the increase of $3,498,400 relates to post requirements ($751,500) and an increase of $2,746,900 in non-post resources. Of the post requirements, $147,400 is attributable to the net effect of the delayed recruitment factor and the redeployment of one post at the P-4 level to the Legal Office, and $604,100 is attributable to the delayed recruitment factor for 12 temporary posts in the Integrated Pension Administration System. The increase in non-post resources is due to increases in general operating expenses ($2,846,300) and consultants ($100,000) and a decrease in other staff costs ($199,400).","(c) Programme support. The increase of $2,170,600 relates to an increase in resources for the Information Management Systems Service ($2,084,100), the outward redeployment of the Legal Office from executive direction and management ($1,358,400) and a decrease in resources for the Executive Office ($1,271,900). For the Information Management Systems Service, the increase in resources for temporary posts ($196,400) is due to delayed recruitment factors. The increase in non-post resources ($1,903,200) is due mainly to an increase in contractual services ($5,975,600), offset in part by reduced requirements for furniture and equipment ($3,976,400), general operating expenses ($177,400) and travel of staff ($21,600). The increase in post resources for the Legal Office reflects the outward redeployment of three posts (2 P-5 and 1 General Service (Other level)) from the Office of the Chief Executive Officer and the outward redeployment of one post at the P-4 level from the United Nations Office at Geneva for supervisory purposes. The decrease in resources for the Executive Office ($1,318,600) is attributable to non-post requirements for general operating expenses, in particular rental and maintenance of premises.","70. The estimated distribution of resources is shown in table 11 and the resource requirements by component in table 12.","Table 11 Percentage distribution of resources by component: administrative costs","Regular budget","Executive direction and management","B. Programme of work (operations, finance) 35.1 100.0","C. Programme support","1. Information Management Systems Service 44.7","2. Legal Office 1.4","3. Executive Office 12.2","Subtotal C 58.3","Total","Table 12 Resource requirements by component: administrative costs","(Thousands of United States dollars)","Total recosting United Nations Joint Staff Pension Fund estimates for 2012-2013","1. Regular budget","Executive direction and management","B. 30 470.0 3 498.4 11.5 33 968.4 908.7 6 527.5 25 349.6 34 877.1 Programme of work (operations, finance)","C. Support","1. Information Management Systems Service","Legal Office - 1 358.4 – 1 358.4 (16.2) 447.4 894.8 1 342.2","3. Executive Office","Subtotal, part C","Total 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6","2. Extrabudgetary 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8","Executive direction and management","Resource requirements (before recosting): $6,382,500","71. Under the authority of the Pension Board, the Chief Executive Officer is responsible for the administration of the Fund and the provision of related services to member organizations, participants, retirees and beneficiaries. In providing such services, the Chief Executive Officer must ensure that a framework is in place to optimize the Fund ' s operations in terms of security, performance, responsibility and accountability and that it fully meets the highest standards of efficiency, competence and integrity. In order for the Fund to fulfil its responsibilities within this framework, it must respond to the increasingly complex and changing design of the plan, in accordance with its regulations, rules and its unique and complex pension adjustment system. The CEO must ensure that its actuarial costs can be weighed consistently and accurately to assess and manage risks, adjust its plan design, adjust its procedures to the changing human circumstances as a result of the significant impact of long-term social changes, including increased longevity, and fulfil its responsibilities in a changing banking, accounting and regulatory environment.","72. In the 60-year history of the Fund, the number of member organizations, participants, retirees and beneficiaries, the financial environment in which they operate and the value of the assets and liabilities they manage have increased significantly. The total number of individuals served by the Fund has exceeded 185,000 and is expected to continue to increase steadily over the medium to long term. The international and multi-organizational nature of the Fund and its multi-layered pension structure will continue to pose new and increasingly complex and daunting challenges. The responsibilities and requirements of the Fund have been steadily and significantly increased, and this will continue in the future. In response to the Board ' s request for a more strategic approach to human resource requirements, the Fund undertook a high-level review to determine its medium-term needs, taking into account the circumstances and pressing challenges facing the Fund, which was presented to the 2010 session.","Table 13 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To ensure full implementation of the Fund's programme of work in compliance with the Regulations and Rules of the Fund and the decisions and guidelines issued by the Pension Board and the General Assembly","External factors","73. Executive direction and management is expected to achieve its objectives and expected accomplishments on the assumption that they are provided with adequate human and financial resources.","Other outputs","74. During the biennium, the following outputs will be delivered:","(a) Servicing of intergovernmental and expert bodies: two sessions of the Pension Board; three meetings of the Committee of Actuaries, four working group meetings, one joint meeting of the Committee of Actuaries and the Investments Committee, six meetings of the Audit Committee and four meetings of the United Nations Staff Pension Committee;","(b) Drafting of documents; approximately 100 documents submitted to the Pension Board, the Committee of Actuaries and the Working Group; 15 notes to the Audit Committee, in addition to the technical and administrative servicing of its sessions;","(c) Other substantive activities:","(i) Efficient succession planning for retired staff; advance planning to avoid vacancies arising from staff retirement and to fill other vacant posts arising from staff turnover, to be filled within five months of the announcement of the vacancy;","(ii) Efficient management and control of:","• Integrated Pension Administration System project","• Business continuity and disaster recovery planning","• Enterprise-wide risk management","• Human resources policy and human resources medium-term plan","• Information technology integration","• Asset liability management study","• Business impact analysis","• Database","• Advisory Committee on Procurement;","Table 14 Resource requirements","(Thousands of United States dollars)","Posts","Non-post 3 845.9 3 551.7 —","Total 7 486.9 6 382.5 11 8","75. The amount of $6,382,500 would provide for the continuation of eight existing posts (1 Assistant Secretary-General, 1 D-2, 1 P-5, 2 P-4, 1 P-3, 1 General Service (Principal level) and 1 General Service (Other level)) and non-post resources related to overall administration. The decrease of $810,200 in post resources relates to the redeployment of three approved posts (2 P-5 and 1 General Service (Other level)) from the Legal Office to programme support. The decrease in non-post resources is mainly attributable to lower requirements for other staff costs ($50,100), travel ($114,500) and consultants ($337,600), while the use of the consulting actuary resulted in an increase in contractual services ($112,000) and the general operating expenses of the Fund to share the costs of the United Nations Appeals Tribunal cases ($96,000).","Programme of work","Resource requirements (before recosting): $33,968,400","76. The work programme, which includes the operations and finance services of the New York and Geneva offices, is responsible for the core functions of the Fund, including, but not limited to, the designation of new participants and their affiliation to the Fund, the recording of personal and financial historical data, the collection and recording of contributions to the Fund, the calculation and provision of entitlements, the payment of subsequent benefits and all related accounting activities. The programme is also responsible for providing client services to 185,000 active participants, retirees and other beneficiaries of the Fund.","77. It should be recalled that, in line with the recommendations of the Fund-wide review conducted in 2008, the Chief Executive Officer decided to separate the operational and financial components of the Fund. The CEO decided that, while there was an important link between the calculation and processing of entitlements (operations) and the payment and accounting of resulting benefits (financial), the two functions must be clearly separated. Operations focus on the correctness of calculations, which, once established, will apply to the lifetime of retirees and any eligible survivors. The focus of the Treasury is on the correctness of payments. The separation of the two functions and the establishment of a separate financial unit, independent of the operations, would allow for a clear division of responsibilities and enhanced accountability between the two core functions of the Fund, which constitute the present programme of work.","Operations","78. The operations include the Pension Entitlements Section and the Client Services, Records Management and Distribution Unit in New York and Geneva. The Director of Operations is responsible for the management and direction of the unit in accordance with the objectives set out in the Fund ' s management charter. The Director of Operations must ensure compliance with the Fund ' s regulations, rules and pension adjustment system, while strictly adhering to specific quality management, internal controls and information exchange policies. During the biennium 2012-2013, operations are expected to process more than 55,000 new participant entry, separation and entry and exit procedures. [1] It is anticipated that the Department will also process some 6,000 initial post-employment pension benefits, one of the most complex and therefore time-consuming procedures, including post-employment death, survivors ' benefits (sometimes involving multiple spouses residing in different locations), residual settlements, deferred pension payments, two-track systems (sometimes returning to the United States dollar track), benefits payable to surviving divorced spouses, surviving spouses ' pensions, special measures, etc. In addition to providing some 225,000 pension estimates through the Fund ' s website (i.e., during 2010), operational departments are expected to provide some 5,500 individual pension estimates over the next biennium, often involving individual counselling. During the biennium 2012-2013, the Department expects to send, track and record more than 100,000 certificates of entitlement upon receipt, and scanned more than 1.2 million documents into the Fund ' s content management system.","Table 15 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To ensure that services are provided to all eligible participants, retirees and other beneficiaries in accordance with the Regulations, Rules and Pension Adjustment System of the Fund and in full compliance with the communication, quality management and internal control policies established in the Fund's Management Charter","External factors","79. Operations are expected to achieve their objectives on the assumption that they are provided with adequate human and financial resources. It must therefore be recognized that the evolution of the Fund is at a critical juncture beyond its control. The Fund ' s constituency is growing rapidly. At the same time, the Fund ' s clients are ageing as a result of increased longevity, which in turn often requires more extensive counselling and other special client service needs.","Outputs","80. During the biennium 2012-2013, the following outputs will be delivered:","(a) Processing of approximately 18,000 withdrawal settlements and retirement benefits during the biennium [2]","(b) Processing of approximately 6,000 other benefits after the initial retirement benefit (i.e. survivors, children, two-track pensions, etc.);","(c) Determination of the eligibility and affiliation of approximately 30,000 new Fund participants;","(d) Issuance, tracking and recording of approximately 100,000 certificates of entitlement upon receipt;","(e) Responding to approximately 15,000 queries and e-mails;","(f) Hosting and servicing approximately 11,000 visitors;","(g) Pre-implementation tasks such as data cleansing and quality management, process records, algorithms and subsequent transition to the Integrated Pension Administration System platform;","(h) Effective recording, monitoring and strengthening of client interface controls;","(i) Review, assess, develop and implement a customer relationship management system;","(j) Review and develop enhanced training materials for workshops and seminars to be made available to Fund staff (in New York and Geneva), participants, retirees and other beneficiaries, as well as other human resources staff of the secretariat of the Staff Pension Committee and member organizations;","(k) Develop and implement a secure signature system to include graphic signatures in the electronic files of each individual served by the Fund for comparison purposes;","(l) Strengthen controls and redesign certificates of entitlement and make further efforts to streamline the entire process;","(m) Enhanced and sustained development of performance data to meet internal requirements and to inform oversight bodies;","(n) Enhancing outreach capacity through seminars and training for participants, retirees and other beneficiaries, the secretariat of the Staff Pension Committee, subcommittees (including advisory groups and working groups) and members of the Board.","Finance","81. The Finance Section, through its Disbursement, Accounts and Cashier Unit/Cash Management Unit, provides comprehensive services and is responsible for all financial, accounting and disbursement operations of the Fund. The total annual financial transactions of the Fund are approximately $3.8 billion (taking into account benefit payments and the collection of contributions). The Fund processes 62,000 periodic benefit payments per month in 15 currencies (based on the Fund ' s 2009 audited financial statements) and payments to retirees and other beneficiaries residing in more than 190 countries. The Section is also responsible for the preparation of timely and accurate Fund-wide financial statements, including those of the Investment Management Division, and for liaising and coordinating with the internal and external auditors on the financial aspects of the Fund.","Table 16 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To ensure timely, accurate and reliable benefit payments and full accountability for the financial, accounting and payment operations of the Fund, including the issuance of accurate and timely financial statements and liaison with internal and external auditors on financial matters Annual audits are expected.","External factors","82. The subprogramme is expected to achieve its objectives unless affected by: (a) disruptions in the banking services of pensioners as a result of political conflicts and natural disasters around the world; (b) unforeseen delays in the implementation of the system, resulting in delays in IPSAS financial statement information; and (c) inadequate human resources to properly service pensioners as a result of the growth of the Fund.","Outputs","83. During the biennium 2012-2013, the following outputs will be delivered:","(a) Preparation of three sets of financial statements and related documentation; preparation of updated financial statements for 2012 in line with changes resulting from the move from the United Nations system accounting standards to full adoption of IPSAS 26;","(b) Reduction in the number of outstanding audit observations between successive reports on areas under supervision and on technical accounting issues (taking into account new audit observations arising during the period);","(c) Comprehensive reconciliation of all remittance entities within a specified six-month period after the submission of the year-end schedules;","(d) At the time of the annual and biennial accounts, a full reconciliation between the data in the main separation file records and the historical record of payment;","(e) Presentations and workshops in New York, Geneva and the larger reporting entities on the issue of participant reconciliation irregularities in contributions;","(f) The timely completion of bank reconciliations for all accounts on a monthly basis;","(g) The timely implementation of any updated banking requirements for the payment of benefits to pensioners;","(h) With regard to payments to pensioners:","(i) Ensure that pensioners receive money in a timely manner;","(ii) Reduction of bank charges to the Fund;","(iii) To minimize or eliminate bank charges to pensioners.","Table 17 Resource requirements","(Thousands of United States dollars)","Posts 27 874.7 28 626.2 137 136","Non-post 2 595.3 5 342.2 —","Subtotal 30 470.0 33 968.4 137 136","Extrabudgetary","Total","84. The amount of $34,121,300 would provide for the continuation of 137 posts; 124 established posts (3 D-1, 3 P-5, 9 P-4, 13 P-3, 1 P-2, 8 General Service (Principal level) and 87 General Service (Other level)) Other level); 1 General Service (Other level) post funded from extrabudgetary resources; 12 temporary posts (6 P-4, 2 P-3, 4 General Service (Other level)) Other level) and redeployment of one P-4 Legal Affairs Officer post under the control of the Legal Office at the United Nations Office at Geneva, as well as non-post requirements. The increase in non-post resources is attributable to increased requirements for consultants ($100,000) and general operating expenses ($2,846,300), offset in part by increased requirements for general temporary assistance ($199,400). The significant increase in general operating expenses is due entirely to the deduction of bank charges by the Pension Board from the proposed budget for 2010-2011.","85. At its 186th meeting, the Standing Committee reviewed a note on the after-service health insurance premium reduction programme implemented by the Fund and approved the above-mentioned extrabudgetary resources to be funded by participating member organizations at no cost to the Fund.","4. Programme support","Information Management Systems Service","Resource requirements (before recosting): $43,324,900","86. Guided by the Fund ' s information and communications technology management model, the Information Management Systems Service is responsible for: the Fund ' s information systems services; the maintenance of information and communications technology; the coordinated implementation of strategic decisions adopted by the Information Technology Executive Committee; and the development of training plans and the necessary tools for information and communications technology staff to support knowledge-sharing and collaborative work.","87. The Service is responsible for providing the full range of computer office automation; software/system design, development and commissioning; hardware support; telecommunications; shared infrastructure services (including the Investment Management Division); oversight and technical leadership of information technology work at the Fund ' s Geneva office; and resource management, infrastructure and conference room support.","Table 18 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To contribute to the operational and strategic objectives of the Fund through the efficient and effective use of information and communications technology","External factors","88. The subprogramme is expected to achieve its objectives and expected accomplishments on the assumption that: (a) technological developments are in line with expectations; (b) in-house and outsourced resources are available to achieve key objectives; and (c) stakeholders fulfil their responsibilities and obligations and cooperate fully in achieving the objectives of the information and communications technology strategy, in particular during the process review and redesign phases of work.","Outputs","89. During the biennium 2012-2013, the following outputs will be delivered:","Business operations services","(a) Effective and efficient access to and implementation of the information and communications technology architecture for the proposed Integrated Pension Administration System initiative, based on the functional and operational needs of the Organization, with a focus on improving information management and improving the efficiency of the Fund ' s operations;","Policy. Ensure that all information and communications technology services provided by the Information Management Systems Service conform to the expectations of the Fund ' s Information Technology Executive Committee and relevant industry standards (e.g., the Information Technology Infrastructure Library); implement network security measures for the Fund ' s information and communications technology infrastructure in accordance with the International Organization for Standardization security standards ISO-20002;","(c) Communications. Provision of backbone communications services, including Internet, private leased lines, communication devices and equipment and the necessary communication lines to connect the Fund ' s offices (including the Fund secretariat, the United Nations Office at Geneva, the Investment Management Division and the new information technology infrastructure hosting arrangement with the International Computing Centre); upgrading of the hub network infrastructure in New York to expand its capacity to support users with multiple needs for the transmission of high-speed mission critical data, voice and video to desktop computers;","(d) Information and communications technology infrastructure services. To support the operations of the Fund, multi-shift operations, management and maintenance of information and communications technology infrastructure services, such as server management, medium management and data backup in New York, New Jersey and Geneva. Overseeing the Centre ' s applications, equipment, network loads and transmission of information to prevent service interruptions. They will also ensure that the most up-to-date version of the software is used as far as possible and, where necessary, will use software to develop a life-cycle approach to system upgrading;","(e) Infrastructure architecture services. Develop and implement an information and communications technology infrastructure based on an emphasis on integration, interoperability, modularity and scalability and on best technical standards and practices for periodic technological updates; provide guidance to information technology decision makers and reduce information technology costs by reducing support costs and economies of scale;","(f) User support/help desk. Provision of technical, operational and help desk support for applications, servers, personal computers and mobile facilities connected to the Fund ' s network; provision of infrastructure support for approved software applications, such as productivity systems, e-mail, knowledge management systems and customized applications; and operation and support of conference room facilities and equipment, including video/audio equipment and projection functions;","(g) SMS. Provision and maintenance of electronic SMS communications services, including e-mail, videoconferencing services and unified messaging; provision and maintenance of mobile SMS and communications for hand-held equipment and services.","Enterprise application services","(a) Development. Implementation of systems that reduce manual benefit processing to maintain systems that increase productivity and efficiency; improvement of participant and beneficiary processing and connectivity to banks, accounting systems and workflow interfaces;","(b) Enterprise system maintenance. Maintenance and improvement of enterprise systems for core business applications, including pension administration, accounting and content management;","(c) Maintaining information-sharing among member organizations. Implementation and maintenance of information-sharing among member organizations in the collection of human resources information and financial information; use of a number of enterprise resource planning interfaces used by organizations to enhance the collection of human resources and financial data; and maintenance of an electronic archive output interface to support information-sharing and conversion in a secure manner.","Enterprise data services","(a) Database management. Implementation and maintenance of the Fund ' s database and enhancement of its availability on various information technology platforms; database upgrades; monitoring of usage and problem-solving; preparation of new tables and views; identification of data integrity issues; and support for system development related to database connectivity based on business needs;","(b) Systems software programming. Implementation and maintenance of the database system and hosting of computer operating systems and processes as required to provide mission-critical data to applications and interfaces;","(c) Data warehouse support. Implementation and maintenance of data warehouse systems and enhancement of their availability; data cleansing and data integration on various platforms;","(d) Management reporting. Implementation, maintenance and improvement of management reports using business intelligence tools.","Enterprise security services","(a) Information security. Regular security risk assessments of the technical structures and operations of the Fund ' s New York and Geneva offices and the use of various security tools, including firewalls, anti-spam and anti-virus software, to protect network security;","(b) Identity management. Provide the capacity to centrally manage identity storage and removal and consolidate the ever-expanding identity repository;","(c) Disaster recovery. Develop, adopt and implement a multi-year disaster recovery strategy to support the Fund ' s business continuity requirements.","Enterprise project management services","(a) Governance. Strengthening and operating the programme management infrastructure with a strong governance capacity using the model established by the governing bodies of the Information Management Systems Service;","(b) Project management methodology. Provide guidance on project management procedures and methods in an efficient, consistent and standardized manner;","(c) Project management support. Update, monitor and maintain the project portfolio in line with the project management methodology; provide coaching and training guidance in an effort to improve the Organization ' s project management maturity;","(d) Audit management. Manage and comply with internal and external audit opinions related to information and technology services.","Enterprise quality and production control services","(a) Standardization of quality. Identify and document quality standards requirements for implementation within IMSS;","(b) Change management. Identify and implement a complete change management framework with an appropriate division of responsibilities;","(c) Service level agreements and service delivery agreements. Development of statistical information and management of all service-level agreements and service delivery agreements of the Information Management Systems Service;","(d) Production control. The quality assurance function is monitored to ensure that all systems are operational only after a comprehensive assessment and user acceptance test has been conducted.","Contract management services","Monitoring and management of the various components of the budget of the Information Management Systems Service; provision of administrative support to information and communications technology services, including the identification of available resources, recording of provisions and processing of requisitions, purchase orders and related invoices; description of the use of the assets of the Service; and management of relationships with vendors, including technical partners, contractors and contractors. Provide expert-level knowledge in developing generic specifications for technical procurement; work directly with the United Nations Procurement Service to ensure that value-added solutions are provided at the lowest possible cost.","Table 19 Resource requirements","(Thousands of United States dollars)","Posts 8,426.7 8 607.6 32 31","Non-post 32 814.1 34 717.3 —","Total 41 240.8 43 324.9 32 31","90. The amount of $43,324,900 provides for the continuation of 31 posts: 26 established posts (1 D-1, 2 P-5, 6 P-4, 10 P-3, 1 General Service (Principal level) and 6 General Service (Other level)) and 5 temporary posts (1 P-5, 1 P-4, 2 P-3 and 1 General Service (Other level)) and includes non-post resources. An approved temporary post at the P-4 level had been on appointment for only 12 months and had been abolished in 2011. The increase in non-post resources ($1,903,200) relates mainly to other staff costs ($127,000) and contractual services ($5,975,900), offset in part by reduced requirements for furniture and equipment ($3,976,400), travel of staff ($21,600) and general operating expenses ($177,400). The total requirements for the Integrated Pension Administration System project of $12,661,400 provide for contractual services ($11,466,300) and temporary posts ($1,195,100).","Legal Office","Resource requirements (before recosting): $1,358,400","91. The Office of Legal Affairs continued to be responsible for the provision of unified legal services to the management and operations of the Fund ' s offices in New York and Geneva and provided substantive, procedural and administrative support to the Audit Committee and Standing Committee of the Pension Board (on appeals cases) and to the United Nations Staff Pension Committee (on disability cases). The Legal Office is responsible for ensuring that the Fund ' s operations are in compliance with the Regulations and Rules of the Fund and that the Regulations are interpreted consistently. In addition to the sections of the Fund secretariat, legal services and support are provided to participants and retirees and/or their legal representatives on the application of the Regulations and Rules of the Fund in individual cases. The Office focuses on new ways of documenting and disseminating jurisprudence, decisions and policy decisions. The promotion of knowledge-sharing in this way contributes to the effective use of the legal information and experience accumulated by the Office, the increased use of best practices and the ability of managers and staff to take into account legal risks in their daily decision-making.","Table 20 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To protect the legal interests of the Fund by providing expert legal advice on Pension Fund matters to the Chief Executive Officer, the Pension Board and the Standing Committee and other governing bodies of the Pension Fund Expected accomplishment (1) Enhanced harmonization and coherence in the implementation of the Regulations and Rules of the Fund and the pension adjustment system","External factors","92. The Legal Office is expected to achieve its objectives and expected accomplishments on the assumption that: (a) the Fund ' s committees, Pension Board, member organizations, operational staff and management will seek legal advice when their activities and operations affect the legal interests and responsibilities of the Fund; (b) legal advice will be sought in a timely manner and clients will provide adequate information for legal analysis and will follow the advice provided; and (c) the required human and financial resources will be available.","Outputs","93. During the biennium 2012-2013, the following outputs will be delivered:","(a) Providing advice on issues related to the interpretation and implementation of the Regulations, Administrative Rules and Pension Adjustment System of the Fund and providing operational support for the implementation of management policies and procedures;","(b) Advice on the review, negotiation and drafting of agreements and other legal instruments with member organizations and other international and intergovernmental organizations, as appropriate, and supervision and supervision;","(c) Provision of advice and documentation on institutional and operational modalities, legal submissions and other legal documents; preparation of defence responses to the United Nations Appeals Tribunal in cases related to pension matters (10);","(d) Preparation of legal publications and letters to Fund participants/beneficiaries, pension secretariats and administrations of member organizations, including relevant information posted on the Fund ' s website;","(e) Conference services to the United Nations Staff Pension Committee, the Standing Committee, the Audit Committee, including the electronic transmission of documents to simplify and modernize information-sharing through the online Quick Places and other knowledge management tools;","(i) Advice on the interpretation and implementation of the rules of procedure, resolutions and decisions of the Pension Board/Committee;","(ii) Substantive, technical and administrative servicing of meetings of the Standing Committee (2), including preparation of approximately 12 requests for review and appeals; analysis of legal issues, preparation of reports and documentation:","(iii) Substantive, technical and administrative servicing of meetings of the United Nations Staff Pension Committee (4); preparation of disability benefit applications (approximately 140 new adult applications, 40 child applications, approximately 190 requests for review and 2 appeals); preparation of reports and documentation;","(iv) Substantive, technical and administrative support to the meetings of the Audit Committee (6), including coordination of the preparation of documentation and reports;","(f) Compile and systematically disseminate case law and other legal reference files, opinions, policy decisions and guidelines of the Standing Committee and the Administrative Tribunal;","(g) Liaise with the member organizations of the Fund and its staff pension committee and other international organizations on issues related to the legal aspects of the pension scheme;","(h) Representation of the Fund at international or regional meetings, inter-agency meetings and meetings of legal advisers of member organizations and, as necessary, participation in standing councils, committees, ad hoc working groups and task forces.","Table 21 Resource requirements","(Thousands of United States dollars)","Posts – 1,358.4 – 4","Non-post —","Total - 1 358.4 – 4","94. In order to analyse programme support more clearly, the Legal Office has been separated from the Office of the Chief Administrative Officer and converted into a programme support subprogramme. The amount of $1,358,400 would provide for the continuation of four posts, three from the Office of the Chief Executive Officer (2 P-5 and 1 General Service (Other level)) and one from the Geneva Office (1 P-4, Legal Officer). The last of these posts will be located in Geneva.","Executive Office","Resource requirements (before recosting): $11,838,900","95. The Executive Office provides the necessary administrative and programme support for the activities of the Fund. It assists the Chief Executive Officer and the Director of the Investment Management Division in the preparation of biennial budget reports and provides related support services for the effective use of human and financial resources. It also provides general administration and facilities management services.","Table 22 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To contribute to the operational and strategic objectives of the Fund through efficient and effective management and programme support","External factors","96. The Executive Office is expected to achieve its objectives and expected accomplishments on the assumption that the required human and financial resources are available.","Outputs","97. During the biennium 2012-2013, the following outputs will be delivered:","(a) Human resources management:","(i) Providing policy advice to all staff on all issues related to human resources management;","(ii) Management of vacancy tracking data required by recruitment managers to support recruitment objectives;","(iii) Reporting to directors of e-PAS compliance data;","(iv) Organization of interviews for all personnel recruited through Inspira and temporary vacancy announcements;","(v) Addressing issues related to staff-management relations (teams, etc.);","(b) Staff training and career development:","(i) Develop specialized courses for the Fund and facilitate knowledge transfer in coordination with the Information Management Systems Service to establish a learning management system platform;","(ii) Organization of training courses at the premises of the Fund;","(iii) Monitoring and follow-up of mandatory courses for all staff;","(iv) Presentation of the Fund to each new staff member;","(v) Providing career development advice.","(c) Administration:","(i) Providing day-to-day administrative support to Fund staff;","(ii) Maintenance of the staffing table;","(iii) Processing of personnel actions at the General Service and Professional levels for monthly payroll;","(iv) Renew the staff member ' s contract two months before its expiration by reminding the supervisor of the recommendation;","(v) Analysis of staff pension and entitlement cases in accordance with United Nations policies and any changes and updates to personal benefits and entitlements;","(vi) Providing certified business travel for Fund staff and associated personnel;","(vii) Arrange for travel of United Nations members of the Pension Board, members of the Audit Committee and the Committee of Actuaries and Fund staff;","(viii) Maintenance of working hours and attendance records;","(ix) Maintenance of the “Quickplace” website to provide audit committee members with access to meeting-related documents.","(d) Financial and budgetary management:","(i) Providing guidance to programme managers on the biennial budget and revised budget of the Fund and completing the budget preparation process;","(ii) Issuance of allotments and revised appropriations;","(iii) Proof of all expenditures;","(iv) Monitoring of expenditures and reporting on a monthly basis to programme managers;","(v) Provision of advice and guidance to programme managers on the implementation of the Financial Regulations and Rules;","(vi) Control of the administrative budget, including the verification of invoices before payment;","(vii) Completion of schedule I of the annual financial statements of the Fund (status of appropriations versus administrative costs);","(viii) Reconciliation of administrative costs between the Fund and the United Nations Secretariat.","(e) Facilities and property management:","(i) To ensure that the facility is maintained and in operational condition;","(ii) Coordinating with BMS and suppliers for any necessary maintenance;","(iii) Administration of office-related contracts;","(iv) Assistance in the planning and configuration of new and existing office space;","(v) Maintenance and support of the Fund ' s asset/inventory management system for fixed assets;","(vi) Coordinated disposal of obsolete equipment and furniture;","(vii) Maintenance and support of the Fund ' s emergency notification system;","(viii) Maintenance of emergency contact information for use by Fund staff in security/emergency operations.","Table 23 Resource requirements","(Thousands of United States dollars)","Posts","Non-post 11 451.5 10 120.3 —","Total","98. The amount of $11,838,900, reflecting a decrease of $1,271,900, provides for the continuation of seven posts (1 P-5, 1 P-4, 1 P-3 and 4 General Service (Other level)) and the reclassification of one P-3 post to the P-4 level, as well as non-post resources for administration as a whole. The decrease of $1,331,200 in non-post resources is due mainly to lower requirements for rental and maintenance of premises following more accurate estimates.","C. Investment costs","General","99. The Investment Management Division assists the Secretary-General in the management of the investments of the assets of the United Nations Joint Staff Pension Fund in accordance with the delegation of authority given by the Representative of the Secretary-General pursuant to article 19 of the Regulations of the Fund. The Division is responsible for the day-to-day management of these assets, implementing the approved investment strategy and ensuring that the portfolio is in line with the Fund ' s approved asset allocation, policies, regulations and rules. Its mission is to generate overall portfolio returns to meet the liabilities, while remaining within the Fund ' s risk limits. The Investment Management Division ensures that performance reports and portfolio risk analysis reports are accurate and up-to-date and that arrangements are made to properly and accurately account for the investments of the Fund. The main sections of the Division are the Office of the Director, the Investment Section, the Risk and Compliance Section, the Operations Section and the Information Systems Section.","100. The overall resource requirements for the Investment Management Division amount to $91,799,300 before recosting, reflecting a net increase of $10,601,800, or 13.1 per cent, compared with the revised appropriation for the biennium 2010-2011. The net increase shown in table 25 below is summarized below:","(a) Executive direction and management: the decrease of $1,567,900 relates to decreases under non-post costs, mainly travel ($1,382,200), consultants ($2,028,800) and other staff costs ($1,665,100), which are requested under the related programme, partially offset by increases under posts ($508,200) and contractual services ($3,000,000) resulting from the inward redeployment of one P-4 Legal Officer from the Risk and Compliance Section and one General Service (Other level) post from the Operations Section;","(b) Programme of work: the increase of $7,451,700 relates to the establishment of six new posts, the inward redeployment of two posts in the Office of the Director ($1,115,100) and non-post resources of $6,336,600 related to contractual services ($2,772,200); in addition, other staff costs requested under executive direction and management ($1,416,200), travel of staff ($1,271,200) and consultants ($877,000) from previous submissions are now requested under programme of work;","(c) Programme support: the net increase of $4,718,000 in requirements for the Information Systems Section ($5,794,500) is attributable to the addition of one post ($863,600) and increases in contractual services ($4,040,000), other staff costs ($779,300) and travel ($111,000), the last two of which were requested under executive direction and management in previous submissions, offset in part by a decrease of $1,076,500 under administrative support for the rental and maintenance of premises, offset in part by the completion of the renovation of the Division ' s office on the 30th floor of Dag Hammarskjöld Plaza.","101. The estimated distribution of resources and resource requirements by component are shown in tables 24 and 25 below.","Table 24 Percentage distribution of resources by component","Regular budget","A. Executive direction and management","Programme of work","1. Investments 53.9","2. Risk and compliance 2.9","Operational activities 12.0","Subtotal programme of work 68.8","C. Support","1. Information Systems Section 19.1","2. Administrative support 4.4","Subtotal, programme support 23.5","Total 100.0","Table 25 Resource requirements by component","(Thousands of United States dollars)","Resource growth","United Nations Joint Staff Pension Fund","A. 8 654.2 (1 (18.1) 7 086.3 52.33 – 7 138.6 7 138.6 Executive direction and management 567.9)","Programme of work","1. Investments 51 568.3 (2 (4.1) 49 476.6 655.8 – 50 132.4 50 132.4 091.7)","2. Risk and compliance 1 931.6 680.1 35.2 2 611.7 (19.2) - 2 592.5 2 592.5","3. Operational activities","Subtotal B","C. Support","1. Information Systems Section","2. Administrative support","Subtotal C 16 864.9 4 718.0 28.0 21 582.9 270.1 - 21 853.0 21 853.0","Total","Executive direction and management","Resource requirements (before recosting): $7,086,300","102. The Director of the Investment Management Division establishes a framework for the Division ' s respective strategies and priorities to ensure that the Division fulfils its mandate while ensuring that it is in the best position in terms of security, performance, responsibility and accountability and that it fully complies with the highest standards of efficiency, competence and integrity. The Director promotes effective control and management of the assets of the Fund through a work plan that reflects the long-term objectives and priorities of the Division and the Fund as a whole. The Director leads the Investment Management Division ' s cooperation with the Fund ' s Audit Committee, the United Nations Board of Auditors and the Office of Internal Oversight Services (OIOS).","103. The Office of the Director is responsible for providing critical legal, contract management and requisitioning services and administrative support, including strategic projections of human resources in response to the increasing demands of the Investment Management Division. The Office also provides services and support to the Investments Committee.","104. Our objective is to develop the Office of the Director as a unit to assist the Investment Management Division in monitoring and coordinating the timely implementation of its workplan. The scope and responsibilities of the Office of the Director are also expanding as the Fund continues to grow and diversify in terms of investment type, staff and number of sections. We therefore plan to strengthen and expand the functions of the Office, if the required systems and staffing are adequate, by establishing dedicated units with clear mandates and responsibilities to deal with legal and contract management; requisition services, budgeting and invoice processing; the Investments Committee and legislative bodies; and administrative-related matters.","Table 26 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To ensure full implementation of legislative mandates and compliance with the regulations and rules of the Fund, taking into account the recommendations of the Investments Committee and the decisions of the Representative of the Secretary-General relating to the management of the programme of work of the Fund in respect of investments and staff and financial resources","(1) Decision, in consultation with the Representative of the Secretary-General: guidelines on the distribution of assets, currency holdings, market weights, strategic and tactical short-term allocations; investment opportunities; information systems and operating infrastructure (1.1) Fund investment performance is better than market","(2) Effective planning and coordination of the Investment Management Division procurement requirements (2.1) Percentage of requests for proposals completed within 6 months","(3) Provision of extensive legal advice on various types of investments and contracts (3.1) Successful completion of new investment transactions and enforcement of contracts","(4) Effective servicing of the Investments Committee and other legislative bodies (4.1) No complaints were received from the Investments Committee and other participants","(5) Timely recruitment and placement of staff (5.1) Reduction in the average number of days a post remains vacant","(5.2) Lower vacancy rate","External factors","105. The objective and expected accomplishments would be achieved on a stable basis, provided that: (a) all stakeholders are supportive of and fully cooperate with the work of the Investment Management Division; and (b) there are no significant funding gaps in the implementation of the mandates established by the General Assembly and the Pension Board. The realization of the executive direction programme depends on the full cooperation of the relevant United Nations offices/divisions.","Outputs","106. During the biennium 2012-2013, the following outputs will be delivered:","(a) Regularly updating and implementing investment policies to ensure robust implementation of investment strategies in accordance with the directives received by the Investments Committee;","(b) Effective and regular coordination with the Procurement Division on the procurement requirements of the Investment Management Division through the development of a medium-term procurement plan, the preparation of high-quality solicitation documents and the acceleration of the solicitation process; and the involvement of high-quality enterprises in the bidding process for approximately 10 procurement actions;","(c) Regular coordination and contacts with legal experts and legal advisers of the Office of Legal Affairs to negotiate and implement approximately 160 contracts;","(d) Four Investment Committee meetings per year. Provide accurate reports on investments to the Board, the Advisory Committee on Administrative and Budgetary Questions, the Fifth Committee and other interested parties;","(e) Implement the travel and training plan for the staff of the Investment Management Division. Filling of vacancies within 180 days.","Table 27 Resource requirements","Resources (thousands of United States dollars)","(before recosting)","Posts 1 941.6 2 449.8 7 9","Non-post","Total 8 654.2 7 086.3 7 9","107. The overall resource requirements of $7,086,300, reflecting a decrease of $1,567,900, would provide for the continuation of seven posts (1 D-2, 1 P-5, 1 P-4, 1 General Service (Principal level) and 3 General Service (Other level)), the inward redeployment of two posts from the Risk and Compliance Section (1 P-4) and the Operations Section (1 General Service (Other level)) and non-post resources for the Division as a whole under travel of representatives and hospitality. The decrease in non-post resources is mainly attributable to the apportionment of other staff costs ($1,665,100), travel of staff ($1,382,200) and consultants ($2,028,800), partially offset by increased requirements for contractual services ($3,000,000).","Programme of work","Investment Section","Resource requirements (before recosting): $49,476,600","108. The Investment Section is responsible for achieving optimal investment returns for the Fund while avoiding undue risk. The Section comprises seven organizational entities, namely, North American equities, European equities, Asia-Pacific equities, global emerging market equities, bonds, real estate and alternative investments. The main functions of the Investment Section are to monitor the current portfolio, to keep abreast of and track developments in financial markets and to make and implement investment decisions. These functions include the preparation of financial analysis, attendance at conferences and meetings and travel to countries to meet with analysts and company managers. A secondary function is to assist in the preparation of reports to all governing bodies.","109. The mandate of the Investment Section for 2012-2013 includes: (a) achieving the long-term objective of the Fund ' s investments, namely, to achieve a real annual rate of return of 3.5 per cent, adjusted by the United States consumer price index; (b) achieving a stable improvement in the Fund ' s investment performance over policy benchmarks; (c) maintaining the level of risk commensurate with investment return targets; and (d) reducing currency and country risk through reasonable diversification.","Table 28 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To achieve, in the long term: (a) optimum real return on investments for the Fund, without undue risk; and (b) diversification of the investment portfolio in terms of asset form, currency and geography As a result of the global financial crisis in 2008 and early 2009, the Fund ' s performance over the 10-year period ending December 2009 was 1.7 per cent below the target for 2010-2011: based on preliminary data, the Fund performed 3.5 per cent in real terms during the 10-year period ending December 2010 and in line with the Fund ' s revenue target for 2012-2013: performance was better than the Fund ' s long-term target of 3.5 per cent in real annual return (2) The Fund ' s investment performance was steadily above the policy benchmark, consisting of 60 per cent equities, 31 per cent bonds, 6 per cent real estate and 3 per cent cash (2.1) Comparison of the Fund ' s total return over a five-year period against the policy benchmark Estimate 2010-2011: as of December 2010, investments in 35 currencies: further optimization of the Fund ' s asset allocation in currencies (3.2) As of December 2009, investments in 41 countries, including emerging market countries, international/regional institutions and investment trusts are estimated: as of December 2010, investments in 47 countries, including emerging market countries, international/regional institutions and investment trusts are targeted for 2012-2013: further optimize, as appropriate, the distribution of the Fund ' s assets among countries (4) Diversification of investments into alternative asset classes (4.1) Number of alternative asset classes investment strategies In June 2010, the Senior Investment Officer for Alternative Investments joined the Fund. The target for the period from June 2010 to December 2011 is to finalize the selection of alternative investment advisers and to commit 5 to 10 managers. The selection of a physical asset consultant was finalized in June 2009 and a detailed strategy will be developed in early 2011. The Fund will invest in several funds in the areas of infrastructure and timber/agriculture land. By the end of 2013, the Fund was expected to invest in 15-20 private fund-raising and hedge funds. The long-term performance of private funds will be measured by the weighted rate of return in United States dollars and the internal rate of return; for the hedge fund portfolio, by the time-weighted rate of return. Discussions with the Fund ' s Private Fund and hedge fund consultants on the benchmarking of the Fund will take place and will be detailed at a later stage on (5) increased staff capacity to address investment and portfolio management issues (5.1)","External factors","110. The objective and expected accomplishments would be achieved on a stable basis, provided that (a) all stakeholders are supportive of and fully cooperate with the work of the Investment Management Division; (b) there are no significant funding gaps in the implementation of the mandates established by the General Assembly and the Pension Board; and (c) changes in financial markets, such as global equities, global bonds, real estate and foreign exchange, are in line with long-term assumptions.","Outputs","111. During the biennium 2012-2013, the following outputs will be delivered:","(a) The overall rate of return was higher than the Fund ' s target of 3.5 per cent after a long-term real annual rate of return adjusted for the United States consumer price index;","(b) The Fund ' s total return exceeded the policy benchmark, comprising 60 per cent securities, 31 per cent bonds, 6 per cent real estate and 3 per cent cash;","(c) Maintaining a better diversified portfolio at the monetary and national levels, with a view to reducing currency and country risks;","(d) The successful introduction of alternative asset classes appropriate to the objectives of the Fund where market conditions favour the Fund in order to earn a higher rate of return than investment in listed shares;","(e) Improved professionalism and knowledge of staff through participation in conferences and seminars directly related to investment and portfolio management will help to improve the performance of the Fund.","Table 29 Resource requirements","Resources (thousands of United States dollars)","(before recosting)","Posts 7 698.4 8 974.3 27 31","Non-post 43 869.9 40 502.3 –","Total 51 568.3 49 476.6 27 31","112. The overall requirements of $49,476,600, reflecting a decrease of $2,091,700, would provide for the continuation of 27 posts (1 D-1, 7 P-5, 6 P-4, 4 P-3, 4 General Service (Principal level) and 5 General Service (Other level)), the establishment of 4 new posts (3 P-4 and 1 P-3) and non-post resources. The decrease in non-post resources is due to the reduction in contractual services ($5,090,300) and the inclusion of other staff costs ($197,500), travel of staff ($1,025,200) and consultants ($500,000) previously requested under executive direction and management.","Risk and compliance","Resource requirements (before recosting): $2,611,700","113. The Risk and Compliance Section is a new body responsible for identifying, measuring and managing all aspects of the risks faced by the Fund. In addition, with regard to compliance, the Section is responsible for implementing effective monitoring and control procedures for the investments of the Fund. Its functions include two sub-functions: risk management and compliance.","Table 30 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To provide for controls to monitor compliance with the various risks associated with the Investment Management Division funds (i.e., market risk, operational risk, credit risk, legal and reputational risk). This function is also responsible for the development of risk budgets at the asset and supervisor levels, monitoring compliance with risk budgets and helping investment departments to maximize the benefits of risk adjustments in line with established risk tolerance Expected accomplishment (1) Effective monitoring of risks included in the Fund's investment operations (1.1) Effective coverage of all investment transaction performance measures (transactions)","External factors","114. The Risk and Compliance Section should be able to achieve its objectives and expected accomplishments on the assumption that all external parties support and cooperate fully with the work of the Section. Other external factors include:","(a) More volatile stock markets;","(b) A more volatile and volatile currency market, requiring the capacity to carry out substantial quantitative analysis to offset risks by using index-linked tools;","(c) Enhanced credit risk for sovereign States;","(d) Operating in an environment of simultaneous inflation and/or deflation in different geographical areas;","(e) Increased international trade barriers;","(f) Benchmark changes in macroeconomic trends;","(g) The risk of sudden underfunding due to the depreciation of the base currency (in United States dollars), which has led to an all-time high, but also the potential risk of underfunding due to the increased use of the two-track feature and increased liabilities in other currencies;","(h) The commodity price boom;","(i) High unemployment, which is a “new normal” that persists in developing economies;","(j) Debt default by sovereign States.","Outputs","115. During the biennium 2012-2013, the following outputs will be delivered:","(a) Maintenance of policies and standard operating procedures, namely, standard investment operating policies and procedures, risk management manuals, compliance policies and manuals, ethics and policies on personal securities, gifts and hospitality;","(b) Complete the quarterly compliance review of the Fund ' s investment operations to ensure that the Fund ' s compliance risks are effectively controlled;","(c) Managing letterback certification, pre-approval of trade orders, personal securities reports, hospitality records and mandatory leave;","(d) Organization of training programmes on investment compliance and code of ethics (two on-site training programmes involving the Division as a whole);","(e) Coordination for full compliance with the United Nations annual financial disclosure programme;","(f) Preparation of periodic reports of the Audit Committee of the Pension Board (8 presentations);","(g) Serving as a focal point for internal and external audits planned by the Board of Auditors and the Office of Internal Oversight Services; and as a focal point for handling queries from the Ethics Office.","Table 31 Resource requirements","Resources (thousands of United States dollars)","(before recosting)","Posts 1 931.6 1 919.7 6 7","Non-post — 692.0 —","Total 1 931.6 2 611.7 6 7","116. The overall resource requirements of $2,611,700, reflecting an increase of $680,100, would provide for the continuation of five posts (1 D-1, 2 P-4 and 2 General Service (Principal level)), the redeployment of one P-4 and one General Service (Other level) posts from the Operational Activities Section to the Office of the Director and the establishment of one new post (1 P-4). The increase in non-post resources is due mainly to the inclusion of other staff costs ($321,600), travel of staff ($193,400), consultants ($127,000) and contractual services ($50,000).","Operational activities","Resource requirements (before recosting): $11,041,800","117. The Operations Section of the Investment Management Division is responsible for the back-office investment operations, accounting, reconciliation and financial reporting of all investment transactions and related activities of the Fund. The Section is also responsible for the timely and accurate settlement of all investment and foreign exchange transactions, using industry standard solutions for straight-through and exceptional cases. In addition, the Section ensures that all investment activities, such as transactions, foreign exchange transactions, revenue collection, maturity of obligations, taxation and corporate actions, are properly recorded in accordance with the International Public Sector Accounting Standards adopted by the Fund in order to prepare financial statements with adequate internal controls and audit trails. In addition, the Section is responsible for preparing daily cash projections to enable the Investment Section to manage all cash in currency used by the Investment Management Division in its investments. Effective 1 January 2012, the Operations Section will also be responsible for the application of IPSAS to all investment activities that should be reported and reflected in the Fund-wide financial statements under the overall guidance of the Chief Finance Officer of the Fund. The Section works closely with the custodians to process transactions and foreign exchange settlements, interest claim investigations for unsuccessful transactions, revenue collection, maturity of obligations, taxation and business operations. The Section also works closely with the master record keeper to reconcile cash and assets held, fair market valuation of the Fund ' s investments and general ledger entries on a daily basis. The Section works closely with the Information Systems Section to assist in the implementation of more efficient procedures to ensure internal controls, while strengthening the Investment Management Division ' s various computerized investment activities to minimize manual interventions.","Table 32 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To ensure the security of the Fund ' s investments and to enhance transparency in its financial reporting","Expected accomplishments Indicators of achievement","(1.1) Increased percentage of properly authorized investment transactions settled within the market settlement time frame","Performance measures","2008-2009: 96.25 per cent","Estimate 2010-2011: 98 per cent","Target 2012: 99 per cent","Target 2013: 99 per cent","(1.2) Reduction in the number of days required to resolve differences in position/held assets and cash","2008-2009: not applicable","Estimate 2010-2011: implementation and testing phases","Target 2012: variances resolved within 3 days","Target 2013: variances resolved within 2 days","(2) Successful implementation of the International Public Sector Accounting Standards (IPSAS) adopted by the Fund in coordination with governing bodies (2.1) Timely reporting of IPSAS-compliant financial statements prepared by the Division to the Chief Finance Officer of the Fund (by 15 March of the following year)","Performance measures","2008-2009: 1 April 2010","Estimate 2010-2011: 15 March 2011","Target 2012: 15 March 2012","Target 2013: 15 March 2013","(2.2) Unqualified audit opinion of the Board of Auditors on financial statements","Performance measures","2008: Unqualified audit opinion","2009: modified audit opinion","Estimate 2010-2011: unqualified audit opinion","Target 2012: unqualified audit opinion","Target 2013: unqualified audit opinion","(3) Operational functionality fully functional in the new dual custodian and independent master record keeper model (3.1) All business systems fully functional after selection of new custodian and master record keeper","External factors","118. The Operations Section is expected to achieve its objectives on the assumption that:","(a) The internal mission-critical system (Charles River trade order management system, Murex MX.3, SWIFT and OMGEO) and the master record-keeping system of the independent master record-keeper provide a comprehensive and timely straight-through and exception-processing and reconciliation; the implementation of OMGEO, the independent master record-keeper and the master record-keeping system is dependent on successful contract negotiations;","(b) The performance of the two custodians and the independent master record keeper in terms of custody and master record management services was satisfactory.","Outputs","119. During the biennium 2012-2013, the following outputs will be delivered:","(a) The settlement of all securities, real estate, alternative assets and currency exchange transactions on the date of settlement or fixed value;","(b) Automatic reconciliation of securities/positions/held assets and cash, including income (equity, interest and cash allocations), duration and business actions, on a daily basis for exceptional cases;","(c) Successful testing or testing of the financial statements as at 30 June 2012 and favourable feedback from the external auditors on IPSAS compliance;","(d) Preparation of IPSAS-compliant financial statements and disclosures (investment only) by 15 March 2013;","(e) Transfer all assets to a new custodian for recording and re-registration;","(f) Preparation of all standard reports by the new master record keeper and custodian.","Table 33 Resource requirements","(Thousands of United States dollars)","Posts","Non-post — 9 012.2 —","Total","120. The amount of $11,041,800, reflecting an increase of $8,863,300, provides for the continuation of nine posts (1 P-5, 1 P-3, 2 General Service (Principal level) and 5 General Service (Other level)) and the outward redeployment of two General Service (Other level) posts to the Office of the Director and the Risk and Compliance Section and the establishment of one new post (1 P-3). The increase in non-post resources relates mainly to contractual services ($7,812,500) and resources previously requested under executive direction and management, including other staff costs ($897,100), travel of staff ($52,600) and consultants ($250,000).","4. Programme support","Information Systems Section","Resource requirements (before recosting): $17,571,800","121. The Information Systems Section is responsible for technology, data management, applications, policies, procedures and project management to support investment processes and maintain reliable investment data. The Section will continue to implement solutions to improve the quality and accessibility of investment data, streamline and standardize investment procedures and provide practical technology to implement security policies, ensure business continuity and implement controls in line with the Investment Management Division investment guidelines, thereby reducing operational and operational risks. More importantly, the Section will provide good investment data as part of the solution, add value to the Fund and make it possible to manage risks wisely.","Table 34 Objectives for the biennium, expected accomplishments and indicators of achievement","Objective of the Organization: To provide information technology solutions and technical support to facilitate back-to-back investment processes","Expected accomplishments Indicators of achievement","(1) (1.1) The ability to make exceptions to investment transactions","Performance measures","Percentage of transactions processed directly","2008-2009: not applicable","2010-2011: 90 per cent (trade order management, SWIFT, custodian bank)","Target 2012-2013: 95 per cent","(1.2) Support standardization and modernization of investment processes","Performance measures","Percentage of business processes standardized","2008-2009: not applicable","2010-2011: 85 per cent","Target 2012-2013: 95 per cent","(1.3) Risk and compliance management made possible","Performance measures","Number of risk and compliance tools provided","2008-2009: not applicable","2010-2011: 2","Target 2012-2013: 2","(2) Improved quality, security and accessibility of Investment Management Division investment data (2.1) Timely verification and reconciliation of investment data","Performance measures","Percentage of reliable investment reports produced","2008-2009: 50 per cent","2010-2011: 75 per cent","Target 2012-2013: 90 per cent","(2.2) High accessibility of information technology services","Performance measures","Percentage of potential information technology operational risks","2008-2009: 25 per cent","2010-2011: less than 5 per cent","Target 2012-2013: less than 1 per cent","External factors","122. The subprogramme is expected to achieve its objectives and expected accomplishments on the assumption that: (a) procurement and legal procedures conducted by the United Nations Secretariat on behalf of the Investment Management Division are completed within the projected time frame; (b) stakeholders fulfil their responsibilities and cooperate fully in achieving the information and technology strategic objectives of the Division and facilitating its operations; and (c) the Information Management Systems Service supports the integrated information and communications technology infrastructure in a timely manner.","Outputs","123. During the biennium 2012-2013, the following outputs will be delivered:","(a) The management of trading orders (Charles River), back-office assignments, reconciliations, accounting (Murex) and the inter-bank SWIFT system were successfully and adequately implemented and supported;","(b) Implementation of the data centre, foreign exchange and fixed-income investment implementation system;","(c) Investment processes are properly documented;","(d) An exception to investment transactions;","(e) Facilitating the standardization and simplification of business processes;","(f) Supporting and facilitating compliance monitoring and systems;","(g) Implement automatic data entry to support data verification;","(h) Support data reconciliation;","(i) Strengthening the Investment Management Division infrastructure;","(j) Implementing and supporting security policies and disaster recovery;","(k) Making business continuity possible.","Table 35 Resource requirements","(Thousands of United States dollars)","Posts 1 593.9 2 457.5 7 8","Non-post","Total 11 777.3 17 571.8 7 8","124. The amount of $17,571,800, reflecting an increase of $5,794,500, provides for the continuation of seven posts (1 P-5, 3 P-4, 2 P-3 and 1 General Service (Principal level)) and the establishment of one new post (1 P-4). The increase in non-post resources is mainly attributable to increased requirements for contractual services ($498,500), the transfer of contractual services for market data from the Investment Section to the Information Systems Section ($3,541,500) and resources previously requested under executive direction and management, including other staff costs ($779,300) and travel of staff ($111,000).","Administrative support","Resource requirements (before recosting): $4,011,100","Table 36 Financial resource requirements","(Thousands of United States dollars)","(Thousands of United States dollars)","Non-post 5 087.6 4 011.1 —","Total 5 087.6 4 011.1 —","125. The amount of $4,011,100, reflecting a decrease of $1,076,500, provides for non-post resources for the Division as a whole. The decrease is due mainly to the one-time request for rental and maintenance of premises ($916,900) in the context of the revised budget for 2010-2011, resulting from the renovation of additional office space at 1 Hammarskjöld Plaza.","D. Audit costs","Resource requirements (before recosting): $2,748,200","126. The distribution of resources is shown in table 37.","Table 37 Financial resource requirements","(Thousands of United States dollars)","(Thousands of United States dollars)","External audit 661.2 774.7 —","Internal audit 1 983.8 1 973.5 —","Total 2 645.0 2 748.2 —","127. The amount of $2,748,200 provides for the estimated requirements requested by the Board of Auditors for external audit ($774,700) and for internal audit ($1,973,500).","1. External audit","Resource requirements (before recosting): $774,700","128. The amount of $774,700 provides for the costs associated with the Board of Auditors, to be shared by the secretariat of the Board of Auditors with the Fund.","2. Internal audit","Resource requirements (before recosting): $1,973,500","129. The amount of $1,973,500 provides for the continuation of five general temporary assistance posts (1 P-5, 2 P-4, 1 P-3 and 1 General Service (Other level)), training and non-post resources (including consultants, travel of staff, contractual services, communications, operational costs, supplies and materials and furniture and equipment). The decrease is mainly due to the net effect of the requirement for general temporary assistance only as a result of the reduction in standard salary costs and to minor changes in other non-post resources requested.","E. Board expenses","Resource requirements (before recosting): $200,000","Table 38 Financial resource requirements","(Thousands of United States dollars)","(Thousands of United States dollars)","Board expenses","130. In section IV of its resolution 61/240, the General Assembly approved the inclusion of Board expenses, including administrative costs for Board sessions, travel of the Chairman and travel of working groups, in the budget of the Fund and in the accounts for administrative costs.","131. The provision of $200,000 would cover the estimated requirements for the Board ' s expenses, including travel of the Chair to the fifty-ninth and sixtieth sessions of the Board and the meetings of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee, travel of the Chief Executive Officer to identify the panel and administrative costs for the fifty-ninth and sixtieth sessions to be held in July 2012 and July 2013 ($120,000).","IV. Emergency Fund","132. In section III of its resolution 62/241, the General Assembly authorized the Fund to supplement its voluntary contributions to the Emergency Fund for the biennium 2008-2009 by an amount not exceeding $200,000.","133. It is proposed that the Pension Board recommend to the General Assembly that it authorize the Board to supplement voluntary contributions to the Emergency Fund for the biennium 2012-2013 by an amount not exceeding $200,000.","V. Interim measures recommended to implement the International Public Sector Accounting Standards by 1 January 2012","134. At its fifty-seventh session, in July 2010, the Board approved the implementation of the International Public Sector Accounting Standards, effective 1 January 2012, and, as requested, the Secretariat and the Investment Management Division submitted to the Board a status report on the implementation of the new accounting standards in July 2011.","135. At present, the Fund reports under the Financial Regulations and Rules of the United Nations. It was noted that the United Nations had planned to implement the International Public Sector Accounting Standards in 2014 and, in that connection, the Board was informed that the United Nations planned to propose changes to the Financial Regulations and Rules to the General Assembly at its sixty-seventh session, in 2012.","136. In view of the timing of the revision of the Financial Regulations and Rules, and with the support of the Audit Committee of the Fund and for the sole purpose of enabling the Fund to implement IPSAS in a timely manner, the Board was requested to recommend to the General Assembly at its sixty-sixth session, in 2011, the approval of the following transitional measures for the financial reporting of the Fund:","“As a transitional measure, the Board authorizes the Fund to continue to apply, mutatis mutandis, the Financial Regulations and Rules of the United Nations in its accounting processes and financial reports in a manner that brings the practices of the Fund into line with the International Public Sector Accounting Standards. The Board hereby recommends that, in accordance with article 19 (b) of the Regulations of the United Nations Joint Staff Pension Fund, the Secretary-General maintain detailed accounts of all investments and other transactions of the Fund in a manner consistent with the International Public Sector Accounting Standards.”","137. The Board was informed that, once the transitional measures were approved, the full implementation of IPSAS by the Fund would be in line with the Board ' s decision to adopt IPSAS in 2012, provided that the Fund subsequently formalizes its Financial Regulations and Rules. The Fund ' s 2012 financial statements will be submitted and audited in accordance with IPSAS, which will provide the regulatory framework.","138. After discussion, the Board endorsed the transitional measure on the financial reporting of the Fund and recommended that it be approved by the General Assembly at its sixty-sixth session, in 2011.","Actions to be taken by the General Assembly","139. The Pension Board recommends the following to the General Assembly:","(a) Approve a decrease of $21,772,800 in the appropriation for 2010-2011. Accordingly, the revised appropriation for the biennium 2010-2011 amounts to $154,545,700, divided into administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Of that amount, $133,037,000 would be apportioned to the Pension Fund and $21,508,700 would be charged directly to the United Nations under the cost-sharing arrangement;","(b) Approve the revised budget estimates for extrabudgetary resources totalling $144,300 for the biennium 2010-2011;","(c) Approve the budget estimates for the biennium 2012-2013 for the Fund in the amount of $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Pension Board costs ($204,400). Of that amount, $173,260,600 would be apportioned to the Pension Fund and $20,903,400 would be apportioned to the United Nations under the cost-sharing arrangement;","(d) Approve resources totalling $156,800 for extrabudgetary costs for the biennium 2012-2013 to be funded by a number of member organizations;","(e) Approve an amount not exceeding 200,000 dollars to supplement contributions to the Emergency Fund;","(f) Approve interim transitional financial measures to implement IPSAS effective 1 January 2012.","VII. Summary of follow-up action taken to implement requests and recommendations of the Board of Auditors and the Advisory Committee on Administrative and Budgetary Questions","Table 39","A. Advisory Committee on Administrative and Budgetary Questions","(A/65/567)","(a) The Advisory Committee concurs with the recommendations of the Board of Auditors related to the revised risk management policy and the recommendation that the Division continue to implement the newly developed risk management manual (para. 7). Most control measures have been implemented and efforts are under way to implement the remaining controls. The Risk Management Manual is a living document that is updated on a quarterly basis. Implementation is an ongoing process with the goal of implementing all control measures. Some of the controls set out in the Risk Management Manual are manual and await resource allocation; others are automated and await modernization of infrastructure. When these milestones are reached, these controls will be implemented.","(b) The Advisory Committee concurs with the recommendations of the Board of Auditors. The Advisory Committee is concerned that the Fund has received an unqualified audit opinion that includes an emphasis of matter paragraph on realized and unrealized losses on investments as reflected in the financial statements for the biennium ended 31 December 2009. The Committee urges the Fund to implement the recommendations of the Board of Auditors (para. 9). This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will continue to consult with the IPSAS consultant on these disclosures.","(c) The Advisory Committee reiterates its recommendation that the Board continue to explore opportunities for investment in developing countries and countries with economies in transition (para. 10). The Fund continues to study opportunities; the Director and staff of the Investment Management Division have recently travelled to Africa and the Middle East to expand our award-winning portfolio of investments in Africa. The Director will meet regularly with the World Bank and IMF to review emerging opportunities in emerging and frontier markets.","(d) The Fund has finalized its IPSAS implementation plan and time frame, which was submitted to the Audit Committee and to the Pension Board at its fifty-eighth session in July 2011. The recruitment of a new Treasurer is also under way. The Advisory Committee concurs with the Board that the Fund should finalize and approve the IPSAS implementation plan in a timely manner. The Committee looks forward to the recruitment of the new Chief Finance Officer as soon as possible, while at the same time initiating preparations to ensure the implementation of IPSAS on 1 January 2012. Furthermore, the Committee encourages the Board of Auditors to monitor closely the progress of the Fund ' s IPSAS implementation and reiterates its recommendation that the Board report annually to the General Assembly on progress made in this regard (see A/65/498, para. 19) (para. 13).","(e) The Advisory Committee emphasizes that adequate support should be provided from within existing resources to ensure the timely implementation of IPSAS and its proper management (para. 15). The programme to reallocate existing resources for IPSAS implementation was approved by the Pension Board at its fifty-seventh session, held in July 2010, and approved by the General Assembly in December 2010. Additional resources are being requested for 2012-2013.","(f) The Advisory Committee concurs with the Pension Board ' s request that the medical consultant consider the possibility of establishing a medical examination standard specifically for participation in the Fund for the purposes provided for in article 41 of its Regulations (para. 18). Upon request, the medical consultant will submit a note on the matter to the Board at its July 2012 session.","(g) The Advisory Committee concurs with the Board of Auditors on the need for transparent disclosure of the investments of the UNU Endowment Fund and notes that the Pension Board has agreed to provide such disclosure in the future (para. 20). This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will continue to consult with IPSAS consultants on such disclosures.","B. Board of Auditors","(A/65/9, annex X)","The Board ' s main recommendations are:","(a) The Fund should finalize and approve the IPSAS implementation plan, identify and involve other stakeholders in the implementation of the IPSAS project, and elaborate on which aspects of the Financial Regulations and Rules require revision (para. 27); A steering committee comprising IPSAS stakeholders from the Investment Management Division and the Secretariat was established. Pending the adoption of IPSAS, the Fund will remain in compliance with the Financial Regulations and Rules of the United Nations, which are based on United Nations system accounting standards. The Investment Management Division is awaiting advice from its IPSAS consultants on the proposed wording of rules 104.12, 104.13, 104.14, 104.15 and 104.16 to ensure IPSAS compliance. To be submitted to the Audit Committee in June 2011 and to the Pension Board at its fifty-eighth session in July 2011.","(b) The Fund record the amounts owed to the Fund as receivables and income (para. 30); It will be made public after the review.","(c) The Fund should, when actual payments are made, make a roll-back of all prior-period unliquidated obligations and accruals and address the deficiencies in controls that led to the recording of projects paid as accruals (para. 33); The Executive Office submitted a third draft for review and approval by the Finance Section. In accordance with these instructions, the administrative accounts for the period from 1 January 2006 to 31 December 2009 will be adjusted to arrive at the correct balance carried forward to 1 January 2010. These accounts will be closed on 31 December 2010 in accordance with these instructions.","(d) The Fund implement improved controls to ensure the timely recovery of outstanding amounts and develop an accounting treatment policy for long-outstanding amounts that are not recoverable (para. 43); Collection efforts are under way.","(e) The Fund consider making provision in its financial records for doubtful obligations to reflect recoverable amounts as at the reporting date (para. 44); In addition, the write-off of uncollectible receivables commenced in 2010.","(f) The Fund revalue all foreign currency price balances using the operational rates of exchange in effect at the reporting date (para. 48); The 2010 financial statements convert foreign currency bank account balances into United States dollars using year-end exchange rates.","(g) The Fund take immediate steps to recover outstanding foreign taxes (para. 51); The Investment Management Division continued to make extensive efforts to prevent jurisdictions from taxing their investment income and recovering taxes withheld. In particular, representatives of the Investment Management Division met with representatives of the Chinese National Tax Administration in Beijing in January 2010 to resolve the formal recognition and implementation of the Fund ' s tax-exempt status in the country. Representatives of the Division also initiated discussions with representatives of the Government of Brazil, which led to the release in April 2010 by the Brazilian Revenue Authority of an extensive message formally recognizing the tax-exempt status of the Fund in that country. In addition, the Division recently issued a request for proposals for a global tax advisory service. The global tax adviser will assist the Division in such matters as the global application for reimbursement.","(h) The Fund should record the receivables and related income arising from the reimbursement by the United Nations of administrative costs in the correct accounting period (para. 54);","(i) The Fund continue to reconcile the balances with the United Nations to ensure that the differences are fully reconciled (para. 57); The United Nations also uses this balance. The Fund now reverts to actual expenditure in its reconciliation with the United Nations.","(j) The Fund upload the correct accruals from the accounts payable module to the Lawson system, while adjusting the discrepancies identified (para. 63); Wrong items were identified. Appropriate entries will be made for 2010 to correct these balances.","(k) The Fund regularly reconciles the accounts payable module with the general ledger on a monthly basis (para. 64);","(l) The Fund revises the debit balances of accounts payable to accounts receivable and completes the data cleansing exercise to ensure that all amounts included in accounts payable are valid payables (para. 67); this is an ongoing process. Work began in 2010 and will continue throughout 2011 to correct these accounts.","(m) The Fund develop an ageing tool for the analysis of benefits payable (para. 70); and the Finance Section is awaiting the “boxes” of COGNOS to support Lawson data in generating a new report.","(n) The Fund apply regulation 46 of the Regulations and Rules of the Fund to adjust benefits payable in respect of all amounts due (para. 75); this is an ongoing work that is part of the data cleansing exercise to be completed by the end of 2011.","(o) As noted in its report to the Board of Auditors (see A/65/9), the Fund was unable to comply with the completion date of 31 March owing to the need to implement procedures for the reconciliation of payments made by member organizations of the Fund, as required by the Financial Regulations and Rules of the United Nations (para. 79). The Investment Management Division submitted to the Fund secretariat on 11 March 2011 the portion of the financial statements for which it was responsible. In the future, the Division will ensure that financial statements are submitted to the Secretariat by 15 March of the following year.","(p) The Fund develop and implement accounting policies that specify how transactions are accounted for in the accounting records of the Fund and ensure that all accounting policies are clearly defined and disclosed in the financial statements (para. 84); This will continue to be an integral part of the financial statements for 2010 and 2011, with full adoption of IPSAS in 2012.","(q) The Fund prepare reconciliations or working drafts for all line items in the financial statements and prepare schedules for related calculations or adjustments consistent with the books (para. 89);","(r) The Investment Management Division fully disclose in its financial statements the investments it manages for the UNU Endowment Fund (para. 92); This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011, specifically under “administered funds”. The Division will further consult with the IPSAS consultant on such disclosures.","(s) The Investment Management Division reconsider its formal arrangements for funding management services to third parties (para. 93); the Investment Management Division will provide full disclosure. The Division will fully disclose the independent arrangements established for the UNU Endowment Fund in the 1990s in accordance with the audit recommendations. These arrangements include a separate escrow account and an independent external fund manager. These funds have never been commingled with the Pension Fund.","(t) The Investment Management Division continue to implement its newly developed Risk Management Manual (para. 111); Most control measures have been implemented and efforts are under way to implement the remaining controls. The Risk Management Manual is a living document that is updated on a quarterly basis. Implementation is an ongoing process with the goal of implementing all control measures. Some of the controls set out in the Risk Management Manual are manual and await resource allocation; others are automated and await modernization of infrastructure. When these milestones are reached, these controls will be implemented.","(u) The Investment Management Division conduct a case-by-case review to identify lessons learned in relation to the positions of all realized investment losses in 2008-2009 and the continuing unrealized losses (para. 112); The Investment Management Division has implemented a formal weekly and quarterly compliance and investment review of over 25 per cent of unrealized gains and losses.","(v) The Investment Management Division use a tabular presentation of the proceeds and losses from the sale of investments and disclose all unrealized gains and losses as at the date of the statement of assets and liabilities in order to provide a clear description and disclosure of investments in the financial statements (para. 113); This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will further consult with the IPSAS consultant on such disclosures.","(w) The Investment Management Division address the remaining outstanding or ongoing recommendations (para. 117); The Investment Management Division made significant progress on the compliance programme by hiring a Compliance Officer in October 2009. New policies have been implemented, including those relating to personal transactions, gifts and hospitality, and compulsory leave. Other policies are still awaiting review and acceptance. The Risk and Compliance Section of the Division uses risk and compliance manuals and automated systems to monitor the investments of the Fund to ensure that its policies and standards are fully monitored and enforced. Many OIOS recommendations were addressed and implemented. There is now a formal process for the timely monitoring and processing of OIOS recommendations. Training sessions for staff of the Division were conducted, one of which was organized in conjunction with the Ethics Office. The Risk and Compliance Section has confirmed that there are currently no instances of deliberate or frequent violations of the policies or procedures of the Division that could result in financial damage to the Fund, its reputation, participants or beneficiaries.","(x) The Fund better disclose in the notes to the financial statements the major actuarial assumptions and changes related to the valuation of end-of-service liabilities (para. 124); for 2009, the Fund was included in the 2009 actuarial valuation as an integral part of the financial statements. In addition, for the first time, the Fund recorded after-service health insurance and end-of-service liabilities on the face of its financial statements.","(y) The Fund should develop a funding plan for end-of-service liabilities for consideration by its governing body (para. 131); Any funding plan would require the United Nations to provide one third of the funding for a specific component. The implementation of this recommendation is suspended pending the submission of such a plan by the United Nations Secretariat.","(z) In implementing IPSAS, the Fund considers revising its policy for the valuation of annual leave liability (para. 139);","(aa) The Fund take measures to ensure that physical inventory counts are carried out in a timely and regular manner and that the results are reconciled with the asset register (para. 144); As IPSAS implementation will begin in 2012, these inspections will commence in the fourth quarter of each year in 2011. In addition, signature certificates relating to such inspections will be retained at a later stage.","(bb) The Fund obtains inventory reports from the United Nations Property Management and Inventory Management Unit and full administrative access to the ProcurePlus system, with the aim of updating all assets and acquiring inventory reports (para. 145); The Fund ' s request to the Office of Central Support Services for access to Procure Plus in a memorandum dated 30 September 2010 and a follow-up memorandum dated 15 October 2010 is still pending.","(cc) The Fund secretariat develop a human resources plan (para. 149);","(dd) The secretariat of the Fund consider ways to strengthen succession planning based on the retention of retirees (para. 153); Use the expertise of retired staff to assist in this process. See also paragraph 8 of the memorandum submitted by the CEO to the Board of Auditors on 15 April 2010.","(ee) Given that the recommendations of OIOS reflect significant deficiencies in human resources management, the Fund should address the recommendations of OIOS (para. 158); and (a) the Fund should adhere to the annual leave policy set out in staff regulation 5.1: “All staff should be allowed appropriate annual leave” and rule 105 of the Staff Rules. Fund management encourages those with financial responsibilities to take two weeks of uninterrupted annual leave each year. This is mandatory for the staff of the Investment Management Division.","(b) The Executive Office prepares monthly staffing tables manually and reconciles them with the Integrated Management Information System (IMIS).","(c) A tracking system has been established to monitor the recruitment of staff and will be used to benchmark each stage of the recruitment process. The 120-day United Nations benchmark will be used until the Fund has sufficient data to calculate its own benchmark. Managers responsible for recruitment are encouraged to scrutinize applicants in order to achieve gender parity.","(d) The IMIS functional package must be presented to the staff by the supervisor and reviewed and delegated by the Executive Office accordingly. Staff outside the Executive Office were not authorized to use the human resources functionality of IMIS without the approval of the Chief Executive Officer.","(e) Within the new contractual framework, active staff beyond retirement age are now placed under the “temporary” category. The master procedure, issued in January 2009, provides an annex to the work plan for temporary staff and their subsequent performance appraisals, to be completed by supervisors and managers.","(f) Managers, in consultation with heads of department and staff, clearly identify and document the training needs of each staff member in the e-PAS. Departments will monitor or continue to monitor implementation.","(g) Compliance monitoring will continue and statistical and individual feedback will be provided to heads of departments, with emphasis on the timely completion of e-PAS.","(ff) The Fund secretariat should reconcile monthly contributions from member organizations and follow up on outstanding projects in a timely manner (para. 162); However, a pilot scheme has just been launched to test a system that allows monthly reconciliation.","(gg) The Fund secretariat establish a system to verify the accuracy of information provided by member organizations prior to year-end closing and to ensure that reconciliations are performed and verified prior to the finalization of financial statements (para. 167); The automated document transfer and editorial inspection of documents at the end of the year improved the accuracy of the reports and reduced the Fund ' s manual workload.","(hh) (a) It is standard practice to systematically upload and scan all official correspondence of the Fund with its participants and beneficiaries into appropriate CMS files. This includes sending follow-up letters to clarify inconsistencies in signatures. If such documents cannot be found in the document, the exception is an oversight. The Fund secretariat, where the signatures on the certificate of entitlement form are different from the original signatures, upload to the content management system the evidence for the follow-up verification of the beneficiaries; and comply with the general procedure 2001-68, which requires that all digital images of beneficiary signatures that are available be entered into the content management system (para. 174);","(b) As explained above, the standard practice is to upload all documents related to the Fund ' s beneficiaries and participants ' files to the content management system. The loss of documents was an oversight and an exception.","(ii) The Fund secretariat improve the overall processing time of transfer cases to meet the six-month processing time target (para. 180); The number of long-outstanding cases is low, and none has exceeded 50 days. As a result, all these cases met the benchmarks for case processing.","(jj) The Fund secretariat implement procedures for regular reconciliations between the PENSYS payroll and Lawson systems (general ledger) (para. 184); the Finance Section is considering the preparation of a COGNOS report for such reconciliations in 2011.","(kk) The Fund secretariat develop and approve comprehensive user account management procedures to ensure that user accounts are properly managed; implement procedures to monitor the validity of user accounts on a regular basis (para. 188); The Information Management Systems Service has introduced a “access, systems and data access” policy to implement account management procedures. Group-based roles have been introduced in the system, and access rights can be limited by such roles when requested by managers. Password replacement and security parameter setting were implemented in these systems using the Active Mailing Policy and the Single Point Login programme. Due to PENSYS restrictions, the introduction of “periodic records and system activity review” features in these ageing systems was not considered feasible; therefore, for the Integrated Pension Administration System to be replaced, they were required.","(ll) The Fund secretariat review the procedures for requests for change and requests for services to take into account areas for improvement identified by the Board of Auditors (para. 193); The Information Management Systems Service reviewed the change request and service request procedures and updated the change request tool to include a field showing whether documents were required for testing and approval of implementation.","(mm) The Fund secretariat monitor compliance with change control procedures and maintain proper change control management documentation records (para. 195); The Information Management Systems Service has implemented change management policies and established a comprehensive automated system for approval and tracking. Processes are in place. The Service and managers are currently monitoring compliance with change control procedures on a daily basis and enforcing a policy on recording any and all changes made prior to implementation.","(nn) The Fund secretariat perform information technology quality assurance functions to ensure that a certain level of trust is established and maintained; implement controls to prevent programme analysts from using the user name and password of the database administrator (para. 202); The Information Management Systems Service, while rejecting the establishment of a “quality assurance position”, streamlined the requirement for this function by drafting a segregation of duties policy. The proper implementation of the division of responsibilities policy of the Service has been identified and monitored through the recording of each step (e.g., analyst, developer, migration, etc.) through the revision of the request process, which is subject to review by two individuals: the first approving officer and the second approving officer. Changes have been made so that user names and passwords for database administrators are provided only to database administrators.","(oo) The Fund secretariat review the adequacy of the access rights of the programme analysts, with particular attention to access to the production environment, and develop procedures to manage the need for access to the production environment (para. 204); Although the Information Management Systems Service refused to establish a “quality assurance position”, the requirement for this function was streamlined by drafting a policy on segregation of duties. The separation of responsibilities is maintained by ensuring that tasks related to analysis/development and movement to production are assigned to two different persons. In addition, a system modification plan is in place to manage and monitor the process.","(pp) The Fund secretariat ensure that responsibilities are properly separated during the transition of tested and approved changes from the development environment to the testing environment and from the testing environment to the production environment (para. 206). It is recommended that the case be closed. Although the Information Management Systems Service refused to establish a “quality assurance position”, the requirement for this function was streamlined by drafting a policy on segregation of duties. The separation of responsibilities is maintained by ensuring that tasks related to development, testing and movement to production are assigned to different people. In addition, a system modification plan is in place to manage and monitor the process.","Annex I","Discussion by the United Nations Joint Staff Pension Board on the revised budget estimates for the biennium 2010-2011 and the budget estimates for the biennium 2012-2013","Administrative matters of the Fund","(a) Revised budget estimates for the biennium 2010-2011","1. The secretariat of the United Nations Joint Staff Pension Fund has requested a reduction of $21,772,800 in the budget estimates for the biennium 2010-2011 in relation to the revised appropriation of $176,318,500. The final revised appropriation for the biennium 2010-2011 would therefore amount to $154,545,700, of which $21,508,700 would be met by the United Nations under the cost-sharing arrangement.","Budget estimates for the biennium 2012-2013","2. The proposed budget estimates for the biennium 2012-2013 provide for $215,999,100 for approved expenditures (before recosting), compared with the approved expenditure of $176,318,500 for the biennium 2010-2011. The budget report presented administrative costs of $101,768,500, investment costs of $111,282,400, audit costs of $2,748,200 and Board costs of $200,000. In addition, the estimate provides for one extrabudgetary post for after-service health insurance in the amount of $152,900 and for an emergency fund of up to $200,000.","Administrative costs","3. The proposed budget under administrative costs amounts to $101,768,500 before recosting, an increase of 10.2 per cent over the appropriation for the biennium 2010-2011 and 26.5 per cent over the revised budget estimates for the biennium 2010-2011.","4. With regard to administrative costs, the Secretariat emphasized that, although the total cost estimates for the Integrated Pension Administration System project remained unchanged, the change in the original schedule as a result of the change in the implementation strategy had resulted in underexpenditures in the project for the biennium 2010-2011 and the subsequent request for funding in the budget for the biennium 2012-2013. In addition, in line with the medium-term human resources strategic plan of the Secretariat, 16 additional established posts and 3 reclassifications are proposed, as follows:","New posts","1 P-3 Chief, Client Services, Records Management and Distribution Unit","Investment costs","5. The proposed budget under investment costs amounts to $111,282,400 before recosting, an increase of 37.1 per cent over the appropriation for the biennium 2010-2011 ($81,197,500), and 56.1 per cent over the revised budget estimates for the biennium 2010-2011 ($71,289,000).","6. Under investment costs, the resources requested by the Representative of the Secretary-General include 20 additional posts and additional requirements for contractual services in the areas of portfolio management to implement the Fund ' s leadership; the increase in small capitalization; the master record keeper; and information technology projects, as shown in the table below.","New posts","1 P-4 Senior Investment Officer - Fixed Income and Foreign Currency 1 P-4 Investment Officer - Alternative Investments 1 P-4 Investment Officer - Global Emerging Markets 1 P-4 Investment Officer - Trading Executive Officer 1 P-3 Investment Officer - North American equities 1 P-3 Investment Officer/Analyst - Real estate 1 General Service (Other level) Trade Implementation Assistant 1 P-4 Due Diligence and Quantification Strategic Risk Management Officer 1 P-3 Compliance Analyst and Operations Risk Management Officer 1 General Service (Other level) Chief Risk and Compliance Officer 1 P-4 Accounting and Reporting Officer 1 P-3 Finance Officer, Reconciliation 1 D-1 Chief Information Technology Officer 1 P-3 Information Security Officer 1 P-3 Reconciliation Manager 1 General Service (Other level) Administrative Assistant","Audit costs","7. An amount of $74,700 is requested for external audit and $1,973,500 for internal audit, for a total amount of $2,748,200, reflecting a net increase of $103,200. Of this amount, $113,500 relates to the costs of the external auditor.","Pension Board costs","8. A total of $200,000 is requested for the costs of two Board sessions and for the travel of the Chairman and the selection committee to recruit the next Chief Executive Officer.","Extrabudgetary funds","9. Extrabudgetary resources in the amount of $152,900 are requested for one General Service (Other level) post funded by member organizations involved in the after-service health insurance plan.","Emergency Fund","10. Supplementary amounts not exceeding $200,000 are requested for the Emergency Fund.","Working Group on the Budget","11. The comments and recommendations made by the budget working group and endorsed by the Board are set out below.","12. In accordance with the decision taken by the Board at its fifty-seventh session, the Working Group on the Budget began its work on 6 July 2011.","13. The composition of the Working Group, which had previously been agreed upon by the Board, was changed by the replacement of a representative of the executive head group and a representative of the participant group. The final composition of the Working Group is as follows:","Ms. J. Forest (International Telecommunication Union), representing the governing body","Mr. G. Kuentzle (United Nations), representing governing bodies","Ms. Y. Mortlock (*) (International Organization for Migration), on behalf of the Executive Head","Ms. S. Van Buerle (United Nations), on behalf of the Chief Executive (elected Chairperson)","Mr. H. Baritt (*) (World Health Organization), representing participants","Mr. C. Santos-Tejada (United Nations), representing participants","Mr. A. Castellanos del Corral (Federation of Associations of Former International Civil Servants), representing pensioners","Mr. T. Teshome (Federation of Associations of Former International Civil Servants), representing pensioners","(*) New members.","14. The Working Group had before it the following documents: the implementation of the International Public Sector Accounting Standards (IPSAS) by the Fund; the revised budget estimates for the biennium 2010-2011; the strategic framework of the Fund for the period 2012-2013; and the budget estimates for the biennium 2012-2013. The Working Group benefited from meaningful interaction with the secretariat and the Investment Management Division.","Performance report for the biennium 2010-2011","15. As indicated in paragraph 195 of the report of the Board on its fifty-fifth session (A/63/9) and in paragraph 137 of its report on its fifty-seventh session (A/65/9), the Board decided that the Fund secretariat should provide to the Board on an annual basis, in the context of the programme budget performance report, a detailed analysis of budget variances between approved budgets and actual expenditures. While the Working Group noted that some of the information had been provided, it was of the view that future performance reports should provide a more detailed breakdown of variances by the main purpose of the various categories of expenditure. The Working Group also noted that IPSAS required clarification of the difference between budget and actual expenditure, which could improve the Board ' s consideration of future budget reports. Moreover, this should be fully explained if changes in the implementation methods, strategies, etc. of projects or initiatives have a greater impact on the programme of work for the period and therefore on the level of expenditure. In particular, it was noted that underexpenditures for some of the anticipated two-year periods were in effect a change in resource requirements to the next budget period, which should be indicated in the new budget submission in order to review the amounts requested, in particular for the Integrated Pension Administration System project.","16. In this connection, the Working Group was of the view that the resources proposed for a given biennium should, in principle, be used for the purposes approved for that biennium. The Working Group also noted recurrent underexpenditures in the Investment Management Division for “contractual services”. The Working Group expressed its appreciation for the Division ' s efforts to proceed in a cost-effective manner and encouraged it to continue to do so in order to bring budget estimates more in line with actual performance.","Strategic framework for the period 2012-2013","17. The Working Group acknowledged the continuing efforts to improve results-based presentation, in particular the presentation of more focused objectives, expected accomplishments and indicators of achievement. The Working Group recommended that the Fund's logistical framework should be developed in line with the SMART principles — specific, measurable, attainable, realistic and time-bound — so that the Board could effectively evaluate the Fund's performance in achieving expected results. The Working Group noted that the strategic framework would need to be revised in the light of the forthcoming decisions on the budget for the biennium 2012-2013.","18. In addition, the Working Group noted that, in accordance with the established budgetary process of the United Nations, the strategic framework should have been presented to the Board in off-budget years in order for the Board to provide the Fund with relevant guidance on priorities and programme of work as a basis for the preparation of the budget for the next financial period. As this was the first year of submission of the strategic framework following the Board ' s decision to request it, it was confirmed that the established cycle would begin in 2012 and that the strategic framework for the period 2014-2015 should be submitted to the Board at its fifty-ninth session.","Budget estimates for the biennium 2012-2013","19. In reviewing the proposed budget and the concerns raised by the various stakeholder groups of the Fund, the Working Group was guided by the principle of the need to ensure that the implementation of the mandate of the Fund was carried out with maximum efficiency, maximum effectiveness and maximum cost awareness, with a particular focus on initiatives to increase benefits, reduce risks and/or provide better services to various stakeholder groups. Most importantly, the Working Group reviewed the reasons put forward for seeking additional resources. In several of these cases, the Working Group recognized that the implications and implications of IPSAS, the Integrated Pension Administration System and other initiatives were not fully understood. In addition, the Working Group considered that it would be premature to seek additional resources before the Chief Finance Officer (subject to recruitment) could express his or her views on the staffing structure, which would lock in the staffing structure. The Working Group also believes that further synergies could be achieved through enhanced operational integration between New York and Geneva. The CEO reported to the Working Group that outsourcing opportunities were being examined. The Working Group recommended that, in order to achieve greater administrative cost-effectiveness, the options for offshoring and outsourcing should be examined more closely, especially in the event that the current lease was about to expire.","20. In addition, the Working Group was fully aware of the financial situation faced by participating organizations and Member States, noting in particular their need for more efficient and effective ways of delivering results. In the case of the Pension Fund, the Working Group noted the expansionary nature of the proposed budget and the great extent to which the expected future benefits of the Integrated Pension Administration System (the project in progress) would depend on it, and requested further information on the actions that the Fund had taken or could take to improve performance, improve efficiency and save costs, including the changes in the staffing structure that the project would entail.","21. The budget working group recognized that the number of participants had increased by 4.2 per cent over the past 10 years. During the same period, the complexity of managing participants also increased significantly, mainly as a result of the increase in the number of relevant provisions of the Fund ' s pension adjustment system.","22. The Fund ' s budget has also experienced unprecedented growth over the past few years. The proposed budget of $216 million for 2012-2013 represents a 23 per cent increase over the 2010-2011 budget of $176.3 million approved, and a 68 per cent increase over the 2008-2009 budget of $128.2 million.","In order to evaluate the overall administrative budget more effectively, the Working Group reviewed the “per participant” costs (total cost divided by number of participants). The calculation, which included an inflation adjustment, showed that the average annual administrative cost per participant had been $197. The proposed budget of $216 million was equivalent to $248 per participant, an increase of 26 per cent.","Inflation-adjusted cost per participant","(United States dollars)","[Chuckles]","24. The CEO confirmed to the Working Group that the Administration had used a number of key performance indicators to track the effectiveness and efficiency of the Fund. The Working Group recommended that the Fund should endeavour to link future budget proposals to those indicators.","Budget presentation and methodology","25. At its fifty-seventh session, the Board decided that future budget proposals should be submitted 90 days before the session of the Committee and decided that the Working Group noted with appreciation that the decision had been fully complied with. This facilitated early review by the budget working group. The Working Group noted that every effort had been made to align the presentation of the documents submitted with the methodology used by the United Nations.","26. However, there was general agreement in the Working Group that the Fund needed to revise the presentation in its budget document and that the reasons for the changes should be more clear and concise in order for the Board to take a decision. A quality review of documentation would also help to remove inconsistencies and ensure that cross-cutting initiatives are presented in an aggregated manner, with the appropriate use of graphs to facilitate understanding of the initiatives. In addition, as previously recommended by the Board, the Fund should continue to ensure greater consistency with the United Nations budget presentation, in particular by distinguishing between changes resulting from growth and changes resulting from changes in costing parameters, which refer to currency, inflation or standard salary costs.","27. The Working Group noted with concern that little or no progress had been made on the integration and consolidation of certain functions and services, which continued to favour a fragmented approach to operations, and that it was also unclear what was being done to implement cost-saving initiatives in the context of back-office tasks. The Board may wish to consider requesting the CEO and the Representative of the Secretary-General to study the options jointly and to present them to a future Board session.","Information technology","28. The Working Group noted that the Fund had requested $66 million for the Information Systems Section and the Information Management Systems Service for information technology-related activities. This level of funding may prove to be justified in the end, but in view of the increasing complexity of the budget proposals submitted to the Board, it may be useful to prepare a concise, comprehensive and integrated information technology strategy in conjunction with the budget and to present it to the Board at its fifty-ninth session, which should include an assessment by independent information technology experts in the relevant areas of the operations of the Fund.","In this regard, the Working Group noted that the Fund relied heavily on the International Computing Centre. In particular, with reference to the Centre ' s budget, the Working Group was informed that the Fund was the second largest user of the Centre ' s services, after the Department of Field Support. The Working Group was informed that, owing to the nature of the Centre, its services were not subject to competitive bidding, which raised doubts as to whether it was the most cost-effective and cost-effective way of meeting the needs of the Fund without compromising data security or confidentiality. At the same time, in interviews with representatives of the Fund, the Working Group noted that the Fund was staffed separately through the Centre, with approximately 13 staff members recruited through contractual services, ranging from General Service (Other level) to P-5, some of whom had been recruited since 2004.","IPSAS International Public Sector Accounting Standards","30. The Working Group was pleased to hear the CEO report that the IPSAS project had made good progress and that the Fund was likely to meet its deadline. The remaining issues relating to fixed assets and employee benefits appear to have been adequately addressed. The current finance staff of the Secretariat and the Investment Management Division are familiar with IPSAS standards. The Working Group was of the view that, in the long term, IPSAS would be integrated into all levels of financial management responsibilities, broadly the same as the United Nations system accounting standards.","31. The Working Group was of the view that there was no need for two new posts dedicated to IPSAS and that it would be more appropriate to provide short-term consultancy funds to assist with financial statements, impairment tests and policy documents.","Integrated Pension Administration System","32. With regard to the Integrated Pension Administration System, the Working Group welcomed the confirmation by the CEO that the Integrated Pension Administration System project was a top priority. The Working Group noted that the Integrated Pension Administration System would fundamentally shift the organizational approach from a case-by-case to a process-driven one. The Working Group recalled that the purpose of the system was to improve efficiency and service delivery. In that regard, the Working Group was of the view that the review and appropriate improvement of all relevant existing procedures must be an integral part of the entire reform management process of the Integrated Pension Administration System. The Working Group also encouraged the Fund to ensure that the project was not driven primarily by information technology, as full ownership of substantive areas was indispensable.","33. The Working Group recommended that the Board should request a report on the expected organizational structure of the Fund following the implementation of the Integrated Pension Administration System for consideration at its sixtieth session in the context of the next budget report. The report should also include a strategic evaluation of all posts affected by the implementation of the system.","34. In 2010, the Fund scanned 639,499 documents totalling 1,120,602 pages. The Integrated Pension Administration System is intended to replace the Entitlements, Accounting and Document Management System. The Working Group noted that, in the project, staffing resources appeared to have been allocated to accounting and entitlements, but no specific resources had been earmarked for document management. The Working Group encouraged the Fund to monitor the skills required for the project to ensure that resources were allocated to address document management issues.","35. The current budget includes additional contractual services and other costs required to support the legacy system, which will be replaced by the Integrated Pension Administration System. The Chief Executive Officer assured that the new system would be completed in accordance with the project schedule and budget and might also be lower than the budget.","36. The Integrated Pension Administration System project will have a significant impact on service delivery. The Working Group therefore recommended that a revised organizational chart be provided in the next budget submission.","Proposed resources","Posts","37. In accordance with the principles and criteria referred to in paragraph 19 above, and following a series of consultations involving administrative and management staff, the Working Group undertook the following review of posts. A total of 3 reclassified posts (3 Secretariat posts) and 36 new posts (16 administrative and 20 Investment Management Division posts) are requested for the Fund. Following a review of each post and dialogue with the secretariat and the Investment Management Division, the Working Group made the following observations:","(a) Not to support the proposed reclassification;","(b) Support the establishment of seven new posts in the Investment Management Division, as shown in table 1;","(c) Support the establishment of general temporary assistance positions (not posts previously requested) as shown in table 2; the timing and purpose are indicated in the table;","(d) The establishment of a new P-4 Finance and Budget Officer post in the Fund ' s Executive Office is not supported. The Working Group supported the reclassification of the existing P-3 post of Finance and Budget Officer to the P-4 level, in view of the increased complexity of the functions.","Table 1","1 P-4 Investment Officer for Global Emerging Markets","Table 2","1 P-3 24 months Non-recurrent positions 1 GS (OL) 24 months","(a) Resource requirements for the provision of services will be redeployed from the Legal Office.","Administration","Under the Information Management Systems Service, the Working Group did not support “integrated management initiatives” and recommended a budget reduction of $2,543,300 (before recosting), following discussions with the Fund on how to prioritize information technology projects in the light of the continuing need for dedicated capacity to implement the Integrated Pension Administration System. This would entail a necessary reduction in the administrative budget for contractual services ($1,133,300) and furniture and equipment ($1,410,000).","Temporary posts","39. The Working Group supported the continuation of 17 temporary posts for the Integrated Pension Administration System project at the following level: 1 P-5, 7 P-4, 4 P-3, 5 General Service (Other level).","Other staff costs","40. The Working Group agreed with the amount requested under other staff costs, adjusted for the additional requirements for two general temporary assistance positions approved under operational/administrative costs, as shown in table 2.","Consultants","41. The Working Group supported the requested amount of $300,000 (before recosting).","Travel","The Working Group recommended a 10 per cent reduction in the level of the revised appropriation.","Contractual services","43. The Working Group supported the amount requested, which had been adjusted because the resources requested for the Integrated Management Initiative project had not been approved.","Hospitality","44. Maintenance of the revised appropriation level.","General operating expenses","45. The Working Group agreed with the amount requested under administration. The Working Group noted the increase in general operating expenses due to bank charges of $3 million. This represents an increase of approximately $500,000 over the previous biennium. The Working Group requested the Fund to review its banking mechanisms with a view to reducing those costs. A summary report should be provided in the next budget submission.","Supplies and materials","The Working Group supported the amount requested.","Furniture and equipment","47. The Working Group supported the amount requested, which had been adjusted because the resources requested for the Integrated Management Initiative project had not been approved.","48. The above recommendations on non-post items for administration are summarized in table 3.","Table 3 (Thousands of United States dollars)","Other staff costs","Travel 1,224.5","Contractual services","Hospitality 4.0","General operating expenses","Supplies and materials","Furniture and equipment 2 011.0","Total non-post resources 53 731.5","Investment Management Division","Other staff costs","49. The Working Group recommended that the resources be appropriated at the revised appropriation level, adjusted as shown in table 2 for the additional requirements for two additional general temporary assistance positions (non-regular resources, 12 months for a P-4 Legal Officer and 24 months for a P-4 Accounting and Reporting Supervisor).","50. In addition, the Working Group agreed with the Investment Management Division to establish a P-2 Risk and Compliance Implementation Analyst and a P-3 Static Data Manager within the overall resources approved under other staff costs (as shown in table 3).","Consultants","51. On the basis of a review of the total resources required for IPSAS, the Working Group recommended that the estimated requirements of $500,000 be reduced to $250,000. Accordingly, a provision of $1,177,000 (before recosting) is made under consultants.","Travel","52. The Working Group recommended that the revised appropriation be maintained.","Contractual services","53. Under contractual services, the Working Group does not currently support the amount of $11,250,000 requested to lead the Fund. The Working Group was of the view that allocating that amount would amount to a change in the investment strategy, but that such a change should be discussed at the Board session and clearly supported by the Investments Committee.","54. In addition, the Working Group was informed that the recent contract for the services of the custodian/master record keeper had been negotiated at a lower than anticipated cost and therefore recommended a reduction of $4,138,300 in this expenditure.","Hospitality","55. The Working Group recommended that the revised appropriation be maintained.","General operating expenses","The Working Group agreed with the amount requested.","Supplies and materials","57. The Working Group recommended that the revised appropriation be maintained.","Furniture and equipment","58. The Working Group recommended that the revised appropriation be maintained.","59. The above recommendations on non-post items for the Investment Management Division are summarized in table 4.","Table 4","(Thousands of United States dollars)","Other staff costs","Travel","Contractual services","Hospitality 22.0","General operating expenses","Supplies and materials 160.0","Furniture and equipment 700.0","Total non-post resources","Pension Board costs","60. The Working Group fully supported the requested funding for the expenses of the Board.","Extrabudgetary funds","61. The Working Group supported the funding of one General Service (Other level) staff member funded by participating organizations.","Discussions in the Board","62. The Board noted with appreciation that the budget document had been submitted 90 days before the start of the General Assembly, as requested, allowing for a detailed review of the document by the Budget Working Group.","63. The executive heads supported the outcome of the Working Group ' s work and welcomed the fact that the budget presentation was in compliance with International Public Sector Accounting Standard 24 and had been prepared within the time frame requested by the Board. The executive heads were concerned that the information provided in the proposed budget was inaccurate and complicated the analysis conducted by the Working Group and the Board ' s deliberations. The executive heads recommended that, where appropriate, the analysis should be thoroughly used. The executive heads also noted that the budgets approved for prior periods had not been fully spent.","64. The governing bodies endorsed the recommendations of the Working Group. The governing bodies recommended that, at future sessions, documents should be submitted earlier, accompanied by an introductory statement by the principal official, in order to provide more comprehensive information for the deliberations of the Working Group.","65. The participants ' group supported the recommendations made by the Working Group and noted that the asset-liability management studies recommended diversification of the assets of the Fund and sought investment in alternative assets. The participants group recalled the recommendations made at previous meetings of the General Assembly to exercise the utmost care. The participants group also recalled that budgetary constraints should not impede professional progress.","66. The Federation of Associations of Former International Civil Servants supported the conclusions of the Working Group and expressed its appreciation to the Working Group.","67. The Federation further noted that the reference base should be adjusted, where necessary, to take into account inflation and currency effects, and that, in a more economical environment, possible cost reductions should be sought in projects such as travel and information technology, and that the budget requested should be closely linked to strategic objectives. The potential impact of any change in the Integrated Pension Administration System on member organizations should be explained in advance as soon as possible.","68. Board members also noted that:","(a) The Fund should review the methodology used and assumptions made when preparing its budget for contractual services;","(b) The table contained in the report of the budget working group showing the cost trends for each participant was useful as a model for further analysis by the Fund.","69. The representative of the Secretary-General had submitted a note to the Board warning that the opportunity costs resulting from the loss of return on investment as a result of savings in investment management might go well beyond the apparent savings. As trustee for the Fund, the representative of the Secretary-General formally raised his concerns and concerns that the structural weaknesses of the Investment Management Division had led to an unacceptable risk that it would not be able to provide adequate returns in the future to support existing and anticipated liabilities.","70. The CEO thanked the Working Group for its support of major projects, including IPAS and IPSAS. The Chief Executive Officer also referred to the diagram of the cost per participant set out in the report of the Working Group, further clarifying that each participant ' s cost increase was due to the fact that a project had been undertaken and that the cost per participant had decreased after the completion of the project. He cited, for example, the sudden increase in costs in 2004 as a result of the relocation of the Fund from the United Nations Secretariat building to 1 Dag Hammarskjöld Plaza, and the surge in 2012-2013 as a result of the establishment of the Integrated Pension Administration System, which included 17 temporary posts that would be abolished after the completion of the project.","71. The Deputy Chief Executive Officer confirmed that the purpose and effectiveness of the target operating model related to the Integrated Pension Administration System project remained unchanged. The change is the location of the new information technology infrastructure required for the North American Data Centre project in New Jersey. Following the discovery of serious weaknesses in data centre 1 Dag Hammarskjöld Plaza, it was decided to install the information technology infrastructure of the project at the North American data centre. The Deputy Chief Executive Officer also noted that all the substantive teams within the Fund were involved in the project and that an Integrated Pension Administration System Steering Committee had been established. He confirmed that the project was expected to be completed within the budget as planned.","Recommendations of the Board","72. On the recommendation of the Working Group, the Pension Board approved for submission to the General Assembly the proposed budget estimates of $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Board costs ($204,400). Under the cost-sharing arrangement, $173,260,600 of that amount would be apportioned to the Pension Fund and $20,903,400 to the United Nations.","73. In addition, the Board approved the use of $156,800 in extrabudgetary funds to process after-service health insurance payments at the request of some member organizations.","Annex II","United Nations Joint Staff Pension Fund: organization chart approved for the biennium 2010-2011","[Chuckles]","Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.","(a) One extrabudgetary General Service (Other level) post is funded by member organizations.","(b) Temporary posts authorized to participate in the IPAS project.","^ (c) One of the two P-4 posts authorized for the biennium 2010-2011 for IMSS is authorized for only 12 months. This post was abolished in 2011 and the temporary P-4 post in IMSS was reduced to one.","Annex III","United Nations Joint Staff Pension Fund: proposed organization chart for the biennium 2012-2013","[Chuckles]","Abbreviations: ASG, Assistant Secretary-General; OL, Other level; PL, Principal level.","(a) One extrabudgetary General Service (Other level) funded by member organizations.","(b) Temporary posts authorized to participate in the IPAS project.","Annex IV","United Nations Joint Staff Pension Fund: number of participants by member organization as at 31 December 2010","[TABLE]","(a) The number of United Nations participants decreased by two in 2006, from 68,855 to 68,853.","(b) The General Agreement on Tariffs and Trade withdrew from the United Nations Joint Staff Pension Fund on 31 December 1998.","(c) The International Criminal Court has been the twentieth member organization of the Fund since 1 January 2004.","(d) The Inter-Parliamentary Union became the twenty-first member organization of the Fund as from 1 January 2005.","(e) The International Organization for Migration has been the twenty-second member organization of the Fund since 1 January 2007.","(f) The Special Tribunal for Lebanon became the twenty-third member organization of the Fund as from 1 January 2009.","[1] It is estimated that during the biennium 2012-2013, more than 55,400 new participants are expected to be processed for entry, separation and access to the accounts of the Fund; this relates to specific and measurable tasks undertaken by the Department, an 80 per cent increase over the biennium 1998-1999.","[2] The total annuity value of additional periodic benefits to be paid and the annual cash settlement calculated, validated and paid by the Operations Branch are estimated to be close to $1 billion over a period of approximately 30 years."],"string":"[\n \"Sixty-sixth session\",\n \"A/66/150.\",\n \"Items 133 and 134 of the provisional agenda*\",\n \"Programme budget for the biennium 2010-2011\",\n \"Proposed programme budget for the biennium 2012-2013\",\n \"Administrative expenses of the United Nations Joint Staff Pension Fund and transitional measures for financial reporting under the International Public Sector Accounting Standards\",\n \"United Nations Joint Staff Pension Board\",\n \"Contents\",\n \"2. Budget estimates for the biennium 2010 - 2011: performance report 4A. Administrative costs 7B. Investment costs 12C. Audit costs 16D. Extrabudgetary costs 16E. Board costs 16E. Proposed budget for the biennium 2012 - 2013 16A. Introduction 16B. Administrative costs 25C. Investment costs 48D. Audit costs 64E. Board costs 654. Emergency Fund 666.\",\n \"The present report contains the revised budget for the biennium 2010-2011 for the United Nations Joint Staff Pension Fund, which shows a decrease of $21172,800 in appropriations. The decrease relates to the level of expenditure for administrative costs ($11,830,000). Investment costs ($9,908,500) and audit costs ($112,100). The reduced expenditure was offset in part by an increase of $77,800 for the Pension Board. Accordingly, the revised appropriation for the biennium 2010-2011 amounts to $154,545,700 for administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Under the cost-sharing arrangement, of that amount, $21,508,700 would be shared by the United Nations. The report also contains budget estimates for the period from 1 January 2012 to 31 December 2013, amounting to $1916,200 (before recosting) for administrative costs ($96,873,100), investment costs ($9179,300), audit costs ($2,748,200) and Pension Board expenses ($200). The present report provides for a total of 227 continuing posts, 17 temporary posts, 7 new posts and 1 reclassification. Resource requirements ++ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ^ (b) Includes 18 temporary posts for the Integrated Pension Administration System; one post at the P-4 level was abolished in 2011.\",\n \"Overview\",\n \"1. The United Nations Joint Staff Pension Fund, which was established by the General Assembly in 1949 to provide retirement, death, disability and related benefits to staff members of the United Nations and other organizations admitted to membership, currently has 23 member organizations. As at 31 December 2010, there were 184,968 active participants and pensioners.\",\n \"2. In accordance with the Regulations adopted by the General Assembly, the Fund is administered by the United Nations Joint Staff Pension Board, the Staff Pension Committee of each member organization, the secretariat of the Board and the secretariat of the Staff Pension Committee of each member organization. One third of the Pension Board members are selected by the General Assembly and the corresponding governing bodies of the other member organizations, one third by the executive heads and one third by the participants. The Board reports to the General Assembly on the operations of the Fund and on the investment of its assets. If necessary, the Board recommends that the Regulations be amended to provide, inter alia, for the proportion of participants ' contributions (currently 7.9 per cent of pensionable remuneration) and the proportion of contributions of member organizations. Examples (currently 15.8 per cent), eligibility for participation and the benefits that participants and their dependants may be entitled to.\",\n \"II. Budget estimates for the biennium 2010-2011: performance report\",\n \"3. Table 1 summarizes the total estimated expenditures for the biennium 2010-2011. In order to make the Fund ' s performance report more meaningful, the expenditure for the biennium consists of two distinct components: (a) Actual expenditures for the 17-month period from 1 January 2010 to 31 May 2011; and (b) estimated expenditures for the seven-month period from 1 June to 31 December 2011. Actual expenditures for the period from 1 January to 31 May 2011 were determined on the accrual basis of accounting, meaning that transactions and other matters were recognized in the financial statements when they occurred and not when cash or cash equivalents were received or paid.\",\n \"4. In its resolution 64/245, the General Assembly approved appropriations totalling $176,318,500 for the biennium 2010-2011, comprising administrative costs ($92,281,400), investment costs ($81,292,000), audit costs ($2,645,000) and Board expenses ($100,000). Of that amount, $154,749,100 is charged directly to the Fund and $21,569,400 is shared by the United Nations. In addition, resources amounting to $158,200 were approved for extrabudgetary costs, to be provided by a number of member organizations. In its resolution 65/249, the Assembly approved the redeployment of appropriations to meet the needs of the Fund. The revised appropriation includes administrative costs ($92,308,500), investment costs ($81,197,500), audit costs ($2,645,000) and Board costs ($167,500). The amounts charged directly to the Fund and the United Nations share remain unchanged at $154,749,100 and $21,569,400, respectively.\",\n \"Table 1 Revised estimates for the biennium 2010-2011 by object of expenditure\",\n \"(Thousands of United States dollars)\",\n \"Estimated expenditures for the seven-month period from 1 January 2010 to 31 December 2011\",\n \"(a) (b) (d) = (b) + (c)-(a) = (a) + (d)\",\n \"Administrative costs\",\n \"Posts\",\n \"Temporary posts\",\n \"Other staff costs\",\n \"Consultants 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (1991) — 338.5 — 338.5\",\n \"Travel 1,360.6 – 1 360.6 907.2 – 907.2 389.9 – 389.9 (63.5) – (63.5) 1 297.1 – 1 297.1\",\n \"Contractual services\",\n \"Hospitality 4.0 - 4.0 4.3 - 4.3 1.0 - 1.0 1.3 - 1.3 5.3 - 5.3\",\n \"General operating expenses\",\n \"Supplies and materials\",\n \"Furniture and equipment\",\n \"Total\",\n \"Investment costs\",\n \"Posts\",\n \"Other staff costs\",\n \"Consultants 2,328.8 2 328.8 702.6 — 702.6 1 626.2 — 1,626.2 — 2 328.8 — 2 328.8\",\n \"Travel 2 000.0 2 000.0 1 100.6 – 1 100.6 610.4 – 610.4 (289.0) – (289.0) 1 711.0 – 1 711.0\",\n \"Contractual services\",\n \"Hospitality 22.0 20.4 - 20.4 3.0 - 3.0 1.4 - 1.4 23.4 - 23.4\",\n \"General operating expenses\",\n \"Supplies and materials 160.010.053.8 – 53.8 105.8 (0.4) (0.4) 159.6 – 159.6\",\n \"Furniture and equipment\",\n \"Total\",\n \"Audit costs\",\n \"External audit 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 551.0 110.2 661.2\",\n \"Internal audit\",\n \"Total\",\n \"Board expenses 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3\",\n \"Total resources\",\n \"Extrabudgetary costs (after-service health insurance system)\",\n \"Operational activities 158.2 - 158.2 90.0 - 90.0 54.3 - 54.3 (13.9) - (13.9) 144.3 - 144.3\",\n \"5. Approved revised appropriations for the following purposes:\",\n \"(a) Administrative costs: an increase of $94,600 under general temporary assistance to cover the cost of one post at the P-4 level related to the implementation of the International Public Sector Accounting Standards (IPSAS);\",\n \"(b) Investment costs: a decrease of $94,600 under contractual services.\",\n \"6. Total expenditure for the biennium 2010-2011 is estimated at $154,545,700, comprising administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board costs ($245,300), resulting in savings of $21,772,800, or 12.3 per cent of the total appropriation. In addition, projected extrabudgetary expenditures of $144,300 resulted in savings of $13,900, equivalent to 8.8 per cent of the appropriation.\",\n \"A. Administrative costs\",\n \"7. Administrative costs are estimated at $80,478,500, resulting in underexpenditure of $11,830,000, or 12.8 per cent. The main resource variance resulting from the net savings is attributable first and foremost to the Integrated Pension Administration System, as explained in paragraphs 13 to 17, which resulted from the improvement of the project plan of the system, the addition of new basic activities and the installation of new information technology infrastructure. As the Integrated Pension Administration System project is a major capital project of the Pension Fund, the estimated expenditures for the Integrated Pension Administration System project for the biennium 2010-2011 are highlighted in table 2 separately from the non-project-related estimates.\",\n \"8. Key resource variances not related to the Integrated Pension Administration System include:\",\n \"Posts underexpenditure of $2,505,500\",\n \"9. The savings were attributable mainly to the higher average vacancy rate at the beginning of the biennium.\",\n \"Other staff costs — overexpenditure of $657,700\",\n \"10. The overexpenditures were attributable mainly to the increased workload resulting from the increase in the number of participants, retirees and other beneficiaries, which required general temporary assistance.\",\n \"General operating expenses — overexpenditure of $2,182,900\",\n \"11. The overexpenditure was due mainly to bank charges estimated at $2,500,000. The 2010-2011 budget estimates submitted to the Board included estimates for bank charges under the general operating expenses category. As a result of the Board ' s deliberations, this cost was deleted from the budget submission to the General Assembly (see A/64/291, annex VII, para. 34). Bank charges of $2,500,000 for benefit payments are based on actual charges for the 2008-2009 performance period.\",\n \"4. Projects held in the biennium 2010-2011\",\n \"12. Details of information technology projects undertaken during the biennium 2010-2011 are summarized below.\",\n \"Table 2 Status of projects for the biennium 2010-2011\",\n \"(Thousands of United States dollars)\",\n \"Integrated Pension Administration System (PENSYS) 14 361,400 2 299 906 (12 061494) December 2011\",\n \"Integrated Pension Administration System\",\n \"During the biennium 2010-2011, the Fund continued to implement the main basic tasks of the project, including: (a) the construction of a comprehensive data dictionary for the existing systems (PENSYS and Lawson); (b) the preparation of a detailed data analysis for the existing system; (c) the use of a dedicated “large volume” process and the cleansing of data through the work of the staff of the Integrated Pension Administration System project team on the PENSYS and Lawson databases; (d) the updating of the process document (to complement the flowchart developed during the planning and design phases of the project); (e) the preparation of the first set of calculation formulas to calibrate the Fund's complex and detailed basis of calculation and to prepare for signature and approval at the implementation stage by internal and external experts; (f) the updating of the technical documents detailing the data exchange approach (interface) between the existing system and other entities; and (g) the establishment of a first set of detailed testing banks, the scope of which would include interfaces and computational results.\",\n \"14. The project began with two additional initiatives not considered in the original plan. The first was an extensive bottom-up review of the statement of needs prepared during the first phase of the project. The target operating model and project scope were improved during this phase. New functional and information technology requirements have been expanded. The final statement of work considered 333 detailed functional and information technology specifications in addition to 18 key high-level requirements.\",\n \"15. The second initiative relates to the exploration of new technologies, as a means of creating better interfaces allows for a seamless interface between the payroll system (between the Integrated Pension Administration System and the human resources and financial systems of member organizations) and better access to existing databases to automate the verification of contribution calculations, along with other data quality protocols. In view of the recent strategy of many member organizations to transition to an enterprise resource planning platform, the Fund is exploring the possibility of a common interface using newer technologies. Following the completion of the implementation of SAP software by the United Nations, it is estimated that 96 per cent of Fund participants will maintain data under an enterprise resource planning platform. This initiative is closely linked to the development of the Integrated Pension Administration System, as the revised specifications take into account: (a) the need for seamless connectivity between payroll systems; (b) the tool for efficient use of the common ERP interface; and (c) the development of a web-based access system (for organizations without an ERP platform).\",\n \"16. The two additional initiatives have produced more detailed specifications that will guide the process of parameterization and functionalization more accurately and more effectively. This will improve the new system and save time and resources when changes are made after commission. In addition, the Integrated Pension Administration System project will seek to harmonize its data requirements as early as possible with the data generated by member organizations ' enterprise resource planning systems. Naturally, the success of the integrated management system will be closely linked to the quality, timeliness and accessibility of human resources and financial data provided by the Fund ' s member organizations.\",\n \"17. While the overall cost estimate of $22,660,300 (before recosting) for the Integrated Pension Administration System project remains unchanged, new activities have been added to the project plan and significant changes have been made to the procurement process (on the recommendation of the United Nations Procurement Division) to include a two-phase evaluation. As a result of these changes, the original time frame was extended and the estimated expenditure time adjusted accordingly. Table 3 highlights the estimated expenditures for the biennium 2010-2011 and the estimated total project costs.\",\n \"Table 3 Summary of requirements for the Integrated Pension Administration System\",\n \"(Thousands of United States dollars)\",\n \"Proposed final appropriation Proposed appropriation Appropriation Estimated appropriation Estimated appropriation Estimated appropriation\",\n \"Temporary posts 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6\",\n \"Travel 84.8 84.8 – 84.8 – – 84.8\",\n \"Contractual services\",\n \"Furniture and equipment 3.0 — (3,000.0) —\",\n \"Total administrative costs\",\n \"Furniture and equipment underexpenditure of $3,000,000\",\n \"18. The underexpenditure was attributable to the decision to install the project ' s information technology hardware at the Fund ' s new data centre owing to weaknesses identified in the data centre at 1 Dag Hammarskjöld Plaza. The project was originally planned to acquire 12 new servers, 15 storage area network modules and an extension of the uninterruptible power supply system and to install it in the data centre on the fourth floor of Dag Hammarskjöld Plaza, to provide the additional capacity required to host the new system application.\",\n \"19. However, the plan was not considered feasible because of the serious weaknesses identified in the data centre at 1 Dag Hammarskjöld Plaza. A business impact analysis was conducted in 2009 and presented to the Pension Board in 2010, which revealed that, although the data centre had installed an uninterruptible power supply system, there were no generators to cope with a possible power outage by the power company (or the building circuit system). An earlier assessment of the data centre was conducted in accordance with industry practice regarding the production data centre, and the rating for the facility was two points on a 10-point scale (the top 10 points or the best). Therefore, the installation of new hardware at data centre 1 Dag Hammarskjöld Plaza would pose a serious risk to the Integrated Pension Administration System project.\",\n \"20. Following an extensive search for appropriate alternatives, the Fund decided to relocate the information and communications technology infrastructure located at 1 Dag Hammarskjöld Plaza to the new North American data centre, a new and more reliable data centre that would properly ensure the availability of its mission-critical systems. The North American Data Centre was classified as level 3, i.e., 99.9 per cent of its time is fully operational and available, in accordance with the TTIA-942 DC standard.\",\n \"Contractual services underexpenditure of $7,256,300\",\n \"21. The underexpenditure was attributable mainly to the relocation of the data centre, which provided mainframe services for new system applications, to another address. In the context of the relocation of the existing equipment at 1 Dag Hammarskjöld Plaza to the new North American data centre, a new equipment of $750,000 was acquired and installed at the centre to fully provide the full capacity expected from the Integrated Pension Administration System. An invitation to bid in the amount of $400,000 was issued to hire a professional consulting firm to assist in redesigning the data centre process in line with the new target operating model and the new paradigm and to develop test scenarios as a basis for ensuring that the new system is able to process entitlements and payments accurately, safely and efficiently.\",\n \"22. The above initiatives have enabled the Integrated Pension Administration System project to better initiate the next phase, but this has changed the original project schedule. The entire system deployment time of the project is estimated at 30 months (after the conceptual justification has been tested and approved) and has not changed. It is therefore expected that the development of the system will be completed by April 2014 and that parallel testing and training will be completed in 2014. However, this target date depends on the duration of the remaining procurement/contracting activities, which are expected to be completed within nine months. Accordingly, the appropriation for the development, parameterization and implementation of new applications considered in the 2010-2011 budget ($7,256,300) will not be utilized until the biennium 2012-2013. Annex II to the supplementary financial information contains detailed project schedules and descriptions of activities.\",\n \"Temporary posts underexpenditure of $1,805,200\",\n \"23. The underexpenditure for posts was due mainly to the use of staggered recruitment methods, which resulted in the optimal utilization of project resources and compliance with the updated project schedule.\",\n \"Client services initiatives\",\n \"24. A pilot project (iServ) based on the Oracle Siebel customer relationship management system was commissioned with the objective of streamlining and automating the procedures for reporting incidents to the Fund ' s webmaster. The project has proved to be much more complex and demanding than originally estimated, but it has helped the Fund to acquire a wealth of knowledge and valuable lessons learned on the establishment of a customer relationship management system. This project also helps the Fund to determine that a comprehensive customer relationship management programme may not be the most practical, appropriate or cost-effective course of action to be adopted immediately in its core business activities. In particular, considering that CRM could be part of the Integrated Pension Administration System initiative), but the establishment of smaller local applications to meet the most urgent needs of the Client Services Unit in the short term would enable it to better understand how the system was designed when it eventually integrated with business processes.\",\n \"25. As an alternative, a Lotus Notes-based customized application has been developed to track interactions with clients who have visited the Fund in person or contacted the Fund by telephone. This application not only records valuable information, such as what services are requested, the mode of service provision (face-to-face or telephone) and the time used to service a client, but also provides easy-to-use reporting and analysis tools (including guidance boards) that can be used to view statistics and trends over time. It is envisaged that, over time, the application will be strengthened to include more performance and to cover more client service activities.\",\n \"Network system initiatives\",\n \"26. The web-based system initiative uses web-based customized applications that allow beneficiaries and participants to have direct access to personalized data at all times. Key applications, including the two-track benefit estimation system, certificate of entitlement tracking and annual statements, have now become standard client service items. At any time, if the cost-of-living index and/or quarterly exchange rate changes, cost-of-living circulars are prepared, which are now available online for registered monthly beneficiaries. The pension estimate interface, which can be accessed through the annual statement application, has now been redesigned and is available to clients since the 2009 annual statement. In the Fund ' s ongoing efforts to support an increasing number of visitors, some of the infrastructure and applications of the website have been upgraded to provide a more stable and secure environment. A new portal has been added to provide a role- and security-based single-point access interface for many Fund-wide web applications. Additional e-learning applications and induction workshop software were added to meet training needs and new courses will be offered in 2011. A digest of cases was developed for the Legal Office and will be posted on the website in 2011.\",\n \"Enterprise systems initiatives\",\n \"27. The enterprise systems initiative will ensure that mission-critical business systems (e.g., the Content Management System and Lawson) have up-to-date updates, versions and upgrades of vendors while keeping abreast of changes in the Fund ' s business model. All necessary updates, versions and upgrades have either been successfully installed or will be successfully installed by the end of 2011.\",\n \"Enterprise business initiatives\",\n \"28. As part of the business requirements of the enterprise, all critical mission systems have travelled to a new site in Piscataway, New Jersey. The new facility has a level III data centre error tolerance, with 99.9 per cent availability. Telecommunications equipment will continue to be installed in the data centre at 1 Dag Hammarskjöld Plaza, while the Geneva office and the support system for the business continuity and disaster recovery environment will be installed at the Geneva data centre. The storage area network was upgraded in the data centre relocation project to increase capacity and reduce system response time. A new virtual infrastructure was established, which enabled 70 per cent of the Fund ' s servers to operate in virtual clusters, thereby increasing operational efficiency and availability and making the server infrastructure more manageable. Lawson and database servers have been upgraded and a failover cluster has been established to optimize recovery time and responsiveness to users. The relocation of the Geneva data centre is under way. The new facility, which is operated by the International Computing Centre, will enable the Fund to virtualize the supporting redundancy of 95 per cent of servers and the network environment. A new data backup system was established, which reduced maintenance and document recovery times. An enterprise e-mail archiving solution was implemented at the Fund to efficiently manage the e-mail service and to keep up with the growing mailbox and unrestricted preservation policy. In the process, the Fund ' s e-mail server and client were continuously upgraded to the latest version. It is expected that the Information Management Systems Service will complete the upgrade of the uninterrupted power supply system by the end of 2011.\",\n \"Information technology consolidation initiatives with the Investment Management Division\",\n \"29. The information technology consolidation with the Investment Management Division is proceeding as planned and is scheduled to be completed during the current biennium. A number of infrastructure projects were implemented successfully and in a timely manner in a shared infrastructure environment, as agreed between IMSS and the Investment Management Division. These include the trade order management system, the SWIFT system and the document management system. A disaster recovery system was also successfully established and tested in Geneva for the trade order management system and the SWIFT system. Work in the last five of the 38 areas identified for consolidation is under way and is expected to be completed during the biennium. These areas include: networks, help desks, list services, document sharing and e-mail consolidation.\",\n \"B. Investment costs\",\n \"30. Investment costs are estimated at $71,289,000, resulting in underexpenditure of $9,908,500, or 12.2 per cent. Major resource variances resulting in net savings include:\",\n \"Posts underexpenditure of $953,400\",\n \"31. The savings were mainly attributable to the later than anticipated recruitment of staff.\",\n \"Travel — underexpenditure of $289,000\",\n \"32. The savings were attributable mainly to the later-than-anticipated recruitment and availability of staff as a result of the scheduling of work. The reduced travel requirements were offset in part by increased requirements for travel of members of the Investments Committee.\",\n \"General operating expenses — underexpenditure of $331,100\",\n \"33. The savings were attributable to lower-than-anticipated costs, such as cooling water, cleaning services and buildings management.\",\n \"Contractual services underexpenditure of $8,445,200\",\n \"Table 4 Contractual services: estimated expenditure for 2010-2011\",\n \"(Thousands of United States dollars)\",\n \"Estimated expenditure Overexpenditure or (underexpenditure)\",\n \"External legal consultant 1 200.0 1 200.0 -\",\n \"Third-party service providers\",\n \"(a) Global custodians and advisers\",\n \"Global custodian 6 952.0 3 743.8 (3 208.2)\",\n \"Consultants 16 976.4 14 994.0 (1 982.4)\",\n \"Subtotal (a) Component 23 928.4 18 737.8 (5190.6)\",\n \"(b) Portfolio management\",\n \"Small capitalization 12 500.0 13 562.4 1 062.4\",\n \"Publicly traded real estate 2 700.0 700.0 (2 000.0)\",\n \"(b) Subtotal, part 15 200.0 14 252.4 (937.6)\",\n \"(c) Market data services\",\n \"Subtotal, third-party service providers\",\n \"SWIFT contractual services 590.0 345.0 (245.0)\",\n \"Other contractual services 8 419.0 7 489.0 (930.0)\",\n \"Total 52 878.9 44 433.7 (8 445.2)\",\n \"34. The savings were attributable to a number of factors, including delays in the procurement of multiple custodians and independent master record keepers, the hiring of a publicly traded real estate administrator and the hiring of fixed income, physical assets and replacement investment consultants, and lower-than-anticipated procurement costs for applications such as disaster recovery solutions, SWIFT and compliance systems. The reduced requirements were offset in part by an increase in the cost of small capitalization owing to the increase in fees as a result of good performance.\",\n \"5. Projects implemented in the biennium 2010-2011\",\n \"35. Table 5 shows the status of information technology projects funded and implemented during the biennium 2010-2011.\",\n \"Table 5 Status of projects for the biennium 2008-2009\",\n \"(United States dollars)\",\n \"Project projection/actual completion date Estimated expenditure\",\n \"Portfolio risk and performance attribution system\",\n \"36. As of February 2011, the Investment Management Division was conducting a user acceptance test for the most risky analysis scenarios. Some important risk reports have been developed. However, the Division is still awaiting more contracts between the Procurement Division and the Office of Legal Affairs for the use of various data sources. These market data sources are essential for completing risk measurement. Upon completion of this work, current services will be maintained. If the data source contract is finalized, the project is expected to be completed and fully operational by October 2011.\",\n \"Electronic order management and trading system\",\n \"37. Charles River came into operation in March 2010. Current operations cover equities, foreign exchange and fixed-income transactions. The system is also linked to brokers through FIX protocols and to custodian banks through SWIFT. The Investment Management Division is in the process of installing an electronic platform for other assets. Currently, 99 per cent of cross-assets are settled through SWIFT. The Investment Management Division continued to support and strengthen the Charles River working environment.\",\n \"Pre- and post-trading compliance system\",\n \"38. The pre-trading and post-trading system (Charles River) has been completed and has been operational since March 2010. The Investment Management Division continues to maintain and update compliance rules as required.\",\n \"Portfolio accounting and reconciliation system\",\n \"39. The contract for the establishment of a portfolio accounting and reconciliation system was awarded to Murex North America in April 2010 and the legal contract was signed in February 2011. A project launch meeting was held on 16 February 2011. The Investment Management Division is currently finalizing the implementation plan and making resource commitments, with the goal of completing the first phase of implementation by 30 June 2011. It is estimated that the project will be completed by 31 December 2011. It is important to note that this project includes the conversion of investment activities to IPSAS.\",\n \"Data centre system\",\n \"40. By February 2011, the Investment Management Division had completed its technical evaluation. The due review will be scheduled for the second half of 2011. Implementation of the data centre is expected to begin in 2012.\",\n \"OMEGEO, FXALL, TradeNet and other identification and trading platforms to be incorporated into Charles River\",\n \"41. In order to strengthen the Charles River trade order management system, the Investment Management Division plans to add the following platforms: OMEGEO, an electronic recognition and certification system for stock transactions; FXALL, FXConnect and Bloomberg FX: all foreign exchange trading platforms; and trading networks, Market Express, Bond Vision and Bloomberg FI: all fixed-income trading platforms. Contracts for each product are currently being negotiated. The Investment Management Division plans to integrate all these platforms by December 2011.\",\n \"SWIFT in disaster recovery site (Geneva International Computing Centre)\",\n \"42. The Charles River disaster recovery system was completed in March 2011. The disaster recovery system includes FIX, Bloomberg data authorization, Bloomberg volume data and Bloomberg API. The system also provides connectivity to SWIFT.\",\n \"Bloomberg data authorization, Bloomberg volume data and Bloomberg API\",\n \"43. Bloomberg data authorization, Bloomberg volume data and Bloomberg API were installed in March 2010 and integrated into Charles River.\",\n \"SWIFT in disaster recovery site (Geneva International Computing Centre)\",\n \"44. The SWIFT disaster recovery site became operational in January 2010. The Investment Management Division is currently integrating it with the Charles River disaster recovery architecture.\",\n \"SWIFT Upgrade to Version 7\",\n \"45. Upgrading SWIFT to the required version 7 is scheduled to be completed in June 2011.\",\n \"C. Audit costs\",\n \"46. The estimated expenditure for audit costs would reduce the utilization of the appropriation by $112,100, attributable mainly to general temporary assistance for internal audit.\",\n \"D. Board expenses\",\n \"47. The additional requirements of $77,800 are attributable to the higher than anticipated cost of the planned design working group.\",\n \"E. Extrabudgetary costs\",\n \"48. The underexpenditure of $13,900 was attributable to the three-month vacancy of General Service (Other level) posts financed from extrabudgetary funds\",\n \"III. Proposed budget for the biennium 2012-2013: results-based-budgeting frameworks and analysis of resource requirements\",\n \"Introduction\",\n \"General\",\n \"49. The United Nations Joint Staff Pension Fund is a fully funded defined pension fund that provides retirement and other benefits to nearly 64,000 retirees and beneficiaries. Currently, some 120,000 active participants are accumulating their pension rights under the Fund. At the end of 2010, the Fund had total assets of $41.4 billion. The Fund is administered in accordance with the Regulations adopted by the General Assembly. The Pension Board administers the Fund and reports annually to the General Assembly. The day-to-day operations of the Fund are supervised by the Chief Executive Officer. The Fund has 245 staff members. The present budget and its annexes provide details of the Fund and its day-to-day operations.\",\n \"50. Investments of the Fund are determined by the Secretary-General. The Secretary-General has delegated this responsibility to his representative, who manages the Investment Management Division of the Fund. The Investment Management Division is responsible for the investment and accounting of the assets of the Fund, with a view to ensuring that the investment returns are adequate in accordance with the risk tolerance of the Fund and the requirements of the liabilities.\",\n \"51. The Fund has grown significantly over the past decade as new member organizations join and the total number of participants, retirees and other beneficiaries it serves continues to grow. During this period, the number of active participants increased by 63 per cent and the number of periodic benefits increased by 33 per cent. The Fund ' s management charter identifies the following five types of challenges:\",\n \"(a) The increasing complexity of the operations of the Fund;\",\n \"(b) The increasing interdependence of assets and liabilities;\",\n \"(c) Ageing of information systems and increased demand for services;\",\n \"(d) High standards of quality services and operations;\",\n \"(e) Social and environmental responsibility.\",\n \"52. To meet these challenges, the Fund undertook a comprehensive study of changes in risk assessment, asset-liability management, IMF and its plan design and PENSYS. The Fund then formulated the following medium-term objectives outlined in its strategic framework:\",\n \"(a) Strengthening the Fund ' s business model;\",\n \"(b) Improved risk management and internal controls;\",\n \"(c) Strengthening information systems;\",\n \"(d) Improving the quality and efficiency of services, including communications and outreach;\",\n \"(e) Promoting social and environmental responsibility.\",\n \"53. Each operational unit has a specific action plan to achieve these objectives, including a medium-term human resources plan, business impact analysis and disaster recovery plan. These plans have been used in the preparation of the following budget proposals.\",\n \"54. In summary, during the biennium 2012-2013, the Fund intends to allocate financial and human resources to the following key initiatives outlined in the strategic framework:\",\n \"(a) Integrated Pension Administration System — new operating model for the Integrated Pension Administration System;\",\n \"(b) IPSAS -- new accounting standards for the financial statements of the Fund;\",\n \"(c) Sensitive client services;\",\n \"(d) Other actions needed to improve operational efficiency and to improve risk assessment and management, e-learning, training and knowledge management.\",\n \"55. The Fund is expected to achieve its overall objective on the assumption that sufficient human and financial resources are available. This will be a particularly serious challenge in the coming years, given the current financial constraints. However, it was important to recognize that the Fund was developing at a critical time beyond its control. Since its inception, the Fund has grown steadily. Over the past decade, the Fund has seen an unprecedented increase in its client base. At the same time, the scope of the Fund ' s services has been expanding, not only to include an increase in the number of people, but also to accommodate a broader range of special cases, resulting in increased complexity. The related increase in workload and complexity was at its peak in the face of the continued loss of institutional memory, as a large number of retirements and other separations had taken place in recent years. In addition, the Fund ' s client base is also ageing as a result of longevity, often requiring more extensive advice and other special needs for client services. In addition to the major challenges posed by these external factors, this fund, which requires very professional and long-standing expertise, must also seek to be consistent with certain organizational policies. This creates special difficulties that external firms usually do not face. In view of the need for special and long-term expertise and its independent status as an inter-agency entity, the Fund is currently reviewing its staff recruitment, mobility and promotion policies and retention policies. The Fund intends to address these issues in a revised memorandum of understanding.\",\n \"56. The Fund secretariat further considered the challenges posed by the current economic environment and reviewed its staffing needs and decided to defer the request for a number of staff positions. While these positions are important for achieving the medium-term objectives of the Fund ' s strategic framework, the secretariat believes that the hiring of staff could be delayed by limiting changes in the design of the Fund ' s plan and limiting the number of new projects that have been added, while continuing efforts to increase efficiency and productivity. However, these positions cannot be postponed indefinitely unless there is a change in the operational capacity of the Fund and its ability to respond to clients and/or a timetable for achieving its objectives.\",\n \"57. To that end, it must be recognized that, at a time when the Fund had to work to meet its budgetary constraints, it was possible for the United Nations to approve new peacekeeping missions outside the regular budget. This poses significant challenges and even risks to the Fund, which must continue to provide adequate and timely services to the additional employees of these missions.\",\n \"Results-based budgeting, methodology and terminology\",\n \"58. The present budget report follows the results-based-budgeting presentation used by the Fund in its budget submission for the biennium 2008-2009. The resources requested are calculated on the basis of the Fund ' s programmes and all justifications and supporting information are provided in supplementary financial information in the proposed budget.\",\n \"59. The following factors have been used in the calculation of resources:\",\n \"(a) The following delayed recruitment factors were applied to New York and Geneva for 2012 and 2013: the continuation of 90.4 per cent of Professional posts, 50.0 per cent of new Professional posts, 96.5 per cent of continuing General Service posts and 65.0 per cent of new General Service posts. These factors are also used in version 1 of the standard salary scales for 2012-2013 in New York and Geneva;\",\n \"(b) Average annual rates of inflation for 2012 and 2013: 1.90 per cent and 2.50 per cent for New York and 1.0 per cent and 1.30 per cent for Geneva, respectively;\",\n \"(c) The exchange rate for Geneva of 1.046 for 2012 and 2013;\",\n \"(d) Within the framework of the cost-sharing arrangements between the United Nations and the Fund, in addition to the cost of posts in the Information Management Systems Service and the Administrative Office, specific management costs will continue to be shared at a rate of one third and two thirds, respectively. Based on the approved post ratio of the Secretariat (170) to the Investment Management Division (58), plus project-specific posts (17), 69.4 per cent of the cost of posts in the Information Management Systems Service and the Executive Office would be met through cost-sharing arrangements.\",\n \"2. Overall resources requested\",\n \"60. Human and financial resources requested for the Fund as a whole, as well as estimates of extrabudgetary resources and a breakdown of additional post requirements, are provided below.\",\n \"Table 6 Percentage distribution of resources by component: UNJSPF\",\n \"Regular budget\",\n \"A. Executive direction and management 7.0\",\n \"Programme of work\",\n \"1. Administration 17.7 100.0\",\n \"2. Investments 33.0\",\n \"Subtotal B\",\n \"C. Support\",\n \"1. Information technology 31.8\",\n \"2. Legal Office 0.7\",\n \"3. Administrative support 8.3\",\n \"Subtotal C 40.8\",\n \"D. Audit\",\n \"E. Pension Board 0.1\",\n \"Total\",\n \"Table 7 Resource requirements by component: UNJSPF\",\n \"(Thousands of United States dollars)\",\n \"Total recosting United Nations Joint Staff Pension Fund estimates for 2012-2013\",\n \"1. Regular budget\",\n \"Executive direction and management\",\n \"Programme of work\",\n \"1. Operations 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1\",\n \"2. Investments 55 678.4 7 451.7 13.4 63 130.1 816.5 - 63 946.6 63 946.6\",\n \"Subtotal B\",\n \"C. Support\",\n \"1. Information technology\",\n \"Legal Office - 1 358.4 – 1 358.4 (16.2) 447.4 894.8 1 342.2\",\n \"3. Administrative support\",\n \"Subtotal C 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4\",\n \"D. Audit\",\n \"Pension Board\",\n \"Total 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194164.0\",\n \"61. As shown in table 8 below, the overall increase of $15,302,100 (before recosting), or 8.7 per cent, is attributable to an increase in administrative costs ($4,564,600), investment costs ($10,601,800), audit costs ($103,200) and Board expenses ($32,500).\",\n \"The increase of $4,564,600 under administrative costs reflects the net effect of the proposed increase in established posts ($739,400) and temporary posts ($800,500), of which $680,100 and $800,500 are attributable to delayed recruitment factors for established and temporary posts, respectively, and $3,024,700 under non-post costs. The increase in non-post costs is due mainly to increases under contractual services ($6,087,900) and general operating expenses ($1,446,300), offset in part by decreases under furniture and equipment ($3,989,000), other staff costs ($122,500), consultants ($237,600) and travel ($136,100).\",\n \"63. The increase of $10,601,800 under investment costs reflects the net effect of the proposed increase in posts ($2,486,900) and non-post costs ($8,114,900), of which $1,222,700 is attributable to delayed recruitment factors. The increase in non-post costs is mainly attributable to an increase in contractual services ($9,653,200) and other staff costs ($530,400), offset by a decrease in resources for consultants ($1,151,800) and general operating expenses ($916,900).\",\n \"64. The increase of $103,200 in resources for audit costs reflects the Fund ' s share of the increase in the costs of the Board of Auditors ($113,500) and includes the net effect of the proposed reduction in internal audit costs ($10,300). The decrease in internal audit costs is due mainly to a slight decrease in communications ($9,800) and supplies and materials ($5,000) and increased requirements for furniture and equipment ($5,800). In addition, decreases and increases of $80,000 are offset by decreases and increases in contractual services, respectively.\",\n \"65. The percentage distribution of resources by component for the Fund and the estimated resources requested are summarized in tables 6 and 7, respectively.\",\n \"Table 8 Financial resource requirements for the biennium 2012-2013\",\n \"(Thousands of United States dollars)\",\n \"United Nations Joint Staff Pension Fund estimates for 2012-2013\",\n \"Administrative costs\",\n \"Posts\",\n \"Temporary posts – 2 870.3 800.5 27.9 3 670.8 (103.4) – 3 567.4 3 567.4 1 581.3 1 986.1\",\n \"Other staff costs\",\n \"106.4 537.6 (237.6) (44.2)\",\n \"Travel\",\n \"Contractual services\",\n \"Hospitality 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1\",\n \"General operating expenses\",\n \"Supplies and materials\",\n \"Furniture and equipment\",\n \"Total 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8\",\n \"Investment costs\",\n \"Posts 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) - 17 406.0 17 406.0 8 644.2 8 761.8\",\n \"Other staff costs\",\n \"Consultants\",\n \"Travel 1,018.0 2,000.0 — 2,000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0\",\n \"Contractual services 27 491.4 52 878.9 653.2 18.3 62 532.1 1 387.1 - 63 919.2 63 919.2 29 924.0 33 995.2\",\n \"Hospitality\",\n \"General operating expenses\",\n \"Supplies and materials\",\n \"Furniture and equipment 246.6 700.0 – – 700.0 15.5 – 751.6 715.5 356.7 358.8\",\n \"Total 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 – 92 938.2 92 938.2 44 613.4 48 324.8\",\n \"Audit costs\",\n \"External audit\",\n \"Internal audit\",\n \"Total 2 294.7 2 645 0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9\",\n \"Board expenses\",\n \"Total resources requested\",\n \"Extrabudgetary costs (after-service health insurance system)\",\n \"Operating activities\",\n \"Table 9 Human resource requirements\",\n \"Extrabudgetary posts\",\n \"Administration\",\n \"Professional and above\",\n \"Assistant Secretary-General 1 1 – – – – 1 1\",\n \"D-2 1 – – – – 1 1\",\n \"D-1 4 – – – 4 4\",\n \"P-5 9 1 – – 10 10\",\n \"P-4 19 20 8 7 – – 27 27\",\n \"P-3 25 24 4 – – 29 28\",\n \"P-2/1 1 – – – – 1 1\",\n \"Subtotal 60 60 13 12 – – 73 72\",\n \"General Service\",\n \"Principal level 10 10 – – 10 10\",\n \"Other level 99 99 5 5 1 105 105\",\n \"Subtotal 109 109 5 1 115 115\",\n \"Total administration 169 169 18 17 1 188 187\",\n \"Investments\",\n \"Professional and above\",\n \"D-2 1 – – – – 1 1\",\n \"D-1 2 – – – 2 2\",\n \"P-5 10 – – 10 10\",\n \"P-4 13 18 – – 13 18\",\n \"P-3 7 9 – – – 7 9\",\n \"P-2 – –\",\n \"Subtotal 33 40 – – – – 33 40\",\n \"General Service\",\n \"Principal level 10 10 – – 10 10\",\n \"Other level 15 15 – – 15 15\",\n \"Subtotal 25 25 – – 25 25\",\n \"Total investments 58 65 – – – 58 65\",\n \"Total UNJSPF 227 234 18^ (c) 17^ (b), (c) 1^ (a) 1^ (a) 246 252\",\n \"(a) One extrabudgetary General Service (Other level) post funded by Member States.\",\n \"(b) Includes 17 temporary posts for the Integrated Pension Administration System.\",\n \"(c) Of the 18 temporary posts approved for the biennium 2010-2011, one post at the P-4 level is approved for 12 months only. The post was abolished in 2011.\",\n \"66. As shown in table 9, the present budget report provides for the establishment of seven additional posts and the reclassification of one post, as follows:\",\n \"(a) Provision is made for the reclassification of one post (from P-3 to P-4) in the Secretariat and the continuation of one extrabudgetary post (1 General Service (Other level)) funded by member organizations;\",\n \"(b) Provision is made for seven additional established posts (5 P-4, 2 P-3) for the Investment Management Division.\",\n \"Table 10 summarizes the additional posts requested.\",\n \"Table 10 Summary of post requirements\",\n \"Reclassification of Finance and Budget Officer 1 P-3 to P-4\",\n \"B. Administrative costs\",\n \"General\",\n \"68. The secretariat is responsible for the administration of the United Nations Joint Staff Pension Fund under the authority of the Pension Board. The objective of the Secretariat is to provide related services to participants and benefits and related allowances to retirees and beneficiaries under the best conditions of safety, performance, responsibility and accountability, in full compliance with the highest standards of efficiency, competence and integrity. In providing these services, the Fund must face an increasingly complex set of regulations. These regulations relate to decisions taken in the past as economy measures or in response to strong social needs for new categories of beneficiaries. The Secretariat must also continue to adapt its processes and procedures to the changing banking and regulatory environment.\",\n \"69. Total resources for administrative costs amount to $96,873,100 before recosting, reflecting a net increase of $4,564,600, or 4.9 per cent, compared with the revised appropriation for the biennium 2010-2011. The net increase shown in table 12 is summarized as follows:\",\n \"(a) Executive direction and management: the decrease of $1,104,400 relates to post requirements ($810,200), due mainly to the redeployment of three posts (2 P-5, 1 General Service (Other level)) to the Legal Office. The decrease in non-post requirements relates to other staff costs ($50,100), consultants ($337,600) and travel ($114,500). Increases in contractual services ($112,000) and general operating expenses ($96,000).\",\n \"(b) Programme of work: the increase of $3,498,400 relates to post requirements ($751,500) and an increase of $2,746,900 in non-post resources. Of the post requirements, $147,400 is attributable to the net effect of the delayed recruitment factor and the redeployment of one post at the P-4 level to the Legal Office, and $604,100 is attributable to the delayed recruitment factor for 12 temporary posts in the Integrated Pension Administration System. The increase in non-post resources is due to increases in general operating expenses ($2,846,300) and consultants ($100,000) and a decrease in other staff costs ($199,400).\",\n \"(c) Programme support. The increase of $2,170,600 relates to an increase in resources for the Information Management Systems Service ($2,084,100), the outward redeployment of the Legal Office from executive direction and management ($1,358,400) and a decrease in resources for the Executive Office ($1,271,900). For the Information Management Systems Service, the increase in resources for temporary posts ($196,400) is due to delayed recruitment factors. The increase in non-post resources ($1,903,200) is due mainly to an increase in contractual services ($5,975,600), offset in part by reduced requirements for furniture and equipment ($3,976,400), general operating expenses ($177,400) and travel of staff ($21,600). The increase in post resources for the Legal Office reflects the outward redeployment of three posts (2 P-5 and 1 General Service (Other level)) from the Office of the Chief Executive Officer and the outward redeployment of one post at the P-4 level from the United Nations Office at Geneva for supervisory purposes. The decrease in resources for the Executive Office ($1,318,600) is attributable to non-post requirements for general operating expenses, in particular rental and maintenance of premises.\",\n \"70. The estimated distribution of resources is shown in table 11 and the resource requirements by component in table 12.\",\n \"Table 11 Percentage distribution of resources by component: administrative costs\",\n \"Regular budget\",\n \"Executive direction and management\",\n \"B. Programme of work (operations, finance) 35.1 100.0\",\n \"C. Programme support\",\n \"1. Information Management Systems Service 44.7\",\n \"2. Legal Office 1.4\",\n \"3. Executive Office 12.2\",\n \"Subtotal C 58.3\",\n \"Total\",\n \"Table 12 Resource requirements by component: administrative costs\",\n \"(Thousands of United States dollars)\",\n \"Total recosting United Nations Joint Staff Pension Fund estimates for 2012-2013\",\n \"1. Regular budget\",\n \"Executive direction and management\",\n \"B. 30 470.0 3 498.4 11.5 33 968.4 908.7 6 527.5 25 349.6 34 877.1 Programme of work (operations, finance)\",\n \"C. Support\",\n \"1. Information Management Systems Service\",\n \"Legal Office - 1 358.4 – 1 358.4 (16.2) 447.4 894.8 1 342.2\",\n \"3. Executive Office\",\n \"Subtotal, part C\",\n \"Total 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6\",\n \"2. Extrabudgetary 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8\",\n \"Executive direction and management\",\n \"Resource requirements (before recosting): $6,382,500\",\n \"71. Under the authority of the Pension Board, the Chief Executive Officer is responsible for the administration of the Fund and the provision of related services to member organizations, participants, retirees and beneficiaries. In providing such services, the Chief Executive Officer must ensure that a framework is in place to optimize the Fund ' s operations in terms of security, performance, responsibility and accountability and that it fully meets the highest standards of efficiency, competence and integrity. In order for the Fund to fulfil its responsibilities within this framework, it must respond to the increasingly complex and changing design of the plan, in accordance with its regulations, rules and its unique and complex pension adjustment system. The CEO must ensure that its actuarial costs can be weighed consistently and accurately to assess and manage risks, adjust its plan design, adjust its procedures to the changing human circumstances as a result of the significant impact of long-term social changes, including increased longevity, and fulfil its responsibilities in a changing banking, accounting and regulatory environment.\",\n \"72. In the 60-year history of the Fund, the number of member organizations, participants, retirees and beneficiaries, the financial environment in which they operate and the value of the assets and liabilities they manage have increased significantly. The total number of individuals served by the Fund has exceeded 185,000 and is expected to continue to increase steadily over the medium to long term. The international and multi-organizational nature of the Fund and its multi-layered pension structure will continue to pose new and increasingly complex and daunting challenges. The responsibilities and requirements of the Fund have been steadily and significantly increased, and this will continue in the future. In response to the Board ' s request for a more strategic approach to human resource requirements, the Fund undertook a high-level review to determine its medium-term needs, taking into account the circumstances and pressing challenges facing the Fund, which was presented to the 2010 session.\",\n \"Table 13 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To ensure full implementation of the Fund's programme of work in compliance with the Regulations and Rules of the Fund and the decisions and guidelines issued by the Pension Board and the General Assembly\",\n \"External factors\",\n \"73. Executive direction and management is expected to achieve its objectives and expected accomplishments on the assumption that they are provided with adequate human and financial resources.\",\n \"Other outputs\",\n \"74. During the biennium, the following outputs will be delivered:\",\n \"(a) Servicing of intergovernmental and expert bodies: two sessions of the Pension Board; three meetings of the Committee of Actuaries, four working group meetings, one joint meeting of the Committee of Actuaries and the Investments Committee, six meetings of the Audit Committee and four meetings of the United Nations Staff Pension Committee;\",\n \"(b) Drafting of documents; approximately 100 documents submitted to the Pension Board, the Committee of Actuaries and the Working Group; 15 notes to the Audit Committee, in addition to the technical and administrative servicing of its sessions;\",\n \"(c) Other substantive activities:\",\n \"(i) Efficient succession planning for retired staff; advance planning to avoid vacancies arising from staff retirement and to fill other vacant posts arising from staff turnover, to be filled within five months of the announcement of the vacancy;\",\n \"(ii) Efficient management and control of:\",\n \"• Integrated Pension Administration System project\",\n \"• Business continuity and disaster recovery planning\",\n \"• Enterprise-wide risk management\",\n \"• Human resources policy and human resources medium-term plan\",\n \"• Information technology integration\",\n \"• Asset liability management study\",\n \"• Business impact analysis\",\n \"• Database\",\n \"• Advisory Committee on Procurement;\",\n \"Table 14 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts\",\n \"Non-post 3 845.9 3 551.7 —\",\n \"Total 7 486.9 6 382.5 11 8\",\n \"75. The amount of $6,382,500 would provide for the continuation of eight existing posts (1 Assistant Secretary-General, 1 D-2, 1 P-5, 2 P-4, 1 P-3, 1 General Service (Principal level) and 1 General Service (Other level)) and non-post resources related to overall administration. The decrease of $810,200 in post resources relates to the redeployment of three approved posts (2 P-5 and 1 General Service (Other level)) from the Legal Office to programme support. The decrease in non-post resources is mainly attributable to lower requirements for other staff costs ($50,100), travel ($114,500) and consultants ($337,600), while the use of the consulting actuary resulted in an increase in contractual services ($112,000) and the general operating expenses of the Fund to share the costs of the United Nations Appeals Tribunal cases ($96,000).\",\n \"Programme of work\",\n \"Resource requirements (before recosting): $33,968,400\",\n \"76. The work programme, which includes the operations and finance services of the New York and Geneva offices, is responsible for the core functions of the Fund, including, but not limited to, the designation of new participants and their affiliation to the Fund, the recording of personal and financial historical data, the collection and recording of contributions to the Fund, the calculation and provision of entitlements, the payment of subsequent benefits and all related accounting activities. The programme is also responsible for providing client services to 185,000 active participants, retirees and other beneficiaries of the Fund.\",\n \"77. It should be recalled that, in line with the recommendations of the Fund-wide review conducted in 2008, the Chief Executive Officer decided to separate the operational and financial components of the Fund. The CEO decided that, while there was an important link between the calculation and processing of entitlements (operations) and the payment and accounting of resulting benefits (financial), the two functions must be clearly separated. Operations focus on the correctness of calculations, which, once established, will apply to the lifetime of retirees and any eligible survivors. The focus of the Treasury is on the correctness of payments. The separation of the two functions and the establishment of a separate financial unit, independent of the operations, would allow for a clear division of responsibilities and enhanced accountability between the two core functions of the Fund, which constitute the present programme of work.\",\n \"Operations\",\n \"78. The operations include the Pension Entitlements Section and the Client Services, Records Management and Distribution Unit in New York and Geneva. The Director of Operations is responsible for the management and direction of the unit in accordance with the objectives set out in the Fund ' s management charter. The Director of Operations must ensure compliance with the Fund ' s regulations, rules and pension adjustment system, while strictly adhering to specific quality management, internal controls and information exchange policies. During the biennium 2012-2013, operations are expected to process more than 55,000 new participant entry, separation and entry and exit procedures. [1] It is anticipated that the Department will also process some 6,000 initial post-employment pension benefits, one of the most complex and therefore time-consuming procedures, including post-employment death, survivors ' benefits (sometimes involving multiple spouses residing in different locations), residual settlements, deferred pension payments, two-track systems (sometimes returning to the United States dollar track), benefits payable to surviving divorced spouses, surviving spouses ' pensions, special measures, etc. In addition to providing some 225,000 pension estimates through the Fund ' s website (i.e., during 2010), operational departments are expected to provide some 5,500 individual pension estimates over the next biennium, often involving individual counselling. During the biennium 2012-2013, the Department expects to send, track and record more than 100,000 certificates of entitlement upon receipt, and scanned more than 1.2 million documents into the Fund ' s content management system.\",\n \"Table 15 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To ensure that services are provided to all eligible participants, retirees and other beneficiaries in accordance with the Regulations, Rules and Pension Adjustment System of the Fund and in full compliance with the communication, quality management and internal control policies established in the Fund's Management Charter\",\n \"External factors\",\n \"79. Operations are expected to achieve their objectives on the assumption that they are provided with adequate human and financial resources. It must therefore be recognized that the evolution of the Fund is at a critical juncture beyond its control. The Fund ' s constituency is growing rapidly. At the same time, the Fund ' s clients are ageing as a result of increased longevity, which in turn often requires more extensive counselling and other special client service needs.\",\n \"Outputs\",\n \"80. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Processing of approximately 18,000 withdrawal settlements and retirement benefits during the biennium [2]\",\n \"(b) Processing of approximately 6,000 other benefits after the initial retirement benefit (i.e. survivors, children, two-track pensions, etc.);\",\n \"(c) Determination of the eligibility and affiliation of approximately 30,000 new Fund participants;\",\n \"(d) Issuance, tracking and recording of approximately 100,000 certificates of entitlement upon receipt;\",\n \"(e) Responding to approximately 15,000 queries and e-mails;\",\n \"(f) Hosting and servicing approximately 11,000 visitors;\",\n \"(g) Pre-implementation tasks such as data cleansing and quality management, process records, algorithms and subsequent transition to the Integrated Pension Administration System platform;\",\n \"(h) Effective recording, monitoring and strengthening of client interface controls;\",\n \"(i) Review, assess, develop and implement a customer relationship management system;\",\n \"(j) Review and develop enhanced training materials for workshops and seminars to be made available to Fund staff (in New York and Geneva), participants, retirees and other beneficiaries, as well as other human resources staff of the secretariat of the Staff Pension Committee and member organizations;\",\n \"(k) Develop and implement a secure signature system to include graphic signatures in the electronic files of each individual served by the Fund for comparison purposes;\",\n \"(l) Strengthen controls and redesign certificates of entitlement and make further efforts to streamline the entire process;\",\n \"(m) Enhanced and sustained development of performance data to meet internal requirements and to inform oversight bodies;\",\n \"(n) Enhancing outreach capacity through seminars and training for participants, retirees and other beneficiaries, the secretariat of the Staff Pension Committee, subcommittees (including advisory groups and working groups) and members of the Board.\",\n \"Finance\",\n \"81. The Finance Section, through its Disbursement, Accounts and Cashier Unit/Cash Management Unit, provides comprehensive services and is responsible for all financial, accounting and disbursement operations of the Fund. The total annual financial transactions of the Fund are approximately $3.8 billion (taking into account benefit payments and the collection of contributions). The Fund processes 62,000 periodic benefit payments per month in 15 currencies (based on the Fund ' s 2009 audited financial statements) and payments to retirees and other beneficiaries residing in more than 190 countries. The Section is also responsible for the preparation of timely and accurate Fund-wide financial statements, including those of the Investment Management Division, and for liaising and coordinating with the internal and external auditors on the financial aspects of the Fund.\",\n \"Table 16 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To ensure timely, accurate and reliable benefit payments and full accountability for the financial, accounting and payment operations of the Fund, including the issuance of accurate and timely financial statements and liaison with internal and external auditors on financial matters Annual audits are expected.\",\n \"External factors\",\n \"82. The subprogramme is expected to achieve its objectives unless affected by: (a) disruptions in the banking services of pensioners as a result of political conflicts and natural disasters around the world; (b) unforeseen delays in the implementation of the system, resulting in delays in IPSAS financial statement information; and (c) inadequate human resources to properly service pensioners as a result of the growth of the Fund.\",\n \"Outputs\",\n \"83. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Preparation of three sets of financial statements and related documentation; preparation of updated financial statements for 2012 in line with changes resulting from the move from the United Nations system accounting standards to full adoption of IPSAS 26;\",\n \"(b) Reduction in the number of outstanding audit observations between successive reports on areas under supervision and on technical accounting issues (taking into account new audit observations arising during the period);\",\n \"(c) Comprehensive reconciliation of all remittance entities within a specified six-month period after the submission of the year-end schedules;\",\n \"(d) At the time of the annual and biennial accounts, a full reconciliation between the data in the main separation file records and the historical record of payment;\",\n \"(e) Presentations and workshops in New York, Geneva and the larger reporting entities on the issue of participant reconciliation irregularities in contributions;\",\n \"(f) The timely completion of bank reconciliations for all accounts on a monthly basis;\",\n \"(g) The timely implementation of any updated banking requirements for the payment of benefits to pensioners;\",\n \"(h) With regard to payments to pensioners:\",\n \"(i) Ensure that pensioners receive money in a timely manner;\",\n \"(ii) Reduction of bank charges to the Fund;\",\n \"(iii) To minimize or eliminate bank charges to pensioners.\",\n \"Table 17 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts 27 874.7 28 626.2 137 136\",\n \"Non-post 2 595.3 5 342.2 —\",\n \"Subtotal 30 470.0 33 968.4 137 136\",\n \"Extrabudgetary\",\n \"Total\",\n \"84. The amount of $34,121,300 would provide for the continuation of 137 posts; 124 established posts (3 D-1, 3 P-5, 9 P-4, 13 P-3, 1 P-2, 8 General Service (Principal level) and 87 General Service (Other level)) Other level); 1 General Service (Other level) post funded from extrabudgetary resources; 12 temporary posts (6 P-4, 2 P-3, 4 General Service (Other level)) Other level) and redeployment of one P-4 Legal Affairs Officer post under the control of the Legal Office at the United Nations Office at Geneva, as well as non-post requirements. The increase in non-post resources is attributable to increased requirements for consultants ($100,000) and general operating expenses ($2,846,300), offset in part by increased requirements for general temporary assistance ($199,400). The significant increase in general operating expenses is due entirely to the deduction of bank charges by the Pension Board from the proposed budget for 2010-2011.\",\n \"85. At its 186th meeting, the Standing Committee reviewed a note on the after-service health insurance premium reduction programme implemented by the Fund and approved the above-mentioned extrabudgetary resources to be funded by participating member organizations at no cost to the Fund.\",\n \"4. Programme support\",\n \"Information Management Systems Service\",\n \"Resource requirements (before recosting): $43,324,900\",\n \"86. Guided by the Fund ' s information and communications technology management model, the Information Management Systems Service is responsible for: the Fund ' s information systems services; the maintenance of information and communications technology; the coordinated implementation of strategic decisions adopted by the Information Technology Executive Committee; and the development of training plans and the necessary tools for information and communications technology staff to support knowledge-sharing and collaborative work.\",\n \"87. The Service is responsible for providing the full range of computer office automation; software/system design, development and commissioning; hardware support; telecommunications; shared infrastructure services (including the Investment Management Division); oversight and technical leadership of information technology work at the Fund ' s Geneva office; and resource management, infrastructure and conference room support.\",\n \"Table 18 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To contribute to the operational and strategic objectives of the Fund through the efficient and effective use of information and communications technology\",\n \"External factors\",\n \"88. The subprogramme is expected to achieve its objectives and expected accomplishments on the assumption that: (a) technological developments are in line with expectations; (b) in-house and outsourced resources are available to achieve key objectives; and (c) stakeholders fulfil their responsibilities and obligations and cooperate fully in achieving the objectives of the information and communications technology strategy, in particular during the process review and redesign phases of work.\",\n \"Outputs\",\n \"89. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"Business operations services\",\n \"(a) Effective and efficient access to and implementation of the information and communications technology architecture for the proposed Integrated Pension Administration System initiative, based on the functional and operational needs of the Organization, with a focus on improving information management and improving the efficiency of the Fund ' s operations;\",\n \"Policy. Ensure that all information and communications technology services provided by the Information Management Systems Service conform to the expectations of the Fund ' s Information Technology Executive Committee and relevant industry standards (e.g., the Information Technology Infrastructure Library); implement network security measures for the Fund ' s information and communications technology infrastructure in accordance with the International Organization for Standardization security standards ISO-20002;\",\n \"(c) Communications. Provision of backbone communications services, including Internet, private leased lines, communication devices and equipment and the necessary communication lines to connect the Fund ' s offices (including the Fund secretariat, the United Nations Office at Geneva, the Investment Management Division and the new information technology infrastructure hosting arrangement with the International Computing Centre); upgrading of the hub network infrastructure in New York to expand its capacity to support users with multiple needs for the transmission of high-speed mission critical data, voice and video to desktop computers;\",\n \"(d) Information and communications technology infrastructure services. To support the operations of the Fund, multi-shift operations, management and maintenance of information and communications technology infrastructure services, such as server management, medium management and data backup in New York, New Jersey and Geneva. Overseeing the Centre ' s applications, equipment, network loads and transmission of information to prevent service interruptions. They will also ensure that the most up-to-date version of the software is used as far as possible and, where necessary, will use software to develop a life-cycle approach to system upgrading;\",\n \"(e) Infrastructure architecture services. Develop and implement an information and communications technology infrastructure based on an emphasis on integration, interoperability, modularity and scalability and on best technical standards and practices for periodic technological updates; provide guidance to information technology decision makers and reduce information technology costs by reducing support costs and economies of scale;\",\n \"(f) User support/help desk. Provision of technical, operational and help desk support for applications, servers, personal computers and mobile facilities connected to the Fund ' s network; provision of infrastructure support for approved software applications, such as productivity systems, e-mail, knowledge management systems and customized applications; and operation and support of conference room facilities and equipment, including video/audio equipment and projection functions;\",\n \"(g) SMS. Provision and maintenance of electronic SMS communications services, including e-mail, videoconferencing services and unified messaging; provision and maintenance of mobile SMS and communications for hand-held equipment and services.\",\n \"Enterprise application services\",\n \"(a) Development. Implementation of systems that reduce manual benefit processing to maintain systems that increase productivity and efficiency; improvement of participant and beneficiary processing and connectivity to banks, accounting systems and workflow interfaces;\",\n \"(b) Enterprise system maintenance. Maintenance and improvement of enterprise systems for core business applications, including pension administration, accounting and content management;\",\n \"(c) Maintaining information-sharing among member organizations. Implementation and maintenance of information-sharing among member organizations in the collection of human resources information and financial information; use of a number of enterprise resource planning interfaces used by organizations to enhance the collection of human resources and financial data; and maintenance of an electronic archive output interface to support information-sharing and conversion in a secure manner.\",\n \"Enterprise data services\",\n \"(a) Database management. Implementation and maintenance of the Fund ' s database and enhancement of its availability on various information technology platforms; database upgrades; monitoring of usage and problem-solving; preparation of new tables and views; identification of data integrity issues; and support for system development related to database connectivity based on business needs;\",\n \"(b) Systems software programming. Implementation and maintenance of the database system and hosting of computer operating systems and processes as required to provide mission-critical data to applications and interfaces;\",\n \"(c) Data warehouse support. Implementation and maintenance of data warehouse systems and enhancement of their availability; data cleansing and data integration on various platforms;\",\n \"(d) Management reporting. Implementation, maintenance and improvement of management reports using business intelligence tools.\",\n \"Enterprise security services\",\n \"(a) Information security. Regular security risk assessments of the technical structures and operations of the Fund ' s New York and Geneva offices and the use of various security tools, including firewalls, anti-spam and anti-virus software, to protect network security;\",\n \"(b) Identity management. Provide the capacity to centrally manage identity storage and removal and consolidate the ever-expanding identity repository;\",\n \"(c) Disaster recovery. Develop, adopt and implement a multi-year disaster recovery strategy to support the Fund ' s business continuity requirements.\",\n \"Enterprise project management services\",\n \"(a) Governance. Strengthening and operating the programme management infrastructure with a strong governance capacity using the model established by the governing bodies of the Information Management Systems Service;\",\n \"(b) Project management methodology. Provide guidance on project management procedures and methods in an efficient, consistent and standardized manner;\",\n \"(c) Project management support. Update, monitor and maintain the project portfolio in line with the project management methodology; provide coaching and training guidance in an effort to improve the Organization ' s project management maturity;\",\n \"(d) Audit management. Manage and comply with internal and external audit opinions related to information and technology services.\",\n \"Enterprise quality and production control services\",\n \"(a) Standardization of quality. Identify and document quality standards requirements for implementation within IMSS;\",\n \"(b) Change management. Identify and implement a complete change management framework with an appropriate division of responsibilities;\",\n \"(c) Service level agreements and service delivery agreements. Development of statistical information and management of all service-level agreements and service delivery agreements of the Information Management Systems Service;\",\n \"(d) Production control. The quality assurance function is monitored to ensure that all systems are operational only after a comprehensive assessment and user acceptance test has been conducted.\",\n \"Contract management services\",\n \"Monitoring and management of the various components of the budget of the Information Management Systems Service; provision of administrative support to information and communications technology services, including the identification of available resources, recording of provisions and processing of requisitions, purchase orders and related invoices; description of the use of the assets of the Service; and management of relationships with vendors, including technical partners, contractors and contractors. Provide expert-level knowledge in developing generic specifications for technical procurement; work directly with the United Nations Procurement Service to ensure that value-added solutions are provided at the lowest possible cost.\",\n \"Table 19 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts 8,426.7 8 607.6 32 31\",\n \"Non-post 32 814.1 34 717.3 —\",\n \"Total 41 240.8 43 324.9 32 31\",\n \"90. The amount of $43,324,900 provides for the continuation of 31 posts: 26 established posts (1 D-1, 2 P-5, 6 P-4, 10 P-3, 1 General Service (Principal level) and 6 General Service (Other level)) and 5 temporary posts (1 P-5, 1 P-4, 2 P-3 and 1 General Service (Other level)) and includes non-post resources. An approved temporary post at the P-4 level had been on appointment for only 12 months and had been abolished in 2011. The increase in non-post resources ($1,903,200) relates mainly to other staff costs ($127,000) and contractual services ($5,975,900), offset in part by reduced requirements for furniture and equipment ($3,976,400), travel of staff ($21,600) and general operating expenses ($177,400). The total requirements for the Integrated Pension Administration System project of $12,661,400 provide for contractual services ($11,466,300) and temporary posts ($1,195,100).\",\n \"Legal Office\",\n \"Resource requirements (before recosting): $1,358,400\",\n \"91. The Office of Legal Affairs continued to be responsible for the provision of unified legal services to the management and operations of the Fund ' s offices in New York and Geneva and provided substantive, procedural and administrative support to the Audit Committee and Standing Committee of the Pension Board (on appeals cases) and to the United Nations Staff Pension Committee (on disability cases). The Legal Office is responsible for ensuring that the Fund ' s operations are in compliance with the Regulations and Rules of the Fund and that the Regulations are interpreted consistently. In addition to the sections of the Fund secretariat, legal services and support are provided to participants and retirees and/or their legal representatives on the application of the Regulations and Rules of the Fund in individual cases. The Office focuses on new ways of documenting and disseminating jurisprudence, decisions and policy decisions. The promotion of knowledge-sharing in this way contributes to the effective use of the legal information and experience accumulated by the Office, the increased use of best practices and the ability of managers and staff to take into account legal risks in their daily decision-making.\",\n \"Table 20 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To protect the legal interests of the Fund by providing expert legal advice on Pension Fund matters to the Chief Executive Officer, the Pension Board and the Standing Committee and other governing bodies of the Pension Fund Expected accomplishment (1) Enhanced harmonization and coherence in the implementation of the Regulations and Rules of the Fund and the pension adjustment system\",\n \"External factors\",\n \"92. The Legal Office is expected to achieve its objectives and expected accomplishments on the assumption that: (a) the Fund ' s committees, Pension Board, member organizations, operational staff and management will seek legal advice when their activities and operations affect the legal interests and responsibilities of the Fund; (b) legal advice will be sought in a timely manner and clients will provide adequate information for legal analysis and will follow the advice provided; and (c) the required human and financial resources will be available.\",\n \"Outputs\",\n \"93. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Providing advice on issues related to the interpretation and implementation of the Regulations, Administrative Rules and Pension Adjustment System of the Fund and providing operational support for the implementation of management policies and procedures;\",\n \"(b) Advice on the review, negotiation and drafting of agreements and other legal instruments with member organizations and other international and intergovernmental organizations, as appropriate, and supervision and supervision;\",\n \"(c) Provision of advice and documentation on institutional and operational modalities, legal submissions and other legal documents; preparation of defence responses to the United Nations Appeals Tribunal in cases related to pension matters (10);\",\n \"(d) Preparation of legal publications and letters to Fund participants/beneficiaries, pension secretariats and administrations of member organizations, including relevant information posted on the Fund ' s website;\",\n \"(e) Conference services to the United Nations Staff Pension Committee, the Standing Committee, the Audit Committee, including the electronic transmission of documents to simplify and modernize information-sharing through the online Quick Places and other knowledge management tools;\",\n \"(i) Advice on the interpretation and implementation of the rules of procedure, resolutions and decisions of the Pension Board/Committee;\",\n \"(ii) Substantive, technical and administrative servicing of meetings of the Standing Committee (2), including preparation of approximately 12 requests for review and appeals; analysis of legal issues, preparation of reports and documentation:\",\n \"(iii) Substantive, technical and administrative servicing of meetings of the United Nations Staff Pension Committee (4); preparation of disability benefit applications (approximately 140 new adult applications, 40 child applications, approximately 190 requests for review and 2 appeals); preparation of reports and documentation;\",\n \"(iv) Substantive, technical and administrative support to the meetings of the Audit Committee (6), including coordination of the preparation of documentation and reports;\",\n \"(f) Compile and systematically disseminate case law and other legal reference files, opinions, policy decisions and guidelines of the Standing Committee and the Administrative Tribunal;\",\n \"(g) Liaise with the member organizations of the Fund and its staff pension committee and other international organizations on issues related to the legal aspects of the pension scheme;\",\n \"(h) Representation of the Fund at international or regional meetings, inter-agency meetings and meetings of legal advisers of member organizations and, as necessary, participation in standing councils, committees, ad hoc working groups and task forces.\",\n \"Table 21 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts – 1,358.4 – 4\",\n \"Non-post —\",\n \"Total - 1 358.4 – 4\",\n \"94. In order to analyse programme support more clearly, the Legal Office has been separated from the Office of the Chief Administrative Officer and converted into a programme support subprogramme. The amount of $1,358,400 would provide for the continuation of four posts, three from the Office of the Chief Executive Officer (2 P-5 and 1 General Service (Other level)) and one from the Geneva Office (1 P-4, Legal Officer). The last of these posts will be located in Geneva.\",\n \"Executive Office\",\n \"Resource requirements (before recosting): $11,838,900\",\n \"95. The Executive Office provides the necessary administrative and programme support for the activities of the Fund. It assists the Chief Executive Officer and the Director of the Investment Management Division in the preparation of biennial budget reports and provides related support services for the effective use of human and financial resources. It also provides general administration and facilities management services.\",\n \"Table 22 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To contribute to the operational and strategic objectives of the Fund through efficient and effective management and programme support\",\n \"External factors\",\n \"96. The Executive Office is expected to achieve its objectives and expected accomplishments on the assumption that the required human and financial resources are available.\",\n \"Outputs\",\n \"97. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Human resources management:\",\n \"(i) Providing policy advice to all staff on all issues related to human resources management;\",\n \"(ii) Management of vacancy tracking data required by recruitment managers to support recruitment objectives;\",\n \"(iii) Reporting to directors of e-PAS compliance data;\",\n \"(iv) Organization of interviews for all personnel recruited through Inspira and temporary vacancy announcements;\",\n \"(v) Addressing issues related to staff-management relations (teams, etc.);\",\n \"(b) Staff training and career development:\",\n \"(i) Develop specialized courses for the Fund and facilitate knowledge transfer in coordination with the Information Management Systems Service to establish a learning management system platform;\",\n \"(ii) Organization of training courses at the premises of the Fund;\",\n \"(iii) Monitoring and follow-up of mandatory courses for all staff;\",\n \"(iv) Presentation of the Fund to each new staff member;\",\n \"(v) Providing career development advice.\",\n \"(c) Administration:\",\n \"(i) Providing day-to-day administrative support to Fund staff;\",\n \"(ii) Maintenance of the staffing table;\",\n \"(iii) Processing of personnel actions at the General Service and Professional levels for monthly payroll;\",\n \"(iv) Renew the staff member ' s contract two months before its expiration by reminding the supervisor of the recommendation;\",\n \"(v) Analysis of staff pension and entitlement cases in accordance with United Nations policies and any changes and updates to personal benefits and entitlements;\",\n \"(vi) Providing certified business travel for Fund staff and associated personnel;\",\n \"(vii) Arrange for travel of United Nations members of the Pension Board, members of the Audit Committee and the Committee of Actuaries and Fund staff;\",\n \"(viii) Maintenance of working hours and attendance records;\",\n \"(ix) Maintenance of the “Quickplace” website to provide audit committee members with access to meeting-related documents.\",\n \"(d) Financial and budgetary management:\",\n \"(i) Providing guidance to programme managers on the biennial budget and revised budget of the Fund and completing the budget preparation process;\",\n \"(ii) Issuance of allotments and revised appropriations;\",\n \"(iii) Proof of all expenditures;\",\n \"(iv) Monitoring of expenditures and reporting on a monthly basis to programme managers;\",\n \"(v) Provision of advice and guidance to programme managers on the implementation of the Financial Regulations and Rules;\",\n \"(vi) Control of the administrative budget, including the verification of invoices before payment;\",\n \"(vii) Completion of schedule I of the annual financial statements of the Fund (status of appropriations versus administrative costs);\",\n \"(viii) Reconciliation of administrative costs between the Fund and the United Nations Secretariat.\",\n \"(e) Facilities and property management:\",\n \"(i) To ensure that the facility is maintained and in operational condition;\",\n \"(ii) Coordinating with BMS and suppliers for any necessary maintenance;\",\n \"(iii) Administration of office-related contracts;\",\n \"(iv) Assistance in the planning and configuration of new and existing office space;\",\n \"(v) Maintenance and support of the Fund ' s asset/inventory management system for fixed assets;\",\n \"(vi) Coordinated disposal of obsolete equipment and furniture;\",\n \"(vii) Maintenance and support of the Fund ' s emergency notification system;\",\n \"(viii) Maintenance of emergency contact information for use by Fund staff in security/emergency operations.\",\n \"Table 23 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts\",\n \"Non-post 11 451.5 10 120.3 —\",\n \"Total\",\n \"98. The amount of $11,838,900, reflecting a decrease of $1,271,900, provides for the continuation of seven posts (1 P-5, 1 P-4, 1 P-3 and 4 General Service (Other level)) and the reclassification of one P-3 post to the P-4 level, as well as non-post resources for administration as a whole. The decrease of $1,331,200 in non-post resources is due mainly to lower requirements for rental and maintenance of premises following more accurate estimates.\",\n \"C. Investment costs\",\n \"General\",\n \"99. The Investment Management Division assists the Secretary-General in the management of the investments of the assets of the United Nations Joint Staff Pension Fund in accordance with the delegation of authority given by the Representative of the Secretary-General pursuant to article 19 of the Regulations of the Fund. The Division is responsible for the day-to-day management of these assets, implementing the approved investment strategy and ensuring that the portfolio is in line with the Fund ' s approved asset allocation, policies, regulations and rules. Its mission is to generate overall portfolio returns to meet the liabilities, while remaining within the Fund ' s risk limits. The Investment Management Division ensures that performance reports and portfolio risk analysis reports are accurate and up-to-date and that arrangements are made to properly and accurately account for the investments of the Fund. The main sections of the Division are the Office of the Director, the Investment Section, the Risk and Compliance Section, the Operations Section and the Information Systems Section.\",\n \"100. The overall resource requirements for the Investment Management Division amount to $91,799,300 before recosting, reflecting a net increase of $10,601,800, or 13.1 per cent, compared with the revised appropriation for the biennium 2010-2011. The net increase shown in table 25 below is summarized below:\",\n \"(a) Executive direction and management: the decrease of $1,567,900 relates to decreases under non-post costs, mainly travel ($1,382,200), consultants ($2,028,800) and other staff costs ($1,665,100), which are requested under the related programme, partially offset by increases under posts ($508,200) and contractual services ($3,000,000) resulting from the inward redeployment of one P-4 Legal Officer from the Risk and Compliance Section and one General Service (Other level) post from the Operations Section;\",\n \"(b) Programme of work: the increase of $7,451,700 relates to the establishment of six new posts, the inward redeployment of two posts in the Office of the Director ($1,115,100) and non-post resources of $6,336,600 related to contractual services ($2,772,200); in addition, other staff costs requested under executive direction and management ($1,416,200), travel of staff ($1,271,200) and consultants ($877,000) from previous submissions are now requested under programme of work;\",\n \"(c) Programme support: the net increase of $4,718,000 in requirements for the Information Systems Section ($5,794,500) is attributable to the addition of one post ($863,600) and increases in contractual services ($4,040,000), other staff costs ($779,300) and travel ($111,000), the last two of which were requested under executive direction and management in previous submissions, offset in part by a decrease of $1,076,500 under administrative support for the rental and maintenance of premises, offset in part by the completion of the renovation of the Division ' s office on the 30th floor of Dag Hammarskjöld Plaza.\",\n \"101. The estimated distribution of resources and resource requirements by component are shown in tables 24 and 25 below.\",\n \"Table 24 Percentage distribution of resources by component\",\n \"Regular budget\",\n \"A. Executive direction and management\",\n \"Programme of work\",\n \"1. Investments 53.9\",\n \"2. Risk and compliance 2.9\",\n \"Operational activities 12.0\",\n \"Subtotal programme of work 68.8\",\n \"C. Support\",\n \"1. Information Systems Section 19.1\",\n \"2. Administrative support 4.4\",\n \"Subtotal, programme support 23.5\",\n \"Total 100.0\",\n \"Table 25 Resource requirements by component\",\n \"(Thousands of United States dollars)\",\n \"Resource growth\",\n \"United Nations Joint Staff Pension Fund\",\n \"A. 8 654.2 (1 (18.1) 7 086.3 52.33 – 7 138.6 7 138.6 Executive direction and management 567.9)\",\n \"Programme of work\",\n \"1. Investments 51 568.3 (2 (4.1) 49 476.6 655.8 – 50 132.4 50 132.4 091.7)\",\n \"2. Risk and compliance 1 931.6 680.1 35.2 2 611.7 (19.2) - 2 592.5 2 592.5\",\n \"3. Operational activities\",\n \"Subtotal B\",\n \"C. Support\",\n \"1. Information Systems Section\",\n \"2. Administrative support\",\n \"Subtotal C 16 864.9 4 718.0 28.0 21 582.9 270.1 - 21 853.0 21 853.0\",\n \"Total\",\n \"Executive direction and management\",\n \"Resource requirements (before recosting): $7,086,300\",\n \"102. The Director of the Investment Management Division establishes a framework for the Division ' s respective strategies and priorities to ensure that the Division fulfils its mandate while ensuring that it is in the best position in terms of security, performance, responsibility and accountability and that it fully complies with the highest standards of efficiency, competence and integrity. The Director promotes effective control and management of the assets of the Fund through a work plan that reflects the long-term objectives and priorities of the Division and the Fund as a whole. The Director leads the Investment Management Division ' s cooperation with the Fund ' s Audit Committee, the United Nations Board of Auditors and the Office of Internal Oversight Services (OIOS).\",\n \"103. The Office of the Director is responsible for providing critical legal, contract management and requisitioning services and administrative support, including strategic projections of human resources in response to the increasing demands of the Investment Management Division. The Office also provides services and support to the Investments Committee.\",\n \"104. Our objective is to develop the Office of the Director as a unit to assist the Investment Management Division in monitoring and coordinating the timely implementation of its workplan. The scope and responsibilities of the Office of the Director are also expanding as the Fund continues to grow and diversify in terms of investment type, staff and number of sections. We therefore plan to strengthen and expand the functions of the Office, if the required systems and staffing are adequate, by establishing dedicated units with clear mandates and responsibilities to deal with legal and contract management; requisition services, budgeting and invoice processing; the Investments Committee and legislative bodies; and administrative-related matters.\",\n \"Table 26 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To ensure full implementation of legislative mandates and compliance with the regulations and rules of the Fund, taking into account the recommendations of the Investments Committee and the decisions of the Representative of the Secretary-General relating to the management of the programme of work of the Fund in respect of investments and staff and financial resources\",\n \"(1) Decision, in consultation with the Representative of the Secretary-General: guidelines on the distribution of assets, currency holdings, market weights, strategic and tactical short-term allocations; investment opportunities; information systems and operating infrastructure (1.1) Fund investment performance is better than market\",\n \"(2) Effective planning and coordination of the Investment Management Division procurement requirements (2.1) Percentage of requests for proposals completed within 6 months\",\n \"(3) Provision of extensive legal advice on various types of investments and contracts (3.1) Successful completion of new investment transactions and enforcement of contracts\",\n \"(4) Effective servicing of the Investments Committee and other legislative bodies (4.1) No complaints were received from the Investments Committee and other participants\",\n \"(5) Timely recruitment and placement of staff (5.1) Reduction in the average number of days a post remains vacant\",\n \"(5.2) Lower vacancy rate\",\n \"External factors\",\n \"105. The objective and expected accomplishments would be achieved on a stable basis, provided that: (a) all stakeholders are supportive of and fully cooperate with the work of the Investment Management Division; and (b) there are no significant funding gaps in the implementation of the mandates established by the General Assembly and the Pension Board. The realization of the executive direction programme depends on the full cooperation of the relevant United Nations offices/divisions.\",\n \"Outputs\",\n \"106. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Regularly updating and implementing investment policies to ensure robust implementation of investment strategies in accordance with the directives received by the Investments Committee;\",\n \"(b) Effective and regular coordination with the Procurement Division on the procurement requirements of the Investment Management Division through the development of a medium-term procurement plan, the preparation of high-quality solicitation documents and the acceleration of the solicitation process; and the involvement of high-quality enterprises in the bidding process for approximately 10 procurement actions;\",\n \"(c) Regular coordination and contacts with legal experts and legal advisers of the Office of Legal Affairs to negotiate and implement approximately 160 contracts;\",\n \"(d) Four Investment Committee meetings per year. Provide accurate reports on investments to the Board, the Advisory Committee on Administrative and Budgetary Questions, the Fifth Committee and other interested parties;\",\n \"(e) Implement the travel and training plan for the staff of the Investment Management Division. Filling of vacancies within 180 days.\",\n \"Table 27 Resource requirements\",\n \"Resources (thousands of United States dollars)\",\n \"(before recosting)\",\n \"Posts 1 941.6 2 449.8 7 9\",\n \"Non-post\",\n \"Total 8 654.2 7 086.3 7 9\",\n \"107. The overall resource requirements of $7,086,300, reflecting a decrease of $1,567,900, would provide for the continuation of seven posts (1 D-2, 1 P-5, 1 P-4, 1 General Service (Principal level) and 3 General Service (Other level)), the inward redeployment of two posts from the Risk and Compliance Section (1 P-4) and the Operations Section (1 General Service (Other level)) and non-post resources for the Division as a whole under travel of representatives and hospitality. The decrease in non-post resources is mainly attributable to the apportionment of other staff costs ($1,665,100), travel of staff ($1,382,200) and consultants ($2,028,800), partially offset by increased requirements for contractual services ($3,000,000).\",\n \"Programme of work\",\n \"Investment Section\",\n \"Resource requirements (before recosting): $49,476,600\",\n \"108. The Investment Section is responsible for achieving optimal investment returns for the Fund while avoiding undue risk. The Section comprises seven organizational entities, namely, North American equities, European equities, Asia-Pacific equities, global emerging market equities, bonds, real estate and alternative investments. The main functions of the Investment Section are to monitor the current portfolio, to keep abreast of and track developments in financial markets and to make and implement investment decisions. These functions include the preparation of financial analysis, attendance at conferences and meetings and travel to countries to meet with analysts and company managers. A secondary function is to assist in the preparation of reports to all governing bodies.\",\n \"109. The mandate of the Investment Section for 2012-2013 includes: (a) achieving the long-term objective of the Fund ' s investments, namely, to achieve a real annual rate of return of 3.5 per cent, adjusted by the United States consumer price index; (b) achieving a stable improvement in the Fund ' s investment performance over policy benchmarks; (c) maintaining the level of risk commensurate with investment return targets; and (d) reducing currency and country risk through reasonable diversification.\",\n \"Table 28 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To achieve, in the long term: (a) optimum real return on investments for the Fund, without undue risk; and (b) diversification of the investment portfolio in terms of asset form, currency and geography As a result of the global financial crisis in 2008 and early 2009, the Fund ' s performance over the 10-year period ending December 2009 was 1.7 per cent below the target for 2010-2011: based on preliminary data, the Fund performed 3.5 per cent in real terms during the 10-year period ending December 2010 and in line with the Fund ' s revenue target for 2012-2013: performance was better than the Fund ' s long-term target of 3.5 per cent in real annual return (2) The Fund ' s investment performance was steadily above the policy benchmark, consisting of 60 per cent equities, 31 per cent bonds, 6 per cent real estate and 3 per cent cash (2.1) Comparison of the Fund ' s total return over a five-year period against the policy benchmark Estimate 2010-2011: as of December 2010, investments in 35 currencies: further optimization of the Fund ' s asset allocation in currencies (3.2) As of December 2009, investments in 41 countries, including emerging market countries, international/regional institutions and investment trusts are estimated: as of December 2010, investments in 47 countries, including emerging market countries, international/regional institutions and investment trusts are targeted for 2012-2013: further optimize, as appropriate, the distribution of the Fund ' s assets among countries (4) Diversification of investments into alternative asset classes (4.1) Number of alternative asset classes investment strategies In June 2010, the Senior Investment Officer for Alternative Investments joined the Fund. The target for the period from June 2010 to December 2011 is to finalize the selection of alternative investment advisers and to commit 5 to 10 managers. The selection of a physical asset consultant was finalized in June 2009 and a detailed strategy will be developed in early 2011. The Fund will invest in several funds in the areas of infrastructure and timber/agriculture land. By the end of 2013, the Fund was expected to invest in 15-20 private fund-raising and hedge funds. The long-term performance of private funds will be measured by the weighted rate of return in United States dollars and the internal rate of return; for the hedge fund portfolio, by the time-weighted rate of return. Discussions with the Fund ' s Private Fund and hedge fund consultants on the benchmarking of the Fund will take place and will be detailed at a later stage on (5) increased staff capacity to address investment and portfolio management issues (5.1)\",\n \"External factors\",\n \"110. The objective and expected accomplishments would be achieved on a stable basis, provided that (a) all stakeholders are supportive of and fully cooperate with the work of the Investment Management Division; (b) there are no significant funding gaps in the implementation of the mandates established by the General Assembly and the Pension Board; and (c) changes in financial markets, such as global equities, global bonds, real estate and foreign exchange, are in line with long-term assumptions.\",\n \"Outputs\",\n \"111. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) The overall rate of return was higher than the Fund ' s target of 3.5 per cent after a long-term real annual rate of return adjusted for the United States consumer price index;\",\n \"(b) The Fund ' s total return exceeded the policy benchmark, comprising 60 per cent securities, 31 per cent bonds, 6 per cent real estate and 3 per cent cash;\",\n \"(c) Maintaining a better diversified portfolio at the monetary and national levels, with a view to reducing currency and country risks;\",\n \"(d) The successful introduction of alternative asset classes appropriate to the objectives of the Fund where market conditions favour the Fund in order to earn a higher rate of return than investment in listed shares;\",\n \"(e) Improved professionalism and knowledge of staff through participation in conferences and seminars directly related to investment and portfolio management will help to improve the performance of the Fund.\",\n \"Table 29 Resource requirements\",\n \"Resources (thousands of United States dollars)\",\n \"(before recosting)\",\n \"Posts 7 698.4 8 974.3 27 31\",\n \"Non-post 43 869.9 40 502.3 –\",\n \"Total 51 568.3 49 476.6 27 31\",\n \"112. The overall requirements of $49,476,600, reflecting a decrease of $2,091,700, would provide for the continuation of 27 posts (1 D-1, 7 P-5, 6 P-4, 4 P-3, 4 General Service (Principal level) and 5 General Service (Other level)), the establishment of 4 new posts (3 P-4 and 1 P-3) and non-post resources. The decrease in non-post resources is due to the reduction in contractual services ($5,090,300) and the inclusion of other staff costs ($197,500), travel of staff ($1,025,200) and consultants ($500,000) previously requested under executive direction and management.\",\n \"Risk and compliance\",\n \"Resource requirements (before recosting): $2,611,700\",\n \"113. The Risk and Compliance Section is a new body responsible for identifying, measuring and managing all aspects of the risks faced by the Fund. In addition, with regard to compliance, the Section is responsible for implementing effective monitoring and control procedures for the investments of the Fund. Its functions include two sub-functions: risk management and compliance.\",\n \"Table 30 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To provide for controls to monitor compliance with the various risks associated with the Investment Management Division funds (i.e., market risk, operational risk, credit risk, legal and reputational risk). This function is also responsible for the development of risk budgets at the asset and supervisor levels, monitoring compliance with risk budgets and helping investment departments to maximize the benefits of risk adjustments in line with established risk tolerance Expected accomplishment (1) Effective monitoring of risks included in the Fund's investment operations (1.1) Effective coverage of all investment transaction performance measures (transactions)\",\n \"External factors\",\n \"114. The Risk and Compliance Section should be able to achieve its objectives and expected accomplishments on the assumption that all external parties support and cooperate fully with the work of the Section. Other external factors include:\",\n \"(a) More volatile stock markets;\",\n \"(b) A more volatile and volatile currency market, requiring the capacity to carry out substantial quantitative analysis to offset risks by using index-linked tools;\",\n \"(c) Enhanced credit risk for sovereign States;\",\n \"(d) Operating in an environment of simultaneous inflation and/or deflation in different geographical areas;\",\n \"(e) Increased international trade barriers;\",\n \"(f) Benchmark changes in macroeconomic trends;\",\n \"(g) The risk of sudden underfunding due to the depreciation of the base currency (in United States dollars), which has led to an all-time high, but also the potential risk of underfunding due to the increased use of the two-track feature and increased liabilities in other currencies;\",\n \"(h) The commodity price boom;\",\n \"(i) High unemployment, which is a “new normal” that persists in developing economies;\",\n \"(j) Debt default by sovereign States.\",\n \"Outputs\",\n \"115. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) Maintenance of policies and standard operating procedures, namely, standard investment operating policies and procedures, risk management manuals, compliance policies and manuals, ethics and policies on personal securities, gifts and hospitality;\",\n \"(b) Complete the quarterly compliance review of the Fund ' s investment operations to ensure that the Fund ' s compliance risks are effectively controlled;\",\n \"(c) Managing letterback certification, pre-approval of trade orders, personal securities reports, hospitality records and mandatory leave;\",\n \"(d) Organization of training programmes on investment compliance and code of ethics (two on-site training programmes involving the Division as a whole);\",\n \"(e) Coordination for full compliance with the United Nations annual financial disclosure programme;\",\n \"(f) Preparation of periodic reports of the Audit Committee of the Pension Board (8 presentations);\",\n \"(g) Serving as a focal point for internal and external audits planned by the Board of Auditors and the Office of Internal Oversight Services; and as a focal point for handling queries from the Ethics Office.\",\n \"Table 31 Resource requirements\",\n \"Resources (thousands of United States dollars)\",\n \"(before recosting)\",\n \"Posts 1 931.6 1 919.7 6 7\",\n \"Non-post — 692.0 —\",\n \"Total 1 931.6 2 611.7 6 7\",\n \"116. The overall resource requirements of $2,611,700, reflecting an increase of $680,100, would provide for the continuation of five posts (1 D-1, 2 P-4 and 2 General Service (Principal level)), the redeployment of one P-4 and one General Service (Other level) posts from the Operational Activities Section to the Office of the Director and the establishment of one new post (1 P-4). The increase in non-post resources is due mainly to the inclusion of other staff costs ($321,600), travel of staff ($193,400), consultants ($127,000) and contractual services ($50,000).\",\n \"Operational activities\",\n \"Resource requirements (before recosting): $11,041,800\",\n \"117. The Operations Section of the Investment Management Division is responsible for the back-office investment operations, accounting, reconciliation and financial reporting of all investment transactions and related activities of the Fund. The Section is also responsible for the timely and accurate settlement of all investment and foreign exchange transactions, using industry standard solutions for straight-through and exceptional cases. In addition, the Section ensures that all investment activities, such as transactions, foreign exchange transactions, revenue collection, maturity of obligations, taxation and corporate actions, are properly recorded in accordance with the International Public Sector Accounting Standards adopted by the Fund in order to prepare financial statements with adequate internal controls and audit trails. In addition, the Section is responsible for preparing daily cash projections to enable the Investment Section to manage all cash in currency used by the Investment Management Division in its investments. Effective 1 January 2012, the Operations Section will also be responsible for the application of IPSAS to all investment activities that should be reported and reflected in the Fund-wide financial statements under the overall guidance of the Chief Finance Officer of the Fund. The Section works closely with the custodians to process transactions and foreign exchange settlements, interest claim investigations for unsuccessful transactions, revenue collection, maturity of obligations, taxation and business operations. The Section also works closely with the master record keeper to reconcile cash and assets held, fair market valuation of the Fund ' s investments and general ledger entries on a daily basis. The Section works closely with the Information Systems Section to assist in the implementation of more efficient procedures to ensure internal controls, while strengthening the Investment Management Division ' s various computerized investment activities to minimize manual interventions.\",\n \"Table 32 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To ensure the security of the Fund ' s investments and to enhance transparency in its financial reporting\",\n \"Expected accomplishments Indicators of achievement\",\n \"(1.1) Increased percentage of properly authorized investment transactions settled within the market settlement time frame\",\n \"Performance measures\",\n \"2008-2009: 96.25 per cent\",\n \"Estimate 2010-2011: 98 per cent\",\n \"Target 2012: 99 per cent\",\n \"Target 2013: 99 per cent\",\n \"(1.2) Reduction in the number of days required to resolve differences in position/held assets and cash\",\n \"2008-2009: not applicable\",\n \"Estimate 2010-2011: implementation and testing phases\",\n \"Target 2012: variances resolved within 3 days\",\n \"Target 2013: variances resolved within 2 days\",\n \"(2) Successful implementation of the International Public Sector Accounting Standards (IPSAS) adopted by the Fund in coordination with governing bodies (2.1) Timely reporting of IPSAS-compliant financial statements prepared by the Division to the Chief Finance Officer of the Fund (by 15 March of the following year)\",\n \"Performance measures\",\n \"2008-2009: 1 April 2010\",\n \"Estimate 2010-2011: 15 March 2011\",\n \"Target 2012: 15 March 2012\",\n \"Target 2013: 15 March 2013\",\n \"(2.2) Unqualified audit opinion of the Board of Auditors on financial statements\",\n \"Performance measures\",\n \"2008: Unqualified audit opinion\",\n \"2009: modified audit opinion\",\n \"Estimate 2010-2011: unqualified audit opinion\",\n \"Target 2012: unqualified audit opinion\",\n \"Target 2013: unqualified audit opinion\",\n \"(3) Operational functionality fully functional in the new dual custodian and independent master record keeper model (3.1) All business systems fully functional after selection of new custodian and master record keeper\",\n \"External factors\",\n \"118. The Operations Section is expected to achieve its objectives on the assumption that:\",\n \"(a) The internal mission-critical system (Charles River trade order management system, Murex MX.3, SWIFT and OMGEO) and the master record-keeping system of the independent master record-keeper provide a comprehensive and timely straight-through and exception-processing and reconciliation; the implementation of OMGEO, the independent master record-keeper and the master record-keeping system is dependent on successful contract negotiations;\",\n \"(b) The performance of the two custodians and the independent master record keeper in terms of custody and master record management services was satisfactory.\",\n \"Outputs\",\n \"119. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) The settlement of all securities, real estate, alternative assets and currency exchange transactions on the date of settlement or fixed value;\",\n \"(b) Automatic reconciliation of securities/positions/held assets and cash, including income (equity, interest and cash allocations), duration and business actions, on a daily basis for exceptional cases;\",\n \"(c) Successful testing or testing of the financial statements as at 30 June 2012 and favourable feedback from the external auditors on IPSAS compliance;\",\n \"(d) Preparation of IPSAS-compliant financial statements and disclosures (investment only) by 15 March 2013;\",\n \"(e) Transfer all assets to a new custodian for recording and re-registration;\",\n \"(f) Preparation of all standard reports by the new master record keeper and custodian.\",\n \"Table 33 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts\",\n \"Non-post — 9 012.2 —\",\n \"Total\",\n \"120. The amount of $11,041,800, reflecting an increase of $8,863,300, provides for the continuation of nine posts (1 P-5, 1 P-3, 2 General Service (Principal level) and 5 General Service (Other level)) and the outward redeployment of two General Service (Other level) posts to the Office of the Director and the Risk and Compliance Section and the establishment of one new post (1 P-3). The increase in non-post resources relates mainly to contractual services ($7,812,500) and resources previously requested under executive direction and management, including other staff costs ($897,100), travel of staff ($52,600) and consultants ($250,000).\",\n \"4. Programme support\",\n \"Information Systems Section\",\n \"Resource requirements (before recosting): $17,571,800\",\n \"121. The Information Systems Section is responsible for technology, data management, applications, policies, procedures and project management to support investment processes and maintain reliable investment data. The Section will continue to implement solutions to improve the quality and accessibility of investment data, streamline and standardize investment procedures and provide practical technology to implement security policies, ensure business continuity and implement controls in line with the Investment Management Division investment guidelines, thereby reducing operational and operational risks. More importantly, the Section will provide good investment data as part of the solution, add value to the Fund and make it possible to manage risks wisely.\",\n \"Table 34 Objectives for the biennium, expected accomplishments and indicators of achievement\",\n \"Objective of the Organization: To provide information technology solutions and technical support to facilitate back-to-back investment processes\",\n \"Expected accomplishments Indicators of achievement\",\n \"(1) (1.1) The ability to make exceptions to investment transactions\",\n \"Performance measures\",\n \"Percentage of transactions processed directly\",\n \"2008-2009: not applicable\",\n \"2010-2011: 90 per cent (trade order management, SWIFT, custodian bank)\",\n \"Target 2012-2013: 95 per cent\",\n \"(1.2) Support standardization and modernization of investment processes\",\n \"Performance measures\",\n \"Percentage of business processes standardized\",\n \"2008-2009: not applicable\",\n \"2010-2011: 85 per cent\",\n \"Target 2012-2013: 95 per cent\",\n \"(1.3) Risk and compliance management made possible\",\n \"Performance measures\",\n \"Number of risk and compliance tools provided\",\n \"2008-2009: not applicable\",\n \"2010-2011: 2\",\n \"Target 2012-2013: 2\",\n \"(2) Improved quality, security and accessibility of Investment Management Division investment data (2.1) Timely verification and reconciliation of investment data\",\n \"Performance measures\",\n \"Percentage of reliable investment reports produced\",\n \"2008-2009: 50 per cent\",\n \"2010-2011: 75 per cent\",\n \"Target 2012-2013: 90 per cent\",\n \"(2.2) High accessibility of information technology services\",\n \"Performance measures\",\n \"Percentage of potential information technology operational risks\",\n \"2008-2009: 25 per cent\",\n \"2010-2011: less than 5 per cent\",\n \"Target 2012-2013: less than 1 per cent\",\n \"External factors\",\n \"122. The subprogramme is expected to achieve its objectives and expected accomplishments on the assumption that: (a) procurement and legal procedures conducted by the United Nations Secretariat on behalf of the Investment Management Division are completed within the projected time frame; (b) stakeholders fulfil their responsibilities and cooperate fully in achieving the information and technology strategic objectives of the Division and facilitating its operations; and (c) the Information Management Systems Service supports the integrated information and communications technology infrastructure in a timely manner.\",\n \"Outputs\",\n \"123. During the biennium 2012-2013, the following outputs will be delivered:\",\n \"(a) The management of trading orders (Charles River), back-office assignments, reconciliations, accounting (Murex) and the inter-bank SWIFT system were successfully and adequately implemented and supported;\",\n \"(b) Implementation of the data centre, foreign exchange and fixed-income investment implementation system;\",\n \"(c) Investment processes are properly documented;\",\n \"(d) An exception to investment transactions;\",\n \"(e) Facilitating the standardization and simplification of business processes;\",\n \"(f) Supporting and facilitating compliance monitoring and systems;\",\n \"(g) Implement automatic data entry to support data verification;\",\n \"(h) Support data reconciliation;\",\n \"(i) Strengthening the Investment Management Division infrastructure;\",\n \"(j) Implementing and supporting security policies and disaster recovery;\",\n \"(k) Making business continuity possible.\",\n \"Table 35 Resource requirements\",\n \"(Thousands of United States dollars)\",\n \"Posts 1 593.9 2 457.5 7 8\",\n \"Non-post\",\n \"Total 11 777.3 17 571.8 7 8\",\n \"124. The amount of $17,571,800, reflecting an increase of $5,794,500, provides for the continuation of seven posts (1 P-5, 3 P-4, 2 P-3 and 1 General Service (Principal level)) and the establishment of one new post (1 P-4). The increase in non-post resources is mainly attributable to increased requirements for contractual services ($498,500), the transfer of contractual services for market data from the Investment Section to the Information Systems Section ($3,541,500) and resources previously requested under executive direction and management, including other staff costs ($779,300) and travel of staff ($111,000).\",\n \"Administrative support\",\n \"Resource requirements (before recosting): $4,011,100\",\n \"Table 36 Financial resource requirements\",\n \"(Thousands of United States dollars)\",\n \"(Thousands of United States dollars)\",\n \"Non-post 5 087.6 4 011.1 —\",\n \"Total 5 087.6 4 011.1 —\",\n \"125. The amount of $4,011,100, reflecting a decrease of $1,076,500, provides for non-post resources for the Division as a whole. The decrease is due mainly to the one-time request for rental and maintenance of premises ($916,900) in the context of the revised budget for 2010-2011, resulting from the renovation of additional office space at 1 Hammarskjöld Plaza.\",\n \"D. Audit costs\",\n \"Resource requirements (before recosting): $2,748,200\",\n \"126. The distribution of resources is shown in table 37.\",\n \"Table 37 Financial resource requirements\",\n \"(Thousands of United States dollars)\",\n \"(Thousands of United States dollars)\",\n \"External audit 661.2 774.7 —\",\n \"Internal audit 1 983.8 1 973.5 —\",\n \"Total 2 645.0 2 748.2 —\",\n \"127. The amount of $2,748,200 provides for the estimated requirements requested by the Board of Auditors for external audit ($774,700) and for internal audit ($1,973,500).\",\n \"1. External audit\",\n \"Resource requirements (before recosting): $774,700\",\n \"128. The amount of $774,700 provides for the costs associated with the Board of Auditors, to be shared by the secretariat of the Board of Auditors with the Fund.\",\n \"2. Internal audit\",\n \"Resource requirements (before recosting): $1,973,500\",\n \"129. The amount of $1,973,500 provides for the continuation of five general temporary assistance posts (1 P-5, 2 P-4, 1 P-3 and 1 General Service (Other level)), training and non-post resources (including consultants, travel of staff, contractual services, communications, operational costs, supplies and materials and furniture and equipment). The decrease is mainly due to the net effect of the requirement for general temporary assistance only as a result of the reduction in standard salary costs and to minor changes in other non-post resources requested.\",\n \"E. Board expenses\",\n \"Resource requirements (before recosting): $200,000\",\n \"Table 38 Financial resource requirements\",\n \"(Thousands of United States dollars)\",\n \"(Thousands of United States dollars)\",\n \"Board expenses\",\n \"130. In section IV of its resolution 61/240, the General Assembly approved the inclusion of Board expenses, including administrative costs for Board sessions, travel of the Chairman and travel of working groups, in the budget of the Fund and in the accounts for administrative costs.\",\n \"131. The provision of $200,000 would cover the estimated requirements for the Board ' s expenses, including travel of the Chair to the fifty-ninth and sixtieth sessions of the Board and the meetings of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee, travel of the Chief Executive Officer to identify the panel and administrative costs for the fifty-ninth and sixtieth sessions to be held in July 2012 and July 2013 ($120,000).\",\n \"IV. Emergency Fund\",\n \"132. In section III of its resolution 62/241, the General Assembly authorized the Fund to supplement its voluntary contributions to the Emergency Fund for the biennium 2008-2009 by an amount not exceeding $200,000.\",\n \"133. It is proposed that the Pension Board recommend to the General Assembly that it authorize the Board to supplement voluntary contributions to the Emergency Fund for the biennium 2012-2013 by an amount not exceeding $200,000.\",\n \"V. Interim measures recommended to implement the International Public Sector Accounting Standards by 1 January 2012\",\n \"134. At its fifty-seventh session, in July 2010, the Board approved the implementation of the International Public Sector Accounting Standards, effective 1 January 2012, and, as requested, the Secretariat and the Investment Management Division submitted to the Board a status report on the implementation of the new accounting standards in July 2011.\",\n \"135. At present, the Fund reports under the Financial Regulations and Rules of the United Nations. It was noted that the United Nations had planned to implement the International Public Sector Accounting Standards in 2014 and, in that connection, the Board was informed that the United Nations planned to propose changes to the Financial Regulations and Rules to the General Assembly at its sixty-seventh session, in 2012.\",\n \"136. In view of the timing of the revision of the Financial Regulations and Rules, and with the support of the Audit Committee of the Fund and for the sole purpose of enabling the Fund to implement IPSAS in a timely manner, the Board was requested to recommend to the General Assembly at its sixty-sixth session, in 2011, the approval of the following transitional measures for the financial reporting of the Fund:\",\n \"“As a transitional measure, the Board authorizes the Fund to continue to apply, mutatis mutandis, the Financial Regulations and Rules of the United Nations in its accounting processes and financial reports in a manner that brings the practices of the Fund into line with the International Public Sector Accounting Standards. The Board hereby recommends that, in accordance with article 19 (b) of the Regulations of the United Nations Joint Staff Pension Fund, the Secretary-General maintain detailed accounts of all investments and other transactions of the Fund in a manner consistent with the International Public Sector Accounting Standards.”\",\n \"137. The Board was informed that, once the transitional measures were approved, the full implementation of IPSAS by the Fund would be in line with the Board ' s decision to adopt IPSAS in 2012, provided that the Fund subsequently formalizes its Financial Regulations and Rules. The Fund ' s 2012 financial statements will be submitted and audited in accordance with IPSAS, which will provide the regulatory framework.\",\n \"138. After discussion, the Board endorsed the transitional measure on the financial reporting of the Fund and recommended that it be approved by the General Assembly at its sixty-sixth session, in 2011.\",\n \"Actions to be taken by the General Assembly\",\n \"139. The Pension Board recommends the following to the General Assembly:\",\n \"(a) Approve a decrease of $21,772,800 in the appropriation for 2010-2011. Accordingly, the revised appropriation for the biennium 2010-2011 amounts to $154,545,700, divided into administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Of that amount, $133,037,000 would be apportioned to the Pension Fund and $21,508,700 would be charged directly to the United Nations under the cost-sharing arrangement;\",\n \"(b) Approve the revised budget estimates for extrabudgetary resources totalling $144,300 for the biennium 2010-2011;\",\n \"(c) Approve the budget estimates for the biennium 2012-2013 for the Fund in the amount of $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Pension Board costs ($204,400). Of that amount, $173,260,600 would be apportioned to the Pension Fund and $20,903,400 would be apportioned to the United Nations under the cost-sharing arrangement;\",\n \"(d) Approve resources totalling $156,800 for extrabudgetary costs for the biennium 2012-2013 to be funded by a number of member organizations;\",\n \"(e) Approve an amount not exceeding 200,000 dollars to supplement contributions to the Emergency Fund;\",\n \"(f) Approve interim transitional financial measures to implement IPSAS effective 1 January 2012.\",\n \"VII. Summary of follow-up action taken to implement requests and recommendations of the Board of Auditors and the Advisory Committee on Administrative and Budgetary Questions\",\n \"Table 39\",\n \"A. Advisory Committee on Administrative and Budgetary Questions\",\n \"(A/65/567)\",\n \"(a) The Advisory Committee concurs with the recommendations of the Board of Auditors related to the revised risk management policy and the recommendation that the Division continue to implement the newly developed risk management manual (para. 7). Most control measures have been implemented and efforts are under way to implement the remaining controls. The Risk Management Manual is a living document that is updated on a quarterly basis. Implementation is an ongoing process with the goal of implementing all control measures. Some of the controls set out in the Risk Management Manual are manual and await resource allocation; others are automated and await modernization of infrastructure. When these milestones are reached, these controls will be implemented.\",\n \"(b) The Advisory Committee concurs with the recommendations of the Board of Auditors. The Advisory Committee is concerned that the Fund has received an unqualified audit opinion that includes an emphasis of matter paragraph on realized and unrealized losses on investments as reflected in the financial statements for the biennium ended 31 December 2009. The Committee urges the Fund to implement the recommendations of the Board of Auditors (para. 9). This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will continue to consult with the IPSAS consultant on these disclosures.\",\n \"(c) The Advisory Committee reiterates its recommendation that the Board continue to explore opportunities for investment in developing countries and countries with economies in transition (para. 10). The Fund continues to study opportunities; the Director and staff of the Investment Management Division have recently travelled to Africa and the Middle East to expand our award-winning portfolio of investments in Africa. The Director will meet regularly with the World Bank and IMF to review emerging opportunities in emerging and frontier markets.\",\n \"(d) The Fund has finalized its IPSAS implementation plan and time frame, which was submitted to the Audit Committee and to the Pension Board at its fifty-eighth session in July 2011. The recruitment of a new Treasurer is also under way. The Advisory Committee concurs with the Board that the Fund should finalize and approve the IPSAS implementation plan in a timely manner. The Committee looks forward to the recruitment of the new Chief Finance Officer as soon as possible, while at the same time initiating preparations to ensure the implementation of IPSAS on 1 January 2012. Furthermore, the Committee encourages the Board of Auditors to monitor closely the progress of the Fund ' s IPSAS implementation and reiterates its recommendation that the Board report annually to the General Assembly on progress made in this regard (see A/65/498, para. 19) (para. 13).\",\n \"(e) The Advisory Committee emphasizes that adequate support should be provided from within existing resources to ensure the timely implementation of IPSAS and its proper management (para. 15). The programme to reallocate existing resources for IPSAS implementation was approved by the Pension Board at its fifty-seventh session, held in July 2010, and approved by the General Assembly in December 2010. Additional resources are being requested for 2012-2013.\",\n \"(f) The Advisory Committee concurs with the Pension Board ' s request that the medical consultant consider the possibility of establishing a medical examination standard specifically for participation in the Fund for the purposes provided for in article 41 of its Regulations (para. 18). Upon request, the medical consultant will submit a note on the matter to the Board at its July 2012 session.\",\n \"(g) The Advisory Committee concurs with the Board of Auditors on the need for transparent disclosure of the investments of the UNU Endowment Fund and notes that the Pension Board has agreed to provide such disclosure in the future (para. 20). This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will continue to consult with IPSAS consultants on such disclosures.\",\n \"B. Board of Auditors\",\n \"(A/65/9, annex X)\",\n \"The Board ' s main recommendations are:\",\n \"(a) The Fund should finalize and approve the IPSAS implementation plan, identify and involve other stakeholders in the implementation of the IPSAS project, and elaborate on which aspects of the Financial Regulations and Rules require revision (para. 27); A steering committee comprising IPSAS stakeholders from the Investment Management Division and the Secretariat was established. Pending the adoption of IPSAS, the Fund will remain in compliance with the Financial Regulations and Rules of the United Nations, which are based on United Nations system accounting standards. The Investment Management Division is awaiting advice from its IPSAS consultants on the proposed wording of rules 104.12, 104.13, 104.14, 104.15 and 104.16 to ensure IPSAS compliance. To be submitted to the Audit Committee in June 2011 and to the Pension Board at its fifty-eighth session in July 2011.\",\n \"(b) The Fund record the amounts owed to the Fund as receivables and income (para. 30); It will be made public after the review.\",\n \"(c) The Fund should, when actual payments are made, make a roll-back of all prior-period unliquidated obligations and accruals and address the deficiencies in controls that led to the recording of projects paid as accruals (para. 33); The Executive Office submitted a third draft for review and approval by the Finance Section. In accordance with these instructions, the administrative accounts for the period from 1 January 2006 to 31 December 2009 will be adjusted to arrive at the correct balance carried forward to 1 January 2010. These accounts will be closed on 31 December 2010 in accordance with these instructions.\",\n \"(d) The Fund implement improved controls to ensure the timely recovery of outstanding amounts and develop an accounting treatment policy for long-outstanding amounts that are not recoverable (para. 43); Collection efforts are under way.\",\n \"(e) The Fund consider making provision in its financial records for doubtful obligations to reflect recoverable amounts as at the reporting date (para. 44); In addition, the write-off of uncollectible receivables commenced in 2010.\",\n \"(f) The Fund revalue all foreign currency price balances using the operational rates of exchange in effect at the reporting date (para. 48); The 2010 financial statements convert foreign currency bank account balances into United States dollars using year-end exchange rates.\",\n \"(g) The Fund take immediate steps to recover outstanding foreign taxes (para. 51); The Investment Management Division continued to make extensive efforts to prevent jurisdictions from taxing their investment income and recovering taxes withheld. In particular, representatives of the Investment Management Division met with representatives of the Chinese National Tax Administration in Beijing in January 2010 to resolve the formal recognition and implementation of the Fund ' s tax-exempt status in the country. Representatives of the Division also initiated discussions with representatives of the Government of Brazil, which led to the release in April 2010 by the Brazilian Revenue Authority of an extensive message formally recognizing the tax-exempt status of the Fund in that country. In addition, the Division recently issued a request for proposals for a global tax advisory service. The global tax adviser will assist the Division in such matters as the global application for reimbursement.\",\n \"(h) The Fund should record the receivables and related income arising from the reimbursement by the United Nations of administrative costs in the correct accounting period (para. 54);\",\n \"(i) The Fund continue to reconcile the balances with the United Nations to ensure that the differences are fully reconciled (para. 57); The United Nations also uses this balance. The Fund now reverts to actual expenditure in its reconciliation with the United Nations.\",\n \"(j) The Fund upload the correct accruals from the accounts payable module to the Lawson system, while adjusting the discrepancies identified (para. 63); Wrong items were identified. Appropriate entries will be made for 2010 to correct these balances.\",\n \"(k) The Fund regularly reconciles the accounts payable module with the general ledger on a monthly basis (para. 64);\",\n \"(l) The Fund revises the debit balances of accounts payable to accounts receivable and completes the data cleansing exercise to ensure that all amounts included in accounts payable are valid payables (para. 67); this is an ongoing process. Work began in 2010 and will continue throughout 2011 to correct these accounts.\",\n \"(m) The Fund develop an ageing tool for the analysis of benefits payable (para. 70); and the Finance Section is awaiting the “boxes” of COGNOS to support Lawson data in generating a new report.\",\n \"(n) The Fund apply regulation 46 of the Regulations and Rules of the Fund to adjust benefits payable in respect of all amounts due (para. 75); this is an ongoing work that is part of the data cleansing exercise to be completed by the end of 2011.\",\n \"(o) As noted in its report to the Board of Auditors (see A/65/9), the Fund was unable to comply with the completion date of 31 March owing to the need to implement procedures for the reconciliation of payments made by member organizations of the Fund, as required by the Financial Regulations and Rules of the United Nations (para. 79). The Investment Management Division submitted to the Fund secretariat on 11 March 2011 the portion of the financial statements for which it was responsible. In the future, the Division will ensure that financial statements are submitted to the Secretariat by 15 March of the following year.\",\n \"(p) The Fund develop and implement accounting policies that specify how transactions are accounted for in the accounting records of the Fund and ensure that all accounting policies are clearly defined and disclosed in the financial statements (para. 84); This will continue to be an integral part of the financial statements for 2010 and 2011, with full adoption of IPSAS in 2012.\",\n \"(q) The Fund prepare reconciliations or working drafts for all line items in the financial statements and prepare schedules for related calculations or adjustments consistent with the books (para. 89);\",\n \"(r) The Investment Management Division fully disclose in its financial statements the investments it manages for the UNU Endowment Fund (para. 92); This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011, specifically under “administered funds”. The Division will further consult with the IPSAS consultant on such disclosures.\",\n \"(s) The Investment Management Division reconsider its formal arrangements for funding management services to third parties (para. 93); the Investment Management Division will provide full disclosure. The Division will fully disclose the independent arrangements established for the UNU Endowment Fund in the 1990s in accordance with the audit recommendations. These arrangements include a separate escrow account and an independent external fund manager. These funds have never been commingled with the Pension Fund.\",\n \"(t) The Investment Management Division continue to implement its newly developed Risk Management Manual (para. 111); Most control measures have been implemented and efforts are under way to implement the remaining controls. The Risk Management Manual is a living document that is updated on a quarterly basis. Implementation is an ongoing process with the goal of implementing all control measures. Some of the controls set out in the Risk Management Manual are manual and await resource allocation; others are automated and await modernization of infrastructure. When these milestones are reached, these controls will be implemented.\",\n \"(u) The Investment Management Division conduct a case-by-case review to identify lessons learned in relation to the positions of all realized investment losses in 2008-2009 and the continuing unrealized losses (para. 112); The Investment Management Division has implemented a formal weekly and quarterly compliance and investment review of over 25 per cent of unrealized gains and losses.\",\n \"(v) The Investment Management Division use a tabular presentation of the proceeds and losses from the sale of investments and disclose all unrealized gains and losses as at the date of the statement of assets and liabilities in order to provide a clear description and disclosure of investments in the financial statements (para. 113); This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will further consult with the IPSAS consultant on such disclosures.\",\n \"(w) The Investment Management Division address the remaining outstanding or ongoing recommendations (para. 117); The Investment Management Division made significant progress on the compliance programme by hiring a Compliance Officer in October 2009. New policies have been implemented, including those relating to personal transactions, gifts and hospitality, and compulsory leave. Other policies are still awaiting review and acceptance. The Risk and Compliance Section of the Division uses risk and compliance manuals and automated systems to monitor the investments of the Fund to ensure that its policies and standards are fully monitored and enforced. Many OIOS recommendations were addressed and implemented. There is now a formal process for the timely monitoring and processing of OIOS recommendations. Training sessions for staff of the Division were conducted, one of which was organized in conjunction with the Ethics Office. The Risk and Compliance Section has confirmed that there are currently no instances of deliberate or frequent violations of the policies or procedures of the Division that could result in financial damage to the Fund, its reputation, participants or beneficiaries.\",\n \"(x) The Fund better disclose in the notes to the financial statements the major actuarial assumptions and changes related to the valuation of end-of-service liabilities (para. 124); for 2009, the Fund was included in the 2009 actuarial valuation as an integral part of the financial statements. In addition, for the first time, the Fund recorded after-service health insurance and end-of-service liabilities on the face of its financial statements.\",\n \"(y) The Fund should develop a funding plan for end-of-service liabilities for consideration by its governing body (para. 131); Any funding plan would require the United Nations to provide one third of the funding for a specific component. The implementation of this recommendation is suspended pending the submission of such a plan by the United Nations Secretariat.\",\n \"(z) In implementing IPSAS, the Fund considers revising its policy for the valuation of annual leave liability (para. 139);\",\n \"(aa) The Fund take measures to ensure that physical inventory counts are carried out in a timely and regular manner and that the results are reconciled with the asset register (para. 144); As IPSAS implementation will begin in 2012, these inspections will commence in the fourth quarter of each year in 2011. In addition, signature certificates relating to such inspections will be retained at a later stage.\",\n \"(bb) The Fund obtains inventory reports from the United Nations Property Management and Inventory Management Unit and full administrative access to the ProcurePlus system, with the aim of updating all assets and acquiring inventory reports (para. 145); The Fund ' s request to the Office of Central Support Services for access to Procure Plus in a memorandum dated 30 September 2010 and a follow-up memorandum dated 15 October 2010 is still pending.\",\n \"(cc) The Fund secretariat develop a human resources plan (para. 149);\",\n \"(dd) The secretariat of the Fund consider ways to strengthen succession planning based on the retention of retirees (para. 153); Use the expertise of retired staff to assist in this process. See also paragraph 8 of the memorandum submitted by the CEO to the Board of Auditors on 15 April 2010.\",\n \"(ee) Given that the recommendations of OIOS reflect significant deficiencies in human resources management, the Fund should address the recommendations of OIOS (para. 158); and (a) the Fund should adhere to the annual leave policy set out in staff regulation 5.1: “All staff should be allowed appropriate annual leave” and rule 105 of the Staff Rules. Fund management encourages those with financial responsibilities to take two weeks of uninterrupted annual leave each year. This is mandatory for the staff of the Investment Management Division.\",\n \"(b) The Executive Office prepares monthly staffing tables manually and reconciles them with the Integrated Management Information System (IMIS).\",\n \"(c) A tracking system has been established to monitor the recruitment of staff and will be used to benchmark each stage of the recruitment process. The 120-day United Nations benchmark will be used until the Fund has sufficient data to calculate its own benchmark. Managers responsible for recruitment are encouraged to scrutinize applicants in order to achieve gender parity.\",\n \"(d) The IMIS functional package must be presented to the staff by the supervisor and reviewed and delegated by the Executive Office accordingly. Staff outside the Executive Office were not authorized to use the human resources functionality of IMIS without the approval of the Chief Executive Officer.\",\n \"(e) Within the new contractual framework, active staff beyond retirement age are now placed under the “temporary” category. The master procedure, issued in January 2009, provides an annex to the work plan for temporary staff and their subsequent performance appraisals, to be completed by supervisors and managers.\",\n \"(f) Managers, in consultation with heads of department and staff, clearly identify and document the training needs of each staff member in the e-PAS. Departments will monitor or continue to monitor implementation.\",\n \"(g) Compliance monitoring will continue and statistical and individual feedback will be provided to heads of departments, with emphasis on the timely completion of e-PAS.\",\n \"(ff) The Fund secretariat should reconcile monthly contributions from member organizations and follow up on outstanding projects in a timely manner (para. 162); However, a pilot scheme has just been launched to test a system that allows monthly reconciliation.\",\n \"(gg) The Fund secretariat establish a system to verify the accuracy of information provided by member organizations prior to year-end closing and to ensure that reconciliations are performed and verified prior to the finalization of financial statements (para. 167); The automated document transfer and editorial inspection of documents at the end of the year improved the accuracy of the reports and reduced the Fund ' s manual workload.\",\n \"(hh) (a) It is standard practice to systematically upload and scan all official correspondence of the Fund with its participants and beneficiaries into appropriate CMS files. This includes sending follow-up letters to clarify inconsistencies in signatures. If such documents cannot be found in the document, the exception is an oversight. The Fund secretariat, where the signatures on the certificate of entitlement form are different from the original signatures, upload to the content management system the evidence for the follow-up verification of the beneficiaries; and comply with the general procedure 2001-68, which requires that all digital images of beneficiary signatures that are available be entered into the content management system (para. 174);\",\n \"(b) As explained above, the standard practice is to upload all documents related to the Fund ' s beneficiaries and participants ' files to the content management system. The loss of documents was an oversight and an exception.\",\n \"(ii) The Fund secretariat improve the overall processing time of transfer cases to meet the six-month processing time target (para. 180); The number of long-outstanding cases is low, and none has exceeded 50 days. As a result, all these cases met the benchmarks for case processing.\",\n \"(jj) The Fund secretariat implement procedures for regular reconciliations between the PENSYS payroll and Lawson systems (general ledger) (para. 184); the Finance Section is considering the preparation of a COGNOS report for such reconciliations in 2011.\",\n \"(kk) The Fund secretariat develop and approve comprehensive user account management procedures to ensure that user accounts are properly managed; implement procedures to monitor the validity of user accounts on a regular basis (para. 188); The Information Management Systems Service has introduced a “access, systems and data access” policy to implement account management procedures. Group-based roles have been introduced in the system, and access rights can be limited by such roles when requested by managers. Password replacement and security parameter setting were implemented in these systems using the Active Mailing Policy and the Single Point Login programme. Due to PENSYS restrictions, the introduction of “periodic records and system activity review” features in these ageing systems was not considered feasible; therefore, for the Integrated Pension Administration System to be replaced, they were required.\",\n \"(ll) The Fund secretariat review the procedures for requests for change and requests for services to take into account areas for improvement identified by the Board of Auditors (para. 193); The Information Management Systems Service reviewed the change request and service request procedures and updated the change request tool to include a field showing whether documents were required for testing and approval of implementation.\",\n \"(mm) The Fund secretariat monitor compliance with change control procedures and maintain proper change control management documentation records (para. 195); The Information Management Systems Service has implemented change management policies and established a comprehensive automated system for approval and tracking. Processes are in place. The Service and managers are currently monitoring compliance with change control procedures on a daily basis and enforcing a policy on recording any and all changes made prior to implementation.\",\n \"(nn) The Fund secretariat perform information technology quality assurance functions to ensure that a certain level of trust is established and maintained; implement controls to prevent programme analysts from using the user name and password of the database administrator (para. 202); The Information Management Systems Service, while rejecting the establishment of a “quality assurance position”, streamlined the requirement for this function by drafting a segregation of duties policy. The proper implementation of the division of responsibilities policy of the Service has been identified and monitored through the recording of each step (e.g., analyst, developer, migration, etc.) through the revision of the request process, which is subject to review by two individuals: the first approving officer and the second approving officer. Changes have been made so that user names and passwords for database administrators are provided only to database administrators.\",\n \"(oo) The Fund secretariat review the adequacy of the access rights of the programme analysts, with particular attention to access to the production environment, and develop procedures to manage the need for access to the production environment (para. 204); Although the Information Management Systems Service refused to establish a “quality assurance position”, the requirement for this function was streamlined by drafting a policy on segregation of duties. The separation of responsibilities is maintained by ensuring that tasks related to analysis/development and movement to production are assigned to two different persons. In addition, a system modification plan is in place to manage and monitor the process.\",\n \"(pp) The Fund secretariat ensure that responsibilities are properly separated during the transition of tested and approved changes from the development environment to the testing environment and from the testing environment to the production environment (para. 206). It is recommended that the case be closed. Although the Information Management Systems Service refused to establish a “quality assurance position”, the requirement for this function was streamlined by drafting a policy on segregation of duties. The separation of responsibilities is maintained by ensuring that tasks related to development, testing and movement to production are assigned to different people. In addition, a system modification plan is in place to manage and monitor the process.\",\n \"Annex I\",\n \"Discussion by the United Nations Joint Staff Pension Board on the revised budget estimates for the biennium 2010-2011 and the budget estimates for the biennium 2012-2013\",\n \"Administrative matters of the Fund\",\n \"(a) Revised budget estimates for the biennium 2010-2011\",\n \"1. The secretariat of the United Nations Joint Staff Pension Fund has requested a reduction of $21,772,800 in the budget estimates for the biennium 2010-2011 in relation to the revised appropriation of $176,318,500. The final revised appropriation for the biennium 2010-2011 would therefore amount to $154,545,700, of which $21,508,700 would be met by the United Nations under the cost-sharing arrangement.\",\n \"Budget estimates for the biennium 2012-2013\",\n \"2. The proposed budget estimates for the biennium 2012-2013 provide for $215,999,100 for approved expenditures (before recosting), compared with the approved expenditure of $176,318,500 for the biennium 2010-2011. The budget report presented administrative costs of $101,768,500, investment costs of $111,282,400, audit costs of $2,748,200 and Board costs of $200,000. In addition, the estimate provides for one extrabudgetary post for after-service health insurance in the amount of $152,900 and for an emergency fund of up to $200,000.\",\n \"Administrative costs\",\n \"3. The proposed budget under administrative costs amounts to $101,768,500 before recosting, an increase of 10.2 per cent over the appropriation for the biennium 2010-2011 and 26.5 per cent over the revised budget estimates for the biennium 2010-2011.\",\n \"4. With regard to administrative costs, the Secretariat emphasized that, although the total cost estimates for the Integrated Pension Administration System project remained unchanged, the change in the original schedule as a result of the change in the implementation strategy had resulted in underexpenditures in the project for the biennium 2010-2011 and the subsequent request for funding in the budget for the biennium 2012-2013. In addition, in line with the medium-term human resources strategic plan of the Secretariat, 16 additional established posts and 3 reclassifications are proposed, as follows:\",\n \"New posts\",\n \"1 P-3 Chief, Client Services, Records Management and Distribution Unit\",\n \"Investment costs\",\n \"5. The proposed budget under investment costs amounts to $111,282,400 before recosting, an increase of 37.1 per cent over the appropriation for the biennium 2010-2011 ($81,197,500), and 56.1 per cent over the revised budget estimates for the biennium 2010-2011 ($71,289,000).\",\n \"6. Under investment costs, the resources requested by the Representative of the Secretary-General include 20 additional posts and additional requirements for contractual services in the areas of portfolio management to implement the Fund ' s leadership; the increase in small capitalization; the master record keeper; and information technology projects, as shown in the table below.\",\n \"New posts\",\n \"1 P-4 Senior Investment Officer - Fixed Income and Foreign Currency 1 P-4 Investment Officer - Alternative Investments 1 P-4 Investment Officer - Global Emerging Markets 1 P-4 Investment Officer - Trading Executive Officer 1 P-3 Investment Officer - North American equities 1 P-3 Investment Officer/Analyst - Real estate 1 General Service (Other level) Trade Implementation Assistant 1 P-4 Due Diligence and Quantification Strategic Risk Management Officer 1 P-3 Compliance Analyst and Operations Risk Management Officer 1 General Service (Other level) Chief Risk and Compliance Officer 1 P-4 Accounting and Reporting Officer 1 P-3 Finance Officer, Reconciliation 1 D-1 Chief Information Technology Officer 1 P-3 Information Security Officer 1 P-3 Reconciliation Manager 1 General Service (Other level) Administrative Assistant\",\n \"Audit costs\",\n \"7. An amount of $74,700 is requested for external audit and $1,973,500 for internal audit, for a total amount of $2,748,200, reflecting a net increase of $103,200. Of this amount, $113,500 relates to the costs of the external auditor.\",\n \"Pension Board costs\",\n \"8. A total of $200,000 is requested for the costs of two Board sessions and for the travel of the Chairman and the selection committee to recruit the next Chief Executive Officer.\",\n \"Extrabudgetary funds\",\n \"9. Extrabudgetary resources in the amount of $152,900 are requested for one General Service (Other level) post funded by member organizations involved in the after-service health insurance plan.\",\n \"Emergency Fund\",\n \"10. Supplementary amounts not exceeding $200,000 are requested for the Emergency Fund.\",\n \"Working Group on the Budget\",\n \"11. The comments and recommendations made by the budget working group and endorsed by the Board are set out below.\",\n \"12. In accordance with the decision taken by the Board at its fifty-seventh session, the Working Group on the Budget began its work on 6 July 2011.\",\n \"13. The composition of the Working Group, which had previously been agreed upon by the Board, was changed by the replacement of a representative of the executive head group and a representative of the participant group. The final composition of the Working Group is as follows:\",\n \"Ms. J. Forest (International Telecommunication Union), representing the governing body\",\n \"Mr. G. Kuentzle (United Nations), representing governing bodies\",\n \"Ms. Y. Mortlock (*) (International Organization for Migration), on behalf of the Executive Head\",\n \"Ms. S. Van Buerle (United Nations), on behalf of the Chief Executive (elected Chairperson)\",\n \"Mr. H. Baritt (*) (World Health Organization), representing participants\",\n \"Mr. C. Santos-Tejada (United Nations), representing participants\",\n \"Mr. A. Castellanos del Corral (Federation of Associations of Former International Civil Servants), representing pensioners\",\n \"Mr. T. Teshome (Federation of Associations of Former International Civil Servants), representing pensioners\",\n \"(*) New members.\",\n \"14. The Working Group had before it the following documents: the implementation of the International Public Sector Accounting Standards (IPSAS) by the Fund; the revised budget estimates for the biennium 2010-2011; the strategic framework of the Fund for the period 2012-2013; and the budget estimates for the biennium 2012-2013. The Working Group benefited from meaningful interaction with the secretariat and the Investment Management Division.\",\n \"Performance report for the biennium 2010-2011\",\n \"15. As indicated in paragraph 195 of the report of the Board on its fifty-fifth session (A/63/9) and in paragraph 137 of its report on its fifty-seventh session (A/65/9), the Board decided that the Fund secretariat should provide to the Board on an annual basis, in the context of the programme budget performance report, a detailed analysis of budget variances between approved budgets and actual expenditures. While the Working Group noted that some of the information had been provided, it was of the view that future performance reports should provide a more detailed breakdown of variances by the main purpose of the various categories of expenditure. The Working Group also noted that IPSAS required clarification of the difference between budget and actual expenditure, which could improve the Board ' s consideration of future budget reports. Moreover, this should be fully explained if changes in the implementation methods, strategies, etc. of projects or initiatives have a greater impact on the programme of work for the period and therefore on the level of expenditure. In particular, it was noted that underexpenditures for some of the anticipated two-year periods were in effect a change in resource requirements to the next budget period, which should be indicated in the new budget submission in order to review the amounts requested, in particular for the Integrated Pension Administration System project.\",\n \"16. In this connection, the Working Group was of the view that the resources proposed for a given biennium should, in principle, be used for the purposes approved for that biennium. The Working Group also noted recurrent underexpenditures in the Investment Management Division for “contractual services”. The Working Group expressed its appreciation for the Division ' s efforts to proceed in a cost-effective manner and encouraged it to continue to do so in order to bring budget estimates more in line with actual performance.\",\n \"Strategic framework for the period 2012-2013\",\n \"17. The Working Group acknowledged the continuing efforts to improve results-based presentation, in particular the presentation of more focused objectives, expected accomplishments and indicators of achievement. The Working Group recommended that the Fund's logistical framework should be developed in line with the SMART principles — specific, measurable, attainable, realistic and time-bound — so that the Board could effectively evaluate the Fund's performance in achieving expected results. The Working Group noted that the strategic framework would need to be revised in the light of the forthcoming decisions on the budget for the biennium 2012-2013.\",\n \"18. In addition, the Working Group noted that, in accordance with the established budgetary process of the United Nations, the strategic framework should have been presented to the Board in off-budget years in order for the Board to provide the Fund with relevant guidance on priorities and programme of work as a basis for the preparation of the budget for the next financial period. As this was the first year of submission of the strategic framework following the Board ' s decision to request it, it was confirmed that the established cycle would begin in 2012 and that the strategic framework for the period 2014-2015 should be submitted to the Board at its fifty-ninth session.\",\n \"Budget estimates for the biennium 2012-2013\",\n \"19. In reviewing the proposed budget and the concerns raised by the various stakeholder groups of the Fund, the Working Group was guided by the principle of the need to ensure that the implementation of the mandate of the Fund was carried out with maximum efficiency, maximum effectiveness and maximum cost awareness, with a particular focus on initiatives to increase benefits, reduce risks and/or provide better services to various stakeholder groups. Most importantly, the Working Group reviewed the reasons put forward for seeking additional resources. In several of these cases, the Working Group recognized that the implications and implications of IPSAS, the Integrated Pension Administration System and other initiatives were not fully understood. In addition, the Working Group considered that it would be premature to seek additional resources before the Chief Finance Officer (subject to recruitment) could express his or her views on the staffing structure, which would lock in the staffing structure. The Working Group also believes that further synergies could be achieved through enhanced operational integration between New York and Geneva. The CEO reported to the Working Group that outsourcing opportunities were being examined. The Working Group recommended that, in order to achieve greater administrative cost-effectiveness, the options for offshoring and outsourcing should be examined more closely, especially in the event that the current lease was about to expire.\",\n \"20. In addition, the Working Group was fully aware of the financial situation faced by participating organizations and Member States, noting in particular their need for more efficient and effective ways of delivering results. In the case of the Pension Fund, the Working Group noted the expansionary nature of the proposed budget and the great extent to which the expected future benefits of the Integrated Pension Administration System (the project in progress) would depend on it, and requested further information on the actions that the Fund had taken or could take to improve performance, improve efficiency and save costs, including the changes in the staffing structure that the project would entail.\",\n \"21. The budget working group recognized that the number of participants had increased by 4.2 per cent over the past 10 years. During the same period, the complexity of managing participants also increased significantly, mainly as a result of the increase in the number of relevant provisions of the Fund ' s pension adjustment system.\",\n \"22. The Fund ' s budget has also experienced unprecedented growth over the past few years. The proposed budget of $216 million for 2012-2013 represents a 23 per cent increase over the 2010-2011 budget of $176.3 million approved, and a 68 per cent increase over the 2008-2009 budget of $128.2 million.\",\n \"In order to evaluate the overall administrative budget more effectively, the Working Group reviewed the “per participant” costs (total cost divided by number of participants). The calculation, which included an inflation adjustment, showed that the average annual administrative cost per participant had been $197. The proposed budget of $216 million was equivalent to $248 per participant, an increase of 26 per cent.\",\n \"Inflation-adjusted cost per participant\",\n \"(United States dollars)\",\n \"[Chuckles]\",\n \"24. The CEO confirmed to the Working Group that the Administration had used a number of key performance indicators to track the effectiveness and efficiency of the Fund. The Working Group recommended that the Fund should endeavour to link future budget proposals to those indicators.\",\n \"Budget presentation and methodology\",\n \"25. At its fifty-seventh session, the Board decided that future budget proposals should be submitted 90 days before the session of the Committee and decided that the Working Group noted with appreciation that the decision had been fully complied with. This facilitated early review by the budget working group. The Working Group noted that every effort had been made to align the presentation of the documents submitted with the methodology used by the United Nations.\",\n \"26. However, there was general agreement in the Working Group that the Fund needed to revise the presentation in its budget document and that the reasons for the changes should be more clear and concise in order for the Board to take a decision. A quality review of documentation would also help to remove inconsistencies and ensure that cross-cutting initiatives are presented in an aggregated manner, with the appropriate use of graphs to facilitate understanding of the initiatives. In addition, as previously recommended by the Board, the Fund should continue to ensure greater consistency with the United Nations budget presentation, in particular by distinguishing between changes resulting from growth and changes resulting from changes in costing parameters, which refer to currency, inflation or standard salary costs.\",\n \"27. The Working Group noted with concern that little or no progress had been made on the integration and consolidation of certain functions and services, which continued to favour a fragmented approach to operations, and that it was also unclear what was being done to implement cost-saving initiatives in the context of back-office tasks. The Board may wish to consider requesting the CEO and the Representative of the Secretary-General to study the options jointly and to present them to a future Board session.\",\n \"Information technology\",\n \"28. The Working Group noted that the Fund had requested $66 million for the Information Systems Section and the Information Management Systems Service for information technology-related activities. This level of funding may prove to be justified in the end, but in view of the increasing complexity of the budget proposals submitted to the Board, it may be useful to prepare a concise, comprehensive and integrated information technology strategy in conjunction with the budget and to present it to the Board at its fifty-ninth session, which should include an assessment by independent information technology experts in the relevant areas of the operations of the Fund.\",\n \"In this regard, the Working Group noted that the Fund relied heavily on the International Computing Centre. In particular, with reference to the Centre ' s budget, the Working Group was informed that the Fund was the second largest user of the Centre ' s services, after the Department of Field Support. The Working Group was informed that, owing to the nature of the Centre, its services were not subject to competitive bidding, which raised doubts as to whether it was the most cost-effective and cost-effective way of meeting the needs of the Fund without compromising data security or confidentiality. At the same time, in interviews with representatives of the Fund, the Working Group noted that the Fund was staffed separately through the Centre, with approximately 13 staff members recruited through contractual services, ranging from General Service (Other level) to P-5, some of whom had been recruited since 2004.\",\n \"IPSAS International Public Sector Accounting Standards\",\n \"30. The Working Group was pleased to hear the CEO report that the IPSAS project had made good progress and that the Fund was likely to meet its deadline. The remaining issues relating to fixed assets and employee benefits appear to have been adequately addressed. The current finance staff of the Secretariat and the Investment Management Division are familiar with IPSAS standards. The Working Group was of the view that, in the long term, IPSAS would be integrated into all levels of financial management responsibilities, broadly the same as the United Nations system accounting standards.\",\n \"31. The Working Group was of the view that there was no need for two new posts dedicated to IPSAS and that it would be more appropriate to provide short-term consultancy funds to assist with financial statements, impairment tests and policy documents.\",\n \"Integrated Pension Administration System\",\n \"32. With regard to the Integrated Pension Administration System, the Working Group welcomed the confirmation by the CEO that the Integrated Pension Administration System project was a top priority. The Working Group noted that the Integrated Pension Administration System would fundamentally shift the organizational approach from a case-by-case to a process-driven one. The Working Group recalled that the purpose of the system was to improve efficiency and service delivery. In that regard, the Working Group was of the view that the review and appropriate improvement of all relevant existing procedures must be an integral part of the entire reform management process of the Integrated Pension Administration System. The Working Group also encouraged the Fund to ensure that the project was not driven primarily by information technology, as full ownership of substantive areas was indispensable.\",\n \"33. The Working Group recommended that the Board should request a report on the expected organizational structure of the Fund following the implementation of the Integrated Pension Administration System for consideration at its sixtieth session in the context of the next budget report. The report should also include a strategic evaluation of all posts affected by the implementation of the system.\",\n \"34. In 2010, the Fund scanned 639,499 documents totalling 1,120,602 pages. The Integrated Pension Administration System is intended to replace the Entitlements, Accounting and Document Management System. The Working Group noted that, in the project, staffing resources appeared to have been allocated to accounting and entitlements, but no specific resources had been earmarked for document management. The Working Group encouraged the Fund to monitor the skills required for the project to ensure that resources were allocated to address document management issues.\",\n \"35. The current budget includes additional contractual services and other costs required to support the legacy system, which will be replaced by the Integrated Pension Administration System. The Chief Executive Officer assured that the new system would be completed in accordance with the project schedule and budget and might also be lower than the budget.\",\n \"36. The Integrated Pension Administration System project will have a significant impact on service delivery. The Working Group therefore recommended that a revised organizational chart be provided in the next budget submission.\",\n \"Proposed resources\",\n \"Posts\",\n \"37. In accordance with the principles and criteria referred to in paragraph 19 above, and following a series of consultations involving administrative and management staff, the Working Group undertook the following review of posts. A total of 3 reclassified posts (3 Secretariat posts) and 36 new posts (16 administrative and 20 Investment Management Division posts) are requested for the Fund. Following a review of each post and dialogue with the secretariat and the Investment Management Division, the Working Group made the following observations:\",\n \"(a) Not to support the proposed reclassification;\",\n \"(b) Support the establishment of seven new posts in the Investment Management Division, as shown in table 1;\",\n \"(c) Support the establishment of general temporary assistance positions (not posts previously requested) as shown in table 2; the timing and purpose are indicated in the table;\",\n \"(d) The establishment of a new P-4 Finance and Budget Officer post in the Fund ' s Executive Office is not supported. The Working Group supported the reclassification of the existing P-3 post of Finance and Budget Officer to the P-4 level, in view of the increased complexity of the functions.\",\n \"Table 1\",\n \"1 P-4 Investment Officer for Global Emerging Markets\",\n \"Table 2\",\n \"1 P-3 24 months Non-recurrent positions 1 GS (OL) 24 months\",\n \"(a) Resource requirements for the provision of services will be redeployed from the Legal Office.\",\n \"Administration\",\n \"Under the Information Management Systems Service, the Working Group did not support “integrated management initiatives” and recommended a budget reduction of $2,543,300 (before recosting), following discussions with the Fund on how to prioritize information technology projects in the light of the continuing need for dedicated capacity to implement the Integrated Pension Administration System. This would entail a necessary reduction in the administrative budget for contractual services ($1,133,300) and furniture and equipment ($1,410,000).\",\n \"Temporary posts\",\n \"39. The Working Group supported the continuation of 17 temporary posts for the Integrated Pension Administration System project at the following level: 1 P-5, 7 P-4, 4 P-3, 5 General Service (Other level).\",\n \"Other staff costs\",\n \"40. The Working Group agreed with the amount requested under other staff costs, adjusted for the additional requirements for two general temporary assistance positions approved under operational/administrative costs, as shown in table 2.\",\n \"Consultants\",\n \"41. The Working Group supported the requested amount of $300,000 (before recosting).\",\n \"Travel\",\n \"The Working Group recommended a 10 per cent reduction in the level of the revised appropriation.\",\n \"Contractual services\",\n \"43. The Working Group supported the amount requested, which had been adjusted because the resources requested for the Integrated Management Initiative project had not been approved.\",\n \"Hospitality\",\n \"44. Maintenance of the revised appropriation level.\",\n \"General operating expenses\",\n \"45. The Working Group agreed with the amount requested under administration. The Working Group noted the increase in general operating expenses due to bank charges of $3 million. This represents an increase of approximately $500,000 over the previous biennium. The Working Group requested the Fund to review its banking mechanisms with a view to reducing those costs. A summary report should be provided in the next budget submission.\",\n \"Supplies and materials\",\n \"The Working Group supported the amount requested.\",\n \"Furniture and equipment\",\n \"47. The Working Group supported the amount requested, which had been adjusted because the resources requested for the Integrated Management Initiative project had not been approved.\",\n \"48. The above recommendations on non-post items for administration are summarized in table 3.\",\n \"Table 3 (Thousands of United States dollars)\",\n \"Other staff costs\",\n \"Travel 1,224.5\",\n \"Contractual services\",\n \"Hospitality 4.0\",\n \"General operating expenses\",\n \"Supplies and materials\",\n \"Furniture and equipment 2 011.0\",\n \"Total non-post resources 53 731.5\",\n \"Investment Management Division\",\n \"Other staff costs\",\n \"49. The Working Group recommended that the resources be appropriated at the revised appropriation level, adjusted as shown in table 2 for the additional requirements for two additional general temporary assistance positions (non-regular resources, 12 months for a P-4 Legal Officer and 24 months for a P-4 Accounting and Reporting Supervisor).\",\n \"50. In addition, the Working Group agreed with the Investment Management Division to establish a P-2 Risk and Compliance Implementation Analyst and a P-3 Static Data Manager within the overall resources approved under other staff costs (as shown in table 3).\",\n \"Consultants\",\n \"51. On the basis of a review of the total resources required for IPSAS, the Working Group recommended that the estimated requirements of $500,000 be reduced to $250,000. Accordingly, a provision of $1,177,000 (before recosting) is made under consultants.\",\n \"Travel\",\n \"52. The Working Group recommended that the revised appropriation be maintained.\",\n \"Contractual services\",\n \"53. Under contractual services, the Working Group does not currently support the amount of $11,250,000 requested to lead the Fund. The Working Group was of the view that allocating that amount would amount to a change in the investment strategy, but that such a change should be discussed at the Board session and clearly supported by the Investments Committee.\",\n \"54. In addition, the Working Group was informed that the recent contract for the services of the custodian/master record keeper had been negotiated at a lower than anticipated cost and therefore recommended a reduction of $4,138,300 in this expenditure.\",\n \"Hospitality\",\n \"55. The Working Group recommended that the revised appropriation be maintained.\",\n \"General operating expenses\",\n \"The Working Group agreed with the amount requested.\",\n \"Supplies and materials\",\n \"57. The Working Group recommended that the revised appropriation be maintained.\",\n \"Furniture and equipment\",\n \"58. The Working Group recommended that the revised appropriation be maintained.\",\n \"59. The above recommendations on non-post items for the Investment Management Division are summarized in table 4.\",\n \"Table 4\",\n \"(Thousands of United States dollars)\",\n \"Other staff costs\",\n \"Travel\",\n \"Contractual services\",\n \"Hospitality 22.0\",\n \"General operating expenses\",\n \"Supplies and materials 160.0\",\n \"Furniture and equipment 700.0\",\n \"Total non-post resources\",\n \"Pension Board costs\",\n \"60. The Working Group fully supported the requested funding for the expenses of the Board.\",\n \"Extrabudgetary funds\",\n \"61. The Working Group supported the funding of one General Service (Other level) staff member funded by participating organizations.\",\n \"Discussions in the Board\",\n \"62. The Board noted with appreciation that the budget document had been submitted 90 days before the start of the General Assembly, as requested, allowing for a detailed review of the document by the Budget Working Group.\",\n \"63. The executive heads supported the outcome of the Working Group ' s work and welcomed the fact that the budget presentation was in compliance with International Public Sector Accounting Standard 24 and had been prepared within the time frame requested by the Board. The executive heads were concerned that the information provided in the proposed budget was inaccurate and complicated the analysis conducted by the Working Group and the Board ' s deliberations. The executive heads recommended that, where appropriate, the analysis should be thoroughly used. The executive heads also noted that the budgets approved for prior periods had not been fully spent.\",\n \"64. The governing bodies endorsed the recommendations of the Working Group. The governing bodies recommended that, at future sessions, documents should be submitted earlier, accompanied by an introductory statement by the principal official, in order to provide more comprehensive information for the deliberations of the Working Group.\",\n \"65. The participants ' group supported the recommendations made by the Working Group and noted that the asset-liability management studies recommended diversification of the assets of the Fund and sought investment in alternative assets. The participants group recalled the recommendations made at previous meetings of the General Assembly to exercise the utmost care. The participants group also recalled that budgetary constraints should not impede professional progress.\",\n \"66. The Federation of Associations of Former International Civil Servants supported the conclusions of the Working Group and expressed its appreciation to the Working Group.\",\n \"67. The Federation further noted that the reference base should be adjusted, where necessary, to take into account inflation and currency effects, and that, in a more economical environment, possible cost reductions should be sought in projects such as travel and information technology, and that the budget requested should be closely linked to strategic objectives. The potential impact of any change in the Integrated Pension Administration System on member organizations should be explained in advance as soon as possible.\",\n \"68. Board members also noted that:\",\n \"(a) The Fund should review the methodology used and assumptions made when preparing its budget for contractual services;\",\n \"(b) The table contained in the report of the budget working group showing the cost trends for each participant was useful as a model for further analysis by the Fund.\",\n \"69. The representative of the Secretary-General had submitted a note to the Board warning that the opportunity costs resulting from the loss of return on investment as a result of savings in investment management might go well beyond the apparent savings. As trustee for the Fund, the representative of the Secretary-General formally raised his concerns and concerns that the structural weaknesses of the Investment Management Division had led to an unacceptable risk that it would not be able to provide adequate returns in the future to support existing and anticipated liabilities.\",\n \"70. The CEO thanked the Working Group for its support of major projects, including IPAS and IPSAS. The Chief Executive Officer also referred to the diagram of the cost per participant set out in the report of the Working Group, further clarifying that each participant ' s cost increase was due to the fact that a project had been undertaken and that the cost per participant had decreased after the completion of the project. He cited, for example, the sudden increase in costs in 2004 as a result of the relocation of the Fund from the United Nations Secretariat building to 1 Dag Hammarskjöld Plaza, and the surge in 2012-2013 as a result of the establishment of the Integrated Pension Administration System, which included 17 temporary posts that would be abolished after the completion of the project.\",\n \"71. The Deputy Chief Executive Officer confirmed that the purpose and effectiveness of the target operating model related to the Integrated Pension Administration System project remained unchanged. The change is the location of the new information technology infrastructure required for the North American Data Centre project in New Jersey. Following the discovery of serious weaknesses in data centre 1 Dag Hammarskjöld Plaza, it was decided to install the information technology infrastructure of the project at the North American data centre. The Deputy Chief Executive Officer also noted that all the substantive teams within the Fund were involved in the project and that an Integrated Pension Administration System Steering Committee had been established. He confirmed that the project was expected to be completed within the budget as planned.\",\n \"Recommendations of the Board\",\n \"72. On the recommendation of the Working Group, the Pension Board approved for submission to the General Assembly the proposed budget estimates of $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Board costs ($204,400). Under the cost-sharing arrangement, $173,260,600 of that amount would be apportioned to the Pension Fund and $20,903,400 to the United Nations.\",\n \"73. In addition, the Board approved the use of $156,800 in extrabudgetary funds to process after-service health insurance payments at the request of some member organizations.\",\n \"Annex II\",\n \"United Nations Joint Staff Pension Fund: organization chart approved for the biennium 2010-2011\",\n \"[Chuckles]\",\n \"Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.\",\n \"(a) One extrabudgetary General Service (Other level) post is funded by member organizations.\",\n \"(b) Temporary posts authorized to participate in the IPAS project.\",\n \"^ (c) One of the two P-4 posts authorized for the biennium 2010-2011 for IMSS is authorized for only 12 months. This post was abolished in 2011 and the temporary P-4 post in IMSS was reduced to one.\",\n \"Annex III\",\n \"United Nations Joint Staff Pension Fund: proposed organization chart for the biennium 2012-2013\",\n \"[Chuckles]\",\n \"Abbreviations: ASG, Assistant Secretary-General; OL, Other level; PL, Principal level.\",\n \"(a) One extrabudgetary General Service (Other level) funded by member organizations.\",\n \"(b) Temporary posts authorized to participate in the IPAS project.\",\n \"Annex IV\",\n \"United Nations Joint Staff Pension Fund: number of participants by member organization as at 31 December 2010\",\n \"[TABLE]\",\n \"(a) The number of United Nations participants decreased by two in 2006, from 68,855 to 68,853.\",\n \"(b) The General Agreement on Tariffs and Trade withdrew from the United Nations Joint Staff Pension Fund on 31 December 1998.\",\n \"(c) The International Criminal Court has been the twentieth member organization of the Fund since 1 January 2004.\",\n \"(d) The Inter-Parliamentary Union became the twenty-first member organization of the Fund as from 1 January 2005.\",\n \"(e) The International Organization for Migration has been the twenty-second member organization of the Fund since 1 January 2007.\",\n \"(f) The Special Tribunal for Lebanon became the twenty-third member organization of the Fund as from 1 January 2009.\",\n \"[1] It is estimated that during the biennium 2012-2013, more than 55,400 new participants are expected to be processed for entry, separation and access to the accounts of the Fund; this relates to specific and measurable tasks undertaken by the Department, an 80 per cent increase over the biennium 1998-1999.\",\n \"[2] The total annuity value of additional periodic benefits to be paid and the annual cash settlement calculated, validated and paid by the Operations Branch are estimated to be close to $1 billion over a period of approximately 30 years.\"\n]"}}},{"rowIdx":83,"cells":{"clean_zh":{"kind":"list like","value":["大 会 安全理事会","第六十五届会议 第六十六年","议程项目43","塞浦路斯问题","2011年8月4日塞浦路斯常驻联合国代表给秘书长的信","奉我国政府指示并继我2011年7月7日给你的信(A/65/901-S/2011/424)之后，谨提请你注意2011年6月1日至7月28日期间记录的土耳其空军军用飞机连续违反国际空中交通管制条例并侵犯塞浦路斯共和国领空的行为，情况如下：","2011年6月1日，土耳其6架F-16、两架CN-235、1架美洲狮和1架C-160型军用飞机七次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。","2011年6月2日，土耳其1架美洲狮型军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。","2011年6月3日和4日，土耳其两架美洲狮型军用飞机、1架CN-235型军用飞机和1架C-160型军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。","2011年6月6日，土耳其两架F-16、4架F-4和4架美洲狮型军用飞机八次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。","2011年6月7日，土耳其4架F-4和两架CN-235型军用飞机三次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。","2011年6月8日，土耳其1架B-200、1架C-160、1架C-130型和1架美洲狮型军用飞机七次违反国际空中交通管制条例和七次侵犯塞浦路斯共和国领空。","2011年6月9日，土耳其8架美洲狮型军用飞机组成两个编队四次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。","2011年6月11日和13日，土耳其3架美洲狮、1架CN-235和1架B-200型军用飞机六次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。","2011年6月14日，土耳其4架美洲狮和1架CN-235型军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。","2011年6月15日，土耳其1架C-160、1架CN-235、6架美洲狮型以及1架机型不明的军用飞机十次违反国际空中交通管制条例并九次侵犯塞浦路斯共和国领空。","2011年6月16日，土耳其两架F-16、两架C-160、两架CN-235和1架美洲狮型军用飞机八次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。","2011年6月17日、18日和19日，土耳其两架美洲狮、两架C-130和1架CN-235型军用飞机八次违反国际空中交通管制条例并八次侵犯塞浦路斯共和国领空。","2011年6月21日，土耳其1架CN-235、1架美洲狮和一架型号不明的军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。","2011年6月22日，土耳其1架美洲狮军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年6月23日，土耳其两架美洲狮和两架CN-235型军用飞机五次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。","2011年6月25日，土耳其1架CN-235军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年6月28日，土耳其1架CN-235和两架F-16军用飞机两次违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。","2011年6月29日，土耳其1架美洲狮军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。","2011年6月30日，土耳其1架CN-235和两架F-16军用飞机两次违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。","2011年7月1日，土耳其1架美洲狮和1架CN-235军用飞机三次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。","2011年7月6日，土耳其1架CN-235军用飞机两次违反国际交通法规并两次侵犯塞浦路斯共和国领空。","2011年7月7日，土耳其1架CN-235和两架F-4军用飞机三次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年7月8日和9日，土耳其1架美洲狮、1架CN-235和两架C-130军用飞机六次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。","2011年7月12日，土耳其两架F-16和两架KC-135军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。","2011年7月13日，土耳其两架B-200和1架CN-235型美洲狮军用飞机三次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年7月15日，土耳其两架美洲狮军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年7月18日，土耳其10架NF-5、两架C-160和1架CN-235型军用飞机七次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。","2011年7月19日，土耳其1架C-650、1架C-208、两架美洲狮、1架CN-235、两架F-16和8架NF-5型军用飞机九次违反国际空中交通管制条例并九次侵犯塞浦路斯共和国领空。","2011年7月20日，土耳其1架C-208、两架美洲狮、1架CN-235和11架NF-5型军用飞机七次违反国际空中交通管制条例，并七次侵犯塞浦路斯共和国领空。","2011年7月21日，土耳其3架F-16、两架KC-135、1架C-650和1架CN-235型飞机四次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年7月22日，土耳其10架NF-5、两架C-160和1架CN-235型军用飞机七次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。","2011年7月25日，土耳其1架CN-235型军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。","2011年7月26日，土耳其两架F-16、两架美洲狮和两架CN-235型军用飞机六次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。","2011年7月27和28日，土耳其1架C-160、1架CN-235、1架B-200和3架美洲狮型军用飞机八次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。","2011年7月28日，土耳其1架美洲狮军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。","我谨代表塞浦路斯政府，强烈抗议土耳其持续违反国际空中交通管制条例以及侵犯塞浦路斯共和国领空的行为，并要求立即停止这种行为。","土耳其持续不断地侵犯塞浦路斯共和国主权和领土完整，明显违反了国际法和国际空中交通管制条例，严重威胁了地中海中部地区的国际航空安全。我呼吁土耳其政府遵守《联合国宪章》及其国际义务，并尊重塞浦路斯共和国的主权、独立和领土完整。","令人遗憾的是，虽然旨在寻求公正、持久与和平解决塞浦路斯问题的谈判正在进行，但土耳其的挑衅行为却有增无减。土耳其总理埃尔多安在最近对塞浦路斯被占领地区进行非法访问期间发表的最新言论，让我们丝毫不会怀疑土耳其对塞浦路斯的真正意图，而目前正值谈判的关键时刻，其讲话特别令人沮丧。我们再次呼吁土耳其，根据经安全理事会多项决议认可的这类解决方案的商定基础，顺应国际社会的呼吁，并本着建设性精神行事，以便切实可行地解决塞浦路斯问题。","请将本函作为大会议程项目43下的文件和安全理事会的文件分发为荷。","常驻代表","米纳斯·哈吉迈克尔(签名)"],"string":"[\n \"大 会 安全理事会\",\n \"第六十五届会议 第六十六年\",\n \"议程项目43\",\n \"塞浦路斯问题\",\n \"2011年8月4日塞浦路斯常驻联合国代表给秘书长的信\",\n \"奉我国政府指示并继我2011年7月7日给你的信(A/65/901-S/2011/424)之后，谨提请你注意2011年6月1日至7月28日期间记录的土耳其空军军用飞机连续违反国际空中交通管制条例并侵犯塞浦路斯共和国领空的行为，情况如下：\",\n \"2011年6月1日，土耳其6架F-16、两架CN-235、1架美洲狮和1架C-160型军用飞机七次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。\",\n \"2011年6月2日，土耳其1架美洲狮型军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。\",\n \"2011年6月3日和4日，土耳其两架美洲狮型军用飞机、1架CN-235型军用飞机和1架C-160型军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。\",\n \"2011年6月6日，土耳其两架F-16、4架F-4和4架美洲狮型军用飞机八次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。\",\n \"2011年6月7日，土耳其4架F-4和两架CN-235型军用飞机三次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。\",\n \"2011年6月8日，土耳其1架B-200、1架C-160、1架C-130型和1架美洲狮型军用飞机七次违反国际空中交通管制条例和七次侵犯塞浦路斯共和国领空。\",\n \"2011年6月9日，土耳其8架美洲狮型军用飞机组成两个编队四次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。\",\n \"2011年6月11日和13日，土耳其3架美洲狮、1架CN-235和1架B-200型军用飞机六次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。\",\n \"2011年6月14日，土耳其4架美洲狮和1架CN-235型军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。\",\n \"2011年6月15日，土耳其1架C-160、1架CN-235、6架美洲狮型以及1架机型不明的军用飞机十次违反国际空中交通管制条例并九次侵犯塞浦路斯共和国领空。\",\n \"2011年6月16日，土耳其两架F-16、两架C-160、两架CN-235和1架美洲狮型军用飞机八次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。\",\n \"2011年6月17日、18日和19日，土耳其两架美洲狮、两架C-130和1架CN-235型军用飞机八次违反国际空中交通管制条例并八次侵犯塞浦路斯共和国领空。\",\n \"2011年6月21日，土耳其1架CN-235、1架美洲狮和一架型号不明的军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。\",\n \"2011年6月22日，土耳其1架美洲狮军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年6月23日，土耳其两架美洲狮和两架CN-235型军用飞机五次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。\",\n \"2011年6月25日，土耳其1架CN-235军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年6月28日，土耳其1架CN-235和两架F-16军用飞机两次违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。\",\n \"2011年6月29日，土耳其1架美洲狮军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。\",\n \"2011年6月30日，土耳其1架CN-235和两架F-16军用飞机两次违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。\",\n \"2011年7月1日，土耳其1架美洲狮和1架CN-235军用飞机三次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。\",\n \"2011年7月6日，土耳其1架CN-235军用飞机两次违反国际交通法规并两次侵犯塞浦路斯共和国领空。\",\n \"2011年7月7日，土耳其1架CN-235和两架F-4军用飞机三次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年7月8日和9日，土耳其1架美洲狮、1架CN-235和两架C-130军用飞机六次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。\",\n \"2011年7月12日，土耳其两架F-16和两架KC-135军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。\",\n \"2011年7月13日，土耳其两架B-200和1架CN-235型美洲狮军用飞机三次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年7月15日，土耳其两架美洲狮军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年7月18日，土耳其10架NF-5、两架C-160和1架CN-235型军用飞机七次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。\",\n \"2011年7月19日，土耳其1架C-650、1架C-208、两架美洲狮、1架CN-235、两架F-16和8架NF-5型军用飞机九次违反国际空中交通管制条例并九次侵犯塞浦路斯共和国领空。\",\n \"2011年7月20日，土耳其1架C-208、两架美洲狮、1架CN-235和11架NF-5型军用飞机七次违反国际空中交通管制条例，并七次侵犯塞浦路斯共和国领空。\",\n \"2011年7月21日，土耳其3架F-16、两架KC-135、1架C-650和1架CN-235型飞机四次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年7月22日，土耳其10架NF-5、两架C-160和1架CN-235型军用飞机七次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。\",\n \"2011年7月25日，土耳其1架CN-235型军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。\",\n \"2011年7月26日，土耳其两架F-16、两架美洲狮和两架CN-235型军用飞机六次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。\",\n \"2011年7月27和28日，土耳其1架C-160、1架CN-235、1架B-200和3架美洲狮型军用飞机八次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。\",\n \"2011年7月28日，土耳其1架美洲狮军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。\",\n \"我谨代表塞浦路斯政府，强烈抗议土耳其持续违反国际空中交通管制条例以及侵犯塞浦路斯共和国领空的行为，并要求立即停止这种行为。\",\n \"土耳其持续不断地侵犯塞浦路斯共和国主权和领土完整，明显违反了国际法和国际空中交通管制条例，严重威胁了地中海中部地区的国际航空安全。我呼吁土耳其政府遵守《联合国宪章》及其国际义务，并尊重塞浦路斯共和国的主权、独立和领土完整。\",\n \"令人遗憾的是，虽然旨在寻求公正、持久与和平解决塞浦路斯问题的谈判正在进行，但土耳其的挑衅行为却有增无减。土耳其总理埃尔多安在最近对塞浦路斯被占领地区进行非法访问期间发表的最新言论，让我们丝毫不会怀疑土耳其对塞浦路斯的真正意图，而目前正值谈判的关键时刻，其讲话特别令人沮丧。我们再次呼吁土耳其，根据经安全理事会多项决议认可的这类解决方案的商定基础，顺应国际社会的呼吁，并本着建设性精神行事，以便切实可行地解决塞浦路斯问题。\",\n \"请将本函作为大会议程项目43下的文件和安全理事会的文件分发为荷。\",\n \"常驻代表\",\n \"米纳斯·哈吉迈克尔(签名)\"\n]"},"clean_en":{"kind":"list like","value":["General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda item 43 \n Question of Cyprus","Letter dated 4 August 2011 from the Permanent Representative of Cyprus to the United Nations addressed to the Secretary-General","Upon instructions from my Government and further to my letter dated 7 July 2011 addressed to you (A/65/901-S/2011/424), I have the honour to draw your attention to ongoing violations of the international air traffic regulations and the national airspace of the Republic of Cyprus by military aircraft of the Turkish Air Force, recorded from 1 June to 28 July 2011, as follows.","On 1 June 2011, six F-16, two CN-235, one Cougar and one C-160 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus three times.","On 2 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On 3 and 4 June 2011, two Cougar, one CN-235 and one C-160 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.","On 6 June 2011, two F-16, four F-4 and four Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.","On 7 June 2011, two F-4 and two CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.","On 8 June 2011, one B-200, one C-160, one C-130 and one Cougar Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 9 June 2011, eight Cougar Turkish military aircraft coming in two formations violated international air traffic regulations four times and the national airspace of the Republic of Cyprus four times.","On 11 and 13 June 2011, three Cougar, one CN-235 and one B-200 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus six times.","On 14 June 2011, four Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.","On 15 June 2011, one C-160, one CN-235, six Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations ten times and the national airspace of the Republic of Cyprus nine times.","On 16 June 2011, two F-16, two C-160, two CN-235 and one Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.","On 17, 18 and 19 June 2011, two Cougar, two C-130 and one CN-235 Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus eight times.","On 21 June 2011, one CN-235, one Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.","On 22 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 23 June 2011, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus four times.","On 25 June 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 28 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.","On 29 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On 30 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.","On 1 July 2011, one Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.","On 6 July 2011, one CN-235 Turkish military aircraft violated international traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 7 July 2011, one CN-235 and two F-4 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.","On 8 and 9 July 2011, one Cougar, one CN-235 and two C-130 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus five times.","On 12 July 2011, two F-16 and two KC-135 Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On 13 July 2011, two B-200 and one CN-235 Cougar Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.","On 15 July 2011, two Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 18 July 2011, ten NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 19 July 2011, one C-650, one C-208, two Cougar, one CN-235, two F-16 and eight NF-5 Turkish military aircraft violated international air traffic regulations nine times and the national airspace of the Republic of Cyprus nine times.","On 20 July 2011, one C-208, two Cougar, one CN-235 and eleven NF-5 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 21 July 2011, three F-16, two KC-135, one C-650 and one CN-235 violated international air traffic regulations four times and the national airspace of the Republic of Cyprus twice.","On 22 July 2011, ten NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 25 July 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 26 July 2011, two F-16, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus four times.","On 27 and 28 July 2011, one C-160, one CN-235, one B-200 and three Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus seven times.","On 28 July 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On behalf of my Government, I strongly protest the continuing violations by Turkey of international air traffic regulations and the national airspace of the Republic of Cyprus and call for their immediate cessation.","This relentless abuse by Turkey of the sovereignty and territorial integrity of the Republic of Cyprus clearly violates international law and air traffic regulations and puts the safety of international aviation in the Eastern Mediterranean at serious risk. I call upon the Turkish Government to abide by the Charter of the United Nations and its international obligations and respect the sovereignty, independence and territorial integrity of the Republic of Cyprus.","Regrettably, while negotiations aimed at finding a just, lasting and peaceful solution to the Cyprus problem are ongoing, Turkey’s provocative behaviour continues unabated. Turkish Prime Minister Erdoğan’s latest remarks, while on an illegal visit to the occupied areas of Cyprus, leave no room for doubt as to Turkey’s real intentions and are particularly disheartening at the current juncture in the negotiations. We call on Turkey, once again, to heed the call of the international community and engage constructively towards reaching a viable solution to the Cyprus problem, in accordance with the agreed basis for such a solution, endorsed by numerous Security Council resolutions.","I should be grateful if you would have the present letter circulated as a document of the General Assembly, under agenda item 43, and of the Security Council.","(Signed) Minas A. Hadjimichael"],"string":"[\n \"General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda item 43 \\n Question of Cyprus\",\n \"Letter dated 4 August 2011 from the Permanent Representative of Cyprus to the United Nations addressed to the Secretary-General\",\n \"Upon instructions from my Government and further to my letter dated 7 July 2011 addressed to you (A/65/901-S/2011/424), I have the honour to draw your attention to ongoing violations of the international air traffic regulations and the national airspace of the Republic of Cyprus by military aircraft of the Turkish Air Force, recorded from 1 June to 28 July 2011, as follows.\",\n \"On 1 June 2011, six F-16, two CN-235, one Cougar and one C-160 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus three times.\",\n \"On 2 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On 3 and 4 June 2011, two Cougar, one CN-235 and one C-160 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.\",\n \"On 6 June 2011, two F-16, four F-4 and four Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.\",\n \"On 7 June 2011, two F-4 and two CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.\",\n \"On 8 June 2011, one B-200, one C-160, one C-130 and one Cougar Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 9 June 2011, eight Cougar Turkish military aircraft coming in two formations violated international air traffic regulations four times and the national airspace of the Republic of Cyprus four times.\",\n \"On 11 and 13 June 2011, three Cougar, one CN-235 and one B-200 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus six times.\",\n \"On 14 June 2011, four Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.\",\n \"On 15 June 2011, one C-160, one CN-235, six Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations ten times and the national airspace of the Republic of Cyprus nine times.\",\n \"On 16 June 2011, two F-16, two C-160, two CN-235 and one Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.\",\n \"On 17, 18 and 19 June 2011, two Cougar, two C-130 and one CN-235 Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus eight times.\",\n \"On 21 June 2011, one CN-235, one Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.\",\n \"On 22 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 23 June 2011, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus four times.\",\n \"On 25 June 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 28 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.\",\n \"On 29 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On 30 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.\",\n \"On 1 July 2011, one Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.\",\n \"On 6 July 2011, one CN-235 Turkish military aircraft violated international traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 7 July 2011, one CN-235 and two F-4 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.\",\n \"On 8 and 9 July 2011, one Cougar, one CN-235 and two C-130 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus five times.\",\n \"On 12 July 2011, two F-16 and two KC-135 Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On 13 July 2011, two B-200 and one CN-235 Cougar Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.\",\n \"On 15 July 2011, two Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 18 July 2011, ten NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 19 July 2011, one C-650, one C-208, two Cougar, one CN-235, two F-16 and eight NF-5 Turkish military aircraft violated international air traffic regulations nine times and the national airspace of the Republic of Cyprus nine times.\",\n \"On 20 July 2011, one C-208, two Cougar, one CN-235 and eleven NF-5 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 21 July 2011, three F-16, two KC-135, one C-650 and one CN-235 violated international air traffic regulations four times and the national airspace of the Republic of Cyprus twice.\",\n \"On 22 July 2011, ten NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 25 July 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 26 July 2011, two F-16, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus four times.\",\n \"On 27 and 28 July 2011, one C-160, one CN-235, one B-200 and three Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 28 July 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On behalf of my Government, I strongly protest the continuing violations by Turkey of international air traffic regulations and the national airspace of the Republic of Cyprus and call for their immediate cessation.\",\n \"This relentless abuse by Turkey of the sovereignty and territorial integrity of the Republic of Cyprus clearly violates international law and air traffic regulations and puts the safety of international aviation in the Eastern Mediterranean at serious risk. I call upon the Turkish Government to abide by the Charter of the United Nations and its international obligations and respect the sovereignty, independence and territorial integrity of the Republic of Cyprus.\",\n \"Regrettably, while negotiations aimed at finding a just, lasting and peaceful solution to the Cyprus problem are ongoing, Turkey’s provocative behaviour continues unabated. Turkish Prime Minister Erdoğan’s latest remarks, while on an illegal visit to the occupied areas of Cyprus, leave no room for doubt as to Turkey’s real intentions and are particularly disheartening at the current juncture in the negotiations. We call on Turkey, once again, to heed the call of the international community and engage constructively towards reaching a viable solution to the Cyprus problem, in accordance with the agreed basis for such a solution, endorsed by numerous Security Council resolutions.\",\n \"I should be grateful if you would have the present letter circulated as a document of the General Assembly, under agenda item 43, and of the Security Council.\",\n \"(Signed) Minas A. Hadjimichael\"\n]"},"record":{"kind":"string","value":"A_65_923"},"zh2en":{"kind":"list like","value":["General Assembly Security Council","Sixty-fifth session Sixty-sixth year","Agenda item 43","Question of Cyprus","Letter dated 4 August 2011 from the Permanent Representative of Cyprus to the United Nations addressed to the Secretary-General","Upon instructions from my Government and further to my letter dated 7 July 2011 addressed to you (A/65/901-S/2011/424), I have the honour to draw your attention to continuing violations of international air traffic regulations and the national airspace of the Republic of Cyprus by military aircraft of the Turkish Air Force, recorded for the period from 1 June to 28 July 2011, as follows:","On 1 June 2011, six F-16, two CN-235, one Cougar and one C-160 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus three times.","On 2 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On 3 and 4 June 2011, two Cougar Turkish military aircraft, one CN-235 and one C-160 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.","On 6 June 2011, two F-16, four F-4 and four Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.","On 7 June 2011, four F-4 and two CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.","On 8 June 2011, one B-200, one C-160, one C-130 and one Cougar Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 9 June 2011, eight Cougar Turkish military aircraft in two formations violated international air traffic regulations four times and the national airspace of the Republic of Cyprus four times.","On 11 and 13 June 2011, three Cougar, one CN-235 and one B-200 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus six times.","On 14 June 2011, four Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.","On 15 June 2011, one C-160, one CN-235, six Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations ten times and the national airspace of the Republic of Cyprus nine times.","On 16 June 2011, two F-16, two C-160, two CN-235 and one Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.","On 17, 18 and 19 June 2011, two Cougar, two C-130 and one CN-235 Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus eight times.","On 21 June 2011, one CN-235, one Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.","On 22 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 23 June 2011, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus four times.","On 25 June 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 28 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.","On 29 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On 30 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.","On 1 July 2011, one Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.","On 6 July 2011, one CN-235 Turkish military aircraft violated international traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 7 July 2011, one CN-235 and two F-4 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.","On 8 and 9 July 2011, one Cougar, one CN-235 and two C-130 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus five times.","On 12 July 2011, two F-16 and two KC-135 Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On 13 July 2011, two B-200 and one CN-235 Cougar Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.","On 15 July 2011, two Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 18 July 2011, 10 NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 19 July 2011, one C-650, one C-208, two Cougar, one CN-235, two F-16 and eight NF-5 Turkish military aircraft violated international air traffic regulations nine times and the national airspace of the Republic of Cyprus nine times.","On 20 July 2011, one C-208, two Cougar, one CN-235 and 11 NF-5 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 21 July 2011, three F-16, two KC-135, one C-650 and one CN-235 Turkish aircraft violated international air traffic regulations four times and the national airspace of the Republic of Cyprus twice.","On 22 July 2011, 10 NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.","On 25 July 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.","On 26 July 2011, two F-16, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus four times.","On 27 and 28 July 2011, one C-160, one CN-235, one B-200 and three Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus seven times.","On 28 July 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.","On behalf of the Government of Cyprus, I strongly protest the continuing violations of international air traffic regulations and the national airspace of the Republic of Cyprus by Turkey and call for their immediate cessation.","The continuing violation by Turkey of the sovereignty and territorial integrity of the Republic of Cyprus is a clear violation of international law and international air traffic regulations and a serious threat to international aviation security in the central Mediterranean region. I call on the Government of Turkey to abide by the Charter of the United Nations and its international obligations and to respect the sovereignty, independence and territorial integrity of the Republic of Cyprus.","Regrettably, while negotiations aimed at finding a just, lasting and peaceful solution to the Cyprus problem are under way, Turkey ' s provocative actions have continued unabated. The latest statement made by Turkish Prime Minister Erdoğan during his recent illegal visit to the occupied part of Cyprus leaves us with no doubt as to the true intentions of Turkey towards Cyprus, which is particularly discouraging at this critical juncture in the negotiations. We reiterate our call on Turkey to respond to the call of the international community and to act in a constructive spirit on the agreed basis for such a settlement, as endorsed by numerous Security Council resolutions, in order to achieve a viable solution to the Cyprus problem.","I should be grateful if you would have the present letter circulated as a document of the General Assembly, under agenda item 43, and of the Security Council.","Permanent Representative","(Signed) Minas A. Hadjimichael"],"string":"[\n \"General Assembly Security Council\",\n \"Sixty-fifth session Sixty-sixth year\",\n \"Agenda item 43\",\n \"Question of Cyprus\",\n \"Letter dated 4 August 2011 from the Permanent Representative of Cyprus to the United Nations addressed to the Secretary-General\",\n \"Upon instructions from my Government and further to my letter dated 7 July 2011 addressed to you (A/65/901-S/2011/424), I have the honour to draw your attention to continuing violations of international air traffic regulations and the national airspace of the Republic of Cyprus by military aircraft of the Turkish Air Force, recorded for the period from 1 June to 28 July 2011, as follows:\",\n \"On 1 June 2011, six F-16, two CN-235, one Cougar and one C-160 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus three times.\",\n \"On 2 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On 3 and 4 June 2011, two Cougar Turkish military aircraft, one CN-235 and one C-160 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.\",\n \"On 6 June 2011, two F-16, four F-4 and four Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.\",\n \"On 7 June 2011, four F-4 and two CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.\",\n \"On 8 June 2011, one B-200, one C-160, one C-130 and one Cougar Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 9 June 2011, eight Cougar Turkish military aircraft in two formations violated international air traffic regulations four times and the national airspace of the Republic of Cyprus four times.\",\n \"On 11 and 13 June 2011, three Cougar, one CN-235 and one B-200 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus six times.\",\n \"On 14 June 2011, four Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.\",\n \"On 15 June 2011, one C-160, one CN-235, six Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations ten times and the national airspace of the Republic of Cyprus nine times.\",\n \"On 16 June 2011, two F-16, two C-160, two CN-235 and one Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.\",\n \"On 17, 18 and 19 June 2011, two Cougar, two C-130 and one CN-235 Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus eight times.\",\n \"On 21 June 2011, one CN-235, one Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.\",\n \"On 22 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 23 June 2011, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus four times.\",\n \"On 25 June 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 28 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.\",\n \"On 29 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On 30 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.\",\n \"On 1 July 2011, one Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.\",\n \"On 6 July 2011, one CN-235 Turkish military aircraft violated international traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 7 July 2011, one CN-235 and two F-4 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.\",\n \"On 8 and 9 July 2011, one Cougar, one CN-235 and two C-130 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus five times.\",\n \"On 12 July 2011, two F-16 and two KC-135 Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On 13 July 2011, two B-200 and one CN-235 Cougar Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.\",\n \"On 15 July 2011, two Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 18 July 2011, 10 NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 19 July 2011, one C-650, one C-208, two Cougar, one CN-235, two F-16 and eight NF-5 Turkish military aircraft violated international air traffic regulations nine times and the national airspace of the Republic of Cyprus nine times.\",\n \"On 20 July 2011, one C-208, two Cougar, one CN-235 and 11 NF-5 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 21 July 2011, three F-16, two KC-135, one C-650 and one CN-235 Turkish aircraft violated international air traffic regulations four times and the national airspace of the Republic of Cyprus twice.\",\n \"On 22 July 2011, 10 NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 25 July 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.\",\n \"On 26 July 2011, two F-16, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus four times.\",\n \"On 27 and 28 July 2011, one C-160, one CN-235, one B-200 and three Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus seven times.\",\n \"On 28 July 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.\",\n \"On behalf of the Government of Cyprus, I strongly protest the continuing violations of international air traffic regulations and the national airspace of the Republic of Cyprus by Turkey and call for their immediate cessation.\",\n \"The continuing violation by Turkey of the sovereignty and territorial integrity of the Republic of Cyprus is a clear violation of international law and international air traffic regulations and a serious threat to international aviation security in the central Mediterranean region. I call on the Government of Turkey to abide by the Charter of the United Nations and its international obligations and to respect the sovereignty, independence and territorial integrity of the Republic of Cyprus.\",\n \"Regrettably, while negotiations aimed at finding a just, lasting and peaceful solution to the Cyprus problem are under way, Turkey ' s provocative actions have continued unabated. The latest statement made by Turkish Prime Minister Erdoğan during his recent illegal visit to the occupied part of Cyprus leaves us with no doubt as to the true intentions of Turkey towards Cyprus, which is particularly discouraging at this critical juncture in the negotiations. We reiterate our call on Turkey to respond to the call of the international community and to act in a constructive spirit on the agreed basis for such a settlement, as endorsed by numerous Security Council resolutions, in order to achieve a viable solution to the Cyprus problem.\",\n \"I should be grateful if you would have the present letter circulated as a document of the General Assembly, under agenda item 43, and of the Security Council.\",\n \"Permanent Representative\",\n \"(Signed) Minas A. Hadjimichael\"\n]"}}},{"rowIdx":84,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程[1] 项目69(b)","促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径","受教育的权利","秘书长的说明","秘书长谨根据人权理事会第8/4和第17/3号决议向大会转交受教育权利特别报告员基肖·辛格的中期报告。","受教育权利特别报告员的中期报告","摘要","这份报告是根据人权理事会第8/4和第17/3号决议提交的，专门介绍国内资助基础教育问题。报告详细介绍了教育筹资的人权义务和国家法律框架的实际范例，以确保国内筹资。报告还根据大会第64/290号决议，补充介绍紧急情况下教育的情况。特别报告员强调，紧急情况下对教育的关注和筹资仍然不足，不当，呼吁更多地投资于预防工作，更好地保护武装冲突期间的教育。","目录","页次\n1.导言 4\n2.基础教育筹资 4\nA.资助教育的人权义务 5\nB.资助基础教育的国家法律框架 8\nC.需要进一步考虑的关切点 10\nD.结论和建议 11\n3.关于紧急情况中的受教育权利的最新情况 12\nA.确保为紧急状况中的教育提供政治和财政支助 13\nB.保护教育免受攻击 15\nC.使教育系统作好准备应对自然灾害 16\nD.确保关注女童和边缘化群体 17\nE.在所有级别确保高质教育 18\nF.收集有关紧急状况下教育的信息 19\nG.结论和建议 20","一. 导言","1. 这份报告是根据人权理事会第8/4和第17/3号决议提交的。报告介绍国家关于公共资助基础教育的义务，确保国内资助公共教育的法律框架的重要性。报告还根据大会第64/290号决议，补充介绍紧急情况下教育的情况。","2. 继由人权理事会任命后，基肖·辛格在2010年8月担任特别报告员。此后，2011年6月他向人权理事会第十七届会议报告工作。在其第一次报告中，他概述了任务期间考虑的优先领域，详细介绍确保教育机会平等方面的国家义务。还报告了2011年1月我访问第一个国家——塞内加尔——的情况。[2]","3. 在其工作第一年，特别报告员参加若干公共教育活动，致力于建立与各国、国际组织和非政府组织的合作。特别报告员最近参加了经济及社会理事会两次区域筹备会议，一次是3月在泰国举行，一次是4月在多哥举行。7月，特别报告员参加了侧重教育方面国际商定目标和承诺的经社理事会实质性会议上高级别会议期间举行的年度部长级审查。","二. 基础教育筹资","4. 受教育权利是国际公认的权利，提供充足财政资源是落实权利所必不可少的。《世界人权宣言》第26条承认受教育权利，表明其应当免费，至少在初级和基础阶段。自《世界人权宣言》通过以来，各国通过各种人权文书[3] 承诺履行受教育权利的国际法律义务，并承担责任，提供实现这一目标所需的资源。","5. 然而，资源约束仍然是实现受教育权利的一个主要障碍。实现千年发展目标2(确保到2015年，世界各地儿童，不论男女，都能完成小学全部课程)和3(不迟于2015年，消除各级教育中的性别差距)的前景因资源匮乏而暗淡。2010年大会关于千年发展目标的高级别全体会议强调，需要扩大预算，提供更多资源，加速实现教育目标。[4] 近年来的《全民教育全球监测报告》一直指出教育经费不足现象。最近，全球金融危机后，削减公共开支，可能减少对教育部门的支持，危及最新进展。[5] 例如，18个低收入国家中的7个，在2009年减少了教育支出，仅这些国家的学校，就有370万儿童失学。[6]","6. 为克服资源限制，实现受教育权利，实现国际商定目标，如千年发展目标和全民教育，报告回顾了关于国内资助基础教育的国家义务。列举了国家采用法律文书，确保足够的教育财政资源的范例。","A. 资助教育的人权义务","7. 按照国际人权条约，国家负责提供资源，确保享受人权。为享有受教育权利提供必要资源，则更为重要，因为享受受教育权利是行使所有其他人权的关键。这在公共投资中给予高度重视，无论个人，还是社会，均可受益。","8. 国家有义务确保提供充分的资源，克服制约因素，实现受教育权利，这在联合国人权条约机构通过的结论性意见中一直有所体现。经济、社会和文化权利委员会及儿童权利委员会经常表示关注，由于国家教育投资不足，导致教育水准下降，建议增加教育部门的资源分配。消除对妇女歧视委员会还系统地敦促各国作为一项基本人权和赋予妇女权力，增加基础教育投资。人权理事会普遍定期审议建议增加教育投资，这进一步证实了人们广泛承认，资助教育是履行人权义务的中心。[7]","9. 承诺资助教育，也是国际劳工组织(劳工组织)/联合国教育、科学及文化组织(教科文组织)关于教师地位的建议(1966年)的内容，其中承认所有国家需要高度重视在国家预算中，为国家教育事业发展拨出足够比例的国民收入。[8] 事实上，受教育权利是教科文组织机构使命的组成部分，成员国有义务为实现这一目标提供必要的资源。","1. 确保逐步实现，避免出现倒退","10. 逐步实现经济、社会和文化权利(包括受教育权利)的概念承认，实现这些权利，往往需要时间。这也意味着，须采取措施，促进履行权利，以确保在全国持续普及这项权利。提到逐步实现受教育权利时，经济、社会和文化权利委员会强调，《经济、社会化文化国际公约》缔约国有特定、持续的义务，“为尽快和尽可能有效地”充分实现这一权利。公约还强调，“不允许有任何倒退措施”。[9] 从这个意义上，支持教育的同时，必须考虑到要确保教育部门逐步扩大。","11. 联合国各人权条约机构对经济危机可能给享受人权方面产生影响表示关切。经济和社会权利委员会具体表示，“即使在因调整过程，因经济衰退，或因其他因素引起的严重资源制约之时，社会上弱势成员也可以，而且必须得到相对低成本、具有针对性的方案的保护。”[10] 最近，人权理事会通过一项决议，呼吁会员国，强调全球经济和金融危机不应减少国家主管部门实现人权的责任。[11]","2. 履行核心义务","12. 国家有义务优先满足《经济、社会和文化权利国际公约》确认的、“每项权利最低限度的基本水平”，也称“最低限度的核心义务”，这有立竿见影的效果。有关受教育权利的核心义务包括，除其他外，根据第13.2(a)条，为所有学生提供免费小学教育的义务，采取和执行国家教育战略、包括拨款提供中等教育、高等教育和基础教育的核心义务。[12] “公约”第14条进一步强调到核心权利是：采纳行动计划，争取在合理时间内逐步实施接受免费初等义务教育的权利。","3. 确保提供尽可能多的资源","13. 《经济、社会和文化权利国际公约》、[13] 《儿童权利公约》[14] 和《残疾人权利公约》[15] 都明确表示，缔约国有义务提供尽可能多的资源，确保享受人权。","14. 经济、社会和文化权利委员会在其关于缔约国义务的一般性意见中强调，即使在现有的资源不足以实现经济和社会权利情况下，缔约国仍有义务努力确保在当时情况下，尽可能广泛地享有这些权利，监督其实现程度，制定推广战略和方案。[16] 此处的资源是指财政资源，但不专指财政资源。","4. 提供国际援助和合作","15. 根据《经济、社会和文化权利国际公约》，各国有义务单独和通过国际援助和合作采取措施，尽可能利用现有资源，逐步实现这些权利。经济、社会和文化权利委员会强调了国际社会对资助受教育权利的具体义务。[17] 同时，需要国际援助的国家必须根据人权规范和标准寻求和管理援助。","16. 凭借国际团结原则，最不发达国家面临着严重的财政困难，值得优先得到国际援助。发展伙伴必须向这些国家提供“财政和技术支持”，“实现国家教育计划和方案，包括在农村和偏远地区普及教育”。最不发达国家需要加强国民教育体系。[18]","17. 关于国际援助的若干政治宣言强调，受援国必须妥当管理国内现有资源，增强发展努力的可持续性。例如，通过巴黎援助效益宣言(2005)，伙伴国家承诺“加紧调动国内资源，加强财政的可持续性，为公共和私人投资创造有利环境。”[19] 同样，国际发展筹资会议上秘书长发起的《全球契约》(2002年)规定，如果发展中国家改善治理，取得成果，捐助者将拿出必要的资金，实现千年发展目标。[20] “全民教育快车道倡议”是国际教育援助的最重要的机制，旨在协助各国实现千年发展目标2和全民教育目标，并尤其注重受援国妥当管理国内资源。","18. 最近，2006年，参与发展援助的国家和国际组织建立了创新融资发展领导小组，制定更多的国际融资机制，促进全球发展。作为该倡议的一部分，设立了创新教育筹资国际工作队，正在讨论若干替代方法，增加教育经费，[21] 包括调动国内资源，以及国际援助。[22]","5. 相关的全球政治承诺","19. 许多国际宣言写有资助小学教育的承诺，这也是重大的全球运动的核心。在世界教育论坛(2000年)上，各国政府以及其他利益相关者承诺拟定战略，特别是“调集强大的国家和国际上的全民教育政治承诺，制定国家行动计划，大幅度增加基础教育的投资。[23] 这些承诺包括，“政治意愿必须有资源来支撑”这一承诺。因此各国政府有责任提供国内资源，实现全民教育。普及教育是一项基本人权，被认为是“战略发展投资。”[24]","20. 千年发展目标也应用来重申人权条约中所表达的义务，因此，各国政府有责任提供财政资源用于教育。千年发展目标2反映了确保普及小学教育的义务，包括确保不得用直接或间接学费来剥夺儿童接受教育权利的义务。千年发展目标3反映了确保各级教育两性均等的义务，包括为此提供财政资源的义务。","B. 资助基础教育的国家法律框架","21. 各国有义务把资助教育的国际义务纳入国内法。国家宪法、立法和教育政策规定用于教育的公共资金，是履行义务，实现受教育权利的关键。特别报告员认为，通过国家教育经费的法律框架，能够表示对受教育权利的重视和优先考虑。","22. 在全民教育进程中通过法律改革，可以目睹国家法律框架内受基础教育的权利与受初级教育的权利一并出现。因此，各国承认有义务保证基础教育的普及。例如，2009年英联邦政府首脑会议呼吁所有英联邦国家为基础教育投入更多资源。[25]","1. 宪法规定","23. 宪法规定教育经费，这为制定国家立法和教育政策奠定了坚实基础。一些国家对确定最低限度教育投资定有不同的标准，但都有宪法规定。","24. 一些国家的宪法规定了必须拿出税收收入的一定比例，用作最低水平的教育资源。巴西宪法第212条规定，“联邦每年使用不低于18%的税收，各州、联邦区、县至少使用25%的税收，包括汇款收入，用于维护和发展教育。”","25. 其他国家的宪法确定整个国家预算中教育所占的最低份额。2002年修订的印度尼西亚宪法第31条⑷规定，“国家预算和地区预算至少20%应优先用于教育，以满足国民教育的需求”。","26. 其他国家宪法使用国内生产总值来计算教育所需的最低限度的支持。厄瓜多尔2008年宪法规定，公共教育开支应占国内生产总值的6%。哥斯达黎加1997年宪法载有类似的规定。","27. 最后，其他国家宪法规定优先投资教育的义务。埃塞俄比亚宪法规定，“国家有义务分配越来越多的资源，用于公共健康、教育和其他社会服务。”(第41条⑷)。同样，菲律宾和越南宪法规定，国家应优先投资教育。","2. 国家立法和预算拨款用于基础教育","28. 经济、社会和文化权利委员会强调，以国家立法履行国家义务的重要性。[26] 许多国家的立法往往是在全民教育进程中拟定的，包含资助基础教育，制定最低限度财政支持和责任的重要规定。最近的事态发展可作为实际的例子，介绍如下。","29. 在南非，基础教育是一项宪法权利。1996年南非学校法规定，“根据宪法和本法，部长须与金融和财政委员会和财政部部长协商，确定资助公立学校的准则和最低标准”(第35条)。","30. 尼日利亚2004年《免费义务基础教育法》规定9年义务基础教育，建立普及基础教育委员会，负责实施受基础教育权利，并提供资源。普及基础教育方案经费来自2%的综合收入基金。","31. 阿根廷2007年《国民教育法》第26.206号规定，2010年教育资源增加额为国内生产总值的6%。该法规定了从五岁起享有义务教育的权利，直至完成中学教育(第16条)。","32. 墨西哥2003年《教育总法》规定，国民生产总值的8%分配给公共教育和教育服务(第25条)。据悉，这有助于增加对教育的支持。","33. 在印度，为基础教育提供资金的政策源自国家立法，例如正在采取措施，实施2009年《儿童免费义务教育法》。制定这一框架后，国家五年计划中的教育开支大量增加。","34. 塞内加尔1991年关于国家教育政策的第91-22号法得到2004年第2004-37号法修订，规定6至16岁所有儿童享受义务教育，所有公立学校免费。据报道，承认提供教育的义务后，国家教育投资增至占近40%的国家预算。","35. 肯尼亚通过了2001年《儿童法》和21世纪教育战略，强调普及小学教育的核心承诺。据报道，做出承诺后，教育资源分配显著增加。","36. 中国2006年修订了《义务教育法》，规定了9年基础教育。该法保证，基础教育由国务院和地方人民政府资助。中国的中期和长期教育改革和发展国家计划(2010-2020年)承认，“筹资教育是一个基础性、战略性的投资。”计划到2012年，公共教育开支将占国内生产总值的4%。","37. 一些法律框架把资助责任下放给地方实体。冰岛2008年第19号义务教育法规定，市政府负责义务教育的资本投资费用。泰国1999年《国民教育法》授权邦和地方机构酌情征收教育税。一些联邦制国家具体安排了联邦和各州当局的供资职权和责任。[27]","3. 为教育筹集补充资金","38. 法律文书能够为教育筹集补充资金。印度对所有中央税征收2%的教育税，为初等教育部门开拓了重要的资金来源。同样，上文提及的中国国家行动计划也拟议征收教育附加税，占增值税的3%，专门用于教育事业。通过此类特别征税计划筹集补充资金，对于增强预算供资至关重要。[28]","39. 通过对政府资助作出补充的制度性机制，地方机构、私人捐助者和社区可以用捐款来筹集补充资金，从而加强对基础教育的公共投资。例如，根据2001年教育基金法，坦桑尼亚教育署可以“代表该基金接受馈赠、捐赠、赠款或其他款项”。此外还存在其他的类似机制，例如印度的Bharatiya Shiksa Kosh(教育基金)和尼日利亚的教育税基金。必须确保所有这些制度性机制的工作方式充分尊重透明度和问责制。","40. 本报告仅限于集中讨论通过公共资源为教育融资的问题。然而，私营部门显然可以通过结成与政府公平分担责任的伙伴关系，在提供教育方面对国家的教育举措构成补充。[29] 但是，应确保这种伙伴关系在全面遵守人权规范的法律框架之内开展运作，并与高质量教育的标准保持一致。","C. 需要进一步考虑的关切点","41. 如前所述，人权文书明确规定了国家资助教育的义务。将这些义务付诸实践要求采取一系列的法律和政策手段，以确保对教育的投资是可预见和可持续的，并确保可以随时使用和及时、适当地利用各种财政资源，以保证尽可能广泛地享有受教育的权利。采用为教育筹资的法律框架为促进问责制提供了一项重要工具，因为影响公共教育投资的行动可能会招致国内法律诉讼。[30]","42. 特别报告员在下文中列出了一些核心的关切点，在执行为基础教育筹资的法律文书的过程中值得进一步重视这些问题。","1. 为基础教育获取充足的财政资源","43. 为了克服全民教育议程所面临的资源限制，全民教育问题高级别小组主张应确保国家预算中用于教育的最低比例达到15%至20%，或占国内生产总值的4%至6%。[31] 如上所述，规定总公共开支中的一定比例或具体税种的收入必须专门用于教育的机制业已成功地增加了多个国家的教育供资。很显然，是否对这些机制的有效性逐步开展一次评估取决于特定国家的财政和预算政策机制的整体运作情况。","2. 确保充分利用教育资源","44. 尽管为教育分配尽可能多的国内资源至关重要，同样重要的是必须确保这些资源的有效和最佳利用。[32] 除了确保教育经费之外，保护受教育权的法律文书也可以进一步引导国家采取行动，履行人权义务，利用好划拨给教育的资源。","45. 考虑到确保普及小学教育的义务以及致力于千年发展目标和全民教育议程的承诺，应确保将初等教育和基础教育的公共资金投入当作优先事项。","46. 对教育财务管理的有效性进行评价，必须重视平等和不歧视的核心原则。向一个地区内的不同教育层次和区域分配资金时，必须考虑到现有的社会经济差距及其对于教育界的影响。此外，在通过次国家预算为教育供资的情况下，还要确保本地征收的财税收入的差异不会导致不同区域之间出现不平等状况。","47. 必须保证投入专门资金解决女孩、贫困人口、残疾人、种族和语言上的少数群体、移民及其他边缘群体和弱势群体被排斥于教育之外这一问题的根源。必须考虑采取克服重大教育障碍的具体措施，包括取消学费、为其他费用(如课本、校服和交通)提供补贴等。[33] 通过平等权利行动向这些群体提供财政支持的临时特别措施，可以在国际人权条约中找到规范的依据。[34] 必须特别注意在教育预算管理中体现透明度和问责制的原则。","3. 对教育质量作出回应","48. 最后，调整教育经费支出的框架必须首先考虑提高优质教育，认识到教育在人民生活中的中心地位以及优质教育的赋权作用。教育预算往往全部用于经常性开支(主要是教师的薪金)。不幸的是，教师的薪酬往往非常低，难以吸引合格的专业人员。[35] 对重要环节的投资(如开发教学材料、培训教员和改善工作条件)仍然受到忽视。特别报告员打算在有关优质教育的另一份专题报告中考察这个问题。","D. 结论和建议","49. 只有国家为教育提供必要的资源，并在一贯和可预见的基础上使其可用，各国才能履行保证受教育权的国际义务。为此，确保教育投入的国家法律和政策框架起到了至关重要的作用。这对于加速实现千年发展目标的可持续发展进程和推动全民教育议程向前发展也十分重要。教育确实是一个国家所能做出的最佳投资，值得在资源配置中享受最高的优先级。作为一项至关重要的全球公共商品，教育应享有全球领导人坚定的投资承诺。[36]","50. 本着这一精神，特别报告员提供了以下建议：","(a) 通过国内法律框架确保教育投资","51. 制订一部国家法律，并规定至少要保证不可或缺的最低水平的优质教育投入，实属十分必要。针对全民教育问题高级别小组一直强调的建议开展后续行动，并设立一项国际公认的准则(即至少为教育分配国民生产总值的4-6%或国家预算的15-20%)，对于为制定国家法律和政策框架奠定基础可能是有价值的。","(b) 制订增加资源分配的战略","52. 开拓资源分配和利用的新途径，对于各国而言至关重要。为加强教育投入作为国家优先事项的地位，与社会发展有关的各部委(社会福利部、儿童和妇女发展部、劳动部、卫生部等)都可以规定教育预算项目。与此同时，拓宽税基对于创造更多的预算资源也很重要。","(c) 提倡公开辩论和交流经验","53. 在预算分配方面，教育往往无法享有在国家一级应有的优先地位。为了确保教育得到优先关注，必须推动教育部长与财政部长和规划部长之间就确保教育投入最大化的必要步骤开展公共对话。各国之间就筹集教育经费的法律和政策框架交流思想和办法，将有助于国家主管部门通过比较来借鉴现有的经验和实际的范例，同时也有助于增进有关教育投入新途径的认识。","(d) 在为各国政府制订国家法律框架提供技术援助的过程中，要特别重视为基础教育筹措经费","54. 根据人权理事会第17/3号决议，应鼓励教科文组织和儿基会继续向会员国提供技术援助，协助各国制订国家立法并实现其现代化。在这一过程中，应强调为基础教育筹措经费的规定的重要性。","(e) 对教育质量作出回应","55. 用于优质教育的预算准备金非常稀缺，因为分配给教育的资源几乎全部用于经常性开支。在对教育质量作出回应方面需要一种范式的转变，而这依然是一项艰巨的挑战。","三. 关于紧急情况中的受教育权利的最新情况","56. 大会第64/290号决议请特别报告员在其提交大会第六十六届会议的下次临时报告中列入有关上任特别报告员2008年提交的紧急情况中教育权利报告(A/HRC/8/10)的最新资料，以便明确紧急情况中受教育权利方面的差距和余留挑战。","57. 2008年的报告将紧急情况定义为任何由自然灾害或武装冲突引发的危机，根据国际人道主义法的定义，这些紧急情况可能是国际性的(包括军事占领)，也可能是内部的，或者是冲突后局势。报告指出，确保适当的教育不仅是各国广泛承认的国家义务，而且对于防止突发事件、确保在建设和平与恢复工作中取得成功也是必不可少的。但是，报告强调指出，在紧急情况和重建进程中，教育往往被中断、被延迟甚至被剥夺。报告向各个国家、政府间组织和非政府组织提出了若干建议，应更好地保护教育，并确保将其纳入针对冲突和自然灾害开展的人道主义应急活动。","58. 这份最新情况说明分为六个部分，反映了第64/290号决议的内容和核心建议。每个部分都列出了在促进紧急情况中的受教育权利方面所面临的余留挑战，并列举了在过去三年中所取得的进展。第一部分集中讨论为紧急情况下的教育增加政治和财政支助的建议。第二部分涉及更好地保护学校免受攻击和确保问责制的建议。第三部分涉及让教育系统对自然灾害状况作出更佳准备的建议。第四部分涉及关注女孩和其他边缘群体的特定需求的建议。第五部分集中讨论确保紧急情况中的优质教育的建议。第六部分集中讨论改进在紧急情况下的教育数据的收集工作的必要性。","59. 由一批在紧急情况下的教育问题领域具有知识专长的国际组织和非政府组织牵头、通过合作协商进程拟订的一份详尽报告，[37] 为这份最新情况说明作出了贡献。特别报告员向所有为编制这份最新情况说明而共享资料或付出编撰努力的人们表示感谢。","A. 确保为紧急状况中的教育提供政治和财政支助","60. 仍有千百万人被剥夺了在紧急情况下受教育的权利。为保障这一基本权利，必须增强政治关注和可持续的财政支持。对紧急情况下受教育的权利缺乏足够的重视，仍在影响着实现千年发展目标和全民教育目标的前景。《2011年全民教育全球监测报告》强调指出，在受冲突影响的国家中，估计约有2 800万的小学适龄儿童目前失学，占全球失学儿童总数的42%。[38] 自然和人为灾害也威胁到教育：估计有8.75亿的学龄儿童生活在地震高风险区，还有数亿儿童面临着经常发生的洪涝灾害、山体滑坡、大风和火灾危害以及发生速度较缓的灾害。[39]","61. 大会第64/290号决议反映出，各国已经认识到，将确保实现受教育的权利作为人道主义援助和应急的一个不可或缺的组成部分具有十分的紧迫性。联合国系统内部的辩论和研究工作有助于揭示出《全民教育全球监测报告》所称的“隐藏的危机”。儿童权利委员会和大会分别于2008年和2009年举办了集中讨论这一主题的专题讨论日。","62. 提供人道主义援助的各个利益攸关方对于教育的更大重视和相互协调仍然是一个关键的问题。环球项目和机构间紧急教育网之间最近结成了合作伙伴关系，共同拟订一份伙伴协定，指导如何将优质教育纳入人道主义应急之中，这朝着推动人道主义界内部更加一致地专注于教育迈出了重要一步。传统上，恢复受教育的机会被排除在人道主义优先事项之外，但受紧急状况影响的家庭和年轻人仍将其视为一项优先事项。[40] 对受影响社区提出的需求作出回应是人道主义应急的重要组成部分之一，也是实施受教育的权利的关键。","63. 尽管国际社会和受紧急状况影响的社区越来越多地认识到紧急情况中的教育的重要性，但为此筹集的资金仍然十分有限。仅有少数捐助机构已将教育明确列入其人道主义政策的一部分。[41] 2011年《全民教育全球监测报告》强调指出，2009年，致力于在与冲突相关的紧急情况下提供教育的人道主义援助只占人道主义援助总额的2%。[42] 报告得出的结论是：","教育是人道主义援助制度的穷邻居，这方面不仅资金投入不足、完全不可预测，而且还受到短期行为的制约。教育面临着双重劣势：它占人道主义呼吁的比例很小，在得到资助的人道主义呼吁中所占的比例就更小了。[43]","64. 评价表明，一些需要教育经费的特别脆弱的国家被许多捐助方弃之不顾，因为捐助国显然更优先照顾那些与本国的安全优先事项挂钩的国家：向脆弱国家提供的官方发展援助高度集中，2008年向43个脆弱国家提供的官方发展援助中，51%的援助流向了六个受惠国，仅占脆弱国家人口总数的23%。[44]","65. 支持的变动是另一个值得关注的问题。正如上文指出的那样，财政支持的可持续性对于确保教育系统充分发挥作用是至关重要的。只能通过持续的金融支持让教育方案不间断地实施下去，才能实现这一点。由于在从人道主义应急到发展框架过渡的过程中缺乏可持续的支持和资助，在紧急情况发生后会错过许多重要的机会。在此背景下，值得强调的是还必须进一步投资于受援国的国家规划和信息系统。[45]","66. 全民教育快车道倡议正在努力增加对脆弱国家的支持，但迄今为止，该倡议还不具备在特别紧急的情况下提供融资的能力。[46] 除双边支持外，还有许多为紧急情况下的教育提供资金的补充融资方式，但这些方式仍明显不足。","67. 特别报告员强调，紧急情况并不能免除国家采取一切适当措施确保本国领土上的所有人(包括非国民、境内流离失所者群体的难民)都能实现受教育权的义务。确保为初等教育提供财政支持以保证在紧急情况下仍可获得初等教育、以非歧视的方式提供中学教育、促成在能力的基础上接受高等教育的机会都不过是履行人权义务而已。","68. 考虑到受紧急状况影响的一些国家的脆弱性以及国际援助和合作在这种状况下的核心作用，必须铭记人权法确立了提供国际援助的义务。[47] 同样的承诺也反映在许多国际宣言中，包括世界教育论坛2000年通过的《达喀尔全民教育行动框架》。此外，如上所述，要求援助的国家也有义务根据人权原则寻求和管理外部援助。","B. 保护教育免受攻击","69. 对学校和高等教育机构的袭击违反人权和人道主义法。[48] 然而，秘书长最近报告说，对学校的袭击构成了严重的关切，并有增多的趋势。[49] 位于冲突区的许多教育机构仍然面临着不安全状况，对教育制度和学生造成了长期后果。","70. 研究表明，在过去三年中，在冲突局势下对教育机构发动袭击的数量持续增加，暴力行为十分广泛。[50] 这些事件包括伤害或杀害学生和学校工作人员，损坏或毁坏教育设施，最终造成成千上万的学生因学校或大学关闭而无法上学。国际教育学会的学者救援基金[51] 报告说，受到威胁的学者在2008-2011年期间提交的申请比上一个时期增加了一倍。在某些情况下，武装分子对学校的利用破坏了学校的民用性质，将学生和教师置于危险之中。[52]","71. 尽管监测机制仍存在缺陷，但人们注意到，国际社会越来越重视在紧急情况下袭击教育机构的状况。2010年，国际组织和非政府组织成立了一个保护教育机构免遭袭击全球联盟，推动共同努力，防止、应对和监控对教育机构的袭击。秘书长在他关于在武装冲突中的儿童的最新报告中介绍了这些情况。[53] 同样，负责儿童与武装冲突问题的秘书长特别代表重申了保护学校免受攻击的重要性，并强调“加强对此类罪行问责的机制是确保学校保持安全避风港与和平区地位的关键”。[54]","72. 特别报告员认为，必须加强监测机制的能力，监控那些卷入武装冲突的人针对教育系统发起袭击的状况，这对于防止不可见性和结束有罪不罚现象是必不可少的。在这方面，他表示欣见安理会最近通过的第1998(2011)号决议，该决议对学校受袭事件深表关切，并要求秘书长在其关于儿童和武装冲突问题的报告附件中列入相关资料，介绍对学校的经常性袭击以及对受保护的学校相关人员的袭击或袭击威胁。安全理事会的监察和报告机制在确定武装冲突中严重侵害儿童的行为方面业已发挥重要作用，持续重视和更多关注对学校的袭击对于保护受教育的权利而言至关重要。为进一步确保问责制，还必须进一步加强国内和国际司法系统的能力，以便起诉犯罪人，包括非国家行为者。","73. 除了确保追究袭击学校的责任之外，还必须作出有针对性的努力，以防止发生袭击学校和其他教育机构的事件，并使其对不安全状况作出防备，以便将武装冲突可能造成的损失降至最低。最后，还需要开展不懈的努力，协助受害者康复，并确保为这些与教育有关的侵犯行为支付适当的个人和集体赔偿。","C. 使教育系统作好准备应对自然灾害","74. 教育系统负责人一定不能忽视越来越多的自然灾害。学校不仅在帮助社区提高抗灾能力方面发挥至关重要的作用，还需要作好充分准备，尽可能减少自然灾害最终可能对其自身运作造成的危害。因此，需要在编制减少灾害风险整体战略时特别关注教育部门。与此同时，学校必须制定和采取适应其所面临的具体情况的系统安全和安保措施。","75. 学校的建造或维护工作往往不是为提高抗灾能力进行的。在世界各地与儿童进行的广泛磋商的结果是，最近编制了《减少灾害风险儿童宪章》，该宪章强调了学校安全和教育不被打断的需要。[55] 机构间紧急情况中教育网络为编制确保建造更安全学校和改造现有学校的必要步骤的指导说明进行了协调。[56] 需要作出重大努力，为更安全的教育基础设施标准建立技术能力，并确保其得到采纳，以避免地震或其他灾害夺走在不安全学校就学的大批儿童生命的悲剧。","76. 还注意利用学校作为增加学习者和教育工作人员为灾害及其后果开展的准备工作的平台。一些国家已将减少灾害风险的组成部分纳入他们的学校课程，[57] 其他国家考虑将减少灾害风险和适应气候变化作为国家的教育优先事项。[58]","77. 特别报告员强调，通过教育进行的在预防工作方面的投入对于保护他们援助的学校和社区免受自然灾害的影响至关重要。因此，教育系统必须积极参与风险管理战略的编制和实施。学校还必须通过其经常性的活动，促进在学生、工作人员及其所属社区中形成一种预防和备灾的文化。考虑到即使在同一地区的各个社区的风险和需求都大相径庭，需要确保通过一个学校所在社区参与的有意义的参与过程编制风险管理策略。","D. 确保关注女童和边缘化群体","78. 政府不能解决基于收入、性别、地点、族裔和语言的持续不平等问题是在实现全民教育目标[59] 以及千年发展目标方面进展有限的原因之一。在正常时期已经存在的上学的障碍，在紧急情况下其影响显然更大。上学的成本可能大大增加，并且学校和家庭之间的通勤往往变得非常困难和不安全，将那些贫困或更容易受到暴力侵害的儿童进一步排除在外。在这个意义上，确定边缘化群体并解决他们的具体需要的有针对性的措施对于避免扩大在教育方面的不平等是必要的。","79. 确保教育中的性别均等的工作在这方面尤其重要。已提请注意在冲突中普遍存在的性暴力伤害直接和间接影响女教师和女学生。[60] 前往学校、从学校离开的路上或在学校内的不安全状况似乎是将女童排除在教育系统之外的一个核心因素。在紧急学校缺乏独立的卫生设施也构成了女童教育的主要障碍。","80. 尽管在紧急情况下存在明显的资源限制，在这种情况下规划、实施和评估教育政策时忽视教育中的歧视和结构不平等的影响可能导致进一步的边缘化，并在某些情况下导致冲突的再次发生。","81. 难民和境内流离失所者在原籍社区之外寻求教育方面继续面临很大的障碍。联合国难民事务高级专员办事处在联合国正式难民营内收集到的数据显示，各个营地受教育的机会是有限和不均衡的——难民儿童的整体小学入学率是69%，而中学阶段的入学率只有30%。[61] 尽管各国有不加任何歧视地向居住在其领土上的所有儿童提供教育的人权义务，并且《公约》有与难民地位有关的规定，[62] 多个国家维持对难民和境内流离失所儿童入学的行政障碍。[63] 为长期流离失所状况下的项目提供短期资助威胁数千名难民和流离失所儿童的教育和进步。[64] 必须将在这些情况下的教育供资方面的差距作为优先事项加以处理，因为拒绝向这些人口提供教育会产生持久的影响。","82. 特别报告员在其向人权理事会提交的第一次报告(A/HRC/17/29)中已经强调，大多数人权条约都涉及到平等教育机会问题。人权条约规定国家有责任确保在公立教育机构和课程就读的权利不受歧视，并向所有人提供初等教育。","E. 在所有级别确保高质教育","83. 仅仅入学并不能保证受教育权利的行使，例如，在所提供的教育质量不符合适当的标准的情况下。在紧急时期所面临的资源限制并不是忽略确保高质量教育的基本要求的正当理由，这些要求包括合格教师的存在、适当教学材料的提供、充分的真实教学时间和经改善的课堂教学环境。","84. 各国、国际组织和民间社会继续通过机构间紧急情况中教育网络编制的材料，为改善在紧急情况下的高质教育提供指导。一个世界各地的紧急教育所涉利益攸关方参与的协商进程的结果是编制了《机构间紧急情况中教育网络教育工作最低标准：备灾、回应和复原》的更新版本，该标准提供有关确保高质量教育的必要步骤的重要政策指导。最近发布的机构间紧急情况中教育网络关于教与学的指导说明根据在紧急情况下工作的教育工作者积累的经验，提供了更具体的教学指导。","85. 如上所述，紧急教育和过渡方案资金的不足和短期性质大大影响消除严重缺陷的可能性，这导致教育质量十分低下。此外，仅仅侧重于小学教育的人道主义工作总体趋势限制了对早期儿童护理和发展以及中等教育和高等教育的投资。这种偏见极大地限制了学生进步的前景，并增加了培训教师方面面临的挑战。","86. 2011年全民教育全球监测报告介绍了确保受冲突影响或面临冲突风险的学生得到高质量教育方面的一些关键问题。这些问题包括，确保儿童可以学习自己的母语，尤其是在早期阶段；重新考虑历史和宗教的教学，使其展示对冲突敏感问题的不同视角；并促进非暴力的学校环境。","87. 识字、算术和生活技能(如疾病预防和冲突解决)的有效教学对于提高突发事件期间的应变能力至关重要。必须给予学校工作人员足够的激励并加强他们的能力，以使他们对学生的心理需求给予适当关注，为娱乐和表演活动使用资源和做出日程安排，并使受到严重影响的学生求助于额外的支持。","88. 提供学习成绩认证是在紧急情况下与教育质量有关的另一个值得关注的问题，特别是对于难民学校的学生。需要编制具体的战略，以确保即使在发生危机的时候，学生的成绩记录也能得到充分地监测、记录和确认。","F. 收集有关紧急状况下教育的信息","89. 在紧急情况下收集数据方面的限制继续影响整个人道主义工作。准确评估教育需求的能力不足限制了在紧急情况下准确制定和评估教育举措的可能性。如上所述，监测欠佳进一步导致在学校直接受到暴力威胁情况下缺乏能见度和随之而来的有罪不罚现象。","90. 2011年全民教育全球监测报告指出，冲突局势中的数据收集存在严重的局限性：“对陷入冲突的社区的需求评估是没有计划性的，即使考虑到与在受冲突影响地区进行调查有关的不可避免的限制也是如此。[65] 该报告还强调，捐助方评估往往低估教育部门的需求，因为他们的建议往往是为满足对捐助资金的较低期望提出的。[66] 对教科书供应、学时、在职教师培训等教育质量方面的需求评估的关注有限。中学教育对人力资源和基础设施的要求往往也被完全忽略。","91. 在紧急情况下收集信息需要具体的策略，以克服在这种情况下所面临的各种障碍。这些障碍可能包括艰难的后勤工作、人身的不安全性、在瞬息万变的环境中各种活动所涉及的政治和伦理问题，以及与流动人口和具有不寻常人口构成的群体合作的技术挑战。[67]","92. 全球教育专题工作组在2010年编制了联合教育需求评估工具包以及快速需求评估简要指南，以在紧急状况下提供有关数据收集的指导。工作组强调，需要通过界定一套核心指标进一步提高监测能力，包括指导融资要求估计所需的即将接触的儿童和青年的估计数字、年龄和性别概况、流离失所的模式、教育材料、教师和基础设施要求。[68]","G. 结论和建议","93. 如关于紧急状况下的教育的上次报告(A/HRC/8/10)中所述，对于受紧急状况影响的大多数社区，极为有限的接受教育的途径仍然是一个现实情况。尽管国际社会增加了关注，关键问题仍然存在：对人道主义活动的供资仍然忽视确保教育的需求；学校继续成为直接和间接暴力的受害者；面对自然灾害的更大影响，预防工作仍然不够积极。为了扭转目前的趋势，提供和输送人道主义和过渡援助的国家和其他实体在紧急情况下一定要更加重视教育。在紧急情况期间提供教育和确保教育受到保护不是一种选择，而是一种义务。","94. 在此方面，特别报告员提出了以下建议：","(a) 确保在紧急状况下为教育提供充分资金","95. 作为人道主义和过渡响应工作的支柱，各国必须紧急增加对教育的国家、双边和多边供资承诺。必须作出明确的政策承诺，以确保在紧急状况以及脆弱和持久危机的情况下对教育提供充足和可持续的国内和国际支持。这种承诺所涉的期间必须直至恢复的最后阶段，包括在发展框架中。受援国必须在寻求和管理国际援助的同时遵循有关人权的规定。","(b) 加强对学校的保护，使其免受袭击","96. 各国必须确保系统监测、记录和报告对教育界人员和教育机构和场地进行的侵犯国际人权和人道主义法的行为。必须遵循安全理事会最近通过的第1998(2011)号决议，在今后监测武装冲突中侵犯儿童权利情况的工作中更加关注教育情况。应充分了解国内、区域和国际问责机制(包括军事问责机制)，并系统落实国家和非国家行为体在教育权和其他保证向教育界人员和机构提供的法律保护方面的义务。需要开展具体工作，加强教育提供者预防和回应袭击的能力。","(c) 加强安全和减少灾害风险","97. 各国必须确保，在规划、设计、建造和重建教育设施时考虑到灾害风险和安全因素。应将减少灾害风险和备灾概念纳入教育政策和课程中。必须使用有学生和社区参加的参与性进程，以确保对当地的危险进行评估和备灾。","(d) 注意将女童和边缘化群体排除在外的情况","98. 各国必须采取具体措施，在紧急状况中保障女童和边缘化群体受到教育。需要开展具体工作，消除持续或新出现的歧视模式，并消除在紧急情况期间使不平等程度加深的实体、财政、文化和语言障碍。","(e) 确保高质量的教育","99. 那些负责在紧急状况中提供教育的机构必须考虑满足高质量教育标准的要求。必须特别注意改进学校的课程，促进人权教育并满足学生和教师的心理社会需求。","(f) 制定评估紧急状况中教育需求的共同框架","100. 需要进一步投资，以确保系统收集有关在紧急状况下教育状况的数据。在紧急状况下对教育提供支持的国家、国际组织和非政府组织应努力编制一个评估和报告紧急状况中得到满足和未得到满足的教育需求的共同框架。这种框架必须考虑到与受教育权有关的人权义务。","[1] ^(*) A/66/150。","[2] A/HRC/17/29/Add.2。","[3] 《经济、社会和文化权利国际公约》第13条和第14条和教科文组织《取缔教育歧视公约》广泛规定了这项权利，并且也得到《儿童权利公约》第28和第29条、《消除一切形式种族歧视国际公约》第5条、《国际消除对妇女一切形式歧视公约》第10、第11和第13条、《保护所有移徙工人及其家人权利的国际公约》第30、第43和第45条，以及《残疾人权利公约》第24条的保障。","[4] A/64/665，第71(b)段。","[5] 教科文组织教育规划资助教育国际研究所 一些出版物也探讨此一问题。","[6] 教科文组织2011年《全民教育全球报告》，“隐形危机：武装冲突与教育”，第12页。","[7] 例如，2009年和2010年给玻利维亚、柬埔寨、智利、刚果民主共和国、多米尼加共和国、埃塞俄比亚和西班牙的建议。","[8] 劳工组织/教科文组织关于教师地位的建议，第10(e)段。","[9] 经济、社会和文化权利委员会，一般性意见第13号第5段，第44号和第45号。","[10] 经济、社会和文化权利委员会，一般性意见第3号第12段。","[11] 人权理事会2009年2月23日S-10/1号决议。","[12] 经济、社会和文化权利委员会，一般性意见第13号第52段。","[13] 第2.1条。","[14] 第4条。","[15] 第4.2条。","[16] 经济、社会和文化权利委员会，一般性意见第3号第11段。","[17] 经济、社会和文化权利委员会，一般性意见第11号(1999)第9段，和一般性意见第3号(1990)第14段。","[18] 2011年5月9日至13日在伊斯坦布尔召开的年联合国最不发达国家问题会议通过的最不发达国家2011-2020十年行动纲领(A/CONF.219/3/REV.1)第74.2(a)和1(c)段和第72.1(c)段。","[19] 《关于援助有效性巴黎宣言》第一部分：表示决心，第25段，这反映出承诺加强伙伴国家的全国发展战略及有关业务框架(如规划、预算、业绩评估框架)，以及“定性措施和业绩标准”。","[20] 教育方面债务转换的基本概念是，取消外债，换取债权国政府承诺调动国内资源，用于教育。","[21] 创新教育筹资领导小组，“2+3=8；创新教育筹资：编写委员会给创新教育筹资工作队的报告”，2010年。","[22] 创新筹资领导小组国际教育工作队第二届会议讨论，巴黎，2010年6月17日。","[23] 《达喀尔行动框架》，世界教育论坛通过，2000年，第8㈠段。","[24] 世界银行教育战略小组，2020年，人人学习：投资于人的知识和技能，促进发展。执行摘要，第1页。","[25] 英联邦共同体政府首脑会议公报，2009年11月27日至29日，特立尼达和多巴哥。第89段。","[26] 经济、社会和文化权利委员会，一般性意见第3号第3段：“履行国家义务，采取步骤应采用的手段，见第2⑴条，即，‘所有适当手段，尤其包括采用立法措施。’”","[27] 如在印度，在2009年《儿童免费义务教育权利法》框架内，联邦政府将担负教育公共资金的65%，各邦担负35%。","[28] 在此背景下，值得一提的是，就教育创新筹资展开的讨论中包含设立新机制的若干建议，旨在弥补教育领域的投资缺口，确保长期可持续供资。","[29] 印度尼西亚常驻教科文组织代表团。关于作为基本人权的接受基础教育权及其资金筹措的法律框架的国际会议通过的《雅加达宣言》，2005年12月。","[30] 例如，印度尼西亚宪法法院于2008年通过了一项决议，提醒立法机构履行宪法规定的义务，为2009财政年度提供至少占国家预算20%的教育预算。印度尼西亚政府相应地增加了教育预算。","[31] 自其2005年第五次会议以来，关于全民教育问题的高级别小组就一直向各国政府建议采取此类措施。在2011年3月于宗甸-芭堤雅举行的第十次会议上，高级别小组呼吁各国政府“至少为教育分配国民生产总值的6%和/或公共开支的20%，以确保资源利用的成本效益”","[32] 儿童权利委员会，关于“保护儿童权利的资源——国家的责任”的一般性讨论日，2007年9月21日。","[33] A/64/665,第71(b)段。","[34] 《经济、社会、文化权利国际公约》关于全面实现受教育的权利的条款规定，“应设立适当的奖助金制度”(第13条)。同样，教科文组织《取缔教育歧视公约》规定，“向学生颁发奖学金或其他形式的援助”应根据“成绩或需要”的标准(第3(C)条)。","[35] 依照厄瓜多尔的2011年《跨文化教育法》，教师的薪酬已经翻番。","[36] 教育创新筹资国际工作队第四次会议，巴黎，教科文组织总部，2011年2月4日。","[37] 教育高于一切”、机构间紧急教育网、受教育的权利项目/国际援助行动组织、拯救儿童国际联盟和联合国儿童基金会联署了这份文件。","[38] 教科文组织：《全民教育全球监测报告》，2011年，第15页。","[39] 国际减少灾害战略、机构间紧急教育网和世界银行：《提高学校建设安全的指导说明》(纽约：机构间紧急教育网；华盛顿：世界银行全球减灾和灾后恢复基金，2009年)。","[40] 机构间紧急教育网：《机构间紧急教育网关于教育外部筹资的参考指南》(纽约，2010年)。","[41] 截至2010年，加拿大、丹麦、日本、挪威和瑞典已将教育纳入其人道主义援助政策。2011年，澳大利亚的捐助机构(澳援署)和美利坚合众国的捐助机构(美援署)分别将紧急情况下的教育问题和受冲突影响国家的教育问题列入其教育战略。参见拯救儿童基金：《办到它：为受冲突和紧急情况影响的国家提供教育资金》，2011年。","[42] 教科文组织：《全民教育全球监测报告》，2011年，第204页。","[43] 同上，第19页。","[44] 经济合作与发展组织(经合组织)发展合作司概况介绍：《确保脆弱国家不被弃之不顾》，巴黎，2010年。","[45] 教科文组织：《全民教育全球监测报告》，2011年，第227页。","[46] 《全民教育快车道倡议》，理事会会议，2011年。","[47] 参见《联合国宪章》第55条和第56条、《经济、社会、文化权利国际公约》第2.1条和第11条、《儿童权利公约》第4条和《残疾人权利公约》第32条。","[48] 1949年8月12日《关于战时保护平民之日内瓦公约》保护冲突期间受教育的权利。根据国际人道主义法，学校和教育机构属于民用目标，除非被敌方用于军事目的，否则不得对其进行蓄意袭击。参见《国际刑事法院罗马规约》第8条。","[49] A/65/820-S/2011/250，第211段。","[50] N.Boothby；A.Ager；R.Quinn；“Feasibility Study for a Global Monitoring System for Attacks on Education：Definitions and Typology”,CPC Learning Network，Doha；Education Above All，New York，2011。","[51] 国际教育学会是一家独立的非营利组织，自1919年成立以来，该学会一直参与救援遭受迫害的学者。2002年，国际教育学会启动了学者救援基金，作为对这一持续的国际困境的正式回应。学者救援基金与面临风险学者网络、协助学术难民理事会和其他类似组织开展紧密合作。","[52] A/65/820-S/2011/250，第211段。","[53] 同上。","[54] A/64/254，第25段。","[55] Children’s Charter–an action plan for disaster risk reduction by children for children，available from www.childreninachangingclimate.org。","[56] 全球减灾和灾后恢复基金，《安全学校建造准则》，2009年。","[57] 减少灾害风险全球平台，“统一区域和全球减少灾害风险议程；关键区域政治承诺和减少灾害风险优先事项摘要”，2011年，第20页。","[58] 同上，第25页。","[59] 教科文组织，“克服不平等：治理为何重要”，全民教育全球监测报告，摘要，2009年，第4页、第7页和第39页。","[60] 教科文组织，全民教育全球监测报告，2011年，第190页。","[61] Dryden-Peterson，S.，“Conflict，education and displacement”，in Conflict & Education：An Interdisciplinary Journal，Toronto，2011。","[62] 缔约各国应给予难民凡本国国民在初等教育方面所享有的同样待遇(第22条，第1款)。缔约各国就初等教育以外的教育，应对难民给以不得低于一般外国人所享有的待遇(第22条，第2款)。","[63] 《儿童权利公约》，第2条和第28条。","[64] 教科文组织，2011年全民教育全球监测报告，摘要，第31页。","[65] 同上，第216页。","[66] 同上，第206页。","[67] Jennifer Schlecht and Sara Casey，“Challenges of collecting baseline data in emergency settings”，Reproductive Health Access，Information and Services in Emergencies，2008。","[68] 教科文组织，2011年全民教育全球监测报告，摘要，第31页，第217页。"],"string":"[\n \"第六十六届会议\",\n \"临时议程[1] 项目69(b)\",\n \"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径\",\n \"受教育的权利\",\n \"秘书长的说明\",\n \"秘书长谨根据人权理事会第8/4和第17/3号决议向大会转交受教育权利特别报告员基肖·辛格的中期报告。\",\n \"受教育权利特别报告员的中期报告\",\n \"摘要\",\n \"这份报告是根据人权理事会第8/4和第17/3号决议提交的，专门介绍国内资助基础教育问题。报告详细介绍了教育筹资的人权义务和国家法律框架的实际范例，以确保国内筹资。报告还根据大会第64/290号决议，补充介绍紧急情况下教育的情况。特别报告员强调，紧急情况下对教育的关注和筹资仍然不足，不当，呼吁更多地投资于预防工作，更好地保护武装冲突期间的教育。\",\n \"目录\",\n \"页次\\n1.导言 4\\n2.基础教育筹资 4\\nA.资助教育的人权义务 5\\nB.资助基础教育的国家法律框架 8\\nC.需要进一步考虑的关切点 10\\nD.结论和建议 11\\n3.关于紧急情况中的受教育权利的最新情况 12\\nA.确保为紧急状况中的教育提供政治和财政支助 13\\nB.保护教育免受攻击 15\\nC.使教育系统作好准备应对自然灾害 16\\nD.确保关注女童和边缘化群体 17\\nE.在所有级别确保高质教育 18\\nF.收集有关紧急状况下教育的信息 19\\nG.结论和建议 20\",\n \"一. 导言\",\n \"1. 这份报告是根据人权理事会第8/4和第17/3号决议提交的。报告介绍国家关于公共资助基础教育的义务，确保国内资助公共教育的法律框架的重要性。报告还根据大会第64/290号决议，补充介绍紧急情况下教育的情况。\",\n \"2. 继由人权理事会任命后，基肖·辛格在2010年8月担任特别报告员。此后，2011年6月他向人权理事会第十七届会议报告工作。在其第一次报告中，他概述了任务期间考虑的优先领域，详细介绍确保教育机会平等方面的国家义务。还报告了2011年1月我访问第一个国家——塞内加尔——的情况。[2]\",\n \"3. 在其工作第一年，特别报告员参加若干公共教育活动，致力于建立与各国、国际组织和非政府组织的合作。特别报告员最近参加了经济及社会理事会两次区域筹备会议，一次是3月在泰国举行，一次是4月在多哥举行。7月，特别报告员参加了侧重教育方面国际商定目标和承诺的经社理事会实质性会议上高级别会议期间举行的年度部长级审查。\",\n \"二. 基础教育筹资\",\n \"4. 受教育权利是国际公认的权利，提供充足财政资源是落实权利所必不可少的。《世界人权宣言》第26条承认受教育权利，表明其应当免费，至少在初级和基础阶段。自《世界人权宣言》通过以来，各国通过各种人权文书[3] 承诺履行受教育权利的国际法律义务，并承担责任，提供实现这一目标所需的资源。\",\n \"5. 然而，资源约束仍然是实现受教育权利的一个主要障碍。实现千年发展目标2(确保到2015年，世界各地儿童，不论男女，都能完成小学全部课程)和3(不迟于2015年，消除各级教育中的性别差距)的前景因资源匮乏而暗淡。2010年大会关于千年发展目标的高级别全体会议强调，需要扩大预算，提供更多资源，加速实现教育目标。[4] 近年来的《全民教育全球监测报告》一直指出教育经费不足现象。最近，全球金融危机后，削减公共开支，可能减少对教育部门的支持，危及最新进展。[5] 例如，18个低收入国家中的7个，在2009年减少了教育支出，仅这些国家的学校，就有370万儿童失学。[6]\",\n \"6. 为克服资源限制，实现受教育权利，实现国际商定目标，如千年发展目标和全民教育，报告回顾了关于国内资助基础教育的国家义务。列举了国家采用法律文书，确保足够的教育财政资源的范例。\",\n \"A. 资助教育的人权义务\",\n \"7. 按照国际人权条约，国家负责提供资源，确保享受人权。为享有受教育权利提供必要资源，则更为重要，因为享受受教育权利是行使所有其他人权的关键。这在公共投资中给予高度重视，无论个人，还是社会，均可受益。\",\n \"8. 国家有义务确保提供充分的资源，克服制约因素，实现受教育权利，这在联合国人权条约机构通过的结论性意见中一直有所体现。经济、社会和文化权利委员会及儿童权利委员会经常表示关注，由于国家教育投资不足，导致教育水准下降，建议增加教育部门的资源分配。消除对妇女歧视委员会还系统地敦促各国作为一项基本人权和赋予妇女权力，增加基础教育投资。人权理事会普遍定期审议建议增加教育投资，这进一步证实了人们广泛承认，资助教育是履行人权义务的中心。[7]\",\n \"9. 承诺资助教育，也是国际劳工组织(劳工组织)/联合国教育、科学及文化组织(教科文组织)关于教师地位的建议(1966年)的内容，其中承认所有国家需要高度重视在国家预算中，为国家教育事业发展拨出足够比例的国民收入。[8] 事实上，受教育权利是教科文组织机构使命的组成部分，成员国有义务为实现这一目标提供必要的资源。\",\n \"1. 确保逐步实现，避免出现倒退\",\n \"10. 逐步实现经济、社会和文化权利(包括受教育权利)的概念承认，实现这些权利，往往需要时间。这也意味着，须采取措施，促进履行权利，以确保在全国持续普及这项权利。提到逐步实现受教育权利时，经济、社会和文化权利委员会强调，《经济、社会化文化国际公约》缔约国有特定、持续的义务，“为尽快和尽可能有效地”充分实现这一权利。公约还强调，“不允许有任何倒退措施”。[9] 从这个意义上，支持教育的同时，必须考虑到要确保教育部门逐步扩大。\",\n \"11. 联合国各人权条约机构对经济危机可能给享受人权方面产生影响表示关切。经济和社会权利委员会具体表示，“即使在因调整过程，因经济衰退，或因其他因素引起的严重资源制约之时，社会上弱势成员也可以，而且必须得到相对低成本、具有针对性的方案的保护。”[10] 最近，人权理事会通过一项决议，呼吁会员国，强调全球经济和金融危机不应减少国家主管部门实现人权的责任。[11]\",\n \"2. 履行核心义务\",\n \"12. 国家有义务优先满足《经济、社会和文化权利国际公约》确认的、“每项权利最低限度的基本水平”，也称“最低限度的核心义务”，这有立竿见影的效果。有关受教育权利的核心义务包括，除其他外，根据第13.2(a)条，为所有学生提供免费小学教育的义务，采取和执行国家教育战略、包括拨款提供中等教育、高等教育和基础教育的核心义务。[12] “公约”第14条进一步强调到核心权利是：采纳行动计划，争取在合理时间内逐步实施接受免费初等义务教育的权利。\",\n \"3. 确保提供尽可能多的资源\",\n \"13. 《经济、社会和文化权利国际公约》、[13] 《儿童权利公约》[14] 和《残疾人权利公约》[15] 都明确表示，缔约国有义务提供尽可能多的资源，确保享受人权。\",\n \"14. 经济、社会和文化权利委员会在其关于缔约国义务的一般性意见中强调，即使在现有的资源不足以实现经济和社会权利情况下，缔约国仍有义务努力确保在当时情况下，尽可能广泛地享有这些权利，监督其实现程度，制定推广战略和方案。[16] 此处的资源是指财政资源，但不专指财政资源。\",\n \"4. 提供国际援助和合作\",\n \"15. 根据《经济、社会和文化权利国际公约》，各国有义务单独和通过国际援助和合作采取措施，尽可能利用现有资源，逐步实现这些权利。经济、社会和文化权利委员会强调了国际社会对资助受教育权利的具体义务。[17] 同时，需要国际援助的国家必须根据人权规范和标准寻求和管理援助。\",\n \"16. 凭借国际团结原则，最不发达国家面临着严重的财政困难，值得优先得到国际援助。发展伙伴必须向这些国家提供“财政和技术支持”，“实现国家教育计划和方案，包括在农村和偏远地区普及教育”。最不发达国家需要加强国民教育体系。[18]\",\n \"17. 关于国际援助的若干政治宣言强调，受援国必须妥当管理国内现有资源，增强发展努力的可持续性。例如，通过巴黎援助效益宣言(2005)，伙伴国家承诺“加紧调动国内资源，加强财政的可持续性，为公共和私人投资创造有利环境。”[19] 同样，国际发展筹资会议上秘书长发起的《全球契约》(2002年)规定，如果发展中国家改善治理，取得成果，捐助者将拿出必要的资金，实现千年发展目标。[20] “全民教育快车道倡议”是国际教育援助的最重要的机制，旨在协助各国实现千年发展目标2和全民教育目标，并尤其注重受援国妥当管理国内资源。\",\n \"18. 最近，2006年，参与发展援助的国家和国际组织建立了创新融资发展领导小组，制定更多的国际融资机制，促进全球发展。作为该倡议的一部分，设立了创新教育筹资国际工作队，正在讨论若干替代方法，增加教育经费，[21] 包括调动国内资源，以及国际援助。[22]\",\n \"5. 相关的全球政治承诺\",\n \"19. 许多国际宣言写有资助小学教育的承诺，这也是重大的全球运动的核心。在世界教育论坛(2000年)上，各国政府以及其他利益相关者承诺拟定战略，特别是“调集强大的国家和国际上的全民教育政治承诺，制定国家行动计划，大幅度增加基础教育的投资。[23] 这些承诺包括，“政治意愿必须有资源来支撑”这一承诺。因此各国政府有责任提供国内资源，实现全民教育。普及教育是一项基本人权，被认为是“战略发展投资。”[24]\",\n \"20. 千年发展目标也应用来重申人权条约中所表达的义务，因此，各国政府有责任提供财政资源用于教育。千年发展目标2反映了确保普及小学教育的义务，包括确保不得用直接或间接学费来剥夺儿童接受教育权利的义务。千年发展目标3反映了确保各级教育两性均等的义务，包括为此提供财政资源的义务。\",\n \"B. 资助基础教育的国家法律框架\",\n \"21. 各国有义务把资助教育的国际义务纳入国内法。国家宪法、立法和教育政策规定用于教育的公共资金，是履行义务，实现受教育权利的关键。特别报告员认为，通过国家教育经费的法律框架，能够表示对受教育权利的重视和优先考虑。\",\n \"22. 在全民教育进程中通过法律改革，可以目睹国家法律框架内受基础教育的权利与受初级教育的权利一并出现。因此，各国承认有义务保证基础教育的普及。例如，2009年英联邦政府首脑会议呼吁所有英联邦国家为基础教育投入更多资源。[25]\",\n \"1. 宪法规定\",\n \"23. 宪法规定教育经费，这为制定国家立法和教育政策奠定了坚实基础。一些国家对确定最低限度教育投资定有不同的标准，但都有宪法规定。\",\n \"24. 一些国家的宪法规定了必须拿出税收收入的一定比例，用作最低水平的教育资源。巴西宪法第212条规定，“联邦每年使用不低于18%的税收，各州、联邦区、县至少使用25%的税收，包括汇款收入，用于维护和发展教育。”\",\n \"25. 其他国家的宪法确定整个国家预算中教育所占的最低份额。2002年修订的印度尼西亚宪法第31条⑷规定，“国家预算和地区预算至少20%应优先用于教育，以满足国民教育的需求”。\",\n \"26. 其他国家宪法使用国内生产总值来计算教育所需的最低限度的支持。厄瓜多尔2008年宪法规定，公共教育开支应占国内生产总值的6%。哥斯达黎加1997年宪法载有类似的规定。\",\n \"27. 最后，其他国家宪法规定优先投资教育的义务。埃塞俄比亚宪法规定，“国家有义务分配越来越多的资源，用于公共健康、教育和其他社会服务。”(第41条⑷)。同样，菲律宾和越南宪法规定，国家应优先投资教育。\",\n \"2. 国家立法和预算拨款用于基础教育\",\n \"28. 经济、社会和文化权利委员会强调，以国家立法履行国家义务的重要性。[26] 许多国家的立法往往是在全民教育进程中拟定的，包含资助基础教育，制定最低限度财政支持和责任的重要规定。最近的事态发展可作为实际的例子，介绍如下。\",\n \"29. 在南非，基础教育是一项宪法权利。1996年南非学校法规定，“根据宪法和本法，部长须与金融和财政委员会和财政部部长协商，确定资助公立学校的准则和最低标准”(第35条)。\",\n \"30. 尼日利亚2004年《免费义务基础教育法》规定9年义务基础教育，建立普及基础教育委员会，负责实施受基础教育权利，并提供资源。普及基础教育方案经费来自2%的综合收入基金。\",\n \"31. 阿根廷2007年《国民教育法》第26.206号规定，2010年教育资源增加额为国内生产总值的6%。该法规定了从五岁起享有义务教育的权利，直至完成中学教育(第16条)。\",\n \"32. 墨西哥2003年《教育总法》规定，国民生产总值的8%分配给公共教育和教育服务(第25条)。据悉，这有助于增加对教育的支持。\",\n \"33. 在印度，为基础教育提供资金的政策源自国家立法，例如正在采取措施，实施2009年《儿童免费义务教育法》。制定这一框架后，国家五年计划中的教育开支大量增加。\",\n \"34. 塞内加尔1991年关于国家教育政策的第91-22号法得到2004年第2004-37号法修订，规定6至16岁所有儿童享受义务教育，所有公立学校免费。据报道，承认提供教育的义务后，国家教育投资增至占近40%的国家预算。\",\n \"35. 肯尼亚通过了2001年《儿童法》和21世纪教育战略，强调普及小学教育的核心承诺。据报道，做出承诺后，教育资源分配显著增加。\",\n \"36. 中国2006年修订了《义务教育法》，规定了9年基础教育。该法保证，基础教育由国务院和地方人民政府资助。中国的中期和长期教育改革和发展国家计划(2010-2020年)承认，“筹资教育是一个基础性、战略性的投资。”计划到2012年，公共教育开支将占国内生产总值的4%。\",\n \"37. 一些法律框架把资助责任下放给地方实体。冰岛2008年第19号义务教育法规定，市政府负责义务教育的资本投资费用。泰国1999年《国民教育法》授权邦和地方机构酌情征收教育税。一些联邦制国家具体安排了联邦和各州当局的供资职权和责任。[27]\",\n \"3. 为教育筹集补充资金\",\n \"38. 法律文书能够为教育筹集补充资金。印度对所有中央税征收2%的教育税，为初等教育部门开拓了重要的资金来源。同样，上文提及的中国国家行动计划也拟议征收教育附加税，占增值税的3%，专门用于教育事业。通过此类特别征税计划筹集补充资金，对于增强预算供资至关重要。[28]\",\n \"39. 通过对政府资助作出补充的制度性机制，地方机构、私人捐助者和社区可以用捐款来筹集补充资金，从而加强对基础教育的公共投资。例如，根据2001年教育基金法，坦桑尼亚教育署可以“代表该基金接受馈赠、捐赠、赠款或其他款项”。此外还存在其他的类似机制，例如印度的Bharatiya Shiksa Kosh(教育基金)和尼日利亚的教育税基金。必须确保所有这些制度性机制的工作方式充分尊重透明度和问责制。\",\n \"40. 本报告仅限于集中讨论通过公共资源为教育融资的问题。然而，私营部门显然可以通过结成与政府公平分担责任的伙伴关系，在提供教育方面对国家的教育举措构成补充。[29] 但是，应确保这种伙伴关系在全面遵守人权规范的法律框架之内开展运作，并与高质量教育的标准保持一致。\",\n \"C. 需要进一步考虑的关切点\",\n \"41. 如前所述，人权文书明确规定了国家资助教育的义务。将这些义务付诸实践要求采取一系列的法律和政策手段，以确保对教育的投资是可预见和可持续的，并确保可以随时使用和及时、适当地利用各种财政资源，以保证尽可能广泛地享有受教育的权利。采用为教育筹资的法律框架为促进问责制提供了一项重要工具，因为影响公共教育投资的行动可能会招致国内法律诉讼。[30]\",\n \"42. 特别报告员在下文中列出了一些核心的关切点，在执行为基础教育筹资的法律文书的过程中值得进一步重视这些问题。\",\n \"1. 为基础教育获取充足的财政资源\",\n \"43. 为了克服全民教育议程所面临的资源限制，全民教育问题高级别小组主张应确保国家预算中用于教育的最低比例达到15%至20%，或占国内生产总值的4%至6%。[31] 如上所述，规定总公共开支中的一定比例或具体税种的收入必须专门用于教育的机制业已成功地增加了多个国家的教育供资。很显然，是否对这些机制的有效性逐步开展一次评估取决于特定国家的财政和预算政策机制的整体运作情况。\",\n \"2. 确保充分利用教育资源\",\n \"44. 尽管为教育分配尽可能多的国内资源至关重要，同样重要的是必须确保这些资源的有效和最佳利用。[32] 除了确保教育经费之外，保护受教育权的法律文书也可以进一步引导国家采取行动，履行人权义务，利用好划拨给教育的资源。\",\n \"45. 考虑到确保普及小学教育的义务以及致力于千年发展目标和全民教育议程的承诺，应确保将初等教育和基础教育的公共资金投入当作优先事项。\",\n \"46. 对教育财务管理的有效性进行评价，必须重视平等和不歧视的核心原则。向一个地区内的不同教育层次和区域分配资金时，必须考虑到现有的社会经济差距及其对于教育界的影响。此外，在通过次国家预算为教育供资的情况下，还要确保本地征收的财税收入的差异不会导致不同区域之间出现不平等状况。\",\n \"47. 必须保证投入专门资金解决女孩、贫困人口、残疾人、种族和语言上的少数群体、移民及其他边缘群体和弱势群体被排斥于教育之外这一问题的根源。必须考虑采取克服重大教育障碍的具体措施，包括取消学费、为其他费用(如课本、校服和交通)提供补贴等。[33] 通过平等权利行动向这些群体提供财政支持的临时特别措施，可以在国际人权条约中找到规范的依据。[34] 必须特别注意在教育预算管理中体现透明度和问责制的原则。\",\n \"3. 对教育质量作出回应\",\n \"48. 最后，调整教育经费支出的框架必须首先考虑提高优质教育，认识到教育在人民生活中的中心地位以及优质教育的赋权作用。教育预算往往全部用于经常性开支(主要是教师的薪金)。不幸的是，教师的薪酬往往非常低，难以吸引合格的专业人员。[35] 对重要环节的投资(如开发教学材料、培训教员和改善工作条件)仍然受到忽视。特别报告员打算在有关优质教育的另一份专题报告中考察这个问题。\",\n \"D. 结论和建议\",\n \"49. 只有国家为教育提供必要的资源，并在一贯和可预见的基础上使其可用，各国才能履行保证受教育权的国际义务。为此，确保教育投入的国家法律和政策框架起到了至关重要的作用。这对于加速实现千年发展目标的可持续发展进程和推动全民教育议程向前发展也十分重要。教育确实是一个国家所能做出的最佳投资，值得在资源配置中享受最高的优先级。作为一项至关重要的全球公共商品，教育应享有全球领导人坚定的投资承诺。[36]\",\n \"50. 本着这一精神，特别报告员提供了以下建议：\",\n \"(a) 通过国内法律框架确保教育投资\",\n \"51. 制订一部国家法律，并规定至少要保证不可或缺的最低水平的优质教育投入，实属十分必要。针对全民教育问题高级别小组一直强调的建议开展后续行动，并设立一项国际公认的准则(即至少为教育分配国民生产总值的4-6%或国家预算的15-20%)，对于为制定国家法律和政策框架奠定基础可能是有价值的。\",\n \"(b) 制订增加资源分配的战略\",\n \"52. 开拓资源分配和利用的新途径，对于各国而言至关重要。为加强教育投入作为国家优先事项的地位，与社会发展有关的各部委(社会福利部、儿童和妇女发展部、劳动部、卫生部等)都可以规定教育预算项目。与此同时，拓宽税基对于创造更多的预算资源也很重要。\",\n \"(c) 提倡公开辩论和交流经验\",\n \"53. 在预算分配方面，教育往往无法享有在国家一级应有的优先地位。为了确保教育得到优先关注，必须推动教育部长与财政部长和规划部长之间就确保教育投入最大化的必要步骤开展公共对话。各国之间就筹集教育经费的法律和政策框架交流思想和办法，将有助于国家主管部门通过比较来借鉴现有的经验和实际的范例，同时也有助于增进有关教育投入新途径的认识。\",\n \"(d) 在为各国政府制订国家法律框架提供技术援助的过程中，要特别重视为基础教育筹措经费\",\n \"54. 根据人权理事会第17/3号决议，应鼓励教科文组织和儿基会继续向会员国提供技术援助，协助各国制订国家立法并实现其现代化。在这一过程中，应强调为基础教育筹措经费的规定的重要性。\",\n \"(e) 对教育质量作出回应\",\n \"55. 用于优质教育的预算准备金非常稀缺，因为分配给教育的资源几乎全部用于经常性开支。在对教育质量作出回应方面需要一种范式的转变，而这依然是一项艰巨的挑战。\",\n \"三. 关于紧急情况中的受教育权利的最新情况\",\n \"56. 大会第64/290号决议请特别报告员在其提交大会第六十六届会议的下次临时报告中列入有关上任特别报告员2008年提交的紧急情况中教育权利报告(A/HRC/8/10)的最新资料，以便明确紧急情况中受教育权利方面的差距和余留挑战。\",\n \"57. 2008年的报告将紧急情况定义为任何由自然灾害或武装冲突引发的危机，根据国际人道主义法的定义，这些紧急情况可能是国际性的(包括军事占领)，也可能是内部的，或者是冲突后局势。报告指出，确保适当的教育不仅是各国广泛承认的国家义务，而且对于防止突发事件、确保在建设和平与恢复工作中取得成功也是必不可少的。但是，报告强调指出，在紧急情况和重建进程中，教育往往被中断、被延迟甚至被剥夺。报告向各个国家、政府间组织和非政府组织提出了若干建议，应更好地保护教育，并确保将其纳入针对冲突和自然灾害开展的人道主义应急活动。\",\n \"58. 这份最新情况说明分为六个部分，反映了第64/290号决议的内容和核心建议。每个部分都列出了在促进紧急情况中的受教育权利方面所面临的余留挑战，并列举了在过去三年中所取得的进展。第一部分集中讨论为紧急情况下的教育增加政治和财政支助的建议。第二部分涉及更好地保护学校免受攻击和确保问责制的建议。第三部分涉及让教育系统对自然灾害状况作出更佳准备的建议。第四部分涉及关注女孩和其他边缘群体的特定需求的建议。第五部分集中讨论确保紧急情况中的优质教育的建议。第六部分集中讨论改进在紧急情况下的教育数据的收集工作的必要性。\",\n \"59. 由一批在紧急情况下的教育问题领域具有知识专长的国际组织和非政府组织牵头、通过合作协商进程拟订的一份详尽报告，[37] 为这份最新情况说明作出了贡献。特别报告员向所有为编制这份最新情况说明而共享资料或付出编撰努力的人们表示感谢。\",\n \"A. 确保为紧急状况中的教育提供政治和财政支助\",\n \"60. 仍有千百万人被剥夺了在紧急情况下受教育的权利。为保障这一基本权利，必须增强政治关注和可持续的财政支持。对紧急情况下受教育的权利缺乏足够的重视，仍在影响着实现千年发展目标和全民教育目标的前景。《2011年全民教育全球监测报告》强调指出，在受冲突影响的国家中，估计约有2 800万的小学适龄儿童目前失学，占全球失学儿童总数的42%。[38] 自然和人为灾害也威胁到教育：估计有8.75亿的学龄儿童生活在地震高风险区，还有数亿儿童面临着经常发生的洪涝灾害、山体滑坡、大风和火灾危害以及发生速度较缓的灾害。[39]\",\n \"61. 大会第64/290号决议反映出，各国已经认识到，将确保实现受教育的权利作为人道主义援助和应急的一个不可或缺的组成部分具有十分的紧迫性。联合国系统内部的辩论和研究工作有助于揭示出《全民教育全球监测报告》所称的“隐藏的危机”。儿童权利委员会和大会分别于2008年和2009年举办了集中讨论这一主题的专题讨论日。\",\n \"62. 提供人道主义援助的各个利益攸关方对于教育的更大重视和相互协调仍然是一个关键的问题。环球项目和机构间紧急教育网之间最近结成了合作伙伴关系，共同拟订一份伙伴协定，指导如何将优质教育纳入人道主义应急之中，这朝着推动人道主义界内部更加一致地专注于教育迈出了重要一步。传统上，恢复受教育的机会被排除在人道主义优先事项之外，但受紧急状况影响的家庭和年轻人仍将其视为一项优先事项。[40] 对受影响社区提出的需求作出回应是人道主义应急的重要组成部分之一，也是实施受教育的权利的关键。\",\n \"63. 尽管国际社会和受紧急状况影响的社区越来越多地认识到紧急情况中的教育的重要性，但为此筹集的资金仍然十分有限。仅有少数捐助机构已将教育明确列入其人道主义政策的一部分。[41] 2011年《全民教育全球监测报告》强调指出，2009年，致力于在与冲突相关的紧急情况下提供教育的人道主义援助只占人道主义援助总额的2%。[42] 报告得出的结论是：\",\n \"教育是人道主义援助制度的穷邻居，这方面不仅资金投入不足、完全不可预测，而且还受到短期行为的制约。教育面临着双重劣势：它占人道主义呼吁的比例很小，在得到资助的人道主义呼吁中所占的比例就更小了。[43]\",\n \"64. 评价表明，一些需要教育经费的特别脆弱的国家被许多捐助方弃之不顾，因为捐助国显然更优先照顾那些与本国的安全优先事项挂钩的国家：向脆弱国家提供的官方发展援助高度集中，2008年向43个脆弱国家提供的官方发展援助中，51%的援助流向了六个受惠国，仅占脆弱国家人口总数的23%。[44]\",\n \"65. 支持的变动是另一个值得关注的问题。正如上文指出的那样，财政支持的可持续性对于确保教育系统充分发挥作用是至关重要的。只能通过持续的金融支持让教育方案不间断地实施下去，才能实现这一点。由于在从人道主义应急到发展框架过渡的过程中缺乏可持续的支持和资助，在紧急情况发生后会错过许多重要的机会。在此背景下，值得强调的是还必须进一步投资于受援国的国家规划和信息系统。[45]\",\n \"66. 全民教育快车道倡议正在努力增加对脆弱国家的支持，但迄今为止，该倡议还不具备在特别紧急的情况下提供融资的能力。[46] 除双边支持外，还有许多为紧急情况下的教育提供资金的补充融资方式，但这些方式仍明显不足。\",\n \"67. 特别报告员强调，紧急情况并不能免除国家采取一切适当措施确保本国领土上的所有人(包括非国民、境内流离失所者群体的难民)都能实现受教育权的义务。确保为初等教育提供财政支持以保证在紧急情况下仍可获得初等教育、以非歧视的方式提供中学教育、促成在能力的基础上接受高等教育的机会都不过是履行人权义务而已。\",\n \"68. 考虑到受紧急状况影响的一些国家的脆弱性以及国际援助和合作在这种状况下的核心作用，必须铭记人权法确立了提供国际援助的义务。[47] 同样的承诺也反映在许多国际宣言中，包括世界教育论坛2000年通过的《达喀尔全民教育行动框架》。此外，如上所述，要求援助的国家也有义务根据人权原则寻求和管理外部援助。\",\n \"B. 保护教育免受攻击\",\n \"69. 对学校和高等教育机构的袭击违反人权和人道主义法。[48] 然而，秘书长最近报告说，对学校的袭击构成了严重的关切，并有增多的趋势。[49] 位于冲突区的许多教育机构仍然面临着不安全状况，对教育制度和学生造成了长期后果。\",\n \"70. 研究表明，在过去三年中，在冲突局势下对教育机构发动袭击的数量持续增加，暴力行为十分广泛。[50] 这些事件包括伤害或杀害学生和学校工作人员，损坏或毁坏教育设施，最终造成成千上万的学生因学校或大学关闭而无法上学。国际教育学会的学者救援基金[51] 报告说，受到威胁的学者在2008-2011年期间提交的申请比上一个时期增加了一倍。在某些情况下，武装分子对学校的利用破坏了学校的民用性质，将学生和教师置于危险之中。[52]\",\n \"71. 尽管监测机制仍存在缺陷，但人们注意到，国际社会越来越重视在紧急情况下袭击教育机构的状况。2010年，国际组织和非政府组织成立了一个保护教育机构免遭袭击全球联盟，推动共同努力，防止、应对和监控对教育机构的袭击。秘书长在他关于在武装冲突中的儿童的最新报告中介绍了这些情况。[53] 同样，负责儿童与武装冲突问题的秘书长特别代表重申了保护学校免受攻击的重要性，并强调“加强对此类罪行问责的机制是确保学校保持安全避风港与和平区地位的关键”。[54]\",\n \"72. 特别报告员认为，必须加强监测机制的能力，监控那些卷入武装冲突的人针对教育系统发起袭击的状况，这对于防止不可见性和结束有罪不罚现象是必不可少的。在这方面，他表示欣见安理会最近通过的第1998(2011)号决议，该决议对学校受袭事件深表关切，并要求秘书长在其关于儿童和武装冲突问题的报告附件中列入相关资料，介绍对学校的经常性袭击以及对受保护的学校相关人员的袭击或袭击威胁。安全理事会的监察和报告机制在确定武装冲突中严重侵害儿童的行为方面业已发挥重要作用，持续重视和更多关注对学校的袭击对于保护受教育的权利而言至关重要。为进一步确保问责制，还必须进一步加强国内和国际司法系统的能力，以便起诉犯罪人，包括非国家行为者。\",\n \"73. 除了确保追究袭击学校的责任之外，还必须作出有针对性的努力，以防止发生袭击学校和其他教育机构的事件，并使其对不安全状况作出防备，以便将武装冲突可能造成的损失降至最低。最后，还需要开展不懈的努力，协助受害者康复，并确保为这些与教育有关的侵犯行为支付适当的个人和集体赔偿。\",\n \"C. 使教育系统作好准备应对自然灾害\",\n \"74. 教育系统负责人一定不能忽视越来越多的自然灾害。学校不仅在帮助社区提高抗灾能力方面发挥至关重要的作用，还需要作好充分准备，尽可能减少自然灾害最终可能对其自身运作造成的危害。因此，需要在编制减少灾害风险整体战略时特别关注教育部门。与此同时，学校必须制定和采取适应其所面临的具体情况的系统安全和安保措施。\",\n \"75. 学校的建造或维护工作往往不是为提高抗灾能力进行的。在世界各地与儿童进行的广泛磋商的结果是，最近编制了《减少灾害风险儿童宪章》，该宪章强调了学校安全和教育不被打断的需要。[55] 机构间紧急情况中教育网络为编制确保建造更安全学校和改造现有学校的必要步骤的指导说明进行了协调。[56] 需要作出重大努力，为更安全的教育基础设施标准建立技术能力，并确保其得到采纳，以避免地震或其他灾害夺走在不安全学校就学的大批儿童生命的悲剧。\",\n \"76. 还注意利用学校作为增加学习者和教育工作人员为灾害及其后果开展的准备工作的平台。一些国家已将减少灾害风险的组成部分纳入他们的学校课程，[57] 其他国家考虑将减少灾害风险和适应气候变化作为国家的教育优先事项。[58]\",\n \"77. 特别报告员强调，通过教育进行的在预防工作方面的投入对于保护他们援助的学校和社区免受自然灾害的影响至关重要。因此，教育系统必须积极参与风险管理战略的编制和实施。学校还必须通过其经常性的活动，促进在学生、工作人员及其所属社区中形成一种预防和备灾的文化。考虑到即使在同一地区的各个社区的风险和需求都大相径庭，需要确保通过一个学校所在社区参与的有意义的参与过程编制风险管理策略。\",\n \"D. 确保关注女童和边缘化群体\",\n \"78. 政府不能解决基于收入、性别、地点、族裔和语言的持续不平等问题是在实现全民教育目标[59] 以及千年发展目标方面进展有限的原因之一。在正常时期已经存在的上学的障碍，在紧急情况下其影响显然更大。上学的成本可能大大增加，并且学校和家庭之间的通勤往往变得非常困难和不安全，将那些贫困或更容易受到暴力侵害的儿童进一步排除在外。在这个意义上，确定边缘化群体并解决他们的具体需要的有针对性的措施对于避免扩大在教育方面的不平等是必要的。\",\n \"79. 确保教育中的性别均等的工作在这方面尤其重要。已提请注意在冲突中普遍存在的性暴力伤害直接和间接影响女教师和女学生。[60] 前往学校、从学校离开的路上或在学校内的不安全状况似乎是将女童排除在教育系统之外的一个核心因素。在紧急学校缺乏独立的卫生设施也构成了女童教育的主要障碍。\",\n \"80. 尽管在紧急情况下存在明显的资源限制，在这种情况下规划、实施和评估教育政策时忽视教育中的歧视和结构不平等的影响可能导致进一步的边缘化，并在某些情况下导致冲突的再次发生。\",\n \"81. 难民和境内流离失所者在原籍社区之外寻求教育方面继续面临很大的障碍。联合国难民事务高级专员办事处在联合国正式难民营内收集到的数据显示，各个营地受教育的机会是有限和不均衡的——难民儿童的整体小学入学率是69%，而中学阶段的入学率只有30%。[61] 尽管各国有不加任何歧视地向居住在其领土上的所有儿童提供教育的人权义务，并且《公约》有与难民地位有关的规定，[62] 多个国家维持对难民和境内流离失所儿童入学的行政障碍。[63] 为长期流离失所状况下的项目提供短期资助威胁数千名难民和流离失所儿童的教育和进步。[64] 必须将在这些情况下的教育供资方面的差距作为优先事项加以处理，因为拒绝向这些人口提供教育会产生持久的影响。\",\n \"82. 特别报告员在其向人权理事会提交的第一次报告(A/HRC/17/29)中已经强调，大多数人权条约都涉及到平等教育机会问题。人权条约规定国家有责任确保在公立教育机构和课程就读的权利不受歧视，并向所有人提供初等教育。\",\n \"E. 在所有级别确保高质教育\",\n \"83. 仅仅入学并不能保证受教育权利的行使，例如，在所提供的教育质量不符合适当的标准的情况下。在紧急时期所面临的资源限制并不是忽略确保高质量教育的基本要求的正当理由，这些要求包括合格教师的存在、适当教学材料的提供、充分的真实教学时间和经改善的课堂教学环境。\",\n \"84. 各国、国际组织和民间社会继续通过机构间紧急情况中教育网络编制的材料，为改善在紧急情况下的高质教育提供指导。一个世界各地的紧急教育所涉利益攸关方参与的协商进程的结果是编制了《机构间紧急情况中教育网络教育工作最低标准：备灾、回应和复原》的更新版本，该标准提供有关确保高质量教育的必要步骤的重要政策指导。最近发布的机构间紧急情况中教育网络关于教与学的指导说明根据在紧急情况下工作的教育工作者积累的经验，提供了更具体的教学指导。\",\n \"85. 如上所述，紧急教育和过渡方案资金的不足和短期性质大大影响消除严重缺陷的可能性，这导致教育质量十分低下。此外，仅仅侧重于小学教育的人道主义工作总体趋势限制了对早期儿童护理和发展以及中等教育和高等教育的投资。这种偏见极大地限制了学生进步的前景，并增加了培训教师方面面临的挑战。\",\n \"86. 2011年全民教育全球监测报告介绍了确保受冲突影响或面临冲突风险的学生得到高质量教育方面的一些关键问题。这些问题包括，确保儿童可以学习自己的母语，尤其是在早期阶段；重新考虑历史和宗教的教学，使其展示对冲突敏感问题的不同视角；并促进非暴力的学校环境。\",\n \"87. 识字、算术和生活技能(如疾病预防和冲突解决)的有效教学对于提高突发事件期间的应变能力至关重要。必须给予学校工作人员足够的激励并加强他们的能力，以使他们对学生的心理需求给予适当关注，为娱乐和表演活动使用资源和做出日程安排，并使受到严重影响的学生求助于额外的支持。\",\n \"88. 提供学习成绩认证是在紧急情况下与教育质量有关的另一个值得关注的问题，特别是对于难民学校的学生。需要编制具体的战略，以确保即使在发生危机的时候，学生的成绩记录也能得到充分地监测、记录和确认。\",\n \"F. 收集有关紧急状况下教育的信息\",\n \"89. 在紧急情况下收集数据方面的限制继续影响整个人道主义工作。准确评估教育需求的能力不足限制了在紧急情况下准确制定和评估教育举措的可能性。如上所述，监测欠佳进一步导致在学校直接受到暴力威胁情况下缺乏能见度和随之而来的有罪不罚现象。\",\n \"90. 2011年全民教育全球监测报告指出，冲突局势中的数据收集存在严重的局限性：“对陷入冲突的社区的需求评估是没有计划性的，即使考虑到与在受冲突影响地区进行调查有关的不可避免的限制也是如此。[65] 该报告还强调，捐助方评估往往低估教育部门的需求，因为他们的建议往往是为满足对捐助资金的较低期望提出的。[66] 对教科书供应、学时、在职教师培训等教育质量方面的需求评估的关注有限。中学教育对人力资源和基础设施的要求往往也被完全忽略。\",\n \"91. 在紧急情况下收集信息需要具体的策略，以克服在这种情况下所面临的各种障碍。这些障碍可能包括艰难的后勤工作、人身的不安全性、在瞬息万变的环境中各种活动所涉及的政治和伦理问题，以及与流动人口和具有不寻常人口构成的群体合作的技术挑战。[67]\",\n \"92. 全球教育专题工作组在2010年编制了联合教育需求评估工具包以及快速需求评估简要指南，以在紧急状况下提供有关数据收集的指导。工作组强调，需要通过界定一套核心指标进一步提高监测能力，包括指导融资要求估计所需的即将接触的儿童和青年的估计数字、年龄和性别概况、流离失所的模式、教育材料、教师和基础设施要求。[68]\",\n \"G. 结论和建议\",\n \"93. 如关于紧急状况下的教育的上次报告(A/HRC/8/10)中所述，对于受紧急状况影响的大多数社区，极为有限的接受教育的途径仍然是一个现实情况。尽管国际社会增加了关注，关键问题仍然存在：对人道主义活动的供资仍然忽视确保教育的需求；学校继续成为直接和间接暴力的受害者；面对自然灾害的更大影响，预防工作仍然不够积极。为了扭转目前的趋势，提供和输送人道主义和过渡援助的国家和其他实体在紧急情况下一定要更加重视教育。在紧急情况期间提供教育和确保教育受到保护不是一种选择，而是一种义务。\",\n \"94. 在此方面，特别报告员提出了以下建议：\",\n \"(a) 确保在紧急状况下为教育提供充分资金\",\n \"95. 作为人道主义和过渡响应工作的支柱，各国必须紧急增加对教育的国家、双边和多边供资承诺。必须作出明确的政策承诺，以确保在紧急状况以及脆弱和持久危机的情况下对教育提供充足和可持续的国内和国际支持。这种承诺所涉的期间必须直至恢复的最后阶段，包括在发展框架中。受援国必须在寻求和管理国际援助的同时遵循有关人权的规定。\",\n \"(b) 加强对学校的保护，使其免受袭击\",\n \"96. 各国必须确保系统监测、记录和报告对教育界人员和教育机构和场地进行的侵犯国际人权和人道主义法的行为。必须遵循安全理事会最近通过的第1998(2011)号决议，在今后监测武装冲突中侵犯儿童权利情况的工作中更加关注教育情况。应充分了解国内、区域和国际问责机制(包括军事问责机制)，并系统落实国家和非国家行为体在教育权和其他保证向教育界人员和机构提供的法律保护方面的义务。需要开展具体工作，加强教育提供者预防和回应袭击的能力。\",\n \"(c) 加强安全和减少灾害风险\",\n \"97. 各国必须确保，在规划、设计、建造和重建教育设施时考虑到灾害风险和安全因素。应将减少灾害风险和备灾概念纳入教育政策和课程中。必须使用有学生和社区参加的参与性进程，以确保对当地的危险进行评估和备灾。\",\n \"(d) 注意将女童和边缘化群体排除在外的情况\",\n \"98. 各国必须采取具体措施，在紧急状况中保障女童和边缘化群体受到教育。需要开展具体工作，消除持续或新出现的歧视模式，并消除在紧急情况期间使不平等程度加深的实体、财政、文化和语言障碍。\",\n \"(e) 确保高质量的教育\",\n \"99. 那些负责在紧急状况中提供教育的机构必须考虑满足高质量教育标准的要求。必须特别注意改进学校的课程，促进人权教育并满足学生和教师的心理社会需求。\",\n \"(f) 制定评估紧急状况中教育需求的共同框架\",\n \"100. 需要进一步投资，以确保系统收集有关在紧急状况下教育状况的数据。在紧急状况下对教育提供支持的国家、国际组织和非政府组织应努力编制一个评估和报告紧急状况中得到满足和未得到满足的教育需求的共同框架。这种框架必须考虑到与受教育权有关的人权义务。\",\n \"[1] ^(*) A/66/150。\",\n \"[2] A/HRC/17/29/Add.2。\",\n \"[3] 《经济、社会和文化权利国际公约》第13条和第14条和教科文组织《取缔教育歧视公约》广泛规定了这项权利，并且也得到《儿童权利公约》第28和第29条、《消除一切形式种族歧视国际公约》第5条、《国际消除对妇女一切形式歧视公约》第10、第11和第13条、《保护所有移徙工人及其家人权利的国际公约》第30、第43和第45条，以及《残疾人权利公约》第24条的保障。\",\n \"[4] A/64/665，第71(b)段。\",\n \"[5] 教科文组织教育规划资助教育国际研究所 一些出版物也探讨此一问题。\",\n \"[6] 教科文组织2011年《全民教育全球报告》，“隐形危机：武装冲突与教育”，第12页。\",\n \"[7] 例如，2009年和2010年给玻利维亚、柬埔寨、智利、刚果民主共和国、多米尼加共和国、埃塞俄比亚和西班牙的建议。\",\n \"[8] 劳工组织/教科文组织关于教师地位的建议，第10(e)段。\",\n \"[9] 经济、社会和文化权利委员会，一般性意见第13号第5段，第44号和第45号。\",\n \"[10] 经济、社会和文化权利委员会，一般性意见第3号第12段。\",\n \"[11] 人权理事会2009年2月23日S-10/1号决议。\",\n \"[12] 经济、社会和文化权利委员会，一般性意见第13号第52段。\",\n \"[13] 第2.1条。\",\n \"[14] 第4条。\",\n \"[15] 第4.2条。\",\n \"[16] 经济、社会和文化权利委员会，一般性意见第3号第11段。\",\n \"[17] 经济、社会和文化权利委员会，一般性意见第11号(1999)第9段，和一般性意见第3号(1990)第14段。\",\n \"[18] 2011年5月9日至13日在伊斯坦布尔召开的年联合国最不发达国家问题会议通过的最不发达国家2011-2020十年行动纲领(A/CONF.219/3/REV.1)第74.2(a)和1(c)段和第72.1(c)段。\",\n \"[19] 《关于援助有效性巴黎宣言》第一部分：表示决心，第25段，这反映出承诺加强伙伴国家的全国发展战略及有关业务框架(如规划、预算、业绩评估框架)，以及“定性措施和业绩标准”。\",\n \"[20] 教育方面债务转换的基本概念是，取消外债，换取债权国政府承诺调动国内资源，用于教育。\",\n \"[21] 创新教育筹资领导小组，“2+3=8；创新教育筹资：编写委员会给创新教育筹资工作队的报告”，2010年。\",\n \"[22] 创新筹资领导小组国际教育工作队第二届会议讨论，巴黎，2010年6月17日。\",\n \"[23] 《达喀尔行动框架》，世界教育论坛通过，2000年，第8㈠段。\",\n \"[24] 世界银行教育战略小组，2020年，人人学习：投资于人的知识和技能，促进发展。执行摘要，第1页。\",\n \"[25] 英联邦共同体政府首脑会议公报，2009年11月27日至29日，特立尼达和多巴哥。第89段。\",\n \"[26] 经济、社会和文化权利委员会，一般性意见第3号第3段：“履行国家义务，采取步骤应采用的手段，见第2⑴条，即，‘所有适当手段，尤其包括采用立法措施。’”\",\n \"[27] 如在印度，在2009年《儿童免费义务教育权利法》框架内，联邦政府将担负教育公共资金的65%，各邦担负35%。\",\n \"[28] 在此背景下，值得一提的是，就教育创新筹资展开的讨论中包含设立新机制的若干建议，旨在弥补教育领域的投资缺口，确保长期可持续供资。\",\n \"[29] 印度尼西亚常驻教科文组织代表团。关于作为基本人权的接受基础教育权及其资金筹措的法律框架的国际会议通过的《雅加达宣言》，2005年12月。\",\n \"[30] 例如，印度尼西亚宪法法院于2008年通过了一项决议，提醒立法机构履行宪法规定的义务，为2009财政年度提供至少占国家预算20%的教育预算。印度尼西亚政府相应地增加了教育预算。\",\n \"[31] 自其2005年第五次会议以来，关于全民教育问题的高级别小组就一直向各国政府建议采取此类措施。在2011年3月于宗甸-芭堤雅举行的第十次会议上，高级别小组呼吁各国政府“至少为教育分配国民生产总值的6%和/或公共开支的20%，以确保资源利用的成本效益”\",\n \"[32] 儿童权利委员会，关于“保护儿童权利的资源——国家的责任”的一般性讨论日，2007年9月21日。\",\n \"[33] A/64/665,第71(b)段。\",\n \"[34] 《经济、社会、文化权利国际公约》关于全面实现受教育的权利的条款规定，“应设立适当的奖助金制度”(第13条)。同样，教科文组织《取缔教育歧视公约》规定，“向学生颁发奖学金或其他形式的援助”应根据“成绩或需要”的标准(第3(C)条)。\",\n \"[35] 依照厄瓜多尔的2011年《跨文化教育法》，教师的薪酬已经翻番。\",\n \"[36] 教育创新筹资国际工作队第四次会议，巴黎，教科文组织总部，2011年2月4日。\",\n \"[37] 教育高于一切”、机构间紧急教育网、受教育的权利项目/国际援助行动组织、拯救儿童国际联盟和联合国儿童基金会联署了这份文件。\",\n \"[38] 教科文组织：《全民教育全球监测报告》，2011年，第15页。\",\n \"[39] 国际减少灾害战略、机构间紧急教育网和世界银行：《提高学校建设安全的指导说明》(纽约：机构间紧急教育网；华盛顿：世界银行全球减灾和灾后恢复基金，2009年)。\",\n \"[40] 机构间紧急教育网：《机构间紧急教育网关于教育外部筹资的参考指南》(纽约，2010年)。\",\n \"[41] 截至2010年，加拿大、丹麦、日本、挪威和瑞典已将教育纳入其人道主义援助政策。2011年，澳大利亚的捐助机构(澳援署)和美利坚合众国的捐助机构(美援署)分别将紧急情况下的教育问题和受冲突影响国家的教育问题列入其教育战略。参见拯救儿童基金：《办到它：为受冲突和紧急情况影响的国家提供教育资金》，2011年。\",\n \"[42] 教科文组织：《全民教育全球监测报告》，2011年，第204页。\",\n \"[43] 同上，第19页。\",\n \"[44] 经济合作与发展组织(经合组织)发展合作司概况介绍：《确保脆弱国家不被弃之不顾》，巴黎，2010年。\",\n \"[45] 教科文组织：《全民教育全球监测报告》，2011年，第227页。\",\n \"[46] 《全民教育快车道倡议》，理事会会议，2011年。\",\n \"[47] 参见《联合国宪章》第55条和第56条、《经济、社会、文化权利国际公约》第2.1条和第11条、《儿童权利公约》第4条和《残疾人权利公约》第32条。\",\n \"[48] 1949年8月12日《关于战时保护平民之日内瓦公约》保护冲突期间受教育的权利。根据国际人道主义法，学校和教育机构属于民用目标，除非被敌方用于军事目的，否则不得对其进行蓄意袭击。参见《国际刑事法院罗马规约》第8条。\",\n \"[49] A/65/820-S/2011/250，第211段。\",\n \"[50] N.Boothby；A.Ager；R.Quinn；“Feasibility Study for a Global Monitoring System for Attacks on Education：Definitions and Typology”,CPC Learning Network，Doha；Education Above All，New York，2011。\",\n \"[51] 国际教育学会是一家独立的非营利组织，自1919年成立以来，该学会一直参与救援遭受迫害的学者。2002年，国际教育学会启动了学者救援基金，作为对这一持续的国际困境的正式回应。学者救援基金与面临风险学者网络、协助学术难民理事会和其他类似组织开展紧密合作。\",\n \"[52] A/65/820-S/2011/250，第211段。\",\n \"[53] 同上。\",\n \"[54] A/64/254，第25段。\",\n \"[55] Children’s Charter–an action plan for disaster risk reduction by children for children，available from www.childreninachangingclimate.org。\",\n \"[56] 全球减灾和灾后恢复基金，《安全学校建造准则》，2009年。\",\n \"[57] 减少灾害风险全球平台，“统一区域和全球减少灾害风险议程；关键区域政治承诺和减少灾害风险优先事项摘要”，2011年，第20页。\",\n \"[58] 同上，第25页。\",\n \"[59] 教科文组织，“克服不平等：治理为何重要”，全民教育全球监测报告，摘要，2009年，第4页、第7页和第39页。\",\n \"[60] 教科文组织，全民教育全球监测报告，2011年，第190页。\",\n \"[61] Dryden-Peterson，S.，“Conflict，education and displacement”，in Conflict & Education：An Interdisciplinary Journal，Toronto，2011。\",\n \"[62] 缔约各国应给予难民凡本国国民在初等教育方面所享有的同样待遇(第22条，第1款)。缔约各国就初等教育以外的教育，应对难民给以不得低于一般外国人所享有的待遇(第22条，第2款)。\",\n \"[63] 《儿童权利公约》，第2条和第28条。\",\n \"[64] 教科文组织，2011年全民教育全球监测报告，摘要，第31页。\",\n \"[65] 同上，第216页。\",\n \"[66] 同上，第206页。\",\n \"[67] Jennifer Schlecht and Sara Casey，“Challenges of collecting baseline data in emergency settings”，Reproductive Health Access，Information and Services in Emergencies，2008。\",\n \"[68] 教科文组织，2011年全民教育全球监测报告，摘要，第31页，第217页。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda*","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","* A/66/150.","The right to education","Note by the Secretary-General","The Secretary-General has the honour to transmit to the General Assembly the interim report of the Special Rapporteur on the right to education, Kishore Singh, submitted in accordance with Human Rights Council resolutions 8/4 and 17/3.","Interim report of the Special Rapporteur on the right to education","Summary","The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. It is devoted to the issue of domestic financing of basic education. It details human rights obligations for financing education and provides practical examples of national legal frameworks that ensure domestic financing. The report also contains an update on the situation of education in emergencies, pursuant to General Assembly resolution 64/290. The Special Rapporteur underlines that the attention and funding dedicated to education in emergencies continue to be insufficient and inadequate, and calls for more investment in preventive efforts and for a better protection of education during armed conflict.","Contents","Page\nI.Introduction 3II. Financing 3 basic \neducation A. Human 4 rights obligations for financing \neducation B.National 8 legal framework for financing basic \neducation C.Concerns 10 requiring further \nconsideration D.Conclusion 12 and \nrecommendations III. Update 13 on education in \nemergencies A.Ensuring 14 political and financial support to education in \nemergencies B.Protecting 17 education from \nattack C. Preparing 18 education systems to cope with natural \ndisasters D.Ensuring 19 attention to girls and marginalized \ngroups E.Ensuring 20 quality education at all \nlevels F.Collecting 21 information on education in \nemergencies G.Conclusion 22 and \nrecommendations","I. Introduction","1. The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. It addresses State obligations regarding public financing of basic education and the importance of legal frameworks ensuring domestic financing of such education. It also contains an update on the situation of education in emergencies, in accordance with General Assembly resolution 64/290.","2. Following his appointment by the Human Rights Council, Kishore Singh assumed his functions as Special Rapporteur in August 2010. Since then, he reported to the Human Rights Council at its seventeenth session, in June 2011. In his first report[1] he outlined priority areas to be examined in the course of his mandate and addressed in more detail State obligations to ensure equality of opportunity in education. He also reported on his first country mission to Senegal,[2] which was conducted in January 2011.","3. During his first year of work, the Special Rapporteur participated in a number of public events on education and worked to establish collaboration with States, international organizations and non-governmental organizations. The Special Rapporteur recently participated in two regional preparatory meetings of the Economic and Social Council, in Thailand in March and in Togo in April. In July, the Special Rapporteur participated in the annual ministerial review held during the High-Level Segment of the substantive session of the Council, which focused on internationally agreed goals and commitments with regard to education.","II. Financing basic education","4. The right to education is an internationally recognized right and the provision of adequate financial resources is essential to its realization. Article 26 of the Universal Declaration of Human Rights recognizes the right of everyone to education, which shall be free, at least in the elementary and fundamental stages. Since the adoption of the Universal Declaration of Human Rights, States have undertaken international legal obligations for the fulfilment of the right to education through various human rights instruments[3] and assumed the responsibility of providing the resources required for its realization.","5. Resource constraints, however, remain a major barrier to the realization of the right to education. Prospects for achieving the targets of millennium development goals 2 (Ensuring that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling) and 3 (Eliminating gender disparity in all levels of education no later than 2015) are bleak on account of a dearth of resources. The assessment prepared for the 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals underlined the need for scaling up budgets and providing enhanced resources to accelerate progress in meeting those targets.[4] The Education for All Global Monitoring Reports in recent years have consistently pointed to insufficient funding for education. More recently, public expenditure cuts as a consequence of the global financial crisis have threatened to decrease support to the education sector, possibly jeopardizing recent advances.[5] For instance, 7 of 18 low-income countries reduced spending on education in 2009; those countries alone had 3.7 million children out of school.[6]","6. In view of the critical need to overcome resource constraints for the realization of the right to education and for the achievement of internationally agreed goals such as the millennium development goals and Education for All, in the present report the Special Rapporteur recalls States’ obligations regarding the provision of domestic resources for basic education and presents examples of national legal instruments adopted to secure adequate financial resources for education.","A. Human rights obligations for financing education","7. In accordance with international human rights treaties, States are responsible for providing resources to ensure the enjoyment of human rights. Providing the necessary resources for the enjoyment of the right to education is all the more important, given that the enjoyment of this right is essential for the exercise of all other human rights. It deserves high priority in public investment, as both the individual and society are its beneficiaries.","8. States’ obligations to ensure the provision of full resources to overcome constraints to the realization of the right to education consistently figure in the concluding observations adopted by the United Nations human rights treaty bodies. The Committee on Economic, Social and Cultural Rights and the Committee on the Rights of the Child have often expressed concern about declining educational standards due to lack of State investment in education and have recommended that the resources allocated to the education sector should be increased. The Committee on the Elimination of Discrimination against Women has also systematically urged States to increase investment in education as a fundamental human right and as a basis for the empowerment of women. Recommendations resulting from the Universal Periodic Review process of the Human Rights Council for the provision of increased resources to education further confirm the wide recognition of the central relevance of financing education for the fulfilment of human rights obligations.[7]","9. Commitments to finance education are also present in the International Labour Organization (ILO)/United Nations Educational, Scientific and Cultural Organization (UNESCO) Recommendation concerning the Status of Teachers (1966), which recognizes the need for high priority to be given in all countries to setting aside, within the national budget, an adequate proportion of national income for the development of education.[8] In fact, the right to education is an integral part of the institutional mission of UNESCO, and Member States have the obligation of providing the necessary resources for its realization.","1. Ensuring progressive realization and avoiding retrogression","10. The concept of the progressive realization of economic, social and cultural rights, including the right to education, recognizes that their realization often extends over time. It also implies that measures to promote the fulfilment of a right must be adopted with a view to ensuring a sustainable expansion of its enjoyment across the country. When referring to the progressive realization of the right to education, the Committee on Economic, Social and Cultural Rights emphasized that States parties to the International Covenant on Economic, Social and Cultural Rights have a specific and continuing obligation “to move as expeditiously and effectively as possible” towards the full realization of that right. It also underlined: “there is a strong presumption of impermissibility of any retrogressive measures”.[9] In that sense, support to education must be driven by consideration of the need to ensure the gradual expansion of the education sector.","11. Various United Nations human rights treaty bodies have expressed concern regarding the possible impact of economic crises on the enjoyment of human rights. The Committee on Economic and Social Rights specified that “even in times of severe resources constraints, whether caused by a process of adjustment, of economic recession or by other factors, the vulnerable members of society can and indeed must be protected by the adoption of relatively low-cost targeted programmes”.[10] More recently, the Human Rights Council adopted a resolution in which it called upon States to note that the global economic and financial crises did not diminish the responsibility of national authorities in the realization of human rights.[11]","2. Fulfilling core obligations","12. States’ obligations to satisfy, as a matter of priority, “minimum essential levels of each of the rights” recognized in the International Covenant on Economic, Social and Cultural Rights, also referred to as “minimum core obligations”, have immediate effect. Core obligations relating to the right to education include the obligation to provide primary education free of charge for all in accordance with article 13.2 (a) and the obligation to adopt and implement a national educational strategy that includes the provision of secondary, higher and fundamental education.[12] Article 14 of the Covenant further underlines the core obligation to adopt a plan of action aimed at securing the progressive implementation of the right to compulsory primary education, free of charge, within a reasonable time frame.","3. Ensuring the provision of maximum available resources","13. The International Covenant on Economic, Social and Cultural Rights,[13] the Convention on the Rights of the Child[14] and the Convention on the Rights of Persons with Disabilities[15] are all explicit about States parties’ obligations to provide maximum available resources to ensure the enjoyment of human rights.","14. In its general comment on the nature of States parties’ obligations, the Committee on Economic, Social and Cultural Rights underlined that even where the available resources are inadequate for the realization of economic and social rights, the obligation remains for a State party to strive to ensure the widest possible enjoyment of those rights under the prevailing circumstances, to monitor the extent of their realization, and to devise strategies and programmes for their promotion.[16] Mentions of resources refer to financing, but not exclusively.","4. Providing international assistance and cooperation","15. Under the International Covenant on Economic, Social and Cultural Rights, States have an obligation to take steps individually and through international assistance and cooperation, to the maximum extent of their available resources, with a view to achieving the progressive realization of rights. The specific obligations of the international community towards financing the right to education have been underlined by the Committee on Economic, Social and Cultural Rights.[17] At the same time, States requiring international assistance must seek and manage aid in accordance with human rights norms and standards.","16. By virtue of the principle of international solidarity, least developed countries, faced with serious financial constraints, deserve such assistance, a priori. Development partners must provide “financial and technical support” to those countries “to implement their national education plans and programmes, including increased accessibility in rural and remote areas”. For their part, the least developed countries need to strengthen their national education systems.[18]","17. A number of political declarations on international aid underline the need for the adequate management of domestically available resources by recipient countries, which must contribute to the enhanced sustainability of development efforts. For example, through the 2005 Paris Declaration on Aid Effectiveness, partner countries commit themselves to “intensify efforts to mobilize domestic resources, strengthen fiscal sustainability and create an enabling environment for public and private investment”.[19] Similarly, the United Nations Global Compact launched by the Secretary-General at the International Conference on Financing for Development, held in Monterrey, Mexico in 2002, provides that if developing countries improve governance and achieved results, the donors would come up with the necessary funding to reach the millennium development goals.[20] The Education for All Fast Track Initiative, the most important mechanism of international assistance for education, was designed to assist countries to achieve millennium development goal 2 and the Education for All goals, and pays particular attention to the adequate management of domestic resources by recipient countries.","18. In 2006, States and international organizations involved in development aid established the Leading Group on Innovative Financing for Development to devise additional international financing mechanisms to promote global development. The International Task Force on Innovative Financing for Education, established as part of that initiative, is currently discussing a number of alternatives to enhance funding for education,[21] including the mobilization of domestic resources as well as international aid.[22]","5. Relevant global political commitments","19. Commitments to finance primary education are expressed in numerous international declarations and are at the heart of major global campaigns. At the World Education Forum in 2000, Governments, along with other stakeholders, pledged themselves to a strategy, inter alia, to “mobilize strong national and international political commitment for education for all, develop national action plans and enhance significantly investment in basic education”.[23] Those pledges include the commitment that “political will must be underpinned by resources”. It is thus incumbent upon Governments to provide domestic resources for achieving Education for All. Access to education, as a basic human right, is considered a “strategic development investment”.[24]","20. The Millennium Development Goals should also be construed as a reaffirmation of obligations expressed in human rights treaties and, therefore, of the responsibility of Governments to provide financial resources for education. Millennium development goal 2 reflects the obligation to ensure universal primary education, including the obligation to ensure that no direct or indirect costs deprive children of their right to education. Millennium development goal 3 reflects the obligation to ensure gender parity at all levels of education, including the duty to provide financial resources for that purpose.","B. National legal framework for financing basic education","21. It is incumbent upon States to incorporate in domestic law their international obligations to finance education. Provisions for public funding of education in a country’s constitution, national legislation and educational policies are crucial to give effect to obligations relating to the realization of the right to education. The Special Rapporteur considers that the adoption of a national legal framework for financing education indicates the importance and priority given to the right to education.","22. Through law reforms promoted in the context of the Education for All process, one can witness the emergence of the right to basic education in continuum with the right to primary education in national legal frameworks. As a result, States recognize their duty to guarantee universal access to basic education. The 2009 Commonwealth Heads of Government Meeting, for example, called on all Commonwealth countries to commit further resources to basic education.[25]","1. Constitutional provisions","23. Constitutional provisions on financing education provide a firm basis for developing national legislation and education policies. Such provisions exist in several countries that have different criteria for determining minimum levels of investment in education.","24. Some constitutions establish a minimum level of resources that must be committed to education as a proportion of tax revenues. The Constitution of Brazil provides in article 212 that “the Union shall apply annually not less than 18 per cent of its tax revenues, and the States, the Federal District, and Counties at least 25 per cent of the tax revenues, including revenues resulting from transfers, for the maintenance and development of education”.","25. Other constitutions establish a minimal share for education in the overall national budget. The Constitution of Indonesia, as revised in 2002, establishes in article 31 (4) that the State shall prioritize the budget for education to a minimum of 20 per cent of the State budget and of the regional budgets to fulfil the needs of implementation of national education.","26. Other constitutions use the national gross domestic product (GDP) to calculate the minimum support required for education. The 2008 Constitution of Ecuador provides that public expenditure for education shall be 6 per cent of GDP. The 1997 Constitution of Costa Rica contains similar provisions.","27. Finally, other constitutions lay down the obligation to prioritize investment in education. The Constitution of Ethiopia provides that “the State has the obligation to allocate ever increasing resources to provide to the public health, education and other social services” (art. 41 (4)). Similarly, the Constitutions of the Philippines and of Viet Nam provide that the State shall give priority investment to education.","2. National legislation and budgetary allocation for basic education","28. The Committee on Economic, Social and Cultural Rights has underlined the importance of national legislation for giving effect to State obligations.[26] National legislation developed in many countries, often in the context of the Education for All process, contains important provisions for financing basic education, establishing minimal levels of financial support and responsibilities in that regard. Recent developments that can be cited as practical examples are described below.","29. In South Africa, basic education is a constitutional right. The South African Schools Act, 1996 provides that “subject to the Constitution and this Act, the Minister must determine norms and minimum standards for the funding of public schools after consultation with the Council of Education Ministers, the Financial and Fiscal Commission and the Minister of Finance” (para. 35).","30. In Nigeria, the Act on Compulsory Free Universal Basic Education, 2004, which provides for nine years of compulsory basic education, establishes the Universal Basic Education Commission, entrusted with the task of implementing the right to basic education and with the provision of resources. The universal basic education programme is financed by 2 per cent of the Consolidated Revenue Fund.","31. In Argentina, the National Education Law No. 26.206 of 2007 provides that the resources for education shall be increased to 6 per cent of GDP in 2010. The Law lays down a right to compulsory schooling from the age of 5 until the completion of secondary education (art. 16).","32. In Mexico, the General Law on Education, revised in 2003, provides for 8 per cent of GDP to be allocated to public education and education services (art. 25). It is reported that this contributed to an increase in support to education.","33. In India, policies for financing basic education have emanated from national legislation, as exemplified by measures being taken for the implementation of the Right of Children to Free and Compulsory Education Act, 2009. An exponential increase in expenditure on education in the country’s five-year plan is reported as a consequence of this framework.","34. In Senegal, Law 91-22 of 1991 on the orientation of national education, modified in 2004 by Law 2004-37, institutes compulsory schooling for all children aged between 6 and 16, which is free in all public schools. The recognition of the duty to provide education was reportedly followed by an increase in national investment to nearly 40 per cent of the national budget.","35. In Kenya, the adoption of the Children’s Act of 2001 and of education strategies for the 21st century underlined the core commitment to universalize primary education. It is reported that resource allocations to education have increased significantly as a result of that commitment.","36. In China, the Compulsory Education Law, as amended in 2006, provides for nine years of basic education. It guarantees that basic education will be financed by the State Council and local people’s governments. The National Plan for Medium and Long-term Education Reform and Development (2010-2020) recognizes that funding of education is a basic and strategic investment. Under the plan, it is proposed to raise public expenditure on education to 4 per cent of GDP by 2012.","37. Some legal frameworks devolve financing responsibilities to subnational entities. In Iceland, the Compulsory School Act No. 19 of 2008, provides that the municipalities shall finance the capital investment costs of compulsory education. In Thailand, the National Education Act, 1999 authorizes the State and local bodies to levy educational taxes as appropriate. Some countries having a federal system make specific financing arrangements in terms of the competence and responsibility of federal and provincial (state) authorities.[27]","3. Mobilization of additional resources for education","38. Legal instruments can enable the mobilization of additional resources for education. A 2 per cent education cess on all central taxes levied in India has resulted in an important expansion of funding for the elementary education sector. Similarly, the National Plan of China, mentioned above, proposes an education surtax accounting for 3 per cent of the value-added tax, to be spent specifically on educational undertakings. Mobilizing additional resources through such special taxation schemes is crucial in reinforcing budgetary provisions.[28]","39. Public investment in basic education can be enhanced by mobilizing additional resources from contributions of local bodies, private donors and communities through institutional mechanisms that supplement Government funding. For example, the Tanzania Education Authority, under the Education Fund Act, 2001 can “receive gifts, donations, grants or other moneys on behalf of the Fund”. Similar mechanisms exist, for instance, in India with the Bharatiya Shiksa Kosh (education fund) and in Nigeria with the Education Tax Fund. It must be ensured that the modus operandi of all such institutional mechanisms is fully respectful of transparency and accountability.","40. The present report focuses only on financing education through public resources. However, it is clear that the private sector can complement State initiatives in providing education by entering into partnerships with Governments for equitably sharing responsibilities.[29] It should, however, be ensured that such partnerships operate within a legal framework that requires full compliance with human rights norms and with standards of quality education.","C. Concerns requiring further consideration","41. As described above, human rights instruments clearly establish State obligations to finance education. Translating these obligations into practice requires a number of legal and policy instruments to ensure that investment in education is predictable and sustainable and that financial resources are made available and properly utilized in a timely manner to ensure the broadest possible enjoyment of the right to education. Adopting a legal framework for financing education offers an important tool for fostering accountability, as action affecting public investment in education can become the subject of domestic legal action.[30]","42. Below, the Special Rapporteur mentions some core concerns that deserve further attention in the implementation of legal instruments for financing basic education.","1. Securing adequate financial resources for basic education","43. In order to overcome resource constraints on the Education for All agenda, the High-level Group on Education for All has advocated for ensuring that a minimum proportion of national budgets (15 to 20 per cent) or share of GDP (4 to 6 per cent) is dedicated to education.[31] As described above, mechanisms establishing that a proportion of overall public expenditure or the revenue from specific taxes is earmarked to education have already accomplished results in the expansion of funding for education in various countries. It is clear that an evaluation of the effectiveness of those mechanisms over time will depend on the overall functioning of fiscal and budgetary policy mechanisms in place in a given State.","2. Ensuring adequate utilization of resources for education","44. While allocating the maximum amount of domestic resources to education is crucial, it is of equally critical importance to ensure their effective and optimal utilization.[32] Beyond securing funds for education, legal instruments protecting the right to education can further guide State action for the utilization of resources assigned to education in accordance with human rights obligations.","45. Bearing in mind the obligation to ensure universal primary education and commitments to meet the Millennium Development Goals and the Education for All agenda, public funding for primary and basic education should be ensured as a matter of priority.","46. Evaluation of the effectiveness of financial management in the area of education requires attention to the core principles of equality and non-discrimination. In the allocation of funds to the various education levels and regions within a territory, prevailing socio-economic disparities and their implications for the education sector must be taken into consideration. In situations where schools are funded through subnational budgets, it is also necessary to ensure that differences in revenues collected locally do not result in inequalities between regions.","47. Specific resources must be ensured to address the root causes of the exclusion from education of girls, those living in poverty or with disabilities, ethnic and linguistic minorities, migrants, and other marginalized and disadvantaged groups. Specific measures targeting important obstacles to education must be considered, including the abolition of school fees and the provision of subsidies for other costs, such as textbooks, uniforms and transportation.[33] Temporary special measures to provide financial support to such groups through affirmative action have a normative basis in international human rights treaties.[34] Particular attention must be paid to the principles of transparency and accountability in the management of education budgets.","3. Responding to quality imperatives","48. Finally, frameworks regulating education expenditure must give foremost consideration to the improvement of quality education, recognizing the centrality of education in people’s lives and the empowering role of quality education. Often education budgets are fully consumed by recurring expenditure, mostly teachers’ salaries, which, unfortunately are often very low and result in difficulties in attracting qualified professionals.[35] Investment in essential areas such as the development of pedagogic materials, the training of teaching personnel and improving working conditions remains neglected. The Special Rapporteur intends to examine this question in another thematic report, on quality education.","D. Conclusion and recommendations","49. States cannot fulfil their international obligations concerning the realization of the right to education unless they provide the necessary resources for education and make them available on a consistent and predictable basis. For this purpose, national legal and policy frameworks ensuring investment in education play a crucial role. They are also essential in accelerating sustainable progress towards achieving the Millennium Development Goals and moving the Education for All agenda forward. Education is indeed the best investment a country can make and deserves the highest priority in resource allocation. As a global public good of paramount importance, education should receive strong commitments from global leaders for its funding.[36]","50. In that spirit, the Special Rapporteur provides the following recommendations:","(a) Securing investment in education through domestic legal frameworks","51. A national law whereby at least a minimum level of investment is indispensably assured for quality education is highly necessary. Following up on the recommendations made consistently by the High-level Group on Education for All, the establishment of an internationally accepted norm, whereby a certain minimum percentage of GNP (4-6 per cent) or of the national budget (15-20 per cent) is allocated to education may be valuable in providing the basis for developing a national legal and policy framework.","(b) Devising strategies to increase resource allocation","52. It is of crucial importance for countries to devise new approaches to resource allocation and its utilization. To enhance investment in education as a national priority, budget lines for education can be provided for in various ministries concerned with social development (ministries of social welfare, child and women’s development, labour, health, etc.). At the same time, broadening the tax base is important for creating more budgetary resources.","(c) Promoting public debate and exchange of experiences","53. Education does not often receive the priority it deserves at the national level in terms of budget allocations. To ensure that education receives priority attention, it would be expedient to promote public dialogue among ministers of education and ministers of finance and planning on the necessary steps to secure maximum funding for education. An exchange of ideas and approaches among countries regarding legal and policy frameworks for financing education would enable national authorities to draw upon available experiences and practical examples from a comparative perspective and could provide insight into new avenues for investment in education.","(d) Giving particular attention to the financing of basic education in providing technical assistance to Governments for the development of national legal frameworks","54. Pursuant to Human Rights Council resolution 17/3, UNESCO and UNICEF should be encouraged to continue to provide technical assistance to Member States for modernizing/developing national legislation. In this process, the importance of provisions for the financing of basic education should be emphasized.","(e) Responding to quality imperatives","55. Budgetary provision for quality education is scarce as almost the totality of resources assigned for education go to recurring expenditure. A paradigm shift is required to respond to quality imperatives, which remains a daunting challenge.","III. Update on education in emergencies","56. The General Assembly, in its resolution 64/290, requested the Special Rapporteur to include in his next interim report to the General Assembly at its sixty-sixth session an update to the report on the right to education in emergencies submitted in 2008 by his predecessor (A/HRC/8/10) in order to identify gaps and remaining challenges in ensuring the right to education in emergency situations.","57. In the 2008 report, emergencies were defined as any crisis situations due to natural disasters, or to armed conflict, which may be international (including military occupation) or internal, as defined in international humanitarian law, or post-conflict situations. It was pointed out in the report that, besides being a widely recognized State obligation, ensuring adequate education was indispensable for preventing emergencies and ensuring success in peacebuilding and recovery efforts. It was underlined, however, that education was frequently found to be interrupted, delayed or even denied during emergencies and in the reconstruction process. In the report a number of recommendations were presented to States and intergovernmental and non-governmental organizations for better protecting education and ensuring its inclusion as an integral part of the humanitarian response to conflicts and natural disasters.","58. The current update is divided into six sections reflecting the content and core recommendations of resolution 64/290. Each section provides an indication of remaining challenges in the promotion of education in emergencies, and progress made in the past three years. The first section focuses on the recommendation for increasing political and financial support to education in emergencies. The second section addresses the recommendation to better protect schools from attacks and to ensure accountability. The third section addresses the recommendation to better prepare education systems for situations of natural disaster. The fourth section addresses the recommendation that attention be given to the specific needs of girls and other marginalized groups. The fifth section focuses on the recommendation to ensure quality education in emergencies. The sixth section is dedicated to the need for improving the collection of data on education in emergencies.","59. The preparation of the present update benefited from an extensive submission prepared through a collaborative consultative process led by a group of international and non-governmental organizations with expertise on education in emergencies.[37] The Special Rapporteur expresses his gratitude to all those who compiled or shared information for the preparation of the update.","A. Ensuring political and financial support to education in emergencies","60. Millions of persons continue to be deprived of their right to education in emergencies. Enhanced political attention and sustainable financial support are essential to safeguard this fundamental right. Lack of sufficient attention to education in emergencies continues to affect prospects for achieving both the Millennium Development Goals and the Education for All (EFA) goals. The EFA Global Monitoring Report, 2011 underlines that around 28 million children of primary school age in conflict-affected countries are estimated to be currently out of school. This represents 42 per cent of the total number of children in the world who are out of school.[38] Education is also at risk from natural and man-made disasters: an estimated 875 million schoolchildren live in high seismic risk zones and hundreds of millions more face regular flood, landslide, extreme wind and fire hazards, as well as slow onset disasters.[39]","61. General Assembly resolution 64/290 reflects States’ recognition of the urgency of ensuring the realization of the right to education as an integral element of humanitarian assistance and response. Debate and research efforts within the United Nations system are helping to unveil what has been called a “hidden crisis” by the EFA Global Monitoring Report. Thematic days of discussion focused on the topic were conducted by the Committee on the Rights of the Child in 2008 and the General Assembly in 2009.","62. Increased and more coordinated attention to education among the stakeholders providing humanitarian assistance remains a key concern. The recent partnership between The Sphere Project and the Inter-Agency Network for Education in Emergencies (INEE) in preparing the companionship agreement guiding the integration of quality education in humanitarian response represents an important step in the promotion of more coherent and dedicated attention to education within the humanitarian community. Traditionally excluded from humanitarian priorities, the restoration of access to education continues to be cited as a priority by families and young people affected by emergencies.[40] Responding to the needs identified by communities affected is an essential component of humanitarian responses, and central to the implementation of the right to education.","63. Despite the increased recognition of the importance of education in emergencies by the international community and by communities affected by emergencies, funding remains extremely limited. Only a few donor agencies have explicitly included education as part of their humanitarian policies.[41] The EFA Global Monitoring Report, 2011 underlined that in 2009, the share of humanitarian aid dedicated to education in conflict-related emergencies represented merely 2 per cent of total humanitarian aid.[42] It concluded:","Education is the poor neighbour of a humanitarian aid system that is underfinanced, unpredictable and governed by short-termism. It suffers from a double disadvantage: education accounts for a small share of humanitarian appeals, and an even smaller share of the appeals that get funded.[43]","64. Evaluations indicate that some particularly fragile countries requiring education funding are left behind, with donors clearly prioritizing countries linked with their security priorities: official development assistance to fragile States is highly concentrated, with 51 per cent of 2008 official development assistance for 43 fragile States benefiting just six countries, which account for only 23 per cent of the population of the total number of fragile States.[44]","65. The volatility of support is another cause of concern. As already indicated, the sustainability of financial support is crucial for the adequate functioning of education systems. It can only be ensured through continued financial support enabling programmes to continue their course uninterrupted. Important opportunities are missed in post-emergency situations because of the lack of sustainable support and funding in the transition from a humanitarian response to a development framework. The need for further investment in national planning and information systems in recipient countries is also underlined in those contexts.[45]","66. The Education For All — Fast Track Initiative is working to increase its support to fragile States, but so far has lacked the capacity to deliver financing in acute emergency settings.[46] In addition to bilateral support, a number of additional financing modalities exist to finance education in emergencies, but these are still clearly insufficient.","67. The Special Rapporteur underlines that emergencies do not relieve States from their obligation to take all appropriate measures to ensure the realization of the right to education of all persons in their territories, including non-nationals, refugees or internally displaced groups. Ensuring financial support for primary education in order to guarantee that it continues to be available during emergencies, making secondary education available without discrimination and promoting access to higher education on the basis of capacity are nothing more than the fulfilment of a human rights obligation.","68. Given the fragility of some States affected by emergencies, and the central role of international assistance and cooperation in that context, it is important to recall that the obligation to provide international assistance is established in human rights law.[47] It is also reflected in numerous international declarations, including the Dakar Framework of Action on Education for All, adopted by the World Education Forum in 2000. Moreover, as noted above, States requiring assistance are also obliged to seek and manage external assistance in accordance with human rights principles.","B. Protecting education from attack","69. Attacks against schools and institutions of higher education violate human rights and humanitarian law.[48] Nonetheless, as recently reported by the Secretary‑General, attacks against schools are a significant concern and a growing trend.[49] Insecurity still prevails in many education institutions located in conflict zones, with long-lasting consequences for education systems and students.","70. Studies indicate a continued increase in the reported number of attacks on education in situations of conflict and widespread violence over the past three years.[50] Such episodes include harming or killing students and school personnel, damaging or destroying education facilities and ultimately preventing thousands of students from attending school or university owing to closures. The Institute of International Education’s Scholar Rescue Fund[51] reports that applications from threatened scholars doubled during the period 2008-2011 as compared to the previous period. In certain situations, the use of schools by armed elements has compromised the civilian nature of schools and put students and teachers at risk.[52]","71. Despite deficiencies in monitoring mechanisms, increased attention on the part of the international community to situations of attack against education in emergencies can be noted. In 2010, the Global Coalition to Protect Education from Attack was established by international and non-governmental organizations to jointly promote efforts to prevent, respond to and monitor attacks against education. The Secretary-General included information on such situations in his most recent report on children in armed conflict.[53] The same was done by the Special Representative of the Secretary-General for Children and Armed Conflict, who recalled the importance of protecting schools against attacks and underlined that “enhancing accountability mechanisms for such crimes is key to ensuring that schools remain safe havens and zones of peace”.[54]","72. The Special Rapporteur considers that enhancing the capacity of mechanisms monitoring situations where education systems are targeted by those involved in armed conflict is essential to end invisibility and impunity. In that regard, he welcomes the recent adoption by the Security Council of resolution 1998 (2011), in which, expressing deep concern about attacks against schools, the Council requested the Secretary-General to include in the annexes to his reports on children and armed conflict information about recurrent attacks on schools and recurrent attacks or threats of attacks against protected persons in relation to schools. The Security Council’s monitoring and reporting mechanism has already played an important role in the identification of grave violations committed against children in armed conflict, and continuing and growing attention to attacks against schools will be vital to enhance protection of the right to education. To further ensure accountability, the capacity of domestic and international justice systems must also be enhanced, allowing for the prosecution of perpetrators, including non-State actors.","73. Beyond ensuring accountability for attacks against schools, targeted efforts are also required to prevent the occurrence of attacks against schools and other education institutions and to prepare them for situations of insecurity in order to minimize the damage armed conflict may cause. Finally, dedicated efforts are required to assist victims in their recovery and to ensure appropriate individual and collective reparation for these education-related violations.","C. Preparing education systems to cope with natural disasters","74. The increasing number of natural disasters must not be ignored by those in charge of education systems. Schools not only play a crucial role in preparing communities to be more resilient in such situations, but also need to be adequately prepared to minimize the harm that natural disasters may eventually cause to their own functioning. Thus, specific attention to the education sector is required in the development of overall disaster risk reduction strategies. At the same time, schools must develop and adopt systematic safety and security measures adapted to the specific circumstances they face.","75. Schools are often not constructed or maintained to be disaster resilient. An extensive consultation with children around the globe resulted in the recent preparation of a children’s charter for disaster risk reduction,[55] which highlights the need for schools to be safe and education not to be interrupted. INEE coordinated the preparation of guidance notes on the necessary steps to ensure the construction of safer schools and the adaptation of existing ones.[56] A major effort is needed to build technical capacity for, and ensure the adoption of, safer standards for education infrastructure to avoid tragedies where seismic or other hazards take the lives of large numbers of children in unsafe schools.","76. Attention is being paid also to the use of schools as a platform to increase the preparation of learners and education staff for disasters and their aftermath. Several countries have included disaster risk reduction elements in their school curriculum,[57] others have considered making disaster risk reduction and climate change adaptation a national education priority.[58]","77. The Special Rapporteur underlines that investing in preventive efforts through education is crucial to protect schools and the communities they serve from the impact of natural disasters. Therefore, education systems must be actively engaged in the development and implementation of risk management strategies. Through their regular activities, schools must also contribute to establishing a culture of prevention and preparedness among students, staff and the communities to which they belong. Considering that the risks and needs of communities vary greatly, even within the same region, it is important to ensure that risk management strategies are prepared through meaningful participatory processes involving the communities where schools are located.","D. Ensuring attention to girls and marginalized groups","78. The failure of Governments to tackle persistent inequalities based on income, gender, location, ethnicity and language is one of the reasons for the limited progress in the realization of the Education for All goals[59] as well as the Millennium Development Goals. Obstacles to schooling that are already present during periods of normality have their impact obviously magnified in emergency contexts. The costs of schooling can greatly increase and commuting between school and home often becomes very difficult and insecure, further excluding those living in poverty or more vulnerable to violence. In this sense, targeted initiatives identifying marginalized groups and addressing their specific needs are necessary to avoid widening inequalities in education.","79. Efforts to ensure gender parity in education are particularly relevant in this context. Attention has been drawn to the pervasive harm of sexual violence during conflict, which directly and indirectly affects female teachers and students.[60] Insecurity on the way to and from and within schools or colleges appears as a central element in the exclusion of girls from the education system. The lack of separate sanitary facilities in emergency schools can also constitute a major barrier to girls’ education.","80. Despite the obvious resource constraints experienced in emergencies, neglecting the impact of discrimination and structural inequalities in education while planning, implementing and evaluating education policies in these situations can lead to further marginalization and in some cases contribute to a recurrence of conflict.","81. Refugees and internally displaced persons continue to face great obstacles when seeking education outside their communities of origin. Data collected by the Office of the United Nations High Commissioner for Refugees within official camps indicated limited and uneven access to education across camps; the overall primary school participation rate of refugee children in camps was 69 per cent and at the secondary level only 30 per cent.[61] Several countries maintain administrative barriers to the enrolment of both refugee and internally displaced children, despite human rights obligations to provide education without discrimination of any kind to all children living in their territories[62] and the relevant provisions of the Convention relating to the Status of Refugees.[63] Short-term financing of projects in situations of prolonged displacement threatens the education, and progression, of many thousands of refugee and internally displaced children;[64] gaps in the financing of education in such situations must be addressed as a matter of priority because of the long-lasting impact of the denial of education to these populations.","82. The Special Rapporteur already underlined in his first report to the Human Rights Council (A/HRC/17/29) that equality of opportunity in education permeates most human rights treaties. Human rights treaties establish the duty to ensure the right of access to public educational institutions and programmes on a non‑discriminatory basis, and to provide primary education for all.","E. Ensuring quality education at all levels","83. Enrolment in school does not alone ensure the fulfilment of the right to education if, for example, the quality of the education provided does not correspond to adequate standards. Resource constraints faced in periods of emergency do not justify overlooking basic requirements to ensure quality education, such as the presence of qualified teachers, the availability of adequate educational materials, adequate real teaching time and improved classroom environments.","84. States, international organizations and civil society continue to contribute guidance to improve quality education in emergencies through materials prepared by INEE. A consultative process involving stakeholders concerned with education in emergencies all over the world led to an updated version of the INEE Minimum Standards for Education: Preparedness, Response, Recovery providing important policy guidance on the necessary steps to ensure quality education. The recently released INEE Guidance Notes on Teaching and Learning provide more specific pedagogical guidance based on the accumulated experience of educators working in emergency situations.","85. As discussed above, the inadequate and short-term funding of emergency and transitional education programmes deeply affect the possibilities of addressing serious deficiencies that result in very low levels of quality in education. Moreover, the overall tendency of humanitarian work to focus solely on primary education limits investment in early childhood care and development, and in secondary and higher education. This bias greatly limits prospects of progression for students and increases the challenges for training teachers.","86. The EFA Global Monitoring Report 2011 describes a number of issues critical to ensuring quality education for students affected by or at risk of conflict. They include ensuring that children can learn in their mother tongue, particularly at the early stages, rethinking the teaching of history and religion so it illustrates different perspectives on conflict-sensitive issues, and promoting non-violent school environments.","87. The effective teaching of literacy, numeracy and life skills, such as health preparedness and conflict resolution, is crucial to enhancing resilience during periods of emergency. School staff must be given adequate incentives, and have their capacity enhanced, to give appropriate attention to the psychosocial needs of students, using resources and making schedule arrangements that allow for recreational and expressive activities, as well as referring severely affected students for additional support.","88. The provision of learning achievement certification is another concern related to the quality of education in emergency contexts, in particular for students in refugee schools. Specific strategies are required to ensure that, even in times of crisis, students have their achievements adequately monitored, documented and recognized.","F. Collecting information on education in emergencies","89. Limitations in data collection in emergency situations continue to affect humanitarian efforts as a whole. Lack of capacity to accurately assess education needs limits the possibilities for accurately designing and evaluating education initiatives in emergency contexts. As already mentioned, poor monitoring further results in invisibility and consequent impunity in situations where schools are directly targeted by violence.","90. The EFA Global Monitoring Report 2011 pointed to serious limitations in data collection in conflict situations: “assessments of need for communities caught up in conflict are at best haphazard, even taking into account the inevitable constraints associated with conducting surveys in conflict affected areas”.[65] It also underlined that donors’ assessments tend to underestimate needs in the education sector as their proposals are often tailored to meet low expectations of donor funding.[66] Limited attention is paid to needs assessment for qualitative aspects of education, such as textbook supply, hours of study and in-service teacher training. Human resources and infrastructure requirements for secondary education tend also to be completely ignored.","91. Collecting information during emergencies requires specific strategies to overcome the various obstacles faced in such circumstances. These obstacles may include difficult logistics, physical insecurity, the political and ethical implications of activities in rapidly changing environments, and the technical challenges of working with mobile populations and populations with unusual demographic compositions.[67]","92. The Global Education Cluster developed a Joint Education Needs Assessment Toolkit in 2010, as well as a Short Guide for Rapid Needs Assessments to provide guidance on data collection in emergency situations. The need for further improving monitoring capacities through the definition of a core set of indicators, including estimated numbers of children and youth to be reached, age and gender profiles, patterns of displacement, education materials, teacher and infrastructure requirements needed to guide the estimation of financing requirements has been underlined.[68]","G. Conclusion and recommendations","93. As discussed in the previous report on education in emergency situations (A/HRC/8/10), severely limited access to education continues to be a reality for most of the communities affected by emergencies. Despite increased attention by the international community, crucial problems persist: funding for humanitarian activities continues to ignore requirements to ensure education; schools continue to be victimized by direct and indirect violence; and preventive efforts are still timid vis-à-vis an increased impact of natural disasters. To reverse the current trend, States and other entities providing and channelling humanitarian and transitional assistance must pay enhanced attention to education in emergencies. Providing education and ensuring that education is protected during periods of emergency is not a choice, but an obligation.","94. In this context, the Special Rapporteur submits the following recommendations:","(a) Ensuring adequate funding for education in situations of emergency","95. States must urgently increase their national, bilateral and multilateral funding commitments for education as a pillar of humanitarian and transitional response. Explicit policy commitments must be made to ensure adequate and sustainable domestic and international support for education in situations of emergency, as well as in situations of fragility and protracted crisis. Such commitments must follow through to the final stages of recovery, including in development frameworks. Recipient countries must comply with human rights while seeking and managing international assistance.","(b) Enhancing the protection of schools from attacks","96. States must ensure systematic monitoring, documenting and reporting of violations of international human rights and humanitarian law committed against members of education communities and education institutions and settings. The recent adoption by the Security Council of resolution 1998 (2011) must be followed by enhanced attention to the situation of education in future efforts for monitoring violations of child rights during armed conflict. Domestic, regional and international accountability mechanisms, including those of the military, should be fully cognizant of, as well as systematically address, the obligations of State and non-State actors with respect to the right to education and other legal protections guaranteed to members of education communities and institutions. Specific efforts are required to strengthen the capacity of education providers to prevent and respond to attacks.","(c) Strengthening safety and disaster risk reduction","97. States must ensure that disaster risk and safety considerations are factored into the planning, design, construction and reconstruction of educational facilities. Disaster risk reduction and preparedness notions should be embedded in education policies and curricula. Participatory processes involving students and their communities must be used to ensure local hazard assessments and preparedness.","(d) Paying attention to the exclusion of girls and marginalized groups","98. States must take specific measure to guarantee the education of girls and marginalized groups in situations of emergency. Specific efforts are required to eliminate persistent or emerging patterns of discrimination and to remove physical, financial, cultural and linguistic barriers that contribute to furthering inequalities during periods of emergency.","(e) Ensuring quality education","99. Those in charge of the provision of education in emergencies must consider the requirements for meeting quality educational standards. Dedicated attention must be paid to improving school curricula, promoting human rights education and addressing the psychosocial needs of students and teachers.","(f) Developing a common framework for the assessment of education needs in emergencies","100. Further investments are required to ensure systematic data collection on the situation of education in emergencies. States and international and non‑governmental organizations providing support to education in emergencies should work on the development of a common framework for the assessment and reporting of met and unmet education needs in contexts of emergency. Such a framework must take into consideration human rights obligations regarding the right to education.","[1] A/HRC/17/29 and Corr.1.","[2] A/HRC/17/29/Add.2.","[3] International Covenant on Economic, Social and Cultural Rights, articles 13 and 14, and the UNESCO Convention against Discrimination in Education comprehensively provide this right, which is also guaranteed by articles 28 and 29 of the Convention on the Rights of the Child, article 5 of the International Convention on the Elimination of All Forms of Racial Discrimination, articles 10, 11 and 13 of the Convention on the Elimination of All Forms of Discrimination against Women, articles 30, 43 and 45 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and article 24 of the Convention on the Rights of Persons with Disabilities.","[4] A/64/665, para. 71 (b).","[5] Several publications of the UNESCO International Institute for Educational Planning on the financing of education have also addressed this issue.","[6] UNESCO, Education for All Global Monitoring Report 2011, The Hidden Crisis: Armed Conflict and Education, p. 12.","[7] For example, recommendations addressed in 2009 and 2010 to Bolivia, Cambodia, Chile, the Democratic Republic of the Congo, the Dominican Republic, Ethiopia and Spain.","[8] ILO/UNESCO Recommendation concerning the Status of Teachers, para. 10 (l).","[9] Committee on Economic, Social and Cultural Rights, General Comment No. 13, paras. 44 and 45.","[10] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 12.","[11] Human Rights Council resolution S-10/1 of 23 February 2009.","[12] See Committee on Economic, Social and Cultural Rights, General Comment No. 13, para. 52.","[13] Article 2.1.","[14] Article 4.","[15] Article 4.2.","[16] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 11.","[17] Committee on Economic, Social and Cultural Rights, General Comment No. 11 (1999), para. 9, and General Comment No. 3 (1990), para. 14.","[18] Programme of Action for the Least Developed Countries for the Decade 2011-2020, adopted by the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011 (A/CONF.219/3/Rev.1), para. 74.2 (a) and 1 (c), and para. 72.1 (c).","[19] Paris Declaration on Aid Effectiveness, Part I: Statement of Resolve, para. 25. The Statement of Resolve reflects commitment to strengthening partner countries’ national development strategies and associated operational frameworks (e.g. planning, budget, and performance assessment frameworks) and “defining measures and standards of performance”.","[20] The underlying idea of debt swaps in education is the cancellation of external debt in exchange for the debtor Government’s commitment to mobilize domestic resources for spending on education, for example.","[21] See Leading Group on Innovative Financing for Development, “2+3=8; Innovating in financing education; Report of the Writing Committee to the Task Force on Innovative Financing for Education”, 2010.","[22] Discussed at the second meeting of the Education International Task Force of the Leading Group on Innovative Financing, Paris, 17 June 2010.","[23] Dakar Framework for Action, adopted at the World Education Forum, 2000, para. 8 (i).","[24] World Bank Group Education Strategy 2020, Learning for All: Investing in People’s Knowledge and Skills to Promote Development, Executive summary, p. 1.","[25] Communiqué of the Commonwealth Heads of Government Meeting, held in Trinidad and Tobago from 27 to 29 November 2009, para. 89.","[26] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 3: “The means which should be used in order to satisfy the State obligation to take steps are stated in article 2 (1) to be ‘all appropriate means, including particularly the adoption of legislative measures.’”","[27] For instance, in India, within the framework of the Right of Children to Free and Compulsory Education Act, 2009, the Federal Government will contribute 65 per cent of the public funding of education as against the 35 per cent contribution of States.","[28] In this context, it is important to note that reflections on innovative financing in education include several proposals for new mechanisms intended to offset the investment deficit in education and sustain funding over the long term.","[29] Jakarta Declaration, adopted at the International Conference on the Right to Basic Education as Fundamental Human Right and Legal Framework for its Financing, December 2005.","[30] For example, the Constitutional Court of Indonesia passed a resolution in 2008 reminding the lawmaker to meet the constitutional obligation to provide at least 20 per cent of the national budget to education in the fiscal year 2009. The Government accordingly was obliged to increase the budget for education.","[31] The High-level Group on Education for All, since its Fifth Meeting, in 2005, has consistently been recommending such measures to Governments. At its Tenth Meeting, held in March 2011, the High-level Group called upon national Governments to allocate at least 6 per cent of gross national product (GNP) and/or 20 per cent of public expenditure to education and to ensure the cost-effective use of resources.","[32] Committee on the Rights of the Child, Day of General Discussion on “Resources for the rights of the child — responsibility of States”, 21 September 2007.","[33] A/64/665, para. 71 (b).","[34] Article 13 of the International Covenant on Economic, Social and Cultural Rights provides for “an adequate fellowship system”, inter alia, with respect to achieving full realization of the right to education. Similarly, the UNESCO Convention against Discrimination in Education lays down the criterion of “merit or need” with respect to “the grant of scholarships or other forms of assistance to pupils” (art. 3 (c)).","[35] Teachers’ salaries have been doubled in Ecuador under the Law on Intercultural Education, 2011.","[36] Fourth meeting of the International Task Force on Innovative Financing for Education, UNESCO Headquarters, Paris, 4 February 2011.","[37] Education Above All, the Inter-Agency Network for Education in Emergencies, the Right to Education Project/ActionAid International, Save the Children International and the United Nations Children’s Fund co-signed the submission.","[38] UNESCO, EFA Global Monitoring Report, 2011, p. 15.","[39] International Strategy for Disaster Reduction, Inter-Agency Network for Education in Emergencies and World Bank, Guidance Notes on Safer School Construction (New York, INEE; Washington, World Bank Global Facility for Disaster Reduction and Recovery, 2009).","[40] INEE, INEE Reference Guide on External Education Financing (New York, 2010).","[41] Until 2010, Canada, Denmark, Japan, Norway and Sweden included education in their humanitarian aid policies. In 2011, donor agencies in Australia (AusAID) and the United States of America (USAID) reflected education in emergency situations and conflict-affected countries, respectively, in their education strategies. See Save the Children, “Making it happen: financing education in countries affected by conflict and emergencies”, 2011.","[42] UNESCO, EFA Global Monitoring Report, 2011, p. 204.","[43] Ibid., p. 19.","[44] Organization for Economic Cooperation and Development (OECD)-Development Cooperation Directorate (DAC) factsheet, “Ensuring fragile States are not left behind”, Paris, December 2010.","[45] UNESCO, EFA Global Monitoring Report, 2011, p. 227.","[46] Meeting of the Education for All Fast Track Initiative Board of Directors, 2011.","[47] See Articles 55 and 56 of the Charter of the United Nations, articles 2.1 and 11 of the International Covenant on Economic, Social and Cultural Rights, article 4 of the Convention on the Rights of the Child and article 32 of the Convention on the Rights of Persons with Disabilities.","[48] The right to education during conflict is protected by the Geneva Convention relative to the Protection of Civilian Persons in Time of War, of 12 August 1949. Under international humanitarian law, schools and educational institutions are civilian objects that are protected from deliberate attack unless and only for such time as they are being used by belligerent forces for a military purpose. See article 8 of the Rome Statute of the International Criminal Court.","[49] A/65/820-S/2011/250, para. 211.","[50] N. Boothby, A. Ager and R. Quinn, “Feasibility study for a global monitoring system for attacks on education: definitions and typology”, CPC Learning Network, Doha; Education Above All, New York, 2011.","[51] The Institute of International Education (IIE), an independent non-profit organization, has participated in the rescue of persecuted scholars since its founding in 1919. In 2002, IIE launched the Scholar Rescue Fund (SRF) as a formalized response to this ongoing international dilemma. SRF cooperates closely with the Scholars at Risk Network, the Council for Assisting Refugee Academics and similar organizations.","[52] A/65/820-S/2011/250, para. 211.","[53] Ibid.","[54] A/64/254, para. 25.","[55] Children’s Charter — an action plan for disaster risk reduction by children for children, available from www.childreninachangingclimate.org.","[56] Global Facility for Disaster Reduction and Recovery, Guidance Notes on Safer School Construction, 2009.","[57] Global Platform for Disaster Risk Reduction, “Aligning regional and global disaster risk reduction agendas; Summary of key regional political commitments & disaster risk reduction priorities”, 2011, p. 20.","[58] Ibid., p. 25.","[59] UNESCO, EFA Global Monitoring Report 2009, Summary, Overcoming Inequality: Why Governance Matters, pp. 4, 7 and 39.","[60] UNESCO, EFA Global Monitoring Report 2011, p. 190.","[61] Dryden-Peterson, S., “Conflict, education and displacement”, in Conflict & Education: An Interdisciplinary Journal, Toronto, 2011.","[62] Convention on the Rights of the Child, articles 2 and 28.","[63] Refugee children should be accorded the same treatment as is accorded to nationals with respect to elementary education (art. 22, para. 1) and treatment no less favourable than that accorded to foreigners with respect to education other than elementary education (art. 22, para. 2).","[64] UNESCO, EFA Global Monitoring Report 2011, Summary, p. 31.","[65] Ibid., p. 216.","[66] Ibid., p. 206.","[67] Jennifer Schlecht and Sara Casey, “Challenges of collecting baseline data in emergency settings”, Reproductive Health Access, Information and Services in Emergencies, 2008.","[68] UNESCO, EFA Global Monitoring Report 2011, p. 217."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"* A/66/150.\",\n \"The right to education\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the General Assembly the interim report of the Special Rapporteur on the right to education, Kishore Singh, submitted in accordance with Human Rights Council resolutions 8/4 and 17/3.\",\n \"Interim report of the Special Rapporteur on the right to education\",\n \"Summary\",\n \"The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. It is devoted to the issue of domestic financing of basic education. It details human rights obligations for financing education and provides practical examples of national legal frameworks that ensure domestic financing. The report also contains an update on the situation of education in emergencies, pursuant to General Assembly resolution 64/290. The Special Rapporteur underlines that the attention and funding dedicated to education in emergencies continue to be insufficient and inadequate, and calls for more investment in preventive efforts and for a better protection of education during armed conflict.\",\n \"Contents\",\n \"Page\\nI.Introduction 3II. Financing 3 basic \\neducation A. Human 4 rights obligations for financing \\neducation B.National 8 legal framework for financing basic \\neducation C.Concerns 10 requiring further \\nconsideration D.Conclusion 12 and \\nrecommendations III. Update 13 on education in \\nemergencies A.Ensuring 14 political and financial support to education in \\nemergencies B.Protecting 17 education from \\nattack C. Preparing 18 education systems to cope with natural \\ndisasters D.Ensuring 19 attention to girls and marginalized \\ngroups E.Ensuring 20 quality education at all \\nlevels F.Collecting 21 information on education in \\nemergencies G.Conclusion 22 and \\nrecommendations\",\n \"I. Introduction\",\n \"1. The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. It addresses State obligations regarding public financing of basic education and the importance of legal frameworks ensuring domestic financing of such education. It also contains an update on the situation of education in emergencies, in accordance with General Assembly resolution 64/290.\",\n \"2. Following his appointment by the Human Rights Council, Kishore Singh assumed his functions as Special Rapporteur in August 2010. Since then, he reported to the Human Rights Council at its seventeenth session, in June 2011. In his first report[1] he outlined priority areas to be examined in the course of his mandate and addressed in more detail State obligations to ensure equality of opportunity in education. He also reported on his first country mission to Senegal,[2] which was conducted in January 2011.\",\n \"3. During his first year of work, the Special Rapporteur participated in a number of public events on education and worked to establish collaboration with States, international organizations and non-governmental organizations. The Special Rapporteur recently participated in two regional preparatory meetings of the Economic and Social Council, in Thailand in March and in Togo in April. In July, the Special Rapporteur participated in the annual ministerial review held during the High-Level Segment of the substantive session of the Council, which focused on internationally agreed goals and commitments with regard to education.\",\n \"II. Financing basic education\",\n \"4. The right to education is an internationally recognized right and the provision of adequate financial resources is essential to its realization. Article 26 of the Universal Declaration of Human Rights recognizes the right of everyone to education, which shall be free, at least in the elementary and fundamental stages. Since the adoption of the Universal Declaration of Human Rights, States have undertaken international legal obligations for the fulfilment of the right to education through various human rights instruments[3] and assumed the responsibility of providing the resources required for its realization.\",\n \"5. Resource constraints, however, remain a major barrier to the realization of the right to education. Prospects for achieving the targets of millennium development goals 2 (Ensuring that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling) and 3 (Eliminating gender disparity in all levels of education no later than 2015) are bleak on account of a dearth of resources. The assessment prepared for the 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals underlined the need for scaling up budgets and providing enhanced resources to accelerate progress in meeting those targets.[4] The Education for All Global Monitoring Reports in recent years have consistently pointed to insufficient funding for education. More recently, public expenditure cuts as a consequence of the global financial crisis have threatened to decrease support to the education sector, possibly jeopardizing recent advances.[5] For instance, 7 of 18 low-income countries reduced spending on education in 2009; those countries alone had 3.7 million children out of school.[6]\",\n \"6. In view of the critical need to overcome resource constraints for the realization of the right to education and for the achievement of internationally agreed goals such as the millennium development goals and Education for All, in the present report the Special Rapporteur recalls States’ obligations regarding the provision of domestic resources for basic education and presents examples of national legal instruments adopted to secure adequate financial resources for education.\",\n \"A. Human rights obligations for financing education\",\n \"7. In accordance with international human rights treaties, States are responsible for providing resources to ensure the enjoyment of human rights. Providing the necessary resources for the enjoyment of the right to education is all the more important, given that the enjoyment of this right is essential for the exercise of all other human rights. It deserves high priority in public investment, as both the individual and society are its beneficiaries.\",\n \"8. States’ obligations to ensure the provision of full resources to overcome constraints to the realization of the right to education consistently figure in the concluding observations adopted by the United Nations human rights treaty bodies. The Committee on Economic, Social and Cultural Rights and the Committee on the Rights of the Child have often expressed concern about declining educational standards due to lack of State investment in education and have recommended that the resources allocated to the education sector should be increased. The Committee on the Elimination of Discrimination against Women has also systematically urged States to increase investment in education as a fundamental human right and as a basis for the empowerment of women. Recommendations resulting from the Universal Periodic Review process of the Human Rights Council for the provision of increased resources to education further confirm the wide recognition of the central relevance of financing education for the fulfilment of human rights obligations.[7]\",\n \"9. Commitments to finance education are also present in the International Labour Organization (ILO)/United Nations Educational, Scientific and Cultural Organization (UNESCO) Recommendation concerning the Status of Teachers (1966), which recognizes the need for high priority to be given in all countries to setting aside, within the national budget, an adequate proportion of national income for the development of education.[8] In fact, the right to education is an integral part of the institutional mission of UNESCO, and Member States have the obligation of providing the necessary resources for its realization.\",\n \"1. Ensuring progressive realization and avoiding retrogression\",\n \"10. The concept of the progressive realization of economic, social and cultural rights, including the right to education, recognizes that their realization often extends over time. It also implies that measures to promote the fulfilment of a right must be adopted with a view to ensuring a sustainable expansion of its enjoyment across the country. When referring to the progressive realization of the right to education, the Committee on Economic, Social and Cultural Rights emphasized that States parties to the International Covenant on Economic, Social and Cultural Rights have a specific and continuing obligation “to move as expeditiously and effectively as possible” towards the full realization of that right. It also underlined: “there is a strong presumption of impermissibility of any retrogressive measures”.[9] In that sense, support to education must be driven by consideration of the need to ensure the gradual expansion of the education sector.\",\n \"11. Various United Nations human rights treaty bodies have expressed concern regarding the possible impact of economic crises on the enjoyment of human rights. The Committee on Economic and Social Rights specified that “even in times of severe resources constraints, whether caused by a process of adjustment, of economic recession or by other factors, the vulnerable members of society can and indeed must be protected by the adoption of relatively low-cost targeted programmes”.[10] More recently, the Human Rights Council adopted a resolution in which it called upon States to note that the global economic and financial crises did not diminish the responsibility of national authorities in the realization of human rights.[11]\",\n \"2. Fulfilling core obligations\",\n \"12. States’ obligations to satisfy, as a matter of priority, “minimum essential levels of each of the rights” recognized in the International Covenant on Economic, Social and Cultural Rights, also referred to as “minimum core obligations”, have immediate effect. Core obligations relating to the right to education include the obligation to provide primary education free of charge for all in accordance with article 13.2 (a) and the obligation to adopt and implement a national educational strategy that includes the provision of secondary, higher and fundamental education.[12] Article 14 of the Covenant further underlines the core obligation to adopt a plan of action aimed at securing the progressive implementation of the right to compulsory primary education, free of charge, within a reasonable time frame.\",\n \"3. Ensuring the provision of maximum available resources\",\n \"13. The International Covenant on Economic, Social and Cultural Rights,[13] the Convention on the Rights of the Child[14] and the Convention on the Rights of Persons with Disabilities[15] are all explicit about States parties’ obligations to provide maximum available resources to ensure the enjoyment of human rights.\",\n \"14. In its general comment on the nature of States parties’ obligations, the Committee on Economic, Social and Cultural Rights underlined that even where the available resources are inadequate for the realization of economic and social rights, the obligation remains for a State party to strive to ensure the widest possible enjoyment of those rights under the prevailing circumstances, to monitor the extent of their realization, and to devise strategies and programmes for their promotion.[16] Mentions of resources refer to financing, but not exclusively.\",\n \"4. Providing international assistance and cooperation\",\n \"15. Under the International Covenant on Economic, Social and Cultural Rights, States have an obligation to take steps individually and through international assistance and cooperation, to the maximum extent of their available resources, with a view to achieving the progressive realization of rights. The specific obligations of the international community towards financing the right to education have been underlined by the Committee on Economic, Social and Cultural Rights.[17] At the same time, States requiring international assistance must seek and manage aid in accordance with human rights norms and standards.\",\n \"16. By virtue of the principle of international solidarity, least developed countries, faced with serious financial constraints, deserve such assistance, a priori. Development partners must provide “financial and technical support” to those countries “to implement their national education plans and programmes, including increased accessibility in rural and remote areas”. For their part, the least developed countries need to strengthen their national education systems.[18]\",\n \"17. A number of political declarations on international aid underline the need for the adequate management of domestically available resources by recipient countries, which must contribute to the enhanced sustainability of development efforts. For example, through the 2005 Paris Declaration on Aid Effectiveness, partner countries commit themselves to “intensify efforts to mobilize domestic resources, strengthen fiscal sustainability and create an enabling environment for public and private investment”.[19] Similarly, the United Nations Global Compact launched by the Secretary-General at the International Conference on Financing for Development, held in Monterrey, Mexico in 2002, provides that if developing countries improve governance and achieved results, the donors would come up with the necessary funding to reach the millennium development goals.[20] The Education for All Fast Track Initiative, the most important mechanism of international assistance for education, was designed to assist countries to achieve millennium development goal 2 and the Education for All goals, and pays particular attention to the adequate management of domestic resources by recipient countries.\",\n \"18. In 2006, States and international organizations involved in development aid established the Leading Group on Innovative Financing for Development to devise additional international financing mechanisms to promote global development. The International Task Force on Innovative Financing for Education, established as part of that initiative, is currently discussing a number of alternatives to enhance funding for education,[21] including the mobilization of domestic resources as well as international aid.[22]\",\n \"5. Relevant global political commitments\",\n \"19. Commitments to finance primary education are expressed in numerous international declarations and are at the heart of major global campaigns. At the World Education Forum in 2000, Governments, along with other stakeholders, pledged themselves to a strategy, inter alia, to “mobilize strong national and international political commitment for education for all, develop national action plans and enhance significantly investment in basic education”.[23] Those pledges include the commitment that “political will must be underpinned by resources”. It is thus incumbent upon Governments to provide domestic resources for achieving Education for All. Access to education, as a basic human right, is considered a “strategic development investment”.[24]\",\n \"20. The Millennium Development Goals should also be construed as a reaffirmation of obligations expressed in human rights treaties and, therefore, of the responsibility of Governments to provide financial resources for education. Millennium development goal 2 reflects the obligation to ensure universal primary education, including the obligation to ensure that no direct or indirect costs deprive children of their right to education. Millennium development goal 3 reflects the obligation to ensure gender parity at all levels of education, including the duty to provide financial resources for that purpose.\",\n \"B. National legal framework for financing basic education\",\n \"21. It is incumbent upon States to incorporate in domestic law their international obligations to finance education. Provisions for public funding of education in a country’s constitution, national legislation and educational policies are crucial to give effect to obligations relating to the realization of the right to education. The Special Rapporteur considers that the adoption of a national legal framework for financing education indicates the importance and priority given to the right to education.\",\n \"22. Through law reforms promoted in the context of the Education for All process, one can witness the emergence of the right to basic education in continuum with the right to primary education in national legal frameworks. As a result, States recognize their duty to guarantee universal access to basic education. The 2009 Commonwealth Heads of Government Meeting, for example, called on all Commonwealth countries to commit further resources to basic education.[25]\",\n \"1. Constitutional provisions\",\n \"23. Constitutional provisions on financing education provide a firm basis for developing national legislation and education policies. Such provisions exist in several countries that have different criteria for determining minimum levels of investment in education.\",\n \"24. Some constitutions establish a minimum level of resources that must be committed to education as a proportion of tax revenues. The Constitution of Brazil provides in article 212 that “the Union shall apply annually not less than 18 per cent of its tax revenues, and the States, the Federal District, and Counties at least 25 per cent of the tax revenues, including revenues resulting from transfers, for the maintenance and development of education”.\",\n \"25. Other constitutions establish a minimal share for education in the overall national budget. The Constitution of Indonesia, as revised in 2002, establishes in article 31 (4) that the State shall prioritize the budget for education to a minimum of 20 per cent of the State budget and of the regional budgets to fulfil the needs of implementation of national education.\",\n \"26. Other constitutions use the national gross domestic product (GDP) to calculate the minimum support required for education. The 2008 Constitution of Ecuador provides that public expenditure for education shall be 6 per cent of GDP. The 1997 Constitution of Costa Rica contains similar provisions.\",\n \"27. Finally, other constitutions lay down the obligation to prioritize investment in education. The Constitution of Ethiopia provides that “the State has the obligation to allocate ever increasing resources to provide to the public health, education and other social services” (art. 41 (4)). Similarly, the Constitutions of the Philippines and of Viet Nam provide that the State shall give priority investment to education.\",\n \"2. National legislation and budgetary allocation for basic education\",\n \"28. The Committee on Economic, Social and Cultural Rights has underlined the importance of national legislation for giving effect to State obligations.[26] National legislation developed in many countries, often in the context of the Education for All process, contains important provisions for financing basic education, establishing minimal levels of financial support and responsibilities in that regard. Recent developments that can be cited as practical examples are described below.\",\n \"29. In South Africa, basic education is a constitutional right. The South African Schools Act, 1996 provides that “subject to the Constitution and this Act, the Minister must determine norms and minimum standards for the funding of public schools after consultation with the Council of Education Ministers, the Financial and Fiscal Commission and the Minister of Finance” (para. 35).\",\n \"30. In Nigeria, the Act on Compulsory Free Universal Basic Education, 2004, which provides for nine years of compulsory basic education, establishes the Universal Basic Education Commission, entrusted with the task of implementing the right to basic education and with the provision of resources. The universal basic education programme is financed by 2 per cent of the Consolidated Revenue Fund.\",\n \"31. In Argentina, the National Education Law No. 26.206 of 2007 provides that the resources for education shall be increased to 6 per cent of GDP in 2010. The Law lays down a right to compulsory schooling from the age of 5 until the completion of secondary education (art. 16).\",\n \"32. In Mexico, the General Law on Education, revised in 2003, provides for 8 per cent of GDP to be allocated to public education and education services (art. 25). It is reported that this contributed to an increase in support to education.\",\n \"33. In India, policies for financing basic education have emanated from national legislation, as exemplified by measures being taken for the implementation of the Right of Children to Free and Compulsory Education Act, 2009. An exponential increase in expenditure on education in the country’s five-year plan is reported as a consequence of this framework.\",\n \"34. In Senegal, Law 91-22 of 1991 on the orientation of national education, modified in 2004 by Law 2004-37, institutes compulsory schooling for all children aged between 6 and 16, which is free in all public schools. The recognition of the duty to provide education was reportedly followed by an increase in national investment to nearly 40 per cent of the national budget.\",\n \"35. In Kenya, the adoption of the Children’s Act of 2001 and of education strategies for the 21st century underlined the core commitment to universalize primary education. It is reported that resource allocations to education have increased significantly as a result of that commitment.\",\n \"36. In China, the Compulsory Education Law, as amended in 2006, provides for nine years of basic education. It guarantees that basic education will be financed by the State Council and local people’s governments. The National Plan for Medium and Long-term Education Reform and Development (2010-2020) recognizes that funding of education is a basic and strategic investment. Under the plan, it is proposed to raise public expenditure on education to 4 per cent of GDP by 2012.\",\n \"37. Some legal frameworks devolve financing responsibilities to subnational entities. In Iceland, the Compulsory School Act No. 19 of 2008, provides that the municipalities shall finance the capital investment costs of compulsory education. In Thailand, the National Education Act, 1999 authorizes the State and local bodies to levy educational taxes as appropriate. Some countries having a federal system make specific financing arrangements in terms of the competence and responsibility of federal and provincial (state) authorities.[27]\",\n \"3. Mobilization of additional resources for education\",\n \"38. Legal instruments can enable the mobilization of additional resources for education. A 2 per cent education cess on all central taxes levied in India has resulted in an important expansion of funding for the elementary education sector. Similarly, the National Plan of China, mentioned above, proposes an education surtax accounting for 3 per cent of the value-added tax, to be spent specifically on educational undertakings. Mobilizing additional resources through such special taxation schemes is crucial in reinforcing budgetary provisions.[28]\",\n \"39. Public investment in basic education can be enhanced by mobilizing additional resources from contributions of local bodies, private donors and communities through institutional mechanisms that supplement Government funding. For example, the Tanzania Education Authority, under the Education Fund Act, 2001 can “receive gifts, donations, grants or other moneys on behalf of the Fund”. Similar mechanisms exist, for instance, in India with the Bharatiya Shiksa Kosh (education fund) and in Nigeria with the Education Tax Fund. It must be ensured that the modus operandi of all such institutional mechanisms is fully respectful of transparency and accountability.\",\n \"40. The present report focuses only on financing education through public resources. However, it is clear that the private sector can complement State initiatives in providing education by entering into partnerships with Governments for equitably sharing responsibilities.[29] It should, however, be ensured that such partnerships operate within a legal framework that requires full compliance with human rights norms and with standards of quality education.\",\n \"C. Concerns requiring further consideration\",\n \"41. As described above, human rights instruments clearly establish State obligations to finance education. Translating these obligations into practice requires a number of legal and policy instruments to ensure that investment in education is predictable and sustainable and that financial resources are made available and properly utilized in a timely manner to ensure the broadest possible enjoyment of the right to education. Adopting a legal framework for financing education offers an important tool for fostering accountability, as action affecting public investment in education can become the subject of domestic legal action.[30]\",\n \"42. Below, the Special Rapporteur mentions some core concerns that deserve further attention in the implementation of legal instruments for financing basic education.\",\n \"1. Securing adequate financial resources for basic education\",\n \"43. In order to overcome resource constraints on the Education for All agenda, the High-level Group on Education for All has advocated for ensuring that a minimum proportion of national budgets (15 to 20 per cent) or share of GDP (4 to 6 per cent) is dedicated to education.[31] As described above, mechanisms establishing that a proportion of overall public expenditure or the revenue from specific taxes is earmarked to education have already accomplished results in the expansion of funding for education in various countries. It is clear that an evaluation of the effectiveness of those mechanisms over time will depend on the overall functioning of fiscal and budgetary policy mechanisms in place in a given State.\",\n \"2. Ensuring adequate utilization of resources for education\",\n \"44. While allocating the maximum amount of domestic resources to education is crucial, it is of equally critical importance to ensure their effective and optimal utilization.[32] Beyond securing funds for education, legal instruments protecting the right to education can further guide State action for the utilization of resources assigned to education in accordance with human rights obligations.\",\n \"45. Bearing in mind the obligation to ensure universal primary education and commitments to meet the Millennium Development Goals and the Education for All agenda, public funding for primary and basic education should be ensured as a matter of priority.\",\n \"46. Evaluation of the effectiveness of financial management in the area of education requires attention to the core principles of equality and non-discrimination. In the allocation of funds to the various education levels and regions within a territory, prevailing socio-economic disparities and their implications for the education sector must be taken into consideration. In situations where schools are funded through subnational budgets, it is also necessary to ensure that differences in revenues collected locally do not result in inequalities between regions.\",\n \"47. Specific resources must be ensured to address the root causes of the exclusion from education of girls, those living in poverty or with disabilities, ethnic and linguistic minorities, migrants, and other marginalized and disadvantaged groups. Specific measures targeting important obstacles to education must be considered, including the abolition of school fees and the provision of subsidies for other costs, such as textbooks, uniforms and transportation.[33] Temporary special measures to provide financial support to such groups through affirmative action have a normative basis in international human rights treaties.[34] Particular attention must be paid to the principles of transparency and accountability in the management of education budgets.\",\n \"3. Responding to quality imperatives\",\n \"48. Finally, frameworks regulating education expenditure must give foremost consideration to the improvement of quality education, recognizing the centrality of education in people’s lives and the empowering role of quality education. Often education budgets are fully consumed by recurring expenditure, mostly teachers’ salaries, which, unfortunately are often very low and result in difficulties in attracting qualified professionals.[35] Investment in essential areas such as the development of pedagogic materials, the training of teaching personnel and improving working conditions remains neglected. The Special Rapporteur intends to examine this question in another thematic report, on quality education.\",\n \"D. Conclusion and recommendations\",\n \"49. States cannot fulfil their international obligations concerning the realization of the right to education unless they provide the necessary resources for education and make them available on a consistent and predictable basis. For this purpose, national legal and policy frameworks ensuring investment in education play a crucial role. They are also essential in accelerating sustainable progress towards achieving the Millennium Development Goals and moving the Education for All agenda forward. Education is indeed the best investment a country can make and deserves the highest priority in resource allocation. As a global public good of paramount importance, education should receive strong commitments from global leaders for its funding.[36]\",\n \"50. In that spirit, the Special Rapporteur provides the following recommendations:\",\n \"(a) Securing investment in education through domestic legal frameworks\",\n \"51. A national law whereby at least a minimum level of investment is indispensably assured for quality education is highly necessary. Following up on the recommendations made consistently by the High-level Group on Education for All, the establishment of an internationally accepted norm, whereby a certain minimum percentage of GNP (4-6 per cent) or of the national budget (15-20 per cent) is allocated to education may be valuable in providing the basis for developing a national legal and policy framework.\",\n \"(b) Devising strategies to increase resource allocation\",\n \"52. It is of crucial importance for countries to devise new approaches to resource allocation and its utilization. To enhance investment in education as a national priority, budget lines for education can be provided for in various ministries concerned with social development (ministries of social welfare, child and women’s development, labour, health, etc.). At the same time, broadening the tax base is important for creating more budgetary resources.\",\n \"(c) Promoting public debate and exchange of experiences\",\n \"53. Education does not often receive the priority it deserves at the national level in terms of budget allocations. To ensure that education receives priority attention, it would be expedient to promote public dialogue among ministers of education and ministers of finance and planning on the necessary steps to secure maximum funding for education. An exchange of ideas and approaches among countries regarding legal and policy frameworks for financing education would enable national authorities to draw upon available experiences and practical examples from a comparative perspective and could provide insight into new avenues for investment in education.\",\n \"(d) Giving particular attention to the financing of basic education in providing technical assistance to Governments for the development of national legal frameworks\",\n \"54. Pursuant to Human Rights Council resolution 17/3, UNESCO and UNICEF should be encouraged to continue to provide technical assistance to Member States for modernizing/developing national legislation. In this process, the importance of provisions for the financing of basic education should be emphasized.\",\n \"(e) Responding to quality imperatives\",\n \"55. Budgetary provision for quality education is scarce as almost the totality of resources assigned for education go to recurring expenditure. A paradigm shift is required to respond to quality imperatives, which remains a daunting challenge.\",\n \"III. Update on education in emergencies\",\n \"56. The General Assembly, in its resolution 64/290, requested the Special Rapporteur to include in his next interim report to the General Assembly at its sixty-sixth session an update to the report on the right to education in emergencies submitted in 2008 by his predecessor (A/HRC/8/10) in order to identify gaps and remaining challenges in ensuring the right to education in emergency situations.\",\n \"57. In the 2008 report, emergencies were defined as any crisis situations due to natural disasters, or to armed conflict, which may be international (including military occupation) or internal, as defined in international humanitarian law, or post-conflict situations. It was pointed out in the report that, besides being a widely recognized State obligation, ensuring adequate education was indispensable for preventing emergencies and ensuring success in peacebuilding and recovery efforts. It was underlined, however, that education was frequently found to be interrupted, delayed or even denied during emergencies and in the reconstruction process. In the report a number of recommendations were presented to States and intergovernmental and non-governmental organizations for better protecting education and ensuring its inclusion as an integral part of the humanitarian response to conflicts and natural disasters.\",\n \"58. The current update is divided into six sections reflecting the content and core recommendations of resolution 64/290. Each section provides an indication of remaining challenges in the promotion of education in emergencies, and progress made in the past three years. The first section focuses on the recommendation for increasing political and financial support to education in emergencies. The second section addresses the recommendation to better protect schools from attacks and to ensure accountability. The third section addresses the recommendation to better prepare education systems for situations of natural disaster. The fourth section addresses the recommendation that attention be given to the specific needs of girls and other marginalized groups. The fifth section focuses on the recommendation to ensure quality education in emergencies. The sixth section is dedicated to the need for improving the collection of data on education in emergencies.\",\n \"59. The preparation of the present update benefited from an extensive submission prepared through a collaborative consultative process led by a group of international and non-governmental organizations with expertise on education in emergencies.[37] The Special Rapporteur expresses his gratitude to all those who compiled or shared information for the preparation of the update.\",\n \"A. Ensuring political and financial support to education in emergencies\",\n \"60. Millions of persons continue to be deprived of their right to education in emergencies. Enhanced political attention and sustainable financial support are essential to safeguard this fundamental right. Lack of sufficient attention to education in emergencies continues to affect prospects for achieving both the Millennium Development Goals and the Education for All (EFA) goals. The EFA Global Monitoring Report, 2011 underlines that around 28 million children of primary school age in conflict-affected countries are estimated to be currently out of school. This represents 42 per cent of the total number of children in the world who are out of school.[38] Education is also at risk from natural and man-made disasters: an estimated 875 million schoolchildren live in high seismic risk zones and hundreds of millions more face regular flood, landslide, extreme wind and fire hazards, as well as slow onset disasters.[39]\",\n \"61. General Assembly resolution 64/290 reflects States’ recognition of the urgency of ensuring the realization of the right to education as an integral element of humanitarian assistance and response. Debate and research efforts within the United Nations system are helping to unveil what has been called a “hidden crisis” by the EFA Global Monitoring Report. Thematic days of discussion focused on the topic were conducted by the Committee on the Rights of the Child in 2008 and the General Assembly in 2009.\",\n \"62. Increased and more coordinated attention to education among the stakeholders providing humanitarian assistance remains a key concern. The recent partnership between The Sphere Project and the Inter-Agency Network for Education in Emergencies (INEE) in preparing the companionship agreement guiding the integration of quality education in humanitarian response represents an important step in the promotion of more coherent and dedicated attention to education within the humanitarian community. Traditionally excluded from humanitarian priorities, the restoration of access to education continues to be cited as a priority by families and young people affected by emergencies.[40] Responding to the needs identified by communities affected is an essential component of humanitarian responses, and central to the implementation of the right to education.\",\n \"63. Despite the increased recognition of the importance of education in emergencies by the international community and by communities affected by emergencies, funding remains extremely limited. Only a few donor agencies have explicitly included education as part of their humanitarian policies.[41] The EFA Global Monitoring Report, 2011 underlined that in 2009, the share of humanitarian aid dedicated to education in conflict-related emergencies represented merely 2 per cent of total humanitarian aid.[42] It concluded:\",\n \"Education is the poor neighbour of a humanitarian aid system that is underfinanced, unpredictable and governed by short-termism. It suffers from a double disadvantage: education accounts for a small share of humanitarian appeals, and an even smaller share of the appeals that get funded.[43]\",\n \"64. Evaluations indicate that some particularly fragile countries requiring education funding are left behind, with donors clearly prioritizing countries linked with their security priorities: official development assistance to fragile States is highly concentrated, with 51 per cent of 2008 official development assistance for 43 fragile States benefiting just six countries, which account for only 23 per cent of the population of the total number of fragile States.[44]\",\n \"65. The volatility of support is another cause of concern. As already indicated, the sustainability of financial support is crucial for the adequate functioning of education systems. It can only be ensured through continued financial support enabling programmes to continue their course uninterrupted. Important opportunities are missed in post-emergency situations because of the lack of sustainable support and funding in the transition from a humanitarian response to a development framework. The need for further investment in national planning and information systems in recipient countries is also underlined in those contexts.[45]\",\n \"66. The Education For All — Fast Track Initiative is working to increase its support to fragile States, but so far has lacked the capacity to deliver financing in acute emergency settings.[46] In addition to bilateral support, a number of additional financing modalities exist to finance education in emergencies, but these are still clearly insufficient.\",\n \"67. The Special Rapporteur underlines that emergencies do not relieve States from their obligation to take all appropriate measures to ensure the realization of the right to education of all persons in their territories, including non-nationals, refugees or internally displaced groups. Ensuring financial support for primary education in order to guarantee that it continues to be available during emergencies, making secondary education available without discrimination and promoting access to higher education on the basis of capacity are nothing more than the fulfilment of a human rights obligation.\",\n \"68. Given the fragility of some States affected by emergencies, and the central role of international assistance and cooperation in that context, it is important to recall that the obligation to provide international assistance is established in human rights law.[47] It is also reflected in numerous international declarations, including the Dakar Framework of Action on Education for All, adopted by the World Education Forum in 2000. Moreover, as noted above, States requiring assistance are also obliged to seek and manage external assistance in accordance with human rights principles.\",\n \"B. Protecting education from attack\",\n \"69. Attacks against schools and institutions of higher education violate human rights and humanitarian law.[48] Nonetheless, as recently reported by the Secretary‑General, attacks against schools are a significant concern and a growing trend.[49] Insecurity still prevails in many education institutions located in conflict zones, with long-lasting consequences for education systems and students.\",\n \"70. Studies indicate a continued increase in the reported number of attacks on education in situations of conflict and widespread violence over the past three years.[50] Such episodes include harming or killing students and school personnel, damaging or destroying education facilities and ultimately preventing thousands of students from attending school or university owing to closures. The Institute of International Education’s Scholar Rescue Fund[51] reports that applications from threatened scholars doubled during the period 2008-2011 as compared to the previous period. In certain situations, the use of schools by armed elements has compromised the civilian nature of schools and put students and teachers at risk.[52]\",\n \"71. Despite deficiencies in monitoring mechanisms, increased attention on the part of the international community to situations of attack against education in emergencies can be noted. In 2010, the Global Coalition to Protect Education from Attack was established by international and non-governmental organizations to jointly promote efforts to prevent, respond to and monitor attacks against education. The Secretary-General included information on such situations in his most recent report on children in armed conflict.[53] The same was done by the Special Representative of the Secretary-General for Children and Armed Conflict, who recalled the importance of protecting schools against attacks and underlined that “enhancing accountability mechanisms for such crimes is key to ensuring that schools remain safe havens and zones of peace”.[54]\",\n \"72. The Special Rapporteur considers that enhancing the capacity of mechanisms monitoring situations where education systems are targeted by those involved in armed conflict is essential to end invisibility and impunity. In that regard, he welcomes the recent adoption by the Security Council of resolution 1998 (2011), in which, expressing deep concern about attacks against schools, the Council requested the Secretary-General to include in the annexes to his reports on children and armed conflict information about recurrent attacks on schools and recurrent attacks or threats of attacks against protected persons in relation to schools. The Security Council’s monitoring and reporting mechanism has already played an important role in the identification of grave violations committed against children in armed conflict, and continuing and growing attention to attacks against schools will be vital to enhance protection of the right to education. To further ensure accountability, the capacity of domestic and international justice systems must also be enhanced, allowing for the prosecution of perpetrators, including non-State actors.\",\n \"73. Beyond ensuring accountability for attacks against schools, targeted efforts are also required to prevent the occurrence of attacks against schools and other education institutions and to prepare them for situations of insecurity in order to minimize the damage armed conflict may cause. Finally, dedicated efforts are required to assist victims in their recovery and to ensure appropriate individual and collective reparation for these education-related violations.\",\n \"C. Preparing education systems to cope with natural disasters\",\n \"74. The increasing number of natural disasters must not be ignored by those in charge of education systems. Schools not only play a crucial role in preparing communities to be more resilient in such situations, but also need to be adequately prepared to minimize the harm that natural disasters may eventually cause to their own functioning. Thus, specific attention to the education sector is required in the development of overall disaster risk reduction strategies. At the same time, schools must develop and adopt systematic safety and security measures adapted to the specific circumstances they face.\",\n \"75. Schools are often not constructed or maintained to be disaster resilient. An extensive consultation with children around the globe resulted in the recent preparation of a children’s charter for disaster risk reduction,[55] which highlights the need for schools to be safe and education not to be interrupted. INEE coordinated the preparation of guidance notes on the necessary steps to ensure the construction of safer schools and the adaptation of existing ones.[56] A major effort is needed to build technical capacity for, and ensure the adoption of, safer standards for education infrastructure to avoid tragedies where seismic or other hazards take the lives of large numbers of children in unsafe schools.\",\n \"76. Attention is being paid also to the use of schools as a platform to increase the preparation of learners and education staff for disasters and their aftermath. Several countries have included disaster risk reduction elements in their school curriculum,[57] others have considered making disaster risk reduction and climate change adaptation a national education priority.[58]\",\n \"77. The Special Rapporteur underlines that investing in preventive efforts through education is crucial to protect schools and the communities they serve from the impact of natural disasters. Therefore, education systems must be actively engaged in the development and implementation of risk management strategies. Through their regular activities, schools must also contribute to establishing a culture of prevention and preparedness among students, staff and the communities to which they belong. Considering that the risks and needs of communities vary greatly, even within the same region, it is important to ensure that risk management strategies are prepared through meaningful participatory processes involving the communities where schools are located.\",\n \"D. Ensuring attention to girls and marginalized groups\",\n \"78. The failure of Governments to tackle persistent inequalities based on income, gender, location, ethnicity and language is one of the reasons for the limited progress in the realization of the Education for All goals[59] as well as the Millennium Development Goals. Obstacles to schooling that are already present during periods of normality have their impact obviously magnified in emergency contexts. The costs of schooling can greatly increase and commuting between school and home often becomes very difficult and insecure, further excluding those living in poverty or more vulnerable to violence. In this sense, targeted initiatives identifying marginalized groups and addressing their specific needs are necessary to avoid widening inequalities in education.\",\n \"79. Efforts to ensure gender parity in education are particularly relevant in this context. Attention has been drawn to the pervasive harm of sexual violence during conflict, which directly and indirectly affects female teachers and students.[60] Insecurity on the way to and from and within schools or colleges appears as a central element in the exclusion of girls from the education system. The lack of separate sanitary facilities in emergency schools can also constitute a major barrier to girls’ education.\",\n \"80. Despite the obvious resource constraints experienced in emergencies, neglecting the impact of discrimination and structural inequalities in education while planning, implementing and evaluating education policies in these situations can lead to further marginalization and in some cases contribute to a recurrence of conflict.\",\n \"81. Refugees and internally displaced persons continue to face great obstacles when seeking education outside their communities of origin. Data collected by the Office of the United Nations High Commissioner for Refugees within official camps indicated limited and uneven access to education across camps; the overall primary school participation rate of refugee children in camps was 69 per cent and at the secondary level only 30 per cent.[61] Several countries maintain administrative barriers to the enrolment of both refugee and internally displaced children, despite human rights obligations to provide education without discrimination of any kind to all children living in their territories[62] and the relevant provisions of the Convention relating to the Status of Refugees.[63] Short-term financing of projects in situations of prolonged displacement threatens the education, and progression, of many thousands of refugee and internally displaced children;[64] gaps in the financing of education in such situations must be addressed as a matter of priority because of the long-lasting impact of the denial of education to these populations.\",\n \"82. The Special Rapporteur already underlined in his first report to the Human Rights Council (A/HRC/17/29) that equality of opportunity in education permeates most human rights treaties. Human rights treaties establish the duty to ensure the right of access to public educational institutions and programmes on a non‑discriminatory basis, and to provide primary education for all.\",\n \"E. Ensuring quality education at all levels\",\n \"83. Enrolment in school does not alone ensure the fulfilment of the right to education if, for example, the quality of the education provided does not correspond to adequate standards. Resource constraints faced in periods of emergency do not justify overlooking basic requirements to ensure quality education, such as the presence of qualified teachers, the availability of adequate educational materials, adequate real teaching time and improved classroom environments.\",\n \"84. States, international organizations and civil society continue to contribute guidance to improve quality education in emergencies through materials prepared by INEE. A consultative process involving stakeholders concerned with education in emergencies all over the world led to an updated version of the INEE Minimum Standards for Education: Preparedness, Response, Recovery providing important policy guidance on the necessary steps to ensure quality education. The recently released INEE Guidance Notes on Teaching and Learning provide more specific pedagogical guidance based on the accumulated experience of educators working in emergency situations.\",\n \"85. As discussed above, the inadequate and short-term funding of emergency and transitional education programmes deeply affect the possibilities of addressing serious deficiencies that result in very low levels of quality in education. Moreover, the overall tendency of humanitarian work to focus solely on primary education limits investment in early childhood care and development, and in secondary and higher education. This bias greatly limits prospects of progression for students and increases the challenges for training teachers.\",\n \"86. The EFA Global Monitoring Report 2011 describes a number of issues critical to ensuring quality education for students affected by or at risk of conflict. They include ensuring that children can learn in their mother tongue, particularly at the early stages, rethinking the teaching of history and religion so it illustrates different perspectives on conflict-sensitive issues, and promoting non-violent school environments.\",\n \"87. The effective teaching of literacy, numeracy and life skills, such as health preparedness and conflict resolution, is crucial to enhancing resilience during periods of emergency. School staff must be given adequate incentives, and have their capacity enhanced, to give appropriate attention to the psychosocial needs of students, using resources and making schedule arrangements that allow for recreational and expressive activities, as well as referring severely affected students for additional support.\",\n \"88. The provision of learning achievement certification is another concern related to the quality of education in emergency contexts, in particular for students in refugee schools. Specific strategies are required to ensure that, even in times of crisis, students have their achievements adequately monitored, documented and recognized.\",\n \"F. Collecting information on education in emergencies\",\n \"89. Limitations in data collection in emergency situations continue to affect humanitarian efforts as a whole. Lack of capacity to accurately assess education needs limits the possibilities for accurately designing and evaluating education initiatives in emergency contexts. As already mentioned, poor monitoring further results in invisibility and consequent impunity in situations where schools are directly targeted by violence.\",\n \"90. The EFA Global Monitoring Report 2011 pointed to serious limitations in data collection in conflict situations: “assessments of need for communities caught up in conflict are at best haphazard, even taking into account the inevitable constraints associated with conducting surveys in conflict affected areas”.[65] It also underlined that donors’ assessments tend to underestimate needs in the education sector as their proposals are often tailored to meet low expectations of donor funding.[66] Limited attention is paid to needs assessment for qualitative aspects of education, such as textbook supply, hours of study and in-service teacher training. Human resources and infrastructure requirements for secondary education tend also to be completely ignored.\",\n \"91. Collecting information during emergencies requires specific strategies to overcome the various obstacles faced in such circumstances. These obstacles may include difficult logistics, physical insecurity, the political and ethical implications of activities in rapidly changing environments, and the technical challenges of working with mobile populations and populations with unusual demographic compositions.[67]\",\n \"92. The Global Education Cluster developed a Joint Education Needs Assessment Toolkit in 2010, as well as a Short Guide for Rapid Needs Assessments to provide guidance on data collection in emergency situations. The need for further improving monitoring capacities through the definition of a core set of indicators, including estimated numbers of children and youth to be reached, age and gender profiles, patterns of displacement, education materials, teacher and infrastructure requirements needed to guide the estimation of financing requirements has been underlined.[68]\",\n \"G. Conclusion and recommendations\",\n \"93. As discussed in the previous report on education in emergency situations (A/HRC/8/10), severely limited access to education continues to be a reality for most of the communities affected by emergencies. Despite increased attention by the international community, crucial problems persist: funding for humanitarian activities continues to ignore requirements to ensure education; schools continue to be victimized by direct and indirect violence; and preventive efforts are still timid vis-à-vis an increased impact of natural disasters. To reverse the current trend, States and other entities providing and channelling humanitarian and transitional assistance must pay enhanced attention to education in emergencies. Providing education and ensuring that education is protected during periods of emergency is not a choice, but an obligation.\",\n \"94. In this context, the Special Rapporteur submits the following recommendations:\",\n \"(a) Ensuring adequate funding for education in situations of emergency\",\n \"95. States must urgently increase their national, bilateral and multilateral funding commitments for education as a pillar of humanitarian and transitional response. Explicit policy commitments must be made to ensure adequate and sustainable domestic and international support for education in situations of emergency, as well as in situations of fragility and protracted crisis. Such commitments must follow through to the final stages of recovery, including in development frameworks. Recipient countries must comply with human rights while seeking and managing international assistance.\",\n \"(b) Enhancing the protection of schools from attacks\",\n \"96. States must ensure systematic monitoring, documenting and reporting of violations of international human rights and humanitarian law committed against members of education communities and education institutions and settings. The recent adoption by the Security Council of resolution 1998 (2011) must be followed by enhanced attention to the situation of education in future efforts for monitoring violations of child rights during armed conflict. Domestic, regional and international accountability mechanisms, including those of the military, should be fully cognizant of, as well as systematically address, the obligations of State and non-State actors with respect to the right to education and other legal protections guaranteed to members of education communities and institutions. Specific efforts are required to strengthen the capacity of education providers to prevent and respond to attacks.\",\n \"(c) Strengthening safety and disaster risk reduction\",\n \"97. States must ensure that disaster risk and safety considerations are factored into the planning, design, construction and reconstruction of educational facilities. Disaster risk reduction and preparedness notions should be embedded in education policies and curricula. Participatory processes involving students and their communities must be used to ensure local hazard assessments and preparedness.\",\n \"(d) Paying attention to the exclusion of girls and marginalized groups\",\n \"98. States must take specific measure to guarantee the education of girls and marginalized groups in situations of emergency. Specific efforts are required to eliminate persistent or emerging patterns of discrimination and to remove physical, financial, cultural and linguistic barriers that contribute to furthering inequalities during periods of emergency.\",\n \"(e) Ensuring quality education\",\n \"99. Those in charge of the provision of education in emergencies must consider the requirements for meeting quality educational standards. Dedicated attention must be paid to improving school curricula, promoting human rights education and addressing the psychosocial needs of students and teachers.\",\n \"(f) Developing a common framework for the assessment of education needs in emergencies\",\n \"100. Further investments are required to ensure systematic data collection on the situation of education in emergencies. States and international and non‑governmental organizations providing support to education in emergencies should work on the development of a common framework for the assessment and reporting of met and unmet education needs in contexts of emergency. Such a framework must take into consideration human rights obligations regarding the right to education.\",\n \"[1] A/HRC/17/29 and Corr.1.\",\n \"[2] A/HRC/17/29/Add.2.\",\n \"[3] International Covenant on Economic, Social and Cultural Rights, articles 13 and 14, and the UNESCO Convention against Discrimination in Education comprehensively provide this right, which is also guaranteed by articles 28 and 29 of the Convention on the Rights of the Child, article 5 of the International Convention on the Elimination of All Forms of Racial Discrimination, articles 10, 11 and 13 of the Convention on the Elimination of All Forms of Discrimination against Women, articles 30, 43 and 45 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and article 24 of the Convention on the Rights of Persons with Disabilities.\",\n \"[4] A/64/665, para. 71 (b).\",\n \"[5] Several publications of the UNESCO International Institute for Educational Planning on the financing of education have also addressed this issue.\",\n \"[6] UNESCO, Education for All Global Monitoring Report 2011, The Hidden Crisis: Armed Conflict and Education, p. 12.\",\n \"[7] For example, recommendations addressed in 2009 and 2010 to Bolivia, Cambodia, Chile, the Democratic Republic of the Congo, the Dominican Republic, Ethiopia and Spain.\",\n \"[8] ILO/UNESCO Recommendation concerning the Status of Teachers, para. 10 (l).\",\n \"[9] Committee on Economic, Social and Cultural Rights, General Comment No. 13, paras. 44 and 45.\",\n \"[10] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 12.\",\n \"[11] Human Rights Council resolution S-10/1 of 23 February 2009.\",\n \"[12] See Committee on Economic, Social and Cultural Rights, General Comment No. 13, para. 52.\",\n \"[13] Article 2.1.\",\n \"[14] Article 4.\",\n \"[15] Article 4.2.\",\n \"[16] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 11.\",\n \"[17] Committee on Economic, Social and Cultural Rights, General Comment No. 11 (1999), para. 9, and General Comment No. 3 (1990), para. 14.\",\n \"[18] Programme of Action for the Least Developed Countries for the Decade 2011-2020, adopted by the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011 (A/CONF.219/3/Rev.1), para. 74.2 (a) and 1 (c), and para. 72.1 (c).\",\n \"[19] Paris Declaration on Aid Effectiveness, Part I: Statement of Resolve, para. 25. The Statement of Resolve reflects commitment to strengthening partner countries’ national development strategies and associated operational frameworks (e.g. planning, budget, and performance assessment frameworks) and “defining measures and standards of performance”.\",\n \"[20] The underlying idea of debt swaps in education is the cancellation of external debt in exchange for the debtor Government’s commitment to mobilize domestic resources for spending on education, for example.\",\n \"[21] See Leading Group on Innovative Financing for Development, “2+3=8; Innovating in financing education; Report of the Writing Committee to the Task Force on Innovative Financing for Education”, 2010.\",\n \"[22] Discussed at the second meeting of the Education International Task Force of the Leading Group on Innovative Financing, Paris, 17 June 2010.\",\n \"[23] Dakar Framework for Action, adopted at the World Education Forum, 2000, para. 8 (i).\",\n \"[24] World Bank Group Education Strategy 2020, Learning for All: Investing in People’s Knowledge and Skills to Promote Development, Executive summary, p. 1.\",\n \"[25] Communiqué of the Commonwealth Heads of Government Meeting, held in Trinidad and Tobago from 27 to 29 November 2009, para. 89.\",\n \"[26] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 3: “The means which should be used in order to satisfy the State obligation to take steps are stated in article 2 (1) to be ‘all appropriate means, including particularly the adoption of legislative measures.’”\",\n \"[27] For instance, in India, within the framework of the Right of Children to Free and Compulsory Education Act, 2009, the Federal Government will contribute 65 per cent of the public funding of education as against the 35 per cent contribution of States.\",\n \"[28] In this context, it is important to note that reflections on innovative financing in education include several proposals for new mechanisms intended to offset the investment deficit in education and sustain funding over the long term.\",\n \"[29] Jakarta Declaration, adopted at the International Conference on the Right to Basic Education as Fundamental Human Right and Legal Framework for its Financing, December 2005.\",\n \"[30] For example, the Constitutional Court of Indonesia passed a resolution in 2008 reminding the lawmaker to meet the constitutional obligation to provide at least 20 per cent of the national budget to education in the fiscal year 2009. The Government accordingly was obliged to increase the budget for education.\",\n \"[31] The High-level Group on Education for All, since its Fifth Meeting, in 2005, has consistently been recommending such measures to Governments. At its Tenth Meeting, held in March 2011, the High-level Group called upon national Governments to allocate at least 6 per cent of gross national product (GNP) and/or 20 per cent of public expenditure to education and to ensure the cost-effective use of resources.\",\n \"[32] Committee on the Rights of the Child, Day of General Discussion on “Resources for the rights of the child — responsibility of States”, 21 September 2007.\",\n \"[33] A/64/665, para. 71 (b).\",\n \"[34] Article 13 of the International Covenant on Economic, Social and Cultural Rights provides for “an adequate fellowship system”, inter alia, with respect to achieving full realization of the right to education. Similarly, the UNESCO Convention against Discrimination in Education lays down the criterion of “merit or need” with respect to “the grant of scholarships or other forms of assistance to pupils” (art. 3 (c)).\",\n \"[35] Teachers’ salaries have been doubled in Ecuador under the Law on Intercultural Education, 2011.\",\n \"[36] Fourth meeting of the International Task Force on Innovative Financing for Education, UNESCO Headquarters, Paris, 4 February 2011.\",\n \"[37] Education Above All, the Inter-Agency Network for Education in Emergencies, the Right to Education Project/ActionAid International, Save the Children International and the United Nations Children’s Fund co-signed the submission.\",\n \"[38] UNESCO, EFA Global Monitoring Report, 2011, p. 15.\",\n \"[39] International Strategy for Disaster Reduction, Inter-Agency Network for Education in Emergencies and World Bank, Guidance Notes on Safer School Construction (New York, INEE; Washington, World Bank Global Facility for Disaster Reduction and Recovery, 2009).\",\n \"[40] INEE, INEE Reference Guide on External Education Financing (New York, 2010).\",\n \"[41] Until 2010, Canada, Denmark, Japan, Norway and Sweden included education in their humanitarian aid policies. In 2011, donor agencies in Australia (AusAID) and the United States of America (USAID) reflected education in emergency situations and conflict-affected countries, respectively, in their education strategies. See Save the Children, “Making it happen: financing education in countries affected by conflict and emergencies”, 2011.\",\n \"[42] UNESCO, EFA Global Monitoring Report, 2011, p. 204.\",\n \"[43] Ibid., p. 19.\",\n \"[44] Organization for Economic Cooperation and Development (OECD)-Development Cooperation Directorate (DAC) factsheet, “Ensuring fragile States are not left behind”, Paris, December 2010.\",\n \"[45] UNESCO, EFA Global Monitoring Report, 2011, p. 227.\",\n \"[46] Meeting of the Education for All Fast Track Initiative Board of Directors, 2011.\",\n \"[47] See Articles 55 and 56 of the Charter of the United Nations, articles 2.1 and 11 of the International Covenant on Economic, Social and Cultural Rights, article 4 of the Convention on the Rights of the Child and article 32 of the Convention on the Rights of Persons with Disabilities.\",\n \"[48] The right to education during conflict is protected by the Geneva Convention relative to the Protection of Civilian Persons in Time of War, of 12 August 1949. Under international humanitarian law, schools and educational institutions are civilian objects that are protected from deliberate attack unless and only for such time as they are being used by belligerent forces for a military purpose. See article 8 of the Rome Statute of the International Criminal Court.\",\n \"[49] A/65/820-S/2011/250, para. 211.\",\n \"[50] N. Boothby, A. Ager and R. Quinn, “Feasibility study for a global monitoring system for attacks on education: definitions and typology”, CPC Learning Network, Doha; Education Above All, New York, 2011.\",\n \"[51] The Institute of International Education (IIE), an independent non-profit organization, has participated in the rescue of persecuted scholars since its founding in 1919. In 2002, IIE launched the Scholar Rescue Fund (SRF) as a formalized response to this ongoing international dilemma. SRF cooperates closely with the Scholars at Risk Network, the Council for Assisting Refugee Academics and similar organizations.\",\n \"[52] A/65/820-S/2011/250, para. 211.\",\n \"[53] Ibid.\",\n \"[54] A/64/254, para. 25.\",\n \"[55] Children’s Charter — an action plan for disaster risk reduction by children for children, available from www.childreninachangingclimate.org.\",\n \"[56] Global Facility for Disaster Reduction and Recovery, Guidance Notes on Safer School Construction, 2009.\",\n \"[57] Global Platform for Disaster Risk Reduction, “Aligning regional and global disaster risk reduction agendas; Summary of key regional political commitments & disaster risk reduction priorities”, 2011, p. 20.\",\n \"[58] Ibid., p. 25.\",\n \"[59] UNESCO, EFA Global Monitoring Report 2009, Summary, Overcoming Inequality: Why Governance Matters, pp. 4, 7 and 39.\",\n \"[60] UNESCO, EFA Global Monitoring Report 2011, p. 190.\",\n \"[61] Dryden-Peterson, S., “Conflict, education and displacement”, in Conflict & Education: An Interdisciplinary Journal, Toronto, 2011.\",\n \"[62] Convention on the Rights of the Child, articles 2 and 28.\",\n \"[63] Refugee children should be accorded the same treatment as is accorded to nationals with respect to elementary education (art. 22, para. 1) and treatment no less favourable than that accorded to foreigners with respect to education other than elementary education (art. 22, para. 2).\",\n \"[64] UNESCO, EFA Global Monitoring Report 2011, Summary, p. 31.\",\n \"[65] Ibid., p. 216.\",\n \"[66] Ibid., p. 206.\",\n \"[67] Jennifer Schlecht and Sara Casey, “Challenges of collecting baseline data in emergency settings”, Reproductive Health Access, Information and Services in Emergencies, 2008.\",\n \"[68] UNESCO, EFA Global Monitoring Report 2011, p. 217.\"\n]"},"record":{"kind":"string","value":"A_66_269"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda [1]","Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Right to education","Note by the Secretary-General","The Secretary-General has the honour to transmit to the General Assembly, in accordance with Human Rights Council resolutions 8/4 and 17/3, the interim report of the Special Rapporteur on the right to education, Kishore Singh.","Interim report of the Special Rapporteur on the right to education","Summary","The report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3 and is devoted to the issue of domestic financing of basic education. The report details the human rights obligations for financing education and practical examples of national legal frameworks to ensure domestic financing. In accordance with General Assembly resolution 64/290, the report also provides additional information on education in emergencies. The Special Rapporteur emphasizes that attention and funding for education in emergency situations remain inadequate and inadequate and calls for more investment in prevention and better protection of education during armed conflict.","Contents","1. Introduction 4 2. Financing basic education 5B. National legal framework for financing basic education 10D. Conclusions and recommendations 11D. Update on the right to education in emergency situations 13A. Ensuring political and financial support for education in emergency situations 13B. Protecting education from attacks 15C. Preparing the education system for natural disasters 17D. Ensuring attention to girls and marginalized groups 17E. Ensuring quality education at all levels 18F. Collecting information on education in emergency situations 19G. Conclusions and recommendations","Introduction","1. The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. The report describes the importance of the State ' s obligation to provide public funding for basic education and the legal framework for ensuring domestic funding of public education. In accordance with General Assembly resolution 64/290, the report also provides additional information on education in emergencies.","2. Following his appointment by the Human Rights Council, Kishore Singh served as Special Rapporteur in August 2010. He then reported on his work to the Human Rights Council at its seventeenth session in June 2011. In his first report, he outlined the priority areas to be considered during the mandate and detailed the State obligation to ensure equal opportunities in education. I also reported on my first country visit, Senegal, in January 2011. [2]","3. During his first year of work, the Special Rapporteur participated in a number of public education activities and worked to establish cooperation with States, international organizations and non-governmental organizations. The Special Rapporteur recently participated in two regional preparatory meetings of the Economic and Social Council, one in Thailand in March and the other in Togo in April. In July, the Special Rapporteur participated in the annual ministerial review during the high-level segment of the substantive session of the Council, which focused on the internationally agreed goals and commitments in regard to education.","Financing basic education","4. The right to education is an internationally recognized right and the provision of adequate financial resources is essential for its implementation. Article 26 of the Universal Declaration of Human Rights recognizes the right to education, stating that it should be free of charge, at least at the primary and basic levels. Since the adoption of the Universal Declaration of Human Rights, States have committed themselves, through various human rights instruments, to fulfil their international legal obligations with regard to the right to education and have assumed responsibility for providing the resources necessary to achieve that goal.","5. However, resource constraints remain a major obstacle to the realization of the right to education. Prospects for achieving Millennium Development Goals 2 (to ensure that by 2015 children everywhere, boys and girls alike, will be able to complete a full course of primary schooling) and 3 (to eliminate gender disparity at all levels of education by 2015) are bleak due to lack of resources. At the 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals, the need to scale up budgets and provide more resources to accelerate the achievement of education goals was emphasized. [4] The Education for All Global Monitoring Report of recent years has consistently pointed to underfunding of education. Recent reductions in public spending in the wake of the global financial crisis could reduce support for the education sector and jeopardize recent progress. For example, 7 out of 18 low-income countries reduced education spending in 2009, with 3.7 million children out of school in those countries alone. [6]","6. In order to overcome resource constraints to realize the right to education and achieve internationally agreed goals, such as the Millennium Development Goals and education for all, the report recalls the State obligation to finance basic education domestically. Examples were given of countries using legal instruments to ensure adequate financial resources for education.","A. Human rights obligations to finance education","7. Under international human rights treaties, States are responsible for providing resources to ensure the enjoyment of human rights. It is all the more important to provide the necessary resources for the enjoyment of the right to education, which is essential for the exercise of all other human rights. This is given high priority in public investment, which benefits both individuals and society.","8. The obligation of States to ensure adequate resources to overcome constraints and realize the right to education has been reflected in the concluding observations adopted by United Nations human rights treaty bodies. CESCR and CRC have frequently expressed concern at the declining level of education as a result of insufficient State investment in education and recommended increasing the allocation of resources to the education sector. The Committee on the Elimination of Discrimination against Women has also systematically urged States to increase investment in basic education as a fundamental human right and the empowerment of women. The recommendation of the universal periodic review of the Human Rights Council to increase investment in education further confirms the widespread recognition that funding education is central to the fulfilment of human rights obligations. [7]","9. The commitment to financing education is also part of the International Labour Organization (ILO)/United Nations Educational, Scientific and Cultural Organization (UNESCO) Recommendation on the Status of Teachers (1966), which recognizes the need for all countries to accord high priority to the allocation of an adequate proportion of national income to national education development in national budgets. [8] Indeed, the right to education is an integral part of the institutional mission of UNESCO and member States have an obligation to provide the necessary resources to achieve this goal.","1. Ensuring progressive realization and avoiding regression","10. The concept of progressive realization of economic, social and cultural rights, including the right to education, recognizes that the realization of these rights often takes time. This also means that measures must be taken to promote the fulfilment of rights to ensure their continued universalization throughout the country. Referring to the progressive realization of the right to education, the Committee on Economic, Social and Cultural Rights stressed that States parties to the International Covenant on Economic, Social and Cultural Rights have a specific and continuing obligation “to achieve the full realization of this right as soon as possible and as effectively as possible”. The Convention also emphasizes that “no retrogressive measures are permitted”. [9] In this sense, support for education must be accompanied by the need to ensure a gradual expansion of the education sector.","11. The United Nations human rights treaty bodies have expressed concern about the possible impact of the economic crisis on the enjoyment of human rights. The Committee on Economic and Social Rights specified that “even in times of severe resource constraints caused by the adjustment process, economic recession or other factors, vulnerable members of society can and must be protected by relatively low-cost, targeted programmes”. [10] Recently, the Human Rights Council adopted a resolution calling on Member States to stress that the global economic and financial crisis should not diminish the responsibility of national authorities for the realization of human rights. [11]","Implementation of core obligations","The obligation of States to give priority to “minimum essential levels of each right” recognized in the International Covenant on Economic, Social and Cultural Rights, also known as “minimum core obligations”, has immediate effect. The core obligations relating to the right to education include, inter alia, the obligation to provide free primary education for all students, in accordance with article 13.2 (a), and the adoption and implementation of national education strategies, including the core obligation to allocate funds for the provision of secondary, higher and basic education. [12] Article 14 of the Covenant further emphasizes the core right to adopt a plan of action for the progressive implementation of the right to free and compulsory primary education within a reasonable time.","3. Ensuring that maximum resources are made available","13. The International Covenant on Economic, Social and Cultural Rights, [13] the Convention on the Rights of the Child [and] Both the Convention on the Rights of Persons with Disabilities and the Convention on the Rights of Persons with Disabilities [15] clearly state the obligation of States parties to provide as many resources as possible to ensure the enjoyment of human rights.","14. In its general comment on the obligations of States parties, the Committee on Economic, Social and Cultural Rights emphasized that, even where existing resources are insufficient for the realization of economic and social rights, States parties have an obligation to strive to ensure the widest possible enjoyment of those rights in the circumstances, to monitor their realization and to develop outreach strategies and programmes. [16] Resources here refer to financial resources, but not exclusively to financial resources.","4. International assistance and cooperation","15. Under the International Covenant on Economic, Social and Cultural Rights, States are obliged to take measures, individually and through international assistance and cooperation, to the maximum of their available resources, for the progressive realization of these rights. The Committee on Economic, Social and Cultural Rights emphasized the specific obligations of the international community to finance the right to education. At the same time, States requiring international assistance must seek and manage it in accordance with human rights norms and standards.","16. By virtue of the principle of international solidarity, the least developed countries faced serious financial difficulties and deserved priority international assistance. Development partners must provide “financial and technical support” to these countries “to achieve national education plans and programmes, including universal education in rural and remote areas”. LDCs need to strengthen their national education systems. [18]","17. A number of political declarations on international assistance have emphasized the need for recipient countries to properly manage available domestic resources to enhance the sustainability of development efforts. For example, through the Paris Declaration on Aid Effectiveness (2005), partner countries committed themselves “to intensify domestic resource mobilization, enhance fiscal sustainability and create an enabling environment for public and private investment”. Similarly, the Global Compact (2002), launched by the Secretary-General at the International Conference on Financing for Development, provides that if developing countries improve governance and achieve results, donors will provide the necessary funding to achieve the Millennium Development Goals. [20] The Education for All Fast Track Initiative is the most important mechanism for international assistance in education, aimed at assisting countries to achieve Millennium Development Goal 2 and the Education for All goals, with particular emphasis on the proper management of domestic resources in recipient countries.","18. More recently, in 2006, national and international organizations involved in development assistance established the Leading Group on Innovative Financing for Development to develop additional international financing mechanisms for global development. As part of this initiative, the International Task Force on Innovative Financing for Education has been established and several alternatives are being discussed to increase funding for education, including domestic resource mobilization, as well as international assistance. [22]","5. Related global political commitments","19. Many international declarations contain commitments to finance primary education, which is also at the heart of major global campaigns. At the World Education Forum (2000), Governments and other stakeholders committed themselves to developing strategies, in particular “mobilizing strong national and international EFA political commitments, developing national action plans and significantly increasing investment in basic education. These commitments include the commitment that “political will must be supported by resources”. It is therefore the responsibility of Governments to provide domestic resources to achieve education for all. Education for all is a fundamental human right and is considered a “strategic development investment”. [24]","20. The Millennium Development Goals should also be used to reaffirm the obligations expressed in human rights treaties, and it was therefore the responsibility of Governments to provide financial resources for education. Millennium Development Goal 2 reflects the obligation to ensure universal primary education, including the obligation not to deprive children of their right to education by direct or indirect school fees. Millennium Development Goal 3 reflects the obligation to ensure gender parity at all levels of education, including through the provision of financial resources.","B. National legal framework for financing basic education","21. States have an obligation to incorporate international obligations to finance education into domestic law. The State ' s Constitution, legislation and education policy provide for public funding for education and are key to fulfilling obligations to realize the right to education. In the view of the Special Rapporteur, the adoption of a legal framework for State funding for education can indicate the importance and priority given to the right to education.","22. Legal reforms in the Education for All process can witness the emergence of the right to basic education together with the right to primary education within the national legal framework. States therefore recognize the obligation to guarantee universal access to basic education. For example, the 2009 Commonwealth Heads of Government Summit called on all Commonwealth countries to invest more resources in basic education. [25]","1. Constitutional provisions","23. The constitutional provision for education provides a solid basis for the development of national legislation and education policies. Some countries have different criteria for determining minimum investment in education, but all have constitutional provisions.","24. Some States have constitutional provisions requiring a certain proportion of tax revenues to be used as a minimum level of educational resources. Article 212 of the Brazilian Constitution provides that “the federal State uses no less than 18 per cent of the tax annually and the states, the Federal District and the cantons use at least 25 per cent of the tax, including remittance income, for the maintenance and development of education”.","The constitutions of other countries set a minimum share of education in the overall national budget. Article 31 (4) of the Constitution of Indonesia, as amended in 2002, provides that “at least 20 per cent of the national and regional budgets shall be allocated as a priority to education to meet the needs of national education”.","26. Other constitutions use GDP to calculate the minimum support required for education. The 2008 Constitution of Ecuador stipulates that public expenditure on education should be 6 per cent of GDP. The 1997 Constitution of Costa Rica contains similar provisions.","27. Finally, other national constitutions impose an obligation to prioritize investment in education. The Constitution of Ethiopia states that “the State is obliged to allocate increasing resources to public health, education and other social services.” (Article 41 (4)). Similarly, the Constitution of the Philippines and Viet Nam stipulates that the State should give priority to investment in education.","2. National legislation and budgetary allocations for basic education","28. The Committee on Economic, Social and Cultural Rights (CESCR) stressed the importance of national legislation to implement State obligations. [26] Legislation in many countries is often developed in the context of the Education for All process and includes important provisions for funding basic education, with minimum financial support and responsibilities. Recent developments can serve as practical examples, as described below.","29. In South Africa, basic education is a constitutional right. The South African Schools Act 1996 provides that “in accordance with the Constitution and this Act, the Minister, in consultation with the Finance and Finance Committee and the Minister of Finance, shall determine the criteria and minimum standards for funding public schools” (art.","30. Nigeria ' s Free Compulsory Basic Education Act of 2004 provided for nine years of compulsory basic education and established the Universal Basic Education Commission, which was responsible for implementing the right to basic education and providing resources. The Universal Basic Education Programme is funded from the 2 per cent Consolidated Income Fund.","31. Argentina ' s National Education Act, No. 26.206 of 2007, provides for an increase in education resources of 6 per cent of GDP in 2010. The Act provides for the right to compulsory education from the age of five until the completion of secondary education (art. 16).","Mexico's General Education Act of 2003 provides that 8 per cent of gross national product is allocated to public education and education services (art. It is known that this has helped to increase support for education.","33. In India, the policy of funding basic education derives from national legislation, such as measures being taken to implement the 2009 Free and Compulsory Education for Children Act. As a result of the development of this framework, there has been a significant increase in education expenditures in the five-year national plan.","34. Senegal ' s Education Policy Act No. 91-22 of 1991 was amended by Act No. 2004-37 of 2004 to provide for compulsory education for all children between the ages of 6 and 16 years, free of charge in all public schools. The recognition of the obligation to provide education has reportedly led to an increase in State investment in education to nearly 40 per cent of the national budget.","35. Kenya had adopted the Children ' s Act 2001 and the Education Strategy for the Twenty-first Century, which emphasized the core commitment to universal primary education. The commitment has reportedly resulted in a significant increase in the allocation of resources for education.","China amended its Compulsory Education Law in 2006 to provide for nine years of basic education. The Act guarantees that basic education is funded by the State Council and local people ' s governments. China's national plan for medium- and long-term education reform and development (2010-2020) recognizes that “financing education is a basic, strategic investment”. It is planned that public expenditure on education will be 4 per cent of GDP by 2012.","37. Some legal frameworks devolve responsibility for funding to local entities. Iceland ' s Compulsory Education Act No. 19 of 2008 provides that municipalities are responsible for capital investment costs for compulsory education. Thailand ' s National Education Act 1999 empowers state and local agencies to levy education taxes where appropriate. A number of federal States have specific funding mandates and responsibilities for federal and state authorities. [27]","3. Mobilization of supplementary funds for education","38. Legal instruments can generate additional funds for education. In India, a 2 per cent education tax on all central taxes has opened up important sources of funding for the primary education sector. Similarly, China ' s national plan of action, mentioned above, also proposes to introduce an additional education tax, 3 per cent of the value added tax, devoted to education. The mobilization of supplementary funds through such special tax schemes is essential to enhance budgetary funding. [28]","39. Through institutional mechanisms that complement government funding, local institutions, private donors and communities can use contributions to raise supplementary funds to strengthen public investment in basic education. For example, under the Education Fund Act 2001, the Tanzania Education Authority may “receive gifts, donations, grants or other payments on behalf of the Fund”. Other similar mechanisms exist, such as the Bharatiya Shiksa Kosh (Education Fund) in India and the Nigerian Education Tax Fund. It is important to ensure that all these institutional mechanisms operate in a manner that fully respects transparency and accountability.","40. The present report is limited to a focus on financing education through public resources. However, it is clear that the private sector can complement national education initiatives in the provision of education through partnerships with Governments in which responsibility is shared equitably. However, it should be ensured that such partnerships operate within a legal framework that fully complies with human rights norms and is consistent with standards of quality education.","C. Concerns requiring further consideration","41. As mentioned earlier, human rights instruments clearly state the obligation of the State to fund education. Putting these obligations into practice requires a range of legal and policy instruments to ensure that investments in education are predictable and sustainable and that financial resources are readily available and used in a timely and appropriate manner to guarantee the widest possible enjoyment of the right to education. The adoption of a legal framework for the financing of education provides an important tool for promoting accountability, as actions affecting public education investments may lead to domestic legal litigation. [30]","42. Some of the core concerns identified below by the Special Rapporteur deserve further attention in the implementation of the legal instruments on financing basic education.","1. Access to adequate financial resources for basic education","43. In order to overcome the resource constraints on the Education for All agenda, the High-level Panel on Education for All advocated the need to ensure that the minimum proportion of the national budget devoted to education is 15 to 20 per cent, or 4 to 6 per cent of GDP. As noted above, mechanisms that require a certain proportion of total public expenditure or specific tax revenues to be earmarked for education have successfully increased funding for education in several countries. It is clear that a gradual assessment of the effectiveness of these mechanisms depends on the overall functioning of the financial and budgetary policy mechanisms of a given country.","2. Ensuring the full use of educational resources","44. While it is essential to allocate as much domestic resources as possible for education, it is equally important to ensure that these resources are used effectively and optimally. In addition to ensuring funding for education, legal instruments that protect the right to education can further guide States in their actions to fulfil their human rights obligations and to utilize the resources allocated to education.","45. Given the obligation to ensure universal primary education and the commitment to the Millennium Development Goals and the Education for All agenda, public funding for primary and basic education should be ensured as a priority.","46. Evaluation of the effectiveness of financial management of education must focus on the core principles of equality and non-discrimination. The allocation of funds to different levels and regions of education within an area must take into account existing socio-economic disparities and their impact on the education community. In addition, where education is financed through the sub-national budget, it is important to ensure that local disparities in tax revenues do not lead to inequalities between regions.","47. Special funds must be secured to address the root causes of the exclusion of girls, the poor, the disabled, ethnic and linguistic minorities, migrants and other marginalized and vulnerable groups from education. Specific measures to overcome major barriers to education must be considered, including the abolition of school fees and subsidies for other costs, such as textbooks, uniforms and transport. Temporary special measures to provide financial support to these groups through affirmative action can find a normative basis in international human rights treaties. [34] Particular attention must be paid to the principles of transparency and accountability in the management of education budgets.","3. Responding to the quality of education","48. Finally, the framework for adjusting expenditure on education must first consider improving quality education, recognizing the centrality of education in people ' s lives and the empowering role of quality education. The education budget tends to be spent entirely on recurrent expenditures (mainly on teachers ' salaries). Unfortunately, teachers are often poorly paid to attract qualified professionals. [35] Investment in important components, such as the development of teaching materials, the training of trainers and the improvement of working conditions, continues to be neglected. The Special Rapporteur intends to examine this issue in another thematic report on quality education.","D. Conclusions and recommendations","49. States can fulfil their international obligations to guarantee the right to education only if they provide the necessary resources for education and make it available on a consistent and predictable basis. To that end, the national legal and policy framework for ensuring educational inputs plays a crucial role. It is also important to accelerate the process of sustainable development to achieve the Millennium Development Goals and to move the Education for All agenda forward. Education was indeed the best investment a country could make and deserved the highest priority in the allocation of resources. As a vital global public good, education deserves a strong investment commitment from global leaders. [36]","50. In this spirit, the Special Rapporteur provides the following recommendations:","(a) Ensuring investment in education through domestic legal frameworks","51. It is essential to have a national law that provides for at least the minimum essential level of quality education inputs. Follow-up to the recommendations that have been highlighted by the High-level Panel on Education for All and the establishment of an internationally accepted norm (i.e. at least 4-6 per cent of gross national product (GNP) for education or 15-20 per cent of the national budget) could be valuable in laying the foundation for the development of national legal and policy frameworks.","(b) Development of strategies to increase resource allocation","52. The development of new avenues for resource allocation and utilization is crucial for countries. In order to strengthen the status of education as a national priority, the ministries concerned with social development (the Ministry of Social Welfare, the Ministry of Children and Women Development, the Ministry of Labour, the Ministry of Health, etc.) can set education budget lines. At the same time, broadening the tax base is also important for generating additional budgetary resources.","(c) Promotion of open debate and exchange of experiences","53. In terms of budgetary allocations, education often does not enjoy the priority it deserves at the national level. In order to ensure that education receives priority attention, it is necessary to promote public dialogue between the Minister of Education and the Minister of Finance and the Minister of Planning on the necessary steps to ensure maximum investment in education. The exchange of ideas and approaches among countries on the legal and policy framework for financing education will help national authorities to draw on existing experiences and practical examples through comparisons, as well as to raise awareness of new ways of investing in education.","(d) Special attention should be paid to financing basic education in the provision of technical assistance to Governments in the development of national legal frameworks","54. In accordance with Human Rights Council resolution 17/3, UNESCO and UNICEF should be encouraged to continue to provide technical assistance to Member States in the development and modernization of national legislation. In this process, the importance of provisions for financing basic education should be emphasized.","(e) Responding to the quality of education","55. Budgetary reserves for quality education are scarce, as almost all resources allocated to education are spent on recurrent expenditures. A paradigm shift in responding to the quality of education remains a daunting challenge.","III. Update on the right to education in emergency situations","56. In its resolution 64/290, the General Assembly requested the Special Rapporteur to include in his next interim report to the Assembly at its sixty-sixth session updated information on the report on the right to education in emergency situations (A/HRC/8/10), submitted by the previous Special Rapporteur in 2008, in order to identify gaps and remaining challenges to the right to education in emergency situations.","57. The 2008 report defined emergencies as any crisis arising from natural disasters or armed conflict, which, as defined in international humanitarian law, could be international (including military occupation), internal or post-conflict. The report notes that ensuring appropriate education is not only a widely recognized State obligation, but is also essential to prevent emergencies and ensure success in peacebuilding and recovery efforts. However, the report emphasizes that in emergency and reconstruction processes, education is often interrupted, delayed or even deprived of. The report made a number of recommendations to States, intergovernmental organizations and non-governmental organizations to better protect education and ensure its integration into humanitarian response to conflicts and natural disasters.","58. The update, which is divided into six parts, reflects the content and core recommendations of resolution 64/290. Each section identifies the remaining challenges to the promotion of the right to education in emergency situations and outlines the progress made over the past three years. The first part focuses on proposals for increased political and financial support for education in emergencies. The second part deals with recommendations to better protect schools from attacks and ensure accountability. Part III deals with recommendations for better preparation of the education system for natural disaster situations. Part IV addresses recommendations that address the specific needs of girls and other marginalized groups. Part V focuses on recommendations to ensure quality education in emergencies. Part VI focuses on the need to improve the collection of education data in emergency situations.","59. A detailed report led by a group of international and non-governmental organizations with expertise in the field of education in emergency situations and developed through a collaborative consultative process has contributed to this update.[37] The Special Rapporteur is grateful to all those who shared information or made efforts to prepare this update.","A. Ensuring political and financial support for education in emergencies","60. Millions of people remain deprived of their right to education in emergency situations. In order to guarantee this fundamental right, political attention and sustainable financial support must be increased. The lack of adequate attention to the right to education in emergency situations continues to affect prospects for achieving the Millennium Development Goals and the Education for All goals. The Education for All Global Monitoring Report 2011 highlighted that in conflict-affected countries, an estimated 28 million children of primary school age are currently out of school, accounting for 42 per cent of all out-of-school children globally. [38] Natural and man-made disasters also threaten education: an estimated 875 million school-age children live in high-risk areas of earthquakes, and hundreds of millions more face recurrent floods, landslides, wind and fire hazards and slow-onset disasters. [39]","61. As reflected in General Assembly resolution 64/290, States have recognized the urgency of ensuring the realization of the right to education as an integral part of humanitarian assistance and emergency response. Debates and research within the United Nations system have helped to shed light on what the Education for All Global Monitoring Report calls a “hidden crisis”. The Committee on the Rights of the Child and the General Assembly organized thematic discussion days focusing on this theme in 2008 and 2009, respectively.","62. Greater attention to and coordination of education among the various stakeholders providing humanitarian assistance remains a key issue. The recent partnership between the Sphere Project and the Inter-Agency Network for Education in Emergencies to develop a partnership agreement to guide the integration of quality education into humanitarian response is an important step towards a more coherent focus on education within the humanitarian community. Traditionally, access to education has been excluded from humanitarian priorities, but families and young people affected by emergencies continue to be considered a priority. [40] Responding to the needs expressed by affected communities is an important component of humanitarian response and key to the implementation of the right to education.","63. Although the importance of education in emergencies is increasingly recognized by the international community and communities affected by emergencies, funding for this remains limited. Only a few donor agencies have explicitly included education as part of their humanitarian policy. [41] The Education for All Global Monitoring Report 2011 highlighted that in 2009, only 2 per cent of total humanitarian assistance was committed to education in conflict-related emergencies. [42] The report concludes:","Education, a poor neighbour of the humanitarian aid system, is not only underfunded and totally unpredictable, but is also constrained by short-term behaviour. Education faces a double disadvantage: it accounts for a small proportion of humanitarian appeals, and even less of those that receive funding. [43]","64. The evaluation found that some particularly vulnerable countries requiring funding for education were left out by many donors, as donors clearly gave higher priority to countries linked to their own security priorities: Official development assistance (ODA) to fragile States is highly concentrated, with 51 per cent of ODA to 43 fragile States in 2008 going to six beneficiary countries, representing only 23 per cent of the total population of fragile States. [44]","65. The change in support was another matter of concern. As noted above, the sustainability of financial support is essential to ensure that the education system is fully operational. This can only be achieved through sustained financial support for the uninterrupted implementation of education programmes. In the absence of sustainable support and funding for the transition from humanitarian response to development frameworks, many important opportunities are missed in the aftermath of emergencies. In this context, it is worth emphasizing the need for further investment in national planning and information systems in recipient countries. [45]","66. The Education for All Fast Track Initiative is working to increase support to vulnerable countries, but to date it does not have the capacity to provide financing in particularly urgent situations. [46] In addition to bilateral support, there are many complementary ways of financing education in emergencies, but these are still clearly inadequate.","67. The Special Rapporteur emphasizes that emergency situations do not absolve States from the obligation to take all appropriate measures to ensure the realization of the right to education for all persons on their territory, including refugees from non-nationals and internally displaced persons groups. Ensuring financial support for primary education to ensure that primary education remains available in emergency situations, providing secondary education in a non-discriminatory manner and facilitating access to higher education on the basis of capacity is no more than fulfilling human rights obligations.","68. Considering the vulnerability of some States affected by emergencies and the central role of international assistance and cooperation in such situations, it is important to bear in mind that human rights law establishes an obligation to provide international assistance. The same commitment is reflected in many international declarations, including the Dakar Framework for Action on Education for All, adopted at the World Education Forum in 2000. Furthermore, as noted above, States requesting assistance are also obliged to seek and manage external assistance in accordance with human rights principles.","B. Protecting education from attacks","Attacks on schools and institutions of higher education violate human rights and humanitarian law. The Secretary-General has recently reported, however, that attacks on schools pose serious concerns and an increasing trend. [49] Many educational institutions in conflict zones continue to face insecurity, with long-term consequences for the education system and students.","70. Studies have shown that attacks on educational institutions in conflict situations have continued to increase over the past three years, with widespread violence. [50] These incidents included the injury or killing of students and school staff, damage to or destruction of educational facilities, which ultimately prevented thousands of students from attending school because of the closure of schools or universities. The Academic Relief Foundation of the International Institute of Education [51] reported that the number of applications submitted by threatened scholars in the period 2008-2011 had doubled over the previous period. In some cases, the use of schools by armed elements undermines their civilian character and puts students and teachers at risk. [52]","71. Despite the continuing shortcomings of the monitoring mechanism, it has been noted that the international community has increasingly focused on attacks on educational institutions in emergency situations. In 2010, international organizations and non-governmental organizations established a global alliance to protect educational institutions from attacks, promoting joint efforts to prevent, respond to and monitor attacks on educational institutions. The Secretary-General has described these developments in his latest report on children in armed conflict. Similarly, the Special Representative of the Secretary-General for Children and Armed Conflict reiterated the importance of protecting schools from attacks and stressed that “enhanced accountability mechanisms for such crimes are key to ensuring that schools remain safe havens and zones of peace”. [54]","72. The Special Rapporteur believes that it is essential to strengthen the capacity of monitoring mechanisms to monitor the situation of those involved in armed conflict who launch attacks against the education system, which is essential to prevent invisibility and end impunity. In that regard, he welcomed the Council ' s recent adoption of resolution 1998 (2011), which expressed deep concern about attacks on schools and requested the Secretary-General to include in the annex to his report on children and armed conflict information on recurrent attacks on schools and attacks or threats of attacks against protected school-related personnel. The Security Council ' s monitoring and reporting mechanism has already played an important role in identifying grave violations against children in armed conflict, and continued and increased attention to attacks on schools is essential to the protection of the right to education. To further ensure accountability, it is also necessary to further strengthen the capacity of national and international justice systems to prosecute perpetrators, including non-State actors.","73. In addition to ensuring accountability for attacks on schools, targeted efforts must be made to prevent attacks on schools and other educational institutions and to protect them against insecurity in order to minimize the damage that armed conflict can cause. Finally, tireless efforts are required to assist in the rehabilitation of victims and to ensure that appropriate individual and collective compensation is paid for these education-related violations.","C. Preparing education systems for natural disasters","74. The leaders of the education system must not ignore the increasing number of natural disasters. Schools not only play a crucial role in helping communities to become more resilient, but also need to be well prepared to minimize the eventual harm that natural disasters can cause to their own operations. Therefore, the education sector needs to be given special attention in the development of a holistic strategy for disaster risk reduction. At the same time, schools must develop and adopt systematic safety and security measures adapted to the specific circumstances they face.","75. The construction or maintenance of schools is often not done to enhance resilience. Extensive consultations with children around the world have resulted in the recently produced Children ' s Charter for Disaster Risk Reduction, which emphasizes the need for school safety and education to be uninterrupted. [55] The Inter-Agency Network for Education in Emergencies coordinated the development of guidance notes on the steps necessary to ensure the construction of safer schools and the rehabilitation of existing ones. A major effort is needed to build technical capacity for and ensure the adoption of safer standards of educational infrastructure in order to avoid the tragedy of earthquakes or other disasters that claim the lives of large numbers of children in unsafe schools.","76. Attention is also being paid to the use of schools as a platform for increasing the number of learners and education workers preparing for disasters and their consequences. Some countries have incorporated disaster risk reduction components into their school curricula, and others consider disaster risk reduction and climate change adaptation as national education priorities. [58]","77. The Special Rapporteur emphasizes that investment in prevention through education is essential to protect schools and communities they assist from the effects of natural disasters. Therefore, education systems must be actively involved in the development and implementation of risk management strategies. Schools must also promote, through their regular activities, a culture of prevention and preparedness among students, staff and their communities. Considering that the risks and needs of communities in the same region vary widely, there is a need to ensure that risk management strategies are developed through a meaningful participatory process involving the communities in which schools are located.","D. Ensuring attention to girls and marginalized groups","78. The failure of Governments to address persistent inequalities based on income, gender, location, ethnicity and language is one of the reasons for the limited progress made towards the Education for All goals and the Millennium Development Goals. Barriers to schooling that already exist during normal times are clearly more significant in emergency situations. The cost of schooling may increase significantly, and commuting between schools and families often becomes very difficult and unsafe, further excluding children who are poor or more vulnerable to violence. In this sense, targeted measures to identify marginalized groups and address their specific needs are necessary to avoid widening inequalities in education.","79. Ensuring gender parity in education is particularly important in this regard. Attention has been drawn to the direct and indirect impact of sexual violence, which is prevalent in conflict, on female teachers and students. [60] Insecurity on the way to, from or within schools appears to be a central factor in the exclusion of girls from the education system. The lack of independent sanitation facilities in emergency schools also constitutes a major obstacle to girls ' education.","80. Despite apparent resource constraints in emergency situations, neglecting the impact of discrimination and structural inequalities in education when planning, implementing and evaluating education policies in such situations can lead to further marginalization and, in some cases, to the recurrence of conflict.","81. Refugees and internally displaced persons continue to face significant obstacles in seeking education outside their communities of origin. Data collected by the Office of the United Nations High Commissioner for Refugees in official United Nations refugee camps show that access to education in the camps is limited and uneven — the overall primary school enrolment rate for refugee children is 69 per cent, compared with 30 per cent at the secondary level. While States have a human rights obligation to provide education to all children residing in their territory without discrimination of any kind and the Convention has provisions relating to refugee status, [62] several States maintain administrative barriers to the enrolment of refugee and internally displaced children in schools. [63] Short-term funding for projects in protracted situations threatens the education and progress of thousands of refugee and displaced children. The gap in funding for education in these situations must be addressed as a matter of priority, as denial of education to these populations has a lasting impact.","82. In his first report to the Human Rights Council (A/HRC/17/29), the Special Rapporteur has emphasized that most human rights treaties address the issue of equal access to education. Human rights treaties place a duty on States to ensure that the right to attend public educational institutions and curricula is not discriminated against and that primary education is provided for all.","E. Ensuring quality education at all levels","83. Access alone does not guarantee the exercise of the right to education, for example, where the quality of education provided does not meet appropriate standards. The resource constraints faced in times of emergency do not justify neglecting the basic requirements for ensuring quality education, including the presence of qualified teachers, the availability of appropriate teaching materials, sufficient real teaching time and an improved classroom environment.","84. States, international organizations and civil society continue to provide guidance on improving quality education in emergencies through materials developed by the Inter-Agency Network on Education in Emergencies. A consultative process involving stakeholders involved in emergency education around the world resulted in the preparation of an updated version of the Minimum Standards for Education in Inter-Agency Networks for Education in Emergencies: Preparedness, Response and Recovery, which provides important policy guidance on the necessary steps to ensure quality education. The recently released Inter-Agency Network for Education in Emergencies guidance note on teaching and learning provides more specific teaching guidance based on the experience of educators working in emergencies.","85. As noted above, the inadequate and short-term nature of funding for emergency education and transition programmes significantly hampers the possibility of eliminating serious deficiencies, which leads to very low quality education. In addition, the overall trend towards humanitarian work focusing only on primary education limits investment in early childhood care and development, as well as in secondary and tertiary education. This bias significantly limits the prospects for student advancement and increases the challenges faced in training teachers.","86. The Education for All Global Monitoring Report 2011 presents key issues in ensuring quality education for students affected by or at risk of conflict. These issues include ensuring that children can learn their mother tongue, especially at an early stage; rethinking history and religious teaching so that they can present different perspectives on conflict-sensitive issues; and promoting non-violent school environments.","87. Effective teaching of literacy, numeracy and life skills, such as disease prevention and conflict resolution, is critical to improving resilience during emergencies. School staff must be given sufficient incentives and strengthened capacity to give due attention to the psychological needs of students, to use resources and schedule for recreational and performance activities, and to turn heavily affected students to additional support.","88. The provision of certification of learning achievement is another concern related to the quality of education in emergency situations, particularly for students in refugee schools. Specific strategies need to be developed to ensure that the student record is adequately monitored, documented and validated even in times of crisis.","F. Collecting information on education in emergencies","89. Restrictions on data collection in emergency situations continue to affect the overall humanitarian effort. Inadequate capacity to accurately assess educational needs limits the possibility of accurately developing and assessing educational initiatives in emergency situations. As noted above, poor monitoring has further contributed to a lack of visibility and consequent impunity in situations where schools are directly threatened by violence.","90. The EFA Global Monitoring Report 2011 noted that data collection in conflict situations has serious limitations: “Assessment needs assessments for communities in conflict are not systematic, even if they take into account the inevitable limitations associated with investigations in conflict-affected areas. [65] The report also emphasizes that donor assessments tend to underestimate the needs of the education sector, as their recommendations are often made to meet lower expectations of donor funding. [66] Limited attention has been paid to needs assessments regarding the quality of education, such as the supply of textbooks, school hours and in-service teacher training. The human resource and infrastructure requirements of secondary education are often completely ignored.","91. Information-gathering in emergency situations requires specific strategies to overcome the obstacles faced in such situations. These may include difficult logistics, personal insecurity, the political and ethical implications of activities in a rapidly changing environment, and the technical challenges of working with mobile populations and groups of unusual populations. [67]","92. The Global Thematic Working Group on Education developed a joint education needs assessment toolkit and a summary guide to rapid needs assessments in 2010 to provide guidance on data collection in emergency situations. The Working Group stressed the need to further enhance monitoring capacity by defining a core set of indicators, including the estimated number of children and young people to be reached, age and gender profiles, patterns of displacement, educational materials, teachers and infrastructure requirements to guide financing requirements. [68]","G. Conclusions and recommendations","93. As noted in the previous report on education in emergencies (A/HRC/8/10), access to education remains a reality for most communities affected by emergencies. Despite the increased attention of the international community, key issues remained: funding for humanitarian activities continued to ignore the need to ensure education; schools continued to be victims of direct and indirect violence; and prevention remained insufficiently active in the face of the increased impact of natural disasters. In order to reverse the current trend, States and other entities that provide and channel humanitarian and transitional assistance must pay greater attention to education in emergency situations. Providing education during emergencies and ensuring its protection is not an option but an obligation.","In this regard, the Special Rapporteur makes the following recommendations:","(a) Ensure adequate funding for education in emergency situations","95. As pillars of humanitarian and transitional response, countries must urgently increase national, bilateral and multilateral funding commitments for education. There must be a clear policy commitment to ensure adequate and sustainable national and international support for education in emergency situations and fragile and protracted crises. The period covered by such commitments must extend to the final stages of recovery, including in the development framework. Recipient States must follow human rights requirements while seeking and managing international assistance.","(b) Enhanced protection of schools from attacks","96. States must ensure that violations of international human rights and humanitarian law committed against members of the educational community and educational institutions and sites are systematically monitored, documented and reported. Greater attention must be paid to education in future monitoring of violations of children ' s rights in armed conflict, in line with Security Council resolution 1998 (2011). Domestic, regional and international accountability mechanisms, including military accountability mechanisms, should be fully understood and the obligations of State and non-State actors in relation to the right to education and other guarantees of legal protection for educational personnel and institutions should be systematically implemented. Specific efforts are needed to strengthen the capacity of education providers to prevent and respond to attacks.","(c) Enhanced security and disaster risk reduction","97. States must ensure that disaster risk and safety considerations are taken into account in the planning, design, construction and reconstruction of educational facilities. The concepts of disaster risk reduction and preparedness should be integrated into educational policies and curricula. Participatory processes involving students and communities must be used to ensure local risk assessment and preparedness.","(d) Attention to the exclusion of girls and marginalized groups","98. States must take concrete measures to guarantee education for girls and marginalized groups in emergency situations. Specific work is needed to eliminate persistent or emerging patterns of discrimination and physical, financial, cultural and linguistic barriers that deepen inequality during emergencies.","(e) Ensuring quality education","99. Those responsible for providing education in emergencies must consider meeting the requirements of quality education standards. Special attention must be paid to improving school curricula, promoting human rights education and addressing the psychosocial needs of students and teachers.","(f) Develop a common framework for assessing education needs in emergencies","100. Further investment is needed to ensure that data on the situation of education in emergencies is systematically collected. States, international organizations and non-governmental organizations supporting education in emergency situations should endeavour to develop a common framework for assessing and reporting on education needs that are met and unmet in emergency situations. Such a framework must take into account human rights obligations relating to the right to education.","[1] ^ (*) A/66/150.","[2] A/HRC/17/29/Add.2.","[3] Articles 13 and 14 of the International Covenant on Economic, Social and Cultural Rights and the UNESCO Convention against Discrimination in Education broadly provide for this right and are also guaranteed by articles 28 and 29 of the Convention on the Rights of the Child, article 5 of the International Convention on the Elimination of All Forms of Racial Discrimination, articles 10, 11 and 13 of the International Convention on the Elimination of All Forms of Discrimination against Women, articles 30, 43 and 45 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and article 24 of the Convention on the Rights of Persons with Disabilities.","[4] A/64/665, paragraph 71 (b).","[5] This issue has also been addressed in a number of publications of the UNESCO International Institute for Planning of Education.","[6] UNESCO Global Report on Education for All 2011, Invisible Crisis: Armed Conflict and Education, p. 12.","[7] For example, recommendations for Bolivia, Cambodia, Chile, the Democratic Republic of the Congo, the Dominican Republic, Ethiopia and Spain in 2009 and 2010.","[8] ILO/UNESCO Recommendation on the Status of Teachers, para. 10 (e).","[9] Committee on Economic, Social and Cultural Rights, general comment No. 13, para. 5, Nos. 44 and 45.","[10] Committee on Economic, Social and Cultural Rights, general comment No. 3, para.","[11] Human Rights Council resolution S-10/1 of 23 February 2009.","[12] Committee on Economic, Social and Cultural Rights, general comment No. 13, para.","[13] Article 2.1.","[14] Article 4.","[15] Article 4.2.","[16] Committee on Economic, Social and Cultural Rights, general comment No. 3, para. 11.","[17] Committee on Economic, Social and Cultural Rights, General Comment No. 11 (1999), para. 9, and General Comment No. 3 (1990), para.","[18] Paragraphs 74.2 (a) and 1 (c) and 72.1 (c) of the Programme of Action for the Least Developed Countries for the Decade 2011-2020 (A/CONF.219/3/REV.1), adopted by the United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011.","[19] Part I of the Paris Declaration on Aid Effectiveness: Expressing determination, paragraph 25, which reflects the commitment to strengthen national development strategies and related operational frameworks (e.g., planning, budgeting, performance assessment frameworks) in partner countries, as well as “qualitative measures and performance criteria”.","[20] The basic concept of debt swaps in education is to cancel external debt in exchange for a commitment by creditor Governments to mobilize domestic resources for education.","[21] Leading Group on Innovative Education Financing, “2+3 = 8; Innovative Education Financing: Preparing the Committee's Report to the Task Force on Innovative Education Financing”, 2010.","[22] Discussion at the second session of the International Education Task Force of the Leading Group on Innovative Financing, Paris, 17 June 2010.","[23] Dakar Framework for Action, adopted at the World Education Forum, 2000, para. 8 (i).","[24] World Bank Education Strategy Group, 2020, Learning for All: investing in human knowledge and skills for development. Executive Summary, p. 1.","[25] Commonwealth Community Heads of Government Communiqué, Trinidad and Tobago, 27-29 November 2009. Paragraph 89.","[26] Committee on Economic, Social and Cultural Rights, general comment No. 3, para. 3: “The means by which steps should be taken to fulfil States' obligations, see article 2 (1), “all appropriate means, including, in particular, the adoption of legislative measures. * I don't know.","[27] In India, for example, within the framework of the Right of Children to Free and Compulsory Education Act 2009, the federal Government will cover 65 per cent of public funding for education and 35 per cent for each state.","In this context, it is worth mentioning that the discussions on innovative financing for education included a number of proposals for new mechanisms aimed at closing investment gaps in education and ensuring long-term sustainable financing.","[29] Permanent Mission of Indonesia to UNESCO. Jakarta Declaration adopted at the International Conference on the Legal Framework for the Right to Basic Education as a Fundamental Human Right and its Financing, December 2005.","[30] For example, the Indonesian Constitutional Court adopted a resolution in 2008 reminding the legislature of its constitutional obligation to provide at least 20 per cent of the national budget for education for fiscal year 2009. The Government of Indonesia has accordingly increased its education budget.","Since its fifth meeting in 2005, the High-level Panel on Education for All has recommended such measures to Governments. At its tenth meeting, held in Jomtien-Patya in March 2011, the High-level Panel called upon Governments “to allocate at least 6 per cent of gross national product and/or 20 per cent of public expenditure to education to ensure cost-effectiveness in the use of resources”.","[32] Committee on the Rights of the Child, day of general discussion on “Resources for the protection of children's rights — State responsibility”, 21 September 2007.","[33] A/64/665, para. 71 (b).","[34] The article of the International Covenant on Economic, Social and Cultural Rights on the full realization of the right to education provides that “an appropriate system of fellowships shall be established” (art. Similarly, the UNESCO Convention against Discrimination in Education provides that “students shall be granted scholarships or other forms of assistance” on the basis of “achievement or need” (art.","[35] Under Ecuador ' s 2011 Intercultural Education Act, teachers ' salaries have doubled.","[36] Fourth meeting of the International Task Force on Innovative Financing for Education, Paris, UNESCO headquarters, 4 February 2011.","[37] Education above all”, Inter-Agency Network for Emergency Education, Right to Education Project/International Aid Action, Save the Children International Alliance and UNICEF co-sponsored this document.","[38] UNESCO, Education for All Global Monitoring Report 2011, p. 15.","[39] The International Strategy for Disaster Reduction, the Inter-Agency Network for Emergency Education and the World Bank: Guidance Note for Improving School Safety (New York: Inter-Agency Network for Emergency Education; Washington: World Bank Global Facility for Disaster Reduction and Recovery, 2009).","[40] Inter-Agency Network on Emergency Education: Reference Guide to the Inter-Agency Network on Emergency Education on External Financing for Education (New York, 2010).","[41] As of 2010, Canada, Denmark, Japan, Norway and Sweden have included education in their humanitarian assistance policies. In 2011, Australian donor agencies (AusAID) and the United States of America (USAID) included education in emergencies and in conflict-affected countries in their education strategies. See Save the Children Fund, Reaching it: Financing Education for Countries Affected by Conflict and Emergencies, 2011.","[42] UNESCO, Education for All Global Monitoring Report 2011, p. 204.","[43] Ibid., p. 19.","[44] Organization for Economic Cooperation and Development (OECD) Development Cooperation Division fact sheet: Ensuring that fragile States are not abandoned, Paris, 2010.","[45] UNESCO, Education for All Global Monitoring Report 2011, p. 227.","[46] Education for All Fast Track Initiative, Board Meeting, 2011.","[47] See Articles 55 and 56 of the Charter of the United Nations, articles 2.1 and 11 of the International Covenant on Economic, Social and Cultural Rights, article 4 of the Convention on the Rights of the Child and article 32 of the Convention on the Rights of Persons with Disabilities.","[48] The Geneva Convention relative to the Protection of Civilian Persons in Time of War, of 12 August 1949, protects the right to education during conflicts. According to international humanitarian law, schools and educational institutions are civilian objects and they cannot be deliberately attacked unless they are used by the enemy for military purposes. See article 8 of the Rome Statute of the International Criminal Court.","[49] A/65/820-S/2011/250, para. 211.","[50] N. Boothby; A. Ager; R. Quinn; “Feasilability Studiy for a Global Monitoring System for Operations on Education: Definitions and Typology”, CPC Learning Network, Doha; Education Abo All, New York, 2011.","[51] The International Institute of Education is an independent non-profit organization that has been involved in the rescue of persecuted scholars since its establishment in 1919. In 2002, the Society for International Education launched the Academic Relief Fund as a formal response to this ongoing international dilemma. The Academic Relief Fund works closely with the Academics at Risk Network, the Council for Assistance to Academic Refugees and other similar organizations.","[52] A/65/820-S/2011/250, para. 211.","[53] Ibid.","[54] A/64/254, para. 25.","[55] Children's Charter-an action plan for disaster risk review by children, available from www.childreninachingclimate.org.","[56] Global Disaster Reduction and Recovery Fund, Guidelines for Safe School Construction, 2009.","[57] Global Platform for Disaster Risk Reduction, “Harmonizing regional and global agendas for disaster risk reduction; summary of key regional political commitments and disaster risk reduction priorities”, 2011, p. 20.","[58] Ibid., p. 25.","[59] UNESCO, Overcoming Inequality: Why Governance is Important, EFA Global Monitoring Report, Summary, 2009, pp. 4, 7 and 39.","[60] UNESCO, Education for All Global Monitoring Report 2011, p. 190.","[61] Dryden-Peterson, S., “Conflict, education and education”, in Conflict & Education: An Interdisciplinary Journal, Toronto, 2011.","[62] States Parties shall accord to refugees the same treatment in respect of primary education to their nationals (art. 22, para. 1). With regard to education other than primary education, States Parties shall accord refugees no less favourable treatment than that accorded to foreigners in general (art. 22, para. 2).","[63] Convention on the Rights of the Child, articles 2 and 28.","[64] UNESCO, Education for All Global Monitoring Report 2011, Summary, p. 31.","[65] Ibid., p. 216.","[66] Ibid., p. 206.","[67] Jennifer Schlecht and Sara Casey, “Callenges of collecting base data in emergency settings”, Recruitive Health Access, Information and Services in Enterprises, 2008.","[68] UNESCO, Education for All Global Monitoring Report 2011, Summary, p. 31, p. 217."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda [1]\",\n \"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Right to education\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the General Assembly, in accordance with Human Rights Council resolutions 8/4 and 17/3, the interim report of the Special Rapporteur on the right to education, Kishore Singh.\",\n \"Interim report of the Special Rapporteur on the right to education\",\n \"Summary\",\n \"The report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3 and is devoted to the issue of domestic financing of basic education. The report details the human rights obligations for financing education and practical examples of national legal frameworks to ensure domestic financing. In accordance with General Assembly resolution 64/290, the report also provides additional information on education in emergencies. The Special Rapporteur emphasizes that attention and funding for education in emergency situations remain inadequate and inadequate and calls for more investment in prevention and better protection of education during armed conflict.\",\n \"Contents\",\n \"1. Introduction 4 2. Financing basic education 5B. National legal framework for financing basic education 10D. Conclusions and recommendations 11D. Update on the right to education in emergency situations 13A. Ensuring political and financial support for education in emergency situations 13B. Protecting education from attacks 15C. Preparing the education system for natural disasters 17D. Ensuring attention to girls and marginalized groups 17E. Ensuring quality education at all levels 18F. Collecting information on education in emergency situations 19G. Conclusions and recommendations\",\n \"Introduction\",\n \"1. The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. The report describes the importance of the State ' s obligation to provide public funding for basic education and the legal framework for ensuring domestic funding of public education. In accordance with General Assembly resolution 64/290, the report also provides additional information on education in emergencies.\",\n \"2. Following his appointment by the Human Rights Council, Kishore Singh served as Special Rapporteur in August 2010. He then reported on his work to the Human Rights Council at its seventeenth session in June 2011. In his first report, he outlined the priority areas to be considered during the mandate and detailed the State obligation to ensure equal opportunities in education. I also reported on my first country visit, Senegal, in January 2011. [2]\",\n \"3. During his first year of work, the Special Rapporteur participated in a number of public education activities and worked to establish cooperation with States, international organizations and non-governmental organizations. The Special Rapporteur recently participated in two regional preparatory meetings of the Economic and Social Council, one in Thailand in March and the other in Togo in April. In July, the Special Rapporteur participated in the annual ministerial review during the high-level segment of the substantive session of the Council, which focused on the internationally agreed goals and commitments in regard to education.\",\n \"Financing basic education\",\n \"4. The right to education is an internationally recognized right and the provision of adequate financial resources is essential for its implementation. Article 26 of the Universal Declaration of Human Rights recognizes the right to education, stating that it should be free of charge, at least at the primary and basic levels. Since the adoption of the Universal Declaration of Human Rights, States have committed themselves, through various human rights instruments, to fulfil their international legal obligations with regard to the right to education and have assumed responsibility for providing the resources necessary to achieve that goal.\",\n \"5. However, resource constraints remain a major obstacle to the realization of the right to education. Prospects for achieving Millennium Development Goals 2 (to ensure that by 2015 children everywhere, boys and girls alike, will be able to complete a full course of primary schooling) and 3 (to eliminate gender disparity at all levels of education by 2015) are bleak due to lack of resources. At the 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals, the need to scale up budgets and provide more resources to accelerate the achievement of education goals was emphasized. [4] The Education for All Global Monitoring Report of recent years has consistently pointed to underfunding of education. Recent reductions in public spending in the wake of the global financial crisis could reduce support for the education sector and jeopardize recent progress. For example, 7 out of 18 low-income countries reduced education spending in 2009, with 3.7 million children out of school in those countries alone. [6]\",\n \"6. In order to overcome resource constraints to realize the right to education and achieve internationally agreed goals, such as the Millennium Development Goals and education for all, the report recalls the State obligation to finance basic education domestically. Examples were given of countries using legal instruments to ensure adequate financial resources for education.\",\n \"A. Human rights obligations to finance education\",\n \"7. Under international human rights treaties, States are responsible for providing resources to ensure the enjoyment of human rights. It is all the more important to provide the necessary resources for the enjoyment of the right to education, which is essential for the exercise of all other human rights. This is given high priority in public investment, which benefits both individuals and society.\",\n \"8. The obligation of States to ensure adequate resources to overcome constraints and realize the right to education has been reflected in the concluding observations adopted by United Nations human rights treaty bodies. CESCR and CRC have frequently expressed concern at the declining level of education as a result of insufficient State investment in education and recommended increasing the allocation of resources to the education sector. The Committee on the Elimination of Discrimination against Women has also systematically urged States to increase investment in basic education as a fundamental human right and the empowerment of women. The recommendation of the universal periodic review of the Human Rights Council to increase investment in education further confirms the widespread recognition that funding education is central to the fulfilment of human rights obligations. [7]\",\n \"9. The commitment to financing education is also part of the International Labour Organization (ILO)/United Nations Educational, Scientific and Cultural Organization (UNESCO) Recommendation on the Status of Teachers (1966), which recognizes the need for all countries to accord high priority to the allocation of an adequate proportion of national income to national education development in national budgets. [8] Indeed, the right to education is an integral part of the institutional mission of UNESCO and member States have an obligation to provide the necessary resources to achieve this goal.\",\n \"1. Ensuring progressive realization and avoiding regression\",\n \"10. The concept of progressive realization of economic, social and cultural rights, including the right to education, recognizes that the realization of these rights often takes time. This also means that measures must be taken to promote the fulfilment of rights to ensure their continued universalization throughout the country. Referring to the progressive realization of the right to education, the Committee on Economic, Social and Cultural Rights stressed that States parties to the International Covenant on Economic, Social and Cultural Rights have a specific and continuing obligation “to achieve the full realization of this right as soon as possible and as effectively as possible”. The Convention also emphasizes that “no retrogressive measures are permitted”. [9] In this sense, support for education must be accompanied by the need to ensure a gradual expansion of the education sector.\",\n \"11. The United Nations human rights treaty bodies have expressed concern about the possible impact of the economic crisis on the enjoyment of human rights. The Committee on Economic and Social Rights specified that “even in times of severe resource constraints caused by the adjustment process, economic recession or other factors, vulnerable members of society can and must be protected by relatively low-cost, targeted programmes”. [10] Recently, the Human Rights Council adopted a resolution calling on Member States to stress that the global economic and financial crisis should not diminish the responsibility of national authorities for the realization of human rights. [11]\",\n \"Implementation of core obligations\",\n \"The obligation of States to give priority to “minimum essential levels of each right” recognized in the International Covenant on Economic, Social and Cultural Rights, also known as “minimum core obligations”, has immediate effect. The core obligations relating to the right to education include, inter alia, the obligation to provide free primary education for all students, in accordance with article 13.2 (a), and the adoption and implementation of national education strategies, including the core obligation to allocate funds for the provision of secondary, higher and basic education. [12] Article 14 of the Covenant further emphasizes the core right to adopt a plan of action for the progressive implementation of the right to free and compulsory primary education within a reasonable time.\",\n \"3. Ensuring that maximum resources are made available\",\n \"13. The International Covenant on Economic, Social and Cultural Rights, [13] the Convention on the Rights of the Child [and] Both the Convention on the Rights of Persons with Disabilities and the Convention on the Rights of Persons with Disabilities [15] clearly state the obligation of States parties to provide as many resources as possible to ensure the enjoyment of human rights.\",\n \"14. In its general comment on the obligations of States parties, the Committee on Economic, Social and Cultural Rights emphasized that, even where existing resources are insufficient for the realization of economic and social rights, States parties have an obligation to strive to ensure the widest possible enjoyment of those rights in the circumstances, to monitor their realization and to develop outreach strategies and programmes. [16] Resources here refer to financial resources, but not exclusively to financial resources.\",\n \"4. International assistance and cooperation\",\n \"15. Under the International Covenant on Economic, Social and Cultural Rights, States are obliged to take measures, individually and through international assistance and cooperation, to the maximum of their available resources, for the progressive realization of these rights. The Committee on Economic, Social and Cultural Rights emphasized the specific obligations of the international community to finance the right to education. At the same time, States requiring international assistance must seek and manage it in accordance with human rights norms and standards.\",\n \"16. By virtue of the principle of international solidarity, the least developed countries faced serious financial difficulties and deserved priority international assistance. Development partners must provide “financial and technical support” to these countries “to achieve national education plans and programmes, including universal education in rural and remote areas”. LDCs need to strengthen their national education systems. [18]\",\n \"17. A number of political declarations on international assistance have emphasized the need for recipient countries to properly manage available domestic resources to enhance the sustainability of development efforts. For example, through the Paris Declaration on Aid Effectiveness (2005), partner countries committed themselves “to intensify domestic resource mobilization, enhance fiscal sustainability and create an enabling environment for public and private investment”. Similarly, the Global Compact (2002), launched by the Secretary-General at the International Conference on Financing for Development, provides that if developing countries improve governance and achieve results, donors will provide the necessary funding to achieve the Millennium Development Goals. [20] The Education for All Fast Track Initiative is the most important mechanism for international assistance in education, aimed at assisting countries to achieve Millennium Development Goal 2 and the Education for All goals, with particular emphasis on the proper management of domestic resources in recipient countries.\",\n \"18. More recently, in 2006, national and international organizations involved in development assistance established the Leading Group on Innovative Financing for Development to develop additional international financing mechanisms for global development. As part of this initiative, the International Task Force on Innovative Financing for Education has been established and several alternatives are being discussed to increase funding for education, including domestic resource mobilization, as well as international assistance. [22]\",\n \"5. Related global political commitments\",\n \"19. Many international declarations contain commitments to finance primary education, which is also at the heart of major global campaigns. At the World Education Forum (2000), Governments and other stakeholders committed themselves to developing strategies, in particular “mobilizing strong national and international EFA political commitments, developing national action plans and significantly increasing investment in basic education. These commitments include the commitment that “political will must be supported by resources”. It is therefore the responsibility of Governments to provide domestic resources to achieve education for all. Education for all is a fundamental human right and is considered a “strategic development investment”. [24]\",\n \"20. The Millennium Development Goals should also be used to reaffirm the obligations expressed in human rights treaties, and it was therefore the responsibility of Governments to provide financial resources for education. Millennium Development Goal 2 reflects the obligation to ensure universal primary education, including the obligation not to deprive children of their right to education by direct or indirect school fees. Millennium Development Goal 3 reflects the obligation to ensure gender parity at all levels of education, including through the provision of financial resources.\",\n \"B. National legal framework for financing basic education\",\n \"21. States have an obligation to incorporate international obligations to finance education into domestic law. The State ' s Constitution, legislation and education policy provide for public funding for education and are key to fulfilling obligations to realize the right to education. In the view of the Special Rapporteur, the adoption of a legal framework for State funding for education can indicate the importance and priority given to the right to education.\",\n \"22. Legal reforms in the Education for All process can witness the emergence of the right to basic education together with the right to primary education within the national legal framework. States therefore recognize the obligation to guarantee universal access to basic education. For example, the 2009 Commonwealth Heads of Government Summit called on all Commonwealth countries to invest more resources in basic education. [25]\",\n \"1. Constitutional provisions\",\n \"23. The constitutional provision for education provides a solid basis for the development of national legislation and education policies. Some countries have different criteria for determining minimum investment in education, but all have constitutional provisions.\",\n \"24. Some States have constitutional provisions requiring a certain proportion of tax revenues to be used as a minimum level of educational resources. Article 212 of the Brazilian Constitution provides that “the federal State uses no less than 18 per cent of the tax annually and the states, the Federal District and the cantons use at least 25 per cent of the tax, including remittance income, for the maintenance and development of education”.\",\n \"The constitutions of other countries set a minimum share of education in the overall national budget. Article 31 (4) of the Constitution of Indonesia, as amended in 2002, provides that “at least 20 per cent of the national and regional budgets shall be allocated as a priority to education to meet the needs of national education”.\",\n \"26. Other constitutions use GDP to calculate the minimum support required for education. The 2008 Constitution of Ecuador stipulates that public expenditure on education should be 6 per cent of GDP. The 1997 Constitution of Costa Rica contains similar provisions.\",\n \"27. Finally, other national constitutions impose an obligation to prioritize investment in education. The Constitution of Ethiopia states that “the State is obliged to allocate increasing resources to public health, education and other social services.” (Article 41 (4)). Similarly, the Constitution of the Philippines and Viet Nam stipulates that the State should give priority to investment in education.\",\n \"2. National legislation and budgetary allocations for basic education\",\n \"28. The Committee on Economic, Social and Cultural Rights (CESCR) stressed the importance of national legislation to implement State obligations. [26] Legislation in many countries is often developed in the context of the Education for All process and includes important provisions for funding basic education, with minimum financial support and responsibilities. Recent developments can serve as practical examples, as described below.\",\n \"29. In South Africa, basic education is a constitutional right. The South African Schools Act 1996 provides that “in accordance with the Constitution and this Act, the Minister, in consultation with the Finance and Finance Committee and the Minister of Finance, shall determine the criteria and minimum standards for funding public schools” (art.\",\n \"30. Nigeria ' s Free Compulsory Basic Education Act of 2004 provided for nine years of compulsory basic education and established the Universal Basic Education Commission, which was responsible for implementing the right to basic education and providing resources. The Universal Basic Education Programme is funded from the 2 per cent Consolidated Income Fund.\",\n \"31. Argentina ' s National Education Act, No. 26.206 of 2007, provides for an increase in education resources of 6 per cent of GDP in 2010. The Act provides for the right to compulsory education from the age of five until the completion of secondary education (art. 16).\",\n \"Mexico's General Education Act of 2003 provides that 8 per cent of gross national product is allocated to public education and education services (art. It is known that this has helped to increase support for education.\",\n \"33. In India, the policy of funding basic education derives from national legislation, such as measures being taken to implement the 2009 Free and Compulsory Education for Children Act. As a result of the development of this framework, there has been a significant increase in education expenditures in the five-year national plan.\",\n \"34. Senegal ' s Education Policy Act No. 91-22 of 1991 was amended by Act No. 2004-37 of 2004 to provide for compulsory education for all children between the ages of 6 and 16 years, free of charge in all public schools. The recognition of the obligation to provide education has reportedly led to an increase in State investment in education to nearly 40 per cent of the national budget.\",\n \"35. Kenya had adopted the Children ' s Act 2001 and the Education Strategy for the Twenty-first Century, which emphasized the core commitment to universal primary education. The commitment has reportedly resulted in a significant increase in the allocation of resources for education.\",\n \"China amended its Compulsory Education Law in 2006 to provide for nine years of basic education. The Act guarantees that basic education is funded by the State Council and local people ' s governments. China's national plan for medium- and long-term education reform and development (2010-2020) recognizes that “financing education is a basic, strategic investment”. It is planned that public expenditure on education will be 4 per cent of GDP by 2012.\",\n \"37. Some legal frameworks devolve responsibility for funding to local entities. Iceland ' s Compulsory Education Act No. 19 of 2008 provides that municipalities are responsible for capital investment costs for compulsory education. Thailand ' s National Education Act 1999 empowers state and local agencies to levy education taxes where appropriate. A number of federal States have specific funding mandates and responsibilities for federal and state authorities. [27]\",\n \"3. Mobilization of supplementary funds for education\",\n \"38. Legal instruments can generate additional funds for education. In India, a 2 per cent education tax on all central taxes has opened up important sources of funding for the primary education sector. Similarly, China ' s national plan of action, mentioned above, also proposes to introduce an additional education tax, 3 per cent of the value added tax, devoted to education. The mobilization of supplementary funds through such special tax schemes is essential to enhance budgetary funding. [28]\",\n \"39. Through institutional mechanisms that complement government funding, local institutions, private donors and communities can use contributions to raise supplementary funds to strengthen public investment in basic education. For example, under the Education Fund Act 2001, the Tanzania Education Authority may “receive gifts, donations, grants or other payments on behalf of the Fund”. Other similar mechanisms exist, such as the Bharatiya Shiksa Kosh (Education Fund) in India and the Nigerian Education Tax Fund. It is important to ensure that all these institutional mechanisms operate in a manner that fully respects transparency and accountability.\",\n \"40. The present report is limited to a focus on financing education through public resources. However, it is clear that the private sector can complement national education initiatives in the provision of education through partnerships with Governments in which responsibility is shared equitably. However, it should be ensured that such partnerships operate within a legal framework that fully complies with human rights norms and is consistent with standards of quality education.\",\n \"C. Concerns requiring further consideration\",\n \"41. As mentioned earlier, human rights instruments clearly state the obligation of the State to fund education. Putting these obligations into practice requires a range of legal and policy instruments to ensure that investments in education are predictable and sustainable and that financial resources are readily available and used in a timely and appropriate manner to guarantee the widest possible enjoyment of the right to education. The adoption of a legal framework for the financing of education provides an important tool for promoting accountability, as actions affecting public education investments may lead to domestic legal litigation. [30]\",\n \"42. Some of the core concerns identified below by the Special Rapporteur deserve further attention in the implementation of the legal instruments on financing basic education.\",\n \"1. Access to adequate financial resources for basic education\",\n \"43. In order to overcome the resource constraints on the Education for All agenda, the High-level Panel on Education for All advocated the need to ensure that the minimum proportion of the national budget devoted to education is 15 to 20 per cent, or 4 to 6 per cent of GDP. As noted above, mechanisms that require a certain proportion of total public expenditure or specific tax revenues to be earmarked for education have successfully increased funding for education in several countries. It is clear that a gradual assessment of the effectiveness of these mechanisms depends on the overall functioning of the financial and budgetary policy mechanisms of a given country.\",\n \"2. Ensuring the full use of educational resources\",\n \"44. While it is essential to allocate as much domestic resources as possible for education, it is equally important to ensure that these resources are used effectively and optimally. In addition to ensuring funding for education, legal instruments that protect the right to education can further guide States in their actions to fulfil their human rights obligations and to utilize the resources allocated to education.\",\n \"45. Given the obligation to ensure universal primary education and the commitment to the Millennium Development Goals and the Education for All agenda, public funding for primary and basic education should be ensured as a priority.\",\n \"46. Evaluation of the effectiveness of financial management of education must focus on the core principles of equality and non-discrimination. The allocation of funds to different levels and regions of education within an area must take into account existing socio-economic disparities and their impact on the education community. In addition, where education is financed through the sub-national budget, it is important to ensure that local disparities in tax revenues do not lead to inequalities between regions.\",\n \"47. Special funds must be secured to address the root causes of the exclusion of girls, the poor, the disabled, ethnic and linguistic minorities, migrants and other marginalized and vulnerable groups from education. Specific measures to overcome major barriers to education must be considered, including the abolition of school fees and subsidies for other costs, such as textbooks, uniforms and transport. Temporary special measures to provide financial support to these groups through affirmative action can find a normative basis in international human rights treaties. [34] Particular attention must be paid to the principles of transparency and accountability in the management of education budgets.\",\n \"3. Responding to the quality of education\",\n \"48. Finally, the framework for adjusting expenditure on education must first consider improving quality education, recognizing the centrality of education in people ' s lives and the empowering role of quality education. The education budget tends to be spent entirely on recurrent expenditures (mainly on teachers ' salaries). Unfortunately, teachers are often poorly paid to attract qualified professionals. [35] Investment in important components, such as the development of teaching materials, the training of trainers and the improvement of working conditions, continues to be neglected. The Special Rapporteur intends to examine this issue in another thematic report on quality education.\",\n \"D. Conclusions and recommendations\",\n \"49. States can fulfil their international obligations to guarantee the right to education only if they provide the necessary resources for education and make it available on a consistent and predictable basis. To that end, the national legal and policy framework for ensuring educational inputs plays a crucial role. It is also important to accelerate the process of sustainable development to achieve the Millennium Development Goals and to move the Education for All agenda forward. Education was indeed the best investment a country could make and deserved the highest priority in the allocation of resources. As a vital global public good, education deserves a strong investment commitment from global leaders. [36]\",\n \"50. In this spirit, the Special Rapporteur provides the following recommendations:\",\n \"(a) Ensuring investment in education through domestic legal frameworks\",\n \"51. It is essential to have a national law that provides for at least the minimum essential level of quality education inputs. Follow-up to the recommendations that have been highlighted by the High-level Panel on Education for All and the establishment of an internationally accepted norm (i.e. at least 4-6 per cent of gross national product (GNP) for education or 15-20 per cent of the national budget) could be valuable in laying the foundation for the development of national legal and policy frameworks.\",\n \"(b) Development of strategies to increase resource allocation\",\n \"52. The development of new avenues for resource allocation and utilization is crucial for countries. In order to strengthen the status of education as a national priority, the ministries concerned with social development (the Ministry of Social Welfare, the Ministry of Children and Women Development, the Ministry of Labour, the Ministry of Health, etc.) can set education budget lines. At the same time, broadening the tax base is also important for generating additional budgetary resources.\",\n \"(c) Promotion of open debate and exchange of experiences\",\n \"53. In terms of budgetary allocations, education often does not enjoy the priority it deserves at the national level. In order to ensure that education receives priority attention, it is necessary to promote public dialogue between the Minister of Education and the Minister of Finance and the Minister of Planning on the necessary steps to ensure maximum investment in education. The exchange of ideas and approaches among countries on the legal and policy framework for financing education will help national authorities to draw on existing experiences and practical examples through comparisons, as well as to raise awareness of new ways of investing in education.\",\n \"(d) Special attention should be paid to financing basic education in the provision of technical assistance to Governments in the development of national legal frameworks\",\n \"54. In accordance with Human Rights Council resolution 17/3, UNESCO and UNICEF should be encouraged to continue to provide technical assistance to Member States in the development and modernization of national legislation. In this process, the importance of provisions for financing basic education should be emphasized.\",\n \"(e) Responding to the quality of education\",\n \"55. Budgetary reserves for quality education are scarce, as almost all resources allocated to education are spent on recurrent expenditures. A paradigm shift in responding to the quality of education remains a daunting challenge.\",\n \"III. Update on the right to education in emergency situations\",\n \"56. In its resolution 64/290, the General Assembly requested the Special Rapporteur to include in his next interim report to the Assembly at its sixty-sixth session updated information on the report on the right to education in emergency situations (A/HRC/8/10), submitted by the previous Special Rapporteur in 2008, in order to identify gaps and remaining challenges to the right to education in emergency situations.\",\n \"57. The 2008 report defined emergencies as any crisis arising from natural disasters or armed conflict, which, as defined in international humanitarian law, could be international (including military occupation), internal or post-conflict. The report notes that ensuring appropriate education is not only a widely recognized State obligation, but is also essential to prevent emergencies and ensure success in peacebuilding and recovery efforts. However, the report emphasizes that in emergency and reconstruction processes, education is often interrupted, delayed or even deprived of. The report made a number of recommendations to States, intergovernmental organizations and non-governmental organizations to better protect education and ensure its integration into humanitarian response to conflicts and natural disasters.\",\n \"58. The update, which is divided into six parts, reflects the content and core recommendations of resolution 64/290. Each section identifies the remaining challenges to the promotion of the right to education in emergency situations and outlines the progress made over the past three years. The first part focuses on proposals for increased political and financial support for education in emergencies. The second part deals with recommendations to better protect schools from attacks and ensure accountability. Part III deals with recommendations for better preparation of the education system for natural disaster situations. Part IV addresses recommendations that address the specific needs of girls and other marginalized groups. Part V focuses on recommendations to ensure quality education in emergencies. Part VI focuses on the need to improve the collection of education data in emergency situations.\",\n \"59. A detailed report led by a group of international and non-governmental organizations with expertise in the field of education in emergency situations and developed through a collaborative consultative process has contributed to this update.[37] The Special Rapporteur is grateful to all those who shared information or made efforts to prepare this update.\",\n \"A. Ensuring political and financial support for education in emergencies\",\n \"60. Millions of people remain deprived of their right to education in emergency situations. In order to guarantee this fundamental right, political attention and sustainable financial support must be increased. The lack of adequate attention to the right to education in emergency situations continues to affect prospects for achieving the Millennium Development Goals and the Education for All goals. The Education for All Global Monitoring Report 2011 highlighted that in conflict-affected countries, an estimated 28 million children of primary school age are currently out of school, accounting for 42 per cent of all out-of-school children globally. [38] Natural and man-made disasters also threaten education: an estimated 875 million school-age children live in high-risk areas of earthquakes, and hundreds of millions more face recurrent floods, landslides, wind and fire hazards and slow-onset disasters. [39]\",\n \"61. As reflected in General Assembly resolution 64/290, States have recognized the urgency of ensuring the realization of the right to education as an integral part of humanitarian assistance and emergency response. Debates and research within the United Nations system have helped to shed light on what the Education for All Global Monitoring Report calls a “hidden crisis”. The Committee on the Rights of the Child and the General Assembly organized thematic discussion days focusing on this theme in 2008 and 2009, respectively.\",\n \"62. Greater attention to and coordination of education among the various stakeholders providing humanitarian assistance remains a key issue. The recent partnership between the Sphere Project and the Inter-Agency Network for Education in Emergencies to develop a partnership agreement to guide the integration of quality education into humanitarian response is an important step towards a more coherent focus on education within the humanitarian community. Traditionally, access to education has been excluded from humanitarian priorities, but families and young people affected by emergencies continue to be considered a priority. [40] Responding to the needs expressed by affected communities is an important component of humanitarian response and key to the implementation of the right to education.\",\n \"63. Although the importance of education in emergencies is increasingly recognized by the international community and communities affected by emergencies, funding for this remains limited. Only a few donor agencies have explicitly included education as part of their humanitarian policy. [41] The Education for All Global Monitoring Report 2011 highlighted that in 2009, only 2 per cent of total humanitarian assistance was committed to education in conflict-related emergencies. [42] The report concludes:\",\n \"Education, a poor neighbour of the humanitarian aid system, is not only underfunded and totally unpredictable, but is also constrained by short-term behaviour. Education faces a double disadvantage: it accounts for a small proportion of humanitarian appeals, and even less of those that receive funding. [43]\",\n \"64. The evaluation found that some particularly vulnerable countries requiring funding for education were left out by many donors, as donors clearly gave higher priority to countries linked to their own security priorities: Official development assistance (ODA) to fragile States is highly concentrated, with 51 per cent of ODA to 43 fragile States in 2008 going to six beneficiary countries, representing only 23 per cent of the total population of fragile States. [44]\",\n \"65. The change in support was another matter of concern. As noted above, the sustainability of financial support is essential to ensure that the education system is fully operational. This can only be achieved through sustained financial support for the uninterrupted implementation of education programmes. In the absence of sustainable support and funding for the transition from humanitarian response to development frameworks, many important opportunities are missed in the aftermath of emergencies. In this context, it is worth emphasizing the need for further investment in national planning and information systems in recipient countries. [45]\",\n \"66. The Education for All Fast Track Initiative is working to increase support to vulnerable countries, but to date it does not have the capacity to provide financing in particularly urgent situations. [46] In addition to bilateral support, there are many complementary ways of financing education in emergencies, but these are still clearly inadequate.\",\n \"67. The Special Rapporteur emphasizes that emergency situations do not absolve States from the obligation to take all appropriate measures to ensure the realization of the right to education for all persons on their territory, including refugees from non-nationals and internally displaced persons groups. Ensuring financial support for primary education to ensure that primary education remains available in emergency situations, providing secondary education in a non-discriminatory manner and facilitating access to higher education on the basis of capacity is no more than fulfilling human rights obligations.\",\n \"68. Considering the vulnerability of some States affected by emergencies and the central role of international assistance and cooperation in such situations, it is important to bear in mind that human rights law establishes an obligation to provide international assistance. The same commitment is reflected in many international declarations, including the Dakar Framework for Action on Education for All, adopted at the World Education Forum in 2000. Furthermore, as noted above, States requesting assistance are also obliged to seek and manage external assistance in accordance with human rights principles.\",\n \"B. Protecting education from attacks\",\n \"Attacks on schools and institutions of higher education violate human rights and humanitarian law. The Secretary-General has recently reported, however, that attacks on schools pose serious concerns and an increasing trend. [49] Many educational institutions in conflict zones continue to face insecurity, with long-term consequences for the education system and students.\",\n \"70. Studies have shown that attacks on educational institutions in conflict situations have continued to increase over the past three years, with widespread violence. [50] These incidents included the injury or killing of students and school staff, damage to or destruction of educational facilities, which ultimately prevented thousands of students from attending school because of the closure of schools or universities. The Academic Relief Foundation of the International Institute of Education [51] reported that the number of applications submitted by threatened scholars in the period 2008-2011 had doubled over the previous period. In some cases, the use of schools by armed elements undermines their civilian character and puts students and teachers at risk. [52]\",\n \"71. Despite the continuing shortcomings of the monitoring mechanism, it has been noted that the international community has increasingly focused on attacks on educational institutions in emergency situations. In 2010, international organizations and non-governmental organizations established a global alliance to protect educational institutions from attacks, promoting joint efforts to prevent, respond to and monitor attacks on educational institutions. The Secretary-General has described these developments in his latest report on children in armed conflict. Similarly, the Special Representative of the Secretary-General for Children and Armed Conflict reiterated the importance of protecting schools from attacks and stressed that “enhanced accountability mechanisms for such crimes are key to ensuring that schools remain safe havens and zones of peace”. [54]\",\n \"72. The Special Rapporteur believes that it is essential to strengthen the capacity of monitoring mechanisms to monitor the situation of those involved in armed conflict who launch attacks against the education system, which is essential to prevent invisibility and end impunity. In that regard, he welcomed the Council ' s recent adoption of resolution 1998 (2011), which expressed deep concern about attacks on schools and requested the Secretary-General to include in the annex to his report on children and armed conflict information on recurrent attacks on schools and attacks or threats of attacks against protected school-related personnel. The Security Council ' s monitoring and reporting mechanism has already played an important role in identifying grave violations against children in armed conflict, and continued and increased attention to attacks on schools is essential to the protection of the right to education. To further ensure accountability, it is also necessary to further strengthen the capacity of national and international justice systems to prosecute perpetrators, including non-State actors.\",\n \"73. In addition to ensuring accountability for attacks on schools, targeted efforts must be made to prevent attacks on schools and other educational institutions and to protect them against insecurity in order to minimize the damage that armed conflict can cause. Finally, tireless efforts are required to assist in the rehabilitation of victims and to ensure that appropriate individual and collective compensation is paid for these education-related violations.\",\n \"C. Preparing education systems for natural disasters\",\n \"74. The leaders of the education system must not ignore the increasing number of natural disasters. Schools not only play a crucial role in helping communities to become more resilient, but also need to be well prepared to minimize the eventual harm that natural disasters can cause to their own operations. Therefore, the education sector needs to be given special attention in the development of a holistic strategy for disaster risk reduction. At the same time, schools must develop and adopt systematic safety and security measures adapted to the specific circumstances they face.\",\n \"75. The construction or maintenance of schools is often not done to enhance resilience. Extensive consultations with children around the world have resulted in the recently produced Children ' s Charter for Disaster Risk Reduction, which emphasizes the need for school safety and education to be uninterrupted. [55] The Inter-Agency Network for Education in Emergencies coordinated the development of guidance notes on the steps necessary to ensure the construction of safer schools and the rehabilitation of existing ones. A major effort is needed to build technical capacity for and ensure the adoption of safer standards of educational infrastructure in order to avoid the tragedy of earthquakes or other disasters that claim the lives of large numbers of children in unsafe schools.\",\n \"76. Attention is also being paid to the use of schools as a platform for increasing the number of learners and education workers preparing for disasters and their consequences. Some countries have incorporated disaster risk reduction components into their school curricula, and others consider disaster risk reduction and climate change adaptation as national education priorities. [58]\",\n \"77. The Special Rapporteur emphasizes that investment in prevention through education is essential to protect schools and communities they assist from the effects of natural disasters. Therefore, education systems must be actively involved in the development and implementation of risk management strategies. Schools must also promote, through their regular activities, a culture of prevention and preparedness among students, staff and their communities. Considering that the risks and needs of communities in the same region vary widely, there is a need to ensure that risk management strategies are developed through a meaningful participatory process involving the communities in which schools are located.\",\n \"D. Ensuring attention to girls and marginalized groups\",\n \"78. The failure of Governments to address persistent inequalities based on income, gender, location, ethnicity and language is one of the reasons for the limited progress made towards the Education for All goals and the Millennium Development Goals. Barriers to schooling that already exist during normal times are clearly more significant in emergency situations. The cost of schooling may increase significantly, and commuting between schools and families often becomes very difficult and unsafe, further excluding children who are poor or more vulnerable to violence. In this sense, targeted measures to identify marginalized groups and address their specific needs are necessary to avoid widening inequalities in education.\",\n \"79. Ensuring gender parity in education is particularly important in this regard. Attention has been drawn to the direct and indirect impact of sexual violence, which is prevalent in conflict, on female teachers and students. [60] Insecurity on the way to, from or within schools appears to be a central factor in the exclusion of girls from the education system. The lack of independent sanitation facilities in emergency schools also constitutes a major obstacle to girls ' education.\",\n \"80. Despite apparent resource constraints in emergency situations, neglecting the impact of discrimination and structural inequalities in education when planning, implementing and evaluating education policies in such situations can lead to further marginalization and, in some cases, to the recurrence of conflict.\",\n \"81. Refugees and internally displaced persons continue to face significant obstacles in seeking education outside their communities of origin. Data collected by the Office of the United Nations High Commissioner for Refugees in official United Nations refugee camps show that access to education in the camps is limited and uneven — the overall primary school enrolment rate for refugee children is 69 per cent, compared with 30 per cent at the secondary level. While States have a human rights obligation to provide education to all children residing in their territory without discrimination of any kind and the Convention has provisions relating to refugee status, [62] several States maintain administrative barriers to the enrolment of refugee and internally displaced children in schools. [63] Short-term funding for projects in protracted situations threatens the education and progress of thousands of refugee and displaced children. The gap in funding for education in these situations must be addressed as a matter of priority, as denial of education to these populations has a lasting impact.\",\n \"82. In his first report to the Human Rights Council (A/HRC/17/29), the Special Rapporteur has emphasized that most human rights treaties address the issue of equal access to education. Human rights treaties place a duty on States to ensure that the right to attend public educational institutions and curricula is not discriminated against and that primary education is provided for all.\",\n \"E. Ensuring quality education at all levels\",\n \"83. Access alone does not guarantee the exercise of the right to education, for example, where the quality of education provided does not meet appropriate standards. The resource constraints faced in times of emergency do not justify neglecting the basic requirements for ensuring quality education, including the presence of qualified teachers, the availability of appropriate teaching materials, sufficient real teaching time and an improved classroom environment.\",\n \"84. States, international organizations and civil society continue to provide guidance on improving quality education in emergencies through materials developed by the Inter-Agency Network on Education in Emergencies. A consultative process involving stakeholders involved in emergency education around the world resulted in the preparation of an updated version of the Minimum Standards for Education in Inter-Agency Networks for Education in Emergencies: Preparedness, Response and Recovery, which provides important policy guidance on the necessary steps to ensure quality education. The recently released Inter-Agency Network for Education in Emergencies guidance note on teaching and learning provides more specific teaching guidance based on the experience of educators working in emergencies.\",\n \"85. As noted above, the inadequate and short-term nature of funding for emergency education and transition programmes significantly hampers the possibility of eliminating serious deficiencies, which leads to very low quality education. In addition, the overall trend towards humanitarian work focusing only on primary education limits investment in early childhood care and development, as well as in secondary and tertiary education. This bias significantly limits the prospects for student advancement and increases the challenges faced in training teachers.\",\n \"86. The Education for All Global Monitoring Report 2011 presents key issues in ensuring quality education for students affected by or at risk of conflict. These issues include ensuring that children can learn their mother tongue, especially at an early stage; rethinking history and religious teaching so that they can present different perspectives on conflict-sensitive issues; and promoting non-violent school environments.\",\n \"87. Effective teaching of literacy, numeracy and life skills, such as disease prevention and conflict resolution, is critical to improving resilience during emergencies. School staff must be given sufficient incentives and strengthened capacity to give due attention to the psychological needs of students, to use resources and schedule for recreational and performance activities, and to turn heavily affected students to additional support.\",\n \"88. The provision of certification of learning achievement is another concern related to the quality of education in emergency situations, particularly for students in refugee schools. Specific strategies need to be developed to ensure that the student record is adequately monitored, documented and validated even in times of crisis.\",\n \"F. Collecting information on education in emergencies\",\n \"89. Restrictions on data collection in emergency situations continue to affect the overall humanitarian effort. Inadequate capacity to accurately assess educational needs limits the possibility of accurately developing and assessing educational initiatives in emergency situations. As noted above, poor monitoring has further contributed to a lack of visibility and consequent impunity in situations where schools are directly threatened by violence.\",\n \"90. The EFA Global Monitoring Report 2011 noted that data collection in conflict situations has serious limitations: “Assessment needs assessments for communities in conflict are not systematic, even if they take into account the inevitable limitations associated with investigations in conflict-affected areas. [65] The report also emphasizes that donor assessments tend to underestimate the needs of the education sector, as their recommendations are often made to meet lower expectations of donor funding. [66] Limited attention has been paid to needs assessments regarding the quality of education, such as the supply of textbooks, school hours and in-service teacher training. The human resource and infrastructure requirements of secondary education are often completely ignored.\",\n \"91. Information-gathering in emergency situations requires specific strategies to overcome the obstacles faced in such situations. These may include difficult logistics, personal insecurity, the political and ethical implications of activities in a rapidly changing environment, and the technical challenges of working with mobile populations and groups of unusual populations. [67]\",\n \"92. The Global Thematic Working Group on Education developed a joint education needs assessment toolkit and a summary guide to rapid needs assessments in 2010 to provide guidance on data collection in emergency situations. The Working Group stressed the need to further enhance monitoring capacity by defining a core set of indicators, including the estimated number of children and young people to be reached, age and gender profiles, patterns of displacement, educational materials, teachers and infrastructure requirements to guide financing requirements. [68]\",\n \"G. Conclusions and recommendations\",\n \"93. As noted in the previous report on education in emergencies (A/HRC/8/10), access to education remains a reality for most communities affected by emergencies. Despite the increased attention of the international community, key issues remained: funding for humanitarian activities continued to ignore the need to ensure education; schools continued to be victims of direct and indirect violence; and prevention remained insufficiently active in the face of the increased impact of natural disasters. In order to reverse the current trend, States and other entities that provide and channel humanitarian and transitional assistance must pay greater attention to education in emergency situations. Providing education during emergencies and ensuring its protection is not an option but an obligation.\",\n \"In this regard, the Special Rapporteur makes the following recommendations:\",\n \"(a) Ensure adequate funding for education in emergency situations\",\n \"95. As pillars of humanitarian and transitional response, countries must urgently increase national, bilateral and multilateral funding commitments for education. There must be a clear policy commitment to ensure adequate and sustainable national and international support for education in emergency situations and fragile and protracted crises. The period covered by such commitments must extend to the final stages of recovery, including in the development framework. Recipient States must follow human rights requirements while seeking and managing international assistance.\",\n \"(b) Enhanced protection of schools from attacks\",\n \"96. States must ensure that violations of international human rights and humanitarian law committed against members of the educational community and educational institutions and sites are systematically monitored, documented and reported. Greater attention must be paid to education in future monitoring of violations of children ' s rights in armed conflict, in line with Security Council resolution 1998 (2011). Domestic, regional and international accountability mechanisms, including military accountability mechanisms, should be fully understood and the obligations of State and non-State actors in relation to the right to education and other guarantees of legal protection for educational personnel and institutions should be systematically implemented. Specific efforts are needed to strengthen the capacity of education providers to prevent and respond to attacks.\",\n \"(c) Enhanced security and disaster risk reduction\",\n \"97. States must ensure that disaster risk and safety considerations are taken into account in the planning, design, construction and reconstruction of educational facilities. The concepts of disaster risk reduction and preparedness should be integrated into educational policies and curricula. Participatory processes involving students and communities must be used to ensure local risk assessment and preparedness.\",\n \"(d) Attention to the exclusion of girls and marginalized groups\",\n \"98. States must take concrete measures to guarantee education for girls and marginalized groups in emergency situations. Specific work is needed to eliminate persistent or emerging patterns of discrimination and physical, financial, cultural and linguistic barriers that deepen inequality during emergencies.\",\n \"(e) Ensuring quality education\",\n \"99. Those responsible for providing education in emergencies must consider meeting the requirements of quality education standards. Special attention must be paid to improving school curricula, promoting human rights education and addressing the psychosocial needs of students and teachers.\",\n \"(f) Develop a common framework for assessing education needs in emergencies\",\n \"100. Further investment is needed to ensure that data on the situation of education in emergencies is systematically collected. States, international organizations and non-governmental organizations supporting education in emergency situations should endeavour to develop a common framework for assessing and reporting on education needs that are met and unmet in emergency situations. Such a framework must take into account human rights obligations relating to the right to education.\",\n \"[1] ^ (*) A/66/150.\",\n \"[2] A/HRC/17/29/Add.2.\",\n \"[3] Articles 13 and 14 of the International Covenant on Economic, Social and Cultural Rights and the UNESCO Convention against Discrimination in Education broadly provide for this right and are also guaranteed by articles 28 and 29 of the Convention on the Rights of the Child, article 5 of the International Convention on the Elimination of All Forms of Racial Discrimination, articles 10, 11 and 13 of the International Convention on the Elimination of All Forms of Discrimination against Women, articles 30, 43 and 45 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and article 24 of the Convention on the Rights of Persons with Disabilities.\",\n \"[4] A/64/665, paragraph 71 (b).\",\n \"[5] This issue has also been addressed in a number of publications of the UNESCO International Institute for Planning of Education.\",\n \"[6] UNESCO Global Report on Education for All 2011, Invisible Crisis: Armed Conflict and Education, p. 12.\",\n \"[7] For example, recommendations for Bolivia, Cambodia, Chile, the Democratic Republic of the Congo, the Dominican Republic, Ethiopia and Spain in 2009 and 2010.\",\n \"[8] ILO/UNESCO Recommendation on the Status of Teachers, para. 10 (e).\",\n \"[9] Committee on Economic, Social and Cultural Rights, general comment No. 13, para. 5, Nos. 44 and 45.\",\n \"[10] Committee on Economic, Social and Cultural Rights, general comment No. 3, para.\",\n \"[11] Human Rights Council resolution S-10/1 of 23 February 2009.\",\n \"[12] Committee on Economic, Social and Cultural Rights, general comment No. 13, para.\",\n \"[13] Article 2.1.\",\n \"[14] Article 4.\",\n \"[15] Article 4.2.\",\n \"[16] Committee on Economic, Social and Cultural Rights, general comment No. 3, para. 11.\",\n \"[17] Committee on Economic, Social and Cultural Rights, General Comment No. 11 (1999), para. 9, and General Comment No. 3 (1990), para.\",\n \"[18] Paragraphs 74.2 (a) and 1 (c) and 72.1 (c) of the Programme of Action for the Least Developed Countries for the Decade 2011-2020 (A/CONF.219/3/REV.1), adopted by the United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011.\",\n \"[19] Part I of the Paris Declaration on Aid Effectiveness: Expressing determination, paragraph 25, which reflects the commitment to strengthen national development strategies and related operational frameworks (e.g., planning, budgeting, performance assessment frameworks) in partner countries, as well as “qualitative measures and performance criteria”.\",\n \"[20] The basic concept of debt swaps in education is to cancel external debt in exchange for a commitment by creditor Governments to mobilize domestic resources for education.\",\n \"[21] Leading Group on Innovative Education Financing, “2+3 = 8; Innovative Education Financing: Preparing the Committee's Report to the Task Force on Innovative Education Financing”, 2010.\",\n \"[22] Discussion at the second session of the International Education Task Force of the Leading Group on Innovative Financing, Paris, 17 June 2010.\",\n \"[23] Dakar Framework for Action, adopted at the World Education Forum, 2000, para. 8 (i).\",\n \"[24] World Bank Education Strategy Group, 2020, Learning for All: investing in human knowledge and skills for development. Executive Summary, p. 1.\",\n \"[25] Commonwealth Community Heads of Government Communiqué, Trinidad and Tobago, 27-29 November 2009. Paragraph 89.\",\n \"[26] Committee on Economic, Social and Cultural Rights, general comment No. 3, para. 3: “The means by which steps should be taken to fulfil States' obligations, see article 2 (1), “all appropriate means, including, in particular, the adoption of legislative measures. * I don't know.\",\n \"[27] In India, for example, within the framework of the Right of Children to Free and Compulsory Education Act 2009, the federal Government will cover 65 per cent of public funding for education and 35 per cent for each state.\",\n \"In this context, it is worth mentioning that the discussions on innovative financing for education included a number of proposals for new mechanisms aimed at closing investment gaps in education and ensuring long-term sustainable financing.\",\n \"[29] Permanent Mission of Indonesia to UNESCO. Jakarta Declaration adopted at the International Conference on the Legal Framework for the Right to Basic Education as a Fundamental Human Right and its Financing, December 2005.\",\n \"[30] For example, the Indonesian Constitutional Court adopted a resolution in 2008 reminding the legislature of its constitutional obligation to provide at least 20 per cent of the national budget for education for fiscal year 2009. The Government of Indonesia has accordingly increased its education budget.\",\n \"Since its fifth meeting in 2005, the High-level Panel on Education for All has recommended such measures to Governments. At its tenth meeting, held in Jomtien-Patya in March 2011, the High-level Panel called upon Governments “to allocate at least 6 per cent of gross national product and/or 20 per cent of public expenditure to education to ensure cost-effectiveness in the use of resources”.\",\n \"[32] Committee on the Rights of the Child, day of general discussion on “Resources for the protection of children's rights — State responsibility”, 21 September 2007.\",\n \"[33] A/64/665, para. 71 (b).\",\n \"[34] The article of the International Covenant on Economic, Social and Cultural Rights on the full realization of the right to education provides that “an appropriate system of fellowships shall be established” (art. Similarly, the UNESCO Convention against Discrimination in Education provides that “students shall be granted scholarships or other forms of assistance” on the basis of “achievement or need” (art.\",\n \"[35] Under Ecuador ' s 2011 Intercultural Education Act, teachers ' salaries have doubled.\",\n \"[36] Fourth meeting of the International Task Force on Innovative Financing for Education, Paris, UNESCO headquarters, 4 February 2011.\",\n \"[37] Education above all”, Inter-Agency Network for Emergency Education, Right to Education Project/International Aid Action, Save the Children International Alliance and UNICEF co-sponsored this document.\",\n \"[38] UNESCO, Education for All Global Monitoring Report 2011, p. 15.\",\n \"[39] The International Strategy for Disaster Reduction, the Inter-Agency Network for Emergency Education and the World Bank: Guidance Note for Improving School Safety (New York: Inter-Agency Network for Emergency Education; Washington: World Bank Global Facility for Disaster Reduction and Recovery, 2009).\",\n \"[40] Inter-Agency Network on Emergency Education: Reference Guide to the Inter-Agency Network on Emergency Education on External Financing for Education (New York, 2010).\",\n \"[41] As of 2010, Canada, Denmark, Japan, Norway and Sweden have included education in their humanitarian assistance policies. In 2011, Australian donor agencies (AusAID) and the United States of America (USAID) included education in emergencies and in conflict-affected countries in their education strategies. See Save the Children Fund, Reaching it: Financing Education for Countries Affected by Conflict and Emergencies, 2011.\",\n \"[42] UNESCO, Education for All Global Monitoring Report 2011, p. 204.\",\n \"[43] Ibid., p. 19.\",\n \"[44] Organization for Economic Cooperation and Development (OECD) Development Cooperation Division fact sheet: Ensuring that fragile States are not abandoned, Paris, 2010.\",\n \"[45] UNESCO, Education for All Global Monitoring Report 2011, p. 227.\",\n \"[46] Education for All Fast Track Initiative, Board Meeting, 2011.\",\n \"[47] See Articles 55 and 56 of the Charter of the United Nations, articles 2.1 and 11 of the International Covenant on Economic, Social and Cultural Rights, article 4 of the Convention on the Rights of the Child and article 32 of the Convention on the Rights of Persons with Disabilities.\",\n \"[48] The Geneva Convention relative to the Protection of Civilian Persons in Time of War, of 12 August 1949, protects the right to education during conflicts. According to international humanitarian law, schools and educational institutions are civilian objects and they cannot be deliberately attacked unless they are used by the enemy for military purposes. See article 8 of the Rome Statute of the International Criminal Court.\",\n \"[49] A/65/820-S/2011/250, para. 211.\",\n \"[50] N. Boothby; A. Ager; R. Quinn; “Feasilability Studiy for a Global Monitoring System for Operations on Education: Definitions and Typology”, CPC Learning Network, Doha; Education Abo All, New York, 2011.\",\n \"[51] The International Institute of Education is an independent non-profit organization that has been involved in the rescue of persecuted scholars since its establishment in 1919. In 2002, the Society for International Education launched the Academic Relief Fund as a formal response to this ongoing international dilemma. The Academic Relief Fund works closely with the Academics at Risk Network, the Council for Assistance to Academic Refugees and other similar organizations.\",\n \"[52] A/65/820-S/2011/250, para. 211.\",\n \"[53] Ibid.\",\n \"[54] A/64/254, para. 25.\",\n \"[55] Children's Charter-an action plan for disaster risk review by children, available from www.childreninachingclimate.org.\",\n \"[56] Global Disaster Reduction and Recovery Fund, Guidelines for Safe School Construction, 2009.\",\n \"[57] Global Platform for Disaster Risk Reduction, “Harmonizing regional and global agendas for disaster risk reduction; summary of key regional political commitments and disaster risk reduction priorities”, 2011, p. 20.\",\n \"[58] Ibid., p. 25.\",\n \"[59] UNESCO, Overcoming Inequality: Why Governance is Important, EFA Global Monitoring Report, Summary, 2009, pp. 4, 7 and 39.\",\n \"[60] UNESCO, Education for All Global Monitoring Report 2011, p. 190.\",\n \"[61] Dryden-Peterson, S., “Conflict, education and education”, in Conflict & Education: An Interdisciplinary Journal, Toronto, 2011.\",\n \"[62] States Parties shall accord to refugees the same treatment in respect of primary education to their nationals (art. 22, para. 1). With regard to education other than primary education, States Parties shall accord refugees no less favourable treatment than that accorded to foreigners in general (art. 22, para. 2).\",\n \"[63] Convention on the Rights of the Child, articles 2 and 28.\",\n \"[64] UNESCO, Education for All Global Monitoring Report 2011, Summary, p. 31.\",\n \"[65] Ibid., p. 216.\",\n \"[66] Ibid., p. 206.\",\n \"[67] Jennifer Schlecht and Sara Casey, “Callenges of collecting base data in emergency settings”, Recruitive Health Access, Information and Services in Enterprises, 2008.\",\n \"[68] UNESCO, Education for All Global Monitoring Report 2011, Summary, p. 31, p. 217.\"\n]"}}},{"rowIdx":85,"cells":{"clean_zh":{"kind":"list like","value":["2011年8月4日厄立特里亚常驻联合国代表给安全理事会主席的信","谨奉我国政府之命，随函附上厄立特里亚对2011年7月18日索马里和厄立特里亚问题监察组报告(S/2011/433)的初步意见(见附件)。厄立特里亚目前正在准备对索厄问题监察组于2011年7月28日所公布报告作出全面答复，请将本函及其附件作为安全理事会的文件印发为荷。","大使兼常驻代表","阿拉亚·德斯塔(签名)","2011年8月4日厄立特里亚常驻联合国代表给安全理事会主席的信的附件","厄立特里亚国总统政治顾问Yemane Ghebreab先生就索马里和厄立特里亚问题监察组报告提出的初步意见","2011年7月22日，纽约","借此机会，我要向你作为安全理事会第751(1992)号和第1907(2009)号决议所设委员会主席安排非正式磋商表示本代表团的感激之情。","必须承认，尽管厄立特里亚对于整个事项持有强烈保留意见，但还是对索马里和厄立特里亚问题监察组履行其职责予以充分合作。","监察组曾两次前往厄立特里亚，并在欧洲举行了第三次非正式讨论。厄立特里亚还答复了监察组提出的书面询问。厄立特里亚认为，监察组报告的实质和基调没有反映出这些讨论，并感到十分失望。与较之下，埃塞俄比亚对监察组则赞誉有加，该国正在拼命要求延长监察组的任期，并加强对厄立特里亚的制裁措施。","厄立特里亚还感到不安的是监察组的报告是由一位高级别国际公务员提交给在亚的斯亚贝巴举行的政府间发展管理局首脑会议的。这里不恰当地采用有选择地提交方式，以左右政府间发展管理局领导人的意见，进一步制裁厄立特里亚的措施是随后才提出的。","由于厄立特里亚在提出书面正式要求之后仍然未能得到监察组的报告副本，厄立特里亚代表团此时此刻只能作出一个初步的切合实际的答复。厄立特里亚代表团得到了关于报告介绍，以及报告部分内容，但由于时间有限并且无法与厄立特里亚有关当局取得联系以就监察组报告中各项指控提出意见和论证，代表团目前无法作出充分答复。","因此，厄立特里亚再次请制裁委员会提供报告副本，并给予充分时间，以便厄立特里亚在辅助文件的基础上作出明确答复。这样才是公正合理的，因为不能根据厄立特里亚没有得到的一个文件并且没有机会为自己作出澄清的情况下就下定论。","厄立特里亚关于索厄问题监察组报告的总体看法","这一报告可以分为三个部分：背景资料和分析；包含具体指控的报告主体部分；以及建议。","厄立特里亚关于监察组报告的总体看法可以分为以下几点：","• 报告的背景部分充斥着关于厄立特里亚政府各项政策、做法和机制的笼统陈述，以及与实际情况和报告主体内容所不相符的肆意指控。如果粗略浏览报告，很容易得出错误的印象和结论，而认真阅读之后，就会发现报告提出了许多指控，却没有切实依据。","• 报告主体内容之中关于厄立特里亚的指控大致分为两类：详细描述指控给人以错误的印象，不过随后索厄问题监察组承认这些指控并没有任何确凿证据；以及关于2009年12月23日以前则发生事件和行动的指控，这是确定厄立特里亚是否遵守了第1907(2009)号决议的截止日期。","• 报告中没有确凿证据表明，厄立特里亚对索马里和吉布提的任何侵犯行动，对于厄立特里亚的武器禁运也是如此。这几点意义十分重大，因为关于厄立特里亚对索马里(尤其是支持青年党)以及对吉布提的错误行径是对厄立特里亚进行制裁的依据。公正的做法是承认这一事实，并作出决定取消对厄立特里亚的制裁。","• 对于厄立特里亚的最大指控，即要求进一步制裁的依据，就是2011年1月非洲联邦首脑会议期间在亚的斯亚贝巴制造爆炸事件的耸人听闻的指控。这里应当指出的是，对于厄立特里亚的指控规则已经从索马里和吉布提转到埃塞俄比亚，而埃塞俄比亚恰恰是罪魁祸首、指控者和所有“证据”的来源。此外厄立特里亚刚刚重新建立了在亚的斯亚贝巴的使团，并且在长期缺席之后第一次参加首脑会议，厄立特里亚实在没有道理要破坏非洲联邦的这次首脑会议。而且厄立特里亚要考虑进行这样一次恶毒袭击就是无理和糊涂了。更为重要的是，厄立特里亚可以明确和令人信服地表明，其没有参与策划和指挥这样一个阴谋(我们在下面提出对这一指控的初步答复)。","厄立特里亚关于索厄问题监察组的背景分析的意见","厄立特里亚的国内形势","该报告缺乏一种平衡观念，竟提出了与事实不符的关于厄立特里亚极为消极的描述。正如厄立特里亚于2011年7月19日在非正式互动对话期间向安全理事会所表述的，厄立特里亚致力于发展，并将发展作为该国的头等大事。","厄立特里亚与埃塞俄比亚的关系","虽然监察组认识到这一问题也对厄立特里亚具有重大意义并且发挥着至关重要的作用，却未能给予应有重视。","监察组承认埃塞俄比亚正在积极努力造成厄立特里亚的不稳定，并提到“厄立特里亚对反政府武装集团的支持”，但却再一次未能给予充分重视。","事实上，埃塞俄比亚一再针对厄立特里亚进行武装入侵、破坏和其他恐怖主义行动，尤其针对的是开采业的目标。在过去两年间就出现过30多起行动，其中包括针对一家中国开采公司总部的一次行动。埃塞俄比亚还在将近11年期间收留了各式各样16个“厄立特里亚”颠覆性恐怖主义集团，其中包括厄立特里亚伊斯兰圣战运动，目的就是要实现其肆意扰乱厄立特里亚的意图。","监察组的报告忽略了上述事实以及埃塞俄比亚曾多次公开作出的威胁。事实上，埃塞俄比亚对前去访问的安全理事会成员表示，埃塞俄比亚的官方政策就是要推翻厄立特里亚政府。","两国关系业的重大结果是：","• 两场战争：第一场为期30年的战争造成65 000名死难者；第二场战争的死亡人数为20 000人。这种人员伤亡对于一个人口不多的小国可谓十分惨重；","• 埃塞俄比亚继续占领着几大块十分敏感的厄立特里亚主权领土；","• 埃塞俄比亚还明确表示要采取军事措施推翻厄立特里亚政府。","今天，埃塞俄比亚在力图通过经济制裁和外交孤立手段，干扰和破坏厄立特里亚为与外界取得联系并推动区域持久稳定与和谐所作极大努力。","厄立特里亚的区域作用","监察组再次选择忽略厄立特里亚的建设性区域作用，包括其在苏丹和平问题上政策作出得到广泛承认的贡献，无意间显示出监察组的偏见。","厄立特里亚对索厄问题监察组所作指控的初步答复","1. 支持参与暴力、颠覆和恐怖主义的武装集团","监察组刚开始涉及到这一问题便提出了监察组认为在指挥和进行厄立特里亚对外情报行动发挥着关键作用的军官。监察组点了七个人的名字，其中大多数人是武装部队的军官，与对外情报部门没有关系。","例如，监察组提到Gemachew Ayana上校，他甚至不是厄立特里亚人。Gemachew Ayana上校是埃塞俄比亚公民，并且曾经是埃塞俄比亚武装部队的成员。他担任过埃塞俄比亚军队一个机械化师的指挥官，而到2003年则被指控与其他十几名奥罗莫解放阵线的军官一同秘密参与了反政府的奥罗莫解放阵线，并被解职。大约三年之后，他参加了奥罗莫解放阵线。鉴于这些都是十分容易查证的事实，所以也令人诧异的是监察组为什么依然要在报告中声称此人是对外情报领域的厄立特里亚军官。我们将可以看到，Gemachew被指控在所谓亚的斯亚贝巴的爆炸阴谋中发挥了关键作用。Gemachew上校的一份讲话附后(见附文)。","2. 培训设施","厄立特里亚的军事设施及其地点都不是秘密。与监察组报告所述恰恰相反，厄立特里亚国家安全局没有进行任何军事训练。十分重要的是，监察组报告中所载大部分信息都是第1907(2009)号决议之前的事，因此毫无关联。","3. 据称违反第1907(2009)号决议对武装集团的援助","吉布提","虽然报告提出两项所谓“厄立特里亚规模有限的支持”的指控，但其消息来源却至少令人质疑。很难想象一位被吉布提政府扣押的“团结民主阵线前指挥官”会成为可信的消息来源。虽然此人声称厄立特里亚“为受伤士兵提供食品、医药和治疗”，他否认收到过任何武器或军事装备。他说，团结民主阵线从也门购买制服、武器和弹药。这一说法不同于吉布提当局所称此人承认厄立特里亚曾提供武器。此外，监察组的这一指控涉及到2009年12月以前的时期，而关于厄立特里亚参与的最新说法则是2009年10月。","报告中只提出另外一项指控，声称2011年2月，吉布提军方在一个山洞中缴获隐藏的50公斤炸药。监察组指出，这些炸药是苏联时期的产品，而且“已无法追溯其产地和保管链”。既然这里没有关于厄立特里亚参与的指控，为何将其列在厄立特里亚违规行为的章节呢？","显然没有任何证据显示厄立特里亚针对吉布提违反第1907(2009)号决议。","埃塞俄比亚","如上所述，监察组(和埃塞俄比亚)对于厄立特里亚从事恐怖主义阴谋和破坏区域稳定行动的核心是2011年1月在非洲联盟首脑会议期间在亚的斯亚贝巴制造所谓爆炸事件的阴谋。监察组声称，“虽然这表面上是奥罗莫解放阵线的行动”,但确实有厄立特里亚国家安全局所构想、策划和指挥的。监察组得出的结论是，“这一行动实际上是厄利特里亚情报部门的行动，却被错误地冠之以奥罗莫解放阵线的举措。”","关于这次行动的描述生动离奇，洋洋洒洒数页纸，扑朔迷离，自相矛盾，漏洞百出。如果有机会，厄立特里亚将提出一份详细说明，切实证明监察组对厄立特里亚的指控完全没有根据。至于奥罗莫解放阵线所扮演的角色，该组织自己可以澄清。","在这份初步答复中，厄立特里亚提出以下事实和证据，以表明监察组的指控并不是以确凿证据为基础的。","指控背后的消息来源和“依据”都令人质疑，并不可信。索厄问题监察组承认，其仅有的消息来源是埃塞俄比亚保安部门和埃塞俄比亚保安人员扣留的所谓犯罪人。显然，对厄利特里亚持敌对态度并积极推动进一步制裁的埃塞俄比亚政府拥有摆布、掩饰、歪曲甚至捏造证据的意愿和手段。同样明显的是，对于一个众所周知借助酷刑对待犯人的政府而言，任何一个落在其手中扣押犯的证词都不会与埃塞俄比亚政府的官方说法相左，因为这将给在押人带来严重的后果。","另一个事实使人对在押人的证词提出严肃质疑，如上所述，他们声称发挥核心作用之人Gemachew Ayana上校是厄立特里亚情报官员，而不是奥罗莫解放阵线官员。如果提供情报者在所谓阴谋中扮演了他们所描述的角色，他们就不会不知道，Gemachew实际上是一名奥罗莫解放阵线的官员。如果他们知情却有意误导(在证据不足时权且相信监察组)，让监察组以为这是一名厄立特里亚情报官员，那这些人一定是受到了扣押者指使，其明确意图就是要抹黑厄立特里亚。","监察组声称厄立特里亚官员在爆炸案中扮演重要角色，这显然是错误的并且与其自身说法相矛盾。为证实其关于亚的斯亚贝巴爆炸计划是厄立特里亚的一次行动的说法，索厄问题监察组表示，只有一名奥罗莫解放阵线被拘留者“小组领导人Omar Idris Mahamed似乎与奥罗莫解放阵线领导层保持经常联系……而其他小组成员则招募之时起与奥罗莫解放阵线组织结构没有联系并且由厄立特里亚官员直接培训和指挥”。","监察组还补充指出，按照Omar(小组领导人)的说法“只有奥罗莫解放阵线主席Dawud Ibsa了解行动的存在及其目标，但似乎没有指挥行动，也不具备控制能力。”","然而，按照报告的说法，我们还是没有办法相信这些指控，即奥罗莫解放阵线的官员发挥了重要作用。","报告中是这样说的。早在2008年，奥罗莫解放阵线在肯尼亚的一位同伙人介绍第一小组领导人Fekadu与名叫Gemachew Ayana的厄立特里亚上校取得联系。(如前所述，Gemachew实际上是奥罗莫解放阵线官员，而不是厄立特里亚人。)Gemachew Ayana也接触过整个小组领导人Omar Idris Mahamed，后者说“奥罗莫解放阵线主席于2009年8-9月与他取得联系，并说将交给他一项秘密任务。2010年3月，Gemachew 指示Fekadu和他的小组返回亚的斯亚贝巴”。Fekada“一直与Gemachew Ayana保持联系，电话记录显示至少有27次通话”。Gemachew 还作出安排向亚的斯亚贝巴的小组成员汇款。按照Omar的说法，是Gemachew向小组成员提供了行动中所使用的设备和炸药。“同样是Gemachew提供了最后指令和炸药”。一月初，Omar“要求Gemachew 提供更多经费……”。在一月最后一个星期，“随着时间的迫近……Omar认为有必要与Gemachew进行磋商……，电话记录显示，他们通话39次……大多是由Gemachew拨打的。”","报告在论述中涉及到厄立特里亚人，但都是有局限的次要角色，而且还是根据在押者令人怀疑的证词。","即使我们就算这种说法属实——厄立特里亚认为这种说法不属实——十分显而易见的是，所谓企图由始至终都是奥罗莫解放阵线做的事。","报告中存在其他重大问题。","报告明确指出，这一行动中针对的不是非洲联盟领导人，然后却又声称袭击目标之一是喜来登饭店，这正是大多数领导人下榻之处。","报告指出，经罗马尼亚政府证实，罗马尼亚向厄立特里亚出售一支狙击步枪，这支枪据说最后落入小组一名成员之手。我们将力图将此事真相提供给制裁委员会。但即使我们假定这支枪来自厄立特里亚人，这依然而不能说明步枪如何以及何时间落入埃塞俄比亚政府之手。另一方面，报告没有提供一点点证据说明，在所谓爆炸案中要使用的最重要装备炸药是由厄立特里亚提供的。","监察组提出的各种说法大多以奥罗莫解放阵线在阿斯马拉的联络名单为依据，但监察组随后又承认这一关键证据实际上是2009年的陈旧证据。在认识到这一证据缺乏说服力之后，小组、监察组只是试图为自己辩解，声称未透露姓名的前奥罗莫解放阵线成员“叛逃者”向监察组表示这一名单目前有效，整个小组忽略了一点，现在与埃塞俄比亚政府合作的叛逃者的证词不能视为可信证词。","这一情况推翻了关于所谓的斯亚贝巴行动是厄立特里亚制定、策划和指挥的说法。而且还表明，目前没有任何确凿证据说明厄立特里亚的参与，如果我们考虑到所谓主要人士的说法，甚至不能确定厄立特里亚发挥了有限的作用，那些据称拥有指挥权和控制权的人都不是厄立特里亚人。如果时间更为充裕，厄立特里亚愿意就这一耸人听闻的指控提供更确切的进一步信息，目前的指控使人想起早先监察组曾指责厄立特里亚向索马里派遣2 000名士兵，甚至还包括他们在何时以及如何抵达，还有多少人部署在何处。这是早先一份报告中的一段重头戏，当时被用来作为游说对厄立特里亚进行制裁的理由，现在却显得毫无根据。","索马里","由于所谓厄立特里亚对青年党的军事支持一直是安理会主要关注的问题，而且是根据第1907(2009)号决议进行制裁的主要原因，监察组的报告竟然证实了向青年党或索马里其他武装集团提供军事援助方面厄立特里亚并没有违反第1907(2009)号决议。报告提到了若干未知名的消息来源称厄立特里亚向Kismayo运送武器(其实埃塞俄比亚则公开作出这些指控)，但又明确表示，“无法从其他渠道证实这些报告。”","关于财务支持，监察组表示，已经掌握了厄立特里亚向与青年党有联系的个人付款的书面证据，还承认这些文件只涉及到1998年。监察组坚持说这种资助仍在继续，有一个消息来源称每月达到80 000美元，但却没有提出丝毫的证据。","苏丹","监察组报告承认没有可能得出结论说,厄立特里亚违反第1907(2009)号决议向破坏南苏丹稳定的集团直接提供军事援助。","4. 违反武器禁运","监察组谈到关于厄立特里亚购买武器的报导和间接证据，但就没有表示监察组掌握有比较确凿的证据。监察组还说，就厄立特里亚而言，目前没有能够确定是否有任何政府直接参与了蓄谋违反武器禁运的行动。","监察组报告谈到其收到的指控是厄立特里亚的一名军官参与了厄立特里亚向苏丹走私武器的行动。监察组们没有就这方面指控提出任何证据，而且无论怎样，这些指控仅涉及到了第1907(2009)号决议之前的时间。","5. 为违反第1907(2009)号决议的行动筹措资金","报告占用大量篇幅提出指控，可能有协助违反武器禁运的秘密筹资活动。报告还详细提出可能向厄立特里亚政府提供资金的来源，并特别注重谈到厄立特里亚侨民和采矿部门的贡献。令人遗憾的是，报告重复着指控(不可靠消息人士，包括带有个人目的的个别人)却没有提供任何证据来表明厄立特里亚社区成员和商界人士参与了非法活动。这些指控就是要诋毁和玷污社区人士的声誉，这些人也是驻在国的国民，这对其家人和生意都是一种诋毁。","这一报告也踏入法律雷区，认为厄立特里亚侨民的捐款是非法的，并且违反了维也纳公约。监察组并没有提出明确结论说违反了武器禁运，可能消息来源对于自助活动的讨论只能是一种假设。看来整个做法都是要粉饰其关于经济制裁厄立特里亚的要求。","厄立特里亚对监察组建议的答复","监察组关于对厄立特里亚进行进一步制裁的建议违反了其自身报告主体中的内容和证据。我们已经看到，厄立特里亚在索马里、吉布提和武器禁运问题上遵守了第1907(2009)号决议。我们还表明，关于厄立特里亚策划和企图制造亚的斯亚贝巴的爆炸案的指控并没有任何确凿证据。在这种情况下，公正的做法是要求立即取消对厄立特里亚的制裁，更不要说进一步制裁。公正的做法还要对埃塞俄比亚政府采取措施，因为监察组已明确指出，埃塞俄比亚“违反了对索马里的全面彻底武器禁运”。意义重大的是监察组未能就埃塞俄比亚违反安全理事会相关决议，包括第1907(2009)号决议，提出任何建议。","结论","厄立特里亚在初步意见中最后提出，要求在得到和看过监察组报告后再有一次机会提出全面和明确答复。显然不能以任何紧急情况为借口，在仅仅18个月内第二次针对厄立特里亚匆忙作出不公正和危险的决定。","附文","Statement by Brigadier General Hailu Gonfa and Colonel Gemechu Avana","14 September 2006","Until a few days ago, we were officers in the Ethiopian army sworn to protect the country’s laws and diverse people from any threats. To our deepest dismay, we have come to the conclusion that the greatest threat to Ethiopia and the people emanates not from elsewhere but from the regime on power. Over the last years, the armed forces have been systematically reduced to protecting the narrow interest of a small clique determined to cling to power at all costs. Under the circumstances the choices confronting us are: Either to remain with the same oppressive machinery or wait and see hoping against hope that things would improve on their own or through a miracle. We have waited too long; we cannot wait any longer.","Despite the calls by opposition groups to peacefully deal with the dire situation, EPRDF is showing no inclination whatsoever to address the country’s mounting social, economic and political problems. Instead, it is intensifying repression. Even though this repressive machinery did not spare any people in the country, the magnitude and scale of repression, harassment and intimidation committed against Oromo people has no comparison. Moreover, it is considering new military adventures in the region that would not serve the legitimate interest of all affected — and could plunge the region into chaos.","Throughout the years we served this regime, we serve hoping things would improve over time and expected the regime would also resolve political conflicts peacefully and truly democratize the country where political power emanates from the will of the people not from force. Now we have found this to be an empty promise. We are particularly elated the Alliance for Freedom and Democracy (AFD) has offered a hope not only to eliminate the spectre of more mayhem but also chart a better future through a process of dialogue involving all stakeholders in the search for comprehensive solutions.","We regret that the regime has flagrantly, and without serious consideration, rejected this offer of goodwill and continued on its path of destruction. We cannot therefore continue to defend a minority and overwhelmingly rejected regime, sadly, that is committing untold atrocities against or own people.","It is time for us to take side in the fight between tyranny and liberty. Accordingly, we have dissociated ourselves from TPLF/EPRDF and joined the liberation struggle of our people gripped by the claws of tyranny. We have therefore joined the Oromo Liberation Front that is a member of the Alliance for Freedom and Democracy (AFD) to realize the age-old dream of all peoples for freedom and democracy.","To the Ethiopian Armed Forces","The incumbent regime has been fooling us all by falsely extolling its commitment to freedom, democracy and speedy economic development. This commitment has been put to test over the last 15 years. The tyrannical behaviour of the regime demonstrates that this pledge runs skin deep and does not show any sign of change, which makes all our efforts and sacrifices in vain. We believe as long as the regime continues to defy the will of the people, our problems would multiply. This is why it has to be compelled to desist from its destructive path or be removed. We therefore call on you to follow our example and join the just and popular struggle.","To the international community","The minority Ethiopian regime does not have the capacity or the legitimacy to continue to rule the country. The regime, whose dismal 15 year tenure is more than enough to gauge its goodwill, needs to be pressed rather than appeased to submit to the call for dialogue. We strongly urge you to reconsider your support for it as it does not any more serve our common strategic interests."],"string":"[\n \"2011年8月4日厄立特里亚常驻联合国代表给安全理事会主席的信\",\n \"谨奉我国政府之命，随函附上厄立特里亚对2011年7月18日索马里和厄立特里亚问题监察组报告(S/2011/433)的初步意见(见附件)。厄立特里亚目前正在准备对索厄问题监察组于2011年7月28日所公布报告作出全面答复，请将本函及其附件作为安全理事会的文件印发为荷。\",\n \"大使兼常驻代表\",\n \"阿拉亚·德斯塔(签名)\",\n \"2011年8月4日厄立特里亚常驻联合国代表给安全理事会主席的信的附件\",\n \"厄立特里亚国总统政治顾问Yemane Ghebreab先生就索马里和厄立特里亚问题监察组报告提出的初步意见\",\n \"2011年7月22日，纽约\",\n \"借此机会，我要向你作为安全理事会第751(1992)号和第1907(2009)号决议所设委员会主席安排非正式磋商表示本代表团的感激之情。\",\n \"必须承认，尽管厄立特里亚对于整个事项持有强烈保留意见，但还是对索马里和厄立特里亚问题监察组履行其职责予以充分合作。\",\n \"监察组曾两次前往厄立特里亚，并在欧洲举行了第三次非正式讨论。厄立特里亚还答复了监察组提出的书面询问。厄立特里亚认为，监察组报告的实质和基调没有反映出这些讨论，并感到十分失望。与较之下，埃塞俄比亚对监察组则赞誉有加，该国正在拼命要求延长监察组的任期，并加强对厄立特里亚的制裁措施。\",\n \"厄立特里亚还感到不安的是监察组的报告是由一位高级别国际公务员提交给在亚的斯亚贝巴举行的政府间发展管理局首脑会议的。这里不恰当地采用有选择地提交方式，以左右政府间发展管理局领导人的意见，进一步制裁厄立特里亚的措施是随后才提出的。\",\n \"由于厄立特里亚在提出书面正式要求之后仍然未能得到监察组的报告副本，厄立特里亚代表团此时此刻只能作出一个初步的切合实际的答复。厄立特里亚代表团得到了关于报告介绍，以及报告部分内容，但由于时间有限并且无法与厄立特里亚有关当局取得联系以就监察组报告中各项指控提出意见和论证，代表团目前无法作出充分答复。\",\n \"因此，厄立特里亚再次请制裁委员会提供报告副本，并给予充分时间，以便厄立特里亚在辅助文件的基础上作出明确答复。这样才是公正合理的，因为不能根据厄立特里亚没有得到的一个文件并且没有机会为自己作出澄清的情况下就下定论。\",\n \"厄立特里亚关于索厄问题监察组报告的总体看法\",\n \"这一报告可以分为三个部分：背景资料和分析；包含具体指控的报告主体部分；以及建议。\",\n \"厄立特里亚关于监察组报告的总体看法可以分为以下几点：\",\n \"• 报告的背景部分充斥着关于厄立特里亚政府各项政策、做法和机制的笼统陈述，以及与实际情况和报告主体内容所不相符的肆意指控。如果粗略浏览报告，很容易得出错误的印象和结论，而认真阅读之后，就会发现报告提出了许多指控，却没有切实依据。\",\n \"• 报告主体内容之中关于厄立特里亚的指控大致分为两类：详细描述指控给人以错误的印象，不过随后索厄问题监察组承认这些指控并没有任何确凿证据；以及关于2009年12月23日以前则发生事件和行动的指控，这是确定厄立特里亚是否遵守了第1907(2009)号决议的截止日期。\",\n \"• 报告中没有确凿证据表明，厄立特里亚对索马里和吉布提的任何侵犯行动，对于厄立特里亚的武器禁运也是如此。这几点意义十分重大，因为关于厄立特里亚对索马里(尤其是支持青年党)以及对吉布提的错误行径是对厄立特里亚进行制裁的依据。公正的做法是承认这一事实，并作出决定取消对厄立特里亚的制裁。\",\n \"• 对于厄立特里亚的最大指控，即要求进一步制裁的依据，就是2011年1月非洲联邦首脑会议期间在亚的斯亚贝巴制造爆炸事件的耸人听闻的指控。这里应当指出的是，对于厄立特里亚的指控规则已经从索马里和吉布提转到埃塞俄比亚，而埃塞俄比亚恰恰是罪魁祸首、指控者和所有“证据”的来源。此外厄立特里亚刚刚重新建立了在亚的斯亚贝巴的使团，并且在长期缺席之后第一次参加首脑会议，厄立特里亚实在没有道理要破坏非洲联邦的这次首脑会议。而且厄立特里亚要考虑进行这样一次恶毒袭击就是无理和糊涂了。更为重要的是，厄立特里亚可以明确和令人信服地表明，其没有参与策划和指挥这样一个阴谋(我们在下面提出对这一指控的初步答复)。\",\n \"厄立特里亚关于索厄问题监察组的背景分析的意见\",\n \"厄立特里亚的国内形势\",\n \"该报告缺乏一种平衡观念，竟提出了与事实不符的关于厄立特里亚极为消极的描述。正如厄立特里亚于2011年7月19日在非正式互动对话期间向安全理事会所表述的，厄立特里亚致力于发展，并将发展作为该国的头等大事。\",\n \"厄立特里亚与埃塞俄比亚的关系\",\n \"虽然监察组认识到这一问题也对厄立特里亚具有重大意义并且发挥着至关重要的作用，却未能给予应有重视。\",\n \"监察组承认埃塞俄比亚正在积极努力造成厄立特里亚的不稳定，并提到“厄立特里亚对反政府武装集团的支持”，但却再一次未能给予充分重视。\",\n \"事实上，埃塞俄比亚一再针对厄立特里亚进行武装入侵、破坏和其他恐怖主义行动，尤其针对的是开采业的目标。在过去两年间就出现过30多起行动，其中包括针对一家中国开采公司总部的一次行动。埃塞俄比亚还在将近11年期间收留了各式各样16个“厄立特里亚”颠覆性恐怖主义集团，其中包括厄立特里亚伊斯兰圣战运动，目的就是要实现其肆意扰乱厄立特里亚的意图。\",\n \"监察组的报告忽略了上述事实以及埃塞俄比亚曾多次公开作出的威胁。事实上，埃塞俄比亚对前去访问的安全理事会成员表示，埃塞俄比亚的官方政策就是要推翻厄立特里亚政府。\",\n \"两国关系业的重大结果是：\",\n \"• 两场战争：第一场为期30年的战争造成65 000名死难者；第二场战争的死亡人数为20 000人。这种人员伤亡对于一个人口不多的小国可谓十分惨重；\",\n \"• 埃塞俄比亚继续占领着几大块十分敏感的厄立特里亚主权领土；\",\n \"• 埃塞俄比亚还明确表示要采取军事措施推翻厄立特里亚政府。\",\n \"今天，埃塞俄比亚在力图通过经济制裁和外交孤立手段，干扰和破坏厄立特里亚为与外界取得联系并推动区域持久稳定与和谐所作极大努力。\",\n \"厄立特里亚的区域作用\",\n \"监察组再次选择忽略厄立特里亚的建设性区域作用，包括其在苏丹和平问题上政策作出得到广泛承认的贡献，无意间显示出监察组的偏见。\",\n \"厄立特里亚对索厄问题监察组所作指控的初步答复\",\n \"1. 支持参与暴力、颠覆和恐怖主义的武装集团\",\n \"监察组刚开始涉及到这一问题便提出了监察组认为在指挥和进行厄立特里亚对外情报行动发挥着关键作用的军官。监察组点了七个人的名字，其中大多数人是武装部队的军官，与对外情报部门没有关系。\",\n \"例如，监察组提到Gemachew Ayana上校，他甚至不是厄立特里亚人。Gemachew Ayana上校是埃塞俄比亚公民，并且曾经是埃塞俄比亚武装部队的成员。他担任过埃塞俄比亚军队一个机械化师的指挥官，而到2003年则被指控与其他十几名奥罗莫解放阵线的军官一同秘密参与了反政府的奥罗莫解放阵线，并被解职。大约三年之后，他参加了奥罗莫解放阵线。鉴于这些都是十分容易查证的事实，所以也令人诧异的是监察组为什么依然要在报告中声称此人是对外情报领域的厄立特里亚军官。我们将可以看到，Gemachew被指控在所谓亚的斯亚贝巴的爆炸阴谋中发挥了关键作用。Gemachew上校的一份讲话附后(见附文)。\",\n \"2. 培训设施\",\n \"厄立特里亚的军事设施及其地点都不是秘密。与监察组报告所述恰恰相反，厄立特里亚国家安全局没有进行任何军事训练。十分重要的是，监察组报告中所载大部分信息都是第1907(2009)号决议之前的事，因此毫无关联。\",\n \"3. 据称违反第1907(2009)号决议对武装集团的援助\",\n \"吉布提\",\n \"虽然报告提出两项所谓“厄立特里亚规模有限的支持”的指控，但其消息来源却至少令人质疑。很难想象一位被吉布提政府扣押的“团结民主阵线前指挥官”会成为可信的消息来源。虽然此人声称厄立特里亚“为受伤士兵提供食品、医药和治疗”，他否认收到过任何武器或军事装备。他说，团结民主阵线从也门购买制服、武器和弹药。这一说法不同于吉布提当局所称此人承认厄立特里亚曾提供武器。此外，监察组的这一指控涉及到2009年12月以前的时期，而关于厄立特里亚参与的最新说法则是2009年10月。\",\n \"报告中只提出另外一项指控，声称2011年2月，吉布提军方在一个山洞中缴获隐藏的50公斤炸药。监察组指出，这些炸药是苏联时期的产品，而且“已无法追溯其产地和保管链”。既然这里没有关于厄立特里亚参与的指控，为何将其列在厄立特里亚违规行为的章节呢？\",\n \"显然没有任何证据显示厄立特里亚针对吉布提违反第1907(2009)号决议。\",\n \"埃塞俄比亚\",\n \"如上所述，监察组(和埃塞俄比亚)对于厄立特里亚从事恐怖主义阴谋和破坏区域稳定行动的核心是2011年1月在非洲联盟首脑会议期间在亚的斯亚贝巴制造所谓爆炸事件的阴谋。监察组声称，“虽然这表面上是奥罗莫解放阵线的行动”,但确实有厄立特里亚国家安全局所构想、策划和指挥的。监察组得出的结论是，“这一行动实际上是厄利特里亚情报部门的行动，却被错误地冠之以奥罗莫解放阵线的举措。”\",\n \"关于这次行动的描述生动离奇，洋洋洒洒数页纸，扑朔迷离，自相矛盾，漏洞百出。如果有机会，厄立特里亚将提出一份详细说明，切实证明监察组对厄立特里亚的指控完全没有根据。至于奥罗莫解放阵线所扮演的角色，该组织自己可以澄清。\",\n \"在这份初步答复中，厄立特里亚提出以下事实和证据，以表明监察组的指控并不是以确凿证据为基础的。\",\n \"指控背后的消息来源和“依据”都令人质疑，并不可信。索厄问题监察组承认，其仅有的消息来源是埃塞俄比亚保安部门和埃塞俄比亚保安人员扣留的所谓犯罪人。显然，对厄利特里亚持敌对态度并积极推动进一步制裁的埃塞俄比亚政府拥有摆布、掩饰、歪曲甚至捏造证据的意愿和手段。同样明显的是，对于一个众所周知借助酷刑对待犯人的政府而言，任何一个落在其手中扣押犯的证词都不会与埃塞俄比亚政府的官方说法相左，因为这将给在押人带来严重的后果。\",\n \"另一个事实使人对在押人的证词提出严肃质疑，如上所述，他们声称发挥核心作用之人Gemachew Ayana上校是厄立特里亚情报官员，而不是奥罗莫解放阵线官员。如果提供情报者在所谓阴谋中扮演了他们所描述的角色，他们就不会不知道，Gemachew实际上是一名奥罗莫解放阵线的官员。如果他们知情却有意误导(在证据不足时权且相信监察组)，让监察组以为这是一名厄立特里亚情报官员，那这些人一定是受到了扣押者指使，其明确意图就是要抹黑厄立特里亚。\",\n \"监察组声称厄立特里亚官员在爆炸案中扮演重要角色，这显然是错误的并且与其自身说法相矛盾。为证实其关于亚的斯亚贝巴爆炸计划是厄立特里亚的一次行动的说法，索厄问题监察组表示，只有一名奥罗莫解放阵线被拘留者“小组领导人Omar Idris Mahamed似乎与奥罗莫解放阵线领导层保持经常联系……而其他小组成员则招募之时起与奥罗莫解放阵线组织结构没有联系并且由厄立特里亚官员直接培训和指挥”。\",\n \"监察组还补充指出，按照Omar(小组领导人)的说法“只有奥罗莫解放阵线主席Dawud Ibsa了解行动的存在及其目标，但似乎没有指挥行动，也不具备控制能力。”\",\n \"然而，按照报告的说法，我们还是没有办法相信这些指控，即奥罗莫解放阵线的官员发挥了重要作用。\",\n \"报告中是这样说的。早在2008年，奥罗莫解放阵线在肯尼亚的一位同伙人介绍第一小组领导人Fekadu与名叫Gemachew Ayana的厄立特里亚上校取得联系。(如前所述，Gemachew实际上是奥罗莫解放阵线官员，而不是厄立特里亚人。)Gemachew Ayana也接触过整个小组领导人Omar Idris Mahamed，后者说“奥罗莫解放阵线主席于2009年8-9月与他取得联系，并说将交给他一项秘密任务。2010年3月，Gemachew 指示Fekadu和他的小组返回亚的斯亚贝巴”。Fekada“一直与Gemachew Ayana保持联系，电话记录显示至少有27次通话”。Gemachew 还作出安排向亚的斯亚贝巴的小组成员汇款。按照Omar的说法，是Gemachew向小组成员提供了行动中所使用的设备和炸药。“同样是Gemachew提供了最后指令和炸药”。一月初，Omar“要求Gemachew 提供更多经费……”。在一月最后一个星期，“随着时间的迫近……Omar认为有必要与Gemachew进行磋商……，电话记录显示，他们通话39次……大多是由Gemachew拨打的。”\",\n \"报告在论述中涉及到厄立特里亚人，但都是有局限的次要角色，而且还是根据在押者令人怀疑的证词。\",\n \"即使我们就算这种说法属实——厄立特里亚认为这种说法不属实——十分显而易见的是，所谓企图由始至终都是奥罗莫解放阵线做的事。\",\n \"报告中存在其他重大问题。\",\n \"报告明确指出，这一行动中针对的不是非洲联盟领导人，然后却又声称袭击目标之一是喜来登饭店，这正是大多数领导人下榻之处。\",\n \"报告指出，经罗马尼亚政府证实，罗马尼亚向厄立特里亚出售一支狙击步枪，这支枪据说最后落入小组一名成员之手。我们将力图将此事真相提供给制裁委员会。但即使我们假定这支枪来自厄立特里亚人，这依然而不能说明步枪如何以及何时间落入埃塞俄比亚政府之手。另一方面，报告没有提供一点点证据说明，在所谓爆炸案中要使用的最重要装备炸药是由厄立特里亚提供的。\",\n \"监察组提出的各种说法大多以奥罗莫解放阵线在阿斯马拉的联络名单为依据，但监察组随后又承认这一关键证据实际上是2009年的陈旧证据。在认识到这一证据缺乏说服力之后，小组、监察组只是试图为自己辩解，声称未透露姓名的前奥罗莫解放阵线成员“叛逃者”向监察组表示这一名单目前有效，整个小组忽略了一点，现在与埃塞俄比亚政府合作的叛逃者的证词不能视为可信证词。\",\n \"这一情况推翻了关于所谓的斯亚贝巴行动是厄立特里亚制定、策划和指挥的说法。而且还表明，目前没有任何确凿证据说明厄立特里亚的参与，如果我们考虑到所谓主要人士的说法，甚至不能确定厄立特里亚发挥了有限的作用，那些据称拥有指挥权和控制权的人都不是厄立特里亚人。如果时间更为充裕，厄立特里亚愿意就这一耸人听闻的指控提供更确切的进一步信息，目前的指控使人想起早先监察组曾指责厄立特里亚向索马里派遣2 000名士兵，甚至还包括他们在何时以及如何抵达，还有多少人部署在何处。这是早先一份报告中的一段重头戏，当时被用来作为游说对厄立特里亚进行制裁的理由，现在却显得毫无根据。\",\n \"索马里\",\n \"由于所谓厄立特里亚对青年党的军事支持一直是安理会主要关注的问题，而且是根据第1907(2009)号决议进行制裁的主要原因，监察组的报告竟然证实了向青年党或索马里其他武装集团提供军事援助方面厄立特里亚并没有违反第1907(2009)号决议。报告提到了若干未知名的消息来源称厄立特里亚向Kismayo运送武器(其实埃塞俄比亚则公开作出这些指控)，但又明确表示，“无法从其他渠道证实这些报告。”\",\n \"关于财务支持，监察组表示，已经掌握了厄立特里亚向与青年党有联系的个人付款的书面证据，还承认这些文件只涉及到1998年。监察组坚持说这种资助仍在继续，有一个消息来源称每月达到80 000美元，但却没有提出丝毫的证据。\",\n \"苏丹\",\n \"监察组报告承认没有可能得出结论说,厄立特里亚违反第1907(2009)号决议向破坏南苏丹稳定的集团直接提供军事援助。\",\n \"4. 违反武器禁运\",\n \"监察组谈到关于厄立特里亚购买武器的报导和间接证据，但就没有表示监察组掌握有比较确凿的证据。监察组还说，就厄立特里亚而言，目前没有能够确定是否有任何政府直接参与了蓄谋违反武器禁运的行动。\",\n \"监察组报告谈到其收到的指控是厄立特里亚的一名军官参与了厄立特里亚向苏丹走私武器的行动。监察组们没有就这方面指控提出任何证据，而且无论怎样，这些指控仅涉及到了第1907(2009)号决议之前的时间。\",\n \"5. 为违反第1907(2009)号决议的行动筹措资金\",\n \"报告占用大量篇幅提出指控，可能有协助违反武器禁运的秘密筹资活动。报告还详细提出可能向厄立特里亚政府提供资金的来源，并特别注重谈到厄立特里亚侨民和采矿部门的贡献。令人遗憾的是，报告重复着指控(不可靠消息人士，包括带有个人目的的个别人)却没有提供任何证据来表明厄立特里亚社区成员和商界人士参与了非法活动。这些指控就是要诋毁和玷污社区人士的声誉，这些人也是驻在国的国民，这对其家人和生意都是一种诋毁。\",\n \"这一报告也踏入法律雷区，认为厄立特里亚侨民的捐款是非法的，并且违反了维也纳公约。监察组并没有提出明确结论说违反了武器禁运，可能消息来源对于自助活动的讨论只能是一种假设。看来整个做法都是要粉饰其关于经济制裁厄立特里亚的要求。\",\n \"厄立特里亚对监察组建议的答复\",\n \"监察组关于对厄立特里亚进行进一步制裁的建议违反了其自身报告主体中的内容和证据。我们已经看到，厄立特里亚在索马里、吉布提和武器禁运问题上遵守了第1907(2009)号决议。我们还表明，关于厄立特里亚策划和企图制造亚的斯亚贝巴的爆炸案的指控并没有任何确凿证据。在这种情况下，公正的做法是要求立即取消对厄立特里亚的制裁，更不要说进一步制裁。公正的做法还要对埃塞俄比亚政府采取措施，因为监察组已明确指出，埃塞俄比亚“违反了对索马里的全面彻底武器禁运”。意义重大的是监察组未能就埃塞俄比亚违反安全理事会相关决议，包括第1907(2009)号决议，提出任何建议。\",\n \"结论\",\n \"厄立特里亚在初步意见中最后提出，要求在得到和看过监察组报告后再有一次机会提出全面和明确答复。显然不能以任何紧急情况为借口，在仅仅18个月内第二次针对厄立特里亚匆忙作出不公正和危险的决定。\",\n \"附文\",\n \"Statement by Brigadier General Hailu Gonfa and Colonel Gemechu Avana\",\n \"14 September 2006\",\n \"Until a few days ago, we were officers in the Ethiopian army sworn to protect the country’s laws and diverse people from any threats. To our deepest dismay, we have come to the conclusion that the greatest threat to Ethiopia and the people emanates not from elsewhere but from the regime on power. Over the last years, the armed forces have been systematically reduced to protecting the narrow interest of a small clique determined to cling to power at all costs. Under the circumstances the choices confronting us are: Either to remain with the same oppressive machinery or wait and see hoping against hope that things would improve on their own or through a miracle. We have waited too long; we cannot wait any longer.\",\n \"Despite the calls by opposition groups to peacefully deal with the dire situation, EPRDF is showing no inclination whatsoever to address the country’s mounting social, economic and political problems. Instead, it is intensifying repression. Even though this repressive machinery did not spare any people in the country, the magnitude and scale of repression, harassment and intimidation committed against Oromo people has no comparison. Moreover, it is considering new military adventures in the region that would not serve the legitimate interest of all affected — and could plunge the region into chaos.\",\n \"Throughout the years we served this regime, we serve hoping things would improve over time and expected the regime would also resolve political conflicts peacefully and truly democratize the country where political power emanates from the will of the people not from force. Now we have found this to be an empty promise. We are particularly elated the Alliance for Freedom and Democracy (AFD) has offered a hope not only to eliminate the spectre of more mayhem but also chart a better future through a process of dialogue involving all stakeholders in the search for comprehensive solutions.\",\n \"We regret that the regime has flagrantly, and without serious consideration, rejected this offer of goodwill and continued on its path of destruction. We cannot therefore continue to defend a minority and overwhelmingly rejected regime, sadly, that is committing untold atrocities against or own people.\",\n \"It is time for us to take side in the fight between tyranny and liberty. Accordingly, we have dissociated ourselves from TPLF/EPRDF and joined the liberation struggle of our people gripped by the claws of tyranny. We have therefore joined the Oromo Liberation Front that is a member of the Alliance for Freedom and Democracy (AFD) to realize the age-old dream of all peoples for freedom and democracy.\",\n \"To the Ethiopian Armed Forces\",\n \"The incumbent regime has been fooling us all by falsely extolling its commitment to freedom, democracy and speedy economic development. This commitment has been put to test over the last 15 years. The tyrannical behaviour of the regime demonstrates that this pledge runs skin deep and does not show any sign of change, which makes all our efforts and sacrifices in vain. We believe as long as the regime continues to defy the will of the people, our problems would multiply. This is why it has to be compelled to desist from its destructive path or be removed. We therefore call on you to follow our example and join the just and popular struggle.\",\n \"To the international community\",\n \"The minority Ethiopian regime does not have the capacity or the legitimacy to continue to rule the country. The regime, whose dismal 15 year tenure is more than enough to gauge its goodwill, needs to be pressed rather than appeased to submit to the call for dialogue. We strongly urge you to reconsider your support for it as it does not any more serve our common strategic interests.\"\n]"},"clean_en":{"kind":"list like","value":["Letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council","Upon instruction from my Government I hereby attach Eritrea’s preliminary remarks on the report of the Monitoring Group on Somalia and Eritrea (S/2011/433) of 18 July 2011 (see annex). While Eritrea is in the process of preparing a comprehensive response to the report, which has been made public since 28 July 2011, I would be most grateful if the present letter and its annex could be issued as a document of the Security Council.","(Signed) Araya Desta Ambassador and Permanent Representative","Annex to the letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council","Preliminary remarks by Yemane Ghebreab, Political Adviser to the President of the State of Eritrea, on the report of the Monitoring Group on Somalia and Eritrea","New York, 22 July 2011","Let me take this opportunity to express my delegation’s appreciation to you as Chairman of the Security Council Committee, pursuant to resolutions 751 (1992) and 1907 (2009), and through you to the members of the Committee, for arranging the informal consultations.","It must be acknowledged that despite its strong reservations on the whole affair, Eritrea has fully cooperated with the Monitoring Group on Somalia and Eritrea in the discharge of its mandate.","The Monitoring Group visited Eritrea twice and there was also a third informal discussion held in Europe. Eritrea also responded to the Group’s written queries. Eritrea finds that the substance and tenor of the Group’s report do not reflect those discussions and is hugely disappointed. In contrast, the Monitoring Group has received a ringing endorsement from Ethiopia, which is vociferously calling for an extension of the Group’s mandate and tightening of the sanctions regime against Eritrea.","Eritrea is also dismayed by the fact that the contents of the report were presented by a high-level international civil servant to the Intergovernmental Authority on Development (IGAD) Summit held in Addis Ababa. The selective presentation was used inappropriately to sway the opinions of the IGAD leaders, who subsequently called for additional sanctions against Eritrea.","At this time, the Eritrean delegation can only register a preliminary, but factual, response since Eritrea was not given a copy of the report, despite a written formal request. The Eritrean delegation has been briefed and allowed some access to the report, but due to the limited time allotted and the inability to contact relevant authorities in Eritrea for comments and verifications on the various allegations contained in the report, the delegation is unable to give a full response.","Eritrea, therefore, once again requests from the Sanctions Committee a copy of the report and adequate time to present a definitive reply with supporting documents. This is only fair since Eritrea cannot be judged on the basis of a document that is not in its possession and without the opportunity to properly defend itself.","Eritrea’s overview of the report of the Monitoring Group on Somalia and Eritrea","The report can be divided into three parts: background information and analysis; main body of the report with specific accusations; and recommendations.","Eritrea’s overview of the report can be distilled into the following points:","• The background (contextual) section of the report is replete with sweeping statements about the policies, practices and institutions of the Eritrean Government as well as gross accusations that are not borne out by either the reality on the ground or the main body of the report. A casual reading of the report can easily lead to misleading perceptions and erroneous conclusions, while a careful reading reveals that the report is tall on accusations and short on tangible evidence.","• The accusations against Eritrea in the main body of the report generally fall into two categories: allegations that are narrated in great detail creating wrong impressions, but with the Monitoring Group on Somalia and Eritrea then admitting that the allegations are not backed by conclusive evidence; and allegations of events and actions that took place prior to 23 December 2009, the cutoff date for any determination of Eritrea’s compliance with resolution 1907 (2009).","• There is no conclusive evidence in the report of any Eritrean violations in regard to Somalia and Djibouti, as well as the arms embargo on Eritrea. These are highly significant as they were accusations of Eritrean wrongdoings in regard to Somalia (particularly support to Al-Shabaab) and Djibouti that were the basis for the imposition of sanctions on Eritrea. Fairness would require an acknowledgement of this fact and a decision to lift the sanctions against Eritrea.","• The centrepiece accusation against Eritrea, the basis for calls for additional sanctions, is the sensationalized allegation of a plot to bomb Addis Ababa during the African Union Summit in January 2011. Here it is pertinent to point out that the goalpost in accusations against Eritrea has shifted from Somalia and Djibouti to Ethiopia, which is the culprit, accuser and source of all “evidence” at the same time. Additionally, Eritrea would have no interest in disrupting a Summit of the African Union, when it had just reopened its mission in Addis Ababa and was participating in the Summit for the first time after a long absence. It would be reckless or stupid to contemplate such a hideous attack. More crucially, Eritrea can prove definitively and conclusively that it is not guilty of masterminding and directing the said plot. (We present our preliminary response to this allegation below.)","Eritrea’s remarks on the contextual analysis of the Monitoring Group on Somalia and Eritrea","Domestic Eritrean situation","The report lacks any sense of balance and projects an extremely negative portrait of Eritrea, which is at variance with reality. As Eritrea informed the Security Council during the informal interactive dialogue on 19 July 2011, Eritrea is focused on development, making it the country’s paramount priority.","Eritrea-Ethiopia relations","While the Monitoring Group on Somalia and Eritrea recognizes the vital relevance and crucial role of this issue in regard to Eritrea, it does not give it the consideration that it deserves.","It acknowledges that Ethiopia is actively working to destabilize Eritrea and mentions “Ethiopia’s support of armed opposition groups”, but it again fails to give it due weight.","In fact, Ethiopia has repeatedly carried out armed incursions, sabotage and other terrorist operations against Eritrea, targeting the mining sector in particular. There have been over 30 operations in the past two years alone, including one against the headquarters of a Chinese mining company. Ethiopia has also been hosting for almost 11 years now — and with audacity — an assortment of 16 subversive and terrorist “Eritrean” groups, including the Eritrean Islamic Jihad Movement, to promote its publicly pronounced agenda of destabilizing Eritrea.","The Monitoring Group report glosses over these facts as well as the repeated public threats made by Ethiopia on so many occasions. Indeed, Ethiopia has informed visiting Security Council members that Ethiopia’s official policy is the removal of the Eritrean Government.","Significant ramifications of the relationship between the two countries:","• Two wars: a 30-year one, which claimed the lives of 65,000 martyrs; a second one, which exacted a human toll of 20,000 lives. These human losses are huge for a small country with a small population;","• Ethiopia continues to occupy huge and sensitive chunks of sovereign Eritrean territories;","• Ethiopia has made clear its intention to take military measures to overthrow the Eritrean Government.","Today, Ethiopia is seeking economic sanctions and diplomatic isolation to hamstring and pre-empt Eritrea’s serious efforts to reach out and contribute to enduring regional stability and harmony.","Eritrea’s regional role","Once again the Monitoring Group on Somalia and Eritrea chooses to ignore Eritrea’s constructive regional role, including its widely acknowledged contribution to peace in the Sudan, unwittingly revealing its biases.","Eritrea’s preliminary reply to accusations of the Monitoring Group on Somalia and Eritrea","1. Support to armed groups involved in violence, destabilization and terrorism","The Monitoring Group begins treatment of the subject by identifying officers it considers essential in the direction and conduct of Eritrea’s external intelligence operations. It names seven persons, most of whom are officers of the defence forces, with no links to external intelligence.","For instance, the Monitoring Group mentions Colonel Gemachew Ayana, who is not even Eritrean. Colonel Gemachew Ayana is an Ethiopian citizen and was a member of the Ethiopian Defence Forces. He was commander of a Mechanized Division of the Ethiopian army until 2003 when he was accused, like dozens of other Oromo military officers, of clandestine involvement with the opposition Oromo Liberation Front and relieved of his post. Some three years later, he joined the Oromo Liberation Front. Given that these are easily verifiable facts, it is puzzling why the Monitoring Group claimed in its report that he is an Eritrean officer in external intelligence. As we shall see, Gemachew is accused of playing a key role in the alleged plot to bomb Addis Ababa. A statement by Colonel Gemachew is attached (see enclosure).","2. Training facilities","Eritrea’s military facilities and their locations are not a secret. Contrary to what the Monitoring Group report states, Eritrea’s National Security Agency does not undertake military training. Most importantly, much of the information contained in the report predates resolution 1907 (2009) and is therefore irrelevant.","3. Assistance to armed groups alleged to be in violation of resolution 1970 (2009)","Djibouti","Although the report presents two allegations of what it calls “Eritrean support of limited scale”, its sources are dubious to say the least. A former FRUD commander, detained by the Djibouti Government, can hardly be expected to be a credible source. Although the detainee claimed that Eritrea provided “food, medicines and treatment for wounded fighters”, he denied receiving any weaponry or military equipment. He said that FRUD uniforms, arms and ammunition were purchased from Yemen. This contradicts claims by Djibouti authorities that the detainee had admitted that Eritrea provided arms. In addition, this Monitoring Group allegation relates to the period prior to December 2009, as the latest claim of any Eritrean involvement was October 2009.","There is only one other allegation in the report, which claims that in February 2011 the Djibouti military seized 50 kgs of explosives hidden in a cave. The Monitoring Group said that the explosives were of Soviet era manufacture and that it “has been unable to trace their place of origin or chain of custody”. Since there was no allegation of any Eritrean involvement, why mention this under Eritrea’s alleged violations?","It is clear that there is no evidence of Eritrean violation of resolution 1907 (2009) in regard to Djibouti.","Ethiopia","As mentioned above, the centrepiece of the Monitoring Group’s (and Ethiopia’s) accusations that Eritrea is engaged in terrorist plots and acts of regional destabilization is the alleged plot to bomb Addis Ababa during the African Union Summit in January 2011. The Monitoring Group claims that “although ostensibly an OLF (Oromo Liberation Front) operation”, it was conceived, planned and directed by the Eritrean National Security Agency. It concludes that the “operation was effectively an Eritrean intelligence activity falsely flagged as an OLF initiative”.","The operation is described in a dramatic thriller fashion over several pages of confusing and contradictory narrative, one full of holes. If it is given the opportunity, Eritrea will present a detailed exposé that will prove conclusively that the Monitoring Group accusation of Eritrea is utterly unfounded. As to the alleged role of OLF, the organization can speak for itself.","In this preliminary response, Eritrea presents the following facts and pieces of evidence that underscore that the Monitoring Group’s accusations are not based on solid and conclusive evidence.","The source for the information and “evidence” that underpin the accusation are highly suspicious and not credible. The Monitoring Group admits that its only sources for its allegations are Ethiopian security authorities and alleged perpetrators detained by Ethiopian security. It is obvious that an Ethiopian Government that is hostile to Eritrea and actively campaigning for additional sanctions has the desire and the means to tamper with, embellish, distort, even fabricate pieces of evidence. It is also clear that any testimony by detainees in the hands of a Government that is well known for routinely resorting to torture cannot contradict the official Ethiopian Government version as this would lead to severe consequences for the detainees.","An additional fact that severely tests the credibility of the testimony of the detainees is their claim that the person who allegedly played the central role, Colonel Gemachew Ayana, is an official in Eritrean intelligence and not an OLF official, as we have seen above. If the informants actually played the roles ascribed to them in the narrative of the alleged plot, there is no conceivable reason why they would not know that Gemachew was in fact an OLF official. If they knew and deliberately misled the Monitoring Group (to give the benefit of the doubt to the Monitoring Group) into thinking that he was an officer in Eritrean intelligence, then they must have been coached by their handlers with the express purpose of implicating Eritrea.","The Monitoring Group’s claim that Eritrean officers played the central role in the plot is plain wrong and contradicted by its own narrative. To justify its premise that the attempted bombing of Addis Ababa was an Eritrean operation, the Monitoring Group states that only one OLF detainee, the “team leader Omar Idriss Mohamed appears to have been in regular contact with the OLF leadership ... All other teams members were isolated from OLF structures from the moment of recruitment and received all training and orders directly from Eritrean officers.”","It adds that according to Omar (the team leader) only OLF Chairman Dawud Ibsa “was aware of the existence of this special operation and its objectives, but he does not appear to have exercised any command or control over its actions”.","According to the narrative in the report, however, and again we are by no means lending any credence to the allegations, it is OLF officials who allegedly played the key role.","This is what the narrative says. Back in 2008, an OLF associate in Kenya had put the leader of team 1, Fekadu, in contact with an Eritrean Colonel named Gemachew Ayana. (As previously stated, Gemachew is in fact an OLF official and not an Eritrean.) Gemachew also approached Omar Idriss Mohamed, the overall team leader, who says that he was contacted in August/September 2009 by OLF Chairman Dawud Ibsa and informed that he would be given a secret assignment. In March 2010, Gemachew “instructed Fekadu and his team to return to Addis Ababa”. Fekadu “remained in contact with Gemachew with phone records indicating at least 27 conversations”. Gemachew also arranged for money transfers to team members in Addis Ababa. According to Omar, it was Gemachew who gave team members the equipment and explosives that would be used in the operation. Again, Gemachew “provided final instructions and explosives”. In early January, Omar “requested additional funds from Gemachew”. In the last week of January, “with time running out ... Omar felt the need to consult with Gemachew ... Phone records appear to indicate that they made contact 39 times ... mainly initiated by Gemachew.”","There is some mention of Eritreans in the narrative, but in a limited and secondary role, again based on suspicious testimony from detainees.","Even if we allow that the narrative is in fact true — and Eritrea believes it isn’t — it is abundantly clear that the alleged attempt was from start to finish an OLF effort.","There are other major problems with the narrative.","It states categorically that the operation did not target the African Union leaders, but then claims that one of the targets was the Sheraton Hotel where most of the leaders were staying.","The report states that a sniper rifle, which was allegedly in the possession of one member of the team, was sold to Eritrea by Romania as corroborated by the Romanian Government. We will seek to get back to the Sanctions Committee with information on the veracity of this claim. But even if we assume that it is of Eritrean source, this till does not show conclusively when and how the rifle ended up in the hands of the Ethiopian Government. On the other hand, the report does not provide any evidence at all that the essential equipment and the explosives that were going to be used in the alleged plot were sourced from Eritrea.","The Monitoring Group bases much of its claims on an OLF contact list in Asmara but it then admits that this key piece of evidence is an outdated one from 2006. Realizing it is on untenable grounds, it flimsily tries to justify itself by claiming that unnamed former OLF members (defectors) had told it that the list is currently valid, forgetting that the testimony of defectors, now collaborating with the Ethiopian Government, cannot be regarded as credible sources.","This account belies the claim that the alleged Addis Ababa operation was conceived, planned and directed by Eritrea. It also shows that there is no incontrovertible evidence of Eritrean involvement, even the limited role that remains once we take into account the alleged key actors, those who allegedly had the command and control, were non-Eritreans. If given the time, Eritrea wishes to provide crucial extra information pertaining to this sensationalized accusation, which reminds of an earlier accusation by the Monitoring Group that Eritrea had 2,000 soldiers in Somalia, with detailed information on when and how they arrived and where and in what numbers they were deployed. This showpiece of an earlier report, which proved to have been totally groundless, was used at the time to build a case for sanctions against Eritrea.","Somalia","Given that the allegations of Eritrea’s military support to Al-Shabaab has been the central concern of the Security Council and the main impetus behind the imposition of sanctions under resolution 1907 (2009), it is remarkable that the Monitoring Group report confirms that Eritrea is not in violation of resolution 1907 (2009) in regards to military support to Al-Shabaab or any armed group in Somalia. It mentions claims from unidentified sources of Eritrean arms shipments to Kismaayo (in fact, Ethiopia had publicly made those accusations), but states categorically that it “could not independently verify the reports”.","Regarding financial support, the Monitoring Group states that it has documentary evidence of Eritrean payments to individuals linked to Al-Shabaab, but admits that these relate only to 1998. It mentions allegations that financing continues, one source claiming to the tune of $80,000 per month, but does not present a shred of evidence.","Sudan","The report acknowledges that it is not possible to conclude that Eritrea has provided direct military assistance to groups engaged in the destabilization of South Sudan in violation of resolution 1907 (2009).","4. Violation of the arms embargo","The Monitoring Group speaks about reports and circumstantial evidence of Eritrean arms procurement, but does not claim that it has evidence beyond a reasonable doubt. It also states that it has not been able to determine whether any Government is directly involved in any deliberate violation of the arms embargo in regard to Eritrea.","The report mentions allegations received that an Eritrean military officer is involved in arms smuggling from Eritrea to the Sudan. It does not provide any proof of the allegations and in any case they relate to the pre-resolution 1907 (2009) period.","5. Financing in support of violations of resolution 1907 (2009)","The report devotes a lot of space to allegations that there may be covert financial activities in support of arms embargo violations. It goes into detail into what it considers are sources of revenue for the Eritrean Government, with particular emphasis to contributions from the Eritrean diaspora as well as the mining sector. It is sad that it repeats accusations (from suspicious sources, including individuals with personal agendas) without providing any evidence that insinuates that Eritrean community members and business people are involved in illegal activities. These allegations are simply defamatory and tarnish the reputations of these individuals, who are also citizens of the countries they reside in, as well as their families and businesses.","The report also steps on a legal minefield by suggesting that contributions by the Eritrean diaspora are illegal and violate the Vienna Conventions. Since the Monitoring Group did not conclusively establish violations of the arms embargo, the discussion of the possible source of its financing can only be hypothetical. It seems the whole exercise is meant to give a fig leaf to calls for economic sanctions to Eritrea.","Eritrea’s response to the recommendations of the Monitoring Group","The recommendations of the Monitoring Group on Somalia and Eritrea to impose additional sanctions against Eritrea fly against the content and evidence presented in the main body of its own report. As we have seen, Eritrea is in compliance with resolution 1907 (2009) in regards to Somalia, Djibouti and the arms embargo. We have also shown that the accusation that Eritrea masterminded and attempted the bombing plot on Addis Ababa is not supported by solid evidence. This being the case, fairness and justice demand that the sanctions on Eritrea be lifted immediately, not to speak of additional sanctions. Justice and fairness would also require that measures be taken against the Ethiopian Government as the Monitoring Group has stated categorically that Ethiopia is “in violation of the general and complete arms embargo” on Somalia. It is highly significant that the Monitoring Group inexplicably fails to make any recommendations in regard to Ethiopia’s violations of relevant Security Council resolutions, including 1907 (2009).","Conclusion","Eritrea concludes its preliminary submission by requesting once again the opportunity to present a comprehensive and definitive response after receiving and reviewing the report of the Monitoring Group on Somalia and Eritrea. Clearly there is no emergency that would justify a hasty, unfair and dangerous decision against Eritrea, for the second time in only 18 months.","Enclosure","Statement by Brigadier General Hailu Gonfa and Colonel Gemechu Ayana","14 September 2006","Until a few days ago, we were officers in the Ethiopian army sworn to protect the country’s laws and diverse people from any threats. To our deepest dismay, we have come to the conclusion that the greatest threat to Ethiopia and the people emanates not from elsewhere but from the regime on power. Over the last years, the armed forces have been systematically reduced to protecting the narrow interest of a small clique determined to cling to power at all costs. Under the circumstances the choices confronting us are: Either to remain with the same oppressive machinery or wait and see hoping against hope that things would improve on their own or through a miracle. We have waited too long; we cannot wait any longer.","Despite the calls by opposition groups to peacefully deal with the dire situation, EPRDF is showing no inclination whatsoever to address the country’s mounting social, economic and political problems. Instead, it is intensifying repression. Even though this repressive machinery did not spare any people in the country, the magnitude and scale of repression, harassment and intimidation committed against Oromo people has no comparison. Moreover, it is considering new military adventures in the region that would not serve the legitimate interest of all affected — and could plunge the region into chaos.","Throughout the years we served this regime, we serve hoping things would improve over time and expected the regime would also resolve political conflicts peacefully and truly democratize the country where political power emanates from the will of the people not from force. Now we have found this to be an empty promise. We are particularly elated that the Alliance for Freedom and Democracy (AFD) has offered a hope not only to eliminate the spectre of more mayhem but also chart a better future through a process of dialogue involving all stakeholders in the search for comprehensive solutions.","We regret that the regime has flagrantly, and without serious consideration, rejected this offer of goodwill and continued on its path of destruction. We cannot therefore continue to defend a minority and overwhelmingly rejected regime, sadly, that is committing untold atrocities against our own people.","It is time for us to take side in the fight between tyranny and liberty. Accordingly, we have dissociated ourselves from TPLF/EPRDF and joined the liberation struggle of our people gripped by the claws of tyranny. We have therefore joined the Oromo Liberation Front that is a member of the Alliance for Freedom and Democracy (AFD) to realize the age-old dream of all peoples for freedom and democracy.","To the Ethiopian Armed Forces","The incumbent regime has been fooling us all by falsely extolling its commitment to freedom, democracy and speedy economic development. This commitment has been put to test over the last 15 years. The tyrannical behaviour of the regime demonstrates that this pledge runs skin deep and does not show any sign of change, which makes all our efforts and sacrifices in vain. We believe as long as the regime continues to defy the will of the people, our problems would multiply. That is why it has to be compelled to desist from its destructive path or be removed. We therefore call on you to follow our example and join the just and popular struggle.","To the international community","The minority Ethiopian regime does not have the capacity or the legitimacy to continue to rule the country. The regime, whose dismal 15-year tenure is more than enough to gauge its goodwill, needs to be pressed rather than appeased to submit to the call for dialogue. We strongly urge you to reconsider your support for it as it does not any more serve our common strategic interests."],"string":"[\n \"Letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council\",\n \"Upon instruction from my Government I hereby attach Eritrea’s preliminary remarks on the report of the Monitoring Group on Somalia and Eritrea (S/2011/433) of 18 July 2011 (see annex). While Eritrea is in the process of preparing a comprehensive response to the report, which has been made public since 28 July 2011, I would be most grateful if the present letter and its annex could be issued as a document of the Security Council.\",\n \"(Signed) Araya Desta Ambassador and Permanent Representative\",\n \"Annex to the letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council\",\n \"Preliminary remarks by Yemane Ghebreab, Political Adviser to the President of the State of Eritrea, on the report of the Monitoring Group on Somalia and Eritrea\",\n \"New York, 22 July 2011\",\n \"Let me take this opportunity to express my delegation’s appreciation to you as Chairman of the Security Council Committee, pursuant to resolutions 751 (1992) and 1907 (2009), and through you to the members of the Committee, for arranging the informal consultations.\",\n \"It must be acknowledged that despite its strong reservations on the whole affair, Eritrea has fully cooperated with the Monitoring Group on Somalia and Eritrea in the discharge of its mandate.\",\n \"The Monitoring Group visited Eritrea twice and there was also a third informal discussion held in Europe. Eritrea also responded to the Group’s written queries. Eritrea finds that the substance and tenor of the Group’s report do not reflect those discussions and is hugely disappointed. In contrast, the Monitoring Group has received a ringing endorsement from Ethiopia, which is vociferously calling for an extension of the Group’s mandate and tightening of the sanctions regime against Eritrea.\",\n \"Eritrea is also dismayed by the fact that the contents of the report were presented by a high-level international civil servant to the Intergovernmental Authority on Development (IGAD) Summit held in Addis Ababa. The selective presentation was used inappropriately to sway the opinions of the IGAD leaders, who subsequently called for additional sanctions against Eritrea.\",\n \"At this time, the Eritrean delegation can only register a preliminary, but factual, response since Eritrea was not given a copy of the report, despite a written formal request. The Eritrean delegation has been briefed and allowed some access to the report, but due to the limited time allotted and the inability to contact relevant authorities in Eritrea for comments and verifications on the various allegations contained in the report, the delegation is unable to give a full response.\",\n \"Eritrea, therefore, once again requests from the Sanctions Committee a copy of the report and adequate time to present a definitive reply with supporting documents. This is only fair since Eritrea cannot be judged on the basis of a document that is not in its possession and without the opportunity to properly defend itself.\",\n \"Eritrea’s overview of the report of the Monitoring Group on Somalia and Eritrea\",\n \"The report can be divided into three parts: background information and analysis; main body of the report with specific accusations; and recommendations.\",\n \"Eritrea’s overview of the report can be distilled into the following points:\",\n \"• The background (contextual) section of the report is replete with sweeping statements about the policies, practices and institutions of the Eritrean Government as well as gross accusations that are not borne out by either the reality on the ground or the main body of the report. A casual reading of the report can easily lead to misleading perceptions and erroneous conclusions, while a careful reading reveals that the report is tall on accusations and short on tangible evidence.\",\n \"• The accusations against Eritrea in the main body of the report generally fall into two categories: allegations that are narrated in great detail creating wrong impressions, but with the Monitoring Group on Somalia and Eritrea then admitting that the allegations are not backed by conclusive evidence; and allegations of events and actions that took place prior to 23 December 2009, the cutoff date for any determination of Eritrea’s compliance with resolution 1907 (2009).\",\n \"• There is no conclusive evidence in the report of any Eritrean violations in regard to Somalia and Djibouti, as well as the arms embargo on Eritrea. These are highly significant as they were accusations of Eritrean wrongdoings in regard to Somalia (particularly support to Al-Shabaab) and Djibouti that were the basis for the imposition of sanctions on Eritrea. Fairness would require an acknowledgement of this fact and a decision to lift the sanctions against Eritrea.\",\n \"• The centrepiece accusation against Eritrea, the basis for calls for additional sanctions, is the sensationalized allegation of a plot to bomb Addis Ababa during the African Union Summit in January 2011. Here it is pertinent to point out that the goalpost in accusations against Eritrea has shifted from Somalia and Djibouti to Ethiopia, which is the culprit, accuser and source of all “evidence” at the same time. Additionally, Eritrea would have no interest in disrupting a Summit of the African Union, when it had just reopened its mission in Addis Ababa and was participating in the Summit for the first time after a long absence. It would be reckless or stupid to contemplate such a hideous attack. More crucially, Eritrea can prove definitively and conclusively that it is not guilty of masterminding and directing the said plot. (We present our preliminary response to this allegation below.)\",\n \"Eritrea’s remarks on the contextual analysis of the Monitoring Group on Somalia and Eritrea\",\n \"Domestic Eritrean situation\",\n \"The report lacks any sense of balance and projects an extremely negative portrait of Eritrea, which is at variance with reality. As Eritrea informed the Security Council during the informal interactive dialogue on 19 July 2011, Eritrea is focused on development, making it the country’s paramount priority.\",\n \"Eritrea-Ethiopia relations\",\n \"While the Monitoring Group on Somalia and Eritrea recognizes the vital relevance and crucial role of this issue in regard to Eritrea, it does not give it the consideration that it deserves.\",\n \"It acknowledges that Ethiopia is actively working to destabilize Eritrea and mentions “Ethiopia’s support of armed opposition groups”, but it again fails to give it due weight.\",\n \"In fact, Ethiopia has repeatedly carried out armed incursions, sabotage and other terrorist operations against Eritrea, targeting the mining sector in particular. There have been over 30 operations in the past two years alone, including one against the headquarters of a Chinese mining company. Ethiopia has also been hosting for almost 11 years now — and with audacity — an assortment of 16 subversive and terrorist “Eritrean” groups, including the Eritrean Islamic Jihad Movement, to promote its publicly pronounced agenda of destabilizing Eritrea.\",\n \"The Monitoring Group report glosses over these facts as well as the repeated public threats made by Ethiopia on so many occasions. Indeed, Ethiopia has informed visiting Security Council members that Ethiopia’s official policy is the removal of the Eritrean Government.\",\n \"Significant ramifications of the relationship between the two countries:\",\n \"• Two wars: a 30-year one, which claimed the lives of 65,000 martyrs; a second one, which exacted a human toll of 20,000 lives. These human losses are huge for a small country with a small population;\",\n \"• Ethiopia continues to occupy huge and sensitive chunks of sovereign Eritrean territories;\",\n \"• Ethiopia has made clear its intention to take military measures to overthrow the Eritrean Government.\",\n \"Today, Ethiopia is seeking economic sanctions and diplomatic isolation to hamstring and pre-empt Eritrea’s serious efforts to reach out and contribute to enduring regional stability and harmony.\",\n \"Eritrea’s regional role\",\n \"Once again the Monitoring Group on Somalia and Eritrea chooses to ignore Eritrea’s constructive regional role, including its widely acknowledged contribution to peace in the Sudan, unwittingly revealing its biases.\",\n \"Eritrea’s preliminary reply to accusations of the Monitoring Group on Somalia and Eritrea\",\n \"1. Support to armed groups involved in violence, destabilization and terrorism\",\n \"The Monitoring Group begins treatment of the subject by identifying officers it considers essential in the direction and conduct of Eritrea’s external intelligence operations. It names seven persons, most of whom are officers of the defence forces, with no links to external intelligence.\",\n \"For instance, the Monitoring Group mentions Colonel Gemachew Ayana, who is not even Eritrean. Colonel Gemachew Ayana is an Ethiopian citizen and was a member of the Ethiopian Defence Forces. He was commander of a Mechanized Division of the Ethiopian army until 2003 when he was accused, like dozens of other Oromo military officers, of clandestine involvement with the opposition Oromo Liberation Front and relieved of his post. Some three years later, he joined the Oromo Liberation Front. Given that these are easily verifiable facts, it is puzzling why the Monitoring Group claimed in its report that he is an Eritrean officer in external intelligence. As we shall see, Gemachew is accused of playing a key role in the alleged plot to bomb Addis Ababa. A statement by Colonel Gemachew is attached (see enclosure).\",\n \"2. Training facilities\",\n \"Eritrea’s military facilities and their locations are not a secret. Contrary to what the Monitoring Group report states, Eritrea’s National Security Agency does not undertake military training. Most importantly, much of the information contained in the report predates resolution 1907 (2009) and is therefore irrelevant.\",\n \"3. Assistance to armed groups alleged to be in violation of resolution 1970 (2009)\",\n \"Djibouti\",\n \"Although the report presents two allegations of what it calls “Eritrean support of limited scale”, its sources are dubious to say the least. A former FRUD commander, detained by the Djibouti Government, can hardly be expected to be a credible source. Although the detainee claimed that Eritrea provided “food, medicines and treatment for wounded fighters”, he denied receiving any weaponry or military equipment. He said that FRUD uniforms, arms and ammunition were purchased from Yemen. This contradicts claims by Djibouti authorities that the detainee had admitted that Eritrea provided arms. In addition, this Monitoring Group allegation relates to the period prior to December 2009, as the latest claim of any Eritrean involvement was October 2009.\",\n \"There is only one other allegation in the report, which claims that in February 2011 the Djibouti military seized 50 kgs of explosives hidden in a cave. The Monitoring Group said that the explosives were of Soviet era manufacture and that it “has been unable to trace their place of origin or chain of custody”. Since there was no allegation of any Eritrean involvement, why mention this under Eritrea’s alleged violations?\",\n \"It is clear that there is no evidence of Eritrean violation of resolution 1907 (2009) in regard to Djibouti.\",\n \"Ethiopia\",\n \"As mentioned above, the centrepiece of the Monitoring Group’s (and Ethiopia’s) accusations that Eritrea is engaged in terrorist plots and acts of regional destabilization is the alleged plot to bomb Addis Ababa during the African Union Summit in January 2011. The Monitoring Group claims that “although ostensibly an OLF (Oromo Liberation Front) operation”, it was conceived, planned and directed by the Eritrean National Security Agency. It concludes that the “operation was effectively an Eritrean intelligence activity falsely flagged as an OLF initiative”.\",\n \"The operation is described in a dramatic thriller fashion over several pages of confusing and contradictory narrative, one full of holes. If it is given the opportunity, Eritrea will present a detailed exposé that will prove conclusively that the Monitoring Group accusation of Eritrea is utterly unfounded. As to the alleged role of OLF, the organization can speak for itself.\",\n \"In this preliminary response, Eritrea presents the following facts and pieces of evidence that underscore that the Monitoring Group’s accusations are not based on solid and conclusive evidence.\",\n \"The source for the information and “evidence” that underpin the accusation are highly suspicious and not credible. The Monitoring Group admits that its only sources for its allegations are Ethiopian security authorities and alleged perpetrators detained by Ethiopian security. It is obvious that an Ethiopian Government that is hostile to Eritrea and actively campaigning for additional sanctions has the desire and the means to tamper with, embellish, distort, even fabricate pieces of evidence. It is also clear that any testimony by detainees in the hands of a Government that is well known for routinely resorting to torture cannot contradict the official Ethiopian Government version as this would lead to severe consequences for the detainees.\",\n \"An additional fact that severely tests the credibility of the testimony of the detainees is their claim that the person who allegedly played the central role, Colonel Gemachew Ayana, is an official in Eritrean intelligence and not an OLF official, as we have seen above. If the informants actually played the roles ascribed to them in the narrative of the alleged plot, there is no conceivable reason why they would not know that Gemachew was in fact an OLF official. If they knew and deliberately misled the Monitoring Group (to give the benefit of the doubt to the Monitoring Group) into thinking that he was an officer in Eritrean intelligence, then they must have been coached by their handlers with the express purpose of implicating Eritrea.\",\n \"The Monitoring Group’s claim that Eritrean officers played the central role in the plot is plain wrong and contradicted by its own narrative. To justify its premise that the attempted bombing of Addis Ababa was an Eritrean operation, the Monitoring Group states that only one OLF detainee, the “team leader Omar Idriss Mohamed appears to have been in regular contact with the OLF leadership ... All other teams members were isolated from OLF structures from the moment of recruitment and received all training and orders directly from Eritrean officers.”\",\n \"It adds that according to Omar (the team leader) only OLF Chairman Dawud Ibsa “was aware of the existence of this special operation and its objectives, but he does not appear to have exercised any command or control over its actions”.\",\n \"According to the narrative in the report, however, and again we are by no means lending any credence to the allegations, it is OLF officials who allegedly played the key role.\",\n \"This is what the narrative says. Back in 2008, an OLF associate in Kenya had put the leader of team 1, Fekadu, in contact with an Eritrean Colonel named Gemachew Ayana. (As previously stated, Gemachew is in fact an OLF official and not an Eritrean.) Gemachew also approached Omar Idriss Mohamed, the overall team leader, who says that he was contacted in August/September 2009 by OLF Chairman Dawud Ibsa and informed that he would be given a secret assignment. In March 2010, Gemachew “instructed Fekadu and his team to return to Addis Ababa”. Fekadu “remained in contact with Gemachew with phone records indicating at least 27 conversations”. Gemachew also arranged for money transfers to team members in Addis Ababa. According to Omar, it was Gemachew who gave team members the equipment and explosives that would be used in the operation. Again, Gemachew “provided final instructions and explosives”. In early January, Omar “requested additional funds from Gemachew”. In the last week of January, “with time running out ... Omar felt the need to consult with Gemachew ... Phone records appear to indicate that they made contact 39 times ... mainly initiated by Gemachew.”\",\n \"There is some mention of Eritreans in the narrative, but in a limited and secondary role, again based on suspicious testimony from detainees.\",\n \"Even if we allow that the narrative is in fact true — and Eritrea believes it isn’t — it is abundantly clear that the alleged attempt was from start to finish an OLF effort.\",\n \"There are other major problems with the narrative.\",\n \"It states categorically that the operation did not target the African Union leaders, but then claims that one of the targets was the Sheraton Hotel where most of the leaders were staying.\",\n \"The report states that a sniper rifle, which was allegedly in the possession of one member of the team, was sold to Eritrea by Romania as corroborated by the Romanian Government. We will seek to get back to the Sanctions Committee with information on the veracity of this claim. But even if we assume that it is of Eritrean source, this till does not show conclusively when and how the rifle ended up in the hands of the Ethiopian Government. On the other hand, the report does not provide any evidence at all that the essential equipment and the explosives that were going to be used in the alleged plot were sourced from Eritrea.\",\n \"The Monitoring Group bases much of its claims on an OLF contact list in Asmara but it then admits that this key piece of evidence is an outdated one from 2006. Realizing it is on untenable grounds, it flimsily tries to justify itself by claiming that unnamed former OLF members (defectors) had told it that the list is currently valid, forgetting that the testimony of defectors, now collaborating with the Ethiopian Government, cannot be regarded as credible sources.\",\n \"This account belies the claim that the alleged Addis Ababa operation was conceived, planned and directed by Eritrea. It also shows that there is no incontrovertible evidence of Eritrean involvement, even the limited role that remains once we take into account the alleged key actors, those who allegedly had the command and control, were non-Eritreans. If given the time, Eritrea wishes to provide crucial extra information pertaining to this sensationalized accusation, which reminds of an earlier accusation by the Monitoring Group that Eritrea had 2,000 soldiers in Somalia, with detailed information on when and how they arrived and where and in what numbers they were deployed. This showpiece of an earlier report, which proved to have been totally groundless, was used at the time to build a case for sanctions against Eritrea.\",\n \"Somalia\",\n \"Given that the allegations of Eritrea’s military support to Al-Shabaab has been the central concern of the Security Council and the main impetus behind the imposition of sanctions under resolution 1907 (2009), it is remarkable that the Monitoring Group report confirms that Eritrea is not in violation of resolution 1907 (2009) in regards to military support to Al-Shabaab or any armed group in Somalia. It mentions claims from unidentified sources of Eritrean arms shipments to Kismaayo (in fact, Ethiopia had publicly made those accusations), but states categorically that it “could not independently verify the reports”.\",\n \"Regarding financial support, the Monitoring Group states that it has documentary evidence of Eritrean payments to individuals linked to Al-Shabaab, but admits that these relate only to 1998. It mentions allegations that financing continues, one source claiming to the tune of $80,000 per month, but does not present a shred of evidence.\",\n \"Sudan\",\n \"The report acknowledges that it is not possible to conclude that Eritrea has provided direct military assistance to groups engaged in the destabilization of South Sudan in violation of resolution 1907 (2009).\",\n \"4. Violation of the arms embargo\",\n \"The Monitoring Group speaks about reports and circumstantial evidence of Eritrean arms procurement, but does not claim that it has evidence beyond a reasonable doubt. It also states that it has not been able to determine whether any Government is directly involved in any deliberate violation of the arms embargo in regard to Eritrea.\",\n \"The report mentions allegations received that an Eritrean military officer is involved in arms smuggling from Eritrea to the Sudan. It does not provide any proof of the allegations and in any case they relate to the pre-resolution 1907 (2009) period.\",\n \"5. Financing in support of violations of resolution 1907 (2009)\",\n \"The report devotes a lot of space to allegations that there may be covert financial activities in support of arms embargo violations. It goes into detail into what it considers are sources of revenue for the Eritrean Government, with particular emphasis to contributions from the Eritrean diaspora as well as the mining sector. It is sad that it repeats accusations (from suspicious sources, including individuals with personal agendas) without providing any evidence that insinuates that Eritrean community members and business people are involved in illegal activities. These allegations are simply defamatory and tarnish the reputations of these individuals, who are also citizens of the countries they reside in, as well as their families and businesses.\",\n \"The report also steps on a legal minefield by suggesting that contributions by the Eritrean diaspora are illegal and violate the Vienna Conventions. Since the Monitoring Group did not conclusively establish violations of the arms embargo, the discussion of the possible source of its financing can only be hypothetical. It seems the whole exercise is meant to give a fig leaf to calls for economic sanctions to Eritrea.\",\n \"Eritrea’s response to the recommendations of the Monitoring Group\",\n \"The recommendations of the Monitoring Group on Somalia and Eritrea to impose additional sanctions against Eritrea fly against the content and evidence presented in the main body of its own report. As we have seen, Eritrea is in compliance with resolution 1907 (2009) in regards to Somalia, Djibouti and the arms embargo. We have also shown that the accusation that Eritrea masterminded and attempted the bombing plot on Addis Ababa is not supported by solid evidence. This being the case, fairness and justice demand that the sanctions on Eritrea be lifted immediately, not to speak of additional sanctions. Justice and fairness would also require that measures be taken against the Ethiopian Government as the Monitoring Group has stated categorically that Ethiopia is “in violation of the general and complete arms embargo” on Somalia. It is highly significant that the Monitoring Group inexplicably fails to make any recommendations in regard to Ethiopia’s violations of relevant Security Council resolutions, including 1907 (2009).\",\n \"Conclusion\",\n \"Eritrea concludes its preliminary submission by requesting once again the opportunity to present a comprehensive and definitive response after receiving and reviewing the report of the Monitoring Group on Somalia and Eritrea. Clearly there is no emergency that would justify a hasty, unfair and dangerous decision against Eritrea, for the second time in only 18 months.\",\n \"Enclosure\",\n \"Statement by Brigadier General Hailu Gonfa and Colonel Gemechu Ayana\",\n \"14 September 2006\",\n \"Until a few days ago, we were officers in the Ethiopian army sworn to protect the country’s laws and diverse people from any threats. To our deepest dismay, we have come to the conclusion that the greatest threat to Ethiopia and the people emanates not from elsewhere but from the regime on power. Over the last years, the armed forces have been systematically reduced to protecting the narrow interest of a small clique determined to cling to power at all costs. Under the circumstances the choices confronting us are: Either to remain with the same oppressive machinery or wait and see hoping against hope that things would improve on their own or through a miracle. We have waited too long; we cannot wait any longer.\",\n \"Despite the calls by opposition groups to peacefully deal with the dire situation, EPRDF is showing no inclination whatsoever to address the country’s mounting social, economic and political problems. Instead, it is intensifying repression. Even though this repressive machinery did not spare any people in the country, the magnitude and scale of repression, harassment and intimidation committed against Oromo people has no comparison. Moreover, it is considering new military adventures in the region that would not serve the legitimate interest of all affected — and could plunge the region into chaos.\",\n \"Throughout the years we served this regime, we serve hoping things would improve over time and expected the regime would also resolve political conflicts peacefully and truly democratize the country where political power emanates from the will of the people not from force. Now we have found this to be an empty promise. We are particularly elated that the Alliance for Freedom and Democracy (AFD) has offered a hope not only to eliminate the spectre of more mayhem but also chart a better future through a process of dialogue involving all stakeholders in the search for comprehensive solutions.\",\n \"We regret that the regime has flagrantly, and without serious consideration, rejected this offer of goodwill and continued on its path of destruction. We cannot therefore continue to defend a minority and overwhelmingly rejected regime, sadly, that is committing untold atrocities against our own people.\",\n \"It is time for us to take side in the fight between tyranny and liberty. Accordingly, we have dissociated ourselves from TPLF/EPRDF and joined the liberation struggle of our people gripped by the claws of tyranny. We have therefore joined the Oromo Liberation Front that is a member of the Alliance for Freedom and Democracy (AFD) to realize the age-old dream of all peoples for freedom and democracy.\",\n \"To the Ethiopian Armed Forces\",\n \"The incumbent regime has been fooling us all by falsely extolling its commitment to freedom, democracy and speedy economic development. This commitment has been put to test over the last 15 years. The tyrannical behaviour of the regime demonstrates that this pledge runs skin deep and does not show any sign of change, which makes all our efforts and sacrifices in vain. We believe as long as the regime continues to defy the will of the people, our problems would multiply. That is why it has to be compelled to desist from its destructive path or be removed. We therefore call on you to follow our example and join the just and popular struggle.\",\n \"To the international community\",\n \"The minority Ethiopian regime does not have the capacity or the legitimacy to continue to rule the country. The regime, whose dismal 15-year tenure is more than enough to gauge its goodwill, needs to be pressed rather than appeased to submit to the call for dialogue. We strongly urge you to reconsider your support for it as it does not any more serve our common strategic interests.\"\n]"},"record":{"kind":"string","value":"S_2011_494"},"zh2en":{"kind":"list like","value":["Letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council","On instructions from my Government, I have the honour to enclose herewith Eritrea ' s preliminary observations on the report of the Monitoring Group on Somalia and Eritrea dated 18 July 2011 (S/2011/433) (see annex). I should be grateful if you would have this letter and its annex circulated as a document of the Security Council.","Ambassador and Permanent Representative","(Signed) Araya Desta Ambassador Permanent Representative","Permanent Representative","Preliminary observations by Mr. Yemane Ghebreab, Political Adviser to the President of the State of Eritrea, on the report of the Monitoring Group on Somalia and Eritrea","New York, 22 July 2011","I would like to take this opportunity to express my delegation ' s gratitude to you for arranging informal consultations as Chair of the Security Council Committee pursuant to resolutions 751 (1992) and 1907 (2009).","It must be acknowledged that, despite Eritrea ' s strong reservations on the matter as a whole, the Monitoring Group on Somalia and Eritrea has fully cooperated in the discharge of its mandate.","The Monitoring Group travelled to Eritrea twice and held a third informal discussion in Europe. Eritrea also responded to written queries from the Monitoring Group. Eritrea believes that the substance and tone of the Monitoring Group report do not reflect these discussions and is very disappointed. In contrast, Ethiopia commends the Monitoring Group, which is struggling to request an extension of its mandate and to strengthen sanctions against Eritrea.","Eritrea is also disturbed that the report of the Monitoring Group was submitted by a high-level international civil servant to the IGAD summit in Addis Ababa. It is inappropriate to resort to selective submissions in order to influence the views of the IGAD leadership that further sanctions against Eritrea were subsequently introduced.","Since Eritrea has not been able to obtain a copy of the Monitoring Group's report, following a formal written request, the Eritrean delegation can only provide an initial and realistic response at this point in time. The delegation of Eritrea was presented with information on the report, as well as parts of the report, but was not in a position to provide a full response at this time owing to time constraints and lack of access to the relevant Eritrean authorities to comment on and substantiate allegations contained in the Monitoring Group report.","Eritrea therefore reiterates its request to the sanctions Committee to provide a copy of the report and to allow sufficient time for Eritrea to provide a definitive response on the basis of the supporting documentation. That would be fair and reasonable, because it could not be based on a document that Eritrea had not received and had no opportunity to clarify for itself.","Eritrea ' s general observations on the report of the Monitoring Group on Somalia","This report can be divided into three parts: background information and analysis; the main body of the report, which contains specific allegations; and recommendations.","Eritrea ' s general observations on the Monitoring Group report can be divided into the following points:","• The background section of the report is full of general statements on the policies, practices and mechanisms of the Government of Eritrea, as well as arbitrary allegations that are not consistent with the actual situation and the subject matter of the report. A rough review of the report would easily give the wrong impressions and conclusions and, after careful reading, would reveal that the report contained many allegations without a solid basis.","• The allegations concerning Eritrea contained in the main body of the report are broadly divided into two categories: a detailed description of the allegations giving the wrong impression, although the Monitoring Group on Somalia subsequently admitted that there was no conclusive evidence of these allegations; and allegations of incidents and actions that occurred prior to 23 December 2009, which constituted a deadline to determine Eritrea's compliance with resolution 1907 (2009).","• There is no conclusive evidence in the report that Eritrea has committed any violations against Somalia and Djibouti, as has the arms embargo against Eritrea. These points are of great significance, as the wrongs of Eritrea with regard to Somalia, in particular its support for Al-Shabaab, and Djibouti are the basis for sanctions against Eritrea. It is fair to recognize that fact and to decide to lift the sanctions against Eritrea.","• The biggest allegation against Eritrea, that is, the call for further sanctions, was based on the sensational allegations of bombings in Addis Ababa during the January 2011 African Federal Summit. It should be noted here that the rules of accusation against Eritrea have been transferred from Somalia and Djibouti to Ethiopia, which is precisely the culprit, the accuser and the source of all “evidence”. Moreover, Eritrea, which had just re-established its mission in Addis Ababa and had participated in the summit for the first time after a long absence, had no reason to undermine the summit of the African Union. Moreover, it would be unreasonable and confusing for Eritrea to consider such a vicious attack. More importantly, Eritrea can clearly and convincingly state that it has not been involved in the planning and commanding of such a conspiracy (a preliminary response to this allegation is set out below).","Eritrea ' s observations on the background analysis of the Monitoring Group on Somalia","Internal situation in Eritrea","The report lacks a balanced vision and presents an extremely negative description of Eritrea that is not in keeping with the facts. As Eritrea stated to the Security Council during the informal interactive dialogue on 19 July 2011, Eritrea is committed to development and has made it its top priority.","Relations between Eritrea and Ethiopia","While the Monitoring Group recognizes that this issue is also of great importance to Eritrea and plays a crucial role, it has failed to pay due attention.","The Monitoring Group acknowledges Ethiopia's positive efforts to destabilize Eritrea and refers to “Eritrea's support for anti-Government armed groups”, but once again fails to give it sufficient attention.","In fact, Ethiopia has repeatedly carried out armed incursions, destruction and other terrorist acts against Eritrea, especially against the targets of the extractive industry. Over 30 operations have taken place in the past two years, including one against the headquarters of a Chinese mining company. Ethiopia has also hosted, over a period of nearly 11 years, a wide variety of 16 “Eritrea” subversive terrorist groups, including the Eritrean Islamic Jihad Movement, with the aim of achieving its will to disrupt Eritrea.","The report of the Monitoring Group ignores the above-mentioned facts and Ethiopia ' s repeated public threats. Indeed, Ethiopia stated to the members of the Security Council who had gone to visit it that Ethiopia ' s official policy was to overthrow the Government of Eritrea.","The major results of the relations between the two countries are:","• Two wars: the first 30-year war resulted in 65,000 deaths; the second war killed 20,000. This loss of life can be a terrible loss for a small, small country;","• Ethiopia continues to occupy several large and sensitive sovereign Eritrean territories;","• Ethiopia has also made clear its intention to take military measures to overthrow the Government of Eritrea.","Today, Ethiopia is seeking to disrupt and undermine Eritrea ' s enormous efforts to reach out to the outside world and to promote lasting stability and harmony in the region through economic sanctions and diplomatic isolation.","Regional role of Eritrea","Once again, the Monitoring Group chose to ignore Eritrea ' s constructive regional role, including its widely recognized contribution to its policy on peace in the Sudan, unwittingly displaying its bias.","Eritrea ' s preliminary response to allegations made by the Monitoring Group on Somalia","1. Support for armed groups involved in violence, subversion and terrorism","The Monitoring Group has just begun to address this issue by identifying officers whom it believes play a key role in directing and conducting Eritrea ' s foreign intelligence operations. The Monitoring Group named seven individuals, most of whom were officers of the armed forces and had no connection with external intelligence services.","For example, the Monitoring Group referred to Colonel Gemachew Ayana, who was not even Eritrean. Colonel Gemachew Ayana is an Ethiopian citizen and a former member of the Ethiopian armed forces. He had been the commander of a mechanized division of the Ethiopian army, while in 2003 he was accused of secretly participating in and being dismissed from the Oromo Liberation Front, along with dozens of other Oromo Liberation Front officers. About three years later, he joined the Oromo Liberation Front. Given that these are very easy facts to verify, it is also surprising why the Monitoring Group continues to claim in its report that this individual is an Eritrean officer in the field of external intelligence. As we can see, Gemachew was accused of playing a key role in the so-called bombing plot in Addis Ababa. A statement by Colonel Gemachew is attached (see enclosure).","2. Training facilities","Eritrea ' s military installations and their locations are not secret. Contrary to the Monitoring Group report, the National Security Agency of Eritrea did not conduct any military training. It is important that most of the information contained in the Monitoring Group ' s report predates resolution 1907 (2009) and is therefore irrelevant.","3. Alleged assistance to armed groups in violation of resolution 1907 (2009)","Djibouti","Although the report contains two allegations of so-called “limited Eritrean support”, its sources are at least questionable. It is difficult to imagine a “former commander of the Front pour la démocratie unifié” held by the Government of Djibouti as a credible source of information. Although the individual claims that Eritrea “provides food, medicine and medical treatment to wounded soldiers”, he denies having received any weapons or military equipment. He said that FRUD had purchased uniforms, weapons and ammunition from Yemen. This claim is different from the Djiboutian authorities ' claim that this person admitted that Eritrea had supplied weapons. In addition, this allegation by the Monitoring Group relates to the period prior to December 2009, while the latest version of Eritrean involvement is in October 2009.","Only one other allegation was made in the report, alleging that in February 2011 Djibouti military seized 50 kilograms of hidden explosives in a cave. According to the Monitoring Group, these explosives are Soviet-era products and “can no longer trace their origin and chain of custody”. Since there are no allegations of Eritrean involvement, why are they included in the chapter on Eritrean violations?","There is clearly no evidence that Eritrea has violated resolution 1907 (2009) against Djibouti.","Ethiopia","At the heart of the Monitoring Group ' s (and Ethiopia ' s) terrorist conspiracy against Eritrea and its destabilization of the region, as noted above, was the alleged bombing plot in Addis Ababa during the African Union summit in January 2011. The Monitoring Group claims that “although this appears to be an Oromo Liberation Front operation”, there is indeed an Eritrean National Security Agency concept, plan and command. The Monitoring Group concluded that “the operation was in fact an Eritrean intelligence operation, but was mistakenly crowned as an Oromo Liberation Front initiative”.","The description of the operation was vivid, with several pages of paper spilled over, obfuscated, contradictory and porous. If given the opportunity, Eritrea will present a detailed statement that will prove to be totally unfounded the Monitoring Group ' s allegations against Eritrea. As for the role played by the Oromo Liberation Front, the organization itself could clarify.","In this preliminary response, Eritrea submits the following facts and evidence to demonstrate that the Monitoring Group ' s allegations are not based on conclusive evidence.","The sources and the “basis” behind the allegations are questionable and not credible. The Monitoring Group on Somalia acknowledges that its only sources are alleged perpetrators detained by Ethiopian security services and Ethiopian security personnel. It is clear that the Ethiopian Government, which is hostile to Eritrea and actively promotes further sanctions, has the will and means to manipulate, disguise, distort and even fabricate evidence. It is also clear that, for a Government that is known to have resorted to torture, the testimony of any person detained in his or her hands will not contradict the official version of the Ethiopian Government, as this would have serious consequences for the detainee.","Another fact raises serious questions about the testimony of the detainees, who claimed that Colonel Gemachew Ayana, who played a central role, was an Eritrean intelligence officer, not an Oromo Liberation Front official, as described above. If the informants had played the role they described in the so-called conspiracy, they would have known that Gemachew was in fact an Oromo Liberation Front official. If they knowingly misled (in the absence of sufficient evidence and trusting the Monitoring Group) that the Monitoring Group believed that it was an Eritrean intelligence officer, those persons must have been led by their captors with the clear intention of discrediting Eritrea.","The Monitoring Group ' s claim that Eritrean officials played an important role in the bombing is clearly false and contradicts its own claim. In support of its assertion that the Addis Ababa bombing plan was an Eritrean operation, the Monitoring Group on Somalia stated that there was only one Oromo Liberation Front detainee “it appears that Omar Idris Mahamed, the leader of the Oromo Liberation Front, maintained regular contact with the Oromo Liberation Front leadership ... while other Panel members were not linked to the Oromo Liberation Front organizational structure from the time of recruitment and were directly trained and directed by Eritrean officials”.","The Monitoring Group added that, according to Omar (the Panel leader), “only the Chairman of the Oromo Liberation Front, Dawud Ibsa, is aware of the existence of the operation and its objectives, but does not appear to command or control it”.","However, according to the report, there is still no way to believe that the officials of the Oromo Liberation Front played an important role.","That is what the report says. As early as 2008, an Oromo Liberation Front associate in Kenya introduced Team 1 leader Fekadu to contact Colonel Gemachew Ayana of Eritrea. (As previously mentioned, Gemachew is in fact an Oromo Liberation Front official, not an Eritrean. Gemachew Ayana also contacted Omar Idris Mahamed, the leader of the entire group, who said that “the Chairman of the Oromo Liberation Front contacted him in August-September 2009 and that he would be given a secret mission. In March 2010, Gemachew instructed Fekadu and his team to return to Addis Ababa”. Fekada “has been in contact with Gemachew Ayana and telephone records indicate at least 27 calls”. Gemachew also made arrangements for remittances to Panel members in Addis Ababa. According to Omar, Gemachew provided the Panel members with the equipment and explosives used in the operation. “It was also Gemachew who provided final instructions and explosives”. In early January, Omar “requested Gemachew to provide additional funds ...”. During the last week of January, “As time approached Omar deemed it necessary to consult Gemachew ... The telephone records show that they spoke 39 times ... Mostly by Gemachew.”","The report covers Eritreans, but it is limited in its secondary role and is based on questionable testimony from detainees.","Even if we were to say so — and Eritrea does not think so — It is quite obvious that the so-called attempts have been carried out by the Oromo Liberation Front throughout.","There are other significant issues in the report.","The report made it clear that the operation was not aimed at the leaders of the African Union and then claimed that one of the targets of the attack was the Sheraton Hotel, where most leaders were staying.","The report states that, as confirmed by the Government of Romania, Romania sold a sniper rifle to Eritrea, which reportedly ended up in the hands of a member of the Panel. We will try to make this matter available to the sanctions committees. But even if we assume that the gun came from the Eritreans, that does not explain how and when the rifle fell into the hands of the Ethiopian Government. On the other hand, the report does not provide any evidence that the most important equipment to be used in the so-called bombing was supplied by Eritrea.","Much of the Monitoring Group ' s statements are based on the Oromo Liberation Front ' s contact list in Asmara, but the Monitoring Group subsequently admitted that this key evidence was in fact obsolete in 2009. Recognizing that this evidence is not persuasive, the Panel, the Monitoring Group, is merely trying to justify itself by claiming that the unnamed “renegade” of former members of the Oromo Liberation Front (OLF) have indicated to the Monitoring Group that the list is currently valid and that the Panel as a whole has overlooked that the testimony of defectors who now cooperate with the Government of Ethiopia cannot be regarded as credible testimony.","This contradicts the assertion that the so-called operation Syababa was designed, planned and directed by Eritrea. It also shows that there is currently no conclusive evidence of Eritrea's involvement, and if we take into account what the so-called leading figures say, it is not even certain that Eritrea has played a limited role, and those who allegedly have command and control are not Eritreans. If more time is available, Eritrea would like to provide more precise further information on this sensational allegation, which reminds us of earlier allegations by the Monitoring Group that Eritrea has sent 2,000 soldiers to Somalia, including even when and how they arrived, and how many people are deployed. This was the crux of an earlier report, which was used as a reason to lobby for sanctions against Eritrea and is now unfounded.","Somalia","Since the so-called Eritrean military support for Al-Shabaab has been a major concern of the Council and is the main reason for the sanctions imposed under resolution 1907 (2009), the Monitoring Group report should have confirmed that Eritrea has not violated resolution 1907 (2009) with regard to military assistance to Al-Shabaab or other armed groups in Somalia. The report refers to a number of unknown sources that claim that Eritrea has delivered weapons to Kismaayo (in fact Ethiopia has publicly made these allegations), but makes it clear that “the reports cannot be corroborated from other sources”.","With regard to financial support, the Monitoring Group states that it has documentary evidence of payments by Eritrea to individuals associated with Al-Shabaab and acknowledges that these documents relate only to 1998. The Monitoring Group maintains that such funding continues, with one source claiming to amount to $80,000 per month without providing any evidence.","Sudan","The Monitoring Group report acknowledges that it is impossible to conclude that Eritrea has provided direct military assistance to groups destabilizing South Sudan in violation of resolution 1907 (2009).","Violations of the arms embargo","The Monitoring Group spoke of reports and circumstantial evidence of arms purchases by Eritrea, but did not indicate that the Monitoring Group had more conclusive evidence. The Monitoring Group added that, in the case of Eritrea, it had not been possible to determine whether any Government had been directly involved in the attempted violations of the arms embargo.","The Monitoring Group report refers to allegations it has received of the involvement of an Eritrean military officer in an Eritrean arms smuggling operation into the Sudan. The Monitoring Group has not produced any evidence in this regard and, in any event, these allegations relate only to the period prior to resolution 1907 (2009).","5. Financing of violations of resolution 1907 (2009)","The report is heavily spaced to make allegations that there may be covert fund-raising activities to assist arms embargo violations. The report also details possible sources of funding to the Government of Eritrea, with particular attention to the contribution of the Eritrean diaspora and the mining sector. Unfortunately, the report repeats allegations (unreliable sources, including individuals with personal aims) that no evidence has been provided to suggest that members of the Eritrean community and the business community are involved in illegal activities. These allegations are aimed at denigrating and tarnishing the reputation of members of the community who are also nationals of the host country, which is a form of defamation of their families and businesses.","The report also entered the legal minefield and found that the contributions of Eritrean nationals were illegal and contrary to the Vienna Convention. The Monitoring Group has not come to a clear conclusion that the arms embargo has been violated, and it is possible that the discussion of self-help activities by sources can only be hypothetical. It seems that the whole approach is to embellish its demands for economic sanctions against Eritrea.","Eritrea ' s response to the Monitoring Group ' s recommendations","The Monitoring Group ' s recommendations for further sanctions against Eritrea violate the content and evidence of its own reporting body. We have seen Eritrea comply with resolution 1907 (2009) on Somalia, Djibouti and the arms embargo. We have also made it clear that there is no conclusive evidence of the allegations that Eritrea planned and attempted to create the bombing in Addis Ababa. In these circumstances, it is fair to call for the immediate lifting of the sanctions imposed on Eritrea, let alone further sanctions. A just approach would also entail measures against the Ethiopian Government, as the Monitoring Group has made clear that Ethiopia is “in violation of the general and complete arms embargo on Somalia”. Significantly, the Monitoring Group was unable to make any recommendations regarding Ethiopia ' s violations of relevant Security Council resolutions, including resolution 1907 (2009).","Conclusions","In its preliminary observations, Eritrea concluded by requesting an opportunity to provide a comprehensive and clear response once the Monitoring Group report is available and has been read. It is clear that no exigency can be invoked as a pretext for taking a hasty and dangerous decision against Eritrea for the second time in just 18 months.","Enclosure","State by Brigadier General Hailu Gonfa and Colonel Gemechu Avana","14 Sepember 2006","We were in office a few days ago, and we have come to the conclution of the country from any country, to the greatest number to Ethropia and the people not from elsewhere but from the first time, the last years, the early years of the country, and instead of being able to do so, we'd be able to do so.","Even though this response may not have any chance of any people in the country, the Republic and the Republic of Korea would not be responsible for any of the consequences of terrorism.","Through the years we served this regime, we served doing things over time and excepted the registrable laws would also deliver and develop laws from the country where people power will be of the people not from Force.","We regent that the regime has fairly, and without serious consideration, subjected this offer of goodwill and continued on its path of translation.","It is time for us to take side in the fight between Tyranny and Liberty.","To the Egyptian Armed Forces","This decision has been taken over the last 15 years. The third time that this programme runs around the world, and does not show any sign of change, which makes all our economies and just makes sense in life.","To the international community","The community of Egyptians does not have the capacity or the capacity to contribute to the country."],"string":"[\n \"Letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council\",\n \"On instructions from my Government, I have the honour to enclose herewith Eritrea ' s preliminary observations on the report of the Monitoring Group on Somalia and Eritrea dated 18 July 2011 (S/2011/433) (see annex). I should be grateful if you would have this letter and its annex circulated as a document of the Security Council.\",\n \"Ambassador and Permanent Representative\",\n \"(Signed) Araya Desta Ambassador Permanent Representative\",\n \"Permanent Representative\",\n \"Preliminary observations by Mr. Yemane Ghebreab, Political Adviser to the President of the State of Eritrea, on the report of the Monitoring Group on Somalia and Eritrea\",\n \"New York, 22 July 2011\",\n \"I would like to take this opportunity to express my delegation ' s gratitude to you for arranging informal consultations as Chair of the Security Council Committee pursuant to resolutions 751 (1992) and 1907 (2009).\",\n \"It must be acknowledged that, despite Eritrea ' s strong reservations on the matter as a whole, the Monitoring Group on Somalia and Eritrea has fully cooperated in the discharge of its mandate.\",\n \"The Monitoring Group travelled to Eritrea twice and held a third informal discussion in Europe. Eritrea also responded to written queries from the Monitoring Group. Eritrea believes that the substance and tone of the Monitoring Group report do not reflect these discussions and is very disappointed. In contrast, Ethiopia commends the Monitoring Group, which is struggling to request an extension of its mandate and to strengthen sanctions against Eritrea.\",\n \"Eritrea is also disturbed that the report of the Monitoring Group was submitted by a high-level international civil servant to the IGAD summit in Addis Ababa. It is inappropriate to resort to selective submissions in order to influence the views of the IGAD leadership that further sanctions against Eritrea were subsequently introduced.\",\n \"Since Eritrea has not been able to obtain a copy of the Monitoring Group's report, following a formal written request, the Eritrean delegation can only provide an initial and realistic response at this point in time. The delegation of Eritrea was presented with information on the report, as well as parts of the report, but was not in a position to provide a full response at this time owing to time constraints and lack of access to the relevant Eritrean authorities to comment on and substantiate allegations contained in the Monitoring Group report.\",\n \"Eritrea therefore reiterates its request to the sanctions Committee to provide a copy of the report and to allow sufficient time for Eritrea to provide a definitive response on the basis of the supporting documentation. That would be fair and reasonable, because it could not be based on a document that Eritrea had not received and had no opportunity to clarify for itself.\",\n \"Eritrea ' s general observations on the report of the Monitoring Group on Somalia\",\n \"This report can be divided into three parts: background information and analysis; the main body of the report, which contains specific allegations; and recommendations.\",\n \"Eritrea ' s general observations on the Monitoring Group report can be divided into the following points:\",\n \"• The background section of the report is full of general statements on the policies, practices and mechanisms of the Government of Eritrea, as well as arbitrary allegations that are not consistent with the actual situation and the subject matter of the report. A rough review of the report would easily give the wrong impressions and conclusions and, after careful reading, would reveal that the report contained many allegations without a solid basis.\",\n \"• The allegations concerning Eritrea contained in the main body of the report are broadly divided into two categories: a detailed description of the allegations giving the wrong impression, although the Monitoring Group on Somalia subsequently admitted that there was no conclusive evidence of these allegations; and allegations of incidents and actions that occurred prior to 23 December 2009, which constituted a deadline to determine Eritrea's compliance with resolution 1907 (2009).\",\n \"• There is no conclusive evidence in the report that Eritrea has committed any violations against Somalia and Djibouti, as has the arms embargo against Eritrea. These points are of great significance, as the wrongs of Eritrea with regard to Somalia, in particular its support for Al-Shabaab, and Djibouti are the basis for sanctions against Eritrea. It is fair to recognize that fact and to decide to lift the sanctions against Eritrea.\",\n \"• The biggest allegation against Eritrea, that is, the call for further sanctions, was based on the sensational allegations of bombings in Addis Ababa during the January 2011 African Federal Summit. It should be noted here that the rules of accusation against Eritrea have been transferred from Somalia and Djibouti to Ethiopia, which is precisely the culprit, the accuser and the source of all “evidence”. Moreover, Eritrea, which had just re-established its mission in Addis Ababa and had participated in the summit for the first time after a long absence, had no reason to undermine the summit of the African Union. Moreover, it would be unreasonable and confusing for Eritrea to consider such a vicious attack. More importantly, Eritrea can clearly and convincingly state that it has not been involved in the planning and commanding of such a conspiracy (a preliminary response to this allegation is set out below).\",\n \"Eritrea ' s observations on the background analysis of the Monitoring Group on Somalia\",\n \"Internal situation in Eritrea\",\n \"The report lacks a balanced vision and presents an extremely negative description of Eritrea that is not in keeping with the facts. As Eritrea stated to the Security Council during the informal interactive dialogue on 19 July 2011, Eritrea is committed to development and has made it its top priority.\",\n \"Relations between Eritrea and Ethiopia\",\n \"While the Monitoring Group recognizes that this issue is also of great importance to Eritrea and plays a crucial role, it has failed to pay due attention.\",\n \"The Monitoring Group acknowledges Ethiopia's positive efforts to destabilize Eritrea and refers to “Eritrea's support for anti-Government armed groups”, but once again fails to give it sufficient attention.\",\n \"In fact, Ethiopia has repeatedly carried out armed incursions, destruction and other terrorist acts against Eritrea, especially against the targets of the extractive industry. Over 30 operations have taken place in the past two years, including one against the headquarters of a Chinese mining company. Ethiopia has also hosted, over a period of nearly 11 years, a wide variety of 16 “Eritrea” subversive terrorist groups, including the Eritrean Islamic Jihad Movement, with the aim of achieving its will to disrupt Eritrea.\",\n \"The report of the Monitoring Group ignores the above-mentioned facts and Ethiopia ' s repeated public threats. Indeed, Ethiopia stated to the members of the Security Council who had gone to visit it that Ethiopia ' s official policy was to overthrow the Government of Eritrea.\",\n \"The major results of the relations between the two countries are:\",\n \"• Two wars: the first 30-year war resulted in 65,000 deaths; the second war killed 20,000. This loss of life can be a terrible loss for a small, small country;\",\n \"• Ethiopia continues to occupy several large and sensitive sovereign Eritrean territories;\",\n \"• Ethiopia has also made clear its intention to take military measures to overthrow the Government of Eritrea.\",\n \"Today, Ethiopia is seeking to disrupt and undermine Eritrea ' s enormous efforts to reach out to the outside world and to promote lasting stability and harmony in the region through economic sanctions and diplomatic isolation.\",\n \"Regional role of Eritrea\",\n \"Once again, the Monitoring Group chose to ignore Eritrea ' s constructive regional role, including its widely recognized contribution to its policy on peace in the Sudan, unwittingly displaying its bias.\",\n \"Eritrea ' s preliminary response to allegations made by the Monitoring Group on Somalia\",\n \"1. Support for armed groups involved in violence, subversion and terrorism\",\n \"The Monitoring Group has just begun to address this issue by identifying officers whom it believes play a key role in directing and conducting Eritrea ' s foreign intelligence operations. The Monitoring Group named seven individuals, most of whom were officers of the armed forces and had no connection with external intelligence services.\",\n \"For example, the Monitoring Group referred to Colonel Gemachew Ayana, who was not even Eritrean. Colonel Gemachew Ayana is an Ethiopian citizen and a former member of the Ethiopian armed forces. He had been the commander of a mechanized division of the Ethiopian army, while in 2003 he was accused of secretly participating in and being dismissed from the Oromo Liberation Front, along with dozens of other Oromo Liberation Front officers. About three years later, he joined the Oromo Liberation Front. Given that these are very easy facts to verify, it is also surprising why the Monitoring Group continues to claim in its report that this individual is an Eritrean officer in the field of external intelligence. As we can see, Gemachew was accused of playing a key role in the so-called bombing plot in Addis Ababa. A statement by Colonel Gemachew is attached (see enclosure).\",\n \"2. Training facilities\",\n \"Eritrea ' s military installations and their locations are not secret. Contrary to the Monitoring Group report, the National Security Agency of Eritrea did not conduct any military training. It is important that most of the information contained in the Monitoring Group ' s report predates resolution 1907 (2009) and is therefore irrelevant.\",\n \"3. Alleged assistance to armed groups in violation of resolution 1907 (2009)\",\n \"Djibouti\",\n \"Although the report contains two allegations of so-called “limited Eritrean support”, its sources are at least questionable. It is difficult to imagine a “former commander of the Front pour la démocratie unifié” held by the Government of Djibouti as a credible source of information. Although the individual claims that Eritrea “provides food, medicine and medical treatment to wounded soldiers”, he denies having received any weapons or military equipment. He said that FRUD had purchased uniforms, weapons and ammunition from Yemen. This claim is different from the Djiboutian authorities ' claim that this person admitted that Eritrea had supplied weapons. In addition, this allegation by the Monitoring Group relates to the period prior to December 2009, while the latest version of Eritrean involvement is in October 2009.\",\n \"Only one other allegation was made in the report, alleging that in February 2011 Djibouti military seized 50 kilograms of hidden explosives in a cave. According to the Monitoring Group, these explosives are Soviet-era products and “can no longer trace their origin and chain of custody”. Since there are no allegations of Eritrean involvement, why are they included in the chapter on Eritrean violations?\",\n \"There is clearly no evidence that Eritrea has violated resolution 1907 (2009) against Djibouti.\",\n \"Ethiopia\",\n \"At the heart of the Monitoring Group ' s (and Ethiopia ' s) terrorist conspiracy against Eritrea and its destabilization of the region, as noted above, was the alleged bombing plot in Addis Ababa during the African Union summit in January 2011. The Monitoring Group claims that “although this appears to be an Oromo Liberation Front operation”, there is indeed an Eritrean National Security Agency concept, plan and command. The Monitoring Group concluded that “the operation was in fact an Eritrean intelligence operation, but was mistakenly crowned as an Oromo Liberation Front initiative”.\",\n \"The description of the operation was vivid, with several pages of paper spilled over, obfuscated, contradictory and porous. If given the opportunity, Eritrea will present a detailed statement that will prove to be totally unfounded the Monitoring Group ' s allegations against Eritrea. As for the role played by the Oromo Liberation Front, the organization itself could clarify.\",\n \"In this preliminary response, Eritrea submits the following facts and evidence to demonstrate that the Monitoring Group ' s allegations are not based on conclusive evidence.\",\n \"The sources and the “basis” behind the allegations are questionable and not credible. The Monitoring Group on Somalia acknowledges that its only sources are alleged perpetrators detained by Ethiopian security services and Ethiopian security personnel. It is clear that the Ethiopian Government, which is hostile to Eritrea and actively promotes further sanctions, has the will and means to manipulate, disguise, distort and even fabricate evidence. It is also clear that, for a Government that is known to have resorted to torture, the testimony of any person detained in his or her hands will not contradict the official version of the Ethiopian Government, as this would have serious consequences for the detainee.\",\n \"Another fact raises serious questions about the testimony of the detainees, who claimed that Colonel Gemachew Ayana, who played a central role, was an Eritrean intelligence officer, not an Oromo Liberation Front official, as described above. If the informants had played the role they described in the so-called conspiracy, they would have known that Gemachew was in fact an Oromo Liberation Front official. If they knowingly misled (in the absence of sufficient evidence and trusting the Monitoring Group) that the Monitoring Group believed that it was an Eritrean intelligence officer, those persons must have been led by their captors with the clear intention of discrediting Eritrea.\",\n \"The Monitoring Group ' s claim that Eritrean officials played an important role in the bombing is clearly false and contradicts its own claim. In support of its assertion that the Addis Ababa bombing plan was an Eritrean operation, the Monitoring Group on Somalia stated that there was only one Oromo Liberation Front detainee “it appears that Omar Idris Mahamed, the leader of the Oromo Liberation Front, maintained regular contact with the Oromo Liberation Front leadership ... while other Panel members were not linked to the Oromo Liberation Front organizational structure from the time of recruitment and were directly trained and directed by Eritrean officials”.\",\n \"The Monitoring Group added that, according to Omar (the Panel leader), “only the Chairman of the Oromo Liberation Front, Dawud Ibsa, is aware of the existence of the operation and its objectives, but does not appear to command or control it”.\",\n \"However, according to the report, there is still no way to believe that the officials of the Oromo Liberation Front played an important role.\",\n \"That is what the report says. As early as 2008, an Oromo Liberation Front associate in Kenya introduced Team 1 leader Fekadu to contact Colonel Gemachew Ayana of Eritrea. (As previously mentioned, Gemachew is in fact an Oromo Liberation Front official, not an Eritrean. Gemachew Ayana also contacted Omar Idris Mahamed, the leader of the entire group, who said that “the Chairman of the Oromo Liberation Front contacted him in August-September 2009 and that he would be given a secret mission. In March 2010, Gemachew instructed Fekadu and his team to return to Addis Ababa”. Fekada “has been in contact with Gemachew Ayana and telephone records indicate at least 27 calls”. Gemachew also made arrangements for remittances to Panel members in Addis Ababa. According to Omar, Gemachew provided the Panel members with the equipment and explosives used in the operation. “It was also Gemachew who provided final instructions and explosives”. In early January, Omar “requested Gemachew to provide additional funds ...”. During the last week of January, “As time approached Omar deemed it necessary to consult Gemachew ... The telephone records show that they spoke 39 times ... Mostly by Gemachew.”\",\n \"The report covers Eritreans, but it is limited in its secondary role and is based on questionable testimony from detainees.\",\n \"Even if we were to say so — and Eritrea does not think so — It is quite obvious that the so-called attempts have been carried out by the Oromo Liberation Front throughout.\",\n \"There are other significant issues in the report.\",\n \"The report made it clear that the operation was not aimed at the leaders of the African Union and then claimed that one of the targets of the attack was the Sheraton Hotel, where most leaders were staying.\",\n \"The report states that, as confirmed by the Government of Romania, Romania sold a sniper rifle to Eritrea, which reportedly ended up in the hands of a member of the Panel. We will try to make this matter available to the sanctions committees. But even if we assume that the gun came from the Eritreans, that does not explain how and when the rifle fell into the hands of the Ethiopian Government. On the other hand, the report does not provide any evidence that the most important equipment to be used in the so-called bombing was supplied by Eritrea.\",\n \"Much of the Monitoring Group ' s statements are based on the Oromo Liberation Front ' s contact list in Asmara, but the Monitoring Group subsequently admitted that this key evidence was in fact obsolete in 2009. Recognizing that this evidence is not persuasive, the Panel, the Monitoring Group, is merely trying to justify itself by claiming that the unnamed “renegade” of former members of the Oromo Liberation Front (OLF) have indicated to the Monitoring Group that the list is currently valid and that the Panel as a whole has overlooked that the testimony of defectors who now cooperate with the Government of Ethiopia cannot be regarded as credible testimony.\",\n \"This contradicts the assertion that the so-called operation Syababa was designed, planned and directed by Eritrea. It also shows that there is currently no conclusive evidence of Eritrea's involvement, and if we take into account what the so-called leading figures say, it is not even certain that Eritrea has played a limited role, and those who allegedly have command and control are not Eritreans. If more time is available, Eritrea would like to provide more precise further information on this sensational allegation, which reminds us of earlier allegations by the Monitoring Group that Eritrea has sent 2,000 soldiers to Somalia, including even when and how they arrived, and how many people are deployed. This was the crux of an earlier report, which was used as a reason to lobby for sanctions against Eritrea and is now unfounded.\",\n \"Somalia\",\n \"Since the so-called Eritrean military support for Al-Shabaab has been a major concern of the Council and is the main reason for the sanctions imposed under resolution 1907 (2009), the Monitoring Group report should have confirmed that Eritrea has not violated resolution 1907 (2009) with regard to military assistance to Al-Shabaab or other armed groups in Somalia. The report refers to a number of unknown sources that claim that Eritrea has delivered weapons to Kismaayo (in fact Ethiopia has publicly made these allegations), but makes it clear that “the reports cannot be corroborated from other sources”.\",\n \"With regard to financial support, the Monitoring Group states that it has documentary evidence of payments by Eritrea to individuals associated with Al-Shabaab and acknowledges that these documents relate only to 1998. The Monitoring Group maintains that such funding continues, with one source claiming to amount to $80,000 per month without providing any evidence.\",\n \"Sudan\",\n \"The Monitoring Group report acknowledges that it is impossible to conclude that Eritrea has provided direct military assistance to groups destabilizing South Sudan in violation of resolution 1907 (2009).\",\n \"Violations of the arms embargo\",\n \"The Monitoring Group spoke of reports and circumstantial evidence of arms purchases by Eritrea, but did not indicate that the Monitoring Group had more conclusive evidence. The Monitoring Group added that, in the case of Eritrea, it had not been possible to determine whether any Government had been directly involved in the attempted violations of the arms embargo.\",\n \"The Monitoring Group report refers to allegations it has received of the involvement of an Eritrean military officer in an Eritrean arms smuggling operation into the Sudan. The Monitoring Group has not produced any evidence in this regard and, in any event, these allegations relate only to the period prior to resolution 1907 (2009).\",\n \"5. Financing of violations of resolution 1907 (2009)\",\n \"The report is heavily spaced to make allegations that there may be covert fund-raising activities to assist arms embargo violations. The report also details possible sources of funding to the Government of Eritrea, with particular attention to the contribution of the Eritrean diaspora and the mining sector. Unfortunately, the report repeats allegations (unreliable sources, including individuals with personal aims) that no evidence has been provided to suggest that members of the Eritrean community and the business community are involved in illegal activities. These allegations are aimed at denigrating and tarnishing the reputation of members of the community who are also nationals of the host country, which is a form of defamation of their families and businesses.\",\n \"The report also entered the legal minefield and found that the contributions of Eritrean nationals were illegal and contrary to the Vienna Convention. The Monitoring Group has not come to a clear conclusion that the arms embargo has been violated, and it is possible that the discussion of self-help activities by sources can only be hypothetical. It seems that the whole approach is to embellish its demands for economic sanctions against Eritrea.\",\n \"Eritrea ' s response to the Monitoring Group ' s recommendations\",\n \"The Monitoring Group ' s recommendations for further sanctions against Eritrea violate the content and evidence of its own reporting body. We have seen Eritrea comply with resolution 1907 (2009) on Somalia, Djibouti and the arms embargo. We have also made it clear that there is no conclusive evidence of the allegations that Eritrea planned and attempted to create the bombing in Addis Ababa. In these circumstances, it is fair to call for the immediate lifting of the sanctions imposed on Eritrea, let alone further sanctions. A just approach would also entail measures against the Ethiopian Government, as the Monitoring Group has made clear that Ethiopia is “in violation of the general and complete arms embargo on Somalia”. Significantly, the Monitoring Group was unable to make any recommendations regarding Ethiopia ' s violations of relevant Security Council resolutions, including resolution 1907 (2009).\",\n \"Conclusions\",\n \"In its preliminary observations, Eritrea concluded by requesting an opportunity to provide a comprehensive and clear response once the Monitoring Group report is available and has been read. It is clear that no exigency can be invoked as a pretext for taking a hasty and dangerous decision against Eritrea for the second time in just 18 months.\",\n \"Enclosure\",\n \"State by Brigadier General Hailu Gonfa and Colonel Gemechu Avana\",\n \"14 Sepember 2006\",\n \"We were in office a few days ago, and we have come to the conclution of the country from any country, to the greatest number to Ethropia and the people not from elsewhere but from the first time, the last years, the early years of the country, and instead of being able to do so, we'd be able to do so.\",\n \"Even though this response may not have any chance of any people in the country, the Republic and the Republic of Korea would not be responsible for any of the consequences of terrorism.\",\n \"Through the years we served this regime, we served doing things over time and excepted the registrable laws would also deliver and develop laws from the country where people power will be of the people not from Force.\",\n \"We regent that the regime has fairly, and without serious consideration, subjected this offer of goodwill and continued on its path of translation.\",\n \"It is time for us to take side in the fight between Tyranny and Liberty.\",\n \"To the Egyptian Armed Forces\",\n \"This decision has been taken over the last 15 years. The third time that this programme runs around the world, and does not show any sign of change, which makes all our economies and just makes sense in life.\",\n \"To the international community\",\n \"The community of Egyptians does not have the capacity or the capacity to contribute to the country.\"\n]"}}},{"rowIdx":86,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程[1] 项目69(b)","促进和保护人权：人权问题,包括增进 人权和基本自由切实享受的各种途径","适足住房权利","秘书长的说明","秘书长谨向大会转呈适足生活水准权所含适足住房问题和在这方面不受歧视权问题特别报告员拉克尔·罗尔尼克女士根据人权理事会第15/8号决议第2(h)段提交的报告。","适足生活水准权所含适足住房问题特别报告员的报告","摘要","本报告着重论述在灾后环境下实现适足住房权。本报告评价人权标准 和准则，这些标准和准则与一种以适足住房权为根据的救灾方法有关；并讨论现有的某些局限因素。本报告详细阐述在救灾活动中保障和实现适足住房权的关键挑战：不关注或者歧视脆弱和弱势群体；过分强调个人财产权，以及与在财产归还和恢复计划中平等地承认和解决错综复杂的土地权形式有关的困难；将灾后重建主要作为让少数人受益的商业或者开发计划的风险；以及现有重建和恢复框架的局限之处。本报告最后扼要介绍了一种救灾方法的基本情况，这种方法有针对性地全面纳入了适足住房权。","目录","页 次","一、导言 4","二、对应对自然灾害的法律和政策框架的评估 4","三、歧视和脆弱性：灾害的影响及救灾措施中的复合因素 6","A. 受灾害影响最严重的弱势群体 7","B. 灾害所暴露出来的忽视和歧视现象 8","C. 忽视或者歧视最脆弱群体的恢复对策 8","四、一视同仁地承认和保护各种形式的土地权，从归还到持久解决方案 10","A. 全面看待住房和财产归还问题 11","B. 为实施持久解决方案而承认实际存在的土地权利 13","五、灾害成为机会——谁的机会？ 15","A. 从沿海地带和城市重新开发到重建工作外包 15","B. 尽职尽责地保障适足住房权 17","六、恢复与持久解决方案：解决适足住房权的方方面面 18","A. 对住房和财产的不当关注 18","B. 解决救济和恢复努力中更广泛的问题 19","C. 应急阶段与长期恢复之间缺乏联系 20","七、结论 21","八、建议 21","A. 一般框架：以适足住房权为根据的救灾工作 22","B. 后续行动建议 24","一、导言","1. 本报告着重论述在灾后环境下实现适足住房权。应当结合提交给人权理事会的报告(A/HRC/16/42)阅读本报告，其中，特别报告员探讨了冲突后环境与灾后环境共同面临的问题。","2. 尽管冲突后环境与灾后环境存在许多共同之处，但是灾后环境面临着某些挑战，需要采取不同的对策。考虑到世界范围内灾害的发生越来越普遍，产生了前所未有的破坏性后果，[2] 这种趋势有可能随着气候变化、快速城市化和人口增长而持续下去，与冲突后环境相比，能够解决灾后适足住房权问题的经验和准则相对较少，因此特别报告员决定关注灾害问题。[3] 特别报告员还借机对海地进行了视察(2011年6月8日至11日)，以评价2010年1月地震之后的重建和救济工作，这次视察活动极大地充实了她对本报告的见解，突出了关注灾害问题的必要性。[4]","3. 在适足住房权方面进行灾后重建和恢复工作，这种方法具有重大意义。特别报告员担心，到目前为止，除了若干明显的例外情况，救灾和恢复工作仍然以狭隘的眼光看待适足住房权的内容，在某些情况下导致这项权利受到侵犯。本报告的第一部分评估相关的准则。第二至五部分详细阐述重大挑战。本报告最后扼要介绍了一种救灾方法的基本情况，这种方法有针对性地全面纳入了适足住房权，本报告还提出了采取后续措施的建议。","二、对应对自然灾害的法律和政策框架的评估","4. 尽管存在一些确保灾后环境下适足住房权的标准和准则，但是对这些标准和准则的理解和运用往往是不全面的。[5] 就像下文将要讨论的那样，还有其他更具体的限制因素。","5. 《经济、社会、文化权利国际公约》(第11条)极其明确地确认适足住房权。经济、社会和文化权利委员会强调对这项权利作广义解释的重要性，确定了各国必须逐步实现适足住房权的七个方面：保有权保障；服务、物资、设施和基础设施的提供；价格适中；适宜居住；进出方便；地点以及适当的文化环境。[6] 这七个方面以及源于适足住房权的应对驱逐和重新安置问题的保障措施[7] 与救灾存在联系，也是参与、不歧视和平等的人权原则的体现。[8]","6. 但是，应对灾情的现有指导原则对适足住房权不够重视。提到适足住房权的时候，这项权利局限于提供庇护所、住房或者提供保护的需要。[9] 更加全面地探讨适足住房权问题的努力为数不多，这些努力停留在各个组织的指导意见层面，没有采用普遍适用的权威政策形式。[10] 联合国人权机制——除了若干明显的例外情形——同样没有着手解决灾情的特殊问题及其对享受适足住房权或者其他人权的影响，仍然是笼统的机制。[11]","7. 大多数从人权角度着眼处理灾害问题的措施反而关注特定群体，尤其是国内流离失所者和难民。《国内流离失所问题指导原则》在这方面非常重要，已被公认为是在冲突后和灾后环境下保护国内流离失所者的一个重要国际框架。[12] 尽管起初注意力集中于保护冲突和冲突后局面下国内流离失所者，近些年来也制定了应对自然灾害的政策和行动准则，其适用范围扩大到所有遭受灾害影响的人，包括但不限于国内流离失所者。在这方面，《机构间常设委员会关于在发生自然灾害时保护人员的行动准则》(《机构间常委会准则》)是一份重要文件。[13] 这些准则和上述指导原则承认由于冲突或者灾害而流离失所者有权享受持久解决方法，即返回他们的家园或常住地(而且，作为持久回归的关键条件，应当向流离失所者归还住房或者土地)、异地安置或者融入当地社会。[14]","8. 《2005年归还难民和流离失所者住房和财产原则》[15] (《皮涅罗原则》)进一步承认难民和流离失所者可享有单独的“得到复原的权利”(涵盖住房、土地及/或其他财产)。[16] 一个重要的问题是《皮涅罗原则》是否适用于灾后情形。这个问题的意图似乎是《皮涅罗原则》应当适用，而第1.2项原则所蕴含的中心思想是不论由于何种原因而流离失所，流离失所者的处境是类似的，他们有权返回常驻地，因而有权得到复原。有人以此为根据将《皮涅罗原则》解释为适用于所有自然灾害情形。[17] 但是，其他人指出《皮涅罗原则》明确限于“肆意或非法剥夺”流离失所者从前的家园、土地或者常驻地。[18]","9. 这并不意味着《皮涅罗原则》与自然灾害情形无关。首先，灾害发生后，实际出现肆意或非法剥夺或毁坏住房或者土地的事件时，包括可以说是剥夺流离失所者享有返回家园的权利(见下文第四部分)，以及发生国家在防灾、减灾或者预警系统方面无故有过失的事件时，《皮涅罗原则》是完全适用的。[19] 第二，《皮涅罗原则》指明了与流离失所者和难民返回家园的权利有关的现有准则，就如何最好地处理与住房、土地和财产归还有关的技术和法律问题提供了相关指导意见，这些指导意见在此后的政策和实践中均有不同程度的体现。","10. 因此，充分考虑适足住房权的救灾方法将会综合上述各种准则和原则，适足住房权的各种要素成为这种方法的核心。本报告最后一节建议将上述准则纳入一个统一的概念性行动框架之内。","三、歧视和脆弱性：灾害的影响及救灾措施中的复合因素","11. 人们普遍认为，脆弱性是减少和管理灾害风险的一个重要因素。[20] 最脆弱的群体，如贫困群体或者土地权没有保障的群体，更有可能居住在容易发生灾害的地方；倘若发生灾害，他们还面临着流离失所和丧失生计的更大危险；要从灾害的影响下恢复原状，他们将会遭遇更大的困难。","12. 在许多时候，直接或间接的歧视现象加剧了脆弱性，从而影响到个人和群体免遭灾害影响和从灾害影响下恢复的能力。歧视现象与灾害和救灾的关系也许不是一目了然的。实际上，“自然灾害”这个用语可以被看作排除责任，这又意味着不可能存在歧视。然而，人们确信，对于自然危险造成的损失，其影响之大，分布之广，在很大程度上是人为的(见A/60/227)。备灾、减灾和救灾全都受制于或者取决于国家的作为或者不作为，因此可能具有歧视性。","13. 平等和不歧视原则是国际人权法的坚定原则。对不歧视和平等的关注要求各国政府和援助组织格外关注灾害发生之前的脆弱性和不平等现象；在灾害发生之后，各国政府和援助组织应当着手解决各种不平等现象，保护最脆弱的群体。联合国条约机构已经指出，即便在严峻的资源匮乏时期——就像灾害发生以后往往出现的情形——各国仍然担负着保护社会脆弱成员的特定义务。[21] 各国还应当采取特别措施，以确保弱势群体能够充分和平等地享有人权。[22] 在灾后情形下，这类措施可能转化成支助最脆弱群体回归家园或者为没有土地或者无家可归的家庭找到土地/住房的特殊援助。","A. 受灾害影响最严重的弱势群体","14. 2005年，卡特里娜飓风袭击新奥尔良市，非裔美国人和穷人(这两类人的区别在很大程度上是模糊不清的[23])首当其冲，这是因为他们中的大多数人通常居住在这座城市地势低洼、更容易发生洪灾的区域。此外，都市地带的大量居民(他们普遍贫困)缺乏摆脱洪灾的办法。[24] 因此，卡特里娜飓风的特定影响和代价与先前存在的社会、经济和土地利用模式密不可分，与住房和城市规划政策有直接关系。","15. 在洪都拉斯，1998年的米奇飓风发生之后，遭受风灾严重影响的群体包括贫困妇女、农民和土著群体，他们当中的许多人生活在土地权利没有保障和容易发生强风、洪水和滑坡的脆弱地区(见A/HRC/16/42，第32段)。在哥伦比亚，从2010年持续到2011年的洪灾据说已经严重影响到由于冲突而流离失所的人，特别是土著人和非裔哥伦比亚人——他们往往居住在容易遭受武装团体暴力侵袭的偏远地带。[25]","16. 2010年的巴基斯坦洪灾发生后，贫穷和弱势的群体由于没有资产或者福利保障，在这场灾害中首当其冲。那些由于洪水而流离失所并且丧失财产和生计的人大多是居住不固定/半永久性住房内的无地租户和劳工。[26]","B. 灾害所暴露出来的忽视和歧视现象","17. 海地地震加剧和暴露了一个到目前为止相对不为人知的问题，那就是大多数太子港居民所居住的非正规房屋的状况很差。[27] 这些房屋与其他地方的许多其他房屋一样，都是自发修建的，从未得到当局的正式承认。这些房屋没有或者几乎没有基本的基础设施和服务。由于发生地震，许多居民迁入帐篷，他们这样做或者是由于他们居住的房屋或者社区已经被毁或者损坏，或者是为了能够得到食物或者医疗援助，参与“以现金支付工资”方案，节省房租(对于租户而言)或者有望得到住房。","18. 地震发生之后十六个月，仍有634 000人居住在1 000多顶帐篷内。观察人士指出，与2010年相比，居住在帐篷内的人数下降更慢，这表明人们无法迁徙到其他地方或者人们已经决定不论在帐篷内生活的境况多么危险，这种生活仍然胜过在出生地的境况。[28] 海地地震因此突出了根深蒂固的歧视和忽视的情形。其他地方的灾害也产生了类似的影响。[29]","C. 忽视或者歧视最脆弱群体的恢复对策","19. 恢复工作由于忽视或者直接歧视某些群体，可能使某些先前存在的脆弱和弱势形式长期存在下去，甚至加重这种形式。妇女常常遭遇这种情况。2004年印度洋海啸发生之后，有报道称国际社会的应对措施在许多情况下巩固了“那些更富裕者和/或更加能言善辩者的地位……那些没有多少资产的人，尤其是妇女，反而被边缘化了。”[30] 比方说，救济工作和政策导致妇女无法获得生计援助，有时直接损害了妇女先前享有的权利，例如她们在母系社区内享有的获得住房或者土地的权利。[31] 妇女的土地权恰好又没有保障——她们通常处于这种境地，因为她们能否获得住房和土地常常取决于与男子的关系，或者由于她们作为家庭的唯一家长，面临着更大的困难，因此她们的处境格外脆弱。[32]","20. 根据救灾工作是解决经过正式登记的个别财产所有人的境遇，还是解决所有拥有其他类型土地权安排的人的境遇，救灾工作的差别似乎很大。已经指出，在大多数住房重建方案中，土地权文书和法定权利证明是成为方案受益人的先决条件，结果是最贫困和最脆弱的群体，包括在非正规房屋内居住，只有临时或者非正式土地权的人被排斥在外。[33] 在一些国家，流离失所的租户和擅自占地者往往发现自己无缘享受旨在替换房主资产的永久住房计划。[34]","21. 灾后需求评估中也发现了类似的局限之处。尽管可以讨论土地权和土地所有权的条件并且承认这些条件具有原则性的重要意义，但是在具体的政策、策略和各部门实际优先办理的事务中，这些条件并非总是得到落实。例如，国际金融机构和巴基斯坦政府在洪灾之后进行的灾后需求评估中，所提出的住房和重建战略没有谈及土地所有权或者土地权问题，只是关注住房重建的技术和费用。此外，其他部门优先制定的与土地有关的政策，例如农业政策，据称使土地所有者受 惠。[35]","22. 多种脆弱性和歧视因素往往交互作用，相互产生影响。在卡特里娜飓风之后，普遍发现美国联邦政府和州政府的救灾措施不能支助低收入租户(主要是非裔美国人)，而且不能解决妨碍他们获得廉价住房的种种障碍。[36] 尽管制定了一项联邦住房券计划，但是实际上持有租金券的家庭难以找到出租房。原因是公共房屋和出租房屋短缺(不仅由于风灾受损而且由于后来作出的大规模削减公共房屋的决定)、房租上涨、土地所有者的歧视[37]、出租房屋建设缓慢以及墨西哥湾沿岸各州决定大部分联邦资金用于修缮房主的房屋而不是修缮出租住房。[38] 由于可供选择的出租房屋非常有限，相当数量的家庭事实上被禁止返回他们的城市和从前的家园；[39] 这导致无家可归者人数上升。[40]","23. 上述事例表明歧视以及脆弱性如何成为与灾害影响和救灾措施有关的一个关键因素。以土地权状况为基础的歧视凸显了一个更广泛的问题，即政府、国际组织和国内组织都不愿意或者不能够一视同仁地充分承认和保护各种土地权。","四、一视同仁地承认和保护各种形式的土地权，从归还到持久解决方案","24. 特别报告员指出土地权保障在适足住房权利中的核心地位。土地权保障不等于私人所有权，[41] 也不局限于赋予正式的法定产权。除了私人所有权以外，还有多种多样的合法土地权安排，[42] 例如公共或者私人出租房屋、合作住房、租赁、占有/租赁土地或者非正规房产，以及通过习惯上的或者传统上的安排实现的其他用益权或者占有权——这些土地权利均须办理不同程度的手续。[43] 有理由认为只有少数自然灾害的受害者可能对其房屋或者土地实际上享有经过正式登记的个人所有权。","25. 尽管如此，特别报告员担心，就像上文第三部分证明的那样，灾后的政策和做法偏向个人私人所有权。第四部分将着重探讨与归还有关的——以及在更广泛意义上与持久解决方案有关的——政策和做法，借以说明个人财产所有权与其他形式的土地权实际存在的紧张关系。","A. 全面看待住房和财产归还问题","26. 《皮涅罗原则》对于“住房和财产”归还权利作了最为具体的阐述。通过《皮涅罗原则》的时候，明显需要对于财产归还所必需的程序和机制加以指导，《皮涅罗原则》对这种需要作出了回应。如今，由于回返和归还的方案已经适用于更加多样化的背景和情势，是根据这种实践仔细考虑并且重新阐释《皮涅罗原则》的时候了。","27. 在具体制定《皮涅罗原则》时，以及《皮涅罗原则》提出的确定财产或者土地权利请求的机制，并没有相当清楚地确认各种形式的土地权利，[44] 其他人已经批评《皮涅罗原则》过分关注个人财产所有权以及正式的和经过登记的权利请求情形。《皮涅罗原则》在一项单独的条文中(原则16)提及“土地保有人和其他非所有人的权利”，可以认为《皮涅罗原则》质疑这些权利是否与个人财产所有权处于平等的地位。同样，在同一项原则里要求财产归还机制“在最大程度上”承认拥有正式所有权以外的房屋和土地权利的人需要澄清权利性质，不过这项原则可以理解为提出一项切合实际的建议，而不是意味非所有人的法定权利存在局限。[45]","28. 必须根据制定《皮涅罗原则》的特定背景对该原则加以理解。虽然制定《皮涅罗原则》的资料来源多种多样，但形成《皮涅罗原则》的是当时施行的正式归还机制(尤其是在波斯尼亚和黑塞哥维那施行的机制)的实践经验——其背景主要是正式登记的私人财产和南斯拉夫法律所称的“社会所有”公寓。[46] 波斯尼亚和黑塞哥维那的归还机制与其他地方的机制一样受到批评，被认为几乎没有照顾那些没有财产或者不具有得到承认的正式产权的人，无法依据形形色色的习惯法、国家法或者宗教法处置错综复杂的非正规土地权制度。[47]","29. 特别报告员建议必须将住房和财产归还理解为归还与灾害发生前的住房或者土地有关的任何土地权利，不论土地权利状况如何抑或住房或者土地是否经过正式登记。在《南非土地权利归还法》以及近来关于持久解决方案的工作指导意见中可以找到这种方法的事例。[48] 在没有首先对《皮涅罗原则》的条文深入讨论和阐述的情况下，应当系统地将《皮涅罗原则》理解为包含多种多样的情形和土地权利。《皮涅罗原则》的一些要素表明归还概念具有适当的宽泛性，例如系统地使用“住房、土地和财产”而不是仅仅使用“财产”这个表述。[49]","30. 《皮涅罗原则》对归还持有这种更全面的看法，其依据是国家承担与适足住房权有关的义务，尊重和确保全体人民的土地权保障，不论土地权体现为何种形式。这种方法承认那些不属于正式登记财产个人所有人的人也是享有权利的人。尽管由于背景不同，灾后和冲突后的需求也会有所不同，人权责任的类型却是相同的。应当以此为根据看待和贯彻财产归还制度。","31. 应当进一步审视这种将归还制度视为救济权组成部分的全面见解的实际意义，以便清楚有力地指导各种情况。[50] 但是，就本报告而言，应当铭记《皮涅罗原则》对灾情作出了合格的评估(见上文第二部分)，财产归还制度往往是回返及其他持久解决方案的一项条件，而不是一种法律救济。明白各种形式的土地权具有平等的合法地位，这不仅与归还制度有关，甚至与确保持久解决方案和恢复的努力有关。在此等情况下，倘若人们不能够或者不愿意回返，国家以及国际组织不论是在他们从前的居住地还是在其他地方，都必须评估所有受灾者的土地权利，并且采取措施保证和确保灾后的土地权保障。[51] 再者，不歧视和平等原则要求各国和国际组织优先援助那些土地权最缺乏保障的人，对于那些土地权薄弱、不明确或者脆弱的人，加强他们的土地权保障，这项义务在救济和恢复工作中常常遭到忽视。","B. 为实施持久解决方案而承认实际存在的土地权利","32. 在土地保有不够明确，有关住房或者土地的权利请求所依据的法律和习惯安排纷繁复杂，有时相互矛盾的情况下，国际机构不大愿意对这样的回返地或者重新安置地进行投资。在这方面，城市地区的重建活动可能格外艰巨，因为这些地区的土地所有权和地产保有问题往往错综复杂。","33. 在海地开展工作的许多组织明显地表现出这种心态。一项评估明确表示：","土地市场的状况混乱不堪，基本上无法可依。土地所有权记录荡然无存或者含糊不清。土地缺乏清晰的产权或者没有经过核实的所有人出具的书面同意，以致难以向潜在的受益人提供新住房或者支持他重新占有先前的住房。[52]","显然，这已经成为海地重建和回返迟延的原因之一。同样，在印度洋海啸发生之后，各级政府颁布了若干相互矛盾的土地利用政策和限制措施，由此发生的争端据称给国际恢复工作造成了种种障碍，严重损害了为实现灾害风险管理所付出的努力。[53]","34. 在这种背景下，必须区分两项任务：长期来说，可能需要通过法律改革及其他机制，例如标明土地产权，正式登记并巩固所有权或者地产保有，由此明确解决许多人发觉的含糊不清或者无法确定的情形。不过就短期而言，上述措施可能不是满足重建和恢复需求而又不加重不平等现象的最适宜的办法。[54] 经验还表明试图在灾害或者冲突发生后立即解决所有的所有权/地产保有和土地改革问题将会遇到艰巨的挑战。巴基斯坦政府指出：“充分理解土地保有问题在社会、政治、技术和法律方面的复杂性，明白这些复杂之处不限于受灾地区，这是极其重要的。”[55] 短期来说，通过迅速的方法评估灾害发生前的地产保有权利，以便更有效地实现重建和恢复，确保人人得到最低程度的土地权保障，并且解决解决某些最重要的不平等和不安全现象，这种做法仍然是必要而且适宜的。","35. 为重建和回返确定住房或者土地权利请求的最适宜办法取决于地产保有或者财产安排、正式手续和登记以及资源等方面的特定环境。正如已经讨论的那样，正式的行政或者司法财产归还机制在一些情形下，尤其是以多种多样的地产保有安排为特征的情形下，可能并不适用或者适合。[56]大湖区问题国际会议的《回返者财产权议定书》在这方面提供了比《皮涅罗原则》更全面的方法，规定行政当局和传统当局都应当解决财产纠纷，由此承认传统上和习惯上的土地体系的重要性。[57] 《议定书》还设想出在社区解决纠纷的替代性和非正规机制，将以证人证言为根据的所有权证明作为要件。[58] 实际上，支助难民或者流离失所者回返的组织经常借助习惯法和传统冲突解决机制化解土地纠纷。[59] 但是必须小心谨慎，以免妇女或者其他特别容易遭受歧视的人在上述纠纷解决过程中不会遭到排斥或者处于不利境地。","36. 更进一步的是“社区”或者“参与式”查点做法。此类参与式程序已经在不同国家用于不同目的，例如用于确定和加强非正规房屋的地产保有权利，或者用于土地裁决。[60] 在没有土地簿记的情况下，在灾害发生后土地簿记被毁的情况下，或者在多种地产保有安排的背景下，社区查点可以提供有希望而且灵活的替代办法，以确定灾害发生前或者冲突发生前的占有和地产保有状况，由此确保地产保有具有一定程度的确定性和安全性，为持久解决方案提供资料。社区查点项目在印度洋海啸发生后得以实施，[61] 这些项目已开始在海地实施。应当从确定(适用于灾后情形的)成功的社区测绘程序的关键因素和先决条件的经验中吸取教训，包括此类程序与更正规的或者政府领导的鉴定或者土地管理程序之间的关系，以及需要利用冲突解决机制辅助这些程序。[62]","37. 尽管由于背景不同，评估、尊重和加强土地权保障的机制也有所区别，但是不论在何种情况下这些机制都必须受人权原则指引，例如受灾社区参与和两性平等原则。","五、灾害成为机会——谁的机会？","38. 通常认为灾害创造了“白板”，从而为开展大规模的改革和艰巨的重新开发提供了重大机遇。灾害不仅为保护和促进人权带来了种种机遇，也带来了重大的风险。特别报告员担心，在某些情况下，重大的重新开发活动尽管使某些人受益，却由于作为或者不作为而忽视了最脆弱的群体，事实上违背了适足住房权的关键因素。","A. 从沿海地带和城市重新开发到重建工作外包","39. 许多人认为2004年印度洋海啸为重新开发提供了重大机遇，而重新开发活动有时候是以公共安全和减少灾害风险的名义进行的。海啸发生后，一些遭受海啸侵袭的国家确实在沿海设立了禁止重建房屋的地带(缓冲区)；这些地带宽约100到500米，在某些情况下，如果充分落实有关缓冲区的规定，将会需要重新安置超过100 000座房屋。[63] 缓冲区据说是使居民今后免遭灾害侵袭，可是缓冲区也对居民尤其是那些靠海洋为生的人们的生计产生了重大影响。","40. 同时，包括基于安全理由对居民封闭的沿海地带的雄心勃勃的“重新开发”计划和豪华旅游出现了。一个旅游委员会当时曾经宣布海啸使本国有机会成为一个“世界级旅游胜地”。[64] 据报道，尽管禁止流离失所者返回他们的家园，酒店却不受这项禁令约束。在某些地方，土地开发商不过借机攫取土地，尤其是从脆弱的社区攫取土地。豪华酒店在许多沿海地带拔地而起。社区和平民社团组织抱怨道，设立缓冲区是为了蛮横地驱逐穷苦的沿海居民和土著社区，使企业和新的旅游设施获利。[65]","41. 在卡特里娜飓风之后，新奥尔良市原有的许多公共住房被毁，在人们看来，这是从根本上改变这座城市的住房和城市特征的机会。特别是，新奥尔良市以非裔居民为主的四个最大的公共住房区(“四大区”)被拆除，以便按照规划重新开发各种收入者居住的社区以及实现其他用途。虽然在有些情况下由于公共住房损毁严重，也许没有切实可行的替代办法，拆除公共住房的主要理由是，这对城市恢复而言极其必要，对于保证健康和安全而言亦不可或缺。[66]问题是，与发生卡特里娜飓风之前可供居住的公共住房总数相比，规划的开发区只包括少量公共住房。[67] 拆除公共住房成为导致低收入居民无法返回新奥尔良的另一个障碍(见上文第三部分)。[68]","42. 人们对所谓“重建行业”——重建活动的规划、筹资和实施被外包给私人公司——也表达了忧虑。在某些情况下，将重建工作外包而又不制定健全的保障措施，不可避免地对重建工作的适足性和可承受性以及人们参与重建活动并从中受益的能力产生不良影响。在智利，在地震和随后于2010年2月发生的海啸之后，据称私营部门在城市中心和沿海地带的重建活动中起了主要作用。按照《国家重建计划》的一项主要原则，家庭可以选择决定是在倒塌建筑物的原址重建他们的房屋还是获得一所先前存在的或者新近修建的房屋。但是，由于住房重建活动主要得到与个人财产挂钩的补贴的资助，私营建造商宁愿在城镇郊区的新地带而不是在许多人被迫离开的中心区重新修建住房，因为在中心区土地和房屋的价格要高得多。[69] 据说，房地产公司还趁这些家庭非常脆弱的时候迫使他们以极低的价格出售土地和房屋——以便进行私人重新开发。[70] 这表明，如果把重建活动仅仅交给市场，那么最穷困的人的新住房将很有可能位于城市外围。","43. 在建筑市场也发现了类似的反常现象。在一起案件中，据报告某些城市的少数公司被授予垄断建筑材料的权力，给当地的小型企业造成了危害；在另一起案件中，重建进程导致供货商和建筑公司提高价格，阻挠了个人重建的努力。[71]同样，人道主义机构将过渡性住房的修建外包给国际承包商，这种做法可能分散支助流离失所者(可以利用这些资金支持他们修建自己的住房)的潜在资金。后一种情况的结果在文化方面也不可能是适宜的。[72]","B. 尽职尽责地保障适足住房权","44. 在上文讨论的事例中，灾后重建活动对最贫困者具有不良影响。在最恶劣的案例中，灾害为有权势的人毁坏房屋或者攫取土地提供了清白的记录和理由，而在灾害发生前这种情况是不可能发生的，因为当时必须遵循法律程序，必须征求受灾家庭的意见，向他们提供救济。充其量，国家没有充分监督灾后住房和重建市场的运营和管理，也没有采取措施确保人们得到能够承受的住房而且实际上不会被迫离开他们的出生地。虽然没有什么可以阻止国家要求私营企业支持重建活动——私营部门确实可以对恢复工作作出关键的贡献——但是政府必须留意自己的职责，那就是监督私营部门兑现承诺，确保重建活动不会让少数特权者受益，损害其他人的权益。","45. 上述事例可被视为“推定强制驱逐”。[73] 在此类案例中，可适用与强制驱逐或者任意造成流离失所问题有关的国际准则。当证实存在强制驱逐现象时，受害人应当有权获得救济，包括公允的听证、获得法律咨询，取得赔偿，例如按照他们的选择，归还住房或者土地、给予适足赔偿或者替代性的住房/土地。[74]","46. 在对公共安全的关注是合法而且必要的情况下，关于土地利用的决定或者住房法规仍须遵守人权准则——特别是与进行驱逐、得到补救和救济以及司法审查机会的权利、以及受影响社区的经济、社会和文化权利有关的严格程序要求。驱逐不应造成个人无家可归的结果。在受灾者无法养活自己的情况下，国家必须采取措施确保他们能够得到替代性住房、重新安置或者肥沃的土地。[75]","47. 限制措施也必须符合相称性原则。[76] 这需要在受灾者的权利与国家减少损害和确保公共安全的利益之间保持平衡。[77] 就防止海啸而言，必须证明阻止居民返回海滨地带的法规是为实现公共安全目标而采取的限制性最小的办法。国家必须证明警示系统或者堤堰等其他安全措施无法实施或者没有效果。[78]","48. 最后，土地利用限制措施的经验促使人们考虑多种因素，包括重新安置居民需要在基础设施和服务方面投入大量资金，还可能严重扰乱人们的生计和社区的生活。[79] 定居点和住宅建设的模式不是任意的，而是反映出难以在其他地方照搬的特定经济和社会结构。因此，不论人权准则，还是对于流离失所现象的社会经济成本的评估，都要求采取限制性更强的方法实施有关土地/住房建设用途的限制措施。","六、恢复与持久解决方案：解决适足住房权的方方面面","49. 除了上文讨论的更加明显的保护问题，还必须从对适足住房的更开阔的看法出发解决重建问题——包括将住房看作一种社会资产——力求逐步实现适足住房权。据此来看，确保恢复和持久解决方案意味着重建社区和住宅区，确保适足生活水准，修建住房只是这其中的一部分，有时甚至不是最重要或者最迫切的部分。[80] 灾害不是在真空环境下发生的：必须评估和解决发生灾害的更广泛的住房背景。","A. 对住房和财产的不当关注","50. 灾后情形的特点不仅有可能是房屋大规模受损，还有可能是居民大批流离失所，社交网络和关系陷入混乱，基本服务受到破坏或者无法获得，丧失生计、工作、资产或者土地——这一切都是影响到享受适足住房权的关键因素。因此，重建工作和确保持久解决方案的努力往往过于关注房屋最确实的方面(有形构筑物)。国际组织和各国/地区政府容易认为对受灾者而言当务之急是重建住房而不是生计或者社区基础设施。[81] 对房屋进行评估时，房屋被当作一个技术或者经济行业而不是一项人权，受到关注的是建筑物和建造标准及材料，还有应急和过渡住房的质量。在某些情况下，对于财产归还的关注还对伤害到重新建立并改善支持可持续回返的更广泛社会、政治或者经济状况——工作、基本服务和基础设施、安全保障。一位评论者指出，“‘房屋’，而不是流离失所者的实际幸福，成了衡量回返进程成功与否的标准。”[82]","51. 众所周知的口号“重建更美好家园”似乎——而且肯定应当—— 立志解决受灾社区更广泛的生活状况。秘书长印度洋海啸问题特使指出：“财政资源、国际关注以及进行政治和政策改革的意愿，通常是危机发生后时期的特征，它们应当使我们能够重建得更美好并且持久地摆脱不公平的开发模式。”[83] 人们也提出了类似的呼吁，将巴基斯坦洪灾看作“一次重建更美好的生活和加紧给生活在社会边缘的数百万人带来尊严。”[84] 然而，落实这种令人振奋的想法往往具有技术性最强的含义，例如，修建防洪和抗震标准的房屋。[85]","52. 相比之下，世界范围内的一些重建项目已经尝试将重建进程看作“促进当地开发进程的一次机遇”，而不是局限于恢复灾害发生前的状况——社区的参与在这方面起着关键作用。[86]","B. 解决救济和恢复努力中更广泛的问题","53. 上文曾经提到，海地地震凸显住房条件在很大程度上不充足、非正规房屋充满危险而且土地权缺乏保障的问题。国际社会关心在帐篷内栖身的流离失所者，向他们提供的条件比许多海地人享有的条件还要优越，从而意外地使帐篷成为令人向往的栖身地。由于没有进行伴有向回返社区提供服务的系统重建，贫困家庭没有什么理由离开他们所栖身的帐篷——在这里住房和服务是免费提供的。狭隘地关注境内流离失所者的困境和临时性解决方案，尽管从应急的角度来看是可以理解的，但是在困难的社会经济和地产保有背景下，这种狭隘的观念却成为长期恢复的障碍，在某些情况下导致进一步的发展问题。[87] 随着城市化程度的提高，许多城市化活动的发生出人意料，此类情况必定更加频繁(见A/64/255，第13至21段)。","54. 海地的情形也可作为一个实例说明重建和财产规还制度的理论基础面临的挑战：问题在于，在以普遍贫困和生活及住房条件严重不足为特征的背景下，重建的最终目标是否应当是为那些在灾害中丧失居所的人提供高质量的住房？特别报告员认为干预措施必须力求逐步实现全体人民的适足住房权。在海地，重建和恢复工作与为那些直接遭受灾害影响的人修建新住宅没有多大关系，更重要的是要改善遭受灾害影响、未经规划而且未经维护的定居点的总体生活和住房条件。因此这种方法应当以定居点和社区，而不是个人房屋，作为关注对象，并且专注于营造人们能够享受适足生活水准的地方。","55. 灾后土地利用规划可以作为一种有力的工具，既为重建工作提供参考，又为灾害发生后即刻采取的应对行动提供法律依据。灾后区域规划可以承认事实上的定居点，为基础设施投资和升级到目前为止未经维修和未经规划的定居点提供依据，从而为回返和重建工作创造便利。","56. 从人权的角度来看，应当铭记不歧视和关注最脆弱者的义务，因此，作为救灾工作的组成部分，投资改造生活条件非常差的定居点，不仅是正当的，也是必需的。而且，出于原则性和务实的理由，从长远来看，在一些情况下也需要处理这种情形：就海地的情况而言，这意味着专注于改善那些虽然未受灾害影响但是与受灾定居点具有同样城市化和脆弱性特征的定居点(只要这些定居点不在容易受灾的地区)的状况。","C. 应急阶段与长期恢复之间缺乏联系","57. 上述实例还证明应急阶段与长期恢复之间目前缺乏联系，而且在许多情况下，国际社会对于从一个阶段向另一个阶段过渡进行管理时遭遇种种困难。[88]","58. 将个体受益者和“可达到的目标”——食物、住房、健康用品——本身作为关注的目的，可能背离尊重、保护和实现权利(例如住房权、用水权、健康权)的基本责任和长久考虑的要求。在海地，有报告说直接需求成为国际社会应对措施的主题，因此，扶持永久住房需求的特殊承诺变得无关紧要。[89] 机构间常委会的Hach住房小组在报告中确认了对帐篷区习以为常，以牺牲更持久的永久性方案来让应急措施消耗紧缺资源等风险。","59. 同样，大规模建造过渡性住房也许并不总是必要或者适宜的，某些情况下可能给持久解决方案造成妨碍，例如，在拥挤的城市地区，由于缺乏空间，人们可能无法逐步修建永久性住房。在随着时间推移，人们的关注和援助量不断减少的情况下，修建过渡性住房可能无意中分散用于重建永久性住房和住宅区的资 源。[90] 因此，令人遗憾的是，灾害结束后多年，人们仍旧栖身于过渡性住房，这种现象并不少见(见A/HRC/13/20/Add.4，第31段)。 国家和国际组织在没有考虑能否支持替代性解决方案的情况下，不应想当然地假定人们需要过渡性住房。","60. 许多人呼吁采取一种综合方法确保在救济阶段和恢复阶段之间援助能够源源不断。特别报告员在提交人权理事会的上一次报告(A/HRC/16/42)中曾经讨论了与这个问题有关的某些资金筹措事宜。特别报告员谨此鼓励捐助者尽早支持持久解决方案和恢复工作，并且帮助确保源源不断地提供援助，包括能够不拘一格地提供资金帮助。","七、结论","一种有针对性地全面纳入适足住房权的救灾方法","61. 将适足住房权纳入灾害对策具有广泛的意义。然而，在实践中，对适足住房权的理解和运用这种权利进行救灾却被局限于这项权利的某些方面，最为显著的就是与有形构筑物和个人财产所有权有联系的方面。在某些情况下，重建和恢复工作由于疏忽大意或者有意作为而对受灾者及受灾者享有适足住房权产生了有害影响。","62. 在特别报告员看来，在重建工作中付出全方位的努力以求实现适足住房权不仅是一项义务也是一种机遇。尽管救灾工作不会也不应当取代开发活动，但是可以借助救灾工作纠正要么加剧自然灾害影响要么被自然灾害暴露出来的不平等现象，促进尤其是通过改善土地权保障逐步实现人人享有适足住房权的努力。","63. 下面的建议概述一种充分立足于适足住房权的救灾方法的基本要素。这些建议的本意是，在涉及确保适足住房权得到保障和实现时，它们对现有的指导意见能够加以补充。除非另行说明，这些建议的对象既包括政府也包括国际捐助者和组织。最后，本报告就后续行动提出了建议，应当铭记，这种框架仅仅扼要说明需要进一步完善和实施的一般性原则。","八、建议","64. 特别报告员提出的建议如下：","A. 一般框架：以适足住房权为根据的救灾工作","首要原则","1. 适足住房权","在灾害应对的各个阶段，都应当尊重和保护适足住房权。应当将适足住房权理解为安全无虞地生活，在根据以下因素而被视为适足的环境下生活的权利：保有权保障；可提供服务、物资、便利和基础设施；价格低廉；适合居住；进出方便；地点；以及适当的文化环境。","2. 保有权保障","一视同仁地承认多种多样的地产保有形式，确保灾后人人的土地权能够得到保障。","3. 参与","4. 不歧视和脆弱性","行动原则","1. 平等的避难和住房权利","2. 切勿损害权利","尊重和保护适足住房权，包括土地权保障时，不得由此造成损害，也不得损害这种权利：","3. “非正式所有人”的土地保有权","应尊重“非正式所有人”——即那些不具有经过正式登记的个人财产所有权的人——的土地保有权利：","4. 救灾和恢复方案的背景","应当在(一个地区/城市/国家)总体住房环境下实施救济和恢复方案：","5. 社会重建","应重新修建或者重新安置社区和住区，而不仅仅是房舍：","6. 遵守国际标准","如果由于土地已经灭失或者存在阻止回返的客观安全理由，或者如果受灾的个人或者群体不想回返，以致不能实现回返，那么重新安置和融入当地的条件必须符合与适足住房、驱逐和流离失所问题有关的国际人权标准和准则。","7. 减少灾害风险的法律","各国必须通过减少灾害风险的法律，此类法律应当尊重适足住房权。必须特别关照可能遭受歧视和排斥的人，包括由于土地权状况而遭受歧视和排斥的人，并应制定措施保护他们。","B. 后续行动建议","1. 联合国各机构和机制、机构间常设委员会或者该委员会的组织成员或合作机构应当考虑进一步研究将适足住房权切实纳入救灾措施之中，以此作为特别报告员所提议的框架的出发点。","2. 应当在以下方面进一步开展工作：","3. 联合国人权机制在审查国家报告和进行国别视察时，应当评估在自然灾害环境下享有具体人权的情况以及防灾、救灾和恢复工作在何种程度上促进享有人权，并就此提出建议。","[1] ^(*) A/66/150。","[2] 国际灾害数据库，http：//www.emdat.be。","[3] 当灾后环境缺乏有案可查的事例，而冲突后环境的某些事例又与灾后环境有关而且适合灾后环境时，本报告仍将借鉴冲突后环境下的事例。","[4] 特别报告员谨向为她的视察活动提供便利的联合国海地稳定特派团、人权事务高级专员办事处和联合国人居署重申谢意。","[5] 与灾后相比，在冲突和冲突后环境下的人权挑战受到更多关注，相关准则也得到进一步阐述。除了本报告讨论的准则以外，冲突后应对措施还要受到国际人道主义法、难民法以及与救济和赔偿有关的准则指引。","[6] 见经济、社会和文化权利委员会，第4号一般性意见：适足住房权。","[7] 见经济、社会和文化权利委员会，第7号一般性意见：强行驱逐；另见《关于出于发展目的的搬迁和迁离问题的基本原则和准则》(A/HRC/4/18，附件1)。","[8] 在提交人权理事会的上一份报告中对参与问题进行了讨论。本报告第三部分讨论不歧视问题。","[9] 例如，在《机构间常设委员会关于在发生自然灾害时保护人员的行动准则》中，第C.2.1节提及适足住房权，但是其他可能相关的条款却没有提到这项权利。","[10] 见Erica Harper,《适用于自然灾害的国际法和准则》(罗马，国际发展法组织，2009年)。","[11] 负责境内流离失所者人权问题的秘书长代表属于例外情形。见联合国条约机构和特别程序所作的评论意见，《世界人权索引》，http：//www.universalhumanrightsindex.org/en/index.html。","[12] 《指导原则法律数据库》证明它们得到广泛认可。见http：//www.idpguidingprinciples.org/。","[13] 最初于2006年发布，修订本于2011年公布。","[14] 《国内流离失所问题指导原则》，第28项原则；机构间常设委员会准则，D.2.2，D.2.3。","[15] 促进和保护人权小组委员会，第2005/21号决议。","[16] 第2.2项原则。另见关于根据国际法是否存在某种独立的财产归还权利的似乎尚无定论的辩论：Malcolm Langford和Khvlekani Moyo，“权利、救济还是夸夸其谈？国际法上的土地归还问题”，《北欧人权杂志》第28卷，第2号(2010年)。但就本报告而言，特别报告员确信财产归还权是获得救济和赔偿的权利，以及难民和流离失所者返回出生地和常住地的权利的必要部分。","[17] Harper, 《国际法》，第4章(见上文脚注9)。","[18] 第1项原则。除其他外见Charles Gould，“自然灾害发生后重建住宅的权利”，《哈佛人权杂志》，第22卷(2009年)；Rebecca Barber，“自然灾害发生后保障住房权利：国际人权法准则”，《国际难民法杂志》第20卷，第3期(2008年)。","[19] 欧洲人权法院，“Budayeva及其他人诉俄罗斯”，2008年9月29日；巴基斯坦最高法院，“防洪委员会案”，2011年6月7日，见http：//www.supremecourt.gov.pk/web/page. asp?id=735(访问时间为2011年7月24日)。","[20] 见大会第64/200号决议。","[21] 经济、社会和文化权利委员会，第3号一般性意见，缔约国义务的性质，《公约》第2条第(1)款。另见儿童权利委员会对于灾害问题的结论性意见，例如CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4。","[22] 《消除一切形式种族歧视国际公约》，第1条第(4)款；《消除对妇女一切形式歧视公约》，第4条。","[23] 这座城市84%的贫困人口是非裔美国人。布鲁金斯学会，《风灾过后的新奥尔良：汲取以往的教训，未来的计划》(2005年)，第6页。","[24] 同上，第13页。","[25] Elizabeth Ferris 和Daniel Petz, 《朝不保夕的一年：对2010年自然灾害的回顾》(伦敦，布鲁金斯学会——伦敦政治经济学院，2011年)，第19页。特别报告员欢迎哥伦比亚政府提供信息，介绍该国为应对“拉尼娜”效应而采取的行动，例如设立“Fondo de Adaptación”，负责确定和管理旨在找到持久解决办法的项目，包括减灾和防灾策略。","[26] 巴基斯坦政府、亚洲开发银行、世界银行，《2010年巴基斯坦洪水：破坏和需求初步评估》第68页；乐施会，《土地权与印度河洪水，2010-2011年：快速评估和政策审查》(牛津，大不列颠牛津救济会，2011年)。特别报告员承认巴基斯坦政府所面临的挑战的规模以及该国政府为处理救济和恢复工作所付出的种种努力，特别是一视同仁地向土地所有者和没有土地的人发放瓦坦卡，借以鼓励所有的难民返回家园。","[27] 据估计，在地震发生之前，80%的太子港居民生活在仅占城市面积20%的非正规房屋中。","[28] 国际移民组织，流离失所现象追踪矩阵，2011年5月。","[29] 见乐施会，《土地权与印度河洪水》，第3页(见上文脚注25)。","[30] John Telford和John Cosgrover，《关于国际社会应对印度洋海啸的联合评价——综合报告》(伦敦，海啸评估联盟，2006年)，第104页。","[31] Michael Lyons和Thco Shilderman等人。《重建更美好家园：以人为本的按比例住宅重建》，(伦敦，务实行动， 2010年)，(关于斯里兰卡的社区)；援助行动组织，《海啸应对措施：人权评估》(2006年)，第43至47页。","[32] 在卡特里娜飓风发生之前，大多数享受公共住房和房券补贴的家庭的户主是妇女。在飓风发生之后，她们由于缺乏可以承受的住房/公共住房，因此受灾尤其严重。见Ferris 和Pelz， (见上文脚注24)。","[33] 见《世界重建大会：自然灾害发生后的恢复工作和减少风险：会议记录》(日内瓦，2011年5月)，第31页。","[34] 见联合国海啸灾后恢复事务特使William J. Clinton的报告，《重建更美好家园的重要提议》(2006年)；Hakan Arslan和Cassidy Johnson，“土耳其：小规模行动者能够克服缺乏国家意志的困局吗？”，摘自《重建更美好家园：建设以人为本的住房》，Lyons和Shilderman等人(见上文脚注30)。","[35] 乐施会，《土地权与印度河洪水》，第24至25页(见上文脚注25)；巴基斯坦政府等，《2010年巴基斯坦洪灾》，关于住房、农业和金融部门的附件。(见上文脚注25)。另见本报告第三部分关于土地权/土地评估的讨论。","[36] 强制驱逐问题咨询小组，《新奥尔良任务报告》，2009年7月26日至31日以及A/HRC/13/20/Add.4，第30段。在以公共住房为主的90%的社区，居民是非裔美国人，而其中80%的居民又是租户。见Ferris和Petz，《朝不保夕的一年》，第74页(见上文脚注24)。","[37] 特别报告员对美利坚合众国政府收到的信息表示欢迎，这些信息说明联邦政府，包括住房和城市开发署采取了哪些措施制止私人和公共主体在住房方面的歧视，除了其他措施以外，联邦政府采取了哪些措施制止由限制性区域规划或者歧视非裔美国人的租金条例(例如圣贝尔纳教区在卡特里娜飓风之后通过的条例)造成的系统性歧视现象。","[38] 美国政府问责局，《灾后住房：联邦应急管理局需要更细致的指导和救灾措施，以确保在大灾之后有效开展救援》，2009年，第11至13页；“卡特里娜飓风之后4年：住房危机仍未结束，低收入租户遭遇歧视”，《直面南方》，2009年8月21日。","[39] Ferris和Petz，《朝不保夕的一年》，第74页(见上文脚注24)。","[40] 强制驱逐问题咨询小组，“任务报告”，第5页(见上文脚注35)。","[41] 在某些情况下，私人所有权事实上不是确保土地权的最适宜方式。见A/HRC/10/7。","[42] 见代表团就特别报告员的报告(A/HRC/16/42/2010)发表的支持这种看法的评论意见，人权理事会，第十六届会议。","[43] 特别报告员特别指出人道主义机构对“六种土地权方案”的划分等于承认也需要解决其他形式的土地权。联合国与避难中心，《灾后避难所》(2010年)，第107页。","[44] Langford和Moyo，“权利、救济还是夸夸其谈？”第148至149页(见上文脚注15)。","[45] 另见原则15.3规定的承认传统社区和土著社区的占有权(独立于原则16)。","[46] 见http：//www.ohr.int/plip； Norbert Wühler和Heike Niebergall编辑，《财产归还与赔偿：索赔方案的实践与经验》(日内瓦，国际移民组织，2008年)。","[47] Rhodri Williams，“波斯尼亚的冲突后财产归还：在发生流离失所现象后权衡赔偿与持久解决方案”，在土耳其经济和社会研究基金会关于土耳其及其他国家境内流离失所问题的国际研讨会上提交，伊斯坦布尔，2006年12月；Conor Foley，Ingunn Sofie Aursnes，“冲突后的土地、住房和财产归还问题：原则与实践”，《人道主义交流杂志》(2005年)，第2页。挪威难民委员会，《阿富汗的特别财产归还法院》，2005年。","[48] 总统办公室，1994年第22期，《土地权归还法》，第I (1)xi章；机构间常设委员会，《关于境内流离失所者持久解决方案的框架》，(哥伦比亚特区华盛顿，布鲁金斯研究所，2010年)，第35页。","[49] 另见原则8和原则15.2；E/CN.4/Sub.2/2005/17/Add.1，第62段；Langford和Moyo，“权利、救济还是夸夸其谈？”(见上文脚注15)。","[50] 包括土地权仅仅以使用为基础的情形，或者实质上无法实现归还的情形，例如土地保有者无法返回他们的居住地，或者原来的居住地已经灭失或者在灾害发生后被宣布为“不宜居住”。","[51] 重要的是，有人的地产保有权利并不取决于实际重新占有从前的经常居住地。","[52] 国际住房联盟，《海地住房部门评估：震后一年》(2011年4月)，第12页。","[53] Telford和Cosgrove，《综合报告》，第102页(见上文脚注29)；以及Ian Christoplos，《海啸应对措施中救灾、恢复与开发之间的联系：初始结果综合》(伦敦，海啸评估联盟，2006年)，第71页。","[54] 关于海地，评论意见是“严格的提供住房的资产替换办法和过于急切地确认财产权利……并不适合满足身为租户和擅自占地者(而不是所有人)的大多数灾民的住房需求。”一项主张快速推行土地簿记的提议被认为不适宜，有可能“加剧对于能够出具文献的地位最稳固、最有势力的正式所有人的偏向。”Kate Crawford等人，“协调与海地地产保有难题”， 《人道主义交流杂志》第48期(2010年)，第8页。","[55] 就先前的一份草案收到的评论意见。同样，东帝汶政府选择了一个长期框架来解决土地问题。东帝汶就特别报告员的报告(A/HRC/16/42)发表的评论意见，2011年3月8日。","[56] 正式的特别机制也耗费资源和时间。见科索沃不动产管理局2010年年度报告。","[57] 大湖区问题国际会议，《回返者财产权议定书》(《大湖区议定书》)，2006年，第4条。","[58] 《大湖区议定书》，第4(3)条。","[59] 见A/HRC/16/42，第44至45段(关于东帝汶)；以及Foley和Aursnes，“土地、住房和财产”(见上文脚注46)。","[60] 联合国人居署，《请把我算在内：地产权保障和城市土地管理调查》(内罗毕，2010年)。","[61] 同上，印度尼西亚亚齐省，第79至83页，以及Harper，国际法，第209页(见上文脚注9)。","[62] 见《世界重建问题大会：恢复和减少风险》，第33至34页(见上文脚注32)。","[63] Oli Brown和Alec Crawford，“在自然灾害发生后解决土地所有权问题：一项机构调查”，2006年，第6页；以及《人权观察》，“大灾过后：2004年海啸结束后印度的重建工作”，第41页。某些最重要的限制性措施最终被放弃了。","[64] 旅游业关注组织，“海啸后重建与旅游：又一场灾难？”，2005年。","[65] 援助行动组织，“海啸应对措施”第17至18页(见上文脚注30)；Malicolm Langford和Jean Plessis，“尊严扫地？强制驱逐与人权法”；以及Brown和Crawford，“解决土地所有权问题”(见上文脚注62)。","[66] Jolia Cass和Peter Whoriskey，“新奥尔良将要铲除公共住房”，《华盛顿邮报》，2006年12月8日。","[67] 大赦国际，“违反常理的灾难：海湾沿岸的人权”，2010年，第6页；强制驱逐问题咨询小组，《任务报告》，第28至32页(见上文脚注35)。","[68] A/HRC/13/20/Add.4，第30页。特别报告员对美国政府提供的信息表示欢迎，并高兴地注意到，由于实行各种住房政策，与发生卡特里娜飓风之前相比，现在有更多的人享受住房补贴。","[69] 国际生境联盟、国际人类栖身地组织、建筑学与城市化系住房研究所和重建问题观测站， “Sur Maule”、“行动起来搞建设”和“观测站与住房”网络为适足住房权问题特别报告员编写的2011年关于2010年2月27日地震海啸以及智利重建进程的报告。","[70] 同上。","[71] 同上；另见A/HRC/13/20/Add.3，第25段。","[72] 见：相比之下“所有人带动的”重建方法取得的成功。世界重建问题大会：恢复工作和减少风险。第25至27页(见上文脚注32)。","[73] Malcolm Langford，“在海啸灾害结束后回返和重新定居的权利”，《灾情简报》第2(2)期(2005年7月至9月)。有些国家利用“推定驱逐”这个术语描述出租人的某些作为或者不作为导致出租地产不适宜居住或者不适合租赁的目的。","[74] 经济、社会和文化权利委员会，第7号一般性意见，大会第60/147号决议，Cuhtled；《严重违反国际人权法和严重违反国际人道主义法行为受害人获得补救和赔偿的权利基本原则和准则》；以及《皮涅罗原则》。","[75] 第7号一般性意见，第16段。机构间常设委员会准则，C.2.4，C.2.5。","[76] 人权委员会，第27项一般性意见：行动自由。","[77] “保护自然灾害中的境内流离失所者：秘书长境内流离失所者人权问题代表对亚洲的工作视察”，Walter Kälin, 2005年，第22页。","[78] Langford，“回返和重新安置权”(见上文脚注72)。","[79] 世界银行，《自然界的危险，开发活动的风险：独立评估小组对世界银行自然灾害救援行动的评价》(哥伦比亚特区华盛顿，2006年)；人道主义行动问责和绩效动态学习网络，“应对地震灾害，2008年：从地震救灾和恢复中汲取教训”。","[80] 机构间常设委员会，《持久解决方案框架》(见上文脚注47)。可以从良好的重新安置开发实践中汲取教益，例如：Michael Cernea和Christopher McDowell等人，《风险与重建：重新定居者和难民的经历》(哥伦比亚特区华盛顿，世界银行，2000年)。","[81] 例如见，关于印度尼西亚住房建设，Lyons和Shilderman等人，《重建更美好家园》，第157页(见上文脚注30)。","[82] Megar Ballard，“冲突后财产归还：有漏洞的法律和理论根据”，《伯克利国际法杂志》第462期(2010年)，(关于波斯尼亚和黑塞哥维那)。","[83] 联合国负责海啸灾后恢复事务的特使，“重建更美好家园的主要立场”(见上文脚注33)。","[84] 巴基斯坦政府、亚洲开发银行和世界银行，《巴基斯坦洪灾》，第7页(见上文脚注25)。","[85] 同上，第22页和第94页。","[86] 例如见秘鲁的项目：Lyons和Shilderman等，《重建更美好家园》，第307至344页(见上文脚注30)。","[87] 太子港郊区的“考雷尔帐篷区”案例是这些困难的典型表现。“考雷尔帐篷区”原本被当作一个临时性帐篷区，收容在最危险区域居住的流离失所者，不过它吸引着全国各地的人，短短数月就变成一个新的非正规定居点，截至2011年5月已经容纳至少50 000至60 000名居民。","[88] John Holmes，“汲取海地的教训”，《人道主义交流杂志》第48期(2010年10月)，第3页。","[89] 题为“地震后美国政府海地策略：谋求复兴和经济机遇”的美国战略(2011年)。","[90] 在海地，一座T型住房的费用平均为2 500美元，而对永久性住房的最廉价估价约为每座房屋3 500美元。","[91] 见第1项首要原则。"],"string":"[\n \"第六十六届会议\",\n \"临时议程[1] 项目69(b)\",\n \"促进和保护人权：人权问题,包括增进 人权和基本自由切实享受的各种途径\",\n \"适足住房权利\",\n \"秘书长的说明\",\n \"秘书长谨向大会转呈适足生活水准权所含适足住房问题和在这方面不受歧视权问题特别报告员拉克尔·罗尔尼克女士根据人权理事会第15/8号决议第2(h)段提交的报告。\",\n \"适足生活水准权所含适足住房问题特别报告员的报告\",\n \"摘要\",\n \"本报告着重论述在灾后环境下实现适足住房权。本报告评价人权标准 和准则，这些标准和准则与一种以适足住房权为根据的救灾方法有关；并讨论现有的某些局限因素。本报告详细阐述在救灾活动中保障和实现适足住房权的关键挑战：不关注或者歧视脆弱和弱势群体；过分强调个人财产权，以及与在财产归还和恢复计划中平等地承认和解决错综复杂的土地权形式有关的困难；将灾后重建主要作为让少数人受益的商业或者开发计划的风险；以及现有重建和恢复框架的局限之处。本报告最后扼要介绍了一种救灾方法的基本情况，这种方法有针对性地全面纳入了适足住房权。\",\n \"目录\",\n \"页 次\",\n \"一、导言 4\",\n \"二、对应对自然灾害的法律和政策框架的评估 4\",\n \"三、歧视和脆弱性：灾害的影响及救灾措施中的复合因素 6\",\n \"A. 受灾害影响最严重的弱势群体 7\",\n \"B. 灾害所暴露出来的忽视和歧视现象 8\",\n \"C. 忽视或者歧视最脆弱群体的恢复对策 8\",\n \"四、一视同仁地承认和保护各种形式的土地权，从归还到持久解决方案 10\",\n \"A. 全面看待住房和财产归还问题 11\",\n \"B. 为实施持久解决方案而承认实际存在的土地权利 13\",\n \"五、灾害成为机会——谁的机会？ 15\",\n \"A. 从沿海地带和城市重新开发到重建工作外包 15\",\n \"B. 尽职尽责地保障适足住房权 17\",\n \"六、恢复与持久解决方案：解决适足住房权的方方面面 18\",\n \"A. 对住房和财产的不当关注 18\",\n \"B. 解决救济和恢复努力中更广泛的问题 19\",\n \"C. 应急阶段与长期恢复之间缺乏联系 20\",\n \"七、结论 21\",\n \"八、建议 21\",\n \"A. 一般框架：以适足住房权为根据的救灾工作 22\",\n \"B. 后续行动建议 24\",\n \"一、导言\",\n \"1. 本报告着重论述在灾后环境下实现适足住房权。应当结合提交给人权理事会的报告(A/HRC/16/42)阅读本报告，其中，特别报告员探讨了冲突后环境与灾后环境共同面临的问题。\",\n \"2. 尽管冲突后环境与灾后环境存在许多共同之处，但是灾后环境面临着某些挑战，需要采取不同的对策。考虑到世界范围内灾害的发生越来越普遍，产生了前所未有的破坏性后果，[2] 这种趋势有可能随着气候变化、快速城市化和人口增长而持续下去，与冲突后环境相比，能够解决灾后适足住房权问题的经验和准则相对较少，因此特别报告员决定关注灾害问题。[3] 特别报告员还借机对海地进行了视察(2011年6月8日至11日)，以评价2010年1月地震之后的重建和救济工作，这次视察活动极大地充实了她对本报告的见解，突出了关注灾害问题的必要性。[4]\",\n \"3. 在适足住房权方面进行灾后重建和恢复工作，这种方法具有重大意义。特别报告员担心，到目前为止，除了若干明显的例外情况，救灾和恢复工作仍然以狭隘的眼光看待适足住房权的内容，在某些情况下导致这项权利受到侵犯。本报告的第一部分评估相关的准则。第二至五部分详细阐述重大挑战。本报告最后扼要介绍了一种救灾方法的基本情况，这种方法有针对性地全面纳入了适足住房权，本报告还提出了采取后续措施的建议。\",\n \"二、对应对自然灾害的法律和政策框架的评估\",\n \"4. 尽管存在一些确保灾后环境下适足住房权的标准和准则，但是对这些标准和准则的理解和运用往往是不全面的。[5] 就像下文将要讨论的那样，还有其他更具体的限制因素。\",\n \"5. 《经济、社会、文化权利国际公约》(第11条)极其明确地确认适足住房权。经济、社会和文化权利委员会强调对这项权利作广义解释的重要性，确定了各国必须逐步实现适足住房权的七个方面：保有权保障；服务、物资、设施和基础设施的提供；价格适中；适宜居住；进出方便；地点以及适当的文化环境。[6] 这七个方面以及源于适足住房权的应对驱逐和重新安置问题的保障措施[7] 与救灾存在联系，也是参与、不歧视和平等的人权原则的体现。[8]\",\n \"6. 但是，应对灾情的现有指导原则对适足住房权不够重视。提到适足住房权的时候，这项权利局限于提供庇护所、住房或者提供保护的需要。[9] 更加全面地探讨适足住房权问题的努力为数不多，这些努力停留在各个组织的指导意见层面，没有采用普遍适用的权威政策形式。[10] 联合国人权机制——除了若干明显的例外情形——同样没有着手解决灾情的特殊问题及其对享受适足住房权或者其他人权的影响，仍然是笼统的机制。[11]\",\n \"7. 大多数从人权角度着眼处理灾害问题的措施反而关注特定群体，尤其是国内流离失所者和难民。《国内流离失所问题指导原则》在这方面非常重要，已被公认为是在冲突后和灾后环境下保护国内流离失所者的一个重要国际框架。[12] 尽管起初注意力集中于保护冲突和冲突后局面下国内流离失所者，近些年来也制定了应对自然灾害的政策和行动准则，其适用范围扩大到所有遭受灾害影响的人，包括但不限于国内流离失所者。在这方面，《机构间常设委员会关于在发生自然灾害时保护人员的行动准则》(《机构间常委会准则》)是一份重要文件。[13] 这些准则和上述指导原则承认由于冲突或者灾害而流离失所者有权享受持久解决方法，即返回他们的家园或常住地(而且，作为持久回归的关键条件，应当向流离失所者归还住房或者土地)、异地安置或者融入当地社会。[14]\",\n \"8. 《2005年归还难民和流离失所者住房和财产原则》[15] (《皮涅罗原则》)进一步承认难民和流离失所者可享有单独的“得到复原的权利”(涵盖住房、土地及/或其他财产)。[16] 一个重要的问题是《皮涅罗原则》是否适用于灾后情形。这个问题的意图似乎是《皮涅罗原则》应当适用，而第1.2项原则所蕴含的中心思想是不论由于何种原因而流离失所，流离失所者的处境是类似的，他们有权返回常驻地，因而有权得到复原。有人以此为根据将《皮涅罗原则》解释为适用于所有自然灾害情形。[17] 但是，其他人指出《皮涅罗原则》明确限于“肆意或非法剥夺”流离失所者从前的家园、土地或者常驻地。[18]\",\n \"9. 这并不意味着《皮涅罗原则》与自然灾害情形无关。首先，灾害发生后，实际出现肆意或非法剥夺或毁坏住房或者土地的事件时，包括可以说是剥夺流离失所者享有返回家园的权利(见下文第四部分)，以及发生国家在防灾、减灾或者预警系统方面无故有过失的事件时，《皮涅罗原则》是完全适用的。[19] 第二，《皮涅罗原则》指明了与流离失所者和难民返回家园的权利有关的现有准则，就如何最好地处理与住房、土地和财产归还有关的技术和法律问题提供了相关指导意见，这些指导意见在此后的政策和实践中均有不同程度的体现。\",\n \"10. 因此，充分考虑适足住房权的救灾方法将会综合上述各种准则和原则，适足住房权的各种要素成为这种方法的核心。本报告最后一节建议将上述准则纳入一个统一的概念性行动框架之内。\",\n \"三、歧视和脆弱性：灾害的影响及救灾措施中的复合因素\",\n \"11. 人们普遍认为，脆弱性是减少和管理灾害风险的一个重要因素。[20] 最脆弱的群体，如贫困群体或者土地权没有保障的群体，更有可能居住在容易发生灾害的地方；倘若发生灾害，他们还面临着流离失所和丧失生计的更大危险；要从灾害的影响下恢复原状，他们将会遭遇更大的困难。\",\n \"12. 在许多时候，直接或间接的歧视现象加剧了脆弱性，从而影响到个人和群体免遭灾害影响和从灾害影响下恢复的能力。歧视现象与灾害和救灾的关系也许不是一目了然的。实际上，“自然灾害”这个用语可以被看作排除责任，这又意味着不可能存在歧视。然而，人们确信，对于自然危险造成的损失，其影响之大，分布之广，在很大程度上是人为的(见A/60/227)。备灾、减灾和救灾全都受制于或者取决于国家的作为或者不作为，因此可能具有歧视性。\",\n \"13. 平等和不歧视原则是国际人权法的坚定原则。对不歧视和平等的关注要求各国政府和援助组织格外关注灾害发生之前的脆弱性和不平等现象；在灾害发生之后，各国政府和援助组织应当着手解决各种不平等现象，保护最脆弱的群体。联合国条约机构已经指出，即便在严峻的资源匮乏时期——就像灾害发生以后往往出现的情形——各国仍然担负着保护社会脆弱成员的特定义务。[21] 各国还应当采取特别措施，以确保弱势群体能够充分和平等地享有人权。[22] 在灾后情形下，这类措施可能转化成支助最脆弱群体回归家园或者为没有土地或者无家可归的家庭找到土地/住房的特殊援助。\",\n \"A. 受灾害影响最严重的弱势群体\",\n \"14. 2005年，卡特里娜飓风袭击新奥尔良市，非裔美国人和穷人(这两类人的区别在很大程度上是模糊不清的[23])首当其冲，这是因为他们中的大多数人通常居住在这座城市地势低洼、更容易发生洪灾的区域。此外，都市地带的大量居民(他们普遍贫困)缺乏摆脱洪灾的办法。[24] 因此，卡特里娜飓风的特定影响和代价与先前存在的社会、经济和土地利用模式密不可分，与住房和城市规划政策有直接关系。\",\n \"15. 在洪都拉斯，1998年的米奇飓风发生之后，遭受风灾严重影响的群体包括贫困妇女、农民和土著群体，他们当中的许多人生活在土地权利没有保障和容易发生强风、洪水和滑坡的脆弱地区(见A/HRC/16/42，第32段)。在哥伦比亚，从2010年持续到2011年的洪灾据说已经严重影响到由于冲突而流离失所的人，特别是土著人和非裔哥伦比亚人——他们往往居住在容易遭受武装团体暴力侵袭的偏远地带。[25]\",\n \"16. 2010年的巴基斯坦洪灾发生后，贫穷和弱势的群体由于没有资产或者福利保障，在这场灾害中首当其冲。那些由于洪水而流离失所并且丧失财产和生计的人大多是居住不固定/半永久性住房内的无地租户和劳工。[26]\",\n \"B. 灾害所暴露出来的忽视和歧视现象\",\n \"17. 海地地震加剧和暴露了一个到目前为止相对不为人知的问题，那就是大多数太子港居民所居住的非正规房屋的状况很差。[27] 这些房屋与其他地方的许多其他房屋一样，都是自发修建的，从未得到当局的正式承认。这些房屋没有或者几乎没有基本的基础设施和服务。由于发生地震，许多居民迁入帐篷，他们这样做或者是由于他们居住的房屋或者社区已经被毁或者损坏，或者是为了能够得到食物或者医疗援助，参与“以现金支付工资”方案，节省房租(对于租户而言)或者有望得到住房。\",\n \"18. 地震发生之后十六个月，仍有634 000人居住在1 000多顶帐篷内。观察人士指出，与2010年相比，居住在帐篷内的人数下降更慢，这表明人们无法迁徙到其他地方或者人们已经决定不论在帐篷内生活的境况多么危险，这种生活仍然胜过在出生地的境况。[28] 海地地震因此突出了根深蒂固的歧视和忽视的情形。其他地方的灾害也产生了类似的影响。[29]\",\n \"C. 忽视或者歧视最脆弱群体的恢复对策\",\n \"19. 恢复工作由于忽视或者直接歧视某些群体，可能使某些先前存在的脆弱和弱势形式长期存在下去，甚至加重这种形式。妇女常常遭遇这种情况。2004年印度洋海啸发生之后，有报道称国际社会的应对措施在许多情况下巩固了“那些更富裕者和/或更加能言善辩者的地位……那些没有多少资产的人，尤其是妇女，反而被边缘化了。”[30] 比方说，救济工作和政策导致妇女无法获得生计援助，有时直接损害了妇女先前享有的权利，例如她们在母系社区内享有的获得住房或者土地的权利。[31] 妇女的土地权恰好又没有保障——她们通常处于这种境地，因为她们能否获得住房和土地常常取决于与男子的关系，或者由于她们作为家庭的唯一家长，面临着更大的困难，因此她们的处境格外脆弱。[32]\",\n \"20. 根据救灾工作是解决经过正式登记的个别财产所有人的境遇，还是解决所有拥有其他类型土地权安排的人的境遇，救灾工作的差别似乎很大。已经指出，在大多数住房重建方案中，土地权文书和法定权利证明是成为方案受益人的先决条件，结果是最贫困和最脆弱的群体，包括在非正规房屋内居住，只有临时或者非正式土地权的人被排斥在外。[33] 在一些国家，流离失所的租户和擅自占地者往往发现自己无缘享受旨在替换房主资产的永久住房计划。[34]\",\n \"21. 灾后需求评估中也发现了类似的局限之处。尽管可以讨论土地权和土地所有权的条件并且承认这些条件具有原则性的重要意义，但是在具体的政策、策略和各部门实际优先办理的事务中，这些条件并非总是得到落实。例如，国际金融机构和巴基斯坦政府在洪灾之后进行的灾后需求评估中，所提出的住房和重建战略没有谈及土地所有权或者土地权问题，只是关注住房重建的技术和费用。此外，其他部门优先制定的与土地有关的政策，例如农业政策，据称使土地所有者受 惠。[35]\",\n \"22. 多种脆弱性和歧视因素往往交互作用，相互产生影响。在卡特里娜飓风之后，普遍发现美国联邦政府和州政府的救灾措施不能支助低收入租户(主要是非裔美国人)，而且不能解决妨碍他们获得廉价住房的种种障碍。[36] 尽管制定了一项联邦住房券计划，但是实际上持有租金券的家庭难以找到出租房。原因是公共房屋和出租房屋短缺(不仅由于风灾受损而且由于后来作出的大规模削减公共房屋的决定)、房租上涨、土地所有者的歧视[37]、出租房屋建设缓慢以及墨西哥湾沿岸各州决定大部分联邦资金用于修缮房主的房屋而不是修缮出租住房。[38] 由于可供选择的出租房屋非常有限，相当数量的家庭事实上被禁止返回他们的城市和从前的家园；[39] 这导致无家可归者人数上升。[40]\",\n \"23. 上述事例表明歧视以及脆弱性如何成为与灾害影响和救灾措施有关的一个关键因素。以土地权状况为基础的歧视凸显了一个更广泛的问题，即政府、国际组织和国内组织都不愿意或者不能够一视同仁地充分承认和保护各种土地权。\",\n \"四、一视同仁地承认和保护各种形式的土地权，从归还到持久解决方案\",\n \"24. 特别报告员指出土地权保障在适足住房权利中的核心地位。土地权保障不等于私人所有权，[41] 也不局限于赋予正式的法定产权。除了私人所有权以外，还有多种多样的合法土地权安排，[42] 例如公共或者私人出租房屋、合作住房、租赁、占有/租赁土地或者非正规房产，以及通过习惯上的或者传统上的安排实现的其他用益权或者占有权——这些土地权利均须办理不同程度的手续。[43] 有理由认为只有少数自然灾害的受害者可能对其房屋或者土地实际上享有经过正式登记的个人所有权。\",\n \"25. 尽管如此，特别报告员担心，就像上文第三部分证明的那样，灾后的政策和做法偏向个人私人所有权。第四部分将着重探讨与归还有关的——以及在更广泛意义上与持久解决方案有关的——政策和做法，借以说明个人财产所有权与其他形式的土地权实际存在的紧张关系。\",\n \"A. 全面看待住房和财产归还问题\",\n \"26. 《皮涅罗原则》对于“住房和财产”归还权利作了最为具体的阐述。通过《皮涅罗原则》的时候，明显需要对于财产归还所必需的程序和机制加以指导，《皮涅罗原则》对这种需要作出了回应。如今，由于回返和归还的方案已经适用于更加多样化的背景和情势，是根据这种实践仔细考虑并且重新阐释《皮涅罗原则》的时候了。\",\n \"27. 在具体制定《皮涅罗原则》时，以及《皮涅罗原则》提出的确定财产或者土地权利请求的机制，并没有相当清楚地确认各种形式的土地权利，[44] 其他人已经批评《皮涅罗原则》过分关注个人财产所有权以及正式的和经过登记的权利请求情形。《皮涅罗原则》在一项单独的条文中(原则16)提及“土地保有人和其他非所有人的权利”，可以认为《皮涅罗原则》质疑这些权利是否与个人财产所有权处于平等的地位。同样，在同一项原则里要求财产归还机制“在最大程度上”承认拥有正式所有权以外的房屋和土地权利的人需要澄清权利性质，不过这项原则可以理解为提出一项切合实际的建议，而不是意味非所有人的法定权利存在局限。[45]\",\n \"28. 必须根据制定《皮涅罗原则》的特定背景对该原则加以理解。虽然制定《皮涅罗原则》的资料来源多种多样，但形成《皮涅罗原则》的是当时施行的正式归还机制(尤其是在波斯尼亚和黑塞哥维那施行的机制)的实践经验——其背景主要是正式登记的私人财产和南斯拉夫法律所称的“社会所有”公寓。[46] 波斯尼亚和黑塞哥维那的归还机制与其他地方的机制一样受到批评，被认为几乎没有照顾那些没有财产或者不具有得到承认的正式产权的人，无法依据形形色色的习惯法、国家法或者宗教法处置错综复杂的非正规土地权制度。[47]\",\n \"29. 特别报告员建议必须将住房和财产归还理解为归还与灾害发生前的住房或者土地有关的任何土地权利，不论土地权利状况如何抑或住房或者土地是否经过正式登记。在《南非土地权利归还法》以及近来关于持久解决方案的工作指导意见中可以找到这种方法的事例。[48] 在没有首先对《皮涅罗原则》的条文深入讨论和阐述的情况下，应当系统地将《皮涅罗原则》理解为包含多种多样的情形和土地权利。《皮涅罗原则》的一些要素表明归还概念具有适当的宽泛性，例如系统地使用“住房、土地和财产”而不是仅仅使用“财产”这个表述。[49]\",\n \"30. 《皮涅罗原则》对归还持有这种更全面的看法，其依据是国家承担与适足住房权有关的义务，尊重和确保全体人民的土地权保障，不论土地权体现为何种形式。这种方法承认那些不属于正式登记财产个人所有人的人也是享有权利的人。尽管由于背景不同，灾后和冲突后的需求也会有所不同，人权责任的类型却是相同的。应当以此为根据看待和贯彻财产归还制度。\",\n \"31. 应当进一步审视这种将归还制度视为救济权组成部分的全面见解的实际意义，以便清楚有力地指导各种情况。[50] 但是，就本报告而言，应当铭记《皮涅罗原则》对灾情作出了合格的评估(见上文第二部分)，财产归还制度往往是回返及其他持久解决方案的一项条件，而不是一种法律救济。明白各种形式的土地权具有平等的合法地位，这不仅与归还制度有关，甚至与确保持久解决方案和恢复的努力有关。在此等情况下，倘若人们不能够或者不愿意回返，国家以及国际组织不论是在他们从前的居住地还是在其他地方，都必须评估所有受灾者的土地权利，并且采取措施保证和确保灾后的土地权保障。[51] 再者，不歧视和平等原则要求各国和国际组织优先援助那些土地权最缺乏保障的人，对于那些土地权薄弱、不明确或者脆弱的人，加强他们的土地权保障，这项义务在救济和恢复工作中常常遭到忽视。\",\n \"B. 为实施持久解决方案而承认实际存在的土地权利\",\n \"32. 在土地保有不够明确，有关住房或者土地的权利请求所依据的法律和习惯安排纷繁复杂，有时相互矛盾的情况下，国际机构不大愿意对这样的回返地或者重新安置地进行投资。在这方面，城市地区的重建活动可能格外艰巨，因为这些地区的土地所有权和地产保有问题往往错综复杂。\",\n \"33. 在海地开展工作的许多组织明显地表现出这种心态。一项评估明确表示：\",\n \"土地市场的状况混乱不堪，基本上无法可依。土地所有权记录荡然无存或者含糊不清。土地缺乏清晰的产权或者没有经过核实的所有人出具的书面同意，以致难以向潜在的受益人提供新住房或者支持他重新占有先前的住房。[52]\",\n \"显然，这已经成为海地重建和回返迟延的原因之一。同样，在印度洋海啸发生之后，各级政府颁布了若干相互矛盾的土地利用政策和限制措施，由此发生的争端据称给国际恢复工作造成了种种障碍，严重损害了为实现灾害风险管理所付出的努力。[53]\",\n \"34. 在这种背景下，必须区分两项任务：长期来说，可能需要通过法律改革及其他机制，例如标明土地产权，正式登记并巩固所有权或者地产保有，由此明确解决许多人发觉的含糊不清或者无法确定的情形。不过就短期而言，上述措施可能不是满足重建和恢复需求而又不加重不平等现象的最适宜的办法。[54] 经验还表明试图在灾害或者冲突发生后立即解决所有的所有权/地产保有和土地改革问题将会遇到艰巨的挑战。巴基斯坦政府指出：“充分理解土地保有问题在社会、政治、技术和法律方面的复杂性，明白这些复杂之处不限于受灾地区，这是极其重要的。”[55] 短期来说，通过迅速的方法评估灾害发生前的地产保有权利，以便更有效地实现重建和恢复，确保人人得到最低程度的土地权保障，并且解决解决某些最重要的不平等和不安全现象，这种做法仍然是必要而且适宜的。\",\n \"35. 为重建和回返确定住房或者土地权利请求的最适宜办法取决于地产保有或者财产安排、正式手续和登记以及资源等方面的特定环境。正如已经讨论的那样，正式的行政或者司法财产归还机制在一些情形下，尤其是以多种多样的地产保有安排为特征的情形下，可能并不适用或者适合。[56]大湖区问题国际会议的《回返者财产权议定书》在这方面提供了比《皮涅罗原则》更全面的方法，规定行政当局和传统当局都应当解决财产纠纷，由此承认传统上和习惯上的土地体系的重要性。[57] 《议定书》还设想出在社区解决纠纷的替代性和非正规机制，将以证人证言为根据的所有权证明作为要件。[58] 实际上，支助难民或者流离失所者回返的组织经常借助习惯法和传统冲突解决机制化解土地纠纷。[59] 但是必须小心谨慎，以免妇女或者其他特别容易遭受歧视的人在上述纠纷解决过程中不会遭到排斥或者处于不利境地。\",\n \"36. 更进一步的是“社区”或者“参与式”查点做法。此类参与式程序已经在不同国家用于不同目的，例如用于确定和加强非正规房屋的地产保有权利，或者用于土地裁决。[60] 在没有土地簿记的情况下，在灾害发生后土地簿记被毁的情况下，或者在多种地产保有安排的背景下，社区查点可以提供有希望而且灵活的替代办法，以确定灾害发生前或者冲突发生前的占有和地产保有状况，由此确保地产保有具有一定程度的确定性和安全性，为持久解决方案提供资料。社区查点项目在印度洋海啸发生后得以实施，[61] 这些项目已开始在海地实施。应当从确定(适用于灾后情形的)成功的社区测绘程序的关键因素和先决条件的经验中吸取教训，包括此类程序与更正规的或者政府领导的鉴定或者土地管理程序之间的关系，以及需要利用冲突解决机制辅助这些程序。[62]\",\n \"37. 尽管由于背景不同，评估、尊重和加强土地权保障的机制也有所区别，但是不论在何种情况下这些机制都必须受人权原则指引，例如受灾社区参与和两性平等原则。\",\n \"五、灾害成为机会——谁的机会？\",\n \"38. 通常认为灾害创造了“白板”，从而为开展大规模的改革和艰巨的重新开发提供了重大机遇。灾害不仅为保护和促进人权带来了种种机遇，也带来了重大的风险。特别报告员担心，在某些情况下，重大的重新开发活动尽管使某些人受益，却由于作为或者不作为而忽视了最脆弱的群体，事实上违背了适足住房权的关键因素。\",\n \"A. 从沿海地带和城市重新开发到重建工作外包\",\n \"39. 许多人认为2004年印度洋海啸为重新开发提供了重大机遇，而重新开发活动有时候是以公共安全和减少灾害风险的名义进行的。海啸发生后，一些遭受海啸侵袭的国家确实在沿海设立了禁止重建房屋的地带(缓冲区)；这些地带宽约100到500米，在某些情况下，如果充分落实有关缓冲区的规定，将会需要重新安置超过100 000座房屋。[63] 缓冲区据说是使居民今后免遭灾害侵袭，可是缓冲区也对居民尤其是那些靠海洋为生的人们的生计产生了重大影响。\",\n \"40. 同时，包括基于安全理由对居民封闭的沿海地带的雄心勃勃的“重新开发”计划和豪华旅游出现了。一个旅游委员会当时曾经宣布海啸使本国有机会成为一个“世界级旅游胜地”。[64] 据报道，尽管禁止流离失所者返回他们的家园，酒店却不受这项禁令约束。在某些地方，土地开发商不过借机攫取土地，尤其是从脆弱的社区攫取土地。豪华酒店在许多沿海地带拔地而起。社区和平民社团组织抱怨道，设立缓冲区是为了蛮横地驱逐穷苦的沿海居民和土著社区，使企业和新的旅游设施获利。[65]\",\n \"41. 在卡特里娜飓风之后，新奥尔良市原有的许多公共住房被毁，在人们看来，这是从根本上改变这座城市的住房和城市特征的机会。特别是，新奥尔良市以非裔居民为主的四个最大的公共住房区(“四大区”)被拆除，以便按照规划重新开发各种收入者居住的社区以及实现其他用途。虽然在有些情况下由于公共住房损毁严重，也许没有切实可行的替代办法，拆除公共住房的主要理由是，这对城市恢复而言极其必要，对于保证健康和安全而言亦不可或缺。[66]问题是，与发生卡特里娜飓风之前可供居住的公共住房总数相比，规划的开发区只包括少量公共住房。[67] 拆除公共住房成为导致低收入居民无法返回新奥尔良的另一个障碍(见上文第三部分)。[68]\",\n \"42. 人们对所谓“重建行业”——重建活动的规划、筹资和实施被外包给私人公司——也表达了忧虑。在某些情况下，将重建工作外包而又不制定健全的保障措施，不可避免地对重建工作的适足性和可承受性以及人们参与重建活动并从中受益的能力产生不良影响。在智利，在地震和随后于2010年2月发生的海啸之后，据称私营部门在城市中心和沿海地带的重建活动中起了主要作用。按照《国家重建计划》的一项主要原则，家庭可以选择决定是在倒塌建筑物的原址重建他们的房屋还是获得一所先前存在的或者新近修建的房屋。但是，由于住房重建活动主要得到与个人财产挂钩的补贴的资助，私营建造商宁愿在城镇郊区的新地带而不是在许多人被迫离开的中心区重新修建住房，因为在中心区土地和房屋的价格要高得多。[69] 据说，房地产公司还趁这些家庭非常脆弱的时候迫使他们以极低的价格出售土地和房屋——以便进行私人重新开发。[70] 这表明，如果把重建活动仅仅交给市场，那么最穷困的人的新住房将很有可能位于城市外围。\",\n \"43. 在建筑市场也发现了类似的反常现象。在一起案件中，据报告某些城市的少数公司被授予垄断建筑材料的权力，给当地的小型企业造成了危害；在另一起案件中，重建进程导致供货商和建筑公司提高价格，阻挠了个人重建的努力。[71]同样，人道主义机构将过渡性住房的修建外包给国际承包商，这种做法可能分散支助流离失所者(可以利用这些资金支持他们修建自己的住房)的潜在资金。后一种情况的结果在文化方面也不可能是适宜的。[72]\",\n \"B. 尽职尽责地保障适足住房权\",\n \"44. 在上文讨论的事例中，灾后重建活动对最贫困者具有不良影响。在最恶劣的案例中，灾害为有权势的人毁坏房屋或者攫取土地提供了清白的记录和理由，而在灾害发生前这种情况是不可能发生的，因为当时必须遵循法律程序，必须征求受灾家庭的意见，向他们提供救济。充其量，国家没有充分监督灾后住房和重建市场的运营和管理，也没有采取措施确保人们得到能够承受的住房而且实际上不会被迫离开他们的出生地。虽然没有什么可以阻止国家要求私营企业支持重建活动——私营部门确实可以对恢复工作作出关键的贡献——但是政府必须留意自己的职责，那就是监督私营部门兑现承诺，确保重建活动不会让少数特权者受益，损害其他人的权益。\",\n \"45. 上述事例可被视为“推定强制驱逐”。[73] 在此类案例中，可适用与强制驱逐或者任意造成流离失所问题有关的国际准则。当证实存在强制驱逐现象时，受害人应当有权获得救济，包括公允的听证、获得法律咨询，取得赔偿，例如按照他们的选择，归还住房或者土地、给予适足赔偿或者替代性的住房/土地。[74]\",\n \"46. 在对公共安全的关注是合法而且必要的情况下，关于土地利用的决定或者住房法规仍须遵守人权准则——特别是与进行驱逐、得到补救和救济以及司法审查机会的权利、以及受影响社区的经济、社会和文化权利有关的严格程序要求。驱逐不应造成个人无家可归的结果。在受灾者无法养活自己的情况下，国家必须采取措施确保他们能够得到替代性住房、重新安置或者肥沃的土地。[75]\",\n \"47. 限制措施也必须符合相称性原则。[76] 这需要在受灾者的权利与国家减少损害和确保公共安全的利益之间保持平衡。[77] 就防止海啸而言，必须证明阻止居民返回海滨地带的法规是为实现公共安全目标而采取的限制性最小的办法。国家必须证明警示系统或者堤堰等其他安全措施无法实施或者没有效果。[78]\",\n \"48. 最后，土地利用限制措施的经验促使人们考虑多种因素，包括重新安置居民需要在基础设施和服务方面投入大量资金，还可能严重扰乱人们的生计和社区的生活。[79] 定居点和住宅建设的模式不是任意的，而是反映出难以在其他地方照搬的特定经济和社会结构。因此，不论人权准则，还是对于流离失所现象的社会经济成本的评估，都要求采取限制性更强的方法实施有关土地/住房建设用途的限制措施。\",\n \"六、恢复与持久解决方案：解决适足住房权的方方面面\",\n \"49. 除了上文讨论的更加明显的保护问题，还必须从对适足住房的更开阔的看法出发解决重建问题——包括将住房看作一种社会资产——力求逐步实现适足住房权。据此来看，确保恢复和持久解决方案意味着重建社区和住宅区，确保适足生活水准，修建住房只是这其中的一部分，有时甚至不是最重要或者最迫切的部分。[80] 灾害不是在真空环境下发生的：必须评估和解决发生灾害的更广泛的住房背景。\",\n \"A. 对住房和财产的不当关注\",\n \"50. 灾后情形的特点不仅有可能是房屋大规模受损，还有可能是居民大批流离失所，社交网络和关系陷入混乱，基本服务受到破坏或者无法获得，丧失生计、工作、资产或者土地——这一切都是影响到享受适足住房权的关键因素。因此，重建工作和确保持久解决方案的努力往往过于关注房屋最确实的方面(有形构筑物)。国际组织和各国/地区政府容易认为对受灾者而言当务之急是重建住房而不是生计或者社区基础设施。[81] 对房屋进行评估时，房屋被当作一个技术或者经济行业而不是一项人权，受到关注的是建筑物和建造标准及材料，还有应急和过渡住房的质量。在某些情况下，对于财产归还的关注还对伤害到重新建立并改善支持可持续回返的更广泛社会、政治或者经济状况——工作、基本服务和基础设施、安全保障。一位评论者指出，“‘房屋’，而不是流离失所者的实际幸福，成了衡量回返进程成功与否的标准。”[82]\",\n \"51. 众所周知的口号“重建更美好家园”似乎——而且肯定应当—— 立志解决受灾社区更广泛的生活状况。秘书长印度洋海啸问题特使指出：“财政资源、国际关注以及进行政治和政策改革的意愿，通常是危机发生后时期的特征，它们应当使我们能够重建得更美好并且持久地摆脱不公平的开发模式。”[83] 人们也提出了类似的呼吁，将巴基斯坦洪灾看作“一次重建更美好的生活和加紧给生活在社会边缘的数百万人带来尊严。”[84] 然而，落实这种令人振奋的想法往往具有技术性最强的含义，例如，修建防洪和抗震标准的房屋。[85]\",\n \"52. 相比之下，世界范围内的一些重建项目已经尝试将重建进程看作“促进当地开发进程的一次机遇”，而不是局限于恢复灾害发生前的状况——社区的参与在这方面起着关键作用。[86]\",\n \"B. 解决救济和恢复努力中更广泛的问题\",\n \"53. 上文曾经提到，海地地震凸显住房条件在很大程度上不充足、非正规房屋充满危险而且土地权缺乏保障的问题。国际社会关心在帐篷内栖身的流离失所者，向他们提供的条件比许多海地人享有的条件还要优越，从而意外地使帐篷成为令人向往的栖身地。由于没有进行伴有向回返社区提供服务的系统重建，贫困家庭没有什么理由离开他们所栖身的帐篷——在这里住房和服务是免费提供的。狭隘地关注境内流离失所者的困境和临时性解决方案，尽管从应急的角度来看是可以理解的，但是在困难的社会经济和地产保有背景下，这种狭隘的观念却成为长期恢复的障碍，在某些情况下导致进一步的发展问题。[87] 随着城市化程度的提高，许多城市化活动的发生出人意料，此类情况必定更加频繁(见A/64/255，第13至21段)。\",\n \"54. 海地的情形也可作为一个实例说明重建和财产规还制度的理论基础面临的挑战：问题在于，在以普遍贫困和生活及住房条件严重不足为特征的背景下，重建的最终目标是否应当是为那些在灾害中丧失居所的人提供高质量的住房？特别报告员认为干预措施必须力求逐步实现全体人民的适足住房权。在海地，重建和恢复工作与为那些直接遭受灾害影响的人修建新住宅没有多大关系，更重要的是要改善遭受灾害影响、未经规划而且未经维护的定居点的总体生活和住房条件。因此这种方法应当以定居点和社区，而不是个人房屋，作为关注对象，并且专注于营造人们能够享受适足生活水准的地方。\",\n \"55. 灾后土地利用规划可以作为一种有力的工具，既为重建工作提供参考，又为灾害发生后即刻采取的应对行动提供法律依据。灾后区域规划可以承认事实上的定居点，为基础设施投资和升级到目前为止未经维修和未经规划的定居点提供依据，从而为回返和重建工作创造便利。\",\n \"56. 从人权的角度来看，应当铭记不歧视和关注最脆弱者的义务，因此，作为救灾工作的组成部分，投资改造生活条件非常差的定居点，不仅是正当的，也是必需的。而且，出于原则性和务实的理由，从长远来看，在一些情况下也需要处理这种情形：就海地的情况而言，这意味着专注于改善那些虽然未受灾害影响但是与受灾定居点具有同样城市化和脆弱性特征的定居点(只要这些定居点不在容易受灾的地区)的状况。\",\n \"C. 应急阶段与长期恢复之间缺乏联系\",\n \"57. 上述实例还证明应急阶段与长期恢复之间目前缺乏联系，而且在许多情况下，国际社会对于从一个阶段向另一个阶段过渡进行管理时遭遇种种困难。[88]\",\n \"58. 将个体受益者和“可达到的目标”——食物、住房、健康用品——本身作为关注的目的，可能背离尊重、保护和实现权利(例如住房权、用水权、健康权)的基本责任和长久考虑的要求。在海地，有报告说直接需求成为国际社会应对措施的主题，因此，扶持永久住房需求的特殊承诺变得无关紧要。[89] 机构间常委会的Hach住房小组在报告中确认了对帐篷区习以为常，以牺牲更持久的永久性方案来让应急措施消耗紧缺资源等风险。\",\n \"59. 同样，大规模建造过渡性住房也许并不总是必要或者适宜的，某些情况下可能给持久解决方案造成妨碍，例如，在拥挤的城市地区，由于缺乏空间，人们可能无法逐步修建永久性住房。在随着时间推移，人们的关注和援助量不断减少的情况下，修建过渡性住房可能无意中分散用于重建永久性住房和住宅区的资 源。[90] 因此，令人遗憾的是，灾害结束后多年，人们仍旧栖身于过渡性住房，这种现象并不少见(见A/HRC/13/20/Add.4，第31段)。 国家和国际组织在没有考虑能否支持替代性解决方案的情况下，不应想当然地假定人们需要过渡性住房。\",\n \"60. 许多人呼吁采取一种综合方法确保在救济阶段和恢复阶段之间援助能够源源不断。特别报告员在提交人权理事会的上一次报告(A/HRC/16/42)中曾经讨论了与这个问题有关的某些资金筹措事宜。特别报告员谨此鼓励捐助者尽早支持持久解决方案和恢复工作，并且帮助确保源源不断地提供援助，包括能够不拘一格地提供资金帮助。\",\n \"七、结论\",\n \"一种有针对性地全面纳入适足住房权的救灾方法\",\n \"61. 将适足住房权纳入灾害对策具有广泛的意义。然而，在实践中，对适足住房权的理解和运用这种权利进行救灾却被局限于这项权利的某些方面，最为显著的就是与有形构筑物和个人财产所有权有联系的方面。在某些情况下，重建和恢复工作由于疏忽大意或者有意作为而对受灾者及受灾者享有适足住房权产生了有害影响。\",\n \"62. 在特别报告员看来，在重建工作中付出全方位的努力以求实现适足住房权不仅是一项义务也是一种机遇。尽管救灾工作不会也不应当取代开发活动，但是可以借助救灾工作纠正要么加剧自然灾害影响要么被自然灾害暴露出来的不平等现象，促进尤其是通过改善土地权保障逐步实现人人享有适足住房权的努力。\",\n \"63. 下面的建议概述一种充分立足于适足住房权的救灾方法的基本要素。这些建议的本意是，在涉及确保适足住房权得到保障和实现时，它们对现有的指导意见能够加以补充。除非另行说明，这些建议的对象既包括政府也包括国际捐助者和组织。最后，本报告就后续行动提出了建议，应当铭记，这种框架仅仅扼要说明需要进一步完善和实施的一般性原则。\",\n \"八、建议\",\n \"64. 特别报告员提出的建议如下：\",\n \"A. 一般框架：以适足住房权为根据的救灾工作\",\n \"首要原则\",\n \"1. 适足住房权\",\n \"在灾害应对的各个阶段，都应当尊重和保护适足住房权。应当将适足住房权理解为安全无虞地生活，在根据以下因素而被视为适足的环境下生活的权利：保有权保障；可提供服务、物资、便利和基础设施；价格低廉；适合居住；进出方便；地点；以及适当的文化环境。\",\n \"2. 保有权保障\",\n \"一视同仁地承认多种多样的地产保有形式，确保灾后人人的土地权能够得到保障。\",\n \"3. 参与\",\n \"4. 不歧视和脆弱性\",\n \"行动原则\",\n \"1. 平等的避难和住房权利\",\n \"2. 切勿损害权利\",\n \"尊重和保护适足住房权，包括土地权保障时，不得由此造成损害，也不得损害这种权利：\",\n \"3. “非正式所有人”的土地保有权\",\n \"应尊重“非正式所有人”——即那些不具有经过正式登记的个人财产所有权的人——的土地保有权利：\",\n \"4. 救灾和恢复方案的背景\",\n \"应当在(一个地区/城市/国家)总体住房环境下实施救济和恢复方案：\",\n \"5. 社会重建\",\n \"应重新修建或者重新安置社区和住区，而不仅仅是房舍：\",\n \"6. 遵守国际标准\",\n \"如果由于土地已经灭失或者存在阻止回返的客观安全理由，或者如果受灾的个人或者群体不想回返，以致不能实现回返，那么重新安置和融入当地的条件必须符合与适足住房、驱逐和流离失所问题有关的国际人权标准和准则。\",\n \"7. 减少灾害风险的法律\",\n \"各国必须通过减少灾害风险的法律，此类法律应当尊重适足住房权。必须特别关照可能遭受歧视和排斥的人，包括由于土地权状况而遭受歧视和排斥的人，并应制定措施保护他们。\",\n \"B. 后续行动建议\",\n \"1. 联合国各机构和机制、机构间常设委员会或者该委员会的组织成员或合作机构应当考虑进一步研究将适足住房权切实纳入救灾措施之中，以此作为特别报告员所提议的框架的出发点。\",\n \"2. 应当在以下方面进一步开展工作：\",\n \"3. 联合国人权机制在审查国家报告和进行国别视察时，应当评估在自然灾害环境下享有具体人权的情况以及防灾、救灾和恢复工作在何种程度上促进享有人权，并就此提出建议。\",\n \"[1] ^(*) A/66/150。\",\n \"[2] 国际灾害数据库，http：//www.emdat.be。\",\n \"[3] 当灾后环境缺乏有案可查的事例，而冲突后环境的某些事例又与灾后环境有关而且适合灾后环境时，本报告仍将借鉴冲突后环境下的事例。\",\n \"[4] 特别报告员谨向为她的视察活动提供便利的联合国海地稳定特派团、人权事务高级专员办事处和联合国人居署重申谢意。\",\n \"[5] 与灾后相比，在冲突和冲突后环境下的人权挑战受到更多关注，相关准则也得到进一步阐述。除了本报告讨论的准则以外，冲突后应对措施还要受到国际人道主义法、难民法以及与救济和赔偿有关的准则指引。\",\n \"[6] 见经济、社会和文化权利委员会，第4号一般性意见：适足住房权。\",\n \"[7] 见经济、社会和文化权利委员会，第7号一般性意见：强行驱逐；另见《关于出于发展目的的搬迁和迁离问题的基本原则和准则》(A/HRC/4/18，附件1)。\",\n \"[8] 在提交人权理事会的上一份报告中对参与问题进行了讨论。本报告第三部分讨论不歧视问题。\",\n \"[9] 例如，在《机构间常设委员会关于在发生自然灾害时保护人员的行动准则》中，第C.2.1节提及适足住房权，但是其他可能相关的条款却没有提到这项权利。\",\n \"[10] 见Erica Harper,《适用于自然灾害的国际法和准则》(罗马，国际发展法组织，2009年)。\",\n \"[11] 负责境内流离失所者人权问题的秘书长代表属于例外情形。见联合国条约机构和特别程序所作的评论意见，《世界人权索引》，http：//www.universalhumanrightsindex.org/en/index.html。\",\n \"[12] 《指导原则法律数据库》证明它们得到广泛认可。见http：//www.idpguidingprinciples.org/。\",\n \"[13] 最初于2006年发布，修订本于2011年公布。\",\n \"[14] 《国内流离失所问题指导原则》，第28项原则；机构间常设委员会准则，D.2.2，D.2.3。\",\n \"[15] 促进和保护人权小组委员会，第2005/21号决议。\",\n \"[16] 第2.2项原则。另见关于根据国际法是否存在某种独立的财产归还权利的似乎尚无定论的辩论：Malcolm Langford和Khvlekani Moyo，“权利、救济还是夸夸其谈？国际法上的土地归还问题”，《北欧人权杂志》第28卷，第2号(2010年)。但就本报告而言，特别报告员确信财产归还权是获得救济和赔偿的权利，以及难民和流离失所者返回出生地和常住地的权利的必要部分。\",\n \"[17] Harper, 《国际法》，第4章(见上文脚注9)。\",\n \"[18] 第1项原则。除其他外见Charles Gould，“自然灾害发生后重建住宅的权利”，《哈佛人权杂志》，第22卷(2009年)；Rebecca Barber，“自然灾害发生后保障住房权利：国际人权法准则”，《国际难民法杂志》第20卷，第3期(2008年)。\",\n \"[19] 欧洲人权法院，“Budayeva及其他人诉俄罗斯”，2008年9月29日；巴基斯坦最高法院，“防洪委员会案”，2011年6月7日，见http：//www.supremecourt.gov.pk/web/page. asp?id=735(访问时间为2011年7月24日)。\",\n \"[20] 见大会第64/200号决议。\",\n \"[21] 经济、社会和文化权利委员会，第3号一般性意见，缔约国义务的性质，《公约》第2条第(1)款。另见儿童权利委员会对于灾害问题的结论性意见，例如CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4。\",\n \"[22] 《消除一切形式种族歧视国际公约》，第1条第(4)款；《消除对妇女一切形式歧视公约》，第4条。\",\n \"[23] 这座城市84%的贫困人口是非裔美国人。布鲁金斯学会，《风灾过后的新奥尔良：汲取以往的教训，未来的计划》(2005年)，第6页。\",\n \"[24] 同上，第13页。\",\n \"[25] Elizabeth Ferris 和Daniel Petz, 《朝不保夕的一年：对2010年自然灾害的回顾》(伦敦，布鲁金斯学会——伦敦政治经济学院，2011年)，第19页。特别报告员欢迎哥伦比亚政府提供信息，介绍该国为应对“拉尼娜”效应而采取的行动，例如设立“Fondo de Adaptación”，负责确定和管理旨在找到持久解决办法的项目，包括减灾和防灾策略。\",\n \"[26] 巴基斯坦政府、亚洲开发银行、世界银行，《2010年巴基斯坦洪水：破坏和需求初步评估》第68页；乐施会，《土地权与印度河洪水，2010-2011年：快速评估和政策审查》(牛津，大不列颠牛津救济会，2011年)。特别报告员承认巴基斯坦政府所面临的挑战的规模以及该国政府为处理救济和恢复工作所付出的种种努力，特别是一视同仁地向土地所有者和没有土地的人发放瓦坦卡，借以鼓励所有的难民返回家园。\",\n \"[27] 据估计，在地震发生之前，80%的太子港居民生活在仅占城市面积20%的非正规房屋中。\",\n \"[28] 国际移民组织，流离失所现象追踪矩阵，2011年5月。\",\n \"[29] 见乐施会，《土地权与印度河洪水》，第3页(见上文脚注25)。\",\n \"[30] John Telford和John Cosgrover，《关于国际社会应对印度洋海啸的联合评价——综合报告》(伦敦，海啸评估联盟，2006年)，第104页。\",\n \"[31] Michael Lyons和Thco Shilderman等人。《重建更美好家园：以人为本的按比例住宅重建》，(伦敦，务实行动， 2010年)，(关于斯里兰卡的社区)；援助行动组织，《海啸应对措施：人权评估》(2006年)，第43至47页。\",\n \"[32] 在卡特里娜飓风发生之前，大多数享受公共住房和房券补贴的家庭的户主是妇女。在飓风发生之后，她们由于缺乏可以承受的住房/公共住房，因此受灾尤其严重。见Ferris 和Pelz， (见上文脚注24)。\",\n \"[33] 见《世界重建大会：自然灾害发生后的恢复工作和减少风险：会议记录》(日内瓦，2011年5月)，第31页。\",\n \"[34] 见联合国海啸灾后恢复事务特使William J. Clinton的报告，《重建更美好家园的重要提议》(2006年)；Hakan Arslan和Cassidy Johnson，“土耳其：小规模行动者能够克服缺乏国家意志的困局吗？”，摘自《重建更美好家园：建设以人为本的住房》，Lyons和Shilderman等人(见上文脚注30)。\",\n \"[35] 乐施会，《土地权与印度河洪水》，第24至25页(见上文脚注25)；巴基斯坦政府等，《2010年巴基斯坦洪灾》，关于住房、农业和金融部门的附件。(见上文脚注25)。另见本报告第三部分关于土地权/土地评估的讨论。\",\n \"[36] 强制驱逐问题咨询小组，《新奥尔良任务报告》，2009年7月26日至31日以及A/HRC/13/20/Add.4，第30段。在以公共住房为主的90%的社区，居民是非裔美国人，而其中80%的居民又是租户。见Ferris和Petz，《朝不保夕的一年》，第74页(见上文脚注24)。\",\n \"[37] 特别报告员对美利坚合众国政府收到的信息表示欢迎，这些信息说明联邦政府，包括住房和城市开发署采取了哪些措施制止私人和公共主体在住房方面的歧视，除了其他措施以外，联邦政府采取了哪些措施制止由限制性区域规划或者歧视非裔美国人的租金条例(例如圣贝尔纳教区在卡特里娜飓风之后通过的条例)造成的系统性歧视现象。\",\n \"[38] 美国政府问责局，《灾后住房：联邦应急管理局需要更细致的指导和救灾措施，以确保在大灾之后有效开展救援》，2009年，第11至13页；“卡特里娜飓风之后4年：住房危机仍未结束，低收入租户遭遇歧视”，《直面南方》，2009年8月21日。\",\n \"[39] Ferris和Petz，《朝不保夕的一年》，第74页(见上文脚注24)。\",\n \"[40] 强制驱逐问题咨询小组，“任务报告”，第5页(见上文脚注35)。\",\n \"[41] 在某些情况下，私人所有权事实上不是确保土地权的最适宜方式。见A/HRC/10/7。\",\n \"[42] 见代表团就特别报告员的报告(A/HRC/16/42/2010)发表的支持这种看法的评论意见，人权理事会，第十六届会议。\",\n \"[43] 特别报告员特别指出人道主义机构对“六种土地权方案”的划分等于承认也需要解决其他形式的土地权。联合国与避难中心，《灾后避难所》(2010年)，第107页。\",\n \"[44] Langford和Moyo，“权利、救济还是夸夸其谈？”第148至149页(见上文脚注15)。\",\n \"[45] 另见原则15.3规定的承认传统社区和土著社区的占有权(独立于原则16)。\",\n \"[46] 见http：//www.ohr.int/plip； Norbert Wühler和Heike Niebergall编辑，《财产归还与赔偿：索赔方案的实践与经验》(日内瓦，国际移民组织，2008年)。\",\n \"[47] Rhodri Williams，“波斯尼亚的冲突后财产归还：在发生流离失所现象后权衡赔偿与持久解决方案”，在土耳其经济和社会研究基金会关于土耳其及其他国家境内流离失所问题的国际研讨会上提交，伊斯坦布尔，2006年12月；Conor Foley，Ingunn Sofie Aursnes，“冲突后的土地、住房和财产归还问题：原则与实践”，《人道主义交流杂志》(2005年)，第2页。挪威难民委员会，《阿富汗的特别财产归还法院》，2005年。\",\n \"[48] 总统办公室，1994年第22期，《土地权归还法》，第I (1)xi章；机构间常设委员会，《关于境内流离失所者持久解决方案的框架》，(哥伦比亚特区华盛顿，布鲁金斯研究所，2010年)，第35页。\",\n \"[49] 另见原则8和原则15.2；E/CN.4/Sub.2/2005/17/Add.1，第62段；Langford和Moyo，“权利、救济还是夸夸其谈？”(见上文脚注15)。\",\n \"[50] 包括土地权仅仅以使用为基础的情形，或者实质上无法实现归还的情形，例如土地保有者无法返回他们的居住地，或者原来的居住地已经灭失或者在灾害发生后被宣布为“不宜居住”。\",\n \"[51] 重要的是，有人的地产保有权利并不取决于实际重新占有从前的经常居住地。\",\n \"[52] 国际住房联盟，《海地住房部门评估：震后一年》(2011年4月)，第12页。\",\n \"[53] Telford和Cosgrove，《综合报告》，第102页(见上文脚注29)；以及Ian Christoplos，《海啸应对措施中救灾、恢复与开发之间的联系：初始结果综合》(伦敦，海啸评估联盟，2006年)，第71页。\",\n \"[54] 关于海地，评论意见是“严格的提供住房的资产替换办法和过于急切地确认财产权利……并不适合满足身为租户和擅自占地者(而不是所有人)的大多数灾民的住房需求。”一项主张快速推行土地簿记的提议被认为不适宜，有可能“加剧对于能够出具文献的地位最稳固、最有势力的正式所有人的偏向。”Kate Crawford等人，“协调与海地地产保有难题”， 《人道主义交流杂志》第48期(2010年)，第8页。\",\n \"[55] 就先前的一份草案收到的评论意见。同样，东帝汶政府选择了一个长期框架来解决土地问题。东帝汶就特别报告员的报告(A/HRC/16/42)发表的评论意见，2011年3月8日。\",\n \"[56] 正式的特别机制也耗费资源和时间。见科索沃不动产管理局2010年年度报告。\",\n \"[57] 大湖区问题国际会议，《回返者财产权议定书》(《大湖区议定书》)，2006年，第4条。\",\n \"[58] 《大湖区议定书》，第4(3)条。\",\n \"[59] 见A/HRC/16/42，第44至45段(关于东帝汶)；以及Foley和Aursnes，“土地、住房和财产”(见上文脚注46)。\",\n \"[60] 联合国人居署，《请把我算在内：地产权保障和城市土地管理调查》(内罗毕，2010年)。\",\n \"[61] 同上，印度尼西亚亚齐省，第79至83页，以及Harper，国际法，第209页(见上文脚注9)。\",\n \"[62] 见《世界重建问题大会：恢复和减少风险》，第33至34页(见上文脚注32)。\",\n \"[63] Oli Brown和Alec Crawford，“在自然灾害发生后解决土地所有权问题：一项机构调查”，2006年，第6页；以及《人权观察》，“大灾过后：2004年海啸结束后印度的重建工作”，第41页。某些最重要的限制性措施最终被放弃了。\",\n \"[64] 旅游业关注组织，“海啸后重建与旅游：又一场灾难？”，2005年。\",\n \"[65] 援助行动组织，“海啸应对措施”第17至18页(见上文脚注30)；Malicolm Langford和Jean Plessis，“尊严扫地？强制驱逐与人权法”；以及Brown和Crawford，“解决土地所有权问题”(见上文脚注62)。\",\n \"[66] Jolia Cass和Peter Whoriskey，“新奥尔良将要铲除公共住房”，《华盛顿邮报》，2006年12月8日。\",\n \"[67] 大赦国际，“违反常理的灾难：海湾沿岸的人权”，2010年，第6页；强制驱逐问题咨询小组，《任务报告》，第28至32页(见上文脚注35)。\",\n \"[68] A/HRC/13/20/Add.4，第30页。特别报告员对美国政府提供的信息表示欢迎，并高兴地注意到，由于实行各种住房政策，与发生卡特里娜飓风之前相比，现在有更多的人享受住房补贴。\",\n \"[69] 国际生境联盟、国际人类栖身地组织、建筑学与城市化系住房研究所和重建问题观测站， “Sur Maule”、“行动起来搞建设”和“观测站与住房”网络为适足住房权问题特别报告员编写的2011年关于2010年2月27日地震海啸以及智利重建进程的报告。\",\n \"[70] 同上。\",\n \"[71] 同上；另见A/HRC/13/20/Add.3，第25段。\",\n \"[72] 见：相比之下“所有人带动的”重建方法取得的成功。世界重建问题大会：恢复工作和减少风险。第25至27页(见上文脚注32)。\",\n \"[73] Malcolm Langford，“在海啸灾害结束后回返和重新定居的权利”，《灾情简报》第2(2)期(2005年7月至9月)。有些国家利用“推定驱逐”这个术语描述出租人的某些作为或者不作为导致出租地产不适宜居住或者不适合租赁的目的。\",\n \"[74] 经济、社会和文化权利委员会，第7号一般性意见，大会第60/147号决议，Cuhtled；《严重违反国际人权法和严重违反国际人道主义法行为受害人获得补救和赔偿的权利基本原则和准则》；以及《皮涅罗原则》。\",\n \"[75] 第7号一般性意见，第16段。机构间常设委员会准则，C.2.4，C.2.5。\",\n \"[76] 人权委员会，第27项一般性意见：行动自由。\",\n \"[77] “保护自然灾害中的境内流离失所者：秘书长境内流离失所者人权问题代表对亚洲的工作视察”，Walter Kälin, 2005年，第22页。\",\n \"[78] Langford，“回返和重新安置权”(见上文脚注72)。\",\n \"[79] 世界银行，《自然界的危险，开发活动的风险：独立评估小组对世界银行自然灾害救援行动的评价》(哥伦比亚特区华盛顿，2006年)；人道主义行动问责和绩效动态学习网络，“应对地震灾害，2008年：从地震救灾和恢复中汲取教训”。\",\n \"[80] 机构间常设委员会，《持久解决方案框架》(见上文脚注47)。可以从良好的重新安置开发实践中汲取教益，例如：Michael Cernea和Christopher McDowell等人，《风险与重建：重新定居者和难民的经历》(哥伦比亚特区华盛顿，世界银行，2000年)。\",\n \"[81] 例如见，关于印度尼西亚住房建设，Lyons和Shilderman等人，《重建更美好家园》，第157页(见上文脚注30)。\",\n \"[82] Megar Ballard，“冲突后财产归还：有漏洞的法律和理论根据”，《伯克利国际法杂志》第462期(2010年)，(关于波斯尼亚和黑塞哥维那)。\",\n \"[83] 联合国负责海啸灾后恢复事务的特使，“重建更美好家园的主要立场”(见上文脚注33)。\",\n \"[84] 巴基斯坦政府、亚洲开发银行和世界银行，《巴基斯坦洪灾》，第7页(见上文脚注25)。\",\n \"[85] 同上，第22页和第94页。\",\n \"[86] 例如见秘鲁的项目：Lyons和Shilderman等，《重建更美好家园》，第307至344页(见上文脚注30)。\",\n \"[87] 太子港郊区的“考雷尔帐篷区”案例是这些困难的典型表现。“考雷尔帐篷区”原本被当作一个临时性帐篷区，收容在最危险区域居住的流离失所者，不过它吸引着全国各地的人，短短数月就变成一个新的非正规定居点，截至2011年5月已经容纳至少50 000至60 000名居民。\",\n \"[88] John Holmes，“汲取海地的教训”，《人道主义交流杂志》第48期(2010年10月)，第3页。\",\n \"[89] 题为“地震后美国政府海地策略：谋求复兴和经济机遇”的美国战略(2011年)。\",\n \"[90] 在海地，一座T型住房的费用平均为2 500美元，而对永久性住房的最廉价估价约为每座房屋3 500美元。\",\n \"[91] 见第1项首要原则。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 69 (b) of the provisional agenda*","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Right to adequate housing","Note by the Secretary-General","The Secretary-General has the honour to transmit to the General Assembly the report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living and on the right to non-discrimination in this context, Ms. Raquel Rolnik, submitted in accordance with Human Rights Council resolution 15/8, paragraph 2 (h).","Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living","Summary","The present report focuses on the realization of the right to adequate housing in post-disaster settings. The report assesses human rights standards and guidelines relevant to an approach to disaster response based on the right to adequate housing and discusses some existing limitations. It elaborates upon key challenges relating to the protection and realization of the right in disaster response: inattention to or discrimination against vulnerable and disadvantaged groups; the overemphasis on individual property ownership and the associated difficulty to recognize and address the multiplicity of tenure forms equally in restitution and recovery programmes; the risks of approaching post-disaster reconstruction predominantly as a business or development opportunity that benefits only a few; and limitations in existing frameworks for reconstruction and recovery. The report concludes by outlining the fundamentals of an approach to disaster response that deliberately and comprehensively integrates the right to adequate housing.","Contents","Page\nI.Introduction 4II. Assessment 4 of the legal and policy framework applicable to natural \ndisasters III. Discrimination 7 and vulnerability: compounding factors in the impacts on and responses to \ndisasters A. Disadvantaged 7 groups most affected by \ndisasters B.Neglect 8 and discrimination made visible by \ndisasters C.Recovery 9 responses overlooking or discriminating against the most \nvulnerable IV.Recognizing 10 and protecting all forms of tenure equally, from restitution to durable solutions \nprogrammes A.Towards 11 an expansive notion of housing and property \nrestitution B.Recognizing 13 tenure rights in practice, for the purpose of durable \nsolutions V. Disasters 15 as opportunities — for \nwhom? A.From 15 the redevelopment of coastal areas and cities to outsourcing \nreconstruction B.Acting 17 with due diligence to protect the right to adequate \nhousing VI.Recovery 18 and durable solutions: addressing all aspects of the right to adequate \nhousing A. Undue 19 focus on houses and \nproperty B.Addressing 20 the wider context in relief and recovery \nefforts C.Disconnect 21 between emergency and long-term \nrecovery \nVII. Conclusion 21\nVIII.Recommendations 22A.General 22 framework: disaster response based on the right to adequate \nhousing B.Recommendations 25 for \nfollow-up","I. Introduction","1. The present report focuses on the realization of the right to adequate housing in post-disaster settings. It should be read in conjunction with the report submitted to the Human Rights Council (A/HRC/16/42), in which the Special Rapporteur discusses common issues relevant to both post-conflict and post-disaster settings.","2. While many commonalities exist across post-conflict and post-disaster situations, some challenges are specific to the latter and require different responses. The Special Rapporteur chose to focus on disasters, in the light of the increasing prevalence of disasters worldwide that have more devastating effects than ever before,[1] the likelihood that this trend will continue as a result of climate change, rapid urbanization and population growth, and the comparatively fewer experiences and guidelines available to address issues related to the right to adequate housing in the wake of disasters, compared to post-conflict settings.[2] The Special Rapporteur also had the opportunity to conduct a working visit to Haiti (8-11 June 2011) to assess reconstruction and relief efforts in the wake of the earthquake of January 2010, which greatly informed her thinking for the present report and highlighted the need to focus on disasters.[3]","3. Taking an approach to post-disaster and recovery-based reconstruction on the right to adequate housing has significant implications. The Special Rapporteur is concerned that disaster relief and recovery efforts have so far, with notable exceptions, taken a narrow view of what constitutes the right to adequate housing, on some occasions leading to violations of the right. Section I of the present report assesses relevant standards. Sections II to V elaborate upon key challenges. The report concludes by outlining the fundamentals of an approach to disaster response that deliberately and comprehensively integrates the right to adequate housing and provides recommendations for follow-up measures.","II. Assessment of the legal and policy framework applicable to natural disasters","4. While there are a number of standards and guidelines relevant to ensuring the right to adequate housing in post-disaster situations, they are often understood and applied in a fragmented manner.[4] There are other more specific limitations too, as will be discussed.","5. The right to adequate housing is most clearly recognized by the International Covenant on Economic, Social and Cultural Rights (article 11). The Committee on Economic, Social and Cultural Rights underlined the importance of interpreting the right in broad terms, identifying seven aspects of the right that States must progressively realize: security of tenure; availability of services, materials, facilities and infrastructure; affordability; habitability; accessibility; location; and cultural adequacy.[5] All the aspects and safeguards pertaining to eviction and resettlement derived from the right[6] are relevant to disaster response, as are the human rights principles of participation and non-discrimination and equality.[7]","6. However, existing guidance with respect to disaster situations has given little attention to the right to adequate housing. When reference to the right is made it is limited, with the right narrowed down to the need to provide shelter, housing or to aspects related to protection.[8] The few attempts to discuss the right in a more comprehensive manner have remained at the level of an individual organization’s guidance and not in the form of authoritative policies of broad application.[9] Equally, United Nations human rights mechanisms have, with notable exceptions, not addressed the specificities of disaster situations and their impacts on the enjoyment of the right to adequate housing or other human rights, remaining at the level of generalities.[10]","7. Instead, most initiatives to address disasters from a human rights perspective have taken place with respect to specific groups, notably internally displaced persons and refugees. The Guiding Principles on Internal Displacement are essential in this regard. They have been recognized as a significant international framework for the protection of internally displaced persons in both post-conflict and post-disaster situations.[11] While attention was at first geared to the protection of internally displaced persons in conflict and post-conflict situations, in recent years policy and operational guidelines have also been developed with respect to natural disasters, expanding the scope of application to all persons affected by disasters, including but not limited to internally displaced persons. The Inter-Agency Standing Committee Operational Guidelines on the Protection of Persons in Situations of Natural Disasters (Inter-Agency Standing Committee Guidelines) is an important document in this regard.[12] The Guidelines and the above-mentioned Guiding Principles recognize the right of persons displaced by conflict or disaster to durable solutions, namely, a return to their homes or places of habitual residence (and, as key condition for durable return, to have housing or land restored to them), relocation elsewhere or local integration.[13]","8. The 2005 Principles on Housing and Property Restitution for Refugees and Displaced Persons[14] (“Pinheiro Principles”) go one step further by recognizing a distinct “right to restitution” (covering housing, land and/or other property) for refugees and displaced persons.[15] An important question is whether the Pinheiro Principles apply to post-disaster situations. The intention seemed to have been that they should apply, the central idea behind principle 1.2 being that people who are displaced — regardless of the reason for their displacement — are similarly situated and have a right to return to their places of habitual residence and thereby to restitution. On that basis, some interpret the Principles as applicable to all situations of natural disaster.[16] However, others point out that the Principles are explicitly limited to the “arbitrary or unlawful deprivation” of people’s former homes, land or places of habitual residence following displacement.[17]","9. This is not to say that the Pinheiro Principles are irrelevant to natural disaster situations. First, they fully apply in actual cases of arbitrary or unlawful deprivation or destruction of housing or land occurring in post-disaster situations, including, arguably, when displaced persons are denied their right to return to their homes (see section IV below), and in cases of unreasonable State failings with respect to disaster preparedness, mitigation or early warning systems.[18] Second, taken as a specification of existing standards pertaining to the rights of displaced persons and refugees to return to their homes, the Principles provide relevant guidance on how best to manage the technical and legal issues associated with housing, land and property restitution, guidance which has since been reflected to varying degrees in policy and practice.","10. Thus, an approach to disaster response that fully integrates the right to adequate housing would combine all the above sets of standards and principles and have at its core the various elements of the right to adequate housing. The recommendations in the final section of the present report propose the integration of those standards within a consolidated, conceptual and operational framework.","III. Discrimination and vulnerability: compounding factors in the impacts on and responses to disasters","11. Vulnerability is widely recognized as an important element in disaster risk reduction and management.[19] The most vulnerable, such as those living in poverty or with insecure tenure, are more likely to live in disaster-prone land; they are also at greater risks of displacement and loss of livelihood in the event of a disaster; and they will recover with more difficulty from the disaster.","12. On many occasions, vulnerability is compounded by direct or indirect discrimination, impacting on the ability of individuals and communities to protect themselves from disasters and to recover. The relevance of discrimination to disasters and disaster response may not be immediately apparent. Indeed, the term “natural disaster” could be taken as precluding responsibility, which may imply, in turn, the impossibility of discrimination. However, it is well accepted that the magnitude of impacts and distribution of losses from natural hazards are to a large extent man-made (see A/60/227). Disaster preparedness, mitigation and response are all subject to or conditioned by State action or omission, and may therefore be discriminatory.","13. The principles of equality and non-discrimination are firmly rooted in international human rights law. Attention to non-discrimination and equality requires Governments and aid organizations to pay particular attention to vulnerabilities and inequalities in pre-disaster contexts, and, in the aftermath of disasters, to address inequalities and protect the most vulnerable. United Nations treaty bodies have noted that even in times of severe resource constraints — as is typically the case in the wake of a disaster — States have a particular obligation to protect vulnerable members of society.[20] States should also take special measures to secure for disadvantaged groups the full and equal enjoyment of their human rights.[21] In post-disaster situations, such measures might translate into special assistance to support return of the most vulnerable groups or find land/housing for landless or homeless families.","A. Disadvantaged groups most affected by disasters","14. When Hurricane Katrina struck New Orleans in 2005, African Americans and poor people (with the two categories to a large extent blurred)[22] bore the brunt of the devastation because, for the most part, they lived most often in the lower-lying, more flood-prone sections of the city. In addition large numbers of the metropolitan area’s population (being generally poor) lacked the means to escape the flood.[23] The particular impacts and costs of the hurricane were therefore intimately linked to pre‑existing social, economic and land use patterns, directly related to housing and urban planning policies.","15. In Honduras, in the wake of Hurricane Mitch in 1998, the groups disproportionately affected included poor women, peasants and indigenous groups, many of whom had been living under insecure tenure conditions and in vulnerable areas exposed to strong winds, flooding and landslides (see A/HRC/16/42, para. 32). In Colombia, the floods throughout 2010 and into 2011 were said to have disproportionately affected those already displaced by conflict, particularly indigenous and Afro-Colombians, who tended to live in remote areas subject to violence from armed groups.[24]","16. In the aftermath of the Pakistan floods of 2010, it was acknowledged that the poor and vulnerable bore the brunt of the catastrophe, having no assets or safety nets. Those who were displaced by the floods and lost their assets and means of livelihood consisted disproportionately of landless tenants and labourers, living in non-/semi-permanent housing.[25]","B. Neglect and discrimination made visible by disasters","17. The earthquake in Haiti exacerbated and made visible a hitherto relatively invisible problem, namely, the dire conditions characterizing informal settlements in which the majority of the Port-au-Prince population lived.[26] The settlements, as many others elsewhere, had been created spontaneously and had never been recognized formally by the authorities. They had no or little access to basic infrastructure and services. With the earthquake, many of the residents moved to camps, either because their homes or neighbourhoods had been destroyed or damaged, or in order to be able to receive food or medical assistance, to take part in cash-for-work programmes, to save on rent (in the case of renters) or in the hope of receiving a house.","18. Sixteen months after the earthquake, there were still 634,000 people in over 1,000 camps. Observers noted that the camp populations were declining more slowly than in 2010, suggesting that people had nowhere else to go or had decided that however precarious their situation in the camps, it was still better than their situation of origin.[27] The earthquake thus highlighted long-entrenched patterns of discrimination and neglect. Disasters elsewhere have had similar effects.[28]","C. Recovery responses overlooking or discriminating against the most vulnerable","19. Recovery efforts, by overlooking or directly discriminating against some groups, can perpetuate and even reinforce pre-existing patterns of vulnerability and disadvantage. This is often the case with women. In the wake of the 2004 Indian Ocean tsunami, it was reported that the international response on many occasions strengthened “those who were better off and/or more articulate … while marginalizing those who had few assets, notably women”.[29] Relief efforts and policies, for instance, excluded women from livelihoods assistance and on occasion directly undermined women’s pre-existing rights, such as their rights to housing or land in matrilineal communities.[30] When women also happen to have insecure tenure — as they often do because their access to housing and land frequently hinges on a relationship with a man, or because they face additional hurdles as sole head of a household, they are particularly vulnerable.[31]","20. Disaster response appears to differ greatly according to whether it addresses the situation of individual, formally registered, property owners or that of all those with other types of tenure arrangements. It has been noted that in most housing reconstruction programmes, tenure documentation and legal proof of rights are prerequisites for establishing beneficiary eligibility, with the consequence of excluding the poorest and most vulnerable, including those residing in informal settlements with temporary or informal rights of tenure.[32] In a number of countries, displaced renters and squatters often find themselves excluded from permanent housing schemes designed to replace the assets of homeowners.[33]","21. Similar limitations have been seen in post-disaster needs assessments. While conditions pertaining to tenure and land ownership may be discussed and recognized as important at the level of principle, they are not always addressed in policies, strategies and sectoral priorities in practice. For instance, in the disaster needs assessment carried out by international financial institutions and the Government of Pakistan following the floods, the proposed housing and reconstruction strategy made no mention of land ownership or tenure issues, but only focused on the techniques and costs of housing reconstruction. In addition, policy priorities for other sectors relevant to land, such as agriculture, were said to favour landowners.[34]","22. Often, multiple factors of vulnerability and discrimination have a compounding effect. Post-Katrina responses by the federal and state governments in the United States generally were found lacking when it came to supporting lower-income renters — predominantly African American — and addressing the range of obstacles that prevented them from accessing affordable housing.[35] Despite a federal programme of housing vouchers, in practice, families with rent vouchers had difficulties finding rental units. Reasons included public and rental housing shortages (due to storm damage but also to subsequent decisions to massively cut down public housing), rent increases, discrimination by landowners,[36] the slow pace of rental housing construction and the decision by states in the Gulf coast to direct the bulk of federal funds towards repairing homeowner units rather than rental ones.[37] With a very limited option to rent, an important number of families were de facto denied return to their city and former homes;[38] which resulted in a rise in homelessness.[39]","23. The above examples show how discrimination, as much as vulnerability, is a key factor bearing upon disaster impact and response. Discrimination based on tenure status highlights a broader problem, namely the reluctance or inability of Governments, international and national organizations alike to adequately recognize and protect all forms of tenure equally.","IV. Recognizing and protecting all forms of tenure equally, from restitution to durable solutions programmes","24. The Special Rapporteur notes the centrality of tenure security in the right to adequate housing. Tenure security does not equate to a right to private ownership,[40] nor is it limited to the conferral of formal legal titles. There is a multiplicity of legitimate tenure arrangements besides private ownership,[41] such as public or private rental accommodation, cooperative housing, lease, occupation/rent of land or property in informal settlements, and other user or occupancy rights through customary or traditional arrangements all with varying degrees of formality.[42] It follows that only a minority of victims of natural disasters may in effect have individual, formally registered, ownership rights to their housing or land.","25. Nevertheless, the Special Rapporteur is concerned that policy and practice in post-disaster settings are skewed towards individual private ownership, as already shown in section III above. Section IV will focus on policy and practices pertaining to restitution and more broadly to durable solutions and reconstruction, as illustrations of the tensions between individual property ownership and other forms of tenure in practice.","A. Towards an expansive notion of housing and property restitution","26. The right to housing and property restitution has found its most specific elaboration in the Pinheiro Principles. At the time of their adoption, the Principles responded to an obvious need for guidance on the procedures and mechanisms necessary to facilitate property restitution. Today, as programmes for return and restitution have been applied in more diverse contexts and circumstances, it is time to reflect on the Principles and reinterpret them in the light of such practices.","27. The Principles, in their specific formulation and the mechanisms suggested to determine claims over property or land, are not entirely clear on the recognition of all forms of tenure rights. While some take an expansive view of the Principles,[43] others have criticized them as being overly focused on individual property ownership and contexts of formal and registered claims. By referring “the rights of tenants and other non-owners” in a separate provision (principle 16), the Principles may be seen to question whether these are on an equal footing with individual property owners. Equally, the call in the same principle for mechanisms of property restitution to recognize, “to the maximum extent possible”, those with rights to housing and land other than formal ownership needs clarification, although it could be seen as a practical suggestion rather than implying limitations to the entitlements of non-owners.[44]","28. The Principles must also be read against the particular context in which they were developed. While drawing on a number of sources, they were shaped by the experience of formal restitution mechanisms operating at the time, in particular in Bosnia and Herzegovina — a context of largely formal registration of private property and of what Yugoslav law called “socially-owned” apartments.[45] The restitution mechanism in Bosnia and Herzegovina, like others, has been criticized for doing little for those who did not own property or did not have recognized formal titles to them, and for being unable to deal with complex, informal systems of tenure with a plurality of customary, state or religious laws.[46]","29. The Special Rapporteur suggests that housing and property restitution must be understood as the restitution of any right to tenure related to housing or land prior to disaster, irrespective of tenure status or whether the land or housing is formally registered. An example of such an approach can be found in the South Africa Restitution of Land Rights Act, and in recent operational guidance on durable solutions.[47] Without pre-empting deeper discussion and clarification of their provisions, the Pinheiro Principles should be systematically viewed to embrace a wide ambit of situations and tenure rights. A number of elements in the Principles already point to an appropriately expansive conception of restitution, such as the systematic use of the term “housing, land and property” rather than only property.[48]","30. This more expansive view of restitution is grounded in the State obligations associated with the right to adequate housing to respect and ensure tenure security for all, irrespective of the form of tenure. The approach recognizes all those who are not individual owners of formally registered property as rights-holders. While post-disaster and post-conflict needs will vary with the context, the typology of human rights duties remains the same. Property restitution should be viewed and implemented in this light.","31. The practical implications of this expansive view of restitution as part of the right to remedy should be further examined with a view to articulating guidance on various scenarios.[49] For the purpose of the present report, however, and bearing in mind the qualified assessment of the Pinheiro Principles with respect to disaster situations (see section II above), property restitution will more often than not be a condition for return and other durable solutions, not a legal remedy. Understanding the equal legitimacy of all forms of tenure is thus not only relevant to restitution but even more so to efforts to ensure durable solutions and recovery. In such cases, States, with international organizations, must assess the tenure rights of all people affected by disasters and take measures to protect and ensure secure tenure post-disaster, whether at a former place of residence or elsewhere, should people be unable or unwilling to return.[50] Furthermore, the principle of non-discrimination and equality requires States and international organizations to prioritize assistance to those with most insecure tenure and strengthen tenure security for those with weak, ambiguous or vulnerable tenure, a responsibility often overlooked in relief and recovery efforts.","B. Recognizing tenure rights in practice, for the purpose of durable solutions","32. International agencies have shown reluctance to invest in places of return or relocation where land tenure is unclear and where legal and customary arrangements under which claims regarding housing or land may fall are diverse and at times conflicting. In that respect, reconstruction in urban areas might be particularly challenging since the areas they are often characterized by complicated land ownership and tenure issues.","33. This mindset is evident among many organizations operating in Haiti. As evident in one assessment:","The condition of land markets is chaotic and essentially lawless. Land ownership records are non-existent or ambiguous. Lack of clear title to a plot of land or written approval from a verified owner makes it difficult to supply a potential beneficiary with a new house or to support re-occupancy of prior homes.[51]","Clearly, this has been one of the reasons for the delay in reconstruction and return in Haiti. Similarly, in the aftermath of the Indian Ocean tsunami, the promulgation of contradictory policies and restrictions on land use at various levels of government and the contention surrounding these were said to have created obstacles to international recovery work and severely undermined efforts to pursue disaster risk management.[52]","34. Against this backdrop it is important to differentiate between two tasks. In the long term, there might be a need to formally record and strengthen ownership or tenure through legal reforms and other mechanisms such as land titling, thereby definitively resolving the ambiguous and uncertain situation in which many find themselves. In the short term, however, these means may not be the most appropriate to address reconstruction and recovery needs and to do so without reinforcing inequalities.[53] Experience also suggests the enormous challenge of attempting to deal with the full spectrum of ownership/tenure and land reform issues right after disaster or conflict. The Government of Pakistan noted that an appreciation of the social, political, technical and legal complexities of land tenure issues and the fact that those were not confined to the disaster-affected areas was essential.[54] In the short term, it remains nonetheless essential and opportune to assess pre-disaster tenure rights, through swift methods, in order to move effectively towards reconstruction and recovery in a way that ensures a minimum of tenure security to everyone and addresses some of the worse forms of inequality and insecurity.","35. The optimal means for determining housing or land claims for the purpose of reconstruction and return will depend on the particular context, in terms of tenure or property arrangements, formality and registration, and resources. As discussed, formal administrative or judicial property restitution mechanisms might not be applicable or appropriate in a number of situations, in particular those characterized by multiple tenure arrangements.[55] The Protocol on the Property Rights of Returning Persons of the International Conference on the Great Lakes Region offers a more comprehensive approach than the Pinheiro Principles in this regard, by providing that both administrative and traditional authorities should address property disputes, thereby acknowledging the importance of traditional and customary systems with regard to land.[56] The Protocol also envisages alternative and informal community-based mechanisms for resolving disputes, using requirements of proof of ownership based upon testimony.[57] In practice, organizations supporting return of refugees or displaced persons have often relied on customary law and traditional conflict resolution mechanisms to solve land disputes.[58] Caution must however be exercised so that women or others particularly vulnerable to discrimination are not excluded or disadvantaged in these processes.","36. One step further are “community” or “participatory” enumeration practices. Such participatory processes have been implemented in various countries for various aims, for instance to determine and strengthen tenure rights in informal settlements or for land adjudication.[59] In the absence of land records, in case of their destruction following disaster, or in context of multiple tenure arrangements, community enumerations offer promising and flexible alternatives to identify the state of occupancy and tenure pre-disaster or pre-conflict, thus ensuring a certain level of certainty and security of tenure in informdurable solutions. Community enumeration projects were implemented in the wake of the Indian Ocean tsunami,[60] and have been started in Haiti. Lessons should be drawn from experience in defining key elements and prerequisites of successful community mapping processes, applied to post-disaster situations, including their relationship with more formal or Government-led validation or land management processes, and the need to complement them with conflict resolution mechanisms.[61]","37. While mechanisms to assess, respect and strengthen tenure security post-disaster will differ depending on the context, they must in any event be guided by human rights principles, such as participation of affected communities and gender equality.","V. Disasters as opportunities — for whom?","38. It is often said that disasters, by creating a “clean slate”, offer major opportunities to launch into wide scale reforms and ambitious redevelopment. Disasters offer opportunities, but also serious risks, for the protection and promotion of human rights. The Special Rapporteur is concerned that in some cases, major redevelopment efforts, while benefiting some, have, by commission or omission, overlooked the most vulnerable and in fact violated key elements of the right to adequate housing.","A. From the redevelopment of coastal areas and cities to outsourcing reconstruction","39. The 2004 Indian Ocean tsunami was seen by many as providing major opportunities for redevelopment, sometimes under the guise of public safety and disaster risk mitigation. In the tsunami’s aftermath, zones prohibiting housing reconstruction along the coast (buffer zones) were in fact introduced in a number of countries affected by the tsunami; they ranged from 100 to 500 metres and, in some cases, if implemented fully, would have required the relocation of over 100,000 houses.[62] The zones were purportedly declared to protect residents from future disasters. They also had major impacts on the livelihoods of residents, especially those who relied on the sea for a living.","40. At the same time, ambitious plans for “redevelopment” and luxury tourism emerged, including for those coastal areas closed off to residents for safety reasons. One tourism board announced at the time that the tsunami offered an opportunity to make of its country a “world class tourism destination”.[63] It was reported that while displaced persons were prohibited from returning to their homes, the same prohibition did not apply to hotel complexes. In some places, land developers simply used the opportunity to grab land, especially from the most vulnerable communities. Luxury hotels sprang up in many coastal areas. Communities and civil society organizations complained that the creation of zones was used to arbitrarily evict poor coastal dwellers and indigenous communities to the benefit of businesses and new tourism facilities.[64]","41. The destruction of much of the housing stock in New Orleans after Hurricane Katrina was also seen as an opportunity to fundamentally change the housing and urban characteristics of the city. Notably, the four largest public housing complexes in New Orleans (the “big 4”), mostly inhabited by African Americans, were demolished to give way to planned redevelopment of mixed-income communities and other uses. Although in some cases there may have been no feasible alternatives because of the severity of the damages, the demolitions were mainly justified as essential to the city’s recovery and necessary for health and safety reasons.[65] Problematically, the planned developments were to include a small number of public housing units compared to the total available before Hurricane Katrina.[66] Their demolition was another obstacle preventing lower income residents from returning to New Orleans (see sect. III above).[67]","42. Concerns have also been expressed over what has been called “the business of reconstruction”, whereby the planning, financing and implementation of reconstruction are outsourced to private companies. In some cases, outsourcing reconstruction without putting adequate safeguards in place has been associated with negative impacts on the adequacy and affordability of reconstruction as well as on people’s ability to participate in and benefit from reconstruction efforts. In Chile, following the earthquake and subsequent tsunami of February 2010, the private sector reportedly played a central role in the reconstruction of urban centres and coastal areas. Following one of the main principles of the national reconstruction plan, families have the choice to decide whether to rebuild their homes on the same sites of the collapsed buildings or to acquire a previously existing or a newly built house. However, as housing reconstruction was supported mainly by subsidies attached to individual property, private constructors preferred to rebuild housing in new areas on the outskirts of towns, rather than the central areas from which many people had been displaced, where land and housing prices were much higher.[68] Real estate companies were also said to pressure families to sell land and housing at very low prices in a moment where they were very vulnerable, in order to make way for private redevelopment.[69] This shows that if left only to the market, new housing for the poorest will likely be in the peripheries.","43. Similar distortions were seen with respect to the construction market. In one case, it has been reported that in some cities a few companies were given a monopoly over construction materials, to the detriment of local small businesses, and in another, the reconstruction process led to increased prices by suppliers and construction companies, stymying individual reconstruction efforts.[70] Likewise, the outsourcing of transitional shelters by humanitarian agencies to international contractors might divert potential financial resources for displaced persons who could be supported to build their own shelter. The results in the latter instances are also less likely to be culturally appropriate.[71]","B. Acting with due diligence to protect the right to adequate housing","44. In the examples discussed above, post-disaster reconstruction has had negative impacts on the poorest. In the worst cases, disasters provided a clean slate and excuse for powerful actors to destroy housing or grab land, which would not have been possible in the pre-disaster context, where legal procedures would have had to be followed and affected households consulted and given access to remedies. At best, States did not adequately monitor the operation and regulation of the post-disaster housing and reconstruction markets, nor did they take measures to ensure that people retained access to affordable housing and were not in effect forced to leave their places of origin. While nothing prevents States from asking for the support of private companies in reconstruction efforts — and indeed private sector contributions can be essential to recovery — Governments must be mindful of their role to monitor private sector delivery and ensure that reconstruction does not benefit only a privileged few to the detriment of others.","45. Such examples could be seen as “constructive forced evictions”.[72] In such cases, international standards pertaining to forced eviction or arbitrary displacement apply. When forced eviction has been proved, people should have access to remedies, including to a fair hearing, access to legal counsel and to receiving reparation, such as housing or land restitution, adequate compensation, or alternative housing/land if they so choose.[73]","46. In cases where public security and safety concerns are legitimate and compelling, decisions over land use or housing regulations must nonetheless be subject to human rights standards — in particular the strict procedural requirements relating to the conduct of evictions, the right to redress and remedy and an opportunity for judicial review, and the economic, social and cultural rights of affected communities. Evictions should not result in individuals being rendered homeless. Where those affected are unable to provide for themselves, the State must take measures to ensure that alternative housing, resettlement or access to productive land is available.[74]","47. Restrictive measures must also conform to the principle of proportionality.[75] This calls for a balancing act between the rights of those affected with the interests of the State in mitigating the damage and ensuring public safety.[76] With respect to tsunami prevention for instance, any regulation preventing residents from returning to beachfront areas must be shown to be the least restrictive means of achieving public safety objectives. A State would have to show that other safety measures such as warning systems or dykes are not available or effective.[77]","48. Finally, experience with respect to land use restrictions compels consideration of a range of factors, including that resettling people involves large costs in terms of infrastructure and services and may also severely disrupt people’s livelihoods and community lives.[78] Settlement and housing patterns are not random but reflect a specific economic and social fabric that may be difficult to replicate elsewhere. Thus, both human rights standards and an assessment of the social and economic costs of displacement call for a more restrictive approach to the application of land/housing use restrictions.","VI. Recovery and durable solutions: addressing all aspects of the right to adequate housing","49. Beyond the more obvious protection aspects discussed above, it is important to address reconstruction from a broader view of adequate housing — including seeing housing as a social asset — and with the aim to progressively realize the right. Ensuring recovery and durable solutions, seen in this light, means rebuilding communities and neighbourhoods and ensuring an adequate standard of living, of which housing unit construction is only one part, sometimes not the most important or urgent.[79] Disasters do not take place in a vacuum: it is important to assess and address the wider housing context in which disasters take place.","A. Undue focus on houses and property","50. Post-disaster situations are likely to be characterized not only by massive damage to housing but also by mass displacement, disruption of social networks and relationships, damage or lack of access to basic services and loss of livelihoods, employment, assets, or land, which are all key factors that have an impact on enjoyment of the right to adequate housing. However, reconstruction and efforts to ensure durable solutions have too often focused on the most tangible aspects of housing (the physical structures). International organizations and Governments are prone to assume that housing reconstruction is the main priority for affected persons, rather than livelihoods or neighbourhood infrastructure.[80] When housing is assessed it is assessed as a technical or economic sector rather than as a human right, and the focus is on building and construction standards and materials, and on the quality of emergency and transitional shelters. In some cases the focus on property restitution has also been to the detriment of rebuilding and improving the broader social, political or economic conditions required to support sustainable return — jobs, basic services and infrastructure, and security. A commentator stated that, the “house” had become the measure of success of the return process rather than the actual welfare of the people displaced from their homes.[81]","51. The well-known slogan, “Build Back Better”, seems to, and certainly should, aspire to address the broader living conditions of affected communities. The special envoy of the Secretary-General to the Indian Ocean tsunami noted that the financial resources, international focus and openness to political and policy reform that often characterized a post-crisis period should allow for “build back better” and break out of inequitable development patterns in a sustained way.[82] Similar calls were made to consider the Pakistan floods as “an opportunity to build back better lives and to step up to the task of bringing dignity to the millions who live on the margins of society”.[83] However, implementing this inspiring idea is often reduced to its most technical meaning, for instance building houses using flood- and seismic-resistant standards.[84]","52. By contrast, a number of reconstruction projects worldwide have attempted to see the reconstruction process “as an opportunity to promote a local development process” rather than being limited to restoring pre-disaster conditions — the participation of communities being essential in that regard.[85]","B. Addressing the wider context in relief and recovery efforts","53. As mentioned above, the earthquake in Haiti highlighted the largely inadequate housing conditions and the precariousness and insecure tenure of informal settlements. The international community, by focusing on people displaced in camps, and by offering conditions superior to those enjoyed by many Haitians, inadvertently made camps attractive places. While systematic reconstruction accompanied by the provision of services in neighbourhoods of return is not forthcoming, there is thus little reason for poor families to leave the camps where housing and services are provided free of charge. Although understandable from an emergency perspective, a narrow focus on the plight of internally displaced persons and temporary solutions becomes, amidst a difficult socio-economic and tenure context, an obstacle to long-term recovery, and in some cases may result in further development problems.[86] Such situations are bound to become more frequent, with increased urbanization, much of which occurs in an unplanned manner (see A/64/255, paras. 13-21).","54. The situation in Haiti also serves as an example of the challenges facing the basic rationale for reconstruction and property restitution: in contexts characterized by massive poverty and grossly inadequate living and housing conditions, the question remains as to whether the final goal of reconstruction should be to provide high-quality houses for those who lost their dwellings in the disaster. The Special Rapporteur believes that interventions must instead aim to progressively realize the right to adequate housing for all. In Haiti, reconstruction and recovery have less to do with the construction of new houses for individuals directly affected by the disaster than with the improvement of the overall living and housing conditions in the unplanned and unserviced settlements affected by the disaster. The approach should thus focus on settlements and communities, not individual constructions, and the aim to create places where people can have an adequate standard of living.","55. Land use planning post-disaster can be a powerful instrument to provide both a reference for reconstruction and a legal basis for action in the immediate aftermath of a disaster. Post-disaster zoning can recognize de facto settlements, opening ground for investment in infrastructure and upgrading of hitherto unserviced and unplanned settlements in order to facilitate return and reconstruction.","56. From a human rights perspective, investment in upgrading settlements characterized by grossly inadequate living conditions as part of disaster response is not only legitimate but also indispensable, bearing in mind the obligation of non‑discrimination and attention to the most vulnerable. Moreover, for principled and pragmatic reasons, in a number of contexts it would be important to address the situation from a longer-term perspective: in the context of Haiti, this means a focus on improving conditions in settlements not damaged by the disaster (provided they are not in disaster-prone areas) but with the same urbanistic and vulnerability characteristics as those affected by it.","C. Disconnect between emergency and long-term recovery","57. The above examples also illustrate the existing disconnect between the emergency phase and longer-term recovery, as well as the difficulties of the international community, in many contexts, to manage the transition from one to the other.[87]","58. A focus on individual beneficiaries and on “deliverables” — food, shelters, health kits — as ends in themselves might divert from the fundamental responsibility to respect, protect and fulfil rights (to housing, water, health, for instance), and the requirement to think of the long term. In Haiti, it was reported that immediate needs had dominated the international community’s response and that specific pledges to support permanent housing requirements had therefore been less significant.[88] The Haiti Shelter Cluster of the Inter-Agency Standing Committee reported on the risks of institutionalizing camps and of consuming scarce resources in emergency measures at the expense of more durable permanent solutions were recognized.","59. Similarly, the massive construction of transitional shelters might not always be required or appropriate and in some cases might impede durable solutions, such as in dense, urban settings where people might be prevented from incrementally building permanent housing due to lack of space. The production of these shelters might unintentionally divert resources from the reconstruction of permanent housing and neighbourhoods, in a context of diminishing attention and aid flows over time.[89] It is thus not uncommon, regrettably, for people to live in transitional shelters many years following a disaster (see A/HRC/13/20/Add.4, para. 31). States and international organizations should not automatically assume the need for transitional shelters without considering whether alternative solutions can be supported.","60. Many have made the call for an integrated approach to ensure a continuum of aid between relief and recovery. In the previous report (A/HRC/16/42) to the Human Rights Council, the Special Rapporteur discussed some of the funding issues associated with the issue. The Special Rapporteur would like to encourage donors to support durable solutions and recovery at the earliest time possible and to help to ensure a continuum of aid, including by funding that can be flexible enough to do so.","VII. Conclusion","An approach to disaster response deliberately and comprehensively integrating the right to adequate housing","61. Integrating the right to adequate housing into disaster response has broad implications. In practice, however, comprehension of the right to adequate housing and its application to disaster response has been limited to only some aspects of the right, most notably linked to physical structures and individual property ownership. In some cases, reconstruction and recovery efforts — by omission or commission — have had a detrimental impact on victims of disasters and their enjoyment of the right to adequate housing.","62. In the view of the Special Rapporteur, making comprehensive efforts to realize the right to adequate housing in reconstruction efforts is not only an obligation but also an opportunity. While disaster response will not — and should not — replace development efforts, it provides an occasion to redress the inequalities that either exacerbated the natural disaster’s impacts or were made visible by it, and to contribute to efforts to progressively realize the right to adequate housing for all, notably by improving tenure security.","63. The recommendations below outline the fundamental elements of an approach to disaster response that is fully based on the right to adequate housing. They are meant to complement existing guidance when it comes to ensuring protection and realization of the right to adequate housing. Unless stated otherwise the recommendations are addressed to Governments, and international donors and organizations. Finally, recommendations for follow-up are provided, bearing in mind that the framework only outlines general principles that will need to be further refined and operationalized.","VIII. Recommendations","64. The Special Rapporteur makes the following recommendations:","A. General framework: disaster response based on the right to adequate housing","Overarching principles","1. Right to adequate housing","In all phases of disaster response the right to adequate housing should be respected and protected. It should be understood as the right to live in safety and security, in conditions deemed adequate on grounds of security of tenure; availability of services, materials, facilities and infrastructure; affordability; habitability; accessibility; location; and cultural adequacy.","2. Security of tenure","The multiplicity of forms of tenure should be recognized equally and Security of tenure should be ensured for everyone post-disaster.","3. Participation","• All affected persons and groups should have access to information and be able to participate meaningfully in the planning and implementation of the various stages of the disaster response.","• In particular, all affected persons and groups should have the opportunity to participate in the identification and determination of tenure rights; the choice over, planning and implementation of transitional shelter and permanent housing programmes, and of durable solutions (return, local integration, resettlement); and in decisions over land use planning and restrictions.","• Women’s participation must be ensured.","4. Non-discrimination and vulnerability","• In post-disaster needs assessments (for both emergency and recovery), pre-disaster inequalities and vulnerabilities should be identified, whether based on race, socio-economic status, tenure, gender or any other relevant grounds.","• In recovery plans, programmes should be devised to specifically address inequalities identified.","• Special measures should be taken to redress discrimination and ensure the realization of the right to adequate housing for the most disadvantaged groups, including through measures to strengthen tenure security for those with insecure status and/or through the prioritization of housing reconstruction and the provision of alternate housing, such as social or public housing, for the most vulnerable.","Operational principles","1. Equal rights to shelter and housing","• All affected persons, irrespective of their tenure status pre-disaster, should have equal rights to shelter in the emergency and transitional phases.","• Shelter and housing must fulfil the requirements of adequacy in international human rights law.[90]","2. Do no harm","No harm should be caused by or to others in respecting and protecting the right to adequate housing, including tenure security:","• Existing land, housing and identity records should be protected.","• Housing, land and property should be protected from further damage or destruction.","• States must prohibit and sanction forced evictions by Government and private actors alike.","• Health and safety regulations as well as disaster risk reduction measures, which may call for land use or housing restrictions, must be subject to human rights standards: their impacts on the human rights of individuals and communities must be assessed, and due process rights, and the rights to information and participation, must be upheld in all circumstances.","• Efforts must be made to ensure that humanitarian and shelter assistance, as well as the restitution laws, mechanisms and institutions that may emerge in post-disaster situations, do not intentionally or by default discriminate on the basis of tenure status.","3. Tenure of “non-formal owners”","The tenure rights of “non-formal owners”, namely those without individual, formally registered, property ownership, should be honoured:","• All pre-disaster tenure rights, including in disaster damage and needs assessments, should be assessed and recorded.","• In contexts where property and ownership are not formally registered, fast-track mechanisms to determine tenure rights, notably community-led processes (community enumeration), should be considered an essential element of and prerequisite to the implementation of restitution, reconstruction and recovery programmes.","• Housing and property restitution must be understood as the recognition and restitution of all tenure rights to housing or land.","• For those with insecure tenure, measures should aim at strengthening their security of tenure, for instance by granting rights to housing or land at places of origin, either immediately or in incremental stages. When restitution or return is not desirable for the affected persons or is not possible owing to land having disappeared or to compelling safety reasons that prevent the return, alternative housing or land should be granted at another location.","• Measures must be taken to support the repossession of or alternative access to adequate housing or land for all non-formal owners, with a particular focus on the most vulnerable.","4. Context of relief and recovery programmes","Relief and recovery programmes should be addressed within the overall housing context (of an area/city/country):","• In post-disaster needs assessments, major pre-disaster impediments to the realization of the right to adequate housing should be identified, as should the impact of pre-disaster situations on durable solutions and the recovery process.","• The broader housing situation, including unplanned and unserviced settlements, should be addressed through targeted programmes in conjunction with programmes for disaster response and with a focus on the most vulnerable populations.","5. Rebuilding communities","Communities and settlements, not just houses, should be rebuilt or resettled:","• Reconstruction should not only apply to physical structures but should also include or prioritize, as appropriate and according to the needs and requests of affected persons, the rebuilding or setting up of basic infrastructure and services and the upgrading of settlements.","• Community structures and networks, to the extent that they respect international human rights standards including on gender equality, should be deliberately preserved and supported.","6. Compliance with international standards","If return is impossible because the land has disappeared or there are objective safety grounds preventing return, of if it is not desired by the affected individuals or groups, resettlement and local integration conditions must comply with international human rights standards and guidelines pertaining to adequate housing, evictions and displacement.","7. Disaster risk reduction legislation","States must adopt disaster risk reduction legislation that respects the right to adequate housing. Special attention must be given to those who may face discrimination and exclusion, including on the grounds of tenure status, and measures must be devised to protect them.","B. Recommendations for follow-up","1. United Nations agencies and mechanisms, the Inter-Agency Standing Committee or organizations that are members of or cooperating with it, should consider undertaking further research on the practical integration of the right to adequate housing in disaster response, taking as a starting point the framework proposed by the Special Rapporteur.","2. Further work should be conducted on:","• The mechanisms to support the fast-track determination of tenure rights, including community mapping and enumeration, drawing lessons from existing practices to advise on their essential features and application in post-disaster situations.","• The legal and practical measures needed to support, in post-disaster situations, all those who are not individual owners of formally registered property.","• Territorial planning and land use instruments and tools and their potential to provide a technical and legal foundation for return and reconstruction programmes.","• The access to use and control over land in situations of natural disasters, including conditions for land requisition and acquisition for shelter/ settlement.","3. In their examination of State reports and country visits, United Nations human rights mechanisms should assess and make recommendations on the enjoyment of specific human rights in natural disaster situations, as well as the extent to which disaster prevention, relief and recovery efforts contribute to their enjoyment.","[1] International Disaster Database, http://www.emdat.be.","[2] The present report will nonetheless draw from examples in post-conflict settings, when relevant and applicable to post-disaster situations, and in the absence of documented examples in disaster situations.","[3] The Special Rapporteur would like to reiterate her thanks to the United Nations Stabilization Mission in Haiti, the Office of the High Commissioner for Human Rights and the United Nations Human Settlements Programme, which facilitated her visit.","[4] Human rights challenges in conflict and post-conflict settings have received more attention and the relevant standards have been further elaborated upon than in post-disaster situations. In addition to the standards discussed here, post-conflict responses would also be guided by international humanitarian law, refugee law and standards pertaining to remedies and reparation.","[5] See Committee on Economic, Social and Cultural Rights, General Comment No. 4, on the right to adequate housing.","[6] See Committee on Economic, Social and Cultural Rights, General Comment No. 7, on forced evictions; see also “Basic principles and guidelines on development-based eviction and displacement” (A/HRC/4/18, annex 1).","[7] Participation was discussed in the previous report to the Human Rights Council. Section III of the present report discusses non-discrimination.","[8] For example, in the Inter-Agency Standing Committee Operational Guidelines on the Protection of Persons in Situations of Natural Disaster, reference to adequate housing is made under C.2.1 but not in other potentially relevant provisions.","[9] See Erica Harper, International Law and Standards Applicable in Natural Disaster Situations (Rome, International Development Law Organization, 2009).","[10] The Representative of the Secretary-General on the human rights of internally displaced persons is among the exceptions. See observations by United Nations treaty bodies and special procedures, Universal Human Rights Index, http://www.universalhumanrightsindex.org/ en/index.html.","[11] The legal database on the Guiding Principles attests to their wide recognition. See http://www.idpguidingprinciples.org/.","[12] First issued in 2006, a revised version was published in 2011.","[13] Guiding Principles on Internal Displacement, principle 28; Inter-Agency Standing Committee Guidelines, D.2.2, D.2.3.","[14] Sub-Commission on the Promotion and Protection of Human Rights, resolution 2005/21.","[15] Principle 2.2. See also the seemingly unsettled debate as to whether there is a self-standing right to property restitution under international law: Malcolm Langford and Khulekani Moyo, “Right, remedy or rhetoric? Land Restitution in International Law”, Nordic Journal of Human Rights, vol. 28, No. 2 (2010). For the purposes of the present report, however, the Special Rapporteur is satisfied that the right to property restitution is an essential element of the right to remedy and reparation and to the right of refugees and internally displaced persons to return to their places of origin and habitual residence.","[16] Harper, International Law, chapter 4 (see footnote 9 above).","[17] Principle 1. See, among others, Charles Gould, “The Right to housing recovery after natural disasters”, Harvard Human Rights Journal, vol. 22 (2009); Rebecca Barber, “Protecting the right to housing in the aftermath of natural disaster: standards in international human rights law”, International Journal of Refugee Law, vol. 20, Issue 3 (2008).","[18] European Court of Human Rights, Budayeva and others v. Russia, 29 September 2008; Supreme Court of Pakistan, Floods Commission case, 7 June 2011, available from http://www.supremecourt.gov.pk/web/page.asp?id=735 (accessed 24 July 2011).","[19] See General Assembly resolution 64/200.","[20] Committee on Economic, Social and Cultural Rights, General Comment No. 3 on the nature of States parties obligations, article 2 (1) of the Covenant. See also concluding observations by the Committee on the Rights of the Child with respect to disasters, for instance, CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4.","[21] International Convention on the Elimination of All Forms of Racial Discrimination, article 1 (4); Convention on the Elimination of All Forms of Discrimination against Women, article 4.","[22] No less than 84 per cent of the city’s poor population was African-American. The Brookings Institution, “New Orleans after the storm: lessons from the past, a plan for the future” (2005), p. 6.","[23] Ibid., p. 13.","[24] Elizabeth Ferris and Daniel Petz, A Year of Living Dangerously: A Review of Natural Disasters in 2010 (London, The Brookings Institution — London School of Economics, 2011), p. 19. The Special Rapporteur welcomes information received from the Government of Colombia on the range of actions taken to address the effects of La Niña, such as the establishment of the “Fondo de Adaptación” charged to identify and manage projects aimed at finding durable solutions, including mitigation and preventing strategies.","[25] Government of Pakistan, Asian Development Bank and World Bank, Pakistan Floods 2010: Preliminary Damage and Needs Assessment, p. 68; Oxfam, Land Rights and the Indus Flood, 2010-2011: Rapid Assessment and Policy Review (Oxford, OxfamGB, 2011). The Special Rapporteur acknowledges the scale of the challenge faced by the Government and its efforts in handling relief and recovery, particularly the initiation of the Watan Card, which being non‑discriminatory between landowners and the landless, encouraged all to return home.","[26] It is estimated that before the earthquake 80 per cent of the Port-au-Prince population lived in informal settlements, on only 20 per cent of the land.","[27] International Organization for Migration, displacement tracking matrix, May 2011.","[28] Oxfam, Land Rights and the Indus Flood, p. 3 (see footnote 25 above).","[29] John Telford and John Cosgrove, Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report (London, Tsunami Evaluation Coalition, 2006), p. 104.","[30] Michael Lyons and Theo Shilderman, eds. Building Back Better: Delivering People-Centred Housing Reconstruction at Scale (London, Practical Action, 2010) (with respect to communities in Sri Lanka); ActionAid, “Tsunami response: a human rights assessment” (2006), pp. 43-47.","[31] Following Hurricane Katrina, women were particularly affected by the lack of affordable/public housing since prior to the storm they had headed the majority of public housing and voucher-subsidized households. See Ferris and Petz, A Year of Living Dangerously (see footnote 24 above).","[32] See World Reconstruction Conference: Recovering and Reducing Risks after Natural Disasters: Proceedings (Geneva, May 2011), p. 31.","[33] See report of the United Nations Special Envoy for Tsunami Recovery, William J. Clinton, “Key propositions for building back better” (2006); (Hakan Arslan and Cassidy Johnson, “Turkey: can small actors overcome the absence of state will?”, in Building Back Better: Delivering People-Centred Housing, Lyons and Shilderman, eds. (see footnote 30 above).","[34] Oxfam, Land Rights and the Indus flood, pp. 24 and 25 (see footnote 25 above); Government of Pakistan and others, Pakistan Floods 2010, annexes on housing, agriculture and the financial sector (see footnote 25 above). See also part III of the present report for a discussion on tenure/land assessments.","[35] See Advisory Group on Forced Evictions, “Mission report to New Orleans”, 26-31 July 2009, and A/HRC/13/20/Add.4, para. 30. A total of 90 per cent of neighbourhoods dominated by public housing were populated by African-Americans, of which 80 per cent were renters in those areas. See Ferris and Petz, A Year of Living Dangerously, p. 74 (see footnote 24 above).","[36] The Special Rapporteur welcomes the information received by the Government of the United States of America and concerning the measures undertaken by the Government, including by the Department of Housing and Urban Development, to combat housing discrimination by private and public actors and, inter alia, its measures to combat systematic discrimination caused by restrictive zoning or rental ordinances that discriminate against African-Americans, such as ordinances passed by St. Bernard’s Parish after the hurricane.","[37] United States Government Accountability Office, Disaster Housing: FEMA needs more detailed guidance and performance measures to help ensure effective assistance after major disasters, 2009, pp. 11-13; “4 Years After Katrina: Housing crisis continues, low-income renters face discrimination”, Facing South, 21 August 2009.","[38] Ferris and Petz, A Year of Living Dangerously, p. 74 (see footnote 24 above).","[39] Advisory Group on Forced Evictions, “Mission report”, p. 5 (see footnote 35 above).","[40] In some circumstances, private ownership may in fact not be the most appropriate way to ensure tenure. See A/HRC/10/7.","[41] See comments on the report of the Special Rapporteur (A/HRC/16/42/2010) by delegations supporting this view, Human Rights Council, sixteenth session.","[42] The Special Rapporteur notes the categorization used among humanitarian agencies of “six tenure options”, an acknowledgment of the need to also address other forms of tenure. United Nations and Shelter Centre, Shelter after Disaster (2010), p. 107.","[43] Langford and Moyo, “Right, remedy or rhetoric?”, pp. 148 and 149 (see footnote 15 above).","[44] See also recognition of the possessory rights of traditional and indigenous communities, principle 15.3, separate from principle 16.","[45] See http://www.ohr.int/plip; Norbert Wühler and Heike Niebergall), eds., Property Restitution and Compensation: Practices and Experiences of Claims Programmes (Geneva, International Organization for Migration, 2008).","[46] Rhodri Williams, “Post-conflict property restitution in Bosnia: balancing reparations and durable solutions in the aftermath of displacement”, presented at TESEV International Symposium on internal displacement in Turkey and abroad, Istanbul, December 2006; Conor Foley, Ingunn Sofie Aursnes, “Land, housing and property restitution after conflict: principles and practice”, Humanitarian Exchange Magazine (2005), p. 2. Norwegian Refugee Council, on Afghanistan’s special property restitution court, 2005.","[47] Office of the President, No. 22 of 1994, Restitution of Land Rights Act, chapter I (1) xi; Inter‑Agency Standing Committee, Framework on durable solutions for internally displaced persons (Washington D.C., The Brookings Institution, 2010), p. 35.","[48] See also principles 8 and 15.2; E/CN.4/Sub.2/2005/17/Add.1, para. 62; Langford and Moyo, “Right, remedy or rhetoric?” (see footnote 15 above).","[49] Including situations whereby tenure rights are solely based on use, or whereby restitution is materially impossible, such as in cases where tenants are unable to return to their places of residence, or the original sites have disappeared or been declared non-aedificandi after the disaster.","[50] Importantly, someone’s right to tenure is not dependent on the actual reoccupancy of a former place of habitual residence.","[51] International Housing Coalition, “Haiti shelter sector assessment: one year after the earthquake” (April 2011), p. 12.","[52] Telford and Cosgrove, Synthesis report, p. 102 (see footnote 29 above); and Ian Christoplos, Links between Relief, Rehabilitation and Development in the Tsunami Response: a Synthesis of Initial Findings (London, Tsunami Evaluation Coalition, 2006), p. 71.","[53] With respect to Haiti, it was commented that “a strict asset-replacement approach to housing provision and a rush to confirm property rights … will not be appropriate to meet the housing needs of the majority of the affected population who are tenants and squatters rather than owners”. A proposal to move quickly with the implementation of a cadastre was considered inappropriate, with the potential to “reinforce biases towards the most established and powerful formal owners able to produce documentation”. Kate Crawford and others, “Coordination and the tenure puzzle in Haiti”, Humanitarian Exchange Magazine No. 48 (2010), p. 8.","[54] Comments received on an earlier draft. Similarly, the Government of Timor-Leste chose a long time frame to address land issues. Comments by Timor-Leste on the report of the Special Rapporteur (A/HRC/16/42), 8 March 2011.","[55] Formal special mechanisms are also resource- and time-consuming. See Kosovo property agency annual report, 2010.","[56] International Conference on the Great Lakes Region, Protocol on the Property Rights of Returning Persons (Great Lakes Protocol), 2006, article 4.","[57] Great Lakes Protocol, article 4 (3).","[58] See A/HRC/16/42, paras. 44 and 45 (on Timor-Leste); and Foley and Aursnes, “Land, housing and property” (see footnote 46 above).","[59] United Nations Human Settlements Programme, Count Me In: Surveying for Tenure Security and Urban Land Management (Nairobi, 2010).","[60] Ibid. (on Aceh, Indonesia), pp. 79-83; and Harper International Law, p. 209 (see footnote 9 above).","[61] See World Reconstruction Conference: Recovering and Reducing Risks, pp. 33 and 34 (see footnote 32 above).","[62] Oli Brown and Alec Crawford, “Addressing land ownership after natural disasters: an agency survey”, 2006, p. 6; and Human Rights Watch, “After the deluge: India’s reconstruction following the 2004 tsunami”, p. 41. Some of the most important restrictions were ultimately abandoned.","[63] Tourism Concern, “Post-tsunami reconstruction and tourism: a second disaster?”, 2005.","[64] Action Aid, “Tsunami response”, pp. 17 and 18 (see footnote 30 above); Malcolm Langford and Jean du Plessis, “Dignity in the rubble? Forced evictions and human rights law”; and Brown and Crawford, “Addressing land ownership” (see footnote 62 above).","[65] Julia Cass and Peter Whoriskey, “New Orleans to raze public housing”, Washington Post, 8 December 2006.","[66] Amnesty International, “UN-Natural disaster: human rights in the Gulf coast”, 2010, p. 6; and Advisory Group on Forced Evictions, Mission report, pp. 5, 28-32 (see footnote 35 above).","[67] A/HRC/13/20/Add.4, para. 30. The Special Rapporteur welcomes the information received from the Government, as well as the fact that, owing to a combination of housing policies, there are now more housing subsidies beneficiaries in New Orleans than prior to Hurricane Katrina.","[68] 2011 report on the earthquake-tsunami of 27 February 2010 and the reconstruction process in Chile, prepared for the Special Rapporteur on the right to adequate housing by Habitat International Coalition, Habitat for Humanity, the Housing Institute of the Faculty of Architecture and Urbanism, the Observatory of Reconstruction, “Sur Maule”, “Let’s build” and “Observatory and Housing” networks.","[69] Ibid.","[70] Ibid; see also A/HRC/13/20/Add.3, para. 25.","[71] See by contrast the success of “owner-driven approaches” to reconstruction. World Reconstruction Conference: Recovering and Reducing Risks, pp. 25-27 (see footnote 32 above).","[72] Malcolm Langford, “The right to return and resettlement after the tsunami disaster”, Disaster Brief, vol. 2 (2) (July-September 2005). The term “constructive eviction” is used in some countries to describe actions or omissions by a landlord that make the premises unhabitable or unsuitable for the purposes for which they were leased.","[73] Committee on Economic, Social and Cultural Rights, General Comment No. 7, General Assembly resolution 60/147, entitled “Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law; and the Pinheiro Principles.","[74] General Comment No. 7, para. 16. Inter-Agency Standing Committee Guidelines, C.2.4, C.2.5.","[75] Human Rights Committee, General Comment No. 27, on freedom of movement.","[76] “Protection of internally displaced persons in natural disasters: a working visit to Asia by the Representative of the Secretary-General on the human rights of internally displaced persons”, Walter Kälin, 2005, p. 22.","[77] Langford, “The right to return and resettlement” (see footnote 72 above).","[78] World Bank, Hazards of Nature, Risks to Development: an IEG Evaluation of World Bank Assistance for Natural Disasters (Washington, D.C., 2006); Active Learning Network for Accountability and Performance in Humanitarian Action, “Responding to earthquakes, 2008: learning from earthquake relief and recovery”.","[79] Inter-Agency Standing Committee, Framework on Durable Solutions (see footnote 47 above). Lessons could be drawn from good development practices on resettlement, for instance: Michael Cernea and Christopher McDowell, eds., Risks and Reconstruction: Experiences of Resettlers and Refugees (Washington, D.C., World Bank, 2000).","[80] See for instance, with reference to housing construction in Indonesia, Lyons and Shilderman, eds., Building Back Better, p. 157 (see footnote 30 above).","[81] Megan Ballard, “Post-conflict property restitution: flawed legal and theoretical foundations, Berkeley Journal of International Law 462 (2010) (with respect to Bosnia and Herzegovina).","[82] United Nations Special Envoy for Tsunami Recovery, “Key positions for building back better” (see footnote 33 above).","[83] Government of Pakistan, Asian Development Bank and World Bank, Pakistan Floods, p. 7 (see footnote 25 above).","[84] Ibid., pp. 22 and 94.","[85] See for instance projects in Peru: Lyons and Shilderman, eds., Building Back Better, pp. 307-344 (see footnote 30 above).","[86] The case of “Camp Corail” at the outskirts of Port-au-Prince epitomizes such difficulties. Intended as a temporary camp for the displaced living in areas most at risk, it has attracted people from everywhere and has been transformed within a few months into a new informal settlement, with at least 50,000-60,000 residents as of May 2011.","[87] John Holmes, “Learning the lessons of Haiti”, Humanitarian Exchange No. 48 (October 2010), p. 3.","[88] United States of America strategy entitled “Post-earthquake United States Government Haiti strategy: towards renewal and economic opportunity” (2011).","[89] In Haiti, a T-shelter costs $2,500 on average, while the cheapest estimates for permanent housing are around $3,500 per house.","[90] See overarching principle No. 1."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Right to adequate housing\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the General Assembly the report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living and on the right to non-discrimination in this context, Ms. Raquel Rolnik, submitted in accordance with Human Rights Council resolution 15/8, paragraph 2 (h).\",\n \"Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living\",\n \"Summary\",\n \"The present report focuses on the realization of the right to adequate housing in post-disaster settings. The report assesses human rights standards and guidelines relevant to an approach to disaster response based on the right to adequate housing and discusses some existing limitations. It elaborates upon key challenges relating to the protection and realization of the right in disaster response: inattention to or discrimination against vulnerable and disadvantaged groups; the overemphasis on individual property ownership and the associated difficulty to recognize and address the multiplicity of tenure forms equally in restitution and recovery programmes; the risks of approaching post-disaster reconstruction predominantly as a business or development opportunity that benefits only a few; and limitations in existing frameworks for reconstruction and recovery. The report concludes by outlining the fundamentals of an approach to disaster response that deliberately and comprehensively integrates the right to adequate housing.\",\n \"Contents\",\n \"Page\\nI.Introduction 4II. Assessment 4 of the legal and policy framework applicable to natural \\ndisasters III. Discrimination 7 and vulnerability: compounding factors in the impacts on and responses to \\ndisasters A. Disadvantaged 7 groups most affected by \\ndisasters B.Neglect 8 and discrimination made visible by \\ndisasters C.Recovery 9 responses overlooking or discriminating against the most \\nvulnerable IV.Recognizing 10 and protecting all forms of tenure equally, from restitution to durable solutions \\nprogrammes A.Towards 11 an expansive notion of housing and property \\nrestitution B.Recognizing 13 tenure rights in practice, for the purpose of durable \\nsolutions V. Disasters 15 as opportunities — for \\nwhom? A.From 15 the redevelopment of coastal areas and cities to outsourcing \\nreconstruction B.Acting 17 with due diligence to protect the right to adequate \\nhousing VI.Recovery 18 and durable solutions: addressing all aspects of the right to adequate \\nhousing A. Undue 19 focus on houses and \\nproperty B.Addressing 20 the wider context in relief and recovery \\nefforts C.Disconnect 21 between emergency and long-term \\nrecovery \\nVII. Conclusion 21\\nVIII.Recommendations 22A.General 22 framework: disaster response based on the right to adequate \\nhousing B.Recommendations 25 for \\nfollow-up\",\n \"I. Introduction\",\n \"1. The present report focuses on the realization of the right to adequate housing in post-disaster settings. It should be read in conjunction with the report submitted to the Human Rights Council (A/HRC/16/42), in which the Special Rapporteur discusses common issues relevant to both post-conflict and post-disaster settings.\",\n \"2. While many commonalities exist across post-conflict and post-disaster situations, some challenges are specific to the latter and require different responses. The Special Rapporteur chose to focus on disasters, in the light of the increasing prevalence of disasters worldwide that have more devastating effects than ever before,[1] the likelihood that this trend will continue as a result of climate change, rapid urbanization and population growth, and the comparatively fewer experiences and guidelines available to address issues related to the right to adequate housing in the wake of disasters, compared to post-conflict settings.[2] The Special Rapporteur also had the opportunity to conduct a working visit to Haiti (8-11 June 2011) to assess reconstruction and relief efforts in the wake of the earthquake of January 2010, which greatly informed her thinking for the present report and highlighted the need to focus on disasters.[3]\",\n \"3. Taking an approach to post-disaster and recovery-based reconstruction on the right to adequate housing has significant implications. The Special Rapporteur is concerned that disaster relief and recovery efforts have so far, with notable exceptions, taken a narrow view of what constitutes the right to adequate housing, on some occasions leading to violations of the right. Section I of the present report assesses relevant standards. Sections II to V elaborate upon key challenges. The report concludes by outlining the fundamentals of an approach to disaster response that deliberately and comprehensively integrates the right to adequate housing and provides recommendations for follow-up measures.\",\n \"II. Assessment of the legal and policy framework applicable to natural disasters\",\n \"4. While there are a number of standards and guidelines relevant to ensuring the right to adequate housing in post-disaster situations, they are often understood and applied in a fragmented manner.[4] There are other more specific limitations too, as will be discussed.\",\n \"5. The right to adequate housing is most clearly recognized by the International Covenant on Economic, Social and Cultural Rights (article 11). The Committee on Economic, Social and Cultural Rights underlined the importance of interpreting the right in broad terms, identifying seven aspects of the right that States must progressively realize: security of tenure; availability of services, materials, facilities and infrastructure; affordability; habitability; accessibility; location; and cultural adequacy.[5] All the aspects and safeguards pertaining to eviction and resettlement derived from the right[6] are relevant to disaster response, as are the human rights principles of participation and non-discrimination and equality.[7]\",\n \"6. However, existing guidance with respect to disaster situations has given little attention to the right to adequate housing. When reference to the right is made it is limited, with the right narrowed down to the need to provide shelter, housing or to aspects related to protection.[8] The few attempts to discuss the right in a more comprehensive manner have remained at the level of an individual organization’s guidance and not in the form of authoritative policies of broad application.[9] Equally, United Nations human rights mechanisms have, with notable exceptions, not addressed the specificities of disaster situations and their impacts on the enjoyment of the right to adequate housing or other human rights, remaining at the level of generalities.[10]\",\n \"7. Instead, most initiatives to address disasters from a human rights perspective have taken place with respect to specific groups, notably internally displaced persons and refugees. The Guiding Principles on Internal Displacement are essential in this regard. They have been recognized as a significant international framework for the protection of internally displaced persons in both post-conflict and post-disaster situations.[11] While attention was at first geared to the protection of internally displaced persons in conflict and post-conflict situations, in recent years policy and operational guidelines have also been developed with respect to natural disasters, expanding the scope of application to all persons affected by disasters, including but not limited to internally displaced persons. The Inter-Agency Standing Committee Operational Guidelines on the Protection of Persons in Situations of Natural Disasters (Inter-Agency Standing Committee Guidelines) is an important document in this regard.[12] The Guidelines and the above-mentioned Guiding Principles recognize the right of persons displaced by conflict or disaster to durable solutions, namely, a return to their homes or places of habitual residence (and, as key condition for durable return, to have housing or land restored to them), relocation elsewhere or local integration.[13]\",\n \"8. The 2005 Principles on Housing and Property Restitution for Refugees and Displaced Persons[14] (“Pinheiro Principles”) go one step further by recognizing a distinct “right to restitution” (covering housing, land and/or other property) for refugees and displaced persons.[15] An important question is whether the Pinheiro Principles apply to post-disaster situations. The intention seemed to have been that they should apply, the central idea behind principle 1.2 being that people who are displaced — regardless of the reason for their displacement — are similarly situated and have a right to return to their places of habitual residence and thereby to restitution. On that basis, some interpret the Principles as applicable to all situations of natural disaster.[16] However, others point out that the Principles are explicitly limited to the “arbitrary or unlawful deprivation” of people’s former homes, land or places of habitual residence following displacement.[17]\",\n \"9. This is not to say that the Pinheiro Principles are irrelevant to natural disaster situations. First, they fully apply in actual cases of arbitrary or unlawful deprivation or destruction of housing or land occurring in post-disaster situations, including, arguably, when displaced persons are denied their right to return to their homes (see section IV below), and in cases of unreasonable State failings with respect to disaster preparedness, mitigation or early warning systems.[18] Second, taken as a specification of existing standards pertaining to the rights of displaced persons and refugees to return to their homes, the Principles provide relevant guidance on how best to manage the technical and legal issues associated with housing, land and property restitution, guidance which has since been reflected to varying degrees in policy and practice.\",\n \"10. Thus, an approach to disaster response that fully integrates the right to adequate housing would combine all the above sets of standards and principles and have at its core the various elements of the right to adequate housing. The recommendations in the final section of the present report propose the integration of those standards within a consolidated, conceptual and operational framework.\",\n \"III. Discrimination and vulnerability: compounding factors in the impacts on and responses to disasters\",\n \"11. Vulnerability is widely recognized as an important element in disaster risk reduction and management.[19] The most vulnerable, such as those living in poverty or with insecure tenure, are more likely to live in disaster-prone land; they are also at greater risks of displacement and loss of livelihood in the event of a disaster; and they will recover with more difficulty from the disaster.\",\n \"12. On many occasions, vulnerability is compounded by direct or indirect discrimination, impacting on the ability of individuals and communities to protect themselves from disasters and to recover. The relevance of discrimination to disasters and disaster response may not be immediately apparent. Indeed, the term “natural disaster” could be taken as precluding responsibility, which may imply, in turn, the impossibility of discrimination. However, it is well accepted that the magnitude of impacts and distribution of losses from natural hazards are to a large extent man-made (see A/60/227). Disaster preparedness, mitigation and response are all subject to or conditioned by State action or omission, and may therefore be discriminatory.\",\n \"13. The principles of equality and non-discrimination are firmly rooted in international human rights law. Attention to non-discrimination and equality requires Governments and aid organizations to pay particular attention to vulnerabilities and inequalities in pre-disaster contexts, and, in the aftermath of disasters, to address inequalities and protect the most vulnerable. United Nations treaty bodies have noted that even in times of severe resource constraints — as is typically the case in the wake of a disaster — States have a particular obligation to protect vulnerable members of society.[20] States should also take special measures to secure for disadvantaged groups the full and equal enjoyment of their human rights.[21] In post-disaster situations, such measures might translate into special assistance to support return of the most vulnerable groups or find land/housing for landless or homeless families.\",\n \"A. Disadvantaged groups most affected by disasters\",\n \"14. When Hurricane Katrina struck New Orleans in 2005, African Americans and poor people (with the two categories to a large extent blurred)[22] bore the brunt of the devastation because, for the most part, they lived most often in the lower-lying, more flood-prone sections of the city. In addition large numbers of the metropolitan area’s population (being generally poor) lacked the means to escape the flood.[23] The particular impacts and costs of the hurricane were therefore intimately linked to pre‑existing social, economic and land use patterns, directly related to housing and urban planning policies.\",\n \"15. In Honduras, in the wake of Hurricane Mitch in 1998, the groups disproportionately affected included poor women, peasants and indigenous groups, many of whom had been living under insecure tenure conditions and in vulnerable areas exposed to strong winds, flooding and landslides (see A/HRC/16/42, para. 32). In Colombia, the floods throughout 2010 and into 2011 were said to have disproportionately affected those already displaced by conflict, particularly indigenous and Afro-Colombians, who tended to live in remote areas subject to violence from armed groups.[24]\",\n \"16. In the aftermath of the Pakistan floods of 2010, it was acknowledged that the poor and vulnerable bore the brunt of the catastrophe, having no assets or safety nets. Those who were displaced by the floods and lost their assets and means of livelihood consisted disproportionately of landless tenants and labourers, living in non-/semi-permanent housing.[25]\",\n \"B. Neglect and discrimination made visible by disasters\",\n \"17. The earthquake in Haiti exacerbated and made visible a hitherto relatively invisible problem, namely, the dire conditions characterizing informal settlements in which the majority of the Port-au-Prince population lived.[26] The settlements, as many others elsewhere, had been created spontaneously and had never been recognized formally by the authorities. They had no or little access to basic infrastructure and services. With the earthquake, many of the residents moved to camps, either because their homes or neighbourhoods had been destroyed or damaged, or in order to be able to receive food or medical assistance, to take part in cash-for-work programmes, to save on rent (in the case of renters) or in the hope of receiving a house.\",\n \"18. Sixteen months after the earthquake, there were still 634,000 people in over 1,000 camps. Observers noted that the camp populations were declining more slowly than in 2010, suggesting that people had nowhere else to go or had decided that however precarious their situation in the camps, it was still better than their situation of origin.[27] The earthquake thus highlighted long-entrenched patterns of discrimination and neglect. Disasters elsewhere have had similar effects.[28]\",\n \"C. Recovery responses overlooking or discriminating against the most vulnerable\",\n \"19. Recovery efforts, by overlooking or directly discriminating against some groups, can perpetuate and even reinforce pre-existing patterns of vulnerability and disadvantage. This is often the case with women. In the wake of the 2004 Indian Ocean tsunami, it was reported that the international response on many occasions strengthened “those who were better off and/or more articulate … while marginalizing those who had few assets, notably women”.[29] Relief efforts and policies, for instance, excluded women from livelihoods assistance and on occasion directly undermined women’s pre-existing rights, such as their rights to housing or land in matrilineal communities.[30] When women also happen to have insecure tenure — as they often do because their access to housing and land frequently hinges on a relationship with a man, or because they face additional hurdles as sole head of a household, they are particularly vulnerable.[31]\",\n \"20. Disaster response appears to differ greatly according to whether it addresses the situation of individual, formally registered, property owners or that of all those with other types of tenure arrangements. It has been noted that in most housing reconstruction programmes, tenure documentation and legal proof of rights are prerequisites for establishing beneficiary eligibility, with the consequence of excluding the poorest and most vulnerable, including those residing in informal settlements with temporary or informal rights of tenure.[32] In a number of countries, displaced renters and squatters often find themselves excluded from permanent housing schemes designed to replace the assets of homeowners.[33]\",\n \"21. Similar limitations have been seen in post-disaster needs assessments. While conditions pertaining to tenure and land ownership may be discussed and recognized as important at the level of principle, they are not always addressed in policies, strategies and sectoral priorities in practice. For instance, in the disaster needs assessment carried out by international financial institutions and the Government of Pakistan following the floods, the proposed housing and reconstruction strategy made no mention of land ownership or tenure issues, but only focused on the techniques and costs of housing reconstruction. In addition, policy priorities for other sectors relevant to land, such as agriculture, were said to favour landowners.[34]\",\n \"22. Often, multiple factors of vulnerability and discrimination have a compounding effect. Post-Katrina responses by the federal and state governments in the United States generally were found lacking when it came to supporting lower-income renters — predominantly African American — and addressing the range of obstacles that prevented them from accessing affordable housing.[35] Despite a federal programme of housing vouchers, in practice, families with rent vouchers had difficulties finding rental units. Reasons included public and rental housing shortages (due to storm damage but also to subsequent decisions to massively cut down public housing), rent increases, discrimination by landowners,[36] the slow pace of rental housing construction and the decision by states in the Gulf coast to direct the bulk of federal funds towards repairing homeowner units rather than rental ones.[37] With a very limited option to rent, an important number of families were de facto denied return to their city and former homes;[38] which resulted in a rise in homelessness.[39]\",\n \"23. The above examples show how discrimination, as much as vulnerability, is a key factor bearing upon disaster impact and response. Discrimination based on tenure status highlights a broader problem, namely the reluctance or inability of Governments, international and national organizations alike to adequately recognize and protect all forms of tenure equally.\",\n \"IV. Recognizing and protecting all forms of tenure equally, from restitution to durable solutions programmes\",\n \"24. The Special Rapporteur notes the centrality of tenure security in the right to adequate housing. Tenure security does not equate to a right to private ownership,[40] nor is it limited to the conferral of formal legal titles. There is a multiplicity of legitimate tenure arrangements besides private ownership,[41] such as public or private rental accommodation, cooperative housing, lease, occupation/rent of land or property in informal settlements, and other user or occupancy rights through customary or traditional arrangements all with varying degrees of formality.[42] It follows that only a minority of victims of natural disasters may in effect have individual, formally registered, ownership rights to their housing or land.\",\n \"25. Nevertheless, the Special Rapporteur is concerned that policy and practice in post-disaster settings are skewed towards individual private ownership, as already shown in section III above. Section IV will focus on policy and practices pertaining to restitution and more broadly to durable solutions and reconstruction, as illustrations of the tensions between individual property ownership and other forms of tenure in practice.\",\n \"A. Towards an expansive notion of housing and property restitution\",\n \"26. The right to housing and property restitution has found its most specific elaboration in the Pinheiro Principles. At the time of their adoption, the Principles responded to an obvious need for guidance on the procedures and mechanisms necessary to facilitate property restitution. Today, as programmes for return and restitution have been applied in more diverse contexts and circumstances, it is time to reflect on the Principles and reinterpret them in the light of such practices.\",\n \"27. The Principles, in their specific formulation and the mechanisms suggested to determine claims over property or land, are not entirely clear on the recognition of all forms of tenure rights. While some take an expansive view of the Principles,[43] others have criticized them as being overly focused on individual property ownership and contexts of formal and registered claims. By referring “the rights of tenants and other non-owners” in a separate provision (principle 16), the Principles may be seen to question whether these are on an equal footing with individual property owners. Equally, the call in the same principle for mechanisms of property restitution to recognize, “to the maximum extent possible”, those with rights to housing and land other than formal ownership needs clarification, although it could be seen as a practical suggestion rather than implying limitations to the entitlements of non-owners.[44]\",\n \"28. The Principles must also be read against the particular context in which they were developed. While drawing on a number of sources, they were shaped by the experience of formal restitution mechanisms operating at the time, in particular in Bosnia and Herzegovina — a context of largely formal registration of private property and of what Yugoslav law called “socially-owned” apartments.[45] The restitution mechanism in Bosnia and Herzegovina, like others, has been criticized for doing little for those who did not own property or did not have recognized formal titles to them, and for being unable to deal with complex, informal systems of tenure with a plurality of customary, state or religious laws.[46]\",\n \"29. The Special Rapporteur suggests that housing and property restitution must be understood as the restitution of any right to tenure related to housing or land prior to disaster, irrespective of tenure status or whether the land or housing is formally registered. An example of such an approach can be found in the South Africa Restitution of Land Rights Act, and in recent operational guidance on durable solutions.[47] Without pre-empting deeper discussion and clarification of their provisions, the Pinheiro Principles should be systematically viewed to embrace a wide ambit of situations and tenure rights. A number of elements in the Principles already point to an appropriately expansive conception of restitution, such as the systematic use of the term “housing, land and property” rather than only property.[48]\",\n \"30. This more expansive view of restitution is grounded in the State obligations associated with the right to adequate housing to respect and ensure tenure security for all, irrespective of the form of tenure. The approach recognizes all those who are not individual owners of formally registered property as rights-holders. While post-disaster and post-conflict needs will vary with the context, the typology of human rights duties remains the same. Property restitution should be viewed and implemented in this light.\",\n \"31. The practical implications of this expansive view of restitution as part of the right to remedy should be further examined with a view to articulating guidance on various scenarios.[49] For the purpose of the present report, however, and bearing in mind the qualified assessment of the Pinheiro Principles with respect to disaster situations (see section II above), property restitution will more often than not be a condition for return and other durable solutions, not a legal remedy. Understanding the equal legitimacy of all forms of tenure is thus not only relevant to restitution but even more so to efforts to ensure durable solutions and recovery. In such cases, States, with international organizations, must assess the tenure rights of all people affected by disasters and take measures to protect and ensure secure tenure post-disaster, whether at a former place of residence or elsewhere, should people be unable or unwilling to return.[50] Furthermore, the principle of non-discrimination and equality requires States and international organizations to prioritize assistance to those with most insecure tenure and strengthen tenure security for those with weak, ambiguous or vulnerable tenure, a responsibility often overlooked in relief and recovery efforts.\",\n \"B. Recognizing tenure rights in practice, for the purpose of durable solutions\",\n \"32. International agencies have shown reluctance to invest in places of return or relocation where land tenure is unclear and where legal and customary arrangements under which claims regarding housing or land may fall are diverse and at times conflicting. In that respect, reconstruction in urban areas might be particularly challenging since the areas they are often characterized by complicated land ownership and tenure issues.\",\n \"33. This mindset is evident among many organizations operating in Haiti. As evident in one assessment:\",\n \"The condition of land markets is chaotic and essentially lawless. Land ownership records are non-existent or ambiguous. Lack of clear title to a plot of land or written approval from a verified owner makes it difficult to supply a potential beneficiary with a new house or to support re-occupancy of prior homes.[51]\",\n \"Clearly, this has been one of the reasons for the delay in reconstruction and return in Haiti. Similarly, in the aftermath of the Indian Ocean tsunami, the promulgation of contradictory policies and restrictions on land use at various levels of government and the contention surrounding these were said to have created obstacles to international recovery work and severely undermined efforts to pursue disaster risk management.[52]\",\n \"34. Against this backdrop it is important to differentiate between two tasks. In the long term, there might be a need to formally record and strengthen ownership or tenure through legal reforms and other mechanisms such as land titling, thereby definitively resolving the ambiguous and uncertain situation in which many find themselves. In the short term, however, these means may not be the most appropriate to address reconstruction and recovery needs and to do so without reinforcing inequalities.[53] Experience also suggests the enormous challenge of attempting to deal with the full spectrum of ownership/tenure and land reform issues right after disaster or conflict. The Government of Pakistan noted that an appreciation of the social, political, technical and legal complexities of land tenure issues and the fact that those were not confined to the disaster-affected areas was essential.[54] In the short term, it remains nonetheless essential and opportune to assess pre-disaster tenure rights, through swift methods, in order to move effectively towards reconstruction and recovery in a way that ensures a minimum of tenure security to everyone and addresses some of the worse forms of inequality and insecurity.\",\n \"35. The optimal means for determining housing or land claims for the purpose of reconstruction and return will depend on the particular context, in terms of tenure or property arrangements, formality and registration, and resources. As discussed, formal administrative or judicial property restitution mechanisms might not be applicable or appropriate in a number of situations, in particular those characterized by multiple tenure arrangements.[55] The Protocol on the Property Rights of Returning Persons of the International Conference on the Great Lakes Region offers a more comprehensive approach than the Pinheiro Principles in this regard, by providing that both administrative and traditional authorities should address property disputes, thereby acknowledging the importance of traditional and customary systems with regard to land.[56] The Protocol also envisages alternative and informal community-based mechanisms for resolving disputes, using requirements of proof of ownership based upon testimony.[57] In practice, organizations supporting return of refugees or displaced persons have often relied on customary law and traditional conflict resolution mechanisms to solve land disputes.[58] Caution must however be exercised so that women or others particularly vulnerable to discrimination are not excluded or disadvantaged in these processes.\",\n \"36. One step further are “community” or “participatory” enumeration practices. Such participatory processes have been implemented in various countries for various aims, for instance to determine and strengthen tenure rights in informal settlements or for land adjudication.[59] In the absence of land records, in case of their destruction following disaster, or in context of multiple tenure arrangements, community enumerations offer promising and flexible alternatives to identify the state of occupancy and tenure pre-disaster or pre-conflict, thus ensuring a certain level of certainty and security of tenure in informdurable solutions. Community enumeration projects were implemented in the wake of the Indian Ocean tsunami,[60] and have been started in Haiti. Lessons should be drawn from experience in defining key elements and prerequisites of successful community mapping processes, applied to post-disaster situations, including their relationship with more formal or Government-led validation or land management processes, and the need to complement them with conflict resolution mechanisms.[61]\",\n \"37. While mechanisms to assess, respect and strengthen tenure security post-disaster will differ depending on the context, they must in any event be guided by human rights principles, such as participation of affected communities and gender equality.\",\n \"V. Disasters as opportunities — for whom?\",\n \"38. It is often said that disasters, by creating a “clean slate”, offer major opportunities to launch into wide scale reforms and ambitious redevelopment. Disasters offer opportunities, but also serious risks, for the protection and promotion of human rights. The Special Rapporteur is concerned that in some cases, major redevelopment efforts, while benefiting some, have, by commission or omission, overlooked the most vulnerable and in fact violated key elements of the right to adequate housing.\",\n \"A. From the redevelopment of coastal areas and cities to outsourcing reconstruction\",\n \"39. The 2004 Indian Ocean tsunami was seen by many as providing major opportunities for redevelopment, sometimes under the guise of public safety and disaster risk mitigation. In the tsunami’s aftermath, zones prohibiting housing reconstruction along the coast (buffer zones) were in fact introduced in a number of countries affected by the tsunami; they ranged from 100 to 500 metres and, in some cases, if implemented fully, would have required the relocation of over 100,000 houses.[62] The zones were purportedly declared to protect residents from future disasters. They also had major impacts on the livelihoods of residents, especially those who relied on the sea for a living.\",\n \"40. At the same time, ambitious plans for “redevelopment” and luxury tourism emerged, including for those coastal areas closed off to residents for safety reasons. One tourism board announced at the time that the tsunami offered an opportunity to make of its country a “world class tourism destination”.[63] It was reported that while displaced persons were prohibited from returning to their homes, the same prohibition did not apply to hotel complexes. In some places, land developers simply used the opportunity to grab land, especially from the most vulnerable communities. Luxury hotels sprang up in many coastal areas. Communities and civil society organizations complained that the creation of zones was used to arbitrarily evict poor coastal dwellers and indigenous communities to the benefit of businesses and new tourism facilities.[64]\",\n \"41. The destruction of much of the housing stock in New Orleans after Hurricane Katrina was also seen as an opportunity to fundamentally change the housing and urban characteristics of the city. Notably, the four largest public housing complexes in New Orleans (the “big 4”), mostly inhabited by African Americans, were demolished to give way to planned redevelopment of mixed-income communities and other uses. Although in some cases there may have been no feasible alternatives because of the severity of the damages, the demolitions were mainly justified as essential to the city’s recovery and necessary for health and safety reasons.[65] Problematically, the planned developments were to include a small number of public housing units compared to the total available before Hurricane Katrina.[66] Their demolition was another obstacle preventing lower income residents from returning to New Orleans (see sect. III above).[67]\",\n \"42. Concerns have also been expressed over what has been called “the business of reconstruction”, whereby the planning, financing and implementation of reconstruction are outsourced to private companies. In some cases, outsourcing reconstruction without putting adequate safeguards in place has been associated with negative impacts on the adequacy and affordability of reconstruction as well as on people’s ability to participate in and benefit from reconstruction efforts. In Chile, following the earthquake and subsequent tsunami of February 2010, the private sector reportedly played a central role in the reconstruction of urban centres and coastal areas. Following one of the main principles of the national reconstruction plan, families have the choice to decide whether to rebuild their homes on the same sites of the collapsed buildings or to acquire a previously existing or a newly built house. However, as housing reconstruction was supported mainly by subsidies attached to individual property, private constructors preferred to rebuild housing in new areas on the outskirts of towns, rather than the central areas from which many people had been displaced, where land and housing prices were much higher.[68] Real estate companies were also said to pressure families to sell land and housing at very low prices in a moment where they were very vulnerable, in order to make way for private redevelopment.[69] This shows that if left only to the market, new housing for the poorest will likely be in the peripheries.\",\n \"43. Similar distortions were seen with respect to the construction market. In one case, it has been reported that in some cities a few companies were given a monopoly over construction materials, to the detriment of local small businesses, and in another, the reconstruction process led to increased prices by suppliers and construction companies, stymying individual reconstruction efforts.[70] Likewise, the outsourcing of transitional shelters by humanitarian agencies to international contractors might divert potential financial resources for displaced persons who could be supported to build their own shelter. The results in the latter instances are also less likely to be culturally appropriate.[71]\",\n \"B. Acting with due diligence to protect the right to adequate housing\",\n \"44. In the examples discussed above, post-disaster reconstruction has had negative impacts on the poorest. In the worst cases, disasters provided a clean slate and excuse for powerful actors to destroy housing or grab land, which would not have been possible in the pre-disaster context, where legal procedures would have had to be followed and affected households consulted and given access to remedies. At best, States did not adequately monitor the operation and regulation of the post-disaster housing and reconstruction markets, nor did they take measures to ensure that people retained access to affordable housing and were not in effect forced to leave their places of origin. While nothing prevents States from asking for the support of private companies in reconstruction efforts — and indeed private sector contributions can be essential to recovery — Governments must be mindful of their role to monitor private sector delivery and ensure that reconstruction does not benefit only a privileged few to the detriment of others.\",\n \"45. Such examples could be seen as “constructive forced evictions”.[72] In such cases, international standards pertaining to forced eviction or arbitrary displacement apply. When forced eviction has been proved, people should have access to remedies, including to a fair hearing, access to legal counsel and to receiving reparation, such as housing or land restitution, adequate compensation, or alternative housing/land if they so choose.[73]\",\n \"46. In cases where public security and safety concerns are legitimate and compelling, decisions over land use or housing regulations must nonetheless be subject to human rights standards — in particular the strict procedural requirements relating to the conduct of evictions, the right to redress and remedy and an opportunity for judicial review, and the economic, social and cultural rights of affected communities. Evictions should not result in individuals being rendered homeless. Where those affected are unable to provide for themselves, the State must take measures to ensure that alternative housing, resettlement or access to productive land is available.[74]\",\n \"47. Restrictive measures must also conform to the principle of proportionality.[75] This calls for a balancing act between the rights of those affected with the interests of the State in mitigating the damage and ensuring public safety.[76] With respect to tsunami prevention for instance, any regulation preventing residents from returning to beachfront areas must be shown to be the least restrictive means of achieving public safety objectives. A State would have to show that other safety measures such as warning systems or dykes are not available or effective.[77]\",\n \"48. Finally, experience with respect to land use restrictions compels consideration of a range of factors, including that resettling people involves large costs in terms of infrastructure and services and may also severely disrupt people’s livelihoods and community lives.[78] Settlement and housing patterns are not random but reflect a specific economic and social fabric that may be difficult to replicate elsewhere. Thus, both human rights standards and an assessment of the social and economic costs of displacement call for a more restrictive approach to the application of land/housing use restrictions.\",\n \"VI. Recovery and durable solutions: addressing all aspects of the right to adequate housing\",\n \"49. Beyond the more obvious protection aspects discussed above, it is important to address reconstruction from a broader view of adequate housing — including seeing housing as a social asset — and with the aim to progressively realize the right. Ensuring recovery and durable solutions, seen in this light, means rebuilding communities and neighbourhoods and ensuring an adequate standard of living, of which housing unit construction is only one part, sometimes not the most important or urgent.[79] Disasters do not take place in a vacuum: it is important to assess and address the wider housing context in which disasters take place.\",\n \"A. Undue focus on houses and property\",\n \"50. Post-disaster situations are likely to be characterized not only by massive damage to housing but also by mass displacement, disruption of social networks and relationships, damage or lack of access to basic services and loss of livelihoods, employment, assets, or land, which are all key factors that have an impact on enjoyment of the right to adequate housing. However, reconstruction and efforts to ensure durable solutions have too often focused on the most tangible aspects of housing (the physical structures). International organizations and Governments are prone to assume that housing reconstruction is the main priority for affected persons, rather than livelihoods or neighbourhood infrastructure.[80] When housing is assessed it is assessed as a technical or economic sector rather than as a human right, and the focus is on building and construction standards and materials, and on the quality of emergency and transitional shelters. In some cases the focus on property restitution has also been to the detriment of rebuilding and improving the broader social, political or economic conditions required to support sustainable return — jobs, basic services and infrastructure, and security. A commentator stated that, the “house” had become the measure of success of the return process rather than the actual welfare of the people displaced from their homes.[81]\",\n \"51. The well-known slogan, “Build Back Better”, seems to, and certainly should, aspire to address the broader living conditions of affected communities. The special envoy of the Secretary-General to the Indian Ocean tsunami noted that the financial resources, international focus and openness to political and policy reform that often characterized a post-crisis period should allow for “build back better” and break out of inequitable development patterns in a sustained way.[82] Similar calls were made to consider the Pakistan floods as “an opportunity to build back better lives and to step up to the task of bringing dignity to the millions who live on the margins of society”.[83] However, implementing this inspiring idea is often reduced to its most technical meaning, for instance building houses using flood- and seismic-resistant standards.[84]\",\n \"52. By contrast, a number of reconstruction projects worldwide have attempted to see the reconstruction process “as an opportunity to promote a local development process” rather than being limited to restoring pre-disaster conditions — the participation of communities being essential in that regard.[85]\",\n \"B. Addressing the wider context in relief and recovery efforts\",\n \"53. As mentioned above, the earthquake in Haiti highlighted the largely inadequate housing conditions and the precariousness and insecure tenure of informal settlements. The international community, by focusing on people displaced in camps, and by offering conditions superior to those enjoyed by many Haitians, inadvertently made camps attractive places. While systematic reconstruction accompanied by the provision of services in neighbourhoods of return is not forthcoming, there is thus little reason for poor families to leave the camps where housing and services are provided free of charge. Although understandable from an emergency perspective, a narrow focus on the plight of internally displaced persons and temporary solutions becomes, amidst a difficult socio-economic and tenure context, an obstacle to long-term recovery, and in some cases may result in further development problems.[86] Such situations are bound to become more frequent, with increased urbanization, much of which occurs in an unplanned manner (see A/64/255, paras. 13-21).\",\n \"54. The situation in Haiti also serves as an example of the challenges facing the basic rationale for reconstruction and property restitution: in contexts characterized by massive poverty and grossly inadequate living and housing conditions, the question remains as to whether the final goal of reconstruction should be to provide high-quality houses for those who lost their dwellings in the disaster. The Special Rapporteur believes that interventions must instead aim to progressively realize the right to adequate housing for all. In Haiti, reconstruction and recovery have less to do with the construction of new houses for individuals directly affected by the disaster than with the improvement of the overall living and housing conditions in the unplanned and unserviced settlements affected by the disaster. The approach should thus focus on settlements and communities, not individual constructions, and the aim to create places where people can have an adequate standard of living.\",\n \"55. Land use planning post-disaster can be a powerful instrument to provide both a reference for reconstruction and a legal basis for action in the immediate aftermath of a disaster. Post-disaster zoning can recognize de facto settlements, opening ground for investment in infrastructure and upgrading of hitherto unserviced and unplanned settlements in order to facilitate return and reconstruction.\",\n \"56. From a human rights perspective, investment in upgrading settlements characterized by grossly inadequate living conditions as part of disaster response is not only legitimate but also indispensable, bearing in mind the obligation of non‑discrimination and attention to the most vulnerable. Moreover, for principled and pragmatic reasons, in a number of contexts it would be important to address the situation from a longer-term perspective: in the context of Haiti, this means a focus on improving conditions in settlements not damaged by the disaster (provided they are not in disaster-prone areas) but with the same urbanistic and vulnerability characteristics as those affected by it.\",\n \"C. Disconnect between emergency and long-term recovery\",\n \"57. The above examples also illustrate the existing disconnect between the emergency phase and longer-term recovery, as well as the difficulties of the international community, in many contexts, to manage the transition from one to the other.[87]\",\n \"58. A focus on individual beneficiaries and on “deliverables” — food, shelters, health kits — as ends in themselves might divert from the fundamental responsibility to respect, protect and fulfil rights (to housing, water, health, for instance), and the requirement to think of the long term. In Haiti, it was reported that immediate needs had dominated the international community’s response and that specific pledges to support permanent housing requirements had therefore been less significant.[88] The Haiti Shelter Cluster of the Inter-Agency Standing Committee reported on the risks of institutionalizing camps and of consuming scarce resources in emergency measures at the expense of more durable permanent solutions were recognized.\",\n \"59. Similarly, the massive construction of transitional shelters might not always be required or appropriate and in some cases might impede durable solutions, such as in dense, urban settings where people might be prevented from incrementally building permanent housing due to lack of space. The production of these shelters might unintentionally divert resources from the reconstruction of permanent housing and neighbourhoods, in a context of diminishing attention and aid flows over time.[89] It is thus not uncommon, regrettably, for people to live in transitional shelters many years following a disaster (see A/HRC/13/20/Add.4, para. 31). States and international organizations should not automatically assume the need for transitional shelters without considering whether alternative solutions can be supported.\",\n \"60. Many have made the call for an integrated approach to ensure a continuum of aid between relief and recovery. In the previous report (A/HRC/16/42) to the Human Rights Council, the Special Rapporteur discussed some of the funding issues associated with the issue. The Special Rapporteur would like to encourage donors to support durable solutions and recovery at the earliest time possible and to help to ensure a continuum of aid, including by funding that can be flexible enough to do so.\",\n \"VII. Conclusion\",\n \"An approach to disaster response deliberately and comprehensively integrating the right to adequate housing\",\n \"61. Integrating the right to adequate housing into disaster response has broad implications. In practice, however, comprehension of the right to adequate housing and its application to disaster response has been limited to only some aspects of the right, most notably linked to physical structures and individual property ownership. In some cases, reconstruction and recovery efforts — by omission or commission — have had a detrimental impact on victims of disasters and their enjoyment of the right to adequate housing.\",\n \"62. In the view of the Special Rapporteur, making comprehensive efforts to realize the right to adequate housing in reconstruction efforts is not only an obligation but also an opportunity. While disaster response will not — and should not — replace development efforts, it provides an occasion to redress the inequalities that either exacerbated the natural disaster’s impacts or were made visible by it, and to contribute to efforts to progressively realize the right to adequate housing for all, notably by improving tenure security.\",\n \"63. The recommendations below outline the fundamental elements of an approach to disaster response that is fully based on the right to adequate housing. They are meant to complement existing guidance when it comes to ensuring protection and realization of the right to adequate housing. Unless stated otherwise the recommendations are addressed to Governments, and international donors and organizations. Finally, recommendations for follow-up are provided, bearing in mind that the framework only outlines general principles that will need to be further refined and operationalized.\",\n \"VIII. Recommendations\",\n \"64. The Special Rapporteur makes the following recommendations:\",\n \"A. General framework: disaster response based on the right to adequate housing\",\n \"Overarching principles\",\n \"1. Right to adequate housing\",\n \"In all phases of disaster response the right to adequate housing should be respected and protected. It should be understood as the right to live in safety and security, in conditions deemed adequate on grounds of security of tenure; availability of services, materials, facilities and infrastructure; affordability; habitability; accessibility; location; and cultural adequacy.\",\n \"2. Security of tenure\",\n \"The multiplicity of forms of tenure should be recognized equally and Security of tenure should be ensured for everyone post-disaster.\",\n \"3. Participation\",\n \"• All affected persons and groups should have access to information and be able to participate meaningfully in the planning and implementation of the various stages of the disaster response.\",\n \"• In particular, all affected persons and groups should have the opportunity to participate in the identification and determination of tenure rights; the choice over, planning and implementation of transitional shelter and permanent housing programmes, and of durable solutions (return, local integration, resettlement); and in decisions over land use planning and restrictions.\",\n \"• Women’s participation must be ensured.\",\n \"4. Non-discrimination and vulnerability\",\n \"• In post-disaster needs assessments (for both emergency and recovery), pre-disaster inequalities and vulnerabilities should be identified, whether based on race, socio-economic status, tenure, gender or any other relevant grounds.\",\n \"• In recovery plans, programmes should be devised to specifically address inequalities identified.\",\n \"• Special measures should be taken to redress discrimination and ensure the realization of the right to adequate housing for the most disadvantaged groups, including through measures to strengthen tenure security for those with insecure status and/or through the prioritization of housing reconstruction and the provision of alternate housing, such as social or public housing, for the most vulnerable.\",\n \"Operational principles\",\n \"1. Equal rights to shelter and housing\",\n \"• All affected persons, irrespective of their tenure status pre-disaster, should have equal rights to shelter in the emergency and transitional phases.\",\n \"• Shelter and housing must fulfil the requirements of adequacy in international human rights law.[90]\",\n \"2. Do no harm\",\n \"No harm should be caused by or to others in respecting and protecting the right to adequate housing, including tenure security:\",\n \"• Existing land, housing and identity records should be protected.\",\n \"• Housing, land and property should be protected from further damage or destruction.\",\n \"• States must prohibit and sanction forced evictions by Government and private actors alike.\",\n \"• Health and safety regulations as well as disaster risk reduction measures, which may call for land use or housing restrictions, must be subject to human rights standards: their impacts on the human rights of individuals and communities must be assessed, and due process rights, and the rights to information and participation, must be upheld in all circumstances.\",\n \"• Efforts must be made to ensure that humanitarian and shelter assistance, as well as the restitution laws, mechanisms and institutions that may emerge in post-disaster situations, do not intentionally or by default discriminate on the basis of tenure status.\",\n \"3. Tenure of “non-formal owners”\",\n \"The tenure rights of “non-formal owners”, namely those without individual, formally registered, property ownership, should be honoured:\",\n \"• All pre-disaster tenure rights, including in disaster damage and needs assessments, should be assessed and recorded.\",\n \"• In contexts where property and ownership are not formally registered, fast-track mechanisms to determine tenure rights, notably community-led processes (community enumeration), should be considered an essential element of and prerequisite to the implementation of restitution, reconstruction and recovery programmes.\",\n \"• Housing and property restitution must be understood as the recognition and restitution of all tenure rights to housing or land.\",\n \"• For those with insecure tenure, measures should aim at strengthening their security of tenure, for instance by granting rights to housing or land at places of origin, either immediately or in incremental stages. When restitution or return is not desirable for the affected persons or is not possible owing to land having disappeared or to compelling safety reasons that prevent the return, alternative housing or land should be granted at another location.\",\n \"• Measures must be taken to support the repossession of or alternative access to adequate housing or land for all non-formal owners, with a particular focus on the most vulnerable.\",\n \"4. Context of relief and recovery programmes\",\n \"Relief and recovery programmes should be addressed within the overall housing context (of an area/city/country):\",\n \"• In post-disaster needs assessments, major pre-disaster impediments to the realization of the right to adequate housing should be identified, as should the impact of pre-disaster situations on durable solutions and the recovery process.\",\n \"• The broader housing situation, including unplanned and unserviced settlements, should be addressed through targeted programmes in conjunction with programmes for disaster response and with a focus on the most vulnerable populations.\",\n \"5. Rebuilding communities\",\n \"Communities and settlements, not just houses, should be rebuilt or resettled:\",\n \"• Reconstruction should not only apply to physical structures but should also include or prioritize, as appropriate and according to the needs and requests of affected persons, the rebuilding or setting up of basic infrastructure and services and the upgrading of settlements.\",\n \"• Community structures and networks, to the extent that they respect international human rights standards including on gender equality, should be deliberately preserved and supported.\",\n \"6. Compliance with international standards\",\n \"If return is impossible because the land has disappeared or there are objective safety grounds preventing return, of if it is not desired by the affected individuals or groups, resettlement and local integration conditions must comply with international human rights standards and guidelines pertaining to adequate housing, evictions and displacement.\",\n \"7. Disaster risk reduction legislation\",\n \"States must adopt disaster risk reduction legislation that respects the right to adequate housing. Special attention must be given to those who may face discrimination and exclusion, including on the grounds of tenure status, and measures must be devised to protect them.\",\n \"B. Recommendations for follow-up\",\n \"1. United Nations agencies and mechanisms, the Inter-Agency Standing Committee or organizations that are members of or cooperating with it, should consider undertaking further research on the practical integration of the right to adequate housing in disaster response, taking as a starting point the framework proposed by the Special Rapporteur.\",\n \"2. Further work should be conducted on:\",\n \"• The mechanisms to support the fast-track determination of tenure rights, including community mapping and enumeration, drawing lessons from existing practices to advise on their essential features and application in post-disaster situations.\",\n \"• The legal and practical measures needed to support, in post-disaster situations, all those who are not individual owners of formally registered property.\",\n \"• Territorial planning and land use instruments and tools and their potential to provide a technical and legal foundation for return and reconstruction programmes.\",\n \"• The access to use and control over land in situations of natural disasters, including conditions for land requisition and acquisition for shelter/ settlement.\",\n \"3. In their examination of State reports and country visits, United Nations human rights mechanisms should assess and make recommendations on the enjoyment of specific human rights in natural disaster situations, as well as the extent to which disaster prevention, relief and recovery efforts contribute to their enjoyment.\",\n \"[1] International Disaster Database, http://www.emdat.be.\",\n \"[2] The present report will nonetheless draw from examples in post-conflict settings, when relevant and applicable to post-disaster situations, and in the absence of documented examples in disaster situations.\",\n \"[3] The Special Rapporteur would like to reiterate her thanks to the United Nations Stabilization Mission in Haiti, the Office of the High Commissioner for Human Rights and the United Nations Human Settlements Programme, which facilitated her visit.\",\n \"[4] Human rights challenges in conflict and post-conflict settings have received more attention and the relevant standards have been further elaborated upon than in post-disaster situations. In addition to the standards discussed here, post-conflict responses would also be guided by international humanitarian law, refugee law and standards pertaining to remedies and reparation.\",\n \"[5] See Committee on Economic, Social and Cultural Rights, General Comment No. 4, on the right to adequate housing.\",\n \"[6] See Committee on Economic, Social and Cultural Rights, General Comment No. 7, on forced evictions; see also “Basic principles and guidelines on development-based eviction and displacement” (A/HRC/4/18, annex 1).\",\n \"[7] Participation was discussed in the previous report to the Human Rights Council. Section III of the present report discusses non-discrimination.\",\n \"[8] For example, in the Inter-Agency Standing Committee Operational Guidelines on the Protection of Persons in Situations of Natural Disaster, reference to adequate housing is made under C.2.1 but not in other potentially relevant provisions.\",\n \"[9] See Erica Harper, International Law and Standards Applicable in Natural Disaster Situations (Rome, International Development Law Organization, 2009).\",\n \"[10] The Representative of the Secretary-General on the human rights of internally displaced persons is among the exceptions. See observations by United Nations treaty bodies and special procedures, Universal Human Rights Index, http://www.universalhumanrightsindex.org/ en/index.html.\",\n \"[11] The legal database on the Guiding Principles attests to their wide recognition. See http://www.idpguidingprinciples.org/.\",\n \"[12] First issued in 2006, a revised version was published in 2011.\",\n \"[13] Guiding Principles on Internal Displacement, principle 28; Inter-Agency Standing Committee Guidelines, D.2.2, D.2.3.\",\n \"[14] Sub-Commission on the Promotion and Protection of Human Rights, resolution 2005/21.\",\n \"[15] Principle 2.2. See also the seemingly unsettled debate as to whether there is a self-standing right to property restitution under international law: Malcolm Langford and Khulekani Moyo, “Right, remedy or rhetoric? Land Restitution in International Law”, Nordic Journal of Human Rights, vol. 28, No. 2 (2010). For the purposes of the present report, however, the Special Rapporteur is satisfied that the right to property restitution is an essential element of the right to remedy and reparation and to the right of refugees and internally displaced persons to return to their places of origin and habitual residence.\",\n \"[16] Harper, International Law, chapter 4 (see footnote 9 above).\",\n \"[17] Principle 1. See, among others, Charles Gould, “The Right to housing recovery after natural disasters”, Harvard Human Rights Journal, vol. 22 (2009); Rebecca Barber, “Protecting the right to housing in the aftermath of natural disaster: standards in international human rights law”, International Journal of Refugee Law, vol. 20, Issue 3 (2008).\",\n \"[18] European Court of Human Rights, Budayeva and others v. Russia, 29 September 2008; Supreme Court of Pakistan, Floods Commission case, 7 June 2011, available from http://www.supremecourt.gov.pk/web/page.asp?id=735 (accessed 24 July 2011).\",\n \"[19] See General Assembly resolution 64/200.\",\n \"[20] Committee on Economic, Social and Cultural Rights, General Comment No. 3 on the nature of States parties obligations, article 2 (1) of the Covenant. See also concluding observations by the Committee on the Rights of the Child with respect to disasters, for instance, CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4.\",\n \"[21] International Convention on the Elimination of All Forms of Racial Discrimination, article 1 (4); Convention on the Elimination of All Forms of Discrimination against Women, article 4.\",\n \"[22] No less than 84 per cent of the city’s poor population was African-American. The Brookings Institution, “New Orleans after the storm: lessons from the past, a plan for the future” (2005), p. 6.\",\n \"[23] Ibid., p. 13.\",\n \"[24] Elizabeth Ferris and Daniel Petz, A Year of Living Dangerously: A Review of Natural Disasters in 2010 (London, The Brookings Institution — London School of Economics, 2011), p. 19. The Special Rapporteur welcomes information received from the Government of Colombia on the range of actions taken to address the effects of La Niña, such as the establishment of the “Fondo de Adaptación” charged to identify and manage projects aimed at finding durable solutions, including mitigation and preventing strategies.\",\n \"[25] Government of Pakistan, Asian Development Bank and World Bank, Pakistan Floods 2010: Preliminary Damage and Needs Assessment, p. 68; Oxfam, Land Rights and the Indus Flood, 2010-2011: Rapid Assessment and Policy Review (Oxford, OxfamGB, 2011). The Special Rapporteur acknowledges the scale of the challenge faced by the Government and its efforts in handling relief and recovery, particularly the initiation of the Watan Card, which being non‑discriminatory between landowners and the landless, encouraged all to return home.\",\n \"[26] It is estimated that before the earthquake 80 per cent of the Port-au-Prince population lived in informal settlements, on only 20 per cent of the land.\",\n \"[27] International Organization for Migration, displacement tracking matrix, May 2011.\",\n \"[28] Oxfam, Land Rights and the Indus Flood, p. 3 (see footnote 25 above).\",\n \"[29] John Telford and John Cosgrove, Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report (London, Tsunami Evaluation Coalition, 2006), p. 104.\",\n \"[30] Michael Lyons and Theo Shilderman, eds. Building Back Better: Delivering People-Centred Housing Reconstruction at Scale (London, Practical Action, 2010) (with respect to communities in Sri Lanka); ActionAid, “Tsunami response: a human rights assessment” (2006), pp. 43-47.\",\n \"[31] Following Hurricane Katrina, women were particularly affected by the lack of affordable/public housing since prior to the storm they had headed the majority of public housing and voucher-subsidized households. See Ferris and Petz, A Year of Living Dangerously (see footnote 24 above).\",\n \"[32] See World Reconstruction Conference: Recovering and Reducing Risks after Natural Disasters: Proceedings (Geneva, May 2011), p. 31.\",\n \"[33] See report of the United Nations Special Envoy for Tsunami Recovery, William J. Clinton, “Key propositions for building back better” (2006); (Hakan Arslan and Cassidy Johnson, “Turkey: can small actors overcome the absence of state will?”, in Building Back Better: Delivering People-Centred Housing, Lyons and Shilderman, eds. (see footnote 30 above).\",\n \"[34] Oxfam, Land Rights and the Indus flood, pp. 24 and 25 (see footnote 25 above); Government of Pakistan and others, Pakistan Floods 2010, annexes on housing, agriculture and the financial sector (see footnote 25 above). See also part III of the present report for a discussion on tenure/land assessments.\",\n \"[35] See Advisory Group on Forced Evictions, “Mission report to New Orleans”, 26-31 July 2009, and A/HRC/13/20/Add.4, para. 30. A total of 90 per cent of neighbourhoods dominated by public housing were populated by African-Americans, of which 80 per cent were renters in those areas. See Ferris and Petz, A Year of Living Dangerously, p. 74 (see footnote 24 above).\",\n \"[36] The Special Rapporteur welcomes the information received by the Government of the United States of America and concerning the measures undertaken by the Government, including by the Department of Housing and Urban Development, to combat housing discrimination by private and public actors and, inter alia, its measures to combat systematic discrimination caused by restrictive zoning or rental ordinances that discriminate against African-Americans, such as ordinances passed by St. Bernard’s Parish after the hurricane.\",\n \"[37] United States Government Accountability Office, Disaster Housing: FEMA needs more detailed guidance and performance measures to help ensure effective assistance after major disasters, 2009, pp. 11-13; “4 Years After Katrina: Housing crisis continues, low-income renters face discrimination”, Facing South, 21 August 2009.\",\n \"[38] Ferris and Petz, A Year of Living Dangerously, p. 74 (see footnote 24 above).\",\n \"[39] Advisory Group on Forced Evictions, “Mission report”, p. 5 (see footnote 35 above).\",\n \"[40] In some circumstances, private ownership may in fact not be the most appropriate way to ensure tenure. See A/HRC/10/7.\",\n \"[41] See comments on the report of the Special Rapporteur (A/HRC/16/42/2010) by delegations supporting this view, Human Rights Council, sixteenth session.\",\n \"[42] The Special Rapporteur notes the categorization used among humanitarian agencies of “six tenure options”, an acknowledgment of the need to also address other forms of tenure. United Nations and Shelter Centre, Shelter after Disaster (2010), p. 107.\",\n \"[43] Langford and Moyo, “Right, remedy or rhetoric?”, pp. 148 and 149 (see footnote 15 above).\",\n \"[44] See also recognition of the possessory rights of traditional and indigenous communities, principle 15.3, separate from principle 16.\",\n \"[45] See http://www.ohr.int/plip; Norbert Wühler and Heike Niebergall), eds., Property Restitution and Compensation: Practices and Experiences of Claims Programmes (Geneva, International Organization for Migration, 2008).\",\n \"[46] Rhodri Williams, “Post-conflict property restitution in Bosnia: balancing reparations and durable solutions in the aftermath of displacement”, presented at TESEV International Symposium on internal displacement in Turkey and abroad, Istanbul, December 2006; Conor Foley, Ingunn Sofie Aursnes, “Land, housing and property restitution after conflict: principles and practice”, Humanitarian Exchange Magazine (2005), p. 2. Norwegian Refugee Council, on Afghanistan’s special property restitution court, 2005.\",\n \"[47] Office of the President, No. 22 of 1994, Restitution of Land Rights Act, chapter I (1) xi; Inter‑Agency Standing Committee, Framework on durable solutions for internally displaced persons (Washington D.C., The Brookings Institution, 2010), p. 35.\",\n \"[48] See also principles 8 and 15.2; E/CN.4/Sub.2/2005/17/Add.1, para. 62; Langford and Moyo, “Right, remedy or rhetoric?” (see footnote 15 above).\",\n \"[49] Including situations whereby tenure rights are solely based on use, or whereby restitution is materially impossible, such as in cases where tenants are unable to return to their places of residence, or the original sites have disappeared or been declared non-aedificandi after the disaster.\",\n \"[50] Importantly, someone’s right to tenure is not dependent on the actual reoccupancy of a former place of habitual residence.\",\n \"[51] International Housing Coalition, “Haiti shelter sector assessment: one year after the earthquake” (April 2011), p. 12.\",\n \"[52] Telford and Cosgrove, Synthesis report, p. 102 (see footnote 29 above); and Ian Christoplos, Links between Relief, Rehabilitation and Development in the Tsunami Response: a Synthesis of Initial Findings (London, Tsunami Evaluation Coalition, 2006), p. 71.\",\n \"[53] With respect to Haiti, it was commented that “a strict asset-replacement approach to housing provision and a rush to confirm property rights … will not be appropriate to meet the housing needs of the majority of the affected population who are tenants and squatters rather than owners”. A proposal to move quickly with the implementation of a cadastre was considered inappropriate, with the potential to “reinforce biases towards the most established and powerful formal owners able to produce documentation”. Kate Crawford and others, “Coordination and the tenure puzzle in Haiti”, Humanitarian Exchange Magazine No. 48 (2010), p. 8.\",\n \"[54] Comments received on an earlier draft. Similarly, the Government of Timor-Leste chose a long time frame to address land issues. Comments by Timor-Leste on the report of the Special Rapporteur (A/HRC/16/42), 8 March 2011.\",\n \"[55] Formal special mechanisms are also resource- and time-consuming. See Kosovo property agency annual report, 2010.\",\n \"[56] International Conference on the Great Lakes Region, Protocol on the Property Rights of Returning Persons (Great Lakes Protocol), 2006, article 4.\",\n \"[57] Great Lakes Protocol, article 4 (3).\",\n \"[58] See A/HRC/16/42, paras. 44 and 45 (on Timor-Leste); and Foley and Aursnes, “Land, housing and property” (see footnote 46 above).\",\n \"[59] United Nations Human Settlements Programme, Count Me In: Surveying for Tenure Security and Urban Land Management (Nairobi, 2010).\",\n \"[60] Ibid. (on Aceh, Indonesia), pp. 79-83; and Harper International Law, p. 209 (see footnote 9 above).\",\n \"[61] See World Reconstruction Conference: Recovering and Reducing Risks, pp. 33 and 34 (see footnote 32 above).\",\n \"[62] Oli Brown and Alec Crawford, “Addressing land ownership after natural disasters: an agency survey”, 2006, p. 6; and Human Rights Watch, “After the deluge: India’s reconstruction following the 2004 tsunami”, p. 41. Some of the most important restrictions were ultimately abandoned.\",\n \"[63] Tourism Concern, “Post-tsunami reconstruction and tourism: a second disaster?”, 2005.\",\n \"[64] Action Aid, “Tsunami response”, pp. 17 and 18 (see footnote 30 above); Malcolm Langford and Jean du Plessis, “Dignity in the rubble? Forced evictions and human rights law”; and Brown and Crawford, “Addressing land ownership” (see footnote 62 above).\",\n \"[65] Julia Cass and Peter Whoriskey, “New Orleans to raze public housing”, Washington Post, 8 December 2006.\",\n \"[66] Amnesty International, “UN-Natural disaster: human rights in the Gulf coast”, 2010, p. 6; and Advisory Group on Forced Evictions, Mission report, pp. 5, 28-32 (see footnote 35 above).\",\n \"[67] A/HRC/13/20/Add.4, para. 30. The Special Rapporteur welcomes the information received from the Government, as well as the fact that, owing to a combination of housing policies, there are now more housing subsidies beneficiaries in New Orleans than prior to Hurricane Katrina.\",\n \"[68] 2011 report on the earthquake-tsunami of 27 February 2010 and the reconstruction process in Chile, prepared for the Special Rapporteur on the right to adequate housing by Habitat International Coalition, Habitat for Humanity, the Housing Institute of the Faculty of Architecture and Urbanism, the Observatory of Reconstruction, “Sur Maule”, “Let’s build” and “Observatory and Housing” networks.\",\n \"[69] Ibid.\",\n \"[70] Ibid; see also A/HRC/13/20/Add.3, para. 25.\",\n \"[71] See by contrast the success of “owner-driven approaches” to reconstruction. World Reconstruction Conference: Recovering and Reducing Risks, pp. 25-27 (see footnote 32 above).\",\n \"[72] Malcolm Langford, “The right to return and resettlement after the tsunami disaster”, Disaster Brief, vol. 2 (2) (July-September 2005). The term “constructive eviction” is used in some countries to describe actions or omissions by a landlord that make the premises unhabitable or unsuitable for the purposes for which they were leased.\",\n \"[73] Committee on Economic, Social and Cultural Rights, General Comment No. 7, General Assembly resolution 60/147, entitled “Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law; and the Pinheiro Principles.\",\n \"[74] General Comment No. 7, para. 16. Inter-Agency Standing Committee Guidelines, C.2.4, C.2.5.\",\n \"[75] Human Rights Committee, General Comment No. 27, on freedom of movement.\",\n \"[76] “Protection of internally displaced persons in natural disasters: a working visit to Asia by the Representative of the Secretary-General on the human rights of internally displaced persons”, Walter Kälin, 2005, p. 22.\",\n \"[77] Langford, “The right to return and resettlement” (see footnote 72 above).\",\n \"[78] World Bank, Hazards of Nature, Risks to Development: an IEG Evaluation of World Bank Assistance for Natural Disasters (Washington, D.C., 2006); Active Learning Network for Accountability and Performance in Humanitarian Action, “Responding to earthquakes, 2008: learning from earthquake relief and recovery”.\",\n \"[79] Inter-Agency Standing Committee, Framework on Durable Solutions (see footnote 47 above). Lessons could be drawn from good development practices on resettlement, for instance: Michael Cernea and Christopher McDowell, eds., Risks and Reconstruction: Experiences of Resettlers and Refugees (Washington, D.C., World Bank, 2000).\",\n \"[80] See for instance, with reference to housing construction in Indonesia, Lyons and Shilderman, eds., Building Back Better, p. 157 (see footnote 30 above).\",\n \"[81] Megan Ballard, “Post-conflict property restitution: flawed legal and theoretical foundations, Berkeley Journal of International Law 462 (2010) (with respect to Bosnia and Herzegovina).\",\n \"[82] United Nations Special Envoy for Tsunami Recovery, “Key positions for building back better” (see footnote 33 above).\",\n \"[83] Government of Pakistan, Asian Development Bank and World Bank, Pakistan Floods, p. 7 (see footnote 25 above).\",\n \"[84] Ibid., pp. 22 and 94.\",\n \"[85] See for instance projects in Peru: Lyons and Shilderman, eds., Building Back Better, pp. 307-344 (see footnote 30 above).\",\n \"[86] The case of “Camp Corail” at the outskirts of Port-au-Prince epitomizes such difficulties. Intended as a temporary camp for the displaced living in areas most at risk, it has attracted people from everywhere and has been transformed within a few months into a new informal settlement, with at least 50,000-60,000 residents as of May 2011.\",\n \"[87] John Holmes, “Learning the lessons of Haiti”, Humanitarian Exchange No. 48 (October 2010), p. 3.\",\n \"[88] United States of America strategy entitled “Post-earthquake United States Government Haiti strategy: towards renewal and economic opportunity” (2011).\",\n \"[89] In Haiti, a T-shelter costs $2,500 on average, while the cheapest estimates for permanent housing are around $3,500 per house.\",\n \"[90] See overarching principle No. 1.\"\n]"},"record":{"kind":"string","value":"A_66_270"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda [1]","Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","The right to adequate housing","Note by the Secretary-General","The Secretary-General has the honour to transmit to the General Assembly the report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non-discrimination in this context, Ms. Raquel Rolnik, submitted in accordance with paragraph 2 (h) of Human Rights Council resolution 15/8.","Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living","Summary","The present report focuses on the realization of the right to adequate housing in post-disaster settings. The present report evaluates human rights standards and norms that are relevant to a disaster response approach based on the right to adequate housing; and discusses some existing constraints. The report elaborates on the key challenges to the guarantee and realization of the right to adequate housing in disaster relief operations: lack of attention to or discrimination against vulnerable and vulnerable groups; excessive emphasis on individual property rights and the difficulties associated with the equal recognition and resolution of complex forms of land rights in property restitution and rehabilitation plans; the risk of post-disaster reconstruction being primarily a business or development plan that benefits minorities; and the limitations of existing reconstruction and rehabilitation frameworks. The report concludes with a brief overview of the basics of a disaster response approach, which integrates the right to adequate housing in a targeted and comprehensive manner.","Contents","Page","Introduction","Assessment of the legal and policy framework for responding to natural disasters 4","III. Discrimination and vulnerability: impacts of disasters and compounding factors in disaster response 6","A. Vulnerable groups most affected by disasters 7","B. Neglect and discrimination revealed by disasters 8","C. Recovery responses that neglect or discriminate against the most vulnerable 8","IV. Recognition and protection of all forms of land rights, from restitution to durable solutions, without discrimination","A. Comprehensive approach to housing and property restitution 11","B. Recognition of de facto land rights for durable solutions 13","Disasters become opportunities — for whom? 15","A. Outsourcing from coastal and urban redevelopment to reconstruction 14","B. Due diligence to guarantee the right to adequate housing 17","VI. Recovery and durable solutions: addressing all aspects of the right to adequate housing 17","A. Inadequate attention to housing and property 18","B. Addressing broader issues in relief and recovery efforts 19","C. Lack of linkages between the emergency phase and long-term recovery 20","Conclusions","VIII. Recommendations 21","A. General framework: disaster relief based on the right to adequate housing 21","Follow-up recommendations","Introduction","1. The present report focuses on the realization of the right to adequate housing in post-disaster settings. The present report should be read in conjunction with the report submitted to the Human Rights Council (A/HRC/16/42), in which the Special Rapporteur explores the problems common to post-conflict and post-disaster settings.","2. Despite the many similarities between post-conflict and post-disaster environments, post-disaster environments face certain challenges that require different responses. Taking into account the increasing prevalence of disasters worldwide, with unprecedented devastating consequences,[2] the Special Rapporteur has decided to focus on disasters in view of the fact that this trend is likely to continue with climate change, rapid urbanization and population growth and that there are relatively few experiences and guidelines that can address the right to adequate housing in post-disaster situations as compared to post-conflict settings. [3] The Special Rapporteur also took the opportunity to undertake a mission to Haiti (8-11 June 2011) to assess the reconstruction and relief efforts following the January 2010 earthquake, which greatly enriched her insights into the present report and highlighted the need for attention to the disaster. [4]","3. Post-disaster reconstruction and rehabilitation in the context of the right to adequate housing is of great importance. The Special Rapporteur is concerned that, with a few notable exceptions, disaster relief and recovery efforts have so far continued to take a narrow view of the content of the right to adequate housing, leading in some cases to violations of this right. The first part of this report assesses the relevant guidelines. Parts II to V elaborate on major challenges. The report concludes with a brief overview of the basics of a disaster response approach, which includes the right to adequate housing in a targeted and comprehensive manner, as well as recommendations for follow-up measures.","Assessment of the legal and policy framework for responding to natural disasters","Despite the existence of a number of standards and guidelines to ensure the right to adequate housing in post-disaster settings, their understanding and application are often incomplete. [5] As discussed below, there are other more specific constraints.","5. The International Covenant on Economic, Social and Cultural Rights (art. 11) recognizes very clearly the right to adequate housing. The Committee on Economic, Social and Cultural Rights has emphasized the importance of a broad interpretation of this right, identifying seven areas in which States must progressively realize the right to adequate housing: security of tenure; provision of services, goods, facilities and infrastructure; affordable; habitability; accessibility; location; and an appropriate cultural environment. [6] These seven dimensions, as well as safeguards to address evictions and resettlement arising from the right to adequate housing [7], are linked to disaster relief and are also an expression of the human rights principles of participation, non-discrimination and equality. [8]","6. However, the existing guiding principles for dealing with disaster situations do not give sufficient attention to the right to adequate housing. When referring to the right to adequate housing, this right is limited to the need to provide shelter, housing or protection. [9] Few efforts have been made to address the right to adequate housing in a more comprehensive manner, at the level of guidance from various organizations and in the form of authoritative policies of universal application. [10] The United Nations human rights mechanisms — with some notable exceptions — have likewise failed to address the particular problems of disaster situations and their impact on the enjoyment of the right to adequate housing or other human rights, and remain general mechanisms. [11]","Most of the measures that address disasters from a human rights perspective focus on specific groups, in particular internally displaced persons and refugees. The Guiding Principles on Internal Displacement are important in this regard and are recognized as an important international framework for the protection of internally displaced persons in post-conflict and post-disaster settings. [12] Although initially focused on the protection of internally displaced persons in conflict and post-conflict situations, policy and operational guidelines for responding to natural disasters have been developed in recent years, and their application has been extended to all those affected by disasters, including but not limited to internally displaced persons. In this regard, the Inter-Agency Standing Committee Guidelines for Action on the Protection of Persons in the Event of Natural Disasters (IASC Guidelines) are an important document. [13] These guidelines and the above-mentioned guiding principles recognize the right of persons displaced as a result of conflict or disaster to a durable solution, that is, to return to their homes or places of habitual residence (and, as a key condition for sustainable return, to housing or land, relocation or local integration). [14]","8. The 2005 Principles on Housing and Property Restitution for Refugees and Displaced Persons [F] 15] (The Pinheiro Principles) further recognize that refugees and displaced persons have a separate “right to rehabilitation” (covering housing, land and/or other property). [16] An important question is whether the Pinheiro Principles apply in post-disaster situations. The intention seemed to be that the Pinheiro Principles should be applied, while the central idea underlying principle 1.2 was that displaced persons were in a similar situation, regardless of the cause, and that they had the right to return to their place of residence and, therefore, to rehabilitation. It was thus interpreted as applying to all natural disaster situations. However, others pointed out that the Pinheiro Principles were explicitly limited to “a wanton or unlawful deprivation” of former homes, lands or places of residence of displaced persons. [18]","This does not mean that the Pinheiro Principles are not relevant to situations of natural disasters. First, the Pinheiro Principles are fully applicable when, after a disaster, there are actual instances of wanton or unlawful deprivation or destruction of housing or land, including what can be said to be the denial of the right of displaced persons to return to their homes (see section IV below), and when there is a State ' s unwarranted negligence in disaster prevention, mitigation or early warning systems. Second, the Pinheiro Principles identify existing norms relating to the right of displaced persons and refugees to return to their homes and provide guidance on how best to address technical and legal issues related to housing, land and property restitution, which have been reflected to varying degrees in subsequent policies and practices.","10. Thus, a disaster response approach that takes full account of the right to adequate housing will integrate the above-mentioned norms and principles, and the various elements of the right to adequate housing are at the heart of such an approach. The last section of the report recommends that the guidelines be integrated into a single conceptual framework for action.","III. Discrimination and vulnerability: impacts of disasters and compounding factors in disaster response","11. Vulnerability is widely recognized as an important factor in disaster risk reduction and management. [20] The most vulnerable groups, such as the poor or insecure, are more likely to live in disaster-prone areas; in the event of disasters, they are also at greater risk of displacement and loss of livelihood; and they will face greater difficulties in recovering from the effects of disasters.","12. In many cases, direct or indirect discrimination increases vulnerability, thereby affecting the ability of individuals and groups to be protected from and recover from the effects of disasters. The relationship between discrimination and disasters and disaster relief may not be obvious. Indeed, the term “natural disaster” could be regarded as excluding responsibility, which in turn meant that there could be no discrimination. However, it is certain that the impact of the damage caused by natural hazards is largely man-made (see A/60/227). Disaster preparedness, mitigation and response are all subject to or dependent on the actions or omissions of the State and may therefore be discriminatory.","13. The principles of equality and non-discrimination are firm principles of international human rights law. Attention to non-discrimination and equality requires that Governments and aid organizations pay special attention to vulnerability and inequality before disasters occur; in the aftermath of disasters, Governments and aid organizations should address inequalities and protect the most vulnerable. United Nations treaty bodies have pointed out that even in times of severe resource constraints — as often happens after disasters — States still have specific obligations to protect vulnerable members of society. States should also take special measures to ensure the full and equal enjoyment of human rights by vulnerable groups. [22] In post-disaster situations, such measures may translate into special assistance to support the return of the most vulnerable groups or to find land/housing for landless or homeless families.","A. Vulnerable groups most affected by disasters","14. In 2005, Hurricane Katrina struck New Orleans, with African-Americans and the poor (the distinction between the two categories being largely blurred [23]) bearing the brunt because most of them usually live in a low-lying, flood-prone area of the city. In addition, large numbers of urban dwellers, who are generally poor, lack the means to escape the floods. The specific effects and costs of Hurricane Katrina are therefore inextricably linked to pre-existing social, economic and land-use patterns and are directly related to housing and urban planning policies.","15. In Honduras, following Hurricane Mitch in 1998, the groups severely affected by the storm included poor women, farmers and indigenous groups, many of whom lived in vulnerable areas where land rights were insecure and vulnerable to strong winds, floods and landslides (see A/HRC/16/42, para. 32). In Colombia, flooding from 2010 to 2011 is said to have severely affected persons displaced by the conflict, in particular indigenous and Afro-Colombian peoples. They often live in remote areas vulnerable to violence by armed groups. [25]","16. After the 2010 floods in Pakistan, poor and vulnerable groups bore the brunt of the disaster owing to the lack of assets or welfare security. Those displaced by the floods and deprived of their property and livelihoods are mostly landless tenants and labourers living in irregular/semi-permanent housing. [26]","B. Neglect and discrimination revealed by disasters","17. The earthquake in Haiti has exacerbated and exposed a problem that has so far been relatively unknown, namely the poor condition of informal housing, where most people live in Port-au-Prince. These houses, like many others elsewhere, were built spontaneously and never officially recognized by the authorities. These houses lack or have little or no basic infrastructure and services. As a result of the earthquake, many residents moved into tents, either because their homes or communities had been destroyed or damaged, or in order to obtain food or medical assistance, to participate in the “cash-for-work” programme, to save rent (for tenants) or to expect to receive housing.","18. Twelve months after the earthquake, 634,000 people still lived in over 1,000 tents. Observers pointed out that the decline in the number of people living in tents compared to 2010 was slower, indicating that people were unable to move to other places or that people had decided that life in tents, however dangerous it was, was still better than where they were born. [28] The earthquake in Haiti has thus highlighted deeply rooted patterns of discrimination and neglect. Disasters elsewhere have had similar effects. [29]","C. Recovery responses that neglect or discriminate against the most vulnerable","19. Rehabilitation efforts may perpetuate or even exacerbate pre-existing forms of vulnerability and vulnerability by neglecting or directly discriminating against certain groups. This is often the case for women. After the Indian Ocean tsunami of 2004, there were reports that the international community's response has in many cases consolidated “the position of those who are richer and/or better represented ... Those with few assets, especially women, have been marginalized.” [30] Relief efforts and policies, for example, result in women ' s lack of access to livelihood assistance, sometimes directly undermining women ' s prior rights, such as their right to access to housing or land within matrilineal communities. [31] Women's land rights happen to be insecure — a situation in which they often find themselves, because their access to housing and land often depends on their relationship with men or because they are particularly vulnerable because of the greater difficulties they face as sole heads of household. [32]","20. Depending on whether relief efforts address the situation of individual duly registered property owners or all those with other types of land rights arrangements, there appears to be a significant difference in response efforts. It has been pointed out that in most housing reconstruction programmes, land rights instruments and legal rights are prerequisites for programme beneficiaries, with the result that the poorest and most vulnerable groups, including those living in informal housing, are excluded from temporary or informal land rights. [33] In some countries, displaced tenants and squatters often find themselves without access to a permanent housing scheme designed to replace the owner ' s assets. [34]","21. Similar limitations were identified in post-disaster needs assessments. While land and land tenure conditions can be discussed and recognized as being of principled importance, they are not always implemented in specific policies, strategies and the actual priorities of the various sectors. For example, in a post-disaster needs assessment conducted by international financial institutions and the Government of Pakistan in the aftermath of the floods, the proposed housing and reconstruction strategy does not address land ownership or land rights, but focuses only on the technology and cost of housing reconstruction. In addition, land-related policies, such as agricultural policies, that are prioritized in other sectors, are said to benefit landowners. [35]","22. Multiple factors of vulnerability and discrimination often interact and affect each other. In the aftermath of Hurricane Katrina, it was generally found that United States federal and state government relief measures did not support low-income tenants (mainly African-Americans) and did not address the barriers that prevented them from accessing affordable housing. [36] Despite a federal voucher scheme, in practice it is difficult for families with rental vouchers to find rental housing. This is due to the shortage of public and rental housing (not only as a result of the damage caused by the wind, but also as a result of subsequent decisions to reduce public housing on a large scale), rent increases, and discrimination by landowners. 37], the slow construction of rental housing and the decision of the states along the Gulf of Mexico to allocate most of the federal funds for the repair of the owner ' s house instead of the rental house. [38] Because of the very limited options available for rental housing, a considerable number of families are in fact prohibited from returning to their cities and former homes;[39] This has led to an increase in the number of homeless persons. [40]","23. The examples cited above illustrate how discrimination and vulnerability have become a key factor related to disaster impact and response measures. Discrimination based on the status of land rights highlights a broader problem where Governments, international organizations and domestic organizations are unwilling or unable to fully recognize and protect land rights without discrimination.","IV. Recognition and protection of all forms of land rights, from restitution to durable solutions, without discrimination","24. The Special Rapporteur notes the centrality of security of tenure in the right to adequate housing. Security of tenure does not amount to private ownership, nor is it limited to the granting of formal legal title. In addition to private ownership, there are a variety of legal land rights arrangements, such as public or private rental housing, cooperative housing, lease, occupation/lease of land or informal property, as well as other usufruct or tenure rights through customary or traditional arrangements - These land rights are subject to different degrees of formalities. [43] There is reason to believe that only a small number of victims of natural disasters may in fact enjoy duly registered individual ownership of their homes or land.","25. Nevertheless, the Special Rapporteur is concerned that post-disaster policies and practices favour individual private ownership, as evidenced in section III above. Part IV will focus on policies and practices related to restitution — and more generally to durable solutions — to illustrate the actual tensions between individual property ownership and other forms of land rights.","A. Comprehensive approach to housing and property restitution","The right to “housing and property” restitution is most specifically addressed in the Pinheiro Principles. When the Pinheiro Principles were adopted, there was a clear need for guidance on the procedures and mechanisms necessary for property restitution, and the Pinheiro Principles responded to that need. Now, since return and restitution programmes are already applied to more diverse contexts and situations, it is time to carefully consider and reinterpret the Pinheiro Principles in the light of this practice.","27. In the context of the specific development of the Pinheiro Principles, as well as the mechanisms for determining claims to property or land set out in the Pinheiro Principles, land rights in all their forms are not sufficiently well recognized, and others have criticized the Pinheiro Principles for disproportionate attention to individual property ownership and formal and registered claims. In a separate article (principle 16), the Pinheiro Principles refer to “the rights of landholders and other non-owners” and may be considered to call into question whether these rights are on an equal footing with individual property ownership rights. Similarly, the requirement in the same principle that property restitution mechanisms “to the maximum extent” recognize the right to housing and land in addition to formal ownership requires clarification of the nature of the right, although this principle can be understood as a practical recommendation rather than a limitation on the legal rights of non-owners. [45]","28. The Principles must be understood in the specific context in which they were developed. Although the sources of information for the development of the Pinheiro Principles are diverse, what formed the Pinheiro Principles is the practical experience of the formal restitution mechanisms then in force, particularly in Bosnia and Herzegovina - The background is mainly the duly registered private property and the “socially owned” apartments referred to in Yugoslav law. The restitution mechanisms in Bosnia and Herzegovina, like those elsewhere, have been criticized for little care for those without property or with recognized formal property rights, and for not being able to deal with complex informal land rights systems under a variety of customary, State or religious laws. [47]","29. The Special Rapporteur recommends that housing and property restitution must be understood as the restitution of any land rights relating to housing or land prior to the disaster, regardless of the status of the land rights or whether the housing or land is officially registered. Examples of this approach can be found in the South African Land Rights Restitution Act and in recent work guidance on durable solutions. [48] In the absence of a first in-depth discussion and elaboration of the provisions of the Pinheiro Principles, the Pinheiro Principles should be systematically understood as encompassing a wide variety of situations and land rights. Some elements of the Pinheiro Principles indicate that the concept of restitution is appropriately broad, such as the systematic use of the expression “housing, land and property” rather than merely “property”. [49]","30. The Pinheiro Principles hold this more comprehensive view of restitution on the basis of the State ' s obligations in relation to the right to adequate housing to respect and ensure security of tenure for the entire population, regardless of the form the right may take. This approach recognizes that those who do not belong to the individual owners of officially registered property are also entitled persons. While post-disaster and post-conflict needs may vary depending on the context, the types of human rights responsibilities are the same. Property restitution systems should be seen and implemented on this basis.","31. The relevance of this comprehensive view of the restitution system as an integral part of the right to relief should be further examined in order to provide a clear and strong guide to situations. For the purposes of the present report, however, it should be borne in mind that the Pinheiro Principles provide a qualified assessment of the disaster situation (see part II above), and that property restitution systems are often a condition for return and other durable solutions rather than a legal remedy. Understanding that all forms of land rights have equal legal status relates not only to restitution systems but even to efforts to ensure durable solutions and recovery. In such cases, if people are unable or unwilling to return, States and international organizations must assess the land rights of all affected persons, whether in their former place of residence or elsewhere, and take measures to guarantee and ensure security of tenure in post-disaster situations. Furthermore, the principle of non-discrimination and equality requires States and international organizations to give priority to assisting those who are most insecure and to strengthening security of tenure for those whose land rights are weak, unclear or vulnerable, an obligation that is often overlooked in relief and rehabilitation efforts.","Recognition of de facto land rights for durable solutions","32. International agencies are reluctant to invest in areas of return or resettlement where land tenure is unclear and where the legal and customary arrangements underlying claims for housing or land are complex and sometimes contradictory. In this regard, reconstruction activities in urban areas may be particularly difficult, as land ownership and tenure issues in these areas are often complex.","33. This mentality is evident in many organizations working in Haiti. One assessment made it clear that:","Land markets are in a state of disarray and are largely inaccessible. Land ownership records are missing or unclear. The lack of a clear title to the land or the absence of a written consent from the verified owner makes it difficult to provide new housing to the potential beneficiary or to support his reoccupancy of the previous house. [52]","Clearly, this has become one of the reasons for the delay in the reconstruction and return of Haiti. Similarly, in the aftermath of the Indian Ocean tsunami, a number of contradictory land-use policies and restrictions were enacted at all levels of government, resulting in disputes that allegedly created obstacles to international recovery efforts and severely undermined efforts to achieve disaster risk management. [53]","Against this background, it is important to distinguish between two tasks: in the long run, legal reforms and other mechanisms, such as the designation of land title, formal registration and consolidation of ownership or property tenure, may be required, which will clearly address the ambiguities or uncertainties that many perceive. In the short term, however, these measures may not be the most appropriate way to meet reconstruction and rehabilitation needs without exacerbating inequalities. The experience has also shown that trying to resolve all ownership/property tenure and land reform issues in the immediate aftermath of a disaster or conflict will face daunting challenges. The Government of Pakistan stated that “a full understanding of the social, political, technical and legal complexities of land tenure issues, as well as the fact that these are not limited to the affected areas, is essential”. [55] In the short term, it remains necessary and appropriate to assess, through a rapid approach, pre-disaster tenure rights in order to achieve more effective reconstruction and rehabilitation, ensure a minimum level of security of tenure for all and address some of the most important inequalities and insecurity.","35. The most appropriate way to determine housing or land claims for reconstruction and return depends on a particular environment, such as tenure or property arrangements, formalities and registration, and resources. As has been discussed, formal administrative or judicial property restitution mechanisms may not be applicable or appropriate in a number of cases, in particular those characterized by a variety of property tenure arrangements. The International Conference on the Great Lakes Region ' s Protocol on the Property Rights of Returnees provides a more comprehensive approach in this regard than the Pinheiro Principles, which requires both administrative and traditional authorities to resolve property disputes, thereby recognizing the importance of traditional and customary land systems. The Protocol also envisages alternative and informal mechanisms for the resolution of disputes in the community, requiring proof of ownership based on witness testimony. In practice, organizations supporting the return of refugees or displaced persons often resort to customary law and traditional conflict resolution mechanisms to resolve land disputes. However, care must be taken not to exclude or disadvantage women or other persons who are particularly vulnerable to discrimination in the settlement of such disputes.","What goes further is the “community” or “participatory” measurement approach. Such participatory processes have been used in different countries for different purposes, such as identifying and strengthening property tenure rights in informal housing or for land adjudication. [60] In the absence of land records, in the event of the destruction of land records following a disaster or in the context of multiple property tenure arrangements, community inventories can provide promising and flexible alternatives to determine pre-disaster or pre-conflict occupation and tenure, thus ensuring a degree of certainty and security of tenure and providing information for durable solutions. Community mapping projects were implemented in the aftermath of the Indian Ocean tsunami,[61] and have begun to be implemented in Haiti. Lessons should be drawn from experience in identifying key elements and prerequisites for successful community mapping processes (as applied in post-disaster situations), including the relationship between such processes and more formal or government-led identification or land management processes, and the need to use conflict resolution mechanisms to complement them. [62]","37. While mechanisms for assessing, respecting and strengthening security of tenure vary from one context to another, in all cases they must be guided by human rights principles, such as the participation of affected communities and gender equality.","Disasters become opportunities — for whom?","Disasters are generally considered to have created “whiteboards”, which offer significant opportunities for large-scale reform and arduous redevelopment. Disasters present not only opportunities but also significant risks to the protection and promotion of human rights. The Special Rapporteur is concerned that, in some cases, major redevelopment activities, while benefiting some people, neglect the most vulnerable groups by acting or failing to do so, in fact violating key elements of the right to adequate housing.","A. Outsourcing from coastal zone and urban redevelopment to reconstruction","39. The 2004 Indian Ocean tsunami was seen by many as a major opportunity for redevelopment, sometimes in the name of public safety and disaster risk reduction. Following the tsunami, a number of tsunami-affected countries did establish coastal zones (buffer zones) that prohibited the reconstruction of houses; they were approximately 100 to 500 metres wide and, in some cases, would require the relocation of over 100,000 houses if the provisions of the buffer zone were fully implemented. [63] While the buffer zone is said to be intended to protect the population from future disasters, it has also had a significant impact on the livelihood of the population, particularly those living on the sea.","At the same time, ambitious “redevelopment” programmes and luxurious tourism have emerged, including in the coastal zone, where populations are closed for security reasons. A tourism commission had declared that the tsunami had given the country the opportunity to become a world-class tourist destination. It is reported that, despite the prohibition on displaced persons from returning to their homes, hotels are not subject to this prohibition. In some places, land developers have taken the opportunity to seize land, especially from vulnerable communities. Luxury hotels rise up in many coastal areas. Communities and civil society organizations complained that the buffer zone had been set up to arbitrarily expel poor coastal residents and indigenous communities and to benefit businesses and new tourist facilities. [65]","41. The destruction of many public housing in New Orleans following Hurricane Katrina is seen as an opportunity to fundamentally change the city ' s housing and urban identity. In particular, the four largest public housing districts in the city of New Orleans (“the four regions”), mainly inhabited by people of African descent, have been demolished in order to redevelop the communities where the various income earners live, as planned, and for other purposes. While in some cases there may be no viable alternative to the destruction of public housing, the main reason for the demolition of public housing is that it is necessary for urban rehabilitation and essential for health and safety. The problem is that the planned development areas include only a small number of public housing compared to the total number of public housing available before Hurricane Katrina. The demolition of public housing constitutes another obstacle preventing low-income residents from returning to New Orleans (see section III above). [68]","Concerns have also been expressed about the so-called “reconstruction industry” — the outsourcing of the planning, financing and implementation of reconstruction activities to private companies. In some cases, outsourcing reconstruction without sound safeguards inevitably has a negative impact on the adequacy and affordability of reconstruction efforts and the ability of people to participate in and benefit from reconstruction activities. In Chile, following the earthquake and the subsequent tsunami in February 2010, the private sector is said to have played a major role in the reconstruction of urban centres and coastal zones. In accordance with one of the main principles of the National Reconstruction Plan, families have the option of deciding whether to rebuild their house at the site of the collapse or to acquire a previous or newly constructed house. However, since housing reconstruction activities are funded mainly by subsidies linked to personal property, private builders prefer to re-build in new areas on the outskirts of towns rather than in the centres from which many have been forced to leave, where land and housing are much higher. [69] Real estate companies are said to take advantage of the vulnerability of these families to force them to sell land and houses at very low prices — for private redevelopment. [70] This suggests that if reconstruction activities are simply handed over to the market, new housing for the poorest would most likely be located on the outskirts of the city.","Similar anomalies have been observed in the construction market. In one case, it was reported that a small number of companies in some cities had been granted the power to monopolize construction materials, to the detriment of local small enterprises, and in another case, the reconstruction process had led to higher prices for suppliers and construction companies, impeding individual reconstruction efforts. Similarly, humanitarian agencies have outsourced the construction of transitional housing to international contractors, which may divert potential funding to support displaced persons, who can be supported in building their own housing. The outcome of the latter is also not culturally appropriate. [72]","B. Due diligence to guarantee the right to adequate housing","44. In the examples discussed above, post-disaster reconstruction activities have a negative impact on the poorest. In the worst cases, disasters provided a clean record and justification for powerful people to destroy homes or seize land, which would not have happened before the disaster had occurred, as legal procedures had to be followed and affected families had to be consulted and provided with relief. At best, the State does not adequately monitor the operation and management of the post-disaster housing and reconstruction market, nor does it take measures to ensure that people have affordable housing and are not forced to leave their place of birth. While there is nothing to prevent the State from requiring private enterprise to support reconstruction activities — and the private sector can indeed make a crucial contribution to recovery efforts — Governments must be mindful of their responsibility to monitor the private sector's fulfilment of its commitments to ensure that reconstruction activities do not benefit a few privileged people at the expense of others.","These examples can be considered “presumption of forced expulsion”. In such cases, international norms relating to forced evictions or arbitrary displacement may apply. When forced evictions are established, victims should have the right to redress, including a fair hearing, access to legal counsel and compensation, such as restitution of housing or land, adequate compensation or alternative housing/land, at their choice. [74]","Where public security concerns are legitimate and necessary, decisions on land use or housing legislation continue to be subject to human rights norms, in particular strict procedural requirements relating to the right to eviction, access to remedies and remedies and to judicial review, as well as the economic, social and cultural rights of affected communities. Expulsion should not result in individuals being rendered homeless. In cases where the affected persons are unable to feed themselves, States must take measures to ensure that they have access to alternative housing, resettlement or fertile land. [75]","47. Restrictive measures must also conform to the principle of proportionality. [76] This requires a balance between the rights of persons affected by disasters and the interests of States in reducing damage and ensuring public safety. In the case of tsunami prevention, it is necessary to prove that the regulations preventing the return of the population to the coastal areas are the least restrictive means of achieving public security objectives. The State must prove that other security measures, such as warning systems or embankments, cannot be implemented or are ineffective. [78]","48. Finally, experience with land-use restrictions has led to the consideration of a number of factors, including the need for substantial investment in infrastructure and services for the relocation of residents and the potential for serious disruption of livelihoods and community life. The pattern of settlement and housing construction is not arbitrary, but rather reflects specific economic and social structures that are difficult to replicate elsewhere. Thus, both human rights norms and an assessment of the socio-economic costs of displacement require a more restrictive approach to the imposition of restrictions on land/housing construction use.","VI. RESTRUCTION AND DURBAN SOLUTIONS: REFERENCE TO ALL ASPECTS OF THE RIGHT TO ADEQUARTABLE ADEQUARTMENT","In addition to the more explicit protection issues discussed above, reconstruction needs to be addressed from a broader perspective of adequate housing — including housing as a social asset — towards the progressive realization of the right to adequate housing. In this light, ensuring recovery and durable solutions means rebuilding communities and residential areas to ensure an adequate standard of living, of which the construction of housing is only part, sometimes not the most important or urgent. [80] Disasters do not occur in a vacuum: the broader housing context in which disasters occur must be assessed and addressed.","A. Inadequate attention to housing and property","Post-disaster situations may be characterized not only by large-scale damage to homes, but also by large-scale displacement of populations, disruption of social networks and relationships, destruction of basic services or lack of access to them, and loss of livelihoods, jobs, assets or land — All of this is a key factor affecting the enjoyment of the right to adequate housing. As a result, reconstruction efforts and efforts to ensure durable solutions tend to focus too much on the most tangible aspects of housing (physical construction). It is easy for international organizations and national/regional governments to see the reconstruction of housing rather than livelihoods or community infrastructure as a top priority for those affected. When housing is assessed, it is treated as a technical or economic business rather than as a human right, and attention is paid to building and building standards and materials, as well as to the quality of emergency and transitional housing. In some cases, concerns about property restitution also undermine the re-establishment and improvement of broader social, political or economic conditions — jobs, basic services and infrastructure, security and safety — that support sustainable returns. One commentator noted that “the `house', rather than the actual well-being of displaced persons, has become a measure of the success of the return process”. [82]","The well-known slogan “Rebuilding a better home” seems — and certainly should — to be determined to address the broader living conditions of affected communities. The Special Envoy of the Secretary-General for the Indian Ocean Tsunami stated: “Financial resources, international attention and the will to undertake political and policy reforms, which are often characteristic of the post-crisis period, should enable us to rebuild better and to move away from inequitable development models in a lasting manner”. A similar call was made to view the floods in Pakistan as “a reconstruction of a better life and an intensification of the dignity of millions of people living on the margins of society”. However, the implementation of this exciting idea often has the most technical meaning, such as the construction of flood and earthquake-resistant houses. [85]","By contrast, a number of reconstruction projects around the world have attempted to view the reconstruction process as “an opportunity to promote the local development process” rather than being limited to restoring pre-disaster conditions — where community participation plays a key role. [86]","B. Addressing broader issues in relief and recovery efforts","53. As mentioned above, the earthquake in Haiti highlighted the largely inadequate housing conditions, the precarious nature of informal housing and the lack of security of tenure. The international community is concerned with displaced persons living in tents and provides them with the same conditions The conditions enjoyed by many Haitians were even better, thus inadvertently making the tents attractive. There is little reason for poor families to leave their tents — where housing and services are provided free of charge — because of the lack of a system to rebuild services to returning communities. A narrow focus on the plight of internally displaced persons and on temporary solutions, while understandable from an emergency perspective, in a difficult socio-economic and property tenure context, constitutes an obstacle to long-term recovery and, in some cases, leads to further development problems. [87] As urbanization increases, many urbanization activities are expected to occur, and such situations must become more frequent (see A/64/255, paras. 13-21).","54. The case of Haiti can also serve as an example of the challenges facing the theoretical foundations of the reconstruction and property restitution system: the question is whether the ultimate goal of reconstruction should be to provide quality housing for those who have lost their homes in disasters, in a context characterized by widespread poverty and severe living and housing conditions. The Special Rapporteur considers that interventions must aim at the progressive realization of the right to adequate housing for all. In Haiti, reconstruction and rehabilitation have little to do with the construction of new homes for those directly affected by disasters and, more importantly, with the improvement of the overall living and housing conditions of settlements affected by disasters, which are unplanned and unmaintained. The approach should therefore focus on settlements and communities, rather than individual houses, and focus on creating places where people can enjoy an adequate standard of living.","55. Post-disaster land-use planning can serve as a powerful tool both to inform reconstruction efforts and to provide a legal basis for immediate response action in the aftermath of a disaster. Post-disaster regional planning can facilitate return and reconstruction by recognizing de facto settlements and providing a basis for infrastructure investment and upgrading of hitherto unmaintained and unplanned settlements.","56. From a human rights perspective, the obligation of non-discrimination and concern for the most vulnerable should be borne in mind, and it is therefore not only legitimate but also necessary to invest in the rehabilitation of settlements with very poor living conditions as part of the relief effort. Moreover, for reasons of principle and pragmatism, this situation also needs to be addressed in some cases in the long run: in the case of Haiti, this means focusing on the improvement of the situation of settlements that, while not affected by disasters, have the same urbanization and vulnerability characteristics as affected settlements, as long as they are not in vulnerable areas.","C. Lack of linkages between the emergency phase and long-term recovery","57. The above examples also illustrate the current lack of linkages between the emergency phase and long-term recovery, and in many cases the difficulties faced by the international community in managing the transition from one phase to another. [88]","Using individual beneficiaries and “achievable goals” — food, housing, health supplies — as their own purposes of concern may depart from the basic responsibility and long-term consideration to respect, protect and fulfil rights (e.g. the right to housing, the right to water, the right to health). In Haiti, there are reports that direct needs have been the subject of a response by the international community and, as a result, special commitments to support permanent housing needs have become irrelevant. [89] In its report, the Inter-Agency Standing Committee ' s Hach Housing Group identified risks such as the normality of tented areas, with emergency measures consuming scarce resources at the expense of more permanent programmes.","59. Similarly, the large-scale construction of transitional housing may not always be necessary or appropriate and may in some cases create obstacles to durable solutions, for example, in crowded urban areas where the lack of space may prevent people from building permanent housing over time. Over time, with declining attention and assistance, the construction of transitional housing may inadvertently divert resources from the reconstruction of permanent housing and residential areas. [90] It is therefore regrettable that, many years after the end of the disaster, people continue to live in transitional housing, a phenomenon that is not uncommon (see A/HRC/13/20/Add.4, para. 31). States and international organizations should not assume ipso facto the need for transitional housing without considering the possibility of supporting alternative solutions.","60. Many have called for an integrated approach to ensure that assistance can be sustained between relief and recovery phases. In his last report to the Human Rights Council (A/HRC/16/42), the Special Rapporteur discussed certain funding issues related to this issue. The Special Rapporteur would like to encourage donors to support durable solutions and recovery efforts as early as possible and to help ensure that assistance is sustained, including through the provision of financial assistance that is readily available.","Conclusion","A disaster response approach that fully integrates the right to adequate housing in a targeted manner","61. The inclusion of the right to adequate housing in disaster response has broad implications. In practice, however, the understanding and application of the right to adequate housing in disaster relief is limited to certain aspects of that right, most notably those linked to physical construction and individual property ownership. In some cases, reconstruction and rehabilitation efforts have had a detrimental impact on the enjoyment of the right to adequate housing by affected persons and those affected by disasters, either through negligence or by deliberate action.","62. In the Special Rapporteur ' s view, a holistic effort in reconstruction efforts to realize the right to adequate housing is not only an obligation but also an opportunity. While relief efforts do not and should not replace development activities, they can be used to redress inequalities that either exacerbate the impact of natural disasters or are exposed to them, and to promote efforts towards the progressive realization of the right to adequate housing for all, particularly through improved security of tenure.","63. The following recommendations outline the basic elements of a disaster response approach that is fully grounded in the right to adequate housing. These recommendations are intended to complement existing guidance when it comes to ensuring that the right to adequate housing is guaranteed and realized. Unless otherwise indicated, these recommendations are addressed to both Governments and international donors and organizations. Finally, the present report makes recommendations for follow-up, bearing in mind that such a framework simply outlines general principles that need to be further refined and implemented.","Recommendations","64. The Special Rapporteur makes the following recommendations:","A. General framework: disaster response based on the right to adequate housing","First principles","1. Right to adequate housing","The right to adequate housing should be respected and protected at all stages of disaster response. The right to adequate housing should be understood as a right to live in safety and security, in an environment that is considered adequate on the basis of: security of tenure; availability of services, goods, facilities and infrastructure; affordability; habitability; accessibility; location; and an appropriate cultural environment.","2. Security of tenure","Recognition of the diversity of forms of property tenure, without discrimination, ensures that everyone ' s land rights are secure in the aftermath of a disaster.","Participation","4. Non-discrimination and vulnerability","Principles for action","Equal rights to asylum and housing","2. Do not prejudice rights","(a) Respect for and protection of the right to adequate housing, including security of tenure, without prejudice to such rights:","Land tenure of “informal owners”","Land tenure rights of “informal owners”, i.e. those who do not have the ownership of duly registered personal property, should be respected:","Background of the relief and recovery programme","Relief and rehabilitation programmes should be implemented in the overall housing environment (one region/city/country):","Social reconstruction","Communities and settlements should be rebuilt or resettled, not just premises:","6. Compliance with international standards","Resettlement and local integration conditions must be consistent with international human rights standards and norms relating to adequate housing, evictions and displacement if return is not possible because of the loss of land or the existence of objective security grounds preventing return or if the affected individuals or groups do not wish to return.","7. Legislation for disaster risk reduction","States must adopt disaster risk reduction laws that respect the right to adequate housing. Particular attention must be given to those who may suffer discrimination and exclusion, including as a result of land rights status, and measures should be put in place to protect them.","Follow-up recommendations","1. United Nations agencies and mechanisms, the Inter-Agency Standing Committee or its organizational members or cooperating agencies should consider further studies on the effective integration of the right to adequate housing in disaster relief measures as a starting point for the framework proposed by the Special Rapporteur.","Further work should be undertaken on:","3. When reviewing national reports and undertaking country visits, United Nations human rights mechanisms should assess and make recommendations on the enjoyment of specific human rights in natural disaster settings and the extent to which disaster prevention, response and recovery contribute to the enjoyment of human rights.","[1] ^ (*) A/66/150.","[2] International Disaster Database, http://www.emdat.be.","[3] The present report will continue to draw on post-conflict situations where there are no documented cases of post-disaster settings, and where some of the examples of post-conflict settings are relevant and appropriate to post-disaster settings.","[4] The Special Rapporteur wishes to reiterate his appreciation to the United Nations Stabilization Mission in Haiti, the Office of the High Commissioner for Human Rights and UN-Habitat, which facilitated her mission.","[5] Human rights challenges in conflict and post-conflict settings receive more attention and guidelines are further elaborated than in post-disaster situations. In addition to the guidelines discussed in the present report, post-conflict responses are guided by international humanitarian law, refugee law and norms relating to relief and reparation.","[6] See Committee on Economic, Social and Cultural Rights, general comment No. 4: The right to adequate housing.","[7] See Committee on Economic, Social and Cultural Rights, general comment No. 7: Forced evictions; see also the Basic Principles and Guidelines on Development-based Evictions and Evictions (A/HRC/4/18, annex 1).","[8] Participation was discussed in the last report to the Human Rights Council. Part III of this report deals with non-discrimination.","[9] For example, in the Inter-Agency Standing Committee Guidelines for Action on the Protection of Persons in the Event of Natural Disasters, section C.2.1 refers to the right to adequate housing, but it is not mentioned in other potentially relevant articles.","[10] See Erica Harper, International Law and Norms Applicable to Natural Disasters (Rome, International Development Law Organization, 2009).","[11] The representative of the Secretary-General on the human rights of internally displaced persons made an exception. See comments made by United Nations treaty bodies and special procedures, World Human Rights Index, http://www.universalhumanrightsindex.org/en/index.html.","[12] The Legal Database of the Guiding Principles demonstrates their widespread recognition. See http://www.idpguidingprinciples.org/.","[13] Originally published in 2006 and revised in 2011.","[14] Guiding Principles on Internal Displacement, Principle 28; IASC Guidelines, D.2.2, D.2.3.","[15] Subcommission on the Promotion and Protection of Human Rights, resolution 2005/21.","[16] Principle 2.2. See also the seemingly inconclusive debate as to whether there is an independent right to restitution under international law: Malcolm Langford and Khvlekani Moyo, “Rights, remedies or rhetoric? Land restitution in international law, No. 2 (2010). For the purposes of the present report, however, the Special Rapporteur is convinced that the right to restitution of property is an essential part of the right to relief and compensation, as well as the right of refugees and displaced persons to return to their places of birth and habitual residence.","[17] Harper, International Law, chap. 4 (see footnote 9 above).","[18] Principle 1. See, inter alia, Charles Gould, “The right to rebuild a home after a natural disaster”, Harvard Journal of Human Rights, vol. 22 (2009); Rebecca Barber, “Safeguarding housing rights after a natural disaster: norms of international human rights law”, Journal of International Refugee Law, vol. 20, No. 3 (2008).","[19] European Court of Human Rights, “Budayeva et al. v. Russia”, 29 September 2008; Supreme Court of Pakistan, “Hunning Commission Case”, 7 June 2011, available at http://www.supremecourt.gov.pk/web/page.asp?id=735 (visit date 24 July 2011).","[20] See General Assembly resolution 64/200.","[21] Committee on Economic, Social and Cultural Rights, general comment No. 3, The nature of States parties ' obligations, article 2 (1) of the Covenant. See also the concluding observations of the Committee on the Rights of the Child on disasters, such as CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4.","[22] International Convention on the Elimination of All Forms of Racial Discrimination, article 1(4); Convention on the Elimination of All Forms of Discrimination against Women, article 4.","[23] Eighty-four per cent of the poor in this city are African-Americans. Brookings Institution, New Orleans after the Wind: Lessons from the Past, Plans for the Future (2005), p. 6.","[24] Ibid., p. 13.","[25] Elizabeth Ferris and Daniel Petz, “A year of uncertainty: a review of natural disasters 2010” (London, Brookings Institution — London School of Political Economy, 2011), p. 19. The Special Rapporteur would welcome information from the Government of Colombia on actions taken in response to the La Niña effect, such as the establishment of the “Fondo de Adaptación” to identify and manage projects aimed at finding durable solutions, including mitigation and prevention strategies.","[26] Government of Pakistan, Asian Development Bank, World Bank, Pakistan Flood 2010: A Preliminary Assessment of Damage and Needs, p. 68; Oxfam, Land Rights and Indus Floods, 2010-2011: Rapid Assessment and Policy Review (Oxford, Oxfam Great Britain, 2011). The Special Rapporteur acknowledges the scale of the challenges faced by the Government of Pakistan and the efforts made by the Government to address the relief and rehabilitation efforts, in particular the granting of Vatanga to landowners and landless people on an equal basis, as a means of encouraging all refugees to return home.","[27] Prior to the earthquake, it was estimated that 80 per cent of the population of Port-au-Prince lived in informal housing, which represented only 20 per cent of the urban area.","[28] International Organization for Migration, Displacement Tracking Matrix, May 2011.","[29] See Oxfam, Land Rights and Indus floods, p. 3 (see footnote 25 above).","[30] John Telford and John Cosgrover, Joint Evaluation of the International Response to the Indian Ocean Tsunami — Synthesis Report (London, Tsunami Assessment Coalition, 2006), p. 104.","[31] Michael Lyons and Thco Shelderman et al. Building Better Homes: People-Centered Proportional Housing Reconstruction (London, Practical Action, 2010), (on Sri Lankan Communities); Action Aid, Tsunami Response: Human Rights Assessment (2006), pp. 43-47.","Prior to Hurricane Katrina, the majority of households receiving public housing and voucher subsidies were headed by women. They were particularly affected by the lack of affordable housing/public housing in the aftermath of the hurricane. See Ferris and Pelz (see footnote 24 above).","[33] See World Reconstruction Conference: Recovery and Risk Reduction from Natural Disasters: Proceedings of the Conference (Geneva, May 2011), p. 31.","[34] See the report of William J. Clinton, United Nations Special Envoy for Tsunami Recovery, Key Proposals for Better Homes (2006); Hakan Arslan and Cassidy Johnson, “Turkey: Can small actors overcome a lack of national will?” From Building Better Homes: Building People-Centered Housing, Lyons and Siderman and others (see footnote 30 above).","[35] Oxfam, Land Rights and Indus River Floods, pp. 24-25 (see footnote 25 above); Government of Pakistan et al., Pakistan Floods 2010, annex on housing, agriculture and the financial sector. (See footnote 25 above. See also the discussion of land rights/land assessments in part III of this report.","[36] Advisory Group on Forced Evictions, New Orleans Mandate Report, 26-31 July 2009 and A/HRC/13/20/Add.4, para. In 90 per cent of communities, where public housing is dominated, the inhabitants are African-Americans, 80 per cent of whom are tenants. See Ferris and Petz, “A year of uncertainty”, p. 74 (see footnote 24 above).","[37] The Special Rapporteur welcomes the information received by the Government of the United States of America on measures taken by the federal Government, including the Housing and Urban Development Agency, to combat discrimination in housing by private and public actors and, inter alia, measures taken by the federal Government to combat systemic discrimination caused by restrictive regional planning or rent regulations that discriminate against African Americans, such as those adopted by the diocese of Saint Bernard following Hurricane Katrina.","[38] United States Government Accountability Office, Post-Disaster Housing: The Federal Emergency Management Agency needs more detailed guidance and relief measures to ensure effective relief in the aftermath of the disaster, 2009, pp. 11-13; “Four years after Hurricane Katrina: the housing crisis is not over and low-income tenants are discriminated against”, Face to the South, 21 August 2009.","[39] Ferris and Petz, “A year of uncertainty”, p. 74 (see footnote 24 above).","[40] Advisory Group on Forced Evictions, Mandate Report, p. 5 (see footnote 35 above).","[41] In some cases, private ownership is not in fact the most appropriate way to secure land rights. See A/HRC/10/7.","[42] See the comments made by the delegation in support of this view on the report of the Special Rapporteur (A/HRC/16/42/2010), Human Rights Council, sixteenth session.","The Special Rapporteur notes in particular that the classification of “six land rights programmes” by humanitarian agencies amounts to an acknowledgement that other forms of land rights also need to be addressed. United Nations and Asylum Centre, Shelters after Disasters (2010), p. 107.","[44] Langford and Moyo, “Rights, remedies or rhetoric?” Pages 148 to 149 (see footnote 15 above).","[45] See also the recognition of the possession of traditional and indigenous communities as provided for in principle 15.3 (independent from principle 16).","[46] See http://www.ohr.int/plip; Norbert Wühler and Heike Niebergall, eds., Property Restitution and Compensation: Practice and Experience in Claims Programme (Geneva, International Organization for Migration, 2008).","[47] Rhodri Williams, “Post-conflict property restitution in Bosnia: weighing compensation and durable solutions after displacement”, presented at the International Seminar of the Turkish Foundation for Economic and Social Research on Internal Displacement in Turkey and Other Countries, Istanbul, December 2006; Conor Foley, Ingunn Sofie Aursnes, “Land, housing and property restitution in the aftermath of conflict: principles and practice”, Humanitarian Exchange Journal (2005), p. 2. Norwegian Refugee Council, Special Property Restitution Court for Afghanistan, 2005.","[48] Office of the President, No. 22 of 1994, Land Rights Restitution Act, Chapter I (1)xi; Inter-Agency Standing Committee, Framework for Durable Solutions for Internally Displaced Persons (Washington, D.C., Brookings Institution, 2010), p. 35.","[49] See also principles 8 and 15.2; E/CN.4/Sub.2/2005/17/Add.1, para. 62; Langford and Moyo, “Rights, remedies or rhetoric?” (See footnote 15 above.","[50] This includes situations where the right to land is based solely on use, or where restitution cannot be achieved in substance, such as the inability of landowners to return to their place of residence, or where the original place of residence has been lost or declared “uninhabitable” after a disaster.","It is important that the real estate tenure rights of a person do not depend on the actual repossession of the former regular place of residence.","[52] International Housing Union, Housing Sector Assessment in Haiti: A Year after the Earthquake (April 2011), p. 12.","[53] Telford and Cosgrove, Consolidated Report, p. 102 (see footnote 29 above); and Ian Christophers, Linking Relief, Recovery and Development in Tsunami Response: Synthesis of Initial Results (London, Tsunami Assessment Coalition, 2006), p. 71.","[54] With regard to Haiti, the comment was that “the strict substitution of assets for the provision of housing and the overzealous recognition of property rights ... are not appropriate to meet the housing needs of the majority of disaster victims who are tenants and squatters (rather than owners)”. A proposal for a rapid roll-out of land bookkeeping was considered inappropriate and risked “increased bias towards the most secure and powerful formal owners who could produce the documentation”. Kate Crawford et al., “Coordination with Haitian tenure challenges”, Humanitarian Exchange Journal, No. 48 (2010), p. 8.","[55] Comments received on an earlier draft. Similarly, the Government of Timor-Leste has chosen a long-term framework to address land issues. Comments by Timor-Leste on the report of the Special Rapporteur (A/HRC/16/42), 8 March 2011.","The formal special mechanisms are also resource- and time-consuming. See the 2010 annual report of the Kosovo Real Property Authority.","[57] International Conference on the Great Lakes Region, Protocol on the Property Rights of Returnees (Great Lakes Protocol), 2006, article 4.","[58] Great Lakes Protocol, article 4(3).","[59] See A/HRC/16/42, paras. 44-45 (on East Timor); and Foley and Aursnes, “Land, Housing and Property” (see footnote 46 above).","[60] UN-Habitat, Count me in: Land tenure security and urban land management surveys (Nairobi, 2010).","[61] Ibid., Aceh, Indonesia, pp. 79-83, and Harper, International Law, p. 209 (see footnote 9 above).","[62] See World Assembly on Reconstruction: Recovery and Risk Reduction, pp. 33-34 (see footnote 32 above).","[63] Oli Brown and Alec Crawford, “Resolving land ownership issues in the aftermath of natural disasters: an institutional survey”, 2006, p. 6; and Human Rights Watch, “Post disaster: reconstruction in India after the 2004 tsunami”, p. 41. Some of the most important restrictive measures were eventually abandoned.","[64] Tourism Concern, “Tsunami Reconstruction and Tourism: Another Disaster?”, 2005.","[65] ActionAid, “Tsunami response”, pp. 17-18 (see footnote 30 above); Malcolm Langford and Jean Plessis, “Dignity? Forced evictions and human rights law; and Brown and Crawford, “Resolving land ownership issues” (see footnote 62 above).","[66] Julia Cass and Peter Horiskey, “New Orleans is about to eliminate public housing”, Washington Post, 8 December 2006.","[67] Amnesty International, “A catastrophe against common sense: human rights on the Gulf coast”, 2010, p. 6; Advisory Group on Forced Evictions, Mission Report, pp. 28-32 (see footnote 35 above).","[68] A/HRC/13/20/Add.4, p. 30. The Special Rapporteur welcomes the information provided by the United States Government and is pleased to note that, as a result of various housing policies, more people now receive housing subsidies than before Hurricane Katrina.","[69] Report of the Habitat International Coalition, Habitat International, the Institute of Housing in Architecture and Urbanization and the Reconstruction Observatory, Sur Maule, Action to Build and the Observatory and Housing Network for the Special Rapporteur on the right to adequate housing, 2011 on the tsunami earthquake of 27 February 2010 and the reconstruction process in Chile.","[70] Ibid.","[71] Ibid.; see also A/HRC/13/20/Add.3, para. 25.","[72] See: This compares with the success of the “people-led” approach to reconstruction. World Assembly on Reconstruction: Recovery and risk reduction. Pages 25 to 27 (see footnote 32 above).","[73] Malcolm Langford, “Right to return and resettlement in the aftermath of the tsunami disaster”, Disaster Bulletin No. 2 (2) (July-September 2005). Some States use the term “presumption of expulsion” to describe certain acts or omissions of the lessor that render the leased property uninhabitable or inappropriate for the purpose of the lease.","[74] Committee on Economic, Social and Cultural Rights, general comment No. 7, General Assembly resolution 60/147, Cuhtled; Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law; and the Pinheiro Principles.","[75] General comment No. 7, para. IASC Guidelines, C.2.4, C.2.5.","[76] Human Rights Committee, general comment No. 27: Freedom of movement.","[77] Protection of internally displaced persons in natural disasters: working visit to Asia by the Representative of the Secretary-General on the human rights of internally displaced persons, Walter Kälin, 2005, p. 22.","[78] Langford, “Right to return and resettlement” (see footnote 72 above).","[79] World Bank, Risks in Nature, Risks in Development Activities: Evaluation of the World Bank ' s Natural Disaster Relief Operations by the Independent Assessment Panel (A/AC.254/5/Add.1). Washington, D.C., 2006; Dynamic Learning Network on Accountability and Performance in Humanitarian Action, “Responding to Earthquake Disasters, 2008: Lessons from Earthquake Relief and Recovery”.","[80] Inter-Agency Standing Committee, Framework for Durable Solutions (see footnote 47 above). Lessons can be drawn from good resettlement development practices, such as Michael Cernea and Christopher McDowell and others, Risks and Reconstruction: The Experience of Resettlement and Refugees. Washington, D.C., World Bank, 2000.","[81] See, for example, on housing construction in Indonesia, Lyons and Shilderman et al., Building Better Homes, p. 157 (see footnote 30 above).","[82] Megar Ballard, “Post-conflict property restitution: flawed legal and theoretical foundations”, Berkeley Journal of International Law, No. 462 (2010), (on Bosnia and Herzegovina).","[83] United Nations Special Envoy for Tsunami Recovery, “Major position on rebuilding a better home” (see footnote 33 above).","[84] Government of Pakistan, Asian Development Bank and World Bank, Floods in Pakistan, p. 7 (see footnote 25 above).","[85] Ibid., pp. 22 and 94.","[86] See, for example, projects in Peru: Lyons and Shilderman, etc., Rebuilding Better Homes, pp. 307-344 (see footnote 30 above).","[87] The case of the “Correl tent district” on the outskirts of Port-au-Prince is a typical manifestation of these difficulties. The “Korrell tent area”, originally used as a temporary tent area for displaced persons living in the most dangerous areas, attracted people throughout the country, but in a few months it became a new informal settlement with at least 50,000 to 60,000 inhabitants as of May 2011.","[88] John Holmes, “Lessons from Haiti”, Humanitarian Exchange Journal No. 48 (October 2010), p. 3.","[89] United States strategy entitled “United States Government strategy for Haiti after the earthquake: seeking recovery and economic opportunity” (2011).","[90] In Haiti, the cost of a T-type housing unit averages $2,500, while the cheapest estimate for permanent housing is approximately $3,500 per house.","[91] See first principle."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda [1]\",\n \"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"The right to adequate housing\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the General Assembly the report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non-discrimination in this context, Ms. Raquel Rolnik, submitted in accordance with paragraph 2 (h) of Human Rights Council resolution 15/8.\",\n \"Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living\",\n \"Summary\",\n \"The present report focuses on the realization of the right to adequate housing in post-disaster settings. The present report evaluates human rights standards and norms that are relevant to a disaster response approach based on the right to adequate housing; and discusses some existing constraints. The report elaborates on the key challenges to the guarantee and realization of the right to adequate housing in disaster relief operations: lack of attention to or discrimination against vulnerable and vulnerable groups; excessive emphasis on individual property rights and the difficulties associated with the equal recognition and resolution of complex forms of land rights in property restitution and rehabilitation plans; the risk of post-disaster reconstruction being primarily a business or development plan that benefits minorities; and the limitations of existing reconstruction and rehabilitation frameworks. The report concludes with a brief overview of the basics of a disaster response approach, which integrates the right to adequate housing in a targeted and comprehensive manner.\",\n \"Contents\",\n \"Page\",\n \"Introduction\",\n \"Assessment of the legal and policy framework for responding to natural disasters 4\",\n \"III. Discrimination and vulnerability: impacts of disasters and compounding factors in disaster response 6\",\n \"A. Vulnerable groups most affected by disasters 7\",\n \"B. Neglect and discrimination revealed by disasters 8\",\n \"C. Recovery responses that neglect or discriminate against the most vulnerable 8\",\n \"IV. Recognition and protection of all forms of land rights, from restitution to durable solutions, without discrimination\",\n \"A. Comprehensive approach to housing and property restitution 11\",\n \"B. Recognition of de facto land rights for durable solutions 13\",\n \"Disasters become opportunities — for whom? 15\",\n \"A. Outsourcing from coastal and urban redevelopment to reconstruction 14\",\n \"B. Due diligence to guarantee the right to adequate housing 17\",\n \"VI. Recovery and durable solutions: addressing all aspects of the right to adequate housing 17\",\n \"A. Inadequate attention to housing and property 18\",\n \"B. Addressing broader issues in relief and recovery efforts 19\",\n \"C. Lack of linkages between the emergency phase and long-term recovery 20\",\n \"Conclusions\",\n \"VIII. Recommendations 21\",\n \"A. General framework: disaster relief based on the right to adequate housing 21\",\n \"Follow-up recommendations\",\n \"Introduction\",\n \"1. The present report focuses on the realization of the right to adequate housing in post-disaster settings. The present report should be read in conjunction with the report submitted to the Human Rights Council (A/HRC/16/42), in which the Special Rapporteur explores the problems common to post-conflict and post-disaster settings.\",\n \"2. Despite the many similarities between post-conflict and post-disaster environments, post-disaster environments face certain challenges that require different responses. Taking into account the increasing prevalence of disasters worldwide, with unprecedented devastating consequences,[2] the Special Rapporteur has decided to focus on disasters in view of the fact that this trend is likely to continue with climate change, rapid urbanization and population growth and that there are relatively few experiences and guidelines that can address the right to adequate housing in post-disaster situations as compared to post-conflict settings. [3] The Special Rapporteur also took the opportunity to undertake a mission to Haiti (8-11 June 2011) to assess the reconstruction and relief efforts following the January 2010 earthquake, which greatly enriched her insights into the present report and highlighted the need for attention to the disaster. [4]\",\n \"3. Post-disaster reconstruction and rehabilitation in the context of the right to adequate housing is of great importance. The Special Rapporteur is concerned that, with a few notable exceptions, disaster relief and recovery efforts have so far continued to take a narrow view of the content of the right to adequate housing, leading in some cases to violations of this right. The first part of this report assesses the relevant guidelines. Parts II to V elaborate on major challenges. The report concludes with a brief overview of the basics of a disaster response approach, which includes the right to adequate housing in a targeted and comprehensive manner, as well as recommendations for follow-up measures.\",\n \"Assessment of the legal and policy framework for responding to natural disasters\",\n \"Despite the existence of a number of standards and guidelines to ensure the right to adequate housing in post-disaster settings, their understanding and application are often incomplete. [5] As discussed below, there are other more specific constraints.\",\n \"5. The International Covenant on Economic, Social and Cultural Rights (art. 11) recognizes very clearly the right to adequate housing. The Committee on Economic, Social and Cultural Rights has emphasized the importance of a broad interpretation of this right, identifying seven areas in which States must progressively realize the right to adequate housing: security of tenure; provision of services, goods, facilities and infrastructure; affordable; habitability; accessibility; location; and an appropriate cultural environment. [6] These seven dimensions, as well as safeguards to address evictions and resettlement arising from the right to adequate housing [7], are linked to disaster relief and are also an expression of the human rights principles of participation, non-discrimination and equality. [8]\",\n \"6. However, the existing guiding principles for dealing with disaster situations do not give sufficient attention to the right to adequate housing. When referring to the right to adequate housing, this right is limited to the need to provide shelter, housing or protection. [9] Few efforts have been made to address the right to adequate housing in a more comprehensive manner, at the level of guidance from various organizations and in the form of authoritative policies of universal application. [10] The United Nations human rights mechanisms — with some notable exceptions — have likewise failed to address the particular problems of disaster situations and their impact on the enjoyment of the right to adequate housing or other human rights, and remain general mechanisms. [11]\",\n \"Most of the measures that address disasters from a human rights perspective focus on specific groups, in particular internally displaced persons and refugees. The Guiding Principles on Internal Displacement are important in this regard and are recognized as an important international framework for the protection of internally displaced persons in post-conflict and post-disaster settings. [12] Although initially focused on the protection of internally displaced persons in conflict and post-conflict situations, policy and operational guidelines for responding to natural disasters have been developed in recent years, and their application has been extended to all those affected by disasters, including but not limited to internally displaced persons. In this regard, the Inter-Agency Standing Committee Guidelines for Action on the Protection of Persons in the Event of Natural Disasters (IASC Guidelines) are an important document. [13] These guidelines and the above-mentioned guiding principles recognize the right of persons displaced as a result of conflict or disaster to a durable solution, that is, to return to their homes or places of habitual residence (and, as a key condition for sustainable return, to housing or land, relocation or local integration). [14]\",\n \"8. The 2005 Principles on Housing and Property Restitution for Refugees and Displaced Persons [F] 15] (The Pinheiro Principles) further recognize that refugees and displaced persons have a separate “right to rehabilitation” (covering housing, land and/or other property). [16] An important question is whether the Pinheiro Principles apply in post-disaster situations. The intention seemed to be that the Pinheiro Principles should be applied, while the central idea underlying principle 1.2 was that displaced persons were in a similar situation, regardless of the cause, and that they had the right to return to their place of residence and, therefore, to rehabilitation. It was thus interpreted as applying to all natural disaster situations. However, others pointed out that the Pinheiro Principles were explicitly limited to “a wanton or unlawful deprivation” of former homes, lands or places of residence of displaced persons. [18]\",\n \"This does not mean that the Pinheiro Principles are not relevant to situations of natural disasters. First, the Pinheiro Principles are fully applicable when, after a disaster, there are actual instances of wanton or unlawful deprivation or destruction of housing or land, including what can be said to be the denial of the right of displaced persons to return to their homes (see section IV below), and when there is a State ' s unwarranted negligence in disaster prevention, mitigation or early warning systems. Second, the Pinheiro Principles identify existing norms relating to the right of displaced persons and refugees to return to their homes and provide guidance on how best to address technical and legal issues related to housing, land and property restitution, which have been reflected to varying degrees in subsequent policies and practices.\",\n \"10. Thus, a disaster response approach that takes full account of the right to adequate housing will integrate the above-mentioned norms and principles, and the various elements of the right to adequate housing are at the heart of such an approach. The last section of the report recommends that the guidelines be integrated into a single conceptual framework for action.\",\n \"III. Discrimination and vulnerability: impacts of disasters and compounding factors in disaster response\",\n \"11. Vulnerability is widely recognized as an important factor in disaster risk reduction and management. [20] The most vulnerable groups, such as the poor or insecure, are more likely to live in disaster-prone areas; in the event of disasters, they are also at greater risk of displacement and loss of livelihood; and they will face greater difficulties in recovering from the effects of disasters.\",\n \"12. In many cases, direct or indirect discrimination increases vulnerability, thereby affecting the ability of individuals and groups to be protected from and recover from the effects of disasters. The relationship between discrimination and disasters and disaster relief may not be obvious. Indeed, the term “natural disaster” could be regarded as excluding responsibility, which in turn meant that there could be no discrimination. However, it is certain that the impact of the damage caused by natural hazards is largely man-made (see A/60/227). Disaster preparedness, mitigation and response are all subject to or dependent on the actions or omissions of the State and may therefore be discriminatory.\",\n \"13. The principles of equality and non-discrimination are firm principles of international human rights law. Attention to non-discrimination and equality requires that Governments and aid organizations pay special attention to vulnerability and inequality before disasters occur; in the aftermath of disasters, Governments and aid organizations should address inequalities and protect the most vulnerable. United Nations treaty bodies have pointed out that even in times of severe resource constraints — as often happens after disasters — States still have specific obligations to protect vulnerable members of society. States should also take special measures to ensure the full and equal enjoyment of human rights by vulnerable groups. [22] In post-disaster situations, such measures may translate into special assistance to support the return of the most vulnerable groups or to find land/housing for landless or homeless families.\",\n \"A. Vulnerable groups most affected by disasters\",\n \"14. In 2005, Hurricane Katrina struck New Orleans, with African-Americans and the poor (the distinction between the two categories being largely blurred [23]) bearing the brunt because most of them usually live in a low-lying, flood-prone area of the city. In addition, large numbers of urban dwellers, who are generally poor, lack the means to escape the floods. The specific effects and costs of Hurricane Katrina are therefore inextricably linked to pre-existing social, economic and land-use patterns and are directly related to housing and urban planning policies.\",\n \"15. In Honduras, following Hurricane Mitch in 1998, the groups severely affected by the storm included poor women, farmers and indigenous groups, many of whom lived in vulnerable areas where land rights were insecure and vulnerable to strong winds, floods and landslides (see A/HRC/16/42, para. 32). In Colombia, flooding from 2010 to 2011 is said to have severely affected persons displaced by the conflict, in particular indigenous and Afro-Colombian peoples. They often live in remote areas vulnerable to violence by armed groups. [25]\",\n \"16. After the 2010 floods in Pakistan, poor and vulnerable groups bore the brunt of the disaster owing to the lack of assets or welfare security. Those displaced by the floods and deprived of their property and livelihoods are mostly landless tenants and labourers living in irregular/semi-permanent housing. [26]\",\n \"B. Neglect and discrimination revealed by disasters\",\n \"17. The earthquake in Haiti has exacerbated and exposed a problem that has so far been relatively unknown, namely the poor condition of informal housing, where most people live in Port-au-Prince. These houses, like many others elsewhere, were built spontaneously and never officially recognized by the authorities. These houses lack or have little or no basic infrastructure and services. As a result of the earthquake, many residents moved into tents, either because their homes or communities had been destroyed or damaged, or in order to obtain food or medical assistance, to participate in the “cash-for-work” programme, to save rent (for tenants) or to expect to receive housing.\",\n \"18. Twelve months after the earthquake, 634,000 people still lived in over 1,000 tents. Observers pointed out that the decline in the number of people living in tents compared to 2010 was slower, indicating that people were unable to move to other places or that people had decided that life in tents, however dangerous it was, was still better than where they were born. [28] The earthquake in Haiti has thus highlighted deeply rooted patterns of discrimination and neglect. Disasters elsewhere have had similar effects. [29]\",\n \"C. Recovery responses that neglect or discriminate against the most vulnerable\",\n \"19. Rehabilitation efforts may perpetuate or even exacerbate pre-existing forms of vulnerability and vulnerability by neglecting or directly discriminating against certain groups. This is often the case for women. After the Indian Ocean tsunami of 2004, there were reports that the international community's response has in many cases consolidated “the position of those who are richer and/or better represented ... Those with few assets, especially women, have been marginalized.” [30] Relief efforts and policies, for example, result in women ' s lack of access to livelihood assistance, sometimes directly undermining women ' s prior rights, such as their right to access to housing or land within matrilineal communities. [31] Women's land rights happen to be insecure — a situation in which they often find themselves, because their access to housing and land often depends on their relationship with men or because they are particularly vulnerable because of the greater difficulties they face as sole heads of household. [32]\",\n \"20. Depending on whether relief efforts address the situation of individual duly registered property owners or all those with other types of land rights arrangements, there appears to be a significant difference in response efforts. It has been pointed out that in most housing reconstruction programmes, land rights instruments and legal rights are prerequisites for programme beneficiaries, with the result that the poorest and most vulnerable groups, including those living in informal housing, are excluded from temporary or informal land rights. [33] In some countries, displaced tenants and squatters often find themselves without access to a permanent housing scheme designed to replace the owner ' s assets. [34]\",\n \"21. Similar limitations were identified in post-disaster needs assessments. While land and land tenure conditions can be discussed and recognized as being of principled importance, they are not always implemented in specific policies, strategies and the actual priorities of the various sectors. For example, in a post-disaster needs assessment conducted by international financial institutions and the Government of Pakistan in the aftermath of the floods, the proposed housing and reconstruction strategy does not address land ownership or land rights, but focuses only on the technology and cost of housing reconstruction. In addition, land-related policies, such as agricultural policies, that are prioritized in other sectors, are said to benefit landowners. [35]\",\n \"22. Multiple factors of vulnerability and discrimination often interact and affect each other. In the aftermath of Hurricane Katrina, it was generally found that United States federal and state government relief measures did not support low-income tenants (mainly African-Americans) and did not address the barriers that prevented them from accessing affordable housing. [36] Despite a federal voucher scheme, in practice it is difficult for families with rental vouchers to find rental housing. This is due to the shortage of public and rental housing (not only as a result of the damage caused by the wind, but also as a result of subsequent decisions to reduce public housing on a large scale), rent increases, and discrimination by landowners. 37], the slow construction of rental housing and the decision of the states along the Gulf of Mexico to allocate most of the federal funds for the repair of the owner ' s house instead of the rental house. [38] Because of the very limited options available for rental housing, a considerable number of families are in fact prohibited from returning to their cities and former homes;[39] This has led to an increase in the number of homeless persons. [40]\",\n \"23. The examples cited above illustrate how discrimination and vulnerability have become a key factor related to disaster impact and response measures. Discrimination based on the status of land rights highlights a broader problem where Governments, international organizations and domestic organizations are unwilling or unable to fully recognize and protect land rights without discrimination.\",\n \"IV. Recognition and protection of all forms of land rights, from restitution to durable solutions, without discrimination\",\n \"24. The Special Rapporteur notes the centrality of security of tenure in the right to adequate housing. Security of tenure does not amount to private ownership, nor is it limited to the granting of formal legal title. In addition to private ownership, there are a variety of legal land rights arrangements, such as public or private rental housing, cooperative housing, lease, occupation/lease of land or informal property, as well as other usufruct or tenure rights through customary or traditional arrangements - These land rights are subject to different degrees of formalities. [43] There is reason to believe that only a small number of victims of natural disasters may in fact enjoy duly registered individual ownership of their homes or land.\",\n \"25. Nevertheless, the Special Rapporteur is concerned that post-disaster policies and practices favour individual private ownership, as evidenced in section III above. Part IV will focus on policies and practices related to restitution — and more generally to durable solutions — to illustrate the actual tensions between individual property ownership and other forms of land rights.\",\n \"A. Comprehensive approach to housing and property restitution\",\n \"The right to “housing and property” restitution is most specifically addressed in the Pinheiro Principles. When the Pinheiro Principles were adopted, there was a clear need for guidance on the procedures and mechanisms necessary for property restitution, and the Pinheiro Principles responded to that need. Now, since return and restitution programmes are already applied to more diverse contexts and situations, it is time to carefully consider and reinterpret the Pinheiro Principles in the light of this practice.\",\n \"27. In the context of the specific development of the Pinheiro Principles, as well as the mechanisms for determining claims to property or land set out in the Pinheiro Principles, land rights in all their forms are not sufficiently well recognized, and others have criticized the Pinheiro Principles for disproportionate attention to individual property ownership and formal and registered claims. In a separate article (principle 16), the Pinheiro Principles refer to “the rights of landholders and other non-owners” and may be considered to call into question whether these rights are on an equal footing with individual property ownership rights. Similarly, the requirement in the same principle that property restitution mechanisms “to the maximum extent” recognize the right to housing and land in addition to formal ownership requires clarification of the nature of the right, although this principle can be understood as a practical recommendation rather than a limitation on the legal rights of non-owners. [45]\",\n \"28. The Principles must be understood in the specific context in which they were developed. Although the sources of information for the development of the Pinheiro Principles are diverse, what formed the Pinheiro Principles is the practical experience of the formal restitution mechanisms then in force, particularly in Bosnia and Herzegovina - The background is mainly the duly registered private property and the “socially owned” apartments referred to in Yugoslav law. The restitution mechanisms in Bosnia and Herzegovina, like those elsewhere, have been criticized for little care for those without property or with recognized formal property rights, and for not being able to deal with complex informal land rights systems under a variety of customary, State or religious laws. [47]\",\n \"29. The Special Rapporteur recommends that housing and property restitution must be understood as the restitution of any land rights relating to housing or land prior to the disaster, regardless of the status of the land rights or whether the housing or land is officially registered. Examples of this approach can be found in the South African Land Rights Restitution Act and in recent work guidance on durable solutions. [48] In the absence of a first in-depth discussion and elaboration of the provisions of the Pinheiro Principles, the Pinheiro Principles should be systematically understood as encompassing a wide variety of situations and land rights. Some elements of the Pinheiro Principles indicate that the concept of restitution is appropriately broad, such as the systematic use of the expression “housing, land and property” rather than merely “property”. [49]\",\n \"30. The Pinheiro Principles hold this more comprehensive view of restitution on the basis of the State ' s obligations in relation to the right to adequate housing to respect and ensure security of tenure for the entire population, regardless of the form the right may take. This approach recognizes that those who do not belong to the individual owners of officially registered property are also entitled persons. While post-disaster and post-conflict needs may vary depending on the context, the types of human rights responsibilities are the same. Property restitution systems should be seen and implemented on this basis.\",\n \"31. The relevance of this comprehensive view of the restitution system as an integral part of the right to relief should be further examined in order to provide a clear and strong guide to situations. For the purposes of the present report, however, it should be borne in mind that the Pinheiro Principles provide a qualified assessment of the disaster situation (see part II above), and that property restitution systems are often a condition for return and other durable solutions rather than a legal remedy. Understanding that all forms of land rights have equal legal status relates not only to restitution systems but even to efforts to ensure durable solutions and recovery. In such cases, if people are unable or unwilling to return, States and international organizations must assess the land rights of all affected persons, whether in their former place of residence or elsewhere, and take measures to guarantee and ensure security of tenure in post-disaster situations. Furthermore, the principle of non-discrimination and equality requires States and international organizations to give priority to assisting those who are most insecure and to strengthening security of tenure for those whose land rights are weak, unclear or vulnerable, an obligation that is often overlooked in relief and rehabilitation efforts.\",\n \"Recognition of de facto land rights for durable solutions\",\n \"32. International agencies are reluctant to invest in areas of return or resettlement where land tenure is unclear and where the legal and customary arrangements underlying claims for housing or land are complex and sometimes contradictory. In this regard, reconstruction activities in urban areas may be particularly difficult, as land ownership and tenure issues in these areas are often complex.\",\n \"33. This mentality is evident in many organizations working in Haiti. One assessment made it clear that:\",\n \"Land markets are in a state of disarray and are largely inaccessible. Land ownership records are missing or unclear. The lack of a clear title to the land or the absence of a written consent from the verified owner makes it difficult to provide new housing to the potential beneficiary or to support his reoccupancy of the previous house. [52]\",\n \"Clearly, this has become one of the reasons for the delay in the reconstruction and return of Haiti. Similarly, in the aftermath of the Indian Ocean tsunami, a number of contradictory land-use policies and restrictions were enacted at all levels of government, resulting in disputes that allegedly created obstacles to international recovery efforts and severely undermined efforts to achieve disaster risk management. [53]\",\n \"Against this background, it is important to distinguish between two tasks: in the long run, legal reforms and other mechanisms, such as the designation of land title, formal registration and consolidation of ownership or property tenure, may be required, which will clearly address the ambiguities or uncertainties that many perceive. In the short term, however, these measures may not be the most appropriate way to meet reconstruction and rehabilitation needs without exacerbating inequalities. The experience has also shown that trying to resolve all ownership/property tenure and land reform issues in the immediate aftermath of a disaster or conflict will face daunting challenges. The Government of Pakistan stated that “a full understanding of the social, political, technical and legal complexities of land tenure issues, as well as the fact that these are not limited to the affected areas, is essential”. [55] In the short term, it remains necessary and appropriate to assess, through a rapid approach, pre-disaster tenure rights in order to achieve more effective reconstruction and rehabilitation, ensure a minimum level of security of tenure for all and address some of the most important inequalities and insecurity.\",\n \"35. The most appropriate way to determine housing or land claims for reconstruction and return depends on a particular environment, such as tenure or property arrangements, formalities and registration, and resources. As has been discussed, formal administrative or judicial property restitution mechanisms may not be applicable or appropriate in a number of cases, in particular those characterized by a variety of property tenure arrangements. The International Conference on the Great Lakes Region ' s Protocol on the Property Rights of Returnees provides a more comprehensive approach in this regard than the Pinheiro Principles, which requires both administrative and traditional authorities to resolve property disputes, thereby recognizing the importance of traditional and customary land systems. The Protocol also envisages alternative and informal mechanisms for the resolution of disputes in the community, requiring proof of ownership based on witness testimony. In practice, organizations supporting the return of refugees or displaced persons often resort to customary law and traditional conflict resolution mechanisms to resolve land disputes. However, care must be taken not to exclude or disadvantage women or other persons who are particularly vulnerable to discrimination in the settlement of such disputes.\",\n \"What goes further is the “community” or “participatory” measurement approach. Such participatory processes have been used in different countries for different purposes, such as identifying and strengthening property tenure rights in informal housing or for land adjudication. [60] In the absence of land records, in the event of the destruction of land records following a disaster or in the context of multiple property tenure arrangements, community inventories can provide promising and flexible alternatives to determine pre-disaster or pre-conflict occupation and tenure, thus ensuring a degree of certainty and security of tenure and providing information for durable solutions. Community mapping projects were implemented in the aftermath of the Indian Ocean tsunami,[61] and have begun to be implemented in Haiti. Lessons should be drawn from experience in identifying key elements and prerequisites for successful community mapping processes (as applied in post-disaster situations), including the relationship between such processes and more formal or government-led identification or land management processes, and the need to use conflict resolution mechanisms to complement them. [62]\",\n \"37. While mechanisms for assessing, respecting and strengthening security of tenure vary from one context to another, in all cases they must be guided by human rights principles, such as the participation of affected communities and gender equality.\",\n \"Disasters become opportunities — for whom?\",\n \"Disasters are generally considered to have created “whiteboards”, which offer significant opportunities for large-scale reform and arduous redevelopment. Disasters present not only opportunities but also significant risks to the protection and promotion of human rights. The Special Rapporteur is concerned that, in some cases, major redevelopment activities, while benefiting some people, neglect the most vulnerable groups by acting or failing to do so, in fact violating key elements of the right to adequate housing.\",\n \"A. Outsourcing from coastal zone and urban redevelopment to reconstruction\",\n \"39. The 2004 Indian Ocean tsunami was seen by many as a major opportunity for redevelopment, sometimes in the name of public safety and disaster risk reduction. Following the tsunami, a number of tsunami-affected countries did establish coastal zones (buffer zones) that prohibited the reconstruction of houses; they were approximately 100 to 500 metres wide and, in some cases, would require the relocation of over 100,000 houses if the provisions of the buffer zone were fully implemented. [63] While the buffer zone is said to be intended to protect the population from future disasters, it has also had a significant impact on the livelihood of the population, particularly those living on the sea.\",\n \"At the same time, ambitious “redevelopment” programmes and luxurious tourism have emerged, including in the coastal zone, where populations are closed for security reasons. A tourism commission had declared that the tsunami had given the country the opportunity to become a world-class tourist destination. It is reported that, despite the prohibition on displaced persons from returning to their homes, hotels are not subject to this prohibition. In some places, land developers have taken the opportunity to seize land, especially from vulnerable communities. Luxury hotels rise up in many coastal areas. Communities and civil society organizations complained that the buffer zone had been set up to arbitrarily expel poor coastal residents and indigenous communities and to benefit businesses and new tourist facilities. [65]\",\n \"41. The destruction of many public housing in New Orleans following Hurricane Katrina is seen as an opportunity to fundamentally change the city ' s housing and urban identity. In particular, the four largest public housing districts in the city of New Orleans (“the four regions”), mainly inhabited by people of African descent, have been demolished in order to redevelop the communities where the various income earners live, as planned, and for other purposes. While in some cases there may be no viable alternative to the destruction of public housing, the main reason for the demolition of public housing is that it is necessary for urban rehabilitation and essential for health and safety. The problem is that the planned development areas include only a small number of public housing compared to the total number of public housing available before Hurricane Katrina. The demolition of public housing constitutes another obstacle preventing low-income residents from returning to New Orleans (see section III above). [68]\",\n \"Concerns have also been expressed about the so-called “reconstruction industry” — the outsourcing of the planning, financing and implementation of reconstruction activities to private companies. In some cases, outsourcing reconstruction without sound safeguards inevitably has a negative impact on the adequacy and affordability of reconstruction efforts and the ability of people to participate in and benefit from reconstruction activities. In Chile, following the earthquake and the subsequent tsunami in February 2010, the private sector is said to have played a major role in the reconstruction of urban centres and coastal zones. In accordance with one of the main principles of the National Reconstruction Plan, families have the option of deciding whether to rebuild their house at the site of the collapse or to acquire a previous or newly constructed house. However, since housing reconstruction activities are funded mainly by subsidies linked to personal property, private builders prefer to re-build in new areas on the outskirts of towns rather than in the centres from which many have been forced to leave, where land and housing are much higher. [69] Real estate companies are said to take advantage of the vulnerability of these families to force them to sell land and houses at very low prices — for private redevelopment. [70] This suggests that if reconstruction activities are simply handed over to the market, new housing for the poorest would most likely be located on the outskirts of the city.\",\n \"Similar anomalies have been observed in the construction market. In one case, it was reported that a small number of companies in some cities had been granted the power to monopolize construction materials, to the detriment of local small enterprises, and in another case, the reconstruction process had led to higher prices for suppliers and construction companies, impeding individual reconstruction efforts. Similarly, humanitarian agencies have outsourced the construction of transitional housing to international contractors, which may divert potential funding to support displaced persons, who can be supported in building their own housing. The outcome of the latter is also not culturally appropriate. [72]\",\n \"B. Due diligence to guarantee the right to adequate housing\",\n \"44. In the examples discussed above, post-disaster reconstruction activities have a negative impact on the poorest. In the worst cases, disasters provided a clean record and justification for powerful people to destroy homes or seize land, which would not have happened before the disaster had occurred, as legal procedures had to be followed and affected families had to be consulted and provided with relief. At best, the State does not adequately monitor the operation and management of the post-disaster housing and reconstruction market, nor does it take measures to ensure that people have affordable housing and are not forced to leave their place of birth. While there is nothing to prevent the State from requiring private enterprise to support reconstruction activities — and the private sector can indeed make a crucial contribution to recovery efforts — Governments must be mindful of their responsibility to monitor the private sector's fulfilment of its commitments to ensure that reconstruction activities do not benefit a few privileged people at the expense of others.\",\n \"These examples can be considered “presumption of forced expulsion”. In such cases, international norms relating to forced evictions or arbitrary displacement may apply. When forced evictions are established, victims should have the right to redress, including a fair hearing, access to legal counsel and compensation, such as restitution of housing or land, adequate compensation or alternative housing/land, at their choice. [74]\",\n \"Where public security concerns are legitimate and necessary, decisions on land use or housing legislation continue to be subject to human rights norms, in particular strict procedural requirements relating to the right to eviction, access to remedies and remedies and to judicial review, as well as the economic, social and cultural rights of affected communities. Expulsion should not result in individuals being rendered homeless. In cases where the affected persons are unable to feed themselves, States must take measures to ensure that they have access to alternative housing, resettlement or fertile land. [75]\",\n \"47. Restrictive measures must also conform to the principle of proportionality. [76] This requires a balance between the rights of persons affected by disasters and the interests of States in reducing damage and ensuring public safety. In the case of tsunami prevention, it is necessary to prove that the regulations preventing the return of the population to the coastal areas are the least restrictive means of achieving public security objectives. The State must prove that other security measures, such as warning systems or embankments, cannot be implemented or are ineffective. [78]\",\n \"48. Finally, experience with land-use restrictions has led to the consideration of a number of factors, including the need for substantial investment in infrastructure and services for the relocation of residents and the potential for serious disruption of livelihoods and community life. The pattern of settlement and housing construction is not arbitrary, but rather reflects specific economic and social structures that are difficult to replicate elsewhere. Thus, both human rights norms and an assessment of the socio-economic costs of displacement require a more restrictive approach to the imposition of restrictions on land/housing construction use.\",\n \"VI. RESTRUCTION AND DURBAN SOLUTIONS: REFERENCE TO ALL ASPECTS OF THE RIGHT TO ADEQUARTABLE ADEQUARTMENT\",\n \"In addition to the more explicit protection issues discussed above, reconstruction needs to be addressed from a broader perspective of adequate housing — including housing as a social asset — towards the progressive realization of the right to adequate housing. In this light, ensuring recovery and durable solutions means rebuilding communities and residential areas to ensure an adequate standard of living, of which the construction of housing is only part, sometimes not the most important or urgent. [80] Disasters do not occur in a vacuum: the broader housing context in which disasters occur must be assessed and addressed.\",\n \"A. Inadequate attention to housing and property\",\n \"Post-disaster situations may be characterized not only by large-scale damage to homes, but also by large-scale displacement of populations, disruption of social networks and relationships, destruction of basic services or lack of access to them, and loss of livelihoods, jobs, assets or land — All of this is a key factor affecting the enjoyment of the right to adequate housing. As a result, reconstruction efforts and efforts to ensure durable solutions tend to focus too much on the most tangible aspects of housing (physical construction). It is easy for international organizations and national/regional governments to see the reconstruction of housing rather than livelihoods or community infrastructure as a top priority for those affected. When housing is assessed, it is treated as a technical or economic business rather than as a human right, and attention is paid to building and building standards and materials, as well as to the quality of emergency and transitional housing. In some cases, concerns about property restitution also undermine the re-establishment and improvement of broader social, political or economic conditions — jobs, basic services and infrastructure, security and safety — that support sustainable returns. One commentator noted that “the `house', rather than the actual well-being of displaced persons, has become a measure of the success of the return process”. [82]\",\n \"The well-known slogan “Rebuilding a better home” seems — and certainly should — to be determined to address the broader living conditions of affected communities. The Special Envoy of the Secretary-General for the Indian Ocean Tsunami stated: “Financial resources, international attention and the will to undertake political and policy reforms, which are often characteristic of the post-crisis period, should enable us to rebuild better and to move away from inequitable development models in a lasting manner”. A similar call was made to view the floods in Pakistan as “a reconstruction of a better life and an intensification of the dignity of millions of people living on the margins of society”. However, the implementation of this exciting idea often has the most technical meaning, such as the construction of flood and earthquake-resistant houses. [85]\",\n \"By contrast, a number of reconstruction projects around the world have attempted to view the reconstruction process as “an opportunity to promote the local development process” rather than being limited to restoring pre-disaster conditions — where community participation plays a key role. [86]\",\n \"B. Addressing broader issues in relief and recovery efforts\",\n \"53. As mentioned above, the earthquake in Haiti highlighted the largely inadequate housing conditions, the precarious nature of informal housing and the lack of security of tenure. The international community is concerned with displaced persons living in tents and provides them with the same conditions The conditions enjoyed by many Haitians were even better, thus inadvertently making the tents attractive. There is little reason for poor families to leave their tents — where housing and services are provided free of charge — because of the lack of a system to rebuild services to returning communities. A narrow focus on the plight of internally displaced persons and on temporary solutions, while understandable from an emergency perspective, in a difficult socio-economic and property tenure context, constitutes an obstacle to long-term recovery and, in some cases, leads to further development problems. [87] As urbanization increases, many urbanization activities are expected to occur, and such situations must become more frequent (see A/64/255, paras. 13-21).\",\n \"54. The case of Haiti can also serve as an example of the challenges facing the theoretical foundations of the reconstruction and property restitution system: the question is whether the ultimate goal of reconstruction should be to provide quality housing for those who have lost their homes in disasters, in a context characterized by widespread poverty and severe living and housing conditions. The Special Rapporteur considers that interventions must aim at the progressive realization of the right to adequate housing for all. In Haiti, reconstruction and rehabilitation have little to do with the construction of new homes for those directly affected by disasters and, more importantly, with the improvement of the overall living and housing conditions of settlements affected by disasters, which are unplanned and unmaintained. The approach should therefore focus on settlements and communities, rather than individual houses, and focus on creating places where people can enjoy an adequate standard of living.\",\n \"55. Post-disaster land-use planning can serve as a powerful tool both to inform reconstruction efforts and to provide a legal basis for immediate response action in the aftermath of a disaster. Post-disaster regional planning can facilitate return and reconstruction by recognizing de facto settlements and providing a basis for infrastructure investment and upgrading of hitherto unmaintained and unplanned settlements.\",\n \"56. From a human rights perspective, the obligation of non-discrimination and concern for the most vulnerable should be borne in mind, and it is therefore not only legitimate but also necessary to invest in the rehabilitation of settlements with very poor living conditions as part of the relief effort. Moreover, for reasons of principle and pragmatism, this situation also needs to be addressed in some cases in the long run: in the case of Haiti, this means focusing on the improvement of the situation of settlements that, while not affected by disasters, have the same urbanization and vulnerability characteristics as affected settlements, as long as they are not in vulnerable areas.\",\n \"C. Lack of linkages between the emergency phase and long-term recovery\",\n \"57. The above examples also illustrate the current lack of linkages between the emergency phase and long-term recovery, and in many cases the difficulties faced by the international community in managing the transition from one phase to another. [88]\",\n \"Using individual beneficiaries and “achievable goals” — food, housing, health supplies — as their own purposes of concern may depart from the basic responsibility and long-term consideration to respect, protect and fulfil rights (e.g. the right to housing, the right to water, the right to health). In Haiti, there are reports that direct needs have been the subject of a response by the international community and, as a result, special commitments to support permanent housing needs have become irrelevant. [89] In its report, the Inter-Agency Standing Committee ' s Hach Housing Group identified risks such as the normality of tented areas, with emergency measures consuming scarce resources at the expense of more permanent programmes.\",\n \"59. Similarly, the large-scale construction of transitional housing may not always be necessary or appropriate and may in some cases create obstacles to durable solutions, for example, in crowded urban areas where the lack of space may prevent people from building permanent housing over time. Over time, with declining attention and assistance, the construction of transitional housing may inadvertently divert resources from the reconstruction of permanent housing and residential areas. [90] It is therefore regrettable that, many years after the end of the disaster, people continue to live in transitional housing, a phenomenon that is not uncommon (see A/HRC/13/20/Add.4, para. 31). States and international organizations should not assume ipso facto the need for transitional housing without considering the possibility of supporting alternative solutions.\",\n \"60. Many have called for an integrated approach to ensure that assistance can be sustained between relief and recovery phases. In his last report to the Human Rights Council (A/HRC/16/42), the Special Rapporteur discussed certain funding issues related to this issue. The Special Rapporteur would like to encourage donors to support durable solutions and recovery efforts as early as possible and to help ensure that assistance is sustained, including through the provision of financial assistance that is readily available.\",\n \"Conclusion\",\n \"A disaster response approach that fully integrates the right to adequate housing in a targeted manner\",\n \"61. The inclusion of the right to adequate housing in disaster response has broad implications. In practice, however, the understanding and application of the right to adequate housing in disaster relief is limited to certain aspects of that right, most notably those linked to physical construction and individual property ownership. In some cases, reconstruction and rehabilitation efforts have had a detrimental impact on the enjoyment of the right to adequate housing by affected persons and those affected by disasters, either through negligence or by deliberate action.\",\n \"62. In the Special Rapporteur ' s view, a holistic effort in reconstruction efforts to realize the right to adequate housing is not only an obligation but also an opportunity. While relief efforts do not and should not replace development activities, they can be used to redress inequalities that either exacerbate the impact of natural disasters or are exposed to them, and to promote efforts towards the progressive realization of the right to adequate housing for all, particularly through improved security of tenure.\",\n \"63. The following recommendations outline the basic elements of a disaster response approach that is fully grounded in the right to adequate housing. These recommendations are intended to complement existing guidance when it comes to ensuring that the right to adequate housing is guaranteed and realized. Unless otherwise indicated, these recommendations are addressed to both Governments and international donors and organizations. Finally, the present report makes recommendations for follow-up, bearing in mind that such a framework simply outlines general principles that need to be further refined and implemented.\",\n \"Recommendations\",\n \"64. The Special Rapporteur makes the following recommendations:\",\n \"A. General framework: disaster response based on the right to adequate housing\",\n \"First principles\",\n \"1. Right to adequate housing\",\n \"The right to adequate housing should be respected and protected at all stages of disaster response. The right to adequate housing should be understood as a right to live in safety and security, in an environment that is considered adequate on the basis of: security of tenure; availability of services, goods, facilities and infrastructure; affordability; habitability; accessibility; location; and an appropriate cultural environment.\",\n \"2. Security of tenure\",\n \"Recognition of the diversity of forms of property tenure, without discrimination, ensures that everyone ' s land rights are secure in the aftermath of a disaster.\",\n \"Participation\",\n \"4. Non-discrimination and vulnerability\",\n \"Principles for action\",\n \"Equal rights to asylum and housing\",\n \"2. Do not prejudice rights\",\n \"(a) Respect for and protection of the right to adequate housing, including security of tenure, without prejudice to such rights:\",\n \"Land tenure of “informal owners”\",\n \"Land tenure rights of “informal owners”, i.e. those who do not have the ownership of duly registered personal property, should be respected:\",\n \"Background of the relief and recovery programme\",\n \"Relief and rehabilitation programmes should be implemented in the overall housing environment (one region/city/country):\",\n \"Social reconstruction\",\n \"Communities and settlements should be rebuilt or resettled, not just premises:\",\n \"6. Compliance with international standards\",\n \"Resettlement and local integration conditions must be consistent with international human rights standards and norms relating to adequate housing, evictions and displacement if return is not possible because of the loss of land or the existence of objective security grounds preventing return or if the affected individuals or groups do not wish to return.\",\n \"7. Legislation for disaster risk reduction\",\n \"States must adopt disaster risk reduction laws that respect the right to adequate housing. Particular attention must be given to those who may suffer discrimination and exclusion, including as a result of land rights status, and measures should be put in place to protect them.\",\n \"Follow-up recommendations\",\n \"1. United Nations agencies and mechanisms, the Inter-Agency Standing Committee or its organizational members or cooperating agencies should consider further studies on the effective integration of the right to adequate housing in disaster relief measures as a starting point for the framework proposed by the Special Rapporteur.\",\n \"Further work should be undertaken on:\",\n \"3. When reviewing national reports and undertaking country visits, United Nations human rights mechanisms should assess and make recommendations on the enjoyment of specific human rights in natural disaster settings and the extent to which disaster prevention, response and recovery contribute to the enjoyment of human rights.\",\n \"[1] ^ (*) A/66/150.\",\n \"[2] International Disaster Database, http://www.emdat.be.\",\n \"[3] The present report will continue to draw on post-conflict situations where there are no documented cases of post-disaster settings, and where some of the examples of post-conflict settings are relevant and appropriate to post-disaster settings.\",\n \"[4] The Special Rapporteur wishes to reiterate his appreciation to the United Nations Stabilization Mission in Haiti, the Office of the High Commissioner for Human Rights and UN-Habitat, which facilitated her mission.\",\n \"[5] Human rights challenges in conflict and post-conflict settings receive more attention and guidelines are further elaborated than in post-disaster situations. In addition to the guidelines discussed in the present report, post-conflict responses are guided by international humanitarian law, refugee law and norms relating to relief and reparation.\",\n \"[6] See Committee on Economic, Social and Cultural Rights, general comment No. 4: The right to adequate housing.\",\n \"[7] See Committee on Economic, Social and Cultural Rights, general comment No. 7: Forced evictions; see also the Basic Principles and Guidelines on Development-based Evictions and Evictions (A/HRC/4/18, annex 1).\",\n \"[8] Participation was discussed in the last report to the Human Rights Council. Part III of this report deals with non-discrimination.\",\n \"[9] For example, in the Inter-Agency Standing Committee Guidelines for Action on the Protection of Persons in the Event of Natural Disasters, section C.2.1 refers to the right to adequate housing, but it is not mentioned in other potentially relevant articles.\",\n \"[10] See Erica Harper, International Law and Norms Applicable to Natural Disasters (Rome, International Development Law Organization, 2009).\",\n \"[11] The representative of the Secretary-General on the human rights of internally displaced persons made an exception. See comments made by United Nations treaty bodies and special procedures, World Human Rights Index, http://www.universalhumanrightsindex.org/en/index.html.\",\n \"[12] The Legal Database of the Guiding Principles demonstrates their widespread recognition. See http://www.idpguidingprinciples.org/.\",\n \"[13] Originally published in 2006 and revised in 2011.\",\n \"[14] Guiding Principles on Internal Displacement, Principle 28; IASC Guidelines, D.2.2, D.2.3.\",\n \"[15] Subcommission on the Promotion and Protection of Human Rights, resolution 2005/21.\",\n \"[16] Principle 2.2. See also the seemingly inconclusive debate as to whether there is an independent right to restitution under international law: Malcolm Langford and Khvlekani Moyo, “Rights, remedies or rhetoric? Land restitution in international law, No. 2 (2010). For the purposes of the present report, however, the Special Rapporteur is convinced that the right to restitution of property is an essential part of the right to relief and compensation, as well as the right of refugees and displaced persons to return to their places of birth and habitual residence.\",\n \"[17] Harper, International Law, chap. 4 (see footnote 9 above).\",\n \"[18] Principle 1. See, inter alia, Charles Gould, “The right to rebuild a home after a natural disaster”, Harvard Journal of Human Rights, vol. 22 (2009); Rebecca Barber, “Safeguarding housing rights after a natural disaster: norms of international human rights law”, Journal of International Refugee Law, vol. 20, No. 3 (2008).\",\n \"[19] European Court of Human Rights, “Budayeva et al. v. Russia”, 29 September 2008; Supreme Court of Pakistan, “Hunning Commission Case”, 7 June 2011, available at http://www.supremecourt.gov.pk/web/page.asp?id=735 (visit date 24 July 2011).\",\n \"[20] See General Assembly resolution 64/200.\",\n \"[21] Committee on Economic, Social and Cultural Rights, general comment No. 3, The nature of States parties ' obligations, article 2 (1) of the Covenant. See also the concluding observations of the Committee on the Rights of the Child on disasters, such as CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4.\",\n \"[22] International Convention on the Elimination of All Forms of Racial Discrimination, article 1(4); Convention on the Elimination of All Forms of Discrimination against Women, article 4.\",\n \"[23] Eighty-four per cent of the poor in this city are African-Americans. Brookings Institution, New Orleans after the Wind: Lessons from the Past, Plans for the Future (2005), p. 6.\",\n \"[24] Ibid., p. 13.\",\n \"[25] Elizabeth Ferris and Daniel Petz, “A year of uncertainty: a review of natural disasters 2010” (London, Brookings Institution — London School of Political Economy, 2011), p. 19. The Special Rapporteur would welcome information from the Government of Colombia on actions taken in response to the La Niña effect, such as the establishment of the “Fondo de Adaptación” to identify and manage projects aimed at finding durable solutions, including mitigation and prevention strategies.\",\n \"[26] Government of Pakistan, Asian Development Bank, World Bank, Pakistan Flood 2010: A Preliminary Assessment of Damage and Needs, p. 68; Oxfam, Land Rights and Indus Floods, 2010-2011: Rapid Assessment and Policy Review (Oxford, Oxfam Great Britain, 2011). The Special Rapporteur acknowledges the scale of the challenges faced by the Government of Pakistan and the efforts made by the Government to address the relief and rehabilitation efforts, in particular the granting of Vatanga to landowners and landless people on an equal basis, as a means of encouraging all refugees to return home.\",\n \"[27] Prior to the earthquake, it was estimated that 80 per cent of the population of Port-au-Prince lived in informal housing, which represented only 20 per cent of the urban area.\",\n \"[28] International Organization for Migration, Displacement Tracking Matrix, May 2011.\",\n \"[29] See Oxfam, Land Rights and Indus floods, p. 3 (see footnote 25 above).\",\n \"[30] John Telford and John Cosgrover, Joint Evaluation of the International Response to the Indian Ocean Tsunami — Synthesis Report (London, Tsunami Assessment Coalition, 2006), p. 104.\",\n \"[31] Michael Lyons and Thco Shelderman et al. Building Better Homes: People-Centered Proportional Housing Reconstruction (London, Practical Action, 2010), (on Sri Lankan Communities); Action Aid, Tsunami Response: Human Rights Assessment (2006), pp. 43-47.\",\n \"Prior to Hurricane Katrina, the majority of households receiving public housing and voucher subsidies were headed by women. They were particularly affected by the lack of affordable housing/public housing in the aftermath of the hurricane. See Ferris and Pelz (see footnote 24 above).\",\n \"[33] See World Reconstruction Conference: Recovery and Risk Reduction from Natural Disasters: Proceedings of the Conference (Geneva, May 2011), p. 31.\",\n \"[34] See the report of William J. Clinton, United Nations Special Envoy for Tsunami Recovery, Key Proposals for Better Homes (2006); Hakan Arslan and Cassidy Johnson, “Turkey: Can small actors overcome a lack of national will?” From Building Better Homes: Building People-Centered Housing, Lyons and Siderman and others (see footnote 30 above).\",\n \"[35] Oxfam, Land Rights and Indus River Floods, pp. 24-25 (see footnote 25 above); Government of Pakistan et al., Pakistan Floods 2010, annex on housing, agriculture and the financial sector. (See footnote 25 above. See also the discussion of land rights/land assessments in part III of this report.\",\n \"[36] Advisory Group on Forced Evictions, New Orleans Mandate Report, 26-31 July 2009 and A/HRC/13/20/Add.4, para. In 90 per cent of communities, where public housing is dominated, the inhabitants are African-Americans, 80 per cent of whom are tenants. See Ferris and Petz, “A year of uncertainty”, p. 74 (see footnote 24 above).\",\n \"[37] The Special Rapporteur welcomes the information received by the Government of the United States of America on measures taken by the federal Government, including the Housing and Urban Development Agency, to combat discrimination in housing by private and public actors and, inter alia, measures taken by the federal Government to combat systemic discrimination caused by restrictive regional planning or rent regulations that discriminate against African Americans, such as those adopted by the diocese of Saint Bernard following Hurricane Katrina.\",\n \"[38] United States Government Accountability Office, Post-Disaster Housing: The Federal Emergency Management Agency needs more detailed guidance and relief measures to ensure effective relief in the aftermath of the disaster, 2009, pp. 11-13; “Four years after Hurricane Katrina: the housing crisis is not over and low-income tenants are discriminated against”, Face to the South, 21 August 2009.\",\n \"[39] Ferris and Petz, “A year of uncertainty”, p. 74 (see footnote 24 above).\",\n \"[40] Advisory Group on Forced Evictions, Mandate Report, p. 5 (see footnote 35 above).\",\n \"[41] In some cases, private ownership is not in fact the most appropriate way to secure land rights. See A/HRC/10/7.\",\n \"[42] See the comments made by the delegation in support of this view on the report of the Special Rapporteur (A/HRC/16/42/2010), Human Rights Council, sixteenth session.\",\n \"The Special Rapporteur notes in particular that the classification of “six land rights programmes” by humanitarian agencies amounts to an acknowledgement that other forms of land rights also need to be addressed. United Nations and Asylum Centre, Shelters after Disasters (2010), p. 107.\",\n \"[44] Langford and Moyo, “Rights, remedies or rhetoric?” Pages 148 to 149 (see footnote 15 above).\",\n \"[45] See also the recognition of the possession of traditional and indigenous communities as provided for in principle 15.3 (independent from principle 16).\",\n \"[46] See http://www.ohr.int/plip; Norbert Wühler and Heike Niebergall, eds., Property Restitution and Compensation: Practice and Experience in Claims Programme (Geneva, International Organization for Migration, 2008).\",\n \"[47] Rhodri Williams, “Post-conflict property restitution in Bosnia: weighing compensation and durable solutions after displacement”, presented at the International Seminar of the Turkish Foundation for Economic and Social Research on Internal Displacement in Turkey and Other Countries, Istanbul, December 2006; Conor Foley, Ingunn Sofie Aursnes, “Land, housing and property restitution in the aftermath of conflict: principles and practice”, Humanitarian Exchange Journal (2005), p. 2. Norwegian Refugee Council, Special Property Restitution Court for Afghanistan, 2005.\",\n \"[48] Office of the President, No. 22 of 1994, Land Rights Restitution Act, Chapter I (1)xi; Inter-Agency Standing Committee, Framework for Durable Solutions for Internally Displaced Persons (Washington, D.C., Brookings Institution, 2010), p. 35.\",\n \"[49] See also principles 8 and 15.2; E/CN.4/Sub.2/2005/17/Add.1, para. 62; Langford and Moyo, “Rights, remedies or rhetoric?” (See footnote 15 above.\",\n \"[50] This includes situations where the right to land is based solely on use, or where restitution cannot be achieved in substance, such as the inability of landowners to return to their place of residence, or where the original place of residence has been lost or declared “uninhabitable” after a disaster.\",\n \"It is important that the real estate tenure rights of a person do not depend on the actual repossession of the former regular place of residence.\",\n \"[52] International Housing Union, Housing Sector Assessment in Haiti: A Year after the Earthquake (April 2011), p. 12.\",\n \"[53] Telford and Cosgrove, Consolidated Report, p. 102 (see footnote 29 above); and Ian Christophers, Linking Relief, Recovery and Development in Tsunami Response: Synthesis of Initial Results (London, Tsunami Assessment Coalition, 2006), p. 71.\",\n \"[54] With regard to Haiti, the comment was that “the strict substitution of assets for the provision of housing and the overzealous recognition of property rights ... are not appropriate to meet the housing needs of the majority of disaster victims who are tenants and squatters (rather than owners)”. A proposal for a rapid roll-out of land bookkeeping was considered inappropriate and risked “increased bias towards the most secure and powerful formal owners who could produce the documentation”. Kate Crawford et al., “Coordination with Haitian tenure challenges”, Humanitarian Exchange Journal, No. 48 (2010), p. 8.\",\n \"[55] Comments received on an earlier draft. Similarly, the Government of Timor-Leste has chosen a long-term framework to address land issues. Comments by Timor-Leste on the report of the Special Rapporteur (A/HRC/16/42), 8 March 2011.\",\n \"The formal special mechanisms are also resource- and time-consuming. See the 2010 annual report of the Kosovo Real Property Authority.\",\n \"[57] International Conference on the Great Lakes Region, Protocol on the Property Rights of Returnees (Great Lakes Protocol), 2006, article 4.\",\n \"[58] Great Lakes Protocol, article 4(3).\",\n \"[59] See A/HRC/16/42, paras. 44-45 (on East Timor); and Foley and Aursnes, “Land, Housing and Property” (see footnote 46 above).\",\n \"[60] UN-Habitat, Count me in: Land tenure security and urban land management surveys (Nairobi, 2010).\",\n \"[61] Ibid., Aceh, Indonesia, pp. 79-83, and Harper, International Law, p. 209 (see footnote 9 above).\",\n \"[62] See World Assembly on Reconstruction: Recovery and Risk Reduction, pp. 33-34 (see footnote 32 above).\",\n \"[63] Oli Brown and Alec Crawford, “Resolving land ownership issues in the aftermath of natural disasters: an institutional survey”, 2006, p. 6; and Human Rights Watch, “Post disaster: reconstruction in India after the 2004 tsunami”, p. 41. Some of the most important restrictive measures were eventually abandoned.\",\n \"[64] Tourism Concern, “Tsunami Reconstruction and Tourism: Another Disaster?”, 2005.\",\n \"[65] ActionAid, “Tsunami response”, pp. 17-18 (see footnote 30 above); Malcolm Langford and Jean Plessis, “Dignity? Forced evictions and human rights law; and Brown and Crawford, “Resolving land ownership issues” (see footnote 62 above).\",\n \"[66] Julia Cass and Peter Horiskey, “New Orleans is about to eliminate public housing”, Washington Post, 8 December 2006.\",\n \"[67] Amnesty International, “A catastrophe against common sense: human rights on the Gulf coast”, 2010, p. 6; Advisory Group on Forced Evictions, Mission Report, pp. 28-32 (see footnote 35 above).\",\n \"[68] A/HRC/13/20/Add.4, p. 30. The Special Rapporteur welcomes the information provided by the United States Government and is pleased to note that, as a result of various housing policies, more people now receive housing subsidies than before Hurricane Katrina.\",\n \"[69] Report of the Habitat International Coalition, Habitat International, the Institute of Housing in Architecture and Urbanization and the Reconstruction Observatory, Sur Maule, Action to Build and the Observatory and Housing Network for the Special Rapporteur on the right to adequate housing, 2011 on the tsunami earthquake of 27 February 2010 and the reconstruction process in Chile.\",\n \"[70] Ibid.\",\n \"[71] Ibid.; see also A/HRC/13/20/Add.3, para. 25.\",\n \"[72] See: This compares with the success of the “people-led” approach to reconstruction. World Assembly on Reconstruction: Recovery and risk reduction. Pages 25 to 27 (see footnote 32 above).\",\n \"[73] Malcolm Langford, “Right to return and resettlement in the aftermath of the tsunami disaster”, Disaster Bulletin No. 2 (2) (July-September 2005). Some States use the term “presumption of expulsion” to describe certain acts or omissions of the lessor that render the leased property uninhabitable or inappropriate for the purpose of the lease.\",\n \"[74] Committee on Economic, Social and Cultural Rights, general comment No. 7, General Assembly resolution 60/147, Cuhtled; Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law; and the Pinheiro Principles.\",\n \"[75] General comment No. 7, para. IASC Guidelines, C.2.4, C.2.5.\",\n \"[76] Human Rights Committee, general comment No. 27: Freedom of movement.\",\n \"[77] Protection of internally displaced persons in natural disasters: working visit to Asia by the Representative of the Secretary-General on the human rights of internally displaced persons, Walter Kälin, 2005, p. 22.\",\n \"[78] Langford, “Right to return and resettlement” (see footnote 72 above).\",\n \"[79] World Bank, Risks in Nature, Risks in Development Activities: Evaluation of the World Bank ' s Natural Disaster Relief Operations by the Independent Assessment Panel (A/AC.254/5/Add.1). Washington, D.C., 2006; Dynamic Learning Network on Accountability and Performance in Humanitarian Action, “Responding to Earthquake Disasters, 2008: Lessons from Earthquake Relief and Recovery”.\",\n \"[80] Inter-Agency Standing Committee, Framework for Durable Solutions (see footnote 47 above). Lessons can be drawn from good resettlement development practices, such as Michael Cernea and Christopher McDowell and others, Risks and Reconstruction: The Experience of Resettlement and Refugees. Washington, D.C., World Bank, 2000.\",\n \"[81] See, for example, on housing construction in Indonesia, Lyons and Shilderman et al., Building Better Homes, p. 157 (see footnote 30 above).\",\n \"[82] Megar Ballard, “Post-conflict property restitution: flawed legal and theoretical foundations”, Berkeley Journal of International Law, No. 462 (2010), (on Bosnia and Herzegovina).\",\n \"[83] United Nations Special Envoy for Tsunami Recovery, “Major position on rebuilding a better home” (see footnote 33 above).\",\n \"[84] Government of Pakistan, Asian Development Bank and World Bank, Floods in Pakistan, p. 7 (see footnote 25 above).\",\n \"[85] Ibid., pp. 22 and 94.\",\n \"[86] See, for example, projects in Peru: Lyons and Shilderman, etc., Rebuilding Better Homes, pp. 307-344 (see footnote 30 above).\",\n \"[87] The case of the “Correl tent district” on the outskirts of Port-au-Prince is a typical manifestation of these difficulties. The “Korrell tent area”, originally used as a temporary tent area for displaced persons living in the most dangerous areas, attracted people throughout the country, but in a few months it became a new informal settlement with at least 50,000 to 60,000 inhabitants as of May 2011.\",\n \"[88] John Holmes, “Lessons from Haiti”, Humanitarian Exchange Journal No. 48 (October 2010), p. 3.\",\n \"[89] United States strategy entitled “United States Government strategy for Haiti after the earthquake: seeking recovery and economic opportunity” (2011).\",\n \"[90] In Haiti, the cost of a T-type housing unit averages $2,500, while the cheapest estimate for permanent housing is approximately $3,500 per house.\",\n \"[91] See first principle.\"\n]"}}},{"rowIdx":87,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程[1] 项目69(b)","促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径","国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响","秘书长的说明","秘书长谨向大会成员转递国家的外债和其他有关国际金融义务对充分享受所有人权，特别是经济、社会和文化权利的影响问题独立专家西法斯·卢米纳根据人权理事会第7/4和16/4号决议提交的报告。","国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响问题独立专家的报告","摘要","出口信贷和投资保险机构通常称为出口信贷机构。这些机构作为一个整体，是为外国企业参与发展中国家和新兴经济体大规模工业和基础设施项目提供公共融资的主要来源。近年来，出口信贷机构在全球经济中，尤其在全球金融危机背景下，发挥了日益重要的作用。","然而，出口信贷机构支助的许多项目在环境、社会和人权方面产生了有害后果，而且在经济上无法维持。许多报告记录了出口信贷机构所支助的项目引起的或与其相关的侵犯人权行为，包括迫使当地人口流离失所、侵犯土著居民权利、剥夺获得基本服务的机会和破坏环境。此外，出口信贷机构一般行事作风诡秘，在融资决策和业务操作上往往缺乏透明度。","本报告系根据人权理事会第7/4和16/4号决议提交，旨在探讨出口信贷机构所支持的活动对进行此类活动的国家、尤其是发展中国家的可持续性发展和人权实现情况的不利影响。报告还论述了出口信贷在增加这些国家债务负担方面所起的作用。","本报告吁请各国减少出口信贷机构所支助项目的负面影响，并提出一些措施建议，以切实避免出口信贷机构的活动妨碍机构母国及东道国履行国际人权义务和其他义务，并切实避免该活动助长侵犯人权行为。","一. 导言","1. 出口信贷和投资保险机构一般称为出口信贷机构。这些机构作为一个整体，是为外国企业参与发展中国家大规模工业和基础设施项目、尤其是采掘业部门项目提供公共融资的主要来源。[2] 2005年，经济合作与发展组织(经合组织)成员国的出口信贷机构提供了1 250亿美元的信贷、保险、担保和利息补助。[3] 2007年，出口信贷机构集体支助了1.4万亿美元的贸易和投资，相当于世界出口贸易总额的约10%。[4] 据估计，出口信贷机构开展的活动超过所有多边开发银行和海外开发署的活动，其直接融资的贸易额占世界贸易总额的八分之一。[5]","2. 近年来，出口信贷机构在全球经济中，尤其是在全球金融危机背景下，发挥了日益重要的作用。2009年4月，20国集团和经合组织国家举行伦敦峰会，承诺为出口信贷提供更多支助，以增加国际贸易流量。[6]","3. 然而，出口信贷机构支助的许多项目，包括大型水坝、输油管、排放温室气体的火力发电厂和原子能发电厂、化工设施、采矿项目以及林业和种植园项目，在环境、社会和人权方面产生了严重后果。[7] 许多报告记录了出口信贷机构所支助的项目对人权的不利影响，包括迫使当地人口流离失所、导致政府镇压、侵犯土著居民权利、剥夺获得基本服务的机会和破坏环境。[8] 此外，出口信贷机构往往没有足够的保障监督和尽责措施，缺乏透明度，并卷入腐败。","4. 本报告系根据人权理事会第7/4号和第16/4号决议提交，旨在重点阐述出口信贷机构所支持的活动对执行此类项目所在国的可持续性发展和人权实现情况的不利影响。本报告还探讨了出口信贷在增加发展中国家债务负担方面所起的作用。","二. 出口信贷机构概述","A. 什么是出口信贷？","5. “出口信贷”一词系指一种保险、担保或融资安排，它使出口资本货物和/或服务的购买人能推迟一段时间付款(包括通常为两年以下的短期信贷，通常为两至五年的中期信贷，以及通常为五年以上的长期信贷)。[9] 出口信贷是出口信贷机构提供的主要贷款。","B. 什么是出口信贷机构？","6. 出口信贷机构是公共实体，向母国的私营公司提供政府担保或补贴的贷款、担保、信贷和保险，以支助出口和对外投资，尤其是对发展中国家和新兴经济体的出口和投资。大多数发达国家至少有一个出口信贷机构，通常是其政府的官方或准官方机构。[10]","7. 虽然出口信贷机构的组织形式多种多样，但通常由政府支持并根据政府赋予的任务开展活动。出口信贷机构可以是：(a) 一个政府部门，例如大不列颠及北爱尔兰联合王国的出口信贷担保部和美利坚合众国的进出口银行；(b) 一家政府拥有但独立经营的自主公司，例如澳大利亚的出口融资和保险公司、比利时的Office National du Ducroire/Nationale Delcrederediennst和加拿大的加拿大出口发展公司；或(c) 一家作为政府代理机构或公私合伙机构的私人公司(由政府作出关键决策并承担关键风险，由公司提供服务并进行初期风险分析)，例如法国的Compagnie Francaise d’Assurance pour le Commerce Exterieur、德国的Euler Hermes Kreditversicherungs以及荷兰的Atradius。[11] 这些形式反映于融资安排的资金来源：国家预算；政府专项资金；政府贷款和资本；股份或债券。","8. 出口信贷机构以不同方式向国内公司提供支助。这些机构向外国购买人(直接或通过商业银行)提供贷款，用于购买源自该机构母国的货物和服务，从而提升本国公司的出口能力。出口信贷机构提供的金融服务还包括商业贷款担保和出口信贷保险。为获取信贷担保，出口人向出口信贷机构投保，由该机构保证在进口人拖欠款项时向出口人支付的款项。出口信贷机构的保险还承保政治风险造成的损失，此类风险包括：无偿国有化或征用、没收投资、限制兑换股息和转移利润、货币不稳定、经济危机或战争。通过提供担保和保险，出口信贷机构支助在私人市场上因相关经济或政治风险而通常无人问津的交易。","9. 出口信贷机构以低于私人市场的利率、保险费和手续费提供融资，且这些机构对提供支助提出的经济条件很低，只需有限度地遵守(或根本不用遵守)环境、社会和透明度标准，使金融交易得以更容易、更快捷地进行，但其风险也更高。然而，对发展中国家的借款人而言，出口信贷机构担保的贷款的利率仍高于开发银行或机构等其他官方来源提供的许多贷款的利率。[12]","10. 最后，世界银行、国际货币基金组织和其他发展机构等大多数官方贷款机构显然以促进当地经济增长、发展和/或减贫为目标，而大多数出口信贷机构则完全没有促进发展的任务。这些机构的唯一目标就是促进本国的出口或对外投资。","三. 出口信贷机构与主权债务","11. 与出口信贷机构相关的债务是发展中国家债务的最大组成部分。据世界银行估计，截至2000年底，出口信贷机构对发展中国家长期外债的总敞口已达5000亿美元，占这些国家长期外债总额的四分之一。[13] 一些国家债务总额的50%以上为欠出口信贷机构的债务。例如，根据2001年经合组织提供的数字，尼日利亚约64%的债务和刚果民主共和国约42%的债务为欠出口信贷机构的债务。","12. 出口信贷通过各种途径造成一个国家主权债务的增加。出口信贷机构可能直接加重主权债务负担，其途径是这些机构直接向政府或外国公共实体提供贷款，或者为提供给政府或公共实体的商业信贷提供担保或保险。如果债务人(公共实体)对出口信贷机构或其提供保险的债权人拖欠付款，该公共实体所欠的债务就会成为该国主权债务的一部分。","13. 出口信贷还可能通过主权反担保间接导致主权债务。此类担保的目的是降低私人出口商通常为发达国家的服务出口商或提供商)与外国私人接受方(通常为发展中国家的进口商或投资或项目的接受方)之间交易的风险。出口商为有较大经济或政治风险的交易或项目向母国的出口信贷机构投保。然后，出口信贷机构要求接受方所在国家政府提供反担保。如果项目违约或破产，出口信贷机构会支付私营公司的损失，并根据发展中国家政府的反担保追回付出的款项。如果该政府无力按反担保付款，则所欠款额计入该国的主权债务。这样一来，该交易所包含的金融或政治风险就从私人投资者转到私人接受方所在国的纳税人身上。","14. 另一种情况是，即便政府不借款或提供贷款担保，出口信贷机构项目也会给政府带来大量或有负债。发展中国家政府为吸引私人投资如发电项目投资，往往提供“特别慷慨的”条件。该政府可能不得不签订电力购买协议，保证按美元高价购买电力。这种购买协议并非贷款，因此不计为债务，但可能使该政府带来严重的预算问题。","15. 不可避免的是，由于有出口信贷机构的支持，投资人为评估项目违约或破产风险而进行尽职调查的压力就会降低。因此，不负责任的投资行为和出口信贷机构的支持可能导致发展中国家债务增加。","16. 无力履行偿债义务的政府往往需要在巴黎俱乐部等国际场合重新安排偿债期限。对最不发达国家而言，与出口信贷相关的债务往往不属于减免和取消债务谈判的一部分。目前，在巴黎俱乐部签订重新安排偿债期限协议后取消的所有出口信贷债务均可记为官方发展援助。因此，用于取消出口信贷机构债务的资金往往来自官方援助预算。但是，导致出口信贷债务的交易并不一定用于发展目的。出口信贷往往用于支助对环境和社会有害的项目。","17. 民间社会组织已表示担心，出口信贷机构与发展中国家的交易所导致的某些债务可能是恶债或非法债务(见A/64/289)，因此应予以取消。独立专家也有这种担心，并促请债务国对所有出口信贷机构债务进行透明的公共审计以确定其性质。《国际发展筹资会议蒙特雷共识》强调了债权国与债务国对防止和解决不可持续的债务问题共同承担责任的原则。根据这项原则，他还呼吁出口信贷机构母国对这些机构的借贷组合进行透明的共同审计。","四. 出口信贷机构与人权","A. 出口信贷机构的人权义务","18. 国家对实现人权负有首要责任。在这方面，国家肩负三项基本义务，即尊重、保护和实现国家领土或管辖范围内个人与群体的人权。保护义务意味着，应采取措施确保人权在任何时候都不受第三方侵犯。为此，国家必须采取适当步骤，通过有效政策、法律、条例和裁定，防止、调查、惩治和补救第三方的侵犯人权行为(见A/HRC/17/31，附件，原则1)。","19. 日益获得确认的是，国家的人权义务在某些情况下可以超出国界。例如，经济、社会和文化权利委员会特别指出，国家在法律上有义务尊重其管辖范围以外的经济、社会和文化权利，并有义务避免其行动导致这些权利受到侵犯。该委员会在其第14号一般性意见中指出，缔约国为遵守国际义务，必须尊重在其他国家境内享有健康权，并根据《联合国宪章》和适用国际法，在能够通过法律或政治手段影响第三方时，阻止第三方在其他国家违反这项权利(E/C.12/2000/4，第39段)。[14] 同样，人权委员会还在其第31号一般性意见中指出，缔约国必须尊重和确保该缔约国权力或有效控制范围内任何人、即使是位于缔约国领土以外者的《公约》所规定权利(CCPR/C/21/Rev.1/Add.13，第10段)。[15]","20. 所以，一国的行动在国外损害人权，或因一国不监管本国行为方而在其他国家导致侵犯人权行为，则该国对此类侵犯行为负有责任。[16] 此外，根据《经济、社会、文化权利国际公约》第2.1条，国家有义务提供国际援助及合作以逐渐达到《公约》所述权利的实现。","21. 虽然出口信贷机构所支助项目的实施国对保护本地居民的人权负有首要责任，但此类机构的母国有责任监管和监督本国此类机构(不论是政府拥有、政府赋予任务还是政府监管的机构)所进行的、对东道国居民享有人权造成不利影响的活动。正如人权与跨国公司和其他工商企业问题秘书长特别代表所指出，国家应采取措施避免人权受到国家拥有或控制的工商企业侵犯，或受到获得出口信贷机构和官方投资保险或担保机构等国家机构大量支持和服务的企业侵犯，包括在适当时要求采取人权尽责措施(A/HRC/17/31，附件，原则4)。","22. 然而，政府很少对本国出口信贷机构的行动采取尽责措施。事实上，这些机构的业务政策和国家关于建立此类机构的法律大都不提人权标准。出口信贷机构不论在防止侵犯人权行为方面，还是在采取尽责措施查明项目对人权可能造成的有害影响和减轻此种影响方面，都缺乏明确政策。许多出口信贷机构的母国还缺乏有效机制，无以对这些机构支助项目所导致的侵犯人权的指控作出裁决。[17] 此外，很少评估出口信贷机构所支助的活动侵犯人权情况的影响。再者，出口信贷机构支助的所有交易和项目往往都受保密规定的保护，无法对居民和潜在受影响社区公开，因此有损于透明和参与等人权原则。","23. 如以上所解释，出口信贷机构支助的活动可能对一国的债务负担和可持续发展带来严重后果，因而给人民生活带来严重后果。所以，各国应切实避免其通过出口信贷机构支助的项目导致或助长侵犯人权行为。直接行事或通过其出口信贷机构行事的政府，如果未采取尽责措施和未避免非国家行为方的潜在有害行为侵犯人权，就等于违反国际人权法律所规定的义务。","24. 出口信贷机构要在业务活动中履行尽责义务，就应在与潜在的受影响居民磋商的前提下，进行人权影响评估并公布评估结果，然后才决定支助任何项目。这些机构还应在整个项目过程中继续进行独立监测并重新评估人权风险。为确保潜在受害人获得充分注意和补救，出口信贷机构应建立独立、公平的非歧视性投诉机制。国家关于设立出口信贷机构的法律和出口信贷机构的业务政策也应提及人权标准。出口信贷机构应根据人权标准评估所有项目，并在其政策及合同中明确设定尽责措施规则。","25. 由出口信贷机构提供资金支持的私营公司也对自身活动的人权影响承担责任。这方面值得注意的是，人权理事会第8/7号决议特别指出，跨国公司和其他工商企业有责任尊重所有人权(另见人权理事会第17/4号决议)。还值得注意的是，经济、社会和文化权利委员会强调，国家和跨国私人行为者应按照有利于尊重这些权利的行为准则展开其活动(E/C.12/1999/5，第20段)。","26. 私营公司对社区负有下述责任，即：切实避免其活动侵犯人权，包括直接侵犯或与他人共谋侵犯，并努力避免或减少对人权产生不利影响(A/HRC/17/31，附件，原则13)。值得注意的是，人权与跨国公司和其他工商企业问题秘书长特别代表强调，公司除遵守国家法律外，还承担尊重人权的基本责任，因为这是社会对工商企业的基本期望(见A/HRC/11/13)。","27. 该项责任要求在政策上承诺遵守国际核心人权文书所载的人权标准，采取具体的人权尽责措施，并向人权受侵犯者提供投诉机制。公司的尽责措施应包括公司必须采取一些步骤了解、防止、减少和处理对人权的不利影响。公司要在业务活动中履行尽责义务，就必须考虑到：公司开展业务的环境；其活动的影响；进行人权影响评估；以及与这些活动相关的各种关系的动态，以避免共谋侵犯人权(A/HRC/17/31，附件，原则17)。公司还应通过持续开展磋商和提供信息，与可能受影响的社区进行接触互动。","28. 在人权已遭到侵犯的情况下，应向受害人提供投诉机制。特别代表强调，受害者获得补救是公司尊重人权责任的重要方面。公司应建立各种投诉机制，例如申诉热线电话、受害人咨询服务和调解专家。","B. 出口信贷机构活动对人权的影响","29. 大多数出口信贷机构以秘密方式操作，因此难以获得关于这些机构所支助项目的准确信息。尽管如此，许多报告记录了这些项目对人权的有害影响。根据此类报告，出口信贷机构所支助的公司的活动造成了许多侵犯人权情况，例如骚扰少数族裔，占用土著人土地、强制驱逐和重新安置、缺乏赔偿、损害农村生计、侵犯劳工权利、威胁生命和人身安全、加重军事化、国家镇压、不让妇女参与磋商、限制言论和结社自由、受项目影响的居民的参与以及与这些居民的协商不够、诉诸司法的机会受到限制。[18]","C. 其他关切事项","30. 出口信贷机构所支助的活动引起了对缺乏透明度和问责制的关切。大多数出口信贷机构抵制民间社会组织关于公布信息的呼吁，声称自己的活动具有商业和国际敏感性，而且受到保密规则的保护，因此可免于遵守透明度规则。","31. 虽然各国在提供出口信贷机构信息的程度互有差别，但这些机构在透明度和问责制方面落后于其他公共机构。此种情况不利于确保这些机构提供负责任的信贷，在行动中履行尽责义务，以及尊重人权和环境标准的努力。事实上，大多数出口信贷机构无义务披露其所支助的项目可能产生的不利社会和环境影响。一些出口信贷机构仅在交易获得批准后等待客户核准时才公布有关信息。","32. 出口信贷机构的业务活动缺乏透明度和问责制，使东道国政府并间接使其纳税人承担下述风险：共谋支助可能导致侵犯人权情况的项目、纵容腐败行为、参与无问责政权的活动以及破坏环境。出口信贷机构作为半公共实体，有责任向纳税人通报任何此类风险。","33. 民间社会组织的报告表明，出口信贷机构所支助的项目确知涉足腐败案件。据透明国际报告，贿赂外国官员以获得其出口合同已成为工业化国家的普遍做法。[19] 贿赂被当作佣金，包含于担保的合同金额，在有保险情况下则包含于出口人的赔偿金额。¹⁸","34. 确知出口信贷机构所支助的项目曾支助无问责政权的活动。例如，在费迪南德•马科斯当权期间的菲律宾，美国进出口银行曾为巴丹核发电厂项目提供贷款和担保。苏哈托当权期间，德国的出口信贷机构曾通过提供保险支助一项与印度尼西亚的交易，即购买德国舰只并使之现代化，这些舰只最终用于印度尼西亚国内的武装冲突。[20] 同样，苏哈托当权的1993至1996年期间，(大不列颠及北爱尔兰联合王国)出口信贷担保部曾为向印度尼西亚空军出售隼式战斗机提供担保。据报告，1999年印度尼西亚军方曾用这些战斗机攻击东帝汶村庄。[21]","35. 出口信贷机构为伐木、采矿、天然气或石油等采掘业项目提供的贷款和担保给实施项目地区的环境及当地社区居民的生活造成巨大损害。这些项目的风险包括：环境退化；土地、空气和水污染；生境破坏；温室气体排放、毁林、荒漠化和土壤退化；长期依赖化石燃料；以至最终发生全球气候变化。然后，这些环境变化可能影响当地居民的健康，增大罹患癌症、皮肤病、肺部疾病和发生其他与健康相关问题的风险。这些变化还可能影响人们的生计来源，有损其粮食安全，并导致当地社区居民流离失所，尤其是导致土著居民离开其传统家园。","36. 如上所述，出口信贷机构在全球经济中发挥重要作用。这种作用使支助发展中国家项目的此类机构承担额外的责任，在业务活动中必须具有透明度，实施问责，采取尽责措施，并严格遵守关于人权和环境问题的国际商定标准。遗憾的是，作为支助发展中国家项目的公共融资机构，大多数出口信贷机构并不承担促进发展的任务，且其唯一使命是促进私营公司的投资和出口，而这些活动往往有损于此类机构支助项目所在国的人权和可持续发展。[22]","37. 如独立专家关于其澳大利亚之行的报告所述(A/HRC/17/37/Add.1)，独立专家完全支持的一个看法是：缺乏透明度规则，使人严重怀疑出口信贷机构接受母国纳税人和机构支持的项目所在发展中国家国民问责的问题。出口信贷机构母国政府提供的贷款或出口信贷机构所支助项目执行国政府所担保的贷款是关乎公众的事项，因此有理由要求这样的公共机构或公共供资机构遵守透明度规则并根据明确问责机制开展业务。","38. 独立专家认为，应规定出口信贷机构必须公布其活动信息，包括项目评估、决策和执行情况，并评估其融资决策的人权影响(另外还要评估环境和社会影响)。如果对信息披露有限制，应加以明确从严界定。这样出口信贷机构就可以对其所支助的项目作出负责任和知情的决策。","39. 除作为出口信贷机构政策和程序的一部分采用透明度和问责机制外，国家立法机构或国家审计局等国家实体也有责任不断监测这些机构的活动，切实避免其活动有损于本国对外援助和发展政策以及国际人权义务。这些人权事项需要加以进一步研究。","五. 出口信贷机构活动的国际监管","40. 经合组织内部通过“官方支助出口信贷安排”管理出口信贷机构。该安排就提供出口信贷规定法律和金融框架，用以约束出口信贷业务并使其具有透明度。该安排解决的主要问题包括：最低利率和首付、标准化偿还时间表、通用报告程序、信贷最长期限、对使用附带条件的援助的约束和透明度规则。","41. 此外，经合组织出口信贷和信贷担保工作组(出口信贷工作组)提供一个论坛，用以讨论非财政问题(例如腐败、环境和竞争问题)，谈判达成非约束性通用指导原则，以及增进竞争者之间的合作。","42. 国际信用和投资保险人联盟(简称伯尔尼联盟)也开展出口信贷政策方面的国际合作，但该联盟的作用仅限于交换有关外国购买人的信息以降低商业风险。参加伯尔尼联盟的不仅有经合组织国家的出口信贷机构，也有新兴经济体的此类机构。该联盟还包含非按政府所赋任务提供出口信贷和投资保险的私营实体。伯尔尼联盟指导原则适用于所有成员，其中含糊地提及环境敏感性、反腐和提高透明度等问题。","43. 经合组织的大多数出口信贷机构已就其活动的环境和社会影响制定相关政策。此类政策通常要求经合组织的所有出口信贷机构进行环境影响评估。","44. 2003年，经合组织通过了出口信贷工作小组关于制定环境与官方支助出口信贷问题共同办法(简称共同办法)的建议。共同办法要求政府和出口信贷机构审查项目的潜在环境影响，并根据国际标准加以评估。2007年6月经合组织进行审查后，更新了关于共同办法的建议，呼吁公开披露更多信息和增强信息交流，以使各机构的竞争环境更公平。这套办法还要求遵守东道国的环境标准，审查潜在环境影响并加以分类，对有潜在重大不利环境影响的项目开展环境影响评估，并根据世界银行保障政策或在适当时根据国际金融公司绩效标准，对项目进行筛选。","45. 然而，共同办法也有几个缺点。首先，共同办法是非约束性建议。第二，共同办法包含一个例外条款(第13条)，规定成员出口信贷机构如果决定完全不采用任何标准，则可不采用，前提是该成员向出口信贷工作小组报告此事并提出理由。[23] 第三，共同办法目前仅适用于官方支助的偿还期至少为两年的出口信贷。","46. 值得注意的是，共同办法根本未提到人权，因此人权与跨国公司和其他工商企业问题秘书长特别代表建议，共同办法应明确指出人权是企业和市场的社会可持续性方面的一个关键因素，并应明确承认出口信贷机构可为增强企业尊重人权责任发挥作用。[24] 特别代表进一步建议经合组织考虑建立一个人权工作组，编制供出口信贷机构在采取人权尽责措施时可以采用的合适工具并协助建设人权知识库和人权能力，以增强出口信贷机构维护人权的能力。²³ 此外，大赦国际也建议，应根据国际人权标准评估出口信贷机构支助的项目，以防止项目导致或助长侵犯人权行为。[25] 独立专家完全支持这些建议。","47. 关于腐败问题，2000年出口信贷工作小组发布了贿赂与官方支助出口信贷问题行动声明。该声明于2006年修订，后成为经合组织建议。此建议确认出口信贷机构在反腐方面的作用，并提出在国际业务中防止腐败的一些适当措施，包括向申请信贷的出口商说明贿赂的法律后果，要求出口商宣布未进行贿赂，要求提供以往腐败指控的信息，要求披露代理费和佣金信息，检查列入国际金融机构取消资格名单的潜在客户的记录，以及暂时取消有贿赂证据的项目的资格。[26]","48. 尽管作出了这些有限努力，但在全球范围，对出口信贷机构的业务活动大体上仍没有监管，且透明度以及环境和人权影响方面的标准及监管普遍不足。","六. 国家对出口信贷机构不法行为的责任","49. 出口信贷机构作为官方支助的机构，有别于纯粹的私营金融公司。不论是政府拥有还是政府赋予任务的出口信贷机构，都根据规定其任务的国家法律或规章行使职能。所有出口信贷机构均代表政府、在政府支助和控制下从事某些交易。这一点确立了国家与出口信贷机构的法律关系。[27] 公私合营财团形式的出口信贷机构也因国家对其业务活动的核准、供资和监管而受国家控制。由于存在这种法律关系，可以说，某一出口信贷机构违反国际法，则其母国需要承担责任，此种机构所犯不法行为将归于该国家。","50. 作为此观点的论据，值得回顾的是，根据国际法委员会的国家对国际不法行为的责任条款草案第4和第5条，任何国家机关(不论行使何种职能或具有何种地位)以及任何经该国法律授权而行使某种政府权力并在特定情况下以此种资格行事的非国家机构，其行为按国际法应归于国家。此外，就国际责任而言，根据国家统一性原则，任何国家单位的作为或不作为均可视为国家作为(A/56/10)。这意味着作为国家机关的出口信贷机构，其不法作为和不作为按关于国家责任的国际法均归于国家。作为国家机构或政府部门设立的出口信贷机构显然是公共权力机构，因此国家对其行动负有责任。这些机构由国家独家所有并在其控制下开展业务。同样，作为国家拥有的自主公司设立的出口信贷机构，虽然可能独立经营，但其活动最终受诸如贸易部或财政部等政府部门管辖。因此，这第二类出口信贷机构也可视为受国家控制。属于第三类的私营公司或公私合营财团虽然自治程度较高，但国家仍通过监管、供资、批准大笔付款、监督或制定标准和程序而对其业务活动保持一定控制。在许多情况下，私营或公私合营公司业务的最终决策需要获得某个部或部级委员会批准。总之，国家对出口信贷机构活动的影响是一个常见因素，不可等闲视之。","51. 根据国家责任的法律，政府必须切实避免本国出口信贷机构违反国际法律义务，包括违反国际人权法律。如出口信贷机构不考虑其所支助私营公司项目对人权的影响或采取步骤减少此种影响，当侵犯人权行为发生时，就可能导致国家对违反国际法义务承担责任(A/HRC/17/31，附件，原则4)。国际法规定的国家义务还要求各国切实避免其行动或包括出口信贷机构在内的其机关的行动对另一国造成伤害。","52. 一国如事先了解另一国的不法行为的情形，则对此种不法行为承担国际共谋责任(A/56/10，第16条)。因此，如出口信贷机构在一个允许某一公司以违反国际人权法律的方式开展业务的外国支助该公司的项目，则母国可能对协助东道国的不法行为承担责任。[28]","53. 关于条款草案第二章第一部分的评注强调，国家如不采取必要措施防止私人当事方的行为，则可能对该行为的影响承担责任(A/56/10)。如上所述，按照国际人权法，国家有责任监管第三方的活动，防止发生侵犯人权行为。同样，就跨国公司活动的责任而言，国家有义务防止本国公司在外国侵犯人权。[29]","七. 结论和建议","54. 出口信贷机构支助的项目可能对实施项目国家的可持续发展和人权造成不利影响。出口信贷机构往往缺乏透明度，而且在融资决策中不充分考虑环境、社会和人权因素。根据关于国家责任的国际法，官方支助的出口信贷机构是母国的机关或代理人，其不法作为或不作为可归于国家。因此，母国有义务监管其活动。此外，出口信贷机构也有责任尊重人权。","55. 为确保出口信贷机构所支助的活动不损害国际人权义务，助长侵犯人权行为，阻碍开展该活动国家的可持续发展，或加重发展中国家的债务负担，独立专家建议：","(a) 各国采取措施确保其出口信贷机构制定和执行更有力的、符合国际人权标准的环境和社会保障措施；","(b) 各国确保其出口信贷机构执行信息披露政策，尤其是要求公开披露此类机构所支助交易的环境、社会、人权和发展影响的所有信息，以提高透明度和问责度，并确保将此类信息提供给受影响社区；","(c) 各国采取措施，包括通过法律，确保其出口信贷机构不支助导致或助长侵犯人权行为的项目，并为此确保其出口信贷机构制定人权尽责措施框架，以便其评估对人权的实际和潜在不利影响并有效防范风险，从而履行其尊重人权的义务；","(d) 各国确保受出口信贷机构所支助的项目和出口影响者，包括出口信贷机构所支助活动导致的侵犯人权行为的受害人，能获得有效的国家法律补救；","(e) 把经合组织共同办法强制纳入出口信贷机构的环境、社会和人权审查政策；","(f) 国际社会规定最穷国暂缓偿还现有的出口信贷机构债务，其中很大一部分用于无经济价值的目的，同时债务国根据恶债原则对出口信贷机构的全部索偿要求进行透明的公共审计以确定其合法性，并无条件取消所有被认定有违恶债原则的债务。","[1] ^(*) A/66/150。","[2] 见Doug Norlen,Rory Cox, Miho Kim and Catriona Glazebrook编辑，Unusual Suspects: Unearthing the Shadowy World of Export Credit Agencies (Oakland, California, Pacific Environment, 2002)第1页；Bruce Rich, “Exporting destruction”, The Environmental Forum, September/October 2000；Malcolm Stephens, The Changing Role of Export Credit Agencies (Washington, D.C., International Monetary Fund, 1999)第63页；Andrew M.Moravcsik, “Disciplining trade finance: the OECD export credit arrangement”, International Organization, vol. 43, No. 1 (Winter 1989)，第176页；OECD，“Review of official export credit commitments to IDA-only countries(2001-2009)”P.6，available from www.oecd.org/dataoecd/42/59/36945707.pdf。","[3] 见www.oecd.org/dataoecd/30/35/37931024.pdf。另见 Karyn Keenan,“export credit agencies and the international law of human rights”(Halifax Initiative, 2008)，第1页。","[4] 见Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance (Environmental Defense Fund, 2009)，第5页，可查阅www.edf.org/documents/9593_coal-plants-report.pdf。另见Richard Wainwright, 编辑，Exporting Destruction: Export Credits, Illegal Logging and Deforestation (FERN, 2008)，第7段。","[5] Delio E. Gianturco, Export Credit Agencies: The Unsung Giants of International Trade and Finance (Westport, Connecticut, Quorum Books, 2001)，第1页。","[6] 20国集团关于《全球复苏与改革计划》的最后公报说，该集团各国领导人将确保今后两年至少提供2 500亿美元，以支助该集团各出口信贷和投资机构以及各多边开发银行提供贸易融资。见2009年4月2日20国集团领导人通过的《全球复苏与改革计划》。可查阅www.g20.org/ Documents/final-communique.pdf。另见2009年4月22日经合组织关于全球金融危机与出口信贷的声明。可查阅www.oecd.org/dataoecd/51/22/42624233.pdf。","[7] Norlen等人，Unusual Suspects(见脚注1)，第1页。","[8] 见Gabrielle Watson,编辑，Race to the Bottom, Take II: An Assessment of Sustainable Development Achievements of ECA-Supported Projects Two Years After OECD Common Approaches Rev. 6 (ECA-Watch, 2003)；Stephanie Fried and Titi Soentoro,编辑，A Brief Overview of Export Credit Agencies in the Asia-Pacific Region (Mumbai, World Social Forum, 2004)；Nicholas Hildyard,“Snouts in the trough: export credit agencies, corporate welfare and policy incoherence”,Corner House Briefing Paper No. 14 (Corner House,1999)，可在www.thecornerhouse.org.uk/resource/snouts-trough查阅；Keenan, “export credit agencies and the international law of human rights”，第1页。另见2010年3月大赦国际关于审查环境与官方支助出口信贷问题共同方式修订建议的呈文(POL 30/002/2010)，第1页。","[9] 见OECD，Export Credit Financing Systems in OECD Member Countries and Non-member Economies：Introduction(2008)。可查阅www.oecd-ilibrary.org。","[10] 关于经合组织成员和非成员国家出口信贷融资制度的信息,见www.oecd-ilibrary.org/trade/ export-credit-financing-systems-in-oecd-member-countries-and-non-member-economies_17273870。","[11] Keenan,“Export credit agencies and the international law of human rights,”(见脚注2)，第2页。","[12] Aaron Goldzimer,“Worse than the World Bank? Export credit agencies-the secret engine of globalization”，Backgrounder, vol. 9, No.1(Winter 2003)，第2页。","[13] 世界银行，《全球发展融资：向最穷国提供资金》，(华盛顿特区，2002年)，第107页。","[14] 另见关于适当食物权的第12号一般性意见，第36-37段；以及关于水权的第15号一般性意见，第31-34段。","[15] 另见 Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports, 2004，第136页。","[16] 一些条约机构促请各国采取步骤防止其管辖范围内的公司在国外犯下侵犯行为。可参见经济、社会和文化权利委员会关于社会保障权利的第19号一般性意见(E/C.12/GC/19)，第54段，以及消除种族歧视委员会关于美国第四次、第五次和第六次报告的结论性意见(CERD/C/USA/ CO/6)。","[17] 在美国，作为出口信贷机构开展业务的海外私人投资公司设立了问责办公室，以评估和审查关于其所支助项目的投诉。该办公室向可能受项目重大、直接或不利影响的当地社区以及项目主办人提供投诉的途径，此途径独立于该公司的业务。见www.opic.gov/doing-business/ accountability。","[18] 可参见Watson,编辑，Race to the Bottom, Take II(见脚注7)和Norlen等人，Unusual Suspects(见脚注1)。","[19] Dieter Frisch,“Export Credit Insurance and the fight against international corruption,”Transparency International Working Paper (Transparency International, 1999)，可查阅www.odiousdebts.org/odiousdebts/index.cfm?DSP=content&ContentID=2366。关于在解决公司参与贿赂和腐败问题方面进展不足的情况，另见Transparency International, Transparency in Reporting on Anti-Corruption: A Report on Corporate Practices (2009)。","[20] 见欧洲债务和发展网络，“Skeletons in the cupboard: illegitimate debt claims of the G7” (2007)。","[21] Hildyard,“Snouts in the trough”(见脚注7)。","[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia’s Export Credit Agency (Sydney, Australia, 2009)，第10段。","[23] Wainwright,编辑，Exporting Destruction(见脚注3)，第12页。另见http://www.oekb.at/en/ export-services/transparency-compliance/environment/oecd-common-approaches/pages/default.aspx。","[24] 人权与跨国公司和其他工商企业问题秘书长特别代表，“与出口信贷机构在尊重人权方面进行接触互动”，在经合组织出口信贷工作小组共同办法会议上的发言，巴黎，2010年6月23日。","[25] 见大赦国际关于共同办法修订建议审查的呈文(见脚注7)，第4页。","[26] Wainwright, 编辑，Exporting Destruction(见脚注3)，第15页。","[27] 见Özgür Can和Sara L. Seck,“The legal obligations with respect to human rights and export credit agencies”，为ECA-Watch、Halifax Initiative和ESCR-Net编写的论文，2006年7月。可查阅www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf。","[28] 见Keenan, “Export credit agencies and the international law of human rights”(见脚注2)，第3-7页。另见Can and Seck,“The legal obligations with respect to human rights and export credit agencies”，第4-8页。","[29] 见Keenan,“Export credit agencies and the international law of human rights”，第10页；Can and Seck,“The legal obligations with respect to human rights and export credit agencies”，第12页。"],"string":"[\n \"第六十六届会议\",\n \"临时议程[1] 项目69(b)\",\n \"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径\",\n \"国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响\",\n \"秘书长的说明\",\n \"秘书长谨向大会成员转递国家的外债和其他有关国际金融义务对充分享受所有人权，特别是经济、社会和文化权利的影响问题独立专家西法斯·卢米纳根据人权理事会第7/4和16/4号决议提交的报告。\",\n \"国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响问题独立专家的报告\",\n \"摘要\",\n \"出口信贷和投资保险机构通常称为出口信贷机构。这些机构作为一个整体，是为外国企业参与发展中国家和新兴经济体大规模工业和基础设施项目提供公共融资的主要来源。近年来，出口信贷机构在全球经济中，尤其在全球金融危机背景下，发挥了日益重要的作用。\",\n \"然而，出口信贷机构支助的许多项目在环境、社会和人权方面产生了有害后果，而且在经济上无法维持。许多报告记录了出口信贷机构所支助的项目引起的或与其相关的侵犯人权行为，包括迫使当地人口流离失所、侵犯土著居民权利、剥夺获得基本服务的机会和破坏环境。此外，出口信贷机构一般行事作风诡秘，在融资决策和业务操作上往往缺乏透明度。\",\n \"本报告系根据人权理事会第7/4和16/4号决议提交，旨在探讨出口信贷机构所支持的活动对进行此类活动的国家、尤其是发展中国家的可持续性发展和人权实现情况的不利影响。报告还论述了出口信贷在增加这些国家债务负担方面所起的作用。\",\n \"本报告吁请各国减少出口信贷机构所支助项目的负面影响，并提出一些措施建议，以切实避免出口信贷机构的活动妨碍机构母国及东道国履行国际人权义务和其他义务，并切实避免该活动助长侵犯人权行为。\",\n \"一. 导言\",\n \"1. 出口信贷和投资保险机构一般称为出口信贷机构。这些机构作为一个整体，是为外国企业参与发展中国家大规模工业和基础设施项目、尤其是采掘业部门项目提供公共融资的主要来源。[2] 2005年，经济合作与发展组织(经合组织)成员国的出口信贷机构提供了1 250亿美元的信贷、保险、担保和利息补助。[3] 2007年，出口信贷机构集体支助了1.4万亿美元的贸易和投资，相当于世界出口贸易总额的约10%。[4] 据估计，出口信贷机构开展的活动超过所有多边开发银行和海外开发署的活动，其直接融资的贸易额占世界贸易总额的八分之一。[5]\",\n \"2. 近年来，出口信贷机构在全球经济中，尤其是在全球金融危机背景下，发挥了日益重要的作用。2009年4月，20国集团和经合组织国家举行伦敦峰会，承诺为出口信贷提供更多支助，以增加国际贸易流量。[6]\",\n \"3. 然而，出口信贷机构支助的许多项目，包括大型水坝、输油管、排放温室气体的火力发电厂和原子能发电厂、化工设施、采矿项目以及林业和种植园项目，在环境、社会和人权方面产生了严重后果。[7] 许多报告记录了出口信贷机构所支助的项目对人权的不利影响，包括迫使当地人口流离失所、导致政府镇压、侵犯土著居民权利、剥夺获得基本服务的机会和破坏环境。[8] 此外，出口信贷机构往往没有足够的保障监督和尽责措施，缺乏透明度，并卷入腐败。\",\n \"4. 本报告系根据人权理事会第7/4号和第16/4号决议提交，旨在重点阐述出口信贷机构所支持的活动对执行此类项目所在国的可持续性发展和人权实现情况的不利影响。本报告还探讨了出口信贷在增加发展中国家债务负担方面所起的作用。\",\n \"二. 出口信贷机构概述\",\n \"A. 什么是出口信贷？\",\n \"5. “出口信贷”一词系指一种保险、担保或融资安排，它使出口资本货物和/或服务的购买人能推迟一段时间付款(包括通常为两年以下的短期信贷，通常为两至五年的中期信贷，以及通常为五年以上的长期信贷)。[9] 出口信贷是出口信贷机构提供的主要贷款。\",\n \"B. 什么是出口信贷机构？\",\n \"6. 出口信贷机构是公共实体，向母国的私营公司提供政府担保或补贴的贷款、担保、信贷和保险，以支助出口和对外投资，尤其是对发展中国家和新兴经济体的出口和投资。大多数发达国家至少有一个出口信贷机构，通常是其政府的官方或准官方机构。[10]\",\n \"7. 虽然出口信贷机构的组织形式多种多样，但通常由政府支持并根据政府赋予的任务开展活动。出口信贷机构可以是：(a) 一个政府部门，例如大不列颠及北爱尔兰联合王国的出口信贷担保部和美利坚合众国的进出口银行；(b) 一家政府拥有但独立经营的自主公司，例如澳大利亚的出口融资和保险公司、比利时的Office National du Ducroire/Nationale Delcrederediennst和加拿大的加拿大出口发展公司；或(c) 一家作为政府代理机构或公私合伙机构的私人公司(由政府作出关键决策并承担关键风险，由公司提供服务并进行初期风险分析)，例如法国的Compagnie Francaise d’Assurance pour le Commerce Exterieur、德国的Euler Hermes Kreditversicherungs以及荷兰的Atradius。[11] 这些形式反映于融资安排的资金来源：国家预算；政府专项资金；政府贷款和资本；股份或债券。\",\n \"8. 出口信贷机构以不同方式向国内公司提供支助。这些机构向外国购买人(直接或通过商业银行)提供贷款，用于购买源自该机构母国的货物和服务，从而提升本国公司的出口能力。出口信贷机构提供的金融服务还包括商业贷款担保和出口信贷保险。为获取信贷担保，出口人向出口信贷机构投保，由该机构保证在进口人拖欠款项时向出口人支付的款项。出口信贷机构的保险还承保政治风险造成的损失，此类风险包括：无偿国有化或征用、没收投资、限制兑换股息和转移利润、货币不稳定、经济危机或战争。通过提供担保和保险，出口信贷机构支助在私人市场上因相关经济或政治风险而通常无人问津的交易。\",\n \"9. 出口信贷机构以低于私人市场的利率、保险费和手续费提供融资，且这些机构对提供支助提出的经济条件很低，只需有限度地遵守(或根本不用遵守)环境、社会和透明度标准，使金融交易得以更容易、更快捷地进行，但其风险也更高。然而，对发展中国家的借款人而言，出口信贷机构担保的贷款的利率仍高于开发银行或机构等其他官方来源提供的许多贷款的利率。[12]\",\n \"10. 最后，世界银行、国际货币基金组织和其他发展机构等大多数官方贷款机构显然以促进当地经济增长、发展和/或减贫为目标，而大多数出口信贷机构则完全没有促进发展的任务。这些机构的唯一目标就是促进本国的出口或对外投资。\",\n \"三. 出口信贷机构与主权债务\",\n \"11. 与出口信贷机构相关的债务是发展中国家债务的最大组成部分。据世界银行估计，截至2000年底，出口信贷机构对发展中国家长期外债的总敞口已达5000亿美元，占这些国家长期外债总额的四分之一。[13] 一些国家债务总额的50%以上为欠出口信贷机构的债务。例如，根据2001年经合组织提供的数字，尼日利亚约64%的债务和刚果民主共和国约42%的债务为欠出口信贷机构的债务。\",\n \"12. 出口信贷通过各种途径造成一个国家主权债务的增加。出口信贷机构可能直接加重主权债务负担，其途径是这些机构直接向政府或外国公共实体提供贷款，或者为提供给政府或公共实体的商业信贷提供担保或保险。如果债务人(公共实体)对出口信贷机构或其提供保险的债权人拖欠付款，该公共实体所欠的债务就会成为该国主权债务的一部分。\",\n \"13. 出口信贷还可能通过主权反担保间接导致主权债务。此类担保的目的是降低私人出口商通常为发达国家的服务出口商或提供商)与外国私人接受方(通常为发展中国家的进口商或投资或项目的接受方)之间交易的风险。出口商为有较大经济或政治风险的交易或项目向母国的出口信贷机构投保。然后，出口信贷机构要求接受方所在国家政府提供反担保。如果项目违约或破产，出口信贷机构会支付私营公司的损失，并根据发展中国家政府的反担保追回付出的款项。如果该政府无力按反担保付款，则所欠款额计入该国的主权债务。这样一来，该交易所包含的金融或政治风险就从私人投资者转到私人接受方所在国的纳税人身上。\",\n \"14. 另一种情况是，即便政府不借款或提供贷款担保，出口信贷机构项目也会给政府带来大量或有负债。发展中国家政府为吸引私人投资如发电项目投资，往往提供“特别慷慨的”条件。该政府可能不得不签订电力购买协议，保证按美元高价购买电力。这种购买协议并非贷款，因此不计为债务，但可能使该政府带来严重的预算问题。\",\n \"15. 不可避免的是，由于有出口信贷机构的支持，投资人为评估项目违约或破产风险而进行尽职调查的压力就会降低。因此，不负责任的投资行为和出口信贷机构的支持可能导致发展中国家债务增加。\",\n \"16. 无力履行偿债义务的政府往往需要在巴黎俱乐部等国际场合重新安排偿债期限。对最不发达国家而言，与出口信贷相关的债务往往不属于减免和取消债务谈判的一部分。目前，在巴黎俱乐部签订重新安排偿债期限协议后取消的所有出口信贷债务均可记为官方发展援助。因此，用于取消出口信贷机构债务的资金往往来自官方援助预算。但是，导致出口信贷债务的交易并不一定用于发展目的。出口信贷往往用于支助对环境和社会有害的项目。\",\n \"17. 民间社会组织已表示担心，出口信贷机构与发展中国家的交易所导致的某些债务可能是恶债或非法债务(见A/64/289)，因此应予以取消。独立专家也有这种担心，并促请债务国对所有出口信贷机构债务进行透明的公共审计以确定其性质。《国际发展筹资会议蒙特雷共识》强调了债权国与债务国对防止和解决不可持续的债务问题共同承担责任的原则。根据这项原则，他还呼吁出口信贷机构母国对这些机构的借贷组合进行透明的共同审计。\",\n \"四. 出口信贷机构与人权\",\n \"A. 出口信贷机构的人权义务\",\n \"18. 国家对实现人权负有首要责任。在这方面，国家肩负三项基本义务，即尊重、保护和实现国家领土或管辖范围内个人与群体的人权。保护义务意味着，应采取措施确保人权在任何时候都不受第三方侵犯。为此，国家必须采取适当步骤，通过有效政策、法律、条例和裁定，防止、调查、惩治和补救第三方的侵犯人权行为(见A/HRC/17/31，附件，原则1)。\",\n \"19. 日益获得确认的是，国家的人权义务在某些情况下可以超出国界。例如，经济、社会和文化权利委员会特别指出，国家在法律上有义务尊重其管辖范围以外的经济、社会和文化权利，并有义务避免其行动导致这些权利受到侵犯。该委员会在其第14号一般性意见中指出，缔约国为遵守国际义务，必须尊重在其他国家境内享有健康权，并根据《联合国宪章》和适用国际法，在能够通过法律或政治手段影响第三方时，阻止第三方在其他国家违反这项权利(E/C.12/2000/4，第39段)。[14] 同样，人权委员会还在其第31号一般性意见中指出，缔约国必须尊重和确保该缔约国权力或有效控制范围内任何人、即使是位于缔约国领土以外者的《公约》所规定权利(CCPR/C/21/Rev.1/Add.13，第10段)。[15]\",\n \"20. 所以，一国的行动在国外损害人权，或因一国不监管本国行为方而在其他国家导致侵犯人权行为，则该国对此类侵犯行为负有责任。[16] 此外，根据《经济、社会、文化权利国际公约》第2.1条，国家有义务提供国际援助及合作以逐渐达到《公约》所述权利的实现。\",\n \"21. 虽然出口信贷机构所支助项目的实施国对保护本地居民的人权负有首要责任，但此类机构的母国有责任监管和监督本国此类机构(不论是政府拥有、政府赋予任务还是政府监管的机构)所进行的、对东道国居民享有人权造成不利影响的活动。正如人权与跨国公司和其他工商企业问题秘书长特别代表所指出，国家应采取措施避免人权受到国家拥有或控制的工商企业侵犯，或受到获得出口信贷机构和官方投资保险或担保机构等国家机构大量支持和服务的企业侵犯，包括在适当时要求采取人权尽责措施(A/HRC/17/31，附件，原则4)。\",\n \"22. 然而，政府很少对本国出口信贷机构的行动采取尽责措施。事实上，这些机构的业务政策和国家关于建立此类机构的法律大都不提人权标准。出口信贷机构不论在防止侵犯人权行为方面，还是在采取尽责措施查明项目对人权可能造成的有害影响和减轻此种影响方面，都缺乏明确政策。许多出口信贷机构的母国还缺乏有效机制，无以对这些机构支助项目所导致的侵犯人权的指控作出裁决。[17] 此外，很少评估出口信贷机构所支助的活动侵犯人权情况的影响。再者，出口信贷机构支助的所有交易和项目往往都受保密规定的保护，无法对居民和潜在受影响社区公开，因此有损于透明和参与等人权原则。\",\n \"23. 如以上所解释，出口信贷机构支助的活动可能对一国的债务负担和可持续发展带来严重后果，因而给人民生活带来严重后果。所以，各国应切实避免其通过出口信贷机构支助的项目导致或助长侵犯人权行为。直接行事或通过其出口信贷机构行事的政府，如果未采取尽责措施和未避免非国家行为方的潜在有害行为侵犯人权，就等于违反国际人权法律所规定的义务。\",\n \"24. 出口信贷机构要在业务活动中履行尽责义务，就应在与潜在的受影响居民磋商的前提下，进行人权影响评估并公布评估结果，然后才决定支助任何项目。这些机构还应在整个项目过程中继续进行独立监测并重新评估人权风险。为确保潜在受害人获得充分注意和补救，出口信贷机构应建立独立、公平的非歧视性投诉机制。国家关于设立出口信贷机构的法律和出口信贷机构的业务政策也应提及人权标准。出口信贷机构应根据人权标准评估所有项目，并在其政策及合同中明确设定尽责措施规则。\",\n \"25. 由出口信贷机构提供资金支持的私营公司也对自身活动的人权影响承担责任。这方面值得注意的是，人权理事会第8/7号决议特别指出，跨国公司和其他工商企业有责任尊重所有人权(另见人权理事会第17/4号决议)。还值得注意的是，经济、社会和文化权利委员会强调，国家和跨国私人行为者应按照有利于尊重这些权利的行为准则展开其活动(E/C.12/1999/5，第20段)。\",\n \"26. 私营公司对社区负有下述责任，即：切实避免其活动侵犯人权，包括直接侵犯或与他人共谋侵犯，并努力避免或减少对人权产生不利影响(A/HRC/17/31，附件，原则13)。值得注意的是，人权与跨国公司和其他工商企业问题秘书长特别代表强调，公司除遵守国家法律外，还承担尊重人权的基本责任，因为这是社会对工商企业的基本期望(见A/HRC/11/13)。\",\n \"27. 该项责任要求在政策上承诺遵守国际核心人权文书所载的人权标准，采取具体的人权尽责措施，并向人权受侵犯者提供投诉机制。公司的尽责措施应包括公司必须采取一些步骤了解、防止、减少和处理对人权的不利影响。公司要在业务活动中履行尽责义务，就必须考虑到：公司开展业务的环境；其活动的影响；进行人权影响评估；以及与这些活动相关的各种关系的动态，以避免共谋侵犯人权(A/HRC/17/31，附件，原则17)。公司还应通过持续开展磋商和提供信息，与可能受影响的社区进行接触互动。\",\n \"28. 在人权已遭到侵犯的情况下，应向受害人提供投诉机制。特别代表强调，受害者获得补救是公司尊重人权责任的重要方面。公司应建立各种投诉机制，例如申诉热线电话、受害人咨询服务和调解专家。\",\n \"B. 出口信贷机构活动对人权的影响\",\n \"29. 大多数出口信贷机构以秘密方式操作，因此难以获得关于这些机构所支助项目的准确信息。尽管如此，许多报告记录了这些项目对人权的有害影响。根据此类报告，出口信贷机构所支助的公司的活动造成了许多侵犯人权情况，例如骚扰少数族裔，占用土著人土地、强制驱逐和重新安置、缺乏赔偿、损害农村生计、侵犯劳工权利、威胁生命和人身安全、加重军事化、国家镇压、不让妇女参与磋商、限制言论和结社自由、受项目影响的居民的参与以及与这些居民的协商不够、诉诸司法的机会受到限制。[18]\",\n \"C. 其他关切事项\",\n \"30. 出口信贷机构所支助的活动引起了对缺乏透明度和问责制的关切。大多数出口信贷机构抵制民间社会组织关于公布信息的呼吁，声称自己的活动具有商业和国际敏感性，而且受到保密规则的保护，因此可免于遵守透明度规则。\",\n \"31. 虽然各国在提供出口信贷机构信息的程度互有差别，但这些机构在透明度和问责制方面落后于其他公共机构。此种情况不利于确保这些机构提供负责任的信贷，在行动中履行尽责义务，以及尊重人权和环境标准的努力。事实上，大多数出口信贷机构无义务披露其所支助的项目可能产生的不利社会和环境影响。一些出口信贷机构仅在交易获得批准后等待客户核准时才公布有关信息。\",\n \"32. 出口信贷机构的业务活动缺乏透明度和问责制，使东道国政府并间接使其纳税人承担下述风险：共谋支助可能导致侵犯人权情况的项目、纵容腐败行为、参与无问责政权的活动以及破坏环境。出口信贷机构作为半公共实体，有责任向纳税人通报任何此类风险。\",\n \"33. 民间社会组织的报告表明，出口信贷机构所支助的项目确知涉足腐败案件。据透明国际报告，贿赂外国官员以获得其出口合同已成为工业化国家的普遍做法。[19] 贿赂被当作佣金，包含于担保的合同金额，在有保险情况下则包含于出口人的赔偿金额。¹⁸\",\n \"34. 确知出口信贷机构所支助的项目曾支助无问责政权的活动。例如，在费迪南德•马科斯当权期间的菲律宾，美国进出口银行曾为巴丹核发电厂项目提供贷款和担保。苏哈托当权期间，德国的出口信贷机构曾通过提供保险支助一项与印度尼西亚的交易，即购买德国舰只并使之现代化，这些舰只最终用于印度尼西亚国内的武装冲突。[20] 同样，苏哈托当权的1993至1996年期间，(大不列颠及北爱尔兰联合王国)出口信贷担保部曾为向印度尼西亚空军出售隼式战斗机提供担保。据报告，1999年印度尼西亚军方曾用这些战斗机攻击东帝汶村庄。[21]\",\n \"35. 出口信贷机构为伐木、采矿、天然气或石油等采掘业项目提供的贷款和担保给实施项目地区的环境及当地社区居民的生活造成巨大损害。这些项目的风险包括：环境退化；土地、空气和水污染；生境破坏；温室气体排放、毁林、荒漠化和土壤退化；长期依赖化石燃料；以至最终发生全球气候变化。然后，这些环境变化可能影响当地居民的健康，增大罹患癌症、皮肤病、肺部疾病和发生其他与健康相关问题的风险。这些变化还可能影响人们的生计来源，有损其粮食安全，并导致当地社区居民流离失所，尤其是导致土著居民离开其传统家园。\",\n \"36. 如上所述，出口信贷机构在全球经济中发挥重要作用。这种作用使支助发展中国家项目的此类机构承担额外的责任，在业务活动中必须具有透明度，实施问责，采取尽责措施，并严格遵守关于人权和环境问题的国际商定标准。遗憾的是，作为支助发展中国家项目的公共融资机构，大多数出口信贷机构并不承担促进发展的任务，且其唯一使命是促进私营公司的投资和出口，而这些活动往往有损于此类机构支助项目所在国的人权和可持续发展。[22]\",\n \"37. 如独立专家关于其澳大利亚之行的报告所述(A/HRC/17/37/Add.1)，独立专家完全支持的一个看法是：缺乏透明度规则，使人严重怀疑出口信贷机构接受母国纳税人和机构支持的项目所在发展中国家国民问责的问题。出口信贷机构母国政府提供的贷款或出口信贷机构所支助项目执行国政府所担保的贷款是关乎公众的事项，因此有理由要求这样的公共机构或公共供资机构遵守透明度规则并根据明确问责机制开展业务。\",\n \"38. 独立专家认为，应规定出口信贷机构必须公布其活动信息，包括项目评估、决策和执行情况，并评估其融资决策的人权影响(另外还要评估环境和社会影响)。如果对信息披露有限制，应加以明确从严界定。这样出口信贷机构就可以对其所支助的项目作出负责任和知情的决策。\",\n \"39. 除作为出口信贷机构政策和程序的一部分采用透明度和问责机制外，国家立法机构或国家审计局等国家实体也有责任不断监测这些机构的活动，切实避免其活动有损于本国对外援助和发展政策以及国际人权义务。这些人权事项需要加以进一步研究。\",\n \"五. 出口信贷机构活动的国际监管\",\n \"40. 经合组织内部通过“官方支助出口信贷安排”管理出口信贷机构。该安排就提供出口信贷规定法律和金融框架，用以约束出口信贷业务并使其具有透明度。该安排解决的主要问题包括：最低利率和首付、标准化偿还时间表、通用报告程序、信贷最长期限、对使用附带条件的援助的约束和透明度规则。\",\n \"41. 此外，经合组织出口信贷和信贷担保工作组(出口信贷工作组)提供一个论坛，用以讨论非财政问题(例如腐败、环境和竞争问题)，谈判达成非约束性通用指导原则，以及增进竞争者之间的合作。\",\n \"42. 国际信用和投资保险人联盟(简称伯尔尼联盟)也开展出口信贷政策方面的国际合作，但该联盟的作用仅限于交换有关外国购买人的信息以降低商业风险。参加伯尔尼联盟的不仅有经合组织国家的出口信贷机构，也有新兴经济体的此类机构。该联盟还包含非按政府所赋任务提供出口信贷和投资保险的私营实体。伯尔尼联盟指导原则适用于所有成员，其中含糊地提及环境敏感性、反腐和提高透明度等问题。\",\n \"43. 经合组织的大多数出口信贷机构已就其活动的环境和社会影响制定相关政策。此类政策通常要求经合组织的所有出口信贷机构进行环境影响评估。\",\n \"44. 2003年，经合组织通过了出口信贷工作小组关于制定环境与官方支助出口信贷问题共同办法(简称共同办法)的建议。共同办法要求政府和出口信贷机构审查项目的潜在环境影响，并根据国际标准加以评估。2007年6月经合组织进行审查后，更新了关于共同办法的建议，呼吁公开披露更多信息和增强信息交流，以使各机构的竞争环境更公平。这套办法还要求遵守东道国的环境标准，审查潜在环境影响并加以分类，对有潜在重大不利环境影响的项目开展环境影响评估，并根据世界银行保障政策或在适当时根据国际金融公司绩效标准，对项目进行筛选。\",\n \"45. 然而，共同办法也有几个缺点。首先，共同办法是非约束性建议。第二，共同办法包含一个例外条款(第13条)，规定成员出口信贷机构如果决定完全不采用任何标准，则可不采用，前提是该成员向出口信贷工作小组报告此事并提出理由。[23] 第三，共同办法目前仅适用于官方支助的偿还期至少为两年的出口信贷。\",\n \"46. 值得注意的是，共同办法根本未提到人权，因此人权与跨国公司和其他工商企业问题秘书长特别代表建议，共同办法应明确指出人权是企业和市场的社会可持续性方面的一个关键因素，并应明确承认出口信贷机构可为增强企业尊重人权责任发挥作用。[24] 特别代表进一步建议经合组织考虑建立一个人权工作组，编制供出口信贷机构在采取人权尽责措施时可以采用的合适工具并协助建设人权知识库和人权能力，以增强出口信贷机构维护人权的能力。²³ 此外，大赦国际也建议，应根据国际人权标准评估出口信贷机构支助的项目，以防止项目导致或助长侵犯人权行为。[25] 独立专家完全支持这些建议。\",\n \"47. 关于腐败问题，2000年出口信贷工作小组发布了贿赂与官方支助出口信贷问题行动声明。该声明于2006年修订，后成为经合组织建议。此建议确认出口信贷机构在反腐方面的作用，并提出在国际业务中防止腐败的一些适当措施，包括向申请信贷的出口商说明贿赂的法律后果，要求出口商宣布未进行贿赂，要求提供以往腐败指控的信息，要求披露代理费和佣金信息，检查列入国际金融机构取消资格名单的潜在客户的记录，以及暂时取消有贿赂证据的项目的资格。[26]\",\n \"48. 尽管作出了这些有限努力，但在全球范围，对出口信贷机构的业务活动大体上仍没有监管，且透明度以及环境和人权影响方面的标准及监管普遍不足。\",\n \"六. 国家对出口信贷机构不法行为的责任\",\n \"49. 出口信贷机构作为官方支助的机构，有别于纯粹的私营金融公司。不论是政府拥有还是政府赋予任务的出口信贷机构，都根据规定其任务的国家法律或规章行使职能。所有出口信贷机构均代表政府、在政府支助和控制下从事某些交易。这一点确立了国家与出口信贷机构的法律关系。[27] 公私合营财团形式的出口信贷机构也因国家对其业务活动的核准、供资和监管而受国家控制。由于存在这种法律关系，可以说，某一出口信贷机构违反国际法，则其母国需要承担责任，此种机构所犯不法行为将归于该国家。\",\n \"50. 作为此观点的论据，值得回顾的是，根据国际法委员会的国家对国际不法行为的责任条款草案第4和第5条，任何国家机关(不论行使何种职能或具有何种地位)以及任何经该国法律授权而行使某种政府权力并在特定情况下以此种资格行事的非国家机构，其行为按国际法应归于国家。此外，就国际责任而言，根据国家统一性原则，任何国家单位的作为或不作为均可视为国家作为(A/56/10)。这意味着作为国家机关的出口信贷机构，其不法作为和不作为按关于国家责任的国际法均归于国家。作为国家机构或政府部门设立的出口信贷机构显然是公共权力机构，因此国家对其行动负有责任。这些机构由国家独家所有并在其控制下开展业务。同样，作为国家拥有的自主公司设立的出口信贷机构，虽然可能独立经营，但其活动最终受诸如贸易部或财政部等政府部门管辖。因此，这第二类出口信贷机构也可视为受国家控制。属于第三类的私营公司或公私合营财团虽然自治程度较高，但国家仍通过监管、供资、批准大笔付款、监督或制定标准和程序而对其业务活动保持一定控制。在许多情况下，私营或公私合营公司业务的最终决策需要获得某个部或部级委员会批准。总之，国家对出口信贷机构活动的影响是一个常见因素，不可等闲视之。\",\n \"51. 根据国家责任的法律，政府必须切实避免本国出口信贷机构违反国际法律义务，包括违反国际人权法律。如出口信贷机构不考虑其所支助私营公司项目对人权的影响或采取步骤减少此种影响，当侵犯人权行为发生时，就可能导致国家对违反国际法义务承担责任(A/HRC/17/31，附件，原则4)。国际法规定的国家义务还要求各国切实避免其行动或包括出口信贷机构在内的其机关的行动对另一国造成伤害。\",\n \"52. 一国如事先了解另一国的不法行为的情形，则对此种不法行为承担国际共谋责任(A/56/10，第16条)。因此，如出口信贷机构在一个允许某一公司以违反国际人权法律的方式开展业务的外国支助该公司的项目，则母国可能对协助东道国的不法行为承担责任。[28]\",\n \"53. 关于条款草案第二章第一部分的评注强调，国家如不采取必要措施防止私人当事方的行为，则可能对该行为的影响承担责任(A/56/10)。如上所述，按照国际人权法，国家有责任监管第三方的活动，防止发生侵犯人权行为。同样，就跨国公司活动的责任而言，国家有义务防止本国公司在外国侵犯人权。[29]\",\n \"七. 结论和建议\",\n \"54. 出口信贷机构支助的项目可能对实施项目国家的可持续发展和人权造成不利影响。出口信贷机构往往缺乏透明度，而且在融资决策中不充分考虑环境、社会和人权因素。根据关于国家责任的国际法，官方支助的出口信贷机构是母国的机关或代理人，其不法作为或不作为可归于国家。因此，母国有义务监管其活动。此外，出口信贷机构也有责任尊重人权。\",\n \"55. 为确保出口信贷机构所支助的活动不损害国际人权义务，助长侵犯人权行为，阻碍开展该活动国家的可持续发展，或加重发展中国家的债务负担，独立专家建议：\",\n \"(a) 各国采取措施确保其出口信贷机构制定和执行更有力的、符合国际人权标准的环境和社会保障措施；\",\n \"(b) 各国确保其出口信贷机构执行信息披露政策，尤其是要求公开披露此类机构所支助交易的环境、社会、人权和发展影响的所有信息，以提高透明度和问责度，并确保将此类信息提供给受影响社区；\",\n \"(c) 各国采取措施，包括通过法律，确保其出口信贷机构不支助导致或助长侵犯人权行为的项目，并为此确保其出口信贷机构制定人权尽责措施框架，以便其评估对人权的实际和潜在不利影响并有效防范风险，从而履行其尊重人权的义务；\",\n \"(d) 各国确保受出口信贷机构所支助的项目和出口影响者，包括出口信贷机构所支助活动导致的侵犯人权行为的受害人，能获得有效的国家法律补救；\",\n \"(e) 把经合组织共同办法强制纳入出口信贷机构的环境、社会和人权审查政策；\",\n \"(f) 国际社会规定最穷国暂缓偿还现有的出口信贷机构债务，其中很大一部分用于无经济价值的目的，同时债务国根据恶债原则对出口信贷机构的全部索偿要求进行透明的公共审计以确定其合法性，并无条件取消所有被认定有违恶债原则的债务。\",\n \"[1] ^(*) A/66/150。\",\n \"[2] 见Doug Norlen,Rory Cox, Miho Kim and Catriona Glazebrook编辑，Unusual Suspects: Unearthing the Shadowy World of Export Credit Agencies (Oakland, California, Pacific Environment, 2002)第1页；Bruce Rich, “Exporting destruction”, The Environmental Forum, September/October 2000；Malcolm Stephens, The Changing Role of Export Credit Agencies (Washington, D.C., International Monetary Fund, 1999)第63页；Andrew M.Moravcsik, “Disciplining trade finance: the OECD export credit arrangement”, International Organization, vol. 43, No. 1 (Winter 1989)，第176页；OECD，“Review of official export credit commitments to IDA-only countries(2001-2009)”P.6，available from www.oecd.org/dataoecd/42/59/36945707.pdf。\",\n \"[3] 见www.oecd.org/dataoecd/30/35/37931024.pdf。另见 Karyn Keenan,“export credit agencies and the international law of human rights”(Halifax Initiative, 2008)，第1页。\",\n \"[4] 见Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance (Environmental Defense Fund, 2009)，第5页，可查阅www.edf.org/documents/9593_coal-plants-report.pdf。另见Richard Wainwright, 编辑，Exporting Destruction: Export Credits, Illegal Logging and Deforestation (FERN, 2008)，第7段。\",\n \"[5] Delio E. Gianturco, Export Credit Agencies: The Unsung Giants of International Trade and Finance (Westport, Connecticut, Quorum Books, 2001)，第1页。\",\n \"[6] 20国集团关于《全球复苏与改革计划》的最后公报说，该集团各国领导人将确保今后两年至少提供2 500亿美元，以支助该集团各出口信贷和投资机构以及各多边开发银行提供贸易融资。见2009年4月2日20国集团领导人通过的《全球复苏与改革计划》。可查阅www.g20.org/ Documents/final-communique.pdf。另见2009年4月22日经合组织关于全球金融危机与出口信贷的声明。可查阅www.oecd.org/dataoecd/51/22/42624233.pdf。\",\n \"[7] Norlen等人，Unusual Suspects(见脚注1)，第1页。\",\n \"[8] 见Gabrielle Watson,编辑，Race to the Bottom, Take II: An Assessment of Sustainable Development Achievements of ECA-Supported Projects Two Years After OECD Common Approaches Rev. 6 (ECA-Watch, 2003)；Stephanie Fried and Titi Soentoro,编辑，A Brief Overview of Export Credit Agencies in the Asia-Pacific Region (Mumbai, World Social Forum, 2004)；Nicholas Hildyard,“Snouts in the trough: export credit agencies, corporate welfare and policy incoherence”,Corner House Briefing Paper No. 14 (Corner House,1999)，可在www.thecornerhouse.org.uk/resource/snouts-trough查阅；Keenan, “export credit agencies and the international law of human rights”，第1页。另见2010年3月大赦国际关于审查环境与官方支助出口信贷问题共同方式修订建议的呈文(POL 30/002/2010)，第1页。\",\n \"[9] 见OECD，Export Credit Financing Systems in OECD Member Countries and Non-member Economies：Introduction(2008)。可查阅www.oecd-ilibrary.org。\",\n \"[10] 关于经合组织成员和非成员国家出口信贷融资制度的信息,见www.oecd-ilibrary.org/trade/ export-credit-financing-systems-in-oecd-member-countries-and-non-member-economies_17273870。\",\n \"[11] Keenan,“Export credit agencies and the international law of human rights,”(见脚注2)，第2页。\",\n \"[12] Aaron Goldzimer,“Worse than the World Bank? Export credit agencies-the secret engine of globalization”，Backgrounder, vol. 9, No.1(Winter 2003)，第2页。\",\n \"[13] 世界银行，《全球发展融资：向最穷国提供资金》，(华盛顿特区，2002年)，第107页。\",\n \"[14] 另见关于适当食物权的第12号一般性意见，第36-37段；以及关于水权的第15号一般性意见，第31-34段。\",\n \"[15] 另见 Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports, 2004，第136页。\",\n \"[16] 一些条约机构促请各国采取步骤防止其管辖范围内的公司在国外犯下侵犯行为。可参见经济、社会和文化权利委员会关于社会保障权利的第19号一般性意见(E/C.12/GC/19)，第54段，以及消除种族歧视委员会关于美国第四次、第五次和第六次报告的结论性意见(CERD/C/USA/ CO/6)。\",\n \"[17] 在美国，作为出口信贷机构开展业务的海外私人投资公司设立了问责办公室，以评估和审查关于其所支助项目的投诉。该办公室向可能受项目重大、直接或不利影响的当地社区以及项目主办人提供投诉的途径，此途径独立于该公司的业务。见www.opic.gov/doing-business/ accountability。\",\n \"[18] 可参见Watson,编辑，Race to the Bottom, Take II(见脚注7)和Norlen等人，Unusual Suspects(见脚注1)。\",\n \"[19] Dieter Frisch,“Export Credit Insurance and the fight against international corruption,”Transparency International Working Paper (Transparency International, 1999)，可查阅www.odiousdebts.org/odiousdebts/index.cfm?DSP=content&ContentID=2366。关于在解决公司参与贿赂和腐败问题方面进展不足的情况，另见Transparency International, Transparency in Reporting on Anti-Corruption: A Report on Corporate Practices (2009)。\",\n \"[20] 见欧洲债务和发展网络，“Skeletons in the cupboard: illegitimate debt claims of the G7” (2007)。\",\n \"[21] Hildyard,“Snouts in the trough”(见脚注7)。\",\n \"[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia’s Export Credit Agency (Sydney, Australia, 2009)，第10段。\",\n \"[23] Wainwright,编辑，Exporting Destruction(见脚注3)，第12页。另见http://www.oekb.at/en/ export-services/transparency-compliance/environment/oecd-common-approaches/pages/default.aspx。\",\n \"[24] 人权与跨国公司和其他工商企业问题秘书长特别代表，“与出口信贷机构在尊重人权方面进行接触互动”，在经合组织出口信贷工作小组共同办法会议上的发言，巴黎，2010年6月23日。\",\n \"[25] 见大赦国际关于共同办法修订建议审查的呈文(见脚注7)，第4页。\",\n \"[26] Wainwright, 编辑，Exporting Destruction(见脚注3)，第15页。\",\n \"[27] 见Özgür Can和Sara L. Seck,“The legal obligations with respect to human rights and export credit agencies”，为ECA-Watch、Halifax Initiative和ESCR-Net编写的论文，2006年7月。可查阅www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf。\",\n \"[28] 见Keenan, “Export credit agencies and the international law of human rights”(见脚注2)，第3-7页。另见Can and Seck,“The legal obligations with respect to human rights and export credit agencies”，第4-8页。\",\n \"[29] 见Keenan,“Export credit agencies and the international law of human rights”，第10页；Can and Seck,“The legal obligations with respect to human rights and export credit agencies”，第12页。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda[1]","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights","Note by the Secretary-General","The Secretary-General has the honour to transmit to the Members of the General Assembly the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights, Cephas Lumina, submitted pursuant to Human Rights Council resolutions 7/4 and 16/14.","Report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights","Summary","Export credit and investment insurance agencies, commonly known as export credit agencies, are collectively the principal source of public financing for foreign corporate involvement in large-scale industrial and infrastructure projects in developing countries and emerging economies. In recent years, export credit agencies have assumed an increasingly important role in the global economy, particularly in the context of the global financial crisis.","Nevertheless, many projects supported by export credit agencies have harmful environmental, social and human rights consequences and are not financially viable. Numerous reports have documented human rights violations arising from or associated with projects supported by export credit agencies, including forced displacement of local populations, violation of the rights of indigenous peoples, denial of access to basic services and environmental damage. In addition, export credit agencies tend to be secretive and often lack transparency and accountability in their funding decisions and operations.","The present report, submitted in accordance with Human Rights Council resolutions 7/4 and 16/14, aims to focus attention on the adverse impact of export credit agency-supported activities on sustainable development and the realization of human rights in the countries where such activities are undertaken. It also examines the contribution of export credits to the debt burdens of those countries.","The report calls upon States to address the negative impact of export credit agency-supported projects and makes some recommendations on measures to ensure that the activities of export credit agencies do not undermine the international human rights and other obligations of their home and host States and do not contribute to human rights violations.","I. Introduction","1. Export credit and investment insurance agencies, generally known as export credit agencies, are collectively the largest source of public financing for foreign corporate involvement in large-scale industrial and infrastructure projects, particularly in the extractive industries sector, in developing countries.[2] In 2005, export credit agencies from the member countries of the Organization for Economic Cooperation and Development (OECD) provided $125 billion in credit, insurance, guarantee and interest support.[3] In 2007, export credit agencies collectively supported $1.4 trillion in trade and investment, equivalent to around 10 per cent of the world’s total export trade.[4] It is estimated that the activities undertaken by export credit agencies exceed those of all multilateral development banks and overseas development agencies and that they directly finance one in every eight dollars of world trade.[5]","2. In recent years, export credit agencies have assumed an increasingly important role in the global economy, particularly in the context of the global financial crisis. In April 2009, the Group of 20, at its summit meeting in London, and OECD member countries pledged to provide extra support for export credits to help increase international trade flows.[6]","3. Nevertheless, a significant number of the projects supported by export credit agencies, particularly large dams, oil pipelines, greenhouse gas-emitting coal and nuclear power plants, chemical facilities, mining projects and forestry and plantation schemes, have severe environmental, social and human rights impacts.[7] Numerous reports have documented the adverse human rights impact of projects supported by export credit agencies, including forced displacement of local populations, State repression, violations of the rights of indigenous peoples, denial of access to basic services and environmental damage.[8] In addition, export credit agencies often do not have adequate safeguards and due diligence, lack transparency and have been implicated in corruption.","4. The present report, submitted in accordance with Human Rights Council resolutions 7/4 and 16/14, seeks to focus attention on the adverse impact of export credit agency-supported projects on sustainable development and the realization of human rights in the countries in which such projects are implemented. It also examines the contribution of export credits to the debt burden of developing countries.","II. Overview of export credit agencies","A. What is export credit?","5. The term “export credit” refers to an insurance, guarantee or financing arrangement that enables a foreign buyer of exported capital goods and/or services to defer payment over a period of time (short term, usually under two years; medium term, usually from two to five years; and long term, usually over five years).[9] Export credit is the main type of facility provided by an export credit agency.","B. What are export credit agencies?","6. Export credit agencies are public entities that provide Government-backed or subsidized loans, guarantees, credits and insurance to private corporations from their home country to support exports and foreign investments, particularly in developing countries and emerging markets. Most developed countries have at least one export credit agency, which is usually an official or quasi-official agency of their Government.[10]","7. Although export credit agencies take various organizational forms, they are usually backed by a Government and operate in accordance with a Government mandate. An export credit agency can be: (a) a Government department, as is the case in the United Kingdom of Great Britain and Northern Ireland (Export Credits Guarantee Department) and the United States of America (Export-Import Bank); (b) an autonomous corporation, owned by the Government and independently managed, as in Australia (Export Finance and Insurance Corporation), Belgium (Office national du ducroire/Nationale Delcrederedienst) and Canada (Export Development Canada); or (c) a private company acting as a Government agent or a private-public partnership (where key decisions and risks are taken by the Government, while the company provides the services and undertakes the initial risk analysis), such as those in France (Compagnie française d’assurance pour le commerce extérieur), Germany (Euler Hermes Kreditversicherungs) and the Netherlands (Atradius).[11] These forms are reflected in the funding arrangements: from the national budget, from special Government funds, from loans and capital from the Government or from shares or bonds.","8. Export credit agencies provide support to domestic companies in different ways. They provide loans (directly or through a commercial bank) to foreign buyers to purchase goods and services originating in the agency’s home country, thus facilitating the export capacity of local corporations. Financial services offered by export credit agencies also take the form of guarantees for commercial loans and export credit insurance. To obtain a credit guarantee, exporters take out insurance with an export credit agency, which undertakes to pay the exporter should the importer default on payment. Export credit agencies’ insurance also cover the losses emanating from political risks, such as nationalization or expropriation without compensation, confiscation of investments, restrictions on conversion of dividends and transfer of profits, currency instability, economic crisis or war. Through the provision of guarantees and insurance, export credit agencies back transactions that would normally be refused in the private market owing to the economic or political risk associated with them.","9. Export credit agencies offer financing at lower interest rates, premiums and fees than those offered by the private markets, and their support entails minor economic requirements and limited (or no) compliance with environmental, social and transparency standards, thus facilitating easier, riskier and faster financial transactions. Nevertheless, for borrowers in developing countries, export credit agency-backed loans still have higher interest rates than many provided by other official sources, such as development banks or agencies.[12]","10. Finally, most official lenders, such as the World Bank, the International Monetary Fund and other development agencies, ostensibly aim to promote local economic growth, development and/or poverty reduction, but most export credit agencies do not have a development mandate at all. Their singular purpose is to promote their own countries’ exports or foreign investments.","III. Export credit agencies and sovereign debt","11. Export credit agency-related debt constitutes the largest component of developing country debt. According to the World Bank, export credit agencies’ total exposure to developing countries had reached an estimated $500 billion by the end of 2000, one quarter of those countries’ total long-term external debt.[13] A number of countries owe more than 50 per cent of their total debt to export credit agencies. According to 2001 figures from OECD, for example, around 64 per cent of the debt of Nigeria and 42 per cent of the debt of the Democratic Republic of Congo were owed to export credit agencies.","12. There are various ways in which export credits can contribute to a country’s sovereign debt. Export credit agencies can directly contribute to the sovereign debt burden when they lend to a Government or foreign public entity, or when they guarantee or insure commercial credits made available to a Government or public entity. If the debtor (the public entity) defaults on its payments to the export credit agency or to the creditor insured by the agency, the debt owed by the public entity becomes part of the country’s sovereign debt.","13. Export credits may also generate sovereign debt indirectly through sovereign counterguarantees. These guarantees seek to reduce the risks of transactions between a private investor (an exporter or provider of services, often from a developed country) and a foreign private recipient (an importer or recipient of an investment or project, often from a developing country). The exporter takes up insurance with its home country’s export credit agency for a transaction or project with considerable economic or political risk. In turn, the export credit agency requires a counterguarantee from the recipient’s Government. In the event of default or failure of the project, the export credit agency pays the private company for its loss and seeks reimbursement for its costs from the developing country Government against its counterguarantee. If the Government is unable to pay the counterguarantee, the amount owed is added to the country’s sovereign debt. The inherent financial or political risk of the transaction is thus transferred from the private investor to the taxpayers of the country of the private recipient.","14. Another way is when export credit agency projects involve Governments in large contingent liabilities even in circumstances where they do not borrow or guarantee a loan. Developing country Governments often have to offer extraordinarily generous terms to attract certain private investments such as those for power projects. The Government may have to sign a power purchase agreement guaranteeing the purchase of power at high dollar-denominated prices. Since such a purchase agreement is not a loan, it is not counted as debt, although it may have massive budgetary implications for the Government concerned.","15. Inevitably, export credit agency backing reduces the pressure on investors to exercise due diligence in assessing the risk of default or failure of a project. Irresponsible investing and export credit agency backing can therefore contribute to an increase in the debt of developing countries.","16. Governments that are unable to meet their debt obligations often need to reschedule their debt repayments in international forums, such as the Paris Club. For the least developed countries, export credit-related debt is often not included in negotiations on debt relief or cancellation. Currently, all export credit debt that is cancelled after debt rescheduling agreements in the Paris Club may be reported as official development assistance. Thus, the cancellation of export credit agency debts is often funded by official aid budgets. However, transactions that result in export credit debt do not necessarily serve development purposes; export credits typically support environmentally and socially harmful projects.","17. Civil society organizations have expressed concern that some of the debt emanating from export credit agency transactions with developing countries may be odious or illegitimate (see A/64/289) and should therefore be cancelled. The independent expert shares this concern and urges debtor countries to conduct transparent public audits of all export credit agency debt in order to ascertain its nature. In keeping with the principle of shared responsibility of creditors and debtors for preventing and resolving unsustainable debt situations, as underscored in the Monterrey Consensus of the International Conference on Financing for Development, he also calls upon the home States of export credit agencies to undertake transparent public audits of the lending portfolios of their agencies.","IV. Export credit agencies and human rights","A. Human rights obligations of export credit agencies","18. States bear primary responsibility for the realization of human rights. In this regard, they have three essential duties: to respect, protect and fulfil the human rights of individuals or groups within their territory or jurisdiction. The duty to protect entails taking measures to ensure at all times that third parties do not violate human rights. Thus, States must take appropriate steps to prevent, investigate, punish and redress human rights abuses by third parties through effective policies, legislation, regulation and adjudication (see A/HRC/17/31, annex, principle 1).","19. It is increasingly recognized that States’ human rights obligations can extend beyond borders in certain circumstances. For example, the Committee on Economic, Social and Cultural Rights has underscored the legal obligations of States to respect economic, social and cultural rights beyond their jurisdiction and to avoid actions that have the effect of undermining them. In its general comment No. 14, the Committee has stated that to comply with their international obligations, States parties have to respect the enjoyment of the right to health in other countries and to prevent third parties from violating that right in other countries, if they are able to influence these third parties by way of legal or political means, in accordance with the Charter of the United Nations and applicable international law (E/C.12/2000/4, para. 39).[14] In a similar vein, the Human Rights Committee, in its general comment No. 31, has stated that a State party must respect and ensure the rights laid down in the Covenant to anyone within the power or effective control of that State party, even if not situated within its territory (CCPR/C/21/Rev.1/Add.13, para. 10).[15]","20. Thus, a State whose actions undermine human rights abroad or whose failure to regulate national actors results in violations in other countries is liable in respect of those violations.[16] In addition, under article 2.1 of the International Covenant on Economic, Social and Cultural Rights, States have an obligation to provide international assistance and cooperation with a view to achieving progressively the realization of the rights elaborated in the Covenant.","21. While the State where an export credit agency-backed project is implemented bears primary responsibility for the protection of human rights of the local population, the agencies’ home States are responsible for the regulation and supervision of the activities carried out by their national export credit agencies (whether owned, mandated or regulated by Government) that had an adverse effect on the enjoyment of human rights of the population of the host State. As stated by the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, States should take steps to protect against human rights abuses by business enterprises that are owned or controlled by the State or that receive substantial support and services from State agencies such as export credit agencies and official investment insurance or guarantee agencies, including, where appropriate, by requiring human rights due diligence (A/HRC/17/31, annex, principle 4).","22. However, Governments rarely exercise due diligence concerning the actions of their national export credit agencies. Indeed, the agencies’ operational policies and the national laws establishing them typically never include references to human rights standards. Neither do export credit agencies have in place a clear policy on the prevention of human rights abuses or on due diligence to identify potential harmful effects of projects on human rights and to mitigate them. Many export credit agencies’ home States also lack effective mechanisms to adjudicate claims of human rights abuses resulting from projects backed by such agencies.[17] Moreover, impact assessments of human rights violations of export credit agency-backed operations are rarely undertaken. In addition, all transactions and projects supported by export credit agencies are often protected by confidentiality provisions that prevent their publication among the population and the potentially affected communities, thus undermining the human rights principles of transparency and participation.","23. As explained above, export credit agency-supported activities can have serious consequences on a country’s debt burden and sustainable development and, consequently, on the lives of people. States should therefore ensure that the projects that they support through their export credit agencies do not result in or contribute to human rights abuses. When a Government, directly or through its export credit agency, fails to exercise due diligence to protect human rights from the potentially harmful behaviour of non-State actors, it is in breach of its obligations under international human rights law.","24. For export credit agencies to operate with due diligence, they should carry out and publicize human rights impact assessments, in consultation with the potentially affected population, before deciding to support any project. They should also continue to conduct independent monitoring throughout the life of the project and reassess the human rights risks. To ensure that potential victims receive adequate attention and redress, export credit agencies should put in place an independent, fair and non-discriminatory grievance mechanism. National legislation establishing export credit agencies and their operational policies should also refer to human rights standards. Export credit agencies should assess all projects against human rights standards and establish clear due diligence requirements in their policies and contracts with clients.","25. Private corporations that are financially supported by export credit agencies also bear responsibility for the human rights impact of their activities. It is noteworthy in this regard that the Human Rights Council, in its resolution 8/7, underscores the responsibility of transnational corporations and other business enterprises to respect all human rights (see also Human Rights Council resolution 17/4). It is also notable that the Committee on Economic, Social and Cultural Rights has stressed that national and transnational private actors should pursue their activities within the framework of a code of conduct conducive to the respect of those rights (E/C.12/1999/5, para. 20).","26. Private corporations have a responsibility to the community to ensure that their activities do not violate human rights, either directly or through complicit association with abusers, and to seek to prevent or mitigate adverse human rights impacts (A/HRC/17/31, annex, principle 13). It is notable that the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises has stressed that, in addition to compliance with national laws, corporations have a basic responsibility to respect human rights, as this is the basic expectation that society has of business (see A/HRC/11/13).","27. Such responsibility requires a policy commitment to comply with human rights standards grounded in core international human rights instruments, specific human rights due diligence and the provision of grievance mechanisms to victims of human rights abuses. Corporate due diligence should entail a number of steps that companies must take to become aware of, prevent, mitigate and address adverse human rights impacts. To conduct their businesses with due diligence, companies must consider the context in which they operate; the impact of their activities, by conducting human rights impact assessments; and the behaviour of the relationships connected to those activities, to avoid complicity in human rights abuses (A/HRC/17/31, annex, principle 17). They should also engage with potentially affected communities through continuous consultation and the provision of information.","28. When abuses have already taken place, grievance mechanisms should be provided to the victims. The Special Representative has emphasized that access to remedies plays an important role in corporate responsibility to respect human rights. Corporations should establish grievance mechanisms such as hotlines for raising complaints, advisory services for victims and expert mediators.","B. Impact of export credit agency activities on human rights","29. Although it is difficult to obtain accurate information on export credit agency-backed projects owing to the secretive manner in which most of the agencies operate, numerous reports have documented the harmful impact of those projects on human rights. According to the reports, corporate activities supported by export credit agencies have on numerous occasions resulted in human rights violations, such as harassment of ethnic minorities, occupation of indigenous land, forced evictions and resettlement, lack of compensation, destruction of rural livelihoods, violations of labour rights, threats to life and bodily integrity, increased militarization, State repression, exclusion of women from consultation, restrictions on freedom of expression and association, insufficient participation of and consultation with people affected by the project and restrictions on access to justice.[18]","C. Other concerns","30. The activities supported by export credit agencies have also given rise to concerns about the lack of transparency and accountability. Most such agencies have resisted calls by civil society organizations to publish information, claiming that they are exempt from transparency requirements owing to the commercial and international sensitivity of their activities and the confidentiality rule that protects them.","31. Although the availability of information on their operations varies from country to country, export credit agencies lag behind the transparency and accountability mechanisms of other public agencies. This undermines any attempts to ensure that the agencies provide responsible credit, behave with due diligence and respect human rights and environmental standards. Indeed, most of them are not obliged to disclose information about the potential adverse social and environmental impact of the projects that they support. Some agencies release the relevant information only after the transaction has been approved and subject to authorization from the client.","32. The lack of transparency and accountability of export credit agency operations puts home Governments and, indirectly, their taxpayers, at risk of complicity in supporting projects that may result in human rights violations, connivance with corrupt practices, involvement in the activities of unaccountable regimes and environmental degradation. As public or semi-public entities, export credit agencies have a responsibility to inform taxpayers of any such risks.","33. Reports by civil society organizations indicate that projects supported by export credit agencies are known to have been implicated in corruption cases. According to Transparency International, bribing foreign officials in order to secure contracts for their exports has become a widespread practice in industrialized countries.[19] The bribes are treated as commissions and are included in the contract value covered by the guarantee or in the indemnification of the exporter where insurances come into play.¹⁸","34. Export credit agency-backed projects are also known to have supported the activities of unaccountable regimes. For example, loans and guarantees were provided by the Export-Import Bank of the United States for the Bataan Nuclear Power Plant project during the Ferdinand Marcos regime in the Philippines. The German export credit agency provided insurance to support a deal with Indonesia, during the Suharto regime, to purchase and modernize German vessels, which were eventually used in internal armed conflict in Indonesia.[20] Similarly, the Export Credits Guarantee Department of the United Kingdom of Great Britain and Northern Ireland agreed to underwrite a guarantee on the sale of Hawk fighter jets to the Indonesian Air Force during the Suharto regime in 1993 and 1996. The jets were reported to have been used by the Indonesian military against villages in East Timor in 1999.[21]","35. The provision of export credit agency loans and guarantees for extractive industry projects such as logging, mining, gas or oil can take an enormous toll on the environment of the region where the project is implemented and on the lives of their communities. They risk creating environmental degradation; land, air and water pollution; destruction of habitats; greenhouse gas emissions, deforestation, desertification and soil degradation; long-term fossil fuel dependence; and ultimately, global climate change. In turn, these environmental changes may affect the health of the local population, increasing the risk of cancer, skin and pulmonary disease and other health-related problems. They may also affect people’s access to sources of livelihood, reducing their food security, and result in the displacement of local communities, particularly of indigenous peoples, from their traditional homelands.","36. As stated above, export credit agencies play an important role in the global economy. This role entails an additional responsibility for agencies supporting projects in developing countries to conduct their businesses with transparency, accountability and due diligence and in strict compliance with internationally agreed standards on human rights and environmental issues. It is regrettable that as public finance bodies supporting projects in developing countries, most export credit agencies have no development mandate and their sole mission is to promote investments and exports of private corporations, often to the detriment of human rights and sustainable development in the countries where they support projects.[22]","37. As intimated in his report on his mission to Australia (A/HRC/17/37/Add.1), the independent expert fully supports the view that the absence of transparency requirements raises serious questions about the accountability of export credit agencies to the taxpayers of their home States and to citizens of the developing countries where they support projects. Loans underwritten by an export credit agency’s home Government or guaranteed by the Governments of the countries where export credit agency-supported projects are being implemented are matters of public concern. It is therefore reasonable to expect a public body or a publicly funded body to abide by transparency requirements and operate with clear accountability mechanisms.","38. The independent expert is of the view that export credit agencies should be required to publicly disclose information concerning their activities, including project assessment, decision-making and implementation, and to undertake assessments of the human rights impact of their financing decisions, in addition to environmental and social impact assessments. Any limitations to the disclosure of information should be clearly and narrowly defined. This would allow export credit agencies to make responsible and informed decisions about the projects they support.","39. Besides the adoption of transparency and accountability mechanisms as part of agencies’ policies and procedures, State entities such as national legislatures or national audit offices have a responsibility to undertake ongoing monitoring of the activities of export credit agencies to ensure that their activities do not undermine their country’s foreign aid and development policies or their international human rights obligations. These human rights concerns require further investigation.","V. International regulation of export credit agency activities","40. Within OECD, export credit agencies are governed through the Arrangement on Officially Supported Export Credits. The Arrangement establishes a legal and financial framework for export credit provision, with the aim of bringing discipline and transparency to export credit operations. The Arrangement focuses mainly on such issues as minimum interest rates and down payments, standardized repayment schedules, common reporting procedures, maximum duration of credits and discipline and transparency in the use of tied aid.","41. In addition, the OECD Working Party on Export Credits and Credit Guarantees (Export Credit Group) provides a forum for the discussion of non-fiscal issues, such as corruption, environment and competition, the negotiation of non-binding common guiding principles and improved cooperation among competitors.","42. International cooperation on export credit policy is also undertaken by the International Union of Credit and Investment Insurers, known as the Berne Union. However, its role is limited to exchanging information on foreign buyers to reduce commercial risk. The Berne Union gathers together export credit agencies not only from OECD countries but also from some emerging economies. It also includes private entities providing export credits and investment insurance without a public mandate. The guiding principles of the Berne Union, which apply to all members, contain vague references to such issues as environmental sensitivity, combating of corruption and promotion of transparency.","43. Most OECD export credit agencies have adopted policies regarding the environmental and social impact of their activities. Such policies typically require environmental impact assessments.","44. In 2003, OECD adopted the Export Credit Group’s recommendation on common approaches on environment and officially supported export credits, known as the Common Approaches. The Common Approaches require Governments and export credit agencies to review projects for their potential environmental impact and to evaluate them against international standards. After a review in June 2007, OECD updated the recommendation on the Common Approaches, calling for more public disclosure of information and increased exchange of information to promote a level playing field among agencies. The rules also require compliance with environmental standards in the host country, the screening and classification of potential environmental impact and the carrying out of environmental impact assessments for projects with potential significant adverse environmental impact, as well as the screening of projects against the World Bank safeguard policies or, where appropriate, the International Finance Corporation performance standards.","45. However, the Common Approaches have a number of drawbacks. First, they are a non-binding recommendation. Second, they contain a derogation clause (article 13) that allows member export credit agencies, should they so decide, to opt out of applying any standards at all, provided they report and justify this to the Export Credit Group.[23] Third, the Common Approaches currently apply only to officially supported export credits with a repayment term of two years or more.","46. It is notable that the Common Approaches make no reference to human rights, which has prompted the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises to recommend that the Common Approaches clearly acknowledge that human rights are a critical element in the social sustainability of enterprises and markets and explicitly recognize the export credit agencies’ role in fostering corporate responsibility to respect human rights.[24] The Special Representative has further suggested that OECD consider building export credit agency capacity on human rights by establishing a human rights working group to develop tools suitable for export credit agencies in undertaking human rights due diligence and help build in knowledge base and competency.²³ In addition, Amnesty International has recommended that export credit agency-supported projects be assessed against international human rights standards in order to prevent projects from causing or contributing to human rights violations.[25] The independent expert fully supports these recommendations.","47. With regard to corruption, in 2000, the Export Credit Group issued an action statement on bribery and officially supported export credits, which was revised in 2006 and later converted into an OECD recommendation. The recommendation recognizes the role of export credit agencies in combating corruption and recommends appropriate measures to deter bribery in their international operations, including informing exporters requesting credit about the legal consequences of bribery, requesting a declaration that the exporters have not been engaged in bribery, requesting information on past corruption charges, requiring the disclosure of information on agents’ fees and commissions, checking the record of potential clients on the debarment lists of international financial institutions and suspending a project where there is evidence of bribery.[26]","48. Despite these limited efforts, the operations of export credit agencies continue to be largely unregulated at the global level, and standards on and regulation of transparency and environmental and human rights effects are largely insufficient.","VI. State responsibility for the wrongful acts of export credit agencies","49. As officially supported agencies, export credit agencies can be distinguished from purely private financial corporations. Whether Government-owned or Government-mandated, they perform their functions under national laws or regulations that prescribe their mandates. All export credit agencies carry out some transactions on their Government’s behalf, with its support and under its control. This establishes a legal nexus between the State and the agency.[27] Private-public consortia of export credit agencies are also controlled by the State through the authorization, funding and regulation of their operations. As a consequence of this legal nexus, it can be argued that any violation of international law committed by an export credit agency triggers the responsibility of its home State and the wrongful act committed by the export credit agency will be attributable to that State.","50. To support this view, it is worth recalling that according to articles 4 and 5 of the International Law Commission’s draft articles on Responsibility of States for internationally wrongful acts, the conduct of any organ of the State, whatever functions or position it holds, and of any non-State organ empowered by the law of that State to exercise certain Governmental authority and acting in that capacity in the particular instance will be attributable to that State under international law. Moreover, for the purposes of international responsibility and in line with the principle of unity of the State, the acts or omissions of any unit of the State can be regarded as an act of the State (A/56/10). This means that the wrongful actions and omissions of export credit agencies that are organs of the State are attributable to the State under the international law of State responsibility. Export credit agencies established as State agencies or Government departments are clearly public authorities, and as such the State bears responsibility for their actions. They are wholly owned by the State and operate under its control. Similarly, export credit agencies established as autonomous corporations owned by the State may be independently managed, but their activities are ultimately overseen by a Government department such as the ministry of trade or finance. Accordingly, this second category of export credit agencies may also be considered as being under State control. Although private companies or private-public consortia belonging to the third category possess more autonomy, the State retains some control over their operations through regulation, funding, approval of large disbursements, oversight or the establishment of standards and procedures. In many cases, ultimate decisions regarding the operations of private or public-private corporations require the approval of a ministry or ministerial committee. Overall, the implication of the State in the activities of export credit agencies is a common factor and cannot be taken too lightly.","51. In line with the law of State responsibility, Governments must ensure that national export credit agencies do not violate international legal obligations, including international human rights law. Where an export credit agency does not consider or take steps to mitigate the human rights impact of the projects of private companies they support, they risk triggering the responsibility of the State for violating international law obligations should abuses occur (A/HRC/17/31, annex, principle 4). States’ duty under international law also requires them to ensure that their actions or those of their organs, including export credit agencies, do not cause harm to another State.","52. A State also bears international responsibility for complicity in the wrongful acts of another State if it had knowledge of the circumstances of the wrongful act (A/56/10, article 16). Accordingly, if an export credit agency supports the project of a corporation in a country that allows the corporation to operate in violation of international human rights law, the home State could be responsible for assisting the wrongful act of the host State.[28]","53. The commentary on part one, chapter II, of the draft articles stresses that a State may be responsible for the effects of the conduct of private parties if it failed to take necessary measures to prevent those effects (A/56/10). As mentioned above, under international human rights law, States have a duty to regulate the activities of third parties to protect against human rights abuses. Similarly, in the context of the responsibility of transnational corporate activities, States are under the obligation to protect against human rights abuses of home corporations in foreign countries.[29]","VII. Conclusions and recommendations","54. Projects supported by export credit agencies can have an adverse impact on sustainable development and human rights in the countries in which they are implemented. Often, export credit agencies lack transparency and do not adequately incorporate environmental, social and human rights considerations into their funding decisions. Under the international law of State responsibility, officially supported export credit agencies are organs or agents of the home State, and their wrongful acts or omissions may be attributable to that State. As such, home States are under an obligation to regulate their activities. In addition, export credit agencies have a responsibility to respect human rights.","55. In order to ensure that export credit agency-supported activities do not undermine international human rights obligations, contribute to violations of human rights, hamper sustainable development in the countries in which they are being undertaken or contribute to the debt burdens of developing countries, the independent expert recommends that:","(a) States adopt measures to ensure that their export credit agencies adopt and implement stronger environmental and social safeguards that are consistent with international human rights standards;","(b) States ensure that their export credit agencies improve transparency and accountability by implementing disclosure policies that require, inter alia, public disclosure of all information on the environmental, social, human rights and development impact of agency-supported transactions and that such information is made accessible to the affected communities;","(c) States take measures, including adopting legislation, to ensure that their export credit agencies do not support projects that cause or contribute to human rights violations, and in this regard, that they ensure that their export credit agencies discharge their obligation to respect human rights by adopting a human rights due diligence framework through which they can assess the actual and potential negative human rights impact and address risks effectively;","(d) States ensure access to effective national legal remedies for those affected by export credit agency-supported projects and exports, including the victims of human rights violations arising from export credit agency-supported activities;","(e) The implementation of the OECD Common Approaches in environmental, social and human rights screening policies of export credit agencies become mandatory;","(f) The international community adopt a moratorium on the repayment of current export credit agency debt for the poorest countries, much of which has been incurred for economically unproductive purposes, debtor countries conduct transparent public audits of all export credit agency claims to determine their legitimacy in conformity with the odious debts doctrine, and all debt found to be contrary to the doctrine be unconditionally cancelled.","[1] * A/66/150.","[2] See Doug Norlen, Rory Cox, Miho Kim and Catriona Glazebrook, eds., Unusual Suspects: Unearthing the Shadowy World of Export Credit Agencies (Oakland, California, Pacific Environment, 2002), p. 1; Bruce Rich, “Exporting destruction”, The Environmental Forum, September/October 2000; Malcolm Stephens, The Changing Role of Export Credit Agencies (Washington, D.C., International Monetary Fund, 1999), p. 63; Andrew M. Moravcsik, “Disciplining trade finance: the OECD export credit arrangement”, International Organization, vol. 43, No. 1 (Winter 1989), p. 176; OECD, “Review of official export credit commitments to IDA-only countries (2001-2009)”, p. 6, available from www.oecd.org/dataoecd/42/59/ 36945707.pdf.","[3] See www.oecd.org/dataoecd/30/35/37931024.pdf. See also Karyn Keenan, “Export credit agencies and the international law of human rights” (Halifax Initiative, 2008), p. 1.","[4] See Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance (Environmental Defense Fund, 2009), p. 5, available from www.edf.org/documents/9593_coal-plants-report.pdf. See also Richard Wainwright, ed., Exporting Destruction: Export Credits, Illegal Logging and Deforestation (FERN, 2008), p. 7.","[5] Delio E. Gianturco, Export Credit Agencies: The Unsung Giants of International Trade and Finance (Westport, Connecticut, Quorum Books, 2001), p. 1.","[6] The final communiqué of the Group of 20 on the Global Plan for Recovery and Reform states that its leaders will ensure the availability of at least $250 billion over the next two years to support trade finance through the Group’s export credit and investment agencies and through the multilateral development banks. See the Global Plan for Recovery and Reform, adopted by the leaders of the Group of 20 on 2 April 2009. Available from www.g20.org/Documents/ final-communique.pdf. See also the statement of OECD on the global financial crisis and export credits dated 22 April 2009. Available from www.oecd.org/dataoecd/51/22/42624233.pdf.","[7] Norlen et al., Unusual Suspects (see footnote 1), p. 1.","[8] See Gabrielle Watson, ed., Race to the Bottom, Take II: An Assessment of Sustainable Development Achievements of ECA-Supported Projects Two Years After OECD Common Approaches Rev. 6 (ECA Watch, 2003); Stephanie Fried and Titi Soentoro, eds., A Brief Overview of Export Credit Agencies in the Asia-Pacific Region (Mumbai, World Social Forum, 2004); Nicholas Hildyard, “Snouts in the trough: export credit agencies, corporate welfare and policy incoherence”, Corner House Briefing Paper No. 14 (Corner House, 1999), available from www.thecornerhouse.org.uk/resource/snouts-trough; Keenan, “Export credit agencies and the international law of human rights”, p. 1. See also the submission of Amnesty International on the review of the revised recommendation on common approaches on the environment and officially supported export credits in March 2010 (POL 30/002/2010), p. 1.","[9] See OECD, Export Credit Financing Systems in OECD Member Countries and Non-member Economies: Introduction (2008). Available from www.oecd-ilibrary.org.","[10] For information on export credit financing systems in OECD member and non-member countries, see www.oecd-ilibrary.org/trade/export-credit-financing-systems-in-oecd-member-countries-and-non-member-economies_17273870.","[11] Keenan, “Export credit agencies and the international law of human rights” (see footnote 2), p. 2.","[12] Aaron Goldzimer, “Worse than the World Bank? Export credit agencies — the secret engine of globalization”, Backgrounder, vol. 9, No. 1 (Winter 2003), p. 2.","[13] World Bank, Global Development Finance: Financing the Poorest Countries (Washington, D.C., 2002), p. 107.","[14] See also general comment No. 12 on the right to adequate food, paras. 36 and 37; and general comment No. 15 on the right to water, paras. 31-34.","[15] See also Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports 2004, p. 136.","[16] Some treaty bodies have urged States parties to take steps to prevent companies under their jurisdiction from committing abuses abroad. See, for example, general comment No. 19 of the Committee on Economic, Social and Cultural Rights on the right to social security (E/C.12/GC/19), para. 54, and the Concluding Observations of the Committee on the Elimination of Racial Discrimination on the fourth, fifth and sixth periodic reports of the United States (CERD/C/USA/CO/6).","[17] In the United States, the Overseas Private Investment Corporation, which operates as an export credit agency, has established an Office of Accountability to assess and review complaints about the projects that it supports. The Office offers local communities, which may be materially, directly or adversely affected by a project, and project sponsors, a means of raising complaints, independently from the Corporation’s operations. See www.opic.gov/doing-business/ accountability.","[18] See, for instance, Watson, ed., Race to the Bottom, Take 11 (see footnote 7) and Norlen et al., Unusual Suspects (see footnote 1).","[19] Dieter Frisch, “Export credit insurance and the fight against international corruption”, Transparency International Working Paper (Transparency International, 1999). Available from www.odiousdebts.org/odiousdebts/index.cfm?DSP=content&ContentID=2366. On insufficient progress in tackling corporate involvement in bribery and corruption, see also Transparency International, Transparency in Reporting on Anti-Corruption: A Report on Corporate Practices (2009).","[20] See European Network on Debt and Development, “Skeletons in the cupboard: illegitimate debt claims of the G7” (2007).","[21] Hildyard, “Snouts in the trough” (see footnote 7).","[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia’s Export Credit Agency (Sydney, Australia, 2009), p. 10.","[23] Wainwright, ed., Exporting Destruction (see footnote 3), p. 12. See also http://www.oekb.at/ en/export-services/transparency-compliance/environment/oecd-common-approaches/pages/ default.aspx.","[24] Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, John Ruggie, “Engaging export credit agencies in respecting human rights”, statement at the OECD Export Credit Group Common Approaches Meeting, Paris, 23 June 2010.","[25] See the submission of Amnesty International on the review of the revised recommendation on the common approaches (see footnote 7), p. 4.","[26] Wainwright, ed., Exporting Destruction (see footnote 3), p. 15.","[27] See Özgür Can and Sara L. Seck, “The legal obligations with respect to human rights and export credit agencies”, paper prepared for ECA Watch, Halifax Initiative and ESCR-Net, July 2006. Available from www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf.","[28] See Keenan, “Export credit agencies and the international law of human rights” (see footnote 2), pp. 3-7. See also Can and Seck, “The legal obligations with respect to human rights and export credit agencies”, pp. 4-8.","[29] See Keenan, “Export credit agencies and the international law of human rights”, p. 10; Can and Seck, “The legal obligations with respect to human rights and export credit agencies”, p. 12."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda[1]\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the Members of the General Assembly the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights, Cephas Lumina, submitted pursuant to Human Rights Council resolutions 7/4 and 16/14.\",\n \"Report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights\",\n \"Summary\",\n \"Export credit and investment insurance agencies, commonly known as export credit agencies, are collectively the principal source of public financing for foreign corporate involvement in large-scale industrial and infrastructure projects in developing countries and emerging economies. In recent years, export credit agencies have assumed an increasingly important role in the global economy, particularly in the context of the global financial crisis.\",\n \"Nevertheless, many projects supported by export credit agencies have harmful environmental, social and human rights consequences and are not financially viable. Numerous reports have documented human rights violations arising from or associated with projects supported by export credit agencies, including forced displacement of local populations, violation of the rights of indigenous peoples, denial of access to basic services and environmental damage. In addition, export credit agencies tend to be secretive and often lack transparency and accountability in their funding decisions and operations.\",\n \"The present report, submitted in accordance with Human Rights Council resolutions 7/4 and 16/14, aims to focus attention on the adverse impact of export credit agency-supported activities on sustainable development and the realization of human rights in the countries where such activities are undertaken. It also examines the contribution of export credits to the debt burdens of those countries.\",\n \"The report calls upon States to address the negative impact of export credit agency-supported projects and makes some recommendations on measures to ensure that the activities of export credit agencies do not undermine the international human rights and other obligations of their home and host States and do not contribute to human rights violations.\",\n \"I. Introduction\",\n \"1. Export credit and investment insurance agencies, generally known as export credit agencies, are collectively the largest source of public financing for foreign corporate involvement in large-scale industrial and infrastructure projects, particularly in the extractive industries sector, in developing countries.[2] In 2005, export credit agencies from the member countries of the Organization for Economic Cooperation and Development (OECD) provided $125 billion in credit, insurance, guarantee and interest support.[3] In 2007, export credit agencies collectively supported $1.4 trillion in trade and investment, equivalent to around 10 per cent of the world’s total export trade.[4] It is estimated that the activities undertaken by export credit agencies exceed those of all multilateral development banks and overseas development agencies and that they directly finance one in every eight dollars of world trade.[5]\",\n \"2. In recent years, export credit agencies have assumed an increasingly important role in the global economy, particularly in the context of the global financial crisis. In April 2009, the Group of 20, at its summit meeting in London, and OECD member countries pledged to provide extra support for export credits to help increase international trade flows.[6]\",\n \"3. Nevertheless, a significant number of the projects supported by export credit agencies, particularly large dams, oil pipelines, greenhouse gas-emitting coal and nuclear power plants, chemical facilities, mining projects and forestry and plantation schemes, have severe environmental, social and human rights impacts.[7] Numerous reports have documented the adverse human rights impact of projects supported by export credit agencies, including forced displacement of local populations, State repression, violations of the rights of indigenous peoples, denial of access to basic services and environmental damage.[8] In addition, export credit agencies often do not have adequate safeguards and due diligence, lack transparency and have been implicated in corruption.\",\n \"4. The present report, submitted in accordance with Human Rights Council resolutions 7/4 and 16/14, seeks to focus attention on the adverse impact of export credit agency-supported projects on sustainable development and the realization of human rights in the countries in which such projects are implemented. It also examines the contribution of export credits to the debt burden of developing countries.\",\n \"II. Overview of export credit agencies\",\n \"A. What is export credit?\",\n \"5. The term “export credit” refers to an insurance, guarantee or financing arrangement that enables a foreign buyer of exported capital goods and/or services to defer payment over a period of time (short term, usually under two years; medium term, usually from two to five years; and long term, usually over five years).[9] Export credit is the main type of facility provided by an export credit agency.\",\n \"B. What are export credit agencies?\",\n \"6. Export credit agencies are public entities that provide Government-backed or subsidized loans, guarantees, credits and insurance to private corporations from their home country to support exports and foreign investments, particularly in developing countries and emerging markets. Most developed countries have at least one export credit agency, which is usually an official or quasi-official agency of their Government.[10]\",\n \"7. Although export credit agencies take various organizational forms, they are usually backed by a Government and operate in accordance with a Government mandate. An export credit agency can be: (a) a Government department, as is the case in the United Kingdom of Great Britain and Northern Ireland (Export Credits Guarantee Department) and the United States of America (Export-Import Bank); (b) an autonomous corporation, owned by the Government and independently managed, as in Australia (Export Finance and Insurance Corporation), Belgium (Office national du ducroire/Nationale Delcrederedienst) and Canada (Export Development Canada); or (c) a private company acting as a Government agent or a private-public partnership (where key decisions and risks are taken by the Government, while the company provides the services and undertakes the initial risk analysis), such as those in France (Compagnie française d’assurance pour le commerce extérieur), Germany (Euler Hermes Kreditversicherungs) and the Netherlands (Atradius).[11] These forms are reflected in the funding arrangements: from the national budget, from special Government funds, from loans and capital from the Government or from shares or bonds.\",\n \"8. Export credit agencies provide support to domestic companies in different ways. They provide loans (directly or through a commercial bank) to foreign buyers to purchase goods and services originating in the agency’s home country, thus facilitating the export capacity of local corporations. Financial services offered by export credit agencies also take the form of guarantees for commercial loans and export credit insurance. To obtain a credit guarantee, exporters take out insurance with an export credit agency, which undertakes to pay the exporter should the importer default on payment. Export credit agencies’ insurance also cover the losses emanating from political risks, such as nationalization or expropriation without compensation, confiscation of investments, restrictions on conversion of dividends and transfer of profits, currency instability, economic crisis or war. Through the provision of guarantees and insurance, export credit agencies back transactions that would normally be refused in the private market owing to the economic or political risk associated with them.\",\n \"9. Export credit agencies offer financing at lower interest rates, premiums and fees than those offered by the private markets, and their support entails minor economic requirements and limited (or no) compliance with environmental, social and transparency standards, thus facilitating easier, riskier and faster financial transactions. Nevertheless, for borrowers in developing countries, export credit agency-backed loans still have higher interest rates than many provided by other official sources, such as development banks or agencies.[12]\",\n \"10. Finally, most official lenders, such as the World Bank, the International Monetary Fund and other development agencies, ostensibly aim to promote local economic growth, development and/or poverty reduction, but most export credit agencies do not have a development mandate at all. Their singular purpose is to promote their own countries’ exports or foreign investments.\",\n \"III. Export credit agencies and sovereign debt\",\n \"11. Export credit agency-related debt constitutes the largest component of developing country debt. According to the World Bank, export credit agencies’ total exposure to developing countries had reached an estimated $500 billion by the end of 2000, one quarter of those countries’ total long-term external debt.[13] A number of countries owe more than 50 per cent of their total debt to export credit agencies. According to 2001 figures from OECD, for example, around 64 per cent of the debt of Nigeria and 42 per cent of the debt of the Democratic Republic of Congo were owed to export credit agencies.\",\n \"12. There are various ways in which export credits can contribute to a country’s sovereign debt. Export credit agencies can directly contribute to the sovereign debt burden when they lend to a Government or foreign public entity, or when they guarantee or insure commercial credits made available to a Government or public entity. If the debtor (the public entity) defaults on its payments to the export credit agency or to the creditor insured by the agency, the debt owed by the public entity becomes part of the country’s sovereign debt.\",\n \"13. Export credits may also generate sovereign debt indirectly through sovereign counterguarantees. These guarantees seek to reduce the risks of transactions between a private investor (an exporter or provider of services, often from a developed country) and a foreign private recipient (an importer or recipient of an investment or project, often from a developing country). The exporter takes up insurance with its home country’s export credit agency for a transaction or project with considerable economic or political risk. In turn, the export credit agency requires a counterguarantee from the recipient’s Government. In the event of default or failure of the project, the export credit agency pays the private company for its loss and seeks reimbursement for its costs from the developing country Government against its counterguarantee. If the Government is unable to pay the counterguarantee, the amount owed is added to the country’s sovereign debt. The inherent financial or political risk of the transaction is thus transferred from the private investor to the taxpayers of the country of the private recipient.\",\n \"14. Another way is when export credit agency projects involve Governments in large contingent liabilities even in circumstances where they do not borrow or guarantee a loan. Developing country Governments often have to offer extraordinarily generous terms to attract certain private investments such as those for power projects. The Government may have to sign a power purchase agreement guaranteeing the purchase of power at high dollar-denominated prices. Since such a purchase agreement is not a loan, it is not counted as debt, although it may have massive budgetary implications for the Government concerned.\",\n \"15. Inevitably, export credit agency backing reduces the pressure on investors to exercise due diligence in assessing the risk of default or failure of a project. Irresponsible investing and export credit agency backing can therefore contribute to an increase in the debt of developing countries.\",\n \"16. Governments that are unable to meet their debt obligations often need to reschedule their debt repayments in international forums, such as the Paris Club. For the least developed countries, export credit-related debt is often not included in negotiations on debt relief or cancellation. Currently, all export credit debt that is cancelled after debt rescheduling agreements in the Paris Club may be reported as official development assistance. Thus, the cancellation of export credit agency debts is often funded by official aid budgets. However, transactions that result in export credit debt do not necessarily serve development purposes; export credits typically support environmentally and socially harmful projects.\",\n \"17. Civil society organizations have expressed concern that some of the debt emanating from export credit agency transactions with developing countries may be odious or illegitimate (see A/64/289) and should therefore be cancelled. The independent expert shares this concern and urges debtor countries to conduct transparent public audits of all export credit agency debt in order to ascertain its nature. In keeping with the principle of shared responsibility of creditors and debtors for preventing and resolving unsustainable debt situations, as underscored in the Monterrey Consensus of the International Conference on Financing for Development, he also calls upon the home States of export credit agencies to undertake transparent public audits of the lending portfolios of their agencies.\",\n \"IV. Export credit agencies and human rights\",\n \"A. Human rights obligations of export credit agencies\",\n \"18. States bear primary responsibility for the realization of human rights. In this regard, they have three essential duties: to respect, protect and fulfil the human rights of individuals or groups within their territory or jurisdiction. The duty to protect entails taking measures to ensure at all times that third parties do not violate human rights. Thus, States must take appropriate steps to prevent, investigate, punish and redress human rights abuses by third parties through effective policies, legislation, regulation and adjudication (see A/HRC/17/31, annex, principle 1).\",\n \"19. It is increasingly recognized that States’ human rights obligations can extend beyond borders in certain circumstances. For example, the Committee on Economic, Social and Cultural Rights has underscored the legal obligations of States to respect economic, social and cultural rights beyond their jurisdiction and to avoid actions that have the effect of undermining them. In its general comment No. 14, the Committee has stated that to comply with their international obligations, States parties have to respect the enjoyment of the right to health in other countries and to prevent third parties from violating that right in other countries, if they are able to influence these third parties by way of legal or political means, in accordance with the Charter of the United Nations and applicable international law (E/C.12/2000/4, para. 39).[14] In a similar vein, the Human Rights Committee, in its general comment No. 31, has stated that a State party must respect and ensure the rights laid down in the Covenant to anyone within the power or effective control of that State party, even if not situated within its territory (CCPR/C/21/Rev.1/Add.13, para. 10).[15]\",\n \"20. Thus, a State whose actions undermine human rights abroad or whose failure to regulate national actors results in violations in other countries is liable in respect of those violations.[16] In addition, under article 2.1 of the International Covenant on Economic, Social and Cultural Rights, States have an obligation to provide international assistance and cooperation with a view to achieving progressively the realization of the rights elaborated in the Covenant.\",\n \"21. While the State where an export credit agency-backed project is implemented bears primary responsibility for the protection of human rights of the local population, the agencies’ home States are responsible for the regulation and supervision of the activities carried out by their national export credit agencies (whether owned, mandated or regulated by Government) that had an adverse effect on the enjoyment of human rights of the population of the host State. As stated by the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, States should take steps to protect against human rights abuses by business enterprises that are owned or controlled by the State or that receive substantial support and services from State agencies such as export credit agencies and official investment insurance or guarantee agencies, including, where appropriate, by requiring human rights due diligence (A/HRC/17/31, annex, principle 4).\",\n \"22. However, Governments rarely exercise due diligence concerning the actions of their national export credit agencies. Indeed, the agencies’ operational policies and the national laws establishing them typically never include references to human rights standards. Neither do export credit agencies have in place a clear policy on the prevention of human rights abuses or on due diligence to identify potential harmful effects of projects on human rights and to mitigate them. Many export credit agencies’ home States also lack effective mechanisms to adjudicate claims of human rights abuses resulting from projects backed by such agencies.[17] Moreover, impact assessments of human rights violations of export credit agency-backed operations are rarely undertaken. In addition, all transactions and projects supported by export credit agencies are often protected by confidentiality provisions that prevent their publication among the population and the potentially affected communities, thus undermining the human rights principles of transparency and participation.\",\n \"23. As explained above, export credit agency-supported activities can have serious consequences on a country’s debt burden and sustainable development and, consequently, on the lives of people. States should therefore ensure that the projects that they support through their export credit agencies do not result in or contribute to human rights abuses. When a Government, directly or through its export credit agency, fails to exercise due diligence to protect human rights from the potentially harmful behaviour of non-State actors, it is in breach of its obligations under international human rights law.\",\n \"24. For export credit agencies to operate with due diligence, they should carry out and publicize human rights impact assessments, in consultation with the potentially affected population, before deciding to support any project. They should also continue to conduct independent monitoring throughout the life of the project and reassess the human rights risks. To ensure that potential victims receive adequate attention and redress, export credit agencies should put in place an independent, fair and non-discriminatory grievance mechanism. National legislation establishing export credit agencies and their operational policies should also refer to human rights standards. Export credit agencies should assess all projects against human rights standards and establish clear due diligence requirements in their policies and contracts with clients.\",\n \"25. Private corporations that are financially supported by export credit agencies also bear responsibility for the human rights impact of their activities. It is noteworthy in this regard that the Human Rights Council, in its resolution 8/7, underscores the responsibility of transnational corporations and other business enterprises to respect all human rights (see also Human Rights Council resolution 17/4). It is also notable that the Committee on Economic, Social and Cultural Rights has stressed that national and transnational private actors should pursue their activities within the framework of a code of conduct conducive to the respect of those rights (E/C.12/1999/5, para. 20).\",\n \"26. Private corporations have a responsibility to the community to ensure that their activities do not violate human rights, either directly or through complicit association with abusers, and to seek to prevent or mitigate adverse human rights impacts (A/HRC/17/31, annex, principle 13). It is notable that the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises has stressed that, in addition to compliance with national laws, corporations have a basic responsibility to respect human rights, as this is the basic expectation that society has of business (see A/HRC/11/13).\",\n \"27. Such responsibility requires a policy commitment to comply with human rights standards grounded in core international human rights instruments, specific human rights due diligence and the provision of grievance mechanisms to victims of human rights abuses. Corporate due diligence should entail a number of steps that companies must take to become aware of, prevent, mitigate and address adverse human rights impacts. To conduct their businesses with due diligence, companies must consider the context in which they operate; the impact of their activities, by conducting human rights impact assessments; and the behaviour of the relationships connected to those activities, to avoid complicity in human rights abuses (A/HRC/17/31, annex, principle 17). They should also engage with potentially affected communities through continuous consultation and the provision of information.\",\n \"28. When abuses have already taken place, grievance mechanisms should be provided to the victims. The Special Representative has emphasized that access to remedies plays an important role in corporate responsibility to respect human rights. Corporations should establish grievance mechanisms such as hotlines for raising complaints, advisory services for victims and expert mediators.\",\n \"B. Impact of export credit agency activities on human rights\",\n \"29. Although it is difficult to obtain accurate information on export credit agency-backed projects owing to the secretive manner in which most of the agencies operate, numerous reports have documented the harmful impact of those projects on human rights. According to the reports, corporate activities supported by export credit agencies have on numerous occasions resulted in human rights violations, such as harassment of ethnic minorities, occupation of indigenous land, forced evictions and resettlement, lack of compensation, destruction of rural livelihoods, violations of labour rights, threats to life and bodily integrity, increased militarization, State repression, exclusion of women from consultation, restrictions on freedom of expression and association, insufficient participation of and consultation with people affected by the project and restrictions on access to justice.[18]\",\n \"C. Other concerns\",\n \"30. The activities supported by export credit agencies have also given rise to concerns about the lack of transparency and accountability. Most such agencies have resisted calls by civil society organizations to publish information, claiming that they are exempt from transparency requirements owing to the commercial and international sensitivity of their activities and the confidentiality rule that protects them.\",\n \"31. Although the availability of information on their operations varies from country to country, export credit agencies lag behind the transparency and accountability mechanisms of other public agencies. This undermines any attempts to ensure that the agencies provide responsible credit, behave with due diligence and respect human rights and environmental standards. Indeed, most of them are not obliged to disclose information about the potential adverse social and environmental impact of the projects that they support. Some agencies release the relevant information only after the transaction has been approved and subject to authorization from the client.\",\n \"32. The lack of transparency and accountability of export credit agency operations puts home Governments and, indirectly, their taxpayers, at risk of complicity in supporting projects that may result in human rights violations, connivance with corrupt practices, involvement in the activities of unaccountable regimes and environmental degradation. As public or semi-public entities, export credit agencies have a responsibility to inform taxpayers of any such risks.\",\n \"33. Reports by civil society organizations indicate that projects supported by export credit agencies are known to have been implicated in corruption cases. According to Transparency International, bribing foreign officials in order to secure contracts for their exports has become a widespread practice in industrialized countries.[19] The bribes are treated as commissions and are included in the contract value covered by the guarantee or in the indemnification of the exporter where insurances come into play.¹⁸\",\n \"34. Export credit agency-backed projects are also known to have supported the activities of unaccountable regimes. For example, loans and guarantees were provided by the Export-Import Bank of the United States for the Bataan Nuclear Power Plant project during the Ferdinand Marcos regime in the Philippines. The German export credit agency provided insurance to support a deal with Indonesia, during the Suharto regime, to purchase and modernize German vessels, which were eventually used in internal armed conflict in Indonesia.[20] Similarly, the Export Credits Guarantee Department of the United Kingdom of Great Britain and Northern Ireland agreed to underwrite a guarantee on the sale of Hawk fighter jets to the Indonesian Air Force during the Suharto regime in 1993 and 1996. The jets were reported to have been used by the Indonesian military against villages in East Timor in 1999.[21]\",\n \"35. The provision of export credit agency loans and guarantees for extractive industry projects such as logging, mining, gas or oil can take an enormous toll on the environment of the region where the project is implemented and on the lives of their communities. They risk creating environmental degradation; land, air and water pollution; destruction of habitats; greenhouse gas emissions, deforestation, desertification and soil degradation; long-term fossil fuel dependence; and ultimately, global climate change. In turn, these environmental changes may affect the health of the local population, increasing the risk of cancer, skin and pulmonary disease and other health-related problems. They may also affect people’s access to sources of livelihood, reducing their food security, and result in the displacement of local communities, particularly of indigenous peoples, from their traditional homelands.\",\n \"36. As stated above, export credit agencies play an important role in the global economy. This role entails an additional responsibility for agencies supporting projects in developing countries to conduct their businesses with transparency, accountability and due diligence and in strict compliance with internationally agreed standards on human rights and environmental issues. It is regrettable that as public finance bodies supporting projects in developing countries, most export credit agencies have no development mandate and their sole mission is to promote investments and exports of private corporations, often to the detriment of human rights and sustainable development in the countries where they support projects.[22]\",\n \"37. As intimated in his report on his mission to Australia (A/HRC/17/37/Add.1), the independent expert fully supports the view that the absence of transparency requirements raises serious questions about the accountability of export credit agencies to the taxpayers of their home States and to citizens of the developing countries where they support projects. Loans underwritten by an export credit agency’s home Government or guaranteed by the Governments of the countries where export credit agency-supported projects are being implemented are matters of public concern. It is therefore reasonable to expect a public body or a publicly funded body to abide by transparency requirements and operate with clear accountability mechanisms.\",\n \"38. The independent expert is of the view that export credit agencies should be required to publicly disclose information concerning their activities, including project assessment, decision-making and implementation, and to undertake assessments of the human rights impact of their financing decisions, in addition to environmental and social impact assessments. Any limitations to the disclosure of information should be clearly and narrowly defined. This would allow export credit agencies to make responsible and informed decisions about the projects they support.\",\n \"39. Besides the adoption of transparency and accountability mechanisms as part of agencies’ policies and procedures, State entities such as national legislatures or national audit offices have a responsibility to undertake ongoing monitoring of the activities of export credit agencies to ensure that their activities do not undermine their country’s foreign aid and development policies or their international human rights obligations. These human rights concerns require further investigation.\",\n \"V. International regulation of export credit agency activities\",\n \"40. Within OECD, export credit agencies are governed through the Arrangement on Officially Supported Export Credits. The Arrangement establishes a legal and financial framework for export credit provision, with the aim of bringing discipline and transparency to export credit operations. The Arrangement focuses mainly on such issues as minimum interest rates and down payments, standardized repayment schedules, common reporting procedures, maximum duration of credits and discipline and transparency in the use of tied aid.\",\n \"41. In addition, the OECD Working Party on Export Credits and Credit Guarantees (Export Credit Group) provides a forum for the discussion of non-fiscal issues, such as corruption, environment and competition, the negotiation of non-binding common guiding principles and improved cooperation among competitors.\",\n \"42. International cooperation on export credit policy is also undertaken by the International Union of Credit and Investment Insurers, known as the Berne Union. However, its role is limited to exchanging information on foreign buyers to reduce commercial risk. The Berne Union gathers together export credit agencies not only from OECD countries but also from some emerging economies. It also includes private entities providing export credits and investment insurance without a public mandate. The guiding principles of the Berne Union, which apply to all members, contain vague references to such issues as environmental sensitivity, combating of corruption and promotion of transparency.\",\n \"43. Most OECD export credit agencies have adopted policies regarding the environmental and social impact of their activities. Such policies typically require environmental impact assessments.\",\n \"44. In 2003, OECD adopted the Export Credit Group’s recommendation on common approaches on environment and officially supported export credits, known as the Common Approaches. The Common Approaches require Governments and export credit agencies to review projects for their potential environmental impact and to evaluate them against international standards. After a review in June 2007, OECD updated the recommendation on the Common Approaches, calling for more public disclosure of information and increased exchange of information to promote a level playing field among agencies. The rules also require compliance with environmental standards in the host country, the screening and classification of potential environmental impact and the carrying out of environmental impact assessments for projects with potential significant adverse environmental impact, as well as the screening of projects against the World Bank safeguard policies or, where appropriate, the International Finance Corporation performance standards.\",\n \"45. However, the Common Approaches have a number of drawbacks. First, they are a non-binding recommendation. Second, they contain a derogation clause (article 13) that allows member export credit agencies, should they so decide, to opt out of applying any standards at all, provided they report and justify this to the Export Credit Group.[23] Third, the Common Approaches currently apply only to officially supported export credits with a repayment term of two years or more.\",\n \"46. It is notable that the Common Approaches make no reference to human rights, which has prompted the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises to recommend that the Common Approaches clearly acknowledge that human rights are a critical element in the social sustainability of enterprises and markets and explicitly recognize the export credit agencies’ role in fostering corporate responsibility to respect human rights.[24] The Special Representative has further suggested that OECD consider building export credit agency capacity on human rights by establishing a human rights working group to develop tools suitable for export credit agencies in undertaking human rights due diligence and help build in knowledge base and competency.²³ In addition, Amnesty International has recommended that export credit agency-supported projects be assessed against international human rights standards in order to prevent projects from causing or contributing to human rights violations.[25] The independent expert fully supports these recommendations.\",\n \"47. With regard to corruption, in 2000, the Export Credit Group issued an action statement on bribery and officially supported export credits, which was revised in 2006 and later converted into an OECD recommendation. The recommendation recognizes the role of export credit agencies in combating corruption and recommends appropriate measures to deter bribery in their international operations, including informing exporters requesting credit about the legal consequences of bribery, requesting a declaration that the exporters have not been engaged in bribery, requesting information on past corruption charges, requiring the disclosure of information on agents’ fees and commissions, checking the record of potential clients on the debarment lists of international financial institutions and suspending a project where there is evidence of bribery.[26]\",\n \"48. Despite these limited efforts, the operations of export credit agencies continue to be largely unregulated at the global level, and standards on and regulation of transparency and environmental and human rights effects are largely insufficient.\",\n \"VI. State responsibility for the wrongful acts of export credit agencies\",\n \"49. As officially supported agencies, export credit agencies can be distinguished from purely private financial corporations. Whether Government-owned or Government-mandated, they perform their functions under national laws or regulations that prescribe their mandates. All export credit agencies carry out some transactions on their Government’s behalf, with its support and under its control. This establishes a legal nexus between the State and the agency.[27] Private-public consortia of export credit agencies are also controlled by the State through the authorization, funding and regulation of their operations. As a consequence of this legal nexus, it can be argued that any violation of international law committed by an export credit agency triggers the responsibility of its home State and the wrongful act committed by the export credit agency will be attributable to that State.\",\n \"50. To support this view, it is worth recalling that according to articles 4 and 5 of the International Law Commission’s draft articles on Responsibility of States for internationally wrongful acts, the conduct of any organ of the State, whatever functions or position it holds, and of any non-State organ empowered by the law of that State to exercise certain Governmental authority and acting in that capacity in the particular instance will be attributable to that State under international law. Moreover, for the purposes of international responsibility and in line with the principle of unity of the State, the acts or omissions of any unit of the State can be regarded as an act of the State (A/56/10). This means that the wrongful actions and omissions of export credit agencies that are organs of the State are attributable to the State under the international law of State responsibility. Export credit agencies established as State agencies or Government departments are clearly public authorities, and as such the State bears responsibility for their actions. They are wholly owned by the State and operate under its control. Similarly, export credit agencies established as autonomous corporations owned by the State may be independently managed, but their activities are ultimately overseen by a Government department such as the ministry of trade or finance. Accordingly, this second category of export credit agencies may also be considered as being under State control. Although private companies or private-public consortia belonging to the third category possess more autonomy, the State retains some control over their operations through regulation, funding, approval of large disbursements, oversight or the establishment of standards and procedures. In many cases, ultimate decisions regarding the operations of private or public-private corporations require the approval of a ministry or ministerial committee. Overall, the implication of the State in the activities of export credit agencies is a common factor and cannot be taken too lightly.\",\n \"51. In line with the law of State responsibility, Governments must ensure that national export credit agencies do not violate international legal obligations, including international human rights law. Where an export credit agency does not consider or take steps to mitigate the human rights impact of the projects of private companies they support, they risk triggering the responsibility of the State for violating international law obligations should abuses occur (A/HRC/17/31, annex, principle 4). States’ duty under international law also requires them to ensure that their actions or those of their organs, including export credit agencies, do not cause harm to another State.\",\n \"52. A State also bears international responsibility for complicity in the wrongful acts of another State if it had knowledge of the circumstances of the wrongful act (A/56/10, article 16). Accordingly, if an export credit agency supports the project of a corporation in a country that allows the corporation to operate in violation of international human rights law, the home State could be responsible for assisting the wrongful act of the host State.[28]\",\n \"53. The commentary on part one, chapter II, of the draft articles stresses that a State may be responsible for the effects of the conduct of private parties if it failed to take necessary measures to prevent those effects (A/56/10). As mentioned above, under international human rights law, States have a duty to regulate the activities of third parties to protect against human rights abuses. Similarly, in the context of the responsibility of transnational corporate activities, States are under the obligation to protect against human rights abuses of home corporations in foreign countries.[29]\",\n \"VII. Conclusions and recommendations\",\n \"54. Projects supported by export credit agencies can have an adverse impact on sustainable development and human rights in the countries in which they are implemented. Often, export credit agencies lack transparency and do not adequately incorporate environmental, social and human rights considerations into their funding decisions. Under the international law of State responsibility, officially supported export credit agencies are organs or agents of the home State, and their wrongful acts or omissions may be attributable to that State. As such, home States are under an obligation to regulate their activities. In addition, export credit agencies have a responsibility to respect human rights.\",\n \"55. In order to ensure that export credit agency-supported activities do not undermine international human rights obligations, contribute to violations of human rights, hamper sustainable development in the countries in which they are being undertaken or contribute to the debt burdens of developing countries, the independent expert recommends that:\",\n \"(a) States adopt measures to ensure that their export credit agencies adopt and implement stronger environmental and social safeguards that are consistent with international human rights standards;\",\n \"(b) States ensure that their export credit agencies improve transparency and accountability by implementing disclosure policies that require, inter alia, public disclosure of all information on the environmental, social, human rights and development impact of agency-supported transactions and that such information is made accessible to the affected communities;\",\n \"(c) States take measures, including adopting legislation, to ensure that their export credit agencies do not support projects that cause or contribute to human rights violations, and in this regard, that they ensure that their export credit agencies discharge their obligation to respect human rights by adopting a human rights due diligence framework through which they can assess the actual and potential negative human rights impact and address risks effectively;\",\n \"(d) States ensure access to effective national legal remedies for those affected by export credit agency-supported projects and exports, including the victims of human rights violations arising from export credit agency-supported activities;\",\n \"(e) The implementation of the OECD Common Approaches in environmental, social and human rights screening policies of export credit agencies become mandatory;\",\n \"(f) The international community adopt a moratorium on the repayment of current export credit agency debt for the poorest countries, much of which has been incurred for economically unproductive purposes, debtor countries conduct transparent public audits of all export credit agency claims to determine their legitimacy in conformity with the odious debts doctrine, and all debt found to be contrary to the doctrine be unconditionally cancelled.\",\n \"[1] * A/66/150.\",\n \"[2] See Doug Norlen, Rory Cox, Miho Kim and Catriona Glazebrook, eds., Unusual Suspects: Unearthing the Shadowy World of Export Credit Agencies (Oakland, California, Pacific Environment, 2002), p. 1; Bruce Rich, “Exporting destruction”, The Environmental Forum, September/October 2000; Malcolm Stephens, The Changing Role of Export Credit Agencies (Washington, D.C., International Monetary Fund, 1999), p. 63; Andrew M. Moravcsik, “Disciplining trade finance: the OECD export credit arrangement”, International Organization, vol. 43, No. 1 (Winter 1989), p. 176; OECD, “Review of official export credit commitments to IDA-only countries (2001-2009)”, p. 6, available from www.oecd.org/dataoecd/42/59/ 36945707.pdf.\",\n \"[3] See www.oecd.org/dataoecd/30/35/37931024.pdf. See also Karyn Keenan, “Export credit agencies and the international law of human rights” (Halifax Initiative, 2008), p. 1.\",\n \"[4] See Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance (Environmental Defense Fund, 2009), p. 5, available from www.edf.org/documents/9593_coal-plants-report.pdf. See also Richard Wainwright, ed., Exporting Destruction: Export Credits, Illegal Logging and Deforestation (FERN, 2008), p. 7.\",\n \"[5] Delio E. Gianturco, Export Credit Agencies: The Unsung Giants of International Trade and Finance (Westport, Connecticut, Quorum Books, 2001), p. 1.\",\n \"[6] The final communiqué of the Group of 20 on the Global Plan for Recovery and Reform states that its leaders will ensure the availability of at least $250 billion over the next two years to support trade finance through the Group’s export credit and investment agencies and through the multilateral development banks. See the Global Plan for Recovery and Reform, adopted by the leaders of the Group of 20 on 2 April 2009. Available from www.g20.org/Documents/ final-communique.pdf. See also the statement of OECD on the global financial crisis and export credits dated 22 April 2009. Available from www.oecd.org/dataoecd/51/22/42624233.pdf.\",\n \"[7] Norlen et al., Unusual Suspects (see footnote 1), p. 1.\",\n \"[8] See Gabrielle Watson, ed., Race to the Bottom, Take II: An Assessment of Sustainable Development Achievements of ECA-Supported Projects Two Years After OECD Common Approaches Rev. 6 (ECA Watch, 2003); Stephanie Fried and Titi Soentoro, eds., A Brief Overview of Export Credit Agencies in the Asia-Pacific Region (Mumbai, World Social Forum, 2004); Nicholas Hildyard, “Snouts in the trough: export credit agencies, corporate welfare and policy incoherence”, Corner House Briefing Paper No. 14 (Corner House, 1999), available from www.thecornerhouse.org.uk/resource/snouts-trough; Keenan, “Export credit agencies and the international law of human rights”, p. 1. See also the submission of Amnesty International on the review of the revised recommendation on common approaches on the environment and officially supported export credits in March 2010 (POL 30/002/2010), p. 1.\",\n \"[9] See OECD, Export Credit Financing Systems in OECD Member Countries and Non-member Economies: Introduction (2008). Available from www.oecd-ilibrary.org.\",\n \"[10] For information on export credit financing systems in OECD member and non-member countries, see www.oecd-ilibrary.org/trade/export-credit-financing-systems-in-oecd-member-countries-and-non-member-economies_17273870.\",\n \"[11] Keenan, “Export credit agencies and the international law of human rights” (see footnote 2), p. 2.\",\n \"[12] Aaron Goldzimer, “Worse than the World Bank? Export credit agencies — the secret engine of globalization”, Backgrounder, vol. 9, No. 1 (Winter 2003), p. 2.\",\n \"[13] World Bank, Global Development Finance: Financing the Poorest Countries (Washington, D.C., 2002), p. 107.\",\n \"[14] See also general comment No. 12 on the right to adequate food, paras. 36 and 37; and general comment No. 15 on the right to water, paras. 31-34.\",\n \"[15] See also Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports 2004, p. 136.\",\n \"[16] Some treaty bodies have urged States parties to take steps to prevent companies under their jurisdiction from committing abuses abroad. See, for example, general comment No. 19 of the Committee on Economic, Social and Cultural Rights on the right to social security (E/C.12/GC/19), para. 54, and the Concluding Observations of the Committee on the Elimination of Racial Discrimination on the fourth, fifth and sixth periodic reports of the United States (CERD/C/USA/CO/6).\",\n \"[17] In the United States, the Overseas Private Investment Corporation, which operates as an export credit agency, has established an Office of Accountability to assess and review complaints about the projects that it supports. The Office offers local communities, which may be materially, directly or adversely affected by a project, and project sponsors, a means of raising complaints, independently from the Corporation’s operations. See www.opic.gov/doing-business/ accountability.\",\n \"[18] See, for instance, Watson, ed., Race to the Bottom, Take 11 (see footnote 7) and Norlen et al., Unusual Suspects (see footnote 1).\",\n \"[19] Dieter Frisch, “Export credit insurance and the fight against international corruption”, Transparency International Working Paper (Transparency International, 1999). Available from www.odiousdebts.org/odiousdebts/index.cfm?DSP=content&ContentID=2366. On insufficient progress in tackling corporate involvement in bribery and corruption, see also Transparency International, Transparency in Reporting on Anti-Corruption: A Report on Corporate Practices (2009).\",\n \"[20] See European Network on Debt and Development, “Skeletons in the cupboard: illegitimate debt claims of the G7” (2007).\",\n \"[21] Hildyard, “Snouts in the trough” (see footnote 7).\",\n \"[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia’s Export Credit Agency (Sydney, Australia, 2009), p. 10.\",\n \"[23] Wainwright, ed., Exporting Destruction (see footnote 3), p. 12. See also http://www.oekb.at/ en/export-services/transparency-compliance/environment/oecd-common-approaches/pages/ default.aspx.\",\n \"[24] Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, John Ruggie, “Engaging export credit agencies in respecting human rights”, statement at the OECD Export Credit Group Common Approaches Meeting, Paris, 23 June 2010.\",\n \"[25] See the submission of Amnesty International on the review of the revised recommendation on the common approaches (see footnote 7), p. 4.\",\n \"[26] Wainwright, ed., Exporting Destruction (see footnote 3), p. 15.\",\n \"[27] See Özgür Can and Sara L. Seck, “The legal obligations with respect to human rights and export credit agencies”, paper prepared for ECA Watch, Halifax Initiative and ESCR-Net, July 2006. Available from www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf.\",\n \"[28] See Keenan, “Export credit agencies and the international law of human rights” (see footnote 2), pp. 3-7. See also Can and Seck, “The legal obligations with respect to human rights and export credit agencies”, pp. 4-8.\",\n \"[29] See Keenan, “Export credit agencies and the international law of human rights”, p. 10; Can and Seck, “The legal obligations with respect to human rights and export credit agencies”, p. 12.\"\n]"},"record":{"kind":"string","value":"A_66_271"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda [1]","Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights","Note by the Secretary-General","The Secretary-General has the honour to transmit to the members of the General Assembly the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights, Cephas Lumina, submitted pursuant to Human Rights Council resolutions 7/4 and 16/4.","Report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights","Summary","Export credit and investment insurance agencies are commonly referred to as export credit agencies. These institutions as a whole are the main sources of public financing for the participation of foreign enterprises in large-scale industrial and infrastructure projects in developing countries and emerging economies. In recent years, export credit agencies have played an increasingly important role in the global economy, particularly in the context of the global financial crisis.","However, many of the projects supported by export credit agencies have had harmful environmental, social and human rights consequences and are economically unsustainable. Many reports document human rights violations resulting from or associated with projects supported by export credit agencies, including forced displacement of local populations, violations of indigenous peoples ' rights, denial of access to basic services and environmental damage. In addition, export credit agencies generally operate in a subtle manner and often lack transparency in financing decisions and operations.","The present report is submitted pursuant to Human Rights Council resolutions 7/4 and 16/4 and is intended to explore the negative impact of activities supported by export credit agencies on sustainable development and the realization of human rights in countries where such activities take place, particularly in developing countries. It also addressed the role of export credits in increasing the debt burden of those countries.","The present report calls upon States to reduce the negative impact of projects supported by export credit agencies and proposes measures to ensure that the activities of export credit agencies do not impede the implementation of international human rights and other obligations of their home and host countries, and that they contribute to human rights violations.","Introduction","Export credit and investment insurance agencies are generally referred to as export credit agencies. These institutions as a whole are the main source of public financing for the participation of foreign enterprises in large-scale industrial and infrastructure projects in developing countries, particularly in the extractive industries sector. [2] In 2005, export credit agencies of member countries of the Organization for Economic Cooperation and Development (OECD) provided $125 billion in credit, insurance, guarantees and interest subsidies. [3] In 2007, export credit agencies collectively supported trade and investment of $1.4 trillion, equivalent to about 10 per cent of total world export trade. [4] It is estimated that the activities of export credit agencies exceed those of all multilateral development banks and overseas development agencies, with direct financing of one eighth of world trade. [5]","In recent years, export credit agencies have played an increasingly important role in the global economy, particularly in the context of the global financial crisis. In April 2009, the Group of 20 and OECD countries held a London summit in which they committed themselves to providing increased support for export credits to increase international trade flows. [6]","However, many projects supported by export credit agencies, including large dams, pipelines, greenhouse gas-emitting fire and atomic power plants, chemical facilities, mining projects and forestry and plantation projects, have serious environmental, social and human rights consequences. [7] Numerous reports document the negative impact on human rights of projects supported by export credit agencies, including forced displacement of local populations, resulting in government repression, violations of indigenous peoples ' rights, denial of access to basic services and environmental damage. In addition, export credit agencies often lack adequate safeguards and due diligence, lack transparency and become involved in corruption.","4. The present report, submitted pursuant to Human Rights Council resolutions 7/4 and 16/4, focuses on the negative impact of activities supported by export credit agencies on the sustainable development and realization of human rights in countries where such projects are implemented. The report also examines the role of export credits in increasing the debt burden of developing countries.","II. Overview of export credit agencies","What are export credits?","The term “export credit” refers to an insurance, guarantee or financing arrangement that enables purchasers of exported capital goods and/or services to defer payments for a period of time (including short-term credit, normally less than two years, medium-term credit, usually two to five years, and long-term credit, usually more than five years). [9] Export credits are the main loans provided by export credit agencies.","What is an export credit agency?","Export credit agencies are public entities that provide publicly guaranteed or subsidized loans, guarantees, credits and insurance to private companies in their home countries to support export and outward investment, particularly in developing countries and emerging economies. Most developed countries have at least one export credit agency, usually an official or quasi-official body of their Government. [10]","7. Although export credit agencies are organized in a variety of forms, they are usually supported by the Government and operate in accordance with the Government ' s mandate. Export credit agencies may be: (a) a government department, such as the Export Credit Guarantee Department of the United Kingdom of Great Britain and Northern Ireland and the Export and Import Bank of the United States of America; (b) an autonomous government-owned but independently operated company, such as the Australian Export Finance and Insurance Corporation, Office National du Ducroire/Nationale Delcredeedienst of Belgium and the Canadian Export Development Corporation of Canada; or (c) a private company acting as a government agent or a public-private partnership (the Government makes key decisions and takes key risks, the company provides services and conducts initial risk analyses), such as Compagnie France d'Assurance pour le Commerce Exterieur of France, Euler Hermes Kreditverscherungs of Germany and Atradius of the Netherlands. [11] These forms are reflected in the sources of financing arrangements: the State budget; government-specific funds; government loans and capital; and shares or bonds.","Export credit agencies provide support to domestic firms in different ways. These institutions provide loans to foreign purchasers (directly or through commercial banks) for the purchase of goods and services originating in their home countries, thereby enhancing the export capacity of domestic companies. Financial services provided by export credit agencies also include commercial loan guarantees and export credit insurance. In order to obtain credit guarantees, the exporter is insured with the Export Credit Agency, which guarantees payment to the exporter in the event of arrears by the importer. The insurance of export credit agencies covers losses resulting from political risks such as pro bono nationalization or expropriation, confiscation of investments, restrictions on exchange dividends and transfer of profits, currency instability, economic crisis or war. Through the provision of guarantees and insurance, export credit agencies support transactions in private markets that are often unsupported by related economic or political risks.","9. Export credit agencies provide financing at interest rates, insurance premiums and fees lower than those in private markets, and the economic conditions they offer for providing support are very low, requiring limited (or no) compliance with environmental, social and transparency standards to make financial transactions easier and faster, but they are also more risky. For borrowers from developing countries, however, the interest rate on loans guaranteed by export credit agencies remains higher than that on many loans from other official sources, such as development banks or institutions. [12]","Finally, most official lending institutions, such as the World Bank, the International Monetary Fund and other development agencies, clearly aim to promote local economic growth, development and/or poverty reduction, while most export credit institutions have no mandate to promote development at all. The only objective of these institutions is to promote domestic exports or outward investment.","Export credit agencies and sovereign debt","11. Debt related to export credit agencies is the largest component of the debt of developing countries. According to World Bank estimates, the total exposure of export credit agencies to the long-term external debt of developing countries reached $500 billion by the end of 2000, accounting for one quarter of the total long-term external debt of those countries. [13] More than 50 per cent of the total debt of some countries is owed to export credit agencies. For example, according to 2001 OECD figures, about 64 per cent of Nigeria's debt and about 42 per cent of the Democratic Republic of the Congo's debt was owed to export credit agencies.","12. Export credits have led to an increase in the sovereign debt of a State through various means. Export credit agencies may directly increase the sovereign debt burden by providing loans directly to Governments or foreign public entities, or by providing guarantees or insurance for commercial credit to Governments or public entities. If the debtor (a public entity) defaults on payments to the export credit agency or its insurers, the debt owed by that public entity becomes part of the sovereign debt of that State.","13. Export credits may also indirectly lead to sovereign debt through sovereign counter-guarantees. The purpose of such guarantees is to reduce the risk of transactions between private exporters, who are usually service exporters or providers in developed countries, and foreign private recipients (usually importers or recipients of investments or projects in developing countries). Exporters are insured with export credit agencies in their home countries for transactions or projects with greater economic or political risks. Export credit agencies then require counter-guarantees from the recipient ' s Government. In the event of project default or bankruptcy, the export credit agency pays the losses of private companies and recovers the payments made on the basis of counter-guarantees from developing country Governments. If the Government is unable to pay the counter-guarantee, the amount owed is credited to the sovereign debt of that State. Thus, the financial or political risks involved in the transaction are transferred from private investors to taxpayers in the country where the private recipient is located.","14. In another case, even if the Government does not borrow or provide loan guarantees, export credit agency projects may have significant contingent liabilities for the Government. Governments in developing countries often provide “specially generous” conditions for attracting private investment, such as in power generation projects. The Government may have to enter into an agreement on the purchase of electricity, which will be guaranteed at high United States dollar prices. This purchase agreement is not a loan and is therefore not counted as a debt but may have serious budgetary implications for the Government.","15. Inevitably, due to the support of export credit agencies, there is less pressure on investors to exercise due diligence to assess the risk of default or insolvency of the project. Thus, irresponsible investment behaviour and support from export credit agencies could lead to an increase in the debt of developing countries.","16. Governments that are unable to honour their debt obligations often need to reschedule their debt in international forums such as the Paris Club. For LDCs, debt related to export credits is often not part of debt relief and cancellation negotiations. Currently, all export credit debt cancelled after the Paris Club entered into a rescheduling agreement could be recorded as ODA. As a result, funds for debt cancellation for export credit agencies often come from official aid budgets. However, transactions leading to debt on export credits are not necessarily used for development purposes. Export credits are often used to support environmentally and socially harmful projects.","17. Civil society organizations have expressed concern that some of the debt caused by transactions between export credit agencies and developing countries may be odious or illegitimate (see A/64/289) and should therefore be cancelled. The independent expert shares this concern and urges debtor countries to conduct transparent public audits of the debt of all export credit agencies to determine its nature. The Monterrey Consensus of the International Conference on Financing for Development emphasized the principle of shared responsibility between creditor and debtor countries for preventing and resolving unsustainable debt problems. In line with this principle, he also called for a transparent common audit of the lending portfolios of export credit agencies in their home countries.","Export credit agencies and human rights","A. Human rights obligations of export credit agencies","18. States have the primary responsibility for the realization of human rights. In this regard, States have three fundamental obligations to respect, protect and fulfil the human rights of individuals and groups within their territory or jurisdiction. The obligation to protect implies that measures should be taken to ensure that human rights are not violated at all times by third parties. To this end, States must take appropriate steps to prevent, investigate, punish and remedy human rights violations by third parties through effective policies, laws, regulations and rulings (see A/HRC/17/31, annex, principle 1).","19. It is increasingly recognized that States ' human rights obligations may, in certain circumstances, extend beyond national borders. For example, the Committee on Economic, Social and Cultural Rights has noted, inter alia, that States have a legal obligation to respect economic, social and cultural rights beyond their jurisdiction and to refrain from actions that lead to violations of those rights. In its general comment No. 14, the Committee stated that, in order to comply with their international obligations, States parties must respect the enjoyment of the right to health in other countries and, in accordance with the Charter of the United Nations and applicable international law, prevent third parties from violating this right in other countries when they are able to influence third parties by legal or political means (E/C.12/2000/4, para. 39). Similarly, in its general comment No. 31, the Human Rights Committee stated that States parties must respect and ensure the rights set forth in the Covenant of any person within the power or effective control of that State party, even if located outside its territory (CCPR/C/21/Rev.1/Add.13, para. 10). [15]","20. Thus, a State is responsible for human rights violations committed abroad by its actions, or in other countries by its failure to regulate its own actors. In addition, under article 2.1 of the International Covenant on Economic, Social and Cultural Rights, States are obliged to provide international assistance and cooperation for the progressive realization of the rights set forth in the Covenant.","21. While the primary responsibility for the protection of the human rights of local residents lies with the implementing countries of the projects supported by export credit agencies, the home countries of such institutions have the responsibility to regulate and monitor the activities of such institutions in their home countries, whether they are government-owned, government-mandated or government-supervised, that adversely affect the enjoyment of human rights by the host population. As noted by the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, States should take measures to avoid human rights violations by business enterprises owned or controlled by the State, or by enterprises that have access to substantial support and services from State institutions, such as export credit agencies and official investment insurance or guarantee agencies, including, where appropriate, human rights due diligence measures (A/HRC/17/31, annex, principle 4).","22. However, Governments rarely take due diligence measures with regard to the actions of their export credit agencies. Indeed, human rights standards are largely absent from the operational policies of these institutions and from national laws establishing them. Export credit agencies lack clear policies to prevent human rights violations and to take due diligence measures to identify and mitigate the possible adverse effects of projects on human rights. The home countries of many export credit agencies also lack effective mechanisms to rule on allegations of human rights violations resulting from projects supported by these institutions. In addition, the impact of human rights violations in the activities supported by export credit agencies is rarely assessed. Furthermore, all transactions and projects supported by export credit agencies are often protected by confidentiality provisions that are not open to residents and potentially affected communities, thus undermining human rights principles such as transparency and participation.","23. As explained above, activities supported by export credit agencies may have serious consequences for a country ' s debt burden and sustainable development, and therefore for the lives of people. States should therefore ensure that they refrain from causing or facilitating human rights violations through projects supported by export credit agencies. Governments acting either directly or through their export credit agencies are in breach of their obligations under international human rights law if they fail to take due diligence measures and avoid potentially harmful acts by non-State actors that violate human rights.","In order for export credit agencies to fulfil their due diligence obligations in their operations, they should conduct and publish human rights impact assessments in consultation with potential affected populations before deciding to support any project. They should also continue to monitor independently and reassess human rights risks throughout the project. To ensure that potential victims receive adequate attention and redress, export credit agencies should establish independent, fair and non-discriminatory complaints mechanisms. National laws and operational policies for the establishment of export credit agencies should also refer to human rights standards. Export credit agencies should assess all projects in the light of human rights standards and clearly establish due diligence rules in their policies and contracts.","25. Private companies financed by export credit agencies are also responsible for the human rights impact of their activities. In this regard, it is noteworthy that Human Rights Council resolution 8/7, inter alia, states that transnational corporations and other business enterprises have a responsibility to respect all human rights (see also Human Rights Council resolution 17/4). It is also noteworthy that the Committee on Economic, Social and Cultural Rights has emphasized that private actors, both State and transnational, should conduct their activities in accordance with codes of conduct conducive to respect for these rights (E/C.12/1999/5, para. 20).","26. Private companies have a responsibility to communities to effectively avoid human rights violations through their activities, including direct violations or complicity with others, and to endeavour to avoid or reduce adverse impacts on human rights (A/HRC/17/31, annex, principle 13). It is noteworthy that the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises emphasized that, in addition to complying with national laws, corporations have a fundamental responsibility to respect human rights, as this is the basic expectation of society for business enterprises (see A/HRC/11/13).","27. This responsibility requires a policy commitment to human rights standards contained in the core international human rights instruments, specific human rights due diligence measures and a complaint mechanism for victims of human rights violations. Company due diligence measures should include steps that companies must take to understand, prevent, reduce and address adverse impacts on human rights. In order for companies to fulfil their due diligence obligations in their operations, they must take into account: the circumstances in which they operate; the impact of their activities; the conduct of human rights impact assessments; and the dynamics of the relationships associated with those activities in order to avoid complicity in human rights violations (A/HRC/17/31, annex, principle 17). Companies should also engage with potentially affected communities through ongoing consultations and the provision of information.","28. Where human rights have been violated, complaint mechanisms should be made available to victims. The Special Representative emphasizes that access to remedies for victims is an important aspect of corporate responsibility to respect human rights. Companies should establish complaints mechanisms such as hotlines, victim counselling services and mediation specialists.","B. Human rights implications of the activities of export credit agencies","Most export credit agencies operate clandestinely, making it difficult to obtain accurate information on the projects they support. Nevertheless, many reports document the harmful effects of these projects on human rights. According to such reports, the activities of companies supported by export credit agencies have resulted in many human rights violations, such as harassment of ethnic minorities, occupation of indigenous lands, forced evictions and resettlement, lack of compensation, damage to rural livelihoods, violations of labour rights, threats to life and physical integrity, increased militarization, State repression, exclusion of women from consultations, restrictions on freedom of expression and association, inadequate participation of and consultation with project-affected populations, and limited access to justice. [18]","C. Other concerns","The activities supported by export credit agencies raise concerns about the lack of transparency and accountability. Most export credit agencies have resisted calls from civil society organizations to publish information, claiming that their activities are commercially and internationally sensitive and protected by confidentiality rules and thus exempt from transparency rules.","31. Although the level of information provided by countries to export credit agencies varies, these institutions lag behind other public institutions in terms of transparency and accountability. This situation is not conducive to efforts to ensure that these institutions provide responsible credit, fulfil due diligence obligations in their actions, and respect human rights and environmental standards. In fact, most export credit agencies have no obligation to disclose the possible adverse social and environmental impacts of the projects they support. Some export credit agencies publish the information only when the transaction is approved and the client ' s approval is awaited.","32. The lack of transparency and accountability in the operations of export credit agencies exposes host Governments and, indirectly, their taxpayers to the risks of conspiracy to support projects that may lead to human rights violations, condoning corrupt practices, engaging in activities without an accountable regime and undermining the environment. Export credit agencies, as semi-public entities, are obliged to inform taxpayers of any such risks.","Reports from civil society organizations indicate that projects supported by export credit agencies are known to be involved in corruption cases. According to Transparency International, bribery of foreign officials for their export contracts has become a common practice in industrialized countries. [19] Bribery is used as a commission and is included in the contractual amount of the guarantee and, if insured, in the amount of the exporter’s compensation. 18","34. It is known that projects supported by export credit agencies have supported activities of the non-accountable regime. In the Philippines, for example, during Ferdinand Marcos's tenure, the United States Export-Import Bank provided loans and guarantees for the Badan Nuclear Power Plant project. During the Suharto period of power, the German export credit agency supported a transaction with Indonesia by providing insurance, i.e. the purchase and modernization of German vessels, which were ultimately used only in the internal Indonesian armed conflict. Similarly, between 1993 and 1996, when Suharto was in power, the Department of Export Credit Guarantee (United Kingdom of Great Britain and Northern Ireland) had provided guarantees for the sale of falcon fighters to the Indonesian Air Force. The Indonesian military reportedly attacked East Timorese villages with these fighter jets in 1999. [21]","35. Loans and guarantees provided by export credit agencies for extractive industry projects, such as logging, mining, gas or oil, have caused significant damage to the environment and the lives of local community residents in the project area. The risks of these projects include environmental degradation; land, air and water pollution; habitat destruction; greenhouse gas emissions, deforestation, desertification and soil degradation; long-term dependence on fossil fuels; and, ultimately, global climate change. These environmental changes may then affect the health of the local population and increase the risk of cancer, skin diseases, lung diseases and other health-related problems. These changes may also affect people ' s sources of livelihood, undermine their food security and lead to the displacement of local community residents, in particular indigenous peoples, from their traditional homes.","As noted above, export credit agencies play an important role in the global economy. This role places additional responsibilities on such institutions in support of projects in developing countries, with transparency, accountability, due diligence and strict adherence to internationally agreed standards on human rights and the environment in their operational activities. Unfortunately, as public financing institutions supporting projects in developing countries, most export credit agencies do not have the task of promoting development and their sole mission is to promote investment and exports by private companies, activities that often undermine the human rights and sustainable development of the countries where such institutions support projects. [22]","37. As stated in the report of the independent expert on his mission to Australia (A/HRC/17/37/Add.1), the independent expert fully supports the view that the lack of rules on transparency raises serious doubts about the accountability of export credit agencies to nationals of developing countries for projects supported by taxpayers and institutions in their home countries. Loans provided by the home Governments of export credit agencies or secured by the implementing Governments of projects supported by export credit agencies are a matter of public interest and there is reason to require such public institutions or public funding institutions to comply with the rules on transparency and operate under clear accountability mechanisms.","38. The independent expert believes that export credit agencies should be required to publish information on their activities, including project assessment, decision-making and implementation, and to assess the human rights implications of their financing decisions (as well as environmental and social impacts). Where there are restrictions on the disclosure of information, they should be clearly and narrowly defined. This allows export credit agencies to make responsible and informed decisions on projects they support.","In addition to the use of transparency and accountability mechanisms as part of the policies and procedures of export credit agencies, it is also the responsibility of national entities, such as national legislatures or national audit bureaux, to monitor the activities of these institutions on an ongoing basis and to ensure that their activities do not undermine their foreign assistance and development policies and international human rights obligations. These human rights matters require further study.","International regulation of the activities of export credit agencies","Export credit agencies are managed within OECD through the Official Support for Export Credit Arrangement. The arrangement provides for a legal and financial framework for the provision of export credits to regulate and make transparent export credit operations. The main issues addressed by the arrangement included: minimum interest rates and down payment, standardized repayment schedules, common reporting procedures, maximum credit duration, constraints on the use of tied aid and transparency rules.","41. In addition, the OECD Working Group on Export Credits and Credit Guarantees provides a forum for discussion of non-financial issues (e.g., corruption, environment and competition), negotiation of non-binding general guidelines and enhanced cooperation among competitors.","42. International cooperation on export credit policies is also carried out by the International Union of Credit and Investment Insurers, known as the Berne Union, whose role is limited to the exchange of information on foreign buyers in order to reduce business risks. The Berne Union is joined not only by export credit agencies from OECD countries, but also from emerging economies. It also includes private entities that do not provide export credits and investment insurance in accordance with government mandates. The Berne Alliance guidelines apply to all members, with vague references to issues such as environmental sensitivity, anti-corruption and transparency.","Most OECD export credit agencies have developed policies on the environmental and social impact of their activities. Such policies usually require environmental impact assessments by all OECD export credit agencies.","44. In 2003, OECD adopted the recommendations of the Working Group on Export Credits on the development of a common approach to environment and official support for export credit (the common approach). The common approach requires Governments and export credit agencies to review the potential environmental impact of the project and assess it in accordance with international standards. Following an OECD review in June 2007, the proposal for a common approach was updated, calling for more information to be publicly disclosed and for an enhanced exchange of information in order to make the competitive environment of institutions more equitable. It also requires compliance with host country environmental standards, a review and classification of potential environmental impacts, an environmental impact assessment of projects with potentially significant adverse environmental impacts, and screening of projects in accordance with World Bank safeguard policies or, where appropriate, International Finance Corporation performance standards.","45. However, the common approach also has several shortcomings. First, the common approach is non-binding recommendations. Secondly, the common approach includes an exception clause (article 13), which provides that a member ' s export credit agency may not apply any criteria if it decides not to do so at all, provided that the member reports the matter to the Working Group on Export Credits and provides reasons. Third, the common approach currently applies only to export credits with an official support repayment period of at least two years.","46. It is worth noting that human rights are not mentioned in the common approach at all, and the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises has therefore recommended that the common approach should make clear that human rights are a key factor in the social sustainability of enterprises and markets and that the role of export credit agencies in enhancing corporate responsibility to respect human rights should be explicitly recognized. The Special Representative further recommends that OECD consider establishing a human rights working group to develop appropriate tools for export credit agencies to use in human rights due diligence measures and to assist in building human rights knowledge base and human rights capacity to enhance the capacity of export credit agencies to uphold human rights. In addition, AI recommended that projects supported by export credit agencies should be assessed in the light of international human rights standards in order to prevent projects from causing or contributing to human rights violations. [25] The independent expert fully supports these recommendations.","47. With regard to corruption, the Export Credit Working Group issued a statement of action on bribery and official support for export credits in 2000. The statement was revised in 2006 and became an OECD recommendation. The recommendation recognizes the role of export credit agencies in the fight against corruption and suggests some appropriate measures to prevent corruption in international operations, including clarifying the legal consequences of bribery to exporters applying for credit, requiring exporters to declare that they have failed to pay bribes, requiring information on past allegations of corruption, requiring disclosure of agency fees and commissions, checking the records of potential customers included in the disqualification lists of international financial institutions, and suspending eligibility for projects with evidence of bribery. [26]","48. Despite these limited efforts, the operations of export credit agencies remain largely unregulated at the global level, and standards and regulations on transparency and environmental and human rights impacts are generally inadequate.","VI. Responsibility of States for wrongful acts of export credit agencies","Export credit agencies, as officially supported institutions, are distinct from purely private financial companies. Export credit agencies, whether owned or mandated by the Government, function in accordance with national laws or regulations that define their mandates. All export credit agencies carry out certain transactions on behalf of the Government, with the support and control of the Government. This establishes the legal relationship between the State and export credit agencies. [27] Export credit agencies, in the form of public-private consortia, are also subject to State control because of State approval, funding and regulation of their operations. Because of this legal relationship, it can be said that the home State of an export credit agency is responsible for breaches of international law and that the wrongful act committed by such an agency is attributable to the State.","50. As an argument for this view, it is worth recalling that, in accordance with articles 4 and 5 of the Commission ' s draft articles on responsibility of States for internationally wrongful acts, the conduct of any State organ, whatever its function or status, and any non-State organ authorized by the law of that State to exercise certain governmental powers and to act in that capacity in certain circumstances, is attributable to the State under international law. Moreover, in the case of international responsibility, the act or omission of any State unit may be considered as the State, in accordance with the principle of the unity of States (A/56/10). This means that, as an export credit agency of State organs, its wrongful acts and omissions are attributed to the State under international law on State responsibility. The export credit agencies established as State agencies or government departments are clearly public authorities and the State is therefore responsible for their actions. These institutions are owned and operated by the State alone. Similarly, export credit agencies established as autonomous State-owned companies may operate independently, but their activities are ultimately regulated by government departments such as the Ministry of Trade or the Ministry of Finance. Thus, this second category of export credit agencies can also be considered State-controlled. Although there is a high degree of autonomy for private companies or public-private consortia belonging to category III, the State retains some control over their operations through regulation, funding, approval of large payments, supervision or the establishment of standards and procedures. In many cases, final decision-making on the operations of private or public-private companies requires the approval of a ministry or ministerial committee. In sum, the impact of the State on the activities of export credit agencies is a common factor that cannot be left to rest.","51. Under the law of State responsibility, Governments must ensure that their export credit agencies did not violate international legal obligations, including international human rights law. Where export credit agencies do not consider or take steps to mitigate the human rights impact of projects of private companies they support, when human rights violations occur, they may lead States to assume responsibility for breaches of international law obligations (A/HRC/17/31, annex, principle 4). State obligations under international law also require States to ensure that their actions or those of their organs, including export credit agencies, do not cause harm to another State.","52. A State is responsible for international complicity in the wrongful act of another State if it knows in advance the circumstances of the wrongful act of that State (A/56/10, article 16). Thus, if an export credit agency supports a company's project in a foreign country that allows it to operate in a manner contrary to international human rights law, the home country may be liable for assisting the host country in its wrongful conduct. [28]","The commentary to Part One of chapter II of the draft articles emphasizes that a State may be responsible for the effects of acts of private parties if it does not take the necessary measures to prevent such acts (A/56/10). As noted above, under international human rights law, States have the responsibility to regulate the activities of third parties to prevent human rights violations. Similarly, as far as responsibility for the activities of transnational corporations is concerned, States have an obligation to prevent human rights violations by their own companies abroad. [29]","VII. Conclusions and recommendations","54. Projects supported by export credit agencies may have a negative impact on sustainable development and human rights in the countries where they are implemented. Export credit agencies often lack transparency and do not adequately consider environmental, social and human rights considerations in financing decisions. Under international law on State responsibility, officially supported export credit agencies were organs or agents of the home State and their wrongful acts or omissions could be attributed to the State. It is therefore incumbent upon the home State to regulate its activities. In addition, export credit agencies have a responsibility to respect human rights.","55. In order to ensure that the activities supported by export credit agencies do not undermine international human rights obligations, contribute to human rights violations, impede the sustainable development of the country in which they are carried out or increase the debt burden of developing countries, the independent expert recommends that:","(a) States take measures to ensure that their export credit agencies develop and implement stronger environmental and social safeguards consistent with international human rights standards;","(b) States ensure that their export credit agencies implement information disclosure policies, in particular by requiring public disclosure of all information on the environmental, social, human rights and development implications of transactions supported by such agencies, in order to increase transparency and accountability and to ensure that such information is made available to affected communities;","(c) States to take measures, including through legislation, to ensure that their export credit agencies do not support projects that lead to or contribute to human rights violations and, to that end, to ensure that their export credit agencies develop a framework of human rights due diligence measures to enable them to assess the actual and potential negative impact on human rights and to effectively protect against risks, thereby fulfilling their obligation to respect human rights;","(d) States ensure that effective national legal remedies are available to those affected by projects supported by export credit agencies and by exports, including victims of human rights violations resulting from activities supported by export credit agencies;","(e) Forced integration of the OECD common approach into the environmental, social and human rights review policies of export credit agencies;","(f) The international community has imposed a moratorium on the debt of existing export credit institutions in the poorest countries, a significant part of which is used for purposes that are of no economic value, while debtor countries conduct transparent public audits of all claims of export credit agencies in accordance with the odious debt principle to determine their legitimacy and unconditionally cancel all debts that are found to be contrary to the odious debt principle.","[1] ^ (*) A/66/150.","[2] See Doug Norlen, Rory Cox, Miho Kim and Catriona Glazebrook, eds., Unusual Systems: Unearthing the Shadow World of Export Credit Activities (Oakland, California, Pacific Environmental, 2002), p. 1; Bruce Rich, “Exporting regulation”, The Environmental Forum, September/October 2000; Malcolm Stephens, The Changement of Export Capitals (Washington, California, Pacific Environmental, 2002), p. 1; Andrew M. Moravcsik, “Discuring progress: The OECD Economic Cooperation, The Change of Energy”, Report, vol. 6, www.org.","[3] See www.oecd.org/dataoecd/30/35/37931024.pdf. See also Karin Keenan, “export credit treaties and the international law of human rights” (Halifax Initiative, 2008), p. 1.","[4] See Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance, 2009, p. 5, available at www.edf.org/documents/9593_coal-plans-report.pdf. See also Richard Wainwright, eds., Reporting: Export Credits, International Logging and Development (FERN, 2008), para.","[5] Delio E. Gianturco, Export Credit Treaties: The Unsung Gians of International Trade and Finance (Westport, Contractor, Quorum Books, 2001), p. 1.","[6] The final communiqué of the Group of 20 on the Global Recovery and Reform Plan states that the leaders of the Group will ensure a minimum of $250 billion over the next two years to support the Group ' s export credit and investment institutions and multilateral development banks in providing trade finance. See the Global Recovery and Change Plan adopted by the G-20 leaders on 2 April 2009. Available at www.g20.org/Documents/final-communique.pdf. See also OECD statement on the global financial crisis and export credits, 22 April 2009. Available at www.oecd.org/dataoecd/51/22/426243.pdf.","[7] Norlen et al., Unusual Suspects (see footnote 1), p. 1.","[8] See Gabrielle Watson, eds., Race to the Bottom, Take II: An Agreement of Sustainable Development Achievements of ECA-Suppled Projects Two Years Africa Optroaches Rev. 6 (ECA-Watson, 2003); Stephanie Fried and Titi Soentoro, ed., ABreef Overseas of Export Credit Activities in the Asia-Pacific Region (Mumbai, World Health Organization, 2004); Nicholas Hildyard, “Snouts in the trade: finance institutions, finance and policy in Europe”, Corser Brewer Brewers. See also Amnesty International ' s March 2010 submission (POL 30/002/2010), p. 1.","[9] See OECD, Export Credit Financing Systems in OECD Member Countries and Non-Member Economics (2008). Available at www.oecd-ilibrary.org.","[10] For information on export credit financing systems in OECD member and non-member countries, see www.oecd-ilibrary.org/trade/export-credit-finance-systems-in-oecd-member-country-and-non-member-economies_17273870.","[11] Keenan, “Export credit treaties and the international law of human rights”, p. 2.","[12] Aaron Goldzimer, “Worse than the World Bank?","[13] World Bank, Global Development Finance: Financing the Poorest (Washington, D.C., 2002), p. 107.","[14] See also general comment No. 12 on the right to adequate food, paras. 36-37; and general comment No. 15 on the right to water, paras. 31-34.","[15] See also Legal Consequences of the Construction of a Wall in the Occupied Palestinian Technology, Australia Open, I.C.J. Reports 2004, p. 136.","[16] Some treaty bodies urge States to take steps to prevent violations committed abroad by companies within their jurisdiction. See also general comment No. 19 of the Committee on Economic, Social and Cultural Rights on the right to social security (E/C.12/GC/19), para. 54, and the concluding observations of the Committee on the Elimination of Racial Discrimination on the fourth, fifth and sixth reports of the United States (CERD/C/USA/CO/6).","[17] In the United States, the Overseas Private Investment Corporation, which operates as an export credit agency, has established an Accountability Office to assess and review complaints about projects it supports. The Office provides access to complaints to local communities that may be significantly, directly or adversely affected by the project, as well as to project sponsors, independently of the company ' s operations. See www.opic.gov/doing-business/accountability.","[18] See, for example, Watson, Editor, Race to the Bottom, Take II (see footnote 7) and Norlen et al., Unusual Suspects (see footnote 1).","[19] Dieter Frisch, “Export Credit Insurance and the fight against international cooperation”, Transparency International Working Paper (Transparency International, 1999), available at www.odiousdebts/index.cfm?DSP=content&ContentID=2366. For information on the lack of progress in addressing corporate involvement in bribery and corruption, see also Transparency International, Transparency in Reporting on Anti-Corrition: A Report on Corporation Practices (2009).","[20] See European Network on Debt and Development, “Skelets in the cupboard: llegitimate debt class of the G7” (2007).","[21] Hildyard, “Snouts in the process” (see footnote 7).","[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia's Export Credit Agency (Sydney, Australia, 2009), para.","[23] Wainwright, ed., Exporting Development (see footnote 3), p. 12. See also http://www.oekb.at/en/export-services/transparency-compliance/environment/oecd-common-approaches/pages/default.aspx.","[24] Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, “Involving with export credit agencies on respect for human rights”, presentation at the OECD Working Group on Export Credit Common Approach meeting, Paris, 23 June 2010.","[25] See Amnesty International ' s submission on the review of the proposed amendments to the common approach (see footnote 7), p. 4.","[26] Wainwright, ed., Exporting Development (see footnote 3), p. 15.","[27] See Özgür Can and Sara L. Seck, “The legal obligations with respect to human rights and export credit treaties”, paper prepared for ECA-watch, Halifax Initiative and ESCR-Net, July 2006. Available at www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf.","[28] See Keenan, “Export credit treaties and the international law of human rights” (see footnote 2), pp. 3-7. See also Can and Seck, “The legal obligations with respect to human rights and export credit treaties”, pp. 4-8.","[29] See Keenan, “Export credit treaties and the international law of human rights”, p. 10; Can and Seck, “The legal obligations with respect to human rights and export credit treaties”, p. 12."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda [1]\",\n \"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights\",\n \"Note by the Secretary-General\",\n \"The Secretary-General has the honour to transmit to the members of the General Assembly the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights, Cephas Lumina, submitted pursuant to Human Rights Council resolutions 7/4 and 16/4.\",\n \"Report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights\",\n \"Summary\",\n \"Export credit and investment insurance agencies are commonly referred to as export credit agencies. These institutions as a whole are the main sources of public financing for the participation of foreign enterprises in large-scale industrial and infrastructure projects in developing countries and emerging economies. In recent years, export credit agencies have played an increasingly important role in the global economy, particularly in the context of the global financial crisis.\",\n \"However, many of the projects supported by export credit agencies have had harmful environmental, social and human rights consequences and are economically unsustainable. Many reports document human rights violations resulting from or associated with projects supported by export credit agencies, including forced displacement of local populations, violations of indigenous peoples ' rights, denial of access to basic services and environmental damage. In addition, export credit agencies generally operate in a subtle manner and often lack transparency in financing decisions and operations.\",\n \"The present report is submitted pursuant to Human Rights Council resolutions 7/4 and 16/4 and is intended to explore the negative impact of activities supported by export credit agencies on sustainable development and the realization of human rights in countries where such activities take place, particularly in developing countries. It also addressed the role of export credits in increasing the debt burden of those countries.\",\n \"The present report calls upon States to reduce the negative impact of projects supported by export credit agencies and proposes measures to ensure that the activities of export credit agencies do not impede the implementation of international human rights and other obligations of their home and host countries, and that they contribute to human rights violations.\",\n \"Introduction\",\n \"Export credit and investment insurance agencies are generally referred to as export credit agencies. These institutions as a whole are the main source of public financing for the participation of foreign enterprises in large-scale industrial and infrastructure projects in developing countries, particularly in the extractive industries sector. [2] In 2005, export credit agencies of member countries of the Organization for Economic Cooperation and Development (OECD) provided $125 billion in credit, insurance, guarantees and interest subsidies. [3] In 2007, export credit agencies collectively supported trade and investment of $1.4 trillion, equivalent to about 10 per cent of total world export trade. [4] It is estimated that the activities of export credit agencies exceed those of all multilateral development banks and overseas development agencies, with direct financing of one eighth of world trade. [5]\",\n \"In recent years, export credit agencies have played an increasingly important role in the global economy, particularly in the context of the global financial crisis. In April 2009, the Group of 20 and OECD countries held a London summit in which they committed themselves to providing increased support for export credits to increase international trade flows. [6]\",\n \"However, many projects supported by export credit agencies, including large dams, pipelines, greenhouse gas-emitting fire and atomic power plants, chemical facilities, mining projects and forestry and plantation projects, have serious environmental, social and human rights consequences. [7] Numerous reports document the negative impact on human rights of projects supported by export credit agencies, including forced displacement of local populations, resulting in government repression, violations of indigenous peoples ' rights, denial of access to basic services and environmental damage. In addition, export credit agencies often lack adequate safeguards and due diligence, lack transparency and become involved in corruption.\",\n \"4. The present report, submitted pursuant to Human Rights Council resolutions 7/4 and 16/4, focuses on the negative impact of activities supported by export credit agencies on the sustainable development and realization of human rights in countries where such projects are implemented. The report also examines the role of export credits in increasing the debt burden of developing countries.\",\n \"II. Overview of export credit agencies\",\n \"What are export credits?\",\n \"The term “export credit” refers to an insurance, guarantee or financing arrangement that enables purchasers of exported capital goods and/or services to defer payments for a period of time (including short-term credit, normally less than two years, medium-term credit, usually two to five years, and long-term credit, usually more than five years). [9] Export credits are the main loans provided by export credit agencies.\",\n \"What is an export credit agency?\",\n \"Export credit agencies are public entities that provide publicly guaranteed or subsidized loans, guarantees, credits and insurance to private companies in their home countries to support export and outward investment, particularly in developing countries and emerging economies. Most developed countries have at least one export credit agency, usually an official or quasi-official body of their Government. [10]\",\n \"7. Although export credit agencies are organized in a variety of forms, they are usually supported by the Government and operate in accordance with the Government ' s mandate. Export credit agencies may be: (a) a government department, such as the Export Credit Guarantee Department of the United Kingdom of Great Britain and Northern Ireland and the Export and Import Bank of the United States of America; (b) an autonomous government-owned but independently operated company, such as the Australian Export Finance and Insurance Corporation, Office National du Ducroire/Nationale Delcredeedienst of Belgium and the Canadian Export Development Corporation of Canada; or (c) a private company acting as a government agent or a public-private partnership (the Government makes key decisions and takes key risks, the company provides services and conducts initial risk analyses), such as Compagnie France d'Assurance pour le Commerce Exterieur of France, Euler Hermes Kreditverscherungs of Germany and Atradius of the Netherlands. [11] These forms are reflected in the sources of financing arrangements: the State budget; government-specific funds; government loans and capital; and shares or bonds.\",\n \"Export credit agencies provide support to domestic firms in different ways. These institutions provide loans to foreign purchasers (directly or through commercial banks) for the purchase of goods and services originating in their home countries, thereby enhancing the export capacity of domestic companies. Financial services provided by export credit agencies also include commercial loan guarantees and export credit insurance. In order to obtain credit guarantees, the exporter is insured with the Export Credit Agency, which guarantees payment to the exporter in the event of arrears by the importer. The insurance of export credit agencies covers losses resulting from political risks such as pro bono nationalization or expropriation, confiscation of investments, restrictions on exchange dividends and transfer of profits, currency instability, economic crisis or war. Through the provision of guarantees and insurance, export credit agencies support transactions in private markets that are often unsupported by related economic or political risks.\",\n \"9. Export credit agencies provide financing at interest rates, insurance premiums and fees lower than those in private markets, and the economic conditions they offer for providing support are very low, requiring limited (or no) compliance with environmental, social and transparency standards to make financial transactions easier and faster, but they are also more risky. For borrowers from developing countries, however, the interest rate on loans guaranteed by export credit agencies remains higher than that on many loans from other official sources, such as development banks or institutions. [12]\",\n \"Finally, most official lending institutions, such as the World Bank, the International Monetary Fund and other development agencies, clearly aim to promote local economic growth, development and/or poverty reduction, while most export credit institutions have no mandate to promote development at all. The only objective of these institutions is to promote domestic exports or outward investment.\",\n \"Export credit agencies and sovereign debt\",\n \"11. Debt related to export credit agencies is the largest component of the debt of developing countries. According to World Bank estimates, the total exposure of export credit agencies to the long-term external debt of developing countries reached $500 billion by the end of 2000, accounting for one quarter of the total long-term external debt of those countries. [13] More than 50 per cent of the total debt of some countries is owed to export credit agencies. For example, according to 2001 OECD figures, about 64 per cent of Nigeria's debt and about 42 per cent of the Democratic Republic of the Congo's debt was owed to export credit agencies.\",\n \"12. Export credits have led to an increase in the sovereign debt of a State through various means. Export credit agencies may directly increase the sovereign debt burden by providing loans directly to Governments or foreign public entities, or by providing guarantees or insurance for commercial credit to Governments or public entities. If the debtor (a public entity) defaults on payments to the export credit agency or its insurers, the debt owed by that public entity becomes part of the sovereign debt of that State.\",\n \"13. Export credits may also indirectly lead to sovereign debt through sovereign counter-guarantees. The purpose of such guarantees is to reduce the risk of transactions between private exporters, who are usually service exporters or providers in developed countries, and foreign private recipients (usually importers or recipients of investments or projects in developing countries). Exporters are insured with export credit agencies in their home countries for transactions or projects with greater economic or political risks. Export credit agencies then require counter-guarantees from the recipient ' s Government. In the event of project default or bankruptcy, the export credit agency pays the losses of private companies and recovers the payments made on the basis of counter-guarantees from developing country Governments. If the Government is unable to pay the counter-guarantee, the amount owed is credited to the sovereign debt of that State. Thus, the financial or political risks involved in the transaction are transferred from private investors to taxpayers in the country where the private recipient is located.\",\n \"14. In another case, even if the Government does not borrow or provide loan guarantees, export credit agency projects may have significant contingent liabilities for the Government. Governments in developing countries often provide “specially generous” conditions for attracting private investment, such as in power generation projects. The Government may have to enter into an agreement on the purchase of electricity, which will be guaranteed at high United States dollar prices. This purchase agreement is not a loan and is therefore not counted as a debt but may have serious budgetary implications for the Government.\",\n \"15. Inevitably, due to the support of export credit agencies, there is less pressure on investors to exercise due diligence to assess the risk of default or insolvency of the project. Thus, irresponsible investment behaviour and support from export credit agencies could lead to an increase in the debt of developing countries.\",\n \"16. Governments that are unable to honour their debt obligations often need to reschedule their debt in international forums such as the Paris Club. For LDCs, debt related to export credits is often not part of debt relief and cancellation negotiations. Currently, all export credit debt cancelled after the Paris Club entered into a rescheduling agreement could be recorded as ODA. As a result, funds for debt cancellation for export credit agencies often come from official aid budgets. However, transactions leading to debt on export credits are not necessarily used for development purposes. Export credits are often used to support environmentally and socially harmful projects.\",\n \"17. Civil society organizations have expressed concern that some of the debt caused by transactions between export credit agencies and developing countries may be odious or illegitimate (see A/64/289) and should therefore be cancelled. The independent expert shares this concern and urges debtor countries to conduct transparent public audits of the debt of all export credit agencies to determine its nature. The Monterrey Consensus of the International Conference on Financing for Development emphasized the principle of shared responsibility between creditor and debtor countries for preventing and resolving unsustainable debt problems. In line with this principle, he also called for a transparent common audit of the lending portfolios of export credit agencies in their home countries.\",\n \"Export credit agencies and human rights\",\n \"A. Human rights obligations of export credit agencies\",\n \"18. States have the primary responsibility for the realization of human rights. In this regard, States have three fundamental obligations to respect, protect and fulfil the human rights of individuals and groups within their territory or jurisdiction. The obligation to protect implies that measures should be taken to ensure that human rights are not violated at all times by third parties. To this end, States must take appropriate steps to prevent, investigate, punish and remedy human rights violations by third parties through effective policies, laws, regulations and rulings (see A/HRC/17/31, annex, principle 1).\",\n \"19. It is increasingly recognized that States ' human rights obligations may, in certain circumstances, extend beyond national borders. For example, the Committee on Economic, Social and Cultural Rights has noted, inter alia, that States have a legal obligation to respect economic, social and cultural rights beyond their jurisdiction and to refrain from actions that lead to violations of those rights. In its general comment No. 14, the Committee stated that, in order to comply with their international obligations, States parties must respect the enjoyment of the right to health in other countries and, in accordance with the Charter of the United Nations and applicable international law, prevent third parties from violating this right in other countries when they are able to influence third parties by legal or political means (E/C.12/2000/4, para. 39). Similarly, in its general comment No. 31, the Human Rights Committee stated that States parties must respect and ensure the rights set forth in the Covenant of any person within the power or effective control of that State party, even if located outside its territory (CCPR/C/21/Rev.1/Add.13, para. 10). [15]\",\n \"20. Thus, a State is responsible for human rights violations committed abroad by its actions, or in other countries by its failure to regulate its own actors. In addition, under article 2.1 of the International Covenant on Economic, Social and Cultural Rights, States are obliged to provide international assistance and cooperation for the progressive realization of the rights set forth in the Covenant.\",\n \"21. While the primary responsibility for the protection of the human rights of local residents lies with the implementing countries of the projects supported by export credit agencies, the home countries of such institutions have the responsibility to regulate and monitor the activities of such institutions in their home countries, whether they are government-owned, government-mandated or government-supervised, that adversely affect the enjoyment of human rights by the host population. As noted by the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, States should take measures to avoid human rights violations by business enterprises owned or controlled by the State, or by enterprises that have access to substantial support and services from State institutions, such as export credit agencies and official investment insurance or guarantee agencies, including, where appropriate, human rights due diligence measures (A/HRC/17/31, annex, principle 4).\",\n \"22. However, Governments rarely take due diligence measures with regard to the actions of their export credit agencies. Indeed, human rights standards are largely absent from the operational policies of these institutions and from national laws establishing them. Export credit agencies lack clear policies to prevent human rights violations and to take due diligence measures to identify and mitigate the possible adverse effects of projects on human rights. The home countries of many export credit agencies also lack effective mechanisms to rule on allegations of human rights violations resulting from projects supported by these institutions. In addition, the impact of human rights violations in the activities supported by export credit agencies is rarely assessed. Furthermore, all transactions and projects supported by export credit agencies are often protected by confidentiality provisions that are not open to residents and potentially affected communities, thus undermining human rights principles such as transparency and participation.\",\n \"23. As explained above, activities supported by export credit agencies may have serious consequences for a country ' s debt burden and sustainable development, and therefore for the lives of people. States should therefore ensure that they refrain from causing or facilitating human rights violations through projects supported by export credit agencies. Governments acting either directly or through their export credit agencies are in breach of their obligations under international human rights law if they fail to take due diligence measures and avoid potentially harmful acts by non-State actors that violate human rights.\",\n \"In order for export credit agencies to fulfil their due diligence obligations in their operations, they should conduct and publish human rights impact assessments in consultation with potential affected populations before deciding to support any project. They should also continue to monitor independently and reassess human rights risks throughout the project. To ensure that potential victims receive adequate attention and redress, export credit agencies should establish independent, fair and non-discriminatory complaints mechanisms. National laws and operational policies for the establishment of export credit agencies should also refer to human rights standards. Export credit agencies should assess all projects in the light of human rights standards and clearly establish due diligence rules in their policies and contracts.\",\n \"25. Private companies financed by export credit agencies are also responsible for the human rights impact of their activities. In this regard, it is noteworthy that Human Rights Council resolution 8/7, inter alia, states that transnational corporations and other business enterprises have a responsibility to respect all human rights (see also Human Rights Council resolution 17/4). It is also noteworthy that the Committee on Economic, Social and Cultural Rights has emphasized that private actors, both State and transnational, should conduct their activities in accordance with codes of conduct conducive to respect for these rights (E/C.12/1999/5, para. 20).\",\n \"26. Private companies have a responsibility to communities to effectively avoid human rights violations through their activities, including direct violations or complicity with others, and to endeavour to avoid or reduce adverse impacts on human rights (A/HRC/17/31, annex, principle 13). It is noteworthy that the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises emphasized that, in addition to complying with national laws, corporations have a fundamental responsibility to respect human rights, as this is the basic expectation of society for business enterprises (see A/HRC/11/13).\",\n \"27. This responsibility requires a policy commitment to human rights standards contained in the core international human rights instruments, specific human rights due diligence measures and a complaint mechanism for victims of human rights violations. Company due diligence measures should include steps that companies must take to understand, prevent, reduce and address adverse impacts on human rights. In order for companies to fulfil their due diligence obligations in their operations, they must take into account: the circumstances in which they operate; the impact of their activities; the conduct of human rights impact assessments; and the dynamics of the relationships associated with those activities in order to avoid complicity in human rights violations (A/HRC/17/31, annex, principle 17). Companies should also engage with potentially affected communities through ongoing consultations and the provision of information.\",\n \"28. Where human rights have been violated, complaint mechanisms should be made available to victims. The Special Representative emphasizes that access to remedies for victims is an important aspect of corporate responsibility to respect human rights. Companies should establish complaints mechanisms such as hotlines, victim counselling services and mediation specialists.\",\n \"B. Human rights implications of the activities of export credit agencies\",\n \"Most export credit agencies operate clandestinely, making it difficult to obtain accurate information on the projects they support. Nevertheless, many reports document the harmful effects of these projects on human rights. According to such reports, the activities of companies supported by export credit agencies have resulted in many human rights violations, such as harassment of ethnic minorities, occupation of indigenous lands, forced evictions and resettlement, lack of compensation, damage to rural livelihoods, violations of labour rights, threats to life and physical integrity, increased militarization, State repression, exclusion of women from consultations, restrictions on freedom of expression and association, inadequate participation of and consultation with project-affected populations, and limited access to justice. [18]\",\n \"C. Other concerns\",\n \"The activities supported by export credit agencies raise concerns about the lack of transparency and accountability. Most export credit agencies have resisted calls from civil society organizations to publish information, claiming that their activities are commercially and internationally sensitive and protected by confidentiality rules and thus exempt from transparency rules.\",\n \"31. Although the level of information provided by countries to export credit agencies varies, these institutions lag behind other public institutions in terms of transparency and accountability. This situation is not conducive to efforts to ensure that these institutions provide responsible credit, fulfil due diligence obligations in their actions, and respect human rights and environmental standards. In fact, most export credit agencies have no obligation to disclose the possible adverse social and environmental impacts of the projects they support. Some export credit agencies publish the information only when the transaction is approved and the client ' s approval is awaited.\",\n \"32. The lack of transparency and accountability in the operations of export credit agencies exposes host Governments and, indirectly, their taxpayers to the risks of conspiracy to support projects that may lead to human rights violations, condoning corrupt practices, engaging in activities without an accountable regime and undermining the environment. Export credit agencies, as semi-public entities, are obliged to inform taxpayers of any such risks.\",\n \"Reports from civil society organizations indicate that projects supported by export credit agencies are known to be involved in corruption cases. According to Transparency International, bribery of foreign officials for their export contracts has become a common practice in industrialized countries. [19] Bribery is used as a commission and is included in the contractual amount of the guarantee and, if insured, in the amount of the exporter’s compensation. 18\",\n \"34. It is known that projects supported by export credit agencies have supported activities of the non-accountable regime. In the Philippines, for example, during Ferdinand Marcos's tenure, the United States Export-Import Bank provided loans and guarantees for the Badan Nuclear Power Plant project. During the Suharto period of power, the German export credit agency supported a transaction with Indonesia by providing insurance, i.e. the purchase and modernization of German vessels, which were ultimately used only in the internal Indonesian armed conflict. Similarly, between 1993 and 1996, when Suharto was in power, the Department of Export Credit Guarantee (United Kingdom of Great Britain and Northern Ireland) had provided guarantees for the sale of falcon fighters to the Indonesian Air Force. The Indonesian military reportedly attacked East Timorese villages with these fighter jets in 1999. [21]\",\n \"35. Loans and guarantees provided by export credit agencies for extractive industry projects, such as logging, mining, gas or oil, have caused significant damage to the environment and the lives of local community residents in the project area. The risks of these projects include environmental degradation; land, air and water pollution; habitat destruction; greenhouse gas emissions, deforestation, desertification and soil degradation; long-term dependence on fossil fuels; and, ultimately, global climate change. These environmental changes may then affect the health of the local population and increase the risk of cancer, skin diseases, lung diseases and other health-related problems. These changes may also affect people ' s sources of livelihood, undermine their food security and lead to the displacement of local community residents, in particular indigenous peoples, from their traditional homes.\",\n \"As noted above, export credit agencies play an important role in the global economy. This role places additional responsibilities on such institutions in support of projects in developing countries, with transparency, accountability, due diligence and strict adherence to internationally agreed standards on human rights and the environment in their operational activities. Unfortunately, as public financing institutions supporting projects in developing countries, most export credit agencies do not have the task of promoting development and their sole mission is to promote investment and exports by private companies, activities that often undermine the human rights and sustainable development of the countries where such institutions support projects. [22]\",\n \"37. As stated in the report of the independent expert on his mission to Australia (A/HRC/17/37/Add.1), the independent expert fully supports the view that the lack of rules on transparency raises serious doubts about the accountability of export credit agencies to nationals of developing countries for projects supported by taxpayers and institutions in their home countries. Loans provided by the home Governments of export credit agencies or secured by the implementing Governments of projects supported by export credit agencies are a matter of public interest and there is reason to require such public institutions or public funding institutions to comply with the rules on transparency and operate under clear accountability mechanisms.\",\n \"38. The independent expert believes that export credit agencies should be required to publish information on their activities, including project assessment, decision-making and implementation, and to assess the human rights implications of their financing decisions (as well as environmental and social impacts). Where there are restrictions on the disclosure of information, they should be clearly and narrowly defined. This allows export credit agencies to make responsible and informed decisions on projects they support.\",\n \"In addition to the use of transparency and accountability mechanisms as part of the policies and procedures of export credit agencies, it is also the responsibility of national entities, such as national legislatures or national audit bureaux, to monitor the activities of these institutions on an ongoing basis and to ensure that their activities do not undermine their foreign assistance and development policies and international human rights obligations. These human rights matters require further study.\",\n \"International regulation of the activities of export credit agencies\",\n \"Export credit agencies are managed within OECD through the Official Support for Export Credit Arrangement. The arrangement provides for a legal and financial framework for the provision of export credits to regulate and make transparent export credit operations. The main issues addressed by the arrangement included: minimum interest rates and down payment, standardized repayment schedules, common reporting procedures, maximum credit duration, constraints on the use of tied aid and transparency rules.\",\n \"41. In addition, the OECD Working Group on Export Credits and Credit Guarantees provides a forum for discussion of non-financial issues (e.g., corruption, environment and competition), negotiation of non-binding general guidelines and enhanced cooperation among competitors.\",\n \"42. International cooperation on export credit policies is also carried out by the International Union of Credit and Investment Insurers, known as the Berne Union, whose role is limited to the exchange of information on foreign buyers in order to reduce business risks. The Berne Union is joined not only by export credit agencies from OECD countries, but also from emerging economies. It also includes private entities that do not provide export credits and investment insurance in accordance with government mandates. The Berne Alliance guidelines apply to all members, with vague references to issues such as environmental sensitivity, anti-corruption and transparency.\",\n \"Most OECD export credit agencies have developed policies on the environmental and social impact of their activities. Such policies usually require environmental impact assessments by all OECD export credit agencies.\",\n \"44. In 2003, OECD adopted the recommendations of the Working Group on Export Credits on the development of a common approach to environment and official support for export credit (the common approach). The common approach requires Governments and export credit agencies to review the potential environmental impact of the project and assess it in accordance with international standards. Following an OECD review in June 2007, the proposal for a common approach was updated, calling for more information to be publicly disclosed and for an enhanced exchange of information in order to make the competitive environment of institutions more equitable. It also requires compliance with host country environmental standards, a review and classification of potential environmental impacts, an environmental impact assessment of projects with potentially significant adverse environmental impacts, and screening of projects in accordance with World Bank safeguard policies or, where appropriate, International Finance Corporation performance standards.\",\n \"45. However, the common approach also has several shortcomings. First, the common approach is non-binding recommendations. Secondly, the common approach includes an exception clause (article 13), which provides that a member ' s export credit agency may not apply any criteria if it decides not to do so at all, provided that the member reports the matter to the Working Group on Export Credits and provides reasons. Third, the common approach currently applies only to export credits with an official support repayment period of at least two years.\",\n \"46. It is worth noting that human rights are not mentioned in the common approach at all, and the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises has therefore recommended that the common approach should make clear that human rights are a key factor in the social sustainability of enterprises and markets and that the role of export credit agencies in enhancing corporate responsibility to respect human rights should be explicitly recognized. The Special Representative further recommends that OECD consider establishing a human rights working group to develop appropriate tools for export credit agencies to use in human rights due diligence measures and to assist in building human rights knowledge base and human rights capacity to enhance the capacity of export credit agencies to uphold human rights. In addition, AI recommended that projects supported by export credit agencies should be assessed in the light of international human rights standards in order to prevent projects from causing or contributing to human rights violations. [25] The independent expert fully supports these recommendations.\",\n \"47. With regard to corruption, the Export Credit Working Group issued a statement of action on bribery and official support for export credits in 2000. The statement was revised in 2006 and became an OECD recommendation. The recommendation recognizes the role of export credit agencies in the fight against corruption and suggests some appropriate measures to prevent corruption in international operations, including clarifying the legal consequences of bribery to exporters applying for credit, requiring exporters to declare that they have failed to pay bribes, requiring information on past allegations of corruption, requiring disclosure of agency fees and commissions, checking the records of potential customers included in the disqualification lists of international financial institutions, and suspending eligibility for projects with evidence of bribery. [26]\",\n \"48. Despite these limited efforts, the operations of export credit agencies remain largely unregulated at the global level, and standards and regulations on transparency and environmental and human rights impacts are generally inadequate.\",\n \"VI. Responsibility of States for wrongful acts of export credit agencies\",\n \"Export credit agencies, as officially supported institutions, are distinct from purely private financial companies. Export credit agencies, whether owned or mandated by the Government, function in accordance with national laws or regulations that define their mandates. All export credit agencies carry out certain transactions on behalf of the Government, with the support and control of the Government. This establishes the legal relationship between the State and export credit agencies. [27] Export credit agencies, in the form of public-private consortia, are also subject to State control because of State approval, funding and regulation of their operations. Because of this legal relationship, it can be said that the home State of an export credit agency is responsible for breaches of international law and that the wrongful act committed by such an agency is attributable to the State.\",\n \"50. As an argument for this view, it is worth recalling that, in accordance with articles 4 and 5 of the Commission ' s draft articles on responsibility of States for internationally wrongful acts, the conduct of any State organ, whatever its function or status, and any non-State organ authorized by the law of that State to exercise certain governmental powers and to act in that capacity in certain circumstances, is attributable to the State under international law. Moreover, in the case of international responsibility, the act or omission of any State unit may be considered as the State, in accordance with the principle of the unity of States (A/56/10). This means that, as an export credit agency of State organs, its wrongful acts and omissions are attributed to the State under international law on State responsibility. The export credit agencies established as State agencies or government departments are clearly public authorities and the State is therefore responsible for their actions. These institutions are owned and operated by the State alone. Similarly, export credit agencies established as autonomous State-owned companies may operate independently, but their activities are ultimately regulated by government departments such as the Ministry of Trade or the Ministry of Finance. Thus, this second category of export credit agencies can also be considered State-controlled. Although there is a high degree of autonomy for private companies or public-private consortia belonging to category III, the State retains some control over their operations through regulation, funding, approval of large payments, supervision or the establishment of standards and procedures. In many cases, final decision-making on the operations of private or public-private companies requires the approval of a ministry or ministerial committee. In sum, the impact of the State on the activities of export credit agencies is a common factor that cannot be left to rest.\",\n \"51. Under the law of State responsibility, Governments must ensure that their export credit agencies did not violate international legal obligations, including international human rights law. Where export credit agencies do not consider or take steps to mitigate the human rights impact of projects of private companies they support, when human rights violations occur, they may lead States to assume responsibility for breaches of international law obligations (A/HRC/17/31, annex, principle 4). State obligations under international law also require States to ensure that their actions or those of their organs, including export credit agencies, do not cause harm to another State.\",\n \"52. A State is responsible for international complicity in the wrongful act of another State if it knows in advance the circumstances of the wrongful act of that State (A/56/10, article 16). Thus, if an export credit agency supports a company's project in a foreign country that allows it to operate in a manner contrary to international human rights law, the home country may be liable for assisting the host country in its wrongful conduct. [28]\",\n \"The commentary to Part One of chapter II of the draft articles emphasizes that a State may be responsible for the effects of acts of private parties if it does not take the necessary measures to prevent such acts (A/56/10). As noted above, under international human rights law, States have the responsibility to regulate the activities of third parties to prevent human rights violations. Similarly, as far as responsibility for the activities of transnational corporations is concerned, States have an obligation to prevent human rights violations by their own companies abroad. [29]\",\n \"VII. Conclusions and recommendations\",\n \"54. Projects supported by export credit agencies may have a negative impact on sustainable development and human rights in the countries where they are implemented. Export credit agencies often lack transparency and do not adequately consider environmental, social and human rights considerations in financing decisions. Under international law on State responsibility, officially supported export credit agencies were organs or agents of the home State and their wrongful acts or omissions could be attributed to the State. It is therefore incumbent upon the home State to regulate its activities. In addition, export credit agencies have a responsibility to respect human rights.\",\n \"55. In order to ensure that the activities supported by export credit agencies do not undermine international human rights obligations, contribute to human rights violations, impede the sustainable development of the country in which they are carried out or increase the debt burden of developing countries, the independent expert recommends that:\",\n \"(a) States take measures to ensure that their export credit agencies develop and implement stronger environmental and social safeguards consistent with international human rights standards;\",\n \"(b) States ensure that their export credit agencies implement information disclosure policies, in particular by requiring public disclosure of all information on the environmental, social, human rights and development implications of transactions supported by such agencies, in order to increase transparency and accountability and to ensure that such information is made available to affected communities;\",\n \"(c) States to take measures, including through legislation, to ensure that their export credit agencies do not support projects that lead to or contribute to human rights violations and, to that end, to ensure that their export credit agencies develop a framework of human rights due diligence measures to enable them to assess the actual and potential negative impact on human rights and to effectively protect against risks, thereby fulfilling their obligation to respect human rights;\",\n \"(d) States ensure that effective national legal remedies are available to those affected by projects supported by export credit agencies and by exports, including victims of human rights violations resulting from activities supported by export credit agencies;\",\n \"(e) Forced integration of the OECD common approach into the environmental, social and human rights review policies of export credit agencies;\",\n \"(f) The international community has imposed a moratorium on the debt of existing export credit institutions in the poorest countries, a significant part of which is used for purposes that are of no economic value, while debtor countries conduct transparent public audits of all claims of export credit agencies in accordance with the odious debt principle to determine their legitimacy and unconditionally cancel all debts that are found to be contrary to the odious debt principle.\",\n \"[1] ^ (*) A/66/150.\",\n \"[2] See Doug Norlen, Rory Cox, Miho Kim and Catriona Glazebrook, eds., Unusual Systems: Unearthing the Shadow World of Export Credit Activities (Oakland, California, Pacific Environmental, 2002), p. 1; Bruce Rich, “Exporting regulation”, The Environmental Forum, September/October 2000; Malcolm Stephens, The Changement of Export Capitals (Washington, California, Pacific Environmental, 2002), p. 1; Andrew M. Moravcsik, “Discuring progress: The OECD Economic Cooperation, The Change of Energy”, Report, vol. 6, www.org.\",\n \"[3] See www.oecd.org/dataoecd/30/35/37931024.pdf. See also Karin Keenan, “export credit treaties and the international law of human rights” (Halifax Initiative, 2008), p. 1.\",\n \"[4] See Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance, 2009, p. 5, available at www.edf.org/documents/9593_coal-plans-report.pdf. See also Richard Wainwright, eds., Reporting: Export Credits, International Logging and Development (FERN, 2008), para.\",\n \"[5] Delio E. Gianturco, Export Credit Treaties: The Unsung Gians of International Trade and Finance (Westport, Contractor, Quorum Books, 2001), p. 1.\",\n \"[6] The final communiqué of the Group of 20 on the Global Recovery and Reform Plan states that the leaders of the Group will ensure a minimum of $250 billion over the next two years to support the Group ' s export credit and investment institutions and multilateral development banks in providing trade finance. See the Global Recovery and Change Plan adopted by the G-20 leaders on 2 April 2009. Available at www.g20.org/Documents/final-communique.pdf. See also OECD statement on the global financial crisis and export credits, 22 April 2009. Available at www.oecd.org/dataoecd/51/22/426243.pdf.\",\n \"[7] Norlen et al., Unusual Suspects (see footnote 1), p. 1.\",\n \"[8] See Gabrielle Watson, eds., Race to the Bottom, Take II: An Agreement of Sustainable Development Achievements of ECA-Suppled Projects Two Years Africa Optroaches Rev. 6 (ECA-Watson, 2003); Stephanie Fried and Titi Soentoro, ed., ABreef Overseas of Export Credit Activities in the Asia-Pacific Region (Mumbai, World Health Organization, 2004); Nicholas Hildyard, “Snouts in the trade: finance institutions, finance and policy in Europe”, Corser Brewer Brewers. See also Amnesty International ' s March 2010 submission (POL 30/002/2010), p. 1.\",\n \"[9] See OECD, Export Credit Financing Systems in OECD Member Countries and Non-Member Economics (2008). Available at www.oecd-ilibrary.org.\",\n \"[10] For information on export credit financing systems in OECD member and non-member countries, see www.oecd-ilibrary.org/trade/export-credit-finance-systems-in-oecd-member-country-and-non-member-economies_17273870.\",\n \"[11] Keenan, “Export credit treaties and the international law of human rights”, p. 2.\",\n \"[12] Aaron Goldzimer, “Worse than the World Bank?\",\n \"[13] World Bank, Global Development Finance: Financing the Poorest (Washington, D.C., 2002), p. 107.\",\n \"[14] See also general comment No. 12 on the right to adequate food, paras. 36-37; and general comment No. 15 on the right to water, paras. 31-34.\",\n \"[15] See also Legal Consequences of the Construction of a Wall in the Occupied Palestinian Technology, Australia Open, I.C.J. Reports 2004, p. 136.\",\n \"[16] Some treaty bodies urge States to take steps to prevent violations committed abroad by companies within their jurisdiction. See also general comment No. 19 of the Committee on Economic, Social and Cultural Rights on the right to social security (E/C.12/GC/19), para. 54, and the concluding observations of the Committee on the Elimination of Racial Discrimination on the fourth, fifth and sixth reports of the United States (CERD/C/USA/CO/6).\",\n \"[17] In the United States, the Overseas Private Investment Corporation, which operates as an export credit agency, has established an Accountability Office to assess and review complaints about projects it supports. The Office provides access to complaints to local communities that may be significantly, directly or adversely affected by the project, as well as to project sponsors, independently of the company ' s operations. See www.opic.gov/doing-business/accountability.\",\n \"[18] See, for example, Watson, Editor, Race to the Bottom, Take II (see footnote 7) and Norlen et al., Unusual Suspects (see footnote 1).\",\n \"[19] Dieter Frisch, “Export Credit Insurance and the fight against international cooperation”, Transparency International Working Paper (Transparency International, 1999), available at www.odiousdebts/index.cfm?DSP=content&ContentID=2366. For information on the lack of progress in addressing corporate involvement in bribery and corruption, see also Transparency International, Transparency in Reporting on Anti-Corrition: A Report on Corporation Practices (2009).\",\n \"[20] See European Network on Debt and Development, “Skelets in the cupboard: llegitimate debt class of the G7” (2007).\",\n \"[21] Hildyard, “Snouts in the process” (see footnote 7).\",\n \"[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia's Export Credit Agency (Sydney, Australia, 2009), para.\",\n \"[23] Wainwright, ed., Exporting Development (see footnote 3), p. 12. See also http://www.oekb.at/en/export-services/transparency-compliance/environment/oecd-common-approaches/pages/default.aspx.\",\n \"[24] Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, “Involving with export credit agencies on respect for human rights”, presentation at the OECD Working Group on Export Credit Common Approach meeting, Paris, 23 June 2010.\",\n \"[25] See Amnesty International ' s submission on the review of the proposed amendments to the common approach (see footnote 7), p. 4.\",\n \"[26] Wainwright, ed., Exporting Development (see footnote 3), p. 15.\",\n \"[27] See Özgür Can and Sara L. Seck, “The legal obligations with respect to human rights and export credit treaties”, paper prepared for ECA-watch, Halifax Initiative and ESCR-Net, July 2006. Available at www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf.\",\n \"[28] See Keenan, “Export credit treaties and the international law of human rights” (see footnote 2), pp. 3-7. See also Can and Seck, “The legal obligations with respect to human rights and export credit treaties”, pp. 4-8.\",\n \"[29] See Keenan, “Export credit treaties and the international law of human rights”, p. 10; Can and Seck, “The legal obligations with respect to human rights and export credit treaties”, p. 12.\"\n]"}}},{"rowIdx":88,"cells":{"clean_zh":{"kind":"list like","value":["消除对妇女歧视委员会 会前工作组","第五十一届会议","2011年8月1日至5日","审议缔约国根据《消除对妇女一切形式歧视公约》第18条提交的报告","会前工作组的报告","1. 消除对妇女歧视委员会的惯例是，召集一个为期五天的会前工作组会议，拟订与委员会未来一届会议将审议的初次报告和定期报告有关的议题和问题清单。","2. 委员会决定，委员会第五十一届会议会前工作组将于2011年8月1至5日在委员会第四十九届会议结束之后立即召开会议，以便缔约国有足够的时间对议题和问题清单提出书面答复，并确保这些答复能得到及时的翻译。","3. 下列专家被指定为会前工作组成员：","Ayse Feride Acar女士","Violet Awori女士","Barbara Bailey 女士","Ismat Jahan 女士","Victoria Popescu 女士","4. 会前工作组选出Popescu女士为主席。","5. 会前工作组编写了关于巴西、刚果、格林纳达、挪威和津巴布韦的议题和问题清单。在此方面，会前工作组遵从委员会在第四十九届会议上通过的决定,将议题清单限于20个问题，每个问题最多包含3个议题。会前工作组还审议了先前通过的关于阿尔及利亚的议题清单(CEDAW/C/DZA/Q/4)，并决定不在本次会议上通过补充议题清单。会前工作组还注意到，在会前工作组会议结束时,科摩罗向秘书处提交了报告。原定于在第五十一届会议上在没有报告的情况下审议科摩罗的情况，现决定在第五十三届会议上审议，以便根据该缔约国提交的报告起草补充议题清单。先前在没有报告的情况下已通过了关于科摩罗的议题清单(CEDAW/C/COM/Q/4)。","6. 为协助拟订这些议题和问题清单，会前工作组收到了上述缔约国的报告以及缔约国提交的核心文件(如果有的话)；委员会通过的一般性建议；秘书处根据对缔约国当前报告的分析比较结果以及委员会就先前报告的讨论拟订的背景资料、议题和问题清单草稿；其他有关资料，包括委员会和其他条约机构的结论意见(如相关)。在拟订定期报告的议题和问题清单时，会前工作组特别注意缔约国对委员会关于先前文件的结论意见采取的后续行动。","7. 会前工作组还得益于联合国各实体和专门机构、非政府组织和一个国家人权机构提供的书面和口头资料。","8. 会前工作组拟订的议题和问题清单已送交有关缔约国，这些清单载于下列文件：","(a) 与巴西第七次定期报告有关的议题和问题清单(CEDAW/C/BRA/Q/7)；","(b) 与刚果第六次定期报告有关的议题和问题清单(CEDAW/C/COG/Q/6)；[1]","(c) 与格林纳达第五次合并定期报告有关的议题和问题清单(CEDAW/C/ GRD/Q/1-5)；","(d) 与约旦第五次定期报告有关的议题和问题清单(CEDAW/C/JOR/Q/5)；","(e) 与挪威第八次定期报告有关的议题和问题清单(CEDAW/C/NOR/Q/8)；","(f) 与津巴布韦第五次合并定期报告有关的议题和问题清单(CEDAW/C/ ZWE/Q/2-5)。","9. 根据委员会第22/V号、第25/II号和第31/III号决定，议题和问题清单都以《公约》所涉主题为重点。这些主题包括有关提高妇女地位的宪法及立法框架和国家机构；性别陈规定型观念；贫穷和就业；暴力侵害妇女行为，包括家庭暴力；贩运妇女和利用妇女卖淫营利；妇女参与决策；教育和培训；就业；保健；社会和经济福利；老龄妇女、农村妇女、残疾妇女、少数族裔妇女、难民妇女和移徙妇女等弱势妇女群体的状况；妇女在法律面前的平等地位；婚姻和家庭关系。","[1] 会前工作组审查了刚果共和国提交的第六次定期报告。委员会在其以往的结论性意见中请缔约国提供第六次和第七次合并定期报告；因此，关于缔约国执行《公约》的建设性对话将涵盖与第六次和第七次定期报告涵盖的时段。将提请缔约国注意这一情况。"],"string":"[\n \"消除对妇女歧视委员会 会前工作组\",\n \"第五十一届会议\",\n \"2011年8月1日至5日\",\n \"审议缔约国根据《消除对妇女一切形式歧视公约》第18条提交的报告\",\n \"会前工作组的报告\",\n \"1. 消除对妇女歧视委员会的惯例是，召集一个为期五天的会前工作组会议，拟订与委员会未来一届会议将审议的初次报告和定期报告有关的议题和问题清单。\",\n \"2. 委员会决定，委员会第五十一届会议会前工作组将于2011年8月1至5日在委员会第四十九届会议结束之后立即召开会议，以便缔约国有足够的时间对议题和问题清单提出书面答复，并确保这些答复能得到及时的翻译。\",\n \"3. 下列专家被指定为会前工作组成员：\",\n \"Ayse Feride Acar女士\",\n \"Violet Awori女士\",\n \"Barbara Bailey 女士\",\n \"Ismat Jahan 女士\",\n \"Victoria Popescu 女士\",\n \"4. 会前工作组选出Popescu女士为主席。\",\n \"5. 会前工作组编写了关于巴西、刚果、格林纳达、挪威和津巴布韦的议题和问题清单。在此方面，会前工作组遵从委员会在第四十九届会议上通过的决定,将议题清单限于20个问题，每个问题最多包含3个议题。会前工作组还审议了先前通过的关于阿尔及利亚的议题清单(CEDAW/C/DZA/Q/4)，并决定不在本次会议上通过补充议题清单。会前工作组还注意到，在会前工作组会议结束时,科摩罗向秘书处提交了报告。原定于在第五十一届会议上在没有报告的情况下审议科摩罗的情况，现决定在第五十三届会议上审议，以便根据该缔约国提交的报告起草补充议题清单。先前在没有报告的情况下已通过了关于科摩罗的议题清单(CEDAW/C/COM/Q/4)。\",\n \"6. 为协助拟订这些议题和问题清单，会前工作组收到了上述缔约国的报告以及缔约国提交的核心文件(如果有的话)；委员会通过的一般性建议；秘书处根据对缔约国当前报告的分析比较结果以及委员会就先前报告的讨论拟订的背景资料、议题和问题清单草稿；其他有关资料，包括委员会和其他条约机构的结论意见(如相关)。在拟订定期报告的议题和问题清单时，会前工作组特别注意缔约国对委员会关于先前文件的结论意见采取的后续行动。\",\n \"7. 会前工作组还得益于联合国各实体和专门机构、非政府组织和一个国家人权机构提供的书面和口头资料。\",\n \"8. 会前工作组拟订的议题和问题清单已送交有关缔约国，这些清单载于下列文件：\",\n \"(a) 与巴西第七次定期报告有关的议题和问题清单(CEDAW/C/BRA/Q/7)；\",\n \"(b) 与刚果第六次定期报告有关的议题和问题清单(CEDAW/C/COG/Q/6)；[1]\",\n \"(c) 与格林纳达第五次合并定期报告有关的议题和问题清单(CEDAW/C/ GRD/Q/1-5)；\",\n \"(d) 与约旦第五次定期报告有关的议题和问题清单(CEDAW/C/JOR/Q/5)；\",\n \"(e) 与挪威第八次定期报告有关的议题和问题清单(CEDAW/C/NOR/Q/8)；\",\n \"(f) 与津巴布韦第五次合并定期报告有关的议题和问题清单(CEDAW/C/ ZWE/Q/2-5)。\",\n \"9. 根据委员会第22/V号、第25/II号和第31/III号决定，议题和问题清单都以《公约》所涉主题为重点。这些主题包括有关提高妇女地位的宪法及立法框架和国家机构；性别陈规定型观念；贫穷和就业；暴力侵害妇女行为，包括家庭暴力；贩运妇女和利用妇女卖淫营利；妇女参与决策；教育和培训；就业；保健；社会和经济福利；老龄妇女、农村妇女、残疾妇女、少数族裔妇女、难民妇女和移徙妇女等弱势妇女群体的状况；妇女在法律面前的平等地位；婚姻和家庭关系。\",\n \"[1] 会前工作组审查了刚果共和国提交的第六次定期报告。委员会在其以往的结论性意见中请缔约国提供第六次和第七次合并定期报告；因此，关于缔约国执行《公约》的建设性对话将涵盖与第六次和第七次定期报告涵盖的时段。将提请缔约国注意这一情况。\"\n]"},"clean_en":{"kind":"list like","value":["Committee on the Elimination of Discrimination against Women","Pre-session working group","Fifty-first session","1-5 August 2011","Consideration of reports submitted by States parties under article 18 of the Convention on the Elimination of All Forms of Discrimination against Women","Report of the pre-session working group","1. It is the practice of the Committee on the Elimination of Discrimination against Women to convene a pre-session working group for five days to prepare lists of issues and questions relating to the initial and periodic reports that would be considered by the Committee at one of its future sessions.","2. The Committee decided that the pre-session working group for the Committee’s fifty-first session would meet from 1 to 5 August 2011, immediately after its forty-ninth session, in order to ensure that sufficient time would be available to States parties to submit their written replies to the lists of issues and questions, as well as to ensure their timely translation.","3. The following experts were designated as members of the pre-session working group:","Ms. Ayse Feride Acar","Ms. Violet Awori","Ms. Barbara Bailey","Ms. Ismat Jahan","Ms. Victoria Popescu","4. The pre-session working group elected Ms. Popescu as its Chair.","5. The pre-session working group prepared lists of issues and questions with respect to the reports of Brazil, Congo, Grenada, Jordan, Norway and Zimbabwe. In this regard, the pre-session working group was guided by the decision of the Committee, adopted at its forty-ninth session, to limit the lists of issues to 20 questions, with each question containing no more than three issues. The pre-session working group also considered the list of issues previously adopted for Algeria (CEDAW/C/DZA/Q/4) and decided not to adopt a supplemental list of issues at the meeting. It is further noted that at the end of the meeting of the pre-session working group, Comoros submitted its report to the Secretariat. Comoros, which was scheduled to be considered in the absence of a report at the fifty-first session, will be considered at the fifty-third session to allow for supplemental list of issues to be drawn up based upon the report submitted by the State party. The list of issues for Comoros had been adopted previously in the absence of a report (CEDAW/C/COM/Q/4).","6. To assist in the preparation of the lists of issues and questions, the pre-session working group had before it the reports of the States parties listed above, as well as the States parties’ core documents, if available; the general recommendations adopted by the Committee; background information and draft lists of issues and questions prepared by the Secretariat, based on an analytical comparison of current States parties’ reports, and the Committee’s discussion on earlier reports; and other pertinent information, including concluding observations of the Committee and other treaty bodies, if relevant. In preparing the lists of issues and questions for periodic reports, the pre-session working group paid particular attention to the States parties’ follow-up to the Committee’s concluding observations on previous reports.","7. The pre-session working group benefited from written and oral information submitted by United Nations entities and specialized agencies, non-governmental organizations and a national human rights institution.","8. Lists of issues and questions adopted by the pre-session working group were transmitted to the States parties concerned and are contained in the following documents:","(a) List of issues and questions with regard to the seventh periodic report of Brazil (CEDAW/C/BRA/Q/7);","(b) List of issues and questions with regard to the sixth periodic report of Congo (CEDAW/C/COG/Q/6);[1]","(c) List of issues and questions with regard to the initial to fifth combined periodic report of Grenada (CEDAW/C/GRD/Q/1-5);","(d) List of issues and questions with regard to the fifth periodic report of Jordan (CEDAW/C/JOR/Q/5);","(e) List of issues and questions with regard to the eighth periodic report of Norway (CEDAW/C/NOR/Q/8);","(f) List of issues and questions with regard to the second to fifth combined periodic report of Zimbabwe (CEDAW/C/ZWE/Q/2-5).","9. In accordance with the Committee decisions 22/V, 25/II and 31/III, the lists of issues and questions focused on themes addressed by the Convention. These themes include, inter alia, the Constitutional and legislative framework and national machinery for the advancement of women; gender stereotypes; poverty and employment; violence against women, including domestic violence; trafficking in women and exploitation of prostitution; participation of women in decision-making; education and training; employment; health; social and economic benefits; the situation of disadvantaged groups of women, such as older women, rural women, women with disabilities, women belonging to ethnic minorities, refugee and migrant women; equality before the law; and marriage and family relations.","[1] The pre-session working group examined the sixth periodic report of the Republic of Congo submitted by the State party. The Committee in its previous concluding observations had requested the State party to provide a combined sixth and seventh period report; therefore, the constructive dialogue on the implementation of the Convention by the State party will cover the period corresponding to the sixth and seventh periodic report. This information will be brought to the attention of the State party."],"string":"[\n \"Committee on the Elimination of Discrimination against Women\",\n \"Pre-session working group\",\n \"Fifty-first session\",\n \"1-5 August 2011\",\n \"Consideration of reports submitted by States parties under article 18 of the Convention on the Elimination of All Forms of Discrimination against Women\",\n \"Report of the pre-session working group\",\n \"1. It is the practice of the Committee on the Elimination of Discrimination against Women to convene a pre-session working group for five days to prepare lists of issues and questions relating to the initial and periodic reports that would be considered by the Committee at one of its future sessions.\",\n \"2. The Committee decided that the pre-session working group for the Committee’s fifty-first session would meet from 1 to 5 August 2011, immediately after its forty-ninth session, in order to ensure that sufficient time would be available to States parties to submit their written replies to the lists of issues and questions, as well as to ensure their timely translation.\",\n \"3. The following experts were designated as members of the pre-session working group:\",\n \"Ms. Ayse Feride Acar\",\n \"Ms. Violet Awori\",\n \"Ms. Barbara Bailey\",\n \"Ms. Ismat Jahan\",\n \"Ms. Victoria Popescu\",\n \"4. The pre-session working group elected Ms. Popescu as its Chair.\",\n \"5. The pre-session working group prepared lists of issues and questions with respect to the reports of Brazil, Congo, Grenada, Jordan, Norway and Zimbabwe. In this regard, the pre-session working group was guided by the decision of the Committee, adopted at its forty-ninth session, to limit the lists of issues to 20 questions, with each question containing no more than three issues. The pre-session working group also considered the list of issues previously adopted for Algeria (CEDAW/C/DZA/Q/4) and decided not to adopt a supplemental list of issues at the meeting. It is further noted that at the end of the meeting of the pre-session working group, Comoros submitted its report to the Secretariat. Comoros, which was scheduled to be considered in the absence of a report at the fifty-first session, will be considered at the fifty-third session to allow for supplemental list of issues to be drawn up based upon the report submitted by the State party. The list of issues for Comoros had been adopted previously in the absence of a report (CEDAW/C/COM/Q/4).\",\n \"6. To assist in the preparation of the lists of issues and questions, the pre-session working group had before it the reports of the States parties listed above, as well as the States parties’ core documents, if available; the general recommendations adopted by the Committee; background information and draft lists of issues and questions prepared by the Secretariat, based on an analytical comparison of current States parties’ reports, and the Committee’s discussion on earlier reports; and other pertinent information, including concluding observations of the Committee and other treaty bodies, if relevant. In preparing the lists of issues and questions for periodic reports, the pre-session working group paid particular attention to the States parties’ follow-up to the Committee’s concluding observations on previous reports.\",\n \"7. The pre-session working group benefited from written and oral information submitted by United Nations entities and specialized agencies, non-governmental organizations and a national human rights institution.\",\n \"8. Lists of issues and questions adopted by the pre-session working group were transmitted to the States parties concerned and are contained in the following documents:\",\n \"(a) List of issues and questions with regard to the seventh periodic report of Brazil (CEDAW/C/BRA/Q/7);\",\n \"(b) List of issues and questions with regard to the sixth periodic report of Congo (CEDAW/C/COG/Q/6);[1]\",\n \"(c) List of issues and questions with regard to the initial to fifth combined periodic report of Grenada (CEDAW/C/GRD/Q/1-5);\",\n \"(d) List of issues and questions with regard to the fifth periodic report of Jordan (CEDAW/C/JOR/Q/5);\",\n \"(e) List of issues and questions with regard to the eighth periodic report of Norway (CEDAW/C/NOR/Q/8);\",\n \"(f) List of issues and questions with regard to the second to fifth combined periodic report of Zimbabwe (CEDAW/C/ZWE/Q/2-5).\",\n \"9. In accordance with the Committee decisions 22/V, 25/II and 31/III, the lists of issues and questions focused on themes addressed by the Convention. These themes include, inter alia, the Constitutional and legislative framework and national machinery for the advancement of women; gender stereotypes; poverty and employment; violence against women, including domestic violence; trafficking in women and exploitation of prostitution; participation of women in decision-making; education and training; employment; health; social and economic benefits; the situation of disadvantaged groups of women, such as older women, rural women, women with disabilities, women belonging to ethnic minorities, refugee and migrant women; equality before the law; and marriage and family relations.\",\n \"[1] The pre-session working group examined the sixth periodic report of the Republic of Congo submitted by the State party. The Committee in its previous concluding observations had requested the State party to provide a combined sixth and seventh period report; therefore, the constructive dialogue on the implementation of the Convention by the State party will cover the period corresponding to the sixth and seventh periodic report. This information will be brought to the attention of the State party.\"\n]"},"record":{"kind":"string","value":"CEDAW_C_PSWG_51"},"zh2en":{"kind":"list like","value":["Committee on the Elimination of Discrimination against Women","Fifty-first session","1-5 August 2011","Consideration of reports submitted by States parties under article 18 of the Convention on the Elimination of All Forms of Discrimination against Women","Report of the pre-session working group","1. It is the practice of the Committee on the Elimination of Discrimination against Women to convene a pre-sessional working group for five days to prepare lists of issues and questions relating to the initial and periodic reports to be considered by the Committee at a future session.","2. The Committee decided that the pre-session working group for the fifty-first session of the Committee would meet from 1 to 5 August 2011, immediately following the closure of the Committee ' s forty-ninth session, to allow sufficient time for States parties to submit their written replies to the list of issues and questions and to ensure that those replies were translated in a timely manner.","3. The following experts were designated as members of the pre-sessional working group:","Ms. Ayse Feride Acar","Ms. Violet Awori","Ms. Barbara Bailey","Ms. Ismat Jahan","Ms. Victoria Popescu","The pre-session working group elected Ms. Popescu as its Chairperson.","5. The pre-session working group prepared lists of issues and questions with regard to Brazil, the Congo, Grenada, Norway and Zimbabwe. In this regard, the pre-session working group followed the decision adopted by the Committee at its forty-ninth session to limit the list of issues to 20 questions, each of which would contain up to three issues. The pre-session working group also considered the list of issues previously adopted on Algeria (see annex). CEDAW/C/DZA/Q/4) and decided not to adopt a supplementary list of issues at the current meeting. The pre-session working group also noted that, at the end of the pre-session working group meeting, the Comoros had submitted its report to the Secretariat. The consideration of the situation in the Comoros in the absence of a report was scheduled for the fifty-first session, and it was decided to consider it at its fifty-third session with a view to drawing up a supplementary list of issues based on the report submitted by that State party. The list of issues relating to the Comoros (CEDAW/C/COM/Q/4) had previously been adopted in the absence of a report.","6. In order to assist in the preparation of the lists of issues and questions, the pre-session working group had before it the reports of the above-mentioned States parties and the core documents submitted by them, if any; general recommendations adopted by the Committee; background information, draft lists of issues and questions prepared by the Secretariat on the basis of a comparative analysis of the current reports of States parties and the Committee ' s discussion of previous reports; and other relevant information, including concluding observations of the Committee and other treaty bodies, where relevant. In preparing the lists of issues and questions for periodic reports, the pre-session working group paid particular attention to the follow-up by States parties to the Committee ' s concluding observations on previous documents.","7. The pre-session working group also benefited from written and oral information provided by United Nations entities and specialized agencies, non-governmental organizations and a national human rights institution.","8. The lists of issues and questions prepared by the pre-session working group were transmitted to the States parties concerned and are contained in the following documents:","(a) List of issues and questions with regard to the seventh periodic report of Brazil (CEDAW/C/BRA/Q/7);","(b) List of issues and questions with regard to the sixth periodic report of the Congo (CEDAW/C/COG/Q/6); [1]","(c) List of issues and questions with regard to the combined fifth periodic report of Grenada (CEDAW/C/GRD/Q/1-5);","(d) List of issues and questions with regard to the fifth periodic report of Jordan (CEDAW/C/JOR/Q/5);","(e) List of issues and questions with regard to the eighth periodic report of Norway (CEDAW/C/NOR/Q/8);","(f) List of issues and questions with regard to the combined fifth periodic report of Zimbabwe (CEDAW/C/ZWE/Q/2-5).","In accordance with Committee decisions 22/V, 25/II and 31/III, the lists of issues and questions focused on themes covered by the Convention. These themes include the constitutional and legislative framework and national machinery for the advancement of women; gender stereotypes; poverty and employment; violence against women, including domestic violence; trafficking in women and exploitation of prostitution; participation of women in decision-making; education and training; employment; health; social and economic benefits; the situation of vulnerable groups of women, such as older women, rural women, women with disabilities, women belonging to ethnic minorities, refugee women and migrant women; equality of women before the law; and marriage and family relations.","The pre-session working group examined the sixth periodic report of the Republic of the Congo. In its previous concluding observations, the Committee requested the State party to provide its combined sixth and seventh periodic reports; therefore, the constructive dialogue on the implementation of the Convention in the State party would cover the period covered by the sixth and seventh periodic reports. This will be brought to the attention of the State party."],"string":"[\n \"Committee on the Elimination of Discrimination against Women\",\n \"Fifty-first session\",\n \"1-5 August 2011\",\n \"Consideration of reports submitted by States parties under article 18 of the Convention on the Elimination of All Forms of Discrimination against Women\",\n \"Report of the pre-session working group\",\n \"1. It is the practice of the Committee on the Elimination of Discrimination against Women to convene a pre-sessional working group for five days to prepare lists of issues and questions relating to the initial and periodic reports to be considered by the Committee at a future session.\",\n \"2. The Committee decided that the pre-session working group for the fifty-first session of the Committee would meet from 1 to 5 August 2011, immediately following the closure of the Committee ' s forty-ninth session, to allow sufficient time for States parties to submit their written replies to the list of issues and questions and to ensure that those replies were translated in a timely manner.\",\n \"3. The following experts were designated as members of the pre-sessional working group:\",\n \"Ms. Ayse Feride Acar\",\n \"Ms. Violet Awori\",\n \"Ms. Barbara Bailey\",\n \"Ms. Ismat Jahan\",\n \"Ms. Victoria Popescu\",\n \"The pre-session working group elected Ms. Popescu as its Chairperson.\",\n \"5. The pre-session working group prepared lists of issues and questions with regard to Brazil, the Congo, Grenada, Norway and Zimbabwe. In this regard, the pre-session working group followed the decision adopted by the Committee at its forty-ninth session to limit the list of issues to 20 questions, each of which would contain up to three issues. The pre-session working group also considered the list of issues previously adopted on Algeria (see annex). CEDAW/C/DZA/Q/4) and decided not to adopt a supplementary list of issues at the current meeting. The pre-session working group also noted that, at the end of the pre-session working group meeting, the Comoros had submitted its report to the Secretariat. The consideration of the situation in the Comoros in the absence of a report was scheduled for the fifty-first session, and it was decided to consider it at its fifty-third session with a view to drawing up a supplementary list of issues based on the report submitted by that State party. The list of issues relating to the Comoros (CEDAW/C/COM/Q/4) had previously been adopted in the absence of a report.\",\n \"6. In order to assist in the preparation of the lists of issues and questions, the pre-session working group had before it the reports of the above-mentioned States parties and the core documents submitted by them, if any; general recommendations adopted by the Committee; background information, draft lists of issues and questions prepared by the Secretariat on the basis of a comparative analysis of the current reports of States parties and the Committee ' s discussion of previous reports; and other relevant information, including concluding observations of the Committee and other treaty bodies, where relevant. In preparing the lists of issues and questions for periodic reports, the pre-session working group paid particular attention to the follow-up by States parties to the Committee ' s concluding observations on previous documents.\",\n \"7. The pre-session working group also benefited from written and oral information provided by United Nations entities and specialized agencies, non-governmental organizations and a national human rights institution.\",\n \"8. The lists of issues and questions prepared by the pre-session working group were transmitted to the States parties concerned and are contained in the following documents:\",\n \"(a) List of issues and questions with regard to the seventh periodic report of Brazil (CEDAW/C/BRA/Q/7);\",\n \"(b) List of issues and questions with regard to the sixth periodic report of the Congo (CEDAW/C/COG/Q/6); [1]\",\n \"(c) List of issues and questions with regard to the combined fifth periodic report of Grenada (CEDAW/C/GRD/Q/1-5);\",\n \"(d) List of issues and questions with regard to the fifth periodic report of Jordan (CEDAW/C/JOR/Q/5);\",\n \"(e) List of issues and questions with regard to the eighth periodic report of Norway (CEDAW/C/NOR/Q/8);\",\n \"(f) List of issues and questions with regard to the combined fifth periodic report of Zimbabwe (CEDAW/C/ZWE/Q/2-5).\",\n \"In accordance with Committee decisions 22/V, 25/II and 31/III, the lists of issues and questions focused on themes covered by the Convention. These themes include the constitutional and legislative framework and national machinery for the advancement of women; gender stereotypes; poverty and employment; violence against women, including domestic violence; trafficking in women and exploitation of prostitution; participation of women in decision-making; education and training; employment; health; social and economic benefits; the situation of vulnerable groups of women, such as older women, rural women, women with disabilities, women belonging to ethnic minorities, refugee women and migrant women; equality of women before the law; and marriage and family relations.\",\n \"The pre-session working group examined the sixth periodic report of the Republic of the Congo. In its previous concluding observations, the Committee requested the State party to provide its combined sixth and seventh periodic reports; therefore, the constructive dialogue on the implementation of the Convention in the State party would cover the period covered by the sixth and seventh periodic reports. This will be brought to the attention of the State party.\"\n]"}}},{"rowIdx":89,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程^(*) 项目69 (b)","促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径","人权与单方面胁迫性措施","秘书长的报告","摘要 \n本报告根据大会第65/217号决议提交。大会在该决议中请秘书长提请所有会员国注意该决议，继续收集它们关于单方面胁迫性措施对其人民产生的影响和不良后果的意见及资料，并就此向大会第六十六届会议提交一份分析报告。联合国人权事务高级专员办事处已收到阿根廷、白俄罗斯、波斯尼亚和黑塞哥维那、布基纳法索、古巴、多米尼加共和国、厄瓜多尔、危地马拉、圭亚那、伊拉克和科威特等国政府对该办事处发出的一份普通照会的答复。本报告载有收到的所有答复的摘要并分析了其内容。","目录","页次\n 1. 导言 3\n 2. 从会员国收到的资料 3\n 阿根廷 3\n 白俄罗斯 4\n 波斯尼亚和黑塞哥维那 5\n 布基纳法索 5\n 古巴 6\n 多米尼加共和国 9\n厄瓜多尔\t10\n危地马拉\t10\n圭亚那\t10\n伊拉克\t12\n科威特\t12\n3. 分析和结论\t13","一. 导言","1. 在第65/217号决议第15段中，大会请秘书长提请所有会员国注意该决议，继续收集它们关于单方面胁迫性措施对其人民产生的影响和不良后果的意见及资料，并就此向大会第六十六届会议提交一份分析报告，同时再次重申有必要着重说明这方面的切实预防措施。","2. 2011年5月5日，根据第65/217号决议第15段，联合国人权事务高级专员办事处向所有常驻联合国日内瓦办事处代表团发出提供资料的请求。截至2011年7月25日，该办事处已收到来自阿根廷、白俄罗斯、波斯尼亚和黑塞哥维那、布基纳法索、古巴、多米尼加共和国、厄瓜多尔、危地马拉、圭亚那、伊拉克和科威特等国政府的答复。","二. 从会员国收到的资料","阿根廷","[原文：西班牙语]","[2011年7月1日]","阿根廷共和国一贯支持大会和人权理事会关于人权和单方面胁迫性措施的各项决议。还支持大会关于消除使用单方面措施作为政治和经济胁迫手段的第55/6号决议。","阿根廷的立场是基于所有国家都有义务避免采用或适用有悖国际法或《联合国宪章》的单边措施。也是基于大会第2625(XXV)号决议附件和大会第3281(XXIX)号决议所载的《各国经济权利和义务宪章》。使用单方面治外胁迫性措施严重影响贸易和合作，并对资本自由流动和贸易自由产生了不利影响。阿根廷认为，采取胁迫性措施剥夺了人民获得基本医疗保健和食物的机会，妨碍享有基本人权，不能基于国家安全利益的理由而侵犯这些权利。","阿根廷《第24.871号法案》规定，任何直接或间接限制或妨碍自由贸易、限制或妨碍资本、货物或人员自由流动，对任何国家或国家群体造成不利影响的外国法律，在阿根廷境内不适用，亦不具有任何法律效力。法案第1条规定，旨在以实施经济制裁，或限制到另一国投资，目的是改变其政府等方式施加治外法律效力的外国法律，在阿根廷共和国境内均不具有任何法律效力。阿根廷重申所有人权的不可分割性、普遍性和相互依赖性。","白俄罗斯","[原文：俄语]","[2011年6月23日]","白俄罗斯共和国的答复提到了欧盟和美国继续对白俄罗斯实施政治和经济方面的限制性措施。2011年，欧洲委员会对白俄罗斯共和国的几名官员实施签证和经济制裁，理由是2010年12月19日的总统选举弄虚作假且随后大肆迫害民主反对派、民间社会和独立大众传媒的成员。截止2011年6月20日，受到欧盟成员国领土旅行限制的白俄罗斯公民人数达到了190人。此外，欧盟还对三家白俄罗斯企业，即“Beltekexporta”、“BT-Telekommunikazi”和“Sport-pari”实施经济制裁。阿尔巴尼亚、波斯尼亚和黑塞哥维那、克罗地亚、冰岛、列支敦士登、前南斯拉夫马的其顿共和国、黑山、挪威和塞尔维亚也与欧盟一道对白俄罗斯实施制裁。","2006年6月以来，美国对白俄罗斯官员实施的制裁影响到这些官员在美国境内的财产利益。2007年8月以来，美国已对几类官员实施签证限制。2004-2011年，美国对白俄罗斯大型企业，包括“Belneftexim”、“BelTekExport”、“Belorusneft”和“Integral”实施经济性质的单边限制性措施。欧盟、美国以及支持以制裁形式实施单方面胁迫性措施的各国的决定直接影响普通白俄罗斯公民的各项利益，影响他们享有经济、社会和其他各项权利，包括发展权。这类措施还影响白俄罗斯民间社会，包括新闻记者的各项活动。法院面临制裁造成的压力，从维护司法独立性和各项权利的立场出发，制裁行为是不可接受的。","白俄罗斯有义务提醒大会和人权理事会注意欧盟、美国和其他国家实施的单方面胁迫性措施违反了大会第65/217号决议和人权理事会关于“人权与单方面胁迫性措施”的第15/24号决议。该决议回顾称，根据《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》和大会在1974年12月12日第3281 (XXIX)号决议中公布的《各国经济权利和义务宪章》的相关原则和条款，尤其是第32条，任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益。","白俄罗斯共和国欢迎大会和人权理事会继续关注在单方面胁迫性措施背景下实现各项人权这个问题，并认为有必要在理事会内建立一个关于单方面胁迫性措施及其对人权影响的特别程序。白俄罗斯支持人权理事会第15/24号决议中提出的请求，即请联合国人权事务高级专员办事处编写一份关于单方面胁迫性措施对人权享有的影响的专题研究，包括旨在结束这类措施的行动建议。","波斯尼亚和黑塞哥维那","[原文：英语]","[2011年6月29日]","作为一个国际公认的独立主权国家，波斯尼亚和黑塞哥维那坚信，任何国家不得使用或鼓励使用经济、政治或任何其他措施，来强迫另一个国家，使其在主权权利的行使方面屈从一国或大国。波斯尼亚和黑塞哥维那采取这个立场，因为单方面胁迫性措施直接违背公共国际法和人道主义法的标准，因而公然违反了国际公认实体、联合国欧洲委员会和欧洲联盟等国际组织大家庭的会员国签署并通过的国际文书。","人权彼此相连、相互依存，这意味着人权中包括通过支持自由贸易和人员、货物、资本和服务流动等推进作为基本人权的发展权。法国革命时代设想的自由通过或“通行证”原则已成为欧洲联盟的基础。波斯尼亚和黑塞哥维那认为，通过使用单方面胁迫性措施限制发展权首先极大地损害了《欧洲人权和基本自由公约》、《世界人权宣言》和业已签署和批准的许多国际文书所载的各项人权。","干涉自由贸易损害发展中国家弱势群体，包括儿童、青少年、妇女和老人的利益。遗憾的是，立法、经济和政治单方面胁迫性措施仍在全世界盛行，严重影响发展中国家的社会状况和全面行使人权。有鉴于上述几点，波斯尼亚和黑塞哥维那认为，有必要增强公众对以下两点的认识，一是单方面胁迫性措施的消极影响，而是遵守公共和私立国际法的标准和原则的重要性，从而建立国与国之间的友好关系，并促进和保护人权。","波斯尼亚和黑塞哥维那坚决支持执行《发展权利宣言》，践行《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》规定的原则，即不得剥夺任何人的生存手段。单方面胁迫性措施是一种片面的政治力量手段，直接违反了民主国家的意愿。","布基纳法索","[原文：法语]","[2011年7月20日]","布基纳法索支持大会关于“人权与单方面胁迫性措施”的第65/217号决议以及在其他国际机构框架内通过的禁止各国采取单方面胁迫性措施的其他文件。这包括人权理事会第15/24号决议和大会与人权理事会之前关于“人权和单方面胁迫性措施”的各项决议；2006年9月在哈瓦那举行的第十四次不结盟运动国家元首和政府首脑会议所通过的《最后文件》，以及1993年在维也纳举行的世界人权会议通过的各项建议，都要求各国不得使用不符合国际法和《联合国宪章》的单边措施。","布基纳法索仍然坚信，要维和和平与安全，各国必须在各国平等、自决权的原则上通过友好合作的关系推进和平与安全。这类关系的发展要求各国不得采用或实施违背国际法的单方面胁迫性措施，包括通过诉诸战争、军事主义和单方面实施的消极经济和贸易措施。这些单方面胁迫性措施违反了《联合国宪章》、《非洲联盟宪章》和许多其他国际法律文书的基本原则。","遵守国际法，包括人道主义法确立的规则和原则，是建立和平并尊重人权的国际关系的唯一途径。国家主权和不干预其他国家内部事务是《联合国宪章》奉行的根本原则，应用其指导各国之间的关系。布基纳法索认为，在当前各国利益分歧，同时发展各国多边对话框架的国际背景下，必须在这些框架内解决国际关系方面的诸多挑战。在联合国，包括安全理事会和其他国际和区域多边组织下建立的各种机制，是决定适当措施以维护安全和鼓励各国遵守国际标准的唯一合法机构。一国对另一国采取的所有胁迫性措施，不论其目的如何，都违反了国际法，故而应予以禁止。","一国对另一国发动直接或间接战争或诉诸武力往往对各国的人权和发展造成灾难性后果。所有国家应力求尽最大努力通过国际法公认的和平解决争端机制来解决彼此之间的分歧。作为一个爱好和平的国家，布基纳法索一贯努力推进与其他国家的健康和友好的关系。正是这种和平精神促使布基纳法索国家元首积极参与次区域的冲突解决，包括科特迪瓦和多哥的冲突解决。","布基纳法索是联合国、非洲联盟和许多其他国际和区域组织的成员国，高度重视国际关系方面的多边机制，布基纳法索积极参与各种区域和国际框架就是明证。布基纳法索还是人权理事会的成员。多边框架是解决国与国关系遇到的挑战以及可能威胁国际和平与安全的问题的恰当合法框架。布基纳法索坚持法治，在国家和国际层面奉行平等原则。根据国际法的标准和原则，布基纳法索未对其他任何国家采取过单方面胁迫性措施。","布基纳法索认为，国际标准优先于国内立法和行政措施。根据布基纳法索《宪法》第151条，其国际义务，尤其是在正式通过协定的背景下，优先于国内法律。因此，法律禁止采取违反《联合国宪章》以及布基纳法索赞同的国际标准和原则的措施。布基纳法索当局致力于指导国际关系的核心价值观，愿意与其他国家和国际机构合作，推动在世界发展友好关系并加强合作。","古巴","[原文：西班牙语]","[2011年5月26日]","古巴指出，大会、人权理事会、和前人权委员会的诸多决议以及主要国际首脑会议和联合国会议上批准的政治宣言都裁定采用单方面胁迫性经济措施违反了《联合国宪章》和国际法。实施单方面胁迫性措施作为政治和经济胁迫手段威胁享有所有人权，首当其冲的是生命权以及民族的独立、主权和自决权。这些措施的主要受害者是承受国的人民，特别是弱势群体——儿童、妇女、老人和残疾人。","古巴回顾称，1970年大会决定任何国家不得使用或鼓励使用经济、政治或任何其他措施，来强迫另一个国家，使其在主权权利的行使方面屈从，以及从该国获得任何好处。这一点得到了《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》的支持。","古巴表示，古巴是长达50多年单方面胁迫性措施的受害者，因此尤其重视人权理事会和大会审议这个问题。古巴认为，采取这类措施是美国对古巴实施的敌对政策和侵略的一种根本手段，试图破坏由古巴人民的主权意愿所建立的政治、经济和社会制度。古巴认为，美国对古巴实施的经济、商业和金融封锁是“人类历史上或对任何国家所采用的最漫长、最残忍的单边制裁制度。”经济、商业和金融封锁的目的是破坏1960年4月6日落下帷幕的古巴革命。","古巴坚持认为，禁运是美国几任当局以系统、旷日持久、不人道的方式对古巴实施的国家恐怖主义政策的基本组成部分，影响到所有古巴人民，不论其年龄、性别、种族、宗教或社会地位如何。古巴的呈件断言，这一政策足以够得上1948年12月9日《防止和惩治灭绝种族罪行的日内瓦公约》第二条(c)款规定的灭绝种族行动。","古巴提及所谓的1992年《托里切利法案》和1996年《赫尔姆斯－伯顿法》，其中载有违反《联合国宪章》、国际法和世界贸易组织协定的条款。通过这些明显带有治外性质的法律，美国政府加强了封锁，并将其扩大到第三国，其企业和公民，对古巴实施了长达50年的经济、商业和金融封锁。","古巴认为，在竭力为封锁古巴及其人民寻找理由的同时，美国国务院还在没有任何理由的情况下将古巴列入指控侵犯人权、贩运人口、色情旅游、恐怖主义行为和宗教不容忍等行为者的单边详细名单中。","除了实行攻击性的媒体和外交措施以及一些粉饰太平的措施之外，美国政府当前仍维持禁运，并继续严格实施，还加强了政治、行政和强迫性机制来强制实施。对于构成封锁的法律基础的法律和行政条例/要求网络，美国没有采取任何行动予以撤销。2009年9月11日，美国延长了对古巴实施禁运的时间，依据是“美国的国家利益”和1917年《与敌国贸易法》，而后者仅适用于战争状况，并且仅对古巴具有法律效力。制裁适用于与古巴有商业往来的北美和欧洲公司。这项政策阻碍科学、文化或旅游性质的交流，促使商标盗窃行为，导致古巴在美国的数百万美元资金遭到冻结。对与古巴有附属关系者施加更多压力，目的是“政权变革”并为旨在推翻古巴宪法秩序的行动提供财政支持。","古巴注意到，实施禁运并非仅是古巴与美国之间的一个双边问题。重复地在境外适用美国法律以及侵害第三国企业和公民的合法权益的行为还严重影响了其他许多国家的主权。治外性质的单方面胁迫性措施造成的损害由于美国及其企业大力参与贸易和跨国投资而更趋严重。第三国公司和境外北美公司在美国的投资主要以兼并、部分或全部收购公司的形式进行，这加剧了这些措施的治外影响，缩小了古巴的外部经济空间，使古巴更难、有时甚至不可能找到伙伴和供应商来规避美国实施的严格封锁。","古巴的呈件表示，根据保守估计，截止2009年12月，由于封锁给古巴造成的直接损失超过数十亿美元。尽管2010年10月28日，占绝对多数的成员国通过了大会批准的最新决议，呼吁解除对古巴的经济、商业和金融封锁，尽管之前的18项决议，包括本决议都要求解除封锁，但美国政府仍继续对古巴实施封锁。","古巴的呈件还表示，美国政府招募雇佣兵对古巴开展行动。2009年，外国资产管制处对违反古巴封锁禁令的7家实体处以315 503美元的罚款。对个人和实体处以的罚款总额为340 678美元。2010年上半年，对公司处以的罚款金额为2 221 671美元。外国资产管制处不仅对与古巴有贸易往来关系者处以其他百万美元罚款，还根据单方面胁迫性措施对与其他国家贸易往来者处以罚款。遭到罚款的第三国实体包括瑞士信贷银行、澳大利亚和新西兰银行集团有限公司以及位于德拉华的化学公司 Innospec Inc.在瑞典的子公司。2009年5月，外国资产管制处回绝了Banco Popular Español关于对一笔被封锁107 770.95欧元的资金解禁的请求，该笔资金是2008年12月古巴航空公司采取从马德里向墨西哥转账的方式操作的。","呈件继而表示，自美资以色列跨国公司梯瓦制药工业有限公司收购墨西哥Lemery公司以来，古巴不能再购买治疗肉瘤(恶性肿瘤)最常用的药物细胞抑制剂更生霉素。使用这个产品将使所有病例中患者的生存率增加70%以上。敏感领域如食品、医疗、教育和文化是这项政策的主要目标，这项政策影响了生活质量。以下是2009年5月至2010年4月的例子：古巴得不到药物替莫唑胺(一种抗肿瘤药)，这是具体用于治疗中央神经系统肿瘤(神经胶质瘤和星细胞瘤)的细胞抑制剂。这种疾病每年影响约250名患者，其中大约有30名儿童。儿科心脏病中心“William Soler”不能再购买导尿管、盘管、导架和支架等利用治疗性导管术诊断和治疗患有复杂先天性心脏病的患儿。美国公司被禁止出售这些产品给古巴。古巴儿童不能使用特殊材料制成的美国Amplatzer设备来避免有机排斥。这种设备用于心脏直视手术，手术是介入措施，除了危险外，还要求重症监护并恢复三周。治疗视网膜肿瘤(长在视网膜上的先天性肿瘤)时必须使用放射性碘图板，但这些图板只在美国出售，古巴肿瘤学和放射生物学研究所买不到。缺少这项基本针对儿童的技术，唯一的办法是摘除眼睛，有时要摘除双眼，这个医疗办法的后果是寿命严重缩短。","在食品工业，进口公司古巴粮食进口公司2009年5月至2010年4月因“风险国”概念受到的影响约为102 900 000美元，表现为银行和金融成本以及支付工具方式方面的成本。如果古巴自行处置这些资金，以2008年平均价格计算，古巴本可购买337 000吨小麦，451 000吨玉米以及109 000吨鸡肉。在教育领域，古巴不能购买60个肢体残疾儿童诊室所必需的设备，因为古巴不能进入美国市场，不得不求助于更远、更昂贵的市场。在欧洲市场上配备这些诊室的价格约为14 000 欧元，而在美国则不超过8 000美元。","根据呈件，2008年5月至2010年5月，古巴在该领域的进口总额下降到18 200 000美元，其中10%花在了运费上。如果古巴进入美国市场，则仅需支付3.7%的运费，就能够购买胶版纸，用于打印教育(中小学等)所需的所有教材，小学和特殊教育教学法的所有跟踪工具，以及全国一个学年用于教育目的的150 000套丙烯酸马克笔。","古巴指出，在文化领域，2002年与美国国家研究委员会签署了协定，该协定支持保护海明威室内博物馆的项目，并提供资料，从而浏览海明威收藏中的通信和文件。不过，财政部并未授权向古巴转入必要的资金以执行该项目。这些都是支持禁运的法律、法规和做法的实例，并且仍然有效，为了有效、切实地予以执行，美国加强了政治、行政和压制机制。","对遵守国际法的要求平等适用于所有人。古巴表示，美国政府继续维持禁运是不可接受的，这使古巴人民的生活条件恶化，并且罔顾国际社会以联合国大会连续通过决议的方式一直呼吁结束对古巴长达19年的禁运，同时大会和若干附属机构谴责采取单方面胁迫性措施这一事实。","美国奉行封锁政策仍是古巴经济和社会发展的主要障碍，它大规模、系统地侵犯了人权并践踏主权国家的和平、发展和安全权。国际社会一如既往的支持以及大力谴责采取这类措施是古巴人民的一个重要斗争工具。根据古巴呈件，国际社会有必要加大对美国政府的压力，呼吁其结束这个不人道、不合时宜的政策。","多米尼加共和国","[原文：西班牙语]","[2011年6月27日]","大会第65/217号决议力求重申《联合国宪章》所载的原则和规定、人权理事会和人权委员会过去的决议以及国际人道主义法的规范，该决议证实一个国家适用的单方面胁迫性措施和法律会造成负面影响，包括对社会和人道主义活动以及发展中国家的经济和社会发展造成的治外效果。该决议是对联合国会员国就一些国家对其他国家实施单方面胁迫性措施造成严重损害，特别是对拉丁美洲地区的儿童、妇女、老年人和残疾人造成的损害做出的多边呼吁的回应。古巴、墨西哥和委内瑞拉提交的报告特别具有相关性。","自1945年10月24日生效的《联合国宪章》，特别是第10条，规定“大会可以讨论目前《宪章》范围内或与目前《宪章》规定的机构的职权相关的任何问题或任何事项，而且除第12条规定外，可以就任何此类问题或事项，向联合国会员国或安全理事会或二者提出建议。”多米尼加共和国作为联合国的一个会员国，并未低估联合国在国际法的形成和发展全过程中所起的作用。","多米尼加共和国向国际社会所做的承诺载于其2010年1月26日《宪法》的第26条第3款和第4款，即：“肯定和促进国家价值观和利益以及尊重人权和国际法是多米尼加共和国国际关系的基石和指导。”“在与其他国家保持平等地位的基础上，多米尼加共和国接受确保尊重实现和平、正义以及各国政治、社会、经济和文化发展的基本权利的国际合法秩序。多米尼加共和国致力于在国际、区域和国家一级，根据国家利益，实现各民族间的和平共处，并履行团结所有国家的职责。”","厄瓜多尔","[原文：西班牙语]","[2011年7月6日]","作为一个主权国家，厄瓜多尔不会采取单方面胁迫性措施，因为这些措施违反国际法、《联合国宪章》以及影响国家间和平关系并阻碍全面实现人民的经济和社会发展，特别是儿童和妇女的发展的规则和原则。","厄瓜多尔不实行损害其人民福祉并阻碍其享受人权的措施。相反，厄瓜多尔希望按照厄瓜多尔国家发展计划——国家福利计划的原则和目标采取措施提高人民的生活和安全水平。厄瓜多尔政府特别关注人人享受提供保健和教育的生活标准以及获取食物、保健、教育和社会服务的权利。获取食物和药物不应被用作政治工具。","危地马拉","[原文：西班牙语]","[2011年6月8日]","危地马拉人权领域协调执行政策总统委员会在回应中强调，危地马拉适当地遵守了第65/217号决议，并未采取任何单方面胁迫性措施，因为这违反国际人权法和《联合国宪章》以及危地马拉力求促进民主和尊重人权的原则。","圭亚那","[原文：英语]","[2011年6月14日]","圭亚那注意到并认同第65/217号决议所列一般审议，特别是大会在其1974年第3281(XXIX)号决议中宣布的《各国经济权利和义务宪章》第32条所载的规定，即任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益。圭亚那与大会持相同立场，认为这些单方面胁迫性措施和立法违反了国际法、国际人道主义法和《联合国宪章》，它们是一般国际习惯法以及管理国家间和平关系的标准和原则的一部分。圭亚那没有鼓励使用经济或政治压制的立法或其他形式的胁迫性措施。圭亚那也谴责诉诸这些措施的国家并敦促它们有效逆转这种行动。","圭亚那重申致力于做出善意努力，以便根据其加入的国际文书履行其国际义务，包括《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》。在1992年10月进行第一次自由和公平的选举之后，经过为实现民主复兴的长期斗争，圭亚那一直注重改善其人民的福祉和生活质量，圭亚那议会制定了一系列明确促进和保护个人以及弱势群体人权的法规。圭亚那的行政、立法和司法机构开展合作以期促进人权条约的执行，并认识到所有人权都具有普遍、不可分割、相互依存和相互关联的特点。","关于决议提及的“重申发展权作为所有人权不可分割的一部分”，《圭亚那宪法》第2部分的标题1“保护个人的基本权利和自由”和第149C条规定，“不得阻碍任何人通过合作社、工会、国有性质的公民或社会经济组织参与国家管理和国家决策。”《宪法》第14条规定，“经济发展的目标包括在全球竞争的环境下创造、促进和鼓励能实现和维护可持续竞争优势的经济体系，方法是培养创业精神、个人和团队创新性和创造性以及与国内和全球的商业合作伙伴建立战略联盟。”圭亚那同样担心单方面胁迫性措施对国际关系、贸易、投资于合作的负面影响。","作为加勒比共同体的成员，圭亚那支持区域一体化，并因此支持建立加勒比单一市场和经济体。作为南美国家同盟和美洲国家组织的成员，圭亚那认真履行它对这些机构的义务和承诺。有两个邻国声称拥有圭亚那领土——苏里南和委内瑞拉。圭亚那选择通过利用《国际海洋法》和国际仲裁法庭的现有补救办法，而非通过胁迫性措施来解决同苏里南的海上边界问题。圭亚那同这两个国家保持着良好关系，并委托联合国就其同委内瑞拉的争议问题进行斡旋。尽管圭亚那是一个发展中小国，但它勇于向面临自然灾害的国家，如格林纳达、海地、日本、圣文森特、圣卢西亚和委内瑞拉伸出援手。","圭亚那严重关切儿童的状况，因为他们是单方面胁迫性措施的主要受害者。圭亚那认识到，所有儿童都有权健康、平安和有尊严地长大成人，为此，它做出努力以便确保儿童享受健康、营养、教育以及社会和情感发展的权利。同样地，圭亚那在遵守《消除对妇女一切形式歧视公约》及其他国际标准方面，制定了全面的宪法和法律规定和政策，以便促进和保护妇女的权利。这些改革对防止持续实施单方面胁迫性措施至关重要，因为这些措施会对社会和人道主义行为以及圭亚那等发展中国家的经济和社会发展造成负面影响。圭亚那仍致力于消除一切形式的单方面胁迫性措施，因为这些措施会造成发展和人权方面的障碍。","根据关于获得“食物、医疗保健和教育”权利的决议第2段，圭亚那强调获得食物的权利，并采取积极举措来消除饥饿，并促进粮食安全。圭亚那确保在公平和问责制的基础上提供医疗保健服务。圭亚那的教育政策确保，所有公民，无论种族、年龄、信仰如何，是否存在身体或精神残疾，都有机会在可用资源范围内，平等地获得优质教育，充分发挥潜力。提供食物、医疗保健、教育和社会安全网络等必要的社会服务“不能作为施加政治压力的工具”。","圭亚那认识到并认同第65/217号决议第4段和第7段所载的自决原则，根据该原则，各国都有权在不受外来强迫或干涉的情况下自由选择其主权和国际政治地位。因此，圭亚那也谴责和反对任何国家、多边或国际发展机构采取单方面胁迫性措施。圭亚那重申，单方面胁迫性措施是阻碍全面实现人权、社会发展、安全以及在区域和国际一级和平解决冲突的主要障碍。","伊拉克","[原文：阿拉伯语]","[2011年7月22日]","伊拉克共和国充分支持大会第65/217号决议，并重申所有国家有必要遏制单方面胁迫性措施的实施。尽管若干决议述及该问题，但各国仍诉诸于使用此类任意措施。伊拉克谴责为向其他国家施加政治压力而使用任意、治外和单方面措施的行为。这些措施对人权，包括获得食物、健康和发展的基本权利造成了负面影响。伊拉克强调，面对单方面胁迫性措施，切实和预防性的措施至关重要。","科威特","[原文：阿拉伯语]","[2011年6月24日]","《世界人权宣言》和其他若干国际文书对人权做了规定，绝大多数国家宪法也涉及这一问题。人权适用于国家和个人之间的关系，也对国家间的关系至关重要。必须毫无例外或选择地维护一切人权。科威特支持联合国人权事务高级专员办事处为抑制和消除单方面胁迫性措施所做的一切努力。这些措施用于施加政治压力以及制造国际关系和贸易方面的障碍。科威特支持执行大会第65/217号决议，并在这方面提供支助并开展合作。务必不能将执行决议所涉的法律问题政治化。有必要研究人权问题和单方面胁迫性措施，以及就此问题对联合国决议做出综合和全面的评估，包括实现这些决议的目标所面临的障碍。","科威特拒绝采取任何带有胁迫性质的立法、行政或经济措施或阻碍其他国家的经济和文化发展以强迫这些国家采取特定政策的措施。单方面胁迫性措施对发展中国家的人口和《发展权利宣言》述及的发展产生了负面影响。这些措施阻碍全面享有一切人权，包括获得食物和医疗保健的最基本权利。科威特支持大会就发展权所做的决定，并反对实施阻碍这项权利的单方面胁迫性措施。","科威特继续向100多个发展中国家和最不发达国家提供国际发展援助和支助，例如通过科威特发展基金以及科威特为实现国家一级的可持续发展所做的工作。科威特认为发展以及发展同人权的关系至关重要，并视发展为连接个人和社会的领域。","三. 分析和结论","关于大会第65/217号决议，共有11个会员国提交了其对人权和单方面胁迫性措施的看法。总体来讲，做出回应的国家都明确反对使用单方面胁迫性措施。","回应国反对任何国家、多边或国际发展机构使用单方面胁迫性措施。这些措施被视为对人权的违反和全面实现人权、社会发展、和平与安全以及解决争端和冲突的障碍。若干国家还声明，它们不采取这些措施，因为这是一个原则问题。","多数回应国述及国际法原则，其中包括各国负有不采取或不适用违反《联合国宪章》和国际公法的单方面胁迫性措施的义务。据称，这些措施违反民主国家的理念以及国家主权、独立、主权平等、自决和不干涉内政的基本原则。单方面胁迫性措施涉及包括国际人道主义法在内的国际私法和公法，并因此违反了若干国际和区域文书。各国引述的相关文书包括《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》和《各国经济权利和义务宪章》，(据此，任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益)。","各国回顾道，根据《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》，不能剥夺任何人的生存手段。若干国家还重申，它们支持执行《发展权利宣言》。有人指出，使用造成治外效果的单方面胁迫性措施对资本的自由流动和贸易自由产生了负面影响，因而影响了受害国家的人民实现发展权。","回应国述及带有经济、商业和金融性质的不同形式的制裁。这些制裁包括贸易禁运；财务和资金、财产、知识产权、签证和旅行方面的限制；以及干涉带有科学、文化或旅游性质的交流。法律的域外适用以及妨碍第三国企业和公民的利益也包括在内，特别是在贸易和投资领域。","各国注意到，立法、经济和政治的单方面胁迫性措施仍是重大的国际问题，对这些措施的目标国家产生了深远的负面影响，更加广泛而言是对发展中国家的人权和发展的影响。有人指出，被施加这些措施的国家的人民是主要受害者，特别是最弱势人群——儿童、妇女、老年人和残疾人。受害国家的实际情况包括极端困苦、救生药物、特别是儿科药物、基本食品、教育设施和文化设施遭到剥夺。这些胁迫性措施的实施直接影响了基本人权的享有。","若干国家重申了一切人权不可分割、普遍、相互关联和相互依存的本质，以及认识到这一点同维护各国之间的和平关系的密切联系。各国重申，其认为发展同人权以及和平相互关联。为保持国际和平与安全，各国必须根据各国平等及其具备自决权利的原则，通过友好与合作关系促进以上联系。鉴于各国在目前的国际环境中存在利益分歧，以及多边框架和国家间多边主义对话的发展，所以必须在多边背景下应对国际关系中的挑战。有人指出，联合国，包括安全理事会以及其他国际和区域多边组织建立的机制是决定维护安全和鼓励某国遵守国际标准的适当措施的唯一合法机构。","根据面对单方面胁迫性措施所制定的实际和预防措施，一些国家认为，有必要使公众更好地认识到单方面胁迫性措施的负面影响以及尊重国际公法和私法的标准和原则重要性，从而建立国家间的友好关系，以期促进和保护人权。各国援引国家宪法和法律的规定，包括维护各民族间和平共处的价值观和团结所有国家的职责的规定。","一些国家颁布了立法，规定任何直接或间接限制或妨碍自由贸易以及资本、货物或人口自由流动，对任何国家或国家集团产生负面影响的外国法律都将不能适用，并在其领土内不具法律效力。各国还举例说明这些法律规定，规定旨在通过对另一国实施经济制裁或限制在其投资，以更换其政府为目的造成治外法律效果的外国法律在其领土内不具法律效力。","有人述及为维护人权以及促进领土内外的社会和经济发展所采取的内部措施，并再次说明，其认为应使所有人获得基本必需品，并且在任何情况下都不应将获取食物、保健和教育作为政治工具，无论是在国家内部或是在更为广泛的国际社会中。各国举例说明了为促进其人民的人权和发展所采取的政策和行动，以及特别是为了发展中国家人民的惠益，参与国际援助与合作的情况。","一个国家建议就单方面胁迫性措施及其对人权的影响建立人权事务委员会特别程序，并明确支持人权事务委员会第15/24号决议所载的要求，即要求联合国人权事务高级专员办事处编制一份关于人权和单方面胁迫性措施的专题研究，包括旨在终止这些措施的行动建议。一些国家欢迎大会和人权事务委员会不断关注人权问题和单方面胁迫性措施。"],"string":"[\n \"第六十六届会议\",\n \"临时议程^(*) 项目69 (b)\",\n \"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径\",\n \"人权与单方面胁迫性措施\",\n \"秘书长的报告\",\n \"摘要 \\n本报告根据大会第65/217号决议提交。大会在该决议中请秘书长提请所有会员国注意该决议，继续收集它们关于单方面胁迫性措施对其人民产生的影响和不良后果的意见及资料，并就此向大会第六十六届会议提交一份分析报告。联合国人权事务高级专员办事处已收到阿根廷、白俄罗斯、波斯尼亚和黑塞哥维那、布基纳法索、古巴、多米尼加共和国、厄瓜多尔、危地马拉、圭亚那、伊拉克和科威特等国政府对该办事处发出的一份普通照会的答复。本报告载有收到的所有答复的摘要并分析了其内容。\",\n \"目录\",\n \"页次\\n 1. 导言 3\\n 2. 从会员国收到的资料 3\\n 阿根廷 3\\n 白俄罗斯 4\\n 波斯尼亚和黑塞哥维那 5\\n 布基纳法索 5\\n 古巴 6\\n 多米尼加共和国 9\\n厄瓜多尔\\t10\\n危地马拉\\t10\\n圭亚那\\t10\\n伊拉克\\t12\\n科威特\\t12\\n3. 分析和结论\\t13\",\n \"一. 导言\",\n \"1. 在第65/217号决议第15段中，大会请秘书长提请所有会员国注意该决议，继续收集它们关于单方面胁迫性措施对其人民产生的影响和不良后果的意见及资料，并就此向大会第六十六届会议提交一份分析报告，同时再次重申有必要着重说明这方面的切实预防措施。\",\n \"2. 2011年5月5日，根据第65/217号决议第15段，联合国人权事务高级专员办事处向所有常驻联合国日内瓦办事处代表团发出提供资料的请求。截至2011年7月25日，该办事处已收到来自阿根廷、白俄罗斯、波斯尼亚和黑塞哥维那、布基纳法索、古巴、多米尼加共和国、厄瓜多尔、危地马拉、圭亚那、伊拉克和科威特等国政府的答复。\",\n \"二. 从会员国收到的资料\",\n \"阿根廷\",\n \"[原文：西班牙语]\",\n \"[2011年7月1日]\",\n \"阿根廷共和国一贯支持大会和人权理事会关于人权和单方面胁迫性措施的各项决议。还支持大会关于消除使用单方面措施作为政治和经济胁迫手段的第55/6号决议。\",\n \"阿根廷的立场是基于所有国家都有义务避免采用或适用有悖国际法或《联合国宪章》的单边措施。也是基于大会第2625(XXV)号决议附件和大会第3281(XXIX)号决议所载的《各国经济权利和义务宪章》。使用单方面治外胁迫性措施严重影响贸易和合作，并对资本自由流动和贸易自由产生了不利影响。阿根廷认为，采取胁迫性措施剥夺了人民获得基本医疗保健和食物的机会，妨碍享有基本人权，不能基于国家安全利益的理由而侵犯这些权利。\",\n \"阿根廷《第24.871号法案》规定，任何直接或间接限制或妨碍自由贸易、限制或妨碍资本、货物或人员自由流动，对任何国家或国家群体造成不利影响的外国法律，在阿根廷境内不适用，亦不具有任何法律效力。法案第1条规定，旨在以实施经济制裁，或限制到另一国投资，目的是改变其政府等方式施加治外法律效力的外国法律，在阿根廷共和国境内均不具有任何法律效力。阿根廷重申所有人权的不可分割性、普遍性和相互依赖性。\",\n \"白俄罗斯\",\n \"[原文：俄语]\",\n \"[2011年6月23日]\",\n \"白俄罗斯共和国的答复提到了欧盟和美国继续对白俄罗斯实施政治和经济方面的限制性措施。2011年，欧洲委员会对白俄罗斯共和国的几名官员实施签证和经济制裁，理由是2010年12月19日的总统选举弄虚作假且随后大肆迫害民主反对派、民间社会和独立大众传媒的成员。截止2011年6月20日，受到欧盟成员国领土旅行限制的白俄罗斯公民人数达到了190人。此外，欧盟还对三家白俄罗斯企业，即“Beltekexporta”、“BT-Telekommunikazi”和“Sport-pari”实施经济制裁。阿尔巴尼亚、波斯尼亚和黑塞哥维那、克罗地亚、冰岛、列支敦士登、前南斯拉夫马的其顿共和国、黑山、挪威和塞尔维亚也与欧盟一道对白俄罗斯实施制裁。\",\n \"2006年6月以来，美国对白俄罗斯官员实施的制裁影响到这些官员在美国境内的财产利益。2007年8月以来，美国已对几类官员实施签证限制。2004-2011年，美国对白俄罗斯大型企业，包括“Belneftexim”、“BelTekExport”、“Belorusneft”和“Integral”实施经济性质的单边限制性措施。欧盟、美国以及支持以制裁形式实施单方面胁迫性措施的各国的决定直接影响普通白俄罗斯公民的各项利益，影响他们享有经济、社会和其他各项权利，包括发展权。这类措施还影响白俄罗斯民间社会，包括新闻记者的各项活动。法院面临制裁造成的压力，从维护司法独立性和各项权利的立场出发，制裁行为是不可接受的。\",\n \"白俄罗斯有义务提醒大会和人权理事会注意欧盟、美国和其他国家实施的单方面胁迫性措施违反了大会第65/217号决议和人权理事会关于“人权与单方面胁迫性措施”的第15/24号决议。该决议回顾称，根据《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》和大会在1974年12月12日第3281 (XXIX)号决议中公布的《各国经济权利和义务宪章》的相关原则和条款，尤其是第32条，任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益。\",\n \"白俄罗斯共和国欢迎大会和人权理事会继续关注在单方面胁迫性措施背景下实现各项人权这个问题，并认为有必要在理事会内建立一个关于单方面胁迫性措施及其对人权影响的特别程序。白俄罗斯支持人权理事会第15/24号决议中提出的请求，即请联合国人权事务高级专员办事处编写一份关于单方面胁迫性措施对人权享有的影响的专题研究，包括旨在结束这类措施的行动建议。\",\n \"波斯尼亚和黑塞哥维那\",\n \"[原文：英语]\",\n \"[2011年6月29日]\",\n \"作为一个国际公认的独立主权国家，波斯尼亚和黑塞哥维那坚信，任何国家不得使用或鼓励使用经济、政治或任何其他措施，来强迫另一个国家，使其在主权权利的行使方面屈从一国或大国。波斯尼亚和黑塞哥维那采取这个立场，因为单方面胁迫性措施直接违背公共国际法和人道主义法的标准，因而公然违反了国际公认实体、联合国欧洲委员会和欧洲联盟等国际组织大家庭的会员国签署并通过的国际文书。\",\n \"人权彼此相连、相互依存，这意味着人权中包括通过支持自由贸易和人员、货物、资本和服务流动等推进作为基本人权的发展权。法国革命时代设想的自由通过或“通行证”原则已成为欧洲联盟的基础。波斯尼亚和黑塞哥维那认为，通过使用单方面胁迫性措施限制发展权首先极大地损害了《欧洲人权和基本自由公约》、《世界人权宣言》和业已签署和批准的许多国际文书所载的各项人权。\",\n \"干涉自由贸易损害发展中国家弱势群体，包括儿童、青少年、妇女和老人的利益。遗憾的是，立法、经济和政治单方面胁迫性措施仍在全世界盛行，严重影响发展中国家的社会状况和全面行使人权。有鉴于上述几点，波斯尼亚和黑塞哥维那认为，有必要增强公众对以下两点的认识，一是单方面胁迫性措施的消极影响，而是遵守公共和私立国际法的标准和原则的重要性，从而建立国与国之间的友好关系，并促进和保护人权。\",\n \"波斯尼亚和黑塞哥维那坚决支持执行《发展权利宣言》，践行《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》规定的原则，即不得剥夺任何人的生存手段。单方面胁迫性措施是一种片面的政治力量手段，直接违反了民主国家的意愿。\",\n \"布基纳法索\",\n \"[原文：法语]\",\n \"[2011年7月20日]\",\n \"布基纳法索支持大会关于“人权与单方面胁迫性措施”的第65/217号决议以及在其他国际机构框架内通过的禁止各国采取单方面胁迫性措施的其他文件。这包括人权理事会第15/24号决议和大会与人权理事会之前关于“人权和单方面胁迫性措施”的各项决议；2006年9月在哈瓦那举行的第十四次不结盟运动国家元首和政府首脑会议所通过的《最后文件》，以及1993年在维也纳举行的世界人权会议通过的各项建议，都要求各国不得使用不符合国际法和《联合国宪章》的单边措施。\",\n \"布基纳法索仍然坚信，要维和和平与安全，各国必须在各国平等、自决权的原则上通过友好合作的关系推进和平与安全。这类关系的发展要求各国不得采用或实施违背国际法的单方面胁迫性措施，包括通过诉诸战争、军事主义和单方面实施的消极经济和贸易措施。这些单方面胁迫性措施违反了《联合国宪章》、《非洲联盟宪章》和许多其他国际法律文书的基本原则。\",\n \"遵守国际法，包括人道主义法确立的规则和原则，是建立和平并尊重人权的国际关系的唯一途径。国家主权和不干预其他国家内部事务是《联合国宪章》奉行的根本原则，应用其指导各国之间的关系。布基纳法索认为，在当前各国利益分歧，同时发展各国多边对话框架的国际背景下，必须在这些框架内解决国际关系方面的诸多挑战。在联合国，包括安全理事会和其他国际和区域多边组织下建立的各种机制，是决定适当措施以维护安全和鼓励各国遵守国际标准的唯一合法机构。一国对另一国采取的所有胁迫性措施，不论其目的如何，都违反了国际法，故而应予以禁止。\",\n \"一国对另一国发动直接或间接战争或诉诸武力往往对各国的人权和发展造成灾难性后果。所有国家应力求尽最大努力通过国际法公认的和平解决争端机制来解决彼此之间的分歧。作为一个爱好和平的国家，布基纳法索一贯努力推进与其他国家的健康和友好的关系。正是这种和平精神促使布基纳法索国家元首积极参与次区域的冲突解决，包括科特迪瓦和多哥的冲突解决。\",\n \"布基纳法索是联合国、非洲联盟和许多其他国际和区域组织的成员国，高度重视国际关系方面的多边机制，布基纳法索积极参与各种区域和国际框架就是明证。布基纳法索还是人权理事会的成员。多边框架是解决国与国关系遇到的挑战以及可能威胁国际和平与安全的问题的恰当合法框架。布基纳法索坚持法治，在国家和国际层面奉行平等原则。根据国际法的标准和原则，布基纳法索未对其他任何国家采取过单方面胁迫性措施。\",\n \"布基纳法索认为，国际标准优先于国内立法和行政措施。根据布基纳法索《宪法》第151条，其国际义务，尤其是在正式通过协定的背景下，优先于国内法律。因此，法律禁止采取违反《联合国宪章》以及布基纳法索赞同的国际标准和原则的措施。布基纳法索当局致力于指导国际关系的核心价值观，愿意与其他国家和国际机构合作，推动在世界发展友好关系并加强合作。\",\n \"古巴\",\n \"[原文：西班牙语]\",\n \"[2011年5月26日]\",\n \"古巴指出，大会、人权理事会、和前人权委员会的诸多决议以及主要国际首脑会议和联合国会议上批准的政治宣言都裁定采用单方面胁迫性经济措施违反了《联合国宪章》和国际法。实施单方面胁迫性措施作为政治和经济胁迫手段威胁享有所有人权，首当其冲的是生命权以及民族的独立、主权和自决权。这些措施的主要受害者是承受国的人民，特别是弱势群体——儿童、妇女、老人和残疾人。\",\n \"古巴回顾称，1970年大会决定任何国家不得使用或鼓励使用经济、政治或任何其他措施，来强迫另一个国家，使其在主权权利的行使方面屈从，以及从该国获得任何好处。这一点得到了《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》的支持。\",\n \"古巴表示，古巴是长达50多年单方面胁迫性措施的受害者，因此尤其重视人权理事会和大会审议这个问题。古巴认为，采取这类措施是美国对古巴实施的敌对政策和侵略的一种根本手段，试图破坏由古巴人民的主权意愿所建立的政治、经济和社会制度。古巴认为，美国对古巴实施的经济、商业和金融封锁是“人类历史上或对任何国家所采用的最漫长、最残忍的单边制裁制度。”经济、商业和金融封锁的目的是破坏1960年4月6日落下帷幕的古巴革命。\",\n \"古巴坚持认为，禁运是美国几任当局以系统、旷日持久、不人道的方式对古巴实施的国家恐怖主义政策的基本组成部分，影响到所有古巴人民，不论其年龄、性别、种族、宗教或社会地位如何。古巴的呈件断言，这一政策足以够得上1948年12月9日《防止和惩治灭绝种族罪行的日内瓦公约》第二条(c)款规定的灭绝种族行动。\",\n \"古巴提及所谓的1992年《托里切利法案》和1996年《赫尔姆斯－伯顿法》，其中载有违反《联合国宪章》、国际法和世界贸易组织协定的条款。通过这些明显带有治外性质的法律，美国政府加强了封锁，并将其扩大到第三国，其企业和公民，对古巴实施了长达50年的经济、商业和金融封锁。\",\n \"古巴认为，在竭力为封锁古巴及其人民寻找理由的同时，美国国务院还在没有任何理由的情况下将古巴列入指控侵犯人权、贩运人口、色情旅游、恐怖主义行为和宗教不容忍等行为者的单边详细名单中。\",\n \"除了实行攻击性的媒体和外交措施以及一些粉饰太平的措施之外，美国政府当前仍维持禁运，并继续严格实施，还加强了政治、行政和强迫性机制来强制实施。对于构成封锁的法律基础的法律和行政条例/要求网络，美国没有采取任何行动予以撤销。2009年9月11日，美国延长了对古巴实施禁运的时间，依据是“美国的国家利益”和1917年《与敌国贸易法》，而后者仅适用于战争状况，并且仅对古巴具有法律效力。制裁适用于与古巴有商业往来的北美和欧洲公司。这项政策阻碍科学、文化或旅游性质的交流，促使商标盗窃行为，导致古巴在美国的数百万美元资金遭到冻结。对与古巴有附属关系者施加更多压力，目的是“政权变革”并为旨在推翻古巴宪法秩序的行动提供财政支持。\",\n \"古巴注意到，实施禁运并非仅是古巴与美国之间的一个双边问题。重复地在境外适用美国法律以及侵害第三国企业和公民的合法权益的行为还严重影响了其他许多国家的主权。治外性质的单方面胁迫性措施造成的损害由于美国及其企业大力参与贸易和跨国投资而更趋严重。第三国公司和境外北美公司在美国的投资主要以兼并、部分或全部收购公司的形式进行，这加剧了这些措施的治外影响，缩小了古巴的外部经济空间，使古巴更难、有时甚至不可能找到伙伴和供应商来规避美国实施的严格封锁。\",\n \"古巴的呈件表示，根据保守估计，截止2009年12月，由于封锁给古巴造成的直接损失超过数十亿美元。尽管2010年10月28日，占绝对多数的成员国通过了大会批准的最新决议，呼吁解除对古巴的经济、商业和金融封锁，尽管之前的18项决议，包括本决议都要求解除封锁，但美国政府仍继续对古巴实施封锁。\",\n \"古巴的呈件还表示，美国政府招募雇佣兵对古巴开展行动。2009年，外国资产管制处对违反古巴封锁禁令的7家实体处以315 503美元的罚款。对个人和实体处以的罚款总额为340 678美元。2010年上半年，对公司处以的罚款金额为2 221 671美元。外国资产管制处不仅对与古巴有贸易往来关系者处以其他百万美元罚款，还根据单方面胁迫性措施对与其他国家贸易往来者处以罚款。遭到罚款的第三国实体包括瑞士信贷银行、澳大利亚和新西兰银行集团有限公司以及位于德拉华的化学公司 Innospec Inc.在瑞典的子公司。2009年5月，外国资产管制处回绝了Banco Popular Español关于对一笔被封锁107 770.95欧元的资金解禁的请求，该笔资金是2008年12月古巴航空公司采取从马德里向墨西哥转账的方式操作的。\",\n \"呈件继而表示，自美资以色列跨国公司梯瓦制药工业有限公司收购墨西哥Lemery公司以来，古巴不能再购买治疗肉瘤(恶性肿瘤)最常用的药物细胞抑制剂更生霉素。使用这个产品将使所有病例中患者的生存率增加70%以上。敏感领域如食品、医疗、教育和文化是这项政策的主要目标，这项政策影响了生活质量。以下是2009年5月至2010年4月的例子：古巴得不到药物替莫唑胺(一种抗肿瘤药)，这是具体用于治疗中央神经系统肿瘤(神经胶质瘤和星细胞瘤)的细胞抑制剂。这种疾病每年影响约250名患者，其中大约有30名儿童。儿科心脏病中心“William Soler”不能再购买导尿管、盘管、导架和支架等利用治疗性导管术诊断和治疗患有复杂先天性心脏病的患儿。美国公司被禁止出售这些产品给古巴。古巴儿童不能使用特殊材料制成的美国Amplatzer设备来避免有机排斥。这种设备用于心脏直视手术，手术是介入措施，除了危险外，还要求重症监护并恢复三周。治疗视网膜肿瘤(长在视网膜上的先天性肿瘤)时必须使用放射性碘图板，但这些图板只在美国出售，古巴肿瘤学和放射生物学研究所买不到。缺少这项基本针对儿童的技术，唯一的办法是摘除眼睛，有时要摘除双眼，这个医疗办法的后果是寿命严重缩短。\",\n \"在食品工业，进口公司古巴粮食进口公司2009年5月至2010年4月因“风险国”概念受到的影响约为102 900 000美元，表现为银行和金融成本以及支付工具方式方面的成本。如果古巴自行处置这些资金，以2008年平均价格计算，古巴本可购买337 000吨小麦，451 000吨玉米以及109 000吨鸡肉。在教育领域，古巴不能购买60个肢体残疾儿童诊室所必需的设备，因为古巴不能进入美国市场，不得不求助于更远、更昂贵的市场。在欧洲市场上配备这些诊室的价格约为14 000 欧元，而在美国则不超过8 000美元。\",\n \"根据呈件，2008年5月至2010年5月，古巴在该领域的进口总额下降到18 200 000美元，其中10%花在了运费上。如果古巴进入美国市场，则仅需支付3.7%的运费，就能够购买胶版纸，用于打印教育(中小学等)所需的所有教材，小学和特殊教育教学法的所有跟踪工具，以及全国一个学年用于教育目的的150 000套丙烯酸马克笔。\",\n \"古巴指出，在文化领域，2002年与美国国家研究委员会签署了协定，该协定支持保护海明威室内博物馆的项目，并提供资料，从而浏览海明威收藏中的通信和文件。不过，财政部并未授权向古巴转入必要的资金以执行该项目。这些都是支持禁运的法律、法规和做法的实例，并且仍然有效，为了有效、切实地予以执行，美国加强了政治、行政和压制机制。\",\n \"对遵守国际法的要求平等适用于所有人。古巴表示，美国政府继续维持禁运是不可接受的，这使古巴人民的生活条件恶化，并且罔顾国际社会以联合国大会连续通过决议的方式一直呼吁结束对古巴长达19年的禁运，同时大会和若干附属机构谴责采取单方面胁迫性措施这一事实。\",\n \"美国奉行封锁政策仍是古巴经济和社会发展的主要障碍，它大规模、系统地侵犯了人权并践踏主权国家的和平、发展和安全权。国际社会一如既往的支持以及大力谴责采取这类措施是古巴人民的一个重要斗争工具。根据古巴呈件，国际社会有必要加大对美国政府的压力，呼吁其结束这个不人道、不合时宜的政策。\",\n \"多米尼加共和国\",\n \"[原文：西班牙语]\",\n \"[2011年6月27日]\",\n \"大会第65/217号决议力求重申《联合国宪章》所载的原则和规定、人权理事会和人权委员会过去的决议以及国际人道主义法的规范，该决议证实一个国家适用的单方面胁迫性措施和法律会造成负面影响，包括对社会和人道主义活动以及发展中国家的经济和社会发展造成的治外效果。该决议是对联合国会员国就一些国家对其他国家实施单方面胁迫性措施造成严重损害，特别是对拉丁美洲地区的儿童、妇女、老年人和残疾人造成的损害做出的多边呼吁的回应。古巴、墨西哥和委内瑞拉提交的报告特别具有相关性。\",\n \"自1945年10月24日生效的《联合国宪章》，特别是第10条，规定“大会可以讨论目前《宪章》范围内或与目前《宪章》规定的机构的职权相关的任何问题或任何事项，而且除第12条规定外，可以就任何此类问题或事项，向联合国会员国或安全理事会或二者提出建议。”多米尼加共和国作为联合国的一个会员国，并未低估联合国在国际法的形成和发展全过程中所起的作用。\",\n \"多米尼加共和国向国际社会所做的承诺载于其2010年1月26日《宪法》的第26条第3款和第4款，即：“肯定和促进国家价值观和利益以及尊重人权和国际法是多米尼加共和国国际关系的基石和指导。”“在与其他国家保持平等地位的基础上，多米尼加共和国接受确保尊重实现和平、正义以及各国政治、社会、经济和文化发展的基本权利的国际合法秩序。多米尼加共和国致力于在国际、区域和国家一级，根据国家利益，实现各民族间的和平共处，并履行团结所有国家的职责。”\",\n \"厄瓜多尔\",\n \"[原文：西班牙语]\",\n \"[2011年7月6日]\",\n \"作为一个主权国家，厄瓜多尔不会采取单方面胁迫性措施，因为这些措施违反国际法、《联合国宪章》以及影响国家间和平关系并阻碍全面实现人民的经济和社会发展，特别是儿童和妇女的发展的规则和原则。\",\n \"厄瓜多尔不实行损害其人民福祉并阻碍其享受人权的措施。相反，厄瓜多尔希望按照厄瓜多尔国家发展计划——国家福利计划的原则和目标采取措施提高人民的生活和安全水平。厄瓜多尔政府特别关注人人享受提供保健和教育的生活标准以及获取食物、保健、教育和社会服务的权利。获取食物和药物不应被用作政治工具。\",\n \"危地马拉\",\n \"[原文：西班牙语]\",\n \"[2011年6月8日]\",\n \"危地马拉人权领域协调执行政策总统委员会在回应中强调，危地马拉适当地遵守了第65/217号决议，并未采取任何单方面胁迫性措施，因为这违反国际人权法和《联合国宪章》以及危地马拉力求促进民主和尊重人权的原则。\",\n \"圭亚那\",\n \"[原文：英语]\",\n \"[2011年6月14日]\",\n \"圭亚那注意到并认同第65/217号决议所列一般审议，特别是大会在其1974年第3281(XXIX)号决议中宣布的《各国经济权利和义务宪章》第32条所载的规定，即任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益。圭亚那与大会持相同立场，认为这些单方面胁迫性措施和立法违反了国际法、国际人道主义法和《联合国宪章》，它们是一般国际习惯法以及管理国家间和平关系的标准和原则的一部分。圭亚那没有鼓励使用经济或政治压制的立法或其他形式的胁迫性措施。圭亚那也谴责诉诸这些措施的国家并敦促它们有效逆转这种行动。\",\n \"圭亚那重申致力于做出善意努力，以便根据其加入的国际文书履行其国际义务，包括《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》。在1992年10月进行第一次自由和公平的选举之后，经过为实现民主复兴的长期斗争，圭亚那一直注重改善其人民的福祉和生活质量，圭亚那议会制定了一系列明确促进和保护个人以及弱势群体人权的法规。圭亚那的行政、立法和司法机构开展合作以期促进人权条约的执行，并认识到所有人权都具有普遍、不可分割、相互依存和相互关联的特点。\",\n \"关于决议提及的“重申发展权作为所有人权不可分割的一部分”，《圭亚那宪法》第2部分的标题1“保护个人的基本权利和自由”和第149C条规定，“不得阻碍任何人通过合作社、工会、国有性质的公民或社会经济组织参与国家管理和国家决策。”《宪法》第14条规定，“经济发展的目标包括在全球竞争的环境下创造、促进和鼓励能实现和维护可持续竞争优势的经济体系，方法是培养创业精神、个人和团队创新性和创造性以及与国内和全球的商业合作伙伴建立战略联盟。”圭亚那同样担心单方面胁迫性措施对国际关系、贸易、投资于合作的负面影响。\",\n \"作为加勒比共同体的成员，圭亚那支持区域一体化，并因此支持建立加勒比单一市场和经济体。作为南美国家同盟和美洲国家组织的成员，圭亚那认真履行它对这些机构的义务和承诺。有两个邻国声称拥有圭亚那领土——苏里南和委内瑞拉。圭亚那选择通过利用《国际海洋法》和国际仲裁法庭的现有补救办法，而非通过胁迫性措施来解决同苏里南的海上边界问题。圭亚那同这两个国家保持着良好关系，并委托联合国就其同委内瑞拉的争议问题进行斡旋。尽管圭亚那是一个发展中小国，但它勇于向面临自然灾害的国家，如格林纳达、海地、日本、圣文森特、圣卢西亚和委内瑞拉伸出援手。\",\n \"圭亚那严重关切儿童的状况，因为他们是单方面胁迫性措施的主要受害者。圭亚那认识到，所有儿童都有权健康、平安和有尊严地长大成人，为此，它做出努力以便确保儿童享受健康、营养、教育以及社会和情感发展的权利。同样地，圭亚那在遵守《消除对妇女一切形式歧视公约》及其他国际标准方面，制定了全面的宪法和法律规定和政策，以便促进和保护妇女的权利。这些改革对防止持续实施单方面胁迫性措施至关重要，因为这些措施会对社会和人道主义行为以及圭亚那等发展中国家的经济和社会发展造成负面影响。圭亚那仍致力于消除一切形式的单方面胁迫性措施，因为这些措施会造成发展和人权方面的障碍。\",\n \"根据关于获得“食物、医疗保健和教育”权利的决议第2段，圭亚那强调获得食物的权利，并采取积极举措来消除饥饿，并促进粮食安全。圭亚那确保在公平和问责制的基础上提供医疗保健服务。圭亚那的教育政策确保，所有公民，无论种族、年龄、信仰如何，是否存在身体或精神残疾，都有机会在可用资源范围内，平等地获得优质教育，充分发挥潜力。提供食物、医疗保健、教育和社会安全网络等必要的社会服务“不能作为施加政治压力的工具”。\",\n \"圭亚那认识到并认同第65/217号决议第4段和第7段所载的自决原则，根据该原则，各国都有权在不受外来强迫或干涉的情况下自由选择其主权和国际政治地位。因此，圭亚那也谴责和反对任何国家、多边或国际发展机构采取单方面胁迫性措施。圭亚那重申，单方面胁迫性措施是阻碍全面实现人权、社会发展、安全以及在区域和国际一级和平解决冲突的主要障碍。\",\n \"伊拉克\",\n \"[原文：阿拉伯语]\",\n \"[2011年7月22日]\",\n \"伊拉克共和国充分支持大会第65/217号决议，并重申所有国家有必要遏制单方面胁迫性措施的实施。尽管若干决议述及该问题，但各国仍诉诸于使用此类任意措施。伊拉克谴责为向其他国家施加政治压力而使用任意、治外和单方面措施的行为。这些措施对人权，包括获得食物、健康和发展的基本权利造成了负面影响。伊拉克强调，面对单方面胁迫性措施，切实和预防性的措施至关重要。\",\n \"科威特\",\n \"[原文：阿拉伯语]\",\n \"[2011年6月24日]\",\n \"《世界人权宣言》和其他若干国际文书对人权做了规定，绝大多数国家宪法也涉及这一问题。人权适用于国家和个人之间的关系，也对国家间的关系至关重要。必须毫无例外或选择地维护一切人权。科威特支持联合国人权事务高级专员办事处为抑制和消除单方面胁迫性措施所做的一切努力。这些措施用于施加政治压力以及制造国际关系和贸易方面的障碍。科威特支持执行大会第65/217号决议，并在这方面提供支助并开展合作。务必不能将执行决议所涉的法律问题政治化。有必要研究人权问题和单方面胁迫性措施，以及就此问题对联合国决议做出综合和全面的评估，包括实现这些决议的目标所面临的障碍。\",\n \"科威特拒绝采取任何带有胁迫性质的立法、行政或经济措施或阻碍其他国家的经济和文化发展以强迫这些国家采取特定政策的措施。单方面胁迫性措施对发展中国家的人口和《发展权利宣言》述及的发展产生了负面影响。这些措施阻碍全面享有一切人权，包括获得食物和医疗保健的最基本权利。科威特支持大会就发展权所做的决定，并反对实施阻碍这项权利的单方面胁迫性措施。\",\n \"科威特继续向100多个发展中国家和最不发达国家提供国际发展援助和支助，例如通过科威特发展基金以及科威特为实现国家一级的可持续发展所做的工作。科威特认为发展以及发展同人权的关系至关重要，并视发展为连接个人和社会的领域。\",\n \"三. 分析和结论\",\n \"关于大会第65/217号决议，共有11个会员国提交了其对人权和单方面胁迫性措施的看法。总体来讲，做出回应的国家都明确反对使用单方面胁迫性措施。\",\n \"回应国反对任何国家、多边或国际发展机构使用单方面胁迫性措施。这些措施被视为对人权的违反和全面实现人权、社会发展、和平与安全以及解决争端和冲突的障碍。若干国家还声明，它们不采取这些措施，因为这是一个原则问题。\",\n \"多数回应国述及国际法原则，其中包括各国负有不采取或不适用违反《联合国宪章》和国际公法的单方面胁迫性措施的义务。据称，这些措施违反民主国家的理念以及国家主权、独立、主权平等、自决和不干涉内政的基本原则。单方面胁迫性措施涉及包括国际人道主义法在内的国际私法和公法，并因此违反了若干国际和区域文书。各国引述的相关文书包括《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》和《各国经济权利和义务宪章》，(据此，任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益)。\",\n \"各国回顾道，根据《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》，不能剥夺任何人的生存手段。若干国家还重申，它们支持执行《发展权利宣言》。有人指出，使用造成治外效果的单方面胁迫性措施对资本的自由流动和贸易自由产生了负面影响，因而影响了受害国家的人民实现发展权。\",\n \"回应国述及带有经济、商业和金融性质的不同形式的制裁。这些制裁包括贸易禁运；财务和资金、财产、知识产权、签证和旅行方面的限制；以及干涉带有科学、文化或旅游性质的交流。法律的域外适用以及妨碍第三国企业和公民的利益也包括在内，特别是在贸易和投资领域。\",\n \"各国注意到，立法、经济和政治的单方面胁迫性措施仍是重大的国际问题，对这些措施的目标国家产生了深远的负面影响，更加广泛而言是对发展中国家的人权和发展的影响。有人指出，被施加这些措施的国家的人民是主要受害者，特别是最弱势人群——儿童、妇女、老年人和残疾人。受害国家的实际情况包括极端困苦、救生药物、特别是儿科药物、基本食品、教育设施和文化设施遭到剥夺。这些胁迫性措施的实施直接影响了基本人权的享有。\",\n \"若干国家重申了一切人权不可分割、普遍、相互关联和相互依存的本质，以及认识到这一点同维护各国之间的和平关系的密切联系。各国重申，其认为发展同人权以及和平相互关联。为保持国际和平与安全，各国必须根据各国平等及其具备自决权利的原则，通过友好与合作关系促进以上联系。鉴于各国在目前的国际环境中存在利益分歧，以及多边框架和国家间多边主义对话的发展，所以必须在多边背景下应对国际关系中的挑战。有人指出，联合国，包括安全理事会以及其他国际和区域多边组织建立的机制是决定维护安全和鼓励某国遵守国际标准的适当措施的唯一合法机构。\",\n \"根据面对单方面胁迫性措施所制定的实际和预防措施，一些国家认为，有必要使公众更好地认识到单方面胁迫性措施的负面影响以及尊重国际公法和私法的标准和原则重要性，从而建立国家间的友好关系，以期促进和保护人权。各国援引国家宪法和法律的规定，包括维护各民族间和平共处的价值观和团结所有国家的职责的规定。\",\n \"一些国家颁布了立法，规定任何直接或间接限制或妨碍自由贸易以及资本、货物或人口自由流动，对任何国家或国家集团产生负面影响的外国法律都将不能适用，并在其领土内不具法律效力。各国还举例说明这些法律规定，规定旨在通过对另一国实施经济制裁或限制在其投资，以更换其政府为目的造成治外法律效果的外国法律在其领土内不具法律效力。\",\n \"有人述及为维护人权以及促进领土内外的社会和经济发展所采取的内部措施，并再次说明，其认为应使所有人获得基本必需品，并且在任何情况下都不应将获取食物、保健和教育作为政治工具，无论是在国家内部或是在更为广泛的国际社会中。各国举例说明了为促进其人民的人权和发展所采取的政策和行动，以及特别是为了发展中国家人民的惠益，参与国际援助与合作的情况。\",\n \"一个国家建议就单方面胁迫性措施及其对人权的影响建立人权事务委员会特别程序，并明确支持人权事务委员会第15/24号决议所载的要求，即要求联合国人权事务高级专员办事处编制一份关于人权和单方面胁迫性措施的专题研究，包括旨在终止这些措施的行动建议。一些国家欢迎大会和人权事务委员会不断关注人权问题和单方面胁迫性措施。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 69 (b) of the provisional agenda*","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Human rights and unilateral coercive measures","Annual report of the Secretary-General","Summary","The present report is submitted in accordance with General Assembly resolution 65/217, in which the Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session. The Office of the United Nations High Commissioner for Human Rights has received replies from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait in response to a note verbale sent out by the Office. The present report comprises a summary of all responses received and an analysis of their contents.","Contents","Page\nI.Introduction 3II.Information 3 received from Member \nStates \nArgentina 3\nBelarus 4Bosnia 5 and \nHerzegovina Burkina 6 \n Faso \nCuba 7Dominican 11 \nRepublic \nEcuador 11\nGuatemala 12\nGuyana 12\nIraq 14\nKuwait 14III.Analysis 15 and \nconclusions","I. Introduction","1. In paragraph 15 of its resolution 65/217, the General Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session, while reiterating the need to highlight the practical and preventive measures in this regard.","2. On 5 May 2011, in accordance with paragraph 15 of resolution 65/217, the Office of the United Nations High Commissioner for Human Rights sent a request for information to all permanent missions to the United Nations Office at Geneva. As at 25 July 2011, the Office had received responses from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait.","II. Information received from Member States","Argentina","[Original: Spanish]","[1 July 2011]","The Republic of Argentina has consistently supported the resolutions on human rights and unilateral coercive measures in the General Assembly and the Human Rights Council. It also voted for General Assembly resolution 55/6 on the suppression of the use of unilateral measures as coercive political and economic instruments.","The Argentine position is based on the obligation of all States to refrain from adopting or applying unilateral measures that oppose international law or the Charter of the United Nations. It is also based on the annex to General Assembly resolution 2625 (XXV) and the Charter of Economic Rights and Duties of States contained in General Assembly resolution 3281 (XXIX). The use of unilateral coercive measures with extraterritorial effects seriously affects trade and economic cooperation and has a negative impact on the free movement of capital and the freedom of trade. Argentina believes that the adoption of coercive measures that deny people access to basic health care and food prevents the enjoyment of fundamental human rights, which cannot be violated on the rationale of national security interests.","Argentine Act 24.871 states that any foreign law that limits or prevents free trade and free movement of capital, goods or people, directly or indirectly, adversely affecting any country or group of countries, will not be applicable and will not have any legal effect within the territory of Argentina. Article I of this Act states that foreign laws intended to generate extraterritorial legal effects by imposing economic sanctions, or by limiting investments in another country, with the objective of changing its government will not have any legal effect within the territory of the Republic. Argentina reaffirms the indivisible, universal and interdependent nature of all human rights.","Belarus","[Original: Russian]","[23 June 2011]","The response of the Republic of Belarus refers to the continued restrictive measures of a political and economic nature by the European Union and the United States of America in relation to Belarus. In 2011, the European Council imposed visa and financial sanctions against several officials of the Republic on the grounds of falsification of the Presidential elections of 19 December 2010 and subsequent violent persecution of the democratic opposition, civil society and members of the independent mass media. As at 20 June 2011, the number of Belorussian citizens subject to sanctions on travel to the territory of the States members of the European Union reached 190. In addition, the European Union imposed economic sanctions against three Belorussian enterprises, namely, Beltekexporta, BT-Telekommunikazi and Sport-pari. Albania, Bosnia and Herzegovina, Croatia, Iceland, Liechtenstein, the former Yugoslav Republic of Macedonia, Montenegro, Norway and Serbia also joined the European Union sanctions against Belarus.","Since June 2006, the United States has imposed sanctions against officials of Belorussia affecting their property interests in United States territory. Since August 2007, United States visa restrictions have been applied against several categories of officials. During the period 2004-2011, a number of unilateral restrictive measures of an economic nature were applied by the United States of America against major Belorussian enterprises, including Belneftexim, BelTekExport, Belorusneft and Integral. The decisions of the European Union and the United States of America as well as the countries supporting their unilateral coercive measures in the form of sanctions directly affect the interests of ordinary Belorussian citizens and their enjoyment of economic, social and other rights, including the right to development. Such measures also affect the activities of Belorussian civil society, including journalists. Courts are under pressure from sanctions, which is not acceptable from the standpoint of preserving the independence of the judiciary and upholding rights.","Belarus is obliged to draw the attention of the General Assembly and the Human Rights Council to the unilateral coercive measures applied by the European Union, the United States of America and other countries, in violation of, inter alia, General Assembly resolution 65/217 and Human Rights Council resolution 15/24 on “Human rights and unilateral coercive measures”. It recalls that according to the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations, and the relevant principles and provisions contained in the Charter of Economic Rights and Duties of States, proclaimed by the General Assembly in its resolution 3281 (XXIX) of 12 December 1974, in particular article 32 thereof, no State may use or encourage the use of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it, advantages of any kind.","The Republic of Belarus welcomes the continued attention of the General Assembly and the Human Rights Council to the question of the realization of human rights in the context of unilateral coercive measures and is convinced of the need to set up in the Council a special procedure on unilateral coercive measures and their impact on human rights. Belarus supports the request contained in Human Rights Council resolution 15/24 that the Office of the United Nations High Commissioner for Human Rights prepare a thematic study on the impact of unilateral coercive measures on the enjoyment of human rights, including recommendations on actions aimed at ending such measures.","Bosnia and Herzegovina","[Original: English]","[29 June 2011]","Bosnia and Herzegovina, as a sovereign, independent and internationally recognized country, is deeply convinced that no State should use or encourage other international actors to use economic, political or any other type of measures to coerce other States in order to make them subordinate to the State or to great power. Bosnia and Herzegovina takes this position because unilateral coercive measures are in direct contradiction to the standards of public international law and humanitarian law and therefore constitute a flagrant violation of international instruments signed and ratified by internationally recognized entities/member States of families of international organizations of the United Nations, the Council of Europe, the European Union and the like.","Human rights are interrelated and interdependent, and this means that they include as a fundamental human right the right to development through the support of free trade and the movement of people, goods, capital and services. The principle of free passage, or “laissez passer”, was conceived in the times of the French revolution and is built into the foundations of the European Union. Bosnia and Herzegovina believes that restricting the right to development through the use of unilateral coercive measures greatly jeopardizes the human rights enshrined, in the first place, in the European Convention on Human Rights and Fundamental Freedoms, the Universal Declaration of Human Rights and numerous international instruments that it has signed and ratified.","Interference with free trade takes place at the expense of vulnerable populations in developing countries, including children, adolescents, women and the elderly. Unfortunately, legislative, economic and political unilateral coercive measures continue to prevail worldwide, significantly influencing the social situation in developing countries and the full exercise of human rights. In the light of the above, Bosnia and Herzegovina is of the view that it is necessary to raise public awareness of the negative impact of unilateral coercive measures and the importance of respecting the standards and principles of both public and private international law in order to create friendly relations between countries and promote and protect human rights.","Bosnia and Herzegovina strongly supports the implementation of the Declaration on the Right to Development and invokes the principle under the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights that no person shall be deprived of their own means of subsistence. Unilateral coercive measures are one-sided means of political force that directly conflict with the ideals of democratic States.","Burkina Faso","[Original: French]","[20 July 2011]","Burkina Faso supports General Assembly resolution 65/217 on “Human rights and unilateral coercive measures” and other documents adopted within the framework of other international bodies to prohibit the adoption of unilateral coercive measures by States. This includes Human Rights Council resolution 15/24 and previous resolutions of the General Assembly and the Human Rights Council on “Human rights and unilateral coercive measures”; the Final Document of the Fourteenth Conference of Heads of State and Government of the Non-Aligned Movement held in Havana in September 2006 and the recommendations of the World Conference on Human Rights held in Vienna in 1993, which all require that States refrain from the use of unilateral measures inconsistent with international law and the Charter of the United Nations.","Burkina Faso remains convinced that to preserve peace and security, States must necessarily seek to promote them through friendly and cooperative relations, based on the principle of equality among nations and their right to self-determination. The development of such relations requires that States refrain from adopting or executing unilateral coercive measures contrary to international law, including through recourse to war, militarism and negative economic and trade measures imposed unilaterally. These unilateral coercive measures are contrary to the fundamental principles of the Charter of the United Nations, the Charter of the African Union, and many other international legal instruments.","Compliance with the rules and principles established by international law, including humanitarian law, are the only means to establish international relations that are peaceful and respectful of human rights. State sovereignty and non‑intervention in the internal affairs of other States are fundamental principles embodied in the Charter of the United Nations which should guide relations among States. In the view of Burkina Faso, in the current international context marked by divergence of State interests, but also by the development of multilateral frameworks for dialogue between States, the challenges in international relations must necessarily be addressed within these frameworks. The mechanisms established under the United Nations, including the Security Council, and other international and regional multilateral organizations are the only legitimate authorities to decide on appropriate measures to safeguard security and to encourage a State to comply with international standards. All coercive measures adopted unilaterally by one State against another, regardless of the purpose, are contrary to international law and should therefore be prohibited.","The resort to direct or indirect war or armed force by one State against another always causes disastrous effects, for both human rights and the development of nations. All States should seek at all costs to resolve their differences through the mechanisms of peaceful resolution of disputes recognized by international law. As a peace-loving country, Burkina Faso has always tried to promote healthy relationships and friendships with other States. It is this spirit of peace that led to the active involvement of the Head of State of Burkina Faso in conflict resolution in the subregion, including in Côte d’Ivoire and Togo.","Burkina Faso, as a Member State of the United Nations, the African Union and many other international and regional organizations, attaches great importance to multilateralism in international relations, as is evidenced by its active participation in various regional and international frameworks. Burkina Faso is a member of the Human Rights Council. The multilateral frameworks are appropriate and legitimate for the resolution of challenges encountered in inter-State relations and issues that may threaten international peace and security. Burkina Faso upholds the rule of law and is committed to the principle of equality, both nationally and internationally. In accordance with the standards and principles of international law, Burkina Faso has not adopted unilateral coercive measures against any other State.","From the perspective of the law in Burkina Faso, international standards have primacy over internal legislative and administrative measures. Under Article 151 of the Constitution of Burkina Faso, its international obligations, particularly in the context of agreements duly ratified, supersede national laws. Therefore, measures that are contrary to the Charter of the United Nations and the international standards and principles to which Burkina Faso has agreed are prohibited by law. The authorities of Burkina Faso, committed to the core values that guide international relations, are willing to cooperate with other States and international bodies for the development of friendly relations and cooperation in the world.","Cuba","[Original: Spanish]","[26 May 2011]","Cuba points out that numerous resolutions of the General Assembly, the Human Rights Council and the former Commission on Human Rights, as well as political declarations approved at major international summits and conferences of the United Nations, have ruled that the application of unilateral coercive economic measures is a violation of the Charter of the United Nations and of international law. The implementation of unilateral coercive measures as an instrument of political and economic coercion threatens the enjoyment of all human rights, beginning with the right to life, as well as the independence, sovereignty and right to self-determination of peoples. The main victims of those measures are the people of the countries against which they are applied, especially the most vulnerable groups — children, women, the elderly and persons with disabilities.","Cuba recalls that the General Assembly decided in 1970 that no State may use or encourage the use of economic, political or any other measures to coerce another State in order to obtain the subordination of the exercise of its sovereign rights or to obtain from it advantages of any kind. This was endorsed by the Declaration on the Principles of International Law concerning Friendly Relations and Cooperation between States.","Cuba indicates that it has been a victim for over 50 years of the application of unilateral coercive measures and that it therefore attaches particular importance to the consideration of this matter by the Human Rights Council and the General Assembly. Cuba believes that the application of such measures has been a fundamental instrument of a policy of hostility and aggression of the United States of America against Cuba, seeking to destroy the political, economic and social system established by the sovereign will of the Cuban people. Cuba believes that the economic, commercial and financial embargo imposed by the United States against Cuba is the “longest and most cruel system of unilateral sanctions which has been applied against any country or witnessed by the history of humankind”. The purpose of the economic, commercial and financial embargo was the destruction of the Cuban revolution, as laid down on 6 April 1960.","Cuba maintains that the embargo constitutes an essential component of a policy of State terrorism deployed against Cuba by successive American administrations which, in a systematic, cumulative and inhumane way, has affected all Cuban people, regardless of age, sex, race, religion or social status. The Cuban submission asserts that this policy qualifies as an act of genocide under subsection (c) of Article II of the Geneva Convention on the Prevention and Punishment of the Crime of Genocide of 9 December 1948.","Cuba refers to the so-called Torricelli Act of 1992 and the Helms-Burton Act of 1996, which, it says, contain provisions that are contrary to the Charter of the United Nations, in violation of international law and World Trade Organization agreements. Through these laws of markedly extraterritorial nature, the United States Government has strengthened and extended to third countries, their companies and citizens, the application of the economic, commercial and financial embargo imposed against Cuba for 50 years.","Cuba has observed that, in an effort to justify the blockade against Cuba and its people, the United States Department of State has included Cuba, without any grounds, in a list elaborated unilaterally of perpetrators of alleged violations of human rights, human trafficking, sex tourism, practices of terrorism, religious intolerance, etc.","Despite a media and diplomatic offensive by the United States Government and the adoption by it of some cosmetic measures, the embargo remains intact today and continues to be applied rigorously, with the political, administrative and repressive mechanisms for its implementation having been strengthened. There has been no action to dismantle the web of laws and administrative regulations/requirements that form the legal basis and regulations of the embargo. On 11 September 2009, the implementation of the embargo against Cuba was extended, based on “the national interest of the United States” and the 1917 Act of Trade with the Enemy, which applies only to situations of war and is valid only for Cuba. Sanctions apply to North American and European companies doing business with Cuba. This policy impedes exchanges of a scientific, cultural or touristic nature and promotes theft of trademarks and the freezing of millions of dollars of Cuban funds in the United States. More pressure is applied to subordinate relations with Cuba for the purposes of “regime change” and financial support is offered for actions aimed at overthrowing the constitutional order in Cuba.","Cuba notes that the application of the embargo is not a bilateral issue only between Cuba and the United States. Repeated extraterritorial application of United States laws and the persecution against the legitimate interests of businesses and citizens of third countries significantly affect the sovereignty of many other States as well. The damages caused by the extraterritorial nature of unilateral coercive measures are multiplied by the important participation of the United States and its enterprises in trade and transnational investment. The investments of both third-country companies in the United States and of North American companies abroad, mainly in the form of mergers and partial or full acquisitions of companies, exacerbate the extraterritorial effects of these measures, by reducing the external economic space of Cuba and make it more difficult, sometimes impossible, to find partners and suppliers to avoid the strict blockade imposed by the United States.","The Cuban submission states that, according to conservative estimates, the direct damage to Cuba resulting from the blockade until December 2009 exceeds tens of billions of dollars. Despite the approval of the most recent resolution of the General Assembly calling for the lifting of the economic, commercial and financial embargo against Cuba, adopted by an overwhelming majority of Member States on 28 October 2010, and notwithstanding the existence of 18 previous resolutions that include this just demand, the United States Government has continued to pursue this action against Cuba.","The Cuban submission also states that the United States Government has recruited mercenaries to carry out acts against Cuba. In 2009, the Office of Foreign Assets Control fined seven entities for violating the blockade against Cuba in the amount of $315,503. The sum of fines on individuals and entities amounted to $340,678. In the first half of 2010, fines imposed on companies amounted to $2,221,671. The Office of Foreign Assets Control applied other million dollar fines for trade not only with Cuba, but also with other countries under/by virtue of unilateral coercive measures. The entities of third countries subjected to fines included Credit Suisse Bank of Switzerland, Australia and New Zealand Bank Group Ltd. and the subsidiary in Sweden of the chemical company Innospec Inc. based in Delaware. In May 2009, the Office of Foreign Assets Control refused the request of the Banco Popular Español to release funds amounting to €107,770.95 blocked via a transfer from Madrid to Moscow, realized by Cubana de Aviación in December 2008.","The submission continues that, since the acquisition of the Lemery Company of Mexico by the Israeli transnational company Teva with United States capital, Cuba can no longer buy the cytostatic dactinomycin, the most useful drug in the treatment of sarcomas (malignant neoplasm). The use of this product would allow an increase in the survival rate of patients to over 70 per cent of all cases. Sensitive sectors, such as food, health, education and culture, have been among the main targets of this policy, which affects quality of life. The following are examples between May 2009 and April 2010. Cuba has no access to the medicine temozolamide (Temodar), specific cytostatic for use in central nervous system tumours (gliomas and astrocytomas). This affects approximately 250 patients annually, of which about 30 are children. The Pediatric Cardiology Centre “William Soler” is prevented from acquiring devices, such as catheters, coils, guides and stents, used for diagnosis and treatment by interventional catheterization for children with complex congenital heart disease. American companies are prohibited from selling these products to Cuba. Cuban children are denied the use of the American device Amplatzer made of special materials in order to avoid organic rejection/refusal. This device is used in open heart surgery, an intervention, in addition to being risky, that requires intensive care and recovery for three weeks. The Institute of Oncology and Radiobiology of Cuba is prevented from using plates of radioactive iodine in the treatment of retinoblastoma tumour (congenital tumour that grows on the retina) through inability to acquire these plates, which can be purchased only in the United States. In the absence of this technology, which is basically intended for children, the only alternative is the removal of the eye and, in some cases, the removal of both eyes, a medical method entailing serious limitations for life.","In the food industry, the import company Alimport was affected between May 2009 and April 2010 in the approximate amount of $102,900,000 by the concept of “risk country” in the form of banking and financial costs and costs for the modality of payment instruments. If Cuba had these funds at its disposal, it could have purchased 337,000 tons of wheat, 451,000 tons of maize and 109,000 tons of chicken at 2008 average prices. In the field of education, Cuba has been prevented from acquiring the necessary equipment for 60 therapeutic classrooms for children with motor disabilities since it does not have access to the United States market and has to resort to markets that are more distant and more expensive. The cost of these classrooms is around €14,000 on the European market, but in the United States does not exceed $8,000 dollars.","According to the submission, from May 2008 to May 2010, the total amount of Cuban imports in this sector fell to $18,200,000, of which 10 per cent was spent on freight. If Cuba had access to the United States market, it would have had to devote only 3.7 per cent to pay the freight, so it would have been able to buy offset paper for the printing of all textbooks needed for education (primary, secondary, etc.), all tracing toolkits for teaching mathematics in elementary schools and special education, and 150,000 sets of acrylic board markers for educational purposes around the country in the school year.","Cuba notes that, in the cultural arena, a bilateral agreement was signed in 2002 with the National Social Sciences Research Council of the United States of America, which would support the project for conservation of the house-museum of Ernest Hemingway and supply materials for the scanning of correspondence and documents from the Hemingway collection. However, the Treasury Department did not authorize the transfer to Cuba of the funding necessary to implement this project. These are illustrative examples of laws, regulations and practices that support the embargo and that have remained in force, reinforcing the political, administrative and repressive mechanisms for its effective and deliberate implementation.","The requirement to respect international law applies equally to everyone. Cuba states that it is unacceptable that the Government of the United States of America continues to maintain the embargo, which worsens the living conditions of the Cuban people, and ignores the fact that the international community has been calling for an end to the blockade against Cuba for 19 years in successive resolutions of the General Assembly, while it simultaneously condemns the application of unilateral coercive measures in the Assembly and several of its subsidiary organs.","The application of this policy of blockade continues to be the main obstacle to the economic and social development of Cuba and constitutes a flagrant, massive and systematic violation of human rights and a transgression of the right to peace, and the development and the security of a sovereign State. The continued support of the international community and its strong pronouncement against the application of such measures has been an important tool in the struggle of the Cuban people. It is important that the international community increase the political pressure on the United States Government, calling for an end to this inhumane and obsolete policy, according to the Cuban submission.","Dominican Republic","[Original: Spanish] [27 June 2011]","General Assembly resolution 65/217 seeks to reaffirm the principles and provisions enshrined in the Charter of the United Nations, previous resolutions of the Human Rights Council and the Commission on Human Rights, as well as norms of international humanitarian law, which establish that unilateral coercive measures and laws applied by a State generate negative consequences, including extraterritorial effects for social and humanitarian activities, as well as for the economic and social development of developing countries. This resolution is a response to multiple calls from Member States of the United Nations with regard to the serious damage that unilateral coercive measures applied by States on other States generate on populations, particularly children, women, the elderly and persons with disabilities, in the Latin American region. The reports presented by Cuba, Mexico and Venezuela are particularly relevant.","The Charter of the United Nations, in force since 24 October 1945, in particular, Article 10, states that “the General Assembly may discuss any questions or any matters within the scope of the present Charter or relating to the powers and functions of any organs provided for in the present Charter and, except as provided in Article 12, may make recommendations to the Members of the United Nations or to the Security Council or to both on any such questions or matters”. The Dominican Republic, as a Member State of the United Nations, does not underestimate the role of the said institution in the overall process of the formation and development of international law.","The commitment of the Dominican Republic to the international community is enshrined in the Constitution of 26 January 2010, in its Article 26, paragraphs 3 and 4, which state: “the international relations of the Dominican Republic are founded and governed by the affirmation and promotion of its national values and interests, the respect for human rights and international law”. “On an equal footing with other States, the Dominican Republic accepts an international legal order that ensures respect for fundamental rights to peace, justice, and the political, social, economic and cultural development of nations. It commits to act at the international, regional and national levels in a manner consistent with national interests, peaceful coexistence among peoples and the duty of solidarity with all nations.”","Ecuador","[Original: Spanish] [6 July 2011]","As a sovereign State, Ecuador does not apply unilateral coercive measures which are contrary to international law, the United Nations Charter and the rules and principles that govern peaceful relations between countries and which could prevent the full achievement of the economic and social development of the population, in particular the development of children and women.","Ecuador does not adopt measures that could harm the well-being of its population and prevent it from enjoying human rights. On the contrary, Ecuador wants to implement measures to improve the living standards and the security level of the population, based on the principles and objectives established in the National Development Plan of Ecuador-National Plan for Well-being. The Government of Ecuador pays special attention to the right of each person to enjoy living standards that provide health and education and the right to food, health care, education and social services. Access to food and medication should not be used as a political tool.","Guatemala","[Original: Spanish] [8 June 2011]","The response of the Presidential Commission for Coordinating Executive Policy in the Field of Human Rights in Guatemala underlines that the State of Guatemala has duly complied with resolution 65/217 and has not adopted any unilateral coercive measures which would be contrary to international human rights law and the Charter of the United Nations, as well as the principles of a State struggling for the strengthening of democracy and for respect for human rights.","Guyana","[Original: English] [14 June 2011]","Guyana is both mindful of and agrees with the general considerations outlined in resolution 65/217, particularly article 32 of the Charter of Economic Rights and Duties of States, proclaimed by the General Assembly in its resolution 3281 (XXIX) of 1974, insofar as it condemns use by a State of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights. It shares in the position of the General Assembly that such unilateral coercive measures and legislation are contrary to international law, international humanitarian law and the Charter of the United Nations, which form part of general customary international law and the norms and principles governing peaceful relations among States. Guyana has no legislation or other forms of coercive measures which encourage the use of economic or political coercion. It joins in the condemnation of States which resort to such measures and urges them to effectively reverse such actions.","Guyana reaffirms its commitment to make good-faith efforts to fulfil its international obligations under international instruments to which it has acceded, including the Covenants on Civil and Political Rights and on Economic, Social and Cultural Rights. After the first free and fair elections in October 1992, following a long struggle for the restoration of democracy, Guyana has focused on the improved well-being and quality of life of its people, and its Parliament has enacted a series of statutes that specifically promote and protect the human rights of individuals as well as vulnerable groups of persons. Guyana, through its Executive, Legislature and Judiciary, collaborates to enhance the implementation of human rights treaties and recognizes the universal, indivisible, interdependent and interrelated character of all human rights.","With regard to the reference in the resolution to “reaffirming the right to development as an integral part of all human rights”, Guyana’s Constitution, Part 2, Title 1, “Protection of Fundamental Rights and Freedoms of the Individual”, Article 149C, states that “no person shall be hindered in the enjoyment of participating through cooperatives, trade unions, civic or socio-economic organizations of a national character, in the management and decision-making processes of the State”. Article 14 of the Constitution states that “the goal of economic development includes the objective of creating, promoting and encouraging an economic system capable of achieving and maintaining sustainable competitive advantage in the context of a global competitive environment, by fostering entrepreneurship, individual and group initiative and creativity, and strategic alliances with domestic and global business partners”. Guyana shares in the concern about the negative impact of unilateral coercive measures on international relations, trade, investment and cooperation.","As a member of the Caribbean Community (CARICOM), Guyana supports regional integration and consequently the establishment of a Caribbean Single Market and Economy. As a member of the Union of South American Nations (UNASUR) and the Organization of American States, Guyana takes seriously its obligations and commitments to these bodies. There exist claims on Guyana’s territory by two neighbouring countries — Suriname and Venezuela. Guyana chose to resolve the issue of its maritime boundaries with Suriname by utilizing the available remedies in the International Law of the Sea and the International Arbitral Tribunal, rather than through coercive measures. Guyana maintains good relations with both these countries and is committed to the United Nations good offices process with regard to the controversy with Venezuela. Guyana, although a small developing country, has reached out to assist States that have faced natural disasters, like Grenada, Haiti, Japan, Saint Vincent, Saint Lucia and Venezuela.","Guyana is gravely concerned about the situation of children who are the main victims of unilateral coercive measures. It recognizes that every child has a right to grow to adulthood in health, peace and dignity and, to this end, has undertaken efforts to ensure the rights of children to health, nutrition, education, and social and emotional development. Similarly, in keeping with the Convention on the Elimination of All Forms of Discrimination against Women and other international standards, Guyana has developed comprehensive constitutional and legislative provisions and policies to promote and protect women’s rights. These reforms are important to prohibit the persistence of unilateral coercive measures which have negative implications for social and humanitarian activities and economic and social development of developing countries like Guyana. Guyana remains committed to eradicating all forms of unilateral coercive measures which create obstacles to both development and human rights.","With reference to paragraph 2 of the resolution concerning the right to “food, medical care and education”, Guyana places emphasis on the right to food and has taken positive measures to eliminate hunger and promote food security. Guyana ensures that health-care delivery is based on equity and accountability. Its education policy ensures that all citizens, regardless of race, age, creed, physical or mental disability, have opportunities to achieve their full potential through equal access to quality education within available resources. The provision of necessary social services, such as food, medical care, education and social safety nets, “are not used as tools for political pressure”.","Guyana is both mindful of and agrees with the principle of self-determination alluded to in paragraphs 4 and 7 of resolution 65/217, under which nations have the right to freely choose their sovereignty and international political status with no external compulsion or interference. Consequently, it shares in the condemnation and rejection of unilateral coercive measures adopted by any State, multilateral or international developmental agency. Guyana reiterates that unilateral coercive measures constitute a major obstacle to the full realization of human rights, development of societies, security and peaceful resolution of conflicts at the regional and global levels.","Iraq","[Original: Arabic] [22 July 2011]","The Republic of Iraq fully supports General Assembly resolution 65/217 and reiterates the need for all States to refrain from unilateral coercive measures. Despite several resolutions on this issue, States still resort to the use of such arbitrary measures. Iraq condemns the use of arbitrary, extraterritorial, unilateral measures used to exert political pressure on other States. Such measures have a negative impact on human rights, including the basic right to food, health and development. Iraq stresses the importance of practical and preventive measures in the face of unilateral coercive measures.","Kuwait","[Original: Arabic] [24 June 2011]","Human rights are enshrined in the Universal Declaration of Human Rights and several other international instruments and are also contained in the majority of national constitutions. They apply to relations between States and individuals and are also of importance to relations between States. All human rights must be upheld without exception or selection. Kuwait supports all efforts by the Office of the United Nations High Commissioner for Human Rights towards the rejection and elimination of unilateral coercive measures. Such measures are used to exert political pressure and pose obstacles to international relations and trade. Kuwait supports the implementation of General Assembly resolution 65/217 and extends its support and cooperation in this regard. It is important not to politicize the legal issues involved in its implementation. It is necessary to study the issue of human rights and unilateral coercive measures and to do a comprehensive and complete assessment of United Nations resolutions on this subject, including obstacles facing the achievement of the objectives of these resolutions.","Kuwait refuses to adopt any legislative, administrative or economic measures of a coercive nature or measures that obstruct the economic and cultural development of other States in order to force them to adopt certain policies. Unilateral coercive measures have negative effects on the populations of developing countries and development as laid out in the Declaration on the Right to Development. They impede the full enjoyment of all human rights, including the most elementary rights to food and medical care. Kuwait supports the decisions of the General Assembly in relation to the Right to Development and rejects the imposition of unilateral coercive measures which impede this right.","Kuwait continues in its approach to international development assistance and support to more than 100 developing countries and least developed countries, for instance through the Kuwait Development Fund, and also through its work for sustainable development at the national level. Kuwait believes in the importance of development and its relationship to human rights and finds this to be an area to connect individuals and communities.","III. Analysis and conclusions","3. With regard to General Assembly resolution 65/217, a total of 11 Member States submitted their views on human rights and unilateral coercive measures. Collectively, all States which responded were unequivocal in their objection to the use of unilateral coercive measures.","4. Respondent States rejected the use of unilateral coercive measures by any State, multilateral or international development agency. Such measures were viewed as violations of human rights and as obstacles to the full realization of human rights, development of societies, peace and security, and resolution of disputes and conflicts. Several States also stated that they do not resort to such measures as a matter of principle.","5. Most respondents referred to the principles of international law which include the obligation of States to refrain from adopting or applying unilateral measures that are contrary to the Charter of the United Nations and public international law. Such measures were said to contravene the ideals of democratic States and the basic principles of State sovereignty, independence, sovereign equality, self-determination and non-intervention in internal affairs. Unilateral coercive measures involve both private and public international law, including international humanitarian law, and therefore constitute a violation of several international as well as regional instruments. Relevant instruments cited by States include the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations, and the Charter of Economic Rights and Duties of States (under which no State may use or encourage the use of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind).","6. States recalled that under the International Covenants on Civil and Political Rights and Economic, Social and Cultural Rights, no person can be deprived of his/her own means of subsistence. Several States also reaffirmed their support for the implementation of the Declaration on the Right to Development. It was noted that the use of unilateral coercive measures with extraterritorial effects seriously affects trade and economic cooperation and has a negative impact on the free movement of capital and the freedom of trade, which in turn constitute obstacles to realization of the right to development of persons living in affected countries.","7. Respondents referred to different forms of sanctions of an economic, commercial and financial nature. They include: trade embargoes; restrictions on finance and funding, property, intellectual property, visas and travel; and interference with exchanges of a scientific, cultural or touristic nature. Extraterritorial application of laws and interference with interests of businesses and citizens of third countries are also involved, especially in the areas of trade and investment.","8. States observed that unilateral legislative, economic and political unilateral coercive measures continue to prevail worldwide, with far-reaching negative implications for countries against which such measures are adopted, and more broadly, on human rights and development in developing countries. The main victims are said to be the people of the countries against which these measures apply, especially the most vulnerable — children, women, the elderly and persons with disabilities. Realities on the ground in affected countries included extreme hardships, denial of access to life-saving medication, especially paediatric medicines, basic food products, educational facilities and cultural amenities. The adoption of such coercive measures has a direct impact on the enjoyment of fundamental human rights.","9. Several States reaffirmed the indivisible, universal, interrelated and interdependent nature of all human rights and the close relationship of this recognition to the maintenance of peaceful relations between States. States reiterated their belief in the relationship between development and human rights, as well as peace. To preserve international peace and security, all States must promote them through friendly and cooperative relations based on the principle of equality between nations and their right to self-determination. In view of the current international context marked by divergence of State interests, and also by the development of multilateral frameworks and multilateralism for dialogue between States, challenges in international relations must be addressed within the multilateral setting. It was stated that the mechanisms established under the United Nations, including the Security Council, and other international and regional multilateral organizations are the only legitimate authorities to decide on appropriate measures to safeguard security and to encourage a State to comply with international standards.","10. By way of practical and preventive steps in the face of unilateral coercive measures, some States expressed the view that it is necessary to raise public awareness of the negative impact of unilateral coercive measures and the importance of respecting standards and principles of both public and private international law in order to create friendly relations between countries, and to promote and protect human rights. States cited national constitutional and legislative provisions, including those which upheld the values of peaceful coexistence among peoples and the duty of solidarity with all nations.","11. Some States have enacted legislation providing that any foreign law that limits or prevents free trade and free movement of capital, goods or people, directly or indirectly, adversely affecting any country or group of countries, will not be applicable and will not have any legal effect within their territories. States also gave examples of legal provisions stating that foreign laws intended to generate extraterritorial legal effects by imposing economic sanctions, or by limiting investments in another country, with the objective of changing its government will not have any legal effect within their territories.","12. References were made to internal measures adopted to uphold human rights and advance social and economic development both within territories and beyond, also restating the belief that access to basic necessities should be open to all, and that access to food, health care and education should under no circumstances be used as political tools, whether within States or in the broader international community. States provided illustrative examples of policies and actions adopted to promote human rights and development, both for their own populations and by way of international assistance and cooperation, especially for the benefit of people in developing countries.","13. One State suggested the establishment of a Human Rights Council special procedure on unilateral coercive measures and their impact on human rights, and explicitly supported the request contained in Human Rights Council resolution 15/24 that the Office of the United Nations High Commissioner for Human Rights prepare a thematic study on human rights and unilateral coercive measures, including recommendations on actions aimed at ending such measures. Some States welcomed the continued attention of the General Assembly and the Human Rights Council to the issue of human rights and unilateral coercive measures."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Human rights and unilateral coercive measures\",\n \"Annual report of the Secretary-General\",\n \"Summary\",\n \"The present report is submitted in accordance with General Assembly resolution 65/217, in which the Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session. The Office of the United Nations High Commissioner for Human Rights has received replies from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait in response to a note verbale sent out by the Office. The present report comprises a summary of all responses received and an analysis of their contents.\",\n \"Contents\",\n \"Page\\nI.Introduction 3II.Information 3 received from Member \\nStates \\nArgentina 3\\nBelarus 4Bosnia 5 and \\nHerzegovina Burkina 6 \\n Faso \\nCuba 7Dominican 11 \\nRepublic \\nEcuador 11\\nGuatemala 12\\nGuyana 12\\nIraq 14\\nKuwait 14III.Analysis 15 and \\nconclusions\",\n \"I. Introduction\",\n \"1. In paragraph 15 of its resolution 65/217, the General Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session, while reiterating the need to highlight the practical and preventive measures in this regard.\",\n \"2. On 5 May 2011, in accordance with paragraph 15 of resolution 65/217, the Office of the United Nations High Commissioner for Human Rights sent a request for information to all permanent missions to the United Nations Office at Geneva. As at 25 July 2011, the Office had received responses from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait.\",\n \"II. Information received from Member States\",\n \"Argentina\",\n \"[Original: Spanish]\",\n \"[1 July 2011]\",\n \"The Republic of Argentina has consistently supported the resolutions on human rights and unilateral coercive measures in the General Assembly and the Human Rights Council. It also voted for General Assembly resolution 55/6 on the suppression of the use of unilateral measures as coercive political and economic instruments.\",\n \"The Argentine position is based on the obligation of all States to refrain from adopting or applying unilateral measures that oppose international law or the Charter of the United Nations. It is also based on the annex to General Assembly resolution 2625 (XXV) and the Charter of Economic Rights and Duties of States contained in General Assembly resolution 3281 (XXIX). The use of unilateral coercive measures with extraterritorial effects seriously affects trade and economic cooperation and has a negative impact on the free movement of capital and the freedom of trade. Argentina believes that the adoption of coercive measures that deny people access to basic health care and food prevents the enjoyment of fundamental human rights, which cannot be violated on the rationale of national security interests.\",\n \"Argentine Act 24.871 states that any foreign law that limits or prevents free trade and free movement of capital, goods or people, directly or indirectly, adversely affecting any country or group of countries, will not be applicable and will not have any legal effect within the territory of Argentina. Article I of this Act states that foreign laws intended to generate extraterritorial legal effects by imposing economic sanctions, or by limiting investments in another country, with the objective of changing its government will not have any legal effect within the territory of the Republic. Argentina reaffirms the indivisible, universal and interdependent nature of all human rights.\",\n \"Belarus\",\n \"[Original: Russian]\",\n \"[23 June 2011]\",\n \"The response of the Republic of Belarus refers to the continued restrictive measures of a political and economic nature by the European Union and the United States of America in relation to Belarus. In 2011, the European Council imposed visa and financial sanctions against several officials of the Republic on the grounds of falsification of the Presidential elections of 19 December 2010 and subsequent violent persecution of the democratic opposition, civil society and members of the independent mass media. As at 20 June 2011, the number of Belorussian citizens subject to sanctions on travel to the territory of the States members of the European Union reached 190. In addition, the European Union imposed economic sanctions against three Belorussian enterprises, namely, Beltekexporta, BT-Telekommunikazi and Sport-pari. Albania, Bosnia and Herzegovina, Croatia, Iceland, Liechtenstein, the former Yugoslav Republic of Macedonia, Montenegro, Norway and Serbia also joined the European Union sanctions against Belarus.\",\n \"Since June 2006, the United States has imposed sanctions against officials of Belorussia affecting their property interests in United States territory. Since August 2007, United States visa restrictions have been applied against several categories of officials. During the period 2004-2011, a number of unilateral restrictive measures of an economic nature were applied by the United States of America against major Belorussian enterprises, including Belneftexim, BelTekExport, Belorusneft and Integral. The decisions of the European Union and the United States of America as well as the countries supporting their unilateral coercive measures in the form of sanctions directly affect the interests of ordinary Belorussian citizens and their enjoyment of economic, social and other rights, including the right to development. Such measures also affect the activities of Belorussian civil society, including journalists. Courts are under pressure from sanctions, which is not acceptable from the standpoint of preserving the independence of the judiciary and upholding rights.\",\n \"Belarus is obliged to draw the attention of the General Assembly and the Human Rights Council to the unilateral coercive measures applied by the European Union, the United States of America and other countries, in violation of, inter alia, General Assembly resolution 65/217 and Human Rights Council resolution 15/24 on “Human rights and unilateral coercive measures”. It recalls that according to the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations, and the relevant principles and provisions contained in the Charter of Economic Rights and Duties of States, proclaimed by the General Assembly in its resolution 3281 (XXIX) of 12 December 1974, in particular article 32 thereof, no State may use or encourage the use of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it, advantages of any kind.\",\n \"The Republic of Belarus welcomes the continued attention of the General Assembly and the Human Rights Council to the question of the realization of human rights in the context of unilateral coercive measures and is convinced of the need to set up in the Council a special procedure on unilateral coercive measures and their impact on human rights. Belarus supports the request contained in Human Rights Council resolution 15/24 that the Office of the United Nations High Commissioner for Human Rights prepare a thematic study on the impact of unilateral coercive measures on the enjoyment of human rights, including recommendations on actions aimed at ending such measures.\",\n \"Bosnia and Herzegovina\",\n \"[Original: English]\",\n \"[29 June 2011]\",\n \"Bosnia and Herzegovina, as a sovereign, independent and internationally recognized country, is deeply convinced that no State should use or encourage other international actors to use economic, political or any other type of measures to coerce other States in order to make them subordinate to the State or to great power. Bosnia and Herzegovina takes this position because unilateral coercive measures are in direct contradiction to the standards of public international law and humanitarian law and therefore constitute a flagrant violation of international instruments signed and ratified by internationally recognized entities/member States of families of international organizations of the United Nations, the Council of Europe, the European Union and the like.\",\n \"Human rights are interrelated and interdependent, and this means that they include as a fundamental human right the right to development through the support of free trade and the movement of people, goods, capital and services. The principle of free passage, or “laissez passer”, was conceived in the times of the French revolution and is built into the foundations of the European Union. Bosnia and Herzegovina believes that restricting the right to development through the use of unilateral coercive measures greatly jeopardizes the human rights enshrined, in the first place, in the European Convention on Human Rights and Fundamental Freedoms, the Universal Declaration of Human Rights and numerous international instruments that it has signed and ratified.\",\n \"Interference with free trade takes place at the expense of vulnerable populations in developing countries, including children, adolescents, women and the elderly. Unfortunately, legislative, economic and political unilateral coercive measures continue to prevail worldwide, significantly influencing the social situation in developing countries and the full exercise of human rights. In the light of the above, Bosnia and Herzegovina is of the view that it is necessary to raise public awareness of the negative impact of unilateral coercive measures and the importance of respecting the standards and principles of both public and private international law in order to create friendly relations between countries and promote and protect human rights.\",\n \"Bosnia and Herzegovina strongly supports the implementation of the Declaration on the Right to Development and invokes the principle under the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights that no person shall be deprived of their own means of subsistence. Unilateral coercive measures are one-sided means of political force that directly conflict with the ideals of democratic States.\",\n \"Burkina Faso\",\n \"[Original: French]\",\n \"[20 July 2011]\",\n \"Burkina Faso supports General Assembly resolution 65/217 on “Human rights and unilateral coercive measures” and other documents adopted within the framework of other international bodies to prohibit the adoption of unilateral coercive measures by States. This includes Human Rights Council resolution 15/24 and previous resolutions of the General Assembly and the Human Rights Council on “Human rights and unilateral coercive measures”; the Final Document of the Fourteenth Conference of Heads of State and Government of the Non-Aligned Movement held in Havana in September 2006 and the recommendations of the World Conference on Human Rights held in Vienna in 1993, which all require that States refrain from the use of unilateral measures inconsistent with international law and the Charter of the United Nations.\",\n \"Burkina Faso remains convinced that to preserve peace and security, States must necessarily seek to promote them through friendly and cooperative relations, based on the principle of equality among nations and their right to self-determination. The development of such relations requires that States refrain from adopting or executing unilateral coercive measures contrary to international law, including through recourse to war, militarism and negative economic and trade measures imposed unilaterally. These unilateral coercive measures are contrary to the fundamental principles of the Charter of the United Nations, the Charter of the African Union, and many other international legal instruments.\",\n \"Compliance with the rules and principles established by international law, including humanitarian law, are the only means to establish international relations that are peaceful and respectful of human rights. State sovereignty and non‑intervention in the internal affairs of other States are fundamental principles embodied in the Charter of the United Nations which should guide relations among States. In the view of Burkina Faso, in the current international context marked by divergence of State interests, but also by the development of multilateral frameworks for dialogue between States, the challenges in international relations must necessarily be addressed within these frameworks. The mechanisms established under the United Nations, including the Security Council, and other international and regional multilateral organizations are the only legitimate authorities to decide on appropriate measures to safeguard security and to encourage a State to comply with international standards. All coercive measures adopted unilaterally by one State against another, regardless of the purpose, are contrary to international law and should therefore be prohibited.\",\n \"The resort to direct or indirect war or armed force by one State against another always causes disastrous effects, for both human rights and the development of nations. All States should seek at all costs to resolve their differences through the mechanisms of peaceful resolution of disputes recognized by international law. As a peace-loving country, Burkina Faso has always tried to promote healthy relationships and friendships with other States. It is this spirit of peace that led to the active involvement of the Head of State of Burkina Faso in conflict resolution in the subregion, including in Côte d’Ivoire and Togo.\",\n \"Burkina Faso, as a Member State of the United Nations, the African Union and many other international and regional organizations, attaches great importance to multilateralism in international relations, as is evidenced by its active participation in various regional and international frameworks. Burkina Faso is a member of the Human Rights Council. The multilateral frameworks are appropriate and legitimate for the resolution of challenges encountered in inter-State relations and issues that may threaten international peace and security. Burkina Faso upholds the rule of law and is committed to the principle of equality, both nationally and internationally. In accordance with the standards and principles of international law, Burkina Faso has not adopted unilateral coercive measures against any other State.\",\n \"From the perspective of the law in Burkina Faso, international standards have primacy over internal legislative and administrative measures. Under Article 151 of the Constitution of Burkina Faso, its international obligations, particularly in the context of agreements duly ratified, supersede national laws. Therefore, measures that are contrary to the Charter of the United Nations and the international standards and principles to which Burkina Faso has agreed are prohibited by law. The authorities of Burkina Faso, committed to the core values that guide international relations, are willing to cooperate with other States and international bodies for the development of friendly relations and cooperation in the world.\",\n \"Cuba\",\n \"[Original: Spanish]\",\n \"[26 May 2011]\",\n \"Cuba points out that numerous resolutions of the General Assembly, the Human Rights Council and the former Commission on Human Rights, as well as political declarations approved at major international summits and conferences of the United Nations, have ruled that the application of unilateral coercive economic measures is a violation of the Charter of the United Nations and of international law. The implementation of unilateral coercive measures as an instrument of political and economic coercion threatens the enjoyment of all human rights, beginning with the right to life, as well as the independence, sovereignty and right to self-determination of peoples. The main victims of those measures are the people of the countries against which they are applied, especially the most vulnerable groups — children, women, the elderly and persons with disabilities.\",\n \"Cuba recalls that the General Assembly decided in 1970 that no State may use or encourage the use of economic, political or any other measures to coerce another State in order to obtain the subordination of the exercise of its sovereign rights or to obtain from it advantages of any kind. This was endorsed by the Declaration on the Principles of International Law concerning Friendly Relations and Cooperation between States.\",\n \"Cuba indicates that it has been a victim for over 50 years of the application of unilateral coercive measures and that it therefore attaches particular importance to the consideration of this matter by the Human Rights Council and the General Assembly. Cuba believes that the application of such measures has been a fundamental instrument of a policy of hostility and aggression of the United States of America against Cuba, seeking to destroy the political, economic and social system established by the sovereign will of the Cuban people. Cuba believes that the economic, commercial and financial embargo imposed by the United States against Cuba is the “longest and most cruel system of unilateral sanctions which has been applied against any country or witnessed by the history of humankind”. The purpose of the economic, commercial and financial embargo was the destruction of the Cuban revolution, as laid down on 6 April 1960.\",\n \"Cuba maintains that the embargo constitutes an essential component of a policy of State terrorism deployed against Cuba by successive American administrations which, in a systematic, cumulative and inhumane way, has affected all Cuban people, regardless of age, sex, race, religion or social status. The Cuban submission asserts that this policy qualifies as an act of genocide under subsection (c) of Article II of the Geneva Convention on the Prevention and Punishment of the Crime of Genocide of 9 December 1948.\",\n \"Cuba refers to the so-called Torricelli Act of 1992 and the Helms-Burton Act of 1996, which, it says, contain provisions that are contrary to the Charter of the United Nations, in violation of international law and World Trade Organization agreements. Through these laws of markedly extraterritorial nature, the United States Government has strengthened and extended to third countries, their companies and citizens, the application of the economic, commercial and financial embargo imposed against Cuba for 50 years.\",\n \"Cuba has observed that, in an effort to justify the blockade against Cuba and its people, the United States Department of State has included Cuba, without any grounds, in a list elaborated unilaterally of perpetrators of alleged violations of human rights, human trafficking, sex tourism, practices of terrorism, religious intolerance, etc.\",\n \"Despite a media and diplomatic offensive by the United States Government and the adoption by it of some cosmetic measures, the embargo remains intact today and continues to be applied rigorously, with the political, administrative and repressive mechanisms for its implementation having been strengthened. There has been no action to dismantle the web of laws and administrative regulations/requirements that form the legal basis and regulations of the embargo. On 11 September 2009, the implementation of the embargo against Cuba was extended, based on “the national interest of the United States” and the 1917 Act of Trade with the Enemy, which applies only to situations of war and is valid only for Cuba. Sanctions apply to North American and European companies doing business with Cuba. This policy impedes exchanges of a scientific, cultural or touristic nature and promotes theft of trademarks and the freezing of millions of dollars of Cuban funds in the United States. More pressure is applied to subordinate relations with Cuba for the purposes of “regime change” and financial support is offered for actions aimed at overthrowing the constitutional order in Cuba.\",\n \"Cuba notes that the application of the embargo is not a bilateral issue only between Cuba and the United States. Repeated extraterritorial application of United States laws and the persecution against the legitimate interests of businesses and citizens of third countries significantly affect the sovereignty of many other States as well. The damages caused by the extraterritorial nature of unilateral coercive measures are multiplied by the important participation of the United States and its enterprises in trade and transnational investment. The investments of both third-country companies in the United States and of North American companies abroad, mainly in the form of mergers and partial or full acquisitions of companies, exacerbate the extraterritorial effects of these measures, by reducing the external economic space of Cuba and make it more difficult, sometimes impossible, to find partners and suppliers to avoid the strict blockade imposed by the United States.\",\n \"The Cuban submission states that, according to conservative estimates, the direct damage to Cuba resulting from the blockade until December 2009 exceeds tens of billions of dollars. Despite the approval of the most recent resolution of the General Assembly calling for the lifting of the economic, commercial and financial embargo against Cuba, adopted by an overwhelming majority of Member States on 28 October 2010, and notwithstanding the existence of 18 previous resolutions that include this just demand, the United States Government has continued to pursue this action against Cuba.\",\n \"The Cuban submission also states that the United States Government has recruited mercenaries to carry out acts against Cuba. In 2009, the Office of Foreign Assets Control fined seven entities for violating the blockade against Cuba in the amount of $315,503. The sum of fines on individuals and entities amounted to $340,678. In the first half of 2010, fines imposed on companies amounted to $2,221,671. The Office of Foreign Assets Control applied other million dollar fines for trade not only with Cuba, but also with other countries under/by virtue of unilateral coercive measures. The entities of third countries subjected to fines included Credit Suisse Bank of Switzerland, Australia and New Zealand Bank Group Ltd. and the subsidiary in Sweden of the chemical company Innospec Inc. based in Delaware. In May 2009, the Office of Foreign Assets Control refused the request of the Banco Popular Español to release funds amounting to €107,770.95 blocked via a transfer from Madrid to Moscow, realized by Cubana de Aviación in December 2008.\",\n \"The submission continues that, since the acquisition of the Lemery Company of Mexico by the Israeli transnational company Teva with United States capital, Cuba can no longer buy the cytostatic dactinomycin, the most useful drug in the treatment of sarcomas (malignant neoplasm). The use of this product would allow an increase in the survival rate of patients to over 70 per cent of all cases. Sensitive sectors, such as food, health, education and culture, have been among the main targets of this policy, which affects quality of life. The following are examples between May 2009 and April 2010. Cuba has no access to the medicine temozolamide (Temodar), specific cytostatic for use in central nervous system tumours (gliomas and astrocytomas). This affects approximately 250 patients annually, of which about 30 are children. The Pediatric Cardiology Centre “William Soler” is prevented from acquiring devices, such as catheters, coils, guides and stents, used for diagnosis and treatment by interventional catheterization for children with complex congenital heart disease. American companies are prohibited from selling these products to Cuba. Cuban children are denied the use of the American device Amplatzer made of special materials in order to avoid organic rejection/refusal. This device is used in open heart surgery, an intervention, in addition to being risky, that requires intensive care and recovery for three weeks. The Institute of Oncology and Radiobiology of Cuba is prevented from using plates of radioactive iodine in the treatment of retinoblastoma tumour (congenital tumour that grows on the retina) through inability to acquire these plates, which can be purchased only in the United States. In the absence of this technology, which is basically intended for children, the only alternative is the removal of the eye and, in some cases, the removal of both eyes, a medical method entailing serious limitations for life.\",\n \"In the food industry, the import company Alimport was affected between May 2009 and April 2010 in the approximate amount of $102,900,000 by the concept of “risk country” in the form of banking and financial costs and costs for the modality of payment instruments. If Cuba had these funds at its disposal, it could have purchased 337,000 tons of wheat, 451,000 tons of maize and 109,000 tons of chicken at 2008 average prices. In the field of education, Cuba has been prevented from acquiring the necessary equipment for 60 therapeutic classrooms for children with motor disabilities since it does not have access to the United States market and has to resort to markets that are more distant and more expensive. The cost of these classrooms is around €14,000 on the European market, but in the United States does not exceed $8,000 dollars.\",\n \"According to the submission, from May 2008 to May 2010, the total amount of Cuban imports in this sector fell to $18,200,000, of which 10 per cent was spent on freight. If Cuba had access to the United States market, it would have had to devote only 3.7 per cent to pay the freight, so it would have been able to buy offset paper for the printing of all textbooks needed for education (primary, secondary, etc.), all tracing toolkits for teaching mathematics in elementary schools and special education, and 150,000 sets of acrylic board markers for educational purposes around the country in the school year.\",\n \"Cuba notes that, in the cultural arena, a bilateral agreement was signed in 2002 with the National Social Sciences Research Council of the United States of America, which would support the project for conservation of the house-museum of Ernest Hemingway and supply materials for the scanning of correspondence and documents from the Hemingway collection. However, the Treasury Department did not authorize the transfer to Cuba of the funding necessary to implement this project. These are illustrative examples of laws, regulations and practices that support the embargo and that have remained in force, reinforcing the political, administrative and repressive mechanisms for its effective and deliberate implementation.\",\n \"The requirement to respect international law applies equally to everyone. Cuba states that it is unacceptable that the Government of the United States of America continues to maintain the embargo, which worsens the living conditions of the Cuban people, and ignores the fact that the international community has been calling for an end to the blockade against Cuba for 19 years in successive resolutions of the General Assembly, while it simultaneously condemns the application of unilateral coercive measures in the Assembly and several of its subsidiary organs.\",\n \"The application of this policy of blockade continues to be the main obstacle to the economic and social development of Cuba and constitutes a flagrant, massive and systematic violation of human rights and a transgression of the right to peace, and the development and the security of a sovereign State. The continued support of the international community and its strong pronouncement against the application of such measures has been an important tool in the struggle of the Cuban people. It is important that the international community increase the political pressure on the United States Government, calling for an end to this inhumane and obsolete policy, according to the Cuban submission.\",\n \"Dominican Republic\",\n \"[Original: Spanish] [27 June 2011]\",\n \"General Assembly resolution 65/217 seeks to reaffirm the principles and provisions enshrined in the Charter of the United Nations, previous resolutions of the Human Rights Council and the Commission on Human Rights, as well as norms of international humanitarian law, which establish that unilateral coercive measures and laws applied by a State generate negative consequences, including extraterritorial effects for social and humanitarian activities, as well as for the economic and social development of developing countries. This resolution is a response to multiple calls from Member States of the United Nations with regard to the serious damage that unilateral coercive measures applied by States on other States generate on populations, particularly children, women, the elderly and persons with disabilities, in the Latin American region. The reports presented by Cuba, Mexico and Venezuela are particularly relevant.\",\n \"The Charter of the United Nations, in force since 24 October 1945, in particular, Article 10, states that “the General Assembly may discuss any questions or any matters within the scope of the present Charter or relating to the powers and functions of any organs provided for in the present Charter and, except as provided in Article 12, may make recommendations to the Members of the United Nations or to the Security Council or to both on any such questions or matters”. The Dominican Republic, as a Member State of the United Nations, does not underestimate the role of the said institution in the overall process of the formation and development of international law.\",\n \"The commitment of the Dominican Republic to the international community is enshrined in the Constitution of 26 January 2010, in its Article 26, paragraphs 3 and 4, which state: “the international relations of the Dominican Republic are founded and governed by the affirmation and promotion of its national values and interests, the respect for human rights and international law”. “On an equal footing with other States, the Dominican Republic accepts an international legal order that ensures respect for fundamental rights to peace, justice, and the political, social, economic and cultural development of nations. It commits to act at the international, regional and national levels in a manner consistent with national interests, peaceful coexistence among peoples and the duty of solidarity with all nations.”\",\n \"Ecuador\",\n \"[Original: Spanish] [6 July 2011]\",\n \"As a sovereign State, Ecuador does not apply unilateral coercive measures which are contrary to international law, the United Nations Charter and the rules and principles that govern peaceful relations between countries and which could prevent the full achievement of the economic and social development of the population, in particular the development of children and women.\",\n \"Ecuador does not adopt measures that could harm the well-being of its population and prevent it from enjoying human rights. On the contrary, Ecuador wants to implement measures to improve the living standards and the security level of the population, based on the principles and objectives established in the National Development Plan of Ecuador-National Plan for Well-being. The Government of Ecuador pays special attention to the right of each person to enjoy living standards that provide health and education and the right to food, health care, education and social services. Access to food and medication should not be used as a political tool.\",\n \"Guatemala\",\n \"[Original: Spanish] [8 June 2011]\",\n \"The response of the Presidential Commission for Coordinating Executive Policy in the Field of Human Rights in Guatemala underlines that the State of Guatemala has duly complied with resolution 65/217 and has not adopted any unilateral coercive measures which would be contrary to international human rights law and the Charter of the United Nations, as well as the principles of a State struggling for the strengthening of democracy and for respect for human rights.\",\n \"Guyana\",\n \"[Original: English] [14 June 2011]\",\n \"Guyana is both mindful of and agrees with the general considerations outlined in resolution 65/217, particularly article 32 of the Charter of Economic Rights and Duties of States, proclaimed by the General Assembly in its resolution 3281 (XXIX) of 1974, insofar as it condemns use by a State of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights. It shares in the position of the General Assembly that such unilateral coercive measures and legislation are contrary to international law, international humanitarian law and the Charter of the United Nations, which form part of general customary international law and the norms and principles governing peaceful relations among States. Guyana has no legislation or other forms of coercive measures which encourage the use of economic or political coercion. It joins in the condemnation of States which resort to such measures and urges them to effectively reverse such actions.\",\n \"Guyana reaffirms its commitment to make good-faith efforts to fulfil its international obligations under international instruments to which it has acceded, including the Covenants on Civil and Political Rights and on Economic, Social and Cultural Rights. After the first free and fair elections in October 1992, following a long struggle for the restoration of democracy, Guyana has focused on the improved well-being and quality of life of its people, and its Parliament has enacted a series of statutes that specifically promote and protect the human rights of individuals as well as vulnerable groups of persons. Guyana, through its Executive, Legislature and Judiciary, collaborates to enhance the implementation of human rights treaties and recognizes the universal, indivisible, interdependent and interrelated character of all human rights.\",\n \"With regard to the reference in the resolution to “reaffirming the right to development as an integral part of all human rights”, Guyana’s Constitution, Part 2, Title 1, “Protection of Fundamental Rights and Freedoms of the Individual”, Article 149C, states that “no person shall be hindered in the enjoyment of participating through cooperatives, trade unions, civic or socio-economic organizations of a national character, in the management and decision-making processes of the State”. Article 14 of the Constitution states that “the goal of economic development includes the objective of creating, promoting and encouraging an economic system capable of achieving and maintaining sustainable competitive advantage in the context of a global competitive environment, by fostering entrepreneurship, individual and group initiative and creativity, and strategic alliances with domestic and global business partners”. Guyana shares in the concern about the negative impact of unilateral coercive measures on international relations, trade, investment and cooperation.\",\n \"As a member of the Caribbean Community (CARICOM), Guyana supports regional integration and consequently the establishment of a Caribbean Single Market and Economy. As a member of the Union of South American Nations (UNASUR) and the Organization of American States, Guyana takes seriously its obligations and commitments to these bodies. There exist claims on Guyana’s territory by two neighbouring countries — Suriname and Venezuela. Guyana chose to resolve the issue of its maritime boundaries with Suriname by utilizing the available remedies in the International Law of the Sea and the International Arbitral Tribunal, rather than through coercive measures. Guyana maintains good relations with both these countries and is committed to the United Nations good offices process with regard to the controversy with Venezuela. Guyana, although a small developing country, has reached out to assist States that have faced natural disasters, like Grenada, Haiti, Japan, Saint Vincent, Saint Lucia and Venezuela.\",\n \"Guyana is gravely concerned about the situation of children who are the main victims of unilateral coercive measures. It recognizes that every child has a right to grow to adulthood in health, peace and dignity and, to this end, has undertaken efforts to ensure the rights of children to health, nutrition, education, and social and emotional development. Similarly, in keeping with the Convention on the Elimination of All Forms of Discrimination against Women and other international standards, Guyana has developed comprehensive constitutional and legislative provisions and policies to promote and protect women’s rights. These reforms are important to prohibit the persistence of unilateral coercive measures which have negative implications for social and humanitarian activities and economic and social development of developing countries like Guyana. Guyana remains committed to eradicating all forms of unilateral coercive measures which create obstacles to both development and human rights.\",\n \"With reference to paragraph 2 of the resolution concerning the right to “food, medical care and education”, Guyana places emphasis on the right to food and has taken positive measures to eliminate hunger and promote food security. Guyana ensures that health-care delivery is based on equity and accountability. Its education policy ensures that all citizens, regardless of race, age, creed, physical or mental disability, have opportunities to achieve their full potential through equal access to quality education within available resources. The provision of necessary social services, such as food, medical care, education and social safety nets, “are not used as tools for political pressure”.\",\n \"Guyana is both mindful of and agrees with the principle of self-determination alluded to in paragraphs 4 and 7 of resolution 65/217, under which nations have the right to freely choose their sovereignty and international political status with no external compulsion or interference. Consequently, it shares in the condemnation and rejection of unilateral coercive measures adopted by any State, multilateral or international developmental agency. Guyana reiterates that unilateral coercive measures constitute a major obstacle to the full realization of human rights, development of societies, security and peaceful resolution of conflicts at the regional and global levels.\",\n \"Iraq\",\n \"[Original: Arabic] [22 July 2011]\",\n \"The Republic of Iraq fully supports General Assembly resolution 65/217 and reiterates the need for all States to refrain from unilateral coercive measures. Despite several resolutions on this issue, States still resort to the use of such arbitrary measures. Iraq condemns the use of arbitrary, extraterritorial, unilateral measures used to exert political pressure on other States. Such measures have a negative impact on human rights, including the basic right to food, health and development. Iraq stresses the importance of practical and preventive measures in the face of unilateral coercive measures.\",\n \"Kuwait\",\n \"[Original: Arabic] [24 June 2011]\",\n \"Human rights are enshrined in the Universal Declaration of Human Rights and several other international instruments and are also contained in the majority of national constitutions. They apply to relations between States and individuals and are also of importance to relations between States. All human rights must be upheld without exception or selection. Kuwait supports all efforts by the Office of the United Nations High Commissioner for Human Rights towards the rejection and elimination of unilateral coercive measures. Such measures are used to exert political pressure and pose obstacles to international relations and trade. Kuwait supports the implementation of General Assembly resolution 65/217 and extends its support and cooperation in this regard. It is important not to politicize the legal issues involved in its implementation. It is necessary to study the issue of human rights and unilateral coercive measures and to do a comprehensive and complete assessment of United Nations resolutions on this subject, including obstacles facing the achievement of the objectives of these resolutions.\",\n \"Kuwait refuses to adopt any legislative, administrative or economic measures of a coercive nature or measures that obstruct the economic and cultural development of other States in order to force them to adopt certain policies. Unilateral coercive measures have negative effects on the populations of developing countries and development as laid out in the Declaration on the Right to Development. They impede the full enjoyment of all human rights, including the most elementary rights to food and medical care. Kuwait supports the decisions of the General Assembly in relation to the Right to Development and rejects the imposition of unilateral coercive measures which impede this right.\",\n \"Kuwait continues in its approach to international development assistance and support to more than 100 developing countries and least developed countries, for instance through the Kuwait Development Fund, and also through its work for sustainable development at the national level. Kuwait believes in the importance of development and its relationship to human rights and finds this to be an area to connect individuals and communities.\",\n \"III. Analysis and conclusions\",\n \"3. With regard to General Assembly resolution 65/217, a total of 11 Member States submitted their views on human rights and unilateral coercive measures. Collectively, all States which responded were unequivocal in their objection to the use of unilateral coercive measures.\",\n \"4. Respondent States rejected the use of unilateral coercive measures by any State, multilateral or international development agency. Such measures were viewed as violations of human rights and as obstacles to the full realization of human rights, development of societies, peace and security, and resolution of disputes and conflicts. Several States also stated that they do not resort to such measures as a matter of principle.\",\n \"5. Most respondents referred to the principles of international law which include the obligation of States to refrain from adopting or applying unilateral measures that are contrary to the Charter of the United Nations and public international law. Such measures were said to contravene the ideals of democratic States and the basic principles of State sovereignty, independence, sovereign equality, self-determination and non-intervention in internal affairs. Unilateral coercive measures involve both private and public international law, including international humanitarian law, and therefore constitute a violation of several international as well as regional instruments. Relevant instruments cited by States include the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations, and the Charter of Economic Rights and Duties of States (under which no State may use or encourage the use of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind).\",\n \"6. States recalled that under the International Covenants on Civil and Political Rights and Economic, Social and Cultural Rights, no person can be deprived of his/her own means of subsistence. Several States also reaffirmed their support for the implementation of the Declaration on the Right to Development. It was noted that the use of unilateral coercive measures with extraterritorial effects seriously affects trade and economic cooperation and has a negative impact on the free movement of capital and the freedom of trade, which in turn constitute obstacles to realization of the right to development of persons living in affected countries.\",\n \"7. Respondents referred to different forms of sanctions of an economic, commercial and financial nature. They include: trade embargoes; restrictions on finance and funding, property, intellectual property, visas and travel; and interference with exchanges of a scientific, cultural or touristic nature. Extraterritorial application of laws and interference with interests of businesses and citizens of third countries are also involved, especially in the areas of trade and investment.\",\n \"8. States observed that unilateral legislative, economic and political unilateral coercive measures continue to prevail worldwide, with far-reaching negative implications for countries against which such measures are adopted, and more broadly, on human rights and development in developing countries. The main victims are said to be the people of the countries against which these measures apply, especially the most vulnerable — children, women, the elderly and persons with disabilities. Realities on the ground in affected countries included extreme hardships, denial of access to life-saving medication, especially paediatric medicines, basic food products, educational facilities and cultural amenities. The adoption of such coercive measures has a direct impact on the enjoyment of fundamental human rights.\",\n \"9. Several States reaffirmed the indivisible, universal, interrelated and interdependent nature of all human rights and the close relationship of this recognition to the maintenance of peaceful relations between States. States reiterated their belief in the relationship between development and human rights, as well as peace. To preserve international peace and security, all States must promote them through friendly and cooperative relations based on the principle of equality between nations and their right to self-determination. In view of the current international context marked by divergence of State interests, and also by the development of multilateral frameworks and multilateralism for dialogue between States, challenges in international relations must be addressed within the multilateral setting. It was stated that the mechanisms established under the United Nations, including the Security Council, and other international and regional multilateral organizations are the only legitimate authorities to decide on appropriate measures to safeguard security and to encourage a State to comply with international standards.\",\n \"10. By way of practical and preventive steps in the face of unilateral coercive measures, some States expressed the view that it is necessary to raise public awareness of the negative impact of unilateral coercive measures and the importance of respecting standards and principles of both public and private international law in order to create friendly relations between countries, and to promote and protect human rights. States cited national constitutional and legislative provisions, including those which upheld the values of peaceful coexistence among peoples and the duty of solidarity with all nations.\",\n \"11. Some States have enacted legislation providing that any foreign law that limits or prevents free trade and free movement of capital, goods or people, directly or indirectly, adversely affecting any country or group of countries, will not be applicable and will not have any legal effect within their territories. States also gave examples of legal provisions stating that foreign laws intended to generate extraterritorial legal effects by imposing economic sanctions, or by limiting investments in another country, with the objective of changing its government will not have any legal effect within their territories.\",\n \"12. References were made to internal measures adopted to uphold human rights and advance social and economic development both within territories and beyond, also restating the belief that access to basic necessities should be open to all, and that access to food, health care and education should under no circumstances be used as political tools, whether within States or in the broader international community. States provided illustrative examples of policies and actions adopted to promote human rights and development, both for their own populations and by way of international assistance and cooperation, especially for the benefit of people in developing countries.\",\n \"13. One State suggested the establishment of a Human Rights Council special procedure on unilateral coercive measures and their impact on human rights, and explicitly supported the request contained in Human Rights Council resolution 15/24 that the Office of the United Nations High Commissioner for Human Rights prepare a thematic study on human rights and unilateral coercive measures, including recommendations on actions aimed at ending such measures. Some States welcomed the continued attention of the General Assembly and the Human Rights Council to the issue of human rights and unilateral coercive measures.\"\n]"},"record":{"kind":"string","value":"A_66_272"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda*","Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","Human rights and unilateral coercive measures","Report of the Secretary-General","The present report is submitted pursuant to General Assembly resolution 65/217. In that resolution, the Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session. The Office of the United Nations High Commissioner for Human Rights has received replies to a note verbale sent by the Office from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, the Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait. The present report contains a summary of all replies received and analyses their content.","Contents","2. Information received from Member States","Introduction","1. In paragraph 15 of its resolution 65/217, the General Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session, while reiterating once again the need to highlight the practical and preventive measures in that regard.","2. On 5 May 2011, pursuant to paragraph 15 of resolution 65/217, the Office of the United Nations High Commissioner for Human Rights sent a request for information to all permanent missions to the United Nations Office at Geneva. As at 25 July 2011, the Office had received replies from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, the Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait.","II. Information received from Member States","Argentina","[Original: Spanish]","[1 July 2011]","The Argentine Republic has consistently supported the resolutions of the General Assembly and the Human Rights Council on human rights and unilateral coercive measures. Support was also expressed for General Assembly resolution 55/6 on the elimination of the use of unilateral measures as a means of political and economic coercion.","Argentina ' s position is based on the obligation of all States to refrain from the use or application of unilateral measures contrary to international law or the Charter of the United Nations. It is also based on the Charter of Economic Rights and Duties of States contained in the annex to General Assembly resolution 2625 (XXV) and General Assembly resolution 3281 (XXIX). The use of unilateral extraterritorial coercive measures seriously affected trade and cooperation and had a negative impact on the free movement of capital and the freedom of trade. Argentina considers that the use of coercive measures deprives people of access to basic health care and food, impedes the enjoyment of fundamental human rights and cannot be violated on grounds of national security interests.","Argentine Act No. 24,871 provides that any foreign law that directly or indirectly restricts or impedes free trade, restricts or impedes the free movement of capital, goods or persons and adversely affects any country or group of countries shall not apply in Argentina and shall have no legal effect. Article 1 of the Act provides that foreign laws, which are designed to impose extraterritorial legal effects by means of economic sanctions or restrictions on investment in another country, such as changes of government, shall have no legal effect in the territory of the Argentine Republic. Argentina reaffirms the indivisibility, universality and interdependence of all human rights.","Belarus","[Original: Russian]","[23 June 2011]","The reply of the Republic of Belarus refers to the continued application of political and economic restrictive measures by the EU and the United States against Belarus. In 2011, the Council of Europe imposed visa and economic sanctions on several officials of the Republic of Belarus on the grounds that the presidential elections of 19 December 2010 had been false and had subsequently resulted in widespread persecution of members of the democratic opposition, civil society and independent mass media. As at 20 June 2011, the number of Belarusian citizens subject to travel restrictions on the territory of member States of the European Union had reached 190. In addition, the European Union has imposed economic sanctions on three Belarusian enterprises, Beltekexporta, BT-Telekommunikazi and Sport-pari. Albania, Bosnia and Herzegovina, Croatia, Iceland, Liechtenstein, the former Yugoslav Republic of Macedonia, Montenegro, Norway and Serbia also joined the European Union in imposing sanctions on Belarus.","Since June 2006, United States sanctions against Belarusian officials have affected their property interests in the United States. Since August 2007, the United States has imposed visa restrictions on several categories of officials. In 2004-2011, the United States imposed unilateral restrictive economic measures on large Belarusian enterprises, including “Belneftexim”, “BelTekExport”, “Belorusneft” and “Integral”. The decisions of the European Union, the United States and the countries that supported the imposition of unilateral coercive measures in the form of sanctions directly affected the interests of ordinary Belarusian citizens and their enjoyment of economic, social and other rights, including the right to development. Such measures also affected the activities of Belarusian civil society, including journalists. The Court was under pressure by sanctions, which were unacceptable from the standpoint of upholding judicial independence and rights.","Belarus is under an obligation to remind the General Assembly and the Human Rights Council that the unilateral coercive measures imposed by the European Union, the United States and other States violate General Assembly resolution 65/217 and Human Rights Council resolution 15/24 on “Human rights and unilateral coercive measures”. The resolution recalled that, according to the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations and the relevant principles and provisions of the Charter of Economic Rights and Duties of States proclaimed by the General Assembly in its resolution 3281 (XXIX) of 12 December 1974, in particular article 32, no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind.","The Republic of Belarus welcomes the continued attention paid by the General Assembly and the Human Rights Council to the question of the realization of all human rights in the context of unilateral coercive measures and considers it necessary to establish within the Council a special procedure on unilateral coercive measures and their impact on human rights. Belarus supported the request made by the Human Rights Council in its resolution 15/24 to the Office of the United Nations High Commissioner for Human Rights to prepare a thematic study on the impact of unilateral coercive measures on the enjoyment of human rights, including recommendations for action aimed at ending such measures.","Bosnia and Herzegovina","[Original: English]","[29 June 2011]","As an internationally recognized, independent and sovereign State, Bosnia and Herzegovina firmly believes that no State may use or encourage the use of economic, political or any other type of measures to coerce another State into subjugating it to one or more States in the exercise of its sovereign rights. Bosnia and Herzegovina takes this position because unilateral coercive measures are in direct contravention of the standards of public international law and humanitarian law and thus constitute a flagrant violation of the international instruments signed and adopted by the States members of the family of internationally recognized entities, the United Nations Council of Europe and the European Union.","Human rights are interlinked and interdependent, which means that they include the promotion of the right to development as a fundamental human right, including through support for free trade and the movement of people, goods, capital and services. The principle of free passage or “passport” envisaged in the era of the French revolution has become the foundation of the European Union. Bosnia and Herzegovina believes that the limitation of the right to development through the use of unilateral coercive measures is, first and foremost, a significant impairment of the human rights enshrined in the European Convention on Human Rights and Fundamental Freedoms, the Universal Declaration of Human Rights and the many international instruments signed and ratified.","Interference in free trade harms vulnerable groups in developing countries, including children, adolescents, women and the elderly. It was regrettable that unilateral legislative, economic and political coercive measures continued to prevail throughout the world, seriously affecting the social situation of developing countries and the full exercise of human rights. In view of the above, Bosnia and Herzegovina believes that there is a need to increase public awareness of the negative impact of unilateral coercive measures and the importance of adhering to the standards and principles of public and private international law in order to establish friendly relations among States and to promote and protect human rights.","Bosnia and Herzegovina strongly supports the implementation of the Declaration on the Right to Development and the principle enshrined in the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights that no one shall be deprived of his or her means of subsistence. Unilateral coercive measures are a one-sided means of political power that directly contradict the will of democratic States.","Burkina Faso","[Original: French]","[20 July 2011]","Burkina Faso supports General Assembly resolution 65/217 on human rights and unilateral coercive measures and other documents adopted within the framework of other international bodies that prohibit the use of unilateral coercive measures by States. These include Human Rights Council resolution 15/24 and previous resolutions of the General Assembly and the Human Rights Council on “Human rights and unilateral coercive measures”, the Final Document of the Fourteenth Conference of Heads of State or Government of the Non-Aligned Movement, held in Havana in September 2006, and the recommendations adopted by the World Conference on Human Rights, held in Vienna in 1993, which call upon States not to use unilateral measures not in accordance with international law and the Charter of the United Nations.","Burkina Faso remains convinced that, in order to maintain peace and security, States must promote peace and security through friendly and cooperative relations, in accordance with the principle of equality and self-determination of States. The development of such relations requires States not to adopt or implement unilateral coercive measures contrary to international law, including through resort to war, militarism and the unilateral application of negative economic and trade measures. These unilateral coercive measures violate the fundamental principles of the Charter of the United Nations, the Charter of the African Union and many other international legal instruments.","Respect for the rules and principles established by international law, including humanitarian law, is the only way to establish peace and respect for human rights in international relations. State sovereignty and non-interference in the internal affairs of other States are fundamental principles enshrined in the Charter of the United Nations, which govern relations among States. Burkina Faso believes that the many challenges to international relations must be addressed in the current international context of divergent interests of States and the development of multilateral frameworks for dialogue among States. Mechanisms established under the United Nations, including the Security Council and other international and regional multilateral organizations, are the only legitimate body to decide on appropriate measures to maintain security and encourage States to comply with international standards. All coercive measures taken by one State against another, regardless of their purpose, are contrary to international law and should therefore be prohibited.","The direct or indirect war or resort to force by a State against another State often has disastrous consequences for the human rights and development of States. All States should strive to do their utmost to resolve their differences through the mechanisms for the peaceful settlement of disputes recognized by international law. As a peace-loving country, Burkina Faso has always endeavoured to promote healthy and friendly relations with other countries. It is this spirit of peace that has prompted the head of State of Burkina Faso to participate actively in conflict resolution in the subregion, including in Côte d'Ivoire and Togo.","Burkina Faso, a member of the United Nations, the African Union and many other international and regional organizations, attaches great importance to multilateral mechanisms in international relations, as evidenced by its active participation in various regional and international frameworks. Burkina Faso is also a member of the Human Rights Council. The multilateral framework is the appropriate and legitimate framework for addressing challenges to State-to-State relations and issues that may threaten international peace and security. Burkina Faso adheres to the rule of law and to the principle of equality at the national and international levels. In accordance with the standards and principles of international law, Burkina Faso has not applied unilateral coercive measures against any other State.","Burkina Faso considered that international standards took precedence over domestic legislation and administrative measures. In accordance with article 151 of the Constitution of Burkina Faso, its international obligations take precedence over domestic law, particularly in the context of the formal adoption of agreements. The law therefore prohibits the adoption of measures that are contrary to the Charter of the United Nations and to the international standards and principles endorsed by Burkina Faso. The authorities of Burkina Faso are committed to the core values that guide international relations and are ready to cooperate with other national and international bodies in order to promote friendly relations and strengthen cooperation in the world.","Cuba","[Original: Spanish]","[26 May 2011]","Cuba noted that numerous resolutions of the General Assembly, the Human Rights Council and the former Commission on Human Rights, as well as political declarations approved at major international summits and United Nations conferences, had ruled that the use of unilateral coercive economic measures violated the Charter of the United Nations and international law. The implementation of unilateral coercive measures as a means of political and economic coercion threatens the enjoyment of all human rights, first and foremost the right to life and the right of peoples to independence, sovereignty and self-determination. The main victims of these measures are the people of the receiving countries, especially the vulnerable — children, women, the elderly and the disabled.","Cuba recalled that in 1970 the General Assembly decided that no State should use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to obtain from it any advantages. This is supported by the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations.","Cuba stated that it had been a victim of unilateral coercive measures for more than 50 years and attached particular importance to the consideration of the issue by the Human Rights Council and the General Assembly. Cuba considers that the adoption of such measures is a fundamental means of the hostile policy and aggression of the United States against Cuba and seeks to undermine the political, economic and social system established by the sovereign will of the Cuban people. Cuba believes that the economic, commercial and financial embargo imposed by the United States against Cuba is “the longest and most brutal unilateral sanctions regime ever imposed by humanity or against any country”. The purpose of the economic, commercial and financial embargo is to undermine the Cuban revolution that fell on 6 April 1960.","Cuba maintains that the embargo is an essential part of the policy of State terrorism imposed on Cuba by the United States authorities in a systematic, prolonged and inhumane manner, affecting all Cubans, regardless of age, sex, race, religion or social status. Cuba ' s submission asserts that this policy is sufficient to cover acts of genocide under article 2 (c) of the Geneva Convention on the Prevention and Punishment of the Crime of Genocide of 9 December 1948.","Cuba referred to the so-called Torricelli Act of 1992 and the Helms-Burton Act of 1996, which contained provisions that violated the Charter of the United Nations, international law and World Trade Organization agreements. Through these clearly extraterritorial laws, the United States Government has tightened the embargo and extended it to third countries, their enterprises and their citizens, imposing an economic, commercial and financial embargo on Cuba for 50 years.","Cuba believes that, while trying to justify the embargo against Cuba and its people, the United States Department of State has included Cuba, without any reason whatsoever, in a single detailed list of alleged perpetrators of human rights violations, human trafficking, sex tourism, terrorist acts and religious intolerance.","In addition to aggressive media and diplomatic measures and some decorative measures, the Government of the United States currently maintains the embargo and continues to enforce it strictly, and has strengthened political, administrative and coercive mechanisms to enforce it. No action has been taken by the United States to remove the legal and administrative regulations/requirements networks that form the legal basis of the embargo. On 11 September 2009, the United States renewed the embargo against Cuba on the basis of “the national interest of the United States” and the Trading with the Enemy Act of 1917, which applies only to war situations and has legal force only against Cuba. The sanctions apply to North American and European companies that trade with Cuba. This policy hinders exchanges of a scientific, cultural or tourist nature and promotes the theft of trademarks, resulting in the freezing of millions of dollars of Cuban funds in the United States. Increased pressure is being exerted on those who are affiliated with Cuba with the aim of “regime change” and financial support for actions aimed at overthrowing the constitutional order of Cuba.","Cuba notes that the imposition of the embargo is not just a bilateral issue between Cuba and the United States. The repeated extraterritorial application of United States law and the violation of the legitimate rights and interests of third-country enterprises and citizens also seriously affected the sovereignty of many other States. The damage caused by unilateral extraterritorial coercive measures is exacerbated by the strong involvement of the United States and its enterprises in trade and transnational investment. Investments in the United States by third-country and offshore North American companies are mainly in the form of mergers, partial or total acquisitions, which exacerbates the extraterritorial effects of these measures and reduces the external economic space of Cuba, making it more difficult and sometimes impossible for Cuba to find partners and suppliers to circumvent the strict embargo imposed by the United States.","According to Cuba ' s submission, according to conservative estimates, the direct losses to Cuba as a result of the embargo exceeded billions of dollars by December 2009. Despite the adoption by an overwhelming majority of Member States on 28 October 2010 of the most recent resolution approved by the General Assembly calling for the lifting of the economic, commercial and financial embargo against Cuba, and despite the 18 previous resolutions, including this resolution, which called for its lifting, the United States Government continues to impose the embargo against Cuba.","Cuba's submission also indicates that the United States Government has recruited mercenaries to carry out operations against Cuba. In 2009, OFAC imposed a fine of $315,503 on seven entities violating the embargo on Cuba. The total fine imposed on individuals and entities was $340,678. In the first half of 2010, fines imposed on companies amounted to $2,221,671. OFAC not only imposes other millions of dollars in fines on those who trade with Cuba, but also on those who trade with other countries under unilateral coercive measures. Third country entities that have been fined include the Swiss Credit Bank, Bank Australia and New Zealand Group Ltd. and the Swedish subsidiary of Innospec Inc. in Delaware. In May 2009, OFAC rejected a request by Banco Popular Español for the release of an amount of Euro107,770.95 from the blockade, which was operated by Cubana de Aviación in December 2008 by means of a transfer from Madrid to Mexico.","The submission goes on to state that, since the acquisition of Lemery, Mexico, by the United States-funded Israeli multinational company Tiva Pharmaceutical Industries Ltd., Cuba could no longer purchase the more common drug cytostatics used to treat tumours (negative tumours) and to treat them. The use of this product will increase the survival rate of patients in all cases by more than 70 per cent. Sensitive areas such as food, health, education and culture are the main objectives of this policy, which affects the quality of life. The following is an example of the period from May 2009 to April 2010: Cuba does not have access to a drug for methamine (an anti-cancer drug), which is a cytostatic agent specifically designed to treat tumours in the central nervous system (neogel and star cell tumors). The disease affects approximately 250 patients annually, of whom about 30 are children. William Soler, a paediatric heart centre, is no longer able to purchase catheters, catheters, catheters and slabs for the diagnosis and treatment of children suffering from complex congenital heart disease using therapeutic catheters. United States companies are prohibited from selling these products to Cuba. Cuban children cannot avoid organic exclusion by using United States Aplatzer equipment made of special materials. This equipment is used for a heart-to-heart surgery, which is an intervention measure requiring, in addition to danger, intensive care and recovery for three weeks. Radio-iodine panels must be used for the treatment of retina tumours (preborn tumours on the retina), which are sold only in the United States and are not available to the Cuban Institute of Oncology and Radiobiology. The lack of this technology, which is essentially for children, is the only way to remove the eyes, sometimes with the result that life expectancy is significantly reduced.","In the food industry, the import company, the Cuban Food Import Company, was affected by the concept of “risk country” between May 2009 and April 2010 by an estimated $102,900,000, reflected in the cost of banking and financial costs and the means of payment. Cuba could have purchased 337,000 tons of wheat, 451,000 tons of maize and 109,000 tons of chicken if it had disposed of those funds on its own and at average prices in 2008. In the field of education, Cuba was unable to purchase the necessary equipment for 60 dispensaries for physically disabled children because it was unable to access the United States market and had to resort to more distant and expensive markets. The cost of these rooms on the European market is approximately Euro14,000, compared to $8,000 in the United States.","According to the submission, between May 2008 and May 2010, Cuba ' s total imports in this area fell to $18.2 million, of which 10 per cent was spent on freight. If Cuba enters the United States market, it will be able to purchase only 3.7 per cent of the freight cost, which will allow it to print all the teaching materials needed for education (primary and secondary schools, etc.), all the tracking tools for primary school and special education teaching methods, and 150,000 sets of acrylic acrylate pens for educational purposes throughout the country for a school year.","Cuba noted that, in the area of culture, an agreement was signed in 2002 with the National Research Council of the United States, which supports the project for the protection of the Hemingway Inn Museum and provides information to view communications and documents in the Hemingway Collection. However, the Ministry of Finance has not authorized the transfer to Cuba of the necessary funds to implement the project. These are examples of laws, regulations and practices that support the embargo and remain in force, and the United States has strengthened its political, administrative and repressive mechanisms for its effective and effective implementation.","The requirement of compliance with international law applies equally to all. Cuba expresses the view that the continued maintenance of the embargo by the United States Government is unacceptable, which aggravates the living conditions of the Cuban people and disregards the fact that the international community, through successive resolutions adopted by the General Assembly of the United Nations, has consistently called for an end to the 19-year-old embargo against Cuba, while the Assembly and several of its subsidiary bodies have condemned the unilateral coercive measures.","The pursuit by the United States of its policy of embargo remains the main obstacle to the economic and social development of Cuba, which constitutes a massive and systematic violation of human rights and a violation of the right to peace, development and security of sovereign States. The continued support of the international community and its strong condemnation of the adoption of such measures are an important tool for the struggle of the Cuban people. According to Cuba ' s submission, there is a need for the international community to increase its pressure on the United States Government to put an end to this inhuman and anachronistic policy.","Dominican Republic","[Original: Spanish]","[27 June 2011]","The General Assembly, in its resolution 65/217, sought to reaffirm the principles and provisions enshrined in the Charter of the United Nations, previous resolutions of the Human Rights Council and the Commission on Human Rights and the norms of international humanitarian law, which confirmed that unilateral coercive measures and laws applied by a State could have a negative impact, including extraterritorial effects on social and humanitarian activities and on the economic and social development of developing countries. The resolution is a response to the multilateral appeal of States Members of the United Nations for serious damage caused by the application of unilateral coercive measures by some States against other States, in particular children, women, the elderly and persons with disabilities in the Latin American region. The reports submitted by Cuba, Mexico and Venezuela are of particular relevance.","The Charter of the United Nations, which entered into force on 24 October 1945, in particular Article 10, provides that “the General Assembly may discuss any question or any matter within the scope of or relating to the functions and powers of the organs provided for in the present Charter and may make recommendations to the Members of the United Nations or the Security Council or both, except as provided in Article 12, on any such question or matter”. As a Member of the United Nations, the Dominican Republic does not underestimate the role of the United Nations in the entire process of the formation and development of international law.","The Dominican Republic's commitment to the international community is contained in article 26, paragraphs 3 and 4, of its Constitution of 26 January 2010, which states: “The affirmation and promotion of the values and interests of the State and respect for human rights and international law are the cornerstone and guide of international relations in the Dominican Republic”. “The Dominican Republic accepts, on an equal footing with other countries, an international legal order that ensures respect for the fundamental rights to peace, justice and the political, social, economic and cultural development of nations. The Dominican Republic is committed to achieving peaceful coexistence among peoples at the international, regional and national levels, in accordance with national interests, and to fulfilling its duty to unite all nations.”","Ecuador","[Original: Spanish]","[6 July 2011]","As a sovereign State, Ecuador will not resort to unilateral coercive measures because they violate international law, the Charter of the United Nations and the rules and principles that affect peaceful relations among States and impede the full realization of the economic and social development of peoples, in particular children and women.","Ecuador does not apply measures that undermine the well-being of its people and impede their enjoyment of their human rights. On the contrary, Ecuador would like to see measures taken to improve the standard of living and security of the population, in accordance with the principles and objectives of Ecuador's national development plan, the National Welfare Plan. His Government paid particular attention to the right of everyone to a standard of living that provided health care and education and to food, health, education and social services. Access to food and medicines should not be used as a political tool.","Guatemala","[Original: Spanish]","[8 June 2011]","In its response, the Presidential Commission for the Coordinated Implementation of Policy in the Field of Human Rights of Guatemala emphasized that Guatemala had duly complied with resolution 65/217 and had not taken any unilateral coercive measures, which were contrary to international human rights law and the Charter of the United Nations and to the principles on which Guatemala sought to promote democracy and respect for human rights.","Guyana","[Original: English]","[14 June 2011]","Guyana notes and shares the general considerations set out in resolution 65/217, in particular the provision contained in article 32 of the Charter of Economic Rights and Duties of States proclaimed by the General Assembly in its resolution 3281 (XXIX) of 1974, that no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind. Guyana shares the position of the General Assembly that these unilateral coercive measures and legislation violate international law, international humanitarian law and the Charter of the United Nations as part of general customary international law and the standards and principles governing peaceful relations among States. Guyana does not have legislation or other forms of coercive measures that encourage the use of economic or political repression. Guyana also condemns those States that have resorted to such measures and urges them to effectively reverse such actions.","Guyana reiterates its commitment to work in good faith to meet its international obligations under the international instruments to which it is a party, including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights. Following the first free and fair elections in October 1992, and after a long struggle for democratic renewal, Guyana had focused on improving the well-being and quality of life of its people, and its Parliament had enacted a series of laws that explicitly promoted and protected the human rights of individuals and vulnerable groups. Guyana ' s executive, legislative and judicial bodies cooperate to promote the implementation of human rights treaties, recognizing that all human rights are universal, indivisible, interdependent and interrelated.","With regard to the reference in the resolution to “reaffirming the right to development as an integral part of all human rights”, title 1 of Part 2 of the Constitution of Guyana, “Protection of the fundamental rights and freedoms of the individual”, and article 149C, states that “no one shall be prevented from participating in the administration and decision-making of the State through cooperatives, trade unions, citizens of a state nature or socio-economic organizations”. Article 14 of the Constitution states that “the objectives of economic development include the creation, promotion and encouragement, in a global competitive environment, of an economic system capable of achieving and maintaining sustainable competitive advantages by fostering entrepreneurship, personal and team innovation and creativity, as well as strategic alliances with domestic and global business partners”. Guyana shares the concern about the negative impact of unilateral coercive measures on international relations, trade and investment in cooperation.","As a member of the Caribbean Community, Guyana supported regional integration and, therefore, the establishment of the Caribbean Single Market and Economy. As a member of the Union of South American Nations (UNASUR) and the Organization of American States (OAS), Guyana takes its obligations and commitments to these institutions seriously. Two neighbouring countries claim to own the territory of Guyana — Suriname and Venezuela. Guyana has chosen to resolve the maritime boundary with Suriname through the use of existing remedies under the International Law of the Sea and the International Arbitral Tribunal, rather than through coercive measures. Guyana enjoys good relations with both countries and has entrusted the United Nations with good offices on its contentious issues with Venezuela. Although a small developing country, Guyana had the courage to reach out to countries facing natural disasters, such as Grenada, Haiti, Japan, Saint Vincent, Saint Lucia and Venezuela.","Guyana is gravely concerned about the situation of children, who are the main victims of unilateral coercive measures. Guyana recognizes the right of all children to grow up in health, safety and dignity and, to that end, strives to ensure the right of children to health, nutrition, education and social and emotional development. Similarly, Guyana has in place comprehensive constitutional and legal provisions and policies to promote and protect women ' s rights in compliance with CEDAW and other international standards. These reforms are essential to prevent the continued application of unilateral coercive measures, which have a negative impact on social and humanitarian behaviour and on the economic and social development of developing countries such as Guyana. Guyana remained committed to the elimination of all forms of unilateral coercive measures, which could create obstacles to development and human rights.","In accordance with paragraph 2 of the resolution on the right to “food, health care and education”, Guyana emphasizes the right to food and takes positive initiatives to combat hunger and promote food security. Guyana ensures that health care is provided on the basis of equity and accountability. Guyana ' s education policy ensures that all citizens, regardless of race, age, creed, physical or mental disability, have equal access to quality education and reach their full potential within available resources. The provision of necessary social services such as food, health care, education and social safety nets “cannot be used as tools for political pressure”.","Guyana recognizes and subscribes to the principle of self-determination contained in paragraphs 4 and 7 of resolution 65/217, according to which States have the right freely to choose their sovereignty and international political status without coercion or interference from outside. Guyana therefore also condemns and rejects the use of unilateral coercive measures by any State, multilateral or international development agency. Guyana reiterates that unilateral coercive measures are the main obstacle to the full realization of human rights, social development, security and the peaceful resolution of conflicts at the regional and international levels.","Iraq","[Original: Arabic]","[22 July 2011]","The Republic of Iraq fully supports General Assembly resolution 65/217 and reaffirms the need for all States to curb the application of unilateral coercive measures. Despite several resolutions addressing this issue, States have resorted to the use of such arbitrary measures. Iraq condemns the use of arbitrary, extraterritorial and unilateral measures to exert political pressure on other States. These measures have had a negative impact on human rights, including the fundamental rights to food, health and development. Iraq stresses the importance of practical and preventive measures in the face of unilateral coercive measures.","Kuwait","[Original: Arabic]","[24 June 2011]","Human rights are enshrined in the Universal Declaration of Human Rights and several other international instruments, and this issue is also addressed in the constitutions of most countries. Human rights apply to relations between States and individuals and are also essential to relations between States. All human rights must be upheld without exception or choice. Kuwait supports all efforts by the Office of the United Nations High Commissioner for Human Rights to suppress and eliminate unilateral coercive measures. These measures are used to exert political pressure and create obstacles to international relations and trade. Kuwait supported the implementation of General Assembly resolution 65/217 and provided support and cooperation in that regard. It was important not to politicize the legal aspects of the implementation of the resolution. There was a need to study the question of human rights and unilateral coercive measures, as well as to provide a comprehensive and comprehensive assessment of United Nations resolutions on the issue, including obstacles to the achievement of their objectives.","Kuwait rejects any legislative, administrative or economic measures of a coercive nature or measures that impede the economic and cultural development of other countries in order to force them to adopt specific policies. Unilateral coercive measures had a negative impact on the population of developing countries and on the development referred to in the Declaration on the Right to Development. These measures impede the full enjoyment of all human rights, including the most basic rights to food and health care. Kuwait supported the decisions taken by the General Assembly on the right to development and opposed the application of unilateral coercive measures that impeded that right.","Kuwait continued to provide international development assistance and support to more than 100 developing and least developed countries, for example through the Kuwait Development Fund and Kuwait ' s efforts to achieve sustainable development at the national level. Kuwait considers development and the development of a relationship with human rights to be essential and considers development as an area linking individuals and societies.","III. Analysis and conclusions","With regard to General Assembly resolution 65/217, a total of 11 Member States submitted their views on human rights and unilateral coercive measures. In general, the responding States were clearly opposed to the use of unilateral coercive measures.","Respondents rejected the use of unilateral coercive measures by any State, multilateral or international development agency. These measures are seen as violations of human rights and obstacles to the full realization of human rights, social development, peace and security and the resolution of disputes and conflicts. Several States also stated that they would not take such measures, as this was a matter of principle.","Most of the responding States referred to the principles of international law, which included the obligation of States not to adopt or apply unilateral coercive measures contrary to the Charter of the United Nations and public international law. These measures are said to run counter to the ideals of democratic States and to the fundamental principles of national sovereignty, independence, sovereign equality, self-determination and non-interference in internal affairs. Unilateral coercive measures involve private and public international law, including international humanitarian law, and thus violate a number of international and regional instruments. Relevant instruments cited by States include the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations and the Charter of Economic Rights and Duties of States, according to which no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind.","States recalled that, under the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights, no one can be deprived of his or her means of subsistence. Several States also reiterated their support for the implementation of the Declaration on the Right to Development. It was pointed out that the use of unilateral coercive measures with extraterritorial effects had a negative impact on the free movement of capital and the freedom of trade, thus affecting the realization of the right to development of the peoples of the affected countries.","Respondent States referred to different forms of sanctions of an economic, commercial and financial nature. These include trade embargoes; financial and financial, property, intellectual property, visa and travel restrictions; and interference with exchanges of a scientific, cultural or tourist nature. The extraterritorial application of the law and the obstruction of the interests of third-country enterprises and citizens are also included, particularly in the area of trade and investment.","States noted that unilateral legislative, economic and political coercive measures remained a major international problem, with far-reaching negative effects on the target States and, more generally, on the human rights and development of developing countries. It was noted that people in countries where such measures were imposed were the main victims, especially the most vulnerable — children, women, the elderly and persons with disabilities. The actual situation in the affected countries included extreme hardship, deprivation of life-saving drugs, especially paediatric drugs, basic foodstuffs, educational facilities and cultural facilities. The implementation of these coercive measures directly affects the enjoyment of fundamental human rights.","Several States reaffirmed the indivisibility, universality, interrelatedness and interdependence of all human rights and recognized that this was closely linked to the maintenance of peaceful relations among States. States reaffirmed their belief that development was interlinked with human rights and peace. In order to maintain international peace and security, States must promote those links through friendly and cooperative relations, in accordance with the principle of equality of States and their right to self-determination. The challenges in international relations must be addressed in a multilateral context, given the divergence of interests among States in the current international environment and the development of a multilateral framework and a multilateral dialogue among States. It was pointed out that the mechanisms established by the United Nations, including the Security Council, and other international and regional multilateral organizations were the only legitimate bodies that decided on appropriate measures to maintain security and encourage a State to comply with international standards.","On the basis of practical and preventive measures in the face of unilateral coercive measures, some States considered it necessary to create friendly relations among States with a view to promoting and protecting human rights by raising public awareness of the negative impact of unilateral coercive measures and of the importance of respecting the standards and principles of public and private international law. States invoked the provisions of their national constitutions and laws, including those that uphold the values of peaceful coexistence among peoples and the duty to unite all nations.","Some States have enacted legislation that provides that any foreign law that directly or indirectly restricts or impedes free trade and the free movement of capital, goods or people will not be applicable and will have no legal effect within the territory of any State or group of States. States also provided examples of legal provisions providing that foreign laws aimed at replacing Governments with extraterritorial legal effects through the imposition of economic sanctions on another State or the restriction of investment therein had no legal effect in its territory.","Reference was made to internal measures taken to uphold human rights and promote social and economic development, both within and outside the territory, and it was reiterated that it believed that basic necessities should be available to all and that access to food, health care and education should under no circumstances be used as a political tool, either within States or in the wider international community. States provided examples of policies and actions taken to promote the human rights and development of their peoples and of their participation in international assistance and cooperation, especially for the benefit of people in developing countries.","One State proposed the establishment of special procedures of the Human Rights Committee on unilateral coercive measures and their impact on human rights and explicitly supported the request contained in Human Rights Committee resolution 15/24 to the Office of the United Nations High Commissioner for Human Rights to prepare a thematic study on human rights and unilateral coercive measures, including recommendations for action aimed at ending them. Some States welcomed the continued attention paid by the General Assembly and the Human Rights Committee to human rights issues and unilateral coercive measures."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"Human rights and unilateral coercive measures\",\n \"Report of the Secretary-General\",\n \"The present report is submitted pursuant to General Assembly resolution 65/217. In that resolution, the Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session. The Office of the United Nations High Commissioner for Human Rights has received replies to a note verbale sent by the Office from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, the Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait. The present report contains a summary of all replies received and analyses their content.\",\n \"Contents\",\n \"2. Information received from Member States\",\n \"Introduction\",\n \"1. In paragraph 15 of its resolution 65/217, the General Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session, while reiterating once again the need to highlight the practical and preventive measures in that regard.\",\n \"2. On 5 May 2011, pursuant to paragraph 15 of resolution 65/217, the Office of the United Nations High Commissioner for Human Rights sent a request for information to all permanent missions to the United Nations Office at Geneva. As at 25 July 2011, the Office had received replies from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, the Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait.\",\n \"II. Information received from Member States\",\n \"Argentina\",\n \"[Original: Spanish]\",\n \"[1 July 2011]\",\n \"The Argentine Republic has consistently supported the resolutions of the General Assembly and the Human Rights Council on human rights and unilateral coercive measures. Support was also expressed for General Assembly resolution 55/6 on the elimination of the use of unilateral measures as a means of political and economic coercion.\",\n \"Argentina ' s position is based on the obligation of all States to refrain from the use or application of unilateral measures contrary to international law or the Charter of the United Nations. It is also based on the Charter of Economic Rights and Duties of States contained in the annex to General Assembly resolution 2625 (XXV) and General Assembly resolution 3281 (XXIX). The use of unilateral extraterritorial coercive measures seriously affected trade and cooperation and had a negative impact on the free movement of capital and the freedom of trade. Argentina considers that the use of coercive measures deprives people of access to basic health care and food, impedes the enjoyment of fundamental human rights and cannot be violated on grounds of national security interests.\",\n \"Argentine Act No. 24,871 provides that any foreign law that directly or indirectly restricts or impedes free trade, restricts or impedes the free movement of capital, goods or persons and adversely affects any country or group of countries shall not apply in Argentina and shall have no legal effect. Article 1 of the Act provides that foreign laws, which are designed to impose extraterritorial legal effects by means of economic sanctions or restrictions on investment in another country, such as changes of government, shall have no legal effect in the territory of the Argentine Republic. Argentina reaffirms the indivisibility, universality and interdependence of all human rights.\",\n \"Belarus\",\n \"[Original: Russian]\",\n \"[23 June 2011]\",\n \"The reply of the Republic of Belarus refers to the continued application of political and economic restrictive measures by the EU and the United States against Belarus. In 2011, the Council of Europe imposed visa and economic sanctions on several officials of the Republic of Belarus on the grounds that the presidential elections of 19 December 2010 had been false and had subsequently resulted in widespread persecution of members of the democratic opposition, civil society and independent mass media. As at 20 June 2011, the number of Belarusian citizens subject to travel restrictions on the territory of member States of the European Union had reached 190. In addition, the European Union has imposed economic sanctions on three Belarusian enterprises, Beltekexporta, BT-Telekommunikazi and Sport-pari. Albania, Bosnia and Herzegovina, Croatia, Iceland, Liechtenstein, the former Yugoslav Republic of Macedonia, Montenegro, Norway and Serbia also joined the European Union in imposing sanctions on Belarus.\",\n \"Since June 2006, United States sanctions against Belarusian officials have affected their property interests in the United States. Since August 2007, the United States has imposed visa restrictions on several categories of officials. In 2004-2011, the United States imposed unilateral restrictive economic measures on large Belarusian enterprises, including “Belneftexim”, “BelTekExport”, “Belorusneft” and “Integral”. The decisions of the European Union, the United States and the countries that supported the imposition of unilateral coercive measures in the form of sanctions directly affected the interests of ordinary Belarusian citizens and their enjoyment of economic, social and other rights, including the right to development. Such measures also affected the activities of Belarusian civil society, including journalists. The Court was under pressure by sanctions, which were unacceptable from the standpoint of upholding judicial independence and rights.\",\n \"Belarus is under an obligation to remind the General Assembly and the Human Rights Council that the unilateral coercive measures imposed by the European Union, the United States and other States violate General Assembly resolution 65/217 and Human Rights Council resolution 15/24 on “Human rights and unilateral coercive measures”. The resolution recalled that, according to the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations and the relevant principles and provisions of the Charter of Economic Rights and Duties of States proclaimed by the General Assembly in its resolution 3281 (XXIX) of 12 December 1974, in particular article 32, no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind.\",\n \"The Republic of Belarus welcomes the continued attention paid by the General Assembly and the Human Rights Council to the question of the realization of all human rights in the context of unilateral coercive measures and considers it necessary to establish within the Council a special procedure on unilateral coercive measures and their impact on human rights. Belarus supported the request made by the Human Rights Council in its resolution 15/24 to the Office of the United Nations High Commissioner for Human Rights to prepare a thematic study on the impact of unilateral coercive measures on the enjoyment of human rights, including recommendations for action aimed at ending such measures.\",\n \"Bosnia and Herzegovina\",\n \"[Original: English]\",\n \"[29 June 2011]\",\n \"As an internationally recognized, independent and sovereign State, Bosnia and Herzegovina firmly believes that no State may use or encourage the use of economic, political or any other type of measures to coerce another State into subjugating it to one or more States in the exercise of its sovereign rights. Bosnia and Herzegovina takes this position because unilateral coercive measures are in direct contravention of the standards of public international law and humanitarian law and thus constitute a flagrant violation of the international instruments signed and adopted by the States members of the family of internationally recognized entities, the United Nations Council of Europe and the European Union.\",\n \"Human rights are interlinked and interdependent, which means that they include the promotion of the right to development as a fundamental human right, including through support for free trade and the movement of people, goods, capital and services. The principle of free passage or “passport” envisaged in the era of the French revolution has become the foundation of the European Union. Bosnia and Herzegovina believes that the limitation of the right to development through the use of unilateral coercive measures is, first and foremost, a significant impairment of the human rights enshrined in the European Convention on Human Rights and Fundamental Freedoms, the Universal Declaration of Human Rights and the many international instruments signed and ratified.\",\n \"Interference in free trade harms vulnerable groups in developing countries, including children, adolescents, women and the elderly. It was regrettable that unilateral legislative, economic and political coercive measures continued to prevail throughout the world, seriously affecting the social situation of developing countries and the full exercise of human rights. In view of the above, Bosnia and Herzegovina believes that there is a need to increase public awareness of the negative impact of unilateral coercive measures and the importance of adhering to the standards and principles of public and private international law in order to establish friendly relations among States and to promote and protect human rights.\",\n \"Bosnia and Herzegovina strongly supports the implementation of the Declaration on the Right to Development and the principle enshrined in the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights that no one shall be deprived of his or her means of subsistence. Unilateral coercive measures are a one-sided means of political power that directly contradict the will of democratic States.\",\n \"Burkina Faso\",\n \"[Original: French]\",\n \"[20 July 2011]\",\n \"Burkina Faso supports General Assembly resolution 65/217 on human rights and unilateral coercive measures and other documents adopted within the framework of other international bodies that prohibit the use of unilateral coercive measures by States. These include Human Rights Council resolution 15/24 and previous resolutions of the General Assembly and the Human Rights Council on “Human rights and unilateral coercive measures”, the Final Document of the Fourteenth Conference of Heads of State or Government of the Non-Aligned Movement, held in Havana in September 2006, and the recommendations adopted by the World Conference on Human Rights, held in Vienna in 1993, which call upon States not to use unilateral measures not in accordance with international law and the Charter of the United Nations.\",\n \"Burkina Faso remains convinced that, in order to maintain peace and security, States must promote peace and security through friendly and cooperative relations, in accordance with the principle of equality and self-determination of States. The development of such relations requires States not to adopt or implement unilateral coercive measures contrary to international law, including through resort to war, militarism and the unilateral application of negative economic and trade measures. These unilateral coercive measures violate the fundamental principles of the Charter of the United Nations, the Charter of the African Union and many other international legal instruments.\",\n \"Respect for the rules and principles established by international law, including humanitarian law, is the only way to establish peace and respect for human rights in international relations. State sovereignty and non-interference in the internal affairs of other States are fundamental principles enshrined in the Charter of the United Nations, which govern relations among States. Burkina Faso believes that the many challenges to international relations must be addressed in the current international context of divergent interests of States and the development of multilateral frameworks for dialogue among States. Mechanisms established under the United Nations, including the Security Council and other international and regional multilateral organizations, are the only legitimate body to decide on appropriate measures to maintain security and encourage States to comply with international standards. All coercive measures taken by one State against another, regardless of their purpose, are contrary to international law and should therefore be prohibited.\",\n \"The direct or indirect war or resort to force by a State against another State often has disastrous consequences for the human rights and development of States. All States should strive to do their utmost to resolve their differences through the mechanisms for the peaceful settlement of disputes recognized by international law. As a peace-loving country, Burkina Faso has always endeavoured to promote healthy and friendly relations with other countries. It is this spirit of peace that has prompted the head of State of Burkina Faso to participate actively in conflict resolution in the subregion, including in Côte d'Ivoire and Togo.\",\n \"Burkina Faso, a member of the United Nations, the African Union and many other international and regional organizations, attaches great importance to multilateral mechanisms in international relations, as evidenced by its active participation in various regional and international frameworks. Burkina Faso is also a member of the Human Rights Council. The multilateral framework is the appropriate and legitimate framework for addressing challenges to State-to-State relations and issues that may threaten international peace and security. Burkina Faso adheres to the rule of law and to the principle of equality at the national and international levels. In accordance with the standards and principles of international law, Burkina Faso has not applied unilateral coercive measures against any other State.\",\n \"Burkina Faso considered that international standards took precedence over domestic legislation and administrative measures. In accordance with article 151 of the Constitution of Burkina Faso, its international obligations take precedence over domestic law, particularly in the context of the formal adoption of agreements. The law therefore prohibits the adoption of measures that are contrary to the Charter of the United Nations and to the international standards and principles endorsed by Burkina Faso. The authorities of Burkina Faso are committed to the core values that guide international relations and are ready to cooperate with other national and international bodies in order to promote friendly relations and strengthen cooperation in the world.\",\n \"Cuba\",\n \"[Original: Spanish]\",\n \"[26 May 2011]\",\n \"Cuba noted that numerous resolutions of the General Assembly, the Human Rights Council and the former Commission on Human Rights, as well as political declarations approved at major international summits and United Nations conferences, had ruled that the use of unilateral coercive economic measures violated the Charter of the United Nations and international law. The implementation of unilateral coercive measures as a means of political and economic coercion threatens the enjoyment of all human rights, first and foremost the right to life and the right of peoples to independence, sovereignty and self-determination. The main victims of these measures are the people of the receiving countries, especially the vulnerable — children, women, the elderly and the disabled.\",\n \"Cuba recalled that in 1970 the General Assembly decided that no State should use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to obtain from it any advantages. This is supported by the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations.\",\n \"Cuba stated that it had been a victim of unilateral coercive measures for more than 50 years and attached particular importance to the consideration of the issue by the Human Rights Council and the General Assembly. Cuba considers that the adoption of such measures is a fundamental means of the hostile policy and aggression of the United States against Cuba and seeks to undermine the political, economic and social system established by the sovereign will of the Cuban people. Cuba believes that the economic, commercial and financial embargo imposed by the United States against Cuba is “the longest and most brutal unilateral sanctions regime ever imposed by humanity or against any country”. The purpose of the economic, commercial and financial embargo is to undermine the Cuban revolution that fell on 6 April 1960.\",\n \"Cuba maintains that the embargo is an essential part of the policy of State terrorism imposed on Cuba by the United States authorities in a systematic, prolonged and inhumane manner, affecting all Cubans, regardless of age, sex, race, religion or social status. Cuba ' s submission asserts that this policy is sufficient to cover acts of genocide under article 2 (c) of the Geneva Convention on the Prevention and Punishment of the Crime of Genocide of 9 December 1948.\",\n \"Cuba referred to the so-called Torricelli Act of 1992 and the Helms-Burton Act of 1996, which contained provisions that violated the Charter of the United Nations, international law and World Trade Organization agreements. Through these clearly extraterritorial laws, the United States Government has tightened the embargo and extended it to third countries, their enterprises and their citizens, imposing an economic, commercial and financial embargo on Cuba for 50 years.\",\n \"Cuba believes that, while trying to justify the embargo against Cuba and its people, the United States Department of State has included Cuba, without any reason whatsoever, in a single detailed list of alleged perpetrators of human rights violations, human trafficking, sex tourism, terrorist acts and religious intolerance.\",\n \"In addition to aggressive media and diplomatic measures and some decorative measures, the Government of the United States currently maintains the embargo and continues to enforce it strictly, and has strengthened political, administrative and coercive mechanisms to enforce it. No action has been taken by the United States to remove the legal and administrative regulations/requirements networks that form the legal basis of the embargo. On 11 September 2009, the United States renewed the embargo against Cuba on the basis of “the national interest of the United States” and the Trading with the Enemy Act of 1917, which applies only to war situations and has legal force only against Cuba. The sanctions apply to North American and European companies that trade with Cuba. This policy hinders exchanges of a scientific, cultural or tourist nature and promotes the theft of trademarks, resulting in the freezing of millions of dollars of Cuban funds in the United States. Increased pressure is being exerted on those who are affiliated with Cuba with the aim of “regime change” and financial support for actions aimed at overthrowing the constitutional order of Cuba.\",\n \"Cuba notes that the imposition of the embargo is not just a bilateral issue between Cuba and the United States. The repeated extraterritorial application of United States law and the violation of the legitimate rights and interests of third-country enterprises and citizens also seriously affected the sovereignty of many other States. The damage caused by unilateral extraterritorial coercive measures is exacerbated by the strong involvement of the United States and its enterprises in trade and transnational investment. Investments in the United States by third-country and offshore North American companies are mainly in the form of mergers, partial or total acquisitions, which exacerbates the extraterritorial effects of these measures and reduces the external economic space of Cuba, making it more difficult and sometimes impossible for Cuba to find partners and suppliers to circumvent the strict embargo imposed by the United States.\",\n \"According to Cuba ' s submission, according to conservative estimates, the direct losses to Cuba as a result of the embargo exceeded billions of dollars by December 2009. Despite the adoption by an overwhelming majority of Member States on 28 October 2010 of the most recent resolution approved by the General Assembly calling for the lifting of the economic, commercial and financial embargo against Cuba, and despite the 18 previous resolutions, including this resolution, which called for its lifting, the United States Government continues to impose the embargo against Cuba.\",\n \"Cuba's submission also indicates that the United States Government has recruited mercenaries to carry out operations against Cuba. In 2009, OFAC imposed a fine of $315,503 on seven entities violating the embargo on Cuba. The total fine imposed on individuals and entities was $340,678. In the first half of 2010, fines imposed on companies amounted to $2,221,671. OFAC not only imposes other millions of dollars in fines on those who trade with Cuba, but also on those who trade with other countries under unilateral coercive measures. Third country entities that have been fined include the Swiss Credit Bank, Bank Australia and New Zealand Group Ltd. and the Swedish subsidiary of Innospec Inc. in Delaware. In May 2009, OFAC rejected a request by Banco Popular Español for the release of an amount of Euro107,770.95 from the blockade, which was operated by Cubana de Aviación in December 2008 by means of a transfer from Madrid to Mexico.\",\n \"The submission goes on to state that, since the acquisition of Lemery, Mexico, by the United States-funded Israeli multinational company Tiva Pharmaceutical Industries Ltd., Cuba could no longer purchase the more common drug cytostatics used to treat tumours (negative tumours) and to treat them. The use of this product will increase the survival rate of patients in all cases by more than 70 per cent. Sensitive areas such as food, health, education and culture are the main objectives of this policy, which affects the quality of life. The following is an example of the period from May 2009 to April 2010: Cuba does not have access to a drug for methamine (an anti-cancer drug), which is a cytostatic agent specifically designed to treat tumours in the central nervous system (neogel and star cell tumors). The disease affects approximately 250 patients annually, of whom about 30 are children. William Soler, a paediatric heart centre, is no longer able to purchase catheters, catheters, catheters and slabs for the diagnosis and treatment of children suffering from complex congenital heart disease using therapeutic catheters. United States companies are prohibited from selling these products to Cuba. Cuban children cannot avoid organic exclusion by using United States Aplatzer equipment made of special materials. This equipment is used for a heart-to-heart surgery, which is an intervention measure requiring, in addition to danger, intensive care and recovery for three weeks. Radio-iodine panels must be used for the treatment of retina tumours (preborn tumours on the retina), which are sold only in the United States and are not available to the Cuban Institute of Oncology and Radiobiology. The lack of this technology, which is essentially for children, is the only way to remove the eyes, sometimes with the result that life expectancy is significantly reduced.\",\n \"In the food industry, the import company, the Cuban Food Import Company, was affected by the concept of “risk country” between May 2009 and April 2010 by an estimated $102,900,000, reflected in the cost of banking and financial costs and the means of payment. Cuba could have purchased 337,000 tons of wheat, 451,000 tons of maize and 109,000 tons of chicken if it had disposed of those funds on its own and at average prices in 2008. In the field of education, Cuba was unable to purchase the necessary equipment for 60 dispensaries for physically disabled children because it was unable to access the United States market and had to resort to more distant and expensive markets. The cost of these rooms on the European market is approximately Euro14,000, compared to $8,000 in the United States.\",\n \"According to the submission, between May 2008 and May 2010, Cuba ' s total imports in this area fell to $18.2 million, of which 10 per cent was spent on freight. If Cuba enters the United States market, it will be able to purchase only 3.7 per cent of the freight cost, which will allow it to print all the teaching materials needed for education (primary and secondary schools, etc.), all the tracking tools for primary school and special education teaching methods, and 150,000 sets of acrylic acrylate pens for educational purposes throughout the country for a school year.\",\n \"Cuba noted that, in the area of culture, an agreement was signed in 2002 with the National Research Council of the United States, which supports the project for the protection of the Hemingway Inn Museum and provides information to view communications and documents in the Hemingway Collection. However, the Ministry of Finance has not authorized the transfer to Cuba of the necessary funds to implement the project. These are examples of laws, regulations and practices that support the embargo and remain in force, and the United States has strengthened its political, administrative and repressive mechanisms for its effective and effective implementation.\",\n \"The requirement of compliance with international law applies equally to all. Cuba expresses the view that the continued maintenance of the embargo by the United States Government is unacceptable, which aggravates the living conditions of the Cuban people and disregards the fact that the international community, through successive resolutions adopted by the General Assembly of the United Nations, has consistently called for an end to the 19-year-old embargo against Cuba, while the Assembly and several of its subsidiary bodies have condemned the unilateral coercive measures.\",\n \"The pursuit by the United States of its policy of embargo remains the main obstacle to the economic and social development of Cuba, which constitutes a massive and systematic violation of human rights and a violation of the right to peace, development and security of sovereign States. The continued support of the international community and its strong condemnation of the adoption of such measures are an important tool for the struggle of the Cuban people. According to Cuba ' s submission, there is a need for the international community to increase its pressure on the United States Government to put an end to this inhuman and anachronistic policy.\",\n \"Dominican Republic\",\n \"[Original: Spanish]\",\n \"[27 June 2011]\",\n \"The General Assembly, in its resolution 65/217, sought to reaffirm the principles and provisions enshrined in the Charter of the United Nations, previous resolutions of the Human Rights Council and the Commission on Human Rights and the norms of international humanitarian law, which confirmed that unilateral coercive measures and laws applied by a State could have a negative impact, including extraterritorial effects on social and humanitarian activities and on the economic and social development of developing countries. The resolution is a response to the multilateral appeal of States Members of the United Nations for serious damage caused by the application of unilateral coercive measures by some States against other States, in particular children, women, the elderly and persons with disabilities in the Latin American region. The reports submitted by Cuba, Mexico and Venezuela are of particular relevance.\",\n \"The Charter of the United Nations, which entered into force on 24 October 1945, in particular Article 10, provides that “the General Assembly may discuss any question or any matter within the scope of or relating to the functions and powers of the organs provided for in the present Charter and may make recommendations to the Members of the United Nations or the Security Council or both, except as provided in Article 12, on any such question or matter”. As a Member of the United Nations, the Dominican Republic does not underestimate the role of the United Nations in the entire process of the formation and development of international law.\",\n \"The Dominican Republic's commitment to the international community is contained in article 26, paragraphs 3 and 4, of its Constitution of 26 January 2010, which states: “The affirmation and promotion of the values and interests of the State and respect for human rights and international law are the cornerstone and guide of international relations in the Dominican Republic”. “The Dominican Republic accepts, on an equal footing with other countries, an international legal order that ensures respect for the fundamental rights to peace, justice and the political, social, economic and cultural development of nations. The Dominican Republic is committed to achieving peaceful coexistence among peoples at the international, regional and national levels, in accordance with national interests, and to fulfilling its duty to unite all nations.”\",\n \"Ecuador\",\n \"[Original: Spanish]\",\n \"[6 July 2011]\",\n \"As a sovereign State, Ecuador will not resort to unilateral coercive measures because they violate international law, the Charter of the United Nations and the rules and principles that affect peaceful relations among States and impede the full realization of the economic and social development of peoples, in particular children and women.\",\n \"Ecuador does not apply measures that undermine the well-being of its people and impede their enjoyment of their human rights. On the contrary, Ecuador would like to see measures taken to improve the standard of living and security of the population, in accordance with the principles and objectives of Ecuador's national development plan, the National Welfare Plan. His Government paid particular attention to the right of everyone to a standard of living that provided health care and education and to food, health, education and social services. Access to food and medicines should not be used as a political tool.\",\n \"Guatemala\",\n \"[Original: Spanish]\",\n \"[8 June 2011]\",\n \"In its response, the Presidential Commission for the Coordinated Implementation of Policy in the Field of Human Rights of Guatemala emphasized that Guatemala had duly complied with resolution 65/217 and had not taken any unilateral coercive measures, which were contrary to international human rights law and the Charter of the United Nations and to the principles on which Guatemala sought to promote democracy and respect for human rights.\",\n \"Guyana\",\n \"[Original: English]\",\n \"[14 June 2011]\",\n \"Guyana notes and shares the general considerations set out in resolution 65/217, in particular the provision contained in article 32 of the Charter of Economic Rights and Duties of States proclaimed by the General Assembly in its resolution 3281 (XXIX) of 1974, that no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind. Guyana shares the position of the General Assembly that these unilateral coercive measures and legislation violate international law, international humanitarian law and the Charter of the United Nations as part of general customary international law and the standards and principles governing peaceful relations among States. Guyana does not have legislation or other forms of coercive measures that encourage the use of economic or political repression. Guyana also condemns those States that have resorted to such measures and urges them to effectively reverse such actions.\",\n \"Guyana reiterates its commitment to work in good faith to meet its international obligations under the international instruments to which it is a party, including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights. Following the first free and fair elections in October 1992, and after a long struggle for democratic renewal, Guyana had focused on improving the well-being and quality of life of its people, and its Parliament had enacted a series of laws that explicitly promoted and protected the human rights of individuals and vulnerable groups. Guyana ' s executive, legislative and judicial bodies cooperate to promote the implementation of human rights treaties, recognizing that all human rights are universal, indivisible, interdependent and interrelated.\",\n \"With regard to the reference in the resolution to “reaffirming the right to development as an integral part of all human rights”, title 1 of Part 2 of the Constitution of Guyana, “Protection of the fundamental rights and freedoms of the individual”, and article 149C, states that “no one shall be prevented from participating in the administration and decision-making of the State through cooperatives, trade unions, citizens of a state nature or socio-economic organizations”. Article 14 of the Constitution states that “the objectives of economic development include the creation, promotion and encouragement, in a global competitive environment, of an economic system capable of achieving and maintaining sustainable competitive advantages by fostering entrepreneurship, personal and team innovation and creativity, as well as strategic alliances with domestic and global business partners”. Guyana shares the concern about the negative impact of unilateral coercive measures on international relations, trade and investment in cooperation.\",\n \"As a member of the Caribbean Community, Guyana supported regional integration and, therefore, the establishment of the Caribbean Single Market and Economy. As a member of the Union of South American Nations (UNASUR) and the Organization of American States (OAS), Guyana takes its obligations and commitments to these institutions seriously. Two neighbouring countries claim to own the territory of Guyana — Suriname and Venezuela. Guyana has chosen to resolve the maritime boundary with Suriname through the use of existing remedies under the International Law of the Sea and the International Arbitral Tribunal, rather than through coercive measures. Guyana enjoys good relations with both countries and has entrusted the United Nations with good offices on its contentious issues with Venezuela. Although a small developing country, Guyana had the courage to reach out to countries facing natural disasters, such as Grenada, Haiti, Japan, Saint Vincent, Saint Lucia and Venezuela.\",\n \"Guyana is gravely concerned about the situation of children, who are the main victims of unilateral coercive measures. Guyana recognizes the right of all children to grow up in health, safety and dignity and, to that end, strives to ensure the right of children to health, nutrition, education and social and emotional development. Similarly, Guyana has in place comprehensive constitutional and legal provisions and policies to promote and protect women ' s rights in compliance with CEDAW and other international standards. These reforms are essential to prevent the continued application of unilateral coercive measures, which have a negative impact on social and humanitarian behaviour and on the economic and social development of developing countries such as Guyana. Guyana remained committed to the elimination of all forms of unilateral coercive measures, which could create obstacles to development and human rights.\",\n \"In accordance with paragraph 2 of the resolution on the right to “food, health care and education”, Guyana emphasizes the right to food and takes positive initiatives to combat hunger and promote food security. Guyana ensures that health care is provided on the basis of equity and accountability. Guyana ' s education policy ensures that all citizens, regardless of race, age, creed, physical or mental disability, have equal access to quality education and reach their full potential within available resources. The provision of necessary social services such as food, health care, education and social safety nets “cannot be used as tools for political pressure”.\",\n \"Guyana recognizes and subscribes to the principle of self-determination contained in paragraphs 4 and 7 of resolution 65/217, according to which States have the right freely to choose their sovereignty and international political status without coercion or interference from outside. Guyana therefore also condemns and rejects the use of unilateral coercive measures by any State, multilateral or international development agency. Guyana reiterates that unilateral coercive measures are the main obstacle to the full realization of human rights, social development, security and the peaceful resolution of conflicts at the regional and international levels.\",\n \"Iraq\",\n \"[Original: Arabic]\",\n \"[22 July 2011]\",\n \"The Republic of Iraq fully supports General Assembly resolution 65/217 and reaffirms the need for all States to curb the application of unilateral coercive measures. Despite several resolutions addressing this issue, States have resorted to the use of such arbitrary measures. Iraq condemns the use of arbitrary, extraterritorial and unilateral measures to exert political pressure on other States. These measures have had a negative impact on human rights, including the fundamental rights to food, health and development. Iraq stresses the importance of practical and preventive measures in the face of unilateral coercive measures.\",\n \"Kuwait\",\n \"[Original: Arabic]\",\n \"[24 June 2011]\",\n \"Human rights are enshrined in the Universal Declaration of Human Rights and several other international instruments, and this issue is also addressed in the constitutions of most countries. Human rights apply to relations between States and individuals and are also essential to relations between States. All human rights must be upheld without exception or choice. Kuwait supports all efforts by the Office of the United Nations High Commissioner for Human Rights to suppress and eliminate unilateral coercive measures. These measures are used to exert political pressure and create obstacles to international relations and trade. Kuwait supported the implementation of General Assembly resolution 65/217 and provided support and cooperation in that regard. It was important not to politicize the legal aspects of the implementation of the resolution. There was a need to study the question of human rights and unilateral coercive measures, as well as to provide a comprehensive and comprehensive assessment of United Nations resolutions on the issue, including obstacles to the achievement of their objectives.\",\n \"Kuwait rejects any legislative, administrative or economic measures of a coercive nature or measures that impede the economic and cultural development of other countries in order to force them to adopt specific policies. Unilateral coercive measures had a negative impact on the population of developing countries and on the development referred to in the Declaration on the Right to Development. These measures impede the full enjoyment of all human rights, including the most basic rights to food and health care. Kuwait supported the decisions taken by the General Assembly on the right to development and opposed the application of unilateral coercive measures that impeded that right.\",\n \"Kuwait continued to provide international development assistance and support to more than 100 developing and least developed countries, for example through the Kuwait Development Fund and Kuwait ' s efforts to achieve sustainable development at the national level. Kuwait considers development and the development of a relationship with human rights to be essential and considers development as an area linking individuals and societies.\",\n \"III. Analysis and conclusions\",\n \"With regard to General Assembly resolution 65/217, a total of 11 Member States submitted their views on human rights and unilateral coercive measures. In general, the responding States were clearly opposed to the use of unilateral coercive measures.\",\n \"Respondents rejected the use of unilateral coercive measures by any State, multilateral or international development agency. These measures are seen as violations of human rights and obstacles to the full realization of human rights, social development, peace and security and the resolution of disputes and conflicts. Several States also stated that they would not take such measures, as this was a matter of principle.\",\n \"Most of the responding States referred to the principles of international law, which included the obligation of States not to adopt or apply unilateral coercive measures contrary to the Charter of the United Nations and public international law. These measures are said to run counter to the ideals of democratic States and to the fundamental principles of national sovereignty, independence, sovereign equality, self-determination and non-interference in internal affairs. Unilateral coercive measures involve private and public international law, including international humanitarian law, and thus violate a number of international and regional instruments. Relevant instruments cited by States include the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations and the Charter of Economic Rights and Duties of States, according to which no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind.\",\n \"States recalled that, under the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights, no one can be deprived of his or her means of subsistence. Several States also reiterated their support for the implementation of the Declaration on the Right to Development. It was pointed out that the use of unilateral coercive measures with extraterritorial effects had a negative impact on the free movement of capital and the freedom of trade, thus affecting the realization of the right to development of the peoples of the affected countries.\",\n \"Respondent States referred to different forms of sanctions of an economic, commercial and financial nature. These include trade embargoes; financial and financial, property, intellectual property, visa and travel restrictions; and interference with exchanges of a scientific, cultural or tourist nature. The extraterritorial application of the law and the obstruction of the interests of third-country enterprises and citizens are also included, particularly in the area of trade and investment.\",\n \"States noted that unilateral legislative, economic and political coercive measures remained a major international problem, with far-reaching negative effects on the target States and, more generally, on the human rights and development of developing countries. It was noted that people in countries where such measures were imposed were the main victims, especially the most vulnerable — children, women, the elderly and persons with disabilities. The actual situation in the affected countries included extreme hardship, deprivation of life-saving drugs, especially paediatric drugs, basic foodstuffs, educational facilities and cultural facilities. The implementation of these coercive measures directly affects the enjoyment of fundamental human rights.\",\n \"Several States reaffirmed the indivisibility, universality, interrelatedness and interdependence of all human rights and recognized that this was closely linked to the maintenance of peaceful relations among States. States reaffirmed their belief that development was interlinked with human rights and peace. In order to maintain international peace and security, States must promote those links through friendly and cooperative relations, in accordance with the principle of equality of States and their right to self-determination. The challenges in international relations must be addressed in a multilateral context, given the divergence of interests among States in the current international environment and the development of a multilateral framework and a multilateral dialogue among States. It was pointed out that the mechanisms established by the United Nations, including the Security Council, and other international and regional multilateral organizations were the only legitimate bodies that decided on appropriate measures to maintain security and encourage a State to comply with international standards.\",\n \"On the basis of practical and preventive measures in the face of unilateral coercive measures, some States considered it necessary to create friendly relations among States with a view to promoting and protecting human rights by raising public awareness of the negative impact of unilateral coercive measures and of the importance of respecting the standards and principles of public and private international law. States invoked the provisions of their national constitutions and laws, including those that uphold the values of peaceful coexistence among peoples and the duty to unite all nations.\",\n \"Some States have enacted legislation that provides that any foreign law that directly or indirectly restricts or impedes free trade and the free movement of capital, goods or people will not be applicable and will have no legal effect within the territory of any State or group of States. States also provided examples of legal provisions providing that foreign laws aimed at replacing Governments with extraterritorial legal effects through the imposition of economic sanctions on another State or the restriction of investment therein had no legal effect in its territory.\",\n \"Reference was made to internal measures taken to uphold human rights and promote social and economic development, both within and outside the territory, and it was reiterated that it believed that basic necessities should be available to all and that access to food, health care and education should under no circumstances be used as a political tool, either within States or in the wider international community. States provided examples of policies and actions taken to promote the human rights and development of their peoples and of their participation in international assistance and cooperation, especially for the benefit of people in developing countries.\",\n \"One State proposed the establishment of special procedures of the Human Rights Committee on unilateral coercive measures and their impact on human rights and explicitly supported the request contained in Human Rights Committee resolution 15/24 to the Office of the United Nations High Commissioner for Human Rights to prepare a thematic study on human rights and unilateral coercive measures, including recommendations for action aimed at ending them. Some States welcomed the continued attention paid by the General Assembly and the Human Rights Committee to human rights issues and unilateral coercive measures.\"\n]"}}},{"rowIdx":90,"cells":{"clean_zh":{"kind":"list like","value":["联合国儿童基金会","执行局","2011年第二届常会","2011年9月12日至15日","临时议程[1] 项目8","联合国儿童基金会","儿基会2012-2013年拟议机构预算","行政和预算问题咨询委员会的报告","一. 导言","1. 行政和预算问题咨询委员会审议了联合国儿童基金会(儿基会)执行局2012-2013两年期拟议机构预算报告的预发版本(E/ICEF/2011/AB/L.2)。行预咨委会审议报告时会晤了副执行主任和其他代表，他们进一步提供了资料并作了说明。","格式与列报","2. 行预咨委会回顾，2010年儿基会、联合国开发计划署(开发署)和联合国人口基金会(人口基金)的执行局核准其题为“综合预算路线图：费用分类和成果预算编制”的联合报告中的各项建议。在审查选定的联合国组织和双边捐助者的现有费用定义、活动分类和相关费用及成果预算编制模式和方法之后编写了本报告，以便确定最佳做法。这三个组织同意共同努力加强协调，改进2012-2013两年期支助预算列报，并从2004年开始努力为每个组织编制单一的综合预算。行预咨委会注意到，根据儿基会执行局第2011/6号决定，2012-2013年机构预算按照成果制方法编制，并按照儿基会、开发署和人口基金商定的新费用分类格式列报。因此，该预算是2014年执行完全连成一体的预算路线图上的重要里程碑。","预计资源","3. 根据本文件附件一总结的资源计划，2012-2013两年期预计经常资源、其他资源和信托基金资源总额为117亿美元，其中包括期初余额28.16亿美元，与2010-2011年计划资源总额104.19亿美元相比，增加12.81亿美元或12.3%。2012-2013年预计经常资源总额为27.09亿美元，与2010-2011年26.04亿美元相比，增加1.05亿美元或4%。预计其他资源额为61.5亿美元，与2010-2011年57.69亿美元相比，增加3.81亿美元或6.6%。预计信托基金总额为28.41亿美元，与2010-2011年20.46亿美元相比，增加7.95亿美元或38.9%。","4. 2012-2013两年期经常资源收入(主要是捐款)估计为21.29亿美元，与2010-2011两年期19.91亿美元相比，增加1.38亿美元或6.9%。其他资源收入估计为43.62亿美元，与2010-2011年40.29亿美元相比，增加3.33亿美元或8.3%。预计信托基金收入为23.93亿美元，比2010-2011年增加5.948亿美元或34%。关于资源的使用，2012-2013两年期拟议资源总额为94.07亿美元，其中84.41亿美元将用于各方案，9.66亿美元用于机构预算(另见下文第24段至26段)。","二. 2012-2013年拟议机构预算","5. 行预咨委会指出，根据新的费用分类，机构预算指用于发展效益及联合国发展协调活动、管理活动和特殊用途活动的预算。该预算按照成果制方法编制，并按照上文第2段所述的新费用分类格式列报。上述费用分类术语的定义见机构预算报告附件8。","6. 2012-2013两年期拟议机构预算为9.66亿美元，与2010-2011年两年期支助预算和安保预算10.201亿美元相比，减少5 410万美元或5.3%。减少4 340万美元，被增加的3 310万美元及工作人员费用、汇率和通货膨胀调整数700万美元部分抵消。数额减少的原因是2012-2013年不会有2010-2011年的一次性投资项目费用3 690万美元和一次性安保费用1 390万美元。","7. 减少4 340万美元，主要原因包括：由于审查业务费用，特别是国际差旅和各种会议费用，采取了业务增效、减少费用和资金效益措施；推迟购买交通设备；减少使用咨询人。此外，预期更多地使用共同房地和共同事务也会节省费用。儿基会期望上述举措将导致在总部减少2 880万美元，在外地办事处减少500万美元(同上，第46段至47段)。此外，行预咨委会得知，目前正鼓励儿基会各区域办事处研究是否有可能设立或扩大多国服务中心，以实现规模经济、降低交易费用并确保向各国家办事处提供持续的业务支持(另见下文第20段)。行预咨委会欢迎儿基会在全组织努力通过再次审查现有业务活动和尽量使用新技术减少费用。委员会还鼓励使用共同房地和共同事务，因为这将会提高效率和节省经费。","8. 行预咨委会得知，在编制2012-2013年预算时，特别关注费用的正确划归——确定其他资金来源供资的活动费用——而且预期将会减少510万美元(同上，第51段)；为评估新兴人才倡议的效果，减少了其征聘活动，预期将节省450万美元(同上，第52段)。","9. 减少额被增加额(3 310万美元)部分抵消，主要在全球组群协调领域(300万美元)；加强儿基会在新独立的南苏丹共和国的存在(250万美元)；通过在内部审计办公室增设2个员额加强机构监督和保障活动(60万美元)；加强人力资源管理(350万美元)；加强机构监督保障活动(60万美元)；通过《国际公共部门会计准则》(公共部门会计准则)(320万美元)；支持人才管理倡议(100万美元)。预期执行VISION(信息虚拟集成系统)企业资源规划系统将会增加费用，进一步解释见下文第11段(1 020万美元)；为本组织开发单一的组织技术平台费用(910万美元)。","10. 总体而言，行预咨委会欢迎儿基会在改进预算列报方面取得的进展，包括成果预算框架及纳入新的费用分类。在与开发署和人口基金进行协调的情况下，委员会鼓励进一步努力改进列报。委员会特别赞赏使用表格和其他列报方式使预算更加简洁，认为应在陈述部分提供补充资料。委员会要求在今后拟议预算中提供此类细目。委员会支持执行主任的大部分提议，并在以下段落中就一些具体倡议作出进一步评论。","三. 具体评论和意见","VISION企业资源规划系统与业绩管理系统","11. 行预咨委会得知，2012年1月1日儿基会在其所有地点执行VISION系统。执行主任的一些代表称，VISION是以SAP为基础的全球企业资源规划系统，预期将对儿基会所有办事处的运作方式产生重大影响。该系统主要部分是一个以SAP为基础的中央应用系统和一个业绩管理平台。这些系统将在四个成果领域支持和协助改进儿基会工作：已改进的问责制和有效风险管理；卓越方案；业务绩效；有效的资源规划和实施。这些系统将取代总部现有的SAP企业资源规划系统和外地的方案主管系统，并将提供网络业绩管理信息系统，用于在全球实时监测和报告儿基会全世界运作的核心财政和成果信息。","12. 委员会得知，已进行大量投资，为各区域和国家办事处必要的系统功能做准备，并在少数国家办事处开始试行。准备工作包括设计、指导和培训、通信和监测及改进宽带和通信能力。委员会还得知，从2008-2009两年期至2010-2011年终了时费用估计为3 710万美元。据称，在2012年1月执行该系统之后，预期会出现许多挑战，因为新用户使用该系统和已改进的业务流程。因此，该系统需要技术和咨询支持，在2012-2013年机构预算中为执行VISION系统编列1 020万美元。","13. 行预咨委会赞扬儿基会为执行性能管理能力更强、完全连成一体的全球资源管理系统取得的进展。委员会相信儿基会将与其他组织交流执行该系统的经验。","实行公共部门会计准则后的战略","14. 行预咨委会回顾，大会第60/283(2006)号决议和儿基会执行局第2007/10号决定核准通过《公共部门会计准则》，以实现提高透明度和改进问责制的利益。委员会还回顾，为加强与联合国其他基金和方案的协调，与其他机构协商进行广泛审查，最终修正儿基会《财务条例和细则》，以适应《公共部门会计准则》所要求的完全权责发生制会计。行预咨委会关于各项拟议修正的评论和建议载于其另一份报告，执行局下届会议将会收到该报告。","15. 行预咨委会在审议2012-2013年预算期间得知，儿基会准备于2012年1月执行《公共部门会计标准》。委员会还得知，儿基会计划在财务和行政管理司(财行司)内保留一个小型部门，提供咨询和协助，特别是在培训和能力建设领域，这是儿基会执行后战略的一部分。执行主任的代表们解释说，儿基会认为不必建立更多支助机构，因为大多数国家办事处有足够的业务能力处理执行事宜，而且区域办事处会在执行方面向较小办事处提供支持。他们还解释说，现有能力将会通过培训得到进一步加强，因此在2012-2013年机构预算中分配320万美元，用于支付专门进行《公共部门会计准则》方面能力建设活动的工作人员和咨询人费用。委员会还得知，在执行《公共部门会计准则》一段时间之后，以及在外部审计员审查儿基会将于2013年中提交的2012年财务报表并就其发表意见之后，《公共部门会计准则》的好处将会更加明显。此外，执行后战略将借鉴从执行该准则中吸取的经验教训，并将反映在2014-2015年预算中。行预咨委会重申其意见，即应尽量与联合国其他组织协调执行《公共部门会计准则》，并应记录和分享儿基会的经验教训。在此方面，委员会提请注意开发署正在考虑的《公共部门会计准则》全球共享服务中心办法，如果儿基会考虑改变当前战略，应铭记这一办法。","全球组群协调","16. 在审议拟议预算期间，委员会得知已制定全球组群办法，以确保在所有主要部门或人道主义反应领域中可以预测的领导责任和问责制，加强全系统筹备工作和应对人道主义紧急情况的技术能力。在此方面，已为所有关键的人道主义反应部门指定分组牵头机构，儿基会被指定为饮水、环卫和讲卫生组和营养组的全球牵头机构；与国际拯救儿童联盟共同作为教育组的全球牵头机构；在全球保护组，作为儿童保护责任领域的牵头机构；与人口基金共同作为性别暴力责任领域的牵头机构。","17. 行预咨委会注意到，2010-2011年在儿基会内部对儿基会组群责任的资助和管理进行了分配。为确保加强协调和领导作用，已在机构预算中分配350万美元，用于在日内瓦设立一个全球组群协调股，与其他人道主义伙伴和机构间常设委员会秘书处距离很近。这项拨款将用于支付设立5个员额(4个高级协调员和1个信息管理员额)及其他组群协调活动的费用。","18. 行预咨委会欢迎儿基会作出承诺，为进行组群协调分配资源，包括设立一个组群协调股。委员会认为，如果可行，各参加组织应公平分担经济责任。","拟议人员配置变动","19. 委员会注意到，在2012-2013年机构预算中分配给员额的经费估计为7.297亿美元(同上，附件5)。该两年期拟议员额共2 919个，比2010-2011两年期(2 957个)净减38个(同上，附件6)。这些变动包括：净减4个D-1级员额；净增14个国际专业人员员额和3个本国干事员额；净减51个一般事务员额。行预咨委会欢迎详细的组织系统表一目了然，有助于更好地了解组织结构和拟议人员配置变动。委员会要求在今后预算报告中列入组织系统表。","20. 行预咨委会指出，上述人员配置变动将导致在国家办事处一级总共裁减65个员额(1个D-1、2个国际专业人员和62个其他职等)。委员会还指出，拟裁减东非和南非区域国家办事处42个其他职类的员额。大幅裁减支助类员额的部分原因是战略转向加强各区域办事处的监督和能力，这有助于简化业务流程，提高国家办事处业务效率。正如上文第11段所述，计划推行VISION系统及通过培训加强工作人员能力是执行这一战略的关键因素。该战略还将包括在西非和中非及拉丁美洲和加勒比区域建立和扩大多国业务服务中心，以便通过合并业务提高效率。行预咨委会欢迎儿基会努力利用现有信息技术的好处，以提高资源管理效率，加强对各外地办事处的支持。虽然委员会不反对拟议员额变动，但认为已注意确保裁减员额不会对国家办事处交付方案造成不利影响。","21. 行预咨委会注意到，拟在内部审计办公室增设2个员额，以加强审计和调查职能，确保达到核准的审计章程的要求(见上文第9段)。委员会认为，设立员额有助于加强问责制和提高透明度。","22. 行预咨委会经询得知，儿基会计划在2012-2013年机构预算中分配100万美元，用于支持人才管理倡议，如完成向电子业绩管理的过渡及使用2010-2011年开发的电子考绩系统和电子征聘工具进行征聘。委员会得知，将扩大目前仅为国际工作人员服务的电子考绩系统，以便涵盖所有工作人员。委员会还得知，儿基会未建立自己的系统，一直使用人口基金建立的系统并分担维持费用。有人指出，扩大该系统以涵盖所有工作人员需要从上述拨款中另为儿基会支付一次性费用。","23. 委员会还得知，人才管理倡议包括拟订新的国际专业人员轮调政策，根据该政策，副代表和卫生干事等职能群体将进行有管理的轮调。委员会得知，当前有管理的轮调只适用于办公室负责人。委员会还得知，目前正在审查2010年开始的试行轮调工作，并将为新的轮调政策提供相关信息。预算中的拟议资源将用于支付最后制定和执行该政策的费用，以及儿基会职业发展和人才管理系统费用，这是协调一致的人力资源管理系统的组成部分。行预咨委会注意到，儿基会已经采取多项举措扩大现有工作人员轮调政策的范围，这是开发更协调一致的人力资源管理系统的要素。委员会相信将与其他机构分享儿基会在此方面的经验。","费用回收","24. 行预咨委会注意到，2008-2009两年期实际费用回收总额为3.203亿美元，以其他资源供资的方案援助费用总额计算，平均回收率为6.7%。同期，委员会注意到机构总预算的36%来自回收费用，这确保了经常资源不被用于补贴其他资源供资的方案援助支助费用。如本报告附件二所述，预计2012-2013两年期机构总预算的35%将通过费用回收筹措资金，比2010-2011年增加24%。","25. 委员会还注意到，儿基会、开发署和人口基金响应儿基会执行局第2011/6号决定共同进行审查，确认订正后的费用定义和活动分类对费用回收没有影响，因此2012-2013两年期无需改变费用回收办法。有人指出，2013年将再次与开发署和人口基金共同审查现时费率和方法，并在2004年新的综合预算框架内进行，届时可能视需要进行修改。","26. 委员会欢迎目前机构预算中由费用回收供资的比例不断增加这一积极趋势。委员会鼓励儿基会、开发署和人口基金共同努力确定今后费用回收办法和费率，并期望得到进一步有关信息。","附件一","资源计划","(百万美元)","[TABLE]","^(a) 包括利息、杂项收入和充抵机构预算的款项。","^(b) 2010-2011年：执行局2008年核准的安保拨款。","^(c) 预计资源结余是在计入基金储备金之前(用于离职后医疗保险、固定资产、离职金和采购事务)中期财务计划订正现金余额总数。","^(d) 2010-2011年资源结余已更新，计入了实际和预计的收支变动。","附件二","1998年至2011年支助预算趋势和比率分析","(百万美元)","计划 98-99 00-01 02-03 04-05 06-07 08-09 10-11¹ 12-13","两年期支助预算 527.5 545.5 574.2 701.9 757.4 912.8 1 020.1 966.0","由经常资源供资的两年期支助预算 493.6 477.7 485.9 545.5 567.4 689.8 773.5 628.0 94% 88% 85% 78% 75% 76% 76% 65%","由其他资源和其他回收供资的两年期支助预算 33.9 67.8 88.3 156.4 190.0 223.0 246.6 338.0 6% 12% 15% 22% 25% 24% 24% 35%","经常资源共计 1 122.5 1 247.7 1 147.9 1 424.5 1 658.6 2 355.4 2 403.9 2 222.0","用于方案的经常资源总额所占百分比 56% 62% 58% 62% 66% 71% 68% 72%","用于两年期支助预算的经常资源总额所占百分比 44% 38% 42% 38% 34% 29% 32% 28%","¹ 订正后包括执行局2008年核准的2010-2011年安保拨款。","实际 98-99 00-01 02-03 04-05 06-07 08-09","两年期支助预算实际支出 507.5 521.9 568.9 682.2 739.0 892.5","由经常资源供资的实际两年期支助预算 465.0 437.6 466.1 481.3 468.3 572.2 92% 84% 82% 71% 62% 64%","由其他资源和其他回收供资的两年期支助预算 42.5 84.3 102.7 200.9 270.7 320.3 8% 16% 18% 29% 38% 36%","经常资源共计 1 065.1 1 178.0 1 206.0 1 365.0 1 745.0 2 087.8","用于方案的经常资源总额所占百分比 56% 63% 61% 65% 73% 73%","用于两年期支助预算的经常资源总额所占百分比 44% 37% 39% 35% 27% 27%","[1] ^(*) E/ICEF/2005/10。"],"string":"[\n \"联合国儿童基金会\",\n \"执行局\",\n \"2011年第二届常会\",\n \"2011年9月12日至15日\",\n \"临时议程[1] 项目8\",\n \"联合国儿童基金会\",\n \"儿基会2012-2013年拟议机构预算\",\n \"行政和预算问题咨询委员会的报告\",\n \"一. 导言\",\n \"1. 行政和预算问题咨询委员会审议了联合国儿童基金会(儿基会)执行局2012-2013两年期拟议机构预算报告的预发版本(E/ICEF/2011/AB/L.2)。行预咨委会审议报告时会晤了副执行主任和其他代表，他们进一步提供了资料并作了说明。\",\n \"格式与列报\",\n \"2. 行预咨委会回顾，2010年儿基会、联合国开发计划署(开发署)和联合国人口基金会(人口基金)的执行局核准其题为“综合预算路线图：费用分类和成果预算编制”的联合报告中的各项建议。在审查选定的联合国组织和双边捐助者的现有费用定义、活动分类和相关费用及成果预算编制模式和方法之后编写了本报告，以便确定最佳做法。这三个组织同意共同努力加强协调，改进2012-2013两年期支助预算列报，并从2004年开始努力为每个组织编制单一的综合预算。行预咨委会注意到，根据儿基会执行局第2011/6号决定，2012-2013年机构预算按照成果制方法编制，并按照儿基会、开发署和人口基金商定的新费用分类格式列报。因此，该预算是2014年执行完全连成一体的预算路线图上的重要里程碑。\",\n \"预计资源\",\n \"3. 根据本文件附件一总结的资源计划，2012-2013两年期预计经常资源、其他资源和信托基金资源总额为117亿美元，其中包括期初余额28.16亿美元，与2010-2011年计划资源总额104.19亿美元相比，增加12.81亿美元或12.3%。2012-2013年预计经常资源总额为27.09亿美元，与2010-2011年26.04亿美元相比，增加1.05亿美元或4%。预计其他资源额为61.5亿美元，与2010-2011年57.69亿美元相比，增加3.81亿美元或6.6%。预计信托基金总额为28.41亿美元，与2010-2011年20.46亿美元相比，增加7.95亿美元或38.9%。\",\n \"4. 2012-2013两年期经常资源收入(主要是捐款)估计为21.29亿美元，与2010-2011两年期19.91亿美元相比，增加1.38亿美元或6.9%。其他资源收入估计为43.62亿美元，与2010-2011年40.29亿美元相比，增加3.33亿美元或8.3%。预计信托基金收入为23.93亿美元，比2010-2011年增加5.948亿美元或34%。关于资源的使用，2012-2013两年期拟议资源总额为94.07亿美元，其中84.41亿美元将用于各方案，9.66亿美元用于机构预算(另见下文第24段至26段)。\",\n \"二. 2012-2013年拟议机构预算\",\n \"5. 行预咨委会指出，根据新的费用分类，机构预算指用于发展效益及联合国发展协调活动、管理活动和特殊用途活动的预算。该预算按照成果制方法编制，并按照上文第2段所述的新费用分类格式列报。上述费用分类术语的定义见机构预算报告附件8。\",\n \"6. 2012-2013两年期拟议机构预算为9.66亿美元，与2010-2011年两年期支助预算和安保预算10.201亿美元相比，减少5 410万美元或5.3%。减少4 340万美元，被增加的3 310万美元及工作人员费用、汇率和通货膨胀调整数700万美元部分抵消。数额减少的原因是2012-2013年不会有2010-2011年的一次性投资项目费用3 690万美元和一次性安保费用1 390万美元。\",\n \"7. 减少4 340万美元，主要原因包括：由于审查业务费用，特别是国际差旅和各种会议费用，采取了业务增效、减少费用和资金效益措施；推迟购买交通设备；减少使用咨询人。此外，预期更多地使用共同房地和共同事务也会节省费用。儿基会期望上述举措将导致在总部减少2 880万美元，在外地办事处减少500万美元(同上，第46段至47段)。此外，行预咨委会得知，目前正鼓励儿基会各区域办事处研究是否有可能设立或扩大多国服务中心，以实现规模经济、降低交易费用并确保向各国家办事处提供持续的业务支持(另见下文第20段)。行预咨委会欢迎儿基会在全组织努力通过再次审查现有业务活动和尽量使用新技术减少费用。委员会还鼓励使用共同房地和共同事务，因为这将会提高效率和节省经费。\",\n \"8. 行预咨委会得知，在编制2012-2013年预算时，特别关注费用的正确划归——确定其他资金来源供资的活动费用——而且预期将会减少510万美元(同上，第51段)；为评估新兴人才倡议的效果，减少了其征聘活动，预期将节省450万美元(同上，第52段)。\",\n \"9. 减少额被增加额(3 310万美元)部分抵消，主要在全球组群协调领域(300万美元)；加强儿基会在新独立的南苏丹共和国的存在(250万美元)；通过在内部审计办公室增设2个员额加强机构监督和保障活动(60万美元)；加强人力资源管理(350万美元)；加强机构监督保障活动(60万美元)；通过《国际公共部门会计准则》(公共部门会计准则)(320万美元)；支持人才管理倡议(100万美元)。预期执行VISION(信息虚拟集成系统)企业资源规划系统将会增加费用，进一步解释见下文第11段(1 020万美元)；为本组织开发单一的组织技术平台费用(910万美元)。\",\n \"10. 总体而言，行预咨委会欢迎儿基会在改进预算列报方面取得的进展，包括成果预算框架及纳入新的费用分类。在与开发署和人口基金进行协调的情况下，委员会鼓励进一步努力改进列报。委员会特别赞赏使用表格和其他列报方式使预算更加简洁，认为应在陈述部分提供补充资料。委员会要求在今后拟议预算中提供此类细目。委员会支持执行主任的大部分提议，并在以下段落中就一些具体倡议作出进一步评论。\",\n \"三. 具体评论和意见\",\n \"VISION企业资源规划系统与业绩管理系统\",\n \"11. 行预咨委会得知，2012年1月1日儿基会在其所有地点执行VISION系统。执行主任的一些代表称，VISION是以SAP为基础的全球企业资源规划系统，预期将对儿基会所有办事处的运作方式产生重大影响。该系统主要部分是一个以SAP为基础的中央应用系统和一个业绩管理平台。这些系统将在四个成果领域支持和协助改进儿基会工作：已改进的问责制和有效风险管理；卓越方案；业务绩效；有效的资源规划和实施。这些系统将取代总部现有的SAP企业资源规划系统和外地的方案主管系统，并将提供网络业绩管理信息系统，用于在全球实时监测和报告儿基会全世界运作的核心财政和成果信息。\",\n \"12. 委员会得知，已进行大量投资，为各区域和国家办事处必要的系统功能做准备，并在少数国家办事处开始试行。准备工作包括设计、指导和培训、通信和监测及改进宽带和通信能力。委员会还得知，从2008-2009两年期至2010-2011年终了时费用估计为3 710万美元。据称，在2012年1月执行该系统之后，预期会出现许多挑战，因为新用户使用该系统和已改进的业务流程。因此，该系统需要技术和咨询支持，在2012-2013年机构预算中为执行VISION系统编列1 020万美元。\",\n \"13. 行预咨委会赞扬儿基会为执行性能管理能力更强、完全连成一体的全球资源管理系统取得的进展。委员会相信儿基会将与其他组织交流执行该系统的经验。\",\n \"实行公共部门会计准则后的战略\",\n \"14. 行预咨委会回顾，大会第60/283(2006)号决议和儿基会执行局第2007/10号决定核准通过《公共部门会计准则》，以实现提高透明度和改进问责制的利益。委员会还回顾，为加强与联合国其他基金和方案的协调，与其他机构协商进行广泛审查，最终修正儿基会《财务条例和细则》，以适应《公共部门会计准则》所要求的完全权责发生制会计。行预咨委会关于各项拟议修正的评论和建议载于其另一份报告，执行局下届会议将会收到该报告。\",\n \"15. 行预咨委会在审议2012-2013年预算期间得知，儿基会准备于2012年1月执行《公共部门会计标准》。委员会还得知，儿基会计划在财务和行政管理司(财行司)内保留一个小型部门，提供咨询和协助，特别是在培训和能力建设领域，这是儿基会执行后战略的一部分。执行主任的代表们解释说，儿基会认为不必建立更多支助机构，因为大多数国家办事处有足够的业务能力处理执行事宜，而且区域办事处会在执行方面向较小办事处提供支持。他们还解释说，现有能力将会通过培训得到进一步加强，因此在2012-2013年机构预算中分配320万美元，用于支付专门进行《公共部门会计准则》方面能力建设活动的工作人员和咨询人费用。委员会还得知，在执行《公共部门会计准则》一段时间之后，以及在外部审计员审查儿基会将于2013年中提交的2012年财务报表并就其发表意见之后，《公共部门会计准则》的好处将会更加明显。此外，执行后战略将借鉴从执行该准则中吸取的经验教训，并将反映在2014-2015年预算中。行预咨委会重申其意见，即应尽量与联合国其他组织协调执行《公共部门会计准则》，并应记录和分享儿基会的经验教训。在此方面，委员会提请注意开发署正在考虑的《公共部门会计准则》全球共享服务中心办法，如果儿基会考虑改变当前战略，应铭记这一办法。\",\n \"全球组群协调\",\n \"16. 在审议拟议预算期间，委员会得知已制定全球组群办法，以确保在所有主要部门或人道主义反应领域中可以预测的领导责任和问责制，加强全系统筹备工作和应对人道主义紧急情况的技术能力。在此方面，已为所有关键的人道主义反应部门指定分组牵头机构，儿基会被指定为饮水、环卫和讲卫生组和营养组的全球牵头机构；与国际拯救儿童联盟共同作为教育组的全球牵头机构；在全球保护组，作为儿童保护责任领域的牵头机构；与人口基金共同作为性别暴力责任领域的牵头机构。\",\n \"17. 行预咨委会注意到，2010-2011年在儿基会内部对儿基会组群责任的资助和管理进行了分配。为确保加强协调和领导作用，已在机构预算中分配350万美元，用于在日内瓦设立一个全球组群协调股，与其他人道主义伙伴和机构间常设委员会秘书处距离很近。这项拨款将用于支付设立5个员额(4个高级协调员和1个信息管理员额)及其他组群协调活动的费用。\",\n \"18. 行预咨委会欢迎儿基会作出承诺，为进行组群协调分配资源，包括设立一个组群协调股。委员会认为，如果可行，各参加组织应公平分担经济责任。\",\n \"拟议人员配置变动\",\n \"19. 委员会注意到，在2012-2013年机构预算中分配给员额的经费估计为7.297亿美元(同上，附件5)。该两年期拟议员额共2 919个，比2010-2011两年期(2 957个)净减38个(同上，附件6)。这些变动包括：净减4个D-1级员额；净增14个国际专业人员员额和3个本国干事员额；净减51个一般事务员额。行预咨委会欢迎详细的组织系统表一目了然，有助于更好地了解组织结构和拟议人员配置变动。委员会要求在今后预算报告中列入组织系统表。\",\n \"20. 行预咨委会指出，上述人员配置变动将导致在国家办事处一级总共裁减65个员额(1个D-1、2个国际专业人员和62个其他职等)。委员会还指出，拟裁减东非和南非区域国家办事处42个其他职类的员额。大幅裁减支助类员额的部分原因是战略转向加强各区域办事处的监督和能力，这有助于简化业务流程，提高国家办事处业务效率。正如上文第11段所述，计划推行VISION系统及通过培训加强工作人员能力是执行这一战略的关键因素。该战略还将包括在西非和中非及拉丁美洲和加勒比区域建立和扩大多国业务服务中心，以便通过合并业务提高效率。行预咨委会欢迎儿基会努力利用现有信息技术的好处，以提高资源管理效率，加强对各外地办事处的支持。虽然委员会不反对拟议员额变动，但认为已注意确保裁减员额不会对国家办事处交付方案造成不利影响。\",\n \"21. 行预咨委会注意到，拟在内部审计办公室增设2个员额，以加强审计和调查职能，确保达到核准的审计章程的要求(见上文第9段)。委员会认为，设立员额有助于加强问责制和提高透明度。\",\n \"22. 行预咨委会经询得知，儿基会计划在2012-2013年机构预算中分配100万美元，用于支持人才管理倡议，如完成向电子业绩管理的过渡及使用2010-2011年开发的电子考绩系统和电子征聘工具进行征聘。委员会得知，将扩大目前仅为国际工作人员服务的电子考绩系统，以便涵盖所有工作人员。委员会还得知，儿基会未建立自己的系统，一直使用人口基金建立的系统并分担维持费用。有人指出，扩大该系统以涵盖所有工作人员需要从上述拨款中另为儿基会支付一次性费用。\",\n \"23. 委员会还得知，人才管理倡议包括拟订新的国际专业人员轮调政策，根据该政策，副代表和卫生干事等职能群体将进行有管理的轮调。委员会得知，当前有管理的轮调只适用于办公室负责人。委员会还得知，目前正在审查2010年开始的试行轮调工作，并将为新的轮调政策提供相关信息。预算中的拟议资源将用于支付最后制定和执行该政策的费用，以及儿基会职业发展和人才管理系统费用，这是协调一致的人力资源管理系统的组成部分。行预咨委会注意到，儿基会已经采取多项举措扩大现有工作人员轮调政策的范围，这是开发更协调一致的人力资源管理系统的要素。委员会相信将与其他机构分享儿基会在此方面的经验。\",\n \"费用回收\",\n \"24. 行预咨委会注意到，2008-2009两年期实际费用回收总额为3.203亿美元，以其他资源供资的方案援助费用总额计算，平均回收率为6.7%。同期，委员会注意到机构总预算的36%来自回收费用，这确保了经常资源不被用于补贴其他资源供资的方案援助支助费用。如本报告附件二所述，预计2012-2013两年期机构总预算的35%将通过费用回收筹措资金，比2010-2011年增加24%。\",\n \"25. 委员会还注意到，儿基会、开发署和人口基金响应儿基会执行局第2011/6号决定共同进行审查，确认订正后的费用定义和活动分类对费用回收没有影响，因此2012-2013两年期无需改变费用回收办法。有人指出，2013年将再次与开发署和人口基金共同审查现时费率和方法，并在2004年新的综合预算框架内进行，届时可能视需要进行修改。\",\n \"26. 委员会欢迎目前机构预算中由费用回收供资的比例不断增加这一积极趋势。委员会鼓励儿基会、开发署和人口基金共同努力确定今后费用回收办法和费率，并期望得到进一步有关信息。\",\n \"附件一\",\n \"资源计划\",\n \"(百万美元)\",\n \"[TABLE]\",\n \"^(a) 包括利息、杂项收入和充抵机构预算的款项。\",\n \"^(b) 2010-2011年：执行局2008年核准的安保拨款。\",\n \"^(c) 预计资源结余是在计入基金储备金之前(用于离职后医疗保险、固定资产、离职金和采购事务)中期财务计划订正现金余额总数。\",\n \"^(d) 2010-2011年资源结余已更新，计入了实际和预计的收支变动。\",\n \"附件二\",\n \"1998年至2011年支助预算趋势和比率分析\",\n \"(百万美元)\",\n \"计划 98-99 00-01 02-03 04-05 06-07 08-09 10-11¹ 12-13\",\n \"两年期支助预算 527.5 545.5 574.2 701.9 757.4 912.8 1 020.1 966.0\",\n \"由经常资源供资的两年期支助预算 493.6 477.7 485.9 545.5 567.4 689.8 773.5 628.0 94% 88% 85% 78% 75% 76% 76% 65%\",\n \"由其他资源和其他回收供资的两年期支助预算 33.9 67.8 88.3 156.4 190.0 223.0 246.6 338.0 6% 12% 15% 22% 25% 24% 24% 35%\",\n \"经常资源共计 1 122.5 1 247.7 1 147.9 1 424.5 1 658.6 2 355.4 2 403.9 2 222.0\",\n \"用于方案的经常资源总额所占百分比 56% 62% 58% 62% 66% 71% 68% 72%\",\n \"用于两年期支助预算的经常资源总额所占百分比 44% 38% 42% 38% 34% 29% 32% 28%\",\n \"¹ 订正后包括执行局2008年核准的2010-2011年安保拨款。\",\n \"实际 98-99 00-01 02-03 04-05 06-07 08-09\",\n \"两年期支助预算实际支出 507.5 521.9 568.9 682.2 739.0 892.5\",\n \"由经常资源供资的实际两年期支助预算 465.0 437.6 466.1 481.3 468.3 572.2 92% 84% 82% 71% 62% 64%\",\n \"由其他资源和其他回收供资的两年期支助预算 42.5 84.3 102.7 200.9 270.7 320.3 8% 16% 18% 29% 38% 36%\",\n \"经常资源共计 1 065.1 1 178.0 1 206.0 1 365.0 1 745.0 2 087.8\",\n \"用于方案的经常资源总额所占百分比 56% 63% 61% 65% 73% 73%\",\n \"用于两年期支助预算的经常资源总额所占百分比 44% 37% 39% 35% 27% 27%\",\n \"[1] ^(*) E/ICEF/2005/10。\"\n]"},"clean_en":{"kind":"list like","value":["United Nations Children’s Fund","Executive Board","Second regular session 2011","12-15 September 2011","Item 8 of the provisional agenda[1]","United Nations Children’s Fund","UNICEF institutional budget for 2012-2013","Report of the Advisory Committee on Administrative and Budgetary Questions","I. Introduction","1. The Advisory Committee on Administrative and Budgetary Questions has considered an advance version of the report of the Executive Director of the United Nations Children’s Fund (UNICEF) on the proposed institutional budget for the 2012-2013 biennium (E/ICEF/2011/AB/L.2). During its consideration of the report, the Advisory Committee met with the Deputy Executive Director and other representatives, who provided additional information and clarifications.","Format and presentation","2. The Advisory Committee recalls that in 2010 the Executive Boards of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) approved the proposals that were presented in a joint report of the three organizations entitled, “Road map to an integrated budget: cost classification and results-based budgeting”. The report was the culmination of a review of existing cost definitions and classification of activities and associated costs, as well as results-based budgeting models and methodologies of selected United Nations organizations and bilateral donors, in order to identify best practices. The three organizations agreed to work together for greater harmonization and improvement in the presentation of the biennial support budget for 2012-2013, and also work towards the presentation of a single, integrated budget for each organization beginning in 2014. The Advisory Committee notes that in accordance with decision 2011/6 of the UNICEF Executive Board, the 2012-2013 institutional budget has been prepared following the results-based approach and is presented in the new cost classification format agreed upon by UNICEF, UNDP and UNFPA. The budget therefore represents an important milestone on the roadmap to the implementation of the fully integrated budget in 2014.","Projected resources","3. According to the resource plan summarized in annex I of the present document, the total projected resources from regular resources, other resources and trust funds for the biennium 2012-2013, including an opening balance of $2,816 million, amount to $11,700 million, reflecting an increase of $1,281 million, or 12.3 per cent, compared with the total planned resources of $10,419 million for 2010-2011. For 2012-2013, total regular resources are projected at $2,709 million, reflecting an increase of $105 million, or 4 per cent, compared with $2,604 million in 2010-2011. Other resources are projected at $6,150 million, reflecting an increase of $381 million, or 6.6 per cent, compared with $5,769 million in 2010-2011, and total trust funds are projected at $2,841 million, reflecting an increase of $795 million, or 38.9 per cent, compared with the total of $2,046 million for 2010-2011.","4. Income from regular resources, mostly contributions, is estimated at $2,129 million for the biennium 2012-2013, reflecting an increase of $138 million, or 6.9 per cent compared with $1,991 million for the biennium 2010-2011. Income from other resources is estimated at $4,362 million, reflecting an increase of $333 million, or 8.3 per cent compared with $4,029 million in 2010-2011. Trust fund receipts are projected at $2,393 million, reflecting an increase of $594.8 million, or 34 per cent compared with 2010-2011. As regards the use of resources, the total resources proposed for the 2012-2013 biennium is $9,407 million, of which $8,441 million will be used for programmes and $966 million for the institutional budget (see also paragraphs 24-26 below).","II. Proposed institutional budget for 2012-2013","5. The Advisory Committee notes that according to the new cost classification, the budget for development effectiveness, United Nations development coordination activities, management activities, and special purpose activities is now referred to as the institutional budget. It is based on the results-based budgeting approach and is presented in the new cost classification format as indicated in paragraph 2 above. The definitions for the terminology of the above cost categories are provided in annex 8 of the institutional budget report.","6. The proposed institutional budget for the 2012-2013 biennium amounts to $966 million, which represents a decrease of $54.1 million, or 5.3 per cent, compared with the combined biennial support budget and security budget of $1,020.1 million for 2010-2011. The volume decreases amount to $43.4 million, which is partially offset by volume increases amounting to $33.1 million and an amount of $7 million due to adjustments for staff costs, exchange rates and inflation. The decrease is also due to one time costs for investment projects amounting to $36.9 million and one time security costs in the amount of $13.9 million, which were undertaken in 2010-2011 and will not be undertaken in 2012-2013.","7. The volume decreases of $43.4 million mainly comprised the operational efficiencies, cost reductions and value-for-money measures resulting from a review of operational costs, particularly international travel, conferences and meetings, as well as the deferral of the purchase of transport equipment and a reduction in the use of consultants. Savings are also expected from the increased use of common premises and common administrative services. UNICEF expects that the above-mentioned initiatives will translate into decreases of $28.8 million at headquarters and $5 million in the field offices (ibid., paragraphs 46-47). Furthermore, the Advisory Committee was informed that UNICEF regional offices were being encouraged to look into the possibility of establishing or expanding multi-country service centres to generate economies of scale, reduce transactional costs and ensure consistent operations support to country offices (see also paragraph 20 below). The Advisory Committee welcomes the organization-wide efforts made by UNICEF to achieve cost reductions by re-examining existing operational activities and maximizing the use of new technologies. The Committee also encourages the use of common premises and common services, which should yield efficiencies and savings.","8. The Advisory Committee was also informed that, in the preparation of the 2012-2013 budget, particular attention had been paid to the correct attribution of costs — the identification of costs for activities funded from other sources — and that was expected to generate decreases of $5.1 million (ibid., paragraph 51); while the scaling back on recruitment activities of the New and Emerging Talent Initiative, so as to assess its effectiveness, was expected to generate savings of $4.5 million (ibid., paragraph 52).","9. The volume decreases are partially offset by increases of $33.1 million, mainly in the areas of global cluster coordination ($3 million); strengthening the presence of UNICEF in the newly independent Republic of South Sudan ($2.5 million); strengthening corporate oversight and assurance activities through the establishment of two additional posts in the Office of Internal Audit ($0.6 million); strengthening human resources management ($3.5 million); strengthening corporate and oversight assurance activities ($0.6 million); the adoption of the International Public Sector Accounting Standards (IPSAS) ($3.2 million); and supporting talent management initiatives ($1 million). Additional increases are expected from the implementation of the VISION (Virtual Integrated System of Information) enterprise resource planning (ERP) system — further explained in paragraph 11 below ($10.2 million); and the cost of development of a single organizational technology platform for the organization ($9.1 million).","10. Overall, the Advisory Committee welcomes the progress made by UNICEF to improve its budget presentation, including the results-based budgeting framework and incorporation of the new cost classifications. Within the context of the harmonized approach with UNDP and UNFPA, the Committee encourages further efforts to improve the presentation. In particular, while the Advisory Committee appreciates that the utilization of tables and other means of presentation renders the budget more succinct, it is of the opinion that additional information is required in the narrative. The Committee requests that future budget proposals should provide such detail. While supporting the overall proposals made by the Executive Director, in the paragraphs below, the Committee provides further comments on some specific initiatives.","III. Specific comments and observations","VISION enterprise resource planning (ERP) and performance management system","11. The Advisory Committee was informed that UNICEF was on course to implement VISION at all its locations on 1 January 2012. According to the representatives of the Executive Director, VISION, which is a global SAP-based ERP system, is expected to have a major impact in the way UNICEF operates in all of its offices. Its main components are an SAP-based central application system and a performance management platform. These systems will support and facilitate implementation of organizational improvements in four results areas: improved accountability and effective risk management; programme excellence; operations performance; and effective resource planning and implementation. The systems — which will replace the existing headquarters-based SAP ERP system and the field-based Programme Manager System (ProMS) — will also deliver a web-based performance management information system for monitoring and reporting on core financial and results-based information across the worldwide operations of UNICEF both globally and in real-time.","12. The Committee was also informed that significant investment had already gone into the preparation of the required system functionality for regional and country offices in addition to pilot phases being implemented in a small number of country offices. The preparations included design; guidance and training; communication and monitoring; as well as the improvement of bandwidth and communication capabilities. The Committee was further informed that the estimated cost from the biennium 2008-2009 to the end of 2010-2011 was $37.1 million. It was also explained that, after the implementation of the system in January 2012, significant challenges were anticipated as new users were introduced to the system and to the improved business processes. The system would therefore require technical and advisory support, hence the provision of $10.2 million for VISION implementation in the institutional budget for 2012-2013.","13. The Advisory Committee commends UNICEF for the progress made towards the implementation of a fully integrated global resource management system with enhanced performance management capabilities. The Committee trusts that UNICEF’s experience in the implementation of this system will be shared with other organizations.","IPSAS post-implementation strategy","14. The Advisory Committee recalls that the adoption of IPSAS was approved by the General Assembly in its resolution 60/283 (2006) and by the UNICEF Executive Board in its decision 2007/10 in order to achieve the benefits of improved transparency and accountability. The Committee further recalls that, in order to achieve greater harmonization with other United Nations funds and programmes, an extensive review was undertaken in consultation with other agencies leading to the amendment of the Financial Regulations and Rules of UNICEF to accommodate full accrual based accounting as required by IPSAS. The Advisory Committee’s comments and recommendations on the proposed amendments are contained in its separate report, which will be before the Executive Board at its next session.","15. During its consideration of the 2012-2013 budget, the Advisory Committee was informed that UNICEF was on track for the implementation of IPSAS in January 2012. The Committee was further informed that, as part of its post-implementation strategy, UNICEF planned to maintain a small unit in the Division of Financial Management and Administration (DFAM) to provide advice and assistance, particularly in the areas of training and capacity-building. The representatives of the Executive Director explained that UNICEF did not consider it necessary to set up additional support structures because there was sufficient operational capacity to handle the implementation in the majority of its country offices, and that the implementation in the smaller offices would be supported from the regional offices. It was further explained that the existing capacity would be further strengthened through training, hence the allocation of $3.2 million in the 2012-2013 institutional budget to cover the cost of staff and consultants dedicated to IPSAS capacity-building activities. The Committee was also informed that the benefits of IPSAS would be more discernible after the initial period of implementation, as well as following the external auditors’ review and opinion on UNICEF’s 2012 financial statements to be provided in mid-2013. In addition, the lessons learned from the implementation exercise would inform the post-implementation strategy to be reflected in the 2014-2015 budget. The Advisory Committee reiterates its opinion that the implementation of IPSAS should, to the extent possible, be harmonized with that of the other United Nations organizations and that the lessons learned by UNICEF should be documented and similarly shared. In this regard, the Committee draws attention to the IPSAS global shared service centre approach being considered by UNDP, which UNICEF should bear in mind if it considers changing its present strategy.","Global cluster coordination","16. During its consideration of the proposed budget, the Advisory Committee was informed that, a global cluster approach had been put in place to ensure predictable leadership and accountability in all the main sectors or areas of humanitarian response and to strengthen system-wide preparedness and technical capacity to respond to humanitarian emergencies. In that regard, cluster lead agencies had been designated for all key humanitarian response sectors, with UNICEF being assigned the global leadership role for the water, sanitation and hygiene (WASH) and nutrition clusters; the global co-leadership role for the education cluster, with the International Save the Children Alliance; within the global protection cluster, the leadership role for the child protection area of responsibility, and, jointly with UNFPA, the co-leadership role for the gender-based violence area of responsibility.","17. The Advisory Committee notes that, in 2010-2011, the funding and management of the cluster responsibilities of UNICEF was dispersed within UNICEF. In order to ensure better coordination and leadership, resources amounting to $3.5 million have now been allocated in the 2012-2013 institutional budget for the establishment of a global cluster coordination unit in Geneva, which is in close proximity to other humanitarian partners and the Inter-Agency Standing Committee secretariat. The allocation will cover the establishment of five posts (four Senior Coordinators and one Information Management post), in addition to other cluster coordination activities.","18. The Advisory Committee welcomes the demonstrated commitment of UNICEF by allocating resources to cluster coordination, including the establishment of a cluster coordination unit. The Committee is of the view that, where feasible, the financial responsibilities should be shared equitably among the participating organizations.","Proposed staffing changes","19. The Advisory Committee notes that resources amounting to an estimated $729.7 million in the 2012-2013 institutional budget have been allocated to posts (ibid., annex 5). A total of 2,919 posts are proposed for the biennium, reflecting a net decrease of 38 posts compared with 2,957 in the 2010-2011 biennium (ibid., annex 6). The changes comprise a net decrease of 4 posts at D-1 level; net increases of 14 international Professional posts and 3 National Officer posts; and a net decrease of 51 General Service posts. The Advisory Committee welcomes the clarity provided by the detailed organigramme, which facilitates a better understanding of the organizational structure and the proposed staffing changes. The Committee requests that it be included in future budget submissions.","20. The Advisory Committee notes that the above staffing changes will entail an overall reduction of 65 posts (1 D-1, 2 international Professional, and 62 other levels) at country office level. In addition, the Committee notes that 42 of the proposed post reductions in the other levels category are in the country offices of the Eastern and Southern Africa region. The significant decrease in posts in the support category is due in part to the strategic shift to strengthen the oversight and capacity of the regional offices, which has facilitated the simplification of business processes and the achievement of operational efficiencies in the country offices. As earlier explained in paragraph 11 above, the planned roll-out of VISION, as well as the enhancement of staff capacity through training, are key factors in the implementation of this strategy. The strategy will also include the establishment and expansion of multi-country operations service centres in the West and Central Africa region; and in the Latin America and the Caribbean region in order to achieve further efficiencies through the consolidation of operations. The Advisory Committee welcomes the efforts made by UNICEF to harness the benefits of available information technology to achieve greater efficiencies in the management of its resources and strengthen the support to its field offices. While the Committee does not object to the proposed post changes, it trusts that care has been taken to ensure that the reduction in posts will not adversely impact programme delivery at country office level.","21. The Advisory Committee notes the proposed establishment of 2 additional posts in the Office of Internal Audit to strengthen the audit and investigation function and to ensure that the requirements of the approved audit charter are met (see paragraph 9, above). It is the Committee’s view that the establishment of the posts should contribute to greater accountability and transparency.","22. Upon enquiry, the Advisory Committee was informed about the plans of UNICEF to allocate $1 million in the 2012-2013 institutional budget to support talent management initiatives, such as completing the transition to electronic performance management and recruitment through the use of e-PAS and e‑recruitment tools that were developed in 2010-2011. The Committee was informed that e-PAS, which currently serves only international staff, would be expanded to cover all staff. The Committee was further informed that UNICEF, rather than building its own system, has been using a system built by UNFPA for which it is contributing to the maintenance costs. It was indicated that the expansion of the system to cover all staff would entail an additional one-time cost for UNICEF to be met from within the above-mentioned allocation.","23. The Committee was also informed that the talent management initiatives included the development of a new rotation policy for international Professional staff, according to which certain functional groups such as deputy representatives and health officers would be subject to a managed rotation. The Committee was informed that presently, managed rotation was being applied only to heads of office. The Committee was further informed that a pilot rotation exercise, which had been launched in 2010, was currently under review and would inform the new rotation policy. The resources proposed in the budget would cover its final design and implementation, along with the career development and talent management system of UNICEF, as part of a coherent human resources management system. The Advisory Committee notes the initiative taken by UNICEF to expand the scope of its existing staff rotation policy as an element in the development of a more coherent human resources management system. The Committee trusts that the experience of UNICEF in this regard will be shared with other agencies.","Cost Recovery","24. The Advisory Committee notes that actual cost recoveries in the 2008-2009 period amounted to $320.3 million, representing an average recovery rate of 6.7 per cent on total programme assistance funded by other resources. For the same period, the Committee notes that 36 per cent of the total institutional budget was funded from cost recoveries, which ensured that regular resources were not used to subsidize support costs for programme assistance funded by other resources. As indicated in annex II of the present report, $338 million, or 35 per cent of the total institutional budget for the 2012-2013 biennium, is projected to be funded through cost recoveries, an increase from the 24 per cent budgeted for 2010-2011.","25. The Committee further notes that a review undertaken jointly by UNICEF, UNDP and UNFPA in response to the UNICEF Executive Board decision 2011/6 has confirmed that the revised cost definitions and classification of activities have no impact on cost recovery and thus necessitated no changes in the cost recovery methodology to be applied for the 2012-2013 biennium. It is indicated that the current rates and methodology will again be reviewed jointly with UNDP and UNFPA in 2013, within the context of the new integrated budget for 2014, at which time any changes, if necessary, would likely be made.","26. The Advisory Committee welcomes the positive trend by which an increasing percentage of the institutional budget is being funded from cost recovery. The Committee encourages the joint efforts by UNICEF, UNDP and UNFPA to determine future cost recovery methodology and rates. It looks forward to receiving further information in this regard.","Annex I","Resource plan (In millions of United States dollars)","2010-2011 2012-2013\n Regular Other Trust Total % Regular Other Trust Total % resources resources funds resources resources resources funds resources","1. Resources available","Opening balance 613.0 1 740.0 303.0 2 656.0 — 580.0 1 788.0 448.0 2 816.0 —","Income","Contributions 1 833.8 4 008.8 — 5 842.6 — 2 011.0 4 343.0 — 6 354.0 —","Other income and 157.2 20.2 — 177.4 — 118.0 19.0 55.2 192.2 — reimbursements^(a)","Total Income 1 991.0 4 029.0 6 020.0 — 2 129.0 4 362.0 55.2 6 546.2 —","Trust funds — — 1 743.0 1 743.0 — 2 337.8 2 337.8 —","Total available 2 604.0 5 769.0 2 046.0 10 419.0 — 2 709.0 6 150.0 2 841.0 11 700.0 —","2. Use of resources","A. Development activities","A.1 Programmes 1 630.4 3 875.4 1 956.0 7 461.8 88.0 1 594.0 4 469.0 2 378.0 8 441.0 89.8","A.2 Development 188.5 77.2 — 265.7 3.1 159.6 91.8 5.0 256.4 2.7 effectiveness","Subtotal development 1 818.9 3 952.6 1 956.0 7 727.5 91.1 1 753.6 4 560.8 2 383.0 8 697.4 92.5 activities","B. United Nations 0.6 — — 0.6 0.0 3.5 — — 3.5 0.0 development coordination activities","C. Management activities","C.1 Recurring costs 533.6 169.4 — 703.0 8.3 444.6 238.0 — 682.6 7.3","C.2 Non-recurring costs 13.9 — — 13.9 0.2 1.0 3.2 — 4.2 0.0 b/","Subtotal management 547.5 169.4 — 716.9 8.5 445.6 241.2 — 686.8 7.3 activities","Total institutional 773.5 246.6 - 1 020.1 12.0 628.0 333.0 5.0 966.0 10.3 budget (A.2 + B + C + D)","Total use of resources (A 2 403.9 4 122.0 1 956.0 8 481.9 100.0 2 222.0 4 802.0 2 383.0 9 407.0 100.0 + B + C + D)","3. Projected balance of 200.1 1647.0 90.0 1937.1 - 487.0 1 348.0 458.0 2 293.0 - resources^(c)","4. Updated balances of 580.0 1 788.0 448.0 2 816.0 — resources^(d)","^(a) Includes interest, miscellaneous income and offset to the institutional budget.","^(b) 2010-2011: Security allocation approved by the Executive Board in 2008.","^(c) Projected balance of resources represents revised medium-term financial plan total cash balance before the funded reserves (for after-service health insurance, capital assets, separation fund and procurement services).","^(d) Balance of resources for 2010-2011 has been updated to include actual and projected changes in income and expenditure.","Annex II","Analysis of Trends and Ratios of Support budget — 1998 to 2011","(In millions of United States dollars)","PLANNED 98-99 00-01 02-03 04-05 06-07 08-09 10-11 1/ 12-13","Biennial Support Budget 527.5 545.5 574.2 701.9 757.4 912.8 1,020.1 966.0 (BSB)","BSB From Regular 493.6 477.7 485.9 545.5 567.4 689.8 773.5 628.0 resources","94% 88% 85% 78% 75% 76% 76% 65%","BSB From OR and other 33.9 67.8 88.3 156.4 190.0 223.0 246.6 338.0 Recoveries","6% 12% 15% 22% 25% 24% 24% 35%","Total Regular Resources 1122.5 1247.7 1147.9 1424.5 1658.6 2355.4 2403.9 2222.0","% of total RR used for 56% 62% 58% 62% 66% 71% 68% 72% Programmes","% of total RR used for 44% 38% 42% 38% 34% 29% 32% 28% BSB","1/ Revised to include 2010-2011 Security allocation approved by the Executive Board approved in 2008.","ACTUAL 98-99 00-01 02-03 04-05 06-07 08-09","Actual BSB Expenditures 507.5 521.9 568.9 682.2 739.0 892.5","Actual BSB From Regular 465.0 437.6 466.1 481.3 468.3 572.2 resources","92% 84% 82% 71% 62% 64%","BSB From OR and other 42.5 84.3 102.7 200.9 270.7 320.3 Recoveries","8% 16% 18% 29% 38% 36%","Total Regular Resources 1065.1 1178.0 1206.0 1365.0 1745.0 2087.8","% of total RR used for 56% 63% 61% 65% 73% 73% Programmes","% of total RR used for 44% 37% 39% 35% 27% 27% BSB","[1] * E/ICEF/2011/13."],"string":"[\n \"United Nations Children’s Fund\",\n \"Executive Board\",\n \"Second regular session 2011\",\n \"12-15 September 2011\",\n \"Item 8 of the provisional agenda[1]\",\n \"United Nations Children’s Fund\",\n \"UNICEF institutional budget for 2012-2013\",\n \"Report of the Advisory Committee on Administrative and Budgetary Questions\",\n \"I. Introduction\",\n \"1. The Advisory Committee on Administrative and Budgetary Questions has considered an advance version of the report of the Executive Director of the United Nations Children’s Fund (UNICEF) on the proposed institutional budget for the 2012-2013 biennium (E/ICEF/2011/AB/L.2). During its consideration of the report, the Advisory Committee met with the Deputy Executive Director and other representatives, who provided additional information and clarifications.\",\n \"Format and presentation\",\n \"2. The Advisory Committee recalls that in 2010 the Executive Boards of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) approved the proposals that were presented in a joint report of the three organizations entitled, “Road map to an integrated budget: cost classification and results-based budgeting”. The report was the culmination of a review of existing cost definitions and classification of activities and associated costs, as well as results-based budgeting models and methodologies of selected United Nations organizations and bilateral donors, in order to identify best practices. The three organizations agreed to work together for greater harmonization and improvement in the presentation of the biennial support budget for 2012-2013, and also work towards the presentation of a single, integrated budget for each organization beginning in 2014. The Advisory Committee notes that in accordance with decision 2011/6 of the UNICEF Executive Board, the 2012-2013 institutional budget has been prepared following the results-based approach and is presented in the new cost classification format agreed upon by UNICEF, UNDP and UNFPA. The budget therefore represents an important milestone on the roadmap to the implementation of the fully integrated budget in 2014.\",\n \"Projected resources\",\n \"3. According to the resource plan summarized in annex I of the present document, the total projected resources from regular resources, other resources and trust funds for the biennium 2012-2013, including an opening balance of $2,816 million, amount to $11,700 million, reflecting an increase of $1,281 million, or 12.3 per cent, compared with the total planned resources of $10,419 million for 2010-2011. For 2012-2013, total regular resources are projected at $2,709 million, reflecting an increase of $105 million, or 4 per cent, compared with $2,604 million in 2010-2011. Other resources are projected at $6,150 million, reflecting an increase of $381 million, or 6.6 per cent, compared with $5,769 million in 2010-2011, and total trust funds are projected at $2,841 million, reflecting an increase of $795 million, or 38.9 per cent, compared with the total of $2,046 million for 2010-2011.\",\n \"4. Income from regular resources, mostly contributions, is estimated at $2,129 million for the biennium 2012-2013, reflecting an increase of $138 million, or 6.9 per cent compared with $1,991 million for the biennium 2010-2011. Income from other resources is estimated at $4,362 million, reflecting an increase of $333 million, or 8.3 per cent compared with $4,029 million in 2010-2011. Trust fund receipts are projected at $2,393 million, reflecting an increase of $594.8 million, or 34 per cent compared with 2010-2011. As regards the use of resources, the total resources proposed for the 2012-2013 biennium is $9,407 million, of which $8,441 million will be used for programmes and $966 million for the institutional budget (see also paragraphs 24-26 below).\",\n \"II. Proposed institutional budget for 2012-2013\",\n \"5. The Advisory Committee notes that according to the new cost classification, the budget for development effectiveness, United Nations development coordination activities, management activities, and special purpose activities is now referred to as the institutional budget. It is based on the results-based budgeting approach and is presented in the new cost classification format as indicated in paragraph 2 above. The definitions for the terminology of the above cost categories are provided in annex 8 of the institutional budget report.\",\n \"6. The proposed institutional budget for the 2012-2013 biennium amounts to $966 million, which represents a decrease of $54.1 million, or 5.3 per cent, compared with the combined biennial support budget and security budget of $1,020.1 million for 2010-2011. The volume decreases amount to $43.4 million, which is partially offset by volume increases amounting to $33.1 million and an amount of $7 million due to adjustments for staff costs, exchange rates and inflation. The decrease is also due to one time costs for investment projects amounting to $36.9 million and one time security costs in the amount of $13.9 million, which were undertaken in 2010-2011 and will not be undertaken in 2012-2013.\",\n \"7. The volume decreases of $43.4 million mainly comprised the operational efficiencies, cost reductions and value-for-money measures resulting from a review of operational costs, particularly international travel, conferences and meetings, as well as the deferral of the purchase of transport equipment and a reduction in the use of consultants. Savings are also expected from the increased use of common premises and common administrative services. UNICEF expects that the above-mentioned initiatives will translate into decreases of $28.8 million at headquarters and $5 million in the field offices (ibid., paragraphs 46-47). Furthermore, the Advisory Committee was informed that UNICEF regional offices were being encouraged to look into the possibility of establishing or expanding multi-country service centres to generate economies of scale, reduce transactional costs and ensure consistent operations support to country offices (see also paragraph 20 below). The Advisory Committee welcomes the organization-wide efforts made by UNICEF to achieve cost reductions by re-examining existing operational activities and maximizing the use of new technologies. The Committee also encourages the use of common premises and common services, which should yield efficiencies and savings.\",\n \"8. The Advisory Committee was also informed that, in the preparation of the 2012-2013 budget, particular attention had been paid to the correct attribution of costs — the identification of costs for activities funded from other sources — and that was expected to generate decreases of $5.1 million (ibid., paragraph 51); while the scaling back on recruitment activities of the New and Emerging Talent Initiative, so as to assess its effectiveness, was expected to generate savings of $4.5 million (ibid., paragraph 52).\",\n \"9. The volume decreases are partially offset by increases of $33.1 million, mainly in the areas of global cluster coordination ($3 million); strengthening the presence of UNICEF in the newly independent Republic of South Sudan ($2.5 million); strengthening corporate oversight and assurance activities through the establishment of two additional posts in the Office of Internal Audit ($0.6 million); strengthening human resources management ($3.5 million); strengthening corporate and oversight assurance activities ($0.6 million); the adoption of the International Public Sector Accounting Standards (IPSAS) ($3.2 million); and supporting talent management initiatives ($1 million). Additional increases are expected from the implementation of the VISION (Virtual Integrated System of Information) enterprise resource planning (ERP) system — further explained in paragraph 11 below ($10.2 million); and the cost of development of a single organizational technology platform for the organization ($9.1 million).\",\n \"10. Overall, the Advisory Committee welcomes the progress made by UNICEF to improve its budget presentation, including the results-based budgeting framework and incorporation of the new cost classifications. Within the context of the harmonized approach with UNDP and UNFPA, the Committee encourages further efforts to improve the presentation. In particular, while the Advisory Committee appreciates that the utilization of tables and other means of presentation renders the budget more succinct, it is of the opinion that additional information is required in the narrative. The Committee requests that future budget proposals should provide such detail. While supporting the overall proposals made by the Executive Director, in the paragraphs below, the Committee provides further comments on some specific initiatives.\",\n \"III. Specific comments and observations\",\n \"VISION enterprise resource planning (ERP) and performance management system\",\n \"11. The Advisory Committee was informed that UNICEF was on course to implement VISION at all its locations on 1 January 2012. According to the representatives of the Executive Director, VISION, which is a global SAP-based ERP system, is expected to have a major impact in the way UNICEF operates in all of its offices. Its main components are an SAP-based central application system and a performance management platform. These systems will support and facilitate implementation of organizational improvements in four results areas: improved accountability and effective risk management; programme excellence; operations performance; and effective resource planning and implementation. The systems — which will replace the existing headquarters-based SAP ERP system and the field-based Programme Manager System (ProMS) — will also deliver a web-based performance management information system for monitoring and reporting on core financial and results-based information across the worldwide operations of UNICEF both globally and in real-time.\",\n \"12. The Committee was also informed that significant investment had already gone into the preparation of the required system functionality for regional and country offices in addition to pilot phases being implemented in a small number of country offices. The preparations included design; guidance and training; communication and monitoring; as well as the improvement of bandwidth and communication capabilities. The Committee was further informed that the estimated cost from the biennium 2008-2009 to the end of 2010-2011 was $37.1 million. It was also explained that, after the implementation of the system in January 2012, significant challenges were anticipated as new users were introduced to the system and to the improved business processes. The system would therefore require technical and advisory support, hence the provision of $10.2 million for VISION implementation in the institutional budget for 2012-2013.\",\n \"13. The Advisory Committee commends UNICEF for the progress made towards the implementation of a fully integrated global resource management system with enhanced performance management capabilities. The Committee trusts that UNICEF’s experience in the implementation of this system will be shared with other organizations.\",\n \"IPSAS post-implementation strategy\",\n \"14. The Advisory Committee recalls that the adoption of IPSAS was approved by the General Assembly in its resolution 60/283 (2006) and by the UNICEF Executive Board in its decision 2007/10 in order to achieve the benefits of improved transparency and accountability. The Committee further recalls that, in order to achieve greater harmonization with other United Nations funds and programmes, an extensive review was undertaken in consultation with other agencies leading to the amendment of the Financial Regulations and Rules of UNICEF to accommodate full accrual based accounting as required by IPSAS. The Advisory Committee’s comments and recommendations on the proposed amendments are contained in its separate report, which will be before the Executive Board at its next session.\",\n \"15. During its consideration of the 2012-2013 budget, the Advisory Committee was informed that UNICEF was on track for the implementation of IPSAS in January 2012. The Committee was further informed that, as part of its post-implementation strategy, UNICEF planned to maintain a small unit in the Division of Financial Management and Administration (DFAM) to provide advice and assistance, particularly in the areas of training and capacity-building. The representatives of the Executive Director explained that UNICEF did not consider it necessary to set up additional support structures because there was sufficient operational capacity to handle the implementation in the majority of its country offices, and that the implementation in the smaller offices would be supported from the regional offices. It was further explained that the existing capacity would be further strengthened through training, hence the allocation of $3.2 million in the 2012-2013 institutional budget to cover the cost of staff and consultants dedicated to IPSAS capacity-building activities. The Committee was also informed that the benefits of IPSAS would be more discernible after the initial period of implementation, as well as following the external auditors’ review and opinion on UNICEF’s 2012 financial statements to be provided in mid-2013. In addition, the lessons learned from the implementation exercise would inform the post-implementation strategy to be reflected in the 2014-2015 budget. The Advisory Committee reiterates its opinion that the implementation of IPSAS should, to the extent possible, be harmonized with that of the other United Nations organizations and that the lessons learned by UNICEF should be documented and similarly shared. In this regard, the Committee draws attention to the IPSAS global shared service centre approach being considered by UNDP, which UNICEF should bear in mind if it considers changing its present strategy.\",\n \"Global cluster coordination\",\n \"16. During its consideration of the proposed budget, the Advisory Committee was informed that, a global cluster approach had been put in place to ensure predictable leadership and accountability in all the main sectors or areas of humanitarian response and to strengthen system-wide preparedness and technical capacity to respond to humanitarian emergencies. In that regard, cluster lead agencies had been designated for all key humanitarian response sectors, with UNICEF being assigned the global leadership role for the water, sanitation and hygiene (WASH) and nutrition clusters; the global co-leadership role for the education cluster, with the International Save the Children Alliance; within the global protection cluster, the leadership role for the child protection area of responsibility, and, jointly with UNFPA, the co-leadership role for the gender-based violence area of responsibility.\",\n \"17. The Advisory Committee notes that, in 2010-2011, the funding and management of the cluster responsibilities of UNICEF was dispersed within UNICEF. In order to ensure better coordination and leadership, resources amounting to $3.5 million have now been allocated in the 2012-2013 institutional budget for the establishment of a global cluster coordination unit in Geneva, which is in close proximity to other humanitarian partners and the Inter-Agency Standing Committee secretariat. The allocation will cover the establishment of five posts (four Senior Coordinators and one Information Management post), in addition to other cluster coordination activities.\",\n \"18. The Advisory Committee welcomes the demonstrated commitment of UNICEF by allocating resources to cluster coordination, including the establishment of a cluster coordination unit. The Committee is of the view that, where feasible, the financial responsibilities should be shared equitably among the participating organizations.\",\n \"Proposed staffing changes\",\n \"19. The Advisory Committee notes that resources amounting to an estimated $729.7 million in the 2012-2013 institutional budget have been allocated to posts (ibid., annex 5). A total of 2,919 posts are proposed for the biennium, reflecting a net decrease of 38 posts compared with 2,957 in the 2010-2011 biennium (ibid., annex 6). The changes comprise a net decrease of 4 posts at D-1 level; net increases of 14 international Professional posts and 3 National Officer posts; and a net decrease of 51 General Service posts. The Advisory Committee welcomes the clarity provided by the detailed organigramme, which facilitates a better understanding of the organizational structure and the proposed staffing changes. The Committee requests that it be included in future budget submissions.\",\n \"20. The Advisory Committee notes that the above staffing changes will entail an overall reduction of 65 posts (1 D-1, 2 international Professional, and 62 other levels) at country office level. In addition, the Committee notes that 42 of the proposed post reductions in the other levels category are in the country offices of the Eastern and Southern Africa region. The significant decrease in posts in the support category is due in part to the strategic shift to strengthen the oversight and capacity of the regional offices, which has facilitated the simplification of business processes and the achievement of operational efficiencies in the country offices. As earlier explained in paragraph 11 above, the planned roll-out of VISION, as well as the enhancement of staff capacity through training, are key factors in the implementation of this strategy. The strategy will also include the establishment and expansion of multi-country operations service centres in the West and Central Africa region; and in the Latin America and the Caribbean region in order to achieve further efficiencies through the consolidation of operations. The Advisory Committee welcomes the efforts made by UNICEF to harness the benefits of available information technology to achieve greater efficiencies in the management of its resources and strengthen the support to its field offices. While the Committee does not object to the proposed post changes, it trusts that care has been taken to ensure that the reduction in posts will not adversely impact programme delivery at country office level.\",\n \"21. The Advisory Committee notes the proposed establishment of 2 additional posts in the Office of Internal Audit to strengthen the audit and investigation function and to ensure that the requirements of the approved audit charter are met (see paragraph 9, above). It is the Committee’s view that the establishment of the posts should contribute to greater accountability and transparency.\",\n \"22. Upon enquiry, the Advisory Committee was informed about the plans of UNICEF to allocate $1 million in the 2012-2013 institutional budget to support talent management initiatives, such as completing the transition to electronic performance management and recruitment through the use of e-PAS and e‑recruitment tools that were developed in 2010-2011. The Committee was informed that e-PAS, which currently serves only international staff, would be expanded to cover all staff. The Committee was further informed that UNICEF, rather than building its own system, has been using a system built by UNFPA for which it is contributing to the maintenance costs. It was indicated that the expansion of the system to cover all staff would entail an additional one-time cost for UNICEF to be met from within the above-mentioned allocation.\",\n \"23. The Committee was also informed that the talent management initiatives included the development of a new rotation policy for international Professional staff, according to which certain functional groups such as deputy representatives and health officers would be subject to a managed rotation. The Committee was informed that presently, managed rotation was being applied only to heads of office. The Committee was further informed that a pilot rotation exercise, which had been launched in 2010, was currently under review and would inform the new rotation policy. The resources proposed in the budget would cover its final design and implementation, along with the career development and talent management system of UNICEF, as part of a coherent human resources management system. The Advisory Committee notes the initiative taken by UNICEF to expand the scope of its existing staff rotation policy as an element in the development of a more coherent human resources management system. The Committee trusts that the experience of UNICEF in this regard will be shared with other agencies.\",\n \"Cost Recovery\",\n \"24. The Advisory Committee notes that actual cost recoveries in the 2008-2009 period amounted to $320.3 million, representing an average recovery rate of 6.7 per cent on total programme assistance funded by other resources. For the same period, the Committee notes that 36 per cent of the total institutional budget was funded from cost recoveries, which ensured that regular resources were not used to subsidize support costs for programme assistance funded by other resources. As indicated in annex II of the present report, $338 million, or 35 per cent of the total institutional budget for the 2012-2013 biennium, is projected to be funded through cost recoveries, an increase from the 24 per cent budgeted for 2010-2011.\",\n \"25. The Committee further notes that a review undertaken jointly by UNICEF, UNDP and UNFPA in response to the UNICEF Executive Board decision 2011/6 has confirmed that the revised cost definitions and classification of activities have no impact on cost recovery and thus necessitated no changes in the cost recovery methodology to be applied for the 2012-2013 biennium. It is indicated that the current rates and methodology will again be reviewed jointly with UNDP and UNFPA in 2013, within the context of the new integrated budget for 2014, at which time any changes, if necessary, would likely be made.\",\n \"26. The Advisory Committee welcomes the positive trend by which an increasing percentage of the institutional budget is being funded from cost recovery. The Committee encourages the joint efforts by UNICEF, UNDP and UNFPA to determine future cost recovery methodology and rates. It looks forward to receiving further information in this regard.\",\n \"Annex I\",\n \"Resource plan (In millions of United States dollars)\",\n \"2010-2011 2012-2013\\n Regular Other Trust Total % Regular Other Trust Total % resources resources funds resources resources resources funds resources\",\n \"1. Resources available\",\n \"Opening balance 613.0 1 740.0 303.0 2 656.0 — 580.0 1 788.0 448.0 2 816.0 —\",\n \"Income\",\n \"Contributions 1 833.8 4 008.8 — 5 842.6 — 2 011.0 4 343.0 — 6 354.0 —\",\n \"Other income and 157.2 20.2 — 177.4 — 118.0 19.0 55.2 192.2 — reimbursements^(a)\",\n \"Total Income 1 991.0 4 029.0 6 020.0 — 2 129.0 4 362.0 55.2 6 546.2 —\",\n \"Trust funds — — 1 743.0 1 743.0 — 2 337.8 2 337.8 —\",\n \"Total available 2 604.0 5 769.0 2 046.0 10 419.0 — 2 709.0 6 150.0 2 841.0 11 700.0 —\",\n \"2. Use of resources\",\n \"A. Development activities\",\n \"A.1 Programmes 1 630.4 3 875.4 1 956.0 7 461.8 88.0 1 594.0 4 469.0 2 378.0 8 441.0 89.8\",\n \"A.2 Development 188.5 77.2 — 265.7 3.1 159.6 91.8 5.0 256.4 2.7 effectiveness\",\n \"Subtotal development 1 818.9 3 952.6 1 956.0 7 727.5 91.1 1 753.6 4 560.8 2 383.0 8 697.4 92.5 activities\",\n \"B. United Nations 0.6 — — 0.6 0.0 3.5 — — 3.5 0.0 development coordination activities\",\n \"C. Management activities\",\n \"C.1 Recurring costs 533.6 169.4 — 703.0 8.3 444.6 238.0 — 682.6 7.3\",\n \"C.2 Non-recurring costs 13.9 — — 13.9 0.2 1.0 3.2 — 4.2 0.0 b/\",\n \"Subtotal management 547.5 169.4 — 716.9 8.5 445.6 241.2 — 686.8 7.3 activities\",\n \"Total institutional 773.5 246.6 - 1 020.1 12.0 628.0 333.0 5.0 966.0 10.3 budget (A.2 + B + C + D)\",\n \"Total use of resources (A 2 403.9 4 122.0 1 956.0 8 481.9 100.0 2 222.0 4 802.0 2 383.0 9 407.0 100.0 + B + C + D)\",\n \"3. Projected balance of 200.1 1647.0 90.0 1937.1 - 487.0 1 348.0 458.0 2 293.0 - resources^(c)\",\n \"4. Updated balances of 580.0 1 788.0 448.0 2 816.0 — resources^(d)\",\n \"^(a) Includes interest, miscellaneous income and offset to the institutional budget.\",\n \"^(b) 2010-2011: Security allocation approved by the Executive Board in 2008.\",\n \"^(c) Projected balance of resources represents revised medium-term financial plan total cash balance before the funded reserves (for after-service health insurance, capital assets, separation fund and procurement services).\",\n \"^(d) Balance of resources for 2010-2011 has been updated to include actual and projected changes in income and expenditure.\",\n \"Annex II\",\n \"Analysis of Trends and Ratios of Support budget — 1998 to 2011\",\n \"(In millions of United States dollars)\",\n \"PLANNED 98-99 00-01 02-03 04-05 06-07 08-09 10-11 1/ 12-13\",\n \"Biennial Support Budget 527.5 545.5 574.2 701.9 757.4 912.8 1,020.1 966.0 (BSB)\",\n \"BSB From Regular 493.6 477.7 485.9 545.5 567.4 689.8 773.5 628.0 resources\",\n \"94% 88% 85% 78% 75% 76% 76% 65%\",\n \"BSB From OR and other 33.9 67.8 88.3 156.4 190.0 223.0 246.6 338.0 Recoveries\",\n \"6% 12% 15% 22% 25% 24% 24% 35%\",\n \"Total Regular Resources 1122.5 1247.7 1147.9 1424.5 1658.6 2355.4 2403.9 2222.0\",\n \"% of total RR used for 56% 62% 58% 62% 66% 71% 68% 72% Programmes\",\n \"% of total RR used for 44% 38% 42% 38% 34% 29% 32% 28% BSB\",\n \"1/ Revised to include 2010-2011 Security allocation approved by the Executive Board approved in 2008.\",\n \"ACTUAL 98-99 00-01 02-03 04-05 06-07 08-09\",\n \"Actual BSB Expenditures 507.5 521.9 568.9 682.2 739.0 892.5\",\n \"Actual BSB From Regular 465.0 437.6 466.1 481.3 468.3 572.2 resources\",\n \"92% 84% 82% 71% 62% 64%\",\n \"BSB From OR and other 42.5 84.3 102.7 200.9 270.7 320.3 Recoveries\",\n \"8% 16% 18% 29% 38% 36%\",\n \"Total Regular Resources 1065.1 1178.0 1206.0 1365.0 1745.0 2087.8\",\n \"% of total RR used for 56% 63% 61% 65% 73% 73% Programmes\",\n \"% of total RR used for 44% 37% 39% 35% 27% 27% BSB\",\n \"[1] * E/ICEF/2011/13.\"\n]"},"record":{"kind":"string","value":"E_ICEF_2011_AB_L.3"},"zh2en":{"kind":"list like","value":["United Nations Children's Fund","The Executive Board","Second regular session 2009","12-15 September 2011","Item 8 of the provisional agenda","United Nations Children's Fund","Proposed institutional budget for the period 2012-2013","Report of the Advisory Committee on Administrative and Budgetary Questions","Introduction","The Advisory Committee on Administrative and Budgetary Questions considered the advance version of the proposed budget for the United Nations Children's Fund (UNICEF) Executive Board for the biennium 2012-2013 (E/ICEF/2009/AB/L.2). In its consideration of the report, the Advisory Committee met with the Deputy Executive Director and other representatives who provided further information and clarification.","Form and presentation","The Advisory Committee recalls that, in 2010, the Executive Board of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) approved its recommendations in the joint report entitled “Integrated Budget Road Map: Cost classification and results-based budgeting”. The present report has been prepared following a review of existing cost definitions, activities classification and associated costs and results-based budgeting patterns and methodologies for selected United Nations organizations and bilateral donors in order to identify best practices. The three organizations agreed to work together to strengthen coordination and improve the presentation of the biennial support budget for 2012-2013 and to work towards the development of a single integrated budget for each organization in 2004. The Advisory Committee notes that, in accordance with decision 2011/6 of the UNICEF Executive Board, the organizational budget for the period 2012-2013 is based on results-based approaches and is presented in the new cost classification format agreed upon by UNICEF, UNDP and UNFPA. The budget therefore represents an important milestone in the implementation of a fully integrated budget road map in 2014.","Resource projections","In accordance with the resource plan summarized in annex I to this document, resources for regular resources, other resources and trust funds are projected to amount to $117 million for the biennium 2012-2013, including an increase of $1,81 million or 12.3 per cent, compared to the total planned resources for 2010-2011 of $41.19 million. The total regular resources of $37.9 million in 2007 are projected to increase by $105 million or 4 per cent compared to $26.4 million in 2010-2011. Other resources are projected to amount to $615 million, reflecting an increase of $381 million or 6.6 per cent compared to $569 million in 2010-2011. The total trust fund is projected at $2841 million, an increase of $795 million or 38.9 per cent compared to $2046 million in 2010-2011.","The income of regular resources for the biennium 2012-2013 (mainly contributions) is estimated at $221.29 million, an increase of $138 million or 6.9 per cent compared to $191 million for the biennium 2010-2011. Other resources income is estimated at $436.2 million, reflecting an increase of $33.3 million or 8.3 per cent compared to $429 million in 2010-2011. Trust fund income is projected at $2393 million, an increase of $5948 million or 34 per cent over 2010-2011. With regard to the use of resources, the total proposed resources for the biennium 2012-2013 amounted to $987 million, of which $841 million would be used for programmes and $966 million for the institutional budget (see also paras. 24-26 below).","Proposed institutional budget for 2012-2013","The Advisory Committee notes that, according to the new cost classification, the institutional budget refers to the budget used for development effectiveness and United Nations development coordination activities, management activities and special-purpose activities. The budget is based on results-based approaches and is presented in the new cost classification format referred to in paragraph 2 above. The definition of the terms of reference for the above-mentioned cost classification is set out in annex 8 to the report on the budget of the institution.","The proposed institutional budget for the biennium 2012-2013 amounted to $966 million, representing a decrease of $54.1 million or 5.3 per cent compared to the biennial support budget and security budget of $120.1 million for 2010-2011. The decrease of $43.4 million was offset in part by an increase of $33.1 million and staff costs, exchange rates and inflation adjustments of $7 million. The decrease is due to the fact that the one-time investment project cost of $36.9 million in 2010-2011 and a one-time security cost of $13.9 million in 2012-2013.","The decrease of $43.4 million relates mainly to operational efficiency, cost reduction and financial effectiveness measures due to the review of operational costs, in particular international travel and conference costs; delays in the acquisition of transport equipment; and reduced use of consultants. In addition, increased use of common premises and common services is expected to cost savings. UNICEF expects that the above-mentioned initiatives will result in a decrease of $28.8 million at Headquarters and a decrease of $5 million in field offices (ibid., paras. In addition, the Committee was informed that it was encouraging the UNICEF regional offices to study the possibility of establishing or expanding multinational service centres to achieve economies of scale, reduce transaction costs and ensure sustained operational support to country offices (see also paragraph 20 below). The Advisory Committee welcomes the efforts of UNICEF to reduce costs through the review of existing operational activities and the use of new technologies to the extent possible. The Committee also encourages the use of common premises and common services, which will enhance efficiency and savings.","The Advisory Committee was informed that, in the preparation of the 2012-2013 budget, special attention was given to the correctness of costs — to determine the cost of activities funded from other sources of funding — and that a decrease of $5.1 million was expected (ibid., para. 51); and to reduce its recruitment activities to assess the impact of emerging talent initiatives, with a projected savings of $4.5 million (ibid., para.","The decrease was offset in part by an increase of $33.1 million, mainly in the area of coordination among the global cluster ($3 million); strengthening the presence of UNICEF in the newly independent Republic of South Sudan ($2.5 million); strengthening institutional oversight and security activities through the establishment of two posts in the Office of Internal Audit ($6 million); strengthening human resources management ($3.5 million); strengthening institutional oversight activities ($6.6 million); adoption of the International Public Sector Accounting Standards (IPSAS) ($3.2 million); support for talent management initiatives ($1 million). It is expected that the implementation of the VISION (Information virtual system) enterprise resource planning system will increase costs, further explaining paragraph 11 below ($10.2 million); and to develop a single organizational technical platform for the Organization ($9.1 million).","Overall, the Advisory Committee welcomes the progress made by UNICEF in improving the budget presentation, including the results-based budget framework and the inclusion of new cost classifications. In coordination with UNDP and UNFPA, the Committee encourages further efforts to improve the presentation. In particular, the Committee commends the use of tables and other presentation methods to make the budget more concise and considers that additional information should be provided in the presentation. The Committee requests that such a breakdown be provided in future budget proposals. The Committee supported most of the proposals of the Executive Director and made further comments on specific initiatives in the paragraphs below.","Specific comments and observations","VISION ERP system","The Advisory Committee was informed that on 1 January 2012 UNICEF implemented the VISION system at all locations. Some representatives of the Executive Director stated that VISION was based on a global enterprise resource planning system based on SAP and was expected to have a significant impact on the functioning of all UNICEF offices. The main part of the system is a central application system based on SAP and a performance management platform. These systems will support and assist in improving UNICEF work in four results areas: improved accountability and effective risk management; excellence programmes; operational performance; effective resource planning and implementation. These systems will replace the existing SAP enterprise resource planning system at Headquarters and programme managers in the field, and will provide web performance management information systems for monitoring and reporting on core financial and results information on the operation of UNICEF worldwide in real time.","The Committee was informed that significant investments had been made to prepare the necessary system functions for regional and country offices and to initiate pilots in a few country offices. Preparations include design, guidance and training, communication and monitoring and improved broadband and communication capacities. The Committee was also informed that costs for the period 2008-2009 to end 2010-2011 were estimated at $37.1 million. It was reported that, following the implementation of the system in January 2012, many challenges were expected, as new users used the system and improved business processes. Therefore, the system needs technical and advisory support to provide $10.2 million in the 2008-2009 institutional budget for the implementation of the VISION system.","The Advisory Committee commends the progress made by UNICEF in the implementation of a more robust and fully integrated global resource management system. The Committee trusts that UNICEF will share experiences with other organizations in the implementation of the system.","Post-implementation strategy","The Advisory Committee recalls that the adoption of IPSAS by the General Assembly in its resolution 60/283 (2006) and the UNICEF Executive Board in its decision 2007/10 was approved in order to achieve transparency and improve the benefits of accountability. The Committee also recalls that, in order to enhance coordination with other funds and programmes of the United Nations, a broad review was conducted in consultation with other agencies, with the ultimate revision of the UNICEF Financial Regulations and Rules to adapt to the full accountability required by IPSAS. The comments and recommendations of the Advisory Committee on the proposed amendments are contained in another report, which will be received by the Executive Board at its next session.","During its consideration of the 2012-2013 budget, the Advisory Committee was informed that UNICEF was ready to implement the Public Sector Accounting Standards in January 2012. The Committee was also informed that UNICEF planned to retain a small sector within the Finance and Administration Division (the Treasury Division) to provide advice and assistance, particularly in the area of training and capacity-building, as part of the UNICEF post-implementation strategy. The representatives of the Executive Director explained that UNICEF believed that there was no need for more support institutions, as most country offices had sufficient operational capacity to deal with implementation and that regional offices would support smaller offices in their implementation. They also explained that existing capacities would be further strengthened through training, and that a $3.2 million would be allocated in the 2008-2009 institutional budget to cover staff and consultants for capacity-building activities dedicated to IPSAS implementation. The Committee was also informed that the benefits of the IPSAS would be more pronounced after the implementation of IPSAS and the review by external auditors of the financial statements for 2012 to be submitted by UNICEF in mid-2013. In addition, the post-implementation strategy will draw on lessons learned from the implementation of the guidelines and will be reflected in the budget for 2009. The Advisory Committee reiterates its view that the implementation of IPSAS should be coordinated with other United Nations organizations as possible and that lessons learned should be recorded and shared with UNICEF. In this regard, the Committee draws attention to the approach of the Global Shared Services Centre under consideration by UNDP, which should be borne in mind if UNICEF considers changing the current strategy.","Global cluster coordination","During its consideration of the proposed budget, the Committee was informed that a global cluster approach had been developed to ensure predictable leadership and accountability in all key sectors or humanitarian response areas, and to strengthen system-wide preparations and technical capacity to respond to humanitarian emergencies. In this regard, a cluster-led body has been designated for all key humanitarian response sectors, and UNICEF has been designated as the global lead agency for the Water, Sanitation and Sanitation Cluster and the Nutrition Group; the International Save the Children Alliance as a global lead agency for the Education Group; the Global Protection Group as the lead agency in the area of child protection responsibility; and as a lead agency in the area of gender-based violence.","The Advisory Committee notes that funding and management of the responsibilities of UNICEF groups were allocated within UNICEF in 2010-2011. To ensure enhanced coordination and leadership, $3.5 million has been allocated in the institutional budget for the establishment of a global cluster coordination unit in Geneva, close to other humanitarian partners and the Inter-Agency Standing Committee secretariat. The allocation would cover the establishment of five posts (4 senior coordinators and one information management post) and other cluster coordination activities.","The Advisory Committee welcomes the commitment of UNICEF to allocate resources for cluster coordination, including the establishment of a Cluster Coordination Unit. In the Committee's view, if feasible, the participating organizations should share their economic responsibilities equitably.","Proposed staffing changes","The Committee notes that the amount allocated to posts in the 2008-2009 institutional budget is estimated at $729.7 million (ibid., annex 5). The proposed posts for the biennium total 2,919, representing a net decrease of 38 posts (ibid., annex 6). These changes include a net decrease of 4 D-1 posts; a net increase of 14 international Professional posts and three National Officers posts; and a net decrease of 51 General Service posts. The Advisory Committee welcomes the fact that the detailed organizational system table I would help to better understand organizational structure and proposed staffing changes. The Committee calls for the inclusion of the organizational chart in future budget reports.","The Advisory Committee notes that the above staffing changes would result in a total reduction of 65 posts at the country office level (1 D-1, 2 international Professional and 62 other level). The Committee also notes that 42 other categories of posts are proposed for the regional offices in East and South Africa. The significant reduction in support category posts is partly due to the shift in the strategy to strengthening the oversight and capacity of regional offices, which can help to streamline business processes and increase the operational efficiency of country offices. As noted in paragraph 11 above, the planned implementation of the VISION system and the strengthening of staff capacity through training are key elements for the implementation of this strategy. The strategy will also include the establishment and expansion of multinational operational services centres in West and Central Africa and Latin America and the Caribbean in order to enhance efficiency through merger operations. The Advisory Committee welcomes the efforts made by UNICEF to utilize the benefits of existing information technology to increase efficiency in resource management and enhance support for field offices. While the Committee did not object to the proposed changes in posts, it was considered that it was noted that ensuring that the reduction of posts would not negatively affect the country office delivery programme.","The Advisory Committee notes that two additional posts are proposed in the Office of Internal Audit to strengthen audit and investigation functions and to ensure compliance with the approved audit charter requirements (see para. In the Committee's view, the establishment of posts would enhance accountability and transparency.","Upon enquiry, the Advisory Committee was informed that UNICEF planned to allocate $1 million in the 2010-2011 institutional budget to support the talent management initiative, such as the completion of the transition to e performance management and the recruitment of electronic performance appraisal systems and electronic recruitment tools developed in 2010-2011. The Committee was informed that an electronic performance appraisal system currently serving international staff would be expanded to cover all staff. The Committee was also informed that UNICEF had not established its own system and had been using the system established by UNFPA and shared maintenance costs. It was noted that the expansion of the system to cover the one-time costs for all staff members from the above-mentioned allocation.","The Committee was also informed that the talent management initiative included the development of a new international professional rotation policy, whereby functional groups, such as deputy representatives and health officers, would be managed. The Committee was informed that the current management rotation applied only to the head of the Office. The Committee was also informed that the pilot rotation process initiated in 2010 was currently under review and that information would be provided for new rotation policies. The proposed resources in the budget will cover costs for the finalization and implementation of the policy and the cost of UNICEF career development and talent management systems, which are part of a coordinated human resources management system. The Advisory Committee notes that UNICEF has taken a number of initiatives to expand the scope of the existing staff rotation policy, which is an element of the development of a more coherent human resources management system. The Committee trusts that the experience of UNICEF will be shared with other agencies in this regard.","Cost recovery","The Advisory Committee notes that the actual cost recovery for the biennium 2008-2009 amounted to $303 million, representing an average recovery rate of 6.7 per cent in total programme assistance costs funded from other resources. In the same period, the Committee noted that 36 per cent of the overall budget of the institution had come from recovery costs, ensuring that regular resources were not used to subsidize programme support costs for other resources. As indicated in annex II to the present report, 35 per cent of the total budget of the institutions for the biennium 2012-2013 will be financed through cost recovery, an increase of 24 per cent over 2010-2011.","The Committee also notes that UNICEF, UNDP and UNFPA, in response to the joint review by the UNICEF Executive Board in its decision 2011/6, confirm that the revised cost definitions and activities are not affected by cost recovery and therefore that no change in cost recovery is required in the biennium 2012-2013. It was noted that the current rate and methodology would be reviewed again in 2013 in conjunction with UNDP and UNFPA, and in the context of the new integrated budget for 2004, at which time changes might be required.","The Committee welcomes the growing trend in the current institutional budget of funding for cost recovery. The Committee encourages UNICEF, UNDP and UNFPA to work together to identify future cost recovery options and rates, and looks forward to further information.","Annex I","Resource plans","(In millions of United States dollars)","[TABLE]","AD(a) includes interest, miscellaneous income and contributions to the institutional budget.","AD(b) 2010-2011: security allocations approved by the Executive Board in 2008.","lob (c) The total amount of the revised cash balances for the medium-term financial plan (for post-service health insurance, fixed assets, separation payments and procurement services) is expected to be recorded before the Fund's reserve.","AD(d) The resource balance for 2010-2011 has been updated to include actual and projected income and expenditure changes.","Annex II","Budget trends and ratio analysis, 1998-2011","(In millions of United States dollars)","Plan 98-99 00-01 02-03 04-05 06-07 08-09 10-111 12-13","The Executive Board","The Executive Board","The Executive Board","Total regular resources 1","Total regular resources for programmes account for 56 per cent, 52 per cent, 62 per cent 64 per cent, 76 per cent 61 per cent","Total regular resources for the biennial support budget of 44%,38 per cent, 32 per cent 32 per cent","The revised budget includes the 2010-2011 security allocation approved by the Executive Board in 2008.","Real 98-99 00-01 02-03 04-05 06-07 08-09","Actual expenditures for the biennial support budget 507.521.9 568.9 682.2 739.0892.5","The actual biennial support budget, 465.0 437.6 466.1 481.3 468.3,462,72 per cent 82 per cent, 71 per cent, 62 per cent","Subprogramme 3","Total regular resources 1,065.1","Percentage of total regular resources for programmes 56 per cent,63 per cent 61 per cent","Total regular resources for the biennial support budget","E/ICEF/2005/10."],"string":"[\n \"United Nations Children's Fund\",\n \"The Executive Board\",\n \"Second regular session 2009\",\n \"12-15 September 2011\",\n \"Item 8 of the provisional agenda\",\n \"United Nations Children's Fund\",\n \"Proposed institutional budget for the period 2012-2013\",\n \"Report of the Advisory Committee on Administrative and Budgetary Questions\",\n \"Introduction\",\n \"The Advisory Committee on Administrative and Budgetary Questions considered the advance version of the proposed budget for the United Nations Children's Fund (UNICEF) Executive Board for the biennium 2012-2013 (E/ICEF/2009/AB/L.2). In its consideration of the report, the Advisory Committee met with the Deputy Executive Director and other representatives who provided further information and clarification.\",\n \"Form and presentation\",\n \"The Advisory Committee recalls that, in 2010, the Executive Board of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) approved its recommendations in the joint report entitled “Integrated Budget Road Map: Cost classification and results-based budgeting”. The present report has been prepared following a review of existing cost definitions, activities classification and associated costs and results-based budgeting patterns and methodologies for selected United Nations organizations and bilateral donors in order to identify best practices. The three organizations agreed to work together to strengthen coordination and improve the presentation of the biennial support budget for 2012-2013 and to work towards the development of a single integrated budget for each organization in 2004. The Advisory Committee notes that, in accordance with decision 2011/6 of the UNICEF Executive Board, the organizational budget for the period 2012-2013 is based on results-based approaches and is presented in the new cost classification format agreed upon by UNICEF, UNDP and UNFPA. The budget therefore represents an important milestone in the implementation of a fully integrated budget road map in 2014.\",\n \"Resource projections\",\n \"In accordance with the resource plan summarized in annex I to this document, resources for regular resources, other resources and trust funds are projected to amount to $117 million for the biennium 2012-2013, including an increase of $1,81 million or 12.3 per cent, compared to the total planned resources for 2010-2011 of $41.19 million. The total regular resources of $37.9 million in 2007 are projected to increase by $105 million or 4 per cent compared to $26.4 million in 2010-2011. Other resources are projected to amount to $615 million, reflecting an increase of $381 million or 6.6 per cent compared to $569 million in 2010-2011. The total trust fund is projected at $2841 million, an increase of $795 million or 38.9 per cent compared to $2046 million in 2010-2011.\",\n \"The income of regular resources for the biennium 2012-2013 (mainly contributions) is estimated at $221.29 million, an increase of $138 million or 6.9 per cent compared to $191 million for the biennium 2010-2011. Other resources income is estimated at $436.2 million, reflecting an increase of $33.3 million or 8.3 per cent compared to $429 million in 2010-2011. Trust fund income is projected at $2393 million, an increase of $5948 million or 34 per cent over 2010-2011. With regard to the use of resources, the total proposed resources for the biennium 2012-2013 amounted to $987 million, of which $841 million would be used for programmes and $966 million for the institutional budget (see also paras. 24-26 below).\",\n \"Proposed institutional budget for 2012-2013\",\n \"The Advisory Committee notes that, according to the new cost classification, the institutional budget refers to the budget used for development effectiveness and United Nations development coordination activities, management activities and special-purpose activities. The budget is based on results-based approaches and is presented in the new cost classification format referred to in paragraph 2 above. The definition of the terms of reference for the above-mentioned cost classification is set out in annex 8 to the report on the budget of the institution.\",\n \"The proposed institutional budget for the biennium 2012-2013 amounted to $966 million, representing a decrease of $54.1 million or 5.3 per cent compared to the biennial support budget and security budget of $120.1 million for 2010-2011. The decrease of $43.4 million was offset in part by an increase of $33.1 million and staff costs, exchange rates and inflation adjustments of $7 million. The decrease is due to the fact that the one-time investment project cost of $36.9 million in 2010-2011 and a one-time security cost of $13.9 million in 2012-2013.\",\n \"The decrease of $43.4 million relates mainly to operational efficiency, cost reduction and financial effectiveness measures due to the review of operational costs, in particular international travel and conference costs; delays in the acquisition of transport equipment; and reduced use of consultants. In addition, increased use of common premises and common services is expected to cost savings. UNICEF expects that the above-mentioned initiatives will result in a decrease of $28.8 million at Headquarters and a decrease of $5 million in field offices (ibid., paras. In addition, the Committee was informed that it was encouraging the UNICEF regional offices to study the possibility of establishing or expanding multinational service centres to achieve economies of scale, reduce transaction costs and ensure sustained operational support to country offices (see also paragraph 20 below). The Advisory Committee welcomes the efforts of UNICEF to reduce costs through the review of existing operational activities and the use of new technologies to the extent possible. The Committee also encourages the use of common premises and common services, which will enhance efficiency and savings.\",\n \"The Advisory Committee was informed that, in the preparation of the 2012-2013 budget, special attention was given to the correctness of costs — to determine the cost of activities funded from other sources of funding — and that a decrease of $5.1 million was expected (ibid., para. 51); and to reduce its recruitment activities to assess the impact of emerging talent initiatives, with a projected savings of $4.5 million (ibid., para.\",\n \"The decrease was offset in part by an increase of $33.1 million, mainly in the area of coordination among the global cluster ($3 million); strengthening the presence of UNICEF in the newly independent Republic of South Sudan ($2.5 million); strengthening institutional oversight and security activities through the establishment of two posts in the Office of Internal Audit ($6 million); strengthening human resources management ($3.5 million); strengthening institutional oversight activities ($6.6 million); adoption of the International Public Sector Accounting Standards (IPSAS) ($3.2 million); support for talent management initiatives ($1 million). It is expected that the implementation of the VISION (Information virtual system) enterprise resource planning system will increase costs, further explaining paragraph 11 below ($10.2 million); and to develop a single organizational technical platform for the Organization ($9.1 million).\",\n \"Overall, the Advisory Committee welcomes the progress made by UNICEF in improving the budget presentation, including the results-based budget framework and the inclusion of new cost classifications. In coordination with UNDP and UNFPA, the Committee encourages further efforts to improve the presentation. In particular, the Committee commends the use of tables and other presentation methods to make the budget more concise and considers that additional information should be provided in the presentation. The Committee requests that such a breakdown be provided in future budget proposals. The Committee supported most of the proposals of the Executive Director and made further comments on specific initiatives in the paragraphs below.\",\n \"Specific comments and observations\",\n \"VISION ERP system\",\n \"The Advisory Committee was informed that on 1 January 2012 UNICEF implemented the VISION system at all locations. Some representatives of the Executive Director stated that VISION was based on a global enterprise resource planning system based on SAP and was expected to have a significant impact on the functioning of all UNICEF offices. The main part of the system is a central application system based on SAP and a performance management platform. These systems will support and assist in improving UNICEF work in four results areas: improved accountability and effective risk management; excellence programmes; operational performance; effective resource planning and implementation. These systems will replace the existing SAP enterprise resource planning system at Headquarters and programme managers in the field, and will provide web performance management information systems for monitoring and reporting on core financial and results information on the operation of UNICEF worldwide in real time.\",\n \"The Committee was informed that significant investments had been made to prepare the necessary system functions for regional and country offices and to initiate pilots in a few country offices. Preparations include design, guidance and training, communication and monitoring and improved broadband and communication capacities. The Committee was also informed that costs for the period 2008-2009 to end 2010-2011 were estimated at $37.1 million. It was reported that, following the implementation of the system in January 2012, many challenges were expected, as new users used the system and improved business processes. Therefore, the system needs technical and advisory support to provide $10.2 million in the 2008-2009 institutional budget for the implementation of the VISION system.\",\n \"The Advisory Committee commends the progress made by UNICEF in the implementation of a more robust and fully integrated global resource management system. The Committee trusts that UNICEF will share experiences with other organizations in the implementation of the system.\",\n \"Post-implementation strategy\",\n \"The Advisory Committee recalls that the adoption of IPSAS by the General Assembly in its resolution 60/283 (2006) and the UNICEF Executive Board in its decision 2007/10 was approved in order to achieve transparency and improve the benefits of accountability. The Committee also recalls that, in order to enhance coordination with other funds and programmes of the United Nations, a broad review was conducted in consultation with other agencies, with the ultimate revision of the UNICEF Financial Regulations and Rules to adapt to the full accountability required by IPSAS. The comments and recommendations of the Advisory Committee on the proposed amendments are contained in another report, which will be received by the Executive Board at its next session.\",\n \"During its consideration of the 2012-2013 budget, the Advisory Committee was informed that UNICEF was ready to implement the Public Sector Accounting Standards in January 2012. The Committee was also informed that UNICEF planned to retain a small sector within the Finance and Administration Division (the Treasury Division) to provide advice and assistance, particularly in the area of training and capacity-building, as part of the UNICEF post-implementation strategy. The representatives of the Executive Director explained that UNICEF believed that there was no need for more support institutions, as most country offices had sufficient operational capacity to deal with implementation and that regional offices would support smaller offices in their implementation. They also explained that existing capacities would be further strengthened through training, and that a $3.2 million would be allocated in the 2008-2009 institutional budget to cover staff and consultants for capacity-building activities dedicated to IPSAS implementation. The Committee was also informed that the benefits of the IPSAS would be more pronounced after the implementation of IPSAS and the review by external auditors of the financial statements for 2012 to be submitted by UNICEF in mid-2013. In addition, the post-implementation strategy will draw on lessons learned from the implementation of the guidelines and will be reflected in the budget for 2009. The Advisory Committee reiterates its view that the implementation of IPSAS should be coordinated with other United Nations organizations as possible and that lessons learned should be recorded and shared with UNICEF. In this regard, the Committee draws attention to the approach of the Global Shared Services Centre under consideration by UNDP, which should be borne in mind if UNICEF considers changing the current strategy.\",\n \"Global cluster coordination\",\n \"During its consideration of the proposed budget, the Committee was informed that a global cluster approach had been developed to ensure predictable leadership and accountability in all key sectors or humanitarian response areas, and to strengthen system-wide preparations and technical capacity to respond to humanitarian emergencies. In this regard, a cluster-led body has been designated for all key humanitarian response sectors, and UNICEF has been designated as the global lead agency for the Water, Sanitation and Sanitation Cluster and the Nutrition Group; the International Save the Children Alliance as a global lead agency for the Education Group; the Global Protection Group as the lead agency in the area of child protection responsibility; and as a lead agency in the area of gender-based violence.\",\n \"The Advisory Committee notes that funding and management of the responsibilities of UNICEF groups were allocated within UNICEF in 2010-2011. To ensure enhanced coordination and leadership, $3.5 million has been allocated in the institutional budget for the establishment of a global cluster coordination unit in Geneva, close to other humanitarian partners and the Inter-Agency Standing Committee secretariat. The allocation would cover the establishment of five posts (4 senior coordinators and one information management post) and other cluster coordination activities.\",\n \"The Advisory Committee welcomes the commitment of UNICEF to allocate resources for cluster coordination, including the establishment of a Cluster Coordination Unit. In the Committee's view, if feasible, the participating organizations should share their economic responsibilities equitably.\",\n \"Proposed staffing changes\",\n \"The Committee notes that the amount allocated to posts in the 2008-2009 institutional budget is estimated at $729.7 million (ibid., annex 5). The proposed posts for the biennium total 2,919, representing a net decrease of 38 posts (ibid., annex 6). These changes include a net decrease of 4 D-1 posts; a net increase of 14 international Professional posts and three National Officers posts; and a net decrease of 51 General Service posts. The Advisory Committee welcomes the fact that the detailed organizational system table I would help to better understand organizational structure and proposed staffing changes. The Committee calls for the inclusion of the organizational chart in future budget reports.\",\n \"The Advisory Committee notes that the above staffing changes would result in a total reduction of 65 posts at the country office level (1 D-1, 2 international Professional and 62 other level). The Committee also notes that 42 other categories of posts are proposed for the regional offices in East and South Africa. The significant reduction in support category posts is partly due to the shift in the strategy to strengthening the oversight and capacity of regional offices, which can help to streamline business processes and increase the operational efficiency of country offices. As noted in paragraph 11 above, the planned implementation of the VISION system and the strengthening of staff capacity through training are key elements for the implementation of this strategy. The strategy will also include the establishment and expansion of multinational operational services centres in West and Central Africa and Latin America and the Caribbean in order to enhance efficiency through merger operations. The Advisory Committee welcomes the efforts made by UNICEF to utilize the benefits of existing information technology to increase efficiency in resource management and enhance support for field offices. While the Committee did not object to the proposed changes in posts, it was considered that it was noted that ensuring that the reduction of posts would not negatively affect the country office delivery programme.\",\n \"The Advisory Committee notes that two additional posts are proposed in the Office of Internal Audit to strengthen audit and investigation functions and to ensure compliance with the approved audit charter requirements (see para. In the Committee's view, the establishment of posts would enhance accountability and transparency.\",\n \"Upon enquiry, the Advisory Committee was informed that UNICEF planned to allocate $1 million in the 2010-2011 institutional budget to support the talent management initiative, such as the completion of the transition to e performance management and the recruitment of electronic performance appraisal systems and electronic recruitment tools developed in 2010-2011. The Committee was informed that an electronic performance appraisal system currently serving international staff would be expanded to cover all staff. The Committee was also informed that UNICEF had not established its own system and had been using the system established by UNFPA and shared maintenance costs. It was noted that the expansion of the system to cover the one-time costs for all staff members from the above-mentioned allocation.\",\n \"The Committee was also informed that the talent management initiative included the development of a new international professional rotation policy, whereby functional groups, such as deputy representatives and health officers, would be managed. The Committee was informed that the current management rotation applied only to the head of the Office. The Committee was also informed that the pilot rotation process initiated in 2010 was currently under review and that information would be provided for new rotation policies. The proposed resources in the budget will cover costs for the finalization and implementation of the policy and the cost of UNICEF career development and talent management systems, which are part of a coordinated human resources management system. The Advisory Committee notes that UNICEF has taken a number of initiatives to expand the scope of the existing staff rotation policy, which is an element of the development of a more coherent human resources management system. The Committee trusts that the experience of UNICEF will be shared with other agencies in this regard.\",\n \"Cost recovery\",\n \"The Advisory Committee notes that the actual cost recovery for the biennium 2008-2009 amounted to $303 million, representing an average recovery rate of 6.7 per cent in total programme assistance costs funded from other resources. In the same period, the Committee noted that 36 per cent of the overall budget of the institution had come from recovery costs, ensuring that regular resources were not used to subsidize programme support costs for other resources. As indicated in annex II to the present report, 35 per cent of the total budget of the institutions for the biennium 2012-2013 will be financed through cost recovery, an increase of 24 per cent over 2010-2011.\",\n \"The Committee also notes that UNICEF, UNDP and UNFPA, in response to the joint review by the UNICEF Executive Board in its decision 2011/6, confirm that the revised cost definitions and activities are not affected by cost recovery and therefore that no change in cost recovery is required in the biennium 2012-2013. It was noted that the current rate and methodology would be reviewed again in 2013 in conjunction with UNDP and UNFPA, and in the context of the new integrated budget for 2004, at which time changes might be required.\",\n \"The Committee welcomes the growing trend in the current institutional budget of funding for cost recovery. The Committee encourages UNICEF, UNDP and UNFPA to work together to identify future cost recovery options and rates, and looks forward to further information.\",\n \"Annex I\",\n \"Resource plans\",\n \"(In millions of United States dollars)\",\n \"[TABLE]\",\n \"AD(a) includes interest, miscellaneous income and contributions to the institutional budget.\",\n \"AD(b) 2010-2011: security allocations approved by the Executive Board in 2008.\",\n \"lob (c) The total amount of the revised cash balances for the medium-term financial plan (for post-service health insurance, fixed assets, separation payments and procurement services) is expected to be recorded before the Fund's reserve.\",\n \"AD(d) The resource balance for 2010-2011 has been updated to include actual and projected income and expenditure changes.\",\n \"Annex II\",\n \"Budget trends and ratio analysis, 1998-2011\",\n \"(In millions of United States dollars)\",\n \"Plan 98-99 00-01 02-03 04-05 06-07 08-09 10-111 12-13\",\n \"The Executive Board\",\n \"The Executive Board\",\n \"The Executive Board\",\n \"Total regular resources 1\",\n \"Total regular resources for programmes account for 56 per cent, 52 per cent, 62 per cent 64 per cent, 76 per cent 61 per cent\",\n \"Total regular resources for the biennial support budget of 44%,38 per cent, 32 per cent 32 per cent\",\n \"The revised budget includes the 2010-2011 security allocation approved by the Executive Board in 2008.\",\n \"Real 98-99 00-01 02-03 04-05 06-07 08-09\",\n \"Actual expenditures for the biennial support budget 507.521.9 568.9 682.2 739.0892.5\",\n \"The actual biennial support budget, 465.0 437.6 466.1 481.3 468.3,462,72 per cent 82 per cent, 71 per cent, 62 per cent\",\n \"Subprogramme 3\",\n \"Total regular resources 1,065.1\",\n \"Percentage of total regular resources for programmes 56 per cent,63 per cent 61 per cent\",\n \"Total regular resources for the biennial support budget\",\n \"E/ICEF/2005/10.\"\n]"}}},{"rowIdx":91,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程^(*) 项目15","和平文化","《和平文化宣言》和《和平文化行动纲领》的执行情况","秘书长的说明","秘书长谨转递联合国教育、科学及文化组织总干事根据大会第65/11号决议提交的报告。","^(*) A/66/150。","联合国教育、科学及文化组织总干事的报告","摘要","本报告由联合国教育、科学及文化组织(教科文组织)编写，简要总结了教科文组织和其他有关联合国实体在过去一年按照大会第65/11号决议的要求，为执行《和平文化宣言》和《和平文化行动纲领》所开展的活动。本报告列入了从以下方面收到的资料：国际劳工组织、联合国粮食及农业组织、联合国近东巴勒斯坦难民救济和工程处、联合国人类住区规划署、国际电信联盟、联合国儿童基金会、和平大学、联合国难民事务高级专员办事处、联合国毒品和犯罪问题办公室、联合国促进性别平等和增强妇女权能署和世界银行。本报告还专门在一节中提出了关于将来行动的建议。","一. 《和平文化行动纲领》的执行情况","1. 本报告是根据第65/11号决议提交，说明了为执行该决议所采取的行动和联合国系统为执行《行动纲领》并促进和平与非暴力文化所开展的活动。促进和平文化表达了联合国教育、科学及文化组织(教科文组织)的根本使命。本报告说明，在开展了“为世界儿童建设非暴力与和平文化国际十年”(2001-2010年)的活动后，教科文组织是如何在国家、区域和国际范围内促进全球和平文化运动。报告还概要介绍了以下方面为落实关于执行《和平文化宣言》和《和平文化行动纲领》的第65/11号决议所开展的活动：国际劳工组织(劳工组织)、联合国粮食及农业组织(粮农组织)、联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)、联合国人类住区规划署(人居署)、国际电信联盟(电信联盟)、联合国儿童基金会(儿基会)、和平大学、联合国难民事务高级专员办事处(难民署)、联合国毒品和犯罪问题办公室、联合国促进性别平等和增强妇女权能署(妇女署)和世界银行。报告按照《和平文化行动纲领》所规定的八项行动，分八节介绍了这些活动。","A. 通过教育促进和平文化的行动","2. 在1974年《关于教育促进国际谅解、合作与和平及有关人权和基本自由教育的建议》的框架内，教科文组织继续通过教育促进和平文化，为此支持其成员国提供高质量和包容性的宣扬和平、人权、宽容、文化间相互理解、民主、非暴力和尊重价值观的教育。","3. 教科文组织与有关伙伴合作，为其成员国制定实际可行的与人权、和平、宽容和教育促进可持续发展等核心价值观有关的资格准则，并传播良好做法，从而加强了会员国把基于人权的方法纳入整个教育系统的能力。这项工作包括为提倡文化上适宜和使用适当语言编制的学习材料提供支持和政策咨询。教科文组织还就相关主题，如学习如何共存、人权和儿童权利、和平与民主、性别平等和防止校园暴力等，编制了教学和学习参考材料、手册和准则。","4. 教科文组织通过高级别国际和区域政策论坛，并利用其联系网络和机构，包括教科文组织联系学校网、教科文组织教席、大学结对和网络计划以及设在首尔的亚太促进文化间相互理解教育中心，继续倡导和平、人权、文化间相互理解和记住对犹太人的大屠杀。还对那些动员国家和人民支持和平的活动当中的优秀范例给予了奖励。2010年费利克斯·乌弗埃-博瓦尼和平奖颁发给了阿根廷的非政府组织——五月广场祖母协会，表彰该协会30多年来为争取人权、正义与和平进行不懈的斗争。教科文组织还为2011年的五井和平基金会国际青少年作文比赛提供了支助。","5. 通过全教科文组织的文化间对话与和平文化跨部门平台这个创新模式，取得了若干具体成果。主要的成就包括把现已完成的通史和区域史数字化，以及由来自46个非洲国家的代表通过共同商定的非洲通史教学内容。进行了一次跨区域和跨信仰的研究，以分析当代全世界青年进行宗教间对话的做法，并用英文、法文、阿拉伯文和西班牙文广为散发题为“制止校园暴力：教师指南”的出版物。和平力量网络支助了不同国家和区域的一系列项目，例如青年广播举措“连接不同文化”、巴勒斯坦/大不列颠及北爱尔兰联合王国联合制作的视频“我们的日常生活”、赞比亚的在线辩论节目和比赛“我是这样生活的……”。和平力量网络还为编制关于在报道中注意冲突的课程提供了支助，并与南非的罗得大学合作举办了与此相关的系列培训班。","6. 利用纪念国际青年年(2010年)的机会，在使人们更多地认识到青年成长问题，并更多认识到青年为支持国家发展、支持和平与非暴力文化所发挥的作用方面取得了进展。教科文组织作为机构间青年成长问题网络的共同主席之一，在以下方面提供了支持：采用和实施一项纪念国际青年年的联合国框架方法；联合国各实体首长关于国际青年年的联合声明；联合国对世界青年会议(2010年8月，墨西哥城)的联合投入。教科文组织通过与体育组织结成伙伴关系，还提高了关于体育在青年成长、社区行动以及建设和平与非暴力文化方面的重要性的认识。这包括与国际奥林匹克委员会一道组织第七次关于体育、教育与文化的世界会议，其主题是“给予青年发言权”(2010年12月，南非，德班)。为拉丁美洲和加勒比以及独立国家联合体的研究工作提供了支持，以便向会员国提供信息，供其制定青年政策和方案，包括防止青年暴力的政策和方案。还向太平洋的小岛屿发展中国家提供了政策咨询，供其制定现实和可以实现的注重行动的青年问题政策文件。","7. 为了克服青年面临的具体挑战，粮农组织继续在若干非洲国家、亚洲和中东支持建立青少年农民耕作和生活技能学校的方法。这个方法既为职业教育培训机会提供支持，又促进就业，将二者结合起来。青年们把农历作为一种生活模式，学习农业技能，同时培养相应的生活经验，例如确定目标、重视个人成长空间和团队精神。这个方法还有一个以就业为导向的组成部分，鼓励和协助学校毕业生加入农民联合会和农会，以便得到资源并在市场上投放自己的产品。","8. 人居署与包括教科文组织在内的其他联合国机构一道，通过其加强城市安全方案在城市发展中增强对最弱势青年的侧重，利用这些青年的社会资本来增加弱势社区和居民区内的机会，包括加强学校和积极的公民参与。正在通过这个方案建立全球加强城市安全网络，以增强全球和平文化运动。","9. 难民署继续通过其“900万”运动向难民青年提供教育和体育服务，服务人数在2010年达到460 000人，在20个国家促进了和平和非暴力文化。所有项目均加强了难民与收容社区的共存，一些项目还减少了刚从学校毕业的青年被招募入伍的风险。方案报告显示，体育在克服破坏性行为、艾滋病毒、滥用毒品、性暴力和性别暴力等问题方面发挥了重大影响。75%的项目特别以刚从学校毕业的青年和女孩为对象，因为他们如果得到机会，可以在国家的和平、重建和繁荣方面发挥关键作用。","10. 难民署在若干国家开展工作，执行通过促进对包括难民在内的外国人的宽容和尊重来抵制仇外心理的方案。该机构最近在拉丁美洲发起了一个主题为“设身处地为难民和流离失所者着想，并为理解其处境迈出第一步”的宣传运动，以促进对难民和流离失所者的宽容，帮助其融入本地社会。","11. 和平大学于1960年由大会授权提供促进人类和平的教育，为通过其教育和能力建设方案建设和平文化进行了积极努力。该大学通过安排与其他大学之间的伙伴关系和交流方案，并举办在线远程学习方案，包括举办一个独特和完备的在线和平研究硕士方案，对更广泛的受众进行了宣传。","12. 儿基会建立了一个基于权利、呵护儿童的教育系统和被形容为“包容所有儿童，使其享有健康和保护”的学校。这种呵护儿童的办学方针为若干国家所采用，以制止对儿童的暴力和促进和平教育。学校作为照顾和支持中心，向最弱势的儿童，特别是孤儿，以及那些遭受暴力侵害的儿童提供迫切必要的服务。这些服务包括供水、环境卫生和个人卫生、儿童热线、学校伙食和学校保健，并与父母、警察和儿童自己在学校治理方面的参与相结合。儿基会与国际儿童帮助热线之间的各项协议于2010年得到批准，使东非和南部非洲区域的11个国家受益。这些协议带来的成果包括设立免费儿童热线号码、在线咨询以及正在开展的儿童保护情况调查。","13. 最边缘化、贫穷和弱势的人也是那些使用毒品成瘾的风险最高的人，因此，联合国毒品和犯罪问题办公室通过其减少需求项目帮助这些人，以帮助形成一种和平与非暴力文化。这些项目侧重于促进对使用毒品成瘾的理解，将其视为一种可以在保健体系内有效治愈的健康失调，同时使用基于证据的方法来防止滥用毒品、进行治疗和提供照顾。预防方案，例如生活技能培训、家庭技能培训和工作场所方案，将帮助建立更为健康和更为安全的社区，为和平社会作出贡献。全面的赌瘾治疗和照顾服务是非常有效的工具，可使那些滥用毒品成瘾的人恢复健康和重返社会，以便能够为建设和维护和平作出贡献。","B. 促进可持续的经济和社会发展的行动","14. 教科文组织作为2005-2014年联合国教育促进可持续发展十年的牵头机构，正在支持会员国把可持续发展的原则、价值观和做法纳入包容性的教育政策和计划的设计和制定工作，包括纳入气候变化教育、教师培养政策、教科书和课程修订以及教学方法的更新。教科文组织还倡导对文化多样性作出坚定承诺。自上个报告期间以来，与伊斯兰教育、科学和文化组织合作制定了一个教育促进可持续发展方面的多视角学习工具，其中把水资源作为重点，不久将进行实地测试。此外，教科文组织还在若干会员国(特别是马尔代夫和越南)开展了关于气候变化教育的能力建设，并为在墨西哥坎昆举行的联合国气候变化问题会议(第十六次缔约国会议)提供了投入。国际生物多样性年和第十次生物多样性公约缔约方会议(2010年10月27日至29日，日本名古屋)为促进与联系学校网、教科文组织教育促进可持续发展教席网络、世界生物圈保护区网络和人与生物圈方案之间的合作提供了很多机会。教科文组织还支持最不发达国家实现其可持续发展目标，并为2011年5月9日至13日在土耳其伊斯坦布尔举行的第四次联合国最不发达国家问题会议通过的行动纲领提供了投入。","15. 联合国毒品和犯罪问题办公室通过农场上和农场外的活动努力减贫，将此作为其替代性发展活动以及减少非法作物方案的一部分，这些减贫活动向农民提倡合法创收机会，是以市场驱动的需求为基础。联合国毒品和犯罪问题办公室努力促进粮食安全，为此提供技术援助，以帮助提高粮食生产率，特别是提供高产、抗病的种子以及协助建立和管理粮食银行。","16. 粮农组织通过其“农村人口教育”这一龙头伙伴关系帮助增强农村穷人的权能，将他们充分纳入发展进程，从而使他们不那么易于卷入冲突。这个伙伴关系有400个成员(来自政府、政府间组织、民间社会和学术界)，粮农组织通过它帮助把农村人民教育纳入国家发展计划，并制作了一些出版物和工具包。","17. 粮农组织在非洲、亚洲和拉丁美洲的28个国家开展实地活动，对农村地区900多万人的生活产生影响。欧洲联盟粮食融资机制提供了3.15亿美元，用于资助这些项目。","18. 近东救济工程处继续执行一项大规模的扶贫方案以及一项为穷人当中的最贫穷者紧急提供食物的方案。近东救济工程处的社会安全网方案每季度向整个区域的近300 000难民提供小额现金补贴和食品包，以便为赤贫家庭提供一定的支持。此外，工程处以食品、现金和紧急就业机会的形式向那些受冲突和自然灾害影响的人提供了紧急支助。目前正在加沙、西岸和黎巴嫩采取这些紧急干预措施，整个区域有数十万需要帮助的人受益，从一项或多项干预措施中得到帮助。","19. 人居署继续确保穷人能够得到支付得起和适当的住房，并帮助系统地改善贫民窟和防止其形成。为此采取的行动是执行人居署理事会的一项决议，制定一项新的全球住房战略，在其中考虑到提供适当的可持续住房和基本的基础设施的挑战，并考虑到需要把住房政策纳入更广泛的城市规划战略和政府行动，使其与其他社会、经济和环境政策相一致。","C. 促使尊重所有人权的行动","20. 教科文组织继续通过执行联合国大会于2004年通过的世界人权教育方案(见大会第59/113 A号决议)，积极促进受教育权利。编制了一系列材料，以协助会员国把促进和平与人权的教育纳入学校系统，包括发表题为《当代人权教育问题》的出版物。还与10个国家的教科文组织国家委员会和教科文组织联系学校项目网络的国家协调人合作，制作了一部短片，题为《青年谈人权教育》。这部影片从人权教育角度出发，展现了当今学校中的青少年在性别平等、暴力、和平与文化多样性方面关注的问题和面对的挑战。","21. 为了加强人权领域的宣传倡导、能力建设和以政策为导向的行动，教科文组织以联合国发展集团新的人权主流化机制为框架，为收集和设计培训材料提供了帮助。该机制的目标是使联合国更有效地运用基于人权的方案规划方法，特别是在国家一级运用这个方法，来制定联合国发展援助框架。","22. 本报告所述期间编制的其他人权培训材料包括题为《通过人权诉讼增强穷人权能》的范本手册，以及教科文组织试点收集的四卷关于把免于贫穷作为一项人权的资料，这些资料从多个方面分析了贫穷问题。","23. 作为教科文组织的提高人权意识工作的一部分，总干事在人权日(12月10日)向巴基斯坦的阿斯玛·贾汉吉尔颁发了教科文组织/毕尔巴鄂促进人权文化奖，以表彰她为促进宗教间和文化间对话、宽容、相互理解与争取和平的合作所作出的承诺和贡献。","24. 联合国毒品和犯罪问题办公室通过其艾滋病毒预防、治疗、护理和支持方案来处理与人权和性别平等有关的问题。2010年，联合国毒品和犯罪问题办公室帮助大约40个国家对有关艾滋病毒和监狱环境、艾滋病毒与注射毒品者以及易受人口贩运之害的人的法律和政策进行了审查。联合国毒品和犯罪问题办公室在至少49个国家提供了技术支持，以按照人权条约和相关国际标准制定针对监狱环境、注射毒品者以及易受人口贩运之害的人的基于人权、注重性别平等问题和公平的艾滋病政策和方案。","25. 近东工程处通过在教育、保健和社会服务、改善基础设施和难民营以及小额融资方面举办的各种方案，为实现巴勒斯坦难民的各项社会经济权利作出贡献。教育方面的服务最为引人注目。几乎500 000个儿童在遍布该区域各地的几乎700所近东救济工程处学校中继续受教育，近东救济工程处为他们提供了将近20 000名教学人员。","D. 保证男女平等的行动","26. 教科文组织努力确保男女平等，把在其所有负责领域采取行动以争取性别平等作为优先事项，并将此定为2008-2013年中期战略的两个全球优先事项之一。教科文组织执行局批准的2008-2013年基于成果的两性平等优先事项行动计划阐明，该组织各方案领域将采取何种行动来增强妇女权能和实现性别平等。","27. 为了加强教科文组织在通过优质教育增强女孩和妇女权能方面的努力，总干事于2011年5月26日在一个高级别论坛上发起了促进女孩和妇女教育的新全球伙伴关系，联合国秘书长潘基文、孟加拉国和马里的总理、美国国务卿、非政府组织的代表以及企业界领袖出席了该论坛。在高级别小组的支持下，教科文组织的“生活更美好，未来更美好”全球伙伴关系侧重于通过与企业，例如与诺基亚、宝洁、环球教育集团、微软、苹果和帕卡德基金会建成伙伴关系，帮助文盲或半文盲少女并扩大妇女扫盲方案。已经在非洲和亚洲发起一些项目。","28. 教科文组织制定了各种倡议，以支持妇女参与解决冲突、建设和平和重建工作并解决性别暴力问题，特别是通过设在拉马拉的巴勒斯坦妇女问题研究和文献中心、设在金沙萨的大湖区妇女、性别平等和建设和平问题第二类区域研究和文献中心以及教科文组织的女哲学家国际网络开展这些工作。","29. 为了支持和鼓励所有文化背景的青年妇女从事科学领域的工作，教科文组织为妇女提供了科学能力建设和培训机会，办法包括：利用设在荷兰代尔夫特的教科文组织国际水教育学院；通过教科文组织/莱莉雅公司伙伴关系为青年女科学家提供研究金；建立和加强新的女科学家协会和网络。","30. 还通过保护和管理文化、自然和非物质遗产方面的教育和培训方案推动增强妇女的政治和社会权能。这项工作还把女手工艺者摆在优先地位，帮助她们建立自己的小企业，以增加社会经济效益。此外，结合“一体行动”原则，在国家一级制定了艾滋病毒/艾滋病预防和护理以及孕产妇保健方面的注重文化特点和性别平等的政策和行动。","31. 教科文组织通过其基于社区的信息扫盲运动，加强妇女为发展和终生学习，特别是为实现可持续生计而获得和使用信息和通信技术的能力。这方面的例子之一，是教科文组织与布尼亚德基金会和移动电话公司Mobilink共同发起的作为试点的流动扫盲方案，通过这个方案建立了50个社区学习中心，1 250个文盲妇女在这些中心获得基本的识字技能。","32. 粮农组织继续把性别平等方面的关注问题纳入农业和农村发展方案的主流，为此组织针对政策制定者、决策者和技术工作人员的性别平等培训和宣传活动，以支持他们制定和执行注重性别问题的方案和项目，来消除农业和粮食安全方面有关性别平等的缺陷，特别强调获得和控制生产资源以及体制建设。","33. 近东救济工程处为促进性别平等所采用的办法是：确保女孩和妇女可以平等地获得其所有服务，支持妇女职业培训中心，以及制定有针对性的方案来促进妇女的权利和机会。在该区域各地的难民营内建立了一些妇女方案中心，用以向妇女提供服务。还通过加沙的行动平等方案向妇女提供机会，并通过小额金融和微型企业方案举办面向女企业家的特别贷款计划。","34. 妇女署为会员国和联合国系统各实体实现性别平等和增强妇女权能提供了支持，为此开展的活动有以下五个专题领域，载于2011-2013年战略计划：(a) 扩大妇女的领导作用和参与；(b) 制止侵害妇女的暴力；(c) 加强妇女与和平与安全议程的执行工作；(d) 增强妇女的经济权能；(e) 使性别平等优先事项成为国家各级规划和预算编制工作的核心。","35. 劳工组织通过就工作场所性别平等问题提供咨询服务、开展培训、制定方式方法、进行宣传以及支持收集、制作和分发良好做法来促进性别平等。在国家一级，劳工组织监督专门针对性别平等问题举办的技术合作方案，以解决妇女和男子在工作场所关注的问题，并促使开展努力，把性别平等问题纳入劳工组织工作的技术性领域。劳工组织在其成员之间试点进行了一次参与性的性别平等情况检查。","E. 支持民主参与的行动","36. 教科文组织通过一系列举措来支持民主参与，这些举措包括：阿拉伯与亚洲关于民主和社会正义的哲学对话；阿拉伯世界与非洲之间关于民主和人权的对话；在黎巴嫩比布鲁斯的国际人类科学中心进行研究。此外，教科文组织还支持了以下工作：制定有利于媒体自由和独立的立法；对新闻记者和媒体专业人员进行关于中立和独立的报道技巧，特别是在冲突和冲突后地区进行这种报道的培训；协助媒体报道选举活动。","37. 为了配合阿拉伯世界若干国家向民主的过渡，教科文组织最近的举措集中于以下方面：支持埃及青年进行公民参与；在埃及和突尼斯培训新闻记者，并向媒体专业人员提供选举前支持，包括与法国电视台和欧洲广播联盟联合组织了一次支持突尼斯和埃及广播媒体国际会议；在贝鲁特组织了一次关于设计、监测和评价阿拉伯世界社会保护工作的区域能力建设讲习班。此外，举行了一次国际圆桌会议，主题是“阿拉伯世界的民主与复兴”，来自阿拉伯世界的知识分子和专家参加了这次会议，讨论如何向民主过渡。根据这个重要的圆桌会议的讨论结果，教科文组织制定了一份配合阿拉伯世界向民主过渡的路线图。","F. 促进理解、宽容和团结的行动","38. 在领导2010年国际文化和睦年活动时，教科文组织利用其超过60年的经验促进“人民相互了解和理解”。该国际年的主要目标是帮助消除造成紧张、不安全、暴力和冲突的无知、偏见和排斥所产生的任何混乱。任务是要通过确认不同文化间交流和建立关系的重要性，说明文化多样性的好处。目的是把对话原则纳入各级政策，以促成一个有利于文化和睦的环境，从而加强各国人民之间的和谐关系。","39. 启动该国际年的进程得到了一些相得益彰举措的促进。对数个国际年(国际生物多样性年、国际青年年和非洲裔人国际年)和世界日(例如世界哲学日和世界文化多样性促进对话和发展日)的平行庆祝使处理的这些主题得以深化和交融。","40. 为促进会员国、政府间组织和非政府组织对国际年的认同，行动计划包括四大主题：(a) 促进对文化、种族、语言和宗教多样性的相互了解；(b) 为共同价值观建立一个框架；(c) 加强优质教育和文化间能力建设；(d) 促进有利于可持续发展的对话。这些主题的基础是文化平等尊严、相互尊重和加强国际合作促进持久和平的原则。","41. 会员国以及不同文明联盟和民间社会相关利益攸关方等合作伙伴为庆祝国际年而组织的具体活动(总共近1 000项)，可在教科文组织的网站上查阅(http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures/)。","42. 国际年为在一个广泛、多样和以年轻人为主的受众中建立对文化多样性财富及其必然结果——即文化间对话——的认识，将其作为和睦相处一部分，起到了推动作用。一个新出现的核心观点是：在新的国际格局中，必须更多地考虑到文化多样性、对话、发展、安全与和平之间的关联。这些相互依存的概念应成为建设一种和平与非暴力文化的新方法的内涵。若要对话产生效力，就必须满足一些基本前提，那就是：平等、公正、减贫和尊重人权。","43. 为了促进对二十一世纪和平新层面的反思，教科文组织总干事设立了一个文化间和平与对话高级别小组。高级别小组由世界各区域的决策者、知识分子和艺术家组成，他们在一起共同规划通向和平的新途径。其主要使命是对教科文组织在这方面的工作进行补充，并使不同区域和范围广泛的利益攸关方的多种多样观点发挥影响。高级小组于2010年2月18日在巴黎举行了第一次会议，以启动2010年国际文化和睦年(见A/65/299，附件)。高级小组于2011年3月11日在纽约再次开会，讨论了“建设和平：通过教育、科学、文化和沟通的力量促进和解”这一专题。这次会议的报告可到教科文组织网站查阅(http://www.unesco. org/en/2010-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/)。","44. 教科文组织还按照大会2001年通过的“不同文明对话全球议程”(大会第56/6号决议)以及由教科文组织自身理事机构做出的指示推动不同文明和文化之间的对话，从而为加强和平、相互理解和社会凝聚作出了贡献。","45. 在与不同文明联盟签署的谅解备忘录(2010年5月，里约)的框架内，教科文组织实施了由西班牙供资的文化间简报方案。该方案的重点是旨在加强阿拉伯-穆斯林与欧洲社会之间联系以增进相互了解的五个项目。这些项目是：","(a) 一部穆斯林/阿拉伯文明及其为欧洲哲学和文化复兴所作贡献的科学、哲学、文学和艺术文集。文集是为教师、学生和普通公众设计的一个工具，目的是提供一种团结穆斯林/阿拉伯世界和西方的跨文化历史视野；","(b) 从哲学角度看穆斯林/阿拉伯文明：关于路线、遭遇、桥梁和对话的故事。这需要制作一些面向中学教师的教育工具，以期说明穆斯林/阿拉伯文明内部和通过穆斯林/阿拉伯文明进行对话和交流的实例；","(c) 说明相互关系和开展对话：博物馆作为开发跨文化技能的一种公民空间。该项目的核心是开发博物馆学方面的办法，以传播历史性文化间交流的信息；","(d) 年轻艺术家促进阿拉伯世界和西方世界之间的跨文化对话。该项目旨在表彰年轻艺术家有利于阿拉伯/西方对话的创造性成就；","(e) 和平力量网络：报道促进和平。该网络是一个互动平台，寻求通过媒体及信息和通信技术，利用创新机制促进和平。","46. 此外，联合国教科文组织/姐妹学校方案与不同文明联盟密切合作，设立了一个网络，把巴西、中国、埃及、美利坚合众国、西班牙和加勒比区域6所大学中的媒体和信息教育与文化间对话相结合。活动将包括推动与媒体和信息教育有关的国际和文化间研究、会议、出版、培训活动和内容制作，并将其应用于跨文化、宗教间对话和全球合作。","47. 为促进非洲之角民间社会对话，教科文组织与大非洲之角地平线论坛这一独立的研究政策论坛合作，在该区域研究人员和散居国外研究人员的参与下，组织了一次青年事务部长会议(2010年12月，吉布提)。会议审查了每一个成员国现有的研究并为其确定了政策建议。","48. 此外，教科文组织还支持了2011年4月非洲与美洲之间关于“非洲及其散居国外人口”的区域间哲学对话会议。在非洲裔人国际年(2011年)框架之中组织的这次会议召集了非洲、散居国外群体和美洲的哲学家一道讨论当代各种挑战。对话推动设立了一个非洲、拉丁美洲、加勒比和北美哲学家组成的网络，以期通过学生交流方案等办法加强学术合作和能力建设。","49. 在中亚，通过设立一个门户网站作为与欧洲开展艺术和文化合作及对话的工具，并通过中亚国际研究所和国际游牧文明研究所开发的各种活动(考察、会议、科研和出版)，文化间对话得到了推动。","50. 在东南欧，国家元首之间的跨文化对话通过组织一系列区域会议得到了支持，举办这些会议的地点是：前南斯拉夫的马其顿共和国奥赫里德(2003年)、地拉那(2004年)、保加利亚瓦尔纳(2005年)、克罗地亚奥帕蒂亚(2006年)、布加勒斯特(2007年6月)、雅典(2008年6月)、黑山采蒂涅(2009年)和土耳其伊斯坦布尔(2010年)，会议目标是为未来确立一个基于国际合作的共同愿景。2011年的首脑会议将在塞尔维亚举行。","51. 在以色列和巴勒斯坦领土方面，已设立了一个男女人数平衡的联合(以色列-巴勒斯坦)学术委员会，由来自以色列和巴勒斯坦各大学、科研院所和智囊团的成员组成。该委员会将共同开展工作推动和争取实现以色列人和巴勒斯坦人内部和之间的对话与学术合作。","52. 在中东，通过与罗马大学合作启动的第三版大学合作方案，即2010-2011年“社会科学与人道主义事务大师”，建设和平及文化间理解也得到了促进。该方案将推动以色列和巴勒斯坦大学的教师和学生之间的学术交流与合作。","53. 教科文组织推动有利于和平与非暴力的科学，将其视为文化间对话与合作的一个媒介，以帮助预防潜在的争夺淡水和可耕地等自然资源的冲突，并解决复杂的全球环境与发展挑战。为此，它对以色列、巴勒斯坦科学组织予以了技术支持，该组织为巴勒斯坦和以色列科学家就联合科学项目开展合作提供了机会。教科文组织还为马耳他会议系列提供了支持，这些会议召集中东及邻近区域的科学家一道讨论与该区域化学研究和教育有关的问题并共同寻求令各方都满意的解决方案。这一系列中的第五次会议在教科文组织总部召开(2011年12月)，主题是“化学科学前沿：研究和教育在中东：通向和平及国际发展的桥梁”。","54. 教科文组织通过其人与生物圈方案支持各国建立跨境生物圈保护区，以在与适应气候变化、生物多样性丧失、可持续发展和生态旅游有关的问题上促进和解、文化间对话、和平与合作。现有10个这种保护区分布在拉丁美洲、欧洲和非洲的15个国家。在国际协调理事会2011年6月的最近一次会议上，该方案核准了萨尔瓦多/危地马拉/洪都拉斯的特里芬尼奥兄弟友好(Trifinio Fraternidad)生物圈保护区，这是中美洲第一个三国生物圈保护区。","55. 教科文组织通过其“从潜在冲突到合作潜力”方案为多层次、跨学科对话提供了便利，以促进与共有跨界水资源管理有关的和平、合作与发展。该方案力图强化各利益攸关方在共有跨界水资源管理方面预测、预防和解决水冲突的能力，从而加强用水保障。","56. 通过支持每年11月10日庆祝争取和平与发展世界科学日的活动，也提高了对推动科学促进和平的重要性的认识。","G. 支持参与式沟通和信息自由流动的行动","57. 教科文组织继续开展关键的能力建设行动，重点是强调媒体在促进对话、民主和发展进程以及在保护人权方面的有益作用。媒体专业人员在新闻安全、冲突敏感报道和报道选举方面的能力得到了加强。","58. 通过2010年的几项活动提高了对言论自由和获取信息的权利的认识。2010年世界新闻自由日的重点是“新闻自由：知情权”这一主题。在澳大利亚举行的世界新闻自由日国际会议上，与会者通过了《布里斯班宣言》，呼吁各国政府通过信息自由法，并强调了独立和多元化媒体的重要性，指出这是良政和以人权为基础的发展的基本要素。至少在100个国家中庆祝了世界新闻自由日。教科文组织/吉列尔莫•卡诺奖颁发给了 Mónica González Mujica，以表彰她在智利独裁期间进行的深入调查的新闻报道。","59. 为在言论自由领域开展工作的政府间组织和非政府组织提供了支持，特别是在结束有罪不罚现象和暴力侵害记者问题方面。教科文组织继续支持国际言论自由交流网，特别是支持发展中国家和转型期国家的团体推动更好地保护新闻自由和新闻工作者的权利。2010年，媒体专业人员的安全特别令人关切，教科文组织总干事谴责了62名新闻工作者遭到杀害的事件。国际通信发展方案理事会通过了关于新闻工作者安全和有罪不罚问题的决定，呼吁各国向教科文组织报告它们调查杀害新闻工作者案件的情况。","60. 通过国际通信发展方案为在61个发展中国家启动83个项目提供的支持，协助会员国发展免费、独立和多元化的媒体。墨西哥的“农民之声”社区无线电台和埃及记者Amr Mamdouh Ellissy共同获得2010年联合国教科文组织-国际通信发展方案农村通讯奖。","61. 教科文组织继续推广社区电台和社区多媒体中心，在19个国家推出了社区电台项目。在管理、可持续性、节目编排和社区参与方面确定了总共50项社区电台最佳做法，并为世界社区广播协会提供了支持，以制订社区电台业者共同业务守则。由教科文组织支持的印度社区电台政策审查产生了一项建议，即创建一个国家公共基金，以支持社区媒体的发展。","62. 媒体培训和新闻教育机构的能力也根据教科文组织的新闻培训优良标准得到加强，有51个国家的63个新闻培训机构采用了教科文组织的新闻教育示范课程。","63. 教科文组织还为制订国家信息政策框架提供了协助，尤其是在全民信息方案的框架中提供了协助，从而推动了信息的普及。","64. 粮农组织为利用农村广播、参与式视频、打印和视听工具等媒体提供了支持，以增强农村民众对发展举措的参与和拥有。粮农组织通过其“弥合农村数字鸿沟以减少贫穷和粮食不安全状况”方案开展工作，加强在农村地区利用和交流信息的人员和机构能力，同时利用各种媒体减少贫穷和确保粮食安全。","65. 国际电联于2008年提出了儿童在线保护举措，以提高对儿童在线保护重要性的认识、对包括儿童自己在内的公众进行教育并为他们制订指导方针。这一举措还在制订可交互操作的技术标准以对在线儿童进行保护，并帮助各国建立国家热线和制订国家战略及开展立法进程。国际电联在2011年世界青年和平高峰会期间举行了一个关于“技术之声：聚焦于青年和上网”的专题小组讨论会，并在联合国青年问题高级别会议期间举办了一次以“信息技术作为和平、人权与发展的催化剂”为主题的大型活动，以推动信息和通信技术为促进和平发挥作用。","H. 促进国际和平与安全的行动","66. 教科文组织通过一个专门的跨部门平台为处于冲突后和灾害后局势的国家提供了支持，以协助这些国家：重建其教育体系以实现全民教育的目标；提供政策咨询和知识专长以化解可能出现的争夺自然资源冲突；振兴国内研究设施；将防灾和减灾工作、特别是早期预警系统纳入冲突后和灾害后对策；保护和修复受到破坏的文化和自然遗产。","67. 在本报告所述期间，向遭受自然灾害影响的国家提供了支持，这些自然灾害是：海地地震、贝宁和巴基斯坦洪水、印度尼西亚海啸和火山爆发以及日本地震和海啸。它还支持了一批处于冲突后环境的国家，例如阿富汗、刚果民主共和国、伊拉克、巴勒斯坦被占领土以及数个西非国家。","68. 教科文组织参加了由联合国人道主义事务协调厅发起的26次呼吁中的16次，特别是为应对海地地震和巴基斯坦洪灾发出的呼吁。它还开始执行联合国国家工作队10项联合方案中的8项，预计将在西班牙实现千年发展目标基金“解决冲突与建设和平”这一专题窗口下拨款830万美元(巴西、智利、哥斯达黎加、刚果民主共和国、危地马拉、海地、前南斯拉夫的马其顿共和国、墨西哥、黎巴嫩和巴拿马)。","69. 应危机后非洲国家的请求，向在它们境内与联合国合作伙伴、尤其是与难民署和非洲区域组织开展的联合活动提供了支持，特别是通过教科文组织的紧急状况和重建教育方案提供了支持。教科文组织在其主管领域为科特迪瓦制订的一个冲突后全面支持方案于2008年启动，并为有特殊需要的国家(吉布提、利比里亚、塞拉利昂和苏丹)架设了天线。在区域和次区域这两级，作为联合国区域协调机制的一部分，教科文组织还在非洲联盟冲突后重建与发展行动框架中向非洲联盟和向一批区域组织举措提供了支持。","70. 教科文组织还推出了关于“隐藏的危机：教育中的武装冲突”的2011年《全民教育全球监测报告》，报告检讨了冲突对实现全民教育目标的破坏性后果。它制订了一项议程，以保护在冲突中受教育的权利，加强为受冲突影响的儿童、青年和成人提供的援助，以及在刚刚摆脱冲突的国家重建教育系统。它借鉴一系列国家的经验，找出了一批问题并提出了解决方案，以使教育可以成为促进和平、社会凝聚及人类尊严的力量。","71. 为通过进一步努力争取多个利益攸关方参与不同文化的对话以促进国际和平与安全，教科文组织与范围广泛的合作伙伴和组织进行了协商，以确定联合行动和建立伙伴关系的可能。","72. 教科文组织还参加了联合国机构间的反恐工作队，并于最近提交了供资提案，以制订和执行一批方案，在尼日利亚支持预防冲突、推动和平教育并协助抗御暴力极端主义的吸引力。","73. 难民署通过其德国(艾伯特·爱因斯坦)难民学者倡议(难民学者倡议)奖学金方案推动教育促进重建、建设和平及国家建设。2010年，37个国家的1 900名学生通过这一方案推进了他们的大学学业。通过加强自力更生能力和开发人力资本，难民学者倡议树立了难民榜样、促进了持久解决办法并使学生具备有利于重建、建设和平及国家建设的重要技能。","74. 粮农组织协调了冲突后国家中的一批行动计划以支持冲突后局势中的农业发展和粮食安全，并参加编写了冲突后需求评估中的农业各部分。这一评估工作由联合国发展业务协调办公室协调。","75. 儿基会支持了儿童友好空间方案，在阿富汗、阿尔巴尼亚、安哥拉、哥伦比亚、萨尔瓦多、海地、科索沃、利比里亚、东帝汶和土耳其把寓教于乐、同伴交往和表达活动都结合到一个保护性空间中进行。儿童基金会还支持在尼泊尔发展一种全部门办法，以帮助建立一个更公平的制度和增进凝聚力。紧急情况中和危机后过渡期间教育方案自2006年运作以来，在39个国家和领土支持了儿基会的教育方案拟订工作。冲突是该方案供资的许多国家的一个特点。儿基会与负责儿童与武装冲突问题的秘书长特别代表办公室合作，通过2005年安全理事会第1612(2005)号决议所设关于在武装冲突中严重侵犯儿童问题的监察和报告机制，记录了在22个国家各种局势中犯下的严重侵犯儿童的行为。这些资料载于开列了犯有严重侵犯行为者名单的秘书长年度报告中。","76. 人居署支持总共48个国家执行政策以增进使用土地和获得住房的机会，包括危机后重建方面的政策。其中15个国家已获得危机后重建支持，其中6个在非洲和阿拉伯国家区域、8个在亚洲和太平洋区域、1个在东欧和中欧区域。","77. 国际劳工组织向处于冲突后局势中的国家提供了技术援助，展示以就业为重点应对建设和平挑战的效力。它还为政府、雇主组织和工人组织(即劳工组织所代表的三方)提供了促进体面劳动和社会正义方面的能力建设，执行方式是开展培训、提供咨询(包括劳工资料和统计数据、劳动法规和重建方面)和传播相关出版物。这也包括向捐助方和伙伴机构以及在媒体上倡导把就业置于建设和平工作的核心地位。","78. 世界银行最近发布了《2011年世界发展报告：冲突、安全与发展》，其中强调了体制合法性在支持国家-社会契约方面的重要性以及为减少暴力而投资于公民安全、司法和就业的必要性。它致力于落实《2011年世界发展报告》所传递的关键信息，包括加强与在脆弱局势中开展工作的关键行为体的伙伴关系，特别是同联合国各基金、方案和机构的关系。","二. 促进和平与非暴力文化的今后行动","79. 教科文组织在为世界儿童建设非暴力与和平文化国际十年(2001-2010年)和2010国际文化和睦年所总结经验教训的基础上再接再厉，正在同会员国协商制订一个综合的、跨部门和跨学科的和平与非暴力文化行动纲领。这一行动纲领的目标是进一步加强在国家、区域和国际各级促进和平与非暴力文化的全球运动。","80. 根据2011年5月教科文组织执行局关于编制其2012-2013年方案和预算草案的决定，在编制该预算时，将规定在以下方面开展数目现实的定向行动：","(a) 加强促进和平与非暴力文化的教育，以实现文化间团结和代际对话以及有利于和解及建设和平的相互理解；","(b) 宣扬自然科学，将其作为一种通用语言及文化间对话和交流以及促进和平的媒介；","(c) 强调社会和人文科学在促进普世价值、民主和人权方面的作用；","(d) 突出文化多样性、文化间对话和以及各种形式的遗产在促进相互理解与和解方面的重要作用；","(e) 通过强调年轻人对新媒体的使用，探索作为和解、宽容和文化间理解的中介的媒体所提供的机会。","81. 教科文组织将致力于在全球、区域、次区域和国家各级调动所有相关的利益攸关方。它还将利用其在教育、科学、文化、通信和信息方面的多学科知识专长，制订具有创意的方案，以在促进和平与非暴力文化方面取得影响力较大的成果。","82. 行动纲领将由一个专门的和平与非暴力文化跨部门平台执行和管理。该平台还将负责执行沙特阿拉伯王国提出的一项举措，即“阿卜杜拉·本·阿卜杜勒·阿齐兹和平与对话文化国际方案”，该国为此已捐款500万美元。","三. 建议","83. 大会不妨考虑以下行动：","(a) 为加强政策一致性，探讨是否可能就涉及以下方面的问题统一向大会作出报告：和平文化、文化多样性、宽容、相互理解、和睦、非暴力以及文化间对话，包括宗教间的对话；","(b) 呼吁联合国发展集团，包括其区域团队和联合国所有国家工作队，把重点在于促进和平与非暴力文化的方案单元纳入共同国家方案拟订的工作和文件，主要是纳入联合国发展援助框架，包括酌情把以预防和化解冲突以及冲突后和解为重点的方案单元纳入其中；","(c) 邀请联合国系统职员学院制订这方面的培训单元和学习材料，并为联合国国家工作队提供培训讲习班，以建立联合优势，加强一致性和协调，使这些工作队能更好地回应具体的国家需要；","(d) 设立一个和平与非暴力文化问题机构间工作组，以讨论共同举措和考虑制订一个规定了目标和可衡量的预期成果的路线图，并监测这方面工作的落实情况；","(e) 欢迎教科文组织努力建立国家和区域机制，例如文化间论坛，从基于人权的角度突出文化间对话和文化多样性的好处，以在日常生活中打击暴力和建设和平，并邀请会员国在它们为和平文化所作承诺的背景中维持这方面的努力；","(f) 鼓励会员国在积极推动文化间对话和致力于促进可持续发展及和平的各组织之间建立联系，以期为和平相处创造新的动力。"],"string":"[\n \"第六十六届会议\",\n \"临时议程^(*) 项目15\",\n \"和平文化\",\n \"《和平文化宣言》和《和平文化行动纲领》的执行情况\",\n \"秘书长的说明\",\n \"秘书长谨转递联合国教育、科学及文化组织总干事根据大会第65/11号决议提交的报告。\",\n \"^(*) A/66/150。\",\n \"联合国教育、科学及文化组织总干事的报告\",\n \"摘要\",\n \"本报告由联合国教育、科学及文化组织(教科文组织)编写，简要总结了教科文组织和其他有关联合国实体在过去一年按照大会第65/11号决议的要求，为执行《和平文化宣言》和《和平文化行动纲领》所开展的活动。本报告列入了从以下方面收到的资料：国际劳工组织、联合国粮食及农业组织、联合国近东巴勒斯坦难民救济和工程处、联合国人类住区规划署、国际电信联盟、联合国儿童基金会、和平大学、联合国难民事务高级专员办事处、联合国毒品和犯罪问题办公室、联合国促进性别平等和增强妇女权能署和世界银行。本报告还专门在一节中提出了关于将来行动的建议。\",\n \"一. 《和平文化行动纲领》的执行情况\",\n \"1. 本报告是根据第65/11号决议提交，说明了为执行该决议所采取的行动和联合国系统为执行《行动纲领》并促进和平与非暴力文化所开展的活动。促进和平文化表达了联合国教育、科学及文化组织(教科文组织)的根本使命。本报告说明，在开展了“为世界儿童建设非暴力与和平文化国际十年”(2001-2010年)的活动后，教科文组织是如何在国家、区域和国际范围内促进全球和平文化运动。报告还概要介绍了以下方面为落实关于执行《和平文化宣言》和《和平文化行动纲领》的第65/11号决议所开展的活动：国际劳工组织(劳工组织)、联合国粮食及农业组织(粮农组织)、联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)、联合国人类住区规划署(人居署)、国际电信联盟(电信联盟)、联合国儿童基金会(儿基会)、和平大学、联合国难民事务高级专员办事处(难民署)、联合国毒品和犯罪问题办公室、联合国促进性别平等和增强妇女权能署(妇女署)和世界银行。报告按照《和平文化行动纲领》所规定的八项行动，分八节介绍了这些活动。\",\n \"A. 通过教育促进和平文化的行动\",\n \"2. 在1974年《关于教育促进国际谅解、合作与和平及有关人权和基本自由教育的建议》的框架内，教科文组织继续通过教育促进和平文化，为此支持其成员国提供高质量和包容性的宣扬和平、人权、宽容、文化间相互理解、民主、非暴力和尊重价值观的教育。\",\n \"3. 教科文组织与有关伙伴合作，为其成员国制定实际可行的与人权、和平、宽容和教育促进可持续发展等核心价值观有关的资格准则，并传播良好做法，从而加强了会员国把基于人权的方法纳入整个教育系统的能力。这项工作包括为提倡文化上适宜和使用适当语言编制的学习材料提供支持和政策咨询。教科文组织还就相关主题，如学习如何共存、人权和儿童权利、和平与民主、性别平等和防止校园暴力等，编制了教学和学习参考材料、手册和准则。\",\n \"4. 教科文组织通过高级别国际和区域政策论坛，并利用其联系网络和机构，包括教科文组织联系学校网、教科文组织教席、大学结对和网络计划以及设在首尔的亚太促进文化间相互理解教育中心，继续倡导和平、人权、文化间相互理解和记住对犹太人的大屠杀。还对那些动员国家和人民支持和平的活动当中的优秀范例给予了奖励。2010年费利克斯·乌弗埃-博瓦尼和平奖颁发给了阿根廷的非政府组织——五月广场祖母协会，表彰该协会30多年来为争取人权、正义与和平进行不懈的斗争。教科文组织还为2011年的五井和平基金会国际青少年作文比赛提供了支助。\",\n \"5. 通过全教科文组织的文化间对话与和平文化跨部门平台这个创新模式，取得了若干具体成果。主要的成就包括把现已完成的通史和区域史数字化，以及由来自46个非洲国家的代表通过共同商定的非洲通史教学内容。进行了一次跨区域和跨信仰的研究，以分析当代全世界青年进行宗教间对话的做法，并用英文、法文、阿拉伯文和西班牙文广为散发题为“制止校园暴力：教师指南”的出版物。和平力量网络支助了不同国家和区域的一系列项目，例如青年广播举措“连接不同文化”、巴勒斯坦/大不列颠及北爱尔兰联合王国联合制作的视频“我们的日常生活”、赞比亚的在线辩论节目和比赛“我是这样生活的……”。和平力量网络还为编制关于在报道中注意冲突的课程提供了支助，并与南非的罗得大学合作举办了与此相关的系列培训班。\",\n \"6. 利用纪念国际青年年(2010年)的机会，在使人们更多地认识到青年成长问题，并更多认识到青年为支持国家发展、支持和平与非暴力文化所发挥的作用方面取得了进展。教科文组织作为机构间青年成长问题网络的共同主席之一，在以下方面提供了支持：采用和实施一项纪念国际青年年的联合国框架方法；联合国各实体首长关于国际青年年的联合声明；联合国对世界青年会议(2010年8月，墨西哥城)的联合投入。教科文组织通过与体育组织结成伙伴关系，还提高了关于体育在青年成长、社区行动以及建设和平与非暴力文化方面的重要性的认识。这包括与国际奥林匹克委员会一道组织第七次关于体育、教育与文化的世界会议，其主题是“给予青年发言权”(2010年12月，南非，德班)。为拉丁美洲和加勒比以及独立国家联合体的研究工作提供了支持，以便向会员国提供信息，供其制定青年政策和方案，包括防止青年暴力的政策和方案。还向太平洋的小岛屿发展中国家提供了政策咨询，供其制定现实和可以实现的注重行动的青年问题政策文件。\",\n \"7. 为了克服青年面临的具体挑战，粮农组织继续在若干非洲国家、亚洲和中东支持建立青少年农民耕作和生活技能学校的方法。这个方法既为职业教育培训机会提供支持，又促进就业，将二者结合起来。青年们把农历作为一种生活模式，学习农业技能，同时培养相应的生活经验，例如确定目标、重视个人成长空间和团队精神。这个方法还有一个以就业为导向的组成部分，鼓励和协助学校毕业生加入农民联合会和农会，以便得到资源并在市场上投放自己的产品。\",\n \"8. 人居署与包括教科文组织在内的其他联合国机构一道，通过其加强城市安全方案在城市发展中增强对最弱势青年的侧重，利用这些青年的社会资本来增加弱势社区和居民区内的机会，包括加强学校和积极的公民参与。正在通过这个方案建立全球加强城市安全网络，以增强全球和平文化运动。\",\n \"9. 难民署继续通过其“900万”运动向难民青年提供教育和体育服务，服务人数在2010年达到460 000人，在20个国家促进了和平和非暴力文化。所有项目均加强了难民与收容社区的共存，一些项目还减少了刚从学校毕业的青年被招募入伍的风险。方案报告显示，体育在克服破坏性行为、艾滋病毒、滥用毒品、性暴力和性别暴力等问题方面发挥了重大影响。75%的项目特别以刚从学校毕业的青年和女孩为对象，因为他们如果得到机会，可以在国家的和平、重建和繁荣方面发挥关键作用。\",\n \"10. 难民署在若干国家开展工作，执行通过促进对包括难民在内的外国人的宽容和尊重来抵制仇外心理的方案。该机构最近在拉丁美洲发起了一个主题为“设身处地为难民和流离失所者着想，并为理解其处境迈出第一步”的宣传运动，以促进对难民和流离失所者的宽容，帮助其融入本地社会。\",\n \"11. 和平大学于1960年由大会授权提供促进人类和平的教育，为通过其教育和能力建设方案建设和平文化进行了积极努力。该大学通过安排与其他大学之间的伙伴关系和交流方案，并举办在线远程学习方案，包括举办一个独特和完备的在线和平研究硕士方案，对更广泛的受众进行了宣传。\",\n \"12. 儿基会建立了一个基于权利、呵护儿童的教育系统和被形容为“包容所有儿童，使其享有健康和保护”的学校。这种呵护儿童的办学方针为若干国家所采用，以制止对儿童的暴力和促进和平教育。学校作为照顾和支持中心，向最弱势的儿童，特别是孤儿，以及那些遭受暴力侵害的儿童提供迫切必要的服务。这些服务包括供水、环境卫生和个人卫生、儿童热线、学校伙食和学校保健，并与父母、警察和儿童自己在学校治理方面的参与相结合。儿基会与国际儿童帮助热线之间的各项协议于2010年得到批准，使东非和南部非洲区域的11个国家受益。这些协议带来的成果包括设立免费儿童热线号码、在线咨询以及正在开展的儿童保护情况调查。\",\n \"13. 最边缘化、贫穷和弱势的人也是那些使用毒品成瘾的风险最高的人，因此，联合国毒品和犯罪问题办公室通过其减少需求项目帮助这些人，以帮助形成一种和平与非暴力文化。这些项目侧重于促进对使用毒品成瘾的理解，将其视为一种可以在保健体系内有效治愈的健康失调，同时使用基于证据的方法来防止滥用毒品、进行治疗和提供照顾。预防方案，例如生活技能培训、家庭技能培训和工作场所方案，将帮助建立更为健康和更为安全的社区，为和平社会作出贡献。全面的赌瘾治疗和照顾服务是非常有效的工具，可使那些滥用毒品成瘾的人恢复健康和重返社会，以便能够为建设和维护和平作出贡献。\",\n \"B. 促进可持续的经济和社会发展的行动\",\n \"14. 教科文组织作为2005-2014年联合国教育促进可持续发展十年的牵头机构，正在支持会员国把可持续发展的原则、价值观和做法纳入包容性的教育政策和计划的设计和制定工作，包括纳入气候变化教育、教师培养政策、教科书和课程修订以及教学方法的更新。教科文组织还倡导对文化多样性作出坚定承诺。自上个报告期间以来，与伊斯兰教育、科学和文化组织合作制定了一个教育促进可持续发展方面的多视角学习工具，其中把水资源作为重点，不久将进行实地测试。此外，教科文组织还在若干会员国(特别是马尔代夫和越南)开展了关于气候变化教育的能力建设，并为在墨西哥坎昆举行的联合国气候变化问题会议(第十六次缔约国会议)提供了投入。国际生物多样性年和第十次生物多样性公约缔约方会议(2010年10月27日至29日，日本名古屋)为促进与联系学校网、教科文组织教育促进可持续发展教席网络、世界生物圈保护区网络和人与生物圈方案之间的合作提供了很多机会。教科文组织还支持最不发达国家实现其可持续发展目标，并为2011年5月9日至13日在土耳其伊斯坦布尔举行的第四次联合国最不发达国家问题会议通过的行动纲领提供了投入。\",\n \"15. 联合国毒品和犯罪问题办公室通过农场上和农场外的活动努力减贫，将此作为其替代性发展活动以及减少非法作物方案的一部分，这些减贫活动向农民提倡合法创收机会，是以市场驱动的需求为基础。联合国毒品和犯罪问题办公室努力促进粮食安全，为此提供技术援助，以帮助提高粮食生产率，特别是提供高产、抗病的种子以及协助建立和管理粮食银行。\",\n \"16. 粮农组织通过其“农村人口教育”这一龙头伙伴关系帮助增强农村穷人的权能，将他们充分纳入发展进程，从而使他们不那么易于卷入冲突。这个伙伴关系有400个成员(来自政府、政府间组织、民间社会和学术界)，粮农组织通过它帮助把农村人民教育纳入国家发展计划，并制作了一些出版物和工具包。\",\n \"17. 粮农组织在非洲、亚洲和拉丁美洲的28个国家开展实地活动，对农村地区900多万人的生活产生影响。欧洲联盟粮食融资机制提供了3.15亿美元，用于资助这些项目。\",\n \"18. 近东救济工程处继续执行一项大规模的扶贫方案以及一项为穷人当中的最贫穷者紧急提供食物的方案。近东救济工程处的社会安全网方案每季度向整个区域的近300 000难民提供小额现金补贴和食品包，以便为赤贫家庭提供一定的支持。此外，工程处以食品、现金和紧急就业机会的形式向那些受冲突和自然灾害影响的人提供了紧急支助。目前正在加沙、西岸和黎巴嫩采取这些紧急干预措施，整个区域有数十万需要帮助的人受益，从一项或多项干预措施中得到帮助。\",\n \"19. 人居署继续确保穷人能够得到支付得起和适当的住房，并帮助系统地改善贫民窟和防止其形成。为此采取的行动是执行人居署理事会的一项决议，制定一项新的全球住房战略，在其中考虑到提供适当的可持续住房和基本的基础设施的挑战，并考虑到需要把住房政策纳入更广泛的城市规划战略和政府行动，使其与其他社会、经济和环境政策相一致。\",\n \"C. 促使尊重所有人权的行动\",\n \"20. 教科文组织继续通过执行联合国大会于2004年通过的世界人权教育方案(见大会第59/113 A号决议)，积极促进受教育权利。编制了一系列材料，以协助会员国把促进和平与人权的教育纳入学校系统，包括发表题为《当代人权教育问题》的出版物。还与10个国家的教科文组织国家委员会和教科文组织联系学校项目网络的国家协调人合作，制作了一部短片，题为《青年谈人权教育》。这部影片从人权教育角度出发，展现了当今学校中的青少年在性别平等、暴力、和平与文化多样性方面关注的问题和面对的挑战。\",\n \"21. 为了加强人权领域的宣传倡导、能力建设和以政策为导向的行动，教科文组织以联合国发展集团新的人权主流化机制为框架，为收集和设计培训材料提供了帮助。该机制的目标是使联合国更有效地运用基于人权的方案规划方法，特别是在国家一级运用这个方法，来制定联合国发展援助框架。\",\n \"22. 本报告所述期间编制的其他人权培训材料包括题为《通过人权诉讼增强穷人权能》的范本手册，以及教科文组织试点收集的四卷关于把免于贫穷作为一项人权的资料，这些资料从多个方面分析了贫穷问题。\",\n \"23. 作为教科文组织的提高人权意识工作的一部分，总干事在人权日(12月10日)向巴基斯坦的阿斯玛·贾汉吉尔颁发了教科文组织/毕尔巴鄂促进人权文化奖，以表彰她为促进宗教间和文化间对话、宽容、相互理解与争取和平的合作所作出的承诺和贡献。\",\n \"24. 联合国毒品和犯罪问题办公室通过其艾滋病毒预防、治疗、护理和支持方案来处理与人权和性别平等有关的问题。2010年，联合国毒品和犯罪问题办公室帮助大约40个国家对有关艾滋病毒和监狱环境、艾滋病毒与注射毒品者以及易受人口贩运之害的人的法律和政策进行了审查。联合国毒品和犯罪问题办公室在至少49个国家提供了技术支持，以按照人权条约和相关国际标准制定针对监狱环境、注射毒品者以及易受人口贩运之害的人的基于人权、注重性别平等问题和公平的艾滋病政策和方案。\",\n \"25. 近东工程处通过在教育、保健和社会服务、改善基础设施和难民营以及小额融资方面举办的各种方案，为实现巴勒斯坦难民的各项社会经济权利作出贡献。教育方面的服务最为引人注目。几乎500 000个儿童在遍布该区域各地的几乎700所近东救济工程处学校中继续受教育，近东救济工程处为他们提供了将近20 000名教学人员。\",\n \"D. 保证男女平等的行动\",\n \"26. 教科文组织努力确保男女平等，把在其所有负责领域采取行动以争取性别平等作为优先事项，并将此定为2008-2013年中期战略的两个全球优先事项之一。教科文组织执行局批准的2008-2013年基于成果的两性平等优先事项行动计划阐明，该组织各方案领域将采取何种行动来增强妇女权能和实现性别平等。\",\n \"27. 为了加强教科文组织在通过优质教育增强女孩和妇女权能方面的努力，总干事于2011年5月26日在一个高级别论坛上发起了促进女孩和妇女教育的新全球伙伴关系，联合国秘书长潘基文、孟加拉国和马里的总理、美国国务卿、非政府组织的代表以及企业界领袖出席了该论坛。在高级别小组的支持下，教科文组织的“生活更美好，未来更美好”全球伙伴关系侧重于通过与企业，例如与诺基亚、宝洁、环球教育集团、微软、苹果和帕卡德基金会建成伙伴关系，帮助文盲或半文盲少女并扩大妇女扫盲方案。已经在非洲和亚洲发起一些项目。\",\n \"28. 教科文组织制定了各种倡议，以支持妇女参与解决冲突、建设和平和重建工作并解决性别暴力问题，特别是通过设在拉马拉的巴勒斯坦妇女问题研究和文献中心、设在金沙萨的大湖区妇女、性别平等和建设和平问题第二类区域研究和文献中心以及教科文组织的女哲学家国际网络开展这些工作。\",\n \"29. 为了支持和鼓励所有文化背景的青年妇女从事科学领域的工作，教科文组织为妇女提供了科学能力建设和培训机会，办法包括：利用设在荷兰代尔夫特的教科文组织国际水教育学院；通过教科文组织/莱莉雅公司伙伴关系为青年女科学家提供研究金；建立和加强新的女科学家协会和网络。\",\n \"30. 还通过保护和管理文化、自然和非物质遗产方面的教育和培训方案推动增强妇女的政治和社会权能。这项工作还把女手工艺者摆在优先地位，帮助她们建立自己的小企业，以增加社会经济效益。此外，结合“一体行动”原则，在国家一级制定了艾滋病毒/艾滋病预防和护理以及孕产妇保健方面的注重文化特点和性别平等的政策和行动。\",\n \"31. 教科文组织通过其基于社区的信息扫盲运动，加强妇女为发展和终生学习，特别是为实现可持续生计而获得和使用信息和通信技术的能力。这方面的例子之一，是教科文组织与布尼亚德基金会和移动电话公司Mobilink共同发起的作为试点的流动扫盲方案，通过这个方案建立了50个社区学习中心，1 250个文盲妇女在这些中心获得基本的识字技能。\",\n \"32. 粮农组织继续把性别平等方面的关注问题纳入农业和农村发展方案的主流，为此组织针对政策制定者、决策者和技术工作人员的性别平等培训和宣传活动，以支持他们制定和执行注重性别问题的方案和项目，来消除农业和粮食安全方面有关性别平等的缺陷，特别强调获得和控制生产资源以及体制建设。\",\n \"33. 近东救济工程处为促进性别平等所采用的办法是：确保女孩和妇女可以平等地获得其所有服务，支持妇女职业培训中心，以及制定有针对性的方案来促进妇女的权利和机会。在该区域各地的难民营内建立了一些妇女方案中心，用以向妇女提供服务。还通过加沙的行动平等方案向妇女提供机会，并通过小额金融和微型企业方案举办面向女企业家的特别贷款计划。\",\n \"34. 妇女署为会员国和联合国系统各实体实现性别平等和增强妇女权能提供了支持，为此开展的活动有以下五个专题领域，载于2011-2013年战略计划：(a) 扩大妇女的领导作用和参与；(b) 制止侵害妇女的暴力；(c) 加强妇女与和平与安全议程的执行工作；(d) 增强妇女的经济权能；(e) 使性别平等优先事项成为国家各级规划和预算编制工作的核心。\",\n \"35. 劳工组织通过就工作场所性别平等问题提供咨询服务、开展培训、制定方式方法、进行宣传以及支持收集、制作和分发良好做法来促进性别平等。在国家一级，劳工组织监督专门针对性别平等问题举办的技术合作方案，以解决妇女和男子在工作场所关注的问题，并促使开展努力，把性别平等问题纳入劳工组织工作的技术性领域。劳工组织在其成员之间试点进行了一次参与性的性别平等情况检查。\",\n \"E. 支持民主参与的行动\",\n \"36. 教科文组织通过一系列举措来支持民主参与，这些举措包括：阿拉伯与亚洲关于民主和社会正义的哲学对话；阿拉伯世界与非洲之间关于民主和人权的对话；在黎巴嫩比布鲁斯的国际人类科学中心进行研究。此外，教科文组织还支持了以下工作：制定有利于媒体自由和独立的立法；对新闻记者和媒体专业人员进行关于中立和独立的报道技巧，特别是在冲突和冲突后地区进行这种报道的培训；协助媒体报道选举活动。\",\n \"37. 为了配合阿拉伯世界若干国家向民主的过渡，教科文组织最近的举措集中于以下方面：支持埃及青年进行公民参与；在埃及和突尼斯培训新闻记者，并向媒体专业人员提供选举前支持，包括与法国电视台和欧洲广播联盟联合组织了一次支持突尼斯和埃及广播媒体国际会议；在贝鲁特组织了一次关于设计、监测和评价阿拉伯世界社会保护工作的区域能力建设讲习班。此外，举行了一次国际圆桌会议，主题是“阿拉伯世界的民主与复兴”，来自阿拉伯世界的知识分子和专家参加了这次会议，讨论如何向民主过渡。根据这个重要的圆桌会议的讨论结果，教科文组织制定了一份配合阿拉伯世界向民主过渡的路线图。\",\n \"F. 促进理解、宽容和团结的行动\",\n \"38. 在领导2010年国际文化和睦年活动时，教科文组织利用其超过60年的经验促进“人民相互了解和理解”。该国际年的主要目标是帮助消除造成紧张、不安全、暴力和冲突的无知、偏见和排斥所产生的任何混乱。任务是要通过确认不同文化间交流和建立关系的重要性，说明文化多样性的好处。目的是把对话原则纳入各级政策，以促成一个有利于文化和睦的环境，从而加强各国人民之间的和谐关系。\",\n \"39. 启动该国际年的进程得到了一些相得益彰举措的促进。对数个国际年(国际生物多样性年、国际青年年和非洲裔人国际年)和世界日(例如世界哲学日和世界文化多样性促进对话和发展日)的平行庆祝使处理的这些主题得以深化和交融。\",\n \"40. 为促进会员国、政府间组织和非政府组织对国际年的认同，行动计划包括四大主题：(a) 促进对文化、种族、语言和宗教多样性的相互了解；(b) 为共同价值观建立一个框架；(c) 加强优质教育和文化间能力建设；(d) 促进有利于可持续发展的对话。这些主题的基础是文化平等尊严、相互尊重和加强国际合作促进持久和平的原则。\",\n \"41. 会员国以及不同文明联盟和民间社会相关利益攸关方等合作伙伴为庆祝国际年而组织的具体活动(总共近1 000项)，可在教科文组织的网站上查阅(http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures/)。\",\n \"42. 国际年为在一个广泛、多样和以年轻人为主的受众中建立对文化多样性财富及其必然结果——即文化间对话——的认识，将其作为和睦相处一部分，起到了推动作用。一个新出现的核心观点是：在新的国际格局中，必须更多地考虑到文化多样性、对话、发展、安全与和平之间的关联。这些相互依存的概念应成为建设一种和平与非暴力文化的新方法的内涵。若要对话产生效力，就必须满足一些基本前提，那就是：平等、公正、减贫和尊重人权。\",\n \"43. 为了促进对二十一世纪和平新层面的反思，教科文组织总干事设立了一个文化间和平与对话高级别小组。高级别小组由世界各区域的决策者、知识分子和艺术家组成，他们在一起共同规划通向和平的新途径。其主要使命是对教科文组织在这方面的工作进行补充，并使不同区域和范围广泛的利益攸关方的多种多样观点发挥影响。高级小组于2010年2月18日在巴黎举行了第一次会议，以启动2010年国际文化和睦年(见A/65/299，附件)。高级小组于2011年3月11日在纽约再次开会，讨论了“建设和平：通过教育、科学、文化和沟通的力量促进和解”这一专题。这次会议的报告可到教科文组织网站查阅(http://www.unesco. org/en/2010-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/)。\",\n \"44. 教科文组织还按照大会2001年通过的“不同文明对话全球议程”(大会第56/6号决议)以及由教科文组织自身理事机构做出的指示推动不同文明和文化之间的对话，从而为加强和平、相互理解和社会凝聚作出了贡献。\",\n \"45. 在与不同文明联盟签署的谅解备忘录(2010年5月，里约)的框架内，教科文组织实施了由西班牙供资的文化间简报方案。该方案的重点是旨在加强阿拉伯-穆斯林与欧洲社会之间联系以增进相互了解的五个项目。这些项目是：\",\n \"(a) 一部穆斯林/阿拉伯文明及其为欧洲哲学和文化复兴所作贡献的科学、哲学、文学和艺术文集。文集是为教师、学生和普通公众设计的一个工具，目的是提供一种团结穆斯林/阿拉伯世界和西方的跨文化历史视野；\",\n \"(b) 从哲学角度看穆斯林/阿拉伯文明：关于路线、遭遇、桥梁和对话的故事。这需要制作一些面向中学教师的教育工具，以期说明穆斯林/阿拉伯文明内部和通过穆斯林/阿拉伯文明进行对话和交流的实例；\",\n \"(c) 说明相互关系和开展对话：博物馆作为开发跨文化技能的一种公民空间。该项目的核心是开发博物馆学方面的办法，以传播历史性文化间交流的信息；\",\n \"(d) 年轻艺术家促进阿拉伯世界和西方世界之间的跨文化对话。该项目旨在表彰年轻艺术家有利于阿拉伯/西方对话的创造性成就；\",\n \"(e) 和平力量网络：报道促进和平。该网络是一个互动平台，寻求通过媒体及信息和通信技术，利用创新机制促进和平。\",\n \"46. 此外，联合国教科文组织/姐妹学校方案与不同文明联盟密切合作，设立了一个网络，把巴西、中国、埃及、美利坚合众国、西班牙和加勒比区域6所大学中的媒体和信息教育与文化间对话相结合。活动将包括推动与媒体和信息教育有关的国际和文化间研究、会议、出版、培训活动和内容制作，并将其应用于跨文化、宗教间对话和全球合作。\",\n \"47. 为促进非洲之角民间社会对话，教科文组织与大非洲之角地平线论坛这一独立的研究政策论坛合作，在该区域研究人员和散居国外研究人员的参与下，组织了一次青年事务部长会议(2010年12月，吉布提)。会议审查了每一个成员国现有的研究并为其确定了政策建议。\",\n \"48. 此外，教科文组织还支持了2011年4月非洲与美洲之间关于“非洲及其散居国外人口”的区域间哲学对话会议。在非洲裔人国际年(2011年)框架之中组织的这次会议召集了非洲、散居国外群体和美洲的哲学家一道讨论当代各种挑战。对话推动设立了一个非洲、拉丁美洲、加勒比和北美哲学家组成的网络，以期通过学生交流方案等办法加强学术合作和能力建设。\",\n \"49. 在中亚，通过设立一个门户网站作为与欧洲开展艺术和文化合作及对话的工具，并通过中亚国际研究所和国际游牧文明研究所开发的各种活动(考察、会议、科研和出版)，文化间对话得到了推动。\",\n \"50. 在东南欧，国家元首之间的跨文化对话通过组织一系列区域会议得到了支持，举办这些会议的地点是：前南斯拉夫的马其顿共和国奥赫里德(2003年)、地拉那(2004年)、保加利亚瓦尔纳(2005年)、克罗地亚奥帕蒂亚(2006年)、布加勒斯特(2007年6月)、雅典(2008年6月)、黑山采蒂涅(2009年)和土耳其伊斯坦布尔(2010年)，会议目标是为未来确立一个基于国际合作的共同愿景。2011年的首脑会议将在塞尔维亚举行。\",\n \"51. 在以色列和巴勒斯坦领土方面，已设立了一个男女人数平衡的联合(以色列-巴勒斯坦)学术委员会，由来自以色列和巴勒斯坦各大学、科研院所和智囊团的成员组成。该委员会将共同开展工作推动和争取实现以色列人和巴勒斯坦人内部和之间的对话与学术合作。\",\n \"52. 在中东，通过与罗马大学合作启动的第三版大学合作方案，即2010-2011年“社会科学与人道主义事务大师”，建设和平及文化间理解也得到了促进。该方案将推动以色列和巴勒斯坦大学的教师和学生之间的学术交流与合作。\",\n \"53. 教科文组织推动有利于和平与非暴力的科学，将其视为文化间对话与合作的一个媒介，以帮助预防潜在的争夺淡水和可耕地等自然资源的冲突，并解决复杂的全球环境与发展挑战。为此，它对以色列、巴勒斯坦科学组织予以了技术支持，该组织为巴勒斯坦和以色列科学家就联合科学项目开展合作提供了机会。教科文组织还为马耳他会议系列提供了支持，这些会议召集中东及邻近区域的科学家一道讨论与该区域化学研究和教育有关的问题并共同寻求令各方都满意的解决方案。这一系列中的第五次会议在教科文组织总部召开(2011年12月)，主题是“化学科学前沿：研究和教育在中东：通向和平及国际发展的桥梁”。\",\n \"54. 教科文组织通过其人与生物圈方案支持各国建立跨境生物圈保护区，以在与适应气候变化、生物多样性丧失、可持续发展和生态旅游有关的问题上促进和解、文化间对话、和平与合作。现有10个这种保护区分布在拉丁美洲、欧洲和非洲的15个国家。在国际协调理事会2011年6月的最近一次会议上，该方案核准了萨尔瓦多/危地马拉/洪都拉斯的特里芬尼奥兄弟友好(Trifinio Fraternidad)生物圈保护区，这是中美洲第一个三国生物圈保护区。\",\n \"55. 教科文组织通过其“从潜在冲突到合作潜力”方案为多层次、跨学科对话提供了便利，以促进与共有跨界水资源管理有关的和平、合作与发展。该方案力图强化各利益攸关方在共有跨界水资源管理方面预测、预防和解决水冲突的能力，从而加强用水保障。\",\n \"56. 通过支持每年11月10日庆祝争取和平与发展世界科学日的活动，也提高了对推动科学促进和平的重要性的认识。\",\n \"G. 支持参与式沟通和信息自由流动的行动\",\n \"57. 教科文组织继续开展关键的能力建设行动，重点是强调媒体在促进对话、民主和发展进程以及在保护人权方面的有益作用。媒体专业人员在新闻安全、冲突敏感报道和报道选举方面的能力得到了加强。\",\n \"58. 通过2010年的几项活动提高了对言论自由和获取信息的权利的认识。2010年世界新闻自由日的重点是“新闻自由：知情权”这一主题。在澳大利亚举行的世界新闻自由日国际会议上，与会者通过了《布里斯班宣言》，呼吁各国政府通过信息自由法，并强调了独立和多元化媒体的重要性，指出这是良政和以人权为基础的发展的基本要素。至少在100个国家中庆祝了世界新闻自由日。教科文组织/吉列尔莫•卡诺奖颁发给了 Mónica González Mujica，以表彰她在智利独裁期间进行的深入调查的新闻报道。\",\n \"59. 为在言论自由领域开展工作的政府间组织和非政府组织提供了支持，特别是在结束有罪不罚现象和暴力侵害记者问题方面。教科文组织继续支持国际言论自由交流网，特别是支持发展中国家和转型期国家的团体推动更好地保护新闻自由和新闻工作者的权利。2010年，媒体专业人员的安全特别令人关切，教科文组织总干事谴责了62名新闻工作者遭到杀害的事件。国际通信发展方案理事会通过了关于新闻工作者安全和有罪不罚问题的决定，呼吁各国向教科文组织报告它们调查杀害新闻工作者案件的情况。\",\n \"60. 通过国际通信发展方案为在61个发展中国家启动83个项目提供的支持，协助会员国发展免费、独立和多元化的媒体。墨西哥的“农民之声”社区无线电台和埃及记者Amr Mamdouh Ellissy共同获得2010年联合国教科文组织-国际通信发展方案农村通讯奖。\",\n \"61. 教科文组织继续推广社区电台和社区多媒体中心，在19个国家推出了社区电台项目。在管理、可持续性、节目编排和社区参与方面确定了总共50项社区电台最佳做法，并为世界社区广播协会提供了支持，以制订社区电台业者共同业务守则。由教科文组织支持的印度社区电台政策审查产生了一项建议，即创建一个国家公共基金，以支持社区媒体的发展。\",\n \"62. 媒体培训和新闻教育机构的能力也根据教科文组织的新闻培训优良标准得到加强，有51个国家的63个新闻培训机构采用了教科文组织的新闻教育示范课程。\",\n \"63. 教科文组织还为制订国家信息政策框架提供了协助，尤其是在全民信息方案的框架中提供了协助，从而推动了信息的普及。\",\n \"64. 粮农组织为利用农村广播、参与式视频、打印和视听工具等媒体提供了支持，以增强农村民众对发展举措的参与和拥有。粮农组织通过其“弥合农村数字鸿沟以减少贫穷和粮食不安全状况”方案开展工作，加强在农村地区利用和交流信息的人员和机构能力，同时利用各种媒体减少贫穷和确保粮食安全。\",\n \"65. 国际电联于2008年提出了儿童在线保护举措，以提高对儿童在线保护重要性的认识、对包括儿童自己在内的公众进行教育并为他们制订指导方针。这一举措还在制订可交互操作的技术标准以对在线儿童进行保护，并帮助各国建立国家热线和制订国家战略及开展立法进程。国际电联在2011年世界青年和平高峰会期间举行了一个关于“技术之声：聚焦于青年和上网”的专题小组讨论会，并在联合国青年问题高级别会议期间举办了一次以“信息技术作为和平、人权与发展的催化剂”为主题的大型活动，以推动信息和通信技术为促进和平发挥作用。\",\n \"H. 促进国际和平与安全的行动\",\n \"66. 教科文组织通过一个专门的跨部门平台为处于冲突后和灾害后局势的国家提供了支持，以协助这些国家：重建其教育体系以实现全民教育的目标；提供政策咨询和知识专长以化解可能出现的争夺自然资源冲突；振兴国内研究设施；将防灾和减灾工作、特别是早期预警系统纳入冲突后和灾害后对策；保护和修复受到破坏的文化和自然遗产。\",\n \"67. 在本报告所述期间，向遭受自然灾害影响的国家提供了支持，这些自然灾害是：海地地震、贝宁和巴基斯坦洪水、印度尼西亚海啸和火山爆发以及日本地震和海啸。它还支持了一批处于冲突后环境的国家，例如阿富汗、刚果民主共和国、伊拉克、巴勒斯坦被占领土以及数个西非国家。\",\n \"68. 教科文组织参加了由联合国人道主义事务协调厅发起的26次呼吁中的16次，特别是为应对海地地震和巴基斯坦洪灾发出的呼吁。它还开始执行联合国国家工作队10项联合方案中的8项，预计将在西班牙实现千年发展目标基金“解决冲突与建设和平”这一专题窗口下拨款830万美元(巴西、智利、哥斯达黎加、刚果民主共和国、危地马拉、海地、前南斯拉夫的马其顿共和国、墨西哥、黎巴嫩和巴拿马)。\",\n \"69. 应危机后非洲国家的请求，向在它们境内与联合国合作伙伴、尤其是与难民署和非洲区域组织开展的联合活动提供了支持，特别是通过教科文组织的紧急状况和重建教育方案提供了支持。教科文组织在其主管领域为科特迪瓦制订的一个冲突后全面支持方案于2008年启动，并为有特殊需要的国家(吉布提、利比里亚、塞拉利昂和苏丹)架设了天线。在区域和次区域这两级，作为联合国区域协调机制的一部分，教科文组织还在非洲联盟冲突后重建与发展行动框架中向非洲联盟和向一批区域组织举措提供了支持。\",\n \"70. 教科文组织还推出了关于“隐藏的危机：教育中的武装冲突”的2011年《全民教育全球监测报告》，报告检讨了冲突对实现全民教育目标的破坏性后果。它制订了一项议程，以保护在冲突中受教育的权利，加强为受冲突影响的儿童、青年和成人提供的援助，以及在刚刚摆脱冲突的国家重建教育系统。它借鉴一系列国家的经验，找出了一批问题并提出了解决方案，以使教育可以成为促进和平、社会凝聚及人类尊严的力量。\",\n \"71. 为通过进一步努力争取多个利益攸关方参与不同文化的对话以促进国际和平与安全，教科文组织与范围广泛的合作伙伴和组织进行了协商，以确定联合行动和建立伙伴关系的可能。\",\n \"72. 教科文组织还参加了联合国机构间的反恐工作队，并于最近提交了供资提案，以制订和执行一批方案，在尼日利亚支持预防冲突、推动和平教育并协助抗御暴力极端主义的吸引力。\",\n \"73. 难民署通过其德国(艾伯特·爱因斯坦)难民学者倡议(难民学者倡议)奖学金方案推动教育促进重建、建设和平及国家建设。2010年，37个国家的1 900名学生通过这一方案推进了他们的大学学业。通过加强自力更生能力和开发人力资本，难民学者倡议树立了难民榜样、促进了持久解决办法并使学生具备有利于重建、建设和平及国家建设的重要技能。\",\n \"74. 粮农组织协调了冲突后国家中的一批行动计划以支持冲突后局势中的农业发展和粮食安全，并参加编写了冲突后需求评估中的农业各部分。这一评估工作由联合国发展业务协调办公室协调。\",\n \"75. 儿基会支持了儿童友好空间方案，在阿富汗、阿尔巴尼亚、安哥拉、哥伦比亚、萨尔瓦多、海地、科索沃、利比里亚、东帝汶和土耳其把寓教于乐、同伴交往和表达活动都结合到一个保护性空间中进行。儿童基金会还支持在尼泊尔发展一种全部门办法，以帮助建立一个更公平的制度和增进凝聚力。紧急情况中和危机后过渡期间教育方案自2006年运作以来，在39个国家和领土支持了儿基会的教育方案拟订工作。冲突是该方案供资的许多国家的一个特点。儿基会与负责儿童与武装冲突问题的秘书长特别代表办公室合作，通过2005年安全理事会第1612(2005)号决议所设关于在武装冲突中严重侵犯儿童问题的监察和报告机制，记录了在22个国家各种局势中犯下的严重侵犯儿童的行为。这些资料载于开列了犯有严重侵犯行为者名单的秘书长年度报告中。\",\n \"76. 人居署支持总共48个国家执行政策以增进使用土地和获得住房的机会，包括危机后重建方面的政策。其中15个国家已获得危机后重建支持，其中6个在非洲和阿拉伯国家区域、8个在亚洲和太平洋区域、1个在东欧和中欧区域。\",\n \"77. 国际劳工组织向处于冲突后局势中的国家提供了技术援助，展示以就业为重点应对建设和平挑战的效力。它还为政府、雇主组织和工人组织(即劳工组织所代表的三方)提供了促进体面劳动和社会正义方面的能力建设，执行方式是开展培训、提供咨询(包括劳工资料和统计数据、劳动法规和重建方面)和传播相关出版物。这也包括向捐助方和伙伴机构以及在媒体上倡导把就业置于建设和平工作的核心地位。\",\n \"78. 世界银行最近发布了《2011年世界发展报告：冲突、安全与发展》，其中强调了体制合法性在支持国家-社会契约方面的重要性以及为减少暴力而投资于公民安全、司法和就业的必要性。它致力于落实《2011年世界发展报告》所传递的关键信息，包括加强与在脆弱局势中开展工作的关键行为体的伙伴关系，特别是同联合国各基金、方案和机构的关系。\",\n \"二. 促进和平与非暴力文化的今后行动\",\n \"79. 教科文组织在为世界儿童建设非暴力与和平文化国际十年(2001-2010年)和2010国际文化和睦年所总结经验教训的基础上再接再厉，正在同会员国协商制订一个综合的、跨部门和跨学科的和平与非暴力文化行动纲领。这一行动纲领的目标是进一步加强在国家、区域和国际各级促进和平与非暴力文化的全球运动。\",\n \"80. 根据2011年5月教科文组织执行局关于编制其2012-2013年方案和预算草案的决定，在编制该预算时，将规定在以下方面开展数目现实的定向行动：\",\n \"(a) 加强促进和平与非暴力文化的教育，以实现文化间团结和代际对话以及有利于和解及建设和平的相互理解；\",\n \"(b) 宣扬自然科学，将其作为一种通用语言及文化间对话和交流以及促进和平的媒介；\",\n \"(c) 强调社会和人文科学在促进普世价值、民主和人权方面的作用；\",\n \"(d) 突出文化多样性、文化间对话和以及各种形式的遗产在促进相互理解与和解方面的重要作用；\",\n \"(e) 通过强调年轻人对新媒体的使用，探索作为和解、宽容和文化间理解的中介的媒体所提供的机会。\",\n \"81. 教科文组织将致力于在全球、区域、次区域和国家各级调动所有相关的利益攸关方。它还将利用其在教育、科学、文化、通信和信息方面的多学科知识专长，制订具有创意的方案，以在促进和平与非暴力文化方面取得影响力较大的成果。\",\n \"82. 行动纲领将由一个专门的和平与非暴力文化跨部门平台执行和管理。该平台还将负责执行沙特阿拉伯王国提出的一项举措，即“阿卜杜拉·本·阿卜杜勒·阿齐兹和平与对话文化国际方案”，该国为此已捐款500万美元。\",\n \"三. 建议\",\n \"83. 大会不妨考虑以下行动：\",\n \"(a) 为加强政策一致性，探讨是否可能就涉及以下方面的问题统一向大会作出报告：和平文化、文化多样性、宽容、相互理解、和睦、非暴力以及文化间对话，包括宗教间的对话；\",\n \"(b) 呼吁联合国发展集团，包括其区域团队和联合国所有国家工作队，把重点在于促进和平与非暴力文化的方案单元纳入共同国家方案拟订的工作和文件，主要是纳入联合国发展援助框架，包括酌情把以预防和化解冲突以及冲突后和解为重点的方案单元纳入其中；\",\n \"(c) 邀请联合国系统职员学院制订这方面的培训单元和学习材料，并为联合国国家工作队提供培训讲习班，以建立联合优势，加强一致性和协调，使这些工作队能更好地回应具体的国家需要；\",\n \"(d) 设立一个和平与非暴力文化问题机构间工作组，以讨论共同举措和考虑制订一个规定了目标和可衡量的预期成果的路线图，并监测这方面工作的落实情况；\",\n \"(e) 欢迎教科文组织努力建立国家和区域机制，例如文化间论坛，从基于人权的角度突出文化间对话和文化多样性的好处，以在日常生活中打击暴力和建设和平，并邀请会员国在它们为和平文化所作承诺的背景中维持这方面的努力；\",\n \"(f) 鼓励会员国在积极推动文化间对话和致力于促进可持续发展及和平的各组织之间建立联系，以期为和平相处创造新的动力。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 15 of the provisional agenda*","Culture of Peace","Implementation of the Declaration and Programme of Action on a Culture of Peace","Note by the Secretary-General","The Secretary-General hereby transmits the report of the Director-General of the United Nations Educational, Scientific and Cultural Organization submitted pursuant to General Assembly resolution 65/11.","Report of the Director-General of the United Nations Educational, Scientific and Cultural Organization","Summary","The present report, prepared by the United Nations Educational, Scientific and Cultural Organization (UNESCO), presents a succinct summary of the activities carried out over the past year by UNESCO and other relevant United Nations entities to implement the Declaration and Programme of Action on a Culture of Peace, as requested by the General Assembly in resolution 65/11. The report includes contributions received from the International Labour Organization, the Food and Agriculture Organization of the United Nations, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, the United Nations Human Settlements Programme, the International Telecommunication Union, the United Nations Children’s Fund, the University for Peace, the Office of the United Nations High Commissioner for Refugees, the United Nations Office on Drugs and Crime, the United Nations Entity for Gender Equality and the Empowerment of Women and the World Bank. It also includes a section on recommendations for future action.","I. Implementation of the Programme of Action on a Culture of Peace","1. The present report is submitted in accordance with resolution 65/11 and provides information on actions undertaken to implement the resolution and on activities undertaken by the United Nations system to implement the Programme of Action and to promote a culture of peace and non-violence. It provides information on how the United Nations Educational, Scientific and Cultural Organization (UNESCO), for which the promotion of a culture of peace is the expression of its fundamental mandate, is strengthening further the global movement for a culture of peace following the observance of the International Decade for a Culture of Peace and Non-violence for the Children of the World (2001-2010), at the national, regional and international levels. It also provides an overview of the activities carried out by the International Labour Organization (ILO), the Food and Agriculture Organization of the United Nations (FAO), the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), the United Nations Human Settlements Programme (UN-Habitat), the International Telecommunication Union (ITU), the United Nations Children’s Fund (UNICEF), the University for Peace, the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Office on Drugs and Crime, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) and the World Bank to implement resolution 65/11 on the Implementation of the Declaration and Programme of Action on a Culture of Peace. These activities are presented in eight sections, corresponding to the eight actions defined in the Programme of Action on a Culture of Peace.","A. Actions to foster a culture of peace through education","2. Within the framework of the 1974 Recommendation concerning Education for International Understanding, Cooperation, Peace and Education relating to Human Rights and Fundamental Freedoms, UNESCO continued to foster a culture of peace through education by supporting its member States in providing quality, inclusive education that promotes the values of peace, human rights, tolerance, intercultural understanding, democracy, non-violence and respect.","3. In collaboration with relevant partners, UNESCO strengthened Member States’ capacities to integrate the human rights-based approach throughout their educational systems by developing practical guidelines on competencies related to core values, such as human rights, peace and tolerance, and education for sustainable development for its member States and disseminating good practices. This included the provision of support and policy advice for the promotion of culturally and linguistically appropriate learning materials. The organization also developed teaching and learning resources, manuals and guidelines on relevant topics, such as learning to live together, human rights and the rights of the child, peace and democracy, gender equality, and the prevention of violence in schools.","4. UNESCO continued to advocate for peace, human rights, intercultural understanding and Holocaust remembrance education through high-level international and regional policy forums, building on its affiliated networks and institutes, including the UNESCO Associated Schools Network, UNESCO Chairs and University Twinning and Networking programme, and the Asia-Pacific Centre of Education for Intercultural Understanding in Seoul. Outstanding examples of activities designed to mobilize countries and peoples in favour of peace were also rewarded. The 2010 Félix Houphouët-Boigny Peace Prize was awarded to The Grandmothers of the Plaza de Mayo, a non-governmental organization in Argentina, in recognition of its tireless battle for over 30 years in pursuit of human rights, justice and peace. Support was also provided for the 2011 Goi Peace Foundation International Essay Contest for Young People.","5. A number of concrete results were delivered through the innovative modality of an organization-wide intersectoral platform on intercultural dialogue and a culture of peace. Important achievements included the digitization of the now completed general and regional histories and the adoption by representatives from 46 African countries of jointly agreed pedagogical content drawn from the general history of Africa. An interregional and interfaith study was undertaken with a view to analysing contemporary interreligious dialogue practices among youth worldwide, and the publication Stopping Violence in School — A Guide for Teachers was widely distributed in Arabic, English, French and Spanish. The Power of Peace Network provided support to a number of projects in different countries and regions, such as the youth broadcasting initiative “Connecting cultures”, the joint Palestine/United Kingdom of Great Britain and Northern Ireland video production “Our everyday lives”, and the online debate programme and contest in Zambia, “This is my life …”. The Power of Peace Network also contributed to the curriculum on conflict-sensitive reporting and the related training workshop series in cooperation with Rhodes University in South Africa.","6. Building on the opportunity of the observance of the International Year of Youth (2010), progress was made in raising awareness on youth development issues and on the role of youth in supporting national development and a culture of peace and non-violence. As the co-Chair of the Inter-Agency Network on Youth Development, UNESCO supported the adoption and implementation of a United Nations framework approach for the celebration of the International Year of Youth, the joint statement of the heads of United Nations entities on the International Year of Youth and the joint United Nations input to the World Youth Conference (Mexico City, August 2010). Through partnerships with the sports movement, UNESCO also raised awareness of the importance of sports in youth development and community action, as well as in building a culture of peace and non-violence. This included the organization with the International Olympic Committee of the 7th World Conference on Sport, Education and Culture: “Giving a Voice to Youth” (Durban, South Africa, December 2010). Research was supported in Latin American and the Caribbean and in the Commonwealth of Independent States to provide Member States with information to elaborate policies and programmes on youth, including on the prevention of youth violence. Policy advice for the development of realistic and achievable action-oriented policy documents on youth was also provided to small island developing States in the Pacific.","7. To address the specific challenges faced by youth, FAO continued to support the Junior Farmer Field and Life Schools approach in several African countries, Asia and Middle East. The approach combines the provision of support for vocational educational training opportunities with the promotion of employment. Using the agricultural calendar as a model for life, youth learn agricultural skills while developing corresponding life lessons, such as setting goals, the importance of personal space for growth, and teamwork. There is also an employment-oriented component, which encourages and facilitates graduates’ inclusion in farmers’ federations and unions in order for them to access resources and place their produce in the markets.","8. Together with other United Nations agencies, including UNESCO, UN‑Habitat, through its Safer Cities Programme, strengthened the focus of city development on the most vulnerable categories of young people, building on their social capital to enhance opportunities within disadvantaged communities and neighbourhoods, including schools and active citizenship. Through this programme, a global network on safer cities is being developed to strengthen the global movement for a culture of peace.","9. UNHCR continued to deliver education and sport for refugee youth through its Nine million campaign, which reached 460,000 people in 2010, promoting a culture of peace and non-violence in 20 countries. All projects enhanced the coexistence between refugees and the host community, and several reduced the risk of military recruitment of out-of-school youth. Programme reports show that sport had a significant impact in combating, among other issues, destructive behaviour, HIV, drug abuse and sexual and gender-based violence. Seventy-five per cent of the projects particularly targeted out-of-school youth and girls, who could play key roles in a country’s peace, reconstruction and prosperity if given the opportunity.","10. UNHCR worked in a number of countries to implement programmes that aim to roll back xenophobia by promoting tolerance towards and respect for foreigners, including refugees. It recently launched a campaign in Latin America on the theme “Let’s put ourselves in the shoes of refugees and displaced persons and take the first step to understand their situation” to promote tolerance and local integration of refugees and displaced persons.","11. The University for Peace, mandated by the General Assembly in 1980 to offer education for peace to humanity, worked actively to build a culture of peace through its educational and capacity-building programmes. It reached out to a wider audience by arranging partnerships and exchange programmes with other universities and initiating online, distance-learning instruction programmes, including a unique, complete online MA programme in peace studies.","12. UNICEF developed a framework for rights-based, child-friendly educational systems and schools that are characterized as “inclusive, healthy and protective for all children”. This child-friendly schooling approach was used by several countries to address violence against children and promote peace education. Schools as centres of care and support provide much-needed services for the most disadvantaged children, particularly orphans, and those who have suffered from violence. These services include water, sanitation and hygiene (WASH), ChildLine, school feeding and school health, and are combined with the participation of parents, police and the children themselves in school governance. Agreements between UNICEF and Child Helpline International, approved in 2010, benefited 11 countries in the Eastern and Southern Africa regions. Results associated with these agreements include the setting up of toll-free ChildLine numbers, short messaging service/online counselling, and ongoing child protection mapping exercise.","13. As the most marginalized, poor and disadvantaged people are also those at increased risk for drug use and dependence, the United Nations Office on Drugs and Crime helped to build a culture of peace and non-violence by reaching out to them through its demand reduction projects. These projects focused on promoting the understanding of drug use and dependence as a health disorder that can be addressed effectively within the health system, using evidence-based approaches to drug abuse prevention, treatment and care. Prevention programmes, such as life skill training, family skills training and workplace-related programmes, help to build healthier and safer communities that contribute to peaceful societies. Comprehensive drug dependence treatment and care services are powerful tools for the rehabilitation and reintegration into their societies of those affected by the use of and dependency on drugs so that they can contribute to building and sustaining peace.","B. Actions to promote sustainable economic and social development","14. As the lead agency for the 2005-2014 United Nations Decade of Education for Sustainable Development, UNESCO is supporting Member States in integrating the principles, values and practices of sustainable development into the design and development of inclusive education policies and plans, including climate change education, teacher development policies, textbook and curriculum revision and renewal of pedagogical approaches. It is also advocating for a strong commitment to cultural diversity. Since the last reporting period, a multiperspective learning tool in Education for Sustainable Development with a focus on water, was prepared in cooperation with the Islamic Educational, Scientific, and Cultural Organization, and will soon be tested in the field. In addition, UNESCO also developed capacities on climate change education in several Member States (in particular the Maldives and Viet Nam), and contributed to the United Nations Climate Change Conference in Cancun, Mexico (COP 16). The International Year of Biodiversity and the Tenth Conference of the Parties to the Convention on Biological Diversity (COP X) (Nagoya, Japan, 27-29 October 2010) provided many opportunities for further cooperation with the Associated Schools Network, the UNESCO Education for Sustainable Development Chairs network, the World Network of Biosphere Reserves and the Man and the Biosphere programme. UNESCO also supported the least developed countries in achieving their sustainable development goals and contributed to the Programme of Action adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May 2011.","15. The United Nations Office on Drugs and Crime worked to reduce poverty as part of its alternative development activities and illicit crop reduction programmes through farm and off-farm activities that promote legitimate income-generating opportunities to farmers and is based on market-driven demand. The Office strove to promote food security by delivering technical assistance to help increase food productivity, in particular through the provision of high-yield, disease-resistant seeds as well as assistance in creating and managing food banks.","16. FAO helped to empower the rural poor to become fully integrated in the development process and, consequently, less susceptible to be involved in conflicts through its Education for Rural People flagship partnership. Through this partnership, which includes 400 members (governments, intergovernmental organizations, civil society and academia), FAO helped mainstream Education for Rural People in national development plans and produced several publications and toolkits.","17. FAO fielded operations in 28 countries in Africa, Asia and Latin America, touching the lives of more than 9 million people in rural areas. Projects were supported with funding of over $315 million that was received from the European Union Food Facility.","18. UNRWA continued to implement a large-scale poverty relief programme, as well as emergency feeding programmes for the poorest of the poor. The Agency’s Social Safety Net Programme provided a measure of support to abject poor families through a small cash subsidy and food package distributed quarterly to nearly 300,000 refugees throughout the region. In addition, the Agency provided emergency support in the form of food, cash and emergency employment opportunities to those who were affected by conflict and natural disaster. These emergency interventions are ongoing in the Gaza Strip, the West Bank and Lebanon, with hundreds of thousands of needy beneficiaries throughout the region receiving one or more of these interventions.","19. UN-Habitat continued to ensure access to affordable and adequate housing for the poor and to help improve slums and prevent their formation in a systemic manner. Action taken was in implementation of a resolution by its Governing Council to formulate a new global housing strategy, which took into account the challenges of providing adequate and sustainable housing and basic infrastructure and the need to integrate housing policies into broader urban planning strategies and governmental actions, aligning them with other social, economic and environmental policies.","C. Actions to promote respect for all human rights","20. UNESCO continued to actively promote the right to education through its work to implement the World Programme for Human Rights Education, adopted by the General Assembly in 2004 (see General Assembly resolution 59/113 A). A series of materials was developed to assist Member States in integrating education for peace and human rights into school systems, including the publication Contemporary Issues in Human Rights Education. A short film entitled Education for human rights young people talking was also produced in cooperation with the national commissions for UNESCO and national coordinators of the UNESCO Associated Schools Project Network from 10 countries. The film showcases the concerns of and challenges facing young people in schools today related to gender equality, violence, peace and cultural diversity from a human rights education perspective.","21. To reinforce advocacy, capacity-building and policy-oriented action in the area of human rights, UNESCO contributed to the collection and design of training materials in the framework of the new human rights mainstreaming mechanism of the United Nations Development Group. This mechanism aims to increase the effectiveness of the United Nations in applying a human rights-based approach to programming, especially at the country level, in the formulation of United Nations Development Assistance Frameworks.","22. Other human rights training materials that were developed during the reporting period include the master of the manual entitled Empowering the Poor through human rights litigation, and the four volumes of the UNESCO pioneer collection on freedom from poverty as a human right, which offers a multidimensional analysis of poverty.","23. As part of the efforts of UNESCO to raise awareness of human rights, the Director-General awarded on Human Rights Day (10 December) the UNESCO/ Bilbao Prize for the Promotion of a Culture of Human Rights to Asma Jahangir of Pakistan in recognition of her commitment and contribution to fostering interreligious and intercultural dialogue, tolerance, mutual understanding and cooperation for peace.","24. The United Nations Office on Drugs and Crime addressed issues relating to human rights and gender equality through its HIV prevention, treatment, care and support programmes. In 2010, it provided support to some 40 countries to conduct legal and policy reviews as they relate to HIV and prison settings, HIV and injecting drug users, and people vulnerable to human trafficking. In at least 49 countries, the Office has provided technical support to develop human rights-based, gender-responsive and equitable AIDS policies and programmes for prison settings, injecting drug users and people vulnerable to human trafficking in line with human rights treaties and related international standards.","25. Through UNRWA programmes in education, health and social services, and infrastructure and refugee camp improvement as well as microfinance, the Agency contributed to the realization of various socio-economic rights of Palestine refugees. Education services were the most prominent. Nearly 500,000 children continued their education in almost 700 UNRWA schools throughout the region, taught by nearly 20,000 teaching staff of the Agency.","D. Action to ensure equality between women and men","26. UNESCO worked to ensure equality between men and women by giving priority to the pursuit of gender equality through action in all its fields, having been designated as one of two global priorities in the medium-term strategy for 2008-2013. A results-based Priority Gender Equality Action Plan for 2008-2013, endorsed by its Executive Board, describes the actions that UNESCO programme sectors are to pursue for the empowerment of women and gender equality.","27. To strengthen the efforts of UNESCO in empowering girls and women through quality education, the Director-General launched a new global partnership for girls’ and women’s education at a high-level forum on 26 May 2011, in the presence of United Nations Secretary-General Ban Ki-moon, the Prime Ministers of Bangladesh and Mali and the United States Secretary of State, as well as representatives of non‑governmental organizations and business leaders. The UNESCO Global Partnership for Girls’ and Women’s Education, “Better life, better future”, supported by a high-level panel, focuses on reaching illiterate or semi-literate adolescent girls and scaling up women’s literacy programmes through partnerships with corporations such as Nokia, Procter and Gamble, GEMS education, Microsoft, Apple (Macintosh) and the Packard Foundation. Some of the projects have already been initiated in Africa and Asia.","28. UNESCO developed initiatives to foster the participation of women in conflict resolution, peacebuilding and reconstruction, and to address gender-based violence, notably through the Palestinian Women’s Research and Documentation Centre in Ramallah, the category 2 Regional Research and Documentation Centre for Women, Gender and Peacebuilding for the Great Lakes Region in Kinshasa, and through its International Network of Women Philosophers.","29. To support and encourage young women from all cultural backgrounds to go into jobs in scientific fields, the Organization provided capacity development and training opportunities in the sciences for women, namely through its UNESCO-IHE Institute for Water Education in Delft, the Netherlands, by providing fellowships for young women scientists through the UNESCO L’Oréal partnership and by establishing and reinforcing new associations and networks of women scientists.","30. The political and social empowerment of women was also promoted through education and training programmes in the conservation and management of cultural, natural and intangible heritage. Priority was also given to women craft workers to assist them in developing their small enterprises so as to heighten the socio-economic benefits. In addition, culturally sensitive and gender-responsive policies and actions at the country level in HIV/AIDS prevention and care as well as in maternal health were developed at the country level in the context of “delivering as one”.","31. Through its community-based information literacy campaigns, the Organization reinforced the capacities of women to access and use information and communications technologies for development and lifelong learning, in particular for sustainable livelihoods. An example is the pilot mobile literacy programme that UNESCO launched with the Bunyad Foundation and the mobile phone company Mobilink, through which 50 community-based learning centres were established in which 1,250 illiterate women acquired basic literacy skills.","32. FAO continued to mainstream gender concerns in agriculture and rural development programmes by organizing gender training and awareness-raising events for policy- and decision makers and technical staff in order to support them with the formulation and implementation of gender-sensitive programmes and projects to address gender gaps in agriculture and food security, with special emphasis on access and control of productive resources and for institutional strengthening.","33. UNRWA promoted gender equality by ensuring that girls and women have equal access to all of its services, by supporting vocational training centres for women, and by developing targeted programmes to further the rights of and opportunities for women. A number of women’s programme centres were established in camps throughout the region to provide services to women. Opportunities were also offered to women through the Equality in Action programme in Gaza, and specific loan schemes targeting female entrepreneurs were also developed through its Microfinance and Microenterprise Programme.","34. UN-Women supported Member States and United Nations system entities in achieving gender equality and women’s empowerment through its activities in five thematic priorities, as reflected in its strategic plan, 2011-2013: (a) expanding women’s leadership and participation; (b) ending violence against women; (c) strengthening the implementation of the women and peace and security agenda; (d) enhancing women’s economic empowerment; and (e) making gender equality priorities central to national planning and budgeting at all levels.","35. ILO promoted gender equality through the provision of advisory services, training, tools development, advocacy and support for the collection, production and dissemination of good practices on gender equality issues in the world of work. At the country level, it supervised gender-specific technical cooperation programmes to address the concerns of women and men in the world of work and promoted efforts to mainstream gender into technical areas of the work of ILO. It also piloted participatory gender audits among ILO constituents.","E. Actions to foster democratic participation","36. UNESCO fostered democratic participation through a number of initiatives, including the Arab and Asian philosophical dialogue on democracy and social justice, the dialogue on democracy and human rights between the Arab world and Africa, as well as through the research of the International Centre for Human Sciences in Byblos, Lebanon. In addition, it provided support for the establishment of media legislation conducive to free and independent media, the training of journalists and media professionals in non-partisan and independent reporting techniques, especially in conflict and post-conflict areas, and by assisting the media in covering elections.","37. To accompany the transition to democracy in several countries of the Arab world, recent initiatives of UNESCO focused on fostering the civic engagement of youth in Egypt; strengthening freedom of the press, and training journalists and providing media professionals with pre-electoral assistance in Egypt and Tunisia, including an International Conference in support of Tunisian and Egyptian Broadcast Media co-organized with France télévisions and the European Broadcasting Union; and organizing capacity-building regional workshops in Beirut on designing, monitoring and evaluating social protection in the Arab world. In addition, an international round table was held on the theme “Democracy and renewal in the Arab world”, which brought together intellectuals and experts from the Arab world, to discuss how to make the transition to democracy. Based on the findings of this important round table, UNESCO developed a road map designed to accompany the transition to democracy in the Arab world.","F. Actions to advance understanding, tolerance and solidarity","38. In leading the 2010 International Year for the Rapprochement of Cultures, UNESCO capitalized on its experience of over 60 years to advance “the mutual knowledge and understanding of people”. The main objective of the Year was to help dissipate any confusion stemming from ignorance, prejudice and exclusion that create tension, insecurity, violence and conflict. The task was to demonstrate the benefits of cultural diversity by acknowledging the importance of exchanges between cultures and the ties forged between them. Its aim was to integrate the principles of dialogue into policies at all levels so as to foster an environment conducive to the rapprochement of cultures, thus enhancing harmonious relations among peoples.","39. The process to launch the Year was facilitated by a number of complementary initiatives. The parallel celebrations of several international years (International Year of Biodiversity, International Year of Youth and International Year for People of African Descent) and of World Days (such as World Philosophy Day and World Day of Cultural Diversity for Dialogue and Development) enabled a deepening and convergence of the themes addressed.","40. The action plan included four main themes, to facilitate the ownership of the Year by Member States, intergovernmental and non-governmental organizations: (a) promoting reciprocal knowledge of cultural, ethnic, linguistic and religious diversity; (b) building a framework for commonly shared values; (c) strengthening quality education and the building of intercultural competence; and (d) fostering dialogue for sustainable development. These themes were based on the principles of the equal dignity of cultures, mutual respect, and the strengthening of international cooperation for lasting peace.","41. The specific activities (almost 1,000 in all) organized by Member States and partners, including the Alliance of Civilizations and relevant stakeholders from civil society, to celebrate the Year can be found on the UNESCO website (http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures).","42. The Year was instrumental in building awareness within a wide, diverse and largely young audience of the wealth of cultural diversity and its corollary, intercultural dialogue, as part of rapprochement. One central idea emerged: in the new international landscape, greater account must be taken of the linkages among cultural diversity, dialogue, development, security and peace. These interdependent notions should inform a new approach to building a culture of peace and non‑violence. Dialogue can be effective only if the basic prerequisites, namely, equality, justice, poverty reduction and respect for human rights, are met.","43. In order to foster a reflection on the new dimensions of peace in the twenty-first century, the Director-General of UNESCO established a High Panel on Peace and Dialogue among Cultures. The High Panel, comprised of decision makers, intellectuals and artists from all regions of the world, convenes to chart new avenues leading to peace. Its principal mission is to complement the work of UNESCO in this area and to bring to bear a diversity of perspectives from various regions and a wide range of stakeholders. The first meeting of the High Panel was held on 18 February 2010 in Paris to launch the International Year for the Rapprochement of Cultures, 2010 (see A/65/299, annex). The High Panel met again in New York on 11 March 2011 and addressed the theme “Building peace: reconciliation through the power of education, the sciences, culture and communication”. The report on that meeting is available on the UNESCO website (http://www.unesco.org/ en/2011-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/).","44. UNESCO also contributed to peace, mutual understanding and social cohesion through the promotion of a dialogue among civilizations and cultures in accordance with the Global Agenda for Dialogue among Civilizations and its Programme of Action adopted by the General Assembly in 2001 (resolution 56/6), as well as with directions set by the governing organs of UNESCO.","45. In the framework of the Memorandum of Understanding signed with the Alliance of Civilizations (Rio, May 2010), UNESCO implemented the Intercultural Vademecum Programme with funding from Spain. This programme focuses on five projects which aim to reinforce the links between Arab-Muslim and European societies in order to foster mutual understanding. These projects are:","(a) A scientific, philosophical, literary and artistic anthology of Muslim/Arab civilization and its contribution to the revival of Western philosophy and culture. The anthology is designed as a tool for teachers, students and the general public to present an intercultural vision of history that unites the Muslim/Arab world and the West;","(b) A philosophical look at Muslim/Arab civilization: accounts of routes, encounters, bridges and dialogues. This entails the production of educational tools that aim to illustrate instances of dialogue and exchanges within and through the Muslim/Arab civilization and are geared towards secondary schoolteachers;","(c) Illuminating Interrelations and Engaging Dialogues: Museums as a Civic Space for Developing Intercultural Skills. This project is centred on developing museological approaches for communicating historical intercultural exchange;","(d) Young artists for intercultural dialogue between the Arab and Western worlds. This project aims to give recognition to young artists for their creative achievements in favour of Arab/Western dialogue;","(e) The Power of Peace Network: reporting for peace. The Network is an interactive platform that seeks to harness innovative mechanisms to promote peace through the media and information and communications technologies.","46. Furthermore, in close cooperation with the Alliance of Civilizations, the UNESCO/University Twinning and Networking Programme established a network linking media and information literacy to intercultural dialogue at six universities in Brazil, China, Egypt, Spain, the United States of America and the Caribbean region. Activities will include the promotion of international and intercultural research, meetings, publications, training activities and content production relating to media and information literacy and its application to cross-cultural, interreligious dialogue and global cooperation.","47. To promote the Dialogue in Civil Societies in the Horn of Africa, UNESCO collaborated with the Greater Horn Horizon Forum, an independent research policy forum with the participation of researchers from the region and from the diaspora, to organize a Conference of Youth Ministers (December 2010, Djibouti). The Conference examined available research and identified policy recommendations for each Member State.","48. In addition, UNESCO also supported an Interregional Philosophical Dialogue between Africa and the Americas on “Africa and its Diaspora” in April 2011. The Conference, organized within the framework of the International Year for People of African Descent (2011), brought together philosophers from Africa, its Diaspora, and the Americas to address contemporary challenges. The Dialogue facilitated the creation of a network of philosophers from Africa, Latin America, the Caribbean and North America with the aim of enhancing academic cooperation and capacity-building, including through student exchange programmes.","49. In Central Asia, intercultural dialogue was promoted through the creation of a Cultural Portal as a tool for cooperation and dialogue in the arts and culture with Europe, and through different activities (expeditions, conferences, scientific research and publications) that have been developed by the International Institute for Central Asian Studies and the International Institute for Nomadic Civilizations.","50. In South-Eastern Europe, intercultural dialogue among heads of State was supported through the organization of a series of regional meetings in Ohrid, the former Yugoslav Republic of Macedonia (2003), Tirana (2004), Varna, Bulgaria (2005), Opatija, Croatia (2006), Bucharest (June 2007), Athens (June 2008), Cetinje, Montenegro (2009), and Istanbul, Turkey (2010), which aimed to create a common vision of the future that is based on international cooperation. The 2011 Summit will be held in Serbia.","51. For Israel and the Palestinian Territories, a gender-balanced Joint (Israeli-Palestinian) Academic Committee was set up, composed of members from different universities, research institutes and think tanks in Israel and Palestine. The Committee will work together towards the attainment and the promotion of dialogue and academic cooperation within and between Israelis and Palestinians.","52. Peacebuilding and intercultural understanding in the Middle East was also promoted through the third edition of the Programme of University Cooperation “Masters on Social Sciences and Humanitarian Affairs” 2010-2011, launched in cooperation with the University of Rome. This Programme promotes academic exchanges and cooperation among faculty and students from Israeli and Palestinian universities.","53. UNESCO promoted science for peace and non-violence as a vehicle for intercultural dialogue and cooperation to help prevent potential conflicts over natural resources, such as freshwater and arable land, and to address complex global environmental and development challenges. To that end, it provided technical support to the Israeli Palestinian Science Organization, which offers opportunities for Palestinian and Israeli scientists to work together on joint scientific projects. It has also provided support for the Malta Conferences series, which bring together scientists from the Middle East and neighbouring regions to discuss problems relating to chemical research and education in the region, and to jointly seek solutions that are satisfactory to all. The fifth conference in this series was organized at UNESCO headquarters (December 2011) on the theme “Frontiers of chemical sciences: research and education in the Middle East: a bridge to peace and international development.”","54. Through its Man and the Biosphere Programme, UNESCO supported countries in establishing transboundary biosphere reserves to promote reconciliation, intercultural dialogue, peace and cooperation on issues related to adaptation to climate change, loss of biodiversity, sustainable development and ecotourism. There are 10 such reserves in 15 countries of Latin America, Europe and Africa. At its last International Coordinating Council meeting in June 2011, the programme approved the Trifinio Fraternidad Biosphere Reserve in El Salvador/Guatemala/Honduras, the first trinational biosphere reserve in Central America.","55. Through its programme “From potential conflict to cooperation potential”, UNESCO facilitated multilevel and interdisciplinary dialogues to foster peace, cooperation and development related to the management of shared, transboundary water resources. The programme attempts to enhance water security by strengthening the capacity of stakeholders in the management of transboundary water resources to anticipate, prevent and resolve water conflicts.","56. Awareness was also raised about the importance of promoting science for peace through activities that have been supported during the annual observance of World Science Day for Peace and Development on 10 November.","G. Action to support participatory communication and the free flow of information","57. UNESCO continued key capacity-building actions that underline the instrumental role that the media play in dialogue, democracy and development processes and for the protection of human rights. The capacities of media professionals were strengthened in journalism safety, conflict-sensitive reporting and reporting on elections.","58. Awareness of freedom of expression and access to information was increased through several activities in 2010. World Press Freedom Day 2010 focused on the theme “Freedom of information: the right to know”. Participants at the World Press Freedom Day 2010 international conference in Australia adopted the Brisbane Declaration, calling on governments to adopt freedom of information laws and highlighting the importance of independent and pluralistic media as fundamental elements of good governance and development based on human rights. The World Press Freedom Day 2010 was celebrated in at least 100 countries. The UNESCO/Guillermo Cano Prize was presented to Mónica González Mujica in recognition of her investigative journalism during the dictatorship in Chile.","59. Support was given to IGOs and NGOs working in the field of freedom of expression, in particular with regard to combating the impunity of crimes and violence against journalists. UNESCO continued to support the International Freedom of Expression Exchange network, in particular for groups in developing countries and countries in transition, to promote better protection of freedom of the press and the rights of journalists. The safety of media professionals was a critical concern in 2010, with the UNESCO Director-General condemning the killings of 62 journalists. The International Programme for the Development of Communication Council adopted a decision on the safety of journalists and the issue of impunity, calling on governments to report to UNESCO on their investigations into the killings of journalists.","60. Member States were assisted in the development of free, independent and pluralistic media through support from the International Programme for the Development of Communication for the launch of 83 projects in 61 developing countries. The Mexican community radio station, La voz de los campesinos, and the Egyptian journalist, Amr Mamdouh Ellissy, were the joint laureates of the UNESCO-International Programme for the Development of Communication Prize for Rural Communication in 2010.","61. UNESCO continued to promote community radio and community multimedia centres with the introduction of community radio projects in 19 countries. A total of 50 best community radio practices were identified in the areas of management, sustainability, programming and community involvement, and support was provided to the World Association of Community Broadcasters to develop a common code of practice for community radio operators. The community radio policy review in India, supported by UNESCO, resulted in a recommendation to create a national public fund to support community media development.","62. The capacities of media training and journalism education institutions were strengthened according to the UNESCO criteria of excellence in journalism training, with 63 journalism training institutions in 51 countries adapting the UNESCO model curricula for journalism education.","63. UNESCO also fostered universal access to information by assisting in the formulation of national information policy frameworks, in particular within the framework of the Information for All Programme.","64. FAO supported the use of media such as rural radio, participatory video, print and audiovisual tools to increase the participation and ownership of rural people of development initiatives. Through its programme “Bridging the rural digital divide to reduce poverty and food insecurity”, FAO worked to strengthen human and institutional capacities in rural areas to harness and exchange information using a variety of media so as reduce poverty and ensure food security.","65. ITU launched the Child Online Protection initiative in 2008 to raise awareness about the importance of protecting children online, educate the general public and develop guidelines, including for children themselves. The initiative is also developing interoperable technical standards to protect children online, helping countries to establish national hotlines and developing national strategy and legislative processes. ITU also promoted the role of information and communications technologies as catalysts for peace through a panel on the theme “Voices of technology: a focus on youth and access to the Internet” during the 2011 World Youth Peace Summit and the holding of an event on the theme “Information technology as a catalyst for peace, human rights and development” during the United Nations High-level Meeting on Youth.","H. Actions to promote international peace and security","66. UNESCO provided support to countries in post-conflict and post-disaster situations through a dedicated Intersectoral Platform. This Platform provided assistance to countries in reconstructing their educational systems with the goal of realizing education for all; providing policy advice and expertise on resolving conflicts that may arise over natural resources; revitalizing in-country research facilities; integrating disaster prevention and mitigation efforts, in particular early warning systems, into post-conflict and post-disaster responses; and protecting and rehabilitating damaged cultural and natural heritage.","67. During the reporting period, support was provided to Member States affected by natural disasters, namely, the earthquake in Haiti, the floods in Benin and Pakistan, the tsunami and volcanic eruption in Indonesia, and the earthquake and tsunami in Japan. It also supported countries in post-conflict environments, such as Afghanistan, the Democratic Republic of the Congo, Iraq, the Occupied Palestinian Territory and several countries in West Africa.","68. The Organization participated in 16 of the 26 appeals launched by the Office for the Coordination of Humanitarian Affairs, notably for the responses to the earthquake in Haiti and the floods in Pakistan. It also began implementation of 8 of 10 joint United Nations country team programmes with an expected allocation of $8.3 million, under the “Conflict resolution and peacebuilding” thematic window of the Spanish Millennium Development Goal Achievement Fund (Brazil, Chile, Costa Rica, Democratic Republic of the Congo, Guatemala, Haiti, the former Yugoslav Republic of Macedonia, Mexico, Lebanon and Panama).","69. Support was provided for joint activities with United Nations partners, notably UNHCR and African regional organizations, in all post-crisis African countries at their request, in particular through its Programme of Education for Emergencies and Reconstruction. A post-conflict overall support programme in UNESCO fields of competence for Côte d’Ivoire was launched in 2008, and antennas have been established in countries with specific needs (Djibouti, Liberia, Sierra Leone and Sudan). At the regional and subregional levels, UNESCO also provided support to the African Union and to regional organizations’ initiatives in line with the African Union framework of action for post-conflict reconstruction and development and as part of the United Nations Regional Coordination Mechanism.","70. UNESCO also launched the Education for All Global Monitoring Report in 2011 on “The hidden crisis: armed conflict in education”, which examined the damaging consequences of conflict for the Education for All goals. It sets out an agenda to protect the right to education during conflict, strengthen the provision of assistance to children, youth and adults affected by conflict, and rebuild educational systems in countries emerging from conflict. Drawing on experiences from a range of countries, it identified problems and set forth solutions that can help make education a force for peace, social cohesion and human dignity.","71. To promote international peace and security by furthering efforts to engage multi-stakeholders in the dialogue among cultures, UNESCO consulted with a broad range of partners and organizations to identify possibilities for joint action and partnerships.","72. UNESCO also participated in the inter-agency United Nations Counter-Terrorism Task Force and recently submitted a funding proposal to develop and implement programmes to support conflict prevention, promote peace education and contribute to countering the appeal of violent extremism in Nigeria.","73. UNHCR promoted education for reconstruction, peacebuilding and nation building through its Albert Einstein German Academic Refugee Initiative (DAFI) scholarship programme, through which 1,900 students in 37 countries advanced their university studies in 2010. By enhancing self-reliance and developing human capital, DAFI provided refugee role models, facilitated durable solutions and equipped students with skills important to reconstruction, and peacebuilding and nation building.","74. FAO coordinated a number of plans of action in post-conflict countries to support agricultural development and food security in post-conflict situations, and it also participated in developing the agricultural aspects of the post-conflict needs assessments, coordinated through the United Nations Development Operations Coordination Office.","75. UNICEF supported child friendly spaces, which combine learning with play, peer-to-peer socialization and expressive activities all within a protective space for children in Afghanistan, Albania, Angola, Colombia, El Salvador, Haiti, Kosovo, Liberia, Timor-Leste and Turkey. UNICEF also supported the development of a sector-wide approach in Nepal to contribute towards a more equitable system and foster cohesion. The Education in Emergencies and Post-Crisis Transition programme, in operation since 2006, supports UNICEF education programming in 39 countries and territories. Conflict represents a characteristic in many of the countries that are funded by Education in Emergencies and Post-Crisis Transition Interventions. It worked together with the Office of the Special Representative of the Secretary-General for Children and Armed Conflict to document grave violations committed against children in 22 country situations through the monitoring and reporting mechanism on grave violations against children in armed conflicts, established in 2005 pursuant to Security Council resolution 1612 (2005). The information is included in an annual report of the Secretary-General that lists parties that have committed severe violations.","76. UN-Habitat supported a total of 48 countries in implementing policies to improve access to land and housing, including in the area of post-crisis reconstruction. Of these, 15 countries have received support for post-crisis reconstruction, six in Africa and the Arab States region, eight in Asia and the Pacific, and one in Eastern and Central Europe.","77. ILO provided technical assistance to countries in post-conflict situations with the aim of demonstrating the effectiveness of employment-focused responses to peacebuilding challenges. It also provided capacity-building for governments, employers’ organizations and workers’ organizations — the tripartite constituency of ILO — to promote decent work and social justice. It conducts capacity-building through training, the provision of advice (including labour data and statistics, labour codes and reconstruction), and the dissemination of relevant publications. This also includes advocating for the centrality of employment in peacebuilding with donors and partner agencies, and in the media.","78. The World Bank recently released the World Development Report 2011: Conflict, Security and Development, which emphasized the importance of institutional legitimacy to support the State-society compact and the need to invest in citizen security, justice and jobs in order to reduce violence. It is committed to the operationalization of key messages within the 2011 World Development Report, including strengthening its partnerships with key actors working in fragile situations, and in particular with the funds, programmes and agencies of the United Nations.","II. Future action to promote a culture of peace and non‑violence","79. Building on the lessons learned from the International Decade for a Culture of Peace and Non-Violence for the Children of the World, 2001-2010, and the International Year for the Rapprochement of Cultures (2010), UNESCO is developing, in consultation with its Member States, a consolidated intersectoral and interdisciplinary Programme of Action for a Culture of Peace and Non-Violence. This Programme of Action aims to strengthen further the global movement to promote a culture of peace and non-violence at national, regional and international levels.","80. As per the May 2011 decision of the UNESCO Executive Board concerning the preparation of the Organization’s draft programme and budget for 2012-2013, it will be developed with a realistic number of targeted actions that will address the following areas:","(a) Strengthening education for a culture of peace and non-violence to achieve intercultural solidarity and intergenerational dialogue and mutual understanding in favour of reconciliation and peacebuilding;","(b) Promoting natural sciences as a universal language and a vehicle for intercultural dialogue and exchange as well as peace;","(c) Underlining the role of social and human science in promoting universal values, democracy and human rights;","(d) Highlighting the crucial roles of cultural diversity, intercultural dialogue and heritage in all their forms for mutual understanding and reconciliation;","(e) Exploring opportunities offered by the media as a vehicle for reconciliation, tolerance and intercultural understanding by highlighting the use of new media by youth.","81. It will seek to mobilize all relevant stakeholders at the global, regional, subregional and national levels. It will also harness the multidisciplinary expertise of UNESCO in education, the sciences, culture and communications and information to develop innovative programmes that achieve high-impact results in promoting a culture of peace and non-violence.","82. The Programme of Action will be implemented and managed by a dedicated Intersectoral Platform on a Culture of Peace and Non-Violence. This Platform will also be responsible for implementing the “Abdullah bin Abdul Aziz International Programme for a Culture of Peace and Dialogue,” an initiative of the Kingdom of Saudi Arabia, which has contributed $5 million.","III. Recommendations","83. The General Assembly may wish to consider the following actions:","(a) Explore the possibilities for harmonizing reporting to the General Assembly on all issues that deal with a culture of peace, cultural diversity, tolerance, mutual understanding, rapprochement and non-violence as well as intercultural dialogue, including interreligious dialogue, so as to strengthen policy coherence;","(b) Call on the United Nations Development Group, including its regional teams and all United Nations country teams, to include in common country programming exercises and documents, mainly United Nations Development Assistance Frameworks, programme components focused on the promotion of a culture of peace and non-violence, including, as appropriate, on conflict prevention and resolution as well as post-conflict reconciliation;","(c) Invite the United Nations System Staff College to develop in that area training modules and learning materials and offer training workshops for United Nations country teams in order to build synergies, coherence and coordination, enabling the teams to better respond to country-specific needs;","(d) Establish an inter-agency working group on a culture of peace and non‑violence to discuss common initiatives and to consider developing a road map with goals and measurable expected results and to monitor the implementation of such efforts;","(e) Welcome the efforts of UNESCO to establish national and regional mechanisms, such as intercultural forums to highlight the benefits of intercultural dialogue and cultural diversity from a human rights-based perspective in order to fight violence and build peace in everyday life, and invite Member States to sustain those efforts in the context of their commitment to a culture of peace;","(f) Encourage Member States to create links among organizations that are active in promoting intercultural dialogue and that are committed to fostering sustainable development and peace in order to create a new dynamic for living peacefully together."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 15 of the provisional agenda*\",\n \"Culture of Peace\",\n \"Implementation of the Declaration and Programme of Action on a Culture of Peace\",\n \"Note by the Secretary-General\",\n \"The Secretary-General hereby transmits the report of the Director-General of the United Nations Educational, Scientific and Cultural Organization submitted pursuant to General Assembly resolution 65/11.\",\n \"Report of the Director-General of the United Nations Educational, Scientific and Cultural Organization\",\n \"Summary\",\n \"The present report, prepared by the United Nations Educational, Scientific and Cultural Organization (UNESCO), presents a succinct summary of the activities carried out over the past year by UNESCO and other relevant United Nations entities to implement the Declaration and Programme of Action on a Culture of Peace, as requested by the General Assembly in resolution 65/11. The report includes contributions received from the International Labour Organization, the Food and Agriculture Organization of the United Nations, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, the United Nations Human Settlements Programme, the International Telecommunication Union, the United Nations Children’s Fund, the University for Peace, the Office of the United Nations High Commissioner for Refugees, the United Nations Office on Drugs and Crime, the United Nations Entity for Gender Equality and the Empowerment of Women and the World Bank. It also includes a section on recommendations for future action.\",\n \"I. Implementation of the Programme of Action on a Culture of Peace\",\n \"1. The present report is submitted in accordance with resolution 65/11 and provides information on actions undertaken to implement the resolution and on activities undertaken by the United Nations system to implement the Programme of Action and to promote a culture of peace and non-violence. It provides information on how the United Nations Educational, Scientific and Cultural Organization (UNESCO), for which the promotion of a culture of peace is the expression of its fundamental mandate, is strengthening further the global movement for a culture of peace following the observance of the International Decade for a Culture of Peace and Non-violence for the Children of the World (2001-2010), at the national, regional and international levels. It also provides an overview of the activities carried out by the International Labour Organization (ILO), the Food and Agriculture Organization of the United Nations (FAO), the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), the United Nations Human Settlements Programme (UN-Habitat), the International Telecommunication Union (ITU), the United Nations Children’s Fund (UNICEF), the University for Peace, the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Office on Drugs and Crime, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) and the World Bank to implement resolution 65/11 on the Implementation of the Declaration and Programme of Action on a Culture of Peace. These activities are presented in eight sections, corresponding to the eight actions defined in the Programme of Action on a Culture of Peace.\",\n \"A. Actions to foster a culture of peace through education\",\n \"2. Within the framework of the 1974 Recommendation concerning Education for International Understanding, Cooperation, Peace and Education relating to Human Rights and Fundamental Freedoms, UNESCO continued to foster a culture of peace through education by supporting its member States in providing quality, inclusive education that promotes the values of peace, human rights, tolerance, intercultural understanding, democracy, non-violence and respect.\",\n \"3. In collaboration with relevant partners, UNESCO strengthened Member States’ capacities to integrate the human rights-based approach throughout their educational systems by developing practical guidelines on competencies related to core values, such as human rights, peace and tolerance, and education for sustainable development for its member States and disseminating good practices. This included the provision of support and policy advice for the promotion of culturally and linguistically appropriate learning materials. The organization also developed teaching and learning resources, manuals and guidelines on relevant topics, such as learning to live together, human rights and the rights of the child, peace and democracy, gender equality, and the prevention of violence in schools.\",\n \"4. UNESCO continued to advocate for peace, human rights, intercultural understanding and Holocaust remembrance education through high-level international and regional policy forums, building on its affiliated networks and institutes, including the UNESCO Associated Schools Network, UNESCO Chairs and University Twinning and Networking programme, and the Asia-Pacific Centre of Education for Intercultural Understanding in Seoul. Outstanding examples of activities designed to mobilize countries and peoples in favour of peace were also rewarded. The 2010 Félix Houphouët-Boigny Peace Prize was awarded to The Grandmothers of the Plaza de Mayo, a non-governmental organization in Argentina, in recognition of its tireless battle for over 30 years in pursuit of human rights, justice and peace. Support was also provided for the 2011 Goi Peace Foundation International Essay Contest for Young People.\",\n \"5. A number of concrete results were delivered through the innovative modality of an organization-wide intersectoral platform on intercultural dialogue and a culture of peace. Important achievements included the digitization of the now completed general and regional histories and the adoption by representatives from 46 African countries of jointly agreed pedagogical content drawn from the general history of Africa. An interregional and interfaith study was undertaken with a view to analysing contemporary interreligious dialogue practices among youth worldwide, and the publication Stopping Violence in School — A Guide for Teachers was widely distributed in Arabic, English, French and Spanish. The Power of Peace Network provided support to a number of projects in different countries and regions, such as the youth broadcasting initiative “Connecting cultures”, the joint Palestine/United Kingdom of Great Britain and Northern Ireland video production “Our everyday lives”, and the online debate programme and contest in Zambia, “This is my life …”. The Power of Peace Network also contributed to the curriculum on conflict-sensitive reporting and the related training workshop series in cooperation with Rhodes University in South Africa.\",\n \"6. Building on the opportunity of the observance of the International Year of Youth (2010), progress was made in raising awareness on youth development issues and on the role of youth in supporting national development and a culture of peace and non-violence. As the co-Chair of the Inter-Agency Network on Youth Development, UNESCO supported the adoption and implementation of a United Nations framework approach for the celebration of the International Year of Youth, the joint statement of the heads of United Nations entities on the International Year of Youth and the joint United Nations input to the World Youth Conference (Mexico City, August 2010). Through partnerships with the sports movement, UNESCO also raised awareness of the importance of sports in youth development and community action, as well as in building a culture of peace and non-violence. This included the organization with the International Olympic Committee of the 7th World Conference on Sport, Education and Culture: “Giving a Voice to Youth” (Durban, South Africa, December 2010). Research was supported in Latin American and the Caribbean and in the Commonwealth of Independent States to provide Member States with information to elaborate policies and programmes on youth, including on the prevention of youth violence. Policy advice for the development of realistic and achievable action-oriented policy documents on youth was also provided to small island developing States in the Pacific.\",\n \"7. To address the specific challenges faced by youth, FAO continued to support the Junior Farmer Field and Life Schools approach in several African countries, Asia and Middle East. The approach combines the provision of support for vocational educational training opportunities with the promotion of employment. Using the agricultural calendar as a model for life, youth learn agricultural skills while developing corresponding life lessons, such as setting goals, the importance of personal space for growth, and teamwork. There is also an employment-oriented component, which encourages and facilitates graduates’ inclusion in farmers’ federations and unions in order for them to access resources and place their produce in the markets.\",\n \"8. Together with other United Nations agencies, including UNESCO, UN‑Habitat, through its Safer Cities Programme, strengthened the focus of city development on the most vulnerable categories of young people, building on their social capital to enhance opportunities within disadvantaged communities and neighbourhoods, including schools and active citizenship. Through this programme, a global network on safer cities is being developed to strengthen the global movement for a culture of peace.\",\n \"9. UNHCR continued to deliver education and sport for refugee youth through its Nine million campaign, which reached 460,000 people in 2010, promoting a culture of peace and non-violence in 20 countries. All projects enhanced the coexistence between refugees and the host community, and several reduced the risk of military recruitment of out-of-school youth. Programme reports show that sport had a significant impact in combating, among other issues, destructive behaviour, HIV, drug abuse and sexual and gender-based violence. Seventy-five per cent of the projects particularly targeted out-of-school youth and girls, who could play key roles in a country’s peace, reconstruction and prosperity if given the opportunity.\",\n \"10. UNHCR worked in a number of countries to implement programmes that aim to roll back xenophobia by promoting tolerance towards and respect for foreigners, including refugees. It recently launched a campaign in Latin America on the theme “Let’s put ourselves in the shoes of refugees and displaced persons and take the first step to understand their situation” to promote tolerance and local integration of refugees and displaced persons.\",\n \"11. The University for Peace, mandated by the General Assembly in 1980 to offer education for peace to humanity, worked actively to build a culture of peace through its educational and capacity-building programmes. It reached out to a wider audience by arranging partnerships and exchange programmes with other universities and initiating online, distance-learning instruction programmes, including a unique, complete online MA programme in peace studies.\",\n \"12. UNICEF developed a framework for rights-based, child-friendly educational systems and schools that are characterized as “inclusive, healthy and protective for all children”. This child-friendly schooling approach was used by several countries to address violence against children and promote peace education. Schools as centres of care and support provide much-needed services for the most disadvantaged children, particularly orphans, and those who have suffered from violence. These services include water, sanitation and hygiene (WASH), ChildLine, school feeding and school health, and are combined with the participation of parents, police and the children themselves in school governance. Agreements between UNICEF and Child Helpline International, approved in 2010, benefited 11 countries in the Eastern and Southern Africa regions. Results associated with these agreements include the setting up of toll-free ChildLine numbers, short messaging service/online counselling, and ongoing child protection mapping exercise.\",\n \"13. As the most marginalized, poor and disadvantaged people are also those at increased risk for drug use and dependence, the United Nations Office on Drugs and Crime helped to build a culture of peace and non-violence by reaching out to them through its demand reduction projects. These projects focused on promoting the understanding of drug use and dependence as a health disorder that can be addressed effectively within the health system, using evidence-based approaches to drug abuse prevention, treatment and care. Prevention programmes, such as life skill training, family skills training and workplace-related programmes, help to build healthier and safer communities that contribute to peaceful societies. Comprehensive drug dependence treatment and care services are powerful tools for the rehabilitation and reintegration into their societies of those affected by the use of and dependency on drugs so that they can contribute to building and sustaining peace.\",\n \"B. Actions to promote sustainable economic and social development\",\n \"14. As the lead agency for the 2005-2014 United Nations Decade of Education for Sustainable Development, UNESCO is supporting Member States in integrating the principles, values and practices of sustainable development into the design and development of inclusive education policies and plans, including climate change education, teacher development policies, textbook and curriculum revision and renewal of pedagogical approaches. It is also advocating for a strong commitment to cultural diversity. Since the last reporting period, a multiperspective learning tool in Education for Sustainable Development with a focus on water, was prepared in cooperation with the Islamic Educational, Scientific, and Cultural Organization, and will soon be tested in the field. In addition, UNESCO also developed capacities on climate change education in several Member States (in particular the Maldives and Viet Nam), and contributed to the United Nations Climate Change Conference in Cancun, Mexico (COP 16). The International Year of Biodiversity and the Tenth Conference of the Parties to the Convention on Biological Diversity (COP X) (Nagoya, Japan, 27-29 October 2010) provided many opportunities for further cooperation with the Associated Schools Network, the UNESCO Education for Sustainable Development Chairs network, the World Network of Biosphere Reserves and the Man and the Biosphere programme. UNESCO also supported the least developed countries in achieving their sustainable development goals and contributed to the Programme of Action adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May 2011.\",\n \"15. The United Nations Office on Drugs and Crime worked to reduce poverty as part of its alternative development activities and illicit crop reduction programmes through farm and off-farm activities that promote legitimate income-generating opportunities to farmers and is based on market-driven demand. The Office strove to promote food security by delivering technical assistance to help increase food productivity, in particular through the provision of high-yield, disease-resistant seeds as well as assistance in creating and managing food banks.\",\n \"16. FAO helped to empower the rural poor to become fully integrated in the development process and, consequently, less susceptible to be involved in conflicts through its Education for Rural People flagship partnership. Through this partnership, which includes 400 members (governments, intergovernmental organizations, civil society and academia), FAO helped mainstream Education for Rural People in national development plans and produced several publications and toolkits.\",\n \"17. FAO fielded operations in 28 countries in Africa, Asia and Latin America, touching the lives of more than 9 million people in rural areas. Projects were supported with funding of over $315 million that was received from the European Union Food Facility.\",\n \"18. UNRWA continued to implement a large-scale poverty relief programme, as well as emergency feeding programmes for the poorest of the poor. The Agency’s Social Safety Net Programme provided a measure of support to abject poor families through a small cash subsidy and food package distributed quarterly to nearly 300,000 refugees throughout the region. In addition, the Agency provided emergency support in the form of food, cash and emergency employment opportunities to those who were affected by conflict and natural disaster. These emergency interventions are ongoing in the Gaza Strip, the West Bank and Lebanon, with hundreds of thousands of needy beneficiaries throughout the region receiving one or more of these interventions.\",\n \"19. UN-Habitat continued to ensure access to affordable and adequate housing for the poor and to help improve slums and prevent their formation in a systemic manner. Action taken was in implementation of a resolution by its Governing Council to formulate a new global housing strategy, which took into account the challenges of providing adequate and sustainable housing and basic infrastructure and the need to integrate housing policies into broader urban planning strategies and governmental actions, aligning them with other social, economic and environmental policies.\",\n \"C. Actions to promote respect for all human rights\",\n \"20. UNESCO continued to actively promote the right to education through its work to implement the World Programme for Human Rights Education, adopted by the General Assembly in 2004 (see General Assembly resolution 59/113 A). A series of materials was developed to assist Member States in integrating education for peace and human rights into school systems, including the publication Contemporary Issues in Human Rights Education. A short film entitled Education for human rights young people talking was also produced in cooperation with the national commissions for UNESCO and national coordinators of the UNESCO Associated Schools Project Network from 10 countries. The film showcases the concerns of and challenges facing young people in schools today related to gender equality, violence, peace and cultural diversity from a human rights education perspective.\",\n \"21. To reinforce advocacy, capacity-building and policy-oriented action in the area of human rights, UNESCO contributed to the collection and design of training materials in the framework of the new human rights mainstreaming mechanism of the United Nations Development Group. This mechanism aims to increase the effectiveness of the United Nations in applying a human rights-based approach to programming, especially at the country level, in the formulation of United Nations Development Assistance Frameworks.\",\n \"22. Other human rights training materials that were developed during the reporting period include the master of the manual entitled Empowering the Poor through human rights litigation, and the four volumes of the UNESCO pioneer collection on freedom from poverty as a human right, which offers a multidimensional analysis of poverty.\",\n \"23. As part of the efforts of UNESCO to raise awareness of human rights, the Director-General awarded on Human Rights Day (10 December) the UNESCO/ Bilbao Prize for the Promotion of a Culture of Human Rights to Asma Jahangir of Pakistan in recognition of her commitment and contribution to fostering interreligious and intercultural dialogue, tolerance, mutual understanding and cooperation for peace.\",\n \"24. The United Nations Office on Drugs and Crime addressed issues relating to human rights and gender equality through its HIV prevention, treatment, care and support programmes. In 2010, it provided support to some 40 countries to conduct legal and policy reviews as they relate to HIV and prison settings, HIV and injecting drug users, and people vulnerable to human trafficking. In at least 49 countries, the Office has provided technical support to develop human rights-based, gender-responsive and equitable AIDS policies and programmes for prison settings, injecting drug users and people vulnerable to human trafficking in line with human rights treaties and related international standards.\",\n \"25. Through UNRWA programmes in education, health and social services, and infrastructure and refugee camp improvement as well as microfinance, the Agency contributed to the realization of various socio-economic rights of Palestine refugees. Education services were the most prominent. Nearly 500,000 children continued their education in almost 700 UNRWA schools throughout the region, taught by nearly 20,000 teaching staff of the Agency.\",\n \"D. Action to ensure equality between women and men\",\n \"26. UNESCO worked to ensure equality between men and women by giving priority to the pursuit of gender equality through action in all its fields, having been designated as one of two global priorities in the medium-term strategy for 2008-2013. A results-based Priority Gender Equality Action Plan for 2008-2013, endorsed by its Executive Board, describes the actions that UNESCO programme sectors are to pursue for the empowerment of women and gender equality.\",\n \"27. To strengthen the efforts of UNESCO in empowering girls and women through quality education, the Director-General launched a new global partnership for girls’ and women’s education at a high-level forum on 26 May 2011, in the presence of United Nations Secretary-General Ban Ki-moon, the Prime Ministers of Bangladesh and Mali and the United States Secretary of State, as well as representatives of non‑governmental organizations and business leaders. The UNESCO Global Partnership for Girls’ and Women’s Education, “Better life, better future”, supported by a high-level panel, focuses on reaching illiterate or semi-literate adolescent girls and scaling up women’s literacy programmes through partnerships with corporations such as Nokia, Procter and Gamble, GEMS education, Microsoft, Apple (Macintosh) and the Packard Foundation. Some of the projects have already been initiated in Africa and Asia.\",\n \"28. UNESCO developed initiatives to foster the participation of women in conflict resolution, peacebuilding and reconstruction, and to address gender-based violence, notably through the Palestinian Women’s Research and Documentation Centre in Ramallah, the category 2 Regional Research and Documentation Centre for Women, Gender and Peacebuilding for the Great Lakes Region in Kinshasa, and through its International Network of Women Philosophers.\",\n \"29. To support and encourage young women from all cultural backgrounds to go into jobs in scientific fields, the Organization provided capacity development and training opportunities in the sciences for women, namely through its UNESCO-IHE Institute for Water Education in Delft, the Netherlands, by providing fellowships for young women scientists through the UNESCO L’Oréal partnership and by establishing and reinforcing new associations and networks of women scientists.\",\n \"30. The political and social empowerment of women was also promoted through education and training programmes in the conservation and management of cultural, natural and intangible heritage. Priority was also given to women craft workers to assist them in developing their small enterprises so as to heighten the socio-economic benefits. In addition, culturally sensitive and gender-responsive policies and actions at the country level in HIV/AIDS prevention and care as well as in maternal health were developed at the country level in the context of “delivering as one”.\",\n \"31. Through its community-based information literacy campaigns, the Organization reinforced the capacities of women to access and use information and communications technologies for development and lifelong learning, in particular for sustainable livelihoods. An example is the pilot mobile literacy programme that UNESCO launched with the Bunyad Foundation and the mobile phone company Mobilink, through which 50 community-based learning centres were established in which 1,250 illiterate women acquired basic literacy skills.\",\n \"32. FAO continued to mainstream gender concerns in agriculture and rural development programmes by organizing gender training and awareness-raising events for policy- and decision makers and technical staff in order to support them with the formulation and implementation of gender-sensitive programmes and projects to address gender gaps in agriculture and food security, with special emphasis on access and control of productive resources and for institutional strengthening.\",\n \"33. UNRWA promoted gender equality by ensuring that girls and women have equal access to all of its services, by supporting vocational training centres for women, and by developing targeted programmes to further the rights of and opportunities for women. A number of women’s programme centres were established in camps throughout the region to provide services to women. Opportunities were also offered to women through the Equality in Action programme in Gaza, and specific loan schemes targeting female entrepreneurs were also developed through its Microfinance and Microenterprise Programme.\",\n \"34. UN-Women supported Member States and United Nations system entities in achieving gender equality and women’s empowerment through its activities in five thematic priorities, as reflected in its strategic plan, 2011-2013: (a) expanding women’s leadership and participation; (b) ending violence against women; (c) strengthening the implementation of the women and peace and security agenda; (d) enhancing women’s economic empowerment; and (e) making gender equality priorities central to national planning and budgeting at all levels.\",\n \"35. ILO promoted gender equality through the provision of advisory services, training, tools development, advocacy and support for the collection, production and dissemination of good practices on gender equality issues in the world of work. At the country level, it supervised gender-specific technical cooperation programmes to address the concerns of women and men in the world of work and promoted efforts to mainstream gender into technical areas of the work of ILO. It also piloted participatory gender audits among ILO constituents.\",\n \"E. Actions to foster democratic participation\",\n \"36. UNESCO fostered democratic participation through a number of initiatives, including the Arab and Asian philosophical dialogue on democracy and social justice, the dialogue on democracy and human rights between the Arab world and Africa, as well as through the research of the International Centre for Human Sciences in Byblos, Lebanon. In addition, it provided support for the establishment of media legislation conducive to free and independent media, the training of journalists and media professionals in non-partisan and independent reporting techniques, especially in conflict and post-conflict areas, and by assisting the media in covering elections.\",\n \"37. To accompany the transition to democracy in several countries of the Arab world, recent initiatives of UNESCO focused on fostering the civic engagement of youth in Egypt; strengthening freedom of the press, and training journalists and providing media professionals with pre-electoral assistance in Egypt and Tunisia, including an International Conference in support of Tunisian and Egyptian Broadcast Media co-organized with France télévisions and the European Broadcasting Union; and organizing capacity-building regional workshops in Beirut on designing, monitoring and evaluating social protection in the Arab world. In addition, an international round table was held on the theme “Democracy and renewal in the Arab world”, which brought together intellectuals and experts from the Arab world, to discuss how to make the transition to democracy. Based on the findings of this important round table, UNESCO developed a road map designed to accompany the transition to democracy in the Arab world.\",\n \"F. Actions to advance understanding, tolerance and solidarity\",\n \"38. In leading the 2010 International Year for the Rapprochement of Cultures, UNESCO capitalized on its experience of over 60 years to advance “the mutual knowledge and understanding of people”. The main objective of the Year was to help dissipate any confusion stemming from ignorance, prejudice and exclusion that create tension, insecurity, violence and conflict. The task was to demonstrate the benefits of cultural diversity by acknowledging the importance of exchanges between cultures and the ties forged between them. Its aim was to integrate the principles of dialogue into policies at all levels so as to foster an environment conducive to the rapprochement of cultures, thus enhancing harmonious relations among peoples.\",\n \"39. The process to launch the Year was facilitated by a number of complementary initiatives. The parallel celebrations of several international years (International Year of Biodiversity, International Year of Youth and International Year for People of African Descent) and of World Days (such as World Philosophy Day and World Day of Cultural Diversity for Dialogue and Development) enabled a deepening and convergence of the themes addressed.\",\n \"40. The action plan included four main themes, to facilitate the ownership of the Year by Member States, intergovernmental and non-governmental organizations: (a) promoting reciprocal knowledge of cultural, ethnic, linguistic and religious diversity; (b) building a framework for commonly shared values; (c) strengthening quality education and the building of intercultural competence; and (d) fostering dialogue for sustainable development. These themes were based on the principles of the equal dignity of cultures, mutual respect, and the strengthening of international cooperation for lasting peace.\",\n \"41. The specific activities (almost 1,000 in all) organized by Member States and partners, including the Alliance of Civilizations and relevant stakeholders from civil society, to celebrate the Year can be found on the UNESCO website (http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures).\",\n \"42. The Year was instrumental in building awareness within a wide, diverse and largely young audience of the wealth of cultural diversity and its corollary, intercultural dialogue, as part of rapprochement. One central idea emerged: in the new international landscape, greater account must be taken of the linkages among cultural diversity, dialogue, development, security and peace. These interdependent notions should inform a new approach to building a culture of peace and non‑violence. Dialogue can be effective only if the basic prerequisites, namely, equality, justice, poverty reduction and respect for human rights, are met.\",\n \"43. In order to foster a reflection on the new dimensions of peace in the twenty-first century, the Director-General of UNESCO established a High Panel on Peace and Dialogue among Cultures. The High Panel, comprised of decision makers, intellectuals and artists from all regions of the world, convenes to chart new avenues leading to peace. Its principal mission is to complement the work of UNESCO in this area and to bring to bear a diversity of perspectives from various regions and a wide range of stakeholders. The first meeting of the High Panel was held on 18 February 2010 in Paris to launch the International Year for the Rapprochement of Cultures, 2010 (see A/65/299, annex). The High Panel met again in New York on 11 March 2011 and addressed the theme “Building peace: reconciliation through the power of education, the sciences, culture and communication”. The report on that meeting is available on the UNESCO website (http://www.unesco.org/ en/2011-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/).\",\n \"44. UNESCO also contributed to peace, mutual understanding and social cohesion through the promotion of a dialogue among civilizations and cultures in accordance with the Global Agenda for Dialogue among Civilizations and its Programme of Action adopted by the General Assembly in 2001 (resolution 56/6), as well as with directions set by the governing organs of UNESCO.\",\n \"45. In the framework of the Memorandum of Understanding signed with the Alliance of Civilizations (Rio, May 2010), UNESCO implemented the Intercultural Vademecum Programme with funding from Spain. This programme focuses on five projects which aim to reinforce the links between Arab-Muslim and European societies in order to foster mutual understanding. These projects are:\",\n \"(a) A scientific, philosophical, literary and artistic anthology of Muslim/Arab civilization and its contribution to the revival of Western philosophy and culture. The anthology is designed as a tool for teachers, students and the general public to present an intercultural vision of history that unites the Muslim/Arab world and the West;\",\n \"(b) A philosophical look at Muslim/Arab civilization: accounts of routes, encounters, bridges and dialogues. This entails the production of educational tools that aim to illustrate instances of dialogue and exchanges within and through the Muslim/Arab civilization and are geared towards secondary schoolteachers;\",\n \"(c) Illuminating Interrelations and Engaging Dialogues: Museums as a Civic Space for Developing Intercultural Skills. This project is centred on developing museological approaches for communicating historical intercultural exchange;\",\n \"(d) Young artists for intercultural dialogue between the Arab and Western worlds. This project aims to give recognition to young artists for their creative achievements in favour of Arab/Western dialogue;\",\n \"(e) The Power of Peace Network: reporting for peace. The Network is an interactive platform that seeks to harness innovative mechanisms to promote peace through the media and information and communications technologies.\",\n \"46. Furthermore, in close cooperation with the Alliance of Civilizations, the UNESCO/University Twinning and Networking Programme established a network linking media and information literacy to intercultural dialogue at six universities in Brazil, China, Egypt, Spain, the United States of America and the Caribbean region. Activities will include the promotion of international and intercultural research, meetings, publications, training activities and content production relating to media and information literacy and its application to cross-cultural, interreligious dialogue and global cooperation.\",\n \"47. To promote the Dialogue in Civil Societies in the Horn of Africa, UNESCO collaborated with the Greater Horn Horizon Forum, an independent research policy forum with the participation of researchers from the region and from the diaspora, to organize a Conference of Youth Ministers (December 2010, Djibouti). The Conference examined available research and identified policy recommendations for each Member State.\",\n \"48. In addition, UNESCO also supported an Interregional Philosophical Dialogue between Africa and the Americas on “Africa and its Diaspora” in April 2011. The Conference, organized within the framework of the International Year for People of African Descent (2011), brought together philosophers from Africa, its Diaspora, and the Americas to address contemporary challenges. The Dialogue facilitated the creation of a network of philosophers from Africa, Latin America, the Caribbean and North America with the aim of enhancing academic cooperation and capacity-building, including through student exchange programmes.\",\n \"49. In Central Asia, intercultural dialogue was promoted through the creation of a Cultural Portal as a tool for cooperation and dialogue in the arts and culture with Europe, and through different activities (expeditions, conferences, scientific research and publications) that have been developed by the International Institute for Central Asian Studies and the International Institute for Nomadic Civilizations.\",\n \"50. In South-Eastern Europe, intercultural dialogue among heads of State was supported through the organization of a series of regional meetings in Ohrid, the former Yugoslav Republic of Macedonia (2003), Tirana (2004), Varna, Bulgaria (2005), Opatija, Croatia (2006), Bucharest (June 2007), Athens (June 2008), Cetinje, Montenegro (2009), and Istanbul, Turkey (2010), which aimed to create a common vision of the future that is based on international cooperation. The 2011 Summit will be held in Serbia.\",\n \"51. For Israel and the Palestinian Territories, a gender-balanced Joint (Israeli-Palestinian) Academic Committee was set up, composed of members from different universities, research institutes and think tanks in Israel and Palestine. The Committee will work together towards the attainment and the promotion of dialogue and academic cooperation within and between Israelis and Palestinians.\",\n \"52. Peacebuilding and intercultural understanding in the Middle East was also promoted through the third edition of the Programme of University Cooperation “Masters on Social Sciences and Humanitarian Affairs” 2010-2011, launched in cooperation with the University of Rome. This Programme promotes academic exchanges and cooperation among faculty and students from Israeli and Palestinian universities.\",\n \"53. UNESCO promoted science for peace and non-violence as a vehicle for intercultural dialogue and cooperation to help prevent potential conflicts over natural resources, such as freshwater and arable land, and to address complex global environmental and development challenges. To that end, it provided technical support to the Israeli Palestinian Science Organization, which offers opportunities for Palestinian and Israeli scientists to work together on joint scientific projects. It has also provided support for the Malta Conferences series, which bring together scientists from the Middle East and neighbouring regions to discuss problems relating to chemical research and education in the region, and to jointly seek solutions that are satisfactory to all. The fifth conference in this series was organized at UNESCO headquarters (December 2011) on the theme “Frontiers of chemical sciences: research and education in the Middle East: a bridge to peace and international development.”\",\n \"54. Through its Man and the Biosphere Programme, UNESCO supported countries in establishing transboundary biosphere reserves to promote reconciliation, intercultural dialogue, peace and cooperation on issues related to adaptation to climate change, loss of biodiversity, sustainable development and ecotourism. There are 10 such reserves in 15 countries of Latin America, Europe and Africa. At its last International Coordinating Council meeting in June 2011, the programme approved the Trifinio Fraternidad Biosphere Reserve in El Salvador/Guatemala/Honduras, the first trinational biosphere reserve in Central America.\",\n \"55. Through its programme “From potential conflict to cooperation potential”, UNESCO facilitated multilevel and interdisciplinary dialogues to foster peace, cooperation and development related to the management of shared, transboundary water resources. The programme attempts to enhance water security by strengthening the capacity of stakeholders in the management of transboundary water resources to anticipate, prevent and resolve water conflicts.\",\n \"56. Awareness was also raised about the importance of promoting science for peace through activities that have been supported during the annual observance of World Science Day for Peace and Development on 10 November.\",\n \"G. Action to support participatory communication and the free flow of information\",\n \"57. UNESCO continued key capacity-building actions that underline the instrumental role that the media play in dialogue, democracy and development processes and for the protection of human rights. The capacities of media professionals were strengthened in journalism safety, conflict-sensitive reporting and reporting on elections.\",\n \"58. Awareness of freedom of expression and access to information was increased through several activities in 2010. World Press Freedom Day 2010 focused on the theme “Freedom of information: the right to know”. Participants at the World Press Freedom Day 2010 international conference in Australia adopted the Brisbane Declaration, calling on governments to adopt freedom of information laws and highlighting the importance of independent and pluralistic media as fundamental elements of good governance and development based on human rights. The World Press Freedom Day 2010 was celebrated in at least 100 countries. The UNESCO/Guillermo Cano Prize was presented to Mónica González Mujica in recognition of her investigative journalism during the dictatorship in Chile.\",\n \"59. Support was given to IGOs and NGOs working in the field of freedom of expression, in particular with regard to combating the impunity of crimes and violence against journalists. UNESCO continued to support the International Freedom of Expression Exchange network, in particular for groups in developing countries and countries in transition, to promote better protection of freedom of the press and the rights of journalists. The safety of media professionals was a critical concern in 2010, with the UNESCO Director-General condemning the killings of 62 journalists. The International Programme for the Development of Communication Council adopted a decision on the safety of journalists and the issue of impunity, calling on governments to report to UNESCO on their investigations into the killings of journalists.\",\n \"60. Member States were assisted in the development of free, independent and pluralistic media through support from the International Programme for the Development of Communication for the launch of 83 projects in 61 developing countries. The Mexican community radio station, La voz de los campesinos, and the Egyptian journalist, Amr Mamdouh Ellissy, were the joint laureates of the UNESCO-International Programme for the Development of Communication Prize for Rural Communication in 2010.\",\n \"61. UNESCO continued to promote community radio and community multimedia centres with the introduction of community radio projects in 19 countries. A total of 50 best community radio practices were identified in the areas of management, sustainability, programming and community involvement, and support was provided to the World Association of Community Broadcasters to develop a common code of practice for community radio operators. The community radio policy review in India, supported by UNESCO, resulted in a recommendation to create a national public fund to support community media development.\",\n \"62. The capacities of media training and journalism education institutions were strengthened according to the UNESCO criteria of excellence in journalism training, with 63 journalism training institutions in 51 countries adapting the UNESCO model curricula for journalism education.\",\n \"63. UNESCO also fostered universal access to information by assisting in the formulation of national information policy frameworks, in particular within the framework of the Information for All Programme.\",\n \"64. FAO supported the use of media such as rural radio, participatory video, print and audiovisual tools to increase the participation and ownership of rural people of development initiatives. Through its programme “Bridging the rural digital divide to reduce poverty and food insecurity”, FAO worked to strengthen human and institutional capacities in rural areas to harness and exchange information using a variety of media so as reduce poverty and ensure food security.\",\n \"65. ITU launched the Child Online Protection initiative in 2008 to raise awareness about the importance of protecting children online, educate the general public and develop guidelines, including for children themselves. The initiative is also developing interoperable technical standards to protect children online, helping countries to establish national hotlines and developing national strategy and legislative processes. ITU also promoted the role of information and communications technologies as catalysts for peace through a panel on the theme “Voices of technology: a focus on youth and access to the Internet” during the 2011 World Youth Peace Summit and the holding of an event on the theme “Information technology as a catalyst for peace, human rights and development” during the United Nations High-level Meeting on Youth.\",\n \"H. Actions to promote international peace and security\",\n \"66. UNESCO provided support to countries in post-conflict and post-disaster situations through a dedicated Intersectoral Platform. This Platform provided assistance to countries in reconstructing their educational systems with the goal of realizing education for all; providing policy advice and expertise on resolving conflicts that may arise over natural resources; revitalizing in-country research facilities; integrating disaster prevention and mitigation efforts, in particular early warning systems, into post-conflict and post-disaster responses; and protecting and rehabilitating damaged cultural and natural heritage.\",\n \"67. During the reporting period, support was provided to Member States affected by natural disasters, namely, the earthquake in Haiti, the floods in Benin and Pakistan, the tsunami and volcanic eruption in Indonesia, and the earthquake and tsunami in Japan. It also supported countries in post-conflict environments, such as Afghanistan, the Democratic Republic of the Congo, Iraq, the Occupied Palestinian Territory and several countries in West Africa.\",\n \"68. The Organization participated in 16 of the 26 appeals launched by the Office for the Coordination of Humanitarian Affairs, notably for the responses to the earthquake in Haiti and the floods in Pakistan. It also began implementation of 8 of 10 joint United Nations country team programmes with an expected allocation of $8.3 million, under the “Conflict resolution and peacebuilding” thematic window of the Spanish Millennium Development Goal Achievement Fund (Brazil, Chile, Costa Rica, Democratic Republic of the Congo, Guatemala, Haiti, the former Yugoslav Republic of Macedonia, Mexico, Lebanon and Panama).\",\n \"69. Support was provided for joint activities with United Nations partners, notably UNHCR and African regional organizations, in all post-crisis African countries at their request, in particular through its Programme of Education for Emergencies and Reconstruction. A post-conflict overall support programme in UNESCO fields of competence for Côte d’Ivoire was launched in 2008, and antennas have been established in countries with specific needs (Djibouti, Liberia, Sierra Leone and Sudan). At the regional and subregional levels, UNESCO also provided support to the African Union and to regional organizations’ initiatives in line with the African Union framework of action for post-conflict reconstruction and development and as part of the United Nations Regional Coordination Mechanism.\",\n \"70. UNESCO also launched the Education for All Global Monitoring Report in 2011 on “The hidden crisis: armed conflict in education”, which examined the damaging consequences of conflict for the Education for All goals. It sets out an agenda to protect the right to education during conflict, strengthen the provision of assistance to children, youth and adults affected by conflict, and rebuild educational systems in countries emerging from conflict. Drawing on experiences from a range of countries, it identified problems and set forth solutions that can help make education a force for peace, social cohesion and human dignity.\",\n \"71. To promote international peace and security by furthering efforts to engage multi-stakeholders in the dialogue among cultures, UNESCO consulted with a broad range of partners and organizations to identify possibilities for joint action and partnerships.\",\n \"72. UNESCO also participated in the inter-agency United Nations Counter-Terrorism Task Force and recently submitted a funding proposal to develop and implement programmes to support conflict prevention, promote peace education and contribute to countering the appeal of violent extremism in Nigeria.\",\n \"73. UNHCR promoted education for reconstruction, peacebuilding and nation building through its Albert Einstein German Academic Refugee Initiative (DAFI) scholarship programme, through which 1,900 students in 37 countries advanced their university studies in 2010. By enhancing self-reliance and developing human capital, DAFI provided refugee role models, facilitated durable solutions and equipped students with skills important to reconstruction, and peacebuilding and nation building.\",\n \"74. FAO coordinated a number of plans of action in post-conflict countries to support agricultural development and food security in post-conflict situations, and it also participated in developing the agricultural aspects of the post-conflict needs assessments, coordinated through the United Nations Development Operations Coordination Office.\",\n \"75. UNICEF supported child friendly spaces, which combine learning with play, peer-to-peer socialization and expressive activities all within a protective space for children in Afghanistan, Albania, Angola, Colombia, El Salvador, Haiti, Kosovo, Liberia, Timor-Leste and Turkey. UNICEF also supported the development of a sector-wide approach in Nepal to contribute towards a more equitable system and foster cohesion. The Education in Emergencies and Post-Crisis Transition programme, in operation since 2006, supports UNICEF education programming in 39 countries and territories. Conflict represents a characteristic in many of the countries that are funded by Education in Emergencies and Post-Crisis Transition Interventions. It worked together with the Office of the Special Representative of the Secretary-General for Children and Armed Conflict to document grave violations committed against children in 22 country situations through the monitoring and reporting mechanism on grave violations against children in armed conflicts, established in 2005 pursuant to Security Council resolution 1612 (2005). The information is included in an annual report of the Secretary-General that lists parties that have committed severe violations.\",\n \"76. UN-Habitat supported a total of 48 countries in implementing policies to improve access to land and housing, including in the area of post-crisis reconstruction. Of these, 15 countries have received support for post-crisis reconstruction, six in Africa and the Arab States region, eight in Asia and the Pacific, and one in Eastern and Central Europe.\",\n \"77. ILO provided technical assistance to countries in post-conflict situations with the aim of demonstrating the effectiveness of employment-focused responses to peacebuilding challenges. It also provided capacity-building for governments, employers’ organizations and workers’ organizations — the tripartite constituency of ILO — to promote decent work and social justice. It conducts capacity-building through training, the provision of advice (including labour data and statistics, labour codes and reconstruction), and the dissemination of relevant publications. This also includes advocating for the centrality of employment in peacebuilding with donors and partner agencies, and in the media.\",\n \"78. The World Bank recently released the World Development Report 2011: Conflict, Security and Development, which emphasized the importance of institutional legitimacy to support the State-society compact and the need to invest in citizen security, justice and jobs in order to reduce violence. It is committed to the operationalization of key messages within the 2011 World Development Report, including strengthening its partnerships with key actors working in fragile situations, and in particular with the funds, programmes and agencies of the United Nations.\",\n \"II. Future action to promote a culture of peace and non‑violence\",\n \"79. Building on the lessons learned from the International Decade for a Culture of Peace and Non-Violence for the Children of the World, 2001-2010, and the International Year for the Rapprochement of Cultures (2010), UNESCO is developing, in consultation with its Member States, a consolidated intersectoral and interdisciplinary Programme of Action for a Culture of Peace and Non-Violence. This Programme of Action aims to strengthen further the global movement to promote a culture of peace and non-violence at national, regional and international levels.\",\n \"80. As per the May 2011 decision of the UNESCO Executive Board concerning the preparation of the Organization’s draft programme and budget for 2012-2013, it will be developed with a realistic number of targeted actions that will address the following areas:\",\n \"(a) Strengthening education for a culture of peace and non-violence to achieve intercultural solidarity and intergenerational dialogue and mutual understanding in favour of reconciliation and peacebuilding;\",\n \"(b) Promoting natural sciences as a universal language and a vehicle for intercultural dialogue and exchange as well as peace;\",\n \"(c) Underlining the role of social and human science in promoting universal values, democracy and human rights;\",\n \"(d) Highlighting the crucial roles of cultural diversity, intercultural dialogue and heritage in all their forms for mutual understanding and reconciliation;\",\n \"(e) Exploring opportunities offered by the media as a vehicle for reconciliation, tolerance and intercultural understanding by highlighting the use of new media by youth.\",\n \"81. It will seek to mobilize all relevant stakeholders at the global, regional, subregional and national levels. It will also harness the multidisciplinary expertise of UNESCO in education, the sciences, culture and communications and information to develop innovative programmes that achieve high-impact results in promoting a culture of peace and non-violence.\",\n \"82. The Programme of Action will be implemented and managed by a dedicated Intersectoral Platform on a Culture of Peace and Non-Violence. This Platform will also be responsible for implementing the “Abdullah bin Abdul Aziz International Programme for a Culture of Peace and Dialogue,” an initiative of the Kingdom of Saudi Arabia, which has contributed $5 million.\",\n \"III. Recommendations\",\n \"83. The General Assembly may wish to consider the following actions:\",\n \"(a) Explore the possibilities for harmonizing reporting to the General Assembly on all issues that deal with a culture of peace, cultural diversity, tolerance, mutual understanding, rapprochement and non-violence as well as intercultural dialogue, including interreligious dialogue, so as to strengthen policy coherence;\",\n \"(b) Call on the United Nations Development Group, including its regional teams and all United Nations country teams, to include in common country programming exercises and documents, mainly United Nations Development Assistance Frameworks, programme components focused on the promotion of a culture of peace and non-violence, including, as appropriate, on conflict prevention and resolution as well as post-conflict reconciliation;\",\n \"(c) Invite the United Nations System Staff College to develop in that area training modules and learning materials and offer training workshops for United Nations country teams in order to build synergies, coherence and coordination, enabling the teams to better respond to country-specific needs;\",\n \"(d) Establish an inter-agency working group on a culture of peace and non‑violence to discuss common initiatives and to consider developing a road map with goals and measurable expected results and to monitor the implementation of such efforts;\",\n \"(e) Welcome the efforts of UNESCO to establish national and regional mechanisms, such as intercultural forums to highlight the benefits of intercultural dialogue and cultural diversity from a human rights-based perspective in order to fight violence and build peace in everyday life, and invite Member States to sustain those efforts in the context of their commitment to a culture of peace;\",\n \"(f) Encourage Member States to create links among organizations that are active in promoting intercultural dialogue and that are committed to fostering sustainable development and peace in order to create a new dynamic for living peacefully together.\"\n]"},"record":{"kind":"string","value":"A_66_273"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 15 of the provisional agenda*","Culture of peace","Implementation of the Declaration on the Culture of Peace and the Programme of Action for the Culture of Peace","Note by the Secretariat","The Secretary-General has the honour to transmit the report of the Director-General of the United Nations Educational, Scientific and Cultural Organization pursuant to General Assembly resolution 1701 (2006).","∗ A/63/250.","Report of the Director-General of the United Nations Educational, Scientific and Cultural Organization","Summary","The present report, prepared by the United Nations Educational, Scientific and Cultural Organization (UNESCO), summarizes briefly the activities undertaken by UNESCO and other relevant United Nations entities to implement the Declaration on the Culture of Peace and the Programme of Action for a Culture of Peace in the past year, as requested by the General Assembly in its resolution 63/21. The present report includes information received from the International Labour Organization, the Food and Agriculture Organization of the United Nations, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, the United Nations Human Settlements Programme, the International Telecommunication Union, the United Nations Children's Fund, the University for Peace, the Office of the United Nations High Commissioner for Refugees, the United Nations Office on Drugs and Crime, the United Nations Agency for Gender Equality and Empowerment of Women and the World Bank. The present report also contains recommendations on future action, specifically in the section.","Implementation of the Programme of Action for a Culture of Peace","The present report is submitted pursuant to resolution 63/21, describing the actions taken to implement the resolution and the activities undertaken by the United Nations system to implement the Programme of Action and promote a culture of peace and non-violence. The promotion of a culture of peace expresses the fundamental mission of the United Nations Educational, Scientific and Cultural Organization (UNESCO). The present report describes how UNESCO promotes a global culture of peace at the national, regional and international levels, following the activities of the International Decade for a Culture of Peace and Non-Violence for Children in the World (2001-2010). The report also provides an overview of the activities undertaken in the implementation of resolution 63/21 on the implementation of the Declaration on the Culture of Peace and the Programme of Action for the Culture of Peace: International Labour Organization (ILO), Food and Agriculture Organization of the United Nations (FAO), United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), United Nations Human Settlements Programme (UN-Habitat), International Telecommunication Union (ITU), United Nations Children's Fund (UNICEF), University of Peace, Office of the United Nations High Commissioner for Refugees (UNHCR), United Nations Office on Drugs and Crime, United Nations Office on Drugs and Crime, United Nations Office for the Promotion of Gender Equality and Empowerment of Women (ODA) and World Bank. These activities are described in eight sections in accordance with eight actions set out in the Programme of Action for a Culture of Peace.","Actions to promote a culture of peace through education","Within the framework of the 1974 Recommendations on Education for International Understanding, Cooperation and Peace and Related Human Rights and Fundamental Freedoms Education, UNESCO continued to promote a culture of peace through education, thereby supporting member States in providing quality and inclusive education for peace, human rights, tolerance, intercultural understanding, democracy, non-violence and respect for values.","In partnership with relevant partners, UNESCO has developed eligibility guidelines for its member States in relation to the core values of human rights, peace, tolerance and education for sustainable development and disseminate good practices, thereby strengthening the capacity of Member States to incorporate a human rights-based approach into the education system as a whole. This includes supporting and policy advice on the promotion of culturally appropriate and appropriate language-based learning materials. UNESCO has also developed teaching and learning reference materials, manuals and guidelines on subjects such as learning how to coexist, human rights and the rights of the child, peace and democracy, gender equality and preventing school violence.","Through the High-level International and Regional Policy Forum, UNESCO continued to advocate for peace, human rights, intercultural understanding and remembering the Holocaust against Jews through its network of contacts and institutions, including UNESCO's network of schools, UNESCO's teachings, university stereotypes and networking plans and the Asia-Pacific Centre for Intercultural Understanding. Good examples of activities that mobilize countries and people to support peace were also rewarded. The 2010 Felix Urbé-Bowani Peace Prize awarded to Argentine non-governmental organizations — the Zangan Association, which was held over 30 years to struggle for human rights, justice and peace. UNESCO also supported the International Youth Digest competition of the five Peace Foundation in 2011.","Several concrete results have been achieved through the innovative model of the cross-sectoral platform for intercultural dialogue and a culture of peace across UNESCO. The main achievements include the digitization of the history and regional history that has been completed, as well as the teaching content of the history of the 46 African countries, jointly agreed upon. A cross-regional and interfaith study was carried out to analyse the practice of inter-religious dialogue among young people around the world and to disseminate widely the publication entitled “Combating the violence in school parks: teacher guidance” in English, French, Arabic and Spanish. The Peace Forces Network supports a range of projects at different national and regional levels, such as the Youth Broadcast Initiative “to connect different cultures”, video “Sy daily lives”, produced jointly by Palestine/United Kingdom of Great Britain and Northern Ireland, Zambia's online debates and competition “I am living”. The Network also provided support for the preparation of courses on conflict attention in the coverage and organized relevant training courses in collaboration with Rodh University in South Africa.","Taking advantage of the opportunity to commemorate the International Year of Youth (2010) to raise awareness of youth growth and to increase awareness of the role of youth in supporting national development, supporting peace and non-violence. As one of the Co-Chairs of the Inter-Agency Network on Youth Growth, UNESCO has supported the adoption and implementation of a United Nations framework approach to commemorating the International Year of Youth; the joint statement of heads of United Nations entities on the Year of Youth; and the joint input of the United Nations World Youth Conference (Mexico City, August 2007). UNESCO has also raised awareness of the importance of sports in youth growth, community action and peacebuilding and non-violent culture through partnerships with sports organizations. This includes the organization of the Seventh World Conference on Sports, Education and Culture, together with the International Olympic Committee, on the theme “The right to speak for young people” (art. South Africa, Durban, December 2010. Support was provided for research work in Latin America and the Caribbean and in the Commonwealth of Independent States to provide information to Member States for the development of youth policies and programmes, including policies and programmes to prevent youth violence. Policy advice was also provided to small island developing States in the Pacific for the development of practical and achievable action-oriented youth policy documents.","In order to overcome the specific challenges faced by young people, FAO continued to support the establishment of youth farmers' farming and life skills schools in a number of African countries, Asia and the Middle East. This approach combines both the provision of support for vocational training opportunities and the promotion of employment. Youth teach agricultural skills as a living model and develop corresponding life experience, such as setting targets, focusing on individual growth spaces and team spirits. This approach is also part of a employment-oriented approach that encourages and assists school graduates to join the Farmers' Federation and the Farmers' Association in order to be resourced and to relocate their products on the market.","UN-Habitat, together with other United Nations agencies, including UNESCO, has strengthened its focus on the most vulnerable youth in urban development by strengthening urban safety programmes, using the social capital of young people to increase opportunities in vulnerable communities and residential areas, including through strengthening schools and active civic participation. A global network of urban security is being established through this programme to strengthen the global campaign on culture of peace.","UNHCR continued to provide education and sports services to refugee youth through its “9 million” campaign, with the number of people serving 4,000 people in 2010, promoting a culture of peace and non-violence in 20 countries. All projects have strengthened the coexistence of refugees and host communities, and a number of projects have also reduced the risk of recruiting young people who have graduated from schools. Programme reports show that sports plays a significant role in overcoming problems of destructive behaviour, HIV, drug abuse, sexual violence and gender-based violence. 75 per cent of the projects are particularly targeted by young people and girls who have just graduated from schools, since they can play a key role in peace, reconstruction and prosperity in the country if they have access.","UNHCR works in several countries to implement programmes to combat xenophobia through the promotion of tolerance and respect for foreigners, including refugees. In Latin America, the institution recently launched a campaign on the theme “A vision for refugees and displaced persons and a first step towards understanding their situation” to promote tolerance for refugees and displaced persons and help them integrate into local societies.","The University for Peace, which was mandated by the General Assembly in 1960 to provide education for human peace, has made a positive effort to build a culture of peace through its education and capacity-building programmes. The University promotes a wider audience through the organization of partnerships and communication programmes with other universities and the organization of an online distance learning programme, including the organization of a unique and well-established master's programme for online peace studies.","UNICEF has established a school based on rights, child-friendly education system and integrative as “inclusive and accessible to all children”. Such a child-friendly approach was adopted by several States to combat violence and promote education for children. As a centre for care and support, schools provide the most vulnerable children, in particular orphaned children, and those who suffer violence, with the necessary services. These services include water supply, sanitation and hygiene, child hotlines, school meals and school health, and their participation in school governance. Agreements between UNICEF and the International Child Helpline were approved in 2010 to benefit 11 countries in East and Southern Africa. The outcomes of these agreements include the establishment of free child hotline numbers, online counselling and ongoing child protection surveys.","The most marginalized, poor and vulnerable are those most at risk of drug addiction, and the United Nations Office on Drugs and Crime, through its demand reduction projects, helps them to form a culture of peace and non-violence. These projects focus on promoting understanding of the use of drug addiction as a health gap that can be effectively addressed within the health system, while using evidence-based methods to prevent drug abuse, treatment and care. Prevention programmes, such as life skills training, family skills training and workplace programmes, will help to build more healthy and secure communities and contribute to peace societies. A comprehensive treatment and care services are very effective tools that enable those who abuse drug addiction to health and reintegration to contribute to building and maintaining peace.","Actions to promote sustainable economic and social development","As the lead agency for the United Nations Decade for Sustainable Development in 2005-2014, UNESCO is supporting Member States in integrating the principles, values and practices of sustainable development into the design and development of inclusive education policies and plans, including in the areas of climate change education, teacher development policies, the revision of textbooks and curricula and the updating of teaching methods. UNESCO also advocates a strong commitment to cultural diversity. Since the last reporting period, a multi-stakeholder learning tool for education for sustainable development has been developed in cooperation with Islamic Educational, Scientific and Cultural Organization, which focuses on water resources and will soon be tested on the ground. In addition, UNESCO has undertaken capacity-building on climate change education in a number of Member States, in particular Maldives and Viet Nam, and has provided inputs to the United Nations Conference on Climate Change (16th Conference of the States Parties) held in Kyin, Mexico. The International Year of Biodiversity and the Tenth Conference of the Parties to the Convention on Biological Diversity (COP) held from 27 to 29 October 2010 in Japan's Guangkok housing) provided a number of opportunities to promote cooperation with the network of schools, the UNESCO Education for Sustainable Development, the World Biosphere Protection Network and People and the Biosphere Programme. UNESCO also supported the least developed countries in achieving their sustainable development goals and provided input to the Programme of Action adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May 2011.","The United Nations Office on Drugs and Crime strives to reduce poverty through activities on farms and outside farms as part of its alternative development activities and the reduction of illicit crop programmes, which promote legitimate income-generating opportunities for farmers, based on market-driven needs. The United Nations Office on Drugs and Crime strives to promote food security by providing technical assistance to help increase the rate of food production, in particular the provision of high-natal, anti-communicable seeds and assistance in the establishment and management of food banks.","FAO, through its “Rural population education” initiative, has helped to strengthen the empowerment of the rural poor by fully integrating them into the development process so that they are less vulnerable to conflict. The partnership comprised 400 members (from Governments, intergovernmental organizations, civil society and academia), FAO, through which it helped to integrate rural people into national development plans and produced publications and tools kits.","FAO field activities in 28 countries in Africa, Asia and Latin America have an impact on the lives of more than 9 million people in rural areas. The European Union Food Finance Facility provided $315 million for financing these projects.","UNRWA continued to implement a large-scale poverty reduction programme and a programme to urgently provide food for the poorest of the poor. The UNRWA Social Security Network programme provided small cash subsidies and food kits to nearly 30,000 refugees throughout the region every quarter to provide some support to families living in extreme poverty. In addition, the Agency provides emergency support to those affected by conflicts and natural disasters in the form of food, cash and emergency employment opportunities. These urgent interventions are being taken in Gaza, the West Bank and Lebanon, with hundreds of thousands of people in need throughout the region benefiting from one or more interventions.","UN-Habitat continues to ensure that the poor receive affordable and adequate housing and help to systematically improve slums and prevent their formation. Actions taken to this end are the implementation of a resolution of the UN-Habitat Governing Council to develop a new global housing strategy, taking into account the challenges of adequate sustainable housing and basic infrastructure, and taking into account the need to integrate housing policies into broader urban planning strategies and government actions to align them with other social, economic and environmental policies.","C. Actions to promote respect for all human rights","UNESCO continues to actively promote the right to education through the implementation of the World Programme for Human Rights Education adopted by the General Assembly in 2004 (see General Assembly resolution 59/113 A). A series of materials have been developed to assist Member States in integrating education for peace and human rights into school systems, including publication entitled “Information on contemporary human rights education”. A short film entitled “Young talk about human rights education”, was also produced in collaboration with the National Commission for UNESCO in 10 countries and the national focal point for the UNESCO network of schools. From a human rights education perspective, the film shows the concerns and challenges faced by young people in today's schools in terms of gender equality, violence, peace and cultural diversity.","In order to strengthen advocacy, capacity-building and policy-oriented actions in the field of human rights, UNESCO, in line with the United Nations Development Group's new human rights mainstreaming mechanism, has helped to collect and design training materials. The objective of the mechanism is to make the United Nations more effective in using a human rights-based approach to programming, especially at the country level, to develop the United Nations Development Assistance Framework.","Other human rights training materials prepared during the reporting period included a model manual entitled “The empowerment of the poor through human rights litigation”, as well as four volumes collected by UNESCO pilotly, which analysed poverty in a number of ways.","As part of the work of UNESCO to raise awareness of human rights, the Director-General, on the occasion of the Human Rights Day (10 December), issued a UNESCO/Burbao Cultural Prize for the promotion of human rights in Asma Jahangir, Pakistan, in recognition of her commitment and contribution to promoting inter- and intercultural dialogue, tolerance, mutual understanding and cooperation for peace.","The United Nations Office on Drugs and Crime addresses issues related to human rights and gender equality through its HIV prevention, treatment, care and support programmes. In 2010, the United Nations Office on Drugs and Crime helped some 40 countries to review laws and policies related to the HIV and prison environment, the HIV and injecting drug users and those vulnerable to trafficking in persons. In at least 49 countries, the United Nations Office on Drugs and Crime provided technical support for the development of human rights-based, gender-based and equitable AIDS policies and programmes targeting the prison environment, injecting drug users and those vulnerable to trafficking in persons, in accordance with human rights treaties and relevant international standards.","The Near East Agency contributes to the socio-economic rights of Palestine refugees through various programmes in education, health and social services, improvement of infrastructure and refugee camps and microfinance. Education services are most prominent. Nearly 500,000 children continue to be educated in almost 700 UNRWA schools throughout the region, and UNRWA provided nearly 20,000 teaching staff.","Actions to ensure equality between men and women","UNESCO strives to ensure gender equality by taking action in all areas responsible for gender equality as a priority and as one of the two global priorities of the medium-term strategy for 2008-2013. The results-based action plan on gender priorities for 2008-2013, approved by the Executive Board of UNESCO, states that the various programmatic areas of the organization will take action to empower women and achieve gender equality.","In order to strengthen the efforts of UNESCO to strengthen the empowerment of girls and women through quality education, the Director-General launched a new global partnership for girls and women's education at a high-level forum on 26 May 2011, attended by the Prime Minister of the United Nations Secretary-General, Ban Ki-moon, Bangladesh and Mali, the United States Secretary of State, representatives of non-governmental organizations and business leaders. With the support of the High-level Panel, the UNESCO Global Partnership for a Better Living and a Future Better” focuses on helping illiterate or semi-arid girls and expanding women's literacy programmes through partnerships with businesses, such as the Notrekia, the Harmony, the Cycle Education Group, Microsoft, apples and the Pakad Foundation. A number of projects have been initiated in Africa and Asia.","UNESCO has developed initiatives to support women's participation in conflict resolution, peacebuilding and reconstruction efforts and address gender-based violence, in particular through the Palestinian Research and Documentation Centre for Women in Ramallah, the second regional research and documentation centre on women, gender equality and peacebuilding in the Great Lakes region, based in Kinshasa, and the UNESCO International Network of Female Philosophicalists.","In order to support and encourage young women in all cultural backgrounds to work in the scientific sphere, UNESCO provided women with scientific capacity-building and training opportunities, including through the use of the UNESCO International Water Education Academy in Seoulf, Netherlands; fellowships for young scientists through the UNESCO/Leliya Partnership; the establishment and strengthening of new women scientists associations and networks.","The political and social empowerment of women is also promoted through education and training programmes for the protection and management of cultural, natural and non-physical heritage. This work also prioritizes female handcrafts and helps them to build their own small businesses to increase socio-economic benefits. In addition, in the context of the “Delivering as One” principle, policies and actions have been developed at the national level to focus on cultural characteristics and gender equality in HIV/AIDS prevention and care and maternal health.","Through its community-based information literacy campaign, UNESCO has strengthened women's ability to access and use information and communications technology for development and lifelong learning, especially for sustainable livelihoods. One example is the pilot mobile literacy programme launched by UNESCO in partnership with the Banjad Foundation and mobile phone company Mobilink, through which 50 community learning centres have been established and 1,250 illiterate women have basic literacy skills at these centres.","FAO continued to mainstream gender concerns in agricultural and rural development programmes, and organized gender training and awareness-raising activities for policymakers, policymakers and technical staff to support their development and implementation of gender-focused programmes and projects to address gender gaps in agriculture and food security, with particular emphasis on access to and control of productive resources and institution-building.","UNRWA's approach to promoting gender equality is to ensure that girls and women have equal access to all services, support women's vocational training centres and develop targeted programmes to promote women's rights and opportunities. A number of women's programme centres have been established in refugee camps across the region to provide services to women. Women were also provided with opportunities through the Action Equality Programme in Gaza and special lending schemes for women entrepreneurs through the Small Finance and Microenterprise Programme.","Support was provided to Member States and entities of the United Nations system for achieving gender equality and empowerment of women, with five thematic areas included in the strategic plan for 2011-2013: (a) expanding the leadership and participation of women; (b) combating violence against women; (c) strengthening the implementation of the agenda for women and peace and security; (d) empowering women; and (e) making gender priorities central to national planning and budgeting.","ILO promotes gender equality by providing advisory services on gender equality in the workplace, training, methodological approaches, advocacy and supporting the collection, production and dissemination of good practices. At the national level, ILO oversees technical cooperation programmes devoted to gender equality to address the concerns of women and men in the workplace and promotes efforts to integrate gender issues into the technical areas of ILO work. ILO conducted a participatory gender review among its members.","E. Actions to support democratic participation","Through a series of initiatives, UNESCO supports democratic participation, including the Arab-Asian philosophical dialogue on democracy and social justice, the Arab world and Africa's dialogue on democracy and human rights, and studies at the International Centre for Human Sciences in Birz, Lebanon. In addition, UNESCO has supported the development of legislation conducive to freedom and independence of the media; training of journalists and media professionals on impartial and independent coverage techniques, particularly in conflict and post-conflict areas; and assistance in media coverage of electoral activities.","In order to complement the transition to democracy in several countries of the Arab world, the recent initiative of UNESCO focused on supporting the civic participation of Egyptian youth; training of journalists in Egypt and Tunisia and providing media professionals with pre-election support, including the joint organization of an international conference in support of the media in Tunisia and Egypt; and the organization of a regional capacity-building workshop on the design, monitoring and evaluation of social protection in the Arab world in Beirut. In addition, an international round table was held on the theme “Democracy and recovery in the Arab world”, which was attended by knowledge elements and experts from the Arab world to discuss how to transition to democracy. In accordance with the outcome of this important round table, UNESCO developed a road map for the transition to democracy in the Arab world.","Actions to promote understanding, tolerance and solidarity","In leading the 2010 International Year of Culture and Good Governance, UNESCO uses its experience over 60 years to promote “people mutual understanding and understanding”. The main objective of the Year is to help eliminate any confusion arising from tensions, insecurity, violence and conflict. The task is to clarify the benefits of cultural diversity by recognizing the importance of intercultural communication and relations. The aim is to incorporate the principles of dialogue into policies at all levels in order to promote a culture-friendly environment that enhances harmony among peoples.","The launch of the International Year was facilitated by a number of complementary initiatives. These themes were addressed in parallel celebrations of several international years (International Year of Biodiversity, International Year of Youth and Afro-descendants) and World Day (e.g. World Philosophical and World Cultural Diversity for Dialogue and Development).","To promote the recognition of the Year by Member States, intergovernmental and non-governmental organizations, the action plan includes four main themes: (a) promoting mutual understanding of cultural, racial, linguistic and religious diversity; (b) establishing a framework for common values; (c) strengthening quality education and intercultural capacity-building; and (d) promoting dialogue for sustainable development. These themes are based on the principles of cultural equality, mutual respect and international cooperation for the promotion of durable peace.","Specific activities organized by Member States and partners such as the Alliance of Civilizations and relevant stakeholders in civil society for the celebration of the Year (totalling almost 1,000) are available on the UNESCO website (http://www.unesco.org/en/2010-international-for-the-rapproche-of-cultures/).","International awareness-raising on cultural diversity and its corollary — the intercultural dialogue — is a part of harmony. An emerging core view is that, in the new international landscape, greater consideration must be given to the linkages between cultural diversity, dialogue, development, security and peace. These interdependent concepts should be part of a new approach to building a culture of peace and non-violence. For dialogue to be effective, a number of basic prerequisites must be met: equality, justice, poverty reduction and respect for human rights.","To promote reflection on the new dimensions of peace in the twenty-first century, the Director-General of UNESCO established a high-level panel on intercultural peace and dialogue. The High-level Panel consists of decision makers, intellectuals and artists in all regions of the world, who together plan new ways of peace. Its main mission is to complement the work of UNESCO in this regard and to influence the diverse views of different regional and wide-ranging stakeholders. The High-level Panel held its first meeting in Paris on 18 February 2010 to launch the International Year of Culture and Harmony in 2010 (see A/65/299, annex). The High-level Panel met again in New York on 11 March 2011 to discuss the theme “Peace-building: promoting reconciliation through the power of education, science, culture and communication”. The report of the meeting is available on the UNESCO website (http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/).","UNESCO also contributed to strengthening peace, mutual understanding and social cohesion, in accordance with the Global Agenda for Dialogue among Civilizations, adopted by the General Assembly in 2001 (General Assembly resolution 56/6) and the instruction made by UNESCO's own governing bodies.","In the framework of the memorandum of understanding signed with the Alliance of Civilizations (Rio, May 2010), UNESCO implemented the intercultural briefing programme funded by Spain. The programme focuses on five projects aimed at strengthening links between Arab-Muslim and European societies to promote mutual understanding. These projects are:","(a) A scientific, philosophical, literary and artistic catalogue of Muslim/Arab civilization and its contribution to European philosophical and cultural recovery. It is a tool designed for teachers, students and the general public to provide a cross-cultural historical vision for the Muslim/Arab world and Western;","(b) Muslim/Arab civilization from a philosophical perspective: stories on routes, encounters, bridges and dialogue. This will require the development of educational tools for secondary school teachers to clarify examples of dialogue and communication within Muslim/Arab civilization and through Muslim/Arab civilization;","(c) Interrelationship and dialogue: museums serve as a civil space for the development of cross-cultural skills. The core of the project is the development of a museum in order to disseminate information on historical intercultural exchanges;","(d) Young artists promote intercultural dialogue between the Arab world and the Western world. The project aims to recognize the creative achievements of young artists in favour of Arab/West dialogue;","(e) Network of Peace Forces: coverage of peace. The network is an interactive platform seeking to promote peace through the media and information and communications technology.","In addition, the United Nations Educational, Scientific and Cultural Organization/Sisters School Programme, in close cooperation with the Alliance of Civilizations, has established a network of media and information education in the six universities in Brazil, China, Egypt, the United States of America, Spain and the Caribbean region, in conjunction with intercultural dialogue. Activities will include the promotion of international and intercultural research, conferences, publications, training activities and content related to media and information education, and should be used for cross-cultural, inter-religious dialogue and global cooperation.","In order to promote civil society dialogue in the Horn of Africa, UNESCO, in cooperation with the Independent Research Policy Forum of the Great Horn of Africa Horizon Forum, organized a conference of youth ministers with the participation of researchers and diaspora researchers in the region (Djibouti, December 2008). The meeting reviewed existing studies and identified policy recommendations for each Member State.","In addition, UNESCO supported the Inter-American Conference on Regional Philosophical Dialogue on Africa and its diaspora populations in April 2011. The conference organized in the framework of the International Year of Afro-descendants (2011) brought together philosophicalists in Africa, diaspora groups and the Americas to discuss contemporary challenges. The dialogue facilitated the establishment of a network of African, Latin American, Caribbean and North American philosophicalists with a view to strengthening academic cooperation and capacity-building through, inter alia, student exchange programmes.","In Central Asia, intercultural dialogue has been promoted through the establishment of a portal as a tool for artistic and cultural cooperation and dialogue with Europe and through various activities developed by the International Institute of Central Asia and the International Institute of Toriad Civilization.","In South-East Europe, the inter-cultural dialogue between the Head of State was supported through the organization of a series of regional meetings, where the former Yugoslav Republic of Macedonia Ohrid (2003), Tirana (2004), Bulgaria Warna (2005), Croatia Opata (2006), Bucharest (2007), Athens (2008), Montenegro (June 2008) and Istanbul Turkey (2010), the objective of which was to establish a shared vision for future international cooperation. The 2011 summit will be held in Serbia.","In the area of Israel and the Palestinian territories, a joint academic committee on the balance of women and men (Israel-Palestinian) has been established, consisting of members from Israeli and Palestinian universities, scientific institutions and think tanks. The Commission will work together to promote and pursue dialogue and academic cooperation between Israelis and Palestinians.","In the Middle East, peacebuilding and intercultural understanding have also been promoted through the third university cooperation programme, launched in cooperation with the University of Rome, the Social Science and Humanitarian Affairs Drivers, 2010-2011. The programme will promote academic exchange and cooperation among teachers and students at Israeli and Palestinian universities.","UNESCO promotes peaceful and non-violent sciences as a medium of intercultural dialogue and cooperation to help prevent potential conflicts of natural resources such as freshwater and arable land and address complex global environmental and development challenges. To that end, it provided technical support to Israel, the Palestinian scientific organization, which provided opportunities for Palestinian and Israeli scientists to cooperate on joint scientific projects. UNESCO also provided support to the Maltese Conference Series, which brought together scientists from the Middle East and neighbouring regions to discuss issues related to chemical research and education in the region and to seek a mutually satisfactory solution. The fifth meeting in this series was held at UNESCO headquarters (December 2011), on the theme “Spacific science front: research and education in the Middle East: bridging peace and international development”.","Through its biosphere programme, UNESCO supports national efforts to establish cross-border biosphere protected areas to promote reconciliation, intercultural dialogue, peace and cooperation on issues related to adaptation to climate change, biodiversity loss, sustainable development and ecotourism. Ten existing protected areas are distributed among 15 countries in Latin America, Europe and Africa. At the most recent meeting of the International Coordinating Council in June 2011, the Programme approved the Biosphere protected area of Trihane, El Salvador/Guatemala/ Honduras (Trifinio Fraternidad), the first three biosphere protected areas in Central America.","Through its programme “from potential conflicts to the potential of cooperation”, UNESCO facilitated multi-level and interdisciplinary dialogues to promote peace, cooperation and development related to shared transboundary water resource management. The programme seeks to strengthen the capacity of stakeholders to predict, prevent and resolve water conflicts in the context of shared transboundary water resources management, thereby enhancing water security.","The importance of promoting science for peace was also raised by supporting the celebration on 10 November of the World Science Day for Peace and Development.","Actions to support the free flow of communication and information","UNESCO continued to undertake key capacity-building actions, with emphasis on the useful role of the media in promoting dialogue, democracy and development processes and in protecting human rights. The capacity of media professionals in the area of information security, conflict-sensitive coverage and electoral coverage has been strengthened.","The right to freedom of expression and access to information was raised through several activities in 2010. The theme “Final freedom of the press: the right to information” was focused on the World Press Freedom Day in 2010. At the International Conference on World Press Freedom Day held in Australia, participants adopted the Brasband Declaration, calling on Governments to adopt the Freedom of Information Act and highlighting the importance of independent and pluralistic media, noting that this is a fundamental element of good governance and human rights-based development. The World Press Freedom Day was celebrated at least 100 countries. The UNESCO/Guelmo Carno Prize was awarded to Mónica González Mujica to recognize the news coverage of her in-depth investigation during the Chilean dictatorship.","Support was provided to intergovernmental and non-governmental organizations working in the area of freedom of expression, in particular with regard to ending impunity and violence against journalists. UNESCO continues to support the International Freedom of Expression Exchange Network, in particular by supporting groups in developing countries and countries in transition to promote better protection of the rights of journalists and journalists. In 2010, the safety of media professionals was of particular concern and the Director-General of UNESCO condemned the killing of 62 journalists. The International Council for Communication Development adopted a decision on the safety and impunity of journalists and called upon States to report to UNESCO on their investigations into cases of killings of journalists.","The development of international communications development programmes provides support for the launch of 83 projects in 61 developing countries to assist Member States in the development of free, independent and pluralistic media. The “Voice of Farmers” community radio station in Mexico and the Egyptian journalist Amr Mamdouh Ellissy received the United Nations Educational, Scientific and Cultural Organization-International Communication Development Programme Rural Communication Award in 2010.","UNESCO continued to promote community radio and community multimedia centres and community radio projects were launched in 19 countries. A total of 50 community radio best practices have been identified for management, sustainability, programming and community participation, and support has been provided to the World Association for Community Broadcasts to develop common operational codes for community radio practitioners. The Indian Community Radio Policy Review, supported by UNESCO, resulted in a proposal to create a national public fund to support community media development.","The capacity of media training and press education institutions has also been strengthened in accordance with the UNESCO good standards of public information training, and 63 public information training institutions in 51 countries have adopted the UNESCO model curriculum on information education.","UNESCO has also contributed to the development of a national information policy framework, particularly in the framework of the National Information Programme, which has contributed to the universal access to information.","FAO has supported the use of the media such as rural radio, participatory video, print and audio-visual tools to increase the participation and ownership of development initiatives by the rural population. FAO works through its programme “Charting the rural digital divide to reduce poverty and food insecurity”, to strengthen the human and institutional capacity to use and exchange information in rural areas, while also using various media to reduce poverty and ensure food security.","In 2008, ITU launched the Child Online Protection Initiative to raise awareness of the importance of child online protection, to educate and develop guidelines for the public, including children themselves. The initiative also develops technical standards that can be operational in order to protect online children and help countries build national hotlines and develop national strategies and implement legislative processes. ITU held a panel discussion on “Technical Voices: Focus on Youth and Access” during the World Summit on Youth in 2011 and organized a large event on the theme “Information technology as a catalyst for peace, human rights and development” during the United Nations High-level Meeting on Youth to promote the role of information and communications technology in promoting peace.","H. Actions to promote international peace and security","UNESCO has supported countries in post-conflict and post-disaster situations through a dedicated cross-sectoral platform to help them: re-establish their education systems to achieve the goal of education for all; provide policy advice and expertise to detract from potential conflicts of natural resources; revitalize domestic research facilities; integrate disaster prevention and mitigation efforts, in particular early warning systems into post-conflict and post-disaster responses; and protect and rehabilitate damaged cultural and natural heritage.","During the reporting period, support was provided to countries affected by natural disasters, such as the earthquake in Haiti, the floods in Benin and Pakistan, the tsunami and volcanic eruption in Indonesia and the earthquake and tsunami in Japan. It also supported a number of countries in post-conflict environments, such as Afghanistan, the Democratic Republic of the Congo, Iraq, the Occupied Palestinian Territory and several West African countries.","UNESCO participated in 16 of the 26 appeals launched by the United Nations Office for the Coordination of Humanitarian Affairs, in particular in response to the earthquake in Haiti and the floods in Pakistan. It also started implementing eight of the 10 joint programmes of the United Nations country team and is expected to allocate $8.3 million under the thematic window of the Millennium Development Goals Fund of Spain (Brazil, Chile, Costa Rica, Democratic Republic of the Congo, Guatemala, Haiti, the former Yugoslav Republic of Macedonia, Mexico, Lebanon and Panama).","At the request of African countries following the crisis, support was provided to joint activities with United Nations partners, in particular UNHCR and regional organizations in Africa, in particular through the UNESCO Emergency and Reconstruction Education Programme. UNESCO launched a post-conflict comprehensive support programme for Côte d'Ivoire in its area of competence in 2008 and established a space line for countries with special needs (Djibouti, Liberia, Sierra Leone and the Sudan). At the regional and subregional levels, as part of the United Nations regional coordination mechanism, UNESCO has also supported the African Union and a number of regional organizations initiatives in the context of the African Union's post-conflict reconstruction and development action framework.","UNESCO also launched the Global Monitoring Report on Education for All, 2011 on “Chiding Crisis: Armed Conflict in Education”, which examines the devastating consequences of the conflict for achieving the goals of education for all. It has developed an agenda to protect the right to education in conflict, to strengthen assistance to children, young people and adults affected by conflict, and to re-establish the education system in countries emerging from conflict. Based on the experience of a number of countries, it identified a number of issues and proposed solutions to enable education to become a force for peace, social cohesion and human dignity.","In order to promote international peace and security through further efforts to engage multiple stakeholders in different cultural dialogues, UNESCO has held consultations with a wide range of partners and organizations to identify possible joint actions and partnerships.","UNESCO also participated in the Counter-Terrorism Task Force among United Nations agencies and recently submitted funding proposals to develop and implement a number of programmes to support conflict prevention, promote peace education and assist in the attractiveness of violent extremism in Nigeria.","UNHCR promotes education for reconstruction, peacebuilding and nation-building through the German Refugee Scholarship Initiative (Abert Evantanstan). In 2010, 1,900 students from 37 countries advanced their university education through the programme. Through the strengthening of self-reliance and the development of human capital, the refugee scholarship initiative has set the refugee example, facilitated durable solutions and provided students with important skills for reconstruction, peacebuilding and nation-building.","FAO coordinated a number of action plans in post-conflict countries to support agricultural development and food security in post-conflict situations and participated in the preparation of various components of agriculture in post-conflict needs assessments. This assessment is coordinated by the United Nations Development Operations Coordination Office.","UNICEF supported the child-friendly space programme, in Afghanistan, Albania, Angola, Colombia, El Salvador, Haiti, Kosovo, Liberia, Timor-Leste and Turkey, in which they were taught in a protective space. UNICEF also supports the development of a sector-wide approach in Nepal to help create a more equitable system and promote cohesion. Education programmes in emergencies and post-crisis transitions have supported UNICEF education programming in 39 countries and territories since their operation in 2006. Conflict is a feature of many countries funded by the programme. UNICEF, in cooperation with the Office of the Special Representative of the Secretary-General for Children and Armed Conflict, recorded grave violations of children in 22 countries through the monitoring and reporting mechanism established pursuant to Security Council resolution 1612 (2005) on grave violations of children in armed conflict. This information is contained in the Secretary-General's annual report on the list of grave violations committed against perpetrators.","UN-Habitat supports a total of 48 countries in implementing policies to enhance access to land and access to housing, including in post-crisis reconstruction. Fifteen of these countries have received post-crisis reconstruction support, six of which are in Africa and in the Arab States region, eight in Asia and the Pacific region, one in Eastern Europe and Central Europe.","The International Labour Organization provided technical assistance to countries in post-conflict situations to demonstrate the effectiveness of employment-focused responses to peacebuilding challenges. It also provides capacity-building for decent work and social justice for the Government, employers' organizations and workers' organizations (i.e., the ILO-sponsored Tripartite) through training, counselling (including labour information and statistics, labour legislation and reconstruction) and dissemination of relevant publications. This also includes advocating for employment at the core of peacebuilding efforts to donors and partner institutions and in the media.","The World Bank recently issued the World Development Report 2011: Conflict, security and development, which highlights the importance of institutional legitimacy in supporting national-social contracts and the need to invest in civil security, justice and employment in order to reduce violence. It is committed to the implementation of key messages presented in the World Development Report 2011, including strengthening partnerships with key actors working in vulnerable situations, in particular with United Nations funds, programmes and agencies.","Future actions to promote a culture of peace and non-violence","UNESCO builds on lessons learned from the International Decade for a Culture of Peace and Non-Violence for Children in the World (2001-2010) and the International Year of Culture and Good Governance in 2010, and is developing an integrated, cross-sectoral and interdisciplinary programme of action for peace and non-violence, in consultation with Member States. The objective of the programme of action is to further strengthen the global movement for a culture of peace and non-violence at the national, regional and international levels.","In accordance with the decision of the UNESCO Executive Board in May 2011 to prepare its draft programme and budget for the period 2012-2013, the budget will provide for a number of realistic actions in the following areas:","(a) Strengthen education for a culture of peace and non-violence in order to achieve intercultural solidarity and intergenerational dialogue and mutual understanding for reconciliation and peacebuilding;","(b) Promotion of natural science as a medium of common language and intercultural dialogue and communication and for peace;","(c) Emphasize the role of social and human science in promoting universal values, democracy and human rights;","(d) To highlight the important role of cultural diversity, intercultural dialogue and various forms of heritage in promoting mutual understanding and reconciliation;","(e) Explore the opportunities offered by the media as intermediaries for reconciliation, tolerance and intercultural understanding by highlighting the use of young people for new media.","UNESCO will be committed to mobilizing all relevant stakeholders at the global, regional, subregional and national levels. It will also draw on its multidisciplinary expertise in education, science, culture, communication and information and develop innovative programmes to achieve greater results in promoting a culture of peace and non-violence.","The Programme of Action will be implemented and managed by a dedicated cross-sectoral platform for peace and non-violence. The platform will also be responsible for the implementation of an initiative by the Kingdom of Saudi Arabia, namely the International Programme for Peace and Dialogue of Abdullah bin Abdulaziz, which has contributed $5 million.","Recommendations","The General Assembly may wish to consider the following actions:","(a) To strengthen policy coherence and to explore the possibility of harmonizing reporting to the General Assembly on issues related to culture of peace, cultural diversity, tolerance, mutual understanding, harmony, non-violence and intercultural dialogue, including inter-religious dialogue;","(b) Call upon the United Nations Development Group, including its regional teams and all United Nations country teams, to integrate programmatic modules that focus on promoting a culture of peace and non-violence into common national programming processes and documents, notably in the United Nations Development Assistance Framework, including, where appropriate, the inclusion of programme modules that focus on conflict prevention and resolution and post-conflict reconciliation;","(c) To invite the United Nations System Staff College to develop training modules and learning materials in this regard and to provide training workshops for United Nations country teams to build joint strengths, enhance coherence and coordination so that they can better respond to specific national needs;","(d) To establish an inter-agency working group on a culture of peace and non-violence to discuss common initiatives and consider the development of a road map that sets goals and measurable expected outcomes, and to monitor the implementation of this work;","(e) Welcome the efforts of UNESCO to establish national and regional mechanisms, such as the Intercultural Forum, to highlight the benefits of intercultural dialogue and cultural diversity from a human rights-based perspective in order to combat violence and peacebuilding in everyday life, and invite Member States to sustain such efforts in the context of their commitment to a culture of peace;","(f) Encourage Member States to establish linkages among organizations that actively promote intercultural dialogue and work towards sustainable development and peace with a view to creating new impetus for peace."],"string":"[\n \"Sixty-sixth session\",\n \"Item 15 of the provisional agenda*\",\n \"Culture of peace\",\n \"Implementation of the Declaration on the Culture of Peace and the Programme of Action for the Culture of Peace\",\n \"Note by the Secretariat\",\n \"The Secretary-General has the honour to transmit the report of the Director-General of the United Nations Educational, Scientific and Cultural Organization pursuant to General Assembly resolution 1701 (2006).\",\n \"∗ A/63/250.\",\n \"Report of the Director-General of the United Nations Educational, Scientific and Cultural Organization\",\n \"Summary\",\n \"The present report, prepared by the United Nations Educational, Scientific and Cultural Organization (UNESCO), summarizes briefly the activities undertaken by UNESCO and other relevant United Nations entities to implement the Declaration on the Culture of Peace and the Programme of Action for a Culture of Peace in the past year, as requested by the General Assembly in its resolution 63/21. The present report includes information received from the International Labour Organization, the Food and Agriculture Organization of the United Nations, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, the United Nations Human Settlements Programme, the International Telecommunication Union, the United Nations Children's Fund, the University for Peace, the Office of the United Nations High Commissioner for Refugees, the United Nations Office on Drugs and Crime, the United Nations Agency for Gender Equality and Empowerment of Women and the World Bank. The present report also contains recommendations on future action, specifically in the section.\",\n \"Implementation of the Programme of Action for a Culture of Peace\",\n \"The present report is submitted pursuant to resolution 63/21, describing the actions taken to implement the resolution and the activities undertaken by the United Nations system to implement the Programme of Action and promote a culture of peace and non-violence. The promotion of a culture of peace expresses the fundamental mission of the United Nations Educational, Scientific and Cultural Organization (UNESCO). The present report describes how UNESCO promotes a global culture of peace at the national, regional and international levels, following the activities of the International Decade for a Culture of Peace and Non-Violence for Children in the World (2001-2010). The report also provides an overview of the activities undertaken in the implementation of resolution 63/21 on the implementation of the Declaration on the Culture of Peace and the Programme of Action for the Culture of Peace: International Labour Organization (ILO), Food and Agriculture Organization of the United Nations (FAO), United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), United Nations Human Settlements Programme (UN-Habitat), International Telecommunication Union (ITU), United Nations Children's Fund (UNICEF), University of Peace, Office of the United Nations High Commissioner for Refugees (UNHCR), United Nations Office on Drugs and Crime, United Nations Office on Drugs and Crime, United Nations Office for the Promotion of Gender Equality and Empowerment of Women (ODA) and World Bank. These activities are described in eight sections in accordance with eight actions set out in the Programme of Action for a Culture of Peace.\",\n \"Actions to promote a culture of peace through education\",\n \"Within the framework of the 1974 Recommendations on Education for International Understanding, Cooperation and Peace and Related Human Rights and Fundamental Freedoms Education, UNESCO continued to promote a culture of peace through education, thereby supporting member States in providing quality and inclusive education for peace, human rights, tolerance, intercultural understanding, democracy, non-violence and respect for values.\",\n \"In partnership with relevant partners, UNESCO has developed eligibility guidelines for its member States in relation to the core values of human rights, peace, tolerance and education for sustainable development and disseminate good practices, thereby strengthening the capacity of Member States to incorporate a human rights-based approach into the education system as a whole. This includes supporting and policy advice on the promotion of culturally appropriate and appropriate language-based learning materials. UNESCO has also developed teaching and learning reference materials, manuals and guidelines on subjects such as learning how to coexist, human rights and the rights of the child, peace and democracy, gender equality and preventing school violence.\",\n \"Through the High-level International and Regional Policy Forum, UNESCO continued to advocate for peace, human rights, intercultural understanding and remembering the Holocaust against Jews through its network of contacts and institutions, including UNESCO's network of schools, UNESCO's teachings, university stereotypes and networking plans and the Asia-Pacific Centre for Intercultural Understanding. Good examples of activities that mobilize countries and people to support peace were also rewarded. The 2010 Felix Urbé-Bowani Peace Prize awarded to Argentine non-governmental organizations — the Zangan Association, which was held over 30 years to struggle for human rights, justice and peace. UNESCO also supported the International Youth Digest competition of the five Peace Foundation in 2011.\",\n \"Several concrete results have been achieved through the innovative model of the cross-sectoral platform for intercultural dialogue and a culture of peace across UNESCO. The main achievements include the digitization of the history and regional history that has been completed, as well as the teaching content of the history of the 46 African countries, jointly agreed upon. A cross-regional and interfaith study was carried out to analyse the practice of inter-religious dialogue among young people around the world and to disseminate widely the publication entitled “Combating the violence in school parks: teacher guidance” in English, French, Arabic and Spanish. The Peace Forces Network supports a range of projects at different national and regional levels, such as the Youth Broadcast Initiative “to connect different cultures”, video “Sy daily lives”, produced jointly by Palestine/United Kingdom of Great Britain and Northern Ireland, Zambia's online debates and competition “I am living”. The Network also provided support for the preparation of courses on conflict attention in the coverage and organized relevant training courses in collaboration with Rodh University in South Africa.\",\n \"Taking advantage of the opportunity to commemorate the International Year of Youth (2010) to raise awareness of youth growth and to increase awareness of the role of youth in supporting national development, supporting peace and non-violence. As one of the Co-Chairs of the Inter-Agency Network on Youth Growth, UNESCO has supported the adoption and implementation of a United Nations framework approach to commemorating the International Year of Youth; the joint statement of heads of United Nations entities on the Year of Youth; and the joint input of the United Nations World Youth Conference (Mexico City, August 2007). UNESCO has also raised awareness of the importance of sports in youth growth, community action and peacebuilding and non-violent culture through partnerships with sports organizations. This includes the organization of the Seventh World Conference on Sports, Education and Culture, together with the International Olympic Committee, on the theme “The right to speak for young people” (art. South Africa, Durban, December 2010. Support was provided for research work in Latin America and the Caribbean and in the Commonwealth of Independent States to provide information to Member States for the development of youth policies and programmes, including policies and programmes to prevent youth violence. Policy advice was also provided to small island developing States in the Pacific for the development of practical and achievable action-oriented youth policy documents.\",\n \"In order to overcome the specific challenges faced by young people, FAO continued to support the establishment of youth farmers' farming and life skills schools in a number of African countries, Asia and the Middle East. This approach combines both the provision of support for vocational training opportunities and the promotion of employment. Youth teach agricultural skills as a living model and develop corresponding life experience, such as setting targets, focusing on individual growth spaces and team spirits. This approach is also part of a employment-oriented approach that encourages and assists school graduates to join the Farmers' Federation and the Farmers' Association in order to be resourced and to relocate their products on the market.\",\n \"UN-Habitat, together with other United Nations agencies, including UNESCO, has strengthened its focus on the most vulnerable youth in urban development by strengthening urban safety programmes, using the social capital of young people to increase opportunities in vulnerable communities and residential areas, including through strengthening schools and active civic participation. A global network of urban security is being established through this programme to strengthen the global campaign on culture of peace.\",\n \"UNHCR continued to provide education and sports services to refugee youth through its “9 million” campaign, with the number of people serving 4,000 people in 2010, promoting a culture of peace and non-violence in 20 countries. All projects have strengthened the coexistence of refugees and host communities, and a number of projects have also reduced the risk of recruiting young people who have graduated from schools. Programme reports show that sports plays a significant role in overcoming problems of destructive behaviour, HIV, drug abuse, sexual violence and gender-based violence. 75 per cent of the projects are particularly targeted by young people and girls who have just graduated from schools, since they can play a key role in peace, reconstruction and prosperity in the country if they have access.\",\n \"UNHCR works in several countries to implement programmes to combat xenophobia through the promotion of tolerance and respect for foreigners, including refugees. In Latin America, the institution recently launched a campaign on the theme “A vision for refugees and displaced persons and a first step towards understanding their situation” to promote tolerance for refugees and displaced persons and help them integrate into local societies.\",\n \"The University for Peace, which was mandated by the General Assembly in 1960 to provide education for human peace, has made a positive effort to build a culture of peace through its education and capacity-building programmes. The University promotes a wider audience through the organization of partnerships and communication programmes with other universities and the organization of an online distance learning programme, including the organization of a unique and well-established master's programme for online peace studies.\",\n \"UNICEF has established a school based on rights, child-friendly education system and integrative as “inclusive and accessible to all children”. Such a child-friendly approach was adopted by several States to combat violence and promote education for children. As a centre for care and support, schools provide the most vulnerable children, in particular orphaned children, and those who suffer violence, with the necessary services. These services include water supply, sanitation and hygiene, child hotlines, school meals and school health, and their participation in school governance. Agreements between UNICEF and the International Child Helpline were approved in 2010 to benefit 11 countries in East and Southern Africa. The outcomes of these agreements include the establishment of free child hotline numbers, online counselling and ongoing child protection surveys.\",\n \"The most marginalized, poor and vulnerable are those most at risk of drug addiction, and the United Nations Office on Drugs and Crime, through its demand reduction projects, helps them to form a culture of peace and non-violence. These projects focus on promoting understanding of the use of drug addiction as a health gap that can be effectively addressed within the health system, while using evidence-based methods to prevent drug abuse, treatment and care. Prevention programmes, such as life skills training, family skills training and workplace programmes, will help to build more healthy and secure communities and contribute to peace societies. A comprehensive treatment and care services are very effective tools that enable those who abuse drug addiction to health and reintegration to contribute to building and maintaining peace.\",\n \"Actions to promote sustainable economic and social development\",\n \"As the lead agency for the United Nations Decade for Sustainable Development in 2005-2014, UNESCO is supporting Member States in integrating the principles, values and practices of sustainable development into the design and development of inclusive education policies and plans, including in the areas of climate change education, teacher development policies, the revision of textbooks and curricula and the updating of teaching methods. UNESCO also advocates a strong commitment to cultural diversity. Since the last reporting period, a multi-stakeholder learning tool for education for sustainable development has been developed in cooperation with Islamic Educational, Scientific and Cultural Organization, which focuses on water resources and will soon be tested on the ground. In addition, UNESCO has undertaken capacity-building on climate change education in a number of Member States, in particular Maldives and Viet Nam, and has provided inputs to the United Nations Conference on Climate Change (16th Conference of the States Parties) held in Kyin, Mexico. The International Year of Biodiversity and the Tenth Conference of the Parties to the Convention on Biological Diversity (COP) held from 27 to 29 October 2010 in Japan's Guangkok housing) provided a number of opportunities to promote cooperation with the network of schools, the UNESCO Education for Sustainable Development, the World Biosphere Protection Network and People and the Biosphere Programme. UNESCO also supported the least developed countries in achieving their sustainable development goals and provided input to the Programme of Action adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May 2011.\",\n \"The United Nations Office on Drugs and Crime strives to reduce poverty through activities on farms and outside farms as part of its alternative development activities and the reduction of illicit crop programmes, which promote legitimate income-generating opportunities for farmers, based on market-driven needs. The United Nations Office on Drugs and Crime strives to promote food security by providing technical assistance to help increase the rate of food production, in particular the provision of high-natal, anti-communicable seeds and assistance in the establishment and management of food banks.\",\n \"FAO, through its “Rural population education” initiative, has helped to strengthen the empowerment of the rural poor by fully integrating them into the development process so that they are less vulnerable to conflict. The partnership comprised 400 members (from Governments, intergovernmental organizations, civil society and academia), FAO, through which it helped to integrate rural people into national development plans and produced publications and tools kits.\",\n \"FAO field activities in 28 countries in Africa, Asia and Latin America have an impact on the lives of more than 9 million people in rural areas. The European Union Food Finance Facility provided $315 million for financing these projects.\",\n \"UNRWA continued to implement a large-scale poverty reduction programme and a programme to urgently provide food for the poorest of the poor. The UNRWA Social Security Network programme provided small cash subsidies and food kits to nearly 30,000 refugees throughout the region every quarter to provide some support to families living in extreme poverty. In addition, the Agency provides emergency support to those affected by conflicts and natural disasters in the form of food, cash and emergency employment opportunities. These urgent interventions are being taken in Gaza, the West Bank and Lebanon, with hundreds of thousands of people in need throughout the region benefiting from one or more interventions.\",\n \"UN-Habitat continues to ensure that the poor receive affordable and adequate housing and help to systematically improve slums and prevent their formation. Actions taken to this end are the implementation of a resolution of the UN-Habitat Governing Council to develop a new global housing strategy, taking into account the challenges of adequate sustainable housing and basic infrastructure, and taking into account the need to integrate housing policies into broader urban planning strategies and government actions to align them with other social, economic and environmental policies.\",\n \"C. Actions to promote respect for all human rights\",\n \"UNESCO continues to actively promote the right to education through the implementation of the World Programme for Human Rights Education adopted by the General Assembly in 2004 (see General Assembly resolution 59/113 A). A series of materials have been developed to assist Member States in integrating education for peace and human rights into school systems, including publication entitled “Information on contemporary human rights education”. A short film entitled “Young talk about human rights education”, was also produced in collaboration with the National Commission for UNESCO in 10 countries and the national focal point for the UNESCO network of schools. From a human rights education perspective, the film shows the concerns and challenges faced by young people in today's schools in terms of gender equality, violence, peace and cultural diversity.\",\n \"In order to strengthen advocacy, capacity-building and policy-oriented actions in the field of human rights, UNESCO, in line with the United Nations Development Group's new human rights mainstreaming mechanism, has helped to collect and design training materials. The objective of the mechanism is to make the United Nations more effective in using a human rights-based approach to programming, especially at the country level, to develop the United Nations Development Assistance Framework.\",\n \"Other human rights training materials prepared during the reporting period included a model manual entitled “The empowerment of the poor through human rights litigation”, as well as four volumes collected by UNESCO pilotly, which analysed poverty in a number of ways.\",\n \"As part of the work of UNESCO to raise awareness of human rights, the Director-General, on the occasion of the Human Rights Day (10 December), issued a UNESCO/Burbao Cultural Prize for the promotion of human rights in Asma Jahangir, Pakistan, in recognition of her commitment and contribution to promoting inter- and intercultural dialogue, tolerance, mutual understanding and cooperation for peace.\",\n \"The United Nations Office on Drugs and Crime addresses issues related to human rights and gender equality through its HIV prevention, treatment, care and support programmes. In 2010, the United Nations Office on Drugs and Crime helped some 40 countries to review laws and policies related to the HIV and prison environment, the HIV and injecting drug users and those vulnerable to trafficking in persons. In at least 49 countries, the United Nations Office on Drugs and Crime provided technical support for the development of human rights-based, gender-based and equitable AIDS policies and programmes targeting the prison environment, injecting drug users and those vulnerable to trafficking in persons, in accordance with human rights treaties and relevant international standards.\",\n \"The Near East Agency contributes to the socio-economic rights of Palestine refugees through various programmes in education, health and social services, improvement of infrastructure and refugee camps and microfinance. Education services are most prominent. Nearly 500,000 children continue to be educated in almost 700 UNRWA schools throughout the region, and UNRWA provided nearly 20,000 teaching staff.\",\n \"Actions to ensure equality between men and women\",\n \"UNESCO strives to ensure gender equality by taking action in all areas responsible for gender equality as a priority and as one of the two global priorities of the medium-term strategy for 2008-2013. The results-based action plan on gender priorities for 2008-2013, approved by the Executive Board of UNESCO, states that the various programmatic areas of the organization will take action to empower women and achieve gender equality.\",\n \"In order to strengthen the efforts of UNESCO to strengthen the empowerment of girls and women through quality education, the Director-General launched a new global partnership for girls and women's education at a high-level forum on 26 May 2011, attended by the Prime Minister of the United Nations Secretary-General, Ban Ki-moon, Bangladesh and Mali, the United States Secretary of State, representatives of non-governmental organizations and business leaders. With the support of the High-level Panel, the UNESCO Global Partnership for a Better Living and a Future Better” focuses on helping illiterate or semi-arid girls and expanding women's literacy programmes through partnerships with businesses, such as the Notrekia, the Harmony, the Cycle Education Group, Microsoft, apples and the Pakad Foundation. A number of projects have been initiated in Africa and Asia.\",\n \"UNESCO has developed initiatives to support women's participation in conflict resolution, peacebuilding and reconstruction efforts and address gender-based violence, in particular through the Palestinian Research and Documentation Centre for Women in Ramallah, the second regional research and documentation centre on women, gender equality and peacebuilding in the Great Lakes region, based in Kinshasa, and the UNESCO International Network of Female Philosophicalists.\",\n \"In order to support and encourage young women in all cultural backgrounds to work in the scientific sphere, UNESCO provided women with scientific capacity-building and training opportunities, including through the use of the UNESCO International Water Education Academy in Seoulf, Netherlands; fellowships for young scientists through the UNESCO/Leliya Partnership; the establishment and strengthening of new women scientists associations and networks.\",\n \"The political and social empowerment of women is also promoted through education and training programmes for the protection and management of cultural, natural and non-physical heritage. This work also prioritizes female handcrafts and helps them to build their own small businesses to increase socio-economic benefits. In addition, in the context of the “Delivering as One” principle, policies and actions have been developed at the national level to focus on cultural characteristics and gender equality in HIV/AIDS prevention and care and maternal health.\",\n \"Through its community-based information literacy campaign, UNESCO has strengthened women's ability to access and use information and communications technology for development and lifelong learning, especially for sustainable livelihoods. One example is the pilot mobile literacy programme launched by UNESCO in partnership with the Banjad Foundation and mobile phone company Mobilink, through which 50 community learning centres have been established and 1,250 illiterate women have basic literacy skills at these centres.\",\n \"FAO continued to mainstream gender concerns in agricultural and rural development programmes, and organized gender training and awareness-raising activities for policymakers, policymakers and technical staff to support their development and implementation of gender-focused programmes and projects to address gender gaps in agriculture and food security, with particular emphasis on access to and control of productive resources and institution-building.\",\n \"UNRWA's approach to promoting gender equality is to ensure that girls and women have equal access to all services, support women's vocational training centres and develop targeted programmes to promote women's rights and opportunities. A number of women's programme centres have been established in refugee camps across the region to provide services to women. Women were also provided with opportunities through the Action Equality Programme in Gaza and special lending schemes for women entrepreneurs through the Small Finance and Microenterprise Programme.\",\n \"Support was provided to Member States and entities of the United Nations system for achieving gender equality and empowerment of women, with five thematic areas included in the strategic plan for 2011-2013: (a) expanding the leadership and participation of women; (b) combating violence against women; (c) strengthening the implementation of the agenda for women and peace and security; (d) empowering women; and (e) making gender priorities central to national planning and budgeting.\",\n \"ILO promotes gender equality by providing advisory services on gender equality in the workplace, training, methodological approaches, advocacy and supporting the collection, production and dissemination of good practices. At the national level, ILO oversees technical cooperation programmes devoted to gender equality to address the concerns of women and men in the workplace and promotes efforts to integrate gender issues into the technical areas of ILO work. ILO conducted a participatory gender review among its members.\",\n \"E. Actions to support democratic participation\",\n \"Through a series of initiatives, UNESCO supports democratic participation, including the Arab-Asian philosophical dialogue on democracy and social justice, the Arab world and Africa's dialogue on democracy and human rights, and studies at the International Centre for Human Sciences in Birz, Lebanon. In addition, UNESCO has supported the development of legislation conducive to freedom and independence of the media; training of journalists and media professionals on impartial and independent coverage techniques, particularly in conflict and post-conflict areas; and assistance in media coverage of electoral activities.\",\n \"In order to complement the transition to democracy in several countries of the Arab world, the recent initiative of UNESCO focused on supporting the civic participation of Egyptian youth; training of journalists in Egypt and Tunisia and providing media professionals with pre-election support, including the joint organization of an international conference in support of the media in Tunisia and Egypt; and the organization of a regional capacity-building workshop on the design, monitoring and evaluation of social protection in the Arab world in Beirut. In addition, an international round table was held on the theme “Democracy and recovery in the Arab world”, which was attended by knowledge elements and experts from the Arab world to discuss how to transition to democracy. In accordance with the outcome of this important round table, UNESCO developed a road map for the transition to democracy in the Arab world.\",\n \"Actions to promote understanding, tolerance and solidarity\",\n \"In leading the 2010 International Year of Culture and Good Governance, UNESCO uses its experience over 60 years to promote “people mutual understanding and understanding”. The main objective of the Year is to help eliminate any confusion arising from tensions, insecurity, violence and conflict. The task is to clarify the benefits of cultural diversity by recognizing the importance of intercultural communication and relations. The aim is to incorporate the principles of dialogue into policies at all levels in order to promote a culture-friendly environment that enhances harmony among peoples.\",\n \"The launch of the International Year was facilitated by a number of complementary initiatives. These themes were addressed in parallel celebrations of several international years (International Year of Biodiversity, International Year of Youth and Afro-descendants) and World Day (e.g. World Philosophical and World Cultural Diversity for Dialogue and Development).\",\n \"To promote the recognition of the Year by Member States, intergovernmental and non-governmental organizations, the action plan includes four main themes: (a) promoting mutual understanding of cultural, racial, linguistic and religious diversity; (b) establishing a framework for common values; (c) strengthening quality education and intercultural capacity-building; and (d) promoting dialogue for sustainable development. These themes are based on the principles of cultural equality, mutual respect and international cooperation for the promotion of durable peace.\",\n \"Specific activities organized by Member States and partners such as the Alliance of Civilizations and relevant stakeholders in civil society for the celebration of the Year (totalling almost 1,000) are available on the UNESCO website (http://www.unesco.org/en/2010-international-for-the-rapproche-of-cultures/).\",\n \"International awareness-raising on cultural diversity and its corollary — the intercultural dialogue — is a part of harmony. An emerging core view is that, in the new international landscape, greater consideration must be given to the linkages between cultural diversity, dialogue, development, security and peace. These interdependent concepts should be part of a new approach to building a culture of peace and non-violence. For dialogue to be effective, a number of basic prerequisites must be met: equality, justice, poverty reduction and respect for human rights.\",\n \"To promote reflection on the new dimensions of peace in the twenty-first century, the Director-General of UNESCO established a high-level panel on intercultural peace and dialogue. The High-level Panel consists of decision makers, intellectuals and artists in all regions of the world, who together plan new ways of peace. Its main mission is to complement the work of UNESCO in this regard and to influence the diverse views of different regional and wide-ranging stakeholders. The High-level Panel held its first meeting in Paris on 18 February 2010 to launch the International Year of Culture and Harmony in 2010 (see A/65/299, annex). The High-level Panel met again in New York on 11 March 2011 to discuss the theme “Peace-building: promoting reconciliation through the power of education, science, culture and communication”. The report of the meeting is available on the UNESCO website (http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/).\",\n \"UNESCO also contributed to strengthening peace, mutual understanding and social cohesion, in accordance with the Global Agenda for Dialogue among Civilizations, adopted by the General Assembly in 2001 (General Assembly resolution 56/6) and the instruction made by UNESCO's own governing bodies.\",\n \"In the framework of the memorandum of understanding signed with the Alliance of Civilizations (Rio, May 2010), UNESCO implemented the intercultural briefing programme funded by Spain. The programme focuses on five projects aimed at strengthening links between Arab-Muslim and European societies to promote mutual understanding. These projects are:\",\n \"(a) A scientific, philosophical, literary and artistic catalogue of Muslim/Arab civilization and its contribution to European philosophical and cultural recovery. It is a tool designed for teachers, students and the general public to provide a cross-cultural historical vision for the Muslim/Arab world and Western;\",\n \"(b) Muslim/Arab civilization from a philosophical perspective: stories on routes, encounters, bridges and dialogue. This will require the development of educational tools for secondary school teachers to clarify examples of dialogue and communication within Muslim/Arab civilization and through Muslim/Arab civilization;\",\n \"(c) Interrelationship and dialogue: museums serve as a civil space for the development of cross-cultural skills. The core of the project is the development of a museum in order to disseminate information on historical intercultural exchanges;\",\n \"(d) Young artists promote intercultural dialogue between the Arab world and the Western world. The project aims to recognize the creative achievements of young artists in favour of Arab/West dialogue;\",\n \"(e) Network of Peace Forces: coverage of peace. The network is an interactive platform seeking to promote peace through the media and information and communications technology.\",\n \"In addition, the United Nations Educational, Scientific and Cultural Organization/Sisters School Programme, in close cooperation with the Alliance of Civilizations, has established a network of media and information education in the six universities in Brazil, China, Egypt, the United States of America, Spain and the Caribbean region, in conjunction with intercultural dialogue. Activities will include the promotion of international and intercultural research, conferences, publications, training activities and content related to media and information education, and should be used for cross-cultural, inter-religious dialogue and global cooperation.\",\n \"In order to promote civil society dialogue in the Horn of Africa, UNESCO, in cooperation with the Independent Research Policy Forum of the Great Horn of Africa Horizon Forum, organized a conference of youth ministers with the participation of researchers and diaspora researchers in the region (Djibouti, December 2008). The meeting reviewed existing studies and identified policy recommendations for each Member State.\",\n \"In addition, UNESCO supported the Inter-American Conference on Regional Philosophical Dialogue on Africa and its diaspora populations in April 2011. The conference organized in the framework of the International Year of Afro-descendants (2011) brought together philosophicalists in Africa, diaspora groups and the Americas to discuss contemporary challenges. The dialogue facilitated the establishment of a network of African, Latin American, Caribbean and North American philosophicalists with a view to strengthening academic cooperation and capacity-building through, inter alia, student exchange programmes.\",\n \"In Central Asia, intercultural dialogue has been promoted through the establishment of a portal as a tool for artistic and cultural cooperation and dialogue with Europe and through various activities developed by the International Institute of Central Asia and the International Institute of Toriad Civilization.\",\n \"In South-East Europe, the inter-cultural dialogue between the Head of State was supported through the organization of a series of regional meetings, where the former Yugoslav Republic of Macedonia Ohrid (2003), Tirana (2004), Bulgaria Warna (2005), Croatia Opata (2006), Bucharest (2007), Athens (2008), Montenegro (June 2008) and Istanbul Turkey (2010), the objective of which was to establish a shared vision for future international cooperation. The 2011 summit will be held in Serbia.\",\n \"In the area of Israel and the Palestinian territories, a joint academic committee on the balance of women and men (Israel-Palestinian) has been established, consisting of members from Israeli and Palestinian universities, scientific institutions and think tanks. The Commission will work together to promote and pursue dialogue and academic cooperation between Israelis and Palestinians.\",\n \"In the Middle East, peacebuilding and intercultural understanding have also been promoted through the third university cooperation programme, launched in cooperation with the University of Rome, the Social Science and Humanitarian Affairs Drivers, 2010-2011. The programme will promote academic exchange and cooperation among teachers and students at Israeli and Palestinian universities.\",\n \"UNESCO promotes peaceful and non-violent sciences as a medium of intercultural dialogue and cooperation to help prevent potential conflicts of natural resources such as freshwater and arable land and address complex global environmental and development challenges. To that end, it provided technical support to Israel, the Palestinian scientific organization, which provided opportunities for Palestinian and Israeli scientists to cooperate on joint scientific projects. UNESCO also provided support to the Maltese Conference Series, which brought together scientists from the Middle East and neighbouring regions to discuss issues related to chemical research and education in the region and to seek a mutually satisfactory solution. The fifth meeting in this series was held at UNESCO headquarters (December 2011), on the theme “Spacific science front: research and education in the Middle East: bridging peace and international development”.\",\n \"Through its biosphere programme, UNESCO supports national efforts to establish cross-border biosphere protected areas to promote reconciliation, intercultural dialogue, peace and cooperation on issues related to adaptation to climate change, biodiversity loss, sustainable development and ecotourism. Ten existing protected areas are distributed among 15 countries in Latin America, Europe and Africa. At the most recent meeting of the International Coordinating Council in June 2011, the Programme approved the Biosphere protected area of Trihane, El Salvador/Guatemala/ Honduras (Trifinio Fraternidad), the first three biosphere protected areas in Central America.\",\n \"Through its programme “from potential conflicts to the potential of cooperation”, UNESCO facilitated multi-level and interdisciplinary dialogues to promote peace, cooperation and development related to shared transboundary water resource management. The programme seeks to strengthen the capacity of stakeholders to predict, prevent and resolve water conflicts in the context of shared transboundary water resources management, thereby enhancing water security.\",\n \"The importance of promoting science for peace was also raised by supporting the celebration on 10 November of the World Science Day for Peace and Development.\",\n \"Actions to support the free flow of communication and information\",\n \"UNESCO continued to undertake key capacity-building actions, with emphasis on the useful role of the media in promoting dialogue, democracy and development processes and in protecting human rights. The capacity of media professionals in the area of information security, conflict-sensitive coverage and electoral coverage has been strengthened.\",\n \"The right to freedom of expression and access to information was raised through several activities in 2010. The theme “Final freedom of the press: the right to information” was focused on the World Press Freedom Day in 2010. At the International Conference on World Press Freedom Day held in Australia, participants adopted the Brasband Declaration, calling on Governments to adopt the Freedom of Information Act and highlighting the importance of independent and pluralistic media, noting that this is a fundamental element of good governance and human rights-based development. The World Press Freedom Day was celebrated at least 100 countries. The UNESCO/Guelmo Carno Prize was awarded to Mónica González Mujica to recognize the news coverage of her in-depth investigation during the Chilean dictatorship.\",\n \"Support was provided to intergovernmental and non-governmental organizations working in the area of freedom of expression, in particular with regard to ending impunity and violence against journalists. UNESCO continues to support the International Freedom of Expression Exchange Network, in particular by supporting groups in developing countries and countries in transition to promote better protection of the rights of journalists and journalists. In 2010, the safety of media professionals was of particular concern and the Director-General of UNESCO condemned the killing of 62 journalists. The International Council for Communication Development adopted a decision on the safety and impunity of journalists and called upon States to report to UNESCO on their investigations into cases of killings of journalists.\",\n \"The development of international communications development programmes provides support for the launch of 83 projects in 61 developing countries to assist Member States in the development of free, independent and pluralistic media. The “Voice of Farmers” community radio station in Mexico and the Egyptian journalist Amr Mamdouh Ellissy received the United Nations Educational, Scientific and Cultural Organization-International Communication Development Programme Rural Communication Award in 2010.\",\n \"UNESCO continued to promote community radio and community multimedia centres and community radio projects were launched in 19 countries. A total of 50 community radio best practices have been identified for management, sustainability, programming and community participation, and support has been provided to the World Association for Community Broadcasts to develop common operational codes for community radio practitioners. The Indian Community Radio Policy Review, supported by UNESCO, resulted in a proposal to create a national public fund to support community media development.\",\n \"The capacity of media training and press education institutions has also been strengthened in accordance with the UNESCO good standards of public information training, and 63 public information training institutions in 51 countries have adopted the UNESCO model curriculum on information education.\",\n \"UNESCO has also contributed to the development of a national information policy framework, particularly in the framework of the National Information Programme, which has contributed to the universal access to information.\",\n \"FAO has supported the use of the media such as rural radio, participatory video, print and audio-visual tools to increase the participation and ownership of development initiatives by the rural population. FAO works through its programme “Charting the rural digital divide to reduce poverty and food insecurity”, to strengthen the human and institutional capacity to use and exchange information in rural areas, while also using various media to reduce poverty and ensure food security.\",\n \"In 2008, ITU launched the Child Online Protection Initiative to raise awareness of the importance of child online protection, to educate and develop guidelines for the public, including children themselves. The initiative also develops technical standards that can be operational in order to protect online children and help countries build national hotlines and develop national strategies and implement legislative processes. ITU held a panel discussion on “Technical Voices: Focus on Youth and Access” during the World Summit on Youth in 2011 and organized a large event on the theme “Information technology as a catalyst for peace, human rights and development” during the United Nations High-level Meeting on Youth to promote the role of information and communications technology in promoting peace.\",\n \"H. Actions to promote international peace and security\",\n \"UNESCO has supported countries in post-conflict and post-disaster situations through a dedicated cross-sectoral platform to help them: re-establish their education systems to achieve the goal of education for all; provide policy advice and expertise to detract from potential conflicts of natural resources; revitalize domestic research facilities; integrate disaster prevention and mitigation efforts, in particular early warning systems into post-conflict and post-disaster responses; and protect and rehabilitate damaged cultural and natural heritage.\",\n \"During the reporting period, support was provided to countries affected by natural disasters, such as the earthquake in Haiti, the floods in Benin and Pakistan, the tsunami and volcanic eruption in Indonesia and the earthquake and tsunami in Japan. It also supported a number of countries in post-conflict environments, such as Afghanistan, the Democratic Republic of the Congo, Iraq, the Occupied Palestinian Territory and several West African countries.\",\n \"UNESCO participated in 16 of the 26 appeals launched by the United Nations Office for the Coordination of Humanitarian Affairs, in particular in response to the earthquake in Haiti and the floods in Pakistan. It also started implementing eight of the 10 joint programmes of the United Nations country team and is expected to allocate $8.3 million under the thematic window of the Millennium Development Goals Fund of Spain (Brazil, Chile, Costa Rica, Democratic Republic of the Congo, Guatemala, Haiti, the former Yugoslav Republic of Macedonia, Mexico, Lebanon and Panama).\",\n \"At the request of African countries following the crisis, support was provided to joint activities with United Nations partners, in particular UNHCR and regional organizations in Africa, in particular through the UNESCO Emergency and Reconstruction Education Programme. UNESCO launched a post-conflict comprehensive support programme for Côte d'Ivoire in its area of competence in 2008 and established a space line for countries with special needs (Djibouti, Liberia, Sierra Leone and the Sudan). At the regional and subregional levels, as part of the United Nations regional coordination mechanism, UNESCO has also supported the African Union and a number of regional organizations initiatives in the context of the African Union's post-conflict reconstruction and development action framework.\",\n \"UNESCO also launched the Global Monitoring Report on Education for All, 2011 on “Chiding Crisis: Armed Conflict in Education”, which examines the devastating consequences of the conflict for achieving the goals of education for all. It has developed an agenda to protect the right to education in conflict, to strengthen assistance to children, young people and adults affected by conflict, and to re-establish the education system in countries emerging from conflict. Based on the experience of a number of countries, it identified a number of issues and proposed solutions to enable education to become a force for peace, social cohesion and human dignity.\",\n \"In order to promote international peace and security through further efforts to engage multiple stakeholders in different cultural dialogues, UNESCO has held consultations with a wide range of partners and organizations to identify possible joint actions and partnerships.\",\n \"UNESCO also participated in the Counter-Terrorism Task Force among United Nations agencies and recently submitted funding proposals to develop and implement a number of programmes to support conflict prevention, promote peace education and assist in the attractiveness of violent extremism in Nigeria.\",\n \"UNHCR promotes education for reconstruction, peacebuilding and nation-building through the German Refugee Scholarship Initiative (Abert Evantanstan). In 2010, 1,900 students from 37 countries advanced their university education through the programme. Through the strengthening of self-reliance and the development of human capital, the refugee scholarship initiative has set the refugee example, facilitated durable solutions and provided students with important skills for reconstruction, peacebuilding and nation-building.\",\n \"FAO coordinated a number of action plans in post-conflict countries to support agricultural development and food security in post-conflict situations and participated in the preparation of various components of agriculture in post-conflict needs assessments. This assessment is coordinated by the United Nations Development Operations Coordination Office.\",\n \"UNICEF supported the child-friendly space programme, in Afghanistan, Albania, Angola, Colombia, El Salvador, Haiti, Kosovo, Liberia, Timor-Leste and Turkey, in which they were taught in a protective space. UNICEF also supports the development of a sector-wide approach in Nepal to help create a more equitable system and promote cohesion. Education programmes in emergencies and post-crisis transitions have supported UNICEF education programming in 39 countries and territories since their operation in 2006. Conflict is a feature of many countries funded by the programme. UNICEF, in cooperation with the Office of the Special Representative of the Secretary-General for Children and Armed Conflict, recorded grave violations of children in 22 countries through the monitoring and reporting mechanism established pursuant to Security Council resolution 1612 (2005) on grave violations of children in armed conflict. This information is contained in the Secretary-General's annual report on the list of grave violations committed against perpetrators.\",\n \"UN-Habitat supports a total of 48 countries in implementing policies to enhance access to land and access to housing, including in post-crisis reconstruction. Fifteen of these countries have received post-crisis reconstruction support, six of which are in Africa and in the Arab States region, eight in Asia and the Pacific region, one in Eastern Europe and Central Europe.\",\n \"The International Labour Organization provided technical assistance to countries in post-conflict situations to demonstrate the effectiveness of employment-focused responses to peacebuilding challenges. It also provides capacity-building for decent work and social justice for the Government, employers' organizations and workers' organizations (i.e., the ILO-sponsored Tripartite) through training, counselling (including labour information and statistics, labour legislation and reconstruction) and dissemination of relevant publications. This also includes advocating for employment at the core of peacebuilding efforts to donors and partner institutions and in the media.\",\n \"The World Bank recently issued the World Development Report 2011: Conflict, security and development, which highlights the importance of institutional legitimacy in supporting national-social contracts and the need to invest in civil security, justice and employment in order to reduce violence. It is committed to the implementation of key messages presented in the World Development Report 2011, including strengthening partnerships with key actors working in vulnerable situations, in particular with United Nations funds, programmes and agencies.\",\n \"Future actions to promote a culture of peace and non-violence\",\n \"UNESCO builds on lessons learned from the International Decade for a Culture of Peace and Non-Violence for Children in the World (2001-2010) and the International Year of Culture and Good Governance in 2010, and is developing an integrated, cross-sectoral and interdisciplinary programme of action for peace and non-violence, in consultation with Member States. The objective of the programme of action is to further strengthen the global movement for a culture of peace and non-violence at the national, regional and international levels.\",\n \"In accordance with the decision of the UNESCO Executive Board in May 2011 to prepare its draft programme and budget for the period 2012-2013, the budget will provide for a number of realistic actions in the following areas:\",\n \"(a) Strengthen education for a culture of peace and non-violence in order to achieve intercultural solidarity and intergenerational dialogue and mutual understanding for reconciliation and peacebuilding;\",\n \"(b) Promotion of natural science as a medium of common language and intercultural dialogue and communication and for peace;\",\n \"(c) Emphasize the role of social and human science in promoting universal values, democracy and human rights;\",\n \"(d) To highlight the important role of cultural diversity, intercultural dialogue and various forms of heritage in promoting mutual understanding and reconciliation;\",\n \"(e) Explore the opportunities offered by the media as intermediaries for reconciliation, tolerance and intercultural understanding by highlighting the use of young people for new media.\",\n \"UNESCO will be committed to mobilizing all relevant stakeholders at the global, regional, subregional and national levels. It will also draw on its multidisciplinary expertise in education, science, culture, communication and information and develop innovative programmes to achieve greater results in promoting a culture of peace and non-violence.\",\n \"The Programme of Action will be implemented and managed by a dedicated cross-sectoral platform for peace and non-violence. The platform will also be responsible for the implementation of an initiative by the Kingdom of Saudi Arabia, namely the International Programme for Peace and Dialogue of Abdullah bin Abdulaziz, which has contributed $5 million.\",\n \"Recommendations\",\n \"The General Assembly may wish to consider the following actions:\",\n \"(a) To strengthen policy coherence and to explore the possibility of harmonizing reporting to the General Assembly on issues related to culture of peace, cultural diversity, tolerance, mutual understanding, harmony, non-violence and intercultural dialogue, including inter-religious dialogue;\",\n \"(b) Call upon the United Nations Development Group, including its regional teams and all United Nations country teams, to integrate programmatic modules that focus on promoting a culture of peace and non-violence into common national programming processes and documents, notably in the United Nations Development Assistance Framework, including, where appropriate, the inclusion of programme modules that focus on conflict prevention and resolution and post-conflict reconciliation;\",\n \"(c) To invite the United Nations System Staff College to develop training modules and learning materials in this regard and to provide training workshops for United Nations country teams to build joint strengths, enhance coherence and coordination so that they can better respond to specific national needs;\",\n \"(d) To establish an inter-agency working group on a culture of peace and non-violence to discuss common initiatives and consider the development of a road map that sets goals and measurable expected outcomes, and to monitor the implementation of this work;\",\n \"(e) Welcome the efforts of UNESCO to establish national and regional mechanisms, such as the Intercultural Forum, to highlight the benefits of intercultural dialogue and cultural diversity from a human rights-based perspective in order to combat violence and peacebuilding in everyday life, and invite Member States to sustain such efforts in the context of their commitment to a culture of peace;\",\n \"(f) Encourage Member States to establish linkages among organizations that actively promote intercultural dialogue and work towards sustainable development and peace with a view to creating new impetus for peace.\"\n]"}}},{"rowIdx":92,"cells":{"clean_zh":{"kind":"list like","value":["2011年8月5日印度常驻联合国代表给秘书长的信","谨荣幸地告知你，在印度轮值主席的主持下，安全理事会定于2011年8月26日星期五进行主题为“联合国维持和平行动”的公开辩论。为了有助于引导关于这个主题的辩论，印度编写了随函所附概念说明，题为“联合国维持和平行动：总结过去，准备未来”(见附件)。","请将此函及其附件作为安全理事会文件分发为荷。","常驻代表","哈迪普·辛格·普里(签名)","2011年8月5日印度常驻联合国代表给秘书长的信的附件","安全理事会印度轮值主席","2011年8月","维持和平：总结过去，准备未来","概念说明","维持和平行动这个词组在《联合国宪章》中并不存在，但已成为联合国的一项中心任务。维和行动消耗的资源、雇用的人员以及占用的安全理事会的时间，超过任何一个其他问题。与此同时，维和行动对国际法和国际人道主义法的普及和适用的影响也超过安理会任何其他手段。维和行动比任何其他集体努力都更有力地体现了会员国共同合作维护国际和平与安全这一理念。","过去二十年来，维和预算增加了大约27倍；维和人员数目增加大约10倍，维和行动数目之多前所未有。尽管存在严重缺欠和各种不足，维和行动和维和人员取得的成果是显而易见的。表明维和行动成功的另一个指标是，其他国际及区域安全组织也用维和行动这个词来形容他们在联合国维和任务区外的部署。","维和行动可分为几代。前五十年，联合国维和特派团的任务主要是监督停火或者将军事维和人员部署在交战双方之间。后来，维和特派团的规模、任务范围和性质发生了很大变化。经常为了应对国内冲突(而不是国家之间冲突)而部署维和特派团。任务范围扩大了，将强制执行某些规范或者承担通常由国家当局履行的若干职能(例如选举、司法和执法)也包括在内。安理会还开始拟订一些同时援引宪章第六章和第七章的任务。这意味着可使用武力或需要使用武力的情况大大增加。在这个过程中，过去二十年来发起的复杂的或多层面的维和行动开始形成了一个新增层面，这就是“建设和平”。还出现了更新的一代特派团，专门执行“建设和平”任务。现在人们认识到，维和人员实际上一直是“早期建设和平人员”。","维持和平行动从而迈入一个更新的领域。维和行动的性质和范围方面的变化涉及重要的国际法问题，特别是国家主权、国际人道主义法和国际人权法问题。至于可在多大程度上利用维和特派团促进具有新意地适用国际法和规范，尚需会员国之间就此达成进一步共识。为了保持联合国维和行动的公信力和普遍可接受性，需澄清各种具有新意的适用与维和行动指导原则之间的关系，包括征得各方同意；除自卫或任务规定所需情况下，不得使用武力；保持中立。维和特派团还经常被要求在法律规定不明确的情况下，作出艰难的道德抉择。为了开展有效的维和行动，必须使维和人员能够在具有法律确定性的环境中执行任务。","对征得同意的问题，必须格外注意，因为这个问题涉及作为《联合国宪章》基础的国家主权概念。","维和特派团现在面临的最大挑战是资源缺口。目前维和行动每年支出不足80亿美元。通过比较关切地注意到联合国维和特派团人员的数目与部署在阿富汗的国际安全援助部队士兵人数大致相同，而据报告联合国维和行动过去二十年的支出总额(不足500亿美元)赶不上国际安全援助部队一年的支出。","维和行动的资源与任务极不匹配。1961年，联合国在刚果部署了由20 000名维和人员组成的联合国刚果行动(联刚行动)，联合国网站上关于其任务的描述不足300字。大约四十年后，联合国再次在刚果部署大约20 000名维和人员，组成联合国组织刚果民主共和国特派团(联刚特派团)，联合国网站上关于其任务的描述用了近3 000字。","资源短缺表现在各个方面。例如，联合国组织刚果民主共和国稳定特派团(联刚稳定团)的任务区几乎遍及整个非洲大陆，却只能按照每数百平方公里一名维和人员的比例在责任区进行部署。缺乏足够的有助于维和人员充分利用资源的有利条件。","这种情况差强人意，需就资源问题进行认真的讨论。如果安理会不能解决这个问题，将导致联合国维和特派团无法圆满完成任务，而这可能会削弱安理会的合法性。","维持和平是一种合作，是代表国际社会意愿的安全理事会以及核准预算的大会与同意实施维和行动的东道国之间的合作。部队及警察派遣国是这种合作关系的必然组成部分，为合作提供便利。派遣国的维和人员在实地代表着安理会，将安理会的承诺变为实际行动。部队及警察派遣国实际上在这一进程中起到重要的中间人的作用。","要求安全理事会与派遣国协商，不仅因为《宪章》第四十四条的有关明确规定，而且因为协商有利于提高运作的效率和有效性。安全理事会在决策时必须考虑到部队及警察派遣国关于现场实际情况的第一手材料以及他们在维和需要方面的丰富经验。另外，安理会职能范围大为扩展，显然需要更方便地获得有关信息。部队及警察派遣国具备提供可信的相关信息的得天独厚的条件，因为许多派遣国在实地不仅派有部队，还有外交官，并开展技术及经济合作活动，有时还派民间社会组织或商务机构到实地。","在改进协商进程方面有所进展，但是还需要继续改进，以充分开发上述合作关系的潜力。应为协商会议确立结构合理且可预测的时间表和议程。这将有助于部队及警察派遣国优化实质性贡献。","任务与资源不相匹配的原因之一是，在拟订任务进程中未与部队及警察派遣国进行充分协商。卜拉希米报告曾建议拟订任务进程分两个阶段进行，安全理事会可允许一项决议维持草案形式，直至秘书处确认派遣国能否提供所需部队以及重要的辅助要素。这项建议尚未实施，现在或许是将其付诸实施的良机。","随着全球权力、资源和能力日趋分散，更有必要进行协商，协商带来的好处也将会越来越多。","伙伴关系还意味着各种创新做法，例如联合国维和人员和区域组织及安全组织联合部署。大约四分之三的联合国维和人员和预算部署在非洲大陆。加强非洲联盟的维和能力是改善非洲动乱地区安全状况的一个重要条件。","伙伴关系并不意味着放弃权利。卷入冲突的行为体数目不断增加，国际社会必须促成这些行为体之间的协同增效作用，同时防止重复和浪费。维持和平是联合国的核心能力。危机还会发生，鉴于联合国维和行动特有的合法性和公信力，对维持和平行动部和部队派遣国的能力的需求可能会持续不断。因此，必须保护这方面的专门知识。","需要相关警务和法治能力，以巩固联合国的维和能力。会员国需要通过讨论确定所需能力的类型、不同能力的混合以及能力的来源。必须根据国家当局的需要和东道国具体情况进行这项工作。必须促进在维持和平问题上采取能力驱动的办法，这种方法应基于需求，并符合国家优先事项。"],"string":"[\n \"2011年8月5日印度常驻联合国代表给秘书长的信\",\n \"谨荣幸地告知你，在印度轮值主席的主持下，安全理事会定于2011年8月26日星期五进行主题为“联合国维持和平行动”的公开辩论。为了有助于引导关于这个主题的辩论，印度编写了随函所附概念说明，题为“联合国维持和平行动：总结过去，准备未来”(见附件)。\",\n \"请将此函及其附件作为安全理事会文件分发为荷。\",\n \"常驻代表\",\n \"哈迪普·辛格·普里(签名)\",\n \"2011年8月5日印度常驻联合国代表给秘书长的信的附件\",\n \"安全理事会印度轮值主席\",\n \"2011年8月\",\n \"维持和平：总结过去，准备未来\",\n \"概念说明\",\n \"维持和平行动这个词组在《联合国宪章》中并不存在，但已成为联合国的一项中心任务。维和行动消耗的资源、雇用的人员以及占用的安全理事会的时间，超过任何一个其他问题。与此同时，维和行动对国际法和国际人道主义法的普及和适用的影响也超过安理会任何其他手段。维和行动比任何其他集体努力都更有力地体现了会员国共同合作维护国际和平与安全这一理念。\",\n \"过去二十年来，维和预算增加了大约27倍；维和人员数目增加大约10倍，维和行动数目之多前所未有。尽管存在严重缺欠和各种不足，维和行动和维和人员取得的成果是显而易见的。表明维和行动成功的另一个指标是，其他国际及区域安全组织也用维和行动这个词来形容他们在联合国维和任务区外的部署。\",\n \"维和行动可分为几代。前五十年，联合国维和特派团的任务主要是监督停火或者将军事维和人员部署在交战双方之间。后来，维和特派团的规模、任务范围和性质发生了很大变化。经常为了应对国内冲突(而不是国家之间冲突)而部署维和特派团。任务范围扩大了，将强制执行某些规范或者承担通常由国家当局履行的若干职能(例如选举、司法和执法)也包括在内。安理会还开始拟订一些同时援引宪章第六章和第七章的任务。这意味着可使用武力或需要使用武力的情况大大增加。在这个过程中，过去二十年来发起的复杂的或多层面的维和行动开始形成了一个新增层面，这就是“建设和平”。还出现了更新的一代特派团，专门执行“建设和平”任务。现在人们认识到，维和人员实际上一直是“早期建设和平人员”。\",\n \"维持和平行动从而迈入一个更新的领域。维和行动的性质和范围方面的变化涉及重要的国际法问题，特别是国家主权、国际人道主义法和国际人权法问题。至于可在多大程度上利用维和特派团促进具有新意地适用国际法和规范，尚需会员国之间就此达成进一步共识。为了保持联合国维和行动的公信力和普遍可接受性，需澄清各种具有新意的适用与维和行动指导原则之间的关系，包括征得各方同意；除自卫或任务规定所需情况下，不得使用武力；保持中立。维和特派团还经常被要求在法律规定不明确的情况下，作出艰难的道德抉择。为了开展有效的维和行动，必须使维和人员能够在具有法律确定性的环境中执行任务。\",\n \"对征得同意的问题，必须格外注意，因为这个问题涉及作为《联合国宪章》基础的国家主权概念。\",\n \"维和特派团现在面临的最大挑战是资源缺口。目前维和行动每年支出不足80亿美元。通过比较关切地注意到联合国维和特派团人员的数目与部署在阿富汗的国际安全援助部队士兵人数大致相同，而据报告联合国维和行动过去二十年的支出总额(不足500亿美元)赶不上国际安全援助部队一年的支出。\",\n \"维和行动的资源与任务极不匹配。1961年，联合国在刚果部署了由20 000名维和人员组成的联合国刚果行动(联刚行动)，联合国网站上关于其任务的描述不足300字。大约四十年后，联合国再次在刚果部署大约20 000名维和人员，组成联合国组织刚果民主共和国特派团(联刚特派团)，联合国网站上关于其任务的描述用了近3 000字。\",\n \"资源短缺表现在各个方面。例如，联合国组织刚果民主共和国稳定特派团(联刚稳定团)的任务区几乎遍及整个非洲大陆，却只能按照每数百平方公里一名维和人员的比例在责任区进行部署。缺乏足够的有助于维和人员充分利用资源的有利条件。\",\n \"这种情况差强人意，需就资源问题进行认真的讨论。如果安理会不能解决这个问题，将导致联合国维和特派团无法圆满完成任务，而这可能会削弱安理会的合法性。\",\n \"维持和平是一种合作，是代表国际社会意愿的安全理事会以及核准预算的大会与同意实施维和行动的东道国之间的合作。部队及警察派遣国是这种合作关系的必然组成部分，为合作提供便利。派遣国的维和人员在实地代表着安理会，将安理会的承诺变为实际行动。部队及警察派遣国实际上在这一进程中起到重要的中间人的作用。\",\n \"要求安全理事会与派遣国协商，不仅因为《宪章》第四十四条的有关明确规定，而且因为协商有利于提高运作的效率和有效性。安全理事会在决策时必须考虑到部队及警察派遣国关于现场实际情况的第一手材料以及他们在维和需要方面的丰富经验。另外，安理会职能范围大为扩展，显然需要更方便地获得有关信息。部队及警察派遣国具备提供可信的相关信息的得天独厚的条件，因为许多派遣国在实地不仅派有部队，还有外交官，并开展技术及经济合作活动，有时还派民间社会组织或商务机构到实地。\",\n \"在改进协商进程方面有所进展，但是还需要继续改进，以充分开发上述合作关系的潜力。应为协商会议确立结构合理且可预测的时间表和议程。这将有助于部队及警察派遣国优化实质性贡献。\",\n \"任务与资源不相匹配的原因之一是，在拟订任务进程中未与部队及警察派遣国进行充分协商。卜拉希米报告曾建议拟订任务进程分两个阶段进行，安全理事会可允许一项决议维持草案形式，直至秘书处确认派遣国能否提供所需部队以及重要的辅助要素。这项建议尚未实施，现在或许是将其付诸实施的良机。\",\n \"随着全球权力、资源和能力日趋分散，更有必要进行协商，协商带来的好处也将会越来越多。\",\n \"伙伴关系还意味着各种创新做法，例如联合国维和人员和区域组织及安全组织联合部署。大约四分之三的联合国维和人员和预算部署在非洲大陆。加强非洲联盟的维和能力是改善非洲动乱地区安全状况的一个重要条件。\",\n \"伙伴关系并不意味着放弃权利。卷入冲突的行为体数目不断增加，国际社会必须促成这些行为体之间的协同增效作用，同时防止重复和浪费。维持和平是联合国的核心能力。危机还会发生，鉴于联合国维和行动特有的合法性和公信力，对维持和平行动部和部队派遣国的能力的需求可能会持续不断。因此，必须保护这方面的专门知识。\",\n \"需要相关警务和法治能力，以巩固联合国的维和能力。会员国需要通过讨论确定所需能力的类型、不同能力的混合以及能力的来源。必须根据国家当局的需要和东道国具体情况进行这项工作。必须促进在维持和平问题上采取能力驱动的办法，这种方法应基于需求，并符合国家优先事项。\"\n]"},"clean_en":{"kind":"list like","value":["Letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General","I have the honour to inform you that, under the presidency of India, the Security Council is scheduled to hold an open debate on the subject of United Nations peacekeeping operations on Friday, 26 August 2011. In order to help steer the discussions on the subject, India has prepared the attached concept note, entitled “Peacekeeping: taking stock and preparing for the future” (see annex).","I would be grateful if the present letter and its annex could be circulated as a document of the Security Council.","(Signed) H. S. Puri Permanent Representative","Annex to the letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General","Indian presidency of the Security Council August 2011","Peacekeeping: taking stock and preparing for the future A concept note","Peacekeeping, a term that does not exist in the Charter of the United Nations, has become a central enterprise of the United Nations. It consumes more resources, employs more people and occupies a greater share of the Security Council’s time than any single other issue. No other Council instrument has had a greater impact on the provenance and application of international law and international humanitarian law as its peacekeeping mandates. Peacekeeping represents, better than any other collective endeavour, the concept of Member States cooperating in the maintenance of international peace and security.","In the last two decades, peacekeeping budgets have increased approximately 27 times; the number of peacekeepers has grown about tenfold and the number of peacekeeping operations is at an all-time high. Despite serious shortcomings and abundant imperfections, it is evident that peacekeeping and peacekeepers have delivered results. The adoption of the mantle of peacekeeping by other international and regional security organizations, to describe out-of-area deployments, is another indicator of its success.","There have been several generations of peacekeeping operations. In the first five decades of their existence, United Nations peacekeeping missions were largely truce supervision operations or involved the interposition of military peacekeepers between combatants. Thereafter, peacekeeping missions changed dramatically in size, scope and nature. They were often deployed in the context of conflict within States (as opposed to conflict between States). Mandates expanded to include enforcement of certain norms and the assumption of certain functions usually undertaken by State authorities (e.g. elections, administration of justice, law enforcement). The Council also began to generate mandates that invoked Chapter VI and Chapter VII of the Charter jointly. This meant that the number of situations where force could be used, or was required to be used, by peacekeepers grew significantly. In the process, these complex or multidimensional peacekeeping operations, launched over the last two decades, proceeded to acquire an added dimension of peacebuilding. A still newer generation of missions that have exclusive peacebuilding mandates has also appeared. It is now recognized that peacekeepers have been and are “early peacebuilders”.","Peacekeeping operations have thus moved into newer territory. The change in the nature and scope of their mandates has involved important questions of international law in general, and issues of State sovereignty, international humanitarian law and international human rights law in particular. The extent to which peacekeeping missions can be used as instruments of innovation in the application of international law and norms is an area where a greater degree of common understanding is required among Member States. The relationship of these innovations to the guiding principles of peacekeeping, including consent of the parties, non-use of force except in self-defence or defence of the mandate and impartiality, will require clarification for United Nations peacekeeping to retain its credibility and universal acceptability. Peacekeepers are often asked to make life-and-death decisions in situations of legal ambiguity. They are also frequently asked to make tough moral choices. Effective peacekeeping requires that the men and women operate in an environment of legal certitude.","The issue of consent, which has implications for the concept of State sovereignty that is the basis of the Charter, needs particular attention.","The central challenge that peacekeeping missions now face is the resource gap. The current annual outlay for peacekeeping is under $8 billion. For purposes of comparison, it is interesting to note that while the number of United Nations peacekeepers is roughly the same as the number of soldiers in the International Security Assistance Force (ISAF) deployed in Afghanistan, the total expenditure for United Nations peacekeeping in the last two decades (under $50 billion) is reportedly less than the annual expenditure on ISAF.","There is a severe mismatch between the resources and the mandates of peacekeeping operations. The United Nations deployed just under 20,000 peacekeepers in the Congo in 1961 under the United Nations Operation in the Congo (ONUC). Its mandate on the United Nations website is detailed in less than 300 words. About four decades later, the United Nations again deployed about 20,000 peacekeepers in the same country under the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC). The United Nations website takes about 3,000 words to describe their mandate.","The paucity of resources is made evident in a number of ways. The United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO), for example, operates in an area that is almost continental in scale, but has to make do with a ratio of one peacekeeper for several hundred square kilometres in its area of responsibility. Enablers that would allow them to leverage their resources are not present in adequate quantity.","This is an unsatisfactory situation and a serious discussion is required on the issue of resources. The inability of the Council to address this will lead to a performance deficit on the part of United Nations peacekeeping missions, which in turn could erode the legitimacy of this Council.","Peacekeeping is partnership. It is a partnership between the Security Council, which represents the will of the international community, the General Assembly, which approves the budgets and the host country, which consents to a peacekeeping operation. Troop- and police-contributing countries are an integral part of this partnership and facilitate this cooperation. Their peacekeepers represent the Council on the ground and convert its word into deed. Troop- and police-contributing countries, in effect, are the vital intermediaries in this process.","The requirement that the Security Council consult them is based not only in the explicit provisions of Article 44 of the Charter but is also in the interest of efficient and effective functioning. The direct knowledge that troop- and police-contributing countries obtain of ground realities and their considerable experience in peacekeeping needs to be factored into the decision-making process of the Security Council. It is also evident that the Council requires greater access to information in its vastly increased scope of functioning. Troop- and police-contributing countries, many of whom have not just troops but diplomatic presence, technical and economic cooperation activities and sometimes a civil society or commercial presence in the field, are uniquely suited to provide credible and relevant information.","There has been progress in improving the consultations process but there is scope for forward movement in order to fully exploit the potential of this relationship. Consultative meetings should be structured and predictable, in terms of timing and agenda. This will enable troop- and police-contributing countries to optimize their substantive contributions.","One of the reasons for which mandates are not aligned with resources is owing to insufficient consultations with troop- and police-contributing countries during the mandate generation process. The Brahimi report had recommended a two-stage mandate generation process wherein the Security Council can leave a resolution in draft form until such time as the Secretariat is able to confirm or deny that the required troops and critical support elements are available from contributing Member States. This has not so far been implemented, and it might be an opportune time to do so.","As global power, resources and capabilities are becoming more dispersed, the need to consult, and benefits arising therefrom, will increase.","Partnership has also meant innovations, such as the joint deployment of United Nations peacekeepers with regional and security organizations. About three-quarters of United Nations peacekeeping personnel and budgets are deployed in the African continent. The strengthening of African Union capacities in peacekeeping is a key requirement in improving security conditions in troubled parts of Africa.","Partnership does not mean ceding ground. The number of actors in conflict situations is increasing and the international community needs to develop synergies between these actors while guarding against duplication and waste. Peacekeeping is a core competence of the United Nations. Crises will occur again and the unique legitimacy and credibility of United Nations peacekeeping means that there is likely to be a continued demand for the capacities of the Department of Peacekeeping Operations and troop- and police-contributing countries. This expertise needs to be protected.","Policing and rule of law capabilities are required to consolidate the peacekeeping capabilities of the United Nations. Member States need to deliberate on the types of capacities that are required, the mix of capacities and their sourcing. This exercise needs to be undertaken in accordance with the needs of national authorities and relevance to conditions of the host countries. A capability-driven approach to peacekeeping that is demand-driven and responsive to national priorities needs to be fostered."],"string":"[\n \"Letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General\",\n \"I have the honour to inform you that, under the presidency of India, the Security Council is scheduled to hold an open debate on the subject of United Nations peacekeeping operations on Friday, 26 August 2011. In order to help steer the discussions on the subject, India has prepared the attached concept note, entitled “Peacekeeping: taking stock and preparing for the future” (see annex).\",\n \"I would be grateful if the present letter and its annex could be circulated as a document of the Security Council.\",\n \"(Signed) H. S. Puri Permanent Representative\",\n \"Annex to the letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General\",\n \"Indian presidency of the Security Council August 2011\",\n \"Peacekeeping: taking stock and preparing for the future A concept note\",\n \"Peacekeeping, a term that does not exist in the Charter of the United Nations, has become a central enterprise of the United Nations. It consumes more resources, employs more people and occupies a greater share of the Security Council’s time than any single other issue. No other Council instrument has had a greater impact on the provenance and application of international law and international humanitarian law as its peacekeeping mandates. Peacekeeping represents, better than any other collective endeavour, the concept of Member States cooperating in the maintenance of international peace and security.\",\n \"In the last two decades, peacekeeping budgets have increased approximately 27 times; the number of peacekeepers has grown about tenfold and the number of peacekeeping operations is at an all-time high. Despite serious shortcomings and abundant imperfections, it is evident that peacekeeping and peacekeepers have delivered results. The adoption of the mantle of peacekeeping by other international and regional security organizations, to describe out-of-area deployments, is another indicator of its success.\",\n \"There have been several generations of peacekeeping operations. In the first five decades of their existence, United Nations peacekeeping missions were largely truce supervision operations or involved the interposition of military peacekeepers between combatants. Thereafter, peacekeeping missions changed dramatically in size, scope and nature. They were often deployed in the context of conflict within States (as opposed to conflict between States). Mandates expanded to include enforcement of certain norms and the assumption of certain functions usually undertaken by State authorities (e.g. elections, administration of justice, law enforcement). The Council also began to generate mandates that invoked Chapter VI and Chapter VII of the Charter jointly. This meant that the number of situations where force could be used, or was required to be used, by peacekeepers grew significantly. In the process, these complex or multidimensional peacekeeping operations, launched over the last two decades, proceeded to acquire an added dimension of peacebuilding. A still newer generation of missions that have exclusive peacebuilding mandates has also appeared. It is now recognized that peacekeepers have been and are “early peacebuilders”.\",\n \"Peacekeeping operations have thus moved into newer territory. The change in the nature and scope of their mandates has involved important questions of international law in general, and issues of State sovereignty, international humanitarian law and international human rights law in particular. The extent to which peacekeeping missions can be used as instruments of innovation in the application of international law and norms is an area where a greater degree of common understanding is required among Member States. The relationship of these innovations to the guiding principles of peacekeeping, including consent of the parties, non-use of force except in self-defence or defence of the mandate and impartiality, will require clarification for United Nations peacekeeping to retain its credibility and universal acceptability. Peacekeepers are often asked to make life-and-death decisions in situations of legal ambiguity. They are also frequently asked to make tough moral choices. Effective peacekeeping requires that the men and women operate in an environment of legal certitude.\",\n \"The issue of consent, which has implications for the concept of State sovereignty that is the basis of the Charter, needs particular attention.\",\n \"The central challenge that peacekeeping missions now face is the resource gap. The current annual outlay for peacekeeping is under $8 billion. For purposes of comparison, it is interesting to note that while the number of United Nations peacekeepers is roughly the same as the number of soldiers in the International Security Assistance Force (ISAF) deployed in Afghanistan, the total expenditure for United Nations peacekeeping in the last two decades (under $50 billion) is reportedly less than the annual expenditure on ISAF.\",\n \"There is a severe mismatch between the resources and the mandates of peacekeeping operations. The United Nations deployed just under 20,000 peacekeepers in the Congo in 1961 under the United Nations Operation in the Congo (ONUC). Its mandate on the United Nations website is detailed in less than 300 words. About four decades later, the United Nations again deployed about 20,000 peacekeepers in the same country under the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC). The United Nations website takes about 3,000 words to describe their mandate.\",\n \"The paucity of resources is made evident in a number of ways. The United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO), for example, operates in an area that is almost continental in scale, but has to make do with a ratio of one peacekeeper for several hundred square kilometres in its area of responsibility. Enablers that would allow them to leverage their resources are not present in adequate quantity.\",\n \"This is an unsatisfactory situation and a serious discussion is required on the issue of resources. The inability of the Council to address this will lead to a performance deficit on the part of United Nations peacekeeping missions, which in turn could erode the legitimacy of this Council.\",\n \"Peacekeeping is partnership. It is a partnership between the Security Council, which represents the will of the international community, the General Assembly, which approves the budgets and the host country, which consents to a peacekeeping operation. Troop- and police-contributing countries are an integral part of this partnership and facilitate this cooperation. Their peacekeepers represent the Council on the ground and convert its word into deed. Troop- and police-contributing countries, in effect, are the vital intermediaries in this process.\",\n \"The requirement that the Security Council consult them is based not only in the explicit provisions of Article 44 of the Charter but is also in the interest of efficient and effective functioning. The direct knowledge that troop- and police-contributing countries obtain of ground realities and their considerable experience in peacekeeping needs to be factored into the decision-making process of the Security Council. It is also evident that the Council requires greater access to information in its vastly increased scope of functioning. Troop- and police-contributing countries, many of whom have not just troops but diplomatic presence, technical and economic cooperation activities and sometimes a civil society or commercial presence in the field, are uniquely suited to provide credible and relevant information.\",\n \"There has been progress in improving the consultations process but there is scope for forward movement in order to fully exploit the potential of this relationship. Consultative meetings should be structured and predictable, in terms of timing and agenda. This will enable troop- and police-contributing countries to optimize their substantive contributions.\",\n \"One of the reasons for which mandates are not aligned with resources is owing to insufficient consultations with troop- and police-contributing countries during the mandate generation process. The Brahimi report had recommended a two-stage mandate generation process wherein the Security Council can leave a resolution in draft form until such time as the Secretariat is able to confirm or deny that the required troops and critical support elements are available from contributing Member States. This has not so far been implemented, and it might be an opportune time to do so.\",\n \"As global power, resources and capabilities are becoming more dispersed, the need to consult, and benefits arising therefrom, will increase.\",\n \"Partnership has also meant innovations, such as the joint deployment of United Nations peacekeepers with regional and security organizations. About three-quarters of United Nations peacekeeping personnel and budgets are deployed in the African continent. The strengthening of African Union capacities in peacekeeping is a key requirement in improving security conditions in troubled parts of Africa.\",\n \"Partnership does not mean ceding ground. The number of actors in conflict situations is increasing and the international community needs to develop synergies between these actors while guarding against duplication and waste. Peacekeeping is a core competence of the United Nations. Crises will occur again and the unique legitimacy and credibility of United Nations peacekeeping means that there is likely to be a continued demand for the capacities of the Department of Peacekeeping Operations and troop- and police-contributing countries. This expertise needs to be protected.\",\n \"Policing and rule of law capabilities are required to consolidate the peacekeeping capabilities of the United Nations. Member States need to deliberate on the types of capacities that are required, the mix of capacities and their sourcing. This exercise needs to be undertaken in accordance with the needs of national authorities and relevance to conditions of the host countries. A capability-driven approach to peacekeeping that is demand-driven and responsive to national priorities needs to be fostered.\"\n]"},"record":{"kind":"string","value":"S_2011_496"},"zh2en":{"kind":"list like","value":["Letter dated 5 August 2011.","I have the honour to inform you that, under the presidency of India, the Security Council will hold an open debate on the theme “United Nations peacekeeping operations” on Friday, 26 August 2011. In order to help guide the debate on this subject, India prepared a concept note attached to the letter entitled “United Nations peacekeeping operations: summary of the past, preparation for the future” (see annex).","I should be grateful if you would have this letter and its annex circulated as a document of the Security Council.","Permanent Representative","Permanent Representative","Annex to the letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General","Chairman-in-Office of the Security Council","2011","Peacekeeping: summary of past, preparation for the future","Conceptual note","The reference group for peacekeeping operations does not exist in the Charter of the United Nations but has become a central task of the United Nations. The resources allocated for peacekeeping operations, those employed and the time spent by the Security Council exceed any other issue. At the same time, the impact of peacekeeping operations on the universalisation and application of international law and international humanitarian law has also surpassed any other means of the Council. Peacekeeping operations are more powerful than any other collective effort to reflect the idea of joint cooperation among Member States in the maintenance of international peace and security.","Over the past two decades, peacekeeping budgets have increased by about 27 times; the number of peacekeepers has increased by about 10 times, and the number of peacekeeping operations has not been. Despite serious shortcomings and shortcomings, the results of peacekeeping operations and peacekeepers are clear. Another indicator showing the success of peacekeeping operations is that other international and regional security organizations are also using the terms of peacekeeping operations to reflect their deployment outside the United Nations peacekeeping mission area.","Peacekeeping operations can be divided into several generations. In the previous fifty years, the mandate of United Nations peacekeeping missions is primarily to monitor the ceasefire or to deploy military peacekeepers between the warring parties. The size, scope and nature of peacekeeping missions later changed considerably. Peacekeeping missions are often deployed in response to internal conflicts, not inter-State conflicts. The scope of the mandate extends to include the enforcement of certain norms or the assumption of a number of functions normally performed by national authorities (e.g. elections, justice and law enforcement). The Council has also begun to develop a number of parallel references to Chapters VI and VII of the Charter. This means a significant increase in the use of force or the need for the use of force. In that process, complex or multidimensional peacekeeping operations that have been launched over the past two decades have started to create a new dimension that is “building”. An updated generation of missions has also emerged to specifically implement the peacebuilding mandate. It is now recognized that peacekeepers have in fact been “preventive peacebuilding personnel”.","Peacekeeping operations thus move into an updated area. Changes in the nature and scope of peacekeeping operations relate to important international law issues, in particular sovereignty, international humanitarian law and international human rights law. With regard to the extent to which peacekeeping missions can be used to promote the innovative application of international law and norms, further consensus is needed among Member States in this regard. In order to maintain the credibility and universal acceptance of United Nations peacekeeping operations, there is a need to clarify the relationship between the novel application and the guiding principles of peacekeeping operations, including the consent of the parties; the non-use of force, in addition to self-defence or mandate requirements; and to maintain neutrality. Peacekeeping missions are also often required to make difficult ethical choices without the legal provisions. In order to carry out effective peacekeeping operations, peacekeepers must be able to carry out their tasks in a legally defined environment.","The question of consent must be given greater attention, as it relates to the concept of sovereignty as the basis of the Charter of the United Nations.","The biggest challenge now facing peacekeeping missions is resource gaps. Peacekeeping operations are currently spending less than $8 billion per year. While noting with concern that the number of United Nations peacekeeping personnel is roughly the same as the number of troops deployed to the International Security Assistance Force in Afghanistan, the total expenditure of United Nations peacekeeping operations over the past two decades (inadequate to $500 million) has reportedly not been charged with the International Security Assistance Force for one year.","The resources and mandates of peacekeeping operations are extremely poor. In 1961, the United Nations deployed the United Nations Operation in the Congo, consisting of 200,000 peacekeepers (ONUCA), with less than 300 words on its mandate on the United Nations website. About 40 years later, the United Nations once again deployed approximately 20,000 peacekeepers in the Congo, which form the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC), and the United Nations website described nearly 3,000 words on its mandate.","Resource shortfalls are reflected in all aspects. For example, the United Nations Stabilization Mission in the Democratic Republic of the Congo (MINUR), which is almost all on the continent as a whole, can only be deployed in the area of responsibility according to the proportion of one peacekeepers per hundreds of square kilometres. Lack of adequate conditions conducive to the full use of resources by peacekeepers.","This situation is quite strong and requires careful discussion on resource issues. If the Council cannot address this issue, it will lead to a failure of the United Nations peacekeeping mission to fulfil its mandate successfully, which may undermine the legitimacy of the Council.","Peacekeeping is a cooperation between the Security Council, on behalf of the will of the international community, and the General Assembly, which approves the budget, and the host country that agrees to implement peacekeeping operations. troop- and police-contributing countries are an essential component of such cooperation and facilitate cooperation. The peacekeepers of the contributing countries represent the Council on the ground and translate the Council's commitment into practical action. troop- and police-contributing countries have in fact played an important intermediate role in this process.","The Security Council, in consultation with the contributing State, is required not only because of the relevant provisions of Article 44 of the Charter, but also because it facilitates efficiency and effectiveness of functioning. In decision-making, the Security Council must take into account the first-hand material of troop- and police-contributing countries on the ground and their rich experience in peacekeeping needs. Moreover, the scope of the Council's functions is largely extended, and it is clear that information is more accessible. Troop- and police-contributing countries have unique conditions for providing credible information, since many contributing countries have not only troops but also diplomats on the ground, but also technical and economic cooperation activities, sometimes by civil society organizations or business agencies on the ground.","Progress has been made in improving the consultation process, but there is also a need for continued improvement to fully develop the potential of the above-mentioned collaborative relationships. A reasonable and predictable timetable and agenda should be established for the consultation. This will help troop- and police-contributing countries to optimize their substantive contributions.","One of the reasons for the incompatibility of mandates and resources is the lack of adequate consultations with troop- and police-contributing countries in the formulation of mandates. The Brahimi report had recommended that the task process be developed at two stages, and the Security Council could allow a draft resolution to maintain its form until the Secretariat had confirmed that the contributing State could provide the necessary troops and important supporting elements. This recommendation has not yet been implemented, and it may now be a good opportunity for its implementation.","As global power, resources and capacities are increasingly fragmented, there is a need for consultation and the benefits of the consultation will also be increasing.","Partnerships also imply innovative approaches, such as joint deployment of United Nations peacekeepers and regional organizations and security organizations. About three quarters of United Nations peacekeepers and budgets are deployed on the African continent. Strengthening the African Union's peacekeeping capacity is an important condition for improving security in the troubled areas of Africa.","Partnerships do not imply a waiver of rights. The growing number of actors involved in conflict must lead to synergies among those actors, while preventing duplication and waste. Peacekeeping is the core capacity of the United Nations. The crisis will also occur, given the legitimacy and credibility specific to United Nations peacekeeping operations, the need for the capacity of the Department of Peacekeeping Operations and troop-contributing countries may continue. Therefore, expertise in this regard must be protected.","Relevant police and rule of law capacities are needed to consolidate United Nations peacekeeping capacities. Member States need to address the types of capacities required, the mix of different capacities and sources of capacity. This must be done in accordance with the needs of national authorities and the circumstances of the host country. It is important to promote a capacity-driven approach to peacekeeping, which should be based on demand and in line with national priorities."],"string":"[\n \"Letter dated 5 August 2011.\",\n \"I have the honour to inform you that, under the presidency of India, the Security Council will hold an open debate on the theme “United Nations peacekeeping operations” on Friday, 26 August 2011. In order to help guide the debate on this subject, India prepared a concept note attached to the letter entitled “United Nations peacekeeping operations: summary of the past, preparation for the future” (see annex).\",\n \"I should be grateful if you would have this letter and its annex circulated as a document of the Security Council.\",\n \"Permanent Representative\",\n \"Permanent Representative\",\n \"Annex to the letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General\",\n \"Chairman-in-Office of the Security Council\",\n \"2011\",\n \"Peacekeeping: summary of past, preparation for the future\",\n \"Conceptual note\",\n \"The reference group for peacekeeping operations does not exist in the Charter of the United Nations but has become a central task of the United Nations. The resources allocated for peacekeeping operations, those employed and the time spent by the Security Council exceed any other issue. At the same time, the impact of peacekeeping operations on the universalisation and application of international law and international humanitarian law has also surpassed any other means of the Council. Peacekeeping operations are more powerful than any other collective effort to reflect the idea of joint cooperation among Member States in the maintenance of international peace and security.\",\n \"Over the past two decades, peacekeeping budgets have increased by about 27 times; the number of peacekeepers has increased by about 10 times, and the number of peacekeeping operations has not been. Despite serious shortcomings and shortcomings, the results of peacekeeping operations and peacekeepers are clear. Another indicator showing the success of peacekeeping operations is that other international and regional security organizations are also using the terms of peacekeeping operations to reflect their deployment outside the United Nations peacekeeping mission area.\",\n \"Peacekeeping operations can be divided into several generations. In the previous fifty years, the mandate of United Nations peacekeeping missions is primarily to monitor the ceasefire or to deploy military peacekeepers between the warring parties. The size, scope and nature of peacekeeping missions later changed considerably. Peacekeeping missions are often deployed in response to internal conflicts, not inter-State conflicts. The scope of the mandate extends to include the enforcement of certain norms or the assumption of a number of functions normally performed by national authorities (e.g. elections, justice and law enforcement). The Council has also begun to develop a number of parallel references to Chapters VI and VII of the Charter. This means a significant increase in the use of force or the need for the use of force. In that process, complex or multidimensional peacekeeping operations that have been launched over the past two decades have started to create a new dimension that is “building”. An updated generation of missions has also emerged to specifically implement the peacebuilding mandate. It is now recognized that peacekeepers have in fact been “preventive peacebuilding personnel”.\",\n \"Peacekeeping operations thus move into an updated area. Changes in the nature and scope of peacekeeping operations relate to important international law issues, in particular sovereignty, international humanitarian law and international human rights law. With regard to the extent to which peacekeeping missions can be used to promote the innovative application of international law and norms, further consensus is needed among Member States in this regard. In order to maintain the credibility and universal acceptance of United Nations peacekeeping operations, there is a need to clarify the relationship between the novel application and the guiding principles of peacekeeping operations, including the consent of the parties; the non-use of force, in addition to self-defence or mandate requirements; and to maintain neutrality. Peacekeeping missions are also often required to make difficult ethical choices without the legal provisions. In order to carry out effective peacekeeping operations, peacekeepers must be able to carry out their tasks in a legally defined environment.\",\n \"The question of consent must be given greater attention, as it relates to the concept of sovereignty as the basis of the Charter of the United Nations.\",\n \"The biggest challenge now facing peacekeeping missions is resource gaps. Peacekeeping operations are currently spending less than $8 billion per year. While noting with concern that the number of United Nations peacekeeping personnel is roughly the same as the number of troops deployed to the International Security Assistance Force in Afghanistan, the total expenditure of United Nations peacekeeping operations over the past two decades (inadequate to $500 million) has reportedly not been charged with the International Security Assistance Force for one year.\",\n \"The resources and mandates of peacekeeping operations are extremely poor. In 1961, the United Nations deployed the United Nations Operation in the Congo, consisting of 200,000 peacekeepers (ONUCA), with less than 300 words on its mandate on the United Nations website. About 40 years later, the United Nations once again deployed approximately 20,000 peacekeepers in the Congo, which form the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC), and the United Nations website described nearly 3,000 words on its mandate.\",\n \"Resource shortfalls are reflected in all aspects. For example, the United Nations Stabilization Mission in the Democratic Republic of the Congo (MINUR), which is almost all on the continent as a whole, can only be deployed in the area of responsibility according to the proportion of one peacekeepers per hundreds of square kilometres. Lack of adequate conditions conducive to the full use of resources by peacekeepers.\",\n \"This situation is quite strong and requires careful discussion on resource issues. If the Council cannot address this issue, it will lead to a failure of the United Nations peacekeeping mission to fulfil its mandate successfully, which may undermine the legitimacy of the Council.\",\n \"Peacekeeping is a cooperation between the Security Council, on behalf of the will of the international community, and the General Assembly, which approves the budget, and the host country that agrees to implement peacekeeping operations. troop- and police-contributing countries are an essential component of such cooperation and facilitate cooperation. The peacekeepers of the contributing countries represent the Council on the ground and translate the Council's commitment into practical action. troop- and police-contributing countries have in fact played an important intermediate role in this process.\",\n \"The Security Council, in consultation with the contributing State, is required not only because of the relevant provisions of Article 44 of the Charter, but also because it facilitates efficiency and effectiveness of functioning. In decision-making, the Security Council must take into account the first-hand material of troop- and police-contributing countries on the ground and their rich experience in peacekeeping needs. Moreover, the scope of the Council's functions is largely extended, and it is clear that information is more accessible. Troop- and police-contributing countries have unique conditions for providing credible information, since many contributing countries have not only troops but also diplomats on the ground, but also technical and economic cooperation activities, sometimes by civil society organizations or business agencies on the ground.\",\n \"Progress has been made in improving the consultation process, but there is also a need for continued improvement to fully develop the potential of the above-mentioned collaborative relationships. A reasonable and predictable timetable and agenda should be established for the consultation. This will help troop- and police-contributing countries to optimize their substantive contributions.\",\n \"One of the reasons for the incompatibility of mandates and resources is the lack of adequate consultations with troop- and police-contributing countries in the formulation of mandates. The Brahimi report had recommended that the task process be developed at two stages, and the Security Council could allow a draft resolution to maintain its form until the Secretariat had confirmed that the contributing State could provide the necessary troops and important supporting elements. This recommendation has not yet been implemented, and it may now be a good opportunity for its implementation.\",\n \"As global power, resources and capacities are increasingly fragmented, there is a need for consultation and the benefits of the consultation will also be increasing.\",\n \"Partnerships also imply innovative approaches, such as joint deployment of United Nations peacekeepers and regional organizations and security organizations. About three quarters of United Nations peacekeepers and budgets are deployed on the African continent. Strengthening the African Union's peacekeeping capacity is an important condition for improving security in the troubled areas of Africa.\",\n \"Partnerships do not imply a waiver of rights. The growing number of actors involved in conflict must lead to synergies among those actors, while preventing duplication and waste. Peacekeeping is the core capacity of the United Nations. The crisis will also occur, given the legitimacy and credibility specific to United Nations peacekeeping operations, the need for the capacity of the Department of Peacekeeping Operations and troop-contributing countries may continue. Therefore, expertise in this regard must be protected.\",\n \"Relevant police and rule of law capacities are needed to consolidate United Nations peacekeeping capacities. Member States need to address the types of capacities required, the mix of different capacities and sources of capacity. This must be done in accordance with the needs of national authorities and the circumstances of the host country. It is important to promote a capacity-driven approach to peacekeeping, which should be based on demand and in line with national priorities.\"\n]"}}},{"rowIdx":93,"cells":{"clean_zh":{"kind":"list like","value":["国际法委员会","第六十三届会议","2011年4月26日至6月3日 和7月4日至8月12日，日内瓦","国际组织的责任","从各国政府收到的评论和意见","增编","目录","页次\n1.导言 3\n2.从各国政府收到的评论和意见 3\nA.一般评论 3 \n 智利 \nB.对条款草案的具体评论 3\n1.第1条草案——本条款草案的范围 3 \n 智利 \n2.第4条草案——一国际组织的国际不法行为的要素 4 \n 智利 \n3.第8条草案——被一国际组织承认并当作自身行为的行为 4 \n 智利 \n4.第21条草案——反措施 4 \n 智利 \n5.一般评论 5 \n 智利 \n6.第50条草案——反措施的目的和限制 5 \n 智利 \n7.第51条草案——国际组织成员采取的反措施 5 \n 智利","一. 导言","从智利收到了另外1份书面答复，内载关于国际法委员会在2009年第六十一届会议上一读通过的关于国际组织责任的条款草案(A/64/10，第50段)的评论和意见(2011年5月9日)。","二. 从各国政府收到的评论和意见","A. 一般评论","智利","[原件：西班牙文]","国际组织是现行国际法体系的一个重要组成部分，这体现在他们积极帮助维护国际和平与安全，并在开展活动的不同领域产生积极影响。出于这个原因，制定一套规范来适当、连贯一致地调节其国际责任，看起来既必要，也不可避免。","条款草案在结构和内容方面应该依据有关国家对国际不法行为的责任的条款。智利赞同委员会的决定，即根据国际组织的特殊性质，有必要起草一套具体针对他们的单独规范。","B. 对条款草案的具体评论","第一部分 导言","1. 第1条草案 本条款草案的范围","智利","[原件：西班牙文]","智利同意评注第(5)段表达的一般概念，即责任同违反一项国际责任挂钩。","第二部分 一国际组织的国际不法行为","第一章 一般原则","2. 第4条草案","一国际组织的国际不法行为的要素","智利","[原件：西班牙文]","智利政府认为，国际组织在一个由某个国家管辖的领土内的行动，根据该领土的法律可能视为合法。因此，列入一个同关于国家责任的条款第3条类似的条款依然是有用的。","第二章 将行为归于一国际组织","3. 第8条草案 被一国际组织承认并当作自身行为的行为","智利","[原件：西班牙文]","评注第(5)段指出，一个组织的规则决定哪个机关有权作出承认或将行为当作自身行为这一事项。不过，该组织的规则不会在所有情况下都有帮助。该组织的规则很可能将确定每个机关的职能以及哪些机关有权在国际文书中使本组织承担法律义务，但该组织的组成文书很可能不会明确规定哪些机关将对第三方的行为承担责任。关于不同机关缔结协定或者以其它方式使本组织承担法律义务的权力的规则，不能通过类比适用于涉及对第三方的行为承担责任的情形。承认此类行为的机关在该组织的结构中可能属于中层，因此需要做出决定，表明此类机关的声明是否能够使本组织承担法律义务，或者是否只有其管理机关才能够这样做。","第五章 解除行为不法性的情况","4. 第21条草案 反措施","智利","[原件：西班牙文]","[见下文第51条项下的评论]。","第四部分 国际组织的国际责任的履行","第二章 反措施","5. 一般评论","智利","[原件：西班牙文]","智利赞成列入一个关于反措施的章节，因为没有理由证明违反一项国际义务的国际组织应该免受受害国或受害的国际组织为促使其履行义务而对该国际组织采取的反措施。","6. 第50条草案 反措施的目的和限制","智利","[原件：西班牙文]","需要对反措施加以限制，以便不影响国际组织行使其职能权力。第50条第4款似乎已解决这一问题。不过，根据这类宽泛、不精确的措辞界定对反措施的限制可能会证明非常困难，从而导致反措施在实践中无法实行。","7. 第51条草案 国际组织成员采取的反措施","智利","[原件：西班牙文]","关于一个责任国际组织的受害成员可对该组织采取反措施的问题，智利认为，这在原则上应该是可能的，同时不影响该组织的规则作为特别法实行。因此，智利同意这一条款以及第51条草案确立的规定。","如果一个国际组织的规则没有对本组织同其成员关系中的反措施问题做出明示或默示规定，一般规则应该是允许实施此类措施。因此，应该明确起草第51条草案，以便更清楚地说明在组织规则没有就反措施的实行做出明确决定的情况下可适用的一般规则。同样的评论适用于第21条。"],"string":"[\n \"国际法委员会\",\n \"第六十三届会议\",\n \"2011年4月26日至6月3日 和7月4日至8月12日，日内瓦\",\n \"国际组织的责任\",\n \"从各国政府收到的评论和意见\",\n \"增编\",\n \"目录\",\n \"页次\\n1.导言 3\\n2.从各国政府收到的评论和意见 3\\nA.一般评论 3 \\n 智利 \\nB.对条款草案的具体评论 3\\n1.第1条草案——本条款草案的范围 3 \\n 智利 \\n2.第4条草案——一国际组织的国际不法行为的要素 4 \\n 智利 \\n3.第8条草案——被一国际组织承认并当作自身行为的行为 4 \\n 智利 \\n4.第21条草案——反措施 4 \\n 智利 \\n5.一般评论 5 \\n 智利 \\n6.第50条草案——反措施的目的和限制 5 \\n 智利 \\n7.第51条草案——国际组织成员采取的反措施 5 \\n 智利\",\n \"一. 导言\",\n \"从智利收到了另外1份书面答复，内载关于国际法委员会在2009年第六十一届会议上一读通过的关于国际组织责任的条款草案(A/64/10，第50段)的评论和意见(2011年5月9日)。\",\n \"二. 从各国政府收到的评论和意见\",\n \"A. 一般评论\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"国际组织是现行国际法体系的一个重要组成部分，这体现在他们积极帮助维护国际和平与安全，并在开展活动的不同领域产生积极影响。出于这个原因，制定一套规范来适当、连贯一致地调节其国际责任，看起来既必要，也不可避免。\",\n \"条款草案在结构和内容方面应该依据有关国家对国际不法行为的责任的条款。智利赞同委员会的决定，即根据国际组织的特殊性质，有必要起草一套具体针对他们的单独规范。\",\n \"B. 对条款草案的具体评论\",\n \"第一部分 导言\",\n \"1. 第1条草案 本条款草案的范围\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"智利同意评注第(5)段表达的一般概念，即责任同违反一项国际责任挂钩。\",\n \"第二部分 一国际组织的国际不法行为\",\n \"第一章 一般原则\",\n \"2. 第4条草案\",\n \"一国际组织的国际不法行为的要素\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"智利政府认为，国际组织在一个由某个国家管辖的领土内的行动，根据该领土的法律可能视为合法。因此，列入一个同关于国家责任的条款第3条类似的条款依然是有用的。\",\n \"第二章 将行为归于一国际组织\",\n \"3. 第8条草案 被一国际组织承认并当作自身行为的行为\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"评注第(5)段指出，一个组织的规则决定哪个机关有权作出承认或将行为当作自身行为这一事项。不过，该组织的规则不会在所有情况下都有帮助。该组织的规则很可能将确定每个机关的职能以及哪些机关有权在国际文书中使本组织承担法律义务，但该组织的组成文书很可能不会明确规定哪些机关将对第三方的行为承担责任。关于不同机关缔结协定或者以其它方式使本组织承担法律义务的权力的规则，不能通过类比适用于涉及对第三方的行为承担责任的情形。承认此类行为的机关在该组织的结构中可能属于中层，因此需要做出决定，表明此类机关的声明是否能够使本组织承担法律义务，或者是否只有其管理机关才能够这样做。\",\n \"第五章 解除行为不法性的情况\",\n \"4. 第21条草案 反措施\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"[见下文第51条项下的评论]。\",\n \"第四部分 国际组织的国际责任的履行\",\n \"第二章 反措施\",\n \"5. 一般评论\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"智利赞成列入一个关于反措施的章节，因为没有理由证明违反一项国际义务的国际组织应该免受受害国或受害的国际组织为促使其履行义务而对该国际组织采取的反措施。\",\n \"6. 第50条草案 反措施的目的和限制\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"需要对反措施加以限制，以便不影响国际组织行使其职能权力。第50条第4款似乎已解决这一问题。不过，根据这类宽泛、不精确的措辞界定对反措施的限制可能会证明非常困难，从而导致反措施在实践中无法实行。\",\n \"7. 第51条草案 国际组织成员采取的反措施\",\n \"智利\",\n \"[原件：西班牙文]\",\n \"关于一个责任国际组织的受害成员可对该组织采取反措施的问题，智利认为，这在原则上应该是可能的，同时不影响该组织的规则作为特别法实行。因此，智利同意这一条款以及第51条草案确立的规定。\",\n \"如果一个国际组织的规则没有对本组织同其成员关系中的反措施问题做出明示或默示规定，一般规则应该是允许实施此类措施。因此，应该明确起草第51条草案，以便更清楚地说明在组织规则没有就反措施的实行做出明确决定的情况下可适用的一般规则。同样的评论适用于第21条。\"\n]"},"clean_en":{"kind":"list like","value":["International Law Commission","Sixty-third session","Geneva, 26 April-3 June and 4 July-12 August 2011","Responsibility of international organizations","Comments and observations received from Governments","Addendum","Contents","Page\nI.Introduction 3II.Comments 3 and observations received from \nGovernments A.General 3 \ncomments \nChile B. 3 Specific commentson thedraft \narticles 1. Draft 3 article 1 — Scope of the present draft \narticles \nChile 2.Draft 4 article4— Elementsofan internationally wrongful actofaninternational \norganization \nChile 3.Draft 4 article8— Conduct acknowledged and adoptedbyaninternational organizationas its \n own \nChile 4.Draft 5 article21— \nCountermeasures \nChile 5. 5 General comments(part four— chapter \n II) \nChile 6.Draft 5 article50—Object andlimitsof \ncountermeasures \nChile 7.Draft 6 article51— Countermeasuresby membersofaninternational \norganization \nChile","I. Introduction","An additional written reply, containing comments and observations on the draft articles on the responsibility of international organizations, adopted on first reading by the International Law Commission at its sixty-first session, in 2009 (A/64/10, para. 50), was received from Chile (9 May 2011).","II. Comments and observations received from Governments","A. General comments","Chile","[Original: Spanish]","International organizations are a key component of the current system of international law, in that they contribute actively to the preservation of international peace and security and have a positive impact in the different spheres in which they operate. For this reason, a body of norms that suitably and coherently regulates their international responsibility seems both necessary and unavoidable.","It is appropriate that the draft articles are based, in terms of structure and content, on the articles on the responsibility of States for internationally wrongful acts, and Chile concurs with the decision of the Commission that the distinctive nature of international organizations necessitates the drafting of a separate body of norms that is specific to them.","B. Specific comments on the draft articles","Part one","Introduction","1. Draft article 1","Scope of the present draft articles","Chile","[Original: Spanish]","Chile agrees with the general concept expressed in paragraph (5) of the commentary, to the effect that responsibility is linked with a breach of an international obligation.","Part two","The internationally wrongful act of an international organization","Chapter I","General principles","2. Draft article 4","Elements of an internationally wrongful act of an international organization","Chile","[Original: Spanish]","The Government of Chile believes that the actions of international organizations in a territory subject to the jurisdiction of a given State might be characterized as lawful under the law of that territory. As a result, it is still useful to include a provision similar to article 3 of the articles on State responsibility.","Chapter II","Attribution of conduct to an international organization","3. Draft article 8","Conduct acknowledged and adopted by an international organization as its own","Chile","[Original: Spanish]","Paragraph (5) of the commentary states that the rules of the organization govern the issue of which organ would be competent to acknowledge and adopt a conduct as its own. It is very possible, however, that the rules of the organization will not help in all cases. The rules of the organization will probably identify the functions of each organ and which organs have the power to bind the organization in international instruments, but the organization’s constituent instrument probably will not specify which organ is to take responsibility for the conduct of third parties. The rules on the powers of the various organs to conclude agreements or otherwise bind the organization could not be applied by analogy to cases involving the assumption of responsibility for the conduct of third parties. The organ acknowledging such conduct may occupy a middle rank in the organization’s hierarchy, and a decision needs to be taken as to whether statements by such organs can bind the organization’s responsibility or whether only its management organs can do so.","Chapter V","Circumstances precluding wrongfulness","4. Draft article 21","Countermeasures","Chile","[Original: Spanish]","[See the comment under article 51, below].","Part four","The implementation of the international responsibility of an international organization","Chapter II","Countermeasures","5. General comments","Chile","[Original: Spanish]","Chile is in favour of the inclusion of a chapter on countermeasures, since there is no reason why an international organization which breaches an international obligation should be exempted from the adoption of countermeasures by an injured State or international organization to induce it to comply with its obligations.","6. Draft article 50","Object and limits of countermeasures","Chile","[Original: Spanish]","Countermeasures need to be restricted so as not to prejudice the exercise by international organizations of their functional competence. This issue appears to be resolved by draft article 50, paragraph 4. However, defining the restrictions on countermeasures on the basis of such broad, imprecise wording may prove very difficult, rendering the application of countermeasures unworkable in practice.","7. Draft article 51","Countermeasures by members of an international organization","Chile","[Original: Spanish]","As to whether an injured member of a responsible international organization may take countermeasures against that organization, Chile believes that this should, in principle, be possible, without prejudice to the application of the rules of the organization as lex specialis. Accordingly, it is in agreement with this provision and with the requirements established in draft article 51.","When the rules of the organization do not, explicitly or implicitly, regulate the question of countermeasures in relations between an international organization and its members, the general rule should be to permit the imposition of such measures. Accordingly, draft article 51 should be drafted positively in order to state more clearly the general rule applicable in cases where there are no rules of the organization that expressly decide the application of countermeasures. The same comment applies to article 21."],"string":"[\n \"International Law Commission\",\n \"Sixty-third session\",\n \"Geneva, 26 April-3 June and 4 July-12 August 2011\",\n \"Responsibility of international organizations\",\n \"Comments and observations received from Governments\",\n \"Addendum\",\n \"Contents\",\n \"Page\\nI.Introduction 3II.Comments 3 and observations received from \\nGovernments A.General 3 \\ncomments \\nChile B. 3 Specific commentson thedraft \\narticles 1. Draft 3 article 1 — Scope of the present draft \\narticles \\nChile 2.Draft 4 article4— Elementsofan internationally wrongful actofaninternational \\norganization \\nChile 3.Draft 4 article8— Conduct acknowledged and adoptedbyaninternational organizationas its \\n own \\nChile 4.Draft 5 article21— \\nCountermeasures \\nChile 5. 5 General comments(part four— chapter \\n II) \\nChile 6.Draft 5 article50—Object andlimitsof \\ncountermeasures \\nChile 7.Draft 6 article51— Countermeasuresby membersofaninternational \\norganization \\nChile\",\n \"I. Introduction\",\n \"An additional written reply, containing comments and observations on the draft articles on the responsibility of international organizations, adopted on first reading by the International Law Commission at its sixty-first session, in 2009 (A/64/10, para. 50), was received from Chile (9 May 2011).\",\n \"II. Comments and observations received from Governments\",\n \"A. General comments\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"International organizations are a key component of the current system of international law, in that they contribute actively to the preservation of international peace and security and have a positive impact in the different spheres in which they operate. For this reason, a body of norms that suitably and coherently regulates their international responsibility seems both necessary and unavoidable.\",\n \"It is appropriate that the draft articles are based, in terms of structure and content, on the articles on the responsibility of States for internationally wrongful acts, and Chile concurs with the decision of the Commission that the distinctive nature of international organizations necessitates the drafting of a separate body of norms that is specific to them.\",\n \"B. Specific comments on the draft articles\",\n \"Part one\",\n \"Introduction\",\n \"1. Draft article 1\",\n \"Scope of the present draft articles\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Chile agrees with the general concept expressed in paragraph (5) of the commentary, to the effect that responsibility is linked with a breach of an international obligation.\",\n \"Part two\",\n \"The internationally wrongful act of an international organization\",\n \"Chapter I\",\n \"General principles\",\n \"2. Draft article 4\",\n \"Elements of an internationally wrongful act of an international organization\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"The Government of Chile believes that the actions of international organizations in a territory subject to the jurisdiction of a given State might be characterized as lawful under the law of that territory. As a result, it is still useful to include a provision similar to article 3 of the articles on State responsibility.\",\n \"Chapter II\",\n \"Attribution of conduct to an international organization\",\n \"3. Draft article 8\",\n \"Conduct acknowledged and adopted by an international organization as its own\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Paragraph (5) of the commentary states that the rules of the organization govern the issue of which organ would be competent to acknowledge and adopt a conduct as its own. It is very possible, however, that the rules of the organization will not help in all cases. The rules of the organization will probably identify the functions of each organ and which organs have the power to bind the organization in international instruments, but the organization’s constituent instrument probably will not specify which organ is to take responsibility for the conduct of third parties. The rules on the powers of the various organs to conclude agreements or otherwise bind the organization could not be applied by analogy to cases involving the assumption of responsibility for the conduct of third parties. The organ acknowledging such conduct may occupy a middle rank in the organization’s hierarchy, and a decision needs to be taken as to whether statements by such organs can bind the organization’s responsibility or whether only its management organs can do so.\",\n \"Chapter V\",\n \"Circumstances precluding wrongfulness\",\n \"4. Draft article 21\",\n \"Countermeasures\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"[See the comment under article 51, below].\",\n \"Part four\",\n \"The implementation of the international responsibility of an international organization\",\n \"Chapter II\",\n \"Countermeasures\",\n \"5. General comments\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Chile is in favour of the inclusion of a chapter on countermeasures, since there is no reason why an international organization which breaches an international obligation should be exempted from the adoption of countermeasures by an injured State or international organization to induce it to comply with its obligations.\",\n \"6. Draft article 50\",\n \"Object and limits of countermeasures\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Countermeasures need to be restricted so as not to prejudice the exercise by international organizations of their functional competence. This issue appears to be resolved by draft article 50, paragraph 4. However, defining the restrictions on countermeasures on the basis of such broad, imprecise wording may prove very difficult, rendering the application of countermeasures unworkable in practice.\",\n \"7. Draft article 51\",\n \"Countermeasures by members of an international organization\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"As to whether an injured member of a responsible international organization may take countermeasures against that organization, Chile believes that this should, in principle, be possible, without prejudice to the application of the rules of the organization as lex specialis. Accordingly, it is in agreement with this provision and with the requirements established in draft article 51.\",\n \"When the rules of the organization do not, explicitly or implicitly, regulate the question of countermeasures in relations between an international organization and its members, the general rule should be to permit the imposition of such measures. Accordingly, draft article 51 should be drafted positively in order to state more clearly the general rule applicable in cases where there are no rules of the organization that expressly decide the application of countermeasures. The same comment applies to article 21.\"\n]"},"record":{"kind":"string","value":"A_CN.4_636_ADD.2"},"zh2en":{"kind":"list like","value":["International Law Commission","Sixty-third session","Geneva, 26 April-3 June and 4 July-12 August 2011","Responsibility of international organizations","Comments and observations received from Governments","Addendum","Contents","Introduction 3 2. Comments and observations received from Governments 3A. General comments 3 Chile B. Specific comments on the draft articles 3 1.1 - scope of the draft articles 3 Chile 2. draft article 4 - Elements of an internationally wrongful act of an international organization 4 Chile 3. Draft article 8 - recognized and used by an international organization 4 - Draft article 4 - general comment on countermeasures 4 - general comment of Chile on draft article 50 - Purposes and limitations of countermeasures 5","Introduction","An additional written response was received from Chile to include comments and observations on the draft articles on the responsibility of international organizations adopted by the International Law Commission at its first reading in 2009 (A/64/10, para.","Comments and observations received from Governments","General comments","Chile","[Original: Spanish]","International organizations are an important component of the existing international law system, which is reflected in their active contribution to the maintenance of international peace and security and has a positive impact in different areas of activity. For that reason, the development of a set of norms to properly and consistently regulate their international responsibilities appears to be both necessary and inevitable.","The draft articles should be based on provisions relating to the responsibility of States for internationally wrongful acts in terms of structure and content. Chile aligns itself with the Commission's decision that, in accordance with the special nature of international organizations, a single set of norms specific to them is necessary.","Specific comments on the draft articles","Introduction","Scope of draft article 1","Chile","[Original: Spanish]","Chile agrees with the general concept expressed in paragraph (5) of the commentary that responsibility is linked to a breach of an international responsibility.","internationally wrongful acts of an international organization","Chapter I","Draft article 4","Elements of an internationally wrongful act of an international organization","Chile","[Original: Spanish]","The Government of Chile believes that the actions of an international organization in a territory governed by a State may be considered lawful under the law of the Territory. Thus, the inclusion of a similar article with article 3 on State responsibility remains useful.","Chapter II Naturalization of conduct by an international organization","Draft article 8","Chile","[Original: Spanish]","Paragraph (5) of the commentary points out that the rules of an organization determine which organ is entitled to make recognition or act as a matter of its own conduct. However, the rules of the organization would not be helpful in all cases. The rules of the organization are likely to determine the functions of each organ and the authority of the organs to impose legal obligations on the Organization in international instruments, but the constituent instrument of the organization would probably not specify which bodies would assume responsibility for third parties. Rules relating to the conclusion of agreements by different organs or other means of giving the Organization the authority to assume legal obligations cannot be applied by analogy to cases involving the responsibility of third parties. Recognizing that the organs of such conduct may fall within the structure of the organization, it is therefore necessary to decide whether the statements of such organs would enable the Organization to assume its legal obligations or whether it would be possible for its management to do so.","Chapter V Emission of wrongfulness","Draft article 21 countermeasures","Chile","[Original: Spanish]","[See comments under article 51 below].","Implementation of international responsibility of international organizations","Chapter II Countermeasures","General comments","Chile","[Original: Spanish]","Chile favours the inclusion of a chapter on countermeasures, since there is no reason to prove that an international organization that violates an international obligation should be free from countermeasures taken by an injured State or an international organization to induce it to fulfil its obligations.","Purpose and limitations of countermeasures","Chile","[Original: Spanish]","Constraints of countermeasures are needed in order not to affect the exercise by international organizations of their functions. Article 50, paragraph 4, appears to have addressed this issue. However, the definition of limitations on countermeasures in the light of such broad and unambiguous terms may prove very difficult, leading to the inefficiency of countermeasures in practice.","Draft article 51","Chile","[Original: Spanish]","With regard to the question that a victim of an international organization could take countermeasures against the organization, Chile considered that this should be possible in principle, without prejudice to the application of the rules of the organization as a special law. Chile therefore agreed with that provision and the provisions established in draft article 51.","If the rules of an international organization do not expressly or implicitly provide for countermeasures in the Organization's relations with its members, the general rule should allow for such measures. Draft article 51 should therefore be clearly drafted in order to make a clearer indication of the general rules applicable in the absence of a clear decision on countermeasures in the rules of the organization. The same comments apply to article 21."],"string":"[\n \"International Law Commission\",\n \"Sixty-third session\",\n \"Geneva, 26 April-3 June and 4 July-12 August 2011\",\n \"Responsibility of international organizations\",\n \"Comments and observations received from Governments\",\n \"Addendum\",\n \"Contents\",\n \"Introduction 3 2. Comments and observations received from Governments 3A. General comments 3 Chile B. Specific comments on the draft articles 3 1.1 - scope of the draft articles 3 Chile 2. draft article 4 - Elements of an internationally wrongful act of an international organization 4 Chile 3. Draft article 8 - recognized and used by an international organization 4 - Draft article 4 - general comment on countermeasures 4 - general comment of Chile on draft article 50 - Purposes and limitations of countermeasures 5\",\n \"Introduction\",\n \"An additional written response was received from Chile to include comments and observations on the draft articles on the responsibility of international organizations adopted by the International Law Commission at its first reading in 2009 (A/64/10, para.\",\n \"Comments and observations received from Governments\",\n \"General comments\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"International organizations are an important component of the existing international law system, which is reflected in their active contribution to the maintenance of international peace and security and has a positive impact in different areas of activity. For that reason, the development of a set of norms to properly and consistently regulate their international responsibilities appears to be both necessary and inevitable.\",\n \"The draft articles should be based on provisions relating to the responsibility of States for internationally wrongful acts in terms of structure and content. Chile aligns itself with the Commission's decision that, in accordance with the special nature of international organizations, a single set of norms specific to them is necessary.\",\n \"Specific comments on the draft articles\",\n \"Introduction\",\n \"Scope of draft article 1\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Chile agrees with the general concept expressed in paragraph (5) of the commentary that responsibility is linked to a breach of an international responsibility.\",\n \"internationally wrongful acts of an international organization\",\n \"Chapter I\",\n \"Draft article 4\",\n \"Elements of an internationally wrongful act of an international organization\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"The Government of Chile believes that the actions of an international organization in a territory governed by a State may be considered lawful under the law of the Territory. Thus, the inclusion of a similar article with article 3 on State responsibility remains useful.\",\n \"Chapter II Naturalization of conduct by an international organization\",\n \"Draft article 8\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Paragraph (5) of the commentary points out that the rules of an organization determine which organ is entitled to make recognition or act as a matter of its own conduct. However, the rules of the organization would not be helpful in all cases. The rules of the organization are likely to determine the functions of each organ and the authority of the organs to impose legal obligations on the Organization in international instruments, but the constituent instrument of the organization would probably not specify which bodies would assume responsibility for third parties. Rules relating to the conclusion of agreements by different organs or other means of giving the Organization the authority to assume legal obligations cannot be applied by analogy to cases involving the responsibility of third parties. Recognizing that the organs of such conduct may fall within the structure of the organization, it is therefore necessary to decide whether the statements of such organs would enable the Organization to assume its legal obligations or whether it would be possible for its management to do so.\",\n \"Chapter V Emission of wrongfulness\",\n \"Draft article 21 countermeasures\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"[See comments under article 51 below].\",\n \"Implementation of international responsibility of international organizations\",\n \"Chapter II Countermeasures\",\n \"General comments\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Chile favours the inclusion of a chapter on countermeasures, since there is no reason to prove that an international organization that violates an international obligation should be free from countermeasures taken by an injured State or an international organization to induce it to fulfil its obligations.\",\n \"Purpose and limitations of countermeasures\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"Constraints of countermeasures are needed in order not to affect the exercise by international organizations of their functions. Article 50, paragraph 4, appears to have addressed this issue. However, the definition of limitations on countermeasures in the light of such broad and unambiguous terms may prove very difficult, leading to the inefficiency of countermeasures in practice.\",\n \"Draft article 51\",\n \"Chile\",\n \"[Original: Spanish]\",\n \"With regard to the question that a victim of an international organization could take countermeasures against the organization, Chile considered that this should be possible in principle, without prejudice to the application of the rules of the organization as a special law. Chile therefore agreed with that provision and the provisions established in draft article 51.\",\n \"If the rules of an international organization do not expressly or implicitly provide for countermeasures in the Organization's relations with its members, the general rule should allow for such measures. Draft article 51 should therefore be clearly drafted in order to make a clearer indication of the general rules applicable in the absence of a clear decision on countermeasures in the rules of the organization. The same comments apply to article 21.\"\n]"}}},{"rowIdx":94,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程[1] 项目69(b)","促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径","促进和保护人权国家机构","秘书长的报告","摘要 本报告涵盖2010年9月至2011年9月期间，内载联合国人权事务高级专员办事处为设立和加强国家人权机构所开展活动的资料；政府和国家人权机构在此方面采取的措施；向国家人权机构的国际和区域活动提供的支持；与联合国系统其他机构、基金和方案一道提供的与国家人权机构相关的技术援助；国家人权机构与国际机制之间促进和保护人权方面的合作。本报告还载有国家人权机构在特定专题方面所从事工作的相关资料。 \n本报告补充秘书长2011年2月7日向人权理事会提交的涵盖2010年1月至12月期间活动的报告(A/HRC/16/76)。","一. 导言","1. 本报告根据大会第64/161号决议提交，大会在该决议中请秘书长向大会第六十六届会议报告该决议执行情况。本报告涵盖2010年9月至2011年9月期间的活动，并补充秘书长2011年2月7日向人权理事会提交的涵盖2010年1月至12月期间活动的报告(A/HRC/16/76)。","2. 大会第64/161号决议确认，有众多行为方参与设立和加强国家人权机构。大会鼓励国家人权机构与各类行为方开展合作，这些行为方包括联合国，尤其包括人权事务高级专员办事处(人权高专办)、促进和保护人权国家机构国际协调委员会(国际协调委员会)、区域国家人权机构网络[2] 以及区域和国际监察员协会。大会在同一决议中还欢迎高级专员努力发展伙伴关系以支持国家机构，并鼓励联合国所有人权机制以及各机构、基金和方案，在各自任务授权范围内与会员国和国家机构合作。在这众多行为方中，会员国在设立和加强国家人权机构方面应发挥突出作用。在这方面，大会第64/161号决议还鼓励会员国设立有效、独立和多元化的国家机构。","3. 本报告旨在概述上列行为方在设立和加强独立的国家人权机构方面所发挥的作用。本报告还说明国家、区域和国际三级迄今为止已建立的伙伴关系和其他合作安排。","二. 联合国人权事务高级专员办事处与国家人权机构","4. 向国家人权机构提供支助并与其开展外联是人权高专办任务的组成部分。高级专员在国际协调委员会第二十四届年会(2011年5月17日,日内瓦)上的介绍性发言中重申，国家人权机构是人权高专办至关重要的伙伴，因为这些机构在国家人权保护系统中，尤其是在解决国家一级最紧迫人权问题方面，处于中心位置。","5. 人权高专办通过国家机构和区域机制科继续为设立和加强国家人权机构提供法律和技术支助。人权高专办通过向国际协调委员会本身及其资格认证小组委员会提供秘书处服务，继续发展与该委员会的长期关系。","6. 大会曾指出，人权高专办在国家人权机构方面的作用仍是一项进行中的工作。因此，大会鼓励高级专员进一步扩大支助这些机构的活动(第64/161号决议，第13段）。2011年，除人权高专办在支助国家人权机构方面的长期任务外，大会还请该办事处发展和支助与监察员和调解员这两个具体机构类别相关的活动(见第65/207号决议，第5段)。","A. 人权高专办提供的有关国家人权机构的咨询服务","7. 人权高专办主要通过国家机构和区域机制科在国家、区域和国际三级发挥加强国家人权机构的作用。该科协同包括实地人员在内的人权高专办其他部门开展工作。人权高专办继续在设立和加强机构方面提供咨询意见和援助，其途径包括其国家和区域办事处、人权咨询顾问和联合国和平特派团的人权部门，也包括与联合国开发计划署(开发署)和国家人权机构区域协调机构等其他联合国伙伴开展协作。人权高专办还与政府间组织、学术机构和民间社会组织密切合作。","8. 人权高专办向国家人权机构和其他国家利益攸关方提供法律和技术援助。提供的咨询意见涉及国家人权机构及其性质、职能、权利和责任方面的宪法和法律规定。此外还派遣比较分析、技术合作需求评估、方案制定和评价等方面的工作团，协助机构遵守关于促进和保护人权国家机构的地位的原则(《巴黎原则》)(见大会第48/134号决议，附件)。","9. 人权高专办继续举办“A级”国家人权机构工作人员助研金方案。在本报告所述期间，下列各国的机构工作人员参加了该方案：埃及、印度、卡塔尔、尼加拉瓜、秘鲁、乌干达和大不列颠及北爱尔兰联合王国。助研金方案的目标是使世界各国的国家人权机构工作人员更好地了解和领会国际人权系统。通过这种经历，研究员增加了有关联合国人权系统，包括条约机构系统、人权理事会、普遍定期审议和特别程序的知识和实际工作经验。他们还熟悉人权高专办与国家人权机构开展的和为这些机构开展的工作，并熟悉与国家人权机构相关的技术和实务问题。人权高专办和国家机构双方都从助研金方案中受益，包括获得实务知识以及在国家人权机构内工作的经验。","1. 美洲和加勒比","10. 人权高专办南美洲办事处举办了两次讲习班，以进一步建设智利国家人权研究所的能力。讲习班的主要内容是人权指标(2011年4月11日至12日)和如何向人权条约机构报告(2011年5月20日)。","11. 2011年4月18日和19日，人权高专办通过其南美洲区域办事处为秘鲁的国家人权机构(人民监察员)组织了关于人权指标的培训活动。该培训活动的对象包括30多名国家人权机构工作人员，具体重点是经济、社会和文化权利。讲习班的目标是更好地将人权指标纳入国家人权机构的分析和报告。","12. 2011年4月20日，人权高专办南美区域办事处与秘鲁的国家人权机构共同组织了一次土著居民培训活动。培训的目标是增加关于《联合国土著人民权利宣言》和国际人权机制的知识和认识，包括深入认知土著居民和民间社会如何才能成功运用联合国机制。这次培训活动的对象包括30个秘鲁土著和民间社会组织。","13. 在厄瓜多尔任命国家人权机构(人民监察员机构)负责人的过程中，人权高专办为提高对国际标准的认识提供支助。人权高专办的支助包括2011年6月举办一次培训活动，对象是共同参与和社会控制理事会这个负责遴选监察员的机构的成员。","14. 联合国人权事务高级专员在访问墨西哥期间(2011年7月3日至9日)会晤了国家人权委员会主席，以商讨人权指标、人权维护者、迁徙工人权利和最近的宪法改革等领域的进一步合作。访问期间，高级专员还与包含32个国家以下各级人权委员会的墨西哥人权公共机构联合会举行了会议。","15. 2011年9月，人权高专办南美洲区域办事处与阿根廷的国家人权机构(国家人民监察员机构)共同举办了一次民间社会和土著组织成员培训活动。此活动在该国两个地区进行，重点是介绍土著人民权利和国际人权机制。","16. 在本报告所述期间，人权高专办南美洲区域办事处与乌拉圭国会议员和政府官员就该国设立国家人权机构一事举行了会谈。人权高专办重点指出了确保机构独立性与自主性、充分供资和专员遴选过程的重要性。","17. 在本报告所述期间，人权高专办继续支助智利努力设立符合《巴黎原则》的国家人权机构。人权高专办南美洲区域办事处为参议院代表举行了信息介绍会，散发了关于国家人权机构和《巴黎原则》的概况资料。人权高专办向议会全体成员发去一封信，提请其注意普遍定期审议关于设立国家人权机构的建议。","18. 在本报告所述期间，人权高专办南美洲区域办事处与委内瑞拉玻利瓦尔共和国的国家人权机构进行联络活动，以使该机构更多参与保护权利和被剥夺自由的人士，并使其更多参与向普遍定期审议呈交报告。人权高专办为监察员机构工作人员提供了有关普遍定期审议的培训(A/HRC/16/76，第14段)。","19. 人权高专办、开发署、法语国家国际组织和公民保护署(保护署)制订了加强保护署的三年联合全球战略。该战略将于2011年至2013年期间实施。作为该项目的一部分，为协助保护署执行其任务征聘了一名咨询顾问。","2. 非洲","20. 2011年1月5日布隆迪通过设立独立国家人权委员会的法案。此后，联合国布隆迪办事处于2011年3月在鲁塔纳、基特加和布琼布拉举行了磋商活动。该活动旨在提高民间社会组织对新法律的认识，并确保遴选和任命委员会成员的过程具有透明度。2011年5月19日，国民议会任命了七名委员会成员和主席团成员。","21. 人权高专办与联合国国家工作队在尼日尔共同举行磋商活动，以提高对设立新国家人权机构一事的认识。2011年7月6日至8日，与政府各部举行了一次磋商活动。7月4日至6日，在塔瓦举办了一次民间社会组织讲习班。","22. 2011年1月，利比里亚独立国家人权委员会获得新办公室。该委员会正式成立于2010年10月。联合国驻利比里亚特派团人权和保护科与该委员会领导层开展互动，就委员会2011年工作计划以及议事棚项目提供咨询意见。该工作计划包含提交给总统的全国和解路线图。委员会与人权和保护科商定了两名国家咨询顾问的工作任务，请他们编制一项战略计划和内部议事规则。2011年5月20日，人权和保护科与该国家委员会以半天时间举办一次讲习班，讨论了两个实体的任务、组织结构图和行动计划，并讨论了委员会与该科间的合作。","23. 在本报告所述期间，人权高专办东非区域办事处向坦桑尼亚联合共和国人权和善治委员会提供支助，包括进行培训和论证活动，以向普遍定期审议提交利益攸关方呈件。人权高专办还参与坦桑尼亚联合共和国制定全国人权行动计划的工作。人权和善治委员会是该项工作的领导者之一。","24. 2011年6月22日至24日，人权高专办支助纳米比亚、南非、赞比亚和津巴布韦的国家人权机构出席了人权高专办在比勒陀利亚举办的消除种族歧视委员会结论性意见后续行动次区域讨论会。","25. 津巴布韦人权委员会于2010年任命其成员，目前尚未正式运作。人权高专办就设立津巴布韦人权委员会的法律提案提供了实质性意见。人权高专办和开发署征聘一名任期六个月的咨询顾问，负责向该委员会成员提供技术和能力支助。人权高专办和开发署还与国家各种利益攸关方举行建设能力和提高认识会议，以根据《巴黎原则》推动津巴布韦人权委员会的设立和运作。该委员会副主席应邀出席了人权高专办在比勒陀利亚举办的上述区域讨论会。","26. 人权高专办就任命津巴布韦未来国家人权机构中民间社会成员规则的各种草案提供了意见。人权高专办与联合国国家工作队密切合作，向谋求设立国家人权机构的该国政府和民间社会提供了技术和咨询服务。","27. 2011年8月，人权高专办支助在南苏丹征聘一名咨询顾问，负责向人权委员会提供技术知识和增强委员会工作人员的能力。","28. 人权高专办继续通过反歧视举措与南非人权委员会密切合作。该举措于2010年11月启动，由人权高专办提供资金。人权高专办定期与南非人权委员会举行磋商，以监督该项目的执行情况。该项目旨在增强委员会处理非国民的人权问题和反对仇外心理及歧视的能力。","29. 人权高专办南部非洲区域办事处与该区域的联合国国家工作队密切合作，推进设立和加强科摩罗和塞舌尔的国家人权机构。","30. 在本报告所述期间，人权高专办支助埃塞俄比亚人权委员会编制了国家人权行动计划。人权高专办东非区域办事处向该委员会提供了咨询意见，以促进与联合国条约机构的互动，即人权事务委员会和消除对妇女歧视委员会即将对埃塞俄比亚进行的审查。2011年8月，人权高专办、开发署和非洲国家人权机构网络对埃塞俄比亚人权委员会进行差距分析以评估其能力。人权高专办还就国际协调委员会的资格认证程序提供咨询意见，并向工作人员和委员会成员提供关于《巴黎原则》的培训。","31. 在本报告所述期间，人权高专办东非区域办事处向吉布提国家人权委员会提供支助，确保其参加消除对妇女歧视委员会对吉布提执行普遍定期审议建议三年联合方案的审查活动。","32. 2010年最后三个月，人权高专办就中非共和国设立国家人权机构开展了能力建设活动(见A/HRC/16/76，第26段)。","3. 亚洲和太平洋","33. 2010年最后三个月，人权高专办与开发署和国家人权机构亚太论坛共同对约旦和泰国的国家人权机构进行了能力评估(同上，第31段)。","4. 欧洲和中亚","34. 人权高专办应挪威人权中心的邀请，参加了2011年1月11日在奥斯陆举行的一次讨论，题为“挪威国家人权机构：我们前进的方向?”，该会议是关于改组挪威人权中心的全国协商过程的组成部分，民间社会团体的代表和挪威外交部的工作人员出席了会议。人权高专办就挪威国家人权机构的改组，以及重新获取国际协调委员会资格认证的问题提供了技术援助和咨询。","35. 在访问俄罗斯联邦期间，联合国人权事务高级专员于2011年2月18日在圣彼得堡举行的俄罗斯联邦国家以下各级监察员协调理事会年会上发言。她指出，人权高专办将高度优先重视按照有关的国际标准建立和支助国家人权机构和监察员办公室。特别是，人权高专办可以分享关于监察机构在法治、拘留条件和安全部门改革方面作用的专业知识。高级专员鼓励与会者加强与联合国条约机构和人权理事会特别程序机制的联络。高级专员呼吁联邦监察员为国家以下各级机构创建与人权理事会互动的空间。她还呼吁它们参与通过国际协调委员会进行的国际协调和交流，并从中受益。","36． 2011年3月，人权高专办提供了关于塞尔维亚《国民议会议事规则》的评论意见。这些意见集中于规范监察员与议会之间关系的条款，尤其是关于国家人权机构向国民议会提交报告的监督和审议机制。国民议会在修订上述《议事规则》时，审议了人权高专办的意见。人权高专办和国家工作队继续与国民议会和塞尔维亚监察员密切合作，以加强这两个国家机构之间的关系。","37． 2011年6月，在正式启动了加强塔吉克斯坦国家人权机构能力的联合国联合技术援助方案。除了监察机构之外，以下机构计划也参与了该方案：人权高专办、开发署、联合国促进性别平等和增强妇女权能署(妇女署)、联合国难民事务高级专员办事处、联合国儿童基金会、国际移民组织、联合国人口基金、国际劳工组织和联合国艾滋病规划署。该方案旨在加强塔吉克斯坦国家人权机构的能力，以便处理投诉，开展教育和公众宣传活动，并改善其与主要国家行为者和民间社会组织的伙伴关系，从而促进人权政策和法规的改革。","38． 2011年7月，根据立陶宛司法部和共和国议会监察员的请求，人权高专办提供了关于《立陶宛议会监察员法》的意见。另外，2011年7月12日，人权高专办参加了在维尔纽斯由立陶宛总统和司法部组织的关于建立一个国家人权机构的协商会议。","39． 人权高专办与摩尔多瓦共和国政府官员合作，讨论摩尔多瓦共和国B 级国家人权机构现行立法的修正提案，重点放在有关监察员的聘任程序和甄选等方面。人权高专办驻摩尔多瓦共和国的人权顾问和人权高专办的欧洲区域代表就该问题与一系列官员接触，包括司法部官员和主要议员。此外，联合国人权事务高级专员致函该国政府，敦促迅速采取行动，改善国家人权机构，以便申请国际协调委员会的资格再认证。","40． 人权高专办驻摩尔多瓦共和国的人权顾问通过各种方式向国家人权机构提供支助，包括关于普遍定期审议和弱智人士的监督机构的训练，加强该机构的图书馆，制订国家人权机构的战略规划。人权高专办的人权顾问参加了一个由开发署与欧盟委员会组成的关于加强国家人权机构项目的理事会。","41． 人权事务高级专员办事处协助加强克罗地亚、荷兰、挪威、匈牙利、立陶宛和斯洛伐克的国家人权基础设施。人权高专办提供了咨询意见，包括对立法的意见，并提请各国政府、国家人权机构和其他参与这些过程的利益攸关方注意确保通过多元和参与性协商开展真正对话的重要性。","42． 人权高专办驻塞尔维亚的人权顾问与塞尔维亚监察员办公室密切合作，加强该机构在保护和促进人权方面的工作。人权高专办的支助包括编写一份全面报告，说明罗姆人的人权状况，以及该国为罗姆人融入社会采取的措施的有效性。该报告及其向塞尔维亚政府提出的建议预计将在2012年初提交国民议会。","43． 人权高专办驻前南斯拉夫的马其顿共和国的人权顾问协助监察员办公室申请国际协调委员会的资格认证。","44． 人权高专办在2010年的最后三个月，协助塞尔维亚和荷兰的国家人权机构加强它们的能力(同上，第39和40段)。","5． 中东和北非","45． 人权高专办、开发署和国家人权机构亚太论坛向巴勒斯坦国家人权机构(2011年2月6日至8日和2011年4月3日至15日)和阿富汗国家人权机构(2011年5月13日至26日)的能力评估提供了支助。能力评估包括采访机构的工作人员以及其他利益攸关方。","46． 在报告所述期间，人权高专办就在突尼斯和沙特阿拉伯设立国家人权机构的立法草案问题提供了法律意见。","47． 人权高专办在阿曼组织了一个关于《巴黎原则》的研讨会(见A/HRC/16/76，第30段)。","B. 支持与国家人权机构有关的区域举措","1． 美洲和加勒比","48． 人权高专办与英联邦秘书处合作，举办了关于如何按照《巴黎原则》为加勒比地区建立国家人权机构问题的一个区域讲习班。讲习班于2011年3月21日至23日在西班牙港举行。本次讲习班旨在根据最近在加勒比地区的人权发展情况，包括通过人权理事会的普遍定期审议过程，建立和加强加勒比国家的国家人权保护制度，以便在中短期内建立国家人权机构。来自12个加勒比英语国家的国会议员、监察机构和政府官员包括总检察长出席了研讨会。巴巴多斯的联合国国家工作队和东加勒比国家组织的代表也参加了这项活动。该讲习班通过了《西班牙港宣言》(见附件)。","49． 在国际协调委员会第二十四届年度会议的间隙，美洲促进和保护人权国家机构网络举行了一次会议，讨论其2011年至2012年的工作计划。与会者讨论了为该区域国家人权机构的工作人员制订一个永久的能力建设方案，并成立一个美洲网络咨询委员会。与会者同意建立一个美洲网络的网站，并商定在危地马拉举行下一届2011年区域年度会议。","2． 非洲","50． 联合国开发计划署、人权高专办和非洲国家人权机构网络于2011年5月21日在日内瓦举行会议，讨论合作和支助问题，其中包括确定差距分析的方法，以及协助制订和验证该网络的战略计划。","51． 人权高专办作为协助单位参加非洲国家人权机构的培训方案(2011年5月30日至6月8日，阿克拉)，该研讨会是由拉乌尔·沃伦贝格人权和人道主义法研究所、隆德大学和非洲国家人权机构网络举办。培训的主要目的是加强国家人权机构工作人员关于《巴黎原则》的能力和知识。参与者是来自大约26个国家人权机构的工作人员，包括调查人员、培训人员、法律人员、行政人员和管理人员，来自埃塞俄比亚、加纳、肯尼亚、马拉维、纳米比亚、尼日利亚、卢旺达、塞拉利昂、南非、乌干达、坦桑尼亚联合共和国和赞比亚。","3． 亚洲和太平洋","52． 2011年3月28日至30日，国家人权机构亚太论坛、开发署和人权高专办在曼谷举办关于亚太地区国家人权机构的能力评估的培训讲习班。人权高专办支助设在肯尼亚的非洲国家人权机构网络秘书处的一名代表参加这次讲习班，以促进在亚太区域和非洲的两个国家人权机构网络有效交流能力评估的经验和良好做法。","4． 欧洲和中亚","53． 人权高专办协助国家人权机构欧洲集团建立其常设秘书处。人权高专办支持2011年2月21日在日内瓦举行一次会议，旨在确定设立常设秘书处的具体步骤。会议聚集了来自13个欧洲国家人权机构的代表，以及国家人权机构亚太论坛和非洲国家人权机构网络常设秘书处的代表。出席这次会议的还有常驻日内瓦代表团和区域机制，如基本权利机构、欧洲安全与合作组织(欧安组织)、民主制度和人权办事处，以及欧洲委员会的代表。该会议的主要成果之一是与会者一致表示支持这项举措。","54. 人权高专办参加了2011年3月28日和29日在布拉格举行的一次研讨会，讨论国家人权机构在促进和保护妇女权利和性别平等方面的作用。这次研讨会是由欧安组织和民主制度和人权办事处为来自东欧国家的国家人权机构举办的。","55. 人权高专办参加了2011年4月5日在维也纳举行的欧盟基本权利机构与国家人权机构的第四次年度会议。人权高专办在发言中重点谈到国家人权机构在欧洲的各种不同状况，以及人权机构与平等机构合并，或强调各类平等机构、人权机构与监察机构之间合作的趋势。它还强调建立一个国家人权机构欧洲集团常设秘书处的重要性。","56． 人权高专办出席于4月14日和15日在维也纳举行的欧安组织人的方面问题补充会议。人权高专办根据最近对人权理事会工作方法的审查，包括发言权利、书面发言的分发和参与普遍定期审议等情况，分享了协助国家人权机构加强它们在人权理事会的作用的经验。","57． 2011年5月17日，在国际协调委员会第二十四届年度会议的间隙，国家人权机构欧洲集团的成员举行了一次会议，讨论以下问题：欧洲集团设立常设秘书处；与欧洲基本权利机构、因特拉肯进程和欧安组织的协作；欧洲集团残疾人权利公约工作组；以及国家人权机构与平等机构(欧洲平等机构网络)。会上，欧洲集团选举苏格兰人权委员会为欧洲集团主席。法国、卢森堡和丹麦的国家人权机构代表被选为欧洲协调委员会成员。德国国家人权机构当选为国际协调委员会资格认证小组委员会的欧洲成员。","58． 人权高专办参加了2011年7月13日和14日在维尔纽斯举行的欧安组织地区国家人权机构会议。这次会议是由欧安组织/民主制度和人权办事处和欧安组织当值主席(欧安组织主席)共同举办的。本次会议旨在促进监察机构、人权委员会、研究机构和其他与行政机关、司法机关、议会和民间社会合作的机制之间交流经验。","59． 人权高专办于2010年10月4日和5日参加了在华沙举行的一次与欧洲委员会和民主制度和人权办事处的非正式机构间会议。人权高专办分享了在协助国家人权机构建立自己的立法框架和能力方面的经验。","60． 2010年10月20日和21日，人权高专办参加了在萨格勒布举行的一次关于根据《禁止酷刑公约任择议定书》建立的国家预防机制的区域圆桌会议，这次会议是由开发署和克罗地亚监察员举办的。圆桌会议的重点是预防酷刑和国家人权机构的作用。","5． 中东和北非","61． 2011年4月27日和28日，联合国人权事务高级专员参加了在努瓦克肖特举行的阿拉伯国家的国家人权机构第七届年会，讨论国家人权机构在执行联合国条约机构的建议方面的作用。该会议由毛里塔尼亚的国家人权委员会主办，来自阿尔及利亚、埃及、约旦、毛里塔尼亚、卡塔尔和突尼斯的国家人权机构代表出席了该会议。与会者通过了《努瓦克肖特宣言》。","C. 人权事务高级专员办事处为与国家人权机构有关的国际举措提供的支持","1． 促进和保护人权国家机构国际协调委员会","62. 人权高专办协助国际协调委员会开发和管理其网站(http://nhri.ohchr. org)，该网站于2011年开始运作，取代www.nhri.net。","63. 2011年8月7日，人权高专办收到现任和即将上任的国际协调委员会主席的一封信，呼吁联合国在2013年举办纪念通过《巴黎原则》二十周年的活动。国际协调委员会认为，该活动的筹备工作应在2012年开始，而且，这个问题应列入大会第六十六届会议议程。根据这封信所载的提议，建议大会第六十八届会议在2013年举行一次特别全体会议，纪念通过 《巴黎原则》二十周年，并建议大会在其关于促进和保护人权国家机构的两年度决议中包括这方面的规定。","(a) 第二十四届年度会议","64. 国际协调委员会第二十四届年度会议于2011年5月17日至19日在日内瓦举行。会议议程包括国家人权机构执行普遍定期审议的建议的最佳做法；国家人权机构与条约机构的协作；国家人权机构与土著人民的权利；国家人权机构在保护妇女权利方面的作用；德班审查会议的后续行动；人权教育；以及工商业与人权。出席会议的有来自80多个国家的国家人权机构的成员，以及政府官员、民间社会组织、学者和政府间组织。","(b) 主席团会议","65. 2011年5月16日,国际协调委员会主席团会议在日内瓦举行。主席团成员讨论了国际协调委员会在人权理事会第十七届会议上关于通过《儿童权利公约任择议定书草案》的发言稿，以及在残疾人权利公约缔约国会议上的发言稿。主席团还核可关于国际协调委员会下一次两年度会议应重点关心性别平等及妇女和女童的建议。","66. 主席团成员决定设立一个工作组，由四个区域的代表组成，讨论国家人权机构参与联合国机构的工作问题。此外，主席团成员同意支持通过一项强调 《巴黎原则》以及国家人权机构参与联合国机构工作的大会决议，并支持在人权理事会第十七届会议上通过一项关于国家人权机构的决议。","2． 资格认证小组委员会","67. 人权高专办向2011年5月23日至27日在日内瓦举行的资格认证小组委员会会议提供秘书处支助。小组委员会审议了下列20个国家人权机构的新的资格认证：孟加拉国、匈牙利、塞拉利昂和瑞典； 重新认证：澳大利亚、奥地利、加拿大、萨尔瓦多、印度、毛里塔尼亚、纳米比亚、新西兰、尼加拉瓜、挪威、塞内加尔、罗马尼亚和大不列颠及北爱尔兰联合王国；延后：阿塞拜疆、尼日利亚和斯洛伐克。","三. 联合国人权机制与国家人权机构之间的合作","68． 国家人权机构与国际和区域人权机制合作是《巴黎原则》的一个关键要求。人权高专办继续协助国家人权机构与条约机构和人权理事会进行互动，包括普遍定期审议和特别程序。人权高专办在这方面的工作是与国际协调委员会主席和驻日内瓦代表协调开展的。","69． 在报告所述期间，人权高专办继续支持和促进国际协调委员会参与旨在加强国际人权机制的具有里程碑意义的过程，如人权理事会审查和条约机构改革等。","A. 人权理事会","70. 国际协调委员会积极参与人权理事会审查，使得A级国家人权机构有更多机会参与人权理事会的工作。2011年3月25日，人权理事会通过关于人权理事会的工作和运作的审查结果(第16/21号决议，附件)，该结果包括A级国家人权机构参与普遍定期审议和特别程序的机制并与它们互动的规定(见下文各节)。","71. 2011年，人权高专办与国际协调委员会驻日内瓦代表合作，继续支持国家人权机构参与人权理事会工作。在人权理事会第十六届会议期间(2011年2月28日至 3月25日)，提交了8份书面发言：6份来自A级国家人权机构(波斯尼亚和黑塞哥维那、格鲁吉亚、马来西亚、摩洛哥、尼加拉瓜和乌克兰)，两份来自国家人权机构区域网络(非洲伙伴关系论坛和非洲国家人权机构网络)。在理事会第十七届会议(2011年5月30日 至 6月17日)上，提交了3份书面发言：1份来自国际协调委员会，1份来自联合王国国家人权机构，1份来自大韩民国国家人权机构。","72. 2011年3月9日，在第十六届人权理事会会议的间隙，人权高专办与摩洛哥国家人权理事会合作，组织了一次会外活动，讨论真相与和解委员会的建议的执行情况(2011年3月9日，日内瓦)。","73． 2011年6月16日，人权理事会协商一致通过关于促进和保护人权国家机构的第17/9号决议。","1． 普遍定期审议","74. 人权高专办继续协助国家人权机构与普遍定期审议机制进行互动。2011年，在普遍定期审议第10次(2月)、第11次(5月)和第12次(10月)会议期间，以下19个国家的国家人权机构向普遍定期审议机制的利益攸关方报告提供了资料：第10次会议：奥地利、澳大利亚(A级)、格鲁吉亚(A级)、纳米比亚(A级)、尼泊尔(A级)、尼日尔和巴拉圭(A级)；第11次会议：丹麦(A级)、希腊(A级)、塞拉利昂、索马里/索马里兰；第12次会议：海地、爱尔兰(A级)、摩尔多瓦共和国、斯威士兰、泰国(A级)、多哥(A级)、乌干达(A级)和坦桑尼亚联合共和国(A级)。","75. 2011年3月，人权理事会规定了以下A级国家人权机构的参与权：(a) 受审议国的国家人权机构提交的资料应作为单独一节列入利益攸关方的报告；(b) 受审议国的国家人权机构有权在理事会全体会议通过审议结果时在受审议国发言之后立即发言(见第16/21号决议，附件，第9和第13段)。","2． 特别程序","76. 2011年3月，人权理事会规定A级国家人权机构有权提名特别程序任务执行人的候选人，并在互动对话期间有权在特别程序任务执行人介绍某个国别任务报告之后紧接着有关国家发言(同上，附件，第22(a)和第28段)。","B. 条约机构","77. 在报告所述期间，人权高专办继续协助国家人权机构通过提供资料和参加会议参与条约机构会议的工作。2011年7月11日，国际协调委员会主席和丹麦、埃塞俄比亚、法国以及德国的国家人权机构参加了由人权事务委员会举办的一次会议，讨论如何改善与国家人权机构的合作问题。","78. 人权高专办编写了一份情况说明，向希望接触条约机构系统的国家人权机构提供实用资料，包括国家人权机构与条约机构互动的各种机会，以及各条约机构与国家人权机构的参与有关的工作方法和议事规则。","四. 联合国人权事务高级专员办事处、联合国系统各机构、基金和方案以及国家人权机构国际和区域组织之间的合作","79. 国家人权机构与联合国和联合国系统各机构、基金和方案的合作是《巴黎原则》的一个关键要求。2008年，大会鼓励联合国所有人权机制以及各机构、基金和方案在各自任务授权范围内与会员国和国家机构合作促进和保护人权。在这方面，大会欢迎人权高专办为发展支持国家机构的伙伴关系作出的努力。","80. 在报告所述期间，人权高专办侧重于发展联合国的援助，包括通过2011年3月的换文，使国际协调委员会、人权高专办和开发署之间的三方协作正规化。三方协作的合作领域除其他外，包括加强国家人权机构和区域网络的作用，以及便利和支持联合国各机构、基金和方案与国家人权机构接触。","81. 联合国开发计划署、人权高专办和国际协调委员会于2011年2月在纽约举行了一次会议。它们在会上决定通过换文进入三方伙伴关系。这个伙伴关系的关键要素包括：就国家人权机构的建立、发展与效力建立开发署-人权高专办-国际协调委员会年度战略审查；与联合国各人权机制接触；国家人权机构联合能力评估和差距分析联合项目；就专题问题进行接触；信息和知识管理。首次战略审查年会将于2011年8月底举行。","A. 阿拉伯-欧洲酷刑与法治问题人权对话","82. 高专办参加了2011年5月11日至13日在柏林举行的第六届阿拉伯-欧洲酷刑与法治问题人权对话。","B. 地中海监察员协会","83. 高专办作为观察员出席了2011年5月30日和31日在马耳他圣朱利安举行的主题为“监察员加强善政和民主的作用”的地中海监察员协会第五届会议。在发言中，人权高专办向与会者介绍了大会关于监察员、调解员和其他国家人权机构在促进和保护人权方面的作用的第65/207号决议。大会在决议中欢迎高专办积极出席监察员，调解员和其他国家人权机构的所有国际和区域会议，并请国际协调委员会与人权高专办合作，给予他们资格认证，以便能够与联合国系统的相关人权机构有效互动。","C. 伊比利亚-美洲监察员联合会","84. 高专办参加了伊比利亚-美洲监察员联合会年会。来自拉丁美洲、葡萄牙和西班牙的国家人权机构和监察员机构出席了2011年6月1日至3日在西班牙阿尔卡拉德艾那雷斯举行的这次会议。与会者除其他外，讨论了监察员(Defensorias del Pueblo)在促进和保护人权、千年发展目标与国家人权机构方面的当前和未来挑战；促进人权与国家人权机构的报告；国家人权机构在实施经济、社会和文化权利中的作用；国家人权机构与国际人权机制；以及国家人权机构与弱势群体的保护。","五. 与非政府组织和学术机构的合作","85. 高专办努力促进非政府组织参与国际协调委员会及其各资格认证小组委员会的活动。2010年10月7日，在第十届国家人权机构国际会议(联合王国爱丁堡)之前举办了一个非政府组织论坛(见A/HRC/16/76，第70段)。2011年5月，来自世界各地民间社会组织的50名成员出席了国际协调委员会年会(日内瓦)。年会后举行的资格认证小组委员会会议得益于来自奥地利、印度和毛里塔尼亚的非政府组织收到的意见。","六. 专题问题","A. 土著人民","86. 高专办和亚洲-太平洋国家人权机构论坛正在编制一本题为“联合国土著人民权利宣言：国家人权机构的业务指南”的联合出版物，旨在支持和加强国家人权机构保护和促进土著人民权利的工作。","87. 2011年7月11日，与联合国土著人民权利专家机制第四次会议一道，在日内瓦举办了一次国家人权机构协商。这次协商的主要目的是交流可纳入指南的促进土著人民权利的良好做法。","B. 国家人权机构的历史、原则、作用和职责","88. 在报告所述期间，高专办推出题为“国家人权机构的历史、原则、作用和职责”的第4号人权高专办专业培训系列的最新版本。在1995年版本的基础上，这个出版物概述了与建立和加强独立的国家人权机构有关的当前主要议题，包括这些机构在国家促进和保护人权制度中扮演的角色及其与国际人权体系的互动。这个出版物还涵盖了这一领域的最新国际发展，如最近的大会决议和国际协调委员会提供的材料。","C. 联邦国家内的国家人权机构","89. 在国际协调委员会第二十四届年会的间隙，人权高专办举办了一次关于联邦国家内国家人权机构的会外活动。与会者讨论了这类国家的特殊性(包括权力下放和地方自治)以及联邦治理制度国家内国家人权机构的优势和挑战。","七. 结论","90. 遵守《巴黎原则》是确保国家人权机构的有效性、独立、自主性和多元化的一个关键要求。国家机构以及各国政府、议会及其他相关利益攸关方应采取一切必要措施，确保国家人权机构按照《巴黎原则》持续运作。还鼓励监察员机构和调解员按照这些原则行事，并争取国际协调委员会给予资格认证。","91. 欢迎在没有这种机构的国家设立遵守《巴黎原则》国家人权机构。在成立前阶段遵守《巴黎原则》，是确保新机构的独立性和合法性的关键。建议在起草国家人权机构的授权立法时，与民间社会组织开展广泛和参与性的协商进程。","92. 强烈建议在任命国家人权机构成员时特别注意《巴黎原则》。鼓励会员国和国家人权机构促进透明的任命过程，并确保参与促进和保护人权的民间社会组织的多元代表性。","93. 作为国家人权系统的关键部分，鼓励国家人权机构与该系统其他部门，即行政部门、司法部门、议会、民间社会、媒体和学术界合作。","94. 鼓励联合国国家工作队的机构间联合方案支持国家人权机构，并鼓励国家、区域和国际合作伙伴参加这些方案。欢迎建立开发署-人权高专办-国际协调委员会国家人权机构相关活动年度战略审查。","95. 建议国家以下各级人权机构与联邦国家人权机构合作，以确保在全国各地平等保护所有人权。大力鼓励国家以下各级人权机构与国际人权体系，包括普遍定期审查、各条约机构和特别程序开展互动。","96. 通过关于审查人权理事会的工作和运作的第16/21号决议，理事会加强了A级国家人权机构在普遍定期审议和特别程序中的作用。","97. 鼓励国家人权机构在人权理事会普遍定期审查第二个周期中(2012-2016年)发挥积极的作用。 鼓励A级国家人权机构利用人权理事会第16/21号决议所阐明的参与权。","98. 欢迎通过关于按照《巴黎原则》在加勒比设立国家人权机构的《西班牙港宣言》。鼓励其他次区域采取类似举措。","99. 欢迎欧洲国家人权机构集团决定成立一个常设秘书处。该秘书处将合并区域构架，预计会对在欧洲各地按照《巴黎原则》设立和加强国家人权机构产生积极的影响。","附件","按照《巴黎原则》在加勒比设立国家人权机构区域讲习班","2011年3月21日至23日，特立尼达和多巴哥西班牙港","西班牙港宣言","按照《联合国宪章》和《世界人权宣言》，联合国人权事务高级专员办事处和英联邦秘书处在联合国特立尼达和多巴哥国家工作队的支持下，于2011年3月21日至23日在特立尼达和多巴哥西班牙港举办了为期三天的按照《巴黎原则》在加勒比设立国家人权机构区域讲习班。","与会者来自加勒比英语国家安提瓜和巴布达、巴哈马、巴巴多斯、伯利兹、百慕大、多米尼克、格林纳达、牙买加、圣基茨和尼维斯、圣卢西亚、苏里南、特里尼达和多巴哥。联合国巴巴多斯国家工作队和特立尼达和多巴哥国家工作队的代表出席了讲习班：","• 表示赞赏特立尼达和多巴哥政府主办按照《巴黎原则》在加勒比设立国家人权机构区域讲习班，特别赞赏总检察长Anand Ramlogan阁下正式主持讲习班开幕仪式。","• 表示赞赏联合国人权事务高级专员办事处和英联邦秘书处共同举办这次区域讲习班。","• 确认联合国特立尼达和多巴哥代理驻地协调员办公室以及来自菲律宾和加拿大的国家人权机构代表作为专家参加讲习班。","• 强调必须使各国政府、议会和其他相关国家利益攸关方敏锐认识到设立国家人权机构的价值和好处。","• 认识到必须在现有人权框架的基础上，按照《巴黎原则》创建加勒比的国家人权机构模式。","• 强调国家人权机构包括监察机构必须使人权价值观成为日常生活和语言的一部分。","• 强调国家人权机构包括监察机构作为加强促进和保护人权的关键行为体的相关性。","• 认识到民间社会行为体对保护和促进人权的作用和领导。","• 认识到国家人权机构，包括监察员机构在使人人都了解和行使其人权方面的作用。","• 确认对设立和加强国家人权机构、其历史和法律背景、国家人权机构必须遵守的最低标准以及国家人权机构的核心功能、主要特点和运作方法的全面概述和讨论。","• 认识到必须采取必要的措施，以便按照《巴黎原则》设立国家人权机构，并争取促进和保护人权国家机构国际协调委员会给予资格认证。","• 确认遵守《巴黎原则》的国家人权机构可以通过与包括人权理事会，条约机构和特别程序在内的国际人权机制开展互动，在国际上发挥重大作用。","• 欢迎讲习班切实注重与设立符合《巴黎原则》的国家人权机构相关的专长和经验分享。","• 认识到，虽然加勒比国家在设立国家人权机构方面有独特的挑战，但联合国人权事务高级专员办事处、联合国开发计划署、联合国其他机构、国际协调委员会以及英联邦秘书处可以应会员国的请求，在设立国家人权机构方面提供援助和支持。","2011年3月23日，特立尼达和多巴哥西班牙港","[1] ^(*) A/66/150。","[2] 欧洲国家人权机构小组、美洲促进和保护人权国家机构网络、亚洲太平洋国家人权机构论坛和非洲国家人权机构网络。"],"string":"[\n \"第六十六届会议\",\n \"临时议程[1] 项目69(b)\",\n \"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径\",\n \"促进和保护人权国家机构\",\n \"秘书长的报告\",\n \"摘要 本报告涵盖2010年9月至2011年9月期间，内载联合国人权事务高级专员办事处为设立和加强国家人权机构所开展活动的资料；政府和国家人权机构在此方面采取的措施；向国家人权机构的国际和区域活动提供的支持；与联合国系统其他机构、基金和方案一道提供的与国家人权机构相关的技术援助；国家人权机构与国际机制之间促进和保护人权方面的合作。本报告还载有国家人权机构在特定专题方面所从事工作的相关资料。 \\n本报告补充秘书长2011年2月7日向人权理事会提交的涵盖2010年1月至12月期间活动的报告(A/HRC/16/76)。\",\n \"一. 导言\",\n \"1. 本报告根据大会第64/161号决议提交，大会在该决议中请秘书长向大会第六十六届会议报告该决议执行情况。本报告涵盖2010年9月至2011年9月期间的活动，并补充秘书长2011年2月7日向人权理事会提交的涵盖2010年1月至12月期间活动的报告(A/HRC/16/76)。\",\n \"2. 大会第64/161号决议确认，有众多行为方参与设立和加强国家人权机构。大会鼓励国家人权机构与各类行为方开展合作，这些行为方包括联合国，尤其包括人权事务高级专员办事处(人权高专办)、促进和保护人权国家机构国际协调委员会(国际协调委员会)、区域国家人权机构网络[2] 以及区域和国际监察员协会。大会在同一决议中还欢迎高级专员努力发展伙伴关系以支持国家机构，并鼓励联合国所有人权机制以及各机构、基金和方案，在各自任务授权范围内与会员国和国家机构合作。在这众多行为方中，会员国在设立和加强国家人权机构方面应发挥突出作用。在这方面，大会第64/161号决议还鼓励会员国设立有效、独立和多元化的国家机构。\",\n \"3. 本报告旨在概述上列行为方在设立和加强独立的国家人权机构方面所发挥的作用。本报告还说明国家、区域和国际三级迄今为止已建立的伙伴关系和其他合作安排。\",\n \"二. 联合国人权事务高级专员办事处与国家人权机构\",\n \"4. 向国家人权机构提供支助并与其开展外联是人权高专办任务的组成部分。高级专员在国际协调委员会第二十四届年会(2011年5月17日,日内瓦)上的介绍性发言中重申，国家人权机构是人权高专办至关重要的伙伴，因为这些机构在国家人权保护系统中，尤其是在解决国家一级最紧迫人权问题方面，处于中心位置。\",\n \"5. 人权高专办通过国家机构和区域机制科继续为设立和加强国家人权机构提供法律和技术支助。人权高专办通过向国际协调委员会本身及其资格认证小组委员会提供秘书处服务，继续发展与该委员会的长期关系。\",\n \"6. 大会曾指出，人权高专办在国家人权机构方面的作用仍是一项进行中的工作。因此，大会鼓励高级专员进一步扩大支助这些机构的活动(第64/161号决议，第13段）。2011年，除人权高专办在支助国家人权机构方面的长期任务外，大会还请该办事处发展和支助与监察员和调解员这两个具体机构类别相关的活动(见第65/207号决议，第5段)。\",\n \"A. 人权高专办提供的有关国家人权机构的咨询服务\",\n \"7. 人权高专办主要通过国家机构和区域机制科在国家、区域和国际三级发挥加强国家人权机构的作用。该科协同包括实地人员在内的人权高专办其他部门开展工作。人权高专办继续在设立和加强机构方面提供咨询意见和援助，其途径包括其国家和区域办事处、人权咨询顾问和联合国和平特派团的人权部门，也包括与联合国开发计划署(开发署)和国家人权机构区域协调机构等其他联合国伙伴开展协作。人权高专办还与政府间组织、学术机构和民间社会组织密切合作。\",\n \"8. 人权高专办向国家人权机构和其他国家利益攸关方提供法律和技术援助。提供的咨询意见涉及国家人权机构及其性质、职能、权利和责任方面的宪法和法律规定。此外还派遣比较分析、技术合作需求评估、方案制定和评价等方面的工作团，协助机构遵守关于促进和保护人权国家机构的地位的原则(《巴黎原则》)(见大会第48/134号决议，附件)。\",\n \"9. 人权高专办继续举办“A级”国家人权机构工作人员助研金方案。在本报告所述期间，下列各国的机构工作人员参加了该方案：埃及、印度、卡塔尔、尼加拉瓜、秘鲁、乌干达和大不列颠及北爱尔兰联合王国。助研金方案的目标是使世界各国的国家人权机构工作人员更好地了解和领会国际人权系统。通过这种经历，研究员增加了有关联合国人权系统，包括条约机构系统、人权理事会、普遍定期审议和特别程序的知识和实际工作经验。他们还熟悉人权高专办与国家人权机构开展的和为这些机构开展的工作，并熟悉与国家人权机构相关的技术和实务问题。人权高专办和国家机构双方都从助研金方案中受益，包括获得实务知识以及在国家人权机构内工作的经验。\",\n \"1. 美洲和加勒比\",\n \"10. 人权高专办南美洲办事处举办了两次讲习班，以进一步建设智利国家人权研究所的能力。讲习班的主要内容是人权指标(2011年4月11日至12日)和如何向人权条约机构报告(2011年5月20日)。\",\n \"11. 2011年4月18日和19日，人权高专办通过其南美洲区域办事处为秘鲁的国家人权机构(人民监察员)组织了关于人权指标的培训活动。该培训活动的对象包括30多名国家人权机构工作人员，具体重点是经济、社会和文化权利。讲习班的目标是更好地将人权指标纳入国家人权机构的分析和报告。\",\n \"12. 2011年4月20日，人权高专办南美区域办事处与秘鲁的国家人权机构共同组织了一次土著居民培训活动。培训的目标是增加关于《联合国土著人民权利宣言》和国际人权机制的知识和认识，包括深入认知土著居民和民间社会如何才能成功运用联合国机制。这次培训活动的对象包括30个秘鲁土著和民间社会组织。\",\n \"13. 在厄瓜多尔任命国家人权机构(人民监察员机构)负责人的过程中，人权高专办为提高对国际标准的认识提供支助。人权高专办的支助包括2011年6月举办一次培训活动，对象是共同参与和社会控制理事会这个负责遴选监察员的机构的成员。\",\n \"14. 联合国人权事务高级专员在访问墨西哥期间(2011年7月3日至9日)会晤了国家人权委员会主席，以商讨人权指标、人权维护者、迁徙工人权利和最近的宪法改革等领域的进一步合作。访问期间，高级专员还与包含32个国家以下各级人权委员会的墨西哥人权公共机构联合会举行了会议。\",\n \"15. 2011年9月，人权高专办南美洲区域办事处与阿根廷的国家人权机构(国家人民监察员机构)共同举办了一次民间社会和土著组织成员培训活动。此活动在该国两个地区进行，重点是介绍土著人民权利和国际人权机制。\",\n \"16. 在本报告所述期间，人权高专办南美洲区域办事处与乌拉圭国会议员和政府官员就该国设立国家人权机构一事举行了会谈。人权高专办重点指出了确保机构独立性与自主性、充分供资和专员遴选过程的重要性。\",\n \"17. 在本报告所述期间，人权高专办继续支助智利努力设立符合《巴黎原则》的国家人权机构。人权高专办南美洲区域办事处为参议院代表举行了信息介绍会，散发了关于国家人权机构和《巴黎原则》的概况资料。人权高专办向议会全体成员发去一封信，提请其注意普遍定期审议关于设立国家人权机构的建议。\",\n \"18. 在本报告所述期间，人权高专办南美洲区域办事处与委内瑞拉玻利瓦尔共和国的国家人权机构进行联络活动，以使该机构更多参与保护权利和被剥夺自由的人士，并使其更多参与向普遍定期审议呈交报告。人权高专办为监察员机构工作人员提供了有关普遍定期审议的培训(A/HRC/16/76，第14段)。\",\n \"19. 人权高专办、开发署、法语国家国际组织和公民保护署(保护署)制订了加强保护署的三年联合全球战略。该战略将于2011年至2013年期间实施。作为该项目的一部分，为协助保护署执行其任务征聘了一名咨询顾问。\",\n \"2. 非洲\",\n \"20. 2011年1月5日布隆迪通过设立独立国家人权委员会的法案。此后，联合国布隆迪办事处于2011年3月在鲁塔纳、基特加和布琼布拉举行了磋商活动。该活动旨在提高民间社会组织对新法律的认识，并确保遴选和任命委员会成员的过程具有透明度。2011年5月19日，国民议会任命了七名委员会成员和主席团成员。\",\n \"21. 人权高专办与联合国国家工作队在尼日尔共同举行磋商活动，以提高对设立新国家人权机构一事的认识。2011年7月6日至8日，与政府各部举行了一次磋商活动。7月4日至6日，在塔瓦举办了一次民间社会组织讲习班。\",\n \"22. 2011年1月，利比里亚独立国家人权委员会获得新办公室。该委员会正式成立于2010年10月。联合国驻利比里亚特派团人权和保护科与该委员会领导层开展互动，就委员会2011年工作计划以及议事棚项目提供咨询意见。该工作计划包含提交给总统的全国和解路线图。委员会与人权和保护科商定了两名国家咨询顾问的工作任务，请他们编制一项战略计划和内部议事规则。2011年5月20日，人权和保护科与该国家委员会以半天时间举办一次讲习班，讨论了两个实体的任务、组织结构图和行动计划，并讨论了委员会与该科间的合作。\",\n \"23. 在本报告所述期间，人权高专办东非区域办事处向坦桑尼亚联合共和国人权和善治委员会提供支助，包括进行培训和论证活动，以向普遍定期审议提交利益攸关方呈件。人权高专办还参与坦桑尼亚联合共和国制定全国人权行动计划的工作。人权和善治委员会是该项工作的领导者之一。\",\n \"24. 2011年6月22日至24日，人权高专办支助纳米比亚、南非、赞比亚和津巴布韦的国家人权机构出席了人权高专办在比勒陀利亚举办的消除种族歧视委员会结论性意见后续行动次区域讨论会。\",\n \"25. 津巴布韦人权委员会于2010年任命其成员，目前尚未正式运作。人权高专办就设立津巴布韦人权委员会的法律提案提供了实质性意见。人权高专办和开发署征聘一名任期六个月的咨询顾问，负责向该委员会成员提供技术和能力支助。人权高专办和开发署还与国家各种利益攸关方举行建设能力和提高认识会议，以根据《巴黎原则》推动津巴布韦人权委员会的设立和运作。该委员会副主席应邀出席了人权高专办在比勒陀利亚举办的上述区域讨论会。\",\n \"26. 人权高专办就任命津巴布韦未来国家人权机构中民间社会成员规则的各种草案提供了意见。人权高专办与联合国国家工作队密切合作，向谋求设立国家人权机构的该国政府和民间社会提供了技术和咨询服务。\",\n \"27. 2011年8月，人权高专办支助在南苏丹征聘一名咨询顾问，负责向人权委员会提供技术知识和增强委员会工作人员的能力。\",\n \"28. 人权高专办继续通过反歧视举措与南非人权委员会密切合作。该举措于2010年11月启动，由人权高专办提供资金。人权高专办定期与南非人权委员会举行磋商，以监督该项目的执行情况。该项目旨在增强委员会处理非国民的人权问题和反对仇外心理及歧视的能力。\",\n \"29. 人权高专办南部非洲区域办事处与该区域的联合国国家工作队密切合作，推进设立和加强科摩罗和塞舌尔的国家人权机构。\",\n \"30. 在本报告所述期间，人权高专办支助埃塞俄比亚人权委员会编制了国家人权行动计划。人权高专办东非区域办事处向该委员会提供了咨询意见，以促进与联合国条约机构的互动，即人权事务委员会和消除对妇女歧视委员会即将对埃塞俄比亚进行的审查。2011年8月，人权高专办、开发署和非洲国家人权机构网络对埃塞俄比亚人权委员会进行差距分析以评估其能力。人权高专办还就国际协调委员会的资格认证程序提供咨询意见，并向工作人员和委员会成员提供关于《巴黎原则》的培训。\",\n \"31. 在本报告所述期间，人权高专办东非区域办事处向吉布提国家人权委员会提供支助，确保其参加消除对妇女歧视委员会对吉布提执行普遍定期审议建议三年联合方案的审查活动。\",\n \"32. 2010年最后三个月，人权高专办就中非共和国设立国家人权机构开展了能力建设活动(见A/HRC/16/76，第26段)。\",\n \"3. 亚洲和太平洋\",\n \"33. 2010年最后三个月，人权高专办与开发署和国家人权机构亚太论坛共同对约旦和泰国的国家人权机构进行了能力评估(同上，第31段)。\",\n \"4. 欧洲和中亚\",\n \"34. 人权高专办应挪威人权中心的邀请，参加了2011年1月11日在奥斯陆举行的一次讨论，题为“挪威国家人权机构：我们前进的方向?”，该会议是关于改组挪威人权中心的全国协商过程的组成部分，民间社会团体的代表和挪威外交部的工作人员出席了会议。人权高专办就挪威国家人权机构的改组，以及重新获取国际协调委员会资格认证的问题提供了技术援助和咨询。\",\n \"35. 在访问俄罗斯联邦期间，联合国人权事务高级专员于2011年2月18日在圣彼得堡举行的俄罗斯联邦国家以下各级监察员协调理事会年会上发言。她指出，人权高专办将高度优先重视按照有关的国际标准建立和支助国家人权机构和监察员办公室。特别是，人权高专办可以分享关于监察机构在法治、拘留条件和安全部门改革方面作用的专业知识。高级专员鼓励与会者加强与联合国条约机构和人权理事会特别程序机制的联络。高级专员呼吁联邦监察员为国家以下各级机构创建与人权理事会互动的空间。她还呼吁它们参与通过国际协调委员会进行的国际协调和交流，并从中受益。\",\n \"36． 2011年3月，人权高专办提供了关于塞尔维亚《国民议会议事规则》的评论意见。这些意见集中于规范监察员与议会之间关系的条款，尤其是关于国家人权机构向国民议会提交报告的监督和审议机制。国民议会在修订上述《议事规则》时，审议了人权高专办的意见。人权高专办和国家工作队继续与国民议会和塞尔维亚监察员密切合作，以加强这两个国家机构之间的关系。\",\n \"37． 2011年6月，在正式启动了加强塔吉克斯坦国家人权机构能力的联合国联合技术援助方案。除了监察机构之外，以下机构计划也参与了该方案：人权高专办、开发署、联合国促进性别平等和增强妇女权能署(妇女署)、联合国难民事务高级专员办事处、联合国儿童基金会、国际移民组织、联合国人口基金、国际劳工组织和联合国艾滋病规划署。该方案旨在加强塔吉克斯坦国家人权机构的能力，以便处理投诉，开展教育和公众宣传活动，并改善其与主要国家行为者和民间社会组织的伙伴关系，从而促进人权政策和法规的改革。\",\n \"38． 2011年7月，根据立陶宛司法部和共和国议会监察员的请求，人权高专办提供了关于《立陶宛议会监察员法》的意见。另外，2011年7月12日，人权高专办参加了在维尔纽斯由立陶宛总统和司法部组织的关于建立一个国家人权机构的协商会议。\",\n \"39． 人权高专办与摩尔多瓦共和国政府官员合作，讨论摩尔多瓦共和国B 级国家人权机构现行立法的修正提案，重点放在有关监察员的聘任程序和甄选等方面。人权高专办驻摩尔多瓦共和国的人权顾问和人权高专办的欧洲区域代表就该问题与一系列官员接触，包括司法部官员和主要议员。此外，联合国人权事务高级专员致函该国政府，敦促迅速采取行动，改善国家人权机构，以便申请国际协调委员会的资格再认证。\",\n \"40． 人权高专办驻摩尔多瓦共和国的人权顾问通过各种方式向国家人权机构提供支助，包括关于普遍定期审议和弱智人士的监督机构的训练，加强该机构的图书馆，制订国家人权机构的战略规划。人权高专办的人权顾问参加了一个由开发署与欧盟委员会组成的关于加强国家人权机构项目的理事会。\",\n \"41． 人权事务高级专员办事处协助加强克罗地亚、荷兰、挪威、匈牙利、立陶宛和斯洛伐克的国家人权基础设施。人权高专办提供了咨询意见，包括对立法的意见，并提请各国政府、国家人权机构和其他参与这些过程的利益攸关方注意确保通过多元和参与性协商开展真正对话的重要性。\",\n \"42． 人权高专办驻塞尔维亚的人权顾问与塞尔维亚监察员办公室密切合作，加强该机构在保护和促进人权方面的工作。人权高专办的支助包括编写一份全面报告，说明罗姆人的人权状况，以及该国为罗姆人融入社会采取的措施的有效性。该报告及其向塞尔维亚政府提出的建议预计将在2012年初提交国民议会。\",\n \"43． 人权高专办驻前南斯拉夫的马其顿共和国的人权顾问协助监察员办公室申请国际协调委员会的资格认证。\",\n \"44． 人权高专办在2010年的最后三个月，协助塞尔维亚和荷兰的国家人权机构加强它们的能力(同上，第39和40段)。\",\n \"5． 中东和北非\",\n \"45． 人权高专办、开发署和国家人权机构亚太论坛向巴勒斯坦国家人权机构(2011年2月6日至8日和2011年4月3日至15日)和阿富汗国家人权机构(2011年5月13日至26日)的能力评估提供了支助。能力评估包括采访机构的工作人员以及其他利益攸关方。\",\n \"46． 在报告所述期间，人权高专办就在突尼斯和沙特阿拉伯设立国家人权机构的立法草案问题提供了法律意见。\",\n \"47． 人权高专办在阿曼组织了一个关于《巴黎原则》的研讨会(见A/HRC/16/76，第30段)。\",\n \"B. 支持与国家人权机构有关的区域举措\",\n \"1． 美洲和加勒比\",\n \"48． 人权高专办与英联邦秘书处合作，举办了关于如何按照《巴黎原则》为加勒比地区建立国家人权机构问题的一个区域讲习班。讲习班于2011年3月21日至23日在西班牙港举行。本次讲习班旨在根据最近在加勒比地区的人权发展情况，包括通过人权理事会的普遍定期审议过程，建立和加强加勒比国家的国家人权保护制度，以便在中短期内建立国家人权机构。来自12个加勒比英语国家的国会议员、监察机构和政府官员包括总检察长出席了研讨会。巴巴多斯的联合国国家工作队和东加勒比国家组织的代表也参加了这项活动。该讲习班通过了《西班牙港宣言》(见附件)。\",\n \"49． 在国际协调委员会第二十四届年度会议的间隙，美洲促进和保护人权国家机构网络举行了一次会议，讨论其2011年至2012年的工作计划。与会者讨论了为该区域国家人权机构的工作人员制订一个永久的能力建设方案，并成立一个美洲网络咨询委员会。与会者同意建立一个美洲网络的网站，并商定在危地马拉举行下一届2011年区域年度会议。\",\n \"2． 非洲\",\n \"50． 联合国开发计划署、人权高专办和非洲国家人权机构网络于2011年5月21日在日内瓦举行会议，讨论合作和支助问题，其中包括确定差距分析的方法，以及协助制订和验证该网络的战略计划。\",\n \"51． 人权高专办作为协助单位参加非洲国家人权机构的培训方案(2011年5月30日至6月8日，阿克拉)，该研讨会是由拉乌尔·沃伦贝格人权和人道主义法研究所、隆德大学和非洲国家人权机构网络举办。培训的主要目的是加强国家人权机构工作人员关于《巴黎原则》的能力和知识。参与者是来自大约26个国家人权机构的工作人员，包括调查人员、培训人员、法律人员、行政人员和管理人员，来自埃塞俄比亚、加纳、肯尼亚、马拉维、纳米比亚、尼日利亚、卢旺达、塞拉利昂、南非、乌干达、坦桑尼亚联合共和国和赞比亚。\",\n \"3． 亚洲和太平洋\",\n \"52． 2011年3月28日至30日，国家人权机构亚太论坛、开发署和人权高专办在曼谷举办关于亚太地区国家人权机构的能力评估的培训讲习班。人权高专办支助设在肯尼亚的非洲国家人权机构网络秘书处的一名代表参加这次讲习班，以促进在亚太区域和非洲的两个国家人权机构网络有效交流能力评估的经验和良好做法。\",\n \"4． 欧洲和中亚\",\n \"53． 人权高专办协助国家人权机构欧洲集团建立其常设秘书处。人权高专办支持2011年2月21日在日内瓦举行一次会议，旨在确定设立常设秘书处的具体步骤。会议聚集了来自13个欧洲国家人权机构的代表，以及国家人权机构亚太论坛和非洲国家人权机构网络常设秘书处的代表。出席这次会议的还有常驻日内瓦代表团和区域机制，如基本权利机构、欧洲安全与合作组织(欧安组织)、民主制度和人权办事处，以及欧洲委员会的代表。该会议的主要成果之一是与会者一致表示支持这项举措。\",\n \"54. 人权高专办参加了2011年3月28日和29日在布拉格举行的一次研讨会，讨论国家人权机构在促进和保护妇女权利和性别平等方面的作用。这次研讨会是由欧安组织和民主制度和人权办事处为来自东欧国家的国家人权机构举办的。\",\n \"55. 人权高专办参加了2011年4月5日在维也纳举行的欧盟基本权利机构与国家人权机构的第四次年度会议。人权高专办在发言中重点谈到国家人权机构在欧洲的各种不同状况，以及人权机构与平等机构合并，或强调各类平等机构、人权机构与监察机构之间合作的趋势。它还强调建立一个国家人权机构欧洲集团常设秘书处的重要性。\",\n \"56． 人权高专办出席于4月14日和15日在维也纳举行的欧安组织人的方面问题补充会议。人权高专办根据最近对人权理事会工作方法的审查，包括发言权利、书面发言的分发和参与普遍定期审议等情况，分享了协助国家人权机构加强它们在人权理事会的作用的经验。\",\n \"57． 2011年5月17日，在国际协调委员会第二十四届年度会议的间隙，国家人权机构欧洲集团的成员举行了一次会议，讨论以下问题：欧洲集团设立常设秘书处；与欧洲基本权利机构、因特拉肯进程和欧安组织的协作；欧洲集团残疾人权利公约工作组；以及国家人权机构与平等机构(欧洲平等机构网络)。会上，欧洲集团选举苏格兰人权委员会为欧洲集团主席。法国、卢森堡和丹麦的国家人权机构代表被选为欧洲协调委员会成员。德国国家人权机构当选为国际协调委员会资格认证小组委员会的欧洲成员。\",\n \"58． 人权高专办参加了2011年7月13日和14日在维尔纽斯举行的欧安组织地区国家人权机构会议。这次会议是由欧安组织/民主制度和人权办事处和欧安组织当值主席(欧安组织主席)共同举办的。本次会议旨在促进监察机构、人权委员会、研究机构和其他与行政机关、司法机关、议会和民间社会合作的机制之间交流经验。\",\n \"59． 人权高专办于2010年10月4日和5日参加了在华沙举行的一次与欧洲委员会和民主制度和人权办事处的非正式机构间会议。人权高专办分享了在协助国家人权机构建立自己的立法框架和能力方面的经验。\",\n \"60． 2010年10月20日和21日，人权高专办参加了在萨格勒布举行的一次关于根据《禁止酷刑公约任择议定书》建立的国家预防机制的区域圆桌会议，这次会议是由开发署和克罗地亚监察员举办的。圆桌会议的重点是预防酷刑和国家人权机构的作用。\",\n \"5． 中东和北非\",\n \"61． 2011年4月27日和28日，联合国人权事务高级专员参加了在努瓦克肖特举行的阿拉伯国家的国家人权机构第七届年会，讨论国家人权机构在执行联合国条约机构的建议方面的作用。该会议由毛里塔尼亚的国家人权委员会主办，来自阿尔及利亚、埃及、约旦、毛里塔尼亚、卡塔尔和突尼斯的国家人权机构代表出席了该会议。与会者通过了《努瓦克肖特宣言》。\",\n \"C. 人权事务高级专员办事处为与国家人权机构有关的国际举措提供的支持\",\n \"1． 促进和保护人权国家机构国际协调委员会\",\n \"62. 人权高专办协助国际协调委员会开发和管理其网站(http://nhri.ohchr. org)，该网站于2011年开始运作，取代www.nhri.net。\",\n \"63. 2011年8月7日，人权高专办收到现任和即将上任的国际协调委员会主席的一封信，呼吁联合国在2013年举办纪念通过《巴黎原则》二十周年的活动。国际协调委员会认为，该活动的筹备工作应在2012年开始，而且，这个问题应列入大会第六十六届会议议程。根据这封信所载的提议，建议大会第六十八届会议在2013年举行一次特别全体会议，纪念通过 《巴黎原则》二十周年，并建议大会在其关于促进和保护人权国家机构的两年度决议中包括这方面的规定。\",\n \"(a) 第二十四届年度会议\",\n \"64. 国际协调委员会第二十四届年度会议于2011年5月17日至19日在日内瓦举行。会议议程包括国家人权机构执行普遍定期审议的建议的最佳做法；国家人权机构与条约机构的协作；国家人权机构与土著人民的权利；国家人权机构在保护妇女权利方面的作用；德班审查会议的后续行动；人权教育；以及工商业与人权。出席会议的有来自80多个国家的国家人权机构的成员，以及政府官员、民间社会组织、学者和政府间组织。\",\n \"(b) 主席团会议\",\n \"65. 2011年5月16日,国际协调委员会主席团会议在日内瓦举行。主席团成员讨论了国际协调委员会在人权理事会第十七届会议上关于通过《儿童权利公约任择议定书草案》的发言稿，以及在残疾人权利公约缔约国会议上的发言稿。主席团还核可关于国际协调委员会下一次两年度会议应重点关心性别平等及妇女和女童的建议。\",\n \"66. 主席团成员决定设立一个工作组，由四个区域的代表组成，讨论国家人权机构参与联合国机构的工作问题。此外，主席团成员同意支持通过一项强调 《巴黎原则》以及国家人权机构参与联合国机构工作的大会决议，并支持在人权理事会第十七届会议上通过一项关于国家人权机构的决议。\",\n \"2． 资格认证小组委员会\",\n \"67. 人权高专办向2011年5月23日至27日在日内瓦举行的资格认证小组委员会会议提供秘书处支助。小组委员会审议了下列20个国家人权机构的新的资格认证：孟加拉国、匈牙利、塞拉利昂和瑞典； 重新认证：澳大利亚、奥地利、加拿大、萨尔瓦多、印度、毛里塔尼亚、纳米比亚、新西兰、尼加拉瓜、挪威、塞内加尔、罗马尼亚和大不列颠及北爱尔兰联合王国；延后：阿塞拜疆、尼日利亚和斯洛伐克。\",\n \"三. 联合国人权机制与国家人权机构之间的合作\",\n \"68． 国家人权机构与国际和区域人权机制合作是《巴黎原则》的一个关键要求。人权高专办继续协助国家人权机构与条约机构和人权理事会进行互动，包括普遍定期审议和特别程序。人权高专办在这方面的工作是与国际协调委员会主席和驻日内瓦代表协调开展的。\",\n \"69． 在报告所述期间，人权高专办继续支持和促进国际协调委员会参与旨在加强国际人权机制的具有里程碑意义的过程，如人权理事会审查和条约机构改革等。\",\n \"A. 人权理事会\",\n \"70. 国际协调委员会积极参与人权理事会审查，使得A级国家人权机构有更多机会参与人权理事会的工作。2011年3月25日，人权理事会通过关于人权理事会的工作和运作的审查结果(第16/21号决议，附件)，该结果包括A级国家人权机构参与普遍定期审议和特别程序的机制并与它们互动的规定(见下文各节)。\",\n \"71. 2011年，人权高专办与国际协调委员会驻日内瓦代表合作，继续支持国家人权机构参与人权理事会工作。在人权理事会第十六届会议期间(2011年2月28日至 3月25日)，提交了8份书面发言：6份来自A级国家人权机构(波斯尼亚和黑塞哥维那、格鲁吉亚、马来西亚、摩洛哥、尼加拉瓜和乌克兰)，两份来自国家人权机构区域网络(非洲伙伴关系论坛和非洲国家人权机构网络)。在理事会第十七届会议(2011年5月30日 至 6月17日)上，提交了3份书面发言：1份来自国际协调委员会，1份来自联合王国国家人权机构，1份来自大韩民国国家人权机构。\",\n \"72. 2011年3月9日，在第十六届人权理事会会议的间隙，人权高专办与摩洛哥国家人权理事会合作，组织了一次会外活动，讨论真相与和解委员会的建议的执行情况(2011年3月9日，日内瓦)。\",\n \"73． 2011年6月16日，人权理事会协商一致通过关于促进和保护人权国家机构的第17/9号决议。\",\n \"1． 普遍定期审议\",\n \"74. 人权高专办继续协助国家人权机构与普遍定期审议机制进行互动。2011年，在普遍定期审议第10次(2月)、第11次(5月)和第12次(10月)会议期间，以下19个国家的国家人权机构向普遍定期审议机制的利益攸关方报告提供了资料：第10次会议：奥地利、澳大利亚(A级)、格鲁吉亚(A级)、纳米比亚(A级)、尼泊尔(A级)、尼日尔和巴拉圭(A级)；第11次会议：丹麦(A级)、希腊(A级)、塞拉利昂、索马里/索马里兰；第12次会议：海地、爱尔兰(A级)、摩尔多瓦共和国、斯威士兰、泰国(A级)、多哥(A级)、乌干达(A级)和坦桑尼亚联合共和国(A级)。\",\n \"75. 2011年3月，人权理事会规定了以下A级国家人权机构的参与权：(a) 受审议国的国家人权机构提交的资料应作为单独一节列入利益攸关方的报告；(b) 受审议国的国家人权机构有权在理事会全体会议通过审议结果时在受审议国发言之后立即发言(见第16/21号决议，附件，第9和第13段)。\",\n \"2． 特别程序\",\n \"76. 2011年3月，人权理事会规定A级国家人权机构有权提名特别程序任务执行人的候选人，并在互动对话期间有权在特别程序任务执行人介绍某个国别任务报告之后紧接着有关国家发言(同上，附件，第22(a)和第28段)。\",\n \"B. 条约机构\",\n \"77. 在报告所述期间，人权高专办继续协助国家人权机构通过提供资料和参加会议参与条约机构会议的工作。2011年7月11日，国际协调委员会主席和丹麦、埃塞俄比亚、法国以及德国的国家人权机构参加了由人权事务委员会举办的一次会议，讨论如何改善与国家人权机构的合作问题。\",\n \"78. 人权高专办编写了一份情况说明，向希望接触条约机构系统的国家人权机构提供实用资料，包括国家人权机构与条约机构互动的各种机会，以及各条约机构与国家人权机构的参与有关的工作方法和议事规则。\",\n \"四. 联合国人权事务高级专员办事处、联合国系统各机构、基金和方案以及国家人权机构国际和区域组织之间的合作\",\n \"79. 国家人权机构与联合国和联合国系统各机构、基金和方案的合作是《巴黎原则》的一个关键要求。2008年，大会鼓励联合国所有人权机制以及各机构、基金和方案在各自任务授权范围内与会员国和国家机构合作促进和保护人权。在这方面，大会欢迎人权高专办为发展支持国家机构的伙伴关系作出的努力。\",\n \"80. 在报告所述期间，人权高专办侧重于发展联合国的援助，包括通过2011年3月的换文，使国际协调委员会、人权高专办和开发署之间的三方协作正规化。三方协作的合作领域除其他外，包括加强国家人权机构和区域网络的作用，以及便利和支持联合国各机构、基金和方案与国家人权机构接触。\",\n \"81. 联合国开发计划署、人权高专办和国际协调委员会于2011年2月在纽约举行了一次会议。它们在会上决定通过换文进入三方伙伴关系。这个伙伴关系的关键要素包括：就国家人权机构的建立、发展与效力建立开发署-人权高专办-国际协调委员会年度战略审查；与联合国各人权机制接触；国家人权机构联合能力评估和差距分析联合项目；就专题问题进行接触；信息和知识管理。首次战略审查年会将于2011年8月底举行。\",\n \"A. 阿拉伯-欧洲酷刑与法治问题人权对话\",\n \"82. 高专办参加了2011年5月11日至13日在柏林举行的第六届阿拉伯-欧洲酷刑与法治问题人权对话。\",\n \"B. 地中海监察员协会\",\n \"83. 高专办作为观察员出席了2011年5月30日和31日在马耳他圣朱利安举行的主题为“监察员加强善政和民主的作用”的地中海监察员协会第五届会议。在发言中，人权高专办向与会者介绍了大会关于监察员、调解员和其他国家人权机构在促进和保护人权方面的作用的第65/207号决议。大会在决议中欢迎高专办积极出席监察员，调解员和其他国家人权机构的所有国际和区域会议，并请国际协调委员会与人权高专办合作，给予他们资格认证，以便能够与联合国系统的相关人权机构有效互动。\",\n \"C. 伊比利亚-美洲监察员联合会\",\n \"84. 高专办参加了伊比利亚-美洲监察员联合会年会。来自拉丁美洲、葡萄牙和西班牙的国家人权机构和监察员机构出席了2011年6月1日至3日在西班牙阿尔卡拉德艾那雷斯举行的这次会议。与会者除其他外，讨论了监察员(Defensorias del Pueblo)在促进和保护人权、千年发展目标与国家人权机构方面的当前和未来挑战；促进人权与国家人权机构的报告；国家人权机构在实施经济、社会和文化权利中的作用；国家人权机构与国际人权机制；以及国家人权机构与弱势群体的保护。\",\n \"五. 与非政府组织和学术机构的合作\",\n \"85. 高专办努力促进非政府组织参与国际协调委员会及其各资格认证小组委员会的活动。2010年10月7日，在第十届国家人权机构国际会议(联合王国爱丁堡)之前举办了一个非政府组织论坛(见A/HRC/16/76，第70段)。2011年5月，来自世界各地民间社会组织的50名成员出席了国际协调委员会年会(日内瓦)。年会后举行的资格认证小组委员会会议得益于来自奥地利、印度和毛里塔尼亚的非政府组织收到的意见。\",\n \"六. 专题问题\",\n \"A. 土著人民\",\n \"86. 高专办和亚洲-太平洋国家人权机构论坛正在编制一本题为“联合国土著人民权利宣言：国家人权机构的业务指南”的联合出版物，旨在支持和加强国家人权机构保护和促进土著人民权利的工作。\",\n \"87. 2011年7月11日，与联合国土著人民权利专家机制第四次会议一道，在日内瓦举办了一次国家人权机构协商。这次协商的主要目的是交流可纳入指南的促进土著人民权利的良好做法。\",\n \"B. 国家人权机构的历史、原则、作用和职责\",\n \"88. 在报告所述期间，高专办推出题为“国家人权机构的历史、原则、作用和职责”的第4号人权高专办专业培训系列的最新版本。在1995年版本的基础上，这个出版物概述了与建立和加强独立的国家人权机构有关的当前主要议题，包括这些机构在国家促进和保护人权制度中扮演的角色及其与国际人权体系的互动。这个出版物还涵盖了这一领域的最新国际发展，如最近的大会决议和国际协调委员会提供的材料。\",\n \"C. 联邦国家内的国家人权机构\",\n \"89. 在国际协调委员会第二十四届年会的间隙，人权高专办举办了一次关于联邦国家内国家人权机构的会外活动。与会者讨论了这类国家的特殊性(包括权力下放和地方自治)以及联邦治理制度国家内国家人权机构的优势和挑战。\",\n \"七. 结论\",\n \"90. 遵守《巴黎原则》是确保国家人权机构的有效性、独立、自主性和多元化的一个关键要求。国家机构以及各国政府、议会及其他相关利益攸关方应采取一切必要措施，确保国家人权机构按照《巴黎原则》持续运作。还鼓励监察员机构和调解员按照这些原则行事，并争取国际协调委员会给予资格认证。\",\n \"91. 欢迎在没有这种机构的国家设立遵守《巴黎原则》国家人权机构。在成立前阶段遵守《巴黎原则》，是确保新机构的独立性和合法性的关键。建议在起草国家人权机构的授权立法时，与民间社会组织开展广泛和参与性的协商进程。\",\n \"92. 强烈建议在任命国家人权机构成员时特别注意《巴黎原则》。鼓励会员国和国家人权机构促进透明的任命过程，并确保参与促进和保护人权的民间社会组织的多元代表性。\",\n \"93. 作为国家人权系统的关键部分，鼓励国家人权机构与该系统其他部门，即行政部门、司法部门、议会、民间社会、媒体和学术界合作。\",\n \"94. 鼓励联合国国家工作队的机构间联合方案支持国家人权机构，并鼓励国家、区域和国际合作伙伴参加这些方案。欢迎建立开发署-人权高专办-国际协调委员会国家人权机构相关活动年度战略审查。\",\n \"95. 建议国家以下各级人权机构与联邦国家人权机构合作，以确保在全国各地平等保护所有人权。大力鼓励国家以下各级人权机构与国际人权体系，包括普遍定期审查、各条约机构和特别程序开展互动。\",\n \"96. 通过关于审查人权理事会的工作和运作的第16/21号决议，理事会加强了A级国家人权机构在普遍定期审议和特别程序中的作用。\",\n \"97. 鼓励国家人权机构在人权理事会普遍定期审查第二个周期中(2012-2016年)发挥积极的作用。 鼓励A级国家人权机构利用人权理事会第16/21号决议所阐明的参与权。\",\n \"98. 欢迎通过关于按照《巴黎原则》在加勒比设立国家人权机构的《西班牙港宣言》。鼓励其他次区域采取类似举措。\",\n \"99. 欢迎欧洲国家人权机构集团决定成立一个常设秘书处。该秘书处将合并区域构架，预计会对在欧洲各地按照《巴黎原则》设立和加强国家人权机构产生积极的影响。\",\n \"附件\",\n \"按照《巴黎原则》在加勒比设立国家人权机构区域讲习班\",\n \"2011年3月21日至23日，特立尼达和多巴哥西班牙港\",\n \"西班牙港宣言\",\n \"按照《联合国宪章》和《世界人权宣言》，联合国人权事务高级专员办事处和英联邦秘书处在联合国特立尼达和多巴哥国家工作队的支持下，于2011年3月21日至23日在特立尼达和多巴哥西班牙港举办了为期三天的按照《巴黎原则》在加勒比设立国家人权机构区域讲习班。\",\n \"与会者来自加勒比英语国家安提瓜和巴布达、巴哈马、巴巴多斯、伯利兹、百慕大、多米尼克、格林纳达、牙买加、圣基茨和尼维斯、圣卢西亚、苏里南、特里尼达和多巴哥。联合国巴巴多斯国家工作队和特立尼达和多巴哥国家工作队的代表出席了讲习班：\",\n \"• 表示赞赏特立尼达和多巴哥政府主办按照《巴黎原则》在加勒比设立国家人权机构区域讲习班，特别赞赏总检察长Anand Ramlogan阁下正式主持讲习班开幕仪式。\",\n \"• 表示赞赏联合国人权事务高级专员办事处和英联邦秘书处共同举办这次区域讲习班。\",\n \"• 确认联合国特立尼达和多巴哥代理驻地协调员办公室以及来自菲律宾和加拿大的国家人权机构代表作为专家参加讲习班。\",\n \"• 强调必须使各国政府、议会和其他相关国家利益攸关方敏锐认识到设立国家人权机构的价值和好处。\",\n \"• 认识到必须在现有人权框架的基础上，按照《巴黎原则》创建加勒比的国家人权机构模式。\",\n \"• 强调国家人权机构包括监察机构必须使人权价值观成为日常生活和语言的一部分。\",\n \"• 强调国家人权机构包括监察机构作为加强促进和保护人权的关键行为体的相关性。\",\n \"• 认识到民间社会行为体对保护和促进人权的作用和领导。\",\n \"• 认识到国家人权机构，包括监察员机构在使人人都了解和行使其人权方面的作用。\",\n \"• 确认对设立和加强国家人权机构、其历史和法律背景、国家人权机构必须遵守的最低标准以及国家人权机构的核心功能、主要特点和运作方法的全面概述和讨论。\",\n \"• 认识到必须采取必要的措施，以便按照《巴黎原则》设立国家人权机构，并争取促进和保护人权国家机构国际协调委员会给予资格认证。\",\n \"• 确认遵守《巴黎原则》的国家人权机构可以通过与包括人权理事会，条约机构和特别程序在内的国际人权机制开展互动，在国际上发挥重大作用。\",\n \"• 欢迎讲习班切实注重与设立符合《巴黎原则》的国家人权机构相关的专长和经验分享。\",\n \"• 认识到，虽然加勒比国家在设立国家人权机构方面有独特的挑战，但联合国人权事务高级专员办事处、联合国开发计划署、联合国其他机构、国际协调委员会以及英联邦秘书处可以应会员国的请求，在设立国家人权机构方面提供援助和支持。\",\n \"2011年3月23日，特立尼达和多巴哥西班牙港\",\n \"[1] ^(*) A/66/150。\",\n \"[2] 欧洲国家人权机构小组、美洲促进和保护人权国家机构网络、亚洲太平洋国家人权机构论坛和非洲国家人权机构网络。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 69 (b) of the provisional agenda*","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","National institutions for the promotion and protection of human rights","Report by the Secretary-General","Summary","The present report, covering the period from September 2010 to September 2011, contains information on the activities undertaken by the Office of the United Nations High Commissioner for Human Rights to assist in establishing and strengthening national human rights institutions; measures taken by Governments and national human rights institutions in this regard; support provided to international and regional activities of national human rights institutions; technical assistance provided with regard to national human rights institutions, together with other United Nations system agencies, funds and programmes; and cooperation between national human rights institutions and international mechanisms to promote and protect human rights. Information regarding the work of national human rights institutions in respect of specific thematic issues is also included.","The present report complements the report of the Secretary-General to the Human Rights Council of 7 February 2011 (A/HRC/16/76), which covers activities for the period from January to December 2010.","I. Introduction","1. The present report is submitted pursuant to General Assembly resolution 64/161, in which the Assembly requested the Secretary-General to report to it at its sixty-sixth session on the implementation of the resolution. The report covers activities for the period from September 2010 to September 2011 and complements the report of the Secretary-General to the Human Rights Council of 7 February 2010 (A/HRC/16/76), which covers activities for the period from January to December 2010.","2. By its resolution 64/161, the General Assembly recognized the multiplicity of actors engaged in the establishment and strengthening of national human rights institutions. It encouraged cooperation among national human rights institutions and the whole spectrum of actors, among which the United Nations, in particular the Office of the United Nations High Commissioner for Human Rights (OHCHR), the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (International Coordinating Committee), the regional networks of national human rights institutions,[1] as well as the regional and international associations of Ombudsman. In the same resolution, the Assembly also welcomed the efforts made by the High Commissioner to develop partnerships in support to national institutions and it encouraged all United Nations human rights mechanisms as well as agencies, funds and programmes to work within their respective mandates with Member States and national institutions. Among this multiplicity of actors, Member States have a prominent role to play when it comes to the establishment and strengthening of national human rights institutions. In that regard, also in its resolution 64/161, the Assembly encouraged Member States to establish effective, independent and pluralistic national institutions.","3. The present report is aimed at providing a summary of the roles that the above-mentioned actors play in the establishment and strengthening of independent national human rights institutions. It also looks at the partnerships and other cooperation arrangements that have been developed so far at the national, regional and international levels.","II. The Office of the United Nations High Commissioner for Human Rights and national human rights institutions","4. Support and outreach to national human rights institutions is an integral part of the mandate of OHCHR. In her introductory statement at the twenty-fourth annual session of the International Coordinating Committee (Geneva, 17 May 2011), the High Commissioner reiterated that national human rights institutions are critical partners for OHCHR due to the central place they have in the national human rights protection system, particularly in addressing the most critical human rights issues at the national level.","5. The Office of the United Nations High Commissioner for Human Rights, through the National Institutions and Regional Mechanisms Section, continued to provide legal and technical support for the establishment and strengthening of national human rights institutions. It has continued to develop its long-standing relationship with the International Coordinating Committee by means of providing secretariat support to both the Committee itself and its Subcommittee on Accreditation.","6. The General Assembly has referred to the role of OHCHR in national human rights institutions as a work in progress. Consequently, it encouraged the High Commissioner to further extend activities in support of those institutions (see resolution 64/161, para. 13). In addition to the long-standing mandate of OHCHR to support national human rights institutions, in 2011 the Assembly requested OHCHR to develop and support activities related to two specific categories of institutions: Ombudsman institutions and mediators (see resolution 65/207, para. 5).","A. Advisory services provided by the Office relating to national human rights institutions","7. The activities of OHCHR to strengthen the role of national human rights institutions at the country, regional and international levels are carried out mainly through the National Institutions and Regional Mechanisms Section, which works in consultation with other parts of OHCHR, including field presences. The Office has continued to provide advice and assistance in the establishment and strengthening of institutions through its country and regional offices, human rights advisers and human rights components of United Nations peace missions, as well as through collaboration with other United Nations partners, including the United Nations Development Programme (UNDP), and regional coordinating bodies of national human rights institutions. OHCHR also works closely with intergovernmental organizations, academic institutions and civil society organizations.","8. The Office provides legal and technical assistance to national human rights institutions and other national stakeholders. Advice is provided on constitutional and legislative provisions regarding national human rights institutions, as well as on their nature, functions, powers and responsibilities. Comparative analysis, technical cooperation needs assessments, project formulation and evaluation missions are also undertaken to assist the institutions’ compliance with the Principles relating to the status of national institutions (Paris Principles) (see General Assembly resolution 48/134, annex).","9. The Office continued to host the fellowship programme for staff of A-status national human rights institutions. In the reporting period, staff from institutions in the following countries participated in the programme: Egypt, India, Qatar, Nicaragua, Peru, Uganda and the United Kingdom of Great Britain and Northern Ireland. The aim of the fellowship programme is to give staff members of national human rights institutions from all over the world a better understanding and appreciation of the international human rights system. Through this experience, the fellows gain knowledge and working level experience with the United Nations human rights system, including the treaty body system, the Human Rights Council, the universal periodic review and the special procedures. They are also familiarized with OHCHR work with and for national human rights institutions, and technical and substantive issues relating to national human rights institutions. Both OHCHR and the national institutions stand to gain from the fellowship programme, in terms of both substantive expertise and experience working within a national human rights institution.","1. The Americas and the Caribbean","10. The OHCHR Office for South America organized two workshops to further develop the capacities of the Instituto Nacional de Derechos Humanos of Chile. The workshops focused on human rights indicators (11-12 April 2011) and on reporting to human rights treaty bodies (20 May 2011).","11. On 18 and 19 April 2011, OHCHR, through its Regional Office for South America, organized trainings on human rights indicators for the national human rights institution of Peru (Defensoría del Pueblo). The training targeted more than 30 staff of the national human rights institution, and it focused particularly on economic, social and cultural rights. The workshop aimed at better integrating human rights indicators into the analysis and reports of the national human rights institution.","12. On 20 April 2011, the OHCHR Regional Office for South America co‑organized with the national human rights institution of Peru a training session for indigenous peoples. The training aimed at increasing knowledge and awareness of the United Nations Declaration on the Rights of Indigenous Peoples and the international human rights machinery, including how indigenous peoples and civil society can successfully use United Nations mechanisms. The training session targeted members of 30 Peruvian indigenous and civil society organizations.","13. In the context of the appointment process of the head of the national human rights institution of Ecuador (Defensor del Pueblo), OHCHR has provided support with a view to raising awareness on international standards. OHCHR support included a training session in June 2011 for members of the Council for Public Participation and Social Control, the body responsible for the selection of the Defensor.","14. In the context of her visit to Mexico (3-9 July 2011), the United Nations High Commissioner for Human Rights held a meeting with the President of the National Human Rights Commission aimed at discussing further cooperation in areas such as human rights indicators, human rights defenders, migrant worker’s rights and the recent constitutional reform. During her visit, the High Commissioner also met with the Mexican Federation of Human Rights Public Institutions that encompasses 32 subnational human rights commissions.","15. In September 2011, the OHCHR Regional Office for South America organized, jointly with the national human rights institution of Argentina (Defensoría del Pueblo de la Nación) a training session for members of civil society and indigenous organizations. It took place in two regions of the country and focused on presenting the rights of indigenous peoples and the international human rights mechanisms.","16. During the reporting period, the OHCHR Regional Office for South America held meetings with parliamentarians and Government officials regarding the establishment of a national human rights institution in Uruguay. OHCHR highlighted the importance of ensuring the institution’s independence and autonomy, adequate funding and the commissioners’ selection process.","17. During the reporting period, OHCHR continued to support the efforts aimed at establishing a Paris Principles-compliant national human rights institution in Chile. The OHCHR Regional Office for South America organized informational meetings with representatives of the Senate Chamber and distributed fact sheets on national human rights institutions and the Paris Principles. OHCHR addressed a letter to all members of the Parliament to draw their attention on the universal periodic review recommendation related to the establishment of a national human rights institution.","18. During the reporting period, the OHCHR Regional Office for South America liaised with the national human rights institution of the Bolivarian Republic of Venezuela in order to increase its engagement on the protection of the rights of persons deprived of liberty and on the submission to the universal periodic review. OHCHR delivered training to staff of the Defensoría on the universal periodic review (see A/HRC/16/76, para. 14).","19. The Office, UNDP, the Organisation International de la Francophonie and the Office de la Protection du Citoyen et de la Citoyenne developed a three-year joint global strategy for the strengthening of the Office de la Protection, which will be implemented from 2011 to 2013. As part of that project, a consultant was recruited to assist the Office de la Protection in discharging its mandate.","2. Africa","20. In March 2011, further to the adoption of the Act for the establishment of the Independent National Human Rights Commission in Burundi, on 5 January 2011, the United Nations Office in Burundi organized consultations in Rutana, Gitega and Bujumbura. Those consultations aimed at raising awareness of civil society organizations on the new law, as well as at ensuring the transparency of the selection and appointment process of the Commissioners. On 19 May 2011, the National Assembly appointed the seven commissioners, as well as the members of the Bureau.","21. OHCHR, in cooperation with the United Nations country team, organized consultations to raise awareness of the establishment of a new national human rights institution in Niger. A consultation took place with various ministries, from 6 to 8 July 2011. A workshop addressed to civil society organizations was held in Tahoua from 4 to 6 July.","22. In January 2011, the Independent National Commission on Human Rights of Liberia, which was formally established in October 2010, acquired its new office. The United Nations Mission in Liberia Human Rights and Protection Section engaged with the leadership of the Commission to advise on the 2011 workplan of the Commission, including a road map on national reconciliation that was submitted to the President, and the Palava Hut project. The Independent National Commission on Human Rights and the Human Rights and Protection Section agreed on the terms of reference for two national consultants to develop a strategic plan and internal rules of procedure. On 20 May 2011, the Human Rights and Protection Section convened a half-day workshop with the National Commission to discuss the mandates, the organizational charts and the action plans of both entities, and to discuss cooperation between the Commission and the Section.","23. During the reporting period, the OHCHR Regional Office for East Africa supported the Commission on Human Rights and Good Governance of the United Republic of Tanzania in making a stakeholder submission to the universal period review, including through trainings and a validation exercise. OHCHR is also engaged in the process of developing a national human rights action plan for the United Republic of Tanzania, a process led, inter alia, by the Commission on Human Rights and Good Governance.","24. OHCHR supported the attendance of the national human rights institutions from Namibia, South Africa, Zambia and Zimbabwe to the subregional seminar organized by OHCHR on the follow-up of the concluding observations of the Committee on the Elimination of Racial Discrimination, held in Pretoria, from 22 to 24 June 2011.","25. The Zimbabwe Human Rights Commission, which is not yet fully operational, appointed its members in 2010. OHCHR provided substantive comments to the draft bill establishing the Human Rights Commission in Zimbabwe. A consultant was recruited for a period of six months by OHCHR and UNDP in order to provide technical and capacity support to the commissioners. OHCHR and UNDP also undertook capacity-building and awareness-raising meetings with various national stakeholders to promote the establishment and operationalization of the Commission in accordance with Paris Principles. The Deputy Chair of the Commission was invited to the above-mentioned regional seminar held in Pretoria.","26. The Office of the United Nations High Commissioner for Human Rights provided comments to various drafts of a regulation on the appointment of civil society members of the future national human rights institution in Mozambique. OHCHR has been working closely with the United Nations country team in extending technical and advisory services to the Government and the civil society in seeking to establish the national human rights institution in the country.","27. In August 2011, OHCHR supported the recruitment of a consultant in South Sudan to provide technical expertise to the Human Rights Commission and build the capacities of the Commission’s staff.","28. The Office continued to work closely with the South African Human Rights Commission through the Anti-Discrimination Initiative, a year-long project funded by OHCHR that started in November 2010. OHCHR held periodic consultations with the officials of the Commission in monitoring the implementation of the project, which is aimed at building the capacity of the Commission in addressing human rights concerns of non-nationals and in countering xenophobia and discrimination.","29. The OHCHR Regional Office for Southern Africa worked closely with United Nations country teams in the region to promote the establishment and strengthening of national human rights institutions in the Comoros and Seychelles.","30. During the reporting period, OHCHR supported the Ethiopian Human Rights Commission to prepare a national human rights action plan. The OHCHR Regional Office for East Africa provided advice to the Commission in order to promote interaction with the United Nations treaty bodies, namely, upcoming reviews of Ethiopia by the Human Rights Committee and Committee on the Elimination of Discrimination against Women. In August 2011, OHCHR, UNDP and the Network of African National Human Rights Institutions carried out a gap analysis of the Ethiopian Human Rights Commission to assess its capacities. OHCHR also provided advice on the process of accreditation before the International Coordinating Committee, and provided training to staff and commissioners on the Paris Principles.","31. During the reporting period, the OHCHR Regional Office for East Africa supported the National Human Rights Commission of Djibouti in ensuring its attendance of the review of the country by the Committee on the Elimination of Discrimination against Women within the context of a three-year joint programme to implement the universal periodic review recommendations to Djibouti.","32. In the last trimester of 2010, OHCHR carried out capacity-building activities on the establishment of national human rights institutions in the Central African Republic (see A/HRC/16/76, para. 26).","3. Asia and the Pacific","33. In the last trimester of 2010, OHCHR carried out, in cooperation with UNDP and Asia-Pacific Forum of National Human Rights Institutions, capacity assessments of the national human rights institutions of Jordan and Thailand (ibid., para. 31).","4. Europe and Central Asia","34. Upon invitation from the Norwegian Centre for Human Rights, OHCHR participated in a discussion entitled “The National Institution for Human Rights in Norway: Quo vadis?”, held in Oslo on 11 January 2011. The meeting was part of the national consultation process on the restructuring of the Centre and was attended by a number of representatives of civil society and staff members of the Ministry of Foreign Affairs of Norway. OHCHR delivered technical assistance and advice with regard to the restructuring of the Norwegian national human rights institution and its reaccreditation before the International Coordinating Committee.","35. During her visit to the Russian Federation, the United Nations High Commissioner for Human Rights addressed the Annual Meeting of the Coordination Council of Subnational Ombudsmen of the Russian Federation, held in St. Petersburg on 18 February 2011. She stated that OHCHR regarded the establishment and support of national human rights institutions and Ombudsman offices in compliance with the relevant international standards as a high priority. In particular, OHCHR could share expertise regarding the role of Ombudsman institutions in the rule of law, conditions of detention and security sector reform. The High Commissioner encouraged the participants to enhance their engagement with the United Nations treaty bodies and the special procedures mechanisms of the Human Rights Council. The High Commissioner appealed to the Federal Ombudsman to create space for the subnational institutions to interact with the Human Rights Council. She also called on them to get access to, and benefit from, the coordination and exchanges which took place at the international level through the International Coordinating Committee.","36. In March 2011, OHCHR provided comments to the rules of procedure of the National Assembly of Serbia. The comments focused on provisions regulating the relationship between the Ombudsman and the Parliament, specifically on mechanisms of oversight and consideration of reports submitted by the national human rights institution to the National Assembly. The comments of OHCHR were considered by the National Assembly while amending the above-mentioned rules of procedure. OHCHR and the United Nations country team continue to work closely with the National Assembly and the Serbian Ombudsman in order to strengthen the relationship between these two national bodies.","37. In June 2011, the United Nations joint technical assistance programme to strengthen the capacity of the national human rights institution in Tajikistan was officially launched. In addition to the Ombudsman institution, the following agencies are part of the programme: OHCHR, UNDP, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), the Office of the United Nations High Commissioner for Refugees, the United Nations Children’s Fund, the International Organization for Migration, the United Nations Population Fund, the International Labour Organization, and the Joint United Nations Programme on HIV/AIDS. The programme aims at strengthening the capacity of the national human rights institution of Tajikistan to handle complaints, to carry out education and public outreach activities and to improve its partnership with key State actors and civil society organizations with a view to promoting changes in human rights policies and legislation.","38. In July 2011, upon request from the Ministry of Justice and the Seimas Ombudsman of Lithuania, OHCHR provided comments on the Law of the Seimas Ombudsman. Likewise, on 12 July 2011, OHCHR participated in Vilnius in a consultative meeting organized by the President of Lithuania and the Ministry of Justice on the establishment of a national human rights institution.","39. OHCHR worked with Government officials of the Republic of Moldova on proposed amendments to the existing legislation of the Republic of Moldova’s B‑status national human rights institution, focusing, among other things, on the appointment procedures and the selection of the Ombudsman. The OHCHR Human Rights Adviser in the Republic of Moldova and the OHCHR Regional Representative for Europe engaged a range of officials, including officials in the Ministry of Justice and key parliamentarians. In addition, the United Nations High Commissioner for Human Rights sent a communication to the Government urging swift action to improve the national human rights institution, with a view to an application for reaccreditation before the International Coordinating Committee.","40. The OHCHR Human Rights Adviser in the Republic of Moldova provided support to the national human rights institution in a variety of ways, including a training on the universal periodic review and on monitoring institutions for the mentally disabled, strengthening the institution’s library and the development of strategic planning for the national human rights institution. The OHCHR Human Rights Adviser participated in the board of a UNDP-European Commission project focused on strengthening the national human rights institution.","41. The Office of the United Nations High Commissioner for Human Rights assisted in the strengthening of the national human rights infrastructures in Croatia, the Netherlands, Norway, Hungary, Lithuania and Slovakia. OHCHR provided advice, including comments on legislation, and drew the attention of Governments, national human rights institutions and other stakeholders involved in these processes to the importance of ensuring genuine dialogue through pluralistic and participatory consultation.","42. The OHCHR Human Rights Adviser in Serbia worked closely with the Office of the Serbian Ombudsman with a view to strengthen the institution’s work in human rights protection and promotion. OHCHR support included the development of a comprehensive report on the human rights of Roma people and on effectiveness of the Roma inclusion measures applied in the country. The report, along with the recommendations to the Government of Serbia, is expected to be submitted to the National Parliament in early 2012.","43. The OHCHR Human Rights Adviser in the former Yugoslav Republic of Macedonia provided support to the Ombudsman’s Office in applying for accreditation to the International Coordinating Committee.","44. During the last trimester of 2010, OHCHR supported the national human rights institutions of Serbia and the Netherlands in strengthening their capacities (ibid., paras. 39 and 40).","5. Middle East and North Africa","45. The Office, UNDP and the Asia-Pacific Forum of National Human Rights Institutions provided support to the capacity assessments of the national human rights institution of Palestine (6-8 February 2011 and 3-15 April 2011) and the national human rights institution of Afghanistan (13-26 May 2011). The capacity assessment included interviews with the staff of the institutions, as well with other stakeholders.","46. During the reporting period, OHCHR provided legal advice on draft legislation on the establishment of national human rights institutions in Tunisia and Saudi Arabia.","47. The Office organized a workshop on the Paris Principles in Oman (see A/HRC/16/76, para. 30).","B. Support to regional initiatives related to national human rights institutions","1. The Americas and the Caribbean","48. The Office, in cooperation with the Commonwealth Secretariat, organized a regional workshop on the establishment of national human rights institutions in accordance with the Paris Principles for the Caribbean region. The workshop took place in Port of Spain from 21 to 23 March 2011. Building on recent developments relating to human rights in the Caribbean, including through the Human Rights Council universal periodic review process, the main objective of the workshop was to develop and strengthen the national human rights protection system in the Caribbean States with the short- and medium-term goal of developing the establishment of national human rights institutions. Parliamentarians, Ombudsman institutions and Government officials, including attorneys general, from 12 English-speaking Caribbean States, attended the workshop. Representatives from the United Nations country team in Barbados and from the Organization of Eastern Caribbean States also participated in this activity. The Port of Spain Declaration was adopted (see annex).","49. At the margins of the twenty-fourth annual meeting of the International Coordinating Committee, the Network of National Institutions for the Promotion and Protection of Human Rights in the Americas held a meeting in order to discuss its work plan for 2011-2012. Participants discussed the creation of a permanent capacity-building programme for national human rights institution staff in the region, and setting up an advisory council to the Americas Network. Participants agreed to develop a website for the Americas Network and to hold their upcoming 2011 annual regional meeting in Guatemala.","2. Africa","50. The United Nations Development Programme, OHCHR and the Network of African National Human Rights Institutions held a meeting in Geneva on 21 May 2011, in order to discuss cooperation and support, including, inter alia, defining the methodology to carry out gaps analyses and the provision of assistance to develop and validate the Network’s strategic plan.","51. The Office participated as a facilitator in a training programme for national human rights institutions in Africa (Accra, 30 May-8 June 2011). The workshop was organized by the Raoul Wallenberg Institute, the University of Lund and the Network of African National Human Rights Institutions. The main purpose of the training was to enhance the capacity and knowledge of national human rights institution staff on the Paris Principles. Participants, approximately 26 staff of national human rights institutions, included investigators, trainers, legal officers, administrators and managers from Ethiopia, Ghana, Kenya, Malawi, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Uganda, the United Republic of Tanzania and Zambia.","3. Asia and the Pacific","52. From 28 to 30 March 2011, a training workshop on capacity assessments of national human rights institutions in the Asia-Pacific region was held in Bangkok by the Asia-Pacific Forum of National Human Rights Institutions, UNDP and OHCHR. The OHCHR workshop supported the participation of one representative from the Network of African National Human Rights Institutions secretariat based in Kenya, in order to promote an effective exchange of experiences and good practices regarding national human rights institution capacity-assessment between the two national human rights institution networks in the Asia-Pacific region and Africa.","4. Europe and Central Asia","53. The Office provided support to the European Group of National Human Rights Institutions in its efforts to establish its permanent secretariat. OHCHR supported the organization of a meeting, held in Geneva on 21 February 2011, aimed at identifying concrete steps towards the establishment of the permanent secretariat. The meeting gathered together representatives from 13 European national human rights institutions, and the permanent secretariats of the Asia-Pacific Forum of National Human Rights Institutions and of the Network of African National Human Rights Institutions. The meeting was also attended by delegates from Permanent Missions in Geneva and from regional mechanisms such as the Fundamental Rights Agency, the Organization for Security and Cooperation in Europe (OSCE), Office for Democratic Institutions and Human Rights and the Council of Europe. One of the main outcomes of the meeting was the unanimous support expressed by the participants for this initiative.","54. The Office participated in the Workshop on the Role of National Human Rights Institutions in the Promotion and Protection of Women’s Rights and Gender Equality, held in Prague on 28 and 29 March 2011. The workshop was organized by OSCE and the Office for Democratic Institutions and Human Rights for national human rights institutions from Eastern European countries.","55. The Office attended the fourth annual meeting of the European Union Fundamental Rights Agency with national human rights institutions, held on 5 April 2011 in Vienna. OHCHR focused in its statement on the diverse national human rights institution landscape in Europe and the trend to merge human rights and equality institutions or to emphasize cooperation among various types of equality, human rights or Ombudsman institutions. It also underlined the importance of the establishment of a permanent secretariat of the European Group of National Human Rights Institutions.","56. The Office attended the OSCE Supplementary Human Dimension Meeting on 14 and 15 April in Vienna. The Office shared its experience in assisting national human rights institutions to strengthen their role in the Human Rights Council, as a result of the recent review of its working methods, including speaking rights, distribution of written statements and participation in the universal periodic review.","57. On 17 May 2011, at the margins of the twenty-fourth annual meeting of the International Coordinating Committee, the members of the European Group of National Human Rights Institutions held a meeting in order to discuss the following topics: establishment of a permanent secretariat within the European Group; engagement with the European Fundamental Rights Agency, with the Interlaken Process and with OSCE; the European Group Working Group on the Convention on the Rights of Persons with Disabilities; and the National Human Rights Institutions and Equality Bodies (Equinet). During the meeting, the European Group elected the Scottish Human Rights Commission as the Chair of the European Group. The national human rights institutions of France, Luxembourg and Denmark were elected as members of the European Coordinating Committee. The national human rights institution of Germany was elected as the European member of the Subcommittee on Accreditation of the International Coordinating Committee.","58. OHCHR attended a conference on national human rights institutions in the OSCE area, held on 13 and 14 July 2011, in Vilnius. The conference was co‑organized by the OSCE/Office for Democratic Institutions and Human Rights and the OSCE Chairmanship-in-Office (OSCE Chair). The conference aimed at facilitating the exchange of experiences by Ombudsman institutions, human rights commissions, institutes and other mechanisms working with the executive, the judiciary, parliaments and civil society.","59. OHCHR attended an informal inter-institutional meeting with the Council of Europe and the Office for Democratic Institutions and Human Rights on 4 and 5 October 2010 in Warsaw. The Office shared experiences in assisting national human rights institutions to build their legislative frameworks and capacity.","60. On 20 and 21 October 2010, OHCHR participated in a Regional Round Table on National Preventive Mechanism under the Optional Protocol to the Convention against Torture in Zagreb, which was organized by UNDP and the Ombudsman of Croatia. The Round Table focused on the prevention of torture and the role of national human rights institutions.","5. Middle East and North Africa","61. On 27 and 28 April 2011, in Nouakchott, the United Nations High Commissioner for Human Rights participated in the seventh Annual Meeting of National Human Rights Institutions in the Arab States on the theme of the role of national human rights institutions in following up on the recommendations of the United Nations treaty bodies. The meeting, hosted by the National Human Rights Commission of Mauritania, gathered together representatives from the national human rights institutions of Algeria, Egypt, Jordan, Mauritania, Qatar and Tunisia. Participants adopted the Declaration of Nouakchott.","C. Office of the United Nations High Commissioner for Human Rights support to international initiatives related to national human rights institutions","1. International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights","62. The Office provided support to the International Coordinating Committee in developing and administering its website (http://nhri.ohchr.org), which became operational in 2011 and replaced www.nhri.net.","63. On 7 August 2011, OHCHR received a letter from the current and incoming Chairs of the International Coordinating Committee, calling upon the United Nations to hold an event in 2013 to mark the twentieth anniversary of the adoption of the Paris Principles. The International Coordinating Committee expressed its belief that preparations for the event should begin in 2012, and that this issue should be placed on the agenda of the sixty-sixth session of the General Assembly. Following the proposal contained in the letter, it is recommended that the General Assembly hold a special plenary meeting at its sixty-eighth regular session in 2013 to mark the twentieth anniversary of the adoption of the Paris Principles and that the General Assembly include a provision to that effect in its regular biennial resolution on national institutions for the promotion and protection of human rights.","(a) Twenty-fourth annual meeting","64. The twenty-fourth annual meeting of the International Coordinating Committee was held in Geneva from 17 to 19 May 2011. The agenda included best practices of national human rights institutions in following up on the recommendations of the universal periodic review; engagement of national human rights institutions with treaty bodies; national human rights institutions and the rights of indigenous peoples; the role of national human rights institutions in the protection of women’s rights; follow-up to the Durban Review Conference; human rights education; and business and human rights. The meeting was attended by members of national human rights institutions from more than 80 countries, as well as government officials, civil society organizations, scholars and intergovernmental organizations.","(b) Bureau meeting","65. The meeting of the Bureau of the International Coordinating Committee was held on 16 May 2011 in Geneva. The members of the Bureau discussed the statements of the International Coordinating Committee to the seventeenth session of the Human Rights Council on the adoption of the draft Optional Protocol to the Convention on the Rights of the Child and to the Conference of States Parties to the Convention on the Rights of Persons with Disabilities. The Bureau also endorsed the proposal that the next biennial conference of the International Coordinating Committee should focus on gender equality and women and girls.","66. The Bureau members decided to establish a Working Group, comprised of representatives from the four regions, to work on the participation of national human rights institutions in United Nations bodies. In addition, the Bureau members agreed to support the adoption of a General Assembly resolution with an emphasis on the Paris Principles and the participation of national human rights institutions in United Nations bodies, as well as to support the adoption of a resolution on national human rights institutions at the seventeenth session of the Human Rights Council.","2. Subcommittee on Accreditation","67. The Office provided secretariat support to the session of the Subcommittee on Accreditation, which took place from 23 to 27 May 2011 in Geneva. The Subcommittee reviewed the following 20 national human rights institutions: new accreditation for Bangladesh, Hungary, Sierra Leone and Sweden; reaccreditation for Australia, Austria, Canada, El Salvador, India, Mauritania, Namibia, New Zealand, Nicaragua, Norway, Romania, Senegal and United Kingdom (Northern Ireland); deferral for Azerbaijan, Nigeria and Slovakia.","III. Cooperation between United Nations human rights mechanisms and national human rights institutions","68. The cooperation of national human rights institutions with the international and regional human rights mechanisms is a key requirement of the Paris Principles. OHCHR continued to assist national human rights institutions to interact with the treaty bodies and the Human Rights Council, including the universal periodic review and the special procedures. The work of OHCHR in this regard is carried out in a coordinated fashion with the International Coordinating Committee Chair and the Geneva representative.","69. During the reporting period, OHCHR continued to support and facilitate the engagement of the International Coordinating Committee in landmark processes aimed at strengthening the international human rights mechanisms, such as the Human Rights Council review and the treaty body reform.","A. Human Rights Council","70. The active engagement of the International Coordinating Committee in the Human Rights Council review resulted in greater participatory opportunities for A‑status national human rights institutions in the Council. On 25 March 2011, the Council adopted the outcome of the review of the work and functioning of the Human Rights Council (resolution 16/21, annex). The outcome includes provisions regarding the participation and interaction of A-status national human rights institutions with the universal periodic review and the special procedures (see respective sections below).","71. In 2011, OHCHR, in cooperation with the Geneva representative of the International Coordinating Committee, continued to support the participation of national human rights institutions in the Human Rights Council. During the sixteenth session of the Human Rights Council (28 February-25 March 2011), eight written contributions were submitted: six from A-status national human rights institutions (Bosnia and Herzegovina, Georgia, Malaysia, Morocco, Nicaragua and Ukraine) and two from regional networks of national human rights institutions (Asia-Pacific Forum and Network of Africa National Human Rights Institutions). During the seventeenth session of the Council (30 May-17 June 2011), three written contributions were submitted: one from the International Coordinating Committee; one from the national human rights institution of the United Kingdom and one from the national human rights institution of the Republic of Korea.","72. On 9 March 2011, at the margins of the sixteenth session of the Council, OHCHR organized, in cooperation with the National Human Rights Council of Morocco, a side event on the implementation of the recommendations of the Truth and Reconciliation Commission (Geneva, 9 March 2011).","73. On 16 June 2011, the Human Rights Council adopted by consensus resolution 17/9 on national institutions for the promotion and protection of human rights.","1. Universal periodic review","74. The Office continued to provide support to national human rights institutions to interact with the universal periodic review mechanism. In 2011, during the tenth (February), eleventh (May) and twelfth (October) sessions of the universal periodic review, the following 19 national human rights institutions submitted contributions to the universal periodic review stakeholders’ reports: tenth session: Australia, Austria (A status), Georgia (A status), Namibia (A status), Nepal (A status), Niger and Paraguay (A status); eleventh session: Denmark (A status), Greece (A status), Sierra Leone, Somalia/Somaliland; and twelfth session: Haiti, Ireland (A status), the Republic of Moldova, Swaziland, Thailand (A status), Togo (A status), Uganda (A status) and United Republic of Tanzania (A status).","75. In March 2011, the Human Rights Council stipulated the following participatory rights to A-status national human rights institutions: (a) a separate section with national human rights institution contributions from the State under review shall be included in the stakeholders’ report; and (b) the national human rights institution of the State under review shall be entitled to intervene immediately after the State under review during the adoption of the outcome of the review by the Council plenary (see resolution 16/21, annex, paras. 9 and 13).","2. Special procedures","76. In March 2011, the Human Rights Council granted to A-status national human rights institutions the right to nominate candidates as special procedures mandate holders and to intervene immediately after the country concerned during the interactive dialogue, following the presentation of a country mission report by a special procedure mandate holder (ibid., annex, paras. 22 (a) and 28).","B. Treaty bodies","77. The Office of the United Nations High Commissioner for Human Rights has continued to support the participation of national human rights institutions in treaty body sessions during the reporting period, by providing information and attending sessions. On 11 July 2011, the Chair of the International Coordinating Committee and the national human rights institutions of Denmark, Ethiopia, France and Germany participated in a session organized by the Human Rights Committee on improving cooperation with national human rights institutions.","78. The Office has developed an information note, to provide practical information to national human rights institutions wishing to access the treaty body system, including various opportunities for national human rights institutions’ interaction with the treaty bodies and the working methods and rules of procedure of treaty bodies that are relevant to the participation of national human rights institutions.","IV. Cooperation between the Office of the United Nations High Commissioner for Human Rights, United Nations system agencies, funds and programmes and international and regional organizations on national human rights institutions","79. The cooperation of national human rights institutions with the United Nations and United Nations system agencies, funds and programmes is a key requirement of the Paris Principles. In 2008, the General Assembly encouraged all United Nations human rights mechanisms as well as agencies, funds and programmes, to work within their respective mandates with Member States and national institutions in the promotion and protection of human rights. In this regard, the General Assembly welcomed the efforts made by OHCHR to develop partnerships in support of national institutions.","80. During the reporting period, OHCHR has focused in developing United Nations assistance, including the formalization, by an exchange of letter in March 2011, of a tripartite collaboration between the International Coordinating Committee, OHCHR and UNDP. The areas of cooperation of this tripartite collaboration include, inter alia, strengthening the role of national human rights institutions and regional networks, as well as facilitating and supporting engagement of United Nations agencies, funds and programmes with national human rights institutions.","81. The United Nations Development Programme, OHCHR and the International Coordinating Committee held a meeting in New York in February 2011, at which they decided to enter into a tripartite partnership through exchange of letters. Key elements of the partnership include: establishing an annual UNDP-OHCHR-International Coordinating Committee strategic review of the establishment, development and effectiveness of national human rights institutions; engagement with the United Nations human rights mechanisms; joint national human rights institution capacity-assessment and gap analysis projects; engagement on thematic issues; information and knowledge management. The first annual meeting of the strategic review is to take place at the end of August 2011.","A. Arab-European Human Rights Dialogue on Torture and Rule of Law","82. The Office participated in the sixth Arab-European Human Rights Dialogue on Torture and Rule of Law, held in Berlin from 11 to 13 May 2011.","B. Association of Mediterranean Ombudsmen","83. The Office attended the fifth meeting of the Association of Mediterranean Ombudsmen on the theme “The role of the Ombudsman in reinforcing good governance and democracy” in St. Julian, Malta, on 30 and 31 May 2011, as an observer. In its statement, OHCHR familiarized the participants with General Assembly resolution 65/207 on the role of the Ombudsman, mediator and other national human rights institutions in the promotion and protection of human rights, in which the Assembly welcomed the active participation of the Office in all international and regional meetings of the Ombudsman, mediator and other national human rights institutions and requested, in cooperation with OHCHR, their accreditation by the International Coordinating Committee, in order to enable them to interact effectively with the relevant United Nations human rights bodies.","C. Ibero American Federation of the Ombudsman","84. The Office participated in the annual meeting of the Ibero American Federation of the Ombudsman. National human rights institutions and Ombudsman institutions from Latin America, Portugal and Spain attended the meeting, held from 1 to 3 June 2011 in Alcala de Henares, Spain. Participants discussed, among other things, the current and future challenges for the Defensorias del Pueblo in promoting and protecting human rights, the Millennium Development Goals and national human rights institutions; the promotion of human rights and reports of national institutions; the role of national human rights institutions in the implementation of economic, social and cultural rights; national human rights institutions and international human rights mechanisms; and national human rights institutions and the protection of vulnerable groups.","V. Cooperation with non-governmental organizations and academic institutions","85. The Office worked in promoting the participation of non-governmental organizations (NGOs) in the activities of the International Coordinating Committee and its Subcommittee on Accreditation. On 7 October 2010, a Forum of Non‑Governmental Organizations preceded the tenth International Conference of National Human Rights Institutions (Edinburgh, United Kingdom) (see A/HRC/16/76, para. 70). In May 2011, the annual meeting of the International Coordinating Committee (Geneva) was attended by 50 members of civil society organizations from around the world. The session of the Subcommittee on Accreditation held after the annual meeting, benefited from the inputs received by NGOs from Austria, India and Mauritania.","VI. Thematic issues","A. Indigenous peoples","86. The Office of the United Nations High Commissioner for Human Rights and the Asia-Pacific Forum of National Human Rights Institutions are developing a joint publication entitled “The United Nations Declaration on the Rights of Indigenous Peoples: an operational guide for national human rights institutions”, aimed at supporting and strengthening the work of national human rights institutions in the protection and promotion of indigenous peoples’ rights.","87. On 11 July 2011, in conjunction with the fourth session of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, a national human rights institutions consultation took place in Geneva. The main objective of the consultation was to exchange good practices in advancing the rights of indigenous peoples which could be reflected in the guide.","B. History, principles, roles and responsibilities of national human rights institutions","88. During the reporting period, the Office launched an updated version of the OHCHR Professional Training Series No. 4 entitled National Human Rights Institutions: History, Principles, Roles and Responsibilities.[2] Based on the 1995 version, the publication provides an overview of the current key topics related to the establishment and strengthening of independent national human rights institutions, including the roles those institutions play within the national systems of promotion and protection of human rights as well as their interaction with the international human rights system. The publication also encompasses the latest international developments in this area, such as the most recent General Assembly resolutions and materials from the International Coordinating Committee.","C. National human rights institutions in federal States","89. At the margins of the twenty-fourth annual meeting of the International Coordinating Committee, OHCHR organized a side event on national human rights institutions in federal States. Participants discussed the particularities of those States (including decentralization and local self-governance), as well as the strengths and challenges of national human rights institutions in countries with federal systems of governance.","VII. Conclusions","90. Compliance with the Paris Principles is a key requirement for ensuring the effectiveness, independence, autonomy and pluralism of national human rights institutions. National institutions, as well as Governments, parliaments and other relevant stakeholders, shall take all the necessary measures to ensure the continuing operation of national human rights institutions, in accordance with the Paris Principles. Ombudsman institutions and mediators are also encouraged to act in accordance with these principles, and to seek accreditation before the International Coordinating Committee.","91. The establishment of a Paris Principles-compliant national human rights institution in countries where it does not exist is welcomed. Observance of the Paris Principles in the pre-establishment phase is key to ensuring the independence and legitimacy of the new institution. It is recommended to carry out broad and participatory consultation processes with civil society organizations while drafting the enabling legislation for national human rights institutions.","92. It is strongly recommended to pay particular attention to the Paris Principles while appointing the members of national human rights institutions. Members States and national human rights institutions are encouraged to promote a transparent appointment process and ensure the pluralistic representation of civil society organizations involved in the promotion and protection of human rights.","93. As key parts of the national human rights system, national human rights institutions are encouraged to work cooperatively with other components of this system, namely, the executive, the judiciary, the parliament, civil society, the media and academia.","94. United Nations country teams’ inter-agency joint programmes to support national human rights institutions and the engagement of national, regional and international partners in these programmes are encouraged. The establishment of the annual UNDP-OHCHR-International Coordinating Committee strategic review of activities related to national human rights institutions is welcomed.","95. It is recommended that subnational human rights institutions work together with the federal national human rights institution to ensure that all human rights are equally protected across the country. Interaction by subnational human rights institutions with the international human rights system, including the universal periodic review, the treaty bodies and the special procedures, is strongly encouraged.","96. By its resolution 16/21 on the review of the work and functioning of the Human Rights Council, the Council strengthens the role of A-status national human rights institutions in the universal periodic review and the special procedures.","97. National human rights institutions are encouraged to play an active role during the second cycle of the universal periodic review of the Human Rights Council (2012-2016). A-status national human rights institutions are encouraged to make use of their participatory rights as spelled out in Human Rights Council resolution 16/21.","98. The adoption of the Port of Spain Declaration on the establishment of national human rights institutions in accordance with the Paris Principles in the Caribbean is welcome. Similar initiatives in other subregions are encouraged.","99. The decision of the European Group of National Human Rights Institutions to establish a permanent secretariat is welcome. This secretariat will consolidate the regional architecture and it is expected to have a positive impact in the establishment and strengthening of national human rights institutions in accordance with the Paris Principles across Europe.","Annex","Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean","Port of Spain, Trinidad and Tobago, 21-23 March 2011","Port of Spain Declaration","In accordance with the Charter of the United Nations and the Universal Declaration of Human Rights, the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat, with the support of the United Nations country team in Trinidad and Tobago, organized a three-day Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean, held in Port of Spain, Trinidad and Tobago from 21 to 23 March 2011.","The Workshop participants from the English Caribbean States of Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, Dominica, Grenada, Jamaica, Saint Kitts and Nevis, Saint Lucia, Suriname, Trinidad and Tobago, and representatives of the United Nations country teams from Barbados and Trinidad and Tobago:","• Express appreciation to the Government of Trinidad and Tobago for hosting this Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean and, in particular, to the Attorney General, the Hon. Anand Ramlogan, for officially opening the Workshop.","• Express appreciation to the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat for co-organizing this Regional Workshop.","• Acknowledge the participation of the Acting United Nations Resident Coordinator’s Office in Trinidad and Tobago and, as resource persons, the representatives of the National Human Rights Institutions from the Philippines and Canada.","• Emphasize the importance of sensitizing Governments, Parliaments, and other relevant national stakeholders on the values and benefits of establishing national human rights institutions.","• Recognize the importance of building on existing human rights frameworks to create Caribbean models of national human rights institutions in compliance with the Paris Principles.","• Emphasize the importance of national human rights institutions, including Ombudsman institutions, to making human rights values part of everyday life and language.","• Emphasize the relevance of national human rights institutions, including Ombudsman institutions, as key actors in strengthening human rights promotion and protection.","• Recognize the role and leadership that civil society actors bring to human rights protection and promotion.","• Recognize the role of national human rights institutions, including Ombudsman institutions, in empowering all people to understand and exercise their human rights.","• Acknowledge the comprehensive overview given and discussions held on the establishment and strengthening of national human rights institutions, their historical and legal background, the minimum standards national human rights institutions have to comply with, as well as the core functions, main features and methods of operation of national human rights institutions.","• Recognize the importance of taking necessary measures in order to establish national human rights institutions in compliance with the Paris Principles and to seek accreditation to the International Coordinating Committee of national institutions for the promotion and protection of human rights.","• Acknowledge the significant role that national human rights institutions in compliance with the Paris Principles can play at the international level by interacting with the international human rights mechanisms, including the Human Rights Council, treaty bodies and special procedures.","• Welcome the practical focus of the Workshop in facilitating the sharing of expertise and experiences in connection with the establishment of Paris Principles-compliant national human rights institutions.","• Recognize that, while Caribbean countries have unique challenges concerning the establishment of national human rights institutions, assistance and support from the Office of the United Nations High Commissioner for Human Rights, the United Nations Development Programme, other United Nations agencies, the International Coordinating Committee, as well as the Commonwealth Secretariat, in establishing national human rights institutions may be made available at the request of Members States.","Port of Spain, Trinidad and Tobago, 23 March 2011","[1] The European Group of National Human Rights Institutions, the Network of National Institutions for the Promotion and Protection of Human Rights in the Americas, the Asia-Pacific Forum of National Human Rights Institutions and the Network of African National Human Rights Institutions.","[2] United Nations publication, Sales No. E.09.XIV.4."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 69 (b) of the provisional agenda*\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"National institutions for the promotion and protection of human rights\",\n \"Report by the Secretary-General\",\n \"Summary\",\n \"The present report, covering the period from September 2010 to September 2011, contains information on the activities undertaken by the Office of the United Nations High Commissioner for Human Rights to assist in establishing and strengthening national human rights institutions; measures taken by Governments and national human rights institutions in this regard; support provided to international and regional activities of national human rights institutions; technical assistance provided with regard to national human rights institutions, together with other United Nations system agencies, funds and programmes; and cooperation between national human rights institutions and international mechanisms to promote and protect human rights. Information regarding the work of national human rights institutions in respect of specific thematic issues is also included.\",\n \"The present report complements the report of the Secretary-General to the Human Rights Council of 7 February 2011 (A/HRC/16/76), which covers activities for the period from January to December 2010.\",\n \"I. Introduction\",\n \"1. The present report is submitted pursuant to General Assembly resolution 64/161, in which the Assembly requested the Secretary-General to report to it at its sixty-sixth session on the implementation of the resolution. The report covers activities for the period from September 2010 to September 2011 and complements the report of the Secretary-General to the Human Rights Council of 7 February 2010 (A/HRC/16/76), which covers activities for the period from January to December 2010.\",\n \"2. By its resolution 64/161, the General Assembly recognized the multiplicity of actors engaged in the establishment and strengthening of national human rights institutions. It encouraged cooperation among national human rights institutions and the whole spectrum of actors, among which the United Nations, in particular the Office of the United Nations High Commissioner for Human Rights (OHCHR), the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (International Coordinating Committee), the regional networks of national human rights institutions,[1] as well as the regional and international associations of Ombudsman. In the same resolution, the Assembly also welcomed the efforts made by the High Commissioner to develop partnerships in support to national institutions and it encouraged all United Nations human rights mechanisms as well as agencies, funds and programmes to work within their respective mandates with Member States and national institutions. Among this multiplicity of actors, Member States have a prominent role to play when it comes to the establishment and strengthening of national human rights institutions. In that regard, also in its resolution 64/161, the Assembly encouraged Member States to establish effective, independent and pluralistic national institutions.\",\n \"3. The present report is aimed at providing a summary of the roles that the above-mentioned actors play in the establishment and strengthening of independent national human rights institutions. It also looks at the partnerships and other cooperation arrangements that have been developed so far at the national, regional and international levels.\",\n \"II. The Office of the United Nations High Commissioner for Human Rights and national human rights institutions\",\n \"4. Support and outreach to national human rights institutions is an integral part of the mandate of OHCHR. In her introductory statement at the twenty-fourth annual session of the International Coordinating Committee (Geneva, 17 May 2011), the High Commissioner reiterated that national human rights institutions are critical partners for OHCHR due to the central place they have in the national human rights protection system, particularly in addressing the most critical human rights issues at the national level.\",\n \"5. The Office of the United Nations High Commissioner for Human Rights, through the National Institutions and Regional Mechanisms Section, continued to provide legal and technical support for the establishment and strengthening of national human rights institutions. It has continued to develop its long-standing relationship with the International Coordinating Committee by means of providing secretariat support to both the Committee itself and its Subcommittee on Accreditation.\",\n \"6. The General Assembly has referred to the role of OHCHR in national human rights institutions as a work in progress. Consequently, it encouraged the High Commissioner to further extend activities in support of those institutions (see resolution 64/161, para. 13). In addition to the long-standing mandate of OHCHR to support national human rights institutions, in 2011 the Assembly requested OHCHR to develop and support activities related to two specific categories of institutions: Ombudsman institutions and mediators (see resolution 65/207, para. 5).\",\n \"A. Advisory services provided by the Office relating to national human rights institutions\",\n \"7. The activities of OHCHR to strengthen the role of national human rights institutions at the country, regional and international levels are carried out mainly through the National Institutions and Regional Mechanisms Section, which works in consultation with other parts of OHCHR, including field presences. The Office has continued to provide advice and assistance in the establishment and strengthening of institutions through its country and regional offices, human rights advisers and human rights components of United Nations peace missions, as well as through collaboration with other United Nations partners, including the United Nations Development Programme (UNDP), and regional coordinating bodies of national human rights institutions. OHCHR also works closely with intergovernmental organizations, academic institutions and civil society organizations.\",\n \"8. The Office provides legal and technical assistance to national human rights institutions and other national stakeholders. Advice is provided on constitutional and legislative provisions regarding national human rights institutions, as well as on their nature, functions, powers and responsibilities. Comparative analysis, technical cooperation needs assessments, project formulation and evaluation missions are also undertaken to assist the institutions’ compliance with the Principles relating to the status of national institutions (Paris Principles) (see General Assembly resolution 48/134, annex).\",\n \"9. The Office continued to host the fellowship programme for staff of A-status national human rights institutions. In the reporting period, staff from institutions in the following countries participated in the programme: Egypt, India, Qatar, Nicaragua, Peru, Uganda and the United Kingdom of Great Britain and Northern Ireland. The aim of the fellowship programme is to give staff members of national human rights institutions from all over the world a better understanding and appreciation of the international human rights system. Through this experience, the fellows gain knowledge and working level experience with the United Nations human rights system, including the treaty body system, the Human Rights Council, the universal periodic review and the special procedures. They are also familiarized with OHCHR work with and for national human rights institutions, and technical and substantive issues relating to national human rights institutions. Both OHCHR and the national institutions stand to gain from the fellowship programme, in terms of both substantive expertise and experience working within a national human rights institution.\",\n \"1. The Americas and the Caribbean\",\n \"10. The OHCHR Office for South America organized two workshops to further develop the capacities of the Instituto Nacional de Derechos Humanos of Chile. The workshops focused on human rights indicators (11-12 April 2011) and on reporting to human rights treaty bodies (20 May 2011).\",\n \"11. On 18 and 19 April 2011, OHCHR, through its Regional Office for South America, organized trainings on human rights indicators for the national human rights institution of Peru (Defensoría del Pueblo). The training targeted more than 30 staff of the national human rights institution, and it focused particularly on economic, social and cultural rights. The workshop aimed at better integrating human rights indicators into the analysis and reports of the national human rights institution.\",\n \"12. On 20 April 2011, the OHCHR Regional Office for South America co‑organized with the national human rights institution of Peru a training session for indigenous peoples. The training aimed at increasing knowledge and awareness of the United Nations Declaration on the Rights of Indigenous Peoples and the international human rights machinery, including how indigenous peoples and civil society can successfully use United Nations mechanisms. The training session targeted members of 30 Peruvian indigenous and civil society organizations.\",\n \"13. In the context of the appointment process of the head of the national human rights institution of Ecuador (Defensor del Pueblo), OHCHR has provided support with a view to raising awareness on international standards. OHCHR support included a training session in June 2011 for members of the Council for Public Participation and Social Control, the body responsible for the selection of the Defensor.\",\n \"14. In the context of her visit to Mexico (3-9 July 2011), the United Nations High Commissioner for Human Rights held a meeting with the President of the National Human Rights Commission aimed at discussing further cooperation in areas such as human rights indicators, human rights defenders, migrant worker’s rights and the recent constitutional reform. During her visit, the High Commissioner also met with the Mexican Federation of Human Rights Public Institutions that encompasses 32 subnational human rights commissions.\",\n \"15. In September 2011, the OHCHR Regional Office for South America organized, jointly with the national human rights institution of Argentina (Defensoría del Pueblo de la Nación) a training session for members of civil society and indigenous organizations. It took place in two regions of the country and focused on presenting the rights of indigenous peoples and the international human rights mechanisms.\",\n \"16. During the reporting period, the OHCHR Regional Office for South America held meetings with parliamentarians and Government officials regarding the establishment of a national human rights institution in Uruguay. OHCHR highlighted the importance of ensuring the institution’s independence and autonomy, adequate funding and the commissioners’ selection process.\",\n \"17. During the reporting period, OHCHR continued to support the efforts aimed at establishing a Paris Principles-compliant national human rights institution in Chile. The OHCHR Regional Office for South America organized informational meetings with representatives of the Senate Chamber and distributed fact sheets on national human rights institutions and the Paris Principles. OHCHR addressed a letter to all members of the Parliament to draw their attention on the universal periodic review recommendation related to the establishment of a national human rights institution.\",\n \"18. During the reporting period, the OHCHR Regional Office for South America liaised with the national human rights institution of the Bolivarian Republic of Venezuela in order to increase its engagement on the protection of the rights of persons deprived of liberty and on the submission to the universal periodic review. OHCHR delivered training to staff of the Defensoría on the universal periodic review (see A/HRC/16/76, para. 14).\",\n \"19. The Office, UNDP, the Organisation International de la Francophonie and the Office de la Protection du Citoyen et de la Citoyenne developed a three-year joint global strategy for the strengthening of the Office de la Protection, which will be implemented from 2011 to 2013. As part of that project, a consultant was recruited to assist the Office de la Protection in discharging its mandate.\",\n \"2. Africa\",\n \"20. In March 2011, further to the adoption of the Act for the establishment of the Independent National Human Rights Commission in Burundi, on 5 January 2011, the United Nations Office in Burundi organized consultations in Rutana, Gitega and Bujumbura. Those consultations aimed at raising awareness of civil society organizations on the new law, as well as at ensuring the transparency of the selection and appointment process of the Commissioners. On 19 May 2011, the National Assembly appointed the seven commissioners, as well as the members of the Bureau.\",\n \"21. OHCHR, in cooperation with the United Nations country team, organized consultations to raise awareness of the establishment of a new national human rights institution in Niger. A consultation took place with various ministries, from 6 to 8 July 2011. A workshop addressed to civil society organizations was held in Tahoua from 4 to 6 July.\",\n \"22. In January 2011, the Independent National Commission on Human Rights of Liberia, which was formally established in October 2010, acquired its new office. The United Nations Mission in Liberia Human Rights and Protection Section engaged with the leadership of the Commission to advise on the 2011 workplan of the Commission, including a road map on national reconciliation that was submitted to the President, and the Palava Hut project. The Independent National Commission on Human Rights and the Human Rights and Protection Section agreed on the terms of reference for two national consultants to develop a strategic plan and internal rules of procedure. On 20 May 2011, the Human Rights and Protection Section convened a half-day workshop with the National Commission to discuss the mandates, the organizational charts and the action plans of both entities, and to discuss cooperation between the Commission and the Section.\",\n \"23. During the reporting period, the OHCHR Regional Office for East Africa supported the Commission on Human Rights and Good Governance of the United Republic of Tanzania in making a stakeholder submission to the universal period review, including through trainings and a validation exercise. OHCHR is also engaged in the process of developing a national human rights action plan for the United Republic of Tanzania, a process led, inter alia, by the Commission on Human Rights and Good Governance.\",\n \"24. OHCHR supported the attendance of the national human rights institutions from Namibia, South Africa, Zambia and Zimbabwe to the subregional seminar organized by OHCHR on the follow-up of the concluding observations of the Committee on the Elimination of Racial Discrimination, held in Pretoria, from 22 to 24 June 2011.\",\n \"25. The Zimbabwe Human Rights Commission, which is not yet fully operational, appointed its members in 2010. OHCHR provided substantive comments to the draft bill establishing the Human Rights Commission in Zimbabwe. A consultant was recruited for a period of six months by OHCHR and UNDP in order to provide technical and capacity support to the commissioners. OHCHR and UNDP also undertook capacity-building and awareness-raising meetings with various national stakeholders to promote the establishment and operationalization of the Commission in accordance with Paris Principles. The Deputy Chair of the Commission was invited to the above-mentioned regional seminar held in Pretoria.\",\n \"26. The Office of the United Nations High Commissioner for Human Rights provided comments to various drafts of a regulation on the appointment of civil society members of the future national human rights institution in Mozambique. OHCHR has been working closely with the United Nations country team in extending technical and advisory services to the Government and the civil society in seeking to establish the national human rights institution in the country.\",\n \"27. In August 2011, OHCHR supported the recruitment of a consultant in South Sudan to provide technical expertise to the Human Rights Commission and build the capacities of the Commission’s staff.\",\n \"28. The Office continued to work closely with the South African Human Rights Commission through the Anti-Discrimination Initiative, a year-long project funded by OHCHR that started in November 2010. OHCHR held periodic consultations with the officials of the Commission in monitoring the implementation of the project, which is aimed at building the capacity of the Commission in addressing human rights concerns of non-nationals and in countering xenophobia and discrimination.\",\n \"29. The OHCHR Regional Office for Southern Africa worked closely with United Nations country teams in the region to promote the establishment and strengthening of national human rights institutions in the Comoros and Seychelles.\",\n \"30. During the reporting period, OHCHR supported the Ethiopian Human Rights Commission to prepare a national human rights action plan. The OHCHR Regional Office for East Africa provided advice to the Commission in order to promote interaction with the United Nations treaty bodies, namely, upcoming reviews of Ethiopia by the Human Rights Committee and Committee on the Elimination of Discrimination against Women. In August 2011, OHCHR, UNDP and the Network of African National Human Rights Institutions carried out a gap analysis of the Ethiopian Human Rights Commission to assess its capacities. OHCHR also provided advice on the process of accreditation before the International Coordinating Committee, and provided training to staff and commissioners on the Paris Principles.\",\n \"31. During the reporting period, the OHCHR Regional Office for East Africa supported the National Human Rights Commission of Djibouti in ensuring its attendance of the review of the country by the Committee on the Elimination of Discrimination against Women within the context of a three-year joint programme to implement the universal periodic review recommendations to Djibouti.\",\n \"32. In the last trimester of 2010, OHCHR carried out capacity-building activities on the establishment of national human rights institutions in the Central African Republic (see A/HRC/16/76, para. 26).\",\n \"3. Asia and the Pacific\",\n \"33. In the last trimester of 2010, OHCHR carried out, in cooperation with UNDP and Asia-Pacific Forum of National Human Rights Institutions, capacity assessments of the national human rights institutions of Jordan and Thailand (ibid., para. 31).\",\n \"4. Europe and Central Asia\",\n \"34. Upon invitation from the Norwegian Centre for Human Rights, OHCHR participated in a discussion entitled “The National Institution for Human Rights in Norway: Quo vadis?”, held in Oslo on 11 January 2011. The meeting was part of the national consultation process on the restructuring of the Centre and was attended by a number of representatives of civil society and staff members of the Ministry of Foreign Affairs of Norway. OHCHR delivered technical assistance and advice with regard to the restructuring of the Norwegian national human rights institution and its reaccreditation before the International Coordinating Committee.\",\n \"35. During her visit to the Russian Federation, the United Nations High Commissioner for Human Rights addressed the Annual Meeting of the Coordination Council of Subnational Ombudsmen of the Russian Federation, held in St. Petersburg on 18 February 2011. She stated that OHCHR regarded the establishment and support of national human rights institutions and Ombudsman offices in compliance with the relevant international standards as a high priority. In particular, OHCHR could share expertise regarding the role of Ombudsman institutions in the rule of law, conditions of detention and security sector reform. The High Commissioner encouraged the participants to enhance their engagement with the United Nations treaty bodies and the special procedures mechanisms of the Human Rights Council. The High Commissioner appealed to the Federal Ombudsman to create space for the subnational institutions to interact with the Human Rights Council. She also called on them to get access to, and benefit from, the coordination and exchanges which took place at the international level through the International Coordinating Committee.\",\n \"36. In March 2011, OHCHR provided comments to the rules of procedure of the National Assembly of Serbia. The comments focused on provisions regulating the relationship between the Ombudsman and the Parliament, specifically on mechanisms of oversight and consideration of reports submitted by the national human rights institution to the National Assembly. The comments of OHCHR were considered by the National Assembly while amending the above-mentioned rules of procedure. OHCHR and the United Nations country team continue to work closely with the National Assembly and the Serbian Ombudsman in order to strengthen the relationship between these two national bodies.\",\n \"37. In June 2011, the United Nations joint technical assistance programme to strengthen the capacity of the national human rights institution in Tajikistan was officially launched. In addition to the Ombudsman institution, the following agencies are part of the programme: OHCHR, UNDP, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), the Office of the United Nations High Commissioner for Refugees, the United Nations Children’s Fund, the International Organization for Migration, the United Nations Population Fund, the International Labour Organization, and the Joint United Nations Programme on HIV/AIDS. The programme aims at strengthening the capacity of the national human rights institution of Tajikistan to handle complaints, to carry out education and public outreach activities and to improve its partnership with key State actors and civil society organizations with a view to promoting changes in human rights policies and legislation.\",\n \"38. In July 2011, upon request from the Ministry of Justice and the Seimas Ombudsman of Lithuania, OHCHR provided comments on the Law of the Seimas Ombudsman. Likewise, on 12 July 2011, OHCHR participated in Vilnius in a consultative meeting organized by the President of Lithuania and the Ministry of Justice on the establishment of a national human rights institution.\",\n \"39. OHCHR worked with Government officials of the Republic of Moldova on proposed amendments to the existing legislation of the Republic of Moldova’s B‑status national human rights institution, focusing, among other things, on the appointment procedures and the selection of the Ombudsman. The OHCHR Human Rights Adviser in the Republic of Moldova and the OHCHR Regional Representative for Europe engaged a range of officials, including officials in the Ministry of Justice and key parliamentarians. In addition, the United Nations High Commissioner for Human Rights sent a communication to the Government urging swift action to improve the national human rights institution, with a view to an application for reaccreditation before the International Coordinating Committee.\",\n \"40. The OHCHR Human Rights Adviser in the Republic of Moldova provided support to the national human rights institution in a variety of ways, including a training on the universal periodic review and on monitoring institutions for the mentally disabled, strengthening the institution’s library and the development of strategic planning for the national human rights institution. The OHCHR Human Rights Adviser participated in the board of a UNDP-European Commission project focused on strengthening the national human rights institution.\",\n \"41. The Office of the United Nations High Commissioner for Human Rights assisted in the strengthening of the national human rights infrastructures in Croatia, the Netherlands, Norway, Hungary, Lithuania and Slovakia. OHCHR provided advice, including comments on legislation, and drew the attention of Governments, national human rights institutions and other stakeholders involved in these processes to the importance of ensuring genuine dialogue through pluralistic and participatory consultation.\",\n \"42. The OHCHR Human Rights Adviser in Serbia worked closely with the Office of the Serbian Ombudsman with a view to strengthen the institution’s work in human rights protection and promotion. OHCHR support included the development of a comprehensive report on the human rights of Roma people and on effectiveness of the Roma inclusion measures applied in the country. The report, along with the recommendations to the Government of Serbia, is expected to be submitted to the National Parliament in early 2012.\",\n \"43. The OHCHR Human Rights Adviser in the former Yugoslav Republic of Macedonia provided support to the Ombudsman’s Office in applying for accreditation to the International Coordinating Committee.\",\n \"44. During the last trimester of 2010, OHCHR supported the national human rights institutions of Serbia and the Netherlands in strengthening their capacities (ibid., paras. 39 and 40).\",\n \"5. Middle East and North Africa\",\n \"45. The Office, UNDP and the Asia-Pacific Forum of National Human Rights Institutions provided support to the capacity assessments of the national human rights institution of Palestine (6-8 February 2011 and 3-15 April 2011) and the national human rights institution of Afghanistan (13-26 May 2011). The capacity assessment included interviews with the staff of the institutions, as well with other stakeholders.\",\n \"46. During the reporting period, OHCHR provided legal advice on draft legislation on the establishment of national human rights institutions in Tunisia and Saudi Arabia.\",\n \"47. The Office organized a workshop on the Paris Principles in Oman (see A/HRC/16/76, para. 30).\",\n \"B. Support to regional initiatives related to national human rights institutions\",\n \"1. The Americas and the Caribbean\",\n \"48. The Office, in cooperation with the Commonwealth Secretariat, organized a regional workshop on the establishment of national human rights institutions in accordance with the Paris Principles for the Caribbean region. The workshop took place in Port of Spain from 21 to 23 March 2011. Building on recent developments relating to human rights in the Caribbean, including through the Human Rights Council universal periodic review process, the main objective of the workshop was to develop and strengthen the national human rights protection system in the Caribbean States with the short- and medium-term goal of developing the establishment of national human rights institutions. Parliamentarians, Ombudsman institutions and Government officials, including attorneys general, from 12 English-speaking Caribbean States, attended the workshop. Representatives from the United Nations country team in Barbados and from the Organization of Eastern Caribbean States also participated in this activity. The Port of Spain Declaration was adopted (see annex).\",\n \"49. At the margins of the twenty-fourth annual meeting of the International Coordinating Committee, the Network of National Institutions for the Promotion and Protection of Human Rights in the Americas held a meeting in order to discuss its work plan for 2011-2012. Participants discussed the creation of a permanent capacity-building programme for national human rights institution staff in the region, and setting up an advisory council to the Americas Network. Participants agreed to develop a website for the Americas Network and to hold their upcoming 2011 annual regional meeting in Guatemala.\",\n \"2. Africa\",\n \"50. The United Nations Development Programme, OHCHR and the Network of African National Human Rights Institutions held a meeting in Geneva on 21 May 2011, in order to discuss cooperation and support, including, inter alia, defining the methodology to carry out gaps analyses and the provision of assistance to develop and validate the Network’s strategic plan.\",\n \"51. The Office participated as a facilitator in a training programme for national human rights institutions in Africa (Accra, 30 May-8 June 2011). The workshop was organized by the Raoul Wallenberg Institute, the University of Lund and the Network of African National Human Rights Institutions. The main purpose of the training was to enhance the capacity and knowledge of national human rights institution staff on the Paris Principles. Participants, approximately 26 staff of national human rights institutions, included investigators, trainers, legal officers, administrators and managers from Ethiopia, Ghana, Kenya, Malawi, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Uganda, the United Republic of Tanzania and Zambia.\",\n \"3. Asia and the Pacific\",\n \"52. From 28 to 30 March 2011, a training workshop on capacity assessments of national human rights institutions in the Asia-Pacific region was held in Bangkok by the Asia-Pacific Forum of National Human Rights Institutions, UNDP and OHCHR. The OHCHR workshop supported the participation of one representative from the Network of African National Human Rights Institutions secretariat based in Kenya, in order to promote an effective exchange of experiences and good practices regarding national human rights institution capacity-assessment between the two national human rights institution networks in the Asia-Pacific region and Africa.\",\n \"4. Europe and Central Asia\",\n \"53. The Office provided support to the European Group of National Human Rights Institutions in its efforts to establish its permanent secretariat. OHCHR supported the organization of a meeting, held in Geneva on 21 February 2011, aimed at identifying concrete steps towards the establishment of the permanent secretariat. The meeting gathered together representatives from 13 European national human rights institutions, and the permanent secretariats of the Asia-Pacific Forum of National Human Rights Institutions and of the Network of African National Human Rights Institutions. The meeting was also attended by delegates from Permanent Missions in Geneva and from regional mechanisms such as the Fundamental Rights Agency, the Organization for Security and Cooperation in Europe (OSCE), Office for Democratic Institutions and Human Rights and the Council of Europe. One of the main outcomes of the meeting was the unanimous support expressed by the participants for this initiative.\",\n \"54. The Office participated in the Workshop on the Role of National Human Rights Institutions in the Promotion and Protection of Women’s Rights and Gender Equality, held in Prague on 28 and 29 March 2011. The workshop was organized by OSCE and the Office for Democratic Institutions and Human Rights for national human rights institutions from Eastern European countries.\",\n \"55. The Office attended the fourth annual meeting of the European Union Fundamental Rights Agency with national human rights institutions, held on 5 April 2011 in Vienna. OHCHR focused in its statement on the diverse national human rights institution landscape in Europe and the trend to merge human rights and equality institutions or to emphasize cooperation among various types of equality, human rights or Ombudsman institutions. It also underlined the importance of the establishment of a permanent secretariat of the European Group of National Human Rights Institutions.\",\n \"56. The Office attended the OSCE Supplementary Human Dimension Meeting on 14 and 15 April in Vienna. The Office shared its experience in assisting national human rights institutions to strengthen their role in the Human Rights Council, as a result of the recent review of its working methods, including speaking rights, distribution of written statements and participation in the universal periodic review.\",\n \"57. On 17 May 2011, at the margins of the twenty-fourth annual meeting of the International Coordinating Committee, the members of the European Group of National Human Rights Institutions held a meeting in order to discuss the following topics: establishment of a permanent secretariat within the European Group; engagement with the European Fundamental Rights Agency, with the Interlaken Process and with OSCE; the European Group Working Group on the Convention on the Rights of Persons with Disabilities; and the National Human Rights Institutions and Equality Bodies (Equinet). During the meeting, the European Group elected the Scottish Human Rights Commission as the Chair of the European Group. The national human rights institutions of France, Luxembourg and Denmark were elected as members of the European Coordinating Committee. The national human rights institution of Germany was elected as the European member of the Subcommittee on Accreditation of the International Coordinating Committee.\",\n \"58. OHCHR attended a conference on national human rights institutions in the OSCE area, held on 13 and 14 July 2011, in Vilnius. The conference was co‑organized by the OSCE/Office for Democratic Institutions and Human Rights and the OSCE Chairmanship-in-Office (OSCE Chair). The conference aimed at facilitating the exchange of experiences by Ombudsman institutions, human rights commissions, institutes and other mechanisms working with the executive, the judiciary, parliaments and civil society.\",\n \"59. OHCHR attended an informal inter-institutional meeting with the Council of Europe and the Office for Democratic Institutions and Human Rights on 4 and 5 October 2010 in Warsaw. The Office shared experiences in assisting national human rights institutions to build their legislative frameworks and capacity.\",\n \"60. On 20 and 21 October 2010, OHCHR participated in a Regional Round Table on National Preventive Mechanism under the Optional Protocol to the Convention against Torture in Zagreb, which was organized by UNDP and the Ombudsman of Croatia. The Round Table focused on the prevention of torture and the role of national human rights institutions.\",\n \"5. Middle East and North Africa\",\n \"61. On 27 and 28 April 2011, in Nouakchott, the United Nations High Commissioner for Human Rights participated in the seventh Annual Meeting of National Human Rights Institutions in the Arab States on the theme of the role of national human rights institutions in following up on the recommendations of the United Nations treaty bodies. The meeting, hosted by the National Human Rights Commission of Mauritania, gathered together representatives from the national human rights institutions of Algeria, Egypt, Jordan, Mauritania, Qatar and Tunisia. Participants adopted the Declaration of Nouakchott.\",\n \"C. Office of the United Nations High Commissioner for Human Rights support to international initiatives related to national human rights institutions\",\n \"1. International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights\",\n \"62. The Office provided support to the International Coordinating Committee in developing and administering its website (http://nhri.ohchr.org), which became operational in 2011 and replaced www.nhri.net.\",\n \"63. On 7 August 2011, OHCHR received a letter from the current and incoming Chairs of the International Coordinating Committee, calling upon the United Nations to hold an event in 2013 to mark the twentieth anniversary of the adoption of the Paris Principles. The International Coordinating Committee expressed its belief that preparations for the event should begin in 2012, and that this issue should be placed on the agenda of the sixty-sixth session of the General Assembly. Following the proposal contained in the letter, it is recommended that the General Assembly hold a special plenary meeting at its sixty-eighth regular session in 2013 to mark the twentieth anniversary of the adoption of the Paris Principles and that the General Assembly include a provision to that effect in its regular biennial resolution on national institutions for the promotion and protection of human rights.\",\n \"(a) Twenty-fourth annual meeting\",\n \"64. The twenty-fourth annual meeting of the International Coordinating Committee was held in Geneva from 17 to 19 May 2011. The agenda included best practices of national human rights institutions in following up on the recommendations of the universal periodic review; engagement of national human rights institutions with treaty bodies; national human rights institutions and the rights of indigenous peoples; the role of national human rights institutions in the protection of women’s rights; follow-up to the Durban Review Conference; human rights education; and business and human rights. The meeting was attended by members of national human rights institutions from more than 80 countries, as well as government officials, civil society organizations, scholars and intergovernmental organizations.\",\n \"(b) Bureau meeting\",\n \"65. The meeting of the Bureau of the International Coordinating Committee was held on 16 May 2011 in Geneva. The members of the Bureau discussed the statements of the International Coordinating Committee to the seventeenth session of the Human Rights Council on the adoption of the draft Optional Protocol to the Convention on the Rights of the Child and to the Conference of States Parties to the Convention on the Rights of Persons with Disabilities. The Bureau also endorsed the proposal that the next biennial conference of the International Coordinating Committee should focus on gender equality and women and girls.\",\n \"66. The Bureau members decided to establish a Working Group, comprised of representatives from the four regions, to work on the participation of national human rights institutions in United Nations bodies. In addition, the Bureau members agreed to support the adoption of a General Assembly resolution with an emphasis on the Paris Principles and the participation of national human rights institutions in United Nations bodies, as well as to support the adoption of a resolution on national human rights institutions at the seventeenth session of the Human Rights Council.\",\n \"2. Subcommittee on Accreditation\",\n \"67. The Office provided secretariat support to the session of the Subcommittee on Accreditation, which took place from 23 to 27 May 2011 in Geneva. The Subcommittee reviewed the following 20 national human rights institutions: new accreditation for Bangladesh, Hungary, Sierra Leone and Sweden; reaccreditation for Australia, Austria, Canada, El Salvador, India, Mauritania, Namibia, New Zealand, Nicaragua, Norway, Romania, Senegal and United Kingdom (Northern Ireland); deferral for Azerbaijan, Nigeria and Slovakia.\",\n \"III. Cooperation between United Nations human rights mechanisms and national human rights institutions\",\n \"68. The cooperation of national human rights institutions with the international and regional human rights mechanisms is a key requirement of the Paris Principles. OHCHR continued to assist national human rights institutions to interact with the treaty bodies and the Human Rights Council, including the universal periodic review and the special procedures. The work of OHCHR in this regard is carried out in a coordinated fashion with the International Coordinating Committee Chair and the Geneva representative.\",\n \"69. During the reporting period, OHCHR continued to support and facilitate the engagement of the International Coordinating Committee in landmark processes aimed at strengthening the international human rights mechanisms, such as the Human Rights Council review and the treaty body reform.\",\n \"A. Human Rights Council\",\n \"70. The active engagement of the International Coordinating Committee in the Human Rights Council review resulted in greater participatory opportunities for A‑status national human rights institutions in the Council. On 25 March 2011, the Council adopted the outcome of the review of the work and functioning of the Human Rights Council (resolution 16/21, annex). The outcome includes provisions regarding the participation and interaction of A-status national human rights institutions with the universal periodic review and the special procedures (see respective sections below).\",\n \"71. In 2011, OHCHR, in cooperation with the Geneva representative of the International Coordinating Committee, continued to support the participation of national human rights institutions in the Human Rights Council. During the sixteenth session of the Human Rights Council (28 February-25 March 2011), eight written contributions were submitted: six from A-status national human rights institutions (Bosnia and Herzegovina, Georgia, Malaysia, Morocco, Nicaragua and Ukraine) and two from regional networks of national human rights institutions (Asia-Pacific Forum and Network of Africa National Human Rights Institutions). During the seventeenth session of the Council (30 May-17 June 2011), three written contributions were submitted: one from the International Coordinating Committee; one from the national human rights institution of the United Kingdom and one from the national human rights institution of the Republic of Korea.\",\n \"72. On 9 March 2011, at the margins of the sixteenth session of the Council, OHCHR organized, in cooperation with the National Human Rights Council of Morocco, a side event on the implementation of the recommendations of the Truth and Reconciliation Commission (Geneva, 9 March 2011).\",\n \"73. On 16 June 2011, the Human Rights Council adopted by consensus resolution 17/9 on national institutions for the promotion and protection of human rights.\",\n \"1. Universal periodic review\",\n \"74. The Office continued to provide support to national human rights institutions to interact with the universal periodic review mechanism. In 2011, during the tenth (February), eleventh (May) and twelfth (October) sessions of the universal periodic review, the following 19 national human rights institutions submitted contributions to the universal periodic review stakeholders’ reports: tenth session: Australia, Austria (A status), Georgia (A status), Namibia (A status), Nepal (A status), Niger and Paraguay (A status); eleventh session: Denmark (A status), Greece (A status), Sierra Leone, Somalia/Somaliland; and twelfth session: Haiti, Ireland (A status), the Republic of Moldova, Swaziland, Thailand (A status), Togo (A status), Uganda (A status) and United Republic of Tanzania (A status).\",\n \"75. In March 2011, the Human Rights Council stipulated the following participatory rights to A-status national human rights institutions: (a) a separate section with national human rights institution contributions from the State under review shall be included in the stakeholders’ report; and (b) the national human rights institution of the State under review shall be entitled to intervene immediately after the State under review during the adoption of the outcome of the review by the Council plenary (see resolution 16/21, annex, paras. 9 and 13).\",\n \"2. Special procedures\",\n \"76. In March 2011, the Human Rights Council granted to A-status national human rights institutions the right to nominate candidates as special procedures mandate holders and to intervene immediately after the country concerned during the interactive dialogue, following the presentation of a country mission report by a special procedure mandate holder (ibid., annex, paras. 22 (a) and 28).\",\n \"B. Treaty bodies\",\n \"77. The Office of the United Nations High Commissioner for Human Rights has continued to support the participation of national human rights institutions in treaty body sessions during the reporting period, by providing information and attending sessions. On 11 July 2011, the Chair of the International Coordinating Committee and the national human rights institutions of Denmark, Ethiopia, France and Germany participated in a session organized by the Human Rights Committee on improving cooperation with national human rights institutions.\",\n \"78. The Office has developed an information note, to provide practical information to national human rights institutions wishing to access the treaty body system, including various opportunities for national human rights institutions’ interaction with the treaty bodies and the working methods and rules of procedure of treaty bodies that are relevant to the participation of national human rights institutions.\",\n \"IV. Cooperation between the Office of the United Nations High Commissioner for Human Rights, United Nations system agencies, funds and programmes and international and regional organizations on national human rights institutions\",\n \"79. The cooperation of national human rights institutions with the United Nations and United Nations system agencies, funds and programmes is a key requirement of the Paris Principles. In 2008, the General Assembly encouraged all United Nations human rights mechanisms as well as agencies, funds and programmes, to work within their respective mandates with Member States and national institutions in the promotion and protection of human rights. In this regard, the General Assembly welcomed the efforts made by OHCHR to develop partnerships in support of national institutions.\",\n \"80. During the reporting period, OHCHR has focused in developing United Nations assistance, including the formalization, by an exchange of letter in March 2011, of a tripartite collaboration between the International Coordinating Committee, OHCHR and UNDP. The areas of cooperation of this tripartite collaboration include, inter alia, strengthening the role of national human rights institutions and regional networks, as well as facilitating and supporting engagement of United Nations agencies, funds and programmes with national human rights institutions.\",\n \"81. The United Nations Development Programme, OHCHR and the International Coordinating Committee held a meeting in New York in February 2011, at which they decided to enter into a tripartite partnership through exchange of letters. Key elements of the partnership include: establishing an annual UNDP-OHCHR-International Coordinating Committee strategic review of the establishment, development and effectiveness of national human rights institutions; engagement with the United Nations human rights mechanisms; joint national human rights institution capacity-assessment and gap analysis projects; engagement on thematic issues; information and knowledge management. The first annual meeting of the strategic review is to take place at the end of August 2011.\",\n \"A. Arab-European Human Rights Dialogue on Torture and Rule of Law\",\n \"82. The Office participated in the sixth Arab-European Human Rights Dialogue on Torture and Rule of Law, held in Berlin from 11 to 13 May 2011.\",\n \"B. Association of Mediterranean Ombudsmen\",\n \"83. The Office attended the fifth meeting of the Association of Mediterranean Ombudsmen on the theme “The role of the Ombudsman in reinforcing good governance and democracy” in St. Julian, Malta, on 30 and 31 May 2011, as an observer. In its statement, OHCHR familiarized the participants with General Assembly resolution 65/207 on the role of the Ombudsman, mediator and other national human rights institutions in the promotion and protection of human rights, in which the Assembly welcomed the active participation of the Office in all international and regional meetings of the Ombudsman, mediator and other national human rights institutions and requested, in cooperation with OHCHR, their accreditation by the International Coordinating Committee, in order to enable them to interact effectively with the relevant United Nations human rights bodies.\",\n \"C. Ibero American Federation of the Ombudsman\",\n \"84. The Office participated in the annual meeting of the Ibero American Federation of the Ombudsman. National human rights institutions and Ombudsman institutions from Latin America, Portugal and Spain attended the meeting, held from 1 to 3 June 2011 in Alcala de Henares, Spain. Participants discussed, among other things, the current and future challenges for the Defensorias del Pueblo in promoting and protecting human rights, the Millennium Development Goals and national human rights institutions; the promotion of human rights and reports of national institutions; the role of national human rights institutions in the implementation of economic, social and cultural rights; national human rights institutions and international human rights mechanisms; and national human rights institutions and the protection of vulnerable groups.\",\n \"V. Cooperation with non-governmental organizations and academic institutions\",\n \"85. The Office worked in promoting the participation of non-governmental organizations (NGOs) in the activities of the International Coordinating Committee and its Subcommittee on Accreditation. On 7 October 2010, a Forum of Non‑Governmental Organizations preceded the tenth International Conference of National Human Rights Institutions (Edinburgh, United Kingdom) (see A/HRC/16/76, para. 70). In May 2011, the annual meeting of the International Coordinating Committee (Geneva) was attended by 50 members of civil society organizations from around the world. The session of the Subcommittee on Accreditation held after the annual meeting, benefited from the inputs received by NGOs from Austria, India and Mauritania.\",\n \"VI. Thematic issues\",\n \"A. Indigenous peoples\",\n \"86. The Office of the United Nations High Commissioner for Human Rights and the Asia-Pacific Forum of National Human Rights Institutions are developing a joint publication entitled “The United Nations Declaration on the Rights of Indigenous Peoples: an operational guide for national human rights institutions”, aimed at supporting and strengthening the work of national human rights institutions in the protection and promotion of indigenous peoples’ rights.\",\n \"87. On 11 July 2011, in conjunction with the fourth session of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, a national human rights institutions consultation took place in Geneva. The main objective of the consultation was to exchange good practices in advancing the rights of indigenous peoples which could be reflected in the guide.\",\n \"B. History, principles, roles and responsibilities of national human rights institutions\",\n \"88. During the reporting period, the Office launched an updated version of the OHCHR Professional Training Series No. 4 entitled National Human Rights Institutions: History, Principles, Roles and Responsibilities.[2] Based on the 1995 version, the publication provides an overview of the current key topics related to the establishment and strengthening of independent national human rights institutions, including the roles those institutions play within the national systems of promotion and protection of human rights as well as their interaction with the international human rights system. The publication also encompasses the latest international developments in this area, such as the most recent General Assembly resolutions and materials from the International Coordinating Committee.\",\n \"C. National human rights institutions in federal States\",\n \"89. At the margins of the twenty-fourth annual meeting of the International Coordinating Committee, OHCHR organized a side event on national human rights institutions in federal States. Participants discussed the particularities of those States (including decentralization and local self-governance), as well as the strengths and challenges of national human rights institutions in countries with federal systems of governance.\",\n \"VII. Conclusions\",\n \"90. Compliance with the Paris Principles is a key requirement for ensuring the effectiveness, independence, autonomy and pluralism of national human rights institutions. National institutions, as well as Governments, parliaments and other relevant stakeholders, shall take all the necessary measures to ensure the continuing operation of national human rights institutions, in accordance with the Paris Principles. Ombudsman institutions and mediators are also encouraged to act in accordance with these principles, and to seek accreditation before the International Coordinating Committee.\",\n \"91. The establishment of a Paris Principles-compliant national human rights institution in countries where it does not exist is welcomed. Observance of the Paris Principles in the pre-establishment phase is key to ensuring the independence and legitimacy of the new institution. It is recommended to carry out broad and participatory consultation processes with civil society organizations while drafting the enabling legislation for national human rights institutions.\",\n \"92. It is strongly recommended to pay particular attention to the Paris Principles while appointing the members of national human rights institutions. Members States and national human rights institutions are encouraged to promote a transparent appointment process and ensure the pluralistic representation of civil society organizations involved in the promotion and protection of human rights.\",\n \"93. As key parts of the national human rights system, national human rights institutions are encouraged to work cooperatively with other components of this system, namely, the executive, the judiciary, the parliament, civil society, the media and academia.\",\n \"94. United Nations country teams’ inter-agency joint programmes to support national human rights institutions and the engagement of national, regional and international partners in these programmes are encouraged. The establishment of the annual UNDP-OHCHR-International Coordinating Committee strategic review of activities related to national human rights institutions is welcomed.\",\n \"95. It is recommended that subnational human rights institutions work together with the federal national human rights institution to ensure that all human rights are equally protected across the country. Interaction by subnational human rights institutions with the international human rights system, including the universal periodic review, the treaty bodies and the special procedures, is strongly encouraged.\",\n \"96. By its resolution 16/21 on the review of the work and functioning of the Human Rights Council, the Council strengthens the role of A-status national human rights institutions in the universal periodic review and the special procedures.\",\n \"97. National human rights institutions are encouraged to play an active role during the second cycle of the universal periodic review of the Human Rights Council (2012-2016). A-status national human rights institutions are encouraged to make use of their participatory rights as spelled out in Human Rights Council resolution 16/21.\",\n \"98. The adoption of the Port of Spain Declaration on the establishment of national human rights institutions in accordance with the Paris Principles in the Caribbean is welcome. Similar initiatives in other subregions are encouraged.\",\n \"99. The decision of the European Group of National Human Rights Institutions to establish a permanent secretariat is welcome. This secretariat will consolidate the regional architecture and it is expected to have a positive impact in the establishment and strengthening of national human rights institutions in accordance with the Paris Principles across Europe.\",\n \"Annex\",\n \"Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean\",\n \"Port of Spain, Trinidad and Tobago, 21-23 March 2011\",\n \"Port of Spain Declaration\",\n \"In accordance with the Charter of the United Nations and the Universal Declaration of Human Rights, the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat, with the support of the United Nations country team in Trinidad and Tobago, organized a three-day Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean, held in Port of Spain, Trinidad and Tobago from 21 to 23 March 2011.\",\n \"The Workshop participants from the English Caribbean States of Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, Dominica, Grenada, Jamaica, Saint Kitts and Nevis, Saint Lucia, Suriname, Trinidad and Tobago, and representatives of the United Nations country teams from Barbados and Trinidad and Tobago:\",\n \"• Express appreciation to the Government of Trinidad and Tobago for hosting this Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean and, in particular, to the Attorney General, the Hon. Anand Ramlogan, for officially opening the Workshop.\",\n \"• Express appreciation to the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat for co-organizing this Regional Workshop.\",\n \"• Acknowledge the participation of the Acting United Nations Resident Coordinator’s Office in Trinidad and Tobago and, as resource persons, the representatives of the National Human Rights Institutions from the Philippines and Canada.\",\n \"• Emphasize the importance of sensitizing Governments, Parliaments, and other relevant national stakeholders on the values and benefits of establishing national human rights institutions.\",\n \"• Recognize the importance of building on existing human rights frameworks to create Caribbean models of national human rights institutions in compliance with the Paris Principles.\",\n \"• Emphasize the importance of national human rights institutions, including Ombudsman institutions, to making human rights values part of everyday life and language.\",\n \"• Emphasize the relevance of national human rights institutions, including Ombudsman institutions, as key actors in strengthening human rights promotion and protection.\",\n \"• Recognize the role and leadership that civil society actors bring to human rights protection and promotion.\",\n \"• Recognize the role of national human rights institutions, including Ombudsman institutions, in empowering all people to understand and exercise their human rights.\",\n \"• Acknowledge the comprehensive overview given and discussions held on the establishment and strengthening of national human rights institutions, their historical and legal background, the minimum standards national human rights institutions have to comply with, as well as the core functions, main features and methods of operation of national human rights institutions.\",\n \"• Recognize the importance of taking necessary measures in order to establish national human rights institutions in compliance with the Paris Principles and to seek accreditation to the International Coordinating Committee of national institutions for the promotion and protection of human rights.\",\n \"• Acknowledge the significant role that national human rights institutions in compliance with the Paris Principles can play at the international level by interacting with the international human rights mechanisms, including the Human Rights Council, treaty bodies and special procedures.\",\n \"• Welcome the practical focus of the Workshop in facilitating the sharing of expertise and experiences in connection with the establishment of Paris Principles-compliant national human rights institutions.\",\n \"• Recognize that, while Caribbean countries have unique challenges concerning the establishment of national human rights institutions, assistance and support from the Office of the United Nations High Commissioner for Human Rights, the United Nations Development Programme, other United Nations agencies, the International Coordinating Committee, as well as the Commonwealth Secretariat, in establishing national human rights institutions may be made available at the request of Members States.\",\n \"Port of Spain, Trinidad and Tobago, 23 March 2011\",\n \"[1] The European Group of National Human Rights Institutions, the Network of National Institutions for the Promotion and Protection of Human Rights in the Americas, the Asia-Pacific Forum of National Human Rights Institutions and the Network of African National Human Rights Institutions.\",\n \"[2] United Nations publication, Sales No. E.09.XIV.4.\"\n]"},"record":{"kind":"string","value":"A_66_274"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (b) of the provisional agenda","Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms","National institutions for the promotion and protection of human rights","Report of the Secretary-General","The present report covers information on the activities of the Office of the United Nations High Commissioner for Human Rights to establish and strengthen national human rights institutions between September 2010 and September 2011; measures taken by the Government and national human rights institutions in this regard; support for international and regional activities of national human rights institutions; technical assistance related to national human rights institutions in conjunction with other United Nations agencies, funds and programmes; and cooperation between national human rights institutions and international mechanisms for the promotion and protection of human rights. The present report also contains information on the work of national human rights institutions in specific thematic areas. The present report supplements the report of the Secretary-General to the Human Rights Council, submitted on 7 February 2011, covering the period from January to December 2010 (A/HRC/16/76).","Introduction","The present report is submitted pursuant to General Assembly resolution 64/161, in which the Assembly requested the Secretary-General to report to the Assembly at its sixty-sixth session on the implementation of the resolution. The present report covers activities for the period from September 2010 to September 2011 and supplements the report of the Secretary-General to the Human Rights Council on 7 February 2011 covering the period from January to December 2010 (A/HRC/16/76).","In its resolution 64/161, the General Assembly recognized the involvement of a wide range of actors in the establishment and strengthening of national human rights institutions. The General Assembly encouraged national human rights institutions to cooperate with various actors, including the United Nations, including the Office of the United Nations High Commissioner for Human Rights (OHCHR), the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (ICC), the Network of Regional National Human Rights Institutions [2] and the Association of Regional and International Ombudsmans. In the same resolution, the General Assembly also welcomed the efforts of the High Commissioner to develop partnerships to support national institutions and encouraged all United Nations human rights mechanisms and agencies, funds and programmes to cooperate with Member States and States within their respective mandates. Among these many actors, Member States should play a prominent role in the establishment and strengthening of national human rights institutions. In that regard, the General Assembly, in its resolution 64/161, also encouraged Member States to establish effective, independent and pluralistic national institutions.","The present report aims to provide an overview of the role played by the parties in the establishment and strengthening of independent national human rights institutions. The present report also provides information on partnerships and other cooperation arrangements established to date at the national, regional and international levels.","Office of the United Nations High Commissioner for Human Rights and national human rights institutions","Support and outreach to national human rights institutions are part of the mandate of OHCHR. In her introductory statement at the twenty-fourth annual meeting of the International Coordinating Committee (Geneva, 17 May 2011), the High Commissioner reiterated that national human rights institutions were key partners of OHCHR, since they were at the centre of national human rights protection systems, particularly in addressing the most urgent human rights issues at the country level.","OHCHR continued to provide legal and technical support for the establishment and strengthening of national human rights institutions through the National Institutions and Regional Mechanisms Section. OHCHR continued to develop its long-term relationship with the Committee through the provision of secretariat services to the International Coordinating Committee itself and the Subcommittee on Accreditation.","The General Assembly had noted that the role of OHCHR in national human rights institutions remained a ongoing process. The General Assembly therefore encouraged the High Commissioner to further expand its activities in support of those bodies (resolution 64/161, para. In 2011, in addition to the long-term mandate of OHCHR in support of national human rights institutions, the General Assembly requested the Office to develop and support activities related to the two specific institutional categories of ombudsman and mediators (see resolution 3907, para.","Advisory services provided by OHCHR on national human rights institutions","OHCHR plays a role in strengthening national human rights institutions at the national, regional and international levels through national institutions and regional mechanisms sections. The Section works in collaboration with other OHCHR departments, including field personnel. OHCHR continued to provide advice and assistance in the establishment and strengthening of institutions, including through its national and regional offices, human rights counselling advisers and the human rights components of United Nations peace missions, as well as collaboration with other United Nations partners, such as the United Nations Development Programme (UNDP) and the regional coordinating bodies of national human rights institutions. OHCHR also works closely with intergovernmental organizations, academic institutions and civil society organizations.","OHCHR provides legal and technical assistance to national human rights institutions and other national stakeholders. The advice provided relates to the constitutional and legal provisions of national human rights institutions and their nature, functions, rights and responsibilities. In addition, missions in such areas as comparative analysis, technical cooperation needs assessment, programming and evaluation are dispatched to assist institutions in compliance with the principles on the status of national institutions for the promotion and protection of human rights (art. Paris Principles (see General Assembly resolution 48/134, annex).","OHCHR continued to organize the “A” national human rights institution staff fellowship programme. During the reporting period, the following national institutional staff participated in the programme: Egypt, India, Qatar, Nicaragua, Peru, Uganda and the United Kingdom of Great Britain and Northern Ireland. The objective of the CIP is to better understand and lead the international human rights system for national human rights institutions worldwide. Through this experience, researchers have increased their knowledge and practical experience on the United Nations human rights system, including treaty body systems, the Human Rights Council, the Universal Periodic Review and special procedures. They were also familiar with the work carried out by OHCHR with national human rights institutions and with technical and substantive issues related to national human rights institutions. Both OHCHR and national institutions benefit from the fellowship programme, including access to substantive knowledge and experience in the work of national human rights institutions.","Americas and the Caribbean","The OHCHR South American Office organized two workshops to further build the capacity of the National Institute for Human Rights of Chile. The main elements of the workshop were human rights indicators (11-12 April 2011) and how to report to the human rights treaty bodies (20 May 2011.","On 18 and 19 April 2011, OHCHR organized training activities on human rights indicators for national human rights institutions in Peru (the People's Ombudsman) through its Regional Office for South America. The training activities target over 30 national human rights institutions, with a specific focus on economic, social and cultural rights. The objective of the workshop was to better incorporate human rights indicators into the analysis and reporting of national human rights institutions.","On 20 April 2011, the OHCHR Regional Office for South America organized a training event for indigenous peoples in collaboration with national human rights institutions in Peru. The objective of the training is to increase knowledge and awareness of the United Nations Declaration on the Rights of Indigenous Peoples and international human rights mechanisms, including in-depth recognition of how indigenous peoples and civil society can successfully use United Nations mechanisms. The training activities target 30 indigenous and civil society organizations in Peru.","In Ecuador's appointment of the heads of national human rights institutions (the people's ombudsperson body), OHCHR supported awareness-raising on international standards. The support of OHCHR included the organization of a training event in June 2011, with the aim of participating in the Social Control Council, a member of the body responsible for the selection of the Ombudsman.","During her visit to Mexico (3-9 July 2011), the United Nations High Commissioner for Human Rights met with the Chairperson of the National Human Rights Commission to discuss further cooperation in the areas of human rights indicators, human rights defenders, migrant workers' rights and recent constitutional reforms. During her visit, the High Commissioner also held meetings with the Mexican Federation of Human Rights Public Institutions containing the following 32 States.","In September 2011, OHCHR Regional Office for South America co-organized a training event with national human rights institutions in Argentina (the National People's Ombudsman Agency). The event took place in two parts of the country with a focus on the rights of indigenous peoples and international human rights mechanisms.","During the reporting period, the OHCHR Regional Office for South America held talks with parliamentarians and Government officials of Uruguay on the establishment of a national human rights institution in the country. OHCHR highlighted the importance of ensuring institutional independence and autonomy, adequate funding and the selection process of the Commissioner.","During the reporting period, OHCHR continued to support Chile in its efforts to establish a national human rights institution in line with the Paris Principles. The OHCHR Regional Office for South America held an information briefing for the Senate representatives to disseminate information on national human rights institutions and the Paris Principles. OHCHR sent a letter to all members of Parliament drawing its attention to the recommendations of the UPR on the establishment of a national human rights institution.","During the reporting period, the OHCHR Regional Office for South America liaised with the national human rights institutions of the Bolivarian Republic of Venezuela in order to increase the involvement of the institution in the protection of rights and persons deprived of their liberty and to increase its participation in reporting to the UPR. OHCHR provided training for ombudsperson staff on the universal periodic review (A/HRC/16/76, para.","OHCHR, UNDP, the International Organization of la Francophonie and the Civil Protection Agency (IPU) have developed a three-year joint global strategy for strengthening the Protection Agency. The strategy will be implemented between 2011 and 2013. As part of this project, a consultant was recruited to assist the Protection Agency in implementing its mandate.","Africa","On 5 January 2011, Burundi adopted a bill establishing an independent national human rights commission. Since then, the United Nations Office in Burundi held consultations in Rutana, Kitanga and Bujumbura in March 2011. The event was aimed at raising awareness among civil society organizations of new laws and ensuring transparency in the selection and appointment of Committee members. On 19 May 2011, the National Assembly appointed seven members and officers.","OHCHR, in collaboration with the United Nations country team in Niger, held consultations to raise awareness of the establishment of new national human rights institutions. From 6 to 8 July 2011, consultations were held with Government ministries. A workshop for civil society organizations was held in Tarawa from 4 to 6 July.","In January 2011, the Independent National Human Rights Commission of Liberia was granted a new office. The Commission was officially established in October 2010. The Human Rights and Protection Section of the United Nations Mission in Liberia interacts with the leadership of the Commission to advise on the Commission's work plan for 2011 and the proceedings of the squatter projects. The workplan contains a national road map for reconciliation to the President. The Commission and the Human Rights and Protection Section agreed on two national advisory missions to prepare a strategic plan and internal rules of procedure. On 20 May 2011, the Human Rights and Protection Section organized a workshop with the National Commission for a half-day period to discuss the mandates, organizational charts and action plans of the two entities and discuss cooperation between the Commission and the Section.","During the reporting period, the OHCHR Regional Office for East Africa provided support to the Human Rights and Good Governance Commission of the United Republic of Tanzania, including training and demonstration activities to submit submissions to the UPR stakeholders. OHCHR is also involved in the development of a national human rights action plan in the United Republic of Tanzania. The Commission on Human Rights and Good Governance is one of the leaders of the work.","From 22 to 24 June 2011, OHCHR supported national human rights institutions in Namibia, South Africa, Zambia and Zimbabwe to attend a subregional seminar on follow-up to the concluding observations of the Committee on the Elimination of Racial Discrimination organized by OHCHR in Pretoria.","The Zimbabwe Human Rights Commission appointed its members in 2010 and has not yet been formally operational. OHCHR provided substantive advice on legal proposals for the establishment of the Zimbabwe Human Rights Commission. OHCHR and UNDP recruited a consultant for a six-month term to provide technical and capacity support to the Committee members. OHCHR and UNDP also hold capacity-building and awareness-raising meetings with national stakeholders to promote the establishment and operation of the Zimbabwe Human Rights Commission in accordance with the Paris Principles. The Vice-Chairperson of the Committee was invited to attend the above-mentioned regional seminar organized by OHCHR in Pretoria.","OHCHR provided comments on the draft rules for the appointment of members of civil society in the future national human rights institution in Zimbabwe. In close cooperation with the United Nations country team, OHCHR provided technical and advisory services to Governments and civil society seeking to establish a national human rights institution.","In August 2011, OHCHR supported the recruitment of a consultant in South Sudan to provide technical knowledge to the Commission on Human Rights and enhance the capacity of its staff.","OHCHR continued to work closely with the South African Human Rights Commission through anti-discrimination initiatives. The initiative was launched in November 2010, with funding from OHCHR. OHCHR held regular consultations with the South African Human Rights Commission to monitor the implementation of the project. The project aims to strengthen the Commission's ability to address human rights issues and combat xenophobia and discrimination against non-nationals.","The OHCHR Regional Office for Southern Africa, in close cooperation with the United Nations country team in the region, promotes the establishment and strengthening of national human rights institutions in the Comoros and Seychelles.","During the reporting period, OHCHR supported the development of a national human rights action plan by the Ethiopian Human Rights Commission. The OHCHR Regional Office for East Africa provided advice to the Commission to promote interaction with United Nations treaty bodies, namely the forthcoming review of Ethiopia by the Human Rights Committee and the Committee on the Elimination of Discrimination against Women. In August 2011, OHCHR, UNDP and the Network of African National Human Rights Institutions conducted a gap analysis of the Ethiopian Human Rights Commission to assess its capacity. OHCHR also advises on the accreditation process of the International Coordinating Committee and provides training to staff and Committee members on the Paris Principles.","During the reporting period, the OHCHR East Africa Regional Office provided support to the National Human Rights Commission in Djibouti to ensure its participation in the review of the Committee on the Elimination of Discrimination against Women's implementation of the recommendations of the three-year joint programme on the Universal Periodic Review in Djibouti.","In the last three months of 2010, OHCHR conducted capacity-building activities on the establishment of a national human rights institution in the Central African Republic (see A/HRC/16/76, para.","Asia and the Pacific","In the last three months of 2010, OHCHR, together with UNDP and the Asia-Pacific Forum of National Human Rights Institutions, undertook a capacity assessment of national human rights institutions in Jordan and Thailand (ibid., para.","Europe and Central Asia","At the invitation of the Norwegian Centre for Human Rights, OHCHR participated in a discussion held in Oslo on 11 January 2011 entitled “National Human Rights Institutions in Norway: Our way forward?”, which was part of the national consultation process on the restructuring of the Norwegian Centre for Human Rights, with representatives of civil society groups and staff from the Ministry of Foreign Affairs of Norway. OHCHR provided technical assistance and advice on the restructuring of national human rights institutions in Norway and the re-availability of the International Coordinating Committee.","During her visit to the Russian Federation, the United Nations High Commissioner for Human Rights made a statement at the annual meeting of the Coordinating Council of ombudsmen of the Russian Federation, held in Saint Petersburg on 18 February 2011. She noted that OHCHR would give high priority to the establishment and support of national human rights institutions and the Office of the Ombudsman in accordance with relevant international standards. In particular, OHCHR could share expertise on the role of inspection bodies in the rule of law, detention conditions and security sector reform. The High Commissioner encouraged participants to strengthen their contacts with United Nations treaty bodies and special procedures mechanisms of the Human Rights Council. The High Commissioner called on the Federal Ombudsman to create a space for interaction with the Human Rights Council at the subnational level. She also called on them to participate in international coordination and communication through the International Coordinating Committee and benefit from them.","In March 2011, OHCHR provided comments on the rules of procedure of the National Assembly of Serbia. These observations focus on the provisions governing the relationship between the Ombudsman and the Parliament, in particular the monitoring and review mechanism for national human rights institutions reporting to the National Assembly. The National Assembly considered the views of OHCHR when revising the above rules of procedure. OHCHR and the United Nations country team continued to work closely with the National Assembly and the Serbian Ombudsman to strengthen the relationship between the two national institutions.","In June 2011, a joint United Nations technical assistance programme to strengthen the capacity of national human rights institutions in Tajikistan was officially launched. In addition to the inspection body, the following institutions plan to participate in the programme: OHCHR, UNDP, the United Nations Agency for Gender Equality and Empowerment of Women (RUC), the Office of the United Nations High Commissioner for Refugees, the United Nations Children's Fund, the International Organization for Migration, the United Nations Population Fund, the International Labour Organization and UNAIDS. The programme is aimed at strengthening the capacity of national human rights institutions in Tajikistan to address complaints, undertake education and public awareness campaigns and improve their partnerships with key national actors and civil society organizations, thereby promoting human rights policy and legislative reform.","In July 2011, OHCHR provided comments on the Lithuanian Parliament Ombudsman Act, at the request of the Ministry of Justice and the Ombudsman of the Republic. In addition, on 12 July 2011, OHCHR participated in the consultation on the establishment of a national human rights institution organized by the President of Lithuania and the Ministry of Justice in Vilnes.","OHCHR, in cooperation with Government officials of the Republic of Moldova, discussed amendments to existing legislation of the National Human Rights Institutions of the Republic of Moldova, with a focus on the recruitment procedures and selection of the Ombudsman. OHCHR human rights advisers in the Republic of Moldova and OHCHR regional representatives in Europe have contacted a range of officials on this issue, including officials of the Ministry of Justice and key parliamentarians. In addition, the United Nations High Commissioner for Human Rights wrote to the Government urging swift action to improve national human rights institutions in order to apply for the International Coordinating Committee for accreditation.","The OHCHR human rights advisers in the Republic of Moldova provide support to national human rights institutions in various ways, including training for the universal periodic review and the oversight bodies of the weak, strengthening the institutions' libraries and developing strategic plans for national human rights institutions. OHCHR human rights advisers participated in a board composed of UNDP and the European Commission on strengthening national human rights institutions projects.","The Office of the United Nations High Commissioner for Human Rights assisted in strengthening national human rights infrastructure in Croatia, the Netherlands, Norway, Hungary, Lithuania and Slovakia. OHCHR provided advice, including on legislation, and drew the attention of Governments, national human rights institutions and other stakeholders involved in those processes to ensure the importance of genuine dialogue through pluralistic and participatory consultations.","OHCHR human rights advisers in Serbia work closely with the Office of the Ombudsman of Serbia to strengthen the institution's work in the promotion and protection of human rights. OHCHR support includes the preparation of a comprehensive report on the human rights situation of the Roma and the effectiveness of measures taken to integrate Roma into society. The report and its recommendations to the Government of Serbia are expected to be submitted to the National Assembly in early 2012.","The Human Rights Adviser of OHCHR in the former Yugoslav Republic of Macedonia assisted the Office of the Ombudsman in applying for accreditation by the International Coordinating Committee.","In the last three months of 2010, OHCHR assisted national human rights institutions in Serbia and the Netherlands in strengthening their capacities (ibid., paras. 39 and 40.).","Middle East and North Africa","OHCHR, UNDP and the Asia-Pacific Forum of National Human Rights Institutions have provided support to the capacity assessment of Palestinian national human rights institutions (6-8 February 2011 and 3-15 April 2011) and national human rights institutions in Afghanistan (13-26 May 2011. The capacity assessment includes staff from the interview bodies and other stakeholders.","During the reporting period, OHCHR provided legal advice on the draft legislation establishing a national human rights institution in Tunisia and Saudi Arabia.","OHCHR organized a seminar on the Paris Principles in Oman (see A/HRC/16/76, para.","Support for regional initiatives relating to national human rights institutions","Americas and the Caribbean","OHCHR, in cooperation with the Commonwealth Secretariat, organized a regional workshop on how to establish a national human rights institution for the Caribbean region in accordance with the Paris Principles. The workshop was held in Port Spain from 21 to 23 March 2011. The workshop was aimed at establishing and strengthening national human rights protection systems in the Caribbean, based on recent human rights developments in the Caribbean, including through the universal periodic review process of the Human Rights Council, in order to establish a national human rights institution in the short term. Members of Parliament, inspection agencies and government officials from 12 Caribbean English-speaking countries attended the seminar. Representatives of the United Nations country team in Barbados and the Organization of Eastern Caribbean States also participated. The workshop adopted the Declaration on Port of Spain (see annex).","The Inter-American Network of National Institutions for the Promotion and Protection of Human Rights held a meeting to discuss its workplan for the period 2011 to 2012. Participants discussed the establishment of a permanent capacity-building programme for staff from national human rights institutions in the region and the establishment of an Inter-American Network Advisory Committee. Participants agreed to establish a website of the Inter-American Network and agreed to hold the next annual session of 2011 in Guatemala.","Africa","The United Nations Development Programme, OHCHR and the Network of National Human Rights Institutions in Africa met in Geneva on 21 May 2011 to discuss cooperation and support issues, including ways to identify gap analyses and to assist in developing and validating the strategic plan of the network.","OHCHR participates in training programmes for national human rights institutions in Africa as a assistance unit (Associación nationales de l'homme). Between 30 May and 8 June 2011, Accra, the seminar was organized by the Institute of Human Rights and Humanitarian Law, La Urbourbenberg University and the Network of African National Human Rights Institutions. The main purpose of the training is to strengthen the capacity and knowledge of national human rights institution staff on the Paris Principles. Participants were staff from about 26 national human rights institutions, including investigators, trainers, legal personnel, administrative personnel and managers, from Ethiopia, Ghana, Kenya, Malawi, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Uganda, United Republic of Tanzania and Zambia.","Asia and the Pacific","From 28 to 30 March 2011, the Asia-Pacific Forum of National Human Rights Institutions, UNDP and OHCHR organized a training workshop on the capacity assessment of national human rights institutions in the Asia-Pacific region. OHCHR supported the participation of a representative of the Network of African National Human Rights Institutions in Kenya in order to facilitate the effective exchange of experiences and good practices among two national human rights institutions networks in Asia and the Pacific and Africa.","Europe and Central Asia","OHCHR assists the European Group of National Human Rights Institutions in establishing its permanent secretariat. OHCHR supported a conference held in Geneva on 21 February 2011 to identify concrete steps to establish a permanent secretariat. The meeting brought together representatives of 13 European national human rights institutions, as well as representatives of the Asia-Pacific Forum of National Human Rights Institutions and the Permanent Secretariat of the Network of African National Human Rights Institutions. The meeting was also attended by Permanent Missions and regional mechanisms in Geneva, such as fundamental rights institutions, the Organization for Security and Cooperation in Europe (OSCE), the Office for Democratic Institutions and Human Rights, and representatives of the Council of Europe. One of the main outcomes of the Conference was unanimous support for that initiative.","OHCHR participated in a seminar held in Prague on 28 and 29 March 2011 to discuss the role of national human rights institutions in promoting and protecting women's rights and gender equality. The seminar was organized by OSCE and the Office for Democratic Institutions and Human Rights for national human rights institutions from Eastern European States.","OHCHR participated in the fourth annual meeting of EU fundamental rights institutions and national human rights institutions, held in Vienna on 5 April 2011. In her statement, OHCHR focused on the different situation of national human rights institutions in Europe, as well as the consolidation of human rights institutions and equality institutions, or on trends in cooperation among various equal institutions, human rights institutions and monitoring bodies. It also stressed the importance of establishing a permanent secretariat of the European Group of National Human Rights Institutions.","OHCHR attended a supplementary meeting on the human dimension of the OSCE held in Vienna on 14 and 15 April. In accordance with the recent review of the working methods of the Human Rights Council, including the right to speak, the distribution of written statements and participation in the universal periodic review, OHCHR shared the experience of assisting national human rights institutions in strengthening their role in the Human Rights Council.","On 17 May 2011, in the margins of the twenty-fourth annual meeting of the International Coordinating Committee, members of the European Group of National Human Rights Institutions held a meeting on the following issues: the establishment of a permanent secretariat by the European Group; collaboration with the European Agency for Fundamental Rights, the Traken Process and OSCE; the Working Group on the Rights of Persons with Disabilities of the European Group; and national human rights institutions and equal institutions (European Network of Equality Institutions). At that meeting, the European Group elected the Scottish Human Rights Commission as the Chairperson of the European Group. Representatives of national human rights institutions in France, Luxembourg and Denmark were elected as members of the European Coordination Committee. The national human rights institution of Germany was elected a member of Europe of the Subcommittee on Accreditation of the International Coordinating Committee.","OHCHR participated in the OSCE Regional National Human Rights Institutions Conference held in Vilnes on 13 and 14 July 2011. The meeting was co-organized by the OSCE/Office for Democratic Institutions and Human Rights and the OSCE current Chairman (OSCE Chair). The meeting facilitated the exchange of experiences among monitoring bodies, the Commission on Human Rights, research institutions and other mechanisms in cooperation with administrative bodies, the judiciary, the Parliament and civil society.","OHCHR participated in an informal inter-agency meeting with the Council of Europe and the Office for Democratic Institutions and Human Rights, held in Warsaw on 4 and 5 October 2010. OHCHR shared its experience in assisting national human rights institutions in building their legislative frameworks and capacities.","On 20 and 21 October 2010, OHCHR participated in a regional round table on national preventive mechanisms established under the Optional Protocol to the Convention against Torture, organized by UNDP and the Croatian Ombudsman. The focus of the round table was on the prevention of torture and the role of national human rights institutions.","Middle East and North Africa","On 27 and 28 April 2011, the United Nations High Commissioner for Human Rights participated in the 7th Annual Meeting of National Human Rights Institutions of the Arab States, held in Nouashkt, to discuss the role of national human rights institutions in implementing the recommendations of United Nations treaty bodies. The conference was hosted by the National Human Rights Commission of Mauritania, with representatives of national human rights institutions from Algeria, Egypt, Jordan, Mauritania, Qatar and Tunisia. Participants adopted the Nawak Short Declaration.","C. Support provided by the Office of the United Nations High Commissioner for Human Rights for international initiatives related to national human rights institutions","International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights","OHCHR assisted the International Coordinating Committee in developing and managing its website (http://nhri.ohchr.org), which started operating in 2011 to replace www.nhri.net.","On 7 August 2011, OHCHR received a letter from the current and upcoming Chairman of the International Coordinating Committee calling on the United Nations to commemorate the twentieth anniversary of the adoption of the Paris Principles in 2013. The International Coordinating Committee is of the view that preparations for the event should commence in 2012, and that this issue should be included in the agenda of the sixty-sixth session of the General Assembly. In accordance with the proposal contained in that letter, it was recommended that the General Assembly, at its sixty-eighth session, convene a special plenary meeting in 2013 to commemorate the twentieth anniversary of the adoption of the Paris Principles, and that the Assembly include provisions in the two annual resolutions on national institutions for the promotion and protection of human rights.","(a) Twenty-fourth Annual Meeting","The twenty-fourth annual meeting of the International Coordinating Committee was held in Geneva from 17 to 19 May 2011. The agenda included best practices in the implementation of the recommendations of the universal periodic review; collaboration between national human rights institutions and treaty bodies; the rights of indigenous peoples; the role of national human rights institutions in the protection of women's rights; follow-up to the Durban Review Conference; human rights education; and business and human rights. The meeting was attended by members of national human rights institutions from over 80 countries, as well as government officials, civil society organizations, academics and intergovernmental organizations.","(b) Bureau meetings","The Bureau of the International Coordinating Committee was held in Geneva on 16 May 2011. Members of the Bureau discussed the statements made by the International Coordinating Committee at its seventeenth session on the adoption of the draft Optional Protocol to the Convention on the Rights of the Child and the statements made by the Conference of States Parties to the Convention on the Rights of Persons with Disabilities. The Bureau also endorsed the recommendation that the next two annual meetings of the International Coordinating Committee focus on gender equality and women and girls.","The officers decided to establish a working group composed of representatives from four regions to discuss the participation of national human rights institutions in the work of United Nations bodies. In addition, the officers agreed to support the adoption of a General Assembly resolution highlighting the Paris Principles and the participation of national human rights institutions in the work of United Nations bodies, and supported the adoption of a resolution on national human rights institutions at the seventeenth session of the Human Rights Council.","Subcommittee on Accreditation","OHCHR provided secretariat support to the meeting of the Subcommittee on Accreditation, held in Geneva from 23 to 27 May 2011. The Subcommittee considered the new accreditation of 20 national human rights institutions: Bangladesh, Hungary, Sierra Leone and Sweden; re-creditation: Australia, Austria, Canada, El Salvador, India, Mauritania, Namibia, New Zealand, Nicaragua, Norway, Senegal, Romania and the United Kingdom of Great Britain and Northern Ireland; and extension: Azerbaijan, Nigeria and Slovakia.","Cooperation between United Nations human rights mechanisms and national human rights institutions","National human rights institutions cooperate with international and regional human rights mechanisms as a key requirement of the Paris Principles. OHCHR continued to assist national human rights institutions in interacting with treaty bodies and the Human Rights Council, including the universal periodic review and special procedures. The work of OHCHR in this regard was carried out in coordination with the Chairman of the International Coordinating Committee and representatives in Geneva.","During the reporting period, OHCHR continued to support and facilitate the participation of the International Coordinating Committee in the landmark process aimed at strengthening international human rights mechanisms, such as the Human Rights Council review and treaty body reform.","Human Rights Council","The International Coordinating Committee was actively involved in the review of the Human Rights Council, making it more opportunity for a national human rights institution to participate in the work of the Human Rights Council. On 25 March 2011, the Human Rights Council adopted a review of the work and functioning of the Human Rights Council (resolution 16/21, annex), which included provisions on the participation of national human rights institutions in the universal periodic review and special procedures mechanisms and their interaction (see sections below).","In 2011, OHCHR, in cooperation with representatives of the International Coordinating Committee in Geneva, continued to support the participation of national human rights institutions in the work of the Human Rights Council. During the sixteenth session of the Human Rights Council (28 February-25 March 2011), eight written statements were submitted: 6 national human rights institutions (Bosnia and Herzegovina, Georgia, Malaysia, Morocco, Nicaragua and Ukraine), two regional networks of national human rights institutions (the African Partnership Forum and the Network of African National Human Rights Institutions). At the seventeenth session of the Council (30 May to 17 June 2011), three written statements were submitted: one from the International Coordinating Committee and one from the United Kingdom national human rights institution and one from the national human rights institutions of the Republic of Korea.","On 9 March 2011, in the margins of the sixteenth session of the Human Rights Council, OHCHR, in cooperation with the National Human Rights Council of Morocco, organized a side event to discuss the implementation of the recommendations of the Truth and Reconciliation Commission ( Truth and Reconciliation Commission). Geneva, 9 March 2011.","On 16 June 2011, the Human Rights Council unanimously adopted resolution 17/9 on national institutions for the promotion and protection of human rights.","Universal periodic review","OHCHR continued to assist national human rights institutions in interacting with the universal periodic review mechanism. In 2011, during the 10th (January), 11th (May) and 12th (October), the following 19 national human rights institutions provided information on the reports of stakeholders of the universal periodic review mechanism: 10th meeting: Austria, Australia (A level), Georgia (A), Namibia (A level), Nepal (A level), Niger and Paraguay (A level); 11th meeting: Denmark (A level), Greece (A), Sierra Leone, Somalia/Somaliland; 12th meeting: Haiti, Ireland (A level), Togo (United Republic of Tanzania), Uganda and United Republic of Tanzania).","In March 2011, the Human Rights Council provided for the participation of the following A national human rights institution: (a) The information submitted by the national human rights institutions of the State under review should be included as a separate section in the reports of stakeholders; (b) the national human rights institutions of the State under review have the right to make immediate statements after the consideration of the outcome by the plenary of the Council (see resolution 16/21, annex, paras. 9 and 13).","Special procedures","In March 2011, the Human Rights Council established that A-level National Human Rights Institutions had the right to nominate candidates for special procedures mandate holders and, during the interactive dialogue, had the right to follow the statements made by the special procedures mandate holders after presenting a country-specific report (ibid., annex, paras. 22 (a) and 28).","Treaty bodies","During the reporting period, OHCHR continued to assist national human rights institutions in their participation in the work of treaty bodies through information and participation. On 11 July 2011, the President of the International Coordinating Committee and the national human rights institutions of Denmark, Ethiopia, France and Germany participated in a meeting organized by the Human Rights Committee to discuss ways to improve cooperation with national human rights institutions.","OHCHR prepared a statement of practical information to national human rights institutions wishing to reach the treaty body system, including opportunities for interaction between national human rights institutions and treaty bodies, as well as working methods and rules of procedure relating to the participation of treaty bodies with national human rights institutions.","Cooperation between the Office of the United Nations High Commissioner for Human Rights, agencies, funds and programmes of the United Nations system and international and regional organizations of national human rights institutions","Cooperation between national human rights institutions and United Nations system agencies, funds and programmes is a key requirement of the Paris Principles. In 2008, the General Assembly encouraged all United Nations human rights mechanisms and agencies, funds and programmes to cooperate with Member States and States in the promotion and protection of human rights within their respective mandates. In that regard, the General Assembly welcomed the efforts of OHCHR to develop partnerships in support of national institutions.","During the reporting period, OHCHR focused on the development of United Nations assistance, including through the exchange of letters in March 2011, formalizing tripartite collaboration between the International Coordinating Committee, OHCHR and UNDP. The areas of triangular collaboration include, inter alia, strengthening the role of national human rights institutions and regional networks, as well as facilitating and supporting the engagement of United Nations agencies, funds and programmes with national human rights institutions.","The United Nations Development Programme, OHCHR and the International Coordinating Committee held a meeting in New York in February 2011. At that meeting, they decided to enter the Tripartite Partnership through the exchange of letters. Key elements of this partnership include the establishment of the UNDP-OHCHR-International Coordinating Committee annual strategic review on the establishment, development and effectiveness of national human rights institutions; engagement with United Nations human rights mechanisms; joint capacity assessment and gap analysis projects of national human rights institutions; contacts on thematic issues; information and knowledge management. The first Strategic Review Conference will be held at the end of August 2011.","Arab-European dialogue on torture and the rule of law","OHCHR participated in the sixth Arab-European dialogue on torture and the rule of law, held in Berlin from 11 to 13 May 2011.","Association of the Mediterranean Ombudsman","As an observer, OHCHR attended the fifth session of the Association of Mediterranean ombudsmen on the theme “The role of the Ombudsman in enhancing good governance and democracy”, held in San José, Malta, on 30 and 31 May 2011. In his statement, OHCHR provided participants with information on General Assembly resolution 3807 on the role of the Ombudsman, mediators and other national human rights institutions in the promotion and protection of human rights. In that resolution, the General Assembly welcomed the active participation of OHCHR in all international and regional meetings of the Ombudsman, mediators and other national human rights institutions, and invited the International Coordinating Committee, in cooperation with OHCHR, to certify them so that they can effectively interact with relevant human rights bodies of the United Nations system.","C. Ibero-American Federation of Ombudsman","OHCHR participated in the annual meeting of the Ibero-American Federation of Ombudsman. National human rights institutions and ombudsmen from Latin America, Portugal and Spain attended the meeting held in Arkaraedia, Spain, from 1 to 3 June 2011. Participants discussed, inter alia, the current and future challenges of the Ombudsman (Defensorias del Pueblo) in the promotion and protection of human rights, the Millennium Development Goals and national human rights institutions; reports on the promotion of human rights and national human rights institutions; the role of national human rights institutions in the implementation of economic, social and cultural rights; national human rights institutions and international human rights mechanisms; and the protection of national human rights institutions and vulnerable groups.","Cooperation with non-governmental organizations and academic institutions","OHCHR strives to promote the participation of non-governmental organizations in the activities of the International Coordinating Committee and its subcommittees on accreditation. On 7 October 2010, a non-governmental organization forum was held before the Tenth International Conference of National Human Rights Institutions (A/HRC/16/76, para. In May 2011, 50 members from civil society organizations around the world attended the annual International Coordinating Committee (Geneva). The session of the Subcommittee on Accreditation, which took place after the annual session, benefited from the views received from non-governmental organizations from Austria, India and Mauritania.","Thematic issues","Indigenous peoples","OHCHR and the Asia-Pacific Forum of National Human Rights Institutions are preparing a joint publication entitled “United Nations Declaration on the Rights of Indigenous Peoples: Operational Guide for National Human Rights Institutions”, aimed at supporting and strengthening the work of national human rights institutions in the promotion and protection of the rights of indigenous peoples.","On 11 July 2011, together with the fourth meeting of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, a national human rights institution was held in Geneva. The main purpose of the consultation was to share good practices that could be incorporated in the Guide to promote the rights of indigenous peoples.","History, principles, roles and responsibilities of national human rights institutions","During the reporting period, OHCHR launched an updated version of the OHCHR Professional Training Series, No. 4 entitled “The history, principles, roles and responsibilities of national human rights institutions”. On the basis of the 1995 version, the publication outlines current key issues related to the establishment and strengthening of independent national human rights institutions, including their role in the national promotion and protection of human rights system and their interaction with the international human rights system. The publication also covers recent international developments in this field, such as recent General Assembly resolutions and materials provided by the International Coordinating Committee.","C. National human rights institutions in the Federal State","During the twenty-fourth annual meeting of the International Coordinating Committee, OHCHR organized a side event on national human rights institutions in the Federal State. Participants discussed the speciality of such States (including decentralization and local self-government) and the strengths and challenges of national human rights institutions in the countries of the federal governance system.","Conclusion","Compliance with the Paris Principles is a key requirement to ensure the effectiveness, independence, autonomy and pluralism of national human rights institutions. National institutions and Governments, parliaments and other relevant stakeholders should take all necessary measures to ensure that national human rights institutions operate in accordance with the Paris Principles. The Ombudsman's institutions and mediators are also encouraged to act in accordance with these principles and to seek accreditation by the International Coordinating Committee.","The establishment of a national human rights institution in compliance with the Paris Principles in countries that do not exist. Compliance with the Paris Principles at the pre-establishment stage is key to ensuring the independence and legitimacy of new institutions. It is recommended that a broad and participatory consultation process be undertaken with civil society organizations when drafting a national human rights institution mandate legislation.","It was strongly recommended that special attention be paid to the Paris Principles in the appointment of members of national human rights institutions. Member States and national human rights institutions are encouraged to promote a transparent appointment process and to ensure the plurality of civil society organizations involved in the promotion and protection of human rights.","As a key component of the national human rights system, national human rights institutions are encouraged to cooperate with other parts of the system, namely the executive branch, the judiciary, the Parliament, civil society, the media and academia.","Encourage joint inter-agency programmes of the United Nations country team to support national human rights institutions and encourage national, regional and international partners to participate in these programmes. Annual strategic review of activities related to the establishment of the UNDP-OHCHR-International Coordinating Committee of National Human Rights Institutions is welcomed.","It is recommended that human rights institutions at the subnational level cooperate with the Federal National Human Rights Institutions to ensure the equal protection of all human rights throughout the country. The following national human rights institutions are strongly encouraged to interact with the international human rights system, including the universal periodic review, treaty bodies and special procedures.","By resolution 16/21 on the review of the work and functioning of the Human Rights Council, the Council strengthened the role of A-level national human rights institution in the universal periodic review and special procedures.","National human rights institutions are encouraged to play an active role in the second cycle of the universal periodic review of the Human Rights Council (2012-2016). National human rights institutions are encouraged to take advantage of the right to participate as set out in Human Rights Council resolution 16/21.","The Spanish Port Declaration on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles was welcomed. Other subregions are encouraged to take similar initiatives.","Welcomes the decision of the European Group of National Human Rights Institutions to establish a permanent secretariat. The secretariat will consolidate the regional architecture, which is expected to have a positive impact on the establishment and strengthening of national human rights institutions across Europe, in accordance with the Paris Principles.","Annex","Regional workshop on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles","Spain, Trinidad and Tobago","Declaration of the Port of Spain","In accordance with the Charter of the United Nations and the Universal Declaration of Human Rights, the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat, with the support of the United Nations country team in Trinidad and Tobago, organized a three-day regional workshop on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles.","Participants from the English-speaking countries of the Caribbean, Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, Dominica, Grenada, Jamaica, Saint Kitts and Nevis, Saint Lucia, Suriname, Trinidad and Tobago. Representatives of the United Nations country team in Barbados and the country team in Trinidad and Tobago attended the workshop:","• Expresses its appreciation to the Government of Trinidad and Tobago for hosting a regional workshop on the establishment of a national human rights institution in the Caribbean, in accordance with the Paris Principles, and in particular for the official opening ceremony of the workshop chaired by the Attorney-General, H.E. Anand Ramlogan.","• Expresses its appreciation to the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat for organizing this regional workshop.","• Confirmation of the participation of the United Nations Office of the Resident Coordinator in Trinidad and Tobago and representatives of national human rights institutions from the Philippines and Canada in the workshop as experts.","• The need to sensitize Governments, parliaments and other relevant national stakeholders to the value and benefits of the establishment of national human rights institutions.","• Recognition of the need to create a model of national human rights institutions in the Caribbean, based on existing human rights frameworks.","• Emphasis was placed on the need for national human rights institutions to make human rights values part of everyday and linguistic life.","• The relevance of national human rights institutions, including monitoring bodies, as key actors in strengthening the promotion and protection of human rights.","• Recognize the role and leadership of civil society actors in the protection and promotion of human rights.","• Recognize the role of national human rights institutions, including the Ombudsman's institutions, in raising awareness and exercising human rights for all.","• Confirm a comprehensive overview and discussion of the establishment and strengthening of national human rights institutions, their historical and legal contexts, the minimum standards to be adhered to by national human rights institutions and the core functions, main features and methods of operation of national human rights institutions.","• Recognize the importance of taking the necessary measures to establish a national human rights institution in accordance with the Paris Principles and to seek accreditation by the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights.","• Recognize that national human rights institutions in compliance with the Paris Principles can play an important role internationally through interaction with international human rights mechanisms, including the Human Rights Council, treaty bodies and special procedures.","• Welcome the practical focus of the workshop on the sharing of expertise and experience related to the establishment of a national human rights institution in line with the Paris Principles.","• Recognize that while the Caribbean countries have unique challenges in the establishment of a national human rights institution, the Office of the United Nations High Commissioner for Human Rights, the United Nations Development Programme, other United Nations agencies, the International Coordinating Committee and the Commonwealth Secretariat can provide assistance and support in the establishment of a national human rights institution at the request of Member States.","Spain, Trinidad and Tobago","AD(*) A/63/250.","[2] European National Human Rights Institutions Group, Network of National Institutions for the Promotion and Protection of Human Rights in the Americas, Asia Pacific Forum of National Human Rights Institutions and Network of African National Human Rights Institutions."],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (b) of the provisional agenda\",\n \"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms\",\n \"National institutions for the promotion and protection of human rights\",\n \"Report of the Secretary-General\",\n \"The present report covers information on the activities of the Office of the United Nations High Commissioner for Human Rights to establish and strengthen national human rights institutions between September 2010 and September 2011; measures taken by the Government and national human rights institutions in this regard; support for international and regional activities of national human rights institutions; technical assistance related to national human rights institutions in conjunction with other United Nations agencies, funds and programmes; and cooperation between national human rights institutions and international mechanisms for the promotion and protection of human rights. The present report also contains information on the work of national human rights institutions in specific thematic areas. The present report supplements the report of the Secretary-General to the Human Rights Council, submitted on 7 February 2011, covering the period from January to December 2010 (A/HRC/16/76).\",\n \"Introduction\",\n \"The present report is submitted pursuant to General Assembly resolution 64/161, in which the Assembly requested the Secretary-General to report to the Assembly at its sixty-sixth session on the implementation of the resolution. The present report covers activities for the period from September 2010 to September 2011 and supplements the report of the Secretary-General to the Human Rights Council on 7 February 2011 covering the period from January to December 2010 (A/HRC/16/76).\",\n \"In its resolution 64/161, the General Assembly recognized the involvement of a wide range of actors in the establishment and strengthening of national human rights institutions. The General Assembly encouraged national human rights institutions to cooperate with various actors, including the United Nations, including the Office of the United Nations High Commissioner for Human Rights (OHCHR), the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (ICC), the Network of Regional National Human Rights Institutions [2] and the Association of Regional and International Ombudsmans. In the same resolution, the General Assembly also welcomed the efforts of the High Commissioner to develop partnerships to support national institutions and encouraged all United Nations human rights mechanisms and agencies, funds and programmes to cooperate with Member States and States within their respective mandates. Among these many actors, Member States should play a prominent role in the establishment and strengthening of national human rights institutions. In that regard, the General Assembly, in its resolution 64/161, also encouraged Member States to establish effective, independent and pluralistic national institutions.\",\n \"The present report aims to provide an overview of the role played by the parties in the establishment and strengthening of independent national human rights institutions. The present report also provides information on partnerships and other cooperation arrangements established to date at the national, regional and international levels.\",\n \"Office of the United Nations High Commissioner for Human Rights and national human rights institutions\",\n \"Support and outreach to national human rights institutions are part of the mandate of OHCHR. In her introductory statement at the twenty-fourth annual meeting of the International Coordinating Committee (Geneva, 17 May 2011), the High Commissioner reiterated that national human rights institutions were key partners of OHCHR, since they were at the centre of national human rights protection systems, particularly in addressing the most urgent human rights issues at the country level.\",\n \"OHCHR continued to provide legal and technical support for the establishment and strengthening of national human rights institutions through the National Institutions and Regional Mechanisms Section. OHCHR continued to develop its long-term relationship with the Committee through the provision of secretariat services to the International Coordinating Committee itself and the Subcommittee on Accreditation.\",\n \"The General Assembly had noted that the role of OHCHR in national human rights institutions remained a ongoing process. The General Assembly therefore encouraged the High Commissioner to further expand its activities in support of those bodies (resolution 64/161, para. In 2011, in addition to the long-term mandate of OHCHR in support of national human rights institutions, the General Assembly requested the Office to develop and support activities related to the two specific institutional categories of ombudsman and mediators (see resolution 3907, para.\",\n \"Advisory services provided by OHCHR on national human rights institutions\",\n \"OHCHR plays a role in strengthening national human rights institutions at the national, regional and international levels through national institutions and regional mechanisms sections. The Section works in collaboration with other OHCHR departments, including field personnel. OHCHR continued to provide advice and assistance in the establishment and strengthening of institutions, including through its national and regional offices, human rights counselling advisers and the human rights components of United Nations peace missions, as well as collaboration with other United Nations partners, such as the United Nations Development Programme (UNDP) and the regional coordinating bodies of national human rights institutions. OHCHR also works closely with intergovernmental organizations, academic institutions and civil society organizations.\",\n \"OHCHR provides legal and technical assistance to national human rights institutions and other national stakeholders. The advice provided relates to the constitutional and legal provisions of national human rights institutions and their nature, functions, rights and responsibilities. In addition, missions in such areas as comparative analysis, technical cooperation needs assessment, programming and evaluation are dispatched to assist institutions in compliance with the principles on the status of national institutions for the promotion and protection of human rights (art. Paris Principles (see General Assembly resolution 48/134, annex).\",\n \"OHCHR continued to organize the “A” national human rights institution staff fellowship programme. During the reporting period, the following national institutional staff participated in the programme: Egypt, India, Qatar, Nicaragua, Peru, Uganda and the United Kingdom of Great Britain and Northern Ireland. The objective of the CIP is to better understand and lead the international human rights system for national human rights institutions worldwide. Through this experience, researchers have increased their knowledge and practical experience on the United Nations human rights system, including treaty body systems, the Human Rights Council, the Universal Periodic Review and special procedures. They were also familiar with the work carried out by OHCHR with national human rights institutions and with technical and substantive issues related to national human rights institutions. Both OHCHR and national institutions benefit from the fellowship programme, including access to substantive knowledge and experience in the work of national human rights institutions.\",\n \"Americas and the Caribbean\",\n \"The OHCHR South American Office organized two workshops to further build the capacity of the National Institute for Human Rights of Chile. The main elements of the workshop were human rights indicators (11-12 April 2011) and how to report to the human rights treaty bodies (20 May 2011.\",\n \"On 18 and 19 April 2011, OHCHR organized training activities on human rights indicators for national human rights institutions in Peru (the People's Ombudsman) through its Regional Office for South America. The training activities target over 30 national human rights institutions, with a specific focus on economic, social and cultural rights. The objective of the workshop was to better incorporate human rights indicators into the analysis and reporting of national human rights institutions.\",\n \"On 20 April 2011, the OHCHR Regional Office for South America organized a training event for indigenous peoples in collaboration with national human rights institutions in Peru. The objective of the training is to increase knowledge and awareness of the United Nations Declaration on the Rights of Indigenous Peoples and international human rights mechanisms, including in-depth recognition of how indigenous peoples and civil society can successfully use United Nations mechanisms. The training activities target 30 indigenous and civil society organizations in Peru.\",\n \"In Ecuador's appointment of the heads of national human rights institutions (the people's ombudsperson body), OHCHR supported awareness-raising on international standards. The support of OHCHR included the organization of a training event in June 2011, with the aim of participating in the Social Control Council, a member of the body responsible for the selection of the Ombudsman.\",\n \"During her visit to Mexico (3-9 July 2011), the United Nations High Commissioner for Human Rights met with the Chairperson of the National Human Rights Commission to discuss further cooperation in the areas of human rights indicators, human rights defenders, migrant workers' rights and recent constitutional reforms. During her visit, the High Commissioner also held meetings with the Mexican Federation of Human Rights Public Institutions containing the following 32 States.\",\n \"In September 2011, OHCHR Regional Office for South America co-organized a training event with national human rights institutions in Argentina (the National People's Ombudsman Agency). The event took place in two parts of the country with a focus on the rights of indigenous peoples and international human rights mechanisms.\",\n \"During the reporting period, the OHCHR Regional Office for South America held talks with parliamentarians and Government officials of Uruguay on the establishment of a national human rights institution in the country. OHCHR highlighted the importance of ensuring institutional independence and autonomy, adequate funding and the selection process of the Commissioner.\",\n \"During the reporting period, OHCHR continued to support Chile in its efforts to establish a national human rights institution in line with the Paris Principles. The OHCHR Regional Office for South America held an information briefing for the Senate representatives to disseminate information on national human rights institutions and the Paris Principles. OHCHR sent a letter to all members of Parliament drawing its attention to the recommendations of the UPR on the establishment of a national human rights institution.\",\n \"During the reporting period, the OHCHR Regional Office for South America liaised with the national human rights institutions of the Bolivarian Republic of Venezuela in order to increase the involvement of the institution in the protection of rights and persons deprived of their liberty and to increase its participation in reporting to the UPR. OHCHR provided training for ombudsperson staff on the universal periodic review (A/HRC/16/76, para.\",\n \"OHCHR, UNDP, the International Organization of la Francophonie and the Civil Protection Agency (IPU) have developed a three-year joint global strategy for strengthening the Protection Agency. The strategy will be implemented between 2011 and 2013. As part of this project, a consultant was recruited to assist the Protection Agency in implementing its mandate.\",\n \"Africa\",\n \"On 5 January 2011, Burundi adopted a bill establishing an independent national human rights commission. Since then, the United Nations Office in Burundi held consultations in Rutana, Kitanga and Bujumbura in March 2011. The event was aimed at raising awareness among civil society organizations of new laws and ensuring transparency in the selection and appointment of Committee members. On 19 May 2011, the National Assembly appointed seven members and officers.\",\n \"OHCHR, in collaboration with the United Nations country team in Niger, held consultations to raise awareness of the establishment of new national human rights institutions. From 6 to 8 July 2011, consultations were held with Government ministries. A workshop for civil society organizations was held in Tarawa from 4 to 6 July.\",\n \"In January 2011, the Independent National Human Rights Commission of Liberia was granted a new office. The Commission was officially established in October 2010. The Human Rights and Protection Section of the United Nations Mission in Liberia interacts with the leadership of the Commission to advise on the Commission's work plan for 2011 and the proceedings of the squatter projects. The workplan contains a national road map for reconciliation to the President. The Commission and the Human Rights and Protection Section agreed on two national advisory missions to prepare a strategic plan and internal rules of procedure. On 20 May 2011, the Human Rights and Protection Section organized a workshop with the National Commission for a half-day period to discuss the mandates, organizational charts and action plans of the two entities and discuss cooperation between the Commission and the Section.\",\n \"During the reporting period, the OHCHR Regional Office for East Africa provided support to the Human Rights and Good Governance Commission of the United Republic of Tanzania, including training and demonstration activities to submit submissions to the UPR stakeholders. OHCHR is also involved in the development of a national human rights action plan in the United Republic of Tanzania. The Commission on Human Rights and Good Governance is one of the leaders of the work.\",\n \"From 22 to 24 June 2011, OHCHR supported national human rights institutions in Namibia, South Africa, Zambia and Zimbabwe to attend a subregional seminar on follow-up to the concluding observations of the Committee on the Elimination of Racial Discrimination organized by OHCHR in Pretoria.\",\n \"The Zimbabwe Human Rights Commission appointed its members in 2010 and has not yet been formally operational. OHCHR provided substantive advice on legal proposals for the establishment of the Zimbabwe Human Rights Commission. OHCHR and UNDP recruited a consultant for a six-month term to provide technical and capacity support to the Committee members. OHCHR and UNDP also hold capacity-building and awareness-raising meetings with national stakeholders to promote the establishment and operation of the Zimbabwe Human Rights Commission in accordance with the Paris Principles. The Vice-Chairperson of the Committee was invited to attend the above-mentioned regional seminar organized by OHCHR in Pretoria.\",\n \"OHCHR provided comments on the draft rules for the appointment of members of civil society in the future national human rights institution in Zimbabwe. In close cooperation with the United Nations country team, OHCHR provided technical and advisory services to Governments and civil society seeking to establish a national human rights institution.\",\n \"In August 2011, OHCHR supported the recruitment of a consultant in South Sudan to provide technical knowledge to the Commission on Human Rights and enhance the capacity of its staff.\",\n \"OHCHR continued to work closely with the South African Human Rights Commission through anti-discrimination initiatives. The initiative was launched in November 2010, with funding from OHCHR. OHCHR held regular consultations with the South African Human Rights Commission to monitor the implementation of the project. The project aims to strengthen the Commission's ability to address human rights issues and combat xenophobia and discrimination against non-nationals.\",\n \"The OHCHR Regional Office for Southern Africa, in close cooperation with the United Nations country team in the region, promotes the establishment and strengthening of national human rights institutions in the Comoros and Seychelles.\",\n \"During the reporting period, OHCHR supported the development of a national human rights action plan by the Ethiopian Human Rights Commission. The OHCHR Regional Office for East Africa provided advice to the Commission to promote interaction with United Nations treaty bodies, namely the forthcoming review of Ethiopia by the Human Rights Committee and the Committee on the Elimination of Discrimination against Women. In August 2011, OHCHR, UNDP and the Network of African National Human Rights Institutions conducted a gap analysis of the Ethiopian Human Rights Commission to assess its capacity. OHCHR also advises on the accreditation process of the International Coordinating Committee and provides training to staff and Committee members on the Paris Principles.\",\n \"During the reporting period, the OHCHR East Africa Regional Office provided support to the National Human Rights Commission in Djibouti to ensure its participation in the review of the Committee on the Elimination of Discrimination against Women's implementation of the recommendations of the three-year joint programme on the Universal Periodic Review in Djibouti.\",\n \"In the last three months of 2010, OHCHR conducted capacity-building activities on the establishment of a national human rights institution in the Central African Republic (see A/HRC/16/76, para.\",\n \"Asia and the Pacific\",\n \"In the last three months of 2010, OHCHR, together with UNDP and the Asia-Pacific Forum of National Human Rights Institutions, undertook a capacity assessment of national human rights institutions in Jordan and Thailand (ibid., para.\",\n \"Europe and Central Asia\",\n \"At the invitation of the Norwegian Centre for Human Rights, OHCHR participated in a discussion held in Oslo on 11 January 2011 entitled “National Human Rights Institutions in Norway: Our way forward?”, which was part of the national consultation process on the restructuring of the Norwegian Centre for Human Rights, with representatives of civil society groups and staff from the Ministry of Foreign Affairs of Norway. OHCHR provided technical assistance and advice on the restructuring of national human rights institutions in Norway and the re-availability of the International Coordinating Committee.\",\n \"During her visit to the Russian Federation, the United Nations High Commissioner for Human Rights made a statement at the annual meeting of the Coordinating Council of ombudsmen of the Russian Federation, held in Saint Petersburg on 18 February 2011. She noted that OHCHR would give high priority to the establishment and support of national human rights institutions and the Office of the Ombudsman in accordance with relevant international standards. In particular, OHCHR could share expertise on the role of inspection bodies in the rule of law, detention conditions and security sector reform. The High Commissioner encouraged participants to strengthen their contacts with United Nations treaty bodies and special procedures mechanisms of the Human Rights Council. The High Commissioner called on the Federal Ombudsman to create a space for interaction with the Human Rights Council at the subnational level. She also called on them to participate in international coordination and communication through the International Coordinating Committee and benefit from them.\",\n \"In March 2011, OHCHR provided comments on the rules of procedure of the National Assembly of Serbia. These observations focus on the provisions governing the relationship between the Ombudsman and the Parliament, in particular the monitoring and review mechanism for national human rights institutions reporting to the National Assembly. The National Assembly considered the views of OHCHR when revising the above rules of procedure. OHCHR and the United Nations country team continued to work closely with the National Assembly and the Serbian Ombudsman to strengthen the relationship between the two national institutions.\",\n \"In June 2011, a joint United Nations technical assistance programme to strengthen the capacity of national human rights institutions in Tajikistan was officially launched. In addition to the inspection body, the following institutions plan to participate in the programme: OHCHR, UNDP, the United Nations Agency for Gender Equality and Empowerment of Women (RUC), the Office of the United Nations High Commissioner for Refugees, the United Nations Children's Fund, the International Organization for Migration, the United Nations Population Fund, the International Labour Organization and UNAIDS. The programme is aimed at strengthening the capacity of national human rights institutions in Tajikistan to address complaints, undertake education and public awareness campaigns and improve their partnerships with key national actors and civil society organizations, thereby promoting human rights policy and legislative reform.\",\n \"In July 2011, OHCHR provided comments on the Lithuanian Parliament Ombudsman Act, at the request of the Ministry of Justice and the Ombudsman of the Republic. In addition, on 12 July 2011, OHCHR participated in the consultation on the establishment of a national human rights institution organized by the President of Lithuania and the Ministry of Justice in Vilnes.\",\n \"OHCHR, in cooperation with Government officials of the Republic of Moldova, discussed amendments to existing legislation of the National Human Rights Institutions of the Republic of Moldova, with a focus on the recruitment procedures and selection of the Ombudsman. OHCHR human rights advisers in the Republic of Moldova and OHCHR regional representatives in Europe have contacted a range of officials on this issue, including officials of the Ministry of Justice and key parliamentarians. In addition, the United Nations High Commissioner for Human Rights wrote to the Government urging swift action to improve national human rights institutions in order to apply for the International Coordinating Committee for accreditation.\",\n \"The OHCHR human rights advisers in the Republic of Moldova provide support to national human rights institutions in various ways, including training for the universal periodic review and the oversight bodies of the weak, strengthening the institutions' libraries and developing strategic plans for national human rights institutions. OHCHR human rights advisers participated in a board composed of UNDP and the European Commission on strengthening national human rights institutions projects.\",\n \"The Office of the United Nations High Commissioner for Human Rights assisted in strengthening national human rights infrastructure in Croatia, the Netherlands, Norway, Hungary, Lithuania and Slovakia. OHCHR provided advice, including on legislation, and drew the attention of Governments, national human rights institutions and other stakeholders involved in those processes to ensure the importance of genuine dialogue through pluralistic and participatory consultations.\",\n \"OHCHR human rights advisers in Serbia work closely with the Office of the Ombudsman of Serbia to strengthen the institution's work in the promotion and protection of human rights. OHCHR support includes the preparation of a comprehensive report on the human rights situation of the Roma and the effectiveness of measures taken to integrate Roma into society. The report and its recommendations to the Government of Serbia are expected to be submitted to the National Assembly in early 2012.\",\n \"The Human Rights Adviser of OHCHR in the former Yugoslav Republic of Macedonia assisted the Office of the Ombudsman in applying for accreditation by the International Coordinating Committee.\",\n \"In the last three months of 2010, OHCHR assisted national human rights institutions in Serbia and the Netherlands in strengthening their capacities (ibid., paras. 39 and 40.).\",\n \"Middle East and North Africa\",\n \"OHCHR, UNDP and the Asia-Pacific Forum of National Human Rights Institutions have provided support to the capacity assessment of Palestinian national human rights institutions (6-8 February 2011 and 3-15 April 2011) and national human rights institutions in Afghanistan (13-26 May 2011. The capacity assessment includes staff from the interview bodies and other stakeholders.\",\n \"During the reporting period, OHCHR provided legal advice on the draft legislation establishing a national human rights institution in Tunisia and Saudi Arabia.\",\n \"OHCHR organized a seminar on the Paris Principles in Oman (see A/HRC/16/76, para.\",\n \"Support for regional initiatives relating to national human rights institutions\",\n \"Americas and the Caribbean\",\n \"OHCHR, in cooperation with the Commonwealth Secretariat, organized a regional workshop on how to establish a national human rights institution for the Caribbean region in accordance with the Paris Principles. The workshop was held in Port Spain from 21 to 23 March 2011. The workshop was aimed at establishing and strengthening national human rights protection systems in the Caribbean, based on recent human rights developments in the Caribbean, including through the universal periodic review process of the Human Rights Council, in order to establish a national human rights institution in the short term. Members of Parliament, inspection agencies and government officials from 12 Caribbean English-speaking countries attended the seminar. Representatives of the United Nations country team in Barbados and the Organization of Eastern Caribbean States also participated. The workshop adopted the Declaration on Port of Spain (see annex).\",\n \"The Inter-American Network of National Institutions for the Promotion and Protection of Human Rights held a meeting to discuss its workplan for the period 2011 to 2012. Participants discussed the establishment of a permanent capacity-building programme for staff from national human rights institutions in the region and the establishment of an Inter-American Network Advisory Committee. Participants agreed to establish a website of the Inter-American Network and agreed to hold the next annual session of 2011 in Guatemala.\",\n \"Africa\",\n \"The United Nations Development Programme, OHCHR and the Network of National Human Rights Institutions in Africa met in Geneva on 21 May 2011 to discuss cooperation and support issues, including ways to identify gap analyses and to assist in developing and validating the strategic plan of the network.\",\n \"OHCHR participates in training programmes for national human rights institutions in Africa as a assistance unit (Associación nationales de l'homme). Between 30 May and 8 June 2011, Accra, the seminar was organized by the Institute of Human Rights and Humanitarian Law, La Urbourbenberg University and the Network of African National Human Rights Institutions. The main purpose of the training is to strengthen the capacity and knowledge of national human rights institution staff on the Paris Principles. Participants were staff from about 26 national human rights institutions, including investigators, trainers, legal personnel, administrative personnel and managers, from Ethiopia, Ghana, Kenya, Malawi, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Uganda, United Republic of Tanzania and Zambia.\",\n \"Asia and the Pacific\",\n \"From 28 to 30 March 2011, the Asia-Pacific Forum of National Human Rights Institutions, UNDP and OHCHR organized a training workshop on the capacity assessment of national human rights institutions in the Asia-Pacific region. OHCHR supported the participation of a representative of the Network of African National Human Rights Institutions in Kenya in order to facilitate the effective exchange of experiences and good practices among two national human rights institutions networks in Asia and the Pacific and Africa.\",\n \"Europe and Central Asia\",\n \"OHCHR assists the European Group of National Human Rights Institutions in establishing its permanent secretariat. OHCHR supported a conference held in Geneva on 21 February 2011 to identify concrete steps to establish a permanent secretariat. The meeting brought together representatives of 13 European national human rights institutions, as well as representatives of the Asia-Pacific Forum of National Human Rights Institutions and the Permanent Secretariat of the Network of African National Human Rights Institutions. The meeting was also attended by Permanent Missions and regional mechanisms in Geneva, such as fundamental rights institutions, the Organization for Security and Cooperation in Europe (OSCE), the Office for Democratic Institutions and Human Rights, and representatives of the Council of Europe. One of the main outcomes of the Conference was unanimous support for that initiative.\",\n \"OHCHR participated in a seminar held in Prague on 28 and 29 March 2011 to discuss the role of national human rights institutions in promoting and protecting women's rights and gender equality. The seminar was organized by OSCE and the Office for Democratic Institutions and Human Rights for national human rights institutions from Eastern European States.\",\n \"OHCHR participated in the fourth annual meeting of EU fundamental rights institutions and national human rights institutions, held in Vienna on 5 April 2011. In her statement, OHCHR focused on the different situation of national human rights institutions in Europe, as well as the consolidation of human rights institutions and equality institutions, or on trends in cooperation among various equal institutions, human rights institutions and monitoring bodies. It also stressed the importance of establishing a permanent secretariat of the European Group of National Human Rights Institutions.\",\n \"OHCHR attended a supplementary meeting on the human dimension of the OSCE held in Vienna on 14 and 15 April. In accordance with the recent review of the working methods of the Human Rights Council, including the right to speak, the distribution of written statements and participation in the universal periodic review, OHCHR shared the experience of assisting national human rights institutions in strengthening their role in the Human Rights Council.\",\n \"On 17 May 2011, in the margins of the twenty-fourth annual meeting of the International Coordinating Committee, members of the European Group of National Human Rights Institutions held a meeting on the following issues: the establishment of a permanent secretariat by the European Group; collaboration with the European Agency for Fundamental Rights, the Traken Process and OSCE; the Working Group on the Rights of Persons with Disabilities of the European Group; and national human rights institutions and equal institutions (European Network of Equality Institutions). At that meeting, the European Group elected the Scottish Human Rights Commission as the Chairperson of the European Group. Representatives of national human rights institutions in France, Luxembourg and Denmark were elected as members of the European Coordination Committee. The national human rights institution of Germany was elected a member of Europe of the Subcommittee on Accreditation of the International Coordinating Committee.\",\n \"OHCHR participated in the OSCE Regional National Human Rights Institutions Conference held in Vilnes on 13 and 14 July 2011. The meeting was co-organized by the OSCE/Office for Democratic Institutions and Human Rights and the OSCE current Chairman (OSCE Chair). The meeting facilitated the exchange of experiences among monitoring bodies, the Commission on Human Rights, research institutions and other mechanisms in cooperation with administrative bodies, the judiciary, the Parliament and civil society.\",\n \"OHCHR participated in an informal inter-agency meeting with the Council of Europe and the Office for Democratic Institutions and Human Rights, held in Warsaw on 4 and 5 October 2010. OHCHR shared its experience in assisting national human rights institutions in building their legislative frameworks and capacities.\",\n \"On 20 and 21 October 2010, OHCHR participated in a regional round table on national preventive mechanisms established under the Optional Protocol to the Convention against Torture, organized by UNDP and the Croatian Ombudsman. The focus of the round table was on the prevention of torture and the role of national human rights institutions.\",\n \"Middle East and North Africa\",\n \"On 27 and 28 April 2011, the United Nations High Commissioner for Human Rights participated in the 7th Annual Meeting of National Human Rights Institutions of the Arab States, held in Nouashkt, to discuss the role of national human rights institutions in implementing the recommendations of United Nations treaty bodies. The conference was hosted by the National Human Rights Commission of Mauritania, with representatives of national human rights institutions from Algeria, Egypt, Jordan, Mauritania, Qatar and Tunisia. Participants adopted the Nawak Short Declaration.\",\n \"C. Support provided by the Office of the United Nations High Commissioner for Human Rights for international initiatives related to national human rights institutions\",\n \"International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights\",\n \"OHCHR assisted the International Coordinating Committee in developing and managing its website (http://nhri.ohchr.org), which started operating in 2011 to replace www.nhri.net.\",\n \"On 7 August 2011, OHCHR received a letter from the current and upcoming Chairman of the International Coordinating Committee calling on the United Nations to commemorate the twentieth anniversary of the adoption of the Paris Principles in 2013. The International Coordinating Committee is of the view that preparations for the event should commence in 2012, and that this issue should be included in the agenda of the sixty-sixth session of the General Assembly. In accordance with the proposal contained in that letter, it was recommended that the General Assembly, at its sixty-eighth session, convene a special plenary meeting in 2013 to commemorate the twentieth anniversary of the adoption of the Paris Principles, and that the Assembly include provisions in the two annual resolutions on national institutions for the promotion and protection of human rights.\",\n \"(a) Twenty-fourth Annual Meeting\",\n \"The twenty-fourth annual meeting of the International Coordinating Committee was held in Geneva from 17 to 19 May 2011. The agenda included best practices in the implementation of the recommendations of the universal periodic review; collaboration between national human rights institutions and treaty bodies; the rights of indigenous peoples; the role of national human rights institutions in the protection of women's rights; follow-up to the Durban Review Conference; human rights education; and business and human rights. The meeting was attended by members of national human rights institutions from over 80 countries, as well as government officials, civil society organizations, academics and intergovernmental organizations.\",\n \"(b) Bureau meetings\",\n \"The Bureau of the International Coordinating Committee was held in Geneva on 16 May 2011. Members of the Bureau discussed the statements made by the International Coordinating Committee at its seventeenth session on the adoption of the draft Optional Protocol to the Convention on the Rights of the Child and the statements made by the Conference of States Parties to the Convention on the Rights of Persons with Disabilities. The Bureau also endorsed the recommendation that the next two annual meetings of the International Coordinating Committee focus on gender equality and women and girls.\",\n \"The officers decided to establish a working group composed of representatives from four regions to discuss the participation of national human rights institutions in the work of United Nations bodies. In addition, the officers agreed to support the adoption of a General Assembly resolution highlighting the Paris Principles and the participation of national human rights institutions in the work of United Nations bodies, and supported the adoption of a resolution on national human rights institutions at the seventeenth session of the Human Rights Council.\",\n \"Subcommittee on Accreditation\",\n \"OHCHR provided secretariat support to the meeting of the Subcommittee on Accreditation, held in Geneva from 23 to 27 May 2011. The Subcommittee considered the new accreditation of 20 national human rights institutions: Bangladesh, Hungary, Sierra Leone and Sweden; re-creditation: Australia, Austria, Canada, El Salvador, India, Mauritania, Namibia, New Zealand, Nicaragua, Norway, Senegal, Romania and the United Kingdom of Great Britain and Northern Ireland; and extension: Azerbaijan, Nigeria and Slovakia.\",\n \"Cooperation between United Nations human rights mechanisms and national human rights institutions\",\n \"National human rights institutions cooperate with international and regional human rights mechanisms as a key requirement of the Paris Principles. OHCHR continued to assist national human rights institutions in interacting with treaty bodies and the Human Rights Council, including the universal periodic review and special procedures. The work of OHCHR in this regard was carried out in coordination with the Chairman of the International Coordinating Committee and representatives in Geneva.\",\n \"During the reporting period, OHCHR continued to support and facilitate the participation of the International Coordinating Committee in the landmark process aimed at strengthening international human rights mechanisms, such as the Human Rights Council review and treaty body reform.\",\n \"Human Rights Council\",\n \"The International Coordinating Committee was actively involved in the review of the Human Rights Council, making it more opportunity for a national human rights institution to participate in the work of the Human Rights Council. On 25 March 2011, the Human Rights Council adopted a review of the work and functioning of the Human Rights Council (resolution 16/21, annex), which included provisions on the participation of national human rights institutions in the universal periodic review and special procedures mechanisms and their interaction (see sections below).\",\n \"In 2011, OHCHR, in cooperation with representatives of the International Coordinating Committee in Geneva, continued to support the participation of national human rights institutions in the work of the Human Rights Council. During the sixteenth session of the Human Rights Council (28 February-25 March 2011), eight written statements were submitted: 6 national human rights institutions (Bosnia and Herzegovina, Georgia, Malaysia, Morocco, Nicaragua and Ukraine), two regional networks of national human rights institutions (the African Partnership Forum and the Network of African National Human Rights Institutions). At the seventeenth session of the Council (30 May to 17 June 2011), three written statements were submitted: one from the International Coordinating Committee and one from the United Kingdom national human rights institution and one from the national human rights institutions of the Republic of Korea.\",\n \"On 9 March 2011, in the margins of the sixteenth session of the Human Rights Council, OHCHR, in cooperation with the National Human Rights Council of Morocco, organized a side event to discuss the implementation of the recommendations of the Truth and Reconciliation Commission ( Truth and Reconciliation Commission). Geneva, 9 March 2011.\",\n \"On 16 June 2011, the Human Rights Council unanimously adopted resolution 17/9 on national institutions for the promotion and protection of human rights.\",\n \"Universal periodic review\",\n \"OHCHR continued to assist national human rights institutions in interacting with the universal periodic review mechanism. In 2011, during the 10th (January), 11th (May) and 12th (October), the following 19 national human rights institutions provided information on the reports of stakeholders of the universal periodic review mechanism: 10th meeting: Austria, Australia (A level), Georgia (A), Namibia (A level), Nepal (A level), Niger and Paraguay (A level); 11th meeting: Denmark (A level), Greece (A), Sierra Leone, Somalia/Somaliland; 12th meeting: Haiti, Ireland (A level), Togo (United Republic of Tanzania), Uganda and United Republic of Tanzania).\",\n \"In March 2011, the Human Rights Council provided for the participation of the following A national human rights institution: (a) The information submitted by the national human rights institutions of the State under review should be included as a separate section in the reports of stakeholders; (b) the national human rights institutions of the State under review have the right to make immediate statements after the consideration of the outcome by the plenary of the Council (see resolution 16/21, annex, paras. 9 and 13).\",\n \"Special procedures\",\n \"In March 2011, the Human Rights Council established that A-level National Human Rights Institutions had the right to nominate candidates for special procedures mandate holders and, during the interactive dialogue, had the right to follow the statements made by the special procedures mandate holders after presenting a country-specific report (ibid., annex, paras. 22 (a) and 28).\",\n \"Treaty bodies\",\n \"During the reporting period, OHCHR continued to assist national human rights institutions in their participation in the work of treaty bodies through information and participation. On 11 July 2011, the President of the International Coordinating Committee and the national human rights institutions of Denmark, Ethiopia, France and Germany participated in a meeting organized by the Human Rights Committee to discuss ways to improve cooperation with national human rights institutions.\",\n \"OHCHR prepared a statement of practical information to national human rights institutions wishing to reach the treaty body system, including opportunities for interaction between national human rights institutions and treaty bodies, as well as working methods and rules of procedure relating to the participation of treaty bodies with national human rights institutions.\",\n \"Cooperation between the Office of the United Nations High Commissioner for Human Rights, agencies, funds and programmes of the United Nations system and international and regional organizations of national human rights institutions\",\n \"Cooperation between national human rights institutions and United Nations system agencies, funds and programmes is a key requirement of the Paris Principles. In 2008, the General Assembly encouraged all United Nations human rights mechanisms and agencies, funds and programmes to cooperate with Member States and States in the promotion and protection of human rights within their respective mandates. In that regard, the General Assembly welcomed the efforts of OHCHR to develop partnerships in support of national institutions.\",\n \"During the reporting period, OHCHR focused on the development of United Nations assistance, including through the exchange of letters in March 2011, formalizing tripartite collaboration between the International Coordinating Committee, OHCHR and UNDP. The areas of triangular collaboration include, inter alia, strengthening the role of national human rights institutions and regional networks, as well as facilitating and supporting the engagement of United Nations agencies, funds and programmes with national human rights institutions.\",\n \"The United Nations Development Programme, OHCHR and the International Coordinating Committee held a meeting in New York in February 2011. At that meeting, they decided to enter the Tripartite Partnership through the exchange of letters. Key elements of this partnership include the establishment of the UNDP-OHCHR-International Coordinating Committee annual strategic review on the establishment, development and effectiveness of national human rights institutions; engagement with United Nations human rights mechanisms; joint capacity assessment and gap analysis projects of national human rights institutions; contacts on thematic issues; information and knowledge management. The first Strategic Review Conference will be held at the end of August 2011.\",\n \"Arab-European dialogue on torture and the rule of law\",\n \"OHCHR participated in the sixth Arab-European dialogue on torture and the rule of law, held in Berlin from 11 to 13 May 2011.\",\n \"Association of the Mediterranean Ombudsman\",\n \"As an observer, OHCHR attended the fifth session of the Association of Mediterranean ombudsmen on the theme “The role of the Ombudsman in enhancing good governance and democracy”, held in San José, Malta, on 30 and 31 May 2011. In his statement, OHCHR provided participants with information on General Assembly resolution 3807 on the role of the Ombudsman, mediators and other national human rights institutions in the promotion and protection of human rights. In that resolution, the General Assembly welcomed the active participation of OHCHR in all international and regional meetings of the Ombudsman, mediators and other national human rights institutions, and invited the International Coordinating Committee, in cooperation with OHCHR, to certify them so that they can effectively interact with relevant human rights bodies of the United Nations system.\",\n \"C. Ibero-American Federation of Ombudsman\",\n \"OHCHR participated in the annual meeting of the Ibero-American Federation of Ombudsman. National human rights institutions and ombudsmen from Latin America, Portugal and Spain attended the meeting held in Arkaraedia, Spain, from 1 to 3 June 2011. Participants discussed, inter alia, the current and future challenges of the Ombudsman (Defensorias del Pueblo) in the promotion and protection of human rights, the Millennium Development Goals and national human rights institutions; reports on the promotion of human rights and national human rights institutions; the role of national human rights institutions in the implementation of economic, social and cultural rights; national human rights institutions and international human rights mechanisms; and the protection of national human rights institutions and vulnerable groups.\",\n \"Cooperation with non-governmental organizations and academic institutions\",\n \"OHCHR strives to promote the participation of non-governmental organizations in the activities of the International Coordinating Committee and its subcommittees on accreditation. On 7 October 2010, a non-governmental organization forum was held before the Tenth International Conference of National Human Rights Institutions (A/HRC/16/76, para. In May 2011, 50 members from civil society organizations around the world attended the annual International Coordinating Committee (Geneva). The session of the Subcommittee on Accreditation, which took place after the annual session, benefited from the views received from non-governmental organizations from Austria, India and Mauritania.\",\n \"Thematic issues\",\n \"Indigenous peoples\",\n \"OHCHR and the Asia-Pacific Forum of National Human Rights Institutions are preparing a joint publication entitled “United Nations Declaration on the Rights of Indigenous Peoples: Operational Guide for National Human Rights Institutions”, aimed at supporting and strengthening the work of national human rights institutions in the promotion and protection of the rights of indigenous peoples.\",\n \"On 11 July 2011, together with the fourth meeting of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, a national human rights institution was held in Geneva. The main purpose of the consultation was to share good practices that could be incorporated in the Guide to promote the rights of indigenous peoples.\",\n \"History, principles, roles and responsibilities of national human rights institutions\",\n \"During the reporting period, OHCHR launched an updated version of the OHCHR Professional Training Series, No. 4 entitled “The history, principles, roles and responsibilities of national human rights institutions”. On the basis of the 1995 version, the publication outlines current key issues related to the establishment and strengthening of independent national human rights institutions, including their role in the national promotion and protection of human rights system and their interaction with the international human rights system. The publication also covers recent international developments in this field, such as recent General Assembly resolutions and materials provided by the International Coordinating Committee.\",\n \"C. National human rights institutions in the Federal State\",\n \"During the twenty-fourth annual meeting of the International Coordinating Committee, OHCHR organized a side event on national human rights institutions in the Federal State. Participants discussed the speciality of such States (including decentralization and local self-government) and the strengths and challenges of national human rights institutions in the countries of the federal governance system.\",\n \"Conclusion\",\n \"Compliance with the Paris Principles is a key requirement to ensure the effectiveness, independence, autonomy and pluralism of national human rights institutions. National institutions and Governments, parliaments and other relevant stakeholders should take all necessary measures to ensure that national human rights institutions operate in accordance with the Paris Principles. The Ombudsman's institutions and mediators are also encouraged to act in accordance with these principles and to seek accreditation by the International Coordinating Committee.\",\n \"The establishment of a national human rights institution in compliance with the Paris Principles in countries that do not exist. Compliance with the Paris Principles at the pre-establishment stage is key to ensuring the independence and legitimacy of new institutions. It is recommended that a broad and participatory consultation process be undertaken with civil society organizations when drafting a national human rights institution mandate legislation.\",\n \"It was strongly recommended that special attention be paid to the Paris Principles in the appointment of members of national human rights institutions. Member States and national human rights institutions are encouraged to promote a transparent appointment process and to ensure the plurality of civil society organizations involved in the promotion and protection of human rights.\",\n \"As a key component of the national human rights system, national human rights institutions are encouraged to cooperate with other parts of the system, namely the executive branch, the judiciary, the Parliament, civil society, the media and academia.\",\n \"Encourage joint inter-agency programmes of the United Nations country team to support national human rights institutions and encourage national, regional and international partners to participate in these programmes. Annual strategic review of activities related to the establishment of the UNDP-OHCHR-International Coordinating Committee of National Human Rights Institutions is welcomed.\",\n \"It is recommended that human rights institutions at the subnational level cooperate with the Federal National Human Rights Institutions to ensure the equal protection of all human rights throughout the country. The following national human rights institutions are strongly encouraged to interact with the international human rights system, including the universal periodic review, treaty bodies and special procedures.\",\n \"By resolution 16/21 on the review of the work and functioning of the Human Rights Council, the Council strengthened the role of A-level national human rights institution in the universal periodic review and special procedures.\",\n \"National human rights institutions are encouraged to play an active role in the second cycle of the universal periodic review of the Human Rights Council (2012-2016). National human rights institutions are encouraged to take advantage of the right to participate as set out in Human Rights Council resolution 16/21.\",\n \"The Spanish Port Declaration on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles was welcomed. Other subregions are encouraged to take similar initiatives.\",\n \"Welcomes the decision of the European Group of National Human Rights Institutions to establish a permanent secretariat. The secretariat will consolidate the regional architecture, which is expected to have a positive impact on the establishment and strengthening of national human rights institutions across Europe, in accordance with the Paris Principles.\",\n \"Annex\",\n \"Regional workshop on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles\",\n \"Spain, Trinidad and Tobago\",\n \"Declaration of the Port of Spain\",\n \"In accordance with the Charter of the United Nations and the Universal Declaration of Human Rights, the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat, with the support of the United Nations country team in Trinidad and Tobago, organized a three-day regional workshop on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles.\",\n \"Participants from the English-speaking countries of the Caribbean, Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, Dominica, Grenada, Jamaica, Saint Kitts and Nevis, Saint Lucia, Suriname, Trinidad and Tobago. Representatives of the United Nations country team in Barbados and the country team in Trinidad and Tobago attended the workshop:\",\n \"• Expresses its appreciation to the Government of Trinidad and Tobago for hosting a regional workshop on the establishment of a national human rights institution in the Caribbean, in accordance with the Paris Principles, and in particular for the official opening ceremony of the workshop chaired by the Attorney-General, H.E. Anand Ramlogan.\",\n \"• Expresses its appreciation to the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat for organizing this regional workshop.\",\n \"• Confirmation of the participation of the United Nations Office of the Resident Coordinator in Trinidad and Tobago and representatives of national human rights institutions from the Philippines and Canada in the workshop as experts.\",\n \"• The need to sensitize Governments, parliaments and other relevant national stakeholders to the value and benefits of the establishment of national human rights institutions.\",\n \"• Recognition of the need to create a model of national human rights institutions in the Caribbean, based on existing human rights frameworks.\",\n \"• Emphasis was placed on the need for national human rights institutions to make human rights values part of everyday and linguistic life.\",\n \"• The relevance of national human rights institutions, including monitoring bodies, as key actors in strengthening the promotion and protection of human rights.\",\n \"• Recognize the role and leadership of civil society actors in the protection and promotion of human rights.\",\n \"• Recognize the role of national human rights institutions, including the Ombudsman's institutions, in raising awareness and exercising human rights for all.\",\n \"• Confirm a comprehensive overview and discussion of the establishment and strengthening of national human rights institutions, their historical and legal contexts, the minimum standards to be adhered to by national human rights institutions and the core functions, main features and methods of operation of national human rights institutions.\",\n \"• Recognize the importance of taking the necessary measures to establish a national human rights institution in accordance with the Paris Principles and to seek accreditation by the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights.\",\n \"• Recognize that national human rights institutions in compliance with the Paris Principles can play an important role internationally through interaction with international human rights mechanisms, including the Human Rights Council, treaty bodies and special procedures.\",\n \"• Welcome the practical focus of the workshop on the sharing of expertise and experience related to the establishment of a national human rights institution in line with the Paris Principles.\",\n \"• Recognize that while the Caribbean countries have unique challenges in the establishment of a national human rights institution, the Office of the United Nations High Commissioner for Human Rights, the United Nations Development Programme, other United Nations agencies, the International Coordinating Committee and the Commonwealth Secretariat can provide assistance and support in the establishment of a national human rights institution at the request of Member States.\",\n \"Spain, Trinidad and Tobago\",\n \"AD(*) A/63/250.\",\n \"[2] European National Human Rights Institutions Group, Network of National Institutions for the Promotion and Protection of Human Rights in the Americas, Asia Pacific Forum of National Human Rights Institutions and Network of African National Human Rights Institutions.\"\n]"}}},{"rowIdx":95,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","^(*) A/66/150。","临时议程^(*) 项目114(b)","选举各附属机构成员以补空缺， 并进行其他选举","选举国际法委员会成员","秘书长的说明","增编","目录","页次\n1.导言 2\t\n2.候选人卡洛斯·奥斯瓦尔多·萨尔加多·埃斯皮诺萨简历 2","一. 导言","厄瓜多尔按照国际法委员会规程第5条，提出候选人简历，替代马塞洛·巴斯克斯-贝穆德斯先生的提名。候选人简历载于下文第二节。","二. 候选人简历","卡洛斯·奥斯瓦尔多·萨尔加多·埃斯皮诺萨","[原件：西班牙文]","国籍：厄瓜多尔。","国家、省、市：厄瓜多尔-皮钦查-基多。","培训：","政治社会科学学士。","厄瓜多尔共和国法院律师。","商业管理工程师。","阿苏艾生产协会调解员。","阿苏艾生产协会仲裁员。","环境管理高级文凭，副修科目：自然环境保护。","公证注册法文凭。","工业产权文凭。","行政法硕士。","法学博士。","安迪纳·西蒙·玻利瓦尔大学法律博士候选人，博士论文：“南美洲国家联盟可适用的司法机关”。","其他研究院研究：","法律：","行政法，阿苏艾大学；公证注册法，阿根廷，贝尔格拉诺大学；古巴，哈瓦那大学；工业产权，阿根廷，布宜诺斯艾利斯大学；国际法与外交和国际关系，西班牙，欧洲研究所特雅校区。","企业管理：","国家理工学院企业管理硕士。","经济：","昆卡大学经济硕士。","环境：","阿苏艾大学和阿利坎特大学环境管理文凭。","计划项目：","美洲开发银行和国家理工学院，项目拟订、评价和管理国际证书；国家理工学院，专家证书。","教育：","西班牙，马德里理工大学，项目管理和研习硕士。","专业和学术简历：","拉丁美洲司法学校创始成员，2011年4月15日。","科塞合伙公司经理，萨尔加多·埃斯皮诺萨合伙顾问公司，国家和国际顾问公司，2011年1月15日以来。","安第斯共同体法院法官，2005年至2011年1月14日。","安第斯共同体法院院长，2008年1月至2009年1月。","玻利维亚国家法学科学院荣誉院士。","阿苏艾生产协会调查员及仲裁员，2002年至2005年。","拉丁美洲司法委员会成员。","伊比利亚美洲知识产权协会总协调员。","拉丁美洲法官网络咨询和财务理事会成员。","21世纪拉丁美洲社会调查中心总干事。","大学一体化法教授(大学和研究院)：","• 洛哈特殊技术大学，远程教育(2008年至2011年3月)；","• 美洲大学(2009年至2011年3月)。","昆卡大学以下科目正教授(1989年以来)：","• 劳工法；","• 税法；","• 公司法；","• 商法；","• 财政管理和控制组织法；","• 厄瓜多尔公共部门经理和会计管理条例；","• 经济法。","环境团结项目回收团结方案成员，此一项目在建筑师费尔南多·科尔德罗·奎瓦任市长期间酝酿。","昆卡大学理事会成员(代表经济学院)；学术规划理事会成员，代表社会领域(经济、哲学、法学学院)。","科塞合伙公司经理、法律顾问、会计、行政人员、财务人员、经济人员，自1989年至2005年。","昆卡和阿苏艾专业协会理事：土木工程师，企业经理，经济学家。","阿苏艾社区多间企业法律顾问。","昆卡都市清洁公司首任经理，在厄瓜多尔首次垃圾填埋中执行ISO 14000和OHSAS 18000，获得环境部发给环境执照，这是拉丁美洲唯一的ISO 14001执照，从1999年至2005年。","道路建筑公司总经理。","昆卡下列学校数学和物理教师：萨莱斯阿诺技术学校，罗萨·德赫苏斯·科尔德罗(卡塔利纳斯)学校和曼努埃拉·卡尔德龙·加赖科亚学校。","著作：24本出版物和论文","• “财政管理和控制组织法的责任”，昆卡大学，1995年。","• “厄瓜多尔公共部门经理和会计管理条例”，昆卡大学，1995年。","• “司法管辖权乒乓球”，公共行政当局1994年至2000年，2003年颁布的关于昆卡行政诉讼法院管辖权的某些行政法规不起作用。","• “安第斯共同体法院、司法机关”，2007年9月在亚松森举行第一次国际法会议。","• “一体化法：关于其执行和监测的一些思考”，2007年10月4日和5日在尼加拉瓜、马那瓜举行第一次世界国际和区域法院会议。","• “关于南方共同市场和联系国最高法院第5次会议的一些思考”，会议于2007年11月8日和9日在巴西利亚举行。","• “安第斯共同体法院的经验”，南美洲国家联盟司法系统高级当局会议(2007年11月26日在智利圣地亚哥举行)。","• “安第斯共同体工业产权制度众所周知的商标”，2008年2月26日至29日在墨西哥坎昆举行第一次国际知识产权会议。","• “安第斯共同体司法”，安第斯共同体与厄瓜多尔企业部门联系(2008年3月6日和7日在瓜亚基尔举行密集培训课程)。","• “安第斯共同体解决争端，作为法律安全和保护公民的机制”，2008年3月13日和14日在秘鲁利马举行使用环境司法以改进使用拉丁美洲环境司法的条件次区域工作会议。","• “安第斯法院，迈向共同体有效司法：管理和执行指标”，2008年3月25日在哥伦比亚波哥大举行安第斯共同体年度活动汇报会议。","• “南方共同市场和安第斯共同体宪法框架——当前挑战”，2008年5月5日和6日，乌拉圭，蒙得维的亚。","• “国家法官在执行共同体法律方面的作用”，安第斯共同体法学院校会议——建立安第斯共同体法律研究课程(2008年6月9日和10日在利马举行)。","• “一体化法”，公司法硕士研究指南，洛哈特殊技术大学出版，2008年。","• “南美洲国家联盟解决争端制度未来展望，安第斯共同体与南方共同市场一体化选择”，拉丁美洲法官网络在“合作与数字司法”范围内邀请伊比利亚美洲法官参加视频会议(2008年12月12日)。","• “共同体法律和安第斯解决争端制度密集培训课程”，为政府官员、经理、司法促进者和法官举办(2009年2月9日，基多)。","• “安第斯法律与边界一体化和运输”，2009年4月13日和14日在图尔坎举行两国论坛。","• “知识社会与人权：拉丁美洲一体化进程未来展望”，2009年11月23日至28日在巴西福塔莱萨举行伊比利亚美洲司法合作第三次会议。","• “一体化法和共同体法的基础”，美洲大学，大学本科生指南读本，2009年。","• “一体化法”，美洲大学知识产权研究生指南读本，2010年。","• “安第斯和拉丁美洲一体化概念范围内服务业的进口与出口”，国家税务主管和秘鲁关税管理研究所在秘鲁、利马SUNAT总部举办国际研讨会(2010年9月1日)。","• “安第斯一体化-服务业的进口和出口”，国家法务局、关税管理研究所和秘鲁关税管理署-SUNAT举办第七次国家法律会议(2010年9月2日在秘鲁利马Hotal Sol de Oro举行)。.","• “拉丁美洲一体化未来展望”，2010年9月6日至8日在哥伦比亚卡塔赫纳德印第亚斯举行安第斯共同体和南方共同市场法官第二次会议。","• 文集“21世纪南美洲路线”第1卷“一体化法入门，新一体化轨迹”，2010年。","荣誉与重要成就：","• 小学第二名毕业，获全额奖学金入读萨勒斯技术高中。","• 可领昆卡萨勒斯技术高中优异学生奖学金，但将奖学金留给其他家境清贫同学。","• 高中毕业(成绩优异)。","• 12岁担任数学教师，18岁任下列高中数学和物理教师：圣托马斯教士(里奥班巴)，罗萨·德赫苏斯·科尔德罗(昆卡，卡塔利纳斯)，萨莱斯阿诺技术学校(昆卡)，曼努埃拉·加赖科亚·卡尔德龙(昆卡)。","• 18岁参加萨勒斯志愿工作团(贡献一年青春给社会)，同其他梦想者一道(例如已逝的安东尼奥·阿马多尔神父，他当时是很有前途的神父)，促进现在的基多，巴勃罗·波诺尔理事会等等，以及在里奥班巴创办唐博斯科剧社(青年中心，帮助家境清贫儿童，提供周末健康的娱乐活动)。","• 昆卡大学企业管理学院协会主席(不属任何政党或团体)。","• 昆卡大学经济学院理事会成员，连任三届(不属任何政党或团体)。","• 昆卡大学经济学院参加大学理事会成员(不属任何政党或团体)。","• 政治和社会科学学士(毕业成绩优异)。","• 大学议会建议将论文出版。","• 经济学院正教授考试及格，可任教昆卡大学法学院科目(财政管理和控制组织法、劳工法、公司法、商法和税法)。","• 商业管理工程师毕业(成绩优异)。","• 阿夫达拉·布卡拉姆下台后，经阿苏艾人民大会推荐参加最高选举法院。","• 行政法硕士(毕业成绩优异)。","• 建造厄瓜多尔最佳垃圾填埋地公司经理，公司赢得国家和国际赞誉(环境与财政可持续性)，并获第一个执行ISO 14000和OSHAS 18000垃圾填埋地环境执照，这在拉丁美洲是唯一的。","• 在2004年3月21日至28日在哥斯达黎加、圣何塞举行的国际公共机构和私营机构交流处理和处置固体废料和回收项目成功经验会议上，被推选讲述厄瓜多尔-昆卡的成功经验。","• 国家理工学院企业管理硕士学生会主席。","• 昆卡大学经济硕士学生会主席，并代表学生参加学术理事会为成员。","• 促进和建立“回收团结”方案，帮助厄瓜多尔穷人。","• 2005年8月31日获安第斯共同体成员国(玻利维亚、哥伦比亚、厄瓜多尔、秘鲁和委内瑞拉)全权代表一致任命为安第斯共同体法院厄瓜多尔首席法官。","• 获一致推选担任安第斯共同体法院院长(2008年1月至2009年1月)。","• 获提名玻利维亚国家法学科学院荣誉院士，该项荣誉是例外给予在法学某些领域卓有声誉的外国人，承认在国际法、共同体法和一体化法领域的学识。","• 获选为伊比利亚美洲知识产权协会总协调员，协会包括伊比利亚美洲15个国家。","• 获指派任拉丁美洲法官网络咨询和财务理事会成员，即便并非网络创始成员之一。","• 凭个人成绩获任大学一体化法研究院教授：洛哈特殊技术大学，远程教育。","• 安迪纳·西蒙·玻利瓦尔大学法学博士(毕业成绩优异，10分满分中得9.55分)。"],"string":"[\n \"第六十六届会议\",\n \"^(*) A/66/150。\",\n \"临时议程^(*) 项目114(b)\",\n \"选举各附属机构成员以补空缺， 并进行其他选举\",\n \"选举国际法委员会成员\",\n \"秘书长的说明\",\n \"增编\",\n \"目录\",\n \"页次\\n1.导言 2\\t\\n2.候选人卡洛斯·奥斯瓦尔多·萨尔加多·埃斯皮诺萨简历 2\",\n \"一. 导言\",\n \"厄瓜多尔按照国际法委员会规程第5条，提出候选人简历，替代马塞洛·巴斯克斯-贝穆德斯先生的提名。候选人简历载于下文第二节。\",\n \"二. 候选人简历\",\n \"卡洛斯·奥斯瓦尔多·萨尔加多·埃斯皮诺萨\",\n \"[原件：西班牙文]\",\n \"国籍：厄瓜多尔。\",\n \"国家、省、市：厄瓜多尔-皮钦查-基多。\",\n \"培训：\",\n \"政治社会科学学士。\",\n \"厄瓜多尔共和国法院律师。\",\n \"商业管理工程师。\",\n \"阿苏艾生产协会调解员。\",\n \"阿苏艾生产协会仲裁员。\",\n \"环境管理高级文凭，副修科目：自然环境保护。\",\n \"公证注册法文凭。\",\n \"工业产权文凭。\",\n \"行政法硕士。\",\n \"法学博士。\",\n \"安迪纳·西蒙·玻利瓦尔大学法律博士候选人，博士论文：“南美洲国家联盟可适用的司法机关”。\",\n \"其他研究院研究：\",\n \"法律：\",\n \"行政法，阿苏艾大学；公证注册法，阿根廷，贝尔格拉诺大学；古巴，哈瓦那大学；工业产权，阿根廷，布宜诺斯艾利斯大学；国际法与外交和国际关系，西班牙，欧洲研究所特雅校区。\",\n \"企业管理：\",\n \"国家理工学院企业管理硕士。\",\n \"经济：\",\n \"昆卡大学经济硕士。\",\n \"环境：\",\n \"阿苏艾大学和阿利坎特大学环境管理文凭。\",\n \"计划项目：\",\n \"美洲开发银行和国家理工学院，项目拟订、评价和管理国际证书；国家理工学院，专家证书。\",\n \"教育：\",\n \"西班牙，马德里理工大学，项目管理和研习硕士。\",\n \"专业和学术简历：\",\n \"拉丁美洲司法学校创始成员，2011年4月15日。\",\n \"科塞合伙公司经理，萨尔加多·埃斯皮诺萨合伙顾问公司，国家和国际顾问公司，2011年1月15日以来。\",\n \"安第斯共同体法院法官，2005年至2011年1月14日。\",\n \"安第斯共同体法院院长，2008年1月至2009年1月。\",\n \"玻利维亚国家法学科学院荣誉院士。\",\n \"阿苏艾生产协会调查员及仲裁员，2002年至2005年。\",\n \"拉丁美洲司法委员会成员。\",\n \"伊比利亚美洲知识产权协会总协调员。\",\n \"拉丁美洲法官网络咨询和财务理事会成员。\",\n \"21世纪拉丁美洲社会调查中心总干事。\",\n \"大学一体化法教授(大学和研究院)：\",\n \"• 洛哈特殊技术大学，远程教育(2008年至2011年3月)；\",\n \"• 美洲大学(2009年至2011年3月)。\",\n \"昆卡大学以下科目正教授(1989年以来)：\",\n \"• 劳工法；\",\n \"• 税法；\",\n \"• 公司法；\",\n \"• 商法；\",\n \"• 财政管理和控制组织法；\",\n \"• 厄瓜多尔公共部门经理和会计管理条例；\",\n \"• 经济法。\",\n \"环境团结项目回收团结方案成员，此一项目在建筑师费尔南多·科尔德罗·奎瓦任市长期间酝酿。\",\n \"昆卡大学理事会成员(代表经济学院)；学术规划理事会成员，代表社会领域(经济、哲学、法学学院)。\",\n \"科塞合伙公司经理、法律顾问、会计、行政人员、财务人员、经济人员，自1989年至2005年。\",\n \"昆卡和阿苏艾专业协会理事：土木工程师，企业经理，经济学家。\",\n \"阿苏艾社区多间企业法律顾问。\",\n \"昆卡都市清洁公司首任经理，在厄瓜多尔首次垃圾填埋中执行ISO 14000和OHSAS 18000，获得环境部发给环境执照，这是拉丁美洲唯一的ISO 14001执照，从1999年至2005年。\",\n \"道路建筑公司总经理。\",\n \"昆卡下列学校数学和物理教师：萨莱斯阿诺技术学校，罗萨·德赫苏斯·科尔德罗(卡塔利纳斯)学校和曼努埃拉·卡尔德龙·加赖科亚学校。\",\n \"著作：24本出版物和论文\",\n \"• “财政管理和控制组织法的责任”，昆卡大学，1995年。\",\n \"• “厄瓜多尔公共部门经理和会计管理条例”，昆卡大学，1995年。\",\n \"• “司法管辖权乒乓球”，公共行政当局1994年至2000年，2003年颁布的关于昆卡行政诉讼法院管辖权的某些行政法规不起作用。\",\n \"• “安第斯共同体法院、司法机关”，2007年9月在亚松森举行第一次国际法会议。\",\n \"• “一体化法：关于其执行和监测的一些思考”，2007年10月4日和5日在尼加拉瓜、马那瓜举行第一次世界国际和区域法院会议。\",\n \"• “关于南方共同市场和联系国最高法院第5次会议的一些思考”，会议于2007年11月8日和9日在巴西利亚举行。\",\n \"• “安第斯共同体法院的经验”，南美洲国家联盟司法系统高级当局会议(2007年11月26日在智利圣地亚哥举行)。\",\n \"• “安第斯共同体工业产权制度众所周知的商标”，2008年2月26日至29日在墨西哥坎昆举行第一次国际知识产权会议。\",\n \"• “安第斯共同体司法”，安第斯共同体与厄瓜多尔企业部门联系(2008年3月6日和7日在瓜亚基尔举行密集培训课程)。\",\n \"• “安第斯共同体解决争端，作为法律安全和保护公民的机制”，2008年3月13日和14日在秘鲁利马举行使用环境司法以改进使用拉丁美洲环境司法的条件次区域工作会议。\",\n \"• “安第斯法院，迈向共同体有效司法：管理和执行指标”，2008年3月25日在哥伦比亚波哥大举行安第斯共同体年度活动汇报会议。\",\n \"• “南方共同市场和安第斯共同体宪法框架——当前挑战”，2008年5月5日和6日，乌拉圭，蒙得维的亚。\",\n \"• “国家法官在执行共同体法律方面的作用”，安第斯共同体法学院校会议——建立安第斯共同体法律研究课程(2008年6月9日和10日在利马举行)。\",\n \"• “一体化法”，公司法硕士研究指南，洛哈特殊技术大学出版，2008年。\",\n \"• “南美洲国家联盟解决争端制度未来展望，安第斯共同体与南方共同市场一体化选择”，拉丁美洲法官网络在“合作与数字司法”范围内邀请伊比利亚美洲法官参加视频会议(2008年12月12日)。\",\n \"• “共同体法律和安第斯解决争端制度密集培训课程”，为政府官员、经理、司法促进者和法官举办(2009年2月9日，基多)。\",\n \"• “安第斯法律与边界一体化和运输”，2009年4月13日和14日在图尔坎举行两国论坛。\",\n \"• “知识社会与人权：拉丁美洲一体化进程未来展望”，2009年11月23日至28日在巴西福塔莱萨举行伊比利亚美洲司法合作第三次会议。\",\n \"• “一体化法和共同体法的基础”，美洲大学，大学本科生指南读本，2009年。\",\n \"• “一体化法”，美洲大学知识产权研究生指南读本，2010年。\",\n \"• “安第斯和拉丁美洲一体化概念范围内服务业的进口与出口”，国家税务主管和秘鲁关税管理研究所在秘鲁、利马SUNAT总部举办国际研讨会(2010年9月1日)。\",\n \"• “安第斯一体化-服务业的进口和出口”，国家法务局、关税管理研究所和秘鲁关税管理署-SUNAT举办第七次国家法律会议(2010年9月2日在秘鲁利马Hotal Sol de Oro举行)。.\",\n \"• “拉丁美洲一体化未来展望”，2010年9月6日至8日在哥伦比亚卡塔赫纳德印第亚斯举行安第斯共同体和南方共同市场法官第二次会议。\",\n \"• 文集“21世纪南美洲路线”第1卷“一体化法入门，新一体化轨迹”，2010年。\",\n \"荣誉与重要成就：\",\n \"• 小学第二名毕业，获全额奖学金入读萨勒斯技术高中。\",\n \"• 可领昆卡萨勒斯技术高中优异学生奖学金，但将奖学金留给其他家境清贫同学。\",\n \"• 高中毕业(成绩优异)。\",\n \"• 12岁担任数学教师，18岁任下列高中数学和物理教师：圣托马斯教士(里奥班巴)，罗萨·德赫苏斯·科尔德罗(昆卡，卡塔利纳斯)，萨莱斯阿诺技术学校(昆卡)，曼努埃拉·加赖科亚·卡尔德龙(昆卡)。\",\n \"• 18岁参加萨勒斯志愿工作团(贡献一年青春给社会)，同其他梦想者一道(例如已逝的安东尼奥·阿马多尔神父，他当时是很有前途的神父)，促进现在的基多，巴勃罗·波诺尔理事会等等，以及在里奥班巴创办唐博斯科剧社(青年中心，帮助家境清贫儿童，提供周末健康的娱乐活动)。\",\n \"• 昆卡大学企业管理学院协会主席(不属任何政党或团体)。\",\n \"• 昆卡大学经济学院理事会成员，连任三届(不属任何政党或团体)。\",\n \"• 昆卡大学经济学院参加大学理事会成员(不属任何政党或团体)。\",\n \"• 政治和社会科学学士(毕业成绩优异)。\",\n \"• 大学议会建议将论文出版。\",\n \"• 经济学院正教授考试及格，可任教昆卡大学法学院科目(财政管理和控制组织法、劳工法、公司法、商法和税法)。\",\n \"• 商业管理工程师毕业(成绩优异)。\",\n \"• 阿夫达拉·布卡拉姆下台后，经阿苏艾人民大会推荐参加最高选举法院。\",\n \"• 行政法硕士(毕业成绩优异)。\",\n \"• 建造厄瓜多尔最佳垃圾填埋地公司经理，公司赢得国家和国际赞誉(环境与财政可持续性)，并获第一个执行ISO 14000和OSHAS 18000垃圾填埋地环境执照，这在拉丁美洲是唯一的。\",\n \"• 在2004年3月21日至28日在哥斯达黎加、圣何塞举行的国际公共机构和私营机构交流处理和处置固体废料和回收项目成功经验会议上，被推选讲述厄瓜多尔-昆卡的成功经验。\",\n \"• 国家理工学院企业管理硕士学生会主席。\",\n \"• 昆卡大学经济硕士学生会主席，并代表学生参加学术理事会为成员。\",\n \"• 促进和建立“回收团结”方案，帮助厄瓜多尔穷人。\",\n \"• 2005年8月31日获安第斯共同体成员国(玻利维亚、哥伦比亚、厄瓜多尔、秘鲁和委内瑞拉)全权代表一致任命为安第斯共同体法院厄瓜多尔首席法官。\",\n \"• 获一致推选担任安第斯共同体法院院长(2008年1月至2009年1月)。\",\n \"• 获提名玻利维亚国家法学科学院荣誉院士，该项荣誉是例外给予在法学某些领域卓有声誉的外国人，承认在国际法、共同体法和一体化法领域的学识。\",\n \"• 获选为伊比利亚美洲知识产权协会总协调员，协会包括伊比利亚美洲15个国家。\",\n \"• 获指派任拉丁美洲法官网络咨询和财务理事会成员，即便并非网络创始成员之一。\",\n \"• 凭个人成绩获任大学一体化法研究院教授：洛哈特殊技术大学，远程教育。\",\n \"• 安迪纳·西蒙·玻利瓦尔大学法学博士(毕业成绩优异，10分满分中得9.55分)。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","Item 114 (b) of the provisional agenda*","* A/66/150.","Elections to fill vacancies in subsidiary organs and other elections","Election of the members of the International Law Commission","Note by the Secretary-General","Addendum","Contents","Page\nI.Introduction 2II. Curricula 2 vitae of \ncandidates Carlos 2 Oswaldo Salgado \nEspinoza(Ecuador)","I. Introduction","The curriculum vitae of the candidate submitted by Ecuador, in accordance with article 5 of the statute of the International Law Commission, in substitution of its nomination of Mr. Marcelo Vázquez-Bermúdez (see document A/66/88/Add.3), is contained in section II below.","II. Curricula vitae of candidates","Carlos Oswaldo Salgado Espinoza (Ecuador)","[Original: Spanish]","Nationality: Ecuadorian","City, province, state: Quito — Pichincha — Ecuador","Background:","Bachelor’s degree in political and social sciences.","Attorney for the courts of justice of the Republic of Ecuador.","Commercial engineer.","Mediator for the Azuay Chamber of Commerce.","Arbitrator for the Azuay Chamber of Commerce.","Diploma in environmental management, with a minor in protection of the physical environment.","Diploma in notary and public records law.","Diploma in industrial property law.","Master’s Degree in Administrative Law.","Juris Doctor.","Doctoral candidate (PhD) in law at the Simón Bolívar Andean University; doctoral thesis on “The jurisdictional organ applicable to the Union of South American Nations (UNASUR)”.","Other graduate studies in:","Law:","Administrative law at the University of Azuay;","Notary and public records law at the University of Belgrano, Argentina and the University of Havana, Cuba;","Industrial property law at the University of Buenos Aires, Argentina;","International law and foreign and international relations, Campus Stellae European Institute, Spain.","Business administration:","Master of Business Administration (MBA), National Polytechnic School.","Economy:","Master of Economics, University of Cuenca.","Environment:","Diploma in environmental management, University of Azuay and University of Alicante.","Projects:","International certificate in project development, evaluation and management, Inter‑American Development Bank and National Polytechnic School.","Specialist, National Polytechnic School.","Education:","Master’s degree in eLearning Project Management (MDPeL), Polytechnic University of Madrid, Spain.","Summary of professional and academic experience:","Founding member of the Latin American Judicial Academy (EJAL), 15 April 2011.","Director-General of COSE & Associates, Salgado Espinoza & Associates, National and International Consulting Firm, since 15 January 2011.","Judge for the Court of Justice of the Andean Community, from 2005 to 14 January 2011.","President of the Court of Justice of the Andean Community, January 2008 to January 2009.","Honorary Academician at the National Academy of Legal Sciences of Bolivia.","Mediator and arbitrator for the Azuay Chamber of Commerce, from 2002 to 2005.","Member of the Latin American e-Justice Commission.","General Coordinator of the Ibero-American Intellectual Property Association (AIPI).","Member of the Advisory and Budget Council of the Latin American Network of Judges (REDLAJ).","Director General of the Latin American Centre for Social Research for the 21st Century (CELDIS 21).","Professor of undergraduate and graduate studies in regional integration law at the following universities:","• Private Technical University of Loja (UTPL), distance learning programme, 2008-March 2011; and","• University of the Americas (UDLA), 2009-March 2011.","Senior Lecturer at the University of Cuenca since 1989 in the areas of:","• Labour law","• Tax law","• Corporate law","• Trade law","• Organic Law on Financial Administration and Control","• Ecuadorian public sector regulations for managers and accountants","• Economic law","Member of “Reciclando Solidaridad, Proyecto Ambiental y Solidario” (“Recycling Solidarity, Project for the Environment and Solidarity”), which was developed by the administration of Mayor Fernando Cordero Cueva (also an architect).","Member of the University Council, representing the Department of Economics, and of the Academic Planning Council, representing the Division of Social Science (Departments of Economics, Philosophy and Jurisprudence), of the University of Cuenca.","Director-General of COSE & Associates, a legal, accounting, administrative, financial and economic consulting and advisory firm, 1989-2005.","Trustee for the professional associations of civil engineers, business managers and economists of Cuenca and Azuay.","Legal adviser to several businesses and communities in Azuay.","First Manager of the Cuenca Municipal Waste Company (EMAC), which successfully implemented ISO 14000 and OHSAS 18000 regulations at the First Landfill of Ecuador. The Landfill was issued an environmental licence by the Ministry of the Environment, and is the only landfill in Latin America with ISO 14001 certification. From 1999 to 2005.","General Manager of Constructora de Caminos S.A.","Mathematics and physics teacher at the following high schools in Cuenca: Salesian Technical, Rosa de Jesús Cordero (Catalinas) and Manuela Garaicoa de Calderón.","Author of 24 publications and conference papers:","• “La responsabilidad en la Ley Orgánica de Administración Financiera y Control”, University of Cuenca, 1989.","• “Normatividad del sector público ecuatoriano para el administrador y contador”, University of Cuenca, 1995.","• “Ping-pong de una competencia jurisdiccional: la indefensión de ciertos actos administrativos emanados por la Administración Pública, de competencia del Tribunal Contencioso Administrativo de Cuenca, en el periodo 1994-2000”, 2003.","• “El Tribunal de Justicia, órgano jurisdiccional de la Comunidad Andina”, First International Law Conference, held in Asunción, September 2007.","• “El derecho de integración: reflexiones en torno a su aplicación y seguimiento”, presented at the First World Conference of International and Regional Courts, held in Managua, Nicaragua, from 4 to 5 October 2007.","• “Reflexiones en torno al 5° Encuentro de Cortes Supremas del MERCOSUR y Asociados”, Brasilia, 8 and 9 November 2007.","• “Experiencia del Tribunal de Justicia de la Comunidad Andina”, presented at the High-Level Summit of Judicial Authorities of the Union of South American Nations (UNASUR), Santiago, 26 November 2007.","• “La marca notoriamente conocida en el régimen de propiedad industrial de la Comunidad Andina”, presented at the First International Forum on Intellectual Property, held in Cancun, Mexico, from 26 to 29 February 2008.","• “La justicia comunitaria andina: socialización de la Comunidad Andina a los sectores empresariales del Ecuador”, intensive training course, Guayaquil, 6 and 7 March 2008.","• “La solución de controversias de la Comunidad Andina, como mecanismo de seguridad jurídica y tutela ciudadana”, presented at the Subregional Workshop on Access to Environmental Justice in Latin America, 13 and 14 March 2008, Lima, Peru.","• “El Tribunal Andino, hacia una justicia efectiva comunitaria: gestión e indicadores de desempeño”, for the Annual Report on Activities of the Court of Justice of the Andean Community, 25 March 2008, Bogotá, Colombia.","• “El marco jurídico constitucional del MERCOSUR y de la Comunidad Andina — desafíos actuales”, 5 and 6 May 2008, Montevideo, Uruguay.","• “El rol de los jueces nacionales en la aplicación del derecho comunitario”, Summit of Law Schools and Faculties from the Andean Community — Drafting of a Curriculum on Andean Community Law, held in Lima, 9 and 10 June 2008.","• “Derecho de integración”, course material for the Master of Business Law, published by the Private Technical University of Loja (UTPL), 2008.","• “Visión de futuro de los sistemas de solución de controversias de la UNASUR, en una opción integradora de la Comunidad Andina y el MERCOSUR”, paper delivered via videoconference using the FlashMeeting system, by invitation from the Latin American Network of Judges (REDLAJ) for a conference for Ibero-American judges and magistrates, 12 December 2008.","• Intensive training course on the Community legal system and Andean system for dispute settlement for public officials, managers and facilitators in the justice system, judges and magistrates, 9 February 2009, Quito.","• “El derecho andino y la integración fronteriza y transporte”, presented at the Binational Forum, held in Tulcán, 13 and 14 April 2009.","• “La sociedad del conocimiento y los derechos humanos: visión de futuro en los procesos de integración latinoamericana”, presented at the Third Ibero‑American Conference on Judicial Cooperation, 23 to 26 November 2009, Fortaleza, Brazil.","• “Bases del derecho para la integración y comunitario”, undergraduate course material for the University of the Americas (UDLA), 2009.","• Course material on regional integration law for the Master’s Programme in Intellectual Property at the University of the Americas (UDLA), 2010.","• “La importación y exportación de servicios dentro del concepto de la integración andina y latinoamericana”, presented at the international seminar organized by the National Superintendency of Tax Administration (SUNAT) and the Institute for Tax and Customs Administration of Peru, held on 1 September 2010, at SUNAT Headquarters, Lima, Peru.","• “Integración andina — importación y exportación de servicios”, presented at the Seventh National Juridical Conference, organized by the National Juridical Administration and the Institute for Tax and Customs and Administration and the National Superintendency of Tax Administration (SUNAT) of Peru, held at the Hotel Sol de Oro on 2 September in Lima, Peru.","• “Visión de futuro de la integración latinoamericana”, presented at the Second Conference of Magistrates from the Andean Community and the Southern Common Market (MERCOSUR), held in Cartagena de Indias, Colombia, from 6 to 8 September 2010.","• Volume 1 of the series “Sendero suramericano del siglo 21”, “El ABC del derecho para la integración, el surco de la neo-integración”, 2010.","Distinctions and important achievements","• Graduated second in the class from primary school and received a full scholarship to study at the Salesian Technical High School.","• Awarded scholarships for outstanding low-income students at the Cuenca Salesian Technical High School.","• Graduated with a high school degree, with distinction.","• At age 12, was selected to be a mathematics teacher, and starting at age 18, was a mathematics and physics teacher at the following high schools: Santo Tomás Apóstol (Riobamba), Rosa de Jesús Cordero (Catalinas-Cuenca), Salesian Technical (Cuenca) and Manuela Garaicoa de Calderón (Cuenca).","• At age 18, spent a year as a Salesian Volunteer to build, along with other dreamers, like the late Father Antonio Amador (at the time an aspiring priest) and Pablo Ponce, the current councillor of Quito, among others, the Don Bosco Oratory in Riobamba, a youth help centre for low-income children, to provide a healthy weekend recreation facility. (In the Salesian Volunteer programme, young people devote a year of their lives to serving society.)","• President of the Association of the School of Business Administration, University of Cuenca (without being affiliated with any political party or group).","• Member of the Honourable Board of Directors of the Department of Economics of the University of Cuenca, for three sessions (without being affiliated with any political party or group).","• Member of the Honourable University Council of the University of Cuenca, representing the Department of Economics (without being affiliated with any political party or group).","• Graduated with a bachelor’s degree in political and social sciences, with distinction.","• Undergraduate thesis recommended for publication by the University panel.","• Passed the competitive examination for Senior Lecturer in the Department of Economics at the University of Cuenca, for all law courses offered by the Department (Organic Law on Financial Administration and Control and labour, corporate, trade and tax law).","• Graduated with distinction as a commercial engineer.","• Nominated by the People’s Assembly of Azuay to the Supreme Electoral Court after the fall of Abdalá Bucaram.","• Graduation with distinction; earned a Master’s Degree in Administrative Law.","• Managed the company that built the best landfill in Ecuador, which earned it international and national recognition for its environmental and financial sustainability. The company was awarded the first environmental licence and implemented ISO 14000 and OSHAS 18000 regulations at the landfill, the only one of its kind in Latin America.","• Selected as a presenter and speaker on the successful experience of Cuenca for the International Conference of Public and Private Institutions for the exchange of best practices in solid waste treatment and disposal and recycling projects, San José, Costa Rica, 21 to 28 March 2004.","• President of student candidates for the Masters of Business Administration (MBA) programme at the National Polytechnic School (EPN).","• President of student candidates for the Master of Economics programme and student representative of the programme on the Academic Council of the University of Cuenca.","• Promoter and founder of the “Recycling Solidarity Programme”, dedicated to helping the country’s neediest people.","• On 31 August 2005, by unanimous decision of the member countries of the Andean Community (Bolivia, Colombia, Ecuador, Peru and Venezuela), appointed Chief Justice for Ecuador to the Court of Justice of the Andean Community.","• Unanimously elected President of the Court of Justice of the Andean Community (January 2008 to January 2009).","• Named Honorary Academician of the National Academy of Legal Sciences of Bolivia, a title granted on an exceptional basis to foreigners who have distinguished themselves in certain branches of law, in recognition of expertise in the field of international law, Community law and regional integration law.","• Unanimously elected General Coordinator of the Ibero-American Intellectual Property Association (AIPI), which is made up of 15 Ibero-American countries.","• Appointed to serve on the Advisory and Budget Council of the Latin American Network of Judges (REDLAJ) (though not one of the founding members).","• Merits-based appointment as Professor of Graduate Studies in Regional Integration Law for the Distance Learning Programme of the Private Technical University of Loja (UTPL).","• Graduated with distinction (9.55/10) from Simón Bolivar Andean University doctoral programme in law (PhD)."],"string":"[\n \"Sixty-sixth session\",\n \"Item 114 (b) of the provisional agenda*\",\n \"* A/66/150.\",\n \"Elections to fill vacancies in subsidiary organs and other elections\",\n \"Election of the members of the International Law Commission\",\n \"Note by the Secretary-General\",\n \"Addendum\",\n \"Contents\",\n \"Page\\nI.Introduction 2II. Curricula 2 vitae of \\ncandidates Carlos 2 Oswaldo Salgado \\nEspinoza(Ecuador)\",\n \"I. Introduction\",\n \"The curriculum vitae of the candidate submitted by Ecuador, in accordance with article 5 of the statute of the International Law Commission, in substitution of its nomination of Mr. Marcelo Vázquez-Bermúdez (see document A/66/88/Add.3), is contained in section II below.\",\n \"II. Curricula vitae of candidates\",\n \"Carlos Oswaldo Salgado Espinoza (Ecuador)\",\n \"[Original: Spanish]\",\n \"Nationality: Ecuadorian\",\n \"City, province, state: Quito — Pichincha — Ecuador\",\n \"Background:\",\n \"Bachelor’s degree in political and social sciences.\",\n \"Attorney for the courts of justice of the Republic of Ecuador.\",\n \"Commercial engineer.\",\n \"Mediator for the Azuay Chamber of Commerce.\",\n \"Arbitrator for the Azuay Chamber of Commerce.\",\n \"Diploma in environmental management, with a minor in protection of the physical environment.\",\n \"Diploma in notary and public records law.\",\n \"Diploma in industrial property law.\",\n \"Master’s Degree in Administrative Law.\",\n \"Juris Doctor.\",\n \"Doctoral candidate (PhD) in law at the Simón Bolívar Andean University; doctoral thesis on “The jurisdictional organ applicable to the Union of South American Nations (UNASUR)”.\",\n \"Other graduate studies in:\",\n \"Law:\",\n \"Administrative law at the University of Azuay;\",\n \"Notary and public records law at the University of Belgrano, Argentina and the University of Havana, Cuba;\",\n \"Industrial property law at the University of Buenos Aires, Argentina;\",\n \"International law and foreign and international relations, Campus Stellae European Institute, Spain.\",\n \"Business administration:\",\n \"Master of Business Administration (MBA), National Polytechnic School.\",\n \"Economy:\",\n \"Master of Economics, University of Cuenca.\",\n \"Environment:\",\n \"Diploma in environmental management, University of Azuay and University of Alicante.\",\n \"Projects:\",\n \"International certificate in project development, evaluation and management, Inter‑American Development Bank and National Polytechnic School.\",\n \"Specialist, National Polytechnic School.\",\n \"Education:\",\n \"Master’s degree in eLearning Project Management (MDPeL), Polytechnic University of Madrid, Spain.\",\n \"Summary of professional and academic experience:\",\n \"Founding member of the Latin American Judicial Academy (EJAL), 15 April 2011.\",\n \"Director-General of COSE & Associates, Salgado Espinoza & Associates, National and International Consulting Firm, since 15 January 2011.\",\n \"Judge for the Court of Justice of the Andean Community, from 2005 to 14 January 2011.\",\n \"President of the Court of Justice of the Andean Community, January 2008 to January 2009.\",\n \"Honorary Academician at the National Academy of Legal Sciences of Bolivia.\",\n \"Mediator and arbitrator for the Azuay Chamber of Commerce, from 2002 to 2005.\",\n \"Member of the Latin American e-Justice Commission.\",\n \"General Coordinator of the Ibero-American Intellectual Property Association (AIPI).\",\n \"Member of the Advisory and Budget Council of the Latin American Network of Judges (REDLAJ).\",\n \"Director General of the Latin American Centre for Social Research for the 21st Century (CELDIS 21).\",\n \"Professor of undergraduate and graduate studies in regional integration law at the following universities:\",\n \"• Private Technical University of Loja (UTPL), distance learning programme, 2008-March 2011; and\",\n \"• University of the Americas (UDLA), 2009-March 2011.\",\n \"Senior Lecturer at the University of Cuenca since 1989 in the areas of:\",\n \"• Labour law\",\n \"• Tax law\",\n \"• Corporate law\",\n \"• Trade law\",\n \"• Organic Law on Financial Administration and Control\",\n \"• Ecuadorian public sector regulations for managers and accountants\",\n \"• Economic law\",\n \"Member of “Reciclando Solidaridad, Proyecto Ambiental y Solidario” (“Recycling Solidarity, Project for the Environment and Solidarity”), which was developed by the administration of Mayor Fernando Cordero Cueva (also an architect).\",\n \"Member of the University Council, representing the Department of Economics, and of the Academic Planning Council, representing the Division of Social Science (Departments of Economics, Philosophy and Jurisprudence), of the University of Cuenca.\",\n \"Director-General of COSE & Associates, a legal, accounting, administrative, financial and economic consulting and advisory firm, 1989-2005.\",\n \"Trustee for the professional associations of civil engineers, business managers and economists of Cuenca and Azuay.\",\n \"Legal adviser to several businesses and communities in Azuay.\",\n \"First Manager of the Cuenca Municipal Waste Company (EMAC), which successfully implemented ISO 14000 and OHSAS 18000 regulations at the First Landfill of Ecuador. The Landfill was issued an environmental licence by the Ministry of the Environment, and is the only landfill in Latin America with ISO 14001 certification. From 1999 to 2005.\",\n \"General Manager of Constructora de Caminos S.A.\",\n \"Mathematics and physics teacher at the following high schools in Cuenca: Salesian Technical, Rosa de Jesús Cordero (Catalinas) and Manuela Garaicoa de Calderón.\",\n \"Author of 24 publications and conference papers:\",\n \"• “La responsabilidad en la Ley Orgánica de Administración Financiera y Control”, University of Cuenca, 1989.\",\n \"• “Normatividad del sector público ecuatoriano para el administrador y contador”, University of Cuenca, 1995.\",\n \"• “Ping-pong de una competencia jurisdiccional: la indefensión de ciertos actos administrativos emanados por la Administración Pública, de competencia del Tribunal Contencioso Administrativo de Cuenca, en el periodo 1994-2000”, 2003.\",\n \"• “El Tribunal de Justicia, órgano jurisdiccional de la Comunidad Andina”, First International Law Conference, held in Asunción, September 2007.\",\n \"• “El derecho de integración: reflexiones en torno a su aplicación y seguimiento”, presented at the First World Conference of International and Regional Courts, held in Managua, Nicaragua, from 4 to 5 October 2007.\",\n \"• “Reflexiones en torno al 5° Encuentro de Cortes Supremas del MERCOSUR y Asociados”, Brasilia, 8 and 9 November 2007.\",\n \"• “Experiencia del Tribunal de Justicia de la Comunidad Andina”, presented at the High-Level Summit of Judicial Authorities of the Union of South American Nations (UNASUR), Santiago, 26 November 2007.\",\n \"• “La marca notoriamente conocida en el régimen de propiedad industrial de la Comunidad Andina”, presented at the First International Forum on Intellectual Property, held in Cancun, Mexico, from 26 to 29 February 2008.\",\n \"• “La justicia comunitaria andina: socialización de la Comunidad Andina a los sectores empresariales del Ecuador”, intensive training course, Guayaquil, 6 and 7 March 2008.\",\n \"• “La solución de controversias de la Comunidad Andina, como mecanismo de seguridad jurídica y tutela ciudadana”, presented at the Subregional Workshop on Access to Environmental Justice in Latin America, 13 and 14 March 2008, Lima, Peru.\",\n \"• “El Tribunal Andino, hacia una justicia efectiva comunitaria: gestión e indicadores de desempeño”, for the Annual Report on Activities of the Court of Justice of the Andean Community, 25 March 2008, Bogotá, Colombia.\",\n \"• “El marco jurídico constitucional del MERCOSUR y de la Comunidad Andina — desafíos actuales”, 5 and 6 May 2008, Montevideo, Uruguay.\",\n \"• “El rol de los jueces nacionales en la aplicación del derecho comunitario”, Summit of Law Schools and Faculties from the Andean Community — Drafting of a Curriculum on Andean Community Law, held in Lima, 9 and 10 June 2008.\",\n \"• “Derecho de integración”, course material for the Master of Business Law, published by the Private Technical University of Loja (UTPL), 2008.\",\n \"• “Visión de futuro de los sistemas de solución de controversias de la UNASUR, en una opción integradora de la Comunidad Andina y el MERCOSUR”, paper delivered via videoconference using the FlashMeeting system, by invitation from the Latin American Network of Judges (REDLAJ) for a conference for Ibero-American judges and magistrates, 12 December 2008.\",\n \"• Intensive training course on the Community legal system and Andean system for dispute settlement for public officials, managers and facilitators in the justice system, judges and magistrates, 9 February 2009, Quito.\",\n \"• “El derecho andino y la integración fronteriza y transporte”, presented at the Binational Forum, held in Tulcán, 13 and 14 April 2009.\",\n \"• “La sociedad del conocimiento y los derechos humanos: visión de futuro en los procesos de integración latinoamericana”, presented at the Third Ibero‑American Conference on Judicial Cooperation, 23 to 26 November 2009, Fortaleza, Brazil.\",\n \"• “Bases del derecho para la integración y comunitario”, undergraduate course material for the University of the Americas (UDLA), 2009.\",\n \"• Course material on regional integration law for the Master’s Programme in Intellectual Property at the University of the Americas (UDLA), 2010.\",\n \"• “La importación y exportación de servicios dentro del concepto de la integración andina y latinoamericana”, presented at the international seminar organized by the National Superintendency of Tax Administration (SUNAT) and the Institute for Tax and Customs Administration of Peru, held on 1 September 2010, at SUNAT Headquarters, Lima, Peru.\",\n \"• “Integración andina — importación y exportación de servicios”, presented at the Seventh National Juridical Conference, organized by the National Juridical Administration and the Institute for Tax and Customs and Administration and the National Superintendency of Tax Administration (SUNAT) of Peru, held at the Hotel Sol de Oro on 2 September in Lima, Peru.\",\n \"• “Visión de futuro de la integración latinoamericana”, presented at the Second Conference of Magistrates from the Andean Community and the Southern Common Market (MERCOSUR), held in Cartagena de Indias, Colombia, from 6 to 8 September 2010.\",\n \"• Volume 1 of the series “Sendero suramericano del siglo 21”, “El ABC del derecho para la integración, el surco de la neo-integración”, 2010.\",\n \"Distinctions and important achievements\",\n \"• Graduated second in the class from primary school and received a full scholarship to study at the Salesian Technical High School.\",\n \"• Awarded scholarships for outstanding low-income students at the Cuenca Salesian Technical High School.\",\n \"• Graduated with a high school degree, with distinction.\",\n \"• At age 12, was selected to be a mathematics teacher, and starting at age 18, was a mathematics and physics teacher at the following high schools: Santo Tomás Apóstol (Riobamba), Rosa de Jesús Cordero (Catalinas-Cuenca), Salesian Technical (Cuenca) and Manuela Garaicoa de Calderón (Cuenca).\",\n \"• At age 18, spent a year as a Salesian Volunteer to build, along with other dreamers, like the late Father Antonio Amador (at the time an aspiring priest) and Pablo Ponce, the current councillor of Quito, among others, the Don Bosco Oratory in Riobamba, a youth help centre for low-income children, to provide a healthy weekend recreation facility. (In the Salesian Volunteer programme, young people devote a year of their lives to serving society.)\",\n \"• President of the Association of the School of Business Administration, University of Cuenca (without being affiliated with any political party or group).\",\n \"• Member of the Honourable Board of Directors of the Department of Economics of the University of Cuenca, for three sessions (without being affiliated with any political party or group).\",\n \"• Member of the Honourable University Council of the University of Cuenca, representing the Department of Economics (without being affiliated with any political party or group).\",\n \"• Graduated with a bachelor’s degree in political and social sciences, with distinction.\",\n \"• Undergraduate thesis recommended for publication by the University panel.\",\n \"• Passed the competitive examination for Senior Lecturer in the Department of Economics at the University of Cuenca, for all law courses offered by the Department (Organic Law on Financial Administration and Control and labour, corporate, trade and tax law).\",\n \"• Graduated with distinction as a commercial engineer.\",\n \"• Nominated by the People’s Assembly of Azuay to the Supreme Electoral Court after the fall of Abdalá Bucaram.\",\n \"• Graduation with distinction; earned a Master’s Degree in Administrative Law.\",\n \"• Managed the company that built the best landfill in Ecuador, which earned it international and national recognition for its environmental and financial sustainability. The company was awarded the first environmental licence and implemented ISO 14000 and OSHAS 18000 regulations at the landfill, the only one of its kind in Latin America.\",\n \"• Selected as a presenter and speaker on the successful experience of Cuenca for the International Conference of Public and Private Institutions for the exchange of best practices in solid waste treatment and disposal and recycling projects, San José, Costa Rica, 21 to 28 March 2004.\",\n \"• President of student candidates for the Masters of Business Administration (MBA) programme at the National Polytechnic School (EPN).\",\n \"• President of student candidates for the Master of Economics programme and student representative of the programme on the Academic Council of the University of Cuenca.\",\n \"• Promoter and founder of the “Recycling Solidarity Programme”, dedicated to helping the country’s neediest people.\",\n \"• On 31 August 2005, by unanimous decision of the member countries of the Andean Community (Bolivia, Colombia, Ecuador, Peru and Venezuela), appointed Chief Justice for Ecuador to the Court of Justice of the Andean Community.\",\n \"• Unanimously elected President of the Court of Justice of the Andean Community (January 2008 to January 2009).\",\n \"• Named Honorary Academician of the National Academy of Legal Sciences of Bolivia, a title granted on an exceptional basis to foreigners who have distinguished themselves in certain branches of law, in recognition of expertise in the field of international law, Community law and regional integration law.\",\n \"• Unanimously elected General Coordinator of the Ibero-American Intellectual Property Association (AIPI), which is made up of 15 Ibero-American countries.\",\n \"• Appointed to serve on the Advisory and Budget Council of the Latin American Network of Judges (REDLAJ) (though not one of the founding members).\",\n \"• Merits-based appointment as Professor of Graduate Studies in Regional Integration Law for the Distance Learning Programme of the Private Technical University of Loja (UTPL).\",\n \"• Graduated with distinction (9.55/10) from Simón Bolivar Andean University doctoral programme in law (PhD).\"\n]"},"record":{"kind":"string","value":"A_66_90_ADD.2"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","∗ A/63/250.","Item 114 (b) of the provisional agenda","Elections to fill vacancies in subsidiary organs and other elections","Election of members of the International Law Commission","Note by the Secretariat","Addendum","Contents","Introduction 2","Introduction","In accordance with article 5 of the statute of the International Law Commission, Ecuador submitted a curriculum vitae of the candidate and replaced the nomination of Mr. Marsilo Bázquez-Bemén. The curricula vitae of candidates are set out in section II below.","Biographical information on candidates","Carlos Osvaldo Salgato Espinosa","[Original: Spanish]","Nationality: Ecuador.","National, provincial and municipal: Ecuador - Psychia-Kordo.","Training:","Political Science.","Lawyers of the Republic of Ecuador.","Business management engineers.","ASA mediator.","Arbitral arbitrators of ASAMU.","High diplomas in environmental management, sub-phase subjects: natural environmental protection.","The press is registered in French vouchers.","Industrial property vouchers.","Master of Administrative Law.","Doctor of Law.","Dr. Andiana Simón Bolivarian University of Law, doctoral paper: “The National Union of South American States may apply to the judiciary”.","Other research institutes study:","Laws:","Administrative law, University of Ausai; Public Registration Act, Argentina, Ber Grano University; Cuba, Havana University; Industrial Property, Argentina, Buenos Aires; International Law and Diplomatic and International Relations, Spain, School of the European Institute for Europe.","Enterprise management:","Master of Business Management at the National Institute of Science and Technology.","Economics:","Master of Economy at the University of Kukka.","Environment:","Environmental management diplomas at the University of Assoai and at the University of Alictro.","Project:","Inter-American Development Bank and the National Institute of Science and Technology, project development, evaluation and management of international certificates; National Institute of Science and Technology, expert certificates.","Education:","Spain, University of Madrid, Master of Project Management and Research.","Professional and academic curricula vitae:","founding members of the Latin American Judicial School, 15 April 2011.","CSCO Manager, Sargato Espinosa Partnership Adviser, National and International Advisers, 15 January 2011.","Judges of the Andean Community Court, 2005-14 January 2011.","President of the Andean Community, January 2008 to January 2009.","Honours of the National Institute of Law of Bolivia.","AusAID investigators and arbitrators, 2002-2005.","Members of the Judicial Committee of Latin America.","General Coordinator of the Ibero-American Association of Intellectual Property.","Member of the Latin American Council of Judges' Network Advisory and Finance.","Director-General, Latin American Centre for Social Investigation, 21st Century.","Professor of the University Integration Act (universal and research institutes):","• Loha Special University of Technology, distance education (2008-March 2011);","• University of the Americas (2009-March 2011.","The following subjects are taught at the University of Kinca (since 1989):","• Labour law;","• Tax law;","• Companies law;","• Trade law;","• Financial management and control of the Organic Law;","• Ecuador's public sector manager and accounting regulations;","• Economic law.","The project was recycled by members of the Programme of Solidarity for Environmental Solidarity, which was conceived during the Mayor of the Architects Fernando Coldro Quwa.","Members of the Board of Trustees of the University of Kukka (on behalf of the Economic Academy); members of the Council for Academic Planning, representing the social sphere (Economic, philosophical, Law School).","CSCO Corporate Manager, Legal Counsel, accounting, administrative staff, financial personnel and economic personnel, from 1989 to 2005.","Curca and ASai Professional Association Council: Civil Engineer, Business Manager, Economist.","Multi-commercial Legal Adviser in the Assoai Community.","The first manager of the Kca Metropolitan Corporation, implementing ISO 14000 and OHSAS 18000 in Ecuador's first garbage, was granted environmental licences by the Ministry of the Environment, which was the only ISO 14001 licence in Latin America from 1999 to 2005.","General Manager of the Road Construction Corporation.","Mathematic and physical teachers in the following schools: Salales Ano Technical School, Rosa de Herss Cordro (Katanias) School and Manuela Kardron Garaiia School.","Publications: 24 publications and papers","• “The responsibility for financial management and control of the Organic Law”, University of Kca, 1995.","• “The Public Sector Manager and the Accounting Management Regulations of Ecuador”, University of Kka, 1995.","• “Judicial Jurisprication Bill”, Public Administration, 1994-2000, has no effect on certain administrative regulations enacted in 2003 on the jurisdiction of the Court of Ankara Administrative Procedure.","• “The Andean Community Court, the judiciary”, the first International Conference on International Law, held in Yaounción in September 2007.","• “Integrate law: some reflections on its implementation and monitoring”, the first World Conference of International and Regional Courts, held in Nicaragua on 4 and 5 October 2007.","• “Several reflections at the 5th Meeting of the Supreme Court of the South Common Market and Associated Countries”, held in Brasilia on 8 and 9 November 2007.","• “The experience of the Andean Community Court”, Meeting of High-level Authorities of the National Union of South America (held in Santiago, Chile, 26 November 2007).","• “The industrial property rights system of the Andean Community is well known as trademarks”, the first International Conference on Intellectual Property, held in Cancerra, Mexico, from 26 to 29 February 2008.","• “Option of the Andean Community”, in connection with the enterprise sector of Ecuador (a intensive training course in Guayaquil on 6 and 7 March 2008).","• “The settlement of disputes by the Andean Community as a mechanism for legal security and protection of citizens”, held a subregional working meeting on the use of environmental justice in Lima, Peru, on 13 and 14 March 2008 to improve the use of environmental justice in Latin America.","• “The Andean Court of Justice, Maiward to the Community: Management and Implementation Indicators”, held an annual event report of the Andean Community in Bogotá, Colombia, on 25 March 2008.","• “The Common Market of the South and the Constitutional Framework of the Andean Community — current challenges”, 5-6 May 2008, Montevideo, Uruguay.","• “The role of national judges in the implementation of the law of the Community”, meeting of the Academy of Law of the Andean Community, a course of legal research for the Andean Community (held in Lima, 9 and 10 June 2008).","• “Integration Law”, Corporate Law Master's Studies Guide, published by the Lha Special University of Technology, 2008.","• “The future prospects for the dispute settlement system of the South American National Union, the Andean Community's Common Market Integration option”, and the Network of Latin American Judges invited Ibero-American judges to participate in the videoconferencing (12 December 2008), within the framework of “Cooperation and digital justice”.","• “Central intensive training course on the law of the Community and the Andean dispute resolution regime”, organized for government officials, managers, judicial promoters and judges (Kordo, 9 February 2009).","• “The Andean law and border integration and transport”, held in Tourc on 13 and 14 April 2009.","• “The knowledge society and human rights: future prospects for the Latin American Integration Process”, Third Meeting of Ibero-American Judicial Cooperation, held in Favalai, Brazil, from 23 to 28 November 2009.","• “The basis of the Act on Integration and Community Law”, University of the Americas, Benchin Guide, 2009.","• “Integrated Law”, A Guide to Postgraduates in Intellectual Property, University of the Americas, 2010.","• “The import and export of services within the context of the Andean and Latin American Integration concept”, the National Tax Manager and the Peruvian Institute for Customs Management held an international seminar at the headquarters of Peru, LimaSUNAT (1 September 2010).","• “The import and export of the Andean Integration-Commercial Services”, Seventh National Legal Conference of the National Bureau of Law, the Customs Management Institute and the Peruvian Customs Administration-SUNAT (held in Lima Hotal Sol de Oro, Peru, on 2 September). Contents","• “The future prospects for integration in Latin America”, the second meeting of the Andean Community and Common Market Judges in Cartagena, Colombia, from 6 to 8 September 2010.","• Volume 1 of the “Integration Law”, “The South American Routes 21st Century”, “Integration”, 2010”.","Honours and important achievements:","• The second primary school graduate, with full scholarships available at the Salz technical high level.","• Scholarships are available at the Scholarship of Queensals technology, but scholarships are reserved for other families.","• Secondary graduation (excellence of performance).","• The 12-year-old Mathematical and Physical Teaching at the following high-level high-level and physical teachers: St. Thomas (Li Obanbba), Rosa de Hes Sulz Kedro (Kinca, Cartalines), Saales Ano Technical School (Kinca), Manuela Gaai Cardron (Kinca).","• The 18-year-olds participated in the Sales voluntary mission (to contribute to a year-long spring to society), together with other dreams (e.g., the late Antonio Amaor, who then was a promising paternity), to promote the current Quito, Bbravro Ponoel Council and others, and to establish the Boscoe Centre (Youth Centre, to help children living in poverty and to provide recreational activities on weekend health).","• The President of the Association of Business Management College at the University of Kukka (no political party or group).","• Members of the Economic Academy of the University of Kukka for a three-year term (without any political party or group).","• The School of Economics at the University of Kukka participates in the Board of Governors of the University (without any political party or group).","• Political and socio-economic science cadets (prevalence of performance).","• The University Parliament recommended that the paper be published.","• The Economic Academy is teaching the examination and depth and can serve as the subject of the Faculty of Law at the University of Kukka (Financial Management and Control Organization Act, Labour Code, Corporate Law, Commercial Law and Tax Law).","• The graduate of commercial management engineers (performance).","• After the Al-Afdra Bukaam, the ASPA recommended participation in the Supreme Electoral Court.","• Master of Administrative Law (LM).","• The construction of Ecuador's best garbage manager, which has earned national and international expressions (environment and financial sustainability), and has been licensed for the first implementation of ISO 14000 and OSHAS 18000 landfills, which is only in Latin America.","• The successful experience of the Ecuador-Kinkka was chosen at the successful experience of the International Public Institutions and private institutions held in Costa Rica, San José, from 21 to 28 March 2004.","• President of the National Institute of Science and Technology for Business Management.","• The President of the Faculty of Economics at the University of Kukka and represent students in the academic council.","• Promote and build “recovery” programmes to help the poor in Ecuador.","• On 31 August 2005, the full-time representatives of the Andean Community (Bolivia, Colombia, Ecuador, Peru and Venezuela) unanimously appointed as the Chief Justice of the Andean Community Court of Ecuador.","• A unanimously elected President of the Andean Community (January 2008).","• The Honours of the National Institute of Law of Bolivia were nominated, an honour granted, on an exceptional basis, to foreigners who had a reputation in certain areas of law, and to recognize academic knowledge in the field of international law, the Community Act and the Integration Act.","• Elected as the General Coordinator of the Ibero-American Association of Intellectual Property, including 15 States of the Ibero-American States.","• The appointment of a member of the Latin American Council for Training and Finance, even one of the founding members of the Network.","• Individual performance is taught by the University's Institute of Integration Law: Loha Special University of Technology, distance education.","• Dr. Andina Simón Bolivarian University of Legal Sciences (Leal performance was high and 9.55 per cent)."],"string":"[\n \"Sixty-sixth session\",\n \"∗ A/63/250.\",\n \"Item 114 (b) of the provisional agenda\",\n \"Elections to fill vacancies in subsidiary organs and other elections\",\n \"Election of members of the International Law Commission\",\n \"Note by the Secretariat\",\n \"Addendum\",\n \"Contents\",\n \"Introduction 2\",\n \"Introduction\",\n \"In accordance with article 5 of the statute of the International Law Commission, Ecuador submitted a curriculum vitae of the candidate and replaced the nomination of Mr. Marsilo Bázquez-Bemén. The curricula vitae of candidates are set out in section II below.\",\n \"Biographical information on candidates\",\n \"Carlos Osvaldo Salgato Espinosa\",\n \"[Original: Spanish]\",\n \"Nationality: Ecuador.\",\n \"National, provincial and municipal: Ecuador - Psychia-Kordo.\",\n \"Training:\",\n \"Political Science.\",\n \"Lawyers of the Republic of Ecuador.\",\n \"Business management engineers.\",\n \"ASA mediator.\",\n \"Arbitral arbitrators of ASAMU.\",\n \"High diplomas in environmental management, sub-phase subjects: natural environmental protection.\",\n \"The press is registered in French vouchers.\",\n \"Industrial property vouchers.\",\n \"Master of Administrative Law.\",\n \"Doctor of Law.\",\n \"Dr. Andiana Simón Bolivarian University of Law, doctoral paper: “The National Union of South American States may apply to the judiciary”.\",\n \"Other research institutes study:\",\n \"Laws:\",\n \"Administrative law, University of Ausai; Public Registration Act, Argentina, Ber Grano University; Cuba, Havana University; Industrial Property, Argentina, Buenos Aires; International Law and Diplomatic and International Relations, Spain, School of the European Institute for Europe.\",\n \"Enterprise management:\",\n \"Master of Business Management at the National Institute of Science and Technology.\",\n \"Economics:\",\n \"Master of Economy at the University of Kukka.\",\n \"Environment:\",\n \"Environmental management diplomas at the University of Assoai and at the University of Alictro.\",\n \"Project:\",\n \"Inter-American Development Bank and the National Institute of Science and Technology, project development, evaluation and management of international certificates; National Institute of Science and Technology, expert certificates.\",\n \"Education:\",\n \"Spain, University of Madrid, Master of Project Management and Research.\",\n \"Professional and academic curricula vitae:\",\n \"founding members of the Latin American Judicial School, 15 April 2011.\",\n \"CSCO Manager, Sargato Espinosa Partnership Adviser, National and International Advisers, 15 January 2011.\",\n \"Judges of the Andean Community Court, 2005-14 January 2011.\",\n \"President of the Andean Community, January 2008 to January 2009.\",\n \"Honours of the National Institute of Law of Bolivia.\",\n \"AusAID investigators and arbitrators, 2002-2005.\",\n \"Members of the Judicial Committee of Latin America.\",\n \"General Coordinator of the Ibero-American Association of Intellectual Property.\",\n \"Member of the Latin American Council of Judges' Network Advisory and Finance.\",\n \"Director-General, Latin American Centre for Social Investigation, 21st Century.\",\n \"Professor of the University Integration Act (universal and research institutes):\",\n \"• Loha Special University of Technology, distance education (2008-March 2011);\",\n \"• University of the Americas (2009-March 2011.\",\n \"The following subjects are taught at the University of Kinca (since 1989):\",\n \"• Labour law;\",\n \"• Tax law;\",\n \"• Companies law;\",\n \"• Trade law;\",\n \"• Financial management and control of the Organic Law;\",\n \"• Ecuador's public sector manager and accounting regulations;\",\n \"• Economic law.\",\n \"The project was recycled by members of the Programme of Solidarity for Environmental Solidarity, which was conceived during the Mayor of the Architects Fernando Coldro Quwa.\",\n \"Members of the Board of Trustees of the University of Kukka (on behalf of the Economic Academy); members of the Council for Academic Planning, representing the social sphere (Economic, philosophical, Law School).\",\n \"CSCO Corporate Manager, Legal Counsel, accounting, administrative staff, financial personnel and economic personnel, from 1989 to 2005.\",\n \"Curca and ASai Professional Association Council: Civil Engineer, Business Manager, Economist.\",\n \"Multi-commercial Legal Adviser in the Assoai Community.\",\n \"The first manager of the Kca Metropolitan Corporation, implementing ISO 14000 and OHSAS 18000 in Ecuador's first garbage, was granted environmental licences by the Ministry of the Environment, which was the only ISO 14001 licence in Latin America from 1999 to 2005.\",\n \"General Manager of the Road Construction Corporation.\",\n \"Mathematic and physical teachers in the following schools: Salales Ano Technical School, Rosa de Herss Cordro (Katanias) School and Manuela Kardron Garaiia School.\",\n \"Publications: 24 publications and papers\",\n \"• “The responsibility for financial management and control of the Organic Law”, University of Kca, 1995.\",\n \"• “The Public Sector Manager and the Accounting Management Regulations of Ecuador”, University of Kka, 1995.\",\n \"• “Judicial Jurisprication Bill”, Public Administration, 1994-2000, has no effect on certain administrative regulations enacted in 2003 on the jurisdiction of the Court of Ankara Administrative Procedure.\",\n \"• “The Andean Community Court, the judiciary”, the first International Conference on International Law, held in Yaounción in September 2007.\",\n \"• “Integrate law: some reflections on its implementation and monitoring”, the first World Conference of International and Regional Courts, held in Nicaragua on 4 and 5 October 2007.\",\n \"• “Several reflections at the 5th Meeting of the Supreme Court of the South Common Market and Associated Countries”, held in Brasilia on 8 and 9 November 2007.\",\n \"• “The experience of the Andean Community Court”, Meeting of High-level Authorities of the National Union of South America (held in Santiago, Chile, 26 November 2007).\",\n \"• “The industrial property rights system of the Andean Community is well known as trademarks”, the first International Conference on Intellectual Property, held in Cancerra, Mexico, from 26 to 29 February 2008.\",\n \"• “Option of the Andean Community”, in connection with the enterprise sector of Ecuador (a intensive training course in Guayaquil on 6 and 7 March 2008).\",\n \"• “The settlement of disputes by the Andean Community as a mechanism for legal security and protection of citizens”, held a subregional working meeting on the use of environmental justice in Lima, Peru, on 13 and 14 March 2008 to improve the use of environmental justice in Latin America.\",\n \"• “The Andean Court of Justice, Maiward to the Community: Management and Implementation Indicators”, held an annual event report of the Andean Community in Bogotá, Colombia, on 25 March 2008.\",\n \"• “The Common Market of the South and the Constitutional Framework of the Andean Community — current challenges”, 5-6 May 2008, Montevideo, Uruguay.\",\n \"• “The role of national judges in the implementation of the law of the Community”, meeting of the Academy of Law of the Andean Community, a course of legal research for the Andean Community (held in Lima, 9 and 10 June 2008).\",\n \"• “Integration Law”, Corporate Law Master's Studies Guide, published by the Lha Special University of Technology, 2008.\",\n \"• “The future prospects for the dispute settlement system of the South American National Union, the Andean Community's Common Market Integration option”, and the Network of Latin American Judges invited Ibero-American judges to participate in the videoconferencing (12 December 2008), within the framework of “Cooperation and digital justice”.\",\n \"• “Central intensive training course on the law of the Community and the Andean dispute resolution regime”, organized for government officials, managers, judicial promoters and judges (Kordo, 9 February 2009).\",\n \"• “The Andean law and border integration and transport”, held in Tourc on 13 and 14 April 2009.\",\n \"• “The knowledge society and human rights: future prospects for the Latin American Integration Process”, Third Meeting of Ibero-American Judicial Cooperation, held in Favalai, Brazil, from 23 to 28 November 2009.\",\n \"• “The basis of the Act on Integration and Community Law”, University of the Americas, Benchin Guide, 2009.\",\n \"• “Integrated Law”, A Guide to Postgraduates in Intellectual Property, University of the Americas, 2010.\",\n \"• “The import and export of services within the context of the Andean and Latin American Integration concept”, the National Tax Manager and the Peruvian Institute for Customs Management held an international seminar at the headquarters of Peru, LimaSUNAT (1 September 2010).\",\n \"• “The import and export of the Andean Integration-Commercial Services”, Seventh National Legal Conference of the National Bureau of Law, the Customs Management Institute and the Peruvian Customs Administration-SUNAT (held in Lima Hotal Sol de Oro, Peru, on 2 September). Contents\",\n \"• “The future prospects for integration in Latin America”, the second meeting of the Andean Community and Common Market Judges in Cartagena, Colombia, from 6 to 8 September 2010.\",\n \"• Volume 1 of the “Integration Law”, “The South American Routes 21st Century”, “Integration”, 2010”.\",\n \"Honours and important achievements:\",\n \"• The second primary school graduate, with full scholarships available at the Salz technical high level.\",\n \"• Scholarships are available at the Scholarship of Queensals technology, but scholarships are reserved for other families.\",\n \"• Secondary graduation (excellence of performance).\",\n \"• The 12-year-old Mathematical and Physical Teaching at the following high-level high-level and physical teachers: St. Thomas (Li Obanbba), Rosa de Hes Sulz Kedro (Kinca, Cartalines), Saales Ano Technical School (Kinca), Manuela Gaai Cardron (Kinca).\",\n \"• The 18-year-olds participated in the Sales voluntary mission (to contribute to a year-long spring to society), together with other dreams (e.g., the late Antonio Amaor, who then was a promising paternity), to promote the current Quito, Bbravro Ponoel Council and others, and to establish the Boscoe Centre (Youth Centre, to help children living in poverty and to provide recreational activities on weekend health).\",\n \"• The President of the Association of Business Management College at the University of Kukka (no political party or group).\",\n \"• Members of the Economic Academy of the University of Kukka for a three-year term (without any political party or group).\",\n \"• The School of Economics at the University of Kukka participates in the Board of Governors of the University (without any political party or group).\",\n \"• Political and socio-economic science cadets (prevalence of performance).\",\n \"• The University Parliament recommended that the paper be published.\",\n \"• The Economic Academy is teaching the examination and depth and can serve as the subject of the Faculty of Law at the University of Kukka (Financial Management and Control Organization Act, Labour Code, Corporate Law, Commercial Law and Tax Law).\",\n \"• The graduate of commercial management engineers (performance).\",\n \"• After the Al-Afdra Bukaam, the ASPA recommended participation in the Supreme Electoral Court.\",\n \"• Master of Administrative Law (LM).\",\n \"• The construction of Ecuador's best garbage manager, which has earned national and international expressions (environment and financial sustainability), and has been licensed for the first implementation of ISO 14000 and OSHAS 18000 landfills, which is only in Latin America.\",\n \"• The successful experience of the Ecuador-Kinkka was chosen at the successful experience of the International Public Institutions and private institutions held in Costa Rica, San José, from 21 to 28 March 2004.\",\n \"• President of the National Institute of Science and Technology for Business Management.\",\n \"• The President of the Faculty of Economics at the University of Kukka and represent students in the academic council.\",\n \"• Promote and build “recovery” programmes to help the poor in Ecuador.\",\n \"• On 31 August 2005, the full-time representatives of the Andean Community (Bolivia, Colombia, Ecuador, Peru and Venezuela) unanimously appointed as the Chief Justice of the Andean Community Court of Ecuador.\",\n \"• A unanimously elected President of the Andean Community (January 2008).\",\n \"• The Honours of the National Institute of Law of Bolivia were nominated, an honour granted, on an exceptional basis, to foreigners who had a reputation in certain areas of law, and to recognize academic knowledge in the field of international law, the Community Act and the Integration Act.\",\n \"• Elected as the General Coordinator of the Ibero-American Association of Intellectual Property, including 15 States of the Ibero-American States.\",\n \"• The appointment of a member of the Latin American Council for Training and Finance, even one of the founding members of the Network.\",\n \"• Individual performance is taught by the University's Institute of Integration Law: Loha Special University of Technology, distance education.\",\n \"• Dr. Andina Simón Bolivarian University of Legal Sciences (Leal performance was high and 9.55 per cent).\"\n]"}}},{"rowIdx":96,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程[1] 项目134和143","2012-2013两年期拟议方案预算","联合国内部司法","联合国内部司法","秘书长的报告","摘要","大会第61/261号、62/228号和63/253号决议决定建立一个独立、透明、专业化、资源充足、权力分散的联合国司法系统，该系统于2009年7月1日开始运作。","秘书长对大会在第65/251号决议中积极肯定新系统的落实感到满意；大会在决议中注意到新系统自建立以来取得的成绩，包括处理新旧案件方面的改善，并赞扬所有参与管理先前的系统向新系统过渡或落实新系统的人的工作。","大会还确认新的内部司法系统将不断演变，指出有必要认真监测其进展以确保该系统一直符合设立新内部司法系统的决议中规定的指导原则，即该系统必须独立、透明、专业化、资源充足、权力分散；确保该系统符合国际法有关规则及法治原则和正当程序，以便确保工作人员的权利和义务得到尊重，对管理人员和工作人员都实行问责制。","秘书长在本报告中介绍了2010年7月1日至2011年5月31日本报告所述期间新内部司法系统取得的成绩。该正式系统各阶段的案件处理情况继续显示效率显著提高。2010年7月1日至2011年5月31日期间，管理评价股收到390起要求进行审查的申请，已了结或解决281起。同期，工作人员法律援助办公室负责的850多个案件中，将近三分之一得到解决。2010年7月1日至2011年5月31日，在联合国争议法庭代表秘书长的各办公室处理的案件中，195个案件已有判决；法律事务厅处理的案件中，90个案件已由联合国上诉法庭做出判决。","但该系统的成功和服务于该系统的各办公室的效率导致这些办公室和部门的财务及人力资源极其紧张。正如秘书长在提交给大会第六十五届会议的关于内部司法的报告(A/65/373 和Corr.1)中指出，必须大力加强一些关键领域，以保持目前的工作节奏，继续落实大会赋予新司法系统的所有任务。","大会第65/251号决议请秘书长提供关于新系统运作和相关事项的数据和信息。本报告对这些要求一并作出回应。","此外，考虑到迄今取得的经验，本报告请求在2012-2013两年期拟议方案预算第1、8、19、29A、29C、29D、29E、29G和37款下增拨资源8 657 900美元(重计费用前)。","目录","页次\n1.概览 4\n2.正式内部司法系统回顾 4\nA.管理评价股 4\nB.联合国争议法庭 7\nC.联合国上诉法庭 13\nD.工作人员法律援助办公室 15\nE.执行主任办公室 18\nF.代表秘书长担任答辩人的法律办公室 20\n3.对与内部司法有关问题的回复 34\nA.概览 34\nB.回复 34\n4.与大会审查两法庭规约有关的问题 43\nA.导言 43\nB.两法庭的程序规则 43\nC.联合国争议法庭对独立实体与履行其任务有关的行为和不行为的管辖权 46\n5.所需资源 51\n6.结论以及有待大会采取的行动 53 \n 附件 \n1.为工作人员法律援助办公室供资的工作人员出资机制建议 54\n2.关于编外人员申诉机制的提案 59\n3.管理评价股、联合国争议法庭和联合国上诉法庭裁定的赔偿 67","一. 概览","1. 大会通过第61/261、62/228和63/253号决议设立了新的内部司法系统。该系统有两个法庭，即联合国争议法庭和联合国上诉法庭，配备专业法官，由日内瓦、内罗毕和纽约的书记官处提供支持。大会认为，应向工作人员提供法律援助。据此，新系统还包括工作人员法律援助办公室，在亚的斯亚贝巴、贝鲁特、日内瓦、内罗毕和纽约配备专业法律干事。为了确保该系统保持独立，由内部司法办公室负责管理正式系统的各部门，向两法庭、书记官处和工作人员法律援助办公室以及内部司法理事会提供行政、业务和技术支持。","2. 管理评价是正式内部司法系统中强制性的第一步，由管理事务部和单独经管的基金和方案进行。管理事务部的管理评价股配备专业法律干事，首先对有争议的决定进行审查。设立该股，是为了给管理层一个纠正不当决定的机会，或者对于所做决定存在缺陷的情况采取可接受的补救办法，以减少进入正式诉讼的案件数目。各基金和方案也有类似机制。","3. 除案件数目增加外，由于该系统的加强和专业化，代表答辩方秘书长的各办公室和各部门需要大大提高速度，大大增加服务。","4. 新系统在处理旧系统各部门移交的大量案件方面继续取得进展。为防止积压的案件给新系统造成过大的压力，大会为联合国争议法庭任命了三位审案法官，并任命司法人员支持法官的工作。","二. 正式内部司法系统回顾","A. 管理评价股[2]","5. 管理评价股设在主管管理事务副秘书长办公室内，是正式内部司法系统的第一步。该股的核心职能是：(a) 对与雇用合同或任用条件相关的有争议的行政决定快速进行管理评价；(b) 协助主管管理事务副秘书长就评价结果向请求进行管理评价的工作人员提供迅速、合理的答复；(c) 协助副秘书长通过确保管理人员履行管理本组织人力和财政资源的职责，确保管理人员的问责制。","6. 管理评价股自2009年7月1日成立到2011年5月31日为止，受理了823个案件，其中2009年184个，2010年427个，2011年212个。在受理的823个案件中，该股完成并了结665个。截至2011年5月31日，该股在18个案件中提出赔偿建议，赔偿总金额为183 339.44美元。本报告附件三载有该项金额的细目。","7. 管理评价程序使行政当局有机会防止在争议法庭进行不必要的诉讼，给本组织节省了大量费用。该股2010年受理并了结的案件中，约36%通过该股、监察员办公室以非正式方式解决或通过行政当局与工作人员之间的双边谈判解决。","8. 在管理评价股确定所作决定符合本组织规则和判例后，秘书长在提交给该股但未以非正式方式解决的大约84%的案件中维持了有争议的决定。","9. 遵照大会关于设立具有透明度等特点的司法系统(第61/261号决议第4段)的决定，在建议维持有争议的行政决定的情况下，管理评价股要向有关工作人员发出合理的书面答复，说明管理评价的依据，包括案件事实、决策者的案件评论摘要、适用的规则和本组织判例，并说明为什么该股认为有争议的决定符合适用的规则和判例以及秘书长的最终决定。各基金和方案在其管理评价程序中遵循类似的方法。","10. 管理评价程序结束后，工作人员有将案件提交争议法庭审理的法定权利(大会第62/228号决议第51段)。管理评价股认为，如果工作人员发现管理评价程序公正、客观且准确，那些因认为行政决策程序缺乏透明度而诉诸正式系统的工作人员则更有可能决定不在争议法庭行使其法定申诉权。该股还认为，完成管理评价程序后给工作人员提供合理书面答复是建立新内部司法系统公信力，尤其是管理评价程序公信力的重要手段。各基金和方案也认同这一观点。","11. 为确定收到维持有争议的行政决定的管理评价后有多少工作人员向争议法庭提起申诉，管理评价股正在与内部司法办公室合作，落实一个跟踪机制。","12. 截至2010年12月31日，在管理评价程序后交由争议法庭审理的案件中，83%的案件的判决与管理评价股所提建议一致。一些有待上诉法庭裁决的关键法律问题尚存，而且管理评价股的实况调查能力有限。尽管如此，两者意见的相似度具有启发意义，可认为显示该股的公正性、客观性和准确性。","13. 在协助主管管理事务副秘书长确保管理问责制的过程中，管理评价股定期审查案件数目以识别案件趋势和系统性问题，在其报告中予以说明。该股还在汇编分发给各办公室和部门负责人的《管理人员经验教训指南》和《指导说明》的工作中，为副秘书长提供文秘支持。《管理人员经验教训指南》回顾争议法庭和上诉法庭判例，审视两个法庭解释及适用本组织内部规则的方式。2010年，副秘书长分发了两卷《管理人员经验教训指南》。2011年4月，副秘书长分发了《指导说明》，预计2011年下半年将再分发一卷《管理人员经验教训指南》。","法定时限","14. 管理评价的请求提出后，总部的管理评价必须在30个历日内完成，总部以外办事处在45个历日内完成(大会第62/228 号决议，第54段)。依照秘书长所定条件，提交给监察员办公室的案件可延长截止日期。","15. 行政和预算问题咨询委员会报告(A/65/557,第16段)指出，应该在工作人员诉诸司法程序前尽全力解决这些案件；管理评价职能是处理错误行政决定、避免诉诸司法的一个重要机会。","16. 按照行政和预算问题咨询委员会的指示，如果管理评价股断定有争议的决定不符合本组织内部规则，而且主管管理事务副秘书长批准进行非正式解决，管理评价股将帮助双方之间直接解决。该股的经验是，非正式解决需要双方进行大量协商，所需时间通常比为管理评价规定的法定时限长。但是，规章中没有规定允许秘书长在案件所涉各方同意的情况下中止管理评价程序。各基金和方案认同这一观点，但指出它们已在双方同意的情况下成功做到这一点。","17. 同样，有时工作人员提交要求进行管理评价的申请后，又主动或应管理评价股要求提交了补充材料。在这样的案件中，规章中也没有规定可延长管理评价完成时限。","18. 管理评价股认为，严格遵守法定时限可使工作人员收到不全面或不准确的管理评价，从而导致不必要地诉诸争议法庭。为避免出现这种结果，该股的现行做法是：为促进案件的非正式解决，或在为妥善完成管理评价程序而需要工作人员和(或)行政当局提交补充资料的情况下，请工作人员同意延长时限。该股认为，在相关法定时限内了结案件或在工作人员同意的时限内了结案件都是及时审结案件；工作人员同意延长时限的目的是促进案件的非正式解决或获取必要的额外资料以确保管理评价全面。各基金和方案赞同这一观点，指出它们迄今为止成功地遵守了所有案件的法定期限。","19. 管理评价股的人员编制中有1名对主管管理事务副秘书长办公室主任负责的股长(P-5)、2名法律干事(P-4)、1名法律干事(P-4)(一般临时人员)和3名法律助理(一般事务(其他职等))。但是，该股目前的人力资源不足以应付该股的任务，该股自2010年2月以来，不得不动用可酌情支配的有限预算资金来临时增补一个法律干事员额。","20. 管理评价股认为，近两年运作期间受理的案件量证明有必要增加第三个P-3职等法律干事员额。这些数字表明新内部司法系统的用户量已超过先前系统。此外，依据案件量收集的数据，该股预计2011年受理的案件量至少等于2010年的数字(约427件)。","21. 管理评价股注意到，在2009年受理的184个案件中，第四季度提交的案件数与第三季度相比下降了23%。该股注意到，在2010年提交的427个案件中，前两个季度提交的案件稳步增加，之后，第三和第四季度提交的案件都减少。该股注意到2010年提交的案件中，57%是2010年1月1日至6月30日期间提交的，43%是7月1日至12月31日提交的，2010年10月1日至12月31日期间的提交的案件大幅减少。最后，该股指出，与2010年7月1日至12月31日提交的案件数相比，2011年1月1日至5月31日期间提交的案件数增加。该股在2010年下半年受理了183个案件而2011年前五个月已受理212个案件，等于2010年前五个月受理的案件数。","22. 管理评价股认为，2009年和2010年最后一个季度提交的案件数减少以及2010年和2011年前两个季度的案件数上升可能表明一种新的周期性变化。但预计2009年7月1日至2010年6月30日受理的案件总数等于2010年7月1日至2011年6月30日受理的案件数(约427件)。","23. 如上所述，及时、理由充分的管理评价对圆满完成管理评价股的任务至关重要。由于2010年2月以来利用可酌情支配的经费增加了一个临时法律干事员额，该股完成了其任务。此外，以上数字表明，该股之所以能够利用现有人员配置完成任务是因为工作人员一直在超时工作，推迟休年假或未休年假。","24. 因此，管理评价股认为此种情况下增设一个法律干事(P-3)员额的请求是保守的，因为新增一个法律干事无法完全弥补完成该股任务每年所需人/时(1 828)与秘书处工作人员每年通常需要工作的人/时(1 463)之间的差距。","25. 鉴于上述原因，秘书长建议增设一个P-3职等法律干事，以加强管理评价股。","B. 联合国争议法庭","1. 联合国争议法庭的组成","26. 2009年3月2日，大会选出争议法庭的三名专职法官和两名半职法官。随后大会选出三名审案法官，任期一年，以协助处理旧系统移交的积压案件。编写本报告时，争议法庭的组成如下：","(a) 维诺德·布莱尔法官(毛里求斯)，内罗毕专职法官；","(b) 梅姆达·易卜拉欣-卡斯滕斯法官(博茨瓦纳)，纽约专职法官；","(c) 托马斯·拉克法官(德国)，日内瓦专职法官；","(d) 古拉姆·胡森·卡迪尔·米兰法官(大不列颠及北爱尔兰联合王国)，半职法官；","(e) 科拉尔·肖法官(新西兰)，半职法官；","(f) 让-弗朗索瓦·库桑法官(法国)，日内瓦审案法官；","(g) 恩肯迪利姆·阿梅莉亚·伊祖阿科法官(尼日利亚)，内罗毕审案法官；","(h) 玛里琳·卡曼法官(美利坚合众国)，纽约审案法官。[3]","27. 大会第六十五届会议决定3名审案法官和其辅助人员的任期再延长6个月，直至2011年12月31日为止(见第 65/251号决议)。","2. 选举庭长","28. 2010年6月28日至7月2日在内罗毕举行的全会上，托马斯·拉克法官当选为庭长，2010年7月1日至2011年6月30日任期一年。","3. 全体会议","29. 自2010年7月1日起，法庭法官举行了两次全体会议(2010年12月13日至17日于日内瓦以及2011年6月27日至7月1日于纽约)。","4. 联合国争议法庭的一般活动","30. 2010年7月1日至2011年5月31日期间，争议法庭共受理了170个新案件。截至2011年5月31日，254个案件待决。","31. 本报告所述期间受理的170个案件中，108个案件来自秘书处(维持和平特派团和政治特派团除外)，包括区域委员会、总部以外办事处、卢旺达问题国际刑事法庭、前南斯拉夫问题国际法庭和各部及办公室；19个案件来自维持和平特派团和政治特派团；43个案件来自联合国难民事务高级专员办事处(难民署)、联合国开发计划署(开发署)、联合国儿童基金会(儿基会)等机构。","5. 先前系统移交给联合国争议法庭的案件","32. 2009年7月1日，日内瓦、内罗毕、纽约和维也纳的联合申诉委员会和联合纪律委员会撤消后，这些实体待处理的169个案件移交给争议法庭：61个案件移交给日内瓦书记官处；55个案件移交给内罗毕书记官处；53个案件移交给纽约书记官处。2010年7月1日至2011年5月31日，其中29个案件已予处理。","33. 2010年1月1日，联合国行政法庭将143个案件移交给争议法庭。这些案件在争议法庭书记官处的分配情况如下：日内瓦51个、内罗毕40个，纽约52个。2010年7月1日至2011年5月31日，其中76个案件已予处理。","34. 截至2011年5月31日，65个从先前系统移交的案件待决：联合申诉委员会和联合纪律委员会的案件10个，联合国行政法庭案件55个。","6. 判决、命令和听讯数目","35. 2010年7月1日至2011年5月31日期间，争议法庭发布了195项判决、638项命令，举行了229次听讯。","7. 提交调解司的案件","36. 在2010年7月1日至2011年5月31日期间，争议法庭确定13个案件适合调解，将其提交监察员办公室调解司处理。编写本报告时，其中的6个案件已成功进行调解。","8. 争议法庭所受理案件的标的物","37. 本报告所述期间，争议法庭受理的案件的性质可分为六大类：(a) 与任用有关的事项；(b) 福利和应享权利；(c) 叙级；(d) 纪律事项；(e) 离职；(f) 其他。","38. 在本报告所述期间受理的170个案件中，56个与任用有关；19个与福利和应享权利有关；2个与叙级有关；33个与纪律事项有关；28个与离职有关；32个与其他事项有关。","9. 与争议法庭及其书记官处人员配置有关的问题","39. 如上文详述，争议法庭的工作量很大，迅速完成工作的需要给法庭法官和工作人员造成极大负担。任命三名审案法官并延长其任期，使争议法庭在处理先前系统遗留的积压案件方面取得显著进展。但是，从提出的新案件情况看，如果到2011年底取消审案法官的职位，使司法能力接近减半，案件显然很快就会又积压起来。这将使先前系统中饱受批评的缺陷——延误，成为新系统每天要面对的事实。","40. 法庭设置特意分散，确保申请人更易于利用司法手段。为维持这种便利性，争议法庭的每个地点都依旧保持两名专职法官至关重要。如果某地仅有一名法官，而该法官因休假、生病或辞职等缺席，导致该地点不得不停止运作，那么设置分散的法庭就完全失去了意义。同样，在某地法官须回避的情况下，案件自然需要被移交至远离申请人的另一地点。只有每一法庭地点至少有两名法官，才能有效设立法官三人合议庭。此外，规章中规定，暂停执行的申请须在5天内处理，而仅由一名法官来处理几乎是不可能的，这样做势必影响对实质性申请的处理工作。最后，指导法庭和书记官处工作的争议法庭庭长在其任职期间要依靠工作地点的其他法官及其支持来维持案件的审理速度。","41. 争议法庭法官的工作不仅限于作出判决。本节中提及的其他必要职能表明每一工作地点的第二名专职法官是绝对必要的。争议法庭法官密切监察所有案件从接到申请到最终判决的进展情况。此种监察可包括：(a) 举行案件管理听讯会；(b) 就预审请求作出裁决；(c) 发布听讯前命令。此外，法官必须在5天的法定时限内审理暂停执行申请。为方便行政工作，每个地点(日内瓦、内罗毕和纽约)的法官定期与书记官处工作人员举行会议，以确保定期、及时地处理案件。他们还通过视频会议的方式举行双周会议，使法官之间可更好地沟通，并就统一三个书记官处的做法作出重要决定。法官还负责起草《程序规则》；法庭已向大会提交修正《程序规则》的建议。此外，法官还负责发布《程序指引》，以便案件当事方了解法庭希望其遵守的程序。鉴于迄今为止争议法庭日历中还没有司法休庭，法庭除履行裁定案情实质并发布判决等核心司法职能外还要额外履行上述所有职责。","42. 在运转两年后，法庭仍处于“起步”阶段。鉴于法官的法律背景不同，为确保法庭成为一个有利于本组织及其工作人员的统一的司法机构，确保其判例连贯一致，法庭需有保持法官和辅助人员的连续性。","43. 因此，建议大会为联合国争议法庭各地点任命第二名专职法官。这些法官还必须得到法律干事和行政人员的必要支持。所以，秘书长建议将P-3 级法律干事(日内瓦、内罗毕和纽约各1名)和法律助理(日内瓦1名，一般事务(其他职等)、纽约1名，一般事务(其他职等)和内罗毕1名，一般事务(当地雇员))员额正规化。","44. 此外，纽约书记官处的人员配置不合常规。日内瓦和内罗毕书记官处的人员配置分别是一名书记官长(P-5)以及P-4和P-3职等法律干事，而纽约书记官处的人员配置是一名书记官长(P-5)以及P-4和P-2职等的法律干事。这种差异没有任何业务依据；事实上，如果纽约书记官处的第二名法律干事为更高的P-3级，纽约书记官处将大大受益。因此，建议将纽约的P-2职等法律干事员额改叙为P-3级员额。","10. 人员配置以外的问题","a. 审判室","45. 由于新系统必须具备专业性，而且鉴于规定法庭的听讯一般来说将对公众开放，法庭在各地点必须具有专业法庭应有的设施，规模应足以容纳公众旁听。","46. 法庭三个地点的房地已予提供，但建造永久性审判室方面的问题仍有待解决。","47. 在纽约，由于实施基本建设总计划，临时审判室设在内部司法办公室的临时房地。该审判室已可使用，但作为特设的临时场地，无法进行同声传译。在规划阶段已适当考虑确保基本建设总计划完成后尽量拆除临时场地的设备和家具，将其安装在法庭的永久性房地。但基本建设总规划完成后为纽约争议法庭设一个永久性审判室的安排尚未作出。在日内瓦，审判室已有一个永久场地，但如不增建，无法在此提供口译服务。内罗毕正在建造一个专门的永久性审判室。但是，内部司法办公室2010-2011年的预算未安排审判室建造和配置的经费。审判室建造和配置的经费被列入2012-2013年预算第34款。","b. 差旅和通信","48. 大会第65/251号决议重申，新系统的另一重要任务是权力分散。争议法庭及其书记官处位于日内瓦、内罗毕和纽约。法庭为世界各地工作地点的工作人员服务，每个地点覆盖的地域很广。法庭这种分散化运作的方式能否成功，很大程度上取决于法庭及其各书记官处是否有能力彼此沟通并与法庭所审理案件的当事方和证人沟通。","49. 争议法庭举行听讯时，参加者能够充分参与诉讼程序，法官能够评估出庭证人的举止十分重要。而为这两个目的经常旅行，费用会极为昂贵，因此设想这些活动主要将通过视频会议进行。但是，视频会议的相关费用也很高。目前为通信编列的经费不足，法庭无法有效利用视频会议。此外，必须确保以如实反映各方和司法机构意见的方式记录口头听讯，使诉讼程序得到准确记录，以便记录可被誊写，用于随后可能提起的上诉程序。因此，秘书长建议在通信这一细列项目下增加内部司法办公室经费25 000美元，用于支付利用视频举行口头听讯和情况会商以及联合国争议法庭法官和书记官长双周会议的费用，以便确保口头听讯的记录质量和可靠性，必要时可予誊写，用于随后对判决的上诉程序。","50. 依照《规约》，争议法庭如认为当事方或证人的亲自出席对诉讼至关重要，可命令其亲自出庭。此外，有时由于视频连接质量不佳或不可靠以及口译员无法凭借电话连接有效进行口译，在内罗毕无法举行听讯。在非洲的工作地点发生的案件中这种情况尤其多。虽然预计此类情况不经常发生，但争议法庭运作的头两年出现了这种情况，而且预计仍将继续出现。","51. 而且，法官和书记官长必须不时见面讨论共同的问题并对这些问题采取统一对策。此外，维持一个专业化系统一个至关重要的方面是，向法官和法律工作人员提供培训机会，以强化其法律技能并使其参加司法界同行间的学术讨论。目前的预算没有考虑到争议法庭法官和书记官长举行全体会议的问题。另外，法官和书记官处法律工作人员经常接到参加法律研讨会的邀请，但由于公务旅行方面的预算严重短缺而无法参加。这严重影响其强化技能、与同行互动和交流知识的能力。因此，秘书长建议内部司法办公室的差旅预算增加155 000美元。","c. 处理对法官投诉的机制","52. 与争议法庭运行有关的一个问题也会影响到上诉法庭，那就是缺少一个处理对两法庭法官提出投诉的机制。对法官的有效投诉将直接影响到新的内部司法系统的独立性、专业性和问责制。但是，目前没有任何一个实体或机构被授权进行必要的事实调查、就投诉的有效性作出裁定、施加处罚或向大会提出处罚建议。","53. 内部司法理事会在向大会第六十五届会议提交的报告中对于没有处理对法官的投诉的任何机制表示关切，并表明它认为这是一个需要迫切关注的问题(见A/65/304，第40段)。","54. 秘书长了解到，内部司法理事会打算在其向大会第六十六届会议提交的报告中提出一项关于处理对两法庭法官投诉的建议。由于目前没有实行任何机制，作为在就一个常设机制作出决定前的一项临时措施，大会不妨授权该理事会调查对法官提出的投诉，包括已提出的投诉，并就这些投诉向大会提出报告和建议，供大会采取它可能认为适当的任何行动。","55. 关于一个可能的常设机制，秘书长在他先前报告(A/63/314，第73至第79段)就此问题所提初步意见的基础上，进一步就一个处理对两法庭法官投诉的机制提出了下述建议。","56. 当关于一名法官行为失检或无能的指控被提出时，这种指控将报告给当事法庭庭长。该庭长随后将对指控进行妥善调查，首先确定一个适当的调查程序，然后任命一专家小组进行调查。调查将对被指控法官运用所有必要的适当程序，例如给予对指控作出回应和提出相关证据的机会。如果所提指控针对的是相关法庭的庭长，就争议法庭而言，指控提交该法庭其他法官中最资深者。如果被指控的是上诉法庭庭长，则指控提交该法庭第一副庭长。","57. 一旦进行了调查，调查结果将由有关法庭全体复核，但被调查法官不得参加。如全体法官一致认为关于行为失检或无能的指控证据充分，且问题的严重程度足以说明应当将当事法官解职，则该法庭庭长或代理庭长将向大会报告此事并请求将该法官解职。","58. 如被指控行为即使被认定证据充分，但却未达到应当解职的程度，则庭长或代理庭长将有权根据案情采取其认为适当的纠正措施(例如予以警告或申斥)。关于投诉的处置情况的报告每年向大会提交一次。除这一建议外，另一种办法就是修正内部司法理事会的职权范围，由该理事会负责就两法庭法官受到的任何投诉进行调查并提出建议。当一名法官受到行为失检或无能的指控时，指控将送交该理事会主席。理事会此后将对指控进行妥善调查，首先确定一个适当的调查程序，对被指控法官运用所有必要的适当程序，例如给予对指控作出回应和提出相关证据的机会。","59. 一旦进行了调查，调查结果将由内部司法理事会复核。如果该理事会认定关于行为失检或无能的指控证据充分，主席就将向大会报告此事并就适当处罚提出建议。","60. 对于上述两种可选办法而言，需要处罚法官的行为失检的类别将是违反由内部司法理事会根据第62/228号决议拟订并在A/65/86号文件中提交大会审议的法官行为守则的行为，或是违反ST/SGB/2002/9号秘书长公报规定的《关于非秘书处官员和特派专家的地位、基本权利和义务的条例》的行为。","C. 联合国上诉法庭","1. 联合国上诉法庭的组成","61. 2009年3月2日，大会选出下列七名法官：","(a) 伊内斯·温伯格·德罗加法官(阿根廷)；","(b) 让·库蒂亚尔法官(法国)；","(c) 索菲娅·阿丁伊拉法官(加纳)；","(d) 马克·佩因特法官(美利坚合众国)；","(e) 卡马尔吉特·辛格·加里瓦尔法官(印度)；","(f) 罗丝·博伊科法官(加拿大)；","(g) 路易斯·马里亚·西蒙法官(乌拉圭)。","62. 2010年10月11日，罗丝·博伊科法官出于个人原因递交辞呈，辞去她在上诉法庭担任的职务，2011年1月15日生效。2011年1月28日，大会经选举程序任命玛丽·法赫蒂法官(爱尔兰)接替罗丝·博伊科法官。","2. 选举庭长和副庭长","63. 2010年6月30日，上诉法庭选出库蒂亚尔法官为庭长，阿丁伊拉法官和加里瓦尔法官分别为第一和第二副庭长，任期为2010年7月1日至2011年6月30日。","64. 上诉法庭法官在五届开庭期每次开始和结束时都举行了处理行政和业务问题的全体会议。","3. 司法统计数据","65. 从2010年7月1日至2011年5月31日，上诉法庭共收到105项新提出的上诉：7项上诉针对联合国工作人员养恤金联合委员会(养恤金联委会)，5项针对联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)，1项针对国际民用航空组织，还有92项针对争议法庭的判决和命令提出上诉(65项由工作人员提出，27项上诉是代表秘书长针对争议法庭的判决和命令提出)。","66. 2010年，上诉法庭分别于6月21日至7月2日和10月18日至29日在纽约开庭两期，2011年第一期也在纽约，从2月28日至3月11日。在本报告所述期间，该法庭作出了96项判决。2011年第二次庭期开在日内瓦，从6月27日至7月8日，审理了34宗案件。","4. 案件处置结果","67. 在本报告所述期间，上诉法庭作出了96项判决。[4] 其中1项判决涉及针对养恤金联委会的上诉，上诉法庭在该案中维持了常设委员会的决定。有4项判决维持了近东救济工程处主任专员作出的决定。","68. 就针对争议法庭判决的上诉作出了83项判决。这些判决就工作人员提出的54项上诉和就代表秘书长提出的29项上诉作出了决定。上诉法庭驳回了工作人员所提54项上诉中的46项，接受了3项，并将5项发回争议法庭重审。在代表秘书长提出的29项上诉中，9项被驳回，19项被全部或部分接受，1项被发回争议法庭重审。在12宗案件中，上诉法庭推翻或修改了争议法庭的赔偿裁决。","69. 在本报告所述期间，上诉法庭收到了提出的2项解释请求、2项复议请求、2项改正请求、3项改判请求和1项搁置判决请求，并驳回了所有这10项请求。","70. 截至2011年5月31日，上诉法庭有95项申请/上诉待决。","5. 与联合国上诉法庭及其书记官处运作有关的问题","71. 上诉法庭法官根据审案工作量的需要在庭期开会讨论和作出判决，一般是每年3次。书记官处法律和行政人员大量的案件准备工作对于这一进程至关重要。虽然上诉法庭的供资结构和运行方法以法官人数相同的国际劳工组织(劳工组织)行政法庭为模本，[5] 但劳工组织行政法庭的运行有6名全职专业法律人员和3名一般事务人员，并视需要使用其他工作人员。相比之下，上诉法庭书记官处只有2名专业人员和3名一般事务人员为该法庭提供协助。","72. 上诉法庭是一个复核庭，要审议来自工作人员和管理当局两方面的上诉。依照《上诉法庭规约》第二条第十款，秘书长还与7个机构签订了协定，使它们能将该法庭用作一个行政法庭。由于这是一个新系统，来自工作人员和管理当局两方面的上诉量都很大。去年向上诉法庭提出的案件数目与劳工组织行政法庭的工作量相仿，该法庭每年审理约110宗案件且未出现案件积压。","73. 书记官处目前的人员配置不足以充分支持该法庭的运转，无法使其及时处理案件。2名法律干事不足以每年准备100多宗案件。这种情况必将导致案件积压并不断增加拖延，而这正是以前的内部司法系统受到批评最多的方面之一。允许这种情况再次发生将使改革受到严重破坏。争议法庭作出判决与最终上诉决定之间存在漫长拖延的情况特别不可取，因为一宗上诉案的结果有可能解决某一特定方面的法律问题，从而减少今后的案件数目。","74. 现在需要增设一个P-4法律干事，以保证书记官处有效运作的能力。鉴于许多案件的复杂性以及处理这些案件所必需的速度，书记官处需要更多有经验的人员。一个P-4职等法律干事可以督导现有工作人员处理书记官处工作中法律方面的问题，从而使书记官长得以腾出手来，专心进行全面监督、与法官和其他利益攸关方沟通以及为法庭提供技术和行政支持。","75. 此外，一个较资深的法律干事将能为法官提供更实质的法律协助并独立回应查询，从而提高效率和反应能力。这样一名法律干事将同书记官长一道分担行政职能，并在书记官长缺席时担任代理主管。考虑到审案工作量，考虑到必须使上诉法庭得到足够法律协助，使其以最佳状态运作，秘书长建议大会增设一个P-4 职等法律干事加强联合国上诉法庭书记官处。","76. 大会第65/251号决议核准增设1个一般事务(其他职等)职位一年，以支持上诉法庭工作。秘书长指出，这一职位所提供的支持是有益的。但现在迫切需要增设1个具适当资历的法律干事以支持上诉法庭法官的工作。考虑到这一情况，并注意到目前的预算限制，秘书长建议不续设这一职位。","77. 根据《规约》第四条第二款，上诉法庭“应于其程序规则中规定的日期例行开庭，但以庭长认为有足够数目的案件可开庭审理为限”。根据该法庭最初几年运行获得的经验，并考虑到向该法庭提出上诉的案件数目，预计上诉法庭将有足够的案件可以每年开庭3次。不过，秘书长指出，该法庭目前的差旅费预算不足以支付第3个开庭期的费用。因此，秘书长建议在2012-2013年预算中为内部司法办公室追加资金230 000美元，使联合国上诉法庭能在需要时第3次开庭。","78. 秘书长在其前次报告(A/65/373)第155至第164段中，就上诉法庭法官的地位及其应享权利的问题作了报告。在该报告中，秘书长建议上诉法庭法官亦应享受以往提供给原联合国行政法庭法官的旅行待遇和每日生活津贴额。大会在其第65/251号决议第50段决定，在2012-2013年预算中再次审议上诉法庭法官旅行待遇和每日生活津贴额的问题。秘书长仍然认为此举将是适当的，并因此建议将内部司法办公室的差旅费预算增加50 200美元，以反映这一情况。","D. 工作人员法律援助办公室","79. 工作人员法律援助办公室仍然面临着诸多挑战。该办公室由7名通过经常预算供资的法律干事(纽约3名，亚的斯亚贝巴、贝鲁特、日内瓦和内罗毕的4个卫星办公室各1名)和3名一般事务人员(都在纽约)组成。截至2011年1月1日，工作人员法律援助办公室获得在内罗毕增设1名P-3 职等专业工作人员，为涉及外地特派团人员的案件提供协助。这一职位通过维持和平行动支助账户供资一年。","80. 尽管有限的人员分散在多个工作地点，工作人员法律援助办公室在其运行的头两年中还是取得了可观的成绩。该办公室继续以人数不多的法律干事和有限的行政协助成功地处理着世界各地工作人员提出的大量援助请求。","81. 截至2010年7月1日，工作人员法律援助办公室尚待处理的案件有432宗。[6] 2010年7月1日至2011年5月31日，该办公室收到了新提出的425宗案件。加上截至2010年7月1日尚待处理案件的数目，该办公室参与处理的事项为857宗。其中，该办公室能结案或找到其他解决办法的案件为265宗。截至2011年5月31日，该办公室还有近600宗在办案件。在该办公室运行的第二年中，工作人员提交该办公室处理事项的数目，特别是争议法庭3个分庭所在地以外地点工作人员提出请求的数目，对其有限的资源构成了巨大压力。","82. 工作人员法律援助办公室为工作人员提供形式多样的法律援助，援助范围包括提供简要法律咨询和代表工作人员在两法庭出庭。循非正式途径解决问题或帮助工作人员理解其正式申诉不大可能胜诉，都可能需要花费大量时间。","83. 以有限的工作人员回应大量的援助请求，仍是该办公室的最大挑战。在纽约以外地点独立工作的法律干事这方面的情况特别困难而且没有本地的行政支持。这些法律干事因而必须独力应对沉重的工作量和处理办事处的大部分行政事务。","84. 工作人员法律援助办公室得到了相关志愿律师、法律实习生和外部公益律师的协助。遗憾的是，他们的人数不足以解决该办公室人力资源短缺的问题。总部以外办事处现在很难找到合格的志愿人员、实习生和公益援助，从而令人担心该办公室的存在主要限制在纽约。","85. 大会再次请秘书长同工作人员协会合作制订激励措施鼓励工作人员，使他们能继续参加工作人员法律援助办公室的工作。2011年6月，这一事项在工作人员和管理当局协调委员会届会上得到了审议。有关方面注意到，管理当局和工作人员代表在应当采取何种办法的问题上仍然意见分歧。因此，工作人员方面和管理当局决定应继续就此问题进行协商。","86. 内部司法办公室于2010年1月设立的工作人员法律援助信托基金没有提供足够资源有效帮助工作人员法律援助办公室增加其人力资源，即便临时增加都没有。","87. 根据工作人员法律援助办公室头两年运行取得的经验，秘书长认为该办公室目前的人员配置必须加强，以使它能够完成任务。正如秘书长在给大会第六十五届会议的报告中说明的那样，该办公室特别缺乏较高职等的法律干事，因为目前专业工作人员中仅有一人高于P-3职等。由于这一原因，秘书长建议增设2个P-4员额(设于内罗毕和纽约)，加强工作人员法律援助办公室。","88. 工作人员法律援助办公室高效运作的能力还由于纽约以外行政支持的缺乏而受损。由于所有行政支持都由总部提供，工作人员无论在什么工作地点，都必须通过与在纽约的办公室联系启动他们的案件。这就向工作人员发出了一个明确的信息，即尽管承诺要实行权力下放制度，但核心业务仍在总部办理。由于这一原因，秘书长建议增设2个一般事务(其他职等)员额在日内瓦和内罗毕提供行政支持，加强工作人员法律援助办公室。","89. 大会第六十五届会议同意秘书长的意见，即应当加强工作人员法律援助办公室为外地特派团服务的能力。因此，大会核准临时增设1个P-3职位，设在内罗毕，为外地特派团的工作人员提供协助。这一职位通过维持和平行动支助账户供资一年，从2011年1月1日起至12月31日止。鉴于大批案件涉及外地特派团工作人员的趋势还在继续，从而显示了持续的需求，并进一步考虑到外勤支助部和维持和平行动部按照分摊费用的办法参加了为正式系统的持续供资，秘书长建议内罗毕专门负责为外地特派团工作人员提供协助的1个P-3职位续设一年，由维持和平行动支助账户供资。","90. 分配给工作人员法律援助办公室的非员额资源也不足以允许其正常运作。由于该办公室工作分散，所有公务协调和一大部分客户协商事实上都必须通过电子邮件、电话和视频连接进行。尽管如此，该办公室的通信预算却不足以允许它进行哪怕是少量的电话和视频连接通信。此外，这一工作分散的办公室的位于全球各地的工作人员也必须能在办公室以外和正常上班时间以外相互沟通。虽然使用黑莓设施等智能电话设备有助于通信，但目前的预算不足以支付使用这些设备的费用。由于这一原因，秘书长建议在2012-2013年预算通信细列项目中增加11 200美元。","91. 虽然人员出差并不常见，但有时也无法避免。在总部以外办事处工作的法律干事要服务大范围的地理区域，其中包括许多外地特派团。如果要让工作人员能切实利用工作人员法律援助办公室的服务，特别是在外地，法律干事就必须定期访问工作人员所在的工作地点，会见客户和与当地行政部门进行面谈，以促进循非正式渠道解决纠纷。该办公室在亚的斯亚贝巴和贝鲁特的法律干事可能需要根据争议法庭的命令代表客户出席该法庭的听讯。目前，工作人员法律援助办公室没有差旅费预算满足任何这种至关重要的需求。因此，秘书长建议在2012-2013年预算中将该办公室的差旅费细列项目增加15 000美元。","92. 最后，该办公室目前的预算，尤其是位于纽约以外办事处的预算，不足以满足基本的办公室需求，例如租用或购买一台影印及扫描机，以及购买纸张、装订文件夹、回形针和写字笔等必要的办公用品。在总部以外只有一人的办事处里缺少这些基本的办公必备品，使在那里孤立工作的法律干事所面临的困难变得更加复杂。由于这一原因，秘书长建议在2012-2013年预算中将用品和材料细列项目增加9 000美元。","E. 执行主任办公室","1. 对执行主任办公室的审查","93. 除了代表秘书长进行答辩之外，执行主任办公室还负责监督正式系统所有要素的执行情况。该办公室由执行主任、特别助理、2名信息技术专家和1名行政辅助人员构成，负责为两法庭、书记官处和工作人员法律援助办公室提供行政、业务和技术支持。这种业务支持包括与其他相关办公室协调以促进在纽约设立一个临时的审判室设施，并开展类似努力以求在基本建设总计划完成之际，为内部司法办公室提供常设办公室和审判室设施。","94. 除了为上述单位提供日常支持外，执行主任办公室还负责协调根据大会相关决议编写秘书长报告的工作。该办公室还在联合国内部和对外部机构以及在需要部门间协调和协商的所有事项中代表正式系统。","95. 该办公室的成绩之一是设立了内部司法办公室网站，于2010年6月28日启用，使用了所有6种正式语文。该网站(www.un.org/en/oaj)易于浏览，并就正式系统的所有方面提供了实用的循序渐进信息。2011年5月，该网站的访问量为7 690人次，比前一个月的访问量增加了13%。自该网站启用以来，月均访问量为约7 000人次。总体而言，对该网站的使用呈增加趋势。内部司法办公室继续对该网站加以改进，包括根据使用者的要求设立搜索两法庭命令和判决的功能。","96. 另一个重要的里程碑是在2011年7月6日启用了基于网络的案件管理电子系统，使工作人员能够从任何工作地点以电子方式提出和监测他们的案件。该系统预计将提高效率，减少拖延，改进两个书记官处的运作。此外，案件管理系统的实施为世界各地工作人员使用正式系统的各个要素打开了方便之门。","97. 该办公室还依照《上诉法庭规约》第二条第十款通过谈判成功地与在先前系统中使用联合国行政法庭的所有实体达成了协定。[7] 由秘书长签署的这些协定使这些实体可将上诉法庭用作一个行政法庭。","98. 除了在编写和协调给大会的关于内部司法问题的报告中发挥作用之外，执行主任办公室还在必要时为组织两法庭法官的选举提供实质性协助。","99. 执行主任办公室的另一项重要职能是为内部司法理事会的工作提供支持，包括根据第62/228 号和第65/251号决议的要求编写给大会的报告，并就新的内部司法系统的实施情况传递其意见。","100. 该办公室还为负责协助大会确定司法空缺职位候选人的内部司法理事会提供大量行政和技术支持。2012年6月30日，当争议法庭法官和上诉法庭法官的三年任期届满时，这些职位就会出现空缺。","2. 与执行主任办公室运作有关的问题","101. 执行主任办公室是内部司法办公室内每一个实务单位所有技术、预算和后勤方面工作安排的协调中心。执行主任的作用很大，职能很多。执行主任在保持正式系统的独立方面发挥着举足轻重的作用，并要负责协调正式系统的各个独立要素，包括监督和协调各个书记官处及工作人员法律援助办公室的工作。执行主任还在联合国内部和对外部机构代表正式系统并与联合国各部门首长联络，这些部门包括监察员和调解事务办公室。","102. 大会第65/251号决议第34段请秘书长就内部司法办公室执行主任员额的适当员额职等提出建议。秘书长认为，这个问题不应与一个必然问题分开考虑，那就是争议和上诉两法庭法官的薪酬水平及薪酬机制。两法庭法官为非工作人员官员。就争议法庭法官而言，他们全职工作，比照D-2职等第四职档领取薪酬。上诉法庭法官不是全职工作，而是每年开庭数次就案件作出决定。他们的薪酬不比照任何具体的员额职等，而是按作出的每项判决领取酬金。一项判决的主要起草人领取2 400美元，其他签署人每项判决领取600美元。两年来获得的经验显示，这种薪酬机制引起了一些与上诉法庭必要的休庭期间职能有关的问题。因此，秘书长建议大会请内部司法理事会酌情审查两法庭法官薪酬水平及薪酬机制的问题，并就此向大会第六十七届会议提出报告，届时大会将结合内部司法办公室执行主任适当员额职等的问题一并审议该理事会关于这一事项的报告。","103. 如上所述，该办公室的任务非常广泛，需要增设1名法律干事协助开展大量工作。执行主任办公室的专业工作人员均为法律和信息技术专家，在关键的行政领域中经验有限，在联合国预算编制方面尤其如此。","104. 增设1名具有行政和预算经验的法律干事和1个行政辅助职位显然有利于该办公室。不过，考虑到财政拮据，这方面目前不要求追加资源。","105. 内部司法办公室负责促进内部司法理事会的工作。这一由资深法学家组成的独立机构在新系统中要发挥关键的监督职能并获得了很大授权。大会第65/251号决议第52段强调指出，该理事会可以帮助确保内部司法系统的独立性、专业性和问责制，鼓励该理事会继续就内部司法系统的落实情况提出意见，并就如何加强其贡献向大会第六十六届会议提出报告。","106. 尽管如此，内部司法办公室当前或以往的预算中都没有为该理事会外部成员在执行其重要职能时的薪酬明确划拨任何经费。内部司法办公室预算也不含有应付工作人员产假或长期病假的一般临时人员经费。此外，也没有为以项目为基础雇用临时人员或支付工作量高峰期的费用而划拨经费。因此，秘书长建议在2012-2013年预算中列入一般临时人员经费130 000美元。","107. 执行主任及其工作人员必须定期出差参加会议，包括内部司法办公室的内部会议(例如，争议法庭和上诉法庭的全体会议)和更广泛组织范围内的会议，例如工作人员-管理当局协调委员会年会。执行主任及其工作人员也继续需要对位于总部以外的工作人员和管理人员开展外联活动，从而需要出差。内部司法办公室的差旅费预算必须支付执行主任及其工作人员的所有差旅费，以及支付与两法庭全体会议有关的工作人员差旅费、工作人员法律援助办公室工作人员或按照两法庭要求参加听讯的其他人员以及内部司法办公室任何其他工作人员的差旅费。由于与两法庭司法职能有关的差旅费必须优先保证，执行主任及其工作人员实际上并没有可用的差旅费预算。该办公室的差旅费预算也不足以允许内部司法理事会中不在同一地点办公的成员每年出差碰头或为执行他们评价该系统在全球的运行情况并向大会提出报告的基本任务而进行任何其他旅行。由于这些原因，秘书长建议在2012-2013年预算中将内部司法办公室的差旅费预算增加30 000美元。","108. 内部司法办公室因工作分散而需要大量依靠技术解决方案。该办公室过去一年在这方面的两项成绩是设立了一个使用所有正式语文的综合网站和落实了一个使所有工作人员无论在什么地点都可向两法庭提出案件并对所提案件进行监测的案件管理系统。这些重要成绩尽管能够节省时间、资源和金钱，但必须得到维持和改进以与需求保持同步。此外，由于采用了现成解决方案以避免昂贵的定制系统，这些产品涉及每年延续许可证和维持合同的问题。此外，还有与数据存放、系统更新和根据经验教训进行调整的运行费用。内部司法办公室的预算目前未涵盖与已实施系统的所有许可证、维护和升级有关的费用。由于这些原因，秘书长建议在内部司法办公室2012-2013年预算中把订约承办事务和购置软件包方面的经费增加75 000美元。","F. 代表秘书长担任答辩人的法律办公室","109. 有几个法律办公室代表秘书长对工作人员提出的案件进行答辩。由于工作人员提出的案件仍然很多，而且许多案件的案情复杂，代表秘书长担任答辩人的办公室和单位因现有人员和资源有限，均满负荷和超负荷运作。","1. 代表秘书长在联合国争议法庭出庭的法律办公室","110. 总部和总部之外的日内瓦、内罗毕和维也纳办事处的工作人员代表秘书长，在争议法庭发挥答辩人的作用。","111. 为满足新司法系统的需求，管理人员重新部署了本组织内的工作人员并征聘了具有专门技能的工作人员，为司法系统服务。因此，本组织对在整个组织内实施的新系统的需求作出了反应。","112. 2010年争议法庭发布了218份判决书。这些判决书分析了争议的背景、相关工作人员条例和细则的应用的理由以及对争议法庭审理的事实问题和法律问题的结论。这些判决书反映了当事方在诉讼程序中对事实和法律问题提出的广泛意见。","113. 为了达到新司法系统规定的标准，对在争议法庭代表秘书长答辩的办公室的要求很高。本节详述各办公室的作用、专用于司法系统的资源、秘书长代表处理的案件统计数据、诉讼程序的结果和行政当局对判决的回应。","114. 新的司法系统给行政部门带来了新的需求。在对司法系统作结构调整外的同时，行政部门还需要迅速而果断地应对所面临的资源和管理方面的挑战。为了保持秘书长代表的力量和增强秘书长应对持续需求的能力，管理部门必须保留和巩固已采取的举措。此外，全球秘书处必须继续以全面综合的方式管理秘书长在各法庭的代表事务，包括代表秘书长的各办公室工作人员之间定期协商和通报情况。","人力资源管理厅行政法科","115. 人力资源管理厅下属行政法科由上诉股和纪律股组成。争议法庭审理全球秘书处现职工作人员提出的案件以及卢旺达问题国际刑事法庭和前南斯拉夫问题国际法庭的工作人员提出的案件时，该科负责代表秘书长发挥答辩人的作用。联合国日内瓦、内罗毕和维也纳办事处、联合国环境规划署(环境署)和联合国人类住区规划署(人居署)的工作人员提出的案件由所在工作地点的官员处理。该科还处理提交人力资源管理厅的全秘书处和国际法庭工作人员的纪律问题并向管理人员提供关于一般司法制度以及个人上诉和纪律案件各个方面的咨询意见。","上诉","116. 收到争议法庭转发的上诉申请书后，行政法科负责收集管理人员对申请书的意见并起草答复材料。提交答复的时限为30天，这需要管理人员和行政法科迅速采取行动。","117. 在诉讼过程中，行政法科法律干事参加定向听讯和案情实质听讯，按照法庭的命令进一步提供书面材料。参加听讯需要大量时间准备，其中包括：酌情与有关办公室和法律事务厅协商；与答辩人将传唤的证人会面；准备对申请人或其律师传唤的证人和(或)法庭传唤的证人进行交叉询问。","118. 行政法科还负责向行政部门提供咨询意见，说明应努力采用非正式解决办法，还是继续诉讼程序。该科的建议分析案件的事实和法律问题并提出以最具成本效益的方式解决争议的咨询意见。如果寻求非正式解决的建议得到接受，行政法科负责获得有关方面必要的核准，在与申请人和(或)其律师谈判的过程中提供咨询意见，与监察员办公室协作完成和解协议，并跟踪其执行情况。谈判经常需要很长时间，而且往往很艰巨；但是，非正式解决争议的潜在惠益很大。","119. 在法庭发出最后判决后，行政法科与法律事务厅联系，由法律事务厅决定是否向上诉法庭对判决提起上诉。行政法科还负责解释争议法庭的最终判决，获得执行判决所需的信息，把判决书转交有关官员执行。","120. 在一当事方请求紧急中止执行行政决定时，行政法科还在中止执行程序中代表秘书长视事。这些申请必须毫不拖延地加以处理，在提出请求的5天内要作出答复并举行口头听讯。法庭在听讯后数天内发出接受或不接受请求的命令。对这些听讯，行政法科需要予以紧急关注和精心准备。如果有关办公室和可能的证人不在总部，时差成了问题，那就特别难以在最后期限内做好准备。","121. 在本报告所述期间，行政法科处理了318宗上诉案件；在任何一刻，行政法科都需处理在争议法庭待决的约200宗案件。这些案件中有大约50%涉及任用问题；20%涉及纪律惩戒方面上诉；15%涉及福利和应享待遇；5%涉及离职；1%涉及叙级；9%涉及其他事项。","122. 在2010年7月1日至2011年6月30日期间，争议法庭对行政法科处理的114宗案件作出了判决。法庭根据案情实质对64份申请作出裁定；有17份以不可受理为由被驳回；有14份获得非正式解决，被撤回；有5份由工作人员撤回；有5份仅涉及赔偿问题；有9份被申请人放弃。此外，争议法庭裁定了12项中止诉讼行动的请求，同意中止其中3项，驳回4项，5项获解决或被放弃。","123. 在根据案情实质裁决的案件中，有38宗案件秘书长胜诉，21宗案件工作人员胜诉，行政部门5次对工作人员的主诉进行了成功辩护，但工作人员的次要诉求取胜。在根据案情实质判决申请人完全或部分胜诉的20宗案件中，均裁定了赔偿金。","124. 由于采用新的工作方法，要处理的上诉案很多，答辩人提交答复答辩的时间缩短(从两个月缩短到30天)以及纽约与用户部门/办事处、证人和法庭分部所在的其他工作地点存在时差，行政法科工作人员工作量繁重，压力增大。","纪律问题","125. 行政法科还负责处理提交人力资源管理厅采取行动的纪律问题。在本报告所述期间，行政法科负责处理了391个纪律问题，包括在本报告所述期间收到的121个新案件。秘书长在另一份关于处理纪律问题和可能犯罪行为的做法的报告(见A/66/135)中说明了行政法科在处理纪律案件中的作用。","126. 有人指出，随着新司法系统的设立和联合纪律委员会的撤销，对案件进行事实和法律分析的责任已转交给人力资源管理厅。在原司法系统下，秘书长将纪律问题提交联合纪律委员会，由该委员会确定事实并提出采取何种纪律措施的咨询意见。在联合纪律委员会撤销后，人力资源管理厅必须对收到的案件进行越来越详细的分析。因此，该厅花大量时间仔细审查采取纪律行动的各方面问题，包括要求调查单位或者有关工作人员澄清事实和提供补充证据。根据问题的复杂程度，纪律处分程序对于相对简单的案件可能持续3个月，对于较复杂的问题可能持续两年。","咨询","127. 最后，行政法科向整个秘书处各个办公室提供专案咨询意见。一般来说，1项咨询意见需要1个工作日。行政法科每年提供约600项咨询意见。","行政法科的资源","128. 向新司法系统的过渡大量增加了对行政法科的需求。有关上诉和纪律惩处工作的程序要复杂得多，要求要高得多，从而造成工作量大幅度增加。一个根本的变化是，原司法系统的程序一般仅需文件传送，而在新司法系统下，需举行口头听讯，需要大量书面呈件。处理一宗上诉案所需的工作日平均增加了两倍，从原系统的5天增加到新系统的15天。根据原司法系统，答辩人对每宗案件平均提出两份书面文件，对上诉案件很少或根本不举行听讯。在新系统下，法庭往往要求大量书面呈件。从行政法科处理的许多案件来看，每宗案件要举行两到三次口头听讯，有些案件甚至更多。听讯要花大量时间准备，需要与有关办公室协商，而案情实质听讯的准备工作需要找到证人并与他们交谈，让他们熟悉听证过程，并获取证词。","129. 截至2009年6月30日，行政法科有四个员额：1个由经常预算供资的P-5员额(科长)；1个也由经常预算供资的P-4员额；2个由维持和平支助账户供资的P-4员额。此外，还有维持和平支助账户提供的一般临时人员资金。由于来自外地的工作量大和新司法制度对行政法科的要求高，2009年7月1日大会授权增设由维持和平支助账户供资的3个法律干事员额(2个P-3，1个P-2)和两个临时职位(1个P-3，1个P-2)。2010年1月行政法科分为上诉股和纪律股。从人力资源政策处另一个科调入1个P-5员额领导上诉股。鉴于来自外地特派团的工作量持高不下，2010年7月大会核准在内罗毕增设2个由维持和平支助账户供资的法律干事员额(1个P-4，1个P-3)。2010年7月秘书长还动用有限的酌处权，增设3个临时职位(1个P-4，2个P-3)，处理非外地组织单位的上诉和纪律案件。","130. 行政法科的人员编制为15名法律干事。目前，行政法科下设上诉股和纪律股。上诉股在纽约有1个P-5(股长)、3个P-4和2个P-3工作人员，在内罗毕有1个P-4和1个P-3工作人员；纪律股有1个P-5(股长)、1个P-4、3个P-3和2个P-2工作人员。在这些职位中，3个由经常预算供资(1个在人力资源政策处内调动)、9个由维持和平支助账户供资，3个由秘书长动用有限的预算酌处权提供截至2011年12月31日为止的临时资源供资。","131. 对行政法科案件量的分析表明该科需要增加员额。关于上诉案，去年上诉股收到和处理了向争议法庭提交的约115宗上诉案。提交争议法庭的每宗案件平均要花15个工作日处理，每年需要1 725个工作日。此外，上诉股每年提供约400项咨询意见，每年需要400个工作日。上诉股每年共需要约2 125个工作日。按照每月27个工作日计算，每年需要78.7个工作月，即7个员额的工作日。上诉股目前只有5个员额，其中一个是股长员额。股长监督和指导该股的工作，4名法律干事处理案件。因此，需要增设3个法律干事员额。","132. 鉴于大约35%的上诉案来自维持和平特派团，65%来自非维持和平办公室，6个员额应由经常预算供资，3个员额由维持和平支助账户供资。不过，目前该股只有1个法律干事员额由经常预算供资。要确保上诉股的优化运作，上诉股就需要增设3个经常预算员额。但是考虑到会员国目前财政拮据的情况，建议上诉股此时增设2个员额(1个P-4，1个P-3)。","133. 根据自2009年7月1日以来收到的纪律案件数目，预计行政法科每年收到约150宗要采取行动的案件。由于处理纪律案卷平均需要20个工作日，这些工作量每年需要3 000个工作日。此外，纪律股每年提供约200项咨询意见，需要200个工作日。纪律股每年共需要工作3 200天左右。按每月工作27天计算，这等于118.5个工作月，相当于10个员额的工作量。纪律股目前只有6个法律干事员额，即4个常设法律干事员额和2个临时职位。此外，该股有1名监督和指导工作的股长(P-5)。因此，该股短缺4个法律干事员额。","134. 考虑到处理的纪律案件中有大约60%来自维持和平特派团，40%来自非维持和平办公室，4个员额应由经常预算供资，6个员额由维持和平支助账户供资。然而，纪律股目前没有1个法律干事员额由经常预算供资。建议保持由维持和平支助账户供资的4个常设员额。拟议在2012-2013年维持和平支助账户预算中把另外2个所需员额从一般临时人员改划为常设员额。为了处理非维持和平办公室的工作量，纪律股需要增设4个经常预算法律干事员额。但是，考虑到会员国目前财政拮据的情况，建议纪律股此时增设3个员额(1个P-4，2个P-3)。","135. 秘书长设法为行政法科共增设5个法律干事员额。值得注意的是，在评估行政法科所需的资源时，采用每月27个工作日，而不是标准的21.5个工作日。这进一步表明了行政法科工作量繁重，需要可持续的资源基础。","联合国维也纳办事处","136. 联合国维也纳办事处和联合国毒品和犯罪问题办公室已经把在上诉和纪律问题上代表秘书长视事的全部职责下放给管理事务司司长。在纪律案件转交人力资源管理厅前处理这些案件和管理评价请求以及在争议法庭代表秘书长出庭的日常职责分配给人力资源管理处，由该处的人力资源政策干事进行协调。","137. 联合国维也纳办事处和联合国毒品和犯罪问题办公室继续注意到，管理人员请求提供法律咨询意见和请求确认适用法律得到遵守的数量增多，为争议法庭每个案件作准备所需的时间也增加。为了让工作人员和管理人员都了解新司法制度的特色，联合国维也纳办事处和联合国毒品和犯罪问题办公室继续举行情况通报会、午餐论坛和公开会议，向维也纳和外地的广大工作人员发送电子信息，所有这些都要增加人力资源团队的工作时间。","138. 上诉案件越来越多，加上新的司法系统答复期限很短，继续过度分散了向联合国维也纳办事处和联合国毒品和犯罪问题办公室管理部门提供法律支持的能力。联合国维也纳办事处已在人力资源管理处配备了1名全职人力资源政策干事，以应对新系统增加的需求。然而，这不是长期可行的办法，因为人力资源团队得凑合使用有限的资源，才能替这名干事履行其经常职能。因此，联合国维也纳办事处需要1名专门的P-4职等法律干事员额和1名一般事务(其他职等)的法律助理员额，以确保司法系统的持续需求得到充分满足。然而，由于财政拮据的情况，建议由联合国日内瓦办事处的工作人员向联合国维也纳办事处提供支持。","联合国日内瓦办事处","139. 在联合国日内瓦办事处，由具有法律背景的一名人力资源干事代表本组织在争议法庭处理日内瓦办事处及其用户组织(联合国人权事务高级专员办事处(人权高专办)、联合国贸易和发展会议(贸发会议)、人道主义事务协调厅、欧洲经济委员会(欧洲经委会)和其他较小实体)的工作人员提出的案件。除了临时的P-4资源外，有必要增设1个由用户组织(人权高专办、贸发会议和人道协调厅)以分担费用方式供资的P-3法律干事员额，以应付工作量的增加,特别是用户组织工作量的增加。然而，这种安排只能到2011年年底才能作出。","140. 如上所述，由于新司法系统的建立，工作人员呈交的文件更加详细，需要更多的分析工作和法律研究,口头听讯比原系统更多，而口头听讯十分耗时。此外，争议法庭的法官往往要求答辩人提供案件要素的详细信息，从而增加了工作量,需要与有关管理人员进行更多的协商。总体结果是，工作人员处理每宗案件的时间都比原系统下要花费的时间更多。","141. 管理人员还请法律干事就管理评价请求或决定的编写工作提供法律咨询意见。此外，联合国日内瓦办事处继续为管理人员举办关于司法系统的培训并向管理人员通报管理评价决定和法庭判例。最后，法律干事向法律事务厅提供支持和意见，帮助该厅代表本组织处理向上诉法庭提出的上诉案件。","142. 尽管工作量大增，但是联合国日内瓦办事处并没有获得向新司法系统过渡的额外资源。联合国日内瓦办事处专门安排了临时工作人员负责处理时间紧迫的额外工作，以便向办事处提供重要法律专门知识，不过，这样做是以放弃充分满足人力资源其他领域的大量需求为代价的。因此，这些安排被认为将来无法持续。","143. 为了在争议法庭有效、适当地代表秘书长，联合国日内瓦办事处必须就增拨专用法律资源的问题征求总部的意见。具体来说，鉴于目前的工作量，联合国日内瓦办事处需要1名具有诉讼经验的P-4法律干事员额和1名一般事务(其它职等)法律助理员额。如上文第138段所述，这名P-4法律干事还需要向联合国维也纳办事处和联合国毒品和犯罪问题办公室提供服务。由用户组织(人权高专办、贸发会议和人道协调厅)以分担费用方式供资的P-3法律干事员额需予保留。","联合国内罗毕办事处","144. 在本报告所述期间，联合国内罗毕办事处填补了总干事的高级法律干事职位。在该期间下半期，高级法律干事代表联合国内罗毕办事处在争议法庭出庭。在本报告所述期间初期，由具有法律背景的人力资源干事在行政法科同事协助下，代表内罗毕办事处在争议法庭出庭。此外，鉴于人力资源科的诉讼经验有限，内罗毕办事处和环境署通过顾问合同使用外部的法律人才在争议法庭协助处理诉讼事项。","145. 在联合国内罗毕办事处，涉及用户办事处的案件由具有法律背景的环境署或人居署工作人员或内罗毕办事处高级法律干事处理。","146. 在司法事项方面对高级法律干事的依赖，意味着她无法履行作为总干事法律顾问的核心职能。因此，内罗毕办事处请求增拨资源。具体来说，内罗毕办事处需要增设1名具有诉讼经验的P-4法律干事员额和1名一般事务(其它职等)法律助理员额。这些员额还向对新司法系统的需求量特别大的非洲经济委员会(非洲经委会)提供服务。","区域委员会和国际法庭","147. 在新系统下，各区域委员会(欧洲经委会、亚洲及太平洋经济社会委员会(亚太经社会)、拉丁美洲和加勒比经济委员会(拉加经委会)、非洲经委会和西亚经济社会委员会(西亚经社会)和国际法庭(前南斯拉夫问题国际法庭和卢旺达问题国际刑事法庭)的人力资源管理处都需要履行额外职能，提供额外服务。","148. 把纪律案件转交人力资源管理厅前，人力资源管理处负责日常处理这些案件和管理评价请求。人力资源管理处还需要向管理人员提供关于争议法庭新判例的咨询和指导。此外，人力资源管理处需要就正在审理的案件与行政法科联系，对争议法庭关于提供补充信息的要求作出回应，与证人联系，并提供执行判决所需的信息。争议法庭法官往往要求当事方提供案件要素的详细信息，从而增加了工作量和与有关管理人员协商的次数。总体结果是，工作人员处理每宗案件的时间都比原系统下花费的时间多得多。","149. 原先为实施新司法系统增拨资源的请求中没有列出区域委员会需要的额外经费。然而，随着新系统的实施，显然需要增拨资源。","150. 亚太经社会和西亚经社会需要1名具有法律背景的P-4人力资源政策干事，负责向管理部门和人力资源处提供内部咨询意见。这名干事将在亚太经社会，同时向亚太经社会和西亚经社会提供支持。另需要1名一般事务(其它职等)员额支持该干事的工作。","151. 联合国日内瓦办事处的法律干事将支持欧洲经委会的工作，而总部的法律干事负责向拉加经委会提供咨询。","152. 如上文第146段所述，拟议在联合国内罗毕办事处增设的法律干事员额将支持非洲经委会的工作。","外联","153. 需要与各区域委员会进行联系。培训管理人员和人力资源干事，向他们传播相关信息，对于维护整个组织的统一标准和处理目前系统性问题至关重要。管理人员需要听取造成上诉的关键问题的情况通报和如何能够尽量减少潜在争议的咨询意见。人力资源干事需要接受培训，了解如何编写和提出对管理评价请求的答复，如何在诉讼程序中向行政法科提供信息和援助。最后，管理人员和人力资源干事需要了解整个系统，重点了解非正式解决争议的可能性。他们也需要关于开展谈判和在调解中有效代表秘书长的培训。","154. 卢旺达问题国际刑事法庭和前南斯拉夫问题国际法庭目前正在实施《完成工作战略》。经验表明，特派团缩编时工作量都要增加。因此，预计未来三年国际法庭工作人员提出的案件数将增加。在这种情况下，必须促进与国际法庭的联系，确保管理人员和人力资源干事有机会获得对具体案件的援助和关于影响《完成工作战略》实施的判例的最新情况通报。","155. 外联任务拟予执行。执行这些任务所需的资金共为30 000美元。具体来说，内罗毕的1名法律干事拟前往非洲经委会和卢旺达问题国际法庭(内罗毕办事处供资12 500美元)，日内瓦的1名法律干事拟前往西亚经社会、亚太经社会和前南斯拉夫问题国际法庭(日内瓦办事处供资17 500美元)。因此，秘书长请求为外联任务增拨30 000美元。","156. 此外，争议法庭有时在特派团和其他工作地点举行听讯。代表秘书长的法律干事必须前往举行听讯的地点。但到目前为止，预算中没有为这些差旅费编列具体经费。因此，秘书长请求拨款30 000美元，用作前往特派团所在地参加法庭听讯的差旅费。","现有资源和所需资源汇总表","157. 下表载列行政法科、总部以外办事处和区域委员会的现有资源和所需资源。","现有资源和所需资源","办公室\t经常预算现有资源\t请求增拨的经常预算资源 \n 行政法科 2个P-5 2个P-4 1个P-4 3个P-3 3个一般事务 维持和平支助账户 3个P-4 3个P-3 1个P-2 1个P-3(一般临时人员)^(a) 1个P-2(一般临时人员)^(a) 1个一般事务 秘书长有限的预算酌处权^(b) 1个P-4 \n 2个P-3 联合国日内瓦办事处 P-4人力资源政策干事 1个P-4 \n 1个一般事务(其它职等)\n联合国维也纳办事处\t无资源(P-4人力资源政策干事已调任)\t利用联合国日内瓦办事处的P-4法律干事的服务联合国内罗毕办事处\t无资源(P-5高级法律干事已部署)\t1个P-4 \n 1个一般事务(其它职等)\n非洲经济委员会\t无资源\t利用联合国内罗毕办事处的P-4法律干事的服务亚洲及太平洋经济社会委员会\t无资源\t1个P-4 \n 1个一般事务(其它职等)\n西亚经济社会委员会\t无资源\t利用亚洲及太平洋经济社会委员会的P-4法律干事的服务","^(a) 拟议在2012-2013年支助账户预算中将其改划为常设员额。","^(b) 到2011年12月31日为止。","联合国开发署","158. 联合国开发署法律支援办公室是开发署及其附属基金的综合法律办公室，其法律工作涉及公司法、机构法和行政法的各个方面，同时注重政策和培训工作。考虑到新的司法系统的要求，随着对法律磋商和咨询的需求的增加，法律支援办公室不得不调整其人员配置。该办公室行政法实践小组目前已满员运作，其中有1名实践小组组长(P-5)(有自己的工作量)、1个P-5、2个P-4和2个P-3法律干事，共有6名法律干事，由2名一般事务辅助人员协助工作。实践小组负责处理所有的管理评价请求、提交争议法庭的所有案件、所有纪律案件、政策工作法律咨询、法律培训以及从个人法律义务到税收和养恤金问题的各种法律询问。","159. 法律支援办公室参与以非正式和正式方式解决工作人员的申诉问题的所有阶段的工作。在非正式阶段，法律支援办公室向包括人力资源办公室、国家办事处和区域局人员在内的管理人员提供关于正式投诉前消除分歧的咨询和指导意见。该办公室也可以寻求各基金和方案监察员的干预。自2009年7月1日以来，该办公室这类预防性工作大幅度增加，因为有更多的管理人员寻求法律指导，以确保他们的决定符合开发署的法律框架规定，从而增加了时间和资源的支出。","160. 如果问题没有在非正式阶段解决，法律支援办公室向助理署长兼管理局局长提出处理管理评价请求的建议，在争议法庭代表开发署出庭，参与调解程序，与法律事务厅协调，在上诉法庭代表秘书长处理与开发署有关的案件。如有正当理由，法律支援办公室还建议从问责角度采取行动。2010年8月1日开发署启用了处理管理评价请求的新程序。虽然该办公室继续审查这些请求并向助理署长兼管理局局长提出处理建议，但是由署长任命、从名册中挑选的另两名高级管理人员需要从管理角度直接向助理署长兼管理局局长提出自己的独立见解。这项制度一直运作良好，不过，2011年需要任命更多的管理人员来应付管理评价请求数量增加的局面。预计目前给予长期任用的一次性审查将产生更多的案件。","161. 法律支援办公室通过现有各种媒体定期开设培训班，举行简报会，开展外联活动，以提高开发署工作人员和管理人员对新系统的认识。例如，该办公室推出所有管理人员必修的在线法律课程，其中有几个章节涉及内部司法制度的法律问题。此外，该办公室不得不作出调整，以适应管理评价期限和争议法庭时限缩短以及法庭要求的听讯次数和书面呈件增加的情况。这一切都造成了其工作人员的工作量全面增加。此外，鉴于争议法庭日益注重口头听讯和正式审判，律师需要接受辩护和诉讼的专门培训。","联合国儿童基金会","162. 隶属执行主任办公室的执行主任首席顾问办公室全面负责儿童基金会的法律支援和咨询工作。人力资源司处理管理评价的请求，并代表儿童基金会在争议法庭出庭。为适应新系统启用后造成工作量增加的情况，儿童基金会调整了人员配置、能力和标准业务程序并特别注意管理评价的请求和调解的机会。","联合国难民事务高级专员办事处","163. 在内部司法系统改革前，由秘书处行政法股对有关难民署工作人员的决定进行行政复议。现在难民署自己进行管理评价，已把评价权力下放给副高级专员。直接向副高级专员报告工作的法律事务处为所有的管理评价提供咨询意见。","164. 难民署对管理评价过程拥有非常积极的经验，这就使管理人员能够认真检讨其决定，在案件升级到争议法庭之前采取补救行动并审查及改善其工作程序。在许多情况下，管理评价过程也重新启动了难民署与工作人员的对话。","165. 人力资源管理司司长代表难民署在争议法庭出庭。法律事务处就所有未决案件向司长提供咨询意见。","166. 难民署非常注重早期非正式处理冤情，难民署监察员参与非正式地了结了许多案件。不过，自从采用新司法系统以来，工作人员试图通过正式系统处理冤情的情况明显增加。","167. 难民署继续支持工作人员法律援助办公室的工作，向该办公室设在日内瓦的办事处无偿借调了1名法律干事。","联合国项目事务厅","168. 联合国项目事务厅(项目厅)规模较小，没有收到很多案件。项目厅虽然没有专门处理这类案件的法律部门，但是在总部有1名负责监察司法系统发展情况(包括争议法庭和上诉法庭的判例和实践)等事务的法律干事。每宗提交争议法庭的案件以及可能成为案件的任何问题，包括管理评价的请求，均由案件或问题所在区域办事处的项目厅法律干事处理，由上文提及的总部法律干事提供支持。这项工作在项目厅总法律顾问的全面监督下进行。根据ST/SGB/2008/13号秘书长公报，法律事务厅管理向上诉法庭提出的与项目厅有关的所有上诉案件。","169. 到目前为止，新的司法系统似乎比原系统正规得多，专业得多。在新系统中，审理案件的方式与许多国家法院采用的方式相类似，口头听讯次数的增加只是其中一个例子。","170. 因此，律师和非律师处理案件所需要的时间大幅度增加。此外，工作人员可能请求出示许多文件。争议法庭一般倾向于准许这些请求，而满足这些请求需要本组织进行大量的工作。","联合国人口基金","171. 联合国人口基金(人口基金)聘用了两名法律干事，他们向人口基金提供一系列法律支持和咨询服务，包括代表人口基金在争议法庭出庭。人口基金继续特别关注管理评价问题，特别关注解决争议的替代选择办法，包括调解。","2. 代表秘书长在联合国上诉法庭出庭的法律部门","法律事务厅","172. 作为本组织的中央法律服务部门，法律事务厅在包括新的内部司法系统领域在内的若干领域向秘书长、秘书处各部厅和联合国各机构提供法律咨询。在法律事务厅内部，承担这一职责的组织单位是一般法律事务司行政和管理组。下文列述该司在这一领域的职责。","173. 一般法律事务司在内部司法系统方面的责任涉及争端解决的非正式和正式这两个阶段。该司在工作人员提出申诉的最初阶段，即远未在申诉发展成为诉讼之前，向秘书处各部厅、各基金和方案提供咨询意见。例如，曾要求该司在管理评价阶段和解决的谈判期间提供意见。","174. 一旦申诉发展到正式阶段，且工作人员向争议法庭提出申请，一般法律事务司就经常在司法进程的第一级向代表秘书长的实体提供咨询意见。这些实体包括行政法科以及日内瓦、维也纳和内罗毕的对应部门。在新的行政司法系统下，各基金和方案(开发署、项目厅、儿基会、人口基金和难民署)内的实体代表秘书长在争议法庭出庭；该司可应要求向各基金和方案提供咨询意见。此外，该司由于对新系统判例不断演变有着全面的了解，因此向代表秘书长在争议法庭出庭的所有实体介绍新系统的法律发展情况，分享法律论点，以便就在出庭时面临的各种问题提供指导，并供其使用。此类咨询意见确保秘书长就政策和原则问题提出的法律战略和论点协调一致。在这一背景下，该司提请各相关单位注意争议法庭作出的对本组织具有重大影响的判决。","175. 一般法律事务司还代表秘书长在上诉法庭出庭。这项责任既包括对争议法庭的判决提出上诉，也包括对工作人员提出的上诉作出答辩。该司为秘书处各部厅以及各基金和方案履行这一职能。为了确定对某一判决提出上诉是否符合本组织利益，该司必须审查和分析争议法庭的每一项判决，并与代表秘书长在法庭出庭的实体协商。因此，在处理上诉的过程中需要研究和分析争议法庭提出的所有必要的事实和法律问题，并酌情起草书面上诉或答辩。","176. 除了就与内部司法系统有关的事项提供咨询意见外，一般法律事务司还在秘书处各部厅以及各基金和方案作出行政决定之前，比如针对开除工作人员的建议作出决定之前，就《工作人员条例和细则》或其他人事政策和惯例的解释和执行向它们提供咨询意见。这类咨询请求大多来自管理事务部(包括人力资源管理厅、索偿事项咨询委员会、医务司或保险科等组织实体)，但也有一些请求来自各基金和方案、难民署以及总部以外各办事处。最后，该司还负责在颁布每一项与人力资源管理政策有关的行政通知之前对其进行审查、提供咨询意见并确认其合法性。","177. 一般法律事务司在新的司法系统方面承担的责任大大超出了预估，造成该司工作量出现了未曾预期的大量增加。在新系统开始运作之前，秘书长曾提出该系统所需资源的报告，当时行政和预算问题咨询委员会没有核准为法律事务厅请批的任何员额，认为“通过非正式途径尽早解决争端，可能会使诉诸法庭的案件减少”(见A/62/7/Add.7，第50段)。出于这一考虑，咨询委员会认为，要求增加工作人员的理由尚不充分，因此建议在可以对实际需求进行评估之前不核准这些员额。咨询委员会推定，绝大多数案件在诉诸争议法庭之前就会得到解决。但与这一推定相反的是，如下文所述，由于新系统的实际需求，一般法律事务司需要就日益复杂的问题向更广泛的客户提供法律咨询，这些问题在财务、法律和业务上对本组织有重大影响，对咨询意见的需求也更为迫切。","178. 在原系统下，只有一级司法审查，也就是联合国行政法庭。目前则有两级审查。在原系统下，行政法庭非全时运作，每年有两个开庭期，而在新系统下，争议法庭一年到头全时运作，上诉法庭则每年有三个开庭期。","179. 由于系统中的这些重大的体制变化，一般法律事务司必须审查并提供有关咨询意见的判决数大大增加。在原系统下，联合国行政法庭于2009年作出了65项判决。与此相对比，在新系统下，争议法庭在2010年作出了218项判决，上诉法庭作出了100项判决。因此，新系统下的判决总数约为原系统下判决数的五倍。","180. 在新系统下，一般法律事务司的呈件也大量增加。在原系统下，该司每年平均向联合国行政法庭呈件63份。与此相对比，该司2010年在新系统下呈件150份 (114份为源自秘书处、包括维持和平特派团的案件中的呈件，36份为源自各基金和方案及难民署的案件中的呈件)。因此，在新系统下呈件数目比在原系统下呈件数目增加了约140%。","181. 新系统对一般法律事务司的影响不只是向上诉法庭提出上诉的数目增多；该司在这方面开展的工作性质也发生了重大变化。在原系统下，该司起草给联合国行政法庭的答辩的时间框架(六个月)比较宽松。这些答辩通常参照行政法庭既定判例，因此该司的工作较为简单，也易于管理。但是，在新系统下，提出上诉和对上诉作出答辩的时限缩短为45天。而且，尽管上诉法庭规约规定了45天的时限，上诉法庭又将提交中间上诉的时限缩短为15天。此外，新的内部司法系统的实行，意味着本组织以往的做法和行政法庭的判例正得到新法庭的重新审查。随之在管理人员应适用哪些法律规范和原则方面产生的不确定性，意味着该司现更经常地被要求向其他部门提供咨询意见，包括在争议法庭正常的听讯之前向代表本组织在争议法庭出庭的实体提供咨询意见。这与原系统形成对比，在原系统下，给联合申诉委员会和联合纪律委员会的呈件基于行政法庭既定判例，要求该司就这些程序提出咨询意见的情况很少。","182. 所有这些因素因诸如合同改革、服务条件的统一等人力资源管理许多领域、最近的改革而更为复杂。这些改革工作也对一般法律事务司提出了更多要求，要求它审查行政通知，确认其合法性，并就《工作人员条例和细则》的解释和施行提供咨询意见。","183. 目前，一般法律事务司由经常预算供资来负责内部司法和管理问题的员额有2个专业员额(1个P-5和1个P-3)和1个一般事务员额。截至2010年7月1日，秘书长已利用其有限的预算酌处权，为2011年12月31日截止的有限期提供了6个P-3/P-4员额和2个一般事务(其他职等)员额的临时资源。该司另外还有1个由维持和平支助账户供资的P-4员额。此外，该司最近获悉，大会于2011年7月1日批准了由维持和平支助账户供资的1个P-4和1个P-3临时人员员额。总之，除非核准下文请批的额外资源，该司将总共只有5个专业员额和1个一般事务员额负责处理内部司法和管理问题。","184. 最后，由于对该司服务的需求超出预料，使该司承受了压力，这将削弱该司不仅在内部司法领域、而且在其他问题上及时全面地提供法律咨询的能力。","185. 确保该司拥有在行政和管理领域提供法律咨询的能力，将会避免对本组织整体上产生长期不利的财务、法律和业务影响，在法庭判例发展的至关重要阶段尤其如此。例如，2010年该司代表本组织在上诉法庭出庭，有助于赔款裁决参数的确定，有助于澄清审查秘书长酌处权的原则。这些上诉为本组织节省了大量费用，而且基本原则的发展将使本组织长期大大受益。","186. 为了满足新系统下对法律事务厅大量增加的服务需求，一般法律事务司需要增设8个经常预算员额(6个P-3/P-4，2个一般事务(其他职等))来处理内部司法和管理问题。不过，秘书长考虑到会员国当前的财政限制，因此目前只请大会核准一般法律事务司增设3个经常预算员额(2个P-4，1个P-3)。在这方面应当指出，该司是与上次报告相比请设员额减少了约三分之二(从8个员额减至3个员额)的唯一单位，同时它也是唯一没有因建立新系统而得到长期资源的单位(核准自2011年7月1日起设立由维持和平支助账户供资的2个一般临时人员员额除外)。","三. 对与内部司法有关问题的回复","A. 概览","187. 本节对大会第65/251号决议所列问题作了回复。","B. 回复","1. 工作人员出资的工作人员法律援助办公室支持机制","188. 第65/251号决议第40和第41段中请求就工作人员出资的工作人员法律援助办公室支持机制提出提议，秘书长对这项请求的回复列于本报告附件一。","189. 在2011年6月举行的工作人员和管理当局协调委员会会议上就这些提议与工作人员进行了协商。在这次会议上，工作人员重申，由工作人员出资设立一个机制的各种选择没有一项能够接受，因为代表工作人员的费用应由雇主承担。工作人员指出，大会设立工作人员法律援助办公室是将其作为本组织内的内部司法系统的一部分，与该办公室的运作相关的费用构成为本组织的费用。他们吁请大会提供所需的资源，确保双方(工作人员和管理层)得到“平等的武装”。","2. 编外人员的申诉机制","190. 大会在第65/251号决议第55段中要求就有关编外人员申诉机制提出提议，秘书长对这项要求的回复列于本报告附件二。","3. 纪律措施权力的下放","191. 大会第65/251号决议第51段中要求就下放采取纪律措施的权力提出详细提议，秘书长在下文对这项要求作了回复。","背景情况","192. 将采取纪律措施的权力下放给特派团团长和总部以外办事处主管的可能性最初是秘书长在大会第六十二届会议上提出来的。这样做是基于重新设计小组报告的建议以及工作人员和管理当局协调委员会第二十八届会议的结果。该届会议对这一问题进行了讨论，并提出了一项提议。大会原则上同意将采取纪律措施的权力下放给特派团团长和总部以外办事处主管，并请秘书长就此提出一份报告，其中载述各种可能的备选方案。","193. 秘书长考虑到协调委员会的建议，提出了将采取纪律措施权力有限下放。据此，如具备所需的有关能力，特派团团长和总部以外办事处主管就被赋予实施较轻微处罚(警告和罚款)的权力。大会请秘书长就此在第六十五届会议上提出新的提议。","194. 鉴于若干前提条件尚未得到满足，秘书长提议在进一步分析之前暂不执行以前提出的有限权力下放的建议。不过大会再次请秘书长在大会第六十六届会议上提出一份报告，载列下放采取纪律措施的权力的各种可能备选方案。本文摘述的提议就是应这项要求编制的。","纪律案件的处理现状","195. 自秘书长提交关于内部司法的上次报告以来没有出现任何重大发展，但也有若干新的情况。人力资源管理厅着手对关于经订正的纪律措施和程序的行政指示(ST/AI/2007/1/Amend.1)进行修订。法庭的新判例表明，与以前的行政法庭判例相比，法庭正从一个新的角度来分析和解释《联合国工作人员条例和细则》。具体而言，两个法庭在采取纪律措施之前的阶段和纪律处分阶段的整个期间，都在对本组织要求的程序性和实质性标准进行解释；这些标准包括对指控和投诉的评估、调查报告的质量、工作人员在程序期间应享有的适当程序权利、以及所采取措施的相称性。但是必须指出，向法庭提出上诉的纪律案件涉及人力资源管理厅根据行政法庭的判例和标准审查的案子。因此，2009年7月1日后在新系统下收到并结案的案子有多少将遭到上诉以及将如何对其处置还有待观察。","196. 从2009年7月1日到本报告所述期间结束，人力资源管理厅行政法科将357个案子结案，其中216个案子为特派团的案子。在当中的71个案子中采取了纪律措施，情况如下：19个案子中采取了开除措施，17个案子中采取了离职措施，4个案子中采取了降职措施，5个案子中采取了训斥并降低职档/职等或推迟提高职档/职等措施，14个案子中采取了训斥并罚款措施，1个案子中采取了训斥和心理咨询措施，11个案子中采取了训斥措施。","197. 行政法科自2009年7月1日处理的涉及在外地特派团服务的工作人员的纪律案件占2009/10年案件数的70%，占2011年案件数的近60%。","198. 行政法科处理一个纪律案子大约所需的时间从交给它处理时算起，视案情和复杂程度而定，为3至11个月不等。不过，这一约略的时间是在最佳条件下所需的时间，没有计及目前积压的旧的案子，包括在采用新的司法系统前没有结案的案子，即：(a) 在采用新的司法系统之前人力资源管理厅待处理的170个案子；(b) 30个于2009年7月1日发还行政法科的在联合纪律委员会待处理或等常务副秘书长根据委员会的报告作出决定的案子。预期这些案子将在2011年底之前结案。","199. 在2006年至2008年间，一个纪律案子结案平均要花17个月。在这一期间处理的案子，除了建议开除的案子外，均由联合纪律委员会设立的一个小组审议。行政法科把案子提交该委员会审理平均要花8个月时间。自采用新系统后，该科平均需要11个月时间将2009年7月1日以后提交给它的案子结案。","200. 联合纪律委员会的撤消，切实增加了行政法科根据《工作人员条例》关于纪律措施的第十章审查每个案子的实情并对这些案子加以分析的责任，而这些任务以前大部分是由委员会承担的。鉴于争议法庭加大了审查力度，该科同样进行更为详尽的分析，并在程序的每一阶段与调查实体开展相应的后续工作。","对各种备选方案的审查","201. 2009年7月1日采用新的司法系统，大大改变了处理纪律案件的程序。除其他外，联合纪律委员会的撤消将案子的实情评估责任转给了人力资源管理厅。","202. 当前的多步骤程序存在着三个重大瓶颈，其中每一个都涉及确保对实情进行仔细分析和尊重工作人员的适当程序权利：(a) 调查进程的长短和参与调查的实体数目、以及实情调查和非专业的调查人员进行的其他调查的质量；(b) 让被控行为失当的工作人员作出评论所需的时间；(c) 从调查实体获得其他资料花费的时间。","203. 简单地下放权力不会消除现有的瓶颈，因为处理纪律事项的现有程序和法庭的新判例将继续需要予以非常仔细的审视。此外，将权力下放给外地可能使工作更加重复，使作出的决定更不一致。","部分下放权力","204. 部分下放权力是指将采取不太严厉的纪律措施(如罚款和训斥)的权力下放给特派团团长和总部以外办事处主管。","205. 不过，由于只有在数目有限的案子中采取了罚款和训斥，这一选择办法不会大大缩短纪律程序的时间。因此，现有的瓶颈将依旧没有得到处理，而由此在外地和人力资源管理厅之间造成的工作重复将导致低效。鉴于部分下放权力造成费用增加，包括管理事务部要外派法律干事协助从事纪律进程的程序工作，行政当局在现阶段认为这不是一个可行的选择办法。","完全下放权力","206. 如果完全下放权力，各特派团团长和总部以外办事处主管可依循目前总部采用的纪律程序，采取任何纪律措施。完全下放权力可增加外地的权力，减少外地与总部间的通信联系，但主要的不利之处是本组织不同单位的工作人员得到不一致、不平等待遇的可能性增加。不一致的决定又会使向争议法庭提出上诉的数目增多，造成费用增加。因此，行政当局认为，不宜采取完全下放权力的办法。","不下放权力","207. 如果采取纪律措施的权力仍完全归主管管理事务副秘书长所有，则现行的中央化系统将继续下去。在这种情况下，管理事务部将继续全盘看待纪律案件，而且最适于确保以最高效率、最一致的方式分析和处理此类案件。","拟议的短期措施","208. 部分下放权力或完全下放权力目前都不是最佳办法，但显然也需要采取行动来解决纪律案件处理拖延的问题。为此，现提出下列措施，以求加快纪律案件的调查和处理：","(a) 通过设立一个涵盖一组特派团的服务基地，办一个试点项目，测试将内部司法至关重要的部分下放的可行性。有关资源将包括法律干事、行为和纪律干事以及可利用在服务基地或所在区已有的资源，如调查人员、监察员和工作人员法律援助办公室。每项职能均订有明确的任务规定和报告关系，以维护调查的独立性、面临纪律程序的工作人员的适当程序权利以及纪律程序的完整性。虽然采取纪律措施的权力仍归主管管理事务副秘书长所有，预期使调查和纪律程序的要素更接近案发地将有助于缩短处理案件所需的时间。这一试点项目将涵盖在非洲的一些实地特派团(待确定)，拟将服务基地设在内罗毕。这样如果从试点项目取得的经验支持进一步下放权力，包括向设在内罗毕的总部以外办事处(以及其他总部以外办事处)下放权力，则便于建立一个今后可以利用的基础设施；","(b) 高度优先案件将通过“快车道”方式处理，据此由所有相关单位(外勤支助部、人力资源管理厅和内部监督事务厅(监督厅))将案件列为优先事项。考虑到各特派团团长的请求以及适当理由，列为高度优先的案件将得到加快处理，处理时将遵照待拟订的准则，其中确认监督厅及其案件接收委员会等现有程序的业务独立性，但除此之外将沿用处理纪律事项的适用程序；","(c) 让工作人员休带薪行政假的权力将由主管人力资源管理助理秘书长转给主管外勤支助事务副秘书长。这将缩短让工作人员休带薪行政假的进程。而让工作人员休无薪行政假的权力仍归管理事务部所有；","(d) 设立一个就纪律事项下放权力问题部门间工作组。","209. 秘书长将就此向大会第六十八届会议提交一份全面报告。","210. 工作人员和管理当局协调委员会第三十二届会议对拟议措施进行了讨论。会议商定管理当局将与工作人员分享进展情况报告，并将设立一个机制，定期向工作人员代表通报这一项目的进展情况。","建议","211. 请大会核准秘书长在上文第208段所详述的提议。","4. 新的内部司法系统对工作人员-管理层关系的影响","212. 关于大会第65/251号决议第54段的要求，秘书处、开发署和儿基会都认为，就新系统对工作人员/管理层关系以及对工作人员和管理人员业绩的影响提出报告为时过早，并认为需要更多时间才能恰当地评定是否有系统性影响。三个机构均指出工作人员-管理当局的关系出现了变化。具体而言，管理人员日益明确认识到其决定的影响，希望确保这些决定符合相关规则和政策。其结果是，方案管理人员在做决定之前向法律干事提出更多问询，更多地请他们提供咨询意见和指导。管理人员还明显地希望更多地了解这一系统，而且总的来说能在案件中作出正确决定。","213. 因此，人们可以初步认为，新的司法系统正造成强调预防发生争端的风气，而在无法避免发生争端时，方案管理人员更常与律师咨商，以确保他们的决定符合法律和政策规定。在避免争端或非正式地解决争端过程中，有时与有关的工作人员代表以及联合国监察员或基金和方案监察员进行广泛的共同协商。","214. 虽然已确定了这些新出现的做法，但并非所有管理人员都清楚地了解新系统的要求，这一点也是很明显的。因此，从业绩的角度来说，需要更多的时间才能确定这些新出现的做法是否正在合成一种趋势。","215. 预期管理人员将非常认真地对待工作人员的业绩评估，并就此定期向下属提供反馈意见，这样确保根据评估报告作出的决定有适当的纪录。不过，要评论这是否已成为趋势尚为时过早。而同样难以预测的是，工作人员和管理人员在新系统下是否将积极地提高业绩。","5. 分担费用安排","216. 关于大会第65/251号决议第57段中的要求，秘书长作了下列回复。","217. 自大会在第62/228号决议中决定设立新系统以来，秘书处一直持续与各基金和方案(开发署、联合国项目事务厅、儿基会、人口基金和难民署)的代表进行正式和非正式讨论，以订立按人头分担费用的安排。在按人头分担费用时，费用是依据工作人员的人数分配的。基于上述讨论，秘书处编制了一份初步的谅解备忘录草稿，并将之分发给了各基金和方案，供其评论。其后，各方举行了一次联席会议，讨论各基金和方案提出的问题。与秘书处的主要利益攸关者进行讨论之后，秘书处向各基金和方案分发了一份经修订的备忘录草稿，供各基金和方案提出进一步评论意见。经修订的备忘录草稿还作为安排的一部分，包含联合国新的性别平等与增强妇女权能实体(联合国妇女署)。2011年3月初，与有关方面又举行了一次会议，讨论经修订的备忘录草稿，而各基金和方案据此于5月提出了一份正式的协调文函，其中列有各项待解决的问题。6月，秘书处针对各项待解决的问题提出了一份正式回复，各方由此于7月举行了进一步磋商。迄今为止，各方已解决了待决问题中的大部分问题，但仍需要对包括调解事务在内的下放权力的监察员综合职能的某些方面(因各基金和方案为综合办公室中的各自监察员提供经费，而且这些监察员向各自的行政首长报告工作)作出一定澄清。例如，针对各基金和方案监察员与区域监察员之间的结构问题(包括问责和移案机制)提出了问题，并针对各基金和方案工作人员所涉案件方面的调解事务提出了问题。各方商定，调解事务和区域监察员与各基金和方案监察员之间的联系线一旦得到澄清，就可以结束关于剩下的这些特别方面的费用分担讨论。各方认识到缔结一项费用分担安排非常紧迫并承诺尽快加以缔结。","6. 对系统中行为方的培训","218. 关于大会在第65/251号决议第61段中提出的要求，秘书处作了下列回复。","219. 2009年6月，法庭的新任法官参加了内部司法办公室举办的就职培训，培训课程简要介绍了本组织的机构和管理框架。书记官处的工作人员参加了关于前南斯拉夫问题国际刑事法庭、卢旺达问题国际刑事法庭和欧洲联盟公务员法庭法庭管理的培训课程。工作人员法律援助办公室工作人员参加了前南斯拉夫问题国际刑事法庭工作人员和海牙辩护律师界从业人员举办的争端解决培训课程。","220. 管理事务部聘任了一名法律咨询人，这名咨询人为行政法科的法律干事进行了起草技巧的辅导。法律干事还参加了由国家法律培训机构组织的为期一周的密集辩护培训课程。此外，他们还参加了开发署和监察员举办的争端解决培训课程。","221. 开发署为在两个法庭出庭的法律干事举办了一次辩护培训课程，课程由前南斯拉夫问题国际法庭经验丰富的工作人员和英国律师界的资深律师主持。鉴于这种培训对新的专业化的正规系统中的法律干事具有重大意义，设想在2011年后期再举办一次类似的培训课程。开发署及联合国监察员和调解事务办公室联合组织了一次工作场所争端解决培训课程，包括一些高级官员在内的100多名工作人员参加了这一课程。","222. 系统中包括法官、其工作人员和代表工作人员和管理当局的法律干事在内的所有参与者都需要经常参加旨在加强法律教育的培训。法律干事须定期参加口头和书面辩护方面的培训，以维持和增强其技能。在法庭管理做法方面加强培训，包括与其他国际法庭工作人员进行教育交流，将使争议法庭和上诉法庭书记官处的工作人员受益。此外，对系统中各行为方的联合培训也会产生种种益处，不仅可节省费用，而且还有机会交流意见和最佳做法。","223. 法官参加法律会议和法律讨论会，同其他国际法庭法官、高级学者和其他参加者参与讨论与其专业活动有关的法律和司法做法，也是有裨益的。目前，内部司法办公室的预算不足，难以让法官参加。","224. 在每个法庭所在地建立一个收藏参考书籍的司法图书馆将有助于法官和工作人员水平的提高。此外，通过举行年度全体教育会议而持续开展司法教育也有益处，这包括酌情由外部演讲人和主持人提出见解。有待探讨的专题包括跨文化交流技巧、有关国际公务员制度法的最新发展情况、国际规范的适用、劳工组织各项公约对国际公务员制度法的适用以及对法律问题采取的比较方法。","225. 最后，也许拟考虑在工作人员可以利用联合国内部司法系统的联合国各机构和机关的法律框架方面，对法官进行进一步的司法培训。为确保不同国际法庭的司法人员之间的对话，或许应举办一次联合国联合司法研讨会，出席者包括争议法庭和上诉法庭的法官、其他法庭的法官、以及在可能情况下的法律学者，重点探讨国际行政法问题。此外，所有参加者都需培训，以便使不同法庭在适用标准时更加统一和一致。","226. 现系统在运作两年之后，仍需要向工作人员开展宣传工作，向他们说明争端解决的非正式和正式办法，尤其是说明两者之间的关系。为协助工作人员，内部司法办公室用联合国所有正式语文编制了一份便于用户使用的手册。该办公室还设立了一个有所有正式语文版本的内容全面的网站，其中介绍了正规系统各个要素，包括专门为工作人员法律援助办公室编写的网页内容，以及关于两个法庭判例的最新数据库。","227. 与非正式争端解决和调解具体相关的所需培训资源将列于联合国监察员关于非正式司法系统的报告。","7. 处理纪律案件的及时性","228. 大会在第65/251号决议中批准了行政和预算问题咨询委员会在其关于联合国内部司法的报告(A/65/557)中提出的建议，其中包括要求秘书长将关于处理纪律案件的及时性资料列入拟提交大会第六十六届会议的关于内部司法的报告。","229. 对这一要求的回复已经与对关于下放纪律权力提议的要求的回复合在一起，载于上文第191至210段。","8. 大会第65/251号决议第53段要求提供的资料","230. 大会在第65/251号决议第53段中请秘书长在向大会第六十六届会议提交的关于内部司法的报告中列入以下资料：","(a) 关于两法庭在该期间所收到和已处理案件的明确统计资料，包括提供分类资料，说明判决中申诉人或被告人何者胜诉，以及所涉及的行政问题；","(b) 对若干个报告所述期间的趋势进行分析，以便查明哪些系统性的问题导致动用内部司法系统，并监测这些问题已否有效解决；","(c) 关于所提供的补偿金的详细资料，以及上诉相关间接费用(如工作人员工时)，包括查明人事管理中那些方面的问题导致产生大量上诉的情况；","(d) 关于向工作人员赔付相当于6个月薪金甚至更多赔偿的详细资料，同时列明所涉部厅、这些部厅的所在地以及案情细节。","231. 就大会第65/251号决议第53段(a)而言，秘书长在上文第30至41段和第65至72段中提供了有关争议法庭和上诉法庭的资料。本报告附件三载有更多资料。","232. 就大会第65/251号决议第53段(b)而言，秘书处作出以下回应。","233. 统计数据显示，整个组织最常引起争议的决定涉及与遴选和任用有关的问题。这种决定相关索赔占所有提出索赔的40%左右。这种情况有各种原因。第一，以往关于遴选工作人员的行政指示在内部候选人优先权上含糊不清。第二，根据行政通知，填补一个职位时须遵循若干项程序；针对遴选和任用过程，有人可能会提出程序错误的指控。第三，未被选用的工作人员常常指称，未选用是因为外来因素。第四，工作人员指称，其电子考绩制度评估与其空缺候选资格评价相矛盾，因此对其候选资格的评估不公正。最后，争议法庭关于行政部门在遴选工作中的酌处权范围以及质疑遴选工作的举证责任和标准方面的判例不一致。","234. 行政部门已经处理了以下问题：","(a) 2009年9月，主管人力资源管理事务助理秘书长一查明关于优先考虑的规定含糊不清，便向所有办公室发出一项通知，澄清了审议内部候选人的程序；","(b) 2010年4月废除了关于工作人员遴选制度的行政指示，由一项新的行政指示(ST/AI/2010/3)取代。关于优先考虑的规定不再是政策的一部分；","(c) 2010年10月，主管管理事务副秘书长发布了“经验教训指南”，提供工作人员甄选程序指导；","(d) 行政部门对争议法庭不一致的裁决提出了上诉。上诉法庭2010年3月的判例进一步澄清了秘书长在甄选决定上的酌处权范围以及举证的责任和标准；","(e) 上诉法庭的判例将有助于回应工作人员就感知的考绩评价与候选资格评价不一致提出的事实论据，也将有助于处理偏见指控。上诉法庭认定，当工作人员提出这种指控时，他们有责任出具清楚、令人信服的证据来支持其主张。","235. 至于其他类别案件，大家认识到不续约决定常常由于没有遵守考绩管理制度规定的程序而受到指责。主管管理事务副秘书长在给管理部门的通知中谈到这个问题，详述了争议法庭的判例，并让管理人员明白必须遵守电子考绩制度程序。","236. 重点涉及定期任用不续约问题的“经验教训指南”于2010年8月发布。指南指示管理人员严格遵守规则和程序，记录决策过程，并遵守考绩管理程序。","237. 此外，2010年4月30日发布了题为“考绩管理和发展制度”的行政指示(ST/AI/2010/5)。该指示更新了考绩评价政策和程序，并处理了导致延误完成电子考绩制度评估的问题。","238. 纪律措施也常常导致上诉。这是争议法庭产生的判例继续演变的另一个领域。具体地说，争议法庭多次重新审议了秘书长行使斟处权的问题。行政部门对这些裁决提起过上诉。2011年年初，上诉法庭作出一项判决，强调争议法庭不是决策者，其作用仅限于对秘书长行使其广泛的行政管理酌处权进行有限的司法审查。","239. 作为几项判决的议题的一项措施，是在调查不当行为指控的过程中让工作人员休全薪特别假。争议法庭裁定，在纪律程序未结束的情况下采取这样的措施不适合。结果，行政部门修订了规则，颁布了工作人员细则10.4。该条特别规定，在调查结束前让工作人员休行政假。以前的工作人员细则要求，对工作人员停职前须提出指控。而新的工作人员细则规定，在调查直至纪律程序结束期间的任何时候，可让工作人员休行政假。","240. 对上诉法庭判决提起上诉的一个重要议题是给予补偿的问题。上诉法庭推翻了一些大数额赔偿的裁决，争议法庭应采用的原则已得到阐明。具体地说，上诉法庭认定，成功的索赔人有权获得补偿金——只要金钱可以办到——使之处于其任用条件得到遵守的情况下本应处于的状况。","241. 就大会第65/251号决议第53段(c)而言，关于已给予补偿金的详细资料载于本报告附件三。至于与上诉有关的间接费用，如工作人员时间，包括查明引起大量上诉的工作人员行政管理的各方面问题，秘书长作出如下回应。","242. 为了计算这种间接费用，内部司法系统的所有利益攸关方都同意，工作人员在2010年花费的与争议法庭和上诉法庭的判决有关的小时总数应予相加。他们还同意，一名P-4法律干事每周40个小时、每年45周工作的费用可用作平均数。此外再加上20%，以反映管理层和高级管理层审查案件和行政支持的额外工作时数。","243. 争议法庭书记官处、法律事务厅、人力资源管理厅、开发署、儿童基金会、联合国项目事务厅、人口基金、管理评价股和工作人员法律援助办公室提交的计算花费在争议法庭作出判决的案件所用时间的文件已收到。上诉法庭书记官处、法律事务厅和工作人员法律援助办公室提供了计算上诉法庭案件所用时间的文件。下面分别列出争议法庭和上诉法庭案件用时平均数。得出这些数字的方法说明可应要求提供。","244. 应指出，各个案件所用时数可能相差很大。此外，工作人员法律援助办公室提供的数字不反映志愿人员在案件上花费的时间，也不反映该办公室为提供简要咨询意见或处理不导致正式上诉的案件而花费的大量时间。","245. 考虑到每个单位和实体提供的资料，争议法庭一起案件所用平均工作人员时间是400.3个小时，上诉法庭一起案件是230.5个小时(按一名P-4工作人员每周40个小时、每年45周工作计算)。","246. 就大会第65/251号决议关于赔付六个月或以上薪金的第53段(d)而言，秘书长在本报告附件三中提供了这类赔付的资料。","四. 与大会审查两法庭规约有关的问题","A. 导言","247. 大会在第65/251号决议第46段中决定，“推延到大会第六十六届会议再参照所获得的经验审查法庭规约，包括法庭总体运转效率”。为了协助大会审查两法庭的规约，秘书长提出了以下问题供大会考虑。在提出这些问题时，秘书长强调，这些问题的讨论不应妨碍司法独立原则。由于大会是设立两法庭、通过其规约、批准其程序规则的机构，应由大会断定对这些问题采取什么行动，或是否采取行动。","B. 两法庭的程序规则","248. 争议法庭规约第7条规定，争议法庭应自订程序规则，但须得到大会核准。同样，上诉法庭规约第6条规定，上诉法庭应自订程序规则，但须得到大会核准。由于大会将审议关于争议法庭和上诉法庭程序规则修正案的报告(A/66/86)，秘书长向大会提出了以下有关程序规则的意见供其审议。","1. 程序规则修正案协商","249. 两法庭的规约目前没有规定由各当事方就争议法庭和上诉法庭程序规则修正案提出建议，或参与协商。由于各出庭当事方会对拟议修正案的影响提出重要看法，事先与他们协商有利于修正两法庭程序规则的过程。两法庭规约或程序规则中没有明确规定，并不妨碍两法庭在修正程序规则之前，与当事方进行协商。值得注意的是，虽然前南斯拉夫问题国际法庭规约和程序规则没有为修正程序规则规定协商进程，但在实践中，书记官处、检察官办公室和辩护律师的代表参加一个“规则委员会”的工作，而设立该委员会是为了在法官通过法庭程序规则拟议修正案之前审议这些修正案。","250. 秘书长建议大会鼓励两法庭在对程序规则进行修正之前，与出庭当事方协商。","2. 驳回明显不可受理或毫无根据的案件","251. 争议法庭程序规则第9条指出，“在对案件的重大事实没有争议的情况下，当事方如依法有权得到判决，可正式请求当即判决”。根据这一规定，只要对重大事实存在争议，则无法驳回非实质性申诉。相比之下，其他政府间组织的行政法庭规定了处理非实质性申诉的机制。[8] 例如，欧洲联盟公务员法庭程序规则第76条指出，“若一诉讼全部或部分明显不可受理或明显缺乏任何法律依据，则法庭可不进一步进行诉讼，通过附有理由的命令做出决定”。2010年，在欧洲联盟公务员法庭审理的129个案件中，有10个案件是依照这一规定处理的。","252. 此外，秘书长指出，上诉法庭的程序规则没有规定快速处理非实质性上诉的机制。在其他政府间组织的行政法庭中，只有欧洲联盟规定了上诉审查。针对欧盟公务员法庭的判决，可上诉到普通法院。普通法院程序规则第111条规定，如果一项诉讼“明显不可受理或者明显缺乏任何法律依据”，普通法院可以就一项诉讼做出“在诉讼中不采取进一步措施”的决定。","253. 至于何种案件可以明显不可受理或毫无根据为由驳回，秘书长回顾说，上诉法庭早在2010年7月便裁定，争议法庭无权审查或修改前联合国行政法庭的判决。[9] 尽管如此，上诉法庭迄今接到至少五项上诉，谋求修改行政法庭的判决。虽然这些上诉可被视为“明显缺乏任何法律依据”，但上诉法庭没有机制快速驳回这些案件。因此，本组织除了准备回应这类上诉发生的费用外，还承担为每个这类案件作出全面判决的费用(每项判决3 600美元)。","254. 为了确保无聊案件可以快速驳回，以便以更效率使用内部司法系统的资源，大会不妨考虑修正争议法庭规约第七条第二款第㈧项，使其程序规则包含一项关于“即决驳回案件，包括明显不可受理或明显缺乏任何法律依据的案件的程序”的规定。大会还不妨修正上诉法庭规约第六条，使其程序规则包括一项类似的规定。","255. 秘书长建议大会修正联合国争议法庭规约第七条第二款第㈧项和联合国上诉法庭规约第六条，规定在程序规则中要有一个机制快速驳回显然不可受理或显然缺乏任何法律依据的案件。","3. 口头听讯录音","256. 如上文第49段所述，秘书长已请拨预算资源，用于保留口头听讯录音。虽然上诉法庭在一个案件中裁定，一当事方“有权获得争议法庭有关书记官处在诉讼程序中的证词录音，”[10] 但这些纪录并非总是应当事方的要求提供。201年6月，当事方获悉，“规约和程序规则不要求争议法庭书记官处制作口诉程序的录音”。","257. 秘书长指出，在争议法庭的事实评估广泛或完全依据诉讼中的口头证据，争议法庭没有向当事方提供这种口头证据纪录的案件中，当事方不能以任何有意义的方式行使上诉权利。虽然各当事方可依靠自己的口头证据笔记，但如果没有客观的证据纪录，上诉法庭将无法评估争议法庭的口头证据说明或当事方的说明是否准确。","258. 为了确保保留口头听讯录音，并应当事方的要求提供这些录音，大会不妨考虑修正争议法庭规约第七条第二款第㈤项，使程序规则包含一项关于“口头听讯，包括应当事方要求提供的口头听讯录音的规定”。","259. 秘书长建议大会修订联合国争议法庭规约第七条第二款第㈤项，规定保留该法庭口头听讯录音，并应当事方的要求提供这些录音。","4. 工作人员姓名编辑","260. 争议法庭规约第十一条第六款规定，“争议法庭书记官处应在注意保护个人资料的同时公布法庭判决，供公众查阅”。","261. 秘书长指出，在若干案件中，争议法庭在判决书中列出有争议决定直接或间接涉及的工作人员的姓名。在一些争议法庭判定有争议决定无效的案件中，法庭以无节制的措辞形容工作人员的行为和品性。列出工作人员的姓名，以无节制的措辞形容工作人员的行为和性格，已经导致一些工作人员对法官提出申诉，并引起有关诽谤的关切。","262. 考虑到争议法庭规约第十一条第六款的规定，并考虑到有必要确保工作人员的姓名和品性不在争议法庭判决书中受到不公正的指责，大会不妨考虑修正该法庭规约第七条第二款第㈥项，使其程序规则包含一项关于“公布判决，包括应有关个人的要求编辑判决书中姓名的程序”的规定。","263. 秘书长建议大会修正联合国争议法庭规约第七条第二款第㈥项，使其程序规则包含一项关于“公布判决，包括应有关个人的要求编辑判决书中姓名的程序”的规定。","5. 对中间命令提出上诉的暂缓执行效力","264. 依照争议法庭规约第十一条第三款，“在规定的上诉时限到期后，判决应予执行。”此外，上诉法庭规约第七条第五款规定，“提起上诉具有暂停执行有争议判决的效力”。虽然两法庭的规约只提到判决上诉，但上诉法庭认识到，在有限的情况下，对中间命令提出上诉也是允许的。因此，争议法庭规约第十一条第三款和上诉法庭规约第七条第五款适用于对中间命令的上诉，看来是合适的。","265. 由于不清楚上诉是否暂停执行有争议的中间命令的义务，争议法庭禁止上诉当事方在争议法庭出庭。后来上诉法庭宣布这一结论无效。[11] 目前经修正的争议法庭程序规则第19条对实行这种禁止的权力作出了规定，允许该法庭在一当事方未遵守一项中间命令的情况下，下达其认为适当的任何命令，包括，“驳回申诉或答辩的裁决”。秘书长认为，争议法庭强制遵守中间命令的权利必须与各当事方本着诚意对中间命令提出上诉的权利相平衡，在秘书长否则必须执行争议法庭下达的、与上诉法庭既定判例相矛盾的中间命令的情况下特别如此。大会不妨考虑修正争议法庭规约第十一条第五款和上诉法庭规约第七条第五款，以确认这些规定同样适用于争议法庭的所有裁决，无论其形式是判决还是命令。","266. 秘书长建议大会修正联合国争议法庭规约第十一条第三款，说明可对争议法庭下达的中间命令提出上诉。秘书长还建议大会修正联合国上诉法庭规约第七条第五款，说明对争议法庭下达的中间命令提起上诉具有暂停执行有争议的命令的效力。两法庭程序规则的相关规定也需要修正。","6. 在上诉法庭提起上诉的时限","267. 上诉法庭规约第七条第一款第㈢项规定了45天提起上诉的时限。[12] 目前规约没有为对中间命令的上诉设定时限，虽然在实践中，上诉法庭实行了15天的时限。[13]","268. 鉴于当事方资源有限以及工作地点之间转交相关档案遇到的延误，秘书长认为，把提起上诉的时限再延长15天，有助于更充分地介绍上诉法庭应审查的法律问题。时限延长15天造成的推迟极其有限，而允许更彻底审查上诉中提出的法律问题的收益重大，两者应予权衡，在上诉法庭初始阶段第一次审查许多根本性问题时特别如此。","269. 秘书长建议大会修正联合国上诉法庭规约第七条第一款第㈢项，把对联合国争议法庭判决提起上诉的时限从45天延长到60天，并为对中间命令的上诉设定30天的时限。上诉法庭程序规则的相关规定也需要修正。","C. 联合国争议法庭对独立实体与履行其任务有关的行为和不行为的 管辖权","270. 争议法庭规约第二条第一款第㈠项确定该法庭对“被指称为不遵守任用条件或雇用合同的行政决定”具有管辖权。在解释“行政决定”一词时，联合国行政法庭认定，“行政决定的特点是，由行政部门作出，单方面的，针对具体情况”，对工作人员雇用条件和待遇“产生直接法律后果”。[14] 在说明第一项标准(行政决定必须由行政部门作出)时，行政法庭在其第1359号判决(Perez-Soto案(2007年))中裁定，监察员所作的不调查骚扰投诉的决定不构成行政决定，因为鉴于监察员的独立身份，其所有行为或不行为不属于行政当局的决定。","271. 其他国际组织的行政法庭也确认以下基本原则：当一实体独立于管理部门行事时，该组织对此实体没有有效控制，因此不能为其行为或不行为负责。例如，在两个不同的案件中，国际货币基金组织(货币基金组织)和世界银行的工作人员指控其组织的职工会对发表个人保密资料负有责任，并对这些组织提出申诉。[15] 货币基金组织行政法庭和世界银行行政法庭都驳回了这些申诉，裁定这些组织不能对职工会的行动负责任，因为职工会没有“按照管理层的指示或在管理层的有效控制下”行事。[16]","272. 秘书长指出，若干具有独立地位的实体是依照大会决议建立的。这些实体包括监察员、监督厅、道德操守办公室和内部司法办公室。这些实体都享有业务独立性。[17] 争议法庭是否有权管辖这些独立实体的行为或不行为的问题引发了难题，秘书长因其无有效控制的实体的行为和不行而被追究责任的可能性也提出了难题。","273. 迄今为止，行为和不行为在争议法庭上受到质疑的独立实体包括：(a) 监督厅；(b) 道德操守办公室；(c) 工作人员法律援助办公室：","(a) 在上诉法庭最近审理的一个案件中，一名工作人员对一份监督厅报告的内容以及监督厅的审计程序提出异议。截至2011年8月15日，上诉法庭尚未发布该案件的判决书。不过，正如判决提要所示(判决提要是上诉法庭书记官处为发布新闻而不是作为正式文件分发的)，上诉法庭似乎承认，由于秘书长无权影响或干涉监督厅，联合国争议法庭也没有管辖权这样做，因为它只审查秘书长的行政决定；","(b) 在至少三个案件中，工作人员向争议法庭提出申诉，质疑道德操守办公室断定他们没有受到报复的意见。他们称，大会请秘书长设立一个具有“独立地位”的道德操守办公室，便要求秘书长遵守这种地位。争议法庭在反驳这一论点时认为“大会的建议必须得到认真考虑”，但不对评估道德操守办公室是否享有独立地位具有决定性作用。[18] 由于争议法庭尚未发布一项处理道德操守办公室有关报复的裁断是否构成行政决定的问题的最后判决书，上诉法庭尚未就此问题发表意见；","(c) 在上诉法庭最近审查的一个案件中，一名工作人员对工作人员法律援助办公室据称未披露利益冲突提出异议。秘书长认为，该办公室的行为和不行为不构成行政部门的决定，因此，不属于争议法庭的管辖范围。争议法庭仅限于审查“行政决定”。在这方面，秘书长指出，货币基金行政法庭和世界银行行政法庭都拒绝接受这两个国际组织可因其职工会有争议的行动而被追究责任的论点，因为职工会的主要目的是为工作人员利益代言，“表达独立于、有时对立于……管理层的看法”。[19] 这种推理甚至更适用于工作人员法律援助办公室，因为诉讼的对抗性质意味着该办公室常常表达与管理层相反的看法。截至2011年8月15日，上诉法庭尚未发布此案件判决书。不过，正如判决摘要所示，上诉法庭似乎裁定，工作人员法律援助办公室的行为和不行为属于争议法庭的管辖范围，因为该办公室提供的服务以及实施代理的方式可对任用条件产生影响。因工作人员法律援助办公室行为和不行为而追究秘书长的法律和财务责任的含义是，工作人员如果不能成功挑战秘书长的行政决定，只要能够确定该办公室提供的法律咨询有某些缺陷，就仍可对本组织提出赔偿要求。","274. 上诉法庭新出现的案例似乎表明，虽然诸如监督厅等某些独立实体的行为和不行为可能不属于争议法庭的管辖范围，但诸如工作人员法律援助办公室等其他独立实体的行为和不行为可以由争议法庭审查。此外，秘书长指出，上诉法庭有关这些问题的指导不一定是决定性的，因为争议法庭强调，只有在上诉法庭确立的规则“符合一般法律原则”时，争议法庭才会认为这些规则是适用的。[20]","275. 因此，秘书长认为，大会澄清其在争议法庭管辖范围上的意向可能是有益的。在这方面，秘书长强调，将独立实体的行为和不行为排除在争议法庭管辖之外，并不意味着工作人员在认为其权利遭到这类实体侵犯的情况下被剥夺申诉权。","276. 第一，在秘书长根据独立实体受指责行为或不行为作出行政决定的情况下，可以在争议法庭对该决定本身提出异议。例如，道德操守办公室断定，一名工作人员实施了报复，秘书长根据道德操守办公室这一裁断决定对该工作人员采取纪律措施，该工作人员可以向争议法庭提出申诉，对秘书长采取的纪律措施以及他对道德操守办公室据称错误的裁断的依赖提出异议。不过，道德操守办公室有关报复的裁断不应在争议法庭受到质疑。由于道德操守办公室的独立地位不允许秘书长指示该办公室如何作出报复裁断，不能因该办公室作出的裁断而追究秘书长的责任，即使后来这些裁断被证明是错误的。","277. 第二，如果工作人员质疑独立实体与履行管理职能有关的行为或不行为，争议法庭管辖范围扩大到这些事项不会在该实体的独立地位方面引起任何问题。例如，质疑监督厅内甄选方式的申诉显然属于争议法庭的管辖范围。","278. 只有在一工作人员的申诉涉及独立实体履行其业务职责的方式时，争议法庭对独立实体的行为和不行为行事行使管辖权才有问题。秘书长认为，由于各独立实体履行其业务职责的方式不在秘书长的有效控制之下，这些实体与执行业务任务有关的任何行为和不行为也不能归于秘书长，不应追究秘书长的法律或财务责任。的确，在这种情况下追究责任，不会推进加强问责制的目标，因为秘书长没有权力影响或纠正工作人员所质疑的独立实体的行为和不行为。大会不妨考虑在没有确定秘书长有错的情况下，追究财务责任和花费本组织的公共资金的做法是否合适。","279. 如果大会要说明争议法庭对行政决定的管辖范围仅限于那些秘书长作出或以秘书长名义作出的决定，大会不妨考虑修正争议法庭规约第二条第一款第㈠项，提及“秘书长单方面作出或以秘书长名义作出的据称不遵守任用条件或雇佣合同的行政决定”。","280. 秘书长建议大会修正联合国争议法庭规约第二条第一款第㈠项，提及“秘书长单方面作出或以秘书长名义作出的据称不遵守任用条件或雇佣合同的行政决定”。","281. 另一个新出现的问题是争议法庭是否对秘书长执行大会或其附属机构等理事机构作出的决定具有管辖权。迄今为止，工作人员向争议法庭提出了申诉，质疑秘书长为执行大会决议和国际公务员制度委员会(公务员制度委员会)的决定而采取的行动。","1. 大会","282. 《联合国宪章》第一百零一条规定，“办事人员由秘书长依大会所定章程委派之”。根据该规定，大会颁布《工作人员条例》并可修改《工作人员细则》。大会以决议形式核准本组织关于人力资源管理的政策。","283. 2010年，大会第65/248号决议核准国际公务员制度委员会关于统一联合国共同制度各组织不带家属工作地点工作人员服务条件的建议。该决定的后果是取消了一项称为“个人过渡津贴”的福利。大会同一决议还请秘书长促进“立即执行委员会关于统一不带家属工作地点服务条件的建议”。因此，外勤支助部告诉外勤工作人员，大会核准的更改将于2011年7月1日生效。2011年6月，首次有人向争议法庭提出对取消个人过渡津贴一事的申诉。该申诉指称，取消个人过渡津贴对单身女性造成不利影响，提出此举是基于性别或个人状况的歧视。","284. 《宪章》要求秘书长执行大会确立的工作人员管理条例，其结果是还要求秘书长执行大会决议所制定的人力资源管理政策。联合国行政法庭以前曾认为，该法庭“既非大会也非秘书长，因此没有资格以其判决代替关于人事问题的政策决定”。[21] 第65/251号决议重申了大会决议的法律权威，强调指出“新的内部司法系统的所有部分都必须符合《联合国宪章》以及大会核准的法律和规章框架”。","285. 然而，争议法庭认为，如果不采取某行动将导致违反人权准则如同工同酬原则，不能以秘书长有义务遵守大会决议为由而拒绝采取该行动。该裁决已获得上诉法庭确认。[22] 简言之，当争议法庭确定执行大会决议将导致不符合人权准则的结果时，则可因秘书长执行该决议而追究其法律和经济责任。","2. 国际公务员制度委员会","286. 国际公务员制度委员会是大会的附属机构，其章程由大会第3357(XXIX)号决议核准。委员会章程第6条明文禁止委员会接受参与共同制度的任何组织的指令，因此委员会独立于秘书长。该章程第25(3)条规定，委员会的决定“应由各组织从委员会确定的日期起执行”。","287. 2009年12月，国际公务员制度委员会决定将内罗毕的工作地点分类从“C”类改为“B”类。亚的斯亚贝巴的工作地点分类也从“C”类改为“B”类。这两项更改均于2011年1月1日生效。委员会的工作地点分类分“A”类到“E”类，表示生活和工作条件的困难度，其中“E”类为条件最困难的工作地点。由于内罗毕和亚的斯亚贝巴工作地点的重新分类，在两地工作的人员获得的艰苦条件津贴随之减少，而且每隔24个月而非每隔12个月才有权享受一次回籍假。这两个工作地点的工作人员均对秘书长执行委员会的决定提出异议。","288. 秘书长有义务落实委员会对内罗毕工作地点的重新分类，因为委员会章程第25(3)条和工作人员条例3.14要求秘书长“参考根据国家公务员制度委员会确立的工作地点分类确定的每个工作地点生活或工作的困难度”制定艰苦条件津贴数额。此外，联合国行政法庭还强调，委员会决定对秘书长有约束力。行政法庭第421号判决(Chatwani)裁定，“联合国秘书长或共同制度内其他组织的总干事均无权修订、更改或撤消委员会根据其章程通过的决定”。[23]","3. 联合国争议法庭管辖范围的说明","289. 争议法庭仍在审查对秘书长执行包括大会决议和国际公务员制度委员会决定在内的理事机构决定所提出的异议。值得注意的是，上诉法庭已驳回秘书长在一个案件中提出的采取工作人员所要求行动会违反大会一项关于预算问题的决议这一论点，认为预算因素“不能压倒公平待遇的要求”。[24]","290. 即使在争议法庭和上诉法庭裁决质疑秘书长执行大会决议和委员会决定的具体案件后，此类判决仍不一定能用于其他情况，因为这些理事机构的决定涵盖范围广大的、与人力资源管理相关的问题。此外争议法庭还强调，它认为上诉法庭所定规则仅在“符合普遍法律原则”时才适用。[25]","291. 因此，秘书长认为大会澄清其有关争议法庭管辖范围的意图也许是有益的。在秘书长采取行动执行大会和国际公务员制度委员会等理事机构决定的情况下，大会不妨审议强加财政责任和消耗本组织公共资金的做法是否合适。","292. 如果大会说明争议法庭的管辖范围不包括秘书长执行大会和委员会等理事机构的决定一事，则大会可考虑修正争议法庭规约第2.1(a)条，将提法改为“秘书长单方面作出或代表秘书长作出的、据称不符合任用条件或雇用合同的行政决定”。秘书长采取行动执行理事机构决定并非秘书长单方面作出的行政决定，因为他无权以违反理事机构决定的方式行事。","293. 秘书长建议大会修正联合国争议法庭规约第2.1(a)条，将提法改为“秘书长单方面作出或代表秘书长作出的、据称不符合任用条件或雇用合同的行政决定”。","五. 所需资源","294. 秘书长确定了为建立一个“独立、透明、专业化、资源充足和权力分散的”新系统在正式司法系统内需要加强的一些领域。非正式系统所需资源在联合国监察员的报告中另行说明。鉴于上述所有原因，除2012-2013两年期拟议方案预算(A/66/6)中请求的资源外，秘书长建议大会考虑以下列员额和非员额资源来加强正式司法系统：","(a) 关于管理评价股，鉴于上文第19和20段所述原因，秘书长建议大会再设立一个法律干事(P-3)员额以协助该股工作；","(b) 关于争议法庭及其书记官处，鉴于上文第42至44段所述原因，秘书长建议大会为该法庭再任命三名专职法官(日内瓦、内罗毕和纽约各一名)，将纽约书记官处的一个P-2法律干事员额改叙为P-3，并设立六个新员额(3个P-3、2个一般事务和1个一般事务(当地雇员))来协助新增专职法官的工作，自2012年1月1日起生效。上述职位最初由大会第63/253号决议批准，任期为自2009年7月1日起一年，然后由大会第65/251号决议延长至2011年12月31日，经费系运用由大会第60/283号决议授予秘书长并由第64/260号决议延长的有限预算酌处权提供。此项提议是为了使上述争议法庭现有的临时职位正规化；","(c) 关于争议法庭的非员额资源，鉴于上文第49至51段所述原因，秘书长建议大会核准通信费(25 000美元)和差旅费(155 000美元)；","(d) 关于上诉法庭书记官处，鉴于上文第71至78段所述原因，秘书长建议设立一个法律干事(P-4)以增强书记官处，自2012年1月1日起生效，并增加差旅费280 200美元，以利于该法庭每年可第三次开庭，并用于提高该法庭法官的差旅待遇；","(e) 关于工作人员法律援助办公室，鉴于上文第83至92段所述原因，秘书长建议设立四个员额(内罗毕一个P-4和一个一般事务、纽约一个P-4、日内瓦一个一般事务)以增强该办公室，自2012年1月1日起生效。秘书长还建议把第65/251号决议自2011年1月1日设立的、目前由维持和平行动支助账户提供经费至2011年1月1日的P-3职位续设至2012年12月31日。此外，秘书长还请求提供通信费(11 200美元)、差旅费(15 000美元)和用品费(9 000美元)；","(f) 关于内部司法办公室执行主任办公室，鉴于上文第101至108段所述原因，秘书长建议大会授权提供一般临时人员经费(130 000美元)，用作内部司法理事会外部人员的报酬，并用作替补请长期病假和产假工作人员的费用。此外，秘书长还建议大会核准差旅费(30 000美元)、订约承办事务费(37 500美元)和成套软件购买费(37 500美元)；","(g) 关于在争议法庭代表秘书长的秘书处部门，鉴于上文第115和116段所述原因，秘书长建议大会核准11个新员额(5个P-4、3个P-3、1个一般事务和2个一般事务(当地雇员))，自2012年1月1日起生效。这其中包括人力资源管理办公室五个员额(2个P-4和3个P-3)、联合国日内瓦办事处两个员额(1个P-4和1个一般事务)、联合国内罗毕办事处两个员额(1个P-4和1个一般事务(当地雇员))以及亚洲及太平洋经济社会委员会两个员额(1个P-4和1个一般事务(当地雇员))。鉴于上文第157至161段所述原因，秘书长建议大会核准差旅费(60 000美元)，用于执行外联任务和前往其他工作地点参加法庭听讯；","(h) 关于法律事务厅，鉴于上文第172至186段所述原因，秘书长建议在一般法律事务司设立三个员额(2个P-4和1个P-3)，自2012年1月1日起生效。","295. 因此，如果大会同意上述提议，则将按照根据大会第41/213和42/211号决议设立的应急基金的规定，考虑提供所需追加资源8 657 900美元(重计费用前)。在这方面，应记得大会第65/262号决议核准2012-2013两年期应急基金数额为4 050万美元。","296. 本报告所列的全部新员额拟于2012年1月1日起设立。行政和预算问题咨询委员会在关于2008-2009两年期拟议方案预算第一次报告(A/62/7)第20段中建议，凡是提出新的提议，均应说明员额的滞后影响。有鉴于此，大会不妨注意到，拟议的26个新员额在2014-2015两年期按全额费用计算的所需增加经费目前估计为3 356 400美元，包括第1款(通盘决策、领导和协调)下1 072 200美元、第8款(法律事务)下432 200美元、第19款(亚洲及太平洋经济和社会发展)下173 500美元、第29A款(主管管理事务副秘书长)下126 200美元、第29C款(人力资源管理办公室)下684 600美元、第29E款(行政，日内瓦)下234 500美元、第29G款(行政，内罗毕)下168 300美元以及第37款(工作人员薪金税)下464 900美元，最后一笔由收入第1款(工作人员薪金税收入)下的同等数额抵销。","六. 结论以及有待大会采取的行动","297. 秘书长认为，报告所载建议将为已经赢得工作人员和管理当局信任的新内部司法系统提供所需的额外力量。他请大会给予这些提议适当的考虑，并核准确保其落实工作所需的资源。","298. 因此，请大会：","(a) 核准在2012-2013年两年期方案预算内从2012年1月1日起设立26个新员额(10个P-4、8个P-3、4个一般事务(其他职等)和4个当地雇员)；","(b) 核准在2012-2013年两年期方案预算内从2012年1月1日起将1个P-2员额改叙为P-3员额；","(c) 在2012-2013年两年期方案预算内共批款8 657 900美元(重计费用前)，包括下列增加批款：第1款(通盘决策、领导和协调)下3 889 700美元；第8款(法律事务)下559 700美元；第19款(亚洲及太平洋经济和社会发展)下388 400美元；第29A款(主管管理事务副秘书长)下164 300美元；第29C款(人力资源管理办公室)下948 300美元；第29D款(中央支助事务厅)下832 700美元；第29E款(行政，日内瓦)下636 600美元；第29G款(行政，内罗毕)下577 200美元以及第37款(工作人员薪金税)下增加661 000美元，最后一笔由收入第1款(工作人员薪金税收入)下相应数额抵销。这些经费将从应急基金列支；","(d) 核准自2012年1月1日起将内罗毕一个P-3员额再续设一年，由维持和平行动支助账户预算供资，相关费用将在与2011年7月1日至2012年6月30日维持和平行动支助账户有关的执行情况报告中报告，并反映于2012年7月1日至2013年6月30日的拟议预算中。","附件一","为工作人员法律援助办公室供资的工作人员出资机制建议","工作人员法律援助办公室的工作人员出资机制：概念文件","一. 导言","1. 本概念文件根据大会第65/251号决议第40和41段的要求，介绍了由工作人员出资的各种机制，用以支持内部司法办公室的工作人员法律援助办公室的工作。大会要求提交基于法定缴款和自愿缴款两种模式的建议，本概念文件对此要求作了回应。","2. 本文件列出了法定缴款和自愿缴款方案的共同点。具体而言，大会将继续在考虑到秘书长拟议预算的基础上，确定工作人员法律援助办公室的工作人员配置表和其他财务需要。此外，秘书长还注意到，任何关于该办公室人员配置需求的决定都必须考虑到大会就办公室任务和职能所作的任何决定。根据第63/253号决议设立的办公室员额将继续由经常预算供资。拟议的工作人员出资机制将抵销根据秘书长的提议增强办公室目前工作人员配置的部分费用。最后一个共同点是，拟议的工作人员缴款，不论法定缴款还是自愿缴款，均将从每月工资中扣除。","3. 具体而言，关于法定缴款方案，值得注意的是，大会设立工作人员法律援助办公室是将其作为本组织内部司法系统的一部分，与其业务活动相关的费用构成本组织的费用。根据《联合国宪章》第十七条第二项，“本组织之经费应由会员国依照大会分配限额担负之”。该项的意图是要求会员国承担本组织的费用，这一点是该项规定的立法历史所明确显示的。[26]","4. 因此，要求工作人员部分承担《宪章》规定会员国承担的本组织经费会引起法律上的问题。如果引入以工作人员出资机制协助大会授权本组织进行的活动这种做法，将产生一种可能性，即未来本组织的其他“费用”可能被视为有利于工作人员，将通过向工作人员征税来全额承担或部分承担。","二. 为工作人员法律援助办公室供资的工作人员法定缴款机制","5. 工作人员为工作人员法律援助办公室供资机制有三种可能的法定缴款模式：(a) 普遍模式，即所有工作人员缴纳工资的一定百分比；(b) 仅向实际使用该办公室服务的工作人员收费的模式；(c) 用工作人员工会和协会所收会费的一定百分比为办公室活动供资的模式。以下论述这三种模式。","6. 截至2010年6月30日，秘书处和各基金及方案的工作人员包含约45 000名一般事务工作人员、约30 000名专业和外勤工作人员以及约1 525名司级及司级以上工作人员。这些人可使用内部司法系统(见A/65/350和CEB/2010/HLCM/ HR/24)。","A. 普遍法定缴款模式","7. 根据普遍法定缴款模式，将对每位工作人员收费。对工作人员的任何收费都有一项重要考虑，即各工作地点的薪金表，尤其是本地薪金表，有很大差异。因此，任何收费都需要反映薪金表的差异，以确保收费公平并与每位工作人员的实际工资比例相称。一种可能是收取每位可使用内部司法系统的工作人员工资的某个百分比(例如，001%)。另一种可能是收费额固定，但以确定的工作人员的职等、职级和工作地点为准。收费将从每月工资中扣除。","8. 收取的工作人员缴款将用以抵销根据大会第63/253号决议确立的工作人员法律援助办公室目前人员配置表(1个P-5、5个P-3、1个P-2和3个一般事务员额)以外员额的部分费用。","9. 此模式有几个好处。主要的好处是，由于工作人员人数众多，即便个人缴款数额很少，仍可收取很大一笔资金来为办公室供资。同样，普遍法定缴款机制将是最始终如一和稳定的收入来源。","10. 然而，法定缴款机制也有一些值得担心的问题。第一个问题是，一般而言，使用办公室服务的工作人员预计会占很小的百分比。目前，正在向正式系统投诉的工作人员不到1%。因此，约99%的工作人员将为不到1%工作人员所使用的服务支付部分费用。这种情况令人担心以普遍法定缴款机制广泛收费的做法是否公平。","11. 另一个担心的问题是，按照争议法庭判例，[27] 办公室如确定某案件在法律上站不住脚或在法庭胜诉的机会小到一定程度，则可拒绝提供援助。此判例符合普遍接受的原则，即法院人员不得在法庭上提出其真诚认为在法律上站不住脚的案件。此外，组织的资源不应浪费在几乎不可能或完全不可能取得有利结果的事项上。然而，如果对所有工作人员实行法定收费，则不论案件在法律上是否站得住脚或有无合理的成功把握，工作人员个人均可能感到有权让工作人员法律援助办公室代表其提出案件。因此会有一种风险：工作人员如果尽管付了费，却得不到服务，则可能提出申诉，甚至正式对该决定提出上诉，从而给本组织带来更多、可能重大的费用问题。","12. 此情况在法定缴款和自愿缴款机制下都可能出现，因为在理论上，不论法定缴款还是自愿缴款的工作人员，均可能辩称缴款使其有权获得服务。","13. 最后，如果规定工作人员要为大会设立的办公室所提供的服务缴款，工作人员可能认为此规定违反任用条件和服务条件，并对此提出上诉。如工作人员申诉成功，则本组织在后期阶段将被迫退还所有工作人员的缴款加利息，还可能要支付其他补偿金。","B. 对使用工作人员法律援助办公室服务者实行法定收费","14. 第二个可能的法定工作人员出资方案是，规定只有使用工作人员法律援助办公室服务的工作人员才须缴款。此模式可解决不使用办公室服务的工作人员被要求承担办公室供资费用的问题。","15. 如果同意此方案，则需要确定要求缴多少款。固定缴款等于为使用办公室的服务收费。也可考虑其他模式，例如要求申诉成功者捐出任何判定赔偿金的某个百分比。","16. 然而，由于使用办公室服务的工作人员数在工作人员总数中占很小的百分比(每年约有1 000名工作人员寻求办公室的服务)，对使用者个人的收费必然多于普遍法定缴款模式下设想的小额缴款。例如，日内瓦P-4员额的年费用为227 300美元。因此，为提供日内瓦工作人员法律援助办公室一个P-4员额的全部经费，对每名办公室使用者的平均收费将为227.30美元。如确定此机制仅应抵消办公室其他员额相关费用的某个百分比，则依员额数和应抵销百分比而定，固定收费可能更多，也可能更少。","17. 值得注意的是，以上说明普遍缴款模式时谈到的一种令人担心的情况也适用于此模式，即：如果办公室拒绝代表已支付法定缴款的工作人员，该工作人员可能要求继续对其提供法律服务并提出投诉，甚至提出上诉。不过减轻这种担心的一个方法是，视办公室向该工作人员提供服务的范围大小，向其收取的费用可多可少。例如，如办公室协助工作人员谈判与和解其案件，可向其收费300美元，但如办公室向其提供电话咨询服务，则仅收费50美元。","C. 对工作人员工会和协会所收会费实行法定收费","18. 第三个可能的法定缴款模式是，要求工作人员协会和工作人员工会捐出一部分向其缴纳的会费，用于支持工作人员法律援助办公室的工作。","19. 工作人员工会和协会会费的用途是增进和保障工作人员的权利和利益。因此，要求将所收的一部分会费捐给办公室相当于规定工作人员工会和协会自费为其所代表的工作人员提供某种形式的法律保险。","20. 对工会财政资源实行法定扣费这一做法所引起的担心，类似于对工作人员个人实行法定扣费的做法所引起的担心。","21. 目前，联合国工作人员工会和协会不得对所代表的工作人员实行法定会费收费。因此，各工会和协会在财政资源方面存在巨大差异。确定收费的可能方式有几种。一种是对每个工作人员工会或协会所收会费收取某个百分比。另一种是按工会所代表工作人员数收费。第三种是对所有工会和协会收取固定数额。前两种模式下，可收取和用于抵消办公室费用的资金数取决于几个因素(第一种模式下为所收会费数，第二个模式下为所代表工作人员数和向每人收取的会费数)。在第三种模式下，举例而言，如向每个工作人员工会/协会收费20 000美元(有14个工会)，则每年将净得280 000美元。然而担心的是，各个工会和协会，尤其是资金不足的工会和协会，可能抱怨实行收费会削弱其向会员提供基本服务的能力。","三. 为工作人员法律援助办公室供资的工作人员自愿缴款机制","22. 有两种可能的模式可用以设立基于自愿缴款的工作人员供资机制。一种制度是，自动扣减工作人员工资的固定百分比以协助工作人员法律援助办公室提供服务，但工作人员可选择退出该制度。第二种是允许工作人员选择缴纳工资的固定百分比这一方式。","23. 两种自愿缴款模式都有一个好处：缴款是经参加的工作人员同意(明示同意或默示同意)而作出的。但是，自愿缴款模式收取的资金数将取决于有多少工作人员决定缴款，因此如没有几个年度缴款周期的实际情况可作评估基准，就难以估计缴款数。","24. 在这两种模式下，均需为工作人员参加机制实行某种激励措施。一种鼓励参加的可能方式是办公室优先处理选择参加机制的工作人员的案件。如办公室在某一时间案件太多而无法一一有效处理，可拒绝向退出自愿出资机制的工作人员提供援助。","25. 另一个鼓励参加的方式是将工作人员法律援助办公室的服务设为两个级别。参加自愿工作人员出资机制的工作人员将可使用办公室的所有服务。不提供自愿缴款的工作人员只能使用该办公室的基本服务，即提供关于现行法律的简要法律指导/咨询，以及对工作人员为自己案件起草的任何文件或诉状给予有限审阅。在这方面，另一个鼓励参加自愿缴款机制的激励措施是在法定缴款机制下增加使用者付费概念，即：不选择加入或选择退出自愿机制的工作人员需为使用办公室的服务付费。","26. 如在法定缴款模式下一样，若办公室认为缴费工作人员的案件几乎无可能或完全无可能胜诉而拒绝接受该案件，可能会发生申诉和上诉。不过，减轻此类担心的一个方法是向工作人员明确宣布，办公室在决定是否提供法律援助时会考虑到其投诉理由是否站得住脚。","27. 此外，自愿机制的另一问题是，达到何种最低缴费限度才会提供增强型服务。例如，若工作人员可在希望获得办公室服务前一刻选择参加固定缴款模式，并可在获得这些服务后立即退出，则缴款收入会非常少。解决此问题的一个办法是限制工作人员改变参加/退出状态，例如限制为一年一次。","四. 结论","28. 上述所有模式均需进一步审议后才能实施。如上所述，实行法定缴款模式涉及到法律问题。","29. 此外，公平性和获得缴款收入两者间的利弊冲突也必须加以解决。法定缴款模式如被确定为可接受，更有可能获得较多缴款收入以抵消更多办公室资源的费用。然而，获得的缴款收入数也将取决于有多少个人或实体缴款，并取决于收取的数额或百分比，即使在法定缴款模式下也是如此。","30. “使用者付费”和自愿模式可能被视为比较公平，因为这些方式不会对不使用办公室服务或不认为值得为将来可能使用服务而缴款的人收取费用，哪怕是收取极少费用。这个问题之所以尤其突出，是因为99%的工作人员未曾使用且预计不会使用办公室服务。但是，比较难以预测任何自愿机制会获得多少缴款收入。在“使用者付费”模式下，可能产生的问题是如何确保缴款公平而充足，同时避免导致办公室服务的使用量过度减少。因此需要进一步审议，以在广泛提供办公室服务与获得缴款收入两者间达至恰当平衡。","五. 建议","31. 秘书长建议大会注意到本文说明的法定出资和混合出资机制建议，并建议大会指出其认为是否有一个模式以及哪一个模式适于作为秘书处拟定更详细建议以提交大会审议的基础。","附件二","关于编外人员申诉机制的提案","联合国与咨询人和个体订约人的合同快速仲裁程序规则概要：概念文件","一. 导言","1. 本概念文件[28] 提出通过在联合国贸易法委员会(贸易法委员会)《仲裁规则》中加入一些简化内容来制订快速仲裁程序的可能办法，用于解决联合国与某些类别的编外人员(即咨询人和个体订约人)之间的争议。秘书长关于联合国内部司法的报告(A/65/373和Corr.1，第171段)概括地提到了这种办法。本概念文件无意讨论大会第64/233号决议第9段提及的解决联合国与编外人员争议的可能办法，也无意针对不适用本概念文件所讨论程序的某些类别的编外人员，就其与联合国之间的争议提出解决方式(见大会第65/251号决议，第55段)。","2. 秘书长报告第171段提到的办法，针对的是在地方、国家或区域仲裁协会主持下处理数额在25 000美元以下诉求的仲裁。但是，该报告又做出结论，认为“对于数额在25 000美元或以下的诉求启动正式仲裁，即便是根据特别程序进行仲裁，对本组织而言不一定有效率和实效”(A/65/373和Corr.1，第172段)。因此，下文概述的快速程序未将财政上的限制作为先决条件。","3. 本概念文件中的程序既可用于专项仲裁，也可用于仲裁协会主持下的仲裁，只要相关协会同意按照这些程序来进行仲裁。","4. 在简化仲裁程序时，必须铭记，根据《联合国特权和豁免公约》第八条第二十九节的规定，联合国应规定适当办法，解决其订立的合同所发生的纠纷。因此，本概念文件载列的程序力图保留正当程序的基本特点。","5. 本概念文件载列的程序具有下列基本特点：","• 是一个两阶段进程，由一个非正式的争议解决阶段以及在非正式争议解决不成功时的快速仲裁程序组成","• 提交仲裁申请的时限不能被放弃","• 独任仲裁员","• 仲裁员选自本组织与个体订约人/咨询人同意的仲裁员名单(见下文第8段(d)项)","• 限定仲裁员的收费","• 消指定机构，由一个中立的实体行使指定机构的某些职能，例如选择/任命仲裁员以及就一方当事人对仲裁员提出的异议做出决定","中立实体可以是一个国际争议解决机构(在此情况下，本组织和申请人需要按各自的份额分担该机构的管理费)","• 只要有可能，均使用电子方式发送仲裁通知和其他函件","• 各方当事人提交文件时使用标准样板","• 简化书状和提交的其他文件并限制其数量","• 限制对书状和提交的文件的修正","• 证人以书面宣誓书的方式作证，除非仲裁员决定证人应口头作证(例如为了让对方当事人能对证人进行交叉质证)","• 仲裁员与各方当事人之间关于初步行政事宜和其他事项的会议和协商采用电话会议或视频会议方式进行","• 作为特例，一方当事人可以请求举行听讯，以便交叉质证，或者仲裁员在必要时也可以下令举行听讯，以解决事实或法律方面的实质性问题；此类听讯通常通过电话会议或视频会议进行，须限制范围，时间不得超过两天","• 多数情况下，仲裁员根据各方当事人的书面诉答状和提交的文件做出裁决(完全的书面审理程序)","• 仲裁员在规定的时限内，例如30天内，做出裁决","• 裁决支付的任何补偿仅限于弥补经济损失，并且设定上限","• 取决于针对本组织提起的按照拟议简化仲裁程序进行仲裁的数量，可能需要更多资源来为本组织辩护并尽可能降低其法律责任。","二. 框架","6. 一套新规则，称为《联合国咨询合同快速仲裁程序规则》(以下称为“《快速规则》”)，将以《贸易法委员会仲裁规则》为框架编制。《快速规则》将以《贸易法委员会仲裁规则》为基础，对其做出必要修改，以纳入上文提到的快速程序。本概念文件将介绍这些修改的内容，但不一定确定措辞或位置。本概念文件还将指明《贸易法委员会仲裁规则》中有哪些条款与拟议程序有关或受其影响。应注意到，除了本概念文件中载列的各要点之外，还需要对《贸易法委员会仲裁规则》做许多其他的相应修改(例如，为适应仅有一名仲裁员所需的修改)。","争议解决程序概要","7. 《快速规则》规定一个两阶段进程，由一个非正式争议解决阶段和一个快速仲裁程序组成。在非正式争议解决阶段不成功的情况下，各方当事人将进入正式的争议解决阶段，即快速仲裁程序，其特点将在以下各节中讨论。","三． 《快速规则》的范围(《贸易法委员会仲裁规则》所涉条款：第1条)","8. 《快速规则》适用于联合国使用咨询人和个体订约人服务合同雇用咨询人和其他人(见ST/AI/1999/7/Amend.1，附件)或者联合国各基金和方案使用类似合同格式与咨询人和个体订约人签订合同(例如，见A/62/748和Corr.1，第13段；以及A/65/373和Corr.1，附件四，第3段)的情形。上述类别的人员在本概念文件中合称为“个体订约人”。","评论","(a) 按这种办法，《快速规则》适用于依照咨询人和个体订约人服务合同或类似合同雇用的所有人。例如，这包括持有此类合同的特派专家和工人(见A/62/748和Corr.1，第33和40段；以及A/62/782，第31-35和37-39段)，但不包括联合国志愿人员(见A/62/748和Corr.1，第23和24段；以及A/62/782，第22和23段)、秘书处官员以外的其他官员(见A/62/748和Corr.1，第29-31段；以及A/62/782，第27-29段)和未持有此类合同的其他人。","(b) 与个体订约人签订的合同中的争议解决条款将予更改，规定未能在非正式争议解决阶段友好解决的争议应按照《快速规则》提交仲裁。","(c) 《快速规则》将规定其所适用的具体类型的合同诉求，例如声称对方违约或不当终止合同的诉求。此外，《快速规则》还明确地将某些类别的争议排除在属事管辖范围之外，例如由应具有工作人员地位的订约人提出的诉求等。就《工作人员细则》附录D的规定而言，仲裁员的职责仅限于核实供申请人确定其是否有权获得相同赔偿的程序就是《联合国工作人员细则》附录D规定的程序。此外，《快速规则》还确定提出仲裁申请的时限，并规定该时限不得被放弃。","(d) 与《贸易法委员会仲裁规则》不同，个体订约人或咨询人不一定熟悉或能即时查阅《快速规则》，因此，应当在每份合同后面附上《快速规则》(包括个体订约人或咨询人可以索要现有仲裁员名单的实体的名称)，或者应当在签署合同之前将该规则提供给每位个体订约人或咨询人。个体订约人或咨询人必须签署一份确认函，表明㈠ 本组织已向其提供了《快速规则》，㈡ 《快速规则》构成合同不可分割的组成部分，㈢ 其接受仲裁员名单。","四. 通知和其他函件(《贸易法委员会仲裁规则》所涉条款：第2条)","9. 各方当事人和仲裁员应通过电子方式按《快速规则》发送通知、函件或提议，除非这种发送方式因技术原因而不可获得或不可能实现。[评论：例如，这可能包括电子传送方式无法获得或出现故障，书状或提交的文件过于庞大等。]","五. 书状和提交的其他文件(《贸易法委员会仲裁规则》所涉条款：第3、4、20、21、22、23⑵、24和25条)","初步评论","根据以下规定，被申请人在仲裁员得到指定之前无须提交答辩书。这样规定的理由是：被申请人可能希望提出对仲裁员管辖权的抗辩(例如，相关争议不能根据申请人申明的仲裁条款提交仲裁，或者由于其他某种原因，仲裁员没有管辖权)；或可能希望以仲裁申请明显缺乏法律依据为由，请求提前驳回该申请。在仲裁员就管辖权问题或被申请人针对实质依据提出的质疑进行裁决之前，被申请人无须提交完整的答辩书及附带文件。","10. 申请人通过提交仲裁请求和仲裁申请书的方式启动仲裁程序。该书状载列的信息应类似于《贸易法委员会仲裁规则》所规定的仲裁通知和仲裁申请书的内容。申请人应在其中说明其诉求并概述诉求的依据和支持性论点。","11. 收到申请人的仲裁请求和仲裁申请书之后的60日内，被申请人必须发出对仲裁请求的答复。答复应包含对管辖权的抗辩并说明其他事项，例如每位被申请人的身份以及对申请人仲裁请求中所载信息的答复。各方当事人提交文件时均应使用标准样板。","12. 被申请人如果提出对管辖权的抗辩，则应在对仲裁请求的答复中载明其希望为支持该抗辩而陈述的全部事实和辩论，并尽可能在答复中附带作为依据的全部文件或注明这些文件的出处。","13. 被申请人如果以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则应在对仲裁请求的答复中载明其希望为支持该答辩而陈述的全部事实和辩论，并尽可能在答复中附带作为依据的全部文件或注明这些文件的出处。","14. 在指定仲裁员之后：","(a) 如果被申请人提出对管辖权的抗辩，则仲裁员应在与各方当事人协商之后，设定申请人针对该抗辩作出答复的时限。然后，仲裁员就被申请人对管辖权的抗辩进行裁决[评论：不举行听讯，见下文第十三节]，仲裁员如果裁定有管辖权，则应设定被申请人提交答辩书的时限；","(b) 如果被申请人以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则仲裁员应在与各方当事人协商之后，设定申请人针对该答辩作出答复的时限。然后，仲裁员就被申请人以仲裁申请明显缺乏法律依据为由提出的提前驳回该申请的答辩进行裁决[评论：不举行听讯，见下文第十三节]，仲裁员如果仍然维持仲裁申请，则应设定被申请人提交答辩书的时限；","(c) 如果被申请人没有提出对管辖权的抗辩，也没有以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则仲裁员应设定被申请人提交答辩书的时限。","15. 答辩书载列的信息应类似于《贸易法委员会仲裁规则》为答辩书规定的内容。被申请人应在答辩书中回应仲裁申请书中的具体内容，可以提出反诉或抵销请求，并且还可以提出对管辖权的抗辩，除非之前已经提出过。答辩书应当尽可能附带被申请人作为依据的全部文件或其他证据，或者注明这些文件的出处。","六. 延长或缩短时限(《贸易法委员会仲裁规则》所涉条款：第17⑵条)","16. 如果各方当事人同意或仲裁员在请各方当事人发表意见之后做出决定，《快速规则》确立的或各方当事人商定的时限可在任何时候予以延长或缩短。","七. 书状的修正(《贸易法委员会仲裁规则》所涉条款：第22条)","17. 仲裁员被选定并接受任命之后，一方当事人不得修正其书状，除非取得对方当事人的同意或者仲裁员的允许。向仲裁员提交的修正书状的请求应附带拟修正的文本，并说明修正的原因和理由。为决定是否允许修正书状，仲裁员应考虑因允许修正而造成的仲裁程序的延迟、给对方当事人造成的不利以及其他情形是否大于其带来的益处。如允许修正书状，仲裁员应设定对方当事人就修正做出答复的截止时间。如果书状被修正，对方当事人可以仅针对修正的内容做出答复。","八. 补充提交的文件(《贸易法委员会仲裁规则》所涉条款：第24条)","18. 与各方当事人协商之后，仲裁员应设定每一方当事人可以提交其他事实、法律辩论或文件的截止时间。上述材料应以书面形式提交。截止时间过后，不得再允许进一步提交任何材料。尽管有上述规定，不得允许一方当事人在补充提交文件时陈述其在提交书状或补充提交文件时已经或应当知道或者能够获得的事实或文件。","九. 披露(《贸易法委员会仲裁规则》所涉条款：第27⑶条)","19. 仲裁员可以应一方当事人的请求或自己主动下令任何一方当事人在任何时候出示证据或要求任何人披露或提供仲裁员认为公平、快速了结仲裁程序所需的文件或信息。但是，仲裁员不得命令任何人出示或披露保密或受特权保护的证据、文件或信息。","20. 一方当事人如果希望提交由对方当事人或任何其他实体持有的非特权或不保密证据，可以请求仲裁员命令持有人出示证据。","21. 如果出于安全或其他特殊情况的需要，仲裁员可应任何一方当事人的请求，采取措施为证据保密。","评论","这些规定根据《联合国争议法庭程序规则》第18条做出。","十. 证人证词(《贸易法委员会仲裁规则》所涉条款：第27⑵条)","22. 任何证人(包括作为申请人或被申请人的任何个人)的陈述或证词均应由证人以书面宣誓书的形式做出，应予公证或以其他方式予以法律认证，除非仲裁员决定出于公正的需要，应在听讯时作证。","评论","见下文第十三节关于听讯的规定。除某些例外情况之外，听讯将采取电话会议或视频会议方式。证人的书面陈述应作为一方当事人的书状或补充文件提交(见上文第八节)。","十一. 指定机构(《贸易法委员会仲裁规则》所涉条款：第6条)","23. 不设指定机构。","24. 但是，仍有必要保留指定机构的某些职能，例如选择或指定仲裁员、对仲裁员提出异议等相关职能。这些职能可以由一个中立的实体履行。","25. 中立实体可以是一个国际争议解决机构，通过竞争性征聘方式选定。","26. 由一个国际争议解决机构担任中立实体的好处如下：(a) 这样的机构能提供管理仲裁程序各方面的现有专长；(b) 通过竞争性征聘方式选择这样的机构，能体现存在争议的合同的商业性质；(c) 由一个外部机构来管理仲裁可以确保中立实体与本组织无关，避免产生偏袒的看法。但是，申请人和被申请人需要按各自的份额承担该机构收取的管理费。","十二. 仲裁员(《贸易法委员会仲裁规则》所涉条款：第7至15条)","27. 仲裁员人数和指定(《贸易法委员会仲裁规则》所涉条款：第7至第10条)：","(a) 只有一名独任仲裁员；","(b) 上文第十一节提到的中立实体将编制并维持一份可能担任仲裁员的人员名单；","(c) 列入名单的一项条件是，要求仲裁员签署文件确认其同意，如被指定担任一个案件的仲裁员，则依照《快速规则》进行仲裁，并且接受对仲裁员费所设的上限(见下文第十七节)；","(d) 仲裁员的指定：上文第十一节提到的中立实体将从上述可能担任仲裁员的人员名单中选择一名仲裁员。为了让这个过程更具有可预测性，将采用一个清单程序，即各方当事人将从一个载有几名候选人的清单中挑选其最优先人选，由中立实体保密地分别通知每位人选。","28. 对仲裁员的异议(《贸易法委员会仲裁规则》所涉条款：第11至15条)：《快速规则》将保留《贸易法委员会仲裁规则》关于对仲裁员的异议的条款，但会规定，如果各方当事人不能就此异议达成一致，或者仲裁员不自愿辞职，则上文第十一节所述的中立实体将就此异议做出决定。各方当事人就某项异议达成一致意见或仲裁员决定辞职，都具有决定性作用，将自动启动新的仲裁员遴选程序。","十三. 仲裁程序(《贸易法委员会仲裁规则》所涉条款：第17、27⑵、28、29和31条)","29. 程序应以各方当事人的书状和提交的文件为基础展开，但下文规定的情况除外。","30. 在审理案情实质之前，仲裁员与各方当事人之间关于行政和其他事项的所有会议和协商一般都通过电子邮件或电话会议方式进行。","31. 关于对管辖权的抗辩或以仲裁申请明显缺乏法律依据为由提出的提前驳回申请的抗辩，将不举行听讯。仲裁员应根据各方当事人提交的书面文件就这些抗辩做出决定。","32. 关于案情实质，将不以听讯方式呈递证据、证词或口头辩论，除非：(a) 一方当事人请求举行听讯，以便对证人进行交叉质证，或者(b) 仲裁员决定，有些实质性的事实或法律问题只能通过听讯才能得到公平公正的解决。听讯仅限于对证人进行交叉质证或审理事实或法律问题。听讯应采用电话会议或视频会议的方式，除非仲裁员在特殊情况下决定，某一事实问题只能通过亲自出席听讯才能解决。任何此类听讯均不得超过两天。","33. 《贸易法委员会仲裁规则》第29条(规定仲裁庭可以指定自己的独立专家)将予删除。","十四. 适用法律(《贸易法委员会仲裁规则》所涉条款：第35⑴条)","34. 《快速规则》将规定，除非各方当事人另行商定，否则仲裁员将根据包括合同述及的一般性条款和条件在内的明示的合同条款做出决定。联合国工作人员条例和细则以及国内法均不适用于相关争议。","十五. 裁决(《贸易法委员会仲裁规则》所涉条款：第33和34条)","35. 仲裁员无权裁决支付惩罚性赔偿，也无权作为友好调解人或根据公正和善良的原则做出决定。此外，除非合同中另有明确约定，仲裁员无权裁决支付高于当时实行的伦敦银行同业拆放利率的利息，并且任何此种利息应只是单利。各方当事人应受此种仲裁所做裁决的约束，将其作为对任何此等争议、纠纷或诉求的终局裁决。","评论","这些规定来自《联合国合同总则》中的仲裁条款。","36. 仲裁员应在仲裁程序结束后的30日内做出裁决。仅应针对经济损失裁决给予补偿，并且设定上限[待定]。","十六. 费用(《贸易法委员会仲裁规则》所涉条款：第40、41和43条)","37. 仲裁员费：《快速规则》将限定仲裁员费。对仲裁员费的限定应载于《快速规则》以及作为将仲裁员列入名单的前提条件而由其签署的文件中(见上文第十二节，第27(c)段)。","38. 费用的确定和分配：无论案件结果如何，每一方当事人都应承担其自身的费用，各方当事人应平均分担仲裁员的费用。 但是，在特殊情况下，仲裁员也可以决定，出于公正和公平的需要，采取与此不同的方式来分摊各方当事人的费用以及仲裁员的成本和费用。","十七. 保密(《贸易法委员会仲裁规则》所涉条款：第28(3)和34(5)条)","39. 整个仲裁程序，包括所有的通知、函件、书状、文件、提交的材料、听讯和裁决，均应保密，除非各方当事人以书面方式另行商定。但是，联合国或其基金或方案可以按其理事机构的要求，将仲裁程序的相关信息告知其理事机构。","其他事项","特权和豁免","40. 与《贸易法委员会仲裁规则》不同，《快速规则》是专门针对联合国仲裁案件制订的，因此，在该规则中载列特权和豁免条款是可取的：","“[使用《规则》的全名]所载列或与之有关的任何内容，均不得以不符合联合国(包括其附属机构)的特权和豁免的方式加以解释或适用，也不得被视为对此等特权和豁免的放弃。为避免产生疑问，根据[使用《规则》的全名]进行的仲裁不应遵从任何当地法律，凡提及‘仲裁地点’之处，均不得被视为或被解释为放弃此等特权和豁免或联合国同意接受任何国家的管辖。”","附件三","管理评价股、联合国争议法庭和联合国上诉法庭裁定的赔偿","A. 管理评价股裁定支付的赔偿金(2009年7月1日至2011年5月31日)","已支付的赔偿金明细表","(2009年7月1日至2011年5月31日)","决策人所属部门\t赔偿金额\t工作人员职等\t赔偿原因 \n联合国日内瓦办事处\t500.00美元\tP-4\t未将甄选进程的结果通知工作人员\n联合国日内瓦办事处\t3个月净基薪\tP-3\t违反15天规则\n联合国日内瓦办事处\t1个月净基薪(7040.50瑞士法郎)\tG-5\t违反15天规则\n人道主义事务协调厅——日内瓦\t2 127.00美元\tP-4\t偿还被收回的回籍假(包干费用)\n人道主义事务协调厅——日内瓦\t3个月净基薪(17 680美元)\tP-4\t违反15天规则\n 外勤支助部 3个月净基薪 FS-4 征聘工作处理不当\n外勤支助部——联合国科索沃特派团\t7个月净基薪\tG-5\t裁撤员额\n外勤支助部——联合国科索沃特派团\t5 154.76美元\tFS-6\t偿还被收回的回籍假(包干费用)\n外勤支助部——联合国格鲁吉亚观察团\t3个月净基薪\tFS-4\t不公平待遇\n外勤支助部——联合国科索沃特派团\t2个月净基薪\tP-3\t缺乏正当程序\n联合国内罗毕办事处\t3个月净基薪\tG-4\t对续签合同的合理预期\n联合国环境规划署\t3个月净基薪\tD-1\t过度拖延\n联合国环境规划署\t3个月净基薪\tG-7\t过度拖延\n联合国环境规划署\t3个月净基薪\tP-5\t过度拖延\n管理事务部\t3个月净基薪\tP-3\t收回已被接受的任命\n大会和会议管理部\t5 473.09美元\tG-7\t甄选进程处理不当\n大会和会议管理部\t12891.00美元\tG-5\t甄选进程处理不当\n内部监督事务厅(维也纳)\t1 044.89美元\tP-3\t未支付特别职位津贴","B. 联合国争议法庭和联合国上诉法庭裁定支付的赔偿金 (2009年7月1日至2011年5月31日)","[TABLE]","注：“不适用”指在联合国争议法庭判决后没有采取行动，或指对判决仍在上诉中。","联合国上诉法庭判决书编号^(a)\t申请人姓\t实体\t上诉方\t赔偿\t付款净额(美元)\t日期 \n2010-UNAT-021\tAsaad\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t赔偿相当于自2003年7月1日至2004年1月20日期间8级和14级之间的薪金差额，赔偿相当于14级的1个月薪金。此外，或者复职，或者支付6个月净基薪\t9000.00美元\t不适用\n2010-UNAT-022\tAbuHamda\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t返还申请人因降职造成的薪金损失\t7600.00美元\t不适用\n2010-UNAT-025\tDoleh\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t复职或支付2年净基薪\t19000.00美元\t不适用\n2010-UNAT-030\tTabari\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t追加支付特别职业津贴\t22000.00美元\t不适用\n2010-UNAT-087\tLiyanarachchige\t联合国科特迪瓦行动/维持和平行动部\t推翻第UNDT/2010/041号判决\t12个月离职时净基薪\t47440.00美元\t2011年3月7日","^(a) 联合国上诉法庭就联合国争议法庭未审理或未裁定支付赔偿金的案件所作的裁定支付赔偿金的判决。","C. 联合国争议法庭裁定支付赔偿金等于或高于六个月净基薪的判决 (2009年7月1日至2011年5月31日)","判决书编号\t申请人\t书记官处\t摘要简述\t实体\t撤销行政决定或具体履行的命令\t赔偿的命令\t以美元支付的总金额\t截至2011年5月31日，在上诉程序中维持或推翻原判 \nUNDT/2010/070\tFarraj\t日内瓦\t争议法庭认定，终止申请人限期任用的争议决定不符合任用条件\t联合国开发计划署\t撤销有争议的决定(作为替代办法，支付45000美元)\t不适用\t45000美元\t不适用\nUNDT/2010/106\tEid\t日内瓦\t争议法庭认定，行政当局应当从申请人的解雇生效之日开始，向申请人支付解雇偿金\t联合国秘书处(联合国驻黎巴嫩临时部队)\t不适用\t29991.23美元和9552660黎巴嫩镑(解雇偿金和相关的应享待遇)\t不适用\t不适用\nUNDT/2010/120\tOstensson\t日内瓦\t争议法庭认定，甄选过程存在严重的程序违规行为，侵犯了申请人为竞聘D-1职位而得到全面和公平考虑的权利\t联合国贸易和发展会议\t撤销有争议的决定(作为替代办法，支付4900美元)\t48000美元(精神痛苦，对专业声誉的损害)\t52900美元\t不适用UNDT/2010/122\tZerezghi\t日内瓦\t争议法庭认定，采取开除的纪律处分措施与已认定的不当行为不匹配\t联合国秘书处(科索沃特派团)\t(1)追溯性地复职(作为替代办法，支付8个月净基薪)；(2)\t60000美元(精神损害)\t99936.18美元\t不适用 \n 书面诉斥申请人；(3)从申请人档案中取出与开除有关的材料 \nUNDT/2010/128\tIkpa\t日内瓦\t争议法庭认定，离职不是合法的纪律处分措施\t联合国日内瓦办事处\t以支付6周净基薪代替通知，减去已经得到通知的1周\t1年净基薪，减去已经支付的金额\t59592美元\t不适用\nUNDT/2010/129\tValleFischer\t日内瓦\t争议法庭认定，离职不是合法的纪律处分措施\t联合国日内瓦办事处\t以支付6周净基薪代替通知，减去已经得到通知的1周\t1年净基薪，减去已经支付的金额\t54697美元\t不适用UNDT/2010/130\t申请人\t日内瓦\t争议法庭认定，终止任用申请人并予以斥责的决定侵犯了申请人的权利\t前南斯拉夫问题国际刑事法庭\t撤销斥责\t(1)在之前已经支付的8个月净基薪之外，额外支付3个月净基薪(非法解雇造成的损害)；(2)\t50263.50美元\t不适用 \n 3个月净基薪(非法斥责) UNDT/2010/133\tEldam\t日内瓦\t争议法庭认定，因为业绩不佳而不续签合同并予以斥责的决定有瑕疵且不适当\t联合国秘书处(联合国格鲁吉亚观察团)\t(1)撤销不继续任用的决定(作为替代办法，支付3个月净基薪)；(2)\t3个月净基薪(精神损害)\t26204.40美元\t不适用 \n 收回斥责 \nUNDT/2009/088\tNogueira\t内罗毕\t争议法庭认定，以业绩为由不予继续任用的决定在程序上有缺陷，不能成立\t联合国内罗毕办事处/联合国环境规划署\t不适用\t24个月的净基薪\t210794美元\t不适用\nUNDT/2010/002\tXu\t内罗毕\t争议法庭认为，不选择申请人担任P-4职等职位的决定不合法\t联合国秘书处\t不适用\t6个月净基薪(申请人遭受的伤害)\t不适用\t上诉法庭在Xu案2010-UNAT-053号判决中撤销原判并发回争议法庭重审UNDT/2010/053\tMmata\t内罗毕\t争议法庭认定，严重不当行为的指控没有充分依据，离职的处分过重\t联合国儿童基金会\t撤销有争议的决定并予以复职\t(1)从离职之日起损失的收入；(2)2年净基薪\t222453.57美元\t按基本利率计算赔偿金利息(见Mmata案2010- \n UNAT-092号判决书)\nUNDT/2010/056\tMasri\t内罗毕\t争议法庭认定，立即开除的纪律处分措施过重\t联合国秘书处(联合国组织刚果民主共和国特派团)\t(1)复职，并支付损失的收入(作为替代办法，支付2年净基薪)；(2)降职4级\t不适用\t不适用\t上诉法庭在Masri案2010-UNAT-098号判决书中推翻原判UNDT/2010/057\tIanelli\t内罗毕\t争议法庭认定，申请人有权取得给予国际征聘工作人员的派任津贴和其他应享待遇\t联合国项目事务厅\t不适用\t支付适用的派任和搬迁津贴，加上适当利息\t51395.35美元\t上诉法庭修改了关于支付利息的命令(见2010- \n UNAT-093号判决书)\nUNDT/2010/061\tSanwidi\t内罗毕\t在Sanwidi案UNDT/2010/036号判决之后，争议法庭做出关于赔偿金的判决，认为立即开除的决定过重\t联合国秘书处(联合国组织刚果民主共和国特派团)\t(1)复职(作为替代办法，支付2年净基薪)；(2)书面斥责\t支付从立即开除之日到复职之日损失的收入，减去每月2600美元\t不适用\t上诉法庭在Sanwidi案2011-UNAT-104号判决书中撤销争议法庭的判决 \nUNDT/2010/097\tLutta\t内罗毕\t在Lutta案UNDT/2010/052号判决之后，争议法庭做出关于赔偿金的判决。法庭认定，除其他外，对申请人进行的调查和采取的其他行动在程序上有瑕疵，并且不适当\t联合国秘书处(联合国科特迪瓦行动)\t不适用\t(1)3个月净基薪(丧失职业提示机会)；(2)4760美元(旅行费用)；(3)6个月净基薪(精神损害)\t46339.86美元\t上诉法庭在Lutta案2011-UNAT-117号判决书中维持原判\nUNDT/2010/118\tCohen\t内罗毕\t申请人对立即开除的决定提出异议。争议法庭认定，申请人的行为不构成不当行为，其正当程序权受到侵犯\t联合国秘书处(联合国组织刚果民主共和国特派团)\t撤销有争议的决定，申请人复职(作为替代办法，支付2年净基薪)\t(1)支付自开除之日至判决之日的薪金和应享待遇；(2)2个月净基薪(侵害正当程序权)\t101624美元\t不适用\nUNDT/2010/119\tGaskins\t内罗毕\t申请人对终止其任用的决定提出异议。争议法庭认定，申请人的雇用合同遭到违约，导致其自身形象和名誉受损\t联合国开发计划署\t不适用\t6个月净基薪(侵犯正当程序权，侮辱、痛苦和名誉损害)\t40420.98美元\t不适用\nUNDT/2010/124\tFrechon\t内罗毕\t争议法庭认定，申请人因为医疗原因被不当解雇\t卢旺达问题国际刑事法庭\t撤销有争议的解雇申请人的决定，复职(作为替代办法，支付2年净基薪)\t(1)支付从解雇之日至复职之日损失的收入；(2)支付2007年3月至2007年7月期间的应享待遇\t不适用\t不适用\nUNDT/2010/153\tVerschuur\t内罗毕\t争议法庭认定，有人不当干预甄选过程，没有对申请人竞聘P-5职位给予充分、公平的考虑\t联合国人类住区规划署\t不适用\t6个月净基薪(不利于职业发展)\t不适用\t不适用\nUNDT/2010/154\tContreras\t内罗毕\t争议法庭认定，有人不当干预甄选过程，没有对申请人竞聘有关职位给予充分、公平的考虑\t联合国人类住区规划署\t不适用\t(1)6个月净基薪(不利于职业发展)；(2)1美元的象征性数额(精神伤害)\t不适用\t不适用\nUNDT/2010/173\tParkes\t内罗毕\t争议法庭认定，立即开除的有争议决定过重\t联合国秘书处(联合国组织刚果民主共和国特派团)\t撤销该决定(作为替代办法，支付相当于解雇补助金的赔偿金)\t不适用\t57503.39美元\t不适用UNDT/2010/175\tBekele\t内罗毕\t申请人对要求其离职的决定以及几项相关决定提出异议。争议法庭认定，申请人的权利受到侵犯。\t非洲经济委员会\t不适用\t(1)支付从2007年11月至2009年3月的薪金；(2)\t不适用\t不适用 \n 6个月净基薪(侵害正当程序权) \nUNDT/2010/185\tM'Bra\t内罗毕\t争议法庭认定，立即开除的决定不合法\t联合国秘书处(联合国组织刚果民主共和国特派团)\t复职(作为替代办法，支付2年净基薪)\t(1)支付自立即开除之日至判决之日的薪金和应享待遇；(2)2个月净基薪(侵害正当程序权)\t377257.92美元\t不适用\nUNDT/2010/197\tBowen\t内罗毕\t争议法庭认定，因业绩欠佳而解雇的决定不合法\t联合国开发计划署\t撤销有争议的决定\t(1)3个月净基薪和福利，减去为代替通知而支付的金额；(2)2年净基薪\t不适用\t不适用\nUNDT/2010/214\tKamunyi\t内罗毕\t争议法庭认定，让申请人暂时离职，安排其休全薪特别假，以及对申请人作出斥责，这些有争议的决定不合法\t联合国内罗毕办事处\t撤销3项非法决定(非法中止职务、安排一年八个月的全薪特别假以及斥责)\t2年6个月的净基薪(精神和身体伤害，名誉损害)\t不适用\t不适用\nUNDT/2011/017\tHarding\t内罗毕\t申请人对立即开除的决定提出异议。鉴于答辩人承认负有责任，该案仅涉及支付2年净基薪的赔偿金额是否适当的问题\t联合国难民事务高级专员办事处\t撤销立即开除的决定(作为替代办法，支付2年净基薪)\t(1)6个月净基薪(侵害正当程序权)；(2)4个月的特别职位津贴；(3)6个月净基薪(精神痛苦和侮辱)；(4)支付自2005年6月至2010年12月的G-6职等薪金和应享待遇\t不适用\t已支付特别职位津贴以及利息。其他各项有待上诉。\nUNDT/2011/060\tFinniss\t内罗毕\t争议法庭认定，在P-5甄选工作中，申请人的权利受到侵犯。\t联合国秘书处(内部监督事务厅)\t不适用\t(1)18个月净基薪(在为第一个职位进行甄选时，没有适当考虑申请人)；(2)6个月净基薪(在为第二个职位进行甄选时，没有适当考虑申请人)\t不适用\t不适用\nUNDT/2011/067\tBorhom\t内罗毕\t争议法庭认定，立即开除的决定不合法\t联合国难民事务高级专员办事处\t撤销立即开除的决定，复职(作为替代办法，支付2年净基薪)\t(1)6个月净基薪(精神损害)；(2)6个月净基薪(侵犯正当程序权)\t27660美元\t不适用\nUNDT/2011/092\tXu\t内罗毕\t争议法庭认定，甄选程序存在程序违规行为，并且，没有对申请人竞聘P-4职位给予充分、公平的考虑\t联合国秘书处(大会和会议管理部)\t不适用\t(1)2个月净基薪(违反程序)；(2)4个月净基薪(未给予充分、公平考虑)；(3)500美元(未将不予选用的结果通知申请人)\t不适用\t不适用UNDT/2010/026\tKasyanov\t纽约\t争议法庭认定，没有依照适用规则审议申请人竞聘P-4空缺的申请\t联合国秘书处(大会和会议管理部)\t根据记录，已经进行平行调动(作为替代办法，支付20000美元)\t59932美元(实际经济损失，侵害权利，晋升的可能性推迟、精神痛苦)\t13969.83美元(已经实际支付2个月薪金)\t将裁定的赔偿金修改为2个月净基薪(Kasyanov案2010- \n UNAT-076号判决书)\nUNDT/2010/040及第57号令(纽约/2010)\tKoh\t纽约\t在Koh案UNDT/2009/078号判决之后，争议法庭做出关于赔偿的判决和命令。争议法庭认定，本组织没有协助申请人找到合适的工作，从而违反了与申请人的雇用合同\t联合国开发计划署\t不适用\t(1)2000美元(丧失候选权)；(2)107107.60美元(经济赔偿)\t2000美元和107107.60美元\t不适用\nUNDT/2010/055\tAbbasi\t纽约\t争议法庭认定，甄选程序存在歧视，侵害了申请人的权利\t联合国儿童基金会\t不适用\t(1)12个月净基薪(失去得到任命的机会，职业发展损失)；(2)3000美元(精神痛苦)\t不适用\t上诉法庭在Abbasi案2011-UNAT-112号判决书中推翻原判\nUNDT/2010/068\tChen\t纽约\t争议法庭认定，不将申请人的职位从P-3职等改叙为P-4职等的决定违反了《工作人员条例》和同值工作同等报酬的原则。\t联合国秘书处(大会和会议管理部)\t不适用\t(1)6个月净基薪(非物质损害：挫折、侮辱和拖延)；(2)从2006年8月至退休之日P-3职等与P-4职等之间的薪金差额\t36256.94美元\t上诉法庭在Chen案2011-UNAT-107号判决书中维持原判\nUNDT/2010/117\tBertucci\t纽约\t在Bertucci案UNDT/2010/080号判决之后，争议法庭做出关于赔偿的判决。法庭认定，不任命申请人担任助理秘书长的决定侵害了其权利\t联合国秘书处(经济和社会事务部)\t不适用\t655000美元(经济和非经济损害)\t不适用\t上诉法庭在Bertucci案2011-UNAT-121号判决中撤销原判并发回争议法庭重审\nUNDT/2010/146\tBeaudry\t纽约\t在Beaudry案UNDT/2010/039号判决之后，争议法庭做出关于赔偿的判决。法庭认定，对申请人的雇用合同不予续期的决定不合法\t联合国秘书处(联合国海地稳定特派团)\t不适用\t112082美元(实际经济损失、痛苦和违反程序)\t不适用\t上诉法庭在Beaudry案2010-UNAT-085号判决中予以取消\nUNDT/2010/156\tShkurtaj\t纽约\t除其他外，申请人还针对关于不执行道德操守办公室所建议的为侵犯申请人权利而向其支付赔偿金的决定提出异议。争议法庭在部分事项上支持申请人，认定在申请人申诉的某些事项上，其权利受到侵犯。\t联合国开发计划署\t不适用\t(1)14个月净基薪(违反正当程序，职业和名誉遭受损害，精神痛苦)；(2)5000美元(在对待道德操守办公室的建议方面存在程序性延误)\t不适用\t不适用\nUNDT/2010/200\tAlauddin\t纽约\t在Alauddin案UNDT/2010/114号判决之后，争议法庭做出关于赔偿的判决。法庭认定，本组织对申请人的雇用合同不予续期，侵害了申请人的权利\t联合国开发计划署\t不适用\t(1)11个月净基薪，包括应享待遇，减去申请人在同一期间内的收入(实际经济损失)；(2)30000美元(精神伤害)\t不适用\t不适用\nUNDT/2011/012\tTolstopiatov\t纽约\t在Tolstopiatov案UNDT/2010/147号判决之后，争议法庭做出关于赔偿的判决，认定联合国儿童基金会取消员额是违反了对申请人的义务\t联合国儿童基金会\t不适用\t97324.04美元(损失的收入和应享待遇)\t97324美元\t不适用\nUNDT/2011/032\tObdeijn\t纽约\t答辩人拒绝披露做出不予续期的有争议决定的原因。争议法庭因此认定，有争议的决定不合法\t联合国人口基金\t不适用\t(1)6个月净基薪和应享待遇(实际经济损失)；(2)8000美元(精神痛苦)\t不适用\t不适用UNDT/2011/068\tGarcia\t纽约\t争议法庭认定，联合国开发计划署未能执行雇用关系，违反了其与申请人之间的合同\t联合国开发计划署\t从申请人的个人档案中取出不利材料\t(1)89128.48美元(损失的薪金和应享待遇)；(2)\t109619.26美元\t不适用 \n 241美元(体格检查补偿款)；(3)50000美元(非金钱损失) \nUNDT/2011/081\tCabrera\t纽约\t争议法庭认定，安排申请人休全薪特别假的决定不合法\t联合国秘书处(管理事务部)\t不适用\t2年净基薪(违反正当程序、侮辱和精神痛苦)\t不适用\t不适用","说明：“不适用”表示或者在联合国争议法庭作出判决之后未采取行动，或者该判决仍在上诉阶段。","[1] ^(*) A/66/150。","[2] 单独经管的基金和方案独立处理管理评价问题。","[3] 玛里琳·卡曼法官提出自2011年6月30日起从争议法庭辞职。","[4] 提出申请/上诉的数目不一定对应于作出判决的数目。有时候可能在一项判决中处置了数项上诉，也可能有不作判决而结案的情况。","[5] 一项判决的主要起草人酬金为2 400美元。其他签署人每项判决获600美元。","[6] “案件”是指下面任何一种情况：提供援助或在正式系统的机构(管理评价股、争议法庭、上诉法庭)中担任正式指定律师；提供法律指导和简要法律咨询，协助工作人员循非正式途径解决纠纷，其间可能涉及到与工作人员协商、同第三方讨论和谈判或转介给系统中的其他行为体，包括转介给监察员办公室或工作人员工会。","[7] 这些实体是：国际海洋法法庭、联合国合办工作人员养恤基金、国际民用航空组织、国际海事组织、联合国近东巴勒斯坦难民救济和工程处、国际海底管理局和国际法院。","[8] 见世界银行行政法庭程序规则第7(11)条(规定即时驳回被认为“明显无法接受或没有理由”的案件)和美洲国家间组织行政法庭规约第八条(允许驳回“基于没有管辖权……未达到可受理性要求，或未提出可给予补救的申诉”的主张)。","[9] 联合国上诉法庭第2010-UNAT-57号判决(Fagundes)。","[10] 联合国上诉法庭第49(2011)号命令(Finniss)。","[11] 联合国上诉法庭第2011-UNAT-121号判决(Bertucci)。","[12] 秘书长指出，欧洲联盟公务员法庭判决的上诉时限是两个月(见《欧洲联盟法院规约》，附件一)。","[13] 联合国上诉法庭第2010-UNAT-62号判决(Bertucci)。","[14] 联合国行政法庭第1157号判决，Andronov(2003),第五段。","[15] 货币基金组织行政法庭第1999-2号判决(“V”先生诉货币基金组织，第104-114段)。","[16] 世界银行行政法庭第384号判决(AA诉IBRD)(2008年)，第49-50段。","[17] 大会关于监督厅的第48/218 B号决议、关于道德操守办公室的第60/1号决议和关于工作人员法律援助办公室的第62/228号决议。","[18] 联合国争议法庭第19(NY/2010)号命令，第23段。","[19] 世界银行行政法庭第384号裁决(AA诉世界银行)（2008），第49-50段。","[20] 联合国争议法庭第010(I/2011)号命令，(Abosedra),第60段。","[21] 联合国行政法庭第1396号判决(2008)，Wielechowski，第八段。","[22] 联合国争议法庭第2010/68号判决(Chen)和联合国上诉法庭第2011号判决-上诉法庭-107 (Chen)。","[23] 联合国行政法庭第421号判决(Chatwani)，第八段。","[24] 联合国上诉法庭第2011号判决-上诉法庭-107(Chen)，第1段。","[25] 联合国争议法庭第010号指令(NBI/2011)(Abosedra)，第60段。","[26] 旧金山会议的记录指出，“《宪章》应明确规定会员国有责任担负本组织之费用”。联合国国际组织会议，文件，第八卷，第487页。","[27] 例见UNDT/2010/025(Kita)。","[28] 本概念文件由法律事务厅一般法律事务司与联合国各基金和方案协商后编写。应注意，联合国儿童基金会保留其选择退出拟议简化仲裁程序的权利。"],"string":"[\n \"第六十六届会议\",\n \"临时议程[1] 项目134和143\",\n \"2012-2013两年期拟议方案预算\",\n \"联合国内部司法\",\n \"联合国内部司法\",\n \"秘书长的报告\",\n \"摘要\",\n \"大会第61/261号、62/228号和63/253号决议决定建立一个独立、透明、专业化、资源充足、权力分散的联合国司法系统，该系统于2009年7月1日开始运作。\",\n \"秘书长对大会在第65/251号决议中积极肯定新系统的落实感到满意；大会在决议中注意到新系统自建立以来取得的成绩，包括处理新旧案件方面的改善，并赞扬所有参与管理先前的系统向新系统过渡或落实新系统的人的工作。\",\n \"大会还确认新的内部司法系统将不断演变，指出有必要认真监测其进展以确保该系统一直符合设立新内部司法系统的决议中规定的指导原则，即该系统必须独立、透明、专业化、资源充足、权力分散；确保该系统符合国际法有关规则及法治原则和正当程序，以便确保工作人员的权利和义务得到尊重，对管理人员和工作人员都实行问责制。\",\n \"秘书长在本报告中介绍了2010年7月1日至2011年5月31日本报告所述期间新内部司法系统取得的成绩。该正式系统各阶段的案件处理情况继续显示效率显著提高。2010年7月1日至2011年5月31日期间，管理评价股收到390起要求进行审查的申请，已了结或解决281起。同期，工作人员法律援助办公室负责的850多个案件中，将近三分之一得到解决。2010年7月1日至2011年5月31日，在联合国争议法庭代表秘书长的各办公室处理的案件中，195个案件已有判决；法律事务厅处理的案件中，90个案件已由联合国上诉法庭做出判决。\",\n \"但该系统的成功和服务于该系统的各办公室的效率导致这些办公室和部门的财务及人力资源极其紧张。正如秘书长在提交给大会第六十五届会议的关于内部司法的报告(A/65/373 和Corr.1)中指出，必须大力加强一些关键领域，以保持目前的工作节奏，继续落实大会赋予新司法系统的所有任务。\",\n \"大会第65/251号决议请秘书长提供关于新系统运作和相关事项的数据和信息。本报告对这些要求一并作出回应。\",\n \"此外，考虑到迄今取得的经验，本报告请求在2012-2013两年期拟议方案预算第1、8、19、29A、29C、29D、29E、29G和37款下增拨资源8 657 900美元(重计费用前)。\",\n \"目录\",\n \"页次\\n1.概览 4\\n2.正式内部司法系统回顾 4\\nA.管理评价股 4\\nB.联合国争议法庭 7\\nC.联合国上诉法庭 13\\nD.工作人员法律援助办公室 15\\nE.执行主任办公室 18\\nF.代表秘书长担任答辩人的法律办公室 20\\n3.对与内部司法有关问题的回复 34\\nA.概览 34\\nB.回复 34\\n4.与大会审查两法庭规约有关的问题 43\\nA.导言 43\\nB.两法庭的程序规则 43\\nC.联合国争议法庭对独立实体与履行其任务有关的行为和不行为的管辖权 46\\n5.所需资源 51\\n6.结论以及有待大会采取的行动 53 \\n 附件 \\n1.为工作人员法律援助办公室供资的工作人员出资机制建议 54\\n2.关于编外人员申诉机制的提案 59\\n3.管理评价股、联合国争议法庭和联合国上诉法庭裁定的赔偿 67\",\n \"一. 概览\",\n \"1. 大会通过第61/261、62/228和63/253号决议设立了新的内部司法系统。该系统有两个法庭，即联合国争议法庭和联合国上诉法庭，配备专业法官，由日内瓦、内罗毕和纽约的书记官处提供支持。大会认为，应向工作人员提供法律援助。据此，新系统还包括工作人员法律援助办公室，在亚的斯亚贝巴、贝鲁特、日内瓦、内罗毕和纽约配备专业法律干事。为了确保该系统保持独立，由内部司法办公室负责管理正式系统的各部门，向两法庭、书记官处和工作人员法律援助办公室以及内部司法理事会提供行政、业务和技术支持。\",\n \"2. 管理评价是正式内部司法系统中强制性的第一步，由管理事务部和单独经管的基金和方案进行。管理事务部的管理评价股配备专业法律干事，首先对有争议的决定进行审查。设立该股，是为了给管理层一个纠正不当决定的机会，或者对于所做决定存在缺陷的情况采取可接受的补救办法，以减少进入正式诉讼的案件数目。各基金和方案也有类似机制。\",\n \"3. 除案件数目增加外，由于该系统的加强和专业化，代表答辩方秘书长的各办公室和各部门需要大大提高速度，大大增加服务。\",\n \"4. 新系统在处理旧系统各部门移交的大量案件方面继续取得进展。为防止积压的案件给新系统造成过大的压力，大会为联合国争议法庭任命了三位审案法官，并任命司法人员支持法官的工作。\",\n \"二. 正式内部司法系统回顾\",\n \"A. 管理评价股[2]\",\n \"5. 管理评价股设在主管管理事务副秘书长办公室内，是正式内部司法系统的第一步。该股的核心职能是：(a) 对与雇用合同或任用条件相关的有争议的行政决定快速进行管理评价；(b) 协助主管管理事务副秘书长就评价结果向请求进行管理评价的工作人员提供迅速、合理的答复；(c) 协助副秘书长通过确保管理人员履行管理本组织人力和财政资源的职责，确保管理人员的问责制。\",\n \"6. 管理评价股自2009年7月1日成立到2011年5月31日为止，受理了823个案件，其中2009年184个，2010年427个，2011年212个。在受理的823个案件中，该股完成并了结665个。截至2011年5月31日，该股在18个案件中提出赔偿建议，赔偿总金额为183 339.44美元。本报告附件三载有该项金额的细目。\",\n \"7. 管理评价程序使行政当局有机会防止在争议法庭进行不必要的诉讼，给本组织节省了大量费用。该股2010年受理并了结的案件中，约36%通过该股、监察员办公室以非正式方式解决或通过行政当局与工作人员之间的双边谈判解决。\",\n \"8. 在管理评价股确定所作决定符合本组织规则和判例后，秘书长在提交给该股但未以非正式方式解决的大约84%的案件中维持了有争议的决定。\",\n \"9. 遵照大会关于设立具有透明度等特点的司法系统(第61/261号决议第4段)的决定，在建议维持有争议的行政决定的情况下，管理评价股要向有关工作人员发出合理的书面答复，说明管理评价的依据，包括案件事实、决策者的案件评论摘要、适用的规则和本组织判例，并说明为什么该股认为有争议的决定符合适用的规则和判例以及秘书长的最终决定。各基金和方案在其管理评价程序中遵循类似的方法。\",\n \"10. 管理评价程序结束后，工作人员有将案件提交争议法庭审理的法定权利(大会第62/228号决议第51段)。管理评价股认为，如果工作人员发现管理评价程序公正、客观且准确，那些因认为行政决策程序缺乏透明度而诉诸正式系统的工作人员则更有可能决定不在争议法庭行使其法定申诉权。该股还认为，完成管理评价程序后给工作人员提供合理书面答复是建立新内部司法系统公信力，尤其是管理评价程序公信力的重要手段。各基金和方案也认同这一观点。\",\n \"11. 为确定收到维持有争议的行政决定的管理评价后有多少工作人员向争议法庭提起申诉，管理评价股正在与内部司法办公室合作，落实一个跟踪机制。\",\n \"12. 截至2010年12月31日，在管理评价程序后交由争议法庭审理的案件中，83%的案件的判决与管理评价股所提建议一致。一些有待上诉法庭裁决的关键法律问题尚存，而且管理评价股的实况调查能力有限。尽管如此，两者意见的相似度具有启发意义，可认为显示该股的公正性、客观性和准确性。\",\n \"13. 在协助主管管理事务副秘书长确保管理问责制的过程中，管理评价股定期审查案件数目以识别案件趋势和系统性问题，在其报告中予以说明。该股还在汇编分发给各办公室和部门负责人的《管理人员经验教训指南》和《指导说明》的工作中，为副秘书长提供文秘支持。《管理人员经验教训指南》回顾争议法庭和上诉法庭判例，审视两个法庭解释及适用本组织内部规则的方式。2010年，副秘书长分发了两卷《管理人员经验教训指南》。2011年4月，副秘书长分发了《指导说明》，预计2011年下半年将再分发一卷《管理人员经验教训指南》。\",\n \"法定时限\",\n \"14. 管理评价的请求提出后，总部的管理评价必须在30个历日内完成，总部以外办事处在45个历日内完成(大会第62/228 号决议，第54段)。依照秘书长所定条件，提交给监察员办公室的案件可延长截止日期。\",\n \"15. 行政和预算问题咨询委员会报告(A/65/557,第16段)指出，应该在工作人员诉诸司法程序前尽全力解决这些案件；管理评价职能是处理错误行政决定、避免诉诸司法的一个重要机会。\",\n \"16. 按照行政和预算问题咨询委员会的指示，如果管理评价股断定有争议的决定不符合本组织内部规则，而且主管管理事务副秘书长批准进行非正式解决，管理评价股将帮助双方之间直接解决。该股的经验是，非正式解决需要双方进行大量协商，所需时间通常比为管理评价规定的法定时限长。但是，规章中没有规定允许秘书长在案件所涉各方同意的情况下中止管理评价程序。各基金和方案认同这一观点，但指出它们已在双方同意的情况下成功做到这一点。\",\n \"17. 同样，有时工作人员提交要求进行管理评价的申请后，又主动或应管理评价股要求提交了补充材料。在这样的案件中，规章中也没有规定可延长管理评价完成时限。\",\n \"18. 管理评价股认为，严格遵守法定时限可使工作人员收到不全面或不准确的管理评价，从而导致不必要地诉诸争议法庭。为避免出现这种结果，该股的现行做法是：为促进案件的非正式解决，或在为妥善完成管理评价程序而需要工作人员和(或)行政当局提交补充资料的情况下，请工作人员同意延长时限。该股认为，在相关法定时限内了结案件或在工作人员同意的时限内了结案件都是及时审结案件；工作人员同意延长时限的目的是促进案件的非正式解决或获取必要的额外资料以确保管理评价全面。各基金和方案赞同这一观点，指出它们迄今为止成功地遵守了所有案件的法定期限。\",\n \"19. 管理评价股的人员编制中有1名对主管管理事务副秘书长办公室主任负责的股长(P-5)、2名法律干事(P-4)、1名法律干事(P-4)(一般临时人员)和3名法律助理(一般事务(其他职等))。但是，该股目前的人力资源不足以应付该股的任务，该股自2010年2月以来，不得不动用可酌情支配的有限预算资金来临时增补一个法律干事员额。\",\n \"20. 管理评价股认为，近两年运作期间受理的案件量证明有必要增加第三个P-3职等法律干事员额。这些数字表明新内部司法系统的用户量已超过先前系统。此外，依据案件量收集的数据，该股预计2011年受理的案件量至少等于2010年的数字(约427件)。\",\n \"21. 管理评价股注意到，在2009年受理的184个案件中，第四季度提交的案件数与第三季度相比下降了23%。该股注意到，在2010年提交的427个案件中，前两个季度提交的案件稳步增加，之后，第三和第四季度提交的案件都减少。该股注意到2010年提交的案件中，57%是2010年1月1日至6月30日期间提交的，43%是7月1日至12月31日提交的，2010年10月1日至12月31日期间的提交的案件大幅减少。最后，该股指出，与2010年7月1日至12月31日提交的案件数相比，2011年1月1日至5月31日期间提交的案件数增加。该股在2010年下半年受理了183个案件而2011年前五个月已受理212个案件，等于2010年前五个月受理的案件数。\",\n \"22. 管理评价股认为，2009年和2010年最后一个季度提交的案件数减少以及2010年和2011年前两个季度的案件数上升可能表明一种新的周期性变化。但预计2009年7月1日至2010年6月30日受理的案件总数等于2010年7月1日至2011年6月30日受理的案件数(约427件)。\",\n \"23. 如上所述，及时、理由充分的管理评价对圆满完成管理评价股的任务至关重要。由于2010年2月以来利用可酌情支配的经费增加了一个临时法律干事员额，该股完成了其任务。此外，以上数字表明，该股之所以能够利用现有人员配置完成任务是因为工作人员一直在超时工作，推迟休年假或未休年假。\",\n \"24. 因此，管理评价股认为此种情况下增设一个法律干事(P-3)员额的请求是保守的，因为新增一个法律干事无法完全弥补完成该股任务每年所需人/时(1 828)与秘书处工作人员每年通常需要工作的人/时(1 463)之间的差距。\",\n \"25. 鉴于上述原因，秘书长建议增设一个P-3职等法律干事，以加强管理评价股。\",\n \"B. 联合国争议法庭\",\n \"1. 联合国争议法庭的组成\",\n \"26. 2009年3月2日，大会选出争议法庭的三名专职法官和两名半职法官。随后大会选出三名审案法官，任期一年，以协助处理旧系统移交的积压案件。编写本报告时，争议法庭的组成如下：\",\n \"(a) 维诺德·布莱尔法官(毛里求斯)，内罗毕专职法官；\",\n \"(b) 梅姆达·易卜拉欣-卡斯滕斯法官(博茨瓦纳)，纽约专职法官；\",\n \"(c) 托马斯·拉克法官(德国)，日内瓦专职法官；\",\n \"(d) 古拉姆·胡森·卡迪尔·米兰法官(大不列颠及北爱尔兰联合王国)，半职法官；\",\n \"(e) 科拉尔·肖法官(新西兰)，半职法官；\",\n \"(f) 让-弗朗索瓦·库桑法官(法国)，日内瓦审案法官；\",\n \"(g) 恩肯迪利姆·阿梅莉亚·伊祖阿科法官(尼日利亚)，内罗毕审案法官；\",\n \"(h) 玛里琳·卡曼法官(美利坚合众国)，纽约审案法官。[3]\",\n \"27. 大会第六十五届会议决定3名审案法官和其辅助人员的任期再延长6个月，直至2011年12月31日为止(见第 65/251号决议)。\",\n \"2. 选举庭长\",\n \"28. 2010年6月28日至7月2日在内罗毕举行的全会上，托马斯·拉克法官当选为庭长，2010年7月1日至2011年6月30日任期一年。\",\n \"3. 全体会议\",\n \"29. 自2010年7月1日起，法庭法官举行了两次全体会议(2010年12月13日至17日于日内瓦以及2011年6月27日至7月1日于纽约)。\",\n \"4. 联合国争议法庭的一般活动\",\n \"30. 2010年7月1日至2011年5月31日期间，争议法庭共受理了170个新案件。截至2011年5月31日，254个案件待决。\",\n \"31. 本报告所述期间受理的170个案件中，108个案件来自秘书处(维持和平特派团和政治特派团除外)，包括区域委员会、总部以外办事处、卢旺达问题国际刑事法庭、前南斯拉夫问题国际法庭和各部及办公室；19个案件来自维持和平特派团和政治特派团；43个案件来自联合国难民事务高级专员办事处(难民署)、联合国开发计划署(开发署)、联合国儿童基金会(儿基会)等机构。\",\n \"5. 先前系统移交给联合国争议法庭的案件\",\n \"32. 2009年7月1日，日内瓦、内罗毕、纽约和维也纳的联合申诉委员会和联合纪律委员会撤消后，这些实体待处理的169个案件移交给争议法庭：61个案件移交给日内瓦书记官处；55个案件移交给内罗毕书记官处；53个案件移交给纽约书记官处。2010年7月1日至2011年5月31日，其中29个案件已予处理。\",\n \"33. 2010年1月1日，联合国行政法庭将143个案件移交给争议法庭。这些案件在争议法庭书记官处的分配情况如下：日内瓦51个、内罗毕40个，纽约52个。2010年7月1日至2011年5月31日，其中76个案件已予处理。\",\n \"34. 截至2011年5月31日，65个从先前系统移交的案件待决：联合申诉委员会和联合纪律委员会的案件10个，联合国行政法庭案件55个。\",\n \"6. 判决、命令和听讯数目\",\n \"35. 2010年7月1日至2011年5月31日期间，争议法庭发布了195项判决、638项命令，举行了229次听讯。\",\n \"7. 提交调解司的案件\",\n \"36. 在2010年7月1日至2011年5月31日期间，争议法庭确定13个案件适合调解，将其提交监察员办公室调解司处理。编写本报告时，其中的6个案件已成功进行调解。\",\n \"8. 争议法庭所受理案件的标的物\",\n \"37. 本报告所述期间，争议法庭受理的案件的性质可分为六大类：(a) 与任用有关的事项；(b) 福利和应享权利；(c) 叙级；(d) 纪律事项；(e) 离职；(f) 其他。\",\n \"38. 在本报告所述期间受理的170个案件中，56个与任用有关；19个与福利和应享权利有关；2个与叙级有关；33个与纪律事项有关；28个与离职有关；32个与其他事项有关。\",\n \"9. 与争议法庭及其书记官处人员配置有关的问题\",\n \"39. 如上文详述，争议法庭的工作量很大，迅速完成工作的需要给法庭法官和工作人员造成极大负担。任命三名审案法官并延长其任期，使争议法庭在处理先前系统遗留的积压案件方面取得显著进展。但是，从提出的新案件情况看，如果到2011年底取消审案法官的职位，使司法能力接近减半，案件显然很快就会又积压起来。这将使先前系统中饱受批评的缺陷——延误，成为新系统每天要面对的事实。\",\n \"40. 法庭设置特意分散，确保申请人更易于利用司法手段。为维持这种便利性，争议法庭的每个地点都依旧保持两名专职法官至关重要。如果某地仅有一名法官，而该法官因休假、生病或辞职等缺席，导致该地点不得不停止运作，那么设置分散的法庭就完全失去了意义。同样，在某地法官须回避的情况下，案件自然需要被移交至远离申请人的另一地点。只有每一法庭地点至少有两名法官，才能有效设立法官三人合议庭。此外，规章中规定，暂停执行的申请须在5天内处理，而仅由一名法官来处理几乎是不可能的，这样做势必影响对实质性申请的处理工作。最后，指导法庭和书记官处工作的争议法庭庭长在其任职期间要依靠工作地点的其他法官及其支持来维持案件的审理速度。\",\n \"41. 争议法庭法官的工作不仅限于作出判决。本节中提及的其他必要职能表明每一工作地点的第二名专职法官是绝对必要的。争议法庭法官密切监察所有案件从接到申请到最终判决的进展情况。此种监察可包括：(a) 举行案件管理听讯会；(b) 就预审请求作出裁决；(c) 发布听讯前命令。此外，法官必须在5天的法定时限内审理暂停执行申请。为方便行政工作，每个地点(日内瓦、内罗毕和纽约)的法官定期与书记官处工作人员举行会议，以确保定期、及时地处理案件。他们还通过视频会议的方式举行双周会议，使法官之间可更好地沟通，并就统一三个书记官处的做法作出重要决定。法官还负责起草《程序规则》；法庭已向大会提交修正《程序规则》的建议。此外，法官还负责发布《程序指引》，以便案件当事方了解法庭希望其遵守的程序。鉴于迄今为止争议法庭日历中还没有司法休庭，法庭除履行裁定案情实质并发布判决等核心司法职能外还要额外履行上述所有职责。\",\n \"42. 在运转两年后，法庭仍处于“起步”阶段。鉴于法官的法律背景不同，为确保法庭成为一个有利于本组织及其工作人员的统一的司法机构，确保其判例连贯一致，法庭需有保持法官和辅助人员的连续性。\",\n \"43. 因此，建议大会为联合国争议法庭各地点任命第二名专职法官。这些法官还必须得到法律干事和行政人员的必要支持。所以，秘书长建议将P-3 级法律干事(日内瓦、内罗毕和纽约各1名)和法律助理(日内瓦1名，一般事务(其他职等)、纽约1名，一般事务(其他职等)和内罗毕1名，一般事务(当地雇员))员额正规化。\",\n \"44. 此外，纽约书记官处的人员配置不合常规。日内瓦和内罗毕书记官处的人员配置分别是一名书记官长(P-5)以及P-4和P-3职等法律干事，而纽约书记官处的人员配置是一名书记官长(P-5)以及P-4和P-2职等的法律干事。这种差异没有任何业务依据；事实上，如果纽约书记官处的第二名法律干事为更高的P-3级，纽约书记官处将大大受益。因此，建议将纽约的P-2职等法律干事员额改叙为P-3级员额。\",\n \"10. 人员配置以外的问题\",\n \"a. 审判室\",\n \"45. 由于新系统必须具备专业性，而且鉴于规定法庭的听讯一般来说将对公众开放，法庭在各地点必须具有专业法庭应有的设施，规模应足以容纳公众旁听。\",\n \"46. 法庭三个地点的房地已予提供，但建造永久性审判室方面的问题仍有待解决。\",\n \"47. 在纽约，由于实施基本建设总计划，临时审判室设在内部司法办公室的临时房地。该审判室已可使用，但作为特设的临时场地，无法进行同声传译。在规划阶段已适当考虑确保基本建设总计划完成后尽量拆除临时场地的设备和家具，将其安装在法庭的永久性房地。但基本建设总规划完成后为纽约争议法庭设一个永久性审判室的安排尚未作出。在日内瓦，审判室已有一个永久场地，但如不增建，无法在此提供口译服务。内罗毕正在建造一个专门的永久性审判室。但是，内部司法办公室2010-2011年的预算未安排审判室建造和配置的经费。审判室建造和配置的经费被列入2012-2013年预算第34款。\",\n \"b. 差旅和通信\",\n \"48. 大会第65/251号决议重申，新系统的另一重要任务是权力分散。争议法庭及其书记官处位于日内瓦、内罗毕和纽约。法庭为世界各地工作地点的工作人员服务，每个地点覆盖的地域很广。法庭这种分散化运作的方式能否成功，很大程度上取决于法庭及其各书记官处是否有能力彼此沟通并与法庭所审理案件的当事方和证人沟通。\",\n \"49. 争议法庭举行听讯时，参加者能够充分参与诉讼程序，法官能够评估出庭证人的举止十分重要。而为这两个目的经常旅行，费用会极为昂贵，因此设想这些活动主要将通过视频会议进行。但是，视频会议的相关费用也很高。目前为通信编列的经费不足，法庭无法有效利用视频会议。此外，必须确保以如实反映各方和司法机构意见的方式记录口头听讯，使诉讼程序得到准确记录，以便记录可被誊写，用于随后可能提起的上诉程序。因此，秘书长建议在通信这一细列项目下增加内部司法办公室经费25 000美元，用于支付利用视频举行口头听讯和情况会商以及联合国争议法庭法官和书记官长双周会议的费用，以便确保口头听讯的记录质量和可靠性，必要时可予誊写，用于随后对判决的上诉程序。\",\n \"50. 依照《规约》，争议法庭如认为当事方或证人的亲自出席对诉讼至关重要，可命令其亲自出庭。此外，有时由于视频连接质量不佳或不可靠以及口译员无法凭借电话连接有效进行口译，在内罗毕无法举行听讯。在非洲的工作地点发生的案件中这种情况尤其多。虽然预计此类情况不经常发生，但争议法庭运作的头两年出现了这种情况，而且预计仍将继续出现。\",\n \"51. 而且，法官和书记官长必须不时见面讨论共同的问题并对这些问题采取统一对策。此外，维持一个专业化系统一个至关重要的方面是，向法官和法律工作人员提供培训机会，以强化其法律技能并使其参加司法界同行间的学术讨论。目前的预算没有考虑到争议法庭法官和书记官长举行全体会议的问题。另外，法官和书记官处法律工作人员经常接到参加法律研讨会的邀请，但由于公务旅行方面的预算严重短缺而无法参加。这严重影响其强化技能、与同行互动和交流知识的能力。因此，秘书长建议内部司法办公室的差旅预算增加155 000美元。\",\n \"c. 处理对法官投诉的机制\",\n \"52. 与争议法庭运行有关的一个问题也会影响到上诉法庭，那就是缺少一个处理对两法庭法官提出投诉的机制。对法官的有效投诉将直接影响到新的内部司法系统的独立性、专业性和问责制。但是，目前没有任何一个实体或机构被授权进行必要的事实调查、就投诉的有效性作出裁定、施加处罚或向大会提出处罚建议。\",\n \"53. 内部司法理事会在向大会第六十五届会议提交的报告中对于没有处理对法官的投诉的任何机制表示关切，并表明它认为这是一个需要迫切关注的问题(见A/65/304，第40段)。\",\n \"54. 秘书长了解到，内部司法理事会打算在其向大会第六十六届会议提交的报告中提出一项关于处理对两法庭法官投诉的建议。由于目前没有实行任何机制，作为在就一个常设机制作出决定前的一项临时措施，大会不妨授权该理事会调查对法官提出的投诉，包括已提出的投诉，并就这些投诉向大会提出报告和建议，供大会采取它可能认为适当的任何行动。\",\n \"55. 关于一个可能的常设机制，秘书长在他先前报告(A/63/314，第73至第79段)就此问题所提初步意见的基础上，进一步就一个处理对两法庭法官投诉的机制提出了下述建议。\",\n \"56. 当关于一名法官行为失检或无能的指控被提出时，这种指控将报告给当事法庭庭长。该庭长随后将对指控进行妥善调查，首先确定一个适当的调查程序，然后任命一专家小组进行调查。调查将对被指控法官运用所有必要的适当程序，例如给予对指控作出回应和提出相关证据的机会。如果所提指控针对的是相关法庭的庭长，就争议法庭而言，指控提交该法庭其他法官中最资深者。如果被指控的是上诉法庭庭长，则指控提交该法庭第一副庭长。\",\n \"57. 一旦进行了调查，调查结果将由有关法庭全体复核，但被调查法官不得参加。如全体法官一致认为关于行为失检或无能的指控证据充分，且问题的严重程度足以说明应当将当事法官解职，则该法庭庭长或代理庭长将向大会报告此事并请求将该法官解职。\",\n \"58. 如被指控行为即使被认定证据充分，但却未达到应当解职的程度，则庭长或代理庭长将有权根据案情采取其认为适当的纠正措施(例如予以警告或申斥)。关于投诉的处置情况的报告每年向大会提交一次。除这一建议外，另一种办法就是修正内部司法理事会的职权范围，由该理事会负责就两法庭法官受到的任何投诉进行调查并提出建议。当一名法官受到行为失检或无能的指控时，指控将送交该理事会主席。理事会此后将对指控进行妥善调查，首先确定一个适当的调查程序，对被指控法官运用所有必要的适当程序，例如给予对指控作出回应和提出相关证据的机会。\",\n \"59. 一旦进行了调查，调查结果将由内部司法理事会复核。如果该理事会认定关于行为失检或无能的指控证据充分，主席就将向大会报告此事并就适当处罚提出建议。\",\n \"60. 对于上述两种可选办法而言，需要处罚法官的行为失检的类别将是违反由内部司法理事会根据第62/228号决议拟订并在A/65/86号文件中提交大会审议的法官行为守则的行为，或是违反ST/SGB/2002/9号秘书长公报规定的《关于非秘书处官员和特派专家的地位、基本权利和义务的条例》的行为。\",\n \"C. 联合国上诉法庭\",\n \"1. 联合国上诉法庭的组成\",\n \"61. 2009年3月2日，大会选出下列七名法官：\",\n \"(a) 伊内斯·温伯格·德罗加法官(阿根廷)；\",\n \"(b) 让·库蒂亚尔法官(法国)；\",\n \"(c) 索菲娅·阿丁伊拉法官(加纳)；\",\n \"(d) 马克·佩因特法官(美利坚合众国)；\",\n \"(e) 卡马尔吉特·辛格·加里瓦尔法官(印度)；\",\n \"(f) 罗丝·博伊科法官(加拿大)；\",\n \"(g) 路易斯·马里亚·西蒙法官(乌拉圭)。\",\n \"62. 2010年10月11日，罗丝·博伊科法官出于个人原因递交辞呈，辞去她在上诉法庭担任的职务，2011年1月15日生效。2011年1月28日，大会经选举程序任命玛丽·法赫蒂法官(爱尔兰)接替罗丝·博伊科法官。\",\n \"2. 选举庭长和副庭长\",\n \"63. 2010年6月30日，上诉法庭选出库蒂亚尔法官为庭长，阿丁伊拉法官和加里瓦尔法官分别为第一和第二副庭长，任期为2010年7月1日至2011年6月30日。\",\n \"64. 上诉法庭法官在五届开庭期每次开始和结束时都举行了处理行政和业务问题的全体会议。\",\n \"3. 司法统计数据\",\n \"65. 从2010年7月1日至2011年5月31日，上诉法庭共收到105项新提出的上诉：7项上诉针对联合国工作人员养恤金联合委员会(养恤金联委会)，5项针对联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)，1项针对国际民用航空组织，还有92项针对争议法庭的判决和命令提出上诉(65项由工作人员提出，27项上诉是代表秘书长针对争议法庭的判决和命令提出)。\",\n \"66. 2010年，上诉法庭分别于6月21日至7月2日和10月18日至29日在纽约开庭两期，2011年第一期也在纽约，从2月28日至3月11日。在本报告所述期间，该法庭作出了96项判决。2011年第二次庭期开在日内瓦，从6月27日至7月8日，审理了34宗案件。\",\n \"4. 案件处置结果\",\n \"67. 在本报告所述期间，上诉法庭作出了96项判决。[4] 其中1项判决涉及针对养恤金联委会的上诉，上诉法庭在该案中维持了常设委员会的决定。有4项判决维持了近东救济工程处主任专员作出的决定。\",\n \"68. 就针对争议法庭判决的上诉作出了83项判决。这些判决就工作人员提出的54项上诉和就代表秘书长提出的29项上诉作出了决定。上诉法庭驳回了工作人员所提54项上诉中的46项，接受了3项，并将5项发回争议法庭重审。在代表秘书长提出的29项上诉中，9项被驳回，19项被全部或部分接受，1项被发回争议法庭重审。在12宗案件中，上诉法庭推翻或修改了争议法庭的赔偿裁决。\",\n \"69. 在本报告所述期间，上诉法庭收到了提出的2项解释请求、2项复议请求、2项改正请求、3项改判请求和1项搁置判决请求，并驳回了所有这10项请求。\",\n \"70. 截至2011年5月31日，上诉法庭有95项申请/上诉待决。\",\n \"5. 与联合国上诉法庭及其书记官处运作有关的问题\",\n \"71. 上诉法庭法官根据审案工作量的需要在庭期开会讨论和作出判决，一般是每年3次。书记官处法律和行政人员大量的案件准备工作对于这一进程至关重要。虽然上诉法庭的供资结构和运行方法以法官人数相同的国际劳工组织(劳工组织)行政法庭为模本，[5] 但劳工组织行政法庭的运行有6名全职专业法律人员和3名一般事务人员，并视需要使用其他工作人员。相比之下，上诉法庭书记官处只有2名专业人员和3名一般事务人员为该法庭提供协助。\",\n \"72. 上诉法庭是一个复核庭，要审议来自工作人员和管理当局两方面的上诉。依照《上诉法庭规约》第二条第十款，秘书长还与7个机构签订了协定，使它们能将该法庭用作一个行政法庭。由于这是一个新系统，来自工作人员和管理当局两方面的上诉量都很大。去年向上诉法庭提出的案件数目与劳工组织行政法庭的工作量相仿，该法庭每年审理约110宗案件且未出现案件积压。\",\n \"73. 书记官处目前的人员配置不足以充分支持该法庭的运转，无法使其及时处理案件。2名法律干事不足以每年准备100多宗案件。这种情况必将导致案件积压并不断增加拖延，而这正是以前的内部司法系统受到批评最多的方面之一。允许这种情况再次发生将使改革受到严重破坏。争议法庭作出判决与最终上诉决定之间存在漫长拖延的情况特别不可取，因为一宗上诉案的结果有可能解决某一特定方面的法律问题，从而减少今后的案件数目。\",\n \"74. 现在需要增设一个P-4法律干事，以保证书记官处有效运作的能力。鉴于许多案件的复杂性以及处理这些案件所必需的速度，书记官处需要更多有经验的人员。一个P-4职等法律干事可以督导现有工作人员处理书记官处工作中法律方面的问题，从而使书记官长得以腾出手来，专心进行全面监督、与法官和其他利益攸关方沟通以及为法庭提供技术和行政支持。\",\n \"75. 此外，一个较资深的法律干事将能为法官提供更实质的法律协助并独立回应查询，从而提高效率和反应能力。这样一名法律干事将同书记官长一道分担行政职能，并在书记官长缺席时担任代理主管。考虑到审案工作量，考虑到必须使上诉法庭得到足够法律协助，使其以最佳状态运作，秘书长建议大会增设一个P-4 职等法律干事加强联合国上诉法庭书记官处。\",\n \"76. 大会第65/251号决议核准增设1个一般事务(其他职等)职位一年，以支持上诉法庭工作。秘书长指出，这一职位所提供的支持是有益的。但现在迫切需要增设1个具适当资历的法律干事以支持上诉法庭法官的工作。考虑到这一情况，并注意到目前的预算限制，秘书长建议不续设这一职位。\",\n \"77. 根据《规约》第四条第二款，上诉法庭“应于其程序规则中规定的日期例行开庭，但以庭长认为有足够数目的案件可开庭审理为限”。根据该法庭最初几年运行获得的经验，并考虑到向该法庭提出上诉的案件数目，预计上诉法庭将有足够的案件可以每年开庭3次。不过，秘书长指出，该法庭目前的差旅费预算不足以支付第3个开庭期的费用。因此，秘书长建议在2012-2013年预算中为内部司法办公室追加资金230 000美元，使联合国上诉法庭能在需要时第3次开庭。\",\n \"78. 秘书长在其前次报告(A/65/373)第155至第164段中，就上诉法庭法官的地位及其应享权利的问题作了报告。在该报告中，秘书长建议上诉法庭法官亦应享受以往提供给原联合国行政法庭法官的旅行待遇和每日生活津贴额。大会在其第65/251号决议第50段决定，在2012-2013年预算中再次审议上诉法庭法官旅行待遇和每日生活津贴额的问题。秘书长仍然认为此举将是适当的，并因此建议将内部司法办公室的差旅费预算增加50 200美元，以反映这一情况。\",\n \"D. 工作人员法律援助办公室\",\n \"79. 工作人员法律援助办公室仍然面临着诸多挑战。该办公室由7名通过经常预算供资的法律干事(纽约3名，亚的斯亚贝巴、贝鲁特、日内瓦和内罗毕的4个卫星办公室各1名)和3名一般事务人员(都在纽约)组成。截至2011年1月1日，工作人员法律援助办公室获得在内罗毕增设1名P-3 职等专业工作人员，为涉及外地特派团人员的案件提供协助。这一职位通过维持和平行动支助账户供资一年。\",\n \"80. 尽管有限的人员分散在多个工作地点，工作人员法律援助办公室在其运行的头两年中还是取得了可观的成绩。该办公室继续以人数不多的法律干事和有限的行政协助成功地处理着世界各地工作人员提出的大量援助请求。\",\n \"81. 截至2010年7月1日，工作人员法律援助办公室尚待处理的案件有432宗。[6] 2010年7月1日至2011年5月31日，该办公室收到了新提出的425宗案件。加上截至2010年7月1日尚待处理案件的数目，该办公室参与处理的事项为857宗。其中，该办公室能结案或找到其他解决办法的案件为265宗。截至2011年5月31日，该办公室还有近600宗在办案件。在该办公室运行的第二年中，工作人员提交该办公室处理事项的数目，特别是争议法庭3个分庭所在地以外地点工作人员提出请求的数目，对其有限的资源构成了巨大压力。\",\n \"82. 工作人员法律援助办公室为工作人员提供形式多样的法律援助，援助范围包括提供简要法律咨询和代表工作人员在两法庭出庭。循非正式途径解决问题或帮助工作人员理解其正式申诉不大可能胜诉，都可能需要花费大量时间。\",\n \"83. 以有限的工作人员回应大量的援助请求，仍是该办公室的最大挑战。在纽约以外地点独立工作的法律干事这方面的情况特别困难而且没有本地的行政支持。这些法律干事因而必须独力应对沉重的工作量和处理办事处的大部分行政事务。\",\n \"84. 工作人员法律援助办公室得到了相关志愿律师、法律实习生和外部公益律师的协助。遗憾的是，他们的人数不足以解决该办公室人力资源短缺的问题。总部以外办事处现在很难找到合格的志愿人员、实习生和公益援助，从而令人担心该办公室的存在主要限制在纽约。\",\n \"85. 大会再次请秘书长同工作人员协会合作制订激励措施鼓励工作人员，使他们能继续参加工作人员法律援助办公室的工作。2011年6月，这一事项在工作人员和管理当局协调委员会届会上得到了审议。有关方面注意到，管理当局和工作人员代表在应当采取何种办法的问题上仍然意见分歧。因此，工作人员方面和管理当局决定应继续就此问题进行协商。\",\n \"86. 内部司法办公室于2010年1月设立的工作人员法律援助信托基金没有提供足够资源有效帮助工作人员法律援助办公室增加其人力资源，即便临时增加都没有。\",\n \"87. 根据工作人员法律援助办公室头两年运行取得的经验，秘书长认为该办公室目前的人员配置必须加强，以使它能够完成任务。正如秘书长在给大会第六十五届会议的报告中说明的那样，该办公室特别缺乏较高职等的法律干事，因为目前专业工作人员中仅有一人高于P-3职等。由于这一原因，秘书长建议增设2个P-4员额(设于内罗毕和纽约)，加强工作人员法律援助办公室。\",\n \"88. 工作人员法律援助办公室高效运作的能力还由于纽约以外行政支持的缺乏而受损。由于所有行政支持都由总部提供，工作人员无论在什么工作地点，都必须通过与在纽约的办公室联系启动他们的案件。这就向工作人员发出了一个明确的信息，即尽管承诺要实行权力下放制度，但核心业务仍在总部办理。由于这一原因，秘书长建议增设2个一般事务(其他职等)员额在日内瓦和内罗毕提供行政支持，加强工作人员法律援助办公室。\",\n \"89. 大会第六十五届会议同意秘书长的意见，即应当加强工作人员法律援助办公室为外地特派团服务的能力。因此，大会核准临时增设1个P-3职位，设在内罗毕，为外地特派团的工作人员提供协助。这一职位通过维持和平行动支助账户供资一年，从2011年1月1日起至12月31日止。鉴于大批案件涉及外地特派团工作人员的趋势还在继续，从而显示了持续的需求，并进一步考虑到外勤支助部和维持和平行动部按照分摊费用的办法参加了为正式系统的持续供资，秘书长建议内罗毕专门负责为外地特派团工作人员提供协助的1个P-3职位续设一年，由维持和平行动支助账户供资。\",\n \"90. 分配给工作人员法律援助办公室的非员额资源也不足以允许其正常运作。由于该办公室工作分散，所有公务协调和一大部分客户协商事实上都必须通过电子邮件、电话和视频连接进行。尽管如此，该办公室的通信预算却不足以允许它进行哪怕是少量的电话和视频连接通信。此外，这一工作分散的办公室的位于全球各地的工作人员也必须能在办公室以外和正常上班时间以外相互沟通。虽然使用黑莓设施等智能电话设备有助于通信，但目前的预算不足以支付使用这些设备的费用。由于这一原因，秘书长建议在2012-2013年预算通信细列项目中增加11 200美元。\",\n \"91. 虽然人员出差并不常见，但有时也无法避免。在总部以外办事处工作的法律干事要服务大范围的地理区域，其中包括许多外地特派团。如果要让工作人员能切实利用工作人员法律援助办公室的服务，特别是在外地，法律干事就必须定期访问工作人员所在的工作地点，会见客户和与当地行政部门进行面谈，以促进循非正式渠道解决纠纷。该办公室在亚的斯亚贝巴和贝鲁特的法律干事可能需要根据争议法庭的命令代表客户出席该法庭的听讯。目前，工作人员法律援助办公室没有差旅费预算满足任何这种至关重要的需求。因此，秘书长建议在2012-2013年预算中将该办公室的差旅费细列项目增加15 000美元。\",\n \"92. 最后，该办公室目前的预算，尤其是位于纽约以外办事处的预算，不足以满足基本的办公室需求，例如租用或购买一台影印及扫描机，以及购买纸张、装订文件夹、回形针和写字笔等必要的办公用品。在总部以外只有一人的办事处里缺少这些基本的办公必备品，使在那里孤立工作的法律干事所面临的困难变得更加复杂。由于这一原因，秘书长建议在2012-2013年预算中将用品和材料细列项目增加9 000美元。\",\n \"E. 执行主任办公室\",\n \"1. 对执行主任办公室的审查\",\n \"93. 除了代表秘书长进行答辩之外，执行主任办公室还负责监督正式系统所有要素的执行情况。该办公室由执行主任、特别助理、2名信息技术专家和1名行政辅助人员构成，负责为两法庭、书记官处和工作人员法律援助办公室提供行政、业务和技术支持。这种业务支持包括与其他相关办公室协调以促进在纽约设立一个临时的审判室设施，并开展类似努力以求在基本建设总计划完成之际，为内部司法办公室提供常设办公室和审判室设施。\",\n \"94. 除了为上述单位提供日常支持外，执行主任办公室还负责协调根据大会相关决议编写秘书长报告的工作。该办公室还在联合国内部和对外部机构以及在需要部门间协调和协商的所有事项中代表正式系统。\",\n \"95. 该办公室的成绩之一是设立了内部司法办公室网站，于2010年6月28日启用，使用了所有6种正式语文。该网站(www.un.org/en/oaj)易于浏览，并就正式系统的所有方面提供了实用的循序渐进信息。2011年5月，该网站的访问量为7 690人次，比前一个月的访问量增加了13%。自该网站启用以来，月均访问量为约7 000人次。总体而言，对该网站的使用呈增加趋势。内部司法办公室继续对该网站加以改进，包括根据使用者的要求设立搜索两法庭命令和判决的功能。\",\n \"96. 另一个重要的里程碑是在2011年7月6日启用了基于网络的案件管理电子系统，使工作人员能够从任何工作地点以电子方式提出和监测他们的案件。该系统预计将提高效率，减少拖延，改进两个书记官处的运作。此外，案件管理系统的实施为世界各地工作人员使用正式系统的各个要素打开了方便之门。\",\n \"97. 该办公室还依照《上诉法庭规约》第二条第十款通过谈判成功地与在先前系统中使用联合国行政法庭的所有实体达成了协定。[7] 由秘书长签署的这些协定使这些实体可将上诉法庭用作一个行政法庭。\",\n \"98. 除了在编写和协调给大会的关于内部司法问题的报告中发挥作用之外，执行主任办公室还在必要时为组织两法庭法官的选举提供实质性协助。\",\n \"99. 执行主任办公室的另一项重要职能是为内部司法理事会的工作提供支持，包括根据第62/228 号和第65/251号决议的要求编写给大会的报告，并就新的内部司法系统的实施情况传递其意见。\",\n \"100. 该办公室还为负责协助大会确定司法空缺职位候选人的内部司法理事会提供大量行政和技术支持。2012年6月30日，当争议法庭法官和上诉法庭法官的三年任期届满时，这些职位就会出现空缺。\",\n \"2. 与执行主任办公室运作有关的问题\",\n \"101. 执行主任办公室是内部司法办公室内每一个实务单位所有技术、预算和后勤方面工作安排的协调中心。执行主任的作用很大，职能很多。执行主任在保持正式系统的独立方面发挥着举足轻重的作用，并要负责协调正式系统的各个独立要素，包括监督和协调各个书记官处及工作人员法律援助办公室的工作。执行主任还在联合国内部和对外部机构代表正式系统并与联合国各部门首长联络，这些部门包括监察员和调解事务办公室。\",\n \"102. 大会第65/251号决议第34段请秘书长就内部司法办公室执行主任员额的适当员额职等提出建议。秘书长认为，这个问题不应与一个必然问题分开考虑，那就是争议和上诉两法庭法官的薪酬水平及薪酬机制。两法庭法官为非工作人员官员。就争议法庭法官而言，他们全职工作，比照D-2职等第四职档领取薪酬。上诉法庭法官不是全职工作，而是每年开庭数次就案件作出决定。他们的薪酬不比照任何具体的员额职等，而是按作出的每项判决领取酬金。一项判决的主要起草人领取2 400美元，其他签署人每项判决领取600美元。两年来获得的经验显示，这种薪酬机制引起了一些与上诉法庭必要的休庭期间职能有关的问题。因此，秘书长建议大会请内部司法理事会酌情审查两法庭法官薪酬水平及薪酬机制的问题，并就此向大会第六十七届会议提出报告，届时大会将结合内部司法办公室执行主任适当员额职等的问题一并审议该理事会关于这一事项的报告。\",\n \"103. 如上所述，该办公室的任务非常广泛，需要增设1名法律干事协助开展大量工作。执行主任办公室的专业工作人员均为法律和信息技术专家，在关键的行政领域中经验有限，在联合国预算编制方面尤其如此。\",\n \"104. 增设1名具有行政和预算经验的法律干事和1个行政辅助职位显然有利于该办公室。不过，考虑到财政拮据，这方面目前不要求追加资源。\",\n \"105. 内部司法办公室负责促进内部司法理事会的工作。这一由资深法学家组成的独立机构在新系统中要发挥关键的监督职能并获得了很大授权。大会第65/251号决议第52段强调指出，该理事会可以帮助确保内部司法系统的独立性、专业性和问责制，鼓励该理事会继续就内部司法系统的落实情况提出意见，并就如何加强其贡献向大会第六十六届会议提出报告。\",\n \"106. 尽管如此，内部司法办公室当前或以往的预算中都没有为该理事会外部成员在执行其重要职能时的薪酬明确划拨任何经费。内部司法办公室预算也不含有应付工作人员产假或长期病假的一般临时人员经费。此外，也没有为以项目为基础雇用临时人员或支付工作量高峰期的费用而划拨经费。因此，秘书长建议在2012-2013年预算中列入一般临时人员经费130 000美元。\",\n \"107. 执行主任及其工作人员必须定期出差参加会议，包括内部司法办公室的内部会议(例如，争议法庭和上诉法庭的全体会议)和更广泛组织范围内的会议，例如工作人员-管理当局协调委员会年会。执行主任及其工作人员也继续需要对位于总部以外的工作人员和管理人员开展外联活动，从而需要出差。内部司法办公室的差旅费预算必须支付执行主任及其工作人员的所有差旅费，以及支付与两法庭全体会议有关的工作人员差旅费、工作人员法律援助办公室工作人员或按照两法庭要求参加听讯的其他人员以及内部司法办公室任何其他工作人员的差旅费。由于与两法庭司法职能有关的差旅费必须优先保证，执行主任及其工作人员实际上并没有可用的差旅费预算。该办公室的差旅费预算也不足以允许内部司法理事会中不在同一地点办公的成员每年出差碰头或为执行他们评价该系统在全球的运行情况并向大会提出报告的基本任务而进行任何其他旅行。由于这些原因，秘书长建议在2012-2013年预算中将内部司法办公室的差旅费预算增加30 000美元。\",\n \"108. 内部司法办公室因工作分散而需要大量依靠技术解决方案。该办公室过去一年在这方面的两项成绩是设立了一个使用所有正式语文的综合网站和落实了一个使所有工作人员无论在什么地点都可向两法庭提出案件并对所提案件进行监测的案件管理系统。这些重要成绩尽管能够节省时间、资源和金钱，但必须得到维持和改进以与需求保持同步。此外，由于采用了现成解决方案以避免昂贵的定制系统，这些产品涉及每年延续许可证和维持合同的问题。此外，还有与数据存放、系统更新和根据经验教训进行调整的运行费用。内部司法办公室的预算目前未涵盖与已实施系统的所有许可证、维护和升级有关的费用。由于这些原因，秘书长建议在内部司法办公室2012-2013年预算中把订约承办事务和购置软件包方面的经费增加75 000美元。\",\n \"F. 代表秘书长担任答辩人的法律办公室\",\n \"109. 有几个法律办公室代表秘书长对工作人员提出的案件进行答辩。由于工作人员提出的案件仍然很多，而且许多案件的案情复杂，代表秘书长担任答辩人的办公室和单位因现有人员和资源有限，均满负荷和超负荷运作。\",\n \"1. 代表秘书长在联合国争议法庭出庭的法律办公室\",\n \"110. 总部和总部之外的日内瓦、内罗毕和维也纳办事处的工作人员代表秘书长，在争议法庭发挥答辩人的作用。\",\n \"111. 为满足新司法系统的需求，管理人员重新部署了本组织内的工作人员并征聘了具有专门技能的工作人员，为司法系统服务。因此，本组织对在整个组织内实施的新系统的需求作出了反应。\",\n \"112. 2010年争议法庭发布了218份判决书。这些判决书分析了争议的背景、相关工作人员条例和细则的应用的理由以及对争议法庭审理的事实问题和法律问题的结论。这些判决书反映了当事方在诉讼程序中对事实和法律问题提出的广泛意见。\",\n \"113. 为了达到新司法系统规定的标准，对在争议法庭代表秘书长答辩的办公室的要求很高。本节详述各办公室的作用、专用于司法系统的资源、秘书长代表处理的案件统计数据、诉讼程序的结果和行政当局对判决的回应。\",\n \"114. 新的司法系统给行政部门带来了新的需求。在对司法系统作结构调整外的同时，行政部门还需要迅速而果断地应对所面临的资源和管理方面的挑战。为了保持秘书长代表的力量和增强秘书长应对持续需求的能力，管理部门必须保留和巩固已采取的举措。此外，全球秘书处必须继续以全面综合的方式管理秘书长在各法庭的代表事务，包括代表秘书长的各办公室工作人员之间定期协商和通报情况。\",\n \"人力资源管理厅行政法科\",\n \"115. 人力资源管理厅下属行政法科由上诉股和纪律股组成。争议法庭审理全球秘书处现职工作人员提出的案件以及卢旺达问题国际刑事法庭和前南斯拉夫问题国际法庭的工作人员提出的案件时，该科负责代表秘书长发挥答辩人的作用。联合国日内瓦、内罗毕和维也纳办事处、联合国环境规划署(环境署)和联合国人类住区规划署(人居署)的工作人员提出的案件由所在工作地点的官员处理。该科还处理提交人力资源管理厅的全秘书处和国际法庭工作人员的纪律问题并向管理人员提供关于一般司法制度以及个人上诉和纪律案件各个方面的咨询意见。\",\n \"上诉\",\n \"116. 收到争议法庭转发的上诉申请书后，行政法科负责收集管理人员对申请书的意见并起草答复材料。提交答复的时限为30天，这需要管理人员和行政法科迅速采取行动。\",\n \"117. 在诉讼过程中，行政法科法律干事参加定向听讯和案情实质听讯，按照法庭的命令进一步提供书面材料。参加听讯需要大量时间准备，其中包括：酌情与有关办公室和法律事务厅协商；与答辩人将传唤的证人会面；准备对申请人或其律师传唤的证人和(或)法庭传唤的证人进行交叉询问。\",\n \"118. 行政法科还负责向行政部门提供咨询意见，说明应努力采用非正式解决办法，还是继续诉讼程序。该科的建议分析案件的事实和法律问题并提出以最具成本效益的方式解决争议的咨询意见。如果寻求非正式解决的建议得到接受，行政法科负责获得有关方面必要的核准，在与申请人和(或)其律师谈判的过程中提供咨询意见，与监察员办公室协作完成和解协议，并跟踪其执行情况。谈判经常需要很长时间，而且往往很艰巨；但是，非正式解决争议的潜在惠益很大。\",\n \"119. 在法庭发出最后判决后，行政法科与法律事务厅联系，由法律事务厅决定是否向上诉法庭对判决提起上诉。行政法科还负责解释争议法庭的最终判决，获得执行判决所需的信息，把判决书转交有关官员执行。\",\n \"120. 在一当事方请求紧急中止执行行政决定时，行政法科还在中止执行程序中代表秘书长视事。这些申请必须毫不拖延地加以处理，在提出请求的5天内要作出答复并举行口头听讯。法庭在听讯后数天内发出接受或不接受请求的命令。对这些听讯，行政法科需要予以紧急关注和精心准备。如果有关办公室和可能的证人不在总部，时差成了问题，那就特别难以在最后期限内做好准备。\",\n \"121. 在本报告所述期间，行政法科处理了318宗上诉案件；在任何一刻，行政法科都需处理在争议法庭待决的约200宗案件。这些案件中有大约50%涉及任用问题；20%涉及纪律惩戒方面上诉；15%涉及福利和应享待遇；5%涉及离职；1%涉及叙级；9%涉及其他事项。\",\n \"122. 在2010年7月1日至2011年6月30日期间，争议法庭对行政法科处理的114宗案件作出了判决。法庭根据案情实质对64份申请作出裁定；有17份以不可受理为由被驳回；有14份获得非正式解决，被撤回；有5份由工作人员撤回；有5份仅涉及赔偿问题；有9份被申请人放弃。此外，争议法庭裁定了12项中止诉讼行动的请求，同意中止其中3项，驳回4项，5项获解决或被放弃。\",\n \"123. 在根据案情实质裁决的案件中，有38宗案件秘书长胜诉，21宗案件工作人员胜诉，行政部门5次对工作人员的主诉进行了成功辩护，但工作人员的次要诉求取胜。在根据案情实质判决申请人完全或部分胜诉的20宗案件中，均裁定了赔偿金。\",\n \"124. 由于采用新的工作方法，要处理的上诉案很多，答辩人提交答复答辩的时间缩短(从两个月缩短到30天)以及纽约与用户部门/办事处、证人和法庭分部所在的其他工作地点存在时差，行政法科工作人员工作量繁重，压力增大。\",\n \"纪律问题\",\n \"125. 行政法科还负责处理提交人力资源管理厅采取行动的纪律问题。在本报告所述期间，行政法科负责处理了391个纪律问题，包括在本报告所述期间收到的121个新案件。秘书长在另一份关于处理纪律问题和可能犯罪行为的做法的报告(见A/66/135)中说明了行政法科在处理纪律案件中的作用。\",\n \"126. 有人指出，随着新司法系统的设立和联合纪律委员会的撤销，对案件进行事实和法律分析的责任已转交给人力资源管理厅。在原司法系统下，秘书长将纪律问题提交联合纪律委员会，由该委员会确定事实并提出采取何种纪律措施的咨询意见。在联合纪律委员会撤销后，人力资源管理厅必须对收到的案件进行越来越详细的分析。因此，该厅花大量时间仔细审查采取纪律行动的各方面问题，包括要求调查单位或者有关工作人员澄清事实和提供补充证据。根据问题的复杂程度，纪律处分程序对于相对简单的案件可能持续3个月，对于较复杂的问题可能持续两年。\",\n \"咨询\",\n \"127. 最后，行政法科向整个秘书处各个办公室提供专案咨询意见。一般来说，1项咨询意见需要1个工作日。行政法科每年提供约600项咨询意见。\",\n \"行政法科的资源\",\n \"128. 向新司法系统的过渡大量增加了对行政法科的需求。有关上诉和纪律惩处工作的程序要复杂得多，要求要高得多，从而造成工作量大幅度增加。一个根本的变化是，原司法系统的程序一般仅需文件传送，而在新司法系统下，需举行口头听讯，需要大量书面呈件。处理一宗上诉案所需的工作日平均增加了两倍，从原系统的5天增加到新系统的15天。根据原司法系统，答辩人对每宗案件平均提出两份书面文件，对上诉案件很少或根本不举行听讯。在新系统下，法庭往往要求大量书面呈件。从行政法科处理的许多案件来看，每宗案件要举行两到三次口头听讯，有些案件甚至更多。听讯要花大量时间准备，需要与有关办公室协商，而案情实质听讯的准备工作需要找到证人并与他们交谈，让他们熟悉听证过程，并获取证词。\",\n \"129. 截至2009年6月30日，行政法科有四个员额：1个由经常预算供资的P-5员额(科长)；1个也由经常预算供资的P-4员额；2个由维持和平支助账户供资的P-4员额。此外，还有维持和平支助账户提供的一般临时人员资金。由于来自外地的工作量大和新司法制度对行政法科的要求高，2009年7月1日大会授权增设由维持和平支助账户供资的3个法律干事员额(2个P-3，1个P-2)和两个临时职位(1个P-3，1个P-2)。2010年1月行政法科分为上诉股和纪律股。从人力资源政策处另一个科调入1个P-5员额领导上诉股。鉴于来自外地特派团的工作量持高不下，2010年7月大会核准在内罗毕增设2个由维持和平支助账户供资的法律干事员额(1个P-4，1个P-3)。2010年7月秘书长还动用有限的酌处权，增设3个临时职位(1个P-4，2个P-3)，处理非外地组织单位的上诉和纪律案件。\",\n \"130. 行政法科的人员编制为15名法律干事。目前，行政法科下设上诉股和纪律股。上诉股在纽约有1个P-5(股长)、3个P-4和2个P-3工作人员，在内罗毕有1个P-4和1个P-3工作人员；纪律股有1个P-5(股长)、1个P-4、3个P-3和2个P-2工作人员。在这些职位中，3个由经常预算供资(1个在人力资源政策处内调动)、9个由维持和平支助账户供资，3个由秘书长动用有限的预算酌处权提供截至2011年12月31日为止的临时资源供资。\",\n \"131. 对行政法科案件量的分析表明该科需要增加员额。关于上诉案，去年上诉股收到和处理了向争议法庭提交的约115宗上诉案。提交争议法庭的每宗案件平均要花15个工作日处理，每年需要1 725个工作日。此外，上诉股每年提供约400项咨询意见，每年需要400个工作日。上诉股每年共需要约2 125个工作日。按照每月27个工作日计算，每年需要78.7个工作月，即7个员额的工作日。上诉股目前只有5个员额，其中一个是股长员额。股长监督和指导该股的工作，4名法律干事处理案件。因此，需要增设3个法律干事员额。\",\n \"132. 鉴于大约35%的上诉案来自维持和平特派团，65%来自非维持和平办公室，6个员额应由经常预算供资，3个员额由维持和平支助账户供资。不过，目前该股只有1个法律干事员额由经常预算供资。要确保上诉股的优化运作，上诉股就需要增设3个经常预算员额。但是考虑到会员国目前财政拮据的情况，建议上诉股此时增设2个员额(1个P-4，1个P-3)。\",\n \"133. 根据自2009年7月1日以来收到的纪律案件数目，预计行政法科每年收到约150宗要采取行动的案件。由于处理纪律案卷平均需要20个工作日，这些工作量每年需要3 000个工作日。此外，纪律股每年提供约200项咨询意见，需要200个工作日。纪律股每年共需要工作3 200天左右。按每月工作27天计算，这等于118.5个工作月，相当于10个员额的工作量。纪律股目前只有6个法律干事员额，即4个常设法律干事员额和2个临时职位。此外，该股有1名监督和指导工作的股长(P-5)。因此，该股短缺4个法律干事员额。\",\n \"134. 考虑到处理的纪律案件中有大约60%来自维持和平特派团，40%来自非维持和平办公室，4个员额应由经常预算供资，6个员额由维持和平支助账户供资。然而，纪律股目前没有1个法律干事员额由经常预算供资。建议保持由维持和平支助账户供资的4个常设员额。拟议在2012-2013年维持和平支助账户预算中把另外2个所需员额从一般临时人员改划为常设员额。为了处理非维持和平办公室的工作量，纪律股需要增设4个经常预算法律干事员额。但是，考虑到会员国目前财政拮据的情况，建议纪律股此时增设3个员额(1个P-4，2个P-3)。\",\n \"135. 秘书长设法为行政法科共增设5个法律干事员额。值得注意的是，在评估行政法科所需的资源时，采用每月27个工作日，而不是标准的21.5个工作日。这进一步表明了行政法科工作量繁重，需要可持续的资源基础。\",\n \"联合国维也纳办事处\",\n \"136. 联合国维也纳办事处和联合国毒品和犯罪问题办公室已经把在上诉和纪律问题上代表秘书长视事的全部职责下放给管理事务司司长。在纪律案件转交人力资源管理厅前处理这些案件和管理评价请求以及在争议法庭代表秘书长出庭的日常职责分配给人力资源管理处，由该处的人力资源政策干事进行协调。\",\n \"137. 联合国维也纳办事处和联合国毒品和犯罪问题办公室继续注意到，管理人员请求提供法律咨询意见和请求确认适用法律得到遵守的数量增多，为争议法庭每个案件作准备所需的时间也增加。为了让工作人员和管理人员都了解新司法制度的特色，联合国维也纳办事处和联合国毒品和犯罪问题办公室继续举行情况通报会、午餐论坛和公开会议，向维也纳和外地的广大工作人员发送电子信息，所有这些都要增加人力资源团队的工作时间。\",\n \"138. 上诉案件越来越多，加上新的司法系统答复期限很短，继续过度分散了向联合国维也纳办事处和联合国毒品和犯罪问题办公室管理部门提供法律支持的能力。联合国维也纳办事处已在人力资源管理处配备了1名全职人力资源政策干事，以应对新系统增加的需求。然而，这不是长期可行的办法，因为人力资源团队得凑合使用有限的资源，才能替这名干事履行其经常职能。因此，联合国维也纳办事处需要1名专门的P-4职等法律干事员额和1名一般事务(其他职等)的法律助理员额，以确保司法系统的持续需求得到充分满足。然而，由于财政拮据的情况，建议由联合国日内瓦办事处的工作人员向联合国维也纳办事处提供支持。\",\n \"联合国日内瓦办事处\",\n \"139. 在联合国日内瓦办事处，由具有法律背景的一名人力资源干事代表本组织在争议法庭处理日内瓦办事处及其用户组织(联合国人权事务高级专员办事处(人权高专办)、联合国贸易和发展会议(贸发会议)、人道主义事务协调厅、欧洲经济委员会(欧洲经委会)和其他较小实体)的工作人员提出的案件。除了临时的P-4资源外，有必要增设1个由用户组织(人权高专办、贸发会议和人道协调厅)以分担费用方式供资的P-3法律干事员额，以应付工作量的增加,特别是用户组织工作量的增加。然而，这种安排只能到2011年年底才能作出。\",\n \"140. 如上所述，由于新司法系统的建立，工作人员呈交的文件更加详细，需要更多的分析工作和法律研究,口头听讯比原系统更多，而口头听讯十分耗时。此外，争议法庭的法官往往要求答辩人提供案件要素的详细信息，从而增加了工作量,需要与有关管理人员进行更多的协商。总体结果是，工作人员处理每宗案件的时间都比原系统下要花费的时间更多。\",\n \"141. 管理人员还请法律干事就管理评价请求或决定的编写工作提供法律咨询意见。此外，联合国日内瓦办事处继续为管理人员举办关于司法系统的培训并向管理人员通报管理评价决定和法庭判例。最后，法律干事向法律事务厅提供支持和意见，帮助该厅代表本组织处理向上诉法庭提出的上诉案件。\",\n \"142. 尽管工作量大增，但是联合国日内瓦办事处并没有获得向新司法系统过渡的额外资源。联合国日内瓦办事处专门安排了临时工作人员负责处理时间紧迫的额外工作，以便向办事处提供重要法律专门知识，不过，这样做是以放弃充分满足人力资源其他领域的大量需求为代价的。因此，这些安排被认为将来无法持续。\",\n \"143. 为了在争议法庭有效、适当地代表秘书长，联合国日内瓦办事处必须就增拨专用法律资源的问题征求总部的意见。具体来说，鉴于目前的工作量，联合国日内瓦办事处需要1名具有诉讼经验的P-4法律干事员额和1名一般事务(其它职等)法律助理员额。如上文第138段所述，这名P-4法律干事还需要向联合国维也纳办事处和联合国毒品和犯罪问题办公室提供服务。由用户组织(人权高专办、贸发会议和人道协调厅)以分担费用方式供资的P-3法律干事员额需予保留。\",\n \"联合国内罗毕办事处\",\n \"144. 在本报告所述期间，联合国内罗毕办事处填补了总干事的高级法律干事职位。在该期间下半期，高级法律干事代表联合国内罗毕办事处在争议法庭出庭。在本报告所述期间初期，由具有法律背景的人力资源干事在行政法科同事协助下，代表内罗毕办事处在争议法庭出庭。此外，鉴于人力资源科的诉讼经验有限，内罗毕办事处和环境署通过顾问合同使用外部的法律人才在争议法庭协助处理诉讼事项。\",\n \"145. 在联合国内罗毕办事处，涉及用户办事处的案件由具有法律背景的环境署或人居署工作人员或内罗毕办事处高级法律干事处理。\",\n \"146. 在司法事项方面对高级法律干事的依赖，意味着她无法履行作为总干事法律顾问的核心职能。因此，内罗毕办事处请求增拨资源。具体来说，内罗毕办事处需要增设1名具有诉讼经验的P-4法律干事员额和1名一般事务(其它职等)法律助理员额。这些员额还向对新司法系统的需求量特别大的非洲经济委员会(非洲经委会)提供服务。\",\n \"区域委员会和国际法庭\",\n \"147. 在新系统下，各区域委员会(欧洲经委会、亚洲及太平洋经济社会委员会(亚太经社会)、拉丁美洲和加勒比经济委员会(拉加经委会)、非洲经委会和西亚经济社会委员会(西亚经社会)和国际法庭(前南斯拉夫问题国际法庭和卢旺达问题国际刑事法庭)的人力资源管理处都需要履行额外职能，提供额外服务。\",\n \"148. 把纪律案件转交人力资源管理厅前，人力资源管理处负责日常处理这些案件和管理评价请求。人力资源管理处还需要向管理人员提供关于争议法庭新判例的咨询和指导。此外，人力资源管理处需要就正在审理的案件与行政法科联系，对争议法庭关于提供补充信息的要求作出回应，与证人联系，并提供执行判决所需的信息。争议法庭法官往往要求当事方提供案件要素的详细信息，从而增加了工作量和与有关管理人员协商的次数。总体结果是，工作人员处理每宗案件的时间都比原系统下花费的时间多得多。\",\n \"149. 原先为实施新司法系统增拨资源的请求中没有列出区域委员会需要的额外经费。然而，随着新系统的实施，显然需要增拨资源。\",\n \"150. 亚太经社会和西亚经社会需要1名具有法律背景的P-4人力资源政策干事，负责向管理部门和人力资源处提供内部咨询意见。这名干事将在亚太经社会，同时向亚太经社会和西亚经社会提供支持。另需要1名一般事务(其它职等)员额支持该干事的工作。\",\n \"151. 联合国日内瓦办事处的法律干事将支持欧洲经委会的工作，而总部的法律干事负责向拉加经委会提供咨询。\",\n \"152. 如上文第146段所述，拟议在联合国内罗毕办事处增设的法律干事员额将支持非洲经委会的工作。\",\n \"外联\",\n \"153. 需要与各区域委员会进行联系。培训管理人员和人力资源干事，向他们传播相关信息，对于维护整个组织的统一标准和处理目前系统性问题至关重要。管理人员需要听取造成上诉的关键问题的情况通报和如何能够尽量减少潜在争议的咨询意见。人力资源干事需要接受培训，了解如何编写和提出对管理评价请求的答复，如何在诉讼程序中向行政法科提供信息和援助。最后，管理人员和人力资源干事需要了解整个系统，重点了解非正式解决争议的可能性。他们也需要关于开展谈判和在调解中有效代表秘书长的培训。\",\n \"154. 卢旺达问题国际刑事法庭和前南斯拉夫问题国际法庭目前正在实施《完成工作战略》。经验表明，特派团缩编时工作量都要增加。因此，预计未来三年国际法庭工作人员提出的案件数将增加。在这种情况下，必须促进与国际法庭的联系，确保管理人员和人力资源干事有机会获得对具体案件的援助和关于影响《完成工作战略》实施的判例的最新情况通报。\",\n \"155. 外联任务拟予执行。执行这些任务所需的资金共为30 000美元。具体来说，内罗毕的1名法律干事拟前往非洲经委会和卢旺达问题国际法庭(内罗毕办事处供资12 500美元)，日内瓦的1名法律干事拟前往西亚经社会、亚太经社会和前南斯拉夫问题国际法庭(日内瓦办事处供资17 500美元)。因此，秘书长请求为外联任务增拨30 000美元。\",\n \"156. 此外，争议法庭有时在特派团和其他工作地点举行听讯。代表秘书长的法律干事必须前往举行听讯的地点。但到目前为止，预算中没有为这些差旅费编列具体经费。因此，秘书长请求拨款30 000美元，用作前往特派团所在地参加法庭听讯的差旅费。\",\n \"现有资源和所需资源汇总表\",\n \"157. 下表载列行政法科、总部以外办事处和区域委员会的现有资源和所需资源。\",\n \"现有资源和所需资源\",\n \"办公室\\t经常预算现有资源\\t请求增拨的经常预算资源 \\n 行政法科 2个P-5 2个P-4 1个P-4 3个P-3 3个一般事务 维持和平支助账户 3个P-4 3个P-3 1个P-2 1个P-3(一般临时人员)^(a) 1个P-2(一般临时人员)^(a) 1个一般事务 秘书长有限的预算酌处权^(b) 1个P-4 \\n 2个P-3 联合国日内瓦办事处 P-4人力资源政策干事 1个P-4 \\n 1个一般事务(其它职等)\\n联合国维也纳办事处\\t无资源(P-4人力资源政策干事已调任)\\t利用联合国日内瓦办事处的P-4法律干事的服务联合国内罗毕办事处\\t无资源(P-5高级法律干事已部署)\\t1个P-4 \\n 1个一般事务(其它职等)\\n非洲经济委员会\\t无资源\\t利用联合国内罗毕办事处的P-4法律干事的服务亚洲及太平洋经济社会委员会\\t无资源\\t1个P-4 \\n 1个一般事务(其它职等)\\n西亚经济社会委员会\\t无资源\\t利用亚洲及太平洋经济社会委员会的P-4法律干事的服务\",\n \"^(a) 拟议在2012-2013年支助账户预算中将其改划为常设员额。\",\n \"^(b) 到2011年12月31日为止。\",\n \"联合国开发署\",\n \"158. 联合国开发署法律支援办公室是开发署及其附属基金的综合法律办公室，其法律工作涉及公司法、机构法和行政法的各个方面，同时注重政策和培训工作。考虑到新的司法系统的要求，随着对法律磋商和咨询的需求的增加，法律支援办公室不得不调整其人员配置。该办公室行政法实践小组目前已满员运作，其中有1名实践小组组长(P-5)(有自己的工作量)、1个P-5、2个P-4和2个P-3法律干事，共有6名法律干事，由2名一般事务辅助人员协助工作。实践小组负责处理所有的管理评价请求、提交争议法庭的所有案件、所有纪律案件、政策工作法律咨询、法律培训以及从个人法律义务到税收和养恤金问题的各种法律询问。\",\n \"159. 法律支援办公室参与以非正式和正式方式解决工作人员的申诉问题的所有阶段的工作。在非正式阶段，法律支援办公室向包括人力资源办公室、国家办事处和区域局人员在内的管理人员提供关于正式投诉前消除分歧的咨询和指导意见。该办公室也可以寻求各基金和方案监察员的干预。自2009年7月1日以来，该办公室这类预防性工作大幅度增加，因为有更多的管理人员寻求法律指导，以确保他们的决定符合开发署的法律框架规定，从而增加了时间和资源的支出。\",\n \"160. 如果问题没有在非正式阶段解决，法律支援办公室向助理署长兼管理局局长提出处理管理评价请求的建议，在争议法庭代表开发署出庭，参与调解程序，与法律事务厅协调，在上诉法庭代表秘书长处理与开发署有关的案件。如有正当理由，法律支援办公室还建议从问责角度采取行动。2010年8月1日开发署启用了处理管理评价请求的新程序。虽然该办公室继续审查这些请求并向助理署长兼管理局局长提出处理建议，但是由署长任命、从名册中挑选的另两名高级管理人员需要从管理角度直接向助理署长兼管理局局长提出自己的独立见解。这项制度一直运作良好，不过，2011年需要任命更多的管理人员来应付管理评价请求数量增加的局面。预计目前给予长期任用的一次性审查将产生更多的案件。\",\n \"161. 法律支援办公室通过现有各种媒体定期开设培训班，举行简报会，开展外联活动，以提高开发署工作人员和管理人员对新系统的认识。例如，该办公室推出所有管理人员必修的在线法律课程，其中有几个章节涉及内部司法制度的法律问题。此外，该办公室不得不作出调整，以适应管理评价期限和争议法庭时限缩短以及法庭要求的听讯次数和书面呈件增加的情况。这一切都造成了其工作人员的工作量全面增加。此外，鉴于争议法庭日益注重口头听讯和正式审判，律师需要接受辩护和诉讼的专门培训。\",\n \"联合国儿童基金会\",\n \"162. 隶属执行主任办公室的执行主任首席顾问办公室全面负责儿童基金会的法律支援和咨询工作。人力资源司处理管理评价的请求，并代表儿童基金会在争议法庭出庭。为适应新系统启用后造成工作量增加的情况，儿童基金会调整了人员配置、能力和标准业务程序并特别注意管理评价的请求和调解的机会。\",\n \"联合国难民事务高级专员办事处\",\n \"163. 在内部司法系统改革前，由秘书处行政法股对有关难民署工作人员的决定进行行政复议。现在难民署自己进行管理评价，已把评价权力下放给副高级专员。直接向副高级专员报告工作的法律事务处为所有的管理评价提供咨询意见。\",\n \"164. 难民署对管理评价过程拥有非常积极的经验，这就使管理人员能够认真检讨其决定，在案件升级到争议法庭之前采取补救行动并审查及改善其工作程序。在许多情况下，管理评价过程也重新启动了难民署与工作人员的对话。\",\n \"165. 人力资源管理司司长代表难民署在争议法庭出庭。法律事务处就所有未决案件向司长提供咨询意见。\",\n \"166. 难民署非常注重早期非正式处理冤情，难民署监察员参与非正式地了结了许多案件。不过，自从采用新司法系统以来，工作人员试图通过正式系统处理冤情的情况明显增加。\",\n \"167. 难民署继续支持工作人员法律援助办公室的工作，向该办公室设在日内瓦的办事处无偿借调了1名法律干事。\",\n \"联合国项目事务厅\",\n \"168. 联合国项目事务厅(项目厅)规模较小，没有收到很多案件。项目厅虽然没有专门处理这类案件的法律部门，但是在总部有1名负责监察司法系统发展情况(包括争议法庭和上诉法庭的判例和实践)等事务的法律干事。每宗提交争议法庭的案件以及可能成为案件的任何问题，包括管理评价的请求，均由案件或问题所在区域办事处的项目厅法律干事处理，由上文提及的总部法律干事提供支持。这项工作在项目厅总法律顾问的全面监督下进行。根据ST/SGB/2008/13号秘书长公报，法律事务厅管理向上诉法庭提出的与项目厅有关的所有上诉案件。\",\n \"169. 到目前为止，新的司法系统似乎比原系统正规得多，专业得多。在新系统中，审理案件的方式与许多国家法院采用的方式相类似，口头听讯次数的增加只是其中一个例子。\",\n \"170. 因此，律师和非律师处理案件所需要的时间大幅度增加。此外，工作人员可能请求出示许多文件。争议法庭一般倾向于准许这些请求，而满足这些请求需要本组织进行大量的工作。\",\n \"联合国人口基金\",\n \"171. 联合国人口基金(人口基金)聘用了两名法律干事，他们向人口基金提供一系列法律支持和咨询服务，包括代表人口基金在争议法庭出庭。人口基金继续特别关注管理评价问题，特别关注解决争议的替代选择办法，包括调解。\",\n \"2. 代表秘书长在联合国上诉法庭出庭的法律部门\",\n \"法律事务厅\",\n \"172. 作为本组织的中央法律服务部门，法律事务厅在包括新的内部司法系统领域在内的若干领域向秘书长、秘书处各部厅和联合国各机构提供法律咨询。在法律事务厅内部，承担这一职责的组织单位是一般法律事务司行政和管理组。下文列述该司在这一领域的职责。\",\n \"173. 一般法律事务司在内部司法系统方面的责任涉及争端解决的非正式和正式这两个阶段。该司在工作人员提出申诉的最初阶段，即远未在申诉发展成为诉讼之前，向秘书处各部厅、各基金和方案提供咨询意见。例如，曾要求该司在管理评价阶段和解决的谈判期间提供意见。\",\n \"174. 一旦申诉发展到正式阶段，且工作人员向争议法庭提出申请，一般法律事务司就经常在司法进程的第一级向代表秘书长的实体提供咨询意见。这些实体包括行政法科以及日内瓦、维也纳和内罗毕的对应部门。在新的行政司法系统下，各基金和方案(开发署、项目厅、儿基会、人口基金和难民署)内的实体代表秘书长在争议法庭出庭；该司可应要求向各基金和方案提供咨询意见。此外，该司由于对新系统判例不断演变有着全面的了解，因此向代表秘书长在争议法庭出庭的所有实体介绍新系统的法律发展情况，分享法律论点，以便就在出庭时面临的各种问题提供指导，并供其使用。此类咨询意见确保秘书长就政策和原则问题提出的法律战略和论点协调一致。在这一背景下，该司提请各相关单位注意争议法庭作出的对本组织具有重大影响的判决。\",\n \"175. 一般法律事务司还代表秘书长在上诉法庭出庭。这项责任既包括对争议法庭的判决提出上诉，也包括对工作人员提出的上诉作出答辩。该司为秘书处各部厅以及各基金和方案履行这一职能。为了确定对某一判决提出上诉是否符合本组织利益，该司必须审查和分析争议法庭的每一项判决，并与代表秘书长在法庭出庭的实体协商。因此，在处理上诉的过程中需要研究和分析争议法庭提出的所有必要的事实和法律问题，并酌情起草书面上诉或答辩。\",\n \"176. 除了就与内部司法系统有关的事项提供咨询意见外，一般法律事务司还在秘书处各部厅以及各基金和方案作出行政决定之前，比如针对开除工作人员的建议作出决定之前，就《工作人员条例和细则》或其他人事政策和惯例的解释和执行向它们提供咨询意见。这类咨询请求大多来自管理事务部(包括人力资源管理厅、索偿事项咨询委员会、医务司或保险科等组织实体)，但也有一些请求来自各基金和方案、难民署以及总部以外各办事处。最后，该司还负责在颁布每一项与人力资源管理政策有关的行政通知之前对其进行审查、提供咨询意见并确认其合法性。\",\n \"177. 一般法律事务司在新的司法系统方面承担的责任大大超出了预估，造成该司工作量出现了未曾预期的大量增加。在新系统开始运作之前，秘书长曾提出该系统所需资源的报告，当时行政和预算问题咨询委员会没有核准为法律事务厅请批的任何员额，认为“通过非正式途径尽早解决争端，可能会使诉诸法庭的案件减少”(见A/62/7/Add.7，第50段)。出于这一考虑，咨询委员会认为，要求增加工作人员的理由尚不充分，因此建议在可以对实际需求进行评估之前不核准这些员额。咨询委员会推定，绝大多数案件在诉诸争议法庭之前就会得到解决。但与这一推定相反的是，如下文所述，由于新系统的实际需求，一般法律事务司需要就日益复杂的问题向更广泛的客户提供法律咨询，这些问题在财务、法律和业务上对本组织有重大影响，对咨询意见的需求也更为迫切。\",\n \"178. 在原系统下，只有一级司法审查，也就是联合国行政法庭。目前则有两级审查。在原系统下，行政法庭非全时运作，每年有两个开庭期，而在新系统下，争议法庭一年到头全时运作，上诉法庭则每年有三个开庭期。\",\n \"179. 由于系统中的这些重大的体制变化，一般法律事务司必须审查并提供有关咨询意见的判决数大大增加。在原系统下，联合国行政法庭于2009年作出了65项判决。与此相对比，在新系统下，争议法庭在2010年作出了218项判决，上诉法庭作出了100项判决。因此，新系统下的判决总数约为原系统下判决数的五倍。\",\n \"180. 在新系统下，一般法律事务司的呈件也大量增加。在原系统下，该司每年平均向联合国行政法庭呈件63份。与此相对比，该司2010年在新系统下呈件150份 (114份为源自秘书处、包括维持和平特派团的案件中的呈件，36份为源自各基金和方案及难民署的案件中的呈件)。因此，在新系统下呈件数目比在原系统下呈件数目增加了约140%。\",\n \"181. 新系统对一般法律事务司的影响不只是向上诉法庭提出上诉的数目增多；该司在这方面开展的工作性质也发生了重大变化。在原系统下，该司起草给联合国行政法庭的答辩的时间框架(六个月)比较宽松。这些答辩通常参照行政法庭既定判例，因此该司的工作较为简单，也易于管理。但是，在新系统下，提出上诉和对上诉作出答辩的时限缩短为45天。而且，尽管上诉法庭规约规定了45天的时限，上诉法庭又将提交中间上诉的时限缩短为15天。此外，新的内部司法系统的实行，意味着本组织以往的做法和行政法庭的判例正得到新法庭的重新审查。随之在管理人员应适用哪些法律规范和原则方面产生的不确定性，意味着该司现更经常地被要求向其他部门提供咨询意见，包括在争议法庭正常的听讯之前向代表本组织在争议法庭出庭的实体提供咨询意见。这与原系统形成对比，在原系统下，给联合申诉委员会和联合纪律委员会的呈件基于行政法庭既定判例，要求该司就这些程序提出咨询意见的情况很少。\",\n \"182. 所有这些因素因诸如合同改革、服务条件的统一等人力资源管理许多领域、最近的改革而更为复杂。这些改革工作也对一般法律事务司提出了更多要求，要求它审查行政通知，确认其合法性，并就《工作人员条例和细则》的解释和施行提供咨询意见。\",\n \"183. 目前，一般法律事务司由经常预算供资来负责内部司法和管理问题的员额有2个专业员额(1个P-5和1个P-3)和1个一般事务员额。截至2010年7月1日，秘书长已利用其有限的预算酌处权，为2011年12月31日截止的有限期提供了6个P-3/P-4员额和2个一般事务(其他职等)员额的临时资源。该司另外还有1个由维持和平支助账户供资的P-4员额。此外，该司最近获悉，大会于2011年7月1日批准了由维持和平支助账户供资的1个P-4和1个P-3临时人员员额。总之，除非核准下文请批的额外资源，该司将总共只有5个专业员额和1个一般事务员额负责处理内部司法和管理问题。\",\n \"184. 最后，由于对该司服务的需求超出预料，使该司承受了压力，这将削弱该司不仅在内部司法领域、而且在其他问题上及时全面地提供法律咨询的能力。\",\n \"185. 确保该司拥有在行政和管理领域提供法律咨询的能力，将会避免对本组织整体上产生长期不利的财务、法律和业务影响，在法庭判例发展的至关重要阶段尤其如此。例如，2010年该司代表本组织在上诉法庭出庭，有助于赔款裁决参数的确定，有助于澄清审查秘书长酌处权的原则。这些上诉为本组织节省了大量费用，而且基本原则的发展将使本组织长期大大受益。\",\n \"186. 为了满足新系统下对法律事务厅大量增加的服务需求，一般法律事务司需要增设8个经常预算员额(6个P-3/P-4，2个一般事务(其他职等))来处理内部司法和管理问题。不过，秘书长考虑到会员国当前的财政限制，因此目前只请大会核准一般法律事务司增设3个经常预算员额(2个P-4，1个P-3)。在这方面应当指出，该司是与上次报告相比请设员额减少了约三分之二(从8个员额减至3个员额)的唯一单位，同时它也是唯一没有因建立新系统而得到长期资源的单位(核准自2011年7月1日起设立由维持和平支助账户供资的2个一般临时人员员额除外)。\",\n \"三. 对与内部司法有关问题的回复\",\n \"A. 概览\",\n \"187. 本节对大会第65/251号决议所列问题作了回复。\",\n \"B. 回复\",\n \"1. 工作人员出资的工作人员法律援助办公室支持机制\",\n \"188. 第65/251号决议第40和第41段中请求就工作人员出资的工作人员法律援助办公室支持机制提出提议，秘书长对这项请求的回复列于本报告附件一。\",\n \"189. 在2011年6月举行的工作人员和管理当局协调委员会会议上就这些提议与工作人员进行了协商。在这次会议上，工作人员重申，由工作人员出资设立一个机制的各种选择没有一项能够接受，因为代表工作人员的费用应由雇主承担。工作人员指出，大会设立工作人员法律援助办公室是将其作为本组织内的内部司法系统的一部分，与该办公室的运作相关的费用构成为本组织的费用。他们吁请大会提供所需的资源，确保双方(工作人员和管理层)得到“平等的武装”。\",\n \"2. 编外人员的申诉机制\",\n \"190. 大会在第65/251号决议第55段中要求就有关编外人员申诉机制提出提议，秘书长对这项要求的回复列于本报告附件二。\",\n \"3. 纪律措施权力的下放\",\n \"191. 大会第65/251号决议第51段中要求就下放采取纪律措施的权力提出详细提议，秘书长在下文对这项要求作了回复。\",\n \"背景情况\",\n \"192. 将采取纪律措施的权力下放给特派团团长和总部以外办事处主管的可能性最初是秘书长在大会第六十二届会议上提出来的。这样做是基于重新设计小组报告的建议以及工作人员和管理当局协调委员会第二十八届会议的结果。该届会议对这一问题进行了讨论，并提出了一项提议。大会原则上同意将采取纪律措施的权力下放给特派团团长和总部以外办事处主管，并请秘书长就此提出一份报告，其中载述各种可能的备选方案。\",\n \"193. 秘书长考虑到协调委员会的建议，提出了将采取纪律措施权力有限下放。据此，如具备所需的有关能力，特派团团长和总部以外办事处主管就被赋予实施较轻微处罚(警告和罚款)的权力。大会请秘书长就此在第六十五届会议上提出新的提议。\",\n \"194. 鉴于若干前提条件尚未得到满足，秘书长提议在进一步分析之前暂不执行以前提出的有限权力下放的建议。不过大会再次请秘书长在大会第六十六届会议上提出一份报告，载列下放采取纪律措施的权力的各种可能备选方案。本文摘述的提议就是应这项要求编制的。\",\n \"纪律案件的处理现状\",\n \"195. 自秘书长提交关于内部司法的上次报告以来没有出现任何重大发展，但也有若干新的情况。人力资源管理厅着手对关于经订正的纪律措施和程序的行政指示(ST/AI/2007/1/Amend.1)进行修订。法庭的新判例表明，与以前的行政法庭判例相比，法庭正从一个新的角度来分析和解释《联合国工作人员条例和细则》。具体而言，两个法庭在采取纪律措施之前的阶段和纪律处分阶段的整个期间，都在对本组织要求的程序性和实质性标准进行解释；这些标准包括对指控和投诉的评估、调查报告的质量、工作人员在程序期间应享有的适当程序权利、以及所采取措施的相称性。但是必须指出，向法庭提出上诉的纪律案件涉及人力资源管理厅根据行政法庭的判例和标准审查的案子。因此，2009年7月1日后在新系统下收到并结案的案子有多少将遭到上诉以及将如何对其处置还有待观察。\",\n \"196. 从2009年7月1日到本报告所述期间结束，人力资源管理厅行政法科将357个案子结案，其中216个案子为特派团的案子。在当中的71个案子中采取了纪律措施，情况如下：19个案子中采取了开除措施，17个案子中采取了离职措施，4个案子中采取了降职措施，5个案子中采取了训斥并降低职档/职等或推迟提高职档/职等措施，14个案子中采取了训斥并罚款措施，1个案子中采取了训斥和心理咨询措施，11个案子中采取了训斥措施。\",\n \"197. 行政法科自2009年7月1日处理的涉及在外地特派团服务的工作人员的纪律案件占2009/10年案件数的70%，占2011年案件数的近60%。\",\n \"198. 行政法科处理一个纪律案子大约所需的时间从交给它处理时算起，视案情和复杂程度而定，为3至11个月不等。不过，这一约略的时间是在最佳条件下所需的时间，没有计及目前积压的旧的案子，包括在采用新的司法系统前没有结案的案子，即：(a) 在采用新的司法系统之前人力资源管理厅待处理的170个案子；(b) 30个于2009年7月1日发还行政法科的在联合纪律委员会待处理或等常务副秘书长根据委员会的报告作出决定的案子。预期这些案子将在2011年底之前结案。\",\n \"199. 在2006年至2008年间，一个纪律案子结案平均要花17个月。在这一期间处理的案子，除了建议开除的案子外，均由联合纪律委员会设立的一个小组审议。行政法科把案子提交该委员会审理平均要花8个月时间。自采用新系统后，该科平均需要11个月时间将2009年7月1日以后提交给它的案子结案。\",\n \"200. 联合纪律委员会的撤消，切实增加了行政法科根据《工作人员条例》关于纪律措施的第十章审查每个案子的实情并对这些案子加以分析的责任，而这些任务以前大部分是由委员会承担的。鉴于争议法庭加大了审查力度，该科同样进行更为详尽的分析，并在程序的每一阶段与调查实体开展相应的后续工作。\",\n \"对各种备选方案的审查\",\n \"201. 2009年7月1日采用新的司法系统，大大改变了处理纪律案件的程序。除其他外，联合纪律委员会的撤消将案子的实情评估责任转给了人力资源管理厅。\",\n \"202. 当前的多步骤程序存在着三个重大瓶颈，其中每一个都涉及确保对实情进行仔细分析和尊重工作人员的适当程序权利：(a) 调查进程的长短和参与调查的实体数目、以及实情调查和非专业的调查人员进行的其他调查的质量；(b) 让被控行为失当的工作人员作出评论所需的时间；(c) 从调查实体获得其他资料花费的时间。\",\n \"203. 简单地下放权力不会消除现有的瓶颈，因为处理纪律事项的现有程序和法庭的新判例将继续需要予以非常仔细的审视。此外，将权力下放给外地可能使工作更加重复，使作出的决定更不一致。\",\n \"部分下放权力\",\n \"204. 部分下放权力是指将采取不太严厉的纪律措施(如罚款和训斥)的权力下放给特派团团长和总部以外办事处主管。\",\n \"205. 不过，由于只有在数目有限的案子中采取了罚款和训斥，这一选择办法不会大大缩短纪律程序的时间。因此，现有的瓶颈将依旧没有得到处理，而由此在外地和人力资源管理厅之间造成的工作重复将导致低效。鉴于部分下放权力造成费用增加，包括管理事务部要外派法律干事协助从事纪律进程的程序工作，行政当局在现阶段认为这不是一个可行的选择办法。\",\n \"完全下放权力\",\n \"206. 如果完全下放权力，各特派团团长和总部以外办事处主管可依循目前总部采用的纪律程序，采取任何纪律措施。完全下放权力可增加外地的权力，减少外地与总部间的通信联系，但主要的不利之处是本组织不同单位的工作人员得到不一致、不平等待遇的可能性增加。不一致的决定又会使向争议法庭提出上诉的数目增多，造成费用增加。因此，行政当局认为，不宜采取完全下放权力的办法。\",\n \"不下放权力\",\n \"207. 如果采取纪律措施的权力仍完全归主管管理事务副秘书长所有，则现行的中央化系统将继续下去。在这种情况下，管理事务部将继续全盘看待纪律案件，而且最适于确保以最高效率、最一致的方式分析和处理此类案件。\",\n \"拟议的短期措施\",\n \"208. 部分下放权力或完全下放权力目前都不是最佳办法，但显然也需要采取行动来解决纪律案件处理拖延的问题。为此，现提出下列措施，以求加快纪律案件的调查和处理：\",\n \"(a) 通过设立一个涵盖一组特派团的服务基地，办一个试点项目，测试将内部司法至关重要的部分下放的可行性。有关资源将包括法律干事、行为和纪律干事以及可利用在服务基地或所在区已有的资源，如调查人员、监察员和工作人员法律援助办公室。每项职能均订有明确的任务规定和报告关系，以维护调查的独立性、面临纪律程序的工作人员的适当程序权利以及纪律程序的完整性。虽然采取纪律措施的权力仍归主管管理事务副秘书长所有，预期使调查和纪律程序的要素更接近案发地将有助于缩短处理案件所需的时间。这一试点项目将涵盖在非洲的一些实地特派团(待确定)，拟将服务基地设在内罗毕。这样如果从试点项目取得的经验支持进一步下放权力，包括向设在内罗毕的总部以外办事处(以及其他总部以外办事处)下放权力，则便于建立一个今后可以利用的基础设施；\",\n \"(b) 高度优先案件将通过“快车道”方式处理，据此由所有相关单位(外勤支助部、人力资源管理厅和内部监督事务厅(监督厅))将案件列为优先事项。考虑到各特派团团长的请求以及适当理由，列为高度优先的案件将得到加快处理，处理时将遵照待拟订的准则，其中确认监督厅及其案件接收委员会等现有程序的业务独立性，但除此之外将沿用处理纪律事项的适用程序；\",\n \"(c) 让工作人员休带薪行政假的权力将由主管人力资源管理助理秘书长转给主管外勤支助事务副秘书长。这将缩短让工作人员休带薪行政假的进程。而让工作人员休无薪行政假的权力仍归管理事务部所有；\",\n \"(d) 设立一个就纪律事项下放权力问题部门间工作组。\",\n \"209. 秘书长将就此向大会第六十八届会议提交一份全面报告。\",\n \"210. 工作人员和管理当局协调委员会第三十二届会议对拟议措施进行了讨论。会议商定管理当局将与工作人员分享进展情况报告，并将设立一个机制，定期向工作人员代表通报这一项目的进展情况。\",\n \"建议\",\n \"211. 请大会核准秘书长在上文第208段所详述的提议。\",\n \"4. 新的内部司法系统对工作人员-管理层关系的影响\",\n \"212. 关于大会第65/251号决议第54段的要求，秘书处、开发署和儿基会都认为，就新系统对工作人员/管理层关系以及对工作人员和管理人员业绩的影响提出报告为时过早，并认为需要更多时间才能恰当地评定是否有系统性影响。三个机构均指出工作人员-管理当局的关系出现了变化。具体而言，管理人员日益明确认识到其决定的影响，希望确保这些决定符合相关规则和政策。其结果是，方案管理人员在做决定之前向法律干事提出更多问询，更多地请他们提供咨询意见和指导。管理人员还明显地希望更多地了解这一系统，而且总的来说能在案件中作出正确决定。\",\n \"213. 因此，人们可以初步认为，新的司法系统正造成强调预防发生争端的风气，而在无法避免发生争端时，方案管理人员更常与律师咨商，以确保他们的决定符合法律和政策规定。在避免争端或非正式地解决争端过程中，有时与有关的工作人员代表以及联合国监察员或基金和方案监察员进行广泛的共同协商。\",\n \"214. 虽然已确定了这些新出现的做法，但并非所有管理人员都清楚地了解新系统的要求，这一点也是很明显的。因此，从业绩的角度来说，需要更多的时间才能确定这些新出现的做法是否正在合成一种趋势。\",\n \"215. 预期管理人员将非常认真地对待工作人员的业绩评估，并就此定期向下属提供反馈意见，这样确保根据评估报告作出的决定有适当的纪录。不过，要评论这是否已成为趋势尚为时过早。而同样难以预测的是，工作人员和管理人员在新系统下是否将积极地提高业绩。\",\n \"5. 分担费用安排\",\n \"216. 关于大会第65/251号决议第57段中的要求，秘书长作了下列回复。\",\n \"217. 自大会在第62/228号决议中决定设立新系统以来，秘书处一直持续与各基金和方案(开发署、联合国项目事务厅、儿基会、人口基金和难民署)的代表进行正式和非正式讨论，以订立按人头分担费用的安排。在按人头分担费用时，费用是依据工作人员的人数分配的。基于上述讨论，秘书处编制了一份初步的谅解备忘录草稿，并将之分发给了各基金和方案，供其评论。其后，各方举行了一次联席会议，讨论各基金和方案提出的问题。与秘书处的主要利益攸关者进行讨论之后，秘书处向各基金和方案分发了一份经修订的备忘录草稿，供各基金和方案提出进一步评论意见。经修订的备忘录草稿还作为安排的一部分，包含联合国新的性别平等与增强妇女权能实体(联合国妇女署)。2011年3月初，与有关方面又举行了一次会议，讨论经修订的备忘录草稿，而各基金和方案据此于5月提出了一份正式的协调文函，其中列有各项待解决的问题。6月，秘书处针对各项待解决的问题提出了一份正式回复，各方由此于7月举行了进一步磋商。迄今为止，各方已解决了待决问题中的大部分问题，但仍需要对包括调解事务在内的下放权力的监察员综合职能的某些方面(因各基金和方案为综合办公室中的各自监察员提供经费，而且这些监察员向各自的行政首长报告工作)作出一定澄清。例如，针对各基金和方案监察员与区域监察员之间的结构问题(包括问责和移案机制)提出了问题，并针对各基金和方案工作人员所涉案件方面的调解事务提出了问题。各方商定，调解事务和区域监察员与各基金和方案监察员之间的联系线一旦得到澄清，就可以结束关于剩下的这些特别方面的费用分担讨论。各方认识到缔结一项费用分担安排非常紧迫并承诺尽快加以缔结。\",\n \"6. 对系统中行为方的培训\",\n \"218. 关于大会在第65/251号决议第61段中提出的要求，秘书处作了下列回复。\",\n \"219. 2009年6月，法庭的新任法官参加了内部司法办公室举办的就职培训，培训课程简要介绍了本组织的机构和管理框架。书记官处的工作人员参加了关于前南斯拉夫问题国际刑事法庭、卢旺达问题国际刑事法庭和欧洲联盟公务员法庭法庭管理的培训课程。工作人员法律援助办公室工作人员参加了前南斯拉夫问题国际刑事法庭工作人员和海牙辩护律师界从业人员举办的争端解决培训课程。\",\n \"220. 管理事务部聘任了一名法律咨询人，这名咨询人为行政法科的法律干事进行了起草技巧的辅导。法律干事还参加了由国家法律培训机构组织的为期一周的密集辩护培训课程。此外，他们还参加了开发署和监察员举办的争端解决培训课程。\",\n \"221. 开发署为在两个法庭出庭的法律干事举办了一次辩护培训课程，课程由前南斯拉夫问题国际法庭经验丰富的工作人员和英国律师界的资深律师主持。鉴于这种培训对新的专业化的正规系统中的法律干事具有重大意义，设想在2011年后期再举办一次类似的培训课程。开发署及联合国监察员和调解事务办公室联合组织了一次工作场所争端解决培训课程，包括一些高级官员在内的100多名工作人员参加了这一课程。\",\n \"222. 系统中包括法官、其工作人员和代表工作人员和管理当局的法律干事在内的所有参与者都需要经常参加旨在加强法律教育的培训。法律干事须定期参加口头和书面辩护方面的培训，以维持和增强其技能。在法庭管理做法方面加强培训，包括与其他国际法庭工作人员进行教育交流，将使争议法庭和上诉法庭书记官处的工作人员受益。此外，对系统中各行为方的联合培训也会产生种种益处，不仅可节省费用，而且还有机会交流意见和最佳做法。\",\n \"223. 法官参加法律会议和法律讨论会，同其他国际法庭法官、高级学者和其他参加者参与讨论与其专业活动有关的法律和司法做法，也是有裨益的。目前，内部司法办公室的预算不足，难以让法官参加。\",\n \"224. 在每个法庭所在地建立一个收藏参考书籍的司法图书馆将有助于法官和工作人员水平的提高。此外，通过举行年度全体教育会议而持续开展司法教育也有益处，这包括酌情由外部演讲人和主持人提出见解。有待探讨的专题包括跨文化交流技巧、有关国际公务员制度法的最新发展情况、国际规范的适用、劳工组织各项公约对国际公务员制度法的适用以及对法律问题采取的比较方法。\",\n \"225. 最后，也许拟考虑在工作人员可以利用联合国内部司法系统的联合国各机构和机关的法律框架方面，对法官进行进一步的司法培训。为确保不同国际法庭的司法人员之间的对话，或许应举办一次联合国联合司法研讨会，出席者包括争议法庭和上诉法庭的法官、其他法庭的法官、以及在可能情况下的法律学者，重点探讨国际行政法问题。此外，所有参加者都需培训，以便使不同法庭在适用标准时更加统一和一致。\",\n \"226. 现系统在运作两年之后，仍需要向工作人员开展宣传工作，向他们说明争端解决的非正式和正式办法，尤其是说明两者之间的关系。为协助工作人员，内部司法办公室用联合国所有正式语文编制了一份便于用户使用的手册。该办公室还设立了一个有所有正式语文版本的内容全面的网站，其中介绍了正规系统各个要素，包括专门为工作人员法律援助办公室编写的网页内容，以及关于两个法庭判例的最新数据库。\",\n \"227. 与非正式争端解决和调解具体相关的所需培训资源将列于联合国监察员关于非正式司法系统的报告。\",\n \"7. 处理纪律案件的及时性\",\n \"228. 大会在第65/251号决议中批准了行政和预算问题咨询委员会在其关于联合国内部司法的报告(A/65/557)中提出的建议，其中包括要求秘书长将关于处理纪律案件的及时性资料列入拟提交大会第六十六届会议的关于内部司法的报告。\",\n \"229. 对这一要求的回复已经与对关于下放纪律权力提议的要求的回复合在一起，载于上文第191至210段。\",\n \"8. 大会第65/251号决议第53段要求提供的资料\",\n \"230. 大会在第65/251号决议第53段中请秘书长在向大会第六十六届会议提交的关于内部司法的报告中列入以下资料：\",\n \"(a) 关于两法庭在该期间所收到和已处理案件的明确统计资料，包括提供分类资料，说明判决中申诉人或被告人何者胜诉，以及所涉及的行政问题；\",\n \"(b) 对若干个报告所述期间的趋势进行分析，以便查明哪些系统性的问题导致动用内部司法系统，并监测这些问题已否有效解决；\",\n \"(c) 关于所提供的补偿金的详细资料，以及上诉相关间接费用(如工作人员工时)，包括查明人事管理中那些方面的问题导致产生大量上诉的情况；\",\n \"(d) 关于向工作人员赔付相当于6个月薪金甚至更多赔偿的详细资料，同时列明所涉部厅、这些部厅的所在地以及案情细节。\",\n \"231. 就大会第65/251号决议第53段(a)而言，秘书长在上文第30至41段和第65至72段中提供了有关争议法庭和上诉法庭的资料。本报告附件三载有更多资料。\",\n \"232. 就大会第65/251号决议第53段(b)而言，秘书处作出以下回应。\",\n \"233. 统计数据显示，整个组织最常引起争议的决定涉及与遴选和任用有关的问题。这种决定相关索赔占所有提出索赔的40%左右。这种情况有各种原因。第一，以往关于遴选工作人员的行政指示在内部候选人优先权上含糊不清。第二，根据行政通知，填补一个职位时须遵循若干项程序；针对遴选和任用过程，有人可能会提出程序错误的指控。第三，未被选用的工作人员常常指称，未选用是因为外来因素。第四，工作人员指称，其电子考绩制度评估与其空缺候选资格评价相矛盾，因此对其候选资格的评估不公正。最后，争议法庭关于行政部门在遴选工作中的酌处权范围以及质疑遴选工作的举证责任和标准方面的判例不一致。\",\n \"234. 行政部门已经处理了以下问题：\",\n \"(a) 2009年9月，主管人力资源管理事务助理秘书长一查明关于优先考虑的规定含糊不清，便向所有办公室发出一项通知，澄清了审议内部候选人的程序；\",\n \"(b) 2010年4月废除了关于工作人员遴选制度的行政指示，由一项新的行政指示(ST/AI/2010/3)取代。关于优先考虑的规定不再是政策的一部分；\",\n \"(c) 2010年10月，主管管理事务副秘书长发布了“经验教训指南”，提供工作人员甄选程序指导；\",\n \"(d) 行政部门对争议法庭不一致的裁决提出了上诉。上诉法庭2010年3月的判例进一步澄清了秘书长在甄选决定上的酌处权范围以及举证的责任和标准；\",\n \"(e) 上诉法庭的判例将有助于回应工作人员就感知的考绩评价与候选资格评价不一致提出的事实论据，也将有助于处理偏见指控。上诉法庭认定，当工作人员提出这种指控时，他们有责任出具清楚、令人信服的证据来支持其主张。\",\n \"235. 至于其他类别案件，大家认识到不续约决定常常由于没有遵守考绩管理制度规定的程序而受到指责。主管管理事务副秘书长在给管理部门的通知中谈到这个问题，详述了争议法庭的判例，并让管理人员明白必须遵守电子考绩制度程序。\",\n \"236. 重点涉及定期任用不续约问题的“经验教训指南”于2010年8月发布。指南指示管理人员严格遵守规则和程序，记录决策过程，并遵守考绩管理程序。\",\n \"237. 此外，2010年4月30日发布了题为“考绩管理和发展制度”的行政指示(ST/AI/2010/5)。该指示更新了考绩评价政策和程序，并处理了导致延误完成电子考绩制度评估的问题。\",\n \"238. 纪律措施也常常导致上诉。这是争议法庭产生的判例继续演变的另一个领域。具体地说，争议法庭多次重新审议了秘书长行使斟处权的问题。行政部门对这些裁决提起过上诉。2011年年初，上诉法庭作出一项判决，强调争议法庭不是决策者，其作用仅限于对秘书长行使其广泛的行政管理酌处权进行有限的司法审查。\",\n \"239. 作为几项判决的议题的一项措施，是在调查不当行为指控的过程中让工作人员休全薪特别假。争议法庭裁定，在纪律程序未结束的情况下采取这样的措施不适合。结果，行政部门修订了规则，颁布了工作人员细则10.4。该条特别规定，在调查结束前让工作人员休行政假。以前的工作人员细则要求，对工作人员停职前须提出指控。而新的工作人员细则规定，在调查直至纪律程序结束期间的任何时候，可让工作人员休行政假。\",\n \"240. 对上诉法庭判决提起上诉的一个重要议题是给予补偿的问题。上诉法庭推翻了一些大数额赔偿的裁决，争议法庭应采用的原则已得到阐明。具体地说，上诉法庭认定，成功的索赔人有权获得补偿金——只要金钱可以办到——使之处于其任用条件得到遵守的情况下本应处于的状况。\",\n \"241. 就大会第65/251号决议第53段(c)而言，关于已给予补偿金的详细资料载于本报告附件三。至于与上诉有关的间接费用，如工作人员时间，包括查明引起大量上诉的工作人员行政管理的各方面问题，秘书长作出如下回应。\",\n \"242. 为了计算这种间接费用，内部司法系统的所有利益攸关方都同意，工作人员在2010年花费的与争议法庭和上诉法庭的判决有关的小时总数应予相加。他们还同意，一名P-4法律干事每周40个小时、每年45周工作的费用可用作平均数。此外再加上20%，以反映管理层和高级管理层审查案件和行政支持的额外工作时数。\",\n \"243. 争议法庭书记官处、法律事务厅、人力资源管理厅、开发署、儿童基金会、联合国项目事务厅、人口基金、管理评价股和工作人员法律援助办公室提交的计算花费在争议法庭作出判决的案件所用时间的文件已收到。上诉法庭书记官处、法律事务厅和工作人员法律援助办公室提供了计算上诉法庭案件所用时间的文件。下面分别列出争议法庭和上诉法庭案件用时平均数。得出这些数字的方法说明可应要求提供。\",\n \"244. 应指出，各个案件所用时数可能相差很大。此外，工作人员法律援助办公室提供的数字不反映志愿人员在案件上花费的时间，也不反映该办公室为提供简要咨询意见或处理不导致正式上诉的案件而花费的大量时间。\",\n \"245. 考虑到每个单位和实体提供的资料，争议法庭一起案件所用平均工作人员时间是400.3个小时，上诉法庭一起案件是230.5个小时(按一名P-4工作人员每周40个小时、每年45周工作计算)。\",\n \"246. 就大会第65/251号决议关于赔付六个月或以上薪金的第53段(d)而言，秘书长在本报告附件三中提供了这类赔付的资料。\",\n \"四. 与大会审查两法庭规约有关的问题\",\n \"A. 导言\",\n \"247. 大会在第65/251号决议第46段中决定，“推延到大会第六十六届会议再参照所获得的经验审查法庭规约，包括法庭总体运转效率”。为了协助大会审查两法庭的规约，秘书长提出了以下问题供大会考虑。在提出这些问题时，秘书长强调，这些问题的讨论不应妨碍司法独立原则。由于大会是设立两法庭、通过其规约、批准其程序规则的机构，应由大会断定对这些问题采取什么行动，或是否采取行动。\",\n \"B. 两法庭的程序规则\",\n \"248. 争议法庭规约第7条规定，争议法庭应自订程序规则，但须得到大会核准。同样，上诉法庭规约第6条规定，上诉法庭应自订程序规则，但须得到大会核准。由于大会将审议关于争议法庭和上诉法庭程序规则修正案的报告(A/66/86)，秘书长向大会提出了以下有关程序规则的意见供其审议。\",\n \"1. 程序规则修正案协商\",\n \"249. 两法庭的规约目前没有规定由各当事方就争议法庭和上诉法庭程序规则修正案提出建议，或参与协商。由于各出庭当事方会对拟议修正案的影响提出重要看法，事先与他们协商有利于修正两法庭程序规则的过程。两法庭规约或程序规则中没有明确规定，并不妨碍两法庭在修正程序规则之前，与当事方进行协商。值得注意的是，虽然前南斯拉夫问题国际法庭规约和程序规则没有为修正程序规则规定协商进程，但在实践中，书记官处、检察官办公室和辩护律师的代表参加一个“规则委员会”的工作，而设立该委员会是为了在法官通过法庭程序规则拟议修正案之前审议这些修正案。\",\n \"250. 秘书长建议大会鼓励两法庭在对程序规则进行修正之前，与出庭当事方协商。\",\n \"2. 驳回明显不可受理或毫无根据的案件\",\n \"251. 争议法庭程序规则第9条指出，“在对案件的重大事实没有争议的情况下，当事方如依法有权得到判决，可正式请求当即判决”。根据这一规定，只要对重大事实存在争议，则无法驳回非实质性申诉。相比之下，其他政府间组织的行政法庭规定了处理非实质性申诉的机制。[8] 例如，欧洲联盟公务员法庭程序规则第76条指出，“若一诉讼全部或部分明显不可受理或明显缺乏任何法律依据，则法庭可不进一步进行诉讼，通过附有理由的命令做出决定”。2010年，在欧洲联盟公务员法庭审理的129个案件中，有10个案件是依照这一规定处理的。\",\n \"252. 此外，秘书长指出，上诉法庭的程序规则没有规定快速处理非实质性上诉的机制。在其他政府间组织的行政法庭中，只有欧洲联盟规定了上诉审查。针对欧盟公务员法庭的判决，可上诉到普通法院。普通法院程序规则第111条规定，如果一项诉讼“明显不可受理或者明显缺乏任何法律依据”，普通法院可以就一项诉讼做出“在诉讼中不采取进一步措施”的决定。\",\n \"253. 至于何种案件可以明显不可受理或毫无根据为由驳回，秘书长回顾说，上诉法庭早在2010年7月便裁定，争议法庭无权审查或修改前联合国行政法庭的判决。[9] 尽管如此，上诉法庭迄今接到至少五项上诉，谋求修改行政法庭的判决。虽然这些上诉可被视为“明显缺乏任何法律依据”，但上诉法庭没有机制快速驳回这些案件。因此，本组织除了准备回应这类上诉发生的费用外，还承担为每个这类案件作出全面判决的费用(每项判决3 600美元)。\",\n \"254. 为了确保无聊案件可以快速驳回，以便以更效率使用内部司法系统的资源，大会不妨考虑修正争议法庭规约第七条第二款第㈧项，使其程序规则包含一项关于“即决驳回案件，包括明显不可受理或明显缺乏任何法律依据的案件的程序”的规定。大会还不妨修正上诉法庭规约第六条，使其程序规则包括一项类似的规定。\",\n \"255. 秘书长建议大会修正联合国争议法庭规约第七条第二款第㈧项和联合国上诉法庭规约第六条，规定在程序规则中要有一个机制快速驳回显然不可受理或显然缺乏任何法律依据的案件。\",\n \"3. 口头听讯录音\",\n \"256. 如上文第49段所述，秘书长已请拨预算资源，用于保留口头听讯录音。虽然上诉法庭在一个案件中裁定，一当事方“有权获得争议法庭有关书记官处在诉讼程序中的证词录音，”[10] 但这些纪录并非总是应当事方的要求提供。201年6月，当事方获悉，“规约和程序规则不要求争议法庭书记官处制作口诉程序的录音”。\",\n \"257. 秘书长指出，在争议法庭的事实评估广泛或完全依据诉讼中的口头证据，争议法庭没有向当事方提供这种口头证据纪录的案件中，当事方不能以任何有意义的方式行使上诉权利。虽然各当事方可依靠自己的口头证据笔记，但如果没有客观的证据纪录，上诉法庭将无法评估争议法庭的口头证据说明或当事方的说明是否准确。\",\n \"258. 为了确保保留口头听讯录音，并应当事方的要求提供这些录音，大会不妨考虑修正争议法庭规约第七条第二款第㈤项，使程序规则包含一项关于“口头听讯，包括应当事方要求提供的口头听讯录音的规定”。\",\n \"259. 秘书长建议大会修订联合国争议法庭规约第七条第二款第㈤项，规定保留该法庭口头听讯录音，并应当事方的要求提供这些录音。\",\n \"4. 工作人员姓名编辑\",\n \"260. 争议法庭规约第十一条第六款规定，“争议法庭书记官处应在注意保护个人资料的同时公布法庭判决，供公众查阅”。\",\n \"261. 秘书长指出，在若干案件中，争议法庭在判决书中列出有争议决定直接或间接涉及的工作人员的姓名。在一些争议法庭判定有争议决定无效的案件中，法庭以无节制的措辞形容工作人员的行为和品性。列出工作人员的姓名，以无节制的措辞形容工作人员的行为和性格，已经导致一些工作人员对法官提出申诉，并引起有关诽谤的关切。\",\n \"262. 考虑到争议法庭规约第十一条第六款的规定，并考虑到有必要确保工作人员的姓名和品性不在争议法庭判决书中受到不公正的指责，大会不妨考虑修正该法庭规约第七条第二款第㈥项，使其程序规则包含一项关于“公布判决，包括应有关个人的要求编辑判决书中姓名的程序”的规定。\",\n \"263. 秘书长建议大会修正联合国争议法庭规约第七条第二款第㈥项，使其程序规则包含一项关于“公布判决，包括应有关个人的要求编辑判决书中姓名的程序”的规定。\",\n \"5. 对中间命令提出上诉的暂缓执行效力\",\n \"264. 依照争议法庭规约第十一条第三款，“在规定的上诉时限到期后，判决应予执行。”此外，上诉法庭规约第七条第五款规定，“提起上诉具有暂停执行有争议判决的效力”。虽然两法庭的规约只提到判决上诉，但上诉法庭认识到，在有限的情况下，对中间命令提出上诉也是允许的。因此，争议法庭规约第十一条第三款和上诉法庭规约第七条第五款适用于对中间命令的上诉，看来是合适的。\",\n \"265. 由于不清楚上诉是否暂停执行有争议的中间命令的义务，争议法庭禁止上诉当事方在争议法庭出庭。后来上诉法庭宣布这一结论无效。[11] 目前经修正的争议法庭程序规则第19条对实行这种禁止的权力作出了规定，允许该法庭在一当事方未遵守一项中间命令的情况下，下达其认为适当的任何命令，包括，“驳回申诉或答辩的裁决”。秘书长认为，争议法庭强制遵守中间命令的权利必须与各当事方本着诚意对中间命令提出上诉的权利相平衡，在秘书长否则必须执行争议法庭下达的、与上诉法庭既定判例相矛盾的中间命令的情况下特别如此。大会不妨考虑修正争议法庭规约第十一条第五款和上诉法庭规约第七条第五款，以确认这些规定同样适用于争议法庭的所有裁决，无论其形式是判决还是命令。\",\n \"266. 秘书长建议大会修正联合国争议法庭规约第十一条第三款，说明可对争议法庭下达的中间命令提出上诉。秘书长还建议大会修正联合国上诉法庭规约第七条第五款，说明对争议法庭下达的中间命令提起上诉具有暂停执行有争议的命令的效力。两法庭程序规则的相关规定也需要修正。\",\n \"6. 在上诉法庭提起上诉的时限\",\n \"267. 上诉法庭规约第七条第一款第㈢项规定了45天提起上诉的时限。[12] 目前规约没有为对中间命令的上诉设定时限，虽然在实践中，上诉法庭实行了15天的时限。[13]\",\n \"268. 鉴于当事方资源有限以及工作地点之间转交相关档案遇到的延误，秘书长认为，把提起上诉的时限再延长15天，有助于更充分地介绍上诉法庭应审查的法律问题。时限延长15天造成的推迟极其有限，而允许更彻底审查上诉中提出的法律问题的收益重大，两者应予权衡，在上诉法庭初始阶段第一次审查许多根本性问题时特别如此。\",\n \"269. 秘书长建议大会修正联合国上诉法庭规约第七条第一款第㈢项，把对联合国争议法庭判决提起上诉的时限从45天延长到60天，并为对中间命令的上诉设定30天的时限。上诉法庭程序规则的相关规定也需要修正。\",\n \"C. 联合国争议法庭对独立实体与履行其任务有关的行为和不行为的 管辖权\",\n \"270. 争议法庭规约第二条第一款第㈠项确定该法庭对“被指称为不遵守任用条件或雇用合同的行政决定”具有管辖权。在解释“行政决定”一词时，联合国行政法庭认定，“行政决定的特点是，由行政部门作出，单方面的，针对具体情况”，对工作人员雇用条件和待遇“产生直接法律后果”。[14] 在说明第一项标准(行政决定必须由行政部门作出)时，行政法庭在其第1359号判决(Perez-Soto案(2007年))中裁定，监察员所作的不调查骚扰投诉的决定不构成行政决定，因为鉴于监察员的独立身份，其所有行为或不行为不属于行政当局的决定。\",\n \"271. 其他国际组织的行政法庭也确认以下基本原则：当一实体独立于管理部门行事时，该组织对此实体没有有效控制，因此不能为其行为或不行为负责。例如，在两个不同的案件中，国际货币基金组织(货币基金组织)和世界银行的工作人员指控其组织的职工会对发表个人保密资料负有责任，并对这些组织提出申诉。[15] 货币基金组织行政法庭和世界银行行政法庭都驳回了这些申诉，裁定这些组织不能对职工会的行动负责任，因为职工会没有“按照管理层的指示或在管理层的有效控制下”行事。[16]\",\n \"272. 秘书长指出，若干具有独立地位的实体是依照大会决议建立的。这些实体包括监察员、监督厅、道德操守办公室和内部司法办公室。这些实体都享有业务独立性。[17] 争议法庭是否有权管辖这些独立实体的行为或不行为的问题引发了难题，秘书长因其无有效控制的实体的行为和不行而被追究责任的可能性也提出了难题。\",\n \"273. 迄今为止，行为和不行为在争议法庭上受到质疑的独立实体包括：(a) 监督厅；(b) 道德操守办公室；(c) 工作人员法律援助办公室：\",\n \"(a) 在上诉法庭最近审理的一个案件中，一名工作人员对一份监督厅报告的内容以及监督厅的审计程序提出异议。截至2011年8月15日，上诉法庭尚未发布该案件的判决书。不过，正如判决提要所示(判决提要是上诉法庭书记官处为发布新闻而不是作为正式文件分发的)，上诉法庭似乎承认，由于秘书长无权影响或干涉监督厅，联合国争议法庭也没有管辖权这样做，因为它只审查秘书长的行政决定；\",\n \"(b) 在至少三个案件中，工作人员向争议法庭提出申诉，质疑道德操守办公室断定他们没有受到报复的意见。他们称，大会请秘书长设立一个具有“独立地位”的道德操守办公室，便要求秘书长遵守这种地位。争议法庭在反驳这一论点时认为“大会的建议必须得到认真考虑”，但不对评估道德操守办公室是否享有独立地位具有决定性作用。[18] 由于争议法庭尚未发布一项处理道德操守办公室有关报复的裁断是否构成行政决定的问题的最后判决书，上诉法庭尚未就此问题发表意见；\",\n \"(c) 在上诉法庭最近审查的一个案件中，一名工作人员对工作人员法律援助办公室据称未披露利益冲突提出异议。秘书长认为，该办公室的行为和不行为不构成行政部门的决定，因此，不属于争议法庭的管辖范围。争议法庭仅限于审查“行政决定”。在这方面，秘书长指出，货币基金行政法庭和世界银行行政法庭都拒绝接受这两个国际组织可因其职工会有争议的行动而被追究责任的论点，因为职工会的主要目的是为工作人员利益代言，“表达独立于、有时对立于……管理层的看法”。[19] 这种推理甚至更适用于工作人员法律援助办公室，因为诉讼的对抗性质意味着该办公室常常表达与管理层相反的看法。截至2011年8月15日，上诉法庭尚未发布此案件判决书。不过，正如判决摘要所示，上诉法庭似乎裁定，工作人员法律援助办公室的行为和不行为属于争议法庭的管辖范围，因为该办公室提供的服务以及实施代理的方式可对任用条件产生影响。因工作人员法律援助办公室行为和不行为而追究秘书长的法律和财务责任的含义是，工作人员如果不能成功挑战秘书长的行政决定，只要能够确定该办公室提供的法律咨询有某些缺陷，就仍可对本组织提出赔偿要求。\",\n \"274. 上诉法庭新出现的案例似乎表明，虽然诸如监督厅等某些独立实体的行为和不行为可能不属于争议法庭的管辖范围，但诸如工作人员法律援助办公室等其他独立实体的行为和不行为可以由争议法庭审查。此外，秘书长指出，上诉法庭有关这些问题的指导不一定是决定性的，因为争议法庭强调，只有在上诉法庭确立的规则“符合一般法律原则”时，争议法庭才会认为这些规则是适用的。[20]\",\n \"275. 因此，秘书长认为，大会澄清其在争议法庭管辖范围上的意向可能是有益的。在这方面，秘书长强调，将独立实体的行为和不行为排除在争议法庭管辖之外，并不意味着工作人员在认为其权利遭到这类实体侵犯的情况下被剥夺申诉权。\",\n \"276. 第一，在秘书长根据独立实体受指责行为或不行为作出行政决定的情况下，可以在争议法庭对该决定本身提出异议。例如，道德操守办公室断定，一名工作人员实施了报复，秘书长根据道德操守办公室这一裁断决定对该工作人员采取纪律措施，该工作人员可以向争议法庭提出申诉，对秘书长采取的纪律措施以及他对道德操守办公室据称错误的裁断的依赖提出异议。不过，道德操守办公室有关报复的裁断不应在争议法庭受到质疑。由于道德操守办公室的独立地位不允许秘书长指示该办公室如何作出报复裁断，不能因该办公室作出的裁断而追究秘书长的责任，即使后来这些裁断被证明是错误的。\",\n \"277. 第二，如果工作人员质疑独立实体与履行管理职能有关的行为或不行为，争议法庭管辖范围扩大到这些事项不会在该实体的独立地位方面引起任何问题。例如，质疑监督厅内甄选方式的申诉显然属于争议法庭的管辖范围。\",\n \"278. 只有在一工作人员的申诉涉及独立实体履行其业务职责的方式时，争议法庭对独立实体的行为和不行为行事行使管辖权才有问题。秘书长认为，由于各独立实体履行其业务职责的方式不在秘书长的有效控制之下，这些实体与执行业务任务有关的任何行为和不行为也不能归于秘书长，不应追究秘书长的法律或财务责任。的确，在这种情况下追究责任，不会推进加强问责制的目标，因为秘书长没有权力影响或纠正工作人员所质疑的独立实体的行为和不行为。大会不妨考虑在没有确定秘书长有错的情况下，追究财务责任和花费本组织的公共资金的做法是否合适。\",\n \"279. 如果大会要说明争议法庭对行政决定的管辖范围仅限于那些秘书长作出或以秘书长名义作出的决定，大会不妨考虑修正争议法庭规约第二条第一款第㈠项，提及“秘书长单方面作出或以秘书长名义作出的据称不遵守任用条件或雇佣合同的行政决定”。\",\n \"280. 秘书长建议大会修正联合国争议法庭规约第二条第一款第㈠项，提及“秘书长单方面作出或以秘书长名义作出的据称不遵守任用条件或雇佣合同的行政决定”。\",\n \"281. 另一个新出现的问题是争议法庭是否对秘书长执行大会或其附属机构等理事机构作出的决定具有管辖权。迄今为止，工作人员向争议法庭提出了申诉，质疑秘书长为执行大会决议和国际公务员制度委员会(公务员制度委员会)的决定而采取的行动。\",\n \"1. 大会\",\n \"282. 《联合国宪章》第一百零一条规定，“办事人员由秘书长依大会所定章程委派之”。根据该规定，大会颁布《工作人员条例》并可修改《工作人员细则》。大会以决议形式核准本组织关于人力资源管理的政策。\",\n \"283. 2010年，大会第65/248号决议核准国际公务员制度委员会关于统一联合国共同制度各组织不带家属工作地点工作人员服务条件的建议。该决定的后果是取消了一项称为“个人过渡津贴”的福利。大会同一决议还请秘书长促进“立即执行委员会关于统一不带家属工作地点服务条件的建议”。因此，外勤支助部告诉外勤工作人员，大会核准的更改将于2011年7月1日生效。2011年6月，首次有人向争议法庭提出对取消个人过渡津贴一事的申诉。该申诉指称，取消个人过渡津贴对单身女性造成不利影响，提出此举是基于性别或个人状况的歧视。\",\n \"284. 《宪章》要求秘书长执行大会确立的工作人员管理条例，其结果是还要求秘书长执行大会决议所制定的人力资源管理政策。联合国行政法庭以前曾认为，该法庭“既非大会也非秘书长，因此没有资格以其判决代替关于人事问题的政策决定”。[21] 第65/251号决议重申了大会决议的法律权威，强调指出“新的内部司法系统的所有部分都必须符合《联合国宪章》以及大会核准的法律和规章框架”。\",\n \"285. 然而，争议法庭认为，如果不采取某行动将导致违反人权准则如同工同酬原则，不能以秘书长有义务遵守大会决议为由而拒绝采取该行动。该裁决已获得上诉法庭确认。[22] 简言之，当争议法庭确定执行大会决议将导致不符合人权准则的结果时，则可因秘书长执行该决议而追究其法律和经济责任。\",\n \"2. 国际公务员制度委员会\",\n \"286. 国际公务员制度委员会是大会的附属机构，其章程由大会第3357(XXIX)号决议核准。委员会章程第6条明文禁止委员会接受参与共同制度的任何组织的指令，因此委员会独立于秘书长。该章程第25(3)条规定，委员会的决定“应由各组织从委员会确定的日期起执行”。\",\n \"287. 2009年12月，国际公务员制度委员会决定将内罗毕的工作地点分类从“C”类改为“B”类。亚的斯亚贝巴的工作地点分类也从“C”类改为“B”类。这两项更改均于2011年1月1日生效。委员会的工作地点分类分“A”类到“E”类，表示生活和工作条件的困难度，其中“E”类为条件最困难的工作地点。由于内罗毕和亚的斯亚贝巴工作地点的重新分类，在两地工作的人员获得的艰苦条件津贴随之减少，而且每隔24个月而非每隔12个月才有权享受一次回籍假。这两个工作地点的工作人员均对秘书长执行委员会的决定提出异议。\",\n \"288. 秘书长有义务落实委员会对内罗毕工作地点的重新分类，因为委员会章程第25(3)条和工作人员条例3.14要求秘书长“参考根据国家公务员制度委员会确立的工作地点分类确定的每个工作地点生活或工作的困难度”制定艰苦条件津贴数额。此外，联合国行政法庭还强调，委员会决定对秘书长有约束力。行政法庭第421号判决(Chatwani)裁定，“联合国秘书长或共同制度内其他组织的总干事均无权修订、更改或撤消委员会根据其章程通过的决定”。[23]\",\n \"3. 联合国争议法庭管辖范围的说明\",\n \"289. 争议法庭仍在审查对秘书长执行包括大会决议和国际公务员制度委员会决定在内的理事机构决定所提出的异议。值得注意的是，上诉法庭已驳回秘书长在一个案件中提出的采取工作人员所要求行动会违反大会一项关于预算问题的决议这一论点，认为预算因素“不能压倒公平待遇的要求”。[24]\",\n \"290. 即使在争议法庭和上诉法庭裁决质疑秘书长执行大会决议和委员会决定的具体案件后，此类判决仍不一定能用于其他情况，因为这些理事机构的决定涵盖范围广大的、与人力资源管理相关的问题。此外争议法庭还强调，它认为上诉法庭所定规则仅在“符合普遍法律原则”时才适用。[25]\",\n \"291. 因此，秘书长认为大会澄清其有关争议法庭管辖范围的意图也许是有益的。在秘书长采取行动执行大会和国际公务员制度委员会等理事机构决定的情况下，大会不妨审议强加财政责任和消耗本组织公共资金的做法是否合适。\",\n \"292. 如果大会说明争议法庭的管辖范围不包括秘书长执行大会和委员会等理事机构的决定一事，则大会可考虑修正争议法庭规约第2.1(a)条，将提法改为“秘书长单方面作出或代表秘书长作出的、据称不符合任用条件或雇用合同的行政决定”。秘书长采取行动执行理事机构决定并非秘书长单方面作出的行政决定，因为他无权以违反理事机构决定的方式行事。\",\n \"293. 秘书长建议大会修正联合国争议法庭规约第2.1(a)条，将提法改为“秘书长单方面作出或代表秘书长作出的、据称不符合任用条件或雇用合同的行政决定”。\",\n \"五. 所需资源\",\n \"294. 秘书长确定了为建立一个“独立、透明、专业化、资源充足和权力分散的”新系统在正式司法系统内需要加强的一些领域。非正式系统所需资源在联合国监察员的报告中另行说明。鉴于上述所有原因，除2012-2013两年期拟议方案预算(A/66/6)中请求的资源外，秘书长建议大会考虑以下列员额和非员额资源来加强正式司法系统：\",\n \"(a) 关于管理评价股，鉴于上文第19和20段所述原因，秘书长建议大会再设立一个法律干事(P-3)员额以协助该股工作；\",\n \"(b) 关于争议法庭及其书记官处，鉴于上文第42至44段所述原因，秘书长建议大会为该法庭再任命三名专职法官(日内瓦、内罗毕和纽约各一名)，将纽约书记官处的一个P-2法律干事员额改叙为P-3，并设立六个新员额(3个P-3、2个一般事务和1个一般事务(当地雇员))来协助新增专职法官的工作，自2012年1月1日起生效。上述职位最初由大会第63/253号决议批准，任期为自2009年7月1日起一年，然后由大会第65/251号决议延长至2011年12月31日，经费系运用由大会第60/283号决议授予秘书长并由第64/260号决议延长的有限预算酌处权提供。此项提议是为了使上述争议法庭现有的临时职位正规化；\",\n \"(c) 关于争议法庭的非员额资源，鉴于上文第49至51段所述原因，秘书长建议大会核准通信费(25 000美元)和差旅费(155 000美元)；\",\n \"(d) 关于上诉法庭书记官处，鉴于上文第71至78段所述原因，秘书长建议设立一个法律干事(P-4)以增强书记官处，自2012年1月1日起生效，并增加差旅费280 200美元，以利于该法庭每年可第三次开庭，并用于提高该法庭法官的差旅待遇；\",\n \"(e) 关于工作人员法律援助办公室，鉴于上文第83至92段所述原因，秘书长建议设立四个员额(内罗毕一个P-4和一个一般事务、纽约一个P-4、日内瓦一个一般事务)以增强该办公室，自2012年1月1日起生效。秘书长还建议把第65/251号决议自2011年1月1日设立的、目前由维持和平行动支助账户提供经费至2011年1月1日的P-3职位续设至2012年12月31日。此外，秘书长还请求提供通信费(11 200美元)、差旅费(15 000美元)和用品费(9 000美元)；\",\n \"(f) 关于内部司法办公室执行主任办公室，鉴于上文第101至108段所述原因，秘书长建议大会授权提供一般临时人员经费(130 000美元)，用作内部司法理事会外部人员的报酬，并用作替补请长期病假和产假工作人员的费用。此外，秘书长还建议大会核准差旅费(30 000美元)、订约承办事务费(37 500美元)和成套软件购买费(37 500美元)；\",\n \"(g) 关于在争议法庭代表秘书长的秘书处部门，鉴于上文第115和116段所述原因，秘书长建议大会核准11个新员额(5个P-4、3个P-3、1个一般事务和2个一般事务(当地雇员))，自2012年1月1日起生效。这其中包括人力资源管理办公室五个员额(2个P-4和3个P-3)、联合国日内瓦办事处两个员额(1个P-4和1个一般事务)、联合国内罗毕办事处两个员额(1个P-4和1个一般事务(当地雇员))以及亚洲及太平洋经济社会委员会两个员额(1个P-4和1个一般事务(当地雇员))。鉴于上文第157至161段所述原因，秘书长建议大会核准差旅费(60 000美元)，用于执行外联任务和前往其他工作地点参加法庭听讯；\",\n \"(h) 关于法律事务厅，鉴于上文第172至186段所述原因，秘书长建议在一般法律事务司设立三个员额(2个P-4和1个P-3)，自2012年1月1日起生效。\",\n \"295. 因此，如果大会同意上述提议，则将按照根据大会第41/213和42/211号决议设立的应急基金的规定，考虑提供所需追加资源8 657 900美元(重计费用前)。在这方面，应记得大会第65/262号决议核准2012-2013两年期应急基金数额为4 050万美元。\",\n \"296. 本报告所列的全部新员额拟于2012年1月1日起设立。行政和预算问题咨询委员会在关于2008-2009两年期拟议方案预算第一次报告(A/62/7)第20段中建议，凡是提出新的提议，均应说明员额的滞后影响。有鉴于此，大会不妨注意到，拟议的26个新员额在2014-2015两年期按全额费用计算的所需增加经费目前估计为3 356 400美元，包括第1款(通盘决策、领导和协调)下1 072 200美元、第8款(法律事务)下432 200美元、第19款(亚洲及太平洋经济和社会发展)下173 500美元、第29A款(主管管理事务副秘书长)下126 200美元、第29C款(人力资源管理办公室)下684 600美元、第29E款(行政，日内瓦)下234 500美元、第29G款(行政，内罗毕)下168 300美元以及第37款(工作人员薪金税)下464 900美元，最后一笔由收入第1款(工作人员薪金税收入)下的同等数额抵销。\",\n \"六. 结论以及有待大会采取的行动\",\n \"297. 秘书长认为，报告所载建议将为已经赢得工作人员和管理当局信任的新内部司法系统提供所需的额外力量。他请大会给予这些提议适当的考虑，并核准确保其落实工作所需的资源。\",\n \"298. 因此，请大会：\",\n \"(a) 核准在2012-2013年两年期方案预算内从2012年1月1日起设立26个新员额(10个P-4、8个P-3、4个一般事务(其他职等)和4个当地雇员)；\",\n \"(b) 核准在2012-2013年两年期方案预算内从2012年1月1日起将1个P-2员额改叙为P-3员额；\",\n \"(c) 在2012-2013年两年期方案预算内共批款8 657 900美元(重计费用前)，包括下列增加批款：第1款(通盘决策、领导和协调)下3 889 700美元；第8款(法律事务)下559 700美元；第19款(亚洲及太平洋经济和社会发展)下388 400美元；第29A款(主管管理事务副秘书长)下164 300美元；第29C款(人力资源管理办公室)下948 300美元；第29D款(中央支助事务厅)下832 700美元；第29E款(行政，日内瓦)下636 600美元；第29G款(行政，内罗毕)下577 200美元以及第37款(工作人员薪金税)下增加661 000美元，最后一笔由收入第1款(工作人员薪金税收入)下相应数额抵销。这些经费将从应急基金列支；\",\n \"(d) 核准自2012年1月1日起将内罗毕一个P-3员额再续设一年，由维持和平行动支助账户预算供资，相关费用将在与2011年7月1日至2012年6月30日维持和平行动支助账户有关的执行情况报告中报告，并反映于2012年7月1日至2013年6月30日的拟议预算中。\",\n \"附件一\",\n \"为工作人员法律援助办公室供资的工作人员出资机制建议\",\n \"工作人员法律援助办公室的工作人员出资机制：概念文件\",\n \"一. 导言\",\n \"1. 本概念文件根据大会第65/251号决议第40和41段的要求，介绍了由工作人员出资的各种机制，用以支持内部司法办公室的工作人员法律援助办公室的工作。大会要求提交基于法定缴款和自愿缴款两种模式的建议，本概念文件对此要求作了回应。\",\n \"2. 本文件列出了法定缴款和自愿缴款方案的共同点。具体而言，大会将继续在考虑到秘书长拟议预算的基础上，确定工作人员法律援助办公室的工作人员配置表和其他财务需要。此外，秘书长还注意到，任何关于该办公室人员配置需求的决定都必须考虑到大会就办公室任务和职能所作的任何决定。根据第63/253号决议设立的办公室员额将继续由经常预算供资。拟议的工作人员出资机制将抵销根据秘书长的提议增强办公室目前工作人员配置的部分费用。最后一个共同点是，拟议的工作人员缴款，不论法定缴款还是自愿缴款，均将从每月工资中扣除。\",\n \"3. 具体而言，关于法定缴款方案，值得注意的是，大会设立工作人员法律援助办公室是将其作为本组织内部司法系统的一部分，与其业务活动相关的费用构成本组织的费用。根据《联合国宪章》第十七条第二项，“本组织之经费应由会员国依照大会分配限额担负之”。该项的意图是要求会员国承担本组织的费用，这一点是该项规定的立法历史所明确显示的。[26]\",\n \"4. 因此，要求工作人员部分承担《宪章》规定会员国承担的本组织经费会引起法律上的问题。如果引入以工作人员出资机制协助大会授权本组织进行的活动这种做法，将产生一种可能性，即未来本组织的其他“费用”可能被视为有利于工作人员，将通过向工作人员征税来全额承担或部分承担。\",\n \"二. 为工作人员法律援助办公室供资的工作人员法定缴款机制\",\n \"5. 工作人员为工作人员法律援助办公室供资机制有三种可能的法定缴款模式：(a) 普遍模式，即所有工作人员缴纳工资的一定百分比；(b) 仅向实际使用该办公室服务的工作人员收费的模式；(c) 用工作人员工会和协会所收会费的一定百分比为办公室活动供资的模式。以下论述这三种模式。\",\n \"6. 截至2010年6月30日，秘书处和各基金及方案的工作人员包含约45 000名一般事务工作人员、约30 000名专业和外勤工作人员以及约1 525名司级及司级以上工作人员。这些人可使用内部司法系统(见A/65/350和CEB/2010/HLCM/ HR/24)。\",\n \"A. 普遍法定缴款模式\",\n \"7. 根据普遍法定缴款模式，将对每位工作人员收费。对工作人员的任何收费都有一项重要考虑，即各工作地点的薪金表，尤其是本地薪金表，有很大差异。因此，任何收费都需要反映薪金表的差异，以确保收费公平并与每位工作人员的实际工资比例相称。一种可能是收取每位可使用内部司法系统的工作人员工资的某个百分比(例如，001%)。另一种可能是收费额固定，但以确定的工作人员的职等、职级和工作地点为准。收费将从每月工资中扣除。\",\n \"8. 收取的工作人员缴款将用以抵销根据大会第63/253号决议确立的工作人员法律援助办公室目前人员配置表(1个P-5、5个P-3、1个P-2和3个一般事务员额)以外员额的部分费用。\",\n \"9. 此模式有几个好处。主要的好处是，由于工作人员人数众多，即便个人缴款数额很少，仍可收取很大一笔资金来为办公室供资。同样，普遍法定缴款机制将是最始终如一和稳定的收入来源。\",\n \"10. 然而，法定缴款机制也有一些值得担心的问题。第一个问题是，一般而言，使用办公室服务的工作人员预计会占很小的百分比。目前，正在向正式系统投诉的工作人员不到1%。因此，约99%的工作人员将为不到1%工作人员所使用的服务支付部分费用。这种情况令人担心以普遍法定缴款机制广泛收费的做法是否公平。\",\n \"11. 另一个担心的问题是，按照争议法庭判例，[27] 办公室如确定某案件在法律上站不住脚或在法庭胜诉的机会小到一定程度，则可拒绝提供援助。此判例符合普遍接受的原则，即法院人员不得在法庭上提出其真诚认为在法律上站不住脚的案件。此外，组织的资源不应浪费在几乎不可能或完全不可能取得有利结果的事项上。然而，如果对所有工作人员实行法定收费，则不论案件在法律上是否站得住脚或有无合理的成功把握，工作人员个人均可能感到有权让工作人员法律援助办公室代表其提出案件。因此会有一种风险：工作人员如果尽管付了费，却得不到服务，则可能提出申诉，甚至正式对该决定提出上诉，从而给本组织带来更多、可能重大的费用问题。\",\n \"12. 此情况在法定缴款和自愿缴款机制下都可能出现，因为在理论上，不论法定缴款还是自愿缴款的工作人员，均可能辩称缴款使其有权获得服务。\",\n \"13. 最后，如果规定工作人员要为大会设立的办公室所提供的服务缴款，工作人员可能认为此规定违反任用条件和服务条件，并对此提出上诉。如工作人员申诉成功，则本组织在后期阶段将被迫退还所有工作人员的缴款加利息，还可能要支付其他补偿金。\",\n \"B. 对使用工作人员法律援助办公室服务者实行法定收费\",\n \"14. 第二个可能的法定工作人员出资方案是，规定只有使用工作人员法律援助办公室服务的工作人员才须缴款。此模式可解决不使用办公室服务的工作人员被要求承担办公室供资费用的问题。\",\n \"15. 如果同意此方案，则需要确定要求缴多少款。固定缴款等于为使用办公室的服务收费。也可考虑其他模式，例如要求申诉成功者捐出任何判定赔偿金的某个百分比。\",\n \"16. 然而，由于使用办公室服务的工作人员数在工作人员总数中占很小的百分比(每年约有1 000名工作人员寻求办公室的服务)，对使用者个人的收费必然多于普遍法定缴款模式下设想的小额缴款。例如，日内瓦P-4员额的年费用为227 300美元。因此，为提供日内瓦工作人员法律援助办公室一个P-4员额的全部经费，对每名办公室使用者的平均收费将为227.30美元。如确定此机制仅应抵消办公室其他员额相关费用的某个百分比，则依员额数和应抵销百分比而定，固定收费可能更多，也可能更少。\",\n \"17. 值得注意的是，以上说明普遍缴款模式时谈到的一种令人担心的情况也适用于此模式，即：如果办公室拒绝代表已支付法定缴款的工作人员，该工作人员可能要求继续对其提供法律服务并提出投诉，甚至提出上诉。不过减轻这种担心的一个方法是，视办公室向该工作人员提供服务的范围大小，向其收取的费用可多可少。例如，如办公室协助工作人员谈判与和解其案件，可向其收费300美元，但如办公室向其提供电话咨询服务，则仅收费50美元。\",\n \"C. 对工作人员工会和协会所收会费实行法定收费\",\n \"18. 第三个可能的法定缴款模式是，要求工作人员协会和工作人员工会捐出一部分向其缴纳的会费，用于支持工作人员法律援助办公室的工作。\",\n \"19. 工作人员工会和协会会费的用途是增进和保障工作人员的权利和利益。因此，要求将所收的一部分会费捐给办公室相当于规定工作人员工会和协会自费为其所代表的工作人员提供某种形式的法律保险。\",\n \"20. 对工会财政资源实行法定扣费这一做法所引起的担心，类似于对工作人员个人实行法定扣费的做法所引起的担心。\",\n \"21. 目前，联合国工作人员工会和协会不得对所代表的工作人员实行法定会费收费。因此，各工会和协会在财政资源方面存在巨大差异。确定收费的可能方式有几种。一种是对每个工作人员工会或协会所收会费收取某个百分比。另一种是按工会所代表工作人员数收费。第三种是对所有工会和协会收取固定数额。前两种模式下，可收取和用于抵消办公室费用的资金数取决于几个因素(第一种模式下为所收会费数，第二个模式下为所代表工作人员数和向每人收取的会费数)。在第三种模式下，举例而言，如向每个工作人员工会/协会收费20 000美元(有14个工会)，则每年将净得280 000美元。然而担心的是，各个工会和协会，尤其是资金不足的工会和协会，可能抱怨实行收费会削弱其向会员提供基本服务的能力。\",\n \"三. 为工作人员法律援助办公室供资的工作人员自愿缴款机制\",\n \"22. 有两种可能的模式可用以设立基于自愿缴款的工作人员供资机制。一种制度是，自动扣减工作人员工资的固定百分比以协助工作人员法律援助办公室提供服务，但工作人员可选择退出该制度。第二种是允许工作人员选择缴纳工资的固定百分比这一方式。\",\n \"23. 两种自愿缴款模式都有一个好处：缴款是经参加的工作人员同意(明示同意或默示同意)而作出的。但是，自愿缴款模式收取的资金数将取决于有多少工作人员决定缴款，因此如没有几个年度缴款周期的实际情况可作评估基准，就难以估计缴款数。\",\n \"24. 在这两种模式下，均需为工作人员参加机制实行某种激励措施。一种鼓励参加的可能方式是办公室优先处理选择参加机制的工作人员的案件。如办公室在某一时间案件太多而无法一一有效处理，可拒绝向退出自愿出资机制的工作人员提供援助。\",\n \"25. 另一个鼓励参加的方式是将工作人员法律援助办公室的服务设为两个级别。参加自愿工作人员出资机制的工作人员将可使用办公室的所有服务。不提供自愿缴款的工作人员只能使用该办公室的基本服务，即提供关于现行法律的简要法律指导/咨询，以及对工作人员为自己案件起草的任何文件或诉状给予有限审阅。在这方面，另一个鼓励参加自愿缴款机制的激励措施是在法定缴款机制下增加使用者付费概念，即：不选择加入或选择退出自愿机制的工作人员需为使用办公室的服务付费。\",\n \"26. 如在法定缴款模式下一样，若办公室认为缴费工作人员的案件几乎无可能或完全无可能胜诉而拒绝接受该案件，可能会发生申诉和上诉。不过，减轻此类担心的一个方法是向工作人员明确宣布，办公室在决定是否提供法律援助时会考虑到其投诉理由是否站得住脚。\",\n \"27. 此外，自愿机制的另一问题是，达到何种最低缴费限度才会提供增强型服务。例如，若工作人员可在希望获得办公室服务前一刻选择参加固定缴款模式，并可在获得这些服务后立即退出，则缴款收入会非常少。解决此问题的一个办法是限制工作人员改变参加/退出状态，例如限制为一年一次。\",\n \"四. 结论\",\n \"28. 上述所有模式均需进一步审议后才能实施。如上所述，实行法定缴款模式涉及到法律问题。\",\n \"29. 此外，公平性和获得缴款收入两者间的利弊冲突也必须加以解决。法定缴款模式如被确定为可接受，更有可能获得较多缴款收入以抵消更多办公室资源的费用。然而，获得的缴款收入数也将取决于有多少个人或实体缴款，并取决于收取的数额或百分比，即使在法定缴款模式下也是如此。\",\n \"30. “使用者付费”和自愿模式可能被视为比较公平，因为这些方式不会对不使用办公室服务或不认为值得为将来可能使用服务而缴款的人收取费用，哪怕是收取极少费用。这个问题之所以尤其突出，是因为99%的工作人员未曾使用且预计不会使用办公室服务。但是，比较难以预测任何自愿机制会获得多少缴款收入。在“使用者付费”模式下，可能产生的问题是如何确保缴款公平而充足，同时避免导致办公室服务的使用量过度减少。因此需要进一步审议，以在广泛提供办公室服务与获得缴款收入两者间达至恰当平衡。\",\n \"五. 建议\",\n \"31. 秘书长建议大会注意到本文说明的法定出资和混合出资机制建议，并建议大会指出其认为是否有一个模式以及哪一个模式适于作为秘书处拟定更详细建议以提交大会审议的基础。\",\n \"附件二\",\n \"关于编外人员申诉机制的提案\",\n \"联合国与咨询人和个体订约人的合同快速仲裁程序规则概要：概念文件\",\n \"一. 导言\",\n \"1. 本概念文件[28] 提出通过在联合国贸易法委员会(贸易法委员会)《仲裁规则》中加入一些简化内容来制订快速仲裁程序的可能办法，用于解决联合国与某些类别的编外人员(即咨询人和个体订约人)之间的争议。秘书长关于联合国内部司法的报告(A/65/373和Corr.1，第171段)概括地提到了这种办法。本概念文件无意讨论大会第64/233号决议第9段提及的解决联合国与编外人员争议的可能办法，也无意针对不适用本概念文件所讨论程序的某些类别的编外人员，就其与联合国之间的争议提出解决方式(见大会第65/251号决议，第55段)。\",\n \"2. 秘书长报告第171段提到的办法，针对的是在地方、国家或区域仲裁协会主持下处理数额在25 000美元以下诉求的仲裁。但是，该报告又做出结论，认为“对于数额在25 000美元或以下的诉求启动正式仲裁，即便是根据特别程序进行仲裁，对本组织而言不一定有效率和实效”(A/65/373和Corr.1，第172段)。因此，下文概述的快速程序未将财政上的限制作为先决条件。\",\n \"3. 本概念文件中的程序既可用于专项仲裁，也可用于仲裁协会主持下的仲裁，只要相关协会同意按照这些程序来进行仲裁。\",\n \"4. 在简化仲裁程序时，必须铭记，根据《联合国特权和豁免公约》第八条第二十九节的规定，联合国应规定适当办法，解决其订立的合同所发生的纠纷。因此，本概念文件载列的程序力图保留正当程序的基本特点。\",\n \"5. 本概念文件载列的程序具有下列基本特点：\",\n \"• 是一个两阶段进程，由一个非正式的争议解决阶段以及在非正式争议解决不成功时的快速仲裁程序组成\",\n \"• 提交仲裁申请的时限不能被放弃\",\n \"• 独任仲裁员\",\n \"• 仲裁员选自本组织与个体订约人/咨询人同意的仲裁员名单(见下文第8段(d)项)\",\n \"• 限定仲裁员的收费\",\n \"• 消指定机构，由一个中立的实体行使指定机构的某些职能，例如选择/任命仲裁员以及就一方当事人对仲裁员提出的异议做出决定\",\n \"中立实体可以是一个国际争议解决机构(在此情况下，本组织和申请人需要按各自的份额分担该机构的管理费)\",\n \"• 只要有可能，均使用电子方式发送仲裁通知和其他函件\",\n \"• 各方当事人提交文件时使用标准样板\",\n \"• 简化书状和提交的其他文件并限制其数量\",\n \"• 限制对书状和提交的文件的修正\",\n \"• 证人以书面宣誓书的方式作证，除非仲裁员决定证人应口头作证(例如为了让对方当事人能对证人进行交叉质证)\",\n \"• 仲裁员与各方当事人之间关于初步行政事宜和其他事项的会议和协商采用电话会议或视频会议方式进行\",\n \"• 作为特例，一方当事人可以请求举行听讯，以便交叉质证，或者仲裁员在必要时也可以下令举行听讯，以解决事实或法律方面的实质性问题；此类听讯通常通过电话会议或视频会议进行，须限制范围，时间不得超过两天\",\n \"• 多数情况下，仲裁员根据各方当事人的书面诉答状和提交的文件做出裁决(完全的书面审理程序)\",\n \"• 仲裁员在规定的时限内，例如30天内，做出裁决\",\n \"• 裁决支付的任何补偿仅限于弥补经济损失，并且设定上限\",\n \"• 取决于针对本组织提起的按照拟议简化仲裁程序进行仲裁的数量，可能需要更多资源来为本组织辩护并尽可能降低其法律责任。\",\n \"二. 框架\",\n \"6. 一套新规则，称为《联合国咨询合同快速仲裁程序规则》(以下称为“《快速规则》”)，将以《贸易法委员会仲裁规则》为框架编制。《快速规则》将以《贸易法委员会仲裁规则》为基础，对其做出必要修改，以纳入上文提到的快速程序。本概念文件将介绍这些修改的内容，但不一定确定措辞或位置。本概念文件还将指明《贸易法委员会仲裁规则》中有哪些条款与拟议程序有关或受其影响。应注意到，除了本概念文件中载列的各要点之外，还需要对《贸易法委员会仲裁规则》做许多其他的相应修改(例如，为适应仅有一名仲裁员所需的修改)。\",\n \"争议解决程序概要\",\n \"7. 《快速规则》规定一个两阶段进程，由一个非正式争议解决阶段和一个快速仲裁程序组成。在非正式争议解决阶段不成功的情况下，各方当事人将进入正式的争议解决阶段，即快速仲裁程序，其特点将在以下各节中讨论。\",\n \"三． 《快速规则》的范围(《贸易法委员会仲裁规则》所涉条款：第1条)\",\n \"8. 《快速规则》适用于联合国使用咨询人和个体订约人服务合同雇用咨询人和其他人(见ST/AI/1999/7/Amend.1，附件)或者联合国各基金和方案使用类似合同格式与咨询人和个体订约人签订合同(例如，见A/62/748和Corr.1，第13段；以及A/65/373和Corr.1，附件四，第3段)的情形。上述类别的人员在本概念文件中合称为“个体订约人”。\",\n \"评论\",\n \"(a) 按这种办法，《快速规则》适用于依照咨询人和个体订约人服务合同或类似合同雇用的所有人。例如，这包括持有此类合同的特派专家和工人(见A/62/748和Corr.1，第33和40段；以及A/62/782，第31-35和37-39段)，但不包括联合国志愿人员(见A/62/748和Corr.1，第23和24段；以及A/62/782，第22和23段)、秘书处官员以外的其他官员(见A/62/748和Corr.1，第29-31段；以及A/62/782，第27-29段)和未持有此类合同的其他人。\",\n \"(b) 与个体订约人签订的合同中的争议解决条款将予更改，规定未能在非正式争议解决阶段友好解决的争议应按照《快速规则》提交仲裁。\",\n \"(c) 《快速规则》将规定其所适用的具体类型的合同诉求，例如声称对方违约或不当终止合同的诉求。此外，《快速规则》还明确地将某些类别的争议排除在属事管辖范围之外，例如由应具有工作人员地位的订约人提出的诉求等。就《工作人员细则》附录D的规定而言，仲裁员的职责仅限于核实供申请人确定其是否有权获得相同赔偿的程序就是《联合国工作人员细则》附录D规定的程序。此外，《快速规则》还确定提出仲裁申请的时限，并规定该时限不得被放弃。\",\n \"(d) 与《贸易法委员会仲裁规则》不同，个体订约人或咨询人不一定熟悉或能即时查阅《快速规则》，因此，应当在每份合同后面附上《快速规则》(包括个体订约人或咨询人可以索要现有仲裁员名单的实体的名称)，或者应当在签署合同之前将该规则提供给每位个体订约人或咨询人。个体订约人或咨询人必须签署一份确认函，表明㈠ 本组织已向其提供了《快速规则》，㈡ 《快速规则》构成合同不可分割的组成部分，㈢ 其接受仲裁员名单。\",\n \"四. 通知和其他函件(《贸易法委员会仲裁规则》所涉条款：第2条)\",\n \"9. 各方当事人和仲裁员应通过电子方式按《快速规则》发送通知、函件或提议，除非这种发送方式因技术原因而不可获得或不可能实现。[评论：例如，这可能包括电子传送方式无法获得或出现故障，书状或提交的文件过于庞大等。]\",\n \"五. 书状和提交的其他文件(《贸易法委员会仲裁规则》所涉条款：第3、4、20、21、22、23⑵、24和25条)\",\n \"初步评论\",\n \"根据以下规定，被申请人在仲裁员得到指定之前无须提交答辩书。这样规定的理由是：被申请人可能希望提出对仲裁员管辖权的抗辩(例如，相关争议不能根据申请人申明的仲裁条款提交仲裁，或者由于其他某种原因，仲裁员没有管辖权)；或可能希望以仲裁申请明显缺乏法律依据为由，请求提前驳回该申请。在仲裁员就管辖权问题或被申请人针对实质依据提出的质疑进行裁决之前，被申请人无须提交完整的答辩书及附带文件。\",\n \"10. 申请人通过提交仲裁请求和仲裁申请书的方式启动仲裁程序。该书状载列的信息应类似于《贸易法委员会仲裁规则》所规定的仲裁通知和仲裁申请书的内容。申请人应在其中说明其诉求并概述诉求的依据和支持性论点。\",\n \"11. 收到申请人的仲裁请求和仲裁申请书之后的60日内，被申请人必须发出对仲裁请求的答复。答复应包含对管辖权的抗辩并说明其他事项，例如每位被申请人的身份以及对申请人仲裁请求中所载信息的答复。各方当事人提交文件时均应使用标准样板。\",\n \"12. 被申请人如果提出对管辖权的抗辩，则应在对仲裁请求的答复中载明其希望为支持该抗辩而陈述的全部事实和辩论，并尽可能在答复中附带作为依据的全部文件或注明这些文件的出处。\",\n \"13. 被申请人如果以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则应在对仲裁请求的答复中载明其希望为支持该答辩而陈述的全部事实和辩论，并尽可能在答复中附带作为依据的全部文件或注明这些文件的出处。\",\n \"14. 在指定仲裁员之后：\",\n \"(a) 如果被申请人提出对管辖权的抗辩，则仲裁员应在与各方当事人协商之后，设定申请人针对该抗辩作出答复的时限。然后，仲裁员就被申请人对管辖权的抗辩进行裁决[评论：不举行听讯，见下文第十三节]，仲裁员如果裁定有管辖权，则应设定被申请人提交答辩书的时限；\",\n \"(b) 如果被申请人以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则仲裁员应在与各方当事人协商之后，设定申请人针对该答辩作出答复的时限。然后，仲裁员就被申请人以仲裁申请明显缺乏法律依据为由提出的提前驳回该申请的答辩进行裁决[评论：不举行听讯，见下文第十三节]，仲裁员如果仍然维持仲裁申请，则应设定被申请人提交答辩书的时限；\",\n \"(c) 如果被申请人没有提出对管辖权的抗辩，也没有以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则仲裁员应设定被申请人提交答辩书的时限。\",\n \"15. 答辩书载列的信息应类似于《贸易法委员会仲裁规则》为答辩书规定的内容。被申请人应在答辩书中回应仲裁申请书中的具体内容，可以提出反诉或抵销请求，并且还可以提出对管辖权的抗辩，除非之前已经提出过。答辩书应当尽可能附带被申请人作为依据的全部文件或其他证据，或者注明这些文件的出处。\",\n \"六. 延长或缩短时限(《贸易法委员会仲裁规则》所涉条款：第17⑵条)\",\n \"16. 如果各方当事人同意或仲裁员在请各方当事人发表意见之后做出决定，《快速规则》确立的或各方当事人商定的时限可在任何时候予以延长或缩短。\",\n \"七. 书状的修正(《贸易法委员会仲裁规则》所涉条款：第22条)\",\n \"17. 仲裁员被选定并接受任命之后，一方当事人不得修正其书状，除非取得对方当事人的同意或者仲裁员的允许。向仲裁员提交的修正书状的请求应附带拟修正的文本，并说明修正的原因和理由。为决定是否允许修正书状，仲裁员应考虑因允许修正而造成的仲裁程序的延迟、给对方当事人造成的不利以及其他情形是否大于其带来的益处。如允许修正书状，仲裁员应设定对方当事人就修正做出答复的截止时间。如果书状被修正，对方当事人可以仅针对修正的内容做出答复。\",\n \"八. 补充提交的文件(《贸易法委员会仲裁规则》所涉条款：第24条)\",\n \"18. 与各方当事人协商之后，仲裁员应设定每一方当事人可以提交其他事实、法律辩论或文件的截止时间。上述材料应以书面形式提交。截止时间过后，不得再允许进一步提交任何材料。尽管有上述规定，不得允许一方当事人在补充提交文件时陈述其在提交书状或补充提交文件时已经或应当知道或者能够获得的事实或文件。\",\n \"九. 披露(《贸易法委员会仲裁规则》所涉条款：第27⑶条)\",\n \"19. 仲裁员可以应一方当事人的请求或自己主动下令任何一方当事人在任何时候出示证据或要求任何人披露或提供仲裁员认为公平、快速了结仲裁程序所需的文件或信息。但是，仲裁员不得命令任何人出示或披露保密或受特权保护的证据、文件或信息。\",\n \"20. 一方当事人如果希望提交由对方当事人或任何其他实体持有的非特权或不保密证据，可以请求仲裁员命令持有人出示证据。\",\n \"21. 如果出于安全或其他特殊情况的需要，仲裁员可应任何一方当事人的请求，采取措施为证据保密。\",\n \"评论\",\n \"这些规定根据《联合国争议法庭程序规则》第18条做出。\",\n \"十. 证人证词(《贸易法委员会仲裁规则》所涉条款：第27⑵条)\",\n \"22. 任何证人(包括作为申请人或被申请人的任何个人)的陈述或证词均应由证人以书面宣誓书的形式做出，应予公证或以其他方式予以法律认证，除非仲裁员决定出于公正的需要，应在听讯时作证。\",\n \"评论\",\n \"见下文第十三节关于听讯的规定。除某些例外情况之外，听讯将采取电话会议或视频会议方式。证人的书面陈述应作为一方当事人的书状或补充文件提交(见上文第八节)。\",\n \"十一. 指定机构(《贸易法委员会仲裁规则》所涉条款：第6条)\",\n \"23. 不设指定机构。\",\n \"24. 但是，仍有必要保留指定机构的某些职能，例如选择或指定仲裁员、对仲裁员提出异议等相关职能。这些职能可以由一个中立的实体履行。\",\n \"25. 中立实体可以是一个国际争议解决机构，通过竞争性征聘方式选定。\",\n \"26. 由一个国际争议解决机构担任中立实体的好处如下：(a) 这样的机构能提供管理仲裁程序各方面的现有专长；(b) 通过竞争性征聘方式选择这样的机构，能体现存在争议的合同的商业性质；(c) 由一个外部机构来管理仲裁可以确保中立实体与本组织无关，避免产生偏袒的看法。但是，申请人和被申请人需要按各自的份额承担该机构收取的管理费。\",\n \"十二. 仲裁员(《贸易法委员会仲裁规则》所涉条款：第7至15条)\",\n \"27. 仲裁员人数和指定(《贸易法委员会仲裁规则》所涉条款：第7至第10条)：\",\n \"(a) 只有一名独任仲裁员；\",\n \"(b) 上文第十一节提到的中立实体将编制并维持一份可能担任仲裁员的人员名单；\",\n \"(c) 列入名单的一项条件是，要求仲裁员签署文件确认其同意，如被指定担任一个案件的仲裁员，则依照《快速规则》进行仲裁，并且接受对仲裁员费所设的上限(见下文第十七节)；\",\n \"(d) 仲裁员的指定：上文第十一节提到的中立实体将从上述可能担任仲裁员的人员名单中选择一名仲裁员。为了让这个过程更具有可预测性，将采用一个清单程序，即各方当事人将从一个载有几名候选人的清单中挑选其最优先人选，由中立实体保密地分别通知每位人选。\",\n \"28. 对仲裁员的异议(《贸易法委员会仲裁规则》所涉条款：第11至15条)：《快速规则》将保留《贸易法委员会仲裁规则》关于对仲裁员的异议的条款，但会规定，如果各方当事人不能就此异议达成一致，或者仲裁员不自愿辞职，则上文第十一节所述的中立实体将就此异议做出决定。各方当事人就某项异议达成一致意见或仲裁员决定辞职，都具有决定性作用，将自动启动新的仲裁员遴选程序。\",\n \"十三. 仲裁程序(《贸易法委员会仲裁规则》所涉条款：第17、27⑵、28、29和31条)\",\n \"29. 程序应以各方当事人的书状和提交的文件为基础展开，但下文规定的情况除外。\",\n \"30. 在审理案情实质之前，仲裁员与各方当事人之间关于行政和其他事项的所有会议和协商一般都通过电子邮件或电话会议方式进行。\",\n \"31. 关于对管辖权的抗辩或以仲裁申请明显缺乏法律依据为由提出的提前驳回申请的抗辩，将不举行听讯。仲裁员应根据各方当事人提交的书面文件就这些抗辩做出决定。\",\n \"32. 关于案情实质，将不以听讯方式呈递证据、证词或口头辩论，除非：(a) 一方当事人请求举行听讯，以便对证人进行交叉质证，或者(b) 仲裁员决定，有些实质性的事实或法律问题只能通过听讯才能得到公平公正的解决。听讯仅限于对证人进行交叉质证或审理事实或法律问题。听讯应采用电话会议或视频会议的方式，除非仲裁员在特殊情况下决定，某一事实问题只能通过亲自出席听讯才能解决。任何此类听讯均不得超过两天。\",\n \"33. 《贸易法委员会仲裁规则》第29条(规定仲裁庭可以指定自己的独立专家)将予删除。\",\n \"十四. 适用法律(《贸易法委员会仲裁规则》所涉条款：第35⑴条)\",\n \"34. 《快速规则》将规定，除非各方当事人另行商定，否则仲裁员将根据包括合同述及的一般性条款和条件在内的明示的合同条款做出决定。联合国工作人员条例和细则以及国内法均不适用于相关争议。\",\n \"十五. 裁决(《贸易法委员会仲裁规则》所涉条款：第33和34条)\",\n \"35. 仲裁员无权裁决支付惩罚性赔偿，也无权作为友好调解人或根据公正和善良的原则做出决定。此外，除非合同中另有明确约定，仲裁员无权裁决支付高于当时实行的伦敦银行同业拆放利率的利息，并且任何此种利息应只是单利。各方当事人应受此种仲裁所做裁决的约束，将其作为对任何此等争议、纠纷或诉求的终局裁决。\",\n \"评论\",\n \"这些规定来自《联合国合同总则》中的仲裁条款。\",\n \"36. 仲裁员应在仲裁程序结束后的30日内做出裁决。仅应针对经济损失裁决给予补偿，并且设定上限[待定]。\",\n \"十六. 费用(《贸易法委员会仲裁规则》所涉条款：第40、41和43条)\",\n \"37. 仲裁员费：《快速规则》将限定仲裁员费。对仲裁员费的限定应载于《快速规则》以及作为将仲裁员列入名单的前提条件而由其签署的文件中(见上文第十二节，第27(c)段)。\",\n \"38. 费用的确定和分配：无论案件结果如何，每一方当事人都应承担其自身的费用，各方当事人应平均分担仲裁员的费用。 但是，在特殊情况下，仲裁员也可以决定，出于公正和公平的需要，采取与此不同的方式来分摊各方当事人的费用以及仲裁员的成本和费用。\",\n \"十七. 保密(《贸易法委员会仲裁规则》所涉条款：第28(3)和34(5)条)\",\n \"39. 整个仲裁程序，包括所有的通知、函件、书状、文件、提交的材料、听讯和裁决，均应保密，除非各方当事人以书面方式另行商定。但是，联合国或其基金或方案可以按其理事机构的要求，将仲裁程序的相关信息告知其理事机构。\",\n \"其他事项\",\n \"特权和豁免\",\n \"40. 与《贸易法委员会仲裁规则》不同，《快速规则》是专门针对联合国仲裁案件制订的，因此，在该规则中载列特权和豁免条款是可取的：\",\n \"“[使用《规则》的全名]所载列或与之有关的任何内容，均不得以不符合联合国(包括其附属机构)的特权和豁免的方式加以解释或适用，也不得被视为对此等特权和豁免的放弃。为避免产生疑问，根据[使用《规则》的全名]进行的仲裁不应遵从任何当地法律，凡提及‘仲裁地点’之处，均不得被视为或被解释为放弃此等特权和豁免或联合国同意接受任何国家的管辖。”\",\n \"附件三\",\n \"管理评价股、联合国争议法庭和联合国上诉法庭裁定的赔偿\",\n \"A. 管理评价股裁定支付的赔偿金(2009年7月1日至2011年5月31日)\",\n \"已支付的赔偿金明细表\",\n \"(2009年7月1日至2011年5月31日)\",\n \"决策人所属部门\\t赔偿金额\\t工作人员职等\\t赔偿原因 \\n联合国日内瓦办事处\\t500.00美元\\tP-4\\t未将甄选进程的结果通知工作人员\\n联合国日内瓦办事处\\t3个月净基薪\\tP-3\\t违反15天规则\\n联合国日内瓦办事处\\t1个月净基薪(7040.50瑞士法郎)\\tG-5\\t违反15天规则\\n人道主义事务协调厅——日内瓦\\t2 127.00美元\\tP-4\\t偿还被收回的回籍假(包干费用)\\n人道主义事务协调厅——日内瓦\\t3个月净基薪(17 680美元)\\tP-4\\t违反15天规则\\n 外勤支助部 3个月净基薪 FS-4 征聘工作处理不当\\n外勤支助部——联合国科索沃特派团\\t7个月净基薪\\tG-5\\t裁撤员额\\n外勤支助部——联合国科索沃特派团\\t5 154.76美元\\tFS-6\\t偿还被收回的回籍假(包干费用)\\n外勤支助部——联合国格鲁吉亚观察团\\t3个月净基薪\\tFS-4\\t不公平待遇\\n外勤支助部——联合国科索沃特派团\\t2个月净基薪\\tP-3\\t缺乏正当程序\\n联合国内罗毕办事处\\t3个月净基薪\\tG-4\\t对续签合同的合理预期\\n联合国环境规划署\\t3个月净基薪\\tD-1\\t过度拖延\\n联合国环境规划署\\t3个月净基薪\\tG-7\\t过度拖延\\n联合国环境规划署\\t3个月净基薪\\tP-5\\t过度拖延\\n管理事务部\\t3个月净基薪\\tP-3\\t收回已被接受的任命\\n大会和会议管理部\\t5 473.09美元\\tG-7\\t甄选进程处理不当\\n大会和会议管理部\\t12891.00美元\\tG-5\\t甄选进程处理不当\\n内部监督事务厅(维也纳)\\t1 044.89美元\\tP-3\\t未支付特别职位津贴\",\n \"B. 联合国争议法庭和联合国上诉法庭裁定支付的赔偿金 (2009年7月1日至2011年5月31日)\",\n \"[TABLE]\",\n \"注：“不适用”指在联合国争议法庭判决后没有采取行动，或指对判决仍在上诉中。\",\n \"联合国上诉法庭判决书编号^(a)\\t申请人姓\\t实体\\t上诉方\\t赔偿\\t付款净额(美元)\\t日期 \\n2010-UNAT-021\\tAsaad\\t联合国近东巴勒斯坦难民救济和工程处\\t联合国近东巴勒斯坦难民救济和工程处\\t赔偿相当于自2003年7月1日至2004年1月20日期间8级和14级之间的薪金差额，赔偿相当于14级的1个月薪金。此外，或者复职，或者支付6个月净基薪\\t9000.00美元\\t不适用\\n2010-UNAT-022\\tAbuHamda\\t联合国近东巴勒斯坦难民救济和工程处\\t联合国近东巴勒斯坦难民救济和工程处\\t返还申请人因降职造成的薪金损失\\t7600.00美元\\t不适用\\n2010-UNAT-025\\tDoleh\\t联合国近东巴勒斯坦难民救济和工程处\\t联合国近东巴勒斯坦难民救济和工程处\\t复职或支付2年净基薪\\t19000.00美元\\t不适用\\n2010-UNAT-030\\tTabari\\t联合国近东巴勒斯坦难民救济和工程处\\t联合国近东巴勒斯坦难民救济和工程处\\t追加支付特别职业津贴\\t22000.00美元\\t不适用\\n2010-UNAT-087\\tLiyanarachchige\\t联合国科特迪瓦行动/维持和平行动部\\t推翻第UNDT/2010/041号判决\\t12个月离职时净基薪\\t47440.00美元\\t2011年3月7日\",\n \"^(a) 联合国上诉法庭就联合国争议法庭未审理或未裁定支付赔偿金的案件所作的裁定支付赔偿金的判决。\",\n \"C. 联合国争议法庭裁定支付赔偿金等于或高于六个月净基薪的判决 (2009年7月1日至2011年5月31日)\",\n \"判决书编号\\t申请人\\t书记官处\\t摘要简述\\t实体\\t撤销行政决定或具体履行的命令\\t赔偿的命令\\t以美元支付的总金额\\t截至2011年5月31日，在上诉程序中维持或推翻原判 \\nUNDT/2010/070\\tFarraj\\t日内瓦\\t争议法庭认定，终止申请人限期任用的争议决定不符合任用条件\\t联合国开发计划署\\t撤销有争议的决定(作为替代办法，支付45000美元)\\t不适用\\t45000美元\\t不适用\\nUNDT/2010/106\\tEid\\t日内瓦\\t争议法庭认定，行政当局应当从申请人的解雇生效之日开始，向申请人支付解雇偿金\\t联合国秘书处(联合国驻黎巴嫩临时部队)\\t不适用\\t29991.23美元和9552660黎巴嫩镑(解雇偿金和相关的应享待遇)\\t不适用\\t不适用\\nUNDT/2010/120\\tOstensson\\t日内瓦\\t争议法庭认定，甄选过程存在严重的程序违规行为，侵犯了申请人为竞聘D-1职位而得到全面和公平考虑的权利\\t联合国贸易和发展会议\\t撤销有争议的决定(作为替代办法，支付4900美元)\\t48000美元(精神痛苦，对专业声誉的损害)\\t52900美元\\t不适用UNDT/2010/122\\tZerezghi\\t日内瓦\\t争议法庭认定，采取开除的纪律处分措施与已认定的不当行为不匹配\\t联合国秘书处(科索沃特派团)\\t(1)追溯性地复职(作为替代办法，支付8个月净基薪)；(2)\\t60000美元(精神损害)\\t99936.18美元\\t不适用 \\n 书面诉斥申请人；(3)从申请人档案中取出与开除有关的材料 \\nUNDT/2010/128\\tIkpa\\t日内瓦\\t争议法庭认定，离职不是合法的纪律处分措施\\t联合国日内瓦办事处\\t以支付6周净基薪代替通知，减去已经得到通知的1周\\t1年净基薪，减去已经支付的金额\\t59592美元\\t不适用\\nUNDT/2010/129\\tValleFischer\\t日内瓦\\t争议法庭认定，离职不是合法的纪律处分措施\\t联合国日内瓦办事处\\t以支付6周净基薪代替通知，减去已经得到通知的1周\\t1年净基薪，减去已经支付的金额\\t54697美元\\t不适用UNDT/2010/130\\t申请人\\t日内瓦\\t争议法庭认定，终止任用申请人并予以斥责的决定侵犯了申请人的权利\\t前南斯拉夫问题国际刑事法庭\\t撤销斥责\\t(1)在之前已经支付的8个月净基薪之外，额外支付3个月净基薪(非法解雇造成的损害)；(2)\\t50263.50美元\\t不适用 \\n 3个月净基薪(非法斥责) UNDT/2010/133\\tEldam\\t日内瓦\\t争议法庭认定，因为业绩不佳而不续签合同并予以斥责的决定有瑕疵且不适当\\t联合国秘书处(联合国格鲁吉亚观察团)\\t(1)撤销不继续任用的决定(作为替代办法，支付3个月净基薪)；(2)\\t3个月净基薪(精神损害)\\t26204.40美元\\t不适用 \\n 收回斥责 \\nUNDT/2009/088\\tNogueira\\t内罗毕\\t争议法庭认定，以业绩为由不予继续任用的决定在程序上有缺陷，不能成立\\t联合国内罗毕办事处/联合国环境规划署\\t不适用\\t24个月的净基薪\\t210794美元\\t不适用\\nUNDT/2010/002\\tXu\\t内罗毕\\t争议法庭认为，不选择申请人担任P-4职等职位的决定不合法\\t联合国秘书处\\t不适用\\t6个月净基薪(申请人遭受的伤害)\\t不适用\\t上诉法庭在Xu案2010-UNAT-053号判决中撤销原判并发回争议法庭重审UNDT/2010/053\\tMmata\\t内罗毕\\t争议法庭认定，严重不当行为的指控没有充分依据，离职的处分过重\\t联合国儿童基金会\\t撤销有争议的决定并予以复职\\t(1)从离职之日起损失的收入；(2)2年净基薪\\t222453.57美元\\t按基本利率计算赔偿金利息(见Mmata案2010- \\n UNAT-092号判决书)\\nUNDT/2010/056\\tMasri\\t内罗毕\\t争议法庭认定，立即开除的纪律处分措施过重\\t联合国秘书处(联合国组织刚果民主共和国特派团)\\t(1)复职，并支付损失的收入(作为替代办法，支付2年净基薪)；(2)降职4级\\t不适用\\t不适用\\t上诉法庭在Masri案2010-UNAT-098号判决书中推翻原判UNDT/2010/057\\tIanelli\\t内罗毕\\t争议法庭认定，申请人有权取得给予国际征聘工作人员的派任津贴和其他应享待遇\\t联合国项目事务厅\\t不适用\\t支付适用的派任和搬迁津贴，加上适当利息\\t51395.35美元\\t上诉法庭修改了关于支付利息的命令(见2010- \\n UNAT-093号判决书)\\nUNDT/2010/061\\tSanwidi\\t内罗毕\\t在Sanwidi案UNDT/2010/036号判决之后，争议法庭做出关于赔偿金的判决，认为立即开除的决定过重\\t联合国秘书处(联合国组织刚果民主共和国特派团)\\t(1)复职(作为替代办法，支付2年净基薪)；(2)书面斥责\\t支付从立即开除之日到复职之日损失的收入，减去每月2600美元\\t不适用\\t上诉法庭在Sanwidi案2011-UNAT-104号判决书中撤销争议法庭的判决 \\nUNDT/2010/097\\tLutta\\t内罗毕\\t在Lutta案UNDT/2010/052号判决之后，争议法庭做出关于赔偿金的判决。法庭认定，除其他外，对申请人进行的调查和采取的其他行动在程序上有瑕疵，并且不适当\\t联合国秘书处(联合国科特迪瓦行动)\\t不适用\\t(1)3个月净基薪(丧失职业提示机会)；(2)4760美元(旅行费用)；(3)6个月净基薪(精神损害)\\t46339.86美元\\t上诉法庭在Lutta案2011-UNAT-117号判决书中维持原判\\nUNDT/2010/118\\tCohen\\t内罗毕\\t申请人对立即开除的决定提出异议。争议法庭认定，申请人的行为不构成不当行为，其正当程序权受到侵犯\\t联合国秘书处(联合国组织刚果民主共和国特派团)\\t撤销有争议的决定，申请人复职(作为替代办法，支付2年净基薪)\\t(1)支付自开除之日至判决之日的薪金和应享待遇；(2)2个月净基薪(侵害正当程序权)\\t101624美元\\t不适用\\nUNDT/2010/119\\tGaskins\\t内罗毕\\t申请人对终止其任用的决定提出异议。争议法庭认定，申请人的雇用合同遭到违约，导致其自身形象和名誉受损\\t联合国开发计划署\\t不适用\\t6个月净基薪(侵犯正当程序权，侮辱、痛苦和名誉损害)\\t40420.98美元\\t不适用\\nUNDT/2010/124\\tFrechon\\t内罗毕\\t争议法庭认定，申请人因为医疗原因被不当解雇\\t卢旺达问题国际刑事法庭\\t撤销有争议的解雇申请人的决定，复职(作为替代办法，支付2年净基薪)\\t(1)支付从解雇之日至复职之日损失的收入；(2)支付2007年3月至2007年7月期间的应享待遇\\t不适用\\t不适用\\nUNDT/2010/153\\tVerschuur\\t内罗毕\\t争议法庭认定，有人不当干预甄选过程，没有对申请人竞聘P-5职位给予充分、公平的考虑\\t联合国人类住区规划署\\t不适用\\t6个月净基薪(不利于职业发展)\\t不适用\\t不适用\\nUNDT/2010/154\\tContreras\\t内罗毕\\t争议法庭认定，有人不当干预甄选过程，没有对申请人竞聘有关职位给予充分、公平的考虑\\t联合国人类住区规划署\\t不适用\\t(1)6个月净基薪(不利于职业发展)；(2)1美元的象征性数额(精神伤害)\\t不适用\\t不适用\\nUNDT/2010/173\\tParkes\\t内罗毕\\t争议法庭认定，立即开除的有争议决定过重\\t联合国秘书处(联合国组织刚果民主共和国特派团)\\t撤销该决定(作为替代办法，支付相当于解雇补助金的赔偿金)\\t不适用\\t57503.39美元\\t不适用UNDT/2010/175\\tBekele\\t内罗毕\\t申请人对要求其离职的决定以及几项相关决定提出异议。争议法庭认定，申请人的权利受到侵犯。\\t非洲经济委员会\\t不适用\\t(1)支付从2007年11月至2009年3月的薪金；(2)\\t不适用\\t不适用 \\n 6个月净基薪(侵害正当程序权) \\nUNDT/2010/185\\tM'Bra\\t内罗毕\\t争议法庭认定，立即开除的决定不合法\\t联合国秘书处(联合国组织刚果民主共和国特派团)\\t复职(作为替代办法，支付2年净基薪)\\t(1)支付自立即开除之日至判决之日的薪金和应享待遇；(2)2个月净基薪(侵害正当程序权)\\t377257.92美元\\t不适用\\nUNDT/2010/197\\tBowen\\t内罗毕\\t争议法庭认定，因业绩欠佳而解雇的决定不合法\\t联合国开发计划署\\t撤销有争议的决定\\t(1)3个月净基薪和福利，减去为代替通知而支付的金额；(2)2年净基薪\\t不适用\\t不适用\\nUNDT/2010/214\\tKamunyi\\t内罗毕\\t争议法庭认定，让申请人暂时离职，安排其休全薪特别假，以及对申请人作出斥责，这些有争议的决定不合法\\t联合国内罗毕办事处\\t撤销3项非法决定(非法中止职务、安排一年八个月的全薪特别假以及斥责)\\t2年6个月的净基薪(精神和身体伤害，名誉损害)\\t不适用\\t不适用\\nUNDT/2011/017\\tHarding\\t内罗毕\\t申请人对立即开除的决定提出异议。鉴于答辩人承认负有责任，该案仅涉及支付2年净基薪的赔偿金额是否适当的问题\\t联合国难民事务高级专员办事处\\t撤销立即开除的决定(作为替代办法，支付2年净基薪)\\t(1)6个月净基薪(侵害正当程序权)；(2)4个月的特别职位津贴；(3)6个月净基薪(精神痛苦和侮辱)；(4)支付自2005年6月至2010年12月的G-6职等薪金和应享待遇\\t不适用\\t已支付特别职位津贴以及利息。其他各项有待上诉。\\nUNDT/2011/060\\tFinniss\\t内罗毕\\t争议法庭认定，在P-5甄选工作中，申请人的权利受到侵犯。\\t联合国秘书处(内部监督事务厅)\\t不适用\\t(1)18个月净基薪(在为第一个职位进行甄选时，没有适当考虑申请人)；(2)6个月净基薪(在为第二个职位进行甄选时，没有适当考虑申请人)\\t不适用\\t不适用\\nUNDT/2011/067\\tBorhom\\t内罗毕\\t争议法庭认定，立即开除的决定不合法\\t联合国难民事务高级专员办事处\\t撤销立即开除的决定，复职(作为替代办法，支付2年净基薪)\\t(1)6个月净基薪(精神损害)；(2)6个月净基薪(侵犯正当程序权)\\t27660美元\\t不适用\\nUNDT/2011/092\\tXu\\t内罗毕\\t争议法庭认定，甄选程序存在程序违规行为，并且，没有对申请人竞聘P-4职位给予充分、公平的考虑\\t联合国秘书处(大会和会议管理部)\\t不适用\\t(1)2个月净基薪(违反程序)；(2)4个月净基薪(未给予充分、公平考虑)；(3)500美元(未将不予选用的结果通知申请人)\\t不适用\\t不适用UNDT/2010/026\\tKasyanov\\t纽约\\t争议法庭认定，没有依照适用规则审议申请人竞聘P-4空缺的申请\\t联合国秘书处(大会和会议管理部)\\t根据记录，已经进行平行调动(作为替代办法，支付20000美元)\\t59932美元(实际经济损失，侵害权利，晋升的可能性推迟、精神痛苦)\\t13969.83美元(已经实际支付2个月薪金)\\t将裁定的赔偿金修改为2个月净基薪(Kasyanov案2010- \\n UNAT-076号判决书)\\nUNDT/2010/040及第57号令(纽约/2010)\\tKoh\\t纽约\\t在Koh案UNDT/2009/078号判决之后，争议法庭做出关于赔偿的判决和命令。争议法庭认定，本组织没有协助申请人找到合适的工作，从而违反了与申请人的雇用合同\\t联合国开发计划署\\t不适用\\t(1)2000美元(丧失候选权)；(2)107107.60美元(经济赔偿)\\t2000美元和107107.60美元\\t不适用\\nUNDT/2010/055\\tAbbasi\\t纽约\\t争议法庭认定，甄选程序存在歧视，侵害了申请人的权利\\t联合国儿童基金会\\t不适用\\t(1)12个月净基薪(失去得到任命的机会，职业发展损失)；(2)3000美元(精神痛苦)\\t不适用\\t上诉法庭在Abbasi案2011-UNAT-112号判决书中推翻原判\\nUNDT/2010/068\\tChen\\t纽约\\t争议法庭认定，不将申请人的职位从P-3职等改叙为P-4职等的决定违反了《工作人员条例》和同值工作同等报酬的原则。\\t联合国秘书处(大会和会议管理部)\\t不适用\\t(1)6个月净基薪(非物质损害：挫折、侮辱和拖延)；(2)从2006年8月至退休之日P-3职等与P-4职等之间的薪金差额\\t36256.94美元\\t上诉法庭在Chen案2011-UNAT-107号判决书中维持原判\\nUNDT/2010/117\\tBertucci\\t纽约\\t在Bertucci案UNDT/2010/080号判决之后，争议法庭做出关于赔偿的判决。法庭认定，不任命申请人担任助理秘书长的决定侵害了其权利\\t联合国秘书处(经济和社会事务部)\\t不适用\\t655000美元(经济和非经济损害)\\t不适用\\t上诉法庭在Bertucci案2011-UNAT-121号判决中撤销原判并发回争议法庭重审\\nUNDT/2010/146\\tBeaudry\\t纽约\\t在Beaudry案UNDT/2010/039号判决之后，争议法庭做出关于赔偿的判决。法庭认定，对申请人的雇用合同不予续期的决定不合法\\t联合国秘书处(联合国海地稳定特派团)\\t不适用\\t112082美元(实际经济损失、痛苦和违反程序)\\t不适用\\t上诉法庭在Beaudry案2010-UNAT-085号判决中予以取消\\nUNDT/2010/156\\tShkurtaj\\t纽约\\t除其他外，申请人还针对关于不执行道德操守办公室所建议的为侵犯申请人权利而向其支付赔偿金的决定提出异议。争议法庭在部分事项上支持申请人，认定在申请人申诉的某些事项上，其权利受到侵犯。\\t联合国开发计划署\\t不适用\\t(1)14个月净基薪(违反正当程序，职业和名誉遭受损害，精神痛苦)；(2)5000美元(在对待道德操守办公室的建议方面存在程序性延误)\\t不适用\\t不适用\\nUNDT/2010/200\\tAlauddin\\t纽约\\t在Alauddin案UNDT/2010/114号判决之后，争议法庭做出关于赔偿的判决。法庭认定，本组织对申请人的雇用合同不予续期，侵害了申请人的权利\\t联合国开发计划署\\t不适用\\t(1)11个月净基薪，包括应享待遇，减去申请人在同一期间内的收入(实际经济损失)；(2)30000美元(精神伤害)\\t不适用\\t不适用\\nUNDT/2011/012\\tTolstopiatov\\t纽约\\t在Tolstopiatov案UNDT/2010/147号判决之后，争议法庭做出关于赔偿的判决，认定联合国儿童基金会取消员额是违反了对申请人的义务\\t联合国儿童基金会\\t不适用\\t97324.04美元(损失的收入和应享待遇)\\t97324美元\\t不适用\\nUNDT/2011/032\\tObdeijn\\t纽约\\t答辩人拒绝披露做出不予续期的有争议决定的原因。争议法庭因此认定，有争议的决定不合法\\t联合国人口基金\\t不适用\\t(1)6个月净基薪和应享待遇(实际经济损失)；(2)8000美元(精神痛苦)\\t不适用\\t不适用UNDT/2011/068\\tGarcia\\t纽约\\t争议法庭认定，联合国开发计划署未能执行雇用关系，违反了其与申请人之间的合同\\t联合国开发计划署\\t从申请人的个人档案中取出不利材料\\t(1)89128.48美元(损失的薪金和应享待遇)；(2)\\t109619.26美元\\t不适用 \\n 241美元(体格检查补偿款)；(3)50000美元(非金钱损失) \\nUNDT/2011/081\\tCabrera\\t纽约\\t争议法庭认定，安排申请人休全薪特别假的决定不合法\\t联合国秘书处(管理事务部)\\t不适用\\t2年净基薪(违反正当程序、侮辱和精神痛苦)\\t不适用\\t不适用\",\n \"说明：“不适用”表示或者在联合国争议法庭作出判决之后未采取行动，或者该判决仍在上诉阶段。\",\n \"[1] ^(*) A/66/150。\",\n \"[2] 单独经管的基金和方案独立处理管理评价问题。\",\n \"[3] 玛里琳·卡曼法官提出自2011年6月30日起从争议法庭辞职。\",\n \"[4] 提出申请/上诉的数目不一定对应于作出判决的数目。有时候可能在一项判决中处置了数项上诉，也可能有不作判决而结案的情况。\",\n \"[5] 一项判决的主要起草人酬金为2 400美元。其他签署人每项判决获600美元。\",\n \"[6] “案件”是指下面任何一种情况：提供援助或在正式系统的机构(管理评价股、争议法庭、上诉法庭)中担任正式指定律师；提供法律指导和简要法律咨询，协助工作人员循非正式途径解决纠纷，其间可能涉及到与工作人员协商、同第三方讨论和谈判或转介给系统中的其他行为体，包括转介给监察员办公室或工作人员工会。\",\n \"[7] 这些实体是：国际海洋法法庭、联合国合办工作人员养恤基金、国际民用航空组织、国际海事组织、联合国近东巴勒斯坦难民救济和工程处、国际海底管理局和国际法院。\",\n \"[8] 见世界银行行政法庭程序规则第7(11)条(规定即时驳回被认为“明显无法接受或没有理由”的案件)和美洲国家间组织行政法庭规约第八条(允许驳回“基于没有管辖权……未达到可受理性要求，或未提出可给予补救的申诉”的主张)。\",\n \"[9] 联合国上诉法庭第2010-UNAT-57号判决(Fagundes)。\",\n \"[10] 联合国上诉法庭第49(2011)号命令(Finniss)。\",\n \"[11] 联合国上诉法庭第2011-UNAT-121号判决(Bertucci)。\",\n \"[12] 秘书长指出，欧洲联盟公务员法庭判决的上诉时限是两个月(见《欧洲联盟法院规约》，附件一)。\",\n \"[13] 联合国上诉法庭第2010-UNAT-62号判决(Bertucci)。\",\n \"[14] 联合国行政法庭第1157号判决，Andronov(2003),第五段。\",\n \"[15] 货币基金组织行政法庭第1999-2号判决(“V”先生诉货币基金组织，第104-114段)。\",\n \"[16] 世界银行行政法庭第384号判决(AA诉IBRD)(2008年)，第49-50段。\",\n \"[17] 大会关于监督厅的第48/218 B号决议、关于道德操守办公室的第60/1号决议和关于工作人员法律援助办公室的第62/228号决议。\",\n \"[18] 联合国争议法庭第19(NY/2010)号命令，第23段。\",\n \"[19] 世界银行行政法庭第384号裁决(AA诉世界银行)（2008），第49-50段。\",\n \"[20] 联合国争议法庭第010(I/2011)号命令，(Abosedra),第60段。\",\n \"[21] 联合国行政法庭第1396号判决(2008)，Wielechowski，第八段。\",\n \"[22] 联合国争议法庭第2010/68号判决(Chen)和联合国上诉法庭第2011号判决-上诉法庭-107 (Chen)。\",\n \"[23] 联合国行政法庭第421号判决(Chatwani)，第八段。\",\n \"[24] 联合国上诉法庭第2011号判决-上诉法庭-107(Chen)，第1段。\",\n \"[25] 联合国争议法庭第010号指令(NBI/2011)(Abosedra)，第60段。\",\n \"[26] 旧金山会议的记录指出，“《宪章》应明确规定会员国有责任担负本组织之费用”。联合国国际组织会议，文件，第八卷，第487页。\",\n \"[27] 例见UNDT/2010/025(Kita)。\",\n \"[28] 本概念文件由法律事务厅一般法律事务司与联合国各基金和方案协商后编写。应注意，联合国儿童基金会保留其选择退出拟议简化仲裁程序的权利。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","Items 134 and 143 of the provisional agenda[1]","Proposed programme budget for the biennium 2012-2013","Administration of justice at the United Nations","Administration of justice at the United Nations","Report of the Secretary-General","Summary","The General Assembly, by its resolutions 61/261, 62/228 and 63/253, decided to establish an independent, transparent, professionalized, adequately resourced and decentralized system of administration of justice for the United Nations, which entered into operation on 1 July 2009.","The Secretary-General is gratified by the General Assembly’s positive recognition of the implementation of the new system in its resolution 65/251, in which the Assembly noted the achievements of the new system since its inception, including improved disposition of old and new cases, and commended all those involved in managing the transition from the prior system or in the implementation of the present one.","The General Assembly also acknowledged the evolving nature of the new system and indicated that its progress would need to be carefully monitored to ensure that the system remained consistent with the governing principles set down in the establishing resolutions, namely that the system must be independent, transparent, professionalized, adequately resourced and decentralized, and with the relevant rules of international law and the principles of the rule of law and due process to ensure respect for the rights and obligations of staff members and the accountability of managers and staff members alike.","In the present report, the Secretary-General describes the accomplishments of the new system of administration of justice during the reporting period from 1 July 2010 to 31 May 2011. The processing of cases through all phases of the formal system continues to demonstrate a marked improvement in efficiency. During the period from 1 July 2010 to 31 May 2011, the Management Evaluation Unit received 390 requests for review and closed or resolved 281 matters. The Office of Staff Legal Assistance resolved approximately one third of the more than 850 cases for which it was responsible during the same period. From 1 July 2010 to 31 May 2011, the offices representing the Secretary-General before the United Nations Dispute Tribunal handled cases that resulted in 195 judgements, and the Office of Legal Affairs handled cases that resulted in 90 judgements of the United Nations Appeals Tribunal.","However, the success of the system and the productivity of the offices that service it have resulted in serious strains upon the financial and human resources of those offices and units. As the Secretary-General indicated in his report on the administration of justice to the General Assembly at its sixty-fifth session (A/65/373 and Corr.1), there is a need for significant strengthening in a number of key areas in order to maintain the current pace of work and continue to implement all of the Assembly’s mandates for the new system.","In its resolution 65/251, the General Assembly requested the Secretary-General to provide data and information on the functioning of the new system and related matters. The present report provides a consolidated response to those requests.","In addition, the present report contains a request for additional resources amounting to $8,657,900 (before recosting) under sections 1, 8, 19, 29A, 29C, 29D, 29E, 29G and 37 of the proposed programme budget for the biennium 2012-2013 in the light of the experience to date.","Contents","Page\nI.Overview 4II. Review 4 of the formal system of \njustice A.Management 4 Evaluation \n Unit B.United 8 Nations Dispute \nTribunal C.United 14 Nations Appeals \nTribunal D.Office 17 of Staff Legal \nAssistance E.Office 20 of the Executive \nDirector F. Legal 23 offices representing the Secretary-General as \nrespondent III. Responses 39 to questions relating to administration of \njustice \nA.Overview 39\nB. Responses 39IV. Issues 49 relevant to the review by the General Assembly of the statutes of the \nTribunals \nA.Introduction 49B. Rules 50 of Procedure of the \nTribunals C.Jurisdiction 54 of the United Nations Dispute Tribunal over acts and omissions by independent entities in connection with the performance of their operational \nmandates V.Resource 60 \nrequirements VI.Conclusions 62 and actions to be taken by the General \nAssembly \nAnnexes I. Proposals 63 for staff-funded mechanisms to fund the Office of Staff Legal \nAssistance II.Proposal 69 for recourse mechanisms for non-staff \npersonnel III.Compensation 79 awarded by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals \nTribunal","I. Overview","1. The General Assembly, by its resolutions 61/261, 62/228 and 63/253, established a new system of administration of justice. The system has two Tribunals, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, which are staffed by professional judges and supported by Registries in Geneva, Nairobi and New York. In accordance with the General Assembly’s view that legal assistance should be provided to staff, the new system also includes the Office of Staff Legal Assistance, staffed by professional legal officers in Addis Ababa, Beirut, Geneva, Nairobi and New York. In order to ensure that the system is independent, the Office of Administration of Justice administers the elements of the formal system, providing administrative, operational and technical support to the Tribunals, the Registries and the Office of Staff Legal Assistance, as well as to the Internal Justice Council.","2. Management evaluation, which constitutes the mandatory first step of the formal system of administration of justice, is conducted within the Department of Management and the separately administered funds and programmes. The Management Evaluation Unit of the Department of Management, staffed by professional legal officers, conducts the first review of a contested decision. The Unit is designed to give management a chance to correct an improper decision or provide acceptable remedies in cases where the decision has been flawed, thereby reducing the number of cases that proceed to formal litigation. Similar mechanisms also exist in the funds and programmes.","3. The enhancement and professionalization of the system, in addition to the increased number of cases, have required that the offices and units representing the Secretary-General as respondent provide significantly more services at a greatly increased pace.","4. The system continues to make progress on processing the considerable number of cases that were transferred from the various organs of the old system. In order to prevent the backlog of cases from overwhelming the new system, the General Assembly appointed three ad litem judges for the United Nations Dispute Tribunal and judicial staff to support them.","II. Review of the formal system of justice","A. Management Evaluation Unit[2]","5. The Management Evaluation Unit is located in the Office of the Under-Secretary-General for Management and is the first step in the formal system of administration of justice. The core functions of the Unit are: (a) to conduct prompt management evaluations of contested administrative decisions relating to contracts of employment or terms and conditions of appointment; (b) to assist the Under-Secretary-General for Management in providing staff members requesting management evaluation with a prompt and reasoned response regarding the outcome of the evaluation; and (c) to assist the Under-Secretary-General in ensuring managerial accountability by ensuring the compliance of managers with their responsibilities in the management of the human and financial resources of the Organization.","6. From the time of its inception on 1 July 2009 to 31 May 2011, the Management Evaluation Unit received a total of 823 cases, including 184 cases in 2009, 427 cases in 2010 and 212 in 2011. Of the 823 cases received, the Unit completed and closed 665 cases. As at 31 May 2011, it had recommended compensation in 18 cases, which amounted to $183,339.44. A breakdown of this figure is contained in annex III to the present report.","7. The management evaluation process provides the Administration with the opportunity to prevent unnecessary litigation before the Dispute Tribunal, resulting in significant cost savings to the Organization. Approximately 36 per cent of cases received and closed by the Unit in 2010 were settled through informal resolution efforts either by the Unit itself, by the Office of the Ombudsman or through bilateral negotiations between the Administration and the staff members.","8. In approximately 84 per cent of the cases submitted to the Management Evaluation Unit that were not resolved informally, the contested decision was upheld by the Secretary-General following a determination by the Unit that the decision was consistent with the Organization’s rules and jurisprudence.","9. In conformity with the decision of the General Assembly to establish, inter alia, a transparent system of administration of justice (resolution 61/261, para. 4), where the Management Evaluation Unit has recommended that a contested administrative decision be upheld, a written reasoned response is sent to the staff member concerned setting out the basis for the management evaluation, including the facts of the case, a summary of the comments on the case provided by the decision maker, the applicable rules and jurisprudence of the Organization, an explanation of the reasons why the Unit considered that the contested decision comported with the applicable rules and jurisprudence, and the final decision of the Secretary-General. The funds and programmes follow a similar methodology in their management evaluation process.","10. Staff members have the statutory right to take their cases to the Dispute Tribunal for a trial of the matter following the conclusion of the management evaluation process (General Assembly resolution 62/228, para. 51). The Management Evaluation Unit considers that staff members who have sought recourse to the formal system owing to a perceived lack of transparency in the administrative decision-making process are more likely to decide not to pursue their statutory recourse to the Dispute Tribunal when they perceive the management evaluation process to be impartial, objective and accurate. The Unit also considers the written reasoned response provided to staff members at the conclusion of the management evaluation process to be an important means of establishing the credibility of the management evaluation process, in particular, and the new system of administration of justice in general. The funds and programmes share this view.","11. In order to determine the number of staff members who seek recourse to the Dispute Tribunal following the receipt of a management evaluation upholding a contested administrative decision, the Management Evaluation Unit is working with the Office of Administration of Justice to implement a tracking mechanism.","12. As at 31 December 2010, in 83 per cent of the cases considered by the Dispute Tribunal following management evaluation, the Tribunal’s disposition of the case was the same as that recommended by the Management Evaluation Unit. Although there are key issues of law that have yet to be determined by the Appeals Tribunal, and the Unit has limited fact-finding capability, this degree of similitude is instructive and can be construed as indicative of the impartiality, objectivity and accuracy of the Unit.","13. In providing assistance to the Under-Secretary-General for Management to ensure managerial accountability, the Management Evaluation Unit regularly reviews its caseload to identify trends and systemic issues, which are set out in its reports. The Unit also provides secretariat support to the Under-Secretary-General in the compilation of the lessons-learned guide for managers and guidance notes that are circulated to all heads of offices and departments. The lessons-learned guide for managers includes a review of the jurisprudence of the Dispute and Appeals Tribunals and examines how they interpret and apply the internal rules of the Organization. In 2010, the Under-Secretary-General circulated two volumes of the lessons-learned guide for managers. In April 2011, he circulated a guidance note and is expected to circulate another volume of the lessons-learned guide in the latter part of 2011.","Statutory time limits","14. Management evaluations are required to be completed within a limit of 30 calendar days for Headquarters and 45 calendar days for offices away from Headquarters after the submission of such a request (General Assembly resolution 62/228, para. 54). Deadlines may be extended in cases where the matters have been referred to the Office of the Ombudsman under conditions specified by the Secretary-General.","15. In the report of the Advisory Committee on Administrative and Budgetary Questions (A/65/557, para. 16), it was stated that every effort should be made to resolve cases before staff members resort to litigation and that the management evaluation function was an important opportunity to do so by allowing for faulty administrative decisions to be addressed.","16. In conformity with the direction of the Advisory Committee on Administrative and Budgetary Questions, in cases where the Management Evaluation Unit has concluded that the contested decision does not comport with the internal rules of the Organization, and the Under-Secretary-General for Management has endorsed an informal resolution, the Management Evaluation Unit will seek to facilitate the resolution directly between the parties. It has been the experience of the Unit that informal resolution involves extensive consultations between the parties and is often a lengthier process than is permitted by the statutory time frames provided for management evaluations. However, there are no statutory provisions that allow the Secretary-General to place the management evaluation process in abeyance with the consent of the parties involved in cases where the Management Evaluation Unit facilitates an informal resolution. The funds and programmes agree with this view but note that they have been successful in achieving this outcome with the consent of both parties.","17. Similarly, there are no statutory provisions for extending the deadlines for completing management evaluations in cases where staff members make supplementary submissions after they file their requests for management evaluation, either on their own initiative or at the request of the Management Evaluation Unit.","18. The Management Evaluation Unit considers that stringent adherence to statutory time frames could cause staff members to receive incomplete or inaccurate management evaluations and, as a result, to unnecessarily seek recourse to the Dispute Tribunal. To avoid this result, the current practice of the Unit is to seek an extension of the deadline from the staff member in order to facilitate informal resolution or where additional submissions from the staff member and/or the Administration are required to properly conclude the management evaluation process. The Unit considers cases to be concluded in a timely manner either when they have been concluded within the relevant statutory time frame or when they have been concluded within a time frame to which the staff member has consented for the purpose of facilitating informal resolution or obtaining additional information necessary to ensure a comprehensive management evaluation. The funds and programmes share this view and note that they have been successful in meeting the statutory deadline in all cases to date.","19. The staffing complement of the Management Evaluation Unit comprises a Chief (P-5), who reports to the Director of the Office of the Under-Secretary-General for Management, two Legal Officers (P-4), one Legal Officer (P-4) (general temporary assistance) and three Legal Assistants (General Service (Other level)). However, the current staffing resources of the Unit are inadequate to meet its mandate, and it has been obliged to temporarily fill an additional legal officer post by way of limited budgetary discretionary funding since February 2010.","20. The Management Evaluation Unit considers that the addition of a third legal officer post at the P-3 level is warranted based on the volume of cases received during the nearly two years of its operations. The figures demonstrate that the number of users of the new system of administration of justice is already greater than that of the previous system. Furthermore, on the basis of data gleaned from its caseload, the Unit expects to receive at least the same number of cases in 2011 as it did in 2010 (approximately 427).","21. With regard to the 184 cases received in 2009, the Management Evaluation Unit observed that there was a 23 per cent decrease in the number of cases submitted in the fourth quarter of 2009 compared with the number of cases submitted in the third quarter of that year. With respect to the 427 cases submitted in 2010, the Unit observed a steady increase in the number of cases submitted in the first two quarters of 2010, followed by a decrease in cases submitted in the third and fourth quarters of 2010, respectively. In this regard, the Unit observed that 57 per cent of the cases submitted in 2010 were submitted between 1 January and 30 June 2010 and 43 per cent between 1 July and 31 December 2010, with the most significant decrease in cases submitted between 1 October and 31 December 2010. Finally, the Unit has noted an upswing in the number of cases submitted between 1 January and 31 May 2011 compared with the number of cases submitted between 1 July and 31 December 2010. While the Unit received 183 cases in the latter period of 2010, it had already received 212 cases in the first five months of 2011, which is the same number of cases received in the first five months of 2010.","22. The Management Evaluation Unit considers that the decrease in the number of cases submitted in the final quarters of 2009 and 2010 and the increase in the number in the first two quarters in 2010 and 2011 could be indicative of an emerging cyclical pattern. However, the total number of cases received between 1 July 2009 and 30 June 2010 is expected to be the same as the number received between 1 July 2010 and 30 June 2011 (approximately 427).","23. As noted above, timely, well-reasoned management evaluations are essential to the successful fulfilment of the Management Evaluation Unit’s mandate. The Unit has met its mandate as a result of the addition of a temporary Legal Officer post, funded through discretionary funds since February 2010. Furthermore, the figures show that the Unit has been able to meet its mandate with its current staffing arrangements because its staff members have consistently worked overtime and have deferred or have not taken annual leave.","24. The Management Evaluation Unit considers that a request for one additional Legal Officer (P-3) post is therefore conservative in the circumstances, since an additional Legal Officer will not fully cover the shortfall between the number of person-hours required per year to fulfil the Unit’s mandate (1,828) and the number of person-hours per year that staff members working in the Secretariat are normally required to work (1,463).","25. For the reasons set forth above, the Secretary-General recommends that the Management Evaluation Unit be strengthened with an additional Legal Officer at the P-3 level.","B. United Nations Dispute Tribunal","1. Composition of the United Nations Dispute Tribunal","26. On 2 March 2009, the General Assembly elected three full-time judges and two half-time judges. Subsequently, the Assembly elected three ad litem judges for a period of one year to assist in handling the backlog of cases transferred from the old system. At the time of the preparation of the present report, the composition of the Tribunal was as follows:","(a) Judge Vinod Boolell (Mauritius), full-time judge based in Nairobi;","(b) Judge Memooda Ebrahim-Carstens (Botswana), full-time judge based in New York;","(c) Judge Thomas Laker (Germany), full-time judge based in Geneva;","(d) Judge Goolam Hoosen Kader Meeran (United Kingdom of Great Britain and Northern Ireland), half-time judge;","(e) Judge Coral Shaw (New Zealand), half-time judge;","(f) Judge Jean-François Cousin (France), ad litem judge based in Geneva;","(g) Judge Nkemdilim Amelia Izuako (Nigeria), ad litem judge based in Nairobi;","(h) Judge Marilyn Kaman (United States of America), ad litem judge based in New York.[3]","27. At its sixty-fifth session, the General Assembly decided to extend the tenure of the three ad litem judges and their support staff for an additional six months until 31 December 2011 (see resolution 65/251).","2. Election of the President","28. At the plenary meeting held in Nairobi from 28 June to 2 July 2010, Judge Thomas Laker was elected President for one year, from 1 July 2010 to 30 June 2011.","3. Plenary meetings","29. Since 1 July 2010, the judges of the Tribunal have held two plenary meetings (from 13 to 17 December 2010 in Geneva and from 27 June to 1 July 2011 in New York).","4. General activity of the United Nations Dispute Tribunal","30. During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal received 170 new cases. As at 31 May 2011, the Tribunal had 254 pending cases.","31. Of the 170 cases received during the reporting period, 108 originated from the Secretariat (excluding peacekeeping and political missions), including the regional commissions, offices away from Headquarters, the International Criminal Tribunal for Rwanda, the International Tribunal for the Former Yugoslavia, and various departments and offices; 19 originated from peacekeeping and political missions; and 43 originated from agencies, including the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Development Programme (UNDP) and the United Nations Children’s Fund (UNICEF).","5. Cases transferred to the United Nations Dispute Tribunal from the former system","32. On 1 July 2009, following the abolition of the Joint Appeals Board and the Joint Disciplinary Committee in Geneva, Nairobi, New York and Vienna, 169 cases pending before those entities were transferred to the Dispute Tribunal. Sixty-one cases were transferred to the Registry in Geneva, 55 to the Registry in Nairobi and 53 to the Registry in New York. From 1 July 2010 to 31 May 2011, 29 of these cases were disposed of.","33. On 1 January 2010, 143 cases were transferred from the United Nations Administrative Tribunal to the Dispute Tribunal. They were distributed among the branches of the Dispute Tribunal as follows: 51 cases to Geneva, 40 to Nairobi and 52 to New York. From 1 July 2010 to 31 May 2011, 76 of these cases were disposed of.","34. As at 31 May 2011, 65 cases transferred from the former system were pending: 10 cases from the Joint Appeals Board or the Joint Disciplinary Committee and 55 from the United Nations Administrative Tribunal.","6. Number of judgements, orders and hearings","35. During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal issued 195 judgements and 638 orders, and held 229 hearings.","7. Cases referred to the Mediation Division","36. From 1 July 2010 to 31 May 2011, the Dispute Tribunal identified 13 cases suitable for mediation and referred them to the Mediation Division of the Office of the Ombudsman. Of these, six cases were successfully mediated at the time of the preparation of the present report.","8. Subject matter of cases before the United Nations Dispute Tribunal","37. The nature of the cases before the Dispute Tribunal that were received during the reporting period may be divided into six main categories: (a) appointment-related matters; (b) benefits and entitlements; (c) classification; (d) disciplinary matters; (e) separation from service; and (g) other.","38. Of the 170 cases received during the reporting period, 56 related to appointment; 19 to benefits and entitlements; 2 to classification; 33 to disciplinary matters; 28 to separation from service; and 32 to other matters.","9. Issues relating to staffing of the United Nations Dispute Tribunal and its Registries","39. As detailed above, the volume of cases before the Dispute Tribunal is very heavy, and the requirement to work expeditiously has placed an enormous burden on the judges and staff of the Tribunal. The appointment and subsequent extension of three ad litem judges have allowed the Dispute Tribunal to make significant progress in addressing the backlog of cases inherited from the former system. However, in the light of the trend of new cases filed, it is apparent that if the judicial capacity of the Dispute Tribunal is almost halved by the elimination of the ad litem judge positions at the end of 2011, a new backlog will immediately start to emerge. This would result in one of the most strongly criticized shortcomings of the former system, delay, becoming a daily reality in the new one.","40. The Tribunal is deliberately decentralized to ensure easier access to justice for the applicants. To maintain this access, it is essential that there continue to be two full-time judges at each location of the Dispute Tribunal. The whole point of having a decentralized Tribunal would be defeated if one location had to stop functioning owing to the absence of its sole judge, for example in cases of leave, sickness or resignation. Similarly, the recusal of a judge at one location would automatically entail the transfer of the case to another location farther away from the applicant. Three-judge panels can be established in an effective way only when at least two judges are present in each Tribunal location. Furthermore, there is a statutory requirement for applications for suspension of action to be disposed of in five days, which would be almost impossible for a single judge to achieve without compromising the disposal of substantive applications. Finally, the President of the Dispute Tribunal, who has to direct the work of the Tribunal and the Registries, is reliant on the presence and support of the other judge at his or her location during his or her term of office in order to maintain the flow of cases.","41. The work of the judges of the Dispute Tribunal is not restricted to rendering judgements. The additional required functions, mentioned in the present section, mean that a second full-time judge per duty station is absolutely essential. Judges of the Dispute Tribunal closely monitor the progress of all cases from the receipt of an application to final judgement. This monitoring may include: (a) holding case management hearings; (b) ruling on pre-hearing motions; and (c) issuing pre‑hearing orders. In addition, judges are required to consider applications for suspension of action within a statutory five-day time limit. From an administrative standpoint, judges at each location (Geneva, Nairobi and New York) meet regularly with Registry staff to ensure the regular and timely processing of cases. They also hold biweekly meetings by means of videoconference in order to improve the communication among the judges and make important decisions with respect to the harmonization of practices among the three Registries. The judges are also responsible for drafting rules of procedure; the Tribunal has submitted proposals to the General Assembly for the amendment of the rules of procedure. Furthermore, the judges are committed to issuing practice directions so that the parties to a case are aware of the procedures expected by the Tribunal. As a judicial recess has not been implemented on the calendar of the Dispute Tribunal to date, all of the responsibilities above are in addition to the core judicial function of deciding the merits of a case and issuing a judgement.","42. After two years, the Tribunal is still in its “start-up” phase. Given the different legal backgrounds of the judges, the Tribunal requires continuity of judges and supporting staff to ensure that it becomes a coherent judicial body with a consistent jurisprudence to the benefit of the Organization and its staff members.","43. For that reason, it is recommended that the General Assembly appoint a second full-time judge to each of the United Nations Dispute Tribunal locations. It is also imperative that the judges receive the necessary support from legal officers and administrative staff. Therefore, the Secretary-General recommends that the P-3 Legal Officers (1 each in Geneva, Nairobi and New York) and the Legal Assistants (1 General Service (Other level) in Geneva, 1 General Service (Other level) in New York and 1 General Service (Local level) in Nairobi) be regularized.","44. In addition, there is an anomaly in the staffing of the Registry in New York. While the Registries located in Geneva and Nairobi are staffed with a Registrar (P‑5) and Legal Officers at the P-4 and P-3 levels, the Registry in New York is staffed with a Registrar (P-5) and Legal Officers at the P-4 and P-2 levels. There is no operational basis for this discrepancy, and in fact, the Registry in New York would greatly benefit from having a second legal officer at the more senior level of P-3. For this reason, it is recommended that the P-2 Legal Officer post in New York be reclassified as a P-3 post.","10. Non-staffing-related issues","a. Courtrooms","45. As the new system must be professional in nature, and given the mandate that the hearings of the Dispute Tribunal, in general, be open to the public, the Tribunal must have facilities adequate for a professional court, of sufficient size to permit public access, at each of its locations.","46. Premises have been made available in all three locations of the Tribunal; however, issues relating to the construction of permanent courtrooms remain to be addressed.","47. In New York, because of the capital master plan, a temporary courtroom space has been provided in the temporary premises of the Office of Administration of Justice. The courtroom is operational, but as a temporary space, it is ad hoc in nature and has no capacity for simultaneous interpretation. Due consideration in the planning phase was given to ensuring that as much of the equipment and furnishings of the temporary space would be able to be removed and installed in the Tribunal’s permanent premises upon completion of the capital master plan. No provision has been made, however, for the creation of a permanent courtroom for the Dispute Tribunal in New York after the capital master plan is completed. In Geneva, a permanent space has been provided, but the space does not permit interpretation without additional construction. In Nairobi, the construction of a permanent, dedicated courtroom is under way. However, the 2010-2011 budget of the Office of Administration of Justice provided for no resources for courtroom construction and outfitting. Accordingly, provisions for construction and outfitting have been included in section 34 of the 2012-2013 budget.","b. Travel and communications","48. Another critical mandate for the new system, reiterated by the General Assembly in its resolution 65/251, is that it be decentralized. The Dispute Tribunal and its Registries are located in Geneva, Nairobi and New York. The Tribunal serves staff located in duty stations around the world, with each location serving a substantial geographic region. The success of the Tribunal’s decentralization relies heavily on the ability of the Tribunal and its Registries to communicate among themselves and with the parties and witnesses in cases before the Tribunal.","49. When the Dispute Tribunal holds hearings, it is critical that participants be able to fully engage in the proceedings and that the judges be able to assess the demeanour of witnesses appearing before them. Regular travel for either of those purposes would be prohibitively expensive; thus, it was envisaged that those activities would be accomplished primarily by means of videoconference. However, there are significant costs associated with videoconferencing. The current budget for costs associated with communications is inadequate to allow for the Tribunal’s effective use of videoconferencing. In addition, it is essential that oral hearings be recorded in a manner that reliably captures all of the input of all parties and the judiciary so that there is an accurate record of the proceedings that can be transcribed if there is a subsequent appeal. Therefore, the Secretary-General recommends increasing the budget of the Office of Administration of Justice by $25,000 under the line item for communications to cover the costs of videoconferencing for oral hearings and status conferences and biweekly meetings of the judges and registrars of the United Nations Dispute Tribunal and to permit recording of oral hearings of sufficient quality and reliability to be transcribed if required for a subsequent appeal of the judgement.","50. Under the statute, the Tribunal may order the physical presence of a party or witness when it deems his or her personal appearance to be essential to the proceedings. In addition, there are instances, particularly in cases arising in duty stations in Africa, where it is impossible to hold hearings in Nairobi because of the poor quality or unreliability of the videoconference connection and the fact that interpreters are not able to successfully interpret through telephonic connection. While such situations are expected to be limited in number, they have occurred in the first two years of operation and are expected to continue.","51. Moreover, the judges and the registrars must meet in person periodically to discuss common problems and develop uniform responses to these problems. In addition, one critical aspect of maintaining a professional system is providing the judges and legal staff with training opportunities to enhance their legal skills and enable them to take part in intellectual discourse among their juristic peers. The present budget does not contemplate the Dispute Tribunal judges and registrars holding any plenary sessions. Furthermore, the judges and legal staff of the Registries are routinely invited to legal symposiums but are unable to attend them owing to severe budgetary restrictions on official travel. This greatly impedes their ability to enhance their skills, interact with their peers and exchange knowledge. For these reasons, the Secretary-General recommends an increase in the travel budget of the Office of Administration of Justice in the amount of $155,000.","c. Mechanism for addressing complaints against judges","52. An issue relating to the functioning of the Dispute Tribunal, which also has an impact on the United Nations Appeals Tribunal, is the absence of a mechanism for handling complaints made against judges of the Tribunals. Valid complaints against judges would directly affect the independence, professionalism and accountability of the new system of justice. However, at present, no entity or office has a mandate to engage in the requisite fact-finding, make a determination as to the validity of a claim, impose a sanction or propose one to the General Assembly.","53. The Internal Justice Council reported its concerns regarding the absence of any mechanism for dealing with complaints against judges in its report to the General Assembly at its sixty-fifth session, indicating that it believed this to be a matter requiring urgent attention (see A/65/304, para. 40).","54. The Secretary-General understands that the Internal Justice Council intends to present a proposal for handling complaints against judges of the Tribunals in its report to the General Assembly at its sixty-sixth session. As there is currently no mechanism in place, the Assembly may wish, as an interim measure pending its decision on a permanent mechanism, to authorize the Council to investigate complaints that arise against judges, including any complaints that have already arisen, and to provide its report and recommendations on those complaints to the Assembly for any action that it may deem appropriate.","55. As for a possible permanent mechanism, building upon the preliminary observations on the subject made in his earlier report (A/63/314, paras. 73-79), the Secretary-General offers the following proposals for a mechanism to handle complaints against judges of the Tribunals.","56. When an allegation regarding misconduct or incapacity of a judge is made, the allegation would be reported to the President of the Tribunal in question. The President would then undertake an appropriate investigation of the claim, first determining an appropriate investigative process and subsequently appointing a panel of specialists to conduct the investigation. The investigation would afford the judge against whom the allegations were made all requisite due process, for example, the opportunity to respond to the allegation and submit relevant evidence. If the allegation is made against the President of the relevant Tribunal, in the case of the Dispute Tribunal, the allegation would be directed to the most senior of the other judges of the Tribunal. In the case of an allegation against the President of the Appeals Tribunal, the allegation would be directed to its First Vice-President.","57. Once an investigation has been conducted, the findings would be reviewed by the entire relevant Tribunal, with the exception of the judge under investigation. In cases where it is the unanimous opinion of the judges that the allegation of misconduct or incapacity is well founded, and where the matter is of sufficient severity to suggest that the removal of the judge would be warranted, the President of the Tribunal or his or her alternate would report the matter to the General Assembly and request the removal of the judge.","58. In cases where the alleged conduct, even if determined to be well founded, does not rise to a level that would warrant the removal of the judge, the President or his or her alternate would be given the authority to take appropriate corrective action (for example, issuing a warning or reprimand) that he or she deems appropriate under the circumstances of the case. A report on the disposition of complaints would be submitted annually to the General Assembly. An alternative to this proposal would be that the terms of reference of the Internal Justice Council be amended to provide the Council with the responsibility to investigate and make recommendations regarding any complaint against a judge of the Tribunals. When an allegation regarding misconduct or incapacity of a judge is made, the allegation would be forwarded to the Chair of the Council. The Council would then undertake an appropriate investigation of the claim, first determining an appropriate investigative process that would afford the judge against whom the allegations were made all requisite due process, for example, the opportunity to respond to the allegation and submit relevant evidence.","59. Once an investigation has been conducted, the findings would be reviewed by the Internal Justice Council. When the Council has determined that the allegations of misconduct or incapacity are well founded, the Chair would report the matter to the General Assembly and make a recommendation as to the appropriate sanction.","60. For both options above, the types of misconduct that would warrant the sanctioning of a judge would be violations of the code of conduct for the judges, prepared by the Internal Justice Council and submitted in document A/65/86 for the General Assembly’s consideration, in accordance with resolution 62/228, or violations of the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials, and Experts on Mission, as set out in Secretary-General’s bulletin ST/SGB/2002/9.","C. United Nations Appeals Tribunal","1. Composition of the United Nations Appeals Tribunal","61. On 2 March 2009, the General Assembly elected the following seven judges:","(a) Judge Inés Weinberg de Roca (Argentina);","(b) Judge Jean Courtial (France);","(c) Judge Sophia Adinyira (Ghana);","(d) Judge Mark P. Painter (United States of America);","(e) Judge Kamaljit Singh Garewal (India);","(f) Judge Rose Boyko (Canada);","(g) Judge Luis María Simón (Uruguay).","62. On 11 October 2010, Judge Rose Boyko tendered her resignation from the Appeals Tribunal, for personal reasons, effective 15 January 2011. On 28 January 2011, the General Assembly appointed Judge Mary Faherty (Ireland) to replace Judge Boyko following an election process.","2. Election of the President and Vice-Presidents","63. On 30 June 2010, the Appeals Tribunal elected Judge Courtial as President and Judge Adinyira and Judge Garewal as First and Second Vice-Presidents, respectively, for the period from 1 July 2010 to 30 June 2011.","64. The judges of the Appeals Tribunal have held plenary meetings to deal with administrative and operational questions at the beginning and at the end of each of its five sessions.","3. Judicial statistics","65. From 1 July 2010 to 31 May 2011, a total of 105 new appeals were filed with the Appeals Tribunal: 7 appeals against the United Nations Joint Staff Pension Board, 5 against the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), 1 against the International Civil Aviation Organization and 92 cases appealing judgements and orders of the Dispute Tribunal (65 by staff members and 27 appeals on behalf of the Secretary-General against judgments and orders of the Dispute Tribunal).","66. The Appeals Tribunal held two sessions in New York in 2010, from 21 June to 2 July and from 18 to 29 October, and its first session in 2011, also in New York, from 28 February to 11 March. During the reporting period, the Tribunal rendered 96 judgements. It held its second session in 2011 in Geneva, from 27 June to 8 July, at which it considered 34 cases.","4. Outcome of disposed cases","67. During the period covered by the present report, the Appeals Tribunal issued 96 judgements.[4] Of these, one related to an appeal against the Pension Board, in which the Tribunal upheld the Standing Committee’s decision. Four judgements upheld decisions taken by the Commissioner-General of UNRWA.","68. Eighty-three judgements were rendered in appeals against Dispute Tribunal judgements. These judgements decided on 54 appeals filed by staff members and 29 appeals filed on behalf of the Secretary-General. The Appeals Tribunal rejected 46 of the 54 appeals filed by staff members, accepted 3 and remanded 5 to the Dispute Tribunal. Of the 29 appeals filed by the Secretary-General, 9 were dismissed, 19 were accepted, either in full or in part, and 1 was remanded to the Dispute Tribunal. In 12 cases, the Appeals Tribunal overturned or modified the Dispute Tribunal’s award of compensation.","69. During the reporting period, 2 requests for interpretation, 2 requests for reconsideration, 2 requests for correction, 3 requests for revision and 1 request to set aside a judgement were filed with the Appeals Tribunal which rejected all 10 requests.","70. As at 31 May 2011, 95 applications/appeals were pending before the Appeals Tribunal.","5. Issues relating to the functioning of the United Nations Appeals Tribunal and its Registry","71. The judges of the Appeals Tribunal meet in sessions, as required by its caseload, generally three times annually, to deliberate and render judgements. Critical to this process is substantial preparation of the cases by the legal and administrative staff of the Registry. While the funding structure and operating methods of the Appeals Tribunal are patterned after those of the Administrative Tribunal of the International Labour Organization (ILO),[5] the ILO Administrative Tribunal has the same number of judges but functions with six full-time Professional legal staff, three General Service staff and other staff on an as-needed basis. In contrast, the Appeals Tribunal Registry has only two Professionals and three General Service staff to support the Tribunal.","72. The Appeals Tribunal is a court of review that considers appeals from both staff and management. Pursuant to article 2.10 of the statute of the Appeals Tribunal, the Secretary-General has also concluded agreements with seven agencies providing them with access to the Tribunal as an administrative tribunal. As the system is new, there has been a high volume of appeals from both staff members and the Secretary-General. The number of cases filed with the Tribunal during the past year is comparable to the workload of the ILO Administrative Tribunal, which considers approximately 110 cases annually and does not accumulate a backlog.","73. The Registry’s current staffing is inadequate to fully support the Tribunal and allow it to process cases in a timely way. Two legal officers are insufficient to prepare more than 100 cases annually. This situation will lead inevitably to the accumulation of a backlog and to ever-increasing delay, one of the most highly criticized aspects of the former system. To allow this to occur again would crucially undermine the reform of the system of administration of justice. It is particularly undesirable for lengthy delays to exist between the rendering of a judgement by the dispute tribunal and the final appellate decision, as the outcome of an appealed case may settle the law in a particular area, reducing the number of future cases.","74. There is a need for an additional P-4 Legal Officer to guarantee the Registry’s ability to function effectively. There is a need for greater experience in the office, given the complexity of many of the cases and the speed with which they must be processed. A Legal Officer at the P-4 level could supervise the current staff on legal aspects of the work of the Registry, freeing the Registrar to focus on overall supervision, communications with the judges and other stakeholders, and the provision of technical and administrative support to the Tribunal.","75. In addition, a more senior Legal Officer would be capable of providing more substantive legal support to the judges and responding to queries independently, which would increase efficiency and responsiveness. Such a Legal Officer would share administrative functions with the Registrar and act as Officer-in-Charge in his or her absence. In the light of the volume of cases and the importance of providing the United Nations Appeals Tribunal with sufficient legal support to permit it to function optimally, the Secretary-General recommends that the General Assembly strengthen the Registry of the United Nations Appeals Tribunal with an additional Legal Officer at the P-4 level.","76. In its resolution 65/251, the General Assembly approved, for one year, an additional General Service (Other level) position to support the Appeals Tribunal. The Secretary-General notes that the support provided by this position has been useful. However, there is an urgent need for an additional Legal Officer with adequate seniority to support the judges in their work. In the light of this fact and mindful of the prevailing budgetary constraints, the Secretary-General recommends that this position not be continued.","77. Under article 4.2 of its statute, the Appeals Tribunal “shall hold ordinary sessions at dates to be fixed by its rules of procedure, subject to the determination of its President that there is a sufficient number of cases to justify holding the session.” Given the experience gained during the Tribunal’s first year of operations, and taking into account the number of cases filed with the Tribunal, it is envisioned that the Appeals Tribunal will have sufficient cases to justify meeting in three sessions annually. The Secretary-General notes, however, that the current budget for travel of the Tribunal is insufficient to accommodate a third session. Therefore, the Secretary-General recommends that additional funding in the amount of $230,000 be made available in the 2012-2013 budget for the Office of Administration of Justice to permit the United Nations Appeals Tribunal to hold a third session if required.","78. In paragraphs 155 to 164 of his previous report (A/65/373), the Secretary-General reported on the status of the judges of the Appeals Tribunal and their entitlements. In that report, the Secretary-General recommended that the travel privileges and the level of daily subsistence allowance previously provided to the judges of the former United Nations Administrative Tribunal should also be accorded to the judges of the Appeals Tribunal. In paragraph 50 of its resolution 65/251, the General Assembly decided to revert to the issue of travel privileges and the level of daily subsistence allowance of the judges of the Appeals Tribunal in the context of the 2012‑2013 budget. The Secretary-General continues to believe that this course of action would be appropriate and therefore recommends that the travel budget of the Office of Administration of Justice be increased by $50,200 to reflect this.","D. Office of Staff Legal Assistance","79. The Office of Staff Legal Assistance continues to face many challenges. The Office consists of seven Legal Officers funded through the regular budget (three located in New York and one at each of four satellite offices, in Addis Ababa, Beirut, Geneva and Nairobi) and three General Service staff (all located in New York). As of 1 January 2011, the Office of Staff Legal Assistance was provided with an additional Professional staff member at the P-3 level in Nairobi to support cases involving staff in field missions. This position has been funded for one year through the peacekeeping support account.","80. Despite the limited staffing spread over multiple duty stations, the Office of Staff Legal Assistance has made considerable accomplishments in its first two years of operation. It continues to successfully handle a high volume of requests for assistance from staff around the world with a small number of legal officers and limited administrative support.","81. As at 1 July 2010, the Office of Staff Legal Assistance had 432 pending cases.[6] Between 1 July 2010 and 31 May 2011, 425 new cases were filed with the Office. Taking into account the number of cases pending with the office as at 1 July 2010, it was involved in 857 matters. The Office has been able to close or otherwise find solutions for 265 of these cases. As at 31 May 2011, the Office had close to 600 active cases. In the second year of its operation, the volume of matters brought to the Office by staff, especially requests from staff located away from the three branches of the Dispute Tribunal, increased, placing significant strains on its limited resources.","82. The Office of Staff Legal Assistance provides many forms of legal assistance to staff, ranging from the provision of summary legal advice to the representation of the staff member before the Tribunals. Significant time may be expended in resolving a matter informally or helping the staff member understand that he or she is unlikely to succeed in a formal claim.","83. The greatest challenge for the Office continues to be responding to the high volume of requests for assistance with a limited number of staff. This is particularly difficult for the legal officers away from New York who work in isolation and without local administrative support. Thus, these legal officers must manage a heavy caseload and the majority of the administration of the office alone.","84. The Office of Staff Legal Assistance is assisted by affiliated volunteer counsel, legal interns and external pro bono counsel. Unfortunately, their numbers are insufficient to resolve the human resources deficit of the Office. It is difficult to identify qualified volunteer, intern and pro bono assistance in offices away from Headquarters, which contributes to the concern that its presence is substantially limited to New York.","85. The General Assembly has reiterated its request to the Secretary-General to work with staff associations in developing incentives to enable and encourage staff to continue to participate in the work of the Office of Staff Legal Assistance. This matter was considered at the session of the Staff-Management Coordination Committee in June 2011, and it was noted that there continue to be differences in opinion between management and staff representatives as to the approach to be taken. Accordingly, staff and management decided that consultations on the issue should continue.","86. The Trust Fund for Staff Legal Assistance, established by the Office of Administration of Justice in January 2010, has not provided sufficient resources to meaningfully assist the Office in augmenting its human resources, even on a temporary basis.","87. In the light of the experience gained during its first two years of operation, the Secretary-General believes that the present staffing of the Office of Staff Legal Assistance must be strengthened in order for it to fulfil its mandate. As the Secretary-General indicated in his report to the General Assembly at its sixty-fifth session, the Office suffers in particular from a lack of legal officers at a more senior level, as only one of its Professional staff members is above the P-3 level. For this reason, the Secretary-General recommends strengthening the Office of Staff Legal Assistance through the addition of two P-4 posts, to be located in Nairobi and New York.","88. The ability of the Office of Staff Legal Assistance to function efficiently is impaired by the absence of administrative support outside New York. As all administrative support is located at Headquarters, staff members, regardless of their duty station, must initiate their cases through communication with the Office in New York. The clear message to staff is that despite the promise of a decentralized system, core business takes place at Headquarters. For this reason, the Secretary-General recommends strengthening the Office of Staff Legal Assistance through the addition of two General Service (Other level) posts to provide administrative support in Geneva and Nairobi.","89. At its sixty-fifth session, the General Assembly agreed with the Secretary-General that the capacity of the Office of Staff Legal Assistance to serve field missions should be strengthened. Accordingly, the Assembly approved, on a temporary basis, an additional P-3 position located in Nairobi to support staff in field missions. This position, funded through the peacekeeping support account for one year, runs from 1 January to 31 December 2011. In the light of the continuing trend of a large number of cases involving staff from field missions, which demonstrates ongoing need, and further considering that the Department of Field Support and the Department of Peacekeeping Operations participate in the ongoing funding of the formal system on a cost-shared basis, the Secretary-General recommends that the P-3 position in Nairobi dedicated to supporting staff in field missions be continued for a period of one year and funded through the peacekeeping support account.","90. The non-post resources allocated to the Office of Staff Legal Assistance are also insufficient to permit it to function properly. Despite the fact that, because it is a decentralized office, all its office coordination and a significant portion of client consultation must be conducted by e-mail, telephone and video link, the Office has a communications budget that is insufficient to permit even modest amounts of telephone and video-link communication. In addition, the staff of this decentralized office, which has locations around the globe, must be able to communicate with one another outside the office and outside normal business hours. While the use of smartphone devices such as BlackBerries facilitates this, the current budget is insufficient to fund their use. For this reason, the Secretary-General recommends that there be an increase of $11,200 in the communications line item in the 2012-2013 budget.","91. Although they are rare, there are times when physical travel cannot be avoided. The legal officers serving in offices away from Headquarters serve a wide geographic area, including many field missions. If staff are to have meaningful access to the Office of Staff Legal Assistance, particularly in the field, its legal officers must periodically visit the duty stations that they serve in order to meet with clients and engage in face-to-face negotiations with local administration, facilitating informal dispute resolution. Legal officers of the Office in Addis Ababa and Beirut may be required to physically attend hearings of the Dispute Tribunal on behalf of clients, as ordered by the Tribunal. At present, there is no travel budget for the Office of Staff Legal Assistance to meet any of these critical requirements. Accordingly, the Secretary-General recommends that the Office’s travel line item be increased by $15,000 in the 2012-2013 budget.","92. Finally, the current budget of the Office, particularly for those offices located away from New York, is insufficient to provide for basic office requirements, such as the rental or purchase of a photocopier and scanner, and the purchase of key office supplies such as paper, binders, paper clips and pens. The lack of these basic office necessities in the one-person offices away from Headquarters compounds the difficulties faced by these isolated legal officers. For this reason, the Secretary-General recommends that the line item for supplies and materials be increased by $9,000 in the 2012-2013 budget.","E. Office of the Executive Director","1. Review of the Office of the Executive Director","93. The Office of the Executive Director is responsible for overseeing the administration of all of the elements of the formal system other than the representation of the Secretary-General as respondent. The Office, consisting of the Executive Director, the Special Assistant, two information technology specialists and one administrative support staff member, provides administrative, operational and technical support to the Tribunals, Registries and the Office of Staff Legal Assistance. This operational support has included coordinating with other relevant offices to facilitate the creation of a temporary courtroom facility in New York and similar coordinating efforts to provide for permanent office and courtroom facilities for the Office of Administration of Justice upon the completion of the capital master plan.","94. In addition to providing daily support to the above-mentioned units, the Office of the Executive Director is responsible for coordinating the preparation of the reports of the Secretary-General pursuant to relevant General Assembly resolutions. The Office also represents the formal system both within the United Nations and before external bodies, and in all matters requiring interdepartmental coordination and consultation.","95. Among the other accomplishments of the Office is the establishment of the website of the Office of Administration of Justice, which was launched on 28 June 2010 and is available in all six official languages. The website (www.un.org/en/oaj) is easy to navigate and provides practical step-by-step information on all aspects of the formal system. In May 2011, there were 7,690 visits to the website, which represents a 13 per cent increase in visits compared with the previous month. Since the website was launched, the average number of visits per month has been approximately 7,000. Overall, there is a trend of increasing use of the website. The Office of Administration of Justice continues to improve the website, including by creating functionality for searching orders and judgements of the Tribunals, which has been requested by users.","96. Another major milestone was the launching, on 6 July 2011, of the web-based electronic case management system, which includes the capacity to enable staff members from any duty station to file and monitor their cases electronically. The system is expected to increase efficiency, reduce delays and improve the functioning of the Registries. In addition, the implementation of the case management system provides an easy-to-access gateway to the elements of the formal system for staff members around the world.","97. The Office has successfully negotiated agreements with all of the entities that had access to the United Nations Administrative Tribunal in the prior system, pursuant to article 2.10 of the statute of the Appeals Tribunal.[7] Those agreements, signed by the Secretary-General, provide those entities with access to the Appeals Tribunal as an administrative tribunal.","98. In addition to its role in preparing and coordinating reports to the General Assembly on the administration of justice, the Office of the Executive Director provides substantial assistance in organizing the election of judges to the Tribunals when necessary.","99. Another important function of the Office of the Executive Director is to provide support to the Internal Justice Council in its work, including in preparing its reports to the General Assembly, as requested in resolutions 62/228 and 65/251, and in transmitting its views on the implementation of the new system of administration of justice.","100. The Office also provides significant administrative and technical support to the Internal Justice Council as it undertakes to assist the General Assembly in identifying candidates for judicial vacancies that will occur at the expiration of the three-year terms of judges in the Dispute and Appeals Tribunals on 30 June 2012.","2. Issues relating to the functioning of the Office of the Executive Director","101. The Office of the Executive Director is the focal point for organizing all of the technical, budgetary and logistical aspects of each of the substantive units within the Office of Administration of Justice. The role and functions of the Executive Director are substantial. The Executive Director plays a pivotal role in maintaining the independence of the formal system and is responsible for the coordination of the independent elements of the formal system, including oversight and coordination of the Registries and of the Office of Staff Legal Assistance. The Executive Director also represents the formal system both within the United Nations and before external bodies, and liaises with the heads of other United Nations offices, including the Office of the Ombudsman and Mediation Services.","102. In paragraph 34 of its resolution 65/251, the General Assembly requested the Secretary-General to submit proposals on the appropriate post level for the Executive Director of the Office of Administration of Justice. The Secretary-General considers that this issue should not be viewed in isolation from a corollary issue, which is the level of judges of the Dispute and Appeals Tribunals and the mechanisms for remunerating them. The judges of the Tribunals are non-staff officials. In the case of the judges of the Dispute Tribunal, they work on a full-time basis and are remunerated at the equivalent of the D-2, step IV, level. The judges of the Appeals Tribunal do not work full time, but meet in sessions every year to decide cases. Their remuneration does not reflect any specific post level, and they receive an honorarium per judgement rendered. The principal drafter of a judgement receives $2,400 and additional signatories $600 per judgement. It is apparent, after two years of experience gained, that this mechanism for remuneration raises some issues with respect to necessary intersessional functions of the Appeals Tribunal. Accordingly, the Secretary-General recommends that the General Assembly request the Internal Justice Council to examine the issue of the level of remuneration and remuneration mechanisms with respect to the judges of both Tribunals, as appropriate, and to report thereon to the Assembly at its sixty-seventh session, when the Assembly will consider the report of the Council on this matter, in conjunction with the issue of the appropriate post level for the Executive Director of the Office of Administration of Justice.","103. As described above, the tasks of the Office are very extensive. There is a need for an additional legal officer to assist with the high volume of work. The Professional staff of the Office of the Executive Director are legal, and information technology specialists and have only limited experience in key administrative areas, in particular United Nations budgeting.","104. It is clear that the Office would benefit from the addition of a legal officer with experience in administration and budget and of an administrative support position. However, in the light of financial constraints, no additional resources are currently requested in this area.","105. The Office of Administration of Justice facilitates the work of the Internal Justice Council. This independent body of senior jurists has a critical oversight function in the new system and has a substantial mandate. In paragraph 52 of its resolution 65/251, the General Assembly stressed that the Council could help to ensure independence, professionalism and accountability in the system of administration of justice and encouraged the Council to continue to provide its views on the implementation of the system of administration of justice and to report to the Assembly at its sixty-sixth session on ways in which its contributions might be enhanced.","106. Despite this, no express provision has been made in the current or prior budgets of the Office of Administration of Justice for remuneration of the external members of the Council when they carry out their considerable functions. Nor does the budget of the Office of Administration of Justice contain funds for general temporary assistance to accommodate maternity leave or long-term sick leave of staff members. Furthermore, there are no funds to hire temporary staff on a project basis or to cover periods of peak workload. Accordingly, the Secretary-General recommends that funds for general temporary assistance in the amount of $130,000 be included in the 2012-2013 budget.","107. The Executive Director and members of his staff must travel periodically to participate in meetings, both within the Office of Administration of Justice (for example, to the plenary sessions of the Dispute and Appeals Tribunals) and in the wider organizational context, such as the annual meeting of the Staff-Management Coordination Committee. There also continues to be a need for outreach to staff and managers located away from Headquarters, which necessitates travel by the Executive Director and his staff. The travel budget of the Office of Administration of Justice must accommodate all travel by the Executive Director and his staff and also accommodate the travel of staff relating to the plenary sessions of both Tribunals, the travel of staff of the Office of Staff Legal Assistance or other participants in the hearings when required by the Tribunals, and any other travel of staff of the Office of Administration of Justice. Because travel related to the judicial functions of the Tribunals must be prioritized, there is no meaningful travel budget for the Executive Director and his staff. The Office’s travel budget is also insufficient to permit the members of the Internal Justice Council, who are not co‑located, to travel to meet on an annual basis or to undertake any other travel to perform their essential task of evaluating the functioning of the system globally and reporting back to the General Assembly. For these reasons, the Secretary-General recommends that the travel budget of the Office of Administration of Justice be increased by $30,000 in the 2012-2013 budget.","108. The mandate of the Office of Administration of Justice to be a decentralized office requires substantial dependence on technological solutions. Two of the Office’s accomplishments in this area over the past year have been the establishment of a comprehensive website in all official languages and the implementation of a case management system with the capacity to allow all staff members, regardless of location, to file cases with the Tribunals and monitor them. While these important accomplishments save time, resources and money, they must be maintained and improved to keep pace with requirements. In addition, as off-the-shelf solutions were utilized to avoid costly bespoke systems, these products involve the renewal of annual licences and maintenance contracts. Furthermore, there are operating costs associated with data storage, system updates and adjustments based on lessons learned. The budget of the Office of Administration of Justice does not currently cover all of the licence, maintenance and upgrade costs associated with the systems that have been put in place. For these reasons, the Secretary-General recommends an increase of $75,000 in the 2012-2013 budget of the Office of Administration of Justice in the areas of contractual services and acquisition of software packages.","F. Legal offices representing the Secretary-General as respondent","109. Several offices represent the Secretary-General as the respondent in cases brought by staff members. Owing to the continued high volume of cases filed by staff members and the complexity of many of them, the offices and units representing the Secretary-General as respondent are functioning at or beyond capacity, given their existing staff and resources.","1. Legal offices representing the Secretary-General before the United Nations Dispute Tribunal","110. In his role as respondent before the Dispute Tribunal, the Secretary-General is represented by staff located at Headquarters and in offices away from Headquarters located in Geneva, Nairobi and Vienna.","111. In response to the needs of the new justice system, managers have redeployed staff within the Organization and recruited staff with the requisite skills to serve the system. As a result, the Organization has responded to the demands of the new system, which is being implemented throughout the Organization.","112. In 2010, 218 judgements were issued. The judgements provide an analysis of the background of the dispute, a reasoned application of the relevant staff regulations and rules, and findings on the factual and legal issues before the Dispute Tribunal. The judgements reflect the extensive submissions on the facts and the law presented by the parties during the course of the proceedings.","113. In order to fulfil the standards set by the new system, acute demands are placed on the offices representing the Secretary-General before the Dispute Tribunal. This section details the roles of the respective offices, the resources dedicated to the system, the statistics reflecting the volume of cases handled by the representatives of the Secretary-General, information on the outcome of the proceedings, and the Administration’s response to the jurisprudence.","114. The new justice system has brought with it new demands on the Administration. Together with the structural changes to the system, the Administration has been required to respond quickly and decisively to the resource and management challenges that it faces. In order to maintain the strength of the representation of the Secretary-General and enhance the capacity of the Secretary-General to respond to ongoing demands, it is important that the initiatives taken by management be preserved and consolidated. Furthermore, it is important that the global Secretariat continue to develop a fully integrated approach to the management of the representation of the Secretary-General before the Tribunals, which includes regular consultation and briefings among the staff of the offices representing the Secretary-General.","Administrative Law Section, Office of Human Resources Management","115. The Administrative Law Section, located in the Office of Human Resources Management, comprises an Appeals Unit and a Disciplinary Unit. The Section is responsible for representing the Secretary-General in his role as respondent before the Dispute Tribunal with respect to cases filed by staff serving across the global Secretariat, as well as cases from staff of the International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia. Cases brought by staff of the United Nations Offices at Geneva, Nairobi and Vienna, the United Nations Environment Programme (UNEP) and the United Nations Human Settlements Programme (UN-Habitat) are handled by officials at those duty stations. The Section also handles disciplinary matters referred to the Office of Human Resources Management relating to all Secretariat staff and staff of the International Tribunals, and provides advice to managers on the justice system in general, as well as on aspects of individual appeals and disciplinary cases.","Appeals","116. Upon the receipt of an application from the Dispute Tribunal, the Administrative Law Section is responsible for obtaining comments on the application from managers involved and for drafting a reply. The time limit for submitting a reply is 30 days, requiring prompt action from both the managers involved and the Section.","117. During the course of the proceedings, the legal officers of the Administrative Law Section participate in directions hearings and hearings on the merits, and make further written submissions as ordered by the Tribunal. Attendance at hearings requires substantial time for preparation, which includes consulting with the offices concerned and with the Office of Legal Affairs, where appropriate; meeting with witnesses to be called by the respondent; and preparing for the cross-examination of witnesses called by the applicant or his or her counsel and/or by the Tribunal.","118. The Administrative Law Section is also responsible for advising the Administration as to whether efforts towards informal resolution should be pursued or whether the litigation should be continued. The recommendations provide an analysis of the factual and legal issues arising in the case, and advice as to the most cost-effective way of resolving the dispute. If the recommendation to seek informal resolution is accepted, the Section is responsible for obtaining the necessary approvals, providing advice in the course of the negotiations with the applicant and/or his or her counsel, working with the Office of the Ombudsman to finalize the settlement agreement and following up on its implementation. The negotiations are frequently protracted and demanding; however, the potential benefit of resolving the dispute informally is substantial.","119. When a final judgement is issued, the Administrative Law Section liaises with the Office of Legal Affairs, which determines whether to appeal the judgement to the Appeals Tribunal. The Section is also responsible for interpreting the final judgements of the Dispute Tribunal, obtaining information necessary for the implementation of the judgements and conveying the judgements to the relevant officials for implementation.","120. The Section also represents the Secretary-General in suspension-of-action proceedings, in which a party seeks the urgent suspension of the implementation of an administrative decision. These applications must be resolved without delay. Within five days of the request, a response is filed, and an oral hearing is conducted. The Tribunal issues an order either accepting or rejecting the request within days of the hearing. These hearings require urgent attention and intensive preparation. It is particularly difficult to meet the deadlines when the office concerned and potential witnesses are located away from Headquarters and time differences are at issue.","121. During the reporting period, the Administrative Law Section handled 318 appeals cases; at any given time, it has approximately 200 files pending before the Dispute Tribunal. Approximately 50 per cent of the files concern appointment-related issues; 20 per cent are disciplinary appeals; 15 per cent relate to benefits and entitlements; 5 per cent relate to separation from service; 1 per cent relate to classification; and 9 per cent relate to other matters.","122. During the period from 1 July 2010 to 30 June 2011, the Dispute Tribunal issued judgements in 114 cases handled by the Section. Sixty-four applications were decided on the merits; 17 were dismissed on grounds of receivability; 14 were informally settled and withdrawn; 5 were withdrawn by the staff member; 5 related solely to compensation; and 9 were abandoned by the applicant. In addition, 12 requests for suspension of action were determined by the Tribunal. Three were granted, four were dismissed and five were either settled or abandoned.","123. Of the cases decided on the merits, 38 were decided in favour of the Secretary-General and 21 in favour of the staff member, and on 5 occasions the Administration successfully defended the staff member’s principal claim; however, a minor claim succeeded. Where the Applicant succeeded on the merits either fully or partially, compensation was awarded in 20 cases.","124. The new working methods, the high number of appeals to be addressed, the shortened deadlines for the submission of the respondent’s replies (from two months to 30 days) and the time differences between New York and the other duty stations where client departments/offices, witnesses and the Tribunal branches are located have resulted in a heavy workload and increased pressure for staff of the Section.","Disciplinary matters","125. The Administrative Law Section is also responsible for handling disciplinary matters referred to the Office of Human Resources Management for action. During the reporting period, the Section was responsible for 391 disciplinary matters, including 121 new cases received during the reporting period. The Section’s role in processing disciplinary cases is set out in a separate report of the Secretary-General on his practice in disciplinary matters and possible criminal behaviour (see A/66/135).","126. It is noted that the new justice system and the concomitant abolition of the Joint Disciplinary Committee have shifted the responsibility for conducting the factual and legal analysis of a case to the Office of Human Resources Management. In the former system, the Secretary-General referred disciplinary matters to the Joint Disciplinary Committee for the establishment of the facts and for advice as to what disciplinary measures, if any, should be imposed. With the abolition of the Joint Disciplinary Committee, the Office of Human Resources Management is required to perform increasingly detailed analyses of the cases before it. Consequently, substantial time is spent scrutinizing every aspect of a referral for disciplinary action, including obtaining clarifications and additional evidence from the investigating entity or the staff member concerned. Depending on the complexity of the matter, the disciplinary process can last from three months in a relatively straightforward case to up to two years in a more complex matter.","Advice","127. Finally, the Administrative Law Section provides ad hoc advice to offices throughout the Secretariat. Generally, one piece of advice requires one working day. Each year, the Section provides approximately 600 pieces of advice.","Resources of the Administrative Law Section","128. The transition to the new system has placed substantial additional demands on the Administrative Law Section. The procedures for both the appeals and disciplinary work are considerably more complex and demanding, resulting in a substantial increase in the volume of work. One fundamental change is the shift from document-based proceedings under the former system to oral hearings and the demand for numerous written submissions under the new system. The average number of working days required to process an appeal has tripled, from 5 days under the former system to 15 days under the new one. Under the former system, the respondent made, on average, two written submissions in each case. Hearings in appeals cases were held rarely, if at all. Under the new system, the Tribunal often requires numerous written submissions. In a significant number of the cases handled by the Section, between two and three oral hearings were held, in some cases even more. Preparation time for hearings can be substantial, requiring consultation with the offices concerned, and for merits hearings, preparation requires locating and speaking with witnesses in order to familiarize them with the process and to obtain statements.","129. As at 30 June 2009, the Administrative Law Section comprised four posts: one P-5 (Chief) post funded from the regular budget; one P-4 post also funded from the regular budget; and two P-4 posts funded from the peacekeeping support account. In addition, there were ad hoc funds from the peacekeeping support account for general temporary assistance. Owing to the volume of work coming from the field and the demands placed on the Section by the new system, on 1 July 2009 the General Assembly authorized an additional three legal officer posts (2 P-3 and 1 P-2) and two temporary positions (1 P-3 and 1 P-2) financed from the peacekeeping support account. In January 2010, the Section was divided into an Appeals Unit and a Disciplinary Unit. A P-5 post was redeployed from another section within the Human Resources Policy Service to head the Appeals Unit. In view of the sustained workload from the field missions, in July 2010 two additional legal officer posts (1 P-4 and 1 P-3) located in Nairobi were approved by the General Assembly and financed from the peacekeeping support account. Also in July 2010, three additional temporary positions (1 P-4 and 2 P-3) were made available by the Secretary-General under his limited discretionary authority, for handling appeals and disciplinary cases from non-field-related organizational units.","130. The Administrative Law Section has a staffing complement of 15 legal officers. At present, the Section comprises an Appeals Unit with one P-5 (Chief), three P-4 and two P-3 staff in New York and one P-4 and one P-3 in Nairobi; and a Disciplinary Unit with one P-5 (Chief), one P-4, three P-3 and two P-2 staff. Of those positions, three are financed from the regular budget (one of which was redeployed from within the Human Resources Policy Service), nine are financed from the peacekeeping support account and three are financed until 31 December 2011 by temporary resources provided by the Secretary-General under his limited budgetary discretion.","131. An analysis of the Section’s caseload demonstrates the need for additional posts. With regard to appeals, over the past year approximately 115 appeals filed with the Dispute Tribunal were received and handled by the Appeals Unit. Each case before the Dispute Tribunal takes on average 15 working days to process. This requires 1,725 working days per year. In addition, the Appeals Unit provides approximately 400 pieces of advice per year, requiring 400 working days per year. In total, the Appeals Unit performs approximately 2,125 days of work per year. Based on 27 working days per month, that is, 78.7 work months per year, this translates to seven posts. The Appeals Unit currently has only five posts, one of which is the post of the Chief. The Chief oversees and directs the work of the Unit, and the four legal officers handle the caseload. Three additional legal officer posts are therefore required.","132. Given that approximately 35 per cent of appeals are from peacekeeping missions and 65 per cent are from non-peacekeeping offices, six posts should be allocated from the regular budget and three from the peacekeeping support account. However, only one legal officer post in the Unit is currently funded from the regular budget. In order to ensure optimal functioning, three additional regular budget posts would need to be established in the Appeals Unit. However, in the light of the current financial constraints of Member States, it is proposed that two additional posts (1 P-4 and 1 P-3) be established in the Appeals Unit at this time.","133. On the basis of the number of disciplinary cases received since 1 July 2009, it is expected that approximately 150 cases will be received by the Administrative Law Section for action each year. As a disciplinary file takes an average of 20 working days to process, the caseload requires 3,000 working days per year. In addition, the Disciplinary Unit provides approximately 200 pieces of advice per year, requiring 200 working days. In total, the Disciplinary Unit must perform approximately 3,200 days of work per year. Based on 27 working days per month, this translates to 118.5 work months, which is equivalent to 10 posts. The Disciplinary Unit currently has only six legal officer posts, comprising four established legal officer posts and two temporary positions. In addition, the Unit has a Chief (P-5) who oversees and directs the work. Therefore, there is a shortfall of four legal officer posts.","134. Given that approximately 60 per cent of disciplinary cases handled are from peacekeeping missions and 40 per cent are from non-peacekeeping offices, four posts should be allocated from the regular budget and six from the peacekeeping support account. Currently, however, no legal officer post in the Disciplinary Unit is funded by the regular budget. It is proposed that the four established posts be maintained under the peacekeeping support account. The conversion of the two additional required posts from general temporary assistance to established posts will be proposed in the 2012-2013 budget of the peacekeeping support account. In order to handle the workload from non-peacekeeping offices, the Disciplinary Unit requires four regular budget legal officer posts. However, in the light of the current financial constraints of Member States, it is proposed that three additional posts (1 P-4 and 2 P-3) be established in the Disciplinary Unit at this time.","135. In total, the Secretary-General seeks an additional five legal officer posts for the Administrative Law Section. Notably, in the assessment of the resources required for the Section, 27 working days per month were allowed for, rather than the standard 21.5 days. This further demonstrates the heavy workload that the Section is carrying and the need for a sustainable resource base.","United Nations Office at Vienna","136. At the United Nations Office at Vienna and the United Nations Office on Drugs and Crime, overall responsibility for acting as representative of the Secretary-General in appeal and disciplinary matters has been delegated to the Director of the Division for Management. Day-to-day responsibility for handling disciplinary cases prior to their referral to the Office of Human Resources Management and requests for management evaluation, as well as for representing the Secretary-General before the Dispute Tribunal, is assigned to the Human Resources Management Service and coordinated by the Human Resources Policy Officer within the Service.","137. The United Nations Office at Vienna/United Nations Office on Drugs and Crime continues to observe an increase in requests for legal advice and for confirmation of compliance with the applicable law from managers, as well as an increase in the time required to prepare for each case before the Dispute Tribunal. To keep staff and management informed of the features of the new justice system, the United Nations Office at Vienna/United Nations Office on Drugs and Crime continues to hold briefings, lunchtime forums and town hall meetings and sends electronic messages to staff at large in Vienna and in the field, all of which requires additional time from the human resources team.","138. The increasing number of appeals, coupled with the very short deadlines in the new system, continues to overstretch the legal support capacity available for United Nations Office at Vienna/United Nations Office on Drugs and Crime management. The United Nations Office at Vienna has deployed one Human Resources Policy Officer in the Human Resources Management Service on a full-time basis to respond to the increased demands of the new system. However, this is not viable in the long term, since the human resources team is stretching its limited resources to cover for the regular functions of this officer. Accordingly, the United Nations Office at Vienna requires the dedicated posts of a legal officer at the P-4 level and a General Service (Other level) legal assistant to ensure adequate coverage of the continuing demands of the system. Given the financial constraints, however, it is proposed that the United Nations Office at Vienna be supported by staff at the United Nations Office at Geneva.","United Nations Office at Geneva","139. At the United Nations Office at Geneva, a Human Resources Officer with a legal background acts as the representative of the Organization before the Dispute Tribunal in cases filed by staff members at the Office and in its client organizations (the Office of the United Nations High Commissioner for Human Rights (OHCHR), the United Nations Conference on Trade and Development (UNCTAD), the Office for the Coordination of Humanitarian Affairs, the Economic Commission for Europe (ECE) and other, smaller entities). In addition to the temporary P-4 resource, it became necessary to add a P-3 Legal Officer post, funded on a cost-shared basis by client organizations (OHCHR, UNCTAD and the Office for the Coordination of Humanitarian Affairs) in order to cope with the increase in the workload, in particular from the client organizations. However, this arrangement will be in place only until the end of 2011.","140. As noted above, owing to the establishment of the new justice system, staff members’ submissions are more detailed and require more analytical work and legal research, and there are more oral hearings than in the prior system, which are time-consuming. In addition, the Dispute Tribunal judges often request the respondent to provide detailed information on elements of a case, thus creating additional work and more consultation with managers involved. The overall result is that each case requires more staff time than a case would have taken in the former system.","141. The legal officers are also requested to provide legal advice to managers regarding management evaluation requests or the preparation of decisions. Furthermore, the United Nations Office at Geneva continues to organize training for managers on the justice system and holds briefings for managers on management evaluation decisions and Tribunal jurisprudence. Finally, the legal officers provide support/input to the Office of Legal Affairs, which handles appeals for the Organization before the Appeals Tribunal.","142. Despite the significant increase in work, no additional resources were allocated to the United Nations Office at Geneva in conjunction with the transition to the new system. While temporary staffing arrangements were made on an ad hoc basis to address the time-critical extra workload relating to the rendering of essential legal expertise to the Office, this was done at the expense of adequately managing the significant demands placed on other areas of human resources. Those arrangements were therefore determined to be unsustainable for the future.","143. In order to effectively provide proper representation of the Secretary-General before the Dispute Tribunal, it has become crucial to seek advice from Headquarters on the provision of additional dedicated legal resources. Specifically, given the current caseload, the United Nations Office at Geneva requires a P-4 post for a Legal Officer with litigation experience and a General Service (Other level) post for a Legal Assistant. The P-4 Legal Officer would also be required to provide services to the United Nations Office at Vienna/United Nations Office on Drugs and Crime as indicated in paragraph 138 above. The P-3 Legal Officer post, funded on a cost-shared basis by client organizations (OHCHR, UNCTAD and the Office for the Coordination of Humanitarian Affairs), would need to be retained.","United Nations Office at Nairobi","144. During the reporting period, the position of Senior Legal Officer to the Director-General was filled, and for the latter half of the period the Senior Legal Officer represented the United Nations Office at Nairobi before the Dispute Tribunal. Early in the reporting period, the Office had been represented before the Dispute Tribunal by a Human Resources Officer with a legal background, assisted by colleagues from the Administrative Law Section. Furthermore, in the light of the limited experience in litigation of the Human Resources Section, the Office and UNEP engaged outside legal expertise on a consultant contract to assist with litigation matters before the Dispute Tribunal.","145. Cases concerning the client offices of the United Nations Office at Nairobi were handled either by staff of UNEP or UN-Habitat who had a legal background or by the Office’s Senior Legal Officer.","146. The reliance placed on the Senior Legal Officer before the justice system means that she is unable to attend to the core functions of her post as legal adviser to the Director-General. Accordingly, additional resources are requested. Specifically, the United Nations Office at Nairobi seeks a P-4 post for a Legal Officer with litigation experience and a post for a General Service (Other level) staff member to serve as a Legal Assistant. These posts would also serve the Economic Commission for Africa (ECA), where the demands of the new system have been particularly acute.","Regional commissions and the Tribunals","147. The respective Human Resources Management Services of the regional commissions (ECE, the Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic Commission for Latin America and the Caribbean (ECLAC), ECA and the Economic and Social Commission for Western Asia (ESCWA)) and the Tribunals (the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda) are called upon to perform additional functions and provide additional services under the new system.","148. The Human Resources Management Services are responsible for the day-to-day handling of disciplinary cases prior to their referral to the Office of Human Resources Management and requests for management evaluations. Furthermore, they are called on to give advice and guidance to managers on the jurisprudence emerging from the Dispute Tribunal. In addition, they liaise with the Administrative Law Section regarding ongoing cases; respond to requests for additional information sought by the Dispute Tribunal; establish contact with witnesses; and provide information required for the implementation of judgements. The judges of the Dispute Tribunal often request the parties to provide detailed information on elements of a case, thus creating additional work and more consultation with the managers involved. The overall result is that each case requires substantially more staff time than a case would have required in the former system.","149. The original requests for resources to implement the new system did not include any provision for additional resources in the regional commissions. However, following the implementation of the system, it has become apparent that resources are needed.","150. There is a need for a P-4 Human Resources Policy Officer with a legal background to give internal advice to management and Human Resources Services at ESCAP and ESCWA. The Officer would be based in ESCAP and would support both ESCAP and ESCWA. A General Service (Other level) post is also required in order to support the Officer.","151. The legal officers at the United Nations Office at Geneva will support the work of ECE, while the legal officers based at Headquarters will be responsible for advising ECLAC.","152. As indicated in paragraph 146 above, the proposed Legal Officer post in the United Nations Office at Nairobi would support the work of ECA.","Outreach","153. There is a need for outreach to the regional commissions. Training and the dissemination of relevant information to managers and human resource officers are crucial components in maintaining uniform standards across the Organization and addressing ongoing systemic issues. Managers require briefings on the key issues giving rise to appeals and advice on how they may minimize potential disputes. Human resources officers require training on the preparation and presentation of responses to requests for management evaluation and the provision of information and assistance to the Administrative Law Section during the course of proceedings. Finally, managers and human resources officers need to be aware of the overall system, with an emphasis on the possibility of pursuing the informal resolution of disputes. Training on the conduct of negotiations and on effective representation of the Secretary-General in mediations is required.","154. The International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia are currently implementing their completion strategies. Experience demonstrates that the caseload increases when missions are downsizing. Accordingly, it is expected that there will be an increase in the number of cases brought by staff from the Tribunals over the next three years. In this context, it is important that outreach to the Tribunals be facilitated to ensure that managers and human resources officers have the opportunity to receive assistance with specific cases and briefings on the latest developments in the jurisprudence affecting the implementation of their completion strategies.","155. It is proposed that outreach missions be conducted. The sum required to conduct these missions is $30,000. Specifically, it is proposed that a legal officer from Nairobi travel to ECA and the International Criminal Tribunal for Rwanda ($12,500 to the United Nations Office at Nairobi); a legal officer from Geneva travel to ESCWA, ESCAP and the International Tribunal for the Former Yugoslavia ($17,500 to the United Nations Office at Geneva). Accordingly, the Secretary-General requests $30,000 for outreach missions.","156. In addition, at times, the Dispute Tribunal conducts hearings in missions and other duty stations. The legal officer representing the Secretary-General is required to travel to the locations where the hearing is conducted. To date, there has been no specific allowance made for these travel costs. Accordingly, the Secretary-General requests $30,000 for travel to Tribunal hearings in mission locations.","Summary of current resources and resource requirements","157. The current resources and the resource requirements of the Administrative Law Section, offices away from headquarters and the regional commissions are set out in the table below.","Current resources and resource requirements","Office\tCurrent resources\tAdditional resourcessought \nAdministrativeLaw Section\tRegular budget2 P-51 P-42 General Service\tRegular budget2 P-43 P-3 Peacekeeping supportaccount3 P-43 P-31 P-21 P-3 (general temporaryassistance)^(a)1 P-2 (general temporaryassistance)^(a)1 General Service \n\tLimited budgetaryauthority^(b)1 P-42 P-3\t\nUnitedNationsOffice atGeneva\tP-4 Human ResourcesPolicy Officer\t1 P-41 General Service(Other level)\nUnitedNationsOffice atVienna\tNo resources(P-4 Human ResourcesPolicy Officerreassigned)\tUtilize services ofP-4 Legal Officerbased in UnitedNations Office atGeneva\nUnitedNationsOffice atNairobi\tNo resources(P-5 Senior LegalOfficer deployed)\t1 P-41 General Service(Other level)\nECA\tNo resources\tUtilize services ofP-4 Legal Officerbased in UnitedNations Office atNairobi\nESCAP\tNo resources\t1 P-41 General Service(Other level)\nESCWA\tNo resources\tUtilize services ofP-4 Legal Officerbased in ESCAP","^(a) Conversion to established posts will be proposed in the support account budget for 2012-2013.","^(b) Until 31 December 2011.","United Nations Development Programme","158. The UNDP Legal Support Office is an integrated legal office for UNDP and its affiliated funds whose legal work spans all aspects of corporate, institutional and administrative law, with an added focus on policy and training. In the light of the new system of justice, along with an increased demand for legal consultation and advice, the Office has had to adjust its staffing. The Administrative Law Practice Group of the Office is currently operating at full staffing capacity, with one Head of Practice (P-5) who carries her own workload and one P-5, two P-4 and two P-3 Legal Officers, totalling six Legal Officers, who are assisted by two General Service support staff. The Practice Group is responsible for handling all management evaluation requests, all cases before the Dispute Tribunal, all disciplinary cases, legal advice relating to policy work, legal training and all legal queries, on issues ranging from private legal obligations to advice on tax and pension matters.","159. The Legal Support Office is engaged in all stages of both informal and formal resolution of staff grievances. At the informal stage, the Office provides advice and guidance to managers, including the Office of Human Resources, country offices and regional bureaux, on the resolution of differences prior to their maturing into a formal complaint. The Office may also seek the intervention of the Ombudsman for funds and programmes. This preventive work by the Office has increased significantly since 1 July 2009 as more managers seek legal guidance to ensure that their decisions are taken in compliance with the UNDP legal framework, resulting in greater expenditure of time and resources.","160. Where issues are not resolved at the informal stage, the Legal Support Office makes recommendations to the Assistant Administrator and Director of the Bureau of Management on the disposition of requests for management evaluation; represents UNDP before the Dispute Tribunal; participates in mediation proceedings; and coordinates with the Office of Legal Affairs in respect of its representation of the Secretary-General concerning UNDP cases before the Appeals Tribunal. The Office also recommends action from an accountability perspective where warranted. On 1 August 2010, UNDP introduced a new procedure for handling requests for management evaluation. While the Office continues to review such requests and to make recommendations to the Assistant Administrator and Director of the Bureau of Management regarding their disposition, two additional senior managers, appointed by the Administrator and selected from a roster, are requested in order to provide their independent views from a management perspective directly to the Assistant Administrator and Director of the Bureau of Management. This system has worked well, although more managers need to be appointed in 2011 to cope with the increased number of requests for management evaluation. It is anticipated that the ongoing implementation of the one-time review linked to the granting of permanent appointments will generate more cases.","161. The Legal Support Office has provided training courses, briefings and outreach activities on a regular basis and through all available media to raise awareness among UNDP staff members and managers of the new system. For example, the Office launched an online legal course, compulsory for all managers, which contains several chapters on legal issues related to the internal justice system. In addition, the Office has had to adjust to shorter deadlines for management evaluations and from the Dispute Tribunal, as well as to the increased number of hearings and written submissions required by the Tribunal. This has resulted in an overall increase in the workload of its staff. Moreover, in view of the increased focus on oral hearings and full trials at the Dispute Tribunal, specialized training for lawyers in the area of advocacy and litigation has been required.","United Nations Children’s Fund","162. The Office of the Principal Adviser to the Executive Director, within the Office of the Executive Director, has overall responsibility for legal support and advice within UNICEF. The Division of Human Resources handles requests for management evaluation and represents UNICEF before the Dispute Tribunal. UNICEF has adjusted staffing levels, competencies and standard operating procedures to accommodate the increased workload resulting from the new system, and special attention is paid to management evaluation requests and to mediation opportunities.","Office of the United Nations High Commissioner for Refugees","163. Prior to the reform of the system of administration of justice, the administrative review of decisions concerning the staff of UNHCR was carried out by the Administrative Law Unit of the Secretariat. At present, UNHCR conducts its own management evaluation, which is delegated to the Deputy High Commissioner. The Legal Affairs Service, reporting directly to the Deputy High Commissioner, provides advice on all management evaluations.","164. UNHCR has had a very positive experience with the management evaluation process, which has enabled management to critically review its decisions, take remedial action before cases escalate to the Dispute Tribunal and review and improve its procedures. In many cases, the process has also re-established dialogue between UNHCR and the staff member.","165. At the Dispute Tribunal, UNHCR is represented by the Director of the Division of Human Resources Management. The Legal Affairs Service advises the Director on all pending cases.","166. At UNHCR, significant emphasis has been placed on the informal resolution of grievances at an early stage, and a number of cases have been resolved informally through the involvement of the UNHCR Ombudsman. Nevertheless, since the introduction of the new system, there has been a noticeable increase in the number of grievances that staff members seek to address through the formal system.","167. UNHCR continues to support the work of the Office of Staff Legal Assistance with the non-reimbursable loan of a Legal Officer to its Geneva office.","United Nations Office for Project Services","168. The United Nations Office for Project Services (UNOPS), being relatively small, has not received many cases. Although it has no legal unit working solely on such cases, it has a legal officer at its headquarters who is responsible, inter alia, for monitoring developments in the justice system (including the jurisprudence and practices of the Dispute and Appeals Tribunals). Each case filed with the Dispute Tribunal, as well as any issue that may lead to a case, including requests for management evaluations, is managed by the UNOPS legal officer in whose regional office the case or issue arose, supported by the above-mentioned legal officer at headquarters. This work is conducted under the overall supervision of the UNOPS General Counsel. In line with Secretary-General’s bulletin ST/SGB/2008/13, the Office of Legal Affairs manages all appeals concerning UNOPS to the Appeals Tribunal.","169. Thus far, the new system seems to be much more formal and professional than the previous system. In the new system, cases are conducted in a manner similar to that employed by many national courts, the increased number of oral hearings being just one example of this.","170. The time required of both lawyers and non-lawyers involved in a case has, accordingly, increased significantly. Furthermore, staff may make requests for the production of a large number of documents. The Dispute Tribunal has generally been inclined to grant such requests, the fulfilment of which requires considerable work on the part of the Organization.","United Nations Population Fund","171. The United Nations Population Fund (UNFPA) employs two legal officers, who provide a range of legal support and advisory services to the Fund, including the representation of UNFPA before the Dispute Tribunal. UNFPA continues to pay special attention to management evaluation, as well as to options involving alternative dispute resolution, including mediation.","2. Legal office representing the Secretary-General before the United Nations Appeals Tribunal","Office of Legal Affairs","172. As the central legal service of the Organization, the Office of Legal Affairs provides legal advice to the Secretary-General, Secretariat departments and offices and United Nations organs in a number of areas, including the new system of administration of justice. Within the Office of Legal Affairs, the organizational unit entrusted with this responsibility is the administration and management cluster in the General Legal Division. The functional responsibilities of the Division in this area are described below.","173. The responsibilities of the General Legal Division in relation to the system of administration of justice pertain to both the informal and the formal stages of dispute resolution. The Division provides advice to offices and departments of the Secretariat and the funds and programmes during the early stages of a claim advanced by a staff member, well before such a claim has progressed to litigation. For example, the Division has been requested to provide input during the management evaluation stage and during settlement negotiations.","174. Once a claim has advanced to the formal stage and a staff member has filed an application with the Dispute Tribunal, the General Legal Division regularly provides advice to the entity representing the Secretary-General at the first level of the judicial process. Such entities include the Administrative Law Section and its counterparts in Geneva, Vienna and Nairobi. Under the new system of administration of justice, entities within the funds and programmes (UNDP, UNOPS, UNICEF, UNFPA and UNHCR) represent the Secretary-General before the Dispute Tribunal; the Division is available to advise the funds and programmes as requested. In addition, since the Division has a comprehensive view of the evolving jurisprudence of the new system, it briefs all entities representing the Secretary-General before the Dispute Tribunal on legal developments in the new system and shares legal arguments for their guidance and use in relation to issues that arise before the Tribunal. Such advice ensures coordination and consistency in the legal strategies and arguments advanced by the Secretary-General on issues of policy and principle. In that context, the Division brings judgements of the Dispute Tribunal that have significant implications for the Organization to the attention of all the relevant offices.","175. The General Legal Division also represents the Secretary-General before the Appeals Tribunal. This responsibility encompasses both the filing of appeals against judgements of the Dispute Tribunal and responding to appeals filed by staff members. The Division performs this function with respect to all offices and departments of the Secretariat, as well as the funds and programmes. In order to determine whether appealing a given judgement is in the interest of the Organization, the Division must review and analyse each and every Dispute Tribunal judgement and consult with the entities that represented the Secretary-General before the Tribunal. The process of handling an appeal requires research into and analysis of all necessary factual and legal issues raised by the Dispute Tribunal and the preparation of a written appeal or answer, as appropriate.","176. In addition to providing advice on matters related to the system of administration of justice, the General Legal Division provides advice to offices and departments of the Secretariat and the funds and programmes concerning the interpretation or implementation of the Staff Regulations and Rules or other personnel policies and practices before an administrative decision is taken, such as in relation to recommendations for the dismissal of staff members. Although the majority of such requests originate from the Department of Management (including organizational entities such as the Office of Human Resources Management, the Advisory Board on Compensation Claims, the Medical Services Division or the Insurance Section), requests also come to the Division from the funds and programmes, UNHCR and offices away from Headquarters. Finally, the Division is responsible for reviewing, providing advice on and legally clearing every administrative issuance relating to human resources management policy prior to its promulgation.","177. The responsibilities of the General Legal Division in connection with the new system of justice have greatly exceeded expectations and have resulted in an unexpected and substantial increase in the Division’s workload. When the Secretary-General submitted his report on the resource requirements for the new system before it became operational, the Advisory Committee on Administrative and Budgetary Questions declined to approve any of the posts that were requested for the Office of Legal Affairs on the assumption that the efforts for the early resolution of disputes through informal means might result in fewer cases being brought to the Tribunals (see A/62/7/Add.7, para. 50). In the light of that consideration, the Advisory Committee found that there was insufficient information to support the requested additional staff at that time, recommending against the approval of those posts until the real needs could be assessed. The Advisory Committee assumed that the substantial majority of cases would be resolved before they reached the Dispute Tribunal. Contrary to those assumptions, as discussed below, the real needs of the new system have required the provision of legal advice by the General Legal Division to a broader range of clients, on increasingly complex issues, that entail significant financial, legal and operational implications for the Organization, and on an even more urgent basis.","178. Under the previous system, there was one tier of judicial review, the United Nations Administrative Tribunal. At present, there are two tiers of review. Under the previous system, the Administrative Tribunal operated on a part-time basis and met in two sessions per year, while under the new system, the Dispute Tribunal operates on a full-time, year-round basis and the Appeals Tribunal meets in three sessions per year.","179. As a consequence of the fundamental institutional changes in the system, there has been a significant increase in the number of judgements that the General Legal Division must review and provide advice on. Under the previous system, the United Nations Administrative Tribunal issued 65 judgements in 2009. By contrast, under the new system, the Dispute Tribunal issued 218 judgements and the Appeals Tribunal issued 100 judgements in 2010. Thus, the total number of judgements under the new system is approximately five times the number under the previous system.","180. There has also been a significant increase in the number of submissions filed by the General Legal Division under the new system. Under the previous system, the Division filed an average of 63 submissions with the United Nations Administrative Tribunal per year. By contrast, under the new system, it filed 150 submissions with the Appeals Tribunal in 2010 (114 in cases arising from the Secretariat, including peacekeeping missions, and 36 in cases arising from the funds and programmes and UNHCR). Thus, the number of submissions filed under the new system is approximately 140 per cent higher than the number filed under the previous system.","181. The impact of the new system on the General Legal Division is not related solely to the number of appeals filed with the Appeals Tribunal; the nature of the work undertaken by the Division in this area has also substantially changed. Under the previous system, the Division had a generous time frame (six months) for drafting responses to the United Nations Administrative Tribunal. Generally, those responses were based on the well-established jurisprudence of that Tribunal, and the Division’s work was thus simpler and more manageable. However, under the new system, the deadlines for filing and responding to appeals have been shortened to 45 days. Moreover, notwithstanding the 45-day deadline established in the statute of the Appeals Tribunal, the Tribunal has shortened the deadline for filing an interlocutory appeal to 15 days. In addition, the introduction of the new system of administration of justice has meant that past practices of the Organization and jurisprudence of the Administrative Tribunal are being re-examined by the new Tribunals. The resulting uncertainty regarding which legal norms and principles should be applied by managers has meant that the Division is now being requested on a more frequent basis to provide advice to other departments, including those entities representing the Organization before the Dispute Tribunal in advance of its regular hearings. This is in contrast to the previous system, in which submissions to the Joint Appeals Board and the Joint Disciplinary Committee were based on the well-established jurisprudence of the Administrative Tribunal, and it was only rarely that the Division was requested to provide advice in connection with those proceedings.","182. All of these factors are compounded by the recent reforms in many areas of human resources management, such as contractual reform and the harmonization of conditions of service. These reform initiatives have also resulted in greater demands on the General Legal Division with respect to reviewing and providing legal clearance for administrative issuances and providing advice on the interpretation and implementation of the Staff Regulations and Rules.","183. At present, the General Legal Division has two Professional posts (1 P-5 and 1 P‑3) and one General Service post funded under the regular budget for administration of justice and management issues. As at 1 July 2010, the Secretary-General had also provided, under his limited budgetary discretion, temporary resources in the form of six P-3/P-4 and two General Service (Other level) posts for a limited period that ends on 31 December 2011. The Division also has one P-4 post funded under the peacekeeping support account. In addition, the Division was recently informed that the General Assembly had approved, as at 1 July 2011, general temporary assistance in the form of one P-4 post and one P-3 post under the peacekeeping support account. In sum, unless additional resources are approved, as requested below, the Division will have a total of only five Professional posts and one General Service post to deal with administration of justice and management issues.","184. Ultimately, the strains placed on the Division as a result of the unforeseen extent of the demand for its services will undermine its overall ability to provide legal advice on a timely basis and in a comprehensive manner not only in the area of administration of justice but also regarding other matters.","185. Ensuring that the Division has the capacity to provide legal advice in the area of administration and management will ensure that there are no adverse long-term financial, legal and operational implications for the Organization as a whole. This is particularly the case during this critical stage of the development of the Tribunals’ jurisprudence. For example, the Division’s representation of the Organization before the Appeals Tribunal in 2010 contributed to the establishment of parameters for awarding compensation and clarifying the principles for reviewing the Secretary-General’s discretionary authority. Not only have those appeals resulted in substantial cost savings for the Organization, but the development of fundamental principles will have significant long-term benefits for the Organization.","186. In order to meet the substantially increased demand for the services of the Office of Legal Affairs in the new system, the General Legal Division requires eight additional regular budget posts (6 P-3/P-4 and 2 General Service (Other level)) for administration of justice and management issues. However, the Secretary-General is mindful of the current financial constraints of Member States and is therefore seeking the General Assembly’s approval at this time of only three additional regular budget posts (2 P-4 and 1 P-3) for the General Legal Division. In this regard, it should be noted that the Division is the only office with a request that reflects a reduction of approximately two thirds compared with the previous report (from eight posts to three), while at the same time, it is the only office that has not received any long-term resources as a consequence of the establishment of the new system (other than the two posts under general temporary assistance approved as of 1 July 2011 under the peacekeeping support account).","III. Responses to questions relating to administration of justice","A. Overview","187. The following section responds to the queries set out by the General Assembly in its resolution 65/251.","B. Responses","1. Staff-funded mechanism to support the Office of Staff Legal Assistance","188. The Secretary-General’s response to paragraphs 40 and 41 of resolution 65/251, setting out proposals for staff funding mechanisms to support the Office of Staff Legal Assistance, is set out in annex I to the present report.","189. These proposals were the object of consultations with staff at a meeting of the Staff-Management Coordination Committee held in June 2011. At the meeting, staff reiterated their view that none of the options for the staff-funded scheme was acceptable, as the cost of the representation of staff rested with the employer. Staff noted that, as the General Assembly had established the Office of Staff Legal Assistance as part of the Organization’s internal system of administration of justice, expenses associated with the operation of the Office constituted an expense of the Organization, and called upon the General Assembly to provide the resources necessary to ensure that both sides (staff and management) were equally armed.","2. Recourse mechanisms for non-staff personnel","190. The Secretary-General’s response to the request, made by the General Assembly in paragraph 55 of resolution 65/251, for proposals for resource mechanisms for non-staff personnel is set out in annex II to the present report.","3. Delegation of authority for disciplinary measures","191. The Secretary-General responds below to the request, made by the General Assembly in paragraph 51 of resolution 65/251, for a detailed proposal for the delegation of authority for disciplinary measures.","Background","192. The possibility of delegating the authority to impose disciplinary measures to heads of missions and offices away from Headquarters was initially raised by the Secretary-General at the sixty-second session of the General Assembly. It was based on the recommendations contained in the report of the Redesign Panel, as well as on the results of the twenty-eighth session of the Staff-Management Coordination Committee, at which the issue was discussed and a proposal developed. The Assembly endorsed, in principle, the delegation of authority for disciplinary measures to heads of missions and offices away from Headquarters and requested the Secretary-General to submit a report containing possible options.","193. Taking into account the recommendations of the Committee, the Secretary-General proposed a limited delegation of authority for disciplinary measures, whereby heads of missions and offices away from Headquarters would be given the authority to impose minor sanctions (i.e., censures and fines) once the capacity necessary to do so was in place. The General Assembly requested the Secretary-General to submit a new proposal in that regard at its sixty-fifth session.","194. Given that a number of prerequisites remained unfulfilled, the Secretary-General proposed to put on hold the previous recommendation for limited delegation of authority, pending further analysis. The General Assembly, however, reiterated its request to the Secretary-General to submit, at its sixty-sixth session, a report setting out possible options for the delegation of authority for disciplinary measures. The proposal summarized herein was prepared in connection with that request.","Current status of the handling of disciplinary cases","195. While no significant developments have occurred since the Secretary-General’s previous report on administration of justice, a number of observations may be made. The revision of the administrative instruction on revised disciplinary measures and procedures (ST/AI/371/Amend.1) has been initiated by the Office of Human Resources Management. The jurisprudence emerging from the Tribunals indicates that the Staff Regulations and Rules of the United Nations are being analysed and interpreted from a new perspective compared with the jurisprudence from the former United Nations Administrative Tribunal. In particular, the Tribunals are interpreting the procedural and substantive standards required by the Organization throughout the pre-disciplinary and disciplinary phases, for example, the assessment of the allegations and complaints, the quality of the investigation reports, the due-process rights of staff members during the process and the proportionality of measures imposed. It must be noted, however, that the disciplinary cases appealed to the Tribunals relate to cases reviewed by the Office of Human Resources Management on the basis of the jurisprudence and criteria set by the Administrative Tribunal. It therefore remains to be seen how many of the cases received and completed after 1 July 2009, under the new system, will be appealed and how they will be disposed of.","196. From 1 July 2009 to the end of the reporting period, the Administrative Law Section of the Office of Human Resources Management closed 357 cases, of which 216 were mission cases. Of these, 71 were closed with disciplinary measures, as follows: 19 dismissals, 17 separations, 4 demotions, 5 censures with loss of step/grade or deferment, 14 censures with fines, 1 censure with counselling, and 11 censures.","197. The disciplinary cases handled by the Administrative Law Section since 1 July 2009 involving staff members serving in field missions constituted 70 per cent of its caseload in 2009/10 and close to 60 per cent in 2011.","198. The estimated time required by the Administrative Law Section to handle a disciplinary case, from the time of its referral, ranges from 3 to 11 months, depending on the facts and complexity of the case. However, this time estimate reflects optimum conditions and does not take into account the current backlog of older cases, including those that were not completed prior to the introduction of the new justice system, namely (a) 170 cases that were pending with the Office of Human Resources Management prior to the introduction of the new justice system and (b) 30 cases, referred back to the Section, on 1 July 2009, that were pending before the Joint Disciplinary Committee or pending a decision by the Deputy Secretary-General on a Committee report. It is anticipated that those cases will be completed by the end of 2011.","199. Between 2006 and 2008, it took an average of 17 months to close a disciplinary case. The cases, handled during that period, with the exception of those in which dismissals were recommended, were considered by a Joint Disciplinary Committee panel. The Administrative Law Section took an average of eight months to refer cases to the Committee. Since the introduction of the new system, it has taken the Section an average of 11 months to close cases referred after 1 July 2009.","200. The abolition of the Joint Disciplinary Committee effectively increased the responsibility of the Administrative Law Section for reviewing of the facts of and analysing each case in the light of chapter X of the Staff Rules, on disciplinary measures, which tasks had been formerly carried out in large part by the Committee. In view of the increased scrutiny by the Dispute Tribunal, the Section likewise increased the level of the detail of its analyses, as well as the related follow-up work with investigative entities at every stage of the process.","Review of the range of options","201. The introduction of the new justice system on 1 July 2009 significantly changed the procedures for handling disciplinary cases. Among other things, the abolition of the Joint Disciplinary Committee shifted the responsibility for conducting the factual assessment of a case to the Office of Human Resources Management.","202. There are three critical bottlenecks in the current multistep process, each of which is related to ensuring that the factual analysis is robust and respects the due-process rights of staff members: (a) the length of the investigation process and the number of entities involved in investigations, as well as the quality of fact-finding and other inquiries conducted by non-professional investigators; (b) the time required to obtain comments from staff members charged with misconduct; and (c) the time taken to obtain additional information from the investigating entity.","203. Simply delegating authority would not eliminate existing bottlenecks, as current procedures for handling disciplinary matters and the jurisprudence emerging from the Tribunals would continue to require high levels of scrutiny. Moreover, decentralization to the field might increase duplication of effort and the inconsistency of decisions.","Partial delegation of authority","204. Partial delegation of authority would involve the delegation of authority to impose less serious disciplinary measures (such as fines and censures) to heads of missions and offices away from Headquarters.","205. However, only a limited number of cases result in fines and censures, so this option would not significantly reduce the timeline of the disciplinary process. Therefore, existing bottlenecks would remain unaddressed, while the resulting duplication of effort between the field and the Office of Human Resources Management would introduce inefficiencies. Given the cost increases resulting from the partial delegation of authority, including outposting of Department of Management legal officers to assist in the procedural aspects of the disciplinary process, the Administration does not consider it to be a viable option at this stage.","Full delegation of authority","206. With full delegation of authority, heads of missions and offices away from Headquarters could impose any disciplinary measure, following the disciplinary process currently employed at Headquarters. While full delegation would increase authority at the field level and reduce communication between the field and Headquarters, the major disadvantage would be the increased likelihood of inconsistent and unequal treatment of staff members across the Organization. Inconsistent decisions would, in turn, increase the number of appeals to the Dispute Tribunal and increase costs. Consequently, the Administration is of the view that it would not be advisable to implement full delegation of authority.","No delegation of authority","207. If the authority to impose disciplinary measures continues to rest exclusively with the Under-Secretary-General for Management, the current, centralized system would continue. Under this scenario, the Department of Management would continue to have a global view of disciplinary cases and would be optimally placed to ensure the most efficient and consistent analysis and disposition thereof.","Proposed short-term measures","208. While neither partial nor full delegation of authority would be optimal at present, it is clear that action is required to address the delays in handling disciplinary cases. Accordingly, the following measures are being proposed in order to expedite the investigation and processing of disciplinary cases:","(a) A pilot project to test the feasibility of decentralizing critical elements of the administration of justice would be implemented, through the establishment of a service base that would cover a cluster of missions. Resources would include legal officers, conduct and discipline officers and access to resources available either at the service base or in the region, such as investigators, the Ombudsman and the Office of Staff Legal Assistance. Each function would have clear terms of reference and reporting lines in order to preserve the independence of investigations, due process for staff members subject to disciplinary procedures and the integrity of the disciplinary process. While the authority to impose disciplinary measures would remain with the Under-Secretary-General for Management, it is expected that placing critical elements of the investigations and disciplinary process closer to the locations where the cases occur would help to shorten the time required to handle them. The pilot would cover certain field missions in Africa (to be identified), and it is proposed that the service base be located in Nairobi. That would allow for the building of an infrastructure that could be used in the future should the experience gained from the pilot support further decentralization, including with respect to offices away from Headquarters located in Nairobi (as well as other offices away from Headquarters);","(b) High-priority cases would be handled through a “fast-track” approach that would involve the prioritization of the case by all offices involved (the Department of Field Support, the Office of Human Resources Management and the Office of Internal Oversight Services (OIOS)). Taking into account requests from heads of mission and proper justifications, cases identified as high-priority would be processed on an expedited basis, according to guidelines to be developed acknowledging the operational independence of OIOS and its existing procedures, such as the Case Intake Committee, but would otherwise follow applicable procedures for the handling of disciplinary matters;","(c) The authority to place staff on administrative leave with pay would be transferred from the Assistant Secretary-General for Human Resources Management to the Under-Secretary-General for Field Support. This would shorten the process of placing staff on administrative leave with pay. The placement of staff on administrative leave without pay would remain within the authority of the Department of Management;","(d) The establishment of an interdepartmental working group on the delegation of authority with regard to disciplinary matters.","209. The Secretary-General will submit a comprehensive report in this regard to the General Assembly at its sixty-eighth session.","210. The proposed measures were discussed at the thirty-second session of the Staff-Management Coordination Committee. It was agreed that management would share progress reports with staff and would develop a mechanism whereby staff representatives could be briefed periodically on the progress of the project.","Recommendation","211. The General Assembly is requested to endorse the proposals of the Secretary-General detailed in paragraph 208 above.","4. Impact of the new system of administration of justice on staff-management relations","212. With regard to the request made by the General Assembly in paragraph 54 of resolution 65/251, the Secretariat, UNDP and UNICEF believe that it is too early to report on the impact that the new system is having on staff/management relations and on the performance of both staff and managers, and believe that more time is required in order to properly determine if there is any systemic impact. All have noted an evolution in the area of staff-management relations. In particular, managers are becoming increasingly aware of the consequences of their decisions and want to ensure that these are made in accordance with the applicable rules and policies. This has resulted in more queries, requests for advice and guidance from programme managers for the relevant legal offices prior to the taking of decisions. There is also a notable desire on the part of managers to learn more about the system and to generally be able to make the correct decisions in cases.","213. Thus, on a preliminary basis, one may state that the new system of justice is creating an emphasis on the prevention of disputes and, where these cannot be avoided, programme managers are more routinely consulting with the lawyers in order to ensure that their decisions are well informed from a legal and policy standpoint. In the process of either avoiding or informally resolving disputes, extensive and collegial consultations sometimes take place with the representatives of the staff concerned, as well as with the United Nations Ombudsman or the Ombudsman for funds and programmes.","214. While these emerging practices have been identified, it is also clear that not all managers have developed an acute awareness of the requirements of the new system. Thus, from a performance standpoint, more time is required in order to determine whether these emerging practices are coalescing into a trend.","215. It is expected that managers will take staff performance assessment very seriously and provide regular feedback to supervisees in that context, thus ensuring that any decision flowing from an appraisal report is properly documented. However, it is too early to comment on whether this constitutes a trend. It is equally difficult to predict whether staff and managers will positively increase their own performance in the light of the new system.","5. Cost-sharing arrangements","216. With regard to the request made by the General Assembly in paragraph 57 of resolution 65/251, the Secretary-General responds as follows.","217. Since the General Assembly decided, in its resolution 62/228, to establish the new system, the Secretariat has engaged in ongoing formal and informal discussions with representatives of the funds and programmes (UNDP, the United Nations Office for Project Services, UNICEF, UNFPA and UNHCR), with a view to concluding a cost-sharing arrangement based on headcount. Where costs are shared on a headcount basis, they are apportioned according to the number of staff members. On the basis of those discussions, an initial draft memorandum of understanding, prepared by the Secretariat, was circulated to the funds and programmes for their comments. Subsequently, a joint meeting was held among the parties to discuss the issues raised by the funds and programmes. Further to internal deliberations with key stakeholders in the Secretariat, a revised draft memorandum was circulated by the Secretariat to the funds and programmes for additional comments. The revised draft memorandum also included the new United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) as part of the arrangement. In early March 2011, an additional meeting with the parties was held to discuss the revised draft memorandum, pursuant to which, in May, the funds and programmes provided a formal coordinated communication containing a list of pending issues. In June, the Secretariat provided a formal response on all the pending issues, which led to further negotiation among the parties in July. To date, the parties have resolved most of the pending issues, although certain clarifications are still required regarding some elements of the integrated and decentralized Ombudsman function (given that the funds and programmes fund their own Ombudsmen in the integrated office, who report to their executive heads), including mediation services. For example, there are questions concerning structural issues (including accountability and referral mechanisms) between the Ombudsman for funds and programmes and the Regional Ombudsmen as well as the mediation services with regard to cases emanating from staff of the funds and programmes. The parties agreed that once communication lines between the mediation services and the Regional Ombudsmen, on the one hand, and the Ombudsman for funds and programmes, on the other, have been clarified, the discussion on cost-sharing with respect to these remaining, specific aspects can be concluded. The parties are cognizant of the urgency of concluding the cost-sharing arrangement and are committed to doing so as soon as possible.","6. Training of actors in the system","218. With respect to the request made by the General Assembly in paragraph 61 of resolution 65/251, the Secretary-General responds as follows.","219. In June 2009, the incoming judges of the Tribunals participated in an induction course, organized by the Office of Administration of Justice, which provided them with an overview of the structures and regulatory framework of the Organization. Staff of the Registries participated in training courses on court management at the International Tribunal for the Former Yugoslavia, the International Criminal Tribunal for Rwanda and the European Union Civil Service Tribunal. Staff of the Office of Staff Legal Assistance participated in advocacy training courses conducted by staff of the International Tribunal for the Former Yugoslavia and practitioners of the defence bar in The Hague.","220. The Department of Management engaged a legal consultant who coached legal officers of the Administrative Law Section on drafting techniques. The legal officers also participated in an intensive week-long advocacy training course organized by a national legal training institute. In addition, they participated in a dispute resolution training course organized by UNDP and the Ombudsman.","221. UNDP organized an advocacy training programme for its legal officers appearing before the Tribunals, conducted by very experienced staff of the International Tribunal for the Former Yugoslavia and senior members of the United Kingdom bar. Because such training is of paramount importance for legal officers in the new, professionalized formal system, a similar training course is envisaged for later in 2011. UNDP and the Office of the United Nations Ombudsman and Mediation Services jointly organized a workplace dispute resolution training programme, which was attended by more than 100 staff members, including senior officials.","222. Regular participation in training programmes aimed at the enhancement of legal education is required for all participants in the system, including judges, their staff and the legal officers representing staff and management. Legal officers require periodic training in oral and written advocacy to maintain and enhance their skills. Staff of the Registries of the Dispute Tribunal and the Appeals Tribunal would benefit from enhanced training on court management practices, including educational exchanges with staff of other international tribunals. Additionally, benefits are to be gained from joint training of the various actors in the system, both in terms of cost savings and because of the opportunity to share views and best practices.","223. It would be beneficial for judges to attend legal conferences and colloquia at which the judges of other international tribunals, high-level scholars and other participants engage in discussions on law and judicial practice related to their professional activities. Currently, the budget of the Office of Administration of Justice is insufficient to permit this.","224. The creation of a judicial library of reference books at each Tribunal location would enhance the education of judges and staff. Furthermore, it would be beneficial to provide for ongoing judicial education through an annual plenary education conference, which would include inputs from outside presenters and facilitators as appropriate. Topics to be explored could include cross-cultural communication skills, updates on the development of the law of the international civil service, the application of international norms, the application of ILO Conventions to the law of the international civil service, and comparative approaches to legal issues.","225. Finally, it may be appropriate to consider additional judicial training for judges in the legal frameworks of the various United Nations agencies and bodies whose staff have access to the United Nations system of administration of justice. Furthermore, in order to ensure that there is dialogue among the judiciaries of international tribunals, it may be advisable to organize a United Nations joint judicial seminar for the judges of both the Dispute Tribunal and the Appeals Tribunal, as well as judges of other tribunals and, perhaps, legal academics, focusing on issues of international administrative law. In addition, the training of all participants is required in order to promote greater uniformity and consistency across the Tribunals in terms of the standards applied.","226. After two years of operation of the current system, there continues to be a need to provide outreach to staff on the informal and formal means of dispute resolution and, in particular, on the interrelationship between the two. The Office of Administration of Justice has produced a user-friendly handbook, in all official United Nations languages, to assist staff. It has also set up a comprehensive website in all official languages that includes descriptions of all the elements of the formal system, including a dedicated web presence for the Office of Staff Legal Assistance and an up-to-date database of the jurisprudence of the Tribunals.","227. Training requirements relating specifically to informal dispute resolution and mediation will be presented in the context of the report of the United Nations Ombudsman on the informal system of justice.","7. The timeliness of the handling of disciplinary cases","228. In resolution 65/251, the General Assembly endorsed the recommendations made by the Advisory Committee on Administrative and Budgetary Questions in its report on the administration of justice at the United Nations (A/65/557), which included a request that the Secretary-General include information on the timeliness of the handling of disciplinary cases in his report on the administration of justice to be submitted to the Assembly at its sixty-sixth session.","229. The response to that request has been agglomerated with the response to the request for proposals on the delegation of disciplinary authority contained in paragraphs 191 to 210 above.","8. Information requested by the General Assembly in paragraph 53 of resolution 65/251","230. In paragraph 53 of resolution 65/251, the General Assembly requested the Secretary-General to include, in his report on the administration of justice to be submitted to the Assembly at its sixty-sixth session, the following information:","(a) Clear statistics on the cases received and disposed of during the period by both Tribunals, including information, by category, on whether the judgements rendered found for the applicant or for the respondent and on the administrative issues involved;","(b) Analysis of trends over a number of reporting periods in order to identify systemic issues leading to usage of the system of justice and to monitor whether they are being effectively addressed over time;","(c) Detailed information on monetary compensation awarded and indirect costs associated with an appeal, for example, in staff time, including identification of those aspects of staff administration that give rise to large numbers of appeals;","(d) Detailed information on payments of compensation to staff equal to six months of salary or more, with an indication of the offices or departments concerned, the location of these offices or departments and some details of the facts of the case.","231. With respect to paragraph 53 (a) of resolution 65/251, the Secretary-General has provided this information in paragraphs 30-41 and 65-72 above, relating to the work of the Dispute Tribunal and the Appeals Tribunal. Additional information is provided in annex III to the present report.","232. With respect to paragraph 53 (b) of resolution 65/251, the Secretary-General provides the following response.","233. The statistics reveal that across the Organization, the most frequently disputed decisions are those on issues related to selections and appointments. Claims related to such decisions constitute around 40 per cent of all claims submitted. There are various reasons for this. First, there was ambiguity in the former administrative instruction on the staff selection system with regard to priority rights for internal candidates. Second, there are a number of procedures that, in accordance with the administrative issuances, need to be followed when a position is being filled: the recruitment/selection process provides scope for allegations of procedural error. Third, staff members who are not selected for positions frequently allege that this is due to extraneous considerations. Fourth, staff members have alleged that there is a conflict between their e‑PAS assessments and the evaluation of their candidacies for vacancies, and thus that the assessment of their candidacy was unfair. Finally, there is inconsistent jurisprudence from the Dispute Tribunal with regard to the breadth of the discretion vested in the Administration in selection exercises as well as the burden and standard of proof in challenges to such exercises.","234. These issues have been addressed by the Administration as follows:","(a) In September 2009, as soon as the ambiguity in the provisions regarding priority consideration had been identified, the Assistant Secretary-General for Human Resources Management sent a circular to all offices clarifying the procedure for the consideration of internal candidates;","(b) In April 2010, the administrative instruction on the staff selection system was abolished and was replaced with a new administrative instruction (ST/AI/2010/3). The provisions on priority consideration are no longer part of the policy;","(c) In October 2010, a “lessons-learned guide”, providing guidance on the staff selection process, was issued by the Under-Secretary-General for Management;","(d) Inconsistent decisions of the Dispute Tribunal have been appealed by the Administration. Jurisprudence from the Appeals Tribunal handed down in March 2011 provides greater clarity with regard to the breadth of the discretion of the Secretary-General in selection decisions and the burden and standards of proof;","(e) The jurisprudence of the Appeals Tribunal will assist in responding to factual arguments made by staff members concerning any perceived inconsistency between performance evaluations and candidacy evaluations; it will also assist in addressing allegations of bias. The Appeals Tribunal has found that when staff members make such allegations, the onus is on them to produce clear and convincing evidence to support their claims.","235. As regards the other categories of cases, it has been recognized that non‑renewal decisions are frequently impugned on the basis that the procedures mandated under the performance management system have not been followed. The Under-Secretary-General for Management has addressed this issue in circulars to management detailing the jurisprudence of the Dispute Tribunal and impressing on managers the need to follow e-PAS procedures.","236. A “lessons-learned guide” focusing on the non-renewal of fixed-term appointments was issued in August 2010. The guide instructs managers on strictly adhering to rules and procedures, documenting the decision-making process and adhering to performance management procedures.","237. In addition, on 30 April 2010, an administrative instruction entitled “Performance Management and Development System” (ST/AI/2010/5) was issued. This issuance updates the policies and procedures for performance evaluation and addresses issues that have led to delay in the completion of e-PAS appraisals.","238. Disciplinary measures are also frequently appealed. This is another area in which the jurisprudence arising from the Dispute Tribunal continues to evolve. Specifically, on a number of occasions the Dispute Tribunal has reconsidered the exercise of the Secretary-General’s discretion. The Administration has appealed those decisions. In early 2011, the Appeals Tribunal issued a judgement emphasizing that the Dispute Tribunal was not the decision maker and that its role was limited to the judicial review of the exercise by the Secretary-General of his broad administrative discretion.","239. One measure that has been the subject of a number of judgements is the placement of staff members on special leave with full pay in the context of an ongoing investigation into allegations of misconduct. The Dispute Tribunal ruled that this measure was not suitable where disciplinary proceedings were pending. As a result, the Administration has revised the rule, enacting staff rule 10.4, which specifically provides for the placement of a staff member on administrative leave pending an investigation. Whereas the former staff rule required that a staff member be charged prior to being suspended from duty, the new staff rule provides that a staff member may be placed on administrative leave at any time pending an investigation until the completion of the disciplinary process.","240. A significant subject matter of appeals of judgements to the Appeals Tribunal has been the awarding of compensation. A number of substantial awards have been overturned by the Appeals Tribunal, and principles to be applied by the Dispute Tribunal have been enunciated. Specifically, the Appeals Tribunal has found that successful claimants are entitled to be compensated in a sum that, as far as money can do so, places them in the same position as they would have been in had their terms of appointment been observed.","241. With respect to paragraph 53 (c) of resolution 65/251, detailed information on monetary compensation awarded is provided in annex III to the present report. As regards the indirect costs associated with an appeal, such as staff time, including the identification of those aspects of staff administration that give rise to large numbers of appeals, the Secretary-General responds as follows.","242. In order to calculate such indirect costs, it was agreed by all stakeholders of the system of administration of justice that the total number of hours spent by staff in relation to judgements rendered in 2010 by the Dispute Tribunal and the Appeals Tribunal would be added up. It was also agreed that the cost of a P-4 legal officer working 40 hours a week, 45 weeks per year, would be used as an average. An additional 20 per cent would be added to reflect the additional staff hours spent by management and senior management in reviewing cases, as well as administrative support.","243. Submissions calculating the time spent on cases in which the Dispute Tribunal had rendered judgements were received from the Dispute Tribunal Registries, the Office of Legal Affairs, the Office of Human Resources Management, UNDP, UNICEF, the United Nations Office for Project Services, UNFPA, the Management Evaluation Unit and the Office of Staff Legal Assistance. Submissions calculating the time spent on the Appeals Tribunal cases were provided by the Appeals Tribunal Registry, the Office of Legal Affairs and the Office of Staff Legal Assistance. Averages for Dispute Tribunal and Appeals Tribunal cases are provided separately below. The methodology by which these figures were obtained can be made available upon request.","244. It should be noted that the number of hours spent on individual cases may vary widely. In addition, the numbers provided by the Office of Staff Legal Assistance do not reflect time spent on cases by volunteers, nor do they reflect the large amount of time spent by the Office providing summary advice or working on cases that do not result in a formal appeal.","245. Taking into account the information provided by each of the various offices and entities, the average staff time spent on a Dispute Tribunal case is 400.3 hours, and on an Appeals Tribunal case, 230.5 hours (calculated on the basis of a P-4 staff member working 40 hours a week, 45 weeks per year).","246. With respect to paragraph 53 (d) of resolution 65/251, relating to payments of compensation of six months or more, the Secretary-General provides information on such payments in annex III to the present report.","IV. Issues relevant to the review by the General Assembly of the statutes of the Tribunals","A. Introduction","247. In paragraph 46 of its resolution 65/251, the General Assembly decided to “defer until its sixty-sixth session a review of the statutes of the Tribunals, in the light of experience gained, including on the efficiency of the overall functioning of the Tribunals”. In order to assist the Assembly with its review of the statutes of the Tribunals, the Secretary-General raises the following issues for the consideration of the Assembly. In raising these issues, the Secretary-General emphasizes that the discussion of them is without prejudice to the principle of judicial independence. As the Assembly is the body that established the Tribunals, adopted their statutes and approved their rules of procedure, it is for the Assembly to determine what action, if any, should be taken in relation to these issues.","B. Rules of procedure of the Tribunals","248. Article 7 of the statute of the Dispute Tribunal provides that the Dispute Tribunal shall establish its own rules of procedure, which are subject to approval by the General Assembly. Similarly, article 6 of the statute of the Appeals Tribunal provides that the Appeals Tribunal shall establish its own rules of procedure, which are subject to approval by the Assembly. As the Assembly will be considering the report on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal (A/66/86), the Secretary-General submits to the Assembly for its consideration the following observations related to the rules of procedure.","1. Consultation for the amendment of the rules of procedure","249. The statutes of the Tribunals do not currently provide for the parties to recommend or to be consulted on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal. As the parties that appear before the Tribunals would provide an important perspective regarding the impact of the proposed amendments, prior consultation with the parties would benefit the process of amending the rules of procedure of the Tribunals. The absence of an express provision in their statutes or in the rules of procedure does not prevent the Tribunals from undertaking consultation with the parties prior to amending their rules of procedure. Notably, while the statute and the rules of procedure of the International Tribunal for the Former Yugoslavia do not provide for a consultative process for the amendment of the rules of procedure, in practice, representatives of the Registry, the Office of the Prosecutor and defence counsel participate in a “rules committee” that has been established to consider proposed amendments of the Tribunal’s rules of procedure before those amendments are adopted by the judges.","250. The Secretary-General recommends that the General Assembly encourage the Tribunals to consult with the parties appearing before them when making amendments to their rules of procedure.","2. Dismissal of manifestly inadmissible or unfounded cases","251. Article 9 of the rules of procedure of the Dispute Tribunal states, “A party may move for summary judgement when there is no dispute as to the material facts of the case and a party is entitled to judgement as a matter of law”. Under this provision, a non‑meritorious claim cannot be dismissed so long as there is a dispute as to the material facts. By contrast, the administrative tribunals of other intergovernmental organizations provide for mechanisms to address non-meritorious claims.[8] For example, article 76 of the rules of procedure of the European Union Civil Service Tribunal states that “where the action is, in whole or in part, manifestly inadmissible or manifestly lacking any foundation in law, the Tribunal may, without taking further steps in the proceedings, give a decision by way of reasoned order”. In 2010, 10 of the 129 cases before the European Union Civil Service Tribunal were resolved on the basis of that provision.","252. Furthermore, the Secretary-General notes that the rules of procedure of the Appeals Tribunal do not provide for any mechanism to address non-meritorious appeals expeditiously. Of the other intergovernmental organizations with administrative tribunals, only the European Union provides for appellate review. Judgements of the European Union Civil Service Tribunal may be appealed to the General Court. Article 111 of the rules of procedure of the General Court states that where an action is “manifestly inadmissible or manifestly lacking any foundation in law”, the General Court may decide on an action “without taking further steps in the proceedings”.","253. Regarding the types of cases that may be dismissed on the grounds that they are manifestly inadmissible or unfounded, the Secretary-General recalls that the Appeals Tribunal ruled as early as in July 2010 that the Dispute Tribunal did not have the authority to review or revise judgements of the former United Nations Administrative Tribunal.[9] Nevertheless, to date, the Appeals Tribunal has received at least five appeals seeking revision of judgements by the Administrative Tribunal. Although these submissions may be appropriately considered to be “manifestly lacking any foundation in law”, the Appeals Tribunal has no mechanism to dismiss such cases expeditiously. Consequently, the Organization bears the costs of issuing a full judgement for each of these cases ($3,600 per judgement), in addition to the costs incurred by the Organization in preparing the responses to such appeals.","254. In order to ensure that frivolous cases can be dismissed expeditiously so that the resources of the system of administration of justice can be used more efficiently, the General Assembly may consider amending article 7.2 (h) of the statute of the Dispute Tribunal so that its rules of procedure will include a provision concerning “procedures for the summary dismissal of cases, including cases that are manifestly inadmissible or manifestly lacking any foundation in law”. The Assembly may also consider amending article 6 of the statute of the Appeals Tribunal so that its rules of procedure will include a similar provision.","255. The Secretary-General recommends that the General Assembly amend article 7.2 (h) of the statute of the United Nations Dispute Tribunal and article 6 of the statute of the United Nations Appeals Tribunal to provide for a mechanism in their rules of procedure to dismiss expeditiously cases that are manifestly inadmissible or manifestly lacking any foundation in law.","3. Audio recording of oral hearings","256. As indicated in paragraph 49 above, the Secretary-General has requested budgetary resources to permit the audio recordings of oral hearings to be maintained. While the Appeals Tribunal has ruled in one case that a party is “entitled to the record of the testimonies made at those proceedings from the relevant Dispute Tribunal Registry”,[10] such records have not always been made available to the parties upon request. In June 2011, the parties were informed that the “Registries of the Dispute Tribunal are not required under the statute and rules of procedure to make audio recordings of oral proceedings”.","257. The Secretary-General notes that, in cases where the Dispute Tribunal’s assessment of the facts is based extensively or exclusively on the oral evidence presented during the proceedings, and the Dispute Tribunal fails to provide the parties with a record of such oral evidence, the parties are unable to exercise their right to appeal in any meaningful manner. While the parties may rely on their own notes of the oral evidence, the Appeals Tribunal will be unable to make an assessment as to whether the Dispute Tribunal’s account of the oral evidence or the parties’ account is accurate if there is no objective record of that evidence.","258. In order to ensure that audio recordings of oral hearings are maintained and made available to the parties upon request, the General Assembly may consider amending article 7.2 (e) of the statute of the Dispute Tribunal so that its rules of procedure will include a provision concerning “oral hearings, including the audio recordings of oral hearings, which shall be made available to the parties upon request”.","259. The Secretary-General recommends that the General Assembly revise article 7.2 (e) of the statute of the United Nations Dispute Tribunal to provide that audio recordings of oral hearings before the Tribunal are to be maintained and made available to the parties upon request.","4. Redaction of names of staff members","260. Article 11.6 of the statute of the Dispute Tribunal provides that the “judgements of the Dispute Tribunal shall be published, while protecting personal data, and made generally available by the Registry of the Tribunal”.","261. The Secretary-General notes that in a number of cases, staff members either directly or indirectly involved in a contested decision have been identified by name by the Dispute Tribunal in the judgements. In some cases, in which the contested decision has been determined by the Dispute Tribunal to be vitiated, the actions and character of such staff members have been described by the Tribunal in intemperate terms. The identification of staff members by name and the description of their actions and characters in intemperate terms in Dispute Tribunal judgements have led some staff members to file complaints against the judges and raise concerns about defamation.","262. In view of article 11.6 of the statute of the Dispute Tribunal and the need to ensure that the names and character of staff members are not unfairly impugned in Dispute Tribunal judgements, the General Assembly may consider amending article 7.2 (f) of the statute of the Tribunal so that its rules of procedure will include a provision concerning “publication of judgements, including a procedure for the redaction of names from judgements upon the request of the individuals concerned”.","263. The Secretary-General recommends that the General Assembly amend article 7.2 (f) of the statute of the United Nations Dispute Tribunal so that its rules of procedure will include a provision concerning “publication of judgements, including a procedure for the redaction of names from judgements upon the request of the individuals concerned”.","5. Suspensory effect of appeals of interlocutory orders","264. Pursuant to article 11.3 of the statute of the Dispute Tribunal, judgements are “executable following the expiry of the time provided for appeal”. Moreover, article 7.5 of the statute of the Appeals Tribunal provides that the “filing of appeals shall have the effect of suspending the execution of the judgement contested”. Although the statutes of the two Tribunals refer only to the appeal of judgements, the Appeals Tribunal has recognized that in limited circumstances, appeals of interlocutory orders are also permissible. Therefore, it would seem appropriate for article 11.3 of the Dispute Tribunal statute and article 7.5 of the Appeals Tribunal statute to apply to appeals of interlocutory orders.","265. A lack of clarity regarding whether an appeal suspends the obligation to execute a contested interlocutory order has led the Dispute Tribunal to prohibit the appealing party from appearing before it, an outcome that was subsequently nullified by the Appeals Tribunal.[11] The authority to impose such a prohibition is now codified in the amended article 19 of the Dispute Tribunal’s rules of procedure, which allows the Tribunal to issue any order that it considers appropriate, “including a decision dismissing the application or response”, where a party fails to comply with an interlocutory order. The Secretary-General believes that the right of the Dispute Tribunal to enforce compliance with interlocutory orders must be balanced against the right of the parties to appeal interlocutory orders in good faith, particularly in cases in which the Secretary-General would otherwise be required to execute an interlocutory order issued by the Dispute Tribunal that contradicts the established jurisprudence of the Appeals Tribunal. The General Assembly may consider amending article 11.5 of the Dispute Tribunal statute and article 7.5 of the Appeals Tribunal statute to confirm that these provisions apply equally to all decisions issued by the Dispute Tribunal, whether in the form of judgements or orders.","266. The Secretary-General recommends that the General Assembly amend article 11.3 of the statute of the United Nations Dispute Tribunal to clarify that the interlocutory orders issued by the Tribunal may be subject to appeal. The Secretary-General also recommends that the Assembly amend article 7.5 of the statute of the United Nations Appeals Tribunal to clarify that appealing an interlocutory order issued by the Dispute Tribunal shall have the effect of suspending the execution of the contested order. The related provisions of the rules of procedure of the Tribunals would also need to be amended.","6. Deadlines for filing appeals with the Appeals Tribunal","267. Article 7.1 (c) of the statute of the Appeals Tribunal establishes a 45-day deadline for filing appeals.[12] There are currently no deadlines set out in the statute for appealing interlocutory orders, although in practice the Appeals Tribunal has imposed a 15-day deadline.[13]","268. In view of the limited resources of the parties and the delays encountered in transferring relevant files between duty stations, the Secretary-General considers that extending the deadline for filing appeals by an additional 15 days would facilitate a fuller briefing on the legal issues to be examined by the Appeals Tribunal. The minimal delay occasioned by extending the deadline by an additional 15 days should be weighed against the significant gains that would result from allowing for a more thorough examination of the legal issues raised in the appeals, particularly during this initial period of the Appeals Tribunal, when many fundamental issues are being examined for the first time.","269. The Secretary-General recommends that the General Assembly amend article 7.1 (c) of the statute of the United Nations Appeals Tribunal to extend the deadline for filing appeals of United Nations Dispute Tribunal judgements from 45 days to 60 days and to establish a 30-day deadline for filing appeals of interlocutory orders. The related provisions of the rules of procedure of the Appeals Tribunal would also need to be amended.","C. Jurisdiction of the United Nations Dispute Tribunal over acts and omissions by independent entities in connection with the performance of their operational mandates","270. Article 2.1 (a) of the statute of the Dispute Tribunal establishes the Tribunal’s jurisdiction over an “administrative decision that is alleged to be in non-compliance with the terms of appointment or the contract of employment”. In interpreting the term “administrative decision”, the United Nations Administrative Tribunal held that “administrative decisions are characterized by the fact that they are taken by the Administration, they are unilateral and of individual application, and they carry direct legal consequences” for the terms and conditions of employment of the staff member.[14] Elaborating on the first criterion (that administrative decisions must be taken by the Administration), the Administrative Tribunal held, in its judgement No. 1359, Perez-Soto (2007), that a decision made by the Ombudsman not to investigate a harassment complaint did not constitute an administrative decision, since any acts or omissions on the part of the Ombudsman could not be attributed to the Administration in view of the Ombudsman’s independent status.","271. The administrative tribunals of other international organizations have also recognized the basic principle that when an entity acts independently from management, the organization does not have effective control over the entity and therefore cannot be held liable for its acts or omissions. For example, there have been two separate cases in which staff members of the International Monetary Fund (IMF) and the World Bank have alleged that the staff associations of their organizations were responsible for publishing confidential personnel information and filed claims against those organizations.[15] Both the IMF Administrative Tribunal and the World Bank Administrative Tribunal dismissed those claims, ruling that the organizations could not be held liable for actions of the staff associations, which did not act “at the instruction of management or under the effective control of management”.[16]","272. The Secretary-General notes that a number of entities with an independent status have been established pursuant to General Assembly resolutions. These entities include the Ombudsman, OIOS, the Ethics Office and the Office of Administration of Justice, all of which enjoy operational independence.[17] The issue of the competence of the Dispute Tribunal over acts or omissions by these independent entities raises difficult questions, as does the possibility of holding the Secretary-General liable for acts and omissions by entities over which he has no effective control.","273. To date, the independent entities whose acts and omissions have been challenged before the Dispute Tribunal include: (a) OIOS; (b) the Ethics Office; and (c) the Office of Staff Legal Assistance:","(a) In a recent case examined by the Appeals Tribunal, a staff member challenged the content of an OIOS report and the procedures employed by the Office in conducting its audit. As at 15 August 2011, the judgement of the Appeals Tribunal in that case had not been issued. However, as indicated in a synopsis of the judgement (which was issued by the Appeals Tribunal Registry not as an official document, but for public information purposes), the Tribunal appears to recognize that, as the Secretary-General has no power to influence or interfere with OIOS, the United Nations Dispute Tribunal also has no jurisdiction to do so, as it can only review the Secretary-General’s administrative decisions;","(b) In at least three cases, staff members have filed applications with the Dispute Tribunal challenging a determination made by the Ethics Office that they were not subject to retaliation. In rejecting the argument that the General Assembly’s request that the Secretary-General create an Ethics Office with an “independent status” required the Secretary-General to respect that status, the Dispute Tribunal opined that “recommendations of the General Assembly must be given serious consideration” but are not dispositive for assessing whether the Ethics Office enjoys an independent status.[18] As the Dispute Tribunal has not yet issued a final judgement addressing the issue of whether a determination made by the Ethics Office regarding retaliation constitutes an administrative decision, the Appeals Tribunal has not yet pronounced itself on that issue;","(c) In a recent case examined by the Appeals Tribunal, a staff member challenged the alleged failure of the Office of Staff Legal Assistance to disclose a conflict of interest. The Secretary-General maintained that acts and omissions of the Office did not constitute decisions by the Administration and, as such, fell outside the scope of the jurisdiction of the Dispute Tribunal, which was limited to reviewing “administrative decisions”. In that connection, the Secretary-General noted that the IMF Administrative Tribunal and the World Bank Administrative Tribunal had rejected the argument that the respective international organizations could be held liable for the contested acts by the staff associations, since the primary purpose of staff associations was to advocate on behalf of staff interests and to “express viewpoints independent from, and sometimes in opposition to … management”.[19] This reasoning would apply with even greater force to the Office of Staff Legal Assistance, given that the adversarial nature of litigation means that the Office often expresses viewpoints in opposition to management. As at 15 August 2011, the judgement of the Appeals Tribunal in that case had not been issued. However, as indicated in a synopsis of the judgement, the Appeals Tribunal appears to have ruled that acts and omissions of the Office of Staff Legal Assistance fall within the jurisdiction of the Dispute Tribunal, as the services provided by the Office and the manner in which the representation is implemented can have an impact on the terms of appointment. The implication of holding the Secretary-General legally and financially liable for acts and omissions of the Office of Staff Legal Assistance would be that if staff members are unable to prevail in their challenges of administrative decisions taken by the Secretary-General, they may nevertheless claim compensation from the Organization if they are able to establish that the legal advice provided by the Office was somehow deficient.","274. The jurisprudence emerging from the Appeals Tribunal appears to indicate that, while the acts and omissions of certain independent entities such as OIOS may fall outside the scope of the jurisdiction of the Dispute Tribunal, the acts and omissions of other independent entities such as the Office of Staff Legal Assistance may be reviewed by the Dispute Tribunal. Furthermore, the Secretary-General notes that any guidance of the Appeals Tribunal on these issues may not necessarily be dispositive, as the Dispute Tribunal has emphasized that it will consider rules established by the Appeals Tribunal to be applicable only where they are “in conformity with general principles of law”.[20]","275. Accordingly, the Secretary-General considers that it may be helpful for the General Assembly to clarify its intent regarding the scope of the jurisdiction of the Dispute Tribunal. In that connection, the Secretary-General emphasizes that excluding the acts and omissions of independent entities from the jurisdiction of the Dispute Tribunal would not mean that staff members would be deprived of recourse where they believed that their rights had been violated by such entities.","276. First, in a situation in which the Secretary-General takes an administrative decision based on an impugned act or omission by an independent entity, the decision itself can be challenged before the Dispute Tribunal. For example, if the Ethics Office determines that a staff member engaged in retaliation and the Secretary-General decides to impose a disciplinary measure against the staff member on the basis of the determination made by the Ethics Office, the staff member could then file an application with the Dispute Tribunal challenging the Secretary-General’s imposition of the disciplinary measure and his reliance on an allegedly faulty determination by the Ethics Office. However, a determination by the Ethics Office regarding retaliation should not be subject to challenge before the Dispute Tribunal. As the independent status of the Ethics Office prevents the Secretary-General from instructing the Office how to make its determination of retaliation, the Secretary-General cannot be held liable for determinations made by the Office, even if they subsequently prove to be flawed.","277. Secondly, where a staff member challenges an act or omission by an independent entity related to the performance of its managerial functions, the extension of the jurisdiction of the Dispute Tribunal over such matters would not raise any problems in terms of the entity’s independent status. For example, an application challenging the manner in which a selection process in OIOS had been conducted would clearly fall within the Dispute Tribunal’s jurisdiction.","278. The exercise of the jurisdiction of the Dispute Tribunal over acts and omissions of independent entities is problematic only where a staff member’s claims relate to the manner in which such entities carry out their operational responsibilities. As the manner in which independent entities carry out their operational responsibilities lies outside the effective control of the Secretary-General, the Secretary-General is of the view that any acts and omissions by the independent entities in relation to their operational mandates cannot be attributed to him, and that he should not be held legally or financially liable for them. Indeed, the imposition of liability under these circumstances will not advance the goal of strengthening accountability, as the Secretary-General has no authority to influence or correct the acts and omissions by the independent entities challenged by the staff members. The General Assembly may wish to consider the appropriateness of imposing financial liability and expending the public funds of the Organization where no fault on the part of the Secretary-General has been established.","279. Should the General Assembly wish to clarify that the scope of the jurisdiction of the Dispute Tribunal over administrative decisions is limited to those decisions that have been taken by or on behalf of the Secretary-General, it may consider amending article 2.1 (a) of the Dispute Tribunal’s statute to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.","280. The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.","281. Another emerging issue is whether the Dispute Tribunal has jurisdiction over the implementation by the Secretary-General of decisions taken by governing bodies, such as the General Assembly or its subsidiary bodies. To date, staff members have filed applications with the Dispute Tribunal challenging actions taken by the Secretary-General to implement Assembly resolutions and decisions of the International Civil Service Commission (ICSC).","1. General Assembly","282. Under Article 101 of the Charter of the United Nations, “staff shall be appointed by the Secretary-General under regulations established by the General Assembly”. Pursuant to that provision, the Assembly promulgates the Staff Regulations and may modify the Staff Rules. Through its resolutions, the Assembly approves the Organization’s policies relating to human resources management.","283. In 2010, the General Assembly, in its resolution 65/248, approved the recommendations of the International Civil Service Commission on the harmonization of the conditions of service of staff of the organizations of the United Nations common system serving in non-family duty stations. The consequence of that decision was that a particular benefit, called the “personal transitional allowance”, would be discontinued. In the same resolution, the Assembly requested the Secretary-General to facilitate the immediate implementation of the recommendations of the Commission concerning the harmonization of the conditions of service in non-family duty stations. Accordingly, the Department of Field Support informed staff members serving in the field that the changes approved by the Assembly would become effective on 1 July 2011. In June 2011, the first application challenging the discontinuation of the personal transitional allowance was filed with the Dispute Tribunal. The application alleged that the discontinuation of the personal transitional allowance had an adverse impact on single women, suggesting that it constituted discrimination on the basis of gender or personal status.","284. The Charter requires the Secretary-General to implement the regulations established by the General Assembly on the administration of staff, and, as a consequence, the Secretary-General is also required to implement policies on human resources management as set out in Assembly resolutions. The United Nations Administrative Tribunal had previously held that “the Tribunal is neither the General Assembly nor the Secretary-General, and therefore it is not in a position to substitute its judgement for policy decisions on personnel matters”.[21] The legal authority of the resolutions of the General Assembly was reaffirmed in paragraph 9 of resolution 65/251, in which the Assembly stressed that “all elements of the new system of administration of justice must work in accordance with the Charter of the United Nations and the legal and regulatory framework approved by the General Assembly”.","285. However, the Dispute Tribunal has held that the Secretary-General’s obligation to comply with General Assembly resolutions cannot be invoked as a reason for declining to take a particular action when inaction would lead to a violation of human rights norms, such as the principle of equal pay for equal work. Such a ruling has been confirmed by the Appeals Tribunal.[22] In short, in cases where the Dispute Tribunal determines that the implementation of an Assembly resolution will lead to outcomes inconsistent with human rights norms, then the Secretary-General may be held legally and financially liable for complying with that resolution.","2. International Civil Service Commission","286. The International Civil Service Commission is a subsidiary body of the General Assembly, and its statute was approved by the Assembly in its resolution 3357 (XXIX). Article 6 of its statute expressly prohibits the Commission from taking any instructions from an organization that is participating in the common system and is therefore independent of the Secretary-General. Article 25 (3) of the statute provides that the decisions of the Commission “shall be applied by each organization with effect from a date to be determined by the Commission”.","287. In December 2009, the Commission decided to change the duty-station classification of Nairobi from category “C” to category “B”. The duty-station classification of Addis Ababa was also changed from category “C” to category “B”. Both of these changes took effect on 1 January 2011. The Commission’s classifications of duty stations, ranging from category “A” to category “E”, reflect the difficulty of conditions of life and work, with category “E” reserved for the most difficult duty stations. As a consequence of the reclassification of the duty stations, in Nairobi and Addis Ababa, staff members serving there receive a lower amount of hardship allowance and are entitled to home leave only once every 24 months, as opposed to once every 12 months. Staff members at both duty stations have contested the Secretary-General’s implementation of the Commission’s decision.","288. The Secretary-General is obliged to implement the Commission’s reclassification of Nairobi, in view of article 25 (3) of the Commission’s statute and staff rule 3.14, which requires the Secretary-General to determine the amount of the hardship allowance “taking into account the degree of difficulty of life and work at each duty station as per the classification of duty stations established by the International Civil Service Commission”. Moreover, the United Nations Administrative Tribunal emphasized that Commission decisions were binding on the Secretary-General. In Administrative Tribunal judgement No. 421 (Chatwani), the Tribunal ruled that “it is not for the United Nations Secretary-General or for the Secretaries-General or Directors-General of the other organizations in the common system to revise, modify or rescind a decision adopted by the Commission in accordance with its statute”.[23]","3. Clarification of the scope of the jurisdiction of the United Nations Dispute Tribunal","289. Challenges to the implementation by the Secretary-General of decisions by governing bodies, including General Assembly resolutions and decisions by the International Civil Service Commission, are still being reviewed by the Dispute Tribunal. Notably, the Appeals Tribunal has already rejected the argument, made by the Secretary-General in one case, that taking the action requested by the staff member would be contrary to a General Assembly resolution on a budgetary matter, holding that budgetary considerations “may not trump the requirement of equal treatment”.[24]","290. Even after the Dispute Tribunal and the Appeals Tribunal rule on particular cases in which the Secretary-General’s implementation of General Assembly resolutions and International Civil Service Commission decisions has been challenged, such judgements will not necessarily be dispositive for other situations, as the decisions of those governing bodies cover a broad range of issues relating to human resources management. Moreover, the Dispute Tribunal has emphasized that it will consider rules established by the Appeals Tribunal to be applicable only where they are “in conformity with general principles of law”.[25]","291. Accordingly, the Secretary-General considers that it may be helpful for the General Assembly to clarify its intent regarding the scope of the Dispute Tribunal’s jurisdiction. The Assembly may wish to consider the appropriateness of imposing financial liability and expending the public funds of the Organization where the Secretary-General has taken action to implement the decisions of governing bodies such as the Assembly and the International Civil Service Commission.","292. Should the General Assembly wish to clarify that the scope of the Dispute Tribunal’s jurisdiction would not extend to the implementation by the Secretary-General of decisions of governing bodies such as the Assembly and the Commission, it may consider amending article 2.1 (a) of the Dispute Tribunal’s Statute to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”. An action taken by the Secretary-General to implement decisions of governing bodies would not constitute an administrative decision unilaterally taken by the Secretary-General, since he does not have the latitude to act in a manner contrary to decisions by those governing bodies.","293. The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.","V. Resource requirements","294. The Secretary-General has identified various areas in the formal justice system requiring strengthening in order to fulfil the mandate that the new system be “independent, transparent, professionalized, adequately resourced and decentralized”. The requirements for the informal system are presented separately in the report of the United Nations Ombudsman. For all of the reasons set out above, the Secretary-General recommends that the General Assembly consider enhancing the formal justice system with the following post and non-post resources, besides those requested in the proposed programme budget for the biennium 2012-2013 (A/66/6):","(a) With respect to the Management Evaluation Unit, for the reasons set out in paragraphs 19 and 20 above, the Secretary-General recommends that the Assembly establish an additional post of Legal Officer (P-3) to support the work of the Unit;","(b) With respect to the Dispute Tribunal and its Registries, for the reasons set out in paragraphs 42-44 above, the Secretary-General recommends that the Assembly appoint three additional full-time judges (one each in Geneva, Nairobi and New York) to the Tribunal, reclassify one P-2 Legal Officer post in the Registry in New York as a P-3 post and establish six new posts (3 P-3, 2 General Service (Other level) and 1 General Service (Local level)) to support the additional full-time judges, effective 1 January 2012. The aforementioned capacity was initially approved by the Assembly in its resolution 63/253 for a period of one year effective 1 July 2009 and extended until 31 December 2011 by resolution 65/251, and funded through the use of the limited budgetary discretion granted to the Secretary-General in resolution 60/283 and extended in resolution 64/260. The present proposal is aimed at regularizing the temporary capacity available to the Dispute Tribunal, as set out above;","(c) With respect to non-post resources for the Dispute Tribunal, for the reasons set out in paragraphs 49-51 above, the Secretary-General recommends that the Assembly approve the resources for communications ($25,000) and travel ($155,000);","(d) With respect to the Registry of the Appeals Tribunal, the Secretary-General recommends, for the reasons set out in paragraphs 71-78 above, that it be strengthened with one Legal Officer (P-4), effective 1 January 2012, as well as additional resources for travel ($280,200) to facilitate a third annual session of the Tribunal and for increased travel privileges of the Tribunal’s judges;","(e) With respect to the Office of Staff Legal Assistance, for the reasons set out in paragraphs 83-92 above, the Secretary-General recommends that it be strengthened with four posts (1 P-4 and 1 General Service (Local level) in Nairobi, 1 P-4 in New York and 1 General Service (Other level) in Geneva), effective 1 January 2012. The Secretary-General also recommends that the P-3 position established by resolution 65/251, effective 1 January 2011, currently funded from the support account for peacekeeping operations until 31 December 2011, be continued until 31 December 2012. In addition, the Secretary-General requests resources for communications ($11,200), travel ($15,000) and supplies ($9,000);","(f) With respect to the Office of the Executive Director of the Office of Administration of Justice, for the reasons set out in paragraphs 101-108 above, the Secretary-General recommends that the Assembly authorize general temporary assistance ($130,000) for remuneration for the external members of the Internal Justice Council and to provide for the replacement of staff during extended sick and maternity leave. In addition, the Secretary-General recommends that the Assembly approve the resources for travel ($30,000), contractual services ($37,500) and the acquisition of software packages ($37,500);","(g) With respect to Secretariat offices representing the Secretary-General before the Dispute Tribunal, for the reasons set out in paragraphs 115-156 above, the Secretary-General recommends that the Assembly approve 11 new posts (5 P-4, 3 P‑3, 1 General Service (Other level) and 2 General Service (Local Level)), effective 1 January 2012. These include five posts (2 P-4 and 3 P-3) in the Office of Human Resources Management, two posts (1 P-4 and 1 General Service (Other level)) in the United Nations Office at Geneva, two posts (1 P-4 and 1 General Service (Local level)) in the United Nations Office at Nairobi and two posts (1 P-4 and 1 General Service (Local level)) in the Economic and Social Commission for Asia and the Pacific. The Secretary-General, for the reasons set out in paragraphs 153-156 above, recommends that the Assembly approve the resources ($60,000) for travel to conduct outreach missions and for travel to Tribunal hearings at other duty stations;","(h) With respect to the Office of Legal Affairs, for the reasons set out in paragraphs 172-186 above, the Secretary-General recommends that the Assembly establish three posts (2 P-4 and 1 P-3) in the General Legal Division, effective 1 January 2012.","295. Accordingly, should the General Assembly agree with the above proposals, additional resource requirements in the amount of $8,657,900 (before recosting) would be considered in accordance with the provisions governing the contingency fund in accordance with the terms of Assembly resolutions 41/213 and 42/211. In this regard, it is recalled that the Assembly, in its resolution 65/262, approved a contingency fund for the biennium 2012-2013 in the amount of $40.5 million.","296. All new posts reflected in the present report are proposed to be established as from 1 January 2012. Given that the Advisory Committee on Administrative and Budgetary Questions, in paragraph 20 of its first report on the proposed programme budget for the biennium 2008-2009 (A/62/7) recommended that information on the delayed impact of posts be reflected in any new proposals, the Assembly may wish to note that the additional requirements for the full costing of the proposed 26 new posts in the biennium 2014-2015 are currently estimated at $3,356,400 under section 1, Overall policymaking, direction and coordination, $1,072,200; section 8, Legal affairs, $432,200; section 19, Economic and social development in Asia and the Pacific, $173,500; section 29A, Office of the Under-Secretary-General for Management, $126,200; section 29C, Office of Human Resources Management, $684,600; section 29E, Administration, Geneva, $234,500; section 29G, Administration, Nairobi, $168,300; and section 37, Staff assessment, $464,900, to be offset by an equivalent amount under income section 1, Income from staff assessment.","VI. Conclusions and actions to be taken by the General Assembly","297. The Secretary-General considers that the recommendations contained in the present report will provide necessary additional strength to the new internal justice system, which already enjoys the confidence of both staff and management. He requests the General Assembly to give due consideration to these proposals and to approve the resources necessary to strengthen its implementation.","298. Accordingly, the General Assembly is requested to:","(a) Approve the establishment of 26 new posts (10 P-4, 8 P-3, 4 General Service (Other level) and 4 General Service (Local level)), effective 1 January 2012, under the proposed programme budget for the biennium 2012-2013;","(b) Approve the reclassification of one P-2 post as a P-3 post, effective 1 January 2012, under the proposed programme budget for the biennium 2012-2013;","(c) Appropriate a total amount of $8,657,900 (before recosting) under the programme budget for the biennium 2012-2013, comprising increases under section 1, Overall policymaking, direction and coordination ($3,889,700); section 8, Legal affairs ($559,700); section 19, Economic and social development in Asia and the Pacific ($388,400); section 29A, Office of the Under-Secretary-General for Management ($164,300); section 29C, Office of Human Resources Management ($948,300); section 29D, Office of Central Support Services ($832,700); section 29E, Administration, Geneva ($636,600); and section 29G, Administration, Nairobi ($577,200), and an increase under section 37, Staff assessment ($661,000), to be offset by a corresponding amount under income section 1, Income from staff assessment. The provision would represent a charge against the contingency fund;","(d) Approve the continuation of a P-3 position in Nairobi, effective 1 January 2012, for an additional one year, to be funded from the budget for the support account for peacekeeping operations, and the related costs to be reported in the context of the performance report relating to the support account for peacekeeping operations for the period from 1 July 2011 to 30 June 2012 and reflected in the budget proposals for the period from 1 July 2012 to 30 June 2013.","Annex I","Proposals for staff-funded mechanisms to fund the Office of Staff Legal Assistance","Staff funding mechanism for the Office of Staff Legal Assistance: concept paper","I. Introduction","1. The present concept paper presents various staff funded mechanisms for supporting the Office of Staff Legal Assistance (OSLA) of the Office of Administration of Justice (OAJ), as requested by the General Assembly in paragraphs 40 and 41 of its resolution 65/251. The concept paper addresses the Assembly’s request for the submission of proposals based on both mandatory and voluntary contribution models.","2. There are elements common to both the mandatory and the voluntary options presented in the present paper. Specifically, the General Assembly would continue to determine the staffing table of the Office of Staff Legal Assistance and its other financial needs upon the consideration of budgetary proposals by the Secretary-General. In addition, the Secretary-General notes that any decisions regarding the staffing requirements of the Office must take into account any decision taken by the Assembly regarding the mandate and functioning of the Office. The Office posts created pursuant to resolution 63/253 would continue to be funded through the regular budget. The staff funding mechanisms proposed would serve to offset some of the costs of enhancements to the Office’s current staffing table as proposed by the Secretary-General. The final common element is that the proposed contributions from staff, either mandatory or voluntary, would be deducted monthly through payroll.","3. Specifically, regarding the mandatory option, it bears noting that, as the General Assembly established the Office of Staff Legal Assistance as part of the Organization’s internal system of administration of justice, the expenses associated with its operation constitute expenses of the Organization. Pursuant to Article 17, paragraph 2, of the Charter of the United Nations, “expenses of the Organization shall be borne by the Members as apportioned by the General Assembly”. The intention of this paragraph, to require the Member States to bear the expenses of the Organization, is clear from the legislative history of this provision.[26]","4. Accordingly, requiring staff members to bear part of the costs of an “expense” of the Organization, which, under the Charter is to be borne by the Member States, raises legal concerns. Introducing staff-funded schemes for activities of the Organization mandated by the Assembly raises the possibility that in future, other “expenses” of the Organization that might be seen to benefit staff would be underwritten in whole or in part through a levy on staff members.","II. Mandatory mechanisms for staff funding of the Office of Staff Legal Assistance","5. There are three possible mandatory models for a staff funding mechanism for the Office of Staff Legal Assistance: (a) a universal model under which all staff members would contribute a percentage of salary; (b) a model under which only the staff actually using services of the Office would be charged a fee for their use; and (c) a model under which a percentage of dues collected by staff unions and associations would be used to fund activities of the Office. All three models are discussed below.","6. As at 30 June 2010, the population of staff members of the Secretariat and the funds and programmes comprised approximately 45,000 General Service staff members, approximately 30,000 Professional and Field Service staff members, and approximately 1,525 staff members at the Director level and above who have access to the system of administration of justice (see A/65/350 and CEB/2010/HLCM/HR/24).","A. Universal mandatory model","7. Under a universal mandatory model, a fee would be assessed against each staff member. An important consideration for assessing any fee against staff is that salary scales, in particular local salary scales, differ greatly from duty station to duty station. Thus, any fee assessed would need to reflect the various salary scales to ensure that it was equitable and proportionate to the actual salary of each staff member. One possibility would be to assess a percentage of the salary of each staff member having access to the system of administration of justice (for example, .001 per cent). Alternatively, the amount of the fee could be fixed, but dependent upon a determination of the level, grade and duty station of the staff member. The fee would be deducted monthly by payroll.","8. Staff contributions collected would be used to offset some of the expenses of posts other than those currently reflected in the Office of Staff Legal Assistance staffing table established pursuant to General Assembly resolution 63/253 (1 P-5, 5 P-3, 1 P-2 and 3 General Service posts).","9. There are several benefits associated with this model. Principally, with a large staff population, even de minimus individual contributions would result in a significant amount of money to fund the Office. Equally, a universal and mandatory scheme would be the most consistent and stable source of revenue.","10. However, there are also concerns with respect to a mandatory scheme. The first is that, generally, a very small percentage of staff members are expected to avail themselves of the services of the Office. Currently, the percentage of staff who are filing complaints in the formal system is less than 1 per cent. Therefore, approximately 99 per cent of staff would help to pay for services used by less than 1 per cent. This raises concerns as to the fairness of imposing a general levy in the form of a universal mandatory scheme.","11. Another concern relates to the fact that, pursuant to jurisprudence of the United Nations Dispute Tribunal,[27] the Office may decline to provide assistance in a case when it determines that the case lacks legal merit or has sufficiently little possibility of success before the Tribunals. This jurisprudence accords with the generally accepted principle that an officer of the court may not bring before a court a case that he or she does not believe in good faith to have legal merit. Additionally, organizational resources should not be squandered on matters with little or no likelihood of having a positive outcome. However, if a mandatory levy is imposed on all staff, individual staff members may feel that they have a right to representation by the Office of Staff Legal Assistance, irrespective of whether their cases have legal merit or a reasonable likelihood of success. There is a risk, therefore, that if a staff member is denied services despite having paid a levy, he or she might make a complaint or even formally appeal the decision, with additional and possibly significant cost implications for the Organization.","12. This scenario might occur under either a mandatory or a voluntary scheme, as, theoretically, any staff member making a contribution, either mandatory or voluntary, might argue that the payment creates an entitlement to services.","13. Finally, staff members mandated to contribute to the services of an Office established by the General Assembly may consider this a violation of their terms of appointment and conditions of service and appeal it. If a staff member succeeds with such a claim, the Organization will be obliged to reimburse the staff contributions, possibly with additional compensatory payments, at a later stage, to all staff members, with interest.","B. Mandatory assessment for users of services of the Office of Staff Legal Assistance","14. A second possible mandatory staff-funding option would be to mandate that only those staff members who avail themselves of the services of the Office of Staff Legal Assistance would be required to make a contribution. This model would address the concern that staff members who do not avail themselves of the services of the Office would not be required to bear the costs of its funding.","15. If this option is accepted, the required contribution would need to be determined. A fixed contribution would be, essentially, the assessment of a fee for the use of the Office. Other modalities could be contemplated, such as requiring successful applicants to donate a percentage of any compensation awarded.","16. However, because the number of staff members making use of the services of the Office constitutes a very small percentage of the total staff population (approximately 1,000 staff members per year seek the services of the Office), the fee assessed against individual users would need to be higher than the de minimus contribution considered under the universal mandatory model. For example, the annual cost of a P-4 post in Geneva is $227,300. Thus, in order to fully fund a single P-4 post for the Office of Staff Legal Assistance in Geneva, the fee assessed against users of the Office would have to be $227.30 per user. If it were determined that the scheme should only offset a percentage of the costs associated with additional Office posts, the fixed fee would be larger or smaller, depending on the number of posts and the percentage to be offset.","17. Notably, the concern that staff members who have made a mandatory contribution would demand continued legal services and complain or even appeal if the Office declined to represent them, as mentioned above in relation to the universal contribution model, would also apply to this model. However, it could be mitigated if the fee charged to the staff member varied according to the range of services provided to the staff member by the Office. For example, staff members could be charged a fee of $300 for the negotiation and settlement of their case by the Office, but incur a fee of only $50 for telephone advice from the Office.","C. Mandatory assessment against dues collected by staff unions and associations","18. A third possible mandatory model would be one under which staff associations and staff unions would be required to contribute a portion of the staff dues remitted to them to support the Office of Staff Legal Assistance.","19. The remit of staff unions and associations is to promote and safeguard the rights and interests of staff. Thus, requiring a portion of the dues collected to be contributed to the Office would be analogous to imposing a mandate that staff unions and associations provide, at their expense, some form of legal insurance for the staff whom they represent.","20. Concerns regarding the imposition of a mandatory deduction from unions’ financial resources would be similar to those regarding the imposition of a mandatory deduction on individual staff members.","21. Currently, United Nations staff unions and associations may not impose a mandatory dues levy on the staff whom they represent. Accordingly, there are great disparities among individual unions and associations in terms of their financial resources. Several possibilities exist for determining the fee to be paid. One would be to assess a percentage of assessed dues against each staff union or association. Another would be to base the fee on the number of staff represented. A third option would be to assess a fixed amount against all unions and associations. The amount of funds that could be generated under the first two models to offset Office costs would depend on a number of factors (the amount of dues collected under the first model, and the number of staff represented and the amount assessed per person under the second). Under the third model, for example, an assessed contribution of $20,000 per staff union/association (there are 14 unions) would net $280,000 annually. There is a concern, however, that individual unions and associations, in particular those who are not well funded, might complain that the imposition of a levy would impede their ability to provide basic services to their members.","III. Voluntary mechanisms for staff funding of the Office of Staff Legal Assistance","22. There are two possible models for establishing a staff funding mechanism based on voluntary contributions. One would be a system under which a fixed percentage of a staff member’s salary would be automatically deducted to support the services provided by the Office of Staff Legal Assistance, but the staff member could elect to opt out of the system. The second would permit staff members to choose the option of contributing a fixed percentage of their salary.","23. Both voluntary models offer the advantage that contributions are made at the consent (express or implied) of participating staff members. However, the amount of revenue that a voluntary model would generate would depend on the number of staff deciding to make contributions, and is therefore difficult to estimate without the actual experience of several annual cycles of contributions that can be assessed as a benchmark.","24. Under both models, it would be necessary to provide staff members with some form of incentive to participate in the scheme. One possible means of encouraging participation would be for the Office to prioritize the cases of staff opting into the scheme and, should it have too many cases to handle effectively at any given time, to decline to provide assistance to a staff member opting out of the voluntary funding scheme.","25. Another way to encourage participation would be to create two levels of Office of Staff Legal Assistance services. Staff participating in the voluntary staff funding mechanism would have access to all Office services. Staff not making voluntary contributions would have access to only basic Office services, namely, summary legal guidance/advice on the operative law and limited review of any document or pleading that the staff member has drafted in support of his or her case. In this connection, an additional incentive for participation in the voluntary scheme could be the addition of the user-pays concept under the mandatory scheme: staff members who did not opt into or have opted out of the voluntary scheme may be obliged to pay for the use of the Office.","26. As with the mandatory model, there is a possibility that complaints and appeals could arise should the Office decline to take the case of a contributing staff member when it concludes that there is little or no chance of a successful outcome. However, these concerns can be mitigated by making it clear to staff members that the Office’s decision to provide legal assistance would take into account the merits of their claim.","27. Furthermore, voluntary schemes raise additional questions about contribution thresholds required for the provision of enhanced services. For example, if staff members could opt into the payment of the fixed contribution immediately before they desired the services of the Office and could then opt out as soon as they had received those services, the revenues would be minimal. One solution to this problem would be to allow changes to a staff member’s opt-in/opt-out status only, for example, once a year.","IV. Conclusions","28. All models presented above require further consideration before implementation. As discussed above, there are legal concerns relating to the imposition of mandatory models.","29. In addition, there are competing interests of fairness and revenue generation that must be addressed. Mandatory models, if determined to be acceptable, offer a greater likelihood of producing appreciable revenue with which to offset the costs of additional Office resources. However, the amount of revenue that would be generated, even under mandatory models, would depend on the number of paying individuals or entities and the amount or percentage assessed.","30. “User-pays” and voluntary models are likely to be viewed as more fair, as they do not impose costs, even nominal ones, on those who do not use the services of the Office or see no value in contributing in the event that they might use them in the future. This concern is particularly salient, given that 99 per cent of staff members have not been making use, and are not expected to make use, of the Office’s services. However, it is more difficult to predict the amount of revenue that would be generated by any voluntary mechanism. Under a “user-pays” model, the issue would arise as to how to ensure that a contribution would be equitable yet sufficient without excessively decreasing the use of the Office. Therefore, further consideration would be required in order to strike an appropriate balance between making the services of the Office generally available and generating revenue.","V. Recommendation","31. The Secretary-General recommends that the General Assembly take note of this presentation of proposals for mandatory or mixed-funding schemes, and indicate which specific model, if any, it considers to be suitable to serve as the basis for a more detailed proposal from the Secretariat to be submitted for its consideration.","Annex II","Proposal for recourse mechanisms for non-staff personnel","Outline of Rules for Expedited Arbitration Procedures under United Nations contracts with consultants and individual contractors: concept paper","I. Introduction","1. The present concept paper[28] presents possible means of establishing expedited arbitration procedures for the resolution of disputes between the United Nations and certain categories of non-staff personnel, i.e., consultants and individual contractors, by incorporating streamlined elements into the Arbitration Rules of the United Nations Commission on International Trade Law (UNCITRAL). This approach was generally alluded to in the report of the Secretary-General on administration of justice at the United Nations (A/65/373 and Corr.1, para. 171). The concept paper does not purport to address the other possible approaches to the resolution of disputes with non-staff personnel referred to in paragraph 9 of General Assembly resolution 64/233, or suggest means of resolving disputes with categories of non-staff personnel not covered by the procedures discussed herein (see General Assembly resolution 65/251, para. 55).","2. The approach set out in paragraph 171 of the Secretary-General’s report was raised in the context of arbitrations under the auspices of local, national or regional arbitration associations for claims amounting to less than $25,000. However, the report concluded that “initiating a formal arbitration even under special procedures, for claims valued at $25,000 or less, would not necessarily be efficient or effective for the Organization” (A/65/373 and Corr.1, para. 172). Thus, the expedited procedures outlined below do not presuppose a financial limitation.","3. The procedures set out in the present concept paper could be used for ad hoc arbitrations and for arbitrations under the auspices of an arbitration association, if the association agreed to administer arbitrations under the procedures.","4. In simplifying arbitration procedures, it must be borne in mind that, pursuant to article VIII, section 29, of the Convention on the Privileges and Immunities of the United Nations, the United Nations must provide an appropriate mode of settlement of disputes arising out of its contracts. Thus, procedures set out in the present concept paper seek to preserve essential features of due process.","5. The following are the essential features of the procedures set out in the present concept paper:","• A two-stage process, consisting of an informal dispute resolution phase and an expedited arbitral proceeding in case the informal dispute resolution phase fails","• Non-waivable time limits for filing arbitration claims","• Sole arbitrator","• Arbitrator to be chosen from a roster of arbitrators agreed upon by the Organization and the individual contractors/consultants (see para. 7 (d) below)","• Limitation of arbitrator’s fees","• Elimination of an appointing authority, but exercise of certain functions of an appointing authority (e.g., selecting/appointing the arbitrator, deciding on a party’s challenge to an arbitrator) by a neutral entity","– The neutral entity could be an international dispute settlement institution (in which case both the Organization and the claimants would have to bear their respective share of the institution’s administrative fees)","• Transmittal of arbitration notices and other communications by electronic means, whenever feasible","• Use of standard templates for the parties’ submissions","• Simplification and limitation of the number of pleadings and other submissions","• Restrictions on the amendment of pleadings and submissions","• Testimony of witnesses to be by written affidavit, unless the arbitrator decides that the testimony of a witness should be given orally (e.g., to enable the opposing party to cross-examine the witness)","• Conferences and consultations among the arbitrator and parties on preliminary administrative and other matters to be by teleconference or videoconference","• Exceptionally, a party may request a hearing to cross-examine a witness, or the arbitrator may order a hearing if necessary to resolve a substantial issue of fact or law; such hearings normally to be by teleconference or videoconference, to be restricted in scope, and not to exceed two days","• In most cases, arbitrator’s award to be based on the parties’ written pleadings and submissions (documents-only process)","• Arbitrator to issue the award within a specified time frame, e.g., 30 days","• Any compensation awarded to be limited to economic loss and subject to a cap","• Depending on the number of arbitrations that will be initiated against the Organization under the proposed simplified arbitration procedures, additional resources may be required to defend the Organization and minimize its legal liability.","II. Framework","6. A new set of rules, called the Rules for Expedited Arbitration Procedures under United Nations Consultancy Contracts (hereinafter the “Expedited Rules”), would be prepared, using the UNCITRAL Arbitration Rules as a framework. The Expedited Rules would be based on the provisions of the UNCITRAL Arbitration Rules, modified as necessary to incorporate the expedited procedures discussed herein. The present concept paper indicates the substance (although not necessarily the wording or placement) of such modifications. It also indicates the provisions of the UNCITRAL Arbitration Rules that are relevant to or would be affected by the proposed procedures. It should be noted that, in addition to the points contained in this concept paper, various other consequential changes to the UNCITRAL Arbitration Rules would be needed (for example, to account for the fact that there would be only one arbitrator).","Overview of the dispute resolution process","7. The Expedited Rules contemplate a two-stage process, consisting of an informal dispute resolution phase and an expedited arbitration proceeding. In the event that the informal dispute resolution phase fails, the parties could proceed to the formal dispute resolution phase, i.e., an expedited arbitration proceeding whose key features are discussed in the following sections.","III. Scope of Expedited Rules (affected article of the UNCITRAL Arbitration Rules: article 1)","8. The Expedited Rules would apply to consultants and other individuals engaged by the United Nations under a contract for the services of a consultant or individual contractor (see ST/AI/1999/7/Amend.1, annex), or under analogous contract forms used by United Nations funds and programmes to contract with consultants and individual contractors (see, e.g., A/62/748 and Corr.1, para. 13 and A/65/373 and Corr.1, annex IV, para. 3). These categories of personnel are collectively referred to in the present concept paper as “individual contractors”.","Comments","(a) Under this approach, the Expedited Rules would apply to all individuals engaged pursuant to contracts for the services of a consultant or individual contractor, or analogous contracts. This includes, for example, those experts on mission and workers who are issued such contracts (see A/62/748 and Corr.1, paras. 33 and 40, and A/62/782, paras. 31-35 and 37-39), but not United Nations Volunteers (see A/62/748 and Corr.1, paras. 23 and 24, and A/62/782, paras. 22 and 23), officials other than Secretariat officials (see A/62/748 and Corr.1, paras. 29-31, and A/62/782, paras. 27-29) or other individuals who do not hold such contracts.","(b) The dispute settlement clause in contracts with individual contractors would be changed to provide that disputes not resolved amicably at the informal dispute resolution phase shall be submitted to arbitration in accordance with the Expedited Rules.","(c) The Expedited Rules would set out the specific types of contractual claims to which they would apply, e.g., claims alleging a breach of contract or the improper termination thereof. In addition, the Rules would expressly exclude certain categories of disputes from the scope of the subject-matter jurisdiction, such as claims that a contractor should be accorded the status of a staff member. With respect to the appendix D provision, the arbitrator’s role would be limited to verifying that the process accorded the claimant for determining his or her right to equivalent compensation was the one provided for under appendix D to the Staff Rules of the United Nations. In addition, the Expedited Rules would establish non-waivable time limits for filing claims.","(d) Since, in contrast to the UNCITRAL Arbitration Rules, the Expedited Rules would not necessarily be familiar or readily available to individual contractors or consultants, the Expedited Rules should either be attached to each contract (including the name of the entity from which individual contractors or consultants can obtain the current list of arbitrators) or provided to each individual contractor or consultant prior to contract signature. The individual contractor or consultant must sign an acknowledgement that (i) he or she has been provided with the Expedited Rules, (ii) the Expedited Rules form an integral part of the contract and (iii) the list of arbitrators is acceptable to him or her.","IV. Notices and other communications (affected article of the UNCITRAL Arbitration Rules: article 2)","9. The parties and the arbitrator shall transmit any notice, communication or proposal under the Expedited Rules by electronic means, unless such a mode of transmission is not available or possible for technical reasons. [Comment: These might include, for example, the non-availability or malfunctioning of electronic means of transmission, the bulkiness of a pleading or submission, etc.]","V. Pleadings and other submissions (affected articles of the UNCITRAL Arbitration Rules: articles 3, 4, 20, 21, 22, 23 (2), 24 and 25)","Preliminary comment","Under the following provisions, the respondent would not be required to submit its statement of defence until after the arbitrator had been appointed. The reason for this is that the respondent might wish to raise a plea as to the jurisdiction of the arbitrator (e.g., that the dispute is not arbitrable under the arbitration clause asserted by the claimant or that for some other reason the arbitrator lacks jurisdiction) or request an early dismissal of the claim because the claim is manifestly without legal merit. The respondent should not have to present its full statement of defence and accompanying documents until an arbitrator rules on the issue of jurisdiction or on the respondent’s challenge on the merits.","10. The claimant initiates arbitration proceedings by issuing a request for arbitration and statement of claim. This pleading would contain information analogous to that provided under the UNCITRAL Arbitration Rules for the notice of arbitration and the statement of claim. In it, the claimant would describe the claim and summarize the grounds and arguments supporting it.","11. Within 60 days after receiving the claimant’s request for arbitration and statement of claim, the respondent must issue a response to the request for arbitration. The response should include a plea as to jurisdiction and should address other matters, such as the identification of each respondent and a response to information set out in the claimant’s request for arbitration. Standard templates should be used for the parties’ submissions.","12. If the respondent raises a plea as to jurisdiction, it shall include in its response to the request for arbitration all facts and arguments that it wishes to present in support of the plea and, as far as possible, attach to its response all documents relied upon or provide references to them.","13. If the respondent raises a plea for early dismissal of the claim because the claim is manifestly without legal merit, it shall include in its response to the request for arbitration all facts and arguments that it wishes to present in support of the plea and, as far as possible, attach to its response all documents relied upon or provide references to them.","14. After the appointment of the arbitrator:","(a) If the respondent has raised a plea as to jurisdiction, the arbitrator shall, after consulting with the parties, establish a time limit within which the claimant must submit any response to the plea. The arbitrator then rules on the respondent’s plea as to jurisdiction [comment: there would be no hearing — see section XIII below] and, if the arbitrator rules that jurisdiction exists, establishes the time limit within which the respondent must issue a statement of defence;","(b) If the respondent has raised a plea for early dismissal of the claim because the claim is manifestly without legal merit, the arbitrator shall, after consulting the parties, establish a time limit within which the claimant must submit any response to the plea. The arbitrator then rules on the respondent’s plea to dismiss the claim because it is manifestly without legal merit [comment: there would be no hearing — see section XIII below] and, if the arbitrator nevertheless upholds the claim, establishes the time limit within which the respondent must issue a statement of defence;","(c) If the respondent has not raised a plea as to jurisdiction or for early dismissal of the claim because the claim is manifestly without legal merit, the arbitrator establishes the time limit within which the respondent must issue a statement of defence.","15. The statement of defence would contain information analogous to that provided under the UNCITRAL Arbitration Rules for the statement of defence. In it, the respondent would reply to the particulars set out in the statement of claim, and may include a counterclaim or set-off and raise a plea as to jurisdiction, unless such a plea has previously been raised. The statement of defence should, as far as possible, be accompanied by all documents or other evidence relied upon by the respondent, or contain references to them.","VI. Extensions or abridgements of time limits (affected article of the UNCITRAL Arbitration Rules: article 17 (2))","16. Any time limits established by the Expedited Rules or agreed by the parties may, at any time, be extended or abridged if the parties so agree, or if the arbitrator so decides after inviting the parties to express their views.","VII. Amendment of a pleading (affected article of the UNCITRAL Arbitration Rules: article 22)","17. After an arbitrator has been selected and accepts appointment, a party may not amend its pleading unless the opposing party agrees or the arbitrator allows the party to amend its pleading. A request to the arbitrator to amend a pleading shall be accompanied by the text of the proposed amendment, and the reasons and justification for the amendment. In deciding whether to allow an amendment, the arbitrator shall consider whether the interests served by allowing it are outweighed by any delay in the proceedings, prejudice to the opposing party or any other circumstance. In allowing an amendment to a pleading, the arbitrator shall establish a deadline within which the opposing party may respond to the amendment. If a pleading is amended, the opposing party may respond solely to the amendment.","VIII. Additional submissions (affected article of the UNCITRAL Arbitration Rules: article 24)","18. After consulting with the parties, the arbitrator shall establish a deadline within which each party may make one additional submission of facts, legal arguments or documents. Such submissions shall be in writing. After this deadline, no further submissions shall be permitted. Notwithstanding the foregoing, a party shall not be allowed to present in its additional submission a fact or document that was or should have been known to, or that was available to, the party seeking to submit it at the time of submission of its pleading or additional submission.","IX. Discovery (affected article of the UNCITRAL Arbitration Rules: article 27 (3))","19. At the request of a party or upon the arbitrator’s own initiative, the arbitrator may order the production of evidence for either party at any time and may require any person to disclose any document or provide any information that appears to the arbitrator to be necessary for a fair and expeditious disposal of the proceedings. However, the arbitrator shall not order the production or disclosure of any evidence, document or information that is confidential or protected by privilege.","20. A party wishing to submit non-privileged or non-confidential evidence that is in the possession of the opposing party or of any other entity may request the arbitrator to order the production of the evidence.","21. The arbitrator may, at the request of either party, impose measures to preserve the confidentiality of evidence, where warranted by security interests or other exceptional circumstances.","Comment","These provisions are based on article 18 of the rules of procedure of the United Nations Dispute Tribunal.","X. Witness testimony (affected article of the UNCITRAL Arbitration Rules: article 27 (2))","22. The statement or testimony of any witnesses, including any individual claimant or respondent, shall be made by the witness in a written and sworn affidavit, which shall be notarized or otherwise legally authenticated, unless the arbitrator decides that the interests of justice necessitate that the testimony be given at a hearing.","Comment","See section XIII below, regarding hearings. Subject to certain exceptions, the hearing would be by teleconference or videoconference. The written witness statement would have to be submitted as part of the party’s pleading or additional submission (see section VIII above).","XI. Appointing authority (affected article of the UNCITRAL Arbitration Rules: article 6)","23. There would be no appointing authority.","24. However, certain functions of the appointing authority would remain necessary, e.g., with regard to the selection or appointment of arbitrators, challenges of arbitrators, etc. These could be performed by a neutral entity.","25. The neutral entity could be an international dispute settlement institution to be selected through a competitive procurement exercise.","26. The benefits of having an international dispute settlement institution as the neutral entity are the following: (a) such an institution would provide access to existing expertise in administering all aspects of arbitration proceedings; (b) such an institution, selected through a competitive procurement exercise, would reflect the commercial nature of the underlying contract; and (c) having an outside institution administer the arbitration would de-link the neutral entity from the Organization and eliminate any perception of partiality. However, both the claimants and the respondent would have to bear their respective share of the institution’s administrative fees.","XII. Arbitrator (affected articles of the UNCITRAL Arbitration Rules: articles 7-15)","27. Number and appointment (affected articles of the UNCITRAL Arbitration Rules: articles 7-10):","(a) There would be a sole arbitrator;","(b) The neutral entity discussed in section XI above would establish and maintain a roster of potential arbitrators;","(c) As a condition for being included in the roster, the arbitrator would be required to sign a document confirming that it agrees, if appointed as arbitrator in a case, to conduct the arbitration in accordance with the Expedited Rules, and agrees also to the limitation of the arbitrator’s fees (see section XVI below);","(d) Appointment of the arbitrator: the neutral entity discussed in section XI above would select an arbitrator from the aforementioned roster of potential arbitrators. To make the process more predictable, a list procedure could be used, whereby the parties would pick their top choices from a list of several candidates, which would be communicated to each of them separately and in confidence by the neutral entity.","28. Challenge to the arbitrator (affected articles of the UNCITRAL Arbitration Rules: articles 11-15): the Expedited Rules would retain provisions in the UNCITRAL Arbitration Rules regarding challenge of the arbitrator, but provide that, if the parties do not agree on the challenge or if the arbitrator does not withdraw voluntarily, a decision on the challenge shall be made by the neutral entity referred to in section XI above. The parties’ agreement on a challenge or the arbitrator’s decision to step down would be dispositive and would automatically trigger a new selection process.","XIII. Arbitral proceedings (affected articles of the UNCITRAL Arbitration Rules: articles 17, 27 (2), 28, 29 and 31)","29. The proceedings shall be conducted on the basis of the written pleadings and submissions of the parties, except as provided below.","30. All conferences and consultations among the arbitrator and parties on administrative and other matters preliminary to the proceedings on the merits of the case shall be generally conducted by e-mail or teleconference.","31. There shall be no hearings on a plea as to jurisdiction or on a plea for early dismissal of a claim because the claim is manifestly without legal merit. The arbitrator shall decide such pleas on the basis of the written submissions of the parties.","32. There shall be no hearings on the merits of the case for the presentation of evidence, testimony or oral argument, unless (a) a party requests a hearing in order to cross-examine a witness, or (b) the arbitrator decides that there is a substantial issue of fact or law that can be fairly and justly resolved only with a hearing. Any hearing shall be limited to the cross-examination of the witness or such issue of fact or law. Such hearings shall be by teleconference or videoconference, except where the arbitrator decides, in exceptional circumstances, that an issue of fact can be resolved only with an in-person hearing. Any such hearing(s) should not exceed two days.","33. Article 29 of the UNCITRAL Arbitration Rules (which provides for the arbitral tribunal to appoint its own independent experts) would be deleted.","XIV. Applicable law (affected article of the UNCITRAL Arbitration Rules: article 35 (1))","34. The Expedited Rules would provide that, unless otherwise agreed by the parties, the decisions of the arbitral tribunal shall be based on the express contractual terms, including any general terms and conditions referred to therein. Neither the Staff Regulations and Rules of the United Nations nor national laws will apply to the dispute.","XV. The award (affected articles of the UNCITRAL Arbitration Rules: articles 33 and 34)","35. The arbitrator shall have no authority to award punitive damages, or to decide as amiable compositeur or ex aequo et bono. In addition, unless otherwise expressly provided in the contract, the arbitrator shall have no authority to award interest in excess of the London Inter-Bank Offered Rate (“LIBOR”) then prevailing, and any such interest shall be simple interest only. The parties shall be bound by any arbitration award rendered as a result of such arbitration as the final adjudication of any such dispute, controversy or claim.","Comment","These provisions have been taken from the arbitration clause in the United Nations General Conditions of Contract.","36. The arbitrator shall issue the award within 30 days after the closure of the proceedings. Any compensation to be awarded shall be limited to economic loss and shall be subject to a cap [to be determined].","XVI. Costs and fees (affected articles of the UNCITRAL Arbitration Rules: articles 40, 41 and 43)","37. Arbitrator’s fee: the Expedited Rules would limit the fee of the arbitrator. The limitation on arbitrator’s fees should be set forth in both the Expedited Rules and the document to be signed by an arbitrator as a condition to being placed on the roster (see section XII above, para. 27 (c)).","38. Determination and allocation of fees and costs: regardless of the outcome of the case, each party shall bear its own costs and fees, and the parties shall share the costs and fees of the arbitrator equally. However, in exceptional circumstances, the arbitrator may decide that a different allocation of the parties’ costs and fees or the costs and fees of the arbitrator would be just and equitable.","XVII. Confidentiality (affected articles of the UNCITRAL Arbitration Rules: articles 28 (3) and 34 (5))","39. The entire arbitration proceedings, including all notices, communications, pleadings, documents, submissions, hearings and awards, shall be kept confidential, unless the parties otherwise agree in writing. However, the United Nations, or its fund or programme, may communicate to its governing bodies such information concerning the proceedings as the governing body may require.","Other matters","Privileges and immunities","40. Since, unlike the UNCITRAL Arbitration Rules, these Expedited Rules would be established specifically for United Nations arbitration cases, it would be desirable for the Rules to contain a privileges and immunities clause:","“Nothing in or related to these [use full name of Rules] shall be interpreted or applied in a manner inconsistent with the privileges and immunities of the United Nations, including its subsidiary organs, or be deemed a waiver of such privileges and immunities. For the avoidance of doubt, any arbitration conducted under these [use full name of Rules] shall not be subject to any local laws, and any reference to a ‘place of arbitration’ shall not be deemed or construed as a waiver of such privileges and immunities or an agreement of the United Nations to subject itself to any national jurisdiction.”","Annex III","Compensation awarded by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal","A. Monetary compensation awarded by the Management Evaluation Unit (1 July 2009-31 May 2011)","Breakdown ofcompensation paid(from 1 July 2009to 31 May 2011) \nDepartment ofdecision maker\tAmount ofcompensation\tLevelofstaffmember\tReason forcompensation \nUnited Nations Officeat Geneva\t$500.00\tP-4\tFailure to notifystaff member ofoutcome ofselection process\nUnited Nations Officeat Geneva\t3 months’ netbase salary\tP-3\tBreach of 15-dayrule\nUnited Nations Officeat Geneva\t1 month’s netbase salary(SwF 7,040.50)\tG-5\tBreach of 15-dayrule\nOffice for theCoordination ofHumanitarian Affairs(Geneva)\t$2,127.00\tP-4\tReimbursement ofrecovered homeleave (lump-sumpayment)\nOffice of the UnitedNations HighCommissioner forHuman Rights (Geneva)\t3 months’ netbase salary($17,680)\tP-4\tBreach of 15-dayrule\nDepartment of FieldSupport\t3 months’ netbase salary\tFS-4\tMishandling ofrecruitment\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\t7 months’ netbase salary\tG-5\tAbolition of post\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\t$5,154.76\tFS-6\tReimbursement forrecovery oflump-sum payment\nDepartment of FieldSupport-UnitedNations ObserverMission in Georgia\t3 months’ netbase salary\tFS-4\tUnfair treatment\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\t2 months’ netbase salary\tP-3\tLack of due process\nUnited Nations Officeat Nairobi\t3 months’ netbase salary\tG-4\tLegitimateexpectation ofrenewal\nUnited NationsEnvironment Programme\t3 months’ netbase salary\tD-1\tInordinate delay\nUnited NationsEnvironment Programme\t3 months’ netbase salary\tG-7\tInordinate delay\nUnited NationsEnvironment Programme\t3 months’ netbase salary\tP-5\tInordinate delay\nDepartment ofManagement\t3 months’ netbase salary\tP-3\tWithdrawal ofaccepted offer ofappointment\nDepartment forGeneral Assembly andConference Management\t$5,473.09\tG-7\tMishandling ofselection process\nDepartment forGeneral Assembly andConference Management\t$12,891.00\tG-5\tMishandling ofselection process\nOffice of InternalOversight Services(Vienna)\t$1,044.89\tP-3\tNon-payment ofspecial postallowance","B. Monetary compensation awarded by the United Nations Dispute Tribunal and United Nations Appeals Tribunal (1 July 2009-31 May 2011)","[TABLE]","Note: “N/A” indicates either that no action was taken following the United Nations Dispute Tribunal judgement or that the judgement is still under appeal.","UnitedNationsAppealsTribunaljudgementNo.^(a)\tApplicant’slastname\tEntity\tAppealfrom\tCompensation\tNetamountpaid(UnitedStates\tDate \n dollars) \n2010-UNAT-021\tAsaad\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tCompensationequivalentto thedifferencebetweensalariesat grades8 and 14(periodfrom 1July 2003to20 January2004) andcompensationequivalentto onemonth’ssalary atgrade 14;inaddition,reinstatementor paymentof sixmonths’net basepay\t9000.00\tN/A\n2010-UNAT-022\tAbuHamda\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tRefund ofloss ofsalarysufferedas aresult ofdemotion\t7600.00\tN/A\n2010-UNAT-025\tDoleh\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tReinstatementor paymentof twoyears’ netbase pay\t19000.00\tN/A\n2010-UNAT-030\tTabari\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tRetroactivepayment ofspecialoccupationallowance\t22000.00\tN/A\n2010-UNAT-087\tLiyanarachchige\tUnitedNationsOperationin Côted’Ivoire/DepartmentofPeacekeepingOperations\tReversingjudgementNo. UNDT/2010/041\t12 months’net basesalary asat thedate ofseparation\t47440.00\t07/03/2011","^(a) United Nations Appeals Tribunal judgements awarding compensation in cases not considered by the United Nations Dispute Tribunal or where the Dispute Tribunal made no award for compensation.","C. United Nations Dispute Tribunal judgements with compensation equal to or more than six months’ net base salary (1 July 2009-31 May 2011)","JudgementNo.\tApplicant\tRegistry\tBriefsynopsis\tEntity\tRescissionorspecificperformanceordered\tCompensationordered\tTotalamountpaidinUnitedStatesdollars\tAffirmedoroverturnedonappealasat31May2011 \nUNDT/2010/070\tFarraj\tGeneva\tTheDisputeTribunalfoundthatthecontesteddecisiontoterminateappointmentoflimited\tUnitedNationsDevelopmentProgramme\tRescissionofthecontesteddecision(alternatively,$45,000)\tN/A\t45,000\tN/A \n durationhad notbeen incompliancewithtermsofappointment UNDT/2010/106\tEid\tGeneva\tTheDisputeTribunalfoundthattheAdministrationshouldhavepaidtheapplicantterminationindemnitiesas fromthedatethathisterminationbecame\tUnitedNationsSecretariat(UnitedNationsInterimForceinLebanon)\tN/A\t$29,991.23andLL9,552.660(terminationindemnityandrelatedentitlements)\tN/A\tN/A \n effective \nUNDT/2010/120\tOstensson\tGeneva\tTheDisputeTribunalfoundthattheselectionprocesshadbeentaintedbyseriousproceduralirregularity,violatingtheapplicant’srightto fullandfairconsiderationfor aD-1post\tUnitedNationsConferenceonTradeandDevelopment\tRescissionofthecontesteddecision(alternatively,$4,900)\t$48,000(emotionaldistress,harmtoprofessionalreputation)\t52,900\tN/A\nUNDT/2010/122\tZerezghi\tGeneva\tTheDisputeTribunalfoundthattheimposeddisciplinarymeasureofdismissalhadbeendisproportionateto theestablishedmisconduct\tUnitedNationsSecretariat(UnitedNationsInterimAdministrationMissioninKosovo)\t(1)Retroactivereinstatement(alternatively,eightmonths’netbasesalary);(2)writtencensure;(3)removalofmaterialrelatingtodismissalfromhisfile\t$60,000(moraldamage)\t99,936.18\tN/A\nUNDT/2010/128\tIkpa\tGeneva\tTheDisputeTribunalfoundthatthedecisionofseparationfromservicehadbeen anunlawfuldisciplinarymeasure\tUnitedNationsOfficeatGeneva\tSixweeks’netbasesalaryinlieuofnotice(lessoneweekalreadypaid)\tOneyear’snetbasesalary(lessanymoneyalreadypaid)\t59,592\tN/A\nUNDT/2010/129\tValleFischer\tGeneva\tTheDisputeTribunalfoundthatthedecisionofseparationfromservicehadbeen anunlawfuldisciplinarymeasure\tUnitedNationsOfficeatGeneva\tSixweeks’netbasesalaryinlieuofnotice(lessoneweekalreadypaid)\tOneyear’snetbasesalary(lesstwomonthsalreadypaid)\t54,697\tN/AUNDT/2010/130\tApplicant\tGeneva\tTheDisputeTribunalfoundthatthedecisionstoterminatetheapplicant’sappointmentand toissue a\tInternationalCriminalTribunalfortheFormerYugoslavia\tRescissionofreprimand\t(1)Threemonths’netbasesalary(prejudiceresulting\t50,263.50\tN/A reprimandhadbeen inbreachof hisrights fromtheunlawful termination) (in additiontoeightmonthspreviouslypaid); (2)three months’ net \n basesalary(unlawfulreprimand) UNDT/2010/133\tEldam\tGeneva\tTheDisputeTribunalfoundthatthedecisionsofnon-renewalofcontractforunsatisfactoryperformanceand toissue areprimandhadbeenflawedand\tUnitedNationsSecretariat(UnitedNationsObserverMissioninGeorgia)\t(1)Rescissionofnon-renewalofappointment(alternatively,three months’netbasesalary);(2) withdrawalofreprimand\tThreemonths’netbasesalary(moraldamage)\t26,204.40\tN/A \n improper UNDT/2009/088\tNogueira\tNairobi\tTheDisputeTribunalfound thatthedecisionnot torenewappointmentongroundsofperformancehadbeenprocedurally\tUnitedNationsOfficeatNairobi/UnitedNationsEnvironmentProgramme\tN/A\t24months’netbasesalary\t210,794\tN/A defectiveandcouldnot be \n sustained UNDT/2010/002\tXu\tNairobi\tTheDisputeTribunalfoundthatthedecisionnot toselecttheapplicantfor aP-4levelposthadbeenunlawful\tUnitedNationsSecretariat\tN/A\tSixmonths’netbasesalary(injurysuffered)\tN/A\tSetasidebyAppealsTribunalinXu2010-UNAT-053andremandedto Dispute \n Tribunal\nUNDT/2010/053\tMmata\tNairobi\tTheDisputeTribunalfoundthatthechargeofseriousmisconductwas notwellfoundedandthatseparationfromservicehadbeendisproportionate\tUnitedNationsChildren’sFund\tRescissionofthecontesteddecisionandreinstatement\t(1)Lostearningsfromthedateofseparation;(2)2 years’netbasesalary\t222,453.57\tPrimerateinterestontheawardedcompensation(seeMmata2010-UNAT-092)\nUNDT/2010/056\tMasri\tNairobi\tTheDisputeTribunalfoundthatthedisciplinarymeasureofsummarydismissalhadbeendisproportionate\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\t(1)Reinstatementwithpaymentoflost earnings(alternatively,twoyears’netbasesalary);(2)demotionbyfoursteps\tN/A\tN/A\tOverturnedbyAppealsTribunalinMasri2010-UNAT-098\nUNDT/2010/057\tIanelli\tNairobi\tTheDisputeTribunalfoundthattheapplicantwasentitledtoassignmentgrantandotherentitlementsaffordedtointernationallyrecruitedstaff\tUnitedNationsOfficeforProject Services\tN/A\tPaymentofapplicableassignmentandrelocationgrantswithappropriateinterest\t51,395.35\tAppealsTribunalamendedtheordersonthepaymentofinterest(see2010-UNAT-093)UNDT/2010/061\tSanwidi\tNairobi\tJudgementoncompensationfollowingSanwidiUNDT/2010/036,inwhichtheDisputeTribunalfoundthatthedecisionofsummarydismissalhadbeendisproportionate\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\t(1)Reinstatement(alternatively,twoyears’netbasesalary);(2)writtenreprimand\tLostearningsfromthedateofsummarydismissaltothedateofreinstatement,less$2,600\tN/A\tDisputeTribunaljudgementisvacatedinSanwidi2011-UNAT-104 \n permonth UNDT/2010/097\tLutta\tNairobi\tJudgementoncompensationfollowingLuttaUNDT/2010/052,in whichtheDisputeTribunalfound,interalia,thattheinvestigationof theapplicantand theactionstakenagainsthim hadbeenprocedurallyflawedandimproper\tUnitedNationsSecretariat(UnitedNationsOperationinCôted’Ivoire)\tN/A\t(1)Threemonths’netbasesalary(lossofcareeradvancementopportunities);(2)$4,760(travelcosts);(3)\t46,339.86\tAffirmedbyAppealsTribunalinLutta2011-UNAT-117 six months’ net basesalary(moral \n damages) UNDT/2010/118\tCohen\tNairobi\tTheapplicantcontestedthesummarydismissal.TheDisputeTribunalfoundthatheractionshad notamountedtomisconductandthatherdue-processrightshadbeenviolated\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\tRescissionofthecontesteddecisionandreinstatementoftheapplicant(alternatively,twoyears’netbasesalary)\t(1)Paymentofsalariesandentitlementsfromthedateofdismissaltothedateofjudgement;\t101,624\tN/A (2)two months’ net basesalary (breachof due-process \n rights) UNDT/2010/119\tGaskins\tNairobi\tTheapplicantcontestedthedecisiontoterminatehisappointment.TheDisputeTribunalfoundthattheapplicant’scontractofemploymenthadbeenbreached,whichhad\tUnitedNationsDevelopmentProgramme\tN/A\tSixmonths’netbasesalary(violationofdue-processrights,humiliation,distressanddamageto\t40,420.98\tN/A \n resultedindamageto hisself-imageandreputation reputation) UNDT/2010/124\tFrechon\tNairobi\tTheDisputeTribunalfoundthattheapplicant’semploymenthadbeenimproperlyterminatedformedicalreasons\tInternationalCriminalTribunalforRwanda\tRescissionofthedecisiontoterminatetheapplicant’semployment,reinstatement(alternatively,two\t(1)Paymentoflostearningsfromthedateofterminationto\tN/A\tN/A years’netbasesalary)\tthedateofreinstatement; (2) paymentof entitlements for theperiod fromMarch 2007to July \n 2007 \nUNDT/2010/153\tVerschuur\tNairobi\tTheDisputeTribunalfoundthattheselectionprocesshadbeenimproperlyinterferedwithandthattheapplicanthadbeendeniedfullandfairconsiderationfor aP-5post\tUnitedNationsHumanSettlementsProgramme\tN/A\tSixmonths’netbasesalary(detrimenttocareerprogression)\tN/A\tN/AUNDT/2010/154\tContreras\tNairobi\tTheDisputeTribunalfoundthattheselectionprocesshadbeenimproperlyinterferedwithandthattheapplicanthadbeendeniedfullandfairconsiderationfor thepost\tUnitedNationsHumanSettlementsProgramme\tN/A\t(1)Sixmonths’netbasesalary(detrimenttocareerprogression);(2) tokensumof$1(moral\tN/A\tN/A \n injury). \nUNDT/2010/173\tParkes\tNairobi\tTheDisputeTribunalfoundthatthecontestedsummarydismissalhadbeendisproportionate\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\tRescissionofthedecision(alternatively,compensationequivalentterminationbenefits)\tN/A\t57,503.39\tN/AUNDT/2010/175\tBekele\tNairobi\tTheapplicantcontestedthedecisionto\tEconomicCommissionforAfrica\tN/A\t(1)SalaryfromNovember\tN/A\tN/A separatehimfromservice,as wellasseveralrelateddecisions.TheDispute 2007toMarch2009;(2)sixmonths’ Tribunalfoundthattheapplicant’srightshadbeen netbasesalary(breachof violated. due-process \n rights) UNDT/2010/185\tM’Bra\tNairobi\tTheDisputeTribunalfoundthatthedecisionofsummarydismissalhadbeenunlawful\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\tReinstatement(alternatively,paymentoftwoyears’netbasesalary)\t(1)Salaryandentitlementsfromthedateofhissummarydismissaltothe\t377,257.92\tN/A dateofjudgement; (2)two months’ net basesalary (breachof due-process \n rights) UNDT/2010/197\tBowen\tNairobi\tTheDisputeTribunalfoundthattheterminationbasedonunsatisfactoryperformancehadbeenunlawful\tUnitedNationsDevelopmentProgramme\tRescissionofthecontesteddecision\t(1)Threemonths’netbasesalaryandbenefits(less\tN/A\tN/A any payments madein lieuof notice); (2) twoyears’ net \n basesalary \nUNDT/2010/214\tKamunyi\tNairobi\tTheDisputeTribunalfoundthatthecontesteddecisionstosuspendtheapplicantfromservice,toplacehim onspecialleavewithfullpay andtoissue areprimandhadbeenunlawful\tUnitedNationsOfficeatNairobi\tRescissionofthreeunlawfuldecisions(unlawfulsuspension,placementonspecialleavewithfullpayforoneyear andeightmonths,andreprimand)\tTwoyearsandsixmonths’netbasesalary(emotionalandphysicalharmanddamagetoreputation)\tN/A\tN/AUNDT/2011/017\tHarding\tNairobi\tTheapplicantcontestedsummarydismissal.Liabilitybeingadmittedby therespondent,thiscaseconcernedonlywhethertheamountof twoyears’netbasesalarypaidwasadequate\tOfficeoftheUnitedNationsHighCommissionerfor Refugees\tRescissionofsummarydismissal(alternatively,twoyears’netbasesalary)\t(1)Sixmonths’netbasesalary(breachofdue-processrights);(2)specialpostallowance\tN/A\tSpecialpostallowancewithinteresthasbeenpaid;otheritemsarependingonappeal for four months; (3)six months’ net basesalary(emotional distress andhumiliation); (4)salaries and entitlementsat the G-6level from June 2005to December \n 2010 UNDT/2011/060\tFinniss\tNairobi\tTheDisputeTribunalfoundthattheapplicant’srightshadbeen\tUnitedNationsSecretariat(OfficeofInternal\tN/A\t(1)18months’netbasesalary\tN/A\tN/A violatedwithrespectto twoP-5selectionexercises\tOversightServices) (failuretoaffordproperconsiderationinselection for thefirstpost); (2)six months’ net basesalary (failuretoaffordproperconsiderationinselection for \n thesecondpost) UNDT/2011/067\tBorhom\tNairobi\tTheDisputeTribunalfoundthatthedecisiontosummarilydismisshadbeenunlawful\tOfficeoftheUnitedNationsHighCommissionerforRefugees\tRescissionofsummarydismissalandreinstatement(alternatively,twoyears’netbasesalary)\t(1)Sixmonths’netbasesalary(moraldamage);(2)six\t27,660\tN/A months’ net basesalary(violationof due-process \n rights) UNDT/2011/092\tXu\tNairobi\tTheDisputeTribunalfoundthattheselectionexercisehadbeentaintedwithproceduralirregularitiesandthattheapplicanthadbeendeniedfullandfairconsiderationfor aP-4post\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\tN/A\t(1)Twomonths’netbasesalary(proceduralviolations);(2)fourmonths’netbasesalary(failureto\tN/A\tN/A give full and fair consideration); (3) $500 \n (failuretoinformofnon-selection) \nUNDT/2010/026\tKasyanov\tNewYork\tTheDisputeTribunalfoundthattheapplicanthad notbeenconsideredfor aP-4vacancyinaccordancewiththeapplicablerules\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\tLateralmoverecordedashavingtakenplace(alternatively,$20,000)\t$59,932(actualeconomicloss,breachofrights,delayedprospectofpromotion,emotionaldistress)\t13,969.83(twomonths’salaryactuallypaid)\tAwardedcompensationwasamendedtotwomonths’netbasesalary(Kasyanov2010-UNAT-076)UNDT/2010/040andOrderNo.57(NY/2010)\tKoh\tNewYork\tJudgementandorderoncompensationfollowingKohUNDT/2009/078,inwhichtheDispute\tUnitedNationsDevelopmentProgramme\tN/A\t(1)$2,000(lossoftherighttocandidacy);\t2,000and107,107.60\tN/A TribunalfoundthattheOrganizationhadbreachedtheapplicant’s (2)$107,107.60(economiccompensation) contractofemploymentby not assistinghim infinding \n suitableemployment UNDT/2010/055\tAbbasi\tNewYork\tTheDisputeTribunalfoundthattheselectionprocesshadbeendiscriminatoryand inbreachof theapplicant’srights\tUnitedNationsChildren’sFund\tN/A\t(1)12months’netbasesalary(lossofopportunityofbeingappointed,\tN/A\tOverturnedbyAppealsTribunalinAbbasi2011-UNAT-112 lossofcareerdevelopment); (2) \n $30,000(emotionaldistress) UNDT/2010/068\tChen\tNewYork\tTheDisputeTribunalfoundthatthedecisionnot toreclassifytheapplicant’spostfromthe P-3to theP-4levelhadbeen inbreachofStaffRegulationsand theprincipleofequalpay forwork ofequalvalue\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\tN/A\t(1)Sixmonths’netbasesalary(non-materialdamages:frustration,humiliationanddelay);(2) differenceinsalary\t36,256.94\tUpheldbyAppealsTribunalinChen2011-UNAT-107 between the P-3 and the P-4levels fromAugust 2006untilretirement (actual \n economicloss) UNDT/2010/117\tBertucci\tNewYork\tJudgementoncompensationfollowingBertucciUNDT/2010/080,inwhichtheDisputeTribunalfoundthatthedecisionnot toappointthe\tUnitedNationsSecretariat(DepartmentofEconomicandSocialAffairs)\tN/A\t$655,000(economicandnon-economicdamages)\tN/A\tSetasidebyAppealsTribunalinBertucci2011-UNAT-121andremandedto applicantto thepost ofAssistant DisputeTribunal \n Secretary-Generalhadbeen inbreachof hisrights UNDT/2010/146\tBeaudry\tNewYork\tJudgementoncompensationfollowingBeaudryUNDT/2010/039,inwhichtheDisputeTribunalfoundthatthedecisionnot torenewtheapplicant’s\tUnitedNationsSecretariat(UnitedNationsStabilizationMissioninHaiti)\tN/A\t$112,082(actualeconomicloss,distressandproceduralviolations)\tN/A\tVacatedbyAppealsTribunalasaresultofBeaudry2010-UNAT-085 contracthadbeen \n unlawful UNDT/2010/156\tShkurtaj\tNewYork\tTheapplicantcontested,interalia,thedecisionnot toimplementtherecommendationof theEthicsOfficeto payhimcompensationfor theviolationof hisrights.TheDisputeTribunalheldfor theapplicantinpart,findingthat,inrelationto someof hisclaims,hisrightshadbeenviolated\tUnitedNationsDevelopmentProgramme\tN/A\t(1)14months’netbasesalary(due-processviolations,damagetocareerandreputation,andemotionaldistress);(2) $5,000(proceduraldelayinaddressing\tN/A\tN/A theEthics Office’s \n recommendation) UNDT/2010/200\tAlauddin\tNewYork\tJudgementoncompensationfollowingAlauddinUNDT/2010/114,inwhichtheDispute\tUnitedNationsDevelopmentProgramme\tN/A\t(1)netbasepay,includingentitlements,\tN/A\tN/A Tribunalfoundthattheapplicant’srightshadbeen for11months,lessthe breachedwhentheOrganizationhadfailedtorenewhiscontract applicant’sincomeforthesameperiod (actual economicloss); (2) \n $30,000(emotionalharm) UNDT/2011/012\tTolstopiatov\tNewYork\tJudgementoncompensationfollowingTolstopiatovUNDT/2010/147,inwhichtheDispute\tUnitedNationsChildren’sFund\tN/A\t$97,324.04(lostincomeandentitlements)\t97,324\tN/A TribunaldeterminedthattheUnitedNationsChildren’sFundhad breacheditsobligationsto the applicant \n followingtheabolishmentof post UNDT/2011/032\tObdeijn\tNewYork\tRespondentrefusedtodisclosethereasonsfor thecontestednon-renewal.TheDispute\tUnitedNationsPopulationFund\tN/A\t(1)Sixmonths’netbasesalaryand\tN/A\tN/A Tribunalthereforefoundthatthe entitlements(actual \n contesteddecisionhadbeenunlawful economicloss);(2)$8,000(emotionaldistress) UNDT/2011/068\tGarcia\tNewYork\tTheDisputeTribunalfoundthattheUnitedNationsDevelopmentProgrammehadbreachedits\tUnitedNationsDevelopmentProgramme\tRemovalofadversematerialfromtheapplicant’spersonnelfile\t(1)$89,128.48(lostsalaryandentitlements);(2)\t109,619.26\tN/A contractwiththeapplicantbyfailingtoexecutetheemploymentrelationship $241(compensationformedicalexamination); (3) \n $50,000(non-pecuniaryloss) UNDT/2011/081\tCabrera\tNewYork\tTheDisputeTribunalfoundthatthedecisiontoplacetheapplicantonspecialleavewithfullpay hadbeenunlawful\tUnitedNationsSecretariat(DepartmentofManagement)\tN/A\tTwoyears’netbasesalaryfordue-processviolations,humiliation\tN/A\tN/A andemotional \n distress","Note: “N/A” indicates either that no action was taken following the United Nations Dispute Tribunal judgement or that the judgement is still under appeal.","[1] * A/66/150.","[2] The separately administered funds and programmes handle management evaluations independently.","[3] Judge Marilyn Kaman tendered her resignation from the Dispute Tribunal effective 30 June 2011.","[4] The number of applications/appeals filed does not necessarily correspond to the number of judgements rendered. There may be occasions where several appeals are disposed of in one judgement or where a case is closed without the issuance of a judgement.","[5] The honorarium for the principal drafter of a judgement is $2,400. Additional signatories receive $600 per judgement.","[6] “Case” refers to any of the following: providing assistance or acting as counsel of record before bodies of the formal system (Management Evaluation Unit, Dispute Tribunal, Appeals Tribunal), providing legal guidance and summary legal advice, assisting a staff member in achieving the informal resolution of a dispute, which may involve consultations with the staff member and discussions and negotiations with third parties, or referral to other actors in the system, including the Office of the Ombudsman or staff unions.","[7] These entities are: the International Tribunal for the Law of the Sea; the United Nations Joint Staff Pension Fund; the International Civil Aviation Organization; the International Maritime Organization; the United Nations Relief and Works Agency for Palestine Refugees in the Near East; the International Seabed Authority; and the International Court of Justice.","[8] See rule 7 (11) of the rules of procedure of the Administrative Tribunal of the World Bank (providing for the summary dismissal of cases that are considered to be “clearly irreceivable or devoid of merit”) and article VIII of the statute of the Administrative Tribunal of the Organization of American States (allowing the dismissal of a claim “based on lack of jurisdiction …, failure to satisfy the requirements of admissibility, or failure to make a claim upon which relief can be granted”).","[9] United Nations Appeals Tribunal judgement No. 2010-UNAT-57 (Fagundes).","[10] United Nations Appeals Tribunal order No. 49 (2011) (Finniss).","[11] United Nations Appeals Tribunal judgement No. 2011-UNAT-121 (Bertucci).","[12] The Secretary-General notes that the deadline for appealing judgements of the European Union Civil Service Tribunal is two months (see statute of the Court of Justice of the European Union, annex I).","[13] United Nations Appeals Tribunal judgement No. 2010-UNAT-62 (Bertucci).","[14] United Nations Administrative Tribunal judgement No. 1157, Andronov (2003), para. V.","[15] International Monetary Fund Administrative Tribunal judgement No. 1999-2 (Mr. “V” v. International Monetary Fund), paras. 104-114.","[16] World Bank Administrative Tribunal decision No. 384, (AA v. IBRD) (2008), paras. 49-50.","[17] General Assembly resolutions 48/218 B (on OIOS), 60/1 (on the Ethics Office) and 62/228 (on the Office of Staff Legal Assistance).","[18] United Nations Dispute Tribunal order No. 19 (NY/2010), para. 23.","[19] World Bank Administrative Tribunal decision No. 384 (AA v. IBRD) (2008), paras. 49-50.","[20] United Nations Dispute Tribunal order No. 010 (NBI/2011) (Abosedra), para. 60.","[21] United Nations Administrative Tribunal judgement No. 1396 (2008) (Wielechowski), para. VIII.","[22] United Nations Dispute Tribunal judgement No. 2010/68 (Chen) and United Nations Appeals Tribunal judgment No. 2011-UNAT-107 (Chen).","[23] United Nations Administrative Tribunal judgement No. 421 (Chatwani), para. VIII.","[24] United Nations Appeals Tribunal judgement No. 2011-UNAT-107 (Chen), para. 1.","[25] United Nations Dispute Tribunal Order No. 010 (NBI/2011) (Abosedra), para. 60.","[26] The records of the San Francisco Conference indicate that “a clear statement of the obligation of Members to meet the expenses of the Organization should be found in the Charter”. United Nations Conference on International Organization, Documents, Vol. VIII, p. 487.","[27] See, for example, UNDT/2010/025 (Kita).","[28] The present concept paper was prepared by the General Legal Division of the Office of Legal Affairs, in consultation with the United Nations funds and programmes. It should be noted that the United Nations Children’s Fund has reserved its right to opt out of the proposed simplified arbitration procedures."],"string":"[\n \"Sixty-sixth session\",\n \"Items 134 and 143 of the provisional agenda[1]\",\n \"Proposed programme budget for the biennium 2012-2013\",\n \"Administration of justice at the United Nations\",\n \"Administration of justice at the United Nations\",\n \"Report of the Secretary-General\",\n \"Summary\",\n \"The General Assembly, by its resolutions 61/261, 62/228 and 63/253, decided to establish an independent, transparent, professionalized, adequately resourced and decentralized system of administration of justice for the United Nations, which entered into operation on 1 July 2009.\",\n \"The Secretary-General is gratified by the General Assembly’s positive recognition of the implementation of the new system in its resolution 65/251, in which the Assembly noted the achievements of the new system since its inception, including improved disposition of old and new cases, and commended all those involved in managing the transition from the prior system or in the implementation of the present one.\",\n \"The General Assembly also acknowledged the evolving nature of the new system and indicated that its progress would need to be carefully monitored to ensure that the system remained consistent with the governing principles set down in the establishing resolutions, namely that the system must be independent, transparent, professionalized, adequately resourced and decentralized, and with the relevant rules of international law and the principles of the rule of law and due process to ensure respect for the rights and obligations of staff members and the accountability of managers and staff members alike.\",\n \"In the present report, the Secretary-General describes the accomplishments of the new system of administration of justice during the reporting period from 1 July 2010 to 31 May 2011. The processing of cases through all phases of the formal system continues to demonstrate a marked improvement in efficiency. During the period from 1 July 2010 to 31 May 2011, the Management Evaluation Unit received 390 requests for review and closed or resolved 281 matters. The Office of Staff Legal Assistance resolved approximately one third of the more than 850 cases for which it was responsible during the same period. From 1 July 2010 to 31 May 2011, the offices representing the Secretary-General before the United Nations Dispute Tribunal handled cases that resulted in 195 judgements, and the Office of Legal Affairs handled cases that resulted in 90 judgements of the United Nations Appeals Tribunal.\",\n \"However, the success of the system and the productivity of the offices that service it have resulted in serious strains upon the financial and human resources of those offices and units. As the Secretary-General indicated in his report on the administration of justice to the General Assembly at its sixty-fifth session (A/65/373 and Corr.1), there is a need for significant strengthening in a number of key areas in order to maintain the current pace of work and continue to implement all of the Assembly’s mandates for the new system.\",\n \"In its resolution 65/251, the General Assembly requested the Secretary-General to provide data and information on the functioning of the new system and related matters. The present report provides a consolidated response to those requests.\",\n \"In addition, the present report contains a request for additional resources amounting to $8,657,900 (before recosting) under sections 1, 8, 19, 29A, 29C, 29D, 29E, 29G and 37 of the proposed programme budget for the biennium 2012-2013 in the light of the experience to date.\",\n \"Contents\",\n \"Page\\nI.Overview 4II. Review 4 of the formal system of \\njustice A.Management 4 Evaluation \\n Unit B.United 8 Nations Dispute \\nTribunal C.United 14 Nations Appeals \\nTribunal D.Office 17 of Staff Legal \\nAssistance E.Office 20 of the Executive \\nDirector F. Legal 23 offices representing the Secretary-General as \\nrespondent III. Responses 39 to questions relating to administration of \\njustice \\nA.Overview 39\\nB. Responses 39IV. Issues 49 relevant to the review by the General Assembly of the statutes of the \\nTribunals \\nA.Introduction 49B. Rules 50 of Procedure of the \\nTribunals C.Jurisdiction 54 of the United Nations Dispute Tribunal over acts and omissions by independent entities in connection with the performance of their operational \\nmandates V.Resource 60 \\nrequirements VI.Conclusions 62 and actions to be taken by the General \\nAssembly \\nAnnexes I. Proposals 63 for staff-funded mechanisms to fund the Office of Staff Legal \\nAssistance II.Proposal 69 for recourse mechanisms for non-staff \\npersonnel III.Compensation 79 awarded by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals \\nTribunal\",\n \"I. Overview\",\n \"1. The General Assembly, by its resolutions 61/261, 62/228 and 63/253, established a new system of administration of justice. The system has two Tribunals, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, which are staffed by professional judges and supported by Registries in Geneva, Nairobi and New York. In accordance with the General Assembly’s view that legal assistance should be provided to staff, the new system also includes the Office of Staff Legal Assistance, staffed by professional legal officers in Addis Ababa, Beirut, Geneva, Nairobi and New York. In order to ensure that the system is independent, the Office of Administration of Justice administers the elements of the formal system, providing administrative, operational and technical support to the Tribunals, the Registries and the Office of Staff Legal Assistance, as well as to the Internal Justice Council.\",\n \"2. Management evaluation, which constitutes the mandatory first step of the formal system of administration of justice, is conducted within the Department of Management and the separately administered funds and programmes. The Management Evaluation Unit of the Department of Management, staffed by professional legal officers, conducts the first review of a contested decision. The Unit is designed to give management a chance to correct an improper decision or provide acceptable remedies in cases where the decision has been flawed, thereby reducing the number of cases that proceed to formal litigation. Similar mechanisms also exist in the funds and programmes.\",\n \"3. The enhancement and professionalization of the system, in addition to the increased number of cases, have required that the offices and units representing the Secretary-General as respondent provide significantly more services at a greatly increased pace.\",\n \"4. The system continues to make progress on processing the considerable number of cases that were transferred from the various organs of the old system. In order to prevent the backlog of cases from overwhelming the new system, the General Assembly appointed three ad litem judges for the United Nations Dispute Tribunal and judicial staff to support them.\",\n \"II. Review of the formal system of justice\",\n \"A. Management Evaluation Unit[2]\",\n \"5. The Management Evaluation Unit is located in the Office of the Under-Secretary-General for Management and is the first step in the formal system of administration of justice. The core functions of the Unit are: (a) to conduct prompt management evaluations of contested administrative decisions relating to contracts of employment or terms and conditions of appointment; (b) to assist the Under-Secretary-General for Management in providing staff members requesting management evaluation with a prompt and reasoned response regarding the outcome of the evaluation; and (c) to assist the Under-Secretary-General in ensuring managerial accountability by ensuring the compliance of managers with their responsibilities in the management of the human and financial resources of the Organization.\",\n \"6. From the time of its inception on 1 July 2009 to 31 May 2011, the Management Evaluation Unit received a total of 823 cases, including 184 cases in 2009, 427 cases in 2010 and 212 in 2011. Of the 823 cases received, the Unit completed and closed 665 cases. As at 31 May 2011, it had recommended compensation in 18 cases, which amounted to $183,339.44. A breakdown of this figure is contained in annex III to the present report.\",\n \"7. The management evaluation process provides the Administration with the opportunity to prevent unnecessary litigation before the Dispute Tribunal, resulting in significant cost savings to the Organization. Approximately 36 per cent of cases received and closed by the Unit in 2010 were settled through informal resolution efforts either by the Unit itself, by the Office of the Ombudsman or through bilateral negotiations between the Administration and the staff members.\",\n \"8. In approximately 84 per cent of the cases submitted to the Management Evaluation Unit that were not resolved informally, the contested decision was upheld by the Secretary-General following a determination by the Unit that the decision was consistent with the Organization’s rules and jurisprudence.\",\n \"9. In conformity with the decision of the General Assembly to establish, inter alia, a transparent system of administration of justice (resolution 61/261, para. 4), where the Management Evaluation Unit has recommended that a contested administrative decision be upheld, a written reasoned response is sent to the staff member concerned setting out the basis for the management evaluation, including the facts of the case, a summary of the comments on the case provided by the decision maker, the applicable rules and jurisprudence of the Organization, an explanation of the reasons why the Unit considered that the contested decision comported with the applicable rules and jurisprudence, and the final decision of the Secretary-General. The funds and programmes follow a similar methodology in their management evaluation process.\",\n \"10. Staff members have the statutory right to take their cases to the Dispute Tribunal for a trial of the matter following the conclusion of the management evaluation process (General Assembly resolution 62/228, para. 51). The Management Evaluation Unit considers that staff members who have sought recourse to the formal system owing to a perceived lack of transparency in the administrative decision-making process are more likely to decide not to pursue their statutory recourse to the Dispute Tribunal when they perceive the management evaluation process to be impartial, objective and accurate. The Unit also considers the written reasoned response provided to staff members at the conclusion of the management evaluation process to be an important means of establishing the credibility of the management evaluation process, in particular, and the new system of administration of justice in general. The funds and programmes share this view.\",\n \"11. In order to determine the number of staff members who seek recourse to the Dispute Tribunal following the receipt of a management evaluation upholding a contested administrative decision, the Management Evaluation Unit is working with the Office of Administration of Justice to implement a tracking mechanism.\",\n \"12. As at 31 December 2010, in 83 per cent of the cases considered by the Dispute Tribunal following management evaluation, the Tribunal’s disposition of the case was the same as that recommended by the Management Evaluation Unit. Although there are key issues of law that have yet to be determined by the Appeals Tribunal, and the Unit has limited fact-finding capability, this degree of similitude is instructive and can be construed as indicative of the impartiality, objectivity and accuracy of the Unit.\",\n \"13. In providing assistance to the Under-Secretary-General for Management to ensure managerial accountability, the Management Evaluation Unit regularly reviews its caseload to identify trends and systemic issues, which are set out in its reports. The Unit also provides secretariat support to the Under-Secretary-General in the compilation of the lessons-learned guide for managers and guidance notes that are circulated to all heads of offices and departments. The lessons-learned guide for managers includes a review of the jurisprudence of the Dispute and Appeals Tribunals and examines how they interpret and apply the internal rules of the Organization. In 2010, the Under-Secretary-General circulated two volumes of the lessons-learned guide for managers. In April 2011, he circulated a guidance note and is expected to circulate another volume of the lessons-learned guide in the latter part of 2011.\",\n \"Statutory time limits\",\n \"14. Management evaluations are required to be completed within a limit of 30 calendar days for Headquarters and 45 calendar days for offices away from Headquarters after the submission of such a request (General Assembly resolution 62/228, para. 54). Deadlines may be extended in cases where the matters have been referred to the Office of the Ombudsman under conditions specified by the Secretary-General.\",\n \"15. In the report of the Advisory Committee on Administrative and Budgetary Questions (A/65/557, para. 16), it was stated that every effort should be made to resolve cases before staff members resort to litigation and that the management evaluation function was an important opportunity to do so by allowing for faulty administrative decisions to be addressed.\",\n \"16. In conformity with the direction of the Advisory Committee on Administrative and Budgetary Questions, in cases where the Management Evaluation Unit has concluded that the contested decision does not comport with the internal rules of the Organization, and the Under-Secretary-General for Management has endorsed an informal resolution, the Management Evaluation Unit will seek to facilitate the resolution directly between the parties. It has been the experience of the Unit that informal resolution involves extensive consultations between the parties and is often a lengthier process than is permitted by the statutory time frames provided for management evaluations. However, there are no statutory provisions that allow the Secretary-General to place the management evaluation process in abeyance with the consent of the parties involved in cases where the Management Evaluation Unit facilitates an informal resolution. The funds and programmes agree with this view but note that they have been successful in achieving this outcome with the consent of both parties.\",\n \"17. Similarly, there are no statutory provisions for extending the deadlines for completing management evaluations in cases where staff members make supplementary submissions after they file their requests for management evaluation, either on their own initiative or at the request of the Management Evaluation Unit.\",\n \"18. The Management Evaluation Unit considers that stringent adherence to statutory time frames could cause staff members to receive incomplete or inaccurate management evaluations and, as a result, to unnecessarily seek recourse to the Dispute Tribunal. To avoid this result, the current practice of the Unit is to seek an extension of the deadline from the staff member in order to facilitate informal resolution or where additional submissions from the staff member and/or the Administration are required to properly conclude the management evaluation process. The Unit considers cases to be concluded in a timely manner either when they have been concluded within the relevant statutory time frame or when they have been concluded within a time frame to which the staff member has consented for the purpose of facilitating informal resolution or obtaining additional information necessary to ensure a comprehensive management evaluation. The funds and programmes share this view and note that they have been successful in meeting the statutory deadline in all cases to date.\",\n \"19. The staffing complement of the Management Evaluation Unit comprises a Chief (P-5), who reports to the Director of the Office of the Under-Secretary-General for Management, two Legal Officers (P-4), one Legal Officer (P-4) (general temporary assistance) and three Legal Assistants (General Service (Other level)). However, the current staffing resources of the Unit are inadequate to meet its mandate, and it has been obliged to temporarily fill an additional legal officer post by way of limited budgetary discretionary funding since February 2010.\",\n \"20. The Management Evaluation Unit considers that the addition of a third legal officer post at the P-3 level is warranted based on the volume of cases received during the nearly two years of its operations. The figures demonstrate that the number of users of the new system of administration of justice is already greater than that of the previous system. Furthermore, on the basis of data gleaned from its caseload, the Unit expects to receive at least the same number of cases in 2011 as it did in 2010 (approximately 427).\",\n \"21. With regard to the 184 cases received in 2009, the Management Evaluation Unit observed that there was a 23 per cent decrease in the number of cases submitted in the fourth quarter of 2009 compared with the number of cases submitted in the third quarter of that year. With respect to the 427 cases submitted in 2010, the Unit observed a steady increase in the number of cases submitted in the first two quarters of 2010, followed by a decrease in cases submitted in the third and fourth quarters of 2010, respectively. In this regard, the Unit observed that 57 per cent of the cases submitted in 2010 were submitted between 1 January and 30 June 2010 and 43 per cent between 1 July and 31 December 2010, with the most significant decrease in cases submitted between 1 October and 31 December 2010. Finally, the Unit has noted an upswing in the number of cases submitted between 1 January and 31 May 2011 compared with the number of cases submitted between 1 July and 31 December 2010. While the Unit received 183 cases in the latter period of 2010, it had already received 212 cases in the first five months of 2011, which is the same number of cases received in the first five months of 2010.\",\n \"22. The Management Evaluation Unit considers that the decrease in the number of cases submitted in the final quarters of 2009 and 2010 and the increase in the number in the first two quarters in 2010 and 2011 could be indicative of an emerging cyclical pattern. However, the total number of cases received between 1 July 2009 and 30 June 2010 is expected to be the same as the number received between 1 July 2010 and 30 June 2011 (approximately 427).\",\n \"23. As noted above, timely, well-reasoned management evaluations are essential to the successful fulfilment of the Management Evaluation Unit’s mandate. The Unit has met its mandate as a result of the addition of a temporary Legal Officer post, funded through discretionary funds since February 2010. Furthermore, the figures show that the Unit has been able to meet its mandate with its current staffing arrangements because its staff members have consistently worked overtime and have deferred or have not taken annual leave.\",\n \"24. The Management Evaluation Unit considers that a request for one additional Legal Officer (P-3) post is therefore conservative in the circumstances, since an additional Legal Officer will not fully cover the shortfall between the number of person-hours required per year to fulfil the Unit’s mandate (1,828) and the number of person-hours per year that staff members working in the Secretariat are normally required to work (1,463).\",\n \"25. For the reasons set forth above, the Secretary-General recommends that the Management Evaluation Unit be strengthened with an additional Legal Officer at the P-3 level.\",\n \"B. United Nations Dispute Tribunal\",\n \"1. Composition of the United Nations Dispute Tribunal\",\n \"26. On 2 March 2009, the General Assembly elected three full-time judges and two half-time judges. Subsequently, the Assembly elected three ad litem judges for a period of one year to assist in handling the backlog of cases transferred from the old system. At the time of the preparation of the present report, the composition of the Tribunal was as follows:\",\n \"(a) Judge Vinod Boolell (Mauritius), full-time judge based in Nairobi;\",\n \"(b) Judge Memooda Ebrahim-Carstens (Botswana), full-time judge based in New York;\",\n \"(c) Judge Thomas Laker (Germany), full-time judge based in Geneva;\",\n \"(d) Judge Goolam Hoosen Kader Meeran (United Kingdom of Great Britain and Northern Ireland), half-time judge;\",\n \"(e) Judge Coral Shaw (New Zealand), half-time judge;\",\n \"(f) Judge Jean-François Cousin (France), ad litem judge based in Geneva;\",\n \"(g) Judge Nkemdilim Amelia Izuako (Nigeria), ad litem judge based in Nairobi;\",\n \"(h) Judge Marilyn Kaman (United States of America), ad litem judge based in New York.[3]\",\n \"27. At its sixty-fifth session, the General Assembly decided to extend the tenure of the three ad litem judges and their support staff for an additional six months until 31 December 2011 (see resolution 65/251).\",\n \"2. Election of the President\",\n \"28. At the plenary meeting held in Nairobi from 28 June to 2 July 2010, Judge Thomas Laker was elected President for one year, from 1 July 2010 to 30 June 2011.\",\n \"3. Plenary meetings\",\n \"29. Since 1 July 2010, the judges of the Tribunal have held two plenary meetings (from 13 to 17 December 2010 in Geneva and from 27 June to 1 July 2011 in New York).\",\n \"4. General activity of the United Nations Dispute Tribunal\",\n \"30. During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal received 170 new cases. As at 31 May 2011, the Tribunal had 254 pending cases.\",\n \"31. Of the 170 cases received during the reporting period, 108 originated from the Secretariat (excluding peacekeeping and political missions), including the regional commissions, offices away from Headquarters, the International Criminal Tribunal for Rwanda, the International Tribunal for the Former Yugoslavia, and various departments and offices; 19 originated from peacekeeping and political missions; and 43 originated from agencies, including the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Development Programme (UNDP) and the United Nations Children’s Fund (UNICEF).\",\n \"5. Cases transferred to the United Nations Dispute Tribunal from the former system\",\n \"32. On 1 July 2009, following the abolition of the Joint Appeals Board and the Joint Disciplinary Committee in Geneva, Nairobi, New York and Vienna, 169 cases pending before those entities were transferred to the Dispute Tribunal. Sixty-one cases were transferred to the Registry in Geneva, 55 to the Registry in Nairobi and 53 to the Registry in New York. From 1 July 2010 to 31 May 2011, 29 of these cases were disposed of.\",\n \"33. On 1 January 2010, 143 cases were transferred from the United Nations Administrative Tribunal to the Dispute Tribunal. They were distributed among the branches of the Dispute Tribunal as follows: 51 cases to Geneva, 40 to Nairobi and 52 to New York. From 1 July 2010 to 31 May 2011, 76 of these cases were disposed of.\",\n \"34. As at 31 May 2011, 65 cases transferred from the former system were pending: 10 cases from the Joint Appeals Board or the Joint Disciplinary Committee and 55 from the United Nations Administrative Tribunal.\",\n \"6. Number of judgements, orders and hearings\",\n \"35. During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal issued 195 judgements and 638 orders, and held 229 hearings.\",\n \"7. Cases referred to the Mediation Division\",\n \"36. From 1 July 2010 to 31 May 2011, the Dispute Tribunal identified 13 cases suitable for mediation and referred them to the Mediation Division of the Office of the Ombudsman. Of these, six cases were successfully mediated at the time of the preparation of the present report.\",\n \"8. Subject matter of cases before the United Nations Dispute Tribunal\",\n \"37. The nature of the cases before the Dispute Tribunal that were received during the reporting period may be divided into six main categories: (a) appointment-related matters; (b) benefits and entitlements; (c) classification; (d) disciplinary matters; (e) separation from service; and (g) other.\",\n \"38. Of the 170 cases received during the reporting period, 56 related to appointment; 19 to benefits and entitlements; 2 to classification; 33 to disciplinary matters; 28 to separation from service; and 32 to other matters.\",\n \"9. Issues relating to staffing of the United Nations Dispute Tribunal and its Registries\",\n \"39. As detailed above, the volume of cases before the Dispute Tribunal is very heavy, and the requirement to work expeditiously has placed an enormous burden on the judges and staff of the Tribunal. The appointment and subsequent extension of three ad litem judges have allowed the Dispute Tribunal to make significant progress in addressing the backlog of cases inherited from the former system. However, in the light of the trend of new cases filed, it is apparent that if the judicial capacity of the Dispute Tribunal is almost halved by the elimination of the ad litem judge positions at the end of 2011, a new backlog will immediately start to emerge. This would result in one of the most strongly criticized shortcomings of the former system, delay, becoming a daily reality in the new one.\",\n \"40. The Tribunal is deliberately decentralized to ensure easier access to justice for the applicants. To maintain this access, it is essential that there continue to be two full-time judges at each location of the Dispute Tribunal. The whole point of having a decentralized Tribunal would be defeated if one location had to stop functioning owing to the absence of its sole judge, for example in cases of leave, sickness or resignation. Similarly, the recusal of a judge at one location would automatically entail the transfer of the case to another location farther away from the applicant. Three-judge panels can be established in an effective way only when at least two judges are present in each Tribunal location. Furthermore, there is a statutory requirement for applications for suspension of action to be disposed of in five days, which would be almost impossible for a single judge to achieve without compromising the disposal of substantive applications. Finally, the President of the Dispute Tribunal, who has to direct the work of the Tribunal and the Registries, is reliant on the presence and support of the other judge at his or her location during his or her term of office in order to maintain the flow of cases.\",\n \"41. The work of the judges of the Dispute Tribunal is not restricted to rendering judgements. The additional required functions, mentioned in the present section, mean that a second full-time judge per duty station is absolutely essential. Judges of the Dispute Tribunal closely monitor the progress of all cases from the receipt of an application to final judgement. This monitoring may include: (a) holding case management hearings; (b) ruling on pre-hearing motions; and (c) issuing pre‑hearing orders. In addition, judges are required to consider applications for suspension of action within a statutory five-day time limit. From an administrative standpoint, judges at each location (Geneva, Nairobi and New York) meet regularly with Registry staff to ensure the regular and timely processing of cases. They also hold biweekly meetings by means of videoconference in order to improve the communication among the judges and make important decisions with respect to the harmonization of practices among the three Registries. The judges are also responsible for drafting rules of procedure; the Tribunal has submitted proposals to the General Assembly for the amendment of the rules of procedure. Furthermore, the judges are committed to issuing practice directions so that the parties to a case are aware of the procedures expected by the Tribunal. As a judicial recess has not been implemented on the calendar of the Dispute Tribunal to date, all of the responsibilities above are in addition to the core judicial function of deciding the merits of a case and issuing a judgement.\",\n \"42. After two years, the Tribunal is still in its “start-up” phase. Given the different legal backgrounds of the judges, the Tribunal requires continuity of judges and supporting staff to ensure that it becomes a coherent judicial body with a consistent jurisprudence to the benefit of the Organization and its staff members.\",\n \"43. For that reason, it is recommended that the General Assembly appoint a second full-time judge to each of the United Nations Dispute Tribunal locations. It is also imperative that the judges receive the necessary support from legal officers and administrative staff. Therefore, the Secretary-General recommends that the P-3 Legal Officers (1 each in Geneva, Nairobi and New York) and the Legal Assistants (1 General Service (Other level) in Geneva, 1 General Service (Other level) in New York and 1 General Service (Local level) in Nairobi) be regularized.\",\n \"44. In addition, there is an anomaly in the staffing of the Registry in New York. While the Registries located in Geneva and Nairobi are staffed with a Registrar (P‑5) and Legal Officers at the P-4 and P-3 levels, the Registry in New York is staffed with a Registrar (P-5) and Legal Officers at the P-4 and P-2 levels. There is no operational basis for this discrepancy, and in fact, the Registry in New York would greatly benefit from having a second legal officer at the more senior level of P-3. For this reason, it is recommended that the P-2 Legal Officer post in New York be reclassified as a P-3 post.\",\n \"10. Non-staffing-related issues\",\n \"a. Courtrooms\",\n \"45. As the new system must be professional in nature, and given the mandate that the hearings of the Dispute Tribunal, in general, be open to the public, the Tribunal must have facilities adequate for a professional court, of sufficient size to permit public access, at each of its locations.\",\n \"46. Premises have been made available in all three locations of the Tribunal; however, issues relating to the construction of permanent courtrooms remain to be addressed.\",\n \"47. In New York, because of the capital master plan, a temporary courtroom space has been provided in the temporary premises of the Office of Administration of Justice. The courtroom is operational, but as a temporary space, it is ad hoc in nature and has no capacity for simultaneous interpretation. Due consideration in the planning phase was given to ensuring that as much of the equipment and furnishings of the temporary space would be able to be removed and installed in the Tribunal’s permanent premises upon completion of the capital master plan. No provision has been made, however, for the creation of a permanent courtroom for the Dispute Tribunal in New York after the capital master plan is completed. In Geneva, a permanent space has been provided, but the space does not permit interpretation without additional construction. In Nairobi, the construction of a permanent, dedicated courtroom is under way. However, the 2010-2011 budget of the Office of Administration of Justice provided for no resources for courtroom construction and outfitting. Accordingly, provisions for construction and outfitting have been included in section 34 of the 2012-2013 budget.\",\n \"b. Travel and communications\",\n \"48. Another critical mandate for the new system, reiterated by the General Assembly in its resolution 65/251, is that it be decentralized. The Dispute Tribunal and its Registries are located in Geneva, Nairobi and New York. The Tribunal serves staff located in duty stations around the world, with each location serving a substantial geographic region. The success of the Tribunal’s decentralization relies heavily on the ability of the Tribunal and its Registries to communicate among themselves and with the parties and witnesses in cases before the Tribunal.\",\n \"49. When the Dispute Tribunal holds hearings, it is critical that participants be able to fully engage in the proceedings and that the judges be able to assess the demeanour of witnesses appearing before them. Regular travel for either of those purposes would be prohibitively expensive; thus, it was envisaged that those activities would be accomplished primarily by means of videoconference. However, there are significant costs associated with videoconferencing. The current budget for costs associated with communications is inadequate to allow for the Tribunal’s effective use of videoconferencing. In addition, it is essential that oral hearings be recorded in a manner that reliably captures all of the input of all parties and the judiciary so that there is an accurate record of the proceedings that can be transcribed if there is a subsequent appeal. Therefore, the Secretary-General recommends increasing the budget of the Office of Administration of Justice by $25,000 under the line item for communications to cover the costs of videoconferencing for oral hearings and status conferences and biweekly meetings of the judges and registrars of the United Nations Dispute Tribunal and to permit recording of oral hearings of sufficient quality and reliability to be transcribed if required for a subsequent appeal of the judgement.\",\n \"50. Under the statute, the Tribunal may order the physical presence of a party or witness when it deems his or her personal appearance to be essential to the proceedings. In addition, there are instances, particularly in cases arising in duty stations in Africa, where it is impossible to hold hearings in Nairobi because of the poor quality or unreliability of the videoconference connection and the fact that interpreters are not able to successfully interpret through telephonic connection. While such situations are expected to be limited in number, they have occurred in the first two years of operation and are expected to continue.\",\n \"51. Moreover, the judges and the registrars must meet in person periodically to discuss common problems and develop uniform responses to these problems. In addition, one critical aspect of maintaining a professional system is providing the judges and legal staff with training opportunities to enhance their legal skills and enable them to take part in intellectual discourse among their juristic peers. The present budget does not contemplate the Dispute Tribunal judges and registrars holding any plenary sessions. Furthermore, the judges and legal staff of the Registries are routinely invited to legal symposiums but are unable to attend them owing to severe budgetary restrictions on official travel. This greatly impedes their ability to enhance their skills, interact with their peers and exchange knowledge. For these reasons, the Secretary-General recommends an increase in the travel budget of the Office of Administration of Justice in the amount of $155,000.\",\n \"c. Mechanism for addressing complaints against judges\",\n \"52. An issue relating to the functioning of the Dispute Tribunal, which also has an impact on the United Nations Appeals Tribunal, is the absence of a mechanism for handling complaints made against judges of the Tribunals. Valid complaints against judges would directly affect the independence, professionalism and accountability of the new system of justice. However, at present, no entity or office has a mandate to engage in the requisite fact-finding, make a determination as to the validity of a claim, impose a sanction or propose one to the General Assembly.\",\n \"53. The Internal Justice Council reported its concerns regarding the absence of any mechanism for dealing with complaints against judges in its report to the General Assembly at its sixty-fifth session, indicating that it believed this to be a matter requiring urgent attention (see A/65/304, para. 40).\",\n \"54. The Secretary-General understands that the Internal Justice Council intends to present a proposal for handling complaints against judges of the Tribunals in its report to the General Assembly at its sixty-sixth session. As there is currently no mechanism in place, the Assembly may wish, as an interim measure pending its decision on a permanent mechanism, to authorize the Council to investigate complaints that arise against judges, including any complaints that have already arisen, and to provide its report and recommendations on those complaints to the Assembly for any action that it may deem appropriate.\",\n \"55. As for a possible permanent mechanism, building upon the preliminary observations on the subject made in his earlier report (A/63/314, paras. 73-79), the Secretary-General offers the following proposals for a mechanism to handle complaints against judges of the Tribunals.\",\n \"56. When an allegation regarding misconduct or incapacity of a judge is made, the allegation would be reported to the President of the Tribunal in question. The President would then undertake an appropriate investigation of the claim, first determining an appropriate investigative process and subsequently appointing a panel of specialists to conduct the investigation. The investigation would afford the judge against whom the allegations were made all requisite due process, for example, the opportunity to respond to the allegation and submit relevant evidence. If the allegation is made against the President of the relevant Tribunal, in the case of the Dispute Tribunal, the allegation would be directed to the most senior of the other judges of the Tribunal. In the case of an allegation against the President of the Appeals Tribunal, the allegation would be directed to its First Vice-President.\",\n \"57. Once an investigation has been conducted, the findings would be reviewed by the entire relevant Tribunal, with the exception of the judge under investigation. In cases where it is the unanimous opinion of the judges that the allegation of misconduct or incapacity is well founded, and where the matter is of sufficient severity to suggest that the removal of the judge would be warranted, the President of the Tribunal or his or her alternate would report the matter to the General Assembly and request the removal of the judge.\",\n \"58. In cases where the alleged conduct, even if determined to be well founded, does not rise to a level that would warrant the removal of the judge, the President or his or her alternate would be given the authority to take appropriate corrective action (for example, issuing a warning or reprimand) that he or she deems appropriate under the circumstances of the case. A report on the disposition of complaints would be submitted annually to the General Assembly. An alternative to this proposal would be that the terms of reference of the Internal Justice Council be amended to provide the Council with the responsibility to investigate and make recommendations regarding any complaint against a judge of the Tribunals. When an allegation regarding misconduct or incapacity of a judge is made, the allegation would be forwarded to the Chair of the Council. The Council would then undertake an appropriate investigation of the claim, first determining an appropriate investigative process that would afford the judge against whom the allegations were made all requisite due process, for example, the opportunity to respond to the allegation and submit relevant evidence.\",\n \"59. Once an investigation has been conducted, the findings would be reviewed by the Internal Justice Council. When the Council has determined that the allegations of misconduct or incapacity are well founded, the Chair would report the matter to the General Assembly and make a recommendation as to the appropriate sanction.\",\n \"60. For both options above, the types of misconduct that would warrant the sanctioning of a judge would be violations of the code of conduct for the judges, prepared by the Internal Justice Council and submitted in document A/65/86 for the General Assembly’s consideration, in accordance with resolution 62/228, or violations of the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials, and Experts on Mission, as set out in Secretary-General’s bulletin ST/SGB/2002/9.\",\n \"C. United Nations Appeals Tribunal\",\n \"1. Composition of the United Nations Appeals Tribunal\",\n \"61. On 2 March 2009, the General Assembly elected the following seven judges:\",\n \"(a) Judge Inés Weinberg de Roca (Argentina);\",\n \"(b) Judge Jean Courtial (France);\",\n \"(c) Judge Sophia Adinyira (Ghana);\",\n \"(d) Judge Mark P. Painter (United States of America);\",\n \"(e) Judge Kamaljit Singh Garewal (India);\",\n \"(f) Judge Rose Boyko (Canada);\",\n \"(g) Judge Luis María Simón (Uruguay).\",\n \"62. On 11 October 2010, Judge Rose Boyko tendered her resignation from the Appeals Tribunal, for personal reasons, effective 15 January 2011. On 28 January 2011, the General Assembly appointed Judge Mary Faherty (Ireland) to replace Judge Boyko following an election process.\",\n \"2. Election of the President and Vice-Presidents\",\n \"63. On 30 June 2010, the Appeals Tribunal elected Judge Courtial as President and Judge Adinyira and Judge Garewal as First and Second Vice-Presidents, respectively, for the period from 1 July 2010 to 30 June 2011.\",\n \"64. The judges of the Appeals Tribunal have held plenary meetings to deal with administrative and operational questions at the beginning and at the end of each of its five sessions.\",\n \"3. Judicial statistics\",\n \"65. From 1 July 2010 to 31 May 2011, a total of 105 new appeals were filed with the Appeals Tribunal: 7 appeals against the United Nations Joint Staff Pension Board, 5 against the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), 1 against the International Civil Aviation Organization and 92 cases appealing judgements and orders of the Dispute Tribunal (65 by staff members and 27 appeals on behalf of the Secretary-General against judgments and orders of the Dispute Tribunal).\",\n \"66. The Appeals Tribunal held two sessions in New York in 2010, from 21 June to 2 July and from 18 to 29 October, and its first session in 2011, also in New York, from 28 February to 11 March. During the reporting period, the Tribunal rendered 96 judgements. It held its second session in 2011 in Geneva, from 27 June to 8 July, at which it considered 34 cases.\",\n \"4. Outcome of disposed cases\",\n \"67. During the period covered by the present report, the Appeals Tribunal issued 96 judgements.[4] Of these, one related to an appeal against the Pension Board, in which the Tribunal upheld the Standing Committee’s decision. Four judgements upheld decisions taken by the Commissioner-General of UNRWA.\",\n \"68. Eighty-three judgements were rendered in appeals against Dispute Tribunal judgements. These judgements decided on 54 appeals filed by staff members and 29 appeals filed on behalf of the Secretary-General. The Appeals Tribunal rejected 46 of the 54 appeals filed by staff members, accepted 3 and remanded 5 to the Dispute Tribunal. Of the 29 appeals filed by the Secretary-General, 9 were dismissed, 19 were accepted, either in full or in part, and 1 was remanded to the Dispute Tribunal. In 12 cases, the Appeals Tribunal overturned or modified the Dispute Tribunal’s award of compensation.\",\n \"69. During the reporting period, 2 requests for interpretation, 2 requests for reconsideration, 2 requests for correction, 3 requests for revision and 1 request to set aside a judgement were filed with the Appeals Tribunal which rejected all 10 requests.\",\n \"70. As at 31 May 2011, 95 applications/appeals were pending before the Appeals Tribunal.\",\n \"5. Issues relating to the functioning of the United Nations Appeals Tribunal and its Registry\",\n \"71. The judges of the Appeals Tribunal meet in sessions, as required by its caseload, generally three times annually, to deliberate and render judgements. Critical to this process is substantial preparation of the cases by the legal and administrative staff of the Registry. While the funding structure and operating methods of the Appeals Tribunal are patterned after those of the Administrative Tribunal of the International Labour Organization (ILO),[5] the ILO Administrative Tribunal has the same number of judges but functions with six full-time Professional legal staff, three General Service staff and other staff on an as-needed basis. In contrast, the Appeals Tribunal Registry has only two Professionals and three General Service staff to support the Tribunal.\",\n \"72. The Appeals Tribunal is a court of review that considers appeals from both staff and management. Pursuant to article 2.10 of the statute of the Appeals Tribunal, the Secretary-General has also concluded agreements with seven agencies providing them with access to the Tribunal as an administrative tribunal. As the system is new, there has been a high volume of appeals from both staff members and the Secretary-General. The number of cases filed with the Tribunal during the past year is comparable to the workload of the ILO Administrative Tribunal, which considers approximately 110 cases annually and does not accumulate a backlog.\",\n \"73. The Registry’s current staffing is inadequate to fully support the Tribunal and allow it to process cases in a timely way. Two legal officers are insufficient to prepare more than 100 cases annually. This situation will lead inevitably to the accumulation of a backlog and to ever-increasing delay, one of the most highly criticized aspects of the former system. To allow this to occur again would crucially undermine the reform of the system of administration of justice. It is particularly undesirable for lengthy delays to exist between the rendering of a judgement by the dispute tribunal and the final appellate decision, as the outcome of an appealed case may settle the law in a particular area, reducing the number of future cases.\",\n \"74. There is a need for an additional P-4 Legal Officer to guarantee the Registry’s ability to function effectively. There is a need for greater experience in the office, given the complexity of many of the cases and the speed with which they must be processed. A Legal Officer at the P-4 level could supervise the current staff on legal aspects of the work of the Registry, freeing the Registrar to focus on overall supervision, communications with the judges and other stakeholders, and the provision of technical and administrative support to the Tribunal.\",\n \"75. In addition, a more senior Legal Officer would be capable of providing more substantive legal support to the judges and responding to queries independently, which would increase efficiency and responsiveness. Such a Legal Officer would share administrative functions with the Registrar and act as Officer-in-Charge in his or her absence. In the light of the volume of cases and the importance of providing the United Nations Appeals Tribunal with sufficient legal support to permit it to function optimally, the Secretary-General recommends that the General Assembly strengthen the Registry of the United Nations Appeals Tribunal with an additional Legal Officer at the P-4 level.\",\n \"76. In its resolution 65/251, the General Assembly approved, for one year, an additional General Service (Other level) position to support the Appeals Tribunal. The Secretary-General notes that the support provided by this position has been useful. However, there is an urgent need for an additional Legal Officer with adequate seniority to support the judges in their work. In the light of this fact and mindful of the prevailing budgetary constraints, the Secretary-General recommends that this position not be continued.\",\n \"77. Under article 4.2 of its statute, the Appeals Tribunal “shall hold ordinary sessions at dates to be fixed by its rules of procedure, subject to the determination of its President that there is a sufficient number of cases to justify holding the session.” Given the experience gained during the Tribunal’s first year of operations, and taking into account the number of cases filed with the Tribunal, it is envisioned that the Appeals Tribunal will have sufficient cases to justify meeting in three sessions annually. The Secretary-General notes, however, that the current budget for travel of the Tribunal is insufficient to accommodate a third session. Therefore, the Secretary-General recommends that additional funding in the amount of $230,000 be made available in the 2012-2013 budget for the Office of Administration of Justice to permit the United Nations Appeals Tribunal to hold a third session if required.\",\n \"78. In paragraphs 155 to 164 of his previous report (A/65/373), the Secretary-General reported on the status of the judges of the Appeals Tribunal and their entitlements. In that report, the Secretary-General recommended that the travel privileges and the level of daily subsistence allowance previously provided to the judges of the former United Nations Administrative Tribunal should also be accorded to the judges of the Appeals Tribunal. In paragraph 50 of its resolution 65/251, the General Assembly decided to revert to the issue of travel privileges and the level of daily subsistence allowance of the judges of the Appeals Tribunal in the context of the 2012‑2013 budget. The Secretary-General continues to believe that this course of action would be appropriate and therefore recommends that the travel budget of the Office of Administration of Justice be increased by $50,200 to reflect this.\",\n \"D. Office of Staff Legal Assistance\",\n \"79. The Office of Staff Legal Assistance continues to face many challenges. The Office consists of seven Legal Officers funded through the regular budget (three located in New York and one at each of four satellite offices, in Addis Ababa, Beirut, Geneva and Nairobi) and three General Service staff (all located in New York). As of 1 January 2011, the Office of Staff Legal Assistance was provided with an additional Professional staff member at the P-3 level in Nairobi to support cases involving staff in field missions. This position has been funded for one year through the peacekeeping support account.\",\n \"80. Despite the limited staffing spread over multiple duty stations, the Office of Staff Legal Assistance has made considerable accomplishments in its first two years of operation. It continues to successfully handle a high volume of requests for assistance from staff around the world with a small number of legal officers and limited administrative support.\",\n \"81. As at 1 July 2010, the Office of Staff Legal Assistance had 432 pending cases.[6] Between 1 July 2010 and 31 May 2011, 425 new cases were filed with the Office. Taking into account the number of cases pending with the office as at 1 July 2010, it was involved in 857 matters. The Office has been able to close or otherwise find solutions for 265 of these cases. As at 31 May 2011, the Office had close to 600 active cases. In the second year of its operation, the volume of matters brought to the Office by staff, especially requests from staff located away from the three branches of the Dispute Tribunal, increased, placing significant strains on its limited resources.\",\n \"82. The Office of Staff Legal Assistance provides many forms of legal assistance to staff, ranging from the provision of summary legal advice to the representation of the staff member before the Tribunals. Significant time may be expended in resolving a matter informally or helping the staff member understand that he or she is unlikely to succeed in a formal claim.\",\n \"83. The greatest challenge for the Office continues to be responding to the high volume of requests for assistance with a limited number of staff. This is particularly difficult for the legal officers away from New York who work in isolation and without local administrative support. Thus, these legal officers must manage a heavy caseload and the majority of the administration of the office alone.\",\n \"84. The Office of Staff Legal Assistance is assisted by affiliated volunteer counsel, legal interns and external pro bono counsel. Unfortunately, their numbers are insufficient to resolve the human resources deficit of the Office. It is difficult to identify qualified volunteer, intern and pro bono assistance in offices away from Headquarters, which contributes to the concern that its presence is substantially limited to New York.\",\n \"85. The General Assembly has reiterated its request to the Secretary-General to work with staff associations in developing incentives to enable and encourage staff to continue to participate in the work of the Office of Staff Legal Assistance. This matter was considered at the session of the Staff-Management Coordination Committee in June 2011, and it was noted that there continue to be differences in opinion between management and staff representatives as to the approach to be taken. Accordingly, staff and management decided that consultations on the issue should continue.\",\n \"86. The Trust Fund for Staff Legal Assistance, established by the Office of Administration of Justice in January 2010, has not provided sufficient resources to meaningfully assist the Office in augmenting its human resources, even on a temporary basis.\",\n \"87. In the light of the experience gained during its first two years of operation, the Secretary-General believes that the present staffing of the Office of Staff Legal Assistance must be strengthened in order for it to fulfil its mandate. As the Secretary-General indicated in his report to the General Assembly at its sixty-fifth session, the Office suffers in particular from a lack of legal officers at a more senior level, as only one of its Professional staff members is above the P-3 level. For this reason, the Secretary-General recommends strengthening the Office of Staff Legal Assistance through the addition of two P-4 posts, to be located in Nairobi and New York.\",\n \"88. The ability of the Office of Staff Legal Assistance to function efficiently is impaired by the absence of administrative support outside New York. As all administrative support is located at Headquarters, staff members, regardless of their duty station, must initiate their cases through communication with the Office in New York. The clear message to staff is that despite the promise of a decentralized system, core business takes place at Headquarters. For this reason, the Secretary-General recommends strengthening the Office of Staff Legal Assistance through the addition of two General Service (Other level) posts to provide administrative support in Geneva and Nairobi.\",\n \"89. At its sixty-fifth session, the General Assembly agreed with the Secretary-General that the capacity of the Office of Staff Legal Assistance to serve field missions should be strengthened. Accordingly, the Assembly approved, on a temporary basis, an additional P-3 position located in Nairobi to support staff in field missions. This position, funded through the peacekeeping support account for one year, runs from 1 January to 31 December 2011. In the light of the continuing trend of a large number of cases involving staff from field missions, which demonstrates ongoing need, and further considering that the Department of Field Support and the Department of Peacekeeping Operations participate in the ongoing funding of the formal system on a cost-shared basis, the Secretary-General recommends that the P-3 position in Nairobi dedicated to supporting staff in field missions be continued for a period of one year and funded through the peacekeeping support account.\",\n \"90. The non-post resources allocated to the Office of Staff Legal Assistance are also insufficient to permit it to function properly. Despite the fact that, because it is a decentralized office, all its office coordination and a significant portion of client consultation must be conducted by e-mail, telephone and video link, the Office has a communications budget that is insufficient to permit even modest amounts of telephone and video-link communication. In addition, the staff of this decentralized office, which has locations around the globe, must be able to communicate with one another outside the office and outside normal business hours. While the use of smartphone devices such as BlackBerries facilitates this, the current budget is insufficient to fund their use. For this reason, the Secretary-General recommends that there be an increase of $11,200 in the communications line item in the 2012-2013 budget.\",\n \"91. Although they are rare, there are times when physical travel cannot be avoided. The legal officers serving in offices away from Headquarters serve a wide geographic area, including many field missions. If staff are to have meaningful access to the Office of Staff Legal Assistance, particularly in the field, its legal officers must periodically visit the duty stations that they serve in order to meet with clients and engage in face-to-face negotiations with local administration, facilitating informal dispute resolution. Legal officers of the Office in Addis Ababa and Beirut may be required to physically attend hearings of the Dispute Tribunal on behalf of clients, as ordered by the Tribunal. At present, there is no travel budget for the Office of Staff Legal Assistance to meet any of these critical requirements. Accordingly, the Secretary-General recommends that the Office’s travel line item be increased by $15,000 in the 2012-2013 budget.\",\n \"92. Finally, the current budget of the Office, particularly for those offices located away from New York, is insufficient to provide for basic office requirements, such as the rental or purchase of a photocopier and scanner, and the purchase of key office supplies such as paper, binders, paper clips and pens. The lack of these basic office necessities in the one-person offices away from Headquarters compounds the difficulties faced by these isolated legal officers. For this reason, the Secretary-General recommends that the line item for supplies and materials be increased by $9,000 in the 2012-2013 budget.\",\n \"E. Office of the Executive Director\",\n \"1. Review of the Office of the Executive Director\",\n \"93. The Office of the Executive Director is responsible for overseeing the administration of all of the elements of the formal system other than the representation of the Secretary-General as respondent. The Office, consisting of the Executive Director, the Special Assistant, two information technology specialists and one administrative support staff member, provides administrative, operational and technical support to the Tribunals, Registries and the Office of Staff Legal Assistance. This operational support has included coordinating with other relevant offices to facilitate the creation of a temporary courtroom facility in New York and similar coordinating efforts to provide for permanent office and courtroom facilities for the Office of Administration of Justice upon the completion of the capital master plan.\",\n \"94. In addition to providing daily support to the above-mentioned units, the Office of the Executive Director is responsible for coordinating the preparation of the reports of the Secretary-General pursuant to relevant General Assembly resolutions. The Office also represents the formal system both within the United Nations and before external bodies, and in all matters requiring interdepartmental coordination and consultation.\",\n \"95. Among the other accomplishments of the Office is the establishment of the website of the Office of Administration of Justice, which was launched on 28 June 2010 and is available in all six official languages. The website (www.un.org/en/oaj) is easy to navigate and provides practical step-by-step information on all aspects of the formal system. In May 2011, there were 7,690 visits to the website, which represents a 13 per cent increase in visits compared with the previous month. Since the website was launched, the average number of visits per month has been approximately 7,000. Overall, there is a trend of increasing use of the website. The Office of Administration of Justice continues to improve the website, including by creating functionality for searching orders and judgements of the Tribunals, which has been requested by users.\",\n \"96. Another major milestone was the launching, on 6 July 2011, of the web-based electronic case management system, which includes the capacity to enable staff members from any duty station to file and monitor their cases electronically. The system is expected to increase efficiency, reduce delays and improve the functioning of the Registries. In addition, the implementation of the case management system provides an easy-to-access gateway to the elements of the formal system for staff members around the world.\",\n \"97. The Office has successfully negotiated agreements with all of the entities that had access to the United Nations Administrative Tribunal in the prior system, pursuant to article 2.10 of the statute of the Appeals Tribunal.[7] Those agreements, signed by the Secretary-General, provide those entities with access to the Appeals Tribunal as an administrative tribunal.\",\n \"98. In addition to its role in preparing and coordinating reports to the General Assembly on the administration of justice, the Office of the Executive Director provides substantial assistance in organizing the election of judges to the Tribunals when necessary.\",\n \"99. Another important function of the Office of the Executive Director is to provide support to the Internal Justice Council in its work, including in preparing its reports to the General Assembly, as requested in resolutions 62/228 and 65/251, and in transmitting its views on the implementation of the new system of administration of justice.\",\n \"100. The Office also provides significant administrative and technical support to the Internal Justice Council as it undertakes to assist the General Assembly in identifying candidates for judicial vacancies that will occur at the expiration of the three-year terms of judges in the Dispute and Appeals Tribunals on 30 June 2012.\",\n \"2. Issues relating to the functioning of the Office of the Executive Director\",\n \"101. The Office of the Executive Director is the focal point for organizing all of the technical, budgetary and logistical aspects of each of the substantive units within the Office of Administration of Justice. The role and functions of the Executive Director are substantial. The Executive Director plays a pivotal role in maintaining the independence of the formal system and is responsible for the coordination of the independent elements of the formal system, including oversight and coordination of the Registries and of the Office of Staff Legal Assistance. The Executive Director also represents the formal system both within the United Nations and before external bodies, and liaises with the heads of other United Nations offices, including the Office of the Ombudsman and Mediation Services.\",\n \"102. In paragraph 34 of its resolution 65/251, the General Assembly requested the Secretary-General to submit proposals on the appropriate post level for the Executive Director of the Office of Administration of Justice. The Secretary-General considers that this issue should not be viewed in isolation from a corollary issue, which is the level of judges of the Dispute and Appeals Tribunals and the mechanisms for remunerating them. The judges of the Tribunals are non-staff officials. In the case of the judges of the Dispute Tribunal, they work on a full-time basis and are remunerated at the equivalent of the D-2, step IV, level. The judges of the Appeals Tribunal do not work full time, but meet in sessions every year to decide cases. Their remuneration does not reflect any specific post level, and they receive an honorarium per judgement rendered. The principal drafter of a judgement receives $2,400 and additional signatories $600 per judgement. It is apparent, after two years of experience gained, that this mechanism for remuneration raises some issues with respect to necessary intersessional functions of the Appeals Tribunal. Accordingly, the Secretary-General recommends that the General Assembly request the Internal Justice Council to examine the issue of the level of remuneration and remuneration mechanisms with respect to the judges of both Tribunals, as appropriate, and to report thereon to the Assembly at its sixty-seventh session, when the Assembly will consider the report of the Council on this matter, in conjunction with the issue of the appropriate post level for the Executive Director of the Office of Administration of Justice.\",\n \"103. As described above, the tasks of the Office are very extensive. There is a need for an additional legal officer to assist with the high volume of work. The Professional staff of the Office of the Executive Director are legal, and information technology specialists and have only limited experience in key administrative areas, in particular United Nations budgeting.\",\n \"104. It is clear that the Office would benefit from the addition of a legal officer with experience in administration and budget and of an administrative support position. However, in the light of financial constraints, no additional resources are currently requested in this area.\",\n \"105. The Office of Administration of Justice facilitates the work of the Internal Justice Council. This independent body of senior jurists has a critical oversight function in the new system and has a substantial mandate. In paragraph 52 of its resolution 65/251, the General Assembly stressed that the Council could help to ensure independence, professionalism and accountability in the system of administration of justice and encouraged the Council to continue to provide its views on the implementation of the system of administration of justice and to report to the Assembly at its sixty-sixth session on ways in which its contributions might be enhanced.\",\n \"106. Despite this, no express provision has been made in the current or prior budgets of the Office of Administration of Justice for remuneration of the external members of the Council when they carry out their considerable functions. Nor does the budget of the Office of Administration of Justice contain funds for general temporary assistance to accommodate maternity leave or long-term sick leave of staff members. Furthermore, there are no funds to hire temporary staff on a project basis or to cover periods of peak workload. Accordingly, the Secretary-General recommends that funds for general temporary assistance in the amount of $130,000 be included in the 2012-2013 budget.\",\n \"107. The Executive Director and members of his staff must travel periodically to participate in meetings, both within the Office of Administration of Justice (for example, to the plenary sessions of the Dispute and Appeals Tribunals) and in the wider organizational context, such as the annual meeting of the Staff-Management Coordination Committee. There also continues to be a need for outreach to staff and managers located away from Headquarters, which necessitates travel by the Executive Director and his staff. The travel budget of the Office of Administration of Justice must accommodate all travel by the Executive Director and his staff and also accommodate the travel of staff relating to the plenary sessions of both Tribunals, the travel of staff of the Office of Staff Legal Assistance or other participants in the hearings when required by the Tribunals, and any other travel of staff of the Office of Administration of Justice. Because travel related to the judicial functions of the Tribunals must be prioritized, there is no meaningful travel budget for the Executive Director and his staff. The Office’s travel budget is also insufficient to permit the members of the Internal Justice Council, who are not co‑located, to travel to meet on an annual basis or to undertake any other travel to perform their essential task of evaluating the functioning of the system globally and reporting back to the General Assembly. For these reasons, the Secretary-General recommends that the travel budget of the Office of Administration of Justice be increased by $30,000 in the 2012-2013 budget.\",\n \"108. The mandate of the Office of Administration of Justice to be a decentralized office requires substantial dependence on technological solutions. Two of the Office’s accomplishments in this area over the past year have been the establishment of a comprehensive website in all official languages and the implementation of a case management system with the capacity to allow all staff members, regardless of location, to file cases with the Tribunals and monitor them. While these important accomplishments save time, resources and money, they must be maintained and improved to keep pace with requirements. In addition, as off-the-shelf solutions were utilized to avoid costly bespoke systems, these products involve the renewal of annual licences and maintenance contracts. Furthermore, there are operating costs associated with data storage, system updates and adjustments based on lessons learned. The budget of the Office of Administration of Justice does not currently cover all of the licence, maintenance and upgrade costs associated with the systems that have been put in place. For these reasons, the Secretary-General recommends an increase of $75,000 in the 2012-2013 budget of the Office of Administration of Justice in the areas of contractual services and acquisition of software packages.\",\n \"F. Legal offices representing the Secretary-General as respondent\",\n \"109. Several offices represent the Secretary-General as the respondent in cases brought by staff members. Owing to the continued high volume of cases filed by staff members and the complexity of many of them, the offices and units representing the Secretary-General as respondent are functioning at or beyond capacity, given their existing staff and resources.\",\n \"1. Legal offices representing the Secretary-General before the United Nations Dispute Tribunal\",\n \"110. In his role as respondent before the Dispute Tribunal, the Secretary-General is represented by staff located at Headquarters and in offices away from Headquarters located in Geneva, Nairobi and Vienna.\",\n \"111. In response to the needs of the new justice system, managers have redeployed staff within the Organization and recruited staff with the requisite skills to serve the system. As a result, the Organization has responded to the demands of the new system, which is being implemented throughout the Organization.\",\n \"112. In 2010, 218 judgements were issued. The judgements provide an analysis of the background of the dispute, a reasoned application of the relevant staff regulations and rules, and findings on the factual and legal issues before the Dispute Tribunal. The judgements reflect the extensive submissions on the facts and the law presented by the parties during the course of the proceedings.\",\n \"113. In order to fulfil the standards set by the new system, acute demands are placed on the offices representing the Secretary-General before the Dispute Tribunal. This section details the roles of the respective offices, the resources dedicated to the system, the statistics reflecting the volume of cases handled by the representatives of the Secretary-General, information on the outcome of the proceedings, and the Administration’s response to the jurisprudence.\",\n \"114. The new justice system has brought with it new demands on the Administration. Together with the structural changes to the system, the Administration has been required to respond quickly and decisively to the resource and management challenges that it faces. In order to maintain the strength of the representation of the Secretary-General and enhance the capacity of the Secretary-General to respond to ongoing demands, it is important that the initiatives taken by management be preserved and consolidated. Furthermore, it is important that the global Secretariat continue to develop a fully integrated approach to the management of the representation of the Secretary-General before the Tribunals, which includes regular consultation and briefings among the staff of the offices representing the Secretary-General.\",\n \"Administrative Law Section, Office of Human Resources Management\",\n \"115. The Administrative Law Section, located in the Office of Human Resources Management, comprises an Appeals Unit and a Disciplinary Unit. The Section is responsible for representing the Secretary-General in his role as respondent before the Dispute Tribunal with respect to cases filed by staff serving across the global Secretariat, as well as cases from staff of the International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia. Cases brought by staff of the United Nations Offices at Geneva, Nairobi and Vienna, the United Nations Environment Programme (UNEP) and the United Nations Human Settlements Programme (UN-Habitat) are handled by officials at those duty stations. The Section also handles disciplinary matters referred to the Office of Human Resources Management relating to all Secretariat staff and staff of the International Tribunals, and provides advice to managers on the justice system in general, as well as on aspects of individual appeals and disciplinary cases.\",\n \"Appeals\",\n \"116. Upon the receipt of an application from the Dispute Tribunal, the Administrative Law Section is responsible for obtaining comments on the application from managers involved and for drafting a reply. The time limit for submitting a reply is 30 days, requiring prompt action from both the managers involved and the Section.\",\n \"117. During the course of the proceedings, the legal officers of the Administrative Law Section participate in directions hearings and hearings on the merits, and make further written submissions as ordered by the Tribunal. Attendance at hearings requires substantial time for preparation, which includes consulting with the offices concerned and with the Office of Legal Affairs, where appropriate; meeting with witnesses to be called by the respondent; and preparing for the cross-examination of witnesses called by the applicant or his or her counsel and/or by the Tribunal.\",\n \"118. The Administrative Law Section is also responsible for advising the Administration as to whether efforts towards informal resolution should be pursued or whether the litigation should be continued. The recommendations provide an analysis of the factual and legal issues arising in the case, and advice as to the most cost-effective way of resolving the dispute. If the recommendation to seek informal resolution is accepted, the Section is responsible for obtaining the necessary approvals, providing advice in the course of the negotiations with the applicant and/or his or her counsel, working with the Office of the Ombudsman to finalize the settlement agreement and following up on its implementation. The negotiations are frequently protracted and demanding; however, the potential benefit of resolving the dispute informally is substantial.\",\n \"119. When a final judgement is issued, the Administrative Law Section liaises with the Office of Legal Affairs, which determines whether to appeal the judgement to the Appeals Tribunal. The Section is also responsible for interpreting the final judgements of the Dispute Tribunal, obtaining information necessary for the implementation of the judgements and conveying the judgements to the relevant officials for implementation.\",\n \"120. The Section also represents the Secretary-General in suspension-of-action proceedings, in which a party seeks the urgent suspension of the implementation of an administrative decision. These applications must be resolved without delay. Within five days of the request, a response is filed, and an oral hearing is conducted. The Tribunal issues an order either accepting or rejecting the request within days of the hearing. These hearings require urgent attention and intensive preparation. It is particularly difficult to meet the deadlines when the office concerned and potential witnesses are located away from Headquarters and time differences are at issue.\",\n \"121. During the reporting period, the Administrative Law Section handled 318 appeals cases; at any given time, it has approximately 200 files pending before the Dispute Tribunal. Approximately 50 per cent of the files concern appointment-related issues; 20 per cent are disciplinary appeals; 15 per cent relate to benefits and entitlements; 5 per cent relate to separation from service; 1 per cent relate to classification; and 9 per cent relate to other matters.\",\n \"122. During the period from 1 July 2010 to 30 June 2011, the Dispute Tribunal issued judgements in 114 cases handled by the Section. Sixty-four applications were decided on the merits; 17 were dismissed on grounds of receivability; 14 were informally settled and withdrawn; 5 were withdrawn by the staff member; 5 related solely to compensation; and 9 were abandoned by the applicant. In addition, 12 requests for suspension of action were determined by the Tribunal. Three were granted, four were dismissed and five were either settled or abandoned.\",\n \"123. Of the cases decided on the merits, 38 were decided in favour of the Secretary-General and 21 in favour of the staff member, and on 5 occasions the Administration successfully defended the staff member’s principal claim; however, a minor claim succeeded. Where the Applicant succeeded on the merits either fully or partially, compensation was awarded in 20 cases.\",\n \"124. The new working methods, the high number of appeals to be addressed, the shortened deadlines for the submission of the respondent’s replies (from two months to 30 days) and the time differences between New York and the other duty stations where client departments/offices, witnesses and the Tribunal branches are located have resulted in a heavy workload and increased pressure for staff of the Section.\",\n \"Disciplinary matters\",\n \"125. The Administrative Law Section is also responsible for handling disciplinary matters referred to the Office of Human Resources Management for action. During the reporting period, the Section was responsible for 391 disciplinary matters, including 121 new cases received during the reporting period. The Section’s role in processing disciplinary cases is set out in a separate report of the Secretary-General on his practice in disciplinary matters and possible criminal behaviour (see A/66/135).\",\n \"126. It is noted that the new justice system and the concomitant abolition of the Joint Disciplinary Committee have shifted the responsibility for conducting the factual and legal analysis of a case to the Office of Human Resources Management. In the former system, the Secretary-General referred disciplinary matters to the Joint Disciplinary Committee for the establishment of the facts and for advice as to what disciplinary measures, if any, should be imposed. With the abolition of the Joint Disciplinary Committee, the Office of Human Resources Management is required to perform increasingly detailed analyses of the cases before it. Consequently, substantial time is spent scrutinizing every aspect of a referral for disciplinary action, including obtaining clarifications and additional evidence from the investigating entity or the staff member concerned. Depending on the complexity of the matter, the disciplinary process can last from three months in a relatively straightforward case to up to two years in a more complex matter.\",\n \"Advice\",\n \"127. Finally, the Administrative Law Section provides ad hoc advice to offices throughout the Secretariat. Generally, one piece of advice requires one working day. Each year, the Section provides approximately 600 pieces of advice.\",\n \"Resources of the Administrative Law Section\",\n \"128. The transition to the new system has placed substantial additional demands on the Administrative Law Section. The procedures for both the appeals and disciplinary work are considerably more complex and demanding, resulting in a substantial increase in the volume of work. One fundamental change is the shift from document-based proceedings under the former system to oral hearings and the demand for numerous written submissions under the new system. The average number of working days required to process an appeal has tripled, from 5 days under the former system to 15 days under the new one. Under the former system, the respondent made, on average, two written submissions in each case. Hearings in appeals cases were held rarely, if at all. Under the new system, the Tribunal often requires numerous written submissions. In a significant number of the cases handled by the Section, between two and three oral hearings were held, in some cases even more. Preparation time for hearings can be substantial, requiring consultation with the offices concerned, and for merits hearings, preparation requires locating and speaking with witnesses in order to familiarize them with the process and to obtain statements.\",\n \"129. As at 30 June 2009, the Administrative Law Section comprised four posts: one P-5 (Chief) post funded from the regular budget; one P-4 post also funded from the regular budget; and two P-4 posts funded from the peacekeeping support account. In addition, there were ad hoc funds from the peacekeeping support account for general temporary assistance. Owing to the volume of work coming from the field and the demands placed on the Section by the new system, on 1 July 2009 the General Assembly authorized an additional three legal officer posts (2 P-3 and 1 P-2) and two temporary positions (1 P-3 and 1 P-2) financed from the peacekeeping support account. In January 2010, the Section was divided into an Appeals Unit and a Disciplinary Unit. A P-5 post was redeployed from another section within the Human Resources Policy Service to head the Appeals Unit. In view of the sustained workload from the field missions, in July 2010 two additional legal officer posts (1 P-4 and 1 P-3) located in Nairobi were approved by the General Assembly and financed from the peacekeeping support account. Also in July 2010, three additional temporary positions (1 P-4 and 2 P-3) were made available by the Secretary-General under his limited discretionary authority, for handling appeals and disciplinary cases from non-field-related organizational units.\",\n \"130. The Administrative Law Section has a staffing complement of 15 legal officers. At present, the Section comprises an Appeals Unit with one P-5 (Chief), three P-4 and two P-3 staff in New York and one P-4 and one P-3 in Nairobi; and a Disciplinary Unit with one P-5 (Chief), one P-4, three P-3 and two P-2 staff. Of those positions, three are financed from the regular budget (one of which was redeployed from within the Human Resources Policy Service), nine are financed from the peacekeeping support account and three are financed until 31 December 2011 by temporary resources provided by the Secretary-General under his limited budgetary discretion.\",\n \"131. An analysis of the Section’s caseload demonstrates the need for additional posts. With regard to appeals, over the past year approximately 115 appeals filed with the Dispute Tribunal were received and handled by the Appeals Unit. Each case before the Dispute Tribunal takes on average 15 working days to process. This requires 1,725 working days per year. In addition, the Appeals Unit provides approximately 400 pieces of advice per year, requiring 400 working days per year. In total, the Appeals Unit performs approximately 2,125 days of work per year. Based on 27 working days per month, that is, 78.7 work months per year, this translates to seven posts. The Appeals Unit currently has only five posts, one of which is the post of the Chief. The Chief oversees and directs the work of the Unit, and the four legal officers handle the caseload. Three additional legal officer posts are therefore required.\",\n \"132. Given that approximately 35 per cent of appeals are from peacekeeping missions and 65 per cent are from non-peacekeeping offices, six posts should be allocated from the regular budget and three from the peacekeeping support account. However, only one legal officer post in the Unit is currently funded from the regular budget. In order to ensure optimal functioning, three additional regular budget posts would need to be established in the Appeals Unit. However, in the light of the current financial constraints of Member States, it is proposed that two additional posts (1 P-4 and 1 P-3) be established in the Appeals Unit at this time.\",\n \"133. On the basis of the number of disciplinary cases received since 1 July 2009, it is expected that approximately 150 cases will be received by the Administrative Law Section for action each year. As a disciplinary file takes an average of 20 working days to process, the caseload requires 3,000 working days per year. In addition, the Disciplinary Unit provides approximately 200 pieces of advice per year, requiring 200 working days. In total, the Disciplinary Unit must perform approximately 3,200 days of work per year. Based on 27 working days per month, this translates to 118.5 work months, which is equivalent to 10 posts. The Disciplinary Unit currently has only six legal officer posts, comprising four established legal officer posts and two temporary positions. In addition, the Unit has a Chief (P-5) who oversees and directs the work. Therefore, there is a shortfall of four legal officer posts.\",\n \"134. Given that approximately 60 per cent of disciplinary cases handled are from peacekeeping missions and 40 per cent are from non-peacekeeping offices, four posts should be allocated from the regular budget and six from the peacekeeping support account. Currently, however, no legal officer post in the Disciplinary Unit is funded by the regular budget. It is proposed that the four established posts be maintained under the peacekeeping support account. The conversion of the two additional required posts from general temporary assistance to established posts will be proposed in the 2012-2013 budget of the peacekeeping support account. In order to handle the workload from non-peacekeeping offices, the Disciplinary Unit requires four regular budget legal officer posts. However, in the light of the current financial constraints of Member States, it is proposed that three additional posts (1 P-4 and 2 P-3) be established in the Disciplinary Unit at this time.\",\n \"135. In total, the Secretary-General seeks an additional five legal officer posts for the Administrative Law Section. Notably, in the assessment of the resources required for the Section, 27 working days per month were allowed for, rather than the standard 21.5 days. This further demonstrates the heavy workload that the Section is carrying and the need for a sustainable resource base.\",\n \"United Nations Office at Vienna\",\n \"136. At the United Nations Office at Vienna and the United Nations Office on Drugs and Crime, overall responsibility for acting as representative of the Secretary-General in appeal and disciplinary matters has been delegated to the Director of the Division for Management. Day-to-day responsibility for handling disciplinary cases prior to their referral to the Office of Human Resources Management and requests for management evaluation, as well as for representing the Secretary-General before the Dispute Tribunal, is assigned to the Human Resources Management Service and coordinated by the Human Resources Policy Officer within the Service.\",\n \"137. The United Nations Office at Vienna/United Nations Office on Drugs and Crime continues to observe an increase in requests for legal advice and for confirmation of compliance with the applicable law from managers, as well as an increase in the time required to prepare for each case before the Dispute Tribunal. To keep staff and management informed of the features of the new justice system, the United Nations Office at Vienna/United Nations Office on Drugs and Crime continues to hold briefings, lunchtime forums and town hall meetings and sends electronic messages to staff at large in Vienna and in the field, all of which requires additional time from the human resources team.\",\n \"138. The increasing number of appeals, coupled with the very short deadlines in the new system, continues to overstretch the legal support capacity available for United Nations Office at Vienna/United Nations Office on Drugs and Crime management. The United Nations Office at Vienna has deployed one Human Resources Policy Officer in the Human Resources Management Service on a full-time basis to respond to the increased demands of the new system. However, this is not viable in the long term, since the human resources team is stretching its limited resources to cover for the regular functions of this officer. Accordingly, the United Nations Office at Vienna requires the dedicated posts of a legal officer at the P-4 level and a General Service (Other level) legal assistant to ensure adequate coverage of the continuing demands of the system. Given the financial constraints, however, it is proposed that the United Nations Office at Vienna be supported by staff at the United Nations Office at Geneva.\",\n \"United Nations Office at Geneva\",\n \"139. At the United Nations Office at Geneva, a Human Resources Officer with a legal background acts as the representative of the Organization before the Dispute Tribunal in cases filed by staff members at the Office and in its client organizations (the Office of the United Nations High Commissioner for Human Rights (OHCHR), the United Nations Conference on Trade and Development (UNCTAD), the Office for the Coordination of Humanitarian Affairs, the Economic Commission for Europe (ECE) and other, smaller entities). In addition to the temporary P-4 resource, it became necessary to add a P-3 Legal Officer post, funded on a cost-shared basis by client organizations (OHCHR, UNCTAD and the Office for the Coordination of Humanitarian Affairs) in order to cope with the increase in the workload, in particular from the client organizations. However, this arrangement will be in place only until the end of 2011.\",\n \"140. As noted above, owing to the establishment of the new justice system, staff members’ submissions are more detailed and require more analytical work and legal research, and there are more oral hearings than in the prior system, which are time-consuming. In addition, the Dispute Tribunal judges often request the respondent to provide detailed information on elements of a case, thus creating additional work and more consultation with managers involved. The overall result is that each case requires more staff time than a case would have taken in the former system.\",\n \"141. The legal officers are also requested to provide legal advice to managers regarding management evaluation requests or the preparation of decisions. Furthermore, the United Nations Office at Geneva continues to organize training for managers on the justice system and holds briefings for managers on management evaluation decisions and Tribunal jurisprudence. Finally, the legal officers provide support/input to the Office of Legal Affairs, which handles appeals for the Organization before the Appeals Tribunal.\",\n \"142. Despite the significant increase in work, no additional resources were allocated to the United Nations Office at Geneva in conjunction with the transition to the new system. While temporary staffing arrangements were made on an ad hoc basis to address the time-critical extra workload relating to the rendering of essential legal expertise to the Office, this was done at the expense of adequately managing the significant demands placed on other areas of human resources. Those arrangements were therefore determined to be unsustainable for the future.\",\n \"143. In order to effectively provide proper representation of the Secretary-General before the Dispute Tribunal, it has become crucial to seek advice from Headquarters on the provision of additional dedicated legal resources. Specifically, given the current caseload, the United Nations Office at Geneva requires a P-4 post for a Legal Officer with litigation experience and a General Service (Other level) post for a Legal Assistant. The P-4 Legal Officer would also be required to provide services to the United Nations Office at Vienna/United Nations Office on Drugs and Crime as indicated in paragraph 138 above. The P-3 Legal Officer post, funded on a cost-shared basis by client organizations (OHCHR, UNCTAD and the Office for the Coordination of Humanitarian Affairs), would need to be retained.\",\n \"United Nations Office at Nairobi\",\n \"144. During the reporting period, the position of Senior Legal Officer to the Director-General was filled, and for the latter half of the period the Senior Legal Officer represented the United Nations Office at Nairobi before the Dispute Tribunal. Early in the reporting period, the Office had been represented before the Dispute Tribunal by a Human Resources Officer with a legal background, assisted by colleagues from the Administrative Law Section. Furthermore, in the light of the limited experience in litigation of the Human Resources Section, the Office and UNEP engaged outside legal expertise on a consultant contract to assist with litigation matters before the Dispute Tribunal.\",\n \"145. Cases concerning the client offices of the United Nations Office at Nairobi were handled either by staff of UNEP or UN-Habitat who had a legal background or by the Office’s Senior Legal Officer.\",\n \"146. The reliance placed on the Senior Legal Officer before the justice system means that she is unable to attend to the core functions of her post as legal adviser to the Director-General. Accordingly, additional resources are requested. Specifically, the United Nations Office at Nairobi seeks a P-4 post for a Legal Officer with litigation experience and a post for a General Service (Other level) staff member to serve as a Legal Assistant. These posts would also serve the Economic Commission for Africa (ECA), where the demands of the new system have been particularly acute.\",\n \"Regional commissions and the Tribunals\",\n \"147. The respective Human Resources Management Services of the regional commissions (ECE, the Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic Commission for Latin America and the Caribbean (ECLAC), ECA and the Economic and Social Commission for Western Asia (ESCWA)) and the Tribunals (the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda) are called upon to perform additional functions and provide additional services under the new system.\",\n \"148. The Human Resources Management Services are responsible for the day-to-day handling of disciplinary cases prior to their referral to the Office of Human Resources Management and requests for management evaluations. Furthermore, they are called on to give advice and guidance to managers on the jurisprudence emerging from the Dispute Tribunal. In addition, they liaise with the Administrative Law Section regarding ongoing cases; respond to requests for additional information sought by the Dispute Tribunal; establish contact with witnesses; and provide information required for the implementation of judgements. The judges of the Dispute Tribunal often request the parties to provide detailed information on elements of a case, thus creating additional work and more consultation with the managers involved. The overall result is that each case requires substantially more staff time than a case would have required in the former system.\",\n \"149. The original requests for resources to implement the new system did not include any provision for additional resources in the regional commissions. However, following the implementation of the system, it has become apparent that resources are needed.\",\n \"150. There is a need for a P-4 Human Resources Policy Officer with a legal background to give internal advice to management and Human Resources Services at ESCAP and ESCWA. The Officer would be based in ESCAP and would support both ESCAP and ESCWA. A General Service (Other level) post is also required in order to support the Officer.\",\n \"151. The legal officers at the United Nations Office at Geneva will support the work of ECE, while the legal officers based at Headquarters will be responsible for advising ECLAC.\",\n \"152. As indicated in paragraph 146 above, the proposed Legal Officer post in the United Nations Office at Nairobi would support the work of ECA.\",\n \"Outreach\",\n \"153. There is a need for outreach to the regional commissions. Training and the dissemination of relevant information to managers and human resource officers are crucial components in maintaining uniform standards across the Organization and addressing ongoing systemic issues. Managers require briefings on the key issues giving rise to appeals and advice on how they may minimize potential disputes. Human resources officers require training on the preparation and presentation of responses to requests for management evaluation and the provision of information and assistance to the Administrative Law Section during the course of proceedings. Finally, managers and human resources officers need to be aware of the overall system, with an emphasis on the possibility of pursuing the informal resolution of disputes. Training on the conduct of negotiations and on effective representation of the Secretary-General in mediations is required.\",\n \"154. The International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia are currently implementing their completion strategies. Experience demonstrates that the caseload increases when missions are downsizing. Accordingly, it is expected that there will be an increase in the number of cases brought by staff from the Tribunals over the next three years. In this context, it is important that outreach to the Tribunals be facilitated to ensure that managers and human resources officers have the opportunity to receive assistance with specific cases and briefings on the latest developments in the jurisprudence affecting the implementation of their completion strategies.\",\n \"155. It is proposed that outreach missions be conducted. The sum required to conduct these missions is $30,000. Specifically, it is proposed that a legal officer from Nairobi travel to ECA and the International Criminal Tribunal for Rwanda ($12,500 to the United Nations Office at Nairobi); a legal officer from Geneva travel to ESCWA, ESCAP and the International Tribunal for the Former Yugoslavia ($17,500 to the United Nations Office at Geneva). Accordingly, the Secretary-General requests $30,000 for outreach missions.\",\n \"156. In addition, at times, the Dispute Tribunal conducts hearings in missions and other duty stations. The legal officer representing the Secretary-General is required to travel to the locations where the hearing is conducted. To date, there has been no specific allowance made for these travel costs. Accordingly, the Secretary-General requests $30,000 for travel to Tribunal hearings in mission locations.\",\n \"Summary of current resources and resource requirements\",\n \"157. The current resources and the resource requirements of the Administrative Law Section, offices away from headquarters and the regional commissions are set out in the table below.\",\n \"Current resources and resource requirements\",\n \"Office\\tCurrent resources\\tAdditional resourcessought \\nAdministrativeLaw Section\\tRegular budget2 P-51 P-42 General Service\\tRegular budget2 P-43 P-3 Peacekeeping supportaccount3 P-43 P-31 P-21 P-3 (general temporaryassistance)^(a)1 P-2 (general temporaryassistance)^(a)1 General Service \\n\\tLimited budgetaryauthority^(b)1 P-42 P-3\\t\\nUnitedNationsOffice atGeneva\\tP-4 Human ResourcesPolicy Officer\\t1 P-41 General Service(Other level)\\nUnitedNationsOffice atVienna\\tNo resources(P-4 Human ResourcesPolicy Officerreassigned)\\tUtilize services ofP-4 Legal Officerbased in UnitedNations Office atGeneva\\nUnitedNationsOffice atNairobi\\tNo resources(P-5 Senior LegalOfficer deployed)\\t1 P-41 General Service(Other level)\\nECA\\tNo resources\\tUtilize services ofP-4 Legal Officerbased in UnitedNations Office atNairobi\\nESCAP\\tNo resources\\t1 P-41 General Service(Other level)\\nESCWA\\tNo resources\\tUtilize services ofP-4 Legal Officerbased in ESCAP\",\n \"^(a) Conversion to established posts will be proposed in the support account budget for 2012-2013.\",\n \"^(b) Until 31 December 2011.\",\n \"United Nations Development Programme\",\n \"158. The UNDP Legal Support Office is an integrated legal office for UNDP and its affiliated funds whose legal work spans all aspects of corporate, institutional and administrative law, with an added focus on policy and training. In the light of the new system of justice, along with an increased demand for legal consultation and advice, the Office has had to adjust its staffing. The Administrative Law Practice Group of the Office is currently operating at full staffing capacity, with one Head of Practice (P-5) who carries her own workload and one P-5, two P-4 and two P-3 Legal Officers, totalling six Legal Officers, who are assisted by two General Service support staff. The Practice Group is responsible for handling all management evaluation requests, all cases before the Dispute Tribunal, all disciplinary cases, legal advice relating to policy work, legal training and all legal queries, on issues ranging from private legal obligations to advice on tax and pension matters.\",\n \"159. The Legal Support Office is engaged in all stages of both informal and formal resolution of staff grievances. At the informal stage, the Office provides advice and guidance to managers, including the Office of Human Resources, country offices and regional bureaux, on the resolution of differences prior to their maturing into a formal complaint. The Office may also seek the intervention of the Ombudsman for funds and programmes. This preventive work by the Office has increased significantly since 1 July 2009 as more managers seek legal guidance to ensure that their decisions are taken in compliance with the UNDP legal framework, resulting in greater expenditure of time and resources.\",\n \"160. Where issues are not resolved at the informal stage, the Legal Support Office makes recommendations to the Assistant Administrator and Director of the Bureau of Management on the disposition of requests for management evaluation; represents UNDP before the Dispute Tribunal; participates in mediation proceedings; and coordinates with the Office of Legal Affairs in respect of its representation of the Secretary-General concerning UNDP cases before the Appeals Tribunal. The Office also recommends action from an accountability perspective where warranted. On 1 August 2010, UNDP introduced a new procedure for handling requests for management evaluation. While the Office continues to review such requests and to make recommendations to the Assistant Administrator and Director of the Bureau of Management regarding their disposition, two additional senior managers, appointed by the Administrator and selected from a roster, are requested in order to provide their independent views from a management perspective directly to the Assistant Administrator and Director of the Bureau of Management. This system has worked well, although more managers need to be appointed in 2011 to cope with the increased number of requests for management evaluation. It is anticipated that the ongoing implementation of the one-time review linked to the granting of permanent appointments will generate more cases.\",\n \"161. The Legal Support Office has provided training courses, briefings and outreach activities on a regular basis and through all available media to raise awareness among UNDP staff members and managers of the new system. For example, the Office launched an online legal course, compulsory for all managers, which contains several chapters on legal issues related to the internal justice system. In addition, the Office has had to adjust to shorter deadlines for management evaluations and from the Dispute Tribunal, as well as to the increased number of hearings and written submissions required by the Tribunal. This has resulted in an overall increase in the workload of its staff. Moreover, in view of the increased focus on oral hearings and full trials at the Dispute Tribunal, specialized training for lawyers in the area of advocacy and litigation has been required.\",\n \"United Nations Children’s Fund\",\n \"162. The Office of the Principal Adviser to the Executive Director, within the Office of the Executive Director, has overall responsibility for legal support and advice within UNICEF. The Division of Human Resources handles requests for management evaluation and represents UNICEF before the Dispute Tribunal. UNICEF has adjusted staffing levels, competencies and standard operating procedures to accommodate the increased workload resulting from the new system, and special attention is paid to management evaluation requests and to mediation opportunities.\",\n \"Office of the United Nations High Commissioner for Refugees\",\n \"163. Prior to the reform of the system of administration of justice, the administrative review of decisions concerning the staff of UNHCR was carried out by the Administrative Law Unit of the Secretariat. At present, UNHCR conducts its own management evaluation, which is delegated to the Deputy High Commissioner. The Legal Affairs Service, reporting directly to the Deputy High Commissioner, provides advice on all management evaluations.\",\n \"164. UNHCR has had a very positive experience with the management evaluation process, which has enabled management to critically review its decisions, take remedial action before cases escalate to the Dispute Tribunal and review and improve its procedures. In many cases, the process has also re-established dialogue between UNHCR and the staff member.\",\n \"165. At the Dispute Tribunal, UNHCR is represented by the Director of the Division of Human Resources Management. The Legal Affairs Service advises the Director on all pending cases.\",\n \"166. At UNHCR, significant emphasis has been placed on the informal resolution of grievances at an early stage, and a number of cases have been resolved informally through the involvement of the UNHCR Ombudsman. Nevertheless, since the introduction of the new system, there has been a noticeable increase in the number of grievances that staff members seek to address through the formal system.\",\n \"167. UNHCR continues to support the work of the Office of Staff Legal Assistance with the non-reimbursable loan of a Legal Officer to its Geneva office.\",\n \"United Nations Office for Project Services\",\n \"168. The United Nations Office for Project Services (UNOPS), being relatively small, has not received many cases. Although it has no legal unit working solely on such cases, it has a legal officer at its headquarters who is responsible, inter alia, for monitoring developments in the justice system (including the jurisprudence and practices of the Dispute and Appeals Tribunals). Each case filed with the Dispute Tribunal, as well as any issue that may lead to a case, including requests for management evaluations, is managed by the UNOPS legal officer in whose regional office the case or issue arose, supported by the above-mentioned legal officer at headquarters. This work is conducted under the overall supervision of the UNOPS General Counsel. In line with Secretary-General’s bulletin ST/SGB/2008/13, the Office of Legal Affairs manages all appeals concerning UNOPS to the Appeals Tribunal.\",\n \"169. Thus far, the new system seems to be much more formal and professional than the previous system. In the new system, cases are conducted in a manner similar to that employed by many national courts, the increased number of oral hearings being just one example of this.\",\n \"170. The time required of both lawyers and non-lawyers involved in a case has, accordingly, increased significantly. Furthermore, staff may make requests for the production of a large number of documents. The Dispute Tribunal has generally been inclined to grant such requests, the fulfilment of which requires considerable work on the part of the Organization.\",\n \"United Nations Population Fund\",\n \"171. The United Nations Population Fund (UNFPA) employs two legal officers, who provide a range of legal support and advisory services to the Fund, including the representation of UNFPA before the Dispute Tribunal. UNFPA continues to pay special attention to management evaluation, as well as to options involving alternative dispute resolution, including mediation.\",\n \"2. Legal office representing the Secretary-General before the United Nations Appeals Tribunal\",\n \"Office of Legal Affairs\",\n \"172. As the central legal service of the Organization, the Office of Legal Affairs provides legal advice to the Secretary-General, Secretariat departments and offices and United Nations organs in a number of areas, including the new system of administration of justice. Within the Office of Legal Affairs, the organizational unit entrusted with this responsibility is the administration and management cluster in the General Legal Division. The functional responsibilities of the Division in this area are described below.\",\n \"173. The responsibilities of the General Legal Division in relation to the system of administration of justice pertain to both the informal and the formal stages of dispute resolution. The Division provides advice to offices and departments of the Secretariat and the funds and programmes during the early stages of a claim advanced by a staff member, well before such a claim has progressed to litigation. For example, the Division has been requested to provide input during the management evaluation stage and during settlement negotiations.\",\n \"174. Once a claim has advanced to the formal stage and a staff member has filed an application with the Dispute Tribunal, the General Legal Division regularly provides advice to the entity representing the Secretary-General at the first level of the judicial process. Such entities include the Administrative Law Section and its counterparts in Geneva, Vienna and Nairobi. Under the new system of administration of justice, entities within the funds and programmes (UNDP, UNOPS, UNICEF, UNFPA and UNHCR) represent the Secretary-General before the Dispute Tribunal; the Division is available to advise the funds and programmes as requested. In addition, since the Division has a comprehensive view of the evolving jurisprudence of the new system, it briefs all entities representing the Secretary-General before the Dispute Tribunal on legal developments in the new system and shares legal arguments for their guidance and use in relation to issues that arise before the Tribunal. Such advice ensures coordination and consistency in the legal strategies and arguments advanced by the Secretary-General on issues of policy and principle. In that context, the Division brings judgements of the Dispute Tribunal that have significant implications for the Organization to the attention of all the relevant offices.\",\n \"175. The General Legal Division also represents the Secretary-General before the Appeals Tribunal. This responsibility encompasses both the filing of appeals against judgements of the Dispute Tribunal and responding to appeals filed by staff members. The Division performs this function with respect to all offices and departments of the Secretariat, as well as the funds and programmes. In order to determine whether appealing a given judgement is in the interest of the Organization, the Division must review and analyse each and every Dispute Tribunal judgement and consult with the entities that represented the Secretary-General before the Tribunal. The process of handling an appeal requires research into and analysis of all necessary factual and legal issues raised by the Dispute Tribunal and the preparation of a written appeal or answer, as appropriate.\",\n \"176. In addition to providing advice on matters related to the system of administration of justice, the General Legal Division provides advice to offices and departments of the Secretariat and the funds and programmes concerning the interpretation or implementation of the Staff Regulations and Rules or other personnel policies and practices before an administrative decision is taken, such as in relation to recommendations for the dismissal of staff members. Although the majority of such requests originate from the Department of Management (including organizational entities such as the Office of Human Resources Management, the Advisory Board on Compensation Claims, the Medical Services Division or the Insurance Section), requests also come to the Division from the funds and programmes, UNHCR and offices away from Headquarters. Finally, the Division is responsible for reviewing, providing advice on and legally clearing every administrative issuance relating to human resources management policy prior to its promulgation.\",\n \"177. The responsibilities of the General Legal Division in connection with the new system of justice have greatly exceeded expectations and have resulted in an unexpected and substantial increase in the Division’s workload. When the Secretary-General submitted his report on the resource requirements for the new system before it became operational, the Advisory Committee on Administrative and Budgetary Questions declined to approve any of the posts that were requested for the Office of Legal Affairs on the assumption that the efforts for the early resolution of disputes through informal means might result in fewer cases being brought to the Tribunals (see A/62/7/Add.7, para. 50). In the light of that consideration, the Advisory Committee found that there was insufficient information to support the requested additional staff at that time, recommending against the approval of those posts until the real needs could be assessed. The Advisory Committee assumed that the substantial majority of cases would be resolved before they reached the Dispute Tribunal. Contrary to those assumptions, as discussed below, the real needs of the new system have required the provision of legal advice by the General Legal Division to a broader range of clients, on increasingly complex issues, that entail significant financial, legal and operational implications for the Organization, and on an even more urgent basis.\",\n \"178. Under the previous system, there was one tier of judicial review, the United Nations Administrative Tribunal. At present, there are two tiers of review. Under the previous system, the Administrative Tribunal operated on a part-time basis and met in two sessions per year, while under the new system, the Dispute Tribunal operates on a full-time, year-round basis and the Appeals Tribunal meets in three sessions per year.\",\n \"179. As a consequence of the fundamental institutional changes in the system, there has been a significant increase in the number of judgements that the General Legal Division must review and provide advice on. Under the previous system, the United Nations Administrative Tribunal issued 65 judgements in 2009. By contrast, under the new system, the Dispute Tribunal issued 218 judgements and the Appeals Tribunal issued 100 judgements in 2010. Thus, the total number of judgements under the new system is approximately five times the number under the previous system.\",\n \"180. There has also been a significant increase in the number of submissions filed by the General Legal Division under the new system. Under the previous system, the Division filed an average of 63 submissions with the United Nations Administrative Tribunal per year. By contrast, under the new system, it filed 150 submissions with the Appeals Tribunal in 2010 (114 in cases arising from the Secretariat, including peacekeeping missions, and 36 in cases arising from the funds and programmes and UNHCR). Thus, the number of submissions filed under the new system is approximately 140 per cent higher than the number filed under the previous system.\",\n \"181. The impact of the new system on the General Legal Division is not related solely to the number of appeals filed with the Appeals Tribunal; the nature of the work undertaken by the Division in this area has also substantially changed. Under the previous system, the Division had a generous time frame (six months) for drafting responses to the United Nations Administrative Tribunal. Generally, those responses were based on the well-established jurisprudence of that Tribunal, and the Division’s work was thus simpler and more manageable. However, under the new system, the deadlines for filing and responding to appeals have been shortened to 45 days. Moreover, notwithstanding the 45-day deadline established in the statute of the Appeals Tribunal, the Tribunal has shortened the deadline for filing an interlocutory appeal to 15 days. In addition, the introduction of the new system of administration of justice has meant that past practices of the Organization and jurisprudence of the Administrative Tribunal are being re-examined by the new Tribunals. The resulting uncertainty regarding which legal norms and principles should be applied by managers has meant that the Division is now being requested on a more frequent basis to provide advice to other departments, including those entities representing the Organization before the Dispute Tribunal in advance of its regular hearings. This is in contrast to the previous system, in which submissions to the Joint Appeals Board and the Joint Disciplinary Committee were based on the well-established jurisprudence of the Administrative Tribunal, and it was only rarely that the Division was requested to provide advice in connection with those proceedings.\",\n \"182. All of these factors are compounded by the recent reforms in many areas of human resources management, such as contractual reform and the harmonization of conditions of service. These reform initiatives have also resulted in greater demands on the General Legal Division with respect to reviewing and providing legal clearance for administrative issuances and providing advice on the interpretation and implementation of the Staff Regulations and Rules.\",\n \"183. At present, the General Legal Division has two Professional posts (1 P-5 and 1 P‑3) and one General Service post funded under the regular budget for administration of justice and management issues. As at 1 July 2010, the Secretary-General had also provided, under his limited budgetary discretion, temporary resources in the form of six P-3/P-4 and two General Service (Other level) posts for a limited period that ends on 31 December 2011. The Division also has one P-4 post funded under the peacekeeping support account. In addition, the Division was recently informed that the General Assembly had approved, as at 1 July 2011, general temporary assistance in the form of one P-4 post and one P-3 post under the peacekeeping support account. In sum, unless additional resources are approved, as requested below, the Division will have a total of only five Professional posts and one General Service post to deal with administration of justice and management issues.\",\n \"184. Ultimately, the strains placed on the Division as a result of the unforeseen extent of the demand for its services will undermine its overall ability to provide legal advice on a timely basis and in a comprehensive manner not only in the area of administration of justice but also regarding other matters.\",\n \"185. Ensuring that the Division has the capacity to provide legal advice in the area of administration and management will ensure that there are no adverse long-term financial, legal and operational implications for the Organization as a whole. This is particularly the case during this critical stage of the development of the Tribunals’ jurisprudence. For example, the Division’s representation of the Organization before the Appeals Tribunal in 2010 contributed to the establishment of parameters for awarding compensation and clarifying the principles for reviewing the Secretary-General’s discretionary authority. Not only have those appeals resulted in substantial cost savings for the Organization, but the development of fundamental principles will have significant long-term benefits for the Organization.\",\n \"186. In order to meet the substantially increased demand for the services of the Office of Legal Affairs in the new system, the General Legal Division requires eight additional regular budget posts (6 P-3/P-4 and 2 General Service (Other level)) for administration of justice and management issues. However, the Secretary-General is mindful of the current financial constraints of Member States and is therefore seeking the General Assembly’s approval at this time of only three additional regular budget posts (2 P-4 and 1 P-3) for the General Legal Division. In this regard, it should be noted that the Division is the only office with a request that reflects a reduction of approximately two thirds compared with the previous report (from eight posts to three), while at the same time, it is the only office that has not received any long-term resources as a consequence of the establishment of the new system (other than the two posts under general temporary assistance approved as of 1 July 2011 under the peacekeeping support account).\",\n \"III. Responses to questions relating to administration of justice\",\n \"A. Overview\",\n \"187. The following section responds to the queries set out by the General Assembly in its resolution 65/251.\",\n \"B. Responses\",\n \"1. Staff-funded mechanism to support the Office of Staff Legal Assistance\",\n \"188. The Secretary-General’s response to paragraphs 40 and 41 of resolution 65/251, setting out proposals for staff funding mechanisms to support the Office of Staff Legal Assistance, is set out in annex I to the present report.\",\n \"189. These proposals were the object of consultations with staff at a meeting of the Staff-Management Coordination Committee held in June 2011. At the meeting, staff reiterated their view that none of the options for the staff-funded scheme was acceptable, as the cost of the representation of staff rested with the employer. Staff noted that, as the General Assembly had established the Office of Staff Legal Assistance as part of the Organization’s internal system of administration of justice, expenses associated with the operation of the Office constituted an expense of the Organization, and called upon the General Assembly to provide the resources necessary to ensure that both sides (staff and management) were equally armed.\",\n \"2. Recourse mechanisms for non-staff personnel\",\n \"190. The Secretary-General’s response to the request, made by the General Assembly in paragraph 55 of resolution 65/251, for proposals for resource mechanisms for non-staff personnel is set out in annex II to the present report.\",\n \"3. Delegation of authority for disciplinary measures\",\n \"191. The Secretary-General responds below to the request, made by the General Assembly in paragraph 51 of resolution 65/251, for a detailed proposal for the delegation of authority for disciplinary measures.\",\n \"Background\",\n \"192. The possibility of delegating the authority to impose disciplinary measures to heads of missions and offices away from Headquarters was initially raised by the Secretary-General at the sixty-second session of the General Assembly. It was based on the recommendations contained in the report of the Redesign Panel, as well as on the results of the twenty-eighth session of the Staff-Management Coordination Committee, at which the issue was discussed and a proposal developed. The Assembly endorsed, in principle, the delegation of authority for disciplinary measures to heads of missions and offices away from Headquarters and requested the Secretary-General to submit a report containing possible options.\",\n \"193. Taking into account the recommendations of the Committee, the Secretary-General proposed a limited delegation of authority for disciplinary measures, whereby heads of missions and offices away from Headquarters would be given the authority to impose minor sanctions (i.e., censures and fines) once the capacity necessary to do so was in place. The General Assembly requested the Secretary-General to submit a new proposal in that regard at its sixty-fifth session.\",\n \"194. Given that a number of prerequisites remained unfulfilled, the Secretary-General proposed to put on hold the previous recommendation for limited delegation of authority, pending further analysis. The General Assembly, however, reiterated its request to the Secretary-General to submit, at its sixty-sixth session, a report setting out possible options for the delegation of authority for disciplinary measures. The proposal summarized herein was prepared in connection with that request.\",\n \"Current status of the handling of disciplinary cases\",\n \"195. While no significant developments have occurred since the Secretary-General’s previous report on administration of justice, a number of observations may be made. The revision of the administrative instruction on revised disciplinary measures and procedures (ST/AI/371/Amend.1) has been initiated by the Office of Human Resources Management. The jurisprudence emerging from the Tribunals indicates that the Staff Regulations and Rules of the United Nations are being analysed and interpreted from a new perspective compared with the jurisprudence from the former United Nations Administrative Tribunal. In particular, the Tribunals are interpreting the procedural and substantive standards required by the Organization throughout the pre-disciplinary and disciplinary phases, for example, the assessment of the allegations and complaints, the quality of the investigation reports, the due-process rights of staff members during the process and the proportionality of measures imposed. It must be noted, however, that the disciplinary cases appealed to the Tribunals relate to cases reviewed by the Office of Human Resources Management on the basis of the jurisprudence and criteria set by the Administrative Tribunal. It therefore remains to be seen how many of the cases received and completed after 1 July 2009, under the new system, will be appealed and how they will be disposed of.\",\n \"196. From 1 July 2009 to the end of the reporting period, the Administrative Law Section of the Office of Human Resources Management closed 357 cases, of which 216 were mission cases. Of these, 71 were closed with disciplinary measures, as follows: 19 dismissals, 17 separations, 4 demotions, 5 censures with loss of step/grade or deferment, 14 censures with fines, 1 censure with counselling, and 11 censures.\",\n \"197. The disciplinary cases handled by the Administrative Law Section since 1 July 2009 involving staff members serving in field missions constituted 70 per cent of its caseload in 2009/10 and close to 60 per cent in 2011.\",\n \"198. The estimated time required by the Administrative Law Section to handle a disciplinary case, from the time of its referral, ranges from 3 to 11 months, depending on the facts and complexity of the case. However, this time estimate reflects optimum conditions and does not take into account the current backlog of older cases, including those that were not completed prior to the introduction of the new justice system, namely (a) 170 cases that were pending with the Office of Human Resources Management prior to the introduction of the new justice system and (b) 30 cases, referred back to the Section, on 1 July 2009, that were pending before the Joint Disciplinary Committee or pending a decision by the Deputy Secretary-General on a Committee report. It is anticipated that those cases will be completed by the end of 2011.\",\n \"199. Between 2006 and 2008, it took an average of 17 months to close a disciplinary case. The cases, handled during that period, with the exception of those in which dismissals were recommended, were considered by a Joint Disciplinary Committee panel. The Administrative Law Section took an average of eight months to refer cases to the Committee. Since the introduction of the new system, it has taken the Section an average of 11 months to close cases referred after 1 July 2009.\",\n \"200. The abolition of the Joint Disciplinary Committee effectively increased the responsibility of the Administrative Law Section for reviewing of the facts of and analysing each case in the light of chapter X of the Staff Rules, on disciplinary measures, which tasks had been formerly carried out in large part by the Committee. In view of the increased scrutiny by the Dispute Tribunal, the Section likewise increased the level of the detail of its analyses, as well as the related follow-up work with investigative entities at every stage of the process.\",\n \"Review of the range of options\",\n \"201. The introduction of the new justice system on 1 July 2009 significantly changed the procedures for handling disciplinary cases. Among other things, the abolition of the Joint Disciplinary Committee shifted the responsibility for conducting the factual assessment of a case to the Office of Human Resources Management.\",\n \"202. There are three critical bottlenecks in the current multistep process, each of which is related to ensuring that the factual analysis is robust and respects the due-process rights of staff members: (a) the length of the investigation process and the number of entities involved in investigations, as well as the quality of fact-finding and other inquiries conducted by non-professional investigators; (b) the time required to obtain comments from staff members charged with misconduct; and (c) the time taken to obtain additional information from the investigating entity.\",\n \"203. Simply delegating authority would not eliminate existing bottlenecks, as current procedures for handling disciplinary matters and the jurisprudence emerging from the Tribunals would continue to require high levels of scrutiny. Moreover, decentralization to the field might increase duplication of effort and the inconsistency of decisions.\",\n \"Partial delegation of authority\",\n \"204. Partial delegation of authority would involve the delegation of authority to impose less serious disciplinary measures (such as fines and censures) to heads of missions and offices away from Headquarters.\",\n \"205. However, only a limited number of cases result in fines and censures, so this option would not significantly reduce the timeline of the disciplinary process. Therefore, existing bottlenecks would remain unaddressed, while the resulting duplication of effort between the field and the Office of Human Resources Management would introduce inefficiencies. Given the cost increases resulting from the partial delegation of authority, including outposting of Department of Management legal officers to assist in the procedural aspects of the disciplinary process, the Administration does not consider it to be a viable option at this stage.\",\n \"Full delegation of authority\",\n \"206. With full delegation of authority, heads of missions and offices away from Headquarters could impose any disciplinary measure, following the disciplinary process currently employed at Headquarters. While full delegation would increase authority at the field level and reduce communication between the field and Headquarters, the major disadvantage would be the increased likelihood of inconsistent and unequal treatment of staff members across the Organization. Inconsistent decisions would, in turn, increase the number of appeals to the Dispute Tribunal and increase costs. Consequently, the Administration is of the view that it would not be advisable to implement full delegation of authority.\",\n \"No delegation of authority\",\n \"207. If the authority to impose disciplinary measures continues to rest exclusively with the Under-Secretary-General for Management, the current, centralized system would continue. Under this scenario, the Department of Management would continue to have a global view of disciplinary cases and would be optimally placed to ensure the most efficient and consistent analysis and disposition thereof.\",\n \"Proposed short-term measures\",\n \"208. While neither partial nor full delegation of authority would be optimal at present, it is clear that action is required to address the delays in handling disciplinary cases. Accordingly, the following measures are being proposed in order to expedite the investigation and processing of disciplinary cases:\",\n \"(a) A pilot project to test the feasibility of decentralizing critical elements of the administration of justice would be implemented, through the establishment of a service base that would cover a cluster of missions. Resources would include legal officers, conduct and discipline officers and access to resources available either at the service base or in the region, such as investigators, the Ombudsman and the Office of Staff Legal Assistance. Each function would have clear terms of reference and reporting lines in order to preserve the independence of investigations, due process for staff members subject to disciplinary procedures and the integrity of the disciplinary process. While the authority to impose disciplinary measures would remain with the Under-Secretary-General for Management, it is expected that placing critical elements of the investigations and disciplinary process closer to the locations where the cases occur would help to shorten the time required to handle them. The pilot would cover certain field missions in Africa (to be identified), and it is proposed that the service base be located in Nairobi. That would allow for the building of an infrastructure that could be used in the future should the experience gained from the pilot support further decentralization, including with respect to offices away from Headquarters located in Nairobi (as well as other offices away from Headquarters);\",\n \"(b) High-priority cases would be handled through a “fast-track” approach that would involve the prioritization of the case by all offices involved (the Department of Field Support, the Office of Human Resources Management and the Office of Internal Oversight Services (OIOS)). Taking into account requests from heads of mission and proper justifications, cases identified as high-priority would be processed on an expedited basis, according to guidelines to be developed acknowledging the operational independence of OIOS and its existing procedures, such as the Case Intake Committee, but would otherwise follow applicable procedures for the handling of disciplinary matters;\",\n \"(c) The authority to place staff on administrative leave with pay would be transferred from the Assistant Secretary-General for Human Resources Management to the Under-Secretary-General for Field Support. This would shorten the process of placing staff on administrative leave with pay. The placement of staff on administrative leave without pay would remain within the authority of the Department of Management;\",\n \"(d) The establishment of an interdepartmental working group on the delegation of authority with regard to disciplinary matters.\",\n \"209. The Secretary-General will submit a comprehensive report in this regard to the General Assembly at its sixty-eighth session.\",\n \"210. The proposed measures were discussed at the thirty-second session of the Staff-Management Coordination Committee. It was agreed that management would share progress reports with staff and would develop a mechanism whereby staff representatives could be briefed periodically on the progress of the project.\",\n \"Recommendation\",\n \"211. The General Assembly is requested to endorse the proposals of the Secretary-General detailed in paragraph 208 above.\",\n \"4. Impact of the new system of administration of justice on staff-management relations\",\n \"212. With regard to the request made by the General Assembly in paragraph 54 of resolution 65/251, the Secretariat, UNDP and UNICEF believe that it is too early to report on the impact that the new system is having on staff/management relations and on the performance of both staff and managers, and believe that more time is required in order to properly determine if there is any systemic impact. All have noted an evolution in the area of staff-management relations. In particular, managers are becoming increasingly aware of the consequences of their decisions and want to ensure that these are made in accordance with the applicable rules and policies. This has resulted in more queries, requests for advice and guidance from programme managers for the relevant legal offices prior to the taking of decisions. There is also a notable desire on the part of managers to learn more about the system and to generally be able to make the correct decisions in cases.\",\n \"213. Thus, on a preliminary basis, one may state that the new system of justice is creating an emphasis on the prevention of disputes and, where these cannot be avoided, programme managers are more routinely consulting with the lawyers in order to ensure that their decisions are well informed from a legal and policy standpoint. In the process of either avoiding or informally resolving disputes, extensive and collegial consultations sometimes take place with the representatives of the staff concerned, as well as with the United Nations Ombudsman or the Ombudsman for funds and programmes.\",\n \"214. While these emerging practices have been identified, it is also clear that not all managers have developed an acute awareness of the requirements of the new system. Thus, from a performance standpoint, more time is required in order to determine whether these emerging practices are coalescing into a trend.\",\n \"215. It is expected that managers will take staff performance assessment very seriously and provide regular feedback to supervisees in that context, thus ensuring that any decision flowing from an appraisal report is properly documented. However, it is too early to comment on whether this constitutes a trend. It is equally difficult to predict whether staff and managers will positively increase their own performance in the light of the new system.\",\n \"5. Cost-sharing arrangements\",\n \"216. With regard to the request made by the General Assembly in paragraph 57 of resolution 65/251, the Secretary-General responds as follows.\",\n \"217. Since the General Assembly decided, in its resolution 62/228, to establish the new system, the Secretariat has engaged in ongoing formal and informal discussions with representatives of the funds and programmes (UNDP, the United Nations Office for Project Services, UNICEF, UNFPA and UNHCR), with a view to concluding a cost-sharing arrangement based on headcount. Where costs are shared on a headcount basis, they are apportioned according to the number of staff members. On the basis of those discussions, an initial draft memorandum of understanding, prepared by the Secretariat, was circulated to the funds and programmes for their comments. Subsequently, a joint meeting was held among the parties to discuss the issues raised by the funds and programmes. Further to internal deliberations with key stakeholders in the Secretariat, a revised draft memorandum was circulated by the Secretariat to the funds and programmes for additional comments. The revised draft memorandum also included the new United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) as part of the arrangement. In early March 2011, an additional meeting with the parties was held to discuss the revised draft memorandum, pursuant to which, in May, the funds and programmes provided a formal coordinated communication containing a list of pending issues. In June, the Secretariat provided a formal response on all the pending issues, which led to further negotiation among the parties in July. To date, the parties have resolved most of the pending issues, although certain clarifications are still required regarding some elements of the integrated and decentralized Ombudsman function (given that the funds and programmes fund their own Ombudsmen in the integrated office, who report to their executive heads), including mediation services. For example, there are questions concerning structural issues (including accountability and referral mechanisms) between the Ombudsman for funds and programmes and the Regional Ombudsmen as well as the mediation services with regard to cases emanating from staff of the funds and programmes. The parties agreed that once communication lines between the mediation services and the Regional Ombudsmen, on the one hand, and the Ombudsman for funds and programmes, on the other, have been clarified, the discussion on cost-sharing with respect to these remaining, specific aspects can be concluded. The parties are cognizant of the urgency of concluding the cost-sharing arrangement and are committed to doing so as soon as possible.\",\n \"6. Training of actors in the system\",\n \"218. With respect to the request made by the General Assembly in paragraph 61 of resolution 65/251, the Secretary-General responds as follows.\",\n \"219. In June 2009, the incoming judges of the Tribunals participated in an induction course, organized by the Office of Administration of Justice, which provided them with an overview of the structures and regulatory framework of the Organization. Staff of the Registries participated in training courses on court management at the International Tribunal for the Former Yugoslavia, the International Criminal Tribunal for Rwanda and the European Union Civil Service Tribunal. Staff of the Office of Staff Legal Assistance participated in advocacy training courses conducted by staff of the International Tribunal for the Former Yugoslavia and practitioners of the defence bar in The Hague.\",\n \"220. The Department of Management engaged a legal consultant who coached legal officers of the Administrative Law Section on drafting techniques. The legal officers also participated in an intensive week-long advocacy training course organized by a national legal training institute. In addition, they participated in a dispute resolution training course organized by UNDP and the Ombudsman.\",\n \"221. UNDP organized an advocacy training programme for its legal officers appearing before the Tribunals, conducted by very experienced staff of the International Tribunal for the Former Yugoslavia and senior members of the United Kingdom bar. Because such training is of paramount importance for legal officers in the new, professionalized formal system, a similar training course is envisaged for later in 2011. UNDP and the Office of the United Nations Ombudsman and Mediation Services jointly organized a workplace dispute resolution training programme, which was attended by more than 100 staff members, including senior officials.\",\n \"222. Regular participation in training programmes aimed at the enhancement of legal education is required for all participants in the system, including judges, their staff and the legal officers representing staff and management. Legal officers require periodic training in oral and written advocacy to maintain and enhance their skills. Staff of the Registries of the Dispute Tribunal and the Appeals Tribunal would benefit from enhanced training on court management practices, including educational exchanges with staff of other international tribunals. Additionally, benefits are to be gained from joint training of the various actors in the system, both in terms of cost savings and because of the opportunity to share views and best practices.\",\n \"223. It would be beneficial for judges to attend legal conferences and colloquia at which the judges of other international tribunals, high-level scholars and other participants engage in discussions on law and judicial practice related to their professional activities. Currently, the budget of the Office of Administration of Justice is insufficient to permit this.\",\n \"224. The creation of a judicial library of reference books at each Tribunal location would enhance the education of judges and staff. Furthermore, it would be beneficial to provide for ongoing judicial education through an annual plenary education conference, which would include inputs from outside presenters and facilitators as appropriate. Topics to be explored could include cross-cultural communication skills, updates on the development of the law of the international civil service, the application of international norms, the application of ILO Conventions to the law of the international civil service, and comparative approaches to legal issues.\",\n \"225. Finally, it may be appropriate to consider additional judicial training for judges in the legal frameworks of the various United Nations agencies and bodies whose staff have access to the United Nations system of administration of justice. Furthermore, in order to ensure that there is dialogue among the judiciaries of international tribunals, it may be advisable to organize a United Nations joint judicial seminar for the judges of both the Dispute Tribunal and the Appeals Tribunal, as well as judges of other tribunals and, perhaps, legal academics, focusing on issues of international administrative law. In addition, the training of all participants is required in order to promote greater uniformity and consistency across the Tribunals in terms of the standards applied.\",\n \"226. After two years of operation of the current system, there continues to be a need to provide outreach to staff on the informal and formal means of dispute resolution and, in particular, on the interrelationship between the two. The Office of Administration of Justice has produced a user-friendly handbook, in all official United Nations languages, to assist staff. It has also set up a comprehensive website in all official languages that includes descriptions of all the elements of the formal system, including a dedicated web presence for the Office of Staff Legal Assistance and an up-to-date database of the jurisprudence of the Tribunals.\",\n \"227. Training requirements relating specifically to informal dispute resolution and mediation will be presented in the context of the report of the United Nations Ombudsman on the informal system of justice.\",\n \"7. The timeliness of the handling of disciplinary cases\",\n \"228. In resolution 65/251, the General Assembly endorsed the recommendations made by the Advisory Committee on Administrative and Budgetary Questions in its report on the administration of justice at the United Nations (A/65/557), which included a request that the Secretary-General include information on the timeliness of the handling of disciplinary cases in his report on the administration of justice to be submitted to the Assembly at its sixty-sixth session.\",\n \"229. The response to that request has been agglomerated with the response to the request for proposals on the delegation of disciplinary authority contained in paragraphs 191 to 210 above.\",\n \"8. Information requested by the General Assembly in paragraph 53 of resolution 65/251\",\n \"230. In paragraph 53 of resolution 65/251, the General Assembly requested the Secretary-General to include, in his report on the administration of justice to be submitted to the Assembly at its sixty-sixth session, the following information:\",\n \"(a) Clear statistics on the cases received and disposed of during the period by both Tribunals, including information, by category, on whether the judgements rendered found for the applicant or for the respondent and on the administrative issues involved;\",\n \"(b) Analysis of trends over a number of reporting periods in order to identify systemic issues leading to usage of the system of justice and to monitor whether they are being effectively addressed over time;\",\n \"(c) Detailed information on monetary compensation awarded and indirect costs associated with an appeal, for example, in staff time, including identification of those aspects of staff administration that give rise to large numbers of appeals;\",\n \"(d) Detailed information on payments of compensation to staff equal to six months of salary or more, with an indication of the offices or departments concerned, the location of these offices or departments and some details of the facts of the case.\",\n \"231. With respect to paragraph 53 (a) of resolution 65/251, the Secretary-General has provided this information in paragraphs 30-41 and 65-72 above, relating to the work of the Dispute Tribunal and the Appeals Tribunal. Additional information is provided in annex III to the present report.\",\n \"232. With respect to paragraph 53 (b) of resolution 65/251, the Secretary-General provides the following response.\",\n \"233. The statistics reveal that across the Organization, the most frequently disputed decisions are those on issues related to selections and appointments. Claims related to such decisions constitute around 40 per cent of all claims submitted. There are various reasons for this. First, there was ambiguity in the former administrative instruction on the staff selection system with regard to priority rights for internal candidates. Second, there are a number of procedures that, in accordance with the administrative issuances, need to be followed when a position is being filled: the recruitment/selection process provides scope for allegations of procedural error. Third, staff members who are not selected for positions frequently allege that this is due to extraneous considerations. Fourth, staff members have alleged that there is a conflict between their e‑PAS assessments and the evaluation of their candidacies for vacancies, and thus that the assessment of their candidacy was unfair. Finally, there is inconsistent jurisprudence from the Dispute Tribunal with regard to the breadth of the discretion vested in the Administration in selection exercises as well as the burden and standard of proof in challenges to such exercises.\",\n \"234. These issues have been addressed by the Administration as follows:\",\n \"(a) In September 2009, as soon as the ambiguity in the provisions regarding priority consideration had been identified, the Assistant Secretary-General for Human Resources Management sent a circular to all offices clarifying the procedure for the consideration of internal candidates;\",\n \"(b) In April 2010, the administrative instruction on the staff selection system was abolished and was replaced with a new administrative instruction (ST/AI/2010/3). The provisions on priority consideration are no longer part of the policy;\",\n \"(c) In October 2010, a “lessons-learned guide”, providing guidance on the staff selection process, was issued by the Under-Secretary-General for Management;\",\n \"(d) Inconsistent decisions of the Dispute Tribunal have been appealed by the Administration. Jurisprudence from the Appeals Tribunal handed down in March 2011 provides greater clarity with regard to the breadth of the discretion of the Secretary-General in selection decisions and the burden and standards of proof;\",\n \"(e) The jurisprudence of the Appeals Tribunal will assist in responding to factual arguments made by staff members concerning any perceived inconsistency between performance evaluations and candidacy evaluations; it will also assist in addressing allegations of bias. The Appeals Tribunal has found that when staff members make such allegations, the onus is on them to produce clear and convincing evidence to support their claims.\",\n \"235. As regards the other categories of cases, it has been recognized that non‑renewal decisions are frequently impugned on the basis that the procedures mandated under the performance management system have not been followed. The Under-Secretary-General for Management has addressed this issue in circulars to management detailing the jurisprudence of the Dispute Tribunal and impressing on managers the need to follow e-PAS procedures.\",\n \"236. A “lessons-learned guide” focusing on the non-renewal of fixed-term appointments was issued in August 2010. The guide instructs managers on strictly adhering to rules and procedures, documenting the decision-making process and adhering to performance management procedures.\",\n \"237. In addition, on 30 April 2010, an administrative instruction entitled “Performance Management and Development System” (ST/AI/2010/5) was issued. This issuance updates the policies and procedures for performance evaluation and addresses issues that have led to delay in the completion of e-PAS appraisals.\",\n \"238. Disciplinary measures are also frequently appealed. This is another area in which the jurisprudence arising from the Dispute Tribunal continues to evolve. Specifically, on a number of occasions the Dispute Tribunal has reconsidered the exercise of the Secretary-General’s discretion. The Administration has appealed those decisions. In early 2011, the Appeals Tribunal issued a judgement emphasizing that the Dispute Tribunal was not the decision maker and that its role was limited to the judicial review of the exercise by the Secretary-General of his broad administrative discretion.\",\n \"239. One measure that has been the subject of a number of judgements is the placement of staff members on special leave with full pay in the context of an ongoing investigation into allegations of misconduct. The Dispute Tribunal ruled that this measure was not suitable where disciplinary proceedings were pending. As a result, the Administration has revised the rule, enacting staff rule 10.4, which specifically provides for the placement of a staff member on administrative leave pending an investigation. Whereas the former staff rule required that a staff member be charged prior to being suspended from duty, the new staff rule provides that a staff member may be placed on administrative leave at any time pending an investigation until the completion of the disciplinary process.\",\n \"240. A significant subject matter of appeals of judgements to the Appeals Tribunal has been the awarding of compensation. A number of substantial awards have been overturned by the Appeals Tribunal, and principles to be applied by the Dispute Tribunal have been enunciated. Specifically, the Appeals Tribunal has found that successful claimants are entitled to be compensated in a sum that, as far as money can do so, places them in the same position as they would have been in had their terms of appointment been observed.\",\n \"241. With respect to paragraph 53 (c) of resolution 65/251, detailed information on monetary compensation awarded is provided in annex III to the present report. As regards the indirect costs associated with an appeal, such as staff time, including the identification of those aspects of staff administration that give rise to large numbers of appeals, the Secretary-General responds as follows.\",\n \"242. In order to calculate such indirect costs, it was agreed by all stakeholders of the system of administration of justice that the total number of hours spent by staff in relation to judgements rendered in 2010 by the Dispute Tribunal and the Appeals Tribunal would be added up. It was also agreed that the cost of a P-4 legal officer working 40 hours a week, 45 weeks per year, would be used as an average. An additional 20 per cent would be added to reflect the additional staff hours spent by management and senior management in reviewing cases, as well as administrative support.\",\n \"243. Submissions calculating the time spent on cases in which the Dispute Tribunal had rendered judgements were received from the Dispute Tribunal Registries, the Office of Legal Affairs, the Office of Human Resources Management, UNDP, UNICEF, the United Nations Office for Project Services, UNFPA, the Management Evaluation Unit and the Office of Staff Legal Assistance. Submissions calculating the time spent on the Appeals Tribunal cases were provided by the Appeals Tribunal Registry, the Office of Legal Affairs and the Office of Staff Legal Assistance. Averages for Dispute Tribunal and Appeals Tribunal cases are provided separately below. The methodology by which these figures were obtained can be made available upon request.\",\n \"244. It should be noted that the number of hours spent on individual cases may vary widely. In addition, the numbers provided by the Office of Staff Legal Assistance do not reflect time spent on cases by volunteers, nor do they reflect the large amount of time spent by the Office providing summary advice or working on cases that do not result in a formal appeal.\",\n \"245. Taking into account the information provided by each of the various offices and entities, the average staff time spent on a Dispute Tribunal case is 400.3 hours, and on an Appeals Tribunal case, 230.5 hours (calculated on the basis of a P-4 staff member working 40 hours a week, 45 weeks per year).\",\n \"246. With respect to paragraph 53 (d) of resolution 65/251, relating to payments of compensation of six months or more, the Secretary-General provides information on such payments in annex III to the present report.\",\n \"IV. Issues relevant to the review by the General Assembly of the statutes of the Tribunals\",\n \"A. Introduction\",\n \"247. In paragraph 46 of its resolution 65/251, the General Assembly decided to “defer until its sixty-sixth session a review of the statutes of the Tribunals, in the light of experience gained, including on the efficiency of the overall functioning of the Tribunals”. In order to assist the Assembly with its review of the statutes of the Tribunals, the Secretary-General raises the following issues for the consideration of the Assembly. In raising these issues, the Secretary-General emphasizes that the discussion of them is without prejudice to the principle of judicial independence. As the Assembly is the body that established the Tribunals, adopted their statutes and approved their rules of procedure, it is for the Assembly to determine what action, if any, should be taken in relation to these issues.\",\n \"B. Rules of procedure of the Tribunals\",\n \"248. Article 7 of the statute of the Dispute Tribunal provides that the Dispute Tribunal shall establish its own rules of procedure, which are subject to approval by the General Assembly. Similarly, article 6 of the statute of the Appeals Tribunal provides that the Appeals Tribunal shall establish its own rules of procedure, which are subject to approval by the Assembly. As the Assembly will be considering the report on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal (A/66/86), the Secretary-General submits to the Assembly for its consideration the following observations related to the rules of procedure.\",\n \"1. Consultation for the amendment of the rules of procedure\",\n \"249. The statutes of the Tribunals do not currently provide for the parties to recommend or to be consulted on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal. As the parties that appear before the Tribunals would provide an important perspective regarding the impact of the proposed amendments, prior consultation with the parties would benefit the process of amending the rules of procedure of the Tribunals. The absence of an express provision in their statutes or in the rules of procedure does not prevent the Tribunals from undertaking consultation with the parties prior to amending their rules of procedure. Notably, while the statute and the rules of procedure of the International Tribunal for the Former Yugoslavia do not provide for a consultative process for the amendment of the rules of procedure, in practice, representatives of the Registry, the Office of the Prosecutor and defence counsel participate in a “rules committee” that has been established to consider proposed amendments of the Tribunal’s rules of procedure before those amendments are adopted by the judges.\",\n \"250. The Secretary-General recommends that the General Assembly encourage the Tribunals to consult with the parties appearing before them when making amendments to their rules of procedure.\",\n \"2. Dismissal of manifestly inadmissible or unfounded cases\",\n \"251. Article 9 of the rules of procedure of the Dispute Tribunal states, “A party may move for summary judgement when there is no dispute as to the material facts of the case and a party is entitled to judgement as a matter of law”. Under this provision, a non‑meritorious claim cannot be dismissed so long as there is a dispute as to the material facts. By contrast, the administrative tribunals of other intergovernmental organizations provide for mechanisms to address non-meritorious claims.[8] For example, article 76 of the rules of procedure of the European Union Civil Service Tribunal states that “where the action is, in whole or in part, manifestly inadmissible or manifestly lacking any foundation in law, the Tribunal may, without taking further steps in the proceedings, give a decision by way of reasoned order”. In 2010, 10 of the 129 cases before the European Union Civil Service Tribunal were resolved on the basis of that provision.\",\n \"252. Furthermore, the Secretary-General notes that the rules of procedure of the Appeals Tribunal do not provide for any mechanism to address non-meritorious appeals expeditiously. Of the other intergovernmental organizations with administrative tribunals, only the European Union provides for appellate review. Judgements of the European Union Civil Service Tribunal may be appealed to the General Court. Article 111 of the rules of procedure of the General Court states that where an action is “manifestly inadmissible or manifestly lacking any foundation in law”, the General Court may decide on an action “without taking further steps in the proceedings”.\",\n \"253. Regarding the types of cases that may be dismissed on the grounds that they are manifestly inadmissible or unfounded, the Secretary-General recalls that the Appeals Tribunal ruled as early as in July 2010 that the Dispute Tribunal did not have the authority to review or revise judgements of the former United Nations Administrative Tribunal.[9] Nevertheless, to date, the Appeals Tribunal has received at least five appeals seeking revision of judgements by the Administrative Tribunal. Although these submissions may be appropriately considered to be “manifestly lacking any foundation in law”, the Appeals Tribunal has no mechanism to dismiss such cases expeditiously. Consequently, the Organization bears the costs of issuing a full judgement for each of these cases ($3,600 per judgement), in addition to the costs incurred by the Organization in preparing the responses to such appeals.\",\n \"254. In order to ensure that frivolous cases can be dismissed expeditiously so that the resources of the system of administration of justice can be used more efficiently, the General Assembly may consider amending article 7.2 (h) of the statute of the Dispute Tribunal so that its rules of procedure will include a provision concerning “procedures for the summary dismissal of cases, including cases that are manifestly inadmissible or manifestly lacking any foundation in law”. The Assembly may also consider amending article 6 of the statute of the Appeals Tribunal so that its rules of procedure will include a similar provision.\",\n \"255. The Secretary-General recommends that the General Assembly amend article 7.2 (h) of the statute of the United Nations Dispute Tribunal and article 6 of the statute of the United Nations Appeals Tribunal to provide for a mechanism in their rules of procedure to dismiss expeditiously cases that are manifestly inadmissible or manifestly lacking any foundation in law.\",\n \"3. Audio recording of oral hearings\",\n \"256. As indicated in paragraph 49 above, the Secretary-General has requested budgetary resources to permit the audio recordings of oral hearings to be maintained. While the Appeals Tribunal has ruled in one case that a party is “entitled to the record of the testimonies made at those proceedings from the relevant Dispute Tribunal Registry”,[10] such records have not always been made available to the parties upon request. In June 2011, the parties were informed that the “Registries of the Dispute Tribunal are not required under the statute and rules of procedure to make audio recordings of oral proceedings”.\",\n \"257. The Secretary-General notes that, in cases where the Dispute Tribunal’s assessment of the facts is based extensively or exclusively on the oral evidence presented during the proceedings, and the Dispute Tribunal fails to provide the parties with a record of such oral evidence, the parties are unable to exercise their right to appeal in any meaningful manner. While the parties may rely on their own notes of the oral evidence, the Appeals Tribunal will be unable to make an assessment as to whether the Dispute Tribunal’s account of the oral evidence or the parties’ account is accurate if there is no objective record of that evidence.\",\n \"258. In order to ensure that audio recordings of oral hearings are maintained and made available to the parties upon request, the General Assembly may consider amending article 7.2 (e) of the statute of the Dispute Tribunal so that its rules of procedure will include a provision concerning “oral hearings, including the audio recordings of oral hearings, which shall be made available to the parties upon request”.\",\n \"259. The Secretary-General recommends that the General Assembly revise article 7.2 (e) of the statute of the United Nations Dispute Tribunal to provide that audio recordings of oral hearings before the Tribunal are to be maintained and made available to the parties upon request.\",\n \"4. Redaction of names of staff members\",\n \"260. Article 11.6 of the statute of the Dispute Tribunal provides that the “judgements of the Dispute Tribunal shall be published, while protecting personal data, and made generally available by the Registry of the Tribunal”.\",\n \"261. The Secretary-General notes that in a number of cases, staff members either directly or indirectly involved in a contested decision have been identified by name by the Dispute Tribunal in the judgements. In some cases, in which the contested decision has been determined by the Dispute Tribunal to be vitiated, the actions and character of such staff members have been described by the Tribunal in intemperate terms. The identification of staff members by name and the description of their actions and characters in intemperate terms in Dispute Tribunal judgements have led some staff members to file complaints against the judges and raise concerns about defamation.\",\n \"262. In view of article 11.6 of the statute of the Dispute Tribunal and the need to ensure that the names and character of staff members are not unfairly impugned in Dispute Tribunal judgements, the General Assembly may consider amending article 7.2 (f) of the statute of the Tribunal so that its rules of procedure will include a provision concerning “publication of judgements, including a procedure for the redaction of names from judgements upon the request of the individuals concerned”.\",\n \"263. The Secretary-General recommends that the General Assembly amend article 7.2 (f) of the statute of the United Nations Dispute Tribunal so that its rules of procedure will include a provision concerning “publication of judgements, including a procedure for the redaction of names from judgements upon the request of the individuals concerned”.\",\n \"5. Suspensory effect of appeals of interlocutory orders\",\n \"264. Pursuant to article 11.3 of the statute of the Dispute Tribunal, judgements are “executable following the expiry of the time provided for appeal”. Moreover, article 7.5 of the statute of the Appeals Tribunal provides that the “filing of appeals shall have the effect of suspending the execution of the judgement contested”. Although the statutes of the two Tribunals refer only to the appeal of judgements, the Appeals Tribunal has recognized that in limited circumstances, appeals of interlocutory orders are also permissible. Therefore, it would seem appropriate for article 11.3 of the Dispute Tribunal statute and article 7.5 of the Appeals Tribunal statute to apply to appeals of interlocutory orders.\",\n \"265. A lack of clarity regarding whether an appeal suspends the obligation to execute a contested interlocutory order has led the Dispute Tribunal to prohibit the appealing party from appearing before it, an outcome that was subsequently nullified by the Appeals Tribunal.[11] The authority to impose such a prohibition is now codified in the amended article 19 of the Dispute Tribunal’s rules of procedure, which allows the Tribunal to issue any order that it considers appropriate, “including a decision dismissing the application or response”, where a party fails to comply with an interlocutory order. The Secretary-General believes that the right of the Dispute Tribunal to enforce compliance with interlocutory orders must be balanced against the right of the parties to appeal interlocutory orders in good faith, particularly in cases in which the Secretary-General would otherwise be required to execute an interlocutory order issued by the Dispute Tribunal that contradicts the established jurisprudence of the Appeals Tribunal. The General Assembly may consider amending article 11.5 of the Dispute Tribunal statute and article 7.5 of the Appeals Tribunal statute to confirm that these provisions apply equally to all decisions issued by the Dispute Tribunal, whether in the form of judgements or orders.\",\n \"266. The Secretary-General recommends that the General Assembly amend article 11.3 of the statute of the United Nations Dispute Tribunal to clarify that the interlocutory orders issued by the Tribunal may be subject to appeal. The Secretary-General also recommends that the Assembly amend article 7.5 of the statute of the United Nations Appeals Tribunal to clarify that appealing an interlocutory order issued by the Dispute Tribunal shall have the effect of suspending the execution of the contested order. The related provisions of the rules of procedure of the Tribunals would also need to be amended.\",\n \"6. Deadlines for filing appeals with the Appeals Tribunal\",\n \"267. Article 7.1 (c) of the statute of the Appeals Tribunal establishes a 45-day deadline for filing appeals.[12] There are currently no deadlines set out in the statute for appealing interlocutory orders, although in practice the Appeals Tribunal has imposed a 15-day deadline.[13]\",\n \"268. In view of the limited resources of the parties and the delays encountered in transferring relevant files between duty stations, the Secretary-General considers that extending the deadline for filing appeals by an additional 15 days would facilitate a fuller briefing on the legal issues to be examined by the Appeals Tribunal. The minimal delay occasioned by extending the deadline by an additional 15 days should be weighed against the significant gains that would result from allowing for a more thorough examination of the legal issues raised in the appeals, particularly during this initial period of the Appeals Tribunal, when many fundamental issues are being examined for the first time.\",\n \"269. The Secretary-General recommends that the General Assembly amend article 7.1 (c) of the statute of the United Nations Appeals Tribunal to extend the deadline for filing appeals of United Nations Dispute Tribunal judgements from 45 days to 60 days and to establish a 30-day deadline for filing appeals of interlocutory orders. The related provisions of the rules of procedure of the Appeals Tribunal would also need to be amended.\",\n \"C. Jurisdiction of the United Nations Dispute Tribunal over acts and omissions by independent entities in connection with the performance of their operational mandates\",\n \"270. Article 2.1 (a) of the statute of the Dispute Tribunal establishes the Tribunal’s jurisdiction over an “administrative decision that is alleged to be in non-compliance with the terms of appointment or the contract of employment”. In interpreting the term “administrative decision”, the United Nations Administrative Tribunal held that “administrative decisions are characterized by the fact that they are taken by the Administration, they are unilateral and of individual application, and they carry direct legal consequences” for the terms and conditions of employment of the staff member.[14] Elaborating on the first criterion (that administrative decisions must be taken by the Administration), the Administrative Tribunal held, in its judgement No. 1359, Perez-Soto (2007), that a decision made by the Ombudsman not to investigate a harassment complaint did not constitute an administrative decision, since any acts or omissions on the part of the Ombudsman could not be attributed to the Administration in view of the Ombudsman’s independent status.\",\n \"271. The administrative tribunals of other international organizations have also recognized the basic principle that when an entity acts independently from management, the organization does not have effective control over the entity and therefore cannot be held liable for its acts or omissions. For example, there have been two separate cases in which staff members of the International Monetary Fund (IMF) and the World Bank have alleged that the staff associations of their organizations were responsible for publishing confidential personnel information and filed claims against those organizations.[15] Both the IMF Administrative Tribunal and the World Bank Administrative Tribunal dismissed those claims, ruling that the organizations could not be held liable for actions of the staff associations, which did not act “at the instruction of management or under the effective control of management”.[16]\",\n \"272. The Secretary-General notes that a number of entities with an independent status have been established pursuant to General Assembly resolutions. These entities include the Ombudsman, OIOS, the Ethics Office and the Office of Administration of Justice, all of which enjoy operational independence.[17] The issue of the competence of the Dispute Tribunal over acts or omissions by these independent entities raises difficult questions, as does the possibility of holding the Secretary-General liable for acts and omissions by entities over which he has no effective control.\",\n \"273. To date, the independent entities whose acts and omissions have been challenged before the Dispute Tribunal include: (a) OIOS; (b) the Ethics Office; and (c) the Office of Staff Legal Assistance:\",\n \"(a) In a recent case examined by the Appeals Tribunal, a staff member challenged the content of an OIOS report and the procedures employed by the Office in conducting its audit. As at 15 August 2011, the judgement of the Appeals Tribunal in that case had not been issued. However, as indicated in a synopsis of the judgement (which was issued by the Appeals Tribunal Registry not as an official document, but for public information purposes), the Tribunal appears to recognize that, as the Secretary-General has no power to influence or interfere with OIOS, the United Nations Dispute Tribunal also has no jurisdiction to do so, as it can only review the Secretary-General’s administrative decisions;\",\n \"(b) In at least three cases, staff members have filed applications with the Dispute Tribunal challenging a determination made by the Ethics Office that they were not subject to retaliation. In rejecting the argument that the General Assembly’s request that the Secretary-General create an Ethics Office with an “independent status” required the Secretary-General to respect that status, the Dispute Tribunal opined that “recommendations of the General Assembly must be given serious consideration” but are not dispositive for assessing whether the Ethics Office enjoys an independent status.[18] As the Dispute Tribunal has not yet issued a final judgement addressing the issue of whether a determination made by the Ethics Office regarding retaliation constitutes an administrative decision, the Appeals Tribunal has not yet pronounced itself on that issue;\",\n \"(c) In a recent case examined by the Appeals Tribunal, a staff member challenged the alleged failure of the Office of Staff Legal Assistance to disclose a conflict of interest. The Secretary-General maintained that acts and omissions of the Office did not constitute decisions by the Administration and, as such, fell outside the scope of the jurisdiction of the Dispute Tribunal, which was limited to reviewing “administrative decisions”. In that connection, the Secretary-General noted that the IMF Administrative Tribunal and the World Bank Administrative Tribunal had rejected the argument that the respective international organizations could be held liable for the contested acts by the staff associations, since the primary purpose of staff associations was to advocate on behalf of staff interests and to “express viewpoints independent from, and sometimes in opposition to … management”.[19] This reasoning would apply with even greater force to the Office of Staff Legal Assistance, given that the adversarial nature of litigation means that the Office often expresses viewpoints in opposition to management. As at 15 August 2011, the judgement of the Appeals Tribunal in that case had not been issued. However, as indicated in a synopsis of the judgement, the Appeals Tribunal appears to have ruled that acts and omissions of the Office of Staff Legal Assistance fall within the jurisdiction of the Dispute Tribunal, as the services provided by the Office and the manner in which the representation is implemented can have an impact on the terms of appointment. The implication of holding the Secretary-General legally and financially liable for acts and omissions of the Office of Staff Legal Assistance would be that if staff members are unable to prevail in their challenges of administrative decisions taken by the Secretary-General, they may nevertheless claim compensation from the Organization if they are able to establish that the legal advice provided by the Office was somehow deficient.\",\n \"274. The jurisprudence emerging from the Appeals Tribunal appears to indicate that, while the acts and omissions of certain independent entities such as OIOS may fall outside the scope of the jurisdiction of the Dispute Tribunal, the acts and omissions of other independent entities such as the Office of Staff Legal Assistance may be reviewed by the Dispute Tribunal. Furthermore, the Secretary-General notes that any guidance of the Appeals Tribunal on these issues may not necessarily be dispositive, as the Dispute Tribunal has emphasized that it will consider rules established by the Appeals Tribunal to be applicable only where they are “in conformity with general principles of law”.[20]\",\n \"275. Accordingly, the Secretary-General considers that it may be helpful for the General Assembly to clarify its intent regarding the scope of the jurisdiction of the Dispute Tribunal. In that connection, the Secretary-General emphasizes that excluding the acts and omissions of independent entities from the jurisdiction of the Dispute Tribunal would not mean that staff members would be deprived of recourse where they believed that their rights had been violated by such entities.\",\n \"276. First, in a situation in which the Secretary-General takes an administrative decision based on an impugned act or omission by an independent entity, the decision itself can be challenged before the Dispute Tribunal. For example, if the Ethics Office determines that a staff member engaged in retaliation and the Secretary-General decides to impose a disciplinary measure against the staff member on the basis of the determination made by the Ethics Office, the staff member could then file an application with the Dispute Tribunal challenging the Secretary-General’s imposition of the disciplinary measure and his reliance on an allegedly faulty determination by the Ethics Office. However, a determination by the Ethics Office regarding retaliation should not be subject to challenge before the Dispute Tribunal. As the independent status of the Ethics Office prevents the Secretary-General from instructing the Office how to make its determination of retaliation, the Secretary-General cannot be held liable for determinations made by the Office, even if they subsequently prove to be flawed.\",\n \"277. Secondly, where a staff member challenges an act or omission by an independent entity related to the performance of its managerial functions, the extension of the jurisdiction of the Dispute Tribunal over such matters would not raise any problems in terms of the entity’s independent status. For example, an application challenging the manner in which a selection process in OIOS had been conducted would clearly fall within the Dispute Tribunal’s jurisdiction.\",\n \"278. The exercise of the jurisdiction of the Dispute Tribunal over acts and omissions of independent entities is problematic only where a staff member’s claims relate to the manner in which such entities carry out their operational responsibilities. As the manner in which independent entities carry out their operational responsibilities lies outside the effective control of the Secretary-General, the Secretary-General is of the view that any acts and omissions by the independent entities in relation to their operational mandates cannot be attributed to him, and that he should not be held legally or financially liable for them. Indeed, the imposition of liability under these circumstances will not advance the goal of strengthening accountability, as the Secretary-General has no authority to influence or correct the acts and omissions by the independent entities challenged by the staff members. The General Assembly may wish to consider the appropriateness of imposing financial liability and expending the public funds of the Organization where no fault on the part of the Secretary-General has been established.\",\n \"279. Should the General Assembly wish to clarify that the scope of the jurisdiction of the Dispute Tribunal over administrative decisions is limited to those decisions that have been taken by or on behalf of the Secretary-General, it may consider amending article 2.1 (a) of the Dispute Tribunal’s statute to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.\",\n \"280. The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.\",\n \"281. Another emerging issue is whether the Dispute Tribunal has jurisdiction over the implementation by the Secretary-General of decisions taken by governing bodies, such as the General Assembly or its subsidiary bodies. To date, staff members have filed applications with the Dispute Tribunal challenging actions taken by the Secretary-General to implement Assembly resolutions and decisions of the International Civil Service Commission (ICSC).\",\n \"1. General Assembly\",\n \"282. Under Article 101 of the Charter of the United Nations, “staff shall be appointed by the Secretary-General under regulations established by the General Assembly”. Pursuant to that provision, the Assembly promulgates the Staff Regulations and may modify the Staff Rules. Through its resolutions, the Assembly approves the Organization’s policies relating to human resources management.\",\n \"283. In 2010, the General Assembly, in its resolution 65/248, approved the recommendations of the International Civil Service Commission on the harmonization of the conditions of service of staff of the organizations of the United Nations common system serving in non-family duty stations. The consequence of that decision was that a particular benefit, called the “personal transitional allowance”, would be discontinued. In the same resolution, the Assembly requested the Secretary-General to facilitate the immediate implementation of the recommendations of the Commission concerning the harmonization of the conditions of service in non-family duty stations. Accordingly, the Department of Field Support informed staff members serving in the field that the changes approved by the Assembly would become effective on 1 July 2011. In June 2011, the first application challenging the discontinuation of the personal transitional allowance was filed with the Dispute Tribunal. The application alleged that the discontinuation of the personal transitional allowance had an adverse impact on single women, suggesting that it constituted discrimination on the basis of gender or personal status.\",\n \"284. The Charter requires the Secretary-General to implement the regulations established by the General Assembly on the administration of staff, and, as a consequence, the Secretary-General is also required to implement policies on human resources management as set out in Assembly resolutions. The United Nations Administrative Tribunal had previously held that “the Tribunal is neither the General Assembly nor the Secretary-General, and therefore it is not in a position to substitute its judgement for policy decisions on personnel matters”.[21] The legal authority of the resolutions of the General Assembly was reaffirmed in paragraph 9 of resolution 65/251, in which the Assembly stressed that “all elements of the new system of administration of justice must work in accordance with the Charter of the United Nations and the legal and regulatory framework approved by the General Assembly”.\",\n \"285. However, the Dispute Tribunal has held that the Secretary-General’s obligation to comply with General Assembly resolutions cannot be invoked as a reason for declining to take a particular action when inaction would lead to a violation of human rights norms, such as the principle of equal pay for equal work. Such a ruling has been confirmed by the Appeals Tribunal.[22] In short, in cases where the Dispute Tribunal determines that the implementation of an Assembly resolution will lead to outcomes inconsistent with human rights norms, then the Secretary-General may be held legally and financially liable for complying with that resolution.\",\n \"2. International Civil Service Commission\",\n \"286. The International Civil Service Commission is a subsidiary body of the General Assembly, and its statute was approved by the Assembly in its resolution 3357 (XXIX). Article 6 of its statute expressly prohibits the Commission from taking any instructions from an organization that is participating in the common system and is therefore independent of the Secretary-General. Article 25 (3) of the statute provides that the decisions of the Commission “shall be applied by each organization with effect from a date to be determined by the Commission”.\",\n \"287. In December 2009, the Commission decided to change the duty-station classification of Nairobi from category “C” to category “B”. The duty-station classification of Addis Ababa was also changed from category “C” to category “B”. Both of these changes took effect on 1 January 2011. The Commission’s classifications of duty stations, ranging from category “A” to category “E”, reflect the difficulty of conditions of life and work, with category “E” reserved for the most difficult duty stations. As a consequence of the reclassification of the duty stations, in Nairobi and Addis Ababa, staff members serving there receive a lower amount of hardship allowance and are entitled to home leave only once every 24 months, as opposed to once every 12 months. Staff members at both duty stations have contested the Secretary-General’s implementation of the Commission’s decision.\",\n \"288. The Secretary-General is obliged to implement the Commission’s reclassification of Nairobi, in view of article 25 (3) of the Commission’s statute and staff rule 3.14, which requires the Secretary-General to determine the amount of the hardship allowance “taking into account the degree of difficulty of life and work at each duty station as per the classification of duty stations established by the International Civil Service Commission”. Moreover, the United Nations Administrative Tribunal emphasized that Commission decisions were binding on the Secretary-General. In Administrative Tribunal judgement No. 421 (Chatwani), the Tribunal ruled that “it is not for the United Nations Secretary-General or for the Secretaries-General or Directors-General of the other organizations in the common system to revise, modify or rescind a decision adopted by the Commission in accordance with its statute”.[23]\",\n \"3. Clarification of the scope of the jurisdiction of the United Nations Dispute Tribunal\",\n \"289. Challenges to the implementation by the Secretary-General of decisions by governing bodies, including General Assembly resolutions and decisions by the International Civil Service Commission, are still being reviewed by the Dispute Tribunal. Notably, the Appeals Tribunal has already rejected the argument, made by the Secretary-General in one case, that taking the action requested by the staff member would be contrary to a General Assembly resolution on a budgetary matter, holding that budgetary considerations “may not trump the requirement of equal treatment”.[24]\",\n \"290. Even after the Dispute Tribunal and the Appeals Tribunal rule on particular cases in which the Secretary-General’s implementation of General Assembly resolutions and International Civil Service Commission decisions has been challenged, such judgements will not necessarily be dispositive for other situations, as the decisions of those governing bodies cover a broad range of issues relating to human resources management. Moreover, the Dispute Tribunal has emphasized that it will consider rules established by the Appeals Tribunal to be applicable only where they are “in conformity with general principles of law”.[25]\",\n \"291. Accordingly, the Secretary-General considers that it may be helpful for the General Assembly to clarify its intent regarding the scope of the Dispute Tribunal’s jurisdiction. The Assembly may wish to consider the appropriateness of imposing financial liability and expending the public funds of the Organization where the Secretary-General has taken action to implement the decisions of governing bodies such as the Assembly and the International Civil Service Commission.\",\n \"292. Should the General Assembly wish to clarify that the scope of the Dispute Tribunal’s jurisdiction would not extend to the implementation by the Secretary-General of decisions of governing bodies such as the Assembly and the Commission, it may consider amending article 2.1 (a) of the Dispute Tribunal’s Statute to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”. An action taken by the Secretary-General to implement decisions of governing bodies would not constitute an administrative decision unilaterally taken by the Secretary-General, since he does not have the latitude to act in a manner contrary to decisions by those governing bodies.\",\n \"293. The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.\",\n \"V. Resource requirements\",\n \"294. The Secretary-General has identified various areas in the formal justice system requiring strengthening in order to fulfil the mandate that the new system be “independent, transparent, professionalized, adequately resourced and decentralized”. The requirements for the informal system are presented separately in the report of the United Nations Ombudsman. For all of the reasons set out above, the Secretary-General recommends that the General Assembly consider enhancing the formal justice system with the following post and non-post resources, besides those requested in the proposed programme budget for the biennium 2012-2013 (A/66/6):\",\n \"(a) With respect to the Management Evaluation Unit, for the reasons set out in paragraphs 19 and 20 above, the Secretary-General recommends that the Assembly establish an additional post of Legal Officer (P-3) to support the work of the Unit;\",\n \"(b) With respect to the Dispute Tribunal and its Registries, for the reasons set out in paragraphs 42-44 above, the Secretary-General recommends that the Assembly appoint three additional full-time judges (one each in Geneva, Nairobi and New York) to the Tribunal, reclassify one P-2 Legal Officer post in the Registry in New York as a P-3 post and establish six new posts (3 P-3, 2 General Service (Other level) and 1 General Service (Local level)) to support the additional full-time judges, effective 1 January 2012. The aforementioned capacity was initially approved by the Assembly in its resolution 63/253 for a period of one year effective 1 July 2009 and extended until 31 December 2011 by resolution 65/251, and funded through the use of the limited budgetary discretion granted to the Secretary-General in resolution 60/283 and extended in resolution 64/260. The present proposal is aimed at regularizing the temporary capacity available to the Dispute Tribunal, as set out above;\",\n \"(c) With respect to non-post resources for the Dispute Tribunal, for the reasons set out in paragraphs 49-51 above, the Secretary-General recommends that the Assembly approve the resources for communications ($25,000) and travel ($155,000);\",\n \"(d) With respect to the Registry of the Appeals Tribunal, the Secretary-General recommends, for the reasons set out in paragraphs 71-78 above, that it be strengthened with one Legal Officer (P-4), effective 1 January 2012, as well as additional resources for travel ($280,200) to facilitate a third annual session of the Tribunal and for increased travel privileges of the Tribunal’s judges;\",\n \"(e) With respect to the Office of Staff Legal Assistance, for the reasons set out in paragraphs 83-92 above, the Secretary-General recommends that it be strengthened with four posts (1 P-4 and 1 General Service (Local level) in Nairobi, 1 P-4 in New York and 1 General Service (Other level) in Geneva), effective 1 January 2012. The Secretary-General also recommends that the P-3 position established by resolution 65/251, effective 1 January 2011, currently funded from the support account for peacekeeping operations until 31 December 2011, be continued until 31 December 2012. In addition, the Secretary-General requests resources for communications ($11,200), travel ($15,000) and supplies ($9,000);\",\n \"(f) With respect to the Office of the Executive Director of the Office of Administration of Justice, for the reasons set out in paragraphs 101-108 above, the Secretary-General recommends that the Assembly authorize general temporary assistance ($130,000) for remuneration for the external members of the Internal Justice Council and to provide for the replacement of staff during extended sick and maternity leave. In addition, the Secretary-General recommends that the Assembly approve the resources for travel ($30,000), contractual services ($37,500) and the acquisition of software packages ($37,500);\",\n \"(g) With respect to Secretariat offices representing the Secretary-General before the Dispute Tribunal, for the reasons set out in paragraphs 115-156 above, the Secretary-General recommends that the Assembly approve 11 new posts (5 P-4, 3 P‑3, 1 General Service (Other level) and 2 General Service (Local Level)), effective 1 January 2012. These include five posts (2 P-4 and 3 P-3) in the Office of Human Resources Management, two posts (1 P-4 and 1 General Service (Other level)) in the United Nations Office at Geneva, two posts (1 P-4 and 1 General Service (Local level)) in the United Nations Office at Nairobi and two posts (1 P-4 and 1 General Service (Local level)) in the Economic and Social Commission for Asia and the Pacific. The Secretary-General, for the reasons set out in paragraphs 153-156 above, recommends that the Assembly approve the resources ($60,000) for travel to conduct outreach missions and for travel to Tribunal hearings at other duty stations;\",\n \"(h) With respect to the Office of Legal Affairs, for the reasons set out in paragraphs 172-186 above, the Secretary-General recommends that the Assembly establish three posts (2 P-4 and 1 P-3) in the General Legal Division, effective 1 January 2012.\",\n \"295. Accordingly, should the General Assembly agree with the above proposals, additional resource requirements in the amount of $8,657,900 (before recosting) would be considered in accordance with the provisions governing the contingency fund in accordance with the terms of Assembly resolutions 41/213 and 42/211. In this regard, it is recalled that the Assembly, in its resolution 65/262, approved a contingency fund for the biennium 2012-2013 in the amount of $40.5 million.\",\n \"296. All new posts reflected in the present report are proposed to be established as from 1 January 2012. Given that the Advisory Committee on Administrative and Budgetary Questions, in paragraph 20 of its first report on the proposed programme budget for the biennium 2008-2009 (A/62/7) recommended that information on the delayed impact of posts be reflected in any new proposals, the Assembly may wish to note that the additional requirements for the full costing of the proposed 26 new posts in the biennium 2014-2015 are currently estimated at $3,356,400 under section 1, Overall policymaking, direction and coordination, $1,072,200; section 8, Legal affairs, $432,200; section 19, Economic and social development in Asia and the Pacific, $173,500; section 29A, Office of the Under-Secretary-General for Management, $126,200; section 29C, Office of Human Resources Management, $684,600; section 29E, Administration, Geneva, $234,500; section 29G, Administration, Nairobi, $168,300; and section 37, Staff assessment, $464,900, to be offset by an equivalent amount under income section 1, Income from staff assessment.\",\n \"VI. Conclusions and actions to be taken by the General Assembly\",\n \"297. The Secretary-General considers that the recommendations contained in the present report will provide necessary additional strength to the new internal justice system, which already enjoys the confidence of both staff and management. He requests the General Assembly to give due consideration to these proposals and to approve the resources necessary to strengthen its implementation.\",\n \"298. Accordingly, the General Assembly is requested to:\",\n \"(a) Approve the establishment of 26 new posts (10 P-4, 8 P-3, 4 General Service (Other level) and 4 General Service (Local level)), effective 1 January 2012, under the proposed programme budget for the biennium 2012-2013;\",\n \"(b) Approve the reclassification of one P-2 post as a P-3 post, effective 1 January 2012, under the proposed programme budget for the biennium 2012-2013;\",\n \"(c) Appropriate a total amount of $8,657,900 (before recosting) under the programme budget for the biennium 2012-2013, comprising increases under section 1, Overall policymaking, direction and coordination ($3,889,700); section 8, Legal affairs ($559,700); section 19, Economic and social development in Asia and the Pacific ($388,400); section 29A, Office of the Under-Secretary-General for Management ($164,300); section 29C, Office of Human Resources Management ($948,300); section 29D, Office of Central Support Services ($832,700); section 29E, Administration, Geneva ($636,600); and section 29G, Administration, Nairobi ($577,200), and an increase under section 37, Staff assessment ($661,000), to be offset by a corresponding amount under income section 1, Income from staff assessment. The provision would represent a charge against the contingency fund;\",\n \"(d) Approve the continuation of a P-3 position in Nairobi, effective 1 January 2012, for an additional one year, to be funded from the budget for the support account for peacekeeping operations, and the related costs to be reported in the context of the performance report relating to the support account for peacekeeping operations for the period from 1 July 2011 to 30 June 2012 and reflected in the budget proposals for the period from 1 July 2012 to 30 June 2013.\",\n \"Annex I\",\n \"Proposals for staff-funded mechanisms to fund the Office of Staff Legal Assistance\",\n \"Staff funding mechanism for the Office of Staff Legal Assistance: concept paper\",\n \"I. Introduction\",\n \"1. The present concept paper presents various staff funded mechanisms for supporting the Office of Staff Legal Assistance (OSLA) of the Office of Administration of Justice (OAJ), as requested by the General Assembly in paragraphs 40 and 41 of its resolution 65/251. The concept paper addresses the Assembly’s request for the submission of proposals based on both mandatory and voluntary contribution models.\",\n \"2. There are elements common to both the mandatory and the voluntary options presented in the present paper. Specifically, the General Assembly would continue to determine the staffing table of the Office of Staff Legal Assistance and its other financial needs upon the consideration of budgetary proposals by the Secretary-General. In addition, the Secretary-General notes that any decisions regarding the staffing requirements of the Office must take into account any decision taken by the Assembly regarding the mandate and functioning of the Office. The Office posts created pursuant to resolution 63/253 would continue to be funded through the regular budget. The staff funding mechanisms proposed would serve to offset some of the costs of enhancements to the Office’s current staffing table as proposed by the Secretary-General. The final common element is that the proposed contributions from staff, either mandatory or voluntary, would be deducted monthly through payroll.\",\n \"3. Specifically, regarding the mandatory option, it bears noting that, as the General Assembly established the Office of Staff Legal Assistance as part of the Organization’s internal system of administration of justice, the expenses associated with its operation constitute expenses of the Organization. Pursuant to Article 17, paragraph 2, of the Charter of the United Nations, “expenses of the Organization shall be borne by the Members as apportioned by the General Assembly”. The intention of this paragraph, to require the Member States to bear the expenses of the Organization, is clear from the legislative history of this provision.[26]\",\n \"4. Accordingly, requiring staff members to bear part of the costs of an “expense” of the Organization, which, under the Charter is to be borne by the Member States, raises legal concerns. Introducing staff-funded schemes for activities of the Organization mandated by the Assembly raises the possibility that in future, other “expenses” of the Organization that might be seen to benefit staff would be underwritten in whole or in part through a levy on staff members.\",\n \"II. Mandatory mechanisms for staff funding of the Office of Staff Legal Assistance\",\n \"5. There are three possible mandatory models for a staff funding mechanism for the Office of Staff Legal Assistance: (a) a universal model under which all staff members would contribute a percentage of salary; (b) a model under which only the staff actually using services of the Office would be charged a fee for their use; and (c) a model under which a percentage of dues collected by staff unions and associations would be used to fund activities of the Office. All three models are discussed below.\",\n \"6. As at 30 June 2010, the population of staff members of the Secretariat and the funds and programmes comprised approximately 45,000 General Service staff members, approximately 30,000 Professional and Field Service staff members, and approximately 1,525 staff members at the Director level and above who have access to the system of administration of justice (see A/65/350 and CEB/2010/HLCM/HR/24).\",\n \"A. Universal mandatory model\",\n \"7. Under a universal mandatory model, a fee would be assessed against each staff member. An important consideration for assessing any fee against staff is that salary scales, in particular local salary scales, differ greatly from duty station to duty station. Thus, any fee assessed would need to reflect the various salary scales to ensure that it was equitable and proportionate to the actual salary of each staff member. One possibility would be to assess a percentage of the salary of each staff member having access to the system of administration of justice (for example, .001 per cent). Alternatively, the amount of the fee could be fixed, but dependent upon a determination of the level, grade and duty station of the staff member. The fee would be deducted monthly by payroll.\",\n \"8. Staff contributions collected would be used to offset some of the expenses of posts other than those currently reflected in the Office of Staff Legal Assistance staffing table established pursuant to General Assembly resolution 63/253 (1 P-5, 5 P-3, 1 P-2 and 3 General Service posts).\",\n \"9. There are several benefits associated with this model. Principally, with a large staff population, even de minimus individual contributions would result in a significant amount of money to fund the Office. Equally, a universal and mandatory scheme would be the most consistent and stable source of revenue.\",\n \"10. However, there are also concerns with respect to a mandatory scheme. The first is that, generally, a very small percentage of staff members are expected to avail themselves of the services of the Office. Currently, the percentage of staff who are filing complaints in the formal system is less than 1 per cent. Therefore, approximately 99 per cent of staff would help to pay for services used by less than 1 per cent. This raises concerns as to the fairness of imposing a general levy in the form of a universal mandatory scheme.\",\n \"11. Another concern relates to the fact that, pursuant to jurisprudence of the United Nations Dispute Tribunal,[27] the Office may decline to provide assistance in a case when it determines that the case lacks legal merit or has sufficiently little possibility of success before the Tribunals. This jurisprudence accords with the generally accepted principle that an officer of the court may not bring before a court a case that he or she does not believe in good faith to have legal merit. Additionally, organizational resources should not be squandered on matters with little or no likelihood of having a positive outcome. However, if a mandatory levy is imposed on all staff, individual staff members may feel that they have a right to representation by the Office of Staff Legal Assistance, irrespective of whether their cases have legal merit or a reasonable likelihood of success. There is a risk, therefore, that if a staff member is denied services despite having paid a levy, he or she might make a complaint or even formally appeal the decision, with additional and possibly significant cost implications for the Organization.\",\n \"12. This scenario might occur under either a mandatory or a voluntary scheme, as, theoretically, any staff member making a contribution, either mandatory or voluntary, might argue that the payment creates an entitlement to services.\",\n \"13. Finally, staff members mandated to contribute to the services of an Office established by the General Assembly may consider this a violation of their terms of appointment and conditions of service and appeal it. If a staff member succeeds with such a claim, the Organization will be obliged to reimburse the staff contributions, possibly with additional compensatory payments, at a later stage, to all staff members, with interest.\",\n \"B. Mandatory assessment for users of services of the Office of Staff Legal Assistance\",\n \"14. A second possible mandatory staff-funding option would be to mandate that only those staff members who avail themselves of the services of the Office of Staff Legal Assistance would be required to make a contribution. This model would address the concern that staff members who do not avail themselves of the services of the Office would not be required to bear the costs of its funding.\",\n \"15. If this option is accepted, the required contribution would need to be determined. A fixed contribution would be, essentially, the assessment of a fee for the use of the Office. Other modalities could be contemplated, such as requiring successful applicants to donate a percentage of any compensation awarded.\",\n \"16. However, because the number of staff members making use of the services of the Office constitutes a very small percentage of the total staff population (approximately 1,000 staff members per year seek the services of the Office), the fee assessed against individual users would need to be higher than the de minimus contribution considered under the universal mandatory model. For example, the annual cost of a P-4 post in Geneva is $227,300. Thus, in order to fully fund a single P-4 post for the Office of Staff Legal Assistance in Geneva, the fee assessed against users of the Office would have to be $227.30 per user. If it were determined that the scheme should only offset a percentage of the costs associated with additional Office posts, the fixed fee would be larger or smaller, depending on the number of posts and the percentage to be offset.\",\n \"17. Notably, the concern that staff members who have made a mandatory contribution would demand continued legal services and complain or even appeal if the Office declined to represent them, as mentioned above in relation to the universal contribution model, would also apply to this model. However, it could be mitigated if the fee charged to the staff member varied according to the range of services provided to the staff member by the Office. For example, staff members could be charged a fee of $300 for the negotiation and settlement of their case by the Office, but incur a fee of only $50 for telephone advice from the Office.\",\n \"C. Mandatory assessment against dues collected by staff unions and associations\",\n \"18. A third possible mandatory model would be one under which staff associations and staff unions would be required to contribute a portion of the staff dues remitted to them to support the Office of Staff Legal Assistance.\",\n \"19. The remit of staff unions and associations is to promote and safeguard the rights and interests of staff. Thus, requiring a portion of the dues collected to be contributed to the Office would be analogous to imposing a mandate that staff unions and associations provide, at their expense, some form of legal insurance for the staff whom they represent.\",\n \"20. Concerns regarding the imposition of a mandatory deduction from unions’ financial resources would be similar to those regarding the imposition of a mandatory deduction on individual staff members.\",\n \"21. Currently, United Nations staff unions and associations may not impose a mandatory dues levy on the staff whom they represent. Accordingly, there are great disparities among individual unions and associations in terms of their financial resources. Several possibilities exist for determining the fee to be paid. One would be to assess a percentage of assessed dues against each staff union or association. Another would be to base the fee on the number of staff represented. A third option would be to assess a fixed amount against all unions and associations. The amount of funds that could be generated under the first two models to offset Office costs would depend on a number of factors (the amount of dues collected under the first model, and the number of staff represented and the amount assessed per person under the second). Under the third model, for example, an assessed contribution of $20,000 per staff union/association (there are 14 unions) would net $280,000 annually. There is a concern, however, that individual unions and associations, in particular those who are not well funded, might complain that the imposition of a levy would impede their ability to provide basic services to their members.\",\n \"III. Voluntary mechanisms for staff funding of the Office of Staff Legal Assistance\",\n \"22. There are two possible models for establishing a staff funding mechanism based on voluntary contributions. One would be a system under which a fixed percentage of a staff member’s salary would be automatically deducted to support the services provided by the Office of Staff Legal Assistance, but the staff member could elect to opt out of the system. The second would permit staff members to choose the option of contributing a fixed percentage of their salary.\",\n \"23. Both voluntary models offer the advantage that contributions are made at the consent (express or implied) of participating staff members. However, the amount of revenue that a voluntary model would generate would depend on the number of staff deciding to make contributions, and is therefore difficult to estimate without the actual experience of several annual cycles of contributions that can be assessed as a benchmark.\",\n \"24. Under both models, it would be necessary to provide staff members with some form of incentive to participate in the scheme. One possible means of encouraging participation would be for the Office to prioritize the cases of staff opting into the scheme and, should it have too many cases to handle effectively at any given time, to decline to provide assistance to a staff member opting out of the voluntary funding scheme.\",\n \"25. Another way to encourage participation would be to create two levels of Office of Staff Legal Assistance services. Staff participating in the voluntary staff funding mechanism would have access to all Office services. Staff not making voluntary contributions would have access to only basic Office services, namely, summary legal guidance/advice on the operative law and limited review of any document or pleading that the staff member has drafted in support of his or her case. In this connection, an additional incentive for participation in the voluntary scheme could be the addition of the user-pays concept under the mandatory scheme: staff members who did not opt into or have opted out of the voluntary scheme may be obliged to pay for the use of the Office.\",\n \"26. As with the mandatory model, there is a possibility that complaints and appeals could arise should the Office decline to take the case of a contributing staff member when it concludes that there is little or no chance of a successful outcome. However, these concerns can be mitigated by making it clear to staff members that the Office’s decision to provide legal assistance would take into account the merits of their claim.\",\n \"27. Furthermore, voluntary schemes raise additional questions about contribution thresholds required for the provision of enhanced services. For example, if staff members could opt into the payment of the fixed contribution immediately before they desired the services of the Office and could then opt out as soon as they had received those services, the revenues would be minimal. One solution to this problem would be to allow changes to a staff member’s opt-in/opt-out status only, for example, once a year.\",\n \"IV. Conclusions\",\n \"28. All models presented above require further consideration before implementation. As discussed above, there are legal concerns relating to the imposition of mandatory models.\",\n \"29. In addition, there are competing interests of fairness and revenue generation that must be addressed. Mandatory models, if determined to be acceptable, offer a greater likelihood of producing appreciable revenue with which to offset the costs of additional Office resources. However, the amount of revenue that would be generated, even under mandatory models, would depend on the number of paying individuals or entities and the amount or percentage assessed.\",\n \"30. “User-pays” and voluntary models are likely to be viewed as more fair, as they do not impose costs, even nominal ones, on those who do not use the services of the Office or see no value in contributing in the event that they might use them in the future. This concern is particularly salient, given that 99 per cent of staff members have not been making use, and are not expected to make use, of the Office’s services. However, it is more difficult to predict the amount of revenue that would be generated by any voluntary mechanism. Under a “user-pays” model, the issue would arise as to how to ensure that a contribution would be equitable yet sufficient without excessively decreasing the use of the Office. Therefore, further consideration would be required in order to strike an appropriate balance between making the services of the Office generally available and generating revenue.\",\n \"V. Recommendation\",\n \"31. The Secretary-General recommends that the General Assembly take note of this presentation of proposals for mandatory or mixed-funding schemes, and indicate which specific model, if any, it considers to be suitable to serve as the basis for a more detailed proposal from the Secretariat to be submitted for its consideration.\",\n \"Annex II\",\n \"Proposal for recourse mechanisms for non-staff personnel\",\n \"Outline of Rules for Expedited Arbitration Procedures under United Nations contracts with consultants and individual contractors: concept paper\",\n \"I. Introduction\",\n \"1. The present concept paper[28] presents possible means of establishing expedited arbitration procedures for the resolution of disputes between the United Nations and certain categories of non-staff personnel, i.e., consultants and individual contractors, by incorporating streamlined elements into the Arbitration Rules of the United Nations Commission on International Trade Law (UNCITRAL). This approach was generally alluded to in the report of the Secretary-General on administration of justice at the United Nations (A/65/373 and Corr.1, para. 171). The concept paper does not purport to address the other possible approaches to the resolution of disputes with non-staff personnel referred to in paragraph 9 of General Assembly resolution 64/233, or suggest means of resolving disputes with categories of non-staff personnel not covered by the procedures discussed herein (see General Assembly resolution 65/251, para. 55).\",\n \"2. The approach set out in paragraph 171 of the Secretary-General’s report was raised in the context of arbitrations under the auspices of local, national or regional arbitration associations for claims amounting to less than $25,000. However, the report concluded that “initiating a formal arbitration even under special procedures, for claims valued at $25,000 or less, would not necessarily be efficient or effective for the Organization” (A/65/373 and Corr.1, para. 172). Thus, the expedited procedures outlined below do not presuppose a financial limitation.\",\n \"3. The procedures set out in the present concept paper could be used for ad hoc arbitrations and for arbitrations under the auspices of an arbitration association, if the association agreed to administer arbitrations under the procedures.\",\n \"4. In simplifying arbitration procedures, it must be borne in mind that, pursuant to article VIII, section 29, of the Convention on the Privileges and Immunities of the United Nations, the United Nations must provide an appropriate mode of settlement of disputes arising out of its contracts. Thus, procedures set out in the present concept paper seek to preserve essential features of due process.\",\n \"5. The following are the essential features of the procedures set out in the present concept paper:\",\n \"• A two-stage process, consisting of an informal dispute resolution phase and an expedited arbitral proceeding in case the informal dispute resolution phase fails\",\n \"• Non-waivable time limits for filing arbitration claims\",\n \"• Sole arbitrator\",\n \"• Arbitrator to be chosen from a roster of arbitrators agreed upon by the Organization and the individual contractors/consultants (see para. 7 (d) below)\",\n \"• Limitation of arbitrator’s fees\",\n \"• Elimination of an appointing authority, but exercise of certain functions of an appointing authority (e.g., selecting/appointing the arbitrator, deciding on a party’s challenge to an arbitrator) by a neutral entity\",\n \"– The neutral entity could be an international dispute settlement institution (in which case both the Organization and the claimants would have to bear their respective share of the institution’s administrative fees)\",\n \"• Transmittal of arbitration notices and other communications by electronic means, whenever feasible\",\n \"• Use of standard templates for the parties’ submissions\",\n \"• Simplification and limitation of the number of pleadings and other submissions\",\n \"• Restrictions on the amendment of pleadings and submissions\",\n \"• Testimony of witnesses to be by written affidavit, unless the arbitrator decides that the testimony of a witness should be given orally (e.g., to enable the opposing party to cross-examine the witness)\",\n \"• Conferences and consultations among the arbitrator and parties on preliminary administrative and other matters to be by teleconference or videoconference\",\n \"• Exceptionally, a party may request a hearing to cross-examine a witness, or the arbitrator may order a hearing if necessary to resolve a substantial issue of fact or law; such hearings normally to be by teleconference or videoconference, to be restricted in scope, and not to exceed two days\",\n \"• In most cases, arbitrator’s award to be based on the parties’ written pleadings and submissions (documents-only process)\",\n \"• Arbitrator to issue the award within a specified time frame, e.g., 30 days\",\n \"• Any compensation awarded to be limited to economic loss and subject to a cap\",\n \"• Depending on the number of arbitrations that will be initiated against the Organization under the proposed simplified arbitration procedures, additional resources may be required to defend the Organization and minimize its legal liability.\",\n \"II. Framework\",\n \"6. A new set of rules, called the Rules for Expedited Arbitration Procedures under United Nations Consultancy Contracts (hereinafter the “Expedited Rules”), would be prepared, using the UNCITRAL Arbitration Rules as a framework. The Expedited Rules would be based on the provisions of the UNCITRAL Arbitration Rules, modified as necessary to incorporate the expedited procedures discussed herein. The present concept paper indicates the substance (although not necessarily the wording or placement) of such modifications. It also indicates the provisions of the UNCITRAL Arbitration Rules that are relevant to or would be affected by the proposed procedures. It should be noted that, in addition to the points contained in this concept paper, various other consequential changes to the UNCITRAL Arbitration Rules would be needed (for example, to account for the fact that there would be only one arbitrator).\",\n \"Overview of the dispute resolution process\",\n \"7. The Expedited Rules contemplate a two-stage process, consisting of an informal dispute resolution phase and an expedited arbitration proceeding. In the event that the informal dispute resolution phase fails, the parties could proceed to the formal dispute resolution phase, i.e., an expedited arbitration proceeding whose key features are discussed in the following sections.\",\n \"III. Scope of Expedited Rules (affected article of the UNCITRAL Arbitration Rules: article 1)\",\n \"8. The Expedited Rules would apply to consultants and other individuals engaged by the United Nations under a contract for the services of a consultant or individual contractor (see ST/AI/1999/7/Amend.1, annex), or under analogous contract forms used by United Nations funds and programmes to contract with consultants and individual contractors (see, e.g., A/62/748 and Corr.1, para. 13 and A/65/373 and Corr.1, annex IV, para. 3). These categories of personnel are collectively referred to in the present concept paper as “individual contractors”.\",\n \"Comments\",\n \"(a) Under this approach, the Expedited Rules would apply to all individuals engaged pursuant to contracts for the services of a consultant or individual contractor, or analogous contracts. This includes, for example, those experts on mission and workers who are issued such contracts (see A/62/748 and Corr.1, paras. 33 and 40, and A/62/782, paras. 31-35 and 37-39), but not United Nations Volunteers (see A/62/748 and Corr.1, paras. 23 and 24, and A/62/782, paras. 22 and 23), officials other than Secretariat officials (see A/62/748 and Corr.1, paras. 29-31, and A/62/782, paras. 27-29) or other individuals who do not hold such contracts.\",\n \"(b) The dispute settlement clause in contracts with individual contractors would be changed to provide that disputes not resolved amicably at the informal dispute resolution phase shall be submitted to arbitration in accordance with the Expedited Rules.\",\n \"(c) The Expedited Rules would set out the specific types of contractual claims to which they would apply, e.g., claims alleging a breach of contract or the improper termination thereof. In addition, the Rules would expressly exclude certain categories of disputes from the scope of the subject-matter jurisdiction, such as claims that a contractor should be accorded the status of a staff member. With respect to the appendix D provision, the arbitrator’s role would be limited to verifying that the process accorded the claimant for determining his or her right to equivalent compensation was the one provided for under appendix D to the Staff Rules of the United Nations. In addition, the Expedited Rules would establish non-waivable time limits for filing claims.\",\n \"(d) Since, in contrast to the UNCITRAL Arbitration Rules, the Expedited Rules would not necessarily be familiar or readily available to individual contractors or consultants, the Expedited Rules should either be attached to each contract (including the name of the entity from which individual contractors or consultants can obtain the current list of arbitrators) or provided to each individual contractor or consultant prior to contract signature. The individual contractor or consultant must sign an acknowledgement that (i) he or she has been provided with the Expedited Rules, (ii) the Expedited Rules form an integral part of the contract and (iii) the list of arbitrators is acceptable to him or her.\",\n \"IV. Notices and other communications (affected article of the UNCITRAL Arbitration Rules: article 2)\",\n \"9. The parties and the arbitrator shall transmit any notice, communication or proposal under the Expedited Rules by electronic means, unless such a mode of transmission is not available or possible for technical reasons. [Comment: These might include, for example, the non-availability or malfunctioning of electronic means of transmission, the bulkiness of a pleading or submission, etc.]\",\n \"V. Pleadings and other submissions (affected articles of the UNCITRAL Arbitration Rules: articles 3, 4, 20, 21, 22, 23 (2), 24 and 25)\",\n \"Preliminary comment\",\n \"Under the following provisions, the respondent would not be required to submit its statement of defence until after the arbitrator had been appointed. The reason for this is that the respondent might wish to raise a plea as to the jurisdiction of the arbitrator (e.g., that the dispute is not arbitrable under the arbitration clause asserted by the claimant or that for some other reason the arbitrator lacks jurisdiction) or request an early dismissal of the claim because the claim is manifestly without legal merit. The respondent should not have to present its full statement of defence and accompanying documents until an arbitrator rules on the issue of jurisdiction or on the respondent’s challenge on the merits.\",\n \"10. The claimant initiates arbitration proceedings by issuing a request for arbitration and statement of claim. This pleading would contain information analogous to that provided under the UNCITRAL Arbitration Rules for the notice of arbitration and the statement of claim. In it, the claimant would describe the claim and summarize the grounds and arguments supporting it.\",\n \"11. Within 60 days after receiving the claimant’s request for arbitration and statement of claim, the respondent must issue a response to the request for arbitration. The response should include a plea as to jurisdiction and should address other matters, such as the identification of each respondent and a response to information set out in the claimant’s request for arbitration. Standard templates should be used for the parties’ submissions.\",\n \"12. If the respondent raises a plea as to jurisdiction, it shall include in its response to the request for arbitration all facts and arguments that it wishes to present in support of the plea and, as far as possible, attach to its response all documents relied upon or provide references to them.\",\n \"13. If the respondent raises a plea for early dismissal of the claim because the claim is manifestly without legal merit, it shall include in its response to the request for arbitration all facts and arguments that it wishes to present in support of the plea and, as far as possible, attach to its response all documents relied upon or provide references to them.\",\n \"14. After the appointment of the arbitrator:\",\n \"(a) If the respondent has raised a plea as to jurisdiction, the arbitrator shall, after consulting with the parties, establish a time limit within which the claimant must submit any response to the plea. The arbitrator then rules on the respondent’s plea as to jurisdiction [comment: there would be no hearing — see section XIII below] and, if the arbitrator rules that jurisdiction exists, establishes the time limit within which the respondent must issue a statement of defence;\",\n \"(b) If the respondent has raised a plea for early dismissal of the claim because the claim is manifestly without legal merit, the arbitrator shall, after consulting the parties, establish a time limit within which the claimant must submit any response to the plea. The arbitrator then rules on the respondent’s plea to dismiss the claim because it is manifestly without legal merit [comment: there would be no hearing — see section XIII below] and, if the arbitrator nevertheless upholds the claim, establishes the time limit within which the respondent must issue a statement of defence;\",\n \"(c) If the respondent has not raised a plea as to jurisdiction or for early dismissal of the claim because the claim is manifestly without legal merit, the arbitrator establishes the time limit within which the respondent must issue a statement of defence.\",\n \"15. The statement of defence would contain information analogous to that provided under the UNCITRAL Arbitration Rules for the statement of defence. In it, the respondent would reply to the particulars set out in the statement of claim, and may include a counterclaim or set-off and raise a plea as to jurisdiction, unless such a plea has previously been raised. The statement of defence should, as far as possible, be accompanied by all documents or other evidence relied upon by the respondent, or contain references to them.\",\n \"VI. Extensions or abridgements of time limits (affected article of the UNCITRAL Arbitration Rules: article 17 (2))\",\n \"16. Any time limits established by the Expedited Rules or agreed by the parties may, at any time, be extended or abridged if the parties so agree, or if the arbitrator so decides after inviting the parties to express their views.\",\n \"VII. Amendment of a pleading (affected article of the UNCITRAL Arbitration Rules: article 22)\",\n \"17. After an arbitrator has been selected and accepts appointment, a party may not amend its pleading unless the opposing party agrees or the arbitrator allows the party to amend its pleading. A request to the arbitrator to amend a pleading shall be accompanied by the text of the proposed amendment, and the reasons and justification for the amendment. In deciding whether to allow an amendment, the arbitrator shall consider whether the interests served by allowing it are outweighed by any delay in the proceedings, prejudice to the opposing party or any other circumstance. In allowing an amendment to a pleading, the arbitrator shall establish a deadline within which the opposing party may respond to the amendment. If a pleading is amended, the opposing party may respond solely to the amendment.\",\n \"VIII. Additional submissions (affected article of the UNCITRAL Arbitration Rules: article 24)\",\n \"18. After consulting with the parties, the arbitrator shall establish a deadline within which each party may make one additional submission of facts, legal arguments or documents. Such submissions shall be in writing. After this deadline, no further submissions shall be permitted. Notwithstanding the foregoing, a party shall not be allowed to present in its additional submission a fact or document that was or should have been known to, or that was available to, the party seeking to submit it at the time of submission of its pleading or additional submission.\",\n \"IX. Discovery (affected article of the UNCITRAL Arbitration Rules: article 27 (3))\",\n \"19. At the request of a party or upon the arbitrator’s own initiative, the arbitrator may order the production of evidence for either party at any time and may require any person to disclose any document or provide any information that appears to the arbitrator to be necessary for a fair and expeditious disposal of the proceedings. However, the arbitrator shall not order the production or disclosure of any evidence, document or information that is confidential or protected by privilege.\",\n \"20. A party wishing to submit non-privileged or non-confidential evidence that is in the possession of the opposing party or of any other entity may request the arbitrator to order the production of the evidence.\",\n \"21. The arbitrator may, at the request of either party, impose measures to preserve the confidentiality of evidence, where warranted by security interests or other exceptional circumstances.\",\n \"Comment\",\n \"These provisions are based on article 18 of the rules of procedure of the United Nations Dispute Tribunal.\",\n \"X. Witness testimony (affected article of the UNCITRAL Arbitration Rules: article 27 (2))\",\n \"22. The statement or testimony of any witnesses, including any individual claimant or respondent, shall be made by the witness in a written and sworn affidavit, which shall be notarized or otherwise legally authenticated, unless the arbitrator decides that the interests of justice necessitate that the testimony be given at a hearing.\",\n \"Comment\",\n \"See section XIII below, regarding hearings. Subject to certain exceptions, the hearing would be by teleconference or videoconference. The written witness statement would have to be submitted as part of the party’s pleading or additional submission (see section VIII above).\",\n \"XI. Appointing authority (affected article of the UNCITRAL Arbitration Rules: article 6)\",\n \"23. There would be no appointing authority.\",\n \"24. However, certain functions of the appointing authority would remain necessary, e.g., with regard to the selection or appointment of arbitrators, challenges of arbitrators, etc. These could be performed by a neutral entity.\",\n \"25. The neutral entity could be an international dispute settlement institution to be selected through a competitive procurement exercise.\",\n \"26. The benefits of having an international dispute settlement institution as the neutral entity are the following: (a) such an institution would provide access to existing expertise in administering all aspects of arbitration proceedings; (b) such an institution, selected through a competitive procurement exercise, would reflect the commercial nature of the underlying contract; and (c) having an outside institution administer the arbitration would de-link the neutral entity from the Organization and eliminate any perception of partiality. However, both the claimants and the respondent would have to bear their respective share of the institution’s administrative fees.\",\n \"XII. Arbitrator (affected articles of the UNCITRAL Arbitration Rules: articles 7-15)\",\n \"27. Number and appointment (affected articles of the UNCITRAL Arbitration Rules: articles 7-10):\",\n \"(a) There would be a sole arbitrator;\",\n \"(b) The neutral entity discussed in section XI above would establish and maintain a roster of potential arbitrators;\",\n \"(c) As a condition for being included in the roster, the arbitrator would be required to sign a document confirming that it agrees, if appointed as arbitrator in a case, to conduct the arbitration in accordance with the Expedited Rules, and agrees also to the limitation of the arbitrator’s fees (see section XVI below);\",\n \"(d) Appointment of the arbitrator: the neutral entity discussed in section XI above would select an arbitrator from the aforementioned roster of potential arbitrators. To make the process more predictable, a list procedure could be used, whereby the parties would pick their top choices from a list of several candidates, which would be communicated to each of them separately and in confidence by the neutral entity.\",\n \"28. Challenge to the arbitrator (affected articles of the UNCITRAL Arbitration Rules: articles 11-15): the Expedited Rules would retain provisions in the UNCITRAL Arbitration Rules regarding challenge of the arbitrator, but provide that, if the parties do not agree on the challenge or if the arbitrator does not withdraw voluntarily, a decision on the challenge shall be made by the neutral entity referred to in section XI above. The parties’ agreement on a challenge or the arbitrator’s decision to step down would be dispositive and would automatically trigger a new selection process.\",\n \"XIII. Arbitral proceedings (affected articles of the UNCITRAL Arbitration Rules: articles 17, 27 (2), 28, 29 and 31)\",\n \"29. The proceedings shall be conducted on the basis of the written pleadings and submissions of the parties, except as provided below.\",\n \"30. All conferences and consultations among the arbitrator and parties on administrative and other matters preliminary to the proceedings on the merits of the case shall be generally conducted by e-mail or teleconference.\",\n \"31. There shall be no hearings on a plea as to jurisdiction or on a plea for early dismissal of a claim because the claim is manifestly without legal merit. The arbitrator shall decide such pleas on the basis of the written submissions of the parties.\",\n \"32. There shall be no hearings on the merits of the case for the presentation of evidence, testimony or oral argument, unless (a) a party requests a hearing in order to cross-examine a witness, or (b) the arbitrator decides that there is a substantial issue of fact or law that can be fairly and justly resolved only with a hearing. Any hearing shall be limited to the cross-examination of the witness or such issue of fact or law. Such hearings shall be by teleconference or videoconference, except where the arbitrator decides, in exceptional circumstances, that an issue of fact can be resolved only with an in-person hearing. Any such hearing(s) should not exceed two days.\",\n \"33. Article 29 of the UNCITRAL Arbitration Rules (which provides for the arbitral tribunal to appoint its own independent experts) would be deleted.\",\n \"XIV. Applicable law (affected article of the UNCITRAL Arbitration Rules: article 35 (1))\",\n \"34. The Expedited Rules would provide that, unless otherwise agreed by the parties, the decisions of the arbitral tribunal shall be based on the express contractual terms, including any general terms and conditions referred to therein. Neither the Staff Regulations and Rules of the United Nations nor national laws will apply to the dispute.\",\n \"XV. The award (affected articles of the UNCITRAL Arbitration Rules: articles 33 and 34)\",\n \"35. The arbitrator shall have no authority to award punitive damages, or to decide as amiable compositeur or ex aequo et bono. In addition, unless otherwise expressly provided in the contract, the arbitrator shall have no authority to award interest in excess of the London Inter-Bank Offered Rate (“LIBOR”) then prevailing, and any such interest shall be simple interest only. The parties shall be bound by any arbitration award rendered as a result of such arbitration as the final adjudication of any such dispute, controversy or claim.\",\n \"Comment\",\n \"These provisions have been taken from the arbitration clause in the United Nations General Conditions of Contract.\",\n \"36. The arbitrator shall issue the award within 30 days after the closure of the proceedings. Any compensation to be awarded shall be limited to economic loss and shall be subject to a cap [to be determined].\",\n \"XVI. Costs and fees (affected articles of the UNCITRAL Arbitration Rules: articles 40, 41 and 43)\",\n \"37. Arbitrator’s fee: the Expedited Rules would limit the fee of the arbitrator. The limitation on arbitrator’s fees should be set forth in both the Expedited Rules and the document to be signed by an arbitrator as a condition to being placed on the roster (see section XII above, para. 27 (c)).\",\n \"38. Determination and allocation of fees and costs: regardless of the outcome of the case, each party shall bear its own costs and fees, and the parties shall share the costs and fees of the arbitrator equally. However, in exceptional circumstances, the arbitrator may decide that a different allocation of the parties’ costs and fees or the costs and fees of the arbitrator would be just and equitable.\",\n \"XVII. Confidentiality (affected articles of the UNCITRAL Arbitration Rules: articles 28 (3) and 34 (5))\",\n \"39. The entire arbitration proceedings, including all notices, communications, pleadings, documents, submissions, hearings and awards, shall be kept confidential, unless the parties otherwise agree in writing. However, the United Nations, or its fund or programme, may communicate to its governing bodies such information concerning the proceedings as the governing body may require.\",\n \"Other matters\",\n \"Privileges and immunities\",\n \"40. Since, unlike the UNCITRAL Arbitration Rules, these Expedited Rules would be established specifically for United Nations arbitration cases, it would be desirable for the Rules to contain a privileges and immunities clause:\",\n \"“Nothing in or related to these [use full name of Rules] shall be interpreted or applied in a manner inconsistent with the privileges and immunities of the United Nations, including its subsidiary organs, or be deemed a waiver of such privileges and immunities. For the avoidance of doubt, any arbitration conducted under these [use full name of Rules] shall not be subject to any local laws, and any reference to a ‘place of arbitration’ shall not be deemed or construed as a waiver of such privileges and immunities or an agreement of the United Nations to subject itself to any national jurisdiction.”\",\n \"Annex III\",\n \"Compensation awarded by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal\",\n \"A. Monetary compensation awarded by the Management Evaluation Unit (1 July 2009-31 May 2011)\",\n \"Breakdown ofcompensation paid(from 1 July 2009to 31 May 2011) \\nDepartment ofdecision maker\\tAmount ofcompensation\\tLevelofstaffmember\\tReason forcompensation \\nUnited Nations Officeat Geneva\\t$500.00\\tP-4\\tFailure to notifystaff member ofoutcome ofselection process\\nUnited Nations Officeat Geneva\\t3 months’ netbase salary\\tP-3\\tBreach of 15-dayrule\\nUnited Nations Officeat Geneva\\t1 month’s netbase salary(SwF 7,040.50)\\tG-5\\tBreach of 15-dayrule\\nOffice for theCoordination ofHumanitarian Affairs(Geneva)\\t$2,127.00\\tP-4\\tReimbursement ofrecovered homeleave (lump-sumpayment)\\nOffice of the UnitedNations HighCommissioner forHuman Rights (Geneva)\\t3 months’ netbase salary($17,680)\\tP-4\\tBreach of 15-dayrule\\nDepartment of FieldSupport\\t3 months’ netbase salary\\tFS-4\\tMishandling ofrecruitment\\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\\t7 months’ netbase salary\\tG-5\\tAbolition of post\\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\\t$5,154.76\\tFS-6\\tReimbursement forrecovery oflump-sum payment\\nDepartment of FieldSupport-UnitedNations ObserverMission in Georgia\\t3 months’ netbase salary\\tFS-4\\tUnfair treatment\\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\\t2 months’ netbase salary\\tP-3\\tLack of due process\\nUnited Nations Officeat Nairobi\\t3 months’ netbase salary\\tG-4\\tLegitimateexpectation ofrenewal\\nUnited NationsEnvironment Programme\\t3 months’ netbase salary\\tD-1\\tInordinate delay\\nUnited NationsEnvironment Programme\\t3 months’ netbase salary\\tG-7\\tInordinate delay\\nUnited NationsEnvironment Programme\\t3 months’ netbase salary\\tP-5\\tInordinate delay\\nDepartment ofManagement\\t3 months’ netbase salary\\tP-3\\tWithdrawal ofaccepted offer ofappointment\\nDepartment forGeneral Assembly andConference Management\\t$5,473.09\\tG-7\\tMishandling ofselection process\\nDepartment forGeneral Assembly andConference Management\\t$12,891.00\\tG-5\\tMishandling ofselection process\\nOffice of InternalOversight Services(Vienna)\\t$1,044.89\\tP-3\\tNon-payment ofspecial postallowance\",\n \"B. Monetary compensation awarded by the United Nations Dispute Tribunal and United Nations Appeals Tribunal (1 July 2009-31 May 2011)\",\n \"[TABLE]\",\n \"Note: “N/A” indicates either that no action was taken following the United Nations Dispute Tribunal judgement or that the judgement is still under appeal.\",\n \"UnitedNationsAppealsTribunaljudgementNo.^(a)\\tApplicant’slastname\\tEntity\\tAppealfrom\\tCompensation\\tNetamountpaid(UnitedStates\\tDate \\n dollars) \\n2010-UNAT-021\\tAsaad\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tCompensationequivalentto thedifferencebetweensalariesat grades8 and 14(periodfrom 1July 2003to20 January2004) andcompensationequivalentto onemonth’ssalary atgrade 14;inaddition,reinstatementor paymentof sixmonths’net basepay\\t9000.00\\tN/A\\n2010-UNAT-022\\tAbuHamda\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tRefund ofloss ofsalarysufferedas aresult ofdemotion\\t7600.00\\tN/A\\n2010-UNAT-025\\tDoleh\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tReinstatementor paymentof twoyears’ netbase pay\\t19000.00\\tN/A\\n2010-UNAT-030\\tTabari\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\\tRetroactivepayment ofspecialoccupationallowance\\t22000.00\\tN/A\\n2010-UNAT-087\\tLiyanarachchige\\tUnitedNationsOperationin Côted’Ivoire/DepartmentofPeacekeepingOperations\\tReversingjudgementNo. UNDT/2010/041\\t12 months’net basesalary asat thedate ofseparation\\t47440.00\\t07/03/2011\",\n \"^(a) United Nations Appeals Tribunal judgements awarding compensation in cases not considered by the United Nations Dispute Tribunal or where the Dispute Tribunal made no award for compensation.\",\n \"C. United Nations Dispute Tribunal judgements with compensation equal to or more than six months’ net base salary (1 July 2009-31 May 2011)\",\n \"JudgementNo.\\tApplicant\\tRegistry\\tBriefsynopsis\\tEntity\\tRescissionorspecificperformanceordered\\tCompensationordered\\tTotalamountpaidinUnitedStatesdollars\\tAffirmedoroverturnedonappealasat31May2011 \\nUNDT/2010/070\\tFarraj\\tGeneva\\tTheDisputeTribunalfoundthatthecontesteddecisiontoterminateappointmentoflimited\\tUnitedNationsDevelopmentProgramme\\tRescissionofthecontesteddecision(alternatively,$45,000)\\tN/A\\t45,000\\tN/A \\n durationhad notbeen incompliancewithtermsofappointment UNDT/2010/106\\tEid\\tGeneva\\tTheDisputeTribunalfoundthattheAdministrationshouldhavepaidtheapplicantterminationindemnitiesas fromthedatethathisterminationbecame\\tUnitedNationsSecretariat(UnitedNationsInterimForceinLebanon)\\tN/A\\t$29,991.23andLL9,552.660(terminationindemnityandrelatedentitlements)\\tN/A\\tN/A \\n effective \\nUNDT/2010/120\\tOstensson\\tGeneva\\tTheDisputeTribunalfoundthattheselectionprocesshadbeentaintedbyseriousproceduralirregularity,violatingtheapplicant’srightto fullandfairconsiderationfor aD-1post\\tUnitedNationsConferenceonTradeandDevelopment\\tRescissionofthecontesteddecision(alternatively,$4,900)\\t$48,000(emotionaldistress,harmtoprofessionalreputation)\\t52,900\\tN/A\\nUNDT/2010/122\\tZerezghi\\tGeneva\\tTheDisputeTribunalfoundthattheimposeddisciplinarymeasureofdismissalhadbeendisproportionateto theestablishedmisconduct\\tUnitedNationsSecretariat(UnitedNationsInterimAdministrationMissioninKosovo)\\t(1)Retroactivereinstatement(alternatively,eightmonths’netbasesalary);(2)writtencensure;(3)removalofmaterialrelatingtodismissalfromhisfile\\t$60,000(moraldamage)\\t99,936.18\\tN/A\\nUNDT/2010/128\\tIkpa\\tGeneva\\tTheDisputeTribunalfoundthatthedecisionofseparationfromservicehadbeen anunlawfuldisciplinarymeasure\\tUnitedNationsOfficeatGeneva\\tSixweeks’netbasesalaryinlieuofnotice(lessoneweekalreadypaid)\\tOneyear’snetbasesalary(lessanymoneyalreadypaid)\\t59,592\\tN/A\\nUNDT/2010/129\\tValleFischer\\tGeneva\\tTheDisputeTribunalfoundthatthedecisionofseparationfromservicehadbeen anunlawfuldisciplinarymeasure\\tUnitedNationsOfficeatGeneva\\tSixweeks’netbasesalaryinlieuofnotice(lessoneweekalreadypaid)\\tOneyear’snetbasesalary(lesstwomonthsalreadypaid)\\t54,697\\tN/AUNDT/2010/130\\tApplicant\\tGeneva\\tTheDisputeTribunalfoundthatthedecisionstoterminatetheapplicant’sappointmentand toissue a\\tInternationalCriminalTribunalfortheFormerYugoslavia\\tRescissionofreprimand\\t(1)Threemonths’netbasesalary(prejudiceresulting\\t50,263.50\\tN/A reprimandhadbeen inbreachof hisrights fromtheunlawful termination) (in additiontoeightmonthspreviouslypaid); (2)three months’ net \\n basesalary(unlawfulreprimand) UNDT/2010/133\\tEldam\\tGeneva\\tTheDisputeTribunalfoundthatthedecisionsofnon-renewalofcontractforunsatisfactoryperformanceand toissue areprimandhadbeenflawedand\\tUnitedNationsSecretariat(UnitedNationsObserverMissioninGeorgia)\\t(1)Rescissionofnon-renewalofappointment(alternatively,three months’netbasesalary);(2) withdrawalofreprimand\\tThreemonths’netbasesalary(moraldamage)\\t26,204.40\\tN/A \\n improper UNDT/2009/088\\tNogueira\\tNairobi\\tTheDisputeTribunalfound thatthedecisionnot torenewappointmentongroundsofperformancehadbeenprocedurally\\tUnitedNationsOfficeatNairobi/UnitedNationsEnvironmentProgramme\\tN/A\\t24months’netbasesalary\\t210,794\\tN/A defectiveandcouldnot be \\n sustained UNDT/2010/002\\tXu\\tNairobi\\tTheDisputeTribunalfoundthatthedecisionnot toselecttheapplicantfor aP-4levelposthadbeenunlawful\\tUnitedNationsSecretariat\\tN/A\\tSixmonths’netbasesalary(injurysuffered)\\tN/A\\tSetasidebyAppealsTribunalinXu2010-UNAT-053andremandedto Dispute \\n Tribunal\\nUNDT/2010/053\\tMmata\\tNairobi\\tTheDisputeTribunalfoundthatthechargeofseriousmisconductwas notwellfoundedandthatseparationfromservicehadbeendisproportionate\\tUnitedNationsChildren’sFund\\tRescissionofthecontesteddecisionandreinstatement\\t(1)Lostearningsfromthedateofseparation;(2)2 years’netbasesalary\\t222,453.57\\tPrimerateinterestontheawardedcompensation(seeMmata2010-UNAT-092)\\nUNDT/2010/056\\tMasri\\tNairobi\\tTheDisputeTribunalfoundthatthedisciplinarymeasureofsummarydismissalhadbeendisproportionate\\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\\t(1)Reinstatementwithpaymentoflost earnings(alternatively,twoyears’netbasesalary);(2)demotionbyfoursteps\\tN/A\\tN/A\\tOverturnedbyAppealsTribunalinMasri2010-UNAT-098\\nUNDT/2010/057\\tIanelli\\tNairobi\\tTheDisputeTribunalfoundthattheapplicantwasentitledtoassignmentgrantandotherentitlementsaffordedtointernationallyrecruitedstaff\\tUnitedNationsOfficeforProject Services\\tN/A\\tPaymentofapplicableassignmentandrelocationgrantswithappropriateinterest\\t51,395.35\\tAppealsTribunalamendedtheordersonthepaymentofinterest(see2010-UNAT-093)UNDT/2010/061\\tSanwidi\\tNairobi\\tJudgementoncompensationfollowingSanwidiUNDT/2010/036,inwhichtheDisputeTribunalfoundthatthedecisionofsummarydismissalhadbeendisproportionate\\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\\t(1)Reinstatement(alternatively,twoyears’netbasesalary);(2)writtenreprimand\\tLostearningsfromthedateofsummarydismissaltothedateofreinstatement,less$2,600\\tN/A\\tDisputeTribunaljudgementisvacatedinSanwidi2011-UNAT-104 \\n permonth UNDT/2010/097\\tLutta\\tNairobi\\tJudgementoncompensationfollowingLuttaUNDT/2010/052,in whichtheDisputeTribunalfound,interalia,thattheinvestigationof theapplicantand theactionstakenagainsthim hadbeenprocedurallyflawedandimproper\\tUnitedNationsSecretariat(UnitedNationsOperationinCôted’Ivoire)\\tN/A\\t(1)Threemonths’netbasesalary(lossofcareeradvancementopportunities);(2)$4,760(travelcosts);(3)\\t46,339.86\\tAffirmedbyAppealsTribunalinLutta2011-UNAT-117 six months’ net basesalary(moral \\n damages) UNDT/2010/118\\tCohen\\tNairobi\\tTheapplicantcontestedthesummarydismissal.TheDisputeTribunalfoundthatheractionshad notamountedtomisconductandthatherdue-processrightshadbeenviolated\\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\\tRescissionofthecontesteddecisionandreinstatementoftheapplicant(alternatively,twoyears’netbasesalary)\\t(1)Paymentofsalariesandentitlementsfromthedateofdismissaltothedateofjudgement;\\t101,624\\tN/A (2)two months’ net basesalary (breachof due-process \\n rights) UNDT/2010/119\\tGaskins\\tNairobi\\tTheapplicantcontestedthedecisiontoterminatehisappointment.TheDisputeTribunalfoundthattheapplicant’scontractofemploymenthadbeenbreached,whichhad\\tUnitedNationsDevelopmentProgramme\\tN/A\\tSixmonths’netbasesalary(violationofdue-processrights,humiliation,distressanddamageto\\t40,420.98\\tN/A \\n resultedindamageto hisself-imageandreputation reputation) UNDT/2010/124\\tFrechon\\tNairobi\\tTheDisputeTribunalfoundthattheapplicant’semploymenthadbeenimproperlyterminatedformedicalreasons\\tInternationalCriminalTribunalforRwanda\\tRescissionofthedecisiontoterminatetheapplicant’semployment,reinstatement(alternatively,two\\t(1)Paymentoflostearningsfromthedateofterminationto\\tN/A\\tN/A years’netbasesalary)\\tthedateofreinstatement; (2) paymentof entitlements for theperiod fromMarch 2007to July \\n 2007 \\nUNDT/2010/153\\tVerschuur\\tNairobi\\tTheDisputeTribunalfoundthattheselectionprocesshadbeenimproperlyinterferedwithandthattheapplicanthadbeendeniedfullandfairconsiderationfor aP-5post\\tUnitedNationsHumanSettlementsProgramme\\tN/A\\tSixmonths’netbasesalary(detrimenttocareerprogression)\\tN/A\\tN/AUNDT/2010/154\\tContreras\\tNairobi\\tTheDisputeTribunalfoundthattheselectionprocesshadbeenimproperlyinterferedwithandthattheapplicanthadbeendeniedfullandfairconsiderationfor thepost\\tUnitedNationsHumanSettlementsProgramme\\tN/A\\t(1)Sixmonths’netbasesalary(detrimenttocareerprogression);(2) tokensumof$1(moral\\tN/A\\tN/A \\n injury). \\nUNDT/2010/173\\tParkes\\tNairobi\\tTheDisputeTribunalfoundthatthecontestedsummarydismissalhadbeendisproportionate\\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\\tRescissionofthedecision(alternatively,compensationequivalentterminationbenefits)\\tN/A\\t57,503.39\\tN/AUNDT/2010/175\\tBekele\\tNairobi\\tTheapplicantcontestedthedecisionto\\tEconomicCommissionforAfrica\\tN/A\\t(1)SalaryfromNovember\\tN/A\\tN/A separatehimfromservice,as wellasseveralrelateddecisions.TheDispute 2007toMarch2009;(2)sixmonths’ Tribunalfoundthattheapplicant’srightshadbeen netbasesalary(breachof violated. due-process \\n rights) UNDT/2010/185\\tM’Bra\\tNairobi\\tTheDisputeTribunalfoundthatthedecisionofsummarydismissalhadbeenunlawful\\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\\tReinstatement(alternatively,paymentoftwoyears’netbasesalary)\\t(1)Salaryandentitlementsfromthedateofhissummarydismissaltothe\\t377,257.92\\tN/A dateofjudgement; (2)two months’ net basesalary (breachof due-process \\n rights) UNDT/2010/197\\tBowen\\tNairobi\\tTheDisputeTribunalfoundthattheterminationbasedonunsatisfactoryperformancehadbeenunlawful\\tUnitedNationsDevelopmentProgramme\\tRescissionofthecontesteddecision\\t(1)Threemonths’netbasesalaryandbenefits(less\\tN/A\\tN/A any payments madein lieuof notice); (2) twoyears’ net \\n basesalary \\nUNDT/2010/214\\tKamunyi\\tNairobi\\tTheDisputeTribunalfoundthatthecontesteddecisionstosuspendtheapplicantfromservice,toplacehim onspecialleavewithfullpay andtoissue areprimandhadbeenunlawful\\tUnitedNationsOfficeatNairobi\\tRescissionofthreeunlawfuldecisions(unlawfulsuspension,placementonspecialleavewithfullpayforoneyear andeightmonths,andreprimand)\\tTwoyearsandsixmonths’netbasesalary(emotionalandphysicalharmanddamagetoreputation)\\tN/A\\tN/AUNDT/2011/017\\tHarding\\tNairobi\\tTheapplicantcontestedsummarydismissal.Liabilitybeingadmittedby therespondent,thiscaseconcernedonlywhethertheamountof twoyears’netbasesalarypaidwasadequate\\tOfficeoftheUnitedNationsHighCommissionerfor Refugees\\tRescissionofsummarydismissal(alternatively,twoyears’netbasesalary)\\t(1)Sixmonths’netbasesalary(breachofdue-processrights);(2)specialpostallowance\\tN/A\\tSpecialpostallowancewithinteresthasbeenpaid;otheritemsarependingonappeal for four months; (3)six months’ net basesalary(emotional distress andhumiliation); (4)salaries and entitlementsat the G-6level from June 2005to December \\n 2010 UNDT/2011/060\\tFinniss\\tNairobi\\tTheDisputeTribunalfoundthattheapplicant’srightshadbeen\\tUnitedNationsSecretariat(OfficeofInternal\\tN/A\\t(1)18months’netbasesalary\\tN/A\\tN/A violatedwithrespectto twoP-5selectionexercises\\tOversightServices) (failuretoaffordproperconsiderationinselection for thefirstpost); (2)six months’ net basesalary (failuretoaffordproperconsiderationinselection for \\n thesecondpost) UNDT/2011/067\\tBorhom\\tNairobi\\tTheDisputeTribunalfoundthatthedecisiontosummarilydismisshadbeenunlawful\\tOfficeoftheUnitedNationsHighCommissionerforRefugees\\tRescissionofsummarydismissalandreinstatement(alternatively,twoyears’netbasesalary)\\t(1)Sixmonths’netbasesalary(moraldamage);(2)six\\t27,660\\tN/A months’ net basesalary(violationof due-process \\n rights) UNDT/2011/092\\tXu\\tNairobi\\tTheDisputeTribunalfoundthattheselectionexercisehadbeentaintedwithproceduralirregularitiesandthattheapplicanthadbeendeniedfullandfairconsiderationfor aP-4post\\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\\tN/A\\t(1)Twomonths’netbasesalary(proceduralviolations);(2)fourmonths’netbasesalary(failureto\\tN/A\\tN/A give full and fair consideration); (3) $500 \\n (failuretoinformofnon-selection) \\nUNDT/2010/026\\tKasyanov\\tNewYork\\tTheDisputeTribunalfoundthattheapplicanthad notbeenconsideredfor aP-4vacancyinaccordancewiththeapplicablerules\\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\\tLateralmoverecordedashavingtakenplace(alternatively,$20,000)\\t$59,932(actualeconomicloss,breachofrights,delayedprospectofpromotion,emotionaldistress)\\t13,969.83(twomonths’salaryactuallypaid)\\tAwardedcompensationwasamendedtotwomonths’netbasesalary(Kasyanov2010-UNAT-076)UNDT/2010/040andOrderNo.57(NY/2010)\\tKoh\\tNewYork\\tJudgementandorderoncompensationfollowingKohUNDT/2009/078,inwhichtheDispute\\tUnitedNationsDevelopmentProgramme\\tN/A\\t(1)$2,000(lossoftherighttocandidacy);\\t2,000and107,107.60\\tN/A TribunalfoundthattheOrganizationhadbreachedtheapplicant’s (2)$107,107.60(economiccompensation) contractofemploymentby not assistinghim infinding \\n suitableemployment UNDT/2010/055\\tAbbasi\\tNewYork\\tTheDisputeTribunalfoundthattheselectionprocesshadbeendiscriminatoryand inbreachof theapplicant’srights\\tUnitedNationsChildren’sFund\\tN/A\\t(1)12months’netbasesalary(lossofopportunityofbeingappointed,\\tN/A\\tOverturnedbyAppealsTribunalinAbbasi2011-UNAT-112 lossofcareerdevelopment); (2) \\n $30,000(emotionaldistress) UNDT/2010/068\\tChen\\tNewYork\\tTheDisputeTribunalfoundthatthedecisionnot toreclassifytheapplicant’spostfromthe P-3to theP-4levelhadbeen inbreachofStaffRegulationsand theprincipleofequalpay forwork ofequalvalue\\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\\tN/A\\t(1)Sixmonths’netbasesalary(non-materialdamages:frustration,humiliationanddelay);(2) differenceinsalary\\t36,256.94\\tUpheldbyAppealsTribunalinChen2011-UNAT-107 between the P-3 and the P-4levels fromAugust 2006untilretirement (actual \\n economicloss) UNDT/2010/117\\tBertucci\\tNewYork\\tJudgementoncompensationfollowingBertucciUNDT/2010/080,inwhichtheDisputeTribunalfoundthatthedecisionnot toappointthe\\tUnitedNationsSecretariat(DepartmentofEconomicandSocialAffairs)\\tN/A\\t$655,000(economicandnon-economicdamages)\\tN/A\\tSetasidebyAppealsTribunalinBertucci2011-UNAT-121andremandedto applicantto thepost ofAssistant DisputeTribunal \\n Secretary-Generalhadbeen inbreachof hisrights UNDT/2010/146\\tBeaudry\\tNewYork\\tJudgementoncompensationfollowingBeaudryUNDT/2010/039,inwhichtheDisputeTribunalfoundthatthedecisionnot torenewtheapplicant’s\\tUnitedNationsSecretariat(UnitedNationsStabilizationMissioninHaiti)\\tN/A\\t$112,082(actualeconomicloss,distressandproceduralviolations)\\tN/A\\tVacatedbyAppealsTribunalasaresultofBeaudry2010-UNAT-085 contracthadbeen \\n unlawful UNDT/2010/156\\tShkurtaj\\tNewYork\\tTheapplicantcontested,interalia,thedecisionnot toimplementtherecommendationof theEthicsOfficeto payhimcompensationfor theviolationof hisrights.TheDisputeTribunalheldfor theapplicantinpart,findingthat,inrelationto someof hisclaims,hisrightshadbeenviolated\\tUnitedNationsDevelopmentProgramme\\tN/A\\t(1)14months’netbasesalary(due-processviolations,damagetocareerandreputation,andemotionaldistress);(2) $5,000(proceduraldelayinaddressing\\tN/A\\tN/A theEthics Office’s \\n recommendation) UNDT/2010/200\\tAlauddin\\tNewYork\\tJudgementoncompensationfollowingAlauddinUNDT/2010/114,inwhichtheDispute\\tUnitedNationsDevelopmentProgramme\\tN/A\\t(1)netbasepay,includingentitlements,\\tN/A\\tN/A Tribunalfoundthattheapplicant’srightshadbeen for11months,lessthe breachedwhentheOrganizationhadfailedtorenewhiscontract applicant’sincomeforthesameperiod (actual economicloss); (2) \\n $30,000(emotionalharm) UNDT/2011/012\\tTolstopiatov\\tNewYork\\tJudgementoncompensationfollowingTolstopiatovUNDT/2010/147,inwhichtheDispute\\tUnitedNationsChildren’sFund\\tN/A\\t$97,324.04(lostincomeandentitlements)\\t97,324\\tN/A TribunaldeterminedthattheUnitedNationsChildren’sFundhad breacheditsobligationsto the applicant \\n followingtheabolishmentof post UNDT/2011/032\\tObdeijn\\tNewYork\\tRespondentrefusedtodisclosethereasonsfor thecontestednon-renewal.TheDispute\\tUnitedNationsPopulationFund\\tN/A\\t(1)Sixmonths’netbasesalaryand\\tN/A\\tN/A Tribunalthereforefoundthatthe entitlements(actual \\n contesteddecisionhadbeenunlawful economicloss);(2)$8,000(emotionaldistress) UNDT/2011/068\\tGarcia\\tNewYork\\tTheDisputeTribunalfoundthattheUnitedNationsDevelopmentProgrammehadbreachedits\\tUnitedNationsDevelopmentProgramme\\tRemovalofadversematerialfromtheapplicant’spersonnelfile\\t(1)$89,128.48(lostsalaryandentitlements);(2)\\t109,619.26\\tN/A contractwiththeapplicantbyfailingtoexecutetheemploymentrelationship $241(compensationformedicalexamination); (3) \\n $50,000(non-pecuniaryloss) UNDT/2011/081\\tCabrera\\tNewYork\\tTheDisputeTribunalfoundthatthedecisiontoplacetheapplicantonspecialleavewithfullpay hadbeenunlawful\\tUnitedNationsSecretariat(DepartmentofManagement)\\tN/A\\tTwoyears’netbasesalaryfordue-processviolations,humiliation\\tN/A\\tN/A andemotional \\n distress\",\n \"Note: “N/A” indicates either that no action was taken following the United Nations Dispute Tribunal judgement or that the judgement is still under appeal.\",\n \"[1] * A/66/150.\",\n \"[2] The separately administered funds and programmes handle management evaluations independently.\",\n \"[3] Judge Marilyn Kaman tendered her resignation from the Dispute Tribunal effective 30 June 2011.\",\n \"[4] The number of applications/appeals filed does not necessarily correspond to the number of judgements rendered. There may be occasions where several appeals are disposed of in one judgement or where a case is closed without the issuance of a judgement.\",\n \"[5] The honorarium for the principal drafter of a judgement is $2,400. Additional signatories receive $600 per judgement.\",\n \"[6] “Case” refers to any of the following: providing assistance or acting as counsel of record before bodies of the formal system (Management Evaluation Unit, Dispute Tribunal, Appeals Tribunal), providing legal guidance and summary legal advice, assisting a staff member in achieving the informal resolution of a dispute, which may involve consultations with the staff member and discussions and negotiations with third parties, or referral to other actors in the system, including the Office of the Ombudsman or staff unions.\",\n \"[7] These entities are: the International Tribunal for the Law of the Sea; the United Nations Joint Staff Pension Fund; the International Civil Aviation Organization; the International Maritime Organization; the United Nations Relief and Works Agency for Palestine Refugees in the Near East; the International Seabed Authority; and the International Court of Justice.\",\n \"[8] See rule 7 (11) of the rules of procedure of the Administrative Tribunal of the World Bank (providing for the summary dismissal of cases that are considered to be “clearly irreceivable or devoid of merit”) and article VIII of the statute of the Administrative Tribunal of the Organization of American States (allowing the dismissal of a claim “based on lack of jurisdiction …, failure to satisfy the requirements of admissibility, or failure to make a claim upon which relief can be granted”).\",\n \"[9] United Nations Appeals Tribunal judgement No. 2010-UNAT-57 (Fagundes).\",\n \"[10] United Nations Appeals Tribunal order No. 49 (2011) (Finniss).\",\n \"[11] United Nations Appeals Tribunal judgement No. 2011-UNAT-121 (Bertucci).\",\n \"[12] The Secretary-General notes that the deadline for appealing judgements of the European Union Civil Service Tribunal is two months (see statute of the Court of Justice of the European Union, annex I).\",\n \"[13] United Nations Appeals Tribunal judgement No. 2010-UNAT-62 (Bertucci).\",\n \"[14] United Nations Administrative Tribunal judgement No. 1157, Andronov (2003), para. V.\",\n \"[15] International Monetary Fund Administrative Tribunal judgement No. 1999-2 (Mr. “V” v. International Monetary Fund), paras. 104-114.\",\n \"[16] World Bank Administrative Tribunal decision No. 384, (AA v. IBRD) (2008), paras. 49-50.\",\n \"[17] General Assembly resolutions 48/218 B (on OIOS), 60/1 (on the Ethics Office) and 62/228 (on the Office of Staff Legal Assistance).\",\n \"[18] United Nations Dispute Tribunal order No. 19 (NY/2010), para. 23.\",\n \"[19] World Bank Administrative Tribunal decision No. 384 (AA v. IBRD) (2008), paras. 49-50.\",\n \"[20] United Nations Dispute Tribunal order No. 010 (NBI/2011) (Abosedra), para. 60.\",\n \"[21] United Nations Administrative Tribunal judgement No. 1396 (2008) (Wielechowski), para. VIII.\",\n \"[22] United Nations Dispute Tribunal judgement No. 2010/68 (Chen) and United Nations Appeals Tribunal judgment No. 2011-UNAT-107 (Chen).\",\n \"[23] United Nations Administrative Tribunal judgement No. 421 (Chatwani), para. VIII.\",\n \"[24] United Nations Appeals Tribunal judgement No. 2011-UNAT-107 (Chen), para. 1.\",\n \"[25] United Nations Dispute Tribunal Order No. 010 (NBI/2011) (Abosedra), para. 60.\",\n \"[26] The records of the San Francisco Conference indicate that “a clear statement of the obligation of Members to meet the expenses of the Organization should be found in the Charter”. United Nations Conference on International Organization, Documents, Vol. VIII, p. 487.\",\n \"[27] See, for example, UNDT/2010/025 (Kita).\",\n \"[28] The present concept paper was prepared by the General Legal Division of the Office of Legal Affairs, in consultation with the United Nations funds and programmes. It should be noted that the United Nations Children’s Fund has reserved its right to opt out of the proposed simplified arbitration procedures.\"\n]"},"record":{"kind":"string","value":"A_66_275"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Items 134 and 143 of the provisional agenda","Proposed programme budget for the biennium 2010-2011","Administration of justice at the United Nations","Administration of justice at the United Nations","Report of the Secretary-General","Summary","In its resolutions 61/261, 62/228 and 63/253, the General Assembly decided to establish an independent, transparent, professionalized, resourced and decentralized United Nations justice system, which was operational on 1 July 2009.","The Secretary-General is satisfied with the active recognition by the General Assembly in its resolution 851 of the implementation of the new system, in which the Assembly took note of the achievements of the new system since its establishment, including improvements in the handling of new cases, and commended all those involved in the management of previous systems to transition or implement the new system.","The General Assembly also recognized that the new system of administration of justice would evolve and noted the need for careful monitoring of its progress to ensure that the system was consistent with the guiding principles set out in the resolution establishing a new system of administration of justice, namely, that the system must be independent, transparent, professional, resourced and decentralized; that the system conforms to the relevant rules of international law and the rule of law principles and due process in order to ensure respect for the rights and obligations of staff and accountability for managers and staff.","In the present report, the Secretary-General presented the achievements of the new system of administration of justice during the period from 1 July 2010 to 31 May 2011. The treatment of cases at all stages of the formal system continues to show significant improvements in efficiency. During the period from 1 July 2010 to 31 May 2011, the Management Evaluation Unit received 390 requests for review, which were closed or resolved 281. In the same period, almost one third of the 850 cases responsible for the Office of Staff Legal Assistance were resolved. Between 1 July 2010 and 31 May 2011, 195 cases had been handed down in the various offices of the United Nations Dispute Tribunal on behalf of the Secretary-General; 90 cases had been handed down by the United Nations Appeals Tribunal in the cases handled by the Office of Legal Affairs.","However, the success of the system and the efficiency of the offices of the system have led to significant financial and human resources in these offices and sectors. As noted by the Secretary-General in his report on the administration of justice to the General Assembly at its sixty-fifth session (A/65/373 and Corr.1), a number of key areas must be strengthened with a view to maintaining the current pace of work and continuing to implement all mandates entrusted to the new justice system by the Assembly.","In its resolution 9851, the General Assembly requested the Secretary-General to provide data and information on the operation and related matters of the new system. The present report responds to these requests.","In addition, taking into account the experience gained so far, the present report requests additional resources of $8,677,900 (before recosting) under sections 1, 8, 19, 29A, 29C, 29D, 29E, 29G and 37 of the proposed programme budget for the biennium 2012-2013.","Contents","The Executive Board","Overview","The General Assembly established a new system of administration of justice through resolutions 61/261, 62/228 and 63/253. The system has two tribunals, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, with professional judges, supported by the Registry in Geneva, Nairobi and New York. The General Assembly considered that legal assistance should be provided to staff. Accordingly, the new system also includes the Office of Staff Legal Assistance, with specialized legal officers in Addis Ababa, Beirut, Geneva, Nairobi and New York. In order to ensure the independence of the system, the Office of the Administration of Justice is responsible for the management of all sectors of the formal system, providing administrative, operational and technical support to the Tribunals, the Registry and the Staff Legal Aid Office and the Internal Justice Council.","The management evaluation is a mandatory first step in the formal administration of justice system and is carried out by the Department of Management and the funds and programmes administered separately. The Management Evaluation Unit of the Department of Management is composed of professional legal officers, first reviewing contested decisions. The Unit was established to provide management with an opportunity to correct inappropriate decisions or to take acceptable remedies for the deficiencies in the decisions taken to reduce the number of cases entering formal proceedings. Similar mechanisms exist for funds and programmes.","In addition to the increase in the number of cases, as the system is strengthened and professionalized, the various offices and departments representing the respondent Secretary-General require a significant increase in service.","The new system continues to make progress in dealing with a large number of cases transferred by the various departments of the old system. In order to prevent the backlog, the General Assembly appointed three ad litem judges to the United Nations Dispute Tribunal and appointed judicial personnel to support the work of judges.","Review of the formal administration of justice system","Management Evaluation Unit [2]","The Management Evaluation Unit, located in the Office of the Under-Secretary-General for Management, is the first step in the formal system of administration of justice. The core functions of the Unit are: (a) rapid management evaluation of contested administrative decisions relating to hiring contracts or terms of appointment; (b) assistance to the Under-Secretary-General for Management in providing prompt and reasonable responses to staff requesting management evaluations on evaluation findings; and (c) assistance to the Under-Secretary-General in ensuring the accountability of managers through ensuring that managers fulfil their responsibilities to manage the Organization's human and financial resources.","The Management Evaluation Unit received 823 cases from 1 July 2009 to 31 May 2011, of which 184 were in 2009, 427 in 2010 and 212 in 2011. In eight23 cases before it, the Unit completed and closed 665. As at 31 May 2011, the Unit made a recommendation for compensation in 18 cases with a total amount of $183,339.44. A breakdown of that amount is contained in annex III to the present report.","The management evaluation process has provided the Administration with the opportunity to prevent unnecessary proceedings before the Dispute Tribunal and to save the Organization. In the cases before and closed by the Unit in 2010, about 36 per cent were resolved informally through the Unit, the Office of the Ombudsman or through bilateral negotiations between the Administration and staff.","Following the determination by the Management Evaluation Unit that the decisions taken are in accordance with the rules and jurisprudence of the Organization, the Secretary-General has maintained a controversial decision in approximately 84 per cent of the cases submitted to the Unit but not resolved informally.","In accordance with the decision of the General Assembly to establish a judicial system, such as transparency (para. 4 of resolution 61/261), the Management Evaluation Unit shall, subject to the recommendation to maintain a disputed administrative decision, send a reasonable written response to the staff concerned on the basis of the management evaluation, including the fact of cases, the summary of cases of decision makers, the applicable rules and the jurisprudence of the Organization, and explain why the Unit considers that the disputed decisions are in compliance with applicable rules and jurisprudence and the final decision of the Secretary-General. The funds and programmes follow similar approaches in their management evaluation processes.","After the management evaluation process, staff members have the statutory right to submit cases to the Dispute Tribunal (General Assembly resolution 62/228, para. The Management Evaluation Unit is of the view that staff members are more likely to decide not to exercise their statutory right to appeal if they find fair, objective and accurate management evaluation procedures. The Unit also believes that the provision of reasonable written replies to staff after the completion of the management evaluation process is an important means of building credibility in the new system of administration of justice, in particular the credibility of the management evaluation process. The funds and programmes also share this view.","In order to determine how many staff members have made complaints to the Dispute Tribunal following the management evaluation of the disputed administrative decisions, the Management Evaluation Unit is implementing a follow-up mechanism in cooperation with the Office of Internal Justice.","As at 31 December 2010, 83 per cent of cases had been brought before the Dispute Tribunal after the management evaluation process, consistent with the recommendations of the Management Evaluation Unit. A number of key legal issues to be decided by the Court of Appeal remain in place and the limited capacity of the management evaluation unit is limited. Nevertheless, the similarity of the two opinions is instructive and can be seen as showing the impartiality, objectivity and accuracy of the Unit.","In assisting the Under-Secretary-General for Management in ensuring accountability, the Management Evaluation Unit regularly reviews the number of cases to identify trends and systemic issues, as described in its report. The Unit also provides secret support to the Under-Secretary-General in the compilation of the Guidance on Lessons Learned for Managers distributed to heads of offices and departments. The Guide to Lessons Learned by Managers recalls the jurisprudence of the Dispute Tribunal and the Appeals Tribunal and examines the manner in which the Tribunals interpret and apply the internal rules of the Organization. In 2010, the Under-Secretary-General circulated two volumes of the Guidance on Lessons Learned by Managers. In April 2011, the Under-Secretary-General issued the Guidance Notes, which is expected to circulate a further volume of the Management Lessons Learned Guidelines in the second half of 2011.","Legislative time frames","Following a request for management evaluation, management evaluations at Headquarters must be completed within 30 calendar days, with offices away from Headquarters completed within 45 calendar days (General Assembly resolution 62/228, para. In accordance with the conditions established by the Secretary-General, cases submitted to the Office of the Ombudsman may extend the deadline.","In the report of the Advisory Committee on Administrative and Budgetary Questions (A/65/557, para. 16), it was noted that these cases should be addressed in the best way by the staff members before the justice process; management evaluation functions were an important opportunity to deal with wrong administrative decisions and to avoid access to justice.","In accordance with the instructions of the Advisory Committee on Administrative and Budgetary Questions, if the Management Evaluation Unit determines that the disputed decision is not in accordance with the internal rules of the Organization, and the Under-Secretary-General for Management approved informal settlement, the Management Evaluation Unit will help to resolve directly between the parties. The experience of the Unit is that informal solutions require extensive consultations between the parties, which are usually more than the statutory time frame for the management evaluation. However, there is no provision in the regulations allowing the Secretary-General to suspend the management evaluation process with the consent of the parties involved in the case. The funds and programmes share this view, but point out that they have succeeded in doing so with the consent of the parties.","Similarly, staff members sometimes submitted requests for management evaluation and, on their own initiative or on the management evaluation unit, requested additional material. In such cases, there is no provision in the regulations to extend the time frame for the evaluation.","The Management Evaluation Unit is of the view that strict compliance with the statutory time frame allows staff to receive unfull or inaccurate management evaluations, leading to unnecessary recourse to the Dispute Tribunal. In order to avoid such results, the current approach of the Unit is to request staff to agree on an extension time frame for informal settlement of cases or, where additional information is required to properly complete the management evaluation process. The Unit is of the view that no cases have been completed within the relevant statutory time frame or that no cases have been closed in a timely manner within the time frame agreed by the staff; staff agreed that the extension period was intended to facilitate informal settlement of the case or obtain the necessary additional information to ensure that the evaluation is comprehensive. The funds and programmes share this view and point to their successful compliance with the statutory deadlines for all cases to date.","One of the staffing establishment of the Management Evaluation Unit is the Chief of Unit (P-5), two Legal Officers (P-4), one Legal Officer (P-4) (General temporary assistance) and three Legal Assistants (General Service (Other level)). However, the current human resources of the Unit are not sufficient to meet the mandate of the Unit, which has had to use, as appropriate, a limited budget funding that could be disposed of to temporarily supplement a legal post.","The Management Evaluation Unit is of the view that the number of cases processed during the operation of the last two years has proved necessary to increase the number of legal posts at the third P-3 level. These figures indicate that users of the new system of administration of justice have surpassed the previous system. In addition, based on data collected in the caseload, the Unit anticipates that the number of cases processed in 2011 is at least the figure for 2010 (approximately 427).","The Management Evaluation Unit notes that, in 184 cases received in 2009, the number of cases submitted in the fourth quarter fell by 23 per cent compared to the third quarter. The Unit notes that, in 427 cases submitted in 2010, there has been a steady increase in the cases submitted in the previous two quarters, followed by a decrease in the cases submitted in the third and fourth quarters. The Unit notes that 57 per cent of the cases submitted in 2010 were submitted for the period from 1 January to 30 June 2010, 43 per cent for the period from 1 July to 31 December 2010 and a significant decrease in the number of cases submitted for the period from 1 October to 31 December 2010. Finally, the Unit notes that the number of cases submitted for the period from 1 January to 31 May 2011 increased compared to the number of cases submitted from 1 July to 31 December 2010. The Unit received 183 cases in the second half of 2010, while 212 cases were received in five months prior to 2011, equal to the number of cases before May 2010.","The Management Evaluation Unit considers that the decrease in the number of cases submitted in the last quarters of 2009 and 2010 and the rise in the number of cases in the two quarters of 2010 and 2011 may indicate a new cycle change. However, the total number of cases before 1 July 2009 to 30 June 2010 is projected to be equal to the number of cases before 1 July 2010 to 30 June 2011 (approximately 427).","As noted above, timely and justified management evaluation is essential to the successful conclusion of the management evaluation unit's mandate. Since February 2010, the Unit has completed its mandate by increasing the availability of funds at the discretion of a temporary legal post. In addition, the above figures indicate that the Unit can make use of existing staffing tasks because of the fact that the staff have been working over time, delaying annual leave or no annual leave.","Therefore, the Management Evaluation Unit considers that the request for an additional Legal Officer (P-3) post in such cases is conservative, as a new legal officer cannot fully fill the gap between the number of persons ortimes required to complete the Unit's mandate each year (828) and the staff member/time (463) who normally require work each year.","For the above reasons, the Secretary-General recommends that a Legal Officer at the P-3 level be added to strengthen the Management Evaluation Unit.","United Nations Dispute Tribunal","Composition of the United Nations Dispute Tribunal","On 2 March 2009, the General Assembly elected three full-time judges and two half-time judges of the Dispute Tribunal. The General Assembly then elected three ad litem judges for a term of one year to assist in dealing with the backlog of cases transferred by the old system. At the time of writing, the composition of the Dispute Tribunal was as follows:","(a) Judge Vinod Blair (Mauritius), a dedicated judge in Nairobi;","(b) Judge Mhamed Ibrahim-Kastens (Botswana), full-time judges in New York;","(c) Judge Thomas Lak (Germany), Special Judge in Geneva;","(d) Judge Guam Huson Kadir Milan (United Kingdom of Great Britain and Northern Ireland), half-time judges;","(e) Judge Coral Short (New Zealand), half-time judges;","(f) Judge Jean-François Cosan (France), ad litem judges in Geneva;","(g) Judge N Kendim Amelia Izuako (Nigeria), ad litem judges in Nairobi;","(h) Judge Mayine Karmann (United States of America), ad litem judges in New York. [3]","At its sixty-fifth session, the General Assembly decided to extend the mandate of three ad litem judges and their associates for a further period of six months until 31 December 2011 (see resolution 39/51).","Election of the President","At the plenary meeting held in Nairobi from 28 June to 2 July 2010, Judge Thomas Lak was elected President and for a term of one year from 1 July 2010 to 30 June 2011.","Plenary meetings","Since 1 July 2010, the judges of the Tribunal held two plenary meetings (Geneva, 13-17 December 2010 and New York, 27 June-1 July 2011.","General activities of the United Nations Dispute Tribunal","During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal received 170 new cases. As at 31 May 2011, 254 cases were pending.","Of the 170 cases before the reporting period, 108 cases were received from the Secretariat (other than peacekeeping and political missions), including regional commissions, offices away from Headquarters, the International Criminal Tribunal for Rwanda, the International Tribunal for the Former Yugoslavia and departments and offices; 19 cases from peacekeeping missions and political missions; 43 cases from the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Development Programme (UNDP), the United Nations Children's Fund (UNICEF)).","Cases previously transferred to the United Nations Dispute Tribunal","On 1 July 2009, after the cancellation of the Joint Appeals Boards and Joint Disciplinary Committees in Geneva, Nairobi, New York and Vienna, 169 cases to be processed were transferred to the Dispute Tribunal: 61 cases were transferred to the Geneva Registry; 55 cases were transferred to the Nairobi Registry; 53 cases were transferred to the New York Registry. From 1 July 2010 to 31 May 2011, 29 of these cases were processed.","On 1 January 2010, the United Nations Administrative Tribunal transferred 143 cases to the Dispute Tribunal. These cases are distributed in the Registry of the Dispute Tribunal as follows: 51 in Geneva, 40 in Nairobi, 52 in New York. Between 1 July 2010 and 31 May 2011, 76 of these cases have been processed.","As at 31 May 2011, 65 cases transferred from previous systems were pending: 10 cases of the Joint Appeals Board and the Joint Disciplinary Committee and 55 United Nations Administrative Tribunal cases.","Number of judgements, orders and hearings","Between 1 July 2010 and 31 May 2011, the Dispute Tribunal issued 195 judgements, 638 orders and 229 hearings.","Cases before the Mediation Division","During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal identified 13 cases suitable for mediation and referred them to the Mediation Division of the Office of the Ombudsman. At the time of writing this report, six of these cases have been successful in mediation.","Purposes of cases before the Dispute Tribunal","During the reporting period, the nature of cases before the Dispute Tribunal could be divided into six main categories: (a) matters relating to appointment; (b) benefits and entitlements; (c) classification; (d) disciplinary matters; (e) separation; and (f) other.","Of the 170 cases considered during the reporting period, 56 were related to appointments; 19 were related to welfare and entitlements; 2 were related to classification; 33 were related to disciplinary matters; 28 were related to separation; 32 related to other matters.","Issues relating to the staffing of the Dispute Tribunal and its Registry","As detailed above, the workload of the Dispute Tribunal has been high and the need for expeditious completion has placed great burden on the judges and staff of the Tribunal. The appointment of three ad litem judges and the extension of their term of office resulted in significant progress in the Dispute Tribunal in dealing with the backlog of cases left by the previous system. However, from the new cases raised, it is clear that the case will soon be a backlog if the positions of ad litem judges were cancelled by the end of 2011. This would result in criticized shortcomings in the previous system — delays and the fact that the new system would face every day.","The courts have created dispersion and ensured that the applicant is more vulnerable to the use of judicial means. In order to maintain that facilitation, it is essential that each location of the Dispute Tribunal maintain two full-time judges. If there is only one judge on a given ground, and the judge is in the absence of leave, illness or resignation, which has caused the location to stop its operation, then the establishment of a dispersal court would be completely ineffective. Similarly, in cases where a judge is to avoid, the case naturally needs to be transferred to another location away from the applicant. Only at least two judges at each court location will it be effective to establish three judges' chambers. In addition, the provisions in the regulations stipulate that the application for suspension must be dealt with within five days, while only one judge is almost impossible to deal with substantive requests, which must affect the processing of substantive applications. Finally, the President of the Dispute Tribunal guiding the work of the Court and the Registry will depend on the other judges at the duty station and their support to maintain the pace of the trial of the case.","The work of the judges of the Dispute Tribunal is not limited to the judgement. Other necessary functions mentioned in this section indicate that the second full-time judge at each duty station is absolutely necessary. The judges of the Dispute Tribunal closely monitor progress in all cases from the application to the final judgement. Such inspections may include: (a) the holding of case management hearings; (b) the decision on pretrial requests; and (c) the issuance of pre-trial orders. In addition, the judge must hear a suspension of the application within five days' statutory time frame. In order to facilitate administrative work, judges at each location (Geneva, Nairobi and New York) meet regularly with Registry staff to ensure regular and timely processing of cases. They also hold biweek meetings in a videoconference manner that allows better communication among judges and make important decisions on the harmonization of the practices of the three Registrys. Judges are also responsible for drafting the Rules of Procedure; the Tribunal has submitted to the General Assembly recommendations for amendments to the Rules of Procedure. In addition, the judges are responsible for the publication of the Rules of Procedure so that the parties in the case are aware of the procedures that the Court wishes to comply. In the light of the fact that there is no judicial recuperation in the calendar of the Dispute Tribunal to date, the Tribunal will perform all of the above-mentioned functions in addition to the fulfilment of its core judicial functions, such as the determination of the merits and the issuance of the judgement.","After two years of operation, the Tribunal is still in the “push” phase. Given the different legal context of judges, in order to ensure that the Court is a unified judiciary that is conducive to the Organization and its staff and that it ensures consistency in its jurisprudence, the Court needs to maintain continuity among judges and supporting personnel.","The General Assembly therefore recommends to the General Assembly the appointment of a second full-time judge for all locations of the United Nations Dispute Tribunal. These judges must also receive the necessary support from legal officers and administrative staff. The Secretary-General therefore recommends that P-3 Legal Officers (one in Geneva, Nairobi and New York) and legal assistants (one in Geneva, 1 in General Service (Other level), 1 in New York, 1 in General Service (Other level) and 1 in Nairobi, 1 in General Service (Local level) posts be regularized.","In addition, the staffing of the New York Registry is not common. The staffing of the Geneva and Nairobi Registry is one of the Registrars (P-5) and Legal Officers at the P-4 and P-3 levels, while the staffing of the New York Registry is one of the Registrars (P-5) and Legal Officers at the P-4 and P-2 levels. There is no operational basis for such differences; in fact, the New York Registry will benefit greatly if the second legal officer of the New York Registry is higher at the P-3 level. It is therefore proposed that the post of Legal Officer at the P-2 level in New York be reclassified to the P-3 post.","Issues other than staffing","Trial room","Since the new system must be professional, and given that the court hearings will generally be open to the public, the Court must have the facilities that are required by the professional courts at all locations and should be sufficient to accommodate public hearings.","The premises in the three locations of the Tribunal have been provided, but the construction of permanent courtrooms remains pending.","In New York, as a result of the implementation of the capital master plan, the temporary courtroom is located in the Office of the Administration of Justice. The courtroom has been available but, as an ad hoc temporary site, it is not possible to proceed with the simultaneous interpretation. At the planning stage, due consideration has been given to ensuring that equipment and furniture for temporary sites are removed to the extent possible after the completion of the capital master plan and that they are installed in the permanent premises of the Tribunal. However, arrangements for the establishment of a permanent courtroom for the Dispute Tribunal in New York after the completion of the capital master plan have not yet been made. In Geneva, there has been a permanent space for the trial room, but without further construction, interpretation is not available here. A dedicated permanent trial room is being constructed in Nairobi. However, the budget for the Office of Internal Justice for 2010-2011 did not provide for the construction and configuration of the courtroom. The requirements for the construction and staffing of the courtroom are included in section 34 of the budget for the biennium 2012-2013.","b. Travel and communications","In its resolution 9851, the General Assembly reaffirmed that another important task of the new system was decentralized. The Dispute Tribunal and its Registry are located in Geneva, Nairobi and New York. The Tribunal serves staff at all duty stations around the world, with a wide geographical coverage at each location. The Tribunal's success in such a decentralized operation depends to a great extent on the ability of the Tribunal and its Registry to communicate with each other and to communicate with the parties and witnesses of the cases before the Tribunal.","At the time of the hearing of the Dispute Tribunal, participants were able to participate fully in the proceedings and the judges would be very important to assess the conduct of witnesses. For both purposes, the cost would be extremely costly, and it was therefore envisaged that those activities would be carried out mainly through videoconferencing. However, the costs associated with videoconferencing are also high. The current lack of provision for communications makes it impossible for the Tribunal to make effective use of videoconferences. In addition, it is important to ensure that oral hearings are recorded in a manner that reflects the views of the parties and the judiciary so that the proceedings are accurately recorded so that the transcripts can be recorded for possible subsequent appeal proceedings. The Secretary-General therefore recommends that an additional amount of $25,000 for the Office of the Administration of Justice be added under the subsection of communications to cover the costs of using video holding oral hearings and case chambers as well as biweek meetings of judges and Registrars of the United Nations Dispute Tribunal in order to ensure the quality and reliability of the record of the oral hearings and, if necessary, a transcript for subsequent appeal proceedings.","In accordance with the Statute, the Dispute Tribunal may order itself to appear before the Court if it considers that the person of the parties or witnesses is essential to the proceedings. In addition, hearings cannot be held in Nairobi because of the poor or unreliable quality of the video link and the inability of interpreters to communicate effectively with telephone links. This is particularly true in cases at African duty stations. Although such circumstances are not frequent, this has occurred in the first two years of operation of the Dispute Tribunal and is still expected to continue.","Moreover, judges and the Registrar must not be able to discuss common issues and respond to them in a uniform manner. In addition, the maintenance of a specialised system is a crucial aspect of providing training opportunities to judges and legal staff to strengthen their legal skills and participate in academic discussions among judicial peers. The current budget does not take into account the question of holding plenary meetings between the judges and the Registrar of the Dispute Tribunal. Moreover, judges and legal staff of the Registry are often invited to participate in legal seminars, but they cannot participate because of a serious shortage of budgets in official travel. This seriously affects their ability to strengthen skills, interact with peers and share knowledge. The Secretary-General therefore recommends an increase of $15,000 in the travel budget of the Office of the Administration of Justice.","c. Mechanisms for handling complaints against judges","A question relating to the operation of the Dispute Tribunal would also affect the Appeals Tribunal, namely the lack of a mechanism to deal with complaints against judges of the Tribunals. Effective complaints against judges will directly affect the independence, professionalism and accountability of the new system of administration of justice. However, no entity or body has been authorized to carry out the necessary factual investigation, to make decisions, impose sanctions or make recommendations to the General Assembly on the effectiveness of the complaint.","In its report to the General Assembly at its sixty-fifth session, the Internal Justice Council expressed concern about the absence of any mechanism to deal with complaints against judges and indicated that it considered it a matter of urgency (see A/65/304, para.","The Secretary-General understands that the Internal Justice Council intends to present a recommendation to address complaints against judges of the Tribunals in his report to the General Assembly at its sixty-sixth session. As no mechanism is being put in place, as an interim measure prior to a decision on a standing mechanism, the General Assembly may wish to authorize the Council to investigate complaints against judges, including those already submitted, and to report and make recommendations to the General Assembly for any action it may consider appropriate.","With regard to a possible standing mechanism, the Secretary-General, on the basis of his previous report (A/63/314, paras.","This allegation will be reported to the President of the Tribunal when the allegation of misconduct or incapacity of a judge is raised. The President will then conduct a proper investigation of the allegations, first of all by identifying an appropriate investigation procedure before the appointment of a panel of experts to investigate them. The investigation will apply all necessary appropriate procedures to the accused judge, such as the opportunity to respond to the allegations and to present the relevant evidence. If the allegations were directed against the President of the relevant court, the most senior of the other judges of the Tribunal was charged to the Dispute Tribunal. If charged with the President of the Appeal Court, the charges were brought before the first Vice-President of the Tribunal.","Once an investigation has been conducted, the results of the investigation will be reviewed by all the courts concerned, but the investigating judge shall not participate. The President or the Acting President will report this matter to the General Assembly and request that the judge be dismissed if all judges agree that the evidence of the misconduct or incapacity of the act is sufficient and the gravity of the problem is sufficient.","The President or the Acting President will be entitled to take appropriate corrective measures in the light of the circumstances, even if the act is found to be sufficient, without reaching the extent to which it should be removed. Reports on the disposition of complaints are submitted annually to the General Assembly. In addition to this recommendation, another approach is to amend the terms of reference of the Internal Justice Council, which is responsible for investigating and making recommendations on any complaints received by the judges of the Tribunals. When a judge is charged with misconduct or incapacity, the charge will be sent to the President of the Council. The Council will then conduct a proper investigation of the allegations, first of all by identifying an appropriate investigation procedure to apply all the necessary appropriate procedures for the alleged judge, such as the opportunity to respond to the allegations and to present the relevant evidence.","Once an investigation has been conducted, the results will be reviewed by the Internal Justice Council. If the Council determines that the evidence of misconduct is sufficient, the President will report the matter to the General Assembly and make recommendations on appropriate penalties.","For the two options mentioned above, the category of misconduct of judges requiring penalties would be a violation of the Code of Conduct of Judges prepared by the Internal Justice Council in accordance with resolution 62/228 and submitted to the General Assembly in document A/65/86 or a violation of the Regulations on the Status, Basic Rights and Duties of non-secretariat officials and experts, as set out in the Secretary-General's bulletin ST/SGB/2002/9.","C. United Nations Appeals Tribunal","Composition of the United Nations Appeals Tribunal","On 2 March 2009, the General Assembly elected the following seven judges:","(a) Judge İlz Winterg Deroga (Argentina);","(b) Judge Jean Kitaya (France);","(c) Judge Sofia Adenyira (Ghana);","(d) Judge Marc Pert (United States of America);","(e) Judge Kamaljte Singh (India);","(f) Judge Roberto Boyko (Canada);","(g) Judge Luis Maria Simón (Uruguay).","On 11 October 2010, Judge Rose Boyko delivered a statement for personal reasons, resigned her position in the Appeals Tribunal and entered into force on 15 January 2011. On 28 January 2011, the General Assembly appointed Judge Marie Fahti (Ireland) in the electoral process to replace Judge Rose Boyko.","Election of the President and Vice-President","On 30 June 2010, the Court of Appeal elected Judge Kityael as President, Judge Adinajira and Judge Garriba, respectively, for a term of office of 1 July 2010 to 30 June 2011.","The judges of the Appeals Tribunal held a plenary meeting on administrative and operational issues at the beginning and conclusion of each of the five sessions.","Judicial statistics","From 1 July 2010 to 31 May 2011, the Appeals Tribunal received 105 new appeals: 7 appeals against the United Nations Joint Staff Pension Board (UNJS), 5 against the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), 1 against the International Civil Aviation Organization and 92 judgements and orders against the Dispute Tribunal (65 by staff and 27 appeals were made on behalf of the Secretary-General in response to the judgements and orders of the Dispute Tribunal).","In 2010, the Appeals Tribunal held two sessions in New York from 21 June to 2 July and from 18 to 29 October, and in New York from 28 February to 11 March 2011. During the reporting period, the Court rendered 96 judgements. The Second Court of 2011 was held in Geneva from 27 June to 8 July to hear 34 cases.","Outcomes of case disposal","During the reporting period, the Appeals Tribunal rendered 96 judgements. [4] One of these judgements relates to appeals against the Pension Board, in which the Appeals Tribunal upheld the decisions of the Standing Committee. Four sentences were upheld by the Commissioner-General of UNRWA.","83 judgements were rendered in respect of appeals against judgements of the Dispute Tribunal. These judgements have taken decisions on 54 appeals by staff and 29 appeals on behalf of the Secretary-General. The Appeals Tribunal dismissed 46 of the 54 appeals made by the staff and accepted 3 and returned five to the Dispute Tribunal. Of the 29 appeals made on behalf of the Secretary-General, 9 were dismissed, 19 were accepted in whole or in part, and one was returned to the Dispute Tribunal. In 12 cases, the Appeals Tribunal reversed or modified the award of compensation to the Dispute Tribunal.","During the reporting period, the Appeals Tribunal had before it two requests for interpretation, two requests for review, two requests for corrections, three requests for corrections and one request for suspension of the judgement and rejected all 10 requests.","As at 31 May 2011, 95 applications/requests were pending before the Appeals Tribunal.","Issues relating to the operation of the United Nations Appeals Tribunal and its Registry","The judges of the Appeals Tribunal meet during the court period to discuss and make judgements in accordance with the requirements of the trial workload, in general, three times a year. The large number of cases prepared by the Registry's legal and administrative staff is crucial to this process. Although the funding structure and operation methods of the Appeals Tribunal are modelled by the same number of judges as the International Labour Organization (ILO) Administrative Tribunal, [5], the operation of the ILO Administrative Tribunal has six full-time professional legal personnel and three General Service staff, as required. In contrast, only two Professionals and three General Service staff members of the Registry of the Appeals Tribunal assisted the Court.","The Appeals Tribunal is a review chamber to consider appeals from both staff and management. In accordance with article 2, paragraph 10, of the statute of the Appeals Tribunal, the Secretary-General has also signed agreements with seven bodies to enable them to use the Tribunal as an administrative tribunal. Since this is a new system, appeals from both staff and management are large. The number of cases brought before the Court of Appeal last year was replicated with the workload of the ILO Administrative Tribunal, which dealt with approximately 110 cases each year and had not resulted in a backlog of cases.","The current staffing of the Registry is not sufficient to fully support the functioning of the Tribunal and to enable it to deal with cases in a timely manner. Two legal officers were not sufficient to prepare more than 100 cases each year. This would inevitably result in a backlog of cases and increased delays, which is one of the most critical aspects of the former system of administration of justice. This would once again result in serious disruptions to the reform. The prolonged delays between the judgement of the Dispute Tribunal and the final appeal decision are particularly undesirable, as the result of a case may address a particular legal issue, thereby reducing the number of future cases.","An additional P-4 Legal Officer is required to ensure the ability of the Registry to function effectively. Given the complexity of many cases and the speed necessary to deal with them, the Registry needs more experienced personnel. A Legal Officer at the P-4 level could be instructed to follow up on the legal aspects of the work of the Registry by the existing staff, thereby enabling the Registrar to free the hands and focus on comprehensive oversight, communication with judges and other stakeholders and technical and administrative support for the Tribunal.","In addition, a more senior legal officer will be able to provide judges with more substantive legal assistance and independent responses, thereby enhancing efficiency and responsiveness. Such a legal officer would share administrative functions with the Registrar and would act as an agent in the absence of the Registrar. Taking into account the workload in the case, and taking into account the need for adequate legal assistance from the Appeals Tribunal to make it operational in the best situation, the Secretary-General recommends that the General Assembly establish an additional Legal Officer at the P-4 level to strengthen the United Nations Appeals Tribunal Registry.","In its resolution 9851, the General Assembly approved the establishment of one additional General Service (Other level) position to support the work of the Appeals Tribunal. The Secretary-General notes that the support provided by this position is useful. However, there is an urgent need for an additional legal officer with appropriate qualifications to support the work of the judges of the Appeals Tribunal. Taking into account this situation, and noting the current budgetary constraints, the Secretary-General recommends that this post be not continued.","In accordance with article 4, paragraph 2, of the Statute, the Appeals Tribunal shall “shall be held on a regular basis in accordance with the date specified in its rules of procedure, subject to a hearing by the President of a sufficient number of cases. Based on the experience gained during the initial years of operation of the Tribunal and taking into account the number of appeals to the Tribunal, it is expected that the Appeals Tribunal will have sufficient cases to hold three times a year. However, the Secretary-General points out that the current budget for travel of the Tribunal is not sufficient to cover the costs of the three sessions. The Secretary-General therefore recommends that an additional $230,000 be made available for the Office of the Administration of Justice in the context of the budget for 2012-2013 to enable the United Nations Appeals Tribunal to hold its first three sessions when required.","In paragraphs 155 to 164 of his previous report (A/65/373), the Secretary-General reported on the status of judges and their entitlements. In that report, the Secretary-General recommended that the judges of the Appeals Tribunal also enjoy the amount of travel and daily subsistence allowance previously provided to former United Nations Administrative Tribunal judges. In paragraph 50 of its resolution 9851, the General Assembly decided to consider again in the budget for the period 2012-2013 the question of the treatment and daily subsistence allowance of judges of the Appeals Tribunal. The Secretary-General remains of the view that this will be appropriate and therefore recommends an increase of $5,200 in the travel budget of the Office of the Administration of Justice to reflect this.","Staff Legal Aid Office","The Staff Legal Aid Office still faces many challenges. The Office comprises seven Legal Officers funded through the regular budget (3 in New York, 1 in each of the four Satellite Offices in Addis Ababa, Beirut, Geneva and Nairobi) and 3 General Service (in New York). As at 1 January 2011, the Staff Legal Aid Office was provided with one additional Professional staff at the P-3 level in Nairobi to assist cases involving field mission personnel. This position is funded for one year through the support account for peacekeeping operations.","Despite the decentralization of a limited number of duty stations, the Office of Staff Legal Assistance has achieved considerable achievements in its first two years of operation. The Office continued to successfully address a large number of requests for assistance from staff around the world with limited administrative assistance.","As at 1 July 2010, there were 432 cases pending before the Staff Legal Assistance Office. [6] From 1 July 2010 to 31 May 2011, the Office received 425 new cases. In addition to the number of pending cases as at 1 July 2010, the Office was involved in 857 matters. Of these, the Office was able to close or find other solutions cases of 265. As at 31 May 2011, the Office also had nearly 600 cases. In the second year of the operation of the Office, the number of requests submitted by staff to the Office for the processing of matters, in particular the number of locations outside the seat of the three chambers of the Dispute Tribunal, constitutes a great strain on their limited resources.","The Office of Staff Legal Assistance provides staff with a wide variety of legal assistance, including the provision of brief legal advice and the appearance of staff on the Tribunals. An informal solution or help staff understand that their official complaints are less likely to be successful may require considerable time.","A limited staff response to a large number of requests for assistance remains the biggest challenge for the Office. Legal officers working independently outside New York are particularly difficult and have no local administrative support. These legal officers must therefore be alone in responding to the heavy workload and to most of the administrative services of the Office.","The Staff Legal Aid Office was assisted by relevant voluntary lawyers, legal interns and external public good lawyers. Regrettably, their numbers were not sufficient to address the shortage of human resources in the Office. Offices away from Headquarters are now difficult to find qualified volunteers, internships and public interest assistance, raising fears that the Office's presence is largely limited in New York.","The General Assembly reiterated its request to the Secretary-General, in cooperation with the Staff Association, to develop incentives to encourage staff to continue their participation in the work of the Staff Legal Assistance Office. In June 2011, this matter was considered at the sessions of the Staff and Management Coordination Committee. It was noted that management and staff representatives remained divergent on what should be done. Therefore, staff and management decisions should continue to be consulted on this issue.","The Staff Legal Aid Trust Fund established by the Office of the Administration of Justice in January 2010 did not provide sufficient resources to effectively assist the Office of Staff Legal Assistance to increase its human resources, even if there was no temporary increase.","Based on the experience of the first two years of operation of the Staff Legal Assistance Office, the Secretary-General believes that the current staffing of the Office must be strengthened so that it can complete its mandate. As indicated in the Secretary-General's report to the General Assembly at its sixty-fifth session, the Office is particularly lacking in legal officers at the higher level, since only one of the current Professional staff is above the P-3 level. For that reason, the Secretary-General recommends the addition of two additional P-4 posts (in Nairobi and New York) to strengthen the Office of Staff Legal Assistance.","The ability of the Office of Staff Legal Assistance to operate efficiently is also undermined by the lack of administrative support outside New York. Because all administrative support is provided by Headquarters, staff members must initiate their cases through contact with the offices in New York. This sends a clear message to staff that, despite the commitment to a decentralized system, the core operations are still under way at Headquarters. For that reason, the Secretary-General recommends that two additional General Service (Other level) posts be provided with administrative support in Geneva and Nairobi to strengthen the Office of Staff Legal Assistance.","At its sixty-fifth session, the General Assembly agreed with the Secretary-General that the capacity of the Office of Staff Legal Assistance to serve field missions should be strengthened. Accordingly, the General Assembly approved the temporary establishment of one P-3 position, based in Nairobi, to assist staff in field missions. The position was funded for one year through the support account for peacekeeping operations, from 1 January to 31 December 2011. In view of the continuing trend in a large number of cases involving staff in field missions, thus demonstrating the continuing need and taking into account the participation of the Department of Field Support and the Department of Peacekeeping Operations in continuing funding for the formal system in accordance with the cost-sharing approach, the Secretary-General recommends that a one-year post dedicated to the provision of assistance to field mission staff be established in Nairobi and funded by the support account for peacekeeping operations.","Non-post resources allocated to the Staff Legal Assistance Office are not sufficient to allow their regular functioning. Because of the decentralized work of the Office, all public service coordination and consultations with a large majority of clients must be conducted through e-mail, telephone and video links. Nevertheless, the Office's communications budget was not sufficient to allow it to carry out a small number of telephone and video-linked communications. In addition, staff members from the decentralized offices in all parts of the globe must also be able to communicate with each other outside the office and outside the normal course. Although the use of thinkable telephone equipment, such as Black facilities, contributes to communications, the current budget is not sufficient to cover the cost of using those equipment. For that reason, the Secretary-General recommends an increase of $11,200 in the 2008-2009 budget communications project.","While the travel of personnel is not common, it is sometimes impossible to avoid. Legal officers working at offices away from Headquarters will serve a wide range of geographical areas, including many field missions. If staff members are to be able to effectively utilize the services of the Staff Legal Assistance Office, particularly in the field, legal officers will have to visit their duty stations where staff are present, meet with clients and local administrations to facilitate the resolution of disputes on an informal basis. The Legal Officers of the Office in Addis Ababa and Beirut may need to represent their clients at the Court's hearings in accordance with the orders of the Dispute Tribunal. Currently, the Office of Staff Legal Assistance does not have the travel budget to meet any such critical needs. The Secretary-General therefore recommends an increase of $15,000 in the travel details of the Office in the context of the budget for 2012-2013.","Finally, the current budget of the Office, in particular the budget of offices outside New York, is not sufficient to meet basic office needs, such as renting or buying a photocopy and scanning, as well as the purchase of necessary office supplies, such as paper, document folding, releasing and writing. The lack of such basic accommodations in only one office away from Headquarters makes the difficulties faced by legal officers who are isolated. For that reason, the Secretary-General recommends an increase of $9,000 in the provision of supplies and materials in the budget for 2012-2013.","E. Office of the Executive Director","Review of the Office of the Executive Director","In addition to the reply of the Secretary-General, the Office of the Executive Director also oversees the implementation of all elements of the formal system. The Office consists of the Executive Director, the Special Assistant, two information technology experts and one administrative assistant responsible for providing administrative, operational and technical support to the Tribunals, the Registry and the Staff Legal Aid Office. Such operational support includes coordination with other relevant offices to facilitate the establishment of a temporary courtroom facility in New York and similar efforts aimed at providing permanent offices and courtroom facilities for the Office of the Administration of Justice at the completion of the capital master plan.","In addition to providing day-to-day support for the above-mentioned units, the Office of the Executive Director is responsible for coordinating the preparation of the report of the Secretary-General in accordance with the relevant resolutions of the General Assembly. The Office also represents a formal system within the United Nations and in all matters requiring intersectoral coordination and consultation.","One of the achievements of the Office was the establishment of the Office of Internal Justice website, which was launched on 28 June 2010, using all six official languages. The website (www.un.org/en/oaj) is accessible and provides practical and progressive information on all aspects of the formal system. In May 2011, the number of visits to the site was 7,690, an increase of 13 per cent over the previous month. Since the launch of the website, the number of visits was approximately 7,000. Overall, the use of the website has increased. The Office of the Administration of Justice continued to improve the website, including the establishment of the functionality of search orders and judgements of the Tribunals, as requested by users.","Another important milestone was the launch on 6 July 2011 of an electronic system for web-based case management to enable staff to submit and monitor their cases electronically from any duty station. The system is expected to improve efficiency, reduce delays and improve the functioning of the two Registrys. In addition, the implementation of the case management system opens the door to the various elements of a formal system for staff worldwide.","The Office has also successfully negotiated agreements with all entities using the United Nations Administrative Tribunal in the previous system, in accordance with article 2, paragraph 10, of the statute of the Appeals Tribunal. [7] These agreements signed by the Secretary-General enable these entities to use the Appeals Tribunal as an administrative court.","In addition to the role played in the preparation and coordination of the report on the administration of justice to the General Assembly, the Office of the Executive Director provides substantive assistance, if necessary, for the organization of the elections of the judges of the Tribunals.","Another important function of the Office of the Executive Director is to support the work of the Internal Justice Council, including the preparation of reports to the General Assembly pursuant to resolution 62/228, and the dissemination of their views on the implementation of the new system of administration of justice.","The Office also provides substantial administrative and technical support to the Internal Justice Council, which assists the General Assembly in identifying candidates for judicial vacancies. On 30 June 2012, those positions would be vacant when the three-year term of office of judges of the Dispute Tribunal and the Appeals Tribunal expired.","Issues relating to the functioning of the Office of the Executive Director","The Office of the Executive Director is the focal point for the organization of work for all substantive units within the Office of the Administration of Justice. The Executive Director has a great role and function. The Executive Director plays a significant role in maintaining the independence of the formal system and is to coordinate the various independent elements of the formal system, including oversight and coordination of the work of the Registry and the Staff Legal Aid Office. The Executive Director also has a formal system within the United Nations and liaison with heads of United Nations departments, including the Ombudsman and the Mediation Service.","In paragraph 34 of its resolution 9851, the General Assembly requested the Secretary-General to make recommendations at the appropriate level of post of the Executive Director of the Office of the Administration of Justice. In the opinion of the Secretary-General, this issue should not be considered separately from a conclusive issue, namely, the level of remuneration and the compensation mechanism of the judges of the two Tribunals. The judges of the Tribunals are non-staff officers. For judges of the Dispute Tribunal, their full-time work is paid in the fourth position at the D-2 level. The judges of the Appeals Tribunal are not part-time, but the number of annual sessions takes decisions on the case. Their remuneration is not subject to any specific post level, but is paid at each judgement. The main drafters of a judgement received $2,400 and each other signatory received $600. The experience gained over the past two years shows that such a pay mechanism raises a number of issues related to the functions of the Court of Appeal. The Secretary-General therefore recommends that the General Assembly request the Internal Justice Council to review, as appropriate, the issue of the level of remuneration and the compensation mechanism of the judges of the Tribunals and to report thereon to the Assembly at its sixty-seventh session, at which time the Assembly will consider the report of the Council on this matter in conjunction with the appropriate post levels of the Executive Director of the Office of Internal Justice.","As noted above, the mandate of the Office is very broad and one additional legal officer is required to assist in the conduct of a large number of work. Professional staff in the Office of the Executive Director are legal and information technology experts, with limited experience in key administrative areas, especially in United Nations budgeting.","The addition of one Legal Officer with administrative and budgetary experience and one administrative support position is clearly beneficial to the Office. However, given the financial constraints, no additional resources are required in this regard.","The Office of the Administration of Justice is responsible for promoting the work of the Internal Justice Council. This independent body, consisting of a senior jurists, is required to play a key oversight function in the new system and has received considerable authorization. In paragraph 52 of its resolution 9851, the General Assembly stressed that the Council could help to ensure the independence, professionalism and accountability of the system of administration of justice, encouraged the Council to continue to make observations on the implementation of the system of administration of justice and to report to the Assembly at its sixty-sixth session on ways to strengthen its contribution.","Nevertheless, the current or previous budgets of the Office of the Administration of Justice do not explicitly allocate any funds for the remuneration of external members of the Council in the implementation of its important functions. The budget of the Office of the Administration of Justice does not contain general temporary assistance funds to meet maternity or long-term sick leave for staff. In addition, no provision was made for the cost of hiring temporary personnel on the basis of the project or paying peak periods. The Secretary-General therefore recommends that a provision of $130,000 for general temporary assistance be included in the 2012-2013 budget.","The Executive Director and its staff must travel on a regular basis to participate in meetings, including internal meetings of the Office of the Administration of Justice (e.g., plenary meetings of the Dispute Tribunal and the Appeals Tribunal) and meetings within wider organizations, such as the annual meetings of the Staff-Management Coordination Committee. The Executive Director and its staff also continue to require outreach activities for staff and managers located away from Headquarters, thereby requiring travel. The travel budget of the Office of the Administration of Justice must cover all travel expenses of the Executive Director and its staff, as well as travel of staff associated with the plenary meetings of the Tribunals, staff of the Staff Legal Aid Office or other personnel required to participate in the hearings, as well as any other staff of the Office of Internal Justice. As travel costs related to the judicial functions of the Tribunals must be given priority, the Executive Director and its staff are in fact not available for the travel budget. The Office's travel budget is not sufficient to allow members of the Internal Justice Council not serving in the same location to travel on an annual basis or to carry out any other travel to carry out their evaluation of the operation of the system globally and to report to the General Assembly. For these reasons, the Secretary-General recommends an increase of $30,000 in the travel budget of the Office of the Administration of Justice in the budget for the period 2012-2013.","The Office of the Administration of Justice needs to rely heavily on technical solutions because of its dispersion. Two of the achievements of the Office in this regard over the past year have been the establishment of a comprehensive website using all official languages and the implementation of a case management system that allows all staff to submit cases to the Tribunals and to monitor the cases. These important achievements, despite time-saving, resources and money, must be maintained and improved to keep pace with demand. In addition, as a result of the introduction of existing solutions to avoid costly customization systems, these products relate to the issue of the continuation of licences and maintenance contracts annually. In addition, operational costs associated with data storage, system updating and adaptation based on lessons learned are also incurred. The budget of the Office of the Administration of Justice currently does not cover the costs associated with all licences, maintenance and upgrading of the system. For these reasons, the Secretary-General recommends an increase of $75,000 in the provision for contractual services and the acquisition of software packages in the budget of the Office of Internal Justice for the period 2012-2013.","Legal Office of the Secretary-General acting as respondent","Several legal offices responded on behalf of the Secretary-General to cases raised by staff. Due to the continuing high number of cases submitted by staff and the complexity of many cases, the Office and unit representing the Secretary-General as the respondent have been fully loaded and overloaded due to the limited availability of staff and resources.","Legal Office of the Secretary-General on behalf of the United Nations Dispute Tribunal","The staff of the Geneva, Nairobi and Vienna offices away from Headquarters represent the Secretary-General in the role of the respondent in the Dispute Tribunal.","To meet the demands of the new justice system, managers have redeployed staff within the Organization and recruited staff with specialized skills to serve the justice system. Therefore, the Organization responded to the need for new systems implemented throughout the organization.","In 2010, the Dispute Tribunal issued 218 judgements. These judgements analysed the context of the controversy, the rationale for the application of the relevant staff regulations and rules and the conclusions of the facts and legal questions before the Dispute Tribunal. These judgements reflect the wide range of views of the parties on the facts and legal issues in the proceedings.","In order to meet the criteria set forth in the new justice system, the requirement for the office of the Secretary-General in response to the Dispute Tribunal was high. This section elaborates on the roles of offices, resources dedicated to the justice system, case statistics processed by the Representative of the Secretary-General, the results of the proceedings and the responses of the Administration to judgements.","The new justice system brings new demands to the executive branch. In addition to the restructuring of the justice system, the administration needs to respond quickly and decisively to the resource and management challenges faced. In order to maintain the capacity of the Representative of the Secretary-General and to enhance the ability of the Secretary-General to respond to continuing needs, management must retain and consolidate the initiatives taken. In addition, the global secretariat must continue to manage in a comprehensive and integrated manner the Secretary-General's representation in the various tribunals, including regular consultations and briefings on behalf of the Office staff of the Secretary-General.","Administrative Law Section, Office of Human Resources Management","The Administrative Law Section of the Office of Human Resources Management comprises the Appeals Unit and the Disciplinary Unit. When the Dispute Tribunal hears cases submitted by current staff members of the Global Secretariat and cases submitted by staff of the International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia, the Section is responsible for acting on behalf of the Secretary-General. The cases raised by staff at the United Nations Offices in Geneva, Nairobi and Vienna, the United Nations Environment Programme (UNEP) and the United Nations Human Settlements Programme (UN-Habitat) are handled by officials at the duty station. The Section also addresses disciplinary issues for the entire Secretariat and staff of the International Tribunal, which are submitted to the Office of Human Resources Management, and advises managers on the general justice system and the various aspects of individual appeals and disciplinary cases.","Appeal","Upon receipt of the application for appeal transmitted by the Dispute Tribunal, the Administrative Law Section is responsible for collecting the views of managers on the application and drafting responses. The time frame for submitting responses is 30 days, which requires prompt action by the Management and Administrative Law Section.","In the course of the proceedings, the Legal Officer of the Administrative Law Section participated in the targeted hearings and the substantive hearings, providing further written material in accordance with court orders. The hearings will require a large number of time preparations, including, where appropriate, consultations with the relevant offices and the Office of Legal Affairs; meetings with the respondent witnesses to be summoned; cross-exquising witnesses and/or witnesses summoned by the applicant or his counsel.","The Administrative Law Section is also responsible for providing advice to the executive branch on efforts to adopt informal solutions or continuing proceedings. The recommendation of the Section analyses the facts and legal issues of the case and provides advice on the most cost-effective way of resolving disputes. If the recommendations seeking informal solutions are accepted, the Administrative Law Section is responsible for obtaining the necessary approval, advising on the process of negotiation with the applicant and/or his counsel, completing the reconciliation agreement with the Office of the Ombudsman and tracking its implementation. Negotiations often require a long period of time and are often daunting; however, the potential benefits of informal settlement of disputes are considerable.","Following the Court's final judgement, the Administrative Law Section was in contact with the Office of Legal Affairs and was decided by the Office of Legal Affairs to appeal the judgement to the Appeals Tribunal. The Administrative Law Section is also responsible for interpreting the final judgement of the Dispute Tribunal, obtaining the information required for the enforcement of the judgement and transmitting the judgement to the relevant officials.","In requesting an urgent suspension of administrative decisions by a party, the Administrative Law Section also represents the Secretary-General in the process of suspension. These requests must be addressed without delay and, within five days of the request, to respond and hold oral hearings. The Court issued an order of acceptance or non-acceptance of requests within several days of the hearing. For these hearings, the Administrative Law Section needs to be given urgent attention and good preparedness. If the relevant offices and potential witnesses are not present at Headquarters, they are particularly difficult to prepare within the deadlines.","During the reporting period, the Administrative Law Section processed 318 appeals cases; at any time, the Administrative Law Section had to deal with approximately 200 cases pending before the Dispute Tribunal. About 50 per cent of these cases relate to appointments; 20 per cent related to disciplinary appeals; 15 per cent related to welfare and entitlements; 5 per cent related to separation; 1 per cent related to classification; and 9 per cent related to other matters.","During the period from 1 July 2010 to 30 June 2011, the Dispute Tribunal ruled on 114 cases handled by the Administrative Law Section. The Court ruled on 64 applications on the merits; 17 were dismissed on the basis of inadmissibility; 14 were informally settled; 5 were withdrawn by staff; 5 were covered only by compensation; 9 were abandoned by the applicant. In addition, the Dispute Tribunal ruled on 12 requests for suspension of proceedings and agreed to suspend three of them, reject four, five of which had been resolved or abandoned.","In cases of substantive decisions on the merits, 38 cases were won by the Secretary-General, 21 cases were won by the executive branch and 5 were successfully defended, but the staff member's second claim was won. In 20 cases where the applicant was fully or partially successful, according to the merits, the award was awarded.","As a result of the introduction of new methods of work, the number of appeals cases to be processed, the length of time for the respondent to respond (from two months to 30 days) and other duty stations in New York with the user departments/offices, witnesses and court sections, increased pressure on the staff of the Administrative Law Section.","Disciplinary issues","The Administrative Law Section also deals with disciplinary matters for action to be taken by the Office of Human Resources Management. During the reporting period, the Administrative Law Section deals with 391 disciplinary issues, including 121 new cases received during the reporting period. In a separate report of the Secretary-General on the handling of disciplinary issues and possible criminal acts (see A/63/235), the role of the Administrative Law Section in dealing with disciplinary cases is described.","It was noted that the responsibility for factual and legal analysis of cases had been transferred to the Office of Human Resources Management with the establishment of the new judiciary and the withdrawal of the Joint Disciplinary Committee. Under the former judicial system, the Secretary-General submits the issue of discipline to the Joint Disciplinary Committee, which identifies facts and advises on the disciplinary measures. Following the withdrawal of the Joint Disciplinary Committee, the Office of Human Resources Management must conduct an increasingly detailed analysis of the cases received. Therefore, the Office has spent a great deal of time to carefully review all aspects of disciplinary action, including the requirement for investigation units or staff to clarify facts and provide additional evidence. In the light of the complexity of the problem, the disciplinary proceedings may last for a relatively simple case for a period of three months and may continue for more complex issues for two years.","Advisory","Finally, the Administrative Law Section provides specific advice to all offices of the Secretariat as a whole. Generally, one advisory opinion needs one working day. The Administrative Law Section provides about 600 advice annually.","Resources in the Administrative Law Section","The transition to the new justice system has increased the demand for the Administrative Law Section. The procedures for appeals and disciplinary proceedings are much more complex and require a much higher level of demand, resulting in a significant increase in workload. One fundamental change is that the procedures of the former justice system generally require the delivery of documents, and that, under the new justice system, oral hearings are required and a large number of written submissions are required. The average length of work required to deal with one appeal case increased from five days to 15 days in the new system. According to the original judicial system, the respondent submitted two written documents on average for each case, with little or no hearing on appeal cases. Under the new system, the Court often requires a large number of written submissions. In many cases handled by the Administrative Law Section, two to three oral hearings are held in each case, with some cases even more. The hearings will take a lot of time to prepare for consultations with the relevant offices, while preparations for the substantive hearings will require witness identification and interviews with them, familiarizing them with the hearings process and obtaining testimony.","As at 30 June 2009, the Administrative Law Section had four posts: one P-5 post funded from the regular budget (the Chief of Section); one P-4 post funded from the regular budget; and two P-4 posts funded from the peacekeeping support account. In addition, general temporary assistance funds from the peacekeeping support account are available. Because of the large workload from the field and the high requirement for the Administrative Law Section, on 1 July 2009, the General Assembly authorized the establishment of three additional Legal Officer posts (two P-3, 1 P-2) and two temporary positions (1 P-3, 1 P-2) funded from the peacekeeping support account. The Administrative Law Section was divided into the Appeals Unit and the Disciplinary Unit in January 2010. One P-5 post was redeployed from another section of the Human Resources Policy Service. In view of the high workload from field missions, in July 2010, the General Assembly approved the establishment of two additional Legal Officer posts funded by the peacekeeping support account in Nairobi (1 P-4, 1 P-3). In July 2010, the Secretary-General also used a limited discretion to establish three additional temporary positions (1 P-4, 2 P-3) to deal with appeals and disciplinary cases of non-governmental organizations.","The staffing of the Administrative Law Section is 15 legal officers. Currently, the Appeals Unit and the Disciplinary Unit are established under the Administrative Law Section. The Appeals Unit has one P-5 (Chief of Unit), three P-4 and two P-3 staff in New York, one P-4 and one P-3 staff in Nairobi; one P-5 (Chief of Unit), one P-4, three P-3 and two P-2 staff in the Disciplinary Unit. Of these positions, three are funded from the regular budget (1 within the Human Resources Policy Service), 9 by the Peacekeeping Support Account, and 3 by the Secretary-General, using a limited budgetary discretion to fund temporary resources as at 31 December 2011.","An analysis of the volume of administrative law sections indicates that the Section would need to increase the number of posts. On appeal cases, the Appeals Unit received and processed approximately 115 appeals cases submitted to the Dispute Tribunal last year. Each case before the Dispute Tribunal is processed on average by 15 working days, requiring 1,725 working days per year. In addition, the Appeals Unit provides about 400 advice annually, requiring 400 working days each year. The Appeals Unit needs approximately 2,125 working days per year. Based on 27 working days per month, 78.7 work-months are required each year, or 7 posts. The Appeals Unit currently has only five posts, one of which is the Chief of the Unit. The Chief of Unit oversees and guides the work of the Unit and four legal officers deal with cases. Accordingly, three additional Legal Officer posts are required.","Given that approximately 35 per cent of appeals were from peacekeeping missions, 65 per cent from non-peacekeeping offices, six posts should be funded from the regular budget and three posts funded from the peacekeeping support account. However, only one Legal Officer post for the Unit is currently funded from the regular budget. In order to ensure the optimization of the functioning of the Appeals Unit, three additional regular budget posts are required. However, taking into account the current financial constraints faced by Member States, it is recommended that the Appeals Unit should establish two additional posts (1 P-4, 1 P-3) at that time.","Based on the number of disciplinary cases received since 1 July 2009, the Administrative Law Section is expected to receive approximately 150 cases of action each year. These workloads require 3,000 working days each year, owing to the average requirement of 20 working days for the handling of disciplinary cases. In addition, the Disciplinary Unit provides about 200 advice annually, requiring 200 working days. The Disciplinary Unit will need to work for about 3,200 days a year. Based on 27 days of work per month, that amounted to 1185,000 work months, representing the workload of 10 posts. The Disciplinary Unit currently has only six Legal Officer posts, namely four permanent Legal Officer posts and two temporary positions. In addition, the Unit has one Chief of Oversight and Guidance (P-5). Accordingly, the Unit had a shortage of four Legal Officer posts.","Taking into account that about 60 per cent of the disciplinary cases processed were from peacekeeping missions, 40 per cent from non-peacekeeping offices, 4 posts should be funded from the regular budget and 6 posts funded by the peacekeeping support account. However, the Disciplinary Unit currently has no Legal Officer post funded from the regular budget. It is recommended that four permanent posts funded by the peacekeeping support account be maintained. Two additional posts are proposed for conversion from general temporary assistance to established posts in the context of the peacekeeping support account budget for 2012-2013. In order to deal with the workload of the non-peacekeeping office, the Disciplinary Unit will require four additional regular budget legal posts. However, taking into account the current financial constraints of Member States, three additional posts (1 P-4, 2 P-3) are proposed for the Disciplinary Unit at this time.","The Secretary-General sought to add five additional legal posts to the Administrative Law Section. It is noteworthy that, in assessing the resources required by the Administrative Law Section, 27 working days per month, rather than 21.5 working days of the standard. This further demonstrates the heavy workload of the Administrative Law Section and the need for a sustainable resource base.","United Nations Office at Vienna","The United Nations Office at Vienna and the United Nations Office on Drugs and Crime have delegated the full responsibility of the Secretary-General on appeal and disciplinary matters to the Director of the Management Service. These cases and management evaluation requests were dealt with prior to the transfer of disciplinary cases to the Office of Human Resources Management and the daily functions of the Dispute Tribunal on behalf of the Secretary-General were allocated to the Human Resources Management Service, coordinated by the Human Resources Policy Officer of the Branch.","The United Nations Office at Vienna and the United Nations Office on Drugs and Crime continued to note the increase in the number of requests by management to provide legal advice and requests for confirmation of compliance with applicable law, as well as the additional time required to prepare each case for the Dispute Tribunal. In order to familiarize staff and managers with the features of the new justice system, the United Nations Office at Vienna and the United Nations Office on Drugs and Crime continued to hold briefings, luncheon forums and public meetings to send electronic information to the general staff in Vienna and the field, all of which increased the working hours of the human resources team.","The increasing number of appeals cases, coupled with the short duration of the new justice system response, continued to diffuse the capacity to provide legal support to the management of the United Nations Office at Vienna and the United Nations Office on Drugs and Crime. The United Nations Office at Vienna has equipped a full-time human resources policy officer to respond to the increased demands of the new system. However, this is not a long-term viable option, as the human resources team is able to use a limited resources to carry out its regular functions. Accordingly, the United Nations Office at Vienna will require a dedicated Legal Officer at the P-4 level and a Legal Assistant post at the General Service (Other level) to ensure that the continuing needs of the judiciary are fully met. However, as a result of financial constraints, it is recommended that the staff of the United Nations Office at Geneva provide support to the United Nations Office at Vienna.","United Nations Office at Geneva","At the United Nations Office at Geneva, a human resources officer with a legal background reported on behalf of the Organization on behalf of the staff of the Geneva Conventions and their user organizations (Office of the United Nations High Commissioner for Human Rights (OHCHR), the United Nations Conference on Trade and Development (UNCTAD), the Office for the Coordination of Humanitarian Affairs, the Economic Commission for Europe (ECE) and other smaller entities). In addition to temporary P-4 resources, one additional P-3 Legal Officer post funded by user organizations (OHCHR, UNCTAD and OCHA) is required to meet the increase in workload, in particular the increased workload of user organizations. However, such arrangements can be made only by the end of 2011.","As noted above, as a result of the establishment of the new judiciary, the staff submissions are more detailed and require more analytical work and legal studies, oral hearings are more than the original system, while oral hearings are time-consuming. In addition, judges of the Dispute Tribunal often require the respondent to provide detailed information on the elements of the case, thus increasing the workload and requiring additional consultations with the relevant management. The overall result is that the time taken by staff to handle each case is higher than the time spent under the original system.","Managers also request legal advice from legal officers on the preparation of management evaluation requests or decisions. In addition, the United Nations Office at Geneva continued to train managers on the justice system and to inform management of evaluation decisions and court jurisprudence. Finally, legal officers provide support and advice to the Office of Legal Affairs to assist the Office on behalf of the Organization in dealing with appeals cases to the Appeals Tribunal.","Despite the increased workload, the United Nations Office at Geneva did not receive additional resources for the transition to the new justice system. The United Nations Office at Geneva specifically arranged temporary staff to deal with additional time-critical work in order to provide important legal expertise to the Office, although that was at the expense of renunciating the substantial needs of other areas of human resources. These arrangements are therefore considered to be unsustainable in the future.","In order to effectively and properly represent the Secretary-General in the Dispute Tribunal, the United Nations Office at Geneva must seek the views of Headquarters on the issue of additional earmarked legal resources. Specifically, in view of the current workload, the United Nations Office at Geneva will require one P-4 Legal Officer post with litigation experience and one General Service (Other level) Legal Assistant post. As indicated in paragraph 138 above, the P-4 Legal Officer would also need to provide services to the United Nations Office at Vienna and the United Nations Office on Drugs and Crime. The P-3 Legal Officer posts funded by user organizations (OHCHR, UNCTAD and OCHA) in a cost-sharing manner are required to be retained.","United Nations Office at Nairobi","During the reporting period, the United Nations Office at Nairobi filled the Senior Legal Officer position of the Director-General. During the second half of the period, the Senior Legal Officer, on behalf of the United Nations Office at Nairobi, appeared before the Dispute Tribunal. During the reporting period, the human resources officer with legal background, with the assistance of his colleagues in the Administrative Law Section, appeared before the Dispute Tribunal on behalf of the Office in Nairobi. In addition, in view of the limited legal experience of the Human Resources Section, the United Nations Office in Nairobi and UNEP use external legal talents through consultants contracts to assist in the handling of litigation matters in the Dispute Tribunal.","At the United Nations Office at Nairobi, cases involving user offices are dealt with by UNEP or UN-Habitat staff or senior legal officers at the Nairobi Office in a legal context.","The reliance on senior legal officers in the area of justice means that she cannot perform the core functions of the Legal Counsel of the Director-General. Therefore, the Office requested additional resources. Specifically, the United Nations Office in Nairobi will require one additional P-4 Legal Officer post with experience in litigation and one General Service (Other level) Legal Assistant post. These posts also provide services to the Economic Commission for Africa (ECA) with a special high demand for the new justice system.","Regional commissions and international tribunals","Under the new system, the human resources management offices of the regional commissions (ECE, the Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic Commission for Latin America and the Caribbean (ECLAC), ECA and the Economic and Social Commission for Western Asia (ESCWA) and the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda) require additional functions and additional services.","Prior to the transfer of disciplinary cases to the Office of Human Resources Management, the Human Resources Management Service is responsible for regular processing of these cases and management evaluation requests. The Human Resources Management Service also needs to provide managers with advice and guidance on the new jurisprudence of the Dispute Tribunal. In addition, the Human Resources Management Service will need to communicate with the Administrative Law Section on the cases under review, to respond to the requirements of the Dispute Tribunal for the provision of additional information, to communicate with witnesses and to provide the information required to implement the judgement. The judges of the Dispute Tribunal often require the parties to provide detailed information on the elements of the case, thus increasing the workload and the number of consultations with the relevant management. The overall result is that the time taken by staff to handle each case is much higher than the time spent by the original system.","Additional requirements for the regional commissions were not indicated in the previous request for additional resources for the implementation of the new justice system. However, with the implementation of the new system, there is a clear need for additional resources.","ESCAP and ESCWA require one P-4 Human Resources Policy Officer with a legal background to provide internal advice to management and human resources offices. The officer will provide support to ESCAP and ESCWA at the same time. One General Service (Other level) post is also required to support the work of the Officer.","The Legal Officer at the United Nations Office at Geneva will support the work of ECE, while the Legal Officers at Headquarters are responsible for advising ECLAC.","As indicated in paragraph 146 above, the proposed additional Legal Officer post at the United Nations Office at Nairobi will support the work of ECA.","Outreach","Contacts are needed with the regional commissions. The training of managers and human resources officers to disseminate information to them is crucial to maintaining the uniform standards of the organization as a whole and to addressing current systemic issues. Managers need to hear briefings on key issues leading to appeal and how to minimize potential disputes. Human resources officers need training to understand how to prepare and submit responses to management evaluation requests and how information and assistance are provided to the Administrative Law Section in the proceedings. Finally, managers and human resources officers need to be aware of the entire system and focus on the possibility of informal settlement of disputes. They also need training on negotiating and effectively representing the Secretary-General in mediation.","The International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia are currently implementing the completion strategy. Experience has shown that the workload of the Mission has increased. As a result, the number of cases proposed by staff of the International Tribunal for the next three years will increase. In this context, it is important to facilitate contacts with the International Tribunal to ensure that managers and human resources officers have access to updates on specific cases and on cases affecting implementation of the Completion Strategy.","Outreach tasks are to be implemented. The funds required for the implementation of these tasks amount to $30,000. In particular, one Legal Officer in Nairobi is proposed to travel to ECA and the International Criminal Tribunal for Rwanda ($112,500), and one Legal Officer in Geneva is to travel to ESCWA, ESCAP and the International Tribunal for the Former Yugoslavia ($17,500). Accordingly, the Secretary-General requested an additional $300,000 for outreach missions.","In addition, the Dispute Tribunal sometimes held hearings at missions and other duty stations. Legal officers representing the Secretary-General must travel to the venue for the hearing. However, no specific provision has been made in the budget to date for such travel. Accordingly, the Secretary-General requested $30,000 for travel to the Mission's seat at the Tribunal's hearings.","Summary of available resources and resource requirements","The resources and resource requirements of the Administrative Law Section, offices away from Headquarters and regional commissions are presented in the table below.","Resource requirements and requirements","Office regular budget resources (Other level) One P-4 General Service (Other level) at the United Nations Office at Vienna without resources (P-4 human resources policy officers have been redeployed) to the Office of the United Nations High Commissioner for Human Rights at the P-4 level and the Economic and Social Commission for Western Asia without resources to utilize the services of the P-4 Legal Officer at the United Nations Office at Nairobi to the Economic and Social Commission for Western Asia without resources.","AD(a) It is proposed to convert it into a permanent post in the support account budget for 2012-2013.","AD(b) until 31 December 2011.","United Nations Development Programme","The United Nations Development Programme Legal Support Office is the comprehensive legal office of UNDP and its subsidiary funds, and its legal work involves all aspects of corporate law, institutional and administrative law, with a focus on policy and training. Taking into account the demands of the new justice system, the Legal Support Office had to adjust its staffing, as the demand for legal consultations and consultations increased. The Office's Administrative Law Practice Team is currently in operation with one team leader (P-5) (with its own workload), one P-5, two P-4 and two P-3 Legal Officers, with a total of six Legal Officers, assisted by two General Service support staff. The Panel is responsible for dealing with all management evaluation requests, all cases before the Dispute Tribunal, all disciplinary cases, legal advice on policy work, legal training and various legal queries from individual legal obligations to tax and pension issues.","The Legal Support Office is involved in all stages of the informal and formal settlement of the staff's complaints. In the informal phase, the Legal Support Office provided advice and guidance to managers, including human resources offices, country offices and regional bureaux, on the elimination of differences before formal complaints were made. The Office may also seek the intervention of the Ombudsman of the funds and programmes. Since 1 July 2009, the Office has made a significant increase in such preventive work, as more managers have sought legal guidance to ensure that their decisions are in line with the UNDP legal framework, thereby increasing spending on time and resources.","If the issue is not resolved at an informal stage, the Office of Legal Support submits to the Assistant Administrator and the Director of Management a proposal to deal with the management evaluation request, on behalf of UNDP, participate in the mediation process and, in coordination with the Office of Legal Affairs, address cases related to UNDP on behalf of the Secretary-General of the Appeals Tribunal. If justified, the Legal Support Office also recommends that action be taken from a accountability perspective. On 1 August 2010, UNDP launched a new process to deal with management evaluation requests. While the Office continued to review these requests and make recommendations to the Assistant Administrator and the Director of Management, two other senior managers appointed by the Administrator and selected from the roster would need to submit their independent opinions directly to the Assistant Administrator and the Director of Management from a management perspective. This system has been functioning well, although more managers are required to respond to the increased number of management evaluation requests in 2011. A one-time review of granting permanent appointments is expected to result in additional cases.","The Legal Support Office conducts regular training sessions through various existing media to conduct outreach activities to raise awareness among UNDP staff and managers of the new system. For example, the Office launched an online legal course for all managers, with several chapters dealing with the legal aspects of the system of administration of justice. In addition, the Office had to adapt to the time frame for the management evaluation and the reduced time frame for the Dispute Tribunal and the increase in the number of hearings and written submissions requested by the Tribunal. All this has resulted in an overall increase in the workload of its staff. In addition, in view of the increasing focus of the Dispute Tribunal on oral hearings and formal trials, lawyers need specialized training in defence and litigation.","United Nations Children's Fund","The Office of the Chief Adviser to the Office of the Executive Director is fully responsible for UNICEF legal support and advice. The Human Resources Division handles requests for management evaluation and represents UNICEF in the Dispute Tribunal. In order to adapt to the increased workload resulting from the start-up of the new system, UNICEF has adapted its staffing, capacity and standard operating procedures, with particular attention to requests for management evaluation and opportunities for mediation.","Office of the United Nations High Commissioner for Refugees","Prior to the reform of the system of administration of justice, the Administrative Law Unit of the Secretariat conducts administrative review of the decisions of UNHCR staff. UNHCR is now conducting its own management evaluation and has delegated the evaluation to the Deputy High Commissioner. The Legal Affairs reporting directly to the Deputy High Commissioner provides advice on all management evaluations.","UNHCR has very positive experience in the management evaluation process, which enables managers to carefully review their decisions and to take remedial action and review and improve their work procedures before cases are upgraded to the Dispute Tribunal. In many cases, the management evaluation process has also renewed the dialogue between UNHCR and staff.","The Director of the Human Resources Management Division, representing UNHCR, appeared before the Dispute Tribunal. The Legal Affairs advises the Director on all outstanding cases.","UNHCR was very focused on early informal treatment of grievances, and the UNHCR Ombudsman participated in many cases informally. However, since the introduction of the new justice system, staff have attempted to deal with grievances through the formal system.","UNHCR continued to support the work of the Staff Legal Assistance Office, which had seconded one Legal Officer without compensation to the Office in Geneva.","United Nations Office for Project Services","The United Nations Office for Project Services (UNOPS) is small and has not received many cases. While there is no legal department specifically dealing with such cases, UNOPS has at Headquarters one Legal Officer responsible for monitoring developments in the justice system, including the jurisprudence and practice of the Dispute Tribunal and the Appeals Tribunal. Each case before the Dispute Tribunal and any question that may become a case, including a request for management evaluation, are dealt with by the UNOPS Legal Officer at the regional office in which case or issue is concerned, with the support of the Headquarters Legal Officer referred to above. This work was carried out under the overall supervision of the overall UNOPS legal adviser. In accordance with Secretary-General's bulletin ST/SGB/2008/13, the Office of Legal Affairs administers all appeals cases to the Appeals Tribunal relating to UNOPS.","To date, the new justice system appears to be much more formal than the original system. In the new system, the manner in which the case is dealt with is similar to those used by many national courts, and the number of oral hearings is only one example.","Thus, the time required to deal with cases by lawyers and non- lawyers has increased significantly. In addition, staff may request many documents. The Dispute Tribunal generally favoured the granting of such requests, which would require considerable work by the Organization.","United Nations Population Fund","The United Nations Population Fund (UNFPA) employs two legal officers who provide UNFPA with a range of legal support and advisory services, including on behalf of UNFPA in the Dispute Tribunal. UNFPA continues to pay special attention to management evaluation issues, with particular attention to alternative options for resolving disputes, including mediation.","Legal Department on behalf of the Secretary-General at the United Nations Appeals Tribunal","Office of Legal Affairs","As the central legal services of the Organization, the Office of Legal Affairs provides legal advice to the Secretary-General, departments and offices of the Secretariat and United Nations agencies in a number of areas, including the new areas of the administration of justice system. Within the Office of Legal Affairs, the organizational unit responsible for this responsibility is the administrative and management team of the General Legal Affairs Division. The functions of the Division in this area are outlined below.","The responsibilities of the General Legal Affairs Division in the administration of justice system relate to informal and formal phases of dispute resolution. The Division provides advice to departments and offices of the Secretariat, funds and programmes at the initial stages of the staff complaint, that is far from being brought into the proceedings before the development of the complaint is made. For example, the Division was requested to provide input during the management evaluation phase and during the negotiations.","Upon the development of the complaint to the formal stage and the application of staff to the Dispute Tribunal, the Department of General Legal Affairs advises entities representing the Secretary-General on a regular basis at the first level of the judicial process. These entities include the Administrative Law Section and the counterparts in Geneva, Vienna and Nairobi. Under the new administrative justice system, entities within the funds and programmes (UNDP, UNOPS, UNICEF, UNFPA and UNHCR) appear before the Secretary-General in the Dispute Tribunal; the Division may request advice to the funds and programmes. In addition, as a result of a comprehensive understanding of the evolving jurisprudence of the new system, the Division provided information on the legal developments of the new system to all entities represented in the Dispute Tribunal, shared legal arguments in order to provide guidance on the various issues that were before the Court and for its use. Such advice ensures coherence in the legal strategy and arguments put forward by the Secretary-General on policy and principles. In this context, the Division draws the attention of the relevant units to the judgement of the Dispute Tribunal that has a significant impact on the Organization.","The General Legal Affairs Division also appeared on behalf of the Secretary-General in the Appeals Tribunal. This responsibility includes both appeals against the judgement of the Dispute Tribunal and a reply to the appeal made by the staff. The Division performs this function for departments and offices of the Secretariat and funds and programmes. In order to determine whether an appeal against a judgement is in the interest of the Organization, the Division must review and analyse each judgement of the Dispute Tribunal and consult with entities representing the Secretary-General before the Court. It is therefore necessary to study and analyse all the necessary facts and legal issues raised by the Dispute Tribunal and, where appropriate, draft written appeals or responses.","In addition to providing advice on matters relating to the administration of justice system, the General Legal Affairs Division also advises them on the interpretation and implementation of the Staff Regulations and Rules or other personnel policies and practices before administrative decisions are taken by departments and funds and programmes of the Secretariat, such as those for dismissal. Most of the requests for such advice were from the Department of Management (including the Office of Human Resources Management, the Advisory Committee on Claims, the Medical Division or the Insurance Section), but there were requests from funds and programmes, UNHCR and offices away from Headquarters. Finally, the Division is also responsible for reviewing, advising and confirming its legitimacy before each administrative notice related to human resources management policy is issued.","The responsibilities assumed by the General Legal Affairs Division in relation to the new justice system go far beyond the forecast, resulting in a significant increase in the Division's workload. Prior to the commencement of the new system, the Secretary-General had submitted a report on the resource requirements of the system, at which the Advisory Committee on Administrative and Budgetary Questions had not approved any post requested by the Office of Legal Affairs, which considered that “the resolution of disputes by informal means might lead to a reduction in the cases of recourse to the Tribunal” (see A/62/7/Add.7, para. For that reason, the Advisory Committee was of the view that the reasons for the increase in staff were not sufficient and therefore recommended that those posts should not be approved prior to the assessment of actual needs. The Advisory Committee assumes that the vast majority of cases will be resolved before recourse to the Dispute Tribunal. However, contrary to this presumption, the General Legal Affairs Division needs to provide legal advice to a wider client on the increasingly complex issues, which have a significant financial, legal and operational impact on the Organization and the need for advice is more urgent.","Under the original system, only a judicial review, i.e. the United Nations Administrative Tribunal. There are now two-tier reviews. Under the original system, the Administrative Tribunal is functioning on a part-time basis, with two sessions per year, and under the new system, the Dispute Tribunal operates one year to the first time, and the Appeals Tribunal has three annual sessions.","Because of these significant institutional changes in the system, the General Legal Affairs Division needs to review and provide an increase in the number of judgements that provide advice. Under the original system, the United Nations Administrative Tribunal rendered 65 judgements in 2009. In contrast, under the new system, the Dispute Tribunal rendered 218 judgements in 2010 and 100 judgements by the Appeals Tribunal. Thus, the total number of judgements under the new system is approximately five times the number of judgements under the original system.","Under the new system, the submission of the General Legal Affairs Division has also increased significantly. Under the original system, the Division presented an average of 63 submissions annually to the United Nations Administrative Tribunal. In contrast, the Division presented 150 copies in the new system in 2010 (114 submissions in cases originating from the Secretariat, including peacekeeping missions and 36 submissions from funds and programmes and UNHCR). As a result, the number of submissions under the new system increased by about 40 per cent compared to the number of submissions under the original system.","The impact of the new system on the General Legal Affairs Division is not only an increase in the number of appeals to the Appeals Tribunal; the nature of the Division's work in this regard has also changed significantly. Under the original system, the Division drafted a time frame for the reply to the United Nations Administrative Tribunal (6 months). These responses are usually based on the established jurisprudence of the Administrative Tribunal, and therefore the Division's work is simple and manageable. However, under the new system, the time frame for appeal and appeals was reduced to 45 days. Moreover, while the statute of the Appeals Tribunal provides for a period of 45 days, the Appeals Tribunal will also shorten the time frame for the submission of interlocutory appeals to 15 days. In addition, the introduction of the new system of administration of justice means that the past practice of the Organization and the jurisprudence of the Tribunal are being reviewed by the new courts. The ensuing uncertainty with regard to the legal norms and principles to which managers should apply means that the Division is now more frequently requested to provide advice to other departments, including by providing advice to entities representing the Organization before the regular hearings of the Dispute Tribunal. This contrasts with the original system and, under the original system, a submission to the Joint Appeals Board and the Joint Disciplinary Committee is based on the established jurisprudence of the Administrative Tribunal requesting the Division to provide advice on these procedures.","All of these factors are more complex in many areas of human resources management, such as contractual reform, harmonization of conditions of service. These reforms have also made additional requests to the General Legal Affairs Division to review administrative notices, confirm their legitimacy and provide advice on the interpretation and implementation of the Staff Regulations and Rules.","Currently, the General Legal Affairs Division, funded by the regular budget, has two Professional posts (1 P-5 and 1 P-3) and one General Service post. As at 1 July 2010, the Secretary-General had taken advantage of his limited budgetary discretion to provide six P-3/P-4 posts and two General Service (Other level) posts for a limited period ending 31 December 2011. The Division also includes one P-4 post funded by the peacekeeping support account. In addition, the Division was recently informed that on 1 July 2011, the General Assembly approved one P-4 and one P-3 temporary post funded by the peacekeeping support account. In summary, unless additional resources are approved below, the Division will have a total of five Professional posts and one General Service post to deal with internal justice and management issues.","Finally, as the demand for the services of the Division goes beyond expectations, it will put the Division under pressure, which will weaken the Division's ability to provide legal advice not only in the area of administration of justice, but also on other issues in a timely and comprehensive manner.","Ensuring that the Division has the capacity to provide legal advice in the area of administration and management will avoid creating long-term adverse financial, legal and operational impacts on the Organization as a whole, particularly in the critical stages of the development of court jurisprudence. For example, in 2010, the Division, on behalf of the Organization in the Court of Appeal, contributed to the determination of the parameters of the award, helping to clarify the principles of the review of the Secretary-General's discretion. These appeals have resulted in significant cost savings for the Organization and the development of basic principles will benefit the Organization in the long term.","In order to meet the significant increase in the services requirements of the Office of Legal Affairs under the new system, the General Legal Affairs Division will require eight additional regular budget posts (6 P-3/P-4, 2 General Service (Other level)) to address the administration of justice and management issues. However, the Secretary-General, taking into account the current financial constraints of Member States, has requested only three additional regular budget posts (2 P-4, 1 P-3) for the General Legal Affairs Division. In this regard, it should be noted that the Division is the only unit in which some two thirds of the posts requested (from 8 posts to 3 posts) have been reduced compared to the previous report, while it is the only unit that has not been provided with long-term resources owing to the establishment of a new system. Approves the establishment of two general temporary assistance posts funded by the peacekeeping support account effective 1 July 2011.","Replies to questions relating to the administration of justice","Overview","The present section responds to the issues set out in General Assembly resolution 3951.","Responses","Staff Legal Aid Office support mechanisms","The Secretary-General's response to this request is set out in annex I to the present report, in paragraphs 40 and 41 of resolution 40 and 41 requesting proposals for the support mechanism for the Office of Staff Legal Assistance.","These proposals were consulted with staff at the meetings of the Staff and Management Coordination Committee held in June 2011. At that meeting, staff reiterated that the options for establishing a mechanism funded by staff were not acceptable, as the cost of representing staff should be borne by the employer. Staff noted that the establishment of the Office of Staff Legal Assistance by the General Assembly was part of the system of administration of justice within the Organization and that the costs associated with the operation of the Office constituted a cost for the Organization. They called upon the General Assembly to provide the necessary resources to ensure that both parties (staff and management) receive “equal armed”.","Complaints mechanisms for outsiders","In paragraph 55 of its resolution 63/251, the General Assembly requested that a proposal be made with respect to the mechanism for the compilation of complaints by outsiders, as set out in annex II to the present report.","Decentralization of the powers of disciplinary measures","In paragraph 51 of its resolution 63/251, the General Assembly requested detailed proposals on the delegation of authority to take disciplinary measures, which the Secretary-General responded to.","Background","The possibility of decentralization of disciplinary measures to heads of missions and heads of offices away from Headquarters was initially raised by the Secretary-General at its sixty-second session. This is based on the recommendations of the redesign of the Panel's report and the results of the twenty-eighth session of the Staff and Management Coordination Committee. The issue was discussed at that session and a proposal was made. In principle, the General Assembly agreed to decentralization of disciplinary measures to heads of missions and heads of offices away from Headquarters, and requested the Secretary-General to submit a report thereon containing possible options.","The Secretary-General, taking into account the recommendations of the Coordinating Committee, has proposed the limited delegation of authority for disciplinary measures. Accordingly, the heads of missions and heads of offices away from Headquarters are given the authority to impose minor penalties (warnings and fines) if required. The General Assembly requested the Secretary-General to make new proposals at its sixty-fifth session.","In the light of the fact that a number of prerequisites have not been met, the Secretary-General proposes that the recommendations of the limited delegation of authority previously submitted prior to further analysis should not be implemented. However, the General Assembly once again requested the Secretary-General to submit a report at the sixty-sixth session of the General Assembly containing possible options for the delegation of authority for disciplinary measures. The proposal contained in the present digest was prepared in response to that request.","Status of handling of disciplinary cases","There have been no significant developments since the Secretary-General's previous report on the administration of justice, but there have been a number of new developments. The Office of Human Resources Management initiated the revision of the administrative instruction on revised disciplinary measures and procedures (ST/AI/2007/1/Amend.1). The Court's new jurisprudence indicates that, compared with previous administrative court jurisprudence, the Tribunal is analysing and interpreting the United Nations Staff Regulations and Rules in a new sense. In particular, both Tribunals were interpreting the procedural and substantive standards required by the Organization throughout the period leading to disciplinary measures, including the assessment of allegations and complaints, the quality of investigations reports, the appropriate procedural rights to be enjoyed by staff during the process, and the proportionality of measures taken. It must be noted, however, that disciplinary cases brought before the Court relate to cases reviewed by the Office of Human Resources Management in accordance with the jurisprudence and standards of the Administrative Tribunal. As a result, the number of cases received and closed under the new system after 1 July 2009 will be subject to appeal and will remain to be observed.","From 1 July 2009 to the end of the reporting period, the Administrative Law Section of the Office of Human Resources Management closed 357 cases, of which 216 were missions. In 71 of the 71 cases, disciplinary measures were taken, as follows: 19 cases had been dismissed, 17 cases had taken measures of separation, 4 cases had been taken in pre-vocational measures, 5 cases had been repressed and reduced or delayed the upgrading of functional/level measures, 14 cases had taken corrective and fine-tuning measures, and one in one case had taken corrective and psychological counselling measures.","Since 1 July 2009, the Administrative Law Section handles disciplinary cases involving staff serving in field missions accounting for 70 per cent of the number of cases in 2009/10, accounting for nearly 60 per cent of the 2011 cases.","The Administrative Law Section handles some of the required time to deal with a disciplinary case from time to time when it was transferred to it, depending on the merits and the complexity, ranging from 3 to 11 months. However, this slightly time was the time required under the best conditions and did not count on the current backlog of cases, including cases that had not been closed before the introduction of the new judicial system, namely: (a) 170 cases to be handled by the Office of Human Resources Management prior to the introduction of the new justice system; (b) 30 cases that had been sent to the Administrative Law Section on 1 July 2009 in cases where the Joint Disciplinary Committee was pending or decided by the Deputy Secretary-General in accordance with the report of the Committee. These cases are expected to be closed by the end of 2011.","During the period 2006-2008, a disciplinary case was closed on average for 17 months. The cases dealt with during this period were considered by a group established by the Joint Disciplinary Committee in addition to the cases recommended for dismissal. The Administrative Law Section brings the case to the Commission for an average of eight months. Since the introduction of the new system, the Section will have an average of 11 months to complete its case after 1 July 2009.","The dismissal of the Joint Disciplinary Committee has effectively increased the responsibility of the Administrative Law Section to review the merits of each case in accordance with chapter X of the Staff Regulations on disciplinary measures and to analyse them, most of which were previously assumed by the Committee. In view of the increased review by the Dispute Tribunal, the Section also conducts a more detailed analysis and undertakes follow-up with the investigative entity at every stage of the process.","Review of options","The introduction of a new justice system on 1 July 2009 significantly changed the procedures for dealing with disciplinary cases. The dismissal of the Joint Disciplinary Committee, inter alia, transferred the real assessment responsibility of the case to the Office of Human Resources Management.","There are three major bottlenecks in the current multi-step process, each of which involves ensuring careful analysis and respect for the appropriate procedural rights of the staff: (a) the shortness of the investigation process and the quality of other investigations carried out by impartial investigation and non-special investigators; (b) the time required to comment on the part of staff accused of misconduct; and (c) the time spent on other information from the investigative entity.","The simple delegation of authority does not eliminate existing bottlenecks, as existing procedures and new jurisprudence of the courts dealing with disciplinary matters will continue to require a very careful review. In addition, decentralization to the field may lead to more duplication of effort, making decisions less consistent.","Partial delegation of authority","Part of the delegation of authority means that the delegation of authority to heads of missions and offices away from Headquarters will take less rigorous disciplinary measures (e.g. fines and censure).","However, since only a limited number of cases have been fined and reprimed, this option would not significantly reduce the time of disciplinary proceedings. Thus, the existing bottlenecks will not be processed, resulting in duplication of work between the field and the Office of Human Resources Management. In the light of the increase in costs caused by some delegation of authority, including the fact that the Department of Management has delegated legal officers to assist in the process of disciplinary proceedings, the Administration considers that this is not a viable option at this stage.","Full delegation of authority","If the delegation of authority is fully delegated, heads of missions and heads of offices away from Headquarters may take any disciplinary measures in accordance with the disciplinary procedures currently applied at Headquarters. The full delegation of authority could increase the authority of the field and reduce communication links between the field and Headquarters, but the main disadvantage was the possibility for staff from different parts of the Organization to be inconsistent and non-equal. The inconsistency decision would also increase the number of appeals to the Dispute Tribunal, resulting in an increase in costs. Therefore, the Administration considers it inappropriate to take a fully decentralized approach.","Decentralization","The current centralization system will continue if the authority to take disciplinary measures is still fully owned by the Under-Secretary-General for Management. In this context, the Department of Management will continue to consider disciplinary cases in a holistic manner and, most appropriately, to ensure that such cases are analysed and processed in the most efficient and coherent manner.","Proposed short-term measures","Some delegation of authority or full delegation of authority are not currently the best option, but there is a clear need for action to address delays in disciplinary cases. To this end, the following measures have been proposed to expedite the investigation and treatment of disciplinary cases:","(a) To test the feasibility of decentralizing a portion of the critical part of the administration of justice through the establishment of a service base covering a group of missions. Resources will include legal officers, conduct and discipline officers and resources available at the service base or area, such as investigators, ombudspersons and the Staff Legal Aid Office. Each function has a clear mandate and reporting relationship to preserve the independence of the investigation, the appropriate procedural rights of staff facing disciplinary proceedings and the integrity of disciplinary procedures. While the authority to adopt disciplinary measures is still owned by the Under-Secretary-General for Management, it is expected that the elements of the investigation and disciplinary proceedings will be closer to the case, which will help to reduce the time required to handle cases. The pilot project will cover a number of field missions in Africa (to be identified) and will be based in Nairobi. This would facilitate the establishment of a future infrastructure if the experience gained from the pilot project supported further delegation of authority, including delegation of authority to offices away from Nairobi (and other offices away from Headquarters);","(b) High priority cases will be addressed through the “fast vehicle” approach, whereby cases are prioritized by all relevant units (the Department of Field Support, the Office of Human Resources Management and the Office of Internal Oversight Services (OIOS). Taking into account the request of the heads of missions and the appropriate reasons, the high priority cases will be expedited and will be processed in accordance with the guidelines to be elaborated, in which it recognizes the operational independence of existing procedures, such as OIOS and its case, but, in addition, the procedures applicable to the handling of disciplinary matters;","(c) The authority to grant paid administrative leave to staff will be transferred by the Assistant Secretary-General for Human Resources Management to the Under-Secretary-General for Field Support. This would reduce the process of granting staff paid administrative leave. The authority to leave the staff without pay for administrative leave remains all of the Department of Management;","(d) Establish an interdepartmental working group on delegation of authority in disciplinary matters.","The Secretary-General will submit a comprehensive report on this matter to the General Assembly at its sixty-eighth session.","The proposed measures were discussed by the Staff and Management Coordination Committee at its thirty-second session. The Meeting agreed that management would share progress reports with staff and would establish a mechanism for regular briefings to staff representatives on the progress of the project.","Recommendations","Requests the General Assembly to approve the proposals detailed in paragraph 208 above.","Impact of the new system of administration of justice on staff-management relations","With regard to the request in paragraph 54 of General Assembly resolution 3951, the Secretariat, UNDP and UNICEF were of the view that reporting on the impact of the new system on staff/management relations and on the performance of staff and managers was premature and that more time was needed to properly assess whether there was a systematic impact. The relationship between staff-management has changed in three agencies. In particular, managers are increasingly aware of the impact of their decisions and wish to ensure that they are in line with the relevant rules and policies. As a result, programme managers were asked to provide additional queries to legal officers prior to the decision. Managers also clearly wish to gain greater knowledge of the system and, in general, to make the right decision in the case.","Therefore, it is possible to conclude that the new judicial system is leading to a climate that emphasizes the prevention of disputes and that programme managers are more frequently consulted with lawyers when it is not possible to avoid a dispute to ensure that their decisions are consistent with legal and policy provisions. In the course of avoiding disputes or informal settlement of disputes, a wide range of common consultations were held with staff representatives concerned and the United Nations Ombudsman or funds and programmes.","Although these emerging practices have been identified, it is also evident that not all managers are well aware of the requirements of the new system. Thus, in terms of performance, more time is needed to determine whether these emerging practices are becoming a trend.","Staff performance assessments are expected to be treated very seriously by managers and feedback is provided regularly to their subordinates so as to ensure that the decisions taken in the assessment report are properly documented. However, it is too early to comment on whether this has become a trend. It is equally difficult to predict whether staff and managers will actively increase performance under the new system.","Cost-sharing arrangements","With regard to the request contained in paragraph 57 of General Assembly resolution 3951, the Secretary-General responded to the following questions.","Since the General Assembly, in its resolution 62/228, decided to establish a new system, the Secretariat has been engaged in formal and informal discussions with representatives of the funds and programmes (UNDP, the United Nations Office for Project Services, UNICEF, UNFPA and UNHCR) in order to establish arrangements for cost-sharing at the head level. In terms of cost-sharing at the head of the person, the costs are based on the number of staff members. Based on the above discussion, the Secretariat prepared a preliminary draft memorandum of understanding and distributed it to funds and programmes for comments. Subsequently, a joint meeting was held to discuss issues raised by the funds and programmes. Following discussions with the main stakeholders of the Secretariat, the Secretariat circulated a revised draft memorandum to the funds and programmes for further comments from the funds and programmes. The revised draft memorandum also includes a new United Nations gender equality and the empowerment of women as part of the arrangement. In early March 2011, a meeting was held with the parties concerned to discuss the draft revised memorandum, with funds and programmes having submitted a formal letter of coordination in May, including issues to be addressed. In June, the Secretariat presented a formal response to the issues to be addressed, which resulted in further consultations in July. To date, most of the outstanding issues have been addressed by the parties, but some aspects of the integrated functions of the decentralization of the Ombudsman, including mediation services, are still required (as a result of funding from the funds and programmes for their respective ombudspersons in the Integrated Office and some clarifications are provided to their respective executive heads. For example, questions were raised with regard to the structural problems between the funds and programmes Ombudsman and regional ombudspersons, including accountability and referral mechanisms, and questions were raised regarding mediation services in cases involving staff members of the funds and programmes. It was agreed that the link line between mediation and regional ombudsmen and the funds and programmes ombudspersons would bring to an end the cost-sharing discussion on the remaining special aspects. The parties recognized that a cost-sharing arrangement was very urgent and committed to concluding it as soon as possible.","Training of actors in the system","With regard to the request made by the General Assembly in paragraph 61 of resolution 3951, the Secretariat responded to the following.","In June 2009, the new judges of the Tribunal participated in the inauguration training organized by the Office of the Administration of Justice, which provided a brief overview of the Organization's institutional and management framework. The staff of the Registry participated in training courses on the management of the International Criminal Tribunal for the Former Yugoslavia, the International Criminal Tribunal for Rwanda and the Court of Civil Servants of the European Union. Staff Legal Aid Office staff participated in dispute resolution training courses organized by the International Criminal Tribunal for the Former Yugoslavia staff and practitioners of the Defence Counsel in The Hague.","The Department of Management has employed a legal counsellor, which is the legal officer of the Administrative Law Section. Legal officers also participated in a one-week intensive defence training course organized by national legal training institutions. In addition, they participated in conflict resolution training courses organized by UNDP and the Ombudsman.","UNDP organized a defence training course for legal officers appearing in the Tribunals, chaired by the experienced staff of the International Tribunal for the Former Yugoslavia and senior lawyers from the British legal community. Given the importance of such training for the legal officers of the new professionalized formal system, it is envisaged that a similar training course will be held later in 2011. UNDP and the United Nations Ombudsman and the Mediation Office jointly organized a workplace dispute resolution training course, involving over 100 staff, including some senior officials.","All participants in the system, including judges, their staff and legal officers representing staff and management, need to be regularly involved in training aimed at strengthening legal education. Legal officers are required to participate on a regular basis in oral and written defence training to maintain and enhance their skills. Enhanced training in court management practices, including education exchanges with other International Tribunal staff, will benefit staff of the Dispute Tribunal and the Appeals Tribunal Registry. In addition, joint training of actors in the system also yields benefits, not only for cost savings but also for exchange of views and best practices.","The participation of judges in legal meetings and legal seminars is also beneficial to engage with other international tribunals, senior scholars and other participants in the discussion of legal and judicial practices related to their professional activities. At present, the budget of the Office of the Administration of Justice is inadequate and it is difficult to involve judges.","The establishment of a judicial library for collection books at each court location will help to increase the level of judges and staff. In addition, sustained judicial education through the holding of annual meetings of all education, including, where appropriate, external lecturers and facilitators. The topics to be explored included cross-cultural communication techniques, the latest developments relating to international civil service law, the application of international norms, the application of ILO conventions to international civil service law and the comparative approach to legal issues.","Finally, it may be useful to consider further judicial training for judges in the context of the legal framework of United Nations agencies and bodies that have access to the United Nations system of administration of justice. In order to ensure dialogue among the judicial personnel of different international tribunals, a joint United Nations judicial seminar may be organized to focus on international administrative law issues, including judges of the Dispute Tribunal and the Appeals Tribunal, judges of other tribunals, and legal scholars where possible. In addition, all participants need training to make the courts more uniform and consistent when applying the standards.","The current system, after two years of operation, still needs to be disseminated to staff to describe informal and formal approaches to dispute settlement, in particular the relationship between them. To assist staff, the Office of the Administration of Justice prepared a user-friendly manual in all official languages of the United Nations. The Office has also established a comprehensive website with all official languages on the various elements of the regular system, including the web page prepared for the Office of Staff Legal Assistance and the updated database on the jurisprudence of the two Tribunals.","Training resources specifically related to informal dispute resolution and mediation will be included in the report of the United Nations Ombudsman on the informal justice system.","Timelines for dealing with disciplinary cases","In its resolution 63/251, the General Assembly approved the recommendations of the Advisory Committee on Administrative and Budgetary Questions in its report on the administration of justice at the United Nations (A/65/557), including the request for the Secretary-General to include in his report on the administration of justice to be submitted to the General Assembly at its sixty-sixth session.","The response to this request has been combined with the response to the request for a proposal for decentralization of disciplinary power, as reflected in paragraphs 191 to 210 above.","Information requested by the General Assembly in paragraph 53 of its resolution 63/251","In paragraph 53 of its resolution 63/251, the General Assembly requested the Secretary-General to include in his report on the administration of justice to the General Assembly at its sixty-sixth session the following information:","(a) Clear statistical information on the cases received and processed by the Tribunals during that period, including the provision of disaggregated information on the complainant's or the accused's winning v. and the administrative issues involved;","(b) An analysis of trends over a number of reporting periods in order to identify systemic issues leading to the use of the system of administration of justice and to monitor whether these issues have been effectively addressed;","(c) Details on the compensation provided, as well as the related indirect costs of appeal (e.g., staff working hours), including the identification of those aspects in personnel management resulting in significant appeals;","(d) Details on the payment of compensation to staff amounting to six months of salary or even greater compensation, indicating the departments and offices involved, the location of those offices and the merits details.","In the case of paragraph 53 (a) of General Assembly resolution 63/251, the Secretary-General provided information on the Dispute Tribunal and the Appeals Tribunal in paragraphs 30 to 41 and 65 to 72 above. More information is contained in annex III to the present report.","For paragraph 53 (b) of General Assembly resolution 63/251, the Secretariat responded to the following.","Statistics show that the most controversial decision of the organization as a whole relates to issues related to selection and appointment. The decision-related claims account for about 40 per cent of all claims. This is why. First, previous administrative instructions on the selection of staff are vague in the priority of internal candidates. Secondly, according to administrative notice, the filling of a position would be subject to a number of procedures; there was a risk that allegations of procedural error might be made against the selection and appointment process. Thirdly, unselected staff often alleged that they were not chosen because of external factors. Fourthly, staff alleged that their e-PAA assessment was inconsistent with its vacancy selection evaluation and was therefore unfair to assess their qualifications. Finally, the jurisprudence of the Dispute Tribunal concerning the scope of the discretion of the executive in the selection process and the question of the burden of proof and criteria for the selection process is inconsistent.","The executive branch has addressed the following issues:","(a) In September 2009, the Assistant Secretary-General for Human Resources Management identified the vagueness of the provision on priorities and sent a notice to all offices to clarify the procedures for considering internal candidates;","(b) In April 2010, an administrative instruction on the staff selection system was abolished and replaced by a new administrative instruction (ST/AIPD3). The priority provisions are no longer part of the policy;","(c) In October 2010, the Under-Secretary-General for Management issued a “Guidelines on Lessons learned” to provide guidance on the selection process for staff;","(d) The executive appeal against the decision of the Dispute Tribunal incompatible. The Court of Appeal's jurisprudence of March 2010 further clarified the scope of the Secretary-General's discretion in the selection decision and the responsibility and criteria for the proof;","(e) The jurisprudence of the Appeals Tribunal will help to respond to the factual argument that staff are aware that the performance appraisal and the pre-election evaluation are inconsistent and will also help to address the allegations of prejudice. The Court of Appeal found that when the staff had made such allegations, they had the responsibility to provide clear and convincing evidence to support their claims.","With regard to other types of cases, it was recognized that the decision not to continue was often blamed for failure to comply with the procedures set out in the performance appraisal system. The Under-Secretary-General for Management addressed this issue in a circular to management, detailing the jurisprudence of the Dispute Tribunal and making managers aware of the need for compliance with the electronic performance appraisal system process.","The “Guide for Lessons learned” focusing on the non-renewable issue of fixed-term appointments was issued in August 2010. The guide directs managers to adhere strictly to rules and procedures, document the decision-making process and adhere to the performance appraisal process.","In addition, an administrative instruction entitled “A Performance Approval Management and Development System” was issued on 30 April 2010. The instruction updated the performance evaluation policies and procedures and addressed delays in completing the EPA assessment.","Disciplinary measures often result in appeals. This is another area in which the jurisprudence arising from the Dispute Tribunal continues to evolve. Specifically, the question of the exercise of the discretion of the Secretary-General has been revisited by the Dispute Tribunal on several occasions. The Administration appealed these decisions. At the beginning of 2011, the Appeals Tribunal rendered a judgement emphasizing that the Dispute Tribunal was not a decision-makers and that its role was limited to a limited judicial review of the Secretary-General's exercise of his extensive administrative discretion.","As a measure of the subject of several judgements, staff members were given special leave in the course of investigating allegations of misconduct. The Dispute Tribunal ruled that such measures would not be appropriate if the disciplinary proceedings were not concluded. As a result, the Administration revised the rules and promulgated staff rule 10.4. This article specifically stipulates that staff members will be given administrative leave before the end of the investigation. Previous staff rules require charges against staff members prior to their suspension. The new Staff Rules provide that staff members may be granted administrative leave at any time during the investigation until the completion of the disciplinary process.","An important topic for appealing the judgement of the Appeals Tribunal was the question of compensation. The Court of Appeal has reversed a number of awards of compensation, and the principles that should be applied by the Dispute Tribunal have been clarified. Specifically, the Court of Appeal has found that successful claimants have the right to compensation - if money is available — to bring them into compliance with their terms of appointment.","For the purposes of paragraph 53 (c) of General Assembly resolution 63/251, detailed information on the compensation paid is provided in annex III to the present report. The Secretary-General responded to the indirect costs associated with appeals, such as the time of staff, including the identification of all aspects of the administration of staff that gave rise to significant appeals.","In order to calculate such indirect costs, all stakeholders in the system of administration of justice agreed that the total number of hours spent by staff in 2010 related to the judgements of the Dispute Tribunal and the Appeals Tribunal should be added. They also agreed that a P-4 Legal Officer could be used as an average of 40 hours per week and 45 weeks per year. In addition, 20 per cent reflects additional work time hours for management and senior management to review cases and administrative support.","The documents submitted by the Registry of the Dispute Tribunal, the Office of Legal Affairs, the Office of Human Resources Management, UNDP, UNICEF, the United Nations Office for Project Services, UNFPA, the Management Evaluation Unit and the Staff Legal Aid Office for the calculation of time used in cases where the judgement was delivered by the Dispute Tribunal. The Registry of the Appeals Tribunal, the Office of Legal Affairs and the Staff Legal Aid Office provided documentation for the calculation of the time used in the case of the Appeals Tribunal. The average of the cases of the Dispute Tribunal and the Appeals Tribunal are presented below. The methodological description of these figures may be requested.","It should be noted that the number of cases used may vary considerably. In addition, the figures provided by the Staff Legal Aid Office do not reflect the time spent by volunteers in cases, nor do the Office spend considerable time in providing brief advice or dealing with cases that do not result in formal appeals.","Taking into account the information provided by each unit and entity, the average staff time used by the Dispute Tribunal in one case was 400.3 hours, with the Appeals Tribunal having a case of 2.30.5 hours per month (at 40 hours per week for a P-4 staff member and 45 weeks per year).","For the purposes of paragraph 53 (d) of General Assembly resolution 63/251 on compensation for six months or above, the Secretary-General provides information on such compensation in annex III to the present report.","Issues relating to the review by the General Assembly of the statutes of the Tribunals","Introduction","In paragraph 46 of its resolution 9851, the General Assembly decided that “to extend to the sixty-sixth session of the General Assembly the experience gained to review the statute of the Tribunal, including the overall efficiency of its functioning”. In order to assist the General Assembly in reviewing the statutes of the Tribunals, the Secretary-General raised the following questions for consideration by the General Assembly. In raising those issues, the Secretary-General stressed that the discussions on those issues should not impede the principle of judicial independence. Since the General Assembly is the body to establish two tribunals, adopt their statutes, approve their rules of procedure, it shall determine what action has been taken on these issues or whether it is acted.","Rules of procedure of the Tribunals","Article 7 of the statute of the Dispute Tribunal stipulates that the Dispute Tribunal shall be subject to the approval of the General Assembly. Similarly, article 6 of the statute of the Appeals Tribunal stipulates that the Appeals Tribunal shall be subject to the approval of the General Assembly. As the General Assembly will consider the report on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal (A/66/86), the Secretary-General submits to the Assembly the views of the following relevant procedural rules for its consideration.","Consultations on amendments to procedural rules","The statutes of the Tribunals do not currently provide for proposals by the parties on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal or for participation in consultations. Since the parties appearing before the Court have made important views on the implications of the proposed amendments, prior consultations with them facilitate the process of revising the rules of procedure of the Tribunals. The statutes or rules of procedure of the two Tribunals do not specify, without prejudice to consultations with the parties prior to amendments to the rules of procedure. It is noteworthy that, while the statute and procedural rules of the International Tribunal for the Former Yugoslavia do not provide for the consultation process for amendments to the rules of procedure, in practice, the participation of the Registry, the Prosecutor's Office and the defence counsel in a “Rules Committee”, the Commission was established to consider these amendments before judges adopt the proposed amendments to the rules of procedure of the Tribunal.","The Secretary-General recommends that the General Assembly encourage the two Tribunals to consult with the parties appearing before amendments to the rules of procedure.","Disclosure of cases that are manifestly inadmissible or unfounded","Article 9 of the rules of procedure of the Dispute Tribunal states that “in cases where the facts of the case are not contested, the parties are entitled to a judgement in accordance with the law and may formally request the judgement”. Under this provision, the non-substantive complaints cannot be dismissed as long as there is a controversy about the major facts. By contrast, the administrative tribunals of other intergovernmental organizations established mechanisms for dealing with non-substantive complaints. [8] For example, article 76 of the rules of procedure of the Court of Civil Servants of the European Union states that “When a suit is manifestly inadmissible or manifestly lacking any legal basis, the Court may not conduct further proceedings and adopt a decision with justification”. In 2010, 10 cases were handled in 129 cases before the European Union Civil Service Court.","In addition, the Secretary-General notes that the rules of procedure of the Appeals Tribunal do not provide for a mechanism to deal expeditiously with non-substantive appeals. In other intergovernmental organizations, only the European Union provided for an appeal review. The judgement of the EU Civil Service Court may be appealed to the ordinary courts. Article 111 of the rules of procedure of the ordinary courts provides that, if a suit “recognized inadmissibility or manifestly lack of any legal basis”, the ordinary courts may make a decision “without further measures in the proceedings”.","As to what cases may be manifestly inadmissible or groundlessly dismissed, the Secretary-General recalled that the Appeals Tribunal had ruled in July 2010 that the Dispute Tribunal was not competent to review or modify the judgement of the former United Nations Administrative Tribunal. [9] Notwithstanding this, the Appeals Tribunal has so far received at least five appeals seeking to amend the judgement of the Administrative Court. Although these appeals may be considered “a clear lack of any legal basis”, the Appeals Tribunal has no mechanism to quickly reject these cases. Therefore, the Organization, in addition to its readiness to respond to the costs incurred by such appeals, also assumes the cost of making a comprehensive judgement for each such case (in the amount of $3,600 per judgement).","In order to ensure that no cases may be promptly dismissed in order to make more efficient use of the resources of the system of administration of justice, the General Assembly may wish to consider the amendment to article 7, paragraph 2 (viii), of the statute of the Dispute Tribunal, which contains a provision on “the procedure for rejecting cases, including cases that are manifestly inadmissible or clearly lacking any legal basis”. The Assembly may also wish to amend article 6 of the statute of the Appeals Tribunal to include a similar provision.","The Secretary-General recommends to the General Assembly the amendment to article 7, paragraph 2 (viii) of the statute of the United Nations Dispute Tribunal and article VI of the statute of the United Nations Appeals Tribunal, which stipulates that in the rules of procedure there is a mechanism to rapidly reject cases that are clearly inadmissible or clearly lacking any legal basis.","Recorded oral hearings","As indicated in paragraph 49 above, the Secretary-General has requested budgetary resources for the maintenance of oral hearings. Although the Appeals Tribunal ruled in one case that a party “rights to have the testimony of the Registrar of the Dispute Tribunal in the proceedings” [10], these records are not always required by the parties. In June 201, the parties were informed that “the rules of statute and procedure do not require the Registrar of the Dispute Tribunal to produce a photograph of the proceedings”.","The Secretary-General points out that in the fact-finding assessment of the Dispute Tribunal, there is no meaningful exercise by the parties of the right to appeal in cases where the Dispute Tribunal does not provide such oral evidence to the parties. Although the parties may rely on their oral evidence notes, without objective evidence, the Appeals Tribunal will not be able to assess whether the oral evidence statement of the Dispute Tribunal or the parties' statements are accurate.","In order to ensure the retention of oral hearings and the request of the parties for such recordings, the General Assembly may wish to consider amendments to article 7, paragraph 2 (e), of the statute of the Dispute Tribunal, to include a rule on the rules of procedure “the oral hearings, including the provision for the recording of oral hearings requested by the parties”.","The Secretary-General recommends to the General Assembly the revision of article 7, paragraph 2 (e), of the statute of the United Nations Dispute Tribunal, which provides for the retention of the oral hearings of the Tribunal and shall request such recordings.","Staff name editorial","Article 11, paragraph 6, of the statute of the Dispute Tribunal stipulates that “The Registry of the Dispute Tribunal shall, with attention to the protection of personal information, make public access to court judgements”.","The Secretary-General points out that in a number of cases the Dispute Tribunal listed the names of staff directly or indirectly involved in the disputed decision. In a number of cases where a disputed decision is invalid, the Tribunal takes the conduct and character of the staff in a non-controlled manner. The names of the staff members, in a non-sectional manner, of the behaviour and sexuality of the staff, have resulted in a number of staff submitting complaints to judges and raising concerns about defamation.","Bearing in mind the provisions of article 11, paragraph 6, of the statute of the Dispute Tribunal and taking into account the need to ensure that the names and the character of the staff are not unjustified in the judgement of the Dispute Tribunal, the General Assembly may wish to consider amendments to article 7, paragraph 2 (vi), of the statute of the Tribunal, to include a provision on “Proclamation of judgements, including procedures for the names of the persons concerned”.","The Secretary-General recommends that the General Assembly amend article 7, paragraph 2 (vi), of the statute of the United Nations Dispute Tribunal to include a provision on the rules of procedure for “the publication of judgements, including the procedure for editoring the names of the judgements at the request of the individual concerned”.","Suspensive effect of appealing an intermediate order","In accordance with article 11, paragraph 3, of the statute of the Dispute Tribunal, “the judgement shall be executed after the expiry of the prescribed time limit.” In addition, article 7, paragraph 5, of the statute of the Appeals Tribunal stipulates that “the appeal shall have the effect of suspending the execution of the disputed judgement”. Although the statutes of the two Tribunals refer only to the judgement, the Court of Appeal recognizes that, in a limited number of cases, the appeal against an interlocutory order is also permitted. Thus, article 11, paragraph 3, of the statute of the Dispute Tribunal and article 7, paragraph 5, of the statute of the Court of Appeal apply to appeal against an interlocutory order, it seems appropriate.","Because it is unclear whether the appeal will suspend the obligation to enforce the disputed intermediate order, the Dispute Tribunal prohibits the appearance of the appellant in the Dispute Tribunal. That conclusion was later declared null and void by the Appeals Tribunal. [11] Article 19 of the rules of procedure of the Dispute Tribunal, as amended, provides for the exercise of this prohibition and allows the Court to order any order it deems appropriate, including the decision to reject the complaint or the respondent, where a party fails to comply with an intermediate order. In the opinion of the Secretary-General, the right of the Dispute Tribunal to impose an intermediate order must be balanced with the parties' right to appeal in good faith, particularly in cases where the Secretary-General would otherwise have to implement the intermediary orders issued by the Dispute Tribunal and contradictory to the established jurisprudence of the Appeals Tribunal. The General Assembly may wish to consider amendments to article 11, paragraph 5, of the statute of the Dispute Tribunal and article 7, paragraph 5, of the statute of the Appeals Tribunal, in order to confirm that those provisions are equally applicable to all decisions of the Dispute Tribunal, regardless of their form or order.","The Secretary-General recommends to the General Assembly the amendment to article 11, paragraph 3, of the statute of the United Nations Dispute Tribunal, indicating that an appeal may be made to an intermediate order issued by the Dispute Tribunal. The Secretary-General also recommends that the General Assembly amend article 7, paragraph 5, of the statute of the United Nations Appeals Tribunal to clarify the effectiveness of the appeal against an intermediate order ordered by the Dispute Tribunal to suspend the execution of the disputed order. The relevant provisions of the Rules of Procedure of the Tribunals also require amendments.","Time frame for appeal at the Appeals Tribunal","Article 7, paragraph 1 (c), of the statute of the Appeals Tribunal provides for a period of time to appeal for 45 days. [12] The present statute does not set a time frame for appeals against intermediate orders, although in practice, the Appeals Tribunal has a 15-day time frame. [13]","In the light of the limited resources of the parties and the delays encountered in the transfer of the relevant archives between duty stations, the Secretary-General is of the view that the extension of the time frame for appeals for 15 days will help to provide more full information on the legal issues to be reviewed by the Appeals Tribunal. The delay caused by the extension of 15 days has been extremely limited, allowing for a more thorough review of the significant proceeds of legal issues raised in the appeal, which should be weighed against, particularly in reviewing many fundamental issues at the first stage of the Appeals Tribunal.","The Secretary-General recommends that the General Assembly amend article 7, paragraph 1, subparagraph (c), of the statute of the United Nations Appeals Tribunal by extending the time limit for appeals against judgements of the United Nations Dispute Tribunal from 45 days to 60 days and establishing a 30-day time frame for appeals against intermediate orders. The relevant provisions of the rules of procedure of the Court of Appeal also require amendments.","C. Jurisdiction of the United Nations Dispute Tribunal relating to acts and omissions of independent entities relating to the fulfilment of their mandates","Article 2, paragraph 1 (i), of the statute of the Dispute Tribunal determines the jurisdiction of the Tribunal with regard to “administrative decisions alleged to be non-compliance with the terms of appointment or the employment contract”. In interpreting the term “administrative decisions”, the United Nations Administrative Tribunal found that “the characteristics of administrative decisions are made by the executive branch, unilateral, specific circumstances”, and that the conditions and treatment of staff are “a direct legal consequence”. [14] In describing the first criterion (the administrative decision must be taken by the executive branch), the Administrative Tribunal ruled in its judgement No. 1359 (Perez-Soto (2007)) that the Ombudsman's decision not to investigate complaints of harassment did not constitute administrative decisions, since, in view of the independent status of the Ombudsman, all acts or omissions were outside the decision of the Administration.","The executive courts of other international organizations also recognize the following basic principles: When an entity is independent of the management, the organization does not effectively control the entity and therefore cannot be responsible for its acts or omissions. For example, in two different cases, the staff of the International Monetary Fund (IMF) and the World Bank alleged that their organizations would be responsible for the publication of personal confidential information and that they were brought to justice. [15] Both the IMF Administrative Tribunal and the Administrative Court of the World Bank dismissed these complaints and ruled that these organizations could not be responsible for the actions of the Staff Union, as they did not act “in accordance with management directives or under effective management control”. [16]","The Secretary-General notes that a number of entities with independent status have been established pursuant to General Assembly resolutions. These entities include the Ombudsman, OIOS, the Ethics Office and the Office of Internal Justice. These entities enjoy operational independence. [17] The question of the competence of the Dispute Tribunal to govern the acts or omissions of these independent entities raises a challenge, and the possibility for the Secretary-General to be held accountable for the conduct and inaction of entities without effective control.","To date, an independent entity that has been challenged by conduct and omission in the Dispute Tribunal includes (a) OIOS; (b) the Ethics Office; and (c) the Staff Legal Aid Office:","(a) In one of the recent cases before the Appeals Tribunal, a staff member challenged the contents of a OIOS report and the OIOS audit process. As at 15 August 2011, the Appeals Tribunal had not issued the judgement in the case. However, as indicated by the judgement (the judgement is to be delivered by the Registry of the Appeals Tribunal for the publication of the press rather than as an official document), the Appeals Tribunal seems to recognize that, since the Secretary-General has no authority to influence or interfere with OIOS, the United Nations Dispute Tribunal does not have jurisdiction to do so because it reviews only the administrative decisions of the Secretary-General;","(b) In at least three cases, staff complained to the Dispute Tribunal and questioned the opinion of the Ethics Office that they had not been subjected to reprisals. They stated that the General Assembly requested the Secretary-General to establish an Ethics Office with “independent status”, which would require the Secretary-General to respect. In rejecting that argument, the Dispute Tribunal considered that “the recommendations of the General Assembly must be carefully considered”, but did not decisively play a role in assessing whether the Ethics Office was independent. [18] Since the Dispute Tribunal has not yet issued a final judgement dealing with the question of whether the discretion of the Ethics Office concerning retaliation constituted administrative decisions, the Appeals Tribunal has not yet commented on this issue;","(c) In a recent review by the Appeals Tribunal, a staff member challenged the alleged non-disclosure of conflicts of interest by the Staff Legal Aid Office. In the opinion of the Secretary-General, the acts and omissions of the Office do not constitute a decision of the executive branch and therefore do not fall within the jurisdiction of the Dispute Tribunal. The Dispute Tribunal is limited to the review of “administrative decisions”. In this regard, the Secretary-General notes that both the Administrative Tribunal of the Monetary Fund and the Administrative Tribunal of the World Bank have refused to accept the argument that these two international organizations could be held accountable for their actions in disputed by the Staff Union, since the main purpose of the Staff Union is to speak in the interests of the staff, “representative independence and sometimes the perception of the management”. [19] This reasoning is even more applicable to the Office of Staff Legal Assistance, since the nature of the proceedings means that the Office often expresses the opposite view with management. As at 15 August 2011, the Appeals Tribunal had not issued the judgement in the case. However, as shown in the summary of the judgement, the Court of Appeal seems to determine that the conduct and omission of the Office of Staff Legal Assistance fall within the jurisdiction of the Dispute Tribunal, since the services provided by the Office and the manner in which the agent is responsible can have an impact on the conditions of appointment. The legal and financial responsibilities of the Secretary-General for the conduct and inaction of the Office of Staff Legal Assistance are meaning that staff members may make claims for compensation to the Organization if they are unable to successfully challenge the administrative decisions of the Secretary-General.","The emerging case of the Appeals Tribunal appears to indicate that, although acts and omissions of certain independent entities, such as OIOS, may not fall within the jurisdiction of the Dispute Tribunal, acts and omissions of other independent entities such as the Office of Staff Legal Assistance may be reviewed by the Dispute Tribunal. In addition, the Secretary-General points out that the guidance of the Court of Appeal on these issues is not necessarily decisive, since the Dispute Tribunal stresses that those rules are applicable only when the rules established by the Appeals Tribunal are “compliant with the general principles of law”. [20]","Therefore, the Secretary-General believes that clarification by the General Assembly of its intention in the jurisdiction of the Dispute Tribunal may be useful. In this regard, the Secretary-General emphasizes that the exclusion of acts and omissions of independent entities from the jurisdiction of the Dispute Tribunal does not imply that staff are deprived of the right to appeal in cases where they believe that their rights are violated by such entities.","First, the Secretary-General may object to that decision in the Dispute Tribunal itself, subject to an administrative decision based on the alleged acts or omissions of an independent entity. For example, the Ethics Office concluded that a staff member had committed reprisals and that the Secretary-General, in accordance with the discretion of the Ethics Office, had decided to impose disciplinary measures on the staff, which could lodge a complaint to the Dispute Tribunal, object to the disciplinary measures taken by the Secretary-General and his reliance on the Ethics Office's alleged error. However, the discretion of the Ethics Office with regard to reprisals should not be questioned by the Dispute Tribunal. Since the independent status of the Ethics Office does not allow the Secretary-General to direct the Office to make a retaliatory decision, it cannot be held accountable for the Secretary-General's responsibilities, even if they were later proved wrong.","Secondly, if staff questioned the conduct or omissions of independent entities relating to the performance of their management functions, the scope of the jurisdiction of the Dispute Tribunal would not raise any question with respect to the independent status of the entity. For example, the question of the manner in which OIOS selects is clearly within the jurisdiction of the Dispute Tribunal.","The exercise of jurisdiction by the Dispute Tribunal for acts and omissions of independent entities is problematic only when a staff member's complaint concerns the manner in which the independent entity performs its functions. In the Secretary-General's view, as independent entities carry out their operational responsibilities in a manner that does not fall under the effective control of the Secretary-General, any acts and omissions relating to the implementation of operational mandates cannot be attributed to the Secretary-General and should not be held accountable for the legal or financial responsibilities of the Secretary-General. Indeed, accountability in such cases does not advance the objective of strengthening accountability, since the Secretary-General has no authority to influence or correct the behaviour and omissions of the independent entity questioned by the staff. The General Assembly may wish to consider the suitability of accountability and the cost of the Organization's public funds in cases where the Secretary-General has not been identified.","If the General Assembly wishes to clarify that the jurisdiction of the Dispute Tribunal with respect to administrative decisions is limited to those taken by the Secretary-General or taken on behalf of the Secretary-General, the Assembly may wish to consider amendments to article 2, paragraph 1 (i), of the statute of the Dispute Tribunal, referring to “administrative decisions of the Secretary-General that have unilaterally taken or on behalf of the Secretary-General on alleged non-compliance with the terms of appointment or employment contracts”.","The Secretary-General recommends to the General Assembly the amendment to article 2, paragraph 1 (i), of the statute of the United Nations Dispute Tribunal, referring to “administrative decisions of the Secretary-General that have been made unilaterally or on behalf of the Secretary-General on alleged non-compliance with terms of appointment or employment contracts”.","Another emerging issue is whether the Dispute Tribunal has jurisdiction over decisions taken by the governing bodies, such as the Executive Assembly or its subsidiary bodies. To date, staff have submitted complaints to the Dispute Tribunal calling into question the actions taken by the Secretary-General to implement General Assembly resolutions and the decisions of the International Civil Service Commission (ICSC).","General Assembly","Article 101 of the Charter of the United Nations provides that “the conductr shall be assigned by the Secretary-General in accordance with the statutes established by the General Assembly”. In accordance with that provision, the General Assembly has promulgated the Staff Regulations and may modify the Staff Rules. In its resolution, the General Assembly approved the Organization's policy on human resources management.","In 2010, the General Assembly, in its resolution 848, approved the recommendation of the International Civil Service Commission to harmonize the conditions of service of staff at the non-family duty stations in the organizations of the United Nations common system. The consequences of that decision were the removal of a “personal transition allowance”. In the same resolution, the General Assembly also requested the Secretary-General to promote “the immediate Executive Committee's recommendations on the harmonization of conditions of service at non-family duty stations”. The Department of Field Support therefore informed field staff that the changes approved by the General Assembly would enter into force on 1 July 2011. In June 2011, for the first time, a complaint was submitted to the Dispute Tribunal for the cancellation of the personal transition allowance. The complaint alleged that the elimination of personal transitional benefits had a negative impact on single women and raised discrimination based on gender or individual status.","The Charter requires the Secretary-General to implement the staff management regulations established by the General Assembly, with the result that the Secretary-General is also requested to implement the human resources management policies set out in General Assembly resolutions. The United Nations Administrative Tribunal had previously considered that the Court “shall not be a General Assembly nor the Secretary-General, and therefore did not qualify for a policy decision on personnel issues to be replaced by its judgement”. [21] Resolution 8051 reaffirmed the legal authority of General Assembly resolutions and stressed that “all parts of the new system of administration of justice must be in compliance with the Charter of the United Nations and the legal and regulatory framework approved by the General Assembly”.","However, the Dispute Tribunal is of the view that, if any action would result in a violation of human rights norms, such as the principle of equal pay for work of equal value, it could not be denied by the Secretary-General on the basis of his obligation to comply with General Assembly resolutions. The decision was confirmed by the Appeals Tribunal. [22] In short, when the Dispute Tribunal determines that the implementation of General Assembly resolutions will result in non-compliance with human rights norms, its legal and economic responsibilities can be held by the Secretary-General in implementing the resolution.","International Civil Service Commission","The International Civil Service Commission is a subsidiary body of the General Assembly and its statute is approved by the General Assembly in its resolution 3357 (XXIX). Article 6 of the statute of the Commission explicitly prohibits the Committee from accepting instructions from any organization participating in the common system, which is independent of the Secretary-General. Article 25 (3) of the Constitution states that the Commission's decision “shall be implemented by the organizations from the dates determined by the Commission”.","In December 2009, the International Civil Service Commission decided to classify duty stations in Nairobi from the category “C” to the category “B”. The classification of duty stations in Addis Ababa has also been changed from “C” to “B”. Both changes entered into force on 1 January 2011. The Commission's duty stations are categorized in the category “A” to “E” and indicate the difficulties in living and working conditions, which are the most difficult duty stations. As a result of the reclassification at the Nairobi and Addis Ababa duty stations, the hardship allowance received by persons working in the two places was reduced and the right to a home leave was granted every 24 months, not every 12 months. Staff at both duty stations object to the decisions of the Executive Committee of the Secretary-General.","The Secretary-General is obliged to implement the Commission's reclassification at the Nairobi duty station, as article 25 (3) of the Commission's statute and staff regulation 3.14 require the Secretary-General to “take into the amount of hardships for the life or work of each duty station established by national ICSC”. In addition, the United Nations Administrative Tribunal also emphasized that the Commission had binding on the Secretary-General. Judgement No. 421 of the Administrative Tribunal (Chatwani) ruled that “the Director-General of the United Nations or other organizations within the common system shall not be competent to revise, modify or withdraw the decisions adopted by the Commission in accordance with its statute”. [23]","Note by the United Nations Dispute Tribunal","The Dispute Tribunal is still reviewing the objections raised by the Secretary-General in the implementation of the decisions of the governing bodies, including resolutions of the General Assembly and decisions of the International Civil Service Commission. It is noteworthy that the Appeals Tribunal has dismissed the Secretary-General's argument in one case that the action requested by the staff would violate the General Assembly's resolution on budgetary issues, and that the budgetary factor “shall not override the requirement for fair treatment”. [24]","Even when the decisions of the Dispute Tribunal and the Appeals Tribunal question specific cases in which the Secretary-General implements General Assembly resolutions and decisions of the Commission, such sentences are not necessarily used in other cases, as the decisions of the governing bodies cover a wide range of issues related to human resources management. In addition, the Dispute Tribunal also stressed that it considered that the rules established by the Court of Appeal were applicable only when “consistent to the general principles of law”. [25]","The Secretary-General therefore considers that it might be useful for the General Assembly to clarify its intention to clarify the scope of the Dispute Tribunal. In the event of action by the Secretary-General to implement the decisions of the governing bodies, such as the General Assembly and the International Civil Service Commission, the General Assembly may wish to consider the appropriateness of imposing financial responsibility and consuming the Organization's public funds.","If the General Assembly stated that the jurisdiction of the Dispute Tribunal does not include the decision of the Secretary-General to implement the decisions of the governing bodies, such as the General Assembly and the Commission, the Assembly may consider the amendment to article 2.1 (a) of the statute of the Dispute Tribunal and the replacement of the reference to “administered administrative decisions of the Secretary-General, allegedly not in accordance with the terms of appointment or the employment contract”. The Secretary-General took action to implement the decisions of the governing bodies that were not a unilateral administrative decision of the Secretary-General, since he was not entitled to act in a manner contrary to the decisions of the governing bodies.","The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal by replacing the reference to “administrative decisions taken by the Secretary-General on behalf of the Secretary-General, allegedly incompatible with the terms of appointment or the employment contract”.","Resource requirements","The Secretary-General identified areas that need to be strengthened in the formal justice system for the establishment of a new system “independence, transparency, specialization, adequate resources and decentralized”. The resource requirements for the informal system are described in the report of the United Nations Ombudsman. For all of these reasons, in addition to the resources requested in the proposed programme budget for the biennium 2012-2013 (A/64/2), the Secretary-General recommends that the General Assembly consider strengthening the formal justice system with the following posts and non-post resources:","(a) With regard to the Management Evaluation Unit, in view of the reasons set out in paragraphs 19 and 20 above, the Secretary-General recommends to the General Assembly that a further Legal Officer (P-3) post be established to assist the Unit in its work;","(b) With regard to the Dispute Tribunal and its Registry, and in view of the reasons set out in paragraphs 42 to 44 above, the Secretary-General recommends to the General Assembly the reappointment of three full-time judges (Geneva, Nairobi and New York), the reclassification of one P-2 Legal Officer post in the New York Registry to P-3 and the establishment of six new posts (3 P-3, 2 General Service and 1 General Service ( Local level) to assist the work of the new dedicated judges, effective 1 January 2012. The above-mentioned positions were initially approved by the General Assembly in its resolution 63/253 for a term of one year beginning on 1 July 2009 and then extended by the General Assembly in its resolution 63/251 until 31 December 2011, and the funding system provided with the limited budgetary discretion granted by the Secretary-General in its resolution 60/283 and extended by resolution 64/260. The proposal was intended to formalize the existing temporary positions of the Dispute Tribunal;","(c) With regard to non-post resources for the Dispute Tribunal, and in view of the reasons set out in paragraphs 49 to 51 above, the Secretary-General recommends that the General Assembly approve communications costs ($25,000) and travel ($15,000);","(d) With regard to the Registry of the Appeals Tribunal, in view of the reasons set out in paragraphs 71 to 78 above, the Secretary-General recommends the establishment of a Legal Officer (P-4) to strengthen the Registry, effective 1 January 2012, and an increase of $280,200 to facilitate the third annual session of the Tribunal and to improve the treatment of the travel of its judges;","(e) With regard to the Office of Staff Legal Assistance, in view of the reasons outlined in paragraphs 83 to 92 above, the Secretary-General recommends the establishment of four posts (one P-4 and one General Service in Nairobi, one P-4 in New York and one General Service in Geneva) to strengthen the Office, effective 1 January 2012. The Secretary-General also recommends that resolution King51 be established on 1 January 2011 and currently funded by the support account for peacekeeping operations to the P-3 position as at 1 January 2011 until 31 December 2012. In addition, the Secretary-General requests for communications ($11,200), travel ($15,000) and supplies ($9,000);","(f) With regard to the Office of the Executive Director of the Office of the Administration of Justice, in view of the reasons set out in paragraphs 101 to 108 above, the Secretary-General recommends that the General Assembly authorize the provision of general temporary assistance ($130,000) for the compensation of external personnel of the Internal Justice Council and for the replacement of staff on long-term sick leave and maternity leave. In addition, the Secretary-General recommends that the General Assembly approve travel costs ($30,000), contractual services ($37,500) and software purchase fees ($37,500);","(g) With regard to the representative of the secretariat of the Secretary-General of the Dispute Tribunal, and in view of the reasons set out in paragraphs 115 and 116 above, the Secretary-General recommends that the General Assembly approve 11 new posts (5 P-4, 3 P-3, 1 General Service and 2 General Service (Local level)), effective 1 January 2012. This includes five posts in the Human Resources Management Office (2 P-4 and 3 P-3), two posts at the United Nations Office at Geneva (1 P-4 and 1 General Service), two posts at the United Nations Office at Nairobi (1 P-4 and 1 General Service ( Local level) and two posts in the Economic and Social Commission for Asia and the Pacific (1 P-4 and 1 General Service ( Local level)). In the light of the reasons set out in paragraphs 157 to 161 above, the Secretary-General recommends that the General Assembly approve travel ($60,000) for the implementation of the outreach mandate and for participation in court hearings at other duty stations;","(h) With regard to the Office of Legal Affairs, in view of the reasons set out in paragraphs 172 to 186 above, the Secretary-General recommends that three posts be established in the General Legal Affairs Division (2 P-4 and 1 P-3) effective 1 January 2012.","Therefore, if the General Assembly agrees to the above proposal, additional requirements of $8,677,900 would be considered in accordance with the provisions of the contingency fund established pursuant to General Assembly resolutions 41/213 and 42/211 (before recosting). In that regard, it should be recalled that the General Assembly, in its resolution 3862, approved the amount of $450 million for the Fund for the biennium 2012-2013.","The full new posts listed in the present report are to be established effective 1 January 2012. In paragraph 20 of its first report on the proposed programme budget for the biennium 2008-2009 (A/62/7), the Advisory Committee on Administrative and Budgetary Questions recommended that, if any, new proposals should be made, the delayed impact of posts should be described. In this context, the General Assembly may wish to note that the proposed 26 new posts are currently estimated at $3,356,400 under full cost for the biennium 2009/10, including $1,072,200 under section 1, Overall policymaking, direction and coordination, $442,200 under section 8, Legal affairs, $173,500 under section 19, Economic and social development in Asia and the Pacific, $126,200 under section 29A (Under-Secretary-General for Management), $668,600 under section 29C, Human resources management, section E, section 29, Administration of the United States dollars, and staff assessment under section 29, paragraph 4, Administration, of the United Nations Office for the biennium.","Conclusions and actions to be taken by the General Assembly","In the opinion of the Secretary-General, the recommendations contained in the report would provide the necessary additional strength for the new system of administration of justice that has earned the trust of staff and management. He invited the General Assembly to give these proposals appropriate consideration and to approve the resources needed to ensure their implementation.","Therefore, the General Assembly is invited to:","(a) Approves the establishment of 26 new posts (10 P-4, 8 P-3, 4 General Service (Other level) and 4 Local level) within the programme budget for the biennium 2012-2013;","(b) Approves the reclassification of one P-2 post to the P-3 post, effective 1 January 2012, within the programme budget for the biennium 2012-2013;","(c) A total of $8,657,900 (before recosting) in the programme budget for the biennium 2012-2013, comprising an additional appropriation of $3,889,700 under section 1, Overall policymaking, direction and coordination; $559,700 under section 8, Legal affairs; $388,400 under section 19, Economic and social development in Asia and the Pacific; $164,300 under section 29A, Under the Under-Secretary-General for Management; $948,300 under section 29C, Human resources management, Office of Central Support Services; and an increase of $36,600 under section 29, Administration of the United Nations Office for Project Services; These funds will be charged against the contingency fund;","(d) Approves the continuation of one year of the P-3 post in Nairobi effective 1 January 2012, funded by the budget for the support account for peacekeeping operations, to be reported in the performance report relating to the support account for peacekeeping operations for the period from 1 July 2011 to 30 June 2012 and reflected in the proposed budget for the period from 1 July 2012 to 30 June 2013.","Annex I","Recommendations for funding mechanisms for staff funded by the Staff Legal Aid Office","Staff Legal Aid Office","Introduction","The present concept paper provides information on mechanisms funded by staff to support the work of the Office of Staff Legal Assistance, as requested by the General Assembly in paragraphs 40 and 41 of resolution 9851. The General Assembly requested proposals based on both statutory contributions and voluntary contributions, which were responsive.","The present document presents a common point for statutory contributions and voluntary contributions programmes. In particular, the General Assembly will continue to define the staffing table and other financial needs of the Office of Staff Legal Assistance, taking into account the Secretary-General's proposed budget. In addition, the Secretary-General notes that any decision on the staffing needs of the Office must take into account any decision of the General Assembly on the mandate and functions of the Office. The Office post established pursuant to resolution 63/253 will continue to be funded from the regular budget. The proposed staff funding mechanism would offset part of the increase in the current staffing costs of the Office, as proposed by the Secretary-General. The last common point is that the proposed staff contribution, whether statutory or voluntary, will be deducted from the monthly salary.","In particular, with regard to the statutory contribution programme, it is noteworthy that the establishment of the Office of Staff Legal Assistance as part of the Organization's system of administration of justice constitutes the Organization's costs associated with its operational activities. In accordance with Article 17, paragraph 2, of the Charter of the United Nations, “The Organization's funds shall be borne by Member States in accordance with the limits allocated by the General Assembly”. This intention is to require Member States to bear the expenses of the Organization, which is clearly reflected in the legislative history of the provision. [26]","Therefore, the requirement for staff members to assume part of the Organization's funding under the Charter for Member States raises legal issues. If the introduction of an approach that would assist the General Assembly in its mandated activities, it would create a possibility that the other “cost” of the Organization in the future could be considered to be beneficial to staff members and would be fully or partly assumed through taxation of staff.","Staff statutory payment mechanisms funded by the Legal Aid Office","The staff funding mechanism for the Office of Staff Legal Assistance has three possible statutory modalities of contributions: (a) a general pattern of wage payments for all staff; (b) a model for the actual use of the office's services; and (c) a percentage of contributions received by staff unions and associations to fund the activities of the Office. The three models are discussed below.","As at 30 June 2010, staff from the Secretariat and funds and programmes comprised approximately 45,000 General Service staff, about 30,000 Professional and field staff and approximately 1,525 Division and above staff. They can use the system of administration of justice (see A/65/350 and CEBLCM/HR/24).","Universal statutory pattern of payments","In accordance with the general statutory pattern of payments, each staff member will be charged. Any fees for staff members have a significant consideration of the salary scales for each duty station, in particular local salary scales. Therefore, any fees would need to reflect the difference in the salary scales in order to ensure that fees are fair and commensurate with the actual salary ratios of each staff member. One may be to collect a percentage of the staff salary available for each system of administration of justice (e.g., 001 per cent). Another may be fixed for the amount of fees, but the level, grade and duty station of staff are determined. The fees will be deducted from the monthly salary.","The contributions of staff charged will be used to offset part of the current staffing table for the Office of Staff Legal Assistance established pursuant to General Assembly resolution 63/253 (1 P-5, 5 P-3, 1 P-2 and 3 General Service posts).","The model has several benefits. The main advantage is that, as a result of the large number of staff members, a large amount of money can be charged to fund the Office even if the amount of individual contributions is small. Similarly, the universal statutory payment mechanism will be the most consistent and stable source of income.","However, there are some concerns about the statutory payment mechanism. The first issue is that, in general, staff using office services are expected to account for a small percentage. Currently, less than 1 per cent of the staff who are making complaints to the formal system are being complained. As a result, about 99 per cent of staff will pay some of the costs for services used by less than 1 per cent of staff. This raises concern about the fairness of the practice of extensive charges with universal statutory payment mechanisms.","Another concern is that, in accordance with the jurisprudence of the Dispute Tribunal, the Office [27] may refuse to provide assistance if it determines that a case is not legally suffrage or where the court wins. This jurisprudence is in line with the universally accepted principle that court personnel may not submit cases in which they are in good faith considered to be incompatible with the law. In addition, the resources of the organization should not be wasted on matters that are virtually impossible or entirely impossible to achieve results. However, if all staff members are subject to a statutory fee, the individual of the staff may feel entitled to make a case on behalf of the Office of Staff Legal Assistance, irrespective of whether the case is legally justified or unreasonably successful. There is therefore a risk that staff members may lodge complaints, even formally appealing the decision, despite the payment of fees, and thus raise additional and potentially significant costs to the Organization.","This situation may arise under the statutory payment and voluntary payment mechanism, since in theory, whether statutory or voluntary contributions are made, contributions may be argued that they are entitled to services.","Finally, if staff members are required to contribute to the services provided by the Office established by the General Assembly, the staff may consider that this provision violates the terms of appointment and conditions of service and appeal against them. If the staff complaint is successful, the Organization will be forced to return all staff members to pay interest at the later stage and may also pay other compensation payments.","Flexibility for those using the Office of Legal Assistance","The second possible statutory staff funding programme is that only staff members who use the Office of Legal Assistance are required to pay. This model could address the issue of staff members who do not use office services being requested to bear the funding costs of the Office.","If the programme is agreed, it will be necessary to determine the amount requested. Fixed contributions are equal to service charges for the use of office. Other models may also be considered, for example, by requiring successful claimants to contribute a percentage of any award.","However, as the number of staff serving in the office is small percentage of the total number of staff (approximately 1,000 staff members each year seek office services), the fees for users are more than the small contributions envisaged under the universal statutory payment model. For example, the annual costs of P-4 posts in Geneva amount to $277,300. As a result, the average fees for each office user would amount to $277.30 for the full provision of a P-4 post for the Geneva Staff Legal Aid Office. If such a mechanism should only offset a percentage of the costs associated with other posts in the Office, fixed charges may be more or less, depending on the number of posts and the percentage to be offset.","It is noteworthy that one of the worrying circumstances that have been referred to in the general pattern of contributions also apply to this model, i.e., if the Office refuses to represent the staff who have paid legal contributions, the staff may request continuing to provide legal services to them and even appeal them. However, one way to mitigate this concern is that the costs charged to the staff are limited, depending on the size of the Office's service. For example, if the Office assists staff in the negotiation and reconciliation of their cases, it could be charged to them at $30 million, with the exception of the Office to provide telephone advisory services, only $50.","C. statutory fees for the receipt of contributions by staff unions and associations","The third possible statutory contribution model is that staff associations and staff unions are required to contribute a part of their contributions to support the work of the Staff Legal Aid Office.","Staff unions and associations are used to promote and guarantee the rights and interests of staff. As a result, a portion of the contributions received is required to provide the Office with a form of legal insurance for the staff members represented by the Staff Union and the Association.","Concerns arising from the introduction of statutory deductions for trade union financial resources, similar to those that impose statutory deductions on individual staff members.","At present, the United Nations Staff Union and Association shall not impose a statutory fee on the staff represented. As a result, trade unions and associations have significant differences in financial resources. There are several possibilities for determining fees. One is a percentage of contributions received by each worker's trade union or association. Another is the amount charged to staff represented by trade unions. The third is a fixed amount for all trade unions and associations. Under the previous two models, the number of funds that can be charged and used to offset office costs depends on a number of factors (in the first mode, the number of contributions received and the second model is the number of staff members represented and the contributions paid to each individual). Under the third model, for example, $200,000 (14 trade unions) is charged to each worker's trade union/Associate, and $280,000 per year will be net. However, it is feared that trade unions and associations, in particular underfunded trade unions and associations, may complain that the imposition of fees would weaken their ability to provide basic services to members.","Voluntary contribution mechanisms for staff funded by the Office of Legal Assistance","There are two possible models for the establishment of funding mechanisms for staff based on voluntary contributions. One system is the automatic deduction of fixed percentages of staff salaries to assist the Staff Legal Aid Office in the delivery of services, but staff may choose to withdraw from the system. The second option is to allow staff to choose a fixed percentage of the salary.","The two voluntary contributions model has one advantage: contributions are made with the consent of the participating staff (expressed consent or tacit consent). However, the number of funds collected from voluntary contributions patterns will depend on how many staff members decide to pay, and therefore it is difficult to estimate the number of contributions if there is no real situation in several annual payment cycles.","Under both models, there is a need for incentives for staff to participate in the mechanisms. One possible way to encourage participation is the priority given by the Office to handle cases involving staff selected for the mechanism. If the Office is too long to deal effectively with a particular case, it may refuse to provide assistance to staff who have withdrawn from the voluntary funding mechanism.","Another way to encourage participation is to establish the services of the Staff Legal Aid Office at two levels. Staff participating in voluntary staff funding mechanisms will be able to use all services of the Office. Staff members who do not provide voluntary contributions can only use the Office's basic services, i.e. providing brief legal guidance/consultations on existing laws, and providing limited access to any documents or petitions drafted by staff for their own cases. In this regard, another incentive to participate in voluntary contributions mechanisms is the concept of user pay payments under the statutory payment mechanism, i.e., staff members who do not choose to join or choose to withdraw from voluntary mechanisms are required to pay their services.","As is the case under the statutory pattern of payments, a complaint and appeal may arise if the office considers that the case of the contributory staff is almost possible or entirely successful. However, one way to mitigate such concerns is to make it clear to staff that the Office will take into account the grounds for its complaints when deciding whether to provide legal assistance.","In addition, another issue of the voluntary mechanism is how the minimum payment threshold would provide enhanced services. For example, if staff members may choose to participate in a fixed-term payment model before they wish to receive office services, they may be withdrawn immediately after the receipt of such services. One way to address this problem is to limit the participation/removal status of staff, such as a limitation of one year.","Conclusion","All the models mentioned above will be implemented further. As noted above, the introduction of a statutory payment model involves legal issues.","Moreover, the conflict between equity and access to payment incomes must also be resolved. The statutory pattern of contributions, if identified as acceptable, is more likely to receive more contributions to offset the cost of additional office resources. However, the number of contributions received will also depend on how many individuals or entities are paid, depending on the amount or percentage charged, even under the statutory pattern of payments.","The “user pay” and voluntary models may be considered fairer, since they do not collect fees for those who do not use office services or do not consider to be worthwhile to use services in the future. This was particularly highlighted because 99 per cent of staff had not been used and were not expected to use office services. However, it is more difficult to predict how many of the contributions will be earned by any voluntary mechanism. Under the user pay rate model, the question arises as to how to ensure fair and adequate payment, while avoiding excessive reductions in the use of office services. Further consideration is therefore needed to achieve a proper balance between the wide provision of office services and the receipt of contributions.","Recommendations","The Secretary-General recommends that the General Assembly take note of the statutory funding and the recommendations of the Mixed Funding Mechanism as described in the present note, and recommends that the General Assembly indicate whether it considers a model and which model would be appropriate for the Secretariat to prepare a more detailed proposal for the consideration of the Assembly.","Annex II","Proposal for a mechanism for the preparation of complaints by outsiders","Summary of the rules of expedited arbitration for contracts with consultants and individual contractors: concept paper","Introduction","The present concept document [28] proposes that a possible solution to the problem between the United Nations and certain categories of subsidiaries (i.e. consultants and individual contractors) should be addressed through the inclusion of a number of simplified elements in the UNCITRAL Arbitration Rules. The Secretary-General's report on the administration of justice at the United Nations (A/65/373 and Corr.1, para. The present concept paper does not intend to discuss possible solutions to the dispute between the United Nations and the constituents referred to in paragraph 9 of General Assembly resolution 64/233, nor does it address certain categories of persons not applicable to the process discussed in this concept paper (see General Assembly resolution 63/251, para.","The approach referred to in paragraph 171 of the Secretary-General's report relates to arbitrations that deal with the amount of $25,000 under the auspices of local, national or regional arbitration associations. However, the report concluded that “initiation of formal arbitration in claims amounting to $25,000 or below may not be efficient and effective for the Organization even in accordance with special procedures for arbitration” (A/65/373 and Corr.1, para. Therefore, the rapid process outlined below does not precede financial constraints.","The procedures contained in this concept paper can be used both for specialized arbitration and for arbitration under the auspices of the Association of Arbitration, provided that the relevant associations agree to conduct arbitration in accordance with these procedures.","In simplifying arbitration proceedings, it must be borne in mind that, in accordance with article 8, paragraph 29, of the Convention on the Privileges and Immunities of the United Nations, the United Nations should provide for appropriate solutions to disputes arising from its contracts. Thus, the procedures contained in this concept paper seek to preserve the basic characteristics of the due process.","The procedures contained in this concept paper have the following basic characteristics:","• A two-phase process consisting of a informal dispute resolution phase and of a rapid arbitration process when informal dispute resolution is not successful","• The time frame for submitting arbitration requests cannot be abandoned","• Single arbitrators","• List of arbitrators selected from the Organization's agreement with individual contractors/consultants (see para. 8 (d) below)","• Limitation of arbitrators","• A designated body to exercise certain functions of a designated body by a neutral entity, such as the selection/appointing of arbitrators and the decision on the party's objection to arbitrators","A neutral entity may be an international dispute resolution body (in this case, the Organization and the applicant need to share the agency's management costs in their respective share)","• As long as possible, electronic transmission of arbitration notices and other communications","• Standard templates used by parties in submitting documents","• Streamlining and submitting other documents and limiting their number","• Limitation of amendments to pleadings and submissions","• The witness testifies in writing unless the arbitrator decides that the witness shall be given oral testimony (e.g., in order to allow the parties to carry out cross-exclusive testimony)","• Meetings and consultations between arbitrators and parties on initial administrative matters and other matters","• As an exceptional case, a party may request a hearing in order to cross-quality evidence or, if necessary, an arbitrator may order a hearing to address the substantive issues of fact or law; such hearings are usually carried out through teleconferences or videoconferences, with a limitation not exceeding two days.","• In most cases, arbitrators make decisions based on written pleas by parties and submissions (full written proceedings)","• Arbitral award within a specified time frame, for example, 30 days","• Any compensation paid by the decision is limited to filling economic losses and setting a ceiling","• Depending on the number of arbitrations initiated against the Organization in accordance with the proposed simplification of arbitration proceedings, additional resources may be required to defend the Organization and minimize its legal responsibility.","Framework","A set of new rules, known as the United Nations Rules for the Rapid Arbitration of Counsel contracts (hereinafter referred to as “the Quick Rules”), will be prepared in the framework of the UNCITRAL Arbitration Rules. The Quick Rules will be based on the UNCITRAL Arbitration Rules and make necessary changes to them to incorporate the expedited procedures referred to above. The present concept paper will describe the content of these changes, but it does not necessarily define the terms or place. This concept paper will also indicate what provisions of the UNCITRAL Arbitration Rules are relevant to or affected by the proposed process. It should be noted that, in addition to the points contained in the present concept paper, there are many other consequential changes to the UNCITRAL Arbitration Rules (e.g., changes required to adapt to only one arbitrator).","Summary of dispute resolution procedures","The Quick Rules provide for a two-phase process consisting of an informal dispute resolution phase and a rapid arbitration process. In the absence of success in the informal dispute settlement phase, the parties will enter the formal dispute settlement phase, namely, the rapid arbitration process, which will be discussed in the following sections.","Scope of the Quick Rules (the provisions of the UNCITRAL Arbitration Rules): Article 1","The Quick Rules apply to consultants and others employed in United Nations service contracts for consultants and individual contractors (see ST/AI/1999/7/Amend.1, annex) or to contracts with consultants and individual contractors using similar contractual formats for United Nations funds and programmes (see, for example, A/62/748 and Corr.1, para. 13; and A/65/373 and Corr.1, annex IV, para. These categories of personnel are referred to as “personal contractors” in this concept document.","Comments","(a) By this approach, the Quick Rules apply to all persons employed under consultants and individual contractors' service contracts or similar contracts. This includes, for example, special experts and workers holding such contracts (see A/62/748 and Corr.1, paras. 33 and 40; and A/62/782, paras. 31-35 and 37-39), but not United Nations Volunteers (see A/62/748 and Corr.1, paras. 23 and 24; and A/62/782, paras. 22 and 23), officials other than Secretariat officials (see A/62/748 and Corr.1, paras. 29-31; and A/62/782, paras. 27-29) and others holding contracts.","(b) The dispute resolution provisions in contracts with individual contractors will be altered, providing that disputes that have not been resolved in a friendly manner during the informal dispute settlement phase should be submitted to arbitration in accordance with the Quick Rules.","(c) The Quick Rules would provide for specific types of contractual claims applicable to them, such as claims that the parties have breached or otherwise terminated the contract. In addition, the Quick Rules explicitly exclude certain categories of disputes from ratione materiae, such as claims made by a contractor with a staff status. For the purposes of the provisions of Appendix D to the Staff Rules, the duties of arbitrators are limited to verification of whether the applicant is entitled to the same compensation procedure as set out in Appendix D to the United Nations Staff Rules. In addition, the Quick Rules also determine the time frame for the submission of an arbitration application and stipulate that the time limit shall not be abandoned.","(d) Unlike the UNCITRAL Arbitration Rules, individual contractors or consultants are not necessarily familiar with or accessible to the Quick Rules, and, therefore, the Quick Rules (including the names of entities where individual contractors or consultants may be required to present the lists of arbitrators) or should be made available to each individual contractor or consultant prior to signing the contract. Individual contractors or consultants must sign a letter of confirmation indicating that (i) the organization has provided the Quick Rules, (ii) the Quick Rules form an integral part of the contract and (iii) their acceptance of the list of arbitrators.","Announcements and other correspondence (the provisions of the UNCITRAL Arbitration Rules): Article 2","The parties and arbitrators shall communicate their notices, correspondence or proposals through electronic means in accordance with the Quick Rules unless such means of delivery are not available or impossible for technical reasons. [Reviews: This may include, for example, the lack or failure of electronic means of transmission, the excessive number of written or submissions. ]","Reports and other submissions (articles covered by the UNCITRAL Arbitration Rules: articles 3, 4, 20, 21, 22, 23 (2), 24 and 25)","Preliminary comments","According to the following provisions, the applicant was not required to submit a letter of reply before the arbitrator was appointed. The reason for this provision is that the applicant may wish to raise the defence of the arbitrator's jurisdiction (e.g., the relevant controversy cannot be submitted to arbitration in accordance with the arbitration clause affirmed by the applicant or, for some other reasons, the arbitrator has no jurisdiction); or may wish to reject the application in advance on the basis of a manifest lack of legal basis for the arbitration application. The applicant was not required to submit a full letter of reply and accompanying documents before the arbitrator had ruled on the issue of jurisdiction or the question posed by the applicant against the merits.","The applicant initiated the arbitration process by submitting an application for arbitration and arbitration. The information contained in the book should be similar to those provided for in the UNCITRAL Arbitration Rules. The applicant shall describe his claims and outline the grounds and supportive arguments.","Over 60 days after the receipt of the applicant's request for arbitration and arbitration, the applicant must issue a response to the arbitration request. The responses should include the defence of jurisdiction and other matters, such as the identity of each applicant and the responses to the information contained in the request for arbitration. The parties should use standard templates when submitting documents.","If the applicant raises a defence of the jurisdiction, the applicant shall, in his response to the request for arbitration, set out the facts and debates it wishes to make in support of the defence and, to the extent possible, be accompanied by all documents or documents that are based on them.","The applicant shall, in his reply to the request for arbitration, indicate the facts and arguments it wishes to make in support of the reply and, to the extent possible, the full document or the grounds indicated therein.","After the designation of arbitrators:","(a) If the applicant raises a defence of jurisdiction, the arbitrator shall, after consultation with the parties, set the time frame for the applicant to respond to the defence. The arbitrator then ruled on the defence of jurisdiction by the applicant [reviews: no hearings are held, see section 13] below, and the arbitrators shall set the time frame for the submission of the respondent's submission if there is jurisdiction;","(b) If the applicant's response to the request for arbitration is made in advance on the basis of a manifest lack of legal basis, the arbitrator shall, after consultation with the parties, set the time frame for the applicant's response to the respondent. The arbitrator then ruled that the applicant's reply to reject the application in advance on the basis of a manifest lack of legal grounds for the arbitration application [review: Without a hearing, see section 13 below] below, where an arbitrator is still maintaining an arbitration request, the time limit for the submission of the respondent by the applicant shall be set;","(c) If the applicant has not raised a defence of the jurisdiction or has not submitted a reply to the request for arbitration based on the apparent lack of legal basis, the arbitrator shall set the time frame for the submission of the respondent.","The information contained in the letter of reply should be similar to those provided for in the UNCITRAL Arbitration Rules. The applicant shall, in his letter of reply, respond to the specific elements of an arbitration application, may submit a counterclaim or a request for damages to the jurisdiction, unless it has been raised before. The letter of reply should be accompanied, to the extent possible, by the applicant as the basis of all documents or other evidence, or by the indication of the place of the documents.","Extension or shortening of time limits (the provisions of the UNCITRAL Arbitration Rules): Article 17 (2)","The time frame established or agreed by the parties in the Quick Rules may be extended or shortened at any time if the parties agree or the arbitrators so decide upon.","Amendments to the written statement (in the context of the UNCITRAL Arbitration Rules): Article 22","After the selection and acceptance of the appointment of an arbitrator, a party may not amend its submission unless the consent of the party or the arbitrator is obtained. A request for amendments to be submitted to an arbitrator shall be subject to the text of the proposed amendment and shall indicate the reasons and reasons for the amendment. In order to decide whether to permit the amendment, the arbitrator should consider whether the delay in the arbitral proceedings resulting from the granting of amendments, the disadvantages caused to the parties and other circumstances would be greater than their benefits. If a letter of amendment is permitted, the arbitrator shall set the deadline for the party to respond to the amendment. If the written statement was amended, the party could respond only to the amendment.","Supplementary submissions (the provisions of the UNCITRAL Arbitration Rules): Article 24","After consultations with the parties, the arbitrator shall set the deadline for each party to submit other facts, legal debates or documents. The materials should be submitted in writing. No further submission of any material shall be permitted after the time has elapsed. Notwithstanding the above-mentioned provisions, a party may not be permitted to make a presentation of the facts or documents it has or should be known or accessible when the submission of the submission is supplemented.","Disclosure (the provisions of the UNCITRAL Arbitration Rules): Article 27 (3)","An arbitrator may, at the request of a party or at his own initiative, order any party to present, at any time, evidence or request any person to disclose or provide the documents or information required by the arbitrator as fair and expeditious arbitration proceedings. However, an arbitrator may not order any person to present or disclose evidence, documents or information that is confidential or privileged.","If a party wishes to submit a non-exclusive or non-confidential evidence held by the party or any other entity, it may request the arbitrator to order the holder to present the evidence.","If required by security or other special circumstances, an arbitrator may, at the request of any party, take measures to be confidential.","Comments","These provisions are made in accordance with article 18 of the Rules of Procedure of the United Nations Dispute Tribunal.","Witness testimony (articles covered by the UNCITRAL Arbitration Rules): Article 27 (2)","The statements or testimony of any witness, including any person acting as the applicant or the applicant, shall be made by a witness in the form of a written declaration, shall be made public or otherwise certified by law unless the arbitrator decides that, for fair reasons, the testimony shall be given at the hearing.","Comments","See section XIII below on the provisions of the hearings. In addition to certain exceptions, the hearings will take the form of teleconferences or videoconferences. A written statement by a witness shall be submitted as a party's written or supplementary document (see section VIII above).","The terms of reference of the designated body (the UNCITRAL Arbitration Rules): Article 6","There is no designation of institutions.","However, it is still necessary to retain certain functions of the designated body, such as the selection or designation of arbitrators, the objection of arbitrators. These functions can be performed by a neutral entity.","A neutral entity may be an international dispute resolution body selected through competitive recruitment.","The benefits of a neutral entity by an international dispute resolution body are as follows: (a) Such an institution could provide existing expertise in all aspects of the management of arbitration proceedings; (b) select such institutions through competitive recruitment to reflect the commercial nature of the disputed contract; and (c) manage arbitration by an external body to ensure that the impartial entity is not relevant to the Organization and avoid giving preferences. However, the applicant and the applicant are required to assume the management fees charged by the institution in their respective shares.","Article of the Arbitration Rules of UNCITRAL: Articles 7 to 15","Number and designation of arbitrators (articles covered by the UNCITRAL Arbitration Rules: articles 7 to 10):","(a) Only a single arbitrator;","(b) The neutral entity referred to in section XI above will prepare and maintain a list of persons who may serve as arbitrators;","(c) A condition on the inclusion of a list whereby an arbitrator is required to sign a document that confirms its consent and, if designated as an arbitrator in a case, to arbitration in accordance with the Quick Rules and to accept the maximum limit established for the arbitrator's fees (see section 17 below);","(d) Designation of arbitrators: the neutral entity referred to in section XI above will select an arbitrator from the list of persons who may serve as an arbitrator. In order to make this process more predictable, a checklist process will be used by the parties to select their most priority candidates from a list containing several candidates, which will be communicated by the neutral entity in a confidential manner to each candidate.","Objections to arbitrators (articles 11-15 of the UNCITRAL Arbitration Rules): The Quick Rules would retain the terms of the UNCITRAL Arbitration Rules concerning objections to arbitrators, but would provide that the neutral entity referred to in section XI above would make a decision on the objection if the parties were unable to agree on the objection in question or if the arbitrator was not resigned voluntarily. The parties agreed on an objection or the decision of the arbitrators to resign would be decisive and would automatically initiate the selection process for new arbitrators.","Arbitration proceedings (articles covered by the UNCITRAL Arbitration Rules: articles 17, 27 (2), 28, 29 and 31)","The process shall be based on the submissions of the parties and submissions, except as provided in the following circumstances.","All meetings and consultations between arbitrators and parties on administrative and other matters are generally conducted through e-mail or teleconferences prior to the merits.","There will be no hearing on the defence of jurisdiction or on the defence against which the application is manifestly lacking in legal grounds. The arbitrators shall make decisions on these defences in accordance with the written documents submitted by the parties.","With regard to the merits, there will be no evidence, testimony or oral debate to be presented in the form of a hearing unless: (a) a party requests a hearing in order to cross-excise witnesses or (b) an arbitrator decides that some substantive facts or legal issues can only be resolved fairly and impartially through a hearing. The hearing is limited to the conduct of cross-exclusive evidence or to the fact or legal issue of witnesses. The hearing shall be used in a telephone conference or videoconferencing manner unless the arbitrator decides, in exceptional circumstances, that a question of fact can be resolved only through personal attendance at the hearings. Any such hearing shall not exceed two days.","Article 29 of the UNCITRAL Arbitration Rules (which stipulates that the arbitral tribunal may designate its own independent expert) will be deleted.","Application of the provisions of the UNCITRAL Arbitration Rules: Article 35 (1)","The Quick Rules will provide that, unless otherwise agreed by the parties, arbitrators will decide on the basis of express contractual provisions, including general terms and conditions covered by the contract. The United Nations Staff Regulations and Rules and domestic laws do not apply to the relevant disputes.","Decisions (articles covered by the UNCITRAL Arbitration Rules: articles 33 and 34)","The arbitrator does not have the right to decide on payment of punitive damages, nor shall it be authorized to make decisions as a friendly mediator or in accordance with the principles of justice and goodness. In addition, unless otherwise expressly agreed in the contract, the arbitrator was not entitled to decide on the payment of interest earned by the London Bank, which was then introduced, and any such interest should be simply profitable. The parties shall be bound by such arbitration decisions as a final decision on any dispute, dispute or claim.","Comments","These provisions came from arbitration provisions in the United Nations General Conditions of Contract.","The arbitrator shall rule within 30 days of the conclusion of the arbitration proceedings. The award for economic losses should be compensated only and a maximum [shall be determined].","Costs (articles covered by the UNCITRAL Arbitration Rules: articles 40, 41 and 43)","Arbitral award fees: The Quick Rules will limit arbitrator fees. The limitation on arbitrators' fees shall be contained in the Quick Rules and in the documents signed by them as a precondition for listing arbitrators (see section XII, paragraph 27 (c) above).","Cost determination and distribution: each party should assume its own costs irrespective of the outcome of the case, and the parties should share the costs of arbitrators on average. In exceptional cases, however, arbitrators may decide that, in a fair and equitable manner, the costs and costs of the parties and arbitrators may be apportioned.","Confidentiality (articles covered by the UNCITRAL Arbitration Rules: articles 28 (3) and 34 (5))","All arbitration proceedings, including all notices, correspondence, writings, documents, submissions, hearings and decisions, shall be confidential unless the parties agree otherwise in writing. However, the United Nations or its funds or programmes may inform their governing bodies, at the request of their governing bodies, of the information on the arbitration proceedings.","Other matters","Privileges and immunities","Unlike the UNCITRAL Arbitration Rules, the Quick Rules are designed specifically for United Nations arbitration cases, and therefore the provisions on privileges and immunities are desirable in that rule:","“[Un]ny elements contained or relevant in the Rules shall not be interpreted or applied in a manner that is incompatible with the privileges and immunities of the United Nations, including its subsidiary bodies, or shall not be deemed to have waived such privileges and immunities. In order to avoid questioning, arbitration under [the full name of the Rules] shall not be subject to any local law, any reference to the location of arbitration shall not be considered or interpreted as relinquishing such privileges and immunities or the consent of the United Nations to the jurisdiction of any State.”","Annex III","Compensation awards by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal","Compensation awards awarded by the Management Evaluation Unit (1 July 2009 to 31 May 2011)","Summary of awards paid","(1 July 2009 to 31 May 2011)","The Executive Board","B. Compensation awards awarded by the United Nations Dispute Tribunal and the United Nations Appeals Tribunal (1 July 2009 to 31 May 2011)","[TABLE]","Note: “No applicable” means that no action has been taken after the judgement of the United Nations Dispute Tribunal or that the judgement is still under appeal.","The United Nations Appeals Tribunal Judgement No. AD(a) applicant's claim for compensation for the net payment (United States dollars) for the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) for the period from 1 July 2003 to 20 January 2004 amounted to a salary difference between grades 8 and 14 of the United States dollars. In addition, the net base of the United Nations Relief and Works Agency for Palestine Refugees in the Near East for Palestine Refugees in the Near East for the period 2010-UNAMIT-022 Abu Hamda was not applicable or the payment of a net base of $119000.00 for the United Nations Relief and Works Agency for Palestine Refugees in the Near East for the return of the applicant to the United Nations Relief and Works Agency for Palestine Refugees in the Near East for the United Nations Relief and Works Agency for Palestine Refugees in the Near East in the amount of $7600.002,00 million for the period 2010-2011 and 31 July 2009 for the net departure of the United Nations Operation in Côte d'Ivoire.","lob (a) Judgement of the United Nations Appeals Tribunal on the award of compensation in cases where the United Nations Dispute Tribunal has not been tried or ruled for payment of compensation.","C. Judgement of the United Nations Dispute Tribunal for awarding compensation equal to or above the net base for six months (from 1 July 2009 to 31 May 2011)","(a) The decision of the United Nations Office on Drugs and Crime (UNMIK) to repay the United Nations Environment Programme (UNRWA) in the event of a decision of the United Nations High Commissioner for Refugees (UNCL) No. 212, which is not applicable to the United Nations Trust Fund; The Court found that, inter alia, investigations and other actions taken by the applicant were procedurally flawed and that it was not appropriate for the United Nations Secretariat (United Nations Operation in Côte d'Ivoire) to maintain a three-month net base (a loss of employment demonstration opportunities); (2) $4760 (exploitation costs); (3) a net base of 46339.86 for the six-month period, in the Lutta case 2011-UNAT-117 judgement, the Appeals Tribunal upheld the decision of the former UNTrice Cohen, Nairobi applicants to challenge immediately. The Dispute Tribunal found that the applicant's conduct did not constitute a misconduct, and that his due process rights were violated by the United Nations Secretariat (United Nations Organization Mission in the Democratic Republic of the Congo) and that the applicant's revocation (as an alternative, payment of the net base salary for two years) (1) payment of salary and entitlements from the date of departure and the date of the judgement; (2) the net base base for two months (intrusion of due process rights) 101624 did not apply UNDT Viet Nam119 Gaskins to the decision of the applicant to terminate his appointment. The United Nations Dispute Tribunal found that the applicant's employment contract had been defaulted, resulting in his own image and reputational damage, the United Nations Development Programme did not apply the six-month net base (a violation of due process rights, insult, pain and reputational damage) $440420.98, which did not apply to the UN DTechon Frechon, the Nairobi Dispute Tribunal found that the applicant had been dismissed for medical reasons and the decision of the International Criminal Tribunal for Rwanda to remove the contested dismissal applicant's decision, re-making (as an alternative, payment of the net base salary) for the period 154 to be fully applicable to the United Nations Human Settlements Programme for the period [...]. The Dispute Tribunal found that the applicant's rights were violated. The Economic Commission for Africa does not apply to the payment of salaries from November 2007 to March 2009; (2) the non-applicability of the six-month net base salary (respective of due process) UNDT 6, Edward M'Bra. The United Nations Dispute Tribunal has found that the immediate dismissal decision does not apply to the United Nations Secretariat (the United Nations Organization Mission in the Democratic Republic of the Congo) and the decision of the United Nations High Commissioner for Refugees (UNCWA) to pay a net base salary of 2 years from the date of the immediate departure; and (ii) the net liability of the United Nations Interim basement for the period 372. In the light of the recognition of the responsibility of the respondent, the case concerned only whether the amount of compensation paid for the net base for the period 2 years was appropriate, and the decision of the Office of the United Nations High Commissioner for Refugees to remove the immediate dismissal (as an alternative, payment of the net base salary for the period 2 years) (1) a net base for six months (a violation of due process rights); (2) a special post allowance for four months; (3) a net base for six months (psychia mental suffering and insult); (4) payment of salaries and entitlements at the G-6 level from June 2005 to December 2010 did not apply the special allowance and interest. Other appeals are pending. UNDTender060 Finniss United Nations Dispute Tribunal found that the applicant's rights were violated during the selection process at the P-5 level. The United Nations Secretariat (Office of Internal Oversight Services) does not apply (1) a net base of 18 months (in the selection of the first position, no due consideration is given to the applicant); (2) a six-month net base (in the selection of the second position, no due consideration has been given to the applicant) in the absence of a net application of UNDT 6, Borhom, the United Nations Dispute Tribunal concluded that the decision of the immediate dismissal is not lawful, the decision of the Office of the United Nations High Commissioner for Refugees to withdraw from the decision of the immediate departure, re-election (as an alternative, payment of a net base base salary) for 6 months; and (b) a net violation of the United Nations Inviolability process for the United Nations system for the United Nations Secretariat (UNVi. The award has actually been paid for two months to amend the award to a net base salary of two months (Kasyanov judgement No. 2010-UNAT-076) UNDTamp040 and No. 57 (New York/2010) Koh New York, after judgement No. Koh UND/2009/078, the Dispute Tribunal handed down awards and orders on compensation. The Dispute Tribunal found that the Organization did not assist the applicant in finding the appropriate work, thereby violating the employment contract with the applicant, the United Nations Development Programme, which did not apply to the United Nations Development Programme (UNDP) in the amount of $1107.60 (economic compensation) in 2000 and $10.60 in the amount not applicable to UNDTDD055 Abbasi in New York, and found that the selection process was discriminatory and violated the rights of the applicant, the United Nations Children's Fund (UNICEF) did not apply to a net base of 12 months (a loss of appointment, career development); and (b) in the case of the Appeals Tribunal in the case of Judgement No. The United Nations Secretariat (Department for General Assembly and Conference Management) does not apply to (1) a net base of six months (non-physical damage: setbacks, insults and delays); (2) the salary difference between the P-3 and the P-4 level, from August 2006 to retirement, $336256.94, which was maintained by the Appeals Tribunal in Judge Chen case 2011-UNAT-107, New York, Judgement No. 117 Bertucci, Judgement of the Dispute Tribunal after Judge Bertucci UNDTut080. The Court found that the decision not to appoint the applicant to serve as Assistant Secretary-General infringed its rights and that the United Nations Secretariat (Department of Economic and Social Affairs) did not apply to the amount of $655,000 (economic and non-economic damage) and that the Appeals Tribunal dismissed the judgement in Judgement No. 2011-UNAT-121 of the Bertucci case and returned to the Dispute Tribunal to retrial UNDTender 146 Beaudry, New York, after Judgement No. 039 of the Beaudry UNTup. The Court found that the decision not to extend for the applicant's employment contract was not lawful and that the United Nations Secretariat (United Nations Stabilization Mission in Haiti) did not apply to the amount of $1112082 (the actual economic loss, suffering and violation of the procedure) and that the Appeal Tribunal had cancelled UNDTamp 156 Shkurtaj, New York, in its judgement No. 2010-UNAT-085, and that the applicant had, inter alia, challenged the decision not to implement the award of compensation to the applicant for violations of his rights recommended by the Ethics Office. In part, the Dispute Tribunal supported the applicant and found that his rights were violated in certain matters of the applicant's complaint. The United Nations Development Programme does not apply to a net base of 14 months (in violation of due process, occupational and reputational damage, mental suffering); and $25,000 (in violation of due process); Procedural delays in the treatment of the recommendations of the Ethics Office are not applicable to UN DTamp200 Alauddin, New York, after Judgement No. 114 of the Alauddin case. The Court found that the Organization's employment contract for the applicant was not extended and violated the applicant's rights, and that the United Nations Development Programme did not apply (1) a net base of 11 months, including entitlements, less the applicant's income during the same period (the actual economic loss); (2) $300,000 ( mental injury) did not apply to UNDTlus 12 Tolstopiatov, New York, and that the United Nations Children's Fund was not applicable to the United Nations Children's Fund (UNICEF) and the United Nations Children's Fund (UNV) was decided that the United Nations Children's Fund (UNV) would not apply to the United Nations Children's Fund (UNV) in New York. The Dispute Tribunal therefore found that the disputed decision was not lawful and that the United Nations Population Fund did not apply (1) a net base base and entitlements for six months (removal economic losses); (2) $8000 (psychiatry suffering) did not apply to UNDT 6, Garcia, in New York, where the United Nations Development Programme had not been able to carry out employment relations, in violation of its contract with the applicant; the United Nations Development Programme had received adverse material from the individual files of the applicant (1),128.48 (wage and entitlements); (2) $101926,243 (UNV) was not applicable to the United Nations Secretariat (UNV), and the United Nations Office of the United Nations Secretariat (UNV) was granted a net voucher voucher's.","Note: “No applicable” indicates that no action has been taken after the judgement of the United Nations Dispute Tribunal or that the judgement is still at the appeal stage.","AD(*) A/63/250.","[2] Individually administered funds and programmes address management evaluation independently.","[3] Judge Mayine Karmann has resigned from the Dispute Tribunal effective 30 June 2011.","[4] The number of applications or appeals is not necessarily the number of judgements due. Several appeals may sometimes be disposed of in a judgement or closed without judgement.","[5] The principal drafters of a judgement paid $2,400. Each judgement of other signatories was received by $600.","[6] “The case” means any formal appointment of a lawyer in the formal system (Management Evaluation Unit, the Dispute Tribunal and the Appeals Tribunal); legal guidance and a brief legal advisory opinion to assist staff in resolving disputes informally and may involve consultations with staff, discussions and negotiations with third parties or referrals to other actors in the system, including referrals to the Office of the Ombudsman or staff trade unions.","[7] These entities are: International Tribunal for the Law of the Sea, United Nations Joint Staff Pension Fund, International Civil Aviation Organization, International Maritime Organization, United Nations Relief and Works Agency for Palestine Refugees in the Near East, International Seabed Authority and International Court of Justice.","[8] See article 7 (11) of the rules of procedure of the Court of the World Bank (which stipulates that cases considered to be “acceptably unacceptable or unjustifiable”) and article 8 of the statute of the Inter-American Organization of Administrative Tribunal (which allows for the rejection of the claim “on the basis that there is no jurisdiction ... that the admissibility requirement is not met or that a remedy is not submitted”.","[9] United Nations Appeals Tribunal judgement No. 2010-UNAT-57 (Fagundes).","[10] Order 49 (2011) of the United Nations Appeals Tribunal (Finniss).","[11] Judgement 2011-UNAT-121 of the United Nations Appeals Tribunal (Bertucci).","[12] The Secretary-General points out that the time limit for appeal by the Court of Civil Servants of the European Union is two months (see the Statute of the Court of the European Union, annex I).","[13] Judgement No. 2010-UNAT-62 of the United Nations Appeals Tribunal (Bertucci).","[14] Judgement No. 1157 of the United Nations Administrative Tribunal, Adronov (2003), para.","[15] Judgement No. 1999-2 of the IMF Administrative Tribunal (Mr. V) v. IMF, paras.","[16] Judgement No. 384 of the World Bank Administrative Tribunal (AA v. IRD) (2008), paras.","[17] General Assembly resolutions 48/218 B, 60/1 on the Ethics Office and 62/228 on the Office of Staff Legal Assistance.","[18] Order No. 19 (NY/2010), United Nations Dispute Tribunal, para.","[19] Decision No. 384 (AA v. World Bank) (2008), paras.","[20] Order No. 010 (I/2011) of the United Nations Dispute Tribunal (Abosedra), para.","[21] United Nations Administrative Tribunal judgement No. 1396 (2008), Wielechow, para.","[22] Judgement No. 2010/68 of the United Nations Dispute Tribunal (Chen) and Judgement No. 2011-Chen, United Nations Appeals Tribunal.","[23] Judgement No. 421 of the United Nations Administrative Tribunal (Chatwani), para.","[24] Judgement No. 2011- Appeal Tribunal-107 (Chen), para.","[25] United Nations Dispute Tribunal directive No. 010 (NBI/2011) (Abosedra), para.","[26] The records of the San Francisco Conference point out that “The Charter shall specify the responsibility of Member States to bear the expenses of the Organization”. United Nations Conference of International Organizations, Documents, vol. VIII, p. 487.","[27] For example, UNDTarts025 (Kita).","[28] This concept paper was prepared by the General Legal Affairs Division of the Office of Legal Affairs, in consultation with the United Nations funds and programmes. It should be noted that the United Nations Children's Fund retains its right to choose to withdraw from the proposed simplified arbitration process."],"string":"[\n \"Sixty-sixth session\",\n \"Items 134 and 143 of the provisional agenda\",\n \"Proposed programme budget for the biennium 2010-2011\",\n \"Administration of justice at the United Nations\",\n \"Administration of justice at the United Nations\",\n \"Report of the Secretary-General\",\n \"Summary\",\n \"In its resolutions 61/261, 62/228 and 63/253, the General Assembly decided to establish an independent, transparent, professionalized, resourced and decentralized United Nations justice system, which was operational on 1 July 2009.\",\n \"The Secretary-General is satisfied with the active recognition by the General Assembly in its resolution 851 of the implementation of the new system, in which the Assembly took note of the achievements of the new system since its establishment, including improvements in the handling of new cases, and commended all those involved in the management of previous systems to transition or implement the new system.\",\n \"The General Assembly also recognized that the new system of administration of justice would evolve and noted the need for careful monitoring of its progress to ensure that the system was consistent with the guiding principles set out in the resolution establishing a new system of administration of justice, namely, that the system must be independent, transparent, professional, resourced and decentralized; that the system conforms to the relevant rules of international law and the rule of law principles and due process in order to ensure respect for the rights and obligations of staff and accountability for managers and staff.\",\n \"In the present report, the Secretary-General presented the achievements of the new system of administration of justice during the period from 1 July 2010 to 31 May 2011. The treatment of cases at all stages of the formal system continues to show significant improvements in efficiency. During the period from 1 July 2010 to 31 May 2011, the Management Evaluation Unit received 390 requests for review, which were closed or resolved 281. In the same period, almost one third of the 850 cases responsible for the Office of Staff Legal Assistance were resolved. Between 1 July 2010 and 31 May 2011, 195 cases had been handed down in the various offices of the United Nations Dispute Tribunal on behalf of the Secretary-General; 90 cases had been handed down by the United Nations Appeals Tribunal in the cases handled by the Office of Legal Affairs.\",\n \"However, the success of the system and the efficiency of the offices of the system have led to significant financial and human resources in these offices and sectors. As noted by the Secretary-General in his report on the administration of justice to the General Assembly at its sixty-fifth session (A/65/373 and Corr.1), a number of key areas must be strengthened with a view to maintaining the current pace of work and continuing to implement all mandates entrusted to the new justice system by the Assembly.\",\n \"In its resolution 9851, the General Assembly requested the Secretary-General to provide data and information on the operation and related matters of the new system. The present report responds to these requests.\",\n \"In addition, taking into account the experience gained so far, the present report requests additional resources of $8,677,900 (before recosting) under sections 1, 8, 19, 29A, 29C, 29D, 29E, 29G and 37 of the proposed programme budget for the biennium 2012-2013.\",\n \"Contents\",\n \"The Executive Board\",\n \"Overview\",\n \"The General Assembly established a new system of administration of justice through resolutions 61/261, 62/228 and 63/253. The system has two tribunals, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, with professional judges, supported by the Registry in Geneva, Nairobi and New York. The General Assembly considered that legal assistance should be provided to staff. Accordingly, the new system also includes the Office of Staff Legal Assistance, with specialized legal officers in Addis Ababa, Beirut, Geneva, Nairobi and New York. In order to ensure the independence of the system, the Office of the Administration of Justice is responsible for the management of all sectors of the formal system, providing administrative, operational and technical support to the Tribunals, the Registry and the Staff Legal Aid Office and the Internal Justice Council.\",\n \"The management evaluation is a mandatory first step in the formal administration of justice system and is carried out by the Department of Management and the funds and programmes administered separately. The Management Evaluation Unit of the Department of Management is composed of professional legal officers, first reviewing contested decisions. The Unit was established to provide management with an opportunity to correct inappropriate decisions or to take acceptable remedies for the deficiencies in the decisions taken to reduce the number of cases entering formal proceedings. Similar mechanisms exist for funds and programmes.\",\n \"In addition to the increase in the number of cases, as the system is strengthened and professionalized, the various offices and departments representing the respondent Secretary-General require a significant increase in service.\",\n \"The new system continues to make progress in dealing with a large number of cases transferred by the various departments of the old system. In order to prevent the backlog, the General Assembly appointed three ad litem judges to the United Nations Dispute Tribunal and appointed judicial personnel to support the work of judges.\",\n \"Review of the formal administration of justice system\",\n \"Management Evaluation Unit [2]\",\n \"The Management Evaluation Unit, located in the Office of the Under-Secretary-General for Management, is the first step in the formal system of administration of justice. The core functions of the Unit are: (a) rapid management evaluation of contested administrative decisions relating to hiring contracts or terms of appointment; (b) assistance to the Under-Secretary-General for Management in providing prompt and reasonable responses to staff requesting management evaluations on evaluation findings; and (c) assistance to the Under-Secretary-General in ensuring the accountability of managers through ensuring that managers fulfil their responsibilities to manage the Organization's human and financial resources.\",\n \"The Management Evaluation Unit received 823 cases from 1 July 2009 to 31 May 2011, of which 184 were in 2009, 427 in 2010 and 212 in 2011. In eight23 cases before it, the Unit completed and closed 665. As at 31 May 2011, the Unit made a recommendation for compensation in 18 cases with a total amount of $183,339.44. A breakdown of that amount is contained in annex III to the present report.\",\n \"The management evaluation process has provided the Administration with the opportunity to prevent unnecessary proceedings before the Dispute Tribunal and to save the Organization. In the cases before and closed by the Unit in 2010, about 36 per cent were resolved informally through the Unit, the Office of the Ombudsman or through bilateral negotiations between the Administration and staff.\",\n \"Following the determination by the Management Evaluation Unit that the decisions taken are in accordance with the rules and jurisprudence of the Organization, the Secretary-General has maintained a controversial decision in approximately 84 per cent of the cases submitted to the Unit but not resolved informally.\",\n \"In accordance with the decision of the General Assembly to establish a judicial system, such as transparency (para. 4 of resolution 61/261), the Management Evaluation Unit shall, subject to the recommendation to maintain a disputed administrative decision, send a reasonable written response to the staff concerned on the basis of the management evaluation, including the fact of cases, the summary of cases of decision makers, the applicable rules and the jurisprudence of the Organization, and explain why the Unit considers that the disputed decisions are in compliance with applicable rules and jurisprudence and the final decision of the Secretary-General. The funds and programmes follow similar approaches in their management evaluation processes.\",\n \"After the management evaluation process, staff members have the statutory right to submit cases to the Dispute Tribunal (General Assembly resolution 62/228, para. The Management Evaluation Unit is of the view that staff members are more likely to decide not to exercise their statutory right to appeal if they find fair, objective and accurate management evaluation procedures. The Unit also believes that the provision of reasonable written replies to staff after the completion of the management evaluation process is an important means of building credibility in the new system of administration of justice, in particular the credibility of the management evaluation process. The funds and programmes also share this view.\",\n \"In order to determine how many staff members have made complaints to the Dispute Tribunal following the management evaluation of the disputed administrative decisions, the Management Evaluation Unit is implementing a follow-up mechanism in cooperation with the Office of Internal Justice.\",\n \"As at 31 December 2010, 83 per cent of cases had been brought before the Dispute Tribunal after the management evaluation process, consistent with the recommendations of the Management Evaluation Unit. A number of key legal issues to be decided by the Court of Appeal remain in place and the limited capacity of the management evaluation unit is limited. Nevertheless, the similarity of the two opinions is instructive and can be seen as showing the impartiality, objectivity and accuracy of the Unit.\",\n \"In assisting the Under-Secretary-General for Management in ensuring accountability, the Management Evaluation Unit regularly reviews the number of cases to identify trends and systemic issues, as described in its report. The Unit also provides secret support to the Under-Secretary-General in the compilation of the Guidance on Lessons Learned for Managers distributed to heads of offices and departments. The Guide to Lessons Learned by Managers recalls the jurisprudence of the Dispute Tribunal and the Appeals Tribunal and examines the manner in which the Tribunals interpret and apply the internal rules of the Organization. In 2010, the Under-Secretary-General circulated two volumes of the Guidance on Lessons Learned by Managers. In April 2011, the Under-Secretary-General issued the Guidance Notes, which is expected to circulate a further volume of the Management Lessons Learned Guidelines in the second half of 2011.\",\n \"Legislative time frames\",\n \"Following a request for management evaluation, management evaluations at Headquarters must be completed within 30 calendar days, with offices away from Headquarters completed within 45 calendar days (General Assembly resolution 62/228, para. In accordance with the conditions established by the Secretary-General, cases submitted to the Office of the Ombudsman may extend the deadline.\",\n \"In the report of the Advisory Committee on Administrative and Budgetary Questions (A/65/557, para. 16), it was noted that these cases should be addressed in the best way by the staff members before the justice process; management evaluation functions were an important opportunity to deal with wrong administrative decisions and to avoid access to justice.\",\n \"In accordance with the instructions of the Advisory Committee on Administrative and Budgetary Questions, if the Management Evaluation Unit determines that the disputed decision is not in accordance with the internal rules of the Organization, and the Under-Secretary-General for Management approved informal settlement, the Management Evaluation Unit will help to resolve directly between the parties. The experience of the Unit is that informal solutions require extensive consultations between the parties, which are usually more than the statutory time frame for the management evaluation. However, there is no provision in the regulations allowing the Secretary-General to suspend the management evaluation process with the consent of the parties involved in the case. The funds and programmes share this view, but point out that they have succeeded in doing so with the consent of the parties.\",\n \"Similarly, staff members sometimes submitted requests for management evaluation and, on their own initiative or on the management evaluation unit, requested additional material. In such cases, there is no provision in the regulations to extend the time frame for the evaluation.\",\n \"The Management Evaluation Unit is of the view that strict compliance with the statutory time frame allows staff to receive unfull or inaccurate management evaluations, leading to unnecessary recourse to the Dispute Tribunal. In order to avoid such results, the current approach of the Unit is to request staff to agree on an extension time frame for informal settlement of cases or, where additional information is required to properly complete the management evaluation process. The Unit is of the view that no cases have been completed within the relevant statutory time frame or that no cases have been closed in a timely manner within the time frame agreed by the staff; staff agreed that the extension period was intended to facilitate informal settlement of the case or obtain the necessary additional information to ensure that the evaluation is comprehensive. The funds and programmes share this view and point to their successful compliance with the statutory deadlines for all cases to date.\",\n \"One of the staffing establishment of the Management Evaluation Unit is the Chief of Unit (P-5), two Legal Officers (P-4), one Legal Officer (P-4) (General temporary assistance) and three Legal Assistants (General Service (Other level)). However, the current human resources of the Unit are not sufficient to meet the mandate of the Unit, which has had to use, as appropriate, a limited budget funding that could be disposed of to temporarily supplement a legal post.\",\n \"The Management Evaluation Unit is of the view that the number of cases processed during the operation of the last two years has proved necessary to increase the number of legal posts at the third P-3 level. These figures indicate that users of the new system of administration of justice have surpassed the previous system. In addition, based on data collected in the caseload, the Unit anticipates that the number of cases processed in 2011 is at least the figure for 2010 (approximately 427).\",\n \"The Management Evaluation Unit notes that, in 184 cases received in 2009, the number of cases submitted in the fourth quarter fell by 23 per cent compared to the third quarter. The Unit notes that, in 427 cases submitted in 2010, there has been a steady increase in the cases submitted in the previous two quarters, followed by a decrease in the cases submitted in the third and fourth quarters. The Unit notes that 57 per cent of the cases submitted in 2010 were submitted for the period from 1 January to 30 June 2010, 43 per cent for the period from 1 July to 31 December 2010 and a significant decrease in the number of cases submitted for the period from 1 October to 31 December 2010. Finally, the Unit notes that the number of cases submitted for the period from 1 January to 31 May 2011 increased compared to the number of cases submitted from 1 July to 31 December 2010. The Unit received 183 cases in the second half of 2010, while 212 cases were received in five months prior to 2011, equal to the number of cases before May 2010.\",\n \"The Management Evaluation Unit considers that the decrease in the number of cases submitted in the last quarters of 2009 and 2010 and the rise in the number of cases in the two quarters of 2010 and 2011 may indicate a new cycle change. However, the total number of cases before 1 July 2009 to 30 June 2010 is projected to be equal to the number of cases before 1 July 2010 to 30 June 2011 (approximately 427).\",\n \"As noted above, timely and justified management evaluation is essential to the successful conclusion of the management evaluation unit's mandate. Since February 2010, the Unit has completed its mandate by increasing the availability of funds at the discretion of a temporary legal post. In addition, the above figures indicate that the Unit can make use of existing staffing tasks because of the fact that the staff have been working over time, delaying annual leave or no annual leave.\",\n \"Therefore, the Management Evaluation Unit considers that the request for an additional Legal Officer (P-3) post in such cases is conservative, as a new legal officer cannot fully fill the gap between the number of persons ortimes required to complete the Unit's mandate each year (828) and the staff member/time (463) who normally require work each year.\",\n \"For the above reasons, the Secretary-General recommends that a Legal Officer at the P-3 level be added to strengthen the Management Evaluation Unit.\",\n \"United Nations Dispute Tribunal\",\n \"Composition of the United Nations Dispute Tribunal\",\n \"On 2 March 2009, the General Assembly elected three full-time judges and two half-time judges of the Dispute Tribunal. The General Assembly then elected three ad litem judges for a term of one year to assist in dealing with the backlog of cases transferred by the old system. At the time of writing, the composition of the Dispute Tribunal was as follows:\",\n \"(a) Judge Vinod Blair (Mauritius), a dedicated judge in Nairobi;\",\n \"(b) Judge Mhamed Ibrahim-Kastens (Botswana), full-time judges in New York;\",\n \"(c) Judge Thomas Lak (Germany), Special Judge in Geneva;\",\n \"(d) Judge Guam Huson Kadir Milan (United Kingdom of Great Britain and Northern Ireland), half-time judges;\",\n \"(e) Judge Coral Short (New Zealand), half-time judges;\",\n \"(f) Judge Jean-François Cosan (France), ad litem judges in Geneva;\",\n \"(g) Judge N Kendim Amelia Izuako (Nigeria), ad litem judges in Nairobi;\",\n \"(h) Judge Mayine Karmann (United States of America), ad litem judges in New York. [3]\",\n \"At its sixty-fifth session, the General Assembly decided to extend the mandate of three ad litem judges and their associates for a further period of six months until 31 December 2011 (see resolution 39/51).\",\n \"Election of the President\",\n \"At the plenary meeting held in Nairobi from 28 June to 2 July 2010, Judge Thomas Lak was elected President and for a term of one year from 1 July 2010 to 30 June 2011.\",\n \"Plenary meetings\",\n \"Since 1 July 2010, the judges of the Tribunal held two plenary meetings (Geneva, 13-17 December 2010 and New York, 27 June-1 July 2011.\",\n \"General activities of the United Nations Dispute Tribunal\",\n \"During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal received 170 new cases. As at 31 May 2011, 254 cases were pending.\",\n \"Of the 170 cases before the reporting period, 108 cases were received from the Secretariat (other than peacekeeping and political missions), including regional commissions, offices away from Headquarters, the International Criminal Tribunal for Rwanda, the International Tribunal for the Former Yugoslavia and departments and offices; 19 cases from peacekeeping missions and political missions; 43 cases from the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Development Programme (UNDP), the United Nations Children's Fund (UNICEF)).\",\n \"Cases previously transferred to the United Nations Dispute Tribunal\",\n \"On 1 July 2009, after the cancellation of the Joint Appeals Boards and Joint Disciplinary Committees in Geneva, Nairobi, New York and Vienna, 169 cases to be processed were transferred to the Dispute Tribunal: 61 cases were transferred to the Geneva Registry; 55 cases were transferred to the Nairobi Registry; 53 cases were transferred to the New York Registry. From 1 July 2010 to 31 May 2011, 29 of these cases were processed.\",\n \"On 1 January 2010, the United Nations Administrative Tribunal transferred 143 cases to the Dispute Tribunal. These cases are distributed in the Registry of the Dispute Tribunal as follows: 51 in Geneva, 40 in Nairobi, 52 in New York. Between 1 July 2010 and 31 May 2011, 76 of these cases have been processed.\",\n \"As at 31 May 2011, 65 cases transferred from previous systems were pending: 10 cases of the Joint Appeals Board and the Joint Disciplinary Committee and 55 United Nations Administrative Tribunal cases.\",\n \"Number of judgements, orders and hearings\",\n \"Between 1 July 2010 and 31 May 2011, the Dispute Tribunal issued 195 judgements, 638 orders and 229 hearings.\",\n \"Cases before the Mediation Division\",\n \"During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal identified 13 cases suitable for mediation and referred them to the Mediation Division of the Office of the Ombudsman. At the time of writing this report, six of these cases have been successful in mediation.\",\n \"Purposes of cases before the Dispute Tribunal\",\n \"During the reporting period, the nature of cases before the Dispute Tribunal could be divided into six main categories: (a) matters relating to appointment; (b) benefits and entitlements; (c) classification; (d) disciplinary matters; (e) separation; and (f) other.\",\n \"Of the 170 cases considered during the reporting period, 56 were related to appointments; 19 were related to welfare and entitlements; 2 were related to classification; 33 were related to disciplinary matters; 28 were related to separation; 32 related to other matters.\",\n \"Issues relating to the staffing of the Dispute Tribunal and its Registry\",\n \"As detailed above, the workload of the Dispute Tribunal has been high and the need for expeditious completion has placed great burden on the judges and staff of the Tribunal. The appointment of three ad litem judges and the extension of their term of office resulted in significant progress in the Dispute Tribunal in dealing with the backlog of cases left by the previous system. However, from the new cases raised, it is clear that the case will soon be a backlog if the positions of ad litem judges were cancelled by the end of 2011. This would result in criticized shortcomings in the previous system — delays and the fact that the new system would face every day.\",\n \"The courts have created dispersion and ensured that the applicant is more vulnerable to the use of judicial means. In order to maintain that facilitation, it is essential that each location of the Dispute Tribunal maintain two full-time judges. If there is only one judge on a given ground, and the judge is in the absence of leave, illness or resignation, which has caused the location to stop its operation, then the establishment of a dispersal court would be completely ineffective. Similarly, in cases where a judge is to avoid, the case naturally needs to be transferred to another location away from the applicant. Only at least two judges at each court location will it be effective to establish three judges' chambers. In addition, the provisions in the regulations stipulate that the application for suspension must be dealt with within five days, while only one judge is almost impossible to deal with substantive requests, which must affect the processing of substantive applications. Finally, the President of the Dispute Tribunal guiding the work of the Court and the Registry will depend on the other judges at the duty station and their support to maintain the pace of the trial of the case.\",\n \"The work of the judges of the Dispute Tribunal is not limited to the judgement. Other necessary functions mentioned in this section indicate that the second full-time judge at each duty station is absolutely necessary. The judges of the Dispute Tribunal closely monitor progress in all cases from the application to the final judgement. Such inspections may include: (a) the holding of case management hearings; (b) the decision on pretrial requests; and (c) the issuance of pre-trial orders. In addition, the judge must hear a suspension of the application within five days' statutory time frame. In order to facilitate administrative work, judges at each location (Geneva, Nairobi and New York) meet regularly with Registry staff to ensure regular and timely processing of cases. They also hold biweek meetings in a videoconference manner that allows better communication among judges and make important decisions on the harmonization of the practices of the three Registrys. Judges are also responsible for drafting the Rules of Procedure; the Tribunal has submitted to the General Assembly recommendations for amendments to the Rules of Procedure. In addition, the judges are responsible for the publication of the Rules of Procedure so that the parties in the case are aware of the procedures that the Court wishes to comply. In the light of the fact that there is no judicial recuperation in the calendar of the Dispute Tribunal to date, the Tribunal will perform all of the above-mentioned functions in addition to the fulfilment of its core judicial functions, such as the determination of the merits and the issuance of the judgement.\",\n \"After two years of operation, the Tribunal is still in the “push” phase. Given the different legal context of judges, in order to ensure that the Court is a unified judiciary that is conducive to the Organization and its staff and that it ensures consistency in its jurisprudence, the Court needs to maintain continuity among judges and supporting personnel.\",\n \"The General Assembly therefore recommends to the General Assembly the appointment of a second full-time judge for all locations of the United Nations Dispute Tribunal. These judges must also receive the necessary support from legal officers and administrative staff. The Secretary-General therefore recommends that P-3 Legal Officers (one in Geneva, Nairobi and New York) and legal assistants (one in Geneva, 1 in General Service (Other level), 1 in New York, 1 in General Service (Other level) and 1 in Nairobi, 1 in General Service (Local level) posts be regularized.\",\n \"In addition, the staffing of the New York Registry is not common. The staffing of the Geneva and Nairobi Registry is one of the Registrars (P-5) and Legal Officers at the P-4 and P-3 levels, while the staffing of the New York Registry is one of the Registrars (P-5) and Legal Officers at the P-4 and P-2 levels. There is no operational basis for such differences; in fact, the New York Registry will benefit greatly if the second legal officer of the New York Registry is higher at the P-3 level. It is therefore proposed that the post of Legal Officer at the P-2 level in New York be reclassified to the P-3 post.\",\n \"Issues other than staffing\",\n \"Trial room\",\n \"Since the new system must be professional, and given that the court hearings will generally be open to the public, the Court must have the facilities that are required by the professional courts at all locations and should be sufficient to accommodate public hearings.\",\n \"The premises in the three locations of the Tribunal have been provided, but the construction of permanent courtrooms remains pending.\",\n \"In New York, as a result of the implementation of the capital master plan, the temporary courtroom is located in the Office of the Administration of Justice. The courtroom has been available but, as an ad hoc temporary site, it is not possible to proceed with the simultaneous interpretation. At the planning stage, due consideration has been given to ensuring that equipment and furniture for temporary sites are removed to the extent possible after the completion of the capital master plan and that they are installed in the permanent premises of the Tribunal. However, arrangements for the establishment of a permanent courtroom for the Dispute Tribunal in New York after the completion of the capital master plan have not yet been made. In Geneva, there has been a permanent space for the trial room, but without further construction, interpretation is not available here. A dedicated permanent trial room is being constructed in Nairobi. However, the budget for the Office of Internal Justice for 2010-2011 did not provide for the construction and configuration of the courtroom. The requirements for the construction and staffing of the courtroom are included in section 34 of the budget for the biennium 2012-2013.\",\n \"b. Travel and communications\",\n \"In its resolution 9851, the General Assembly reaffirmed that another important task of the new system was decentralized. The Dispute Tribunal and its Registry are located in Geneva, Nairobi and New York. The Tribunal serves staff at all duty stations around the world, with a wide geographical coverage at each location. The Tribunal's success in such a decentralized operation depends to a great extent on the ability of the Tribunal and its Registry to communicate with each other and to communicate with the parties and witnesses of the cases before the Tribunal.\",\n \"At the time of the hearing of the Dispute Tribunal, participants were able to participate fully in the proceedings and the judges would be very important to assess the conduct of witnesses. For both purposes, the cost would be extremely costly, and it was therefore envisaged that those activities would be carried out mainly through videoconferencing. However, the costs associated with videoconferencing are also high. The current lack of provision for communications makes it impossible for the Tribunal to make effective use of videoconferences. In addition, it is important to ensure that oral hearings are recorded in a manner that reflects the views of the parties and the judiciary so that the proceedings are accurately recorded so that the transcripts can be recorded for possible subsequent appeal proceedings. The Secretary-General therefore recommends that an additional amount of $25,000 for the Office of the Administration of Justice be added under the subsection of communications to cover the costs of using video holding oral hearings and case chambers as well as biweek meetings of judges and Registrars of the United Nations Dispute Tribunal in order to ensure the quality and reliability of the record of the oral hearings and, if necessary, a transcript for subsequent appeal proceedings.\",\n \"In accordance with the Statute, the Dispute Tribunal may order itself to appear before the Court if it considers that the person of the parties or witnesses is essential to the proceedings. In addition, hearings cannot be held in Nairobi because of the poor or unreliable quality of the video link and the inability of interpreters to communicate effectively with telephone links. This is particularly true in cases at African duty stations. Although such circumstances are not frequent, this has occurred in the first two years of operation of the Dispute Tribunal and is still expected to continue.\",\n \"Moreover, judges and the Registrar must not be able to discuss common issues and respond to them in a uniform manner. In addition, the maintenance of a specialised system is a crucial aspect of providing training opportunities to judges and legal staff to strengthen their legal skills and participate in academic discussions among judicial peers. The current budget does not take into account the question of holding plenary meetings between the judges and the Registrar of the Dispute Tribunal. Moreover, judges and legal staff of the Registry are often invited to participate in legal seminars, but they cannot participate because of a serious shortage of budgets in official travel. This seriously affects their ability to strengthen skills, interact with peers and share knowledge. The Secretary-General therefore recommends an increase of $15,000 in the travel budget of the Office of the Administration of Justice.\",\n \"c. Mechanisms for handling complaints against judges\",\n \"A question relating to the operation of the Dispute Tribunal would also affect the Appeals Tribunal, namely the lack of a mechanism to deal with complaints against judges of the Tribunals. Effective complaints against judges will directly affect the independence, professionalism and accountability of the new system of administration of justice. However, no entity or body has been authorized to carry out the necessary factual investigation, to make decisions, impose sanctions or make recommendations to the General Assembly on the effectiveness of the complaint.\",\n \"In its report to the General Assembly at its sixty-fifth session, the Internal Justice Council expressed concern about the absence of any mechanism to deal with complaints against judges and indicated that it considered it a matter of urgency (see A/65/304, para.\",\n \"The Secretary-General understands that the Internal Justice Council intends to present a recommendation to address complaints against judges of the Tribunals in his report to the General Assembly at its sixty-sixth session. As no mechanism is being put in place, as an interim measure prior to a decision on a standing mechanism, the General Assembly may wish to authorize the Council to investigate complaints against judges, including those already submitted, and to report and make recommendations to the General Assembly for any action it may consider appropriate.\",\n \"With regard to a possible standing mechanism, the Secretary-General, on the basis of his previous report (A/63/314, paras.\",\n \"This allegation will be reported to the President of the Tribunal when the allegation of misconduct or incapacity of a judge is raised. The President will then conduct a proper investigation of the allegations, first of all by identifying an appropriate investigation procedure before the appointment of a panel of experts to investigate them. The investigation will apply all necessary appropriate procedures to the accused judge, such as the opportunity to respond to the allegations and to present the relevant evidence. If the allegations were directed against the President of the relevant court, the most senior of the other judges of the Tribunal was charged to the Dispute Tribunal. If charged with the President of the Appeal Court, the charges were brought before the first Vice-President of the Tribunal.\",\n \"Once an investigation has been conducted, the results of the investigation will be reviewed by all the courts concerned, but the investigating judge shall not participate. The President or the Acting President will report this matter to the General Assembly and request that the judge be dismissed if all judges agree that the evidence of the misconduct or incapacity of the act is sufficient and the gravity of the problem is sufficient.\",\n \"The President or the Acting President will be entitled to take appropriate corrective measures in the light of the circumstances, even if the act is found to be sufficient, without reaching the extent to which it should be removed. Reports on the disposition of complaints are submitted annually to the General Assembly. In addition to this recommendation, another approach is to amend the terms of reference of the Internal Justice Council, which is responsible for investigating and making recommendations on any complaints received by the judges of the Tribunals. When a judge is charged with misconduct or incapacity, the charge will be sent to the President of the Council. The Council will then conduct a proper investigation of the allegations, first of all by identifying an appropriate investigation procedure to apply all the necessary appropriate procedures for the alleged judge, such as the opportunity to respond to the allegations and to present the relevant evidence.\",\n \"Once an investigation has been conducted, the results will be reviewed by the Internal Justice Council. If the Council determines that the evidence of misconduct is sufficient, the President will report the matter to the General Assembly and make recommendations on appropriate penalties.\",\n \"For the two options mentioned above, the category of misconduct of judges requiring penalties would be a violation of the Code of Conduct of Judges prepared by the Internal Justice Council in accordance with resolution 62/228 and submitted to the General Assembly in document A/65/86 or a violation of the Regulations on the Status, Basic Rights and Duties of non-secretariat officials and experts, as set out in the Secretary-General's bulletin ST/SGB/2002/9.\",\n \"C. United Nations Appeals Tribunal\",\n \"Composition of the United Nations Appeals Tribunal\",\n \"On 2 March 2009, the General Assembly elected the following seven judges:\",\n \"(a) Judge İlz Winterg Deroga (Argentina);\",\n \"(b) Judge Jean Kitaya (France);\",\n \"(c) Judge Sofia Adenyira (Ghana);\",\n \"(d) Judge Marc Pert (United States of America);\",\n \"(e) Judge Kamaljte Singh (India);\",\n \"(f) Judge Roberto Boyko (Canada);\",\n \"(g) Judge Luis Maria Simón (Uruguay).\",\n \"On 11 October 2010, Judge Rose Boyko delivered a statement for personal reasons, resigned her position in the Appeals Tribunal and entered into force on 15 January 2011. On 28 January 2011, the General Assembly appointed Judge Marie Fahti (Ireland) in the electoral process to replace Judge Rose Boyko.\",\n \"Election of the President and Vice-President\",\n \"On 30 June 2010, the Court of Appeal elected Judge Kityael as President, Judge Adinajira and Judge Garriba, respectively, for a term of office of 1 July 2010 to 30 June 2011.\",\n \"The judges of the Appeals Tribunal held a plenary meeting on administrative and operational issues at the beginning and conclusion of each of the five sessions.\",\n \"Judicial statistics\",\n \"From 1 July 2010 to 31 May 2011, the Appeals Tribunal received 105 new appeals: 7 appeals against the United Nations Joint Staff Pension Board (UNJS), 5 against the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), 1 against the International Civil Aviation Organization and 92 judgements and orders against the Dispute Tribunal (65 by staff and 27 appeals were made on behalf of the Secretary-General in response to the judgements and orders of the Dispute Tribunal).\",\n \"In 2010, the Appeals Tribunal held two sessions in New York from 21 June to 2 July and from 18 to 29 October, and in New York from 28 February to 11 March 2011. During the reporting period, the Court rendered 96 judgements. The Second Court of 2011 was held in Geneva from 27 June to 8 July to hear 34 cases.\",\n \"Outcomes of case disposal\",\n \"During the reporting period, the Appeals Tribunal rendered 96 judgements. [4] One of these judgements relates to appeals against the Pension Board, in which the Appeals Tribunal upheld the decisions of the Standing Committee. Four sentences were upheld by the Commissioner-General of UNRWA.\",\n \"83 judgements were rendered in respect of appeals against judgements of the Dispute Tribunal. These judgements have taken decisions on 54 appeals by staff and 29 appeals on behalf of the Secretary-General. The Appeals Tribunal dismissed 46 of the 54 appeals made by the staff and accepted 3 and returned five to the Dispute Tribunal. Of the 29 appeals made on behalf of the Secretary-General, 9 were dismissed, 19 were accepted in whole or in part, and one was returned to the Dispute Tribunal. In 12 cases, the Appeals Tribunal reversed or modified the award of compensation to the Dispute Tribunal.\",\n \"During the reporting period, the Appeals Tribunal had before it two requests for interpretation, two requests for review, two requests for corrections, three requests for corrections and one request for suspension of the judgement and rejected all 10 requests.\",\n \"As at 31 May 2011, 95 applications/requests were pending before the Appeals Tribunal.\",\n \"Issues relating to the operation of the United Nations Appeals Tribunal and its Registry\",\n \"The judges of the Appeals Tribunal meet during the court period to discuss and make judgements in accordance with the requirements of the trial workload, in general, three times a year. The large number of cases prepared by the Registry's legal and administrative staff is crucial to this process. Although the funding structure and operation methods of the Appeals Tribunal are modelled by the same number of judges as the International Labour Organization (ILO) Administrative Tribunal, [5], the operation of the ILO Administrative Tribunal has six full-time professional legal personnel and three General Service staff, as required. In contrast, only two Professionals and three General Service staff members of the Registry of the Appeals Tribunal assisted the Court.\",\n \"The Appeals Tribunal is a review chamber to consider appeals from both staff and management. In accordance with article 2, paragraph 10, of the statute of the Appeals Tribunal, the Secretary-General has also signed agreements with seven bodies to enable them to use the Tribunal as an administrative tribunal. Since this is a new system, appeals from both staff and management are large. The number of cases brought before the Court of Appeal last year was replicated with the workload of the ILO Administrative Tribunal, which dealt with approximately 110 cases each year and had not resulted in a backlog of cases.\",\n \"The current staffing of the Registry is not sufficient to fully support the functioning of the Tribunal and to enable it to deal with cases in a timely manner. Two legal officers were not sufficient to prepare more than 100 cases each year. This would inevitably result in a backlog of cases and increased delays, which is one of the most critical aspects of the former system of administration of justice. This would once again result in serious disruptions to the reform. The prolonged delays between the judgement of the Dispute Tribunal and the final appeal decision are particularly undesirable, as the result of a case may address a particular legal issue, thereby reducing the number of future cases.\",\n \"An additional P-4 Legal Officer is required to ensure the ability of the Registry to function effectively. Given the complexity of many cases and the speed necessary to deal with them, the Registry needs more experienced personnel. A Legal Officer at the P-4 level could be instructed to follow up on the legal aspects of the work of the Registry by the existing staff, thereby enabling the Registrar to free the hands and focus on comprehensive oversight, communication with judges and other stakeholders and technical and administrative support for the Tribunal.\",\n \"In addition, a more senior legal officer will be able to provide judges with more substantive legal assistance and independent responses, thereby enhancing efficiency and responsiveness. Such a legal officer would share administrative functions with the Registrar and would act as an agent in the absence of the Registrar. Taking into account the workload in the case, and taking into account the need for adequate legal assistance from the Appeals Tribunal to make it operational in the best situation, the Secretary-General recommends that the General Assembly establish an additional Legal Officer at the P-4 level to strengthen the United Nations Appeals Tribunal Registry.\",\n \"In its resolution 9851, the General Assembly approved the establishment of one additional General Service (Other level) position to support the work of the Appeals Tribunal. The Secretary-General notes that the support provided by this position is useful. However, there is an urgent need for an additional legal officer with appropriate qualifications to support the work of the judges of the Appeals Tribunal. Taking into account this situation, and noting the current budgetary constraints, the Secretary-General recommends that this post be not continued.\",\n \"In accordance with article 4, paragraph 2, of the Statute, the Appeals Tribunal shall “shall be held on a regular basis in accordance with the date specified in its rules of procedure, subject to a hearing by the President of a sufficient number of cases. Based on the experience gained during the initial years of operation of the Tribunal and taking into account the number of appeals to the Tribunal, it is expected that the Appeals Tribunal will have sufficient cases to hold three times a year. However, the Secretary-General points out that the current budget for travel of the Tribunal is not sufficient to cover the costs of the three sessions. The Secretary-General therefore recommends that an additional $230,000 be made available for the Office of the Administration of Justice in the context of the budget for 2012-2013 to enable the United Nations Appeals Tribunal to hold its first three sessions when required.\",\n \"In paragraphs 155 to 164 of his previous report (A/65/373), the Secretary-General reported on the status of judges and their entitlements. In that report, the Secretary-General recommended that the judges of the Appeals Tribunal also enjoy the amount of travel and daily subsistence allowance previously provided to former United Nations Administrative Tribunal judges. In paragraph 50 of its resolution 9851, the General Assembly decided to consider again in the budget for the period 2012-2013 the question of the treatment and daily subsistence allowance of judges of the Appeals Tribunal. The Secretary-General remains of the view that this will be appropriate and therefore recommends an increase of $5,200 in the travel budget of the Office of the Administration of Justice to reflect this.\",\n \"Staff Legal Aid Office\",\n \"The Staff Legal Aid Office still faces many challenges. The Office comprises seven Legal Officers funded through the regular budget (3 in New York, 1 in each of the four Satellite Offices in Addis Ababa, Beirut, Geneva and Nairobi) and 3 General Service (in New York). As at 1 January 2011, the Staff Legal Aid Office was provided with one additional Professional staff at the P-3 level in Nairobi to assist cases involving field mission personnel. This position is funded for one year through the support account for peacekeeping operations.\",\n \"Despite the decentralization of a limited number of duty stations, the Office of Staff Legal Assistance has achieved considerable achievements in its first two years of operation. The Office continued to successfully address a large number of requests for assistance from staff around the world with limited administrative assistance.\",\n \"As at 1 July 2010, there were 432 cases pending before the Staff Legal Assistance Office. [6] From 1 July 2010 to 31 May 2011, the Office received 425 new cases. In addition to the number of pending cases as at 1 July 2010, the Office was involved in 857 matters. Of these, the Office was able to close or find other solutions cases of 265. As at 31 May 2011, the Office also had nearly 600 cases. In the second year of the operation of the Office, the number of requests submitted by staff to the Office for the processing of matters, in particular the number of locations outside the seat of the three chambers of the Dispute Tribunal, constitutes a great strain on their limited resources.\",\n \"The Office of Staff Legal Assistance provides staff with a wide variety of legal assistance, including the provision of brief legal advice and the appearance of staff on the Tribunals. An informal solution or help staff understand that their official complaints are less likely to be successful may require considerable time.\",\n \"A limited staff response to a large number of requests for assistance remains the biggest challenge for the Office. Legal officers working independently outside New York are particularly difficult and have no local administrative support. These legal officers must therefore be alone in responding to the heavy workload and to most of the administrative services of the Office.\",\n \"The Staff Legal Aid Office was assisted by relevant voluntary lawyers, legal interns and external public good lawyers. Regrettably, their numbers were not sufficient to address the shortage of human resources in the Office. Offices away from Headquarters are now difficult to find qualified volunteers, internships and public interest assistance, raising fears that the Office's presence is largely limited in New York.\",\n \"The General Assembly reiterated its request to the Secretary-General, in cooperation with the Staff Association, to develop incentives to encourage staff to continue their participation in the work of the Staff Legal Assistance Office. In June 2011, this matter was considered at the sessions of the Staff and Management Coordination Committee. It was noted that management and staff representatives remained divergent on what should be done. Therefore, staff and management decisions should continue to be consulted on this issue.\",\n \"The Staff Legal Aid Trust Fund established by the Office of the Administration of Justice in January 2010 did not provide sufficient resources to effectively assist the Office of Staff Legal Assistance to increase its human resources, even if there was no temporary increase.\",\n \"Based on the experience of the first two years of operation of the Staff Legal Assistance Office, the Secretary-General believes that the current staffing of the Office must be strengthened so that it can complete its mandate. As indicated in the Secretary-General's report to the General Assembly at its sixty-fifth session, the Office is particularly lacking in legal officers at the higher level, since only one of the current Professional staff is above the P-3 level. For that reason, the Secretary-General recommends the addition of two additional P-4 posts (in Nairobi and New York) to strengthen the Office of Staff Legal Assistance.\",\n \"The ability of the Office of Staff Legal Assistance to operate efficiently is also undermined by the lack of administrative support outside New York. Because all administrative support is provided by Headquarters, staff members must initiate their cases through contact with the offices in New York. This sends a clear message to staff that, despite the commitment to a decentralized system, the core operations are still under way at Headquarters. For that reason, the Secretary-General recommends that two additional General Service (Other level) posts be provided with administrative support in Geneva and Nairobi to strengthen the Office of Staff Legal Assistance.\",\n \"At its sixty-fifth session, the General Assembly agreed with the Secretary-General that the capacity of the Office of Staff Legal Assistance to serve field missions should be strengthened. Accordingly, the General Assembly approved the temporary establishment of one P-3 position, based in Nairobi, to assist staff in field missions. The position was funded for one year through the support account for peacekeeping operations, from 1 January to 31 December 2011. In view of the continuing trend in a large number of cases involving staff in field missions, thus demonstrating the continuing need and taking into account the participation of the Department of Field Support and the Department of Peacekeeping Operations in continuing funding for the formal system in accordance with the cost-sharing approach, the Secretary-General recommends that a one-year post dedicated to the provision of assistance to field mission staff be established in Nairobi and funded by the support account for peacekeeping operations.\",\n \"Non-post resources allocated to the Staff Legal Assistance Office are not sufficient to allow their regular functioning. Because of the decentralized work of the Office, all public service coordination and consultations with a large majority of clients must be conducted through e-mail, telephone and video links. Nevertheless, the Office's communications budget was not sufficient to allow it to carry out a small number of telephone and video-linked communications. In addition, staff members from the decentralized offices in all parts of the globe must also be able to communicate with each other outside the office and outside the normal course. Although the use of thinkable telephone equipment, such as Black facilities, contributes to communications, the current budget is not sufficient to cover the cost of using those equipment. For that reason, the Secretary-General recommends an increase of $11,200 in the 2008-2009 budget communications project.\",\n \"While the travel of personnel is not common, it is sometimes impossible to avoid. Legal officers working at offices away from Headquarters will serve a wide range of geographical areas, including many field missions. If staff members are to be able to effectively utilize the services of the Staff Legal Assistance Office, particularly in the field, legal officers will have to visit their duty stations where staff are present, meet with clients and local administrations to facilitate the resolution of disputes on an informal basis. The Legal Officers of the Office in Addis Ababa and Beirut may need to represent their clients at the Court's hearings in accordance with the orders of the Dispute Tribunal. Currently, the Office of Staff Legal Assistance does not have the travel budget to meet any such critical needs. The Secretary-General therefore recommends an increase of $15,000 in the travel details of the Office in the context of the budget for 2012-2013.\",\n \"Finally, the current budget of the Office, in particular the budget of offices outside New York, is not sufficient to meet basic office needs, such as renting or buying a photocopy and scanning, as well as the purchase of necessary office supplies, such as paper, document folding, releasing and writing. The lack of such basic accommodations in only one office away from Headquarters makes the difficulties faced by legal officers who are isolated. For that reason, the Secretary-General recommends an increase of $9,000 in the provision of supplies and materials in the budget for 2012-2013.\",\n \"E. Office of the Executive Director\",\n \"Review of the Office of the Executive Director\",\n \"In addition to the reply of the Secretary-General, the Office of the Executive Director also oversees the implementation of all elements of the formal system. The Office consists of the Executive Director, the Special Assistant, two information technology experts and one administrative assistant responsible for providing administrative, operational and technical support to the Tribunals, the Registry and the Staff Legal Aid Office. Such operational support includes coordination with other relevant offices to facilitate the establishment of a temporary courtroom facility in New York and similar efforts aimed at providing permanent offices and courtroom facilities for the Office of the Administration of Justice at the completion of the capital master plan.\",\n \"In addition to providing day-to-day support for the above-mentioned units, the Office of the Executive Director is responsible for coordinating the preparation of the report of the Secretary-General in accordance with the relevant resolutions of the General Assembly. The Office also represents a formal system within the United Nations and in all matters requiring intersectoral coordination and consultation.\",\n \"One of the achievements of the Office was the establishment of the Office of Internal Justice website, which was launched on 28 June 2010, using all six official languages. The website (www.un.org/en/oaj) is accessible and provides practical and progressive information on all aspects of the formal system. In May 2011, the number of visits to the site was 7,690, an increase of 13 per cent over the previous month. Since the launch of the website, the number of visits was approximately 7,000. Overall, the use of the website has increased. The Office of the Administration of Justice continued to improve the website, including the establishment of the functionality of search orders and judgements of the Tribunals, as requested by users.\",\n \"Another important milestone was the launch on 6 July 2011 of an electronic system for web-based case management to enable staff to submit and monitor their cases electronically from any duty station. The system is expected to improve efficiency, reduce delays and improve the functioning of the two Registrys. In addition, the implementation of the case management system opens the door to the various elements of a formal system for staff worldwide.\",\n \"The Office has also successfully negotiated agreements with all entities using the United Nations Administrative Tribunal in the previous system, in accordance with article 2, paragraph 10, of the statute of the Appeals Tribunal. [7] These agreements signed by the Secretary-General enable these entities to use the Appeals Tribunal as an administrative court.\",\n \"In addition to the role played in the preparation and coordination of the report on the administration of justice to the General Assembly, the Office of the Executive Director provides substantive assistance, if necessary, for the organization of the elections of the judges of the Tribunals.\",\n \"Another important function of the Office of the Executive Director is to support the work of the Internal Justice Council, including the preparation of reports to the General Assembly pursuant to resolution 62/228, and the dissemination of their views on the implementation of the new system of administration of justice.\",\n \"The Office also provides substantial administrative and technical support to the Internal Justice Council, which assists the General Assembly in identifying candidates for judicial vacancies. On 30 June 2012, those positions would be vacant when the three-year term of office of judges of the Dispute Tribunal and the Appeals Tribunal expired.\",\n \"Issues relating to the functioning of the Office of the Executive Director\",\n \"The Office of the Executive Director is the focal point for the organization of work for all substantive units within the Office of the Administration of Justice. The Executive Director has a great role and function. The Executive Director plays a significant role in maintaining the independence of the formal system and is to coordinate the various independent elements of the formal system, including oversight and coordination of the work of the Registry and the Staff Legal Aid Office. The Executive Director also has a formal system within the United Nations and liaison with heads of United Nations departments, including the Ombudsman and the Mediation Service.\",\n \"In paragraph 34 of its resolution 9851, the General Assembly requested the Secretary-General to make recommendations at the appropriate level of post of the Executive Director of the Office of the Administration of Justice. In the opinion of the Secretary-General, this issue should not be considered separately from a conclusive issue, namely, the level of remuneration and the compensation mechanism of the judges of the two Tribunals. The judges of the Tribunals are non-staff officers. For judges of the Dispute Tribunal, their full-time work is paid in the fourth position at the D-2 level. The judges of the Appeals Tribunal are not part-time, but the number of annual sessions takes decisions on the case. Their remuneration is not subject to any specific post level, but is paid at each judgement. The main drafters of a judgement received $2,400 and each other signatory received $600. The experience gained over the past two years shows that such a pay mechanism raises a number of issues related to the functions of the Court of Appeal. The Secretary-General therefore recommends that the General Assembly request the Internal Justice Council to review, as appropriate, the issue of the level of remuneration and the compensation mechanism of the judges of the Tribunals and to report thereon to the Assembly at its sixty-seventh session, at which time the Assembly will consider the report of the Council on this matter in conjunction with the appropriate post levels of the Executive Director of the Office of Internal Justice.\",\n \"As noted above, the mandate of the Office is very broad and one additional legal officer is required to assist in the conduct of a large number of work. Professional staff in the Office of the Executive Director are legal and information technology experts, with limited experience in key administrative areas, especially in United Nations budgeting.\",\n \"The addition of one Legal Officer with administrative and budgetary experience and one administrative support position is clearly beneficial to the Office. However, given the financial constraints, no additional resources are required in this regard.\",\n \"The Office of the Administration of Justice is responsible for promoting the work of the Internal Justice Council. This independent body, consisting of a senior jurists, is required to play a key oversight function in the new system and has received considerable authorization. In paragraph 52 of its resolution 9851, the General Assembly stressed that the Council could help to ensure the independence, professionalism and accountability of the system of administration of justice, encouraged the Council to continue to make observations on the implementation of the system of administration of justice and to report to the Assembly at its sixty-sixth session on ways to strengthen its contribution.\",\n \"Nevertheless, the current or previous budgets of the Office of the Administration of Justice do not explicitly allocate any funds for the remuneration of external members of the Council in the implementation of its important functions. The budget of the Office of the Administration of Justice does not contain general temporary assistance funds to meet maternity or long-term sick leave for staff. In addition, no provision was made for the cost of hiring temporary personnel on the basis of the project or paying peak periods. The Secretary-General therefore recommends that a provision of $130,000 for general temporary assistance be included in the 2012-2013 budget.\",\n \"The Executive Director and its staff must travel on a regular basis to participate in meetings, including internal meetings of the Office of the Administration of Justice (e.g., plenary meetings of the Dispute Tribunal and the Appeals Tribunal) and meetings within wider organizations, such as the annual meetings of the Staff-Management Coordination Committee. The Executive Director and its staff also continue to require outreach activities for staff and managers located away from Headquarters, thereby requiring travel. The travel budget of the Office of the Administration of Justice must cover all travel expenses of the Executive Director and its staff, as well as travel of staff associated with the plenary meetings of the Tribunals, staff of the Staff Legal Aid Office or other personnel required to participate in the hearings, as well as any other staff of the Office of Internal Justice. As travel costs related to the judicial functions of the Tribunals must be given priority, the Executive Director and its staff are in fact not available for the travel budget. The Office's travel budget is not sufficient to allow members of the Internal Justice Council not serving in the same location to travel on an annual basis or to carry out any other travel to carry out their evaluation of the operation of the system globally and to report to the General Assembly. For these reasons, the Secretary-General recommends an increase of $30,000 in the travel budget of the Office of the Administration of Justice in the budget for the period 2012-2013.\",\n \"The Office of the Administration of Justice needs to rely heavily on technical solutions because of its dispersion. Two of the achievements of the Office in this regard over the past year have been the establishment of a comprehensive website using all official languages and the implementation of a case management system that allows all staff to submit cases to the Tribunals and to monitor the cases. These important achievements, despite time-saving, resources and money, must be maintained and improved to keep pace with demand. In addition, as a result of the introduction of existing solutions to avoid costly customization systems, these products relate to the issue of the continuation of licences and maintenance contracts annually. In addition, operational costs associated with data storage, system updating and adaptation based on lessons learned are also incurred. The budget of the Office of the Administration of Justice currently does not cover the costs associated with all licences, maintenance and upgrading of the system. For these reasons, the Secretary-General recommends an increase of $75,000 in the provision for contractual services and the acquisition of software packages in the budget of the Office of Internal Justice for the period 2012-2013.\",\n \"Legal Office of the Secretary-General acting as respondent\",\n \"Several legal offices responded on behalf of the Secretary-General to cases raised by staff. Due to the continuing high number of cases submitted by staff and the complexity of many cases, the Office and unit representing the Secretary-General as the respondent have been fully loaded and overloaded due to the limited availability of staff and resources.\",\n \"Legal Office of the Secretary-General on behalf of the United Nations Dispute Tribunal\",\n \"The staff of the Geneva, Nairobi and Vienna offices away from Headquarters represent the Secretary-General in the role of the respondent in the Dispute Tribunal.\",\n \"To meet the demands of the new justice system, managers have redeployed staff within the Organization and recruited staff with specialized skills to serve the justice system. Therefore, the Organization responded to the need for new systems implemented throughout the organization.\",\n \"In 2010, the Dispute Tribunal issued 218 judgements. These judgements analysed the context of the controversy, the rationale for the application of the relevant staff regulations and rules and the conclusions of the facts and legal questions before the Dispute Tribunal. These judgements reflect the wide range of views of the parties on the facts and legal issues in the proceedings.\",\n \"In order to meet the criteria set forth in the new justice system, the requirement for the office of the Secretary-General in response to the Dispute Tribunal was high. This section elaborates on the roles of offices, resources dedicated to the justice system, case statistics processed by the Representative of the Secretary-General, the results of the proceedings and the responses of the Administration to judgements.\",\n \"The new justice system brings new demands to the executive branch. In addition to the restructuring of the justice system, the administration needs to respond quickly and decisively to the resource and management challenges faced. In order to maintain the capacity of the Representative of the Secretary-General and to enhance the ability of the Secretary-General to respond to continuing needs, management must retain and consolidate the initiatives taken. In addition, the global secretariat must continue to manage in a comprehensive and integrated manner the Secretary-General's representation in the various tribunals, including regular consultations and briefings on behalf of the Office staff of the Secretary-General.\",\n \"Administrative Law Section, Office of Human Resources Management\",\n \"The Administrative Law Section of the Office of Human Resources Management comprises the Appeals Unit and the Disciplinary Unit. When the Dispute Tribunal hears cases submitted by current staff members of the Global Secretariat and cases submitted by staff of the International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia, the Section is responsible for acting on behalf of the Secretary-General. The cases raised by staff at the United Nations Offices in Geneva, Nairobi and Vienna, the United Nations Environment Programme (UNEP) and the United Nations Human Settlements Programme (UN-Habitat) are handled by officials at the duty station. The Section also addresses disciplinary issues for the entire Secretariat and staff of the International Tribunal, which are submitted to the Office of Human Resources Management, and advises managers on the general justice system and the various aspects of individual appeals and disciplinary cases.\",\n \"Appeal\",\n \"Upon receipt of the application for appeal transmitted by the Dispute Tribunal, the Administrative Law Section is responsible for collecting the views of managers on the application and drafting responses. The time frame for submitting responses is 30 days, which requires prompt action by the Management and Administrative Law Section.\",\n \"In the course of the proceedings, the Legal Officer of the Administrative Law Section participated in the targeted hearings and the substantive hearings, providing further written material in accordance with court orders. The hearings will require a large number of time preparations, including, where appropriate, consultations with the relevant offices and the Office of Legal Affairs; meetings with the respondent witnesses to be summoned; cross-exquising witnesses and/or witnesses summoned by the applicant or his counsel.\",\n \"The Administrative Law Section is also responsible for providing advice to the executive branch on efforts to adopt informal solutions or continuing proceedings. The recommendation of the Section analyses the facts and legal issues of the case and provides advice on the most cost-effective way of resolving disputes. If the recommendations seeking informal solutions are accepted, the Administrative Law Section is responsible for obtaining the necessary approval, advising on the process of negotiation with the applicant and/or his counsel, completing the reconciliation agreement with the Office of the Ombudsman and tracking its implementation. Negotiations often require a long period of time and are often daunting; however, the potential benefits of informal settlement of disputes are considerable.\",\n \"Following the Court's final judgement, the Administrative Law Section was in contact with the Office of Legal Affairs and was decided by the Office of Legal Affairs to appeal the judgement to the Appeals Tribunal. The Administrative Law Section is also responsible for interpreting the final judgement of the Dispute Tribunal, obtaining the information required for the enforcement of the judgement and transmitting the judgement to the relevant officials.\",\n \"In requesting an urgent suspension of administrative decisions by a party, the Administrative Law Section also represents the Secretary-General in the process of suspension. These requests must be addressed without delay and, within five days of the request, to respond and hold oral hearings. The Court issued an order of acceptance or non-acceptance of requests within several days of the hearing. For these hearings, the Administrative Law Section needs to be given urgent attention and good preparedness. If the relevant offices and potential witnesses are not present at Headquarters, they are particularly difficult to prepare within the deadlines.\",\n \"During the reporting period, the Administrative Law Section processed 318 appeals cases; at any time, the Administrative Law Section had to deal with approximately 200 cases pending before the Dispute Tribunal. About 50 per cent of these cases relate to appointments; 20 per cent related to disciplinary appeals; 15 per cent related to welfare and entitlements; 5 per cent related to separation; 1 per cent related to classification; and 9 per cent related to other matters.\",\n \"During the period from 1 July 2010 to 30 June 2011, the Dispute Tribunal ruled on 114 cases handled by the Administrative Law Section. The Court ruled on 64 applications on the merits; 17 were dismissed on the basis of inadmissibility; 14 were informally settled; 5 were withdrawn by staff; 5 were covered only by compensation; 9 were abandoned by the applicant. In addition, the Dispute Tribunal ruled on 12 requests for suspension of proceedings and agreed to suspend three of them, reject four, five of which had been resolved or abandoned.\",\n \"In cases of substantive decisions on the merits, 38 cases were won by the Secretary-General, 21 cases were won by the executive branch and 5 were successfully defended, but the staff member's second claim was won. In 20 cases where the applicant was fully or partially successful, according to the merits, the award was awarded.\",\n \"As a result of the introduction of new methods of work, the number of appeals cases to be processed, the length of time for the respondent to respond (from two months to 30 days) and other duty stations in New York with the user departments/offices, witnesses and court sections, increased pressure on the staff of the Administrative Law Section.\",\n \"Disciplinary issues\",\n \"The Administrative Law Section also deals with disciplinary matters for action to be taken by the Office of Human Resources Management. During the reporting period, the Administrative Law Section deals with 391 disciplinary issues, including 121 new cases received during the reporting period. In a separate report of the Secretary-General on the handling of disciplinary issues and possible criminal acts (see A/63/235), the role of the Administrative Law Section in dealing with disciplinary cases is described.\",\n \"It was noted that the responsibility for factual and legal analysis of cases had been transferred to the Office of Human Resources Management with the establishment of the new judiciary and the withdrawal of the Joint Disciplinary Committee. Under the former judicial system, the Secretary-General submits the issue of discipline to the Joint Disciplinary Committee, which identifies facts and advises on the disciplinary measures. Following the withdrawal of the Joint Disciplinary Committee, the Office of Human Resources Management must conduct an increasingly detailed analysis of the cases received. Therefore, the Office has spent a great deal of time to carefully review all aspects of disciplinary action, including the requirement for investigation units or staff to clarify facts and provide additional evidence. In the light of the complexity of the problem, the disciplinary proceedings may last for a relatively simple case for a period of three months and may continue for more complex issues for two years.\",\n \"Advisory\",\n \"Finally, the Administrative Law Section provides specific advice to all offices of the Secretariat as a whole. Generally, one advisory opinion needs one working day. The Administrative Law Section provides about 600 advice annually.\",\n \"Resources in the Administrative Law Section\",\n \"The transition to the new justice system has increased the demand for the Administrative Law Section. The procedures for appeals and disciplinary proceedings are much more complex and require a much higher level of demand, resulting in a significant increase in workload. One fundamental change is that the procedures of the former justice system generally require the delivery of documents, and that, under the new justice system, oral hearings are required and a large number of written submissions are required. The average length of work required to deal with one appeal case increased from five days to 15 days in the new system. According to the original judicial system, the respondent submitted two written documents on average for each case, with little or no hearing on appeal cases. Under the new system, the Court often requires a large number of written submissions. In many cases handled by the Administrative Law Section, two to three oral hearings are held in each case, with some cases even more. The hearings will take a lot of time to prepare for consultations with the relevant offices, while preparations for the substantive hearings will require witness identification and interviews with them, familiarizing them with the hearings process and obtaining testimony.\",\n \"As at 30 June 2009, the Administrative Law Section had four posts: one P-5 post funded from the regular budget (the Chief of Section); one P-4 post funded from the regular budget; and two P-4 posts funded from the peacekeeping support account. In addition, general temporary assistance funds from the peacekeeping support account are available. Because of the large workload from the field and the high requirement for the Administrative Law Section, on 1 July 2009, the General Assembly authorized the establishment of three additional Legal Officer posts (two P-3, 1 P-2) and two temporary positions (1 P-3, 1 P-2) funded from the peacekeeping support account. The Administrative Law Section was divided into the Appeals Unit and the Disciplinary Unit in January 2010. One P-5 post was redeployed from another section of the Human Resources Policy Service. In view of the high workload from field missions, in July 2010, the General Assembly approved the establishment of two additional Legal Officer posts funded by the peacekeeping support account in Nairobi (1 P-4, 1 P-3). In July 2010, the Secretary-General also used a limited discretion to establish three additional temporary positions (1 P-4, 2 P-3) to deal with appeals and disciplinary cases of non-governmental organizations.\",\n \"The staffing of the Administrative Law Section is 15 legal officers. Currently, the Appeals Unit and the Disciplinary Unit are established under the Administrative Law Section. The Appeals Unit has one P-5 (Chief of Unit), three P-4 and two P-3 staff in New York, one P-4 and one P-3 staff in Nairobi; one P-5 (Chief of Unit), one P-4, three P-3 and two P-2 staff in the Disciplinary Unit. Of these positions, three are funded from the regular budget (1 within the Human Resources Policy Service), 9 by the Peacekeeping Support Account, and 3 by the Secretary-General, using a limited budgetary discretion to fund temporary resources as at 31 December 2011.\",\n \"An analysis of the volume of administrative law sections indicates that the Section would need to increase the number of posts. On appeal cases, the Appeals Unit received and processed approximately 115 appeals cases submitted to the Dispute Tribunal last year. Each case before the Dispute Tribunal is processed on average by 15 working days, requiring 1,725 working days per year. In addition, the Appeals Unit provides about 400 advice annually, requiring 400 working days each year. The Appeals Unit needs approximately 2,125 working days per year. Based on 27 working days per month, 78.7 work-months are required each year, or 7 posts. The Appeals Unit currently has only five posts, one of which is the Chief of the Unit. The Chief of Unit oversees and guides the work of the Unit and four legal officers deal with cases. Accordingly, three additional Legal Officer posts are required.\",\n \"Given that approximately 35 per cent of appeals were from peacekeeping missions, 65 per cent from non-peacekeeping offices, six posts should be funded from the regular budget and three posts funded from the peacekeeping support account. However, only one Legal Officer post for the Unit is currently funded from the regular budget. In order to ensure the optimization of the functioning of the Appeals Unit, three additional regular budget posts are required. However, taking into account the current financial constraints faced by Member States, it is recommended that the Appeals Unit should establish two additional posts (1 P-4, 1 P-3) at that time.\",\n \"Based on the number of disciplinary cases received since 1 July 2009, the Administrative Law Section is expected to receive approximately 150 cases of action each year. These workloads require 3,000 working days each year, owing to the average requirement of 20 working days for the handling of disciplinary cases. In addition, the Disciplinary Unit provides about 200 advice annually, requiring 200 working days. The Disciplinary Unit will need to work for about 3,200 days a year. Based on 27 days of work per month, that amounted to 1185,000 work months, representing the workload of 10 posts. The Disciplinary Unit currently has only six Legal Officer posts, namely four permanent Legal Officer posts and two temporary positions. In addition, the Unit has one Chief of Oversight and Guidance (P-5). Accordingly, the Unit had a shortage of four Legal Officer posts.\",\n \"Taking into account that about 60 per cent of the disciplinary cases processed were from peacekeeping missions, 40 per cent from non-peacekeeping offices, 4 posts should be funded from the regular budget and 6 posts funded by the peacekeeping support account. However, the Disciplinary Unit currently has no Legal Officer post funded from the regular budget. It is recommended that four permanent posts funded by the peacekeeping support account be maintained. Two additional posts are proposed for conversion from general temporary assistance to established posts in the context of the peacekeeping support account budget for 2012-2013. In order to deal with the workload of the non-peacekeeping office, the Disciplinary Unit will require four additional regular budget legal posts. However, taking into account the current financial constraints of Member States, three additional posts (1 P-4, 2 P-3) are proposed for the Disciplinary Unit at this time.\",\n \"The Secretary-General sought to add five additional legal posts to the Administrative Law Section. It is noteworthy that, in assessing the resources required by the Administrative Law Section, 27 working days per month, rather than 21.5 working days of the standard. This further demonstrates the heavy workload of the Administrative Law Section and the need for a sustainable resource base.\",\n \"United Nations Office at Vienna\",\n \"The United Nations Office at Vienna and the United Nations Office on Drugs and Crime have delegated the full responsibility of the Secretary-General on appeal and disciplinary matters to the Director of the Management Service. These cases and management evaluation requests were dealt with prior to the transfer of disciplinary cases to the Office of Human Resources Management and the daily functions of the Dispute Tribunal on behalf of the Secretary-General were allocated to the Human Resources Management Service, coordinated by the Human Resources Policy Officer of the Branch.\",\n \"The United Nations Office at Vienna and the United Nations Office on Drugs and Crime continued to note the increase in the number of requests by management to provide legal advice and requests for confirmation of compliance with applicable law, as well as the additional time required to prepare each case for the Dispute Tribunal. In order to familiarize staff and managers with the features of the new justice system, the United Nations Office at Vienna and the United Nations Office on Drugs and Crime continued to hold briefings, luncheon forums and public meetings to send electronic information to the general staff in Vienna and the field, all of which increased the working hours of the human resources team.\",\n \"The increasing number of appeals cases, coupled with the short duration of the new justice system response, continued to diffuse the capacity to provide legal support to the management of the United Nations Office at Vienna and the United Nations Office on Drugs and Crime. The United Nations Office at Vienna has equipped a full-time human resources policy officer to respond to the increased demands of the new system. However, this is not a long-term viable option, as the human resources team is able to use a limited resources to carry out its regular functions. Accordingly, the United Nations Office at Vienna will require a dedicated Legal Officer at the P-4 level and a Legal Assistant post at the General Service (Other level) to ensure that the continuing needs of the judiciary are fully met. However, as a result of financial constraints, it is recommended that the staff of the United Nations Office at Geneva provide support to the United Nations Office at Vienna.\",\n \"United Nations Office at Geneva\",\n \"At the United Nations Office at Geneva, a human resources officer with a legal background reported on behalf of the Organization on behalf of the staff of the Geneva Conventions and their user organizations (Office of the United Nations High Commissioner for Human Rights (OHCHR), the United Nations Conference on Trade and Development (UNCTAD), the Office for the Coordination of Humanitarian Affairs, the Economic Commission for Europe (ECE) and other smaller entities). In addition to temporary P-4 resources, one additional P-3 Legal Officer post funded by user organizations (OHCHR, UNCTAD and OCHA) is required to meet the increase in workload, in particular the increased workload of user organizations. However, such arrangements can be made only by the end of 2011.\",\n \"As noted above, as a result of the establishment of the new judiciary, the staff submissions are more detailed and require more analytical work and legal studies, oral hearings are more than the original system, while oral hearings are time-consuming. In addition, judges of the Dispute Tribunal often require the respondent to provide detailed information on the elements of the case, thus increasing the workload and requiring additional consultations with the relevant management. The overall result is that the time taken by staff to handle each case is higher than the time spent under the original system.\",\n \"Managers also request legal advice from legal officers on the preparation of management evaluation requests or decisions. In addition, the United Nations Office at Geneva continued to train managers on the justice system and to inform management of evaluation decisions and court jurisprudence. Finally, legal officers provide support and advice to the Office of Legal Affairs to assist the Office on behalf of the Organization in dealing with appeals cases to the Appeals Tribunal.\",\n \"Despite the increased workload, the United Nations Office at Geneva did not receive additional resources for the transition to the new justice system. The United Nations Office at Geneva specifically arranged temporary staff to deal with additional time-critical work in order to provide important legal expertise to the Office, although that was at the expense of renunciating the substantial needs of other areas of human resources. These arrangements are therefore considered to be unsustainable in the future.\",\n \"In order to effectively and properly represent the Secretary-General in the Dispute Tribunal, the United Nations Office at Geneva must seek the views of Headquarters on the issue of additional earmarked legal resources. Specifically, in view of the current workload, the United Nations Office at Geneva will require one P-4 Legal Officer post with litigation experience and one General Service (Other level) Legal Assistant post. As indicated in paragraph 138 above, the P-4 Legal Officer would also need to provide services to the United Nations Office at Vienna and the United Nations Office on Drugs and Crime. The P-3 Legal Officer posts funded by user organizations (OHCHR, UNCTAD and OCHA) in a cost-sharing manner are required to be retained.\",\n \"United Nations Office at Nairobi\",\n \"During the reporting period, the United Nations Office at Nairobi filled the Senior Legal Officer position of the Director-General. During the second half of the period, the Senior Legal Officer, on behalf of the United Nations Office at Nairobi, appeared before the Dispute Tribunal. During the reporting period, the human resources officer with legal background, with the assistance of his colleagues in the Administrative Law Section, appeared before the Dispute Tribunal on behalf of the Office in Nairobi. In addition, in view of the limited legal experience of the Human Resources Section, the United Nations Office in Nairobi and UNEP use external legal talents through consultants contracts to assist in the handling of litigation matters in the Dispute Tribunal.\",\n \"At the United Nations Office at Nairobi, cases involving user offices are dealt with by UNEP or UN-Habitat staff or senior legal officers at the Nairobi Office in a legal context.\",\n \"The reliance on senior legal officers in the area of justice means that she cannot perform the core functions of the Legal Counsel of the Director-General. Therefore, the Office requested additional resources. Specifically, the United Nations Office in Nairobi will require one additional P-4 Legal Officer post with experience in litigation and one General Service (Other level) Legal Assistant post. These posts also provide services to the Economic Commission for Africa (ECA) with a special high demand for the new justice system.\",\n \"Regional commissions and international tribunals\",\n \"Under the new system, the human resources management offices of the regional commissions (ECE, the Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic Commission for Latin America and the Caribbean (ECLAC), ECA and the Economic and Social Commission for Western Asia (ESCWA) and the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda) require additional functions and additional services.\",\n \"Prior to the transfer of disciplinary cases to the Office of Human Resources Management, the Human Resources Management Service is responsible for regular processing of these cases and management evaluation requests. The Human Resources Management Service also needs to provide managers with advice and guidance on the new jurisprudence of the Dispute Tribunal. In addition, the Human Resources Management Service will need to communicate with the Administrative Law Section on the cases under review, to respond to the requirements of the Dispute Tribunal for the provision of additional information, to communicate with witnesses and to provide the information required to implement the judgement. The judges of the Dispute Tribunal often require the parties to provide detailed information on the elements of the case, thus increasing the workload and the number of consultations with the relevant management. The overall result is that the time taken by staff to handle each case is much higher than the time spent by the original system.\",\n \"Additional requirements for the regional commissions were not indicated in the previous request for additional resources for the implementation of the new justice system. However, with the implementation of the new system, there is a clear need for additional resources.\",\n \"ESCAP and ESCWA require one P-4 Human Resources Policy Officer with a legal background to provide internal advice to management and human resources offices. The officer will provide support to ESCAP and ESCWA at the same time. One General Service (Other level) post is also required to support the work of the Officer.\",\n \"The Legal Officer at the United Nations Office at Geneva will support the work of ECE, while the Legal Officers at Headquarters are responsible for advising ECLAC.\",\n \"As indicated in paragraph 146 above, the proposed additional Legal Officer post at the United Nations Office at Nairobi will support the work of ECA.\",\n \"Outreach\",\n \"Contacts are needed with the regional commissions. The training of managers and human resources officers to disseminate information to them is crucial to maintaining the uniform standards of the organization as a whole and to addressing current systemic issues. Managers need to hear briefings on key issues leading to appeal and how to minimize potential disputes. Human resources officers need training to understand how to prepare and submit responses to management evaluation requests and how information and assistance are provided to the Administrative Law Section in the proceedings. Finally, managers and human resources officers need to be aware of the entire system and focus on the possibility of informal settlement of disputes. They also need training on negotiating and effectively representing the Secretary-General in mediation.\",\n \"The International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia are currently implementing the completion strategy. Experience has shown that the workload of the Mission has increased. As a result, the number of cases proposed by staff of the International Tribunal for the next three years will increase. In this context, it is important to facilitate contacts with the International Tribunal to ensure that managers and human resources officers have access to updates on specific cases and on cases affecting implementation of the Completion Strategy.\",\n \"Outreach tasks are to be implemented. The funds required for the implementation of these tasks amount to $30,000. In particular, one Legal Officer in Nairobi is proposed to travel to ECA and the International Criminal Tribunal for Rwanda ($112,500), and one Legal Officer in Geneva is to travel to ESCWA, ESCAP and the International Tribunal for the Former Yugoslavia ($17,500). Accordingly, the Secretary-General requested an additional $300,000 for outreach missions.\",\n \"In addition, the Dispute Tribunal sometimes held hearings at missions and other duty stations. Legal officers representing the Secretary-General must travel to the venue for the hearing. However, no specific provision has been made in the budget to date for such travel. Accordingly, the Secretary-General requested $30,000 for travel to the Mission's seat at the Tribunal's hearings.\",\n \"Summary of available resources and resource requirements\",\n \"The resources and resource requirements of the Administrative Law Section, offices away from Headquarters and regional commissions are presented in the table below.\",\n \"Resource requirements and requirements\",\n \"Office regular budget resources (Other level) One P-4 General Service (Other level) at the United Nations Office at Vienna without resources (P-4 human resources policy officers have been redeployed) to the Office of the United Nations High Commissioner for Human Rights at the P-4 level and the Economic and Social Commission for Western Asia without resources to utilize the services of the P-4 Legal Officer at the United Nations Office at Nairobi to the Economic and Social Commission for Western Asia without resources.\",\n \"AD(a) It is proposed to convert it into a permanent post in the support account budget for 2012-2013.\",\n \"AD(b) until 31 December 2011.\",\n \"United Nations Development Programme\",\n \"The United Nations Development Programme Legal Support Office is the comprehensive legal office of UNDP and its subsidiary funds, and its legal work involves all aspects of corporate law, institutional and administrative law, with a focus on policy and training. Taking into account the demands of the new justice system, the Legal Support Office had to adjust its staffing, as the demand for legal consultations and consultations increased. The Office's Administrative Law Practice Team is currently in operation with one team leader (P-5) (with its own workload), one P-5, two P-4 and two P-3 Legal Officers, with a total of six Legal Officers, assisted by two General Service support staff. The Panel is responsible for dealing with all management evaluation requests, all cases before the Dispute Tribunal, all disciplinary cases, legal advice on policy work, legal training and various legal queries from individual legal obligations to tax and pension issues.\",\n \"The Legal Support Office is involved in all stages of the informal and formal settlement of the staff's complaints. In the informal phase, the Legal Support Office provided advice and guidance to managers, including human resources offices, country offices and regional bureaux, on the elimination of differences before formal complaints were made. The Office may also seek the intervention of the Ombudsman of the funds and programmes. Since 1 July 2009, the Office has made a significant increase in such preventive work, as more managers have sought legal guidance to ensure that their decisions are in line with the UNDP legal framework, thereby increasing spending on time and resources.\",\n \"If the issue is not resolved at an informal stage, the Office of Legal Support submits to the Assistant Administrator and the Director of Management a proposal to deal with the management evaluation request, on behalf of UNDP, participate in the mediation process and, in coordination with the Office of Legal Affairs, address cases related to UNDP on behalf of the Secretary-General of the Appeals Tribunal. If justified, the Legal Support Office also recommends that action be taken from a accountability perspective. On 1 August 2010, UNDP launched a new process to deal with management evaluation requests. While the Office continued to review these requests and make recommendations to the Assistant Administrator and the Director of Management, two other senior managers appointed by the Administrator and selected from the roster would need to submit their independent opinions directly to the Assistant Administrator and the Director of Management from a management perspective. This system has been functioning well, although more managers are required to respond to the increased number of management evaluation requests in 2011. A one-time review of granting permanent appointments is expected to result in additional cases.\",\n \"The Legal Support Office conducts regular training sessions through various existing media to conduct outreach activities to raise awareness among UNDP staff and managers of the new system. For example, the Office launched an online legal course for all managers, with several chapters dealing with the legal aspects of the system of administration of justice. In addition, the Office had to adapt to the time frame for the management evaluation and the reduced time frame for the Dispute Tribunal and the increase in the number of hearings and written submissions requested by the Tribunal. All this has resulted in an overall increase in the workload of its staff. In addition, in view of the increasing focus of the Dispute Tribunal on oral hearings and formal trials, lawyers need specialized training in defence and litigation.\",\n \"United Nations Children's Fund\",\n \"The Office of the Chief Adviser to the Office of the Executive Director is fully responsible for UNICEF legal support and advice. The Human Resources Division handles requests for management evaluation and represents UNICEF in the Dispute Tribunal. In order to adapt to the increased workload resulting from the start-up of the new system, UNICEF has adapted its staffing, capacity and standard operating procedures, with particular attention to requests for management evaluation and opportunities for mediation.\",\n \"Office of the United Nations High Commissioner for Refugees\",\n \"Prior to the reform of the system of administration of justice, the Administrative Law Unit of the Secretariat conducts administrative review of the decisions of UNHCR staff. UNHCR is now conducting its own management evaluation and has delegated the evaluation to the Deputy High Commissioner. The Legal Affairs reporting directly to the Deputy High Commissioner provides advice on all management evaluations.\",\n \"UNHCR has very positive experience in the management evaluation process, which enables managers to carefully review their decisions and to take remedial action and review and improve their work procedures before cases are upgraded to the Dispute Tribunal. In many cases, the management evaluation process has also renewed the dialogue between UNHCR and staff.\",\n \"The Director of the Human Resources Management Division, representing UNHCR, appeared before the Dispute Tribunal. The Legal Affairs advises the Director on all outstanding cases.\",\n \"UNHCR was very focused on early informal treatment of grievances, and the UNHCR Ombudsman participated in many cases informally. However, since the introduction of the new justice system, staff have attempted to deal with grievances through the formal system.\",\n \"UNHCR continued to support the work of the Staff Legal Assistance Office, which had seconded one Legal Officer without compensation to the Office in Geneva.\",\n \"United Nations Office for Project Services\",\n \"The United Nations Office for Project Services (UNOPS) is small and has not received many cases. While there is no legal department specifically dealing with such cases, UNOPS has at Headquarters one Legal Officer responsible for monitoring developments in the justice system, including the jurisprudence and practice of the Dispute Tribunal and the Appeals Tribunal. Each case before the Dispute Tribunal and any question that may become a case, including a request for management evaluation, are dealt with by the UNOPS Legal Officer at the regional office in which case or issue is concerned, with the support of the Headquarters Legal Officer referred to above. This work was carried out under the overall supervision of the overall UNOPS legal adviser. In accordance with Secretary-General's bulletin ST/SGB/2008/13, the Office of Legal Affairs administers all appeals cases to the Appeals Tribunal relating to UNOPS.\",\n \"To date, the new justice system appears to be much more formal than the original system. In the new system, the manner in which the case is dealt with is similar to those used by many national courts, and the number of oral hearings is only one example.\",\n \"Thus, the time required to deal with cases by lawyers and non- lawyers has increased significantly. In addition, staff may request many documents. The Dispute Tribunal generally favoured the granting of such requests, which would require considerable work by the Organization.\",\n \"United Nations Population Fund\",\n \"The United Nations Population Fund (UNFPA) employs two legal officers who provide UNFPA with a range of legal support and advisory services, including on behalf of UNFPA in the Dispute Tribunal. UNFPA continues to pay special attention to management evaluation issues, with particular attention to alternative options for resolving disputes, including mediation.\",\n \"Legal Department on behalf of the Secretary-General at the United Nations Appeals Tribunal\",\n \"Office of Legal Affairs\",\n \"As the central legal services of the Organization, the Office of Legal Affairs provides legal advice to the Secretary-General, departments and offices of the Secretariat and United Nations agencies in a number of areas, including the new areas of the administration of justice system. Within the Office of Legal Affairs, the organizational unit responsible for this responsibility is the administrative and management team of the General Legal Affairs Division. The functions of the Division in this area are outlined below.\",\n \"The responsibilities of the General Legal Affairs Division in the administration of justice system relate to informal and formal phases of dispute resolution. The Division provides advice to departments and offices of the Secretariat, funds and programmes at the initial stages of the staff complaint, that is far from being brought into the proceedings before the development of the complaint is made. For example, the Division was requested to provide input during the management evaluation phase and during the negotiations.\",\n \"Upon the development of the complaint to the formal stage and the application of staff to the Dispute Tribunal, the Department of General Legal Affairs advises entities representing the Secretary-General on a regular basis at the first level of the judicial process. These entities include the Administrative Law Section and the counterparts in Geneva, Vienna and Nairobi. Under the new administrative justice system, entities within the funds and programmes (UNDP, UNOPS, UNICEF, UNFPA and UNHCR) appear before the Secretary-General in the Dispute Tribunal; the Division may request advice to the funds and programmes. In addition, as a result of a comprehensive understanding of the evolving jurisprudence of the new system, the Division provided information on the legal developments of the new system to all entities represented in the Dispute Tribunal, shared legal arguments in order to provide guidance on the various issues that were before the Court and for its use. Such advice ensures coherence in the legal strategy and arguments put forward by the Secretary-General on policy and principles. In this context, the Division draws the attention of the relevant units to the judgement of the Dispute Tribunal that has a significant impact on the Organization.\",\n \"The General Legal Affairs Division also appeared on behalf of the Secretary-General in the Appeals Tribunal. This responsibility includes both appeals against the judgement of the Dispute Tribunal and a reply to the appeal made by the staff. The Division performs this function for departments and offices of the Secretariat and funds and programmes. In order to determine whether an appeal against a judgement is in the interest of the Organization, the Division must review and analyse each judgement of the Dispute Tribunal and consult with entities representing the Secretary-General before the Court. It is therefore necessary to study and analyse all the necessary facts and legal issues raised by the Dispute Tribunal and, where appropriate, draft written appeals or responses.\",\n \"In addition to providing advice on matters relating to the administration of justice system, the General Legal Affairs Division also advises them on the interpretation and implementation of the Staff Regulations and Rules or other personnel policies and practices before administrative decisions are taken by departments and funds and programmes of the Secretariat, such as those for dismissal. Most of the requests for such advice were from the Department of Management (including the Office of Human Resources Management, the Advisory Committee on Claims, the Medical Division or the Insurance Section), but there were requests from funds and programmes, UNHCR and offices away from Headquarters. Finally, the Division is also responsible for reviewing, advising and confirming its legitimacy before each administrative notice related to human resources management policy is issued.\",\n \"The responsibilities assumed by the General Legal Affairs Division in relation to the new justice system go far beyond the forecast, resulting in a significant increase in the Division's workload. Prior to the commencement of the new system, the Secretary-General had submitted a report on the resource requirements of the system, at which the Advisory Committee on Administrative and Budgetary Questions had not approved any post requested by the Office of Legal Affairs, which considered that “the resolution of disputes by informal means might lead to a reduction in the cases of recourse to the Tribunal” (see A/62/7/Add.7, para. For that reason, the Advisory Committee was of the view that the reasons for the increase in staff were not sufficient and therefore recommended that those posts should not be approved prior to the assessment of actual needs. The Advisory Committee assumes that the vast majority of cases will be resolved before recourse to the Dispute Tribunal. However, contrary to this presumption, the General Legal Affairs Division needs to provide legal advice to a wider client on the increasingly complex issues, which have a significant financial, legal and operational impact on the Organization and the need for advice is more urgent.\",\n \"Under the original system, only a judicial review, i.e. the United Nations Administrative Tribunal. There are now two-tier reviews. Under the original system, the Administrative Tribunal is functioning on a part-time basis, with two sessions per year, and under the new system, the Dispute Tribunal operates one year to the first time, and the Appeals Tribunal has three annual sessions.\",\n \"Because of these significant institutional changes in the system, the General Legal Affairs Division needs to review and provide an increase in the number of judgements that provide advice. Under the original system, the United Nations Administrative Tribunal rendered 65 judgements in 2009. In contrast, under the new system, the Dispute Tribunal rendered 218 judgements in 2010 and 100 judgements by the Appeals Tribunal. Thus, the total number of judgements under the new system is approximately five times the number of judgements under the original system.\",\n \"Under the new system, the submission of the General Legal Affairs Division has also increased significantly. Under the original system, the Division presented an average of 63 submissions annually to the United Nations Administrative Tribunal. In contrast, the Division presented 150 copies in the new system in 2010 (114 submissions in cases originating from the Secretariat, including peacekeeping missions and 36 submissions from funds and programmes and UNHCR). As a result, the number of submissions under the new system increased by about 40 per cent compared to the number of submissions under the original system.\",\n \"The impact of the new system on the General Legal Affairs Division is not only an increase in the number of appeals to the Appeals Tribunal; the nature of the Division's work in this regard has also changed significantly. Under the original system, the Division drafted a time frame for the reply to the United Nations Administrative Tribunal (6 months). These responses are usually based on the established jurisprudence of the Administrative Tribunal, and therefore the Division's work is simple and manageable. However, under the new system, the time frame for appeal and appeals was reduced to 45 days. Moreover, while the statute of the Appeals Tribunal provides for a period of 45 days, the Appeals Tribunal will also shorten the time frame for the submission of interlocutory appeals to 15 days. In addition, the introduction of the new system of administration of justice means that the past practice of the Organization and the jurisprudence of the Tribunal are being reviewed by the new courts. The ensuing uncertainty with regard to the legal norms and principles to which managers should apply means that the Division is now more frequently requested to provide advice to other departments, including by providing advice to entities representing the Organization before the regular hearings of the Dispute Tribunal. This contrasts with the original system and, under the original system, a submission to the Joint Appeals Board and the Joint Disciplinary Committee is based on the established jurisprudence of the Administrative Tribunal requesting the Division to provide advice on these procedures.\",\n \"All of these factors are more complex in many areas of human resources management, such as contractual reform, harmonization of conditions of service. These reforms have also made additional requests to the General Legal Affairs Division to review administrative notices, confirm their legitimacy and provide advice on the interpretation and implementation of the Staff Regulations and Rules.\",\n \"Currently, the General Legal Affairs Division, funded by the regular budget, has two Professional posts (1 P-5 and 1 P-3) and one General Service post. As at 1 July 2010, the Secretary-General had taken advantage of his limited budgetary discretion to provide six P-3/P-4 posts and two General Service (Other level) posts for a limited period ending 31 December 2011. The Division also includes one P-4 post funded by the peacekeeping support account. In addition, the Division was recently informed that on 1 July 2011, the General Assembly approved one P-4 and one P-3 temporary post funded by the peacekeeping support account. In summary, unless additional resources are approved below, the Division will have a total of five Professional posts and one General Service post to deal with internal justice and management issues.\",\n \"Finally, as the demand for the services of the Division goes beyond expectations, it will put the Division under pressure, which will weaken the Division's ability to provide legal advice not only in the area of administration of justice, but also on other issues in a timely and comprehensive manner.\",\n \"Ensuring that the Division has the capacity to provide legal advice in the area of administration and management will avoid creating long-term adverse financial, legal and operational impacts on the Organization as a whole, particularly in the critical stages of the development of court jurisprudence. For example, in 2010, the Division, on behalf of the Organization in the Court of Appeal, contributed to the determination of the parameters of the award, helping to clarify the principles of the review of the Secretary-General's discretion. These appeals have resulted in significant cost savings for the Organization and the development of basic principles will benefit the Organization in the long term.\",\n \"In order to meet the significant increase in the services requirements of the Office of Legal Affairs under the new system, the General Legal Affairs Division will require eight additional regular budget posts (6 P-3/P-4, 2 General Service (Other level)) to address the administration of justice and management issues. However, the Secretary-General, taking into account the current financial constraints of Member States, has requested only three additional regular budget posts (2 P-4, 1 P-3) for the General Legal Affairs Division. In this regard, it should be noted that the Division is the only unit in which some two thirds of the posts requested (from 8 posts to 3 posts) have been reduced compared to the previous report, while it is the only unit that has not been provided with long-term resources owing to the establishment of a new system. Approves the establishment of two general temporary assistance posts funded by the peacekeeping support account effective 1 July 2011.\",\n \"Replies to questions relating to the administration of justice\",\n \"Overview\",\n \"The present section responds to the issues set out in General Assembly resolution 3951.\",\n \"Responses\",\n \"Staff Legal Aid Office support mechanisms\",\n \"The Secretary-General's response to this request is set out in annex I to the present report, in paragraphs 40 and 41 of resolution 40 and 41 requesting proposals for the support mechanism for the Office of Staff Legal Assistance.\",\n \"These proposals were consulted with staff at the meetings of the Staff and Management Coordination Committee held in June 2011. At that meeting, staff reiterated that the options for establishing a mechanism funded by staff were not acceptable, as the cost of representing staff should be borne by the employer. Staff noted that the establishment of the Office of Staff Legal Assistance by the General Assembly was part of the system of administration of justice within the Organization and that the costs associated with the operation of the Office constituted a cost for the Organization. They called upon the General Assembly to provide the necessary resources to ensure that both parties (staff and management) receive “equal armed”.\",\n \"Complaints mechanisms for outsiders\",\n \"In paragraph 55 of its resolution 63/251, the General Assembly requested that a proposal be made with respect to the mechanism for the compilation of complaints by outsiders, as set out in annex II to the present report.\",\n \"Decentralization of the powers of disciplinary measures\",\n \"In paragraph 51 of its resolution 63/251, the General Assembly requested detailed proposals on the delegation of authority to take disciplinary measures, which the Secretary-General responded to.\",\n \"Background\",\n \"The possibility of decentralization of disciplinary measures to heads of missions and heads of offices away from Headquarters was initially raised by the Secretary-General at its sixty-second session. This is based on the recommendations of the redesign of the Panel's report and the results of the twenty-eighth session of the Staff and Management Coordination Committee. The issue was discussed at that session and a proposal was made. In principle, the General Assembly agreed to decentralization of disciplinary measures to heads of missions and heads of offices away from Headquarters, and requested the Secretary-General to submit a report thereon containing possible options.\",\n \"The Secretary-General, taking into account the recommendations of the Coordinating Committee, has proposed the limited delegation of authority for disciplinary measures. Accordingly, the heads of missions and heads of offices away from Headquarters are given the authority to impose minor penalties (warnings and fines) if required. The General Assembly requested the Secretary-General to make new proposals at its sixty-fifth session.\",\n \"In the light of the fact that a number of prerequisites have not been met, the Secretary-General proposes that the recommendations of the limited delegation of authority previously submitted prior to further analysis should not be implemented. However, the General Assembly once again requested the Secretary-General to submit a report at the sixty-sixth session of the General Assembly containing possible options for the delegation of authority for disciplinary measures. The proposal contained in the present digest was prepared in response to that request.\",\n \"Status of handling of disciplinary cases\",\n \"There have been no significant developments since the Secretary-General's previous report on the administration of justice, but there have been a number of new developments. The Office of Human Resources Management initiated the revision of the administrative instruction on revised disciplinary measures and procedures (ST/AI/2007/1/Amend.1). The Court's new jurisprudence indicates that, compared with previous administrative court jurisprudence, the Tribunal is analysing and interpreting the United Nations Staff Regulations and Rules in a new sense. In particular, both Tribunals were interpreting the procedural and substantive standards required by the Organization throughout the period leading to disciplinary measures, including the assessment of allegations and complaints, the quality of investigations reports, the appropriate procedural rights to be enjoyed by staff during the process, and the proportionality of measures taken. It must be noted, however, that disciplinary cases brought before the Court relate to cases reviewed by the Office of Human Resources Management in accordance with the jurisprudence and standards of the Administrative Tribunal. As a result, the number of cases received and closed under the new system after 1 July 2009 will be subject to appeal and will remain to be observed.\",\n \"From 1 July 2009 to the end of the reporting period, the Administrative Law Section of the Office of Human Resources Management closed 357 cases, of which 216 were missions. In 71 of the 71 cases, disciplinary measures were taken, as follows: 19 cases had been dismissed, 17 cases had taken measures of separation, 4 cases had been taken in pre-vocational measures, 5 cases had been repressed and reduced or delayed the upgrading of functional/level measures, 14 cases had taken corrective and fine-tuning measures, and one in one case had taken corrective and psychological counselling measures.\",\n \"Since 1 July 2009, the Administrative Law Section handles disciplinary cases involving staff serving in field missions accounting for 70 per cent of the number of cases in 2009/10, accounting for nearly 60 per cent of the 2011 cases.\",\n \"The Administrative Law Section handles some of the required time to deal with a disciplinary case from time to time when it was transferred to it, depending on the merits and the complexity, ranging from 3 to 11 months. However, this slightly time was the time required under the best conditions and did not count on the current backlog of cases, including cases that had not been closed before the introduction of the new judicial system, namely: (a) 170 cases to be handled by the Office of Human Resources Management prior to the introduction of the new justice system; (b) 30 cases that had been sent to the Administrative Law Section on 1 July 2009 in cases where the Joint Disciplinary Committee was pending or decided by the Deputy Secretary-General in accordance with the report of the Committee. These cases are expected to be closed by the end of 2011.\",\n \"During the period 2006-2008, a disciplinary case was closed on average for 17 months. The cases dealt with during this period were considered by a group established by the Joint Disciplinary Committee in addition to the cases recommended for dismissal. The Administrative Law Section brings the case to the Commission for an average of eight months. Since the introduction of the new system, the Section will have an average of 11 months to complete its case after 1 July 2009.\",\n \"The dismissal of the Joint Disciplinary Committee has effectively increased the responsibility of the Administrative Law Section to review the merits of each case in accordance with chapter X of the Staff Regulations on disciplinary measures and to analyse them, most of which were previously assumed by the Committee. In view of the increased review by the Dispute Tribunal, the Section also conducts a more detailed analysis and undertakes follow-up with the investigative entity at every stage of the process.\",\n \"Review of options\",\n \"The introduction of a new justice system on 1 July 2009 significantly changed the procedures for dealing with disciplinary cases. The dismissal of the Joint Disciplinary Committee, inter alia, transferred the real assessment responsibility of the case to the Office of Human Resources Management.\",\n \"There are three major bottlenecks in the current multi-step process, each of which involves ensuring careful analysis and respect for the appropriate procedural rights of the staff: (a) the shortness of the investigation process and the quality of other investigations carried out by impartial investigation and non-special investigators; (b) the time required to comment on the part of staff accused of misconduct; and (c) the time spent on other information from the investigative entity.\",\n \"The simple delegation of authority does not eliminate existing bottlenecks, as existing procedures and new jurisprudence of the courts dealing with disciplinary matters will continue to require a very careful review. In addition, decentralization to the field may lead to more duplication of effort, making decisions less consistent.\",\n \"Partial delegation of authority\",\n \"Part of the delegation of authority means that the delegation of authority to heads of missions and offices away from Headquarters will take less rigorous disciplinary measures (e.g. fines and censure).\",\n \"However, since only a limited number of cases have been fined and reprimed, this option would not significantly reduce the time of disciplinary proceedings. Thus, the existing bottlenecks will not be processed, resulting in duplication of work between the field and the Office of Human Resources Management. In the light of the increase in costs caused by some delegation of authority, including the fact that the Department of Management has delegated legal officers to assist in the process of disciplinary proceedings, the Administration considers that this is not a viable option at this stage.\",\n \"Full delegation of authority\",\n \"If the delegation of authority is fully delegated, heads of missions and heads of offices away from Headquarters may take any disciplinary measures in accordance with the disciplinary procedures currently applied at Headquarters. The full delegation of authority could increase the authority of the field and reduce communication links between the field and Headquarters, but the main disadvantage was the possibility for staff from different parts of the Organization to be inconsistent and non-equal. The inconsistency decision would also increase the number of appeals to the Dispute Tribunal, resulting in an increase in costs. Therefore, the Administration considers it inappropriate to take a fully decentralized approach.\",\n \"Decentralization\",\n \"The current centralization system will continue if the authority to take disciplinary measures is still fully owned by the Under-Secretary-General for Management. In this context, the Department of Management will continue to consider disciplinary cases in a holistic manner and, most appropriately, to ensure that such cases are analysed and processed in the most efficient and coherent manner.\",\n \"Proposed short-term measures\",\n \"Some delegation of authority or full delegation of authority are not currently the best option, but there is a clear need for action to address delays in disciplinary cases. To this end, the following measures have been proposed to expedite the investigation and treatment of disciplinary cases:\",\n \"(a) To test the feasibility of decentralizing a portion of the critical part of the administration of justice through the establishment of a service base covering a group of missions. Resources will include legal officers, conduct and discipline officers and resources available at the service base or area, such as investigators, ombudspersons and the Staff Legal Aid Office. Each function has a clear mandate and reporting relationship to preserve the independence of the investigation, the appropriate procedural rights of staff facing disciplinary proceedings and the integrity of disciplinary procedures. While the authority to adopt disciplinary measures is still owned by the Under-Secretary-General for Management, it is expected that the elements of the investigation and disciplinary proceedings will be closer to the case, which will help to reduce the time required to handle cases. The pilot project will cover a number of field missions in Africa (to be identified) and will be based in Nairobi. This would facilitate the establishment of a future infrastructure if the experience gained from the pilot project supported further delegation of authority, including delegation of authority to offices away from Nairobi (and other offices away from Headquarters);\",\n \"(b) High priority cases will be addressed through the “fast vehicle” approach, whereby cases are prioritized by all relevant units (the Department of Field Support, the Office of Human Resources Management and the Office of Internal Oversight Services (OIOS). Taking into account the request of the heads of missions and the appropriate reasons, the high priority cases will be expedited and will be processed in accordance with the guidelines to be elaborated, in which it recognizes the operational independence of existing procedures, such as OIOS and its case, but, in addition, the procedures applicable to the handling of disciplinary matters;\",\n \"(c) The authority to grant paid administrative leave to staff will be transferred by the Assistant Secretary-General for Human Resources Management to the Under-Secretary-General for Field Support. This would reduce the process of granting staff paid administrative leave. The authority to leave the staff without pay for administrative leave remains all of the Department of Management;\",\n \"(d) Establish an interdepartmental working group on delegation of authority in disciplinary matters.\",\n \"The Secretary-General will submit a comprehensive report on this matter to the General Assembly at its sixty-eighth session.\",\n \"The proposed measures were discussed by the Staff and Management Coordination Committee at its thirty-second session. The Meeting agreed that management would share progress reports with staff and would establish a mechanism for regular briefings to staff representatives on the progress of the project.\",\n \"Recommendations\",\n \"Requests the General Assembly to approve the proposals detailed in paragraph 208 above.\",\n \"Impact of the new system of administration of justice on staff-management relations\",\n \"With regard to the request in paragraph 54 of General Assembly resolution 3951, the Secretariat, UNDP and UNICEF were of the view that reporting on the impact of the new system on staff/management relations and on the performance of staff and managers was premature and that more time was needed to properly assess whether there was a systematic impact. The relationship between staff-management has changed in three agencies. In particular, managers are increasingly aware of the impact of their decisions and wish to ensure that they are in line with the relevant rules and policies. As a result, programme managers were asked to provide additional queries to legal officers prior to the decision. Managers also clearly wish to gain greater knowledge of the system and, in general, to make the right decision in the case.\",\n \"Therefore, it is possible to conclude that the new judicial system is leading to a climate that emphasizes the prevention of disputes and that programme managers are more frequently consulted with lawyers when it is not possible to avoid a dispute to ensure that their decisions are consistent with legal and policy provisions. In the course of avoiding disputes or informal settlement of disputes, a wide range of common consultations were held with staff representatives concerned and the United Nations Ombudsman or funds and programmes.\",\n \"Although these emerging practices have been identified, it is also evident that not all managers are well aware of the requirements of the new system. Thus, in terms of performance, more time is needed to determine whether these emerging practices are becoming a trend.\",\n \"Staff performance assessments are expected to be treated very seriously by managers and feedback is provided regularly to their subordinates so as to ensure that the decisions taken in the assessment report are properly documented. However, it is too early to comment on whether this has become a trend. It is equally difficult to predict whether staff and managers will actively increase performance under the new system.\",\n \"Cost-sharing arrangements\",\n \"With regard to the request contained in paragraph 57 of General Assembly resolution 3951, the Secretary-General responded to the following questions.\",\n \"Since the General Assembly, in its resolution 62/228, decided to establish a new system, the Secretariat has been engaged in formal and informal discussions with representatives of the funds and programmes (UNDP, the United Nations Office for Project Services, UNICEF, UNFPA and UNHCR) in order to establish arrangements for cost-sharing at the head level. In terms of cost-sharing at the head of the person, the costs are based on the number of staff members. Based on the above discussion, the Secretariat prepared a preliminary draft memorandum of understanding and distributed it to funds and programmes for comments. Subsequently, a joint meeting was held to discuss issues raised by the funds and programmes. Following discussions with the main stakeholders of the Secretariat, the Secretariat circulated a revised draft memorandum to the funds and programmes for further comments from the funds and programmes. The revised draft memorandum also includes a new United Nations gender equality and the empowerment of women as part of the arrangement. In early March 2011, a meeting was held with the parties concerned to discuss the draft revised memorandum, with funds and programmes having submitted a formal letter of coordination in May, including issues to be addressed. In June, the Secretariat presented a formal response to the issues to be addressed, which resulted in further consultations in July. To date, most of the outstanding issues have been addressed by the parties, but some aspects of the integrated functions of the decentralization of the Ombudsman, including mediation services, are still required (as a result of funding from the funds and programmes for their respective ombudspersons in the Integrated Office and some clarifications are provided to their respective executive heads. For example, questions were raised with regard to the structural problems between the funds and programmes Ombudsman and regional ombudspersons, including accountability and referral mechanisms, and questions were raised regarding mediation services in cases involving staff members of the funds and programmes. It was agreed that the link line between mediation and regional ombudsmen and the funds and programmes ombudspersons would bring to an end the cost-sharing discussion on the remaining special aspects. The parties recognized that a cost-sharing arrangement was very urgent and committed to concluding it as soon as possible.\",\n \"Training of actors in the system\",\n \"With regard to the request made by the General Assembly in paragraph 61 of resolution 3951, the Secretariat responded to the following.\",\n \"In June 2009, the new judges of the Tribunal participated in the inauguration training organized by the Office of the Administration of Justice, which provided a brief overview of the Organization's institutional and management framework. The staff of the Registry participated in training courses on the management of the International Criminal Tribunal for the Former Yugoslavia, the International Criminal Tribunal for Rwanda and the Court of Civil Servants of the European Union. Staff Legal Aid Office staff participated in dispute resolution training courses organized by the International Criminal Tribunal for the Former Yugoslavia staff and practitioners of the Defence Counsel in The Hague.\",\n \"The Department of Management has employed a legal counsellor, which is the legal officer of the Administrative Law Section. Legal officers also participated in a one-week intensive defence training course organized by national legal training institutions. In addition, they participated in conflict resolution training courses organized by UNDP and the Ombudsman.\",\n \"UNDP organized a defence training course for legal officers appearing in the Tribunals, chaired by the experienced staff of the International Tribunal for the Former Yugoslavia and senior lawyers from the British legal community. Given the importance of such training for the legal officers of the new professionalized formal system, it is envisaged that a similar training course will be held later in 2011. UNDP and the United Nations Ombudsman and the Mediation Office jointly organized a workplace dispute resolution training course, involving over 100 staff, including some senior officials.\",\n \"All participants in the system, including judges, their staff and legal officers representing staff and management, need to be regularly involved in training aimed at strengthening legal education. Legal officers are required to participate on a regular basis in oral and written defence training to maintain and enhance their skills. Enhanced training in court management practices, including education exchanges with other International Tribunal staff, will benefit staff of the Dispute Tribunal and the Appeals Tribunal Registry. In addition, joint training of actors in the system also yields benefits, not only for cost savings but also for exchange of views and best practices.\",\n \"The participation of judges in legal meetings and legal seminars is also beneficial to engage with other international tribunals, senior scholars and other participants in the discussion of legal and judicial practices related to their professional activities. At present, the budget of the Office of the Administration of Justice is inadequate and it is difficult to involve judges.\",\n \"The establishment of a judicial library for collection books at each court location will help to increase the level of judges and staff. In addition, sustained judicial education through the holding of annual meetings of all education, including, where appropriate, external lecturers and facilitators. The topics to be explored included cross-cultural communication techniques, the latest developments relating to international civil service law, the application of international norms, the application of ILO conventions to international civil service law and the comparative approach to legal issues.\",\n \"Finally, it may be useful to consider further judicial training for judges in the context of the legal framework of United Nations agencies and bodies that have access to the United Nations system of administration of justice. In order to ensure dialogue among the judicial personnel of different international tribunals, a joint United Nations judicial seminar may be organized to focus on international administrative law issues, including judges of the Dispute Tribunal and the Appeals Tribunal, judges of other tribunals, and legal scholars where possible. In addition, all participants need training to make the courts more uniform and consistent when applying the standards.\",\n \"The current system, after two years of operation, still needs to be disseminated to staff to describe informal and formal approaches to dispute settlement, in particular the relationship between them. To assist staff, the Office of the Administration of Justice prepared a user-friendly manual in all official languages of the United Nations. The Office has also established a comprehensive website with all official languages on the various elements of the regular system, including the web page prepared for the Office of Staff Legal Assistance and the updated database on the jurisprudence of the two Tribunals.\",\n \"Training resources specifically related to informal dispute resolution and mediation will be included in the report of the United Nations Ombudsman on the informal justice system.\",\n \"Timelines for dealing with disciplinary cases\",\n \"In its resolution 63/251, the General Assembly approved the recommendations of the Advisory Committee on Administrative and Budgetary Questions in its report on the administration of justice at the United Nations (A/65/557), including the request for the Secretary-General to include in his report on the administration of justice to be submitted to the General Assembly at its sixty-sixth session.\",\n \"The response to this request has been combined with the response to the request for a proposal for decentralization of disciplinary power, as reflected in paragraphs 191 to 210 above.\",\n \"Information requested by the General Assembly in paragraph 53 of its resolution 63/251\",\n \"In paragraph 53 of its resolution 63/251, the General Assembly requested the Secretary-General to include in his report on the administration of justice to the General Assembly at its sixty-sixth session the following information:\",\n \"(a) Clear statistical information on the cases received and processed by the Tribunals during that period, including the provision of disaggregated information on the complainant's or the accused's winning v. and the administrative issues involved;\",\n \"(b) An analysis of trends over a number of reporting periods in order to identify systemic issues leading to the use of the system of administration of justice and to monitor whether these issues have been effectively addressed;\",\n \"(c) Details on the compensation provided, as well as the related indirect costs of appeal (e.g., staff working hours), including the identification of those aspects in personnel management resulting in significant appeals;\",\n \"(d) Details on the payment of compensation to staff amounting to six months of salary or even greater compensation, indicating the departments and offices involved, the location of those offices and the merits details.\",\n \"In the case of paragraph 53 (a) of General Assembly resolution 63/251, the Secretary-General provided information on the Dispute Tribunal and the Appeals Tribunal in paragraphs 30 to 41 and 65 to 72 above. More information is contained in annex III to the present report.\",\n \"For paragraph 53 (b) of General Assembly resolution 63/251, the Secretariat responded to the following.\",\n \"Statistics show that the most controversial decision of the organization as a whole relates to issues related to selection and appointment. The decision-related claims account for about 40 per cent of all claims. This is why. First, previous administrative instructions on the selection of staff are vague in the priority of internal candidates. Secondly, according to administrative notice, the filling of a position would be subject to a number of procedures; there was a risk that allegations of procedural error might be made against the selection and appointment process. Thirdly, unselected staff often alleged that they were not chosen because of external factors. Fourthly, staff alleged that their e-PAA assessment was inconsistent with its vacancy selection evaluation and was therefore unfair to assess their qualifications. Finally, the jurisprudence of the Dispute Tribunal concerning the scope of the discretion of the executive in the selection process and the question of the burden of proof and criteria for the selection process is inconsistent.\",\n \"The executive branch has addressed the following issues:\",\n \"(a) In September 2009, the Assistant Secretary-General for Human Resources Management identified the vagueness of the provision on priorities and sent a notice to all offices to clarify the procedures for considering internal candidates;\",\n \"(b) In April 2010, an administrative instruction on the staff selection system was abolished and replaced by a new administrative instruction (ST/AIPD3). The priority provisions are no longer part of the policy;\",\n \"(c) In October 2010, the Under-Secretary-General for Management issued a “Guidelines on Lessons learned” to provide guidance on the selection process for staff;\",\n \"(d) The executive appeal against the decision of the Dispute Tribunal incompatible. The Court of Appeal's jurisprudence of March 2010 further clarified the scope of the Secretary-General's discretion in the selection decision and the responsibility and criteria for the proof;\",\n \"(e) The jurisprudence of the Appeals Tribunal will help to respond to the factual argument that staff are aware that the performance appraisal and the pre-election evaluation are inconsistent and will also help to address the allegations of prejudice. The Court of Appeal found that when the staff had made such allegations, they had the responsibility to provide clear and convincing evidence to support their claims.\",\n \"With regard to other types of cases, it was recognized that the decision not to continue was often blamed for failure to comply with the procedures set out in the performance appraisal system. The Under-Secretary-General for Management addressed this issue in a circular to management, detailing the jurisprudence of the Dispute Tribunal and making managers aware of the need for compliance with the electronic performance appraisal system process.\",\n \"The “Guide for Lessons learned” focusing on the non-renewable issue of fixed-term appointments was issued in August 2010. The guide directs managers to adhere strictly to rules and procedures, document the decision-making process and adhere to the performance appraisal process.\",\n \"In addition, an administrative instruction entitled “A Performance Approval Management and Development System” was issued on 30 April 2010. The instruction updated the performance evaluation policies and procedures and addressed delays in completing the EPA assessment.\",\n \"Disciplinary measures often result in appeals. This is another area in which the jurisprudence arising from the Dispute Tribunal continues to evolve. Specifically, the question of the exercise of the discretion of the Secretary-General has been revisited by the Dispute Tribunal on several occasions. The Administration appealed these decisions. At the beginning of 2011, the Appeals Tribunal rendered a judgement emphasizing that the Dispute Tribunal was not a decision-makers and that its role was limited to a limited judicial review of the Secretary-General's exercise of his extensive administrative discretion.\",\n \"As a measure of the subject of several judgements, staff members were given special leave in the course of investigating allegations of misconduct. The Dispute Tribunal ruled that such measures would not be appropriate if the disciplinary proceedings were not concluded. As a result, the Administration revised the rules and promulgated staff rule 10.4. This article specifically stipulates that staff members will be given administrative leave before the end of the investigation. Previous staff rules require charges against staff members prior to their suspension. The new Staff Rules provide that staff members may be granted administrative leave at any time during the investigation until the completion of the disciplinary process.\",\n \"An important topic for appealing the judgement of the Appeals Tribunal was the question of compensation. The Court of Appeal has reversed a number of awards of compensation, and the principles that should be applied by the Dispute Tribunal have been clarified. Specifically, the Court of Appeal has found that successful claimants have the right to compensation - if money is available — to bring them into compliance with their terms of appointment.\",\n \"For the purposes of paragraph 53 (c) of General Assembly resolution 63/251, detailed information on the compensation paid is provided in annex III to the present report. The Secretary-General responded to the indirect costs associated with appeals, such as the time of staff, including the identification of all aspects of the administration of staff that gave rise to significant appeals.\",\n \"In order to calculate such indirect costs, all stakeholders in the system of administration of justice agreed that the total number of hours spent by staff in 2010 related to the judgements of the Dispute Tribunal and the Appeals Tribunal should be added. They also agreed that a P-4 Legal Officer could be used as an average of 40 hours per week and 45 weeks per year. In addition, 20 per cent reflects additional work time hours for management and senior management to review cases and administrative support.\",\n \"The documents submitted by the Registry of the Dispute Tribunal, the Office of Legal Affairs, the Office of Human Resources Management, UNDP, UNICEF, the United Nations Office for Project Services, UNFPA, the Management Evaluation Unit and the Staff Legal Aid Office for the calculation of time used in cases where the judgement was delivered by the Dispute Tribunal. The Registry of the Appeals Tribunal, the Office of Legal Affairs and the Staff Legal Aid Office provided documentation for the calculation of the time used in the case of the Appeals Tribunal. The average of the cases of the Dispute Tribunal and the Appeals Tribunal are presented below. The methodological description of these figures may be requested.\",\n \"It should be noted that the number of cases used may vary considerably. In addition, the figures provided by the Staff Legal Aid Office do not reflect the time spent by volunteers in cases, nor do the Office spend considerable time in providing brief advice or dealing with cases that do not result in formal appeals.\",\n \"Taking into account the information provided by each unit and entity, the average staff time used by the Dispute Tribunal in one case was 400.3 hours, with the Appeals Tribunal having a case of 2.30.5 hours per month (at 40 hours per week for a P-4 staff member and 45 weeks per year).\",\n \"For the purposes of paragraph 53 (d) of General Assembly resolution 63/251 on compensation for six months or above, the Secretary-General provides information on such compensation in annex III to the present report.\",\n \"Issues relating to the review by the General Assembly of the statutes of the Tribunals\",\n \"Introduction\",\n \"In paragraph 46 of its resolution 9851, the General Assembly decided that “to extend to the sixty-sixth session of the General Assembly the experience gained to review the statute of the Tribunal, including the overall efficiency of its functioning”. In order to assist the General Assembly in reviewing the statutes of the Tribunals, the Secretary-General raised the following questions for consideration by the General Assembly. In raising those issues, the Secretary-General stressed that the discussions on those issues should not impede the principle of judicial independence. Since the General Assembly is the body to establish two tribunals, adopt their statutes, approve their rules of procedure, it shall determine what action has been taken on these issues or whether it is acted.\",\n \"Rules of procedure of the Tribunals\",\n \"Article 7 of the statute of the Dispute Tribunal stipulates that the Dispute Tribunal shall be subject to the approval of the General Assembly. Similarly, article 6 of the statute of the Appeals Tribunal stipulates that the Appeals Tribunal shall be subject to the approval of the General Assembly. As the General Assembly will consider the report on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal (A/66/86), the Secretary-General submits to the Assembly the views of the following relevant procedural rules for its consideration.\",\n \"Consultations on amendments to procedural rules\",\n \"The statutes of the Tribunals do not currently provide for proposals by the parties on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal or for participation in consultations. Since the parties appearing before the Court have made important views on the implications of the proposed amendments, prior consultations with them facilitate the process of revising the rules of procedure of the Tribunals. The statutes or rules of procedure of the two Tribunals do not specify, without prejudice to consultations with the parties prior to amendments to the rules of procedure. It is noteworthy that, while the statute and procedural rules of the International Tribunal for the Former Yugoslavia do not provide for the consultation process for amendments to the rules of procedure, in practice, the participation of the Registry, the Prosecutor's Office and the defence counsel in a “Rules Committee”, the Commission was established to consider these amendments before judges adopt the proposed amendments to the rules of procedure of the Tribunal.\",\n \"The Secretary-General recommends that the General Assembly encourage the two Tribunals to consult with the parties appearing before amendments to the rules of procedure.\",\n \"Disclosure of cases that are manifestly inadmissible or unfounded\",\n \"Article 9 of the rules of procedure of the Dispute Tribunal states that “in cases where the facts of the case are not contested, the parties are entitled to a judgement in accordance with the law and may formally request the judgement”. Under this provision, the non-substantive complaints cannot be dismissed as long as there is a controversy about the major facts. By contrast, the administrative tribunals of other intergovernmental organizations established mechanisms for dealing with non-substantive complaints. [8] For example, article 76 of the rules of procedure of the Court of Civil Servants of the European Union states that “When a suit is manifestly inadmissible or manifestly lacking any legal basis, the Court may not conduct further proceedings and adopt a decision with justification”. In 2010, 10 cases were handled in 129 cases before the European Union Civil Service Court.\",\n \"In addition, the Secretary-General notes that the rules of procedure of the Appeals Tribunal do not provide for a mechanism to deal expeditiously with non-substantive appeals. In other intergovernmental organizations, only the European Union provided for an appeal review. The judgement of the EU Civil Service Court may be appealed to the ordinary courts. Article 111 of the rules of procedure of the ordinary courts provides that, if a suit “recognized inadmissibility or manifestly lack of any legal basis”, the ordinary courts may make a decision “without further measures in the proceedings”.\",\n \"As to what cases may be manifestly inadmissible or groundlessly dismissed, the Secretary-General recalled that the Appeals Tribunal had ruled in July 2010 that the Dispute Tribunal was not competent to review or modify the judgement of the former United Nations Administrative Tribunal. [9] Notwithstanding this, the Appeals Tribunal has so far received at least five appeals seeking to amend the judgement of the Administrative Court. Although these appeals may be considered “a clear lack of any legal basis”, the Appeals Tribunal has no mechanism to quickly reject these cases. Therefore, the Organization, in addition to its readiness to respond to the costs incurred by such appeals, also assumes the cost of making a comprehensive judgement for each such case (in the amount of $3,600 per judgement).\",\n \"In order to ensure that no cases may be promptly dismissed in order to make more efficient use of the resources of the system of administration of justice, the General Assembly may wish to consider the amendment to article 7, paragraph 2 (viii), of the statute of the Dispute Tribunal, which contains a provision on “the procedure for rejecting cases, including cases that are manifestly inadmissible or clearly lacking any legal basis”. The Assembly may also wish to amend article 6 of the statute of the Appeals Tribunal to include a similar provision.\",\n \"The Secretary-General recommends to the General Assembly the amendment to article 7, paragraph 2 (viii) of the statute of the United Nations Dispute Tribunal and article VI of the statute of the United Nations Appeals Tribunal, which stipulates that in the rules of procedure there is a mechanism to rapidly reject cases that are clearly inadmissible or clearly lacking any legal basis.\",\n \"Recorded oral hearings\",\n \"As indicated in paragraph 49 above, the Secretary-General has requested budgetary resources for the maintenance of oral hearings. Although the Appeals Tribunal ruled in one case that a party “rights to have the testimony of the Registrar of the Dispute Tribunal in the proceedings” [10], these records are not always required by the parties. In June 201, the parties were informed that “the rules of statute and procedure do not require the Registrar of the Dispute Tribunal to produce a photograph of the proceedings”.\",\n \"The Secretary-General points out that in the fact-finding assessment of the Dispute Tribunal, there is no meaningful exercise by the parties of the right to appeal in cases where the Dispute Tribunal does not provide such oral evidence to the parties. Although the parties may rely on their oral evidence notes, without objective evidence, the Appeals Tribunal will not be able to assess whether the oral evidence statement of the Dispute Tribunal or the parties' statements are accurate.\",\n \"In order to ensure the retention of oral hearings and the request of the parties for such recordings, the General Assembly may wish to consider amendments to article 7, paragraph 2 (e), of the statute of the Dispute Tribunal, to include a rule on the rules of procedure “the oral hearings, including the provision for the recording of oral hearings requested by the parties”.\",\n \"The Secretary-General recommends to the General Assembly the revision of article 7, paragraph 2 (e), of the statute of the United Nations Dispute Tribunal, which provides for the retention of the oral hearings of the Tribunal and shall request such recordings.\",\n \"Staff name editorial\",\n \"Article 11, paragraph 6, of the statute of the Dispute Tribunal stipulates that “The Registry of the Dispute Tribunal shall, with attention to the protection of personal information, make public access to court judgements”.\",\n \"The Secretary-General points out that in a number of cases the Dispute Tribunal listed the names of staff directly or indirectly involved in the disputed decision. In a number of cases where a disputed decision is invalid, the Tribunal takes the conduct and character of the staff in a non-controlled manner. The names of the staff members, in a non-sectional manner, of the behaviour and sexuality of the staff, have resulted in a number of staff submitting complaints to judges and raising concerns about defamation.\",\n \"Bearing in mind the provisions of article 11, paragraph 6, of the statute of the Dispute Tribunal and taking into account the need to ensure that the names and the character of the staff are not unjustified in the judgement of the Dispute Tribunal, the General Assembly may wish to consider amendments to article 7, paragraph 2 (vi), of the statute of the Tribunal, to include a provision on “Proclamation of judgements, including procedures for the names of the persons concerned”.\",\n \"The Secretary-General recommends that the General Assembly amend article 7, paragraph 2 (vi), of the statute of the United Nations Dispute Tribunal to include a provision on the rules of procedure for “the publication of judgements, including the procedure for editoring the names of the judgements at the request of the individual concerned”.\",\n \"Suspensive effect of appealing an intermediate order\",\n \"In accordance with article 11, paragraph 3, of the statute of the Dispute Tribunal, “the judgement shall be executed after the expiry of the prescribed time limit.” In addition, article 7, paragraph 5, of the statute of the Appeals Tribunal stipulates that “the appeal shall have the effect of suspending the execution of the disputed judgement”. Although the statutes of the two Tribunals refer only to the judgement, the Court of Appeal recognizes that, in a limited number of cases, the appeal against an interlocutory order is also permitted. Thus, article 11, paragraph 3, of the statute of the Dispute Tribunal and article 7, paragraph 5, of the statute of the Court of Appeal apply to appeal against an interlocutory order, it seems appropriate.\",\n \"Because it is unclear whether the appeal will suspend the obligation to enforce the disputed intermediate order, the Dispute Tribunal prohibits the appearance of the appellant in the Dispute Tribunal. That conclusion was later declared null and void by the Appeals Tribunal. [11] Article 19 of the rules of procedure of the Dispute Tribunal, as amended, provides for the exercise of this prohibition and allows the Court to order any order it deems appropriate, including the decision to reject the complaint or the respondent, where a party fails to comply with an intermediate order. In the opinion of the Secretary-General, the right of the Dispute Tribunal to impose an intermediate order must be balanced with the parties' right to appeal in good faith, particularly in cases where the Secretary-General would otherwise have to implement the intermediary orders issued by the Dispute Tribunal and contradictory to the established jurisprudence of the Appeals Tribunal. The General Assembly may wish to consider amendments to article 11, paragraph 5, of the statute of the Dispute Tribunal and article 7, paragraph 5, of the statute of the Appeals Tribunal, in order to confirm that those provisions are equally applicable to all decisions of the Dispute Tribunal, regardless of their form or order.\",\n \"The Secretary-General recommends to the General Assembly the amendment to article 11, paragraph 3, of the statute of the United Nations Dispute Tribunal, indicating that an appeal may be made to an intermediate order issued by the Dispute Tribunal. The Secretary-General also recommends that the General Assembly amend article 7, paragraph 5, of the statute of the United Nations Appeals Tribunal to clarify the effectiveness of the appeal against an intermediate order ordered by the Dispute Tribunal to suspend the execution of the disputed order. The relevant provisions of the Rules of Procedure of the Tribunals also require amendments.\",\n \"Time frame for appeal at the Appeals Tribunal\",\n \"Article 7, paragraph 1 (c), of the statute of the Appeals Tribunal provides for a period of time to appeal for 45 days. [12] The present statute does not set a time frame for appeals against intermediate orders, although in practice, the Appeals Tribunal has a 15-day time frame. [13]\",\n \"In the light of the limited resources of the parties and the delays encountered in the transfer of the relevant archives between duty stations, the Secretary-General is of the view that the extension of the time frame for appeals for 15 days will help to provide more full information on the legal issues to be reviewed by the Appeals Tribunal. The delay caused by the extension of 15 days has been extremely limited, allowing for a more thorough review of the significant proceeds of legal issues raised in the appeal, which should be weighed against, particularly in reviewing many fundamental issues at the first stage of the Appeals Tribunal.\",\n \"The Secretary-General recommends that the General Assembly amend article 7, paragraph 1, subparagraph (c), of the statute of the United Nations Appeals Tribunal by extending the time limit for appeals against judgements of the United Nations Dispute Tribunal from 45 days to 60 days and establishing a 30-day time frame for appeals against intermediate orders. The relevant provisions of the rules of procedure of the Court of Appeal also require amendments.\",\n \"C. Jurisdiction of the United Nations Dispute Tribunal relating to acts and omissions of independent entities relating to the fulfilment of their mandates\",\n \"Article 2, paragraph 1 (i), of the statute of the Dispute Tribunal determines the jurisdiction of the Tribunal with regard to “administrative decisions alleged to be non-compliance with the terms of appointment or the employment contract”. In interpreting the term “administrative decisions”, the United Nations Administrative Tribunal found that “the characteristics of administrative decisions are made by the executive branch, unilateral, specific circumstances”, and that the conditions and treatment of staff are “a direct legal consequence”. [14] In describing the first criterion (the administrative decision must be taken by the executive branch), the Administrative Tribunal ruled in its judgement No. 1359 (Perez-Soto (2007)) that the Ombudsman's decision not to investigate complaints of harassment did not constitute administrative decisions, since, in view of the independent status of the Ombudsman, all acts or omissions were outside the decision of the Administration.\",\n \"The executive courts of other international organizations also recognize the following basic principles: When an entity is independent of the management, the organization does not effectively control the entity and therefore cannot be responsible for its acts or omissions. For example, in two different cases, the staff of the International Monetary Fund (IMF) and the World Bank alleged that their organizations would be responsible for the publication of personal confidential information and that they were brought to justice. [15] Both the IMF Administrative Tribunal and the Administrative Court of the World Bank dismissed these complaints and ruled that these organizations could not be responsible for the actions of the Staff Union, as they did not act “in accordance with management directives or under effective management control”. [16]\",\n \"The Secretary-General notes that a number of entities with independent status have been established pursuant to General Assembly resolutions. These entities include the Ombudsman, OIOS, the Ethics Office and the Office of Internal Justice. These entities enjoy operational independence. [17] The question of the competence of the Dispute Tribunal to govern the acts or omissions of these independent entities raises a challenge, and the possibility for the Secretary-General to be held accountable for the conduct and inaction of entities without effective control.\",\n \"To date, an independent entity that has been challenged by conduct and omission in the Dispute Tribunal includes (a) OIOS; (b) the Ethics Office; and (c) the Staff Legal Aid Office:\",\n \"(a) In one of the recent cases before the Appeals Tribunal, a staff member challenged the contents of a OIOS report and the OIOS audit process. As at 15 August 2011, the Appeals Tribunal had not issued the judgement in the case. However, as indicated by the judgement (the judgement is to be delivered by the Registry of the Appeals Tribunal for the publication of the press rather than as an official document), the Appeals Tribunal seems to recognize that, since the Secretary-General has no authority to influence or interfere with OIOS, the United Nations Dispute Tribunal does not have jurisdiction to do so because it reviews only the administrative decisions of the Secretary-General;\",\n \"(b) In at least three cases, staff complained to the Dispute Tribunal and questioned the opinion of the Ethics Office that they had not been subjected to reprisals. They stated that the General Assembly requested the Secretary-General to establish an Ethics Office with “independent status”, which would require the Secretary-General to respect. In rejecting that argument, the Dispute Tribunal considered that “the recommendations of the General Assembly must be carefully considered”, but did not decisively play a role in assessing whether the Ethics Office was independent. [18] Since the Dispute Tribunal has not yet issued a final judgement dealing with the question of whether the discretion of the Ethics Office concerning retaliation constituted administrative decisions, the Appeals Tribunal has not yet commented on this issue;\",\n \"(c) In a recent review by the Appeals Tribunal, a staff member challenged the alleged non-disclosure of conflicts of interest by the Staff Legal Aid Office. In the opinion of the Secretary-General, the acts and omissions of the Office do not constitute a decision of the executive branch and therefore do not fall within the jurisdiction of the Dispute Tribunal. The Dispute Tribunal is limited to the review of “administrative decisions”. In this regard, the Secretary-General notes that both the Administrative Tribunal of the Monetary Fund and the Administrative Tribunal of the World Bank have refused to accept the argument that these two international organizations could be held accountable for their actions in disputed by the Staff Union, since the main purpose of the Staff Union is to speak in the interests of the staff, “representative independence and sometimes the perception of the management”. [19] This reasoning is even more applicable to the Office of Staff Legal Assistance, since the nature of the proceedings means that the Office often expresses the opposite view with management. As at 15 August 2011, the Appeals Tribunal had not issued the judgement in the case. However, as shown in the summary of the judgement, the Court of Appeal seems to determine that the conduct and omission of the Office of Staff Legal Assistance fall within the jurisdiction of the Dispute Tribunal, since the services provided by the Office and the manner in which the agent is responsible can have an impact on the conditions of appointment. The legal and financial responsibilities of the Secretary-General for the conduct and inaction of the Office of Staff Legal Assistance are meaning that staff members may make claims for compensation to the Organization if they are unable to successfully challenge the administrative decisions of the Secretary-General.\",\n \"The emerging case of the Appeals Tribunal appears to indicate that, although acts and omissions of certain independent entities, such as OIOS, may not fall within the jurisdiction of the Dispute Tribunal, acts and omissions of other independent entities such as the Office of Staff Legal Assistance may be reviewed by the Dispute Tribunal. In addition, the Secretary-General points out that the guidance of the Court of Appeal on these issues is not necessarily decisive, since the Dispute Tribunal stresses that those rules are applicable only when the rules established by the Appeals Tribunal are “compliant with the general principles of law”. [20]\",\n \"Therefore, the Secretary-General believes that clarification by the General Assembly of its intention in the jurisdiction of the Dispute Tribunal may be useful. In this regard, the Secretary-General emphasizes that the exclusion of acts and omissions of independent entities from the jurisdiction of the Dispute Tribunal does not imply that staff are deprived of the right to appeal in cases where they believe that their rights are violated by such entities.\",\n \"First, the Secretary-General may object to that decision in the Dispute Tribunal itself, subject to an administrative decision based on the alleged acts or omissions of an independent entity. For example, the Ethics Office concluded that a staff member had committed reprisals and that the Secretary-General, in accordance with the discretion of the Ethics Office, had decided to impose disciplinary measures on the staff, which could lodge a complaint to the Dispute Tribunal, object to the disciplinary measures taken by the Secretary-General and his reliance on the Ethics Office's alleged error. However, the discretion of the Ethics Office with regard to reprisals should not be questioned by the Dispute Tribunal. Since the independent status of the Ethics Office does not allow the Secretary-General to direct the Office to make a retaliatory decision, it cannot be held accountable for the Secretary-General's responsibilities, even if they were later proved wrong.\",\n \"Secondly, if staff questioned the conduct or omissions of independent entities relating to the performance of their management functions, the scope of the jurisdiction of the Dispute Tribunal would not raise any question with respect to the independent status of the entity. For example, the question of the manner in which OIOS selects is clearly within the jurisdiction of the Dispute Tribunal.\",\n \"The exercise of jurisdiction by the Dispute Tribunal for acts and omissions of independent entities is problematic only when a staff member's complaint concerns the manner in which the independent entity performs its functions. In the Secretary-General's view, as independent entities carry out their operational responsibilities in a manner that does not fall under the effective control of the Secretary-General, any acts and omissions relating to the implementation of operational mandates cannot be attributed to the Secretary-General and should not be held accountable for the legal or financial responsibilities of the Secretary-General. Indeed, accountability in such cases does not advance the objective of strengthening accountability, since the Secretary-General has no authority to influence or correct the behaviour and omissions of the independent entity questioned by the staff. The General Assembly may wish to consider the suitability of accountability and the cost of the Organization's public funds in cases where the Secretary-General has not been identified.\",\n \"If the General Assembly wishes to clarify that the jurisdiction of the Dispute Tribunal with respect to administrative decisions is limited to those taken by the Secretary-General or taken on behalf of the Secretary-General, the Assembly may wish to consider amendments to article 2, paragraph 1 (i), of the statute of the Dispute Tribunal, referring to “administrative decisions of the Secretary-General that have unilaterally taken or on behalf of the Secretary-General on alleged non-compliance with the terms of appointment or employment contracts”.\",\n \"The Secretary-General recommends to the General Assembly the amendment to article 2, paragraph 1 (i), of the statute of the United Nations Dispute Tribunal, referring to “administrative decisions of the Secretary-General that have been made unilaterally or on behalf of the Secretary-General on alleged non-compliance with terms of appointment or employment contracts”.\",\n \"Another emerging issue is whether the Dispute Tribunal has jurisdiction over decisions taken by the governing bodies, such as the Executive Assembly or its subsidiary bodies. To date, staff have submitted complaints to the Dispute Tribunal calling into question the actions taken by the Secretary-General to implement General Assembly resolutions and the decisions of the International Civil Service Commission (ICSC).\",\n \"General Assembly\",\n \"Article 101 of the Charter of the United Nations provides that “the conductr shall be assigned by the Secretary-General in accordance with the statutes established by the General Assembly”. In accordance with that provision, the General Assembly has promulgated the Staff Regulations and may modify the Staff Rules. In its resolution, the General Assembly approved the Organization's policy on human resources management.\",\n \"In 2010, the General Assembly, in its resolution 848, approved the recommendation of the International Civil Service Commission to harmonize the conditions of service of staff at the non-family duty stations in the organizations of the United Nations common system. The consequences of that decision were the removal of a “personal transition allowance”. In the same resolution, the General Assembly also requested the Secretary-General to promote “the immediate Executive Committee's recommendations on the harmonization of conditions of service at non-family duty stations”. The Department of Field Support therefore informed field staff that the changes approved by the General Assembly would enter into force on 1 July 2011. In June 2011, for the first time, a complaint was submitted to the Dispute Tribunal for the cancellation of the personal transition allowance. The complaint alleged that the elimination of personal transitional benefits had a negative impact on single women and raised discrimination based on gender or individual status.\",\n \"The Charter requires the Secretary-General to implement the staff management regulations established by the General Assembly, with the result that the Secretary-General is also requested to implement the human resources management policies set out in General Assembly resolutions. The United Nations Administrative Tribunal had previously considered that the Court “shall not be a General Assembly nor the Secretary-General, and therefore did not qualify for a policy decision on personnel issues to be replaced by its judgement”. [21] Resolution 8051 reaffirmed the legal authority of General Assembly resolutions and stressed that “all parts of the new system of administration of justice must be in compliance with the Charter of the United Nations and the legal and regulatory framework approved by the General Assembly”.\",\n \"However, the Dispute Tribunal is of the view that, if any action would result in a violation of human rights norms, such as the principle of equal pay for work of equal value, it could not be denied by the Secretary-General on the basis of his obligation to comply with General Assembly resolutions. The decision was confirmed by the Appeals Tribunal. [22] In short, when the Dispute Tribunal determines that the implementation of General Assembly resolutions will result in non-compliance with human rights norms, its legal and economic responsibilities can be held by the Secretary-General in implementing the resolution.\",\n \"International Civil Service Commission\",\n \"The International Civil Service Commission is a subsidiary body of the General Assembly and its statute is approved by the General Assembly in its resolution 3357 (XXIX). Article 6 of the statute of the Commission explicitly prohibits the Committee from accepting instructions from any organization participating in the common system, which is independent of the Secretary-General. Article 25 (3) of the Constitution states that the Commission's decision “shall be implemented by the organizations from the dates determined by the Commission”.\",\n \"In December 2009, the International Civil Service Commission decided to classify duty stations in Nairobi from the category “C” to the category “B”. The classification of duty stations in Addis Ababa has also been changed from “C” to “B”. Both changes entered into force on 1 January 2011. The Commission's duty stations are categorized in the category “A” to “E” and indicate the difficulties in living and working conditions, which are the most difficult duty stations. As a result of the reclassification at the Nairobi and Addis Ababa duty stations, the hardship allowance received by persons working in the two places was reduced and the right to a home leave was granted every 24 months, not every 12 months. Staff at both duty stations object to the decisions of the Executive Committee of the Secretary-General.\",\n \"The Secretary-General is obliged to implement the Commission's reclassification at the Nairobi duty station, as article 25 (3) of the Commission's statute and staff regulation 3.14 require the Secretary-General to “take into the amount of hardships for the life or work of each duty station established by national ICSC”. In addition, the United Nations Administrative Tribunal also emphasized that the Commission had binding on the Secretary-General. Judgement No. 421 of the Administrative Tribunal (Chatwani) ruled that “the Director-General of the United Nations or other organizations within the common system shall not be competent to revise, modify or withdraw the decisions adopted by the Commission in accordance with its statute”. [23]\",\n \"Note by the United Nations Dispute Tribunal\",\n \"The Dispute Tribunal is still reviewing the objections raised by the Secretary-General in the implementation of the decisions of the governing bodies, including resolutions of the General Assembly and decisions of the International Civil Service Commission. It is noteworthy that the Appeals Tribunal has dismissed the Secretary-General's argument in one case that the action requested by the staff would violate the General Assembly's resolution on budgetary issues, and that the budgetary factor “shall not override the requirement for fair treatment”. [24]\",\n \"Even when the decisions of the Dispute Tribunal and the Appeals Tribunal question specific cases in which the Secretary-General implements General Assembly resolutions and decisions of the Commission, such sentences are not necessarily used in other cases, as the decisions of the governing bodies cover a wide range of issues related to human resources management. In addition, the Dispute Tribunal also stressed that it considered that the rules established by the Court of Appeal were applicable only when “consistent to the general principles of law”. [25]\",\n \"The Secretary-General therefore considers that it might be useful for the General Assembly to clarify its intention to clarify the scope of the Dispute Tribunal. In the event of action by the Secretary-General to implement the decisions of the governing bodies, such as the General Assembly and the International Civil Service Commission, the General Assembly may wish to consider the appropriateness of imposing financial responsibility and consuming the Organization's public funds.\",\n \"If the General Assembly stated that the jurisdiction of the Dispute Tribunal does not include the decision of the Secretary-General to implement the decisions of the governing bodies, such as the General Assembly and the Commission, the Assembly may consider the amendment to article 2.1 (a) of the statute of the Dispute Tribunal and the replacement of the reference to “administered administrative decisions of the Secretary-General, allegedly not in accordance with the terms of appointment or the employment contract”. The Secretary-General took action to implement the decisions of the governing bodies that were not a unilateral administrative decision of the Secretary-General, since he was not entitled to act in a manner contrary to the decisions of the governing bodies.\",\n \"The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal by replacing the reference to “administrative decisions taken by the Secretary-General on behalf of the Secretary-General, allegedly incompatible with the terms of appointment or the employment contract”.\",\n \"Resource requirements\",\n \"The Secretary-General identified areas that need to be strengthened in the formal justice system for the establishment of a new system “independence, transparency, specialization, adequate resources and decentralized”. The resource requirements for the informal system are described in the report of the United Nations Ombudsman. For all of these reasons, in addition to the resources requested in the proposed programme budget for the biennium 2012-2013 (A/64/2), the Secretary-General recommends that the General Assembly consider strengthening the formal justice system with the following posts and non-post resources:\",\n \"(a) With regard to the Management Evaluation Unit, in view of the reasons set out in paragraphs 19 and 20 above, the Secretary-General recommends to the General Assembly that a further Legal Officer (P-3) post be established to assist the Unit in its work;\",\n \"(b) With regard to the Dispute Tribunal and its Registry, and in view of the reasons set out in paragraphs 42 to 44 above, the Secretary-General recommends to the General Assembly the reappointment of three full-time judges (Geneva, Nairobi and New York), the reclassification of one P-2 Legal Officer post in the New York Registry to P-3 and the establishment of six new posts (3 P-3, 2 General Service and 1 General Service ( Local level) to assist the work of the new dedicated judges, effective 1 January 2012. The above-mentioned positions were initially approved by the General Assembly in its resolution 63/253 for a term of one year beginning on 1 July 2009 and then extended by the General Assembly in its resolution 63/251 until 31 December 2011, and the funding system provided with the limited budgetary discretion granted by the Secretary-General in its resolution 60/283 and extended by resolution 64/260. The proposal was intended to formalize the existing temporary positions of the Dispute Tribunal;\",\n \"(c) With regard to non-post resources for the Dispute Tribunal, and in view of the reasons set out in paragraphs 49 to 51 above, the Secretary-General recommends that the General Assembly approve communications costs ($25,000) and travel ($15,000);\",\n \"(d) With regard to the Registry of the Appeals Tribunal, in view of the reasons set out in paragraphs 71 to 78 above, the Secretary-General recommends the establishment of a Legal Officer (P-4) to strengthen the Registry, effective 1 January 2012, and an increase of $280,200 to facilitate the third annual session of the Tribunal and to improve the treatment of the travel of its judges;\",\n \"(e) With regard to the Office of Staff Legal Assistance, in view of the reasons outlined in paragraphs 83 to 92 above, the Secretary-General recommends the establishment of four posts (one P-4 and one General Service in Nairobi, one P-4 in New York and one General Service in Geneva) to strengthen the Office, effective 1 January 2012. The Secretary-General also recommends that resolution King51 be established on 1 January 2011 and currently funded by the support account for peacekeeping operations to the P-3 position as at 1 January 2011 until 31 December 2012. In addition, the Secretary-General requests for communications ($11,200), travel ($15,000) and supplies ($9,000);\",\n \"(f) With regard to the Office of the Executive Director of the Office of the Administration of Justice, in view of the reasons set out in paragraphs 101 to 108 above, the Secretary-General recommends that the General Assembly authorize the provision of general temporary assistance ($130,000) for the compensation of external personnel of the Internal Justice Council and for the replacement of staff on long-term sick leave and maternity leave. In addition, the Secretary-General recommends that the General Assembly approve travel costs ($30,000), contractual services ($37,500) and software purchase fees ($37,500);\",\n \"(g) With regard to the representative of the secretariat of the Secretary-General of the Dispute Tribunal, and in view of the reasons set out in paragraphs 115 and 116 above, the Secretary-General recommends that the General Assembly approve 11 new posts (5 P-4, 3 P-3, 1 General Service and 2 General Service (Local level)), effective 1 January 2012. This includes five posts in the Human Resources Management Office (2 P-4 and 3 P-3), two posts at the United Nations Office at Geneva (1 P-4 and 1 General Service), two posts at the United Nations Office at Nairobi (1 P-4 and 1 General Service ( Local level) and two posts in the Economic and Social Commission for Asia and the Pacific (1 P-4 and 1 General Service ( Local level)). In the light of the reasons set out in paragraphs 157 to 161 above, the Secretary-General recommends that the General Assembly approve travel ($60,000) for the implementation of the outreach mandate and for participation in court hearings at other duty stations;\",\n \"(h) With regard to the Office of Legal Affairs, in view of the reasons set out in paragraphs 172 to 186 above, the Secretary-General recommends that three posts be established in the General Legal Affairs Division (2 P-4 and 1 P-3) effective 1 January 2012.\",\n \"Therefore, if the General Assembly agrees to the above proposal, additional requirements of $8,677,900 would be considered in accordance with the provisions of the contingency fund established pursuant to General Assembly resolutions 41/213 and 42/211 (before recosting). In that regard, it should be recalled that the General Assembly, in its resolution 3862, approved the amount of $450 million for the Fund for the biennium 2012-2013.\",\n \"The full new posts listed in the present report are to be established effective 1 January 2012. In paragraph 20 of its first report on the proposed programme budget for the biennium 2008-2009 (A/62/7), the Advisory Committee on Administrative and Budgetary Questions recommended that, if any, new proposals should be made, the delayed impact of posts should be described. In this context, the General Assembly may wish to note that the proposed 26 new posts are currently estimated at $3,356,400 under full cost for the biennium 2009/10, including $1,072,200 under section 1, Overall policymaking, direction and coordination, $442,200 under section 8, Legal affairs, $173,500 under section 19, Economic and social development in Asia and the Pacific, $126,200 under section 29A (Under-Secretary-General for Management), $668,600 under section 29C, Human resources management, section E, section 29, Administration of the United States dollars, and staff assessment under section 29, paragraph 4, Administration, of the United Nations Office for the biennium.\",\n \"Conclusions and actions to be taken by the General Assembly\",\n \"In the opinion of the Secretary-General, the recommendations contained in the report would provide the necessary additional strength for the new system of administration of justice that has earned the trust of staff and management. He invited the General Assembly to give these proposals appropriate consideration and to approve the resources needed to ensure their implementation.\",\n \"Therefore, the General Assembly is invited to:\",\n \"(a) Approves the establishment of 26 new posts (10 P-4, 8 P-3, 4 General Service (Other level) and 4 Local level) within the programme budget for the biennium 2012-2013;\",\n \"(b) Approves the reclassification of one P-2 post to the P-3 post, effective 1 January 2012, within the programme budget for the biennium 2012-2013;\",\n \"(c) A total of $8,657,900 (before recosting) in the programme budget for the biennium 2012-2013, comprising an additional appropriation of $3,889,700 under section 1, Overall policymaking, direction and coordination; $559,700 under section 8, Legal affairs; $388,400 under section 19, Economic and social development in Asia and the Pacific; $164,300 under section 29A, Under the Under-Secretary-General for Management; $948,300 under section 29C, Human resources management, Office of Central Support Services; and an increase of $36,600 under section 29, Administration of the United Nations Office for Project Services; These funds will be charged against the contingency fund;\",\n \"(d) Approves the continuation of one year of the P-3 post in Nairobi effective 1 January 2012, funded by the budget for the support account for peacekeeping operations, to be reported in the performance report relating to the support account for peacekeeping operations for the period from 1 July 2011 to 30 June 2012 and reflected in the proposed budget for the period from 1 July 2012 to 30 June 2013.\",\n \"Annex I\",\n \"Recommendations for funding mechanisms for staff funded by the Staff Legal Aid Office\",\n \"Staff Legal Aid Office\",\n \"Introduction\",\n \"The present concept paper provides information on mechanisms funded by staff to support the work of the Office of Staff Legal Assistance, as requested by the General Assembly in paragraphs 40 and 41 of resolution 9851. The General Assembly requested proposals based on both statutory contributions and voluntary contributions, which were responsive.\",\n \"The present document presents a common point for statutory contributions and voluntary contributions programmes. In particular, the General Assembly will continue to define the staffing table and other financial needs of the Office of Staff Legal Assistance, taking into account the Secretary-General's proposed budget. In addition, the Secretary-General notes that any decision on the staffing needs of the Office must take into account any decision of the General Assembly on the mandate and functions of the Office. The Office post established pursuant to resolution 63/253 will continue to be funded from the regular budget. The proposed staff funding mechanism would offset part of the increase in the current staffing costs of the Office, as proposed by the Secretary-General. The last common point is that the proposed staff contribution, whether statutory or voluntary, will be deducted from the monthly salary.\",\n \"In particular, with regard to the statutory contribution programme, it is noteworthy that the establishment of the Office of Staff Legal Assistance as part of the Organization's system of administration of justice constitutes the Organization's costs associated with its operational activities. In accordance with Article 17, paragraph 2, of the Charter of the United Nations, “The Organization's funds shall be borne by Member States in accordance with the limits allocated by the General Assembly”. This intention is to require Member States to bear the expenses of the Organization, which is clearly reflected in the legislative history of the provision. [26]\",\n \"Therefore, the requirement for staff members to assume part of the Organization's funding under the Charter for Member States raises legal issues. If the introduction of an approach that would assist the General Assembly in its mandated activities, it would create a possibility that the other “cost” of the Organization in the future could be considered to be beneficial to staff members and would be fully or partly assumed through taxation of staff.\",\n \"Staff statutory payment mechanisms funded by the Legal Aid Office\",\n \"The staff funding mechanism for the Office of Staff Legal Assistance has three possible statutory modalities of contributions: (a) a general pattern of wage payments for all staff; (b) a model for the actual use of the office's services; and (c) a percentage of contributions received by staff unions and associations to fund the activities of the Office. The three models are discussed below.\",\n \"As at 30 June 2010, staff from the Secretariat and funds and programmes comprised approximately 45,000 General Service staff, about 30,000 Professional and field staff and approximately 1,525 Division and above staff. They can use the system of administration of justice (see A/65/350 and CEBLCM/HR/24).\",\n \"Universal statutory pattern of payments\",\n \"In accordance with the general statutory pattern of payments, each staff member will be charged. Any fees for staff members have a significant consideration of the salary scales for each duty station, in particular local salary scales. Therefore, any fees would need to reflect the difference in the salary scales in order to ensure that fees are fair and commensurate with the actual salary ratios of each staff member. One may be to collect a percentage of the staff salary available for each system of administration of justice (e.g., 001 per cent). Another may be fixed for the amount of fees, but the level, grade and duty station of staff are determined. The fees will be deducted from the monthly salary.\",\n \"The contributions of staff charged will be used to offset part of the current staffing table for the Office of Staff Legal Assistance established pursuant to General Assembly resolution 63/253 (1 P-5, 5 P-3, 1 P-2 and 3 General Service posts).\",\n \"The model has several benefits. The main advantage is that, as a result of the large number of staff members, a large amount of money can be charged to fund the Office even if the amount of individual contributions is small. Similarly, the universal statutory payment mechanism will be the most consistent and stable source of income.\",\n \"However, there are some concerns about the statutory payment mechanism. The first issue is that, in general, staff using office services are expected to account for a small percentage. Currently, less than 1 per cent of the staff who are making complaints to the formal system are being complained. As a result, about 99 per cent of staff will pay some of the costs for services used by less than 1 per cent of staff. This raises concern about the fairness of the practice of extensive charges with universal statutory payment mechanisms.\",\n \"Another concern is that, in accordance with the jurisprudence of the Dispute Tribunal, the Office [27] may refuse to provide assistance if it determines that a case is not legally suffrage or where the court wins. This jurisprudence is in line with the universally accepted principle that court personnel may not submit cases in which they are in good faith considered to be incompatible with the law. In addition, the resources of the organization should not be wasted on matters that are virtually impossible or entirely impossible to achieve results. However, if all staff members are subject to a statutory fee, the individual of the staff may feel entitled to make a case on behalf of the Office of Staff Legal Assistance, irrespective of whether the case is legally justified or unreasonably successful. There is therefore a risk that staff members may lodge complaints, even formally appealing the decision, despite the payment of fees, and thus raise additional and potentially significant costs to the Organization.\",\n \"This situation may arise under the statutory payment and voluntary payment mechanism, since in theory, whether statutory or voluntary contributions are made, contributions may be argued that they are entitled to services.\",\n \"Finally, if staff members are required to contribute to the services provided by the Office established by the General Assembly, the staff may consider that this provision violates the terms of appointment and conditions of service and appeal against them. If the staff complaint is successful, the Organization will be forced to return all staff members to pay interest at the later stage and may also pay other compensation payments.\",\n \"Flexibility for those using the Office of Legal Assistance\",\n \"The second possible statutory staff funding programme is that only staff members who use the Office of Legal Assistance are required to pay. This model could address the issue of staff members who do not use office services being requested to bear the funding costs of the Office.\",\n \"If the programme is agreed, it will be necessary to determine the amount requested. Fixed contributions are equal to service charges for the use of office. Other models may also be considered, for example, by requiring successful claimants to contribute a percentage of any award.\",\n \"However, as the number of staff serving in the office is small percentage of the total number of staff (approximately 1,000 staff members each year seek office services), the fees for users are more than the small contributions envisaged under the universal statutory payment model. For example, the annual costs of P-4 posts in Geneva amount to $277,300. As a result, the average fees for each office user would amount to $277.30 for the full provision of a P-4 post for the Geneva Staff Legal Aid Office. If such a mechanism should only offset a percentage of the costs associated with other posts in the Office, fixed charges may be more or less, depending on the number of posts and the percentage to be offset.\",\n \"It is noteworthy that one of the worrying circumstances that have been referred to in the general pattern of contributions also apply to this model, i.e., if the Office refuses to represent the staff who have paid legal contributions, the staff may request continuing to provide legal services to them and even appeal them. However, one way to mitigate this concern is that the costs charged to the staff are limited, depending on the size of the Office's service. For example, if the Office assists staff in the negotiation and reconciliation of their cases, it could be charged to them at $30 million, with the exception of the Office to provide telephone advisory services, only $50.\",\n \"C. statutory fees for the receipt of contributions by staff unions and associations\",\n \"The third possible statutory contribution model is that staff associations and staff unions are required to contribute a part of their contributions to support the work of the Staff Legal Aid Office.\",\n \"Staff unions and associations are used to promote and guarantee the rights and interests of staff. As a result, a portion of the contributions received is required to provide the Office with a form of legal insurance for the staff members represented by the Staff Union and the Association.\",\n \"Concerns arising from the introduction of statutory deductions for trade union financial resources, similar to those that impose statutory deductions on individual staff members.\",\n \"At present, the United Nations Staff Union and Association shall not impose a statutory fee on the staff represented. As a result, trade unions and associations have significant differences in financial resources. There are several possibilities for determining fees. One is a percentage of contributions received by each worker's trade union or association. Another is the amount charged to staff represented by trade unions. The third is a fixed amount for all trade unions and associations. Under the previous two models, the number of funds that can be charged and used to offset office costs depends on a number of factors (in the first mode, the number of contributions received and the second model is the number of staff members represented and the contributions paid to each individual). Under the third model, for example, $200,000 (14 trade unions) is charged to each worker's trade union/Associate, and $280,000 per year will be net. However, it is feared that trade unions and associations, in particular underfunded trade unions and associations, may complain that the imposition of fees would weaken their ability to provide basic services to members.\",\n \"Voluntary contribution mechanisms for staff funded by the Office of Legal Assistance\",\n \"There are two possible models for the establishment of funding mechanisms for staff based on voluntary contributions. One system is the automatic deduction of fixed percentages of staff salaries to assist the Staff Legal Aid Office in the delivery of services, but staff may choose to withdraw from the system. The second option is to allow staff to choose a fixed percentage of the salary.\",\n \"The two voluntary contributions model has one advantage: contributions are made with the consent of the participating staff (expressed consent or tacit consent). However, the number of funds collected from voluntary contributions patterns will depend on how many staff members decide to pay, and therefore it is difficult to estimate the number of contributions if there is no real situation in several annual payment cycles.\",\n \"Under both models, there is a need for incentives for staff to participate in the mechanisms. One possible way to encourage participation is the priority given by the Office to handle cases involving staff selected for the mechanism. If the Office is too long to deal effectively with a particular case, it may refuse to provide assistance to staff who have withdrawn from the voluntary funding mechanism.\",\n \"Another way to encourage participation is to establish the services of the Staff Legal Aid Office at two levels. Staff participating in voluntary staff funding mechanisms will be able to use all services of the Office. Staff members who do not provide voluntary contributions can only use the Office's basic services, i.e. providing brief legal guidance/consultations on existing laws, and providing limited access to any documents or petitions drafted by staff for their own cases. In this regard, another incentive to participate in voluntary contributions mechanisms is the concept of user pay payments under the statutory payment mechanism, i.e., staff members who do not choose to join or choose to withdraw from voluntary mechanisms are required to pay their services.\",\n \"As is the case under the statutory pattern of payments, a complaint and appeal may arise if the office considers that the case of the contributory staff is almost possible or entirely successful. However, one way to mitigate such concerns is to make it clear to staff that the Office will take into account the grounds for its complaints when deciding whether to provide legal assistance.\",\n \"In addition, another issue of the voluntary mechanism is how the minimum payment threshold would provide enhanced services. For example, if staff members may choose to participate in a fixed-term payment model before they wish to receive office services, they may be withdrawn immediately after the receipt of such services. One way to address this problem is to limit the participation/removal status of staff, such as a limitation of one year.\",\n \"Conclusion\",\n \"All the models mentioned above will be implemented further. As noted above, the introduction of a statutory payment model involves legal issues.\",\n \"Moreover, the conflict between equity and access to payment incomes must also be resolved. The statutory pattern of contributions, if identified as acceptable, is more likely to receive more contributions to offset the cost of additional office resources. However, the number of contributions received will also depend on how many individuals or entities are paid, depending on the amount or percentage charged, even under the statutory pattern of payments.\",\n \"The “user pay” and voluntary models may be considered fairer, since they do not collect fees for those who do not use office services or do not consider to be worthwhile to use services in the future. This was particularly highlighted because 99 per cent of staff had not been used and were not expected to use office services. However, it is more difficult to predict how many of the contributions will be earned by any voluntary mechanism. Under the user pay rate model, the question arises as to how to ensure fair and adequate payment, while avoiding excessive reductions in the use of office services. Further consideration is therefore needed to achieve a proper balance between the wide provision of office services and the receipt of contributions.\",\n \"Recommendations\",\n \"The Secretary-General recommends that the General Assembly take note of the statutory funding and the recommendations of the Mixed Funding Mechanism as described in the present note, and recommends that the General Assembly indicate whether it considers a model and which model would be appropriate for the Secretariat to prepare a more detailed proposal for the consideration of the Assembly.\",\n \"Annex II\",\n \"Proposal for a mechanism for the preparation of complaints by outsiders\",\n \"Summary of the rules of expedited arbitration for contracts with consultants and individual contractors: concept paper\",\n \"Introduction\",\n \"The present concept document [28] proposes that a possible solution to the problem between the United Nations and certain categories of subsidiaries (i.e. consultants and individual contractors) should be addressed through the inclusion of a number of simplified elements in the UNCITRAL Arbitration Rules. The Secretary-General's report on the administration of justice at the United Nations (A/65/373 and Corr.1, para. The present concept paper does not intend to discuss possible solutions to the dispute between the United Nations and the constituents referred to in paragraph 9 of General Assembly resolution 64/233, nor does it address certain categories of persons not applicable to the process discussed in this concept paper (see General Assembly resolution 63/251, para.\",\n \"The approach referred to in paragraph 171 of the Secretary-General's report relates to arbitrations that deal with the amount of $25,000 under the auspices of local, national or regional arbitration associations. However, the report concluded that “initiation of formal arbitration in claims amounting to $25,000 or below may not be efficient and effective for the Organization even in accordance with special procedures for arbitration” (A/65/373 and Corr.1, para. Therefore, the rapid process outlined below does not precede financial constraints.\",\n \"The procedures contained in this concept paper can be used both for specialized arbitration and for arbitration under the auspices of the Association of Arbitration, provided that the relevant associations agree to conduct arbitration in accordance with these procedures.\",\n \"In simplifying arbitration proceedings, it must be borne in mind that, in accordance with article 8, paragraph 29, of the Convention on the Privileges and Immunities of the United Nations, the United Nations should provide for appropriate solutions to disputes arising from its contracts. Thus, the procedures contained in this concept paper seek to preserve the basic characteristics of the due process.\",\n \"The procedures contained in this concept paper have the following basic characteristics:\",\n \"• A two-phase process consisting of a informal dispute resolution phase and of a rapid arbitration process when informal dispute resolution is not successful\",\n \"• The time frame for submitting arbitration requests cannot be abandoned\",\n \"• Single arbitrators\",\n \"• List of arbitrators selected from the Organization's agreement with individual contractors/consultants (see para. 8 (d) below)\",\n \"• Limitation of arbitrators\",\n \"• A designated body to exercise certain functions of a designated body by a neutral entity, such as the selection/appointing of arbitrators and the decision on the party's objection to arbitrators\",\n \"A neutral entity may be an international dispute resolution body (in this case, the Organization and the applicant need to share the agency's management costs in their respective share)\",\n \"• As long as possible, electronic transmission of arbitration notices and other communications\",\n \"• Standard templates used by parties in submitting documents\",\n \"• Streamlining and submitting other documents and limiting their number\",\n \"• Limitation of amendments to pleadings and submissions\",\n \"• The witness testifies in writing unless the arbitrator decides that the witness shall be given oral testimony (e.g., in order to allow the parties to carry out cross-exclusive testimony)\",\n \"• Meetings and consultations between arbitrators and parties on initial administrative matters and other matters\",\n \"• As an exceptional case, a party may request a hearing in order to cross-quality evidence or, if necessary, an arbitrator may order a hearing to address the substantive issues of fact or law; such hearings are usually carried out through teleconferences or videoconferences, with a limitation not exceeding two days.\",\n \"• In most cases, arbitrators make decisions based on written pleas by parties and submissions (full written proceedings)\",\n \"• Arbitral award within a specified time frame, for example, 30 days\",\n \"• Any compensation paid by the decision is limited to filling economic losses and setting a ceiling\",\n \"• Depending on the number of arbitrations initiated against the Organization in accordance with the proposed simplification of arbitration proceedings, additional resources may be required to defend the Organization and minimize its legal responsibility.\",\n \"Framework\",\n \"A set of new rules, known as the United Nations Rules for the Rapid Arbitration of Counsel contracts (hereinafter referred to as “the Quick Rules”), will be prepared in the framework of the UNCITRAL Arbitration Rules. The Quick Rules will be based on the UNCITRAL Arbitration Rules and make necessary changes to them to incorporate the expedited procedures referred to above. The present concept paper will describe the content of these changes, but it does not necessarily define the terms or place. This concept paper will also indicate what provisions of the UNCITRAL Arbitration Rules are relevant to or affected by the proposed process. It should be noted that, in addition to the points contained in the present concept paper, there are many other consequential changes to the UNCITRAL Arbitration Rules (e.g., changes required to adapt to only one arbitrator).\",\n \"Summary of dispute resolution procedures\",\n \"The Quick Rules provide for a two-phase process consisting of an informal dispute resolution phase and a rapid arbitration process. In the absence of success in the informal dispute settlement phase, the parties will enter the formal dispute settlement phase, namely, the rapid arbitration process, which will be discussed in the following sections.\",\n \"Scope of the Quick Rules (the provisions of the UNCITRAL Arbitration Rules): Article 1\",\n \"The Quick Rules apply to consultants and others employed in United Nations service contracts for consultants and individual contractors (see ST/AI/1999/7/Amend.1, annex) or to contracts with consultants and individual contractors using similar contractual formats for United Nations funds and programmes (see, for example, A/62/748 and Corr.1, para. 13; and A/65/373 and Corr.1, annex IV, para. These categories of personnel are referred to as “personal contractors” in this concept document.\",\n \"Comments\",\n \"(a) By this approach, the Quick Rules apply to all persons employed under consultants and individual contractors' service contracts or similar contracts. This includes, for example, special experts and workers holding such contracts (see A/62/748 and Corr.1, paras. 33 and 40; and A/62/782, paras. 31-35 and 37-39), but not United Nations Volunteers (see A/62/748 and Corr.1, paras. 23 and 24; and A/62/782, paras. 22 and 23), officials other than Secretariat officials (see A/62/748 and Corr.1, paras. 29-31; and A/62/782, paras. 27-29) and others holding contracts.\",\n \"(b) The dispute resolution provisions in contracts with individual contractors will be altered, providing that disputes that have not been resolved in a friendly manner during the informal dispute settlement phase should be submitted to arbitration in accordance with the Quick Rules.\",\n \"(c) The Quick Rules would provide for specific types of contractual claims applicable to them, such as claims that the parties have breached or otherwise terminated the contract. In addition, the Quick Rules explicitly exclude certain categories of disputes from ratione materiae, such as claims made by a contractor with a staff status. For the purposes of the provisions of Appendix D to the Staff Rules, the duties of arbitrators are limited to verification of whether the applicant is entitled to the same compensation procedure as set out in Appendix D to the United Nations Staff Rules. In addition, the Quick Rules also determine the time frame for the submission of an arbitration application and stipulate that the time limit shall not be abandoned.\",\n \"(d) Unlike the UNCITRAL Arbitration Rules, individual contractors or consultants are not necessarily familiar with or accessible to the Quick Rules, and, therefore, the Quick Rules (including the names of entities where individual contractors or consultants may be required to present the lists of arbitrators) or should be made available to each individual contractor or consultant prior to signing the contract. Individual contractors or consultants must sign a letter of confirmation indicating that (i) the organization has provided the Quick Rules, (ii) the Quick Rules form an integral part of the contract and (iii) their acceptance of the list of arbitrators.\",\n \"Announcements and other correspondence (the provisions of the UNCITRAL Arbitration Rules): Article 2\",\n \"The parties and arbitrators shall communicate their notices, correspondence or proposals through electronic means in accordance with the Quick Rules unless such means of delivery are not available or impossible for technical reasons. [Reviews: This may include, for example, the lack or failure of electronic means of transmission, the excessive number of written or submissions. ]\",\n \"Reports and other submissions (articles covered by the UNCITRAL Arbitration Rules: articles 3, 4, 20, 21, 22, 23 (2), 24 and 25)\",\n \"Preliminary comments\",\n \"According to the following provisions, the applicant was not required to submit a letter of reply before the arbitrator was appointed. The reason for this provision is that the applicant may wish to raise the defence of the arbitrator's jurisdiction (e.g., the relevant controversy cannot be submitted to arbitration in accordance with the arbitration clause affirmed by the applicant or, for some other reasons, the arbitrator has no jurisdiction); or may wish to reject the application in advance on the basis of a manifest lack of legal basis for the arbitration application. The applicant was not required to submit a full letter of reply and accompanying documents before the arbitrator had ruled on the issue of jurisdiction or the question posed by the applicant against the merits.\",\n \"The applicant initiated the arbitration process by submitting an application for arbitration and arbitration. The information contained in the book should be similar to those provided for in the UNCITRAL Arbitration Rules. The applicant shall describe his claims and outline the grounds and supportive arguments.\",\n \"Over 60 days after the receipt of the applicant's request for arbitration and arbitration, the applicant must issue a response to the arbitration request. The responses should include the defence of jurisdiction and other matters, such as the identity of each applicant and the responses to the information contained in the request for arbitration. The parties should use standard templates when submitting documents.\",\n \"If the applicant raises a defence of the jurisdiction, the applicant shall, in his response to the request for arbitration, set out the facts and debates it wishes to make in support of the defence and, to the extent possible, be accompanied by all documents or documents that are based on them.\",\n \"The applicant shall, in his reply to the request for arbitration, indicate the facts and arguments it wishes to make in support of the reply and, to the extent possible, the full document or the grounds indicated therein.\",\n \"After the designation of arbitrators:\",\n \"(a) If the applicant raises a defence of jurisdiction, the arbitrator shall, after consultation with the parties, set the time frame for the applicant to respond to the defence. The arbitrator then ruled on the defence of jurisdiction by the applicant [reviews: no hearings are held, see section 13] below, and the arbitrators shall set the time frame for the submission of the respondent's submission if there is jurisdiction;\",\n \"(b) If the applicant's response to the request for arbitration is made in advance on the basis of a manifest lack of legal basis, the arbitrator shall, after consultation with the parties, set the time frame for the applicant's response to the respondent. The arbitrator then ruled that the applicant's reply to reject the application in advance on the basis of a manifest lack of legal grounds for the arbitration application [review: Without a hearing, see section 13 below] below, where an arbitrator is still maintaining an arbitration request, the time limit for the submission of the respondent by the applicant shall be set;\",\n \"(c) If the applicant has not raised a defence of the jurisdiction or has not submitted a reply to the request for arbitration based on the apparent lack of legal basis, the arbitrator shall set the time frame for the submission of the respondent.\",\n \"The information contained in the letter of reply should be similar to those provided for in the UNCITRAL Arbitration Rules. The applicant shall, in his letter of reply, respond to the specific elements of an arbitration application, may submit a counterclaim or a request for damages to the jurisdiction, unless it has been raised before. The letter of reply should be accompanied, to the extent possible, by the applicant as the basis of all documents or other evidence, or by the indication of the place of the documents.\",\n \"Extension or shortening of time limits (the provisions of the UNCITRAL Arbitration Rules): Article 17 (2)\",\n \"The time frame established or agreed by the parties in the Quick Rules may be extended or shortened at any time if the parties agree or the arbitrators so decide upon.\",\n \"Amendments to the written statement (in the context of the UNCITRAL Arbitration Rules): Article 22\",\n \"After the selection and acceptance of the appointment of an arbitrator, a party may not amend its submission unless the consent of the party or the arbitrator is obtained. A request for amendments to be submitted to an arbitrator shall be subject to the text of the proposed amendment and shall indicate the reasons and reasons for the amendment. In order to decide whether to permit the amendment, the arbitrator should consider whether the delay in the arbitral proceedings resulting from the granting of amendments, the disadvantages caused to the parties and other circumstances would be greater than their benefits. If a letter of amendment is permitted, the arbitrator shall set the deadline for the party to respond to the amendment. If the written statement was amended, the party could respond only to the amendment.\",\n \"Supplementary submissions (the provisions of the UNCITRAL Arbitration Rules): Article 24\",\n \"After consultations with the parties, the arbitrator shall set the deadline for each party to submit other facts, legal debates or documents. The materials should be submitted in writing. No further submission of any material shall be permitted after the time has elapsed. Notwithstanding the above-mentioned provisions, a party may not be permitted to make a presentation of the facts or documents it has or should be known or accessible when the submission of the submission is supplemented.\",\n \"Disclosure (the provisions of the UNCITRAL Arbitration Rules): Article 27 (3)\",\n \"An arbitrator may, at the request of a party or at his own initiative, order any party to present, at any time, evidence or request any person to disclose or provide the documents or information required by the arbitrator as fair and expeditious arbitration proceedings. However, an arbitrator may not order any person to present or disclose evidence, documents or information that is confidential or privileged.\",\n \"If a party wishes to submit a non-exclusive or non-confidential evidence held by the party or any other entity, it may request the arbitrator to order the holder to present the evidence.\",\n \"If required by security or other special circumstances, an arbitrator may, at the request of any party, take measures to be confidential.\",\n \"Comments\",\n \"These provisions are made in accordance with article 18 of the Rules of Procedure of the United Nations Dispute Tribunal.\",\n \"Witness testimony (articles covered by the UNCITRAL Arbitration Rules): Article 27 (2)\",\n \"The statements or testimony of any witness, including any person acting as the applicant or the applicant, shall be made by a witness in the form of a written declaration, shall be made public or otherwise certified by law unless the arbitrator decides that, for fair reasons, the testimony shall be given at the hearing.\",\n \"Comments\",\n \"See section XIII below on the provisions of the hearings. In addition to certain exceptions, the hearings will take the form of teleconferences or videoconferences. A written statement by a witness shall be submitted as a party's written or supplementary document (see section VIII above).\",\n \"The terms of reference of the designated body (the UNCITRAL Arbitration Rules): Article 6\",\n \"There is no designation of institutions.\",\n \"However, it is still necessary to retain certain functions of the designated body, such as the selection or designation of arbitrators, the objection of arbitrators. These functions can be performed by a neutral entity.\",\n \"A neutral entity may be an international dispute resolution body selected through competitive recruitment.\",\n \"The benefits of a neutral entity by an international dispute resolution body are as follows: (a) Such an institution could provide existing expertise in all aspects of the management of arbitration proceedings; (b) select such institutions through competitive recruitment to reflect the commercial nature of the disputed contract; and (c) manage arbitration by an external body to ensure that the impartial entity is not relevant to the Organization and avoid giving preferences. However, the applicant and the applicant are required to assume the management fees charged by the institution in their respective shares.\",\n \"Article of the Arbitration Rules of UNCITRAL: Articles 7 to 15\",\n \"Number and designation of arbitrators (articles covered by the UNCITRAL Arbitration Rules: articles 7 to 10):\",\n \"(a) Only a single arbitrator;\",\n \"(b) The neutral entity referred to in section XI above will prepare and maintain a list of persons who may serve as arbitrators;\",\n \"(c) A condition on the inclusion of a list whereby an arbitrator is required to sign a document that confirms its consent and, if designated as an arbitrator in a case, to arbitration in accordance with the Quick Rules and to accept the maximum limit established for the arbitrator's fees (see section 17 below);\",\n \"(d) Designation of arbitrators: the neutral entity referred to in section XI above will select an arbitrator from the list of persons who may serve as an arbitrator. In order to make this process more predictable, a checklist process will be used by the parties to select their most priority candidates from a list containing several candidates, which will be communicated by the neutral entity in a confidential manner to each candidate.\",\n \"Objections to arbitrators (articles 11-15 of the UNCITRAL Arbitration Rules): The Quick Rules would retain the terms of the UNCITRAL Arbitration Rules concerning objections to arbitrators, but would provide that the neutral entity referred to in section XI above would make a decision on the objection if the parties were unable to agree on the objection in question or if the arbitrator was not resigned voluntarily. The parties agreed on an objection or the decision of the arbitrators to resign would be decisive and would automatically initiate the selection process for new arbitrators.\",\n \"Arbitration proceedings (articles covered by the UNCITRAL Arbitration Rules: articles 17, 27 (2), 28, 29 and 31)\",\n \"The process shall be based on the submissions of the parties and submissions, except as provided in the following circumstances.\",\n \"All meetings and consultations between arbitrators and parties on administrative and other matters are generally conducted through e-mail or teleconferences prior to the merits.\",\n \"There will be no hearing on the defence of jurisdiction or on the defence against which the application is manifestly lacking in legal grounds. The arbitrators shall make decisions on these defences in accordance with the written documents submitted by the parties.\",\n \"With regard to the merits, there will be no evidence, testimony or oral debate to be presented in the form of a hearing unless: (a) a party requests a hearing in order to cross-excise witnesses or (b) an arbitrator decides that some substantive facts or legal issues can only be resolved fairly and impartially through a hearing. The hearing is limited to the conduct of cross-exclusive evidence or to the fact or legal issue of witnesses. The hearing shall be used in a telephone conference or videoconferencing manner unless the arbitrator decides, in exceptional circumstances, that a question of fact can be resolved only through personal attendance at the hearings. Any such hearing shall not exceed two days.\",\n \"Article 29 of the UNCITRAL Arbitration Rules (which stipulates that the arbitral tribunal may designate its own independent expert) will be deleted.\",\n \"Application of the provisions of the UNCITRAL Arbitration Rules: Article 35 (1)\",\n \"The Quick Rules will provide that, unless otherwise agreed by the parties, arbitrators will decide on the basis of express contractual provisions, including general terms and conditions covered by the contract. The United Nations Staff Regulations and Rules and domestic laws do not apply to the relevant disputes.\",\n \"Decisions (articles covered by the UNCITRAL Arbitration Rules: articles 33 and 34)\",\n \"The arbitrator does not have the right to decide on payment of punitive damages, nor shall it be authorized to make decisions as a friendly mediator or in accordance with the principles of justice and goodness. In addition, unless otherwise expressly agreed in the contract, the arbitrator was not entitled to decide on the payment of interest earned by the London Bank, which was then introduced, and any such interest should be simply profitable. The parties shall be bound by such arbitration decisions as a final decision on any dispute, dispute or claim.\",\n \"Comments\",\n \"These provisions came from arbitration provisions in the United Nations General Conditions of Contract.\",\n \"The arbitrator shall rule within 30 days of the conclusion of the arbitration proceedings. The award for economic losses should be compensated only and a maximum [shall be determined].\",\n \"Costs (articles covered by the UNCITRAL Arbitration Rules: articles 40, 41 and 43)\",\n \"Arbitral award fees: The Quick Rules will limit arbitrator fees. The limitation on arbitrators' fees shall be contained in the Quick Rules and in the documents signed by them as a precondition for listing arbitrators (see section XII, paragraph 27 (c) above).\",\n \"Cost determination and distribution: each party should assume its own costs irrespective of the outcome of the case, and the parties should share the costs of arbitrators on average. In exceptional cases, however, arbitrators may decide that, in a fair and equitable manner, the costs and costs of the parties and arbitrators may be apportioned.\",\n \"Confidentiality (articles covered by the UNCITRAL Arbitration Rules: articles 28 (3) and 34 (5))\",\n \"All arbitration proceedings, including all notices, correspondence, writings, documents, submissions, hearings and decisions, shall be confidential unless the parties agree otherwise in writing. However, the United Nations or its funds or programmes may inform their governing bodies, at the request of their governing bodies, of the information on the arbitration proceedings.\",\n \"Other matters\",\n \"Privileges and immunities\",\n \"Unlike the UNCITRAL Arbitration Rules, the Quick Rules are designed specifically for United Nations arbitration cases, and therefore the provisions on privileges and immunities are desirable in that rule:\",\n \"“[Un]ny elements contained or relevant in the Rules shall not be interpreted or applied in a manner that is incompatible with the privileges and immunities of the United Nations, including its subsidiary bodies, or shall not be deemed to have waived such privileges and immunities. In order to avoid questioning, arbitration under [the full name of the Rules] shall not be subject to any local law, any reference to the location of arbitration shall not be considered or interpreted as relinquishing such privileges and immunities or the consent of the United Nations to the jurisdiction of any State.”\",\n \"Annex III\",\n \"Compensation awards by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal\",\n \"Compensation awards awarded by the Management Evaluation Unit (1 July 2009 to 31 May 2011)\",\n \"Summary of awards paid\",\n \"(1 July 2009 to 31 May 2011)\",\n \"The Executive Board\",\n \"B. Compensation awards awarded by the United Nations Dispute Tribunal and the United Nations Appeals Tribunal (1 July 2009 to 31 May 2011)\",\n \"[TABLE]\",\n \"Note: “No applicable” means that no action has been taken after the judgement of the United Nations Dispute Tribunal or that the judgement is still under appeal.\",\n \"The United Nations Appeals Tribunal Judgement No. AD(a) applicant's claim for compensation for the net payment (United States dollars) for the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) for the period from 1 July 2003 to 20 January 2004 amounted to a salary difference between grades 8 and 14 of the United States dollars. In addition, the net base of the United Nations Relief and Works Agency for Palestine Refugees in the Near East for Palestine Refugees in the Near East for the period 2010-UNAMIT-022 Abu Hamda was not applicable or the payment of a net base of $119000.00 for the United Nations Relief and Works Agency for Palestine Refugees in the Near East for the return of the applicant to the United Nations Relief and Works Agency for Palestine Refugees in the Near East for the United Nations Relief and Works Agency for Palestine Refugees in the Near East in the amount of $7600.002,00 million for the period 2010-2011 and 31 July 2009 for the net departure of the United Nations Operation in Côte d'Ivoire.\",\n \"lob (a) Judgement of the United Nations Appeals Tribunal on the award of compensation in cases where the United Nations Dispute Tribunal has not been tried or ruled for payment of compensation.\",\n \"C. Judgement of the United Nations Dispute Tribunal for awarding compensation equal to or above the net base for six months (from 1 July 2009 to 31 May 2011)\",\n \"(a) The decision of the United Nations Office on Drugs and Crime (UNMIK) to repay the United Nations Environment Programme (UNRWA) in the event of a decision of the United Nations High Commissioner for Refugees (UNCL) No. 212, which is not applicable to the United Nations Trust Fund; The Court found that, inter alia, investigations and other actions taken by the applicant were procedurally flawed and that it was not appropriate for the United Nations Secretariat (United Nations Operation in Côte d'Ivoire) to maintain a three-month net base (a loss of employment demonstration opportunities); (2) $4760 (exploitation costs); (3) a net base of 46339.86 for the six-month period, in the Lutta case 2011-UNAT-117 judgement, the Appeals Tribunal upheld the decision of the former UNTrice Cohen, Nairobi applicants to challenge immediately. The Dispute Tribunal found that the applicant's conduct did not constitute a misconduct, and that his due process rights were violated by the United Nations Secretariat (United Nations Organization Mission in the Democratic Republic of the Congo) and that the applicant's revocation (as an alternative, payment of the net base salary for two years) (1) payment of salary and entitlements from the date of departure and the date of the judgement; (2) the net base base for two months (intrusion of due process rights) 101624 did not apply UNDT Viet Nam119 Gaskins to the decision of the applicant to terminate his appointment. The United Nations Dispute Tribunal found that the applicant's employment contract had been defaulted, resulting in his own image and reputational damage, the United Nations Development Programme did not apply the six-month net base (a violation of due process rights, insult, pain and reputational damage) $440420.98, which did not apply to the UN DTechon Frechon, the Nairobi Dispute Tribunal found that the applicant had been dismissed for medical reasons and the decision of the International Criminal Tribunal for Rwanda to remove the contested dismissal applicant's decision, re-making (as an alternative, payment of the net base salary) for the period 154 to be fully applicable to the United Nations Human Settlements Programme for the period [...]. The Dispute Tribunal found that the applicant's rights were violated. The Economic Commission for Africa does not apply to the payment of salaries from November 2007 to March 2009; (2) the non-applicability of the six-month net base salary (respective of due process) UNDT 6, Edward M'Bra. The United Nations Dispute Tribunal has found that the immediate dismissal decision does not apply to the United Nations Secretariat (the United Nations Organization Mission in the Democratic Republic of the Congo) and the decision of the United Nations High Commissioner for Refugees (UNCWA) to pay a net base salary of 2 years from the date of the immediate departure; and (ii) the net liability of the United Nations Interim basement for the period 372. In the light of the recognition of the responsibility of the respondent, the case concerned only whether the amount of compensation paid for the net base for the period 2 years was appropriate, and the decision of the Office of the United Nations High Commissioner for Refugees to remove the immediate dismissal (as an alternative, payment of the net base salary for the period 2 years) (1) a net base for six months (a violation of due process rights); (2) a special post allowance for four months; (3) a net base for six months (psychia mental suffering and insult); (4) payment of salaries and entitlements at the G-6 level from June 2005 to December 2010 did not apply the special allowance and interest. Other appeals are pending. UNDTender060 Finniss United Nations Dispute Tribunal found that the applicant's rights were violated during the selection process at the P-5 level. The United Nations Secretariat (Office of Internal Oversight Services) does not apply (1) a net base of 18 months (in the selection of the first position, no due consideration is given to the applicant); (2) a six-month net base (in the selection of the second position, no due consideration has been given to the applicant) in the absence of a net application of UNDT 6, Borhom, the United Nations Dispute Tribunal concluded that the decision of the immediate dismissal is not lawful, the decision of the Office of the United Nations High Commissioner for Refugees to withdraw from the decision of the immediate departure, re-election (as an alternative, payment of a net base base salary) for 6 months; and (b) a net violation of the United Nations Inviolability process for the United Nations system for the United Nations Secretariat (UNVi. The award has actually been paid for two months to amend the award to a net base salary of two months (Kasyanov judgement No. 2010-UNAT-076) UNDTamp040 and No. 57 (New York/2010) Koh New York, after judgement No. Koh UND/2009/078, the Dispute Tribunal handed down awards and orders on compensation. The Dispute Tribunal found that the Organization did not assist the applicant in finding the appropriate work, thereby violating the employment contract with the applicant, the United Nations Development Programme, which did not apply to the United Nations Development Programme (UNDP) in the amount of $1107.60 (economic compensation) in 2000 and $10.60 in the amount not applicable to UNDTDD055 Abbasi in New York, and found that the selection process was discriminatory and violated the rights of the applicant, the United Nations Children's Fund (UNICEF) did not apply to a net base of 12 months (a loss of appointment, career development); and (b) in the case of the Appeals Tribunal in the case of Judgement No. The United Nations Secretariat (Department for General Assembly and Conference Management) does not apply to (1) a net base of six months (non-physical damage: setbacks, insults and delays); (2) the salary difference between the P-3 and the P-4 level, from August 2006 to retirement, $336256.94, which was maintained by the Appeals Tribunal in Judge Chen case 2011-UNAT-107, New York, Judgement No. 117 Bertucci, Judgement of the Dispute Tribunal after Judge Bertucci UNDTut080. The Court found that the decision not to appoint the applicant to serve as Assistant Secretary-General infringed its rights and that the United Nations Secretariat (Department of Economic and Social Affairs) did not apply to the amount of $655,000 (economic and non-economic damage) and that the Appeals Tribunal dismissed the judgement in Judgement No. 2011-UNAT-121 of the Bertucci case and returned to the Dispute Tribunal to retrial UNDTender 146 Beaudry, New York, after Judgement No. 039 of the Beaudry UNTup. The Court found that the decision not to extend for the applicant's employment contract was not lawful and that the United Nations Secretariat (United Nations Stabilization Mission in Haiti) did not apply to the amount of $1112082 (the actual economic loss, suffering and violation of the procedure) and that the Appeal Tribunal had cancelled UNDTamp 156 Shkurtaj, New York, in its judgement No. 2010-UNAT-085, and that the applicant had, inter alia, challenged the decision not to implement the award of compensation to the applicant for violations of his rights recommended by the Ethics Office. In part, the Dispute Tribunal supported the applicant and found that his rights were violated in certain matters of the applicant's complaint. The United Nations Development Programme does not apply to a net base of 14 months (in violation of due process, occupational and reputational damage, mental suffering); and $25,000 (in violation of due process); Procedural delays in the treatment of the recommendations of the Ethics Office are not applicable to UN DTamp200 Alauddin, New York, after Judgement No. 114 of the Alauddin case. The Court found that the Organization's employment contract for the applicant was not extended and violated the applicant's rights, and that the United Nations Development Programme did not apply (1) a net base of 11 months, including entitlements, less the applicant's income during the same period (the actual economic loss); (2) $300,000 ( mental injury) did not apply to UNDTlus 12 Tolstopiatov, New York, and that the United Nations Children's Fund was not applicable to the United Nations Children's Fund (UNICEF) and the United Nations Children's Fund (UNV) was decided that the United Nations Children's Fund (UNV) would not apply to the United Nations Children's Fund (UNV) in New York. The Dispute Tribunal therefore found that the disputed decision was not lawful and that the United Nations Population Fund did not apply (1) a net base base and entitlements for six months (removal economic losses); (2) $8000 (psychiatry suffering) did not apply to UNDT 6, Garcia, in New York, where the United Nations Development Programme had not been able to carry out employment relations, in violation of its contract with the applicant; the United Nations Development Programme had received adverse material from the individual files of the applicant (1),128.48 (wage and entitlements); (2) $101926,243 (UNV) was not applicable to the United Nations Secretariat (UNV), and the United Nations Office of the United Nations Secretariat (UNV) was granted a net voucher voucher's.\",\n \"Note: “No applicable” indicates that no action has been taken after the judgement of the United Nations Dispute Tribunal or that the judgement is still at the appeal stage.\",\n \"AD(*) A/63/250.\",\n \"[2] Individually administered funds and programmes address management evaluation independently.\",\n \"[3] Judge Mayine Karmann has resigned from the Dispute Tribunal effective 30 June 2011.\",\n \"[4] The number of applications or appeals is not necessarily the number of judgements due. Several appeals may sometimes be disposed of in a judgement or closed without judgement.\",\n \"[5] The principal drafters of a judgement paid $2,400. Each judgement of other signatories was received by $600.\",\n \"[6] “The case” means any formal appointment of a lawyer in the formal system (Management Evaluation Unit, the Dispute Tribunal and the Appeals Tribunal); legal guidance and a brief legal advisory opinion to assist staff in resolving disputes informally and may involve consultations with staff, discussions and negotiations with third parties or referrals to other actors in the system, including referrals to the Office of the Ombudsman or staff trade unions.\",\n \"[7] These entities are: International Tribunal for the Law of the Sea, United Nations Joint Staff Pension Fund, International Civil Aviation Organization, International Maritime Organization, United Nations Relief and Works Agency for Palestine Refugees in the Near East, International Seabed Authority and International Court of Justice.\",\n \"[8] See article 7 (11) of the rules of procedure of the Court of the World Bank (which stipulates that cases considered to be “acceptably unacceptable or unjustifiable”) and article 8 of the statute of the Inter-American Organization of Administrative Tribunal (which allows for the rejection of the claim “on the basis that there is no jurisdiction ... that the admissibility requirement is not met or that a remedy is not submitted”.\",\n \"[9] United Nations Appeals Tribunal judgement No. 2010-UNAT-57 (Fagundes).\",\n \"[10] Order 49 (2011) of the United Nations Appeals Tribunal (Finniss).\",\n \"[11] Judgement 2011-UNAT-121 of the United Nations Appeals Tribunal (Bertucci).\",\n \"[12] The Secretary-General points out that the time limit for appeal by the Court of Civil Servants of the European Union is two months (see the Statute of the Court of the European Union, annex I).\",\n \"[13] Judgement No. 2010-UNAT-62 of the United Nations Appeals Tribunal (Bertucci).\",\n \"[14] Judgement No. 1157 of the United Nations Administrative Tribunal, Adronov (2003), para.\",\n \"[15] Judgement No. 1999-2 of the IMF Administrative Tribunal (Mr. V) v. IMF, paras.\",\n \"[16] Judgement No. 384 of the World Bank Administrative Tribunal (AA v. IRD) (2008), paras.\",\n \"[17] General Assembly resolutions 48/218 B, 60/1 on the Ethics Office and 62/228 on the Office of Staff Legal Assistance.\",\n \"[18] Order No. 19 (NY/2010), United Nations Dispute Tribunal, para.\",\n \"[19] Decision No. 384 (AA v. World Bank) (2008), paras.\",\n \"[20] Order No. 010 (I/2011) of the United Nations Dispute Tribunal (Abosedra), para.\",\n \"[21] United Nations Administrative Tribunal judgement No. 1396 (2008), Wielechow, para.\",\n \"[22] Judgement No. 2010/68 of the United Nations Dispute Tribunal (Chen) and Judgement No. 2011-Chen, United Nations Appeals Tribunal.\",\n \"[23] Judgement No. 421 of the United Nations Administrative Tribunal (Chatwani), para.\",\n \"[24] Judgement No. 2011- Appeal Tribunal-107 (Chen), para.\",\n \"[25] United Nations Dispute Tribunal directive No. 010 (NBI/2011) (Abosedra), para.\",\n \"[26] The records of the San Francisco Conference point out that “The Charter shall specify the responsibility of Member States to bear the expenses of the Organization”. United Nations Conference of International Organizations, Documents, vol. VIII, p. 487.\",\n \"[27] For example, UNDTarts025 (Kita).\",\n \"[28] This concept paper was prepared by the General Legal Affairs Division of the Office of Legal Affairs, in consultation with the United Nations funds and programmes. It should be noted that the United Nations Children's Fund retains its right to choose to withdraw from the proposed simplified arbitration process.\"\n]"}}},{"rowIdx":97,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","暂定项目表^(*) 项目114(b)","选举各附属机构成员以补空缺， 并进行其他选举","选举国际法委员会成员","秘书长的说明","增编","1. 2011年7月29日，厄瓜多尔常驻联合国代表团通知秘书长，由于特殊情况，厄瓜多尔常驻团决定按照国际法委员会章程第5条的规定，以Carlos Oswaldo Salgado Espinoza的提名替代Marcelo Vázquez-Bermúdez的提名。","2. 关于Carlos Oswaldo Salgado Espinoza先生资格的说明，见A/66/90/Add.2号文件。","^(*) A/66/150。"],"string":"[\n \"第六十六届会议\",\n \"暂定项目表^(*) 项目114(b)\",\n \"选举各附属机构成员以补空缺， 并进行其他选举\",\n \"选举国际法委员会成员\",\n \"秘书长的说明\",\n \"增编\",\n \"1. 2011年7月29日，厄瓜多尔常驻联合国代表团通知秘书长，由于特殊情况，厄瓜多尔常驻团决定按照国际法委员会章程第5条的规定，以Carlos Oswaldo Salgado Espinoza的提名替代Marcelo Vázquez-Bermúdez的提名。\",\n \"2. 关于Carlos Oswaldo Salgado Espinoza先生资格的说明，见A/66/90/Add.2号文件。\",\n \"^(*) A/66/150。\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 114 (b) of the provisional agenda*","Elections to fill vacancies in subsidiary organs and other elections","Election of the members of the International Law Commission","Note by the Secretary-General","Addendum","1. In a note verbale dated 29 July 2011, the Permanent Mission of Ecuador to the United Nations informed the Secretary-General that, owing to exceptional circumstances, it has decided, in accordance with article 5 of the statute of the International Law Commission, to substitute its nomination of Marcelo Vázquez-Bermúdez with that of Carlos Oswaldo Salgado Espinoza.","2. The statement of qualifications of Mr. Salgado Espinoza is to be found in document A/66/90/Add.2."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 114 (b) of the provisional agenda*\",\n \"Elections to fill vacancies in subsidiary organs and other elections\",\n \"Election of the members of the International Law Commission\",\n \"Note by the Secretary-General\",\n \"Addendum\",\n \"1. In a note verbale dated 29 July 2011, the Permanent Mission of Ecuador to the United Nations informed the Secretary-General that, owing to exceptional circumstances, it has decided, in accordance with article 5 of the statute of the International Law Commission, to substitute its nomination of Marcelo Vázquez-Bermúdez with that of Carlos Oswaldo Salgado Espinoza.\",\n \"2. The statement of qualifications of Mr. Salgado Espinoza is to be found in document A/66/90/Add.2.\"\n]"},"record":{"kind":"string","value":"A_66_88_ADD.3"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 114 (b) of the provisional agenda*","Elections to fill vacancies in subsidiary organs and other elections","Election of members of the International Law Commission","Note by the Secretariat","Addendum","On 29 July 2011, the Permanent Mission of Ecuador to the United Nations informed the Secretary-General that, owing to exceptional circumstances, the Permanent Mission of Ecuador had decided to replace the nomination of Marclo Vázquez-Bermúdez in accordance with article 5 of the statute of the International Law Commission.","For a note on Mr. Carlos Oswaldo Salgado Espinoza, see document A/66/90/Add.2.","∗ A/63/250."],"string":"[\n \"Sixty-sixth session\",\n \"Item 114 (b) of the provisional agenda*\",\n \"Elections to fill vacancies in subsidiary organs and other elections\",\n \"Election of members of the International Law Commission\",\n \"Note by the Secretariat\",\n \"Addendum\",\n \"On 29 July 2011, the Permanent Mission of Ecuador to the United Nations informed the Secretary-General that, owing to exceptional circumstances, the Permanent Mission of Ecuador had decided to replace the nomination of Marclo Vázquez-Bermúdez in accordance with article 5 of the statute of the International Law Commission.\",\n \"For a note on Mr. Carlos Oswaldo Salgado Espinoza, see document A/66/90/Add.2.\",\n \"∗ A/63/250.\"\n]"}}},{"rowIdx":98,"cells":{"clean_zh":{"kind":"list like","value":["秘书长关于塞浦路斯问题谈判现状的评估报告","一. 导言","1. 本报告对我于2011年3月4日提出上一次报告(S/2011/112)之后的塞浦路斯问题谈判现状作出最新评估。","2. 这是我自2010年11月在纽约与希族塞人和土族塞人领导人会晤以来向安全理事会提交的第三次评估报告。在上次会晤中，希族塞人和土族塞人领导人承诺将加快谈判步伐，集中努力确定核心问题并就此达成共识。本报告亦是我最近于7月7日在日内瓦与双方领导人举行会晤后提交的。","3. 我对会谈开始偏离既定轨道、没有取得什么切实可见的进展感到关切。4月，我们决定推迟后续会晤，直至取得更多的进展。7月7日，我在日内瓦举行的会晤中再次对进展迟缓表示关切，并与双方领导人讨论了化解这一局面的办法。双方领导人同意加快谈判步伐，改善会谈方法，并推动尽快结束会谈。他们还同意10月份在纽约与我再次会晤，我希望届时他们能够就所有核心问题达成一致。","4. 这些会谈花费的时间超出了我们的期望。自2008年9月开始全面谈判以来，已经过去将近三年时间了。在此期间，双方领导人会晤不下100次，但仍有许多核心问题没有得到解决。我2010年11月会见了双方领导人，此后，双方开始集中关注核心问题并取得成效，就经济问题和欧盟相关内容达成一致。双方多次就谈判中的若干问题提出折中方案。近几个月来，他们还加大了会谈的频率。但不幸的是，成果十分有限，进展仍然过于缓慢。以目前的速度，可能很长一段时间都无法达成协议。谈判双方显然都知道建立塞浦路斯两区两族联邦的所有内涵，但迄今为止，同过去几十年一样，双方仍未找到全面的解决办法。","5. 显然，我们的会谈已经到了决定性时刻，必须全力保持这一进程的可行性，使之能够提出一个互惠互利的解决办法。我期望双方领导人尽快达成这样一项解决办法。","二. 背景情况","6. 本评估报告是在我与希族塞人和土族塞人领导人第四次会晤后撰写的。当我2010年1月访问塞浦路斯岛时，希族塞人领导人季米特里斯·赫里斯托菲亚斯和当时的土族塞人领导人麦赫麦特·阿里·塔拉特发表了一项联合声明，表示他们有信心在尽可能短时间内达成一项解决方案。在土族塞人领导层更迭和谈判中断几周后，我于2010年5月宣布，谈判将在同样基础上从双方中断点继续进行。赫里斯托菲亚斯先生和新上任的土族塞人领导人德尔维什·埃罗格卢当时也发表声明，承认解决问题的时间十分紧迫，并承诺继续谈判达成互惠解决办法。6个月后，也就是2010年11月，我在纽约与双方领导人会晤，并要求他们集中努力处理核心问题。随后又于2011年1月26日在日内瓦举行会晤，再次着重探讨如何实现就核心问题达成共识的目标，双方领导人还同意将加大谈判力度。在1月份的会晤后，我表示将在不久后召集下一次会议，审查最新进展。4月份，我与双方领导人通话，告诉他们我决定应在取得更多进展之后再举行会晤。我强调指出，必须加快谈判进程。5月份，我邀请双方领导人于7月在日内瓦会晤，以找出阻碍达成全面协定的困难，并商讨采用何种战略大大加快谈判进程。","7. 当我7月7日与赫里斯托菲亚斯先生和埃罗格卢先生在日内瓦举行会晤时，我向他们重申，我始终认为，如果抱有足够的政治意愿就能达成协议。我指出，双方的前任和我的前任花了几十年时间探索塞浦路斯岛实现统一的办法，双方都知道要在哪些方面作出妥协。","8. 如上次报告一样，我反复向双方领导人指出，联合国希望双方为推动谈判进程承担主要责任。由塞浦路斯人领导和自我掌控的进程得到了联合国的充分支持，但双方领导人必须采取必要的行动，以调和两族之间的分歧。","9. 为支持这一进程，我利用上次报告以来的这段时间，坚持把解决塞浦路斯问题置于联合国议程以及重点区域和国际领导人议程的重要位置。随着该区域其他一些紧迫问题显得更为紧迫，做到这一点尤显重要。我继续与多位国家元首和高级官员讨论了塞浦路斯问题，包括土耳其总统阿卜杜拉·居尔、大不列颠及北爱尔兰联合王国首相大卫·卡梅伦和副首相尼克·克莱格；以及欧洲联盟委员会主席若泽·曼努埃尔·巴罗佐。我的特别顾问继续与在这一进程中发挥关键作用的高级官员(特别是保证国希腊、土耳其和联合王国的高级官员)保持接触。","三. 进程现况","10. 在我提交上一次报告之后的5个月中，尽管双方领导人及其代表定期举行会晤，但会谈进展速度有所放缓。在此期间，双方领导人共举行了17次会晤，领导人的代表共举行28次会晤。双方继续努力提出折中方案，但实现妥协的办法并不总是富有成效，也不总是能够取得成果。双方花了大量时间澄清立场，而不是设法达成共识。","11. 3月底，双方开始讨论内部安全问题。讨论的重点是统一后的塞浦路斯在联邦一级和联邦单元即组成国一级的警察和执法安排。双方就这一问题的细节接近达成一致，但仍有几个重要的悬而未决问题有待解决。","12. 在财产问题上，我很高兴双方聘请了国际技术专家，我1月份曾在日内瓦与双方领导人会晤时提出利用他们的服务。这使得双方均得以探讨一系列技术问题，并进一步制订这一领域的各项提案。但是，有关财产问题的正式谈判一直没有恢复。在恢复原状的条件和交换模式等问题上仍然存在根本分歧。还应启动关于领土事项的谈判，因为这个问题迄今一直是探讨最少的谈判内容之一。双方同意，只有在多边会议前的谈判进程最后阶段才应讨论与该部分相关的地图和数字问题。关于领土事项的谈判可以在不妨碍这一事实的前提下启动。","13. 自我提出上一次报告以来，关于治理问题的讨论集中探讨了缔结国际条约的能力及其程序以及联邦一级外交事务决策程序等问题，就境外代表权原则达成了一致。重要的是，双方就对统一后对塞浦路斯具有约束力的国际条约达成协议。因此，国际条约问题小组委员会已恢复工作，举行了2次会议。","14. 我上次报告印发前就经济问题达成的重要协议仍然有效。在此期间，双方没有就欧洲联盟问题展开进一步的讨论。剩余的分歧主要是如何将解决塞浦路斯问题的协议纳入欧洲联盟法律，以确保法律上的可靠性。自我1月份与双方领导人会晤以来，公民身份问题一直没有得到实质性讨论。为回应希族塞人关于进行人口普查的呼吁，我提供了联合国在这一领域的知识专长。然而，普查进程只是一个相关事项。在实施普查进程的同时，双方必须解决一个核心问题：即应当将哪些人视为统一后的塞浦路斯公民。","15. 成立于2008年的技术委员会继续开会商讨旨在改善塞浦路斯人日常生活的建立信任措施的实施情况。2008年7月以来暂停活动的7个技术委员会中，已有3个委员会恢复工作。","16. 根据最新的民意调查，两族对于塞浦路斯统一的可能性正在失去信心，但他们谋求解决问题的愿望没有动摇。驻塞浦路斯的联合国各机构和方案正与当地合作伙伴密切合作，以支持和平进程。在“塞浦路斯2015”和“参与”项目等由联合国开发计划署支持的一组塞浦路斯非政府组织的合作下举办了各种活动，以推动就有关会谈的问题开展公开对话。历史对话和研究协会在缓冲区开设“合作之家”是一个具有里程碑意义的事件；该设施将为两族教育、对话和研究提供空间。在“经济相互依存”项目中，塞浦路斯工商会和土族塞人商会推出了第一份关于两族当前经济相互依存水平的联合报告。他们的研究结果证实，解决塞浦路斯问题在经济上对两族都有利。性别平等问题咨询小组除上次提出治理问题的报告外，又向双方领导人提出了财产和公民身份方面的性别平等问题。双方各有两个主要政党的青年团体向我发出一封联名信，要求我鼓励双方领导人尽快达成一项解决办法。我再次呼吁赫里斯托菲亚斯先生和埃罗格卢先生让民间社会参与旨在全面解决问题的工作，并考虑到这些努力以及民间社会为推动和平进程作出的其他重要努力。","17. 我曾在前几次报告中宣布对联合国在塞浦路斯的存在进行更广泛的评估，对评估工作可能涉及的范围和时间安排，仍在开展内部讨论。","四. 7月7日的会议","18. 7月7日，我在联合国日内瓦办事处会见了双方领导人。我表示对会谈缺乏进展感到失望。我指出，虽然自我们1月份会晤以来双方都在稳步开展工作，但双方都没有在谈判中触及重要领域——尽管以前曾商定集中解决核心问题。我指出，谈判的步伐过于缓慢。我强调双方领导人必须集中精力达成广泛协议，而不是拘泥于个别问题的微小细节，并表示谈判的方法需要改进。我要求双方领导人在谈判中搁置所有其他事项，集中设法解决困难的核心问题。","19. 尽管我作出冷静的评估，但会晤是在建设性和积极的气氛中举行的。双方都承认这些困难。双方检查了各自对所有谈判问题的立场，并在一系列领域提出了折中方案。这次会议有助于进一步解释(并在某些情况下澄清)双方在所有谈判问题上的立场。极为重要的是，本次会议为指明前进道路作出重大贡献，因而取得了成功，而非仅仅对这一进程进行“现状评估”。","20. 我与双方领导人一道，找出了迄今阻碍达成全面解决的某些障碍。我们一致认为，必须大大加速谈判步伐，着手开展密集谈判，着重处理核心问题。在这方面，双方领导人接受了我的建议，即每周进行两个整天的谈判。我们还商定，在不影响“该进程由塞浦路斯人掌控和塞浦路斯人领导”这一核心原则的前提下，应加大联合国的参与力度。","21. 双方领导人还接受了我提出的10月份在纽约再次会晤的邀请，届时我希望他们能够就所有核心议题达成一致。这将使得塞浦路斯谈判更接近于结束，也使我得以就此向安全理事会提交一份积极的报告。这还将为我与各方合作举行最后一次国际会议铺平道路。双方领导人明确表示，他们将争取尽快达成一项全面的解决方案。","22. 双方领导人还确认，为了重新唤起人民对解决该岛问题的希望和热情，必须着手加大对达成全面协定支持力度。其中一项关键任务是，促使两族各自做好准备，为解决问题和实现在统一的塞浦路斯境内共同生活的前景作出必要的妥协。","五. 意见","23. 我高兴地看到，双方领导人已同意加大谈判力度，改进谈判方法，并加倍努力就所有核心问题达成一致。这将提高达成协议的可能性。为加快步伐和取得显著成效，双方必须在一个更有活力的谈判中相互接触，果断进入下一阶段的谈判。这一新阶段需要有一种全面的办法，用以处理所有核心问题，并在各项目内和项目之间切实权衡利弊。","24. 一个重新焕发活力的谈判进程要完全扎根并获得成功，还必须具备其他条件。双方必须明确根据解决问题的商定要素开展工作，并且在这些要素的框架内努力实现共同目标。双方领导人必须停止“指责游戏”，每一方都要着重考虑还可以做些什么，为解决问题铺平道路。正如我多次重申、最近安全理事会第1986(2011)号决议有阐明的那样，双方应避免对这一进程横加指责或彼此恶言相向，而应努力加大对解决塞浦路斯问题协议的支持力度。最后，双方迫切需要停止泄露谈判立场和其他敏感信息，以此保障会谈的完整性和保密性。","六. 结论","25. 解决塞浦路斯问题的关键，是双方抱有政治意愿并下定决心，共同努力实现同样的明确共同目标，最终实现塞浦路斯的统一。为实现塞浦路斯的统一，必须根据安全理事会相关决议的规定，建立一个由两个平等部分组成的、拥有单一主权和单一国际人格的两区两族联邦。","26. 令我高兴的是，双方在日内瓦作出了明确承诺，双方领导人也承诺通过我们10月份的下一次会晤努力就所有核心问题达成一致。我希望，我可以随后向安全理事会报告他们取得的成就，届时如果取得必要的进展，我们就可以开始讨论是否召开一次多边会议，以敲定该协定的各方面国际内容。","27. 截至2011年10月，目前的谈判已经进行三年了。大家都知道，解决问题的时间十分紧迫，历次塞浦路斯民意调查结果都非常明确地证实了这一点。应在尽可能短的时间内向希族塞人和土族塞人提出一份可行和互惠的解决提案。双方领导人必须充分把握机会。"],"string":"[\n \"秘书长关于塞浦路斯问题谈判现状的评估报告\",\n \"一. 导言\",\n \"1. 本报告对我于2011年3月4日提出上一次报告(S/2011/112)之后的塞浦路斯问题谈判现状作出最新评估。\",\n \"2. 这是我自2010年11月在纽约与希族塞人和土族塞人领导人会晤以来向安全理事会提交的第三次评估报告。在上次会晤中，希族塞人和土族塞人领导人承诺将加快谈判步伐，集中努力确定核心问题并就此达成共识。本报告亦是我最近于7月7日在日内瓦与双方领导人举行会晤后提交的。\",\n \"3. 我对会谈开始偏离既定轨道、没有取得什么切实可见的进展感到关切。4月，我们决定推迟后续会晤，直至取得更多的进展。7月7日，我在日内瓦举行的会晤中再次对进展迟缓表示关切，并与双方领导人讨论了化解这一局面的办法。双方领导人同意加快谈判步伐，改善会谈方法，并推动尽快结束会谈。他们还同意10月份在纽约与我再次会晤，我希望届时他们能够就所有核心问题达成一致。\",\n \"4. 这些会谈花费的时间超出了我们的期望。自2008年9月开始全面谈判以来，已经过去将近三年时间了。在此期间，双方领导人会晤不下100次，但仍有许多核心问题没有得到解决。我2010年11月会见了双方领导人，此后，双方开始集中关注核心问题并取得成效，就经济问题和欧盟相关内容达成一致。双方多次就谈判中的若干问题提出折中方案。近几个月来，他们还加大了会谈的频率。但不幸的是，成果十分有限，进展仍然过于缓慢。以目前的速度，可能很长一段时间都无法达成协议。谈判双方显然都知道建立塞浦路斯两区两族联邦的所有内涵，但迄今为止，同过去几十年一样，双方仍未找到全面的解决办法。\",\n \"5. 显然，我们的会谈已经到了决定性时刻，必须全力保持这一进程的可行性，使之能够提出一个互惠互利的解决办法。我期望双方领导人尽快达成这样一项解决办法。\",\n \"二. 背景情况\",\n \"6. 本评估报告是在我与希族塞人和土族塞人领导人第四次会晤后撰写的。当我2010年1月访问塞浦路斯岛时，希族塞人领导人季米特里斯·赫里斯托菲亚斯和当时的土族塞人领导人麦赫麦特·阿里·塔拉特发表了一项联合声明，表示他们有信心在尽可能短时间内达成一项解决方案。在土族塞人领导层更迭和谈判中断几周后，我于2010年5月宣布，谈判将在同样基础上从双方中断点继续进行。赫里斯托菲亚斯先生和新上任的土族塞人领导人德尔维什·埃罗格卢当时也发表声明，承认解决问题的时间十分紧迫，并承诺继续谈判达成互惠解决办法。6个月后，也就是2010年11月，我在纽约与双方领导人会晤，并要求他们集中努力处理核心问题。随后又于2011年1月26日在日内瓦举行会晤，再次着重探讨如何实现就核心问题达成共识的目标，双方领导人还同意将加大谈判力度。在1月份的会晤后，我表示将在不久后召集下一次会议，审查最新进展。4月份，我与双方领导人通话，告诉他们我决定应在取得更多进展之后再举行会晤。我强调指出，必须加快谈判进程。5月份，我邀请双方领导人于7月在日内瓦会晤，以找出阻碍达成全面协定的困难，并商讨采用何种战略大大加快谈判进程。\",\n \"7. 当我7月7日与赫里斯托菲亚斯先生和埃罗格卢先生在日内瓦举行会晤时，我向他们重申，我始终认为，如果抱有足够的政治意愿就能达成协议。我指出，双方的前任和我的前任花了几十年时间探索塞浦路斯岛实现统一的办法，双方都知道要在哪些方面作出妥协。\",\n \"8. 如上次报告一样，我反复向双方领导人指出，联合国希望双方为推动谈判进程承担主要责任。由塞浦路斯人领导和自我掌控的进程得到了联合国的充分支持，但双方领导人必须采取必要的行动，以调和两族之间的分歧。\",\n \"9. 为支持这一进程，我利用上次报告以来的这段时间，坚持把解决塞浦路斯问题置于联合国议程以及重点区域和国际领导人议程的重要位置。随着该区域其他一些紧迫问题显得更为紧迫，做到这一点尤显重要。我继续与多位国家元首和高级官员讨论了塞浦路斯问题，包括土耳其总统阿卜杜拉·居尔、大不列颠及北爱尔兰联合王国首相大卫·卡梅伦和副首相尼克·克莱格；以及欧洲联盟委员会主席若泽·曼努埃尔·巴罗佐。我的特别顾问继续与在这一进程中发挥关键作用的高级官员(特别是保证国希腊、土耳其和联合王国的高级官员)保持接触。\",\n \"三. 进程现况\",\n \"10. 在我提交上一次报告之后的5个月中，尽管双方领导人及其代表定期举行会晤，但会谈进展速度有所放缓。在此期间，双方领导人共举行了17次会晤，领导人的代表共举行28次会晤。双方继续努力提出折中方案，但实现妥协的办法并不总是富有成效，也不总是能够取得成果。双方花了大量时间澄清立场，而不是设法达成共识。\",\n \"11. 3月底，双方开始讨论内部安全问题。讨论的重点是统一后的塞浦路斯在联邦一级和联邦单元即组成国一级的警察和执法安排。双方就这一问题的细节接近达成一致，但仍有几个重要的悬而未决问题有待解决。\",\n \"12. 在财产问题上，我很高兴双方聘请了国际技术专家，我1月份曾在日内瓦与双方领导人会晤时提出利用他们的服务。这使得双方均得以探讨一系列技术问题，并进一步制订这一领域的各项提案。但是，有关财产问题的正式谈判一直没有恢复。在恢复原状的条件和交换模式等问题上仍然存在根本分歧。还应启动关于领土事项的谈判，因为这个问题迄今一直是探讨最少的谈判内容之一。双方同意，只有在多边会议前的谈判进程最后阶段才应讨论与该部分相关的地图和数字问题。关于领土事项的谈判可以在不妨碍这一事实的前提下启动。\",\n \"13. 自我提出上一次报告以来，关于治理问题的讨论集中探讨了缔结国际条约的能力及其程序以及联邦一级外交事务决策程序等问题，就境外代表权原则达成了一致。重要的是，双方就对统一后对塞浦路斯具有约束力的国际条约达成协议。因此，国际条约问题小组委员会已恢复工作，举行了2次会议。\",\n \"14. 我上次报告印发前就经济问题达成的重要协议仍然有效。在此期间，双方没有就欧洲联盟问题展开进一步的讨论。剩余的分歧主要是如何将解决塞浦路斯问题的协议纳入欧洲联盟法律，以确保法律上的可靠性。自我1月份与双方领导人会晤以来，公民身份问题一直没有得到实质性讨论。为回应希族塞人关于进行人口普查的呼吁，我提供了联合国在这一领域的知识专长。然而，普查进程只是一个相关事项。在实施普查进程的同时，双方必须解决一个核心问题：即应当将哪些人视为统一后的塞浦路斯公民。\",\n \"15. 成立于2008年的技术委员会继续开会商讨旨在改善塞浦路斯人日常生活的建立信任措施的实施情况。2008年7月以来暂停活动的7个技术委员会中，已有3个委员会恢复工作。\",\n \"16. 根据最新的民意调查，两族对于塞浦路斯统一的可能性正在失去信心，但他们谋求解决问题的愿望没有动摇。驻塞浦路斯的联合国各机构和方案正与当地合作伙伴密切合作，以支持和平进程。在“塞浦路斯2015”和“参与”项目等由联合国开发计划署支持的一组塞浦路斯非政府组织的合作下举办了各种活动，以推动就有关会谈的问题开展公开对话。历史对话和研究协会在缓冲区开设“合作之家”是一个具有里程碑意义的事件；该设施将为两族教育、对话和研究提供空间。在“经济相互依存”项目中，塞浦路斯工商会和土族塞人商会推出了第一份关于两族当前经济相互依存水平的联合报告。他们的研究结果证实，解决塞浦路斯问题在经济上对两族都有利。性别平等问题咨询小组除上次提出治理问题的报告外，又向双方领导人提出了财产和公民身份方面的性别平等问题。双方各有两个主要政党的青年团体向我发出一封联名信，要求我鼓励双方领导人尽快达成一项解决办法。我再次呼吁赫里斯托菲亚斯先生和埃罗格卢先生让民间社会参与旨在全面解决问题的工作，并考虑到这些努力以及民间社会为推动和平进程作出的其他重要努力。\",\n \"17. 我曾在前几次报告中宣布对联合国在塞浦路斯的存在进行更广泛的评估，对评估工作可能涉及的范围和时间安排，仍在开展内部讨论。\",\n \"四. 7月7日的会议\",\n \"18. 7月7日，我在联合国日内瓦办事处会见了双方领导人。我表示对会谈缺乏进展感到失望。我指出，虽然自我们1月份会晤以来双方都在稳步开展工作，但双方都没有在谈判中触及重要领域——尽管以前曾商定集中解决核心问题。我指出，谈判的步伐过于缓慢。我强调双方领导人必须集中精力达成广泛协议，而不是拘泥于个别问题的微小细节，并表示谈判的方法需要改进。我要求双方领导人在谈判中搁置所有其他事项，集中设法解决困难的核心问题。\",\n \"19. 尽管我作出冷静的评估，但会晤是在建设性和积极的气氛中举行的。双方都承认这些困难。双方检查了各自对所有谈判问题的立场，并在一系列领域提出了折中方案。这次会议有助于进一步解释(并在某些情况下澄清)双方在所有谈判问题上的立场。极为重要的是，本次会议为指明前进道路作出重大贡献，因而取得了成功，而非仅仅对这一进程进行“现状评估”。\",\n \"20. 我与双方领导人一道，找出了迄今阻碍达成全面解决的某些障碍。我们一致认为，必须大大加速谈判步伐，着手开展密集谈判，着重处理核心问题。在这方面，双方领导人接受了我的建议，即每周进行两个整天的谈判。我们还商定，在不影响“该进程由塞浦路斯人掌控和塞浦路斯人领导”这一核心原则的前提下，应加大联合国的参与力度。\",\n \"21. 双方领导人还接受了我提出的10月份在纽约再次会晤的邀请，届时我希望他们能够就所有核心议题达成一致。这将使得塞浦路斯谈判更接近于结束，也使我得以就此向安全理事会提交一份积极的报告。这还将为我与各方合作举行最后一次国际会议铺平道路。双方领导人明确表示，他们将争取尽快达成一项全面的解决方案。\",\n \"22. 双方领导人还确认，为了重新唤起人民对解决该岛问题的希望和热情，必须着手加大对达成全面协定支持力度。其中一项关键任务是，促使两族各自做好准备，为解决问题和实现在统一的塞浦路斯境内共同生活的前景作出必要的妥协。\",\n \"五. 意见\",\n \"23. 我高兴地看到，双方领导人已同意加大谈判力度，改进谈判方法，并加倍努力就所有核心问题达成一致。这将提高达成协议的可能性。为加快步伐和取得显著成效，双方必须在一个更有活力的谈判中相互接触，果断进入下一阶段的谈判。这一新阶段需要有一种全面的办法，用以处理所有核心问题，并在各项目内和项目之间切实权衡利弊。\",\n \"24. 一个重新焕发活力的谈判进程要完全扎根并获得成功，还必须具备其他条件。双方必须明确根据解决问题的商定要素开展工作，并且在这些要素的框架内努力实现共同目标。双方领导人必须停止“指责游戏”，每一方都要着重考虑还可以做些什么，为解决问题铺平道路。正如我多次重申、最近安全理事会第1986(2011)号决议有阐明的那样，双方应避免对这一进程横加指责或彼此恶言相向，而应努力加大对解决塞浦路斯问题协议的支持力度。最后，双方迫切需要停止泄露谈判立场和其他敏感信息，以此保障会谈的完整性和保密性。\",\n \"六. 结论\",\n \"25. 解决塞浦路斯问题的关键，是双方抱有政治意愿并下定决心，共同努力实现同样的明确共同目标，最终实现塞浦路斯的统一。为实现塞浦路斯的统一，必须根据安全理事会相关决议的规定，建立一个由两个平等部分组成的、拥有单一主权和单一国际人格的两区两族联邦。\",\n \"26. 令我高兴的是，双方在日内瓦作出了明确承诺，双方领导人也承诺通过我们10月份的下一次会晤努力就所有核心问题达成一致。我希望，我可以随后向安全理事会报告他们取得的成就，届时如果取得必要的进展，我们就可以开始讨论是否召开一次多边会议，以敲定该协定的各方面国际内容。\",\n \"27. 截至2011年10月，目前的谈判已经进行三年了。大家都知道，解决问题的时间十分紧迫，历次塞浦路斯民意调查结果都非常明确地证实了这一点。应在尽可能短的时间内向希族塞人和土族塞人提出一份可行和互惠的解决提案。双方领导人必须充分把握机会。\"\n]"},"clean_en":{"kind":"list like","value":["Assessment report of the Secretary-General on the status of the negotiations in Cyprus","I. Introduction","1. This report provides an updated assessment of the state of the negotiations in Cyprus since my last report of 4 March 2011 (S/2011/112).","2. This is my third assessment report to the Security Council since I met with the leaders of the Greek Cypriot community and the Turkish Cypriot community in New York in November 2010, when they committed themselves to increase the tempo of negotiations and to focus their efforts on identifying and reaching convergence on the core issues. This report also comes after my latest meeting with the two leaders in Geneva on 7 July.","3. I have been concerned that the talks were beginning to drift and that little tangible progress was being made. In April, it was decided to postpone our follow‑up meeting until more progress could be achieved. At the meeting on 7 July in Geneva, I reiterated my concern that progress was sluggish and discussed with the two leaders ways in which the situation could be addressed. The leaders agreed to intensify the pace of negotiations, improve the methodology of the talks, and push for a conclusion as soon as possible. They also agreed to meet me again in October in New York, by which time I expect that they will be able to report convergence on all core issues.","4. These talks are taking longer than we had hoped. Almost three years have elapsed since the start of the full-fledged negotiations in September 2008. Since then, the leaders have met well over 100 times and, still, many of the core issues remain unresolved. After I met with the leaders in November 2010, the sides initially gave focused and productive attention to the core issues, which resulted in convergences on the economy and European Union-related chapters. Both sides have presented bridging proposals on various occasions on a number of issues under negotiation. They have also increased the frequency of their meetings in recent months, but unfortunately with limited results. Progress continues to be far too slow. At the current pace, it is not likely that an agreement can be reached for quite some time. It is clear that all the elements of a bi-zonal, bi-communal federation in Cyprus are known to the sides in this negotiation, yet a comprehensive solution has so far eluded the parties, as it has for decades.","5. We have clearly reached a defining moment in the talks, when all efforts must be employed to keep the process viable and capable of delivering a mutually beneficial solution. I expect the two leaders to reach such a solution as soon as possible.","II. Background","6. This assessment report follows my fourth meeting with the Greek Cypriot and Turkish Cypriot leaders. When I visited the island in January 2010, Dimitris Christofias, the Greek Cypriot leader, and the then Turkish Cypriot leader, Mehmet Ali Talat, issued a joint statement expressing confidence that they could achieve a solution in the shortest possible time. Following the change of leadership on the Turkish Cypriot side and a several-week hiatus in negotiations, I was able to announce in May 2010 that the talks would continue on the same basis and from where they had left off. Mr. Christofias and the new Turkish Cypriot leader, Dervis Eroglu, also made statements at that juncture, recognizing that time was not on the side of a settlement and committing themselves to the process of negotiating a mutually beneficial settlement. Six months later, in November 2010, I met with the two leaders in New York and asked them to concentrate their efforts on the core issues. Our next meeting was held on 26 January 2011 in Geneva, where we again focused on the goal of reaching convergence on the core issues, and the leaders agreed to intensify the negotiations. After the January meeting, I indicated that I would call another meeting soon to review developments. In April, I spoke with both the leaders and informed them of my decision that more progress should be made before we met again. I stressed the need to accelerate the process. In May, I invited the leaders to meet with me in Geneva in July to identify the difficulties standing in the way of reaching a comprehensive agreement and to discuss strategies for significantly picking up the pace of the negotiations.","7. When I met Mr. Christofias and Mr. Eroglu in Geneva on 7 July, I reiterated to them my continuing belief that, with enough political will, a deal should be possible. I pointed out that several decades had been spent by their predecessors and mine exploring ways of uniting the island, and that both sides knew where the compromises needed to be made.","8. I have repeatedly pointed out to the leaders, as I did in my last report, that the United Nations expects the two sides to assume primary responsibility for driving the process forward. The Cypriot-led and Cypriot-owned process has the full support of the United Nations, but it is the two leaders who must take the necessary actions to reconcile the differences between their two communities.","9. In support of the process, I have used the period since my last report to keep the solution of the Cyprus question high on the agenda of the United Nations, as well as on the agenda of key regional and international leaders. This has become particularly important as a number of other pressing issues in the region have taken on greater immediacy. I continued to discuss the Cyprus question with various Heads of State and senior officials, including the President of Turkey, Abdullah Gül; the Prime Minister of the United Kingdom of Great Britain and Northern Ireland, David Cameron, and the Deputy Prime Minister, Nick Clegg; as well as the President of the European Commission, José Manuel Barroso. My Special Adviser continued to engage with senior officials who are pivotal to the process, particularly those of the three guarantor Powers, namely Greece, Turkey and the United Kingdom.","III. Status of the process","10. In the five months since my last report, the rate of progress in the talks has slowed, despite the regularity of the meetings between the leaders and their representatives. The leaders met 17 times and their representatives met 28 times during this period. Both sides continue to make efforts at putting forward bridging proposals, but the approach to achieving compromise has not always been productive or yielded results. A considerable amount of time has been spent in clarifying positions instead of moving towards convergences.","11. Late in March, the sides began discussing the internal aspects of security. The discussions focused on policing and law enforcement arrangements in a united Cyprus at both the federal level and that of the federated units or constituent States. The sides have come close to agreement on the details of this issue, although several important outstanding aspects remain to be resolved.","12. On property, I am pleased that both sides made use of the international technical experts whose services I offered when I met with the leaders in Geneva in January. This has enabled each side to explore a range of technical issues and to further develop proposals in this area. However, the return to formal negotiations on property is long overdue. There remains fundamental disagreement on the issue of conditions for restitution and the mode for exchange. Negotiations on the matter of territory should also be initiated as it remains one of the chapters least explored to date. This can be done without prejudice to the fact that both sides have agreed that the issue of maps and figures related to this chapter should be discussed only during the last phase of the process prior to a multilateral meeting.","13. Since my last report, the discussions on governance have focused on the capacity to conclude international treaties and the procedure for doing so, and the federal-level decision-making procedure with regard to foreign affairs, and have led to convergence on the principle of representation abroad. Importantly, the sides reached agreement on international treaties binding on the united Cyprus. As a result, the Subcommittee on International Treaties has resumed its work and has met twice.","14. The important agreements on the economy that were reached before the issuance of my last report remain in place. Nothing further was discussed in relation to the European Union in this period. The primary remaining divergence concerns how the settlement agreement will be incorporated into European Union law in order to ensure its legal certainty. The issue of citizenship has not been discussed substantively since I met with the leaders in January. In response to the Greek Cypriot call for a demographic census, I made available the expertise of the United Nations in this area. The census process is only a related matter, however. While the census process is being carried out, the sides must resolve the core issue of who should be considered citizens of the united Cyprus.","15. The technical committees, established in 2008, continued to meet on the implementation of confidence-building measures intended to improve the daily lives of Cypriots. Three of the seven technical committees, which were dormant since July 2008, have now resumed their work.","16. According to the latest polls, while both communities are losing confidence in the possibility of a united Cyprus, their desire for a solution has not faltered. United Nations agencies and programmes in Cyprus are working closely with local partners in support of the peace process. With the collaboration of Cyprus 2015 and ENGAGE, a group of Cypriot non-governmental organizations supported by the United Nations Development Programme, various events were organized to facilitate public dialogue on issues related to the talks. The opening in the buffer zone of the “Home for Cooperation” by the Association for Historical Dialogue and Research was a landmark event; the facility will provide a space for inter-communal education, dialogue and research. Under the Economic Interdependence project, the Cyprus Chamber of Commerce and Industry and the Turkish Cypriot Chamber of Commerce launched the first joint report on current levels of economic interdependence between the two communities. Their findings confirmed that a settlement would be economically beneficial to both communities. The Gender Advisory Team provided the leaders with recommendations on gender issues relating to property and citizenship, in addition to a previous submission on governance. The youth groups of the two leading political parties on either side sent me a joint letter, asking me to encourage the leaders to reach a solution now. I reiterate my call to Mr. Christofias and Mr. Eroglu to engage civil society in the task of reaching a comprehensive settlement and to take into account these and other important civil society efforts to contribute to the peace process.","17. Regarding the broader assessment of the United Nations presence in Cyprus, which I have announced in previous reports, internal discussions continue as to the potential scope and timing of such an exercise.","IV. Meeting of 7 July","18. On 7 July, I met with both leaders at the United Nations Office at Geneva. I explained that I was disappointed in the lack of progress. I noted that although both sides had worked steadily since our meeting in January, they had not touched important areas in the negotiations despite the prior agreement to concentrate on resolving core issues. I pointed out that the pace of the negotiations had become far too slow. I stressed the importance of the two leaders focusing their energies on reaching broad agreements rather than dwelling on individual problems in minute detail, and said that the methodology of the negotiations needed to be improved. I asked the leaders to put aside all other matters in the negotiations and to concentrate on finding a way through the difficult core issues.","19. Despite my sobering assessment, the meeting was held in a constructive and positive atmosphere. Both sides acknowledged the difficulties. They both canvassed their positions across all chapters in the negotiations and put forward bridging proposals in a range of areas. This exercise helped to further explain, and in some cases clarify, the positions of the sides across the various negotiating chapters. Most importantly, the meeting contributed significantly to tracing a way forward, and thus succeeded in becoming more than a “stock-taking exercise” of the process.","20. With the two leaders, I was able to identify some of the stumbling blocks that have stood in the way of reaching a comprehensive settlement thus far. We agreed on the need to significantly accelerate the pace of the talks and move into intensive negotiations and to focus on the core issues. In that regard, the leaders accepted my recommendation to engage in negotiations for two full days each week. We also agreed that, without prejudice to the central principle of a Cypriot-owned and Cypriot-led process, there would be enhanced United Nations involvement.","21. The leaders also accepted my invitation to meet again in October in New York, by which time I expect they will be able to report convergence on all core issues. This would take the Cyprus negotiations closer to their conclusion and would allow me to give a positive report to the Security Council on the matter. It would also pave the way for me to work with the parties towards convening a final, international conference. Both leaders made it clear that they will strive to reach a comprehensive solution as soon as possible.","22. The leaders also acknowledged the need to begin building support for a comprehensive agreement in order to renew hope and enthusiasm for a solution across the island. This includes the critical task of preparing their respective communities for the compromises required for a settlement and the prospect of living together in a united Cyprus.","V. Observations","23. I am pleased that the two leaders have agreed to intensify the negotiations, improve the methodology of the talks and redouble their efforts to reach convergence on all core issues. This will increase the prospects of reaching an agreement. In order to increase the tempo and achieve significant results, the sides must engage in a more dynamic negotiating process and enter unequivocally into the next phase of the negotiations. This new phase would entail a comprehensive approach on all core issues and substantive trade-offs within and across chapters.","24. In order for a reinvigorated process to fully take root and be successful, other elements must also be present. The sides must work clearly within the agreed parameters of a solution, and work to reach a common, shared objective within those parameters. The leaders must desist from playing the “blame game” and each focus on what more they can do to pave the way for a solution. As I have reiterated on various occasions, and as the Security Council recently stated in its resolution 1986 (2011), the sides should refrain from negative rhetoric about the process and about each other and work to build support for a settlement deal. Finally, the sides urgently need to safeguard the integrity and confidentiality of the talks by stopping leaks on positions and other sensitive information.","VI. Conclusions","25. The key to solving the Cyprus issue is the two sides working with political will and determination towards the same clear and common objectives, with a united Cyprus as the end result. To reunite Cyprus, there must be a bi-zonal, bi-communal federation with two equal constituent parts, with a single sovereignty and single international personality, as laid out in relevant Security Council resolutions.","26. I was pleased with the demonstrated commitment of both sides in Geneva and that the leaders committed themselves to the endeavour of reaching convergence on all core issues by our next meeting in October. It is my hope that I can subsequently report their achievements to the Security Council and that, provided the necessary progress has been made by that time, we could then begin discussing the convening of a multilateral conference to conclude the international aspects of the agreement.","27. By October 2011, the current negotiations will have been going on for more than three years. It is well understood that time is definitely not on the side of a solution, and successive polling on citizens’ views in Cyprus has confirmed this all too clearly. The Greek Cypriot and Turkish Cypriot communities deserve to be presented with a viable, mutually beneficial settlement proposal in the shortest time possible. The leaders must rise to the occasion."],"string":"[\n \"Assessment report of the Secretary-General on the status of the negotiations in Cyprus\",\n \"I. Introduction\",\n \"1. This report provides an updated assessment of the state of the negotiations in Cyprus since my last report of 4 March 2011 (S/2011/112).\",\n \"2. This is my third assessment report to the Security Council since I met with the leaders of the Greek Cypriot community and the Turkish Cypriot community in New York in November 2010, when they committed themselves to increase the tempo of negotiations and to focus their efforts on identifying and reaching convergence on the core issues. This report also comes after my latest meeting with the two leaders in Geneva on 7 July.\",\n \"3. I have been concerned that the talks were beginning to drift and that little tangible progress was being made. In April, it was decided to postpone our follow‑up meeting until more progress could be achieved. At the meeting on 7 July in Geneva, I reiterated my concern that progress was sluggish and discussed with the two leaders ways in which the situation could be addressed. The leaders agreed to intensify the pace of negotiations, improve the methodology of the talks, and push for a conclusion as soon as possible. They also agreed to meet me again in October in New York, by which time I expect that they will be able to report convergence on all core issues.\",\n \"4. These talks are taking longer than we had hoped. Almost three years have elapsed since the start of the full-fledged negotiations in September 2008. Since then, the leaders have met well over 100 times and, still, many of the core issues remain unresolved. After I met with the leaders in November 2010, the sides initially gave focused and productive attention to the core issues, which resulted in convergences on the economy and European Union-related chapters. Both sides have presented bridging proposals on various occasions on a number of issues under negotiation. They have also increased the frequency of their meetings in recent months, but unfortunately with limited results. Progress continues to be far too slow. At the current pace, it is not likely that an agreement can be reached for quite some time. It is clear that all the elements of a bi-zonal, bi-communal federation in Cyprus are known to the sides in this negotiation, yet a comprehensive solution has so far eluded the parties, as it has for decades.\",\n \"5. We have clearly reached a defining moment in the talks, when all efforts must be employed to keep the process viable and capable of delivering a mutually beneficial solution. I expect the two leaders to reach such a solution as soon as possible.\",\n \"II. Background\",\n \"6. This assessment report follows my fourth meeting with the Greek Cypriot and Turkish Cypriot leaders. When I visited the island in January 2010, Dimitris Christofias, the Greek Cypriot leader, and the then Turkish Cypriot leader, Mehmet Ali Talat, issued a joint statement expressing confidence that they could achieve a solution in the shortest possible time. Following the change of leadership on the Turkish Cypriot side and a several-week hiatus in negotiations, I was able to announce in May 2010 that the talks would continue on the same basis and from where they had left off. Mr. Christofias and the new Turkish Cypriot leader, Dervis Eroglu, also made statements at that juncture, recognizing that time was not on the side of a settlement and committing themselves to the process of negotiating a mutually beneficial settlement. Six months later, in November 2010, I met with the two leaders in New York and asked them to concentrate their efforts on the core issues. Our next meeting was held on 26 January 2011 in Geneva, where we again focused on the goal of reaching convergence on the core issues, and the leaders agreed to intensify the negotiations. After the January meeting, I indicated that I would call another meeting soon to review developments. In April, I spoke with both the leaders and informed them of my decision that more progress should be made before we met again. I stressed the need to accelerate the process. In May, I invited the leaders to meet with me in Geneva in July to identify the difficulties standing in the way of reaching a comprehensive agreement and to discuss strategies for significantly picking up the pace of the negotiations.\",\n \"7. When I met Mr. Christofias and Mr. Eroglu in Geneva on 7 July, I reiterated to them my continuing belief that, with enough political will, a deal should be possible. I pointed out that several decades had been spent by their predecessors and mine exploring ways of uniting the island, and that both sides knew where the compromises needed to be made.\",\n \"8. I have repeatedly pointed out to the leaders, as I did in my last report, that the United Nations expects the two sides to assume primary responsibility for driving the process forward. The Cypriot-led and Cypriot-owned process has the full support of the United Nations, but it is the two leaders who must take the necessary actions to reconcile the differences between their two communities.\",\n \"9. In support of the process, I have used the period since my last report to keep the solution of the Cyprus question high on the agenda of the United Nations, as well as on the agenda of key regional and international leaders. This has become particularly important as a number of other pressing issues in the region have taken on greater immediacy. I continued to discuss the Cyprus question with various Heads of State and senior officials, including the President of Turkey, Abdullah Gül; the Prime Minister of the United Kingdom of Great Britain and Northern Ireland, David Cameron, and the Deputy Prime Minister, Nick Clegg; as well as the President of the European Commission, José Manuel Barroso. My Special Adviser continued to engage with senior officials who are pivotal to the process, particularly those of the three guarantor Powers, namely Greece, Turkey and the United Kingdom.\",\n \"III. Status of the process\",\n \"10. In the five months since my last report, the rate of progress in the talks has slowed, despite the regularity of the meetings between the leaders and their representatives. The leaders met 17 times and their representatives met 28 times during this period. Both sides continue to make efforts at putting forward bridging proposals, but the approach to achieving compromise has not always been productive or yielded results. A considerable amount of time has been spent in clarifying positions instead of moving towards convergences.\",\n \"11. Late in March, the sides began discussing the internal aspects of security. The discussions focused on policing and law enforcement arrangements in a united Cyprus at both the federal level and that of the federated units or constituent States. The sides have come close to agreement on the details of this issue, although several important outstanding aspects remain to be resolved.\",\n \"12. On property, I am pleased that both sides made use of the international technical experts whose services I offered when I met with the leaders in Geneva in January. This has enabled each side to explore a range of technical issues and to further develop proposals in this area. However, the return to formal negotiations on property is long overdue. There remains fundamental disagreement on the issue of conditions for restitution and the mode for exchange. Negotiations on the matter of territory should also be initiated as it remains one of the chapters least explored to date. This can be done without prejudice to the fact that both sides have agreed that the issue of maps and figures related to this chapter should be discussed only during the last phase of the process prior to a multilateral meeting.\",\n \"13. Since my last report, the discussions on governance have focused on the capacity to conclude international treaties and the procedure for doing so, and the federal-level decision-making procedure with regard to foreign affairs, and have led to convergence on the principle of representation abroad. Importantly, the sides reached agreement on international treaties binding on the united Cyprus. As a result, the Subcommittee on International Treaties has resumed its work and has met twice.\",\n \"14. The important agreements on the economy that were reached before the issuance of my last report remain in place. Nothing further was discussed in relation to the European Union in this period. The primary remaining divergence concerns how the settlement agreement will be incorporated into European Union law in order to ensure its legal certainty. The issue of citizenship has not been discussed substantively since I met with the leaders in January. In response to the Greek Cypriot call for a demographic census, I made available the expertise of the United Nations in this area. The census process is only a related matter, however. While the census process is being carried out, the sides must resolve the core issue of who should be considered citizens of the united Cyprus.\",\n \"15. The technical committees, established in 2008, continued to meet on the implementation of confidence-building measures intended to improve the daily lives of Cypriots. Three of the seven technical committees, which were dormant since July 2008, have now resumed their work.\",\n \"16. According to the latest polls, while both communities are losing confidence in the possibility of a united Cyprus, their desire for a solution has not faltered. United Nations agencies and programmes in Cyprus are working closely with local partners in support of the peace process. With the collaboration of Cyprus 2015 and ENGAGE, a group of Cypriot non-governmental organizations supported by the United Nations Development Programme, various events were organized to facilitate public dialogue on issues related to the talks. The opening in the buffer zone of the “Home for Cooperation” by the Association for Historical Dialogue and Research was a landmark event; the facility will provide a space for inter-communal education, dialogue and research. Under the Economic Interdependence project, the Cyprus Chamber of Commerce and Industry and the Turkish Cypriot Chamber of Commerce launched the first joint report on current levels of economic interdependence between the two communities. Their findings confirmed that a settlement would be economically beneficial to both communities. The Gender Advisory Team provided the leaders with recommendations on gender issues relating to property and citizenship, in addition to a previous submission on governance. The youth groups of the two leading political parties on either side sent me a joint letter, asking me to encourage the leaders to reach a solution now. I reiterate my call to Mr. Christofias and Mr. Eroglu to engage civil society in the task of reaching a comprehensive settlement and to take into account these and other important civil society efforts to contribute to the peace process.\",\n \"17. Regarding the broader assessment of the United Nations presence in Cyprus, which I have announced in previous reports, internal discussions continue as to the potential scope and timing of such an exercise.\",\n \"IV. Meeting of 7 July\",\n \"18. On 7 July, I met with both leaders at the United Nations Office at Geneva. I explained that I was disappointed in the lack of progress. I noted that although both sides had worked steadily since our meeting in January, they had not touched important areas in the negotiations despite the prior agreement to concentrate on resolving core issues. I pointed out that the pace of the negotiations had become far too slow. I stressed the importance of the two leaders focusing their energies on reaching broad agreements rather than dwelling on individual problems in minute detail, and said that the methodology of the negotiations needed to be improved. I asked the leaders to put aside all other matters in the negotiations and to concentrate on finding a way through the difficult core issues.\",\n \"19. Despite my sobering assessment, the meeting was held in a constructive and positive atmosphere. Both sides acknowledged the difficulties. They both canvassed their positions across all chapters in the negotiations and put forward bridging proposals in a range of areas. This exercise helped to further explain, and in some cases clarify, the positions of the sides across the various negotiating chapters. Most importantly, the meeting contributed significantly to tracing a way forward, and thus succeeded in becoming more than a “stock-taking exercise” of the process.\",\n \"20. With the two leaders, I was able to identify some of the stumbling blocks that have stood in the way of reaching a comprehensive settlement thus far. We agreed on the need to significantly accelerate the pace of the talks and move into intensive negotiations and to focus on the core issues. In that regard, the leaders accepted my recommendation to engage in negotiations for two full days each week. We also agreed that, without prejudice to the central principle of a Cypriot-owned and Cypriot-led process, there would be enhanced United Nations involvement.\",\n \"21. The leaders also accepted my invitation to meet again in October in New York, by which time I expect they will be able to report convergence on all core issues. This would take the Cyprus negotiations closer to their conclusion and would allow me to give a positive report to the Security Council on the matter. It would also pave the way for me to work with the parties towards convening a final, international conference. Both leaders made it clear that they will strive to reach a comprehensive solution as soon as possible.\",\n \"22. The leaders also acknowledged the need to begin building support for a comprehensive agreement in order to renew hope and enthusiasm for a solution across the island. This includes the critical task of preparing their respective communities for the compromises required for a settlement and the prospect of living together in a united Cyprus.\",\n \"V. Observations\",\n \"23. I am pleased that the two leaders have agreed to intensify the negotiations, improve the methodology of the talks and redouble their efforts to reach convergence on all core issues. This will increase the prospects of reaching an agreement. In order to increase the tempo and achieve significant results, the sides must engage in a more dynamic negotiating process and enter unequivocally into the next phase of the negotiations. This new phase would entail a comprehensive approach on all core issues and substantive trade-offs within and across chapters.\",\n \"24. In order for a reinvigorated process to fully take root and be successful, other elements must also be present. The sides must work clearly within the agreed parameters of a solution, and work to reach a common, shared objective within those parameters. The leaders must desist from playing the “blame game” and each focus on what more they can do to pave the way for a solution. As I have reiterated on various occasions, and as the Security Council recently stated in its resolution 1986 (2011), the sides should refrain from negative rhetoric about the process and about each other and work to build support for a settlement deal. Finally, the sides urgently need to safeguard the integrity and confidentiality of the talks by stopping leaks on positions and other sensitive information.\",\n \"VI. Conclusions\",\n \"25. The key to solving the Cyprus issue is the two sides working with political will and determination towards the same clear and common objectives, with a united Cyprus as the end result. To reunite Cyprus, there must be a bi-zonal, bi-communal federation with two equal constituent parts, with a single sovereignty and single international personality, as laid out in relevant Security Council resolutions.\",\n \"26. I was pleased with the demonstrated commitment of both sides in Geneva and that the leaders committed themselves to the endeavour of reaching convergence on all core issues by our next meeting in October. It is my hope that I can subsequently report their achievements to the Security Council and that, provided the necessary progress has been made by that time, we could then begin discussing the convening of a multilateral conference to conclude the international aspects of the agreement.\",\n \"27. By October 2011, the current negotiations will have been going on for more than three years. It is well understood that time is definitely not on the side of a solution, and successive polling on citizens’ views in Cyprus has confirmed this all too clearly. The Greek Cypriot and Turkish Cypriot communities deserve to be presented with a viable, mutually beneficial settlement proposal in the shortest time possible. The leaders must rise to the occasion.\"\n]"},"record":{"kind":"string","value":"S_2011_498"},"zh2en":{"kind":"list like","value":["Report of the Secretary-General on the status of negotiations on Cyprus","Introduction","The present report provides an update on the status of negotiations on Cyprus following my last report (Suff 112) dated 4 March 2011.","This is my third assessment report to the Security Council since my meeting with the Greek Cypriot and Turkish Cypriot leaders in New York in November 2010. During the last meeting, the Greek Cypriot and Turkish Cypriot leaders committed themselves to accelerating the pace of negotiations, focusing on efforts to identify core issues and reach consensus. The present report is also submitted recently after my meeting with the leaders of both sides in Geneva on 7 July.","I am concerned about the beginning of the talks away from the established orbit and what tangible progress has been made. In April, we decided to postpone the follow-up meeting until further progress was made. On 7 July, during my meeting in Geneva, I again expressed concern about the slow pace of progress and discussed with the leaders of both sides ways to defuse the situation. Both leaders agreed to accelerate the pace of negotiations, to improve the way forward and to facilitate the conclusion of the talks as soon as possible. They also agreed to meet again in New York in October, and I hope that they will reach agreement on all core issues at that time.","The time spent on these talks goes beyond our expectations. Since the start of full negotiations in September 2008, nearly three years have passed. During that period, the leaders of both sides met less than 100 times, but there were still many core issues that were not resolved. I met with the leaders of the two sides in November 2010, and since then the parties started to focus on core issues and achieve effectiveness, agreeing on economic issues and relevant EU elements. The parties have repeatedly proposed a compromise on a number of issues in the negotiations. In recent months, they have also increased the frequency of talks. Unfortunately, however, results are very limited and progress remains too slow. At the current rate, it may be too long to reach agreement. The parties to the negotiations are clearly aware of all elements of the establishment of the bizonal federation of Cyprus, but so far, as in the past few decades, the parties have yet to find a comprehensive solution.","It is clear that our talks have come to a decisive moment and that the feasibility of this process must be fully maintained so that they can propose a mutually beneficial solution. I expect the leaders of both sides to reach such a solution as soon as possible.","Background","The present assessment report was prepared after my fourth meeting with the Greek Cypriot and Turkish Cypriot leaders. When I visited Cyprus in January 2010, the Greek Cypriot leader, Miliris Christofias and then Turkish Cypriot leader, Mehmet Ali Talat, issued a joint statement expressing their confidence in reaching a solution as short as possible. After a few weeks of departure from Turkish leadership, I announced in May 2010 that the negotiations would continue on the same basis from the parties' point of disruption. Mr. Herryfiya and the new Turkish Cypriot leader, Delvinš Eroglu, also made statements at the time to recognize the urgency of resolving the problem and to commit to continuing negotiations on mutually beneficial solutions. Six months later, in November 2010, I met with the leaders of both sides in New York and requested them to concentrate on core issues. The meeting was then held in Geneva on 26 January 2011, with a renewed focus on how to achieve the goal of reaching consensus on core issues, and the leaders of both sides agreed to intensify negotiations. Following the January meeting, I indicated that the next meeting will be convened shortly to review the latest progress. In April, I spoke with the leaders of both sides and told them that I decided that they should meet again after further progress was made. I stress the importance of accelerating the process of negotiations. In May, I invited the leaders of both sides to meet in Geneva in July to identify difficulties impeding the conclusion of a comprehensive agreement and to discuss strategies that would significantly expedite the negotiation process.","When I met in Geneva on 7 July with Mr. Herryfiya and Mr. Eroglu, I reiterate to them that I always believe that an agreement can be reached if there is sufficient political will. I note that the previous and my predecessors of both sides have spent several decades to explore ways of achieving unity on the island of Cyprus, and that both sides know what is to be compromised.","As in my previous report, I have repeatedly pointed out to the leaders of both sides that the United Nations wishes to assume the primary responsibility for advancing the negotiation process. The process of leadership and self-ownership in Cyprus has been fully supported by the United Nations, but the leaders of both sides must take the necessary action to reconcile the differences between the two communities.","In support of this process, I take advantage of this time since my previous report to insist on placing the issue of Cyprus on the United Nations agenda and focusing on regional and international leadership agendas. This is particularly important as other pressing issues in the region are more urgent. I continue to discuss the question of Cyprus with a number of heads of State and senior officials, including the President of Turkey, Abdullah Gül, the Prime Minister of the United Kingdom of Great Britain and Northern Ireland, Major-General David Carmeren and Deputy Prime Minister, Nyuk Kleg, and the Chairman of the European Union Committee, José Manuel Rozo. My Special Adviser continues to maintain contacts with high-level officials who play a key role in this process, in particular those of Greece, Turkey and the United Kingdom.","Status of the process","In five months after my last report, the pace of progress has slowed, despite regular meetings between the leaders and their representatives. During that period, the leaders of both sides held 17 meetings, with the participation of 28 leaders. While the parties continue to work towards a compromise programme, the way to achieve compromise is not always productive or always able to achieve results. The parties spent a great deal of time to clarify their positions rather than to seek consensus.","At the end of March, the parties began discussions on internal security. The focus of the discussion was on the harmonization of the police and law enforcement arrangements at the federal and federal levels, namely, the constituent State. The parties have reached agreement on the details of this issue, but several important outstanding issues remain to be addressed.","On the issue of property, I am pleased that the parties have hired international technical experts and I presented their services in Geneva in January when I met with the leaders of both sides. This allowed both parties to explore a range of technical issues and to further develop proposals in this area. However, formal negotiations on property have not been resumed. There remain fundamental differences on issues such as the conditions for restitution and the mode of exchange. Negotiations on territorial matters should also be initiated, as this has so far been one of the least negotiated elements. The parties agreed that the issue of maps and figures related to this part should be addressed only at the final stage of the negotiation process before the multilateral conference. Negotiations on territorial matters may be initiated without prejudice to this fact.","Since my last report, the discussion on governance focused on issues such as the ability to conclude international treaties and their procedures, as well as the decision-making process at the federal level, on the principle of representation outside the country. It is important that the parties reach agreement on international treaties binding on Cyprus after reunification. Accordingly, the Subcommittee on International Treaties has resumed its work and held two meetings.","Important agreements on economic issues before my last report have been issued. During that period, there was no further discussion on the European Union. The remaining differences are largely how to incorporate the agreement on the settlement of the Cyprus problem into European Union law to ensure legal reliability. The issue of citizenship has not been discussed substantively since my meeting with the leaders of both sides in January. In response to the Greek appeal for a census, I provided the expertise of the United Nations in this field. However, the census process is only a related matter. In parallel with the implementation of the census process, both sides must address a core issue: what should be seen as a unified citizen of Cyprus.","The Technical Committee established in 2008 continued to meet to discuss the implementation of confidence-building measures aimed at improving the daily lives of the Cypriots. Three of the seven technical committees suspended since July 2008 have resumed their work.","According to the latest public opinion survey, the possibility of reunification between the two communities is losing confidence, but their desire to resolve the problem has not been reversed. United Nations agencies and programmes in Cyprus are working closely with local partners to support the peace process. Activities were organized in cooperation with a group of Cyprus non-governmental organizations supported by the United Nations Development Programme to facilitate open dialogue on issues related to the talks. The historic dialogue and research associations opened the “Cooperation House” in the buffer zone as a landmark event, which will provide space for bicommunal education, dialogue and research. In the project “Economic interdependence”, the Chamber of Commerce and Industry of Cyprus and the Turkish Cypriot Chamber launched the first joint report on the current level of economic interdependence of the two communities. Their findings confirmed that the solution of the Cyprus problem was economically beneficial to both communities. In addition to the previous report on governance, the Advisory Group on Gender Equality raised the issue of gender equality in property and citizenship to both leaders. The young groups of two major political parties have sent me a joint letter requesting me to encourage the leaders of both sides to reach a solution as soon as possible. I reiterate my call to Mr. Hilstofa and Mr. Eroglu to engage civil society in efforts aimed at addressing the problem in a comprehensive manner, taking into account those efforts and other important efforts of civil society to advance the peace process.","In my previous reports, I announced that a broader assessment of the United Nations presence in Cyprus could involve the scope and timing of the assessment process and that internal discussions continue.","Meeting on 7 July","On 7 July, I met with both leaders at the United Nations Office at Geneva. I am disappointed at the lack of progress in the talks. I note that, despite the steady work of both parties since our January meeting, neither sides have touched on important areas in the negotiations — although previously agreed to concentrate on core issues. I note that the pace of negotiations is too slow. I stress the need for the leaders of both sides to focus on achieving a broad agreement rather than on the small details of individual issues, and express the need for improved methods of negotiations. I call on the leaders of both sides to put aside all other matters in the negotiations and to focus on addressing the core issues of difficulty.","Despite my quiet assessment, the meeting took place in a constructive and positive atmosphere. Both sides recognize these difficulties. Both parties reviewed their respective positions on all the issues of negotiations and presented compromise programmes in a number of areas. The meeting helped to further explain (and, in some cases, clarify) the positions of both parties on all issues of negotiations. It is extremely important that this meeting make a significant contribution to identifying the way forward and thus success, rather than simply “status assessment” of the process.","I, together with the leaders of both sides, have identified some of the obstacles that have been impeding a comprehensive settlement to date. We agree that there is a need to accelerate the pace of negotiations and embark on intensive negotiations focusing on core issues. In this regard, the leaders of both sides have accepted my recommendation that two full-day negotiations be held weekly. We also agree that, without prejudice to the core principle of “the process is controlled by the Cypriots and led by the Cypriots”, the United Nations should be strengthened.","Both leaders also received an invitation to meet again in New York in October, when I hope that they will agree on all core issues. This will bring the Cyprus negotiations closer to the conclusion and allow me to submit a positive report to the Security Council in that regard. This will also pave the way for my last international conference in cooperation with the parties. Both leaders made it clear that they will seek a comprehensive solution as soon as possible.","The leaders also confirmed that, in order to re-energize the people's hopes and enthusiasm for the settlement of the island, there must be an increased support for the conclusion of a comprehensive agreement. One of the key tasks is to enable the two communities to prepare themselves for the necessary compromises to resolve problems and to achieve the prospects for common life in a unified Cyprus territory.","Observations","I am pleased to see that the leaders of both sides have agreed to intensify negotiations to improve the negotiating methodology and redouble their efforts to reach agreement on all core issues. This would increase the likelihood of an agreement. In order to accelerate progress and achieve tangible results, both sides must engage each other in a more vibrant negotiation to enter into negotiations at the next stage. This new phase requires a comprehensive approach to address all core issues and to effectively weigh the disadvantages among projects and projects.","A renewed and vibrant negotiating process must be fully rooted and successful and must also have other conditions. Both parties must clearly work on the basis of agreed elements of a problem and work towards common goals within the framework of those elements. Both leaders must put an end to “critical game”, and each party should focus on what can be done and pave the way for resolving the problem. As I have reiterated on a number of occasions and as elaborated in Security Council resolution 1986 (2011), both sides should refrain from placing accusations or mutual misheets on this process, and should strive to increase their support for the resolution of the Cyprus Agreement. Finally, the parties urgently need to put an end to the disclosure of negotiating positions and other sensitive information to guarantee the integrity and confidentiality of the talks.","Conclusion","The key to resolving the Cyprus problem is the political will and determination of the parties to work together to achieve the same clear shared goals and ultimately to achieve the unity of Cyprus. In order to achieve the unity of Cyprus, it is important to establish a bicommunal federation consisting of two equal components, with single sovereignty and a single international personality, in accordance with the relevant resolutions of the Security Council.","I am pleased that the parties have made a clear commitment in Geneva, and the leaders of both sides have also pledged to reach agreement on all core issues through our next meeting in October. I hope that I can then report to the Security Council on their achievements, when we can begin discussing the possibility of convening a multilateral conference to finalize all aspects of the agreement.","As of October 2011, the current negotiations had taken place for three years. All know that the time for resolving the problem is very urgent and that the findings of the various Cypriots are very clearly confirmed. A viable and mutually reinforcing solution proposal should be submitted to the Greek Cypriot and Turkish Cypriots in the shortest period. Both leaders must fully seize the opportunity."],"string":"[\n \"Report of the Secretary-General on the status of negotiations on Cyprus\",\n \"Introduction\",\n \"The present report provides an update on the status of negotiations on Cyprus following my last report (Suff 112) dated 4 March 2011.\",\n \"This is my third assessment report to the Security Council since my meeting with the Greek Cypriot and Turkish Cypriot leaders in New York in November 2010. During the last meeting, the Greek Cypriot and Turkish Cypriot leaders committed themselves to accelerating the pace of negotiations, focusing on efforts to identify core issues and reach consensus. The present report is also submitted recently after my meeting with the leaders of both sides in Geneva on 7 July.\",\n \"I am concerned about the beginning of the talks away from the established orbit and what tangible progress has been made. In April, we decided to postpone the follow-up meeting until further progress was made. On 7 July, during my meeting in Geneva, I again expressed concern about the slow pace of progress and discussed with the leaders of both sides ways to defuse the situation. Both leaders agreed to accelerate the pace of negotiations, to improve the way forward and to facilitate the conclusion of the talks as soon as possible. They also agreed to meet again in New York in October, and I hope that they will reach agreement on all core issues at that time.\",\n \"The time spent on these talks goes beyond our expectations. Since the start of full negotiations in September 2008, nearly three years have passed. During that period, the leaders of both sides met less than 100 times, but there were still many core issues that were not resolved. I met with the leaders of the two sides in November 2010, and since then the parties started to focus on core issues and achieve effectiveness, agreeing on economic issues and relevant EU elements. The parties have repeatedly proposed a compromise on a number of issues in the negotiations. In recent months, they have also increased the frequency of talks. Unfortunately, however, results are very limited and progress remains too slow. At the current rate, it may be too long to reach agreement. The parties to the negotiations are clearly aware of all elements of the establishment of the bizonal federation of Cyprus, but so far, as in the past few decades, the parties have yet to find a comprehensive solution.\",\n \"It is clear that our talks have come to a decisive moment and that the feasibility of this process must be fully maintained so that they can propose a mutually beneficial solution. I expect the leaders of both sides to reach such a solution as soon as possible.\",\n \"Background\",\n \"The present assessment report was prepared after my fourth meeting with the Greek Cypriot and Turkish Cypriot leaders. When I visited Cyprus in January 2010, the Greek Cypriot leader, Miliris Christofias and then Turkish Cypriot leader, Mehmet Ali Talat, issued a joint statement expressing their confidence in reaching a solution as short as possible. After a few weeks of departure from Turkish leadership, I announced in May 2010 that the negotiations would continue on the same basis from the parties' point of disruption. Mr. Herryfiya and the new Turkish Cypriot leader, Delvinš Eroglu, also made statements at the time to recognize the urgency of resolving the problem and to commit to continuing negotiations on mutually beneficial solutions. Six months later, in November 2010, I met with the leaders of both sides in New York and requested them to concentrate on core issues. The meeting was then held in Geneva on 26 January 2011, with a renewed focus on how to achieve the goal of reaching consensus on core issues, and the leaders of both sides agreed to intensify negotiations. Following the January meeting, I indicated that the next meeting will be convened shortly to review the latest progress. In April, I spoke with the leaders of both sides and told them that I decided that they should meet again after further progress was made. I stress the importance of accelerating the process of negotiations. In May, I invited the leaders of both sides to meet in Geneva in July to identify difficulties impeding the conclusion of a comprehensive agreement and to discuss strategies that would significantly expedite the negotiation process.\",\n \"When I met in Geneva on 7 July with Mr. Herryfiya and Mr. Eroglu, I reiterate to them that I always believe that an agreement can be reached if there is sufficient political will. I note that the previous and my predecessors of both sides have spent several decades to explore ways of achieving unity on the island of Cyprus, and that both sides know what is to be compromised.\",\n \"As in my previous report, I have repeatedly pointed out to the leaders of both sides that the United Nations wishes to assume the primary responsibility for advancing the negotiation process. The process of leadership and self-ownership in Cyprus has been fully supported by the United Nations, but the leaders of both sides must take the necessary action to reconcile the differences between the two communities.\",\n \"In support of this process, I take advantage of this time since my previous report to insist on placing the issue of Cyprus on the United Nations agenda and focusing on regional and international leadership agendas. This is particularly important as other pressing issues in the region are more urgent. I continue to discuss the question of Cyprus with a number of heads of State and senior officials, including the President of Turkey, Abdullah Gül, the Prime Minister of the United Kingdom of Great Britain and Northern Ireland, Major-General David Carmeren and Deputy Prime Minister, Nyuk Kleg, and the Chairman of the European Union Committee, José Manuel Rozo. My Special Adviser continues to maintain contacts with high-level officials who play a key role in this process, in particular those of Greece, Turkey and the United Kingdom.\",\n \"Status of the process\",\n \"In five months after my last report, the pace of progress has slowed, despite regular meetings between the leaders and their representatives. During that period, the leaders of both sides held 17 meetings, with the participation of 28 leaders. While the parties continue to work towards a compromise programme, the way to achieve compromise is not always productive or always able to achieve results. The parties spent a great deal of time to clarify their positions rather than to seek consensus.\",\n \"At the end of March, the parties began discussions on internal security. The focus of the discussion was on the harmonization of the police and law enforcement arrangements at the federal and federal levels, namely, the constituent State. The parties have reached agreement on the details of this issue, but several important outstanding issues remain to be addressed.\",\n \"On the issue of property, I am pleased that the parties have hired international technical experts and I presented their services in Geneva in January when I met with the leaders of both sides. This allowed both parties to explore a range of technical issues and to further develop proposals in this area. However, formal negotiations on property have not been resumed. There remain fundamental differences on issues such as the conditions for restitution and the mode of exchange. Negotiations on territorial matters should also be initiated, as this has so far been one of the least negotiated elements. The parties agreed that the issue of maps and figures related to this part should be addressed only at the final stage of the negotiation process before the multilateral conference. Negotiations on territorial matters may be initiated without prejudice to this fact.\",\n \"Since my last report, the discussion on governance focused on issues such as the ability to conclude international treaties and their procedures, as well as the decision-making process at the federal level, on the principle of representation outside the country. It is important that the parties reach agreement on international treaties binding on Cyprus after reunification. Accordingly, the Subcommittee on International Treaties has resumed its work and held two meetings.\",\n \"Important agreements on economic issues before my last report have been issued. During that period, there was no further discussion on the European Union. The remaining differences are largely how to incorporate the agreement on the settlement of the Cyprus problem into European Union law to ensure legal reliability. The issue of citizenship has not been discussed substantively since my meeting with the leaders of both sides in January. In response to the Greek appeal for a census, I provided the expertise of the United Nations in this field. However, the census process is only a related matter. In parallel with the implementation of the census process, both sides must address a core issue: what should be seen as a unified citizen of Cyprus.\",\n \"The Technical Committee established in 2008 continued to meet to discuss the implementation of confidence-building measures aimed at improving the daily lives of the Cypriots. Three of the seven technical committees suspended since July 2008 have resumed their work.\",\n \"According to the latest public opinion survey, the possibility of reunification between the two communities is losing confidence, but their desire to resolve the problem has not been reversed. United Nations agencies and programmes in Cyprus are working closely with local partners to support the peace process. Activities were organized in cooperation with a group of Cyprus non-governmental organizations supported by the United Nations Development Programme to facilitate open dialogue on issues related to the talks. The historic dialogue and research associations opened the “Cooperation House” in the buffer zone as a landmark event, which will provide space for bicommunal education, dialogue and research. In the project “Economic interdependence”, the Chamber of Commerce and Industry of Cyprus and the Turkish Cypriot Chamber launched the first joint report on the current level of economic interdependence of the two communities. Their findings confirmed that the solution of the Cyprus problem was economically beneficial to both communities. In addition to the previous report on governance, the Advisory Group on Gender Equality raised the issue of gender equality in property and citizenship to both leaders. The young groups of two major political parties have sent me a joint letter requesting me to encourage the leaders of both sides to reach a solution as soon as possible. I reiterate my call to Mr. Hilstofa and Mr. Eroglu to engage civil society in efforts aimed at addressing the problem in a comprehensive manner, taking into account those efforts and other important efforts of civil society to advance the peace process.\",\n \"In my previous reports, I announced that a broader assessment of the United Nations presence in Cyprus could involve the scope and timing of the assessment process and that internal discussions continue.\",\n \"Meeting on 7 July\",\n \"On 7 July, I met with both leaders at the United Nations Office at Geneva. I am disappointed at the lack of progress in the talks. I note that, despite the steady work of both parties since our January meeting, neither sides have touched on important areas in the negotiations — although previously agreed to concentrate on core issues. I note that the pace of negotiations is too slow. I stress the need for the leaders of both sides to focus on achieving a broad agreement rather than on the small details of individual issues, and express the need for improved methods of negotiations. I call on the leaders of both sides to put aside all other matters in the negotiations and to focus on addressing the core issues of difficulty.\",\n \"Despite my quiet assessment, the meeting took place in a constructive and positive atmosphere. Both sides recognize these difficulties. Both parties reviewed their respective positions on all the issues of negotiations and presented compromise programmes in a number of areas. The meeting helped to further explain (and, in some cases, clarify) the positions of both parties on all issues of negotiations. It is extremely important that this meeting make a significant contribution to identifying the way forward and thus success, rather than simply “status assessment” of the process.\",\n \"I, together with the leaders of both sides, have identified some of the obstacles that have been impeding a comprehensive settlement to date. We agree that there is a need to accelerate the pace of negotiations and embark on intensive negotiations focusing on core issues. In this regard, the leaders of both sides have accepted my recommendation that two full-day negotiations be held weekly. We also agree that, without prejudice to the core principle of “the process is controlled by the Cypriots and led by the Cypriots”, the United Nations should be strengthened.\",\n \"Both leaders also received an invitation to meet again in New York in October, when I hope that they will agree on all core issues. This will bring the Cyprus negotiations closer to the conclusion and allow me to submit a positive report to the Security Council in that regard. This will also pave the way for my last international conference in cooperation with the parties. Both leaders made it clear that they will seek a comprehensive solution as soon as possible.\",\n \"The leaders also confirmed that, in order to re-energize the people's hopes and enthusiasm for the settlement of the island, there must be an increased support for the conclusion of a comprehensive agreement. One of the key tasks is to enable the two communities to prepare themselves for the necessary compromises to resolve problems and to achieve the prospects for common life in a unified Cyprus territory.\",\n \"Observations\",\n \"I am pleased to see that the leaders of both sides have agreed to intensify negotiations to improve the negotiating methodology and redouble their efforts to reach agreement on all core issues. This would increase the likelihood of an agreement. In order to accelerate progress and achieve tangible results, both sides must engage each other in a more vibrant negotiation to enter into negotiations at the next stage. This new phase requires a comprehensive approach to address all core issues and to effectively weigh the disadvantages among projects and projects.\",\n \"A renewed and vibrant negotiating process must be fully rooted and successful and must also have other conditions. Both parties must clearly work on the basis of agreed elements of a problem and work towards common goals within the framework of those elements. Both leaders must put an end to “critical game”, and each party should focus on what can be done and pave the way for resolving the problem. As I have reiterated on a number of occasions and as elaborated in Security Council resolution 1986 (2011), both sides should refrain from placing accusations or mutual misheets on this process, and should strive to increase their support for the resolution of the Cyprus Agreement. Finally, the parties urgently need to put an end to the disclosure of negotiating positions and other sensitive information to guarantee the integrity and confidentiality of the talks.\",\n \"Conclusion\",\n \"The key to resolving the Cyprus problem is the political will and determination of the parties to work together to achieve the same clear shared goals and ultimately to achieve the unity of Cyprus. In order to achieve the unity of Cyprus, it is important to establish a bicommunal federation consisting of two equal components, with single sovereignty and a single international personality, in accordance with the relevant resolutions of the Security Council.\",\n \"I am pleased that the parties have made a clear commitment in Geneva, and the leaders of both sides have also pledged to reach agreement on all core issues through our next meeting in October. I hope that I can then report to the Security Council on their achievements, when we can begin discussing the possibility of convening a multilateral conference to finalize all aspects of the agreement.\",\n \"As of October 2011, the current negotiations had taken place for three years. All know that the time for resolving the problem is very urgent and that the findings of the various Cypriots are very clearly confirmed. A viable and mutually reinforcing solution proposal should be submitted to the Greek Cypriot and Turkish Cypriots in the shortest period. Both leaders must fully seize the opportunity.\"\n]"}}},{"rowIdx":99,"cells":{"clean_zh":{"kind":"list like","value":["第六十六届会议","临时议程^(*) 项目69(a)","促进和保护人权：人权文书的执行情况","联合国援助酷刑受害者自愿基金","秘书长的报告","摘要","本报告根据大会第36/151号和第65/205号决议提交，叙述了联合国援助酷刑受害者自愿基金董事会第三十三届和第三十四届会议通过的向受益组织提供赠款建议。报告还介绍了董事会落实内部监督事务厅的建议为进一步增强基金活动而通过的政策决定。","^(*) A/66/150。","一. 导言","A. 提交报告","1. 本报告是根据关于设立联合国援助酷刑受害者自愿基金的大会第36/151号决议核准的安排编写的。报告叙述了基金董事会分别于2010年10月18日至22日和2011年1月31日至2月4日在日内瓦举行的第三十三届和第三十四届会议通过的建议。联合国人权事务高级专员代表秘书长核准了这些建议。本报告是对提交2011年3月人权理事会第十六届会议的基金活动报告(A/HRC/16/31)的补充。","B. 基金的任务规定","2. 基金接受各国政府、非政府组织和个人的自愿捐款。按照董事会1982年确立的做法，基金向那些提出涉及向酷刑受害者及其家属提供医疗、心理、社会、资金、法律和人道主义或其他形式援助的项目的非政府组织提供赠款。","C. 董事会","3. 秘书长通过联合国人权事务高级专员办事处管理这个基金并听取董事会的意见。董事会由五名成员组成，他们以个人身份任职，由秘书长在充分顾及公平地域分配并同其政府协商后任命。2008年10月，秘书长再次任命了下列成员，任期三年，系最后一个任期：克拉希米尔·卡内夫(保加利亚)、萨韦特里·谷内塞科雷(斯里兰卡)、约瑟夫·奥洛卡-奥尼扬戈(乌干达)和德里克·庞德尔(大不列颠及北爱尔兰联合王国)，并任命梅赛德斯·多雷蒂(阿根廷)，任期三年，可连任一次。","4. 董事会于2010年10月18日至22日在日内瓦举行第三十三届会议，审查了资助申请并就2011年1月至12月期间向受益组织分配赠款提出建议。在2011年1月31日至2月4日举行的第三十四届会议上，董事会主要讨论了政策问题。在这次会议上，董事会还向在第三十三届会议上因没有足够资料而未能决定的优先区域项目以及闭会期间提出申请的优先区域项目提供了赠款。","D. 受理标准","5. 基金准则中概述的项目受理标准规定，项目必须由非政府组织提出。受益人必须是酷刑的直接受害者和(或)其直系亲属。优先受理向酷刑受害者提供直接援助的项目。这些项目可包括医疗或心理援助；通过职业培训帮助受害者重新融入社会或获得收入；向受害者或家属提供各种形式的法律援助，包括帮助寻求补偿或申请庇护。根据现有供资情况，基金可资助项目，以举办让专业医务人员或其他服务提供者能够交流最佳做法的培训方案、讨论会或会议。但是，基金不受理涉及调查、研究、出版物或类似活动的项目的赠款请求。","6. 在没有项目从基金获得支助的国家，基金可对个人提供紧急援助。此类请求应根据基金准则中规定的一项特定程序进行审查。关于通过基金资助的项目提供的各类援助及其对受益者影响的详细资料，可参阅秘书长提交给大会第五十八届会议的报告(A/58/284，第27至34段)。","二. 基金的财务状况","7. 2006年至2010年期间，董事会逐年增加了对世界各地项目的赠款金额。之所以能够这么做，是因为该期间所使用的收入包括了每年的自愿捐款和从前几年结转的未拨数额。这些数额是基金提高管理效率举措的结果，这些举措包括周期的变动、更密切监测受赠方情况和更严格的汇报要求。董事会决定利用结转的资金增加对项目的供资金额，特别是对优先区域项目的供资金额。","8. 但是，对于2011年，董事会若要继续按2010年水平满足受赠方的请求，将会面临200多万美元的资金缺口。因此，董事会决定对2011年赠款周期实行战略性削减。如果2011年收不到额外捐款，董事会在2012年仍将面临重大资金短缺，可能不得不维持或增加对2012年赠款周期的战略性削减，并对为新项目提供的资助加以更多限制。","9. 根据所收到的2011年申请，预计2012年各组织申请赠款数额将达2 200万美元左右。","收到的捐款和认捐","10. 下表显示自秘书长上次向大会提交基金活动报告(A/65/265)以来收到的捐款和认捐。这些捐款将使董事会能在2011年10月17日至21日举行的第三十五届会议上提出赠款建议。董事会在下届会议上建议提供的赠款将于2012年1月拨付，用于2012年1月1日至12月31日期间。","2010年8月5日至2011年7月22日收到的捐款和认捐","捐助国\t金额(美元)\t收到日期 \n 安道尔 28 550 2010年12月21日 \n 阿根廷 3 405 2011年1月31日 \n 加拿大 61 170 2011年3月24日 \n 捷克共和国 10 272 2010年12月27日 \n 芬兰 180 025 2010年9月3日 \n 德国 498 218 2010年8月19日 \n 德国 407 407 2011年5月11日 \n 希腊 39 422 2011年1月3日 \n 爱尔兰 111 402 2010年8月25日 \n 爱尔兰 119 718 2011年4月20日 \n 科威特 10 000 2011年4月7日 \n 列支敦士登 27 115 2011年4月20日 \n 卢森堡 34 722 2010年11月19日 \n 摩洛哥 3 000 2011年3月23日 \n 挪威 164 826 2010年8月24日 \n 挪威 183 688 2011年6月27日 \n 卡塔尔 10 000 2011年2月18日 \n 大韩民国 95 000 2010年11月21日 \n 大韩民国 95 000 2011年4月25日 \n 南非 15 015 2011年1月24日 \n 西班牙 334 672 2010年12月29日 \n 土耳其 10 000 2010年8月23日 \n 阿拉伯联合酋长国 9 982 2011年5月9日 \n 美利坚合众国 7 100 000 2010年9月13日 \n 捐款共计 9 552 609 \n 2011年认捐 \n 阿富汗 500 \n 比利时 284 900 \n 丹麦 383 656 \n 认捐共计 669 056","三. 基金董事会第三十三届和第三十四届会议","11. 董事会于2010年10月18日至22日在日内瓦举行第三十三届会议。在该会议期间，董事会审议了其秘书处就327个项目(包括2011年的新申请)编写的资料，以及对前几年所拨赠款使用情况的陈述、财务和审计报告的分析。董事会审议了为300多个项目提出的20 688 284美元新赠款请求，这些项目是2011年直接援助酷刑受害者及其家属的项目，并审议了为举办援助受害者的专业人员培训和研讨会以交流关于经验和最佳做法信息的25个项目提出的数额为858 754美元的请求。","12. 如2010年2月第三十二届会议所预计，由于2010年收到的捐款数额减少，而且没有任何认捐，董事会无法维持2010年的资助水平，不得不决定对2011年的赠款周期作出战略性削减。给予西欧和其他国家集团所属国家内项目的赠款一律削减20%，给予其他区域内项目的赠款一律削减10%。作为一项规则，给予新的受赠方的资助上限为20 000美元，而不是通常的50 000美元。此外，资助为援助受害者的专业人员举办的培训和研讨会的问题，被推迟到2011年2月第三十四届会议审议，并需视可用资源的情况而定。","13. 董事会建议在2011年1月至12月期间为70多个国家中直接援助受害者的280多个进行中项目和23个新项目提供赠款，总额为9 525 050美元，将于2011年1月支付。高级专员于2010年11月22日代表秘书长批准了这些建议。","14. 董事会建议为第三十三届会议未能审议的项目预留1 116 950美元，未审议这些项目是因为有待申请人提供资料或需要联合国工作人员赴实地了解情况。董事会将在第三十四届会议审议这些项目。","15. 董事会于2011年1月31日至2月4日召开的第三十四届会议主要讨论政策问题并进行经验总结，以便向秘书长将于2011年8月指定的董事会新成员进行交接。董事会还审议了2011年为优先区域项目提出的额外赠款请求，并提供906 300美元给27个直接援助项目，包括15个进行中项目、7个新项目、5个在闭会期间收到申请的新项目以及9个培训和研讨会项目。此外，董事会与会员国、酷刑受害者援助领域的机构捐助者以及非政府组织代表举行了会议。","16. 2010年2月至2011年8月期间，基金秘书处成员、董事会成员和联合国实地派驻机构在以下国家对已获得基金供资的组织或潜在受赠方进行了评价和监测访问：阿尔巴尼亚、安哥拉、阿根廷、澳大利亚、阿塞拜疆、孟加拉国、比利时、布隆迪、加拿大、智利、哥伦比亚、刚果民主共和国、厄瓜多尔、埃及、法国、德国、几内亚、匈牙利、印度、爱尔兰、意大利、哈萨克斯坦、莫桑比克、尼泊尔、巴基斯坦、巴拉圭、秘鲁、卢旺达、大韩民国、塞内加尔、南非、西班牙、泰国、土耳其、乌干达、联合王国、坦桑尼亚联合共和国、美利坚合众国和津巴布韦。","A. 董事会通过的建议","17. 基金董事会第三十三届和第三十四届会议建议在2011年1月至12月期间为70多个国家的330多个项目提供总额为10 431 350美元的赠款。董事会还建议，预留270 000美元，用作2011年闭会期间和(或)紧急情况下的赠款。下图显示按区域分列的赠款分配。","2011年按区域分列的赠款","(美元)","[]","B. 政策决定","董事会第三十四届会议","18. 董事会第三十四届会议讨论了关于与其他机构捐助方共享信息、监测和评价团以及外联问题。","19. 董事会决定建立一个机制，定期向其他机构捐助方正式和非正式地提供信息和调查结果，说明有关项目遇到的严重管理和(或)财务问题，包括管理不善和可能的欺诈行为。","20. 董事会同意基金秘书处参加与欧洲联盟委员会工作人员结成的联合监测和评价团。","21. 董事会讨论了在2011年6月26日前后庆祝基金三十周年的活动日程，并向秘书处提出了建议。董事会希望抓住这一难得机会宣传基金的工作。在此方面创建了一个关于基金30年工作的特别网站。","C. 与援助酷刑受害者领域的相关行为体举行会议","董事会第三十四届会议","22. 董事会在第三十四届会议期间，继续与援助酷刑受害者领域的其他机构捐助方举行会议这一做法，尤其是与欧洲联盟委员会欧洲民主与人权工具的代表举行会议的做法，以共享关于供资政策、评价和监测机制和结果以及建设受赠方能力举措的信息。","23. 此外，董事会与会员国召开会议，有大约12个代表团出席了会议。在该会议上，董事会邀请了两个受赠方向董事会和会员国简要汇报在基金的支助下向受害者提供的援助。董事会提供详尽信息，说明了基金最近的发展，包括基金目前财务状况的挑战和对捐款数额在资金需求不断增长的情况下大幅减少的关切。","四. 尚未执行的内部监督事务厅建议","24. 内部监督事务厅认为，由于报告所述期间开展的工作，只有一项建议(关于加强管理制度的建议9)仍在执行中。","建议9：加强管理制度","25. 2012年的赠款申请以及对2011年赠款预算的修订继续通过基金的在线赠款系统提交。此外，新的受赠方外部报告模块已经完成并且投入使用，使受赠方可以在线提交关于2010年赠款使用情况的报告。秘书处继续通过电子邮件向使用该系统的所有组织提供直接技术援助服务，并回答来自新的和执行中的项目以及潜在受赠方的多次查询。","26. 在报告所述期间，秘书处继续致力于进一步开发基金在线赠款系统的内部行政模块。因此，正在用多次查询功能完善和测试该模块，从而可以查询数据和生成内部报告。内部行政模块最后确定后，基金电子管理系统的引进即告完成，从而使内部监督事务厅报告(E/CN.4/2005/55)中的最后一个剩余建议得到了充分执行。","五. 支持酷刑受害者国际日","27. 2011年6月26日，禁止酷刑委员会、防范酷刑小组委员会、酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员以及联合国援助酷刑受害者自愿基金董事会为纪念支持酷刑受害者国际日和援助酷刑受害者自愿基金成立三十周年，发表声明如下:","各国必须确保所有酷刑受害者获得赔偿，包括通过联合国自愿基金得到人道主义支持","在最近世界很多国家举行的公共示威中，我们看到酷刑和虐待行为仍然普遍存在。必须重申，各国有责任防范、禁止、调查和惩处一切酷刑行为及其他形式的残忍、不人道或有辱人格的待遇。各国有责任尊重所有人的身心健全，为受害者和整个社会确保正义和问责，并将实施侵害者绳之以法。","此外，各国必须确保酷刑或其他残忍、不人道或有辱人格的待遇或处罚受害者获得赔偿，包括补救，并获得公正和充足的补偿和得到适当和全面的康复服务。在此方面，我们感到关切的是，尽管国际法律和实践要求实行与补救和赔偿酷刑受害者有关的某些最低标准和原则，但一些国家仅赋予往往是不太大的而且在司法系统中居次要地位的正式权利。","我们同样感到不满的是，使旨在为受害者补救和赔偿提供最低标准的基本原则和准则制度化的工作缺少进展。我们认为，受害者必须在追究实施酷刑者对其行为的责任方面发挥核心作用。我们想要强调，为酷刑受害者提供补救和赔偿的预防性功能是防止酷刑和其他残忍、不人道或有辱人格的待遇或处罚的法律义务的一部分。因此，我们继续支持那些致力于消除酷刑和确保所有酷刑受害者获得补救的国家、组织和其他民间社会机构。","今年，联合国支持酷刑受害者国际日恰逢联合国援助酷刑受害者自愿基金成立三十周年。在过去的30年中，该基金为向酷刑受害者及其家属提供医疗、心理、法律、社会和财政援助的项目分发了1.2亿多美元，使受害者能够获得补救，并行使他们的可执行权利，以获得公平和充足的补偿，包括尽可能完全的康复。在该基金的支持下，医生、心理学家、法证专家、社会工作者、律师和其他有关个人或团体采取了以受害者为本的办法，常年协助他们的客户踏上重新开始生活的漫长道路，并与此同时记录酷刑的使用和影响。","我们向联合国援助酷刑受害者自愿基金的所有捐助方表示感谢，该基金目前支持70多个国家中的300多个组织的工作，我们希望对基金的捐助会继续增加，从而使酷刑受害者及其家属得以获得他们所需要的援助。我们吁请所有国家，作为对酷刑受害者及其家属的康复所做的普遍承诺的一部分，向自愿基金提供慷慨捐助，使该基金能够继续为各组织提供资金，用于心理、医疗、社会、法律和经济援助。我们还呼吁各国通过财政和其他途径支持国内组织的工作，并为这些组织向酷刑受害者提供补救和康复援助创造一个有利的环境。","我们还促请各国成为《禁止酷刑公约》的缔约国，根据《公约》第21条和第22条规定，做出关于国家间和个人申诉的声明，并成为《禁止酷刑公约任择议定书》的缔约国，以便最大限度地加强在反对酷刑斗争中的透明度和问责制。","28. 为在2011年6月26日庆祝基金成立三十周年，董事会决定举办一个酷刑受害者制作的艺术作品和手工制品展览。该展览于2011年6月21日至30日在日内瓦万国宫举行，展出了受害者作为其康复进程的一部分所创作的绘画、雕塑及其他艺术表现形式。2011年6月27日，联合国日内瓦办事处总干事卡西姆-若马尔特·托卡耶夫、联合国人权事务高级专员纳瓦尼特姆·皮莱和董事会主席梅赛德斯·多雷蒂为该展览揭幕。","六. 向基金捐款的方式","29. 提供给基金的捐款应写明：“收款人：United Nations Voluntary Fund for Victims of Torture，account CH”。支付捐款可通过银行转账：(a) 美元：“United Nations Geneva General Fund”，account No. 485001802，J.P. Morgan Chase Bank，International Agencies Banking，1166，Avenue. of the Americas，17th floor，New York，N.Y. 10036-2708，United States of America (Swift code：CHAS US 33；ABA code：021000021)；(b) 欧元：“United Nations Office at Geneva”，account No. 23961901，J.P. Morgan Chase Bank，125 London Wall，London EC2Y 5AJ，United Kingdom (Swift code：CHAS GB 2L；sort code：60-92-42；IBAN：GB25 CHAS 6092 4223 9619 01)；(c) 英镑：“United Nations Office at Geneva”，account No.23961903，J.P. Morgan Chase Bank，125 London Wall，London EC2Y 5AJ，United Kingdom (Swift code：CHAS GB 2L；sort code：60-92-42；IBAN：GB25 CHAS 6092 4223 9619 03)；(d) 瑞士法郎：“United Nations Geneva General Fund”，account No.240-C0590160.0，UBS，rue du Rhône 8，Geneva 2，Switzerland (Swift code：UBSW CH ZH 12A；IBAN：CH65 0024 0240 CO59 0160 0)；(e) 任何其他货币：“United Nations Geneva General Fund”，account No.240-C0590160.1，UBS，rue du Rhône 8，Geneva 2，Switzerland (Swift code：UBSW CH ZH 12A；IBAN：CH65 0024 0240 CO59 0160 1)；或通过支票支付给“United Nations”，地址为：Trésorerie，Nations Unies，Palais des Nations，CH-1211 Geneva 10，Switzerland。请所有捐助方在付款后通知基金秘书处和联合国人权事务高级专员办事处资源调动股(最好附上一份银行转账通知复印件或支票复印件)，以便有效跟踪正式记录程序和编写秘书长的报告。","七. 结论和建议","30. 按照大会第65/205号决议的呼吁和秘书长的上一次报告(A/65/265)所载基金董事会的呼吁，请捐助方在董事会第三十五届会议(将于2011年10月17日至21日举行)开幕前向基金支付捐款，以便在该届会议上将这些捐款考虑在内。","31. 鉴于2011年面临的困难财务状况，大会和董事会还再次呼吁经常捐助方尽可能增加对基金的捐助，以向董事会提供必要的资源，用来满足世界各地酷刑受害者及其亲属日益增长的需要。","32. 董事会大力鼓励尚未向基金捐款的国家政府作出第一次捐款，最好能在2011年9月前这样做。","––––––––––––––"],"string":"[\n \"第六十六届会议\",\n \"临时议程^(*) 项目69(a)\",\n \"促进和保护人权：人权文书的执行情况\",\n \"联合国援助酷刑受害者自愿基金\",\n \"秘书长的报告\",\n \"摘要\",\n \"本报告根据大会第36/151号和第65/205号决议提交，叙述了联合国援助酷刑受害者自愿基金董事会第三十三届和第三十四届会议通过的向受益组织提供赠款建议。报告还介绍了董事会落实内部监督事务厅的建议为进一步增强基金活动而通过的政策决定。\",\n \"^(*) A/66/150。\",\n \"一. 导言\",\n \"A. 提交报告\",\n \"1. 本报告是根据关于设立联合国援助酷刑受害者自愿基金的大会第36/151号决议核准的安排编写的。报告叙述了基金董事会分别于2010年10月18日至22日和2011年1月31日至2月4日在日内瓦举行的第三十三届和第三十四届会议通过的建议。联合国人权事务高级专员代表秘书长核准了这些建议。本报告是对提交2011年3月人权理事会第十六届会议的基金活动报告(A/HRC/16/31)的补充。\",\n \"B. 基金的任务规定\",\n \"2. 基金接受各国政府、非政府组织和个人的自愿捐款。按照董事会1982年确立的做法，基金向那些提出涉及向酷刑受害者及其家属提供医疗、心理、社会、资金、法律和人道主义或其他形式援助的项目的非政府组织提供赠款。\",\n \"C. 董事会\",\n \"3. 秘书长通过联合国人权事务高级专员办事处管理这个基金并听取董事会的意见。董事会由五名成员组成，他们以个人身份任职，由秘书长在充分顾及公平地域分配并同其政府协商后任命。2008年10月，秘书长再次任命了下列成员，任期三年，系最后一个任期：克拉希米尔·卡内夫(保加利亚)、萨韦特里·谷内塞科雷(斯里兰卡)、约瑟夫·奥洛卡-奥尼扬戈(乌干达)和德里克·庞德尔(大不列颠及北爱尔兰联合王国)，并任命梅赛德斯·多雷蒂(阿根廷)，任期三年，可连任一次。\",\n \"4. 董事会于2010年10月18日至22日在日内瓦举行第三十三届会议，审查了资助申请并就2011年1月至12月期间向受益组织分配赠款提出建议。在2011年1月31日至2月4日举行的第三十四届会议上，董事会主要讨论了政策问题。在这次会议上，董事会还向在第三十三届会议上因没有足够资料而未能决定的优先区域项目以及闭会期间提出申请的优先区域项目提供了赠款。\",\n \"D. 受理标准\",\n \"5. 基金准则中概述的项目受理标准规定，项目必须由非政府组织提出。受益人必须是酷刑的直接受害者和(或)其直系亲属。优先受理向酷刑受害者提供直接援助的项目。这些项目可包括医疗或心理援助；通过职业培训帮助受害者重新融入社会或获得收入；向受害者或家属提供各种形式的法律援助，包括帮助寻求补偿或申请庇护。根据现有供资情况，基金可资助项目，以举办让专业医务人员或其他服务提供者能够交流最佳做法的培训方案、讨论会或会议。但是，基金不受理涉及调查、研究、出版物或类似活动的项目的赠款请求。\",\n \"6. 在没有项目从基金获得支助的国家，基金可对个人提供紧急援助。此类请求应根据基金准则中规定的一项特定程序进行审查。关于通过基金资助的项目提供的各类援助及其对受益者影响的详细资料，可参阅秘书长提交给大会第五十八届会议的报告(A/58/284，第27至34段)。\",\n \"二. 基金的财务状况\",\n \"7. 2006年至2010年期间，董事会逐年增加了对世界各地项目的赠款金额。之所以能够这么做，是因为该期间所使用的收入包括了每年的自愿捐款和从前几年结转的未拨数额。这些数额是基金提高管理效率举措的结果，这些举措包括周期的变动、更密切监测受赠方情况和更严格的汇报要求。董事会决定利用结转的资金增加对项目的供资金额，特别是对优先区域项目的供资金额。\",\n \"8. 但是，对于2011年，董事会若要继续按2010年水平满足受赠方的请求，将会面临200多万美元的资金缺口。因此，董事会决定对2011年赠款周期实行战略性削减。如果2011年收不到额外捐款，董事会在2012年仍将面临重大资金短缺，可能不得不维持或增加对2012年赠款周期的战略性削减，并对为新项目提供的资助加以更多限制。\",\n \"9. 根据所收到的2011年申请，预计2012年各组织申请赠款数额将达2 200万美元左右。\",\n \"收到的捐款和认捐\",\n \"10. 下表显示自秘书长上次向大会提交基金活动报告(A/65/265)以来收到的捐款和认捐。这些捐款将使董事会能在2011年10月17日至21日举行的第三十五届会议上提出赠款建议。董事会在下届会议上建议提供的赠款将于2012年1月拨付，用于2012年1月1日至12月31日期间。\",\n \"2010年8月5日至2011年7月22日收到的捐款和认捐\",\n \"捐助国\\t金额(美元)\\t收到日期 \\n 安道尔 28 550 2010年12月21日 \\n 阿根廷 3 405 2011年1月31日 \\n 加拿大 61 170 2011年3月24日 \\n 捷克共和国 10 272 2010年12月27日 \\n 芬兰 180 025 2010年9月3日 \\n 德国 498 218 2010年8月19日 \\n 德国 407 407 2011年5月11日 \\n 希腊 39 422 2011年1月3日 \\n 爱尔兰 111 402 2010年8月25日 \\n 爱尔兰 119 718 2011年4月20日 \\n 科威特 10 000 2011年4月7日 \\n 列支敦士登 27 115 2011年4月20日 \\n 卢森堡 34 722 2010年11月19日 \\n 摩洛哥 3 000 2011年3月23日 \\n 挪威 164 826 2010年8月24日 \\n 挪威 183 688 2011年6月27日 \\n 卡塔尔 10 000 2011年2月18日 \\n 大韩民国 95 000 2010年11月21日 \\n 大韩民国 95 000 2011年4月25日 \\n 南非 15 015 2011年1月24日 \\n 西班牙 334 672 2010年12月29日 \\n 土耳其 10 000 2010年8月23日 \\n 阿拉伯联合酋长国 9 982 2011年5月9日 \\n 美利坚合众国 7 100 000 2010年9月13日 \\n 捐款共计 9 552 609 \\n 2011年认捐 \\n 阿富汗 500 \\n 比利时 284 900 \\n 丹麦 383 656 \\n 认捐共计 669 056\",\n \"三. 基金董事会第三十三届和第三十四届会议\",\n \"11. 董事会于2010年10月18日至22日在日内瓦举行第三十三届会议。在该会议期间，董事会审议了其秘书处就327个项目(包括2011年的新申请)编写的资料，以及对前几年所拨赠款使用情况的陈述、财务和审计报告的分析。董事会审议了为300多个项目提出的20 688 284美元新赠款请求，这些项目是2011年直接援助酷刑受害者及其家属的项目，并审议了为举办援助受害者的专业人员培训和研讨会以交流关于经验和最佳做法信息的25个项目提出的数额为858 754美元的请求。\",\n \"12. 如2010年2月第三十二届会议所预计，由于2010年收到的捐款数额减少，而且没有任何认捐，董事会无法维持2010年的资助水平，不得不决定对2011年的赠款周期作出战略性削减。给予西欧和其他国家集团所属国家内项目的赠款一律削减20%，给予其他区域内项目的赠款一律削减10%。作为一项规则，给予新的受赠方的资助上限为20 000美元，而不是通常的50 000美元。此外，资助为援助受害者的专业人员举办的培训和研讨会的问题，被推迟到2011年2月第三十四届会议审议，并需视可用资源的情况而定。\",\n \"13. 董事会建议在2011年1月至12月期间为70多个国家中直接援助受害者的280多个进行中项目和23个新项目提供赠款，总额为9 525 050美元，将于2011年1月支付。高级专员于2010年11月22日代表秘书长批准了这些建议。\",\n \"14. 董事会建议为第三十三届会议未能审议的项目预留1 116 950美元，未审议这些项目是因为有待申请人提供资料或需要联合国工作人员赴实地了解情况。董事会将在第三十四届会议审议这些项目。\",\n \"15. 董事会于2011年1月31日至2月4日召开的第三十四届会议主要讨论政策问题并进行经验总结，以便向秘书长将于2011年8月指定的董事会新成员进行交接。董事会还审议了2011年为优先区域项目提出的额外赠款请求，并提供906 300美元给27个直接援助项目，包括15个进行中项目、7个新项目、5个在闭会期间收到申请的新项目以及9个培训和研讨会项目。此外，董事会与会员国、酷刑受害者援助领域的机构捐助者以及非政府组织代表举行了会议。\",\n \"16. 2010年2月至2011年8月期间，基金秘书处成员、董事会成员和联合国实地派驻机构在以下国家对已获得基金供资的组织或潜在受赠方进行了评价和监测访问：阿尔巴尼亚、安哥拉、阿根廷、澳大利亚、阿塞拜疆、孟加拉国、比利时、布隆迪、加拿大、智利、哥伦比亚、刚果民主共和国、厄瓜多尔、埃及、法国、德国、几内亚、匈牙利、印度、爱尔兰、意大利、哈萨克斯坦、莫桑比克、尼泊尔、巴基斯坦、巴拉圭、秘鲁、卢旺达、大韩民国、塞内加尔、南非、西班牙、泰国、土耳其、乌干达、联合王国、坦桑尼亚联合共和国、美利坚合众国和津巴布韦。\",\n \"A. 董事会通过的建议\",\n \"17. 基金董事会第三十三届和第三十四届会议建议在2011年1月至12月期间为70多个国家的330多个项目提供总额为10 431 350美元的赠款。董事会还建议，预留270 000美元，用作2011年闭会期间和(或)紧急情况下的赠款。下图显示按区域分列的赠款分配。\",\n \"2011年按区域分列的赠款\",\n \"(美元)\",\n \"[]\",\n \"B. 政策决定\",\n \"董事会第三十四届会议\",\n \"18. 董事会第三十四届会议讨论了关于与其他机构捐助方共享信息、监测和评价团以及外联问题。\",\n \"19. 董事会决定建立一个机制，定期向其他机构捐助方正式和非正式地提供信息和调查结果，说明有关项目遇到的严重管理和(或)财务问题，包括管理不善和可能的欺诈行为。\",\n \"20. 董事会同意基金秘书处参加与欧洲联盟委员会工作人员结成的联合监测和评价团。\",\n \"21. 董事会讨论了在2011年6月26日前后庆祝基金三十周年的活动日程，并向秘书处提出了建议。董事会希望抓住这一难得机会宣传基金的工作。在此方面创建了一个关于基金30年工作的特别网站。\",\n \"C. 与援助酷刑受害者领域的相关行为体举行会议\",\n \"董事会第三十四届会议\",\n \"22. 董事会在第三十四届会议期间，继续与援助酷刑受害者领域的其他机构捐助方举行会议这一做法，尤其是与欧洲联盟委员会欧洲民主与人权工具的代表举行会议的做法，以共享关于供资政策、评价和监测机制和结果以及建设受赠方能力举措的信息。\",\n \"23. 此外，董事会与会员国召开会议，有大约12个代表团出席了会议。在该会议上，董事会邀请了两个受赠方向董事会和会员国简要汇报在基金的支助下向受害者提供的援助。董事会提供详尽信息，说明了基金最近的发展，包括基金目前财务状况的挑战和对捐款数额在资金需求不断增长的情况下大幅减少的关切。\",\n \"四. 尚未执行的内部监督事务厅建议\",\n \"24. 内部监督事务厅认为，由于报告所述期间开展的工作，只有一项建议(关于加强管理制度的建议9)仍在执行中。\",\n \"建议9：加强管理制度\",\n \"25. 2012年的赠款申请以及对2011年赠款预算的修订继续通过基金的在线赠款系统提交。此外，新的受赠方外部报告模块已经完成并且投入使用，使受赠方可以在线提交关于2010年赠款使用情况的报告。秘书处继续通过电子邮件向使用该系统的所有组织提供直接技术援助服务，并回答来自新的和执行中的项目以及潜在受赠方的多次查询。\",\n \"26. 在报告所述期间，秘书处继续致力于进一步开发基金在线赠款系统的内部行政模块。因此，正在用多次查询功能完善和测试该模块，从而可以查询数据和生成内部报告。内部行政模块最后确定后，基金电子管理系统的引进即告完成，从而使内部监督事务厅报告(E/CN.4/2005/55)中的最后一个剩余建议得到了充分执行。\",\n \"五. 支持酷刑受害者国际日\",\n \"27. 2011年6月26日，禁止酷刑委员会、防范酷刑小组委员会、酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员以及联合国援助酷刑受害者自愿基金董事会为纪念支持酷刑受害者国际日和援助酷刑受害者自愿基金成立三十周年，发表声明如下:\",\n \"各国必须确保所有酷刑受害者获得赔偿，包括通过联合国自愿基金得到人道主义支持\",\n \"在最近世界很多国家举行的公共示威中，我们看到酷刑和虐待行为仍然普遍存在。必须重申，各国有责任防范、禁止、调查和惩处一切酷刑行为及其他形式的残忍、不人道或有辱人格的待遇。各国有责任尊重所有人的身心健全，为受害者和整个社会确保正义和问责，并将实施侵害者绳之以法。\",\n \"此外，各国必须确保酷刑或其他残忍、不人道或有辱人格的待遇或处罚受害者获得赔偿，包括补救，并获得公正和充足的补偿和得到适当和全面的康复服务。在此方面，我们感到关切的是，尽管国际法律和实践要求实行与补救和赔偿酷刑受害者有关的某些最低标准和原则，但一些国家仅赋予往往是不太大的而且在司法系统中居次要地位的正式权利。\",\n \"我们同样感到不满的是，使旨在为受害者补救和赔偿提供最低标准的基本原则和准则制度化的工作缺少进展。我们认为，受害者必须在追究实施酷刑者对其行为的责任方面发挥核心作用。我们想要强调，为酷刑受害者提供补救和赔偿的预防性功能是防止酷刑和其他残忍、不人道或有辱人格的待遇或处罚的法律义务的一部分。因此，我们继续支持那些致力于消除酷刑和确保所有酷刑受害者获得补救的国家、组织和其他民间社会机构。\",\n \"今年，联合国支持酷刑受害者国际日恰逢联合国援助酷刑受害者自愿基金成立三十周年。在过去的30年中，该基金为向酷刑受害者及其家属提供医疗、心理、法律、社会和财政援助的项目分发了1.2亿多美元，使受害者能够获得补救，并行使他们的可执行权利，以获得公平和充足的补偿，包括尽可能完全的康复。在该基金的支持下，医生、心理学家、法证专家、社会工作者、律师和其他有关个人或团体采取了以受害者为本的办法，常年协助他们的客户踏上重新开始生活的漫长道路，并与此同时记录酷刑的使用和影响。\",\n \"我们向联合国援助酷刑受害者自愿基金的所有捐助方表示感谢，该基金目前支持70多个国家中的300多个组织的工作，我们希望对基金的捐助会继续增加，从而使酷刑受害者及其家属得以获得他们所需要的援助。我们吁请所有国家，作为对酷刑受害者及其家属的康复所做的普遍承诺的一部分，向自愿基金提供慷慨捐助，使该基金能够继续为各组织提供资金，用于心理、医疗、社会、法律和经济援助。我们还呼吁各国通过财政和其他途径支持国内组织的工作，并为这些组织向酷刑受害者提供补救和康复援助创造一个有利的环境。\",\n \"我们还促请各国成为《禁止酷刑公约》的缔约国，根据《公约》第21条和第22条规定，做出关于国家间和个人申诉的声明，并成为《禁止酷刑公约任择议定书》的缔约国，以便最大限度地加强在反对酷刑斗争中的透明度和问责制。\",\n \"28. 为在2011年6月26日庆祝基金成立三十周年，董事会决定举办一个酷刑受害者制作的艺术作品和手工制品展览。该展览于2011年6月21日至30日在日内瓦万国宫举行，展出了受害者作为其康复进程的一部分所创作的绘画、雕塑及其他艺术表现形式。2011年6月27日，联合国日内瓦办事处总干事卡西姆-若马尔特·托卡耶夫、联合国人权事务高级专员纳瓦尼特姆·皮莱和董事会主席梅赛德斯·多雷蒂为该展览揭幕。\",\n \"六. 向基金捐款的方式\",\n \"29. 提供给基金的捐款应写明：“收款人：United Nations Voluntary Fund for Victims of Torture，account CH”。支付捐款可通过银行转账：(a) 美元：“United Nations Geneva General Fund”，account No. 485001802，J.P. Morgan Chase Bank，International Agencies Banking，1166，Avenue. of the Americas，17th floor，New York，N.Y. 10036-2708，United States of America (Swift code：CHAS US 33；ABA code：021000021)；(b) 欧元：“United Nations Office at Geneva”，account No. 23961901，J.P. Morgan Chase Bank，125 London Wall，London EC2Y 5AJ，United Kingdom (Swift code：CHAS GB 2L；sort code：60-92-42；IBAN：GB25 CHAS 6092 4223 9619 01)；(c) 英镑：“United Nations Office at Geneva”，account No.23961903，J.P. Morgan Chase Bank，125 London Wall，London EC2Y 5AJ，United Kingdom (Swift code：CHAS GB 2L；sort code：60-92-42；IBAN：GB25 CHAS 6092 4223 9619 03)；(d) 瑞士法郎：“United Nations Geneva General Fund”，account No.240-C0590160.0，UBS，rue du Rhône 8，Geneva 2，Switzerland (Swift code：UBSW CH ZH 12A；IBAN：CH65 0024 0240 CO59 0160 0)；(e) 任何其他货币：“United Nations Geneva General Fund”，account No.240-C0590160.1，UBS，rue du Rhône 8，Geneva 2，Switzerland (Swift code：UBSW CH ZH 12A；IBAN：CH65 0024 0240 CO59 0160 1)；或通过支票支付给“United Nations”，地址为：Trésorerie，Nations Unies，Palais des Nations，CH-1211 Geneva 10，Switzerland。请所有捐助方在付款后通知基金秘书处和联合国人权事务高级专员办事处资源调动股(最好附上一份银行转账通知复印件或支票复印件)，以便有效跟踪正式记录程序和编写秘书长的报告。\",\n \"七. 结论和建议\",\n \"30. 按照大会第65/205号决议的呼吁和秘书长的上一次报告(A/65/265)所载基金董事会的呼吁，请捐助方在董事会第三十五届会议(将于2011年10月17日至21日举行)开幕前向基金支付捐款，以便在该届会议上将这些捐款考虑在内。\",\n \"31. 鉴于2011年面临的困难财务状况，大会和董事会还再次呼吁经常捐助方尽可能增加对基金的捐助，以向董事会提供必要的资源，用来满足世界各地酷刑受害者及其亲属日益增长的需要。\",\n \"32. 董事会大力鼓励尚未向基金捐款的国家政府作出第一次捐款，最好能在2011年9月前这样做。\",\n \"––––––––––––––\"\n]"},"clean_en":{"kind":"list like","value":["Sixty-sixth session","* A/66/150.","Item 69 (a) of the provisional agenda*","Promotion and protection of human rights: implementation of human rights instruments","United Nations Voluntary Fund for Victims of Torture","Report of the Secretary-General","Summary","The present report is submitted in accordance with General Assembly resolutions 36/151 and 65/205. It describes the recommendations for grants to beneficiary organizations that were adopted by the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture at its thirty-third and thirty-fourth sessions. The report also provides information on policy decisions adopted by the Board in implementation of the recommendations made by the Office of Internal Oversight Services with a view to further enhancing the activities of the Fund.","I. Introduction","A. Submission of the report","1. The present report was prepared in accordance with the arrangements approved by the General Assembly in its resolution 36/151, by which it established the United Nations Voluntary Fund for Victims of Torture. It presents the recommendations adopted by the Board of Trustees of the Fund at its thirty-third and thirty-fourth sessions, which were held in Geneva from 18 to 22 October 2010 and from 31 January to 4 February 2011, respectively. The United Nations High Commissioner for Human Rights approved the recommendations on behalf of the Secretary-General. The present report complements the report on the activities of the Fund submitted to the Human Rights Council at its sixteenth session (A/HRC/16/31) in March 2011.","B. Mandate of the Fund","2. The Fund receives voluntary contributions from Governments, non‑governmental organizations and individuals. In accordance with the practice established by its Board of Trustees in 1982, the Fund provides grants to non‑governmental organizations that submit projects involving medical, psychological, social, financial, legal, and humanitarian or other forms of assistance to victims of torture and members of their families.","C. Board of Trustees","3. The Secretary-General administers the Fund through the Office of the United Nations High Commissioner for Human Rights with the advice of a Board of Trustees composed of five members acting in their personal capacity and appointed by the Secretary-General with due regard to equitable geographical distribution and in consultation with their Governments. In October 2008, the Secretary-General reappointed the following members for a final period of three years: Krassimir Kanev (Bulgaria), Savitri Goonesekere (Sri Lanka), Joseph Oloka-Onyango (Uganda) and Derrick Pounder (United Kingdom of Great Britain and Northern Ireland), and appointed Mercedes Doretti (Argentina) for a three-year term, renewable once.","4. The Board held its thirty-third session in Geneva from 18 to 22 October 2010 to examine applications for funding and make recommendations on grants to be allotted to beneficiary organizations for the period from January to December 2011. It held its thirty-fourth session from 31 January to 4 February 2011 to discuss mainly policy issues. At that session, the Board also awarded grants to projects from priority regions which had not been decided upon at its thirty-third session because insufficient information was available at that time, as well as to projects from priority regions which had applied in the period between sessions.","D. Admissibility criteria","5. Project admissibility criteria are outlined in the Fund’s guidelines. They require a project to be presented by a non-governmental organization. The beneficiaries must be direct victims of torture and/or direct family members. Priority is given to projects providing direct assistance to torture victims, which could consist in medical or psychological assistance, help with social or financial reintegration through vocational training for victims, and various forms of legal assistance for victims or members of their families, including assistance in seeking redress or applying for asylum. Depending on the resources available, the Fund may finance projects to organize training programmes, seminars or conferences to allow health-care professionals or other service providers to exchange best practices. However, grant requests for projects involving investigation, research, studies, publications or similar activities are not admissible.","6. The Fund can provide emergency assistance to individuals in countries where no project is receiving support. This type of request is examined according to a specific procedure outlined in the Fund’s guidelines. Detailed information on the various types of assistance provided through the projects financed by the Fund, as well as their impact on beneficiaries, can be found in the report of the Secretary-General to the General Assembly at its fifty-eighth session (A/58/284, paras. 27-34).","II. Financial situation of the Fund","7. From 2006 to 2010, the Board had progressively increased the amount awarded in grants to projects worldwide. This had been possible because the income used during that period included both the yearly voluntary contributions and unallocated amounts carried over from previous years. Those amounts resulted from more efficient management of the Fund, including the change in cycle, closer monitoring of grantees and stricter reporting requirements. The Board had decided to use the carry-overs to increase the level of funding to projects, particularly in priority regions.","8. For 2011, however, the Board faced a shortfall of over US$ 2 million to continue to meet requests from grantees at the 2010 level, and thus decided on strategic cuts for the 2011 grants cycle. If no additional contribution is received in 2011, for 2012, the Board will still face a significant shortfall and might have to maintain or increase the strategic cuts for the 2012 grants cycle and place additional limits on the support it provides to new projects.","9. On the basis of the requests received for 2011, it is expected that approximately $22 million will be requested by organizations for 2012.","Contributions and pledges received","10. The table shows the contributions and pledges received since the last report of the Secretary-General to the General Assembly on the activities of the Fund (A/65/265). These contributions will enable the Board to make recommendations for grants at its thirty-fifth session, to be held from 17 to 21 October 2011. Grants recommended at the next session of the Board will be disbursed in January 2012 for the period from 1 January to 31 December 2012.","Contributions and pledges received from 5 August 2010 to 22 July 2011","Donor States\tAmount(United Statesdollars)\tDate of receipt \n Andorra 28 550 21 December 2010 \n Argentina 3 405 31 January 2011 \n Canada 61 170 24 March 2011 \n Czech Republic 10 272 27 December 2010 \n Finland 180 025 3 September 2010 \n Germany 498 218 19 August 2010 \n Germany 407 407 11 May 2011 \n Greece 39 422 3 January 2011 \n Ireland 111 402 25 August 2010 \n Ireland 119 718 20 April 2011 \n Kuwait 10 000 7 April 2011 \n Liechtenstein 27 115 20 April 2011 \n Luxembourg 34 722 19 November 2010 \n Morocco 3 000 23 March 2011 \n Norway 164 826 24 August 2010 \n Norway 183 688 27 June 2011 \n Qatar 10 000 18 February 2011 \n Republic of Korea 95 000 21 November 2010 \n Republic of Korea 95 000 25 April 2011 \n South Africa 15 015 24 January 2011 \n Spain 334 672 29 December 2010 \n Turkey 10 000 23 August 2010 \n United Arab Emirates 9 982 9 May 2011 \nUnited States ofAmerica\t7 100 000\t13 September 2010\n Total contributions 9 552 609 \n Pledges 2011 \n Afghanistan 500 \n Belgium 284 900 \n Denmark 383 656 \n Total pledges 669 056","III. Thirty-third and thirty-fourth sessions of the Board of Trustees of the Fund","11. The thirty-third session of the Board of Trustees was held in Geneva from 18 to 22 October 2010. During that session, the Board examined information prepared by its secretariat concerning 327 projects, including new applications for 2011, and the analysis of narrative, financial and audit reports on the use of grants paid in previous years. It considered requests for new grants amounting to $20,688,284 for more than 300 projects providing direct assistance to victims of torture and their family members in 2011, as well as requests for 25 projects amounting to $858,754 for training and seminars for professionals assisting victims to exchange information on experiences and best practices.","12. As foreseen at its thirty-second session in February 2010, because of the decrease in the level of contributions received and the absence of pledges made in 2010, the Board was not in a position to maintain the level of funding of 2010 and had to decide on strategic cuts for the 2011 grants cycle. A decrease of 20 per cent was applied to all grants for projects located in countries in the group of Western European and other States, while all grants for projects located in other regions were reduced by 10 per cent. As a rule, support to new grantees was capped at a maximum of $20,000 instead of the usual $50,000. In addition, consideration of funding for training and seminars for professionals assisting victims was postponed to the thirty-fourth session in February 2011, subject to the availability of resources.","13. The Board of Trustees made recommendations for grants for the period from January to December 2011 for over 280 ongoing and 23 new projects of direct assistance in more than 70 countries, for a total amount of $9,525,050, to be paid in January 2011. The High Commissioner approved the recommendations on 22 November 2010 on behalf of the Secretary-General.","14. The Board recommended that $1,116,950 be set aside for projects that the Board could not consider at its thirty-third session because information to be submitted by the applicants was pending or visits had not yet been undertaken by a United Nations staff member, and which would be considered by the Board at its thirty-fourth session.","15. The thirty-fourth session of the Board of Trustees, held from 31 January to 4 February 2011, was devoted mainly to the discussion of policy issues, as well as a lessons-learned exercise to be used as a handover tool for the new members of the Board to be designated in August 2011 by the Secretary-General. The Board also considered additional grant requests for 2011 from projects in priority regions, and awarded $906,300 for 27 direct assistance projects, including 15 ongoing projects, 7 new projects, 5 new projects for which applications were received in the intersessional period, and 9 projects for training and seminars. In addition, the Board held meetings with Member States, institutional donors in the field of assistance to victims of torture, and representatives of non-governmental organizations.","16. From February 2010 to August 2011, evaluation and monitoring visits of organizations already funded by the Fund or of potential grantees were undertaken by the members of the Fund secretariat, Board members and United Nations field presences in the following countries: Albania, Angola, Argentina, Australia, Azerbaijan, Bangladesh, Belgium, Burundi, Canada, Chile, Colombia, Democratic Republic of the Congo, Ecuador, Egypt, France, Germany, Guinea, Hungary, India, Ireland, Italy, Kazakhstan, Mozambique, Nepal, Pakistan, Paraguay, Peru, Rwanda, Republic of Korea, Senegal, South Africa, Spain, Thailand, Turkey, Uganda, United Kingdom, United Republic of Tanzania, United States of America and Zimbabwe.","A. Recommendations adopted by the Board","17. At its thirty-third and thirty-fourth sessions, the Board of Trustees of the Fund made recommendations for grants for the period from January to December 2011 for more than 330 projects in over 70 countries, for a total amount of $10,431,350. The Board also recommended that $270,000 be set aside for intersessional and/or emergency grants for the year 2011. The figure shows the allocation of grants by region.","Grants awarded in 2011 by region","(United States dollars)","[]","B. Policy decisions","Thirty-fourth session of the Board of Trustees","18. At its thirty-fourth session, the Board discussed issues related to information-sharing with other institutional donors, monitoring and evaluation missions and outreach.","19. The Board decided to establish a mechanism to make available to other institutional donors, formally and informally, and on a regular basis, information and findings regarding projects experiencing serious managerial and/or financial problems, including mismanagement and possible fraud.","20. The Board agreed to have the secretariat of the Fund participate in joint monitoring and evaluation missions with staff of the European Commission.","21. The Board discussed and made recommendations to the secretariat on a programme of events to commemorate the thirtieth anniversary of the Fund around the date of 26 June 2011. The Board wanted to seize this occasion as a memorable opportunity to promote the work of the Fund. In that context a special website on the 30 years of the Fund was created.","C. Meetings with relevant actors in the field of assistance to victims of torture","Thirty-fourth session of the Board of Trustees","22. During the thirty-fourth session, the Board continued its practice of meeting with other institutional donors in the field of assistance to victims of torture, in particular with the representative of the European Instrument for Democracy and Human Rights of the European Commission, with a view to sharing information on their funding policies, evaluation and monitoring mechanisms and results and initiatives to build the capacity of grantees.","23. In addition, the Board held a meeting with Member States which was attended by some 12 delegations. In the context of that meeting, the Board invited two grantees to brief the Board and Member States on the assistance provided to victims with the support of the Fund. The Board provided extensive information on the Fund’s recent developments, including the challenge of the current financial situation of the Fund and its concern about the significant decrease in contributions in the face of an ever-increasing demand for funding.","IV. Outstanding recommendations of the Office of Internal Oversight Services","24. As a result of the work undertaken during the reporting period, the Office of Internal Oversight Services considers that only one recommendation, No. 9, on a strengthened management system, is still being implemented.","Recommendation 9: strengthened management system","25. Applications for grants for 2012, as well as revisions of grants under the budget for 2011, continued to be submitted through the online grants system of the Fund. Moreover, the new external reporting module for grantees has been completed and put into service, enabling grantees to submit reports on the use of 2010 grants online. The secretariat continued to offer a direct technical assistance service via e‑mail to all organizations using the system and replied to multiple queries from new and ongoing projects as well as potential grantees.","26. During the reporting period, the secretariat continued working on the further development of the internal administration module of the online grant system of the Fund. As a result, the internal administration module is currently being refined and tested with multiple query functions enabling the search of data and the generation of internal reports. The finalization of the internal administration module will bring to completion the introduction of an electronic management system for the Fund, resulting in the full implementation of the last remaining recommendation made by the Office of Internal Oversight Services in its report (E/CN.4/2005/55).","V. International Day in Support of Victims of Torture","27. On 26 June 2011, the Committee against Torture, the Subcommittee on Prevention of Torture, the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment and the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture made the following statement to commemorate the International Day in Support of Victims of Torture and the thirtieth anniversary of the Voluntary Fund for Victims of Torture:","States must ensure that all victims of torture obtain reparation, including humanitarian support through the United Nations Voluntary Fund","We have seen torture and ill-treatment continue to be widely practised in recent public demonstrations that have been held in numerous countries around the world. It is essential to reiterate that it is the obligation of States to prevent, prohibit, investigate and punish all acts of torture and other forms of cruel, inhuman or degrading treatment. It is the obligation of States to respect the physical and mental integrity of all persons, ensure justice and accountability for victims and for the community as a whole, and bring those responsible for violations to justice.","Moreover, States must ensure that victims of torture or other cruel, inhuman or degrading treatment or punishment obtain reparation, including redress, and are awarded fair and adequate compensation and receive appropriate and comprehensive rehabilitation services. In this context, while international law and practice requires certain minimum standards and principles in relation to redress and reparations for victims of torture, we are concerned that some States only award formal rights which are often modest and peripheral to the justice systems.","We are equally dissatisfied by the lack of progress in institutionalizing basic principles and guidelines which seek to provide minimum standards for redress and reparations to victims. It is our conviction that victims must have a central role in holding torturers accountable for their actions. We would like to underline the preventive function of redress and reparation for victims of torture as part of the legal obligation to prevent torture and other cruel, inhuman or degrading treatment or punishment. We therefore continue to support those States, organizations and other organs of civil society that are committed to eradicating torture and securing redress for all torture victims.","This year, the United Nations International Day in Support of Victims of Torture coincides with the thirtieth anniversary of the United Nations Voluntary Fund for Victims of Torture. During the past 30 years, the Fund has distributed over US$ 120 million to projects providing medical, psychological, legal, social and financial assistance to victims of torture and their family members, enabling victims to obtain redress and exercise their enforceable right to fair and adequate compensation, including as full a rehabilitation as possible. With the Fund’s support, physicians, psychologists, forensics experts, social workers, lawyers and other concerned individuals or groups have employed a victim-centred approach to assist their clients for years on their long journey rebuilding their lives, while at the same time documenting the use and effects of torture.","We express our gratitude to all donors to the United Nations Voluntary Fund for Victims of Torture, which currently supports the work of over 300 organizations in more than 70 countries, and hope that contributions to the Fund will continue to increase to make it possible for victims of torture and members of their families to receive the assistance they need. We call on all States to contribute generously to the Voluntary Fund as part of a universal commitment for the rehabilitation of torture victims and their families so as to enable it to continue providing organizations with funds for psychological, medical, social, legal and economic assistance. We also call upon States to support the work of the domestic organizations through financial and other means, as well as create an enabling environment for the organizations to provide redress and rehabilitation for torture victims.","We further urge all States to become parties to the Convention against Torture and make the declarations provided under articles 21 and 22 of the Convention, on inter-State and individual complaints, as well as become parties to the Optional Protocol to the Convention against Torture, in order to maximize transparency and accountability in their fight against torture.","28. With the view to celebrating the thirtieth anniversary of the Fund on 26 June 2011, the Board of Trustees decided to organize an exhibition of artwork and artefacts made by victims of torture. The exhibition was held at the Palais des Nations in Geneva from 21 to 30 June 2011 and presented paintings, sculptures and other types of artistic expression created by the victims as part of their rehabilitation process. The exhibition was opened on 27 June 2011 by the Director-General of the United Nations Office at Geneva, Kassym-Jomart Tokayev; the United Nations High Commissioner for Human Rights, Navanethem Pillay; and the Chair of the Board of Trustees, Mercedes Doretti.","VI. How to make a contribution to the Fund","29. Contributions to the Fund should always be marked as follows: “payee: United Nations Voluntary Fund for Victims of Torture, account CH”. Payments may be made either by bank transfer (a) in United States dollars to “United Nations Geneva General Fund”, account No. 485001802, J.P. Morgan Chase Bank, International Agencies Banking, 1166 Ave. of the Americas, 17th floor, New York, NY 10036-2708, United States of America (Swift code: CHAS US 33; ABA code: 021000021); (b) in euros to “United Nations Office at Geneva”, account No. 23961901, J.P. Morgan Chase Bank, 125 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, sort code: 60-92-42, IBAN: GB25 CHAS 6092 4223 9619 01); (c) in pounds sterling to “United Nations Office at Geneva”, account No. 23961903, J.P. Morgan Chase Bank, 125 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, sort code: 60-92-42, IBAN: GB25 CHAS 6092 4223 9619 03); (d) in Swiss francs to “United Nations Geneva General Fund”, account No. 240-C0590160.0, UBS, rue du Rhône 8, Geneva 2, Switzerland (Swift code: UBSW CH ZH 12A; IBAN: CH65 0024 0240 CO59 0160 0); (e) in any other currency to “United Nations Geneva General Fund”, account No. 240-C0590160.1, UBS, rue du Rhône 8, Geneva 2, Switzerland (Swift code: UBSW CH ZH 12A; IBAN: CH65 0024 0240 CO59 0160 1); or by cheque payable to “United Nations” addressed to: Trésorerie, Nations Unies, Palais des Nations, CH 1211 Geneva 10, Switzerland. Donors are requested to inform the secretariat of the Fund and the Resource Mobilization Unit of the Office of the United Nations High Commissioner for Human Rights when a payment has been made (a copy of the bank transfer order or of the cheque would be appreciated) to facilitate effective follow-up on the official recording procedure and preparation of the reports of the Secretary-General.","VII. Conclusions and recommendations","30. Pursuant to the appeals made by the General Assembly in its resolution 65/205 and by the Board of Trustees of the Fund as included in the previous report of the Secretary-General (A/65/265), donors are invited to pay their contributions to the Fund before the opening of the thirty-fifth session of the Board (to be held from 17 to 21 October 2011), in order that the contributions may be taken into account at that session.","31. In the light of the difficult financial situation faced in 2011, the General Assembly and the Board have also reiterated their call to regular donors to increase, as much as possible, their contributions to the Fund in order to provide the Board with the necessary resources to meet the growing needs of victims of torture and members of their families worldwide.","32. The Board strongly encourages Governments that have not yet contributed to the Fund to do so for the first time, preferably before September 2011."],"string":"[\n \"Sixty-sixth session\",\n \"* A/66/150.\",\n \"Item 69 (a) of the provisional agenda*\",\n \"Promotion and protection of human rights: implementation of human rights instruments\",\n \"United Nations Voluntary Fund for Victims of Torture\",\n \"Report of the Secretary-General\",\n \"Summary\",\n \"The present report is submitted in accordance with General Assembly resolutions 36/151 and 65/205. It describes the recommendations for grants to beneficiary organizations that were adopted by the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture at its thirty-third and thirty-fourth sessions. The report also provides information on policy decisions adopted by the Board in implementation of the recommendations made by the Office of Internal Oversight Services with a view to further enhancing the activities of the Fund.\",\n \"I. Introduction\",\n \"A. Submission of the report\",\n \"1. The present report was prepared in accordance with the arrangements approved by the General Assembly in its resolution 36/151, by which it established the United Nations Voluntary Fund for Victims of Torture. It presents the recommendations adopted by the Board of Trustees of the Fund at its thirty-third and thirty-fourth sessions, which were held in Geneva from 18 to 22 October 2010 and from 31 January to 4 February 2011, respectively. The United Nations High Commissioner for Human Rights approved the recommendations on behalf of the Secretary-General. The present report complements the report on the activities of the Fund submitted to the Human Rights Council at its sixteenth session (A/HRC/16/31) in March 2011.\",\n \"B. Mandate of the Fund\",\n \"2. The Fund receives voluntary contributions from Governments, non‑governmental organizations and individuals. In accordance with the practice established by its Board of Trustees in 1982, the Fund provides grants to non‑governmental organizations that submit projects involving medical, psychological, social, financial, legal, and humanitarian or other forms of assistance to victims of torture and members of their families.\",\n \"C. Board of Trustees\",\n \"3. The Secretary-General administers the Fund through the Office of the United Nations High Commissioner for Human Rights with the advice of a Board of Trustees composed of five members acting in their personal capacity and appointed by the Secretary-General with due regard to equitable geographical distribution and in consultation with their Governments. In October 2008, the Secretary-General reappointed the following members for a final period of three years: Krassimir Kanev (Bulgaria), Savitri Goonesekere (Sri Lanka), Joseph Oloka-Onyango (Uganda) and Derrick Pounder (United Kingdom of Great Britain and Northern Ireland), and appointed Mercedes Doretti (Argentina) for a three-year term, renewable once.\",\n \"4. The Board held its thirty-third session in Geneva from 18 to 22 October 2010 to examine applications for funding and make recommendations on grants to be allotted to beneficiary organizations for the period from January to December 2011. It held its thirty-fourth session from 31 January to 4 February 2011 to discuss mainly policy issues. At that session, the Board also awarded grants to projects from priority regions which had not been decided upon at its thirty-third session because insufficient information was available at that time, as well as to projects from priority regions which had applied in the period between sessions.\",\n \"D. Admissibility criteria\",\n \"5. Project admissibility criteria are outlined in the Fund’s guidelines. They require a project to be presented by a non-governmental organization. The beneficiaries must be direct victims of torture and/or direct family members. Priority is given to projects providing direct assistance to torture victims, which could consist in medical or psychological assistance, help with social or financial reintegration through vocational training for victims, and various forms of legal assistance for victims or members of their families, including assistance in seeking redress or applying for asylum. Depending on the resources available, the Fund may finance projects to organize training programmes, seminars or conferences to allow health-care professionals or other service providers to exchange best practices. However, grant requests for projects involving investigation, research, studies, publications or similar activities are not admissible.\",\n \"6. The Fund can provide emergency assistance to individuals in countries where no project is receiving support. This type of request is examined according to a specific procedure outlined in the Fund’s guidelines. Detailed information on the various types of assistance provided through the projects financed by the Fund, as well as their impact on beneficiaries, can be found in the report of the Secretary-General to the General Assembly at its fifty-eighth session (A/58/284, paras. 27-34).\",\n \"II. Financial situation of the Fund\",\n \"7. From 2006 to 2010, the Board had progressively increased the amount awarded in grants to projects worldwide. This had been possible because the income used during that period included both the yearly voluntary contributions and unallocated amounts carried over from previous years. Those amounts resulted from more efficient management of the Fund, including the change in cycle, closer monitoring of grantees and stricter reporting requirements. The Board had decided to use the carry-overs to increase the level of funding to projects, particularly in priority regions.\",\n \"8. For 2011, however, the Board faced a shortfall of over US$ 2 million to continue to meet requests from grantees at the 2010 level, and thus decided on strategic cuts for the 2011 grants cycle. If no additional contribution is received in 2011, for 2012, the Board will still face a significant shortfall and might have to maintain or increase the strategic cuts for the 2012 grants cycle and place additional limits on the support it provides to new projects.\",\n \"9. On the basis of the requests received for 2011, it is expected that approximately $22 million will be requested by organizations for 2012.\",\n \"Contributions and pledges received\",\n \"10. The table shows the contributions and pledges received since the last report of the Secretary-General to the General Assembly on the activities of the Fund (A/65/265). These contributions will enable the Board to make recommendations for grants at its thirty-fifth session, to be held from 17 to 21 October 2011. Grants recommended at the next session of the Board will be disbursed in January 2012 for the period from 1 January to 31 December 2012.\",\n \"Contributions and pledges received from 5 August 2010 to 22 July 2011\",\n \"Donor States\\tAmount(United Statesdollars)\\tDate of receipt \\n Andorra 28 550 21 December 2010 \\n Argentina 3 405 31 January 2011 \\n Canada 61 170 24 March 2011 \\n Czech Republic 10 272 27 December 2010 \\n Finland 180 025 3 September 2010 \\n Germany 498 218 19 August 2010 \\n Germany 407 407 11 May 2011 \\n Greece 39 422 3 January 2011 \\n Ireland 111 402 25 August 2010 \\n Ireland 119 718 20 April 2011 \\n Kuwait 10 000 7 April 2011 \\n Liechtenstein 27 115 20 April 2011 \\n Luxembourg 34 722 19 November 2010 \\n Morocco 3 000 23 March 2011 \\n Norway 164 826 24 August 2010 \\n Norway 183 688 27 June 2011 \\n Qatar 10 000 18 February 2011 \\n Republic of Korea 95 000 21 November 2010 \\n Republic of Korea 95 000 25 April 2011 \\n South Africa 15 015 24 January 2011 \\n Spain 334 672 29 December 2010 \\n Turkey 10 000 23 August 2010 \\n United Arab Emirates 9 982 9 May 2011 \\nUnited States ofAmerica\\t7 100 000\\t13 September 2010\\n Total contributions 9 552 609 \\n Pledges 2011 \\n Afghanistan 500 \\n Belgium 284 900 \\n Denmark 383 656 \\n Total pledges 669 056\",\n \"III. Thirty-third and thirty-fourth sessions of the Board of Trustees of the Fund\",\n \"11. The thirty-third session of the Board of Trustees was held in Geneva from 18 to 22 October 2010. During that session, the Board examined information prepared by its secretariat concerning 327 projects, including new applications for 2011, and the analysis of narrative, financial and audit reports on the use of grants paid in previous years. It considered requests for new grants amounting to $20,688,284 for more than 300 projects providing direct assistance to victims of torture and their family members in 2011, as well as requests for 25 projects amounting to $858,754 for training and seminars for professionals assisting victims to exchange information on experiences and best practices.\",\n \"12. As foreseen at its thirty-second session in February 2010, because of the decrease in the level of contributions received and the absence of pledges made in 2010, the Board was not in a position to maintain the level of funding of 2010 and had to decide on strategic cuts for the 2011 grants cycle. A decrease of 20 per cent was applied to all grants for projects located in countries in the group of Western European and other States, while all grants for projects located in other regions were reduced by 10 per cent. As a rule, support to new grantees was capped at a maximum of $20,000 instead of the usual $50,000. In addition, consideration of funding for training and seminars for professionals assisting victims was postponed to the thirty-fourth session in February 2011, subject to the availability of resources.\",\n \"13. The Board of Trustees made recommendations for grants for the period from January to December 2011 for over 280 ongoing and 23 new projects of direct assistance in more than 70 countries, for a total amount of $9,525,050, to be paid in January 2011. The High Commissioner approved the recommendations on 22 November 2010 on behalf of the Secretary-General.\",\n \"14. The Board recommended that $1,116,950 be set aside for projects that the Board could not consider at its thirty-third session because information to be submitted by the applicants was pending or visits had not yet been undertaken by a United Nations staff member, and which would be considered by the Board at its thirty-fourth session.\",\n \"15. The thirty-fourth session of the Board of Trustees, held from 31 January to 4 February 2011, was devoted mainly to the discussion of policy issues, as well as a lessons-learned exercise to be used as a handover tool for the new members of the Board to be designated in August 2011 by the Secretary-General. The Board also considered additional grant requests for 2011 from projects in priority regions, and awarded $906,300 for 27 direct assistance projects, including 15 ongoing projects, 7 new projects, 5 new projects for which applications were received in the intersessional period, and 9 projects for training and seminars. In addition, the Board held meetings with Member States, institutional donors in the field of assistance to victims of torture, and representatives of non-governmental organizations.\",\n \"16. From February 2010 to August 2011, evaluation and monitoring visits of organizations already funded by the Fund or of potential grantees were undertaken by the members of the Fund secretariat, Board members and United Nations field presences in the following countries: Albania, Angola, Argentina, Australia, Azerbaijan, Bangladesh, Belgium, Burundi, Canada, Chile, Colombia, Democratic Republic of the Congo, Ecuador, Egypt, France, Germany, Guinea, Hungary, India, Ireland, Italy, Kazakhstan, Mozambique, Nepal, Pakistan, Paraguay, Peru, Rwanda, Republic of Korea, Senegal, South Africa, Spain, Thailand, Turkey, Uganda, United Kingdom, United Republic of Tanzania, United States of America and Zimbabwe.\",\n \"A. Recommendations adopted by the Board\",\n \"17. At its thirty-third and thirty-fourth sessions, the Board of Trustees of the Fund made recommendations for grants for the period from January to December 2011 for more than 330 projects in over 70 countries, for a total amount of $10,431,350. The Board also recommended that $270,000 be set aside for intersessional and/or emergency grants for the year 2011. The figure shows the allocation of grants by region.\",\n \"Grants awarded in 2011 by region\",\n \"(United States dollars)\",\n \"[]\",\n \"B. Policy decisions\",\n \"Thirty-fourth session of the Board of Trustees\",\n \"18. At its thirty-fourth session, the Board discussed issues related to information-sharing with other institutional donors, monitoring and evaluation missions and outreach.\",\n \"19. The Board decided to establish a mechanism to make available to other institutional donors, formally and informally, and on a regular basis, information and findings regarding projects experiencing serious managerial and/or financial problems, including mismanagement and possible fraud.\",\n \"20. The Board agreed to have the secretariat of the Fund participate in joint monitoring and evaluation missions with staff of the European Commission.\",\n \"21. The Board discussed and made recommendations to the secretariat on a programme of events to commemorate the thirtieth anniversary of the Fund around the date of 26 June 2011. The Board wanted to seize this occasion as a memorable opportunity to promote the work of the Fund. In that context a special website on the 30 years of the Fund was created.\",\n \"C. Meetings with relevant actors in the field of assistance to victims of torture\",\n \"Thirty-fourth session of the Board of Trustees\",\n \"22. During the thirty-fourth session, the Board continued its practice of meeting with other institutional donors in the field of assistance to victims of torture, in particular with the representative of the European Instrument for Democracy and Human Rights of the European Commission, with a view to sharing information on their funding policies, evaluation and monitoring mechanisms and results and initiatives to build the capacity of grantees.\",\n \"23. In addition, the Board held a meeting with Member States which was attended by some 12 delegations. In the context of that meeting, the Board invited two grantees to brief the Board and Member States on the assistance provided to victims with the support of the Fund. The Board provided extensive information on the Fund’s recent developments, including the challenge of the current financial situation of the Fund and its concern about the significant decrease in contributions in the face of an ever-increasing demand for funding.\",\n \"IV. Outstanding recommendations of the Office of Internal Oversight Services\",\n \"24. As a result of the work undertaken during the reporting period, the Office of Internal Oversight Services considers that only one recommendation, No. 9, on a strengthened management system, is still being implemented.\",\n \"Recommendation 9: strengthened management system\",\n \"25. Applications for grants for 2012, as well as revisions of grants under the budget for 2011, continued to be submitted through the online grants system of the Fund. Moreover, the new external reporting module for grantees has been completed and put into service, enabling grantees to submit reports on the use of 2010 grants online. The secretariat continued to offer a direct technical assistance service via e‑mail to all organizations using the system and replied to multiple queries from new and ongoing projects as well as potential grantees.\",\n \"26. During the reporting period, the secretariat continued working on the further development of the internal administration module of the online grant system of the Fund. As a result, the internal administration module is currently being refined and tested with multiple query functions enabling the search of data and the generation of internal reports. The finalization of the internal administration module will bring to completion the introduction of an electronic management system for the Fund, resulting in the full implementation of the last remaining recommendation made by the Office of Internal Oversight Services in its report (E/CN.4/2005/55).\",\n \"V. International Day in Support of Victims of Torture\",\n \"27. On 26 June 2011, the Committee against Torture, the Subcommittee on Prevention of Torture, the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment and the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture made the following statement to commemorate the International Day in Support of Victims of Torture and the thirtieth anniversary of the Voluntary Fund for Victims of Torture:\",\n \"States must ensure that all victims of torture obtain reparation, including humanitarian support through the United Nations Voluntary Fund\",\n \"We have seen torture and ill-treatment continue to be widely practised in recent public demonstrations that have been held in numerous countries around the world. It is essential to reiterate that it is the obligation of States to prevent, prohibit, investigate and punish all acts of torture and other forms of cruel, inhuman or degrading treatment. It is the obligation of States to respect the physical and mental integrity of all persons, ensure justice and accountability for victims and for the community as a whole, and bring those responsible for violations to justice.\",\n \"Moreover, States must ensure that victims of torture or other cruel, inhuman or degrading treatment or punishment obtain reparation, including redress, and are awarded fair and adequate compensation and receive appropriate and comprehensive rehabilitation services. In this context, while international law and practice requires certain minimum standards and principles in relation to redress and reparations for victims of torture, we are concerned that some States only award formal rights which are often modest and peripheral to the justice systems.\",\n \"We are equally dissatisfied by the lack of progress in institutionalizing basic principles and guidelines which seek to provide minimum standards for redress and reparations to victims. It is our conviction that victims must have a central role in holding torturers accountable for their actions. We would like to underline the preventive function of redress and reparation for victims of torture as part of the legal obligation to prevent torture and other cruel, inhuman or degrading treatment or punishment. We therefore continue to support those States, organizations and other organs of civil society that are committed to eradicating torture and securing redress for all torture victims.\",\n \"This year, the United Nations International Day in Support of Victims of Torture coincides with the thirtieth anniversary of the United Nations Voluntary Fund for Victims of Torture. During the past 30 years, the Fund has distributed over US$ 120 million to projects providing medical, psychological, legal, social and financial assistance to victims of torture and their family members, enabling victims to obtain redress and exercise their enforceable right to fair and adequate compensation, including as full a rehabilitation as possible. With the Fund’s support, physicians, psychologists, forensics experts, social workers, lawyers and other concerned individuals or groups have employed a victim-centred approach to assist their clients for years on their long journey rebuilding their lives, while at the same time documenting the use and effects of torture.\",\n \"We express our gratitude to all donors to the United Nations Voluntary Fund for Victims of Torture, which currently supports the work of over 300 organizations in more than 70 countries, and hope that contributions to the Fund will continue to increase to make it possible for victims of torture and members of their families to receive the assistance they need. We call on all States to contribute generously to the Voluntary Fund as part of a universal commitment for the rehabilitation of torture victims and their families so as to enable it to continue providing organizations with funds for psychological, medical, social, legal and economic assistance. We also call upon States to support the work of the domestic organizations through financial and other means, as well as create an enabling environment for the organizations to provide redress and rehabilitation for torture victims.\",\n \"We further urge all States to become parties to the Convention against Torture and make the declarations provided under articles 21 and 22 of the Convention, on inter-State and individual complaints, as well as become parties to the Optional Protocol to the Convention against Torture, in order to maximize transparency and accountability in their fight against torture.\",\n \"28. With the view to celebrating the thirtieth anniversary of the Fund on 26 June 2011, the Board of Trustees decided to organize an exhibition of artwork and artefacts made by victims of torture. The exhibition was held at the Palais des Nations in Geneva from 21 to 30 June 2011 and presented paintings, sculptures and other types of artistic expression created by the victims as part of their rehabilitation process. The exhibition was opened on 27 June 2011 by the Director-General of the United Nations Office at Geneva, Kassym-Jomart Tokayev; the United Nations High Commissioner for Human Rights, Navanethem Pillay; and the Chair of the Board of Trustees, Mercedes Doretti.\",\n \"VI. How to make a contribution to the Fund\",\n \"29. Contributions to the Fund should always be marked as follows: “payee: United Nations Voluntary Fund for Victims of Torture, account CH”. Payments may be made either by bank transfer (a) in United States dollars to “United Nations Geneva General Fund”, account No. 485001802, J.P. Morgan Chase Bank, International Agencies Banking, 1166 Ave. of the Americas, 17th floor, New York, NY 10036-2708, United States of America (Swift code: CHAS US 33; ABA code: 021000021); (b) in euros to “United Nations Office at Geneva”, account No. 23961901, J.P. Morgan Chase Bank, 125 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, sort code: 60-92-42, IBAN: GB25 CHAS 6092 4223 9619 01); (c) in pounds sterling to “United Nations Office at Geneva”, account No. 23961903, J.P. Morgan Chase Bank, 125 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, sort code: 60-92-42, IBAN: GB25 CHAS 6092 4223 9619 03); (d) in Swiss francs to “United Nations Geneva General Fund”, account No. 240-C0590160.0, UBS, rue du Rhône 8, Geneva 2, Switzerland (Swift code: UBSW CH ZH 12A; IBAN: CH65 0024 0240 CO59 0160 0); (e) in any other currency to “United Nations Geneva General Fund”, account No. 240-C0590160.1, UBS, rue du Rhône 8, Geneva 2, Switzerland (Swift code: UBSW CH ZH 12A; IBAN: CH65 0024 0240 CO59 0160 1); or by cheque payable to “United Nations” addressed to: Trésorerie, Nations Unies, Palais des Nations, CH 1211 Geneva 10, Switzerland. Donors are requested to inform the secretariat of the Fund and the Resource Mobilization Unit of the Office of the United Nations High Commissioner for Human Rights when a payment has been made (a copy of the bank transfer order or of the cheque would be appreciated) to facilitate effective follow-up on the official recording procedure and preparation of the reports of the Secretary-General.\",\n \"VII. Conclusions and recommendations\",\n \"30. Pursuant to the appeals made by the General Assembly in its resolution 65/205 and by the Board of Trustees of the Fund as included in the previous report of the Secretary-General (A/65/265), donors are invited to pay their contributions to the Fund before the opening of the thirty-fifth session of the Board (to be held from 17 to 21 October 2011), in order that the contributions may be taken into account at that session.\",\n \"31. In the light of the difficult financial situation faced in 2011, the General Assembly and the Board have also reiterated their call to regular donors to increase, as much as possible, their contributions to the Fund in order to provide the Board with the necessary resources to meet the growing needs of victims of torture and members of their families worldwide.\",\n \"32. The Board strongly encourages Governments that have not yet contributed to the Fund to do so for the first time, preferably before September 2011.\"\n]"},"record":{"kind":"string","value":"A_66_276"},"zh2en":{"kind":"list like","value":["Sixty-sixth session","Item 69 (a) of the provisional agenda","Promotion and protection of human rights: implementation of human rights instruments","United Nations Voluntary Fund for Victims of Torture","Report of the Secretary-General","Summary","The present report is submitted pursuant to General Assembly resolutions 36/151 and 3905, describing the recommendations for grants to beneficiary organizations adopted by the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture at its thirty-third and thirty-fourth sessions. The report also describes the policy decisions adopted by the Board to implement the recommendations of the Office of Internal Oversight Services to further enhance the activities of the Fund.","∗ A/63/250.","Introduction","Reports","The present report is prepared in accordance with the arrangements approved by the General Assembly in its resolution 36/151 on the establishment of the United Nations Voluntary Fund for Victims of Torture. The report describes the recommendations adopted by the Board of Trustees of the Fund at its thirty-third and thirty-fourth sessions, held in Geneva from 18 to 22 October 2010 and from 31 January to 4 February 2011. The United Nations High Commissioner for Human Rights approved those recommendations on behalf of the Secretary-General. The present report complements the report on the activities of the Fund submitted to the sixteenth session of the Human Rights Council in March 2011 (A/HRC/16/31).","Mandate of the Fund","The Fund receives voluntary contributions from Governments, non-governmental organizations and individuals. In accordance with the practice established by the Board in 1982, the Fund provides grants to non-governmental organizations that have submitted projects involving medical, psychological, social, financial, legal and humanitarian or other forms of assistance to victims of torture and their families.","C. Board","The Secretary-General manages the Fund through the Office of the United Nations High Commissioner for Human Rights and receives the Board's observations. The Board is composed of five members who serve in their personal capacity and appointed by the Secretary-General in full respect for equitable geographical distribution and in consultation with their Governments. In October 2008, the Secretary-General again appointed the following members for a three-year term: Clarmir Karinov (Bulgaria), Saveter cereals Sectionre (Sri Lanka), Joseph Oloka-Onnyango (Uganda) and Delhi Pu Del (United Kingdom of Great Britain and Northern Ireland) and appointed Medez Dominti (Argentina) for a three-year term, renewable once.","At its thirty-third session, held in Geneva from 18 to 22 October 2010, the Board reviewed requests for funding and made recommendations for the allocation of grants to beneficiary organizations between January and December 2011. At its thirty-fourth session, held from 31 January to 4 February 2011, the Board focused on policy issues. At that meeting, the Board also granted grants to priority regional projects that had not been decided at its thirty-third session owing to lack of sufficient information and priority regional projects for intersessional requests.","Acceptance criteria","The criteria for the processing of projects outlined in the Fund guidelines stipulate that the project must be submitted by non-governmental organizations. The beneficiaries must be victims of torture and/or their immediate family members. Priority is given to projects that provide direct assistance to victims of torture. These projects may include medical or psychological assistance; assistance for the reintegration of victims through vocational training or income; various forms of legal assistance to victims or families, including assistance in seeking redress or asylum. In accordance with existing funding, the Fund may fund projects to organize training programmes, seminars or conferences that enable professional medical personnel or other service providers to share best practices. However, the Fund does not receive requests for grants for projects involving investigation, research, publications or similar activities.","In countries where projects are not supported by the Fund, the Fund may provide emergency assistance to individuals. Such requests shall be reviewed in accordance with a specific procedure set out in the guidelines of the Fund. Details on the types of assistance provided through projects financed by the Fund and their impact on beneficiaries can be found in the report of the Secretary-General to the General Assembly at its fifty-eighth session (A/58/284, paras.","Financial situation of the Fund","Between 2006 and 2010, the Board increased its grant to projects around the world by year. This could be done because the income used during that period included annual voluntary contributions and unexpended amounts from previous years. These amounts were the result of the Fund's efficiency initiatives, which included changes in the cycle, closer monitoring of grant and stricter reporting requirements. The Board decided to increase funding for projects, in particular for priority regional projects, using closed funds.","However, for 2011, the Board will face a funding gap of more than $2 million for the continuation of the 2010 level to meet the grantee's requests. The Board therefore decided to introduce a strategic reduction in the 2011 grant cycle. If no additional contributions were received in 2011, the Board will still face a major shortfall in funding in 2012 and may have to maintain or increase strategic cuts in the 2012 grant cycle and to impose additional restrictions on funding for new projects.","In accordance with the request received for 2011, it is expected that the amount of requests for grants from organizations in 2012 will amount to approximately $22 million.","Contributions received and pledges","The table below shows contributions and pledges received since the Secretary-General's previous report on the activities of the Fund (A/65/265). These contributions will enable the Board to make grants recommendations at its thirty-fifth session, held from 17 to 21 October 2011. The grant recommended by the Board at its next session will be allocated in January 2012 for the period from 1 January to 31 December 2012.","Contributions and pledges received from 5 August 2010 to 22 July 2011","Total contributions of donors (United States dollars)","Thirty-third and thirty-fourth sessions of the Fund Board","The Board held its thirty-third session in Geneva from 18 to 22 October 2010. During the session, the Board considered information prepared by its secretariat on 327 projects, including new applications for 2011, and the analysis of statements, financial and audit reports on the use of grants allocated in previous years. The Board considered a new grant request of $20,688,284 for more than 300 projects, which was a project for direct assistance to victims of torture and their families in 2011, and considered a request for training and seminars for professionals assisting victims to share information on experiences and best practices.","As projected at the thirty-second session in February 2010, as a result of a decrease in the amount of contributions received in 2010 and no pledges, the Board was unable to maintain the level of funding in 2010 and had to decide on strategic cuts to the 2011 grant cycle. Grants for projects within the countries of the Western European and Other States Group are reduced by 20 per cent and grants for other intraregional projects have been reduced by 10 per cent. As a rule, the funding ceiling for new grantees amounted to $200,000 rather than $50,000 normally. In addition, funding for training and seminars for professionals assisting victims was deferred to the consideration of the thirty-fourth session in February 2011 and subject to the availability of resources.","The Board recommends that grants be made for more than 280 ongoing projects and 23 new projects that directly assist victims in over 70 countries between January and December 2011 totalling $9,525,050, to be paid in January 2011. The High Commissioner approved these recommendations on behalf of the Secretary-General on 22 November 2010.","The Board recommended that $1,116,950 be retained for projects that were not considered at the thirty-third session because they were not considered because of the information to be provided by the applicant or the need for United Nations staff on the ground. The Board will consider these projects at its thirty-fourth session.","At the thirty-fourth session of the Board, held from 31 January to 4 February 2011, the main discussion on policy issues and the exchange of experiences were held to the Secretary-General's new members of the Board to be appointed in August 2011. The Board also considered additional requests for grants for priority regional projects in 2011 and provided $96,300 for 27 direct assistance projects, including 15 ongoing projects, 7 new projects, 5 new projects received during the intersessional period and 9 training and seminars projects. In addition, the Board held meetings with Member States, institutional donors in the area of victim assistance and representatives of non-governmental organizations.","Between February 2010 and August 2011, members of the Fund secretariat, Board members and United Nations field presences conducted evaluation and monitoring missions to organizations or potential grantees that have been funded by the Fund: Albania, Angola, Argentina, Australia, Azerbaijan, Bangladesh, Belgium, Burundi, Canada, Chile, Colombia, Democratic Republic of the Congo, Ecuador, Egypt, France, Germany, Guinea, Hungary, India, Ireland, Italy, Kazakhstan, Mozambique, Nepal, Pakistan, Paraguay, Peru, Rwanda, Republic of Korea, Senegal, South Africa, Spain, Thailand, Turkey, Uganda, United Kingdom, United Republic of Tanzania, United States of America and Zimbabwe.","Recommendations adopted by the Board","At its thirty-third and thirty-fourth sessions, the Board of Trustees of the Fund recommended that grants totalling $10,431,350 be provided for over 330 projects in over 70 countries between January and December 2011. The Board also recommended that the amount of $270,000 be retained for grants for the intersessional and/or emergencies of 2011. The figure below shows the distribution of grants by region.","Grants by region, 2011","(United States dollars)","[]","Policy decisions","Thirty-fourth session of the Board","At its thirty-fourth session, the Board discussed information-sharing, monitoring and evaluation missions and outreach issues with other donors.","The Board decided to establish a mechanism to provide regular and informal information and findings to other donors on the serious management and/or financial problems faced by the project, including mismanagement and possible fraud.","The Board agreed with the Fund secretariat to participate in joint monitoring and evaluation missions with European Commission staff.","The Board discussed the schedule of activities to mark the thirtieth anniversary of the Fund by 26 June 2011 and made recommendations to the Secretariat. The Board wishes to seize this difficult opportunity to advocate for the work of the Fund. In this regard, a special website on the work of the Fund for 30 years was created.","C. Meeting with relevant actors in the field of victim assistance","Thirty-fourth session of the Board","During its thirty-fourth session, the Board continued to meet with other donors in the field of assistance to victims of torture, in particular with representatives of European Commission instruments for democracy and human rights, in order to share information on funding policies, evaluation and monitoring mechanisms and results, as well as on building grant capacity initiatives.","In addition, the Board met with Member States, with about 12 delegations present. At that meeting, the Board invited two grant boards and Member States to briefly report on assistance provided to victims with the support of the Fund. The Board provided detailed information on recent developments in the Fund, including challenges in the current financial situation of the Fund and concerns about a significant decrease in the level of contributions in the context of rising funding requirements.","Recommendations of the Office of Internal Oversight Services that have not been implemented","In the opinion of the Office of Internal Oversight Services, as a result of the work carried out during the reporting period, only one recommendation (recommendation 9 on strengthening the management system) is still being implemented.","Recommendation 9: Strengthening the management system","The grant application for 2012 and amendments to the 2011 grant budget continued to be submitted through the Fund's online grant system. In addition, the new grant external reporting module has been completed and used to enable grantees to submit on-line reports on the use of grants for 2010. The secretariat continued to provide direct technical assistance services to all organizations using the system through e-mail and responded to several queries from new and implementation projects and potential grantees.","During the reporting period, the Secretariat remained committed to further developing the internal administrative module of the Fund's online grant system. As a result, the module is being refined and tested using a number of searching functions so that data can be accessed and generated internal reports. Following the finalization of the internal administrative module, the introduction of the Fund's e-management system was completed, thereby enabling the last remaining recommendation of the Office of Internal Oversight Services (E/CN.4/2005/55) to be fully implemented.","International Day in Support of Victims of Torture","On 26 June 2011, the Committee against Torture, the Subcommittee on Prevention of Torture, the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment and the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture made the following statement in commemoration of the thirtieth anniversary of the International Day in Support of Victims of Torture and the Voluntary Fund for Victims of Torture.","States must ensure that all victims of torture receive reparation, including through the United Nations Voluntary Fund","In the recent public demonstrations held in many countries of the world, we see the prevalence of torture and ill-treatment. It must be reiterated that States have the responsibility to prevent, prohibit, investigate and punish all acts of torture and other forms of cruel, inhuman or degrading treatment. States have a responsibility to respect the physical and mental integrity of all, to ensure justice and accountability for victims and society at large and to bring perpetrators to justice.","Furthermore, States must ensure that victims of torture or other cruel, inhuman or degrading treatment or punishment receive compensation, including redress, and receive fair and adequate compensation and adequate and comprehensive rehabilitation services. In this regard, we are concerned that, despite international legal and practical requirements for certain minimum standards and principles related to redress and reparation for victims of torture, some States have only granted formal rights that are often less significant and secondary in the justice system.","We also feel dismayed by the lack of progress in institutionalizing the basic principles and guidelines aimed at providing the minimum standards for redress and reparation for victims. We believe that victims must play a central role in the accountability of perpetrators of torture. We wish to emphasize that the preventive function of providing redress and reparation for victims of torture is part of the legal obligation to prevent torture and other cruel, inhuman or degrading treatment or punishment. We therefore continue to support those States, organizations and other civil society institutions committed to eliminating torture and ensuring that all victims of torture receive redress.","This year, the United Nations International Day in Support of Victims of Torture coincided with the thirtieth anniversary of the United Nations Voluntary Fund for Victims of Torture. Over the past 30 years, the Fund has distributed over $120 million to projects that provide medical, psychological, legal, social and financial assistance to victims and their families, enabling victims to obtain redress and exercise their enforceable rights to receive fair and adequate compensation, including as full rehabilitation as possible. With the support of the Fund, doctors, psychologists, forensic experts, social workers, lawyers and other relevant individuals and groups have taken a victim-based approach to assisting their clients in the long way to re-establish their lives and to record the use and impact of torture.","We express our appreciation to all donors to the United Nations Voluntary Fund for Victims of Torture, which currently supports the work of more than 300 organizations in more than 70 countries, and we hope that the Fund's contributions will continue to increase so that victims of torture and their families can receive the assistance they need. We call upon all States to contribute generously to the voluntary fund as part of the universal commitment to the rehabilitation of victims of torture and their families so that it can continue to fund organizations for psychological, medical, social, legal and economic assistance. We also call upon States to support the work of domestic organizations through financial and other means and to create an enabling environment for these organizations to provide redress and rehabilitation assistance to victims of torture.","We also urge States parties to the Convention against Torture to make statements on inter-State and individual complaints, in accordance with articles 21 and 22 of the Convention, and to become parties to the Optional Protocol to the Convention against Torture, in order to maximize transparency and accountability in the fight against torture.","In order to mark the thirtieth anniversary of the establishment of the Fund on 26 June 2011, the Board decided to organize an exhibition on art and handicraft products produced by torture victims. The exhibition was held at the Palais des Nations, Geneva, from 21 to 30 June 2011, in which victims were created as part of their recovery process, in painting, sing and other artistic expressions. On 27 June 2011, the Director-General of the United Nations Office at Geneva, Cassim-Amarte Tokayev, the United Nations High Commissioner for Human Rights, Navanethem Plei and the President of the Board, Meles Doreti, opened the exhibition.","Modalities for contributions to the Fund","Contributions to the Fund should be made as follows: “The recipients: the United Nations Voluntary Fund for Victims of Torture,account CH”. (a) UBSYS OR, United Nations Geneva General Fund, account No. 485001802, J.P. Morgan Chase Bank, International Agencies Banking, 1166, Avenue. of the Americas, IB 17th floor, New York, N.Y. 10036-2708, United States of America (United States of America) (Swift codes: CHASUS 33; ABrit:02000); and (b) €1, Geneva Office No. 231; All donors are requested to inform the Fund secretariat and the Resource Mobilization Unit of the Office of the United Nations High Commissioner for Human Rights (see best attached a copy of bank transfers or cheques) in order to effectively track the official records process and prepare the report of the Secretary-General.","Conclusions and recommendations","In accordance with the appeal made by the General Assembly in its resolution 9005 and the appeal by the Board of Trustees of the Fund contained in the previous report of the Secretary-General (A/65/265), donors are invited to make contributions to the Fund before the opening of the thirty-fifth session of the Board (to be held from 17 to 21 October 2011) in order to take these contributions into account at that session.","In view of the difficult financial situation faced in 2011, the General Assembly and the Board reiterated their call to the regular donors to increase their contributions to the Fund to the extent possible in order to provide the Board with the necessary resources to meet the growing needs of victims of torture and their relatives worldwide.","The Board strongly encouraged Governments that had not yet contributed to the Fund to make their first contribution, preferably by September 2011.","Equatorial Guinea Equatorial Guinea Equatorial Guinea RUVERTIVEMENTS"],"string":"[\n \"Sixty-sixth session\",\n \"Item 69 (a) of the provisional agenda\",\n \"Promotion and protection of human rights: implementation of human rights instruments\",\n \"United Nations Voluntary Fund for Victims of Torture\",\n \"Report of the Secretary-General\",\n \"Summary\",\n \"The present report is submitted pursuant to General Assembly resolutions 36/151 and 3905, describing the recommendations for grants to beneficiary organizations adopted by the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture at its thirty-third and thirty-fourth sessions. The report also describes the policy decisions adopted by the Board to implement the recommendations of the Office of Internal Oversight Services to further enhance the activities of the Fund.\",\n \"∗ A/63/250.\",\n \"Introduction\",\n \"Reports\",\n \"The present report is prepared in accordance with the arrangements approved by the General Assembly in its resolution 36/151 on the establishment of the United Nations Voluntary Fund for Victims of Torture. The report describes the recommendations adopted by the Board of Trustees of the Fund at its thirty-third and thirty-fourth sessions, held in Geneva from 18 to 22 October 2010 and from 31 January to 4 February 2011. The United Nations High Commissioner for Human Rights approved those recommendations on behalf of the Secretary-General. The present report complements the report on the activities of the Fund submitted to the sixteenth session of the Human Rights Council in March 2011 (A/HRC/16/31).\",\n \"Mandate of the Fund\",\n \"The Fund receives voluntary contributions from Governments, non-governmental organizations and individuals. In accordance with the practice established by the Board in 1982, the Fund provides grants to non-governmental organizations that have submitted projects involving medical, psychological, social, financial, legal and humanitarian or other forms of assistance to victims of torture and their families.\",\n \"C. Board\",\n \"The Secretary-General manages the Fund through the Office of the United Nations High Commissioner for Human Rights and receives the Board's observations. The Board is composed of five members who serve in their personal capacity and appointed by the Secretary-General in full respect for equitable geographical distribution and in consultation with their Governments. In October 2008, the Secretary-General again appointed the following members for a three-year term: Clarmir Karinov (Bulgaria), Saveter cereals Sectionre (Sri Lanka), Joseph Oloka-Onnyango (Uganda) and Delhi Pu Del (United Kingdom of Great Britain and Northern Ireland) and appointed Medez Dominti (Argentina) for a three-year term, renewable once.\",\n \"At its thirty-third session, held in Geneva from 18 to 22 October 2010, the Board reviewed requests for funding and made recommendations for the allocation of grants to beneficiary organizations between January and December 2011. At its thirty-fourth session, held from 31 January to 4 February 2011, the Board focused on policy issues. At that meeting, the Board also granted grants to priority regional projects that had not been decided at its thirty-third session owing to lack of sufficient information and priority regional projects for intersessional requests.\",\n \"Acceptance criteria\",\n \"The criteria for the processing of projects outlined in the Fund guidelines stipulate that the project must be submitted by non-governmental organizations. The beneficiaries must be victims of torture and/or their immediate family members. Priority is given to projects that provide direct assistance to victims of torture. These projects may include medical or psychological assistance; assistance for the reintegration of victims through vocational training or income; various forms of legal assistance to victims or families, including assistance in seeking redress or asylum. In accordance with existing funding, the Fund may fund projects to organize training programmes, seminars or conferences that enable professional medical personnel or other service providers to share best practices. However, the Fund does not receive requests for grants for projects involving investigation, research, publications or similar activities.\",\n \"In countries where projects are not supported by the Fund, the Fund may provide emergency assistance to individuals. Such requests shall be reviewed in accordance with a specific procedure set out in the guidelines of the Fund. Details on the types of assistance provided through projects financed by the Fund and their impact on beneficiaries can be found in the report of the Secretary-General to the General Assembly at its fifty-eighth session (A/58/284, paras.\",\n \"Financial situation of the Fund\",\n \"Between 2006 and 2010, the Board increased its grant to projects around the world by year. This could be done because the income used during that period included annual voluntary contributions and unexpended amounts from previous years. These amounts were the result of the Fund's efficiency initiatives, which included changes in the cycle, closer monitoring of grant and stricter reporting requirements. The Board decided to increase funding for projects, in particular for priority regional projects, using closed funds.\",\n \"However, for 2011, the Board will face a funding gap of more than $2 million for the continuation of the 2010 level to meet the grantee's requests. The Board therefore decided to introduce a strategic reduction in the 2011 grant cycle. If no additional contributions were received in 2011, the Board will still face a major shortfall in funding in 2012 and may have to maintain or increase strategic cuts in the 2012 grant cycle and to impose additional restrictions on funding for new projects.\",\n \"In accordance with the request received for 2011, it is expected that the amount of requests for grants from organizations in 2012 will amount to approximately $22 million.\",\n \"Contributions received and pledges\",\n \"The table below shows contributions and pledges received since the Secretary-General's previous report on the activities of the Fund (A/65/265). These contributions will enable the Board to make grants recommendations at its thirty-fifth session, held from 17 to 21 October 2011. The grant recommended by the Board at its next session will be allocated in January 2012 for the period from 1 January to 31 December 2012.\",\n \"Contributions and pledges received from 5 August 2010 to 22 July 2011\",\n \"Total contributions of donors (United States dollars)\",\n \"Thirty-third and thirty-fourth sessions of the Fund Board\",\n \"The Board held its thirty-third session in Geneva from 18 to 22 October 2010. During the session, the Board considered information prepared by its secretariat on 327 projects, including new applications for 2011, and the analysis of statements, financial and audit reports on the use of grants allocated in previous years. The Board considered a new grant request of $20,688,284 for more than 300 projects, which was a project for direct assistance to victims of torture and their families in 2011, and considered a request for training and seminars for professionals assisting victims to share information on experiences and best practices.\",\n \"As projected at the thirty-second session in February 2010, as a result of a decrease in the amount of contributions received in 2010 and no pledges, the Board was unable to maintain the level of funding in 2010 and had to decide on strategic cuts to the 2011 grant cycle. Grants for projects within the countries of the Western European and Other States Group are reduced by 20 per cent and grants for other intraregional projects have been reduced by 10 per cent. As a rule, the funding ceiling for new grantees amounted to $200,000 rather than $50,000 normally. In addition, funding for training and seminars for professionals assisting victims was deferred to the consideration of the thirty-fourth session in February 2011 and subject to the availability of resources.\",\n \"The Board recommends that grants be made for more than 280 ongoing projects and 23 new projects that directly assist victims in over 70 countries between January and December 2011 totalling $9,525,050, to be paid in January 2011. The High Commissioner approved these recommendations on behalf of the Secretary-General on 22 November 2010.\",\n \"The Board recommended that $1,116,950 be retained for projects that were not considered at the thirty-third session because they were not considered because of the information to be provided by the applicant or the need for United Nations staff on the ground. The Board will consider these projects at its thirty-fourth session.\",\n \"At the thirty-fourth session of the Board, held from 31 January to 4 February 2011, the main discussion on policy issues and the exchange of experiences were held to the Secretary-General's new members of the Board to be appointed in August 2011. The Board also considered additional requests for grants for priority regional projects in 2011 and provided $96,300 for 27 direct assistance projects, including 15 ongoing projects, 7 new projects, 5 new projects received during the intersessional period and 9 training and seminars projects. In addition, the Board held meetings with Member States, institutional donors in the area of victim assistance and representatives of non-governmental organizations.\",\n \"Between February 2010 and August 2011, members of the Fund secretariat, Board members and United Nations field presences conducted evaluation and monitoring missions to organizations or potential grantees that have been funded by the Fund: Albania, Angola, Argentina, Australia, Azerbaijan, Bangladesh, Belgium, Burundi, Canada, Chile, Colombia, Democratic Republic of the Congo, Ecuador, Egypt, France, Germany, Guinea, Hungary, India, Ireland, Italy, Kazakhstan, Mozambique, Nepal, Pakistan, Paraguay, Peru, Rwanda, Republic of Korea, Senegal, South Africa, Spain, Thailand, Turkey, Uganda, United Kingdom, United Republic of Tanzania, United States of America and Zimbabwe.\",\n \"Recommendations adopted by the Board\",\n \"At its thirty-third and thirty-fourth sessions, the Board of Trustees of the Fund recommended that grants totalling $10,431,350 be provided for over 330 projects in over 70 countries between January and December 2011. The Board also recommended that the amount of $270,000 be retained for grants for the intersessional and/or emergencies of 2011. The figure below shows the distribution of grants by region.\",\n \"Grants by region, 2011\",\n \"(United States dollars)\",\n \"[]\",\n \"Policy decisions\",\n \"Thirty-fourth session of the Board\",\n \"At its thirty-fourth session, the Board discussed information-sharing, monitoring and evaluation missions and outreach issues with other donors.\",\n \"The Board decided to establish a mechanism to provide regular and informal information and findings to other donors on the serious management and/or financial problems faced by the project, including mismanagement and possible fraud.\",\n \"The Board agreed with the Fund secretariat to participate in joint monitoring and evaluation missions with European Commission staff.\",\n \"The Board discussed the schedule of activities to mark the thirtieth anniversary of the Fund by 26 June 2011 and made recommendations to the Secretariat. The Board wishes to seize this difficult opportunity to advocate for the work of the Fund. In this regard, a special website on the work of the Fund for 30 years was created.\",\n \"C. Meeting with relevant actors in the field of victim assistance\",\n \"Thirty-fourth session of the Board\",\n \"During its thirty-fourth session, the Board continued to meet with other donors in the field of assistance to victims of torture, in particular with representatives of European Commission instruments for democracy and human rights, in order to share information on funding policies, evaluation and monitoring mechanisms and results, as well as on building grant capacity initiatives.\",\n \"In addition, the Board met with Member States, with about 12 delegations present. At that meeting, the Board invited two grant boards and Member States to briefly report on assistance provided to victims with the support of the Fund. The Board provided detailed information on recent developments in the Fund, including challenges in the current financial situation of the Fund and concerns about a significant decrease in the level of contributions in the context of rising funding requirements.\",\n \"Recommendations of the Office of Internal Oversight Services that have not been implemented\",\n \"In the opinion of the Office of Internal Oversight Services, as a result of the work carried out during the reporting period, only one recommendation (recommendation 9 on strengthening the management system) is still being implemented.\",\n \"Recommendation 9: Strengthening the management system\",\n \"The grant application for 2012 and amendments to the 2011 grant budget continued to be submitted through the Fund's online grant system. In addition, the new grant external reporting module has been completed and used to enable grantees to submit on-line reports on the use of grants for 2010. The secretariat continued to provide direct technical assistance services to all organizations using the system through e-mail and responded to several queries from new and implementation projects and potential grantees.\",\n \"During the reporting period, the Secretariat remained committed to further developing the internal administrative module of the Fund's online grant system. As a result, the module is being refined and tested using a number of searching functions so that data can be accessed and generated internal reports. Following the finalization of the internal administrative module, the introduction of the Fund's e-management system was completed, thereby enabling the last remaining recommendation of the Office of Internal Oversight Services (E/CN.4/2005/55) to be fully implemented.\",\n \"International Day in Support of Victims of Torture\",\n \"On 26 June 2011, the Committee against Torture, the Subcommittee on Prevention of Torture, the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment and the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture made the following statement in commemoration of the thirtieth anniversary of the International Day in Support of Victims of Torture and the Voluntary Fund for Victims of Torture.\",\n \"States must ensure that all victims of torture receive reparation, including through the United Nations Voluntary Fund\",\n \"In the recent public demonstrations held in many countries of the world, we see the prevalence of torture and ill-treatment. It must be reiterated that States have the responsibility to prevent, prohibit, investigate and punish all acts of torture and other forms of cruel, inhuman or degrading treatment. States have a responsibility to respect the physical and mental integrity of all, to ensure justice and accountability for victims and society at large and to bring perpetrators to justice.\",\n \"Furthermore, States must ensure that victims of torture or other cruel, inhuman or degrading treatment or punishment receive compensation, including redress, and receive fair and adequate compensation and adequate and comprehensive rehabilitation services. In this regard, we are concerned that, despite international legal and practical requirements for certain minimum standards and principles related to redress and reparation for victims of torture, some States have only granted formal rights that are often less significant and secondary in the justice system.\",\n \"We also feel dismayed by the lack of progress in institutionalizing the basic principles and guidelines aimed at providing the minimum standards for redress and reparation for victims. We believe that victims must play a central role in the accountability of perpetrators of torture. We wish to emphasize that the preventive function of providing redress and reparation for victims of torture is part of the legal obligation to prevent torture and other cruel, inhuman or degrading treatment or punishment. We therefore continue to support those States, organizations and other civil society institutions committed to eliminating torture and ensuring that all victims of torture receive redress.\",\n \"This year, the United Nations International Day in Support of Victims of Torture coincided with the thirtieth anniversary of the United Nations Voluntary Fund for Victims of Torture. Over the past 30 years, the Fund has distributed over $120 million to projects that provide medical, psychological, legal, social and financial assistance to victims and their families, enabling victims to obtain redress and exercise their enforceable rights to receive fair and adequate compensation, including as full rehabilitation as possible. With the support of the Fund, doctors, psychologists, forensic experts, social workers, lawyers and other relevant individuals and groups have taken a victim-based approach to assisting their clients in the long way to re-establish their lives and to record the use and impact of torture.\",\n \"We express our appreciation to all donors to the United Nations Voluntary Fund for Victims of Torture, which currently supports the work of more than 300 organizations in more than 70 countries, and we hope that the Fund's contributions will continue to increase so that victims of torture and their families can receive the assistance they need. We call upon all States to contribute generously to the voluntary fund as part of the universal commitment to the rehabilitation of victims of torture and their families so that it can continue to fund organizations for psychological, medical, social, legal and economic assistance. We also call upon States to support the work of domestic organizations through financial and other means and to create an enabling environment for these organizations to provide redress and rehabilitation assistance to victims of torture.\",\n \"We also urge States parties to the Convention against Torture to make statements on inter-State and individual complaints, in accordance with articles 21 and 22 of the Convention, and to become parties to the Optional Protocol to the Convention against Torture, in order to maximize transparency and accountability in the fight against torture.\",\n \"In order to mark the thirtieth anniversary of the establishment of the Fund on 26 June 2011, the Board decided to organize an exhibition on art and handicraft products produced by torture victims. The exhibition was held at the Palais des Nations, Geneva, from 21 to 30 June 2011, in which victims were created as part of their recovery process, in painting, sing and other artistic expressions. On 27 June 2011, the Director-General of the United Nations Office at Geneva, Cassim-Amarte Tokayev, the United Nations High Commissioner for Human Rights, Navanethem Plei and the President of the Board, Meles Doreti, opened the exhibition.\",\n \"Modalities for contributions to the Fund\",\n \"Contributions to the Fund should be made as follows: “The recipients: the United Nations Voluntary Fund for Victims of Torture,account CH”. (a) UBSYS OR, United Nations Geneva General Fund, account No. 485001802, J.P. Morgan Chase Bank, International Agencies Banking, 1166, Avenue. of the Americas, IB 17th floor, New York, N.Y. 10036-2708, United States of America (United States of America) (Swift codes: CHASUS 33; ABrit:02000); and (b) €1, Geneva Office No. 231; All donors are requested to inform the Fund secretariat and the Resource Mobilization Unit of the Office of the United Nations High Commissioner for Human Rights (see best attached a copy of bank transfers or cheques) in order to effectively track the official records process and prepare the report of the Secretary-General.\",\n \"Conclusions and recommendations\",\n \"In accordance with the appeal made by the General Assembly in its resolution 9005 and the appeal by the Board of Trustees of the Fund contained in the previous report of the Secretary-General (A/65/265), donors are invited to make contributions to the Fund before the opening of the thirty-fifth session of the Board (to be held from 17 to 21 October 2011) in order to take these contributions into account at that session.\",\n \"In view of the difficult financial situation faced in 2011, the General Assembly and the Board reiterated their call to the regular donors to increase their contributions to the Fund to the extent possible in order to provide the Board with the necessary resources to meet the growing needs of victims of torture and their relatives worldwide.\",\n \"The Board strongly encouraged Governments that had not yet contributed to the Fund to make their first contribution, preferably by September 2011.\",\n \"Equatorial Guinea Equatorial Guinea Equatorial Guinea RUVERTIVEMENTS\"\n]"}}}],"truncated":false,"partial":false},"paginationData":{"pageIndex":0,"numItemsPerPage":100,"numTotalItems":165840,"offset":0,"length":100}},"jwt":"eyJhbGciOiJFZERTQSJ9.eyJyZWFkIjp0cnVlLCJwZXJtaXNzaW9ucyI6eyJyZXBvLmNvbnRlbnQucmVhZCI6dHJ1ZX0sImlhdCI6MTczNDkzNDcyMywic3ViIjoiL2RhdGFzZXRzL2JvdC15YXlhL3VuZGxfemgyZW5fdHJhbnNsYXRpb24iLCJleHAiOjE3MzQ5MzgzMjMsImlzcyI6Imh0dHBzOi8vaHVnZ2luZ2ZhY2UuY28ifQ.RmeobjjqQ34DZ3WQtBB5w13qaQg_JUVV3-kD0F-w61pMyFc2MZhnjHKdLXDEzj_cLx1tU2Uus1MkteN_NaTxDA","displayUrls":true},"discussionsStats":{"closed":0,"open":1,"total":1},"fullWidth":true,"hasGatedAccess":true,"hasFullAccess":true,"isEmbedded":false}">
clean_zh
sequence | clean_en
sequence | record
stringlengths 6
35
| zh2en
sequence |
|---|---|---|---|
[
"和平利用外层空间委员会",
"依照《关于登记射入外层空间物体的公约》递交的资料",
"美利坚合众国常驻联合国（维也纳）代表团2022年3月23日致秘书长的 普通照会",
"美利坚合众国常驻联合国（维也纳）代表团谨依照《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）第四条的规定，转交美国在2022年1月射入外层空间物体的登记数据（见附件）。[1]",
"美国请求将本文件附件所载空间物体列入联合国保管的《射入外层空间物体登记册》。美国在提交上述请求时指出，按照美国长期以来的登记惯例，美国不一定是本国登记的每个空间物体的发射国。本着促进各项条约实际效力之精神，美国提出上述请求，并尽最大实际可能提供信息。",
"附件",
"美利坚合众国2022年1月的空间发射登记数据[2]",
"以下报告补充美国空间发射登记数据，截至2022年1月31日。",
"[TABLE]",
"[1] ¹ 附件中提及的空间物体数据已于2022年4月11日登入《射入外层空间物体登记册》。",
"[2] ^(*) 登记数据按收到时的原样转载。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 23 March 2022 from the Permanent Mission of the United States of America to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United States of America to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit registration data on objects launched into outer space by the United States for January 2022 (see annex).[1]",
"The United States requests that the space objects contained in the annex to the present document be placed on the Register of Objects Launched into Outer Space maintained by the United Nations. In submitting this request, the United States notes that, consistent with its long-standing registration practice, the United States is not necessarily a launching State for each of the space objects it registers. The United States makes this request in the spirit of contributing to the practical effectiveness of the treaties and is providing information to the greatest extent practicable.",
"Annex",
"Registration data on space launches by the United States of America for January 2022[2]",
"The following report supplements the registration data on United States space launches as at 31 January 2022.",
"[TABLE]",
"[1] ¹ The data on space objects referenced in the annex were entered into the Register of Objects Launched into Outer Space on 11 April 2022.",
"[2] ^(*) The registration data are reproduced in the form in which they were received."
] | ST_SG_SER.E_1050 | [
"Committee on the Peaceful Uses of Outer Space",
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 23 March 2022 from the Permanent Mission of the United States of America to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United States of America to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit registration data on objects launched into outer space by the United States in January 2022 (see annex). [1]",
"The United States requests that the space objects contained in the annex to the present document be included in the Register of Objects Launched into Outer Space maintained by the United Nations. In submitting that request, the United States noted that, in accordance with its long-standing registration practice, it was not necessarily a launching State for each space object registered by the United States. In the spirit of promoting the practical effectiveness of the treaties, the United States makes the above-mentioned request and provides information to the greatest practical extent possible.",
"Annex",
"Registration data on space launches by the United States of America for January 2022 [2]",
"The following report supplements the registration data on United States space launches as at 31 January 2022.",
"[TABLE]",
"The data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 11 April 2022.",
"[2] ## (*) The registration data are reproduced in the form in which they were received."
] |
[
"依照《关于登记射入外层空间物体的公约》递交的资料",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团2022年5月18日致秘书长的普通照会",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团谨依照《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）第四条的规定，转交关于轨道空气动力学研究卫星的空间物体和OWLID000235 (2021-060S)卫星的空间物体使用末期的补充资料（见附件）。[1]",
"附件",
"大不列颠及北爱尔兰联合王国以前登记的空间物体的补充资料[2]",
"轨道空气动力学研究卫星（SOAR）",
"依照《关于登记射入外层空间物体的公约》提供的资料",
"空间研究委员会国际编号 1998-067SM\n空间物体名称 轨道空气动力学研究卫星（SOAR）\n登记国 大不列颠及北爱尔兰联合王国\n登记文件\tST/SG/SER.E/1002\t\n发射日期和发射地区或地点 协调世界时2021年6月14日09时05分；从国际空间站进行的部署\n基本轨道参数 \n交点周期 92.7分钟\n倾角 51.62度\n远地点 422公里\n近地点 418公里\n空间物体的一般功用 SOAR旨在演示空气动力学材料（具体地说，即是在自由分子流环境中镜面反射原子氧的材料），以及空气动力学姿态和轨道控制。有效载荷包括一个离子和中性质谱仪，用于确定流动/大气环境的特点，并部署了拟用作空气动力学表面的具有不同表面涂层的可操纵翼片\n衰减/重返/脱离轨道日期\t协调世界时2022年3月14日",
"自愿提供的用于《射入外层空间物体登记册》的补充资料",
"运行状态的改变 \n 空间物体不再具有功能的日期 协调世界时2022年3月14日",
"OWLID000235",
"依照《关于登记射入外层空间物体的公约》提供的资料",
"空间研究委员会国际编号 2021-060S\n空间物体名称 OWLID000235\n登记国 联合王国\n登记文件\tST/SG/SER.E/1008\t\n国家编号/登记号 48983\n发射日期和发射地区或地点 协调世界时2021年7月1日12时48分33秒；俄罗斯联邦东方航天发射场\n基本轨道参数 \n交点周期 109.4分钟\n倾角 87.9度\n远地点 1,197公里\n近地点 1,193公里\n空间物体的一般功用 通信卫星\n衰减/重返/脱离轨道日期\t协调世界时2022年3月29日21时45分",
"自愿提供的用于《射入外层空间物体登记册》的补充资料",
"运行状态的改变 \n 空间物体不再具有功能的日期 协调世界时2022年3月29日21时45分 \n 空间物体移至弃星轨道的日期 协调世界时2022年3月29日21时45分 \n空间物体移至弃星轨道时的物理状态\t这颗卫星距离重返大气层还相隔几个轨道\n空间物体所有人或运营人\tNetwork Access AssociatesLimited公司\n 网站 www.oneweb.world/ \n 运载火箭 联盟号 \n 其他资料 又称SL0265",
"[1] ¹ 附件中提及的空间物体数据已于2022年6月13日登入《射入外层空间物体登记册》。",
"[2] ^(*) 本资料采用根据大会第62/101号决议制作的表格提交，秘书处对格式作了调整。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 18 May 2022 from the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit additional information concerning the end of life of the space objects Satellite for Orbital Aerodynamics Research (SOAR) and OWLID000235 (2021-060S) (see annex).[1]",
"Annex",
"Additional information on space objects previously registered by the United Kingdom of Great Britain and Northern Ireland[2]",
"Satellite for Orbital Aerodynamics Research (SOAR)",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research 1998-067SM international designator\n Name of the space object Satellite for Orbital Aerodynamics Research (SOAR)",
"State of registry United Kingdom of Great Britain and Northern Ireland",
"Registration document ST/SG/SER.E/1002",
"Date and territory or location 14 June 2021 at 0905 hours UTC; of launch deployment from the International Space Station (ISS)",
"Basic orbital parameters",
"Nodal period 92.7 minutes",
"Inclination 51.62 degrees",
"Apogee 422 kilometres",
"Perigee 418 kilometres",
"General function of the space SOAR is to demonstrate aerodynamic object materials (specifically, materials which specularly reflect atomic oxygen in the free molecular flow environment), and aerodynamic attitude and orbit control. The payloads include an ion and neutral mass spectrometer to characterize the flow/atmospheric environment, and deployed steerable fins with different surface coatings to be used as aerodynamic surfaces",
"Date of decay/re-entry/deorbit 14 March 2022 UTC",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Change of status in operations\n Date when the space object 14 March 2022 UTC was no longer functional",
"OWLID000235",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research 2021-060S international designator\n Name of the space object OWLID000235",
"State of registry United Kingdom",
"Registration document ST/SG/SER.E/1008",
"National designator/registration 48983 number",
"Date and territory or location 1 July 2021 at 1248 hours, 33 seconds of launch UTC; Vostochny, Russian Federation",
"Basic orbital parameters",
"Nodal period 109.4 minutes",
"Inclination 87.9 degrees",
"Apogee 1,197 kilometres",
"Perigee 1,193 kilometres",
"General function of the space Communications satellite object",
"Date of decay/re-entry/deorbit 29 March 2022 at 2145 hours UTC",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Change of status in operations\n Date when the space object 29 March 2022 at 2145 hours UTC was no longer functional",
"Date when the space object 29 March 2022 at 2145 hours UTC was moved to a disposal orbit",
"Physical conditions when the The satellite was a few orbits from space object was moved to a re-entering the atmosphere disposal orbit",
"Space object owner or operator Network Access Associates Limited",
"Website www.oneweb.world/",
"Launch vehicle Soyuz",
"Other information Also known as SL0265",
"[1] ¹ The data on the space objects referenced in the annex were entered into the Register of Objects Launched into Outer Space on 13 June 2022.",
"[2] ^(*) The information was submitted using the form prepared pursuant to General Assembly resolution 62/101 and has been reformatted by the Secretariat."
] | ST_SG_SER.E_1056 | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 18 May 2022 from the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit supplementary information concerning the end-of-service period of space objects on orbital aerodynamics research satellites and on the OWLID000235 (2021-060S) satellites (see annex). [1]",
"Annex",
"Additional information on previously registered space objects of the United Kingdom of Great Britain and Northern Ireland [2]",
"Orbital aerodynamics research satellite (SOAR)",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research (COSPAR) The payload includes an ion and mesotype spectrometer to characterize the mobile/atmosphere environment and the deployment of manipulatable wings with different surface coatings to be used on aerodynamic surfaces Date of decay/re-entry/deorbit 14 March 2022 UTC",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Date on which the space object is no longer functional",
"OWLID000235",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"International designator 2021-060S Name of space object OWLID000235 State of registry United Kingdom Registration document ST/SG/SER.E/1008 National designator/registration number 48983 Date and territory or location of launch Coordinated world time 12:48:33 seconds 1 July 2021; Basic orbital parameters of the Russian Federation Eastern launch site 109.4 minutes Nodal period 1004 Inclination 87.9 degrees Apogee 1,197 km perigee 1,193 km General function of space objects Decline/re-entry/de-orbit date",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"The date on which the space object is no longer functional The date on which the space object was moved to a disposal orbit The date on which the space object was moved to a disposal orbit The date on which the space object was moved to a disposal orbit The date on which the space object was moved to a physical state on 29 March 2022",
"The data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 13 June 2022.",
"[2] ^ (*) This information has been submitted in accordance with the form prepared pursuant to General Assembly resolution 62/101 and the format has been adjusted by the Secretariat."
] |
[
"和平利用外层空间委员会",
"依照《关于登记射入外层空间物体的公约》递交的资料",
"加拿大常驻联合国（维也纳）代表团2022年5月30日致秘书长的普通照会",
"加拿大常驻联合国（维也纳）代表团谨提交加拿大空间物体（Kepler空间物体）的有关资料，列明加拿大所加入作为缔约国的《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）所要求的技术信息。此外，列表还包括已登入《射入外层空间物体登记册》的物体（LEO 1）的补充信息（见附件）。[1]",
"附件",
"加拿大发射的空间物体登记资料*[2]",
"[TABLE]",
"[1] ^(*) 因技术原因于2022年8月16日重新印发。",
"¹ 附件中提及的空间物体数据已于2022年6月13日登入《射入外层空间物体登记册》。",
"[2] ^(**) 本资料采用根据大会第62/101号决议制作的表格提交，秘书处对格式作了调整。"
] | [
"[1]",
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 30 May 2022 from the Permanent Mission of Canada to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of Canada to the United Nations (Vienna) has the honour to submit information concerning Canadian space objects (Kepler space objects), indicating the technical information required under the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), to which Canada is a State party. Furthermore, the list includes additional information on an object already entered in the Register of Objects Launched into Outer Space (LEO 1) (see annex).[2]",
"Annex",
"Registration information on space objects launched by Canada[3]",
"[TABLE]",
"[1] ^(*) Reissued for technical reasons on 16 August 2022.",
"[2] ¹ The data on the space objects referenced in the annex were entered into the Register of Objects Launched into Outer Space on 13 June 2022.",
"[3] ^(*) The information was submitted using the form prepared pursuant to General Assembly resolution 62/101 and has been reformatted by the Secretariat."
] | ST_SG_SER.E_1060 | [
"Committee on the Peaceful Uses of Outer Space",
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 30 May 2022 from the Permanent Mission of Canada to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of Canada to the United Nations (Vienna) has the honour to submit information concerning Canadian space objects (Kepler space objects), indicating the technical information required under the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), to which Canada is a party. In addition, the list includes additional information on objects that have been entered into the Register of Objects Launched into Outer Space (LEO 1) (see annex). [1]",
"Annex",
"Registration data on a space object launched by Canada* [2]",
"[TABLE]",
"[1] ^ (*) Reissued for technical reasons on 16 August 2022.",
"1 Data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 13 June 2022.",
"[2] ^ (**) This information is presented in the form prepared pursuant to General Assembly resolution 62/101 and the format has been adjusted by the Secretariat."
] |
[
"依照《关于登记射入外层空间物体的公约》递交的资料",
"德国常驻联合国（维也纳）代表团2022年6月15日致秘书长的普通照会",
"德国常驻联合国（维也纳）代表团谨依照《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）第四条的规定，转交德国发射的一个空间物体的有关资料（见附件）。[1]",
"附件",
"德国发射的空间物体的登记数据[2]",
"GMS-T",
"依照《关于登记射入外层空间物体的公约》提供的资料",
"空间研究委员会国际编号 2021-004A \n 空间物体名称 GMS-T \n 国家编号/登记号 D-R092 \n 登记国 德国 \n 其他发射国 新西兰和美利坚合众国 发射日期和发射地区或地点 协调世界时2021年1月20日07时26分0秒； \n 新西兰马伊亚火箭实验室1号综合发射场 \n 基本轨道参数 \n 交点周期 109.4分钟 \n 倾角 90.0度 \n 远地点 1,229公里 \n 近地点 1,198公里 \n空间物体的一般功用\tGMS-T卫星的一般功用是将Ka和Ku波段频率投入使用",
"自愿提供的用于《射入外层空间物体登记册》的补充资料",
"空间物体所有人或运营人 德国不来梅OHB宇宙国际发射服务公司 \n 网站 www.ohb-cosmos.de/ \n 运载火箭 电子号 其他信息\t发射服务由美国火箭实验室提供；卫星制造和测试由OHB瑞典公司进行；运营由OHB宇宙公司和OHB瑞典公司进行 \n 该空间物体预期停止运行年为2023年",
"[1] ¹ 附件中提及的空间物体数据已于2022年6月17日登入《射入外层空间物体登记册》。",
"[2] ^(*) 本资料采用根据大会第62/101号决议制作的表格提交，秘书处对格式作了调整。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 15 June 2022 from the Permanent Mission of Germany to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of Germany to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit information concerning a space object launched by Germany (see annex).[1]",
"Annex",
"Registration data on a space object launched by Germany[2]",
"GMS-T",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research 2021-004A international designator\n Name of space object GMS-T",
"National D-R092 designator/registration number",
"State of registry Germany",
"Other launching States New Zealand and United States of America",
"Date and territory or location 20 January 2021 at 0726 hours 0 seconds of launch UTC; Rocket Lab Launch Complex 1, Mahia, New Zealand",
"Basic orbital parameters",
"Nodal period 109.4 minutes",
"Inclination 90.0 degrees",
"Apogee 1 229 kilometres",
"Perigee 1 198 kilometres",
"General function of space The general function of the GMS-T object satellite is to bring into use the Ka- and Ku-band frequencies",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Space object owner oroperator\tOHB Cosmos International LaunchServices GmbH, Bremen, Germany\n Website www.ohb-cosmos.de/ \n Launch vehicle Electron Other information\tLaunch services provided by Rocket LabUSA; satellite manufacturing andtesting performed by OHB Sweden;operations performed by OHB Cosmos andOHB Sweden \n\tThe year in which the space object isexpected to no longer be functional is2023",
"[1] ¹ The data on the space object referenced in the annex were entered into the Register of Objects Launched into Outer Space on 17 June 2022.",
"[2] ^(*) The information was submitted using the form prepared pursuant to General Assembly resolution 62/101 and has been reformatted by the Secretariat."
] | ST_SG_SER.E_1061 | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 15 June 2022 from the Permanent Mission of Germany to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of Germany to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit information concerning a space object launched by Germany (see annex). [1]",
"Annex",
"Registration data on space objects launched by Germany [2]",
"GMS-T",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"International designator 2021-004A Name of space object GMS-T National designator/registration number D-R092",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Space object owner or operator Bremen, Germany",
"The data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 17 June 2022.",
"[2] ^ (*) This information has been submitted in accordance with the form prepared pursuant to General Assembly resolution 62/101 and the format has been adjusted by the Secretariat."
] |
[
"依照《关于登记射入外层空间物体的公约》递交的资料",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团2021年12月16日致秘书长的普通照会",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团谨依照《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）第四条的规定，转交有关空间物体HYLAS-1位置变更的补充资料（见附件）。[1]",
"附件",
"大不列颠及北爱尔兰联合王国以前登记的空间物体的补充资料[2]",
"HYLAS-1",
"依照《关于登记射入外层空间物体的公约》提供的资料",
"空间研究委员会国际编号 2010-065A \n 空间物体名称 HYLAS-1 \n 登记国 大不列颠及北爱尔兰联合王国 登记文件\tST/SG/SER.E/618ST/SG/SER.E/618/Add.1 ST/SG/SER.E/618/Add.2 ST/SG/SER.E/618/Add.3 ST/SG/SER.E/618/Add.4 ST/SG/SER.E/917 \n ST/SG/SER.E/984 \n发射日期和发射地区或地点\t协调世界时2010年11月26日18时39分；法属圭亚那库鲁的圭亚那航天中心\n 基本轨道参数 \n 交点周期 1,440分钟 \n 轨道倾角 0.04度 \n 远地点 35,794公里 \n 近地点 35,779公里 \n 空间物体的一般功用 通信卫星",
"自愿提供的用于《射入外层空间物体登记册》的补充资料",
"基本轨道参数 \n 对地静止位置 西经81度 \n 空间物体的位置变更 \n 原轨道位置 东经117.5度 \n 新轨道位置 西经81度 \n 空间物体所有人或运营人 Avanti通信集团股份有限公司 \n 运载火箭 阿丽亚娜5号",
"[1] ¹ 附件中提及的空间物体数据已于2021年12月21日登入《射入外层空间物体登记册》。",
"[2] ^(*) 本资料采用根据大会第62/101号决议制作的表格提交，秘书处对格式作了调整。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 16 December 2021 from the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit additional information concerning the change of location of the space object HYLAS-1 (see annex).[1]",
"Annex",
"Additional information on a space object previously registered by the United Kingdom of Great Britain and Northern Ireland[2]",
"HYLAS-1",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Researchinternational designator\t2010-065A\n Name of space object HYLAS-1 \nState of registry\tUnited Kingdom of Great Britainand Northern IrelandRegistration documents\tST/SG/SER.E/618ST/SG/SER.E/618/Add.1 ST/SG/SER.E/618/Add.2 ST/SG/SER.E/618/Add.3 ST/SG/SER.E/618/Add.4 ST/SG/SER.E/917 \n ST/SG/SER.E/984 \nDate and territory or locationof launch\t26 November 2010 at 1839 hoursUTC; Guiana Space Centre, Kourou,French Guiana\n Basic orbital parameters \n Nodal period 1,440 minutes \n Inclination 0.04 degrees \n Apogee 35,794 kilometres \n Perigee 35,779 kilometres \n General function of space object Communications satellite",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Basic orbital parameters \n Geostationary position 81 degrees West \nChange of position of thespace object\t\n Previous orbital position 117.5 degrees East \n New orbital position 81 degrees West \n Space object owner or operator Avanti Communications Group PLC \n Launch vehicle Ariane 5",
"[1] The data on the space object referenced in the annex were entered into the Register of Objects Launched into Outer Space on 21 December 2021.",
"[2] ^(*) The information was submitted using the form prepared pursuant to General Assembly resolution 62/101 and has been reformatted by the Secretariat."
] | ST_SG_SER.E_618_ADD.5 | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 16 December 2021 from the Permanent Mission of the United Kingdom to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit additional information concerning the change of location of space object HYLAS-1 (see annex). [1]",
"Annex",
"Additional information on previously registered space objects of the United Kingdom of Great Britain and Northern Ireland [2]",
"HYLAS-1",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"ST/SG/SER.E/618/Add.1 ST/SG/SER.E/618/Add.2 ST/SG/SER.E/618/Add.3 ST/SG/SER.E/618/Add.4 ST/SG/SER.E/917 ST/SG/SER.E/984 Date and location of launch ST/SG/SER.E/984 United Kingdom of Great Britain and Northern Ireland Registration Document",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Basic orbital parameters Relocation of space object 81 degrees West",
"The data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 21 December 2021.",
"[2] ^ (*) This information has been submitted in accordance with the form prepared pursuant to General Assembly resolution 62/101 and the format has been adjusted by the Secretariat."
] |
[
"依照《关于登记射入外层空间物体的公约》递交的资料",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团2021年12月15日致秘书长的普通照会",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团谨依照《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）第四条的规定，转交关于空间物体RemoveDebris的补充资料（见附件）。[1]",
"附件",
"关于大不列颠及北爱尔兰联合王国先前登记的空间物体的补充资料[2]",
"RemoveDebris",
"依照《关于登记射入外层空间物体的公约》提供的资料",
"空间研究委员会国际编号 1998-067NT\n 空间物体名称 RemoveDebris",
"登记国 大不列颠及北爱尔兰联合王国",
"登记文件 ST/SG/SER.E/864",
"发射日期和发射地区或地点 协调世界时2018年6月20日11时35分0秒；国际空间站",
"基本轨道参数",
"交点周期 92.6分钟",
"倾角 51.64度",
"远地点 404公里",
"近地点 400公里",
"空间物体的一般功用 技术演示",
"衰减/重返/脱离轨道日期 协调世界时2021年12月4日7时10分",
"自愿提供的用于《射入外层空间物体登记册》的补充资料",
"空间物体所有人或运营人 萨里空间中心\n 运载火箭 国际空间站的空间部署",
"[1] ¹ 附件中提及的空间物体数据已于2021年12月21日登入《射入外层空间物体登记册》。",
"[2] ^(*) 本资料采用根据大会第62/101号决议制作的表格提交，秘书处对格式作了调整。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 15 December 2021 from the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit additional information on the space object RemoveDebris (see annex).[1]",
"Annex",
"Additional information on a space object previously registered by the United Kingdom of Great Britain and Northern Ireland[2]",
"RemoveDebris",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Researchinternational designator\t1998-067NT\n Name of space object RemoveDebris \nState of registry\tUnited Kingdom of Great Britainand Northern Ireland\n Registration document ST/SG/SER.E/864 \nDate and territory or locationof launch\t20 June 2018 at 1135 hours 0seconds UTC; International SpaceStation (ISS)\n Basic orbital parameters \n Nodal period 92.6 minutes \n Inclination 51.64 degrees \n Apogee 404 kilometres \n Perigee 400 kilometres \n General function of space object Technology demonstration \n Date of decay/re-entry/deorbit 4 December 2021 at 0710 hours UTC",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Space object owner or operator Surrey Space Centre\n Launch vehicle Space deployment from ISS",
"[1] ¹ The data on the space objects referenced in the annex were entered into the Register of Objects Launched into Outer Space on 21 December 2021.",
"[2] ^(*) The information was submitted using the form prepared pursuant to General Assembly resolution 62/101 and has been reformatted by the Secretariat."
] | ST_SG_SER.E_864_ADD.1 | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 15 December 2021 from the Permanent Mission of the United Kingdom to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit additional information concerning space object Remove Debris (see annex). [1]",
"Annex",
"Additional information on space objects previously registered by the United Kingdom of Great Britain and Northern Ireland [2]",
"Remove Debras",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research international designator 1998-067NT Name of space object",
"United Kingdom of Great Britain and Northern Ireland",
"ST/SG/SER.E/864",
"Date and territory or location of launch",
"Basic orbital parameters",
"Nodal period 92.6 minutes",
"Inclination: 51.64 degrees",
"Apogee 404 kilometres",
"Perigee: 400 kilometres",
"General function of space object",
"Date of decay/re-entry/de-orbit",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Space station space station deployment",
"The data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 21 December 2021.",
"[2] ^ (*) This information has been submitted in accordance with the form prepared pursuant to General Assembly resolution 62/101 and the format has been adjusted by the Secretariat."
] |
[
"依照《关于登记射入外层空间物体的公约》递交的资料",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团2022年4月1日致秘书长的普通照会",
"大不列颠及北爱尔兰联合王国常驻联合国（维也纳）代表团谨此确认，AMC-18号空间物体应列入美利坚合众国国家登记册，因此现已移至英国外层空间物体补充登记册（见附件）。[1]",
"附件",
"大不列颠及北爱尔兰联合王国先前登记的空间物体的补充资料[2]",
"AMC-18",
"依照《关于登记射入外层空间物体的公约》提供的资料",
"空间研究委员会国际编号 2006-054B\n 空间物体名称 AMC-18",
"登记国 大不列颠及北爱尔兰联合王国",
"登记文件 ST/SG/SER.E/554",
"发射日期和发射地区或地点 协调世界时2006年12月8日05时00分；法属圭亚那",
"基本轨道参数",
"交点周期 1,436分钟",
"倾角 1.8度",
"远地点 35,796公里",
"近地点 35,774公里",
"空间物体的一般功用 通信卫星",
"自愿提供的用于《射入外层空间物体登记册》的补充资料",
"对地静止位置 西经83度 \n其他资料\t英国确认，空间物体SES AMC18现已从英国国家登记册移至英国外层空间物体补充登记册",
"[1] 附件中提及的空间物体数据已于2022年4月11日登入《射入外层空间物体登记册》。",
"[2] ^(*) 本资料采用根据大会第62/101号决议制作的表格提交，秘书处对格式作了调整。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 1 April 2022 from the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) has the honour to confirm that the space object AMC-18 should be held on the national registry of the United States of America and therefore has been moved to the United Kingdom Supplementary Registry of Outer Space Objects (see annex).[1]",
"Annex",
"Additional information on a space object previously registered by the United Kingdom of Great Britain and Northern Ireland[2]",
"AMC-18",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research 2006-054B international designator\n Name of space object AMC-18",
"State of registry United Kingdom of Great Britain and Northern Ireland",
"Registration documents ST/SG/SER.E/554",
"Date and territory or location of 8 December 2006 at 0500 hours UTC; launch French Guiana",
"Basic orbital parameters",
"Nodal period 1,436 minutes",
"Inclination 1.8 degrees",
"Apogee 35,796 kilometres",
"Perigee 35,774 kilometres",
"General function of space object Communications satellite",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"Geostationary position 83 degrees West \nOther information\tThe United Kingdom confirms thatthe space object SES AMC-18 hasbeen moved from the UnitedKingdom’s national registry tothe United Kingdom SupplementaryRegistry of Outer Space Objects",
"[1] The data on the space object referenced in the annex were entered into the Register of Objects Launched into Outer Space on 11 April 2022.",
"[2] ^(*) The information was submitted using the form prepared pursuant to General Assembly resolution 62/101 and has been reformatted by the Secretariat."
] | ST_SG_SER.E_554_ADD.1 | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 1 April 2022 from the Permanent Mission of the United Kingdom to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations (Vienna) has the honour to confirm that space object AMC-18 should be included in the national registry of the United States of America and has been moved to the British Supplementary Register of Outer Space Objects (see annex). [1]",
"Annex",
"Additional information on previously registered space objects of the United Kingdom of Great Britain and Northern Ireland [2]",
"AMC-18",
"Information provided in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Committee on Space Research international designator 2006-054B Name of space object AMC-18",
"United Kingdom of Great Britain and Northern Ireland",
"ST/SG/SER.E/554",
"Date and territory or location of launch 8 December 2006 0500 UTC; French Guiana",
"Basic orbital parameters",
"Nodal period 1,436 minutes",
"Inclination 1.8 degrees",
"Apogee: 35,796 kilometres",
"Perigee: 35,774 kilometres",
"General function of space object",
"Additional voluntary information for use in the Register of Objects Launched into Outer Space",
"British confirmation that space object SES AMC18 has been transferred from the British National Register to the British Supplementary Register of Outer Space Objects.",
"[1] Data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 11 April 2022.",
"[2] ^ (*) This information has been submitted in accordance with the form prepared pursuant to General Assembly resolution 62/101 and the format has been adjusted by the Secretariat."
] |
[
"依照《关于登记射入外层空间物体的公约》递交的资料",
"新西兰常驻联合国（维也纳）代表团2022年4月11日致秘书长的普通照会",
"新西兰常驻联合国（维也纳）代表团谨依照《关于登记射入外层空间物体的公约》（大会第3235 (XXIX)号决议，附件）第四条的规定，转交新西兰2021年6月1日至2022年3月31日期间发射进入外层空间的物体的有关资料（见附件）。[1]",
"附件",
"关于新西兰发射的空间物体的资料，包括从新西兰领土发射的以及根据新西兰核准的海外有效载荷许可证 从新西兰领土之外发射的空间物体的资料[2]^(,*)^(*)",
"一. 新西兰登记的物体",
"A. 2021年6月1日至2022年3月31日期间新西兰发射的物体",
"国际编号 国家编号 名称 发射日期和时间（新西兰时间) 其他 基本轨道参数 空间物体的 自愿补充资料 发射国 一般功用\n 交点周期（分钟） 倾角（度） 远地点（公里） 近地点（公里） 有效载荷的所有人或 运载 网站 运营人 火箭",
"2022-020B NZ-2022-02 电子号补充加速级火箭体 2022年3月1日09时37分 美利坚 94.92 97.09 555 475 火箭体 美国火箭实验室公司 电子号 www.rocketlabusa.com 合众国",
"2022-020C NZ-2022-03 电子号火箭体 2022年3月1日09时37分 美国 87.78 97.70 192 137 火箭体 美国火箭实验室公司 电子号 www.rocketlabusa.com",
"B. 2021年6月1日至2022年3月31日期间根据新西兰核准的海外有效载荷许可证在新西兰领土之外发射的物体",
"国际编号 国家编号 名称 发射日期 登记国 其他 基本轨道参数 空间物体的 自愿补充资料 （协调世界时） 发射国 一般功用\n 交点周期（分钟） 倾角（度） 远地点（公里） 近地点（公里） 有效载荷的 运载火箭 网站 所有人或运营人",
"2021-059L NZ-2022-04 SpaceBEENZ-7 2021年6月30日 新西兰 美国 95.04 97.54 526 514 通信和物联网 Swarm 猎鹰9号v.1.2 - Technologies公司 (Block 5) （Swarm NZ有限公司)",
"2021-059N NZ-2022-05 SpaceBEENZ-8 2021年6月30日 新西兰 美国 95.04 97.54 526 514 通信和物联网 Swarm NZ有限 猎鹰9号v.1.2 - 公司 (Block 5)",
"2021-059J NZ-2022-06 SpaceBEENZ-9 2021年6月30日 新西兰 美国 95.05 97.54 526 515 通信和物联网 Swarm NZ有限 猎鹰9号v.1.2 - 公司 (Block 5)",
"2021-059D NZ-2022-07 SpaceBEENZ-10 2021年6月30日 新西兰 美国 95.05 97.54 526 515 通信和物联网 Swarm NZ有限 猎鹰9号v.1.2 - 公司 (Block 5)",
"2022-026M NZ-2022-08 SpaceBEENZ-11 2022年3月15日 新西兰 美国 95.12 97.5 544 505 通信和物联网 Swarm NZ有限 阿斯特拉火箭3.3 - 公司",
"注：SpaceBEENZ-7至11是根据新西兰核准的海外有效载荷许可证在新西兰领土之外发射的。新西兰正在对这些卫星进行登记，因为有效载荷许可证持有者是新西兰实体。",
"C. 已不在轨道上的物体",
"国际编号 国家编号 名称 发射日期和时间 空间物体的一般功用 重返大气层日期（协调世界时） （新西兰时间)\n 2021-106C NZ-2021-16 电子号碎片―有效载荷适配器 2021年11月18日14时38分 碎片―有效载荷适配器 2022年3月12日",
"2021-120C NZ-2021-25 电子号碎片―有效载荷适配器 2021年12月9日13时02分 碎片―有效载荷适配器 2022年3月21日",
"2022-020C NZ-2022-03 电子号火箭体 2022年3月1日09时37分 火箭体 2022年3月15日",
"D. 以往报告中发现的、现留在轨道上但不再运行的物体",
"国际编号 国家编号 名称 发射日期 空间物体的 空间物体丧失功用的日期（协调世界时） （协调世界时） 一般功用",
"无",
"E. 以往报告中发现的、现已移至弃星轨道的物体",
"国际编号 国家编号 名称 发射日期 空间物体的 对地静止位置 空间物体移至 空间物体移至弃星轨道（改变轨道、消能和实行 （协调世界时） 一般功用 （东经，度） 弃星轨道的日期 《空间碎片减缓准则》建议的其他措施）时的物理状况",
"无",
"F. 注册或所有权已从新西兰转移到另一国的物体",
"国际编号 国家编号 名称 监管权变更日期（协调世界时） 新的所有人或 原所有人或 原轨道位置 新轨道位置 空间物体 运营人身份 运营人身份 功用的变更",
"无",
"G. 注册或所有权已转至新西兰的物体",
"国际编号 国家编号 名称 监管权变更日期（协调世界时） 新的所有人或 原所有人或 原轨道位置 新轨道位置 空间物体 运营人身份 运营人身份 功用的变更",
"无",
"H. 注册或所有权已从一国转移到另一国的物体，但不包括新西兰",
"国际编号 国家编号 名称 监管权变更日期（协调世界时） 新的所有人或 原所有人或 原轨道位置 新轨道位置 空间物体 运营人身份 运营人身份 功用的变更",
"无",
"二. 对以往报告的信息的修订",
"无修订。",
"三. 关于2022年3月从新西兰发射的空间物体的通知",
"下列空间物体未由新西兰进行登记。",
"新西兰发射的物体",
"国际编号 国家编号 名称 发射日期和时间 其他发射国 基本轨道参数 空间物体的 自愿补充资料 （新西兰时间) 一般功用\n 交点周期 倾角（度） 远地点 近地点（公里） 有效载荷的 运载火箭 网站 （分钟） （公里） 所有人或运营人",
"2022-020A NZ-2022-01 StriX-Beta 2022年3月1日09时37分 日本 95.93 97.78 572 554 遥感 Synspective公司 电子号 www.synspective.com",
"注：截至2022年4月1日确定的轨道参数（资料来源：www.space-track.org）。",
"四. 新西兰发射的在轨道上不复存在的物体",
"下列空间物体未由新西兰进行登记。",
"国际编号 国家编号 名称 发射日期和时间 其他发射国 空间物体的一般功用 重返大气层日期 （协调世界时）",
"2018-010A NZ-2018-006 Dove Pioneer 2018年1月21日01时43分（协调世界时） 美国 遥感 2019年9月22日",
"2019-037F NZ-2019-016 SpaceBEE-9 2019年6月29日16时30分（新西兰时间） 美国 技术示范和通信 2021年12月16日",
"注：截至2022年4月1日确定的轨道参数（资料来源：www.space-track.org）。",
"[1] ¹ 附件中提及的空间物体数据已于2022年5月4日登入《射入外层空间物体登记册》。",
"[2] ^(*) 数据按收到时的原样转载。",
"^(**) 如www.space-track.org上所述。"
] | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 11 April 2022 from the Permanent Mission of New Zealand to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of New Zealand to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit herewith information concerning objects launched into outer space from New Zealand during the period from 1 June 2021 to 31 March 2022 (see annex).[1]",
"Annex",
"Information on space objects launched by New Zealand, including from New Zealand territory, as well as from outside New Zealand territory on the basis of overseas payload permits authorized by New Zealand[2]",
"I. Objects registered by New Zealand",
"A. Objects launched by New Zealand during the period from 1 June 2021 to 31 March 2022",
"International National Name Date and Other Basic General Additional designator designator time launching orbital function voluntary of the States parameters of the information launch space (New object Zealand time)\n Nodal period Inclination Apogee Perigee Payload owner Launch Website (minutes) (degrees) (km) (km) or operator vehicle",
"2022-020B NZ-2022-02 Electron 1 March United 94.92 97.09 555 475 Rocket Rocket Lab Electron www.rocketlabusa.com Kick Stage 2022, States of body USA Rocket 0937 America Body hours",
"2022-020C NZ-2022-03 Electron 1 March United 87.78 97.70 192 137 Rocket Rocket Lab Electron www.rocketlabusa.com Rocket 2022, States body USA Body 0937 hours",
"B. Objects launched outside New Zealand territory, on the basis of overseas payload permits authorized by New Zealand, during the period from 1 June 2021 to 31 March 2022",
"International National Name Date of State of Other Basic General function Additional designator designator the registry launching orbital of the space voluntary launch States parameters object information (UTC)\n Nodal period Inclination Apogee Perigee (km) Payload owner Launch Website (minutes) (degrees) (km) or operator vehicle",
"2021-059L NZ-2022-04 SpaceBEENZ-7 30 June New United 95.04 97.54 526 514 Communications Swarm Falcon 9 - 2021 Zealand States and Internet of Technologies v.1.2 Things (IoT) Inc. (Swarm NZ (Block 5) Limited)",
"2021-059N NZ-2022-05 SpaceBEENZ-8 30 June New United 95.04 97.54 526 514 Communications Swarm NZ Falcon 9 - 2021 Zealand States and IoT Limited v.1.2 (Block 5)",
"2021-059J NZ-2022-06 SpaceBEENZ-9 30 June New United 95.05 97.54 526 515 Communications Swarm NZ Falcon 9 - 2021 Zealand States and IoT Limited v.1.2 (Block 5)",
"2021-059D NZ-2022-07 SpaceBEENZ-10 30 June New United 95.05 97.54 526 515 Communications Swarm NZ Falcon 9 - 2021 Zealand States and IoT Limited v.1.2 (Block 5)",
"2022-026M NZ-2022-08 SpaceBEENZ-11 15 March New United 95.12 97.5 544 505 Communications Swarm NZ Astra - 2022 Zealand States and IoT Limited Rocket 3.3",
"Note: SpaceBEENZ-7 to 11 were launched outside of New Zealand territory on the basis of overseas payload permits authorized by New Zealand. New Zealand is registering these satellites because the payload permit holders are New Zealand entities.",
"C. Objects no longer in orbit",
"International National Name Date and General Date of designator designator time function of re-entry of the the space (UTC) launch object (New Zealand time)\n 2021-106C NZ-2021-16 Electron 18 November Debris – 12 March debris – 2021, 1438 payload 2022 payload hours adapter adapter",
"2021-120C NZ-2021-25 Electron 9 December Debris – 21 March debris – 2021, 1302 payload 2022 payload hours adapter adapter",
"2022-020C NZ-2022-03 Electron 1 March Rocket body 15 March Rocket Body 2022, 0937 2022 hours",
"D. Objects identified in a previous report that remain in orbit but are no longer operational",
"International National Name Date of the General Date when space designator designator launch function object was no (UTC) of the longer functional space (UTC) object",
"None",
"E. Objects identified in a previous report that have been moved to a disposal orbit",
"International National Name Date of General Geostationary Date when Physical conditions when designator designator the function position space space object was moved to launch of the (degrees East) object was a disposal orbit (change (UTC) space moved to a in orbit, passivation and object disposal other measures orbit recommended in space debris mitigation guidelines)",
"None",
"F. Objects the registration or ownership of which has been transferred from New Zealand to another country",
"International National Name Date of Identity Identity Previous New Change of designator designator change in of the new of the orbital orbital function supervision owner or previous position position of (UTC) operator owner or the space operator object",
"None",
"G. Objects the registration or ownership of which has been transferred to New Zealand",
"International National Name Date of Identity Identity Previous New Change of designator designator change in of the new of the orbital orbital function supervision owner or previous position position of (UTC) operator owner or the space operator object",
"None",
"H. Objects the registration or ownership of which has been transferred from one country to another, excluding New Zealand",
"International National Name Date of Identity Identity Previous New Change of designator designator change in of the new of the orbital orbital function supervision owner or previous position position of (UTC) operator owner or the space operator object",
"None",
"II. Revisions to previously reported information",
"No revisions.",
"III. Notification of space objects launched from New Zealand in March 2022",
"The following space objects are not registered by New Zealand.",
"Objects launched by New Zealand",
"International National Name Date and Other Basic General Additional designator designator time of launching orbital function voluntary the States parameters of the information launch space (New object Zealand time)\n Nodal period Inclination Apogee Perigee Payload owner Launch Website (minutes) (degrees) (km) (km) or operator vehicle",
"2022-020A NZ-2022-01 StriX-Beta 1 March Japan 95.93 97.78 572 554 Remote Synspective Electron www.synspective.com 2022, sensing Inc. 0937 hours",
"Note: Orbital parameters identified as at 1 April 2022 (source: www.space-track.org).",
"IV. Objects launched by New Zealand that are no longer in orbit",
"The following space objects are not registered by New Zealand.",
"International National Name Date and Other General function Date of designator designator time of launching of the space re-entry the States object (UTC) launch",
"2018-010A NZ-2018-006 Dove Pioneer 21 United Remote sensing 22 January States September 2018, 2019 0143 hours (UTC)",
"2019-037F NZ-2019-016 SpaceBEE-9 29 June United Technology 16 December 2019, States demonstration 2021 1630 and hours communications (New Zealand time)",
"Note: Orbital parameters identified as at 1 April 2022 (source: www.space-track.org).",
"[1] ¹ The data on space objects referenced in the annex were entered into the Register of Objects Launched into Outer Space on 4 May 2022.",
"[2] ^(*) The data are reproduced in the form in which they were received.",
"^(**) As identified on www.space-track.org."
] | ST_SG_SER.E_1052 | [
"Information furnished in conformity with the Convention on Registration of Objects Launched into Outer Space",
"Note verbale dated 11 April 2022 from the Permanent Mission of New Zealand to the United Nations (Vienna) addressed to the Secretary-General",
"The Permanent Mission of New Zealand to the United Nations (Vienna), in accordance with article IV of the Convention on Registration of Objects Launched into Outer Space (General Assembly resolution 3235 (XXIX), annex), has the honour to transmit information concerning objects launched into outer space by New Zealand during the period from 1 June 2021 to 31 March 2022 (see annex). [1]",
"Annex",
"Information on space objects launched by New Zealand, including space objects launched from New Zealand territory and launched from outside New Zealand territory under an overseas payload licence approved by New Zealand [2]^(,*)^(*)*)",
"I. Objects registered by New Zealand",
"A. Objects launched by New Zealand between 1 June 2021 and 31 March 2022",
"National designator Name Date and time of launch (New Zealand time) Other Basic orbital parameters Voluntary additional information on space objects Launching State General function Nodal period (minutes) Inclination (degree) Apogee (km) Perigee (km) Owner or carrier of payload Website Operator Rocket",
"2022-02B NZ-2022-02 Supplementary Accelerator class rocket body Electronics 1 March 2022 at 0937 U.S.F. 94.92 97.09 555 475 U.S. Rocket Laboratory Company Electronics No.",
"2022-020C NZ-2022-03 Electronic rocket launcher 1 March 2022 at 0937 hours United States",
"B. Objects launched outside New Zealand territory under an overseas payload licence approved by New Zealand between 1 June 2021 and 31 March 2022",
"National designator Name Date of launch State Other basic orbital parameters Voluntary supplementary information on space objects (coordinated Universal Time) Launching State General function Nodal period (minutes) Inclination (degree) Apogee (km) Perigee (km) Launch vehicle Web site Owner or operator",
"2021-059L NZ-2022-04 SpaceBEENZ-7 30 June 2021 New Zealand United States 95.04 97.54 526,514 Communications and Internet of Materials Swarm Falcon 9 v. 1.2 - Technologys (Block 5) (Swarm NZ Ltd.)",
"2021-059N NZ-2022-05 SpaceBEENZ-8 30 June 2021 New Zealand United States 95.04 97.54 526,514 Communications and Physical Networking Swarm NZ Limited Falcon 9 v.1.2 - Company (Block 5)",
"2021-059J NZ-2022-06 SpaceBEENZ-9 June 30, 2021 New Zealand United States 95.05.97.54 526,515 Communications and goods networking Swarm NZ Limited Falcon 9 v.1.2 - Company (Block 5)",
"2021-059D NZ-2022-07 SpaceBEENZ-10 30 June 2021 New Zealand United States 95.05 97.54 526,515 Communications and goods networking Swarm NZ Limited Falcon 9 v. 1.2 - Company (Block 5)",
"2022-026M NZ-2022-08 SpaceBEENZ-11 15 March 2022 New Zealand",
"Note: SpaceBEENZ-7 to 11 was launched outside New Zealand territory under an overseas payload licence approved by New Zealand. New Zealand is in the process of registering these satellites because the payload licence holder is a New Zealand entity.",
"C. Objects no longer in orbit",
"International designator National name Date and time of launch General function of space object Date of re-entry (Harmonisation World Time) (New Zealand time) 2021-106C NZ-2021-16 E-debris - payload adapter 18.11.2021 1438 hrs Debris - Payload adapter 12.1222",
"2021-120C NZ-2021-25 Fragment Electronic - Payload adapter 9 December 2021 at 1302 hours Debris - Payload adapter 21 March 2022",
"2022-020C NZ-2022-03 E-rocketed rocket launcher 1 March 2022 at 0937 hours",
"D. Objects identified in previous reports that remain in orbit but are no longer operational",
"Date of loss of function of space object (UTC) (UTC) General function",
"None",
"E. Objects identified in previous reports that have been moved to disposal orbit",
"International designator National designator Date of launch Geostationary position of the space object Physical status of the space object when it is moved to a disposal orbit (re-orbiting, passivation and operation (UTC)) General function (E, degrees) Date of disposal orbit Date of launch Date of space debris mitigation guidelines",
"None",
"F. Objects whose registration or ownership has been transferred from New Zealand to another State",
"International designator Country name Date of change of custody (UTC) New owner or original owner or former orbital position New orbital position Space object operator identity Operator identity change function",
"None",
"G. Objects whose registration or ownership has been transferred to New Zealand",
"International designator Country name Date of change of custody (UTC) New owner or original owner or former orbital position New orbital position Space object operator identity Operator identity change function",
"None",
"H. Objects whose registration or ownership has been transferred from one State to another, excluding New Zealand",
"International designator Country name Date of change of custody (UTC) New owner or original owner or former orbital position New orbital position Space object operator identity Operator identity change function",
"None",
"II. Revision of information from previous reports",
"No revision.",
"Notification of a space object launched from New Zealand in March 2022",
"The following space objects are not registered by New Zealand.",
"Objects launched by New Zealand",
"National designator Name Date and time of launch Other launching State Basic orbital parameters Voluntary supplementary information on space objects (New Zealand time) General function Nodal period Inclination (degrees) Apogee Perigee (km) payload Launch vehicle website (minutes) Owner or operator",
"2022-020A NZ-2022-01 StriX-Beta 1 March 2022 at 0937 hours Japan 95.93 97.78 572 554 Remotely sensed Synspective Company Electronic number www.synspective.com",
"Note: Orbital parameters established as at 1 April 2022 (source: www.space-track.org).",
"IV. Objects launched by New Zealand that ceased to exist in orbit",
"The following space objects are not registered by New Zealand.",
"Date and time of launch Other launching States General function of space object Date of re-entry (UTC)",
"21 January 2018 at 0143 hours UTC",
"2019-037F NZ-2019-016 SpaceBEE-9 29 June 2019 at 1630 hours (New Zealand time)",
"Note: Orbital parameters established as at 1 April 2022 (source: www.space-track.org).",
"The data on space objects mentioned in the annex were entered in the Register of Objects Launched into Outer Space on 4 May 2022.",
"[2] ^ (*) Data are reproduced in the form in which they were received.",
"^ (**) As described at www.space-track.org."
] |
[
"工业发展理事会",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"议程项目4",
"方案和预算委员会的报告",
"方案和预算委员会第三十八届会议（2022年6月21日至22日） 工作报告",
"目录",
"段次\t页次 \n导言 1-8 2\t\n1.组织事项和程序问题 9-10 3\t\n2.《总干事2021年年度报告》（项目3）和成果管理：2022-2025年中期方案纲要最新执行情况（项目3(a)） 11-12 3\t\n3.工发组织对COVID-19大流行病的应对措施（项目12） 13-14 3\t\n4.工发组织财务状况，包括未用经费余额（项目5） 15-16 3\t\n5.方案和预算委员会相关问题非正式工作组的报告（项目6） 17-18 4\t\n6.调集财力资源（项目7） 19-20 4\t\n7.外聘审计员2021年的报告（项目4） 21-22 5\t\n8.总体风险管理（项目8） 23-24 5\t\n9.最新中期投资建议（项目9） 25-26 5\t\n10. 第三个非洲工业发展十年（第三个非洲工发十年）（项目10） 27-28 5\t\n11.联合国发展系统改革（项目11） 29-30 5\t\n12. 第三十九届会议的会期（项目13） 31-32 6\t\n13. 通过报告（项目14）和第三十八届会议闭幕 33-34 6\t\n 附件 \n提交给第三十八届会议的文件一览表 7",
"导言",
"1. 方案和预算委员会于2022年6月21日和22日在维也纳国际中心工发组织总部举行了其第三十八届会议。委员会会议以包括面对面参与和虚拟参与的混合形式举行。委员会所有26名成员[1]都参加了会议：阿尔及利亚、阿根廷、奥地利、巴西、布基纳法索、中国、埃及、芬兰、德国、加纳、匈牙利、印度、伊朗伊斯兰共和国、意大利、日本、马耳他、墨西哥、摩洛哥、巴基斯坦、菲律宾、波兰、俄罗斯联邦、西班牙、突尼斯、土耳其、乌拉圭。",
"2. 工发组织下列64个成员也出席了会议：阿富汗、阿尔巴尼亚、安哥拉、亚美尼亚、阿塞拜疆、孟加拉国、巴巴多斯、白俄罗斯、贝宁、波斯尼亚和黑塞哥维那、保加利亚、智利、哥伦比亚、哥斯达黎加、科特迪瓦、塞浦路斯、捷克、朝鲜民主主义人民共和国、多米尼加共和国、厄瓜多尔、萨尔瓦多、洪都拉斯、印度尼西亚、伊拉克、以色列、约旦、肯尼亚、科威特、吉尔吉斯斯坦、老挝人民民主共和国、黎巴嫩、莱索托、利比亚、卢森堡、马达加斯加、马来西亚、蒙古、黑山、缅甸、纳米比亚、尼泊尔、荷兰、尼加拉瓜、挪威、阿曼、巴勒斯坦国、巴拿马、秘鲁、卡塔尔、大韩民国、罗马尼亚、塞内加尔、塞舌尔、斯洛文尼亚、南非、斯里兰卡、苏丹、瑞典、阿拉伯叙利亚共和国、泰国、乌克兰、阿拉伯联合酋长国、委内瑞拉玻利瓦尔共和国、越南、也门。",
"3. 下列组织派代表出席了会议：黑海经济合作组织（黑海经合组织）、欧洲联盟（欧盟）、海合会标准化组织、海湾合作委员会（海合会）、国际椰子共同体和阿拉伯国家联盟（阿盟）。",
"4. 根据议事规则第17条，委员会以鼓掌方式选举Alessandro Cortese先生阁下（意大利）担任主席；选举Aftab Ahmad Khokher先生阁下（巴基斯坦）、Hazem Zaki先生（埃及）和Andrea Nemes女士（匈牙利）为副主席；及Maria Elizabeth Bogosián Álvarez女士（乌拉圭）为报告员。",
"5. 委员会通过的第三十八届会议议程载于PBC.38/1/Rev.1号文件。在通过议程及核准主席提议的工作日程表之后，总干事作了介绍性发言，委员会在审议相关议程项目时对此作了适当考虑。",
"6. 方案和预算委员会的报告已根据《章程》第10.4(d)条提交工业发展理事会。",
"7. 本报告载有委员会达成的结论。本报告附件载有提交委员会本届会议的文件一览表。",
"8. 委员会的下列结论中载有吁请理事会第五十届会议采取行动的建议和与该届会议工作有关的建议：",
"结论 主题 页次",
"2022/2 工发组织财务状况 3",
"2022/3 调集财力资源 4",
"2022/4 第三十九届会议会期 6",
"一. 组织事项和程序问题",
"9. 6月21日，委员会审议了主席提交的关于优化利用现有会议服务资源的提议，并通过了以下结论，放弃了其关于暂停执行规则的24小时通知期：",
"第2022/1号结论 对现有会议服务资源的利用",
"委员会为尽可能最大限度地利用现有会议服务资源，决定立即暂停执行其关于法定人数的议事规则第24条，但仅限于其第三十八届会议期间不作任何实质性决定的各次会议。",
"10. 委员会决定召开会议期间的非正式协商，以便利草拟结论，并委托副主席Hazem Zaki先生（埃及）和Andrea Nemes女士（匈牙利）主持这些协商。委员会又将接收结论草案的截止日期设定在2022年6月21日下午4时15分，并决定发言报名于2022年6月22日上午10时截止。",
"二. 《总干事2021年年度报告》（项目3）和成果管理：2022-2025年中期方案纲要最新执行情况（项目3(a)）",
"11. 6月21日，委员会审议了《工发组织2021年年度报告》（PBC.38/2）和总干事关于成果管理：2022-2025年中期方案框架执行工作情况最新情况报告及其更新资料（PBC.38/5和CRP.5）。",
"12. 6月22日，在主席建议下，委员会注意到总干事就项目3和3(a)提供的信息。",
"三. 工发组织对COVID-19大流行病的应对措施（项目12）",
"13. 6月21日，委员会审议了总干事关于工发组织对COVID-19大流行病的应对措施的报告（PBC.38/12）。",
"14. 6月22日，在主席建议下，委员会注意到总干事就项目12提供的信息。",
"四. 工发组织财务状况，包括未用经费余额（项目5）",
"15. 6月22日，委员会审议了总干事关于工发组织财务状况的报告（PBC.38/4）和秘书处关于分摊会费现状的说明（PBC.36/CRP.4）。",
"16. 6月22日，委员会在审议了主席提交的关于工发组织财务状况的结论草案（PBC.38/L.2）后，通过了以下结论：",
"第2022/2号结论",
"方案和预算委员会建议工业发展理事会通过下述决定草案：",
"“工业发展理事会：",
"(a) 注意到IDB.50/4-PBC.38/4号文件所载信息；",
"(b) 促请尚未缴纳分摊会费包括周转基金预缴款和以往年份拖欠款的成员国和前成员国毫无拖延地缴纳这些款项；",
"(c) 请总干事继续努力同成员国和前成员国联系收缴拖欠款项。”",
"五. 方案和预算委员会相关问题非正式工作组的报告（项目6）",
"17. 6月22日，委员会审议了方案和预算委员会相关问题非正式工作组联合主席的报告和对报告的更新（PBC.38/6和CRP.6）。",
"18. 6月22日，在主席的建议下，委员会注意到联合主席就项目6提供的信息。",
"六. 调集财力资源（项目7）",
"19. 6月22日，委员会审议了总干事关于调集财力资源的报告（PBC.38/7/Rev.1）；《工发组织2021年年度报告》关于供资执行情况的第8章（PBC.38/2）；及秘书处关于2021年在工业发展基金、专题信托基金、单独信托基金和其他自愿捐款项下核准的项目的说明（PBC.38/CRP.7）。",
"20. 6月22日，委员会在审议了主席提交的关于调集财力资源的结论草案（PBC.38/L.3）后，通过了以下结论：",
"第2022/3号结论",
"方案和预算委员会建议工业发展理事会通过下述决定草案：",
"“工业发展理事会：",
"(a) 注意到IDB.50/7/Rev.1-PBC.38/7/Rev.1号文件所载信息；",
"(b) 决定授权总干事按照2022-2025年中期方案框架（IDB.49/8-PBC.37/8）界定的优先事项，以公平透明方式核准在2022年和2023年工业发展基金项下原先由工发组织秘书处、相关当事方和捐助方编拟和商定的供资项目；",
"(c) 鼓励成员国及其他供资伙伴方增加对工发组织的自愿捐款，包括对伙伴关系信托基金以及核心活动自愿捐款特别账户和主要资本投资基金的自愿捐款；",
"(d) 还鼓励所有供资伙伴考虑提供可编入方案的资金，特别是让工发组织能够对援助请求迅速做出回应，以迅捷协同的方式拟订并实施方案活动；",
"(e) 请成员国考虑向工发组织捐款，以使本组织能够经向专门信托基金捐款或在国家或全球层面上筹集特别用途资金而与需要联合供资的供资方开展合作；",
"(f) 鼓励受援国政府在与工发组织分担责任上发挥积极作用，为联合商定的优先活动调集资金，具体而言，就是率先确定和使用可在国家一级获得的资金（包括由地方分摊费用的机会），以及由双边供资伙伴、多捐助方信托基金、世界银行和其他发展筹资机构提供的资金；",
"(g) 强烈建议成员国对工发组织在国际发展背景下制订和推进其方案和举措的工作予以合作和支助，特别是为此举行国际会议和其他形式的对话，目的是确保人们广泛了解这些举措，认识到它们对国际发展目标的适切性，并为此提供资源。”",
"七. 外聘审计员2021年的报告（项目4）",
"21. 6月22日，委员会审议了外聘审计员关于联合国工业发展组织2021年1月1日至12月31日的财政年度决算的报告（PBC.38/3）；秘书处载有外聘审计员关于工发组织2021年1月1日至12月31日财政年度决算的报告（未经审计）附件的说明（PBC.38/CRP.2）；以及工发组织独立监督咨询委员会就对外聘审计员报告发表评论意见的说明（PBC.38/CRP.3）。",
"22. 6月22日，在主席的建议下，委员会注意到就项目4提供的信息。",
"八. 总体风险管理（项目8）",
"23. 6月22日，委员会审议了总干事关于总体风险管理的报告（PBC.38/8）。",
"24. 6月22日，在主席建议下，委员会注意到总干事就项目8提供的信息。",
"九. 最新中期投资建议（项目9）",
"25. 6月22日，委员会审议了总干事关于2022-2025年中期投资建议的报告（PBC.38/9）。",
"26. 6月22日，在主席建议下，委员会注意到总干事就项目9提供的信息。",
"十. 第三个非洲工业发展十年（第三个非洲工发十年）（项目10）",
"27. 6月22日，委员会审议了总干事关于第三个非洲工业发展十年（第三个非洲工发十年）的报告（PBC.38/10）。",
"28. 6月22日，在主席建议下，委员会注意到总干事就项目10提供的信息。",
"十一. 联合国发展系统改革（项目11）",
"29. 6月22日，委员会审议了总干事关于联合国发展系统改革的报告（PBC.38/11）。",
"30. 6月22日，在主席建议下，委员会注意到总干事就项目11提供的信息。",
"十二. 第三十九届会议的会期（项目13）",
"31. 6月22日，委员会注意到议程说明（PBC.38/1/Add.1）所列2022和2023年工发组织各决策机关的预定会期。",
"32. 6月22日，委员会在审议了主席提交的关于第三十九届会议会期的结论草案（PBC.38/L.4）后，通过了以下结论：",
"第2022/4号结论",
"方案和预算委员会决定于2023年5月15日至17日举行其第三十九届会议。",
"十三. 通过报告（项目14）和第三十八届会议闭幕",
"33. 6月22日，委员会通过了英文本的第三十八届会议工作报告（PBC.38/L.1），其所持谅解是，即委托报告员负责与指定的代表们协商完成最后审定该报告各语文本的工作。",
"34. 委员会第三十八届会议于2022年6月22日下午闭幕。",
"附件",
"提交给第三十八届会议的文件一览表",
"议程项目 文号 标题\n 1 选举主席团成员 - -",
"2 通过议程 PBC.38/1 临时议程",
"PBC.38/1/Add.1 临时议程说明",
"PBC.38/CRP.1 文件一览表",
"3 总干事2021年年度 PBC.38/2 《工发组织2021年年度报告》 报告 IDB.50/2",
"3. 成果管理：2022-2025年中期方案框架执行工作最新情况 PBC.38/5 成果管理：2022-2025年中期方案框架执行工作最新情况。总干事的报告 (a) IDB.50/5",
"PBC.38/CRP.5 最新通报——成果管理：2022-2025年中期方案框架执行工作最新情况。总干事的报告",
"4 外聘审计员2021年的报告 PBC.38/3 外聘审计员关于工发组织2021年1月1日至12月31日财政年度决算的报告 IDB.50/3",
"PBC.38/CRP.2 外聘审计员关于工发组织2021年1月1日至12月31日财政年度决算的报告（未经审计）的附件。",
"PBC.38/CRP.3 对外聘审计员报告的评论意见。工发组织独立监督咨询委员会的说明",
"5 工发组织财务状况，包括未用经费余额 PBC.38/4 工发组织财务状况。总干事的报告 IDB.50/4",
"PBC.38/CRP.4 分摊会费现状。秘书处的说明",
"6 方案和预算委员会相关问题非正式工作组的报告 PBC.38/6 方案和预算委员会相关问题非正式工作组的报告。联合主席的报告 IDB.50/6",
"PBC.38/CRP.6 方案和预算委员会相关问题非正式工作组报告的最新情况。联合主席的报告",
"7 调集财力资源 PBC.38/7/Rev.1 调集财力资源。总干事的报告 IDB.50/7/Rev.1",
"PBC.38/2，第8章IDB.50/2，第8章 供资执行情况。《工发组织2021年年度报告》",
"PBC.38/CRP.7 关于2021年在工业发展基金、专题信托基金、单独信托基金和其他自愿捐款项下核准的项目",
"8 总体风险管理 PBC.38/8 总体风险管理。总干事的报告 IDB.50/8",
"9 最新中期投资建议 PBC.38/9 2022-2025年中期投资建议。总干事的报告 IDB.50/9",
"10 第三个非洲工业发展十年（第三个非洲工发十年） PBC.38/10 第三个非洲工业发展十年（第三个非洲工发十年）。总干事的报告 IDB.50/10",
"11 联合国发展系统改革 PBC.38/11 联合国发展系统改革。总干事的报告 IDB.50/11",
"12 工发组织对COVID-19大流行病的应对措施 PBC.38/12 工发组织对COVID-19大流行病的应对措施。总干事的报告 IDB.50/12",
"13 第三十九届会议会期 PBC.38/1/Add.1 临时议程说明",
"14 通过报告 IDB.50/13 方案和预算委员会第三十八届会议（2022年6月21日至22日）工作报告",
"[1] 根据《工发组织章程》第10.1条，委员会应由大会选出的本组织27名成员组成。B组国家中的一个席位仍然空缺。委员会目前由26名成员组成。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Agenda item 4 \nReport of the Programme andBudget Committee",
"Report of the Programme and Budget Committee on the work of its thirty-eighth session (21–22 June 2022)",
"Contents",
"Paragraphs\tPage\t\nIntroduction 1–8 2I.Organizational 9–10 3 and procedural \nmatters II. Annual 11–12 3 Report of the Director General for 2021 (item 3) and Managing for results: Update on the implementation of the medium-term programme framework, 2022–2025 (item 3 \n (a)) III.UNIDO’s 13–14 3 response to the COVID-19 pandemic \n(item12) IV. Financial 15–16 3 situation of UNIDO, including unutilized balances of appropriations \n(item 5) V.Report 17–18 4 by the informal working group on Programme and Budget Committee-related issues \n(item 6) VI.Mobilization 19–20 4 of financial resources \n(item 7) VII. Report 21–22 5 of the External Auditor for 2021 \n(item 4) VIII.General 23–24 5 risk management \n(item 8) IX.Updated 25–26 5 medium-term investment proposals \n(item 9) X. Third 27–28 5 Industrial Development Decade for Africa (IDDAIII) \n(item10) XI. United 29–30 5 Nations development system reform \n(item11) XII.Date 31–32 6 of the thirty-ninth session \n(item13) XIII.Adoption 33–34 6 of the report (item14) and closure of the thirty-eighth \nsession \nAnnex Listofdocumentssubmittedto 7 thethirty-eighth \nsession",
"Introduction",
"1. The Programme and Budget Committee held its thirty-eighth session at UNIDO headquarters, Vienna International Centre, on 21 and 22 June 2022. The Committee was held in a hybrid format involving in-person and virtual participation. All 26 Members[1] of the Committee participated in the session: Algeria, Argentina, Austria, Brazil, Burkina Faso, China, Egypt, Finland, Germany, Ghana, Hungary, India, Iran (Islamic Republic of), Italy, Japan, Malta, Mexico, Morocco, Pakistan, Philippines, Poland, Russian Federation, Spain, Tunisia, Türkiye and Uruguay.",
"2. The following 64 Members of UNIDO also attended the session: Afghanistan, Albania, Angola, Armenia, Azerbaijan, Bangladesh, Barbados, Belarus, Benin, Bosnia and Herzegovina, Bulgaria, Chile, Colombia, Costa Rica, Côte d’Ivoire, Cyprus, Czechia, Democratic People’s Republic of Korea, Dominican Republic, Ecuador, El Salvador, Honduras, Indonesia, Iraq, Israel, Jordan, Kenya, Kuwait, Kyrgyzstan, Lao People’s Democratic Republic, Lebanon, Lesotho, Libya, Luxembourg, Madagascar, Malaysia, Mongolia, Montenegro, Myanmar, Namibia, Nepal, Netherlands, Nicaragua, Norway, Oman, State of Palestine, Panama, Peru, Qatar, Republic of Korea, Romania, Senegal, Seychelles, Slovenia, South Africa, Sri Lanka, Sudan, Sweden, Syrian Arab Republic, Thailand, Ukraine, United Arab Emirates, Venezuela (Bolivarian Republic of), Viet Nam and Yemen.",
"3. The following organizations were represented: Black Sea Economic Cooperation (BSEC), European Union (EU), GCC Standardization Organisation (GSO), Gulf Cooperation Council (GCC), International Coconut Community (ICC) and the League of Arab States (LAS).",
"4. In accordance with rule 17 of its rules of procedure, the Committee elected by acclamation H.E. Mr. Alessandro Cortese (Italy) as Chair; H.E. Mr. Aftab Ahmad Khokher (Pakistan), Mr. Hazem Zaki (Egypt), and Ms. Andrea Nemes (Hungary) as Vice-Chairs; and Ms. Maria Elizabeth Bogosián Álvarez (Uruguay) as Rapporteur.",
"5. The agenda for the thirty-eighth session as adopted by the Committee is contained in document PBC.38/1/Rev.1. Following the adoption of the agenda and the approval of a schedule of work proposed by the Chair, the Director General made an introductory statement that was duly taken into account by the Committee in the consideration of the relevant agenda items.",
"6. The report of the Programme and Budget Committee is submitted to the Industrial Development Board in accordance with Article 10.4 (d) of the Constitution.",
"7. The report contains the conclusions reached by the Committee. The annex to the present report contains a list of documents submitted to the Committee at its current session.",
"8. The following conclusions of the Committee contain recommendations that call for action by the Board at its fiftieth session or are of relevance to the work of that session:",
"Conclusion Subject Page",
"2022/2 Financial situation of UNIDO 4",
"2022/3 Mobilization of financial resources 4",
"2022/4 Date of the thirty-ninth session 6",
"I. Organizational and procedural matters",
"9. On 21 June, the Committee considered a proposal by the Chair to optimize the utilization of available conference-servicing resources and adopted the following conclusion, waiving its twenty-four hour notice period for the suspension of rules:",
"Conclusion 2022/1 Utilization of available conference-servicing resources",
"The Committee, with the aim of utilizing the available conference-servicing resources to the maximum extent possible, decided to suspend with immediate effect rule 24 of its rules of procedure relating to the quorum, for the meetings of its thirty-eighth session only, provided no substantive decisions were taken at those meetings.",
"10. The Committee decided to set up informal, in-session consultations with the aim of facilitating the drafting of conclusions and entrusted the Vice-Chairs Mr. Hazem Zaki (Egypt) and Ms. Andrea Nemes (Hungary) to chair those consultations. The Committee furthermore set the deadline for the receipt of draft conclusions at 4.15 p.m. on 21 June 2022, and decided to close the list of speakers at 10 a.m. on 22 June 2022.",
"II. Annual Report of the Director General for 2021 (item 3), and Managing for results: Update on the implementation of the medium-term programme framework, 2022–2025 (item 3 (a))",
"11. On 21 June, the Committee considered the Annual Report of UNIDO 2021 (PBC.38/2), a report by the Director General on Managing for Results: Update on the implementation of the medium-term programme framework, 2022–2025, and an update thereto (PBC.38/5 and CRP.5).",
"12. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Director General on item 3 and 3(a).",
"III. UNIDO’s response to the COVID-19 pandemic (item 12)",
"13. On 21 June, the Committee considered a report by the Director General on UNIDO’s response to the COVID-19 pandemic (PBC.38/12).",
"14. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Director General on item 12.",
"IV. Financial situation of UNIDO, including unutilized balances of appropriations (item 5)",
"15. On 22 June, the Committee considered a report by the Director General on the financial situation of UNIDO (PBC.38/4) and a note by the Secretariat on the status of assessed contributions (PBC.36/CRP.4).",
"16. On 22 June, after consideration of a draft conclusion on the financial situation of UNIDO, submitted by the Chair (PBC.38/L.2), the Committee adopted the following conclusion:",
"Conclusion 2022/2",
"The Programme and Budget Committee recommended to the Industrial Development Board the adoption of the following draft decision:",
"“The Industrial Development Board:",
"(a) Takes note of the information contained in document IDB.50/4-PBC.38/4;",
"(b) Urges those Member States and former Member States that have not yet paid their assessed contributions, including advances to the Working Capital Fund and prior years’ arrears, to do so without delay;",
"(c) Requests the Director General to pursue his efforts and contacts with Member States and former Member States to effect the collection of arrears.”",
"V. Report by the informal working group on Programme and Budget Committee-related issues (item 6)",
"17. On 22 June, the Committee considered the report by the Co-Chairs of the informal working group on Programme and Budget Committee-related issues and an update thereto (PBC.38/6 and CRP.6).",
"18. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Co-Chairs on item 6.",
"VI. Mobilization of financial resources (item 7)",
"19. On 22 June, the Committee considered a report by the Director General on the mobilization of financial resources (PBC.38/7/Rev.1); chapter 8 of the Annual Report of UNIDO 2021 on funding performance (PBC.38/2); and a note by the Secretariat on projects approved under the Industrial Development Fund, thematic and individual trust funds, and other voluntary contributions in 2021 (PBC.38/CRP.7).",
"20. On 22 June, after consideration of a draft conclusion on the mobilization of financial resources, submitted by the Chair (PBC.38/L.3), the Committee adopted the following conclusion:",
"Conclusion 2022/3",
"The Programme and Budget Committee recommended to the Industrial Development Board the adoption of the following draft decision:",
"“The Industrial Development Board:",
"(a) Takes note of the information contained in document IDB.50/7/Rev.1-PBC.38/7/Rev.1;",
"(b) Decides to delegate to the Director General the authority to approve in an equitable and transparent manner projects for financing, previously prepared and agreed by the UNIDO Secretariat and the concerned parties and donors, under the Industrial Development Fund in 2022 and 2023 in accordance with the priorities defined in the medium-term programme framework 2022–2025 (IDB.49/8-PBC.37/8);",
"(c) Encourages Member States and other funding partners to increase their voluntary contributions to UNIDO, including for the Partnership Trust Fund as well as the Special Account of Voluntary Contributions for Core Activities (SAVCCA) and the Major Capital Investment Fund (MCIF);",
"(d) Also encourages all funding partners to consider contributing programmable funds, specifically to enable UNIDO to respond rapidly to requests for assistance and develop and implement its programmatic activities in a prompt and coordinated manner;",
"(e) Requests Member States to consider contributing to UNIDO to enable the Organization to work with funding sources requiring co-funding, either through contributing to the dedicated trust funds or by special purpose funding at country or global level;",
"(f) Encourages governments of recipient countries to play an active role in sharing with UNIDO the responsibility for mobilizing funds for jointly agreed priority activities, and specifically to take the lead in identifying and accessing funds available at the country level, including local cost-sharing opportunities, and funds from bilateral funding partners, multi-donor trust funds, the World Bank as well as other development finance institutions;",
"(g) Strongly recommends that Member States cooperate with and support the Organization in its efforts to develop and promote its programmes and initiatives in the international development context, and especially through international conferences and other forms of dialogue, in order to ensure that these initiatives are well known, their relevance for international development targets are recognized, and resources are made available.”",
"VII. Report of the External Auditor for 2021 (item 4)",
"21. On 22 June, the Committee considered the report of the External Auditor on the accounts of the United Nations Industrial Development Organization for the financial year 1 January to 31 December 2021 (PBC.38/3); a note by the Secretariat containing the annexes to the report of the External Auditor on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (unaudited) (PBC.38/CRP.2); and a note by the UNIDO Independent Oversight Advisory Committee, providing comments on the report of the External Auditor (PBC.38/CRP.3).",
"22. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided on item 4.",
"VIII. General risk management (item 8)",
"23. On 22 June, the Committee considered a report by the Director General on general risk management (PBC.38/8).",
"24. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Director General on item 8.",
"IX. Updated medium-term investment proposals (item 9)",
"25. On 22 June, the Committee considered a report by the Director General on the medium-term investment proposals, 2022-2025 (PBC.38/9).",
"26. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Director General on item 9.",
"X. Third Industrial Development Decade for Africa (IDDA III) (item 10)",
"27. On 22 June, the Committee considered a report by the Director General on the Third Industrial Development Decade for Africa (IDDA III) (PBC.38/10).",
"28. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Director General on item 10.",
"XI. United Nations development system reform (item 11)",
"29. On 22 June, the Committee considered a report by the Director General on the United Nations development system reform (PBC.38/11).",
"30. On 22 June, at the suggestion of the Chair, the Committee took note of the information provided by the Director General on item 11.",
"XII. Date of the thirty-ninth session (item 13)",
"31. On 22 June, the Committee took note of the entry contained in the annotated agenda (PBC.38/1/Add.1) on the dates reserved for the policymaking organs of UNIDO in 2022 and 2023.",
"32. On 22 June, after consideration of a draft conclusion on the date of the thirty-ninth session, submitted by the Chair (PBC.38/L.4), the Committee adopted the following conclusion:",
"Conclusion 2022/4",
"The Programme and Budget Committee decided to hold its thirty-ninth session from 15 to 17 May 2023.",
"XIII. Adoption of the report (item 14) and closure of the thirty-eighth session",
"33. On 22 June, the Committee adopted the English language report on the work of its thirty-eighth session (PBC.38/L.1) on the understanding that the Rapporteur would be entrusted with the task of finalizing the language versions of the report in consultation with the designated representatives.",
"34. The Committee closed its thirty-eighth session in the afternoon of 22 June 2022.",
"Annex",
"List of documents submitted to the thirty-eighth session",
"Agenda item Symbol Title\n 1 Election of - - officers",
"2 Adoption of the PBC.38/1 Provisional agenda agenda",
"PBC.38/1/Add.1 Annotated provisional agenda",
"PBC.38/CRP.1 List of documents",
"3 Annual Report of PBC.38/2 Annual Report of UNIDO 2021 the Director IDB.50/2 General for 2021",
"3 (a) Managing for PBC.38/5 Managing for Results: Update on results: Update on IDB.50/5 the implementation of the the implementation medium-term programme framework, of the medium-term 2022–2025. Report by the programme Director General framework, 2022–2025",
"PBC.38/CRP.5 UPDATE – Managing for Results: Update on the implementation of the medium-term programme framework, 2022–2025. Report by the Director General",
"4 Report of the PBC.38/3 Report of the External Auditor External Auditor IDB.50/3 on the accounts of UNIDO for the for 2021 financial year 1 January to 31 December 2021",
"PBC.38/CRP.2 Annexes to the report of the External Auditor on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (unaudited).",
"PBC.38/CRP.3 Comments on the Report of the External Auditor. Note by the UNIDO Independent Oversight Advisory Committee",
"5 Financial situation PBC.38/4 Financial situation of UNIDO. of UNIDO, including IDB.50/4 Report by the Director General unutilized balances of appropriations",
"PBC.38/CRP.4 Status of assessed contributions. Note by the Secretariat",
"6 Report by the PBC.38/6 Report by the informal working informal working IDB.50/6 group on Programme and Budget group on Programme Committee-related issues. Report and Budget by the Co-Chairs Committee-related issues",
"PBC.38/CRP.6 Update on the report by the informal working group on Programme and Budget Committee-related issues. Report by the Co-Chairs",
"7 Mobilization of PBC.38/7/Rev.1 Mobilization of financial financial resources IDB.50/7/Rev.1 resources. Report by the Director General",
"PBC.38/2, Funding performance. Annual chapter 8 Report of UNIDO 2021 IDB.50/2, chapter 8",
"PBC.38/CRP.7 Projects approved under the Industrial Development Fund, thematic and individual trust funds, and other voluntary contributions in 2021",
"8 General risk PBC.38/8 General risk management. Report management IDB.50/8 by the Director General",
"9 Updated medium-term PBC.38/9 Medium-term investment investment IDB.50/9 proposals, 2022–2025. Report by proposals the Director General",
"10 Third Industrial PBC.38/10 Report on the Third Industrial Development Decade IDB.50/10 Development Decade for Africa for Africa (IDDA (IDDA III). Report by the III) Director General",
"11 United Nations PBC.38/11 United Nations development development system IDB.50/11 system reform. Report by the reform Director General",
"12 UNIDO’s response to PBC.38/12 UNIDO’s response to the COVID-19 the COVID-19 IDB.50/12 pandemic. Report by the Director pandemic General",
"13 Date of the PBC.38/1/Add.1 Annotated provisional agenda thirty-ninth session",
"14 Adoption of the IDB.50/13 Report of the Programme and report Budget Committee on the work of its thirty-eighth session (21–22 June 2022)",
"[1] As per Article 10.1 of the UNIDO Constitution, the Committee shall consist of 27 Members of the Organization elected by the Conference. One seat from List B remains vacant. Currently the Committee consists of 26 members."
] | IDB.50_13 | [
"Industrial Development Board",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Agenda item 4",
"Report of the Programme and Budget Committee",
"Report of the Programme and Budget Committee on the work of its thirty-eighth session (21-22 June 2022)",
"Contents",
"2. Annual report of the Director-General for 2021 (item 3) and results-based management: update on the implementation of the medium-term programme framework, 2022-2025 (item 3 (a)) 11-12.3 3. UNIDO ' s response to the COVID-19 pandemic (item 12) 13-14.3 4. UNIDO ' s financial situation, including the unutilized balances of appropriations (item 5) 15-16.3. Report of the informal working group on issues related to the programme and budgets Committee (item 6) 17-18.4 6. Mobilization of financial resources (item 7) 19-20.4 7. Report of the External Auditor for 2021 (item 4) 21-22 5 8. Overall risk management (item 8) 23-24 5 9. Updated medium-term investment proposals (item 9) 25-26.5 10. Third Industrial Development Decade for Africa (third Industrial Development Decade) (item 10) 27-28 5 11. Reform of the United Nations development system (item 11) 29-30.5 12.",
"Introduction",
"The Programme and Budget Committee held its thirty-eighth session at UNIDO Headquarters, Vienna International Centre, on 21 and 22 June 2022. Committee meetings are held in a mixed format that includes face-to-face and virtual participation. All 26 members of the Committee [1] participated in the meeting: Algeria, Argentina, Austria, Brazil, Burkina Faso, China, Egypt, Finland, Germany, Ghana, Hungary, India, Iran (Islamic Republic of), Italy, Japan, Malta, Mexico, Morocco, Pakistan, Philippines, Poland, Russian Federation, Spain, Tunisia, Turkey, Uruguay.",
"2. The following 64 Members of UNIDO also attended the session: Afghanistan, Albania, Angola, Armenia, Azerbaijan, Bangladesh, Barbados, Belarus, Benin, Bosnia and Herzegovina, Bulgaria, Chile, Colombia, Costa Rica, Côte d ' Ivoire, Cyprus, Czech Republic, Democratic People ' s Republic of Korea, Dominican Republic, Ecuador, El Salvador, Honduras, Indonesia, Iraq, Israel, Jordan, Kenya, Kuwait, Kyrgyzstan, Lao People ' s Democratic Republic, Lebanon, Lesotho, Libya, Luxembourg, Madagascar, Malaysia, Mongolia, Montenegro, Myanmar, Namibia, Nepal, Netherlands, Nicaragua, Norway, Oman, State of Palestine, Panama, Peru, Qatar, Republic of Korea, Romania, Senegal, Seychelles, Slovenia, South Africa, Sri Lanka, Sudan, Sweden, Syrian Arab Republic, Thailand, Ukraine, United Arab Emirates, Venezuela (Bolivarian Republic of), Viet Nam and Yemen.",
"3. The following organizations were represented: Black Sea Economic Cooperation Organization (BSEC), European Union (EU), GCC Organization for Standardization, Gulf Cooperation Council (GCC), International Coconut Community and League of Arab States (LAS).",
"In accordance with rule 17 of its rules of procedure, the Committee elected by acclamation H.E. Mr. Alessandro Cortese (Italy) as Chairman; H.E. Mr. Aftab Ahmad Khokher (Pakistan), Mr. Hazem Zaki (Egypt) and Ms. Andrea Nemes (Hungary) as Vice-Chairmen; and Ms. Maria Elizabeth Bogosián Álvarez (Uruguay) as Rapporteur.",
"The agenda for the thirty-eighth session, as adopted by the Committee, is contained in document PBC.38/1/Rev.1. Following the adoption of the agenda and approval of the schedule of work proposed by the Chairman, the Director-General made an introductory statement, which was duly taken into account by the Committee in its consideration of the relevant agenda items.",
"The report of the Programme and Budget Committee was submitted to the Industrial Development Board in accordance with Article 10.4 (d) of the Constitution.",
"7. The present report contains the conclusions reached by the Committee. The annex to the present report contains a list of documents submitted to the Commission at its current session.",
"8. The following conclusions of the Committee contain recommendations calling for action by the Board at its fiftieth session and those relevant to the work of that session:",
"Conclusion Subject Page",
"2022/2 Financial situation of UNIDO 3",
"2022/3 Mobilization of financial resources 4",
"2022/4 Date of the thirty-ninth session 6",
"I. Organizational and procedural matters",
"9. On 21 June, the Committee considered a proposal submitted by the Chairman to optimize the utilization of available conference-servicing resources and adopted the following conclusion, abandoning its 24-hour notice period for suspending the rule:",
"Conclusion 2022/1 Utilization of existing conference-servicing resources",
"The Committee, with the aim of utilizing the available conference-servicing resources to the maximum extent possible, decided to suspend immediately rule 24 of its rules of procedure relating to the quorum, for the meetings of its thirty-eighth session only, provided that no substantive decisions were taken at those meetings.",
"10. The Committee decided to hold informal consultations during the session to facilitate the drafting of conclusions and entrusted the Vice-Chairmen, Mr. Hazem Zaki (Egypt) and Ms. Andrea Nemes (Hungary), to chair those consultations. The Committee also set a deadline for the receipt of draft conclusions at 4.15 p.m. on 21 June 2022 and decided to close the list of speakers at 10 a.m. on 22 June 2022.",
"Annual report of the Director-General for 2021 (item 3) and results-based management: update on the implementation of the medium-term programme framework, 2022-2025 (item 3 (a))",
"On 21 June, the Committee considered the Annual Report of UNIDO 2021 (PBC.38/2) and the Director-General's update on results-based management: implementation of the medium-term programme framework, 2022-2025, and its updates (PBC.38/5 and CRP.5).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Director-General on items 3 and 3 (a).",
"III. UNIDO response to the COVID-19 pandemic (item 12)",
"On 21 June, the Committee considered a report by the Director-General on UNIDO ' s response to the COVID-19 pandemic (PBC.38/12).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Director-General on item 12.",
"IV. Financial situation of UNIDO, including unutilized balances of appropriations (item 5)",
"On 22 June, the Committee considered a report by the Director-General on the financial situation of UNIDO (PBC.38/4) and a note by the Secretariat on the status of assessed contributions (PBC.36/CRP.4).",
"On 22 June, after consideration of a draft conclusion on the financial situation of UNIDO submitted by the Chairman (PBC.38/L.2), the Committee adopted the following conclusion:",
"Conclusion 2022/2",
"The Programme and Budget Committee recommended to the Industrial Development Board the adoption of the following draft decision:",
"“The Industrial Development Board:",
"(a) Took note of the information contained in document IDB.50/4-PBC.38/4;",
"(b) Urged those Member States and former Member States that had not yet paid their assessed contributions, including advances to the Working Capital Fund and prior years' arrears, to do so without delay;",
"(c) Requested the Director-General to pursue his efforts and contacts with Member States and former Member States to effect the collection of arrears.”",
"Report of the informal working group on issues related to the Programme and Budget Committee (item 6)",
"On 22 June, the Committee considered the report of the Co-Chairs of the informal working group on issues related to the Programme and Budget Committee and the update of the report (PBC.38/6 and CRP.6).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Co-Chairmen on item 6.",
"VI. Mobilizing financial resources (item 7)",
"On 22 June, the Committee considered a report by the Director-General on the mobilization of financial resources (PBC.38/7/Rev.1); chapter 8 of the Annual Report of UNIDO 2021 on funding implementation (PBC.38/2); and a note by the Secretariat on projects approved in 2021 under the Industrial Development Fund, thematic trust funds, individual trust funds and other voluntary contributions (PBC.38/CRP.7).",
"On 22 June, after consideration of a draft conclusion on the mobilization of financial resources submitted by the Chairman (PBC.38/L.3), the Committee adopted the following conclusion:",
"Conclusion 2022/3",
"The Programme and Budget Committee recommended to the Industrial Development Board the adoption of the following draft decision:",
"“The Industrial Development Board:",
"(a) Took note of the information contained in document IDB.50/7/Rev.1-PBC.38/7/Rev.1;",
"(b) Decided to authorize the Director-General to approve in a fair and transparent manner, in accordance with the priorities defined in the medium-term programme framework, 2022-2025 (IDB.49/8-PBC.37/8), funding projects previously prepared and agreed upon by the UNIDO Secretariat, interested parties and donors under the Industrial Development Fund for 2022 and 2023;",
"(c) Encouraged Member States and other funding partners to increase their voluntary contributions to UNIDO, including to the special account for voluntary contributions to partnership trust funds and core activities and to the major capital investment fund;",
"(d) Also encouraged all funding partners to consider providing programmable funds, in particular to enable UNIDO to respond promptly to requests for assistance and to develop and implement programme activities in a speedy and synergistic manner;",
"(e) Invites Member States to consider contributing to UNIDO to enable the Organization to cooperate with funding providers requiring co-financing through contributions to specialized trust funds or special-purpose funds raised at the national or global levels;",
"(f) Encourage recipient Governments to play an active role in sharing responsibilities with UNIDO in mobilizing funds for jointly agreed priority activities, specifically by taking the lead in identifying and using funds available at the country level, including local cost-sharing opportunities, as well as funds from bilateral funding partners, multi-donor trust funds, the World Bank and other development financing institutions;",
"(g) Strongly recommends that Member States cooperate with and support UNIDO's work in developing and promoting its programmes and initiatives in the international development context, in particular through international conferences and other forms of dialogue, with a view to ensuring that these initiatives are widely known, their relevance to international development goals is recognized and resources are made available for them.”",
"Report of the External Auditor for 2021 (item 4)",
"On 22 June, the Committee considered the report of the External Auditor on the accounts of the United Nations Industrial Development Organization for the financial year 1 January to 31 December 2021 (PBC.38/3); a note by the Secretariat containing the annex to the report of the External Auditor on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (unaudited) (PBC.38/CRP.2); and a note by the UNIDO Independent Oversight Advisory Committee on its comments on the report of the External Auditor (PBC.38/CRP.3).",
"22. On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided on item 4.",
"VIII. Overarching risk management (item 8)",
"On 22 June, the Committee considered a report by the Director-General on overall risk management (PBC.38/8).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Director-General on item 8.",
"IX. Updated medium-term investment proposals (item 9)",
"On 22 June, the Committee considered the report of the Director-General on medium-term investment proposals for 2022-2025 (PBC.38/9).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Director-General on item 9.",
"Third Industrial Development Decade for Africa (IDDA III) (item 10)",
"On 22 June, the Committee considered the report of the Director-General on the Third Industrial Development Decade for Africa (IDDA III) (PBC.38/10).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Director-General on item 10.",
"XI. Reform of the United Nations development system (item 11)",
"On 22 June, the Committee considered the report of the Director-General on reform of the United Nations development system (PBC.38/11).",
"On 22 June, at the suggestion of the Chairman, the Committee took note of the information provided by the Director-General on item 11.",
"XII. Date of the thirty-ninth session (item 13)",
"On 22 June, the Committee took note of the scheduled dates for the policymaking organs of UNIDO for 2022 and 2023, as indicated in the annotated agenda (PBC.38/1/Add.1).",
"On 22 June, after consideration of a draft conclusion on the date of the thirty-ninth session submitted by the Chairman (PBC.38/L.4), the Committee adopted the following conclusion:",
"Conclusion 2022/4",
"The Programme and Budget Committee decided to hold its thirty-ninth session from 15 to 17 May 2023.",
"Adoption of the report (item 14) and closure of the thirty-eighth session",
"On 22 June, the Committee adopted the report on the work of its thirty-eighth session in English (PBC.38/L.1), on the understanding that the Rapporteur would be entrusted with the task of finalizing the report in all its language versions, in consultation with the designated representatives.",
"34. The Committee closed its thirty-eighth session in the afternoon of 22 June 2022.",
"Annex",
"List of documents submitted to the thirty-eighth session",
"Agenda item Document Title 1 Election of officers -",
"2 Adoption of the agenda",
"PBC.38/1/Add.1 Annotated provisional agenda",
"PBC.38/CRP.1 List of documents",
"Annual report of the Director-General for 2021",
"3. Results-based management: update on the implementation of the medium-term programme framework, 2022-2025 Report by the Director-General (a) IDB.50/5",
"PBC.38/CRP.5 Update on results-based management: update on the implementation of the medium-term programme framework, 2022-2025. Report by the Director-General",
"Report of the External Auditor for 2021",
"PBC.38/CRP.2 Annex to the report of the External Auditor on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (unaudited).",
"PBC.38/CRP.3 Comments on the report of the External Auditor. Note by the UNIDO Independent Oversight Advisory Committee",
"Financial situation of UNIDO, including unutilized balances of appropriations Report by the Director-General IDB.50/4",
"PBC.38/CRP.4 Status of assessed contributions. Note by the Secretariat",
"Report of the informal working group on issues related to the Programme and Budget Committee Report by the Co-Chairs IDB.50/6",
"PBC.38/CRP.6 Update on the report of the informal working group on issues related to the Programme and Budget Committee. Report by the Co-Chairs",
"Mobilization of financial resources PBC.38/7/Rev.1 Mobilization of financial resources. Report by the Director-General IDB.50/7/Rev.1",
"PBC.38/2, chapter 8, IDB.50/2, chapter 8, Funding performance. Annual Report of UNIDO 2021",
"PBC.38/CRP.7 Projects approved under the Industrial Development Fund, thematic trust funds, individual trust funds and other voluntary contributions in 2021",
"Overall risk management PBC.38/8 Overall risk management. Report by the Director-General IDB.50/8",
"9 Updated medium-term investment recommendations PBC.38/9 Medium-term investment recommendations 2022-2025. Report by the Director-General IDB.50/9",
"10 Third Industrial Development Decade for Africa (IDDA III) PBC.38/10 Third Industrial Development Decade for Africa (IDDA III). Report by the Director-General IDB.50/10",
"Reform of the United Nations development system Report by the Director-General IDB.50/11",
"12 UNIDO response to the COVID-19 pandemic PBC.38/12 UNIDO response to the COVID-19 pandemic. Report by the Director-General IDB.50/12",
"Date of the thirty-ninth session PBC.38/1/Add.1 Annotated provisional agenda",
"14 Adoption of the report IDB.50/13 Report of the Programme and Budget Committee on the work of its thirty-eighth session (21-22 June 2022)",
"[1] In accordance with Article 10.1 of the Constitution of UNIDO, the Committee shall consist of 27 members of the Organization elected by the Conference. One seat from Group B remains vacant. The Committee is currently composed of 26 members."
] |
[] | [] | A_AC.291_10 | [] |
[
"第七十七届会议 暂定项目表[1]项目109 \n 预防犯罪和刑事司法",
"第十四届联合国预防犯罪和刑事司法大会的后续行动",
"秘书长的报告",
"摘要",
"本报告系根据大会第76/181号决议编写，大会在该决议中请秘书长向大会第七十七届会议提交关于决议执行情况的报告。本报告概述了2022年5月16日至20日在维也纳举行的预防犯罪和刑事司法委员会第三十一届会议关于第十四届联合国预防犯罪和刑事司法大会后续行动的审议情况。本报告还概述了在落实《关于推进预防犯罪、刑事司法和法治：努力实现〈2030年可持续发展议程〉的京都宣言》方面，委员会作为联合国预防犯罪大会的筹备和后续落实机构所采取的行动，以及联合国毒品和犯罪问题办公室开展的活动。根据该决议，本报告还介绍会员国就确保适当落实《京都宣言》的其他方式方法提出的建议。",
"一. 导言",
"1. 本报告系根据大会题为“第十四届联合国预防犯罪和刑事司法大会”的第76/181号决议编写，大会在该决议中请秘书长向大会第七十七届会议提交关于决议执行情况的报告。",
"2. 大会在该决议中邀请各国政府在制定立法和政策指令时考虑到《关于推进预防犯罪、刑事司法和法治：努力实现〈2030年可持续发展议程〉的京都宣言》，并遵照《联合国宪章》的宗旨和原则，在适当情况下尽一切努力实行《京都宣言》所载各项原则。",
"3. 在同一决议中，大会请秘书长就确保适当落实《京都宣言》的其他方式方法征求会员国的建议，以供预防犯罪和刑事司法委员会第三十一届会议审议并采取行动。",
"4. 在同一决议中，大会还请委员会在题为“第十四届联合国预防犯罪和刑事司法大会的后续行动和第十五届联合国预防犯罪和刑事司法大会的筹备工作”的常设议程项目下审议《京都宣言》的实施情况。",
"5. 本报告概述了2022年5月16日至20日在维也纳举行的委员会第三十一届会议关于第十四届联合国预防犯罪和刑事司法大会后续行动的审议情况。本报告概述了在落实《京都宣言》方面，委员会作为联合国预防犯罪大会的筹备和后续落实机构所采取的行动，以及联合国毒品和犯罪问题办公室（毒品和犯罪问题办公室）开展的活动。根据该决议第12段，本报告还介绍会员国就确保适当落实《京都宣言》的其他方式方法提出的建议。",
"6. 本报告对委员会第三十一届会议审议的秘书长关于第十四届预防犯罪大会的后续行动和第十五届预防犯罪大会的筹备工作的报告（E/CN.15/2022/11）作出补充。本报告还补充了秘书长根据大会第76/187号决议的授权提交大会第七十七届会议审议的关于联合国预防犯罪和刑事司法方案任务执行情况，特别是毒品和犯罪问题办公室技术合作活动的报告（A/77/127）。",
"二. 《关于推进预防犯罪、刑事司法和法治：努力实现〈2030年可持续发展议程〉的京都宣言》的后续落实和实施情况",
"A. 预防犯罪和刑事司法委员会第三十一届会议的审议情况",
"7. 第十四届预防犯罪大会于2021年3月7日至12日在日本京都举行，总主题是“推进预防犯罪、刑事司法和法治：努力实现《2030年议程》”。有5,000多人与会，代表了创纪录的152个会员国以及114个非政府组织、37个政府间组织、600名个人专家和属于联合国预防犯罪和刑事司法方案网的相当数量的联合国系统各实体和研究所。",
"8. 在高级别部分会议开始时，会员国通过了《京都宣言》，其中各国商定就下列四大支柱采取切实行动——推进预防犯罪工作；推动刑事司法系统发展；推进法治；以及促进国际合作和技术援助以预防和处理一切形式的犯罪——包括在2019冠状病毒病（COVID-19）大流行的背景下采取此类行动。",
"9. 根据大会第76/181号决议，委员会第三十一届会议在题为“第十四届联合国预防犯罪和刑事司法大会的后续行动和第十五届联合国预防犯罪和刑事司法大会的筹备工作”的常设议程项目下，审议了《京都宣言》的实施情况。",
"10. 在该议程项目下，委员会收到了供其审议的秘书长的相关报告（E/CN.15/ 2022/11），其中概述了在后续落实第十四届预防犯罪大会方面委员会采取的行动与毒品和犯罪问题办公室开展的活动，并介绍了第十五届预防犯罪大会的筹备情况。该报告还介绍了会员国在2022年2月24日之前提交的关于确保适当落实《京都宣言》的其他方式方法的建议。[2]最后，该报告还载有多项建议，包括关于第十五届预防犯罪大会筹备工作的建议。",
"11. 委员会还审议了一份会议室文件，其中载有主席关于委员会关于《京都宣言》执行情况专题讨论的概述（E/CN.15/2022/CRP.1）。根据大会第76/181号决议，第一轮专题讨论于2021年11月10日至12日举行，重点是《京都宣言》的第一大支柱（推进预防犯罪工作）。期间促进了各国专家和决策者、联合国系统各实体、政府间组织和民间社会就推进预防犯罪的良好做法、挑战和经验教训进行互动交流。[3]",
"12. 委员会第三十届会议主席在概述中鼓励会员国和感兴趣的利益攸关方及时启动2022年专题会议的筹备工作，为相关专家与会提供便利，从而分享良好做法和讨论如何成功实施《京都宣言》的第二大支柱（推动刑事司法系统发展）。",
"13. 委员会还审议了一份会议室文件，其中载有主席对影响环境的犯罪问题专家讨论会的概述（E/CN.15/2022/CRP.2）。根据《京都宣言》第87段和大会关于预防和打击影响环境的犯罪的第76/185号决议，2022年2月14日至16日举行了闭会期间专家讨论会，推动开展了互动讨论，探讨以哪些具体方式改进战略和对策，以有效预防和打击影响环境的犯罪，并在业务层面加强这一领域的国际合作。[4]",
"14. 主席在概述中着重指出，预防和打击影响环境的犯罪的共同努力和行动是对充分执行《京都宣言》的关键贡献。他还重申，必须保留和收集各代表团和专家在讨论会期间分享的良好做法和经验教训，以期借鉴其他国家的经验，更好地了解所面临的挑战以及产生积极成果的工具。",
"15. 为便于审议关于第十四届预防犯罪大会后续行动的议程项目，委员会秘书作了介绍性发言。加拿大、智利、日本、利比亚、沙特阿拉伯、泰国和美利坚合众国的代表作了发言。伊朗伊斯兰共和国、委内瑞拉玻利瓦尔共和国和欧洲联盟的观察员也作了发言。亚洲和远东预防犯罪和罪犯待遇研究所的观察员也作了发言。",
"16. 与会者赞赏第十四届预防犯罪大会的东道国日本成功组织了此次预防犯罪大会，特别是考虑到COVID-19大流行带来的挑战。会上强调了将《京都宣言》所载承诺转化为具体行动的重要性。一些发言者交流了信息，介绍了国家和区域努力履行《宣言》中在四大支柱方面所作承诺的情况，包括执行联合国标准和规范，执行侧重社会弱势成员的预防犯罪和刑事司法战略，包括在涉及COVID-19大流行方面，以及努力提高司法协助和引渡的效率和效力。分享的其他国家实例除其他外，侧重采取步骤加强刑事司法系统，包括通过改造和重新融入社会方面的工作努力减少累犯。一些发言者提到需要应对暴力侵害妇女和儿童问题，并需要制定促进具有性别响应性、对儿童问题有敏感认识和基于人权的司法政策。会上强调了向提出请求的会员国提供技术援助以支持各国实施《京都宣言》的重要性，并欢迎毒品和犯罪问题办公室在这方面提供的支持。",
"17. 一些发言者强调了预防犯罪、刑事司法、法治与国际社会努力落实《2030年可持续发展议程》之间的联系。一些发言者强调应提高对《京都宣言》的认识，并强调了刑事司法系统在促进法治以支持可持续发展方面的重要作用。一些发言者欢迎《京都宣言》的后续进程，特别是组织委员会就《京都宣言》实施情况进行专题讨论。此外，欢迎毒品和犯罪问题办公室和会员国自该宣言通过以来所作的努力，包括在预防再次犯罪的标准和规范方面所作的努力。",
"18. 会上提到了主席在委员会第三十一届会议第一天举行的高级别特别活动，活动的重点是《京都宣言》的实施情况。会上对日本提出一项关于第十四届预防犯罪大会后续行动和第十五届预防犯罪大会筹备工作的决议表示赞赏。关于第十五届预防犯罪大会的筹备工作，会上强调应与联合国预防犯罪和刑事司法方案网各研究所密切协作，确保及时通过实质性议程，并随后尽早编写讨论指南和安排筹备讲习班。",
"B. 预防犯罪和刑事司法委员会第三十一届会议采取的行动",
"19. 委员会于2022年5月20日星期五就题为“第十四届联合国预防犯罪和刑事司法大会的后续行动和第十五届联合国预防犯罪和刑事司法大会的筹备工作”的决议草案采取了行动，并通过经济及社会理事会建议大会予以通过。大会在该决议中再次邀请各国政府在拟订立法和政策指示时，考虑到《京都宣言》，并遵循《联合国宪章》的宗旨和原则，酌情尽全力实行该宣言所载的各项原则。",
"20. 在同一决议中，大会欢迎日本政府主动与毒品和犯罪问题办公室合作，并通过委员会，确保对《京都宣言》实施工作采取适当的后续行动。大会请委员会根据其任务授权，在预算外资源允许的情况下，继续采取适当的政策和行动措施后续落实《京都宣言》，包括举行闭会期间专题讨论，以促进会员国和相关利益攸关方之间交流信息、良好做法和经验教训。",
"21. 大会决定，鉴于委员会在实施《京都宣言》方面密集的后续落实进程，于2026年举行第十五届预防犯罪大会，以期保持预防犯罪大会的五年周期，但不影响以后各届联合国预防犯罪和刑事司法大会的时间安排。",
"22. 大会邀请会员国就第十五届预防犯罪大会的总主题、议程项目和讲习班议题提供各自的建议，并请秘书长将这些建议列入提交委员会第三十二届会议的关于第十四届预防犯罪大会后续行动和第十五届预防犯罪大会筹备工作的报告。",
"23. 大会还建议以第十四届预防犯罪大会的经验和成功为基础，全力确保第十五届预防犯罪大会的总主题、议程项目和讲习班议题相互关联，并确保精简议程项目和讲习班议题并限制其数目，还鼓励举行以议程项目和讲习班为侧重点并起到补充作用的会外活动。大会请委员会第三十二届会议核准第十五届预防犯罪大会的总主题、议程项目和讲习班议题。",
"24. 大会最后请秘书长向大会第七十八届会议提交该决议的执行情况报告。",
"C. 预防犯罪和刑事司法委员会第三十一届会议开展的其他活动",
"25. 委员会广泛宣传了《京都宣言》所载的政策承诺。2022年5月16日，在第三十一届会议间隙，委员会主席与日本政府合作，举行了一次高级别特别活动，讨论如何以多层面方法将《京都宣言》转化为实地行动。此次特别活动提供了一个机会，可供评估和报告自2021年3月通过《京都宣言》以来发起的各项举措，重点是为履行《京都宣言》中的承诺而在联合国系统内机构层面、通过委员会在政府间层面和在方案层面所做的努力，以及在国家和区域各级做出的努力，包括利益攸关方做出的努力。与会者回顾了第十四届预防犯罪大会的进行情况和成果，并交流了在大流行病期间举行大型国际会议的经验。",
"26. 此外，预防犯罪和刑事司法委员会将于2022年7月在2022年可持续发展高级别政治论坛间隙，与麻醉药品委员会合作举办一次网络会外活动，活动题为“利用国际行动应对COVID-19对毒品和犯罪的影响：麻醉药品委员会与预防犯罪和刑事司法委员会的多学科综合对策”。此次会外活动除其他外，将有助于更好地认识预防犯罪和刑事司法委员会就可持续发展目标与法治及预防犯罪和刑事司法之间的相互联系所开展的工作。将分享相关信息，介绍委员会对实施《2030年可持续发展议程》做出的贡献。",
"D. 联合国毒品和犯罪问题办公室采取的行动",
"27. 毒品和犯罪问题办公室采取了一些举措，以期确保采取综合办法后续落实第十四届预防犯罪大会。设立了一个跨司工作组，以便加强全办公室在实施《京都宣言》和筹备第十五届预防犯罪大会方面的协调与合作。该工作组由毒品和犯罪问题办公室各司的代表组成，由理事机构秘书处领导，定期举行会议。",
"28. 该跨司工作组制定了一个供内部使用的实施矩阵，其中概述毒品和犯罪问题办公室及其伙伴为支持实施《京都宣言》而开展的活动。这些活动侧重联合国系统内部的机构后续行动、通过预防犯罪和刑事司法委员会采取的政府间后续行动以及通过毒品和犯罪问题办公室各实务司采取的方案后续行动。该矩阵可根据不同的标准进行排列，包括《京都宣言》的各项支柱、《2021-2025年毒品和犯罪问题办公室战略》的专题领域和成果，以及各项活动所促进的可持续发展目标。",
"29. 考虑到对在线通信渠道的依赖日益增加，预防犯罪和刑事司法委员会秘书处推出了一个关于实施《京都宣言》的电子学习工具。[5]该工具包括三个互动模块，介绍《京都宣言》的背景、该宣言与《2030年议程》的关系以及该宣言涵盖的实质性领域。该工具还包含关于毒品和犯罪问题办公室相关领域技术援助组合的资料。",
"30. 2022年6月，理事机构秘书处用英文、法文和西班牙文为会员国举行了一次关于《京都宣言》实施情况的在线简报会。负责规划和实施预防犯罪和刑事司法政策以及负责规划和请求毒品和犯罪问题办公室提供这方面技术援助的各国官员出席了简报会。会议期间交流了关于毒品和犯罪问题办公室在该宣言涵盖的实质性领域提供技术援助的信息。",
"31. 将于2022年下半年为联合国预防犯罪和刑事司法方案网各研究所和相关非政府组织举行一次简报会，以便促进就第十四届预防犯罪大会后续行动进行全面的多利益攸关方讨论。",
"32. 除了机构后续行动之外，毒品和犯罪问题办公室还在实施《京都宣言》方面开展了广泛的方案活动。[6]",
"三. 关于确保适当落实《京都宣言》的其他方式方法的建议",
"33. 根据大会第76/181号决议，向会员国发出了一份普通照会，请各国就确保适当落实《京都宣言》的方式方法提出建议。在3月30日截止日期前，共收到10份建议，分别来自加拿大、捷克、印度、日本、马里、摩洛哥、菲律宾、卡塔尔、罗马尼亚和土耳其。",
"34. 其中许多会员国在各自建议中强调了应分享包括情报在内的信息和最佳做法，并应加强执法机构在《京都宣言》涵盖的专题领域中开展国际合作。建议建立不同的合作论坛，例如区域合作网络和不限成员名额政府间专家组或工作组，以使各国从业人员能够分享预防犯罪和刑事司法方面的知识、经验、良好做法和挑战。一些会员国提及日本与毒品和犯罪问题办公室于2022年2月举办的亚洲及太平洋刑事司法论坛，该论坛成为该区域负责刑事事项司法协助的中央机关和从事罪犯待遇和改造工作的主管机关之间的合作论坛。",
"35. 一些会员国赞赏地注意到2021年11月10日至12日举行的委员会关于《京都宣言》实施情况的第一轮闭会期间专题讨论。建议设立一个专门讨论《京都宣言》的在线平台，除其他外，该平台将涵盖在实施《京都宣言》方面取得的进展以及在专题讨论中分享的资源。还建议除了专题讨论之外，请会员国自愿提供关于《京都宣言》所载建议实施情况的定期报告，以便更广泛地传播。另一项建议是，毒品和犯罪问题办公室应制定一套与《京都宣言》四大支柱相关的一般指标，并编写关于该宣言实施情况的调查问卷，由所有相关利益攸关方定期填写，交由毒品和犯罪问题办公室使用。",
"36. 据指出，毒品和犯罪问题办公室在提供预防犯罪和刑事司法领域的能力建设和技术援助方面发挥着关键作用。建议会员国继续在这方面与毒品和犯罪问题办公室建立伙伴关系。有建议强调了在相关领域对主管机关进行持续培训的重要性，包括在司法协助和司法道德方面的培训。",
"37. 一些会员国强调了将性别平等视角纳入预防犯罪和刑事司法战略主流的重要性。",
"38. 有建议指出，确保适当落实《京都宣言》的最重要方式方法之一是各会员国，特别是有财政和技术能力的会员国提供资金，用于开展旨在将该宣言所列政治承诺转化为实地项目的活动和方案，特别是在发展中国家和欠发达国家。",
"四. 结论性意见",
"39. 在今后几年里，《京都宣言》将是关于预防犯罪和刑事司法的主要国际政治承诺，并将指导这方面的全球行动。我敦促会员国采取协调一致的行动，推动履行《京都宣言》中所作的承诺，包括通过作为联合国在犯罪相关事项方面的主要决策机构的委员会。",
"40. 考虑到第一轮闭会期间专题讨论的成果以及相关利益攸关方在这方面提供的积极反馈，我鼓励委员会继续本着同样的精神，促进会员国、联合国系统各实体、其他政府间组织和民间社会之间交流信息、良好做法和经验教训，以便有效后续落实《京都宣言》。",
"41. 广泛传播《京都宣言》所载的政策承诺，并在会员国和其他相关利益攸关方之间分享关于该宣言实施情况的信息，是确保采取综合办法后续落实该宣言的关键。在这方面，我鼓励委员会通过举行会外活动，包括在大会和经济及社会理事会举行的会外活动，继续让所有相关利益攸关方了解为后续落实《京都宣言》而开展的活动。",
"42. 会员国在《京都宣言》中重申毒品和犯罪问题办公室作为联合国在预防犯罪和刑事司法领域支持会员国的牵头实体所发挥的作用。我鼓励毒品和犯罪问题办公室在这方面进一步加强机构协调与合作，确保采取综合办法后续落实第十四届预防犯罪大会，并继续开展方案活动，以期支持会员国履行《京都宣言》所载承诺，并随时向会员国通报在这方面开展的工作。",
"43. 及早确定第十五届预防犯罪大会的东道国会使委员会有机会开展磋商，促进及时规划和协调相关筹备安排。我鼓励委员会在会员国之间开展进一步磋商，确定东道国，以便促进及时规划和协调相关筹备安排。本着同样的精神，我敦促会员国就第十五届预防犯罪大会的总主题、议程项目和讲习班议题提出建议。",
"44. 多边合作和多利益攸关方伙伴关系对于推进预防犯罪、刑事司法和法治至关重要，是为实现《2030年议程》所做努力的一部分。我请委员会在《京都宣言》的后续落实行动和第十五届预防犯罪大会的筹备工作中，继续与其他相关利益攸关方，包括政府间组织、联合国预防犯罪和刑事司法方案网各研究所、民间社会和学术界进行接触。",
"[1] ^(*) A/77/50。",
"[2] 在该日期之后收到的建议载于一份会议室文件（E/CN.15/2022/CRP.3）。",
"[3] 另见E/CN.15/2022/11。",
"[4] 同上。",
"[5] 可查阅https://golearn.unodc.org/lms/login/index.php。",
"[6] 另见E/CN.15/2022/11和A/77/127。"
] | [
"Seventy-seventh session Item 109 of the preliminarylist[1] \nCrime prevention and criminaljustice",
"Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice",
"Report of the Secretary-General",
"Summary",
"The present report has been prepared pursuant to General Assembly resolution 76/181, in which the General Assembly requested the Secretary-General to submit to it at its seventy-seventh session a report on the implementation of that resolution. It contains a summary of the deliberations at the thirty-first session of the Commission on Crime Prevention and Criminal Justice, which was held in Vienna from 16 to 20 May 2022, on the follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice. The report also contains an overview of the action taken by the Commission, as the preparatory and follow-up body for the United Nations crime congresses, and of the activities conducted by the United Nations Office on Drugs and Crime, in follow-up to the Kyoto Declaration on Advancing Crime Prevention, Criminal Justice and the Rule of Law: Towards the Achievement of the 2030 Agenda for Sustainable Development. Pursuant to the resolution, the report further includes information on proposals submitted by Member States on other ways and means of ensuring appropriate follow-up to the Kyoto Declaration.",
"I. Introduction",
"1. The present report has been prepared pursuant to General Assembly resolution 76/181, entitled “Fourteenth United Nations Congress on Crime Prevention and Criminal Justice”, in which the General Assembly requested the Secretary-General to submit to it at its seventy-seventh session a report on the implementation of that resolution.",
"2. In the resolution, the General Assembly invited Governments to take into consideration the Kyoto Declaration on Advancing Crime Prevention, Criminal Justice and the Rule of Law: Towards the Achievement of the 2030 Agenda for Sustainable Development when formulating legislation and policy directives and to make every effort, where appropriate, to implement the principles contained therein, in conformity with the purposes and principles of the Charter of the United Nations.",
"3. In the same resolution, the General Assembly requested the Secretary-General to seek proposals by Member States on other ways and means of ensuring appropriate follow-up to the Kyoto Declaration, for consideration and action by the Commission on Crime Prevention and Criminal Justice at its thirty-first session.",
"4. Also in the same resolution, the General Assembly requested the Commission to review the implementation of the Kyoto Declaration under the standing item on its agenda entitled “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”.",
"5. The present report provides a summary of the deliberations at the thirty-first session of the Commission, which was held in Vienna from 16 to 20 May 2022, on the follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice. It contains an overview of the action taken by the Commission, as the preparatory and follow-up body for the United Nations crime congresses, and of the activities conducted by the United Nations Office on Drugs and Crime (UNODC), in follow-up to the Kyoto Declaration. Pursuant to paragraph 12 of the resolution, the report further includes information on proposals submitted by Member States on other ways and means of ensuring appropriate follow-up to the Kyoto Declaration.",
"6. The report complements the report of the Secretary-General on follow-up to the Fourteenth Congress and preparations for the Fifteenth Congress (E/CN.15/2022/11), which was considered by the Commission at its thirty-first session. It also complements the report of the Secretary-General on the implementation of the mandates of the United Nations crime prevention and criminal justice programme, with particular reference to the technical cooperation activities of UNODC (A/77/127), submitted for the consideration by the General Assembly at its seventy-seventh session, as mandated by the Assembly in its resolution 76/187.",
"II. Follow-up to and implementation of the Kyoto Declaration on Advancing Crime Prevention, Criminal Justice and the Rule of Law: Towards the Achievement of the 2030 Agenda for Sustainable Development",
"A. Consideration by the Commission on Crime Prevention and Criminal Justice at its thirty-first session",
"7. The Fourteenth Congress was held in Kyoto, Japan, from 7 to 12 March 2021 under the overall theme “Advancing crime prevention, criminal justice and the rule of law: towards the achievement of the 2030 Agenda”. It brought together more than 5,000 participants representing a record 152 Member States, along with 114 non-governmental organizations, 37 intergovernmental organizations, 600 individual experts and a considerable number of United Nations system entities and institutes belonging to the United Nations crime prevention and criminal justice programme network.",
"8. At the beginning of the high-level segment, Member States adopted the Kyoto Declaration, in which they agreed on concrete actions related to four pillars – advancing crime prevention; advancing the criminal justice system; promoting the rule of law; and promoting international cooperation and technical assistance to prevent and address all forms of crime – including against the backdrop of the coronavirus disease (COVID-19) pandemic.",
"9. Pursuant to General Assembly resolution 76/181, the Commission reviewed the implementation of the Kyoto Declaration at its thirty-first session under the standing item on its agenda entitled “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”.",
"10. Under that agenda item, the Commission had before it, for its consideration, the relevant report of the Secretary-General (E/CN.15/2022/11) containing an overview of the action taken by the Commission and the activities conducted by UNODC in follow-up to the Fourteenth Congress and provided information on the preparations for the Fifteenth Congress. It also contained information on proposals submitted by Member States before 24 February 2022 on other ways and means of ensuring appropriate follow-up to the Kyoto Declaration.[2] Finally, it included recommendations, including with regard to the preparations for the Fifteenth Congress.",
"11. The Commission also considered a conference room paper containing the Chair’s summary on the thematic discussions of the Commission on the implementation of the Kyoto Declaration (E/CN.15/2022/CRP.1). Pursuant to General Assembly resolution 76/181, the first round of thematic discussions had been held from 10 to 12 November 2021 and had been focused on the first pillar of the Kyoto Declaration (Advancing crime prevention). An interactive exchange had been facilitated among national experts and policymakers, United Nations system entities, intergovernmental organizations and civil society on good practices, challenges and lessons learned in advancing crime prevention.[3]",
"12. In his summary, the Chair of the Commission at its thirtieth session encouraged Member States and interested stakeholders to initiate timely preparations for the 2022 thematic sessions to facilitate the participation of relevant experts with a view to sharing good practices and discussing how to successfully implement the second pillar of the Kyoto Declaration (Advancing the criminal justice system).",
"13. The Commission further considered a conference room paper containing the Chair’s summary of the expert discussions on crimes that affect the environment (E/CN.15/2022/CRP.2). Pursuant to paragraph 87 of the Kyoto Declaration and to General Assembly resolution 76/185 on preventing and combating crimes that affect the environment, intersessional expert discussions had been conducted from 14 to 16 February 2022, fostering an interactive debate on concrete ways to improve strategies and responses to effectively prevent and combat crimes that affect the environment, and to strengthen international cooperation in that area at the operational level.[4]",
"14. In his summary, the Chair highlighted that joint efforts and actions to prevent and combat crimes that affect the environment were a key contribution to the full implementation of the Kyoto Declaration. He also reiterated the importance of retaining and collecting the good practices and lessons learned that delegations and experts had shared during the discussions, with a view to learning from the experiences of others and developing a better understanding of the challenges faced, as well as the tools that had yielded positive results.",
"15. To facilitate consideration of the agenda item on the follow-up to the Fourteenth Congress, the Secretary to the Commission made an introductory statement. Statements were made by the representatives of Canada, Chile, Japan, Libya, Saudi Arabia, Thailand and the United States of America. The observers for Iran (Islamic Republic of), Venezuela (Bolivarian Republic of) and the European Union, also made statements. A statement was also made by the observer for the Asia and Far East Institute for the Prevention of Crime and the Treatment of Offenders.",
"16. Appreciation was expressed to Japan as the host country of the Fourteenth Congress for organizing a successful congress, in particular in the light of the challenges posed by the COVID-19 pandemic. The importance of transforming the commitments contained in the Kyoto Declaration into concrete action was underscored. Some speakers shared information on national and regional efforts to implement the commitments made in the four pillars of the Declaration, including with regard to the implementation of United Nations standards and norms, the implementation of crime prevention and criminal justice strategies that were focused on vulnerable members of society, including in relation to the COVID-19 pandemic, and efforts to increase the efficiency and effectiveness of mutual legal assistance and extradition. Further national examples shared were focused on, among others, steps taken to strengthen the criminal justice system, including reducing recidivism through rehabilitation and reintegration efforts. Some speakers made reference to the need to address violence against women and children and to develop gender-responsive, child-sensitive and human rights-based justice policies. The importance of providing technical assistance to requesting Member States in support of national implementation of the Kyoto Declaration was underlined, and the support provided by UNODC in that regard was welcomed.",
"17. A number of speakers highlighted the link between crime prevention, criminal justice, the rule of law and the international community’s efforts to implement the 2030 Agenda for Sustainable Development. The importance of raising awareness of the Kyoto Declaration and the important role of the criminal justice system in promoting the rule of law in support of sustainable development were underlined by a number of speakers. Several speakers welcomed the Kyoto Declaration follow-up process, in particular the organization of the thematic discussions of the Commission on the implementation of the Declaration. Furthermore, efforts undertaken by UNODC and Member States since the adoption of the Declaration, including in relation to standards and norms on preventing reoffending, were welcomed.",
"18. Reference was made to the Chair’s high-level special event that had been held on the first day of the thirty-first session of the Commission and had been focused on the implementation of the Kyoto Declaration. Appreciation was expressed to Japan for the tabling of a resolution on the follow-up to the Fourteenth Congress and the preparations for the Fifteenth Congress. In reference to the preparations for the Fifteenth Congress, the importance of ensuring the timely adoption of the substantive agenda and the subsequent early preparation of the discussion guide and the preparatory workshops, in close coordination with the institutes of the United Nations crime prevention and criminal justice programme network, was underscored.",
"B. Action taken by the Commission on Crime Prevention and Criminal Justice at its thirty-first session",
"19. On Friday, 20 May 2022, the Commission took action on the draft resolution, entitled “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”, and recommended, through the Economic and Social Council, its adoption by the General Assembly. In that resolution, the General Assembly would reiterate its invitation to Governments to take into consideration the Kyoto Declaration when formulating legislation and policy directives and to make every effort, where appropriate, to implement the principles contained therein in conformity with the purposes and principles of the Charter of the United Nations.",
"20. In the same resolution, the General Assembly would welcome the initiative of the Government of Japan to work with UNODC, and through the Commission, in ensuring appropriate follow-up to the implementation of the Kyoto Declaration. The General Assembly would request the Commission, in accordance with its mandate, to continue to implement the appropriate policy and operational measures for the follow-up to the Kyoto Declaration, including through the holding of intersessional thematic discussions to facilitate the sharing of information, good practices and lessons learned among Member States and relevant stakeholders, subject to the availability of extrabudgetary resources.",
"21. The General Assembly would decide to hold the Fifteenth Congress in 2026, without prejudice to the timing of subsequent United Nations congresses on crime prevention and criminal justice and with a view to maintaining the five-year cycle of the congresses, in the light of the intensive follow-up process undertaken by the Commission in the implementation of the Kyoto Declaration.",
"22. The Assembly would invite Member States to provide their suggestions in relation to the overall theme, the agenda items and the topics for the workshops for the Fifteenth Congress and request the Secretary-General to include those suggestions in the report on the follow-up to the Fourteenth Congress and preparations for the Fifteenth Congress to be submitted to the Commission at its thirty-second session.",
"23. Furthermore, the Assembly would recommend that, building on the experience and the success of the Fourteenth Congress, all efforts be made to ensure that the overall theme, the agenda items and the topics for the workshops for the Fifteenth Congress were interrelated and that the agenda items and workshop topics were streamlined and limited in number, and encourage the holding of side events that were focused on and complemented the agenda items and workshops. The General Assembly would request the Commission to approve at its thirty-second session the overall theme, the agenda items and the topics for the workshops for the Fifteenth Congress.",
"24. The General Assembly would finally request the Secretary-General to submit to it at its seventy-eighth session a report on the implementation of the resolution.",
"C. Other activities of the Commission on Crime Prevention and Criminal Justice at its thirty-first session",
"25. The Commission has widely promoted the policy commitments contained in the Kyoto Declaration. On 16 May 2022, on the margins of its thirty-first session, the Chair of the Commission, in cooperation with the Government of Japan, held a high-level special event on a multifaceted approach to turning the Kyoto Declaration into action on the ground . The special event was an opportunity to take stock of and report on the initiatives launched since the adoption of the Kyoto Declaration in March 2021, focusing on efforts undertaken at the institutional level within the United Nations system; at the intergovernmental level through the Commission; and at the programmatic level, as well as efforts at the national and regional levels, including by stakeholders, to implement the commitments made in the Kyoto Declaration. Participants reviewed the conduct and outcome of the Fourteenth Congress and shared the experience of holding a large-scale international conference during the pandemic.",
"26. In addition, in July 2022, on the margins of the 2022 high-level political forum on sustainable development, the Crime Commission will hold an online side event together with the Commission on Narcotic Drugs entitled “Leveraging international action to address the impact of COVID-19 on drugs and crime: integrated multidisciplinary responses by the Commission on Narcotic Drugs and the Commission on Crime Prevention and Criminal Justice”. The side event will serve to raise awareness, inter alia, about the work undertaken by the Crime Commission on the interlinkages between the Sustainable Development Goals, on one hand, and the rule of law and crime prevention and criminal justice on the other. Information will be shared on the contributions made by the Commission to the implementation of the 2030 Agenda for Sustainable Development.",
"D. Action taken by the United Nations Office on Drugs and Crime",
"27. UNODC undertook a number of initiatives with a view to ensuring a comprehensive approach to the follow-up to the Fourteenth Congress. An interdivisional task team was established to strengthen Office-wide coordination and cooperation in the implementation of the Kyoto Declaration and in the preparations for the Fifteenth Congress. The task team, comprising representatives from all UNODC divisions and led by the Secretariat to the Governing Bodies, meets periodically.",
"28. The interdivisional task team developed, for internal use, an implementation matrix that provides an overview of activities undertaken by UNODC and its partners in support of the implementation of the Kyoto Declaration. Those activities are focused on institutional follow-up within the United Nations system, intergovernmental follow-up through the Commission on Crime Prevention and Criminal Justice and programmatic follow-up through the substantive divisions of UNODC. The matrix can be sorted according to different criteria, including the pillars of the Declaration, the thematic areas and outcomes of the UNODC Strategy 2021–2025, and the Sustainable Development Goals to which activities contribute.",
"29. Taking into account the increased reliance on online channels of communication, the secretariat of the Commission on Crime Prevention and Criminal Justice launched an e-learning tool on the implementation of the Kyoto Declaration.[5] The tool, which comprises three interactive modules, provides information on the background to the Declaration, its relationship to the 2030 Agenda and the substantive areas covered in the Declaration. The tool also contains information on the UNODC portfolio of technical assistance in relevant areas.",
"30. In June 2022, the Secretariat to the Governing Bodies held an online briefing for Member States on the implementation of the Kyoto Declaration in English, French and Spanish. The briefing was attended by national officials responsible for the planning and implementation of crime prevention and criminal justice policies and for planning and requesting technical assistance from UNODC in that regard. During the briefing, information was shared on technical assistance provided by UNODC in the substantive areas covered by the Declaration.",
"31. A briefing will be held in the second half of 2022 for the institutes of the United Nations crime prevention and criminal justice programme network and relevant non-governmental organizations to facilitate a comprehensive, multi-stakeholder discussion on the follow-up to the Fourteenth Congress.",
"32. In addition to the institutional follow-up, the Office carried out a wide range of programmatic activities in implementing the Kyoto Declaration.[6]",
"III. Proposals on other ways and means of ensuring appropriate follow-up to the Kyoto Declaration",
"33. Pursuant to General Assembly resolution 76/181, a note verbale was sent to Member States with a request to submit proposals on ways and means of ensuring appropriate follow-up to the Kyoto Declaration. By the deadline of 30 March, a total of 10 proposals had been received, from Canada, Czechia, India, Japan, Mali, Morocco, the Philippines, Qatar, Romania and Türkiye.",
"34. In their proposals, many of those Member States highlighted the importance of sharing of information, including intelligence, and best practices, as well as of strengthening international cooperation among law enforcement agencies in the thematic areas covered by the Kyoto Declaration. It was proposed to establish different forums for cooperation, such as regional cooperation networks and open-ended intergovernmental expert groups or working groups, to enable national practitioners to share their knowledge, experience, good practices and challenges with regard to crime prevention and criminal justice. Some Member States made reference to the Criminal Justice Forum for Asia and the Pacific convened by Japan and UNODC in February 2022, which had served as a forum for cooperation among central authorities responsible for mutual legal assistance in criminal matters and competent authorities engaging in offender treatment and rehabilitation in that region.",
"35. Several Member States took note with appreciation of the first round of the intersessional thematic discussions of the Commission on the implementation of the Kyoto Declaration, held from 10 to 12 November 2021. It was proposed to create an online platform dedicated to the Kyoto Declaration that would cover, inter alia, the progress made in implementing the Kyoto Declaration and the resources shared in the context of the thematic discussions. It was also proposed to go beyond the thematic discussions and invite Member States to provide voluntary periodic reports on the implementation of the recommendations contained in the Kyoto Declaration, for broader dissemination. Another proposal was that UNODC develop a set of general indicators related to the four pillars of the Kyoto Declaration and to design questionnaires on the implementation of the Declaration to be completed periodically by all relevant stakeholders and used by UNODC.",
"36. It was noted that UNODC played a crucial role in the provision of capacity-building and technical assistance in the field of crime prevention and criminal justice. It was recommended that Member States continue to build partnerships with UNODC in that regard. The importance was underscored of conducting continuous training for competent authorities in related fields, including with regard to mutual legal assistance and judicial ethics.",
"37. A number of Member States highlighted the importance of mainstreaming a gender perspective in crime prevention and criminal justice strategies.",
"38. It was noted that one of the most important ways and means of ensuring appropriate follow-up to the Kyoto Declaration was funding to be provided by Member States, in particular those with financial and technical capacities, for activities and programmes aimed at transforming the political commitments set out in the Declaration into projects on the ground, particularly in developing and less developed countries.",
"IV. Concluding observations",
"39. In the years to come, the Kyoto Declaration will be the main international political commitment on crime prevention and criminal justice and guide global action in that regard. I urge Member States to take concerted action to advance the implementation of the commitments made in the Kyoto Declaration, including through the Commission as the principal policymaking body of the United Nations in crime-related matters.",
"40. Considering the successful outcome of the first round of the intersessional thematic discussions and the positive feedback received from relevant stakeholders in that regard, I encourage the Commission to continue in the same vein to foster the exchange of information, good practices and lessons learned among Member States, United Nations system entities, other intergovernmental organizations and civil society, with a view to effectively following up on the Kyoto Declaration.",
"41. The wide dissemination of the policy commitments contained in the Kyoto Declaration and the sharing of information on the implementation of the Declaration among Member States and other relevant stakeholders are the key to ensuring a comprehensive approach to the follow-up to the Declaration. In that regard, I encourage the Commission to continue to keep all relevant stakeholders informed of the activities implemented in follow-up to the Kyoto Declaration by holding side events, including those taking place at the General Assembly and the Economic and Social Council.",
"42. In the Kyoto Declaration, Member States reaffirmed the role of UNODC as the leading entity of the United Nations supporting Member States in the field of crime prevention and criminal justice. I encourage UNODC in that regard to further strengthen institutional coordination and cooperation, to ensure a comprehensive approach to the follow-up to the Fourteenth Congress, and to continue to implement programmatic activities with a view to supporting Member States in the implementation of the commitments contained in the Kyoto Declaration and to keep Member States informed of the work undertaken in that regard.",
"43. The early identification of the host country for the Fifteenth Congress offers the Commission an opportunity to engage in consultations facilitating the timely planning and coordination of the relevant preparatory arrangements. I encourage the Commission to conduct further consultations among Member States to identify the host country so as to facilitate the timely planning and coordination of the relevant preparatory arrangements. In the same vein, I urge Member States to provide their suggestions in relation to the overall theme, the agenda items and the topics for the workshops for the Fifteenth Congress.",
"44. Multilateral cooperation and multi-stakeholder partnership are crucial in advancing crime prevention, criminal justice and the rule of law as part of efforts to achieve the 2030 Agenda. I invite the Commission to continue to engage, in follow-up to the Kyoto Declaration and in preparation for the Fifteenth Congress, with other relevant stakeholders, including intergovernmental organizations, the institutes of the United Nations crime prevention and criminal justice programme network, civil society and academia.",
"[1] ^(*) A/77/50.",
"[2] Proposals received after that date are contained in a conference room paper (E/CN.15/2022/CRP.3).",
"[3] See also E/CN.15/2022/11.",
"[4] Ibid.",
"[5] Available at https://golearn.unodc.org/lms/login/index.php.",
"[6] See also E/CN.15/2022/11 and A/77/127."
] | A_77_128 | [
"Item 109 of the preliminary list [1]",
"Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice",
"Report of the Secretary-General",
"Summary",
"The present report has been prepared pursuant to General Assembly resolution 76/181, in which the Assembly requested the Secretary-General to submit to it at its seventy-seventh session a report on the implementation of the resolution. The present report summarizes the deliberations of the Commission on Crime Prevention and Criminal Justice at its thirty-first session, held in Vienna from 16 to 20 May 2022, on the follow-up to the fourteenth United Nations Congress on Crime Prevention and Criminal Justice. The report also provides an overview of the implementation of the Declaration on Promoting Crime Prevention, Criminal Justice and the Rule of Law: Action taken by the Commission as the preparatory and follow-up body for the United Nations congresses and activities undertaken by the United Nations Office on Drugs and Crime in working towards achieving the Kyoto Declaration on an Agenda for Sustainable Development 2030. Pursuant to that resolution, the present report also contains proposals by Member States on other ways and means of ensuring proper follow-up to the Kyoto Declaration.",
"Introduction",
"The present report has been prepared pursuant to General Assembly resolution 76/181, entitled “ Fourteenth United Nations Congress on Crime Prevention and Criminal Justice”, in which the Assembly requested the Secretary-General to submit to it at its seventy-seventh session a report on the implementation of that resolution.",
"2. In that resolution, the General Assembly invited Governments to take into account the Declaration on Promoting Crime Prevention, Criminal Justice and the Rule of Law when formulating legislation and policy directives: To strive for the implementation of the Kyoto Declaration on an Agenda for Sustainable Development 2030 and, in conformity with the purposes and principles of the Charter of the United Nations, to make every effort, as appropriate, to implement the principles contained in the Kyoto Declaration.",
"3. In the same resolution, the General Assembly requested the Secretary-General to seek proposals from Member States on other ways and means of ensuring proper follow-up to the Kyoto Declaration for consideration and action by the Commission on Crime Prevention and Criminal Justice at its thirty-first session.",
"In the same resolution, the General Assembly requested the Commission to consider the implementation of the Kyoto Declaration under the standing agenda item entitled “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”.",
"The present report summarizes the deliberations of the Commission at its thirty-first session, held in Vienna from 16 to 20 May 2022, on the follow-up to the fourteenth United Nations Congress on Crime Prevention and Criminal Justice. The present report provides an overview of the actions taken by the Commission as the preparatory and follow-up body for the United Nations congresses in the follow-up to the Kyoto Declaration and the activities undertaken by the United Nations Office on Drugs and Crime (UNODC). Pursuant to paragraph 12 of the resolution, the present report also contains proposals by Member States on other ways and means to ensure proper follow-up to the Kyoto Declaration.",
"The present report complements the report of the Secretary-General on the follow-up to the Fourteenth Congress and preparations for the Fifteenth Congress (E/CN.15/202/11), which was considered by the Commission at its thirty-first session. It also complements the report of the Secretary-General on the implementation of the mandates of the United Nations Crime Prevention and Criminal Justice Programme, in particular the technical cooperation activities of UNODC (A/77/127), which was submitted to the General Assembly for consideration at its seventy-seventh session, as mandated by the Assembly in its resolution 76/187.",
"Follow-up to and implementation of the Kyoto Declaration on Promoting Crime Prevention, Criminal Justice and the Rule of Law: Towards an Agenda for Sustainable Development 2030",
"A. Consideration by the Commission on Crime Prevention and Criminal Justice at its thirty-first session",
"The fourteenth Congress was held in Kyoto, Japan, from 7 to 12 March 2021, with the overall theme “Advancing crime prevention, criminal justice and the rule of law: towards an agenda 2030”. More than 5,000 participants, representing a record 152 Member States and 114 non-governmental organizations, 37 intergovernmental organizations, 600 individual experts and a considerable number of entities and institutes of the United Nations system belonging to the United Nations Crime Prevention and Criminal Justice Programme network, participated.",
"At the beginning of the high-level segment, Member States adopted the Kyoto Declaration, in which they agreed to take concrete action on the following four pillars — advancing crime prevention; advancing the development of criminal justice systems; advancing the rule of law; and promoting international cooperation and technical assistance to prevent and address crime in all its forms, including in the context of the 2019 coronary virus disease (COVID-19) pandemic.",
"Pursuant to General Assembly resolution 76/181, the Commission considered the implementation of the Kyoto Declaration at its thirty-first session under the standing agenda item entitled “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”.",
"Under that agenda item, the Commission had before it, for its consideration, the relevant report of the Secretary-General (E/CN.15/202/11), which provided an overview of action taken by the Commission and activities undertaken by UNODC in the follow-up to the fourteenth Congress and described the preparations for the fifteenth Congress. The report also presents proposals submitted by Member States by 24 February 2022 on other ways and means of ensuring proper follow-up to the Kyoto Declaration. Finally, the report contained a number of recommendations, including on preparations for the Fifteenth Congress.",
"The Commission also considered a conference room paper containing a Chairman's summary of the thematic discussion of the Commission on the implementation of the Kyoto Declaration (E/CN.15/202/CRP.1). In accordance with General Assembly resolution 76/181, the first round of the thematic discussion was held from 10 to 12 November 2021, focusing on the first pillar of the Kyoto Declaration (advancing crime prevention). The interactive exchange of good practices, challenges and lessons learned in advancing crime prevention among national experts and policymakers, entities of the United Nations system, intergovernmental organizations and civil society was facilitated. [3]",
"12. In his summary, the Chairperson of the thirtieth session of the Commission encouraged Member States and interested stakeholders to initiate preparations for the 2022 thematic session in a timely manner to facilitate the participation of relevant experts in order to share good practices and discuss the successful implementation of the second pillar of the Kyoto Declaration (Promoting the development of criminal justice systems).",
"The Commission also considered a conference room paper containing the Chairman's summary of the expert seminar on crime issues affecting the environment (E/CN.15/2022/CRP.2). In accordance with paragraph 87 of the Kyoto Declaration and General Assembly resolution 76/185 on preventing and combating crimes affecting the environment, an intersessional expert seminar was held from 14 to 16 February 2022 to promote an interactive discussion on concrete ways to improve strategies and responses to effectively prevent and combat crime affecting the environment and to strengthen international cooperation in this field at the operational level. [4]",
"14. In his overview, the Chairperson highlighted that joint efforts and actions to prevent and combat crimes affecting the environment were key contributions to the full implementation of the Kyoto Declaration. He also reiterated the importance of preserving and collecting good practices and lessons learned shared by delegations and experts during the seminar, with a view to building on the experiences of other countries and better understanding the challenges faced and the tools for producing positive results.",
"For the consideration of the agenda item on the follow-up to the Fourteenth Congress, the Secretary of the Commission made an introductory statement. The representatives of Canada, Chile, Japan, Libya, Saudi Arabia, Thailand and the United States of America made statements. Statements were also made by the observers for the Islamic Republic of Iran, the Bolivarian Republic of Venezuela and the European Union. The observer for the Asia and Far East Institute for the Prevention of Crime and the Treatment of Offenders also made a statement.",
"16. The participants expressed their appreciation to Japan, the host country of the Fourteenth Congress, for the successful organization of the Congress, particularly in view of the challenges posed by the COVID-19 pandemic. The importance of translating the commitments contained in the Kyoto Declaration into concrete action was stressed. A number of speakers exchanged information on national and regional efforts to implement the commitments made in the Declaration in its four pillars, including the implementation of United Nations standards and norms, the implementation of crime prevention and criminal justice strategies focusing on vulnerable members of society, including in the context of the COVID-19 pandemic, and efforts to improve the efficiency and effectiveness of mutual legal assistance and extradition. Other examples shared focused on, inter alia, steps to strengthen criminal justice systems, including efforts to reduce recidivism through rehabilitation and reintegration efforts. Some speakers referred to the need to address violence against women and children and the need to develop justice policies that promoted gender-responsive, child-sensitive and human rights-based approaches. The importance of providing technical assistance to Member States, upon request, to support States in implementing the Kyoto Declaration was emphasized, and the support of UNODC in that regard was welcomed.",
"Several speakers emphasized the link between crime prevention, criminal justice, the rule of law and international efforts to implement the Sustainable Development Agenda 2030. Several speakers emphasized the need to raise awareness of the Kyoto Declaration and the important role of criminal justice systems in promoting the rule of law in support of sustainable development. Several speakers welcomed the follow-up process to the Kyoto Declaration, in particular the thematic discussion of the Organizational Committee on the implementation of the Kyoto Declaration. In addition, the efforts made by UNODC and Member States since the adoption of the Declaration, including with regard to standards and norms to prevent recidivism, were welcomed.",
"18. Reference was made to the Chair ' s high-level special event on the first day of the thirty-first session of the Commission, which focused on the implementation of the Kyoto Declaration. Appreciation was expressed for the submission by Japan of a resolution on the follow-up to the Fourteenth Congress and preparations for the Fifteenth Congress. With regard to the preparations for the fifteenth Congress, it was emphasized that close collaboration should be established with the institutes of the United Nations Crime Prevention and Criminal Justice Programme network to ensure the timely adoption of the substantive agenda and the subsequent preparation of a discussion guide and the organization of the preparatory workshops as early as possible.",
"Action taken by the Commission on Crime Prevention and Criminal Justice at its thirty-first session",
"The Committee took action on the draft resolution, entitled “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”, on Friday, 20 May 2022, and recommended it, through the Economic and Social Council, to the General Assembly for adoption. In that resolution, the Assembly reiterated its invitation to Governments, when formulating legislation and policy directives, to make every effort, as appropriate, to implement the principles contained in the Kyoto Declaration, taking into account that Declaration and guided by the purposes and principles of the Charter of the United Nations.",
"In the same resolution, the General Assembly welcomed the initiative of the Government of Japan to cooperate with UNODC and, through the Commission, to ensure proper follow-up to the implementation of the Kyoto Declaration. The Assembly requested the Commission, in accordance with its mandate and subject to the availability of extrabudgetary resources, to continue to take appropriate policy and operational measures to follow up on the Kyoto Declaration, including intersessional thematic discussions, in order to facilitate the exchange of information, good practices and lessons learned among Member States and relevant stakeholders.",
"21. The General Assembly decided that, in view of the intensive follow-up process to the implementation of the Kyoto Declaration by the Commission, the fifteenth Congress would be held in 2026 with a view to maintaining the five-year cycle of the Congress, without prejudice to the timing of future United Nations congresses on crime prevention and criminal justice.",
"22. The General Assembly invited Member States to provide their recommendations on the overall theme, agenda items and workshop topics of the Fifteenth Congress, and requested the Secretary-General to include those recommendations in his report on the follow-up to the Fourteenth Congress and preparations for the Fifteenth Congress to be submitted to the Commission at its thirty-second session.",
"23. The Assembly also recommended that, on the basis of the experience and success of the Fourteenth Congress, every effort be made to ensure that the overall theme, agenda items and workshop topics of the Fifteenth Congress were interrelated and that agenda items and workshop topics were streamlined and limited in number, and encouraged the holding of side events focusing on agenda items and workshops and complementing them. The Assembly requested the Commission, at its thirty-second session, to approve the overall theme, agenda items and workshop topics for the fifteenth Congress.",
"24. The General Assembly finally requested the Secretary-General to submit to it at its seventy-eighth session a report on the implementation of the resolution.",
"C. Other activities undertaken by the Commission on Crime Prevention and Criminal Justice at its thirty-first session",
"25. The Committee widely publicized the policy commitments contained in the Kyoto Declaration. On 16 May 2022, on the margins of the thirty-first session, the Chairman of the Commission, in cooperation with the Government of Japan, held a high-level special event to discuss a multidimensional approach to translating the Kyoto Declaration into action on the ground. The special event provided an opportunity to assess and report on initiatives launched since the adoption of the Kyoto Declaration in March 2021, with a focus on institutional efforts within the United Nations system, through the Commission at the intergovernmental and programmatic levels, and at the national and regional levels, including those of stakeholders, to implement the commitments of the Kyoto Declaration. Participants reviewed the conduct and outcome of the Fourteenth Congress and shared their experiences in holding major international conferences during the pandemic.",
"In addition, in July 2022, the Commission on Crime Prevention and Criminal Justice will organize, in cooperation with the Commission on Narcotic Drugs, a web-based side event on the margins of the 2022 High-level Political Forum on Sustainable Development, entitled “Using international action to address the impact of COVID-19 on drugs and crime: a multidisciplinary and integrated response of the Commission on Narcotic Drugs and the Commission on Crime Prevention and Criminal Justice”. The side event would, inter alia, contribute to a better understanding of the work of the Commission on Crime Prevention and Criminal Justice on the interlinkages between sustainable development goals and the rule of law and crime prevention and criminal justice. Information will be shared on the contribution of the Commission to the implementation of the Sustainable Development Agenda 2030.",
"Action taken by the United Nations Office on Drugs and Crime",
"UNODC has taken a number of initiatives to ensure an integrated approach to the follow-up to the fourteenth Congress. An interdivisional working group was established to enhance coordination and cooperation throughout the Office in the implementation of the Kyoto Declaration and the preparations for the fifteenth Congress. The working group is composed of representatives of UNODC divisions and is led by the secretariat of the governing body and meets regularly.",
"The cross-divisional working group developed an implementation matrix for internal use, which outlines activities undertaken by UNODC and its partners in support of the implementation of the Kyoto Declaration. These activities focus on institutional follow-up within the United Nations system, intergovernmental follow-up through the Commission on Crime Prevention and Criminal Justice and programme follow-up through the substantive divisions of UNODC. The matrix could be organized according to different criteria, including the pillars of the Kyoto Declaration, the thematic areas and outcomes of the UNODC Strategy 2021-2025 and the sustainable development goals promoted by the activities.",
"In view of the increasing reliance on online communication channels, the secretariat of the Commission on Crime Prevention and Criminal Justice launched an e-learning tool on the implementation of the Kyoto Declaration. [5] The tool includes three interactive modules that describe the background of the Kyoto Declaration, its relationship to Agenda 2030 and the substantive areas covered by the Declaration. The tool also contains information on the UNODC technical assistance portfolio in related areas.",
"30. In June 2022, the secretariat of the governing bodies organized an online briefing for Member States in English, French and Spanish on the implementation of the Kyoto Declaration. National officials responsible for planning and implementing crime prevention and criminal justice policies and for planning and requesting technical assistance from UNODC in this regard attended the briefing. Information on the delivery of technical assistance by UNODC in the substantive areas covered by the Declaration was exchanged during the meeting.",
"31. A briefing for the institutes of the United Nations Crime Prevention and Criminal Justice Programme network and relevant non-governmental organizations will be held in the second half of 2022 in order to facilitate a comprehensive multi-stakeholder discussion on the follow-up to the fourteenth Congress.",
"In addition to institutional follow-up, UNODC has undertaken a wide range of programme activities in the implementation of the Kyoto Declaration. [6]",
"III. Recommendations on other ways and means to ensure proper follow-up to the Kyoto Declaration",
"33. Pursuant to General Assembly resolution 76/181, a note verbale was sent to Member States inviting them to submit proposals on ways and means to ensure proper follow-up to the Kyoto Declaration. By the 30 March deadline, 10 recommendations had been received from Canada, the Czech Republic, India, Japan, Mali, Morocco, the Philippines, Qatar, Romania and Turkey.",
"34. Many of these Member States highlighted in their recommendations the importance of sharing information, including intelligence, and best practices and of strengthening international cooperation among law enforcement agencies in the thematic areas covered by the Kyoto Declaration. Different cooperation forums, such as regional cooperation networks and open-ended intergovernmental expert groups or working groups, were recommended to enable national practitioners to share knowledge, experiences, good practices and challenges in crime prevention and criminal justice. Some Member States referred to the Asia-Pacific Forum on Criminal Justice, organized by Japan and UNODC in February 2022, which served as a forum for cooperation between central authorities responsible for mutual legal assistance in criminal matters and authorities involved in the treatment and rehabilitation of offenders in the region.",
"Some Member States noted with appreciation the first round of the intersessional thematic discussion of the Commission on the implementation of the Kyoto Declaration, held from 10 to 12 November 2021. It is proposed to establish an online platform dedicated to the Kyoto Declaration, which would cover, inter alia, progress made in the implementation of the Kyoto Declaration and resources shared during the thematic discussions. It was also suggested that, in addition to thematic discussions, Member States should be invited to provide, on a voluntary basis, regular reports on the implementation of the recommendations contained in the Kyoto Declaration, with a view to wider dissemination. Another suggestion was that UNODC should develop a set of general indicators related to the four pillars of the Kyoto Declaration and prepare a questionnaire on its implementation, to be completed regularly by all relevant stakeholders and made available to UNODC.",
"It was noted that UNODC played a key role in providing capacity-building and technical assistance in crime prevention and criminal justice. It is recommended that Member States continue to build partnerships with UNODC in this regard. The importance of continuing training of competent authorities in relevant areas, including mutual legal assistance and judicial ethics, was highlighted.",
"37. Some Member States stressed the importance of mainstreaming a gender perspective into crime prevention and criminal justice strategies.",
"38. It was suggested that one of the most important ways and means of ensuring proper follow-up to the Kyoto Declaration was to provide funding for activities and programmes aimed at translating the political commitments set out in the Declaration into projects on the ground, particularly in developing and less developed countries.",
"IV. Concluding observations",
"39. In the coming years, the Kyoto Declaration will be the main international political commitment to crime prevention and criminal justice and will guide global action in this regard. I urge Member States to take concerted action to advance the implementation of the commitments made in the Kyoto Declaration, including through the Committee as the principal United Nations policymaking body on crime-related matters.",
"40. Taking into account the outcome of the first round of intersessional thematic discussions and the positive feedback received from relevant stakeholders in this regard, I encourage the Committee to continue to promote, in the same spirit, the exchange of information, good practices and lessons learned among Member States, entities of the United Nations system, other intergovernmental organizations and civil society in order to effectively follow up on the Kyoto Declaration.",
"41. Wide dissemination of the policy commitments contained in the Kyoto Declaration and the sharing of information on its implementation among Member States and other relevant stakeholders are key to ensuring an integrated approach to its follow-up. In this regard, I encourage the Committee to continue to keep all relevant stakeholders informed of the activities undertaken to follow up on the Kyoto Declaration by holding side events, including in the General Assembly and the Economic and Social Council.",
"In the Kyoto Declaration, Member States reaffirmed the role of UNODC as the lead United Nations entity in supporting Member States in the field of crime prevention and criminal justice. I encourage UNODC to further strengthen institutional coordination and cooperation in this regard, to ensure an integrated approach to the follow-up to the fourteenth Congress and to continue its programme activities with a view to supporting Member States in the implementation of the commitments contained in the Kyoto Declaration and to keep Member States informed of the work undertaken in that regard.",
"The early identification of the host country for the fifteenth Congress would provide an opportunity for the Commission to consult and facilitate the timely planning and coordination of relevant preparatory arrangements. I encourage the Committee to undertake further consultations among Member States to identify host countries in order to facilitate timely planning and coordination of relevant preparatory arrangements. In the same spirit, I urge Member States to make recommendations on the overall theme, agenda items and workshop topics for the fifteenth Congress.",
"44. Multilateral cooperation and multi-stakeholder partnerships are essential to advancing crime prevention, criminal justice and the rule of law as part of efforts to achieve Agenda 2030. I request the Commission to continue to engage with other relevant stakeholders, including intergovernmental organizations, the institutes of the United Nations Crime Prevention and Criminal Justice Programme network, civil society and academia, in the follow-up to the Kyoto Declaration and in the preparations for the fifteenth Congress.",
"[1] ^ (*) A/77/50.",
"[2] Recommendations received after that date are contained in a conference room paper (E/CN.15/2022/CRP.3).",
"[3] See also E/CN.15/202/11.",
"[4] Ibid.",
"[5] Available at https://golean.unodc.org/lms/login/index.php.",
"[6] See also E/CN.15/202/11 and A/77/127."
] |
[
"拟订一项关于打击为犯罪目的使用信息和 通信技术行为的全面国际公约特设委员会",
"第三届会议",
"2022年8月29日至9月9日，纽约",
"临时议程说明",
"临时议程",
"1. 会议开幕。",
"2. 通过议程和工作安排。",
"3. 委员会主席介绍2022年6月13日和14日与多利益攸关方举行的第二次闭会期间协商的报告。",
"4. 国际合作条款。",
"5. 技术援助条款。",
"6. 预防措施条款。",
"7. 实施机制条款。",
"8. 最后条款。",
"9. 序言。",
"10. 任何其他事项。",
"11. 通过报告。",
"12. 会议闭幕。",
"说明",
"1. 会议开幕",
"大会在第74/247号决议中决定设立一个代表所有区域的不限成员名额特设政府间专家委员会，以拟订一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约，同时充分考虑到关于打击为犯罪目的使用信息和通信技术行为的现有国际文书以及国家、区域和国际各级的现有努力，特别是全面研究网络犯罪问题不限成员名额政府间专家组的工作和成果。",
"拟订一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约特设委员会于2021年5月10日至12日在纽约举行了组织会议。",
"2021年5月26日，大会通过了第75/282号决议，其中除其他外决定委员会应至少召开六届会议，每届为期10天，并召开一届闭幕会议，还应向大会第七十八届会议提交一份公约草案。特设委员会于2022年2月24日在纽约举行了组织事项会议。委员会于2022年2月28日至3月11日在纽约举行了第一届会议，于2022年5月30日至6月10日在维也纳举行了第二届会议。",
"在关于组织事项的会议上，特设委员会进行了选举，以填补属于亚洲太平洋国家及拉丁美洲和加勒比国家的两个空缺副主席职位，还根据第75/282号决议第9段通过了可参加委员会会议的其他相关非政府组织、民间社会组织、学术机构和私营部门的名单。特设委员会第一届会议通过了一个路线图和工作方式，以期采用一种计划周密、组织有序而透明的办法来促进委员会履行其任务授权，还通过了公约的结构。此外，特设委员会还审议了公约的目标和范围，并就公约的关键内容初步交换了意见。特设委员会第二届会议对关于刑事定罪、总则和程序措施及执法的各章进行了一读，并根据会员国提交的书面材料交换了意见。",
"根据特设委员会第一届会议核准的路线图，特设委员会第三届会议将于2022年8月29日星期一上午10时在纽约托管理事会会议厅开幕。本届会议将以混合形式举行（线下和线上），配有联合国六种正式语文的同声传译，每天两次会议，每次3小时，上午和下午各一次，但有一项谅解，即利用远程口译平台进行的线上发言每次会议不得超过30分钟，这是会员国2022年6月24日经由默许程序决定的。为与会者提供的进一步信息，包括任何2019冠状病毒病（COVID-19）缓解措施和参会方式，将发布在本届会议网站上。[1]",
"2. 通过议程和工作安排",
"特设委员会第一届会议核准的路线图和工作方式（A/AC.291/7，附件二）为委员会从第一届会议直至拟于2024年举行的总结会议履行其任务授权提供了指导，其中包括所有会议的实质性议程项目。",
"本临时议程说明是根据路线图和工作方式编写的，其中设想特设委员会将审议公约中关于国际合作、技术援助、预防措施和实施机制的条款，以及最后条款和序言。",
"文件",
"临时议程说明（A/AC.291/11）",
"3. 委员会主席介绍2022年6月13日和14日与多利益攸关方举行的第二次闭会期间协商的报告",
"大会在第75/282号决议第10段鼓励特设委员会主席主持闭会期间协商，以征求各利益攸关方对公约草案制订工作的意见。",
"根据第75/282号决议及特设委员会的路线图和工作方式，2022年6月13日和14日在维也纳举行了与多利益攸关方的第二次闭会期间协商。此外，根据路线图和工作方式，主席在秘书处的协助下编写了一份报告，在第三届会议之前发布在特设委员会网站上，并作为一份会议室文件提交特设委员会。",
"根据特设委员会的路线图和工作方式第17段，主席将介绍与多利益攸关方进行的第二次闭会期间协商的报告。",
"文件",
"主席关于特设委员会第二次闭会期间协商的报告（A/AC.291/CRP.12）",
"4. 国际合作条款",
"特设委员会第三届会议将根据路线图和工作方式对国际合作条款进行一读。特设委员会将在会员国提交的书面材料的基础上开展工作，这些书面材料的形式是就国际合作条款提出的具体起草建议或一般性意见，其行文与特设委员会第一届会议核准的公约结构所载各章相一致，这可有助于达成一致意见和确定相关问题以供谈判。",
"按照路线图和工作方式，为审议议程项目4，特设委员会将收到会员国提交的关于国际合作条款的建议和意见汇编，该汇编有联合国六种正式语文版本，已分发给会员国。特设委员会还将收到一份以上述汇编为基础的会议室文件，其中载有从会员国收到的条款草案形式的提案，按所属各条编排。",
"此外，特设委员会还将收到一份文件，其中载有关于国际合作一章的指导性问题，该文件以联合国六种正式语文提供。",
"文件",
"会员国就一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、序言及最后条款提交的建议和意见汇编（A/AC.291/12）",
"就一项关于打击为犯罪目的使用信息和通信技术的全面国际公约中有关国际合作、技术援助、预防措施、实施机制和最后条款的各章以及序言提出的指导性问题（A/AC.291/13）",
"会员国就国际合作、技术援助、预防措施、实施机制、最后条款和序言提交的条款草案汇编（A/AC.291/CRP.13）",
"5. 技术援助条款",
"特设委员会第三届会议还将根据路线图和工作方式对技术援助条款进行一读。特设委员会将审议会员国提交的书面材料，其形式为关于技术援助条款的具体起草建议或一般性评论意见，行文与经核准的公约结构所载的各章一致。",
"按照路线图和工作方式，为审议议程项目5，特设委员会将收到会员国提交的关于技术援助条款的建议和意见汇编，有联合国六种正式语文版本。特设委员会还将收到一份以上述汇编为基础的会议室文件，其中载有从会员国收到的条款草案形式的提案，按所属各条编排。",
"此外，特设委员会还将收到一份文件，其中载有关于技术援助一章的指导性问题，该文件以联合国六种正式语文提供。",
"文件",
"会员国就一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、序言及最后条款提交的建议和意见汇编（A/AC.291/12）",
"就一项关于打击为犯罪目的使用信息和通信技术的全面国际公约中有关国际合作、技术援助、预防措施、实施机制和最后条款的各章以及序言提出的指导性问题（A/AC.291/13）",
"会员国就国际合作、技术援助、预防措施、实施机制、最后条款和序言提交的条款草案汇编（A/AC.291/CRP.13）",
"6. 预防措施条款",
"特设委员会第三届会议将根据路线图和工作方式对预防措施条款进行一读。特设委员会将审议会员国提交的书面材料，其形式为关于预防措施条款的具体起草建议或一般性评论意见，行文与经核准的公约结构所载的各章一致。",
"按照路线图和工作方式，为审议议程项目6，特设委员会将收到会员国提交的关于预防措施条款的建议和意见汇编，有联合国六种正式语文版本。特设委员会还将收到一份以上述汇编为基础的会议室文件，其中载有从会员国收到的条款草案形式的提案，按所属各条编排。",
"此外，特设委员会还将收到一份文件，其中载有关于预防措施一章的指导性问题，该文件以联合国六种正式语文提供。",
"文件",
"会员国就一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、序言和最后条款提交的建议和意见汇编（A/AC.291/12）",
"就一项关于打击为犯罪目的使用信息和通信技术的全面国际公约中有关国际合作、技术援助、预防措施、实施机制和最后条款的各章以及序言提出的指导性问题（A/AC.291/13）",
"会员国就国际合作、技术援助、预防措施、实施机制、最后条款和序言提交的条款草案汇编（A/AC.291/CRP.13）",
"7. 实施机制条款",
"特设委员会第三届会议将根据路线图和工作方式对实施机制条款进行一读。特设委员会将审议会员国提交的书面材料，其形式是对实施机制条款提出的具体起草建议或一般性评论，行文与经核准的公约结构所载的各章一致。",
"根据路线图和工作方式，为审议议程项目7，特设委员会将收到会员国就实施机制条款提交的建议和意见汇编，有联合国六种正式语文版本。特设委员会还将收到一份以上述汇编为基础的会议室文件，其中载有从会员国收到的条款草案形式的提案，按所属各条编排。",
"此外，特设委员会还将收到一份文件，其中载有关于实施机制一章的指导性问题，该文件以联合国六种正式语文提供",
"文件",
"会员国就一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、序言和最后条款提交的建议和意见汇编（A/AC.291/12）",
"就一项关于打击为犯罪目的使用信息和通信技术的全面国际公约中有关国际合作、技术援助、预防措施、实施机制和最后条款的各章以及序言提出的指导性问题（A/AC.291/13）",
"会员国就国际合作、技术援助、预防措施、实施机制、最后条款和序言提交的条款草案汇编（A/AC.291/CRP.13）",
"8. 最后条款",
"特设委员会第三届会议还将根据路线图和工作方式对公约的最后条款进行一读。特设委员会将审议会员国提交的书面材料，其形式为关于最后条款的具体起草建议或一般性评论意见，行文与经核准的公约结构所载的各章一致。",
"按照路线图和工作方式，为审议议程项目8，特设委员会将收到会员国提交的关于最后条款的建议和意见汇编，有联合国六种正式语文版本。特设委员会还将收到一份以上述汇编为基础的会议室文件，其中载有从会员国收到的条款草案形式的提案，按所属各条编排。",
"此外，特设委员会还将收到一份文件，其中载有关于最后条款一章的指导性问题，该文件以联合国六种正式语文提供。",
"文件",
"会员国就一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、序言和最后条款提交的建议和意见汇编（A/AC.291/12）",
"就一项关于打击为犯罪目的使用信息和通信技术的全面国际公约中有关国际合作、技术援助、预防措施、实施机制和最后条款的各章以及序言提出的指导性问题（A/AC.291/13）",
"会员国就国际合作、技术援助、预防措施、实施机制、最后条款和序言提交的条款草案汇编（A/AC.291/CRP.13）",
"9. 序言",
"特设委员会第三届会议将根据路线图和工作方式对序言进行一读。特设委员会将审议会员国提交的书面材料，其形式为关于序言的具体起草建议或一般性评论意见，行文与经核准的公约结构所载的各章一致。",
"按照路线图和工作方式，为审议议程项目9，特设委员会将收到会员国提交的关于序言的建议和意见汇编，有联合国六种正式语文版本。特设委员会还将收到一份以上述汇编为基础的会议室文件，其中载有从会员国收到的条款草案形式的提案，按所属各条编排。",
"此外，特设委员会还将收到一份文件，其中载有关于序言的指导性问题，该文件以联合国六种正式语文提供。",
"文件",
"会员国就一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、序言和最后条款提交的建议和意见汇编（A/AC.291/12）",
"就一项关于打击为犯罪目的使用信息和通信技术的全面国际公约中有关国际合作、技术援助、预防措施、实施机制和最后条款的各章以及序言提出的指导性问题（A/AC.291/13）",
"会员国就国际合作、技术援助、预防措施、实施机制、最后条款和序言提交的条款草案汇编（A/AC.291/CRP.13）",
"10. 任何其他事项",
"特设委员会可在议程项目10下处理任何其他事项。秘书处尚未注意到需在本议程项目下提出任何议题，目前预期不会有关于本项目的文件。",
"11. 通过报告",
"特设委员会将通过本届会议的报告，报告将由报告员与秘书处协调编写。",
"12. 会议闭幕",
"特设委员会主席预计将于2022年9月9日星期五宣布会议闭幕。",
"附件",
"拟议工作安排[2]",
"日期/时间 议程项目 标题或说明",
"8月29日，星期一",
"上午10时至下午1时 1 会议开幕",
"2 通过议程和工作安排",
"3 委员会主席介绍2022年6月13日和14日与多利益攸关方举行的第二次闭会期间协商的报告",
"4 国际合作条款",
"下午3时至6时 4 国际合作条款（续）",
"8月30日，星期二",
"上午10时至下午1时 4 国际合作条款（续）",
"下午3时至6时 4 国际合作条款（续）",
"8月31日，星期三",
"上午10时至下午1时 4 国际合作条款（续）",
"下午3时至6时 5 技术援助条款",
"9月1日，星期四",
"上午10时至下午1时 5 技术援助条款（续）",
"下午3时至6时 5 技术援助条款（续）",
"9月2日，星期五",
"上午10时至下午1时 6 预防措施条款",
"下午3时至6时 6 预防措施条款（续）",
"9月5日，星期一 联合国法定假日",
"9月6日，星期二",
"上午10时至下午1时 6 预防措施条款（续）",
"下午3时至6时 7 实施机制条款",
"9月7日，星期三",
"上午10时至下午1时 7 实施机制条款（续）",
"下午3时至6时 8 最后条款",
"9月8日，星期四",
"上午10时至下午1时 9 序言",
"下午3时至6时 9 序言（续）",
"9月9日，星期五",
"上午10时至下午1时 10 任何其他事项",
"下午3时至6时 11 通过报告",
"12 会议闭幕",
"[1] www.unodc.org/unodc/en/cybercrime/ad_hoc_committee/ahc_third_session/main.html。",
"[2] * 每个议程项目的拟议时间表都是指示性的。如果一个项目较早结束，即审议下一个议程项目。"
] | [
"Ad Hoc Committee to Elaborate aComprehensive InternationalConvention on Countering the Useof Information andCommunications Technologies forCriminal Purposes Third session \nNew York, 29 August–9 September2022",
"Annotated provisional agenda",
"Provisional agenda",
"1. Opening of the session.",
"2. Adoption of the agenda and organization of work.",
"3. Presentation by the Committee Chair of the report on the second intersessional consultation with multi-stakeholders, held on 13 and 14 June 2022.",
"4. Provisions on international cooperation.",
"5. Provisions on technical assistance.",
"6. Provisions on preventive measures.",
"7. Provisions on the mechanism of implementation.",
"8. Final provisions.",
"9. Preamble.",
"10. Any other business.",
"11. Adoption of the report.",
"12. Closure of the session.",
"Annotations",
"1. Opening of the session",
"In its resolution 74/247, the General Assembly decided to establish an open-ended ad hoc intergovernmental committee of experts, representative of all regions, to elaborate a comprehensive international convention on countering the use of information and communications technologies for criminal purposes, taking into full consideration existing international instruments and efforts at the national, regional and international levels on combating the use of information and communications technologies for criminal purposes, in particular the work and outcomes of the open-ended intergovernmental Expert Group to Conduct a Comprehensive Study on Cybercrime.",
"The Ad Hoc Committee to Elaborate a Comprehensive International Convention on Countering the Use of Information and Communications Technologies for Criminal Purposes held an organizational session in New York from 10 to 12 May 2021.",
"On 26 May 2021, the General Assembly adopted resolution 75/282, in which it decided, inter alia, that the Committee should convene at least six sessions of 10 days each, and a concluding session, and provide a draft convention to the General Assembly at its seventy-eighth session. The Ad Hoc Committee held a session on organizational matters in New York on 24 February 2022. It held its first session in New York from 28 February to 11 March 2022 and its second session in Vienna from 30 May to 10 June 2022.",
"At the session on organizational matters, the Ad Hoc Committee held elections to fill two vacant Vice-Chair positions from Asia-Pacific States and Latin American and Caribbean States, and adopted the list of other relevant non-governmental organizations, civil society organizations, academic institutions and private sector entities that may participate in the Committee, in line with paragraph 9 of resolution 75/282. At its first session, the Ad Hoc Committee adopted a road map and mode of work with a view to facilitating the fulfilment of the Committee’s mandate through a well-planned, organized and transparent approach, and also adopted the structure of the convention. In addition, the Ad Hoc Committee considered the objectives and scope of the convention and held a preliminary exchange of views on key elements of the convention. At its second session, the Ad Hoc Committee undertook a first reading of the chapters on criminalization, general provisions, and procedural measures and law enforcement, and exchanged views on the basis of the written submissions of Member States.",
"In line with the road map approved by the Ad Hoc Committee at its first session, the third session of the Ad Hoc Committee will be opened in New York on Monday, 29 August 2022, at 10 a.m. in the Trusteeship Council Chamber. The session will be held in a hybrid format (in person and online), with simultaneous interpretation in the six official languages of the United Nations and with two three-hour meetings per day, one in the morning and one in the afternoon, on the understanding that the online interventions, using a remote interpretation platform, are not to exceed 30 minutes per meeting, as decided by Member States by means of a silence procedure on 24 June 2022. Further information for participants, including on any coronavirus disease (COVID-19) mitigation measures and participation modalities, will be made available on the website of the session.[1]",
"2. Adoption of the agenda and organization of work",
"The road map and mode of work for the Ad Hoc Committee (A/AC.291/7, annex II), which were approved at its first session, provide guidance for the Committee to fulfil its mandates from the first session to the concluding session, to be held in 2024, including the substantive agenda items for all meetings.",
"The present annotated provisional agenda was prepared in line with the road map and mode of work, which foresees that the Ad Hoc Committee will examine the provisions of the convention on international cooperation, technical assistance, preventive measures and the mechanism of implementation, the final provisions and the preamble.",
"Documentation",
"Annotated provisional agenda (A/AC.291/11)",
"3. Presentation by the Committee Chair of the report on the second intersessional consultation with multi-stakeholders, held on 13 and 14 June 2022",
"In paragraph 10 of its resolution 75/282, the General Assembly encouraged the Chair of the Ad Hoc Committee to host intersessional consultations to solicit inputs from a diverse range of stakeholders on the elaboration of the draft convention.",
"In accordance with resolution 75/282 and the road map and mode of work for the Ad Hoc Committee, the second intersessional consultation with multi-stakeholders was held in Vienna on 13 and 14 June 2022. Furthermore, pursuant to the road map and mode of work, the Chair, with the support of the secretariat, prepared a report, which was made available on the website of the Ad Hoc Committee in advance of the third session, and is before the Ad Hoc Committee as a conference room paper.",
"In line with paragraph 17 of the road map and mode of work for the Ad Hoc Committee, the Chair will present her report on the second intersessional consultation with multi-stakeholders.",
"Documentation",
"Chair’s report on the second intersessional consultation of the Ad Hoc Committee (A/AC.291/CRP.12)",
"4. Provisions on international cooperation",
"The Ad Hoc Committee at its third session will undertake a first reading of the provisions on international cooperation, in accordance with the road map and mode of work. The Ad Hoc Committee will conduct its work on the basis of the written submissions of Member States, in the form of specific drafting suggestions or general comments on the provisions on international cooperation, articulated in line with the chapters contained in the structure of the convention approved at its first session, which may facilitate the reaching of agreement and identification of relevant issues for negotiation.",
"For the consideration of agenda item 4, the Ad Hoc Committee will have before it a compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, which is available in the six official languages of the United Nations and has been circulated to Member States, in line with the road map and mode of work. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing the proposals received from Member States in the form of draft provisions, arranged according to article.",
"In addition, the Ad Hoc Committee will have before it a document containing guiding questions on the chapter on international cooperation, available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, technical assistance, preventive measures, and the mechanism of implementation, the preamble and the final provisions of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/12)",
"Guiding questions on the chapters on international cooperation, technical assistance, preventive measures, the mechanism of implementation and the final provisions, and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/13)",
"Compilation of draft provisions submitted by Member States on international cooperation, technical assistance, preventive measures, the mechanism of implementation, the final provisions and the preamble (A/AC.291/CRP.13)",
"5. Provisions on technical assistance",
"The Ad Hoc Committee at its third session will also undertake a first reading of the provisions on technical assistance, in accordance with the road map and mode of work. The Ad Hoc Committee will examine the written submissions of Member States, in the form of specific drafting suggestions or general comments on the provisions on technical assistance, articulated in line with the chapters contained in the approved structure of the convention.",
"For the consideration of agenda item 5, the Ad Hoc Committee will have before it a compilation of proposals and contributions submitted by Member States on the provisions on technical assistance, which is available in the six official languages of the United Nations, in line with the road map and mode of work. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing the proposals received from Member States in the form of draft provisions, arranged according to article.",
"In addition, the Ad Hoc Committee will have before it a document containing guiding questions on the chapter on technical assistance, available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, technical assistance, preventive measures and the mechanism of implementation, the preamble and the final provisions of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/12)",
"Guiding questions on the chapters on international cooperation, technical assistance, preventive measures, the mechanism of implementation and the final provisions, and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/13)",
"Compilation of draft provisions submitted by Member States on international cooperation, technical assistance, preventive measures, the mechanism of implementation, the final provisions and the preamble (A/AC.291/CRP.13)",
"6. Provisions on preventive measures",
"The Ad Hoc Committee at its third session will further undertake a first reading of the provisions on preventive measures, in accordance with the road map and mode of work. The Ad Hoc Committee will examine the written submissions of Member States, in the form of specific drafting suggestions or general comments on the provisions on preventive measures, articulated in line with the chapters contained in the approved structure of the convention.",
"For the consideration of agenda item 6, the Ad Hoc Committee will have before it a compilation of proposals and contributions submitted by Member States on the provisions on preventive measures, which is available in the six official languages of the United Nations, in line with the road map and mode of work. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing the proposals received from Member States in the form of draft provisions, arranged according to article.",
"In addition, the Ad Hoc Committee will have before it a document containing guiding questions on the chapter on preventive measures, available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, technical assistance, preventive measures and the mechanism of implementation, the preamble and the final provisions of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/12)",
"Guiding questions on the chapters on international cooperation, technical assistance, preventive measures, the mechanism of implementation and the final provisions, and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/13)",
"Compilation of draft provisions submitted by Member States on international cooperation, technical assistance, preventive measures, the mechanism of implementation, the final provisions and the preamble (A/AC.291/CRP.13)",
"7. Provisions on the mechanism of implementation",
"The Ad Hoc Committee at its third session will undertake a first reading of the provisions on the mechanism of implementation, in accordance with the road map and mode of work. The Ad Hoc Committee will examine the written submissions of Member States, in the form of specific drafting suggestions or general comments on the provisions on the mechanism of implementation, articulated in line with the chapters contained in the approved structure of the convention.",
"For the consideration of agenda item 7, the Ad Hoc Committee will have before it a compilation of proposals and contributions submitted by Member States on the provisions on the mechanism of implementation, which is available in the six official languages of the United Nations, in line with the road map and mode of work. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing the proposals received from Member States in the form of draft provisions, arranged according to article.",
"In addition, the Ad Hoc Committee will have before it a document containing guiding questions on the chapter on the mechanism of implementation, available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, technical assistance, preventive measures and the mechanism of implementation, the preamble and the final provisions of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/12)",
"Guiding questions on the chapters on international cooperation, technical assistance, preventive measures, the mechanism of implementation and the final provisions, and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/13)",
"Compilation of draft provisions submitted by Member States on international cooperation, technical assistance, preventive measures, the mechanism of implementation, the final provisions and the preamble (A/AC.291/CRP.13)",
"8. Final provisions",
"The Ad Hoc Committee at its third session will also undertake a first reading of the final provisions, in accordance with the road map and mode of work. The Ad Hoc Committee will examine the written submissions of Member States, in the form of specific drafting suggestions or general comments on the final provisions, articulated in line with the chapters contained in the approved structure of the convention.",
"For the consideration of agenda item 8, the Ad Hoc Committee will have before it a compilation of proposals and contributions submitted by Member States on the final provisions, which is available in the six official languages of the United Nations, in line with the road map and mode of work. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing the proposals received from Member States in the form of draft provisions, arranged according to article.",
"In addition, the Ad Hoc Committee will have before it a document containing guiding questions on the chapter on final provisions, available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, technical assistance, preventive measures and the mechanism of implementation, the preamble and the final provisions of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/12)",
"Guiding questions on the chapters on international cooperation, technical assistance, preventive measures, the mechanism of implementation and the final provisions, and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/13)",
"Compilation of draft provisions submitted by Member States on international cooperation, technical assistance, preventive measures, the mechanism of implementation, the final provisions and the preamble (A/AC.291/CRP.13)",
"9. Preamble",
"The Ad Hoc Committee at its third session will further undertake a first reading of the preamble, in accordance with the road map and mode of work. The Ad Hoc Committee will examine the written submissions of Member States, in the form of specific drafting suggestions or general comments on the preamble, articulated in line with the chapters contained in the approved structure of the convention.",
"For the consideration of agenda item 9, the Ad Hoc Committee will have before it a compilation of proposals and contributions submitted by Member States on the preamble, which is available in the six official languages of the United Nations, in line with the road map and mode of work. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing the proposals received from Member States in the form of draft provisions, arranged according to article.",
"In addition, the Ad Hoc Committee will have before it a document containing guiding questions on the preamble, available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and contributions submitted by Member States on the provisions on international cooperation, technical assistance, preventive measures and the mechanism of implementation, the preamble and the final provisions of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/12)",
"Guiding questions on the chapters on international cooperation, technical assistance, preventive measures, the mechanism of implementation and the final provisions, and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes (A/AC.291/13)",
"Compilation of draft provisions submitted by Member States on international cooperation, technical assistance, preventive measures, the mechanism of implementation, the final provisions and the preamble (A/AC.291/CRP.13)",
"10. Any other business",
"The Ad Hoc Committee may address any other matters under agenda item 10. As no issues to be raised under the agenda item have come to the attention of the secretariat, no documentation regarding the item is foreseen.",
"11. Adoption of the report",
"The Ad Hoc Committee is to adopt a report on its session, the draft of which will be prepared by the Rapporteur in coordination with the secretariat.",
"12. Closure of the session",
"The Chair of the Ad Hoc Committee is expected to close the session on Friday, 9 September 2022.",
"Annex",
"Proposed organization of work[2]",
"Date/time Agenda Title or description item",
"Monday, 29 August",
"10 a.m.–1 p.m. 1 Opening of the session",
"2 Adoption of the agenda and organization of work",
"3 Presentation by the Committee Chair of the report on the second intersessional consultation with multi-stakeholders, held on 13 and 14 June 2022",
"4 Provisions on international cooperation",
"3–6 p.m. 4 Provisions on international cooperation (continued)",
"Tuesday, 30 August",
"10 a.m.–1 p.m. 4 Provisions on international cooperation (continued)",
"3–6 p.m. 4 Provisions on international cooperation (continued)",
"Wednesday, 31 August",
"10 a.m.–1 p.m. 4 Provisions on international cooperation (continued)",
"3–6 p.m. 5 Provisions on technical assistance",
"Thursday, 1 September",
"10 a.m.–1 p.m. 5 Provisions on technical assistance (continued)",
"3–6 p.m. 5 Provisions on technical assistance (continued)",
"Friday, 2 September",
"10 a.m.–1 p.m. 6 Provisions on preventive measures",
"3–6 p.m. 6 Provisions on preventive measures (continued)",
"Monday, 5 September Official United Nations holiday",
"Tuesday, 6 September",
"10 a.m.–1 p.m. 6 Provisions on preventive measures (continued)",
"3–6 p.m. 7 Provisions on the mechanism of implementation",
"Wednesday, 7 September",
"10 a.m.–1 p.m. 7 Provisions on the mechanism of implementation (continued)",
"3–6 p.m. 8 Final provisions",
"Thursday, 8 September",
"10 a.m.–1 p.m. 9 Preamble",
"3–6 p.m. 9 Preamble (continued)",
"Friday, 9 September",
"10 a.m.–1 p.m. 10 Any other business",
"3–6 p.m. 11 Adoption of the report",
"12 Closure of the session",
"[1] www.unodc.org/unodc/en/cybercrime/ad_hoc_committee/ahc_third_session/main.html.",
"[2] ^(*) The proposed timetable for each agenda item is indicative in nature. Should an item be finalized earlier, the following agenda item will be taken up."
] | A_AC.291_11 | [
"Ad Hoc Committee on a Comprehensive International Convention against the Use of Information and Communications Technology for Criminal Purposes",
"Third session",
"New York, 29 August-9 September 2022",
"Annotated provisional agenda",
"Provisional agenda",
"Opening of the session.",
"Adoption of the agenda and organization of work.",
"3. The Chairperson of the Committee presented the report of the second intersessional consultation with stakeholders, held on 13 and 14 June 2022.",
"4. International cooperation provisions.",
"5. Technical assistance provisions.",
"6. Preventive measures provisions.",
"Implementation mechanism provisions.",
"8. Final provisions.",
"Preamble.",
"Any other business.",
"11. Adoption of the report.",
"Closure of the session.",
"Annotations",
"Opening of the session",
"In its resolution 74/247, the General Assembly decided to establish an ad hoc open-ended intergovernmental expert committee, representing all regions, to elaborate a comprehensive international convention against the use of information and communication technologies for criminal purposes, taking fully into account the existing international instruments against the use of information and communication technologies for criminal purposes and existing efforts at the national, regional and international levels, in particular the work and outcome of the open-ended intergovernmental expert group to conduct a comprehensive study on cybercrime.",
"The Ad Hoc Committee on a Comprehensive International Convention against the Use of Information and Communication Technologies for Criminal Purposes held its organizational session in New York from 10 to 12 May 2021.",
"On 26 May 2021, the General Assembly adopted resolution 75/282, in which, inter alia, it decided that the Committee should hold at least six sessions of 10 days each and a closing session, and should submit a draft convention to the Assembly at its seventy-eighth session. The Ad Hoc Committee held an organizational meeting in New York on 24 February 2022. The Committee held its first session in New York from 28 February to 11 March 2022 and its second session in Vienna from 30 May to 10 June 2022.",
"At its meeting on organizational matters, the Ad Hoc Committee held elections to fill the two vacant posts of Vice-Chairman from among the Asia-Pacific States and the Latin American and Caribbean States, and adopted, in accordance with paragraph 9 of resolution 75/282, a list of other relevant non-governmental organizations, civil society organizations, academic institutions and the private sector that may participate in the meetings of the Committee. At its first session, the Ad Hoc Committee adopted a road map and modus operandi with a view to promoting a well-planned, structured and transparent approach to its mandate, as well as the structure of the Convention. In addition, the Ad Hoc Committee considered the objectives and scope of the Convention and held a preliminary exchange of views on key elements of the Convention. At its second session, the Ad Hoc Committee conducted a first reading of the chapters on criminalization, general rules and procedural measures and law enforcement and exchanged views on the basis of written submissions from Member States.",
"In accordance with the road map approved by the Ad Hoc Committee at its first session, the third session of the Ad Hoc Committee will be opened on Monday, 29 August 2022, at 10 a.m. in the Trusteeship Council Chamber in New York. The session will be held in a hybrid format (underline and online), with simultaneous interpretation in the six official languages of the United Nations, with two meetings per day of three hours each, one in the morning and one in the afternoon, on the understanding that no more than 30 minutes will be allowed for online statements using remote interpretation platforms, as decided by Member States through the tacit procedure of 24 June 2022. Further information for participants, including any mitigation measures for coronary virus disease (COVID-19) and modalities for participation, will be posted on the website of the session. [1]",
"Adoption of the agenda and organization of work",
"The road map and modalities of work approved by the Ad Hoc Committee at its first session (A/AC.291/7, annex II) provided guidance to the Committee in the fulfilment of its mandate, from its first session to the wrap-up session to be held in 2024, including substantive agenda items for all meetings.",
"The annotated provisional agenda has been prepared on the basis of the road map and the modalities of work, which envisage that the Ad Hoc Committee will consider the provisions of the Convention relating to international cooperation, technical assistance, preventive measures and implementation mechanisms, as well as the final clauses and preamble.",
"Documentation",
"Annotated provisional agenda (A/AC.291/11)",
"3. Presentation by the Chair of the Committee on the report of the second intersessional consultation with stakeholders, held on 13 and 14 June 2022",
"In paragraph 10 of resolution 75/282, the General Assembly encouraged the Chairman of the Ad Hoc Committee to chair intersessional consultations with a view to seeking the views of stakeholders on the development of a draft convention.",
"In accordance with resolution 75/282 and the road map and modalities of work of the Ad Hoc Committee, a second intersessional consultation with multiple stakeholders was held in Vienna on 13 and 14 June 2022. In addition, in accordance with the road map and the modalities of work, the Chairman, with the assistance of the Secretariat, prepared a report, which was posted on the website of the Ad Hoc Committee prior to its third session and submitted to the Ad Hoc Committee as a conference room paper.",
"In accordance with paragraph 17 of the road map and modalities of work of the Ad Hoc Committee, the Chairman will present the report of the second intersessional consultations with multiple stakeholders.",
"Documentation",
"Report of the Chairman on the second intersessional consultations of the Ad Hoc Committee (A/AC.291/CRP.12)",
"4. International cooperation provisions",
"At its third session, the Ad Hoc Committee will conduct a first reading of the articles on international cooperation in accordance with the road map and the modalities of work. The work of the Ad Hoc Committee would be based on written submissions by Member States in the form of specific drafting proposals or general comments on the articles on international cooperation in a manner consistent with the chapters contained in the structure of the convention approved by the Ad Hoc Committee at its first session, which could facilitate agreement and identify relevant issues for negotiation.",
"In accordance with the road map and the modus operandi, for the consideration of agenda item 4, the Ad Hoc Committee will have before it a compilation of proposals and views submitted by Member States on international cooperation provisions, which is available in the six official languages of the United Nations and has been circulated to Member States. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing proposals received from Member States in the form of draft articles organized according to the articles to which they belong.",
"In addition, the Ad Hoc Committee will have before it a document containing guidance on the chapter on international cooperation, which will be available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and comments submitted by Member States on the provisions, preamble and final clauses of a comprehensive international convention against the use of information and communication technologies for criminal purposes on international cooperation, technical assistance, preventive measures and implementation mechanisms (A/AC.291/12)",
"Guidance on the chapters on international cooperation, technical assistance, preventive measures, implementation mechanisms and final provisions of a comprehensive international convention against the use of information and communication technologies for criminal purposes and on the preamble (A/AC.291/13)",
"Compilation of draft articles submitted by Member States on international cooperation, technical assistance, preventive measures, implementation mechanisms, final clauses and preamble (A/AC.291/CRP.13)",
"5. Technical assistance provisions",
"At its third session, the Ad Hoc Committee will also undertake a first reading of the provisions on technical assistance in the light of the road map and working modalities. The Ad Hoc Committee will consider written submissions from Member States in the form of specific drafting suggestions or general comments on technical assistance provisions, consistent with the chapters contained in the approved structure of the Convention.",
"In accordance with the road map and modus operandi, for the consideration of agenda item 5, the Ad Hoc Committee will have before it a compilation of proposals and views submitted by Member States on the provisions on technical assistance, in the six official languages of the United Nations. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing proposals received from Member States in the form of draft articles organized according to the articles to which they belong.",
"In addition, the Ad Hoc Committee will have before it a document containing guidance on the chapter on technical assistance, which is available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and comments submitted by Member States on the provisions, preamble and final clauses of a comprehensive international convention against the use of information and communication technologies for criminal purposes on international cooperation, technical assistance, preventive measures and implementation mechanisms (A/AC.291/12)",
"Guidance on the chapters on international cooperation, technical assistance, preventive measures, implementation mechanisms and final provisions of a comprehensive international convention against the use of information and communication technologies for criminal purposes and on the preamble (A/AC.291/13)",
"Compilation of draft articles submitted by Member States on international cooperation, technical assistance, preventive measures, implementation mechanisms, final clauses and preamble (A/AC.291/CRP.13)",
"6. Preventive measures provisions",
"At its third session, the Ad Hoc Committee will undertake a first reading of the articles on preventive measures, in accordance with the road map and working modalities. The Ad Hoc Committee will consider written submissions by Member States in the form of specific drafting proposals or general comments on the articles on preventive measures in a manner consistent with the chapters contained in the approved structure of the Convention.",
"In accordance with the road map and working modalities, for the consideration of agenda item 6, the Ad Hoc Committee will have before it a compilation of proposals and views submitted by Member States on the articles on preventive measures, in the six official languages of the United Nations. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing proposals received from Member States in the form of draft articles organized according to the articles to which they belong.",
"In addition, the Ad Hoc Committee will have before it a document containing guidance on the chapter on preventive measures, which is available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and comments submitted by Member States on the articles, preamble and final clauses of a comprehensive international convention against the use of information and communication technologies for criminal purposes on international cooperation, technical assistance, preventive measures and implementation mechanisms (A/AC.291/12)",
"Guidance on the chapters on international cooperation, technical assistance, preventive measures, implementation mechanisms and final provisions of a comprehensive international convention against the use of information and communication technologies for criminal purposes and on the preamble (A/AC.291/13)",
"Compilation of draft articles submitted by Member States on international cooperation, technical assistance, preventive measures, implementation mechanisms, final clauses and preamble (A/AC.291/CRP.13)",
"Implementation mechanism provisions",
"At its third session, the Ad Hoc Committee will undertake a first reading of the provisions of the implementation mechanism in accordance with the road map and the modalities of work. The Ad Hoc Committee will consider written submissions from Member States in the form of specific drafting suggestions or general comments on the provisions of the implementation mechanism, which are consistent with the chapters contained in the approved structure of the Convention.",
"In accordance with the road map and the modus operandi, for the consideration of agenda item 7, the Ad Hoc Committee will have before it a compilation of proposals and views submitted by Member States on the implementation of the provisions of the mechanism, in the six official languages of the United Nations. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing proposals received from Member States in the form of draft articles organized according to the articles to which they belong.",
"In addition, the Ad Hoc Committee will have before it a document containing guidance on the chapter on implementation mechanisms, which will be available in the six official languages of the United Nations",
"Documentation",
"Compilation of proposals and comments submitted by Member States on the articles, preamble and final clauses of a comprehensive international convention against the use of information and communication technologies for criminal purposes on international cooperation, technical assistance, preventive measures and implementation mechanisms (A/AC.291/12)",
"Guidance on the chapters on international cooperation, technical assistance, preventive measures, implementation mechanisms and final provisions of a comprehensive international convention against the use of information and communication technologies for criminal purposes and on the preamble (A/AC.291/13)",
"Compilation of draft articles submitted by Member States on international cooperation, technical assistance, preventive measures, implementation mechanisms, final clauses and preamble (A/AC.291/CRP.13)",
"8. Final provisions",
"At its third session, the Ad Hoc Committee will also conduct a first reading of the final provisions of the Convention on the basis of the road map and working modalities. The Ad Hoc Committee will consider written submissions by Member States in the form of specific drafting proposals or general comments on the final clauses, which are consistent with the chapters contained in the approved structure of the Convention.",
"In accordance with the road map and the modalities of work, for the consideration of agenda item 8, the Ad Hoc Committee will have before it a compilation of proposals and views submitted by Member States on the final clauses, in the six official languages of the United Nations. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing proposals received from Member States in the form of draft articles organized according to the articles to which they belong.",
"In addition, the Ad Hoc Committee will have before it a document containing guidance on the chapter on final clauses, which is available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and comments submitted by Member States on the articles, preamble and final clauses of a comprehensive international convention against the use of information and communication technologies for criminal purposes on international cooperation, technical assistance, preventive measures and implementation mechanisms (A/AC.291/12)",
"Guidance on the chapters on international cooperation, technical assistance, preventive measures, implementation mechanisms and final provisions of a comprehensive international convention against the use of information and communication technologies for criminal purposes and on the preamble (A/AC.291/13)",
"Compilation of draft articles submitted by Member States on international cooperation, technical assistance, preventive measures, implementation mechanisms, final clauses and preamble (A/AC.291/CRP.13)",
"Preamble",
"At its third session, the Ad Hoc Committee will undertake a first reading of the preamble in accordance with the road map and the modalities of work. The Ad Hoc Committee will consider written submissions from Member States in the form of specific drafting proposals or general comments on the preamble, which are consistent with the chapters contained in the approved structure of the Convention.",
"In accordance with the road map and the modus operandi, for the consideration of agenda item 9, the Ad Hoc Committee will have before it a compilation of proposals and views submitted by Member States on the preamble, in the six official languages of the United Nations. The Ad Hoc Committee will also have before it a conference room paper, based on the above-mentioned compilation, containing proposals received from Member States in the form of draft articles organized according to the articles to which they belong.",
"In addition, the Ad Hoc Committee will have before it a document containing guidance on the preamble, which is available in the six official languages of the United Nations.",
"Documentation",
"Compilation of proposals and comments submitted by Member States on the articles, preamble and final clauses of a comprehensive international convention against the use of information and communication technologies for criminal purposes on international cooperation, technical assistance, preventive measures and implementation mechanisms (A/AC.291/12)",
"Guidance on the chapters on international cooperation, technical assistance, preventive measures, implementation mechanisms and final provisions of a comprehensive international convention against the use of information and communication technologies for criminal purposes and on the preamble (A/AC.291/13)",
"Compilation of draft articles submitted by Member States on international cooperation, technical assistance, preventive measures, implementation mechanisms, final clauses and preamble (A/AC.291/CRP.13)",
"Any other business",
"The Ad Hoc Committee may take up any other matters under agenda item 10. The secretariat has not yet taken note of any issues that need to be raised under this agenda item and no documentation on this item is currently expected.",
"11. Adoption of the report",
"The Ad Hoc Committee will adopt the report on the session, which will be prepared by the Rapporteur in coordination with the Secretariat.",
"12. Closure of the session",
"The Chairman of the Ad Hoc Committee is expected to close the meeting on Friday, 9 September 2022.",
"Annex",
"Proposed organization of work [2]",
"Date/time Agenda item Title or description",
"Monday, 29 August",
"10 a.m.-1 p.m.1 Opening of the session",
"2 Adoption of the agenda and organization of work",
"3 Presentation by the Chair of the Committee on the report of the second intersessional consultation with stakeholders, held on 13 and 14 June 2022",
"4 International cooperation provisions",
"3-6 p.m. 4 p.m. International cooperation clause (continued)",
"Tuesday, 30 August",
"10 a.m.-1 p.m. 4th meeting International cooperation clause (continued)",
"3-6 p.m. 4 p.m. International cooperation clause (continued)",
"Wednesday, 31 August",
"10 a.m.-1 p.m. 4th meeting International cooperation clause (continued)",
"3-6 p.m. 5 p.m. Technical assistance provisions",
"Thursday, 1 September",
"10 a.m.-1 p.m. 5th meeting Technical assistance provisions (continued)",
"3-6 p.m. 5th meeting Technical assistance provisions (continued)",
"Friday, 2 September",
"10 a.m.-1 p.m. 6 p.m. Preventive measures provisions",
"3-6 p.m. 6 p.m. Preventive measures clause (continued)",
"Monday, 5 September",
"Tuesday, 6 September",
"10 a.m.-1 p.m. 6th meeting Precautionary measures clause (continued)",
"3-6 p.m. 7 p.m. Provisions of the implementation mechanism",
"Wednesday, 7 September",
"10 a.m.-1 p.m. 7th meeting Implementation mechanism provisions (continued)",
"3-6 p.m. 8th meeting Final provisions",
"Thursday, 8 September",
"10 a.m.-1 p.m.",
"3-6 p.m. Preamble (continued)",
"Friday, 9 September",
"10 a.m.-1 p.m. 10 a.m. Any other business",
"3-6 p.m. Adoption of the report",
"Closure of the session",
"[1] www.unodc.org/unodc/en/cybercrime/ad_hoc_committee/ahc_third_session/main.html.",
"The proposed timetable for each agenda item is indicative. If an item is concluded earlier, the next agenda item will be considered."
] |
[
"贩运人口问题工作组 \n 2022年6月29日至30日，维也纳",
"报告草稿",
"增编",
"二. 建议（续）",
"A. 一般性建议",
"1. 工作组建议缔约方会议审议下述建议以供通过。",
"建议2",
"缔约国应考虑设立一个由公共资金供资的独立机构，其职能是向贩运活动的受害者提供免费法律援助，包括非刑事司法程序援助，并要求保护社会权利和使移民正规化，其特权包括获取全部调查情况，有权要求调查机关和司法机关进行尽职调查，以及有权直接要求公共机构提供文件和资料，而无需法院命令。",
"四. 会议安排（续）",
"B. 发言情况",
"2. 在议程项目2和3下，《禁止贩运人口议定书》下列缔约方的代表作了发言：阿尔及利亚、安哥拉、智利、埃及、法国、印度尼西亚、约旦、马来西亚、墨西哥、巴拉圭、俄罗斯联邦、斯里兰卡、巴勒斯坦国、苏丹、土耳其、美利坚合众国和乌拉圭。",
"3. 伊朗伊斯兰共和国的观察员也作了发言。",
"4. 工作组还听取了国际刑事警察组织（国际刑警组织）观察员的发言。",
"5. 教廷常驻观察员代表团的代表也发了言。"
] | [
"Working Group on Trafficking inPersons \n Vienna, 29–30 June 2022",
"Draft Report",
"Addendum",
"II. Recommendations (continued)",
"A. General recommendations",
"1. The Working Group recommended that the Conference of the Parties consider the following recommendations for adoption.",
"Recommendation 2",
"States parties should consider the creation of a publicly funded and independent body, with functions to provide free legal assistance to trafficking victims, including for non-criminal justice proceedings, and request social rights protection and migratory regularization, with prerogatives such as access to full investigation, a power to request investigative due diligence from investigating authorities and the judiciary, as well as a power to request documents and information from public agencies directly, without requiring a court order.",
"IV. Organization of the meeting (continued)",
"B. Statements",
"2. Under agenda items 2 and 3, statements were made by representatives of the following parties to the Trafficking in Persons Protocol: Algeria, Angola, Chile, Egypt, France, Indonesia, Jordan, Malaysia, Mexico, Paraguay, Russian Federation, Sri Lanka, State of Palestine, Sudan, Türkiye, United States of America and Uruguay.",
"3. The observers for the Islamic Republic of Iran also made statements.",
"4. The Working Group also heard a statement by the observer for the International Criminal Police Organization (INTERPOL).",
"5. The representative from the permanent observer mission of The Holy See also made a statement."
] | CTOC_COP_WG.4_2022_L.1_ADD.1 | [
"Working Group on Trafficking in Persons",
"Draft report",
"Addendum",
"Recommendations (continued)",
"General recommendations",
"The Working Group recommends that the Conference consider the following recommendations for adoption.",
"Recommendation 2",
"The State party should consider the establishment of an independent body, funded by public funds, whose function is to provide free legal aid, including assistance in non-criminal proceedings, to victims of trafficking and to require the protection of social rights and the regularization of migrants, whose prerogatives include access to the full range of investigations, the right to due diligence by the investigating and judicial authorities, and the right to request documents and information directly from public bodies without the need for court orders.",
"IV. Organization of the session (continued)",
"Statements",
"Under agenda items 2 and 3, statements were made by the representatives of the following States parties to the Trafficking in Persons Protocol: Algeria, Angola, Chile, Egypt, France, Indonesia, Jordan, Malaysia, Mexico, Paraguay, Russian Federation, Sri Lanka, State of Palestine, Sudan, Turkey, United States of America and Uruguay.",
"The observer for the Islamic Republic of Iran also made a statement.",
"The Working Group also heard a statement by the observer for the International Criminal Police Organization (INTERPOL).",
"The representative of the Permanent Observer Mission of the Holy See also made a statement."
] |
[
"第七十七届会议",
"暂定项目表[1]项目109",
"预防犯罪和刑事司法",
"预防犯罪和刑事司法",
"秘书长的说明",
"秘书长谨根据大会第75/194号决议向大会转交2021年12月13日至17日在埃及沙姆沙伊赫举行的联合国反腐败公约缔约国会议第九届会议的报告（CAC/COSP/2021/17）。",
"[1] ^(*) A/77/50。"
] | [
"Seventy-seventh session Item 109 of the preliminarylist[1] \nCrime prevention and criminaljustice",
"Crime prevention and criminal justice",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly, pursuant to Assembly resolution 75/194, the report of the Conference of the States Parties to the United Nations Convention against Corruption on its ninth session, held in Sharm el-Sheikh, Egypt, from 13 to 17 December 2021 (CAC/COSP/2021/17).",
"[1] ^(*) A/77/50."
] | A_77_125 | [
"Seventy-seventh session",
"Item 109 of the preliminary list [1]",
"Crime prevention and criminal justice",
"Crime prevention and criminal justice",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly, pursuant to Assembly resolution 75/194, the report of the Conference of the States Parties to the United Nations Convention against Corruption on its ninth session, held at Sharm el-Sheikh, Egypt, from 13 to 17 December 2021 (CAC/COSP/2021/17).",
"[1] ^ (*) A/77/50."
] |
[
"实施情况审议组",
"第十三届会议第一次续会",
"2022年9月8日和9日，维也纳",
"临时议程说明",
"增编",
"说明",
"1. 组织事项",
"(a) 会议开幕",
"实施情况审议组第十三届会议第一次续会将于2022年9月8日星期四下午3时在维也纳国际中心M楼M全体会议厅开幕。根据2019冠状病毒病（COVID-19）大流行的有关事态发展，目前计划在线下举行会议，通过线上平台远程发言的机会有限。关于会议形式的进一步信息将适时传达，并发布在本届会议的网站上。",
"(b) 通过议程和工作安排",
"联合国反腐败公约缔约国会议在第8/2号决议中请实施情况审议组在现有资源允许的情况下，根据临时议程说明和工作方案，继续每年至少举行一次常会，临时议程说明和工作方案应尽早公布，以便使缔约国能够规划代表团的组成，并准备就会议的主要议题进行重点突出和有效率的讨论，同时考虑到缔约国会议的方向，能够调整讨论议题，以最大限度地发挥讨论和工作成果的效力。",
"实施情况审议组在2021年6月14日至18日举行的第十二届会议上通过了实施情况审议组第十三届会议临时议程。",
"第十三届会议第一次续会的拟议工作安排（见附件）是根据经缔约国会议主席团核准的缔约国会议附属机构工作计划所载指导意见编写的，据此，且鉴于缔约方会议第8/2号决议，审议组将讨论题为“联合国反腐败公约实施情况审议机制的执行情况”的项目2。",
"2. 联合国反腐败公约实施情况审议机制的执行情况",
"缔约国会议在第8/2号决议中除其他外认识到，在完成第二审议周期之前，在第一审议周期所取得的经验基础上继续开展联合国反腐败公约实施情况审议机制执行情况评价进程可以大大有助于取得有用的成果，而且这一进程应在不影响第二审议周期结束后继续开展此类工作的情况下启动。在该决议中，缔约国会议请实施情况审议组在秘书处的支持下，继续收集与实施情况审议机制执行情况有关的资料，包括缔约国的意见，以期按照审议机制职权范围第48段和缔约国会议第5/1号决定的规定，在适当时候由审议组继续评估审议机制的执行情况，并在这方面继续向缔约国会议报告进展情况，同时铭记缔约国会议第3/1号决议第5段要求在每个审议周期结束时对职权范围进行评价。在这方面，提请审议组注意秘书处题为“缔约国对联合国反腐败公约实施情况审议机制执行情况的意见”的说明（CAC/COSP/2021/4），其中载有所收到的意见摘要，应与一份会议室文件（CAC/COSP/2021/CRP.3）一并阅读，该文件载有缔约国提交的关于审议机制执行情况的所有意见，均按收到时的原样列入。",
"缔约国会议在第8/2号决议中还鼓励缔约国在秘书处的帮助下，在不妨碍实施情况审议组现有任务授权和职权范围的情况下，自愿就第一审议阶段结束后可能的前进方向在审议组中交流意见，并请审议组向缔约国会议第十届会议提交报告。",
"此外，在2021年举行的大会反腐败问题特别会议通过的题为“我们共同承诺有效应对挑战和采取措施，预防和打击腐败，加强国际合作”的政治宣言中，会员国除其他外，欢迎实施情况审议机制在推动缔约方努力全面履行《公约》义务方面取得的成就，并敦促《公约》缔约方及时完成该机制下的审议工作，以便在商定的履行期内完成第一和第二审议周期。会员国还承诺对审议进程的结论和意见采取全面有效的后续行动，并欢迎缔约国会议努力评估审议机制的绩效，并酌情调整后续行动的程序和要求。",
"另外，在2022年6月13日至17日举行的实施情况审议组第十三届会议上，有与会者建议，实施情况审议组应当开始讨论下一审议阶段的事项，秘书处应当编写一份详细的分析报告供审议组下届会议审议，其中还应当考虑到题为“联合国反腐败公约实施情况审议机制的执行情况，特别是第二审议周期的执行情况和完成该周期所需采取的措施”的报告（CAC/COSP/2019/12）所载的结论。",
"实施情况审议组将收到一份会议室文件供其审议，该文件分析了在进行审议方面取得的进展，并评估了审议进程的不同要素，以期提供经验教训以协助审议组对下一审议阶段进行商议。",
"鼓励各代表团就实施情况审议机制的执行情况和在其执行工作中吸取的经验教训以及在进行审议方面的良好做法和挑战交流意见，以便为审议组讨论第二审议阶段提供信息和指导。",
"此外，代表们不妨讨论工作组在2021年举行的大会反腐败问题特别会议通过的政治宣言相关方面的后续行动中的作用，以确保协同增效。",
"7. 其他事项",
"在议程项目7下，实施情况审议组不妨讨论其他任何事项。",
"9. 通过实施情况审议组第十三届会议第一次续会的报告",
"实施情况审议组将通过第十三届会议第一次续会的报告。",
"附件",
"拟议工作安排",
"日期和时间 项目 标题或说明",
"2022年9月8日，星期四",
"下午3时至6时 1(a) 会议开幕",
"1(b) 通过议程和工作安排",
"2 联合国反腐败公约实施情况审议机制的执行情况",
"2022年9月9日，星期五",
"上午10时至下午1时 2 联合国反腐败公约实施情况审议机制的执行情况（续）",
"下午3时至6时 7 其他事项",
"9 通过实施情况审议组第十三届会议第一次续会的报告"
] | [
"Implementation Review Group First resumed thirteenth session \n Vienna, 8 and 9 September 2022",
"Annotated provisional agenda",
"Addendum",
"Annotations",
"1. Organizational matters",
"(a) Opening of the session",
"The first resumed thirteenth session of the Implementation Review Group will be opened on Thursday, 8 September 2022, at 3 p.m., at the Vienna International Centre, M-Building, Plenary Room M. Subject to developments relating to the coronavirus disease (COVID-19) pandemic, it is currently planned that the session will be held in person, with limited opportunities to deliver statements remotely through an online platform. Further information on the format of the session will be communicated in due course and will be made available on the website of the session.",
"(b) Adoption of the agenda and organization of work",
"In its resolution 8/2, the Conference of the States Parties to the United Nations Convention against Corruption requested the Implementation Review Group to continue to hold regular sessions at least once a year, based on an annotated provisional agenda and programme of work issued as early as possible in order to enable the States parties to plan the composition of the delegations and prepare for focused and efficient discussions on the main topics of the session, and, while taking into consideration the directions of the Conference, being able to adjust topics of discussion to maximize the effectiveness of its discussions and work outcomes, subject to the availability of existing resources.",
"The provisional agenda for the thirteenth session of the Implementation Review Group was adopted by the Group at its twelfth session, held from 14 to 18 June 2021.",
"The proposed organization of work for the first resumed thirteenth session (see annex) was prepared in line with the guidance contained in the workplan for the subsidiary bodies of the Conference, which was approved by the Bureau of the Conference, whereby, in view of Conference resolution 8/2, the Group was to discuss item 2, entitled “Performance of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption”.",
"2. Performance of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption",
"In its resolution 8/2, the Conference, inter alia, acknowledged that continuing the process of evaluation of the performance of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption before the completion of the second review cycle on the basis of the experiences gained in the first review cycle could significantly contribute to useful outcomes, and that that process should be started without prejudice to any subsequent continuation of such work following the completion of the second review cycle. In the same resolution, the Conference requested the Implementation Review Group to continue to collect, with the support of the secretariat, relevant information, including the views of States parties, pertaining to the performance of the Implementation Review Mechanism, with a view to continuing, at the appropriate time, the Group’s assessment of the performance of the Mechanism, as provided for in paragraph 48 of the terms of reference of the Mechanism and Conference decision 5/1, and in that regard to continue to report to the Conference on progress made, bearing in mind the request in paragraph 5 of the Conference resolution 3/1 for the evaluation of the terms of reference at the conclusion of each review cycle. In this regard, the attention of the Group is drawn to the note by the Secretariat entitled “Views of States parties on the performance of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption” (CAC/COSP/2021/4), which contains a summary of the views received and which should be read in conjunction with a conference room paper (CAC/COSP/2021/CRP.3) containing all of the views submitted by States parties on the performance of the Mechanism, in the form in which they were received.",
"Also in resolution 8/2, the Conference encouraged States parties, with the help of the secretariat, to voluntarily share their views in the Implementation Review Group, without prejudice to the existing mandates of the Group and the terms of reference of the Implementation Review Mechanism, on the possible ways forward following the end of the first review phase, and requested that the Group submit its report to the Conference at its tenth session.",
"In addition, in the political declaration entitled “Our common commitment to effectively addressing challenges and implementing measures to prevent and combat corruption and strengthen international cooperation”, adopted by the General Assembly at its special session against corruption held in 2021, Member States, inter alia, welcomed the achievements of the Implementation Review Mechanism in furthering parties’ efforts to fully implement their obligations under the Convention, and urged parties to the Convention to complete their reviews under the Mechanism in a timely manner so as to conclude the first and second review cycles within their agreed period of performance. Member States further committed to fully and effectively following up on the conclusions and observations from the review process, and welcomed the efforts by the Conference to assess the performance of the Mechanism and adapt, where appropriate, procedures and requirements for the follow-up.",
"Moreover, at the thirteenth session of the Implementation Review Group, held from 13 to 17 June 2022, it was suggested that the Group should start discussing the matter of the next review phase and that a detailed analysis should be prepared by the secretariat for the consideration of the Group at its next session, which should also take into account the findings contained in the report entitled “Performance of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption, in particular its second review cycle and the measures required for its completion” (CAC/COSP/2019/12).",
"The Implementation Review Group will have before it for its consideration a conference room paper providing an analysis of the progress made in conducting the reviews and an assessment of the different elements of the review process, with a view to providing lessons learned that can assist the Group in its deliberations on the next review phase.",
"Delegations are encouraged to share their views on the performance of the Implementation Review Mechanism and the lessons learned with regard to its performance, as well as good practices and challenges in conducting the reviews that could inform and guide the Group in its deliberations on the second review phase.",
"Moreover, delegates may wish to discuss the role of the Group with regard to the follow-up on relevant aspects of the political declaration adopted by the General Assembly at its special session against corruption held in 2021, so as to ensure synergies.",
"7. Other matters",
"Under agenda item 7, the Implementation Review Group may wish to discuss any other matters.",
"9. Adoption of the report of the Implementation Review Group on its first resumed thirteenth session",
"The Implementation Review Group is to adopt a report on its first resumed thirteenth session.",
"Annex",
"Proposed organization of work",
"Date and time\tItem\tTitle or description \nThursday, 8September 2022 3–6 p.m. 1 Opening of the session \n (a) \n\t1(b)\tAdoption of the agenda andorganization of work\n\t2\tPerformance of the Mechanism forthe Review of Implementation ofthe United Nations Conventionagainst Corruption\nFriday, 9 September2022 \n10 a.m.–1 p.m.\t2\tPerformance of the Mechanism forthe Review of Implementation ofthe United Nations Conventionagainst Corruption (continued)\n 3–6 p.m. 7 Other matters \n\t9\tAdoption of the report on thefirst resumed thirteenth sessionof the Implementation Review Group"
] | CAC_COSP_IRG_2022_1_ADD.1 | [
"Implementation Review Group",
"First resumed thirteenth session",
"Vienna, 8 and 9 September 2022",
"Annotated provisional agenda",
"Addendum",
"Annotations",
"1. Organizational matters",
"(a) Opening of the meeting",
"The first resumed thirteenth session of the Implementation Review Group will be opened at 3 p.m. on Thursday, 8 September 2022, in the M Plenary Hall, building M, Vienna International Centre. In the light of developments related to the 2019 coronary virus epidemic (COVID-19), there are currently plans to hold meetings online, with limited opportunities for remote speaking via online platforms. Further information on the format of the meeting will be conveyed in due course and posted on the website of the session.",
"(b) Adoption of the agenda and organization of work",
"In its resolution 8/2, the Conference of the States Parties to the United Nations Convention against Corruption requested the Implementation Review Group, subject to the availability of resources, to continue to hold at least one regular session per year, in accordance with the annotated provisional agenda and the programme of work, as soon as possible, in order to enable States parties to plan the composition of their delegations and to prepare for focused and efficient discussions on the main topics of the Conference, taking into account the orientation of the Conference, and to adjust the topics for discussion to maximize the effectiveness of discussions and the outcome of work.",
"At its twelfth session, held from 14 to 18 June 2021, the Implementation Review Group adopted the provisional agenda for its thirteenth session.",
"The proposed organization of work for the first resumed thirteenth session (see annex) has been prepared on the basis of guidance contained in the workplans of the subsidiary bodies of the Conference, as approved by the Bureau of the Conference, and, in the light of Conference resolution 8/2, the Group will discuss item 2, entitled “Implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption”.",
"Implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption",
"In its resolution 8/2, the Conference recognized, inter alia, that, pending the completion of the second review cycle, the continuation of the process of evaluating the implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption, building on the experience gained during the first review cycle, could contribute significantly to the achievement of useful results and that the process should be initiated without prejudice to the continuation of such work beyond the end of the second review cycle. In that resolution, the Conference requested the Implementation Review Group, with the support of the Secretariat, to continue to collect information, including views expressed by States parties, relevant to the implementation of the Implementation Review Mechanism, with a view to the Group continuing to assess the implementation of the Mechanism, in accordance with paragraph 48 of the terms of reference of the Mechanism and decision 5/1 of the Conference, at the appropriate time, and to continue to report to the Conference on progress made in that regard, bearing in mind paragraph 5 of Conference resolution 3/1, in which the Conference requested that the terms of reference be evaluated at the end of each review cycle. In that regard, the attention of the Group was drawn to the note by the Secretariat entitled “Continued views of States parties on the implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption” (CAC/COSP/202/4), which contained a summary of the comments received and should be read in conjunction with a conference room paper (CAC/COSP/221/CRP.3) containing all views submitted by States parties on the implementation of the Mechanism, as received.",
"In its resolution 8/2, the Conference also encouraged States parties, with the assistance of the Secretariat and without prejudice to the existing mandate and terms of reference of the Implementation Review Group, to voluntarily exchange views within the Group on possible ways forward after the conclusion of the first review phase, and requested the Group to report to the Conference at its tenth session.",
"In addition, in the political declaration adopted at the special session of the General Assembly on corruption, held in 2021, entitled “We collectively commit ourselves to effectively addressing challenges and taking measures to prevent and combat corruption and to enhance international cooperation”, Member States, inter alia, welcomed the achievements of the Implementation Review Mechanism in advancing the efforts of parties to fully implement their obligations under the Convention and urged parties to the Convention to complete their deliberations under the Mechanism in time for the completion of the first and second review cycles during the agreed implementation periods. Member States also committed themselves to a comprehensive and effective follow-up to the conclusions and recommendations of the review process and welcomed the efforts of the Conference to assess the performance of the Review Mechanism and to adjust, as appropriate, the procedures and requirements for follow-up.",
"In addition, at the thirteenth session of the Implementation Review Group, held from 13 to 17 June 2022, it was suggested that the Implementation Review Group should begin discussing matters for the next review phase and that the Secretariat should prepare a detailed analytical report for consideration by the Group at its next session, taking into account also the conclusions contained in the report entitled “Implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption, in particular its second review cycle, and measures required for its completion” (CAC/COSP/2019/12).",
"The Implementation Review Group will have before it for its consideration a conference room paper that analyses the progress made in its deliberations and assesses the different elements of the review process with a view to providing lessons learned to assist the Group in its deliberations on the next review phase.",
"Delegations were encouraged to exchange views on the implementation of the Implementation Review Mechanism and on lessons learned in its implementation, as well as on good practices and challenges in its deliberations, in order to provide information and guidance to the Group in its discussions on the second review phase.",
"In addition, representatives may wish to discuss the role of the Working Group in the follow-up to the relevant aspects of the political declaration adopted by the General Assembly at its special session on corruption, held in 2021, with a view to ensuring synergies.",
"Other business",
"Under agenda item 7, the Implementation Review Group may wish to discuss any other matters.",
"Adoption of the report of the Implementation Review Group on its first resumed thirteenth session",
"The Implementation Review Group will adopt the report on its first resumed thirteenth session.",
"Annex",
"Proposed organization of work",
"Date and time Item Title or description",
"Thursday, 8 September 2022",
"3-6 p.m. 1 (a) Opening of the session",
"1 (b) Adoption of the agenda and organization of work",
"Implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption",
"Friday, 9 September 2022",
"10 a.m.-1 p.m.2 Implementation of the Mechanism for the Review of Implementation of the United Nations Convention against Corruption (continued)",
"3-6 p.m. Other matters",
"9 Adoption of the report of the Implementation Review Group on its first resumed thirteenth session"
] |
[
"[]",
"联合国",
"和平利用外层空间委员会的报告",
"第六十五届会议",
"（2022年6月1日至10日）",
"大会",
"正式记录",
"第七十七届会议",
"补编第20号",
"大会",
"正式记录",
"第七十七届会议",
"补编第20号",
"和平利用外层空间委员会的报告",
"第六十五届会议",
"（2022年6月1日至10日）",
"[] 联合国 • 2022年，纽约",
"说明",
"联合国文件编号由字母和数字构成。凡提及这种格式的编号，即指联合国某一文件。",
"[2022年6月30日]",
"目录",
"章次 页次\n1.导言 1\nA.附属机构的会议 1 B. 1 \n通过议程 \nC.选举主席团成员 2 D. 2 \n 成员 E. 2 \n出席情况 \nF.一般性发言 3 G. 7 \n通过委员会的报告 \n2.建议和决定 7\nA.维持外层空间用于和平目的的方式方法 7\nB.科学和技术小组委员会第五十九届会议报告 9\n1.联合国空间应用方案 10\n2.空间技术促进可持续社会经济发展 113.与卫星遥感地球相关的事项，包括对发展中国家的各种应用和地球环境 12 \n 监测 4. 12 \n空间碎片 \n5.借助空间系统的灾害管理支持 13\n6.全球导航卫星系统最近的发展 14 7. 15 \n空间天气 8. 15 \n近地天体 \n9.外层空间活动的长期可持续性 16\n10.委员会的未来作用和工作方法 1811. 18 \n外层空间使用核动力源 \n12.空间与全球健康 19\n13.在不妨碍国际电信联盟的作用的情况下，审查地球静止轨道的物理性质和技术特征及其利用和应用，包括在空间通信领域的利用和应用，以及与空间通信发展有关的其他问题，特别考虑到发展中国家的需要和利益 2014. 20 \n关于为科学和社会保持寂静夜空的一般性交换意见 15. 21 \n科学和技术小组委员会第六十届会议临时议程草案 C. 23 \n法律小组委员会第六十一届会议报告 \n1.有关国际政府间组织和非政府组织空间法相关活动情况的介绍 23 2. 23 \n联合国五项外层空间条约现状和适用情况 \n3.与外层空间的定义和划界以及地球静止轨道的性质和利用有关的事项，包括审议在不妨碍国际电信联盟职能情况下确保合理公平使用地球静止轨道的方式方法 24\n4.与和平探索和利用外层空间有关的国家立法 25 5. 25 \n空间法方面的能力建设 \n6.委员会的未来作用和工作方法 26 7. 26 \n关于空间碎片减缓和整治措施的法律机制的一般性信息和意见交流，同时考虑到科学和技术小组委员会的工作 \n8.关于不具法律约束力的联合国外层空间文书的一般性交换信息 27 9. 27 \n关于空间交通管理所涉法律问题的一般性交换意见 \n10.关于对小卫星活动适用国际法的一般性交换意见 2811. 29 \n关于空间资源探索、开发和利用活动潜在法律模式的一般性交换意见 \n12.就拟由法律小组委员会第六十二届会议审议的新增项目给和平利用外层空间委员会的提议 31 D. 32 \n空间与可持续发展 E. 34 \n空间技术的附带利益：现况审查 F. 35 \n空间与水 \nG.空间与气候变化 36\nH.空间技术在联合国系统的使用 38\nI.委员会的未来作用和工作方法 38\nJ.空间探索和创新 40 K. 43 \n“空间2030”议程 L. 45 \n其他事项 \n1.委员会及其附属机构2024-2025年期间主席团的组成 45\n2.委员会成员资格 45\n3.观察员地位 45 4. 46 \n其他事项 5. 47 \n方案5，“和平利用外层空间”：拟议的2023年期间方案计划和2021年方案执行情况 6. 47 \n委员会第六十六届会议临时议程草案 M. 48 \n委员会及其附属机构的工作安排 \n 附件 \n关于空间与全球健康的决议草案 49",
"第一章",
"导言",
"1. 和平利用外层空间委员会2022年6月1日至10日在维也纳以混合形式（亲临会场和线上与会）举行了其第六十五届会议。委员会主席团成员组成如下：",
"主席 Omran Sharaf（阿拉伯联合酋长国）",
"第一副主席 Jenni Tapio（芬兰）",
"第二副主席/报告员 Oleg Ventskovsky（乌克兰）",
"A. 附属机构的会议",
"2. 和平利用外层空间委员会科学和技术小组委员会2022年2月7日至18日在维也纳以混合形式举行了其第五十九届会议，Juan Francisco Facetti（巴拉圭）担任主席。该小组委员会的报告（A/AC.105/1258）已提交委员会。",
"3. 和平利用外层空间委员会法律小组委员会也是以混合形式于2022年3月28日至4月8日在维也纳举行了其第六十一届会议，Nomfuneko Majaja（南非）担任主席。该小组委员会的报告（A/AC.105/1260）已提交委员会。",
"B. 通过议程",
"4. 委员会在6月1日其第786次会议上通过了以下议程：",
"1. 会议开幕。",
"2. 通过议程。",
"3. 选举主席团成员。",
"4. 主席致词。",
"5. 一般性交换意见。",
"6. 维持外层空间用于和平目的的方式方法。",
"7. 科学和技术小组委员会第五十九届会议报告。",
"8. 法律小组委员会第六十一届会议报告。",
"9. 空间与可持续发展。",
"10. 空间技术的附带利益：现况审查。",
"11. 空间与水。",
"12. 空间与气候变化。",
"13. 空间技术在联合国系统的使用。",
"14. 委员会的未来作用和工作方法。",
"15. 空间探索和创新。",
"16. “空间2030”议程。",
"17. 其他事项。",
"18. 委员会提交大会的报告。",
"C. 选举主席团成员",
"5. 在6月1日委员会第786次会议上，Omran Sharaf（阿拉伯联合酋长国）当选为2022-2023年期间委员会主席，Jenni Tapio（芬兰）当选为该段期间的第一副主席，Oleg Ventskovsky（乌克兰）当选为该段期间的第二副主席/报告员。",
"6. 在该次会议上，委员会核可Juan Francisco Facetti（巴拉圭）当选为2022-2023年期间科学和技术小组委员会主席，Nomfuneko Majaja（南非）当选为该段期间的法律小组委员会主席。",
"D. 成员",
"7. 根据大会第1472 A (XIV)号、第1721 E (XVI)号、第3182 (XXVIII)号、第32/196 B号、第35/16号、第49/33号、第56/51号、第57/116号、第59/116号、第62/217号、第65/97号、第66/71号、第68/75号、第69/85号、第71/90号、第72/77号、第74/82号和第76/76号决议，以及第45/315号、第67/412号、第67/528号、第70/518号和第73/517号决定，和平利用外层空间委员会由下列100个国家组成：阿尔巴尼亚、阿尔及利亚、安哥拉、阿根廷、亚美尼亚、澳大利亚、奥地利、阿塞拜疆、巴林、孟加拉国、白俄罗斯、比利时、贝宁、多民族玻利维亚国、巴西、保加利亚、布基纳法索、喀麦隆、加拿大、乍得、智利、中国、哥伦比亚、哥斯达黎加、古巴、塞浦路斯、捷克、丹麦、多米尼加共和国、厄瓜多尔、埃及、萨尔瓦多、埃塞俄比亚、芬兰、法国、德国、加纳、希腊、匈牙利、印度印度尼西亚、伊朗伊斯兰共和国、伊拉克、以色列、意大利、日本、约旦、哈萨克斯坦、肯尼亚、科威特、黎巴嫩、利比亚、卢森堡、马来西亚、毛里求斯、墨西哥、蒙古、摩洛哥、荷兰、新西兰、尼加拉瓜、尼日尔、尼日利亚、挪威、阿曼、巴基斯坦、巴拿马、巴拉圭、秘鲁、菲律宾、波兰、葡萄牙、卡塔尔、大韩民国、罗马尼亚、俄罗斯联邦、卢旺达、沙特阿拉伯、塞内加尔、塞拉利昂、新加坡、斯洛伐克、斯洛文尼亚、南非、西班牙、斯里兰卡、苏丹、瑞典、瑞士、阿拉伯叙利亚共和国、泰国、突尼斯、土耳其、乌克兰、阿拉伯联合酋长国、大不列颠及北爱尔兰联合王国、美利坚合众国、乌拉圭、委内瑞拉玻利瓦尔共和国和越南。",
"E. 出席情况",
"8. 委员会下列84个成员国的代表出席了本届会议：阿尔及利亚、安哥拉、阿根廷、亚美尼亚、澳大利亚、奥地利、阿塞拜疆、孟加拉国、白俄罗斯、比利时、巴西、保加利亚、布基纳法索、加拿大、智利、中国、哥伦比亚、哥斯达黎加、古巴、塞浦路斯、捷克、丹麦、多米尼加共和国、厄瓜多尔、埃及、萨尔瓦多、芬兰、法国、德国、加纳、希腊、匈牙利、印度、印度尼西亚、伊朗伊斯兰共和国、伊拉克、以色列、意大利、日本、约旦、哈萨克斯坦、肯尼亚、科威特、黎巴嫩、卢森堡、马来西亚、毛里求斯、墨西哥、摩洛哥、荷兰、新西兰、尼日利亚、挪威、阿曼、巴基斯坦、巴拿马、巴拉圭、秘鲁、菲律宾、波兰、葡萄牙、卡塔尔、大韩民国、罗马尼亚、俄罗斯联邦、沙特阿拉伯、新加坡、斯洛伐克、斯洛文尼亚、南非、西班牙、斯里兰卡、瑞典、瑞士、阿拉伯叙利亚共和国、泰国、突尼斯、土耳其、乌克兰、阿拉伯联合酋长国、英国、美国、乌拉圭和委内瑞拉玻利瓦尔共和国。",
"9. 欧洲联盟的代表以委员会常驻观察员的身份并根据大会第65/276号和第73/91号决议出席了会议。",
"10. 在第786次会议上，委员会决定应乌兹别克斯坦的请求，接纳其为观察员出席本届会议并酌情在会议上发言，但有一项谅解，即这不影响今后有关此种性质的请求，并且这样做不涉及委员会关于地位问题的任何决定。",
"11. 在第786次会议上，委员会还决定应教廷的请求，接纳其为观察员出席本届会议并酌情在会议上发言，但有一项谅解，即这不影响今后有关此种性质的请求，并且这样做不涉及委员会关于地位问题的任何决定。",
"12. 联合国粮食及农业组织、国际原子能机构、国际民用航空组织、国际电信联盟和秘书处裁军事务厅的观察员出席了会议。",
"13. 在委员会享有常驻观察员地位的下列政府间组织派观察员出席了会议：亚洲太平洋空间合作组织（亚太空间合作组织）、地球观测卫星委员会、欧洲南半球天文研究组织、欧洲航天局（欧空局）、欧洲通信卫星组织、国际统一私法协会（统法协会）、国际空间通信组织，以及平方公里阵列观测台。",
"14. 在委员会享有常驻观察员地位的下列非政府组织也派观察员出席了会议：保护全月球组织、国际宇航联合会（宇航联）、国际天文学联盟（天文联盟）、国际空间法学会、国际法协会、月球村协会、全美空间学会、开放月球基金会，苏丹·本·阿卜杜勒阿齐兹王储国际水奖机构（王储水奖机构）、日地物理学科学委员会、安全世界基金会、航天新一代咨询理事会、全球航天工程大学联盟和世界空间周协会。",
"15. 在第786次会议上，委员会决定应海牙全球正义研究所的请求，接纳其作为观察员出席本届会议并酌情在会议上发言，但有一项谅解，即这不影响今后有关此种性质的请求，并且这样做不涉及委员会关于地位问题的任何决定。",
"16. 出席会议的委员会成员国、联合国实体和其他组织的代表名单载于A/AC.105/2022/INF/1号文件。",
"F. 一般性发言",
"17. 委员会下列成员国的代表在一般性交换意见期间作了发言：安哥拉、阿尔及利亚、阿根廷、亚美尼亚、澳大利亚、奥地利、孟加拉国、白俄罗斯、比利时、巴西、加拿大、智利、中国、哥伦比亚、哥斯达黎加、古巴、捷克、多米尼加共和国、厄瓜多尔、埃及、芬兰、法国、德国、希腊、印度、印度尼西亚、伊朗伊斯兰共和国、伊拉克、以色列、意大利、日本、肯尼亚、卢森堡、马来西亚、墨西哥、摩洛哥、荷兰、新西兰、尼日利亚、巴拉圭、秘鲁、菲律宾、葡萄牙、卡塔尔、大韩民国、罗马尼亚、俄罗斯联邦、新加坡、斯洛文尼亚、南非、西班牙、瑞典、瑞士、泰国、土耳其、乌克兰、阿拉伯联合酋长国、英国、美国、乌拉圭、委内瑞拉玻利瓦尔共和国。突尼斯代表以77国集团和中国的名义作了发言。埃及代表以非洲国家集团的名义作了发言。欧洲联盟代表以常驻观察员的身份代表欧洲联盟及其成员国作了发言。亚太空间合作组织、地球观测卫星委员会、欧洲通信卫星组织、保护全月球组织、海牙全球司法研究所、宇航联、空间法学会、国家空间学会、开放月球基金会、航天新一代咨询理事会、平方公里阵列天文台、统法协会、全球航天工程大学联盟和世界空间周协会的观察员也作了发言。",
"18. 委员会对即将离任的主席Marius-Ioan Piso（罗马尼亚）、即将离任的第一副主席Francis Chizea（尼日利亚）和即将离任的第二副主席兼报告员Nicolás Botero Varón（哥伦比亚）在任期内所做的出色工作和取得的成就表示赞赏。",
"19. 在6月1日第786次会议上，主席作了发言，回顾2022年是第一颗人造地球卫星斯普特尼克一号发射进入外层空间六十五周年、《外层空间条约》生效五十五周年和大地遥感卫星方案五十周年。他强调了加强国际合作、促进遵守联合国各项外层空间条约、促进公平利用空间和鼓励知识共享举措的重要性。他还强调了空间科学技术研究与开发作为地球可持续发展、保护和维护外层空间环境以及探索宇宙的基础所发挥的作用。",
"20. 主席热烈欢迎安哥拉、孟加拉国、科威特、巴拿马和斯洛文尼亚成为委员会的最新成员，这使委员会达到了100个成员国的里程碑。主席还欢迎开放月球基金会、平方公里阵列天文台和统法协会成为最新的具有委员会观察员地位的国际政府间组织和非政府组织。",
"21. 外层空间事务厅代理厅长也在第786次会议上作了发言，他回顾了外空事务厅开展的工作。他强调，外空事务厅如何继续适应当前冠状病毒病（COVID-19）大流行带来的挑战，采用和利用新的解决方案，并将其应用于各项活动，以保证交付服务和采取以成果为导向的办法。对外空厅向成员国提供服务的需求继续扩大，正是在这一背景下，他强调了外空厅目前和即将开展的活动，包括与各种利益攸关方合作开展的活动，特别是为发展中国家的利益而开展的活动。代理厅长还宣布，他将在未来几个月内从外空厅退休。",
"22. 委员会对外层空间事务厅代理主任Niklas Hedman表示深切的感谢，他为和平利用外层空间方面的国际合作提供了宝贵的长期支持，特别是在超过十五年的时间里担任委员会及其小组委员会的秘书。",
"23. 委员会听取了下列专题介绍：",
"(a) “国家空间活动委员会空间计划”，由阿根廷代表介绍；",
"(b) “国家空间系统的规划”，由智利代表介绍；",
"(c) “北斗导航卫星系统应用案例分享”，由中国代表介绍；",
"(d) “伊朗CanSat竞赛”，由伊朗伊斯兰共和国代表介绍；",
"(e) “深空载人探索的进展和计划”，由美国代表介绍；",
"(f) “保护外层空间文化遗产的必要性”，由保护全月球组织观察员介绍；",
"(g) “青年在空间政策和宣传中发出统一声音：介绍航天新一代宣传和政策平台”由航天新一代咨询理事会观察员介绍。",
"24. 委员会注意到，近年来空间活动继续加强，越来越多的行动方进入空间领域，向外层空间发射的物体也明显增多。",
"25. 委员会一致认为，连同其各小组委员会，并在外层空间事务厅的支持下，委员会仍然是负责促进探索及和平利用外层空间方面国际合作的独特国际论坛。",
"26. 委员会一致认为，近年来越来越多的国家成为委员会的成员，这是一个明确的信号，表明国际社会承认这一政府间机构工作的价值。",
"27. 一些代表团表示认为，应当支持以联合国为核心的基于规则的国际体系和对国际事务采取多边做法，委员会为这一体系做出了贡献，包括通过制定国际空间法、国际规范和标准、准则、最佳做法以及其他透明度和建立信任措施。",
"28. 据认为，为了应对外层空间活动不断发展带来的挑战，必须维护以联合国为核心基于国际法的外层空间国际秩序。",
"28. 一些代表团表示认为，国际社会应当进一步努力，探索充分利用委员会及其小组委员会的一切可能的方式方法，以便实现所有国家在空间相关问题上的共同目标。",
"30. 一些代表团表示认为，所有国家不受歧视地普遍及平等利用外层空间，为了全人类福利和利益公平及合理利用外层空间，包括月球和其他天体在内，不将外层空间据为己有的原则，开展国际合作发展空间活动，以及防止在外层空间进行军备竞赛和在外层空间部署任何种类的武器，这些是指导外层空间活动的最重要原则。",
"31. 一些代表团表示认为，虽然有些国家在空间活动方面已经达到了重要的里程碑，但另一些国家才刚刚开始制定本国的空间方案和政策，至关重要的是，空间探索努力不应当将发展中国家抛在后面或使其处于不公平的劣势地位。因此，能力建设和技术援助是扩大从事这一领域工作的人员能力的关键因素，以便使他们能够从更先进的航天国家获得专门技能和知识。",
"32. 一些代表团强调了空间气候观测站在评估空间数据以应对气候变化方面所作的贡献。表达这一观点的代表团还回顾，空间气候观测站投入时间参加了委员会对“未来首脑会议”作出的贡献。",
"33. 一些代表团表示认为，外层空间的利用和探索应当完全为和平目的进行，以期实现命运共同体愿景，为所有国家谋取福利和利益，而不论其经济或科学发展程度如何，并应符合适用的国际法体系。",
"34. 一些代表团表示认为，委员会应当对如何应对近地轨道上部署巨型星座带来的挑战加以更多的专门审议，包括审议与可持续和公平使用轨道和频率以及进入外层空间的机会有关的挑战。",
"35. 一些代表团表示认为，科学和技术小组委员会与法律小组委员会应当更加密切地相互合作，特别是对于重叠和相互关联的主题事项。",
"36. 一些代表团遗憾地注意到，一个国家决定用直升式反卫星导弹故意摧毁本国航天器，造成的碎片威胁到载人航天和机器人的航天飞行，据指出，需要最充分地执行委员会的《空间碎片减缓准则》和与碎片有关的《外层空间活动长期可持续性准则》，欢迎作出承诺，不进行具有破坏性影响的直升式反卫星导弹试验。",
"37. 据认为，委员会和秘书处应当继续采取举措，并研究如何进一步加强两个小组委员会的工作协调和互动，并酌情加强与其他联合国机构和其他国际组织等与委员会任务密切相关的机构的协调和互动，因为这将确保协调、恰当和及时地解决交叉问题。",
"38. 一些代表团表示认为，《关于为和平目的民用探索和利用月球、火星、彗星和小行星合作原则的阿特米斯协定》得到越来越多的支持，这表明该协定作为确保和平探索空间活动保持透明、安全和可持续的业务框架的价值。",
"39. 一些代表团表示认为，中国和俄罗斯联邦发起的国际月球研究站合作正在推进，为所有感兴趣的伙伴提供了空间探索的新机会。",
"40. 一些代表团再次对俄罗斯联邦政府提议在欧亚区域设立一个附属于联合国并由俄罗斯国家航天集团公司研究院主办的新的空间科学和技术教育区域中心表示反对。这些代表团还认为，尽管大会在其第76/76号决议中满意地注意到在设立该区域中心方面取得的进展，但鉴于最近的事态发展，它们无法接受该区域中心以任何方式附属于联合国。",
"41. 据认为，委员会第六十四届会议已注意到，关于拟议设立区域中心的评价团提出了一项建议，接受俄罗斯联邦关于设立区域中心的提议，委员会欢迎在设立区域中心方面取得的进展，因此，委员会不需要再征得同意。表达这一观点的代表团还告知委员会，该中心已经在运作并提供服务。来自该区域各国的100多名申请人已成功获得该中心的录取作为学生。",
"42. 一些代表团呼吁避免给空间技术或服务增加政治层面涵义，特别是避免按照一个卷入冲突的区域来命名发射装置。",
"43. 据认为，拥有先进空间发射技术的航天国家保留以其认为适当的方式为其空间运载火箭和宇宙飞船进行命名的充分权利。",
"44. 委员会欢迎外层空间事务厅发布其《2021年年度报告》，其中全面介绍了外空厅在2021年的活动、合作、伙伴关系方案和成就。",
"45. 委员会赞赏地注意到结合委员会第六十五届会议在维也纳国际中心圆厅举办的展览：由西班牙组织的关于E.T.PACK项目的展览，该项目是解决空间碎片扩散问题的一种技术办法；由美国组织的关于《阿特米斯协定》的展览；和由天文学联盟组织的关于包容概念的题为“鼓舞人心的星球”的展览。",
"46. 委员会赞赏地注意到波兰政府向外层空间事务厅的常设展览捐赠了Manfred Lachs的一幅画作，他是法律小组委员会首任主席和国际空间法领域最有影响力的学者之一。",
"47. 委员会对本届会议期间组织的下列活动表示赞赏：",
"(a) “促进空间领域的性别平等”，由大韩民国和外层空间事务厅组织；",
"(b) “2022年外空委的新空间”，由斯洛伐克组织；",
"(c) “与执行《外层空间活动长期可持续性准则》有关的提高认识和能力建设——利益攸关方研究报告”，由联合王国和外层空间事务厅组织；",
"(d) “青年空间交流和机会”，由美国和外层空间事务厅组织；",
"(e) “不断取得进展的月球政策——圆桌会议”，由月球村协会、开放月球基金会、安全世界基金会和航天新一代咨询理事会组织；",
"(f) “空间机会人人共享：成员国的机会”，由外层空间事务厅组织；",
"(g) “为外空委代表举行的虚拟简报：何为外空事务厅，它为什么与你有关”。",
"G. 通过委员会的报告",
"48. 在审议了面前的各个项目之后，委员会在其2022年6月10日第801次会议上通过了其提交大会的报告，其中载有以下建议和决定。",
"第二章",
"建议和决定",
"A. 维持外层空间用于和平目的的方式和方法",
"49. 根据大会第76/76号决议，委员会作为优先事项继续审议了维持外层空间用于和平目的的方式方法，并继续审议了从更广角度考虑将有助于确保安全负责地开展空间活动的空间安全及相关事项，包括为此目的促进国际、区域和区域间合作的方式。",
"50. 巴西、加拿大、中国、印度、印度尼西亚、伊朗伊斯兰共和国、日本、墨西哥、荷兰、大韩民国、俄罗斯联邦、阿拉伯联合酋长国、美国和委内瑞拉玻利瓦尔共和国的代表在这一项目下作了发言。安全世界基金会的观察员也作了发言。在一般性交换意见期间，其他成员国也就本项目作了发言。",
"51. 委员会听取了下列专题介绍：",
"(a) “使用ADLER-1探测微型空间碎片”，由奥地利代表介绍；",
"(b) “绘制低地球轨道碰撞风险图”，由美国代表介绍；",
"(c) “加强空间安全和可持续性的机会和做法”，由美国代表介绍；",
"(d) “空间安全的安全规范：制定规范如何能够加强和平目的原则”，由航天新一代咨询理事会观察员介绍。",
"52. 委员会一致认为，通过其在科学、技术和法律领域的工作，以及通过促进就与探索和利用外层空间有关的各种专题开展国际对话和交流信息，委员会在确保维持外层空间用于和平目的方面可发挥根本性作用。",
"53. 一些代表团表示认为，所有航天国家都有责任通过在空间技术及其应用上取得进展而保持和推动外层空间惠及各方。",
"54. 一些代表团表示认为，为了确保对外层空间的可持续和平利用，按照国际法律、规则、条例和规范开展外层空间活动至为关键。",
"55. 一些代表团表示认为，透明度和建立信任措施是确保和平利用外层空间的关键。这些代表团提及外层空间活动透明度和建立信任措施政府专家组2013年的报告（A/68/189），并鼓励各国执行其建议和采取适当措施。",
"56. 一些代表团表示认为，虽然委员会不是一个专门讨论外层空间裁军问题的论坛，但在全球治理和外层空间国际合作中仍然发挥着根本和独特作用，并且应当加强这一作用。",
"57. 一些代表团表示认为，委员会在广泛领域的工作确保了外层空间的和平利用，是防止军备竞赛风险和外层空间军事化的关键因素，因此，委员会的工作补充和支持了防止外层空间军备竞赛的其他论坛。",
"58. 一些代表团重申，具体涉及防止外层空间军备竞赛和将外层空间用于国家安全活动及相关事项的问题，在诸如裁军谈判会议、裁军审议委员会和大会第一委员会等以这些问题为其任务重点的论坛中讨论更为合适。",
"59. 一些代表团表示认为，规范可以创造必要的信任气氛以便未来制定具有法律约束力的空间管理措施，在这方面，欢迎秘书长关于通过负责任行为规范、规则和原则减少空间威胁的报告（A/76/77）和通过负责任行为规范、规则和原则减少空间威胁不限成员名额工作组的工作，因为该报告深化了关于空间规范的讨论。",
"60. 一些代表团表示认为，外层空间军事化的威胁突显了旨在制定关于透明度和建立信任的有法律约束力规范的国际对话和谈判的重要性，因为无法律约束力的措施不足以应对外层空间军备竞赛的威胁。发表该意见的代表团还认为，具有法律约束力的措施必须根据现有的国际法原则，重点重申外层空间的和平利用和将外层空间用于和平目的符合各方共同利益。",
"61. 一些代表团重申，防止外层空间军备竞赛和在外层空间部署任何种类武器至关重要，并吁请所有国家特别是拥有强大空间能力的国家，积极促进和平利用外层空间，以防止外层空间的军事化，避免在外层空间部署任何种类武器或采取违背这一目标的任何其他行动。发表该看法的代表团还认为，长期维护好外层空间环境需要国际社会承诺确保永远不在外层空间部署任何武器。",
"62. 一些代表团再次指出，应更多考虑由中国和俄罗斯联邦编拟的关于防止在外层空间部署武器并防止对外层空间物体威胁使用武力的条约草案，因为该条约草案为确保外层空间用于和平目的铺平了道路。",
"63. 一些代表团表示认为，故意摧毁空间物体，随意产生大量空间碎片，增加了在轨空间物体碰撞的风险，是一种不负责任的行为，将破坏外层空间的可持续和稳定利用。",
"64. 一些代表团对产生空间碎片的反卫星试验表示关切，并强调各国应避免使用或试验这些能力。表达这一观点的代表团还认为，美国以及随后是加拿大最近宣布承诺不进行破坏性的直升式反卫星导弹试验，这是朝着制定外层空间负责任行为准则迈出的积极的一步。",
"65. 据认为，这样一项举措能否有效维持空间用于和平目的令人怀疑。该代表团表示认为，承诺不试验某些类型的反卫星武器并不意味着承诺不使用这些武器。",
"66. 据认为，委员会应继续作为非政治化讨论的平台，并应促进各国和政府间组织制定旨在维护外层空间用于和平目的的理论原则指导方针，从而维护国际和平与安全，并加强国际合作和相互了解。",
"67. 据认为，委员会应当注重商业空间飞行发展所带来的挑战，促进加强关于商业空间行为者参与军事活动的有效国家条例，并确保非政府实体的空间活动符合和平目的，同时提高国际一级的透明度。还必须重视外层空间活动的安全，加强研究和广泛讨论，并寻求解决巨型星座构成的安全风险的办法。",
"68. 委员会注意到，非洲空间周将于2022年9月在内罗毕举行，将为非洲航天工业利益关系方审议扩大非洲航天工业和加强努力促进和促成非洲内部之间和国际范围的空间活动合作提供一个创新平台。",
"69. 委员会还注意到，亚太区域空间机构论坛第二十七届会议的主题是“通过多样化伙伴关系扩大空间创新”，会议于2021年11月30日至12月3日在线上举行。",
"70. 委员会注意到，亚太空间合作组织理事会第十五次会议于2021年11月9日至11日在线上举行。理事会批准了亚太空间合作组织2021-2025年项目执行计划和亚太空间合作组织合作活动规则修正案。",
"71. 委员会建议在2023年其第六十六届会议上继续优先审议关于维持外层空间用于和平目的的方式方法的项目。",
"B. 科学和技术小组委员会第五十九届会议报告",
"72. 委员会赞赏地注意到科学和技术小组委员会第五十九届会议的报告（A/AC.105/1258），其中载有小组委员会根据大会第76/76号决议审议各议程项目的结果。",
"73. 委员会对Juan Francisco Facetti（巴拉圭）在他担任小组委员会第五十九届会议主席期间的出色领导能力表示赞赏。",
"74. 澳大利亚、奥地利、巴西、加拿大、智利、中国、芬兰、德国、印度尼西亚、伊朗伊斯兰共和国、意大利、日本、俄罗斯联邦、南非、瑞士、英国、美国和委内瑞拉玻利瓦尔共和国的代表在本项目下作了发言。摩洛哥的代表以77国集团和中国的名义作了发言。国际天文学联盟的观察员也作了发言。在一般性交换意见期间，其他成员国也作了与本项目有关的发言。",
"75. 委员会听取了下列专题介绍：",
"(a) “‘赫拉’（HERA）飞行任务：用三维视觉处理和可视化方法分析‘双小行星变轨改向试验’（DART）对小行星‘迪莫弗斯’（Dimorphos）的撞击”，由奥地利代表介绍；",
"(b) “实时地球观测促进救灾管理”，由奥地利代表介绍；",
"(c) “低地球轨道巨型星座正在深刻影响着世界空间活动”，由中国代表介绍；",
"(d) “双小行星变轨改向试验的撞击”，由美国代表介绍。",
"1. 联合国空间应用方案",
"(a) 联合国空间应用方案的活动",
"76. 委员会注意到小组委员会在“联合国空间应用方案的活动”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第54-74段）。",
"77. 委员会注意到，该方案的优先领域有：环境监测、自然资源管理、卫星通信、减少灾害风险、全球导航卫星系统的使用、基础空间科学举措、气候变化、基础空间技术举措和载人航天技术举措以及生物多样性和生态系统。",
"78. 委员会注意到本方案2021年开展的和2022年计划开展的活动，见小组委员会的报告（A/AC.105/1258，第59-69段）。",
"79. 委员会对外层空间事务厅在可用资金有限的情况下特别是在2021年开展方案活动的方式表示赞赏。委员会还对赞助这些活动的各国政府和政府间组织及非政府组织表示感谢。委员会满意地注意到，2022年方案各项活动的执行工作正在取得进一步进展。",
"80. 委员会对联合国空间应用方案可获得的财政资源仍然有限表示关切，并强调必须为外空事务厅配备必要的资源，包括充足的资金，以协助更多的国家按照《外层空间条约》的精神和“空间2030”议程获得空间科技及其应用的惠益。",
"81. 委员会注意到，分别在第一轮、第二轮和第三轮入选的肯尼亚、危地马拉和毛里求斯的团队，所开发的立方体小卫星已通过从国际空间站日本实验舱（“希望”号）上部署立方体小卫星的联合国/日本合作方案从国际空间站上完成了小卫星部署。分别在第三轮、第四轮和第五轮入选的印度尼西亚、摩尔多瓦共和国和中美洲一体化体系的团队，目前正在该方案下开发其立方体小卫星。委员会进一步注意到，“希望”号立方体小卫星方案已成为空间科技能力建设的一个重要工具，在这方面，外层空间事务厅和日本宇宙航空研究开发机构（日本宇航机构）已宣布将这一小卫星方案延长至2024年12月底，并且还增加了一个新的教育机会，称作“‘希望’号立方体小卫星学院”。",
"82. 委员会注意到，联合国空间应用方案继续实施“空间机会人人共享”倡议，其重点是扩充成员国获得空间惠益的能力，并向倡议的合作伙伴方提供：将硬件送入空间所需技术的研发机会、借助独特的地面和轨道设施进行微重力实验的便利，以及获取空间数据的便利和这些数据使用方法培训，包括天文数据的使用，使这些国家进入国际空间舞台并促进空间科学和技术方面的深入能力建设。",
"83. 委员会请外层空间事务厅继续与科学和技术小组委员会共同工作，确定方案的优先事项。",
"84. 委员会满意地注意到，联合国空间应用方案继续强调、促进和推动为支持联合国附属各区域空间科学和技术教育中心而在区域和全球各级与成员国开展的合作。",
"85. 委员会注意到，外层空间事务厅继续与联合国附属各空间科学和技术教育区域中心紧密合作，即非洲区域空间科学和技术教育中心（英语）；非洲区域空间科学和技术教育中心（法语）；亚洲及太平洋空间科学和技术教育中心；拉丁美洲和加勒比区域空间科学和技术教育中心；西亚区域空间科学和技术教育中心；以及亚洲及太平洋区域空间科学和技术教育中心（中国）。在这方面，委员会赞赏地注意到，联合国附属各区域空间科学和技术教育中心所在国正在为这些中心提供大量的资金和实物支持。",
"(b) 国际卫星搜索和救援系统",
"86. 委员会满意地注意到，国际卫星搜索和救援系统（COSPAS-SARSAT）目前有43个成员国和2个参与组织，该系统提供覆盖全球由船舶和飞机以及世界各地个人用户携带的紧急信标。委员会还注意到，2021年，该方案帮助在美国全境及其周边海域从可能危及生命的处境下营救了330人，自1982年该方案启动以来，COSPAS-SARSAT在全球范围内支持了48,000多次营救行动。",
"2. 空间技术促进可持续社会经济发展",
"87. 委员会注意到小组委员会在“空间技术促进可持续社会经济发展”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第79-88段）。",
"88. 委员会核可了小组委员会关于本项目的决定和建议（A/AC.105/1258，第88段）。",
"89. 委员会注意到重新召集的由Prakash Chauhan（印度）担任主席的科学和技术小组委员会全体工作组的报告（A/AC.105/1258，附件一）。",
"90. 一些代表团认为，空间科学和技术及其应用对于有效应对自然灾害、粮食安全、气候变化和自然资源安全等当前和未来社会经济发展和可持续性方面的挑战具有重要意义，并指出，特别是作为支持可持续经济增长、提高生活质量和管理全球环境努力的一部分，空间活动对于实现可持续发展目标和“空间2030”议程至关重要。表达这一观点的代表团还认为，必须确保外空厅拥有必要的资源，包括充足的资金，以协助更多的国家获得机会受益于空间科技及其应用带来的利益。",
"3. 与卫星遥感地球相关的事项，包括对发展中国家的各种应用和地球环境监测",
"91. 委员会注意到小组委员会在“与卫星遥感地球相关的事项，包括对发展中国家的各种应用和地球环境监测”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第89-98段）。",
"92. 委员会注意到，各国利用遥感数据开展的国际和区域举措被用于支持可持续的社会经济发展，特别是为了发展中国家的利益。",
"93. 在讨论过程中，各代表团获悉了遥感在充分知情决策中发挥的关键作用，以及利用空间数据和应用的国家和国际合作方案。这方面的实例包括：领土测绘和边界安全、土地使用规划、自然和矿产资源管理、林业，以及产权确定和记录，植被、作物和土壤以及流域和水文特征测绘工具，以支持精准农业和农村规划，可耕地的确定、灌溉和地下水探测、气象学和天气预报以及严重风暴的预警。灾害管理和应急反应、气候变化和环境保护、海洋温度和海平面监测、空气质量有关浮质和污染物的监测，包括监测基本气候变量以促进国际研究、促进可持续发展、生态系统管理、冰川和降雪绘图和研究，用于灌溉和地下水探测的作物和土壤监测、用于保护关键基础设施的空间气象监测和预警系统以及动物活动监测。",
"94. 委员会注意到，地球观测小组和地球观测卫星委员会等重要举措在促进和便利遥感数据共享方面发挥了重要作用，在这方面，委员会欢迎许多成员国在这一领域继续作出承诺。",
"4. 空间碎片",
"95. 委员会注意到小组委员会在“空间碎片”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第99-123段）。",
"96. 委员会满意地注意到，2022年是大会第62/217号决议核可委员会《空间碎片减缓准则》十五周年，并敦促尚未这样做的国家考虑自愿执行该《准则》。",
"97. 委员会还满意地注意到，许多国家和国际政府间组织正在遵照委员会《空间碎片减缓准则》和《外层空间活动长期可持续性准则》（A/74/20，附件二）实施空间碎片减缓措施，而且一些国家已根据这些准则统一了本国的空间碎片缓减标准。",
"98. 此外，委员会注意到，一些国家正在使用委员会的《空间碎片缓减准则》和（或）机构间空间碎片协调委员会（空间碎片协委会）的《空间碎片缓减准则》、国际标准化组织的ISO 24113:2011号标准（空间系统：空间碎片缓减要求）和国际电联的ITU-R S.1003号建议（对地静止卫星轨道的环境保护）作为其国家空间活动监管框架的参照依据。委员会还注意到，一些国家正在欧洲联盟资助的空间监视和跟踪支助框架下以及欧空局的空间安全方案中开展合作。",
"99. 委员会还注意到，越来越多的国家已在采取具体措施减缓空间碎片，其中包括改进运载火箭和航天器的设计、卫星转轨、消能、延长寿命、寿终操作以及为减缓空间碎片开发专门的软件和模型。",
"100. 委员会进一步注意到，空间碎片协委会的初步工作曾作为委员会《空间碎片减缓准则》的基础，协委会现已于2022年更新了其自己的《空间碎片减缓准则》。",
"101. 委员会关切地注意到空间碎片问题以及空间碎片激增对未来探索和利用外层空间构成的挑战。",
"102. 委员会一致认为，应当继续邀请成员国和在委员会具有常设观察员地位的国际组织提供报告，介绍空间碎片研究、携载核动力源的空间物体安全、此类空间物体与空间碎片碰撞所涉问题，以及执行碎片减缓准则的方法。",
"103. 一些代表团表示认为，对于空间碎片问题，应当以不妨碍发展中国家开发空间能力的方式加以处理。",
"104. 一些代表团表示认为，新的空间活动主体不因既有空间活动主体的历史活动承受负担，这一点十分重要。",
"105. 一些代表团表示认为，如何应对在近地轨道设置巨型星座带来的挑战，包括与可持续利用轨道和频率有关的挑战，应当成为委员会工作的优先事项。",
"106. 一些代表团表示认为，应促使航天国家和其他参与主体，特别是那些部署巨型星座的国家，适当注意适用相关的自愿措施，如《空间碎片减缓准则》和《外层空间活动长期可持续性准则》，并强调必须加强发展中国家自愿执行这些措施的能力。",
"107. 一些代表团表示认为，由于轨道碎片是主要航天国家过去和正在进行的活动后果，主要航天国家应承担主要责任，既要缓解这一状况，又要在技术和资金上协助发展中国家和新兴航天国家达到空间碎片减缓准则的要求。",
"108. 据认为，在讨论碎片缓减和空间交通管理时，有必要促进空间活动透明度和建立信任措施，以避免误判和误解。",
"5. 借助空间系统的灾害管理支持",
"109. 委员会注意到小组委员会在“借助空间系统的灾害管理支持”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第124-136段）。",
"110. 委员会注意到天基信息对于灾害管理和应急响应的重要性，利用遥感数据和地球观测卫星开发各类自然灾害的多种危害预警系统和进行灾害影响分析，包括用于监测冠状病毒病（COVID-19）的疫情大流行。",
"111. 委员会欢迎联合国灾害管理和紧急救援天基信息平台（联合国天基信息平台）组织的活动，这些活动支持开发利用各种天基信息以支持整个灾害管理周期的能力。在这方面，委员会注意到联合国天基信息平台的活动和能力加强工作，包括在2021年为有需要的国家生成按特定所需的天基信息（见A/AC.105/ 1250），这些活动和工作是在其合作伙伴网络的持续支持下开展的；委员会还注意到天基信息平台知识门户网站（www.un-spider.org）的益处，这是一个基于网络的信息、通信和流程支持平台，增进信息交流、经验共享、能力建设以及技术咨询支持和服务。",
"112. 一些代表团表示认为，为了加强国家层面的灾害防备和紧急救援工作，外层空间事务厅应增加联合国天基信息平台的能力建设活动，特别是对发展中国家进行更多的技术咨询访问和开办培训方案。",
"113. 委员会注意到最近举行了几次与灾害管理有关的国际会议，如5月23日和24日在印度尼西亚巴厘岛举行的第三次多种灾害预警会议和5月23日至27日在德国波恩举行的欧空局生存星球专题讨论会，其中重点介绍了空间技术在灾害管理中的应用。",
"114. 委员会还注意到，各国一直在向地球观测卫星委员会灾害问题工作组和国际卫星搜救方案提供支持。",
"115. 委员会赞赏地注意到，中国、法国和德国向联合国天基信息平台提供了财政和人力资源，以及委员会的一些成员国和区域支助办事处2021年为支持外层空间事务厅通过联合国天基信息平台开展的活动提供了实物捐助，包括提供专家，并注意到这些国家为同其他感兴趣国家分享经验所做的努力。在这方面，委员会鼓励其他成员国和常驻观察员在自愿基础上向包括联合国天基信息平台在内的外空厅的活动和方案提供一切必要支持，包括增加财政支持，使之能够更好地响应成员国的援助请求并在今后几年充分执行其工作计划。",
"6. 全球导航卫星系统最近的发展",
"116. 委员会注意到小组委员会在“全球导航卫星系统最近的发展”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第137-157段）。",
"117. 委员会收到了题为“全球导航卫星系统国际委员会第十五次会议”的文件（A/AC.105/1251）。",
"118. 委员会注意到，全球导航卫星系统国际委员会（导航卫星委员会）作为一个最佳合作机制发挥着有益作用，提供了一个灵活的论坛，供全球导航卫星系统供应商和用户讨论与使用多套全球导航卫星系统信号有关的所有事项。",
"119. 委员会注意到，导航卫星委员会的工作旨在建立一个可互操作的多套全球导航卫星系统空间服务空域，这将能够改善在地球静止轨道以外更遥远深空业务的导航，预计全球导航卫星系统服务还将在地球与月球之间的空间使用。",
"120. 委员会注意到外层空间事务厅通过其能力建设和信息传播举措特别是在发展中国家努力促进使用全球导航卫星系统，并注意到外层空间事务厅作为导航卫星委员会执行秘书处在协调导航卫星委员会年度会议及其供应商论坛方面所发挥的作用。",
"121. 委员会注意到，外层空间事务厅组织举办的导航卫星委员会第十五次会议和供应商论坛第二十四次会议于2021年9月27日至10月1日在维也纳举行，导航卫星委员会第十六次会议将由阿拉伯联合酋长国主办，将于2022年10月9日至14日在阿布扎比举行。",
"7. 空间天气",
"122. 委员会注意到小组委员会在“空间天气”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第158-172段）。",
"123. 委员会注意到，由太阳变化引起的空间天气是一个国际关心的问题，因为它对空间系统、载人航天飞行以及社会日益依赖的地面和空间基础设施构成潜在威胁。因此，需要通过国际合作与协调，以全球方式应对这一问题，以便能够预测可能发生的恶劣空间天气事件并减轻其影响，以便外层空间活动的长期可持续性得到保证。",
"124. 委员会注意到在研究、培训和教育领域开展了一些国家和国际活动，以提高关于空间天气不利影响的科学和技术认识，从而加强全球抵御其威胁的能力，目标是促进执行《外层空间活动长期可持续性准则》与空间天气有关的准则B.6和B.7。",
"125. 委员会赞赏地注意到，科学和技术小组委员会空间天气专家组在科学和技术小组委员会2022年第五十九届会议间隙以及闭会期间举行了会议。委员会还注意到提交小组委员会的题为“空间天气专家组最后报告草稿：力求改进空间天气服务的国际协调”的文件（A/AC.105/C.1/L.401），其中载有六项高级别建议，并对专家组报告员Ian Mann先生的敬业工作表示赞赏。",
"126. 委员会核可了小组委员会商定的决定，将该报告（A/AC.105/C.1/L.401）视作专家组的最后报告，并将该报告作为A/AC.105/C.1/122号文件印发，见小组委员会的报告（A/AC.105/1258，第172段）。",
"127. 一些代表团表示认为，国际空间天气界找到一种机制来协调和继续开展其工作至关重要。",
"8. 近地天体",
"128. 委员会注意到小组委员会在“近地天体”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第173-190段）。",
"129. 委员会赞赏地注意到国际小行星警报网和空间飞行任务计划咨询小组（航天计划咨询组）所做的工作，这些工作旨在确保所有国家，特别是预测和减缓近地天体撞击灾难能力有限的发展中国家意识到潜在的威胁。",
"130. 委员会注意到，如果全球天文观测台网络发现了确实可信的撞击威胁，那么可以得到的关于该威胁的重要信息将是由小行星警报网提供，并通过外层空间事务厅向所有成员国转发。",
"131. 委员会注意到各国为发展可发现、观测、预警和缓减潜在危险近地天体的能力而开展的努力和活动的重要性，这些努力和活动有助于加强国际协作和信息共享，在这方面，委员会强调了促进小行星警报网和航天计划咨询组工作的重要性。",
"132. 委员会注意到，2021年11月，美国国家航空航天局首次发射行星防御技术演示任务“双小行星变轨改向试验”（DART），该试验将演示动能撞击偏转技术。委员会还注意到，作为一项后续行动，欧空局的“赫拉”（Hera）飞行任务计划于2026年与“迪迪莫斯”（Didymos）小行星系统相遇，以便对双小行星变轨改向试验（DART）飞行任务的偏转技术试验进行有价值的评估。",
"133. 委员会注意到，外层空间事务厅担任小行星警报网和航天计划咨询组的常设秘书处，这方面会议的进一步信息已公布在其网页上（网址http://iawn.net和http://smpag.net）。",
"134. 委员会注意到，第七次国际宇航科学院行星防御会议于2021年4月26日至30日举行，由外层空间事务厅与欧空局合作主办；第八次行星防御护会议将于2023年4月3日至7日在维也纳国际中心举行，由外空厅与欧空局和东道国奥地利合作主办。",
"9. 外层空间活动的长期可持续性",
"135. 委员会注意到小组委员会在“外层空间活动的长期可持续性”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第191-209段）;委员会同时核可了小组委员会的决定（A/AC.105/1258，第208和209段）和由Umamaheswaran R.（印度）担任主席的外层空间活动长期可持续性工作组的决定（A/AC.105/1258，附件二，第7-9段和附录）。",
"136. 委员会收到下列文件：",
"(a) 俄罗斯联邦提交的会议室文件，题为“执行空间活动长期可持续性准则‘A.1必要时通过、修订和修正国家监管框架’”（A/AC.105/2022/CRP.9）；",
"(b) 俄罗斯联邦提交的会议室文件，题为“欧亚区域空间科学和技术教育中心对加强外空委成员国执行外层空间活动长期可持续性准则的能力的贡献”的（A/AC.105/2022/CRP.10）；",
"(c) 俄罗斯联邦提交的会议室文件，题为“审议在外层空间活动长期可持续性背景下关于确保空间活动安全的关键未决任务”（A/AC.105/2022/CRP.11）。",
"137. 委员会赞赏地回顾，外层空间活动长期可持续性工作组在小组委员会第五十九届会议上商定并通过了其职权范围、工作方法和工作计划（A/AC.105/ 1258，附件二，第7段和附录）。",
"138. 委员会还回顾，工作组将同样重视指导框架的三个要素（A/AC.105/1258，附件二，附录，第6和7段）。",
"139. 委员会进一步回顾，工作组已商定于2022年11月举行混合形式的非正式协商（A/AC.105/1258，附件二，第9段）。",
"140. 委员会获悉，一些成员国已完成或正在完成对其和平利用外层空间委员会《外层空间活动长期可持续性准则》执行情况的内部评估。",
"141. 委员会还获悉，为实施委员会《外层空间活动长期可持续性准则》，已经采取或正在采取一些国家、区域和国际的科学、技术、法律和政策措施及举措。",
"142. 委员会进一步获悉，外层空间事务厅继续进行题为“与执行《长期可持续性准则》有关的提高认识和能力建设”的项目，该项目是通过英国提供的资金支持得以开展的，在项目第二阶段，编写了一份利益关系方研究报告（见spacesustainability.unoosa.org）。",
"143. 一些代表团表示认为，委员会的《外层空间活动长期可持续性准则》是安全和负责任地利用外层空间的最佳做法，对于为子孙后代维护外层空间至关重要。",
"144. 一些代表团表示认为，关于各国实际执行《外层空间活动长期可持续性准则》，这方面交流经验和审查最佳做法和既有经验教训至关重要，因为将能助力全面交流、国际合作、提高认识和能力建设。",
"145. 一些代表团表示认为，法律的小组委员会对委员会的《外层空间活动长期可持续性准则》进行审查和评估将是有益的。",
"146. 据认为，和平利用外层空间委员会已成为讨论空间可持续性的主要论坛，通过制定一种“自下而上的办法”针于利用空间方面采用安全和可持续的做法而有别于其他论坛。",
"147. 据认为，有许多并行的平台审议多年来一直属于委员会职权范围的主题事项，其中包括属于外层空间活动长期可持续性工作组任务授权范围内的专题，这构成了职能上的直接重复。表达这一观点的代表团还认为，根据不可侵犯的协商一致原则开展国际工作是确保外层空间活动长期可持续性符合整个国际社会利益的唯一途径。",
"148. 据认为，委员会的《外层空间活动长期可持续性准则》是明确、实用和经过验证的，即各国和国际政府间组织已经证明了《准则》的实施情况和效力，《准则》既不损害现有的法律义务，也不妨碍外层空间的利用，特别是新兴空间参与方对外层空间的利用。",
"149. 据认为，首先，委员会的《外层空间活动长期可持续性准则》是旨在缓解环境退化所作努力的实证，因为其中载有建议促进在空间飞行任务的设计和运行中采取更加有利于环境的做法。",
"150. 据认为，委员会的《外层空间活动长期可持续性准则》是第一套完整的当代空间活动管辖规则，考虑到围绕空间资源开展的经济和科学活动所构成的当前和未来挑战，必须不断更新或补充这些准则。",
"151. 据认为，委员会的《外层空间活动长期可持续性准则》有助于改进国内对话讨论空间可持续性对开展国家空间活动的影响，并有助于按协调后的各国立场制定更强有力的监管框架。",
"152. 据认为，发展中国家不应被空间探索的努力抛在后面或处于不公平的劣势地位，确保外层空间活动可持续性的唯一途径是通过加强合作与协作，继续将这些活动产生的惠益带给全人类。",
"153. 据认为，为了实现外层空间活动长期可持续性的主要目标，科学和技术小组委员会必须在国际合作的框架内集中注意能力建设和促进，以及向发展中国家转让技术等领域，《外层空间活动长期可持续性准则》能否切实、有效和一视同仁地付诸实施至关重要。",
"154. 据认为，了解是什么在阻碍各国不能实施委员会的《外层空间活动长期可持续性准则》，对于了解今后的能力建设活动形式具有关键重要性。",
"155. 据认为，外层空间活动长期可持续性工作组计划查明和研究挑战并考虑可能的新准则，这些计划具有相关重要意义，这主要是因为各国和商业公司关注主动清除空间碎片的项目以及制定探索和利用月球的计划和方案。表达这一观点的代表团回顾，与工作组有关的进一步实质性评论意见载于A/AC.105/2022/ CRP.9、A/AC.105/2022/CRP.10和A/AC.105/2022/CRP.11号会议室文件。",
"156. 据认为，审议空间碎片、为科学和社会保持寂静夜空、近地天体和使用核动力源等问题，可有助于确保外层空间活动的长期可持续性。表达这一观点的代表团还认为，因此，对这些问题的审议应当考虑到《外层空间活动长期可持续性准则》。",
"157. 据认为，外层空间活动的长期可持续性应当作为一个常设项目保留在科学和技术小组委员会的议程上，以确保外层空间活动长期可持续性工作组在技术方面已经取得进展的讨论继续进行下去并得到所有代表团更多的关注。",
"158. 据认为，由世界经济论坛牵头的一个联合团体所制定并由瑞士洛桑联邦理工学院运营的空间可持续性评级系统，将有助于并加强外层空间负责任和可持续的行为。",
"10. 委员会的未来作用和工作方法",
"159. 委员会注意到小组委员会在“委员会的未来作用和工作方法”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第210-233段）。",
"160. 委员会回顾其第六十二届会议作出的决定，内容是在两个小组委员会的议程上同时加入一个题为“委员会的未来作用和工作方法”的常设项目，以便能够讨论跨领域问题（A/74/20，第321(h)段）。",
"11. 外层空间使用核动力源",
"161. 委员会注意到小组委员会在“外层空间使用核动力源”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第224-237段）。",
"162. 委员会核可了小组委员会和重新召集的由Sam A. Harbison（英国）担任主席的外层空间使用核动力源工作组提出的建议，包括将工作组多年期工作计划延长一年以便最后完成提交小组委员会的多年期工作计划成果报告，并探讨未来空间核动力源应用知识、做法和计划进展情况的信息收集备选办法（A/AC.105/1258，第237段和附件三）。",
"163. 委员会注意到，在这方面，工作组已在秘书处的协助下举行了一系列闭会期间会议，并于2022年6月7日和8日在委员会第六十五届会议间隙举行了两次非正式会议，以向前推进其工作。",
"164. 委员会确认一些国家和一个国际政府间组织正在制定或考虑制定有关在外层空间使用核动力源安全问题的法规文书，其中将考虑到由小组委员会和国际原子能机构联合拟定的《关于在外层空间使用核动力源的原则》和《外层空间核动力源应用安全框架》的内容和要求。",
"165. 委员会在这方面还注意到工作组工作的重要性，这些工作可以促成继续交流信息，促进进一步了解和制定有效程序确保在空间安全使用核动力，因为人们对在外层空间使用核动力源重新产生了兴趣，核动力为探索太阳系打开了大门，可以进行观察和了解原本无法达到的黑暗、遥远的行星天体，在航天器的空间推进中使用核动力源是前往火星的搭载人员和货物飞行任务以及前往外太阳系的科学飞行任务的一项潜在技术，能够实现更快和更强大的载人飞行和机器人飞行任务。",
"166. 一些代表团认为，应当有一个在多边一级就这一专题进行结构化交流的持续机制，外层空间使用核动力源工作组将向小组委员会建议必要的新安排，以便向前推进关于制定未来可能在外层空间使用核动力源的安全准则工作。",
"12. 空间与全球健康",
"167. 委员会注意到小组委员会在“空间与全球健康”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第238-249段）。",
"168. 委员会核可了小组委员会及其由Antoine Geissbühler（瑞士）担任主席召集的空间与全球健康工作组关于本项目的建议和决定，包括关于建立空间与全球健康平台和空间与全球健康网络的决定（A/AC.105/1258，第249段，以及附件四，第7段）。",
"169. 委员会感谢瑞士代表团在委员会本届会议期间为进行非正式协商讨论载于A/AC.105/L.328号文件关于空间与全球健康的决议草案案文提供便利。",
"170. 据认为，决议草案的案文原可得到进一步加强，通过确认人体医学研究的重要性，增进对生态学、心理学、人体工程学、遗传学、体育、营养学和其他科学的认知了解。表达这一观点的代表团还强调了全球健康领域国际合作的非歧视特性，并强调，发展和改善卫生保健系统的目标不应受到政治动机的阻碍。",
"171. 一些代表团表示认为，本报告附件所载决议草案有效地抓住了空间数据和技术在公共卫生领域的关键作用。这些代表团还欢迎通过了这项决议草案，并表示必须推动这项工作，分享空间活动对全球健康的惠益。",
"172. 在2022年6月3日第790次会议上，委员会核可了本报告附件一所载的空间与全球健康决议草案。委员会注意到，经核可的决议草案将提交大会2022年第七十七届会议，供大会在题为“和平利用外层空间方面的国际合作”的议程项目下通过。",
"173. 委员会注意到与空间和全球健康有关的广泛一系列活动，并确认空间科学、空间技术和空间应用的贡献促进了预防和控制疾病、增进人类健康和福祉、应对全球健康问题、医学研究进步、健康实践进步以及向个人和社区提供保健服务，包括在保健机会有限的农村地区。",
"174. 委员会注意到空间科学、空间技术和空间应用在应对COVID-19疫情大流行方面的重要作用，以及在支持追踪接触者、确定疫区范围、建立疾病传播模型和人群传染监测、远程工作网络连线、远程保健和通信还有社会孤独应对方法等方面的关键作用。",
"175. 委员会欢迎空间与全球健康工作组关于根据其多年期工作计划开展的工作情况的报告（A/AC.105/C.1/121），并表示感谢工作组主席在指导工作组根据其多年期工作计划开展工作方面所作的不懈努力和发挥的干练领导作用。",
"176. 委员会赞赏地注意到瑞士在2022年5月日内瓦卫生论坛期间组织的题为“利用空间技术促进全球健康”的圆桌会议，会上介绍了空间与全球健康平台和国际网络，外层空间事务厅、世界卫生组织、联合国卫星中心和地球观测小组参加了会议。",
"177. 委员会注意到，已邀请会员国选定专家并鼓励他们参加空间与全球健康网络。",
"178. 委员会一致认为，从2023年起，题为“空间与全球健康”的议程项目将成为小组委员会议程上的一个常设项目。",
"13. 在不妨碍国际电信联盟的作用的情况下，审查地球静止轨道的物理性质和技术特征及其利用和应用，包括在空间通信领域的利用和应用，以及与空间通信发展有关的其他问题，特别考虑到发展中国家的需要和利益",
"179. 委员会注意到小组委员会在“在不妨碍国际电联作用情况下审查地球静止轨道的物理性质和技术特征及其利用和应用，包括在空间通信领域的利用和应用，以及与空间通信发展有关的其他问题，同时特别考虑到发展中国家的需要和利益”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/ 1258，第250-261段）。",
"180. 一些代表团表示认为，地球静止轨道是一种有限的自然资源，面临饱和的风险，因而威胁到这一环境内空间活动的可持续性；对其使用应该加以合理安排；以及应当在公平的条件下向所有国家开放，而不论国家目前的技术能力如何，同时应当特别考虑到发展中国家的需要和某些国家的地理位置。",
"14. 关于为科学和社会保持寂静夜空的一般性交换意见",
"181. 委员会注意到小组委员会在题为“关于为科学和社会保持寂静夜空的一般性交换意见”这一项目下的讨论，讨论情况见小组委员会的报告（A/AC.105/ 1258，第262-276段）。",
"182. 委员会欢迎将“关于为科学和社会保持寂静夜空的一般性交换意见”作为一个单项讨论议题/项目列入科学和技术小组委员会的议程，光学天文学和射电天文学的天文观测是空间活动的一个重要方面，应当得到保护不受干扰，而将上述题目列入议程是对这一事实的重要承认。",
"183. 委员会欢迎联合国/西班牙/天文学联盟关于为科学和社会保持寂静夜空会议（A/AC.105/1255和A/AC.105/1257）以及外层空间事务厅在科学和技术小组委员会第五十九届会议间隙举办的关于寂静夜空专题的业界专题讨论会（A/AC.105/1258，第43-48段）对进行讨论作出的贡献，并注意到这些活动所产生的建议。",
"184. 委员会注意到国际天文学联盟主动邀请各代表团与其最近开设的保护寂静夜空不受卫星群星座干扰中心进行接触联系，该中心于2022年4月1日开始运作，旨在与全球范围各机构和个人协调多学科国际合作努力，以帮助减轻卫星群星座对地面光学和射电天文学观测造成的负面影响，以及对人类享受夜空造成的负面影响。",
"185. 委员会注意到一些国家为保护射电望远镜和无线电静区免受卫星群星座影响所开展的努力，天文学界和卫星界之间的持续接触，以及所有相关参与方特别是航天工业、卫星群星座运营商和天文界持续开展合作的重要性，以确保保护寂静夜空不受卫星群星座的干扰。",
"186. 一些代表团表示认为，需要众多利益关系方努力制定切实可行的解决办法，以解决卫星群星座对天文学的非故意影响。",
"187. 据认为，卫星星座对地面天文学夜空能见度的不利影响尚未受到充分考虑，这一事项属于委员会的任务范围，因此需要制定一项国际协商一致的条例。",
"15. 科学和技术小组委员会第六十一届会议临时议程草案",
"188. 委员会注意到小组委员会在“小组委员会第六十届会议临时议程草案”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1258，第277-281段）。",
"189. 委员会核可了小组委员会有关本项目的建议和决定（A/AC.105/1258，第279-281段）。",
"190. 在小组委员会第五十九届会议审议的基础上，委员会一致认为，小组委员会第六十届会议应当审议下列项目：",
"1. 通过议程。",
"2. 主席致词。",
"3. 一般性交换意见和介绍所提交的各国活动报告。",
"4. 联合国空间应用方案。",
"5. 空间技术促进可持续社会经济发展。",
"6. 与卫星遥感地球相关的事项，包括对发展中国家的各种应用和地球环境监测。",
"7. 空间碎片。",
"8. 借助空间系统的灾害管理支持。",
"9. 全球导航卫星系统最近的发展。",
"10. 空间天气。",
"11. 近地天体。",
"12. 外层空间活动的长期可持续性。",
"（2023年工作，按外层空间活动长期可持续性工作组多年期工作计划所示（A/AC.105/1258，第209段和附件二附录，第18段））",
"13. 委员会的未来作用和工作方法。",
"14. 空间与全球健康。",
"15. 外层空间使用核动力源.",
"（2023年工作，按外层空间使用核动力源工作组延长年限的多年期工作计划所示（A/AC.105/1258，第237段和附件三，第5段））",
"16. 在不妨碍国际电信联盟的作用的情况下，审查地球静止轨道的物理性质和技术特征及其利用和应用，包括在空间通信领域的利用和应用，以及与空间通信发展有关的其他问题，特别考虑到发展中国家的需要和利益。",
"（单项讨论议题/项目）",
"17. 关于为科学和社会保持寂静夜空的一般性交换意见。",
"（单项讨论议题/项目）",
"18. 科学和技术小组委员会第六十一届会议临时议程草案。",
"19. 向和平利用外层空间委员会提交的报告。",
"191. 委员会商定，全体工作组、外层空间使用核动力源工作组和外层空间活动长期可持续性工作组应当在科学和技术小组委员会第六十届会议上再次召集会议。",
"192. 委员会商定，根据科学和技术小组委员会2007年举行的第四十四届会议上达成的一致意见（A/AC.105/890，附件一，第24段），拟由空间研究委员会在小组委员会第六十届会议期间举办的专题讨论会主题应当是气候行动和来自空间的贡献。",
"C. 法律小组委员会第六十一届会议报告",
"193. 委员会赞赏地注意到法律小组委员会第六十一届会议报告（A/AC.105/ 1260），其中载有小组委员会依照大会第76/76号决议对各个项目的审议结果。",
"194. 委员会对Nomfuneko Majaja（南非）在小组委员会第六十一届会议期间作为主席所展现的杰出领导才能表示赞赏。",
"195. 奥地利、巴西、加拿大、智利、中国、芬兰、德国、希腊、印度尼西亚、伊朗伊斯兰共和国、意大利、日本、卢森堡、大韩民国、俄罗斯联邦、英国、美国和委内瑞拉玻利瓦尔共和国的代表在本项目下作了发言。摩洛哥代表以77国集团和中国的名义也作了发言。在一般性交换意见期间，其他成员国也作了与本项目有关的发言。",
"196. 委员会听取了日本代表所作的题为“关于亚洲太平洋区域空间机构论坛加强亚太区域空间政策和法律能力举措的进展报告”的专题介绍。",
"1. 有关国际政府间组织和非政府组织空间法相关活动情况的介绍",
"197. 委员会注意到小组委员会在题为“有关国际政府间组织和非政府组织空间法相关活动情况的介绍”的项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第36-38段）。",
"2. 联合国五项外层空间条约现状和适用情况",
"198. 委员会注意到小组委员会在联合国五项外层空间条约现状和适用情况这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第39-51段）。",
"199. 委员会核可了小组委员会及其重新召集的由Bernhard Schmidt-Tedd（德国）担任主席的联合国五项外层空间条约现状和适用情况工作组的决定和建议（A/AC.105/1260，附件一，第7-15段）。",
"200. 一些代表团表示认为，工作组就五项条约的现状和适用情况、国际法对小型卫星的适用和诸如卫星登记等更广泛的问题进行的讨论，以及工作组编写的题为“让空间惠益所有国家：空间活动法律框架指导文件”（A/AC.105/ C.2/117）的内容广泛的文件，均为小组委员会提供了有益的帮助，并大大有助于各国制定国家空间法律和政策。",
"201. 一些代表团表示认为，法律小组委员会是促进逐步发展国际空间法推进和平利用外层空间的适当论坛，有必要加强与科学和技术小组委员会的互动，确保法律规则仍然具有相关性，并适用于当前和计划中的空间活动。",
"202. 一些代表团表示认为，鉴于私营部门越来越多地参与空间活动，并且潜力不断发展，谈判达成一项明确界定和指导外层空间商业活动的具有法律约束力的国际文书，可在扩大利用外层空间和推动空间活动造福人类方面发挥重要作用，并有助于确保发展中国家的权利得到考虑，而且确保这些国家不被排除在空间探索的惠益之外。",
"203. 据认为，尽管联合国五项外层空间条约构成了国际空间法的基石，而且越来越多的国家加入这些条约受到了欢迎，但这些条约仍需进一步发展和补充，以便能够适应新的发展，如外层空间非政府实体和私营部门行为体的兴起。",
"204. 一些代表团表示认为，国际空间法是促使行为体能够在安全和可预测的环境中蓬勃发展的一项关键因素，在这方面，履行《外空条约》规定的授权从事空间活动的非政府实体开展活动并予以监督的义务，在提供必要的法律确定性以鼓励私营部门对空间活动进行大规模投资方面发挥着至关重要的作用。",
"205. 据认为，随着空间活动的发展，指导外层空间活动的规范、规则和原则也必须随之发展，维持和更新关于授权和持续监督非政府实体的国内法律是促进私营部门行为体在外层空间活动中的确定性和可预测性的一种方式。表达这一观点的代表团还认为，分享信息介绍各国应对《外空条约》规定义务的国家法律，可以鼓励对解释和执行《条约》达成共识并采取共同办法。",
"206. 据认为，完成或落实大会第62/101号决议所推荐以及和平利用外层空间委员会《外层空间活动长期可持续性准则》所载的关于加强各国和国际政府间组织登记空间物体做法的建议（A/74/20，附件二）至关重要，以便克服巨型星座成百上千个未作登记的空间物体趋势，这些物体可能对地面观测天文学、地球轨道和地球高层大气造成影响。",
"3. 与外层空间的定义和划界以及地球静止轨道的性质和利用有关的事项，包括 审议在不妨碍国际电信联盟作用情况下确保合理公平使用地球静止轨道的 方式方法",
"207. 委员会注意到小组委员会在“与外层空间的定义和划界以及地球静止轨道的性质和利用有关的事项，包括审议在不妨碍国际电信联盟作用情况下确保合理公平使用地球静止轨道的方式方法”这一议程项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第52-77段）。",
"208. 一些代表团表示认为，缺乏外层空间的定义或对外层空间未予划界会造成有关空间法和航空法能否适用的法律不确定性，必须对涉及国家主权及空气空间与外层空间之间界限的问题加以澄清，以减少各国之间出现争端的可能性。",
"209. 一些代表团表示认为，没有必要对外层空间进行定义或划界。",
"210. 一些代表团表示认为，地球静止轨道是一种显然有饱和之虞的有限的自然资源，必须对其加以合理利用，并且应当向所有国家开放，而不论其目前的技术能力如何。这将使各国能够在公平条件下使用地球静止轨道，同时特别顾及发展中国家的需要和利益以及某些国家的地理位置，并考虑到国际电联的程序以及联合国的有关规范和决定。",
"211. 一些代表团认为，地球静止轨道不能由各国通过使用、反复使用或占领或以任何其他方式据为己有，其利用应受适用的国际法管辖。",
"212. 据认为，地球静止轨道应被视为外层空间的一个特定领域和特殊部分，这方面的技术和法律治理需要有具体的针对性，因此应当有一个有其自身特点的管理机制。",
"213. 据认为，在公平利用地球静止轨道方面存在不足。因此，应考虑采取若干行动，例如设立一个法律小组委员会专门工作组，修改科学和技术小组委员会的相应议程项目，以便审议该问题的技术方面，设立一个政府间专家小组，以及就公平利用轨道资源相关问题与国际电联进行更密切的合作。",
"4. 与和平探索和利用外层空间有关的国家立法",
"214. 委员会注意到法律小组委员会在与和平探索和利用外层空间有关的国家立法这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第78-91段）。",
"215. 委员会核可了小组委员会关于该议程项目的建议（见A/AC.105/1260，第91段）。",
"216. 委员会注意到成员国为审查、加强、制定或起草国家空间法律和政策以及为改革或确立国家空间活动治理而开展的各种活动。",
"217. 委员会满意地注意到，秘书处对“国家空间活动监管框架图表式概览”（A/AC.105/C.2/2022/CRP.9）作了更新，该更新让各国得以了解现有国家监管框架，分享各国的实际经验并交流关于各国法律框架的信息。",
"218. 委员会注意到亚洲太平洋区域空间机构论坛国家空间立法举措研究小组所做的区域努力。该举措已进入第二阶段，涉及执行《和平利用外层空间委员会外层空间活动长期可持续性准则》（A/74/20，附件二），有新国家加入了研究小组，参与研究的国家总数从而达到12个。",
"219. 委员会一致认为，国家空间立法应根据国际法加以制定。",
"220. 据认为，国家空间立法不应包括与外层空间商业化有关的法规。",
"5. 空间法能力建设",
"221. 委员会注意到小组委员会在空间法能力建设这一项目下进行的讨论，讨论情况见小组委员会的报告（见A/AC.105/1260，第92-102段）。",
"222. 委员会核可了小组委员会关于该议程项目的建议（见A/AC.105/1260，第102段）。",
"223. 委员会一致认为，空间法研究、培训和教育方面的国际合作是为确保日益增多的空间活动参与方遵行国际空间法而开展必要国家能力建设的关键所在。",
"224. 委员会赞赏地注意到政府实体和非政府实体为空间法能力建设而在国家、区域和国际层面所作的一些努力。",
"225. 一些代表团认为，空间法方面的能力建设是一项基本工具，应当通过国际合作予以加强，外层空间事务厅和会员国需要加大支持力度，促进南北合作和南南合作，以期促进共享空间法领域的知识和专长。",
"226. 委员会满意地注意到，“针对新空间行为体的空间法”项目旨在提供支持以加强国家空间法律和政策的拟订能力。",
"227. 委员会赞赏地注意到2022年5月10日至12日在线举行的联合国/智利空间法律和政策会议。委员会注意到，此类活动将空间法专家、从业人员以及政府、业界和民间社会的代表联系在一起，从而促进了空间法方面的能力建设。",
"6. 委员会的未来作用和工作方法",
"228. 委员会注意到小组委员会在委员会的未来作用和工作方法这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第103-121段）。",
"229. 委员会核可了小组委员会报告所载各项决定（A/AC.105/1260，第106段）。",
"7. 关于空间碎片减缓和整治措施法律机制的一般性交换信息和意见，同时考虑到科学和技术小组委员会的工作",
"230. 委员会注意到法律小组委员会在“关于空间碎片减缓和整治措施法律机制的一般性交换信息和意见，同时考虑到科学和技术小组委员会的工作”这一项目下进行的讨论，讨论情况见法律小组委员会的报告（A/AC.105/1260，第122-149段）。",
"231. 委员会核可了小组委员会报告所载各项决定（A/AC.105/1260，第149段）。",
"232. 委员会满意地注意到，大会第62/217号决议核可了委员会的《空间碎片减缓准则》，这是在如何减缓空间碎片问题上提供指导迈出的重要一步，委员会促请联合国所有会员国考虑自愿执行该《准则》。",
"233. 委员会满意地注意到，一些国家已采取措施，通过本国法律中的相关规定落实关于空间碎片的国际公认准则和标准，包括委员会的《空间碎片减缓准则》和委员会的《外层空间活动长期可持续性准则》。",
"234. 据认为，小组委员会应扩大审查委员会的《空间碎片减缓准则》，同时考虑到携载核动力源的空间平台可能产生空间碎片，而且这类平台也可能与空间碎片发生碰撞。表达上述意见的代表团还对这类碎片在南半球特别是南太平洋区域重返大气层表示关切，并吁请发射国采取措施避免产生空间碎片。",
"235. 据认为，外层空间活动中的透明度和建立信任措施政府专家组的建议以及《外层空间活动长期可持续性准则》将有助于监测和减缓空间碎片，并有助于以安全和可持续的方式进行空间作业。",
"236. 据认为，有必要制定具有约束力的新文书来减少空间碎片。",
"237. 一些代表团表示认为，必须通过法律手段处理空间碎片问题，法律小组委员会应当讨论登记国、管辖权、控制和空间物体损害赔偿责任等法律问题。",
"238. 据认为，法律小组委员会应当与科学和技术小组委员会密切合作，处理与空间碎片问题和空间活动长期可持续性有关的议题，并拟定国际公认的人为造成的空间碎片领域基本术语定义。",
"239. 委员会欢迎最近对各国和各国际组织通过的减缓空间碎片标准简编进行的更新和补充，并鼓励各国和相关组织对该简编做出贡献。",
"8. 关于不具法律约束力的联合国外层空间文书的一般性交换信息",
"240. 委员会注意到法律小组委员会在关于不具法律约束力的联合国外层空间文书的一般性交换信息这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第150-164段）。",
"241. 委员会注意到外层空间事务厅在一个专门网页上提供了关于各国和各国际组织就不具法律约束力的联合国外层空间文书通过的机制简编，并请委员会成员国和在委员会享有常驻观察员地位的政府间国际组织继续向秘书处提交答复以纳入该简编。",
"242. 一些代表团表示认为，制定不具法律约束力的联合国文书的重要性，这些文书是对现有联合国各项外层空间条约的补充和支持，对空间活动方面的新情况做出回应，并有助于进一步加强外层空间活动的安全、安保和可持续性。",
"243. 一些代表团回顾《关于开展探索和利用外层空间的国际合作，促进所有国家的福利和利益，并特别要考虑到发展中国家的需要的宣言》，认为该宣言是促进国际合作以最大限度地扩大空间应用的利用对所有国家惠益的一份重要文书，并吁请所有航天国家为推动和促进公平的国际合作做出贡献，同时特别注重发展中国家的利益，加强委员会作为探索和利用外层空间国际合作领域主要信息交流平台的作用。",
"244. 据认为，不具法律约束力的联合国文书也是制定确保安全可持续利用外层空间行为守则的重要手段。发表该观点的代表团还吁请各国支持并继续与根据大会第76/231号决议设立的不限成员名额工作组展开合作，制定外层空间负责任行为规范、规则和原则。",
"9. 关于空间交通管理所涉法律问题的一般性交换意见",
"245. 委员会注意到小组委员会在题为“关于空间交通管理所涉法律问题的一般性交换意见”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第165–178段）。",
"246. 委员会核可了小组委员会有关继续审议该项目的建议，特别是考虑到由于外层空间物体不断增加、外层空间行动方多种多样以及空间活动增多而导致空间环境日益复杂和拥挤。",
"247. 一些代表团表示认为，这些现象对外层空间活动的安全、安保和可持续性构成了挑战。",
"248. 一些代表团表示认为，制定全球空间交通管理制度将有助于制定、发展和实施国际通行规则，这是及时和必要的，因为外层空间活动的安全、安保和可持续性相关议题是所有空间行为体和社会日益关切的问题。",
"249. 一些代表团表示认为，还必须采用外层空间负责任行为规范和原则，特别是各国普遍承诺不进行会产生长期轨道碎片的反卫星武器试验。",
"250. 据认为，尽管联合国各项外层空间条约以及国际电联的国际规章已载列与空间交通管理有关的基本规定，尽管与空间交通管理有关的一些议题已经由委员会的《空间碎片减缓准则》和《外层空间活动长期可持续性准则》等不具约束力的国际文书涵盖，但仍迫切需要制定一个由技术和监管规定组成的国际空间交通治理制度，填补现有文书中的法律空白。表达这一观点的代表团还认为，小组委员会是制定这种综合性多边办法以便有效管理空间交通的适当论坛，在这方面任何单一的国家或区域努力都可能形成法律支离破碎的风险，可能导致空间活动安全的恶化。",
"251. 一些代表团表示认为，以《外层空间条约》为基石的现行国际空间法为空间交通管理提供了基本法律制度。表达这一观点的代表团还认为，所有国家都应在国际法的基础上维护国际空间秩序，并确保航天器运行的安全。",
"252. 据认为，在审议未来的空间交通管理办法时，不需要对外层空间进行定义和划界。",
"10. 关于对小卫星活动适用国际法的一般性交换意见",
"253. 委员会注意到小组委员会在题为“关于对小卫星活动适用国际法的一般性交换意见”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/ 1260，第179-202段）。",
"254. 委员会注意到该项目继续在小组委员会的议程上，并一致认为保留该项目有助于处理与使用小卫星有关的问题并提高对这些问题的认识。",
"255. 委员会指出，凡涉及小型卫星的活动，无论卫星大小，都应按照国际空间法进行。",
"256. 一些代表团表示认为，在进行上述活动时还应遵守现行的国际监管框架。",
"257. 委员会了解了各国和各国际组织侧重小卫星开发和运行的方案，以及适用于小卫星开发和使用的监管框架。",
"258. 一些代表团表示认为，考虑到空间物体无论大小均在会员国社会经济发展中发挥重要作用，委员会及其各小组委员会不应设立可能对空间物体的设计、建造、发射或使用施加限制的临时法律制度或任何其他机制。",
"259. 一些代表团表示认为，在讨论空间物体登记问题时，应当考虑到外层空间的不断发展，例如大型星座的数量不断增加。",
"260. 据认为，巨型星座对外层空间活动的长期可持续性有影响，法律小组委员会应就这一专题进行有针对性的讨论。",
"11. 关于空间资源探索、开发和利用活动潜在法律模式的一般性交换意见",
"261. 委员会注意到小组委员会在题为“关于空间资源探索、开发和利用活动潜在法律模式的一般性交换意见”这一项目下进行的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第203-230段）。",
"262. 委员会核可了小组委员会及其在本议程项目下设立的工作组的决定和建议，该工作组已重新召集，由Andrzej Misztal（波兰）担任主席，Steven Freeland（澳大利亚）担任副主席（A/AC.105/1260，附件二，第5-8段）。",
"263. 委员会注意到，在本议程项目下设立的工作组被命名为空间资源活动所涉法律问题工作组，并商定了详细的工作计划和工作方法，载于工作组报告附录（A/AC.105/1260，附件二）。",
"264. 一些代表团表示认为，由奥地利、比利时、捷克共和国、芬兰、德国、卢森堡、挪威、葡萄牙和罗马尼亚提交的会议室文件A/AC.105/C.2/2022/CRP.21，为通过工作组的工作计划作出了贡献，文件中载有为A/AC.105/1260号文件附件二所设想在联合国主持下召开的国际空间资源会议提出的建议。",
"265. 一些代表团表示认为，空间资源的探索、开发和利用最好是在国际一级通过委员会及其各小组委员会等多边论坛进行协调，以便促进和平与可持续地探索和利用外层空间，从而确保这些活动的开展遵照国际法，并惠益所有国家。",
"266. 据认为，工作组的任何成果，无论是以建议还是成套原则的形式，只要是为空间资源利用活动确定了框架，就应确保联合国五项外层空间条约所确立的规则以不妨碍技术进步和私人空间活动的方式适用于空间资源活动，同时实现《外空条约》第一条中的承诺，即探索和利用外层空间应为所有国家谋福利和利益。",
"267. 据认为，关于空间资源的议程项目已经从一个讨论专题发展成为一个以目标为导向的工作组，这一进展可能成为整个小组委员会今后工作方法的一种潜在模式，因为它表明各国一致希望开展多边工作，就共同关心的难题取得具体和实际的成果，并为所有空间行为体提供有益的法律指导。",
"268. 据认为，工作组通过了五年期工作计划以澄清《外空条约》的重要条款，这是值得欢迎的。表达这一意见的代表团还认为，应当采取循序渐进的方法来制定空间资源活动框架，其成果应当符合《外空条约》所载国际空间法的基本原则。",
"269. 一些代表团指出，签署《关于为和平目的民用探索和利用月球、火星、彗星和小行星合作原则的阿尔忒弥斯协定》的国家数目已增加到19个，并认为上述协定是一系列承诺，规定了指导这些国家探索月球、火星和其他天体的规则和原则。表达这一观点的代表团还认为，《阿尔忒弥斯协定》以《外空条约》为基础，表明在将人类活动范围扩大到地球以外时签署方对负责任和透明行为的承诺。",
"270. 据认为，《阿尔忒弥斯协定》列出的一项关键原则是透明度，各国应继续致力于分享和传播关于各自国家空间政策和空间探索计划的信息。表达这一观点的代表团还认为，多边讨论必须侧重确定实用工具，以符合《外空条约》所规定的国际义务和承诺的透明方式分享各国月球活动的信息。",
"271. 据认为，虽然《阿尔忒弥斯协定》可以作为一个起点，其中一些规定易于接受，但有些方面需要削减，并与对不得据为己有原则的更广泛理解相协调，以便获得更大的支持。",
"272. 一些代表团表示认为，探索、开发和利用空间资源的任何活动都应根据确立国际空间法的联合国五项外层空间条约进行，各国单独或作为国家集团在联合国多边框架之外开展任何活动都将会导致委员会成员国之间合作上的支离分散，应当加以避免。",
"273. 一些代表团表示认为，《关于各国在月球和其他天体上活动的协定》为工作组开展工作提供了有意义的启示，因为该文书载有呼吁建立空间资源开发国际制度的条款，而且这类开发即将具有可行性。表达这一意见的代表团还认为，这样一种国际制度将是兼顾考虑直接或间接对探索月球作出贡献的国家所作努力和发展中国家利益的一种方式。",
"274. 一些代表团表示认为，对《外空条约》所载重要原则，例如不据为己有原则以及自由探索和利用外层空间原则，作出权威性解释，将使各国能够对空间资源活动作出具体的未来承诺。表达这一意见的代表团还认为，对《外空条约》规定的在开展空间活动时适当顾及该条约所有其他缔约国的相应利益这一义务达成共识，以及对哪些行为构成或不构成适当顾及达成共识，将有助于确保空间资源继续对所有人可用。",
"275. 据认为，由于能够开展空间资源活动的国家为数有限，因此必须确保此类活动积累的资产不会集中在少数利益攸关方手中，而且《外空条约》概述了对社会负责的行为，这些行为支持和平、包容和可持续的空间活动，同时以考虑到发展中国家特殊需要和利益的方式促进国际参与。",
"276. 据认为，在制定空间资源活动框架时，应确保加强与科学和技术小组委员会的互动，以便达成的框架能够应对实际开展的活动。表达这一观点的代表团还认为，作为制定治理空间资源活动的法律规则的第一步，有必要制定一套国际公认的空间资源活动相关基本术语定义，而且一套定义的制定需要技术投入。",
"277. 据认为，空间资源不包括无线电频率或轨道，例如地球静止轨道，因为此类资源属于国际电联的职权范围。",
"278. 一些代表团表示认为，在制定探索、开发和利用空间资源的框架时，工作组可以考虑在该领域已经开展的现有工作，例如海牙国际空间资源治理工作组编写的“制定国际空间资源活动框架的构成要素”，该文件已作为工作文件以联合国所有正式语文提供（A/AC.105/C.2/L.315）。",
"12. 就拟由法律小组委员会第六十二届会议审议的新增项目给和平利用外层空间委员会的提议",
"279. 委员会注意到法律小组委员会在就拟由法律小组委员会第六十二届会议审议的新增项目给委员会的提议这一项目下开展的讨论，讨论情况见小组委员会的报告（A/AC.105/1260，第231-244段）。",
"280. 根据小组委员会第六十一届会议的审议情况，委员会一致认为小组委员会第六十二届会议应审议下列实质性项目：",
"常设项目",
"1. 通过议程。",
"2. 主席致词。",
"3. 一般性交换意见。",
"4. 有关国际政府间组织和非政府组织空间法相关活动情况的介绍。",
"5. 联合国五项外层空间条约现状和适用情况。",
"6. 与下列方面有关的事项：",
"(a) 外层空间的定义和划界；",
"(b) 地球静止轨道的性质和利用，包括审议在不妨碍国际电信联盟作用情况下确保合理公平使用地球静止轨道的方式方法。",
"7. 与和平探索和利用外层空间有关的国家立法。",
"8. 空间法能力建设。",
"9. 委员会的未来作用和工作方法。",
"工作计划下的项目",
"10. 关于空间资源探索、开发和利用活动潜在法律模式的一般性交换意见。",
"（空间资源活动所涉法律问题工作组多年期工作计划所述2023年工作（A/AC.105/1260，第206段和附件二，附录））",
"单项讨论议题/项目",
"11. 关于空间碎片减缓和整治措施法律机制的一般性交换信息和意见，同时考虑到科学和技术小组委员会的工作。",
"12. 关于不具法律约束力的联合国外层空间文书的一般性交换信息。",
"13. 关于空间交通管理所涉法律问题的一般性交换意见。",
"14. 关于对小卫星活动适用国际法的一般性交换意见。",
"新增项目",
"15. 就拟由法律小组委员会第六十三届会议审议的新增项目给和平利用外层空间委员会的提议。",
"281. 委员会一致认为，应在小组委员会第六十二届会议上重新召集联合国五项外层空间条约现状和适用情况工作组、外层空间定义和划界工作组和空间资源活动所涉法律问题工作组。",
"282. 委员会核可了小组委员会达成的一致意见，认为应根据法律小组委员会的报告（A/AC.105/1260）在小组委员会第六十二届会议期间举行一次专题讨论会。",
"283. 据认为，小组委员会应定期审查议程项目，以便中止缺乏兴趣或似乎不再有必要的项目，或者制定一项工作计划，在感兴趣的项目下实现具体成果。表达这一意见的代表团还认为，重要的一点是，如果有兴趣或有必要，可以重新提出以前中止的项目。",
"D. 空间与可持续发展",
"284. 根据大会第76/76号决议，委员会审议了题为“空间与可持续发展”的议程项目。",
"285. 中国、法国、德国、印度、印度尼西亚、日本、哈萨克斯坦、墨西哥、荷兰、俄罗斯联邦、南非、泰国、阿拉伯联合酋长国、美国和委内瑞拉玻利瓦尔共和国的代表在本项目下作了发言。平方公里阵列天文台和世界空间周协会的观察员也作了发言。在一般性交换意见期间，其他成员国的代表也作了与本项目有关的发言。",
"286. 委员会收到了下列文件：",
"(a) 主题为“空间协助气候行动”的联合国/奥地利世界空间论坛的报告（A/AC.105/1266）；",
"(b) 主题为“妇女参与空间举措、挑战和机会”的联合国/巴西/阿拉伯联合酋长国“空间为妇女”专家会议的报告（A/AC.105/1267）。",
"287. 委员会在本项目下听取了下列专题介绍：",
"(a) “中国的应急管理中的卫星应用（2021-2022年）”，由中国代表介绍；",
"(b) “保护外层空间环境有助于可持续空间活动”，由中国代表介绍；",
"(c) “印度的地球观测应用促进国家发展和治理”，由印度代表介绍；",
"(d) “印度空间领域的能力建设活动：最新情况通报”，由印度代表介绍；",
"(e) “空间技术：对伊朗可持续发展的贡献”，由伊朗伊斯兰共和国代表介绍；",
"(f) “日本宇宙航空研究开发机构可持续空间原则：日本宇宙航空研究开发机构对可持续发展目标的贡献”，由日本代表介绍；",
"(g) “空间增进粮食安全”，由荷兰代表介绍。",
"(h) “利用韩国大地观测卫星图像进行灾害监测和构建空间信息”，由大韩民国代表介绍；",
"(i) “巴西、俄罗斯联邦、印度、中国和南非（金砖国家）智能望远镜和数据网络（BITDN）旗舰项目：金砖国家全球光学望远镜网络”，由俄罗斯联邦代表介绍；",
"(j) “面向发展中国家的创新性、跨领域、先进空间技术培训方案”，由俄罗斯联邦代表介绍；",
"(k) “用于研究海洋生态系统的远程监测系统”，由俄罗斯联邦代表介绍；",
"(l) “新生的空间工业的能力建设”，由菲律宾代表介绍。",
"288. 委员会重申认识到空间科技及其应用的重要作用，空间科技及其应用有助于执行《2030年可持续发展议程》，特别是实现各项可持续发展目标，有助于落实《2015-2030年仙台减少灾害风险框架》，以及有助于各缔约国履行其对关于气候变化的《巴黎协定》作出的承诺。",
"289. 委员会注意到空间技术和应用及空间所得数据和信息对于可持续发展的价值，包括在环境保护、土地和水管理、城乡发展、海洋和沿海生态系统、医疗保健、气候变化、减少灾害风险和紧急救助、能源、基础设施、导航、地震监测、自然资源管理、雪和冰川、生物多样性、农业和粮食安全等领域，有助于改进相关政策和行动方案的制定和执行。",
"290. 委员会满意地注意到外层空间事务厅与奥地利和阿拉伯联合酋长国政府合作举办了一系列世界空间论坛。",
"291. 委员会注意到各国介绍了旨在融合国家、区域和国际各级跨部门活动并将天基地理空间数据和信息纳入所有可持续发展进程和机制的各种努力。",
"292. 委员会还注意到各国介绍了本国旨在使全社会更多了解和认识利用空间科技应用满足发展需要的行动和方案。",
"293. 委员会注意到，国际空间站在科学研究促进可持续发展方面继续发挥重要作用。",
"294. 委员会满意地注意到，各国在区域一级开展了大量宣传活动，通过教育和培训开展有关利用空间科技应用促进可持续发展方面的能力建设。",
"295. 委员会注意到国际合作和伙伴关系对于充分发挥空间科技和应用促进可持续发展的潜力的价值。",
"296. 委员会注意到，第四次亚洲及太平洋空间应用促进可持续发展部长级会议将于2022年10月在印度尼西亚举行。",
"E. 空间技术的附带利益：现况审查",
"297. 根据大会第76/76号决议，委员会审议了题为“空间技术的附带利益：现况审查”的议程项目。",
"298. 阿尔及利亚、巴西、印度、意大利、墨西哥、俄罗斯联邦、南非、美国和委内瑞拉玻利瓦尔共和国的代表在本项目下作了发言。在一般性交换意见过程中，其他一些成员国的代表作了与本项目有关的发言。",
"299. 委员会听取了下列专题介绍：",
"(a) “作为国家能力建设引擎的SAOCOM项目”，由阿根廷代表介绍；",
"(b) “利用张衡一号电磁监测卫星和高分遥感卫星进行自然灾害监测”，由中国代表介绍；",
"(c) “俄罗斯新一代甚长基线干涉测量网络”，由俄罗斯联邦代表介绍。",
"300. 委员会注意到各国介绍了本国在空间技术附带利益方面的做法，此类做法涉及包括私营部门和学术界在内的各种行为主体。",
"301. 委员会注意到由美国航天局发布的题为《2022年附带利益》的出版物可在其网站上查阅。委员会对美国航天局自2000年委员会第四十三届会议以来每年向各代表团提供系列出版物《附带利益》表示感谢。",
"302. 委员会注意到许多领域的创新，这些领域包括农业、室内垂直耕作、污染和有毒化学品补救、水和自然资源可持续管理、森林和野火探测、地质学、地球物理学、生态系统保护、可耕地的确定和开发、渔业和矿藏、卫生、医学、修复术、生物学、化学、环境、教育、电子学、通信、导航和授时、材料应用、能源存储、运输、安全、互联网接入、激光数据传输、处理、分析和存储以及灾害管理等。此外，委员会注意到，为空间应用开发并由空间机构许可的许多技术已转让给工业界，并已在社会中得到实际应用。特别是，商业行为主体开发了利用空间附带技术的各种类型的医疗支持设备，以应对冠状病毒病（COVID-19）大流行。",
"303. 一些代表团表示认为，各空间机构的技术转让方案促进了各个行业的经济发展，这些行业的经济发展又使得企业家、公司、学术界和政府机构得以利用创新成果。表达这一观点的代表团还认为，这些方案有助于采取战略举措，创建一个综合性国际空间生态系统，以促进私营部门增长和工业自力更生，吸引外国商业投资和鼓励国际合作。",
"304. 一些代表团表示认为，负责直接与工业界和学术界合作的专门的公共部门实体为商业参与提供了支持，并促进了天基技术的应用，以实现广泛使用和更大的社会经济惠益。",
"305. 一些代表团表示认为，通过对公共部门投资于空间部门的社会经济影响进行长期研究，可以确定空间衍生技术的提供者和使用者如何提高了绩效和创新潜力。表达这一观点的代表团还认为，特别是从空间技术中衍生出来的产品和服务，包括地球观测、导航和授时技术，改善了多种产品和服务的商业供应，并有助于提高研究和开发的效力和效率。",
"306. 一些代表团表示认为，遥感、地理空间和地球观测方案，特别是图像、数据和分析，在下述各方面特别重要：灾害管理和应急、城市和农业规划、卫生测绘、能源、食品安全、边境监视、非法作物和非法采矿的管制、物流、建筑业、旅游业、生态学、防治荒漠化和支持通过神经网络技术、人工智能和机器学习处理大量数据等等。发表该意见的代表团还认为，这些方案对落实可持续项目具有重要意义，有助于给受气候变化影响的实体提供决策依据。",
"F. 空间与水",
"307. 根据大会第76/76号决议，委员会审议了题为“空间与水”的议程项目。",
"308. 阿尔及利亚、巴西、法国、印度、印度尼西亚、伊朗伊斯兰共和国、日本、墨西哥和泰国的代表在本项目下作了发言。苏丹·本·阿卜杜勒·阿齐兹王储国际水奖机构的观察员也在本项目下作了发言。在一般性交换意见期间，其他一些成员国也作了与本项目有关的发言。",
"309. 在讨论过程中，各代表团回顾了与水有关的合作活动，列举了国家方案及双边、区域和国际合作的事例，说明国际合作和政策对共享遥感数据的有益影响。",
"310. 委员会注意到，水及其相关问题正成为二十一世纪最为严重的环境问题。委员会还注意到，为协助实现可持续发展目标，必须利用空间技术及应用以及对水的天基观测促成的各种做法和举措。",
"311. 委员会注意到，有许多天基平台处理水相关问题，空间衍生数据已广泛应用于水管理。委员会还注意到，空间技术及应用结合非空间技术，在处理与水有关的诸多问题中发挥着重要作用，其中包括：海平面观测和研究、全球水循环和异常气候模式；对地表水体、水道和流域的测绘，包括其季节和年度变化情况的测绘；大坝蓄水量监测；水库和河流的沉积过程评估；河流径流；蒸散量监测；水质参数的估计值；融雪径流估算；地下水资源监测；水库和灌溉项目的规划和管理；水文灾害预警；洪灾、旱灾、台风、气旋、山崩和冰湖突然融化导致水灾的影响的监测和减缓；土壤水分监测；农业排泄水重复使用；雨水蓄集；确定地下水开发的潜在区域；改进预报的及时性和准确性；以及识别紧急情况，如火灾、污染、盐碱化、水藻大量繁殖、管道事故和原油泄漏。",
"312. 一些代表团表示认为，气候变化造成了世界各地的严重干旱和与水有关的灾害以及土地塌陷，已成为稳定水资源管理的一个关键问题。",
"313. 据认为，天基技术有助于监测河流、湖泊、湿地和沿海水域的水质，特别是大型和偏远水体的水质，包括监测水体中的污染物，空间技术有助于深入了解可能影响区域一级地下水的工业溢漏或扩散污染点等生态灾害。",
"314. 委员会指出，如果不成功地实施和监测水资源综合管理，就无法实现关于人人享有清洁饮水和环境卫生的可持续发展目标6。",
"315. 据认为，空间技术和应用可能有助于制定与水有关的政策和协调努力，以实现可持续发展目标6。",
"316. 一些代表团表示认为，需要制定政策、开展能力建设、交流知识、转让技术、获取天基数据和现场数据，并就可持续发展目标进行跨学科思考，以建设利益攸关方利用天基信息和促进创新的能力，从而增强社区应对与水资源有关的新风险的能力。",
"317. 委员会注意到外层空间事务厅Space4Water门户网站的价值，并强调了该门户网站在传播空间技术用于与水有关的目的方面的作用。",
"318. 委员会注意到，第五次空间技术用于水资源管理国际会议于2022年5月10日至13日在阿克拉举行，会议由加纳政府主办，苏丹·本·阿卜杜勒·阿齐兹王储国际水奖机构协办。",
"G. 空间与气候变化",
"319. 根据大会第76/76号决议，委员会审议了题为“空间与气候变化”的议程项目。",
"320. 奥地利、中国、法国、印度、印度尼西亚、伊朗伊斯兰共和国、日本、肯尼亚、墨西哥、荷兰、尼日利亚、阿拉伯联合酋长国、英国和美国的代表在本项目下作了发言。在一般性交换意见过程中，其他一些成员国的代表也作了与本项目有关的发言。",
"321. 委员会听取了下列专题介绍：",
"(a) “气候变化和应对措施中国空间观测站”，由中国代表介绍；",
"(b) “地球静止环境监测感测器气候变化研究应用计划”，由大韩民国代表介绍；",
"(c) “哥白尼计划对全球努力监测二氧化碳排放量的贡献”，由欧洲联盟常设观察员介绍；",
"(d) “空间太阳能的惠益”，由全美空间学会观察员介绍。",
"322. 委员会注意到气候变化是我们时代最紧迫的全球挑战之一，强调天基技术在提供关键气候数据方面的价值日益增加，通过这些数据可更好地了解、减缓和适应气候变化及监测《巴黎协定》的执行情况，还强调了天基观测对于了解气候变化的重要性。委员会还注意到天基观测对实现关于气候行动的可持续发展目标13的重要意义。",
"323. 委员会注意到在国家、区域和国际各级为开发和运行观测大气状况的卫星所作的努力，以及众多利益关系方伙伴关系和行动利用天基观测和技术应对气候变化的重要性。在这方面，委员会注意到第三工作组对2022年4月发布的政府间气候变化专门委员会第六次评估报告作出的贡献，工作组在报告中呼吁采取紧急行动，将全球升温幅度限制在1.5°C度以内，并注意到空间技术和应用在实现气候友好转型的道路上发挥的重要作用。还注意到，只有在天基技术的重要贡献支持下，政府间气候变化专门委员会使用的54个变量的其中一半以上才可以获得测定。",
"324. 委员会注意到，包括外层空间事务厅在内，国际伙伴机构和组织表示有兴趣加入空间气候观测站并对其中的工作作出贡献，该观测站是根据法国国家空间研究中心的倡议设立的，2017年12月11日在“同一个地球”首脑会议通过的《巴黎宣言》中得到了20多个空间机构的认可，2019年6月17日还为此在法国勒布尔热（Le Bourget）签署了一份意向联合声明，赋予观测站的主要目标是利用空间技术、有针对性的措施和与社会经济指标相互参照的相关模型，在国家和区域级别制作和传播关于气候变化影响的充分、及时和可靠数据信息，以确定和实施减缓和适应气候变化的举措。",
"325. 委员会还注意到，空间气候观测站已制定了其《宪章》，并已提交给作为意向声明目前签署方的36个空间机构。在这方面，委员会注意到，将于2022年9月1日生效的《空间气候观测站宪章》将使观测站能够在努力应对气候变化的多边网络中占有其一席之地，《宪章》赋予观测站的任务是促进调动空间工具开展气候行动和支持落实关于气候变化的《巴黎协定》。",
"326. 委员会注意到，作为奥地利“空间助力气候行动”举措的一部分，联合国/奥地利年度专题讨论会将于2022年9月12日至15日举行，主题是“空间助力气候行动：缓解和适应气候变化以及支持地球上实现可持续性目标的经验和最佳做法”。委员会还注意到，将创建一个由外层空间事务厅主办的关于“空间助力气候行动”倡议的专门网页，作为外空厅努力的一部分，支持成员国实现关于气候行动的可持续发展目标13。",
"327. 委员会注意到，2021年在英国格拉斯哥成功举行了联合国气候变化框架公约缔约方大会第二十六届会议，会议由英国担任主席，并与意大利合作举办，会上强调了天基气候行动的重要性。在这方面，委员会还注意到，联合国气候变化框架公约缔约方大会第二十七届会议将于2023年11月7日至18日举行，由埃及担任主席。",
"328. 委员会注意到在地球观测领域与气候变化有关的活动方面的一些双边伙伴关系以及国家一级的空间方案，这些伙伴关系将建设、发射和运行地球观测卫星系统以跟踪气候变化的表现形式和影响作为一个高度优先事项。",
"329. 委员会注意到卫星观测和地球观测应用有助于监测基本气候变量和相关的挑战，例如已经增多的荒漠化和极端天气事件，并有助于跟踪海平面变化、二氧化碳浓度、海冰消耗和陆地积雪，以及搜集关于沙漠、海洋、极地冰层覆盖和冰川等偏远地区的数据。",
"330. 委员会还注意到，必须支持地球观测方面的国际合作，包括通过世界气象组织、地球观测卫星委员会、气象卫星协调小组、全球气候观测系统、地球观测小组和亚太空间合作组织等这些长久已有的各个组织开展合作。在这方面，委员会注意到，外层空间事务厅目前正在最后完成关于战略绘图工作的报告，该报告旨在更全面地了解现有政府间实体在利用空间技术支持气候变化减缓、适应、复原能力和监测方面的整套技术和政策协调能力。",
"H. 空间技术在联合国系统的使用",
"331. 根据大会第76/76号决议，委员会审议了题为“空间技术在联合国系统的使用”的议程项目。",
"332. 奥地利、印度、印度尼西亚和墨西哥的代表在本项目下作了发言。在一般性交换意见过程中，其他一些成员国的代表也作了与本项目有关的发言。",
"333. 委员会收到下列文件：",
"(a) 外层空间活动机构间会议（联合国外空协调会议）第四十届会议报告（A/AC.105/1263）；",
"(b) 会议室文件，其中载有外层空间活动机构间会议关于协调联合国系统内与空间相关活动促进气候行动的特别报告预发本（A/AC.105/2022/CRP.15）。",
"334. 委员会在本项目下听取了下列专题介绍：",
"(a) “俄罗斯——古巴天文台：目标、器材和任务”，由俄罗斯联邦代表介绍；",
"(b) “宇宙对地球的撞击：后果评估”，由俄罗斯联邦代表介绍。",
"335. 委员会注意到，外层空间活动机构间会议（联合国外空协调会议）第四十届会议已于2021年12月14日以线上形式举行。委员会还注意到，外层空间事务厅正在与亚洲及太平洋经济社会委员会合作，力求联合筹办联合国外空协调会议第四十一届会议。",
"336. 委员会还注意到，联合国外空协调会议商定在2022年印发一份出版物，重点介绍联合国系统内的空间相关活动。",
"337. 委员会欢迎联合国外空协调会议关于协调联合国系统内与空间相关活动促进气候行动的特别报告（将以A/AC.105/1264文号印发），并对联合国外空协调会议和作为其秘书处身份的外层空间事务厅编写该报告表示赞赏。",
"338. 委员会鼓励联合国系统各实体酌情参与联合国外空协调会议的协调工作。",
"339. 委员会注意到，联合国空间研究组织将与外层空间事务厅协调，于2022年10月15日至12月15日实施第三批次的微型卫星组装和培训方案，并鼓励各会员国，特别是有志于航天的国家，应用这一方案并从中受益。",
"I. 委员会的未来作用和工作方法",
"340. 根据大会第76/76号决议，委员会审议了题为“委员会的未来作用和工作方法”的议程项目。",
"341. 智利、中国、法国、德国、印度尼西亚、荷兰、俄罗斯联邦、瑞士、英国、美国和委内瑞拉玻利瓦尔共和国的代表在本项目下作了发言。在一般性交换意见过程中，其他一些成员国的代表也作了与本项目有关的发言。",
"342. 委员会收到下列文件：",
"(a) 秘书处关于和平利用外层空间委员会及其附属机构的治理和工作方法的说明（A/AC.105/C.1/L.384）；",
"(b) 加拿大、日本、英国和美国提交的文件，题为“筹备一场众多利益关系方关于外层空间的对话作为联合国未来首脑会议的一部分”（A/AC.105/2022/ CRP.17）。",
"343. 委员会回顾了委员会第六十四届会议报告（A/76/20，第281-300段）、科学和技术小组委员会第五十九届会议报告（A/AC.105/1258，第210-223段）和法律小组委员会第六十一届会议报告（A/AC.105/1260，第103-121段）所反映的本项目审议情况。",
"344. 委员会同意在题为“其他事项”的议程项目下审议与联合国未来首脑会议有关的事项。",
"345. 一些代表团表示认为，委员会应当完全侧重于促进和平利用外层空间，而防止因对太空系统使用武器或利用外层空间从事军事活动或其他国安活动所可能引起的升级和冲突事项则应在联合国裁军论坛中处理。",
"346. 据认为，委员会应增加与联合国系统各主要委员会的互动，以便就核能及裁军等问题提供更多的咨询与合作。",
"347. 一些代表团表示认为，必须加强两个小组委员会之间在跨领域问题上的协调、互动与协同作用，特别是在长期可持续性和空间资源方面。",
"348. 据认为，制定和执行今后的程序，允许就感兴趣的议题和决策进行辩论，将可以提高委员会工作的效率和活力。",
"349. 一些代表团表示认为，委员会及其小组委员会只有在删除其他议程项目时才应增加新的议程项目。",
"350. 一些代表团表示认为，议程项目应按先后顺序审议，但不排除举行工作组会议。",
"351. 据认为，首先应让所有成员国有机会在议程项目下发言，然后才允许观察员组织发言。",
"352. 据认为，委员会应考虑如何以新的创新方式力争诸如来自业界、学术界和民间社会等的相关利益关系方参与其活动。",
"353. 据认为，委员会必须改进和丰富其工作方法，加强自身引领作用，并采取在其议事规则和现有做法框架内与非政府实体开展互动的更有效手段，以适应不断变化的现实和需要。",
"354. 据认为，联合国其他各实体在空间相关问题方面的工作应当与委员会的工作密切协调，委员会应当定期收到参与联合国外空协调会议的联合国各实体所提供的最新情况通报。",
"355. 据认为，有必要支持联合国附属各区域空间科学和技术教育中心的工作，并加强不同区域中心之间的交流与协作，以开展发展中国家的能力建设，其中应当给予新兴空间国家和发展中国家以特殊的考虑。",
"356. 据认为，必须促进新兴国家的人力资源能力发展，以使其能够利用空间技术的惠益促进发展。",
"357. 据认为，应在今后各届会议上保持采用本届会议的混合形式，其中包括了网上直播配有口译服务译成联合国六种正式语言的全体会议，在这方面，发言中强调了提供流畅网上直播和全面数字录音的重要性。",
"358. 据认为，以混合形式组织安排委员会及其小组委员会的届会应保持作为一项例外措施，需要征得协商一致的事先核准。",
"359. 据认为，应当制订一套在发生不可抗力情况时拟遵循的程序，以确保委员会在COVID-19疫情大流行之类危机情况下的工作连续性。",
"360. 据认为，委员会应呼吁依照大会第76/231号决议设立的不限成员名额工作组避开审议委员会已处理并反映在设立工作组之前所作决定中的议题。",
"361. 一些代表团表示认为，大会第76/231号决议足以明确界定不限成员名额工作组的任务授权。发表这一观点的代表团还认为，不限成员名额工作组向联合国所有会员国开放参与，关于呼吁避免委员会与工作组的工作重叠，这在工作组本身的会议上呼吁更为合适。",
"362. 一些代表团表示认为，大会第76/231号决议的反对票记录以及表决时的弃权票表明了不限成员名额工作组受到争议的性质。",
"363. 一些代表团表示认为，审议与安全和稳定有关的问题属于大会裁军和国际安全委员会（第一委员会）的职权范围。",
"364. 一些代表团表示认为，和平利用外层空间委员会的工作包括制定《外层空间活动长期可持续性准则》，这些工作证明了委员会在加强空间活动可持续性、安保和安全方面的作用。",
"365. 委员会赞赏地注意到，大会的裁军和国际安全委员会（第一委员会）与特别政治和非殖民化委员会（第四委员会）将在外层空间事务厅和裁军事务厅的联合支持下，于2022年10月27日在纽约举行一次联席小组讨论会，探讨空间安全和可持续性方面可能遇到的挑战，委员会一致认为，联席小组讨论会应商讨和平利用外层空间委员会与不限成员名额工作组之间的跨领域问题。",
"J. 空间探索和创新",
"366. 根据大会第76/76号决议，委员会审议了题为“空间探索和创新”的议程项目。",
"367. 阿塞拜疆、中国、法国、印度、印度尼西亚、意大利、日本、卢森堡、墨西哥、大韩民国、罗马尼亚、俄罗斯联邦、瑞士、泰国和美国的代表在本项目下作了发言。月球村协会、开放月球基金会和安全世界基金会的观察员也作了发言。在一般性交换意见期间，其他成员国也就本议程项目作了发言。",
"368. 委员会收到下列文件：",
"(a) 题为“月球村协会关于可持续月球活动全球专家组的报告——现状/计划”的会议室文件（A/AC.105/2022/CRP.12）；",
"(b) 题为“月球村协会关于国际月球日的报告——支助执行情况”的会议室文件（A/AC.105/2022/CRP.13）；",
"(c) 墨西哥和罗马尼亚提交的题为“关于在2023年和平利用外层空间委员会第六十六届会议议程项目‘空间探索和创新’下列入年度议程分项目‘协调可持续月球活动’的提议”的会议室文件（A/AC.105/2022/CRP.14）。",
"369. 委员会在本项目下听取了下列专题介绍：",
"(a) “月球绿洲－综合月球生境建筑愿景”，由奥地利代表介绍；",
"(b) “中国深空探测的进展”，由中国代表介绍；",
"(c) “意大利在Minerva飞行任务中的科学研究活动”，由意大利代表介绍；",
"(d) “韩国探路者月球轨道飞行器：大韩民国的首次月球飞行任务”，由大韩民国代表介绍；",
"(e) “利用光谱－伦琴－伽马（SRG）观测器绘制的新的宇宙X射线图”，由俄罗斯联邦代表介绍；",
"(f) “E.T.PACK项目：空间碎片扩散问题的技术解决办法”，由西班牙代表介绍；",
"(g) “欧洲探空火箭发射场：世界上功能最多的航天中心——创造可持续未来的新服务”，由瑞典代表介绍；",
"(h) “第一个国际月球日”，由月球村协会观察员介绍；",
"(i) “日地物理学科学委员会日地耦合变化可预测性方案的现状”，由日地物理学科学委员会观察员介绍；",
"(j) “空间探索项目组确保为未来空间探索开辟一条多样化、可持续和令人振奋的道路的计划”，由航天新一代咨询理事会观察员介绍。",
"370. 委员会回顾了本议程项目的起源以及探索和创新行动小组的工作，该小组编写了有史以来第一份强调低地球轨道以外人类空间探索重要性的联合国报告（见A/AC.105/1168）。",
"371. 委员会赞赏地注意到，各代表团在本届会议上交流了关于空间探索和创新努力的信息和最新情况，包括国家活动和方案的详细情况，以及双边、区域和多边国际合作的实例。",
"372. 委员会注意到，在讨论过程中，除其他外，提供了关于以下方面的情况介绍：研究与发展活动；空间物体发射；载人航天飞行计划；机器人探测活动；与国际空间站和中国空间站有关的活动和合作机会；飞往月球、火星、火星卫星、太阳和小行星的多项任务；开展借助卫星、着陆器、漫游车和直升机的实验来探索太阳系和研究科学课题；采样返回地球；计划中的国际月球科研站；计划中的门户月球前哨站；将很快揭示130多亿年前形成的恒星和星系的图像的下一代望远镜；演示小型航天器技术的立方卫星；将作为运输工具使用的增压载人漫游车；空间追踪和管理能力；火箭技术发展情况；增材制造和人工智能的创新应用；原位资源利用技术的发展；遥感数据和应用的新用途；空间探索创新枢纽中心；空间资源创新中心；制定国家空间白皮书、战略、联合会、计划、路线图、战略和法律；各国政府之间就指导空间探索合作的共同框架作出的承诺；空间峰会；部长级会议；空间探索和创新主题展览；空间资源周；航空航天和科技节；年度卫星模型竞赛；以及越来越多的人力和财力资源投入到空间探索和创新之中。",
"373. 委员会还注意到，空间探索和创新活动的所有利益攸关方，包括各国政府和政府机构、非政府实体、学术机构、科学和技术研究中心、业界和私营部门，必须开展协作，推动和平探索和利用外层空间，以及安全和可持续地发展外层空间活动，造福全人类。",
"374. 委员会还注意到，应当把发展中国家纳入空间探索的努力，以便确保空间探索活动在全球范围上的开放性和包容性。",
"375. 委员会注意到为促进航天工业，特别是在青年人中促进航天工业，以及推动空间探索和创新领域人力资本的发展所作的努力。",
"376. 委员会还注意到为促进空间探索和创新活动的多样性和包容性所作的努力。",
"377. 委员会还注意到，空间探索和创新往往激励和鼓励青年人投身科学、技术、工程和数学领域（理工科）以及法律、政策和通信领域的专业学习和职业工作。",
"378. 据认为，空间部门在经济多样化方面发挥着关键作用，可以提供高附加值。表达这一观点的代表团还认为，空间经济的发展不再仅仅借助技术创新，还会通过商业创新来实现，在这方面为企业、机构和公民提供了大量机会。",
"379. 据认为，由于空间项目复杂而昂贵，有必要促进国际合作和贸易，交流知识并为产品和服务开放市场。表达这一观点的代表团还认为，与其所有国家都试图涵盖所有领域，不如大力建议各国侧重具体的技术专长并加以发展，以使本国成为特定领域的世界领导者。",
"380. 据认为，一个国家开始空间探索和创新的主要要求是该国领导人有坚定的决心将空间视为一个战略领域，这包括领导人承诺通过长期计划、建立支持机构以及充足和持续的投资来发展空间探索和创新。",
"381. 据认为，由于新兴航天国家将在未来的全球空间探索中发挥重要作用，应当更加积极地讨论新兴航天国家之间的合作以及领先国家和新兴国家之间的合作。",
"382. 据认为，各类研究协会已成为开发和创造火箭和空间技术（从设计到即用产品）的竞争力中心，它们孕育想法，创造附带利益，优化空间基础设施，以及在国家机构的控制下提高经济效率，并将高素质人才集中在一个单一的组织结构框架内。",
"383. 据认为，相关国家机构、中小企业、大学创新团队和非国有风险融资体系之间的互动已经证明是有效的，特别是在企业加速器方面，通过企业加速器可以有针对性地挑选初创公司，以满足行业需求。",
"384. 据认为，外层空间包含几乎无限的能源和海量有用的材料，并在未来为人类提供丰富资源方面具有尚未开发的潜力，相关的创新和发展可以加强社会应对未来挑战的韧性。",
"385. 据认为，空间探索和创新的主要目标应当是可持续性、从摇篮到摇篮的设计和可行性，利用绿色技术减少人类对地球的负面影响。表达这一观点的代表团还认为，应采用新的意识形态、方法和产品来确定和取代长期以来形成的现有浪费或有害习惯，改善地球环境质量，并纠正方向，迈向资源丰富的未来。",
"386. 据认为，探索是人类精神的使命，开展探索活动应对走向深空的挑战符合这一精神，也符合委员会的精神。",
"387. 委员会审议了A/AC.105/2022/CRP.14号会议室文件所载的提议。",
"K. “空间2030”议程",
"388. 根据大会第76/76号决议，委员会审议了题为“‘空间2030’议程”的议程项目。",
"389. 阿根廷、奥地利、中国、德国、印度尼西亚、日本、肯尼亚、尼日利亚、挪威、大韩民国、瑞士和联合王国的代表在本项目下作了发言。平方公里阵列天文台的观察员也作了发言。在一般性交换意见期间，其他成员国的代表也就本项目作了发言。",
"390. 委员会听取了下列专题介绍：",
"(a) “国家空间活动委员会教育方案”，由阿根廷代表介绍；",
"(b) “月球极地飞行任务月球25号（LUNA-25）”，由俄罗斯联邦代表介绍。",
"391. 委员会欢迎大会在其第76/3号决议中通过了“空间2030”议程及其实施计划，作为一份高级别政治文件，展示了空间活动如何有助于实现各项可持续发展目标、关于气候变化的《巴黎协定》和《仙台减少灾害风险框架》、这类活动的广泛社会惠益，以及空间技术和应用还有天基数据在促进国际社会经济增长和繁荣方面的重要作用。委员会还赞扬“空间2030”议程工作组主席团和秘书处为促进最后审定和通过这一里程碑文件所做的工作。",
"392. 委员会注意到，“空间2030”议程重视加强会员国、联合国实体、政府间组织和非政府组织、业界和私营部门实体之间的伙伴关系与合作，目的是确保通过共同努力和利用不同利益攸关方的实际经验和贡献，让空间惠益能够惠及世界各地的所有人。在这方面，委员会还注意到，伙伴关系和协同努力对弥合发展中国家在利用天基数据进行规划和决策方面的差距有着重要作用。",
"393. 委员会注意到，在实施“空间2030”议程的过程中，各国促进并受益于一些与空间有关的国际和区域机制、方案、项目和平台，并受益于外层空间事务厅已经开发或正在开发的工具和举措（见大会第76/3号决议，第24和25段）。",
"394. 委员会注意到，“空间2030”议程四大总体目标围绕空间经济、空间社会、空间利用机会和空间外交四大支柱构建，其中所列行动已由若干国家作为各自国家空间方案和计划的一部分予以采取，以期加大空间带来的经济惠益，加强空间部门作为国家可持续发展重要引擎的作用，增加社会各部门、业界、学术界、研究人员和最终用户的参与，并促进空间部门与其他部门的融合。",
"395. 委员会还注意到，“空间2030”议程载有一项战略构想，涉及委员会及其各小组委员会和外层空间事务厅今后工作的关键领域和目标，这些机构是独特论坛，可促进在为和平目的探索和利用外层空间方面开展国际合作，促进航天国家和新兴航天国家之间对话，并促进所有国家更多地参与空间活动，包括为此开展能力建设举措。",
"396. 委员会欢迎巴拉圭打算以科学和技术小组委员会主席的身份，寻求在将于2022年7月举行的可持续发展问题高级别政治论坛的部长级宣言中提及“空间2030”议程，具体如下：“大会第76/3号决议通过的《‘空间2030’议程：空间作为可持续发展的驱动因素》及其实施计划是一项前瞻性战略，旨在重申和加强和平利用外层空间委员会成员国空间活动在利用空间工具实现2030年可持续发展议程的可持续发展目标方面的贡献”。",
"397. 据认为，“空间2030”议程对一些国家很重要，因为该议程的目的也包括推动和加强利用外层空间促进可持续海洋经济。",
"398. 据认为，会员国和其他捐助方应当考虑向外层空间事务厅提供充足的资源，使其能够充分有效地履行任务授权并支持会员国实施“空间2030”议程。",
"399. 据认为，瑞士洛桑联邦理工学院的“空间增进效用”举措正在空间经济和空间教育目标下促进落实“空间2030”议程。",
"400. 委员会注意到，作为外层空间事务厅“空间为妇女”项目的一部分，空间为妇女专家会议将于2022年8月16日至19日在大韩民国大田举行，并注意到，在巴西和阿拉伯联合酋长国与外层空间事务厅合作组织的上一年专家会议成果的基础上，将进行一项调查，评估世界各地空间机构和研究所中妇女任职人数的现状。",
"401. 委员会还注意到，第四届世界空间论坛将于2022年12月12日至15日在维也纳举行，由奥地利和外层空间事务厅组织，目标是加强国际社会之间的伙伴关系和对话，支持实施“空间2030”议程。",
"402. 委员会注意到，外层空间事务厅打算将“空间2030”议程和实施计划作为出版物提供，以提高其知名度，并扩大其对更广泛国际社会的影响。",
"403. 委员会指出，鼓励各国继续报告“空间2030”议程的实施情况，同时考虑到委员会将于2025年对该议程的实施进展情况进行中期审查，于2030年进行最后审查，并向大会报告审查结果。",
"404. 委员会回顾其决定，即在2030年之前的每届会议议程上保留本项目，以便委员会成员国及其常驻观察员能够交流各自在落实“空间2030”议程和实施计划方面的经验。",
"L. 其他事项",
"405. 根据大会第76/76号决议，委员会审议了题为“其他事项”的议程项目。",
"406. 加拿大、中国、德国、日本、墨西哥、俄罗斯联邦、瑞士和美国的代表在本议程项目下作了发言。欧洲联盟的代表以其作为常驻观察员的身份也代表欧洲联盟及其成员国作了发言。在一般性交换意见期间，其他一些成员国的代表也作了与本项目有关的发言。",
"1. 委员会及其附属机构2024-2025年期间主席团的组成",
"407. 委员会回顾，在之前已获大会第52/56号决议核可的与委员会及其附属机构工作方法有关的措施基础上（见A/52/20，附件一和A/58/20，附件二，附录三），大会在其第58/89号决议第11段中核可了委员会就委员会及其附属机构主席团未来的组成达成的一致意见（A/58/20，附件二，第5-9段）。",
"408. 委员会进一步回顾，按照关于委员会及其附属机构主席团的未来组成措施，委员会应在其第六十五届会议上就2024-2025年期间这些主席团的所有成员达成一致意见。",
"409. 委员会注意到，没有区域组提出其人选提名，因此鼓励各区域组在由第四委员会于大会2022年第七十七届会议期间审议关于和平利用外层空间方面国际合作的决议草案之前，或在委员会2023年第六十六届会议之前提出所需的人选提名。",
"2. 委员会成员资格",
"410. 委员会注意到危地马拉希望成为委员会成员的申请（A/AC.105/2022/ CRP.3），决定向大会2022年第七十七届会议建议危地马拉应成为委员会成员。",
"411. 委员会注意到乌兹别克斯坦希望成为委员会成员的申请（A/AC.105/ 2022/CRP.4），决定向大会2022年第七十七届会议建议乌兹别克斯坦应成为委员会成员。",
"3. 观察员地位",
"412. 关于非政府组织申请委员会常驻观察员地位，委员会回顾其在2010年第五十三届会议上达成的一致意见（A/65/20，第311段），即在等待非政府组织申请经济及社会理事会咨商地位结果的消息期间，给予其为期三年的临时观察员地位，如有必要，临时观察员地位可再延长一年，并将在这些非政府组织申请的经社理事会咨商地位获得确认时，给予其常驻观察员地位。",
"413. 委员会注意到大西洋国际研究中心发展协会申请委员会常驻观察员地位。申请书和相关函件已载于A/AC.105/2022/CRP.5号会议室文件提交委员会。",
"414. 委员会决定，在等待关于大西洋国际研究中心发展协会申请经济及社会理事会咨商地位的结果消息期间，暂时给予其为期三年的观察员地位。",
"415. 委员会注意到进入空间联盟（英国）申请委员会常驻观察员地位。申请书和相关函件已载于A/AC.105/2022/CRP.6号会议室文件提交委员会。",
"416. 委员会决定，在等待关于进入空间联盟（英国）申请经济及社会理事会咨商地位的结果消息期间，暂时给予其为期三年的观察员地位。",
"417. 委员会注意到海牙全球司法研究所申请委员会常驻观察员地位。申请书和相关函件已载于A/AC.105/2022/CRP.7号会议室文件提交委员会。",
"418. 委员会决定，在等待海牙全球司法研究所申请经济及社会理事会咨商地位的结果消息期间，暂时给予其为期三年的观察员地位。",
"419. 员会注意到国际和平联盟（太空）申请委员会常驻观察员地位。申请书和相关函件已载于A/AC.105/2022/CRP.8号会议室文件提交委员会。",
"420. 委员会决定，在等待关于国际和平联盟（太空）申请经济及社会理事会咨商地位的结果消息期间，暂时给予其为期三年的观察员地位。",
"4. 其他事项",
"421. 委员会注意到在委员会本届会议上提供的由委员会主席提交的一份非正式文件，并注意到：主席已指出委员会及其小组委员会作为讨论开展国际合作为和平目的探索和利用外层空间议题的独特平台的特殊作用，因此指出了酌情在其2023年各自届会上就拟于2023年9月举行的未来首脑会议进行讨论的重要性；秘书处应在委员会及其小组委员会2023年举行的届会上报告未来首脑会议的筹备情况；委员会主席经与委员会及其小组委员会主席团协商，打算在2023年科学和技术小组委员会第六十届会议上提出拟议要点供进一步审议；在2022年大会第七十七届会议上，大会第一委员会和第四委员会的联席小组讨论可处理未来首脑会议及其关于外层空间的众多方利益关系方对话；未来首脑会议的议题将在2022年世界空间论坛和拟于2023年上半年举行的联合国/葡萄牙关于空间活动管理和可持续性议题的会议上讨论；筹备未来首脑会议及其关于外层空间议题的众多利益关系方对话首要基础应当是充分承认委员会及其小组委员会在外层空间事务厅支持下的作用和工作，并充分考虑到已通过的“空间2030”议程。",
"422. 一些代表团欢迎主席的非正式文件，并表示认为，该文件概述了一个极好的前进方向，以便鉴于“未来首脑会议”和众多利益关系方对话而准备好委员会将作出的贡献。",
"423. 据认为，联合国秘书长提议的“未来首脑会议”的众多利益关系方形式不太可能为全球空间议程关键问题富有成效的决策进程提供手段而达到其目的。",
"5. 方案5，“和平利用外层空间”：拟议的2023年期间方案计划和2021年方案 执行情况",
"424. 委员会收到下列文件：",
"(a) 会议室文件，题为“方案5，‘和平利用外层空间’：拟议的2023年期间方案计划”（A/AC.105/2022/CRP.16）；",
"(b) 2023年方案概算（A/77/6 (Sect. 6)）。",
"425. 委员会欢迎外层空间事务厅代理主任关于拟议的2023年期间方案计划的介绍以及外空厅提供的关键工作领域信息。",
"426. 委员会同意该项拟议的方案计划。",
"427. 委员会注意到，2023年方案概算（A/77/6 (Sect. 6)）附件一的脚注d应予以更正，以反映中国应急管理部的正确名称。",
"6. 委员会第六十六届会议临时议程草案",
"428. 委员会建议其2023年第六十六届会议审议下列项目：",
"1. 会议开幕。",
"2. 通过议程。",
"3. 主席致词。",
"4. 一般性交换意见。",
"5. 维持外层空间用于和平目的的方式方法。",
"6. 科学和技术小组委员会第六十届会议报告。",
"7. 法律小组委员会第六十二届会议报告。",
"8. 空间与可持续发展。",
"9. 空间技术的附带利益：现况审查。",
"10. 空间与水。",
"11. 空间与气候变化。",
"12. 空间技术在联合国系统的使用。",
"13. 委员会的未来作用和工作方法。",
"14. 空间探索和创新。",
"15. “空间2030”议程。",
"16. 其他事项。",
"17. 委员会提交大会的报告。",
"429. 委员会注意到，有可能在闭会期间就A/AC.105/2022/CRP.14号会议室文件所载建议达成一致意见，即把“可持续月球活动的协调”列为委员会第六十六届会议议程项目“空间探索和创新”下的一个一年期分项目，在科学和技术小组委员会第六十届会议和法律小组委员会第六十二届会议期间可进行进一步的讨论，为此，应在委员会第六十六届会议之前尽早向委员会各成员国通报在这方面达成的任何此类协议。",
"M. 委员会及其附属机构的工作安排",
"430. 委员会商定了委员会及其小组委员会2023年届会的以下暂定时间表：",
"日期 地点 \n科学和技术小组委员会\t2023年2月6日至17日\t维也纳\n法律小组委员会\t2023年3月20日至31日\t维也纳\n和平利用外层空间委员会\t2023年5月31日至6月9日\t维也纳",
"附件",
"关于空间与全球健康的决议草案",
"大会，",
"回顾其1996年12月13日第51/122号、1999年12月6日第54/68号、2004年10月20日第59/2号、2011年12月9日第66/71号、2014年12月5日第69/85号、2015年9月25日第70/1号、2016年12月6日第71/90号决议、2018年12月7日第73/91号和2021年10月25日第76/3号决议，",
"还回顾第三次联合国探索及和平利用外层空间会议通过的题为《空间千年：关于空间和人类发展的维也纳宣言》的决议所载建议，其中与会国呼吁采取行动，通过扩大和协调天基远程医疗服务和控制传染病来改善公共健康服务，[1]",
"进一步回顾第一次联合国探索及和平利用外层空间会议五十周年（外空会议+50）及其优先主题5：关于加强空间合作增进全球健康，",
"确认空间科学和技术及其应用对促进努力实现《2030年可持续发展议程》，[2]特别是关于确保所有年龄的人健康生活和增进人们福祉的可持续发展目标3的重要性，并意识到空间健康领域所做的工作可促进可持续发展，特别是旨在以各种方式提高生活质量的方案，包括改善人类健康的方案，",
"强调“空间2030”议程[3]的总体目标2内容为利用空间的潜力解决日常挑战并利用与空间有关的创新提高生活质量，这一目标可以通过以下方式实现：加强与空间有关的合作以支持全球健康；改善空间医学、科学和技术的使用和应用；全球健康领域的创新、合作与信息共享，同时保护个人数据隐私，运用相关工具改进公共健康及保健干预措施的科研进步、及时性和有效性；以及加强空间医学、科学和技术方面的能力建设，",
"确信和确认空间科学、空间技术和空间应用在以下方面的重要性和现有贡献：空间科学、空间技术和空间应用，以加强空间生命科学和诸如远程保健、远程医疗[4]和远程流行病学等数字保健技术，目标是预防和控制疾病和全球健康问题，促进人类健康、环境健康、动物健康和食物获取来源和供应，并推进医学研究和健康实践，包括向个人和社区提供保健服务，不论所在地理位置，以此作为一种手段，促进平等、可负担得起和遍及所有人的保健机会，",
"关切地注意到远程医疗和远程保健领域的差距包括公共卫生系统和保健工作吸纳数字技术的程度有限，以及各家医疗设备制造商之间缺乏协调统一的数据共享标准，",
"满意地注意到和平利用外层空间委员会及其附属机构和秘书处外层空间事务厅在空间与全球健康领域的工作，包括第6公共健康行动小组框架内开展的工作，该小组是为落实第三次联合国探索及和平利用外层空间会议的建议而设立的，并满意地注意到第6行动小组的后续行动、空间与全球健康问题专家组、关于加强空间合作促进全球健康的外空会议五十周年优先主题5，以及委员会科学和技术小组委员会空间与全球健康工作组开展的工作，欢迎该工作组关于根据其多年期工作计划开展的工作情况的报告，[5]",
"深切关注包括冠状病毒病（COVID-19）大流行等新出现的传染病及其他影响健康的突发事件对人类生活、社会和发展造成的破坏性全球影响，并敦促国际社会采纳“整体健康”做法，加强天基解决办法特别是远程保健在监测、防备和应对灾情活动中的作用，",
"1. 鼓励联合国各实体、政府间组织、各国政府和私营部门在与全球健康有关的所有关键空间活动中进行有效协调；",
"2. 鼓励卫生机构与空间机构在国内一级开展正规化合作，并欢迎促进空间部门与卫生部门之间思想交流的现有跨部门网络；",
"3. 鼓励成员国建立政策扶持的环境和治理机制，其中适当顾及法律和道德问题，以消除对于便利有效利用包括远程医疗解决方案等天基技术和其他新兴技术的挑战；",
"4. 还鼓励成员国在开发与全球健康有关的包括遥感和地球观测数据等所有地球空间信息及改进其获取途径方面尽可能促进开放式数据共享政策和参与式做法；",
"5. 进一步鼓励成员国实现组织上和技术上的相互可操作性，并促进研究和创新活动，以便利在卫生部门开发和实施天基科学和技术；",
"6. 敦促联合国各实体和政府间组织支持推广开发、公平获取和运用空间解决方案满足全球健康需求和公共健康需求，包括应对地区和全球范围的流行疾病，并应对可能影响到健康的突发事件及满足成员国的个人健康需求，并鼓励实施包括公私伙伴关系在内涉面更广的多项空间解决方案促进可持续发展；",
"7. 鼓励成员国和参与实体推进其对包括保健信息系统在内的所有保健系统相关资产进行地理标记所做努力，并将其用于进一步实现健康目标；",
"8. 鼓励成员国认识到利用空间环境和空间类似场景[6]对健康和生命科学研究与发展的相关意义，特别是宇航员健康方面可为地球上带来社会和经济惠益；",
"9. 还鼓励成员国在所有相关参与者机会均等基础上和为了人类进一步探索外层空间而积极促进空间医学领域的国际合作，并为了全球健康的利益，推进科学和技术发展及应用；",
"10. 进一步鼓励成员国进行适当的演练和演习，以对照基准测定本国业务准备状况和应对能力以及适当利用空间技术应付全球卫生事件的能力；",
"11. 欢迎建立一个设在日内瓦的专门的、合作性的、全球可查询的和多个侧面的“空间与全球健康平台”，以促进成员国、联合国实体、其他国际组织和相关行动方之间在空间与全球健康问题上的有效合作；",
"12. 强调应当每年监测和汇集涉及由联合国实体为利用空间增进全球健康而开展或筹备的所有关键活动、参考文件和计划，这类实体包括世界卫生组织、其他国际组织、和平利用外层空间委员会的成员国，并尽可能包括非政府组织及其他非政府行动方；还强调年度汇编的活动结果应作为一个参照，用以寻找差距和机会并就此展开讨论和广泛交流，以努力提高这一领域相关行动方的认识和促进相互间的合作；",
"13. 认识到应当分析并评估空间与全球健康领域当前各行动方的作用和兴趣，以促进所有行动方之间的协同互补及合作与协调；",
"14. 强调需要以公平和可持续方式加强部门间协调与合作，以便卓有成效地开展与全球健康领域空间科学与技术应用有关的国际、区域、国家和国内区域能力建设活动；",
"15. 鼓励成员国争取教学机构及其他能力建设机制参与尽早动员年轻卫生专业人员掌握空间相关技能和能力；",
"16. 赞同推动开展拟由联合国实体及其他相关行动方组织的能力建设活动，目标是进一步推动采用“整体健康”做法的行动方深化对空间科学和技术重要贡献的认识和参与，以期增加卫生领域积极参与利用空间科学和技术的组织及其他行动方的数量；",
"17. 请外层空间事务厅在现有资源范围内，通过区域技术合作项目加强非洲、亚洲太平洋以及拉丁美洲加勒比的能力建设和联网机制，并支持用以加强空间与全球卫生部门之间合作的实地项目，作为一项有效战略，促进更好地利用空间科学和技术为受益国获取全球卫生服务提供便利，并更好地利用双边或多边合作提供的机会；",
"18. 鼓励成员国增进学术界、国内专家、电信监管机关和科技管理机关之间的联系，以期改善在保健方面获取和使用数字技术和信息系统的状况。",
"[1] 《第三次联合国探索及和平利用外层空间会议的报告，1999年7月19日至30日，维也纳》（联合国出版物，出售品编号E.00.I.3），第一章，决议1。",
"[2] 第70/1号决议。",
"[3] 第76/3号决议。",
"[4] “远程医疗”一词广泛用于指使用电信、卫星通信和信息技术从远处提供临床保健，包括许多活动和相关细分领域，例如远程心脏病学、远程放射学、远程眼科、远程肿瘤学、远程药学、远程手术、远程皮肤病学和其他正在发展中的领域。",
"[5] A/AC.105/C.1/121。",
"[6] 空间类似场景包括抛物线飞行、卧床休息研究和南极考察，以及在地球上模拟空间环境的其他孤立、封闭和极端环境。"
] | [
"[]",
"United Nations",
"Report of the Committee on the Peaceful Uses of Outer Space",
"Sixty-fifth session",
"(1–10 June 2022)",
"General Assembly",
"Official Records Seventy-seventh Session Supplement No. 20",
"General Assembly",
"Official Records",
"Seventy-seventh Session",
"Supplement No. 20",
"Report of the Committee",
"on the Peaceful Uses of",
"Outer Space",
"Sixty-fifth session",
"(1–10 June 2022)",
"[] United Nations • New York, 2022",
"Note",
"Symbols of United Nations documents are composed of letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.",
"[30 June 2022]",
"Contents",
"Chapter Page\nI.Introduction 1 A. 1 \nMeetingsofsubsidiarybodies B. 1 Adoptionof \ntheagenda C. 2 Electionof \nofficers \nD.Membership 2\nE.Attendance 2 F. 3 \nGeneralstatements G. 7 Adoptionof thereportof \ntheCommittee II.Recommendations 7 and \ndecisions A. 7 Ways andmeansof maintainingouterspace for peaceful \npurposes B.Reportof 10 theScientific andTechnical Subcommitteeon its fifty-ninth \nsession 1.United 10 NationsProgrammeonSpace \nApplications 2.Spacetechnology 12 for sustainablesocioeconomic \ndevelopment 3. 12 Matters relatingtoremote sensingof theEarthbysatellite,including applications fordevelopingcountries andmonitoringof the Earth’s \nenvironment \n4.Spacedebris 135.Space-system-based 14 disastermanagement \nsupport 6.Recent 15 developmentsinglobalnavigationsatellite \nsystems 7.Space 15 \nweather 8.Near-Earth 16 \nobjects \n9.Long-termsustainabilityofouterspaceactivities 1610.Future 19 role andmethodof workof \ntheCommittee 11. 19 Useof nuclearpower \nsourcesinouterspace 12.Space 20 \nandglobalhealth 13. 21 Examinationof the physicalnature andtechnicalattributesof thegeostationaryorbit and its utilization andapplications,includingin thefieldofspace communications,as wellasotherquestions relatingto developmentsinspace communications,takingparticular accountof theneeds andinterestsofdevelopingcountries, withoutprejudiceto the roleof \ntheInternationalTelecommunicationUnion 14. 21 General exchangeofviewson dark andquietskies for science and \nsociety 15.Draft 22 provisionalagenda for the sixtieth sessionof theScientific andTechnical \nSubcommittee C.Reportof 23 theLegal Subcommitteeon its sixty-first \nsession 1. 24 Informationon theactivitiesofinternationalintergovernmental and non-governmentalorganizations relatingtospace \n law 2.Status 24 and applicationof the fiveUnited Nations \ntreatiesonouterspace 3. 25 Matters relatingto thedefinition and delimitationofouterspace and thecharacter and utilizationof thegeostationaryorbit,includingconsiderationof ways andmeanstoensure the rational andequitable useof thegeostationaryorbit withoutprejudiceto the roleof \ntheInternationalTelecommunicationUnion 4. 25 National legislation relevantto the peaceful exploration and \nuseofouterspace 5.Capacity-buildinginspace 26 \n law 6.Future 26 role andmethodof workof \ntheCommittee 7. 27 General exchangeof information andviewsonlegalmechanisms relatingtospacedebrismitigation and remediationmeasures,taking into account the workof theScientific andTechnical \nSubcommittee 8. 28 General exchangeof informationon non-legally bindingUnited Nations \ninstrumentsonouterspace 9. 28 General exchangeofviewson thelegal aspectsofspace \ntrafficmanagement 10. 29 General exchangeofviewson the applicationofinternational lawto \nsmall-satelliteactivities 11. 30 General exchangeofviewsonpotentiallegalmodels foractivitiesin the exploration, exploitation and \nutilizationofspaceresources 12.Proposalsto 32 theCommitteeon the Peaceful UsesofOuterSpace for newitemstobeconsideredby theLegal Subcommitteeat its sixty-second \nsession D.Space 33 and sustainable \ndevelopment E. 35 Spin-off benefitsofspace technology:reviewof \ncurrentstatus F.Space 36 \nandwater G.Space 37 and \nclimatechange H. 39 Useofspacetechnologyin theUnited \nNationssystem I.Future 40 role andmethodof workof \ntheCommittee J.Space 42 exploration \nandinnovation K. 45 \n“Space2030”agenda L.Other 46 \nmatters 1. 47 Compositionof the bureauxof theCommittee and itssubsidiarybodies for \ntheperiod2024–2025 2.Membershipof 47 \ntheCommittee 3. 47 \nObserverstatus 4.Other 48 \nmatters 5.Programme5,“Peaceful 49 usesofouter space”: proposedprogramme plan for theperiod 2023 andprogramme performance for \n 2021 6.Draft 49 provisionalagenda for the sixty-sixth sessionof \ntheCommittee M. 50 Scheduleof workof theCommittee and \nitssubsidiarybodies \nAnnex Draftresolutiononspace 51 \nandglobalhealth",
"Chapter I",
"Introduction",
"1. The Committee on the Peaceful Uses of Outer Space held its sixty-fifth session in Vienna from 1 to 10 June 2022, in a hybrid format (in person and online). The officers of the Committee were as follows:",
"Chair Omran Sharaf (United Arab Emirates)",
"First Vice-Chair Jenni Tapio (Finland)",
"Second Vice-Chair/Rapporteur Oleg Ventskovsky (Ukraine)",
"A. Meetings of subsidiary bodies",
"2. The Scientific and Technical Subcommittee of the Committee on the Peaceful Uses of Outer Space held its fifty-ninth session in Vienna from 7 to 18 February 2022, in a hybrid format, with Juan Francisco Facetti (Paraguay) as Chair. The report of the Subcommittee was before the Committee (A/AC.105/1258).",
"3. The Legal Subcommittee of the Committee on the Peaceful Uses of Outer Space held its sixty-first session in Vienna from 28 March to 8 April 2022, also in a hybrid format, with Nomfuneko Majaja (South Africa) as Chair. The report of the Subcommittee was before the Committee (A/AC.105/1260).",
"B. Adoption of the agenda",
"4. At its 786th meeting, on 1 June, the Committee adopted the following agenda:",
"1. Opening of the session.",
"2. Adoption of the agenda.",
"3. Election of officers.",
"4. Statement by the Chair.",
"5. General exchange of views.",
"6. Ways and means of maintaining outer space for peaceful purposes.",
"7. Report of the Scientific and Technical Subcommittee on its fifty-ninth session.",
"8. Report of the Legal Subcommittee on its sixty-first session.",
"9. Space and sustainable development.",
"10. Spin-off benefits of space technology: review of current status.",
"11. Space and water.",
"12. Space and climate change.",
"13. Use of space technology in the United Nations system.",
"14. Future role and method of work of the Committee.",
"15. Space exploration and innovation.",
"16. “Space2030” Agenda.",
"17. Other matters.",
"18. Report of the Committee to the General Assembly.",
"C. Election of officers",
"5. At the 786th meeting of the Committee, on 1 June, Omran Sharaf (United Arab Emirates) was elected Chair of the Committee, Jenni Tapio (Finland) was elected First Vice-Chair, and Oleg Ventskovsky (Ukraine) was elected Second Vice-Chair/Rapporteur for the period 2022–2023.",
"6. At the same meeting, the Committee endorsed the election of Juan Francisco Facetti (Paraguay) as Chair of the Scientific and Technical Subcommittee and Nomfuneko Majaja (South Africa) as Chair of the Legal Subcommittee for the period 2022–2023.",
"D. Membership",
"7. In accordance with General Assembly resolutions 1472 A (XIV), 1721 E (XVI), 3182 (XXVIII), 32/196 B, 35/16, 49/33, 56/51, 57/116, 59/116, 62/217, 65/97, 66/71, 68/75, 69/85, 71/90, 72/77, 74/82, 76/76 and decisions 45/315, 67/412, 67/528, 70/518 and 73/517, the Committee on the Peaceful Uses of Outer Space was composed of the following 100 States: Albania, Algeria, Angola, Argentina, Armenia, Australia, Austria, Azerbaijan, Bahrain, Bangladesh, Belarus, Belgium, Benin, Bolivia (Plurinational State of), Brazil, Bulgaria, Burkina Faso, Cameroon, Canada, Chad, Chile, China, Colombia, Costa Rica, Cuba, Cyprus, Czechia, Denmark, Dominican Republic, Ecuador, Egypt, El Salvador, Ethiopia, Finland, France, Germany, Ghana, Greece, Hungary, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Japan, Jordan, Kazakhstan, Kenya, Kuwait, Lebanon, Libya, Luxembourg, Malaysia, Mauritius, Mexico, Mongolia, Morocco, Netherlands, New Zealand, Nicaragua, Niger, Nigeria, Norway, Oman, Pakistan, Panama, Paraguay, Peru, Philippines, Poland, Portugal, Qatar, Republic of Korea, Romania, Russian Federation, Rwanda, Saudi Arabia, Senegal, Sierra Leone, Singapore, Slovakia, Slovenia, South Africa, Spain, Sri Lanka, Sudan, Sweden, Switzerland, Syrian Arab Republic, Thailand, Tunisia, Türkiye, Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Venezuela (Bolivarian Republic of) and Viet Nam.",
"E. Attendance",
"8. Representatives of the following 84 States members of the Committee attended the session: Algeria, Angola, Argentina, Armenia, Australia, Austria, Azerbaijan, Bangladesh, Belarus, Belgium, Brazil, Bulgaria, Burkina Faso, Canada, Chile, China, Colombia, Costa Rica, Cuba, Cyprus, Czechia, Denmark, Dominican Republic, Ecuador, Egypt, El Salvador, Finland, France, Germany, Ghana, Greece, Hungary, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Japan, Jordan, Kazakhstan, Kenya, Kuwait, Lebanon, Luxembourg, Malaysia, Mauritius, Mexico, Morocco, Netherlands, New Zealand, Nigeria, Norway, Oman, Pakistan, Panama, Paraguay, Peru, Philippines, Poland, Portugal, Qatar, Republic of Korea, Romania, Russian Federation, Saudi Arabia, Singapore, Slovakia, Slovenia, South Africa, Spain, Sri Lanka, Sweden, Switzerland, Syrian Arab Republic, Thailand, Tunisia, Türkiye, Ukraine, United Arab Emirates, United Kingdom, United States, Uruguay and Venezuela (Bolivarian Republic of).",
"9. The session was attended by representatives of the European Union, in its capacity as permanent observer of the Committee and in accordance with General Assembly resolutions 65/276 and 73/91.",
"10. At its 786th meeting, the Committee decided to admit Uzbekistan as an observer, at its request, to attend the session and to address it, as appropriate, on the understanding that it would be without prejudice to further requests of that nature and that doing so would not involve any decision of the Committee concerning status.",
"11. At its 786th meeting, the Committee also decided to admit the Holy See as an observer, at its request, to attend the session and to address it, as appropriate, on the understanding that it would be without prejudice to further requests of that nature and that doing so would not involve any decision of the Committee concerning status.",
"12. Observers for the Food and Agriculture Organization of the United Nations, the International Atomic Energy Agency, the International Civil Aviation Organization, the International Telecommunications Union and the Office for Disarmament Affairs of the Secretariat attended the session.",
"13. The session was attended by observers for the following intergovernmental organizations having permanent observer status with the Committee: Asia-Pacific Space Cooperation Organization (APSCO), Committee on Earth Observation Satellites (CEOS), European Organization for Astronomical Research in the Southern Hemisphere, European Space Agency (ESA), European Telecommunications Satellite Organization, International Institute for the Unification of Private Law (UNIDROIT), International Organization of Space Communications (Intersputnik) and Square Kilometre Array Observatory.",
"14. The session was also attended by observers for the following non-governmental organizations having permanent observer status with the Committee: For All Moonkind, International Astronautical Federation (IAF), International Astronomical Union (IAU), International Institute of Space Law (IISL), International Law Association (ILA), Moon Village Association (MVA), National Space Society (NSS), Open Lunar Foundation, Prince Sultan bin Abdulaziz International Prize for Water (PSIPW), Scientific Committee on Solar-Terrestrial Physics (SCOSTEP), Secure World Foundation, Space Generation Advisory Council (SGAC), University Space Engineering Consortium-Global (UNISEC-Global) and World Space Week Association.",
"15. At its 786th meeting, the Committee decided to admit the Hague Institute for Global Justice as an observer, at its request, to attend the session and to address it, as appropriate, on the understanding that it would be without prejudice to further requests of that nature and that doing so would not involve any decision of the Committee concerning status.",
"16. A list of representatives of States members of the Committee, United Nations entities and other organizations attending the session is contained in A/AC.105/2022/INF/1.",
"F. General statements",
"17. Statements were made by representatives of the following States members of the Committee during the general exchange of views: Algeria, Angola, Argentina, Armenia, Australia, Austria, Bangladesh, Belarus, Belgium, Brazil, Canada, Chile, China, Colombia, Costa Rica, Cuba, Czechia, Dominican Republic, Ecuador, Egypt, Finland, France, Germany, Greece, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Japan, Kenya, Luxembourg, Malaysia, Mexico, Morocco, Netherlands, New Zealand, Nigeria, Norway, Pakistan, Paraguay, Peru, Philippines, Portugal, Qatar, Republic of Korea, Romania, Russian Federation, Singapore, Slovenia, South Africa, Spain, Sweden, Switzerland, Thailand, Türkiye, Ukraine, United Arab Emirates, United Kingdom, United States, Uruguay and Venezuela (Bolivarian Republic of). The representative of Tunisia made a statement on behalf of the Group of 77 and China. The representative of Egypt made a statement on behalf of the Group of African States. The representative of the European Union, in its capacity as permanent observer, made a statement on behalf of the European Union and its member States. Further statements were made by the observers for APSCO, CEOS, the European Telecommunications Satellite Organization, For All Moonkind, the Hague Institute for Global Justice, IAF, IISL, the National Space Society, the Open Lunar Foundation, SGAC, the Square Kilometre Array Observatory, UNIDROIT, UNISEC-Global and World Space Week Association.",
"18. The Committee expressed its appreciation to Marius-Ioan Piso (Romania), the outgoing Chair, Francis Chizea (Nigeria), the outgoing First Vice-Chair, and Nicolás Botero Varón (Colombia), the outgoing Second Vice-Chair/Rapporteur, for their excellent work and achievements during their terms of office.",
"19. At the 786th meeting, on 1 June, the Chair delivered a statement in which he recalled that 2022 had marked the sixty-fifth anniversary of the launch into outer space of the first human-made Earth satellite, Sputnik 1, the fifty-fifth anniversary of the entry into force of the Outer Space Treaty and the fiftieth anniversary of the Land Remote Sensing Satellite (Landsat) programme. He highlighted the importance of strengthening international collaboration, promoting compliance with the United Nations treaties on outer space, fostering fair access to space and encouraging knowledge-sharing initiatives. He also stressed the role of research and development in space science and technology as fundamental for sustainable development on Earth, the protection and preservation of the outer space environment and the exploration of the universe.",
"20. The Chair warmly welcomed Angola, Bangladesh, Kuwait, Panama and Slovenia as the newest members of the Committee, which brought the membership of the Committee to the milestone number of 100 member States. The Chair also welcomed the Open Lunar Foundation, the Square Kilometre Array Observatory and UNIDROIT as the newest international intergovernmental and non-governmental organizations with observer status with the Committee.",
"21. Also at the 786th meeting, the Acting Director of the Office for Outer Space Affairs made a statement in which he reviewed the work carried out by the Office. He stressed how the Office had continued to adapt to the challenges posed by the ongoing coronavirus disease (COVID-19) pandemic, adopting and making use of new solutions and applying them across the range of activities to ensure service delivery and a results-driven approach. The demand for the services provided by the Office to Member States continued to expand, and in that context he underlined the current and upcoming activities of the Office, including those conducted in partnership with various stakeholders, in particular for the benefit of developing countries. The Acting Director also announced that he would retire from the Office in the coming months.",
"22. The Committee expressed its deep appreciation to the Acting Director of the Office for Outer Space Affairs, Niklas Hedman, who had provided valuable long-standing support for the international cooperation in the peaceful uses of outer space, in particular in the role of Secretary of the Committee and its subcommittees for more than a decade and a half.",
"23. The Committee heard the following presentations:",
"(a) “CONAE space plan”, by the representative of Argentina;",
"(b) “Projection of the national space system”, by the representative of Chile;",
"(c) “BeiDou Navigation Satellite System: sharing of application cases”, by the representative of China;",
"(d) “The Iranian CanSat competition”, by the representative of the Islamic Republic of Iran;",
"(e) “Progress and plans for deep space human exploration”, by the representative of the United States;",
"(f) “The imperative to protect cultural heritage in outer space”, by the observer for For All Moonkind;",
"(g) “A united voice for youth in space policy and advocacy: introducing the Space Generation Advocacy and Policy Platform (SGAPP)”, by the observer for SGAC.",
"24. The Committee noted that space activities had continued to intensify in recent years, with increasingly more actors entering the space arena and significantly more objects being launched into outer space.",
"25. The Committee agreed that, together with its subcommittees, and with the support of the Office for Outer Space Affairs, the Committee remained the unique international forum tasked with promoting international cooperation in the exploration and peaceful use of outer space.",
"26. The Committee agreed that the increasing number of States becoming members of the Committee in recent years was a clear signal of the international recognition of the value of the work of the intergovernmental body.",
"27. Some delegations expressed the view that a rules-based international system, with the United Nations at its core, and a multilateral approach to international affairs should be supported, and that the Committee contributed to that system, including through the development of international space law, international norms and standards, guidelines, best practices and other transparency and confidence-building measures.",
"28. The view was expressed that, with a view to addressing the challenges arising from the continuous development of outer space activities, it was imperative to uphold an international order in outer space based on international law, with the United Nations at its core.",
"29. Some delegations expressed the view that the international community should make further efforts and explore all possible ways and means of making full use of the Committee and its subcommittees to achieve the common objectives of all nations on space-related issues.",
"30. Some delegations expressed the view that universal and equal access to outer space for all countries without discrimination, equitable and rational use of outer space for the benefit and in the interests of all humankind, the principle of non-appropriation of outer space, including the Moon and other celestial bodies, international cooperation in the development of space activities, and the prevention of an arms race in outer space and placement of weapons of any kind in outer space were the most important principles that should govern the activities in outer space.",
"31. Some delegations expressed the view that while some countries had reached important milestones in space activities, others were only starting to develop their own space programmes and policies and that it was crucial that developing countries not be left behind or unfairly disadvantaged by space exploration efforts. Therefore, capacity-building and technical assistance were key factors for expanding the abilities of those working in the field, enabling them to gain expertise and knowledge from more advanced spacefaring nations.",
"32. Some delegations underlined the contribution of the Space Climate Observatory in the evaluation of space data to respond to climate change. It was noted that the Space Climate Observatory was available to participate in the deliberations for preparing the Committee’s contribution to the Summit of the Future.",
"33. Some delegations expressed the view that the use and exploration of outer space were to be carried out exclusively for peaceful purposes, with a view to realizing a shared vision for the future, for the benefit and in the interests of all countries, irrespective of their degree of economic or scientific development, and in conformity with the body of applicable international law.",
"34. Some delegations expressed the view that the Committee should give more dedicated consideration to addressing the challenges posed by the placement of megaconstellations in low Earth orbit, including those considerations related to the sustainable and equitable use of orbits and frequencies as well as accessibility of outer space.",
"35. Some delegations expressed the view that the Scientific and Technical Subcommittee and the Legal Subcommittee should work more closely with each other, in particular on overlapping and interrelated subject matters.",
"36. Some delegations noted with regret one State’s decision to conduct the intentional destruction of its own spacecraft with a direct-ascent anti-satellite missile, resulting in debris that threatened human and robotic space flight, noted the need to implement the Space Debris Mitigation Guidelines of the Committee and debris-related Guidelines for the Long-term Sustainability of Outer Space Activities to their fullest extent, and welcomed commitments to refrain from destructive direct-ascent anti-satellite missile testing.",
"37. The view was expressed that the Committee and its secretariat should continue initiatives and study ways to further enable closer coordination and engagement on the work of the two subcommittees, and with bodies that were closely interlinked with the mandate of the Committee, such as other United Nations bodies and other international organizations, when applicable, as this would ensure coordinated, relevant and timely resolution of cross-cutting issues.",
"38. Some delegations expressed the view that the growing support for the Artemis Accords on the Principles for Cooperation in the Civil Exploration and Use of the Moon, Mars, Comets, and Asteroids for Peaceful Purposes demonstrated the value of the Accords as an operational framework to ensure that the peaceful exploration of space remained transparent, safe and sustainable.",
"39. Some delegations expressed the view that cooperation on the international lunar research station initiated by China and the Russian Federation was advancing and provided new opportunities for space exploration for all interested partners.",
"40. Some delegations reiterated their opposition to the establishment of a new regional centre for space science and technology education in the Eurasian region, affiliated to the United Nations, hosted by the Roscosmos Corporate Academy, as proposed by the Government of the Russian Federation. Those delegations were also of the view that although the General Assembly, in its resolution 76/76, had noted with satisfaction the progress in the establishment of the regional centre, in the light of recent developments, they were not in a position to accept any affiliation of that regional centre to the United Nations.",
"41. The view was expressed that the Committee, at its sixty-fourth session, had noted that the evaluation mission on the proposed establishment of the regional centre had resulted in a recommendation to accept the offer of the Russian Federation to establish the regional centre, that the Committee had welcomed the progress on the establishment of the regional centre, and that therefore no additional agreement was required by the Committee. The delegation expressing that view also informed the Committee that the centre was already operational and providing services. Over 100 applicants from various countries in the region have been successfully accepted by the Centre as students.",
"42. Some delegations called for refraining from adding a political dimension to space technologies or services, in particular by naming a launcher after a region involved in a conflict.",
"43. The view was expressed that spacefaring nations possessing advanced space launch technologies preserve the full right to name their space launch vehicles and spaceships as they find appropriate.",
"44. The Committee welcomed the publication by the Office for Outer Space Affairs of its Annual Report 2021, which contained a comprehensive account of the Office’s activities, cooperation, partnership programmes and achievements in 2021.",
"45. The Committee noted with appreciation the exhibitions presented in the Rotunda of the Vienna International Centre in conjunction with its sixty-fifth session: an exhibition on the E.T.PACK project, a technological solution for the space debris proliferation problem, organized by Spain; an exhibition on the Artemis Accords, organized by the United States; and an exhibition entitled “Inspiring stars”, on the concept of inclusion, organized by IAU.",
"46. The Committee noted with appreciation the donation by the Government of Poland to the permanent exhibit of the Office for Outer Space Affairs of a painting of Manfred Lachs, the first Chair of the Legal Subcommittee and one of the most influential scholars in international space law.",
"47. The Committee expressed its appreciation for the organization of the following events during the session:",
"(a) “Advancing #GenderEquality in Space”, organized by the Republic of Korea and the Office for Outer Space Affairs;",
"(b) “Emerging Space@COPUOS 2022”, organized by Slovakia;",
"(c) “Awareness-raising and capacity-building related to the implementation of the Guidelines for the Long-term Sustainability of Outer Space Activities (LTS Guidelines): stakeholder study report”, organized by the United Kingdom and the Office for Outer Space Affairs;",
"(d) “Youth space exchanges and opportunities”, organized by the United States and the Office for Outer Space Affairs;",
"(e) “Progressing lunar policy: a round table”, organized by Moon Village Association, the Open Lunar Foundation, the Secure World Foundation and SGAC;",
"(f) “Access to Space for All: opportunities for Member States”, organized by the Office for Outer Space Affairs;",
"(g) “Virtual briefing for COPUOS delegates: what is UNOOSA and why is it relevant for you?”, organized by the Office for Outer Space Affairs.",
"G. Adoption of the report of the Committee",
"48. After considering the various items before it, the Committee, at its 801st meeting, on 10 June 2022, adopted its report to the General Assembly containing the recommendations and decisions set out below.",
"Chapter II",
"Recommendations and decisions",
"A. Ways and means of maintaining outer space for peaceful purposes",
"49. In accordance with General Assembly resolution 76/76, the Committee continued its consideration, as a matter of priority, of ways and means of maintaining outer space for peaceful purposes and its consideration of the broader perspective of space security and associated matters that would be instrumental in ensuring the safe and responsible conduct of space activities, including ways to promote international, regional and interregional cooperation to that end.",
"50. The representatives of Brazil, Canada, China, India, Indonesia, Iran (Islamic Republic of), Japan, Mexico, the Netherlands, the Republic of Korea, the Russian Federation, the United Arab Emirates, the United States and Venezuela (Bolivarian Republic of) made statements under this item. A statement was also made by the observer for the Secure World Foundation. During the general exchange of views, statements relating to the item were also made by other member States.",
"51. The Committee heard the following presentations:",
"(a) “Micro-space debris detection with ADLER-1”, by the representative of Austria;",
"(b) “Mapping collision risk in low Earth orbit”, by the representative of the United States;",
"(c) “Opportunities and practices to enhance space safety and sustainability”, by the representative of the United States;",
"(d) “Safety norms for space security: how the development of norms can strengthen the peaceful purposes principle”, by the observer for SGAC.",
"52. The Committee agreed that through its work in the scientific, technical and legal fields, as well as through the promotion of international dialogue and the exchange of information on various topics relating to the exploration and use of outer space, it had a fundamental role to play in ensuring that outer space was maintained for peaceful purposes.",
"53. Some delegations expressed the view that it was the responsibility of all spacefaring nations to preserve and promote the benefits of outer space for all, through the advances made in space technology and its applications.",
"54. Some delegations expressed the view that in order to ensure the sustainable and peaceful use of outer space, it was crucial that outer space activities were carried out in accordance with international law, rules, regulations and norms.",
"55. Some delegations expressed the view that transparency and confidence-building measures were essential to ensuring the peaceful uses of outer space. The same delegations referred to the report of the Group of Governmental Experts on Transparency and Confidence-Building Measures in Outer Space Activities (A/68/189) of 2013 and encouraged States to implement its recommendations and appropriate measures.",
"56. Some delegations expressed the view that although the Committee was not a forum dedicated to disarmament in outer space, it still played a fundamental and unique role in global governance and international cooperation on outer space and should strengthen that role.",
"57. Some delegations expressed the view that the Committee’s work in a wide range of fields ensured the peaceful use of outer space and was a key factor in preventing the risk of an arms race and the militarization of outer space and that therefore the Committee’s work complemented and supported other forums for preventing an arms race in outer space.",
"58. Some delegations reaffirmed that issues specifically associated with the prevention of an arms race in outer space and the use of outer space for national security activities and related matters were more appropriately discussed in forums whose mandates focused on those issues, such as the Conference on Disarmament, the Disarmament Commission and the First Committee of the General Assembly.",
"59. Some delegations expressed the view that norms could create the climate of confidence that was necessary to develop future legally binding measures governing space and, in that context, welcomed the report of the Secretary-General on reducing space threats through norms, rules and principles of responsible behaviours (A/76/77) and the work of the open-ended working group on reducing space threats through norms, rules and principles of responsible behaviours because it deepened the discussion on space norms.",
"60. Some delegations expressed the view that the threat of militarization of outer space underscored the importance of international dialogue and negotiation aimed at creating legally binding norms for transparency and confidence-building because non-legally binding measures did not sufficiently address the threat of an arms race in outer space. The delegations expressing that view also found it fundamental that legally binding measures should focus on reaffirming the shared interest of outer space for peaceful use and purposes, in accordance with the existing principles of international law.",
"61. Some delegations reaffirmed that it was crucial to prevent an arms race in outer space and the placement of weapons of any kind in outer space, and called upon all States, in particular those with major space capabilities, to contribute actively to the peaceful use of outer space in order to prevent its militarization and to refrain from placing weapons of any kind in outer space or any other action contrary to that objective. The delegations expressing that view were also of the view that the preservation of the outer space environment in the long term required the commitment of the international community to ensuring that no weapons were ever placed in outer space.",
"62. Some delegations reiterated that more consideration should be given to the draft treaty on the prevention of the placement of weapons in outer space and of the threat of use of force against space objects, prepared by China and the Russian Federation, as it paved the way for ensuring the use of outer space for peaceful purposes.",
"63. Some delegations expressed the view that the intentional destruction of space objects generating large amounts of space debris indiscriminately increased the risk of collisions of on-orbit space objects and was an irresponsible behaviour that would undermine the sustainable and stable use of outer space.",
"64. Some delegations expressed concern about anti-satellite tests that generated space debris and emphasized that States should refrain from using or testing those capabilities. The delegations expressing that view were also of the view that the recent announcement by the United States, followed by Canada, committing not to conduct destructive direct-ascent anti-satellite missile testing was a positive step towards formulating norms of responsible behaviour in outer space.",
"65. The view was expressed that it was doubtful that such an initiative was effective for maintaining space for peaceful purposes. The same delegation expressed the view that the commitment not to test certain types of anti-satellite weapons did not mean a commitment not to use them.",
"66. The view was expressed that the Committee should remain a platform for non-politicized discussions and should promote the development of doctrinal guidelines of States and intergovernmental organizations aimed at preserving outer space for peaceful purposes, thereby maintaining international peace and security and strengthen international cooperation and mutual understanding.",
"67. The view was expressed that the Committee should focus on the challenges posed by the development of commercial space flight, promote the strengthening of effective national regulations on commercial space participation in military activities, and ensure that space activities of non-governmental entities were consistent with peaceful purposes, and at the same time enhance transparency at the international level. It was also necessary to attach importance to the safety of outer space activities and strengthen research, hold extensive discussions and seek solutions to the safety risks posed by megaconstellations.",
"68. The Committee noted that Africa Space Week would be held in Nairobi in September 2022 and would provide an innovative platform for African space industry stakeholders to deliberate on expanding Africa’s space industry and strengthen efforts to promote and enable intra-Africa and international cooperation on space activities.",
"69. The Committee noted that the twenty-seventh session of the Asia-Pacific Regional Space Agency Forum, on the theme “Expand space innovation through diverse partnerships”, had been held online from 30 November to 3 December 2021.",
"70. The Committee noted that the fifteenth meeting of the Council of APSCO had been held online from 9 to 11 November 2021. The Council had approved the APSCO project implementation plan for 2021–2025 and the amendment of the rules on cooperative activities of APSCO.",
"71. The Committee recommended that, at its sixty-sixth session, in 2023, consideration of the item on ways and means of maintaining outer space for peaceful purposes should be continued, on a priority basis.",
"B. Report of the Scientific and Technical Subcommittee on its fifty-ninth session",
"72. The Committee took note with appreciation of the report of the Scientific and Technical Subcommittee on its fifty-ninth session (A/AC.105/1258), which contained the results of its deliberations on the items considered by the Subcommittee in accordance with General Assembly resolution 76/76.",
"73. The Committee expressed its appreciation to Juan Francisco Facetti (Paraguay) for his able leadership as Chair during the fifty-ninth session of the Subcommittee.",
"74. The representatives of Australia, Austria, Brazil, Canada, Chile, China, Finland, Germany, Indonesia, Iran (Islamic Republic of), Italy, Japan, the Russian Federation, South Africa, Switzerland, the United Kingdom, the United States and Venezuela (Bolivarian Republic of) made statements under the item. The representative of Morocco made a statement on behalf of the Group of 77 and China. The observer for IAU also made a statement. During the general exchange of views, statements relating to the item were also made by other member States.",
"75. The Committee heard the following presentations:",
"(a) “HERA mission: three-dimensional vision processing and visualization methods to analyse the DART impact on Dimorphos”, by the representative of Austria;",
"(b) “Real-time Earth observation for responsive disaster management”, by the representatives of Austria;",
"(c) “LEO megaconstellations are deeply influencing space activities of the world”, by the representative of China;",
"(d) “The impact of the Double Asteroid Redirection Test”, by the representative of the United States.",
"1. United Nations Programme on Space Applications",
"(a) Activities of the United Nations Programme on Space Applications",
"76. The Committee took note of the discussion of the Subcommittee under the item on the activities of the United Nations Programme on Space Applications, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 54–74).",
"77. The Committee noted that the priority areas of the Programme were environmental monitoring, natural resource management, satellite communications, disaster risk reduction, the use of global navigation satellite systems (GNSS), the Basic Space Science Initiative, climate change, the Basic Space Technology Initiative, the Human Space Technology Initiative, and biodiversity and ecosystems.",
"78. The Committee took note of the activities of the Programme carried out in 2021 and planned for 2022, as presented in the report of the Subcommittee (A/AC.105/1258, paras. 59–69).",
"79. The Committee expressed its appreciation to the Office for Outer Space Affairs for the manner in which the activities of the Programme had been implemented, in particular, in 2021, with the limited funds available. The Committee also expressed its appreciation to the Governments and intergovernmental and non-governmental organizations that had sponsored the activities. The Committee noted with satisfaction that further progress was being made in the implementation of the activities of the Programme for 2022.",
"80. The Committee expressed its concern that the financial resources available to the United Nations Programme on Space Applications remained limited and emphasized that it was important that the Office was equipped with the necessary resources, including sufficient funding, to assist a greater number of countries in having access to the benefits of space science and technology and its applications in line with the spirit of the Outer Space Treaty as well as the “Space2030” Agenda.",
"81. The Committee noted that CubeSats developed by teams from Kenya, Guatemala and Mauritius, winners in the first, second and third rounds, respectively, had been deployed from the International Space Station through the United Nations/Japan Cooperation Programme on CubeSat Deployment from the International Space Station Japanese Experiment Module, known as “KiboCUBE”. Teams from Indonesia, the Republic of Moldova and the Central American Integration System (SICA), winners in the third, fourth and fifth rounds, respectively, were currently developing their CubeSats under the programme. The Committee further noted that the KiboCUBE programme had become an essential tool for capacity-building in space science and technology and that, in that regard, the Office for Outer Space Affairs and the Japan Aerospace Exploration Agency (JAXA) had announced the extension of the KiboCUBE programme until the end of December 2024 and had added a new educational opportunity called “KiboCUBE Academy”.",
"82. The Committee noted that the United Nations Programme on Space Applications continued to implement the Access to Space for All initiative, which was focused on developing the capacity of Member States to access the benefits of space and which offered to its partners research opportunities to develop the technologies needed to send hardware into space, access to unique ground and orbital facilities for experiments in microgravity and access to space data and training on their use, including the use of astronomical data, placing those countries in the international space arena and enabling in-depth capacity-building in space science and technology.",
"83. The Committee requested the Office for Outer Space Affairs to continue to work with the Scientific and Technical Subcommittee on defining the priorities of the Programme.",
"84. The Committee noted with satisfaction that the United Nations Programme on Space Applications had continued to emphasize, promote and foster cooperation with Member States at the regional and global levels to support the regional centres for space science and technology education, affiliated to the United Nations.",
"85. The Committee noted that the Office for Outer Space Affairs continued to closely collaborate with the regional centres for space science and technology education, affiliated to the United Nations, namely the African Regional Centre for Space Science and Technology Education – in English Language, the African Regional Centre for Space Science and Technology – in French Language; the Centre for Space Science and Technology Education in Asia and the Pacific, the Regional Centre for Space Science and Technology Education for Latin America and the Caribbean, the Regional Centre for Space Science and Technology Education for Western Asia and the Regional Centre for Space Science and Technology Education in Asia and the Pacific (China). In that connection, the Committee noted with appreciation that the host countries of the regional centres for space science and technology education, affiliated to the United Nations, were providing significant financial and in-kind support to the centres.",
"(b) International Satellite System for Search and Rescue",
"86. The Committee noted with satisfaction that the International Satellite System for Search and Rescue (COSPAS-SARSAT), which provided worldwide coverage of emergency beacons, carried on vessels and aircraft and by individual users around the world, currently had 43 member States and 2 participating organizations. The Committee also noted that in 2021 the programme had helped to rescue 330 people from potentially life-threatening situations throughout the United States and its surrounding waters, and since 1982, the start of the programme, COSPAS-SARSAT had supported more than 48,000 rescues worldwide.",
"2. Space technology for sustainable socioeconomic development",
"87. The Committee took note of the discussion of the Subcommittee under the item on space technology for sustainable socioeconomic development, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 79–88).",
"88. The Committee endorsed the decisions and recommendations of the Subcommittee on the item (A/AC.105/1258, para. 88).",
"89. The Committee took note of the report of the Working Group of the Whole of the Scientific and Technical Subcommittee, reconvened under the chairmanship of Prakash Chauhan (India) as Chair (A/AC.105/1258, annex I).",
"90. Some delegations expressed the view that space science and technology and their applications were essential to effectively addressing current and future challenges to social and economic development and sustainability, such as natural disasters, food security, climate change and natural resource security, and noted that space activities were crucial to realizing the Sustainable Development Goals and the “Space2030” Agenda, in particular as part of efforts to support sustainable economic growth, improve the quality of life and manage the global environment. The delegations expressing that view were also of the view that it was important to ensure that the Office was equipped with the necessary resources, including sufficient funding, to assist a greater number of countries in gaining access to the benefits of space science and technology and their applications.",
"3. Matters relating to remote sensing of the Earth by satellite, including applications for developing countries and monitoring of the Earth’s environment",
"91. The Committee took note of the discussion of the Subcommittee under the item on matters relating to remote sensing of the Earth by satellite, including applications for developing countries and monitoring of the Earth’s environment, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 89–98).",
"92. The Committee noted that international and regional initiatives of States used remote sensing data to support sustainable socioeconomic development, in particular for the benefit of developing countries.",
"93. In the course of the discussions, delegations were informed of the critical role that remote sensing played in well-informed decision-making and of cooperation programmes at the national and international levels that utilized space-derived data and applications. Examples included services for territorial mapping and border security, land-use planning, management of natural and mineral resources, forestry, the identification and recording of property rights, tools for mapping vegetation, crops and soil and watershed and hydrologic features to support precision agriculture and rural planning, the identification of arable land, irrigation and groundwater detection, meteorology and weather forecasting and early warning of severe storms, disaster management and emergency response, climate change and environmental protection, oceanographic temperature and sea level monitoring, monitoring air quality for aerosols and pollutants, including the monitoring of essential climate variables to contribute to international studies, promoting sustainable development, ecosystems management, glacier and snowfall mapping and studies, crop and soil monitoring for irrigation and groundwater detection, space weather monitoring and early warning systems to protect critical infrastructure and animal movement monitoring.",
"94. The Committee noted that important initiatives such as the Group on Earth Observations (GEO) and CEOS played an important role in promoting and facilitating the sharing of remote sensing data, and, in this regard, welcomed the continued commitment of many Member States in that area.",
"4. Space debris",
"95. The Committee took note of the discussion of the Subcommittee under the item on space debris, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 99–123).",
"96. The Committee noted with satisfaction that 2022 marked the fifteenth anniversary of the endorsement by the General Assembly, in its resolution 62/217, of the Space Debris Mitigation Guidelines of the Committee, and urged those countries that had not yet done so to consider implementing the Guidelines on a voluntary basis.",
"97. The Committee also noted with satisfaction that many States and international intergovernmental organizations were implementing space debris mitigation measures consistent with the Space Debris Mitigation Guidelines and the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee (A/74/20, annex II) and that a number of States had harmonized their national space debris mitigation standards with those guidelines.",
"98. In addition, the Committee noted that some States were using the Space Debris Mitigation Guidelines of the Committee and/or the Space Debris Mitigation Guidelines of the Inter-Agency Space Debris Coordination Committee (IADC), ISO standard 24113:2011 (Space systems: space debris mitigation requirements) and ITU recommendation ITU-R S.1003 (Environmental protection of the geostationary-satellite orbit) as reference points in their regulatory frameworks for national space activities. The Committee also noted that some States were cooperating under the space surveillance and tracking support framework funded by the European Union and in the space safety programme of ESA.",
"99. The Committee also noted that an increasing number of States were adopting concrete measures to mitigate space debris, including the improvement of the design of launch vehicles and spacecraft, the de-orbiting of satellites, passivation, life extension, end-of-life operations and the development of specific software and models for space debris mitigation.",
"100. The Committee further noted that IADC, whose initial work had served as the basis for the Space Debris Mitigation Guidelines of the Committee, had updated its own Space Debris Mitigation Guidelines in 2022.",
"101. The Committee took note with concern of the issue of space debris and the challenges that the proliferation of space debris posed to the future exploration and use of outer space.",
"102. The Committee agreed that Member States and international organizations having permanent observer status with the Committee should continue to be invited to provide reports on research on space debris, the safety of space objects with nuclear power sources on board, problems relating to the collision of such space objects with space debris and the ways in which debris mitigation guidelines were being implemented.",
"103. Some delegations expressed the view that the issue of space debris should be addressed in a manner that would not jeopardize the development of the space capabilities of developing countries.",
"104. Some delegations expressed the view that it was important that new space actors were not burdened as a result of the historical activities of established space actors.",
"105. Some delegations expressed the view that addressing the challenges posed by the placement of megaconstellations in low Earth orbit, including those related to the sustainable use of orbit and frequencies, should be made a priority in the work of the Committee.",
"106. Some delegations expressed the view that advanced spacefaring countries and other actors, especially those deploying megaconstellations, to pay due regard to the application of the relevant voluntary measures such as the Space Debris Mitigation Guidelines and the Guidelines for the Long-term Sustainability of Outer Space Activities and underscored the importance of strengthening the capacity of developing countries for the voluntary implementation of those measures.",
"107. Some delegations expressed the view that, since orbital debris was the consequence of the past and ongoing operations of major spacefaring nations, those nations should accept the primary responsibility both for alleviating the situation and for assisting the developing and emerging spacefaring nations technically and financially in meeting space debris mitigation guidelines.",
"108. The view was expressed that in discussing debris mitigation as well as space traffic management, it was necessary to promote transparency and confidence-building measures in space activities to avoid miscalculations and misunderstandings.",
"5. Space-system-based disaster management support",
"109. The Committee took note of the discussion of the Subcommittee under the item on space-system-based disaster management support, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 124–136).",
"110. The Committee noted the importance of space-based information for disaster management and emergency response, utilizing remote sensing data and Earth observation satellites for developing multi-hazard early warning systems and disaster impact analysis for all types of natural disasters, including for monitoring the coronavirus disease (COVID-19) pandemic.",
"111. The Committee welcomed the activities organized by the United Nations Platform for Space-based Information for Disaster Management and Emergency Response (UN-SPIDER), which supported the development of capacity to use all types of space-based information in support of the full disaster management cycle. In that regard, the Committee took note of the UN-SPIDER activities and capacity-strengthening efforts, including the generation of tailored space-based information for countries in need in 2021 (see A/AC.105/1250), which were carried out with the continued support of its network of partners, as well as the benefits of the UN-SPIDER knowledge portal (www.un-spider.org), a web-based platform for information, communication and process support that fostered the exchange of information, the sharing of experiences, capacity-building and technical advisory support and services.",
"112. Some delegations expressed the view that in order to strengthen disaster preparedness and emergency response at the national level, the Office for Outer Space Affairs should increase the capacity-building activities of UN-SPIDER by offering more technical advisory missions and training programmes, in particular to developing countries.",
"113. The Committee noted the holding of several international conferences recently related to disaster management, such as the Third Multi-Hazard Early Warning Conference, which was held in Bali, Indonesia, on 23 and 24 May, and the ESA Living Planet Symposium, held in Bonn, Germany, from 23 to 27 May, highlighting the use of space technologies in disaster management.",
"114. The Committee also noted the support that States had been providing to the Working Group on Disasters of CEOS and the international COSPAS-SARSAT programme.",
"115. The Committee noted with appreciation the financial and staff resource contributions made by China, France and Germany to UN-SPIDER and the in-kind contributions, including the provision of experts, made by some States members of the Committee and by the regional support offices in 2021 in support of the activities conducted by the Office for Outer Space Affairs through UN-SPIDER, as well as their efforts to share experience with other interested countries. In that regard, the Committee encouraged other member States and permanent observers to provide to the activities and programmes of the Office, including UN-SPIDER, all necessary support on a voluntary basis, including increased financial support, to enable it to better respond to Member States’ requests for assistance and to fully carry out its workplan in the coming years.",
"6. Recent developments in global navigation satellite systems",
"116. The Committee took note of the discussion of the Subcommittee under the item on recent developments in global navigation satellite systems, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 137–157).",
"117. The Committee had before it the note by the Secretariat entitled “Fifteenth meeting of the International Committee on Global Navigation Satellite Systems” (A/AC.105/1251).",
"118. The Committee noted that the International Committee on Global Navigation Satellite Systems (ICG), as an optimal cooperation mechanism, offered the benefit of providing a flexible forum in which GNSS providers and users discussed all matters regarding the use of multiple GNSS signals.",
"119. The Committee noted the work of ICG aimed at creating an interoperable, multi-GNSS space service volume, which would enable improved navigation for space operations beyond geostationary Earth orbit and that GNSS services were expected to be employed in cislunar space.",
"120. The Committee noted the efforts by the Office for Outer Space Affairs in promoting the use of GNSS through its capacity-building and information dissemination initiatives, in particular in developing countries, as well as the role of the Office as the executive secretariat of ICG in coordinating the annual meetings of ICG and its Providers’ Forum.",
"121. The Committee noted that the fifteenth meeting of ICG and the twenty-fourth meeting of the Providers’ Forum, organized by the Office for Outer Space Affairs, had been held in Vienna from 27 September to 1 October 2021 and that the sixteenth meeting of ICG would be hosted by the United Arab Emirates and be held in Abu Dhabi, from 9 to 14 October 2022.",
"7. Space weather",
"122. The Committee took note of the discussion of the Subcommittee under the item on space weather, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 158–172).",
"123. The Committee noted that space weather, which was caused by solar variability, was an international concern owing to the potential threat it posed to space systems, human space flight and ground- and space-based infrastructures upon which society was increasingly dependent. As such, it needed to be addressed in a global manner, through international cooperation and coordination, in order to be able to predict potentially severe space weather events and mitigate their impact so that the long-term sustainability of outer space activities was ensured.",
"124. The Committee noted a number of national and international activities undertaken in the fields of research, training and education to improve the scientific and technical understanding of the adverse effects of space weather and thus strengthen global resilience to its threat, with the goal of facilitating the implementation of the space weather-related guidelines B.6 and B.7 of the Guidelines for the Long-term Sustainability of Outer Space Activities.",
"125. The Committee noted with appreciation that the Expert Group on Space Weather of the Scientific and Technical Subcommittee had held meetings on the margins of the fifty-ninth session of the Subcommittee, in 2022, as well as in the intersessional period. The Committee also noted the document submitted to the Subcommittee entitled “Draft final report of the Expert Group on Space Weather: towards improved international coordination for space weather services” (A/AC.105/C.1/L.401), which contained six high-level recommendations, and expressed its appreciation to the Rapporteur of the Expert Group, Ian Mann, for his dedicated work.",
"126. The Committee endorsed the decision that was agreed by the Subcommittee to consider the report (A/AC.105/C.1/L.401) as a final report of the Expert Group and to issue the report under the symbol A/AC.105/C.1/122, as reflected in the report of the Subcommittee (A/AC.105/1258, para. 172).",
"127. Some delegations expressed the view that it was important for the international space weather community to find a mechanism to coordinate and continue its work.",
"8. Near-Earth objects",
"128. The Committee took note of the discussion of the Subcommittee under the item on near-Earth objects, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 173–190).",
"129. The Committee noted with appreciation the work done by the International Asteroid Warning Network (IAWN) and the Space Mission Planning Advisory Group (SMPAG) to ensure that all nations, in particular developing countries with limited capacity to predict and mitigate the impact of a near-Earth object, were aware of potential threats.",
"130. The Committee noted that, should a credible threat of impact be identified by the worldwide network of astronomical observatories, the important information available on that threat would be provided by IAWN and disseminated to all Member States through the Office for Outer Space Affairs.",
"131. The Committee noted the importance of national efforts and activities aimed at developing capabilities in the discovery, observation, early warning and mitigation of potentially hazardous near-Earth objects that contributed to strengthening international collaboration and information-sharing, and in that regard highlighted the importance of contributing to the work of IAWN and SMPAG.",
"132. The Committee noted the launch of the first-ever planetary defence technology demonstration mission, the Double Asteroid Redirection Test (DART) of the National Aeronautics and Space Administration (NASA) of the United States, in November 2021, which would demonstrate the kinetic impact deflection technique. The Committee also noted that, as a follow-up, the Hera mission of ESA was planned to encounter the Didymos asteroid system in 2026 to provide a valuable assessment of the deflection technique test of the DART mission.",
"133. The Committee noted that further information on the meetings of IAWN and SMPAG, to which the Office for Outer Space Affairs served as the permanent secretariat, had been made available on their websites (http://iawn.net and http://smpag.net).",
"134. The Committee noted that the seventh International Academy of Astronautics Planetary Defense Conference had been held from 26 to 30 April 2021, hosted by the Office for Outer Space Affairs in cooperation with ESA, and that the eighth Planetary Defense Conference was to be held at the Vienna International Centre from 3 to 7 April 2023, hosted by the Office in cooperation with ESA and the host country, Austria.",
"9. Long-term sustainability of outer space activities",
"135. The Committee took note of the discussion by the Subcommittee under the item on the long-term sustainability of outer space activities, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 191–209) and endorsed the decisions of the Subcommittee (A/AC.105/1258, paras. 208 and 209) and of the Working Group on the Long-term Sustainability of Outer Space Activities under the chairmanship of Umamaheswaran R. (India) (A/AC.105/1258, annex II, paras. 7–9 and appendix).",
"136. The Committee had before it the following:",
"(a) Conference room paper by the Russian Federation entitled “Implementation of the LTSSA Guideline ‘A.1 Adopt, revise and amend, as necessary, national regulatory frameworks’” (A/AC.105/2022/CRP.9);",
"(b) Conference room paper by the Russian Federation entitled “Contribution of the Centre for Space Science and Technology Education in the Eurasian Region to strengthening the capacity of COPUOS member States to implement the Guidelines for the Long-Term Sustainability of Outer Space Activities” (A/AC.105/2022/CRP.10);",
"(c) Conference room paper by the Russian Federation entitled “Considerations on key unresolved tasks of ensuring safety of space operations in the context of the long-term sustainability of outer space activities” (A/AC.105/2022/CRP.11).",
"137. The Committee recalled with appreciation that, at the fifty-ninth session of the Subcommittee, the Working Group on the Long-term Sustainability of Outer Space Activities had agreed on and adopted its terms of reference, methods of work and workplan (A/AC.105/1258, annex II, para. 7, and appendix).",
"138. The Committee also recalled that the Working Group would attach equal importance to each of the three elements of the guiding framework (A/AC.105/1258, annex II, appendix, paras. 6 and 7).",
"139. The Committee further recalled that the Working Group had agreed to hold informal consultations, in a hybrid format, in November 2022 (A/AC.105/1258, annex II, para. 9).",
"140. The Committee was informed that a number of States members had already either completed, or were currently completing, internal assessments of their implementation of the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee on the Peaceful Uses of Outer Space.",
"141. The Committee was also informed of a number of national, regional and international scientific, technical, legal and policy measures and initiatives that had been, or were currently being undertaken, to implement the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee.",
"142. The Committee was further informed about the continuation of the project of the Office for Outer Space Affairs entitled “Awareness-raising and capacity-building related to the implementation of the LTS Guidelines”, made possible through financial support provided by the United Kingdom, which had, in the second phase of the project, produced a stakeholder study report (see spacesustainability.unoosa.org).",
"143. Some delegations expressed the view that the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee constituted best practices for the safe and responsible use of outer space and were critical to maintaining outer space for future generations.",
"144. Some delegations expressed the view that it was important to share experiences and review best practices and lessons learned in the practical national implementation of the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee because it would enhance overall communication, international cooperation, awareness-raising and capacity-building.",
"145. Some delegations expressed the view that it would be useful for the Legal Subcommittee to carry out a review and assessment of the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee.",
"146. The view was expressed that the Committee on the Peaceful Uses of Outer Space had become a principal forum for space sustainability discussions, setting itself apart from other forums by developing a “bottom-up” approach to addressing safe and sustainable practices with regard to the use of space.",
"147. The view was expressed that there were multiple parallel platforms considering the subject matter that had been under the purview of the Committee for years, that this included topics that were within the mandate of the Working Group on the Long-term Sustainability of Outer Space Activities, and that this constituted a direct duplication of functions. The delegation expressing that view was also of the view that international work undertaken in accordance with the inviolable principle of consensus was the only way to ensure the long-term sustainability of outer space activities in the interest of the world community as a whole.",
"148. The view was expressed that the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee were clear, practical and proven, meaning that both their implementation and efficacy had been demonstrated by States and international intergovernmental organizations, and that the Guidelines neither undermined existing legal obligations nor hampered the use of outer space, in particular its use by emerging space actors.",
"149. The view was expressed that, above all, the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee were a positive indication of efforts to alleviate environmental degradation as they contained recommendations that promoted more environmentally positive practices in the design and operation of space missions.",
"150. The view was expressed that the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee were the first complete body of rules governing contemporary space activities and that they must be kept up-to-date, or supplemented, in view of current and future challenges posed by the development of economic and scientific activity generated around space resources.",
"151. The view was expressed that Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee had led to improved domestic conversations on the implications of space sustainability for pursuing national space activities and for the development of stronger regulatory frameworks, along with coordinated national positions.",
"152. The view was expressed that developing countries should not be left behind or unfairly disadvantaged by space exploration efforts and that the only way to ensure the sustainability of outer space activities was to continue to deliver the benefits derived from those activities to humanity as a whole through enhanced cooperation and collaboration.",
"153. The view was expressed that, in order to achieve the main objectives of long-term sustainability of outer space activities, it was important for the Scientific and Technical Subcommittee to concentrate on areas such as building and promoting capacities, as well as the transfer of technology to developing countries, all within the framework of international cooperation, and for the full, effective and non-discriminatory operationalization of the Guidelines for the Long-term Sustainability of Outer Space Activities.",
"154. The view was expressed that understanding what was stopping countries from being able to implement the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee was critical to understanding the form of future capacity-building activities.",
"155. The view was expressed that plans of the Working Group on the Long-term Sustainability of Outer Space Activities to identify and study challenges and consider possible new guidelines were of relevance due, among other things, to the interest of States and commercial companies in projects for the active removal of space debris, as well as the development of plans and programmes for the exploration and use of the Moon. The delegation expressing that view recalled that further substantive inputs related to the Working Group could be found in conference room papers A/AC.105/2022/CRP.9, A/AC.105/2022/CRP.10 and A/AC.105/2022/CRP.11.",
"156. The view was expressed that consideration of the issues of space debris, dark and quiet skies for science and society, near-Earth objects and the use of nuclear power sources in outer space could contribute to ensuring the long-term sustainability of outer space activities. The delegation expressing that view was also of the view that therefore, deliberations on those issues should take into account the Guidelines for the Long-term Sustainability of Outer Space Activities.",
"157. The view was expressed that the long-term sustainability of outer space activities should be retained as a regular item on the agenda of the Scientific and Technical Subcommittee to ensure that the discussion of the technical aspects on which progress had been made in the Working Group on the Long-term Sustainability of Outer Space Activities continued and received greater attention from all delegations.",
"158. The view was expressed that the Space Sustainability Rating, developed by a consortium led by the World Economic Forum and operated by the Federal Institute of Technology in Lausanne, Switzerland, would contribute to and reinforce responsible and sustainable behaviour in outer space.",
"10. Future role and method of work of the Committee",
"159. The Committee took note of the discussion of the Subcommittee under the item on the future role and method of work of the Committee, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 210–233).",
"160. The Committee recalled its decision, made at its sixty-second session, to introduce a regular item entitled “Future role and method of work of the Committee” on the agendas of both subcommittees to allow for discussion of cross-cutting issues (A/74/20, para. 321 (h)).",
"11. Use of nuclear power sources in outer space",
"161. The Committee took note of the discussion of the Subcommittee under the item on the use of nuclear power sources in outer space, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 224–237).",
"162. The Committee endorsed the recommendations of the Subcommittee and the Working Group on the Use of Nuclear Power Sources in Outer Space, reconvened under the chairmanship of Sam A. Harbison (United Kingdom), including the extension of the Working Group’s multi-year workplan by one year in order to finalize the report to the Subcommittee on the outcome of the multi-year workplan and explore options for gathering information about advances in knowledge, practices and plans for future space nuclear power source applications (A/AC.105/1258, para. 237, and annex III).",
"163. The Committee noted that, in that connection, a series of intersessional meetings had been held by the Working Group, facilitated by the secretariat, and that the Working Group had held two informal meetings on the margins of the sixty-fifth session of the Committee, on 7 and 8 June 2022, to advance its work.",
"164. The Committee acknowledged the fact that some States and an international intergovernmental organization were developing, or considering developing, legal and regulatory instruments on the safe use of nuclear power sources in outer space, taking into account the content and requirements of the Principles Relevant to the Use of Nuclear Power Sources in Outer Space and of the Safety Framework for Nuclear Power Source Applications in Outer Space, which was developed jointly by the Subcommittee and the International Atomic Energy Agency.",
"165. The Committee in that regard also noted the importance of the work of the Working Group to allow for the continued sharing of information to promote further understanding and development of effective processes to ensure the safe use of nuclear power in space, given the renewed interest in the use of nuclear power sources in outer space that had opened the solar system to exploration, making it possible to observe and understand dark, distant planetary bodies that would otherwise be unreachable, as well as the use of nuclear power sources for the in-space propulsion of spacecraft as a potential technology for crewed and cargo missions to Mars and scientific missions to the outer solar system, enabling faster and more robust human and robotic missions.",
"166. Some delegations expressed the view that there should be an ongoing mechanism for a structured exchange on the topic at the multilateral level, and that the Working Group on the Use of Nuclear Power Sources in Outer Space should recommend to the Subcommittee the new arrangements that would be needed to take forward the development of safety guidelines for potential future uses of nuclear power sources in outer space.",
"12. Space and global health",
"167. The Committee took note of the discussion of the Subcommittee under the item on space and global health, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 238–249).",
"168. The Committee endorsed the recommendations and decisions on the item made by the Subcommittee and its Working Group on Space and Global Health, convened under the chairmanship of Antoine Geissbühler (Switzerland), including the decisions regarding the establishment of the Space and Global Health Platform and the Space and Global Health Network (A/AC.105/1258, para. 249, and annex IV, para. 7).",
"169. The Committee expressed appreciation to the delegation of Switzerland for facilitating informal consultations on the text of the draft resolution on space and global health, as contained in A/AC.105/L.328, during the current session of the Committee.",
"170. The view was expressed that the text of the draft resolution could have been further enhanced through the acknowledgement of the importance of human medical research for improving understanding of ecology, psychology, ergonomics, genetics, physical education, nutrition and other sciences. The delegation expressing that view also stressed the non-discriminatory character of international cooperation in the domain of global health and emphasized that goals to develop and improve health-care systems should not be hindered by political motivations.",
"171. Some delegations expressed the view that the draft resolution on space and global health (see annex), effectively captured the crucial role of space data and technology in the public health domain. Those delegations welcomed the submission of that draft resolution for adoption and underlined the importance of advancing that work in order to share the benefits of space activities for global health.",
"172. At its 790th meeting, on 3 June 2022, the Committee endorsed the draft resolution on space and global health, contained in annex I to the present report. The Committee noted that the draft resolution, as endorsed, would be submitted to the General Assembly at its seventy-seventh session, in 2022, for adoption by the Assembly under the agenda item entitled “International cooperation in the peaceful uses of outer space”.",
"173. The Committee noted the broad array of activities relevant to space and global health and acknowledged the contribution of space science, space technology and space applications to the prevention and control of diseases, the promotion of human health and welfare, the addressing of global health issues, the advancement of medical research, the advancement of health practices and the provision of health-care services to individuals and communities, including in rural areas with limited access to health care.",
"174. The Committee noted the vital role of space science, space technology and space applications in addressing the COVID-19 pandemic, and their critical role in support of contact tracing, the identification of affected areas, modelling the spread of the disease and monitoring its transmission, connectivity for remote working, telehealth and communication, as well as methods of coping with social isolation.",
"175. The Committee welcomed the report of the Working Group on Space and Global Health on the work conducted under its multi-year workplan (A/AC.105/C.1/121) and expressed its gratitude to the Chair of the Working Group for his dedicated efforts and able leadership in guiding the work of the Working Group under its multi-year workplan.",
"176. The Committee took note with appreciation of the round table on the topic “Advancing global health using space technologies”, organized by Switzerland during the Geneva Health Forum held in May 2022, during which the Space and Global Health Platform and the international Space and Global Health Network were presented, with the participation of the Office for Outer Space Affairs, the World Health Organization, the United Nations Satellite Centre and GEO.",
"177. The Committee noted that Member States had been invited to identify experts and encourage them to participate in the Space and Global Health Network.",
"178. The Committee agreed that the agenda item entitled “Space and global health” was to be made a regular item on the agenda of the Subcommittee from 2023 onwards.",
"13. Examination of the physical nature and technical attributes of the geostationary orbit and its utilization and applications, including in the field of space communications, as well as other questions relating to developments in space communications, taking particular account of the needs and interests of developing countries, without prejudice to the role of the International Telecommunication Union",
"179. The Committee took note of the discussion of the Subcommittee under the item on the examination of the physical nature and technical attributes of the geostationary orbit and its utilization and applications, including in the field of space communications, as well as other questions relating to developments in space communications, taking particular account of the needs and interests of developing countries, without prejudice to the role of ITU, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 250–261).",
"180. Some delegations expressed the view that the geostationary orbit was a limited natural resource that was at risk of becoming saturated, thereby threatening the sustainability of space activities in that environment, that its use should be rationalized, and that it should be made available to all States, under equitable conditions, irrespective of their current technical capabilities, taking into particular account the needs of developing countries and the geographical position of certain countries.",
"14. General exchange of views on dark and quiet skies for science and society",
"181. The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on dark and quiet skies for science and society”, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 262–276).",
"182. The Committee welcomed the inclusion of the general exchange of views on dark and quiet skies for science and society on the agenda of the Scientific and Technical Subcommittee as a single issue/item for discussion, as an important recognition of the fact that astronomical observations for both optical and radio astronomy were an essential aspect of space activities and should be protected from interference.",
"183. The Committee welcomed the contributions made to the discussion by the United Nations/Spain/IAU Conference on Dark and Quiet Skies for Science and Society (see A/AC.105/1255 and A/AC.105/1257) and the industry symposium organized by the Office for Outer Space Affairs on the topic of dark and quiet skies on the margins of the fifty-ninth session of the Scientific and Technical Subcommittee (A/AC.105/1258, paras. 43–48) and took note of the recommendations resulting from those events.",
"184. The Committee noted the initiative taken by IAU in inviting delegations to engage with its recently opened Centre for the Protection of the Dark and Quiet Sky from Satellite Constellation Interference, which began operation on 1 April 2022, aimed at coordinating collaborative multidisciplinary international efforts with institutions and individuals worldwide to help mitigate the negative impact of satellite constellations on ground-based optical and radio astronomy observations as well as on humanity’s enjoyment of the night sky.",
"185. The Committee noted the efforts to protect radio telescopes and radio quiet zones from satellite constellations carried out in some countries and the continuous engagement between the astronomical and satellite communities, as well as the importance of continued cooperation among all relevant actors, in particular the space industry, satellite constellation operators and the astronomical community, to ensure the protection of the dark and quiet sky from satellite constellation interference.",
"186. Some delegations expressed the view that multi-stakeholder efforts to develop practical solutions to address the unintended impacts of satellite constellations on astronomy were needed.",
"187. The view was expressed that the adverse effects of satellite constellations on the visibility of the night skies for ground-based astronomy had not been adequately considered and that the matter, which fell within the mandate of the Committee, called for an internationally agreed regulation.",
"15. Draft provisional agenda for the sixtieth session of the Scientific and Technical Subcommittee",
"188. The Committee took note of the discussion of the Subcommittee under the item on the draft provisional agenda for its sixtieth session, as reflected in the report of the Subcommittee (A/AC.105/1258, paras. 277–281).",
"189. The Committee endorsed the recommendations and decisions on the item made by the Subcommittee (A/AC.105/1258, paras. 279–281).",
"190. On the basis of the deliberations of the Subcommittee at its fifty-ninth session, the Committee agreed that the following items should be considered by the Subcommittee at its sixtieth session:",
"1. Adoption of the agenda.",
"2. Statement by the Chair.",
"3. General exchange of views and introduction of reports submitted on national activities.",
"4. United Nations Programme on Space Applications.",
"5. Space technology for sustainable socioeconomic development.",
"6. Matters relating to remote sensing of the Earth by satellite, including applications for developing countries and monitoring of the Earth’s environment.",
"7. Space debris.",
"8. Space-system-based disaster management support.",
"9. Recent developments in global navigation satellite systems.",
"10. Space weather.",
"11. Near-Earth objects.",
"12. Long-term sustainability of outer space activities.",
"(Work for 2023 as reflected in the multi-year workplan of the Working Group on the Long-term Sustainability of Outer Space Activities (A/AC.105/1258, para. 209 and para. 18 of the appendix to annex II))",
"13. Future role and method of work of the Committee.",
"14. Space and global health.",
"15. Use of nuclear power sources in outer space.",
"(Work for 2023 as reflected in the extended multi-year workplan of the Working Group on the Use of Nuclear Power Sources in Outer Space (A/AC.105/1258, para. 237 and annex III, para. 5))",
"16. Examination of the physical nature and technical attributes of the geostationary orbit and its utilization and applications, including in the field of space communications, as well as other questions relating to developments in space communications, taking particular account of the needs and interests of developing countries, without prejudice to the role of the International Telecommunication Union.",
"(Single issue/item for discussion)",
"17. General exchange of views on dark and quiet skies for science and society.",
"(Single issue/item for discussion)",
"18. Draft provisional agenda for the sixty-first session of the Scientific and Technical Subcommittee.",
"19. Report to the Committee on the Peaceful Uses of Outer Space.",
"191. The Committee agreed that the Working Group of the Whole, the Working Group on the Use of Nuclear Power Sources in Outer Space, and the Working Group on the Long-term Sustainability of Outer Space Activities should be reconvened at the sixtieth session of the Scientific and Technical Subcommittee.",
"192. The Committee agreed that, in accordance with the agreement reached at the forty-fourth session of the Scientific and Technical Subcommittee, held in 2007 (A/AC.105/890, annex I, para. 24), the symposium to be organized by the Committee on Space Research at the sixtieth session of the Subcommittee should be on the topic of climate action and the contribution from space.",
"C. Report of the Legal Subcommittee on its sixty-first session",
"193. The Committee took note with appreciation of the report of the Legal Subcommittee on its sixty-first session (A/AC.105/1260), which contained the results of its deliberations on the items considered by the Subcommittee in accordance with General Assembly resolution 76/76.",
"194. The Committee expressed its appreciation to Nomfuneko Majaja (South Africa) for her able leadership as Chair during the sixty-first session of the Subcommittee.",
"195. The representatives of Austria, Brazil, Canada, Chile, China, Finland, Germany, Greece, Indonesia, Iran (Islamic Republic of), Italy, Japan, Luxembourg, the Republic of Korea, the Russian Federation, the United Kingdom, the United States and Venezuela (Bolivarian Republic of) made statements under the item. Statements were also made by the representative of Morocco on behalf of the Group of 77 and China. During the general exchange of views, statements relating to the agenda item were also made by other member States.",
"196. The Committee heard a presentation entitled “Progress report on the initiatives of the Asia-Pacific Regional Space Agency Forum for enhancing space policy and law capacity in the Asia-Pacific region”, by the representative of Japan.",
"1. Information on the activities of international intergovernmental and non-governmental organizations relating to space law",
"197. The Committee took note of the discussion of the Subcommittee under the item entitled “Information on the activities of international intergovernmental and non-governmental organizations relating to space law”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 36–38).",
"2. Status and application of the five United Nations treaties on outer space",
"198. The Committee took note of the discussion of the Subcommittee under the item on the status and application of the five United Nations treaties on outer space, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 39–51).",
"199. The Committee endorsed the decisions and recommendations of the Subcommittee and its Working Group on the Status and Application of the Five United Nations Treaties on Outer Space, which had been reconvened under the chairmanship of Bernhard Schmidt-Tedd (Germany) (A/AC.105/1260, annex I, paras. 7–15).",
"200. Some delegations expressed the view that the discussions in the Working Group on the status and application of the five treaties, on the application of international law to small satellites and on broader issues such as the registration of satellites, as well as the preparation in the Working Group of the wide-ranging document entitled “Bringing the benefits of space to all countries: a guidance document on the legal framework for space activities” (A/AC.105/C.2/117), had all provided useful assistance to the Subcommittee and significantly contributed to formulating national space legislation and policies in various countries.",
"201. Some delegations expressed the view that the Legal Subcommittee was the right forum for promoting the progressive development of international space law for the peaceful uses of outer space, and that greater interaction with the Scientific and Technical Subcommittee was necessary to ensure that legal rules remained relevant and applicable to current and planned space activities.",
"202. Some delegations expressed the view that, in the light of the increasing participation and the evolving potential of the private sector in space activities, the negotiation of an international legally binding instrument that clearly defined and guided commercial activities in outer space could play an important role in expanding the use of outer space and stimulate space activities for the benefit of humanity, and could help to ensure that the rights of developing countries were considered and that those countries were not excluded from the benefits of space exploration.",
"203. The view was expressed that while the five United Nations treaties on outer space formed the cornerstone of international space law, and greater adherence by a growing number of countries was welcomed, the treaties needed to be further developed and complemented in order to be able to respond to new developments such as the rise of non-governmental entities and private sector actors in outer space.",
"204. Some delegations expressed the view that international space law was a key enabler that allowed actors to flourish in a safe and predictable environment, and that in that regard, meeting the obligation in the Outer Space Treaty to authorize and supervise the activities of non-governmental entities engaged in space activities played a crucial role in providing the legal certainty necessary to encourage large-scale investments by the private sector in space activities.",
"205. The view was expressed that, as space activities evolved, the norms, rules and principles that guided outer space activities must also evolve, and that maintaining and updating domestic legislation on the authorization and continuing supervision of non-governmental entities was a way to promote certainty and predictability for private sector actors in outer space. The delegation expressing that view also expressed the view that sharing information on States’ national legislation that addressed obligations under the Outer Space Treaty could encourage a common understanding and approach to the interpretation and implementation of the Treaty.",
"206. The view was expressed that it was important to complete or implement the recommendations on enhancing the practice of States and international intergovernmental organizations in registering space objects, as contained in General Assembly resolution 62/101 and the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee on the Peaceful Uses of Outer Space (A/74/20, annex II), in order to address the trend of megaconstellations with hundreds or even thousands of unregistered space objects, which could have an impact on ground-based astronomy, the Earth orbit and the Earth’s upper atmosphere.",
"3. Matters relating to the definition and delimitation of outer space and the character and utilization of the geostationary orbit, including consideration of ways and means to ensure the rational and equitable use of the geostationary orbit without prejudice to the role of the International Telecommunication Union",
"207. The Committee took note of the discussion of the Subcommittee under the agenda item on matters relating to the definition and delimitation of outer space and the character and utilization of the geostationary orbit, including consideration of ways and means to ensure the rational and equitable use of the geostationary orbit without prejudice to the role of ITU, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 52–77).",
"208. Some delegations expressed the view that the lack of a definition or delimitation of outer space brought about legal uncertainty concerning the applicability of space law and air law and that matters concerning State sovereignty and the boundary between airspace and outer space needed to be clarified in order to reduce the possibility of disputes among States.",
"209. Some delegations expressed the view that it was not necessary to define or delimit outer space.",
"210. Some delegations expressed the view that the geostationary orbit, as a limited natural resource clearly in danger of saturation, needed to be used rationally and should be made available to all States, irrespective of their current technical capacities. That would give States access to the geostationary orbit under equitable conditions, taking into account, in particular, the needs and interests of developing countries and the geographical position of certain countries, and taking into account the processes of ITU and relevant norms and decisions of the United Nations.",
"211. Some delegations expressed the view that the geostationary orbit was not to be subject to national appropriation, by means of use, repeated use or occupation or by any other means, and that its utilization was to be governed by applicable international law.",
"212. The view was expressed that the geostationary orbit should be viewed as a specific area and special part of outer space that needed specific technical and legal governance and thus should be regulated by a sui generis regime.",
"213. The view was expressed that there were shortcomings in equitable access to the geostationary orbit. Several actions should therefore be considered, such as the establishment of a dedicated working group of the Legal Subcommittee, modifications to the corresponding agenda item of the Scientific and Technical Subcommittee in order to consider technical aspects of the issue, the establishment of an intergovernmental panel of experts, and closer cooperation with ITU on issues related to the equitable utilization of orbital resources.",
"4. National legislation relevant to the peaceful exploration and use of outer space",
"214. The Committee took note of the discussion of the Legal Subcommittee under the item on national legislation relevant to the peaceful exploration and use of outer space, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 78–91).",
"215. The Committee endorsed the recommendation of the Subcommittee on this agenda item (see A/AC.105/1260, para. 91).",
"216. The Committee noted various activities of member States to review, strengthen, develop or draft national space laws and policies, as well as to reform or establish their governance of national space activities.",
"217. The Committee noted with satisfaction the update prepared by the Secretariat to the schematic overview of national regulatory frameworks for space activities (A/AC.105/C.2/2022/CRP.9), which enabled States to gain an understanding of existing national regulatory frameworks, share experiences on national practices and exchange information on national legal frameworks.",
"218. The Committee took note of the regional efforts by the National Space Legislation Initiative study group of the Asia-Pacific Regional Space Agency Forum. The Initiative had moved on to a second phase that covered the implementation of the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee on the Peaceful Uses of Outer Space (A/74/20, annex II), and new States had joined the study group, making for a total of 12 States involved in the study.",
"219. The Committee agreed that national space legislation should be developed in accordance with international law.",
"220. The view was expressed that national space legislation should not include regulations associated with the commercialization of outer space.",
"5. Capacity-building in space law",
"221. The Committee took note of the discussion of the Subcommittee under the item on capacity-building in space law, as reflected in the report of the Subcommittee (see A/AC.105/1260, paras. 92–102).",
"222. The Committee endorsed the recommendation of the Subcommittee on this agenda item (see A/AC.105/1260, para. 102).",
"223. The Committee agreed that, in order to build the national capacity necessary to ensure that the increasing number of participants in space activities complied with international space law, international cooperation in research, training and education in space law was essential.",
"224. The Committee noted with appreciation that a number of national, regional and international efforts to build capacity in space law were being undertaken by governmental and non-governmental entities.",
"225. Some delegations expressed the view that capacity-building in space law was a fundamental tool that should be enhanced through international cooperation and that greater support was needed from the Office and member States to foster both North-South and South-South cooperation with a view to facilitating the sharing of knowledge and expertise in the field of space law.",
"226. The Committee noted with satisfaction that the Space Law for New Space Actors project was aimed at providing support to enhance capacity in developing national space law and policy.",
"227. The Committee noted with appreciation the United Nations/Chile Conference on Space Law and Policy, held online from 10 to 12 May 2022. It noted that such events contributed to capacity-building in space law by connecting space law experts, practitioners and representatives of government, industry and civil society.",
"6. Future role and method of work of the Committee",
"228. The Committee took note of the discussion of the Subcommittee under the item on the future role and method of work of the Committee, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 103–121).",
"229. The Committee endorsed the decisions of the Subcommittee as reflected in its report (A/AC.105/1260, para. 106).",
"7. General exchange of information and views on legal mechanisms relating to space debris mitigation and remediation measures, taking into account the work of the Scientific and Technical Subcommittee",
"230. The Committee took note of the discussion of the Legal Subcommittee under the item on the general exchange of information and views on legal mechanisms relating to space debris mitigation and remediation measures, taking into account the work of the Scientific and Technical Subcommittee, as reflected in the report of the Legal Subcommittee (A/AC.105/1260, paras. 122–149).",
"231. The Committee endorsed the decisions of the Subcommittee as reflected in its report (A/AC.105/1260, para. 149).",
"232. The Committee noted with satisfaction that the endorsement by the General Assembly, in its resolution 62/217, of the Space Debris Mitigation Guidelines of the Committee had been a crucial step in providing guidance on ways to mitigate the problem of space debris, and urged all States Members of the United Nations to consider voluntary implementation of the Guidelines.",
"233. The Committee noted with satisfaction that some States had taken measures to implement internationally recognized guidelines and standards relating to space debris, including the Space Debris Mitigation Guidelines of the Committee and the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee, through relevant provisions in their national legislation.",
"234. The view was expressed that the Subcommittee should expand its review of the Space Debris Mitigation Guidelines of the Committee, taking into account that space debris may be generated by space platforms with nuclear power sources on board and that such platforms may collide with space debris. The delegation expressing that view also expressed concern over the atmospheric re-entry of such debris in the southern hemisphere, in particular in the South Pacific region, and called upon launching States to adopt measures to avoid the generation of space debris.",
"235. The view was expressed that the recommendations of the Group of Governmental Experts on Transparency and Confidence-Building Measures in Outer Space Activities, as well as the Guidelines for the Long-term Sustainability of Outer Space Activities in Outer Space, would contribute to the monitoring and mitigation of space debris and to the conduct of space operations in a safe and sustainable manner.",
"236. The view was expressed that it was necessary to develop new, binding instruments to reduce space debris.",
"237. Some delegations expressed the view that it was important to address the space debris issue through legal means, and that the Legal Subcommittee should discuss legal issues such as the State of registry, jurisdiction, control and liability for damage to space objects.",
"238. The view was expressed that the Legal Subcommittee should closely cooperate with the Scientific and Technical Subcommittee to address issues related to the problems of space debris and the long-term sustainability of space activities and to develop internationally recognized definitions of basic terms in the field of human-caused space debris.",
"239. The Committee welcomed recent updates and additions to the compendium of space debris mitigation standards adopted by States and international organizations, and encouraged States and relevant organizations to contribute to the compendium.",
"8. General exchange of information on non-legally binding United Nations instruments on outer space",
"240. The Committee took note of the discussion within the Legal Subcommittee under the item on the general exchange of information on non-legally binding United Nations instruments on outer space, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 150–164).",
"241. The Committee took note of the compendium on mechanisms adopted by States and international organizations in relation to non-legally binding United Nations instruments on outer space, which the Office for Outer Space Affairs had made available on a dedicated web page, and invited States members of the Committee and international intergovernmental organizations having permanent observer status with the Committee to continue to submit responses to the Secretariat for inclusion in the compendium.",
"242. Some delegations expressed the view that the importance of the development of non-legally binding United Nations instruments that complemented and supported the existing United Nations treaties on outer space, were responsive to new developments in space activities and contributed to further enhancing the safety, security and sustainability of outer space activities.",
"243. Some delegations recalled the Declaration on International Cooperation in the Exploration and Use of Outer Space for the Benefit and in the Interest of All States, Taking into Particular Account the Needs of Developing Countries, noting that it was an important instrument for the promotion of international cooperation with a view to maximizing the benefits of the utilization of space applications for all States, and called upon all spacefaring nations to contribute to promoting and fostering international cooperation on an equitable basis, with particular attention to the interests of developing countries and to strengthening the role of the Committee as the main platform for the exchange of information in the field of international cooperation in the exploration and use of outer space.",
"244. The view was expressed that non-legally binding United Nations instruments were also an important means of establishing codes of conduct to ensure the safe and sustainable use of outer space. The delegation expressing that view called upon States to support and continue to work with the open-ended working group established by the General Assembly in its resolution 76/231 to develop norms, rules and principles of responsible behaviours in outer space.",
"9. General exchange of views on the legal aspects of space traffic management",
"245. The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on the legal aspects of space traffic management”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 165–178).",
"246. The Committee endorsed the recommendation by the Subcommittee to continue to consider the item, in particular in view of the increasingly complex and congested space environment resulting from the growing number of objects in outer space, the diversification of actors in outer space and the increase in space activities.",
"247. Some delegations expressed the view that those phenomena posed a challenge to the safety, security and sustainability of outer space activities.",
"248. Some delegations expressed the view that the development of a global space traffic management regime, which would contribute to the creation, development and implementation of common international rules, would be timely and essential, since the issues concerning the safety, security and sustainability of outer space activities were a growing concern for all space actors and society.",
"249. Some delegations expressed the view that it was also important to adopt norms and principles of responsible behaviour in outer space, in particular a general commitment by States to refrain from experiments with anti-satellite weapons producing long-lasting orbital debris.",
"250. The view was expressed that although the United Nations treaties on outer space as well as the international regulations of ITU already contained basic provisions relevant to the management of space traffic, and although a number of issues related to space traffic management had already been covered by non-binding international instruments, such as the Space Debris Mitigation Guidelines and the Guidelines on the Long-term Sustainability of Outer Space of the Committee, there was an urgent need for the development of an international space traffic governance regime consisting of technical and regulatory provisions that could fill the legal gaps in existing instruments. The delegation expressing that view was also of the view that the Subcommittee was the appropriate forum to develop such a comprehensive multilateral approach with a view to effectively managing space traffic, and that any singular national or regional efforts in that regard carried the risk of legal fragmentation, which could lead to a deterioration of the safety of space activities.",
"251. Some delegations expressed the view that existing international space law, with the Outer Space Treaty as its cornerstone, provided the basic legal regime for space traffic management. The delegations expressing that view were also of the view that all States should preserve the international order in outer space based on international law and ensure the safety of spacecraft operations.",
"252. The view was expressed that a definition and delimitation of outer space was not required in the consideration of future space traffic management approaches.",
"10. General exchange of views on the application of international law to small-satellite activities",
"253. The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on the application of international law to small-satellite activities”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 179–202).",
"254. The Committee noted that the item continued to be on the agenda of the Subcommittee and agreed that its retention contributed to addressing and raising awareness of issues relating to the use of small satellites.",
"255. The Committee noted that activities involving small satellites should be carried out in compliance with international space law, regardless of the size of those satellites.",
"256. Some delegations expressed the view that the above-mentioned small-satellite activities should be conducted in compliance with the existing international regulatory framework.",
"257. The Committee was informed about programmes of States and international organizations focused on the development and operation of small satellites and about regulatory frameworks applicable to the development and use of small satellites.",
"258. Some delegations expressed the view that, considering the essential role of space objects, regardless of their size, in the socioeconomic development of Member States, the Committee and its Subcommittees should not create an ad hoc legal regime or any other mechanisms that might impose limitations on the design, construction, launch and use of space objects.",
"259. Some delegations expressed the view that ongoing developments in outer space, such as the rising number of large constellations, should be taken into consideration in discussions on the registration of space objects.",
"260. The view was expressed that megaconstellations had implications for the long-term sustainability of outer space activities and that the Legal Subcommittee should conduct targeted discussions on that topic.",
"11. General exchange of views on potential legal models for activities in the exploration, exploitation and utilization of space resources",
"261. The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on potential legal models for activities in the exploration, exploitation and utilization of space resources”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 203–230).",
"262. The Committee endorsed the decisions and recommendations of the Subcommittee and its working group established under this agenda item, which had been reconvened under the chairmanship of Andrzej Misztal (Poland) and the vice-chairmanship of Steven Freeland (Australia) (A/AC.105/1260, annex II, paras. 5–8).",
"263. The Committee noted that the working group established under that agenda item had been named the Working Group on Legal Aspects of Space Resource Activities and had agreed on its detailed workplan and methods of work, which were contained in the appendix to the report of the Working Group (A/AC.105/1260, annex II).",
"264. Some delegations expressed the view that the working paper submitted by Austria, Belgium, Czechia, Finland, Germany, Luxembourg, Norway, Portugal and Romania (A/AC.105/C.2/2022/CRP.21) had contributed to the adoption of the workplan of the Working Group and contained proposals for the international space resources conference to be convened under the auspices of the United Nations, as foreseen in A/AC.105/1260, annex II.",
"265. Some delegations expressed the view that the exploration, exploitation and utilization of space resources were best coordinated at the international level, through multilateral forums, such as the Committee and its Subcommittees, for the peaceful and sustainable exploration and use of outer space in order to ensure that those activities were carried out in accordance with international law and for the benefit and in the interests of all States.",
"266. The view was expressed that any output of the Working Group, be it in the form of recommendations or a set of principles, that laid out the framework for space resource utilization activities, should be undertaken in a way that ensured that the rules established by the five United Nations treaties on outer space were applied to space resource activities in a manner that did not impede technological progress and private space activities, while at the same time realizing the promise in article I of the Outer Space Treaty that the exploration and use of outer space shall be carried out for the benefit and in the interests of all States.",
"267. The view was expressed that the progression of the agenda item on space resources, which had moved from a topic of discussion to a goal-oriented working group, could be a potential model for future methods of work for the Subcommittee as a whole, as it demonstrated the concerted interest of States in working multilaterally to deliver specific and practical outcomes on difficult matters of common concern and provide useful legal guidance for all space actors.",
"268. The view was expressed that the adoption of the five-year workplan of the Working Group to clarify important provisions of the Outer Space Treaty was to be welcomed. The delegation expressing that view also expressed the view that a step-by-step approach to developing the framework for space resource activities should be used and that the output should be consistent with the fundamental principles of international space law set out in the Outer Space Treaty.",
"269. Some delegations noted that the number of States that had signed the Artemis Accords on the Principles for Cooperation in the Civil Exploration and Use of the Moon, Mars, Comets, and Asteroids for Peaceful Purposes had grown to 20, and expressed the view that the Accords represented a set of commitments laying out the rules and principles that would guide those States in the exploration of the Moon, Mars and beyond. The delegations expressing that view also expressed the view that the Artemis Accords were grounded in the Outer Space Treaty and that they demonstrated that signatories were committed to behaving responsibly and transparently as they expanded the human presence beyond the Earth.",
"270. The view was expressed that a key principle set out in the Artemis Accords was transparency and that States should remain committed to sharing and disseminating information on their national space policies and space exploration plans. The delegation expressing that view also expressed the view that it was imperative that multilateral discussions focus on identifying practical tools for sharing information about States’ lunar activities in a transparent way that were consistent with international obligations and commitments stemming from the Outer Space Treaty.",
"271. The view was expressed that, while the Artemis Accords could serve as a starting point, with some of its provisions readily acceptable, some aspects would need to be pared back and reconciled with a broader understanding of the principle of non-appropriation in order to achieve greater support.",
"272. Some delegations expressed the view that any activity in the exploration, exploitation and utilization of space resources should be conducted in accordance with the five United Nations treaties on outer space, which established international space law, and that any activity by States, individually or as a club of countries, outside of the multilateral framework of the United Nations would lead to fragmentation of cooperation among States members of the Committee and should be avoided.",
"273. Some delegations expressed the view that the Agreement Governing the Activities of States on the Moon and Other Celestial Bodies offered meaningful inspiration for the work of the Working Group, as that instrument contained provisions calling for the establishment of an international regime for the exploitation of space resources and as such exploitation was about to become feasible. The delegations expressing that view also expressed the view that such an international regime would be a way to consider both the efforts of those countries that have contributed directly or indirectly to the exploration of the Moon and the interests of developing countries.",
"274. Some delegations expressed the view that an authoritative interpretation of important principles found in the Outer Space Treaty, such as the principles of non-appropriation and the free exploration and use of outer space, would enable States to make concrete future commitments for space resource activities. The delegations expressing that view also expressed the view that a common understanding of the obligation in the Outer Space Treaty to conduct space activities with due regard for the corresponding interests of all other States parties to the Treaty, and a common understanding of what acts constituted, or did not constitute, due regard, would help to ensure that space resources remained available to all.",
"275. The view was expressed that because only a limited number of States would be able to carry out space resource activities, it was important to ensure that the accumulation of assets resulting from such activities was not concentrated in the hands of just a few stakeholders, and that the Outer Space Treaty outlined socially responsible behaviours that supported peaceful, inclusive and sustainable space activities while promoting international participation in a way that took into account the particular needs and interests of developing countries.",
"276. The view was expressed that, in developing a framework for space resource activities, greater interaction with the Scientific and Technical Subcommittee should be ensured so that the resulting framework was responsive to the actual activities undertaken. The delegation expressing that view also expressed the view that there was a need to develop an internationally recognized set of definitions for basic terms related to space resource activities as a first step in developing legal rules governing such activities, and that a set of definitions could only be prepared with technical input.",
"277. The view was expressed that space resources did not include radio frequencies or orbits, such as the geostationary orbit, as those resources fell under the remit of ITU.",
"278. Some delegations expressed the view that, in developing a framework for the exploration, exploitation and utilization of space resources, the Working Group could consider existing work that had been done in that area, such as the building blocks for the development of an international framework on space resource activities developed by the Hague International Space Resources Governance Working Group, available as a working paper in all official languages of the United Nations (A/AC.105/C.2/L.315).",
"12. Proposals to the Committee on the Peaceful Uses of Outer Space for new items to be considered by the Legal Subcommittee at its sixty-second session",
"279. The Committee took note of the discussion of the Legal Subcommittee under the item on proposals to the Committee for new items to be considered by the Subcommittee at its sixty-second session, as reflected in the report of the Subcommittee (A/AC.105/1260, paras. 231–244).",
"280. On the basis of the deliberations of the Subcommittee at its sixty-first session, the Committee agreed that the following substantive items should be considered by the Subcommittee at its sixty-second session:",
"Regular items",
"1. Adoption of the agenda.",
"2. Statement by the Chair.",
"3. General exchange of views.",
"4. Information on the activities of international intergovernmental and non-governmental organizations relating to space law.",
"5. Status and application of the five United Nations treaties on outer space.",
"6. Matters relating to:",
"(a) The definition and delimitation of outer space;",
"(b) The character and utilization of the geostationary orbit, including consideration of ways and means to ensure the rational and equitable use of the geostationary orbit without prejudice to the role of the International Telecommunication Union.",
"7. National legislation relevant to the peaceful exploration and use of outer space.",
"8. Capacity-building in space law.",
"9. Future role and method of work of the Committee.",
"Items under workplans",
"10. General exchange of views on potential legal models for activities in the exploration, exploitation and utilization of space resources.",
"(Work for 2023 as reflected in the multi-year workplan of the Working Group on Legal Aspects of Space Resource Activities (A/AC.105/1260, para. 206 and annex II, appendix))",
"Single issues/items for discussion",
"11. General exchange of information and views on legal mechanisms relating to space debris mitigation and remediation measures, taking into account the work of the Scientific and Technical Subcommittee.",
"12. General exchange of information on non-legally binding United Nations instruments on outer space.",
"13. General exchange of views on the legal aspects of space traffic management.",
"14. General exchange of views on the application of international law to small-satellite activities.",
"New items",
"15. Proposals to the Committee on the Peaceful Uses of Outer Space for new items to be considered by the Legal Subcommittee at its sixty-third session.",
"281. The Committee agreed that the Working Group on the Status and Application of the Five United Nations Treaties on Outer Space, the Working Group on the Definition and Delimitation of Outer Space and the Working Group on Legal Aspects of Space Resource Activities should be reconvened at the sixty-second session of the Subcommittee.",
"282. The Committee endorsed the agreement reached by the Subcommittee that a symposium be held during the sixty-second session of the Subcommittee in accordance with the report of the Legal Subcommittee (A/AC.105/1260).",
"283. The view was expressed that the Subcommittee should periodically review agenda items with a view to either suspending items in which there was a lack of interest or which no longer appeared necessary, or establishing a workplan to realize specific outcomes under items of interest. The delegation expressing that view was also of the view that it was important that previously suspended items could be reintroduced if there was interest in or a need for doing so.",
"D. Space and sustainable development",
"284. The Committee considered the agenda item entitled “Space and sustainable development”, in accordance with General Assembly resolution 76/76.",
"285. The representatives of China, France, Germany, India, Indonesia, Japan, Kazakhstan, Mexico, the Netherlands, the Russian Federation, South Africa, Thailand, the United Arab Emirates, the United States and Venezuela (Bolivarian Republic of) made statements under the item. The observers for the Square Kilometre Array Observatory and the World Space Week Association also made statements. During the general exchange of views, representatives of other member States also made statements relating to the item.",
"286. The Committee had before it the following documents:",
"(a) Report on the United Nations/Austria World Space Forum on the theme “Space 4 climate action” (A/AC.105/1266);",
"(b) Report on the United Nations/Brazil/United Arab Emirates Space for Women expert meeting on the theme “Initiatives, challenges and opportunities for women in space” (A/AC.105/1267).",
"287. The Committee heard the following presentations under the item:",
"(a) “Satellite application in emergency management in China (2021–2022)”, by the representative of China;",
"(b) “Protecting the outer space environment contributes to sustainable space activities”, by the representative of China;",
"(c) “India’s earth observation applications for national development and governance”, by the representative of India;",
"(d) “Capacity-building activities in the field of space in India: an update”, by the representative of India;",
"(e) “Space technology: contribution to sustainable development in Iran”, by the representative of Iran (Islamic Republic of);",
"(f) “JAXA sustainable space principles: contributions of JAXA to the Sustainable Development Goals”, by the representative of Japan;",
"(g) “Space for food security”, by the representative of the Netherlands;",
"(h) “Disaster monitoring and construction of spatial information using Korea Land Observation Satellite images”, by the representative of the Republic of Korea;",
"(i) “Brazil, Russian Federation, India, China and South Africa (BRICS) Intelligent Telescope and Data Network (BITDN) flagship project: BRICS State global optical telescope network”, by the representative of the Russian Federation;",
"(j) “Innovative, cross-cutting, advanced space technology training programme for developing countries”, by the representative of the Russian Federation;",
"(k) “Remote monitoring systems to study marine ecosystems”, by the representative of the Russian Federation;",
"(l) “Capacity-building for a nascent space industry”, by the representative of the Philippines.",
"288. The Committee reiterated its acknowledgement of the significant role of space science and technology and their applications in the implementation of the 2030 Agenda for Sustainable Development, in particular for the Sustainable Development Goals, in the realization of the Sendai Framework for Disaster Risk Reduction 2015–2030 and in the fulfilment by States parties of their commitments to the Paris Agreement on climate change.",
"289. The Committee noted the value of space technology and applications, as well as that of space-derived data and information, to sustainable development, including in improving the formulation and implementation of policies and programmes of action relating to environmental protection, land and water management, urban and rural development, marine and coastal ecosystems, health care, climate change, disaster risk reduction and emergency response, energy, infrastructure, navigation, seismic monitoring, natural resource management, snow and glaciers, biodiversity, agriculture and food security.",
"290. The Committee noted with satisfaction the holding of the series of World Space Forums, organized by the Office for Outer Space Affairs in cooperation with the Governments of Austria and the United Arab Emirates.",
"291. The Committee took note of the information provided by States on their efforts to integrate cross-sectoral activities at the national, regional and international levels and to incorporate space-derived geospatial data and information into all sustainable development processes and mechanisms.",
"292. The Committee also took note of the information provided by States on their actions and programmes aimed at increasing awareness and understanding in society of the applications of space science and technology for meeting development needs.",
"293. The Committee noted the continued and important role played by the International Space Station in scientific research for sustainable development.",
"294. The Committee noted with satisfaction the large number of outreach activities carried out by States at the regional level to build capacity through education and training in the use of space science and technology applications for sustainable development.",
"295. The Committee noted the value of international cooperation and partnerships for the realization of the full potential of space science, technology and applications for sustainable development.",
"296. The Committee noted that the fourth Ministerial Conference on Space Applications for Sustainable Development in Asia and the Pacific would be held in Indonesia in October 2022.",
"E. Spin-off benefits of space technology: review of current status",
"297. The Committee considered the agenda item entitled “Spin-off benefits of space technology: review of current status”, in accordance with General Assembly resolution 76/76.",
"298. The representatives of Algeria, Brazil, India, Italy, Mexico, the Russian Federation, South Africa, the United States and Venezuela (Bolivarian Republic of) made statements under the item. During the general exchange of views, statements relating to the item were made by representatives of other member States.",
"299. The Committee heard the following presentations:",
"(a) “The SAOCOM project as a national capacity-building engine”, by the representative of Argentina;",
"(b) “Natural hazards monitoring using the Zhengheng-1 electromagnetic satellite and Gaofen (GF) remote sensing satellites”, by the representative of China;",
"(c) “Russian new-generation very long baseline interferometry (VLBI) network”, by the representative of the Russian Federation.",
"300. The Committee took note of the information provided by States on their national practices regarding spin-offs from space technology involving various actors, including the private sector and academia.",
"301. The Committee noted that the publication entitled “Spinoff 2022”, issued by NASA, was available on the NASA website. The Committee expressed its gratitude to NASA for the “Spinoff” publication series, which had been made available to delegations every year since the forty-third session of the Committee, in 2000.",
"302. The Committee took note of innovations in numerous areas, such as agriculture, indoor vertical farming, pollution and toxic chemical remediation, sustainable water and natural resource management, forestry and wildfire detection, geology, geophysics, ecosystem preservation, the identification and development of arable land, fisheries and mineral deposits, health, medicine, prosthetics, biology, chemistry, the environment, education, electronics, communication, navigation and timing, materials applications, energy storage, transport, safety, Internet access, laser data transfer, processing, analytics and storage, and disaster management. In addition, it noted that many of the technologies developed for space applications and licensed by space agencies had been transferred to industries and had led to practical applications in society. In particular, various types of medical support equipment that utilized space spin-off technology had been developed by commercial actors to address the coronavirus disease (COVID-19) pandemic.",
"303. Some delegations expressed the view that technology transfer programmes of space agencies facilitated economic development in various industries, which in turn allowed innovations to be made available to entrepreneurs, companies, academia and government agencies. The delegations expressing that view also expressed the view that those programmes had contributed to strategic initiatives to create an integrated international space ecosystem that fostered private sector growth, industrial self-reliance, attracted foreign business investment and encouraged international collaboration.",
"304. Some delegations expressed the view that dedicated public sector entities tasked with working directly with industry and academia had supported commercial participation and facilitated the application of space-derived technology to achieve widespread use and greater socioeconomic benefit.",
"305. Some delegations expressed the view that as a result of a long-term study on the socioeconomic effects of public sector investment in the space sector, benefits could be identified in how suppliers and users of space-derived technology had improved their performance and innovation potential. The delegation expressing that view also expressed the view that, in particular, products and services that were spun off from space technology, including Earth observation, navigation and timing technology, improved the commercial availability of a wide variety of products and services and contributed to more effective and efficient research and development.",
"306. Some delegations expressed the view that remote sensing, geospatial and Earth observation programmes, in particular images, data and analysis, were important for disaster management and emergency response, urban and agricultural planning, mapping health, energy, food safety, border surveillance, the control of illicit crops and illicit mining, logistics, the construction industry, tourism, ecology, combating desertification and supporting the processing of large volumes of data through neural network technologies, artificial intelligence and machine learning. The delegations expressing that view also expressed the view that those programmes were important to achieving sustainable projects and helped to inform the decisions of entities affected by climate change.",
"F. Space and water",
"307. The Committee considered the agenda item entitled “Space and water”, in accordance with General Assembly resolution 76/76.",
"308. The representatives of Algeria, Brazil, France, India, Indonesia, Iran (Islamic Republic of), Japan, Mexico and Thailand made statements under the item. The observer for the Prince Sultan bin Abdulaziz International Prize for Water also made a statement under the item. During the general exchange of views, other member States also made statements relating to the item.",
"309. In the course of the discussion, delegations reviewed water-related cooperation activities, giving examples of national programmes and bilateral, regional and international cooperation that demonstrated the beneficial effect of international cooperation and policies on the sharing of remote sensing data.",
"310. The Committee noted that water and the issues related to it were becoming some of the most critical environmental problems of the twenty-first century. The Committee also noted that, in order to contribute to the achievement of the Sustainable Development Goals, it was important to make use of space technologies, applications, practices and initiatives enabled by space-borne observations of water.",
"311. The Committee noted that a large number of space-borne platforms addressed water-related issues and that space-derived data were used extensively in water management. The Committee also noted that space technology and applications, combined with non-space technologies, played an important role in addressing many water-related issues, including the observation and study of sea levels, global water cycles and unusual climate patterns; the mapping of surface water bodies, watercourses and basins, including the mapping of their seasonal and annual variabilities; the monitoring of water volume levels in dam reservoirs; the assessment of sedimentation processes in reservoirs and rivers; river run-off; the monitoring of evapotranspiration; the estimated values for water quality parameters; the estimation of snowmelt run-off; the monitoring of groundwater resources; the planning and management of reservoirs and irrigation projects; early warning with regard to hydrological disasters; the monitoring and mitigation of the effects of floods, droughts, typhoons, cyclones, landslides and glacial lake outburst floods; the monitoring of soil moisture; the reuse of agricultural drainage water; the harvesting of rain; the identification of prospective zones of groundwater development; the improvement of the timeliness and accuracy of forecasts; and the identification of emergency situations, such as fires, pollution, salinization, water blooms, pipeline accidents and oil spills.",
"312. Some delegations expressed the view that climate change had become a crucial issue for stable water management, as it had caused serious droughts and water-related disasters, as well as sinking land, around the world.",
"313. The view was expressed that space-based technology supported the monitoring of water quality in rivers, lakes, wetlands and coastal waters, especially in large and remote water bodies, including the monitoring of contaminants in water bodies, and that space technology contributed insights in relation to ecological disasters, such as industrial spills or diffuse pollution sites that could impact groundwater at the regional level.",
"314. The Committee noted that Sustainable Development Goal 6, on clean water and sanitation for all, could not be achieved without the successful implementation and monitoring of integrated water resource management.",
"315. The view was expressed that space technology and applications had the potential to contribute to the development of water-related policies and coordinated efforts to achieve Sustainable Development Goal 6.",
"316. Some delegations expressed the view that there was a need for policy development, capacity-building, knowledge exchange, technology transfer, access to space-based data and in situ data, and interdisciplinary thinking with regard to the Sustainable Development Goals in order to build the capacity of stakeholders to use space-based information and promote innovation to empower communities to deal with emerging risks related to water resources.",
"317. The Committee noted the value of the Space4Water portal of the Office for Outer Space Affairs, and the role of the portal in the dissemination of the use of space technology for water-related purposes was highlighted.",
"318. The Committee took note of the holding of the fifth International Conference on the Use of Space Technology for Water Resources Management, which was hosted by the Government of Ghana and co-sponsored by the Prince Sultan bin Abdulaziz International Prize for Water from 10 to 13 May 2022 in Accra.",
"G. Space and climate change",
"319. The Committee considered the agenda item entitled “Space and climate change”, in accordance with General Assembly resolution 76/76.",
"320. The representatives of Austria, China, France, India, Indonesia, Iran (Islamic Republic of), Japan, Kenya, Mexico, the Netherlands, Nigeria, the United Arab Emirates, the United Kingdom and the United States made statements under the item. During the general exchange of views, statements relating to the item were also made by representatives of other member States.",
"321. The Committee heard the following presentations:",
"(a) “Space observatory for climate change and response in China”, by the representative of China;",
"(b) “Geostationary Environment Monitoring Sensor (GEMS) application plan for climate change research”, by the representative of the Republic of Korea;",
"(c) “Copernicus contribution to global efforts on monitoring CO₂ emissions”, by the permanent observer for the European Union;",
"(d) “Benefits of space solar power”, by the observer for the National Space Society.",
"322. The Committee noted that climate change was one of the most pressing global challenges of our time and underscored the growing value of space-based technology in providing critical climate data to better understand, mitigate and adapt to climate change and monitor implementation of the Paris Agreement, underscoring as well the importance of space-based observations for understanding climate change. The Committee also noted the importance of space-based observations for the achievement of Sustainable Development Goal 13 on climate action.",
"323. The Committee noted the efforts undertaken at the national, regional and international levels in developing and operating satellites for observing atmospheric conditions, as well as the importance of multi-stakeholder partnerships and actions to tackle climate change by utilizing space-based observations and technologies. In that regard, the Committee noted the Working Group III contribution to the Sixth Assessment Report of the Intergovernmental Panel on Climate Change, released in April 2022, in which the Working Group called for urgent action to limit global warming to 1.5°C degrees, and the essential role of space technologies and applications on the path to climate-friendly transformation. It also noted that more than half of the 54 variables used by the Intergovernmental Panel on Climate Change could be measured only with the central contribution of space-based technology.",
"324. The Committee noted the interest expressed by international partner agencies and organizations, including the Office for Outer Space Affairs, to join and contribute to the efforts of the Space Climate Observatory, which was created upon the initiative of the National Centre for Space Studies (CNES) of France, which had been approved by more than 20 space agencies in the Paris Declaration adopted at the One Planet Summit on 11 December 2017, and for which a joint declaration of interest had been signed at Le Bourget, France, on 17 June 2019, giving the Observatory the main objective of producing and distributing adequate, timely and reliable data and information on the impacts of climate change at the national and regional levels, using space technologies, targeted measures and relevant models cross-referenced with socioeconomic indicators, in order to define and implement climate change mitigation and adaption.",
"325. The Committee further noted that the Space Climate Observatory had developed its Charter, which was presented to the 36 space agencies that were currently signatories to the declaration of interest. In that regard, the Committee noted that the Charter of the Space Climate Observatory, which would enter into force on 1 September 2022, would enable the Observatory to take its place among the multilateral networks working to fight climate change, giving the Observatory the task of facilitating the mobilization of space tools for climate action and supporting the implementation of the Paris Agreement on climate change.",
"326. The Committee noted that as part of the “Space4ClimateAction” initiative of Austria, the annual United Nations/Austria symposium would be held from 12 to 15 September 2022 on the topic of “Space for climate action: experiences and best practices in mitigating and adapting to climate change and supporting sustainability on Earth”. The Committee also noted that a dedicated web page on the “Space4ClimateAction” initiative, hosted by the Office for Outer Space Affairs, would be created as part of the Office’s efforts to support Member States in the achievement of Sustainable Development Goal 13 on climate action.",
"327. The Committee noted the successful holding, in Glasgow, United Kingdom, in 2021, of the twenty-sixth session of the Conference of the Parties to the United Nations Framework Convention on Climate Change, under the presidency of the United Kingdom and in partnership with Italy, at which the importance of space-based climate action was highlighted. In that regard, the Committee also noted that the twenty-seventh session of the Conference of the Parties to the United Nations Framework Convention on Climate Change would be held under the presidency of Egypt from 7 to 18 November 2023.",
"328. The Committee noted a number of bilateral partnerships in climate change-related activities in the area of Earth observation, as well as space programmes at the national level that made it a high priority to build, launch and operate Earth observation satellite systems to track the manifestations and effects of climate change.",
"329. The Committee noted the usefulness of satellite observations and Earth observation applications for monitoring essential climate variables and related challenges such as increased desertification and extreme weather events, tracking changes in sea level, carbon dioxide concentrations, sea ice depletion and terrestrial snow mass and gathering data on remote areas such as deserts, oceans, the polar caps and glaciers.",
"330. The Committee also noted that it was important to support international cooperation for Earth observation, including through long-established organizations such as the World Meteorological Organization, CEOS, the Coordination Group for Meteorological Satellites, the Global Climate Observing System, GEO and APSCO. In that regard, the Committee noted that the Office for Outer Space Affairs was currently finalizing the report on the strategic mapping exercise aimed at providing a more complete understanding of the range of technical and policy coordination capabilities of existing intergovernmental entities in using space technologies to support climate change mitigation, adaptation, resilience and monitoring.",
"H. Use of space technology in the United Nations system",
"331. The Committee considered the agenda item entitled “Use of space technology in the United Nations system”, in accordance with General Assembly resolution 76/76.",
"332. The representatives of Austria, India, Indonesia and Mexico made statements under the item. During the general exchange of views, statements relating to the item were also made by representatives of other member States.",
"333. The Committee had before it the following:",
"(a) Report of the Inter-Agency Meeting on Outer Space Activities on its fortieth session (A/AC.105/1263);",
"(b) Conference room paper containing an advance version of the special report of the Inter-Agency Meeting on Outer Space Activities on coordination of space-related activities within the United Nations system for climate action (A/AC.105/2022/CRP.15).",
"334. The Committee heard the following presentations under the item:",
"(a) “Russian–Cuban Observatory: objectives, instruments and tasks”, by the representative of the Russian Federation;",
"(b) “Cosmic impacts on the Earth: assessment of the consequences”, by the representatives of the Russian Federation.",
"335. The Committee noted that the fortieth session of Inter-Agency Meeting on Outer Space Activities (UN-Space) had been held on 14 December 2021 in an online format. The Committee also noted that the Office for Outer Space Affairs was working with the Economic and Social Commission for Asia and the Pacific to jointly organize the forty-first session of UN-Space.",
"336. The Committee further noted that UN-Space had agreed to issue in 2022 a publication highlighting space-related activities within the United Nations system.",
"337. The Committee welcomed the forthcoming special report of UN-Space on coordination of space-related activities within the United Nations system for climate action (to be issued under the symbol A/AC.105/1264) and expressed its appreciation to UN-Space and the Office for Outer Space Affairs, in its capacity as the secretariat of UN-Space, for preparing that report.",
"338. The Committee encouraged entities of the United Nations system to participate, as appropriate, in the coordination efforts of UN-Space.",
"339. The Committee noted that the third segment of the Unispace Nanosatellite Assembly and Training by the Indian Space Research Organization (UNNATI) programme would be conducted from 15 October to 15 December 2022 in coordination with the Office for Outer Space Affairs, and encouraged Member States, especially those aspiring to participate in space activities, to apply and benefit from that programme.",
"I. Future role and method of work of the Committee",
"340. The Committee considered the agenda item entitled “Future role and method of work of the Committee”, in accordance with General Assembly resolution 76/76.",
"341. The representatives of Australia, Canada, Chile, China, France, Germany, Indonesia, Iran (Islamic Republic of), Japan, Mexico, the Netherlands, the Republic of Korea, the Russian Federation, Switzerland, the United Kingdom, the United States and Venezuela (Bolivarian Republic of) made statements under the item. During the general exchange of views, statements relating to the item were also made by representatives of other member States.",
"342. The Committee had before it the following:",
"(a) Note by the Secretariat on the governance and method of work of the Committee on the Peaceful Uses of Outer Space and its subsidiary bodies (A/AC.105/C.1/L.384);",
"(b) Paper submitted by Canada, Japan, the United Kingdom and the United States entitled “Preparations for a multi-stakeholder dialogue on outer space as part of a United Nations Summit of the Future” (A/AC.105/2022/CRP.17).",
"343. The Committee recalled the deliberations on the item as reflected in the report of the Committee on its sixty-fourth session (A/76/20, paras. 281–300), the report of the Scientific and Technical Subcommittee at its fifty-ninth session (A/AC.105/1258, paras. 210–223) and the report of the Legal Subcommittee at its sixty-first session (A/AC.105/1260, paras. 103–121).",
"344. The Committee agreed to consider matters relating to the United Nations Summit of the Future under the agenda item entitled “Other matters”.",
"345. Some delegations expressed the view that the Committee should focus exclusively on promoting the peaceful uses of outer space, while matters of preventing escalation of conflict that could arise from the use of weapons against space systems, or the use of outer space for military and other national security activities, should be dealt with in the forums for disarmament of the United Nations.",
"346. The view was expressed that the Committee should increase its interaction with the main committees of the United Nations system to allow for greater advice and cooperation on issues such as nuclear energy sources and disarmament.",
"347. Some delegations expressed the view that it was important to increase coordination, interaction and synergies between the two subcommittees on cross-cutting issues, in particular long-term sustainability and space resources.",
"348. The view was expressed that the development and implementation of future procedures that allowed for debate on topics of interest and decision-making would make it possible to achieve greater efficiency and dynamics in the work of the Committee.",
"349. Some delegations expressed the view that new items should be added to the agenda of the Committee and its subcommittees only when other items were removed.",
"350. Some delegations expressed the view that agenda items should be considered in sequential order while not precluding the holding of working group meetings.",
"351. The view was expressed that all member States should first be given the opportunity to speak under an agenda item, and only then should the floor be given to observer organizations.",
"352. The view was expressed that the Committee should consider new and innovative ways to best engage relevant stakeholders, such as those from industry, academia and civil society, in its activities.",
"353. The view was expressed that it was necessary for the Committee to improve and enrich its working methods, strengthen its own leading role and adopt more effective means to interact with non-governmental processes within the framework of its rules of procedure and existing practices, in order to adapt to changing realities and needs.",
"354. The view was expressed that the work of other United Nations entities with regard to space-related issues should be closely coordinated with the work of the Committee and that the Committee should receive regular updates from United Nations entities participating in UN-Space.",
"355. The view was expressed that it was necessary to support the work of the regional centres for space science and technology education affiliated to the United Nations and to strengthen exchanges and collaboration between different regional centres to build the capacity of developing countries, giving special consideration to emerging spacefaring countries and developing countries.",
"356. The view was expressed that it was important to promote the development of human capacities in emerging countries to allow them to harness the benefits of space technology for development.",
"357. The view was expressed that it was important to maintain at future sessions the hybrid format of the current session, which included live webcasting of plenary meetings with interpretation into the six official languages of the United Nations, and in that regard the importance of the availability of a smooth webcast and comprehensive digital recordings was stressed.",
"358. The view was expressed that the organization of sessions of the Committee and its subcommittees in a hybrid format should remain an exceptional measure and would require prior approval by consensus.",
"359. The view was expressed that a procedure to be followed in cases of force majeure should be established to ensure the continuity of the work of the Committee in crisis situations such as the COVID-19 pandemic.",
"360. The view was expressed that the Committee should appeal to the open-ended working group established pursuant to General Assembly resolution 76/231 to abstain from considering issues that were covered by the Committee and reflected in its decisions taken before the establishment of the working group.",
"361. Some delegations expressed the view that General Assembly resolution 76/231 was sufficient to clearly define the mandate of the open-ended working group. The delegations expressing that view were also of the view that the open-ended working group was open to the participation of all States Members of the United Nations and that the call to avoid overlaps between the work of the Committee and that of the working group would more appropriately be made in the meetings of the working group itself.",
"362. Some delegations expressed the view that the recorded votes against General Assembly resolution 76/231, as well as the abstentions from voting, demonstrated the contentious nature of the open-ended working group.",
"363. Some delegations expressed the view that the consideration of issues relating to security and stability was within the purview of the Disarmament and International Security Committee (First Committee) of the General Assembly.",
"364. Some delegations expressed the view that the work of the Committee on the Peaceful Uses of Outer Space, which included the development of the Guidelines for the Long-Term Sustainability of Outer Space Activities, evidenced the Committee’s role in enhancing the sustainability, security and safety of space operations.",
"365. The Committee noted with appreciation that a joint panel discussion of the Disarmament and International Security Committee (First Committee) and the Special Political and Decolonization Committee (Fourth Committee) of the General Assembly on possible challenges to space security and sustainability, with the joint support of the Office for Outer Space Affairs and the Office for Disarmament Affairs, would be held in New York on 27 October 2022, and agreed that the joint panel discussion should discuss cross-cutting issues between the work of the Committee on the Peaceful Uses of Outer Space and that of the open-ended working group.",
"J. Space exploration and innovation",
"366. The Committee considered the agenda item entitled “Space exploration and innovation”, in accordance with General Assembly resolution 76/76.",
"367. The representatives of Azerbaijan, China, France, India, Indonesia, Italy, Japan, Luxembourg, Mexico, the Republic of Korea, Romania, the Russian Federation, Switzerland, Thailand and the United States made statements under the item. The observers for the Moon Village Association, the Open Lunar Foundation and the Secure World Foundation also made statements. During the general exchange of views, other statements relating to the agenda item were also made by other member States.",
"368. The Committee had before it the following:",
"(a) Conference room paper entitled “Report of the Moon Village Association on the Global Expert Group on Sustainable Lunar Activities – status/plan” (A/AC.105/2022/CRP.12);",
"(b) Conference room paper entitled “Report of the Moon Village Association of the International Moon Day – support implementation status” (A/AC.105/2022/CRP.13);",
"(c) Conference room paper by Mexico and Romania entitled “Proposal for inclusion of a yearly agenda sub-item ‘Coordination for sustainable lunar activities’ under the agenda item ‘Space exploration and innovation’, at the sixty-sixth session of the Committee on the Peaceful Uses of Outer Space, in 2023” (A/AC.105/2022/CRP.14).",
"369. The Committee heard the following presentations under the item:",
"(a) “Lunar Oasis: architectural visions for an integrated lunar habitat”, by the representative of Austria;",
"(b) “Progress of China’s deep space exploration”, by the representative of China;",
"(c) “Italian scientific research activity in the Minerva mission”, by the representative of Italy;",
"(d) “Korea Pathfinder Lunar Orbiter (KPLO): the first lunar mission of the Republic of Korea”, by the representative of the Republic of Korea;",
"(e) “New X-ray map of the universe with the Spectrum-Roentgen-Gamma (SRG) Observatory”, by the representative of the Russian Federation;",
"(f) “The E.T.PACK project: a technological solution for the space debris proliferation problem”, by the representative of Spain;",
"(g) “Esrange: the most versatile space centre in the world – new services to enable a sustainable future”, by the representative of Sweden;",
"(h) “The first International Moon Day”, by the observer for the Moon Village Association;",
"(i) “Current status of the Scientific Committee on Solar-Terrestrial Physics PRESTO programme for predictability of the variable solar-terrestrial coupling”, by the observer for the Scientific Committee on Solar-Terrestrial Physics;",
"(j) “The Space Exploration Project Group’s plan to ensure a diverse, sustainable and exciting path for the future of space exploration”, by the observer for the Space Generation Advisory Council.",
"370. The Committee recalled the origin of the present agenda item and the work of the Action Team on Exploration and Innovation, which had produced the first-ever United Nations report emphasizing the importance of human space exploration beyond low Earth orbit (see A/AC.105/1168).",
"371. The Committee noted with appreciation that delegations had, at the present session, shared information and updates on space exploration and innovation endeavours, including details on national activities and programmes, as well as examples of bilateral, regional and multilateral international cooperation.",
"372. The Committee noted that, in the course of the discussions, information had been provided on, inter alia, research and development activities; space object launches; human space flight programmes; robotic exploration activities; activities and cooperation opportunities related to the International Space Station and the China Space Station; numerous missions to the Moon, Mars, the moons of Mars, the Sun and asteroids; satellite-, lander-, rover- and helicopter-based experiments to explore the solar system and to research scientific topics; samples returned to the Earth; the planned international lunar research station; the planned Gateway lunar outpost; a next-generation telescope that would soon reveal images of stars and galaxies that formed more than 13 billion years ago; CubeSats that demonstrated small spacecraft technology; a pressurized crewed rover to be used as a means of transportation; space tracking and management capabilities; developments in rocket technology; innovative uses of additive manufacturing and artificial intelligence; developments in in situ resource utilization technology; novel uses of remote sensing data and applications; a space exploration innovation hub centre; an innovation centre for space resources; the development of national space white papers, strategies, consortiums, plans, road maps, strategies and laws; commitments made among Governments on common frameworks to guide cooperation in space exploration; space summits; a ministerial conference; exhibitions on space exploration and innovation themes; a space resources week; an aerospace and technology festival; a yearly model satellite competition; and increasing human and financial resources being committed to space exploration and innovation.",
"373. The Committee also noted the importance of collaboration between all stakeholders in space exploration and innovation activities, including Governments and government agencies, non-governmental entities, academic institutions, scientific and technical research centres, industry and the private sector, to advance the peaceful exploration and use of outer space and the safe and sustainable development of outer space activities for the benefit of all humankind.",
"374. The Committee further noted the desirability of integrating developing countries into space exploration efforts to ensure that space exploration activities were open and inclusive on a global scale.",
"375. The Committee noted efforts to promote the space industry, in particular among young people, and to foster the development of human capital in the areas of space exploration and innovation.",
"376. The Committee also noted efforts to promote diversity and inclusion in space exploration and innovation activities.",
"377. The Committee further noted that space exploration and innovation often inspired and encouraged young people to pursue studies and careers in the fields of science, technology, engineering and mathematics (STEM subjects), as well as in the legal, policy and communications fields.",
"378. The view was expressed that the space sector played a key role in economic diversification, offering high added value. The delegation expressing that view was also of the view that the space economy was no longer developing solely through technological innovation but also through commercial innovation, and that there were substantial opportunities in that regard for businesses, institutions and citizens.",
"379. The view was expressed that, as space projects were complex and expensive, it was necessary to promote international cooperation and trade, to exchange knowledge and to open markets for products and services. The delegation expressing that view was also of the view that instead of all countries attempting to cover all areas, it was highly recommended that countries focus on specific technological niches and develop them so as to position themselves as world leaders in particular fields.",
"380. The view was expressed that the main requirement for a country to commence space exploration and innovation was the firm determination of the country’s leaders to consider space as a strategic area, and that included the leaders’ commitment to developing space exploration and innovation through a long-term plan, the creation of supporting institutions, and adequate and sustained investment.",
"381. The view was expressed that, as emerging space nations would play an important role in future global space exploration, cooperation among emerging space countries, as well as cooperation between leading and emerging countries, should be more actively discussed.",
"382. The view was expressed that the various research associations that had emerged as centres of competence for the development and creation of rocket and space technology – from design to ready-to-use products – served to incubate ideas, created spin-off benefits, optimized space infrastructure and increased economic efficiency under the control of State bodies, and concentrated highly qualified personnel within the framework of a single organizational structure.",
"383. The view was expressed that the interaction among relevant State structures, small and medium-sized businesses, university innovation teams and a system of non-State venture financing had already proved its effectiveness, in particular in relation to business accelerators, through which there was a focused selection of start-up companies to meet the needs of industry.",
"384. The view was expressed that outer space contained virtually unlimited energy sources and vast amounts of useful materials and had untapped potential to provide an abundance of resources to humanity in the future, and that related innovations and developments could strengthen the resilience of societies for meeting future challenges.",
"385. The view was expressed that the main goals of space exploration and innovation should be sustainability, cradle-to-cradle design and viability, using green technology to reduce the negative impacts that humans have on the planet. The delegation expressing that view was also of the view that new ideologies, methods and products should be used to identify and replace existing wasteful or harmful habits developed over time, improve the quality of the Earth’s environment and bring about a course correction towards a resource-rich future.",
"386. The view was expressed that it was the destiny of the human spirit to explore, and that exploration campaigns responding to the challenge of going deeper into space were in line with that spirit and with the spirit of the Committee.",
"387. The Committee considered the proposal contained in conference room paper A/AC.105/2022/CRP.14.",
"K. “Space2030” Agenda",
"388. The Committee considered the agenda item entitled “‘Space2030’ Agenda”, in accordance with General Assembly resolution 76/76.",
"389. The representatives of Argentina, Austria, China, Germany, Indonesia, Japan, Kenya, Nigeria, Norway, the Republic of Korea, Switzerland and the United Kingdom made statements under the item. A statement was also made by the observer for the Square Kilometre Array Observatory. During the general exchange of views, statements relating to the item were also made by representatives of other member States.",
"390. The Committee heard the following presentations:",
"(a) “The National Commission on Space Activities (CONAE) education programme”, by the representative of Argentina;",
"(b) “Lunar Polar Mission LUNA-25”, by the representative of the Russian Federation.",
"391. The Committee welcomed the adoption by the General Assembly, in its resolution 76/3, of the “Space2030” Agenda and its implementation plan as a high-level political document that showcased how space activities could contribute to the achievement of the Sustainable Development Goals, the Paris Agreement on climate change and the Sendai Framework for Disaster Risk Reduction, the broad societal benefits of such activities and the essential role of space technologies and applications and space-derived data in furthering economic growth and prosperity for the international community. The Committee also commended the work of the Bureau of the Working Group on the “Space2030” Agenda and the secretariat in facilitating the finalization and adoption of that milestone document.",
"392. The Committee noted the emphasis of the “Space2030” Agenda on strengthened partnerships and cooperation among Member States, United Nations entities, intergovernmental and non-governmental organizations, industry and private sector entities in order to ensure that, through joint efforts and by taking advantage of the practical experience and contributions of different stakeholders, the benefits of space were brought to everyone, everywhere. In that regard, the Committee also noted the importance of partnerships and concerted efforts to bridge the gap in the use of space-derived data for planning and decision-making in developing countries.",
"393. The Committee noted that, in implementing the “Space2030” Agenda, States contributed to and benefited from a number of space-related international and regional mechanisms, programmes, projects and platforms, as well as from tools and initiatives that had been developed or were being developed by the Office for Outer Space Affairs (see General Assembly resolution 76/3, paras. 24 and 25).",
"394. The Committee noted that the actions listed under the four overarching objectives of the “Space2030” Agenda, which were structured around the four pillars of space economy, space society, space accessibility and space diplomacy, had been taken by several States as part of their national space programmes and plans with a view to increasing the economic benefits derived from space, strengthening the role of the space sector as an important engine of sustainable national development, increasing the participation of various sectors of society, industry, academia, researchers and end users, and facilitating the integration of the space sector with other sectors.",
"395. The Committee also noted that the “Space2030” Agenda contained a strategic vision that addressed key areas and objectives of the future work of the Committee, its subcommittees and the Office for Outer Space Affairs, as unique forums for international cooperation in the exploration and use of outer space for peaceful purposes, for fostering dialogue among spacefaring and emerging space nations and for promoting the increased involvement of all countries in space activities, including through capacity-building initiatives.",
"396. The Committee welcomed the intention of Paraguay, in its capacity as Chair of the Scientific and Technical Subcommittee, to seek the inclusion of a reference to the “Space2030” Agenda in the ministerial declaration of the high-level political forum on sustainable development to be held in July 2022, as follows: “The ‘Space2030’ Agenda: space as a driver of sustainable development and its implementation plan, adopted by the General Assembly in its resolution 76/3, represent a forward-looking strategy for reaffirming and strengthening the contribution of space activities of States members of the Committee on the Peaceful Uses of Outer Space in the use of space tools for the achievement of the Sustainable Development Goals of the 2030 Agenda for Sustainable Development”.",
"397. The view was expressed that the “Space2030” Agenda was important for several countries, as it also aimed to promote and strengthen the use of outer space for a sustainable ocean economy.",
"398. The view was expressed that Member States and other donors should consider providing sufficient means to the Office for Outer Space Affairs so that it could fully and effectively implement its mandate and support Member States in the implementation of the “Space2030” Agenda.",
"399. The view was expressed that the Space for Impact Initiative of the Federal Institute of Technology in Lausanne, Switzerland, was contributing to implementing to the “Space2030” Agenda under both the space economy and space education objectives.",
"400. The Committee noted that, as part of the Space for Women project of the Office for Outer Space Affairs, the Space for Women expert meeting would be held in Daejeon, Republic of Korea, from 16 to 19 August 2022, and that, building on the results of the previous year’s expert meeting, organized by Brazil and the United Arab Emirates in cooperation with the Office, a survey would be conducted to take stock of the current levels of female representation in space agencies and institutions around the world.",
"401. The Committee further noted that the fourth World Space Forum, aimed at strengthening partnerships and dialogue among the global community to support the implementation of the “Space2030” Agenda, would be held in Vienna from 12 to 15 December 2022 and be organized by Austria and the Office for Outer Space Affairs.",
"402. The Committee noted that the Office for Outer Space Affairs intended to make the “Space2030” Agenda and implementation plan available as a publication in order to increase its visibility and outreach to a broader international community.",
"403. The Committee noted that States were encouraged to continue to report on the implementation of the “Space2030” Agenda, also taking into account that the Committee would carry out a midterm review of progress made in implementing the Agenda in 2025, and a final review in 2030, and report to the General Assembly on the results.",
"404. The Committee recalled its decision to retain the present item on its agenda for each session through 2030 in order to allow for an exchange among States members of the Committee and its permanent observers on their experiences in implementing the “Space2030” Agenda and implementation plan.",
"L. Other matters",
"405. The Committee considered the agenda item entitled “Other matters”, in accordance with General Assembly resolution 76/76.",
"406. The representatives of Canada, China, Germany, Japan, Mexico, the Russian Federation, Switzerland and the United States made statements under the agenda item. The representative of the European Union, in its capacity as permanent observer, also made a statement on behalf of the European Union and its member States. During the general exchange of views, statements relating to the item were also made by representatives of other member States.",
"1. Composition of the bureaux of the Committee and its subsidiary bodies for the period 2024–2025",
"407. The Committee recalled that in paragraph 11 of its resolution 58/89, the General Assembly had endorsed the agreement reached by the Committee on the future composition of the bureaux of the Committee and its subsidiary bodies (A/58/20, annex II, paras. 5–9), on the basis of the measures relating to the working methods of the Committee and its subsidiary bodies (see A/52/20, annex I, and A/58/20, annex II, appendix III), which had previously been endorsed by the Assembly in its resolution 52/56.",
"408. The Committee further recalled that, in accordance with the measures relating to the future composition of the bureaux of the Committee and its subsidiary bodies, the Committee should reach agreement at its sixty-fifth session on all officers of the bureaux for the period 2024–2025.",
"409. The Committee noted that no regional groups had made their nominations, and therefore encouraged regional groups to make the required nominations either before the consideration by the Fourth Committee of the draft resolution on international cooperation in the peaceful uses of outer space at the seventy-seventh session of the General Assembly, in 2022, or before the sixty-sixth session of the Committee, in 2023.",
"2. Membership of the Committee",
"410. The Committee took note of the application of Guatemala for membership in the Committee (A/AC.105/2022/CRP.3) and decided to recommend to the General Assembly at its seventy-seventh session, in 2022, that Guatemala should become a member of the Committee.",
"411. The Committee took note of the application of Uzbekistan for membership in the Committee (A/AC.105/2022/CRP.4) and decided to recommend to the General Assembly at its seventy-seventh session, in 2022, that Uzbekistan should become a member of the Committee.",
"3. Observer status",
"412. With regard to the applications of non-governmental organizations for the status of permanent observer with the Committee, the Committee recalled its agreement at its fifty-third session, in 2010 (A/65/20, para. 311), that observer status would be granted to non-governmental organizations on a provisional basis, for a period of three years, pending information on the status of their application for consultative status with the Economic and Social Council, that the provisional observer status could be extended for an additional year, if necessary, and that it would grant permanent observer status to such non-governmental organizations upon confirmation of their consultative status with the Council.",
"413. The Committee took note of the application of the Association for the Development of the Atlantic International Research Centre for permanent observer status with the Committee. The application and the relevant correspondence were before the Committee in conference room paper A/AC.105/2022/CRP.5.",
"414. The Committee decided to grant the Association for the Development of the Atlantic International Research Centre the status of observer, on a provisional basis, for a period of three years, pending information on the status of its application for consultative status with the Economic and Social Council.",
"415. The Committee took note of the application of the Access Space Alliance for permanent observer status with the Committee. The application and the relevant correspondence were before the Committee in conference room paper A/AC.105/2022/CRP.6.",
"416. The Committee decided to grant the Access Space Alliance the status of observer, on a provisional basis, for a period of three years, pending information on the status of its application for consultative status with the Economic and Social Council.",
"417. The Committee took note of the application of the Hague Institute for Global Justice for permanent observer status with the Committee. The application and the relevant correspondence were before the Committee in conference room paper A/AC.105/2022/CRP.7.",
"418. The Committee decided to grant the Hague Institute for Global Justice the status of observer, on a provisional basis, for a period of three years, pending information on the status of its application for consultative status with the Economic and Social Council.",
"419. The Committee took note of the application of the International Peace Alliance (Space) for permanent observer status with the Committee. The application and the relevant correspondence were before the Committee in conference room paper A/AC.105/2022/CRP.8.",
"420. The Committee decided to grant the International Peace Alliance (Space) the status of observer, on a provisional basis, for a period of three years, pending information on the status of its application for consultative status with the Economic and Social Council.",
"4. Other matters",
"421. The Committee took note of a non-paper by the Chair of the Committee, made available at the present session of the Committee, and noted that the Chair had noted the special role of the Committee and its subcommittees as unique platforms for international cooperation in the exploration and use of outer space for peaceful purposes and therefore the importance of their discussion, at their respective sessions in 2023, as appropriate, of the Summit of the Future to take place in September 2023; that the secretariat was to report on the status of the preparations for the Summit of the Future at the sessions of the Committee and its subcommittees to be held in 2023; that the Chair of the Committee, in consultation with the bureaux of the Committee and its subcommittees, intended to present, at the sixtieth session of the Scientific and Technical Subcommittee, in 2023, proposed elements for further consideration; that the joint panel discussion of the First and Fourth Committees of the General Assembly, at its seventy-seventh session, in 2022, might address the Summit of the Future and its multi-stakeholder dialogue on outer space; that the topic of the Summit of the Future would be addressed at the World Space Forum 2022 and at a potential United Nations/Portugal conference on the topic of the management and sustainability of space activities to be held in the first half of 2023; and that the overarching basis for the preparations of the Summit of the Future and its multi-stakeholder dialogue on outer space should be to fully acknowledge the role and work of the Committee and its subcommittees, supported by the Office for Outer Space Affairs, and to take full account of the adopted “Space2030” Agenda.",
"422. Some delegations welcomed the non-paper by the Chair and expressed the view that it outlined an excellent way forward to prepare the contribution of the Committee in view of the Summit of the Future and the multi-stakeholder dialogue.",
"423. The view was expressed that the multi-stakeholder format of the Summit of the Future proposed by the Secretary-General was unlikely to serve its purpose by providing the means for a fruitful decision-making process on key issues of the global space agenda.",
"5. Programme 5, “Peaceful uses of outer space”: proposed programme plan for the period 2023 and programme performance for 2021",
"424. The Committee had before it the following:",
"(a) Conference room paper entitled “Programme 5, ‘Peaceful uses of outer space’: proposed programme plan for the period 2023” (A/AC.105/2022/CRP.16);",
"(b) Proposed programme budget for 2023 (A/77/6 (Sect. 6)).",
"425. The Committee welcomed the presentation by the Acting Director of the Office for Outer Space Affairs on the proposed programme plan for the period 2023 and the information provided by the Office on key areas of work.",
"426. The Committee agreed on the proposed programme plan.",
"427. The Committee noted that footnote d of annex I to the proposed programme budget for 2023 (A/77/6 (Sect. 6)) should be corrected to reflect the correct name of the Ministry of Emergency Management of China.",
"6. Draft provisional agenda for the sixty-sixth session of the Committee",
"428. The Committee recommended that the following items should be considered at its sixty-sixth session, in 2023:",
"1. Opening of the session.",
"2. Adoption of the agenda.",
"3. Statement by the Chair.",
"4. General exchange of views.",
"5. Ways and means of maintaining outer space for peaceful purposes.",
"6. Report of the Scientific and Technical Subcommittee on its sixtieth session.",
"7. Report of the Legal Subcommittee on its sixty-second session.",
"8. Space and sustainable development.",
"9. Spin-off benefits of space technology: review of current status.",
"10. Space and water.",
"11. Space and climate change.",
"12. Use of space technology in the United Nations system.",
"13. Future role and method of work of the Committee.",
"14. Space exploration and innovation.",
"15. “Space2030” Agenda.",
"16. Other matters.",
"17. Report of the Committee to the General Assembly.",
"429. The Committee noted that an agreement on the proposal contained in conference room paper A/AC.105/2022/CRP.14 to include “Coordination for sustainable lunar activities” as a one-year sub-item of the agenda item on “Space exploration and innovation” at the sixty-sixth session of the Committee could possibly be reached in the intersessional period, that further discussions could be held during the sixtieth session of the Scientific and Technical Subcommittee and the sixty-second session of the Legal Subcommittee, and that, in that connection, States members of the Committee should be informed well in advance of the sixty-sixth session of the Committee of any such agreement reached in that regard.",
"M. Schedule of work of the Committee and its subsidiary bodies",
"430. The Committee agreed on the following tentative timetable for its session and those of its subcommittees in 2023:",
"Date\tLocation \nScientific and Technical Subcommittee\t6–17 February2023\tVienna\nLegal Subcommittee\t20–31 March2023\tVienna\nCommittee on the Peaceful Uses ofOuter Space\t31 May–9 June2023\tVienna",
"Annex",
"Draft resolution on space and global health",
"The General Assembly,",
"Recalling its resolutions 51/122 of 13 December 1996, 54/68 of 6 December 1999, 59/2 of 20 October 2004, 66/71 of 9 December 2011, 69/85 of 5 December 2014, 70/1 of 25 September 2015, 71/90 of 6 December 2016, 73/91 of 7 December 2018 and 76/3 of 25 October 2021,",
"Recalling also the recommendations contained in the resolution entitled “The Space Millennium: Vienna Declaration on Space and Human Development”, adopted by the third United Nations Conference on the Exploration and Peaceful Uses of Outer Space,[1] in which participating States called for action to improve public health services by expanding and coordinating space-based services for telemedicine and for controlling infectious diseases,",
"Recalling further the fiftieth anniversary of the first United Nations Conference on the Exploration and Peaceful Uses of Outer Space (UNISPACE+50) and its thematic priority 5, on strengthened space cooperation for global health,",
"Acknowledging the importance of the contribution of space science and technology and their applications to efforts towards the achievement of the 2030 Agenda for Sustainable Development,[2] in particular Sustainable Development Goal 3, on ensuring healthy lives and promoting well-being for all at all ages, and conscious that the work done in the space health sector can contribute to sustainable development, especially with programmes aimed at enhancing the quality of life in various ways, including improving human health,",
"Emphasizing that overarching objective 2 of the “Space2030” Agenda,[3] to harness the potential of space to solve everyday challenges and leverage space-related innovation to improve the quality of life, could be attained by strengthening space-related cooperation in support of global health, by improving the use and application of space medicine, science and technology, innovations in the global health domain, cooperation and the sharing of information, while protecting the privacy of personal data, and tools to improve research advancement and the timeliness and effectiveness of public health and health-care interventions, and by enhancing capacity-building in space medicine, science and technology,",
"Convinced of the importance, and recognizing the existing contributions, of space science, space technology and space applications to enhance space life sciences and digital health technologies, such as telehealth, telemedicine[4] and tele-epidemiology, for the prevention and control of diseases and global health issues, the promotion of human health, environmental health, animal health and food sourcing and supply, and the advancement of medical research and health practices, including the provision of health-care services to individuals and communities irrespective of geographical location as a means of promoting equitable, affordable and universal access to health for all,",
"Noting with concern that among the gaps in the areas of telemedicine and telehealth are the limited uptake of digital technologies in public health systems and health care, as well as the lack of harmonized data-sharing standards among the various manufacturers of medical equipment,",
"Noting with satisfaction the work of the Committee on the Peaceful Uses of Outer Space, its subsidiary bodies and the Office for Outer Space Affairs of the Secretariat in the area of space and global health, including in the framework of action team 6, on public health, established to implement the recommendations of the third United Nations Conference on the Exploration and Peaceful Uses of Outer Space, as well as the action team 6 follow-up initiative, the Expert Group on Space and Global Health, UNISPACE+50 thematic priority 5, on strengthened space cooperation for global health, and the Working Group on Space and Global Health of the Scientific and Technical Subcommittee of the Committee, and welcoming its report on the work conducted under its multi-year workplan,[5]",
"Deeply concerned about the devastating global effects of emerging infectious diseases and other emergencies with an impact on health, including the coronavirus disease (COVID-19) pandemic, to the detriment of human life, society and development, and urging the international community to embrace a One Health approach by strengthening the role of space-based solutions, in particular telehealth, in monitoring, preparedness and response activities,",
"1. Encourages United Nations entities, intergovernmental organizations, Governments and the private sector to pursue effective coordination in all key space activities relevant to global health;",
"2. Encourages formalized cooperation between health authorities and space authorities at the domestic level, and welcomes existing cross-sectoral networks that foster the exchange of ideas between the space and health sectors;",
"3. Encourages Member States to establish a policy-enabled environment and governance mechanisms, with due consideration of legal and ethical issues, for removing challenges to facilitating the effective use of space-based technologies in support of global health, including telemedicine solutions and other emerging technologies;",
"4. Also encourages Member States to promote open data-sharing policies and participatory approaches to developing and improving access to all geospatial information relevant to global health, including remote sensing and Earth observation data, whenever possible;",
"5. Further encourages Member States to enable organizational and technical interoperability and promote research and innovation activities to facilitate the development and implementation of space-based science and technology in the health sector;",
"6. Urges United Nations entities and intergovernmental organizations to support the wider development of, equitable access to and application of space solutions for global health, public health, including epidemics and pandemics, emergencies that may have an impact on health, and the individual health needs of Member States, and encourages the implementation of a broader range of space solutions for sustainable development, including public-private partnerships;",
"7. Encourages Member States and participating entities to advance their efforts related to the geotagging of all assets relevant to health systems, including health information systems, and to make them available to further the attainment of health goals;",
"8. Encourages Member States to recognize the relevance of access to the space environment and space analogues[6] for health and life sciences research and development, especially in the area of astronaut health for social and economic benefits on Earth;",
"9. Also encourages Member States to actively promote international cooperation in the field of space medicine on the basis of equal opportunities for all interested participants and in the interests of the further exploration of outer space by humankind, and further scientific and technological development and applications in the interests of global health;",
"10. Further encourages Member States to conduct appropriate drills and exercises to benchmark their operational preparedness and response capacities and capabilities for the appropriate use of space technologies in responding to global health events;",
"11. Welcomes the establishment of a dedicated, cooperative, globally accessible, multifaceted platform based in Geneva to promote effective collaboration on space and global health issues among Member States, United Nations entities, other international organizations and relevant actors;",
"12. Emphasizes that all key activities, reference documents and plans relevant to space for global health carried out or prepared by United Nations entities should be monitored and compiled on an annual basis, including those of the World Health Organization, other international organizations and States members of the Committee on the Peaceful Uses of Outer Space, as well as, to the extent possible, non-governmental organizations and other non-governmental actors, and also emphasizes that the resulting annual compilation of activities should serve as a reference to identify and discuss gaps and opportunities and should be shared broadly in an effort to raise awareness and promote cooperation among relevant actors in this domain;",
"13. Recognizes the importance of analysing and assessing the roles and interests of current actors in the domain of space and global health, with the aim of promoting synergy, complementarity, cooperation and coordination among all actors;",
"14. Emphasizes the need to enhance, in an equitable and sustainable manner, intersectoral coordination and cooperation for effective international, regional, national and subnational capacity-building activities relevant to the application of space science and technology in the field of global health;",
"15. Encourages Member States to engage learning institutions and other capacity-building mechanisms in motivating young health professionals, at an early stage, to acquire space-related skills and abilities;",
"16. Agrees to promote capacity-building events, to be organized by United Nations entities and other relevant actors, with the objective of further promoting awareness of and engagement with regard to the important contribution of space science and technology among actors applying One Health approaches, with a view to increasing the number of organizations and other actors in the health domain that are actively engaged in using space science and technology;",
"17. Requests the Office for Outer Space Affairs to strengthen, within existing resources, capacity-building and networking in Africa, Asia and the Pacific and Latin America and the Caribbean, through regional technical cooperation projects, and to support field projects for strengthening collaboration between the space and global health sectors as an efficient strategy for making better use of space science and technology for access to global health for beneficiary States and taking better advantage of opportunities offered by bilateral or multilateral collaboration;",
"18. Encourages Member States to foster linkages between academia, national experts, telecommunications regulatory authorities and science and technology authorities with a view to improving access to and the use of digital technologies and information systems in health care.",
"[1] Report of the Third United Nations Conference on the Exploration and Peaceful Uses of Outer Space, Vienna, 19–30 July 1999 (United Nations publication, Sales No. E.00.I.3), chap. I, resolution 1.",
"[2] Resolution 70/1.",
"[3] Resolution 76/3.",
"[4] The term “telemedicine” is used broadly to refer to the use of telecommunications, satellite communications and information technology to provide clinical health care from a distance and includes many active and relevant subfields, such as tele-cardiology, tele-radiology, tele-ophthalmology, tele-oncology, tele-pharmacy, tele-surgery, tele-dermatology and other developing fields.",
"[5] A/AC.105/C.1/121.",
"[6] Space analogues include parabolic flights, bed rest studies and expeditions to Antarctica and other isolated, confined and extreme environments that simulate the space environment on Earth."
] | A_77_20 | [
"[Chuckles]",
"UNITED NATIONS",
"Report of the Committee on the Peaceful Uses of Outer Space",
"Sixty-fifth session",
"(1-10 June 2022)",
"General Assembly",
"Official Records",
"Seventy-seventh session",
"Supplement No. 20",
"General Assembly",
"Official Records",
"Seventy-seventh session",
"Supplement No. 20",
"Report of the Committee on the Peaceful Uses of Outer Space",
"Sixty-fifth session",
"(1-10 June 2022)",
"[ ] United Nations • New York, 2022",
"Annotations",
"United Nations documents consist of letters and figures. Mention of such a format indicates a reference to a United Nations document.",
"[30 June 2022]",
"Contents",
"Adoption of the agenda and organization of work. 6.47 Draft provisional agenda for the sixty-sixth session of the Committee",
"Chapter I",
"Introduction",
"1. The Committee on the Peaceful Uses of Outer Space held its sixty-fifth session in Vienna from 1 to 10 June 2022 in a mixed format (in person and online). The officers of the Committee were as follows:",
"Omran Sharif (United Arab Emirates)",
"First Vice-Chairman (Finland)",
"Second Vice-Chairman/Rapporteur Oleg Ventskovsky (Ukraine)",
"Meetings of subsidiary bodies",
"The Scientific and Technical Subcommittee of the Committee on the Peaceful Uses of Outer Space held its fifty-ninth session in a hybrid format in Vienna from 7 to 18 February 2022, under the chairmanship of Juan Francisco Facetti (Paraguay). The report of the Subcommittee (A/AC.105/1258) was before the Committee.",
"The Legal Subcommittee of the Committee on the Peaceful Uses of Outer Space also held its sixty-first session in a hybrid format in Vienna from 28 March to 8 April 2022, under the chairmanship of Nomfuneko Majaja (South Africa). The report of the Subcommittee (A/AC.105/1260) was before the Committee.",
"B. Adoption of the agenda",
"At its 786th meeting, on 1 June, the Committee adopted the following agenda:",
"Opening of the session.",
"Adoption of the agenda.",
"Election of officers.",
"Statement by the Chairman.",
"5. General exchange of views.",
"Ways and means of maintaining outer space for peaceful purposes.",
"Report of the Scientific and Technical Subcommittee on its fifty-ninth session.",
"Report of the Legal Subcommittee on its sixty-first session.",
"9. Space and sustainable development.",
"Spin-off benefits of space technology: review of current status.",
"11. Space and water.",
"12. Space and climate change.",
"Use of space technology in the United Nations system.",
"14. Future role and methods of work of the Commission.",
"15. Space exploration and innovation.",
"Agenda “Space 2030”.",
"17. Other matters.",
"18. Report of the Committee to the General Assembly.",
"C. Election of officers",
"At its 786th meeting, on 1 June, Omran Shaaf (United Arab Emirates) was elected Chairman of the Committee for the period 2022-2023, Jenni Tapio (Finland) was elected First Vice-Chairman for the period and Oleg Ventskovsky (Ukraine) was elected Second Vice-Chairman/Rapporteur for the period.",
"At that meeting, the Committee approved the election of Juan Francisco Facetti (Paraguay) as Chairman of the Scientific and Technical Subcommittee for the period 2022-2023 and of Nomfuneko Majaja (South Africa) as Chairman of the Legal Subcommittee for that period.",
"Membership",
"7. In accordance with General Assembly resolutions 1472 A (XIV), 1721 E (XVI), 3182 (XXVIII), 32/196 B, 35/16, 49/33, 56/51, 57/116, 59/116, 62/217, 65/97, 66/71, 68/75, 69/85, 71/90, 72/77, 74/82 and 76/76, and decisions 45/315, 67/412, 67/528, 70/518 and 73/517, the Committee on the Peaceful Uses of Outer Space is composed of the following 100 States: Albania, Algeria, Angola, Argentina, Armenia, Australia, Austria, Azerbaijan, Bahrain, Bangladesh, Belarus, Belgium, Benin, Bolivia (Plurinational State of), Brazil, Bulgaria, Burkina Faso, Cameroon, Canada, Chad, Chile, China, Colombia, Costa Rica, Cuba, Cyprus, Czech Republic, Denmark, Dominican Republic, Ecuador, Egypt, El Salvador, Ethiopia, Finland, France, Germany, Ghana, Greece, Hungary, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Japan, Jordan, Kazakhstan, Kenya, Kuwait, Lebanon, Libya, Luxembourg, Malaysia, Mauritius, Mexico, Mongolia, Morocco, Netherlands, New Zealand, Nicaragua, Niger, Nigeria, Norway, Oman, Pakistan, Panama, Paraguay, Peru, Philippines, Poland, Portugal, Qatar, Republic of Korea, Romania, Russian Federation, Rwanda, Saudi Arabia, Senegal, Sierra Leone, Singapore, Slovakia, Slovenia, South Africa, Spain, Sri Lanka, Sudan, Sweden, Switzerland, Syrian Arab Republic, Thailand, Tunisia, Turkey, Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Venezuela (Bolivarian Republic of).",
"E. Attendance",
"Representatives of the following 84 States members of the Committee attended the session: Algeria, Angola, Argentina, Armenia, Australia, Austria, Azerbaijan, Bangladesh, Belarus, Belgium, Brazil, Bulgaria, Burkina Faso, Canada, Chile, China, Colombia, Costa Rica, Cuba, Cyprus, Czech Republic, Denmark, Dominican Republic, Ecuador, Egypt, El Salvador, Finland, France, Germany, Ghana, Greece, Hungary, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Japan, Jordan, Kazakhstan, Kenya, Kuwait, Lebanon, Luxembourg, Malaysia, Mauritius, Mexico, Morocco, Netherlands, New Zealand, Nigeria, Norway, Oman, Pakistan, Panama, Paraguay, Peru, Philippines, Poland, Portugal, Qatar, Republic of Korea, Romania, Russian Federation, Saudi Arabia, Singapore, Slovakia, Slovenia, South Africa, Spain, Sri Lanka, Sweden, Switzerland, Syrian Arab Republic, Thailand, Tunisia, Turkey, Ukraine, United Arab Emirates, United Kingdom, United States, Uruguay and Venezuela (Bolivarian Republic of).",
"9. The representative of the European Union, in his capacity as permanent observer of the Committee and in accordance with General Assembly resolutions 65/276 and 73/91, attended the meeting.",
"At its 786th meeting, the Committee decided to admit Uzbekistan, at its request, as an observer to the session and to address it, as appropriate, on the understanding that that would be without prejudice to future requests of that nature and that it would not involve any decision of the Committee concerning status.",
"Also at its 786th meeting, the Committee decided to admit the Holy See, at its request, as an observer to the session and to address it, as appropriate, on the understanding that that would be without prejudice to future requests of that nature and that it would not involve any decision of the Committee concerning status.",
"The session was attended by observers for the Food and Agriculture Organization of the United Nations, the International Atomic Energy Agency, the International Civil Aviation Organization, the International Telecommunication Union and the Office for Disarmament Affairs of the Secretariat.",
"The following intergovernmental organizations having permanent observer status with the Committee were represented by observers: Asia-Pacific Space Cooperation Organization (APSCO), Committee on Earth Observation Satellites (CEOS), European Organisation for Astronomical Research in the Southern Hemisphere (EUROSCO), European Space Agency (ESA), European Telecommunications Satellite Organization (EUTELSAT), International Institute for the Unification of Private Law (Unidroit), International Space Communications Organization (INTELCO) and All-Sq km Array Observatory.",
"The following non-governmental organizations having permanent observer status with the Committee were also represented by observers: All Moon Organization, International Astronautical Federation (IAF), International Astronomical Union (IAU), International Institute of Space Law (IISL), International Law Association, Moon Village Association, National Space Society of the United States, Open Moon Foundation, Prince Sultan Bin Abdulaziz International Prize for Water (Princes Prince), Solar-terrestrial Physics Scientific Committee, Secure World Foundation, Space Generation Advisory Council, Global Space Engineering University Alliance and World Space Week Association.",
"15. At its 786th meeting, the Committee decided to admit the Global Justice Institute of The Hague, at its request, as an observer, to the session and to address it, as appropriate, on the understanding that that would be without prejudice to future requests of that nature and that doing so would not involve any decision of the Committee concerning status.",
"A list of representatives of States members of the Committee, United Nations entities and other organizations attending the session is contained in document A/AC.105/2022/INF/1.",
"General statements",
"Statements were made by representatives of the following States members of the Committee during the general exchange of views: Angola, Algeria, Argentina, Armenia, Australia, Austria, Bangladesh, Belarus, Belgium, Brazil, Canada, Chile, China, Colombia, Costa Rica, Cuba, Czech Republic, Dominican Republic, Ecuador, Egypt, Finland, France, Germany, Greece, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, Japan, Kenya, Luxembourg, Malaysia, Mexico, Morocco, Netherlands, New Zealand, Nigeria, Paraguay, Peru, Philippines, Portugal, Qatar, Republic of Korea, Romania, Russian Federation, Singapore, Slovenia, South Africa, Spain, Sweden, Switzerland, Thailand, Turkey, Ukraine, United Arab Emirates, United Kingdom, United States, Uruguay and Venezuela (Bolivarian Republic of). The representative of Tunisia made a statement on behalf of the Group of 77 and China. The representative of Egypt made a statement on behalf of the Group of African States. The representative of the European Union, in his capacity as Permanent Observer, made a statement on behalf of the European Union and its member States. Statements were also made by the observers for the Asia-Pacific Space Cooperation Organization, the Committee on Earth Observation Satellites, the European Telecommunications Satellite Organization, the All Moon Organization, the Hague Institute of Global Justice, IAF, the Institute of Space Law, the National Space Society, the Open Moon Foundation, the Space Generation Advisory Council, the square kilometre Array Observatory, Unidroit, the Global Alliance of Space Engineering Universities and the World Space Week Association.",
"18. The Committee expressed its appreciation to the outgoing Chairperson, Marius-Ioan Piso (Romania), the outgoing First Vice-Chairperson, Francis Chizea (Nigeria), and the outgoing Second Vice-Chairperson-cum-Rapporteur, Nicolás Botero Varón (Colombia), for their excellent work and achievements during their term of office.",
"At the 786th meeting, on 1 June, the Chairman made a statement recalling that 2022 marked the sixty-fifth anniversary of the launch into outer space of the first artificial Earth satellite, Sputnik I, the fifty-fifth anniversary of the entry into force of the Outer Space Treaty and the fiftieth anniversary of the Landsat programme. He stressed the importance of strengthening international cooperation, promoting compliance with the United Nations treaties on outer space, promoting equitable use of space and encouraging knowledge-sharing initiatives. He also stressed the role of space science and technology research and development as the basis for the sustainable development of the Earth, the protection and preservation of the outer space environment and the exploration of the universe.",
"20. The Chairman warmly welcomed Angola, Bangladesh, Kuwait, Panama and Slovenia as the newest members of the Committee, which had reached a milestone of 100 member States. The Chairman also welcomed the Open Moon Foundation, the Acronym of square kilometres and Unidroit as the most recent international intergovernmental and non-governmental organizations with observer status with the Commission.",
"Also at the 786th meeting, the Acting Director of the Office for Outer Space Affairs made a statement reviewing the work carried out by the Office. He stressed how the Office continued to adapt to the challenges posed by the current coronary virus epidemic (COVID-19), introducing and using new solutions and applying them to activities to ensure service delivery and a results-oriented approach. It was in that context that the demand for the services of the Office to Member States continued to grow, and he highlighted the current and forthcoming activities of the Office, including those carried out in cooperation with various stakeholders, in particular for the benefit of developing countries. The Acting Director also announced that he would retire from the Office in the coming months.",
"The Committee expressed its deep appreciation to Niklas Hedman, Acting Director of the Office for Outer Space Affairs, for his valuable long-term support for international cooperation in the peaceful uses of outer space, in particular for his more than 15 years as Secretary of the Committee and its subcommittees.",
"The Committee heard the following presentations:",
"(a) “CONAE space plan”, by the representative of Argentina;",
"(b) “Planning for national space systems”, by the representative of Chile;",
"(c) “Sharing cases of Beidou GNSS applications”, by the representative of China;",
"(d) “Iran's CanSat Competition”, by the representative of the Islamic Republic of Iran;",
"(e) “Progress and plans for deep human exploration”, by the representative of the United States;",
"(f) “The need to preserve the cultural heritage of outer space”, by the observer for the Organization for the Protection of the Moon;",
"(g) “Youth make a unified voice in space policy and advocacy: presentation of the Space Generation Advocacy and Policy Platform”, by the observer for the Space Generation Advisory Council.",
"The Committee noted that space activities had continued to increase in recent years, with an increasing number of actors entering space and a marked increase in the number of objects launched into outer space.",
"The Committee agreed that, together with its subcommittees and with the support of the Office for Outer Space Affairs, it remained a unique international forum responsible for promoting international cooperation in the exploration and peaceful uses of outer space.",
"26. The Committee agreed that the increasing number of States that had become members of the Committee in recent years was a clear signal that the international community recognized the value of the work of that intergovernmental body.",
"Some delegations expressed the view that support should be given to a rules-based international system with the United Nations at its core and to a multilateral approach to international affairs, to which the Committee had contributed, including through the development of international space law, international norms and standards, norms, best practices and other transparency and confidence-building measures.",
"The view was expressed that, in order to meet the challenges posed by the continuing development of outer space activities, it was necessary to maintain an international order in outer space, with the United Nations at its core and based on international law.",
"Some delegations expressed the view that the international community should make further efforts to explore all possible ways and means of making full use of the Committee and its Subcommittees in order to achieve the common goals of all States on space-related issues.",
"Some delegations expressed the view that the most important principles governing outer space activities were the universal and equal use of outer space by all States without discrimination, the principle of the non-appropriation of outer space, including the Moon and other celestial bodies, for the benefit and in the interest of all mankind, the development of international cooperation in space activities and the prevention of an arms race in outer space and the deployment of weapons of any kind in outer space.",
"Some delegations expressed the view that, while some countries had reached important milestones in space activities, others had only just begun to develop their own space programmes and policies and that it was essential that space exploration efforts should not leave developing countries behind or place them at an unfair disadvantage. Capacity-building and technical assistance are therefore key elements for expanding the capacity of personnel working in this area to enable them to acquire know-how and knowledge from more advanced spacefaring nations.",
"Some delegations highlighted the contribution of space weather observatories in assessing space data to address climate change. The delegation expressing that view also recalled that the Space Climate Observatory had taken time to participate in the Committee's contribution to the Future Summit.",
"Some delegations expressed the view that the use and exploration of outer space should be conducted exclusively for peaceful purposes, with a view to achieving the vision of a destiny community for the benefit and in the interest of all States, irrespective of their degree of economic or scientific development, and in accordance with the applicable system of international law.",
"Some delegations expressed the view that the Committee should devote more specific consideration to addressing the challenges posed by the deployment of giant constellations in near-Earth orbits, including those related to the sustainable and equitable use of orbits and frequencies and access to outer space.",
"Some delegations expressed the view that there should be closer cooperation between the Scientific and Technical Subcommittee and the Legal Subcommittee, particularly with regard to overlapping and interrelated thematic matters.",
"Some delegations noted with regret the decision of one State to deliberately destroy its own spacecraft with a direct-lift ASAT missile, resulting in debris that threatened manned space and robotic space flights. It was noted that the Space Debris Mitigation Guidelines and the Debris-related Guidelines for the Long-Term Sustainability of Outer Space Activities needed to be implemented to the fullest extent possible and welcomed the commitment not to conduct destructive direct-lift ASAT missile tests.",
"37. The view was expressed that the Commission and the Secretariat should continue their initiatives and examine ways to further enhance the coordination and interaction of the work of the two subcommittees, as well as, where appropriate, other United Nations bodies and bodies closely related to the mandate of the Commission, such as other international organizations, which would ensure that cross-cutting issues were addressed in a coordinated, appropriate and timely manner.",
"Some delegations expressed the view that the increasing support for the Atemis Agreement on Principles for Cooperation in the Civil Exploration and Use of the Moon, Mars, Comets and Asteroids for Peaceful Purposes demonstrated its value as an operational framework for ensuring transparency, safety and sustainability in the peaceful exploration of space activities.",
"Some delegations expressed the view that the international Moon research station cooperation initiated by China and the Russian Federation was advancing and offered new opportunities for space exploration for all interested partners.",
"Some delegations reiterated their opposition to the proposal of the Government of the Russian Federation to establish a new regional centre for space science and technology education in the Eurasian region, affiliated to the United Nations and hosted by the Institute of the Russian National Space Corporation. Those delegations were also of the view that, while the General Assembly, in its resolution 76/76, had noted with satisfaction the progress made in the establishment of the Regional Centre, in the light of recent developments they could not accept that the Regional Centre was in any way affiliated with the United Nations.",
"41. It was observed that, at its sixty-fourth session, the Committee had noted that an evaluation mission on the proposed establishment of regional centres had recommended acceptance of the proposal of the Russian Federation for the establishment of regional centres and that the Committee welcomed the progress made in the establishment of regional centres and therefore did not need to seek their consent. The delegation expressing that view also informed the Committee that the Centre was already functioning and providing services. More than 100 applicants from countries in the region have successfully been admitted to the Centre as students.",
"Some delegations called for the avoidance of adding a political dimension to space technology or services, in particular the designation of a launcher based on a region involved in a conflict.",
"The view was expressed that spacefaring nations with advanced space launch technologies reserved their full right to name their space launch vehicles and spacecraft in the manner they deemed appropriate.",
"The Committee welcomed the publication by the Office for Outer Space Affairs of its Annual Report 2021, which provided an overview of the activities, cooperation, partnership programmes and achievements of the Office in 2021.",
"The Committee took note with appreciation of the exhibit on the E.T.PACK project, organized by Spain as a technical solution to the problem of the proliferation of space debris, the exhibition on the Atemis Agreement, organized by the United States, and the exhibition on the concept of inclusion, organized by IAU.",
"The Committee noted with appreciation that the Government of Poland had donated a painting of Manfred Lachs, one of the most influential scholars in the field of international space law, to the permanent exhibit of the Office for Outer Space Affairs.",
"The Committee expressed its appreciation for the following events organized during the session:",
"(a) “Promoting gender equality in space”, organized by the Republic of Korea and the Office for Outer Space Affairs;",
"(b) “New Space for COPUOS in 2022”, organized by Slovakia;",
"(c) “Increased awareness and capacity-building related to the implementation of the Guidelines for the Long-term Sustainability of Outer Space Activities — a stakeholder study”, organized by the United Kingdom and the Office for Outer Space Affairs;",
"(d) “Youth space exchanges and opportunities”, organized by the United States and the Office for Outer Space Affairs;",
"(e) “Moon policy in progress — round tables”, organized by the Moon Village Association, the Open Moon Foundation, the Secure World Foundation and the Space Generation Advisory Council;",
"(f) “Space opportunities for all: opportunities for member States”, organized by the Office for Outer Space Affairs;",
"(g) “Virtual briefing for representatives of COPUOS: what is the Office for Outer Space Affairs and why it is relevant to you”.",
"Adoption of the report of the Committee",
"48. After considering the items before it, the Committee, at its 801st meeting, on 10 June 2022, adopted its report to the General Assembly containing the following recommendations and decisions.",
"Chapter II",
"Recommendations and decisions",
"Ways and means of maintaining outer space for peaceful purposes",
"In accordance with General Assembly resolution 76/76, the Committee continued to consider, as a matter of priority, ways and means of maintaining outer space for peaceful purposes and continued to consider ways and means to promote a broader perspective that would contribute to ensuring the safe and responsible conduct of space activities and related matters, including by promoting international, regional and interregional cooperation for that purpose.",
"The representatives of Brazil, Canada, China, India, Indonesia, Iran (Islamic Republic of), Japan, Mexico, the Netherlands, the Republic of Korea, the Russian Federation, the United Arab Emirates, the United States and Venezuela (Bolivarian Republic of) made statements under the item. The observer for the Secure World Foundation also made a statement. During the general exchange of views, statements relating to this item were also made by other member States.",
"The Committee heard the following presentations:",
"(a) “Use of ADLER-1 for the detection of micro-space debris”, by the representative of Austria;",
"(b) “Development of a low-Earth orbit collision risk map”, by the representative of the United States;",
"(c) “Opportunities and practices for enhancing space security and sustainability”, by the representative of the United States;",
"(d) “Security norms for space security: how norm-setting can strengthen the principle of peaceful purposes”, by the observer for the Space Generation Advisory Council.",
"The Committee agreed that it had a fundamental role to play in ensuring that outer space was maintained for peaceful purposes through its work in the scientific, technical and legal fields and by promoting international dialogue and exchange of information on various topics related to the exploration and use of outer space.",
"Some delegations expressed the view that it was the responsibility of all spacefaring nations to maintain and promote outer space for the benefit of all through progress in space technology and its applications.",
"Some delegations expressed the view that, in order to ensure the sustainable and peaceful use of outer space, outer space activities were essential in accordance with international law, rules, regulations and norms.",
"55. Some delegations expressed the view that transparency and confidence-building measures were key to ensuring the peaceful uses of outer space. Those delegations referred to the 2013 report of the Group of Governmental Experts on Transparency and Confidence-building Measures in Outer Space Activities (A/68/189), and encouraged States to implement its recommendations and take appropriate measures.",
"Some delegations expressed the view that, while the Committee was not a forum devoted to disarmament in outer space, it still played a fundamental and unique role in global governance and international cooperation in outer space and that that role should be strengthened.",
"Some delegations expressed the view that the Committee's work in a wide range of areas ensured the peaceful use of outer space and was a key element in preventing the risk of an arms race and the militarization of outer space, and that its work complemented and supported other forums for preventing an arms race in outer space.",
"Some delegations reiterated that issues specific to the prevention of an arms race in outer space and the use of outer space for national security activities and related matters were more appropriately addressed in forums such as the Conference on Disarmament, the Disarmament Commission and the First Committee of the General Assembly, where those issues were the focus of their mandates.",
"Some delegations expressed the view that norms could create the climate of confidence necessary for the future development of legally binding space management measures and, in that connection, welcomed the report of the Secretary-General on space threat reduction through norms, rules and principles of responsible behaviour (A/76/77) and the work of the Open-ended Working Group on Space threat reduction through norms, rules and principles of responsible behaviour, as the report deepened discussions on space norms.",
"Some delegations expressed the view that the threat of the militarization of outer space highlighted the importance of international dialogue and negotiations aimed at developing legally binding norms on transparency and confidence-building, as non-legally binding measures were insufficient to address the threat of an arms race in outer space. The delegation expressing that view was also of the view that legally binding measures must, in accordance with existing principles of international law, emphasize that it was in the common interest of all parties to reaffirm the peaceful use of outer space and its use for peaceful purposes.",
"Some delegations reiterated the importance of the prevention of an arms race in outer space and the placement of weapons of any kind in outer space, and called upon all States, in particular those with major space capabilities, to contribute actively to the peaceful uses of outer space in order to prevent the militarization of outer space and to avoid the placement of weapons of any kind in outer space or any other action contrary to that objective. That view was also expressed that the long-term preservation of the outer space environment required a commitment by the international community to ensure that no weapons were ever deployed in outer space.",
"Some delegations reiterated that more consideration should be given to the draft treaty prepared by China and the Russian Federation on the prevention of the placement of weapons in outer space and of the threat or use of force against outer space objects, as it paved the way for ensuring that outer space was used for peaceful purposes.",
"Some delegations expressed the view that the deliberate destruction of space objects, the random creation of large quantities of space debris and the increased risk of collision of space objects in orbit were irresponsible and would undermine the sustainable and stable use of outer space.",
"Some delegations expressed concern about anti-satellite tests that generated space debris and stressed that States should refrain from using or testing those capabilities. The delegation expressing that view was also of the view that the recent announcement by the United States and, subsequently, Canada of their commitment not to conduct destructive direct-on-satellite missile tests was a positive step towards a code of responsible conduct for outer space.",
"The view was expressed that such an initiative was doubtful as to its effectiveness in maintaining space for peaceful purposes. That delegation expressed the view that a commitment not to test certain types of ASAT weapons did not imply a commitment not to use them.",
"The view was expressed that the Committee should continue to serve as a platform for non-politicized discussions and should promote the development by States and intergovernmental organizations of guidelines for theoretical principles aimed at maintaining outer space for peaceful purposes, thus maintaining international peace and security and enhancing international cooperation and mutual understanding.",
"The view was expressed that the Committee should focus on the challenges posed by the development of commercial space flight, promote the strengthening of effective national regulations on the involvement of commercial space actors in military activities and ensure that space activities of non-governmental entities were consistent with peaceful purposes, while increasing transparency at the international level. Attention must also be paid to the security of outer space activities, to strengthening research and broad-based discussions and to finding solutions to the security risks posed by giant constellations.",
"The Committee noted that the African Space Week, to be held in Nairobi in September 2022, would provide an innovative platform for African space industry stakeholders to consider expanding the African space industry and strengthening efforts to promote and facilitate cooperation in space activities within Africa and internationally.",
"The Committee also noted that the theme of the twenty-seventh session of the Asia-Pacific Regional Space Agency Forum, “Expanding space innovation through diversified partnerships”, had been held online from 30 November to 3 December 2021.",
"The Committee noted that the fifteenth meeting of the Governing Council of APSCO had been held online from 9 to 11 November 2021. The Council approved the APSCO project implementation plan for 2021-2025 and amendments to the APSCO rules of engagement.",
"The Committee recommended that the item on ways and means of maintaining outer space for peaceful purposes should continue to be considered, on a priority basis, at its sixty-sixth session, in 2023.",
"Report of the Scientific and Technical Subcommittee on its fifty-ninth session",
"The Committee took note with appreciation of the report of the Scientific and Technical Subcommittee on its fifty-ninth session (A/AC.105/1288), which contained the results of its consideration of the agenda items in accordance with General Assembly resolution 76/76.",
"73. The Committee expressed its appreciation to Juan Francisco Facetti (Paraguay) for his outstanding leadership during his chairmanship of the Subcommittee at its fifty-ninth session.",
"The representatives of Australia, Austria, Brazil, Canada, Chile, China, Finland, Germany, Indonesia, Iran (Islamic Republic of), Italy, Japan, the Russian Federation, South Africa, Switzerland, the United Kingdom, the United States and Venezuela (Bolivarian Republic of) made statements under the item. The representative of Morocco made a statement on behalf of the Group of 77 and China. The observer for the International Astronomical Union also made a statement. During the general exchange of views, statements relating to this item were also made by other member States.",
"The Committee heard the following presentations:",
"(a) “`Herra' (HERA) mission: three-dimensional visual treatment and visualization analysis of `dual asteroid re-orbiting' (DART) to asteroids” (a) Dimonphos impact, by the representative of Austria;",
"(b) “real-time Earth observation for disaster management”, by the representative of Austria;",
"(c) “Large constellations in LEO are profoundly affecting world space activities”, by the representative of China;",
"(d) “The impact of the re-orbiting of two asteroids to the test”, by the representative of the United States.",
"United Nations Programme on Space Applications",
"(a) Activities of the United Nations Programme on Space Applications",
"The Committee took note of the discussion of the Subcommittee under the item “Activities of the United Nations Programme on Space Applications”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee noted that the priority areas of the Programme were environmental monitoring, natural resource management, satellite communications, disaster risk reduction, the use of global navigation satellite systems, the Basic Space Science Initiative, climate change, the Basic Space Technology Initiative and the Human Space Technology Initiative, as well as biodiversity and ecosystems.",
"The Committee took note of the activities of the Programme carried out in 2021 and planned for 2022, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee expressed its appreciation to the Office for Outer Space Affairs for the manner in which the activities of the Programme had been carried out, in particular in 2021, subject to the limited funds available. The Committee also expressed its appreciation to the Governments and intergovernmental and non-governmental organizations that had sponsored those activities. The Committee noted with satisfaction that further progress was being made in the implementation of the activities of the Programme in 2022.",
"The Committee expressed concern that the financial resources available to the United Nations Programme on Space Applications remained limited and stressed the need to equip the Office with the necessary resources, including adequate funding, to assist more countries in accessing the benefits of space science and technology and their applications in accordance with the spirit of the Outer Space Treaty and the “space 2030” agenda.",
"The Committee noted that, in the first, second and third rounds of the teams from Kenya, Guatemala and Mauritius, respectively, the small Cube Satellites developed had completed their deployment from the International Space Station through the United Nations/Japan Cooperation Programme for the deployment of the Cube Small Satellites from the Japanese Experiment Module (“Hope”) of the International Space Station. The teams of Indonesia, the Republic of Moldova and the Central American Integration System (SICA) in the third, fourth and fifth rounds, respectively, are currently developing their Cube Small Satellites under the programme. The Committee further noted that the Hope Cube Small Satellite Programme had become an important tool for capacity-building in space science and technology and that, in that regard, the Office for Outer Space Affairs and the Japan Aerospace Exploration Agency (JAXA) had announced the extension of the small satellite programme to the end of December 2024 and had added a new educational opportunity, called the Hope Cube Cube Satellite Academy.",
"The Committee noted that the United Nations Programme on Space Applications continued to implement the “Space Opportunities for All” initiative, which focused on expanding the capacity of member States to reap the benefits of space and providing partners in the initiative with research and development opportunities for hardware delivery to space-related technologies, the facilitation of microgravity experiments with unique ground and orbital facilities and access to and training in the use of space data, including the use of astronomical data, to enable those countries to enter the international space arena and to promote in-depth capacity-building in space science and technology.",
"The Committee requested the Office for Outer Space Affairs to continue to work with the Scientific and Technical Subcommittee to identify priorities for the programme.",
"The Committee noted with satisfaction that the United Nations Programme on Space Applications continued to emphasize, promote and facilitate cooperation with Member States at the regional and global levels in support of the regional centres for space science and technology education, affiliated to the United Nations.",
"The Committee noted that the Office for Outer Space Affairs continued to work closely with the regional centres for space science and technology education, affiliated to the United Nations, namely, the African Regional Centre for Space Science and Technology Education (in English); the African Regional Centre for Space Science and Technology Education (in French language); the Centre for Space Science and Technology Education in Asia and the Pacific; the Regional Centre for Space Science and Technology Education for Latin America and the Caribbean; the Regional Centre for Space Science and Technology Education for Western Asia; and the Regional Centre for Space Science and Technology Education for Asia and the Pacific (China). In that connection, the Committee noted with appreciation that the host countries of the regional centres for space science and technology education, affiliated to the United Nations, were providing substantial financial and in-kind support to those centres.",
"(b) International Satellite System for Search and Rescue",
"The Committee noted with satisfaction that the International Satellite System for Search and Rescue (COSPAS-SARSAT), currently composed of 43 member States and 2 participating organizations, provided emergency beacons that covered the globe, carried by ships and aircraft and individual users around the world. The Committee also noted that, in 2021, the programme had helped to rescue 330 people from potentially life-threatening situations throughout the United States and its surrounding maritime areas, and that since the launch of the programme in 1982, COSPAS-SARSAT had supported over 48,000 rescue operations worldwide.",
"2. Space technology for sustainable socio-economic development",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Space technology for sustainable socio-economic development”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee endorsed the decisions and recommendations of the Subcommittee on the item (A/AC.105/1258, para.",
"The Committee took note of the report of the Working Group of the Whole of the Scientific and Technical Subcommittee, reconvened under the chairmanship of Prakash Chauhan (India) (A/AC.105/1258, annex I).",
"Some delegations expressed the view that space science and technology and their applications were important for effectively responding to current and future socio-economic development and sustainability challenges, such as natural disasters, food security, climate change and natural resource security, and noted that space activities were essential to achieving sustainable development goals and the “space 2030” agenda, in particular as part of efforts to support sustainable economic growth, improve the quality of life and manage the global environment. The delegation expressing that view was also of the view that it was important to ensure that the Office had the necessary resources, including adequate funding, to assist more countries in gaining access to the benefits of space science and technology and their applications.",
"3. Matters relating to remote sensing of the Earth by satellite, including applications for developing countries and monitoring of the Earth ' s environment",
"The Committee took note of the discussion of the Subcommittee under the item on matters relating to remote sensing of the Earth by satellite, including applications for developing countries and monitoring of the Earth's environment, as reflected in the report of the Subcommittee (A/AC.105/1258, paras.",
"The Committee noted that international and regional initiatives by States using remote sensing data were being used to support sustainable socio-economic development, in particular for the benefit of developing countries.",
"In the course of the discussion, delegations were informed of the key role played by remote sensing in fully informed decision-making and of national and international cooperation programmes for the use of space data and applications. Examples include territorial mapping and border security, land-use planning, natural and mineral resource management, forestry, and property rights determination and recording, vegetation, crops and soils, and watershed and hydrological mapping tools to support precision agriculture and rural planning, arable land identification, irrigation and groundwater detection, meteorology and weather forecasting, and early warning of severe storms. Disaster management and emergency response, climate change and environmental protection, ocean temperature and sea-level monitoring, air quality monitoring of aerosols and pollutants, including monitoring of essential climate variables for international research, sustainable development, ecosystem management, glacier and snow mapping and research, crop and soil monitoring for irrigation and groundwater detection, space weather monitoring and early warning systems for the protection of critical infrastructure and animal activity monitoring.",
"The Committee noted that important initiatives such as GEO and CEOS played an important role in promoting and facilitating the sharing of remote sensing data and, in that regard, welcomed the continued commitment of many member States in that area.",
"Space debris",
"The Committee took note of the discussion of the Subcommittee under the item “Space debris”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee noted with satisfaction that 2022 marked the fifteenth anniversary of the endorsement of the Space Debris Mitigation Guidelines of the Committee by the General Assembly in its resolution 62/217 and urged States that had not yet done so to consider implementing those Guidelines on a voluntary basis.",
"The Committee also noted with satisfaction that many States and international intergovernmental organizations were implementing space debris mitigation measures in compliance with the Committee's Space Debris Mitigation Guidelines and the Guidelines for the Long-term Sustainability of Outer Space Activities (A/74/20, annex II) and that a number of States had harmonized their space debris mitigation standards in accordance with those guidelines.",
"In addition, the Committee noted that some States were using the Space Debris Mitigation Guidelines of the Committee and/or the Space Debris Mitigation Guidelines of the Inter-Agency Space Debris Coordination Committee (IADC), ISO 24113:2011 of the International Organization for Standardization (space systems: space debris mitigation requirements) and ITU recommendation ITU-R S.1003 (environmental protection in geostationary satellite orbits) as a reference for their national regulatory framework for space activities. The Committee also noted that a number of States were cooperating within the framework of European Union-funded space surveillance and tracking support and in the ESA space security programme.",
"The Committee also noted that a growing number of States were already taking concrete measures to mitigate space debris, including improved design of launch vehicles and spacecraft, satellite reorbiting, passivation, extended life, end-of-life operations and the development of specialized software and models for space debris mitigation.",
"The Committee further noted that the preliminary work of IADC had served as the basis for the Committee ' s Space Debris Mitigation Guidelines and that the Committee had now updated its own Space Debris Mitigation Guidelines in 2022.",
"The Committee noted with concern the challenges posed to the future exploration and use of outer space by the problem of space debris and the proliferation of space debris.",
"The Committee agreed that Member States and international organizations having permanent observer status with the Committee should continue to be invited to provide reports on space debris research, the safety of space objects with nuclear power sources on board, the implications of collisions of such space objects with space debris and ways to implement debris mitigation guidelines.",
"Some delegations expressed the view that the issue of space debris should be addressed in a manner that did not impede the development of space capabilities in developing countries.",
"Some delegations expressed the view that it was important that new subjects of space activities should not be burdened by the historical activities of established subjects of space activities.",
"105. Some delegations expressed the view that addressing the challenges posed by the establishment of a giant constellation in a near-Earth orbit, including those related to the sustainable use of orbits and frequencies, should be a priority for the Committee ' s work.",
"Some delegations expressed the view that space-faring nations and other participating entities, in particular those with large constellations, should be promoted to give due attention to the application of relevant voluntary measures, such as the Space Debris Mitigation Guidelines and the Guidelines for the Long-term Sustainability of Outer Space Activities, and stressed the need to strengthen the capacity of developing countries to implement those measures on a voluntary basis.",
"Some delegations expressed the view that, since orbital debris was a consequence of past and ongoing activities of the major spacefaring countries, the primary responsibility for alleviating the situation lay with technical and financial assistance to assist developing and emerging spacefaring countries in meeting the requirements of the space debris mitigation guidelines.",
"The view was expressed that, when discussing debris mitigation and space traffic management, it was necessary to promote transparency and confidence-building measures in space activities in order to avoid miscalculation and misunderstanding.",
"Space-system-based disaster management support",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Space-system-based disaster management support”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee noted the importance of space-based information for disaster management and emergency response, the use of remote sensing data and Earth observation satellites for the development of multi-hazard early warning systems and disaster impact analysis for various types of natural disasters, including for monitoring the epidemic of coronary virus disease (COVID-19).",
"The Committee welcomed the activities organized by the United Nations Platform for Space-based Information for Disaster Management and Emergency Relief (UN-SPIDER) to support the development of capacity to use space-based information to support the full disaster management cycle. In that regard, the Committee noted the activities and capacity-building of UN-SPIDER, including the generation of customized space-based information for countries in need in 2021 (see A/AC.105/1250), which was carried out with the continued support of its network of partners, and the benefits of the UN-SPIDER knowledge portal (www.un-spider.org), a web-based platform for information, communication and process support to enhance information exchange, experience-sharing, capacity-building and technical advisory support and services.",
"Some delegations expressed the view that, in order to enhance disaster preparedness and emergency relief at the national level, the Office for Outer Space Affairs should increase the capacity-building activities of UN-SPIDER, in particular technical advisory missions and training programmes for developing countries.",
"The Committee noted that several recent international meetings related to disaster management had been held, such as the Third Multi-hazard Early Warning Conference, held in Bali, Indonesia, on 23 and 24 May, and the ESA Survival Planet Symposium, held in Bonn, Germany, from 23 to 27 May, which highlighted the use of space technology in disaster management.",
"The Committee also noted that States had been providing support to the CEOS Working Group on Disasters and the International Satellite Search and Rescue Programme.",
"The Committee noted with appreciation the financial and human resources provided to UN-SPIDER by China, France and Germany, as well as the in-kind contributions made in 2021 by some member States of the Committee and regional support offices in support of the activities of the Office for Outer Space Affairs through UN-SPIDER, including the provision of experts, and noted the efforts made by those countries to share their experiences with other interested countries. In that regard, the Committee encouraged other member States and permanent observers to provide, on a voluntary basis, all necessary support, including increased financial support, to the activities and programmes of the Office, including UN-SPIDER, to enable it to better respond to requests for assistance from Member States and to fully implement its workplan in the coming years.",
"Recent developments in global navigation satellite systems",
"The Committee took note of the discussion of the Subcommittee under the item “Recent developments in global navigation satellite systems”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee had before it a document entitled “Fifteenth meeting of the International Committee on Global Navigation Satellite Systems” (A/AC.105/1251).",
"The Committee noted that the International Committee on Global Navigation Satellite Systems (ICG) played a useful role as the best cooperation mechanism and provided a flexible forum for GNSS providers and users to discuss all matters related to the use of multiple GNSS signals.",
"The Committee noted that the work of ICG was aimed at creating an interoperable multi-purpose GNSS space service space, which would improve navigation in more remote deep space operations outside the geostationary orbit and that GNSS services were expected to be used in space between the Earth and the Moon.",
"The Committee noted the efforts of the Office for Outer Space Affairs to promote the use of GNSS, particularly in developing countries, through its capacity-building and information dissemination initiatives and the role of the Office as the executive secretariat of ICG in coordinating the annual meetings of ICG and its Providers ' Forum.",
"The Committee noted that the fifteenth meeting of ICG and the twenty-fourth meeting of the Providers ' Forum, organized by the Office for Outer Space Affairs, had been held in Vienna from 27 September to 1 October 2021 and that the sixteenth meeting of ICG would be hosted by the United Arab Emirates and held in Abu Dhabi from 9 to 14 October 2022.",
"Space weather",
"The Committee took note of the discussion of the Subcommittee under the item “Space weather”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee noted that space weather caused by solar variability was an international concern, as it posed a potential threat to space systems, manned space flight and the ground and space infrastructure on which society was increasingly dependent. Therefore, there is a need to address this issue in a global manner through international cooperation and coordination in order to be able to predict and mitigate the effects of possible adverse space weather events so that the long-term sustainability of outer space activities is assured.",
"The Committee noted that a number of national and international activities had been undertaken in the areas of research, training and education to increase scientific and technical understanding of the adverse effects of space weather, with the aim of enhancing global resilience to its threats, with the objective of promoting the implementation of guidelines B.6 and B.7 relating to space weather of the Guidelines for the Long-term Sustainability of Outer Space Activities.",
"The Committee noted with appreciation that the Expert Group on Space Weather of the Scientific and Technical Subcommittee had met on the margins of the fifty-ninth session of the Scientific and Technical Subcommittee, in 2022, and between sessions. The Committee also took note of the document submitted to the Subcommittee entitled “Draft final report of the Expert Group on Space Weather: towards improved international coordination of space weather services” (A/AC.105/C.1/L.401), which contained six high-level recommendations, and expressed its appreciation for the dedicated work of Mr. Ian Mann, Rapporteur of the Expert Group.",
"The Committee endorsed the decision of the Subcommittee to consider the report (A/AC.105/C.1/L.401) as the final report of the Expert Group and to issue it as document A/AC.105/C.1/122, as contained in the report of the Subcommittee (A/AC.105/1258, para.",
"Some delegations expressed the view that it was essential for the international space weather community to find a mechanism to coordinate and continue its work.",
"8. Near-Earth objects",
"The Committee took note of the discussion of the Subcommittee under the item on near-Earth objects, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee noted with appreciation the work of the International Asteroid Alert Network and the Space Mission Planning Advisory Group, which were aimed at ensuring that all countries, in particular developing countries with limited capacity to predict and mitigate near-Earth object impact disasters, were aware of potential threats.",
"The Committee noted that, if the global astronomical observatory network found a credible impact threat, the important information available on that threat would be provided by the asteroid alert network and transmitted to all Member States through the Office for Outer Space Affairs.",
"The Committee noted the importance of national efforts and activities to develop the capability to detect, observe, early warning and mitigate potentially hazardous near-Earth objects, which contributed to enhanced international collaboration and information-sharing, and in that regard stressed the importance of promoting the work of the Asteroid Alert Network and the Space Plan Advisory Group.",
"The Committee noted that, in November 2021, the National Aeronautics and Space Administration of the United States had launched its first planet defence technology demonstration mission, \"DART \" , which would demonstrate kinetic energy impact deflection techniques. The Committee also noted that, as a follow-up, ESA's Hera mission was planned to meet with the Didymos asteroid system in 2026 in order to provide a valuable assessment of the deflection technology experiment of the two asteroid reorbiting to test (DART) mission.",
"The Committee noted that the Office for Outer Space Affairs served as the permanent secretariat of the Asteroid Alert Network and the Space Plan Advisory Group and that further information on the meeting had been posted on its web site (http://iawn.net and http://smpag.net).",
"The Committee noted that the seventh IAA Planetary Defence Conference had been held from 26 to 30 April 2021 and hosted by the Office for Outer Space Affairs in cooperation with ESA; and that the eighth Planetary Defence Conference would be held at the Vienna International Centre from 3 to 7 April 2023, hosted by the Office in cooperation with ESA and the host country, Austria.",
"9. Long-term sustainability of outer space activities",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Long-term sustainability of outer space activities”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras. 191-209), and endorsed the decisions of the Subcommittee (A/AC.105/1288, paras. 208 and 209) and of the Working Group on the Long-term Sustainability of Outer Space Activities, chaired by Umamaheswaran R. (India) (A/AC.105/1288, annex II, paras. 7-9 and appendix).",
"136. The Commission had before it the following documents:",
"(a) Conference room paper submitted by the Russian Federation entitled “Implementation of the guidelines for the long-term sustainability of space activities `A.1 Adoption, revision and amendment of national regulatory frameworks, as necessary'” (A/AC.105/2022/CRP.9);",
"(b) Conference room paper submitted by the Russian Federation entitled “Contribution of the Eurasian Regional Centre for Space Science and Technology Education to strengthening the capacity of member States of COPUOS to implement the guidelines for the long-term sustainability of outer space activities” (A/AC.105/2022/CRP.10);",
"(c) Conference room paper submitted by the Russian Federation entitled “Consideration of key outstanding tasks in ensuring the safety of space activities in the context of the long-term sustainability of outer space activities” (A/AC.105/2022/CRP.11).",
"The Committee recalled with appreciation that the Working Group on the Long-term Sustainability of Outer Space Activities had agreed and adopted, at the fifty-ninth session of the Subcommittee, its terms of reference, methods of work and workplan (A/AC.105/1288, annex II, para. 7 and appendix).",
"The Committee also recalled that the Working Group would give equal importance to the three elements of the guiding framework (A/AC.105/1258, annex II, appendix, paras. 6 and 7).",
"The Committee further recalled that the Working Group had agreed to hold informal consultations in a hybrid format in November 2022 (A/AC.105/1288, annex II, para.",
"The Committee was informed that some member States had completed or were in the process of completing an internal assessment of the implementation of the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee on the Peaceful Uses of Outer Space.",
"The Committee was also informed that a number of national, regional and international scientific, technical, legal and policy measures and initiatives had been or were being taken to implement the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities.",
"The Committee was further informed that the Office for Outer Space Affairs had continued its project entitled “Sensitization and capacity-building in relation to the implementation of the Long-term Sustainability Guidelines”, which had been carried out with financial support from the United Kingdom and that, in the second phase of the project, a stakeholder study had been prepared (see spacesustanationality.unoosa.org).",
"Some delegations expressed the view that the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities were best practices for the safe and responsible use of outer space and were essential for the preservation of outer space for future generations.",
"Some delegations expressed the view that, with regard to the practical implementation by States of the Guidelines for the Long-term Sustainability of Outer Space Activities, the exchange of experience and the review of best practices and lessons learned in that regard were essential, as they would facilitate comprehensive communication, international cooperation, awareness-raising and capacity-building.",
"Some delegations expressed the view that it would be useful for the Legal Subcommittee to review and assess the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities.",
"The view was expressed that the Committee on the Peaceful Uses of Outer Space had become the main forum for the discussion of space sustainability, as distinct from other forums, by developing a “bottom-up approach” towards a safe and sustainable approach to the use of space.",
"The view was expressed that the consideration of a number of parallel platforms on thematic issues that had been within the purview of the Committee for many years, including topics falling within the mandate of the Working Group on the Long-term Sustainability of Outer Space Activities, constituted a direct duplication of functions. The delegation expressing that view was also of the view that international work based on the inviolable principle of consensus was the only way to ensure that the long-term sustainability of outer space activities was in the interest of the international community as a whole.",
"The view was expressed that the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities were clear, practical and validated, namely, that States and international intergovernmental organizations had demonstrated the implementation and effectiveness of the Guidelines, and that they did not undermine existing legal obligations or prejudice the use of outer space, in particular by emerging space participants.",
"The view was expressed that, first, the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities were evidence of efforts to mitigate environmental degradation, as they contained recommendations to promote more environmentally friendly approaches in the design and operation of space missions.",
"The view was expressed that the Committee's Guidelines on the Long-term Sustainability of Outer Space Activities, the first complete set of rules governing contemporary space activities, must be updated or supplemented on a continuous basis, taking into account the current and future challenges posed by economic and scientific activities surrounding space resources.",
"The view was expressed that the Committee's Guidelines on the Long-term Sustainability of Outer Space Activities could contribute to improving the domestic dialogue on the impact of space sustainability on the conduct of national space activities and to the development of a stronger regulatory framework in line with the positions of harmonized States.",
"The view was expressed that developing countries should not be left behind or unfairly disadvantaged in space exploration efforts and that the only way to ensure the sustainability of outer space activities was to continue to bring the benefits of those activities to all humanity through enhanced cooperation and collaboration.",
"The view was expressed that, in order to achieve the main objective of the long-term sustainability of outer space activities, it was essential for the Scientific and Technical Subcommittee, within the framework of international cooperation, to focus on areas such as capacity-building and promotion, as well as transfer of technology to developing countries, and that it was essential that the Guidelines for the Long-term Sustainability of Outer Space Activities be implemented effectively, effectively and without discrimination.",
"The view was expressed that understanding what was preventing States from implementing the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities was critical to understanding the form of future capacity-building activities.",
"The view was expressed that the plans of the Working Group on the Long-term Sustainability of Outer Space Activities to identify and study challenges and to consider possible new guidelines were of relevant importance, mainly because of the interest of States and commercial companies in projects for the active removal of space debris and the development of plans and programmes for the exploration and use of the Moon. The delegation expressing that view recalled that further substantive comments relevant to the Working Group were contained in conference room papers A/AC.105/2022/CRP.9, A/AC.105/2022/CRP.10 and A/AC.105/2022/CRP.11.",
"The view was expressed that consideration of the issues of space debris, the preservation of a silent night sky for science and society, near-Earth objects and the use of nuclear power sources could contribute to ensuring the long-term sustainability of outer space activities. The delegation expressing that view was also of the view that consideration of those issues should therefore take into account the Guidelines for the Long-term Sustainability of Outer Space Activities.",
"The view was expressed that the long-term sustainability of outer space activities should remain on the agenda of the Scientific and Technical Subcommittee as a permanent item in order to ensure that the discussions of the Working Group on the Long-term Sustainability of Outer Space Activities, on which progress had been made, continued and received increased attention from all delegations.",
"The view was expressed that a space sustainability rating system developed by a consortium led by the World Economic Forum and operated by the Federal Institute of Technology in Lausanne, Switzerland, would contribute to and enhance responsible and sustainable behaviour in outer space.",
"10. Future role and methods of work of the Committee",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Future role and methods of work of the Committee”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Commission recalled the decision taken at its sixty-second session to add to the agenda of both Sub-Commissions a standing item entitled “Future role and methods of work of the Commission” in order to enable the discussion of cross-cutting issues (A/74/20, para. 321 (h)).",
"11. Use of nuclear power sources in outer space",
"The Committee took note of the discussion of the Subcommittee under the item “Use of nuclear power sources in outer space”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee endorsed the recommendations of the Subcommittee and the Working Group on the Use of Nuclear Power Sources in Outer Space, reconvened under the chairmanship of Sam A. Harbison (United Kingdom), including the extension of the multi-year workplan of the Working Group for one year to finalize the report on the results of the multi-year workplan for submission to the Subcommittee and to explore options for information-gathering on future progress in knowledge, practices and plans for space NPS applications (A/AC.105/1258, para. 237 and annex III).",
"The Commission noted, in that connection, that the Working Group had held a series of intersessional meetings with the assistance of the Secretariat and had held two informal meetings on the margins of the sixty-fifth session of the Commission, on 7 and 8 June 2022, in order to move its work forward.",
"The Committee recognized that a number of States and an international intergovernmental organization were in the process of developing or considering the development of legal instruments governing the safety of the use of nuclear power sources in outer space, taking into account the content and requirements of the Principles Relevant to the Use of Nuclear Power Sources in Outer Space and the Safety Framework for Nuclear Power Source Applications in Outer Space, jointly developed by the Subcommittee and the International Atomic Energy Agency.",
"The Committee also noted, in that connection, the importance of the work of the Working Group, which could lead to the continued exchange of information and the promotion of greater understanding and the development of effective procedures to ensure the safe use of nuclear power in space, given the renewed interest in the use of nuclear power sources in outer space, the fact that nuclear power had opened the door to the exploration of the solar system, the ability to observe and understand previously inaccessible dark and remote planetary objects, and that the use of nuclear power sources in the space propulsion of spacecraft was a potential technology for carrying people and cargo to Mars and for scientific missions to outer solar systems, which could lead to faster and more powerful manned and robotic missions.",
"Some delegations expressed the view that there should be an ongoing mechanism for structured exchanges on the topic at the multilateral level and that the Working Group on the Use of Nuclear Power Sources in Outer Space would recommend to the Subcommittee new arrangements necessary to advance work on the development of safety guidelines for the possible future use of nuclear power sources in outer space.",
"12. Space and global health",
"The Committee took note of the discussion of the Subcommittee under the item “Space and global health”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee endorsed the recommendations and decisions of the Subcommittee and its Working Group on Space and Global Health, convened under the chairmanship of Antoine Geissbühler (Switzerland), on the item, including the decision to establish a space and global health platform and a space and global health network (A/AC.105/1258, para. 249, and annex IV, para.",
"The Committee expressed its appreciation to the delegation of Switzerland for facilitating informal consultations during the current session of the Committee on the text of the draft resolution on space and global health contained in document A/AC.105/L.328.",
"170. The view was expressed that the text of the draft resolution could have been further strengthened by recognizing the importance of research in human medicine and by improving the understanding of ecology, psychology, anthropology, genetics, sports, nutrition and other sciences. The non-discriminatory nature of international cooperation in the field of global health was also emphasized, as was the fact that the development and improvement of health systems should not be hindered by political motivation.",
"Some delegations expressed the view that the draft resolution contained in the annex to the present report had effectively captured the critical role of spatial data and technology in public health. Those delegations also welcomed the adoption of the draft resolution and expressed the need to advance that work and to share the benefits of space activities for global health.",
"At its 790th meeting, on 3 June 2022, the Committee approved the draft resolution on space and global health contained in annex I to the present report. The Committee noted that the approved draft resolution would be submitted to the General Assembly at its seventy-seventh session, in 2022, for adoption under the agenda item entitled “International cooperation in the peaceful uses of outer space”.",
"The Committee took note of a wide range of activities relating to space and global health and recognized that the contribution of space science, space technology and space applications contributed to the prevention and control of diseases, the promotion of human health and well-being, the response to global health problems, advances in medical research, advances in health practices and the provision of health services to individuals and communities, including in rural areas where access to health care was limited.",
"The Committee noted the important role of space science, space technology and space applications in responding to the COVID-19 pandemic and in supporting the tracking of contacts, the determination of the extent of the epidemic, the establishment of disease transmission models and population transmission surveillance, telework networking, tele-health and communications and social isolation responses.",
"The Committee welcomed the report of the Working Group on Space and Global Health on the work carried out under its multi-year workplan (A/AC.105/C.1/121), and expressed its appreciation to the Chairman of the Working Group for his tireless efforts and able leadership in guiding the work of the Working Group under its multi-year workplan.",
"The Committee noted with appreciation the round table entitled “Use of space technology for global health”, organized by Switzerland during the Geneva Health Forum in May 2022, at which space and global health platforms and international networks were presented, with the participation of the Office for Outer Space Affairs, the World Health Organization, the United Nations Satellite Centre and the Group on Earth Observations.",
"The Committee noted that Member States had been invited to select experts and to encourage their participation in the Space and Global Health Network.",
"The Committee agreed that, with effect from 2023, the agenda item entitled “Space and global health” would become a standing item on the agenda of the Subcommittee.",
"Examination of the physical nature and technical attributes of the geostationary orbit and its utilization and applications, including in the field of space communications, as well as other questions relating to developments in space communications, taking particular account of the needs and interests of developing countries, without prejudice to the role of the International Telecommunication Union",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Review of the physical nature and technical attributes of the geostationary orbit and its utilization and applications, including in the field of space communications, as well as other questions relating to developments in space communications, taking particular account of the needs and interests of developing countries, without prejudice to the role of ITU”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"Some delegations expressed the view that the geostationary orbit was a limited natural resource that ran the risk of saturation and therefore threatened the sustainability of space activities in that environment; that its use should be rationalized; and that it should be open to all States on equitable terms, irrespective of their current technical capabilities, taking into particular account the needs of developing countries and the geographical position of certain countries.",
"14. General exchange of views on keeping the night sky silent for science and society",
"The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on maintaining a silent night sky for science and society”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee welcomed the inclusion in the agenda of the Scientific and Technical Subcommittee of the item entitled “General exchange of views on the preservation of a silent night sky for science and society” as a single issue/item for discussion, and the fact that the inclusion of the above-mentioned topics in the agenda was an important recognition that optical and radio astronomy observations were an important aspect of space activities and should be protected from interference.",
"The Committee welcomed the contribution to the discussions made by the United Nations/Spain/IAU Conference on Silence for Science and Society (A/AC.105/1255 and A/AC.105/1257) and the industry symposium on the theme of the Silent Night sky organized by the Office for Outer Space Affairs on the margins of the fifty-ninth session of the Scientific and Technical Subcommittee (A/AC.105/1258, paras. 43-48) and noted the recommendations resulting from those events.",
"The Committee noted the initiative of the International Astronomical Union to invite delegations to contact its recently opened Centre for the Protection of the Silent Night Air from Constellation of Satellite Constellations, which had become operational on 1 April 2022 and was aimed at coordinating international multidisciplinary cooperation efforts with agencies and individuals on a global scale to help mitigate the negative impact of satellite constellations on terrestrial optical and radio astronomy observations and on the enjoyment of the night sky by humankind.",
"The Committee noted the efforts made by some States to protect radio telescopes and radio-static zones from the impact of satellite constellations, the continued contact between the astronomy and satellite communities and the importance of continued cooperation among all relevant participants, in particular the space industry, the satellite constellation operators and the astronomical community, to ensure that the silent night sky was protected from the interference of satellite constellations.",
"Some delegations expressed the view that efforts by a wide range of stakeholders were needed to develop practical solutions to the unintended impact of the constellation of satellites on astronomy.",
"The view was expressed that the negative impact of satellite constellations on the visibility of terrestrial astronomy in the night sky had not yet been fully taken into account and that the matter fell within the mandate of the Committee and that an international consensus regulation was needed.",
"Draft provisional agenda for the sixty-first session of the Scientific and Technical Subcommittee",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Draft provisional agenda for the sixtieth session of the Subcommittee”, as reflected in the report of the Subcommittee (A/AC.105/1288, paras.",
"The Committee endorsed the recommendations and decisions of the Subcommittee relating to the item (A/AC.105/1258, paras.",
"On the basis of the deliberations of the Sub-Commission at its fifty-ninth session, the Commission agreed that the following items should be considered by the Sub-Commission at its sixtieth session:",
"1. Adoption of the agenda.",
"Statement by the Chairman.",
"General exchange of views and introduction to reports submitted on national activities.",
"United Nations Programme on Space Applications.",
"5. Space technology for sustainable socio-economic development.",
"Matters relating to remote sensing of the Earth by satellite, including applications for developing countries and monitoring of the Earth's environment.",
"Space debris.",
"Space-system-based disaster management support.",
"Recent developments in global navigation satellite systems.",
"Space weather.",
"Near-Earth objects.",
"12. Long-term sustainability of outer space activities.",
"(Work for 2023, as reflected in the multi-year workplan of the Working Group on the Long-term Sustainability of Outer Space Activities (A/AC.105/1258, para. 209 and appendix to annex II, para.",
"13. Future role and methods of work of the Committee.",
"Space and global health.",
"15. Use of nuclear power sources in outer space . 11",
"(Work for 2023, as reflected in the multi-year workplan of the Working Group on the Use of Nuclear Power Sources in Outer Space for an extended period of time (A/AC.105/1258, para. 237 and annex III, para. 5))",
"Examination of the physical nature and technical attributes of the geostationary orbit and its utilization and applications, including in the field of space communications, as well as other questions relating to developments in space communications, taking particular account of the needs and interests of developing countries, without prejudice to the role of the International Telecommunication Union.",
"(Single issues/items for discussion)",
"17. General exchange of views on maintaining a silent night sky for science and society.",
"(Single issues/items for discussion)",
"Draft provisional agenda for the sixty-first session of the Scientific and Technical Subcommittee.",
"19. Report to the Committee on the Peaceful Uses of Outer Space.",
"The Committee agreed that the Working Group of the Whole, the Working Group on the Use of Nuclear Power Sources in Outer Space and the Working Group on the Long-term Sustainability of Outer Space Activities should reconvene at the sixtieth session of the Scientific and Technical Subcommittee.",
"The Committee agreed that, in accordance with the agreement reached by the Scientific and Technical Subcommittee at its forty-fourth session, held in 2007 (A/AC.105/890, annex I, para. 24), the theme of the symposium to be held during the sixtieth session of the Subcommittee should be climate action and contributions from space.",
"C. Report of the Legal Subcommittee on its sixty-first session",
"The Committee took note with appreciation of the report of the Legal Subcommittee on its sixty-first session (A/AC.105/1260), which contained the results of its deliberations on each item pursuant to General Assembly resolution 76/76.",
"194. The Commission expressed its appreciation to Nomfuneko Majaja (South Africa) for his outstanding leadership as Chairman of the Sub-Commission at its sixty-first session.",
"The representatives of Austria, Brazil, Canada, Chile, China, Finland, Germany, Greece, Indonesia, the Islamic Republic of Iran, Italy, Japan, Luxembourg, the Republic of Korea, the Russian Federation, the United Kingdom, the United States and Venezuela (Bolivarian Republic of) made statements under the item. The representative of Morocco also made a statement on behalf of the Group of 77 and China. During the general exchange of views, statements relating to this item were also made by other member States.",
"The Committee heard a presentation by the representative of Japan entitled “Progress report on the Asia-Pacific Regional Space Agency Forum initiative on strengthening space policy and legal capacity in Asia and the Pacific”.",
"Information on relevant activities of international intergovernmental and non-governmental organizations relating to space law",
"The Committee took note of the discussion of the Subcommittee under the item entitled “Information on relevant activities of international intergovernmental and non-governmental organizations relating to space law”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"Status and application of the five United Nations treaties on outer space",
"The Committee took note of the discussion of the Subcommittee under the item on the status and application of the five United Nations treaties on outer space, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee endorsed the decisions and recommendations of the Subcommittee and its Working Group on the Status and Application of the Five United Nations Treaties on Outer Space, reconvened under the chairmanship of Bernhard Schmidt-tedd (Germany) (A/AC.105/1260, annex I, paras.",
"Some delegations expressed the view that the discussions in the Working Group on the status and application of the five treaties, the application of international law to small satellites and broader issues such as satellite registration, as well as the extensive document prepared by the Working Group entitled “For the benefit of all States in space: guidance document on the legal framework for space activities” (A/AC.105/C.2/117), had provided useful assistance to the Subcommittee and had greatly assisted States in developing national space law and policy.",
"Some delegations expressed the view that the Legal Subcommittee was the appropriate forum for the progressive development of international space law to advance the peaceful uses of outer space and that there was a need to enhance interaction with the Scientific and Technical Subcommittee to ensure that legal rules remained relevant and applicable to current and planned space activities.",
"Some delegations expressed the view that, in view of the increasing involvement and evolving potential of the private sector in space activities, the negotiation of a legally binding international instrument that would clearly define and direct commercial activities in outer space could play an important role in expanding the use of outer space and promoting space activities for the benefit of mankind and help to ensure that the rights of developing countries were taken into account and that those countries were not excluded from the benefits of space exploration.",
"The view was expressed that, while the five United Nations treaties on outer space constituted the cornerstone of international space law and the increasing number of States that were welcome to accede to them, they needed to be further developed and supplemented in order to be able to adapt to new developments, such as the emergence of non-governmental entities in outer space and private sector actors.",
"Some delegations expressed the view that international space law was a key factor in enabling actors to flourish in a safe and predictable environment and that, in that regard, the fulfilment of the obligation under the Outer Space Treaty to authorize and monitor the activities of non-governmental entities conducting space activities played a crucial role in providing the necessary legal certainty to encourage large-scale private sector investment in space activities.",
"The view was expressed that, as space activities developed, the norms, rules and principles governing outer space activities had to evolve, maintaining and updating national laws on the authorization and continuous supervision of non-governmental entities was a way of promoting certainty and predictability among private sector actors in outer space activities. The delegation expressing that view was also of the view that the sharing of information on national laws to address the obligations of States under the Outer Space Treaty could encourage consensus and a common approach to the interpretation and implementation of the Treaty.",
"206. The view was expressed that the completion or implementation of the recommendations on enhancing the practice of States and international intergovernmental organizations in registering space objects (A/74/20, annex II), recommended by the General Assembly in its resolution 62/101 and contained in the Guidelines for the Long-term Sustainability of Outer Space Activities of the Committee on the Peaceful Uses of Outer Space (A/74/20), was essential in order to overcome the trend of hundreds of unregistered space objects with giant constellations that could have an impact on terrestrial observations of astronomy, Earth orbit and the upper atmosphere of the Earth.",
"Matters relating to the definition and delimitation of outer space and the character and utilization of the geostationary orbit, including consideration of ways and means to ensure the rational and equitable use of the geostationary orbit without prejudice to the role of the International Telecommunication Union",
"The Committee took note of the discussion of the Subcommittee under the agenda item entitled “Matters relating to the definition and delimitation of outer space and to the character and utilization of the geostationary orbit, including consideration of ways and means to ensure the rational and equitable use of the geostationary orbit without prejudice to the role of the International Telecommunication Union”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"Some delegations expressed the view that the lack of a definition of outer space or the lack of delimitation of outer space created legal uncertainty as to the applicability of space law and air law and that issues relating to the sovereignty of States and the boundary between airspace and outer space needed to be clarified in order to reduce the possibility of disputes between States.",
"Some delegations expressed the view that there was no need to define or delimit outer space.",
"Some delegations expressed the view that the geostationary orbit was a limited natural resource that was clearly at risk of saturation and must be used rationally and should be open to all States, irrespective of their current technical capabilities. That would enable States to have equitable access to the geostationary orbit, taking into account, inter alia, the needs and interests of developing countries and the geographical position of certain countries, as well as the procedures of ITU and the relevant norms and decisions of the United Nations.",
"Some delegations expressed the view that the geostationary orbit could not be used, used or occupied by States or appropriated in any other way and that its utilization should be governed by applicable international law.",
"The view was expressed that the geostationary orbit should be considered as a specific area and special part of outer space, that technical and legal governance in that area needed to be specifically targeted and that there should be a regulatory mechanism with its own characteristics.",
"The view was expressed that there were shortcomings in the equitable use of the geostationary orbit. A number of actions should therefore be considered, such as the establishment of a dedicated working group of the Legal Subcommittee, the modification of the corresponding agenda item of the Scientific and Technical Subcommittee in order to consider the technical aspects of the issue, the establishment of an intergovernmental expert group and closer cooperation with ITU on issues related to the equitable use of orbital resources.",
"4. National legislation relevant to the peaceful exploration and use of outer space",
"The Committee took note of the discussion of the Legal Subcommittee under the item on national legislation relevant to the peaceful exploration and use of outer space, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee endorsed the recommendations of the Subcommittee on this agenda item (see A/AC.105/1260, para. 91).",
"The Committee noted the various activities undertaken by Member States to review, strengthen, develop or draft national space laws and policies and to reform or establish the governance of national space activities.",
"The Committee noted with satisfaction that the Secretariat had updated the “A graphical overview of national regulatory frameworks for space activities” (A/AC.105/C.2/2022/CRP.9), which allowed States to understand existing national regulatory frameworks, share their practical experiences and exchange information on their legal frameworks.",
"The Committee noted the regional efforts made by the research group on national space legislation initiatives of the Asia-Pacific Regional Space Agency Forum. The initiative is in its second phase of implementation of the guidelines for the long-term sustainability of outer space activities of the Committee on the Peaceful Uses of Outer Space (A/74/20, annex II), with new States joining the Study Group, bringing the total number of States participating in the study to 12.",
"The Committee agreed that national space legislation should be developed in accordance with international law.",
"The view was expressed that national space legislation should not include legislation relating to the commercialization of outer space.",
"Capacity-building in space law",
"The Committee took note of the discussion of the Subcommittee under the item on capacity-building in space law, as reflected in the report of the Subcommittee (see A/AC.105/1260, paras.",
"The Committee endorsed the recommendations of the Subcommittee on this agenda item (see A/AC.105/1260, para.",
"The Committee agreed that international cooperation in research, training and education in space law was key to building the necessary national capacity to ensure compliance with international space law by an increasing number of space-faring participants.",
"The Committee noted with appreciation the efforts made at the national, regional and international levels by governmental and non-governmental entities to build capacity in space law.",
"Some delegations expressed the view that capacity-building in space law was an essential tool that should be strengthened through international cooperation and that greater support was needed from the Office for Outer Space Affairs and Member States to promote North-South and South-South cooperation with a view to promoting the sharing of knowledge and expertise in the field of space law.",
"The Committee noted with satisfaction that the “Space law for new space actors” project aimed to provide support to strengthen national space law and policy development capacities.",
"The Committee noted with appreciation the United Nations/Chile Conference on Space Law and Policy, held online from 10 to 12 May 2022. The Committee noted that such activities promoted capacity-building in space law by linking experts in space law, practitioners and representatives of Governments, industry and civil society.",
"6. Future role and methods of work of the Committee",
"The Committee took note of the discussion of the Subcommittee under the item on the future role and methods of work of the Subcommittee, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee endorsed the decisions contained in the report of the Subcommittee (A/AC.105/1260, para.",
"7. General exchange of information and views on legal mechanisms for space debris mitigation and remediation measures, taking into account the work of the Scientific and Technical Subcommittee",
"The Committee took note of the discussion of the Legal Subcommittee under the item entitled “General exchange of information and views on legal mechanisms for space debris mitigation and remediation measures, taking into account the work of the Scientific and Technical Subcommittee”, as reflected in the report of the Legal Subcommittee (A/AC.105/1260, paras.",
"The Committee endorsed the decisions contained in the report of the Subcommittee (A/AC.105/1260, para.",
"The Committee noted with satisfaction that the endorsement by the General Assembly, in its resolution 62/217, of the Space Debris Mitigation Guidelines of the Committee was an important step in providing guidance on how to mitigate space debris and urged all States Members of the United Nations to consider implementing the Guidelines on a voluntary basis.",
"The Committee noted with satisfaction that some States had taken measures to implement internationally recognized norms and standards on space debris through relevant provisions in their national legislation, including the Committee's Space Debris Mitigation Guidelines and the Committee's Guidelines for the Long-term Sustainability of Outer Space Activities.",
"The view was expressed that the Subcommittee should expand the Space Debris Mitigation Guidelines of the Committee, taking into account that space platforms with nuclear power sources on board could generate space debris and that such platforms could also collid with space debris. Delegations expressing that view also expressed concern about the re-entry of such debris into the atmosphere in the southern hemisphere, in particular in the South Pacific region, and called upon launching States to take measures to avoid creating space debris.",
"The view was expressed that the recommendations of the Group of Governmental Experts on Transparency and Confidence-building Measures in Outer Space Activities and the Guidelines on the Long-term Sustainability of Outer Space Activities would contribute to the monitoring and mitigation of space debris and to the safe and sustainable conduct of space operations.",
"The view was expressed that there was a need for new binding instruments to reduce space debris.",
"Some delegations expressed the view that the issue of space debris must be addressed by legal means and that the Legal Subcommittee should discuss legal issues such as the State of registry, jurisdiction, control and liability for damage caused by space objects.",
"The view was expressed that the Legal Subcommittee should work closely with the Scientific and Technical Subcommittee to address issues related to space debris and the long-term sustainability of space activities and to develop internationally recognized definitions of basic terms in the field of man-made space debris.",
"The Committee welcomed the recent update and addition to the compendium of space debris mitigation standards adopted by States and international organizations and encouraged States and relevant organizations to contribute to the compendium.",
"8. General exchange of information on non-legally binding United Nations instruments on outer space",
"The Committee took note of the discussion of the Legal Subcommittee under the item on the general exchange of information on non-legally binding United Nations instruments on outer space, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee noted that the Office for Outer Space Affairs had made available on a dedicated web page a compendium of mechanisms adopted by States and international organizations with respect to the non-legally binding United Nations instruments on outer space and invited member States of the Committee and international intergovernmental organizations having permanent observer status with the Committee to continue to submit their replies to the Secretariat for inclusion in the compendium.",
"Some delegations expressed the view that it was important to develop non-legally binding United Nations instruments that complemented and supported the existing United Nations treaties on outer space, responded to new developments in space activities and contributed to further strengthening the safety, security and sustainability of outer space activities.",
"Some delegations recalled the Declaration on International Cooperation in the Exploration and Use of Outer Space for the Benefit and in the Interest of All States, Taking into Particular Account the Needs of Developing Countries, considered that the Declaration was an important instrument for promoting international cooperation to maximize the benefits to all States from the use of space applications, and called upon all space-faring countries to contribute to the promotion and promotion of equitable international cooperation, paying particular attention to the interests of developing countries, and to strengthen the role of the Committee as the main platform for the exchange of information in the field of international cooperation in the exploration and use of outer space.",
"The view was expressed that the non-legally binding United Nations instrument was also an important means of developing a code of conduct to ensure the safe and sustainable use of outer space. The delegation expressing that view also called upon all States to support and continue to cooperate with the Open-ended Working Group established pursuant to General Assembly resolution 76/231 to develop norms, rules and principles of responsible conduct in outer space.",
"General exchange of views on legal aspects of space traffic management",
"The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on legal aspects of space traffic management”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee endorsed the recommendation of the Subcommittee to continue its consideration of the item, in particular in view of the increasing complexity and overcrowding of the space environment as a result of the increasing number of space objects, the diversity of actors in outer space and the increase in space activities.",
"Some delegations expressed the view that those phenomena posed challenges to the safety, security and sustainability of outer space activities.",
"Some delegations expressed the view that the development of a global space traffic management system would contribute to the development, development and implementation of rules of international passage, which were timely and necessary, since issues related to the safety, security and sustainability of outer space activities were of growing concern to all space actors and society.",
"Some delegations expressed the view that norms and principles of responsible conduct in outer space must also be adopted, in particular the general commitment of States not to conduct tests of anti-satellite weapons that would produce long-term orbital debris.",
"The view was expressed that, while the United Nations treaties on outer space and the international regulations of ITU already contained basic provisions relating to space traffic management, and although some topics relating to space traffic management were already covered by non-binding international instruments, such as the Space Debris Mitigation Guidelines of the Committee and the Guidelines for the Long-term Sustainability of Outer Space Activities, there was an urgent need to develop an international space traffic governance regime, consisting of technical and regulatory provisions, to fill legal gaps in existing instruments. The delegation expressing that view was also of the view that the Subcommittee was the appropriate forum for the development of such an integrated multilateral approach to the effective management of space traffic and that any single national or regional effort in that regard could create a risk of fragmentation of the law and could lead to a deterioration in the safety of space activities.",
"Some delegations expressed the view that existing international space law, building on the Outer Space Treaty, provided the basic legal regime for space traffic management. The delegation expressing that view was also of the view that all States should maintain the international space order and ensure the safety of spacecraft operations on the basis of international law.",
"The view was expressed that there was no need to define and delimit outer space when considering future approaches to space traffic management.",
"10. General exchange of views on the application of international law to small-satellite activities",
"The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on the application of international law to small satellite activities”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee noted that the item continued to be on the agenda of the Subcommittee and agreed that its retention would help to address issues related to the use of small satellites and raise awareness of those issues.",
"The Committee noted that activities involving small satellites, regardless of their size, should be carried out in accordance with international space law.",
"256. Some delegations expressed the view that the activities described above should also be carried out in accordance with the existing international regulatory framework.",
"The Committee was informed of the programmes of States and international organizations that focused on the development and operation of small satellites and the regulatory framework applicable to their development and use.",
"Some delegations expressed the view that, in view of the important role of space objects, regardless of their size, in the socio-economic development of Member States, the Committee and its subcommittees should not establish a temporary legal regime or any other mechanism that might impose restrictions on the design, construction, launch or use of space objects.",
"Some delegations expressed the view that, in discussing the registration of space objects, account should be taken of the continued development of outer space, such as the increasing number of large constellations.",
"The view was expressed that a giant constellation had an impact on the long-term sustainability of outer space activities and that the Legal Subcommittee should hold a focused discussion on the topic.",
"11. General exchange of views on potential legal models for activities relating to the exploration, development and use of space resources",
"The Committee took note of the discussion of the Subcommittee under the item entitled “General exchange of views on potential legal modalities for the exploration, development and use of space resources”, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"The Committee endorsed the decisions and recommendations of the Subcommittee and its working group established under this agenda item, which had been reconvened under the chairmanship of Andrzej Misztal (Poland) and Steven Freeland (Australia) as Vice-Chairman (A/AC.105/1260, annex II, paras.",
"The Committee noted that the working group established under this agenda item had been named the Working Group on the Legal Aspects of Space Resources Activities and had agreed on a detailed workplan and working methods, as contained in the appendix to the report of the Working Group (A/AC.105/1260, annex II).",
"Some delegations expressed the view that conference room paper A/AC.105/C.2/2022/CRP.21, submitted by Austria, Belgium, the Czech Republic, Finland, Germany, Luxembourg, Norway, Portugal and Romania, had contributed to the adoption of the plan of work of the Working Group and contained recommendations for the international conference on space resources envisaged in annex II to document A/AC.105/1260, under the auspices of the United Nations.",
"Some delegations expressed the view that the exploration, development and use of space resources should preferably be coordinated at the international level through multilateral forums, such as the Committee and its subcommittees, in order to promote the peaceful and sustainable exploration and use of outer space, thus ensuring that those activities were carried out in conformity with international law and for the benefit of all States.",
"The view was expressed that any outcome of the Working Group, whether in the form of recommendations or a set of principles, provided that a framework for space resource utilization activities was established, should ensure that the rules established by the five United Nations treaties on outer space applied to space resources activities in a manner that did not impede technological progress and private space activities, while fulfilling the commitment contained in article I of the Outer Space Treaty that the exploration and use of outer space should be for the benefit and in the interest of all States.",
"267. The view was expressed that the development of the agenda item on space resources from a topic for discussion to a goal-oriented working group could be a potential model for the future working methods of the Subcommittee as a whole, as it demonstrated a shared desire for multilateral work to achieve concrete and practical results on difficult issues of common interest and to provide useful legal guidance to all space actors.",
"The view was expressed that the adoption by the Working Group of a five-year programme of work to clarify important provisions of the Outer Space Treaty was welcome. The delegation expressing that view was also of the view that a step-by-step approach should be taken to developing a framework for space resources activities and that its results should be consistent with the basic principles of international space law contained in the Outer Space Treaty.",
"269. Some delegations noted that the number of States that had signed the Artemis Agreement on the Principles of Cooperation for the Civil Exploration and Use of the Moon, Mars, Comets and Asteroids for Peaceful Purposes had increased to 19 and considered the Agreement to be a series of commitments setting out the rules and principles that would guide those States in their exploration of the Moon, Mars and other celestial bodies. The delegation expressing that view was also of the view that the Artemis Agreement, based on the Outer Space Treaty, demonstrated the commitment of the signatories to responsible and transparent behaviour when human activities were extended beyond the Earth.",
"270. The view was expressed that one of the key principles set out in the Artemis Agreement was transparency and that States should continue their efforts to share and disseminate information on their national space policies and space exploration programmes. The delegation expressing that view was also of the view that multilateral discussions must focus on identifying practical tools to share information on the activities of States on the Moon in a transparent manner consistent with their international obligations and commitments under the Outer Space Treaty.",
"271. It was observed that, while the Artemis Agreement could serve as a starting point, some of its provisions were easy to accept, some aspects needed to be reduced and coordinated with a broader understanding of the principle of non-appropriation in order to gain greater support.",
"Some delegations expressed the view that any activities for the exploration, development and use of space resources should be carried out in accordance with the five United Nations treaties on outer space that established international space law and that any activities undertaken by States, individually or as groups of States, outside the multilateral framework of the United Nations would result in a fragmentation of cooperation among States members of the Committee and should be avoided.",
"Some delegations expressed the view that the Agreement Governing the Activities of States on the Moon and Other Celestial Bodies provided a useful inspiration for the work of the Working Group, as it contained provisions calling for the establishment of an international regime for the development of space resources and that such development was about to become feasible. The delegation expressing that view was also of the view that such an international regime would be a way of taking into account the efforts of States that contributed directly or indirectly to the exploration of the Moon and the interests of developing countries.",
"Some delegations expressed the view that an authoritative interpretation of the important principles contained in the Outer Space Treaty, such as the principle of non-appropriation and the principle of free exploration and use of outer space, would enable States to make a concrete future commitment to space resources activities. The delegation expressing that view was also of the view that a common understanding of the obligations under the Outer Space Treaty to take due account of the corresponding interests of all other States parties to the Treaty when conducting space activities, as well as of what constituted or did not constitute appropriate consideration, would help to ensure that space resources remained available to all.",
"The view was expressed that, given the limited number of countries in a position to carry out space resource activities, it was important to ensure that the assets accumulated from such activities were not concentrated in the hands of a few stakeholders and that the Outer Space Treaty outlined socially responsible behaviour that supported peaceful, inclusive and sustainable space activities while promoting international participation in a manner that took into account the special needs and interests of developing countries.",
"The view was expressed that, in developing the framework for space resources activities, greater interaction with the Scientific and Technical Subcommittee should be ensured so that the framework agreed upon could respond to actual activities. The delegation expressing that view was also of the view that, as a first step in the development of legal rules governing space resource activities, there was a need for an internationally recognized definition of basic terms relevant to space resource activities and that the development of a set of definitions required technical input.",
"The view was expressed that space resources did not include radio frequencies or orbits, such as the geostationary orbit, as such resources were within the competence of ITU.",
"Some delegations expressed the view that, in developing a framework for the exploration, development and use of space resources, the Working Group could consider existing work already under way in that area, such as the “Contents for developing a framework for international space resources activities” prepared by the International Space Resources Governance Working Group in The Hague, which had been made available as a working paper in all the official languages of the United Nations (A/AC.105/C.2/L.315).",
"Proposals to the Committee on the Peaceful Uses of Outer Space for additional items to be considered by the Legal Subcommittee at its sixty-second session",
"The Committee took note of the discussion of the Legal Subcommittee under the item on proposals to the Committee for additional items to be considered by the Legal Subcommittee at its sixty-second session, as reflected in the report of the Subcommittee (A/AC.105/1260, paras.",
"On the basis of the deliberations of the Sub-Commission at its sixty-first session, the Commission agreed that the following substantive items should be considered by the Sub-Commission at its sixty-second session:",
"Standing projects",
"1. Adoption of the agenda.",
"Statement by the Chairman.",
"3. General exchange of views.",
"Information on relevant activities of international intergovernmental and non-governmental organizations relating to space law.",
"Status and application of the five United Nations treaties on outer space.",
"Matters relating to:",
"(a) The definition and delimitation of outer space;",
"(b) The character and utilization of the geostationary orbit, including consideration of ways and means to ensure the rational and equitable use of the geostationary orbit without prejudice to the role of the International Telecommunication Union.",
"7. National legislation relevant to the peaceful exploration and use of outer space.",
"Capacity-building in space law.",
"9. Future role and working methods of the Committee.",
"Items under workplans",
"10. General exchange of views on potential legal models for activities relating to the exploration, development and use of space resources.",
"(Work for 2023, as described in the multi-year workplan of the Working Group on the Legal Aspects of Space Resources Activities (A/AC.105/1260, para. 206 and annex II, appendix))",
"Single issues/items for discussion",
"11. General exchange of information and views on legal mechanisms for space debris mitigation and remediation measures, taking into account the work of the Scientific and Technical Subcommittee.",
"12. General exchange of information on non-legally binding United Nations instruments on outer space.",
"13. General exchange of views on legal aspects of space traffic management.",
"General exchange of views on the application of international law to small-satellite activities.",
"New Item",
"Proposals to the Committee on the Peaceful Uses of Outer Space for additional items to be considered by the Legal Subcommittee at its sixty-third session.",
"The Committee agreed that the Working Group on the Status and Application of the Five United Nations Treaties on Outer Space, the Working Group on the Definition and Delimitation of Outer Space and the Legal Working Group on Activities Relating to Space Resources should be reconvened at the sixty-second session of the Subcommittee.",
"The Committee endorsed the agreement of the Subcommittee that a symposium should be held during the sixty-second session of the Subcommittee, on the basis of the report of the Legal Subcommittee (A/AC.105/1260).",
"The view was expressed that the Subcommittee should review agenda items on a regular basis in order to discontinue items that lacked interest or seemed no longer necessary, or to develop a work plan to achieve concrete results under items of interest. The delegation expressing that view was also of the view that it was important that items that had previously been suspended could be reintroduced if there was interest or need.",
"D. Space and sustainable development",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Space and sustainable development”.",
"The representatives of China, France, Germany, India, Indonesia, Japan, Kazakhstan, Mexico, the Netherlands, the Russian Federation, South Africa, Thailand, the United Arab Emirates, the United States and Venezuela (Bolivarian Republic of) made statements under the item. Statements were also made by the observers for the Acronyms-Sq km and the World Space Week Association. During the general exchange of views, statements relating to this item were also made by representatives of other member States.",
"286. The Committee had before it the following documents:",
"(a) Report of the United Nations/Austria World Space Forum on the theme “Space for climate action” (A/AC.105/1266);",
"(b) Report on the United Nations/Brazil/United Arab Emirates expert meeting on “Space for women” on the theme “Women in space initiatives, challenges and opportunities” (A/AC.105/1267).",
"Under this item, the Committee heard the following presentations:",
"(a) “Satellite applications in emergency management in China (2021-2022)”, by the representative of China;",
"(b) “Protection of the outer space environment contributes to sustainable space activities”, by the representative of China;",
"(c) “Earth observation applications for national development and governance in India”, by the representative of India;",
"(d) “Capacity-building activities in the field of space in India: an update”, by the representative of India;",
"(e) “Space technology: contribution to sustainable development in Iran”, by the representative of the Islamic Republic of Iran;",
"(f) “JAXA Sustainable Space Principles: JAXA contribution to sustainable development goals”, by the representative of Japan;",
"(g) “Space for food security”, by the representative of the Netherlands.",
"(h) “Disaster monitoring and construction of spatial information using Korean Landsat images”, by the representative of the Republic of Korea;",
"(i) “The Brazil, Russian Federation, India, China and South Africa (BRIC) Flagship Telescope and Data Network (BITDN) Project: BRICS Global Optical Telescope Network”, by the representative of the Russian Federation;",
"(j) “Innovative, cross-cutting and advanced space technology training programmes for developing countries”, by the representative of the Russian Federation;",
"(k) “Land-range monitoring systems for marine ecosystem research”, by the representative of the Russian Federation;",
"(l) “Capacity-building for the nascent space industry”, by the representative of the Philippines.",
"288. The Committee reaffirmed its recognition of the important role of space science and technology and their applications in the implementation of the Agenda for Sustainable Development 2030, in particular the sustainable development goals, the Sendai Framework for Disaster Risk Reduction 2015-2030 and the commitment of States parties to the Paris Agreement on climate change.",
"The Committee noted the value of space technology and applications and space-derived data and information for sustainable development, including in the areas of environmental protection, land and water management, rural and urban development, marine and coastal ecosystems, health care, climate change, disaster risk reduction and emergency relief, energy, infrastructure, navigation, seismic monitoring, natural resources management, snow and glaciers, biodiversity, agriculture and food security, which contributed to improved policy and action programme formulation and implementation.",
"The Committee noted with satisfaction that the Office for Outer Space Affairs had organized a series of World Space Forums in cooperation with the Governments of Austria and the United Arab Emirates.",
"The Committee noted that States had provided information on efforts to integrate cross-sectoral activities at the national, regional and international levels and to integrate space-derived geospatial data and information into all sustainable development processes and mechanisms.",
"The Committee also noted the information provided by States on their actions and programmes aimed at increasing the knowledge and awareness of society at large of the use of space science and technology applications for development needs.",
"The Committee noted that the International Space Station continued to play an important role in scientific research for sustainable development.",
"The Committee noted with satisfaction that a number of national awareness-raising activities had been undertaken at the regional level to build capacity in the use of space science and technology applications for sustainable development through education and training.",
"The Committee noted the value of international cooperation and partnerships to realize the full potential of space science and technology and applications for sustainable development.",
"The Committee noted that the Fourth Ministerial Conference on Space Applications for Sustainable Development in Asia and the Pacific would be held in Indonesia in October 2022.",
"E. Spin-off benefits of space technology: review of current status",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Spin-off benefits of space technology: review of current status”.",
"The representatives of Algeria, Brazil, India, Italy, Mexico, the Russian Federation, South Africa, the United States and Venezuela (Bolivarian Republic of) made statements under the item. During the general exchange of views, statements relating to this item were made by representatives of other member States.",
"The Committee heard the following presentations:",
"(a) “SAOCOM project as an engine for national capacity-building”, by the representative of Argentina;",
"(b) “Use of Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhang Zhen and High-point Remote Sensing Satellite for natural disaster monitoring”, by the representative of China;",
"(c) “The Russian new generation very long baseline interferometry network”, by the representative of the Russian Federation.",
"The Committee noted that States had provided information on their national practices in the spin-off benefits of space technology, involving various actors, including the private sector and academia.",
"The Committee noted that the publication entitled Spin-off 2022, published by NASA, was available on its website. The Committee expressed its appreciation to NASA for making the series Spin-off Benefits available to delegations on an annual basis since the forty-third session of the Committee, in 2000.",
"302. The Committee noted innovations in a number of areas, including agriculture, indoor vertical farming, remediation of pollution and toxic chemicals, sustainable management of water and natural resources, forest and wildfire detection, geology, geophysics, ecosystem protection, identification and development of arable land, fisheries and mineral deposits, health, medicine, prosthetics, biology, chemistry, environment, education, electronics, communications, navigation and timing, material applications, energy storage, transport, safety, Internet access, laser data transmission, processing, analysis and storage, and disaster management. In addition, the Committee noted that many of the technologies developed for space applications and licensed by space agencies had been transferred to industry and had been used in practice in society. In particular, commercial actors have developed various types of medical support equipment using space-based spin-off technologies to respond to the coronary virus (COVID-19) pandemic.",
"Some delegations expressed the view that the technology transfer programmes of space agencies had contributed to the economic development of industries, which in turn had enabled entrepreneurs, companies, academia and government agencies to take advantage of innovation. The delegation expressing that view was also of the view that those programmes would contribute to strategic initiatives to create an integrated international space ecosystem that would promote private sector growth and industrial self-reliance, attract foreign commercial investment and encourage international cooperation.",
"Some delegations expressed the view that specialized public sector entities responsible for working directly with industry and academia had supported commercial participation and promoted the use of space-based technologies to achieve wider use and greater socio-economic benefits.",
"Some delegations expressed the view that long-term research on the socio-economic impact of public sector investment in the space sector could determine how providers and users of space-derived technologies had improved their performance and innovation potential. The delegation expressing that view was also of the view that products and services derived, in particular from space technology, including Earth observation, navigation and timing technologies, had improved the commercial supply of a wide range of products and services and had contributed to enhancing the effectiveness and efficiency of research and development.",
"Some delegations expressed the view that remote sensing, geospatial and Earth observation programmes, in particular imagery, data and analysis, were of particular importance in the areas of disaster management and emergency response, urban and agricultural planning, health mapping, energy, food security, border surveillance, control of illicit crops and illegal mining, logistics, construction, tourism, ecology, combating desertification and supporting the processing of large quantities of data through neurological network technology, artificial intelligence and machine learning. Delegations who expressed that view also felt that such programmes were important for the implementation of sustainable projects and helped to provide a basis for decision-making for entities affected by climate change.",
"F. Space and water",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Space and water”.",
"The representatives of Algeria, Brazil, France, India, Indonesia, Iran (Islamic Republic of), Japan, Mexico and Thailand made statements under the item. The observer for the Prince Sultan Bin Abdulaziz International Prize for Water also made a statement under the item. During the general exchange of views, statements relating to this item were also made by other member States.",
"In the course of the discussion, delegations reviewed water-related cooperation activities, citing examples of national programmes and bilateral, regional and international cooperation, and the beneficial impact of international cooperation and policies on the sharing of remote sensing data.",
"310. The Committee noted that water and its associated problems were becoming the most serious environmental problem in the twenty-first century. The Committee also noted that, in order to contribute to the achievement of sustainable development goals, it was important to use space technology and applications, as well as practices and initiatives facilitated by space-based observations of water.",
"The Committee noted that there were many space-based platforms dealing with water-related issues and that space-derived data had been widely used for water management. The Committee also noted that space technology and applications, combined with non-space technologies, played an important role in addressing a wide range of water-related issues, including: sea-level observations and studies, global water cycle and unusual weather patterns; mapping of surface water bodies, watercourses and watersheds, including their seasonal and annual variability; water retention monitoring of dams; assessment of the sedimentation processes of reservoirs and rivers; river run-off; evaporation monitoring; estimation of water quality parameters; estimation of snow runoff; monitoring of groundwater resources; planning and management of reservoirs and irrigation projects; early warning of hydro-disaster disasters; monitoring and mitigation of the effects of floods as a result of floods, droughts, typhoons, cyclones, landslides and sudden melting of ice lakes; soil moisture monitoring; reuse of water discharges in agriculture; rainwater harvesting; identification of potential areas for groundwater development; improvement of the timeliness and accuracy of forecasts; and identification of emergency situations, such as fires, pollution, salinization, high levels of algae breeding, accidents and oil spills.",
"312. Some delegations expressed the view that climate change, which had caused severe drought and water-related disasters and land collapse around the world, had become a key issue in stabilizing water resources management.",
"The view was expressed that space-based technologies were useful in monitoring water quality in rivers, lakes, wetlands and coastal waters, especially in large and remote water bodies, including pollutants in water bodies, and that space technology provided insight into ecological disasters such as industrial spills or spreading pollution sites that could affect groundwater at the regional level.",
"314. The Committee noted that sustainable development goal 6, on clean water and sanitation for all, could not be achieved without successful implementation and monitoring of integrated water resources management.",
"The view was expressed that space technology and applications could contribute to the development of water-related policies and coordination efforts to achieve sustainable development goal 6.",
"Some delegations expressed the view that there was a need for policy development, capacity-building, knowledge-sharing, technology transfer, access to space-based and on-site data and interdisciplinary thinking on sustainable development goals to build the capacity of stakeholders to use space-based information and promote innovation, thereby enhancing the capacity of communities to address emerging risks related to water resources.",
"The Committee noted the value of the Space4Water portal of the Office for Outer Space Affairs and highlighted its role in disseminating space technology for water-related purposes.",
"The Committee noted that the Fifth International Conference on the Use of Space Technology for Water Resources Management had been held in Accra from 10 to 13 May 2022, hosted by the Government of Ghana and co-sponsored by the Prince Sultan Bin Abdulaziz International Prize for Water.",
"G. Space and climate change",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Space and climate change”.",
"The representatives of Austria, China, France, India, Indonesia, Iran (Islamic Republic of), Japan, Kenya, Mexico, the Netherlands, Nigeria, the United Arab Emirates, the United Kingdom and the United States made statements under the item. During the general exchange of views, statements relating to this item were also made by representatives of other member States.",
"The Committee heard the following presentations:",
"(a) “China Space Observatory on Climate Change and Response”, by the representative of China;",
"(b) “Geostationary environmental monitoring sensor climate change research application plan”, by the representative of the Republic of Korea;",
"(c) “Contribution of the Copernicus Initiative to global efforts to monitor carbon dioxide emissions”, by the Permanent Observer for the European Union;",
"(d) “The benefits of space solar energy”, by the observer for the National Space Society.",
"The Committee noted that climate change was one of the most pressing global challenges of our time and stressed the increasing value of space-based technologies in providing critical climate data through which they could better understand, mitigate and adapt to climate change and monitor the implementation of the Paris Accords, as well as the importance of space-based observations for understanding climate change. The Committee also noted the importance of space-based observations in achieving sustainable development goal 13 on climate action.",
"The Committee noted the efforts made at the national, regional and international levels to develop and operate satellites to observe atmospheric conditions and the importance of multi-stakeholder partnerships and actions to use space-based observations and technologies to address climate change. In that connection, the Committee noted the contribution of Working Group III to the sixth assessment report of the Intergovernmental Panel on Climate Change, issued in April 2022, in which the Working Group called for urgent action to limit global warming to 1.5°C and noted the important role of space technology and applications on the road to a climate-friendly transition. It was also noted that more than half of the 54 variables used by the Intergovernmental Panel on Climate Change could be measured only with support from the important contribution of space-based technologies.",
"The Committee noted that international partner agencies and organizations, including the Office for Outer Space Affairs, had expressed an interest in and contributed to the work of the Space Climate Observatory, which had been established at the initiative of the Centre national d'études spatiales of France and endorsed by more than 20 space agencies in the Paris Declaration adopted at the “One Earth” Summit on 11 December 2017, and that, to that end, a joint statement of intent had been signed in Le Bourget, France, on 17 June 2019, giving the Observatory the primary objective of producing and disseminating, at the national and regional levels, adequate, timely and reliable data information on climate change impacts to identify and implement mitigation and adaptation initiatives using space technology, targeted measures and relevant models cross-referenced to socio-economic indicators.",
"The Committee also noted that the Space Climate Observatory had developed its Charter and had been submitted to 36 space agencies that were currently signatories to the declaration of intent. In that regard, the Committee noted that the Charter of the Space Climate Observatory, which would enter into force on 1 September 2022, would enable the Observatory to take its place in multilateral networks working to address climate change and that the mandate given to the Observatory under the Charter was to promote the mobilization of space-based tools for climate action and to support the implementation of the Paris Agreement on Climate Change.",
"The Committee noted that, as part of the Austrian “Space-enabled Climate Action” initiative, the annual United Nations/Austria Symposium would be held from 12 to 15 September 2022 on the theme “Space-enabled climate action: experiences and best practices in mitigating and adapting to climate change and supporting sustainability goals on Earth”. The Committee also noted that a dedicated web page on the “Space-enabled climate action” initiative, hosted by the Office for Outer Space Affairs, would be created as part of the Office's efforts to support member States in achieving sustainable development goal 13 on climate action.",
"The Committee noted that the twenty-sixth session of the Conference of the Parties to the United Nations Framework Convention on Climate Change, held in Glasgow, United Kingdom, in 2021, under the British chairmanship and in cooperation with Italy, had highlighted the importance of space-based climate action. In that regard, the Committee also noted that the twenty-seventh session of the Conference of the Parties to the United Nations Framework Convention on Climate Change would be held from 7 to 18 November 2023, under the chairmanship of Egypt.",
"The Committee noted that a number of bilateral partnerships on climate change-related activities in the field of Earth observation, as well as space programmes at the national level, had made the construction, launch and operation of Earth observation satellite systems to track the manifestations and impacts of climate change a high priority.",
"The Committee noted that satellite observations and Earth observation applications helped to monitor basic climate variables and related challenges, such as increased desertification and extreme weather events, as well as to track sea-level changes, carbon dioxide concentrations, sea ice consumption and land snow accumulation, and to collect data on remote areas such as deserts, oceans, polar ice cover and glaciers.",
"The Committee also noted the importance of supporting international cooperation in Earth observation, including through the World Meteorological Organization, the Committee on Earth Observation Satellites, the Coordination Group on Meteorological Satellites, the Global Climate Observing System, the Group on Earth Observations and the Asia-Pacific Space Cooperation Organization. In that regard, the Committee noted that the Office for Outer Space Affairs was currently finalizing a report on the work on strategic mapping, which aimed to gain a more comprehensive understanding of the full range of technical and policy coordination capacities of existing intergovernmental entities in the use of space technology to support climate change mitigation, adaptation, resilience and monitoring.",
"H. Use of space technology in the United Nations system",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Use of space technology in the United Nations system”.",
"The representatives of Austria, India, Indonesia and Mexico made statements under the item. During the general exchange of views, statements relating to this item were also made by representatives of other member States.",
"333. The Commission had before it the following documents:",
"(a) Report of the Inter-Agency Meeting on Outer Space Activities on its fortieth session (A/AC.105/1263);",
"(b) Conference room paper containing an advance version of the special report of the Inter-Agency Meeting on Outer Space Activities on the coordination of space-related activities within the United Nations system for climate action (A/AC.105/2022/CRP.15).",
"The Committee heard the following presentations under this item:",
"(a) “Russian-Cuban Observatory: objectives, equipment and missions”, by the representative of the Russian Federation;",
"(b) “The impact of the universe on Earth: an assessment of the consequences”, by the representative of the Russian Federation.",
"The Committee noted that the fortieth session of the Inter-Agency Meeting on Outer Space Activities had been held online on 14 December 2021. The Committee also noted that the Office for Outer Space Affairs, in cooperation with the Economic and Social Commission for Asia and the Pacific, was seeking to jointly organize the forty-first session of the United Nations Coordination Conference on Outer Space.",
"The Committee also noted that the United Nations Coordination Conference on Outer Space had agreed to issue a publication in 2022 highlighting space-related activities within the United Nations system.",
"The Committee welcomed the special report of the United Nations Coordination Conference on Outer Space on the coordination of space-related activities for climate action within the United Nations system (to be issued under the symbol A/AC.105/1264) and expressed its appreciation to the United Nations Coordination Conference on Outer Space and the Office for Outer Space Affairs, in its capacity as secretariat, for the preparation of the report.",
"338. The Committee encouraged entities of the United Nations system to participate, as appropriate, in the coordination of the United Nations Coordination Conference on Outer Space.",
"The Committee noted that the third batch of the microsatellite assembly and training programme would be implemented by the United Nations Space Research Organization, in coordination with the Office for Outer Space Affairs, from 15 October to 15 December 2022, and encouraged Member States, in particular those interested in space, to apply and benefit from the programme.",
"Future role and working methods of the Committee",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Future role and methods of work of the Committee”.",
"The representatives of Chile, China, France, Germany, Indonesia, the Netherlands, the Russian Federation, Switzerland, the United Kingdom, the United States and Venezuela (Bolivarian Republic of) made statements under the item. During the general exchange of views, statements relating to this item were also made by representatives of other member States.",
"342. The Commission had before it the following documents:",
"(a) Note by the Secretariat on governance and working methods of the Committee on the Peaceful Uses of Outer Space and its subsidiary bodies (A/AC.105/C.1/L.384);",
"(b) Paper submitted by Canada, Japan, the United Kingdom and the United States entitled “Preparing for a multi-stakeholder dialogue on outer space as part of a future United Nations summit” (A/AC.105/2022/CRP.17).",
"The Committee recalled its consideration of the item, as reflected in the report of its sixty-fourth session (A/76/20, paras. 281-300), the report of the Scientific and Technical Subcommittee on its fifty-ninth session (A/AC.105/1288, paras. 210-223) and the report of the Legal Subcommittee on its sixty-first session (A/AC.105/1260, paras. 103-121).",
"The Committee agreed to consider matters related to a future United Nations summit under the agenda item entitled “Other matters”.",
"Some delegations expressed the view that the Committee should focus exclusively on promoting the peaceful uses of outer space and that matters of escalation and conflict that might arise from the use of weapons against space systems or from the use of outer space for military or other security activities should be dealt with in United Nations disarmament forums.",
"The view was expressed that the Committee should increase its interaction with the Main Committees of the United Nations system in order to provide more advice and cooperation on issues such as nuclear energy and disarmament.",
"347. Some delegations expressed the view that there was a need to strengthen coordination, interaction and synergy between the two subcommittees on cross-cutting issues, particularly with regard to long-term sustainability and space resources.",
"348. The view was expressed that the development and implementation of future procedures allowing for debate on topics of interest and decision-making would enhance the efficiency and vitality of the Commission ' s work.",
"349. Some delegations expressed the view that new agenda items should be added to the Commission and its subcommittees only if other agenda items were deleted.",
"350. Some delegations expressed the view that agenda items should be considered in a sequential manner, without excluding the holding of working group meetings.",
"351. The view was expressed that all member States should first be given the opportunity to speak under the agenda item before being allowed to speak by observer organizations.",
"The view was expressed that the Commission should consider new and innovative ways of involving relevant stakeholders, such as industry, academia and civil society.",
"353. The view was expressed that it was important for the Commission to improve and enrich its working methods, strengthen its own lead role and adopt more effective means of interaction with non-governmental entities within the framework of its rules of procedure and existing practices, in order to adapt to changing realities and needs.",
"The view was expressed that the work of other United Nations entities on space-related issues should be closely coordinated with the work of the Committee, which should receive regular updates from United Nations entities participating in the United Nations Coordination Conference on Outer Space.",
"355. The view was expressed that there was a need to support the work of the regional centres for space science and technology education, affiliated to the United Nations, and to enhance communication and collaboration among the different regional centres for capacity-building in developing countries, which should give special consideration to emerging space-faring and developing countries.",
"356. The view was expressed that it was important to promote human resource capacity development in emerging countries to enable them to utilize the benefits of space technology for development.",
"357. The view was expressed that the hybrid format of the session should be maintained at future sessions, which included live webcasting of plenary meetings translated into the six official languages of the United Nations with interpretation services, and in that regard the importance of providing live streaming and full digital recordings was emphasized.",
"358. The view was expressed that the organization of sessions of the Commission and its subcommissions in a hybrid form should be maintained as an exceptional measure requiring prior approval by consensus.",
"359. The view was expressed that a set of procedures to be followed in cases of force majeure should be developed to ensure the continuity of the Commission ' s work in crisis situations such as the COVID-19 pandemic.",
"360. The view was expressed that the Commission should call upon the open-ended working group established pursuant to General Assembly resolution 76/231 to avoid considering issues that had been dealt with by the Commission and reflected in the decisions taken prior to its establishment.",
"361. Some delegations expressed the view that General Assembly resolution 76/231 was sufficient to clearly define the mandate of the Open-ended Working Group. Delegations expressing that view were also of the view that the Open-ended Working Group was open to participation by all States Members of the United Nations and that the call to avoid duplication between the work of the Commission and that of the Working Group was more appropriate in the context of the Working Group itself.",
"362. Some delegations expressed the view that the record of negative votes in General Assembly resolution 76/231 and the abstention in the vote indicated the controversial nature of the Open-ended Working Group.",
"363. Some delegations expressed the view that consideration of issues related to security and stability fell within the purview of the Disarmament and International Security Committee of the General Assembly (First Committee).",
"Some delegations expressed the view that the work of the Committee on the Peaceful Uses of Outer Space, including the development of guidelines for the long-term sustainability of outer space activities, attested to its role in enhancing the sustainability, security and safety of space activities.",
"The Committee noted with appreciation that the Disarmament and International Security Committee of the General Assembly (First Committee) and the Special Political and Decolonization Committee (Fourth Committee) would hold a joint panel discussion on possible challenges to space security and sustainability in New York on 27 October 2022, with the joint support of the Office for Outer Space Affairs and the Office for Disarmament Affairs, and agreed that the joint panel should address cross-cutting issues between the Committee on the Peaceful Uses of Outer Space and the Open-ended Working Group.",
"J. Space exploration and innovation",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Space exploration and innovation”.",
"The representatives of Azerbaijan, China, France, India, Indonesia, Italy, Japan, Luxembourg, Mexico, the Republic of Korea, Romania, the Russian Federation, Switzerland, Thailand and the United States made statements under the item. Statements were also made by the observers for the Moon Village Association, the Open Moon Foundation and the Secure World Foundation. During the general exchange of views, statements relating to this agenda item were also made by other member States.",
"368. The Commission had before it the following documents:",
"(a) Conference room paper entitled “Report of the Association of Moon Villages on the Global Expert Group on Sustainable Moon Activities — status/plan” (A/AC.105/2022/CRP.12);",
"(b) Conference room paper entitled “Report of the Moon Village Association on the International Moon Day — Support for implementation” (A/AC.105/2022/CRP.13);",
"(c) Conference room paper submitted by Mexico and Romania entitled “Proposal for inclusion in the annual agenda sub-item `Coordination of sustainable Moon activities' under the agenda item `Space exploration and innovation' of the sixty-sixth session of the Committee on the Peaceful Uses of Outer Space, in 2023” (A/AC.105/2022/CRP.14).",
"The Committee heard the following presentations under this item:",
"(a) “Oasis of the Moon - Vision for the Habitat of the Integrated Moon”, by the representative of Austria;",
"(b) “Progress in deep space exploration in China”, by the representative of China;",
"(c) “Scientific research activities in Italy on the Minerva mission”, by the representative of Italy;",
"(d) “The Korean Pathfinder Moon Orbiter: The First Moon Mission of the Republic of Korea”, by the representative of the Republic of Korea;",
"(e) “New cosmic X-ray maps using spectro-Rentgen-Gamma (SRG) observatories”, by the representative of the Russian Federation;",
"(f) “E.T.PACK Project: Technical Solutions to the Problem of Space Debris Proliferation”, by the representative of Spain;",
"(g) “European sounding rocket launch site: the world's most functional space centre — a new service for a sustainable future”, by the representative of Sweden;",
"(h) “First International Moon Day”, by the observer for the Moon Village Association;",
"(i) “Status of the Scientific Committee on Solar-terrestrial Physics (SOPAC) programme for the adaptation and predictability of solar-terrestrial space”, by the observer for SOPAC;",
"(j) “Plan of the Space Exploration Project Group to ensure a diversified, sustainable and exciting path for future space exploration”, by the observer for the Space Generation Advisory Council.",
"The Committee recalled the origins of the agenda item and the work of the Action Team on Exploration and Innovation, which had prepared the first ever United Nations report highlighting the importance of human space exploration beyond low-Earth orbit (see A/AC.105/1168).",
"The Committee noted with appreciation that, at its current session, delegations had shared information and updates on space exploration and innovative efforts, including details of national activities and programmes, as well as examples of bilateral, regional and multilateral international cooperation.",
"372. The Committee noted that, in the course of the discussion, information had been provided on, inter alia, research and development activities; space object launches; manned space flight plans; robotic exploration activities; activities and opportunities for cooperation with the International Space Station and the China Space Station; numerous missions to the Moon, Mars, Mars, Satellite, Sun and Asteroids; exploration of the solar system and research science with the help of satellite, lander, roaming vehicle and helicopter experiments; sampling back to Earth; planned international lunar research stations; planned lunar outposts; the next generation of telescopes that would soon reveal images of stars and galaxies that had emerged more than 13 billion years earlier; the tectonic satellites that demonstrated small spacecraft technology; booster vehicles that would be used as transport vehicles; space tracking and management capabilities; the development of rocket technology; the development of additional materials and innovative applications of artificial intelligence; the development of original resource utilization technologies; new remote sensing data and applications; the exploration of innovative hubs; the Space Resources Innovation Centre; the development of national space white papers, strategies, federations, plans, road maps, strategies and laws; the commitment of Governments to a common framework for cooperation in space exploration; the space",
"373. The Committee also noted the importance of collaboration among all stakeholders in space exploration and innovation activities, including Governments and governmental institutions, non-governmental entities, academic institutions, scientific and technological research centres, industry and the private sector, to promote the peaceful exploration and use of outer space and the safe and sustainable development of outer space activities for the benefit of all mankind.",
"The Committee also noted that developing countries should be included in space exploration efforts in order to ensure openness and inclusiveness in space exploration activities at the global level.",
"The Committee noted the efforts made to promote the space industry, especially among young people, and to promote the development of human capital in space exploration and innovation.",
"376. The Committee also noted the efforts made to promote diversity and inclusiveness in space exploration and innovation activities.",
"377. The Committee also noted that space exploration and innovation tended to inspire and encourage young people to become involved in the fields of science, technology, engineering and mathematics (scientific sciences) and in the fields of law, policy and communication, as well as in professional studies and careers.",
"The view was expressed that the space sector played a key role in economic diversification and could provide high added value. The delegation expressing that view was also of the view that the development of the space economy was no longer based solely on technological innovation, but also through commercial innovation, which offered a great deal of opportunity to enterprises, institutions and citizens in that regard.",
"The view was expressed that the complexity and cost of space projects necessitated the promotion of international cooperation and trade, the exchange of knowledge and the opening of markets for products and services. Delegations expressing this view also expressed the view that, rather than all countries trying to cover all areas, States should be strongly advised to focus on and develop specific technical expertise so that they could become world leaders in specific areas.",
"380. The view was expressed that the main requirement for a country to begin space exploration and innovation was the firm determination of its leaders to consider space as a strategic area, including their commitment to developing space exploration and innovation through long-term plans, the establishment of support institutions and adequate and sustained investment.",
"The view was expressed that, as emerging space nations would play an important role in future global space exploration, cooperation between emerging space nations and between leading and emerging nations should be discussed more actively.",
"382. The view was expressed that research associations had become centres of competitiveness for the development and creation of rocket and space technology (from design to ready-use products), which fostered ideas, created spin-offs, optimized space infrastructure and improved economic efficiency under the control of State institutions, and concentrated highly qualified personnel within a single organizational structure.",
"383. The interaction between relevant State agencies, small and medium-sized enterprises, university innovation teams and non-State-owned risk financing systems was considered to have proved to be effective, particularly in the case of business accelerators, where start-ups could be selected in a targeted manner to meet industry needs.",
"384. The view was expressed that outer space contained almost unlimited energy and large quantities of useful material and had untapped potential to provide a rich resource for humanity in the future, and that related innovations and developments could enhance the resilience of societies to future challenges.",
"The view was expressed that the main objective of space exploration and innovation should be sustainability, the design and feasibility of the cradle to the cradle, and the use of green technologies to reduce the negative human impact on the planet. The delegation expressing that view was also of the view that new ideologies, methods and products should be used to identify and replace existing waste or harmful practices that had developed over time, to improve the quality of the Earth ' s environment and to correct the course towards a resource-rich future.",
"386. It was considered that exploration was the mission of the human spirit and that it was in that spirit and in the spirit of the Committee to undertake exploration activities to meet the challenges of moving to deep space.",
"The Committee considered the proposal contained in conference room paper A/AC.105/2022/CRP.14.",
"Space 2030 agenda",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Space 2030”.",
"The representatives of Argentina, Austria, China, Germany, Indonesia, Japan, Kenya, Nigeria, Norway, the Republic of Korea, Switzerland and the United Kingdom made statements under the item. A statement was also made by the observer for the al-Array Observatory, a square kilometre. During the general exchange of views, statements relating to this item were also made by representatives of other member States.",
"The Committee heard the following presentations:",
"(a) “CONAE education programme”, by the representative of Argentina;",
"(b) “ Moon 25 (LUNA-25)”, by the representative of the Russian Federation.",
"The Committee welcomed the adoption by the General Assembly, in its resolution 76/3, of the “Space 2030” agenda and its implementation plan as a high-level political document that demonstrated how space activities could contribute to the achievement of sustainable development goals, the Paris Pact and Sendai Framework for Disaster Risk Reduction on climate change, the broad social benefits of such activities and the important role of space technology and applications and space-based data in promoting economic growth and prosperity in the international community. The Committee also commended the Bureau and the secretariat of the Working Group on the “Space 2030 agenda” for their work in facilitating the finalization and adoption of that landmark document.",
"The Committee noted that the “Space 2030” agenda placed emphasis on strengthening partnerships and cooperation among Member States, United Nations entities, intergovernmental and non-governmental organizations, industry and private sector entities, with the aim of ensuring that, through joint efforts and the use of the practical experience and contributions of different stakeholders, space benefits reached all people worldwide. In that regard, the Committee also noted the important role of partnerships and collaborative efforts in bridging the gaps in the use of space-based data for planning and decision-making in developing countries.",
"The Committee noted that, in implementing the “space 2030” agenda, States promoted and benefited from a number of space-related international and regional mechanisms, programmes, projects and platforms and from tools and initiatives that had been developed or were being developed by the Office for Outer Space Affairs (see General Assembly resolution 76/3, paras. 24 and 25).",
"The Committee noted that the four overarching goals of the “space 2030” agenda were structured around the four pillars of space economy, space society, space access opportunities and space diplomacy, and that the actions listed therein had been taken by a number of countries as part of their respective national space programmes and plans, with a view to increasing the economic benefits of space, enhancing the role of the space sector as an important engine for national sustainable development, increasing the participation of all sectors of society, industry, academia, researchers and end-users and promoting the integration of the space sector with other sectors.",
"The Committee also noted that the “Space 2030” agenda contained a strategic vision of the key areas and objectives for the future work of the Committee, its subcommittees and the Office for Outer Space Affairs, which were unique forums for promoting international cooperation in the exploration and use of outer space for peaceful purposes, promoting dialogue between space-faring and emerging space-faring countries and promoting greater participation by all States in space activities, including through capacity-building initiatives.",
"The Committee welcomed the intention of Paraguay, in its capacity as Chairman of the Scientific and Technical Subcommittee, to seek a reference to the “Space 2030” agenda in the ministerial declaration of the high-level political forum on sustainable development to be held in July 2022, as follows: “The Agenda `Space 2030': Space as a Driver of Sustainable Development and its implementation plan, adopted by the General Assembly in its resolution 76/3, is a forward-looking strategy to reaffirm and strengthen the contribution of space activities of States members of the Committee on the Peaceful Uses of Outer Space to the sustainable development goals of the 2030 sustainable development agenda using space tools”.",
"The view was expressed that the “space 2030” agenda was important for a number of States, as it also aimed at promoting and strengthening the use of outer space for the sustainable marine economy.",
"The view was expressed that Member States and other donors should consider providing the Office for Outer Space Affairs with adequate resources to enable it to discharge its mandate fully and effectively and to support Member States in implementing the “Space 2030” agenda.",
"The view was expressed that the Space for Effectiveness initiative of the Federal Polytechnic Institute in Lausanne, Switzerland, was promoting the implementation of the “Space 2030” agenda under the goals of space economy and space education.",
"The Committee noted that, as part of the “Space for Women” project of the Office for Outer Space Affairs, the Meeting of Experts on Space for Women would be held in Daejeon, Republic of Korea, from 16 to 19 August 2022, and that, on the basis of the results of the previous year's Meeting of Experts organized by Brazil and the United Arab Emirates in cooperation with the Office for Outer Space Affairs, a survey would be conducted to assess the current status of women's representation in space agencies and research institutes around the world.",
"The Committee also noted that the Fourth World Space Forum would be held in Vienna from 12 to 15 December 2022, organized by Austria and the Office for Outer Space Affairs, with the objective of strengthening partnerships and dialogue among the international community in support of the implementation of the “Space 2030” agenda.",
"The Committee noted that the Office for Outer Space Affairs intended to make the “Space 2030” agenda and the implementation plan available as a publication to increase its visibility and impact on the wider international community.",
"The Committee noted that States were encouraged to continue to report on the implementation of the “Space 2030” agenda, taking into account the mid-term review of progress in its implementation to be conducted by the Committee in 2025, the final review to be conducted in 2030 and the results of the review to be reported to the General Assembly.",
"The Committee recalled its decision to retain the item on the agenda of each session until 2030 in order to allow member States of the Committee and their permanent observers to share their experiences in implementing the “space 2030” agenda and implementation plans.",
"L. Other matters",
"In accordance with General Assembly resolution 76/76, the Committee considered the agenda item entitled “Other matters”.",
"The representatives of Canada, China, Germany, Japan, Mexico, the Russian Federation, Switzerland and the United States made statements under the agenda item. The representative of the European Union, in his capacity as Permanent Observer, also made a statement on behalf of the European Union and its member States. During the general exchange of views, statements relating to the item were also made by representatives of other member States.",
"Composition of the bureaux of the Committee and its subsidiary bodies for the period 2024-2025",
"407. The Committee recalled that, on the basis of the measures previously endorsed by the General Assembly in its resolution 52/56 relating to the working methods of the Committee and its subsidiary bodies (see A/52/20, annex I, and A/58/20, annex II, appendix III), the Assembly, in paragraph 11 of its resolution 58/89, had endorsed the Committee ' s agreement on the future composition of the bureaux of the Committee and its subsidiary bodies (A/58/20, annex II, paras. 5-9).",
"408. The Committee further recalled that, in accordance with the measures regarding the future composition of the bureaux of the Committee and its subsidiary bodies, the Committee should agree on all members of those bureaux for the period 2024-2025 at its sixty-fifth session.",
"409. The Committee noted that no regional groups had nominated their candidates and encouraged them to submit the required nominations before the consideration of the draft resolution on international cooperation in the peaceful uses of outer space by the Fourth Committee at the seventy-seventh session of the General Assembly, in 2022, or before the sixty-sixth session of the Committee, in 2023.",
"Membership of the Committee",
"The Committee took note of the application of Guatemala for membership in the Committee (A/AC.105/2022/CRP.3) and decided to recommend to the General Assembly at its seventy-seventh session, in 2022, that Guatemala should become a member of the Committee.",
"The Committee took note of the application of Uzbekistan for membership in the Committee (A/AC.105/2022/CRP.4) and decided to recommend to the General Assembly at its seventy-seventh session, in 2022, that Uzbekistan become a member of the Committee.",
"Observer status",
"412. With regard to the application of non-governmental organizations for permanent observer status with the Committee, the Committee recalled the agreement reached at its fifty-third session, in 2010 (A/65/20, para. 311), to grant non-governmental organizations provisional observer status for a period of three years while awaiting information on the results of their application for consultative status with the Economic and Social Council, with the possibility of extending provisional observer status for a further year, if necessary, and to grant permanent observer status to non-governmental organizations whose application for consultative status with the Council was confirmed.",
"413. The Committee took note of the application of the Development Association of the Atlantic Centre for International Studies for permanent observer status with the Committee. The application and the related communication were before the Committee in conference room paper A/AC.105/2022/CRP.5.",
"414. The Committee decided to grant observer status to the Atlantic Centre for International Studies for a period of three years, pending information on the results of its application for consultative status with the Economic and Social Council.",
"The Committee noted the application of the Space Alliance (United Kingdom) for permanent observer status with the Committee. The application and the related communication were before the Committee in conference room paper A/AC.105/2022/CRP.6.",
"416. The Committee decided to grant observer status to the Space Coalition (UK) for a period of three years, pending information on the results of its application for consultative status with the Economic and Social Council.",
"417. The Committee took note of the application of The Hague Institute of Global Justice for permanent observer status with the Committee. The application and the related communication were before the Committee in conference room paper A/AC.105/2022/CRP.7.",
"418. The Committee decided to grant observer status to the Global Institute of Justice in The Hague for a period of three years, pending information on the outcome of its application for consultative status with the Economic and Social Council.",
"419. The Committee took note of the application of the International Peace Alliance (Space) for permanent observer status with the Committee. The application and the related communication were before the Committee in conference room paper A/AC.105/2022/CRP.8.",
"420. The Committee decided to grant observer status to the International League for Peace (Space) for a period of three years, pending information on the outcome of its application for consultative status with the Economic and Social Council.",
"Other business",
"The Committee took note of an informal paper submitted by the Chairman of the Committee at its current session and noted that the Chairman had noted the special role of the Committee and its subcommittees as a unique platform for the discussion of international cooperation in the exploration and use of outer space for peaceful purposes and, therefore, the importance of discussing, as appropriate, the future summit to be held in September 2023 at their respective sessions in 2023; that the Secretariat should report on the preparations for the future summit at the sessions of the Committee and its Subcommittees held in 2023; that the Chairman of the Committee, in consultation with the Bureau of the Committee and its Subcommittees, intended to present proposed points for further consideration at the sixtieth session of the Scientific and Technical Subcommittee, in 2023; that, at the seventy-seventh session of the General Assembly, in 2022, the joint panel discussions of the First Committee and the Fourth Committee of the General Assembly could address the future summit and its multi-stakeholder dialogue on outer space; that the topics for the future summit would be discussed at the World Space Forum 2022 and at the United Nations/Portugal Conference on the Management and Sustainability of Space Activities, to be held in the first half of 2023; and that the primary basis of the",
"Some delegations welcomed the Chair's non-paper and expressed the view that it outlined an excellent way forward in order to prepare the contribution of the Commission in the light of the “future summit” and the multi-stakeholder dialogue.",
"The view was expressed that the multi-stakeholder format of the “future summit” proposed by the Secretary-General of the United Nations was unlikely to provide a means for a productive decision-making process on key issues on the global space agenda.",
"Programme 5, Peaceful uses of outer space: proposed programme plan for the period 2023 and implementation of programme 2021",
"424. The Commission had before it the following documents:",
"(a) Conference room paper entitled “Programme 5, Peaceful uses of outer space: proposed programme plan for the period 2023” (A/AC.105/2022/CRP.16);",
"(b) Proposed programme budget for the biennium 2023 (A/77/6 (Sect. 6)).",
"The Committee welcomed the presentation by the Acting Director of the Office for Outer Space Affairs on the proposed programme plan for the period 2023 and the information provided by the Office on key areas of work.",
"426. The Committee agreed with the proposed programme plan.",
"427. The Committee noted that footnote d to annex I to the proposed programme budget for 2023 (A/77/6 (Sect. 6)) should be corrected to reflect the correct name of the Ministry of Emergency Response Management of China.",
"6. Draft provisional agenda for the sixty-sixth session of the Committee",
"428. The Committee recommended the following items for consideration at its sixty-sixth session, in 2023:",
"Opening of the session.",
"Adoption of the agenda.",
"Statement by the Chairman.",
"4. General exchange of views.",
"Ways and means of maintaining outer space for peaceful purposes.",
"Report of the Scientific and Technical Subcommittee on its sixtieth session.",
"Report of the Legal Subcommittee on its sixty-second session.",
"8. Space and sustainable development.",
"Spin-off benefits of space technology: review of current status.",
"10. Space and water.",
"11. Space and climate change.",
"12. Use of space technology in the United Nations system.",
"13. Future role and methods of work of the Committee.",
"14. Space exploration and innovation.",
"Agenda “Space 2030”.",
"Other matters.",
"17. Report of the Committee to the General Assembly.",
"The Committee noted that it was possible to reach agreement during the intersessional period on the proposal contained in conference room paper A/AC.105/2022/CRP.14 to include “Coordination of sustainable Moon activities” as a one-year sub-item of the agenda item of the Committee at its sixty-sixth session entitled “Space exploration and innovation” and that further discussions could be held during the sixtieth session of the Scientific and Technical Subcommittee and the sixty-second session of the Legal Subcommittee, and that, to that end, member States of the Committee should be informed of any such agreement in that regard as early as possible before the Committee's sixty-sixth session.",
"M. Organization of work of the Committee and its subsidiary bodies",
"430. The Committee agreed on the following tentative timetable for the 2023 sessions of the Committee and its subcommittees:",
"Committee on the Peaceful Uses of Outer Space",
"Annex",
"Draft resolution on space and global health",
"The General Assembly,",
"Recalling its resolutions 51/122 of 13 December 1996, 54/68 of 6 December 1999, 59/2 of 20 October 2004, 66/71 of 9 December 2011, 69/85 of 5 December 2014, 70/1 of 25 September 2015, 71/90 of 6 December 2016, 73/91 of 7 December 2018 and 76/3 of 25 October 2021,",
"Recalling also the recommendations contained in the resolution entitled \" The Space Millennium: Vienna Declaration on Space and Human Development \" , adopted by the Third United Nations Conference on the Exploration and Peaceful Uses of Outer Space, in which participating States called for action to improve public health services through the expansion and coordination of space-based telemedicine services and the control of infectious diseases, [1]",
"Recalling further the fiftieth anniversary of the First United Nations Conference on the Exploration and Peaceful Uses of Outer Space (UNISPACE +50) and its priority theme 5: Strengthening space cooperation for global health,",
"Recognizing the importance of space science and technology and their applications in contributing to the efforts to achieve the Sustainable Development Agenda 2030, in particular sustainable development goal 3, on ensuring a healthy life for all people of all ages and enhancing the well-being of people, and conscious that work in the area of space health can contribute to sustainable development, in particular programmes aimed at improving the quality of life in various ways, including for human health,",
"Emphasizing that objective 2 of the “Space 2030” agenda [3], which addresses the use of the potential of space to address day-to-day challenges and to use space-related innovations to improve the quality of life, can be achieved by strengthening space-related cooperation in support of global health; improving the use and application of space medicine, science and technology; innovation, cooperation and information-sharing in the field of global health, while protecting personal data privacy and using relevant tools to improve scientific progress, timeliness and effectiveness of public health and health interventions; and enhancing capacity-building in space medicine, science and technology,",
"Convinced of the importance and existing contribution of space science, space technology and space applications to strengthening space life sciences and digital health technologies, such as tele-health, telemedicine[4] and tele-epidemiology, with the objective of preventing and controlling diseases and global health problems, promoting sources and supplies of human health, environmental health, animal health and food access and promoting medical research and health practices, including the provision of health services to individuals and communities, irrespective of their geographical location, as a means of promoting equal, affordable and inclusive health opportunities for all,",
"Noting with concern the disparities in the field of telemedicine and tele-health, including the limited extent to which digital technologies are incorporated into public health systems and health care and the lack of harmonized standards for data-sharing among manufacturers of medical equipment,",
"Noting with satisfaction the work of the Committee on the Peaceful Uses of Outer Space and its subsidiary bodies and the Office for Outer Space Affairs of the Secretariat in the area of space and global health, including within the framework of the Action Team on Public Health, established to follow up on the recommendations of the Third United Nations Conference on the Exploration and Peaceful Uses of Outer Space, the follow-up to the Action Team on Space and Global Health, the priority theme 5 of the fiftieth anniversary of the Conference on Enhancing Space Cooperation for Global Health and the work of the Working Group on Space and Global Health of the Scientific and Technical Subcommittee of the Committee, and welcoming the report of the Working Group on its work under its multi-year workplan,[5],",
"Deeply concerned about the devastating global impact on human life, society and development of emerging infectious diseases, including the coronary virus epidemic (COVID-19) and other health-related emergencies, and urging the international community to strengthen the role of space-based solutions, in particular tele-health, in monitoring, preparedness and response activities, through the “whole health” approach,",
"1. Encourages effective coordination among United Nations entities, intergovernmental organizations, Governments and the private sector in all key space activities related to global health;",
"2. Encourages formalized cooperation between health and space agencies at the domestic level, and welcomes existing cross-sectoral networks that promote the exchange of ideas between the space and health sectors;",
"Encourages Member States to establish policy-enabled environmental and governance mechanisms, with due regard to legal and ethical issues, to address the challenge of facilitating the effective use of space-based technologies, including telemedicine solutions, and other emerging technologies;",
"4. Also encourages Member States to promote, to the extent possible, open data-sharing policies and participatory practices in the development and improvement of access to all geospatial information relevant to global health, including remote sensing and Earth observation data;",
"Further encourages Member States to achieve organizational and technical interoperability and to promote research and innovative activities to facilitate the development and implementation of space-based science and technology in the health sector;",
"6. Urges United Nations entities and intergovernmental organizations to support the promotion of the development of, equitable access to and application of space-based solutions to meet global health and public health needs, including responses to endemic diseases at the regional and global levels, as well as to emergencies that may affect health and to address the health needs of individuals in Member States, and encourages the implementation of a broader range of space-based solutions, including public-private partnerships, for sustainable development;",
"7. Encourages Member States and participating entities to further their efforts to geomark all health system-related assets, including health information systems, and to use them to further health goals;",
"Encourages Member States to recognize the relevance of the use of space environments and similar scenarios in space[6] for health and life science research and development, in particular the social and economic benefits that astronauts can bring to the planet in terms of their health;",
"9. Also encourages Member States to actively promote international cooperation in the field of space medicine on the basis of equal opportunities for all relevant participants and for the further exploration of outer space by mankind and to further scientific and technological developments and applications in the interest of global health;",
"10. Further encourages Member States to conduct appropriate exercises and exercises to benchmark their operational readiness and response capabilities and their ability to respond to global health events using space technology as appropriate;",
"Welcomes the establishment of a dedicated, collaborative, globally searchable and multifaceted “space and global health platform” in Geneva to promote effective cooperation between Member States, United Nations entities, other international organizations and relevant actors on space and global health issues;",
"12. Stresses that all key activities, reference documents and plans related to the use of space for global health by United Nations entities, including the World Health Organization, other international organizations, States members of the Committee on the Peaceful Uses of Outer Space and, to the extent possible, non-governmental organizations and other non-governmental actors, should be monitored and compiled annually, and that the results of the activities of the annual compilation should serve as a reference for identifying gaps and opportunities and for discussing and sharing them widely in an effort to raise awareness and promote cooperation among relevant actors in this field;",
"13. Recognizes that the role and interest of current actors in the field of space and global health should be analysed and assessed in order to promote synergy, complementarity and cooperation and coordination among all actors;",
"Emphasizes the need to strengthen intersectoral coordination and cooperation in an equitable and sustainable manner for the effective implementation of international, regional, national and national regional capacity-building activities related to space science and technology applications in the field of global health;",
"15. Encourages Member States to involve teaching institutions and other capacity-building mechanisms in the early mobilization of young health professionals in space-related skills and capabilities;",
"Endorses the promotion of capacity-building activities to be organized by United Nations entities and other relevant actors with the objective of furthering the implementation of the “whole-of-health” approach and deepening awareness of and participation in the important contributions of space science and technology with a view to increasing the number of organizations and other actors active in the field of health that are using space science and technology;",
"Requests the Office for Outer Space Affairs, within existing resources, to strengthen capacity-building and networking mechanisms in Africa, Asia and the Pacific and Latin America and the Caribbean through regional technical cooperation projects and to support field projects to strengthen cooperation between the space and global health sectors as an effective strategy to promote better use of space science and technology to facilitate access by beneficiary countries to global health services and to make better use of opportunities offered by bilateral or multilateral cooperation;",
"Member States are encouraged to promote linkages between academia, national experts, telecommunication regulators and science and technology regulators with a view to improving access to and use of digital technologies and information systems in health.",
"[1] Report of the Third United Nations Conference on the Exploration and Peaceful Uses of Outer Space, Vienna, 19-30 July 1999 (United Nations publication, Sales No.",
"[2] Resolution 70/1.",
"[3] Resolution 76/3.",
"[4] The term “telemedicine” is widely used to refer to the use of telecommunications, satellite communications and information technology to provide clinical health care from a distance, including many activities and related subdivisions, such as telecardiology, tele-radiology, tele-eyes, tele-oncology, tele-pharmacology, tele-surgery, tele-skin pathology and other areas under development.",
"[5] A/AC.105/C.1/121.",
"[6] Similar spatial scenarios include parabolic flights, bed rest studies and Antarctic expeditions, as well as other isolated, closed and extreme environments that simulate the space environment on Earth."
] |
[
"第七十七届会议 暂定项目表项目109[1] \n 预防犯罪和刑事司法",
"联合国预防犯罪和刑事司法方案各项任务的执行情况，特别是联合国毒品和犯罪问题办公室的技术合作活动情况",
"秘书长的报告",
"摘要\n 本报告系按大会第76/187号决议编写。其中概述了联合国毒品和犯罪问题办公室（毒品和犯罪问题办公室）为支持会员国努力打击跨国有组织犯罪、腐败和恐怖主义、预防犯罪、强化刑事司法系统而开展的各项活动，包括新出现的政策问题。",
"本报告囊括了毒品和犯罪问题办公室为应对2019冠状病毒病（COVID-19）大流行给预防犯罪和刑事司法系统带来的挑战而开展的各项活动的信息。",
"一. 导言",
"1. 《2030年可持续发展议程》实施五年多以来，可持续发展目标中与犯罪和刑事司法有关的具体目标的总体情况喜忧参半。具体目标16.3，即促进法治和确保人人平等诉诸司法的机会，进展甚微。例如，尽管在2019冠状病毒病（COVID-19）大流行期间，全球监狱人口大幅减少（从2019年的1,180万人减至2020年底的1,120万人），但全球未因犯罪被判刑而遭拘留的囚犯人口比例保持相对不变。[2]减少犯罪暴力方面的工作取得了一些进展，这符合可持续发展目标的具体目标16.1。2015年至2020年间，全球凶杀率下降5.2%。[3]然而，对这类罪行有罪不罚的现象仍然普遍存在。在全球范围内，相对于每100名凶杀受害者，只有约53人被判犯有凶杀罪。[4]因此，预防犯罪和刑事司法工作仍然任重道远。",
"2. 毒品和犯罪问题办公室新推出了“数据事项”系列出版物，其中包括三份研究简报，分别涉及全球监狱人口、可持续发展目标16以及与性别有关的杀害妇女和女童这三个专题。此外，毒品和犯罪问题办公室还发布了关于乌克兰战争对其授权工作领域影响的研究简报，其中包括“乌克兰冲突：毒品需求和供应的关键证据”以及“乌克兰冲突：贩运人口和偷运移民风险的关键证据”。",
"3. 按照大会第76/187号决议的要求，本报告介绍了联合国预防犯罪和刑事司法方案任务的执行情况，并反映了新出现的政策问题和可能的对策。本报告阐述了毒品和犯罪问题办公室在《关于推进预防犯罪、刑事司法和法治：努力实现〈2030年可持续发展议程〉的京都宣言》所涉主题领域开展的活动，该宣言于2021年3月7日至12日在日本京都举行的第十四届联合国预防犯罪和刑事司法大会上通过。",
"4. 由于COVID-19大流行的持续影响，本报告中提到的政府间会议和技术援助活动大多以线上或混合（线下和线上）形式进行。",
"二. 预防犯罪和刑事司法委员会采取的行动，包括第十四届联合国预防犯罪和刑事司法大会的后续行动",
"5. 委员会于2022年5月16日至20日在维也纳举行了第三十一届会议。委员会建议经济及社会理事会核准供大会通过的三项决议：(a)“第十四届联合国预防犯罪和刑事司法大会的后续行动和第十五届联合国预防犯罪和刑事司法大会的筹备工作”；(b)“通过改造和重新融入社会减少再次犯罪”；和(c)“加强国家和国际努力，包括与私营部门共同努力，以保护儿童不受性剥削和性虐待”。此外，委员会还通过了题为“加强国际合作的国际法律框架以防止和打击非法贩运野生动植物”的第31/1号决议。[5]",
"6. 根据大会第76/181号决议，委员会于2021年11月举行了关于落实《京都宣言》的首次专题讨论。此外，根据大会第76/185号决议，委员会于2022年2月举行了关于影响环境的犯罪的专家讨论会。来自130多个会员国以及联合国各实体、政府间组织和国际组织以及民间社会的专家参加了这两次专题讨论。[6]关于第十四届大会后续行动的更多信息载于秘书长关于这一专题的报告（A/77/128）。",
"三. 联合国毒品和犯罪问题办公室在各专题领域采取的行动",
"A. 导言：战略问题",
"7. 《毒品和犯罪问题办公室2021-2025年战略》指导毒罪办在五个专题领域的工作：(a)处理和应对世界毒品问题；(b)预防和打击有组织犯罪；(c)预防和打击腐败和经济犯罪；(d)预防和打击恐怖主义；以及(e)预防犯罪和刑事司法。该战略定义了毒品和犯罪问题办公室在联合国三大支柱——和平与安全、发展和人权方面的任务。该战略承诺将性别平等和增强妇女权能、人权和增强青年权能充分纳入毒品和犯罪问题办公室的各项方案，并鼓励编制综合方案、开展有效的多边合作以及加强与国际组织、民间社会组织和私营部门的伙伴关系。",
"8. 本着该战略的精神，毒品和犯罪问题办公室一直在与越来越多的联合国实体以及国际组织和区域组织合作，协助它们编写战略文件并开展研究和技术援助活动。毒品和犯罪问题办公室积极参与了一些机构间协调机制，包括与吸毒预防、治疗和康复、艾滋病毒/艾滋病、腐败、反恐怖主义、非法资金流动、贩运人口、移民、监禁、警务、法治、性别平等、人权问题（如种族歧视和保护少数群体）、增强青年权能和残疾包容有关的机制。",
"9. 毒品和犯罪问题办公室继续尤其是与非政府组织、学术界和私营部门接触，参加关于《联合国反腐败公约》和《联合国打击跨国有组织犯罪公约》的多利益攸关方讲习班。通过与非政府组织预防犯罪和刑事司法联盟和反腐败公约民间社会联合会的密切合作，确保民间社会参与2021年举行的所有政府间会议和讲习班，来自1,253个组织的4,071个利益攸关方参加了这些会议和讲习班。发起了新的公私伙伴关系，有75名来自私营部门的代表参与其中。",
"10. 毒品和犯罪问题办公室与大会主席办公室合作，于2022年6月6日共同主办了一场主题为“加强把青年纳入预防犯罪政策主流”的高级别专题辩论。该活动旨在为会员国提供一个论坛，就青年如何成为其社区变革的推动者，以及如何成为能够打击犯罪和维护法治的行为者交换意见。该辩论特别注意制定预防犯罪战略，将青年作为与会员国、地方政府、学术界和民间社会一道积极合作的伙伴纳入其中。",
"11. 截至2022年5月，毒品和犯罪问题办公室在95个国家开展了活动。在实施2022年2月7日推出的《拉丁美洲和加勒比2022-2025年战略远景》方面，毒品和犯罪问题办公室将其哥伦比亚国别办事处重新定位为安第斯区域和南锥地区的区域办事处，将其覆盖范围扩大到阿根廷、智利、巴拉圭和乌拉圭，并负责指导多民族玻利维亚国、厄瓜多尔和秘鲁的国家办事处的工作。在此过程中，毒品和犯罪问题办公室力求实现方案协调和业务优化，并促进在该次区域内外良好做法和经验的交流与推广。",
"12. 在阿富汗，在塔利班于2021年8月接管政权后，毒品和犯罪问题办公室开发了战略稳定性网格，以应对阿富汗境内和其周边地区毒品、犯罪和恐怖主义带来的现有和新出现的跨国挑战。该网格旨在促进地区稳定，保护阿富汗及其周边更广泛区域的人民，维护和平、改善人权并促进长期可持续的社会和经济发展，以及应对人道主义危机中的迫切需求。",
"13. 毒品和犯罪问题办公室利用乌克兰地方网络和东道国的难民收容所，编制和传播各种材料，以满足父母和照料者的需要，在人道主义环境中努力维持坚强的家庭。在联合国艾滋病毒/艾滋病联合规划署的支持下，毒品和犯罪问题办公室一直在协调乌克兰监狱主管部门与民间社会组织之间的沟通，以应对监狱环境中的人道主义需求。",
"B. 推进预防犯罪工作",
"1. 解决犯罪的原因，包括根源问题；循证式预防犯罪；以及因地制宜的预防犯罪战略",
"14. 毒品和犯罪问题办公室继续支持各国加强严格的证据收集工作，以帮助预防犯罪。毒品和犯罪问题办公室，连同位于墨西哥的毒品和犯罪问题办公室―国家统计和地理研究所（统计地理所）治理、受害情况、公共安全和司法问题统计信息高级研究中心，以及位于大韩民国的毒品和犯罪问题办公室―韩国统计局亚洲及太平洋犯罪和刑事司法统计高级研究中心，向150个国家提供了能力建设支助，涉及可持续发展目标16的各项指标、《用于统计目的的国际犯罪分类》的实施、非法资金流动的计量、受害情况和腐败调查，以及将性别视角纳入犯罪和刑事司法统计的主流。毒品和犯罪问题办公室与联合国开发计划署以及联合国人权事务高级专员办事处（人权高专办）一起制定了可持续发展目标16调查举措；与联合国促进性别平等和增强妇女权能署（联合国妇女署）制定了衡量与性别有关的杀害妇女和女童行为（也称为杀害妇女和屠杀女性）的统计框架；并与联合国贸易和发展会议共同制定了非法资金流动统计计量概念框架。统计委员会对第一项举措表示欢迎，并认可了另外两项举措。",
"15. 毒品和犯罪问题办公室继续利用其全球、区域和国别方案，通过就战略和方案的设计和实施提供咨询，来支持会员国实施预防犯罪标准。其中包括支持通过调查或社区协商机制，获得关于犯罪和受害情况更好的定性数据。2021年5月，吉尔吉斯斯坦通过了关于预防犯罪基本要素的第60号法律，该法律概述了各种行为体的作用并应对了受害者支助问题。作为一项后续行动，毒品和犯罪问题办公室一直在为执行新的“2022-2028年国家预防犯罪方案”提供技术援助，援助范围涵盖地方行动计划制定和能力建设等领域。毒品和犯罪问题办公室为设计尼日利亚预防海上犯罪和其他犯罪的基于社区的区域性战略提供了战略咨询，包括组织与地方政府和非政府利益攸关方的协商。在2022年5月与主要利益攸关方举行的一次讲习班上讨论了毒品和犯罪问题办公室尼日利亚有组织犯罪威胁评估。该讲习班旨在提供关于该国应对相关威胁的战略的信息。",
"16. 根据《京都宣言》中关于加强预防犯罪的多学科努力的承诺，并作为2021年4月举行的主题为“城市安全、保障和善政：把预防犯罪作为所有人的优先事项”的大会高级别辩论的后续行动，毒品和犯罪问题办公室促进了非洲、亚洲和中美洲公民与司法机构之间的合作，以推进地方一级的预防犯罪工作。在墨西哥和巴西，毒品和犯罪问题办公室支持实施基于社区的战略，以减少犯罪和暴力，促进采取发展性和情景性的预防办法。",
"2. 处理犯罪的经济层面问题",
"17. 毒品和犯罪问题办公室依托打击洗钱、犯罪收益和资助恐怖主义全球方案，继续支持会员国制定和实施有效措施，处理犯罪的经济层面问题，剥夺罪犯和犯罪组织的任何非法所得，为此除其他外，查明、追踪、扣押、没收、追回和返还犯罪所得，并建立强有力的国内金融调查框架，同时继续制定预防和打击洗钱和非法资金流动的战略。",
"18. 毒品和犯罪问题办公室继续支持会员国打击跨国有组织犯罪的努力，包括打击清洗此类犯罪所得的活动。执法、海关、移民和边境控制主管部门以及司法机关和金融情报部门的工作人员继续受益于该办公室开展的因地制宜的能力建设活动。",
"19. 毒品和犯罪问题办公室继续支持追回腐败所得的工作，包括通过反腐败公约实施情况审议机制第二个审议周期下取得的进展。在反腐败公约缔约国会议第九届会议上，毒品和犯罪问题办公室/世界银行追回被盗资产举措的代表介绍了该举措为收集与根据反腐败公约确立的犯罪有关的国际资产追回案件数据而进行的调查的初步结果，并发布了关于直接执行外国限制和没收决定的新出版物。缔约国会议资产追回问题不限成员名额政府间工作组将在2022年举行第十六次会议，拟于在该会议上讨论缔约国会议第九届会议通过的各项决议所产生的问题，特别是关于反腐败问题大会特别会议后续行动的第9/2号决议和关于加强使用实益所有权信息以便利识别、追回和返还犯罪所得的第9/7号决议。",
"20. 反腐败公约规定的对冻结、扣押和没收资产的管理是成功追回资产的基础。2019年，反腐败公约缔约国会议通过第8/1号决议，决定资产追回问题工作组应继续收集各缔约国的最佳做法的信息，以期完成关于管理所冻结、扣押和没收资产的无约束力准则草案，并更新研究报告《2017年对被扣押和没收资产的有效管理与处置》。[7]目前，毒品和犯罪问题办公室正在根据缔约国提交的补充资料修订无约束力准则草案和研究报告。毒品和犯罪问题办公室还继续在这方面提供技术援助。",
"3. 把性别视角纳入主流，包括将预防与性别有关的暴力行为纳入预防犯罪工作",
"21. 把性别视角纳入主流是毒品和犯罪问题办公室支持会员国执行预防犯罪标准的一个关键组成部分，包括通过调查和社区协商机制，以获得关于犯罪和受害情况更好的定性数据。",
"22. 毒品和犯罪问题办公室为制定南非的预防性别暴力国家战略提供了战略咨询。",
"23. 2022年3月，毒品和犯罪问题办公室举办了两期关于犯罪和刑事司法统计中的性别视角的在线培训班。第一期有来自拉丁美洲和欧洲19个国家的689名学员参加，第二期有来自亚太区域36个国家的232名学员参加。",
"4. 预防儿童和青年犯罪，增强青年权能以预防犯罪",
"24. 毒品和犯罪问题办公室根据大会第76/183号决议，继续在其“列队站好，快乐生活”和教育促进司法的举措下加强青年的复原力。2021年，共有15个会员国接受了毒品和犯罪问题办公室提供的政策咨询和技术援助，内容是将体育纳入预防犯罪战略，建设国家和非国家行为体利用体育预防暴力和犯罪（包括预防暴力极端主义）的能力。援助采取了定制培训的形式，从而支持在学校和社区提供以体育运动为基础的生活技能培训，惠及超过1.5万名年轻人，并通过翻修黎巴嫩、墨西哥和乌干达的体育设施，在边缘化社区创造安全空间。",
"25. 为了防止恐怖主义和暴力极端主义团体招募包括儿童在内的个人，毒品和犯罪问题办公室通过一系列技术会议，提高了哈萨克斯坦、吉尔吉斯斯坦、塔吉克斯坦、土库曼斯坦和乌兹别克斯坦的决策者和专业人员的认识，这些会议旨在按照国际标准加强与法律、政策和心理社会事项有关的监管和业务框架。",
"C. 推进刑事司法系统",
"1. 维护受害人权利，保护证人和举报人",
"26. 毒品和犯罪问题办公室继续倡导以受害人为中心的刑事司法办法，以及必须确保所有受害人不受歧视地获得援助、保护和支持，同时遵守《为罪行和滥用权力行为受害人取得公理的基本原则宣言》（大会第40/34号决议，附件）。毒品和犯罪问题办公室在埃及启动了一个关于罪行受害人诉诸司法的新项目。在布基纳法索和尼日尔，毒品和犯罪问题办公室为刑事司法专业人员组织了两次关于向受害人提供有效支助的讲习班。在巴拿马，毒品和犯罪问题办公室为公设辩护人办公室、罪行受害人法律援助部、司法调查部和检察办公室组织了六次涉及数字证据调查的在线培训课程。",
"27. 毒品和犯罪问题办公室编写了《打击有组织犯罪示范立法规定》第二版的修订本，其中有一章与《联合国打击跨国有组织犯罪公约》关于保护证人和受害人的第24和第25条有关。",
"28. 毒品和犯罪问题办公室继续支持《联合国反腐败公约》缔约国强化为举报人提供有效保护的机制。毒品和犯罪问题办公室向超过15个会员国提供了法律咨询和立法援助，以制定与保护举报人有关的立法框架。毒品和犯罪问题办公室还继续与缔约国合作，建立或加强COVID-19大流行背景下的举报和保护机制。为此，毒品和犯罪问题办公室以阿拉伯文、英文、法文、葡萄牙文和西班牙文发布了新的保健部门举报人保护准则，并支持若干缔约国的保健部门实施该准则。",
"2. 改善监狱条件，通过改造和重新融入社会减少再次犯罪",
"29. 毒品和犯罪问题办公室与和平行动部以及人权高专办一道，牵头制定了2021年5月推出的“联合国系统关于监禁问题的共同立场”，将监狱改革和罪犯管理定位为《2030年可持续发展议程》的组成部分。",
"30. 在巴西、加纳、尼日利亚、菲律宾、塔吉克斯坦和突尼斯启动了旨在加强遵守国际最低标准的新的监狱改革项目。在另外18个会员国，毒品和犯罪问题办公室支持其监狱立法改革，或强化狱警培训课程。共有来自160个国家超过77,000名用户报名参加了毒品和犯罪问题办公室关于《联合国囚犯待遇最低限度标准规则》（《纳尔逊·曼德拉规则》）的电子学习课程，该课程以13种语言提供。",
"31. 毒品和犯罪问题办公室继续提供紧急援助，以减轻COVID-19对监狱的影响。在乌干达动员后勤支援，以确保囚犯获得COVID-19疫苗。毒品和犯罪问题办公室在10个国家推广使用非拘禁措施。在肯尼亚，向公务人员宣传了转送、辩诉交易和符合人权的传统司法机制。",
"32. 为了改善囚犯重新融入社会生活的前景，毒品和犯罪问题办公室在哥伦比亚、萨尔瓦多、摩洛哥和突尼斯启动了教育和职业培训方案。在突尼斯，毒品和犯罪问题办公室与一所大学合作开发了一个关于认知行为疗法的硕士学位课程，课程的重点是预防累犯，从而为在监狱中可持续地使用这种疗法做好准备。",
"33. 毒品和犯罪问题办公室继续支持会员国管理暴力极端主义囚犯，包括在羁押的外国恐怖主义作战人员，并防止在监狱中出现从激进走向暴力的风险。15个会员国受益于监狱和缓刑监督管理人员的能力建设、监狱安全和情报的加强以及脱离接触方案的制定。在印度尼西亚和哈萨克斯坦，使用在毒品和犯罪问题办公室支持下开发的风险和需求评估工具已被采纳为正式国策。",
"34. 根据大会第76/182号决议，毒品和犯罪问题办公室分别于2021年12月和2022年4月与主题事项专家举行了协商会议，就减少重新犯罪的可行做法交流信息，以期制定示范战略。讨论的主题包括非拘禁措施的使用、公平判决政策以及拘禁环境和社区内的改造和重新融入社会生活的方案。",
"3. 把性别视角纳入刑事司法系统的主流",
"35. 除了支持预防暴力侵害妇女行为的战略和举措外，毒品和犯罪问题办公室还支持22个会员国增加性别暴力幸存者诉诸性别响应性的司法的机会。主要成就包括关于性暴力的刑法改革和在尼泊尔总检察长办公室设立一个专门部门，越南公安部、检察机关和最高人民法院调整并采用毒品和犯罪问题办公室工具，以及加强多民族玻利维亚国、尼泊尔和越南的国家和地方机构间协调机制。在墨西哥，毒品和犯罪问题办公室对6,860名警察和283名紧急呼叫接线员进行了预防和查明基于性别的暴力案件以及适当治疗和转诊幸存者方面的培训。在危地马拉，毒品和犯罪问题办公室支持法律投诉机制，并改进完善了涉及男女同性恋、双性恋、跨性别者、性别奇异者和间性者、老年人、残疾人和土著人民的案件立案工作。在肯尼亚，毒品和犯罪问题办公室为检察官编写了关于性暴力和性别暴力案件的快速参考指南。在毒品和犯罪问题办公室的支持下，正在制定一项新的南部非洲发展共同体性别暴力示范法，该示范法将为该区域以幸存者为中心的刑事司法改革提供蓝图。2022年3月，在有史以来第一个女法官国际日之际，毒品和犯罪问题办公室发起了“妇女参与司法/争取司法”运动，以促进司法领域的性别平衡和提高对性别平等问题的敏感度。大会在设立国际日的决议中赞赏地注意到仍在处理性别平等问题的全球司法廉正网络将妇女任职人数问题纳入司法系统的工作。",
"4. 处理被刑事司法系统查办的儿童和青年的脆弱性问题",
"36. 在巴西，毒品和犯罪问题办公室与检察官办公室国家理事会合作，对少年司法系统进行了情况分析，开发了一个培训工具，举办了一次能力建设活动，并发布了一份关于改善违法儿童待遇的政策文件。在尼日利亚，毒品和犯罪问题办公室支持对该国一个青少年犯教善所中的225人进行评估，使218人获释，并就被剥夺自由的儿童待遇问题开展了能力建设活动。",
"37. 毒品和犯罪问题办公室在印度尼西亚、伊拉克和尼日利亚启动了提高少年抵御极端主义的能力项目，以预防和应对恐怖主义和暴力极端主义团体暴力侵害儿童的行为。启动阶段结束时，完成了情况分析、建立了国家协调机制，并批准了每个国家的定制工作计划。成立了一个科学咨询委员会，制定了一个全球研究框架，并为国家研究伙伴设立了一个赠款方案。在该项目下，举办了两次能力建设活动：一次是2021年12月在印度尼西亚举行的关于反恐怖主义背景下儿童司法问题的活动；另一次是2022年1月在尼日利亚举行的关于儿童受害者和证人待遇问题的活动。",
"38. 毒品和犯罪问题办公室继续在印度尼西亚、伊拉克、哈萨克斯坦、吉尔吉斯斯坦、塔吉克斯坦、土库曼斯坦和乌兹别克斯坦提供与恐怖主义和暴力极端主义团体有关联的儿童待遇问题的技术援助，并发布了葡萄牙语版的“与恐怖主义和暴力极端主义团体有关联的儿童待遇路线图”。毒品和犯罪问题办公室举办了三次区域网络研讨会，讨论与冲突地区回返儿童改造和重返社会有关的可行做法，并推出了针对该问题的俄语版新的电子学习培训模块。",
"5. 改进刑事调查程序",
"39. 毒品和犯罪问题办公室分发了《关于有效开展约谈以便调查和收集信息的原则》，即《门德斯原则》。此外，毒品和犯罪问题办公室开发了三个关于调查性约谈的在线学习模块，并在尼日利亚和巴基斯坦进行了试点。此外，毒品和犯罪问题办公室还与欧洲安全与合作组织（欧安组织）、欧洲执法培训署、挪威人权中心和防止酷刑协会合作，为全球200多名执法和其他刑事司法专业人员开展了关于有效调查和约谈的区域和国家能力建设。在巴基斯坦，毒品和犯罪问题办公室对1,162名警官和检察官进行了尤其是关于法证调查、职业道德、警察和检察官合作等方面的培训，并提供了关于约谈技巧的培训员培训。",
"40. 毒品和犯罪问题办公室继续支持在执法和海关官员、邮政服务、实验室和司法机构的工作中，加强与法证科学有关的能力。这项支持包括提供关于安全文件检查、犯罪现场调查、毒品鉴定、以安全和对环境无害的方式处理和处置毒品和制作毒品用前体化学品的标准化培训课程、手册、准则和电子学习工具和服务。联合国合成毒品问题工具包得到了关于网络犯罪和邮政安全的新的专门模块的补充，为各国提供了来自整个联合国系统的实用资源，以实施全面对策，应对与合成毒品有关的各种形式的犯罪。",
"D. 推进法治",
"1. 诉诸司法和法律援助",
"41. 毒品和犯罪问题办公室继续支持22个国家诉诸司法的改革工作。主要成就包括与人权高专办合作，在利比里亚、塞内加尔和塞拉利昂完成了与联合国妇女署的一个联合项目，该项目加强了当地法律援助提供者为性暴力和性别暴力幸存者提供服务的能力，开展了提高认识和保护法律权利的运动，并编写了一份关于COVID-19对妇女诉诸司法和获得法律援助影响的报告。独立项目评价的结论是，该项目使法律援助提供者采取满足大流行病期间更多需求的方式向地处偏远社区等的妇女提供数量和质量均有提高的对性别问题具有敏感认识的法律援助。该项目通过宣传、为今后采用相关法律框架而设立当地自主的自下而上的激励措施，为直接、切实执行法律援助系统的关键方面提供了投入。在全球范围内，毒品和犯罪问题办公室，通过着重关注过去因受歧视而被排斥和边缘化的人而突出强调了确保所有人享有平等诉诸司法的机会的重要性。毒品和犯罪问题办公室与世界银行在2021年11月“世界银行法律、司法与发展周”期间共同举办了题为“刑事司法系统中的贫穷和种族平等：通过诉诸司法促进发展”的会议。",
"2. 国家量刑政策",
"42. 作为应对由于过度使用监禁和监狱过度拥挤造成的全球监狱危机的一项措施，毒品和犯罪问题办公室继续促进相称的量刑政策和有效使用非拘禁措施。毒品和犯罪问题办公室继续协助斯里兰卡、泰国和越南政府，以促进性别平等的方式改进非拘禁措施的使用，包括通过评估非拘禁措施的当前使用情况，为刑事司法专业人员举办一系列关于量刑政策和准则的讲习班，以及改进关于罪犯改造和重新融入社会生活的工作。毒品和犯罪问题办公室还在尼日利亚政府努力修订《国家禁毒执法机构法》的过程中就公平量刑政策向其提供咨询意见。",
"3. 有效、可问责、公正和包容的机构",
"43. 毒品和犯罪问题办公室提供技术援助，以期确保执法和刑事司法系统的其他机构廉正公正，确保司法独立。这包括向《反腐败公约》缔约国提供技术援助，以加强各种机构的廉正、透明度、问责制和包容性。",
"44. 除了向执法机关提供道德操守和廉正培训外，毒品和犯罪问题办公室还促进了公共机构的腐败风险评估和风险管理战略的制定，这些机构包括中非共和国的监狱系统和多民族玻利维亚国的司法机构。毒品和犯罪问题办公室提供了关于司法廉正的培训方案和讲习班，并支持会员国制定司法机构道德守则的工作。",
"45. 由毒品和犯罪问题办公室支持的全球司法廉正网络继续为法官和司法机构创造经验分享和同侪支持的机会。毒品和犯罪问题办公室在许多论坛上传播关于该网络的信息，并继续以新的资源丰富其网站内容。截至2022年4月，全世界70多个司法管辖区已成为实施该网络司法道德培训包的培训地点。",
"46. 毒品和犯罪问题办公室在哈萨克斯坦启动了一个新项目，以支持实施社区警务，加强培训课程，并优化警察人力资源管理，以期打造多样化和包容的警务工作。毒品和犯罪问题办公室支持多米尼加共和国设计其警察改革方案，并向泰国提供了关于警察使用武力的部级条例草案的建议。在巴西，毒品和犯罪问题办公室调整了用于衡量三个州使用武力情况的警察合规指数。在乌兹别克斯坦，毒品和犯罪问题办公室与国家人权中心一道，为1,000多名警官举办了三次关于使用武力的讲习班。",
"47. 毒品和犯罪问题办公室提供了关于法庭程序和司法能力的技术援助。在黎巴嫩，毒品和犯罪问题办公室在特定法院、监狱和拘留设施内建立了全面的电子听证系统。毒品和犯罪问题办公室在奥地利和西班牙还协助为埃及最高上诉法院的42名法官举办了两个研究课程。在巴西，毒品和犯罪问题办公室举办了16次在线活动，共有1,906名专业人员参加，以提高对毒品和犯罪问题办公室拘留听证会工具的认识。",
"4. 有效的反腐败努力",
"48. 在本报告编写时，《反腐败公约》已有189个缔约国。2021年6月，大会召开了首届反腐败特别会议，并通过了一项在《反腐败公约》缔约国会议主持下谈判达成的前瞻性政治宣言。会议的任务是落实和巩固政治宣言，并除其他外决定于2022年9月举行闭会期间的会议，以落实政治宣言的成果。",
"49. 2021年12月，《反腐败公约》缔约国会议第九届会议在埃及沙姆沙伊赫举行。来自154个会员国和许多国际组织和非政府组织的约2,000名与会者出席了会议，并通过了8项决议。缔约国会议设立的实施情况审议组于2021年6月举行了第十二届会议，并于2021年9月举行了第十二届会议续会。常会和续会包括与预防腐败问题不限成员名额政府间工作组在其第十二次会议、资产追回问题工作组在其第十五次会议和第十次增进在《联合国反腐败公约》下开展国际合作的不限成员名额政府间专家会议上联合举行的会议。",
"50. 实施情况审议机制的第一个周期已接近完成，共有173份国别审议报告执行摘要定稿。第二周期的工作向前推进，共有59份执行摘要定稿。弥补通过这些审议确定的差距将提高反腐败工作的效力。毒品和犯罪问题办公室继续针对审议中提出的意见提供技术援助，包括起草行动计划、反腐败战略和立法，以及能力建设。",
"5. 社会措施、教育措施和其他措施",
"51. 毒品和犯罪问题办公室继续在其“列队站好，快乐生活”举措下开展预防犯罪和暴力的工作，该举措提供了一个以体育为基础的学习方案，重点是生活技能培训，以补充正规教育，通过体育接触可能无法上学的青年，并培养教师和体育教练的能力，以提供互动式学习和加强青年抵御犯罪的能力。",
"52. 2021年12月，毒品和犯罪问题办公室启动了“全球反腐败教育和青年赋权资源倡议”，以根据《反腐败公约》和2021年举行的大会反腐败特别会议通过的政治宣言，进一步提升教育和青年在预防和打击腐败方面的作用。该倡议建立在毒品和犯罪问题办公室的“教育促进司法”和“国际反腐败学院”倡议的基础上，这两项倡议因其对青年的教育影响而在全球范围内备受认可。",
"E. 促进国际合作和技术援助以预防和处理一切形式的犯罪",
"1. 通过能力建设和技术援助等方式开展国际合作",
"53. 毒品和犯罪问题办公室继续支持《联合国打击跨国有组织犯罪公约》及其各项议定书实施情况审议机制，培训了来自120多个缔约国的1,500多名政府官员。2022年5月，《打击有组织犯罪公约》缔约国会议国际合作工作组讨论了被判刑人员的移管问题。",
"54. 毒品和犯罪问题办公室支持有效执行《打击有组织犯罪公约》，并在几乎普遍加入（在编写报告时已有190个缔约国）该公约的基础上，促进将其用作刑事事项国际合作的法律依据，包括通过利用专门汇编关于该专题的案例等方式。毒品和犯罪问题办公室编写了题为《网络有组织犯罪摘要》的出版物，并尤其通过增加判例法、立法和战略方面的资源，进一步充实了其知识管理门户网站“打击犯罪信息与法律网络共享平台（夏洛克数据库）”。",
"55. 毒品和犯罪问题办公室通过开发打击有组织犯罪战略工具包和在非洲、拉丁美洲及加勒比以及东南欧提供与战略有关的援助，加强了对《打击有组织犯罪公约》缔约国制定预防和打击有组织犯罪战略的支持。",
"56. 毒品和犯罪问题办公室发表了两份议题文件，分别是关于有组织犯罪与性别问题，以及《打击有组织犯罪公约》与国际人权法。",
"57. 根据“加强贩运路线沿线刑事司法合作全球方案”，毒品和犯罪问题办公室在拉丁美洲和西非开展了298项技术能力建设活动，其中包括44个旨在促进合作和信息交流，以推动缉获后调查的调查案件论坛。有超过15,051名执法人员、检察官和刑事司法行为体从这些论坛中受益。",
"2. 国际合作以剥夺罪犯的犯罪所得",
"58. 毒品和犯罪问题办公室通过打击洗钱、犯罪收益和资助恐怖主义全球方案帮助建立并支持6个资产追回机构间联络网。这些非正式的执法和司法从业人员网络发挥着重要作用，因为他们促进了从调查开始（包括追查资产）到冻结和扣押、管理和没收或充公的完整资产追回过程。这些网络在东部和南部非洲、拉丁美洲、加勒比、西非、亚洲和太平洋以及西亚和中亚开展活动。",
"59. 毒品和犯罪问题办公室继续促进反腐败执法机关全球业务工作网的工作，该网络是56个国家的96个反腐败机关之间进行同行间信息交流和非正式合作的平台。",
"60. 2021年，根据追回被盗资产举措，18个国家在追查、扣押、没收和追回犯罪所得方面受益于毒品和犯罪问题办公室的援助，并且全球有1,800多人接受了其提供的相关培训。根据追回被盗资产举措，毒品和犯罪问题办公室为20项全球政策活动作出贡献，并在反腐败问题大会特别会议期间举办了三次特别活动。",
"3. 一切形式和表现的恐怖主义",
"61. 为支持批准和执行关于恐怖主义问题的公约和议定书，毒品和犯罪问题办公室继续提倡普遍遵守19项国际反恐怖主义法律文书，协助会员国成为这些文书的缔约国并在国家一级执行这些文书。2021年加入各项国际反恐法律文书的会员国有博茨瓦纳、刚果、芬兰、法国、冈比亚、洪都拉斯、伊拉克、卢森堡、荷兰、菲律宾、葡萄牙、俄罗斯联邦、卢旺达、沙特阿拉伯、塞舌尔、瑞士和津巴布韦。法国、葡萄牙、瑞士和芬兰分别成为继科特迪瓦、古巴、多米尼加共和国、哈萨克斯坦、荷兰和土耳其之后相继加入所有19项文书的第七、八、九和十个会员国。",
"62. 毒品和犯罪问题办公室实施了一个项目，旨在加强摩洛哥利益攸关方的专门知识，为回返的外国恐怖主义作战人员及其家庭成员进行制度化、有效和符合人权的调查和审判管理。毒品和犯罪问题办公室在印度尼西亚、马来西亚、菲律宾和泰国组织了关于回返和重新安置的外国恐怖主义作战人员、其家庭成员和当地分支人员的甄别、起诉、改造和重返社会问题的简报会。",
"63. 2021年3月，毒品和犯罪问题办公室与哈萨克斯坦内政部科斯塔奈学院合作，牵头举办了一次专家会议，内容涉及加强监狱官员和缓刑执行官管理哈萨克斯坦暴力极端主义囚犯和入狱外国恐怖主义作战人员的能力。",
"64. 毒品和犯罪问题办公室开发了以英文和俄文提供的四个电子学习模块，内容涉及在回返的外国恐怖主义作战人员及其家庭成员的改造和重返社会方面的精神健康考虑因素。毒品和犯罪问题办公室为哈萨克斯坦、吉尔吉斯斯坦、塔吉克斯坦和土库曼斯坦的专业人员举办了四次网上研讨会，以推广这些学习模块。",
"65. 毒品和犯罪问题办公室为联合国阻止恐怖分子旅行方案作出贡献，该方案由反恐怖主义办公室协调和管理，并与联合国其他方案伙伴共同实施。毒品和犯罪问题办公室为制定关于预报旅客资料和旅客姓名记录的规范性框架提供了立法援助，并为建立多机构旅客资料单位提供了业务支助。2021年，阿塞拜疆、博茨瓦纳、科特迪瓦、冈比亚、加纳、蒙古、摩洛哥、菲律宾、塞拉利昂、苏丹、多哥和加勒比共同体在该方案框架内得到了毒品和犯罪问题办公室的支持。",
"66. 2021年，毒品和犯罪问题办公室在独立深入评价和与会员国、区域组织、联合国实体、民间社会组织、学术机构以及私营部门实体协商的基础上，着手开发了一个为提出请求的会员国开展能力建设的新的全球框架。",
"4. 新出现的和不断演变的犯罪形式",
"67. 毒品和犯罪问题办公室继续支持会员国努力应对新的、正在出现的和不断演变的各种犯罪。毒品和犯罪问题办公室领导应对贩运人口和偷运移民问题的国际努力。毒品和犯罪问题办公室依托打击贩运人口全球方案和打击偷运移民全球方案，在2021年为60个国家提供支持，培训了5,000多名从业人员。",
"68. 毒品和犯罪问题办公室推进了打击移民潮中人口贩运活动的工作，例如，根据“将警报转变为刑事司法对策以打击移民潮中的贩运人口活动”倡议，通过国家和区域两级的行动，在拉丁美洲及加勒比的8个国家开展了相关工作。例如，在哥伦比亚，由毒品和犯罪问题办公室培训的劳工督察员在查明和移交贩运案件中发现了涉及40名委内瑞拉移民的涉嫌为强迫劳动而贩运人口的案件。毒品和犯罪问题办公室在贩运和偷运问题上的立法援助，包括支持伊拉克起草一份处理刑事司法程序中受害者权利问题的司法指导说明。通过“加强打击偷运移民的跨区域行动和对策”举措，毒品和犯罪问题办公室将位于穿越亚洲、海湾国家、非洲以及拉丁美洲及加勒比的偷运路线沿线的13个国家聚集在一起，指导了相关公务人员以基于人权和性别包容的方式应对偷运移民案件，从而加强南南合作。",
"69. 2021年，毒品和犯罪问题办公室启动了其偷运移民问题观察站，并发表了两份互动式研究分析，对北非、摩洛哥以及地中海中部和西部沿线的偷运移民情况进行了地理空间、图示资料和信息可视化分析。毒品和犯罪问题办公室发表了一份题为《〈禁止贩运人口议定书〉中的“窝藏”概念》的议题文件，分析了贩运人口定义的实际应用及其在国家司法管辖机构中的解释。为促进与私营部门的合作，毒品和犯罪问题办公室出版了《关于预防和打击人口贩运的公私伙伴关系有望成功的做法简编》。毒品和犯罪问题办公室还发表了一份研究报告，题为“COVID-19与偷运移民：呼吁保障面临更大风险和脆弱性的被偷运移民的权利”，其中呼吁完善正常的移民途径，以防止偷运移民。另外，毒品和犯罪问题办公室还发布了“毒品和犯罪问题办公室将人权和性别平等纳入刑事司法干预措施以解决贩运人口和偷运移民问题的工具包”。",
"70. 枪支问题全球方案推出了一项新举措，以支持执行“到2030年以可持续方式落实加勒比地区枪支弹药非法扩散问题加勒比优先行动路线图”，同时继续在其他区域开展其工作。毒品和犯罪问题办公室协助非洲、拉丁美洲及加勒比、中亚、东欧的31个国家制定法律和政策、实行预防和安全措施、采取刑事司法对策和进行国际合作和信息交换，以及监测非法枪支流动情况和新出现的威胁，并培训了4,000多名从事相关工作的人员。毒品和犯罪问题办公室协调了一次为期两周的打击萨赫勒地区枪支贩运的行动，来自相关执法机构的850名官员在行动中缴获了594支枪支和数千发弹药，其中从恐怖分子嫌疑人手中缴获的枪支弹药。毒品和犯罪问题办公室开始与非洲和拉丁美洲国家接触，以促进各国之间就复杂的枪支贩运案件开展更先进形式的国际合作，包括建立联合调查小组。",
"71. 毒品和犯罪问题办公室继续开展研究，并向会员国提供技术援助，帮助它们努力应对世界毒品问题。[8]",
"72. 在预防和应对暴力侵害儿童行为方面，毒品和犯罪问题办公室在波斯尼亚和黑塞哥维那、马尔代夫和莫桑比克开展了能力建设，并为第二次欧洲空间信息基础设施区域讲习班共同组织了五次网络研讨会，有10个拉丁美洲国家参加。",
"73. 毒品和犯罪问题办公室为预防犯罪和刑事司法委员会在2022年2月举办的专家讨论会提供了支持，该讨论会的主题为“影响环境的犯罪”（见上文第6段）。2022年5月，《打击有组织犯罪公约》缔约国会议国际合作工作组和技术援助问题不限成员名额政府专家临时工作组就《打击有组织犯罪公约》在预防和打击影响环境的跨国有组织犯罪方面的实际应用这一更具体的专题举行了联合专题讨论。",
"74. 毒品和犯罪问题办公室继续培养会员国预防和处理影响环境犯罪的能力，包括向2,000多名刑事审判人员提供培训；辅导执法人员和检察官；加强野生动植物、森林和渔业管理与执法主管部门的腐败风险管理能力；支持法证和财务调查；提高认识；以及支持开展国际合作。开发了新的工具，包括供调查人员和检察官使用的快速参考指南。启动了关于废物贩运和野生生物贩运与人畜共患病传播之间潜在联系的新项目。",
"75. 在编写本报告时，正在制定一系列立法指南，以支持各国通过立法，酌情将贩运废物、金属和其他矿物，以及发生在渔业部门的犯罪定性为严重犯罪。这些指南为各国预防、调查、起诉和判决此类犯罪提供了具体的立法指导。",
"76. 关于贩运伪造医疗产品的问题，毒品和犯罪问题办公室在西非打击有组织犯罪中央主管机构和检察官网络（WACAP）框架内组织了一次会议，该会议于2021年11月在达喀尔举行，会议期间审查了在该问题上开展工作的各组织发挥的作用，讨论了应对加强立法迫切需要的工具，并商定在WACAP下设立一个法律框架工作组。毒品和犯罪问题办公室开发了一个关于伪造医疗产品的新标准化培训课程，并与制药公司和国际伙伴组织合作，向来自16个国家的执法人员提供了关于产品识别、适当的工厂包装和合法供应渠道的培训。",
"77. 毒品和犯罪问题办公室于2021年6月在贝鲁特和巴拿马举办了关于打击利用集装箱非法贩运文化财产的区域性培训课程。毒品和犯罪问题办公室还与欧安组织和设在希腊的多国和平支助行动训练中心联合向来自11个国家执法机构和军方的31名学员提供了关于保护文化财产的培训。",
"78. 为了应对尤其是商业货物中的贩运问题，毒品和犯罪问题办公室继续与会员国合作，在海港、陆港、陆地边界和机场以及铁路沿线建立建立港口管控部门和空运货物管控部门。毒品和犯罪问题办公室―世界海关组织（海关组织）全球集装箱管制方案目前正在73个国家实施，培训一线执法人员，介绍如何识别和检查涉嫌运载非法货物的货物集装箱，从而使之更有能力发现烈酒、烟草、机动车等高税率货物的走私，以及诸如野生动植物和林产品及枪支等其他非法货物，并且打击商业欺诈行为，比如低估价值和错误归类等。",
"79. 毒品和犯罪问题办公室与欧洲执法培训署共同为100名与会者举办了一次关于仇恨犯罪的网上研讨会，并为欧安组织举办的东南欧仇恨犯罪问题会议作出了贡献。作为联合国消除种族歧视和保护少数群体网络刑事司法支柱的牵头实体，毒品和犯罪问题办公室确保将预防仇恨犯罪、支持受害者以及通过诉诸司法和刑事司法改革应对种族歧视纳入该网络的活动中，其中包括为13个联合国国家工作队举办一个为期四周的试点培训课程，主题是在方案拟订过程中处理种族歧视问题。",
"80. 毒品和犯罪问题办公室通过支持各国的刑事司法系统（从海上执法到调查、刑事起诉和审判等环节），继续协助各国应对海上犯罪。海事犯罪方案在已建立的海事中心提供关于访问、登船、搜查和扣押的课程，并协助进行模拟审判，在模拟审判中将收集的证据提交法庭。根据该方案，毒品和犯罪问题办公室继续充实其关于海上态势感知的分析课程，并加强与技术提供商的合作伙伴关系，以改善会员国的海上监测和巡逻。此外，该方案还处理了影响环境的犯罪，包括通过支持应对海洋污染和渔业领域犯罪的努力。",
"81. 毒品和犯罪问题办公室通过其网上犯罪问题全球方案，在47个会员国建立了侦查、预防、调查、起诉和判决网络依赖性犯罪和借助网络实施的犯罪的能力，为应对案件量不断增加的复杂犯罪（如网上儿童性虐待和性剥削）制定有效刑事司法对策提供其专门支持。毒品和犯罪问题办公室支持在伯利兹、萨尔瓦多、危地马拉和秘鲁建立和加强专门的网络犯罪调查机构、数字法医学实验室和报告机制，以期对保护包括儿童、妇女和女童在内的受害者发挥积极作用。通过与加强贩运路线沿线刑事司法合作全球方案和毒品和犯罪问题办公室类阿片战略（一项应对全球类阿片危机的综合机构间对策，由五大支柱构成）进行协调，为处理网络犯罪与其他类型有组织犯罪（如贩毒以及通过加密货币和暗网进行的非法资金流动）之间的关系提供了技术支持。",
"82. 根据大会第75/282号决议和大会第76/522号决定，由大会第74/247号决议设立的拟订一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约特设委员会于2022年2月24日在纽约举行了关于组织事项的会议，并于2022年2月28日至3月11日在纽约举行了第一届会议。特设委员会在其第一届会议上核准了其路线图和工作模式，并通过了构成未来公约结构的要素。委员会还就公约的关键要素以及目标和范围交换了意见。在2022年5月30日至6月10日于维也纳举行的第二届会议上，特设委员会根据其路线图和工作模式，对关于定罪的规定、一般规定以及关于程序性措施和执法的规定进行了一读。",
"四. 联合国毒品和犯罪问题办公室的管理和财务状况",
"83. 关于联合国毒品和犯罪问题办公室管理和财务状况的信息见秘书长关于处理和打击世界毒品问题的国际合作的报告（A/77/137）。",
"五. 建议",
"84. 我敦促会员国继续努力，全面落实《京都宣言》，包括从COVID-19大流行中重建得更好的期望。",
"推进预防犯罪工作",
"85. 联合国随时准备协助会员国解决导致犯罪的原因，包括其根源问题。我促请会员国在非国家行为体的配合下，使那些对具有可持续性、以社区为重点、对性别问题敏感、为青年赋权的犯罪预防政策能起到辅助作用的证据更易得、更优质。",
"86. 我认识到有效的预防政策和方案对于实现《2030年可持续发展议程》中暴力和犯罪相关目标的重要性，因此我鼓励会员国加强其预防犯罪战略，包括重视提高青年的应对能力。",
"推动刑事司法系统发展",
"87. 我敦促会员国适用循证刑事司法政策，加强利用恢复性正义以及受害者援助、保护和支助。",
"88. 我促请会员国把性别平等视角纳入其国家刑事司法政策、方案、立法和其他行动的主流，以便尤其是应对一切形式的性别相关暴力、犯罪和加害行为，包括与性别有关的杀害行为。",
"89. 为解决过度使用监禁、监狱过度拥挤以及对监狱管理部门和社区负责罪犯管理的其他实体的系统性忽视问题，我鼓励会员国应重新评估其对犯罪行为的对策并使其多样化，以期减少监禁，更多地利用非拘禁措施，并确保安全、人道和有利于改造的监狱环境。我敦促会员国确保切实适用联合国在罪犯管理领域的标准和准则，特别是《纳尔逊·曼德拉规则》、《联合国女性囚犯待遇和女性罪犯非监禁措施规则》（《曼谷规则》）和《联合国非拘禁措施最低限度标准规则》（《东京规则》）。",
"90. 我促请会员国采取措施，将儿童司法改革纳入更广泛的法治和发展工作，并采取和实施对儿童问题敏感、促进性别平等和包含多利益攸关方的办法，承认儿童（男童和女童）不同于成人（男性和女性），因此有权享有符合国际法的具体权利、保障和应对措施，以达到在政府和非政府机构中保护儿童的目的。",
"91. 我鼓励会员国优先加强法证领域的国家能力和技能，并支持建立和维持区域法证网络，以加强预防和打击跨国有组织犯罪的专门知识和能力。",
"92. 我敦促会员国采用符合国际标准和最佳做法的循证式约谈方法，以提高调查的效力。",
"93. 我敦促会员国制定以受害者为中心的刑事司法办法，确保所有类型犯罪的受害者平等地获得保护、援助和支助，包括通过实施恢复性正义办法。",
"推进法治",
"94. 我敦促会员国通过加强法律援助系统、消除歧视、改革警察机构和提高调查效力，来促进人人享有平等诉诸法律的机会，并提升刑事司法机构的效力、问责制、公正性和包容性。",
"95. 我鼓励会员国全力支持2021年6月举办的关于防止和打击腐败及加强国际合作方面的挑战和措施的大会特别会议上所作出的各项承诺和所提出的各项建议。",
"促进国际合作和技术援助以预防和处理一切形式的犯罪",
"96. 我促请会员国继续努力支持有效执行《打击有组织犯罪公约》，特别是其关于国际合作的条款，并向《打击跨国有组织犯罪公约》及其各项议定书实施情况审议机制提供有效的贡献和支持。",
"97. 我促请会员国根据联合国有关公约和国际公认标准，包括酌情根据尤其是金融行动特别工作组等有关政府间机构的建议，加倍努力建立有效的反洗钱制度，以充分贯彻执行这些标准。",
"98. 预防恐怖主义和暴力极端主义需要采取全面和包容的办法，这些办法必须符合国际法规定的义务，包括19项国际反恐法律文书以及大会和安全理事会的相关决议。我敦促会员国确保在法治、正当程序和人权原则的基础上开展公平、透明和可问责的刑事司法程序，这些原则为预防和打击恐怖主义的有效措施奠定了基础。",
"99. 我促请会员国确保被贩卖者不会因其因被贩运而直接实施的非法行为而受到惩罚或起诉，并为刑事司法从业人员制定明确支持不惩罚贩运受害者原则的本国法、准则、政策和能力建设措施。",
"100. 我促请会员国扭转最近为应对COVID-19大流行而减少正常移民途径的趋势，以此防止偷运移民，特别是涉及暴力、虐待、贩运人口、侵犯人权或死亡等严重形式的偷运移民。",
"101. 我促请会员国加强国际合作，以有效预防、调查和判决枪支弹药的非法贩运，特别从处于不同冲突和冲突后阶段的国家贩运枪支弹药或贩运至这些国家，并处理这种贩运与其他形式的有组织犯罪和恐怖主义的相互联系。",
"102. 我促请会员国根据国际标准和规范，采取和实施通盘战略和措施，以更好地保护儿童免受严重形式的暴力，包括犯罪团体和武装团体（涵盖恐怖主义和暴力极端主义团体）实施的暴力，同时采取全社会的做法。",
"103. 我敦促会员国与民间社会和社区性组织合作，包括在应对仇恨言论的背景下，通过相关立法，向刑事司法专业人员提供相关培训，以及确保相关数据收集和受害者诉诸司法的机会，以应对仇恨犯罪的增加。",
"104. 我促请会员国在适当情况下通过或修订国家立法，将影响环境的犯罪定为《打击有组织犯罪公约》第2(b)条所界定的严重犯罪。",
"105. 我促请会员国把新出现的政策问题纳入预防犯罪和刑事司法政策，以及疫后恢复计划。在这方面，我鼓励会员国将应对影响环境的犯罪纳入更广泛的国家和国际议程，包括关于生物多样性、气候变化以及废物和污染的议程；进一步加强会员国打击网络犯罪的合作，包括通过积极参与目前正在进行的关于打击为犯罪目的使用信息和通信技术行为的国际公约的谈判；并加强国家立法和能力，以应对新的、正在出现的和不断演变的犯罪，如贩运伪造医疗产品、贩运文化财产和走私商业货物。",
"106. 我促请会员国向毒品和犯罪问题办公室提供充足、可预测和可持续的资金，用于其在预防犯罪和刑事司法事项方面的研究、规范性工作和技术援助。",
"[1] ^(*) A/77/50。",
"[2] E/2022/55，第155款。",
"[3] 联合国毒品和犯罪问题办公室（毒品和犯罪问题办公室），“监测可持续发展目标16：性别视角”，数据事项系列，第2期（即将发布）。",
"[4] 毒品和犯罪问题办公室，“2019年全球凶杀案研究”，小册子2，第78页。",
"[5] 见E/2022/30-E/CN.15/2022/14，第一章，第C节。",
"[6] 见载有主席关于专题讨论摘要的会议室文件（E/CN.15/2022/CRP.1和E/CN.15/2022/CRP.2）。",
"[7] CAC/COSP/WG.2/2018/3，附件。",
"[8] 见A/77/137。"
] | [
"Seventy-seventh session Item 109 of the preliminarylist[1] \nCrime prevention and criminaljustice",
"Implementation of the mandates of the United Nations crime prevention and criminal justice programme, with particular reference to the technical cooperation activities of the United Nations Office on Drugs and Crime",
"Report of the Secretary-General",
"Summary",
"The present report has been prepared pursuant to General Assembly resolution 76/187. It contains a summary of the activities of the United Nations Office on Drugs and Crime (UNODC) to support Member States in their efforts to counter transnational organized crime, corruption and terrorism, as well as to prevent crime and reinforce criminal justice systems, including with regard to emerging policy issues.",
"The report includes information on the activities undertaken by the Office to address the challenges posed to crime prevention and criminal justice systems by the coronavirus disease (COVID-19) pandemic.",
"I. Introduction",
"1. More than five years into the 2030 Agenda for Sustainable Development, the overall picture in relation to the targets of the Sustainable Development Goals pertaining to crime and criminal justice is mixed. Target 16.3, on promoting the rule of law and ensuring equal access to justice for all, has seen very little improvement. For example, despite the dramatic reduction in the global prison population recorded during the coronavirus disease (COVID-19) pandemic, from 11.8 million people in 2019 to 11.2 million people by the end of 2020, the share of prisoners held in detention without being sentenced for a crime remained relatively unchanged globally.[2] There has been some progress in terms of reducing criminal violence, in line with target 16.1 of the Sustainable Development Goals. Between 2015 and 2020, the global homicide rate decreased by 5.2 per cent.[3] However, impunity for such crimes remained widespread. Globally, for every 100 homicide victims recorded, only about 53 persons were convicted of homicide.[4] Hence, the work on crime prevention and criminal justice remains in high demand.",
"2. UNODC launched a new publication series called “Data Matters”, which includes three research briefs, on the topics of the global prison population, Sustainable Development Goal 16, and the gender-related killing of women and girls, respectively. In addition, UNODC published research briefs on the impact of the war in Ukraine on its mandated areas of work, which included “Conflict in Ukraine: key evidence on drug demand and supply” and “Conflict in Ukraine: key evidence on risks of trafficking in persons and smuggling of migrants”.",
"3. The present report provides information on the implementation of the mandates of the United Nations crime prevention and criminal justice programme and reflects emerging policy issues and possible responses, as requested by the General Assembly in its resolution 76/187. It addresses the activities undertaken by UNODC in the thematic areas covered by the Kyoto Declaration on Advancing Crime Prevention, Criminal Justice and the Rule of Law: Towards the Achievement of the 2030 Agenda for Sustainable Development, adopted by the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice, held in Kyoto, Japan, from 7 to 12 March 2021.",
"4. Owing to the ongoing impact of the COVID-19 pandemic, the intergovernmental meetings and technical assistance activities mentioned in this report were mostly conducted in online or hybrid (in-person and online) formats.",
"II. Action taken by the Commission on Crime Prevention and Criminal Justice, including follow-up to Fourteenth United Nations Congress on Crime Prevention and Criminal Justice",
"5. The Commission held its thirty-first session in Vienna from 16 to 20 May 2022. It recommended to the Economic and Social Council the approval of three resolutions for adoption by the General Assembly: (a) “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”; (b) “Reducing reoffending through rehabilitation and reintegration”; and (c) “Strengthening national and international efforts, including with the private sector, to protect children from sexual exploitation and abuse”. Furthermore, the Commission adopted resolution 31/1, entitled “Strengthening the international legal framework for international cooperation to prevent and combat illicit trafficking in wildlife”.[5]",
"6. Pursuant to General Assembly resolution 76/181, the Commission held the first thematic discussion on the implementation of the Kyoto Declaration in November 2021. Moreover, pursuant to General Assembly resolution 76/185, the Commission held expert discussions on crimes that affect the environment in February 2022. Both thematic discussions were attended by experts from more than 130 Member States, as well as from United Nations entities, intergovernmental and international organizations and civil society.[6] More information on the follow-up to the Fourteenth Congress is contained in the report of the Secretary-General on the topic (A/77/128).",
"III. Action taken by the United Nations Office on Drugs and Crime in thematic areas",
"A. Introduction: strategic issues",
"7. The UNODC Strategy 2021–2025 guides the work of the Office in five thematic areas: (a) addressing and countering the world drug problem; (b) preventing and countering organized crime; (c) preventing and countering corruption and economic crime; (d) preventing and countering terrorism; and (e) crime prevention and criminal justice. The strategy defines the mission of UNODC across the three pillars of the United Nations: peace and security, development and human rights. It sets out commitments to fully embed gender equality and the empowerment of women, human rights and youth empowerment into UNODC programmes and encourages integrated programming, effective multilateral cooperation and stronger partnerships with international and civil society organizations and the private sector.",
"8. In the spirit of the Strategy, UNODC has been working with an increasing number of United Nations entities and international and regional organizations, assisting them in the preparation of strategic documents and in the implementation of research and technical assistance activities. UNODC is active in a number of inter-agency coordination mechanisms, including in relation to drug prevention, treatment and rehabilitation, HIV/AIDS, corruption, counter-terrorism, illicit financial flows, trafficking in persons, migration, incarceration, policing, the rule of law, gender equality, human rights issues such as racial discrimination and the protection of minorities, youth empowerment and disability inclusion.",
"9. UNODC continued to engage with, inter alia, non-governmental organizations, academia and the private sector, in multi-stakeholder workshops on the United Nations Convention against Corruption and the United Nations Convention against Transnational Organized Crime. In close collaboration with the Alliance of NGOs on Crime Prevention and Criminal Justice and the UNCAC Civil Society Coalition, civil society participation was ensured in all intergovernmental meetings and workshops held in 2021, which involved the engagement of 4,071 stakeholders from 1,253 organizations. New public-private partnerships were initiated, involving the participation of 75 representatives from the private sector.",
"10. In partnership with the Office of the President of the General Assembly, UNODC co-hosted a high-level thematic debate on the theme “Enhancing youth mainstreaming in crime prevention policies” on 6 June 2022. The aim of the event was to provide a forum for Member States to exchange views on how young people could be agents of change in their communities, as well as actors empowered to counter crime and uphold the rule of law. Special attention was given to establishing crime prevention strategies that include young people as active partners together with Member States, local governments, academia and civil society.",
"11. As of May 2022, UNODC had a physical presence in 95 countries. In the context of the implementation of its Strategic Vision for Latin America and the Caribbean 2021–2025, launched on 7 February 2022, UNODC has reprofiled its Country Office in Colombia as the Regional Office for the Andean Region and the Southern Cone, additionally covering Argentina, Chile, Paraguay and Uruguay and supervising the work of the country offices in Bolivia (Plurinational State of), Ecuador and Peru. In doing so, UNODC seeks to achieve programmatic harmonization and operational optimization and promote the exchange and replication of good practices and experiences within and beyond the subregion.",
"12. In Afghanistan, following the takeover by the Taliban in August 2021, UNODC developed the Strategic Stability Grid to address existing and emerging transnational challenges stemming from drugs, crime and terrorism in and around Afghanistan. The Grid is aimed at promoting stability, protecting people in Afghanistan and the wider region and fostering peace, human rights and long-term, sustainable social and economic development, as well as addressing urgent needs in the humanitarian crisis.",
"13. Using local networks in Ukraine and in refugee shelters in host countries, UNODC developed and disseminated materials to support the needs of parents and caregivers and sustain strong families in humanitarian settings. With the support of the Joint United Nations Programme on HIV/AIDS, UNODC has been coordinating communication between the prison authority of Ukraine and civil society organizations to address humanitarian needs in prison settings.",
"B. Advancing crime prevention",
"1. Addressing the causes, including the root causes, of crime; evidence-based crime prevention; and tailor-made crime prevention strategies",
"14. UNODC continued to support countries in enhancing the rigorous collection of evidence in support of crime prevention efforts. UNODC, together with the UNODC-National Institute of Statistics and Geography (INEGI) Centre of Excellence for Statistical Information on Governance, Victims of Crime, Public Security and Justice, in Mexico, and the UNODC-Statistics Korea (KOSTAT) Centre of Excellence for Statistics on Crime and Criminal Justice in Asia and the Pacific, in the Republic of Korea, provided capacity-building support to 150 countries relating to the indicators of Sustainable Development Goal 16, the implementation of the International Classification of Crime for Statistical Purposes, the measurement of illicit financial flows, victimization and corruption surveys, and the mainstreaming of gender in crime and criminal justice statistics. Together with the United Nations Development Programme and the Office of the United Nations High Commissioner for Human Rights (OHCHR), UNODC developed the Sustainable Development Goal 16 survey initiative; with the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), it developed a statistical framework for measuring the gender-related killings of women and girls (also referred to as femicide and feminicide); and with the United Nations Conference on Trade and Development, it developed the Conceptual Framework for the Statistical Measurement of Illicit Financial Flows. The Statistical Commission welcomed the first tool and endorsed the two others.",
"15. UNODC continued to use its global, regional and country programmes to support Member States in implementing crime prevention standards by providing advice on the design and implementation of strategies and programmes. That included support to achieve better qualitative data on crime and victimization through surveys or community consultation mechanisms. In Kyrgyzstan, Law No. 60, on the basics of crime prevention, outlining the role of a variety of actors and addressing victim support, was adopted in May 2021. As a follow-up, UNODC has been providing technical assistance for the implementation of the new State programme on crime prevention for the period 2022–2028, including in the areas of local action plan development and capacity-building. UNODC provided strategic advice for the design of a regional community-based strategy to prevent maritime and other crimes in Nigeria, including by organizing consultations with local government and non-government stakeholders. The UNODC Nigeria organized crime threat assessment was discussed at a workshop with key stakeholders in May 2022. The workshop was aimed at providing information on the country’s strategies to address related threats.",
"16. In line with the commitment made in the Kyoto Declaration to enhance multidisciplinary efforts to prevent crime, and as a follow-up to the General Assembly high-level debate on the theme “Urban safety, security and good governance: making crime prevention a priority for all”, held in April 2021, the Office promoted collaboration between citizens and justice institutions in Africa, Asia and Central America to advance crime prevention at the local level. In Mexico and Brazil, UNODC supported the implementation of community-based strategies to reduce crime and violence, promoting developmental and situational approaches to prevention.",
"2. Addressing the economic dimension of crime",
"17. UNODC, through the Global Programme against Money-Laundering, Proceeds of Crime and the Financing of Terrorism, continued to support Member States in developing and implementing effective measures to address the economic dimension of crime and deprive criminals and criminal organizations of any illicit gains through, inter alia, identifying, tracing, seizing, confiscating, recovering and returning proceeds of crime, as well as in establishing robust domestic frameworks for financial investigations, and continued to develop strategies to prevent and combat money-laundering and illicit financial flows.",
"18. UNODC continued to support Member States in their efforts to counter transnational organized crime, including the laundering of the proceeds of such crime. Law enforcement, customs, immigration and border control authorities, staff of judicial authorities and financial intelligence units continued to benefit from the Office’s tailor-made capacity-building activities.",
"19. UNODC continued to support the recovery of proceeds of corruption, including through the progress made under the second cycle of the Mechanism for the Review of Implementation of the Convention against Corruption. At the ninth session of the Conference of the States Parties to the Convention against Corruption, representatives of the UNODC/World Bank Stolen Asset Recovery (StAR) Initiative presented the initial findings of the Initiative’s survey to collect data on international asset recovery cases related to offences established in accordance with the Convention against Corruption, and launched a new publication on the direct enforcement of foreign restraint and confiscation decisions. At its sixteenth meeting, to be held in 2022, the Open-ended Intergovernmental Working Group on Asset Recovery of the Conference is to address issues stemming from the resolutions adopted by the Conference at its ninth session, in particular resolutions 9/2, on the follow-up to the special session of the General Assembly against corruption, and 9/7, on enhancing the use of beneficial ownership information to facilitate the identification, recovery and return of proceeds of crime.",
"20. The administration of frozen, seized and confiscated assets, provided for in the Convention against Corruption, is fundamental to the success of asset recovery. In 2019, the Conference of the States Parties to the Convention adopted resolution 8/1, in which it decided that the Working Group on Asset Recovery should continue to collect information on best practices from States parties, with a view to completing the draft non-binding guidelines on the management of frozen, seized and confiscated assets[7] and updating the study entitled Effective Management and Disposal of Seized and Confiscated Assets, of 2017. Currently, UNODC is revising the draft non-binding guidelines and the study on the basis of additional information submitted by States parties. UNODC also continues to provide technical assistance in this regard.",
"3. Mainstreaming a gender perspective, including the prevention of gender-related violence, into crime prevention efforts",
"21. Mainstreaming a gender perspective is a key component of the Office’s support to Member States in implementing crime prevention standards, including through surveys and community consultation mechanisms to achieve better qualitative data on crime and victimization.",
"22. The Office provided strategic advice for the development of a national strategy to prevent gender-based violence in South Africa.",
"23. In March 2022, UNODC held two online training sessions on the gender perspective in crime and criminal justice statistics. The first session involved 689 participants from 19 countries in Latin America and Europe, and the second session involved 232 participants from 36 countries in the Asia-Pacific region.",
"4. Children and youth in crime prevention and youth empowerment for crime prevention",
"24. UNODC continued to strengthen youth resilience under its “Line Up, Live Up” and Education for Justice initiatives, in accordance with General Assembly resolution 76/183. In 2021, 15 Member States received policy advice and technical assistance from UNODC on integrating sport into crime prevention strategies, building the capacity of State and non-State actors in the use of sport to prevent violence and crime, including violent extremism. The assistance took the form of tailored training, thereby supporting the provision of sport-based life-skills training in schools and community settings and reaching more than 15,000 young people, as well as the creation of safe spaces in marginalized communities by refurbishing sport facilities in Lebanon, Mexico and Uganda.",
"25. With a view to preventing the recruitment of individuals, including children, by terrorist and violent extremist groups, the Office raised awareness among policymakers and professionals from Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan through a series of technical meetings aimed at strengthening regulatory and operational frameworks pertaining to legal, policy and psychosocial matters, in compliance with international standards.",
"C. Advancing the criminal justice system",
"1. Safeguarding victims’ rights and protecting witnesses and reporting persons",
"26. UNODC continued to advocate for victim-centred approaches to criminal justice and for the importance of ensuring access to assistance, protection and support for all victims, without discrimination and in line with the Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power (General Assembly resolution 40/34, annex). The Office started a new project on access to justice for victims of crime in Egypt. In Burkina Faso and the Niger, UNODC organized two workshops for criminal justice professionals on effective victim support. In Panama, UNODC organized six online training sessions on investigations involving digital evidence for the Office of the Public Defender, the Department of Legal Aid for Crime Victims, the Judicial Investigation Department and the Public Prosecution Office.",
"27. UNODC produced an updated, second edition of the Model Legislative Provisions against Organized Crime, including a chapter relating to articles 24 and 25 of the Organized Crime Convention, on the protection of witnesses and victims.",
"28. UNODC continued to support States parties to the Convention against Corruption in strengthening mechanisms to provide effective protection for reporting persons. UNODC provided legal advice and legislative assistance to more than 15 Member States for the development of legislative frameworks related to whistle-blower protection. UNODC also continued to work with States parties to establish or strengthen reporting and protection mechanisms in the context of the COVID-19 pandemic. To that end, UNODC published new guidelines for whistle-blower protection in the health-care sector, in Arabic, English, French, Portuguese and Spanish, and supported the health-care sector in several States parties in their implementation.",
"2. Improving prison conditions, and reducing reoffending through rehabilitation and reintegration",
"29. The Office, together with the Department of Peace Operations and OHCHR, led the development of the “United Nations system common position on incarceration”, launched in May 2021, which positions prison reform and the management of offenders as an integral part of the 2030 Agenda for Sustainable Development.",
"30. New prison reform projects aimed at enhancing compliance with international minimum standards were launched in Brazil, Ghana, Nigeria, the Philippines, Tajikistan and Tunisia. In another 18 Member States, the Office supported the reform of prison legislation or enhanced the training curricula for prison officers. More than 77,000 users from 160 countries have enrolled in the UNODC e-learning course on the United Nations Standard Minimum Rules for the Treatment of Prisoners (the Nelson Mandela Rules), which is available in 13 languages.",
"31. UNODC continued to provide emergency assistance to mitigate the impact of COVID-19 in prisons. In Uganda, logistical support was mobilized to ensure prisoners’ access to COVID-19 vaccines. The Office promoted the use of non-custodial measures in 10 countries. In Kenya, officials were sensitized on diversion, plea bargaining and human rights-compliant traditional justice mechanisms.",
"32. To enhance the social reintegration prospects of prisoners, UNODC initiated educational and vocational training programmes in Colombia, El Salvador, Morocco and Tunisia. In Tunisia, UNODC partnered with a university to develop a master’s degree programme on cognitive-behavioural therapy, with a focus on the prevention of recidivism, thereby paving the way for the sustainable use of such therapy in prisons.",
"33. UNODC continued to support Member States in managing violent extremist prisoners, including foreign terrorist fighters in detention, and in preventing the risk of radicalization to violence in prisons. Fifteen Member States benefited from capacity-building for prison and probation staff, the enhancement of prison security and intelligence, and the development of disengagement programmes. In Indonesia and Kazakhstan, the use of risk and needs assessment tools developed with UNODC support was adopted as official State policy.",
"34. In accordance with General Assembly resolution 76/182, UNODC, in December 2021 and April 2022, held consultative meetings with subject-matter experts to exchange information on promising practices to reduce reoffending, with a view to developing model strategies. The topics discussed included the use of non-custodial measures, fair sentencing policies, and rehabilitation and social reintegration programmes within the custodial environment and the community.",
"3. Mainstreaming a gender perspective into criminal justice systems",
"35. In addition to supporting strategies and initiatives to prevent violence against women, UNODC supported 22 Member States in increasing access to gender-responsive justice for survivors of gender-based violence. Key achievements included the reform of criminal laws concerning sexual violence and the establishment of a specialized unit in the Office of the Attorney General in Nepal, the adaptation and adoption of UNODC tools by the Ministry of Public Security, the prosecution service and the Supreme People’s Court in Viet Nam, and the enhancement of national and local inter-institutional coordination mechanisms in Bolivia (Plurinational State of), Nepal and Viet Nam. In Mexico, UNODC trained 6,860 police officers and 283 emergency call operators in preventing and identifying cases of gender-based violence and in the appropriate treatment and referral of survivors. In Guatemala, UNODC supported legal complaints mechanisms and improved the registration of cases involving lesbian, gay, bisexual, transgender, queer and intersex persons, older adults, people with disabilities and indigenous people. In Kenya, the Office developed a rapid reference guide for prosecutors on cases involving sexual and gender-based violence. A new Southern African Development Community model law on gender-based violence, being developed with the support of UNODC, will provide a blueprint for survivor-centred criminal justice reforms in the region. In March 2022, on the occasion of the first-ever International Day of Women Judges, UNODC launched the campaign “Women in Justice/for Justice” to promote gender balance and gender-responsiveness across the spectrum of justice. The Global Judicial Integrity Network, whose work to incorporate women’s representation issues into judicial systems was noted with appreciation by the General Assembly in its resolution establishing the International Day, continued to address gender issues.",
"4. Addressing the vulnerabilities of children and youth in contact with the criminal justice system",
"36. In Brazil, in partnership with the National Council of the Public Prosecutor’s Office, UNODC conducted a situation analysis of the juvenile justice system, developed a training tool, delivered a capacity-building event and launched a policy document on improving the treatment of children in conflict with the law. In Nigeria, UNODC supported the assessment of 225 individuals in one of the borstal institutions in the country, leading to the release of 218 individuals, and delivered capacity-building events on the treatment of children deprived of liberty.",
"37. UNODC launched the Strengthening Resilience to Violent Extremism (STRIVE) Juvenile project on preventing and responding to violence against children by terrorist and violent extremist groups in Indonesia, Iraq and Nigeria. The inception phase was concluded with the completion of the situation analyses, the establishment of national coordination mechanisms and the approval of tailored workplans for each country. A scientific advisory committee was established, a global research framework was developed and a grants programme for national research partners was established. Under the project, two capacity-building events were held: one in Indonesia in December 2021 on justice for children in the context of counter-terrorism and one in Nigeria in January 2022 on the treatment of child victims and witnesses.",
"38. UNODC continued to deliver technical assistance in Indonesia, Iraq, Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan on the treatment of children associated with terrorist and violent extremist groups, and launched its “Roadmap on the treatment of children associated with terrorist and violent extremist groups” in Portuguese. UNODC delivered three regional webinars on promising practices relating to the rehabilitation and reintegration of child returnees from conflict zones and launched new e-learning training modules addressing the topic in Russian.",
"5. Improving criminal investigation processes",
"39. UNODC disseminated the Principles on Effective Interviewing for Investigations and Information Gathering, or the “Méndez Principles”. In addition, the Office developed three online learning modules on investigative interviewing and piloted them in Nigeria and Pakistan. Furthermore, the Office, in partnership with the Organization for Security and Cooperation in Europe (OSCE), the European Union Agency for Law Enforcement Training (CEPOL), the Norwegian Centre for Human Rights and the Association for the Prevention of Torture, delivered regional and national capacity-building on effective investigations and interviews to more than 200 law enforcement and other criminal justice professionals globally. In Pakistan, UNODC trained 1,162 police officers and prosecutors on, inter alia, forensic investigations, work ethics, and police and prosecutor cooperation, and provided training of trainers on interviewing techniques.",
"40. UNODC continued to support the enhancement of capacities relating to forensic sciences in the work of law enforcement and customs officials, postal services, laboratories and the judiciary. The support included the provision of standardized training courses, manuals, guidelines, e-learning tools and services relating to security document examination, crime scene investigation, drug identification and the safe and environmentally friendly handling and disposal of drugs and precursor chemicals used in their manufacture. The United Nations Toolkit on Synthetic Drugs was complemented with new specialized modules on cybercrime and postal security, providing countries with practical resources from across the United Nations system for implementing comprehensive responses to address various forms of crime related to synthetic drugs.",
"D. Promoting the rule of law",
"1. Access to justice and legal aid",
"41. UNODC continued to support reform efforts for access to justice in 22 countries. Key achievements included the completion of a joint project with UN-Women, in collaboration with OHCHR, in Liberia, Senegal and Sierra Leone, which strengthened the capacities of local legal aid providers to offer services to survivors of sexual and gender-based violence, implemented campaigns on awareness and protection of legal rights, and developed a report on the impact of COVID-19 on women’s access to justice and legal aid. The independent project evaluation concluded that the project had enabled legal aid providers to deliver significantly more and better gender-sensitive legal aid to women, including in remote communities and by adapting to increased demand during the pandemic. The project invested in direct, practical implementation of key aspects of the legal aid system through advocacy and the creation of locally owned, bottom-up incentives for future adoption of relevant legal frameworks. Globally, the Office raised visibility of the importance of ensuring equal access to justice for all by centring on those historically excluded and marginalized on the basis of discrimination. UNODC co-organized with the World Bank a session entitled “Poverty and racial equity in the criminal justice system: fostering development through access to justice” during the World Bank Law, Justice and Development Week in November 2021.",
"2. National sentencing policies",
"42. As a measure to respond to the global prison crisis caused by the overuse of incarceration and prison overcrowding, UNODC continued to promote proportionate sentencing policies and the effective use of non-custodial measures. The Office continued its assistance to the Governments of Sri Lanka, Thailand and Viet Nam in improving the use of non-custodial measures in a gender-responsive manner, including through assessments of the current use of non-custodial measures and a series of workshops for criminal justice professionals on sentencing policies and guidelines and improving the rehabilitation and social reintegration of offenders. UNODC also advised the Government of Nigeria on fair sentencing policies in its efforts to amend the National Drug Law Enforcement Agency Act.",
"3. Effective, accountable, impartial and inclusive institutions",
"43. UNODC provided technical assistance with a view to ensuring the integrity and impartiality of law enforcement and other institutions comprising the criminal justice system, as well as the independence of the judiciary. This included technical assistance to States parties to the Convention against Corruption, with a view to strengthening the integrity, transparency, accountability and inclusivity of a broad range of institutions.",
"44. In addition to providing training on ethics and integrity to law enforcement authorities, UNODC facilitated corruption risk assessments and the development of risk-management strategies in public institutions, including in the prison system in the Central African Republic and the judiciary in the Plurinational State of Bolivia. UNODC delivered training programmes and workshops on judicial integrity and supported Member States’ efforts to develop codes of ethics for the judiciary.",
"45. The UNODC-supported Global Judicial Integrity Network continued to create experience-sharing and peer support opportunities for judges and judiciaries. UNODC disseminated information about the Network in numerous forums and continued to enrich its website with new resources. As of April 2022, over 70 jurisdictions worldwide had become training sites for the implementation of the Network’s judicial ethics training package.",
"46. The Office launched a new project in Kazakhstan to support the implementation of community-oriented policing, strengthen training curricula and optimize police human resources management with a view to developing a diverse and inclusive police service. UNODC supported the Dominican Republic in designing its police reform and provided recommendations to Thailand on the draft ministerial regulation on the use of force by the police. In Brazil, UNODC adapted the police compliance index used to measure the use of force in three states. In Uzbekistan, together with the National Human Rights Centre, UNODC organized three workshops on use of force for over 1,000 police officers.",
"47. UNODC provided technical assistance on court procedures and judicial capacity. In Lebanon, the Office established a comprehensive e-hearing system in selected courts, prisons and detention facilities. UNODC facilitated two study programmes, in Austria and Spain, for 42 judges from the Court of Cassation of Egypt. In Brazil, 16 online events, attended by 1,906 professionals, were held to increase awareness of UNODC tools on detention hearings.",
"4. Effective anti-corruption efforts",
"48. At the time of reporting, there were 189 parties to the Convention against Corruption. In June 2021, the General Assembly held its first-ever special session against corruption and adopted a forward-looking political declaration, which was negotiated under the auspices of the Conference of the States Parties to the Convention against Corruption. The Conference has been tasked with following up and building on the political declaration and has, inter alia, decided to hold an intersessional meeting in September 2022 to follow up on the achievements of the political declaration.",
"49. The ninth session of the Conference of the States Parties to the Convention against Corruption was held in Sharm el-Sheikh, Egypt, in December 2021. The Conference was attended by more than 2,000 participants representing 154 Member States and many international and non-governmental organizations, and adopted eight resolutions. The Implementation Review Group established by the Conference held its twelfth session in June 2021 and its resumed twelfth session in September 2021. The regular and resumed sessions included meetings held jointly with the Open-ended Intergovernmental Working Group on the Prevention of Corruption at its twelfth meeting, the Working Group on Asset Recovery at its fifteenth meeting and the tenth open-ended intergovernmental expert meeting to enhance international cooperation under the United Nations Convention against Corruption.",
"50. The first cycle of the Implementation Review Mechanism is nearing completion, with 173 executive summaries of country review reports finalized. Work on the second cycle is advancing, with 59 executive summaries finalized. Addressing the gaps identified through these reviews will increase the effectiveness of anti-corruption efforts. UNODC continued to provide technical assistance in response to the observations made in the reviews, including through the drafting of action plans, anti-corruption strategies and legislation, and capacity-building.",
"5. Social, educational and other measures",
"51. UNODC continued its work to prevent crime and violence under its “Line Up, Live Up” initiative, which offers a sport-based learning programme with a focus on life-skills training to complement formal education, using sport to reach at-risk young people who may not go to school and building the capacity of teachers and sports coaches to deliver interactive learning and strengthen youth resilience to crime.",
"52. In December 2021, UNODC launched the Global Resource for Anti-Corruption Education and Youth Empowerment (GRACE) initiative to further promote the role of education and youth in preventing and countering corruption, in line with the Convention against Corruption and the political declaration adopted by the General Assembly at its special session against corruption held in 2021. The initiative builds on the UNODC Education for Justice and International Anti-Corruption Academy initiatives, which have been globally recognized for their educational impact on youth.",
"E. Promoting international cooperation and technical assistance to prevent and address all forms of crime",
"1. International cooperation, including through capacity-building and technical assistance",
"53. UNODC continued to support the Mechanism for the Review of the Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto by training over 1,500 government officials from more than 120 States parties. In May 2022, the Working Group on International Cooperation of the Conference of the Parties to the Organized Crime Convention held a discussion on the transfer of sentenced persons.",
"54. UNODC supported the effective implementation of the Organized Crime Convention and promoted its use as a legal basis for international cooperation in criminal matters, building on its almost universal adherence (190 parties at the time of reporting), including through a dedicated digest of cases on the topic. UNODC developed the publication entitled Digest of Cyber Organized Crime and further expanded its knowledge management portal, Sharing Electronic Resources and Laws on Crime (SHERLOC), inter alia, through the addition of resources on case law, legislation and strategies.",
"55. UNODC intensified its support to States parties to the Organized Crime Convention in the elaboration of strategies to prevent and counter organized crime by developing the Organized Crime Strategy Toolkit and delivering strategy-related assistance across Africa, Latin America and the Caribbean, and South-Eastern Europe.",
"56. UNODC published two issue papers, on organized crime and gender, and on the Organized Crime Convention and international human rights law, respectively.",
"57. Under the global programme on strengthening criminal justice cooperation along trafficking routes (CRIMJUST), UNODC delivered 298 technical capacity-building activities in Latin America and West Africa, including 44 investigative case forums aimed at facilitating cooperation and information exchange to spur post-seizure investigations. The forums benefited more than 15,051 law enforcement officers, prosecutors and criminal justice actors.",
"2. International cooperation to deprive criminals of their proceeds of crime",
"58. UNODC helped to create and support six asset recovery inter-agency networks through the Global Programme against Money-Laundering, Proceeds of Crime and the Financing of Terrorism. These informal networks of law enforcement and judicial practitioners play an important role, as they facilitate the complete asset recovery process, from the start of the investigation, involving the tracing of assets, to freezing and seizure, management and forfeiture or confiscation. The networks operate in Eastern and Southern Africa, Latin America, the Caribbean, West Africa, Asia and the Pacific, and West and Central Asia.",
"59. UNODC continued to facilitate the work of the Global Operational Network of Anti-Corruption Law Enforcement Authorities, a platform for peer-to-peer information exchange and informal cooperation among 96 anti-corruption authorities in 56 countries.",
"60. In 2021, under the StAR Initiative, 18 countries benefited from UNODC assistance in tracing, seizing, confiscating and recovering proceeds of crime, and more than 1,800 people were trained globally. Under the StAR Initiative, the Office contributed to 20 global policy events and held three special events on the margins of the special session of the General Assembly against corruption.",
"3. Terrorism in all its forms and manifestations",
"61. In support of the ratification and implementation of conventions and protocols on terrorism, UNODC continued to advocate for universal adherence to the 19 international legal instruments against terrorism, assisting Member States in becoming party to them and in implementing them at the national level. The Member States that became parties to various international legal instruments related to terrorism in 2021 were Botswana, the Congo, Finland, France, the Gambia, Honduras, Iraq, Luxembourg, the Netherlands, the Philippines, Portugal, the Russian Federation, Rwanda, Saudi Arabia, Seychelles, Switzerland and Zimbabwe. France, Portugal, Switzerland and Finland became the seventh, eighth, ninth and tenth Member States, respectively, to have become party to all 19 instruments, joining Côte d’Ivoire, Cuba, the Dominican Republic, Kazakhstan, the Netherlands and Türkiye.",
"62. UNODC implemented a project aimed at strengthening the expertise of stakeholders in Morocco to develop institutionalized, effective and human rights-compliant investigation and trial management for returning foreign terrorist fighters and their family members. UNODC organized briefings in Indonesia, Malaysia, the Philippines and Thailand on the screening, prosecution, rehabilitation and reintegration of returning and relocating foreign terrorist fighters, their family members and local affiliates.",
"63. In March 2021, UNODC, in partnership with the Kostanai Academy of the Ministry of Internal Affairs of Kazakhstan, led an expert meeting on strengthening the capacity of prison and probation officers to manage violent extremist prisoners and foreign terrorist fighters in prison in Kazakhstan.",
"64. UNODC developed four e-learning modules, available in English and Russian, addressing mental health considerations for the rehabilitation and reintegration of foreign terrorist fighter returnees and their families. The Office promoted the modules through four webinars for professionals from Kazakhstan, Kyrgyzstan, Tajikistan and Turkmenistan.",
"65. UNODC contributed to the United Nations Countering Terrorist Travel Programme, coordinated and managed by the Office of Counter-Terrorism and implemented with other United Nations programme partners. UNODC provided legislative assistance to develop normative frameworks on advance passenger information and passenger name records, as well as operational support for the establishment of multi-agency passenger information units. In 2021, Azerbaijan, Botswana, Côte d’Ivoire, the Gambia, Ghana, Mongolia, Morocco, the Philippines, Sierra Leone, the Sudan, Togo and the Caribbean Community received support from UNODC in the context of the programme.",
"66. In 2021, the Office initiated the development of a new global framework for providing capacity-building to requesting Member States, based on an independent in-depth evaluation and consultations with Member States, regional organizations, United Nations entities, civil society organizations, academic institutions and private sector entities.",
"4. New, emerging and evolving forms of crime",
"67. UNODC continued to support Member States in their efforts to address new, emerging and evolving forms of crime. UNODC leads the international efforts to address trafficking in persons and the smuggling of migrants. Through its global programmes against trafficking in persons and the smuggling of migrants, UNODC supported 60 countries and trained more than 5,000 practitioners in 2021.",
"68. UNODC advanced efforts to counter trafficking in migration flows, for example, under the Transforming Alerts into Criminal Justice Responses to Combat Trafficking in Persons within Migration Flows (TRACK4TIP) initiative, reaching eight countries across Latin America and the Caribbean with actions at the national and regional levels. In Colombia, for example, labour inspectors trained by UNODC in the identification and referral of trafficking cases uncovered suspected trafficking for forced labour involving 40 Venezuelan migrants. The Office’s legislative assistance on trafficking and smuggling included support to Iraq for the drafting of a judicial guidance note addressing victim’s rights in the criminal justice process. Through the strengthening transregional action and responses against the smuggling of migrants (STARSOM) initiative, bringing together 13 countries located along smuggling routes that run through Asia, the Gulf States, Africa, and Latin America and the Caribbean, UNODC mentored officials on responding to migrant smuggling cases in a human rights-informed, gender-inclusive manner, to strengthen South-South cooperation.",
"69. In 2021, UNODC launched its Observatory on Smuggling of Migrants and published two interactive research analyses that provide geospatial, graphic and infographic visualizations of the smuggling of migrants in North Africa, Morocco and along the central and western Mediterranean route. UNODC published an issue paper entitled “The concept of ‘harbouring’ in the Trafficking in Persons Protocol”, which analyses the practical application of the definition of trafficking in persons and its interpretations in national jurisdictions. To foster collaboration with the private sector, UNODC published the Compendium of Promising Practices on Public-Private Partnerships to Prevent and Counter Trafficking in Persons. It also published a study entitled “COVID-19 and the smuggling of migrants: a call for safeguarding the rights of smuggled migrants facing increased risks and vulnerabilities”, which calls for enhanced regular pathways for migration in order to prevent the smuggling of migrants. In addition, UNODC published the UNODC Toolkit for Mainstreaming Human Rights and Gender Equality into Criminal Justice Interventions to Address Trafficking in Persons and Smuggling of Migrants.",
"70. The Global Firearms Programme launched a new initiative to support the implementation of the Roadmap for Implementing the Caribbean Priority Actions on the Illicit Proliferation of Firearms and Ammunition across the Caribbean in a Sustainable Manner by 2030, while continuing its work in other regions. The Office assisted 31 countries in Africa, Latin America and the Caribbean, Central Asia and Eastern Europe with regard to legislative and policy development, preventive and security measures, criminal justice responses, and international cooperation and information exchange, as well as the monitoring of illicit firearms flows and emerging threats, training more than 4,000 practitioners. The Office coordinated a two-week operation against firearms trafficking in the Sahel, in which 850 officers from relevant law enforcement agencies seized 594 firearms and several thousand rounds of ammunition, including among suspected terrorists. The Office started to engage with countries in Africa and Latin America to promote more advanced forms of international cooperation among countries on complex firearms trafficking cases, including through the establishment of joint investigative teams.",
"71. UNODC continued to conduct research and provide technical assistance to Member States in their efforts to address the world drug problem.[8]",
"72. With regard to the prevention of and response to violence against children, UNODC delivered capacity-building in Bosnia and Herzegovina, Maldives and Mozambique, and co-organized five webinars for the second regional INSPIRE workshop, involving 10 Latin American countries.",
"73. UNODC facilitated the expert discussions held by the Commission on Crime Prevention and Criminal Justice in February 2022 on crimes that affect the environment (see para. 6 above). A joint thematic discussion on the more specific topic of the practical application of the Organized Crime Convention for preventing and combating transnational organized crimes that affect the environment was held by the Working Group on International Cooperation and the Working Group of Government Experts on Technical Assistance of the Conference of the Parties to the Organized Crime Convention in May 2022.",
"74. UNODC continued to build the capacity of Member States to prevent and address crimes that affect the environment, including by delivering training to over 2,000 criminal justice personnel; mentoring law enforcement officers and prosecutors; strengthening corruption risk management capacity in wildlife, forest and fisheries management and enforcement authorities; supporting forensic and financial investigations; awareness-raising; and supporting international cooperation. New tools were developed, including rapid reference guides for investigators and prosecutors. New projects were launched on waste trafficking and on the potential links between wildlife trafficking and zoonotic disease transmission.",
"75. At the time of reporting, a series of legislative guides were under development to support States in adopting legislation to criminalize trafficking in waste, metals and other minerals, as well as crimes in the fisheries sector, as serious crimes, when appropriate. The guides provide concrete legislative guidance to States to prevent, investigate, prosecute and adjudicate such crimes.",
"76. With regard to trafficking in falsified medical products, UNODC organized a meeting in the framework of the West African Network of Central Authorities and Prosecutors against Organized Crime (WACAP) in Dakar in November 2021, during which the roles of various organizations working on this issue were examined, tools to address the urgent need for strengthened legislation were discussed and the establishment of a working group on legal frameworks under WACAP was agreed upon. The Office developed a new standardized training course on falsified medical products and provided training, in cooperation with pharmaceutical companies and international partner organizations, to law enforcement personnel from 16 countries on identification, proper factory packaging and legitimate supply channels.",
"77. The Office delivered regional training sessions on combating illicit trafficking in cultural property using shipping containers in Beirut and in Panama in June 2021. It also delivered, jointly with OSCE and the Multinational Peace Support Operations Training Centre in Greece, training on the protection of cultural property to 31 participants from law enforcement authorities and the military of 11 countries.",
"78. With a view to addressing, inter alia, trafficking in commercial goods, the Office continued to work with Member States to establish port control units and air cargo control units at seaports, dry ports, land borders and airports and along railways. Currently operating in 73 countries, the UNODC-World Customs Organization (WCO) Container Control Programme provided training to front-line law enforcement personnel in profiling and inspecting cargo containers suspected of carrying illicit goods, thus enhancing their capacity to detect the smuggling of highly taxed goods, such as alcohol, tobacco and motor vehicles, as well as other illicit cargo, such as wildlife and forest products and firearms, and to counter commercial fraud, such as undervaluation and misclassification.",
"79. UNODC organized with CEPOL a webinar on hate crime for 100 participants and contributed to the South-Eastern Europe Conference on Hate Crime organized by OSCE. As the lead entity for the criminal justice pillar of the United Nations network on racial discrimination and protection of minorities, UNODC ensured that the prevention of hate crime, support to victims and addressing racial discrimination through access to justice and criminal justice reform were included in network activities, which included a four-week pilot training course for 13 United Nations country teams on addressing racial discrimination in programming processes.",
"80. The Office continued to assist States in responding to maritime crime by supporting their criminal justice systems, from law enforcement at sea through to investigation, prosecution and trial. The Global Maritime Crime Programme offered courses on visiting, boarding and search and seizure at established maritime centres and facilitated simulated trials in which collected evidence was presented in court. Under the Programme, UNODC continued to expand its analytical courses on maritime domain awareness and strengthened partnerships with technology providers to improve sea monitoring and patrolling by Member States. Moreover, the Programme addressed crimes that affect the environment, including by supporting efforts to tackle marine pollution and crimes in the fisheries sector.",
"81. Through its Global Programme on Cybercrime, UNODC built capacities in detecting, preventing, investigating, prosecuting and sentencing cyber-dependent and cyber-facilitated crimes in 47 Member States, providing specialized support in developing efficient criminal justice responses to complex crimes that have been increasing in number, such as online child sexual abuse and exploitation. UNODC supported the establishment and strengthening of specialized cybercrime investigation units, digital forensic laboratories and reporting mechanisms in Belize, El Salvador, Guatemala and Peru, with a view to making a positive impact on the protection of victims, including children, women and girls. Technical support to address the relationship between cybercrime and other types of organized crime, such as drug trafficking and the illicit movement of funds by means of cryptocurrencies and the dark web, was provided in coordination with the CRIMJUST global programme and the UNODC Opioid Strategy, a five-pillar, integrated inter-agency response to the global opioid crisis.",
"82. The Ad Hoc Committee to Elaborate a Comprehensive International Convention on Countering the Use of Information and Communications Technologies for Criminal Purposes, established by the General Assembly in its resolution 74/247, held its session on organizational matters in New York on 24 February 2022 and its first session in New York from 28 February to 11 March 2022, in accordance with General Assembly resolution 75/282 and General Assembly decision 76/522. At its first session, the Ad Hoc Committee approved its road map and mode of work and adopted the elements to form the structure of the future convention. The Committee also exchanged views on key elements, as well as the objectives and scope, of the convention. At its second session, held in Vienna from 30 May to 10 June 2022, the Ad Hoc Committee undertook a first reading of the provisions on criminalization, the general provisions and the provisions on procedural measures and law enforcement, in accordance with its road map and mode of work.",
"IV. Governance and financial situation of the United Nations Office on Drugs and Crime",
"83. Information on the governance and financial situation of UNODC is presented in the report of the Secretary-General on international cooperation to address and counter the world drug problem (A/77/137).",
"V. Recommendations",
"84. I urge Member States to continue their efforts to fully implement the Kyoto Declaration, including with a view to building back better from the COVID-19 pandemic.",
"Advancing crime prevention",
"85. The United Nations stands ready to assist Member States in addressing the causes, including the root causes, of crime. I urge Member States to strengthen, in cooperation with non-State actors, the availability and quality of evidence that can support crime prevention policies that are sustainable, community-focused and gender-responsive and that empower young people.",
"86. Recognizing the importance of effective prevention policies and programmes for reaching the violence- and crime-related targets of the 2030 Agenda for Sustainable Development, I encourage Member States to strengthen their crime prevention strategies, including by focusing on enhancing youth resilience.",
"Advancing the criminal justice system",
"87. I urge Member States to apply evidence-based criminal justice policies and strengthen the use of restorative justice and victim assistance, protection and support.",
"88. I call upon Member States to mainstream a gender perspective into their national criminal justice policies, programmes, legislation and other actions in order to, inter alia, address all forms of gender-related violence, crime and victimization, including gender-related killings.",
"89. In order to address the excessive resort to incarceration, prison overcrowding and the systemic neglect by prison administrations and other entities in charge of offender management in the community, I encourage Member States to re-assess and diversify their responses to criminal behaviour with a view to reducing imprisonment, making greater use of the potential offered by non-custodial measures and ensuring safe, humane and rehabilitative prison environments. I urge Member States to ensure the practical application of United Nations standards and norms in the field of offender management, in particular the Nelson Mandela Rules, the United Nations Rules for the Treatment of Women Prisoners and Non-custodial Measures for Women Offenders (the Bangkok Rules) and the United Nations Standard Minimum Rules for Non-custodial Measures (the Tokyo Rules).",
"90. I call on Member States to adopt measures to integrate child justice reform into broader rule-of-law and developmental efforts, and to adopt and implement child-sensitive, gender-responsive and multi-stakeholder approaches, acknowledging that children(boys and girls) differ from adults (men and women) and are therefore entitled to specific rights, safeguards and responses in line with international law, with a view to protecting children across governmental and non-governmental institutions.",
"91. I encourage Member States to prioritize the strengthening of national capacity and skills in the field of forensic sciences and to support the establishment and sustainability of regional forensic science networks in order to enhance expertise and capacity in preventing and combating transnational organized crime.",
"92. I urge Member States to improve the effectiveness of their investigations by implementing evidence-based approaches to interviewing that are in line with international standards and best practices.",
"93. I urge Member States to develop victim-centred approaches to criminal justice, ensuring equal access to protection, assistance and support for victims of all types of crimes, including by implementing restorative justice approaches.",
"Promoting the rule of law",
"94. I urge Member States to enhance equal access to justice for all by strengthening their legal aid systems, addressing discrimination, reforming their police institutions and increasing the effectiveness of investigations, and to improve the effectiveness, accountability, impartiality and inclusiveness of criminal justice institutions.",
"95. I encourage Member States to fully support the commitments and recommendations made at the special session of the General Assembly on challenges and measures to prevent and combat corruption and strengthen international cooperation, held in June 2021.",
"Promoting international cooperation and technical assistance to prevent and address all forms of crime",
"96. I call upon Member States to continue efforts in support of the effective implementation of the Organized Crime Convention, especially its provisions on international cooperation, and to provide effective contributions and support to the Mechanism for the Review of the Implementation of the Organized Crime Convention and the Protocols thereto.",
"97. I call upon Member States to redouble their efforts to establish effective anti-money-laundering systems in accordance with relevant United Nations conventions and internationally accepted standards, including, where applicable, the recommendations of relevant intergovernmental bodies, inter alia, the Financial Action Task Force, with a view to fully implementing those standards.",
"98. Preventing terrorism and violent extremism requires comprehensive and inclusive approaches, which must comply with obligations under international law, including the 19 international legal instruments against terrorism and relevant resolutions of the General Assembly and the Security Council. I urge Member States to ensure fair, transparent and accountable criminal justice processes based on the principles of the rule of law, due process and human rights, which provide the foundation for effective measures to prevent and counter terrorism.",
"99. I call upon Member States to ensure that trafficked persons are not punished or prosecuted for unlawful acts committed by them as a direct consequence of being trafficked, and to establish domestic laws, guidelines, policies and capacity-building measures for criminal justice practitioners that clearly espouse the principle of non-punishment of victims of trafficking.",
"100. I call upon Member States to reverse the recent reduction in regular migration pathways in response to the COVID-19 pandemic, as a means to prevent the smuggling of migrants and particularly aggravated forms of such smuggling involving violence, abuse, trafficking in persons, human rights violations or death.",
"101. I call upon Member States to foster international cooperation to effectively prevent, investigate and adjudicate illicit trafficking in firearms and ammunition, in particular to and from countries in different conflict and post-conflict phases, and to address the interconnectedness of such trafficking with other forms of organized crime and terrorism.",
"102. I call upon Member States to adopt and implement comprehensive strategies and measures to better protect children from serious forms of violence, including violence committed by criminal and armed groups, including those designated as terrorist and violent extremist groups, in accordance with international standards and norms, while adopting a whole-of-society approach.",
"103. I urge Member States to address the increase in hate crime by adopting relevant legislation, providing relevant training to criminal justice professionals and ensuring relevant data collection and access to justice for victims, in partnership with civil society and community-based organizations, including in the context of responding to hate speech.",
"104. I call upon Member States, in appropriate cases, to adopt or amend national legislation to criminalize offences that affect the environment as serious crimes, as defined in article 2 (b) of the Organized Crime Convention.",
"105. I call upon Member States to integrate emerging policy issues into their crime prevention and criminal justice policies and pandemic recovery plans. In this regard, I encourage Member States to integrate responses to crimes that affect the environment into broader national and international agendas, including those on biodiversity, climate change, and waste and pollution; to further strengthen their cooperation against cybercrime, including through active participation in the ongoing negotiation of an international convention on countering the use of information and communications technologies for criminal purposes; and to enhance national legislation and capabilities to respond to new, emerging and evolving crimes such as trafficking in falsified medical products, trafficking in cultural property and the smuggling of commercial goods.",
"106. I call upon Member States to provide adequate, predictable and sustainable funding to UNODC for its research, normative work and technical assistance in crime prevention and criminal justice matters.",
"[1] ^(*) A/77/50.",
"[2] E/2022/55, para. 155.",
"[3] United Nations Office on Drugs and Crime (UNODC), “Monitoring SDG 16, a gender perspective”, Data Matters Series, No. 4 (forthcoming).",
"[4] UNODC, Global Study on Homicide 2019, booklet 2, p. 78.",
"[5] See E/2022/30-E/CN.15/2022/14, chapter I, section C.",
"[6] See the conference room papers containing the Chair’s summaries of the thematic discussions (E/CN.15/2022/CRP.1 and E/CN.15/2022/CRP.2).",
"[7] CAC/COSP/WG.2/2018/3, annex.",
"[8] See A/77/137."
] | A_77_127 | [
"Item 109 of the preliminary list*",
"Implementation of the mandates of the United Nations Crime Prevention and Criminal Justice Programme, in particular the technical cooperation activities of the United Nations Office on Drugs and Crime",
"Report of the Secretary-General",
"The present report has been prepared pursuant to General Assembly resolution 76/187. It provides an overview of activities, including emerging policy issues, undertaken by the United Nations Office on Drugs and Crime (UNODC) to support Member States in their efforts to combat transnational organized crime, corruption and terrorism, crime prevention and the strengthening of criminal justice systems.",
"The present report contains information on the activities of UNODC to address the challenges posed to crime prevention and criminal justice systems by the 2019 coronary virus epidemic (COVID-19).",
"Introduction",
"1. More than five years after the implementation of the Sustainable Development Agenda 2030, the overall picture of the targets related to crime and criminal justice in the sustainable development goals has been mixed. Little progress has been made on target 16.3, promoting the rule of law and ensuring equal access to justice for all. For example, despite the significant reduction in the global prison population (from 11.8 million in 2019 to 11.2 million at the end of 2020) during the 2019 coronary virus disease (COVID-19) epidemic, the proportion of prisoners not detained for crimes has remained relatively unchanged globally. [2] Some progress has been made in efforts to reduce criminal violence, in line with target 16.1 of the sustainable development goals. Between 2015 and 2020, the global homicide rate fell by 5.2 per cent. However, impunity for such crimes remains widespread. Globally, only about 53 people have been convicted of murder compared to every 100 homicide victims. [4] Crime prevention and criminal justice therefore remains a long way to go.",
"UNODC has launched a new series of publications on “Data Matters”, which includes three research briefs on the global prison population, sustainable development goal 16 and the three themes of gender-related killing of women and girls. In addition, UNODC published research briefs on the impact of the war in Ukraine on its mandated areas of work, including “The conflict in Ukraine: key evidence of drug demand and supply” and “The conflict in Ukraine: key evidence of the risks of trafficking in persons and smuggling of migrants”.",
"As requested by the General Assembly in its resolution 76/187, the present report provides information on the implementation of the mandates of the United Nations Crime Prevention and Criminal Justice Programme and reflects emerging policy issues and possible responses. The present report describes the activities of UNODC in the thematic areas covered by the Kyoto Declaration on Promoting Crime Prevention, Criminal Justice and the Rule of Law: Towards a Sustainable Development Agenda 2030, adopted at the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice, held in Kyoto, Japan, from 7 to 12 March 2021.",
"4. As a result of the continuing impact of the COVID-19 pandemic, most of the intergovernmental meetings and technical assistance activities referred to in the present report take the form of online or mixed (underline and offline) activities.",
"II. Action taken by the Commission on Crime Prevention and Criminal Justice, including follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice",
"The Commission held its thirty-first session in Vienna from 16 to 20 May 2022. The Commission recommended that the Economic and Social Council approve three resolutions for adoption by the General Assembly: (a) “Follow-up to the Fourteenth United Nations Congress on Crime Prevention and Criminal Justice and preparations for the Fifteenth United Nations Congress on Crime Prevention and Criminal Justice”; (b) “Reducing recidivism through rehabilitation and reintegration”; and (c) “Strengthening national and international efforts, including with the private sector, to protect children from sexual exploitation and abuse”. In addition, the Commission adopted resolution 31/1, entitled “International legal framework to enhance international cooperation to prevent and combat illicit trafficking in wildlife”. [5]",
"In accordance with General Assembly resolution 76/181, the Committee held its first thematic discussion on the implementation of the Kyoto Declaration in November 2021. In addition, pursuant to General Assembly resolution 76/185, the Commission held an expert seminar on crimes affecting the environment in February 2022. Experts from more than 130 Member States, as well as United Nations entities, intergovernmental and international organizations and civil society, participated in both thematic discussions. [6] More information on the follow-up to the fourteenth session of the General Assembly is contained in the report of the Secretary-General on the topic (A/77/128).",
"III. Action taken by the United Nations Office on Drugs and Crime in thematic areas",
"A. Introduction: strategic issues",
"The UNODC Strategy 2021-2025 guides the work of UNODC in five thematic areas: (a) addressing and countering the world drug problem; (b) preventing and combating organized crime; (c) preventing and combating corruption and economic crime; (d) preventing and combating terrorism; and (e) crime prevention and criminal justice. The strategy defines the mandates of UNODC in the three pillars of the United Nations — peace and security, development and human rights. The strategy commits to fully integrating gender equality and the empowerment of women, human rights and youth into UNODC programmes and encourages integrated programmes, effective multilateral cooperation and strengthened partnerships with international organizations, civil society organizations and the private sector.",
"In the spirit of the Strategy, UNODC has been working with an increasing number of United Nations entities and international and regional organizations to assist them in the preparation of strategic documents and in conducting research and technical assistance activities. UNODC actively participates in a number of inter-agency coordination mechanisms, including those related to drug abuse prevention, treatment and rehabilitation, HIV/AIDS, corruption, counter-terrorism, illicit financial flows, trafficking in persons, migration, imprisonment, police, rule of law, gender, human rights issues (such as racial discrimination and protection of minorities), youth empowerment and disability inclusion.",
"UNODC continued to engage, in particular with non-governmental organizations, academia and the private sector, in multi-stakeholder workshops on the United Nations Convention against Corruption and the United Nations Convention against Transnational Organized Crime. Through close cooperation with the NGO Coalition on Crime Prevention and Criminal Justice and the Civil Society Consortium for the Convention against Corruption, civil society participation was ensured in all intergovernmental meetings and workshops held in 2021, in which 4,071 stakeholders from 1,253 organizations participated. New public-private partnerships were launched, involving 75 representatives from the private sector.",
"UNODC, in cooperation with the Office of the President of the General Assembly, co-sponsored a high-level thematic debate on the theme “Strengthening youth mainstreaming in crime prevention policies” on 6 June 2022. The event is intended to provide a forum for Member States to exchange views on how youth can be agents of change in their communities and as actors capable of fighting crime and upholding the rule of law. Particular attention was paid to the development of crime prevention strategies that included youth as active partners with Member States, local governments, academia and civil society.",
"As of May 2022, UNODC had carried out activities in 95 countries. In implementing the Strategic Vision for Latin America and the Caribbean, 2022-2025, launched on 7 February 2022, UNODC repositioned its country office in Colombia as a regional office for the Andean region and the Southern Cone region, extending its coverage to Argentina, Chile, Paraguay and Uruguay, and was responsible for guiding the country offices in Bolivia (Plurinational State of), Ecuador and Peru. In so doing, UNODC seeks to achieve programme coordination and operational optimization and to promote the exchange and dissemination of good practices and experiences within and outside the subregion.",
"In Afghanistan, after the Taliban took over power in August 2021, UNODC developed a strategic stability grid to address existing and emerging transnational challenges posed by drugs, crime and terrorism in and around Afghanistan. The grid aims to promote regional stability, protect the people of Afghanistan and the wider region around it, preserve peace, improve human rights and promote long-term sustainable social and economic development, and respond to urgent needs in humanitarian crises.",
"UNODC uses local networks in Ukraine and refugee shelters in host countries to develop and disseminate materials to meet the needs of parents and caregivers and to work to maintain strong families in humanitarian settings. With the support of the Joint United Nations Programme on HIV/AIDS, UNODC has been coordinating communication between Ukrainian prison authorities and civil society organizations to address humanitarian needs in prison settings.",
"B. Promoting crime prevention",
"1. Addressing the causes of crime, including root causes; evidence-based crime prevention; and tailored crime prevention strategies",
"UNODC continued to support States in strengthening rigorous evidence-gathering to help prevent crime. UNODC, together with the UNODC-National Institute of Statistics and Geography (INEGI) Centre of Excellence for Statistical Information on Governance, Victimization, Public Security and Justice in Mexico and UNODC-Republic of Korea The Centre of Excellence in Crime and Criminal Justice Statistics for Asia and the Pacific, Statistics Korea, provided capacity-building support to 150 countries on indicators for sustainable development goal 16, implementation of the International Classification of Crime for Statistical Purposes, measurement of illicit financial flows, victimization and corruption surveys, and gender mainstreaming in crime and criminal justice statistics. Together with the United Nations Development Programme and the Office of the United Nations High Commissioner for Human Rights (OHCHR), UNODC developed a survey initiative on sustainable development goal 16; with the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), a statistical framework for measuring gender-related killing of women and girls, also known as femicide and femicide; and with the United Nations Conference on Trade and Development, a conceptual framework for the statistical measurement of illicit financial flows. The Statistical Commission welcomed the first initiative and endorsed two others.",
"UNODC continues to support Member States in implementing crime prevention standards through its global, regional and country programmes, providing advice on the design and implementation of strategies and programmes. This includes supporting better qualitative data on crime and victimization through surveys or community consultation mechanisms. In May 2021, Kyrgyzstan adopted Law No. 60 on the basic elements of crime prevention, which outlines the role of various actors and addresses victim support. As a follow-up, UNODC has been providing technical assistance for the implementation of the new National Crime Prevention Programme, 2022-2028, covering areas such as local action plan development and capacity-building. UNODC provided strategic advice for the design of a community-based regional strategy to prevent crimes at sea and other crimes in Nigeria, including the organization of consultations with local governmental and non-governmental stakeholders. The UNODC Organized Crime Threat Assessment in Nigeria was discussed at a workshop with key stakeholders in May 2022. The aim of the workshop was to provide information on the country ' s strategy to address related threats.",
"In line with the commitment in the Kyoto Declaration to strengthen multidisciplinary efforts for crime prevention and as a follow-up to the high-level debate of the General Assembly on the theme “Safety, security and good governance in cities: crime prevention as a priority for all”, held in April 2021, UNODC promoted cooperation between citizens and justice institutions in Africa, Asia and Central America to advance crime prevention at the local level. In Mexico and Brazil, UNODC supported the implementation of community-based strategies to reduce crime and violence and promote a developmental and situational approach to prevention.",
"2. Addressing the economic dimension of crime",
"UNODC, building on the Global Programme against Money-Laundering, the Proceeds of Crime and the Financing of Terrorism, continues to support Member States in developing and implementing effective measures to address the economic dimensions of crime and to deprive offenders and criminal organizations of any illicit proceeds, inter alia, by identifying, tracing, seizing, confiscating, recovering and returning proceeds of crime and establishing a strong framework for domestic financial investigations, while continuing to develop strategies to prevent and combat money-laundering and illicit financial flows.",
"UNODC continues to support Member States in their efforts to combat transnational organized crime, including the laundering of the proceeds of such crime. The staff of law enforcement, customs, immigration and border control authorities, as well as the judiciary and financial intelligence units, continue to benefit from tailored capacity-building activities undertaken by the Office.",
"UNODC continued to support efforts to recover the proceeds of corruption, including through progress made under the second review cycle of the Mechanism for the Review of Implementation of the Convention against Corruption. At the ninth session of the Conference of the States Parties to the Convention against Corruption, the representative of the UNODC/World Bank Stolen Asset Recovery Initiative presented the preliminary results of the survey conducted to collect data on international asset recovery cases related to offences established pursuant to the Convention against Corruption and issued a new publication on the direct implementation of foreign restrictive and confiscation decisions. At its sixteenth meeting, in 2022, the Open-ended Intergovernmental Working Group on Asset Recovery of the Conference will discuss issues arising from the resolutions adopted by the Conference at its ninth session, in particular resolution 9/2 on the follow-up to the special session of the General Assembly on corruption and resolution 9/7 on strengthening the use of beneficial ownership information to facilitate the identification, recovery and return of proceeds of crime.",
"The management of frozen, seized and confiscated assets under the Convention against Corruption is the basis for successful asset recovery. In 2019, the Conference of the States Parties to the Convention against Corruption adopted resolution 8/1, in which it decided that the Working Group on Asset Recovery should continue to collect information on the best practices of States parties with a view to completing the draft non-binding guidelines for the management of frozen, seized and confiscated assets and updating the study, Effective Management and Disposal of Confiscated and Confiscated Assets 2017. [7] UNODC is currently revising the draft non-binding guidelines and studies on the basis of additional information submitted by States parties. UNODC also continued to provide technical assistance in this regard.",
"3. Mainstreaming a gender perspective, including the prevention of gender-related violence, in crime prevention",
"Mainstreaming a gender perspective is a key component of UNODC support to Member States in the implementation of crime prevention standards, including through surveys and community consultation mechanisms to obtain better qualitative data on crime and victimization.",
"UNODC provided strategic advice for the development of a national strategy for the prevention of gender-based violence in South Africa.",
"In March 2022, UNODC organized two online training courses on gender perspectives in crime and criminal justice statistics. The first was attended by 689 participants from 19 countries in Latin America and Europe and the second was attended by 232 participants from 36 countries in the Asia-Pacific region.",
"4. Preventing child and youth crime and empowering youth to prevent crime",
"Pursuant to General Assembly resolution 76/183, UNODC continues to strengthen the resilience of youth under its initiative to “get on line and live happily” and to educate for justice. In 2021, a total of 15 Member States received policy advice and technical assistance from UNODC on integrating sport into crime prevention strategies and building the capacity of State and non-State actors to use sport to prevent violence and crime, including violent extremism. Assistance took the form of customized training, which supported the provision of sport-based life skills training in schools and communities, benefiting over 15,000 young people and creating safe spaces in marginalized communities through the renovation of sports facilities in Lebanon, Mexico and Uganda.",
"In order to prevent the recruitment of individuals, including children, by terrorist and violent extremist groups, UNODC has raised the awareness of policymakers and professionals in Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan through a series of technical meetings aimed at strengthening the regulatory and operational framework on legal, policy and psychosocial matters in accordance with international standards.",
"C. Promoting the criminal justice system",
"1. Defending victims ' rights, protecting witnesses and reporting persons",
"UNODC continues to promote a victim-centred approach to criminal justice and the need to ensure that all victims have access to assistance, protection and support without discrimination and in accordance with the Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power (General Assembly resolution 40/34, annex). UNODC launched a new project on access to justice for victims of crime in Egypt. In Burkina Faso and the Niger, UNODC organized two workshops for criminal justice professionals on effective victim support. In Panama, UNODC organized six online training courses on digital evidence investigations for the Office of the Public Defender, the Department of Legal Assistance for Victims of Crime, the Department of Judicial Investigation and the Office of the Prosecutor.",
"UNODC has prepared a second revised edition of the Model Legislative Provisions against Organized Crime, which includes a chapter on articles 24 and 25 of the United Nations Convention against Transnational Organized Crime on the protection of witnesses and victims.",
"UNODC continued to support States parties to the United Nations Convention against Corruption in strengthening mechanisms to provide effective protection to whistle-blowers. UNODC provided legal advice and legislative assistance to over 15 Member States to develop legislative frameworks related to the protection of whistle-blowers. UNODC also continued to work with States parties to establish or strengthen reporting and protection mechanisms in the context of the COVID-19 pandemic. To that end, UNODC issued new guidelines on whistleblower protection in the health sector in Arabic, English, French, Portuguese and Spanish, and supported the implementation of the guidelines in the health sector in several States parties.",
"2. Improving prison conditions and reducing recidivism through rehabilitation and reintegration",
"Together with the Department of Peace Operations and OHCHR, UNODC led the development of the United Nations System Common Position on Imprisonment, launched in May 2021, to position prison reform and offender management as an integral part of the Sustainable Development Agenda 2030.",
"30. New prison reform projects to strengthen compliance with international minimum standards were launched in Brazil, Ghana, Nigeria, the Philippines, Tajikistan and Tunisia. In another 18 Member States, UNODC supported prison legislative reform or enhanced training courses for prison officers. A total of over 77,000 users from 160 countries registered for the UNODC e-learning course on the United Nations Standard Minimum Rules for the Treatment of Prisoners (the Nelson Mandela Rules), which is available in 13 languages.",
"UNODC continued to provide emergency assistance to mitigate the impact of COVID-19 on prisons. Logistical support was mobilized in Uganda to ensure that prisoners received the COVID-19 vaccine. UNODC promoted the use of non-custodial measures in 10 countries. In Kenya, public officials were sensitized to diversion, plea bargaining and traditional justice mechanisms consistent with human rights.",
"In order to improve the prospects for the social reintegration of prisoners, UNODC launched education and vocational training programmes in Colombia, El Salvador, Morocco and Tunisia. In Tunisia, UNODC, in cooperation with a university, developed a master ' s degree course on cognitive behaviour therapy, which focuses on the prevention of recidivism, thus preparing for the sustainable use of such therapy in prisons.",
"UNODC continued to support Member States in managing violent extremist prisoners, including foreign terrorist fighters in custody, and in preventing the risk of radicalization from violence in prisons. Fifteen Member States have benefited from capacity-building of prison and probation supervisors, enhanced prison security and intelligence, and the development of disengagement programmes. In Indonesia and Kazakhstan, the use of the risk and needs assessment tool developed with the support of UNODC has been adopted as a formal State policy.",
"Pursuant to General Assembly resolution 76/182, UNODC held consultations with subject matter experts in December 2021 and April 2022, respectively, to exchange information on possible practices to reduce recidivism with a view to developing model strategies. Topics discussed included the use of non-custodial measures, fair sentencing policies and rehabilitation and reintegration programmes in custodial settings and communities.",
"3. Mainstreaming a gender perspective in the criminal justice system",
"In addition to supporting strategies and initiatives to prevent violence against women, UNODC supported 22 Member States in increasing access to gender-responsive justice for survivors of gender-based violence. The main achievements included the reform of the criminal law on sexual violence and the establishment of a special unit in the Office of the Attorney-General of Nepal, the adaptation and adoption of UNODC tools by the Ministry of Public Security, the Public Prosecution Service and the Supreme People ' s Court of Viet Nam, and the strengthening of national and local inter-agency coordination mechanisms in Bolivia (Plurinational State of), Nepal and Viet Nam. In Mexico, UNODC trained 6,860 police officers and 283 emergency call operators in the prevention and detection of cases of gender-based violence and in appropriate treatment and referral of survivors. In Guatemala, UNODC supported legal complaints mechanisms and improved case development involving lesbian, gay, bisexual, transgender, intersex, older persons, persons with disabilities and indigenous peoples. In Kenya, UNODC developed a rapid reference guide for prosecutors on sexual and gender-based violence cases. With the support of UNODC, a new Southern African Development Community model law on gender-based violence is being developed, which will provide a blueprint for survivor-centred criminal justice reform in the region. In March 2022, on the occasion of the first-ever International Day of Women Judges, UNODC launched the “Women in the administration of justice/for justice” campaign to promote gender balance and gender sensitivity in the administration of justice. In its resolution establishing the International Day, the General Assembly noted with appreciation the work of the Global Network on Judicial Integrity, which continues to address gender equality, in integrating the representation of women into the justice system.",
"4. Addressing the vulnerability of children and youth in criminal justice systems",
"In Brazil, UNODC, in cooperation with the National Council of the Office of the Prosecutor, conducted a situation analysis of the juvenile justice system, developed a training tool, organized a capacity-building activity and issued a policy paper on improving the treatment of children in conflict with the law. In Nigeria, UNODC supported the assessment of 225 persons in a youth correctional facility in the country, resulting in 218 releases and capacity-building activities on the treatment of children deprived of their liberty.",
"UNODC has initiated projects in Indonesia, Iraq and Nigeria to empower adolescents to resist extremism to prevent and respond to violence against children by terrorist and violent extremist groups. At the end of the start-up phase, situation analyses were completed, national coordination mechanisms were established and customized work plans were approved for each country. A scientific advisory committee, a global research framework and a grant programme for national research partners were established. Under the project, two capacity-building activities were organized: one on child justice in the context of counter-terrorism, held in Indonesia in December 2021, and another on the treatment of child victims and witnesses, held in Nigeria in January 2022.",
"UNODC continued to provide technical assistance on the treatment of children associated with terrorist and violent extremist groups in Indonesia, Iraq, Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan, and published the Portuguese version of the “Road Map for the Treatment of Children Associated with Terrorist and Violent Extremist Groups”. UNODC organized three regional webinars to discuss practical practices related to the rehabilitation and reintegration of returning children in conflict areas and launched a new Russian-language e-learning training module on the issue.",
"5. Improving criminal investigation procedures",
"UNODC distributed the Principles for the Effective Conduct of Interviews for the Purpose of Surveying and Collecting Information, the Mendes Principles. In addition, UNODC developed three online learning modules on survey interviews, which were piloted in Nigeria and Pakistan. In addition, UNODC worked with the Organization for Security and Cooperation in Europe (OSCE), the European Law Enforcement Training Agency, the Norwegian Centre for Human Rights and the Association for the Prevention of Torture to build regional and national capacity for more than 200 law enforcement and other criminal justice professionals globally on effective investigations and interviews. In Pakistan, UNODC trained 1,162 police officers and prosecutors, in particular on forensic investigations, ethics, police and prosecutors cooperation, and provided training of trainers on interviewing techniques.",
"UNODC continued to support the strengthening of capacity related to forensic science in the work of law enforcement and customs officials, postal services, laboratories and judicial institutions. This support includes the provision of standardized training courses, manuals, guidelines and e-learning tools and services on security document examination, crime scene investigations, drug identification, safe and environmentally sound handling and disposal of drugs and the production of precursor chemicals for drug use. The United Nations synthetic drug toolkit, supplemented by new specialized modules on cybercrime and postal security, provides States with practical resources from across the United Nations system to implement a comprehensive response to all forms of synthetic drug-related crime.",
"D. Promoting the rule of law",
"1. Access to justice and legal aid",
"UNODC continued to support efforts to reform access to justice in 22 countries. Key achievements included the completion, in collaboration with OHCHR, of a joint project with UN-Women in Liberia, Senegal and Sierra Leone, which strengthened the capacity of local legal aid providers to provide services to survivors of sexual and gender-based violence, awareness-raising and legal rights protection campaigns and a report on the impact of COVID-19 on women ' s access to justice and legal aid. The independent project evaluation concluded that the project enabled legal aid providers to provide improved, quantitative and qualitative gender-sensitive legal aid to women, including in remote communities, in a manner that met the increased needs during the pandemic. The project provides inputs to key aspects of the direct and effective implementation of the legal aid system through advocacy and the establishment of locally owned bottom-up incentives for the future adoption of the relevant legal framework. Globally, UNODC has highlighted the importance of ensuring equal access to justice for all by focusing on those who have been excluded and marginalized from discrimination in the past. UNODC and the World Bank co-organized a conference entitled “Poverty and racial equality in the criminal justice system: access to justice for development” during the World Bank Law, Justice and Development Week in November 2021.",
"2. National sentencing policy",
"As a response to the global prison crisis caused by overuse of imprisonment and prison overcrowding, UNODC continued to promote a commensurate sentencing policy and the effective use of non-custodial measures. UNODC continued to assist the Governments of Sri Lanka, Thailand and Viet Nam in improving the use of non-custodial measures in a gender-responsive manner, including by assessing the current use of non-custodial measures, organizing a series of workshops for criminal justice professionals on sentencing policies and guidelines and improving the rehabilitation and reintegration of offenders. UNODC also advised the Government of Nigeria on fair sentencing policies in its efforts to revise the National Drug Law Enforcement Agency Act.",
"3. Effective, accountable, just and inclusive institutions",
"UNODC provides technical assistance to ensure the integrity and impartiality of law enforcement and other institutions of the criminal justice system and the independence of the judiciary. This includes technical assistance to States parties to the Convention against Corruption to strengthen the integrity, transparency, accountability and inclusiveness of institutions.",
"In addition to providing ethics and integrity training to law enforcement authorities, UNODC contributed to the development of corruption risk assessment and risk management strategies for public institutions, including the prison system in the Central African Republic and the judiciary in the Plurinational State of Bolivia. UNODC provided training programmes and workshops on judicial integrity and supported Member States in developing a code of ethics for the judiciary.",
"The Global Network on Judicial Integrity, supported by UNODC, continues to create opportunities for experience-sharing and peer support among judges and judicial institutions. UNODC disseminated information on the Network in many forums and continued to enrich its website with new resources. As of April 2022, more than 70 jurisdictions worldwide had become training sites for the implementation of the Network ' s judicial ethics training package.",
"UNODC has launched a new project in Kazakhstan to support the implementation of community policing, strengthen training courses and optimize human resources management for the police, with a view to building a diverse and inclusive policing effort. UNODC supported the Dominican Republic in designing its police reform programme and provided Thailand with a proposal for a draft ministerial regulation on the use of force by the police. In Brazil, UNODC adjusted the police compliance index used to measure the use of force in three states. In Uzbekistan, UNODC, together with the National Centre for Human Rights, organized three workshops on the use of force for over 1,000 police officers.",
"UNODC provided technical assistance on court procedures and judicial capacity. In Lebanon, UNODC established a comprehensive electronic hearing system in selected courts, prisons and detention facilities. UNODC also facilitated two research courses in Austria and Spain for 42 judges of the Egyptian Court of Cassation. In Brazil, UNODC organized 16 online events involving a total of 1,906 professionals to raise awareness of the UNODC detention hearing tools.",
"4. Effective anti-corruption efforts",
"48. At the time of writing, there were 189 States parties to the Convention against Corruption. In June 2021, the General Assembly convened its first special session against corruption and adopted a forward-looking political declaration negotiated under the auspices of the Conference of the States Parties to the Convention against Corruption. The meeting was mandated to follow up and consolidate the political declaration and, inter alia, decided to convene an intersessional meeting in September 2022 to follow up on the outcome of the political declaration.",
"49. The ninth session of the Conference of the States Parties to the Convention against Corruption was held in Sharm el-Sheikh, Egypt, in December 2021. Some 2,000 participants from 154 Member States and many international and non-governmental organizations attended and adopted eight resolutions. The Implementation Review Group, established by the Conference, held its twelfth session in June 2021 and resumed its twelfth session in September 2021. The regular and resumed sessions included joint meetings of the Open-ended Intergovernmental Working Group on the Prevention of Corruption at its twelfth meeting, the Working Group on Asset Recovery at its fifteenth meeting and the tenth meeting of open-ended intergovernmental experts to enhance international cooperation under the United Nations Convention against Corruption.",
"The first cycle of the Implementation Review Mechanism is nearing completion, with a total of 173 country review reports finalized in executive summaries. Work on the second cycle moved forward, with 59 final executive summaries. Bridging the gaps identified through these reviews will enhance the effectiveness of anti-corruption efforts. UNODC continued to provide technical assistance in response to comments made during the review, including the drafting of action plans, anti-corruption strategies and legislation, and capacity-building.",
"5. Social, educational and other measures",
"UNODC has continued its work on crime and violence prevention under its “Stand Up, Happy Lives” initiative, which provides a sport-based learning programme that focuses on life skills training to complement formal education, reach young people who may not be able to attend school through sport and build the capacity of teachers and sports coaches to provide interactive learning and strengthen youth resilience to crime.",
"In December 2021, UNODC launched the Global Initiative on Anti-Corruption Education and Youth Empowerment Resources to further enhance the role of education and youth in preventing and combating corruption, in line with the Convention against Corruption and the political declaration adopted at the special session of the General Assembly on corruption held in 2021. The initiative builds on the UNODC “Education for Justice” and “International Anti-Corruption Academy” initiatives, which are well recognized globally for their educational impact on youth.",
"E. Promoting international cooperation and technical assistance to prevent and address all forms of crime",
"1. International cooperation, including through capacity-building and technical assistance",
"UNODC continued to support the Mechanism for the Review of Implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto by training more than 1,500 government officials from more than 120 States parties. In May 2022, the Working Group on International Cooperation of the Conference of the States Parties to the Organized Crime Convention discussed the transfer of sentenced persons.",
"UNODC supports the effective implementation of the Organized Crime Convention and promotes its use as a legal basis for international cooperation in criminal matters, on the basis of near-universal adherence to the Convention (there were 190 States parties at the time of the preparation of the report), including through the use of the specialized compilation of cases on the topic. UNODC prepared a publication entitled Digest of Cyber-Organized Crime and further enhanced its knowledge management portal, “A platform for sharing information on crime and legal networks” (Sharlock database), by, inter alia, increasing resources in case law, legislation and strategy.",
"UNODC strengthened its support to States parties to the Organized Crime Convention in developing strategies to prevent and combat organized crime through the development of a strategic toolkit against organized crime and the provision of strategy-related assistance in Africa, Latin America and the Caribbean and South-Eastern Europe.",
"UNODC published two issue papers, on organized crime and gender, and on the Organized Crime Convention and international human rights law.",
"Under the Global Programme for Strengthening Criminal Justice Cooperation along Trafficking Routes, UNODC carried out 298 technical capacity-building activities in Latin America and West Africa, including 44 forums to promote cooperation and information exchange in order to facilitate the investigation of cases after seizure. Over 15,051 law enforcement officials, prosecutors and criminal justice actors benefited from these forums.",
"2. International cooperation to deprive offenders of the proceeds of crime",
"Through the Global Programme against Money-Laundering, Proceeds of Crime and the Financing of Terrorism, UNODC has helped to establish and support six asset recovery inter-agency networks. These informal networks of law enforcement and judicial practitioners play an important role as they facilitate a complete process of asset recovery from the beginning of investigations (including tracing of assets) to freezing and seizure, management and confiscation or forfeiture. These networks operate in Eastern and Southern Africa, Latin America, the Caribbean, West Africa, Asia and the Pacific, and West and Central Asia.",
"UNODC continued to facilitate the work of the Global Operational Network of Anti-Corruption Law Enforcement Agencies, a platform for peer-to-peer information exchange and informal cooperation among 96 anti-corruption authorities in 56 countries.",
"60. In 2021, under the StAR Initiative, 18 countries benefited from UNODC assistance in tracing, seizing, confiscating and recovering proceeds of crime and more than 1,800 people worldwide received relevant training. Under the StAR Initiative, UNODC contributed to 20 global policy events and organized three special events during the special session of the General Assembly on corruption.",
"3. Terrorism in all its forms and manifestations",
"In support of the ratification and implementation of the conventions and protocols related to terrorism, UNODC continued to promote universal adherence to the 19 international legal instruments against terrorism, assisting Member States to become parties to those instruments and to implement them at the national level. The Member States that acceded to the international legal instruments against terrorism in 2021 were Botswana, Congo, Finland, France, Gambia, Honduras, Iraq, Luxembourg, the Netherlands, the Philippines, Portugal, the Russian Federation, Rwanda, Saudi Arabia, Seychelles, Switzerland and Zimbabwe. France, Portugal, Switzerland and Finland became the seventh, eighth, ninth and ten Member States to each of the 19 instruments, after Côte d ' Ivoire, Cuba, the Dominican Republic, Kazakhstan, the Netherlands and Turkey, respectively.",
"UNODC implemented a project aimed at strengthening the expertise of Moroccan stakeholders to institutionalize, effectively and in line with human rights investigations and trial management for returning foreign terrorist fighters and their families. UNODC organized briefings in Indonesia, Malaysia, the Philippines and Thailand on the screening, prosecution, rehabilitation and reintegration of foreign terrorist fighters, members of their families and local affiliates returning and resettling.",
"In March 2021, UNODC, in cooperation with the Kostanai Institute of the Ministry of Internal Affairs of Kazakhstan, led an expert meeting on strengthening the capacity of prison officials and probation officers to manage violent extremist prisoners in Kazakhstan and foreign terrorist fighters in prison.",
"UNODC developed four e-learning modules in English and Russian on mental health considerations in the rehabilitation and reintegration of returning foreign terrorist fighters and members of their families. UNODC organized four online seminars for professionals from Kazakhstan, Kyrgyzstan, Tajikistan and Turkmenistan to promote these learning modules.",
"UNODC contributes to the United Nations Stop Terrorist Travel programme, which is coordinated and managed by the Counter-Terrorism Office and implemented with other United Nations programme partners. UNODC provided legislative assistance for the development of a normative framework for advance passenger information and passenger name records, as well as operational support for the establishment of multi-agency passenger information units. In 2021, Azerbaijan, Botswana, Côte d ' Ivoire, the Gambia, Ghana, Mongolia, Morocco, the Philippines, Sierra Leone, the Sudan, Togo and the Caribbean Community received support from UNODC within the framework of the programme.",
"In 2021, UNODC initiated the development of a new global framework for capacity-building for requesting Member States, based on independent in-depth evaluations and consultations with Member States, regional organizations, United Nations entities, civil society organizations, academic institutions and private sector entities.",
"4. Emerging and evolving forms of crime",
"UNODC continued to support Member States in their efforts to address new, emerging and evolving types of crime. UNODC leads international efforts to address trafficking in persons and smuggling of migrants. Building on the Global Programme against Trafficking in Persons and the Global Programme against the Smuggling of Migrants, UNODC supported over 5,000 practitioners in 2021 in 60 countries.",
"UNODC has advanced its efforts to combat trafficking in persons in migratory flows, for example, through action at the national and regional levels in eight countries of Latin America and the Caribbean, under the initiative “Translating alerts into criminal justice responses to combat trafficking in persons in migratory flows”. In Colombia, for example, labour inspectors trained by UNODC identified cases involving 40 Venezuelan migrants suspected of trafficking for forced labour in cases of identification and transfer of trafficking. UNODC provided legislative assistance on trafficking and smuggling, including support to Iraq in drafting a judicial guidance note addressing the rights of victims in criminal justice processes. Through the initiative “Strengthening cross-regional action and responses against the smuggling of migrants”, UNODC has strengthened South-South cooperation by bringing together 13 countries along smuggling routes across Asia, the Gulf States, Africa and Latin America and the Caribbean, and by guiding relevant public officials to respond to cases of smuggling of migrants in a human rights- and gender-inclusive manner.",
"In 2021, UNODC launched its Observatory on the Smuggling of Migrants and published two interactive research and analysis of the smuggling of migrants in North Africa, Morocco and along the central and western Mediterranean regions. UNODC published an issue paper entitled The Concept of Concealment in the Trafficking in Persons Protocol, which analysed the practical application of the definition of trafficking in persons and its interpretation in national jurisdictions. To promote cooperation with the private sector, UNODC published a compendium of promising practices in public-private partnerships to prevent and combat trafficking in persons. UNODC also published a study entitled “COVID-19 and the Smuggling of Migrants: A call for safeguarding the rights of smuggled migrants at greater risk and vulnerability”, which calls for improving regular migration routes to prevent the smuggling of migrants. In addition, UNODC published the “UNODC Toolkit for Mainstreaming Human Rights and Gender in Criminal Justice Interventions to Address Trafficking in Persons and Smuggling of Migrants”.",
"The Global Programme on Firearms launched a new initiative to support the implementation of the Caribbean Priority Action Roadmap on the Illicit Proliferation of Firearms and Ammunition in the Caribbean by 2030 in a sustainable manner, while continuing its work in other regions. UNODC assisted 31 countries in Africa, Latin America and the Caribbean, Central Asia and Eastern Europe in the development of laws and policies, the implementation of preventive and security measures, criminal justice responses and international cooperation and information exchange, as well as in monitoring illicit firearms flows and emerging threats, and trained more than 4,000 personnel in related work. UNODC coordinated a two-week campaign against firearms trafficking in the Sahel, in which 850 officials from relevant law enforcement agencies seized 594 firearms and thousands of rounds of ammunition, including from terrorist suspects. UNODC has initiated contacts with countries in Africa and Latin America to promote more advanced forms of international cooperation among States on complex firearms trafficking cases, including the establishment of joint investigation teams.",
"UNODC continued its research and provided technical assistance to Member States in their efforts to counter the world drug problem. [8]",
"In the area of preventing and responding to violence against children, UNODC undertook capacity-building in Bosnia and Herzegovina, Maldives and Mozambique and co-organized five webinars for the second European regional workshop on spatial information infrastructure, with the participation of 10 Latin American countries.",
"UNODC supported the expert seminar organized by the Commission on Crime Prevention and Criminal Justice in February 2022 on the theme “Crimes affecting the environment” (see para. 6 above). In May 2022, the Open-ended Interim Working Group of Government Experts on International Cooperation and Technical Assistance of the Conference of the States Parties to the Organized Crime Convention held a joint thematic discussion on the more specific topic of the practical application of the Organized Crime Convention in preventing and combating transnational organized crime affecting the environment.",
"UNODC continued to build the capacity of Member States to prevent and address environmental crime, including by providing training to over 2,000 criminal justice personnel; mentoring law enforcement personnel and prosecutors; strengthening capacity for corruption risk management in wildlife, forest and fisheries management and law enforcement authorities; supporting forensic and financial investigations; raising awareness; and supporting international cooperation. New tools have been developed, including rapid reference guides for investigators and prosecutors. A new project on the potential link between waste trafficking and wildlife trafficking and the spread of common diseases among humans and animals was launched.",
"75. At the time of writing, a series of legislative guides were being developed to support States in adopting legislation to characterize trafficking in wastes, metals and other minerals, as well as crimes committed in the fisheries sector, as serious crimes, where appropriate. The guides provide specific legislative guidance to States in the prevention, investigation, prosecution and adjudication of such crimes.",
"With regard to trafficking in counterfeit medical products, UNODC organized a meeting within the framework of the West African Network of Central Authorities and Prosecutors against Organized Crime (WACAP), which was held in Dakar in November 2021, during which the role of organizations working on the issue was reviewed, tools to address the urgent need to strengthen legislation were discussed and it was agreed to establish a legal framework working group under WACAP. UNODC developed a new standardized training course on counterfeit medical products and, in cooperation with pharmaceutical companies and international partner organizations, provided training to law enforcement personnel from 16 countries on product identification, appropriate plant packaging and legal supply channels.",
"UNODC organized regional training courses on combating illicit trafficking in cultural property in containers in Beirut and Panama in June 2021. Together with OSCE and the Multinational Peace Support Operations Training Centre in Greece, UNODC provided training on the protection of cultural property to 31 participants from law enforcement agencies and the military from 11 countries.",
"In response to trafficking, in particular in commercial goods, UNODC continued to work with Member States to establish port control units and air cargo control units along seaports, dry ports, land borders and airports and railways. The UNODC-World Customs Organization (WCO) Global Container Control Programme, which is currently being implemented in 73 countries, trains front-line law enforcement personnel on how to identify and inspect cargo containers suspected of carrying illicit cargoes, thus enhancing their ability to detect smuggling of high-tax goods such as alcohol, tobacco, motor vehicles and other illicit goods such as wildlife and forest products and firearms, and to combat commercial fraud, such as undervaluation and misclassification.",
"Together with the European Law Enforcement Training Agency, UNODC organized an online seminar on hate crime for 100 participants and contributed to the OSCE conference on hate crime in South-Eastern Europe. As the lead entity for the criminal justice pillar of the United Nations Network on the Elimination of Racial Discrimination and the Protection of Minorities, UNODC ensured that the prevention of hate crime, support to victims and responses to racial discrimination through access to justice and criminal justice reform were integrated into the activities of the Network, including a four-week pilot training course for 13 United Nations country teams on addressing racial discrimination in programming.",
"UNODC continued to assist States in responding to crimes at sea by supporting their criminal justice systems, from maritime law enforcement to investigation, criminal prosecution and trial. The Maritime Crime Programme provides courses on visits, boarding, search and seizure in established maritime centres and assists in mock trials in which the evidence collected is presented to the Tribunal. Under the programme, UNODC continued to enhance its analytical course on maritime situational awareness and to strengthen partnerships with technology providers to improve maritime monitoring and patrolling by Member States. In addition, the programme addresses crimes affecting the environment, including through supporting efforts to address marine pollution and crime in the area of fisheries.",
"Through its Global Programme on Cybercrime, UNODC has built the capacity of its network of investigations, prevention, investigation, prosecution and sentencing to rely on sexual crimes and crimes committed through networks in 47 Member States to provide specialized support for the development of effective criminal justice responses to increasingly complex crimes, such as online child sexual abuse and exploitation. UNODC supported the establishment and strengthening of specialized cybercrime investigative units, digital forensic laboratories and reporting mechanisms in Belize, El Salvador, Guatemala and Peru with a view to playing an active role in the protection of victims, including children, women and girls. Coordination with the Global Programme for Enhanced Criminal Justice Cooperation along Trafficking Routes and the UNODC Opioid Strategy (a comprehensive inter-agency response to the global opioid crisis, consisting of five pillars) has provided technical support to address the relationship between cybercrime and other types of organized crime, such as drug trafficking and illicit financial flows through encrypted money and networks.",
"Pursuant to General Assembly resolution 75/282 and Assembly decision 76/522, the Ad Hoc Committee on the Elaboration of a Comprehensive International Convention against the Use of Information and Communication Technologies for Criminal Purposes, established by the Assembly in its resolution 74/247, met in New York on 24 February 2022 on organizational matters and held its first session in New York from 28 February to 11 March 2022. At its first session, the Ad Hoc Committee approved its road map and modalities of work and adopted the elements that would form the structure of the future convention. The Committee also exchanged views on key elements of the Convention, as well as its objectives and scope. At its second session, held in Vienna from 30 May to 10 June 2022, the Ad Hoc Committee conducted a first reading of the provisions on criminalization, general provisions and provisions on procedural measures and law enforcement, based on its road map and working modalities.",
"IV. Governance and financial situation of the United Nations Office on Drugs and Crime",
"83. Information on the governance and financial situation of the United Nations Office on Drugs and Crime is contained in the report of the Secretary-General on international cooperation to counter the world drug problem (A/77/137).",
"Recommendations",
"84. I urge Member States to continue their efforts to fully implement the Kyoto Declaration, including the expectations to rebuild from the COVID-19 pandemic.",
"Promoting crime prevention",
"85. The United Nations stands ready to assist Member States in addressing the causes of crime, including its root causes. I urge Member States, in collaboration with non-State actors, to make the evidence of supporting sustainable, community-focused, gender-sensitive and youth-empowering crime prevention policies more accessible and high-quality.",
"86. Recognizing the importance of effective prevention policies and programmes in achieving the violence and crime-related goals of the Sustainable Development Agenda 2030, I encourage Member States to strengthen their crime prevention strategies, including by focusing on enhancing the coping capacities of youth.",
"Promoting the development of criminal justice systems",
"87. I urge Member States to apply evidence-based criminal justice policies to enhance the use of restorative justice and victim assistance, protection and support.",
"88. I urge Member States to mainstream a gender perspective into their national criminal justice policies, programmes, legislation and other actions in order to address, inter alia, all forms of gender-related violence, crime and victimization, including gender-related killings.",
"89. In order to address the excessive use of imprisonment, prison overcrowding and systemic neglect of prison authorities and other entities in the community responsible for the management of offenders, I encourage Member States to reassess and diversify their responses to criminal behaviour, with a view to reducing incarceration, making greater use of non-custodial measures and ensuring safe, humane and rehabilitative prison environments. I urge Member States to ensure the effective application of United Nations standards and norms in the field of offender management, in particular the Nelson Mandela Rules, the United Nations Rules for the Treatment of Women Prisoners and Non-custodial Measures for Women Offenders (the Bangkok Rules) and the United Nations Standard Minimum Rules for Non-custodial Measures (the Tokyo Rules).",
"90. I urge Member States to take measures to integrate child justice reform into broader rule of law and development efforts and to adopt and implement child-sensitive, gender-responsive and multi-stakeholder approaches that recognize that children (boys and girls) are different from adults (men and women) and therefore have the right to specific rights, guarantees and responses consistent with international law for the protection of children in governmental and non-governmental institutions.",
"91. I encourage Member States to prioritize the strengthening of national capacities and skills in the field of forensics and to support the establishment and maintenance of regional forensic networks to strengthen expertise and capacity in preventing and combating transnational organized crime.",
"92. I urge Member States to use evidence-based interview methods that are consistent with international standards and best practices to improve the effectiveness of investigations.",
"93. I urge Member States to develop victim-centred criminal justice approaches that ensure equal access to protection, assistance and support for victims of all types of crime, including through restorative justice.",
"Advancing the rule of law",
"94. I urge Member States to promote equal access to justice for all and to enhance the effectiveness, accountability, impartiality and inclusiveness of criminal justice institutions by strengthening legal aid systems, eliminating discrimination, reforming police institutions and improving the effectiveness of investigations.",
"95. I encourage Member States to fully support the commitments and recommendations made at the special session of the General Assembly on challenges and measures to prevent and combat corruption and to strengthen international cooperation, held in June 2021.",
"Promotion of international cooperation and technical assistance in the prevention and treatment of all forms of crime",
"96. I urge Member States to continue their efforts to support the effective implementation of the Organized Crime Convention, in particular its provisions on international cooperation, and to provide effective contributions and support to the Mechanism for the Review of Implementation of the Convention against Transnational Organized Crime and the Protocols thereto.",
"I urge Member States to redouble their efforts to establish an effective regime against money-laundering, in accordance with relevant United Nations conventions and internationally accepted standards, including, as appropriate, the recommendations of relevant intergovernmental bodies, in particular the Financial Action Task Force, in order to fully implement those standards.",
"98. The prevention of terrorism and violent extremism required a comprehensive and inclusive approach, which must be consistent with international law obligations, including the 19 international legal instruments against terrorism and the relevant General Assembly and Security Council resolutions. I urge Member States to ensure fair, transparent and accountable criminal justice processes based on the principles of the rule of law, due process and human rights, which provide the basis for effective measures to prevent and combat terrorism.",
"99. I urge Member States to ensure that trafficked persons are not penalized or prosecuted for unlawful acts directly committed as a result of being trafficked and to develop national laws, guidelines, policies and capacity-building measures for criminal justice practitioners that explicitly support the principle of impunity for victims of trafficking.",
"100. I urge Member States to reverse the recent trend of reducing regular migration routes in response to the COVID-19 pandemic, as a means of preventing the smuggling of migrants, in particular those involving serious forms of violence, abuse, trafficking in persons, human rights violations or death.",
"I urge Member States to strengthen international cooperation to effectively prevent, investigate and adjudicate illicit trafficking in firearms and ammunition, especially from or to countries in different conflict and post-conflict phases, and to address the interlinkages between such trafficking and other forms of organized crime and terrorism.",
"102. I urge Member States to adopt and implement comprehensive strategies and measures, in accordance with international standards and norms, to better protect children from serious forms of violence, including those perpetrated by criminal and armed groups, including terrorist and violent extremist groups, and to adopt a society-wide approach.",
"103. I urge Member States to work with civil society and community-based organizations to address the increase in hate crimes, including through relevant legislation, the provision of relevant training to criminal justice professionals and ensuring relevant data collection and access to justice for victims.",
"I urge Member States to adopt or amend, where appropriate, national legislation to make offences affecting the environment a serious crime, as defined in article 2 (b) of the Organized Crime Convention.",
"105. I urge Member States to incorporate emerging policy issues into crime prevention and criminal justice policies and post-emergence recovery plans. In this regard, I encourage Member States to include addressing crimes affecting the environment in their broader national and international agendas, including those on biodiversity, climate change and waste and pollution; to further strengthen cooperation among Member States in combating cybercrime, including through active participation in the ongoing negotiations on an international convention against the use of information and communications technologies for criminal purposes; and to strengthen national legislation and capacity to address new, emerging and evolving crimes, such as trafficking in counterfeit medical products, trafficking in cultural property and smuggling of commercial goods.",
"I urge Member States to provide UNODC with adequate, predictable and sustainable funding for its research, normative work and technical assistance in crime prevention and criminal justice matters.",
"[1] ^ (*) A/77/50.",
"[2] E/2022/55, para. 155.",
"[3] United Nations Office on Drugs and Crime (UNODC), Monitoring Sustainable Development Goal 16: Gender Perspective, Data Matters Series, No. 2 (forthcoming).",
"[4] UNODC, “Global Homicide Study 2019”, booklet 2, p. 78.",
"[5] See E/2022/30-E/CN.15/202/14, chap. I, sect.",
"[6] See conference room papers containing the Chairperson ' s summaries of the thematic discussions (E/CN.15/2022/CRP.1 and E/CN.15/2022/CRP.2).",
"[7] CAC/COSP/WG.2/208/3, annex.",
"[8] See A/77/137."
] |
[
"联合国国际贸易法委员会",
"第三工作组（投资人与国家间争端解决制度改革）",
"第四十三届会议",
"2022年9月5日至16日，维也纳",
"临时议程说明",
"1. 临时议程",
"1. 会议开幕。",
"2. 选举主席团成员。",
"3. 通过议程。",
"4. 投资人与国家间争端解决制度的可能改革。",
"5. 通过报告。",
"2. 工作组的组成",
"1. 工作组由委员会所有成员国组成，具体如下：阿富汗（2028年）、阿尔及利亚（2025年）、阿根廷（2028年）、亚美尼亚（2028年）、澳大利亚（2028年）、奥地利（2028年）、白俄罗斯（2028年）、比利时（2025年）、巴西（2028年）、保加利亚（2028年）、喀麦隆（2025年）、加拿大（2025年）、智利（2028年）、中国（2025年）、哥伦比亚（2028）、科特迪瓦（2025年）、克罗地亚（2025年）|捷克（2028年）、刚果民主共和国（2028年）、多米尼加共和国（2025年）、厄瓜多尔（2025年）、芬兰（2025年）、法国（2025年）、德国（2025年）、加纳（2025年）、希腊（2028年）、洪都拉斯（2025年）、匈牙利（2025年）、印度（2028年）、印度尼西亚（2025年）、伊朗伊斯兰共和国（2028年）、伊拉克（2028年）、以色列（2028年）、意大利（2028年）、日本（2025年）、肯尼亚（2028年）、科威特（2028年）、马拉维（2028年）、马来西亚（2025年）、马里（2025年）、毛里求斯（2028年）、墨西哥（2025年）、摩洛哥（2028年）、尼日利亚（2028年）、巴拿马（2028年）、秘鲁（2025年）、波兰（2028年）、大韩民国（2025年）、俄罗斯联邦（2025年）、沙特阿拉伯（2028年）、新加坡（2025年）、索马里（2028年）、南非（2025年）、西班牙（2028年）、瑞士（2025年）、泰国（2028年）、土耳其（2028年）、土库曼斯坦（2028年）、乌干达（2028年）、乌克兰（2025年）、大不列颠及北爱尔兰联合王国（2025年）、美利坚合众国（2028年）、委内瑞拉玻利瓦尔共和国（2028年）、越南（2025年）、津巴布韦（2025年）。",
"2. 非委员会成员国的国家和国际政府组织可以作为观察员出席本届会议并参加审议工作。此外，受邀请的国际非政府组织也可以作为观察员出席本届会议并可就各自组织拥有专门知识或国际经验的事项发表意见，以推动本届会议的审议工作。",
"3. 议程项目说明",
"项目1. 会议开幕",
"3. 工作组第四十三届会议将于2022年9月5日至16日在维也纳国际中心举行。将在第三工作组网页上公布本届会议的开会时间和参会安排。",
"项目2. 选举主席团成员",
"4. 根据冠状病毒病（COVID-19）大流行之前各届会议的惯例，工作组似宜选举一名主席和一名报告员。",
"项目4. 投资人与国家间争端解决制度的可能改革",
"5. 在2017年第五十届会议上，委员会赋予第三工作组就投资人与国家间争端解决制度的可能改革开展工作的广泛任务授权。会议还商定，按照贸易法委员会的程序，工作组将在履行这一任务授权时确保审议工作由政府主导并由所有政府提供高级别投入，是基于协商共识的，并且完全透明，同时受益于所有利益攸关方尽可能最广泛的现有专门知识。工作组将着手：第一，确定并审议与投资争端解决有关的关切；第二，根据任何已确定的关切，审议改革是否可取；第三，如果工作组最后认为改革可取，制定向委员会建议的任何相关解决办法。委员会商定，工作组履行其任务授权应拥有广泛裁量权，任何解决办法的设计均应考虑到相关国际组织正在进行的工作，并着眼于使每一个国家能够选择是否以及在多大程度上希望采用相关解决办法。[1]",
"6. 在工作组第三十四届至第三十七届会议上，工作组确定并讨论了与投资争端解决有关的关切，认为根据所确定的关切进行改革是可取的。[2]",
"7. 工作组第三十八届至第四十二届会议审议了与投资争端解决制度改革的具体解决办法。[3]工作组在2021年5月第四十届会议续会上审议了一项实施投资争端解决制度改革工作计划和所需资源。[4]",
"8. 委员会2021年第五十四届会议决定建议大会在2022-2025年一段四年期内为本工作组增拨会议资源（每年一周的届会）和人力资源，条件是委员会将在其年度届会期间再次评价并在必要时重新审议其关于需要为第三工作组每年增加一届为期一周的会议和支持资源的决定，同时考虑到工作组关于其资源使用情况的报告。[5]2021年12月24日，大会决定按照委员会的建议，为第三工作组（投资人与国家间争议解决制度改革）每年增加一届为期一周的会议，并分配必要的人力资源（A/RES/76/229，第15段）。2022年增加的一周将用于举行第四十三届会议。",
"9. 委员会2022年第五十五届会议对工作组取得的进展和秘书处提供的支助表示满意。[6]委员会还听取了关于委员会2023年第五十六届会议之前工作组在四周的届会期间将要开展的工作的概要介绍。委员会鼓励工作组提交行为守则及评注以及关于替代争端解决机制的案文供其审议。",
"改革方案和文件",
"10. 预计工作组第四十三届会议将根据秘书处编写的文件审议下列部分或全部改革方案。会议的详细时间安排将由主席在会前致函具体说明，同时考虑到可利用的会议时间和委员会第五十五届会议商定的工作方法。",
"改革方案 会前文件 \n 行为守则 A/CN.9/WG.III/WP.216 调解 A/CN.9/WG.III/WP.217 1. 关于调解的条文草案 A/CN.9/WG.III/WP.218 \n 2. 调解准则草案 程序规则和跨领域问题 A/CN.9/WG.III/WP.219 3. 关于提前驳回、费用担保、费用分配、反诉和第三方供资的条文草案\tA/CN.9/WG.III/WP.220 \n 4. 损害评估和赔偿 \n关于投资争端解决制度改革的多边文书\tA/CN.9/WG.III/WP.221\n咨询中心\tA/CN.9/WG.III/WP.212A/CN.9/WG.III/WP.212/Add.1\n常设多边机制：投资争端法庭成员的甄选和任命及相关事项\tA/CN.9/WG.III/WP.213",
"11. 贸易法委员会文件以联合国所有正式语文印发后即在贸易法委员会网站上发布。各位代表不妨访问第三工作组网页查看文件是否贴出。",
"项目5. 通过报告",
"12. 委员会第五十五届会议决定，第三工作组可利用其届会的最后一次会议进行实质性审议，而不是通过报告，并继续采用以书面程序通过报告的做法。因此，主席和报告员将编写一份会议纪要，反映会议期间的审议情况和达成的任何结论，并将在会议期间或会后分发，以征求各代表团的意见。将根据收到的意见编写一份会议纪要修订本并予以分发，以便工作组作为其报告予以通过，以提交暂定于2023年7月3日至15日在维也纳举行的委员会第五十六届会议。如有反对意见，将作为主席和报告员的会议纪要提交委员会审议并酌情采取行动，或由工作组作为其报告在下届会议上予以通过。[7]",
"[1] 《大会正式记录，第七十二届会议，补编第17号》（A/72/17），第264段。",
"[2] 工作组第三十四届至第三十七届会议的审议情况和决定分别载于A/CN.9/930/Rev.1、A/CN.9/930/Rev.1/Add.1、A/CN.9/935、A/CN.9/964和A/CN.9/970号文件。",
"[3] 工作组第三十八届至第四十二届会议的审议情况和决定分别载于A/CN.9/1004*、A/CN.9/1004/Add.1、A/CN.9/1044、A/CN.9/1050、A/CN.9/1054、A/CN.9/1086和A/CN.9/ 1092号文件。",
"[4] 见A/CN.9/1054，附件。",
"[5] 《大会正式记录，第七十六届会议，补编第17号》（A/76/17），第263段。",
"[6] 同上，《第七十七届会议，补编第17号》（A/77/17），编写中。",
"[7] 同上。"
] | [
"United Nations Commission onInternational Trade Law Working Group III(Investor-State DisputeSettlement Reform) Forty-third session \n Vienna, 5–16 September 2022",
"Annotated provisional agenda",
"I. Provisional agenda",
"1. Opening of the session.",
"2. Election of officers.",
"3. Adoption of the agenda.",
"4. Possible reform of investor-State dispute settlement (ISDS).",
"5. Adoption of the report.",
"II. Composition of the Working Group",
"1. The Working Group is composed of all States members of the Commission, which are the following: Afghanistan (2028), Algeria (2025), Argentina (2028), Armenia (2028), Australia (2028), Austria (2028), Belarus (2028), Belgium (2025), Brazil (2028), Bulgaria (2028), Cameroon (2025), Canada (2025), Chile (2028), China (2025), Colombia (2028), Côte d’Ivoire (2025), Croatia (2025), Czechia (2028), Democratic Republic of the Congo (2028), Dominican Republic (2025), Ecuador (2025), Finland (2025), France (2025), Germany (2025), Ghana (2025), Greece (2028), Honduras (2025), Hungary (2025), India (2028), Indonesia (2025), Iran (Islamic Republic of) (2028), Iraq (2028), Israel (2028), Italy (2028), Japan (2025), Kenya (2028), Kuwait (2028), Malawi (2028), Malaysia (2025), Mali (2025), Mauritius (2028), Mexico (2025), Morocco (2028), Nigeria (2028), Panama (2028), Peru (2025), Poland (2028), Republic of Korea (2025), Russian Federation (2025), Saudi Arabia (2028), Singapore (2025), Somalia (2028), South Africa (2025), Spain (2028), Switzerland (2025), Thailand (2028), Türkiye (2028), Turkmenistan (2028), Uganda (2028), Ukraine (2025), United Kingdom of Great Britain and Northern Ireland (2025), United States of America (2028), Venezuela (Bolivarian Republic of) (2028), Viet Nam (2025) and Zimbabwe (2025).",
"2. States not members of the Commission and international governmental organizations may attend the session as observers and participate in the deliberations. In addition, invited international non-governmental organizations may attend the session as observers and represent the views of their organizations on matters where the organization concerned has expertise or international experience so as to facilitate the deliberations at the session.",
"III. Annotations to agenda items",
"Item 1. Opening of the session",
"3. The forty-third session of the Working Group will be held from 5 to 16 September 2022 at the Vienna International Centre. Meeting hours and arrangements for participation in the session will be announced on the website of Working Group III.",
"Item 2. Election of officers",
"4. In accordance with its practice at sessions prior to the coronavirus disease (COVID-19) pandemic, the Working Group may wish to elect a Chairperson and a Rapporteur.",
"Item 4. Possible reform of investor-State dispute settlement (ISDS)",
"5. At its fiftieth session in 2017, the Commission entrusted Working Group III with a broad mandate to work on the possible reform of investor-State dispute settlement (ISDS). It also agreed that in line with the UNCITRAL process, the Working Group would, in discharging that mandate, ensure that the deliberations, while benefiting from the widest possible breadth of available expertise from all stakeholders, would be government-led with high-level input from all governments, consensus-based and be fully transparent. The Working Group would proceed to: first, identify and consider concerns regarding ISDS; second, consider whether reform was desirable in light of any identified concerns; and third, if the Working Group were to conclude that reform was desirable, develop any relevant solutions to be recommended to the Commission. The Commission agreed that broad discretion should be left to the Working Group in discharging its mandate, and that any solutions devised would be designed taking into account the ongoing work of relevant international organizations and with a view to allowing each State the choice of whether and to what extent it wishes to adopt the relevant solution(s).[1]",
"6. From its thirty-fourth to thirty-seventh session, the Working Group identified and discussed concerns regarding ISDS and considered that reform was desirable in light of the identified concerns.[2]",
"7. From its thirty-eighth to forty-second session, the Working Group considered concrete solutions for ISDS reform.[3] At its resumed fortieth session in May 2021, the Working Group considered a workplan to implement ISDS reform and resource requirements.[4]",
"8. At its fifty-fourth session, in 2021, the Commission decided to recommend to the General Assembly that additional conference (one-week session per year) and human resources be allocated to the Working Group for a single period of four years, from 2022 to 2025, on the condition that the Commission would during its annual session re-evaluate and, if needed, revisit its decision concerning the need for allocating one additional one-week session per year and supporting resources to the Working Group taking into consideration the Working Group’s report on the use of its resources.[5] On 24 December 2021, the General Assembly decided to allocate one additional one-week session per year to Working Group III (ISDS Reform) and the necessary human resources as recommended by the Commission (A/RES/76/229, para. 15). The additional week for 2022 will be utilized for the holding of the forty-third session.",
"9. At its fifty-fifth session in 2022, the Commission expressed its satisfaction with the progress made by the Working Group and the support provided by the Secretariat.[6] The Commission also heard an outline of the work to be conducted by the Working Group during the four weeks of session scheduled till the fifty-sixth session of the Commission in 2023. The Working Group was encouraged to submit to the Commission for its consideration a code of conduct with commentary and texts on alternative dispute resolution mechanisms.",
"Reform options and documentation",
"10. At its forty-third session, the Working Group is expected to consider some or all of the following reform options based on documents prepared by the Secretariat. The detailed scheduling of the session will be specified in a letter by the Chair in advance of the session taking into account the available conference time and the working method agreed by the Commission at its fifty-fifth session.",
"Reform options Pre-session documentation \n Code of conduct A/CN.9/WG.III/WP.216 Mediation Draft provisions onmediation\tA/CN.9/WG.III/WP.217A/CN.9/WG.III/WP.218 \n Draft guidelines onmediation\tProcedural rules andcross-cutting issues\tA/CN.9/WG.III/WP.219A/CN.9/WG.III/WP.220 Draft provisions on earlydismissal, security forcosts, allocation of costs,counterclaims, andthird-party funding \n Assessment of damages andcompensation\t\nMultilateral instrument onISDS reform\tA/CN.9/WG.III/WP.221\nAdvisory centre\tA/CN.9/WG.III/WP.212A/CN.9/WG.III/WP.212/Add.1\nStanding multilateralmechanism: Selection andappointment of ISDS tribunalmembers and related matters\tA/CN.9/WG.III/WP.213",
"11. UNCITRAL documents are posted on the UNCITRAL website upon their issuance in all the official languages of the United Nations. Delegates may wish to check the availability of the documents by accessing the Working Group III website.",
"Item 5. Adoption of the report",
"12. The Commission, at its fifty-fifth session, decided that Working Group III could use the last meeting of its sessions for substantive deliberations, rather than for the adoption of the report, and continue the practice of adopting the report by a written procedure. Accordingly, the chairperson and the rapporteur will prepare a summary reflecting the deliberations and any conclusions reached during the session, which would be circulated during or after the session for comments by delegations. Based on the comments received, a revised summary would be prepared and circulated for adoption by the Working Group as its report for submission to the fifty-sixth session of the Commission, scheduled to be held in Vienna, tentatively from 3 to 15 July 2023. In case there are objections, it will be presented as the summary of the chairperson and the rapporteur for consideration and action by the Commission as it deems appropriate or may be adopted by the Working Group as its report at the following session.[7]",
"[1] Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 264.",
"[2] The deliberations and decisions of the Working Group at its thirty-fourth to thirty-seventh sessions are set out in documents A/CN.9/930/Rev.1; A/CN.9/930/Rev.1/Add.1; A/CN.9/935; A/CN.9/964; and A/CN.9/970, respectively.",
"[3] The deliberations and decisions of the Working Group at its thirty-eighth to forty-second sessions are set out in documents A/CN.9/1004*; A/CN.9/1004/Add.1; A/CN.9/1044; A/CN.9/1050; A/CN.9/1054; A/CN.9/1086; and A/CN.9/1092.",
"[4] See A/CN.9/1054, annex.",
"[5] Official Records of the General Assembly, Seventy-sixth Session, Supplement No. 17 (A/76/17), para. 263.",
"[6] Ibid., Seventy-seventh session, Supplement No. 17 (A/77/17), under preparation.",
"[7] Ibid."
] | A_CN.9_WG.III_WP.215 | [
"United Nations Commission on International Trade Law",
"Working Group III (reform of the investor-State dispute settlement system)",
"Forty-third session",
"Vienna, 5-16 September 2022",
"Annotated provisional agenda",
"1. Provisional agenda",
"Opening of the session.",
"Election of officers.",
"Adoption of the agenda.",
"Possible reform of the investor-State dispute settlement system.",
"Adoption of the report.",
"Composition of the Working Group",
"1. The Working Group is composed of all States members of the Commission, as follows: Afghanistan (2028), Algeria (2025), Argentina (2028), Armenia (2028), Australia (2028), Austria (2028), Belarus (2028), Belgium (2025), Brazil (2028), Bulgaria (2028), Cameroon (2025), Canada (2025), Chile (2028), China (2025), Colombia (2028), Côte d ' Ivoire (2025), Croatia (2025), Czech (2028), Democratic Republic of the Congo (2028), Dominican Republic (2025), Ecuador (2025), Finland (2025), France (2025), Germany (2025), Ghana (2025), Greece (2028), Honduras (2025), Hungary (2025), India (2028), Indonesia (2025), Iran (Islamic Republic of) (2028), Iraq (2028), Israel (2028), Italy (2028), Japan (2025), Kenya (2025), Thailand (2025), Kuwait (2025), (2025), 28), Malawi (2025), 28), 20 (20), 20 (20), 20 (20), 20 (20), 28, 20, 20, 20, 20, 20, 20, 20, 20, 20, 20, 20, 28, 20, 20, 20, 20, 20, 28, 20, 20, 20, 20, 20, 20",
"States not members of the Commission and international governmental organizations may attend the session as observers and participate in the deliberations. In addition, invited international non-governmental organizations may attend the session as observers and express their views on matters in which their respective organizations have expertise or international experience to facilitate deliberations at the session.",
"Annotations to agenda items",
"Item 1. Opening of the session",
"The forty-third session of the Working Group will be held at the Vienna International Centre from 5 to 16 September 2022. The meeting time and participation arrangements for the session will be posted on the website of Working Group III.",
"Item 2. Election of officers",
"In accordance with the practice followed at previous sessions of the COVID-19 pandemic, the Working Group may wish to elect a Chairman and a Rapporteur.",
"Item 4. Possible reform of the investor-State dispute settlement system",
"5. At its fiftieth session, in 2017, the Commission gave Working Group III a broad mandate to work on possible reform of the investor-State dispute settlement system. It was also agreed that, in accordance with UNCITRAL procedures, the Working Group, in fulfilling that mandate, would ensure that the deliberations were Government-led and high-level input from all Governments, were based on consensus and were fully transparent, while benefiting from the widest possible range of available expertise from all stakeholders. The Working Group will proceed: first, to identify and consider concerns related to the settlement of investment disputes; secondly, to consider the desirability of reform in the light of any identified concerns; and thirdly, to develop any relevant solutions recommended to the Commission if the Working Group concludes that reform is desirable. The Commission agreed that the Working Group should have broad discretion in the discharge of its mandate and that any solution should be designed to take into account the work being done by the relevant international organizations and with a view to enabling each State to choose whether and to what extent it wished to adopt the relevant solution. [1]",
"6. At its thirty-fourth to thirty-seventh sessions, the Working Group identified and discussed concerns relating to the settlement of investment disputes and considered that reform in the light of the concerns identified was desirable. [2]",
"At its thirty-eighth to forty-second sessions, the Working Group considered specific solutions to the reform of the investment dispute settlement system. [3] At its resumed fortieth session, in May 2021, the Working Group considered a workplan and resource requirements for the implementation of the reform of the investment dispute settlement system. [4]",
"8. At its fifty-fourth session, in 2021, the Committee decided to recommend to the General Assembly that additional conference resources (one-week sessions per year) and human resources be allocated to the Working Group for a four-year period from 2022 to 2025, on the understanding that the Committee would re-evaluate and, if necessary, reconsider, during its annual sessions, its decision on the need for one additional week of meetings and support resources per year for Working Group III, taking into account the report of the Working Group on the use of its resources. [5] On 24 December 2021, the General Assembly decided, as recommended by the Commission, to devote one additional one-week session per year to Working Group III (Reform of the investor-State dispute resolution system) and to allocate the necessary human resources (A/RES/76/229, para. 15). The additional week in 2022 will be devoted to the forty-third session.",
"At its fifty-fifth session, in 2022, the Commission expressed its satisfaction with the progress made by the Working Group and the support provided by the secretariat. [6] The Commission also heard an overview of the work to be undertaken by the Working Group during its four-week session prior to the fifty-sixth session of the Commission, in 2023. The Commission encouraged the Working Group to submit a code of conduct and commentaries, as well as texts on alternative dispute resolution mechanisms, for its consideration.",
"Reform programmes and documents",
"The Working Group is expected to consider at its forty-third session some or all of the following reform programmes on the basis of the documentation prepared by the Secretariat. The detailed scheduling of meetings will be specified in a pre-session letter from the Chairperson, taking into account available meeting time and the working methods agreed upon by the Commission at its fifty-fifth session.",
"A/CN.9/WG.III/WP.216 Conciliation A/CN.9/WG.III/WP.217. Draft provisions on conciliation A/CN.9/WG.III/WP.218. Draft rules of procedure and cross-cutting issues A/CN.9/WG.III/WP.219 3. Draft provisions on early rejection, security of expenses, distribution of costs, counter-claims and third-party financing A/CN.9/WG.III/WP.220 4. Multilateral instruments on damage assessment and compensation A/CN.9/WG.III/WP.221 Advisory Centre A/CN.9/WG.III/WP.212 A/CN.9/WG.III/WP.212 A/CN.9/WG.III/WP.212/Add.1 Permanent multilateral mechanisms: selection and appointment of members of investment dispute tribunals and related matters A/CN.9/WG.III/WP.213",
"UNCITRAL documents are posted on the UNCITRAL website when they are issued in all official languages of the United Nations. Delegates may wish to visit the Working Group III web page to see if the documents are posted.",
"Item 5. Adoption of the report",
"12. At its fifty-fifth session, the Commission decided that Working Group III could use the last meeting of its session for substantive consideration rather than the adoption of the report, and continued the practice of adopting the report through a written procedure. The Chairperson and the Rapporteur will therefore prepare a summary of the proceedings, reflecting the deliberations and any conclusions reached during the session, and will circulate it during or after the session for comments by delegations. On the basis of the comments received, a revised summary of the meeting will be prepared and circulated for adoption by the Working Group as its report for submission to the Commission at its fifty-sixth session, tentatively scheduled to be held in Vienna from 3 to 15 July 2023. If there is an objection, the summary of the meeting of the Chairperson and Rapporteur will be submitted to the Commission for consideration and action, as appropriate, or its report will be adopted by the Working Group as its report at its next session. [7]",
"[1] Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 264.",
"[2] The deliberations and decisions of the Working Group at its thirty-fourth to thirty-seventh sessions are contained in documents A/CN.9/930/Rev.1, A/CN.9/930/Rev.1/Add.1, A/CN.9/935, A/CN.9/964 and A/CN.9/970, respectively.",
"[3] The deliberations and decisions of the Working Group at its thirty-eighth to forty-second sessions are contained in documents A/CN.9/1004*, A/CN.9/1004/Add.1, A/CN.9/1044, A/CN.9/1050, A/CN.9/1054, A/CN.9/1086 and A/CN.9/1092, respectively.",
"[4] See A/CN.9/1054, annex.",
"[5] Official Records of the General Assembly, Seventy-sixth Session, Supplement No. 17 (A/76/17), para. 263.",
"[6] Ibid., Seventy-seventh Session, Supplement No. 17 (A/77/17), in preparation.",
"[7] Ibid."
] |
[
"第十一届会议[1]",
"2022年10月17日至21日，维也纳",
"临时议程[2]项目2、4、5",
"审议《联合国打击跨国有组织犯罪公约》及其 各项议定书的实施情况国际合作，尤其侧重于 引渡、司法协助和没收事宜国际合作， 以及中央主管机关的设立与加强",
"技术援助",
"联合国打击跨国有组织犯罪公约及其议定书缔约方会议各附属机构会议的报告以及麻醉药品委员会第六十五届会议报告",
"秘书处的说明",
"2021年10月12日和13日及2022年6月29日和30日在维也纳举行的贩运人口问题工作组会议的报告",
"1. 依照联合国打击跨国有组织犯罪公约及其各项议定书缔约方会议关于贩运人口问题的第4/4号决定，设立了一个不限成员名额的临时工作组，为缔约方会议履行其在《联合国打击跨国有组织犯罪公约关于预防、禁止和惩治贩运人口特别是妇女和儿童行为的补充议定书》方面的任务授权提供建议和帮助。",
"2. 缔约方会议在关于加强《公约》及其各项议定书的实施的第7/1号决议中，除其他事项外决定，贩运人口问题工作组将成为缔约方会议的一个常设组成部分，向缔约方会议提交报告和建议。",
"3. 贩运人口问题工作组2021年10月12日和13日举行了第十一次会议，2022年6月29日和30日举行了第十二次会议。根据缔约方会议第7/1号决议，这些会议的报告（分别为CTOC/COP/WG.4/2021/6和CTOC/COP/ WG.4/2022/4）将提交缔约方会议第十一届会议。",
"2021年10月14日和15日及2022年6月27日和28日在维也纳举行的偷运移民问题工作组会议的报告",
"4. 依照缔约方会议关于《联合国打击跨国有组织犯罪公约关于打击陆、海、空偷运移民的补充议定书》执行情况的第5/3号决议，设立了一个关于偷运移民问题的不限成员名额政府间临时工作组，为缔约方会议履行其在《打击偷运移民议定书》方面的任务授权提供建议和帮助。",
"5. 缔约方会议在第7/1号决议中，除其他事项外决定，偷运移民问题工作组将成为缔约方会议的一个常设组成部分，向缔约方会议提交报告和建议。",
"6. 偷运移民问题工作组于2021年10月14日和15日举行了第八次会议，并于2022年6月27日和28日举行了第九次会议。根据缔约方会议第7/1号决议，这些会议的报告（分别为CTOC/COP/WG.7/2021/5和CTOC/COP/ WG.7/2022/4）将提交缔约方会议第十一届会议。",
"2021年5月10日至12日及2022年5月4日和5日在维也纳举行的枪支问题工作组会议的报告",
"7. 依照缔约方会议关于非法制造和贩运枪支及其零部件和弹药的第5/4号决议，设立了一个关于枪支问题的不限成员名额政府间工作组，为缔约方会议履行其在《联合国打击跨国有组织犯罪公约关于打击非法制造和贩运枪支及其零部件和弹药的补充议定书》方面的任务授权提供建议和帮助。",
"8. 缔约方会议在第7/1号决议中，除其他事项外决定，枪支问题工作组将成为缔约方会议的一个常设组成部分，向缔约方会议提交报告和建议。",
"9. 枪支问题工作组于2021年5月10日至12日举行了第八次会议，2022年5月4日和5日举行了第九次会议。根据缔约方会议第7/1号决议，这些会议的报告（分别为CTOC/COP/WG.6/2021/4和CTOC/COP/WG.6/2022/4）将提交缔约方会议第十一届会议。",
"2021年3月25日和26日及2022年5月23日至27日在维也纳举行的国际合作工作组会议的报告",
"10. 根据缔约方会议关于《公约》国际合作规定的执行情况的第3/2号决定，设立了一个关于国际合作问题的不限成员名额工作组，作为缔约方会议的一个常设组成部分。这一决定在缔约方会议随后的多项决议中得到了一致重申。",
"11. 缔约方会议在第7/1号决议中，除其他事项外鼓励国际合作工作组和技术援助问题政府专家工作组考虑根据需要每年举行会议且相继举行，以确保有效利用资源。",
"12. 缔约方会议在关于预防和打击《打击有组织犯罪公约》范围内影响环境的犯罪的第10/6号决议中请技术援助问题政府专家工作组和国际合作工作组在其任务授权范围内，就适用《公约》预防和打击影响环境的跨国有组织犯罪问题举行一场联合专题讨论，并提出建议供公约缔约方会议第十一届会议审议，以推动《公约》得到切实适用。",
"13. 国际合作工作组于2021年3月25日和26日举行了第十二次会议，于2022年5月23日至27日举行了第十三次会议，与技术援助问题政府专家工作组第十三次会议衔接举行，并根据缔约方会议第10/6号决议进行了联合专题讨论。这些会议的报告（分别为CTOC/COP/WG.3/2021/3和CTOC/COP/WG.2/ 2022/4-CTOC/COP/WG.3/2022/4）将提交缔约方会议第十一届会议。",
"2022年5月23日至27日在维也纳举行的技术援助问题政府专家工作组会议报告",
"14. 缔约方会议在其关于技术援助活动的第2/6号决定中，设立了一个关于技术援助问题的不限成员名额政府专家临时工作组。",
"15. 缔约方会议在第7/1号决议中，除其他事项外鼓励国际合作工作组和技术援助问题政府专家工作组考虑根据需要每年举行会议且相继举行，以确保有效利用资源。",
"16. 缔约方会议在第10/6号决议中请技术援助问题政府专家工作组和国际合作工作组在其任务授权范围内，就适用《公约》预防和打击影响环境的跨国有组织犯罪问题举行一场联合专题讨论，并提出建议供缔约方会议第十一届会议审议，以推动《公约》得到切实适用。",
"17. 技术援助问题政府专家工作组于2022年5月23日至27日举行了第十三次会议，与国际合作工作组第十三次会议衔接举行，并根据缔约方会议第10/6号决议进行了联合专题讨论。这次会议的报告（CTOC/COP/WG.2/2022/4-CTOC/COP/WG.3/2022/4）将提交缔约方会议第十一届会议。",
"2022年3月14日至18日在维也纳举行的麻醉药品委员会第六十五届会议的报告",
"18. 麻醉药品委员会于2022年3月14日至18日在维也纳举行了第六十五届会议。麻委会在关于加强国际合作处理非法药物贩运与非法枪支贩运之间联系的第65/2号决议中，请联合国毒品和犯罪问题办公室执行主任将该决议提供给预防犯罪和刑事司法委员会及联合国打击跨国有组织犯罪公约缔约方会议。载有该决议的第六十五届会议报告（E/2022/28-E/CN.7/2022/14）将提交缔约方会议第十一届会议。",
"[1] ^(*) 因技术原因于2022年9月29日重新印发。",
"[2] ^(**) CTOC/COP/2022/1。"
] | [
"Eleventh session Vienna, 17–21 October 2022[1] Items 2, 4 and 5 of theprovisional agenda[2] Review of the implementation ofthe United Nations Conventionagainst Transnational OrganizedCrime and the Protocols thereto International cooperation, withparticular emphasis onextradition, mutual legalassistance and internationalcooperation for the purpose ofconfiscation, and theestablishment and strengtheningof central authorities \n Technical assistance",
"Reports on the meetings of the subsidiary bodies of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime and the Protocols thereto and report on the sixty-fifth session of the Commission on Narcotic Drugs",
"Note by the Secretariat",
"Reports on the meetings of the Working Group on Trafficking in Persons held in Vienna on 12 and 13 October 2021 and on 29 and 30 June 2022",
"1. Pursuant to Conference of the Parties to the United Nations Convention against Transnational Organized Crime and the Protocols thereto decision 4/4, on trafficking in persons, an open-ended interim working group was established to advise and assist the Conference in the implementation of its mandate with regard to the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime.",
"2. In its resolution 7/1, on strengthening the implementation of the Convention and the Protocols thereto, the Conference decided, inter alia, that the Working Group on Trafficking in Persons would be a constant element of the Conference, forwarding its reports and recommendations to the Conference.",
"3. The Working Group on Trafficking in Persons held its eleventh meeting on 12 and 13 October 2021 and its twelfth meeting on 29 and 30 June 2022. In accordance with Conference resolution 7/1, the reports on those meetings (CTOC/COP/WG.4/2021/6 and CTOC/COP/WG.4/2022/4, respectively) will be made available to the Conference at its eleventh session.",
"Reports on the meetings of the Working Group on the Smuggling of Migrants held in Vienna on 14 and 15 October 2021 and on 27 and 28 June 2022",
"4. Pursuant to Conference of the Parties resolution 5/3, on the implementation of the Protocol against the Smuggling of Migrants by Land, Sea and Air, supplementing the United Nations Convention against Transnational Organized Crime, an open-ended intergovernmental interim working group on the smuggling of migrants was established to advise and assist the Conference in the implementation of its mandate with regard to the Smuggling of Migrants Protocol.",
"5. In its resolution 7/1, the Conference decided, inter alia, that the Working Group on the Smuggling of Migrants would be a constant element of the Conference, forwarding its reports and recommendations to the Conference.",
"6. The Working Group on the Smuggling of Migrants held its eighth meeting on 14 and 15 October 2021 and its ninth meeting on 27 and 28 June 2022. In accordance with Conference resolution 7/1, the reports on those meetings (CTOC/COP/WG.7/2021/5 and CTOC/COP/WG.7/2022/4, respectively) will be made available to the Conference at its eleventh session.",
"Reports on the meetings of the Working Group on Firearms held in Vienna from 10 to 12 May 2021 and on 4 and 5 May 2022",
"7. Pursuant to Conference of the Parties resolution 5/4, on the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, an open-ended intergovernmental working group on firearms was established to advise and assist the Conference in the implementation of its mandate with regard to the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime.",
"8. In its resolution 7/1, the Conference decided, inter alia, that the Working Group on Firearms would be a constant element of the Conference, forwarding its reports and recommendations to the Conference.",
"9. The Working Group on Firearms held its eighth meeting from 10 to 12 May 2021 and its ninth meeting on 4 and 5 May 2022. In accordance with Conference resolution 7/1, the reports on those meetings (CTOC/COP/WG.6/2021/4 and CTOC/COP/WG.6/2022/4, respectively) will be made available to the Conference at its eleventh session.",
"Reports on the meetings of the Working Group on International Cooperation held in Vienna on 25 and 26 March 2021 and from 23 to 27 May 2022",
"10. Pursuant to Conference of the Parties decision 3/2, on the implementation of the provisions on international cooperation in the Convention, an open-ended working group on international cooperation was established as a constant element of the Conference. This decision was reaffirmed consistently in subsequent resolutions of the Conference.",
"11. In its resolution 7/1, the Conference, inter alia, encouraged the Working Group on International Cooperation and the Working Group of Government Experts on Technical Assistance to consider meeting on an annual basis, as needed, and to hold their meetings consecutively, in order to ensure the effective use of resources.",
"12. In its resolution 10/6, on preventing and combating crimes that affect the environment falling within the scope of the Organized Crime Convention, the Conference requested the Working Group of Government Experts on Technical Assistance and the Working Group on International Cooperation to hold a joint thematic discussion on the application of the Convention for preventing and combating transnational organized crimes that affect the environment and to make recommendations for consideration by the Conference at its eleventh session, within their mandates, in order to promote the practical application of the Convention.",
"13. The Working Group on International Cooperation held its twelfth meeting on 25 and 26 March 2021 and its thirteenth meeting from 23 to 27 May 2022, back to back with the thirteenth meeting of the Working Group of Government Experts on Technical Assistance, with a joint thematic discussion in accordance with Conference resolution 10/6. The reports on those meetings (CTOC/COP/WG.3/2021/3 and CTOC/COP/WG.2/2022/4-CTOC/COP/WG.3/2022/4, respectively) will be made available to the Conference at its eleventh session.",
"Report on the meeting of the Working Group of Government Experts on Technical Assistance held in Vienna from 23 to 27 May 2022",
"14. In its decision 2/6, on technical assistance activities, the Conference of the Parties established an open-ended interim working group of government experts on technical assistance.",
"15. In its resolution 7/1, the Conference, inter alia, encouraged the Working Group on International Cooperation and the Working Group of Government Experts on Technical Assistance to consider meeting on an annual basis, as needed, and to hold their meetings consecutively, in order to ensure the effective use of resources.",
"16. In its resolution 10/6, the Conference requested the Working Group of Government Experts on Technical Assistance and the Working Group on International Cooperation to hold a joint thematic discussion on the application of the Convention for preventing and combating transnational organized crimes that affect the environment and to make recommendations for consideration by the Conference at its eleventh session, within their mandates, in order to promote the practical application of the Convention.",
"17. The thirteenth meeting of the Working Group of Government Experts on Technical Assistance was held from 23 to 27 May 2022, back to back with the thirteenth meeting of the Working Group on International Cooperation, with a joint thematic discussion in accordance with Conference resolution 10/6. The report on the meeting (CTOC/COP/WG.2/2022/4-CTOC/COP/WG.3/2022/4) will be made available to the Conference at its eleventh session.",
"Report on the sixty-fifth session of the Commission on Narcotic Drugs, held in Vienna from 14 to 18 March 2022",
"18. The Commission on Narcotic Drugs held its sixty-fifth session from 14 to 18 March 2022. In its resolution 65/2, on strengthening international cooperation to address the links between illicit drug trafficking and illicit firearms trafficking, the Commission requested the Executive Director of the United Nations Office on Drugs and Crime to make the resolution available to the Commission on Crime Prevention and Criminal Justice and to the Conference of the Parties to the United Nations Convention against Transnational Organized Crime. The report on the sixty-fifth session (E/2022/28-E/CN.7/2022/14), which contains the resolution, will be made available to the Conference at its eleventh session.",
"[1] ^(*) Reissued for technical reasons on 29 September 2022.",
"[2] ^(**) CTOC/COP/2022/1."
] | CTOC_COP_2022_5 | [
"Eleventh session [1]",
"Vienna, 17-21 October 2022",
"Items 2, 4 and 5 of the provisional agenda [2]",
"Consideration of international cooperation for the implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto, with particular emphasis on extradition, mutual legal assistance and international cooperation for the purpose of confiscation, and the establishment and strengthening of central authorities",
"Technical assistance",
"Reports of the subsidiary bodies of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime and the Protocols thereto and report of the Commission on Narcotic Drugs on its sixty-fifth session",
"Note by the Secretariat",
"Report of the Working Group on Trafficking in Persons on its meetings held in Vienna on 12 and 13 October 2021 and on 29 and 30 June 2022",
"Pursuant to decision 4/4 of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime and the Protocols thereto on trafficking in persons, an open-ended interim working group was established to advise and assist the Conference in the implementation of its mandate with regard to the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime.",
"In its resolution 7/1, on strengthening the implementation of the Convention and the Protocols thereto, the Conference decided, inter alia, that the Working Group on Trafficking in Persons would become a permanent part of the Conference and would submit its reports and recommendations to the Conference.",
"3. The Working Group on Trafficking in Persons held its eleventh meeting on 12 and 13 October 2021 and its twelfth meeting on 29 and 30 June 2022. In accordance with Conference resolution 7/1, the reports of those meetings (CTOC/COP/WG.4/2021/6 and CTOC/COP/WG.4/2022/4, respectively) will be submitted to the Conference at its eleventh session.",
"Report of the Working Group on the Smuggling of Migrants on its meetings held in Vienna on 14 and 15 October 2021 and on 27 and 28 June 2022",
"Pursuant to Conference resolution 5/3 on the implementation of the Protocol against the Smuggling of Migrants by Land, Sea and Air, supplementing the United Nations Convention against Transnational Organized Crime, an interim open-ended intergovernmental working group on the smuggling of migrants was established to advise and assist the Conference in the implementation of its mandate with regard to the Smuggling of Migrants Protocol.",
"In its resolution 7/1, the Conference decided, inter alia, that the Working Group on the Smuggling of Migrants would be a permanent part of the Conference and would submit its report and recommendations to the Conference.",
"The Working Group on the Smuggling of Migrants held its eighth meeting on 14 and 15 October 2021 and its ninth meeting on 27 and 28 June 2022. In accordance with Conference resolution 7/1, the reports of those meetings (CTOC/COP/WG.7/2021/5 and CTOC/COP/WG.7/2022/4, respectively) will be submitted to the Conference at its eleventh session.",
"Report on the meeting of the Working Group on Firearms held in Vienna from 10 to 12 May 2021 and on 4 and 5 May 2022",
"Pursuant to Conference resolution 5/4 on illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, an open-ended intergovernmental working group on firearms was established to advise and assist the Conference in the implementation of its mandate with regard to the Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition, supplementing the United Nations Convention against Transnational Organized Crime.",
"In its resolution 7/1, the Conference decided, inter alia, that the Working Group on Firearms would be a permanent part of the Conference and would submit its reports and recommendations to the Conference.",
"The Working Group on Firearms held its eighth meeting from 10 to 12 May 2021 and its ninth meeting on 4 and 5 May 2022. In accordance with Conference resolution 7/1, the reports of these meetings (CTOC/COP/WG.6/2021/4 and CTOC/COP/WG.6/2022/4, respectively) will be submitted to the Conference at its eleventh session.",
"Report on the meetings of the Working Group on International Cooperation held in Vienna on 25 and 26 March 2021 and from 23 to 27 May 2022",
"10. Pursuant to decision 3/2 of the Conference of the Parties on the implementation of the international cooperation provisions of the Convention, an open-ended working group on international cooperation was established as a permanent component of the Conference of the Parties. This decision was unanimously reaffirmed in subsequent COP resolutions.",
"In its resolution 7/1, the Conference of the Parties, inter alia, encouraged the Working Group on International Cooperation and the Working Group of Government Experts on Technical Assistance to consider holding annual and sequential meetings, as required, to ensure the efficient use of resources.",
"In its resolution 10/6, on preventing and combating crime affecting the environment in the context of the Organized Crime Convention, the Conference of the Parties requested the Working Group of Government Experts on Technical Assistance and the Working Group on International Cooperation, within their mandates, to hold a joint thematic discussion on the application of the Convention to prevent and combat transnational organized crime affecting the environment and to make recommendations for consideration by the Conference of the Parties at its eleventh session with a view to promoting the practical application of the Convention.",
"The Working Group on International Cooperation held its twelfth meeting on 25 and 26 March 2021, its thirteenth meeting from 23 to 27 May 2022, back-to-back with the thirteenth meeting of the Working Group of Government Experts on Technical Assistance, and held a joint thematic discussion pursuant to Conference resolution 10/6. The reports of these meetings (CTOC/COP/WG.3/2021/3 and CTOC/COP/WG.2/2022/4-CTOC/COP/WG.3/2022/4, respectively) will be submitted to the Conference of the Parties at its eleventh session.",
"Report on the meeting of the working group of governmental experts on technical assistance held in Vienna from 23 to 27 May 2022",
"In its decision 2/6, on technical assistance activities, the Conference established an open-ended interim working group of governmental experts on technical assistance.",
"In its resolution 7/1, the Conference of the Parties, inter alia, encouraged the Working Group on International Cooperation and the Working Group of Government Experts on Technical Assistance to consider meeting on an annual basis and back to back, as necessary, to ensure the efficient use of resources.",
"In its resolution 10/6, the Conference requested the Working Group of Government Experts on Technical Assistance and the Working Group on International Cooperation, within their mandates, to hold a joint thematic discussion on the application of the Convention to prevent and combat transnational organized crime affecting the environment and to make recommendations for consideration by the Conference at its eleventh session with a view to promoting its effective application.",
"The Working Group of Government Experts on Technical Assistance held its thirteenth meeting from 23 to 27 May 2022, back-to-back with the thirteenth meeting of the Working Group on International Cooperation, and held a joint thematic discussion in accordance with Conference resolution 10/6. The report of that meeting (CTOC/COP/WG.2/2022/4-CTOC/COP/WG.3/2022/4) will be before the Conference of the Parties at its eleventh session.",
"Report of the Commission on Narcotic Drugs on its sixty-fifth session, held in Vienna from 14 to 18 March 2022",
"The Commission on Narcotic Drugs held its sixty-fifth session in Vienna from 14 to 18 March 2022. In its resolution 65/2 on strengthening international cooperation to address the links between illicit drug and illicit firearms trafficking, the Commission requested the Executive Director of the United Nations Office on Drugs and Crime to make that resolution available to the Commission on Crime Prevention and Criminal Justice and the Conference of the Parties to the United Nations Convention against Transnational Organized Crime. The report of the sixty-fifth session containing that resolution (E/202/28-E/CN.7/2022/14) will be submitted to the Conference of the Parties at its eleventh session.",
"[1] ^ (*) Reissued for technical reasons on 29 September 2022.",
"[2] ^ (**) CTOC/COP/202/2."
] |
[
"联合国国际贸易法委员会",
"第三工作组（投资人与国家间争端解决制度改革）",
"第四十三届会议",
"2022年9月5日至16日，维也纳",
"投资人与国家间争端解决制度的可能改革",
"行为守则草案",
"秘书处的说明",
"目录",
"页次\n1.导言 2\n2.行为守则草案 3第1条– 3 \n 定义 \n第2条–守则的适用 4第3条– 5 \n独立公正 第4条– 6 \n对多重角色的限制 第5条– 8 \n勤勉义务 \n第6条–[诚信和能力] 8\n第7条–单方面通信 9第8条– 10 \n 保密 \n第9条–费用和开支 11第10条– 12 \n披露义务 第11条– 14 \n遵守守则 \n附录–法官和法官候选人的披露义务 15",
"一. 导言",
"1. 工作组在2019年4月第三十七届会议上请秘书处与国际投资争端解决中心（投资争端解决中心）秘书处联合就编写行为守则开展准备工作。会上指出，这项工作可包括如何在现行投资争端解决制度中以及在可能的结构改革的范围内实施这类守则，以及如何强制执行这类守则规定的义务，尤其是在仲裁员或审裁员停止履职或任期终止时（A/CN.9/970，第84段）。",
"2. 在2019年10月第三十八届会议上，与会者根据两个秘书处提供的背景资料（A/CN.9/WG.III/WP.167），普遍支持制定一项行为守则，在该届会议上，工作组就如何推进这项工作提供了具体指示（A/CN.9/1004^(*)，第67至77段）。为2021年2月工作组第四十届会议编写了行为守则草案（A/CN.9/WG.III/WP.201），但由于该届会议可用时间有限，审议工作推迟到今后一届会议（A/CN.9/1050，第116段）。",
"3. 在2021年11月第四十一届会议上，工作组根据两个秘书处编写的一份草案（A/CN.9/WG.III/WP.209）审议了行为守则草案第1至第8条。工作组还收到两个秘书处关于实施及强制执行办法的说明（A/CN.9/WG.III/WP.208）。根据该届会议的审议情况（A/CN.9/1086，第17-143段），编拟了第1至第8条的修订本，并将其提交下一届会议（A/CN.9/1092，附件）。",
"4. 在2022年2月第四十二届会议上，工作组审议了A/CN.9/WG.III/WP.209号文件所载行为守则第9至第11条。虽然工作组对守则进行了一读，但未能提交一份草案供委员会审议（A/CN.9/1092，第79-130段）。因此，工作组请两个秘书处为定于2022年下半年举行的下一届会议编拟守则修订本和随附评注（A/CN.9/1092，第129段）。",
"5. 在上述期间和第四十二届会议之后，举行了若干次非正式会议，以审议守则的内容和形式。[1]两个秘书处之间举行了一系列会议，以确保案文的一致性，并确定需要工作组澄清的政策问题。",
"6. 本说明载有解决投资争端中心秘书处和贸易法委员会秘书处联合编写的国际投资争端程序审裁人行为守则（下称“守则”）的修订本，其中反映了工作组前几届会议的决定和审议情况。为帮助工作组进行审议，每一条款之后都附有一份说明，指出需要工作组进一步审议和作出决定的问题。",
"7. 由于工作组商定并行审议适用于仲裁员和法官的条款（A/CN.9/1086，第27段），因此守则既包括适用于仲裁员的条款，也包括适用于法官的条款，同时在必要时指明该条或其中款项仅适用于仲裁员或仅适用于法官。工作组似宜考虑以何种方式向委员会提交该守则，包括是否应采用不同的结构。工作组似宜确保守则的条款清晰明确，使潜在审裁员能够清楚地理解和遵守其中规定的义务，特别是因为他们对争端各方和争端的了解有限。",
"8. 工作组似宜注意到，两个秘书处正在编写守则评注（“评注”），目的是澄清每一条的内容，讨论实际影响，并提供实例（A/CN.9/1086，第20段）。",
"9. 工作组似宜审议A/CN.9/WG.III/WP.208文件所载的实施及强制执行守则的办法。工作组还似宜考虑管理投资争端案件的其他仲裁机构如何实施守则。",
"二. 行为守则草案",
"第1条 – 定义",
"在守则中： \n(a)“国际投资争端”系指投资人与国家或区域经济一体化组织[或国家或区域经济一体化组织的任何下属部门或机构]之间根据下述文书提交以求解决的争端：㈠就保护投资或投资人作出规定的条约；㈡关于外国投资的立法；或㈢一项投资合同；\n(b)“仲裁员”系指被任命解决一项国际投资争端的担任仲裁庭或投资争端解决中心特设委员会成员的人员；\n (c) “法官”系指担任解决国际投资争端常设机制成员的人员； \n (d) “审裁员”系指仲裁员或法官； \n(e)“候选人”系指就可能被任命为仲裁员已被接洽但尚未[被任命][接受任命]的人员，或正在被考虑任命为法官但尚未被确认担任该职位的人员；\n(f)“协理员”系指[根据与争端各方达成的协议，]在审裁员指导和监管下工作以协助处理特定案件任务的人员；\n(g)“单方面通信”系指候选人或审裁员与争端一方、其法律代表、关联机构、附属机构或其他相关人士之间，在争端另一方或另几方不在场或不知情的情况下就国际投资争端进行的任何通信。",
"请工作组注意",
"10. 调整了各定义的顺序，以增强连贯性和一致性。单方面通信的定义以前载于第7条（见下文第41段），现已移至本条。",
"11. 在(a)项“提交”一词之后添加了“以求解决”字样，以表明提交的目的。为确保一致性，(c)项也提到国际投资争端的“resolution”而不是“settlement”（中文均为“解决”）。",
"12. 第1条将“仲裁员”和“法官”定义为仲裁庭或常设机制的现任成员。因此，可能没有必要在守则的以下条款中纳入各自义务的具体时间范围。在提交工作组审议的相应条款（例如，第3(1)、7和10条，见下文第20和42段）中，此类词语被置于方括号内或已被删除。",
"13. 关于(e)项，工作组似宜注意到，在投资争端解决中心，一个人只有在接受任命且投资争端解决中心发出接受任命的通知之后才成为仲裁庭成员。为顾及这种做法，工作组似宜将“尚未被任命”改为“尚未接受任命”（见下文第65段）。",
"14. 关于(f)项，评注可以解释，通常做法是就协理员的身份和协理员应履行的任务与争端各方进行协商。因此，工作组似宜考虑是否有必要在定义中保留“根据与争端各方达成的协议”一语。",
"第2条 – 守则的适用",
"1.守则适用于国际投资争端程序中的[审裁员或候选人]。守则可经争端各方协议而适用于任何其他争端。\n2.同意审裁所依据的文书载有关于国际投资争端程序中审裁员或候选人行为的条款的，守则应[解释为在补充][补充]此类条款。守则与此类条款有任何不一致的，在不一致的范围内以后者为准。\n3.审裁员应当采取一切合理步骤，确保其协理员知悉并遵守守则，包括要求协理员签署本人已阅读并将遵守守则的声明。",
"请工作组注意",
"15. 由于守则适用于参与解决国际投资争端的个人，而非国际投资争端本身，工作组似宜在第1款中添加“审裁员或候选人”字样。第1款分为两句，第二句旨在反映工作组的以下认识，即争端各方可以约定将守则适用于任何其他类型的争端，包括国家之间的争端。",
"16. 第2款的第一句已被简化，提到“关于审裁员或候选人行为的条款”，而不是“关于审裁员或候选人操守或行为守则的条款”。这是因为“操守”一词可能不清楚，而且在同一句话中“守则”字样出现两次可能会造成混淆。第二句也作了简化，提到“守则与此类条款有任何不一致”，而不是“守则中的义务与同意审裁所依据的文书中的义务有任何不一致”。",
"17. 工作组似宜注意到，第2款提到“同意审裁所依据的文书”，而守则其他条款则提到“适用的规则或条约”（例如，第7条至第11条）。考虑到这两个概念之间可能有重叠，工作组似宜考虑目前的区分是否适当，以及在评注中述及这种关系是否足够。",
"18. 工作组似宜考虑如何最好地表述守则的补充性质，因为第2款中的“应解释为在补充”一语可能被理解为仅仅就解释提供指导。另一种选择是仅保留第2款的第二句话，以便指明在出现任何不一致的情况下以哪一条规定为准的规则。",
"19. 关于守则的适用，工作组似宜审议争端各方在多大程度上能够排除或变更守则的条款（见下文第24-26段）。",
"第3条 – 独立公正",
"1.审裁员[在接受任命或确认之时]应当是独立公正的[，并应当始终保持独立公正，直至国际投资争端程序结束或其任期结束]。\n 2. 第1款包括以下义务，即不得： \n(a)受对争端方、非争端方、非争端方条约缔约方或其法律代表的忠诚的影响；\n(b)接受任何组织、政府或个人关于国际投资争端程序所涉任何事项的指示；\n(c)允许过去或目前任何财务、商业、专业或个人关系影响其行为[或判断]；\n(d)利用职务之便增进其在争端一方或在国际投资争端程序的结果中可能拥有的[任何重大][某项]经济或个人利益；\n (e) 承担将干扰其履行职责的职能或接受将干扰其履行职责的利益；或者 \n (f) 采取导致看似缺乏独立性或公正性的任何行动。",
"请工作组注意",
"20. 工作组似宜考虑到第1条中“仲裁员”和“法官”的定义，审议第1款规定的时间范围（方括号内的措词）是否必要。保留方括号内的短语可能会引起问题，特别是对于“结束”国际投资争端程序而言，国际投资争端程序的结束将因具体案件而异（见下文第28段）。例如，一名仲裁员辞职或被取消资格，而国际投资争端程序继续进行，该仲裁员是否继续受第3条的约束，这方面可能会有问题。",
"21. 关于(a)项，工作组似宜就“忠诚”一词的含义以及应从谁的角度来评估忠诚提供指导，这两个问题可在评注中加以阐述。",
"22. 关于(c)项，工作组似宜删除“或判断”一语，因为该词语可能为“行为”一词所涵盖。为了使措词与(a)项的措词相一致，工作组还似宜考虑对(c)项作如下修改：“受过去或目前的任何财务、商业、专业或个人关系的影响”。",
"23. 关于(d)项，工作组似宜考虑将“任何重大”词语改为“某项”。这是因为，问题在于该职位被用来促进经济或个人利益，而不是所寻求利益的程度或数量。然而，评注可以详细说明，如果审裁员无意中获得的利益微不足道，不一定构成对(d)项的违反。",
"第4条 – 对多重角色的限制",
"[以下款项仅适用于仲裁员] \n1.除非争端各方另有约定，仲裁员不得同时[且在国际投资争端程序结束之后三年内不得]在存在以下情况的另一国际投资争端程序[或任何其他程序]中担任法律代表或专家证人：\n (a) 涉及相同措施； \n (b) 涉及相同或相关当事方；或者 \n (c) 涉及相同条约的相同规定。 \n2.[除非争端各方另有约定，]仲裁员不得同时[且在国际投资争端程序结束之后三年内不得]在涉及大致类似的法律问题，以致接受这一职务将违背第3条的另一国际投资争端程序[或任何其他程序]中担任法律代表或专家证人。\n [以下款项仅适用于法官] \n3.法官不得行使任何政治或行政职能。法官不得从事与其独立性或公正性义务或[全职工作][任职条款]要求相抵触的任何其他专业性职业。特别是，法官不得在另一国际投资争端程序中担任法律代表或专家证人。\n4.法官应向常设机制的[主席]申报任何其他职能或职业。[关于适用][涉及]第3款的任何问题应经由常设机制的决定解决。\n5.前法官不得以任何方式参与常设机制审理的未决的或其在任期结束之前曾经处理的国际投资争端程序。\n6.前法官在其任期结束之后三年内，不得在常设机制审理的、其任期之后启动的国际投资争端程序中[以任何身份]担任争端一方或[第三][非争端]方的法律代表。",
"请工作组注意",
"争端各方的减损和修改",
"24. 关于第1款中“除非争端各方另有约定”一语，工作组似宜审议争端各方在多大程度上可以放弃适用第1款。一个相关的问题是，是否应在第2款中重复这一语句，或者该款中的义务是否是争端各方不能放弃的义务。关于第2款，工作组似宜确认，需要由仲裁员确定法律问题是否大致类似。",
"25. 工作组似宜进一步审议争端各方是否可以自由约定偏离守则的其他条款。如果可以，一种办法可能是将第2条第(1)款修订如下：“守则适用于国际投资争端程序中的审裁员或候选人，争端各方可约定对守则作任何修改。”另一种办法是在第2条或第11条中列入一款，其中规定：“争端各方可约定排除守则的适用，或减损或改变其条款的效力”。这样就没有必要在相关条款中重复“除非争端各方另有约定”这一语句。",
"26. 但是，争端各方减损和修改守则的适用的能力对于某些条款（例如，第3条）而言可能需要加以限制，如果根据第2条第(2)款，同意审裁所依据的文书（例如，条约）作了规定，则可能进一步受到限制。此外，工作组似宜考虑在常设机制的情况下争端各方是否能够排除或修改守则的适用。",
"限制的时间范围",
"27. 工作组似宜考虑是否保留第1和第2款方括号内规定的三年期限，或者国际投资争端程序之后的任何其他期限。",
"28. 如果工作组要保留这样的期限，则有必要澄清这一期限的起始时间。这是因为第1款和第2款中提到的“国际投资争端程序结束”可能因案件的情形而有所不同，因而难以执行。",
"29. 第4条是审裁员的义务跨越其任期的例子（类似于关于保密的第8条）。换言之，该条旨在规范前审裁员的行为。工作组似宜结合第1条中“仲裁员”和“法官”的定义以及第2条第(1)款中的适用范围审议这一问题（见上文第12和20段）。",
"30. 工作组还似宜考虑第4条如何适用于被取消资格或从国际投资争端程序中辞职的仲裁员。这样的个人将不再受制于第4条中同时担任职务的限制，因为他或她不再是第1条(b)项规定的仲裁员。另一方面，规定在国际投资争端程序“结束之后”为期三年的限制可能会无意中导致该人在程序结束之前能够自由地担任法律代表或专家证人，而限制只在程序结束之后才开始。由于第4条限制参与“另一”国际投资争端程序，因此，被取消资格或辞职的仲裁员也可能在同一国际投资争端程序中担任法律代表或专家证人。",
"31. 因此，工作组似宜澄清守则应在多大程度上规范前仲裁员的行为。这样做的一个办法是使用第5和第6款中的提法（“前”法官），并在第1和第2款中也提及“前”仲裁员。无论如何，工作组似宜就如何对不再是守则意义上的“审裁员”的个人强制执行任何补救办法以及第3条和第4条之间的关系提供指导。",
"其他问题",
"32. 虽然有一项建议是在第1款和第2款中“法律代表”一词之前加上“法官”一词，但这两款的目的都是规范双重身份的做法，即一人同时发挥辩护作用和审裁作用。因此，这两款的目的并不是阻止仲裁员作为审裁员审理另一个案件。相反，仲裁员是否可以同时担任法官，很可能由法官的任职条款来规范。工作组似宜确认这一理解，并考虑是否应在第4条中增列一款，防止法官担任仲裁员，这一款将具有同样的效果。",
"33. 关于第1款(c)项，工作组似宜审议这种规定可能对多边条约（例如《能源宪章条约》）产生的影响。",
"34. 工作组似宜考虑就第1款(a)项至(c)项中一直在使用的“相同”一词的含义和范围提供指导，因为“措施”、“当事方”和“规定”之间的识别因素可能有所不同。",
"第5条 – 勤勉义务",
"[以下款项仅适用于仲裁员] \n 1. 仲裁员应当： \n (a) 在整个国际投资争端程序期间勤勉地履行职责； \n (b) 为国际投资争端程序投入足够时间； \n (c) 及时作出所有裁定； \n [(d) 拒绝可能妨碍其勤勉履行对于国际投资争端程序的职责的并行义务；] \n (e) 不将其作出裁定的职能委托他人。 \n [以下款项仅适用于法官] \n 2. 法官应当按照其任职条款勤勉地履行职责。",
"请工作组注意",
"35. 工作组似宜考虑，(d)项是否可以删除，因为该项将由(a)项涵盖，还是作为单独的一款予以保留，以使该义务更加明确。如果删除(d)项，评注可解释，根据(a)项，仲裁员应拒绝这种并行义务。",
"36. 工作组似宜考虑是否可将(e)项放在第6条中，因为不将作出裁定的职能委托他人的义务作为一项诚信义务更为合适。评注可以进一步阐述这个问题。",
"37. 工作组似宜进一步确认，如果争端一方声称第3条所规定的独立性或公正性义务遭到违反，可否将第5条和第6条所规定的义务遭到违反作为事实予以提出。",
"第6条 – [诚信和能力]",
"1. 审裁员应当： \n (a) 按照诚信、公平[、礼貌]和能力方面的高标准实施国际投资争端程序； \n (b) 礼貌对待国际投资争端程序的所有参与者； \n (c) 尽最大努力保持和提高履行职责所需的知识、技能和素质。 \n [以下款项仅适用于仲裁员候选人] \n2.候选人仅应在自己拥有履行仲裁员职责所需的能力、技能和时间的情况下接受任命。\n [以下款项仅适用于法官候选人] \n 3. 候选人应具备履行法官职责所需的能力和技能。",
"请工作组注意",
"38. 工作组似宜确认，使用第6条的拟议标题“诚信和能力”来取代原标题“其他义务”是合适的。",
"39. 工作组似宜考虑，如果在(a)项中加入方括号内的补充措词，(b)项是否还有必要。",
"40. 考虑到第2款要求仲裁员候选人对其能力和技能作出自我判断，而法官候选人的必要能力和技能可能在甄选阶段受到评估，工作组似宜考虑是否需要在第6条中保留第2和第3款。工作组似宜结合是否将第11条第(2)款纳入守则的问题（见下文第67段）审议这个问题。",
"第7条 – 单方面通信",
"[以下款项仅适用于仲裁员和仲裁员候选人] \n 1. 禁止单方面通信，除非： \n(a)为了确定候选人的专门知识、经验、能力、技能、其是否有时间以及是否存在任何潜在的利益冲突；\n(b)为了确定在争端各方同意的情况下候选人担任首席仲裁员的专门知识、经验、能力、技能、其是否有时间以及是否存在任何潜在的利益冲突；\n (c) 适用规则或条约或者争端各方的协议所允许。 \n2.无论如何，单方面通信不得涉及与国际投资争端程序有关的任何程序性或实质性问题，也不得涉及候选人或仲裁员可以合理预期将在国际投资争端程序中出现的任何程序性或实质性问题。\n [以下款项仅适用于法官和法官候选人] \n 3. 禁止单方面通信。",
"请工作组注意",
"41. 对第7条作了修订，以澄清关于单方面通信的缺省规则及其例外情况。“单方面通信”的定义现载于第1条(g)款，并略作调整，改为：“单方面通信系指候选人或审裁员与争端一方、其法律代表、关联机构、附属机构或其他相关人士之间，在争端另一方或其他各方不在场或不知情的情况下就国际投资争端进行的任何通信。”",
"42. 虽然上一版本的第7条规定了何时禁止单方面通信的时间范围（“在国际投资争端程序启动之前直至该程序结束”），但考虑到“候选人”、“仲裁员”和“法官”等用语的定义（见上文第12段），相关短语已被删除。删除这一短语还使得不必要提及国际投资争端程序的“结束”，后者引起一些关切（见上文第20和27-31段）。",
"43. 工作组似宜确认，已作出裁决或已被取消资格的仲裁员可以与各方接触，因为他们将不再受第7条的约束。否则，就有必要规定一个禁止单方面通信的期限，类似于第4条。",
"44. 工作组似宜确认，第1款(b)项将允许争端一方指定的仲裁员（或争端一方拟指定的仲裁员候选人）与该争端方或其法律代表讨论首席仲裁员潜在候选人的资格。然而，这将取决于争端另一方同意可以这样做。不过，如果该条件得到满足（争端各方同意），这种讨论可能不属于单方面通信定义的范畴，因为争端另一方将知道该通信。",
"45. 工作组似宜确认，第3款规定的完全禁止法官和法官候选人进行单方面通信是适当的。",
"第8条 – 保密",
"1.候选人和审裁员不得披露或使用关于一起国际投资争端程序或与一起国际投资争端程序有关获得的任何信息，除非：\n (a) [根据适用规则或条约，]该信息可以公开获得；或者 \n (b) 适用规则或条约或者争端各方的协议所允许。 \n2.审裁员不得披露国际投资争端程序中审议的内容[或在审议期间发表的任何意见]。\n3.审裁员不得对国际投资争端程序中的裁定发表意见，[除非该裁定可以公开获得]。\n 4. 审裁员不得披露国际投资争端程序中的任何裁定草案。 \n 5. 本条所规定的义务在国际投资争端程序之后仍适用[并继续无限期适用]。\n6.在候选人或审裁员依法不得不在法院或其他主管机构披露信息或需要披露此类信息以在法院或其他主管机构保护自身权利的范围内，本条所规定的义务不予适用。",
"请工作组注意",
"46. 对第1款作了修订，以便就保密义务的例外情况提供更明确的规则。删除了“除非为该程序之目的”一语，因为本条无意规范这种披露情形，这种披露情形本来就是允许的。将在评注中阐述这一观点。应当指出，如果在第1款中重新采用这一短语，则其他各款也需要重复这一短语。",
"47. 工作组似宜审议“可以公开获得”的信息在多大程度上构成第1款(a)项中的例外情形。方括号内的措词表明，只有在根据适用规则或条约信息可公开获得之时，第1款中的不披露义务才可解除。换言之，如果信息事实上已可公开获得（例如，违反适用规则或条约泄露信息，或由第三方张贴在公共网站上），这将不属于第1款(a)项中的例外情形。工作组似宜确认这一理解。",
"48. 工作组似宜审议第1款(b)项中的例外情形是否也应适用于第2至第4款。如果是的话，似宜规定类似于第6款的一般性例外，行文如下：“本条所规定的义务在适用规则或条约或争端各方的协议所允许的范围内不予适用。”",
"49. 工作组似宜删除第2款中的“或审议期间发表的任何意见”一语，因为这些意见将构成审议“内容”的一部分。",
"50. 对第3款和第4款作了修订，因为在规定该义务时，审裁员是否参与或参加作出裁定并不是要考虑的一个因素。因此，删除了第3款中“其参与的”和第4款中“在作出裁定之前和其作出的任何裁定”一语。",
"51. 关于述及不对裁定发表意见的义务的第3款，工作组似宜考虑：㈠有关义务是否应限于“在国际投资争端程序结束之前”，从而允许审裁员在程序之后就裁定发表意见；㈡裁定已可公开获得（目前置于方括号内）是否应作为一个考虑因素。关于后者，如果保留“除非可以公开获得”这几个字，则应使用第1款(a)项中的表述（见上文第47段）。",
"52. 考虑到第4款中提到的“裁定草案”属于第1款中提到的“关于一起国际投资争端程序或与一起国际投资争端程序有关获得的任何信息”，工作组似宜考虑删除该款，由评注对此作出解释。",
"53. 对第5款作了修订，以避免提及程序“结束”（见上文第20和30段）。工作组似宜删除方括号内“并继续无限期适用”一语，因为这些词语可能是多余的。工作组似宜考虑如何强制执行第5款中的义务，因为个人在国际投资争端程序之后将不受守则的约束（见上文第30-31段)。",
"第9条 – 费用和开支",
"[本条仅适用于仲裁员和仲裁员候选人] \n1.关于费用和开支的任何建议应通过管理程序的机构通知争端各方。没有管理机构的，应由独任仲裁员或首席仲裁员通知争端各方。\n2.[除非适用规则或条约另有规定，]候选人或仲裁员应在仲裁庭[组成之前][或组成之后立即]结束与争端各方就费用和开支进行的任何讨论。\n3.仲裁员应在聘用协理员之前结束与争端各方就协理员的费用和开支进行的讨论。\n4.仲裁员应当保持其因为该国际投资争端程序而花费的时间和开支的准确记录，并确保协理员也保持时间和开支的准确记录。\n 5. 仲裁员应在请求拨付资金时或根据争端一方的请求提供此类记录。",
"请工作组注意",
"54. 调整了第9条的结构，以便按照事情通常发生的顺序给出确定费用和开支的过程。工作组似宜首先确认，各款的顺序是适当的，而且只适用于仲裁员和仲裁员候选人。",
"55. 工作组似宜确认，第2款反映了最佳做法——理想的做法是，在仲裁庭组成之前不仅进行了而且结束了关于费用和开支的讨论。如果这样的话，工作组似宜考虑删除方括号内“或组成之后立即”一语。然而，评注可以解释，这种讨论可以在组成之后立即进行，例如在第一次程序性会议上进行。",
"56. 关于第4款，工作组似宜考虑准确记录任何协理员所花费的时间和费用的责任由仲裁员还是由协理员承担。无论如何，仲裁员都应建立一种机制，以确保协理员这样做。评注可以对此加以解释。",
"57. 工作组似宜考虑应在守则中还是在评注中述及费用的合理性问题，因为这将反映最佳做法。例如，《贸易法委员会仲裁规则》第41条第(1)款就述及这个问题。评注可以解释，费用和开支的合理性将取决于争端所涉金额、主题事项的复杂性、仲裁员花费的时间以及案件的任何其他有关情况。",
"第10条 – 披露义务",
"[本条仅适用于仲裁员和仲裁员候选人] \n1.候选人和仲裁员应当披露可能导致对其公正性或独立性的合理怀疑的任何情形[，包括在争端各方看来的此种情形]。\n 2. 在披露的信息中应当纳入以下信息： \n (a) 过去五年内与以下各方的任何财务、商业、专业或个人关系： \n ㈠ 任何争端方或争端一方认定的一个实体； \n ㈡ 国际投资争端程序中争端一方的法律代表； \n ㈢ 国际投资争端程序中的其他仲裁员和专家证人； \n㈣[争端一方认定在国际投资争端程序的结果中享有直接或间接利益的任何实体，包括第三方供资人]；\n (b) 在以下方面享有任何经济或个人利益： \n ㈠ 国际投资争端程序的结果； \n ㈡ 涉及相同措施的任何其他国际投资争端程序； \n ㈢ 涉及争端一方或争端一方认定的一个实体的任何其他程序； \n(c)候选人或仲裁员目前或过去五年内作为仲裁员、法律代表或专家证人参与的所有国际投资争端和相关程序；\n(d)过去五年内被争端一方或其法律代表任命在国际投资争端或任何其他程序中担任仲裁员、法律代表或专家证人的情况。\n3.[为第1和第2款之目的]，候选人和仲裁员应尽[合理][最大]努力了解此类情形[、利益和关系]。\n 4. 候选人和仲裁员对是否应予披露有任何疑问的，应当选择予以披露。",
"5.候选人和仲裁员应当在[接受]任命之前或之时使用附件中的表格，向争端各方、国际投资争端程序中的其他审裁员、任何管理机构和适用规则或条约规定的任何其他人进行披露。\n6.仲裁员负有在得知新信息或新发现的信息之后尽快基于此类信息作进一步披露的持续义务。\n 7. 不披露本身并不构成[缺乏]公正性或独立性[违反守则第3至6条]。 \n 8. 争端各方可以放弃各自对已披露的情形提出异议的权利。",
"请工作组注意",
"58. 对第10条作了修订，使之仅适用于仲裁员和仲裁员候选人。工作组似宜确认这些款项将在多大程度上适用于法官和法官候选人。本说明附录中提供了一个对比表，以协助工作组进行审议。",
"59. 工作组似宜处理第1款中两个不同标准之间的关系以及可能存在的不一致之处（例如，《贸易法委员会仲裁规则》第11条规定的“可能引起合理怀疑”与“在争端各方看来”），这将使仲裁员和仲裁员候选人难以理解应在多大程度上进行披露。",
"60. 工作组似宜考虑这样一种情况，即仲裁员未披露某一情形，因为他相信一个通情达理的第三人不会基于该情形而质疑其独立性或公正性，但争端一方认为该情形会引起怀疑。工作组似宜考虑具体规定最高门槛，而不是纳入两个标准。",
"61. 工作组似宜确认，即使第1款未作要求，第2款所列信息也需要予以披露。换言之，无论根据第2款提供的信息是否有可能引起对仲裁员的独立性或公正性的合理怀疑，仲裁员都需要披露这类信息。评注可以进一步阐述这一点。",
"62. 工作组似宜审议(a)㈠项和(b)㈢项中“争端一方认定的一个实体”的提法是否妥当。评注可以解释，“实体”一词既包括法人，也包括自然人。在这方面，工作组似宜考虑(a)㈣项的措词是否适当。",
"63. 工作组似宜删除第3款开头处方括号内的词语，因为尽合理/最大努力的必要性适用于本条全文，而不一定限于第1和第2款。工作组似宜决定是使用“合理”一词还是“最大”一词。作为参考，第6条第1款(c)项提到“尽最大努力保持和提高履行职责所需的知识、技能和素质”。工作组还似宜审议“情形”一词是否足够广泛，可以涵盖第2款中所列的各事项（关系、利益、程序、任命）。",
"64. 工作组似宜注意到，第4款（原编号为第5款）已移至更靠近第3款的位置，因为这两款均述及仲裁员或候选人根据第1款和第2款披露信息的方式。",
"65. 工作组似宜根据投资争端解决中心的做法（见上文第13段），在第5款中加入“接受”一词。",
"66. 第7款旨在澄清，不遵守第10条的披露要求并不一定等于违反守则的其他条款，特别是第3条中的独立公正义务。工作组似宜确定应使用哪种措词，包括是否提及守则的具体条款。",
"第11条 – 遵守守则",
"1. 审裁员和候选人应当遵守守则的适用条款。 \n[2.不能遵守守则的适用条款的，候选人不应当接受任命，审裁员应当从国际投资争端程序中辞职或回避国际投资争端程序。]\n3.适用规则或条约中规定的任何取消资格和除名程序或任何制裁和补救办法应当[适用于守则][无论守则如何规定而继续适用]。\n 4. 审裁员应当将违反守则的协理员免职。",
"请工作组注意",
"67. 工作组似宜考虑第1款是否必要。增加第2款是为了强调候选人和审裁员在不遵守或可能不遵守的情况下应如何行事。虽然这是一项自愿义务，守则对此没有规定任何补救办法，但工作组似宜考虑是否保留该案文，如果保留，第6条第(2)和第(3)条是否还有必要（见上文第40段）。",
"68. 工作组似宜审议第3款是否体现了工作组的以下谅解，即适用规则或条约中规定的任何质疑程序（包括质疑标准）或任何补救办法将继续适用于审裁员。因此，不遵守守则的某个条款本身并不构成此类质疑或补救办法的依据，将在适用规则或条约中对此作出规定。",
"69. 工作组似宜考虑，鉴于守则未载有适用于协理员的具体条款，第4款是否适当。此外，工作组似宜审议审裁员不遵守第4款的后果。",
"行为守则附件 – 声明和披露表格",
"行为守则附件 \n 声明、披露和背景信息 \n 1. 本人承认已阅读并理解所附行为守则，并承诺予以遵守。 \n2.尽本人所知，不存在本人不应在本程序中担任[仲裁员][法官]的理由。本人是公正和独立的，不会因为行为守则而有任何障碍。\n 3. 现将本人最新简历附于本声明。 \n 4. 根据行为守则第10条的规定，本人愿作以下披露和提供以下信息： \n [插入相关内容] \n5.本人确认，截至本声明之日，并无其他情形或信息需要披露。本人理解，本人在得知新信息或新发现的信息之后应当尽快基于此类信息作进一步披露。",
"请工作组注意",
"70. 工作组似宜确认将在守则附件中提供以下声明。",
"附录 – 法官和法官候选人的披露义务",
"第10条 – 披露义务 \n 适用于仲裁员和仲裁员候选人 适用于法官和法官候选人 \n1.候选人和仲裁员应当披露可能导致对其公正性或独立性的合理怀疑的任何情形[，包括在争端各方看来的此种情形]。\t<相同>“在争端各方看来的此种情形”除外，该语句不适用于法官和法官候选人\n2.在披露的信息中应当纳入以下信息：(a)过去五年内与以下各方的任何财务、商业、专业或个人关系：㈠任何争端方或争端一方认定的一个实体；㈡国际投资争端程序中争端一方的法律代表；㈢国际投资争端程序中的其他仲裁员和专家证人；㈣[争端一方认定在国际投资争端程序的结果中享有直接或间接利益的任何实体，包括第三方供资人]；(b)在以下方面享有任何经济或个人利益：㈠ 国际投资争端程序的结果；㈡涉及相同措施的任何其他国际投资争端程序；㈢涉及争端一方或争端一方认定的一个实体的任何其他程序；\t*法官应当在披露的信息中纳入以下信息：(a)过去五年内与以下各方的任何财务、商业、专业或个人关系：㈠任何争端方或争端一方认定的一个实体；㈡国际投资争端程序中争端一方的法律代表；㈢ 国际投资争端程序中的专家证人；㈣[争端一方认定在国际投资争端程序的结果中享有直接或间接利益的任何实体，包括第三方供资人]；(b)在以下方面享有任何经济或个人利益：㈠ 国际投资争端程序的结果；㈡涉及相同措施的任何其他国际投资争端程序；㈢ [不适用]\n(c)候选人或仲裁员目前或过去五年内作为仲裁员、法律代表或专家证人参与的所有国际投资争端和相关程序；(d)过去五年内被争端一方或其法律代表任命在国际投资争端或任何其他程序中担任仲裁员、法律代表或专家证人的情况。\t*法官候选人应当在披露的信息中纳入以下信息：(c)候选人目前或过去五年内作为仲裁员、法律代表或专家证人参与的所有国际投资争端和相关程序；(d) [不适用]3.[为第1和第2款之目的]，候选人和仲裁员应尽[合理][最大]努力了解此类情形[、利益和关系]。\t<相同> \n4.候选人和仲裁员对是否应予披露有任何疑问的，应当选择予以披露。\t\n5.候选人和仲裁员应当在任命之前或之时使用附件中的表格，向争端各方、国际投资争端程序中的其他审裁员、任何管理机构和适用规则或条约规定的任何其他人进行披露。\t5.候选人应当在被确认为法官之前或之时[使用附件中的表格]向常设机制进行披露。\n6.仲裁员负有在得知新信息或新发现的信息之后尽快基于此类信息作进一步披露的持续义务。\t6.法官应当在得知第1款提到的情形之后尽快[使用附件中的表格]向常设机制[主席]进行披露，并负有在得知新信息或新发现的信息之后尽快基于此类信息作进一步披露的持续义务。\n7.不披露本身并不构成[缺乏]公正性或独立性[违反守则第3至6条]。\t<相同>\n8.争端各方可以放弃各自对已披露的情形提出异议的权利。\t<不适用>",
"[1] 分别于2020年11月18日、2021年3月3日至4日和8日、2021年6月7日至10日、2021年12月6日至10日、2022年1月20日、2022年3月23日至24日和2022年6月7日至10日举行了关于行为守则的非正式会议（见https://uncitral.un.org/en/codeofconduct）。这些会议的目的是介绍两个秘书处为第三工作组届会编写的关于行为守则的工作文件草案，支持两个秘书处编写工作文件，并支持各代表团为届会做准备。在这些会议上没有作任何决定。"
] | [
"United Nations Commission onInternational Trade Law Working Group III(Investor-State DisputeSettlement Reform) Forty-third session \n Vienna, 5–16 September 2022",
"Possible reform of investor-State dispute settlement (ISDS)",
"Draft Code of Conduct",
"Note by the Secretariat",
"Contents",
"Page\nI.Introduction 2II. Draft 3 Code of \nConduct Article1– 3 \nDefinitions Article2– 4 Applicationof the \n Code Article3– 5 Independence and \nImpartiality Article4–Limiton 6 \nmultipleroles Article5– 8 \nDutyofdiligence Article6–[Integrity 8 and \ncompetence] \nArticle7–Expartecommunication 9Article8– 10 \nConfidentiality Article9– 11 Fees and \nexpenses Article10–Disclosure 12 \nobligations Article11–Compliance 14 with the \n Code Annex– 14 Declaration anddisclosure \n form",
"I. Introduction",
"1. The Working Group, at its thirty-seventh session in April 2019, requested the Secretariat to undertake preparatory work on a code of conduct jointly with the International Centre for Settlement of Investment Disputes (ICSID) Secretariat. It was suggested that such work could cover how such a code could be implemented in the current ISDS regime and also in the context of a structural reform, and how obligations in such a code would be enforced, particularly when the function or term of an arbitrator or adjudicator was terminated (A/CN.9/970, para. 84).",
"2. Based on the background information provided by the secretariats (A/CN.9/WG.III/WP.167), general support was expressed for developing a code of conduct at the thirty-eighth session in October 2019, during which the Working Group provided concrete instructions on how to progress the work (A/CN.9/1004^(*), paras. 67 to 77). While a draft code of conduct (A/CN.9/WG.III/WP.201) was prepared for the fortieth session of the Working Group in February 2021, deliberations were deferred to a future session due to the limited time available at that session (A/CN.9/1050, para. 116).",
"3. At its forty-first session in November 2021, the Working Group considered articles 1 to 8 of the draft code of conduct based on a draft prepared by the secretariats (A/CN.9/WG.III/WP.209). The Working Group also had before it a note by the secretariats on means of implementation and enforcement (A/CN.9/WG.III/WP.208). Based on the deliberations at that session (A/CN.9/1086, paras. 17–143), a revised version of articles 1 to 8 were prepared and presented at the following session (A/CN.9/1092, annex).",
"4. At the forty-second session in February 2022, the Working Group considered articles 9 to 11 of the code of conduct as contained in document A/CN.9/WG.III/WP.209. While the Working Group was able to conduct a first reading of the code, it was not in a position to submit a draft for consideration by the Commission (A/CN.9/1092, paras. 79–130). Accordingly, the Working Group requested the secretariats to prepare a revised version of the code and the accompanying commentary for the following session scheduled in the second half of 2022 (A/CN.9/1092, para. 129).",
"5. During the above-mentioned period and subsequent to the forty-second session, a number of informal meetings took place to consider the contents and the form of the code.[1] A series of meetings were held between the secretariats to ensure consistency in the text and to identify policy questions that need to be clarified by the Working Group.",
"6. This note contains a revised version of the Code of Conduct for adjudicators in international investment dispute proceedings (hereinafter, the Code) prepared jointly by the secretariats of ICSID and UNCITRAL reflecting the decisions and deliberations of the Working Group at previous sessions. To assist the Working Group in its deliberations, each article is followed by a note identifying issues that require further consideration and decision by the Working Group.",
"7. As the Working Group agreed to consider provisions applicable to arbitrators and judges in parallel (A/CN.9/1086, para. 27), the Code includes provisions for arbitrators as well as judges, while indicating, where necessary, that the article or the paragraphs therein apply only to arbitrators or only to judges. The Working Group may wish to consider how it wishes to present the Code to the Commission, including whether it should be structured differently. The Working Group may wish to ensure that the provisions in the Code are clear, which would allow potential adjudicators to clearly understand and comply with their obligations, particularly as they would have limited information about the disputing parties and the dispute.",
"8. The Working Group may wish to note that the commentary to the Code (the “Commentary”) is under preparation by the secretariats with the aim to clarify the content of each article, to discuss practical implications, and to provide examples (A/CN.9/1086, para. 20).",
"9. The Working Group may wish to consider means of implementation and enforcement of the Code as contained in document A/CN.9/WG.III/WP.208. The Working Group may wish to also consider how the Code could be implemented by other arbitral institutions administering ISDS cases.",
"II. Draft Code of Conduct",
"Article 1 – Definitions",
"For the purposes of the Code: \n(a) “International Investment Dispute” (IID) means a disputebetween an investor and a State or a Regional Economic IntegrationOrganization (REIO) [or any constituent subdivision or agency of aState or a REIO] submitted for resolution pursuant to: (i) a treatyproviding for the protection of investments or investors;(ii) legislation governing foreign investments; or (iii) aninvestment contract;\n(b) “Arbitrator” means a person who is a member of an arbitraltribunal or an ICSID ad hoc Committee who is appointed to resolvean IID;\n(c) “Judge” means a person who is a member of a standing mechanismfor the resolution of an IID;\n (d) “Adjudicator” means an Arbitrator or a Judge; \n(e) “Candidate” means a person who has been contacted regardingpotential appointment as an Arbitrator, but who has not yet [beenappointed] [accepted the appointment], or a person who is underconsideration for appointment as a Judge, but who has not yet beenconfirmed in such role; and\n(f) “Assistant” means a person working under the direction andcontrol of an Adjudicator to assist with case-specific tasks [, asagreed with the disputing parties];\n(g) “Ex parte communication” means any communication by a Candidateor an Adjudicator with a disputing party, its legal representative,affiliate, subsidiary or other related person concerning the IID,without the presence or knowledge of the other disputing party orparties.",
"Note to the Working Group",
"10. The order of the definitions has been revised to enhance coherence and consistency. The definition of ex parte communication has been included in the article, while it previously appeared in article 7 (see para. 41 below).",
"11. The words “for resolution” have been inserted after the words “submitted” in subparagraph (a) to indicate the purpose of the submission. To ensure consistency, subparagraph (c) also refers to the “resolution” of the IID instead of its “settlement”.",
"12. The terms “arbitrator” and “judge” are defined in article 1 as those who are current members of an arbitral tribunal or a standing mechanism. Therefore, it might not be necessary to include a specific temporal scope of their respective obligations in the following articles of the Code. Such phrases have been placed within square brackets or deleted in the respective articles for consideration by the Working Group (for example, articles 3(1), 7 and 10, see paras. 20 and 42 below).",
"13. With respect to subparagraph (e), the Working Group may wish to note that in the ICSID context, a person does not become a member of an arbitral tribunal until he or she accepts the appointment and that acceptance has been notified by ICSID. To allow for such practice, the Working Group may wish to replace the words “who has not yet been appointed” with the words “who has not yet accepted the appointment” (see para. 65 below).",
"14. With regard to subparagraph (f), the Commentary could explain that the usual practice is that the disputing parties are consulted about the identity of the assistant and the tasks to be performed by the assistant. Therefore, the Working Group may wish to consider whether it would be necessary to retain the phrase “as agreed with the disputing parties” in the definition.",
"Article 2 – Application of the Code",
"1. The Code applies to [an Adjudicator or a Candidate in] an IIDproceeding. The Code may be applied in any other dispute byagreement of the disputing parties.\n2. If the instrument upon which consent to adjudicate is basedcontains provisions on the conduct of an Adjudicator or a Candidatein an IID proceeding, the Code shall [be construed ascomplementing] [complement] such provisions. In the event of anyinconsistency between the Code and such provisions, the lattershall prevail to the extent of the inconsistency.\n3. An Adjudicator shall take all reasonable steps to ensure thathis or her Assistant is aware of and complies with the Code,including by requiring the Assistant to sign a declaration that heor she has read and will comply with the Code.",
"Note to the Working Group",
"15. As the Code is to apply to individuals involved in the resolution of IIDs and not to the IID itself, the Working Group may wish to insert the words “an Adjudicator or a Candidate” in paragraph 1. Paragraph 1 has been split into two sentences, with the second sentence aiming to reflect the understanding of the Working Group that it would be possible for the disputing parties to agree on the application of the Code to any other types of disputes, including between States.",
"16. The first sentence of paragraph 2 has been simplified by referring to “provisions on the conduct of an Adjudicator or a Candidate” instead of “provisions on ethics or a code of conduct for Adjudicators or Candidates”. This is because the term “ethics” might be unclear and the use of the word “code” with the word “the Code” in the same sentence might be confusing. The second sentence has also been simplified to refer to “any inconsistency between the Code and such provisions” rather than “an inconsistency between an obligation of the Code and an obligation in the instrument upon which consent to adjudicate is based”.",
"17. The Working Group may wish to note that whereas paragraph 2 refers to “the instrument upon which consent to adjudicate is based”, other articles of the Code make reference to “the applicable rules or treaty” (for example, articles 7 to 11). Considering that there may be an overlap between the two notions, the Working Group may wish to consider whether the current distinction is appropriate and whether it would be sufficient to address the relationship in the Commentary.",
"18. The Working Group may wish to consider how best to express the complementary nature of the Code as the words “shall be construed as complementing” in paragraph 2 might be understood as merely providing guidance on interpretation. Another option would be to retain only the second sentence of paragraph 2 for the purposes of indicating the rule on which provision shall prevail in case of any inconsistency.",
"19. With regard to the application of the Code, the Working Group may wish to consider the extent to which the disputing parties would be able to exclude or vary the provisions of the Code (see paras. 24–26 below).",
"Article 3 – Independence and Impartiality",
"1. An Adjudicator shall be independent and impartial [at the timeof acceptance of appointment or confirmation and shall remain sountil the conclusion of the IID proceeding or until the end of hisor her term of office].\n 2. Paragraph 1 includes the obligation not to: \n(a) Be influenced by loyalty to a disputing party, a non-disputingparty, anon-disputing Treaty Party, or any of their legal representatives;\n(b) Take instruction from any organization, government, orindividual regarding any matter addressed in the IID proceeding;\n(c) Allow any past or present financial, business, professional orpersonal relationship to influence his or her conduct [orjudgment];\n(d) Use his or her position to advance [any significant] [a]financial or personal interest he or she might have in one of thedisputing parties or in the outcome of the IID proceeding;\n(e) Assume a function or accept a benefit that would interfere withthe performance of his or her duties; or\n(f) Take any action that creates the appearance of a lack ofindependence or impartiality.",
"Note to the Working Group",
"20. The Working Group may wish to consider whether the temporal scope provided for in paragraph 1 (the square bracketed language) is necessary considering the definition of “arbitrator” and “judge” in article 1. The retention of the phrase in square brackets may raise issues, particularly with regard to the “conclusion” of the IID proceeding, which would differ depending on the case at hand (see para. 28 below). For example, questions might arise whether an arbitrator who has resigned or has been disqualified would continue to be bound by article 3 if the IID proceedings were to continue.",
"21. With regard to subparagraph (a), the Working Group may wish to provide guidance on the meaning of the term “loyalty” and from whose perspective loyalty should be assessed, both of which could be elaborated in the Commentary.",
"22. With regard to subparagraph (c), the Working Group may wish to delete the phrase “or judgment” as that would likely be covered by the word “conduct”. In order to align the drafting with that of subparagraph (a), the Working Group may also wish to consider modifying subparagraph (c) as follows: “Be influenced by any past or present financial, business, professional or personal relationship”.",
"23. With regard to subparagraph (d), the Working Group may wish to consider replacing the words “any significant” with the word “a”. This is because it is the fact that the position is used to advance financial or personal interest that is problematic rather than the extent or level of the interest sought. The Commentary could, however, elaborate that where the interest unintentionally gained by the adjudicator was trivial or de minimis, it would not necessarily amount to a breach of subparagraph (d).",
"Article 4 – Limit on multiple roles",
"[Paragraphs applicable to Arbitrators only] \n1. Unless the disputing parties agree otherwise, an Arbitratorshall not act concurrently [and within a period of three yearsfollowing the conclusion of the IID proceeding,] as a legalrepresentative or an expert witness in another IID proceeding [orany other proceeding] involving:\n (a) The same measure(s); \n (b) The same or related party(parties); or \n (c) The same provision(s) of the same treaty. \n2. [Unless the disputing parties agree otherwise,] an Arbitratorshall not act concurrently [and within a period of three yearsfollowing the conclusion of the IID proceeding] as a legalrepresentative or an expert witness in another IID proceeding [orany other proceeding] involving legal issues which aresubstantially so similar that accepting such a role would be inbreach of article 3.\n [Paragraphs applicable to Judges only] \n3. A Judge shall not exercise any political or administrativefunction. He or she shall not engage in any other occupation of aprofessional nature which is incompatible with his or herobligation of independence or impartiality, or with the demands of[a full-time] [term of] office. In particular, a Judge shall notact as a legal representative or expert witness in another IIDproceeding.\n4. A Judge shall declare any other function or occupation to the[President] of the standing mechanism. Any question [on theapplication of] [regarding] paragraph 3 shall be settled by thedecision of the standing mechanism.\n5. A former Judge shall not become involved in any manner in an IIDproceeding before the standing mechanism, which was pending, orwhich he or she had dealt with, before the end of his or her termof office.\n6. A former Judge shall not act as a legal representative of adisputing party or [third][non-disputing] party [in any capacity]in an IID proceeding initiated after his or her term of officebefore the standing mechanism for a period of three years followingthe end of his or her term of office.",
"Note to the Working Group",
"Derogation and modification by the disputing parties",
"24. With regard to the phrase “unless the disputing parties agree otherwise” in paragraph 1, the Working Group may wish to consider the extent to which the disputing parties may waive the application of paragraph 1. A related question would be whether the same phrase should be replicated in paragraph 2 or whether the obligation in that paragraph is one that cannot be waived by the disputing parties. With regard to paragraph 2, the Working Group may wish to confirm that it would be the arbitrator that would need to determine whether the legal issues are substantially so similar.",
"25. The Working Group may wish to consider further whether the disputing parties are free to agree to deviate from other articles of the Code. If so, one approach could be to revise article 2(1) as follows: “The Code applies to an Adjudicator or a Candidate in an IID proceeding subject to any modifications as the disputing parties may agree.” Another approach would be to include a paragraph in article 2 or 11 stating: “The disputing parties may agree to exclude the application of the Code or derogate from or vary the effect of its provisions”. This would avoid the need to repeat the phrase “unless the disputing parties agree otherwise” in the relevant articles.",
"26. However, the ability of the disputing parties to derogate and modify the application of the Code might need to be restricted with regard to certain articles (for example, article 3) and may be further restricted if the instrument upon which consent to adjudicate is based (for example, a treaty) provides so in accordance with article 2(2). Furthermore, the Working Group may wish to consider whether the disputing parties would be able to exclude or modify the application of the Code in the context of a standing mechanism.",
"Temporal scope of the limitation",
"27. The Working Group may wish to consider whether to retain the three-year period as provided for in square brackets in paragraphs 1 and 2, or any other period of time following the IID proceeding.",
"28. If the Working Group were to retain such a period of time, it would be necessary to clarify when that period commences. This is because the “conclusion of the IID proceeding” referred to in paragraphs 1 and 2 could differ depending on the circumstances of the case, thus making it difficult to implement.",
"29. Article 4 would be an instance where the obligation of an adjudicator extends beyond his or her term (similar to article 8 on confidentiality). In other words, the article would aim to regulate the conduct of a former adjudicator. The Working Group may wish to consider this issue in light of the definition of “arbitrator” and “judge” in article 1 and the scope of application in article 2(1) (see paras. 12 and 20 above).",
"30. The Working Group may wish to also consider how article 4 would apply to an arbitrator who had been disqualified or had resigned from an IID proceeding. Such an individual would no longer be subject to the concurrent limitation in article 4 as he or she is no longer an Arbitrator in accordance with article 1(b). On the other hand, imposing the three-year limitation “following” the conclusion of the IID proceeding might inadvertently result in the individual being able to freely act as a legal representative or an expert witness until the conclusion of that proceeding and the limitation commencing only after the proceeding. As article 4 limits the participation in “another” IID proceeding, it may also be possible for the arbitrator who had been disqualified or had resigned to act as a legal representative or an expert witness in the same IID proceeding.",
"31. Accordingly, the Working Group may wish to clarify the extent to which the Code should regulate the conduct of former adjudicators. One way to do so would be to use the formulation in paragraphs 5 and 6 (“former” judge) and refer also to “former” arbitrator in the context of paragraphs 1 and 2. In any case, the Working Group may wish to provide guidance on how any remedy can be enforced on an individual who is no longer an “Adjudicator” within the meaning of the Code as well as the relationship between articles 3 and 4.",
"Other issues",
"32. While a suggestion had been made to include the words “a Judge” before the words “a legal representative” in paragraphs 1 and 2, both paragraphs aim to regulate the practice of double-hatting, where one individual functions both in an advocacy role and an adjudicatory role. Therefore, the paragraphs would not aim to prevent an arbitrator from taking another case as an adjudicator. Instead, whether an arbitrator can act concurrently as a judge would likely be regulated by the terms of office of the judge. The Working Group may wish to confirm this understanding and consider whether an additional paragraph should be included in article 4 preventing a judge from acting as an arbitrator, which would have the same effect.",
"33. With regard to subparagraph 1(c), the Working Group may wish to consider the effect such regulation could have with regard to multilateral treaties (for example, the Energy Charter Treaty).",
"34. The Working Group may wish to consider providing guidance as to the meaning and scope of the term “same” that is used throughout subparagraphs 1 (a) to (c), as the factors for identification might differ between “measures”, “parties” and “provisions”.",
"Article 5 – Duty of diligence",
"[Paragraph applicable to Arbitrators only] \n 1. An Arbitrator shall: \n(a) Perform his or her duties diligently throughout the IIDproceeding;\n (b) Devote sufficient time to the IID proceeding; \n (c) Render all decisions in a timely manner; \n[(d) Refuse concurrent obligations that may impede his or herability to perform the duties under the IID proceeding in adiligent manner;] and\n (e) Not delegate his or her decision-making function. \n [Paragraph applicable to Judges only] \n2. A Judge shall perform the duties of his or her office diligentlyconsistent with the terms of office.",
"Note to the Working Group",
"35. The Working Group may wish to consider whether subparagraph (d) could be deleted as it would be covered by subparagraph (a) or retained as a separate paragraph in order to make the obligation explicit. If subparagraph (d) is deleted, the Commentary could explain that under subparagraph (a), an arbitrator shall refuse such concurrent obligations.",
"36. The Working Group may wish to consider whether subparagraph (e) might be placed in article 6 as the obligation to not delegate decision-making function would fit better as an obligation of integrity. This could be further elaborated in the Commentary.",
"37. The Working Group may wish to further confirm that a breach of the obligations in articles 5 and 6 could be presented as a fact when a disputing party asserts that the obligation of independence or impartiality in article 3 had been breached.",
"Article 6 – [Integrity and competence]",
"1. An Adjudicator shall: \n(a) Conduct the IID proceedings in accordance with high standardsof integrity, fairness[, civility] and competence;\n (b) Treat all participants in the IID proceeding with civility; and\n(c) Make best efforts to maintain and enhance the knowledge, skillsand qualities necessary to perform his or her duties.\n [Paragraph applicable to Arbitrator candidates only] \n2. A Candidate shall accept an appointment only if he or she hasthe necessary competence and skills, and is available to performthe duties of an Arbitrator.\n [Paragraph applicable to Judge candidates only] \n3. A Candidate shall possess the necessary competence and skills toperform the duties of a Judge.",
"Note to the Working Group",
"38. The Working Group may wish to confirm that the proposed heading of article 6, “Integrity and competence” is adequate as a replacement for the previous heading “Other duties”.",
"39. The Working Group may wish to consider whether subparagraph (b) is necessary if the additional wording in square brackets were to be inserted in subparagraph (a).",
"40. The Working Group may wish to consider whether paragraphs 2 and 3 would need to be retained in article 6 considering that paragraph 2 requires the Arbitrator candidate to make a self-judgment on his or her competence and skills, and that the necessary competence and skills of a Judge candidate would likely be assessed in the selection phase. The Working Group may wish to consider this question in conjunction with the question on whether to include article 11(2) in the Code (see para. 67 below).",
"Article 7 – Ex parte communication",
"[Paragraphs applicable to Arbitrators and Arbitrator candidatesonly]\n 1. Ex parte communication is prohibited except: \n(a) To determine the Candidate’s expertise, experience, competence,skills, availability, and the existence of any potential conflictsof interest;\n(b) To determine the expertise, experience, competence, skills,availability, and the existence of any potential conflicts ofinterest of a Candidate for presiding Arbitrator, if the disputingparties so agree;\n(c) If permitted by the applicable rules or treaty or by agreementof the disputing parties.\n2. In any case, ex parte communication shall not address anyprocedural or substantive issue relating to the IID proceeding orthose that a Candidate or an Arbitrator can reasonably anticipatewill arise in the IID proceeding.\n [Paragraph applicable to Judges and Judge candidates only] \n 3. Ex parte communication is prohibited.",
"Note to the Working Group",
"41. Article 7 has been revised to clarify the default rule regarding ex parte communication as well as the exceptions thereto. The definition of “ex parte communication” is now provided in article 1(g) and has been slightly redrafted to read: “Ex parte communication means any communication by a Candidate or an Adjudicator with a disputing party, its legal representative, affiliate, subsidiary or other related person concerning the IID, without the presence or knowledge of the other disputing party or parties.”",
"42. While the previous version of article 7 had a temporal scope on when ex parte communication would be prohibited (“prior to the initiation of the IID proceeding and until the conclusion thereof”), that phrase had been deleted considering the definition of the terms “candidate”, “arbitrator” and “judge” (see para. 12 above). The deletion of that phrase would also avoid needing to make a reference to the “conclusion” of the IID proceeding, which posed some concerns (see paras. 20 and 27–31 above).",
"43. The Working Group may wish to confirm that it would be possible for an arbitrator who had rendered the award or had been disqualified to engage with the parties as they would no longer be bound by article 7. Otherwise, it would be necessary to stipulate a time period during which ex parte communication would be prohibited similar to article 4.",
"44. The Working Group may wish to confirm that subparagraph 1(b) would allow an arbitrator appointed by a disputing party (or an arbitrator candidate to be appointed by a disputing party) to discuss with the disputing party or its legal representative the qualifications of a potential candidate for the presiding arbitrator. Yet this would be subject to the agreement of the other disputing party that this can be done. However, if the condition (the disputing parties so agree) is met, such a discussion might not fall under the definition of ex parte communication as the other disputing party would be aware of the communication.",
"45. The Working Group may wish to confirm that a complete prohibition of ex parte communication for Judges and Judge candidates as provided in paragraph 3 is appropriate.",
"Article 8 – Confidentiality",
"1. A Candidate and an Adjudicator shall not disclose or use anyinformation concerning, or acquired in connection with, an IIDproceeding unless:\n(a) The information is publicly available [in accordance with theapplicable rules or treaty,]; or\n(b) Permitted under the applicable rules or treaty or by agreementof the disputing parties.\n2. An Adjudicator shall not disclose the contents of thedeliberations in the IID proceeding [or any view expressed duringthe deliberation].\n3. An Adjudicator shall not comment on a decision in the IIDproceeding [unless it is publicly available].\n4. An Adjudicator shall not disclose any draft decision in the IIDproceeding.\n5. The obligations in this article shall survive the IID proceeding[and continue to apply indefinitely].\n6. The obligations in this article shall not apply to the extentthat a Candidate or Adjudicator is legally compelled to disclosethe information in a court or other competent body or needs todisclose such information to protect his or her rights in a courtor other competent body.",
"Note to the Working Group",
"46. Paragraph 1 has been revised to provide a clearer rule on the exceptions to the obligation of confidentiality. The words “except for the purposes of that proceeding” have been deleted as the article does not intend to regulate such disclosure, which are inherently allowed. The Commentary could further elaborate on this point. It should be noted that if that phrase is re-introduced in paragraph 1, it would also need to be replicated in the other paragraphs.",
"47. The Working Group may wish to consider the extent to which the information being “publicly available” would form an exception in subparagraph 1(a). The square bracketed language suggests that only when the information is publicly available in accordance with the applicable rules or treaty, the non-disclosure obligation in paragraph 1 would be lifted. In other words, if the information is available to the public de facto (for example, it was leaked in violation of the applicable rules or treaty or was posted on a public website by a third party), this would not fall under the exception in subparagraph 1(a). The Working Group may wish to confirm this understanding.",
"48. The Working Group may wish to consider whether the exception in subparagraph 1(b) should also apply to paragraphs 2 to 4. If so, it might be preferable to provide for a general exception similar to paragraph 6 along the following lines: “The obligations in this article shall not apply to the extent permitted under the applicable rules or treaty or by agreement of the disputing parties.”",
"49. The Working Group may wish to delete the words “or any view expressed during the deliberation” in paragraph 2, as such views would form part of the “contents” of the deliberation.",
"50. Paragraphs 3 and 4 have been revised in light of the fact that whether or not the adjudicator has participated or taken part in the rendering of the decision is not a factor to be considered when imposing the obligation. Therefore, the words “in which they participated” in paragraph 3 and “prior to rendering it and any decision they have rendered” in paragraph 4 have been deleted.",
"51. With regard to paragraph 3 addressing the obligation to not comment on a decision, the Working Group may wish to consider: (i) whether the obligations should be limited to “prior to the conclusion of the IID proceeding” which would allow the adjudicator to comment on a decision after the proceeding; and (ii) whether the decision being publicly available (currently in square brackets) should be an element to be taken into account. With regard to the latter, if the words “unless it is publicly available” were to be retained, the formulation in paragraph 1(a) should be used (see para. 47 above).",
"52. Considering that a “draft decision” referred to in paragraph 4 falls under “any information concerning, or acquired in connection with, an IID proceeding” referred to in paragraph 1, the Working Group may wish to consider deleting the paragraph leaving it to the Commentary to explain this aspect.",
"53. Paragraph 5 has been revised to avoid referring to the “conclusion” of the proceedings (see paras. 20 and 30 above). The Working Group may wish to delete the words in square brackets “and continue to apply indefinitely” as they might be redundant. The Working Group may wish to consider how the obligation in paragraph 5 would be enforced as the individual would not be subject to the Code following the IID proceeding (see paras. 30–31 above).",
"Article 9 – Fees and expenses",
"[Article applicable to Arbitrators and Arbitrator Candidates only] \n1. Any proposal concerning fees and expenses shall be communicatedto the disputing parties through the institution administering theproceeding. If there is no administering institution, such proposalshall be communicated by the sole or presiding Arbitrator.\n2. [Unless the applicable rules or treaty provide otherwise,] aCandidate or an Arbitrator shall conclude any discussion concerningfees and expenses with the disputing parties before [or immediatelyupon] the constitution of the arbitral tribunal.\n3. An Arbitrator shall conclude any discussion concerning the feesand expenses of an Assistant with the disputing parties prior toengaging any Assistant.\n4. An Arbitrator shall keep an accurate record of his or her timeand expenses attributable to the IID proceeding and ensure that anAssistant also keeps an accurate record of the time and expense.\n5. An Arbitrator shall make such records available when requestingthe disbursement of funds or upon the request of a disputing party.",
"Note to the Working Group",
"54. Article 9 has been restructured to set out the process of determining the fees and expenses in the sequence they usually occur. The Working Group may wish to first confirm that the order of the paragraphs is adequate and that it would only be applicable to Arbitrators and Arbitrator candidates.",
"55. The Working Group may wish to confirm that paragraph 2 reflects best practice – that it would be ideal if the discussions concerning fees and expenses are not only conducted but also concluded prior to the constitution of the arbitral tribunal. If so, the Working Group may wish to consider deleting the square bracketed language “or immediately upon”. The Commentary could, however, explain that such discussions could take place immediately upon the constitution, for example, at the first procedural meeting.",
"56. With regard to paragraph 4, the Working Group may wish to consider whether the responsibility to keep an accurate record of time and expenses spent by any assistant lies with the arbitrator or the assistant. In any case, the arbitrator should put in place a mechanism to ensure that an assistant does so. This could be explained in the Commentary.",
"57. The Working Group may wish to consider whether the reasonableness of fees should be addressed in the Code or in the Commentary, as this would be reflective of best practice. For instance, it is addressed in article 41(1) of the UNCITRAL Arbitration Rules. The Commentary could explain that the reasonableness of fees and expenses would depend on the amount in dispute, the complexity of the subject-matter, the time spent by arbitrators and any other relevant circumstances of the case.",
"Article 10 – Disclosure obligations",
"[Article applicable to Arbitrators and Arbitrator candidates only] \n1. A Candidate and an Arbitrator shall disclose any circumstanceslikely to give rise to justifiable doubts [, including in the eyesof the disputing parties,] as to his or her independence orimpartiality.\n 2. The following information shall be included in the disclosure: \n(a) Any financial, business, professional, or personal relationshipin the past five years with:\n(i) Any disputing party or an entity identified by a disputingparty;\n(ii) The legal representative(s) of a disputing party in the IIDproceeding;\n(iii) Other Arbitrators and expert witnesses in the IID proceeding;and\n(iv) [Any entity identified by a disputing party as having a director indirect interest in the outcome of the IID proceeding,including a third-party funder];\n (b) Any financial or personal interest in: \n (i) The outcome of the IID proceeding; \n (ii) Any other IID proceeding involving the same measure(s); and \n(iii) Any other proceeding involving a disputing party or an entityidentified by a disputing party;\n(c) All IID and related proceedings in which the Candidate or theArbitrator is currently or has been involved in the past five yearsas an Arbitrator, a legal representative or an expert witness; and\n(d) Any appointment as an Arbitrator, a legal representative, or anexpert witness by a disputing party or its legal representative(s)in an IID or any other proceeding in the past five years.\n3. [For the purposes of paragraphs 1 and 2,] A Candidate and anArbitrator shall make [reasonable][best] efforts to become aware ofsuch circumstances [, interests, and relationships].\n4. A Candidate and an Arbitrator shall err in favour of disclosureif they have any doubt as to whether a disclosure shall be made.\n5. A Candidate and an Arbitrator shall make the disclosure usingthe form in the annex prior to or upon [acceptance of the]appointment to the disputing parties, other Adjudicators in the IIDproceeding, any administering institution and any other personsprescribed by the applicable rules or treaty.\n6. An Arbitrator shall have a continuing duty to make furtherdisclosures based on new or newly discovered information as soon ashe or she becomes aware of such information.\n7. The fact of non-disclosure does not in itself establish [a lackof impartiality or independence] [a breach of article 3 to 6 of theCode].\n8. The disputing parties may waive their respective rights to raisean objection with respect to circumstances that were disclosed.",
"Note to the Working Group",
"58. Article 10 has been revised to apply only to Arbitrators and Arbitrator candidates. The Working Group may wish to confirm the extent to which the paragraphs would apply to Judges and Judge candidates. A comparative table is provided as an appendix to this Note to assist the Working Group’s consideration.",
"59. The Working Group may wish to address the relationship between the two different standards in paragraph 1 and the possible inconsistency (“likely to give rise to justifiable doubts”, provided, for instance, in article 11 of the UNCITRAL Arbitration Rules, and “in the eyes of the disputing parties”), which would make it difficult for arbitrators and arbitrator candidates to understand the extent to which disclosure shall be made.",
"60. The Working Group may wish to consider a situation where the arbitrator did not disclose a circumstance with the belief that a reasonable third person would not question his or her independence or impartiality based on that circumstance, but a disputing party considers it as raising doubts. The Working Group may wish to consider specifying the highest threshold rather than incorporating two standards.",
"61. The Working Group may wish to confirm that the information listed in paragraph 2 needs to be disclosed even if it is not so required under paragraph 1. In other words, regardless of whether the information to be provided in accordance with paragraph 2 is likely to give rise to justifiable doubts as to the arbitrator’s independence or impartiality, the arbitrator would be required to disclose such information. This can be further elaborated in the Commentary.",
"62. The Working Group may wish to consider whether the reference to “an entity identified by a disputing party” in subparagraphs (a)(i) and (b)(iii) is appropriate. The Commentary could explain that the word “entity” would cover both legal and natural persons. In that context, the Working Group may wish to consider whether the formulation in subparagraph (a)(iv) is appropriate.",
"63. The Working Group may wish to delete the words in square brackets at the beginning of paragraph 3 as the need to make reasonable/best efforts applies throughout the article and is not necessarily limited to paragraphs 1 and 2. The Working Group may wish to decide whether to use the term “reasonable” or “best”. For reference, article 6(1)(c) refers to “best efforts to maintain and enhance the knowledge, skills and qualities necessary to perform his or her duties”. The Working Group may wish to also consider whether the word “circumstance” is broad enough to cover the list of items mentioned in paragraph 2 (relationship, interests, proceedings, appointment).",
"64. The Working Group may wish to note that paragraph 4 (formerly numbered paragraph 5) was moved and placed closer to paragraph 3, as both paragraphs deal with the manner in which an arbitrator or a candidate shall make the disclosure in accordance with paragraphs 1 and 2.",
"65. The Working Group may wish to insert the words “acceptance of the” in paragraph 5 in light of the ICSID practice (see para. 13 above).",
"66. Paragraph 7 aims to clarify that non-compliance with the disclosure requirements in article 10 does not necessarily amount to a breach of other provisions in the Code, in particular with regard to the obligation of independence and impartiality in article 3. The Working Group may wish to determine which formulation is to be used, including whether to refer to specific articles of the Code.",
"Article 11 – Compliance with the Code",
"1. An Adjudicator and a Candidate shall comply with the applicableprovisions of the Code.\n[2. A Candidate shall not accept an appointment and an Adjudicatorshall resign or recuse him/herself from the IID proceeding if he orshe is not in a position to comply with the applicable provisionsof the Code.]\n3. Any disqualification and removal procedure, or any sanction andremedy, provided for in the applicable rules or treaty shall [applyto the Code] [continue to apply irrespective of the Code].\n4. An Adjudicator shall remove an Assistant who is in breach of theCode.",
"Note to the Working Group",
"67. The Working Group may wish to consider whether paragraph 1 is necessary. Paragraph 2 was added to highlight how candidates and adjudicators should act in the case of non-compliance or the likeliness of non-compliance. While it would be a voluntary obligation that would not be subject to any remedy under the Code, the Working Group may wish to consider whether to retain the text and if so, whether articles 6(2) and (3) are necessary (see para. 40 above).",
"68. The Working Group may wish to consider whether paragraph 3 captures the understanding of the Working Group that any challenge procedure (including standards for challenge) or any remedy provided for in the applicable rules or treaty would continue to apply to the adjudicator. Accordingly, non-compliance with an article of the Code would not in itself form the basis for such challenge or remedy, which would be provided for in the applicable rules or treaty.",
"69. The Working Group may wish to consider whether paragraph 4 is appropriate considering that the Code does not contain specific articles applicable to assistants. In addition, the Working Group may wish to consider what would be the consequences of adjudicator’s non-compliance with paragraph 4.",
"Annex to the Code of Conduct – Declaration and disclosure form",
"Annex to the Code of Conduct \n Declaration, Disclosure and Background Information \n1. I acknowledge that I have read and understood the attached Codeof Conduct and I undertake to comply with it.\n2. To the best of my knowledge, there is no reason why I should notserve as [Arbitrator][Judge] in this proceeding. I am impartial andindependent and have no impediment arising from the Code ofConduct.\n 3. I attach my current curriculum vitae to this declaration. \n4. In accordance with Article 10 of the Code of Conduct, I wish tomake the following disclosure and provide the followinginformation:\n [INSERT AS RELEVANT] \n5. I confirm that as of the date of this declaration, I have nofurther circumstance or information to disclose. I understand thatI shall make further disclosures based on new or newly discoveredinformation as soon as I become aware of such information.",
"Note to the Working Group",
"70. The Working Group may wish to confirm that the following declaration would be presented in the Annex to the Code.",
"Appendix – Disclosure obligation for Judges and Judge candidates",
"Article 10 – Disclosureobligation\t\nFor Arbitrators and Arbitratorcandidates\tFor Judges and Judge candidates\n1. A Candidate and an Arbitratorshall disclose any circumstanceslikely to give rise tojustifiable doubts [, includingin the eyes of the disputingparties,] as to his or herindependence or impartiality.\t<Same> except for the clause “inthe eyes of the disputingparties” which would not beapplicable to Judges and Judgecandidates2. The following informationshall be included in thedisclosure:\t* A Judge shall include thefollowing information in thedisclosure: (a) Any financial, business,professional, or personalrelationship in the past fiveyears with:\t(a) Any financial, business,professional, or personalrelationship in the past fiveyears with: (i) Any disputing party or anentity identified by a disputingparty;\t(i) Any disputing party or anentity identified by a disputingparty; (ii) The legal representative(s)of a disputing party in the IIDproceeding;\t(ii) The legal representative(s)of a disputing party in the IIDproceeding; \n(iii) Other Arbitrators andexpert witnesses in the IIDproceeding; and(iv) [Any entity identified by adisputing party as having adirect or indirect interest inthe outcome of the IIDproceeding, including athird-party funder];(b) Any financial or personalinterest in:(i) The outcome of the IIDproceeding;\t(iii) Expert witnesses in the IIDproceeding; and(iv) [Any entity identified by adisputing party as having adirect or indirect interest inthe outcome of the IIDproceeding, including athird-party funder];(b) Any financial or personalinterest in:(i) The outcome of the IIDproceeding;(ii) Any other IID proceedinginvolving the same measure(s);and\t(ii) Any other IID proceedinginvolving the same measure(s);and \n(iii) Any other proceedinginvolving a disputing party oran entity identified by adisputing party;\t(iii) [Does not apply]\n(c) All IID and relatedproceedings in which theCandidate or the Arbitrator iscurrently or has been involvedin the past five years as anArbitrator, a legalrepresentative or an expertwitness; and(d) Any appointment as anArbitrator, a legalrepresentative, or an expertwitness by a disputing party orits legal representative(s) inan IID or any other proceedingin the past five years.\t* A Judge candidate shall includethe following information in thedisclosure:(c) All IID and relatedproceedings in which theCandidate is currently or hasbeen involved in the past fiveyears as an Arbitrator, a legalrepresentative or an expertwitness; and(d) [Does not apply]\n3. [For the purposes ofparagraphs 1 and 2,] A Candidateand an Arbitrator shall make[reasonable][best] efforts tobecome aware of suchcircumstances[, interests, andrelationships].\t<Same>\n4. A Candidate and an Arbitratorshall err in favour ofdisclosure if they have anydoubt as to whether a disclosureshall be made.\t\n5. A Candidate and an Arbitratorshall make the disclosure usingthe form in the Annex prior toor upon appointment to thedisputing parties, otherAdjudicators in the IIDproceeding, any administeringinstitution and any otherpersons prescribed by theapplicable rules or treaty.\t5. A Candidate shall make thedisclosure [using the form in theAnnex] to the standing mechanismprior to or upon confirmation asa Judge.\n6. An Arbitrator shall have acontinuing duty to make furtherdisclosures based on new ornewly discovered information assoon as he or she becomes awareof such information.\t6. A Judge shall make thedisclosure [using the form in theAnnex] to [the President] of thestanding mechanism as soon as heor she becomes aware of thecircumstances mentioned inparagraph 1 and shall have acontinuing duty to make furtherdisclosures based on new or newlydiscovered information as soon ashe or she becomes aware of suchinformation.\n7. The fact of non-disclosuredoes not in itself establish [alack of impartiality orindependence] [a breach ofarticle 3 to 6 of the Code].\t<Same>\n8. The disputing parties maywaive their respective rights toraise an objection with respectto circumstances that weredisclosed.\t<Does not apply>",
"[1] Informal meetings on the code of conduct took place on 18 November 2020, 3–4 and 8 March 2021, 7–10 June 2021, 6–10 December 2021, 20 January 2022, 23–24 March 2022 and 7–10 June 2022 (see https://uncitral.un.org/en/codeofconduct). The purpose of the meetings was to present the draft working papers on the code of conduct prepared by the secretariats for the sessions of Working Group III, to support the secretariats in the preparation of the working papers, and to support delegations in their preparation for the sessions. No decisions were taken at those meetings."
] | A_CN.9_WG.III_WP.216 | [
"United Nations Commission on International Trade Law",
"Working Group III (reform of the investor-State dispute settlement system)",
"Forty-third session",
"Vienna, 5-16 September 2022",
"Possible reform of the investor-State dispute settlement system",
"Draft code of conduct",
"Note by the Secretariat",
"Contents",
"2. Article 2 - Application of the Code 4 - 5 Independence and impartiality 4 - 6 Limitations on multiple roles 5 - 8 Obligation to be diligent 6 - [good faith and capacity] 8 - Article 7 - Unilateral communications 9 - Article 8 - 10 Confidentiality 9 - Costs and expenses 11 - Article 10 - Disclosure obligation 11 - Article 14 Compliance with the Code",
"Introduction",
"At its thirty-seventh session, in April 2019, the Working Group requested the Secretariat to prepare, jointly with the secretariat of the International Centre for Settlement of Investment Disputes (ICSID), a code of conduct. It was noted that such work could include how such codes could be implemented in existing investment dispute settlement regimes and in the context of possible structural reforms, as well as how obligations under such codes could be enforced, in particular when arbitrators or adjudicators ceased to perform their duties or their terms of office terminated (A/CN.9/970, para. 84).",
"At its thirty-eighth session, in October 2019, on the basis of background information provided by the two secretariats (A/CN.9/WG.III/WP.167), there was general support for the development of a code of conduct, at which time the Working Group provided specific instructions on how to proceed (A/CN.9/1004^(*), paras. A draft code of conduct was prepared for the fortieth session of the Working Group in February 2021 (A/CN.9/WG.III/WP.201), but deliberations were deferred to a future session owing to the limited time available at that session (A/CN.9/1050, para. 116).",
"At its forty-first session, in November 2021, the Working Group considered articles 1 to 8 of the draft code of conduct on the basis of a draft prepared by two Secretariats (A/CN.9/WG.III/WP.209). The Working Group also had before it notes by two secretariats on enforcement and enforcement methods (A/CN.9/WG.III/WP.208). Based on the deliberations at that session (A/CN.9/1086, paras. 17-143), a revised version of articles 1 to 8 was prepared and submitted to the next session (A/CN.9/1092, annex).",
"At its forty-second session, in February 2022, the Working Group considered articles 9 to 11 of the Code of Conduct as contained in document A/CN.9/WG.III/WP.209. Although the Working Group undertook a first reading of the Code, it was unable to submit a draft for consideration by the Commission (A/CN.9/1092, paras. 79-130). The Working Group therefore requested the two secretariats to prepare a revised version of the code and accompanying commentary for the next session, to be held in the second half of 2022 (A/CN.9/1092, para. 129).",
"5. During the above-mentioned period and following the forty-second session, several informal meetings were held to consider the content and format of the Code. A series of meetings were held between the two secretariats to ensure consistency in the text and to identify policy issues for clarification by the Working Group.",
"The present note contains a revised version of the Code of Conduct for International Investment Disputes Procedure Adjudicators (hereinafter referred to as “the Code”), prepared jointly by the secretariats of ICSID and UNCITRAL, which reflects the decisions and deliberations of previous sessions of the Working Group. In order to assist the Working Group in its deliberations, each article was followed by a note indicating issues requiring further consideration and decision by the Working Group.",
"7. Since the Working Group agreed to consider in parallel the provisions applicable to arbitrators and judges (A/CN.9/1086, para. 27), the code included both those applicable to arbitrators and those applicable to judges, specifying, where necessary, that the article or paragraphs therein applied only to arbitrators or judges. The Working Group may wish to consider the manner in which the code should be presented to the Commission, including whether different structures should be adopted. The Working Group may wish to ensure that the provisions of the Code are clear, so that potential adjudicators can clearly understand and comply with the obligations contained therein, in particular because they have limited knowledge of the parties to the dispute and of the dispute.",
"The Working Group may wish to note that the two secretariats are in the process of preparing a commentary to the code (“the commentary”) with a view to clarifying the content of each article, discussing practical implications and providing examples (A/CN.9/1086, para.",
"The Working Group may wish to consider the approach to the implementation and enforcement of the code contained in document A/CN.9/WG.III/WP.208. The Working Group may also wish to consider how other arbitral institutions that administer investment disputes apply the code.",
"II. Draft code of conduct",
"Article 1 – Definitions",
"In the code: (a) “International investment dispute” means a dispute between an investor and a State or a regional economic integration organization [or any subdivision or agency of a State or regional economic integration organization] submitted for settlement pursuant to: (i) a treaty providing for the protection of an investment or an investor; (ii) legislation on foreign investment; or (iii) an investment contract; (b) “Arbitrator” means a person appointed to settle an international investment dispute who is a member of an arbitral tribunal or an ad hoc committee of the Investment Dispute Settlement Centre; (c) “Judge” means a person who serves as a member of a permanent mechanism for the settlement of international investment disputes; (d) “Judgery judge” means an arbitrator or a judge; (e) “Election” means a person who may have been approached by an arbitrator but has not yet been [appointed] [accepted] to an appointment] or who is being considered for appointment as a judge but has not yet been confirmed as such a position; (f) “Assister” means any person who works under the direction and supervision of a judge to assist in a particular case; and (g) “unire",
"Attention of the Working Group",
"10. The definitions have been reordered to enhance coherence and consistency. The definition of unilateral communications, previously contained in article 7 (see para. 41 below), has been moved to this article.",
"In subparagraph (a), the word “with a view to resolving” was added after the word “submission” to indicate the purpose of the submission. In order to ensure consistency, subparagraph (c) also refers to the “resolution” rather than “resolution” of international investment disputes.",
"Article 1 defines “arbitrator” and “judge” as active members of an arbitral tribunal or a permanent mechanism. It may therefore not be necessary to include in the following articles of the Code a specific time frame for their respective obligations. In the corresponding articles submitted to the Working Group for consideration (for example, articles 3 (1), 7 and 10; see below, paras. 20 and 42), such words were placed in square brackets or deleted.",
"With respect to subparagraph (e), the Working Group may wish to note that in ICSID, a person becomes a member of the arbitral tribunal only after acceptance of the appointment and after ICSID has given notice of acceptance. In order to accommodate this approach, the Working Group may wish to replace the words “not yet appointed” with the words “not yet accepted” (see para. 65 below).",
"14. With regard to subparagraph (f), the commentary could explain that the usual practice was to consult with the parties to the dispute regarding the identity of the associate and the tasks to be performed by the associate. The Working Group may therefore wish to consider whether it is necessary to retain the phrase “on the basis of agreement with the parties to the dispute” in the definition.",
"Article 2 — Application of the Code",
"The Code shall apply to [cruisers or candidates] in international investment dispute proceedings. The Code may be applied to any other dispute by agreement of the parties to the dispute. 2. To agree that the code shall be [explained as adding] [complementing] such articles if the instrument upon which the award is based contains provisions on the conduct of a judge or candidate in international investment dispute proceedings. Where there is any inconsistency between the Code and such provisions, the latter prevails to the extent of inconsistency. 3. The Commission shall take all reasonable steps to ensure that its associate is aware of and complies with the Code, including requiring the associate to sign a statement that he or she has read and will comply with the Code.",
"Attention of the Working Group",
"Since the Code applied to individuals involved in the settlement of international investment disputes, rather than to international investment disputes themselves, the Working Group might wish to add the words “a adjudicator or candidate” to paragraph 1. Paragraph 1 is divided into two sentences. The second sentence is intended to reflect the understanding of the Working Group that the parties to a dispute may agree to apply the Code to any other type of dispute, including between States.",
"The first sentence of paragraph 2 has been simplified to refer to “the articles on the conduct of judges or candidates” rather than “the articles on the conduct or conduct of judges or candidates”. This is because the word “conduct” may not be clear and the two appearances of the word “code” in the same sentence may create confusion. The second sentence was also simplified to refer to “any inconsistency between the code and such provisions” rather than to “any inconsistency between the obligations in the code and those in the instrument under which the tribunal was agreed”.",
"The Working Group may wish to note that paragraph 2 refers to “the instrument by which consent is given”, while other articles of the Code refer to “the applicable rules or treaties” (for example, articles 7 to 11). In view of the possible overlap between the two concepts, the Working Group may wish to consider whether the current distinction is appropriate and whether it is sufficient to address the relationship in the commentary.",
"The Working Group may wish to consider how best to express the complementary nature of the code, since the phrase “shall be interpreted as additional” in paragraph 2 may be understood as providing guidance on interpretation only. Another option would be to retain only the second sentence of paragraph 2 in order to indicate which provision would prevail in the event of any inconsistency.",
"With regard to the application of the Code, the Working Group may wish to consider the extent to which parties to a dispute can exclude or vary the provisions of the Code (see paras. 24-26 below).",
"Article 3 — Independence and impartiality",
"1. The judges shall be independent and impartial [at the time of their appointment or confirmation] [and shall remain independent and impartial at all times until the end of the international investment dispute procedure or the end of their term of office]. 2. Paragraph 1 includes the obligation not to: (a) be affected by the integrity of the disputing party, a non-disputing party, a non-disputing party to the treaty or its legal representative; (b) receive instructions from any organization, Government or person on any matter relating to the procedure for international investment disputes; (c) permit any past or present financial, commercial, professional or personal relationship affecting its conduct [or judgement]; (d) use its office to advance its [any significant] [one] economic or personal interest that it may have in the dispute party or in the outcome of the proceedings for international investment disputes; (e) assume functions that would interfere with or accept the interest that would interfere with the performance of its functions; or (f) take any action that would appear to result in a lack of independence or impartiality.",
"Attention of the Working Group",
"The Working Group may wish to consider whether the time frame provided for in paragraph 1 (the wording in square brackets) is necessary, taking into account the definitions of “arbitrator” and “judge” in article 1. The retention of the phrase in square brackets may give rise to problems, in particular with regard to the “closure” of the international investment dispute procedure, the conclusion of which will vary from case to case (see para. 28 below). For example, it might be problematic whether an arbitrator who resigned or was disqualified while the international investment dispute process continued and whether that arbitrator continued to be bound by article 3.",
"With respect to subparagraph (a), the Working Group may wish to provide guidance as to the meaning of the term “loyalty” and the perspective from which it should be assessed, both of which could be addressed in the commentary.",
"With respect to subparagraph (c), the Working Group may wish to delete the phrase “or judgement” as it may be covered by the term “act”. In order to align the wording with that of subparagraph (a), the Working Group may also wish to consider the following amendment to subparagraph (c): “Affected by any past or present financial, commercial, professional or personal relationship”.",
"With respect to subparagraph (d), the Working Group may wish to consider replacing the word “any significant” with the word “specific”. This is because the problem is that the post is used to promote economic or personal interests rather than the degree or quantity of benefits sought. However, the commentary may elaborate that, if the benefits that the adjudicator has inadvertently received are insignificant, it does not necessarily constitute a violation of subparagraph (d).",
"Article 4 - Limitations on multiple roles",
"1. Unless otherwise agreed by the parties to the dispute, an arbitrator shall not at the same time [and for a period of three years following the conclusion of the international investment dispute procedure] act as a legal representative or expert witness in another international investment dispute procedure [or any other procedure]: (a) with respect to the same measures; (b) with respect to the same or related parties; or (c) with respect to the same treaty. 2. [Unless otherwise agreed by the parties to the dispute,] arbitrators shall not at the same time [and within three years of the conclusion of the international investment dispute procedure] act as legal representatives or expert witnesses in a legal matter of a broadly similar nature, such that acceptance of the function would be contrary to article 3 of another international investment dispute procedure [or any other procedure]. 3. Judges shall not exercise any political or administrative functions. A judge shall not engage in any other professional occupation incompatible with his or her obligation of independence or impartiality or with the requirements of [full-time employment] [service clause]. In particular, judges may not act as legal representatives or expert witnesses in another international investment dispute procedure. A judge shall declare any other function or occupation to the [Chairperson] of the permanent mechanism. Any question [on the application] [of] paragraph 3 shall be resolved by a decision of the permanent mechanism. 5. Former judges shall not participate in any way in the proceedings pending before the permanent mechanism or in international investment disputes which they have dealt with before the end of their term of office. 6. The former judge shall not, for a period of three years after the expiration of his or her term of office, be a legal representative [in any capacity] of one or [third] [non-dispute] of the parties to the dispute in the international investment dispute proceedings before the permanent mechanism which commenced after his or her term of office.",
"Attention of the Working Group",
"Derogations and modifications by the parties to the dispute",
"With respect to the phrase “unless otherwise agreed by the parties to the dispute” in paragraph 1, the Working Group may wish to consider the extent to which the parties to the dispute may waive the application of paragraph 1. A related question was whether that phrase should be repeated in paragraph 2 or whether the obligation in that paragraph was an obligation that the parties to the dispute could not waive. With respect to paragraph 2, the Working Group may wish to confirm that it is for the arbitrators to determine whether legal issues are substantially similar.",
"The Working Group may wish to further consider whether the parties to a dispute may freely agree to derogate from other provisions of the Code. If so, one approach might be to amend article 2 (1) to read as follows: “The Code applies to judges or candidates in international investment dispute proceedings, and the parties to the dispute may agree to any modification of the Code.” Another option would be to include a paragraph in article 2 or 11, which provides that “the parties to the dispute may agree to exclude the application of the code or derogate from or vary the effect of its provisions”. There would thus be no need to repeat the phrase “unless otherwise agreed by the parties to the dispute” in the relevant article.",
"However, the ability of the parties to a dispute to derogate from or modify the application of the Code may need to be limited for certain provisions (e.g. article 3) and may be further limited if the instrument on which the decision is based (e.g. the treaty) provides for under article 2(2). In addition, the Working Group may wish to consider whether parties to a dispute could exclude or modify the application of the code in the context of a permanent mechanism.",
"Limited time frame",
"The Working Group may wish to consider whether to retain the three-year period set out in square brackets in paragraphs 1 and 2, or any other period after the international investment dispute procedure.",
"28. If the Working Group were to retain such a period, it would be necessary to clarify the beginning of that period. This is because the reference in paragraphs 1 and 2 to the “closure of the international investment dispute procedure” may vary from case to case, making enforcement difficult.",
"29. Article 4 is an example of the obligation of a adjudicator to extend his or her term of office (similar to article 8 on confidentiality). In other words, it is intended to regulate the conduct of former adjudicators. The Working Group may wish to consider this issue in the context of the definitions of “arbitrator” and “judge” in article 1 and the scope of application in article 2, paragraph (1) (see paras. 12 and 20 above).",
"The Working Group may also wish to consider how article 4 applies to arbitrators who have been disqualified or who have resigned from international investment dispute proceedings. Such an individual would no longer be subject to the simultaneous holding of office in article 4, as he or she would no longer be an arbitrator under article 1 (b). On the other hand, the imposition of a three-year limitation “after the conclusion of the International Investment Disputes Procedure” might inadvertently result in the person being free to act as a legal representative or expert witness before the conclusion of the proceedings, and the limitation would only commence after the closure of the proceedings. Since article 4 limits participation in “another” international investment dispute proceedings, an arbitrator who has been disqualified or resigned may also act as a legal representative or expert witness in the same international investment dispute proceedings.",
"The Working Group may therefore wish to clarify to what extent the code should regulate the conduct of former arbitrators. One way of doing so would be to use the reference in paragraphs 5 and 6 (“former” judges) and also to refer to “former” arbitrators in paragraphs 1 and 2. In any event, the Working Group may wish to provide guidance on how to enforce any remedies against individuals who are no longer “judgments” within the meaning of the Code, as well as on the relationship between articles 3 and 4.",
"Other issues",
"While a proposal was made to add the word “judges” before the word “legal representative” in paragraphs 1 and 2, both paragraphs were intended to regulate the practice of dual status, i.e., one person performing both a defence and a adjudicatory role. Therefore, the purpose of these paragraphs is not to prevent an arbitrator from sitting as a adjudicator in another case. On the contrary, whether an arbitrator can act as a judge at the same time may well be governed by the terms of office of the judge. The Working Group may wish to confirm this understanding and consider whether a paragraph should be added to article 4 to prevent judges from acting as arbitrators, which would have the same effect.",
"With regard to paragraph 1 (c), the Working Group may wish to consider the possible impact of such a provision on multilateral treaties, such as the Energy Charter Treaty.",
"The Working Group may wish to consider providing guidance on the meaning and scope of the term “same” as has been used in subparagraphs (a) to (c) of paragraph 1, as the identifiers between “measures”, “parties” and “provisions” may differ.",
"Article 5 – Duty of diligence",
"1. Arbitrators shall: (a) perform their functions diligently throughout the international investment dispute procedure; (b) devote sufficient time to the international investment dispute procedure; (c) render all decisions in a timely manner; [(d) refuse to perform parallel obligations that may prevent them from diligently discharging their duties in relation to the international investment dispute procedure;] (e) refrain from entrusting their adjudicating functions to others. 2. The judges shall exercise their duties diligently in accordance with the terms of their terms of office.",
"Attention of the Working Group",
"The Working Group may wish to consider whether subparagraph (d) could be deleted as it would be covered by subparagraph (a) or retained as a separate paragraph in order to make the obligation clearer. If subparagraph (d) was deleted, the commentary could explain that, under subparagraph (a), the arbitrator should reject such parallel obligations.",
"The Working Group may wish to consider whether subparagraph (e) could be placed in article 6, as it would be more appropriate not to entrust another person with the task of making a determination as an obligation of good faith. The commentary could elaborate further on this issue.",
"The Working Group may further wish to confirm whether a violation of the obligations under articles 5 and 6 may be invoked as a fact if a party to a dispute claims a violation of the obligation of independence or impartiality under article 3.",
"Article 6 - [Good faith and capacity]",
"1. The adjudicators shall: (a) implement international investment dispute procedures in accordance with high standards of integrity, fairness [, courtesy] and competence; (b) treat with courtesy all participants in international investment dispute procedures; and (c) do their utmost to maintain and enhance the knowledge, skills and qualities necessary for the performance of their duties. 2. A candidate shall be appointed only if he or she has the necessary skills, skills and time to perform his or her duties as an arbitrator. 3. Candidates shall possess the necessary competencies and skills to perform their duties as judges.",
"Attention of the Working Group",
"The Working Group may wish to confirm that it would be appropriate to replace the original title “Other obligations” with the proposed title “Good faith and capacity” in article 6.",
"The Working Group may wish to consider whether subparagraph (b) is still necessary if additional language in square brackets is added to subparagraph (a).",
"The Working Group may wish to consider the need to retain paragraphs 2 and 3 in article 6, in view of the fact that paragraph 2 requires candidates for arbitrators to make a self-judgement of their abilities and skills, and that the necessary competencies and skills of candidates for judges may be assessed at the selection stage. The Working Group may wish to consider this issue in the context of the inclusion of article 11 (2) in the code (see para. 67 below).",
"Article 7 — Unilateral communications",
"1. Unilateral communications shall be prohibited unless: (a) for the purpose of determining the expertise, experience, competence, skills, availability of time and the existence of any potential conflict of interest of the candidate; (b) for the purpose of determining the expertise, experience, competence, skills, availability of time and existence of any potential conflict of interest of the candidate as presiding arbitrator, with the consent of the parties to the dispute; and (c) the application of rules or treaties or agreements of the parties to the dispute. 2. In any event, a unilateral communication shall not relate to any procedural or substantive issue relating to the international investment dispute procedure, nor to any procedural or substantive issue that a candidate or arbitrator may reasonably expect to arise in the international investment dispute procedure. 3. Prohibition of unilateral communications.",
"Attention of the Working Group",
"41. Article 7 was amended to clarify default rules on unilateral communications and their exceptions. The definition of “unilateral communication” is now contained in article 1 (g) and has been slightly adjusted to read: “Unilateral communication means any communication concerning an international investment dispute between a candidate or a adjudicator and a party to the dispute, its legal representative, affiliated body, subsidiary body or other interested person, without the presence or knowledge of the other party or parties to the dispute.”",
"While article 7 of the previous version provided a time frame for the prohibition of unilateral communications (“before the commencement of the international investment dispute procedure and until its conclusion”), the relevant phrase had been deleted in view of the definitions of the terms “candidates”, “arbitrators” and “judges” (see para. 12 above). The deletion of the phrase also made it unnecessary to refer to the “closure” of the international investment dispute procedure, which raised some concerns (see paras. 20 and 27-31 above).",
"The Working Group may wish to confirm that arbitrators who have made an award or who have been disqualified may have access to the parties, as they will no longer be bound by article 7. Otherwise, it would be necessary to establish a time limit for the prohibition of unilateral communications, similar to article 4.",
"The Working Group may wish to confirm that paragraph 1 (b) would allow an arbitrator appointed by one of the parties to the dispute (or a candidate for an arbitrator to be appointed by one of the parties to the dispute) to discuss the qualifications of the potential candidate for the presiding arbitrator with that party or its legal representative. However, this will depend on the consent of the other party to the dispute. However, if that condition is met (with the consent of the parties to the dispute), such a discussion may not fall within the definition of a unilateral communication, since the other party to the dispute will be aware of the communication.",
"The Working Group may wish to confirm that the total prohibition of unilateral communications by judges and candidates for judges provided for in paragraph 3 is appropriate.",
"Article 8 – Confidentiality",
"1. Candidates and adjudicators shall not disclose or use any information obtained in connection with or in connection with an international investment dispute procedure unless: (a) the information is publicly available [in accordance with the applicable rules or treaties]; or (b) the applicable rules or treaties or the agreements of the parties to the dispute permit. 2. The adjudicator shall not disclose what is considered in the international investment dispute proceedings [or any opinion expressed during the deliberations]. The adjudicator shall not comment on a decision in an international investment dispute proceeding [unless the decision is publicly available]. 4. The adjudicator shall not disclose any draft decision in international investment disputes proceedings. 5. The obligations under this article shall apply [and shall continue to apply indefinitely] after the international investment dispute procedure. 6. The obligations under this article shall not apply to the extent that candidates or adjudicators are legally obliged to disclose information before a court or other competent authority or are required to disclose such information in order to protect their rights before a court or other competent authority.",
"Attention of the Working Group",
"Paragraph 1 was revised to provide clearer rules on exceptions to the obligation of confidentiality. The phrase “unless for the purposes of the procedure” has been deleted, as the article is not intended to regulate such disclosure, which is already permissible. This view will be set out in the commentary. It should be noted that if the phrase were to be reintroduced in paragraph 1, it would also need to be repeated in other paragraphs.",
"The Working Group may wish to consider the extent to which “publicly available” information constitutes an exception in paragraph 1 (a). The bracketed language indicates that the obligation not to disclose in paragraph 1 is discharged only if it is publicly available under applicable rules or treaty information. In other words, if the information is in fact publicly available (e.g. in violation of applicable rules or treaty disclosure, or posted on a public website by a third party), this would not be an exception in paragraph 1 (a). The Working Group may wish to confirm that understanding.",
"The Working Group may wish to consider whether the exception in paragraph 1 (b) should also apply to paragraphs 2 to 4. If so, it might be useful to provide a general exception similar to paragraph 6, along the following lines: “The obligations under this article shall not apply to the extent permitted by the applicable rules or by treaties or agreements of the parties to the dispute.”",
"The Working Group may wish to delete the words “or any comments made during the deliberations” in paragraph 2, as they would form part of the consideration of “contents”.",
"Paragraphs 3 and 4 have been revised because the participation or participation of the adjudicator in the determination of the obligation is not a factor to be taken into account. Accordingly, the words “and any determination made before and before the decision” in paragraph 3 and in paragraph 4 were deleted.",
"With respect to paragraph 3, which deals with the obligation not to express an opinion on a decision, the Working Group may wish to consider whether: (i) the obligation should be limited to “before the end of the international investment dispute proceedings”, thereby allowing the adjudicator to comment on the decision after the proceedings; and (ii) whether the decision should be taken as a consideration if it is publicly available (currently in square brackets). With regard to the latter, if the words “unless publicly available” were retained, the formulation in paragraph 1 (a) should be used (see para. 47 above).",
"The Working Group may wish to consider deleting the reference in paragraph 4 to the “draft award” as “any information obtained in connection with an international investment dispute procedure or with an international investment dispute procedure”, as explained in the commentary.",
"Paragraph 5 has been revised to avoid a reference to the “closure” of the proceedings (see paras. 20 and 30 above). The Working Group may wish to delete the words “and continue to apply indefinitely” in square brackets, as they may be superfluous. The Working Group may wish to consider how to enforce the obligations in paragraph 5, as individuals would not be bound by the code after the international investment dispute procedure (see paras. 30-31 above).",
"Article 9 – Costs and expenses",
"[This article applies only to arbitrators and candidates for arbitrators] 1. Any proposal for costs and expenses shall be notified to the parties to the dispute through the body administering the proceedings. If there is no regulatory body, the sole or presiding arbitrator shall notify the parties to the dispute. 2. [Unless otherwise provided in the applicable rules or in the treaty,] the candidate or arbitrator shall conclude any discussion on costs and expenses with the parties to the dispute [before] [or immediately after the constitution of the arbitral tribunal]. 3. The arbitrators shall conclude discussions with the parties to the dispute concerning the costs and expenses of the associate before the appointment of the members. 4. The arbitrators shall maintain an accurate record of the time and expenses they have spent as a result of the international investment dispute procedure and ensure that the associate also maintains an accurate record of the time and expenses. The arbitrators shall provide such records when requesting the disbursement of funds or at the request of one of the parties to the dispute.",
"Attention of the Working Group",
"Article 9 has been restructured to give the process of determining costs and expenses according to the order in which things normally occur. The Working Group may wish to first confirm that the paragraphs are appropriate in order and apply only to arbitrators and their candidates.",
"The Working Group may wish to confirm that paragraph 2 reflects best practice — ideally, not only discussions on costs and expenses were held but concluded before the arbitral tribunal was constituted. If so, the Working Group may wish to consider deleting the words “or immediately after its formation” in square brackets. However, the commentary could explain that such discussion could take place immediately after the composition, for example at the first procedural meeting.",
"With respect to paragraph 4, the Working Group may wish to consider whether the responsibility for accurately recording the time and costs incurred by any associate rests with the arbitrator or the associate. In any event, the arbitrators should establish a mechanism to ensure that the associate did so. The commentary could explain that.",
"The Working Group may wish to consider whether the reasonableness of costs should be addressed in the code or in the commentary, as this would reflect best practices. For example, article 41 (1) of the UNCITRAL Arbitration Rules addresses this issue. The commentary could explain that the reasonableness of costs and expenses would depend on the amount involved in the dispute, the complexity of the subject matter, the time spent by the arbitrators and any other relevant circumstances of the case.",
"Article 10 – Obligation to disclose",
"1. Candidates and arbitrators shall disclose any circumstances which may give rise to reasonable doubt as to their impartiality or independence [, including in the view of the parties to the dispute]. 2. The following information should be included in the information disclosed: (a) any financial, commercial, professional or personal relationship during the past five years with: (i) any party to the dispute or one of the parties to the dispute; (ii) a legal representative of one of the parties to the dispute in the international investment dispute proceedings; (iii) other arbitrators and expert witnesses in the international investment dispute proceedings; (iv) [any entity, including third-party funders, to which one party to the dispute determines that it has a direct or indirect interest in the outcome of the international investment dispute proceedings]; (b) any economic or personal interest in: (i) the outcome of the international investment dispute proceedings; (ii) any other international investment dispute procedure involving the same measures; (iii) any other procedure involving one party to the dispute or one of the parties to the dispute; (c) all international investment disputes and related proceedings in which the candidate or arbitrator is participating as an arbitrator, legal representative or expert witness in the present or the past five years; and (d) the appointment of an arbitrator, legal representative or expert witness in the international investment dispute or any other proceedings by a party or its legal representative during the past five years. 3. For the purposes of paragraphs 1 and 2, candidates and arbitrators shall make [reasonable] [maximum] efforts to understand such circumstances [, interests and relationships]. If candidates and arbitrators have any doubts as to whether disclosure should be made, they shall elect to do so.",
"5. Candidates and arbitrators shall, prior to or at the time of [acceptance] of the appointment, disclose to the parties to the dispute, to other adjudicators in the international investment dispute process, to any regulatory body and to any other person who applies the rules or provisions of the treaty. 6. The arbitrator has an ongoing obligation to make further disclosure based on new or newly discovered information as soon as it becomes known. 7. Non-disclosure does not in itself constitute [lack of] impartiality or independence [in violation of articles 3 to 6 of the Code]. 8. The parties to the dispute may waive their right to object to the disclosure.",
"Attention of the Working Group",
"58. Article 10 was amended to apply only to arbitrators and candidates for arbitrators. The Working Group may wish to confirm to what extent these provisions will apply to judges and candidates for judges. A comparative table is provided in the appendix to the present note to assist the Working Group in its deliberations.",
"The Working Group may wish to address the relationship between the two different criteria in paragraph 1 and possible inconsistencies (e.g., the reference to “reasonable suspicion” under article 11 of the UNCITRAL Arbitration Rules and “in the view of the parties to the dispute”) which would make it difficult for arbitrators and candidates for arbitrators to understand the extent to which disclosure should take place.",
"The Working Group may wish to consider a situation in which an arbitrator does not disclose a situation in which he believes that a reasonable third person will not challenge his independence or impartiality on the basis of that situation, which one party to the dispute considers to be doubtful. The Working Group may wish to consider specifying a maximum threshold rather than including two criteria.",
"The Working Group may wish to confirm that the information listed in paragraph 2 needs to be disclosed even if paragraph 1 does not require it. In other words, whether the information provided under paragraph 2 might give rise to reasonable doubts as to the independence or impartiality of the arbitrator, the arbitrator would need to disclose such information. The commentary could elaborate further on this point.",
"The Working Group may wish to consider the appropriateness of the reference to “an entity identified by one of the parties to the dispute” in subparagraphs (a) (i) and (b) (iii). The commentary may explain that the term “entity” includes both legal and natural persons. In that regard, the Working Group may wish to consider whether the wording of subparagraph (a) (iv) is appropriate.",
"The Working Group may wish to delete the words in square brackets at the beginning of paragraph 3, as the need for reasonable/best efforts applies to the entire article and is not necessarily limited to paragraphs 1 and 2. The Working Group may wish to decide whether to use the word “reasonable” or “maximum”. By reference, article 6, paragraph 1 (c), refers to “the best efforts to maintain and enhance the knowledge, skills and qualities necessary for the performance of its duties”. The Working Group may also wish to consider whether the term “circumstances” is sufficiently broad to cover the matters listed in paragraph 2 (relationships, interests, procedures, appointments).",
"The Working Group may wish to note that paragraph 4 (formerly numbered paragraph 5) has been moved closer to paragraph 3, as both paragraphs address the manner in which information is disclosed by an arbitrator or a candidate under paragraphs 1 and 2.",
"The Working Group may wish to insert the word “accept” in paragraph 5, following the ICSID approach (see para. 13 above).",
"66. Paragraph 7 is intended to clarify that failure to comply with article 10 disclosure requirements does not necessarily amount to a breach of other provisions of the Code, in particular the obligation of independence and impartiality in article 3. The Working Group may wish to determine which language should be used, including whether or not to refer to specific provisions of the code.",
"Article 11 - Compliance",
"1. The judges and candidates shall abide by the applicable provisions of the Code. [2. If the applicable provisions of the Code cannot be complied with, the candidate shall not be accepted for appointment and the adjudicator shall resign from the international investment dispute procedure or avoid the international investment dispute procedure. 3. Any disqualification and de-listing procedures or any sanctions and remedies provided for in the applicable rules or in the treaty shall [apply to the Code] [continue to apply regardless of the provisions of the Code]. 4. The adjudicator shall dismiss any associate who violates the Code.",
"Attention of the Working Group",
"The Working Group may wish to consider whether paragraph 1 is necessary. Paragraph 2 had been added to emphasize how candidates and adjudicators should act in cases of non-compliance or possible non-compliance. While this is a voluntary obligation for which the Code does not provide any remedies, the Working Group may wish to consider whether the text should be retained and, if so, whether articles 6 (2) and (3) are still necessary (see para. 40 above).",
"The Working Group may wish to consider whether paragraph 3 reflects the understanding of the Working Group that any challenge procedure (including challenge criteria) or any remedy under the applicable rules or the treaty will continue to apply to adjudicators. Non-compliance with a provision of the Code does not, therefore, in itself constitute a basis for such challenges or remedies and will be provided for in the applicable rules or treaties.",
"The Working Group may wish to consider whether paragraph 4 is appropriate given that the code does not contain specific provisions applicable to associate members. In addition, the Working Group may wish to consider the consequences of a failure to comply with paragraph 4.",
"Annex to Code of Conduct - Declarations and Disclosure Forms",
"1. I acknowledge that I have read and understood the code of conduct annexed thereto and undertake to comply with it. 2. To the best of my knowledge, there is no reason why I should not be an [arbitrator] [judge] in this proceeding. I am impartial and independent and will not stand in the way of a code of conduct. 3. My updated curriculum vitae is attached to the present statement. 4. In accordance with article 10 of the Code of Conduct, I wish to make the following disclosure and provide the following information: I understand that I should make further disclosure on the basis of new information or newly discovered information as soon as possible.",
"Attention of the Working Group",
"The Working Group may wish to confirm that the following statement will be provided in an annex to the Code.",
"Appendix - Disclosure obligations of judges and candidates for judges",
"Article 10 - The disclosure obligation applies to arbitrators and candidates for arbitrators. 2. The following information shall be included in the disclosed information: (a) any financial, commercial, professional or personal relationship during the last five years with: (i) any party to the dispute or entity identified by one of the parties to the dispute; (ii) legal representatives of one of the parties to the dispute in the international investment dispute proceedings; (iii) other arbitrators and expert witnesses in the international investment dispute proceedings; (iv) [any entity, including third-party funders, in which one of the parties to the dispute determines that it has a direct or indirect interest in the outcome of the international investment dispute proceedings]; (b) any economic or personal interest in: (i) the outcome of the international investment dispute procedure; (ii) any other international investment dispute procedure involving the same measures; (iii) any other procedure involving one of the parties to the dispute or an entity identified by one of the parties to the dispute;* The judges shall include in the information disclosed: (a) Any financial, commercial, professional or personal relations during the past five years with: (i) any party to the dispute or an entity identified by one of the parties to the dispute; (ii) legal representatives of one of the parties to the dispute in the international investment dispute proceedings; (iii) expert witnesses in the international investment dispute proceedings; (iv) [any entity, including third-party funders, which one party to the dispute determines to have a direct or indirect interest in the outcome of the international investment dispute proceedings]; (b) any economic or personal interest in: (i) the outcome of the international investment dispute proceedings; (ii) any other international investment dispute proceedings involving the same measures; (iii) [not applicable] (c) all international investment disputes and related proceedings in which the candidate or arbitrator is currently or has been involved as an arbitrator, legal representative or expert witness in the international investment dispute or any other proceedings during the past five years; and (d) the appointment of an arbitrator, legal representative or expert witness in the international investment dispute or any other proceedings by a party to the dispute or its legal representative during the past five years. :: Candidates for judges should include the following information in the information disclosed: (c) all international investment disputes and related proceedings in which the candidate is present or has participated as an arbitrator, legal representative or expert witness during the past five years; (d) [Not applicable] 3. [For the purposes of paragraphs 1 and 2], the candidate and the arbitrator shall make [reasonable] [best] efforts to understand such circumstances [, interests and relationships]. 4. If candidates and arbitrators have any doubts as to whether disclosure should be made, they shall elect to do so. 5. Candidates and arbitrators shall, before or at the time of appointment, disclose to the parties to the dispute, to other adjudicators in the International Investment Disputes Procedure, to any regulatory body and to any other person who applies the rules or the provisions of the Treaty, using the form in the annex. 5. Candidates shall be disclosed to the standing mechanism [using the form in the annex] before or when they are recognized as judges. 6. The arbitrator has an ongoing obligation to make further disclosure based on new or newly discovered information as soon as it becomes known. 6. The judges shall disclose the information referred to in paragraph 1 to the [Chairperson] of the Permanent Mechanism [using the form in the annex] as soon as possible after learning of the circumstances referred to in paragraph 1, and shall have an ongoing obligation to make further disclosure on the basis of such information as soon as possible after learning of new information or newly discovered information. Non-disclosure does not in itself constitute [lack of] impartiality or independence [in violation of articles 3 to 6 of the Code]. 8. The parties to the dispute may waive their right to object to the disclosure. Not applicable",
"[1] Informal meetings on codes of conduct were held on 18 November 2020, 3-4 and 8 March 2021, 7-10 June 2021, 6-10 December 2021, 20 January 2022, 23-24 March 2022 and 7-10 June 2022, respectively (see https://uncitral.un.org/en/codeofcontract). The purpose of those meetings was to present the draft working paper on the code of conduct prepared by the two secretariats for the sessions of Working Group III, to support the two secretariats in preparing the working papers and to support delegations in preparing for the sessions. No decision was taken at those meetings."
] |
[
"工业发展理事会",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"临时议程项目16",
"评价和内部监督活动",
"内部监督活动",
"评价和内部监督办公室主任的报告",
"本文件根据IDB.44/Dec.3号和IDB.48/Dec.10号决定介绍内部监督职能活动情况，并更新IDB.49/23号文件所载的上一份报告。",
"一. 背景",
"1. 评价和内部监督办公室负责履行工发组织的监督职能，即内部审计、调查和评价职能。评价和内部监督办公室的任务是提供独立和客观的保证、咨询、调查和评价，目的是为工发组织的业务、内部控制框架、风险管理、成果管理制和治理进程增加价值并提高其效率和效力。此外，评价和内部监督办公室还担任负责协调联合国联合检查组（联检组）活动的协调人，并作为工发组织独立监督咨询委员会（监咨委）的秘书处。",
"2. 内部监督职能（包括内部审计和调查）须遵守《评价和内部监督办公室章程》、[1]《内部审计政策》[2]和《调查政策》。[3]内部监督职能还以内部审计手册以及2022年5月16日修订的调查准则为指导。[4]",
"3. 目前，评价和内部监督办公室编入预算的内部审计和调查职能员额包括5名专业人员和两名一般事务人员，其中包括股长、三名审计员、一名调查员和两名支助人员。根据联检组的建议标配，[5]工发组织内部审计专业人员应在6至11人之间，而目前为4人。",
"二. 2021年主要成就",
"4. 评价和内部监督办公室政策框架得到进一步加强：2021年奠定的一个重要基础是印发了内部审计和调查政策，进一步强化了该办公室的监督职能以及其独立性，正如《评价和内部监督办公室章程》所要求的。",
"5. 评价和内部监督办公室风险和证据差距评估方法以及审计和评价领域得到加强，并与工发组织2022-2025年中期方案纲要和2022-2023年按成果编制的方案和预算取得一致，以反映工发组织在所有五个成果领域的战略目标。这为确保评价和内部监督办公室的工作与工发组织的战略领域保持一致、更有效地选择和协调保证服务以及优化互补性和减少所有保证提供者（即内部审计职能、评价职能、外聘审计员和联检组）之间可能的重复工作奠定了坚实的基础。",
"6. 评价和内部监督办公室作为不确定和迅速变革时期敏捷的顾问：继2020年2月发布《评价和内部监督办公室2020-2024年战略》作为该办公室的关键管理和问责框架之后，该办公室继续调整其活动，以确保为实现本组织的目标和目的带来增加值，并保持战略一致性。尽管在2019冠状病毒病（COVID-19）背景下面临诸多限制和挑战，但评价和内部监督办公室仍然保持敏感，并证明其服务对于知情决策、创新和变革非常重要，并将继续如此。据管理层称，审计业务为决策者带来增加值，为在数字化转型、人员管理和欺诈风险管理等关键风险领域及时采取行动和制定管理行动计划奠定了基础。",
"三. 评价和内部监督办公室内部监督工作概况",
"7. 评价和内部监督办公室通过内部审计职能的保证和咨询服务，通过以下活动为本组织的治理、风险管理和控制程序增加了价值：",
"(a) 开展了三项咨询活动，并于2021年发布了报告：关于工发组织能力、从COVID-19中吸取的经验教训（与独立评价职能联合开展）和工发组织的欺诈风险管理方案的咨询活动。这些活动为与数字化转型、基础设施投资、人员管理、战略性员工队伍规划和欺诈风险管理相关的管理行动计划奠定了基础；",
"(b) 全额成本回收过程的保证审查于2021年底启动，2022年5月完成。这项活动为管理行动计划提供了基础，而管理行动计划将进一步加强从规划到报告整个全额成本回收过程；[6]",
"(c) 完成了七项全面调查；",
"(d) 开展了重要的临时咨询活动，除其他外为以下工作提供了投入：赠款手册初稿；工发组织个人数据保护政策草案；审查工发组织的规范性职能；修订工发组织业务连续性计划；性剥削和性虐待问题政策草案；管理问题高级别委员会《联合国性骚扰投诉调查调查员手册》；信息披露政策；修订关于报复的政策；以及关于禁止利用资金的政策草案。此外，评价和内部监督办公室还作为观察员参加了一些工作队和工作组，包括技术合作资源优化问题工作队和工作组，以及成果和风险协调人网络。",
"8. 评价和内部监督办公室确认，在报告所述期间，在开展内部审计和调查活动时，做到了独立和客观地履行职能，未受内部或外部任何一方的任何干扰或影响。然而，应注意到由于业务预算和人力资源制约因素所造成的限制。",
"四. 管理行动计划的执行状况",
"9. 评价和内部监督办公室定期与各负责部门接触，跟进各项管理行动计划的执行状况，截至2021年12月31日具体执行状况如下：在总共83项管理行动计划中，57项已结案（47项结案——得到执行；10项结案——管理层接受风险），14项管理行动计划到期。其余12份管理行动计划尚未到期。这表明执行率有所提高，2021年达到57%，而2020年为41%。评价和内部监督办公室继续监测管理行动计划的执行情况，并通过与负责执行建议和管理行动计划的高级协调人合作等方式，在该过程中为管理层提供支持。2021年11月，制定并颁布了未落实内部审计管理行动计划风险接受的风险升级流程。",
"五. 与联合国及其他监督实体的合作",
"10. 继续积极参与联合国各组织内部审计事务代表的活动和联合国调查部门代表的活动。此外，还与外聘审计员进行了协商，以交流工作计划，扩大保证活动的覆盖范围，并在信息技术安全和全额费用回收等领域开展合作，以便高效地利用有限的资源，并避免重复工作。",
"六. 加强内部监督职能的治理",
"11. 评价和内部监督办公室的内部监督职能继续在监咨委的定期会议上向监咨委提供其活动概况，并与监咨委分享其工作计划以征求意见。",
"七. 前景",
"12. 基于经修订的风险评估方法[7]的评价和内部监督办公室2022-2023两年期内部审计工作计划于2022年初获得总干事批准。已启动两项审计，分别涉及行政通知的实施和颁布以及长期采购协议。评价和内部监督办公室的内部审计工作计划将保持灵活性和敏捷性，以便积极考虑工发组织不断变化的业务和商业环境中出现的风险和挑战。",
"13. 2022年，总干事启动了工发组织的组织改革和结构调整，将在审查和修订评价和内部监督办公室2022-2023年工作计划时适当考虑到这一点。还将对评价和内部监督办公室战略进行中期审查，以确保评价和内部监督办公室的内部审计和调查职能继续满足新的组织结构下对监督、问责和学习的需求，并确保评价和内部监督办公室继续为提高组织的效率、效力和影响力做出贡献。",
"14. 如外聘审计员、监咨委和联检组所指出，资源状况继续造成范围受限。预计资源不会大幅增加。因此，内部监督职能无法通过其工作计划涵盖已查明的所有高风险和高度优先的业务活动。监咨委特别强调，必须紧急关注加强评价和内部监督办公室的调查职能，为之配备充足的人员和提供充足的资源。",
"15. 同以往一样，内部监督和评价通过其有效、独立、可信和客观的职能协助本组织实现目标，其成效最终取决于是否得到工发组织高级管理层和各成员国的持续支持。",
"八. 需请理事会采取的行动",
"16. 理事会似宜注意到本文件提供的信息。",
"[1] 经工业发展理事会IDB.48/Dec.10号决定核准的DGB/2020/11号总干事公报。",
"[2] DGB/2021/12号总干事公报。",
"[3] DGB/2021/13号总干事公报。",
"[4] AI/2022/03号行政指示。",
"[5] JIU/2010/5，附件，表1。",
"[6] 所有咨询和保证活动报告可在常驻代表团外联网上查阅。",
"[7] 第6段提及。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 16 of the provisionalagenda \nEvaluation and internaloversight activities",
"Internal oversight activities",
"Report by the Director of the Office of Evaluation and Internal Oversight",
"The present document provides information on the activities of the internal oversight function in accordance with decisions IDB.44/Dec.3 and IDB.48/Dec.10, and updates the previous report contained in IDB.49/23.",
"I. Background",
"1. The Office of Evaluation and Internal Oversight (EIO) is responsible for the oversight functions of UNIDO, i.e. internal audit, investigation, and evaluation. The mandate of EIO is to provide independent and objective assurance, advice, investigation, and evaluation for the purpose of adding value to and improving the efficiency and effectiveness of UNIDO’s operations, internal control framework, risk management, results-based management and governance processes. In addition, EIO is also the focal point for the coordination of the activities of the Joint Inspection (JIU) of the United Nations, and serves as the Secretariat to the UNIDO Independent Oversight Advisory Committee (OAC).",
"2. The internal oversight function (comprising internal audit and investigation) is governed by the EIO Charter,[1] Internal Audit Policy,[2] and Investigation Policy.[3] The internal oversight function is further guided by the internal audit manual, as well as the investigation guidelines, revised on 16 May 2022.[4]",
"3. Currently, the budgeted posts for EIO’s internal audit and investigation functions comprise of five Professional and two General Service staff, including the Chief of the unit, three Auditors, one Investigator and two support staff. According to the suggested JIU formula,[5] the range of internal audit professional staff at UNIDO should be between six and eleven, whereas it is currently at four.",
"II. Key achievements in 2021",
"4. EIO policy framework further strengthened: A major stepping-stone achieved in 2021 was the issuance of the internal audit and investigation policies, further reinforcing the Office’s oversight role, as well as its independence, as called for in the EIO Charter.",
"5. The EIO risk and evidence gap assessment methodology, and audit and evaluation universe were enhanced and aligned with UNIDO’s medium-term programme framework 2022–2025 and results-based programme and budgets 2022–2023, to reflect UNIDO’s strategic objectives in all five result areas. This provided a strong basis for ensuring alignment of EIO work with strategic areas of UNIDO, for a more effective selection and coordination of assurance services, and for optimizing complementarities and reducing potential duplication of efforts among all assurance providers (i.e. the internal audit function, the evaluation function, the External Auditor, and the JIU).",
"6. EIO as an agile advisor in a period of uncertainty and rapid change: Further to the issuance of the EIO strategy 2020–2024 in February 2020 as a key management and accountability framework for EIO, the Office continued adjusting its activities to ensure adding value to the achievement of the goals and objectives of the Organization and remaining strategically aligned. Despite the constraints and challenges imposed in the coronavirus disease (COVID-19) context, EIO remained agile and proved that its services are, and continue to be, key for informed decision-making, innovation, and change. According to management, the audit engagements added value to decision-makers, providing the basis for timely action and management action plans in key risk areas such as digital transformation, people management, and fraud risk management.",
"III Overview of EIO internal oversight work",
"7. EIO, through the internal audit function’s assurance and advisory services added value to the Organization’s governance, risk management, and control processes with the following engagements:",
"(a) Three advisory engagements were undertaken, with reports issued in 2021: the advisory engagements on UNIDO’s competencies, Lessons learned from COVID-19 (undertaken jointly with the independent evaluation function), and UNIDO’s fraud risk management programme. These engagements provided the basis for management action plans (MAPs) related to digital transformation, investments in infrastructure, people management, strategic workforce planning, and fraud risk management;",
"(b) The assurance review of the full cost recovery (FCR) process was launched at the end of 2021 and completed in May 2022. It provided the basis for MAPs, which will further strengthen the FCR process, from planning to reporting;[6]",
"(c) Seven full-fledged investigations were completed; and",
"(d) Key ad hoc advisory activities were provided with inputs, inter alia, to the first draft of the Grants Manual; the draft UNIDO policy on personal data protection; the review of the normative function of UNIDO; the update of the UNIDO Business Continuity Plan; the draft policy on sexual exploitation and abuse; the High-level Committee on Management Investigator’s Manual for the Investigation of Sexual Harassment Complaints in the United Nations; the information disclosure policy; the update of the retaliation policy; and the draft policy on exclusion from funding. EIO furthermore participated as an observer in task forces and working groups, including on resource optimization in technical cooperation, and the results and risk focal points network.",
"8. EIO confirms that in performing its internal audit and investigation activities during the reporting period, it functioned independently and objectively without any interference or influence from any internal or external parties. However, limitations due to operational budget and human resources constraints should be noted.",
"IV. Implementation status of management action plans (MAPs)",
"9. EIO followed up regularly with responsible offices on the status of the implementation of MAPs, which is as follows as per 31 December 2021: out of a total of 83 MAPs, 57 are closed (47 closed – implemented; 10 closed – management accepts risk), and 14 MAPs are due. The remaining 12 MAPs are not yet due. This represents an improvement of the implementation rate which reached 57 per cent in 2021, as compared to 41 per cent in 2020. EIO continues to monitor the implementation of MAPs and supports management in the process, inter alia, through cooperation with the Senior-level Focal point for the implementation of recommendations and MAPs. A risk escalation process for risk acceptance of outstanding internal audit MAPs was developed and promulgated in November 2021.",
"V. Cooperation with United Nations and other oversight bodies",
"10. Active engagement in activities of the United Nations Representatives of Internal Audit Services and the United Nations Representatives of Investigation Services continued. In addition, consultations with the External Auditor were conducted to share workplans, expand the coverage of assurance activities and cooperate in areas such as information technology security, and FCR, for efficient use of limited resources and to avoid duplication of work.",
"VI. Strengthening governance of the internal oversight functions",
"11. The EIO internal oversight function continues to provide the OAC with an overview of its activities during its regular meetings, and shares its workplans with the OAC for advice.",
"VII. Outlook",
"12. Based on an updated risk assessment methodology[7] the biennial EIO internal audit workplan for 2022–2023 was approved by the Director General in early 2022. Two audits on the operationalization and promulgation of administrative issuances, and on long-term agreements in procurement have been initiated. EIO’s internal audit workplan will remain flexible and agile in order to proactively consider emerging risks and challenges in UNIDO’s evolving operations and business environment.",
"13. In 2022, the Director General initiated an organizational reform and restructuring of UNIDO, which will be duly considered in the review and update of EIO workplans for 2022–2023. A midterm review of the EIO Strategy will also be conducted to ensure EIO’s internal audit and investigation functions continue to meet the needs for oversight, accountability and learning in the new organizational context, and that EIO keeps contributing to a more efficient, effective and impactful Organization.",
"14. As noted by the External Auditor, the OAC, and JIU, the resource situation continues to represent a scope limitation. No significant resource increase is foreseen. Therefore, the internal oversight function is not in a position to fully cover, through its workplan, all identified high-risk and high-priority business activities. The OAC highlighted in particular that urgent attention must be given to strengthening the EIO investigation function with adequate staffing and resources.",
"15. As ever, the impact of internal oversight and evaluation, through its effective independent, credible and objective functions assisting the Organization in achieving its goals, depends ultimately on the continuous support received from UNIDO’s senior management and its Member States.",
"VIII. Action required of the Board",
"16. The Board may wish to take note of the information provided in the present document.",
"[1] Director General’s Bulletin DGB/2020/11, as approved by the Industrial Development Board in decision IDB.48/Dec.10.",
"[2] Director General’s Bulletin DGB/2021/12.",
"[3] Director General’s Bulletin DGB/2021/13.",
"[4] Administrative Instruction AI/2022/03.",
"[5] JIU/2010/5, annexes, table 1.",
"[6] All advisory and assurance engagement reports are available on the Permanent Missions’ Extranet.",
"[7] Paragraph 6 refers."
] | IDB.50_25 | [
"Industrial Development Board",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Item 16 of the provisional agenda",
"Evaluation and internal oversight activities",
"Internal oversight activities",
"Report of the Director, Evaluation and Internal Oversight Office",
"The present document provides information on the activities of the internal oversight function in accordance with decisions IDB.44/Dec.3 and IDB.48/Dec.10 and updates the previous report contained in document IDB.49/23.",
"Background",
"1. The Evaluation and Internal Oversight Office is responsible for the oversight functions of UNIDO, namely, internal audit, investigation and evaluation. The mission of the Evaluation and Internal Oversight Office is to provide independent and objective assurance, advice, investigation and evaluation, with the aim of adding value and improving the efficiency and effectiveness of UNIDO ' s operations, internal control framework, risk management, results-based management and governance processes. In addition, the Evaluation and Internal Oversight Office serves as the focal point for coordinating the activities of the United Nations Joint Inspection Unit (JIU) and as the secretariat of the UNIDO Independent Oversight Advisory Committee (IOAC).",
"2. The internal oversight function (including internal audit and investigation) is governed by the Statute of the Evaluation and Internal Oversight Office, the Internal Audit Policy [1] and the Investigations Policy. [3] The internal oversight function is also guided by the internal audit manual and the revised investigation guidelines of 16 May 2022. [4]",
"3. Currently, the budgeted posts for internal audit and investigation functions in the Evaluation and Internal Oversight Office include five Professional and two General Service staff, including the Chief of Unit, three auditors, one investigator and two support staff. In accordance with the JIU recommendation, [5] UNIDO internal audit professional staff should be between 6 and 11, as compared to the current four.",
"II. Key achievements in 2021",
"4. The policy framework of the Evaluation and Internal Oversight Office was further strengthened: an important basis laid in 2021 was the issuance of an internal audit and investigation policy that further strengthened the oversight function of the Office and its independence, as required by the Statute of the Evaluation and Internal Oversight Office.",
"5. The Evaluation and Internal Oversight Office risk and evidence gap assessment methodology and audit and evaluation areas were strengthened and aligned with UNIDO ' s medium-term programme framework, 2022-2025, and the results-based programme and budgets, 2022-2023, to reflect UNIDO ' s strategic objectives in all five outcome areas. This provides a solid basis for ensuring that the work of the Evaluation and Internal Oversight Office is consistent with UNIDO ' s strategic areas, that assurance services are selected and coordinated more effectively, and that there is optimal complementarity and a reduction of possible duplication among all assurance providers (i.e., the internal audit function, the evaluation function, the external auditors and JIU).",
"6. The Evaluation and Internal Oversight Office, as a resource person for a period of uncertainty and rapid change: Following the issuance of the Evaluation and Internal Oversight Office 2020-2024 Strategy in February 2020 as the key management and accountability framework for the Office, the Office continued to adjust its activities to ensure added value and strategic coherence in achieving the goals and objectives of the Organization. Despite the constraints and challenges faced in the context of the coronal virus disease of 2019 (COVID-19), the Evaluation and Internal Oversight Office remained sensitive and demonstrated the importance of its services for informed decision-making, innovation and change, and would continue to do so. According to management, audit operations bring added value to decision makers and provide the basis for timely action and management action plans in key risk areas such as digital transformation, personnel management and fraud risk management.",
"III. Overview of internal oversight in the Evaluation and Internal Oversight Office",
"7. Through the assurance and advisory services of the internal audit function, the Evaluation and Internal Oversight Office adds value to the organization ' s governance, risk management and control processes through the following activities:",
"(a) Three advisory activities were undertaken and a report was issued in 2021 on UNIDO capacity, lessons learned from COVID-19 (jointly with the independent evaluation function) and UNIDO ' s fraud risk management programme. These activities provided the basis for a management action plan related to the digital transformation, infrastructure investment, personnel management, strategic workforce planning and fraud risk management;",
"(b) The assurance review of the full cost recovery process was initiated at the end of 2021 and completed in May 2022. This activity provides the basis for the management action plan, which will further enhance the full cost recovery process from planning to reporting;[6]",
"(c) Seven comprehensive investigations were completed;",
"(d) Important ad hoc advisory activities were undertaken, which provided inputs, inter alia, to the first draft of the grant manual; the draft UNIDO personal data protection policy; the review of the normative functions of UNIDO; the revision of the UNIDO business continuity plan; the draft policy on sexual exploitation and abuse; the High-level Committee on Management Manual for United Nations Investigators of Sexual Harassment Complaints; the information disclosure policy; the revision of the policy on retaliation; and the draft policy on the use of funds. In addition, the Evaluation and Internal Oversight Office participates as an observer in a number of task forces and working groups, including those on optimization of technical cooperation resources, as well as a network of outcome and risk focal points.",
"8. The Evaluation and Internal Oversight Office confirmed that during the reporting period, internal audit and investigation activities were carried out in an independent and objective manner, without any interference or influence from either internal or external parties. It should be noted, however, that constraints are due to operational budgetary and human resources constraints.",
"Status of implementation of the management action plan",
"The Evaluation and Internal Oversight Office has been in regular contact with the responsible departments to follow up on the status of implementation of the management action plans, as follows: of a total of 83 management action plans, 57 were closed (47 were closed — implemented; 10 were closed — management accepted risk) and 14 management action plans were due. The remaining 12 management action plans are not yet due. This represents an improvement in the implementation rate, which reached 57 per cent in 2021 compared to 41 per cent in 2020. The Evaluation and Internal Oversight Office continued to monitor the implementation of the management action plan and to support management in the process, including through collaboration with the senior focal point for the implementation of recommendations and management action plans. In November 2021, a risk upgrade process was developed and promulgated for non-implementation of the internal audit management action plan risk acceptance.",
"Cooperation with the United Nations and other oversight entities",
"Continue to participate actively in the activities of the Representatives of Internal Audit Services of the United Nations Organizations and the Representatives of the United Nations Investigation Services. In addition, consultations were held with the External Auditor to share work plans, expand the coverage of assurance activities and cooperate in areas such as information technology security and full cost recovery in order to use limited resources efficiently and avoid duplication of effort.",
"Strengthening the governance of the internal oversight function",
"11. The internal oversight function of the Evaluation and Internal Oversight Office continues to provide an overview of its activities to the Board at its regular meetings and to share its workplan with the Board for comments.",
"VII. Outlook",
"12. The internal audit work plan of the Evaluation and Internal Oversight Office for the biennium 2022-2023, based on the revised risk assessment methodology,[7] was approved by the Director-General in early 2022. Two audits, on the implementation and issuance of administrative issuances and on long-term procurement agreements, were initiated. The internal audit work plan of the Evaluation and Internal Oversight Office will remain flexible and agile in order to positively consider the risks and challenges that arise in the evolving operational and business environment of UNIDO.",
"In 2022, the Director-General initiated the organizational reform and restructuring of UNIDO, which will be duly taken into account in the review and revision of the Evaluation and Internal Oversight Office work plan for 2022-2023. A mid-term review of the Evaluation and Internal Oversight Office strategy will also be undertaken to ensure that the internal audit and investigation functions of the Evaluation and Internal Oversight Office continue to meet the needs for oversight, accountability and learning under the new organizational structure and that the Evaluation and Internal Oversight Office continues to contribute to improving the efficiency, effectiveness and impact of the organization.",
"14. As noted by the External Auditor, IAMB and JIU, the resource situation continues to limit scope. No significant increase in resources is anticipated. As a result, the internal oversight function cannot, through its workplan, cover all high-risk and high-priority operational activities identified. The Board stressed in particular the need for urgent attention to strengthen the investigation function of the Evaluation and Internal Oversight Office, with adequate staffing and resources.",
"15. As in the past, internal oversight and evaluation, through their effective, independent, credible and objective functions, contribute to the Organization ' s objectives, the effectiveness of which ultimately depends on the continued support of UNIDO senior management and Member States.",
"VIII. Action required of the Board",
"The Board may wish to take note of the information provided in the present document.",
"[1] Director-General ' s bulletin DGB-2020/11, approved by the Industrial Development Board in decision IDB.48/Dec.10.",
"[2] Director-General ' s bulletin DGB/221/12.",
"[3] Director-General ' s bulletin DGB/221/13.",
"[4] Administrative instruction AI/2022/03.",
"[5] JIU/2010/5, annex, table 1.",
"[6] All reports on advisory and assurance activities are available on the Permanent Missions Outreach Network.",
"[7] Reference is made to paragraph 6."
] |
[
"工业发展理事会",
"为节约起见，本文件未作印发。敬请各位代表自带文件与会。",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"临时议程项目14",
"联合检查组的活动",
"联合检查组的活动",
"总干事的报告",
"根据IDB.24/Dec.11号决定所述的落实建议办法，本文件介绍联合检查组（联检组）开展活动的情况。",
"一. 导言",
"1. 根据工业发展理事会IDB.1/Dec.22号决定，联合检查组（联检组）成为工业发展理事会的附属机构。IDB.24/18号文件概述了落实联检组建议的办法，IDB.24/Dec.11号决定随后批准了该办法。根据其中所载规定，理事会每届常会将审议联检组的报告。",
"二. 联合检查组提交的报告和说明",
"2. 自理事会关于本议题的上一份文件（IDB.49/21）以来，本组织在2021年和2022年共收到七份联检组报告。[1]^(、)[2]以下所列六份报告与工发组织有关：[3]",
"JIU/REP/2020/7：联合国系统中的区块链应用情况：准备就绪；",
"JIU/REP/2021/2：审查联合国系统对内陆发展中国家执行《维也纳行动纲领》的支持；",
"JIU/REP/2021/3：联合国系统各组织的网络安全；",
"JIU/REP/2021/4：审查联合国系统各组织执行伙伴管理情况；",
"JIU/REP/2021/5：审查联合国系统的道德操守职能；",
"JIU/REP/2021/6：联合国系统各组织的业务连续性管理。",
"3. 本文件得到了一份会议室文件（IDB.50/CRP.9）的补充，该会议室文件提供联检组相应报告的链接以及联合国系统行政首长协调理事会（首协会）对这些报告所作相关评论的链接。据回顾，适用于工发组织的建议和统计数据可以通过网络跟踪系统获取。[4]网络跟踪系统还提供工发组织的合规情况以及对建议的评论。供工发组织总干事和工发组织立法机构审议的建议摘要及工发组织的评论意见载于IDB.50/CRP.9号文件。",
"三. 工发组织落实联合检查组建议的情况",
"4. 如以往报告所提到，成员国可获准以“只读”方式访问联检组网络跟踪系统中关于建议落实情况的综合数据。有兴趣的成员国可以通过评价和内部监督办公室工发组织联检组事务协调中心向联检组登记，电子邮件地址为eio@unido.org。",
"5. 工发组织在网络跟踪系统上更新过去三年发布的各项建议的相关信息，其中包括建议接受状况、执行状况和取得的影响。",
"6. 2019-2021年期间工发组织接受和执行建议的状况列于下表。状况按已发布建议的百分比表示。",
"表[5]（截至2022年8月31日的状况）",
"接受 执行\n 已接受 未接受 不相关 考虑中 暂缺 已执行 进行中 未开始 暂缺",
"工发组织 62.73 2.73 10.00 9.09 15.45 56.52 23.19 13.04 7.25",
"四. 需要理事会注意的联检组具体建议",
"7. 在联检组关于“联合国系统各组织的网络安全”的报告（JIU/REP/2021/3）中，联检组“检查专员回顾，在2017年致秘书长的一封信中，参加首次联席会议的联合国系统各监督委员会的代表查明，在联合国系统各组织的三项核心关切中，管理层需要适当考虑新风险和正在出现的风险，尤其是对网络安全构成的全球和关键业务威胁，以及随数字化转型步伐加快而出现的新工作方式所带来的风险。”",
"8. 工发组织外聘审计员在其关于工发组织2021年1月1日至12月31日财政年度账目的报告（ IDB.50/3-PBC.38/3）中，并参考其以往的报告（IDB.49/3-PBC.37/3），“建议工发组织考虑采取措施提高总体网络安全水平，并降低风险，防止真正的攻击者利用……发现的漏洞”（建议47提及）。作为答复，工发组织告知，“增加2022-2023两年期信息技术预算的提案仅得到成员国的部分支持。与解决成功获取内部数据的根本原因相关的某些关键举措，如实行多因素身份认证，被推迟到解决资源配置问题之后。”外聘审计员认可通过渗透测试确定的关键漏洞已得到补救。同时，外聘审计员指出，现有的网络安全总体水平不足以防范进一步攻击，因此必须建立漏洞管理流程。",
"9. 在这方面，还应注意到，独立监督咨询委员会（监咨委）同样对本组织在信息技术服务的状况包括网络安全方面被迫接受的高风险表示关切，并提请理事会紧急注意这一问题，以便考虑采取适当行动，争取立法和理事机构的支持并获得足够的资源分配（IDB.50/22号文件提到）。",
"五. 联检组2022年和2023年工作方案",
"10. 同往年一样，联检组通报了其2022年工作方案，并邀请各参与组织就其2023年工作方案提出建议。",
"11. 联检组2022年工作方案包括六项审查，其中五项审查覆盖全系统，另一项审查涉及对某一参与组织的管理和行政审查。",
"12. 以下五项审查与工发组织有关：",
"(a) 联合国系统各组织的弹性工作安排；",
"(b) 审查联合国系统各组织的精神卫生和心理健康政策和做法；",
"(c) 审查联合国系统各组织接受和执行联检组建议的情况、联检组各参加组织处理联检组报告的过程以及其立法/理事机构对报告的审议情况；",
"(d) 审查联合国系统各组织健康保险计划的质量、效力、效率和可持续性；",
"(e) 审查联合国系统各组织使用编外人员情况及有关合同模式。",
"13. 联检组2023年初步工作方案包括以下审查：",
"(a) 审查联合国系统各组织的分散式评价职能；",
"(b) 审查联合国系统的医疗服务；",
"(c) 审查联合国系统各组织防止和应对性剥削和性虐待以及性骚扰的政策和做法；",
"(d) 审查联合国系统各组织的信息技术战略和治理与组织目标的一致性；",
"(e) 审查联合国系统各组织的数据治理框架和做法；",
"(f) 审查联合国系统的数据隐私政策和做法。",
"14. 工发组织继续赞赏地注意到联检组与首协会秘书处之间的紧密合作。",
"六. 需请理事会采取的行动",
"15. 理事会似宜注意到本文件所载信息，并就IDB.50/CRP.9号会议室文件所总结的给联合国系统各组织行政首长及立法和理事机构的建议提供具体指导意见。",
"[1] 所有正式语文本的联检组报告和说明以及联检组提交联合国大会的年度报告可以通过联检组网站（www.unjiu.org）查阅。",
"[2] 在本报告编写之时。",
"[3] 进一步详情见附件一。",
"[4] 关于访问联检组网络跟踪系统的相关信息，请参见第4段。",
"[5] 按照联检组网络跟踪系统所载信息。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 14 of the provisionalagenda \nActivities of the JointInspection Unit",
"Activities of the Joint Inspection Unit",
"Report by the Director General",
"The present document provides information on the activities of the Joint Inspection Unit (JIU) in accordance with the follow-up scheme to recommendations in accordance with decision IDB.24/Dec.11.",
"I. Introduction",
"1. The Joint Inspection Unit (JIU) became a subsidiary organ of the Industrial Development Board by its decision IDB.1/Dec.22. A system of follow-up to JIU recommendations was outlined in document IDB.24/18 and subsequently approved in decision IDB.24/Dec.11. In accordance with the provisions therein, JIU reports will be considered by each regular Board session.",
"II. Reports and notes submitted by the Joint Inspection Unit",
"2. A total of seven JIU reports[1] were received[2] by the Organization in 2021 and 2022 since the previous Board document covering this subject (IDB.49/21). The six reports as listed below are of relevance to UNIDO:",
"JIU/REP/2020/7: Blockchain applications in the United Nations system: towards a state of readiness;",
"JIU/REP/2021/2: Review of United Nations system support for landlocked developing countries to implement the Vienna Programme of Action;",
"JIU/REP/2021/3: Cybersecurity in the United Nations system organizations;",
"JIU/REP/2021/4: Review of the management of implementing partners in United Nations system organizations;",
"JIU/REP/2021/5: Review of the ethics function in the United Nations system;",
"JIU/REP/2021/6: Business continuity management in United Nations system organizations.",
"3. The present document is supplemented with a conference room paper (IDB.50/CRP.9) which includes hyperlinks to the respective JIU reports as well as hyperlinks to the relevant comments on said reports by the United Nations System Chief Executives Board for Coordination (CEB). It is recalled that recommendations and statistics applicable to UNIDO are available through the web-based tracking system (WBTS).[3] The WBTS also includes UNIDO’s compliance and comments on recommendations. A summary of recommendations for consideration by the UNIDO Director General and UNIDO legislative bodies, as well as UNIDO comments, is included in document IDB.50/CRP.9.",
"III. Implementation of Joint Inspection Unit recommendations at UNIDO",
"4. As mentioned in previous reports, Member States can be granted read-only access to the consolidated data on the status of implementation of recommendations on the JIU’s WBTS. Interested Member States can register with the JIU through the UNIDO Focal Point for JIU matters in the Office of Evaluation and Internal Oversight, via email to eio@unido.org.",
"5. UNIDO updates the WBTS with pertinent information on recommendations issued in the last three years. This includes information on the recommendation status of acceptance, the status of implementation and the impact achieved.",
"6. The status of acceptance and implementation for UNIDO for the period 2019–2021 is presented in the table below. It is shown as percentage of recommendations issued.",
"Table[4] (Status as at 31 August 2022)",
"Acceptance Implementation\n Accepted Not Not Under Not Implemented In Not Not accepted relevant consideration available progress started available",
"UNIDO 62.73 2.73 10.00 9.09 15.45 56.52 23.19 13.04 7.25",
"IV. Specific JIU recommendations needing attention by the Board",
"7. In the JIU report on Cybersecurity in the United Nations system organizations (JIU/REP/2021/3), JIU “Inspectors recall a letter addressed to the Secretary-General in 2017, in which the representatives of the United Nations system oversight committees, on the occasion of their first ever joint meeting, identified among the three core concerns for the United Nations system organizations the need for management to give due consideration to new and emerging risks, in particular the global and business critical threats posed to cybersecurity, and the risks emerging from new ways of working as digital transformation gathered pace.”",
"8. In its report on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (IDB.50/3-PBC.38/3) and with reference to its previous report (IDB.49/3-PBC.37/3), the UNIDO External Auditor “recommended that UNIDO consider taking measures to increase the overall level of cybersecurity and reduce the risk of real attackers employing the vulnerabilities discovered” (recommendation No. 47 refers). In its response, UNIDO informed that “the proposal to increase the IT budget was only partially supported by Member States for the biennium 2022–2023. Certain key initiatives linked to addressing the root causes of the successful access to internal data, such as the implementation of Multi-Factor Authentication, are delayed until resourcing is addressed”. The External Auditor acknowledged that critical vulnerabilities identified through the penetration test have been remediated. At the same time, the External Auditor noted that the existing overall level of cybersecurity does not guarantee sufficient protection against further attacks and process for vulnerability management must be established.",
"9. In this regard, it should also be noted that the Independent Oversight Advisory Committee (OAC) equally expressed its concerns about the high risk the Organization has been forced to accept with regard to the state of its IT services, including cybersecurity, and brought this issue to the urgent attention of the Board for its consideration of appropriate action in soliciting the support of and obtaining an adequate level of resource allocation by legislative and governing bodies (document IDB.50/22 refers).",
"V. JIU work programmes 2022 and 2023",
"10. As in previous years, the JIU informed on its programme of work for 2022, and also invited participating organizations to submit their proposals for its programme of work for 2023.",
"11. The JIU work programme for 2022 included six reviews. Five of the reviews are of system-wide coverage and one relates to a management and administrative review of a participating organization.",
"12. The below five reviews are of interest to UNIDO:",
"(a) Flexible working arrangements in United Nations system organizations;",
"(b) Review of mental health and well-being policies and practices in United Nations system organizations;",
"(c) Review of the acceptance and implementation of JIU recommendations by the United Nations system organizations, the process of handling the JIU reports by the JIU participating organizations and their consideration by their legislative/governing bodies;",
"(d) Review of quality, effectiveness, efficiency, and sustainability of health insurance schemes in the United Nations system organizations; and",
"(e) Review of the use of non-staff personnel and related contractual modalities in the United Nations system.",
"13. The preliminary JIU programme of work for 2023 includes the following reviews:",
"(a) Review of the decentralized evaluation function in the United Nations system organizations;",
"(b) Review of medical services in the United Nations system;",
"(c) Review of policies and practices to prevent from and respond to sexual exploitation and abuse (SEA) and sexual harassment (SH) in the United Nations system organizations;",
"(d) Review of the alignment of information technology strategies and governance with organizational goals in United Nations system organizations;",
"(e) Review of data governance frameworks and practices in the United Nations system organizations; and",
"(f) Review of data privacy policies and practices in the United Nations system.",
"14. UNIDO continues to note with appreciation the close cooperation between the JIU and the Secretariat of the CEB.",
"VI. Action required of the Board",
"15. The Board may wish to take note of the information contained in the present document and provide specific guidance on the recommendations addressed to executive heads of United Nations system organizations and legislative and governing bodies, as summarized in conference room paper IDB.50/CRP.9.",
"[1] JIU reports and notes, as well as the JIU Annual Report to the General Assembly, in all official languages can be accessed via the JIU website (www.unjiu.org).",
"[2] At the time this report was prepared.",
"[3] Please refer to paragraph 4 for information regarding access to the JIU WBTS.",
"[4] As per information contained in the JIU WBTS."
] | IDB.50_21 | [
"Industrial Development Board",
"For reasons of economy, this document has not been issued. Delegates are kindly requested to bring their copies of documents to meetings.",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Item 14 of the provisional agenda",
"Activities of the Joint Inspection Unit",
"Activities of the Joint Inspection Unit",
"Report by the Director-General",
"In accordance with the follow-up to recommendations described in decision IDB.24/Dec.11, the present document provides information on the activities of the Joint Inspection Unit (JIU).",
"Introduction",
"In accordance with Industrial Development Board decision IDB.1/Dec.22, the Joint Inspection Unit (JIU) became a subsidiary body of the Industrial Development Board. The follow-up to JIU recommendations was outlined in document IDB.24/18 and subsequently approved in decision IDB.24/Dec.11. In accordance with the provisions contained therein, the Board will consider JIU reports at each regular session.",
"Reports and notes submitted by the Joint Inspection Unit",
"2. Since the last Board document on the subject (IDB.49/21), the Organization has received seven JIU reports in 2021 and 2022. The following six reports are relevant to UNIDO: [3]",
"JIU/REP-2020/7: Sector chain application in the United Nations system: ready;",
"JIU/REP/221/2: Review of United Nations system support to landlocked developing countries for the implementation of the Vienna Programme of Action;",
"JIU/REP/221/3: Cybersecurity in United Nations system organizations;",
"JIU/REP/221/4: Review of management of implementing partners in United Nations system organizations;",
"JIU/REP/221/5: Review of the ethics function in the United Nations system;",
"JIU/REP/221/6: Business continuity management in the United Nations system organizations.",
"The present document is complemented by a conference room paper (IDB.50/CRP.9) which provides links to the corresponding JIU reports and to the relevant comments of the United Nations System Chief Executives Board for Coordination (CEB) on those reports. It was recalled that recommendations and statistics applicable to UNIDO were available through the web-based tracking system. [4] The web-based tracking system also provides UNIDO compliance and comments on recommendations. A summary of the recommendations for consideration by the Director-General of UNIDO and the legislative bodies of UNIDO and UNIDO ' s comments are contained in document IDB.50/CRP.9.",
"III. Implementation of Joint Inspection Unit recommendations at UNIDO",
"As mentioned in previous reports, Member States may be granted “read-only” access to comprehensive data on the status of implementation of recommendations in the JIU web-based tracking system. Interested Member States could register with JIU through the UNIDO JIU focal point in the Evaluation and Internal Oversight Office at e-mail address eio@unido.org.",
"5. UNIDO updates the relevant information on the recommendations issued over the past three years on the web-based tracking system, including the status of acceptance, implementation status and impact achieved.",
"6. The status of acceptance and implementation of recommendations by UNIDO during the period 2019-2021 is shown in the table below. The status is expressed as a percentage of recommendations issued.",
"Table [5] (Status as at 31 August 2022)",
"Accepted Implementation Accepted Unaccepted Unrelevant Consideration Not available Implemented In progress Not started",
"UNIDO 62.73 2.73 10.00 9.09 15.45 56.52 23.19 13.04 7.25",
"Specific JIU recommendations that require the Board's attention",
"In the JIU report on “Network security in the United Nations system organizations” (JIU/REP/221/3), the JIU “the Inspectors recall that in a letter addressed to the Secretary-General in 2017, representatives of the United Nations system oversight committees who participated in the first joint meeting identified the need for management to give due consideration to new and emerging risks among the three core concerns of United Nations system organizations, in particular the global and key business threats to network security, as well as the risks of new ways of working as the pace of digital transformation accelerates”.",
"In its report on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (IDB.50/3-PBC.38/3), and taking into account its previous report (IDB.49/3-PBC.37/3), the External Auditor of UNIDO “recommends that UNIDO consider measures to improve the overall level of network security and to reduce the risks and prevent genuine attackers from taking advantage of the loopholes identified” (recommendation 47 refers). In response, UNIDO informed that “the proposal to increase the information technology budget for the biennium 2022-2023 received only partial support from Member States. Some key initiatives related to addressing the root causes of successful access to in-house data, such as the introduction of multi-factor identification, have been deferred until resource allocation issues have been addressed.” The External Auditor acknowledged that the key gaps identified through the infiltration tests had been remedied. At the same time, the External Auditor noted that the current overall level of network security was insufficient to prevent further attacks and that a gap management process had to be established.",
"9. In this regard, it should also be noted that the Independent Advisory Committee on Oversight (IAAC) shared concerns about the high risk that the Organization was forced to accept in terms of the status of information technology services, including network security, and drew the Board ' s urgent attention to the issue in order to consider appropriate action to secure the support of legislative and governing bodies and adequate resource allocation (as mentioned in document IDB.50/22).",
"Programme of work of the Unit for 2022 and 2023",
"10. As in previous years, JIU informed about its 2022 programme of work and invited participating organizations to submit proposals for its 2023 programme of work.",
"11. The JIU programme of work for 2022 included six reviews, five of which covered system-wide and the other concerned a management and administration review of a participating organization.",
"The following five reviews are relevant to UNIDO:",
"(a) Flexible working arrangements for United Nations system organizations;",
"(b) Review of mental and mental health policies and practices in organizations of the United Nations system;",
"(c) Review of the acceptance and implementation of JIU recommendations by organizations of the United Nations system, the process of processing JIU reports by participating organizations and their consideration by their legislative/governing bodies;",
"(d) Review of the quality, effectiveness, efficiency and sustainability of health insurance plans in the organizations of the United Nations system;",
"(e) Review of the use of non-staff personnel and related contractual modalities in United Nations system organizations.",
"13. The preliminary programme of work of the Unit for 2023 included the following reviews:",
"(a) Review of the decentralized evaluation function in United Nations system organizations;",
"(b) Review of medical services in the United Nations system;",
"(c) Review of policies and practices in the United Nations system organizations to prevent and respond to sexual exploitation and abuse and sexual harassment;",
"(d) Review of the coherence of the information technology strategies and governance and organizational objectives of the organizations of the United Nations system;",
"(e) Review of data governance frameworks and practices in United Nations system organizations;",
"(f) Review of data privacy policies and practices in the United Nations system.",
"UNIDO continues to note with appreciation the close cooperation between the JIU and the CEB secretariat.",
"VI. Action required of the Board",
"The Board may wish to take note of the information contained in the present document and provide specific guidance on the recommendations summarized in conference room paper IDB.50/CRP.9 to the executive heads and legislative and governing bodies of the organizations of the United Nations system.",
"[1] The JIU reports and notes in all official languages, as well as the Unit ' s annual report to the General Assembly, are available on the JIU website (www.unjiu.org).",
"[2] At the time of writing.",
"[3] For further details, see annex I.",
"[4] For information on access to the JIU web-based tracking system, please refer to paragraph 4.",
"[5] Based on information contained in the JIU web-based tracking system."
] |
[
"工业发展理事会",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"临时议程项目15",
"工发组织独立监督咨询委员会",
"独立监督咨询委员会的报告",
"主席的报告",
"本文件系根据IDB.44/Dec.4和IDB.48/Dec.5号决定而印发，这两项决定通过了经修订的独立监督咨询委员会（监咨委）职权范围。本报告介绍监咨委的活动情况和咨询建议。",
"一. 导言",
"1. 自独立监督咨询委员会（监咨委）上次向理事会提交报告（IDB.49/22）以来，由于旅行限制，监咨委以虚拟方式举行了多次会议。这些会议包括分别于2021年7月和12月举行的第七次和第八次会议。第九次会议于2022年6月在工发组织总部举行。",
"2. 监咨委的工作继续侧重于其职权范围规定的关键任务。",
"3. 2022年，监咨委继续注重三个优先领域：成果管理制；监督职能（评价、调查和内部审计）的独立性和资源；各项建议和管理行动计划的执行情况。",
"4. 本文件重点介绍：(a)工发组织在治理、问责制、评价和内部审计方面取得的主要成就；以及(b)监咨委认为理事会在审议中应当了解并考虑的剩余风险的关键领域。",
"5. 监咨委注意到工发组织在总干事Gerd Müller先生领导下正在进行的改革和结构调整。监咨委将跟进这一改革对与其任务授权有关的各领域的影响，如治理、问责制、监督、合规和成果管理制。监咨委随时准备应要求就任何相关领域向新的领导层提供具体咨询意见。",
"出于可持续性的原因，本文件未作印发。敬请各位代表参阅所有文件的电子版。",
"二. 工发组织在治理、风险管理和监督方面的进展",
"评价和内部监督办公室",
"6. 监咨委高兴地注意到，评价和内部监督办公室于2021年9月颁布了经修订的评价（DGB/2021/11）、内部审计（DGB/2021/12）和调查（DGB/2021/13）政策，并于2022年5月发布了《调查准则》（AI/2022/03）。",
"7. 监咨委审查了评价和内部监督办公室2022-2023年评价和内部审计工作计划的执行情况。监咨委注意到评价和内部监督办公室工作计划的战略一致性，并欢迎将对这些计划进行审查，并在必要时进行调整，使之与组织结构调整的结果和新的管理优先事项保持一致。",
"8. 监咨委认可评价和内部监督办公室在过去一年进行的内部审计和评价工作，特别是：",
"• 审计和评价职能部门就COVID-19经验教训开展的首次联合咨询活动；",
"• 全额费用回收过程的内部审计保证审查；",
"• 对《工发组织性别平等和增强妇女权能政策》（2015年）和《战略》（2016-2019年）、工发组织2018-2021年中期方案纲要以及塞内加尔国别伙伴关系方案的独立评价。",
"外部审计",
"9. 监咨委对外聘审计员在其关于工发组织2021年1月1日至12月31日财政年度账目的报告（IDB.50/3-PBC.38/3）中提出无保留意见感到高兴，并就该报告发表了评论意见（PBC.38/CRP.3）。",
"10. 监咨委建议管理层加快落实以往外部审计报告中尚未落实的建议和行动计划。",
"对管理行动计划进行协调",
"11. 监咨委注意到，总干事公报宣布了一些总司的新结构，[1]并注意到设立建议和管理行动计划监测和执行协调人职能（以前归总体管理和业务总司执行干事）一事尚未明确。这一角色对于作为一项管理职责协调监测和执行工作至关重要。这一角色应当拥有很高的权力，以确保管理行动计划得到执行。",
"12. 监咨委强烈建议工发组织管理层整合来自不同保证提供方的建议和管理行动计划，以确定各项行动的优先次序。",
"三. 需要进一步关注的挑战",
"按成果编制预算和成果管理制",
"13. 本组织正在从第一份基于成果的预算中吸取经验教训。在没有基准数据的情况下，跟踪非业务（例如财务）目标的成果比跟踪业务成果以及结果和影响的挑战性要小一些。本预算周期将有助于提供基准数据。在下一份年度报告中，监咨委预期将看到更多的成果证据。主要挑战是数据的质量和覆盖面，以及更系统地将数据和指标用于决策。工发组织仍有很长的路要走，需要改变文化。",
"14. 调整战略使之与方案和预算以及工作计划相一致仍然是一个差距和重大挑战。中期方案纲要的评价强调了这些问题，并为解决这些问题制定了管理行动计划。",
"15. 需要解决技能和能力方面的总体局限性，以在内部培养更强有力的成果管理制文化。",
"16. 另一项挑战是，通过认识到按成果分配预算的重要性，确保成员国对这一进程的承诺，从而确保工发组织在下一个预算周期继续推进成果预算制。",
"工发组织内部的监督职能",
"17. 监咨委重申以前曾提出的关切，外聘审计员也提到这一关切，就是专用于评价和内部监督办公室的业务资源不够，不允许该办公室涵盖从审计、评价和调查的角度看工发组织的优先高风险领域和证据差距。资源限制意味着评价和内部监督办公室能够向理事会提供的保证是有限的。",
"18. 监咨委重申，需要为各项独立监督职能编制更加透明、可持续和可预测的业务预算。监咨委赞赏地注意到，目前工发组织的结构调整正在考虑监咨委关于在方案和预算中明确分开用于评价和内部监督办公室各项职能的资源的建议。迫切需要关注加强评价和内部监督办公室的调查职能，为之配备充足的人员和提供充足的资源。",
"机构风险管理",
"19. 在定期会议期间，监咨委听取了前总干事业务协调和风险管理特别顾问关于与机构风险管理有关的活动和挑战的最新情况介绍。",
"20. 监咨委指出，在实施成果和风险协调人网络方面存在挑战，需要进一步制度化，目前这一进程似乎不归管理层掌控。在撰写本报告之时，机构风险管理职能在工发组织新结构中的位置和职责尚未明确。监咨委将跟进此事。",
"信息技术和网络安全",
"21. 监咨委收到了关于信息技术和网络安全相关挑战的最新报告，并且关切地注意到，在提供资金以解决差距方面没有取得多大进展，这些差距如果不解决，将增加信息技术安全风险和未来的预算影响。",
"22. 监咨委注意到正在制定数据保护政策。",
"工发组织的改革和结构调整",
"23. 在宣布结构变革期间和之后，工发组织内部需要进行变革管理，这一点至关重要。监咨委鼓励总干事利用监咨委的建议加强工发组织的治理和问责框架。",
"24. 总干事对成果预算制、成果管理制和机构风险管理的大力支持对于使本组织更加注重成果、更加有效和更有影响力至关重要。",
"四. 需请理事会采取的行动",
"25. 理事会不妨注意到本文件所载信息，并就以下方面提供指导意见:",
"(a) 建议监咨委在2022年和2023年进一步关注的优先领域；",
"(b) 根据《评价和内部监督办公室章程》（理事会IDB.48/Dec.10号决定），进一步加强评价和内部监督办公室的各项职能，将其作为对于分配给该办公室的财政和人力资源的独立管理部门。",
"[1] 2022年8月3日的DGB/2022/14和2022年8月5日的DGB/2022/15。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 15 of the provisionalagenda UNIDO Independent Oversight \n Advisory Committee",
"Report of the Independent Oversight Advisory Committee",
"Report by the Chair",
"This document is issued pursuant to decisions IDB.44/Dec.4 and IDB.48/Dec.5, which adopted the revised terms of reference for the Independent Oversight Advisory Committee (OAC). The present report provides information on the OAC’s activities and advice.",
"I. Introduction",
"1. Since the Independent Oversight Advisory Committee (OAC) last reported to the Board (IDB.49/22), the OAC held multiple meetings virtually due to travel restrictions. This included its seventh and eighth meetings in July and December 2021 respectively. The ninth meeting took place at UNIDO headquarters in June 2022.",
"2. The OAC work continues to focus on the key mandate defined in its terms of reference.",
"3. For 2022, the OAC continues to emphasize three priority areas: results-based management (RBM); independence and resources for oversight functions (evaluation, investigation and internal audit); and implementation of recommendations and management action plans (MAPs).",
"4. This document provides highlights on: (a) key achievements by UNIDO in governance, accountability, evaluation and internal audit; and (b) key areas of residual risk the OAC believes the Board should be aware of and consider in its deliberations.",
"5. The OAC takes note of the ongoing reform and restructuring of UNIDO under the Director General, Mr. Gerd Müller. The OAC will follow up on the impact of this reform on areas related to its mandate, such as governance, accountability, oversight, compliance and RBM. The OAC remains ready to provide specific advice to the new administration on any related areas, as requested.",
"II. Progress in governance, risk management and oversight at UNIDO",
"Office of Evaluation and Internal Oversight",
"6. The OAC is pleased to recognize that the Office of Evaluation and Internal Oversight (EIO) has promulgated revised evaluation (DGB/2021/11), internal audit (DGB/2021/12) and investigation (DGB/2021/13) policies in September 2021, and issued Investigation Guidelines in May 2022 (AI/2022/03).",
"7. The OAC reviewed the delivery status of EIO evaluation and internal audit workplans for 2022–2023. The OAC noted the strategic alignment of EIO workplans, and welcomes that these plans will be reviewed and, if necessary, adjusted to align with the outcome of organizational restructuring and new management priorities.",
"8. The OAC recognizes EIO’s internal audit and evaluation engagements conducted in the last year, in particular, the:",
"• First joint advisory engagement undertaken by audit and evaluation functions on COVID-19 lessons learned;",
"• Internal audit assurance review of the full cost recovery process; and",
"• Independent evaluations of UNIDO’s Policy (2015) and Strategy (2016–2019) on Gender Equality and Empowerment of Women, UNIDO’s medium-term programme framework (MTPF) 2018–2021 and of the Programme for Country Partnership in Senegal.",
"External audit",
"9. The OAC is pleased with the unqualified opinion by the External Auditor in their report on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (IDB.50/3–PBC.38/3) and has provided comments on the report (PBC.38/CRP.3).",
"10. The OAC recommends that management accelerate the implementation of outstanding recommendations and action plans from past external audit reports.",
"Coordinating management action plans",
"11. The OAC took note of the Director General bulletins announcing the new structure for some Directorates[1] and noted that the establishment of the function of the Focal Point for the monitoring and implementation of recommendations and MAPs (formerly assigned to the Managing Director of the Directorate of Corporate Management and Operations) is not yet explicit. This role is key to coordinating monitoring and implementation as a management responsibility. It should have a very high level of authority to ensure the implementation of MAPs.",
"12. The OAC strongly recommends that UNIDO management consolidate the recommendations and MAPs from different assurance providers for prioritization of various actions.",
"III. Challenges requiring further attention",
"Results-based budgeting and management",
"13. The Organization is learning from the first results-based budget. Tracking results for non-operational (e.g. financial) targets is less challenging than operational results, and outcome and impact, where baselines were not available. The current budget cycle will help provide the baselines. In the next annual report, the OAC would expect to see more evidence of results. The main challenges are the quality of data and coverage, and having a more systematic use of data and indicators for decision-making. UNIDO still has a long way to go, and there is need for culture change.",
"14. Aligning strategy to the programme and budgets and to workplans remains a gap and a major challenge. The MTPF evaluation highlights these issues and MAPs have been formulated to address them.",
"15. Overarching constraints on skills and capacities need to be addressed to foster a stronger RBM culture in-house.",
"16. Another challenge is to ensure Member States’ commitment to the process by recognizing the importance of allocating budgets according to results, ensuring that UNIDO continues moving forward with RBB under the next budget cycle.",
"Oversight function within UNIDO",
"17. The OAC reiterates the concerns it has raised previously, also noted by the External Auditors, that the inadequate operational resources devoted to the Office of Evaluation and Internal Oversight do not allow it to cover priority high-risk and evidence gaps at UNIDO from an audit, evaluation and investigation perspective. Resource constraints mean that the assurance EIO can provide to the Board is limited.",
"18. The OAC reiterates that there is a need for a more transparent, sustainable and predictable operational budget for independent oversight functions. The OAC appreciates that its recommendation to clearly separate resources for EIO functions in the programme and budgets is being considered in the current UNIDO restructuring. Urgent attention should be given to strengthening the EIO investigation function with adequate staffing and resources.",
"Enterprise risk management",
"19. During its regular meetings, the OAC was provided updates by the former Special Adviser to the Director General on Operations Coordination and Risk Management on activities and challenges in connection with enterprise risk management (ERM).",
"20. The OAC noted that challenges exist with the implementation of the Results and Risk Focal Points’ network and that this required further institutionalization, and that currently the process did not appear to be owned by management. At the date of writing this report, the location and responsibilities for the ERM function within the new UNIDO structure has not been articulated. The OAC will follow up on this matter.",
"Information technology and cybersecurity",
"21. The OAC has received updates on the challenges related to information technology (IT) and cybersecurity, and notes with concern that there has not been much progress in funding to address the gaps that increase IT security risk and future budgetary implications if not resolved.",
"22. The OAC noted that a data protection policy is under development.",
"UNIDO reform and restructuring",
"23. The need for change management within UNIDO during and after the announcement of the structural changes is crucial. The OAC encourages the Director General to make use of the OAC’s advice in strengthening UNIDO’s governance and accountability framework.",
"24. Strong support by the Director General on RBB, RBM and ERM is essential to make the Organization more result-focused, more effective and impactful.",
"IV. Action required of the Board",
"25. The Board may wish to take note of the information contained in the present document and provide guidance on the following:",
"(a) Suggested priority areas for further attention by the OAC in 2022 and 2023; and",
"(b) Further strengthening the EIO functions, as an independent authority over the financial and human resources allocated to EIO, based on the EIO Charter (Board decision IDB.48/Dec.10).",
"[1] DGB/2022/14 of 3 August 2022 and DGB/2022/15 of 5 August 2022."
] | IDB.50_22 | [
"Industrial Development Board",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Item 15 of the provisional agenda",
"UNIDO Independent Oversight Advisory Committee",
"Report of the Independent Oversight Advisory Committee",
"Report of the Chairman",
"The present document has been issued in accordance with decisions IDB.44/Dec.4 and IDB.48/Dec.5, which adopted revised terms of reference for the Independent Oversight Advisory Committee (IAC). The present report provides information on the activities and advice of the Board.",
"Introduction",
"1. Since the last report of the Independent Advisory Committee on Oversight (IAAC) to the Board (IDB.49/22), IAMB has held several meetings in virtual format due to travel restrictions. These included the seventh and eighth meetings, held in July and December 2021, respectively. The ninth meeting was held at UNIDO Headquarters in June 2022.",
"2. The work of the Board continued to focus on the key tasks set out in its terms of reference.",
"In 2022, the Board continued to focus on three priority areas: results-based management; independence and resources of the oversight function (evaluation, investigation and internal audit); and implementation of recommendations and management action plans.",
"The present document highlights: (a) the main achievements of UNIDO in governance, accountability, evaluation and internal audit; and (b) the key areas of residual risk that the Board considers should be understood and taken into account in its deliberations.",
"The Board noted the ongoing reform and restructuring of UNIDO under the leadership of Mr. Gerd Müller, Director-General. The Board will follow up on the impact of this reform in areas relevant to its mandate, such as governance, accountability, oversight, compliance and results-based management. The Board stands ready to provide specific advice to the new leadership, upon request, on any relevant area.",
"For reasons of sustainability, this document has not been issued. Delegates are kindly requested to consult the electronic versions of all documents.",
"II. UNIDO progress in governance, risk management and oversight",
"Evaluation and Internal Oversight Office",
"6. The Board is pleased to note that the Evaluation and Internal Oversight Office issued revised evaluation (DGB/221/11), internal audit (DGB/221/12) and investigation (DGB/221/13) policies in September 2021 and the Investigation Guidelines (AI/2022/03) in May 2022.",
"7. The Board reviewed the implementation of the Evaluation and Internal Oversight Office 2022-2023 evaluation and internal audit workplan. The Board noted the strategic alignment of the Evaluation and Internal Oversight Office workplans and welcomed the fact that the plans would be reviewed and adjusted as necessary to align them with the results of the organizational restructuring and new management priorities.",
"8. The Board acknowledges the internal audit and evaluation work undertaken by the Evaluation and Internal Oversight Office over the past year, in particular:",
"• The first joint advisory exercise of the audit and evaluation function on lessons learned from COVID-19;",
"• Internal audit assurance review of the full cost recovery process;",
"• Independent evaluation of the UNIDO Policy on Gender Equality and the Empowerment of Women (2015) and Strategy (2016-2019), UNIDO medium-term programme framework 2018-2021 and the Senegal country partnership programme.",
"External audit",
"The Board was pleased with the unqualified opinion of the External Auditor in his report on the accounts of UNIDO for the financial year 1 January to 31 December 2021 (IDB.50/3-PBC.38/3) and commented on it (PBC.38/CRP.3).",
"10. The Board recommends that management expedite the implementation of outstanding recommendations and action plans in previous external audit reports.",
"Coordination of management action plans",
"11. The Board noted that the Director-General ' s bulletin had announced some of the new structure of the Directorate-General and that the establishment of the functions of the Monitoring and Implementation Focal Point for the Recommendations and Management Action Plan (previously the Executive Officer of the Directorate-General for Management and Operations) had not yet been clarified. This role is essential to coordinate monitoring and implementation as a management function. This role should have a high level of authority to ensure that management action plans are implemented.",
"12. The Board strongly recommends that UNIDO management integrate recommendations and management action plans from different assurance providers to prioritize actions.",
"III. Challenges requiring further attention",
"Results-based budgeting and results-based management",
"13. The Organization is drawing lessons from the first results-based budget. In the absence of baseline data, tracking results against non-operational (e.g. financial) targets is less challenging than tracking operational results and results and impact. This budget cycle will facilitate the provision of baseline data. In its next annual report, the Board expects to see more evidence of results. The main challenges are the quality and coverage of data and the more systematic use of data and indicators for decision-making. UNIDO still had a long way to go and needed a cultural change.",
"14. Aligning the strategy with the programme and budgets and work plans remains a gap and a major challenge. The evaluation of the medium-term programme framework highlighted these issues and developed a management action plan to address them.",
"15. Overall limitations in skills and competencies need to be addressed in order to foster a stronger RBM culture internally.",
"Another challenge was to ensure that UNIDO continued to advance results-based budgeting in the next budget cycle by recognizing the importance of results-based budgeting and ensuring the commitment of Member States to that process.",
"Oversight functions within UNIDO",
"The Board reiterated its previous concern, also referred to by the External Auditor, that the operational resources dedicated to the Evaluation and Internal Oversight Office were insufficient to allow the Office to cover UNIDO ' s priority high-risk areas and evidentiary gaps from an audit, evaluation and investigation perspective. Resource constraints meant that the Office of Evaluation and Internal Oversight could provide limited assurance to the Council.",
"18. The Board reiterates the need for more transparent, sustainable and predictable operational budgets for independent oversight functions. The Board noted with appreciation that the current restructuring of UNIDO was considering the recommendation of the Board to clearly separate resources in the programme and budgets for the various functions of the Evaluation and Internal Oversight Office. There is an urgent need to focus on strengthening the investigation function of the Evaluation and Internal Oversight Office with adequate staffing and resources.",
"ERM",
"19. During its regular meetings, the Board was updated by the former Special Adviser to the Director-General on Operational Coordination and Risk Management on activities and challenges related to ERM.",
"20. The Board noted that there were challenges in the implementation of the results and risk focal point network that needed to be further institutionalized and that the process did not appear to be in the hands of management at present. At the time of writing, the location and responsibilities of the ERM function in the new structure of UNIDO had not yet been clarified. The Board will follow up on this matter.",
"Information technology and network security",
"21. The Board received an updated report on information technology and cybersecurity-related challenges and noted with concern that little progress had been made in providing funds to address gaps that, if not addressed, would increase information technology security risks and future budgetary implications.",
"22. The Board noted that a data protection policy was being developed.",
"Reform and restructuring of UNIDO",
"23. The need for change management within UNIDO during and after the announcement of structural changes was crucial. The Board encourages the Director-General to use the recommendations of the Board to strengthen the governance and accountability framework of UNIDO.",
"24. The strong support of the Director-General for results-based budgeting, results-based management and enterprise risk management was essential to making the Organization more results-oriented, effective and influential.",
"Action required of the Board",
"The Board may wish to take note of the information contained in this document and provide guidance on:",
"(a) Recommended priority areas for further attention by the Board in 2022 and 2023;",
"(b) Further strengthen the functions of the Evaluation and Internal Oversight Office as an independent management of the financial and human resources allocated to the Office, in accordance with the Statute of the Evaluation and Internal Oversight Office (IDB.48/Dec.10).",
"[1] DGB/2022/14 of 3 August 2022 and DGB/202/15 of 5 August 2022."
] |
[
"工业发展理事会",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"临时议程项目16",
"评价和内部监督活动",
"评价活动",
"评价和内部监督办公室主任的报告",
"本报告根据IDB.44/Dec.3号和IDB.48/Dec.10号决定介绍评价职能活动情况，并更新IDB.49/24号文件所载的上一份报告。",
"1. 背景",
"1. 评价和内部监督办公室负责履行监督职能，包括内部审计、调查和评价职能。评价和内部监督办公室的任务是提供独立和客观的保证、咨询、调查和评价，目的是为工发组织业务、内部控制框架、风险管理、成果管理制和治理进程增添价值并提高其效率和效力。此外，评价和内部监督办公室还充任协调联合国联合检查组（联检组）活动的联络中心，并作为工发组织独立监督咨询委员会（监咨委）的秘书处。",
"2. 评价职能依循《评价和内部监督办公室章程》、[1]和《工发组织评价政策》（2021年发布的订正版）。[2]《评价手册》为评价职能提供了进一步指导。评价职能负责管理和开展工发组织内部不同类型的独立评价并为其提供质量保证，并监督管理层对此类评价所做回应。",
"3. 评价和内部监督办公室评价职能编入预算的员额目前包括四名专业人员和一名一般事务人员。其中一个专业人员员额目前空缺。",
"2. 本报告期内取得的主要成就",
"4. 评价和内部监督办公室政策框架得以进一步加强：2021年取得的一个重要进展是印发了订正评价政策，基于《评价和内部监督办公室章程》进一步加强了该办公室的监督作用及其独立性。",
"5. 评价和内部监督办公室风险和证据差距评估方法以及审计和评价范围得以增强，并与工发组织2022-2025年中期方案框架和2022-2023年基于成果的方案和预算保持一致，以反映工发组织在所有五个成果领域的战略目标。这为确保评价和内部监督办公室的工作与工发组织的战略领域保持一致奠定了坚实的基础，以便更有效地选择和协调独立评价，并优化互补，减少所有保证提供者(即内部审计职能、评价职能、外聘审计员和联检组)之间的潜在重复工作。",
"6. 评价和内部监督办公室在不确定性和快速变化时期充当灵活顾问：为此印发了《评价和内部监督办公室2020-2024年战略》，[3]，该文件于2020年1月发布，作为评价和内部监督办公室的关键管理和问责框架，该办公室继续调整其各项活动，以确保为实现本组织的各项目标和具体目标增加价值，并保持战略一致性。尽管在2019冠状病毒病（COVID-19）背景下面临诸多限制和挑战，但评价和内部监督办公室仍然保持了灵活性，并证明其各项服务是并将继续是知情决策、创新和变革的关键。管理层认为，评价为审议成果管理制、监测和报告等关键领域以及其他需要改进的组织领域奠定了基础，使决策者受益。",
"3. 评价和内部监督办公室评价工作概览",
"7. 年内，评价和内部监督办公室进一步根据当前COVID-19大流行的背景调整其工作计划，以确保其评价活动继续在战略和项目一级提供循证信息。",
"8. 在报告所涵盖的时期内，进行并完成了以下四项战略和机构一级的评价：",
"(a) 独立专题评价。《工发组织性别平等和增强妇女权能政策》（2015年）和《工发组织性别平等和增强妇女权能战略》（2016-2019年）；",
"(b) 独立评价。2015-2021年塞内加尔国别伙伴关系方案；；",
"(c) 独立专题评价。工发组织2018-2021年中期方案框架；以及",
"(d) 独立专题评价。工发组织促进根本性变革的能力。",
"9. 此外，还管理了20个独立的项目评价，为这些评价提供了质量保证并印发了评价报告。对技术合作项目和方案的评价由各自的项目或方案预算提供资金。",
"10. 工发组织的所有独立评价报告均可在工发组织网站上查阅（www.unido.org/ resources/evaluation）。",
"11. 该办公室继续监测管理层接受和落实项目评价建议的情况。",
"12. 自2021年以来，对于所有评估系统性、交叉性和/或整体性领域的战略评价(包括专题、国家一级评价)，都已实施了基于这些评价的结论和建议的商定管理行动计划。预计这将进一步加强管理层在处理这些评价所确定需要改进的领域方面的投入和自主权。截至目前，已与负责管理层商定并于2022年8月底前印发了共计12份管理行动计划。在报告所涵盖的时期内，5份管理行动计划已经结束，7份管理行动计划被认为正在进行，将继续监测执行水平。",
"13. 由于COVID-19大流行，原计划用来促进建设和加强成员国国家评价能力的现场评价培训不得不推迟。为了便利今后此类培训的开展，且不受外部因素影响，评价和内部监督办公室开发了一个在线评价培训课程，该活动将于2022年最后一个季度推出，供员工和外部合作伙伴广泛使用。",
"14. 评价和内部监督办公室为发起的几项举措提供了评价投入和建议，如加强工发组织的规范作用，并制定方案服务单元以及国别方案自评。",
"15. 评价和内部监督办公室确认，其在报告所涵盖的时期内开展评价活动时独立、客观地运作，不受任何内部或外部各方的干预和（或）影响。然而，应注意由于业务预算和人力资源限制而造成的掣肘。",
"4. 最新战略评价的主要结论",
"16. 《工发组织性别平等和增强妇女权能政策》（2015年）和《工发组织性别平等和增强妇女权能战略》（2016-2019年）。结论表明，工发组织在建立相关和有效的性别平等结构，包括性别平等办公室和性别平等问题协调中心网络方面取得了重大进展。这一结构使得能够且鼓励在方案和项目拟订阶段就进进行性别分析，并为在方案和项目一级转变工发组织工作人员的思维方式奠定了坚实的基础。需要进一步关注的领域包括：用于研究、监测和报告的数据收集和分析系统、战略规划、促进行为改变的奖励制度、管理层采取行动通过并落实单位一级性别平等计划，以及促进外地一级性别平等问题协调中心的参与。评价还确认，所有专业工作人员职等，特别是高级职等存在性别差距。",
"17. 工发组织2018-2021年中期方案框架。独立评价发现，中期方案框架为工发组织工作人员和利益攸关方提供了远景和使命，并有助于在工发组织的工作与其预期发展成果之间打造更出色的成果链。然而，工发组织高级管理层、工作人员和成员国很少将其用作规划或监测工具，主要原因是他们对实施中期方案框架的主人翁意识和问责意识不强。虽然在组织一级出现了一些积极变化，但中期方案框架既没有对工发组织的战略方向产生影响也没有促使其发生重大转变。因此，与其说它是一架指明本组织未来发展方向的望远镜，不如说是它是一面反映工发组织所做成果的镜子。",
"18. 2015-2021年塞内加尔国别伙伴关系方案。对塞内加尔国别伙伴关系方案进行的独立评价发现，国别伙伴关系方案促进了该国政府在不同领域的工业化努力，包括工业园区和农业中心，以及工业发展和中小产业部的支持。由于在国别伙伴关系方案下将工发组织在该国实施的所有干预措施都包括在内，所以该方案最初的高度相关性随着时间而淡化。工发组织国别伙伴关系方案协调作用的可用资源被认为是一个瓶颈，导致监测和报告方面减弱，特别是在不同合作伙伴的联合供资方面。评价建议在第二阶段改进这些领域。",
"19. 工发组织促进根本性变革的能力。这一独立评价侧重于工发组织发展合作项目和方案的设计如何解决社会经济和生态系统的复杂性问题。它认为，通过更系统地应用某些系统分析工具，有可能实现重大改进，并建议更加重视专题方案拟订。",
"5. 与联合国和其他评价机构的合作",
"20. 在整个报告期内，评价和内部监督办公室的评价职能部门积极参与了联合国评价小组的各项活动。除其他外，评价和内部监督办公室还参加了联合国评价小组专门工作组的评价做法交流活动，并（作为同行审议小组成员）参加了对联合国训练研究所评价职能的同行审议。评价和内部监督办公室还参加了评价专家小组，审议联合国教育、科学及文化组织2022-2029年时期最新评价政策。应国际移民组织（移民组织）的邀请，评价和内部监督办公室评价职能部门参加了移民组织关于评价使用情况的研究。",
"21. 评价和内部监督办公室参加了由其他组织主导的战略评价，例如正在进行的对欧洲联盟与联合国合作事宜的评价和对绿色经济行动伙伴关系的评价。",
"6. 加强评价职能的治理",
"22. 评价和内部监督办公室评价职能部门在例会期间一直向监咨委介绍其活动概况，并与监咨委分享其工作计划，以征求意见。",
"7. 前景",
"23. 评价和内部监督办公室2022-2023两年期评价工作计划和预算以证据差距评估为基础，并于2022年初获得总干事批准。计划于2022年下半年对国别伙伴关系方案战略框架进行专题评价，并对秘鲁国别伙伴关系方案进行评价。此外，预计2022年还将管理和开展超过15项强制性项目的终期评价。内部审计和评价职能部门将就工发组织与私营部门的伙伴关系开展联合咨询工作。这一联合参与将评估工发组织过往经验以及与私营部门战略伙伴关系的现状。",
"24. 2022年，总干事启动了工发组织的组织改革和重组，将在审查和更新评价和内部监督办公室2022-2023年工作计划时予以适当考虑这一点。我们还将对评价和内部监督办公室战略进行中期审查，以确保评价和内部监督办公室的独立评价职能继续满足新组织环境下对监督、问责和学习的需要，并继续为提高组织的效率、效力和影响力做出贡献。",
"25. 评价和内部监督办公室将继续向成员国通报情况，以促进对话，介绍评价活动，更新工作计划，并分享战略评价的主要结论。",
"26. 评价和内部监督办公室将继续探讨建立可持续和可预测的评价供资机制的可能性，以进一步加强评价职能的业务独立性。一项建议是合并作为整个项目和方案预算一部分而划拨的评价资金赠款。拟议的供资机制将有助于建立协同作用，并提高评价和内部监督办公室的业务能力。",
"27. 评价和内部监督办公室还将继续更新其评价指导文件，使其适应新的或经订正的内部政策框架、捐助方的要求、联合国的改革和国际评价的标准。",
"28. 在现有资源限制范围内，评价职能无法充分囊括其工作计划所列已查明的所有高度优先的证据差距领域。空缺的评价干事员额预计将在今后几个月内填补。",
"29. 同以往一样，内部监督和评价通过其有效、独立、可信和客观的职能协助本组织实现目标，其成效最终取决于是否得到工发组织高级管理层和各成员国的持续支持。",
"8. 需请理事会采取的行动",
"30. 理事会似宜注意到本文件提供的信息。",
"[1] 经工业发展理事会IDB.48/Dec.10号决定核准的总干事DGB/2020/11号公报。",
"[2] 总干事DGB/2020/11号公报。",
"[3] www.unido.org/sites/default/files/files/2020-02/EIO%20Strategy%202020-2024%20_FINAL.pdf。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 16 of the provisionalagenda \nEvaluation and internaloversight activities",
"Evaluation activities",
"Report by the Director of the Office of Evaluation and Internal Oversight",
"The present report provides information on the activities of the evaluation function in accordance with decisions IDB.44/Dec.3 and IDB.48/Dec.10, and updates the previous report contained in IDB.49/24.",
"I. Background",
"1. The Office of Evaluation and Internal Oversight (EIO) is responsible for the oversight functions, which include the internal audit, investigation and evaluation functions. The mandate of EIO is to provide independent and objective assurance, advice, investigation and evaluation for the purpose of adding value to and improving the efficiency and effectiveness of UNIDO’s operations, internal control framework, risk management, results-based management and governance processes. In addition, EIO is also the focal point for coordinating the activities of the Joint Inspection Unit (JIU) of the United Nations, and serves as the Secretariat to the UNIDO Independent Oversight Advisory Committee (OAC).",
"2. The evaluation function is governed by the EIO Charter,[1] and the UNIDO Evaluation Policy (revised version issued in 2021).[2] The evaluation function is further guided by the Evaluation Manual. The evaluation function manages, conducts and provides quality assurance to different kinds of independent evaluations within UNIDO and monitors the management response to such evaluations.",
"3. Currently, the EIO evaluation function’s budgeted posts comprise four Professional and one General Service staff. One of the Professional posts is currently vacant.",
"II. Key achievements in the reporting period",
"4. EIO policy framework further strengthened: A major stepping stone achieved in 2021 was the issuance of the revised evaluation policy, further reinforcing the Office’s oversight role, as well as its independence, based on the EIO Charter.",
"5. EIO risk and evidence gaps assessment methodology, and audit and evaluation universe enhanced and aligned with UNIDO’s medium-term programme framework 2022–2025, and results-based programme and budgets 2022–2023 to reflect UNIDO’s strategic objectives in all five results areas. This provided a strong basis for ensuring the alignment of EIO’s work with the strategic areas of UNIDO for a more effective selection and coordination of independent evaluations, and for optimizing complementarities and reducing the potential duplication of efforts among all assurance providers (i.e. the internal audit function, the evaluation function, the External Auditor and the JIU).",
"6. EIO as an agile advisor in a period of uncertainty and rapid change: Further to the issuance of the EIO strategy 2020–2024,[3] issued in January 2020 as a key management and accountability framework for EIO, the Office continued adjusting its activities to ensure it is adding value to the achievement of the goals and objectives of the Organization and that it remains strategically aligned. Despite the constraints and challenges imposed in the coronavirus disease (COVID-19) context, EIO remained agile and proved that its services are, and continue to be key for informed decision-making, innovation and change. According to management, evaluations benefited decision makers by providing the basis for consideration on key areas, such as results-based management, monitoring and reporting, and other organizational areas for improvement.",
"III. Overview of EIO evaluation work",
"7. During the year, EIO further adjusted its workplan to the context of the ongoing COVID-19 pandemic to ensure that its evaluation activities continued to provide evidence-based information at strategic and project levels.",
"8. In the reporting period, the following four strategic and corporate-level evaluations were conducted and completed:",
"(a) Independent thematic evaluation. UNIDO Policy (2015) and Strategy (2016–2019) on Gender Equality and Empowerment of Women;",
"(b) Independent evaluation. Programme for Country Partnership (PCP) in Senegal, 2015–2021;",
"(c) Independent thematic evaluation. UNIDO medium-term programme framework (MTPF) 2018–2021; and",
"(d) Independent thematic evaluation. UNIDO’s capacities to contribute to transformational change.",
"9. In addition, 20 independent project evaluations were managed, quality assurance was provided and evaluation reports issued. Evaluations of technical cooperation projects and programmes were financed from the respective project and programme budgets.",
"10. All UNIDO independent evaluation reports are available on the UNIDO website (www.unido.org/resources/evaluation).",
"11. Acceptance and implementation by management of recommendations from project evaluations continued to be monitored by the Office.",
"12. Since 2021, for all strategic evaluations (including thematic, country-level evaluations) that assess systemic, cross-cutting and/or corporate level areas, the introduction of agreed management action plans (MAPs) that are based on findings and recommendations from these evaluations, have been implemented. This is expected to further increase management commitment and ownership in addressing the areas for improvement that these evaluations identified. So far, a total of 12 MAPs were agreed with the responsible management and issued by end of August 2022. During the reporting period, five MAPs were closed, seven MAPs were considered ongoing and the level of implementation will continue being monitored.",
"13. Due to the COVID-19 pandemic, the planned on-site evaluation training, as a contribution to building and strengthening national evaluation capacities in Member States, had to be postponed. To facilitate the conduct of future such trainings, independent from outside factors, EIO developed an online evaluation training that will be launched in the last quarter of 2022 for wider use by both staff and external partners.",
"14. EIO provided evaluation inputs and advice to several initiatives launched, such as the strengthening of UNIDO’s normative role and the development of programmatic service modules and self-evaluation of country programmes.",
"15. EIO confirms that in performing its evaluation activities during the reporting period, it functioned independently and objectively without any interference and/or influence from any internal or external parties. However, limitations due to operational budget and human resource constraints should be noted.",
"IV. Key findings from recent strategic evaluations",
"16. UNIDO Policy (2015) and Strategy (2016–2019) on Gender Equality and Empowerment of Women. The findings indicate that UNIDO has made significant progress in establishing a relevant and effective gender architecture, including the gender office and the gender focal point network. This architecture enables and encourages gender analysis at the stage of programme and project formulation, and provides a solid basis for changing the mindset of UNIDO staff at the programme and project level. Areas that require further attention include data collection and analysis systems for research, monitoring and reporting, strategic planning, incentive systems to promote behavioural change, management action to adopt and enforce unit level gender action plans, and further field-level gender focal points engagement. The evaluation also confirmed gender disparity at all Professional staff levels but particularly at senior levels.",
"17. UNIDO medium-term programme framework (MTPF) 2018–2021. The independent evaluation found that the MTPF provided a vision and mission to UNIDO staff and stakeholders, and helped establish an improved results’ chain between UNIDO’s work and its expected development results. However, UNIDO senior management, staff and Member States made limited use of it as a planning or monitoring tool, mainly due to their low sense of ownership and accountability to implement the MTPF. While several positive changes occurred at the organizational level, the MTPF neither had an impact on nor led to significant shifts in UNIDO’s strategic direction. As such, it is more a mirror reflecting what UNIDO has already been doing, than a telescope indicating where the Organization is going in the future.",
"18. Programme for Country Partnership for Senegal, 2015–2021. The independent evaluation of PCP Senegal found that the PCP contributed to the Government’s industrialization efforts in different areas, including industrial parks and agro-poles, and the support of the Ministry of Industrial Development and Small and Medium-Sized Industries. The originally high relevance of the PCP diluted over time by including all UNIDO interventions implemented in the country under the programme. Resources available for UNIDO’s PCP coordination role were found to be a bottleneck resulting in weaknesses in terms of monitoring and reporting, in particular in relation to co-funding from different partners. The evaluation recommended improving these areas in case of a second phase.",
"19. UNIDO’s capacities to contribute to transformational change. This independent evaluation focused on how the design of UNIDO’s development cooperation projects and programmes addresses the complexity of socioeconomic and ecological systems. It found that major improvements are possible by applying some system analysis tools more systematically and recommended a stronger emphasis on thematic programming.",
"V. Cooperation with the United Nations and other evaluation bodies",
"20. Throughout the reporting period, the EIO evaluation function was actively involved in the activities of the United Nations Evaluation Group (UNEG). Among other, EIO participated in specialized UNEG working groups in Evaluation Practice Exchange events, and took part (as member of the peer review panel) in the peer review of the evaluation function for the United Nations Institute for Training and Research. EIO also served on the panel of evaluation experts reviewing the updated evaluation policy of the United Nations Educational, Scientific and Cultural Organization covering the period 2022–2029. Following an invitation from the International Organization for Migration (IOM), the EIO evaluation function participated in a study on the use of evaluation at IOM.",
"21. EIO participated in strategic evaluations led by other organizations, such as the ongoing evaluation of the European Union’s cooperation with the United Nations and the evaluation of the Partnership for Action on the Green Economy.",
"VI. Strengthening governance of the evaluation function",
"22. The EIO evaluation function keeps providing the OAC with an overview on its activities during its regular meetings, and sharing its workplans with the OAC for advice.",
"VII. Outlook",
"23. The biennial EIO evaluation workplan and budgets for 2022–2023 is based on an evidence gap assessment and was approved by the Director General in early 2022. The thematic evaluation of the PCP strategic framework and the evaluation of the PCP Peru are planned for the second half of 2022. In addition, more than 15 mandatory project terminal evaluations are expected to be managed and conducted in 2022. A joint advisory engagement by the internal audit and evaluation functions on UNIDO partnerships with the private sector will be conducted. This joint engagement will assess UNIDO’s past experiences and the current status of strategic partnerships with the private sector.",
"24. In 2022, the Director General has initiated an organizational reform and restructuring of UNIDO, which will be duly considered in the review and update of EIO workplans for 2022–2023. A midterm review of the EIO strategy will also be conducted to ensure EIO’s independent evaluation function continues to meet the needs for oversight, accountability and learning in the new organizational context, and keeps contributing to a more efficient, effective and impactful organization.",
"25. EIO will continue its briefings to Member States to foster dialogue, to present evaluation activities and the updated workplan, and to share key findings from strategic evaluations.",
"26. EIO will continue exploring the possibilities for the establishment of a sustainable and predictable evaluation funding mechanism with the purpose to further strengthen the operational independence of the evaluation function. One proposal would be to merge the endowment of evaluation funds allocated as part of the overall projects and programmes budgets. The proposed funding mechanism would facilitate the creation of synergies and the increase of the operational capacity of EIO.",
"27. EIO will also continue updating its evaluation guidance documents to adapt them to new, or revised internal policy frameworks, requirements from donors, the United Nations reform and to international evaluation standards.",
"28. Within the current resources limitations, the evaluation function is not in a position to fully cover all identified high priority evidence gaps areas included in its workplan. The vacant post for an evaluation officer is expected to be filled in the coming months.",
"29. As ever, the impact of internal oversight and evaluation, through its effective, independent, credible and objective functions assisting the Organization in achieving its goals, depends ultimately on the continuous support received from UNIDO’s senior management and its Member States.",
"VIII. Action required of the Board",
"30. The Board may wish to take note of the information provided in the present document.",
"[1] Director General’s bulletin DGB/2020/11, as approved by the Industrial Development Board in decision IDB.48/Dec.10.",
"[2] Director General’s bulletin DGB/2021/11.",
"[3] www.unido.org/sites/default/files/files/2020-02/EIO%20Strategy%202020-2024%20_FINAL.pdf."
] | IDB.50_26 | [
"Industrial Development Board",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Item 16 of the provisional agenda",
"Evaluation and internal oversight activities",
"Evaluation activities",
"Report of the Director, Evaluation and Internal Oversight Office",
"The present report provides information on the activities of the evaluation function in accordance with decisions IDB.44/Dec.3 and IDB.48/Dec.10 and updates the previous report contained in document IDB.49/24.",
"Background",
"1. The Evaluation and Internal Oversight Office performs oversight functions, including internal audit, investigation and evaluation. The mission of the Evaluation and Internal Oversight Office is to provide independent and objective assurance, advice, investigation and evaluation, with the aim of adding value and enhancing the efficiency and effectiveness of UNIDO operations, the internal control framework, risk management, results-based management and governance processes. In addition, the Evaluation and Internal Oversight Office serves as the focal point for the coordination of the activities of the United Nations Joint Inspection Unit (JIU) and as the secretariat of the UNIDO Independent Oversight Advisory Committee (IOAC).",
"2. The evaluation function is guided by the Charter of the Evaluation and Internal Oversight Office, [1] and the UNIDO Evaluation Policy (revised version issued in 2021). [2] The Evaluation Manual provides further guidance to the evaluation function. The evaluation function is responsible for the management, conduct and quality assurance of different types of independent evaluations within UNIDO and oversees management responses to such evaluations.",
"3. The posts budgeted for the evaluation function of the Evaluation and Internal Oversight Office currently comprise four Professional and one General Service staff. One of the Professional posts is currently vacant.",
"2. Key achievements during the reporting period",
"4. The policy framework of the Evaluation and Internal Oversight Office was further strengthened: an important development in 2021 was the issuance of the revised evaluation policy, which further strengthened the oversight role of the Office and its independence, based on the Statute of the Evaluation and Internal Oversight Office.",
"The Evaluation and Internal Oversight Office risk and evidence gap assessment methodology and audit and evaluation coverage were enhanced and aligned with UNIDO's medium-term programme framework, 2022-2025, and results-based programmes and budgets, 2022-2023, to reflect UNIDO's strategic objectives in all five outcome areas. This provides a solid basis for ensuring that the work of the Evaluation and Internal Oversight Office is aligned with UNIDO ' s strategic areas in order to select and coordinate independent evaluations more effectively and to optimize complementarities and reduce potential duplication among all assurance providers (i.e., the internal audit function, the evaluation function, the external auditors and JIU).",
"6. The Evaluation and Internal Oversight Office acted as a flexible consultant during periods of uncertainty and rapid change: to that end, the Evaluation and Internal Oversight Office Strategy 2020-2024,[3], which was issued in January 2020 as the key management and accountability framework for the Evaluation and Internal Oversight Office, continued to adapt its activities to ensure value added and strategic coherence in order to achieve the Organization ' s goals and targets. Despite the constraints and challenges faced in the context of the coronary virus disease of 2019 (COVID-19), the Evaluation and Internal Oversight Office maintained flexibility and demonstrated that its services were and would continue to be key to informed decision-making, innovation and change. Management believes that evaluation provides a basis for consideration of key areas such as results-based management, monitoring and reporting, and other organizational areas requiring improvement, benefiting policymakers.",
"Overview of evaluations in the Evaluation and Internal Oversight Office",
"7. During the year, the Evaluation and Internal Oversight Office further aligned its workplan with the current COVID-19 pandemic to ensure that its evaluation activities continue to provide evidence-based information at the strategic and project levels.",
"During the reporting period, the following four strategic and institutional-level evaluations were conducted and completed:",
"(a) Independent thematic evaluations. UNIDO Policy on Gender Equality and the Empowerment of Women (2015) and UNIDO Strategy on Gender Equality and the Empowerment of Women (2016-2019);",
"(b) Independent evaluation. Senegal country partnership programme, 2015-2021;",
"(c) Independent thematic evaluations. UNIDO medium-term programme framework, 2018-2021; and",
"(d) Independent thematic evaluations. UNIDO ' s capacity to promote fundamental change.",
"9. In addition, 20 independent project evaluations were managed, providing quality assurance for those evaluations and issuing evaluation reports. The evaluation of technical cooperation projects and programmes is financed by their respective projects or programme budgets.",
"All independent evaluation reports of UNIDO are available on the UNIDO website (www.unido.org/resources/evaluation).",
"11. The Office continued to monitor the acceptance and implementation by management of project evaluation recommendations.",
"12. Since 2021, agreed management action plans based on the conclusions and recommendations of all evaluations of strategic evaluations in systematic, cross-cutting and/or corporate areas (including thematic, country-level evaluations) have been implemented. This is expected to further enhance management input and ownership in addressing the areas identified for improvement in these evaluations. To date, a total of 12 management action plans have been agreed with the responsible management and issued by August 2022. During the reporting period, five management action plans were completed and seven were considered ongoing and will continue to monitor implementation levels.",
"13. Owing to the COVID-19 pandemic, on-site evaluation training, which was planned to contribute to building and strengthening national evaluation capacities in member States, had to be postponed. In order to facilitate such training in the future, independent of external factors, the Evaluation and Internal Oversight Office has developed an online evaluation training course, which will be rolled out in the last quarter of 2022 for extensive use by staff and external partners.",
"The Evaluation and Internal Oversight Office has provided evaluation inputs and recommendations for several initiatives launched, such as strengthening the normative role of UNIDO and developing programme service modules and country programme self-assessments.",
"15. The Evaluation and Internal Oversight Office confirmed that it operated independently and objectively during the period covered by the report, without any internal or external interference and/or influence. Attention should be paid, however, to constraints resulting from operational budgetary and human resource constraints.",
"4. Key findings of the latest strategic evaluation",
"16. UNIDO Policy on Gender Equality and the Empowerment of Women (2015) and UNIDO Strategy on Gender Equality and the Empowerment of Women (2016-2019). The conclusions showed that UNIDO had made significant progress in establishing relevant and effective gender equality structures, including a gender equality office and a network of gender focal points. This structure enables and encourages the development of gender analysis at the programme and project formulation stage and provides a solid basis for transforming the mindset of UNIDO staff at the programme and project level. Areas requiring further attention include systems for data collection and analysis for research, monitoring and reporting, strategic planning, incentive systems for behavioural change, management action to adopt and implement gender equality plans at the unit level, and the promotion of the involvement of gender focal points at the field level. The evaluation also confirmed that there was a gender gap at all Professional levels, particularly at senior levels.",
"17. UNIDO medium-term programme framework, 2018-2021. The independent evaluation found that the medium-term programme framework provided a vision and mission for UNIDO staff and stakeholders and contributed to a better results chain between UNIDO ' s work and its expected development results. However, UNIDO senior management, staff and Member States rarely used it as a planning or monitoring tool, mainly because of their weak sense of ownership and accountability for the implementation of the medium-term programme framework. While there had been some positive changes at the organizational level, the medium-term programme framework had not had an impact on UNIDO ' s strategic direction or contributed to a major transformation. It was therefore not so much a telescope to chart the future direction of the Organization as a mirror reflecting the achievements of UNIDO.",
"18. Senegal Country Partnership Programme 2015-2021. An independent evaluation of the Senegal country partnership programme found that the country partnership programme had contributed to the industrialization efforts of the Government in different areas, including industrial parks and agricultural centres, and the support of the Ministry of Industrial Development and Small and Medium Industries. Since all UNIDO interventions in the country were included under the country partnership programme, the high relevance of the programme initially diminished over time. The available resources for the coordination role of UNIDO ' s country partnership programmes were considered a bottleneck, leading to a weakening of monitoring and reporting, particularly with regard to co-financing by different partners. The evaluation recommended improvements in these areas during the second phase.",
"UNIDO's capacity to promote fundamental change. The independent evaluation focused on how the design of UNIDO ' s development cooperation projects and programmes addressed socio-economic and ecosystem complexities. It considered that significant improvements could be achieved through the more systematic application of some systematic analytical tools and recommended that more emphasis be placed on thematic programming.",
"5. Cooperation with United Nations and other evaluation bodies",
"20. Throughout the reporting period, the evaluation function of the Evaluation and Internal Oversight Office actively participated in the activities of the United Nations Evaluation Group. Among other things, the Evaluation and Internal Oversight Office also participated in the exchange of evaluation practices of the UNEG Task Force and in the peer review of the evaluation function of the United Nations Institute for Training and Research (as a member of the Peer Review Group). The Evaluation and Internal Oversight Office also participated in the Expert Group on Evaluation to consider the updated evaluation policy of the United Nations Educational, Scientific and Cultural Organization for the period 2022-2029. At the invitation of the International Organization for Migration (IOM), the Evaluation and Internal Oversight Office evaluation function participated in the IOM study on evaluation use.",
"21. The Evaluation and Internal Oversight Office participated in strategic evaluations led by other organizations, such as the ongoing evaluation of cooperation between the European Union and the United Nations and the evaluation of the Partnership for Action on a Green Economy.",
"6. Strengthening governance of the evaluation function",
"22. The evaluation function of the Evaluation and Internal Oversight Office has been providing the Board with an overview of its activities during regular sessions and has shared its workplan with the Board for comments.",
"7. Outlook",
"The Evaluation and Internal Oversight Office evaluation plan and budget for the biennium 2022-2023 were based on an evidence gap assessment and were approved by the Director-General in early 2022. A thematic evaluation of the country partnership programme strategic framework is planned for the second half of 2022, as well as an evaluation of the country partnership programme in Peru. In addition, more than 15 mandatory project terminal evaluations are expected to be managed and conducted in 2022. The internal audit and evaluation function will undertake joint advisory work on UNIDO ' s partnerships with the private sector. This joint engagement will assess UNIDO ' s past experience and the current status of strategic partnerships with the private sector.",
"In 2022, the Director-General initiated the organizational reform and restructuring of UNIDO, which will be duly taken into account in the review and update of the Evaluation and Internal Oversight Office work plan for 2022-2023. We will also undertake a mid-term review of the Evaluation and Internal Oversight Office strategy to ensure that the independent evaluation function of the Evaluation and Internal Oversight Office continues to meet the need for oversight, accountability and learning in the new organizational environment and continues to contribute to improving the efficiency, effectiveness and impact of the organization.",
"25. The Evaluation and Internal Oversight Office will continue to brief Member States to facilitate dialogue, introduce evaluation activities, update workplans and share key findings of strategic evaluations.",
"26. The Evaluation and Internal Oversight Office will continue to explore the possibility of a sustainable and predictable funding mechanism for evaluation to further strengthen the operational independence of the evaluation function. One suggestion was to consolidate the evaluation funds grants allocated as part of the overall project and programme budget. The proposed funding mechanism would help to build synergies and enhance the operational capacity of the Evaluation and Internal Oversight Office.",
"27. The Evaluation and Internal Oversight Office will also continue to update its evaluation guidance document to adapt it to new or revised internal policy frameworks, donor requirements, United Nations reform and international evaluation standards.",
"28. Within the limits of available resources, the evaluation function has not been able to adequately capture all the high-priority areas of evidence gaps identified in its workplan. The vacant Evaluation Officer post is expected to be filled in the coming months.",
"As in the past, internal oversight and evaluation, through their effective, independent, credible and objective functions, contribute to the achievement of the Organization's objectives, the effectiveness of which ultimately depends on the continued support of UNIDO's senior management and Member States.",
"8. Action required of the Board",
"The Board may wish to take note of the information provided in the present document.",
"[1] Director-General ' s bulletin DGB-2020/11, approved by the Industrial Development Board in decision IDB.48/Dec.10.",
"[2] Director-General ' s bulletin DGB-2020/11.",
"[3] www.unido.org/sites/default/files/files-2020-02/EIO%20Strategy%20-2020-2024%20_FINAL.pdf."
] |
[
"工业发展理事会",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"临时议程项目18",
"与政府间组织、非政府组织、政府组织和 其他组织有关的事项",
"关于政府间组织的资料",
"总干事的说明",
"本文件提供了关于亚洲森林合作组织和地中海议会大会的资料，这两个组织均表示希望与工发组织订立适当的关系协定。",
"1. 根据大会在关于关系协定的GC.1/Dec.41号决定中发布的指导方针第8段，本文件在附件中提供了关于亚洲森林合作组织和地中海议会大会的资料，这两个组织均表示愿意与工发组织订立适当的关系协定。",
"需请理事会采取的行动",
"1. 理事会似宜授权总干事遵照大会GC.1/Dec.41号决定附件第9段并根据本文件附件所载资料，与亚洲森林合作组织和地中海议会大会订立适当的关系协定。",
"附件",
"亚洲森林合作组织",
"历史背景",
"亚洲森林合作组织（AFoCO）成立于2018年，是一个以条约为基础的政府间组织，目标是在可持续森林管理背景下，通过将经过检验的技术和政策转化为具体行动，加强区域森林合作，以应对气候变化的影响。",
"宗旨",
"亚洲森林合作组织的使命是就以下方面在亚洲促进和开展重在行动的森林合作方案：",
"(a) 可持续森林管理、生物多样性养护、维持和加强生态系统服务以及重新造林和森林恢复；",
"(b) 气候变化缓解和适应活动，支持REDD+（减少毁林和森林退化所致排放量）下提出的举措，以及森林养护、可持续森林管理和增加森林碳储量在发展中国家的作用；",
"(c) 减少毁林、森林退化、荒漠化和土地退化现象，减轻森林相关灾害的影响；",
"(d) 通过研究开发、分享经验和技术转让以及教育和交流方案，开展利益攸关方能力建设；以及",
"(e) 缔约方之间和缔约方与其他实体之间结成伙伴关系，通过增进与森林有关的其他国际协定和组织的现有倡议开展合作活动。",
"成员",
"亚洲森林合作组织目前有13个缔约方：不丹、文莱达鲁萨兰国、柬埔寨、印度尼西亚、哈萨克斯坦、老挝人民民主共和国、蒙古、缅甸、菲律宾、大韩民国、泰国、东帝汶和越南，以及三个观察员：吉尔吉斯斯坦、马来西亚和新加坡。",
"组织结构",
"亚洲森林合作组织的主要机关是大会和秘书处。大会是由所有缔约方代表组成的决策机构。秘书处由执行主任领导，设在大韩民国首尔，负责执行其各项政策和战略。执行主任在大会的指导下，代表亚洲森林合作组织为执行本组织的活动订立协定。",
"资金筹措",
"亚洲森林合作组织实现其目标所需的资金包括法定缴款和自愿捐款。亚洲森林合作组织平均每年从缔约方收到380万美元的法定会费。2021年，除法定会费外，亚洲森林合作组织还收到了410万美元的项目自愿捐款。",
"与工发组织的合作",
"亚洲森林合作组织和工发组织可在各自主管领域内，在包括气候变化在内的环境领域开展合作活动。",
"与其他政府间组织和政府组织的关系",
"亚洲森林合作组织在联合国大会、联合国防治荒漠化公约（荒漠化公约）和生物多样性公约中享有观察员地位。此外，亚洲森林合作组织还与全球恢复森林景观伙伴关系以及经济合作与发展组织（经合组织）发展援助委员会（发援会）下属有资格获得官方发展援助的国际组织合作。亚洲森林合作组织还与国际林业研究中心（林业中心）、全球绿色增长研究所和林业中心－世界农林中心缔结了伙伴关系协定。",
"亚洲森林合作组织还与下列政府组织/实体建立了伙伴关系：韩国树木园管理研究所、韩国森林福祉研究所、国家森林科学研究所、韩国国际医疗基金会、韩国国家树木园、森林航空总部以及哈萨克斯坦生态、地质和自然资源部。",
"总部地址",
"亚洲森林合作组织（AFoCO）",
"Forest Vision Center 8楼",
"9 Gukhoedaero 62-gil（国会大路9号62街）",
"永登浦区",
"大韩民国首尔，07236",
"电话：+82-2-785-8971",
"传真：+82-2-785-8970",
"电子邮件：contact@afocosec.org",
"执行主任：Ricardo L. Calderon先生",
"工发组织事务联络官：",
"Chin-Min Lee先生",
"特别代表兼联合国维也纳办事处常驻观察员",
"电子邮件：clee@afocosec.org",
"地中海议会大会",
"历史背景",
"地中海议会大会是一个国际组织，成立于2005年，汇集了来自欧洲－地中海和海湾地区的34个成员议会，讨论和应对诸如地区冲突、安全和反恐、人道主义危机、经济一体化、气候变化、大规模移民、教育、人权和宗教间对话等关键问题。地中海议会大会是原1990年代初发起的地中海安全和合作会议的合法继承者。",
"宗旨",
"地中海议会大会的主要目标是在其成员国之间建立政治、经济和社会合作，以便找到共同解决办法，应对欧洲－地中海和海湾地区面临的挑战，并为其人民打造和平与繁荣之所。",
"成员",
"地中海议会大会由31个成员国组成：阿尔巴尼亚、阿尔及利亚、安道尔、波斯尼亚和黑塞哥维那、克罗地亚、塞浦路斯、埃及、法国、希腊、以色列、意大利、约旦、黎巴嫩、利比亚、马耳他、毛里塔尼亚、摩纳哥、黑山、摩洛哥、北马其顿、葡萄牙、卡塔尔、罗马尼亚、圣马力诺、塞尔维亚、斯洛文尼亚、巴勒斯坦国、阿拉伯叙利亚共和国、突尼斯、土耳其和阿拉伯联合酋长国；两个准成员国：罗马教廷和马耳他主权骑士团；以及一个候选成员：俄罗斯联邦。",
"此外，地中海议会大会有10个伙伴国家：巴林、保加利亚、格鲁吉亚、科威特、摩尔多瓦共和国、沙特阿拉伯、斯洛伐克、瑞士、大不列颠及北爱尔兰联合王国和美利坚合众国。",
"组织结构",
"大会由以下部分组成：轮值主席国和主席团，每个国家代表团有五名成员，享有平等的表决权和决策权；三个常务委员会，负责大会的工作；大会为处理某一专题而设立的工作组和特设委员会；以及国际秘书处，协助地中海议会大会主席、地中海议会大会主席团及所有成员执行其任务并向其提供咨询意见。",
"秘书长在国际和当地工作人员的协助下，从日内瓦协调大会的各项活动。",
"地中海议会大会在意大利那不勒斯和圣马力诺设有办事处。地中海议会大会还在日内瓦、纽约和维也纳设有联合国常驻观察员，在耶路撒冷设有一名与联合国中东和平进程特别协调员办事处（中东和平进程协调员办事处）和联合国驻黎巴嫩临时部队（联黎部队）联络的联络官，在布加勒斯特设有常驻代表处，并在开罗设有常驻阿拉伯国家联盟（阿盟）代表处。",
"资金筹措",
"地中海议会大会的年度预算为902,000欧元，经费完全来自其成员国。",
"与工发组织的合作",
"地中海议会大会第二个常务委员会处理与经济、社会和环境合作有关的所有问题，促使成员议会制定了若干政策/准则和立法措施。地中海议会大会和工发组织可在各自主管领域内，在中小企业发展、贸易和投资、清洁和可再生能源、COVID-19后经济复苏和气候变化问题等领域开展合作活动。",
"与其他政府间组织和政府组织的关系",
"2009年，联合国大会授予地中海议会大会常驻观察员地位。此外，地中海议会大会还与下列区域和国际组织保持密切关系：非洲议会联盟、阿拉伯国家议会联盟、阿拉伯议会、亚洲议会大会、波罗的海议会大会、马格里布阿拉伯联盟咨询委员会、欧洲议会、独立国家联合体成员国议会间大会（独联体议会间大会）、议会间东正教会、各国议会联盟、北大西洋公约组织议员大会（北约议员大会）、欧洲安全与合作组织议会大会（欧安组织议会大会）、黑海经济合作组织议会大会、欧洲委员会议会大会、法语国家议会大会、泛非议会、地中海联盟议会大会、伊斯兰合作组织阿拉伯成员国议会联盟、世界银行和国际货币基金组织议会网络、东南欧合作进程议会大会、非洲联盟、全面禁止核试验条约组织（禁核试条约组织）、欧洲复兴开发银行、欧洲投资银行、欧洲－地中海伙伴关系（欧地伙伴）、欧洲人权法院、欧洲联盟、欧洲联盟委员会、欧洲地中海经济研究所论坛、海湾合作委员会、国际货币基金组织、国际可再生能源署、阿拉伯国家联盟（阿盟）、北大西洋公约组织（北约）、欧洲委员会南北中心、伊斯兰合作组织、经济合作与发展组织（经合组织）、阿拉伯马格里布联盟、地中海联盟、世界银行、世界卫生组织（世卫组织）、世界气象组织、世界贸易组织（世贸组织）、安娜·林德基金会、地中海工商会协会、地中海企业联合会联盟、欧洲－地中海大学、意大利人权联合会、地中海公民大会基金会、地中海能源监管机构协会、地中海输电系统运营商协会和妇女政治领导人全球网络。",
"总部地址",
"PAM Regional Office -Palazzo PiCo",
"Via Terracina，230",
"80125 Naples, Italy",
"电话：+39 345 16 82 994",
"电子邮件：secretariat@pam.int",
"秘书长：Sergio Piazzi先生",
"工发组织事务联络官：",
"Giuseppe Belsito先生",
"经济、社会和环境合作第二常务委员会高级顾问/管理人",
"电子邮件：progofficer2@pam.int"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 18 of the provisionalagenda \nMatters related tointergovernmental,non-governmental, governmentaland other organizations",
"Information on intergovernmental organizations",
"Note by the Director General",
"The present document provides information on the Asian Forest Cooperation Organization (AFoCO) and the Parliamentary Assembly of the Mediterranean (PAM), which have expressed the wish to enter into an appropriate relationship agreement with UNIDO.",
"1. Pursuant to paragraph 8 of the guidelines issued by the General Conference in its decision GC.1/Dec.41 regarding relationship agreements, the present document provides in an annex, information on the Asian Forest Cooperation Organization (AFoCO) and the Parliamentary Assembly of the Mediterranean (PAM), which have expressed the wish to enter into an appropriate relationship agreement with UNIDO.",
"Action required from the Board",
"1. The Board may wish to authorize the Director General, in accordance with General Conference decision GC.1/Dec.41, annex, paragraph 9, to conclude appropriate relationship agreements with AFoCO and PAM, based on the information contained in the annex to the present document.",
"Annex",
"Asian Forest Cooperation Organization (AFoCO)",
"Historical background",
"The Asian Forest Cooperation Organization (AFoCO) was established in 2018 as a treaty-based intergovernmental organization that aims to strengthen regional forest cooperation by transforming proven technology and policies into concrete actions in the context of sustainable forest management, to address the impact of climate change.",
"Purpose",
"The mission of AFoCO is to promote and undertake action-oriented forest cooperation programmes in Asia on:",
"(a) Sustainable forest management, biodiversity conservation, maintenance and enhancement of ecosystem services, as well as reforestation and forest rehabilitation;",
"(b) Climate change mitigation and adaptation activities and supporting the initiatives under REDD+ (reducing emissions from deforestation and forest degradation), and the role of forest conservation, sustainable management of forests and enhancement of forest carbon stocks in developing countries;",
"(c) Reduction of deforestation, forest degradation, desertification and land degradation, and mitigation of the impacts of forest-related disasters;",
"(d) Capacity-building of stakeholders through research and development, sharing of experiences and the transfer of technology, as well as education and exchange programmes; and",
"(e) Partnerships between its Parties and with other entities to carry out cooperative activities by building upon the current initiatives of other forest-related international agreements and organizations.",
"Membership",
"AFoCO currently has 13 Parties: Bhutan, Brunei Darussalam, Cambodia, Indonesia, Kazakhstan, Lao People’s Democratic Republic, Mongolia, Myanmar, Philippines, Republic of Korea, Thailand, Timor-Leste and Viet Nam, and three Observers: Kyrgyzstan, Malaysia and Singapore.",
"Organizational structure",
"The principal organs of AFoCO are the Assembly and the Secretariat. The Assembly is the policymaking body composed of the Representatives of all Parties. The Secretariat, headed by the Executive Director and located in Seoul, Republic of Korea, is responsible for implementing its policies and strategies. Subject to guidance by the Assembly, the Executive Director enters into agreements on behalf of AFoCO for the implementation of activities of the Organization.",
"Financing",
"The funds AFoCO requires to achieve its objectives consist of mandatory and voluntary contributions. On average, AFoCO receives $3.8 million per annum in the form of mandatory contributions from the Parties. In 2021, in addition to the mandatory contributions, AFoCO received $4.1 million as voluntary contributions for projects.",
"Cooperation with UNIDO",
"Within the scope of their respective areas of competence, AFoCO and UNIDO may develop cooperation activities in the field of environment, including climate change.",
"Relationship with other intergovernmental and governmental organizations",
"AFoCO enjoys observer status to the General Assembly of the United Nations, to the United Nations Convention to Combat Desertification (UNCCD) and to the Convention on Biological Diversity (CBD). Furthermore, AFoCO cooperates with the Global Partnership on Forest Landscape Restoration and the official development assistance-eligible international organizations under the Development Assistance Committee (DAC) of the Organisation for Economic Co-operation and Development (OECD). AFoCO has also concluded partnership agreements with the Centre for International Forestry Research (CIFOR), the Global Green Growth Institute (GGGI) and the CIFOR-World Agroforestry (CIFOR-ICRAF).",
"AFoCO also partners with the following governmental organizations/entities: Korea Institute of Arboretum Management, Korea Forest Welfare Institute, National Institute of Forest Science, Korea Foundation for International Healthcare, Korea National Arboretum, Forest Aviation Headquarters and the Ministry of Ecology, Geology and Natural Resources of Kazakhstan.",
"Address of headquarters",
"Asian Forest Cooperation Organization (AFoCO)",
"8F, Forest Vision Center",
"9 Gukhoedaero 62-gil",
"Yeongdeungpo-gu",
"Seoul 07236, Republic of Korea",
"Tel.: +82-2-785-8971",
"Fax: +82-2-785-8970",
"Email: contact@afocosec.org",
"Executive Director: Mr. Ricardo L. Calderon",
"Liaison officers for UNIDO:",
"Mr. Chin-Min Lee",
"Special Representative and Permanent Observer to the United Nations Office in Vienna",
"Email: clee@afocosec.org",
"Parliamentary Assembly of the Mediterranean (PAM)",
"Historical background",
"The Parliamentary Assembly of the Mediterranean (PAM) is an international organization established in 2005 bringing together 34 member parliaments from the Euro-Mediterranean and Gulf regions to discuss and face critical issues such as regional conflicts, security and counter-terrorism, humanitarian crises, economic integration, climate change, mass migrations, education, human rights and inter-faith dialogue. PAM is the legal successor of the Conference on Security and Cooperation in the Mediterranean (CSCM), launched in the early 1990s.",
"Purpose",
"The main objective of PAM is to forge political, economic and social cooperation among its member States in order to find common solutions to the challenges facing the Euro-Mediterranean and Gulf region, and to create a space for peace and prosperity for its peoples.",
"Membership",
"PAM’s membership consists of 31 member States: Albania, Algeria, Andorra, Bosnia and Herzegovina, Croatia, Cyprus, Egypt, France, Greece, Israel, Italy, Jordan, Lebanon, Libya, Malta, Mauritania, Monaco, Montenegro, Morocco, North Macedonia, Portugal, Qatar, Romania, San Marino, Serbia, Slovenia, State of Palestine, Syrian Arab Republic, Tunisia, Türkiye and United Arab Emirates; two associate member States: Holy See and Sovereign Order of Malta; and one candidate member: the Russian Federation.",
"Furthermore, PAM has 10 partner States: Bahrain, Bulgaria, Georgia, Kuwait, Republic of Moldova, Saudi Arabia, Slovakia, Switzerland, United Kingdom of Great Britain and Northern Ireland, and United States of America.",
"Organizational structure",
"The Assembly is composed of: the alternating Presidency and the Bureau, each national delegation has five members with equal voting rights and decision-making powers; the three Standing Committees, which conduct the work of the Assembly; Working Groups and ad hoc Committees which the Assembly set up to tackle a particular topic; and the international Secretariat, that assists and advises the PAM President, the PAM Bureau and all members in the execution of their mandate.",
"The Secretary General, assisted by international and local staff, coordinates the activities of the Assembly, from Geneva.",
"PAM has offices in Naples, Italy and in San Marino. PAM also has Permanent Observers to the United Nations in Geneva, New York and Vienna, a Liaison Officer with the Office of the United Nations Special Coordinator for the Middle East Peace Process (UNSCO) and the United Nations Interim Force in Lebanon (UNIFIL) in Jerusalem, a Permanent Representation in Bucharest and a Permanent Representation to the League of Arab States (LAS) in Cairo.",
"Financing",
"PAM’s annual budget amounts to €902,000 and it is fully funded by its member States.",
"Cooperation with UNIDO",
"The second Standing Committee of PAM deals with all issues related to economic, social and environmental cooperation, leading to a number of policies/guidelines and legislative measures by the Member Parliaments. Within the scope of their respective areas of competence, PAM and UNIDO may develop cooperation activities in the areas of small and medium-size enterprise development, trade and investment, clean and renewable energies, the post-COVID-19 economic recovery, and climate change issues.",
"Relationship with other intergovernmental and governmental organizations",
"In 2009, the General Assembly of the United Nations granted Permanent Observer Status to PAM. Furthermore, PAM entertains close relationships with the following regional and international organizations: the African Parliamentary Union, Arab Inter-Parliamentary Union, Arab Parliament, Asian Parliamentary Assembly, Baltic Sea Parliamentary Conference, Conseil Consultatif de l’Union du Maghreb Arab (UMA), European Parliament, the Interparliamentary Assembly of Member Nations of the Commonwealth of Independent States (IPA CIS), Interparliamentary Assembly on Orthodoxy, Inter-Parliamentary Union (IPU), North Atlantic Treaty Organization Parliamentary Assembly (NATO-PA), the Parliamentary Assembly of the Organization for Security and Co-operation in Europe (OSCE-PA), Parliamentary Assembly of the Black Sea Economic Cooperation (PABSEC), the Parliamentary Assembly of the Council of Europe (PACE), Parliamentary Assembly of the Francophonie, Pan-African Parliament, Parliamentary Assembly of the Union for the Mediterranean (PA-UfM), the Parliamentary Union of the OIC Member States (PUIC), the Parliamentary Network on the World Bank and the International Monetary Fund, the South East European Cooperation Process Parliamentary Assembly (SEECP PA), the African Union, the Comprehensive Nuclear-Test-Ban Treaty Organization (CTBTO), the European Bank for Reconstruction and Development (EBRD), the European Investment Bank (EIB), the Euro-Mediterranean Partnership (EUROMED), the European Court of Human Rights, the European Union, the European Commission, Forum Euroméditerranéen des Instituts de Sciences Economiques (FEMISE), the Gulf Cooperation Council (GCC), the International Monetary Fund, the International Renewable Energy Agency (IRENA), League of Arab States (LAS), the North Atlantic Treaty Organization (NATO), the North-South Centre of the Council of Europe, Organisation of the Islamic Cooperation, Organisation for Economic Co-operation and Development (OECD), Union du Maghreb Arabe (UMA), Union for the Mediterranean (UfM), the World Bank, the World Health Organization (WHO), the World Meteorological Organization (WMO), the World Trade Organization (WTO), Anna Lindh Foundation, Association of the Mediterranean Chambers of Commerce and Industry (ASCAME), the Union of Mediterranean Confederations of Enterprises (BUSINESSMED), Euro-Mediterranean University (EMUNI), the Italian Federation for Human Rights (FIDU), Mediterranean Citizens’ Assembly Foundation, the Association of Mediterranean Energy Regulators (MEDREG), the Mediterranean Transmission System Operators (MED-TSO) and Women Political Leaders.",
"Address of headquarters",
"PAM Regional Office – Palazzo PiCo",
"Via Terracina, 230",
"80125 Naples, Italy",
"Tel.: +39 345 16 82 994",
"Email: secretariat@pam.int",
"Secretary General: Mr. Sergio Piazzi",
"Liaison officers for UNIDO:",
"Mr. Giuseppe Belsito",
"Senior Adviser/Manager of the 2nd Standing Committee on Economic, Social and Environmental Cooperation",
"Email: progofficer2@pam.int"
] | IDB.50_29 | [
"Industrial Development Board",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Item 18 of the provisional agenda",
"Matters related to intergovernmental, non-governmental, governmental and other organizations",
"Information on intergovernmental organizations",
"Note by the Director-General",
"The present document provides information on the Asia Forest Cooperation Organization and the Parliamentary Assembly of the Mediterranean, both of which have expressed their desire for an appropriate relationship agreement with UNIDO.",
"In accordance with paragraph 8 of the guidelines issued by the General Conference in decision GC.1/Dec.41 on the relationship agreement, the present document provides information on the Asia Forest Cooperation Organization and the Parliamentary Assembly of the Mediterranean, both of which have expressed their willingness to enter into an appropriate relationship agreement with UNIDO.",
"Action required of the Board",
"The Board may wish to authorize the Director-General to conclude an appropriate relationship agreement with the Asia Forest Cooperation Organization and the Parliamentary Assembly of the Mediterranean, in accordance with paragraph 9 of the annex to General Conference decision GC.1/Dec.41 and on the basis of the information contained in the annex to the present document.",
"Annex",
"Asia Forest Cooperation Organization",
"Historical background",
"The Asia Forest Cooperation Organization (AFoCO), established in 2018 as a treaty-based intergovernmental organization, aims to enhance regional forest cooperation to address the impacts of climate change in the context of sustainable forest management by translating tested technologies and policies into concrete actions.",
"Purpose",
"The mission of the Asia Forest Cooperation Organization is to promote and develop action-oriented forest cooperation programmes in Asia on the following areas:",
"(a) Sustainable forest management, biodiversity conservation, maintenance and strengthening of ecosystem services and reforestation and forest restoration;",
"(b) Climate change mitigation and adaptation activities, support for initiatives under REDD-plus (Reducing emissions from deforestation and forest degradation), and the role of forest conservation, sustainable forest management and increased forest carbon stocks in developing countries;",
"(c) Reducing deforestation, forest degradation, desertification and land degradation and mitigating the impact of forest-related disasters;",
"(d) Capacity-building of stakeholders through research and development, sharing of experiences and technology transfer, and education and communication programmes; and",
"(e) Partnership among Parties and between Parties and other entities through the enhancement of existing initiatives of other international agreements and organizations related to forests.",
"Members",
"The Asia Forest Cooperation Organization currently has 13 Parties: Bhutan, Brunei Darussalam, Cambodia, Indonesia, Kazakhstan, Lao People ' s Democratic Republic, Mongolia, Myanmar, Philippines, Republic of Korea, Thailand, Timor-Leste and Viet Nam, as well as three observers: Kyrgyzstan, Malaysia and Singapore.",
"Organizational structure",
"The principal organs of the Asia Forest Cooperation Organization are the General Assembly and the Secretariat. The Conference is a decision-making body composed of representatives of all Parties. The secretariat, headed by the Executive Director and based in Seoul, Republic of Korea, is responsible for the implementation of its policies and strategies. Under the guidance of the General Assembly, the Executive Director, on behalf of the Asian Forest Cooperation Organization, entered into agreements for the implementation of the activities of the organization.",
"Funding",
"The funds required by the Asia Forest Cooperation Organization to achieve its objectives include mandatory contributions and voluntary contributions. The Asia Forest Cooperation Organization receives an average of USD 3.8 million in statutory contributions per year from Parties. In 2021, the Asia Forest Cooperation Organization received $4.1 million in voluntary contributions for projects, in addition to statutory contributions.",
"Cooperation with UNIDO",
"The Asia Forest Cooperation Organization and UNIDO could cooperate in the field of the environment, including climate change, within their respective areas of competence.",
"Relations with other intergovernmental and governmental organizations",
"The Asian Forest Cooperation Organization has observer status in the United Nations General Assembly, the United Nations Convention to Combat Desertification (UNCCD) and the Convention on Biological Diversity. In addition, the Asia Forest Cooperation Organization cooperates with the Global Partnership on Forest Landscape Restoration and international organizations of the Development Assistance Committee (DAC) of the Organization for Economic Cooperation and Development (OECD) that are eligible for official development assistance. The Asia Forest Cooperation Organization has also concluded partnership agreements with the Centre for International Forestry Research (CIFOR), the Global Green Growth Institute and CIFOR-World Agroforestry Centre.",
"The Asia Forest Cooperation Organization has also established partnerships with the following governmental organizations/entities: the Korea Tree Park Management Institute, the Korea Forest Welfare Institute, the National Forest Science Institute, the Korea International Medical Foundation, the Korean National Tree Park, the Forest Aviation Headquarters and the Ministry of Ecology, Geology and Natural Resources of Kazakhstan.",
"Address of headquarters",
"Asia Forest Cooperation Organization (AFoCO)",
"Forest Vision Center 8th floor",
"9 Gukhoedaero 62-gil",
"Yongdeng Pu District",
"Seoul, Republic of Korea 07236",
"Tel.: +82-2-785-8971",
"Fax: +82-2-785-8970",
"E-mail: contact@afocosec.org",
"Executive Director: Mr. Ricardo L. Calderon",
"UNIDO Liaison Officer:",
"Mr. Chin-Min Lee",
"Special Representative and Permanent Observer of the United Nations Office at Vienna",
"E-mail: clee@afocosec.org",
"Parliamentary Assembly of the Mediterranean",
"Historical background",
"The Parliamentary Assembly of the Mediterranean, an international organization established in 2005, brings together 34 member parliaments from the Euro-Mediterranean and Gulf regions to discuss and address key issues such as regional conflicts, security and counter-terrorism, humanitarian crises, economic integration, climate change, mass migration, education, human rights and interreligious dialogue. The Parliamentary Assembly of the Mediterranean is the rightful successor to the Conference on Security and Cooperation in the Mediterranean, originally launched in the early 1990s.",
"Purpose",
"The main objective of PAM is to establish political, economic and social cooperation among its member States in order to find common solutions to the challenges facing the Euro-Mediterranean and Gulf regions and to create a place for peace and prosperity for their peoples.",
"Members",
"PAM consists of 31 member States: Albania, Algeria, Andorra, Bosnia and Herzegovina, Croatia, Cyprus, Egypt, France, Greece, Israel, Italy, Jordan, Lebanon, Libya, Malta, Mauritania, Monaco, Montenegro, Morocco, Northern Macedonia, Portugal, Qatar, Romania, San Marino, Serbia, Slovenia, State of Palestine, Syrian Arab Republic, Tunisia, Turkey and United Arab Emirates; two associate members: Holy See and Sovereign Military Order of Malta; and one candidate: Russian Federation.",
"In addition, PAM has 10 partner countries: Bahrain, Bulgaria, Georgia, Kuwait, Republic of Moldova, Saudi Arabia, Slovakia, Switzerland, United Kingdom of Great Britain and Northern Ireland and United States of America.",
"Organizational structure",
"The Assembly consists of the Presidency and the Bureau, each with five members with equal voting and decision-making powers; three standing committees, responsible for the work of the Assembly; working groups and ad hoc committees established by the General Assembly to deal with a particular topic; and the international secretariat, which assists and advises the President of the Parliamentary Assembly of the Mediterranean, the Bureau of the Assembly of the Mediterranean and all its members in the implementation of its mandate.",
"The Secretary-General, with the assistance of international and local staff, coordinates the activities of the Conference from Geneva.",
"PAM has offices in Naples and San Marino, Italy. PAM also maintains United Nations permanent observers in Geneva, New York and Vienna, a liaison officer in Jerusalem with the Office of the United Nations Special Coordinator for the Middle East Peace Process (UNSCO) and the United Nations Interim Force in Lebanon (UNIFIL), an ad hoc permanent representative office in Bucharest and a permanent representative to the League of Arab States (LAS) in Cairo.",
"Funding",
"The annual budget of the Parliamentary Assembly of the Mediterranean is Euro902,000, financed entirely by its member States.",
"Cooperation with UNIDO",
"The second standing committee of the Parliamentary Assembly of the Mediterranean deals with all issues related to economic, social and environmental cooperation and has prompted member parliaments to develop a number of policies/guidelines and legislative measures. The PAM and UNIDO could cooperate in the areas of SME development, trade and investment, clean and renewable energy, post-COVID-19 economic recovery and climate change issues in their respective areas of competence.",
"Relations with other intergovernmental and governmental organizations",
"In 2009, the General Assembly of the United Nations granted PAM permanent observer status. In addition, PAM maintains close relations with the following regional and international organizations: the African Parliamentary Union, the Parliamentary Union of the Arab States, the Arab Parliamentary Assembly, the Parliamentary Assembly of Asia, the Parliamentary Assembly of the Baltic Sea, the Advisory Committee of the Arab Maghreb League, the European Parliament, the Inter-Parliamentary Assembly of the Member States of the Commonwealth of Independent States (the Inter-Parliamentary Assembly of CIS), the Inter-Parliamentary Orthodox Church, the Inter-Parliamentary Union, the Parliamentary Assembly of the North Atlantic Treaty Organization (NATO), the Parliamentary Assembly of the Organization for Security and Cooperation in Europe (OSCE), the Parliamentary Assembly of the Black Sea Economic Cooperation Organization, the Parliamentary Assembly of the Council of Europe, the Parliamentary Assembly of la Francophonie, the Pan-African Parliamentary Assembly, the Parliamentary Assembly of the Union for the Mediterranean, the Parliamentary Union of the Arab Maghreb, the World Bank and the Parliamentary Network of the International Monetary Fund, the Parliamentary Assembly of South-East European Cooperation Process, the African Union, the Comprehensive Nuclear-Test-Ban Treaty Organization (CTBTO), the European Bank for Reconstruction, the European Investment Bank, the European Partnership (EU), the European",
"Address of headquarters",
"PAM Regional Office - Palazzo PiCo",
"Via Terracina, 230",
"80125 Naples, Italy",
"Tel.: +39 345 16 82 994",
"E-mail: secretariat@pam.int",
"Secretary-General: Mr. Sergio Piazzi",
"UNIDO Liaison Officer:",
"Mr. Giuseppe Belsito",
"Senior Adviser/Manager, Permanent Committee II on Economic, Social and Environmental Cooperation",
"E-mail: progofficer2@pam.int"
] |
[
"拟订一项关于打击为犯罪目的使用信息和 通信技术行为的全面国际公约特设委员会",
"第三届会议",
"2022年8月29日至9月9日，纽约",
"会员国就关于打击为犯罪目的使用信息和通信技术行为的全面国际公约中关于国际合作、技术援助、预防措施和实施机制的条款、最后条款和序言提交的提案和意见汇编",
"增编",
"目录",
"页次\n补充材料 2\n委内瑞拉玻利瓦尔共和国 2",
"补充材料",
"本增编载有2022年8月31日之后收到的一个会员国提交的材料，供拟订一项关于打击为犯罪目的使用信息和通信技术行为的全面国际公约特设委员会第三届会议审议。",
"委内瑞拉玻利瓦尔共和国",
"[原件：西班牙文]",
"[2022年9月13日]",
"国际合作",
"迫切需要根据未来公约的意图和规定，并根据《联合国宪章》的宗旨和原则，包括尊重各国主权和主权平等、建设性对话以及谴责实施不符合《宪章》的单方面胁迫性措施，在减少不同类型的技术发展不平等以及加强各国在这一领域的法律机制方面取得进展。",
"委内瑞拉赞成在公约中列入全面合作条款。在这方面，这一新的法律文书应包括以下方面的合作条款：技术交流和转让、培训和研究、预防、司法协助、关于引渡的法律合作、被定罪者的移交、刑事诉讼的移交、联合调查以及为没收、返还和处置没收资产进行的国际合作。这将确保公约一旦生效，将尽可能包含必要的机制。",
"应适用国际合作机制的刑事犯罪的范围也应同样广泛。鉴于全世界与信息和通信技术(信通技术)有关的犯罪毫无疑问在演变，关于收集电子证据的条款应适用于根据公约确立的犯罪以外的犯罪，以扩大公约的重点和范围。",
"关于就引渡问题达成的协定，委内瑞拉认为，这项义务根据各国的国内法以及所签署的条约和双边协定，首先适用于公约所确定的罪行。",
"引渡应符合被请求缔约国国内法或适用的引渡条约所规定的条件，其中除其他外包括关于引渡的最低限度刑罚要求和被请求缔约国可据以拒绝引渡的理由等条件。",
"《联合国打击跨国有组织犯罪公约》和《联合国反腐败公约》述及拒绝引渡的问题以及在拒绝引渡的情况下可寻求的替代办法，为此提供了一种法律依据。",
"委内瑞拉玻利瓦尔共和国的立场是，根据其国内法，为了准予引渡一个人，必须存在并遵守的一般原则有：属地原则、两国共认犯罪、刑罚限制、无时效法规、政治罪不引渡、罪行足够严重、罪行性质、禁止引渡国民和对等。",
"对委内瑞拉来说，数据保护是一个关键方面，必须在公约中得到体现。公约应建立机制保护信息本身和有关各方的身份和完整性，从而保障证据的不可更改性。",
"关于数据保护，公约必须优先列入保证按照公约规定的程序传输的信息的安全性、保密性、完整性和真实性的条款，包括根据各国的国内法强制使用电子安全认证和电子签名，以及为回应根据公约提交的请求而传送的文件的加密机制。这些条款将确保各国拥有充分的主权权利，根据保护重要国家基础设施和国家安全的关键因素以及领土完整和关系国家最大利益的其他问题，对跨国交易设定限制。",
"委内瑞拉不赞成跨界获取计算机数据。公约缔约国应受《联合国打击跨国有组织犯罪公约》第4条所规定的国际法传统首要地位的制约，该条规定，缔约国在履行其义务时，应恪守各国主权平等和领土完整原则和不干涉别国内政原则。本公约的任何规定均不应使一缔约国有权在另一国境内履行后者依照国内法为维护会员国主权和独立而为本国主管机关保留的职能。",
"归还财产对委内瑞拉来说特别重要，委内瑞拉认为，这个问题需要在公约中占据一个专门的章节。",
"《联合国打击跨国有组织犯罪公约》第12、13和14条载有关于没收和扣押资产、没收事宜的国际合作以及没收的犯罪所得或财产的处置的条款。我们认为，这些条款构成了开展和加强工作的基础。根据这些条款，应优先考虑将没收的犯罪所得或财产交还请求缔约国，以便其对犯罪被害人进行赔偿，或者将这类犯罪所得或财产归还合法所有人。",
"根据国际法，国际条约的缔约国有义务和责任尊重、保护和实现人权。因此，国家若是国际人权条约的缔约国，即承诺通过符合其条约义务和责任的国内措施和法律，委内瑞拉就是如此。",
"鉴于上述情况，我们认为，一般性条款和序言中提及人权之处足以涵盖未来公约的人权方面。",
"技术援助",
"未来的公约必须在《联合国宪章》规定的国家主权和国家主权平等原则的基础上，确立培训机制和技术转让，作为一种合作形式，使所有缔约国能够有效地实现公约所规定的目标和相关保障措施，以处理和抵消信通技术领域结构性不平等的影响以及经济和贸易壁垒，而不因政治或地理原因而有所区别。",
"为了防止和打击为犯罪目的使用信通技术行为，委内瑞拉希望强调，必须确保公约规定为那些受到不符合《联合国宪章》的单方面胁迫性措施之害的国家制定保护和支助措施。",
"应当指出，受制于这些非法措施的国家可能无法更新其技术系统和设备，因为在许多情况下，供应此类产品的公司如果与这些国家做生意，就会受到所谓制裁的威胁。这种情况妨碍了正常的交流，导致受此类措施制约的国家的交易成本增加，并为开展有效合作打击此类犯罪制造了更多障碍。",
"此外，这些措施规定任意扣留和冻结受这些措施制约的国家的资产，可以预见，这会阻碍获得和更新必要的技术以保障发展权和人民的人权并预防、控制和合作打击为犯罪目的使用信通技术的行为。",
"在这方面，这些措施将妨碍在平等条件下参与公约或任何其他此种性质文书所设想的任何拟议的国际合作和技术援助。因此，未来的公约必须包括可在这种情况下援引的保障措施。例如，可以针对公约所规定的合作和援助受到这类措施影响的具体情况，建立一个警报系统；该系统还可以扩展到涵盖类似性质的其他限制措施。",
"委内瑞拉赞成缔约国考虑根据请求并与请求国协调，根据每个国家的国家发展优先事项，提供最广泛的技术援助措施，以期建设、恢复、加强和扩大国家能力和区域能力。",
"必须根据公平、公正、平等、非选择性、非政治化和透明的原则提供这种援助，不同国家之间，包括南南、北南和三角国家之间，不断加强交流良好做法，并采用一种多方交会和注重性别的视角。",
"具体的需要包括：设立和不断交流专家考察团以评价和提高能力、交流知识和经验、具体的积极做法、联合研究和创新、用以开展培训和开发人力资本的机制，以及在各级提供可预测、成比例和公平的资金来源，以期根据各国的请求，在与各国充分和不断协调的情况下处理各国的优先事项。",
"技术援助和能力建设都应充分纳入未来的公约。这两个概念是互补而不是矛盾的，因为每个概念的范围可能有所不同。可以更及时或更紧急地提供有针对性的援助，但在结构层面上努力实现的目标是，使每个国家都能够以逐步独立的方式作出反应，最终切断那些削弱打击此类犯罪的斗争的依赖链，同时加强每个国家打击为犯罪目的使用信通技术的机制的创新能力和自身能力。",
"委内瑞拉赞成每个缔约国指定一个每周7天、每天24小时的联络点，以监测公约条款的执行情况，并认为应为此目的向各国分配更多资源。",
"此外，如果建立的其他机制要求持续或定期关注以遵守公约，则必须明确和透明地建立获取资源的程序，以便各国特别是发展中国家能够通过请求财政援助和其他援助等，遵守这些要求。",
"对委内瑞拉来说，民间社会的参与极其重要，民间社会指的是最广泛意义上的民间社会，不仅包括非政府组织，还包括社区运动、有组织的社区、公社、社会运动，特别是生活在全球南部的人，他们往往因缺乏资源而难以参与这类机制。",
"在这方面，联合国基于自身在一个自我维持的充满活力的系统中在这一领域的经验和在打击为犯罪目的使用信通技术方面的作用，包括技术援助和能力建设，为确保这些团体的参与而建立的各种机制的精神是委内瑞拉所支持的。",
"私营部门的参与，特别是通信技术和服务的制造商和供应商的参与，也具有至关重要的意义，因为私营部门率先取得了许多进步，而这些进步必须符合国家和国际法律。私营部门还必须履行其社会责任，与各国合作，遵守法律，追求社会发展和人的尊严。其中包括大型和小型企业；尤其应当呼吁大型技术和通信公司以透明的方式行事，确保建立公正和包容的社会秩序。应与各国充分协调，鼓励与私营部门的合作。",
"与此同时，应强调公约的政府间性质和国家法律在这一领域的首要地位，以防有行为者利用这种合作达到政治目的或犯罪目的，从而损害公约本身。",
"预防措施",
"毫无疑问，公约所确立的刑事犯罪对受影响人口享有人权影响最大的是针对缔约国关键基础设施的犯罪，也就是说，它们针对的是为满足社会基本需求的信息系统提供支持的技术平台。",
"相关的国际协议和标准提到了基于信息安全、计算机安全和网络安全的保护措施，以减少关键基础设施的脆弱性和遭受攻击的风险。因此，打击为犯罪目的使用信通技术与实施信息安全措施之间的联系是不可分割的。打击网络犯罪与网络安全之间有着直接的关系。",
"必须从网络安全的角度来防止对关键基础设施的攻击。公约的中心主题是借助于信通技术实施的犯罪，包括危害关键基础设施的犯罪；因此，从公约的内容中去除网络安全的概念和相关协议将留下一个空白，意味着没有考虑到保护关键基础设施的预防措施。",
"同样，预防技术应列入培训课程；在开展这些培训活动的同时，还应开展提高公众认识的运动，交流和转让技术，并且紧急审议和管理各种攻击和其他潜在的紧急情况，同时认识到我们都负有共同的和各自不同的责任。",
"公约认可的预防措施应包括采取行动促进各国自主开发新技术，包括软件和硬件，推广经改进后加强安全的操作规程以及经过更新的立法。",
"委内瑞拉谴责并起诉制作和贩运儿童和青少年性虐待和性剥削材料的行为，并赞成加强保护这一脆弱群体免受犯罪分子行为侵害的所有法律。我们还认为，有必要优先采取预防措施，帮助有可能面临脆弱处境的其他群体，例如妇女、残疾人、青年人和老年人。",
"关于其他行为者参与预防措施的问题，委内瑞拉认为，民间社会、私营部门和学术界等应受各自国家法律的指导，而各国应推行各种规范和标准，以加强这些行为者通过以下途径与国家合作：技术信息、联合研究、协调国家和社会发展优先事项、新技术方面的技术培训、技术转让和交流，在关键基础设施的安全方面，促进建立各种机制以确保在紧急情况下的援助提供工作实现最大限度的合作、迅捷性和透明度。",
"应当强调，私营部门有义务并负有社会和道德责任，在所有领域积极作出贡献，防止信通技术被用于犯罪目的，途径包括：与国家定期对话并通过其专门机构对国家进行监督，建立合作和评价的标准程序，促进公众和其他社会行为者的参与，以及逐步使法律适应新的技术现实和全球现实。",
"实施机制",
"关于实施机制，委内瑞拉认为，缔约国应根据本国法律的基本原则采取必要的措施，包括立法措施和行政措施，以确保履行其根据公约所承担的义务。",
"在这方面，委内瑞拉赞成设立一个缔约国会议，作为作决定、审议公约实施情况和评价新承诺的机构。",
"可设立一个负责审议公约实施情况的执行机构或实体作为缔约国会议的补充。委内瑞拉认为，对这种性质的建议进行评价是有益的，但条件是缔约国之间有公平和均衡的代表制，并有适当的内部技术咨询机构和协商机制，所涉及的方面酌情包括：会议频率、与不属于这种机构的一部分但需要这种参与的国家的持续互动、以及选择作为观察员参加这样一个机构。",
"保留",
"国际条约是对建立国际规范的共识的表达，缔约国表示同意接受约束即在国际上受公约条款的约束。",
"在这方面，必须承认各国有权确定公约规范的内容和范围，并有权排除或改变公约某些条款或规定的法律效力。在这方面，委内瑞拉认为，保留条款对于保证国际条约的普遍性可能是必要而有益的，而且在某些情况下，使用保留条款有助于各国能够最终决定签署和批准条约。但也承认，由于公约意义的性质及其真正的社会和法律职能所固有的原因，对某些条款不能提出保留，或只能以有限的方式提出保留；不过，这须在谈判过程中决定。",
"争端解决机制",
"未来公约中适用的争端解决机制应明确规定，缔约国应以国际法承认的或缔约国先前商定的自行选择的和平手段解决与公约的解释或适用有关的任何争端。例如，有些国家出于国内法的原因，可能不承认某些国际机构或法院的管辖权，或作出其他类似的保留，但这并不对遵守或加入整个公约造成限制。",
"最后条款",
"委内瑞拉认为，未来的公约应根据类似文书的标准结构，载有关于最后条款的一节，以便特别是为公约生效、国家立法改革和基本程序要素等着手开展筹备工作。",
"公约应规定今后有可能随着信通技术领域不断变化的动态以及不断转变的社会、政治和经济现实制定公约的附加议定书。",
"序言",
"公约序言部分应反映下列原则：",
"• 《联合国宪章》的原则和宗旨：主权、人民自决、和平解决争端",
"• 数字主权",
"• 预防和打击为犯罪目的使用信通技术行为",
"• 国际合作与团结",
"• 促进和加强多边主义",
"• 可持续发展和根除贫困",
"• 技术转让",
"• 透明度"
] | [
"Ad Hoc Committee to Elaborate aComprehensive InternationalConvention on Countering the Useof Information andCommunications Technologies forCriminal Purposes Third session \nNew York, 29 August–9 September2022",
"Compilation of proposals and comments submitted by Member States on provisions on international cooperation, technical assistance, preventive measures, and the mechanism of implementation, the final provisions and the preamble of a comprehensive international convention on countering the use of information and communications technologies for criminal purposes",
"Addendum",
"Contents",
"PageAdditional 2 \nsubmissions Venezuela 2 (Bolivarian Republic \n of)",
"Additional submissions",
"The present addendum contains a submission from one Member State, received after 31 August 2022, for the third session of the Ad Hoc Committee to Elaborate a Comprehensive International Convention on Countering the Use of Information and Communications Technologies for Criminal Purposes.",
"Venezuela (Bolivarian Republic of)",
"[Original: Spanish]",
"[13 September 2022]",
"International cooperation",
"There is an urgent need to make progress in reducing the different types of inequalities in technological development and in strengthening national legal mechanisms in this area, based on the intentions and provisions of the future convention, and also framed in terms of the purposes and principles of the Charter of the United Nations, including respect for the sovereignty and sovereign equality of States, constructive dialogue, and the condemnation of the application of unilateral coercive measures, which are not in line with the Charter.",
"Venezuela is in favour of the inclusion of comprehensive cooperation provisions in the convention. In that connection, the new legal instrument should include cooperation provisions related to the exchange and transfer of technology, training and research, prevention, mutual legal assistance, legal cooperation on extradition, the transfer of convicted persons, the transfer of criminal proceedings, joint investigations, and international cooperation for purposes of confiscation, return and disposal of confiscated assets. This would ensure that the convention contains as many mechanisms as may be necessary once it enters into force.",
"The scope of criminal offences to which international cooperation mechanisms should apply should be equally broad. Given the unquestionable evolution of crimes related to information and communications technology (ICT) throughout the world, the provisions for gathering electronic evidence should apply to crimes beyond those established in accordance with the convention, with a view to expanding its focus and scope.",
"With respect to the agreement reached on the issue of extradition, Venezuela considers that the obligation applies initially to crimes established in the convention, in accordance with the domestic law of each State and the treaties and bilateral agreements signed.",
"Extradition shall be subject to the conditions provided for by the domestic law of the requested State party or by applicable extradition treaties, including, inter alia, conditions in relation to the minimum penalty requirement for extradition and the grounds upon which the requested State party may refuse extradition.",
"There is a legal basis in the United Nations Convention against Transnational Organized Crime and the United Nations Convention against Corruption, which address the issue of refusing extradition and the alternatives that can be sought in the case of a refusal.",
"The position of the Bolivarian Republic of Venezuela is that in order to grant the extradition of a person, the general principles of territoriality, dual criminality, limitation of penalties, no statute of limitations, no extradition for political offences, sufficient gravity of the offence, nature of the crime, prohibition of the extradition of nationals and reciprocity, must exist and be complied with, in accordance with its domestic law.",
"For Venezuela, data protection is a key aspect that must be reflected in the convention. The convention should guarantee the inalterability of evidence by establishing mechanisms to protect the identity and integrity of the information itself and of all those involved.",
"With respect to data protection, the convention must, as a matter of priority, include provisions that guarantee the security, confidentiality, integrity and authenticity of information transmitted in compliance with the procedures established by the convention, including the mandatory use of electronic security certification and electronic signatures under the domestic laws of each State, as well as encryption mechanisms for documents transmitted in response to requests submitted pursuant to the convention. These provisions will ensure that States have the full sovereign right to establish limits on transnational exchange based on key factors for protecting critical national infrastructure and State security, as well as territorial integrity and other issues of utmost national interest.",
"Venezuela is not in favour of transborder access to computer data. The States parties to the convention should be governed by the traditional primacy of international law as set forth in article 4 of the United Nations Convention against Transnational Organized Crime, which stipulates that States must carry out their obligations in a manner consistent with the principles of sovereign equality and territorial integrity, as well as non-intervention in the domestic affairs of other States. Nothing in the convention shall entitle a State party to undertake functions in the territory of another State that are reserved exclusively for the authorities of that other State by its domestic law, in order to safeguard the sovereignty and independence of Member States.",
"The return of property is of particular importance to Venezuela, which is of the view that the issue requires a special section in the convention.",
"The United Nations Convention against Transnational Organized Crime contains, in articles 12, 13 and 14, provisions relating to the confiscation and seizure of assets, international cooperation for purposes of confiscation, and disposal of confiscated proceeds of crime or property. We consider that these provisions constitute a basis on which to work and strengthen. According to these articles, priority consideration should be given to returning the confiscated proceeds of crime or property to the requesting State Party so that it can give compensation to the victims of the crime or return such proceeds of crime or property to their legitimate owners.",
"States parties to international treaties assume obligations and duties, under international law, to respect, protect and fulfil human rights. Accordingly, when States are parties to international human rights treaties, they undertake to adopt domestic measures and laws that are compatible with their treaty obligations and duties, as is the case of Venezuela.",
"In the light of the above, we consider that the references to human rights contained in the general provisions and in the preamble sufficiently cover the human rights dimension of the future convention.",
"Technical assistance",
"It is essential that the future convention establishes, as a form of cooperation in order for all States parties to effectively achieve the objectives set out in the convention and the relevant safeguards to address and counteract the effects of structural inequalities in the area of ICT, as well as economic and trade barriers, training mechanisms and technology transfer, without distinction on political or geographical grounds, on the basis of the principles of national sovereignty and sovereign equality of States set forth in the Charter of the United Nations.",
"In order to prevent and counter the use of ICT for criminal purposes, Venezuela wishes to emphasize the importance of ensuring that the convention provides for the establishment of protection and support measures for those countries that are victims of unilateral coercive measures, which are not in line with the Charter of the United Nations.",
"It should be noted that countries subject to these illegal measures may potentially be unable to update their technological systems and equipment because, in many cases, the companies that supply such products are threatened with so-called sanctions if they do business with such countries. This situation impedes regular exchanges, results in increased transaction costs for countries subject to such measures, and creates additional obstacles to effective cooperation against such crimes.",
"Moreover, these measures provide for the arbitrary withholding and blocking of the assets of countries subject to such measures, which, predictably, hinders the acquisition and updating of technologies required to guarantee the right to development and the human rights of peoples and for prevention, control and cooperation in the fight against the use of ICT for criminal purposes.",
"In this context, these measures will impede participation on equal terms in any proposed international cooperation and technical assistance envisaged in the convention or any other instrument of this nature. For this reason, the future convention must include safeguards that can be invoked in such cases. For example, a system of alerts could be created for specific situations in which cooperation and assistance under the convention are affected by this type of measure; the system could also be extended to cover other constraints of a similar nature.",
"Venezuela is in favour of States parties considering providing the widest measure of technical assistance, upon request and in coordination with the requesting State, and in line with the national development priorities of each country, with a view to building, regaining, strengthening and expanding national and regional capacities.",
"It is essential that such assistance be implemented in accordance with the principles of fairness, impartiality, equality, non-selectivity, non-politicization and transparency, with constant and strengthened exchange of good practices between different States, both South-South, North-South and triangular, and with an intersectional and gender perspective.",
"Specific needs include the creation and continuous exchange of expert missions to evaluate and improve capacities, the exchange of knowledge and experiences, specific positive practices, joint research and innovation, mechanisms for training and developing human capital, and predictable, proportional and equitable sources of financing at various levels, with a view to addressing national priorities, in full and constant coordination with, and at the request of, each State.",
"Both technical assistance and capacity-building should be fully included in the future convention. The two concepts are complementary rather than contradictory, as the scope of each may be different. Targeted assistance may be provided in a more timely or urgent manner, but the aim to work towards, on a structural level, is for each State to be able to respond in a progressively independent manner, eventually cutting the chains of dependence that weaken the fight against such crimes, while at the same time strengthening the innovation and individual capacity of each State’s mechanisms for countering the use of ICT for criminal purposes.",
"Venezuela is in favour of the designation of a 24-hour, 7-days-a-week focal point by each State party for the purpose of monitoring the provisions of the convention and considers that additional resources should be allocated to States for this purpose.",
"In addition, in the event that other mechanisms are established that require ongoing or periodic attention to comply with the convention, the procedures for accessing resources must be clearly and transparently established, so that States, in particular developing countries, can comply with such requirements, including by requesting financial and other assistance.",
"For Venezuela, the participation of civil society is extremely important, with civil society understood in its broadest sense, including not only non-governmental organizations, but also community-based movements, organized communities, communes, social movements and, in particular, those living in the global South, who often find it difficult to participate in such mechanisms due to lack of resources.",
"In this regard, Venezuela supports the spirit of the mechanisms established by the United Nations to ensure the participation of these groups, based on its own experience in the area and its role in countering the use of ICT for criminal purposes, including technical assistance and capacity-building, in a dynamic and self-sustaining system.",
"The participation of the private sector, in particular manufacturers and suppliers of communication technology and services, is also of capital importance, as the sector pioneers many advances, which must comply with national and international laws. The private sector must also fulfil its social responsibilities and cooperate with States in complying with laws and pursuing social development and human dignity. This includes both large and small businesses; large technology and communications corporations, in particular, should be called upon to act in a transparent manner to ensure a just and inclusive social order. Cooperation with the private sector should be encouraged in full coordination with States.",
"At the same time, the intergovernmental nature of the convention and the primacy of national laws in this area should be emphasized, in order to prevent actors from using such cooperation for political ends or criminal purposes, to the detriment of the convention itself.",
"Preventive measures",
"The criminal offences established under the convention that have the greatest impact on the enjoyment of human rights by affected populations are, without a doubt, those that target the critical infrastructure of States parties, that is to say the technological platforms that support information systems that meet the vital needs of society.",
"The relevant international protocols and standards make reference to protection measures based on information security, computer security and cybersecurity, in order to mitigate vulnerabilities and the risk of attacks on critical infrastructure. As such, the link between countering the use of ICT for criminal purposes and implementing information security measures is inextricable. There is a direct relationship between combating cybercrime and cybersecurity.",
"The prevention of attacks on critical infrastructure must be approached from a cybersecurity perspective. The central theme of the convention is offences facilitated by ICT, including crimes against critical infrastructure; accordingly, removing the concept of cybersecurity and associated protocols from the content of the convention would leave a gap and mean that preventive measures for critical infrastructure were not taken into account.",
"Likewise, prevention techniques should be included in training courses; these should be accompanied by public awareness-raising campaigns, the exchange and transfer of technology, and urgent consideration and management of attacks and other potential emergencies, in recognition of the fact that we all have common and differentiated responsibilities.",
"The preventive measures endorsed by the convention should include actions to promote the autonomy of States in developing new technology, including software and hardware, improved operational protocols that enhance security, and updated legislation.",
"Venezuela condemns and prosecutes the production and trafficking of child and adolescent sexual abuse and sexual exploitation material, and is in favour of strengthening all laws that protect this vulnerable group from the actions of criminals. We also consider it necessary to prioritize preventive measures for other groups at risk of being exposed to vulnerable situations, such as women, persons with disabilities, young people and elderly persons.",
"With regard to the participation of other actors in preventive measures, Venezuela believes that civil society, the private sector and academia, among others, should be guided by the respective national laws, while States should promote norms and standards to strengthen the capacity of such actors to cooperate with States through technical information, joint research, the harmonization of national and social development priorities, technical training in new technologies, technology transfer and exchange and, with respect to the security of critical infrastructure, the promotion of mechanisms to ensure the utmost cooperation, immediacy and transparency in the provision of assistance in emergency situations.",
"It should be emphasized that the private sector has an obligation and a social and ethical responsibility to contribute actively in all areas to prevent ICT from being used for criminal purposes, including through regular dialogue with and oversight of States through their specialized bodies, the establishment of standard procedures for cooperation and evaluation, the promotion of the participation of the public and other social actors, and the progressive adaptation of laws to new technological and global realities.",
"Mechanisms for implementation",
"With respect to mechanisms for implementation, Venezuela considers that States parties should take the necessary measures, including legislative and administrative measures, in accordance with the fundamental principles of their domestic law, to ensure the implementation of their obligations under the convention.",
"In this connection, Venezuela is in favour of the establishment of a conference of States parties as a body for taking decisions, reviewing the implementation of the convention and evaluating new commitments.",
"The conference of States parties could be complemented by the creation of an executive body or entity tasked with reviewing the implementation of the convention. Venezuela believes that there is merit in evaluating proposals of this nature, provided that there is equitable and balanced representation among the States parties and the appropriate internal technical advisory bodies and consultation mechanisms, including regarding the frequency of meetings, continuous interaction with those States that are not part of such a body but that require such engagement, and the option to participate as an observer in such a body, as appropriate.",
"Reservations",
"International treaties are an expression of consensus with the creation of international norms, and States parties are internationally bound by the provisions of the convention to the extent that they have given their consent in that regard.",
"In that connection, the right of States to determine the content and scope of the norms of the convention and to exclude or modify the legal effects of certain clauses or provisions of the convention must be recognized. In that regard, Venezuela understands that reservations can be necessary and useful in order to guarantee the universality of international treaties and that, in some cases, the use of reservations contributes to States being able to make the final decision to sign and ratify a treaty. Nevertheless, it could be agreed that reservations cannot be made, or only in a limited manner, to certain provisions, for reasons inherent to the very nature of the meaning of the convention and its genuine social and legal functions; however, this will have to be determined in the course of the negotiations.",
"Mechanisms for settlement of disputes",
"The dispute settlement mechanisms to be applied in the future convention should specify that the States parties shall settle any disputes concerning the interpretation or application of the convention by peaceful means of their choice, as recognized in international law or as previously agreed on by the parties. For example, some States, for reasons of domestic law, may not recognize the jurisdiction of certain international bodies or courts, or other similar reservations, but this does not restrict compliance with or accession to the convention as a whole.",
"Final provisions",
"Venezuela is of the view that the future convention should contain a section on final provisions, in line with the standard structure of similar instruments and, in particular, in order to set out the preparatory work for its entry into force, national legislative reform and basic procedural elements, among other things.",
"The convention should include provisions relating to the possible creation of additional protocols to the convention in the future, in the context of the changing dynamics in the field of ICT and shifting social, political and economic realities.",
"Preamble",
"The following principles should be reflected in the preamble to the convention:",
"• Principles and purposes of the Charter of the United Nations: sovereignty, self-determination of peoples, peaceful settlement of disputes",
"• Digital sovereignty",
"• Preventing and countering the use of ICT for criminal purposes",
"• International cooperation and solidarity",
"• Promotion and strengthening of multilateralism",
"• Sustainable development and poverty eradication",
"• Technology transfer",
"• Transparency"
] | A_AC.291_12_ADD.4 | [
"Ad Hoc Committee on a Comprehensive International Convention against the Use of Information and Communications Technology for Criminal Purposes",
"Third session",
"New York, 29 August-9 September 2022",
"Compilation of proposals and comments submitted by Member States on the provisions, final provisions and preamble of a comprehensive international convention against the use of information and communication technologies for criminal purposes concerning international cooperation, technical assistance, preventive measures and implementation mechanisms",
"Addendum",
"Contents",
"Page Supplementary material 2 Venezuela (Bolivarian Republic of) 2",
"Additional information",
"The present addendum contains a submission received from a Member State after 31 August 2022 for consideration by the Ad Hoc Committee on a Comprehensive International Convention against the Use of Information and Communication Technologies for Criminal Purposes at its third session.",
"Venezuela (Bolivarian Republic of)",
"[Original: Spanish]",
"[13 September 2022]",
"International cooperation",
"There is an urgent need to make progress in reducing inequalities in the development of different types of technology and in strengthening the legal mechanisms of States in this field, in accordance with the intent and provisions of the future convention and in accordance with the purposes and principles of the Charter of the United Nations, including respect for the sovereignty and sovereign equality of States, constructive dialogue and condemnation of the application of unilateral coercive measures inconsistent with the Charter.",
"Venezuela favoured the inclusion of a comprehensive cooperation clause in the convention. In that regard, the new legal instrument should include provisions for cooperation on technology exchange and transfer, training and research, prevention, mutual legal assistance, legal cooperation on extradition, transfer of convicted persons, transfer of criminal proceedings, joint investigations and international cooperation for the confiscation, return and disposal of confiscated assets. This will ensure that, once the Convention enters into force, it will include, to the extent possible, the necessary mechanisms.",
"The scope of criminal offences to which international cooperation mechanisms should apply should be equally broad. Given the unquestionable evolution of information and communications technology (ICT)-related crimes worldwide, the provisions on the collection of electronic evidence should apply to offences other than those established in accordance with the Convention in order to broaden the focus and scope of the Convention.",
"With regard to agreements on extradition, Venezuela considers that this obligation applies first and foremost to the offences established in the Convention, in accordance with the domestic law of States and the treaties and bilateral agreements signed.",
"Extradition shall be subject to the conditions provided for by the domestic law of the requested State Party or by applicable extradition treaties, including, inter alia, the minimum penalty requirement for extradition and the grounds upon which the requested State Party may refuse extradition.",
"The United Nations Convention against Transnational Organized Crime and the United Nations Convention against Corruption provide a legal basis for addressing the issue of refusal of extradition and the alternatives available in the case of refusal of extradition.",
"The position of the Bolivarian Republic of Venezuela is that, in accordance with its domestic law, in order to permit the extradition of a person, the general principles that must exist and be observed are the principle of territoriality, dual criminality, limitation of penalties, imprescriptibility, non-extradition for political offences, sufficient seriousness, nature of the offence, prohibition of the extradition of nationals and reciprocity.",
"Data protection was a key aspect for Venezuela and must be reflected in the Convention. The convention should establish mechanisms to protect the identity and integrity of the information itself and of the parties concerned, thereby safeguarding the immutability of evidence.",
"With regard to data protection, the Convention must, as a matter of priority, include provisions guaranteeing the security, confidentiality, integrity and authenticity of information transmitted in accordance with the procedures provided for in the Convention, including the mandatory use of electronic security authentication and electronic signatures under the domestic laws of States and the encryption mechanism for documents transmitted in response to requests submitted under the Convention. These provisions will ensure that States have full sovereign rights to place restrictions on cross-border transactions on the basis of key elements for the protection of vital national infrastructure and national security, as well as other issues relating to territorial integrity and the best interests of States.",
"Venezuela does not favour cross-border access to computer data. States parties to the Convention are bound by the traditional primacy of international law, as provided for in article 4 of the United Nations Convention against Transnational Organized Crime, which provides that States parties shall comply with their obligations in a manner consistent with the principles of sovereign equality and territorial integrity of States and that of non-intervention in the internal affairs of other States. Nothing in the present Convention shall entitle a State Party to perform in the territory of another State functions reserved by the latter for its competent authorities under its internal law for the purpose of preserving the sovereignty and independence of its member States.",
"The return of property was of particular importance to Venezuela, which believed that the issue required a special chapter in the Convention.",
"Articles 12, 13 and 14 of the United Nations Convention against Transnational Organized Crime contain provisions on confiscation and seizure of assets, international cooperation for purposes of confiscation and disposal of confiscated proceeds of crime or property. In our view, these provisions form the basis for undertaking and strengthening work. Under those provisions, priority should be given to returning confiscated proceeds of crime or property to the requesting State Party for the purpose of compensating victims of crime or returning such proceeds of crime or property to their legitimate owners.",
"Under international law, States parties to international treaties are obliged and duty-bound to respect, protect and fulfil human rights. Thus, when a State is a party to an international human rights treaty, it undertakes to adopt domestic measures and laws that are consistent with its treaty obligations and responsibilities, as in Venezuela.",
"In view of the foregoing, we believe that the references to human rights in the general provisions and the preamble are sufficient to cover the human rights aspects of the future convention.",
"Technical assistance",
"The future convention must establish training mechanisms and technology transfer, on the basis of the principles of State sovereignty and the sovereign equality of States as set out in the Charter of the United Nations, as a form of cooperation that would enable all States parties to effectively achieve the objectives set out in the convention and the associated safeguards to address and offset the effects of structural inequalities and economic and trade barriers in the field of ICT, without distinction for political or geographical reasons.",
"In order to prevent and combat the use of ICT for criminal purposes, Venezuela wishes to emphasize the need to ensure that the Convention provides for protection and support measures for States that are victims of unilateral coercive measures that are inconsistent with the Charter of the United Nations.",
"It should be noted that States that are subject to these illegal measures may not be able to upgrade their technical systems and equipment, as in many cases companies supplying such products are threatened by so-called sanctions if they do business with those countries. This hinders normal communication, leads to increased transaction costs for countries governed by such measures and creates additional obstacles to effective cooperation in combating such crime.",
"Furthermore, these measures provide for the arbitrary detention and freezing of the assets of countries subject to these measures, which can be foreseen as an obstacle to the acquisition and upgrading of the technologies necessary to guarantee the right to development and the human rights of people and to prevent, control and cooperate in combating the use of ICTs for criminal purposes.",
"In this regard, these measures would prevent participation on equal terms in any proposed international cooperation and technical assistance envisaged by the Convention or any other instrument of this nature. The future convention must therefore include safeguards that could be invoked in such cases. For example, an alert system could be established for specific situations where cooperation and assistance under the Convention are affected by such measures; it could also be extended to cover other restrictions of a similar nature.",
"Venezuela is in favour of States parties considering providing, on request and in coordination with requesting States, the widest possible measure of technical assistance, in accordance with the national development priorities of each State, with a view to building, restoring, strengthening and expanding national and regional capacities.",
"Such assistance must be provided in accordance with the principles of equity, justice, equality, non-selectivity, non-politicization and transparency, and the exchange of good practices between different countries, including South-South, North-South and triangular countries, should be strengthened and a multi-faceted and gender-sensitive perspective adopted.",
"Specific needs include the establishment and continuous exchange of expert missions to evaluate and enhance capacities, exchange knowledge and experience, concrete positive practices, joint research and innovation, mechanisms for training and human capital development, and predictable, proportional and equitable funding at all levels, with a view to addressing national priorities in full and ongoing coordination with countries, upon their request.",
"Technical assistance and capacity-building should be fully integrated into the future convention. The two concepts were complementary and not contradictory, since the scope of each could differ. Targeted assistance can be provided in a more timely or urgent manner, but at the structural level efforts are being made to achieve the goal of enabling each country to respond in a gradual and independent manner, ultimately cutting off the dependence chain that weakens the fight against such crime and, at the same time, strengthening the innovative capacity of each country ' s mechanisms to combat the use of ICT for criminal purposes.",
"Venezuela favoured the designation by each State party of a contact point 24 hours a day, 7 days a week, to monitor the implementation of the provisions of the Convention and believed that more resources should be allocated to States for that purpose.",
"In addition, if other mechanisms are established that require sustained or regular attention to comply with the Convention, access to resources must be clearly and transparently established so that countries, in particular developing countries, can comply with those requirements, inter alia, by requesting financial and other assistance.",
"For Venezuela, the involvement of civil society was of the utmost importance, and it referred to civil society in its broadest sense, including not only non-governmental organizations, but also community movements, organized communities, communes and social movements, particularly those living in the global South, who often had difficulty in participating in such mechanisms because of lack of resources.",
"In that regard, Venezuela supported the spirit of the mechanisms established by the United Nations to ensure the participation of those groups, based on its own experience in that area and its role in combating the use of ICT for criminal purposes, including technical assistance and capacity-building, in a self-sustaining and dynamic system.",
"The involvement of the private sector, especially manufacturers and suppliers of communications technology and services, is also of crucial importance, as the private sector has spearheaded many advances that must be in accordance with national and international law. The private sector must also live up to its social responsibilities, cooperate with States, abide by the law and pursue social development and human dignity. These include large and small enterprises; in particular, large technology and communications companies should be called upon to act in a transparent manner to ensure a just and inclusive social order. Cooperation with the private sector should be encouraged in full coordination with States.",
"At the same time, emphasis should be placed on the intergovernmental nature of the Convention and the primacy of national law in that area in order to prevent actors from using such cooperation for political or criminal purposes, thus undermining the Convention itself.",
"Preventive measures",
"There is no doubt that the criminal offences established by the Convention have the greatest impact on the enjoyment of human rights by the affected population, targeting the State party ' s critical infrastructure, that is to say, the technical platforms that support information systems to meet basic social needs.",
"Relevant international agreements and standards refer to protection measures based on information security, computer security and network security to reduce vulnerability and risk of attacks on critical infrastructure. The link between combating the use of ICT for criminal purposes and the implementation of information security measures is therefore inseparable. There is a direct relationship between combating cybercrime and cybersecurity.",
"Attacks on critical infrastructure must be prevented from a cybersecurity perspective. The central theme of the Convention was crimes committed through the use of ICT, including crimes against critical infrastructure; thus, the removal of the concept of cybersecurity and related agreements from the content of the Convention would leave a gap, meaning that preventive measures to protect critical infrastructure were not taken into account.",
"Similarly, prevention techniques should be included in training curricula; these training activities should be accompanied by public awareness campaigns, exchange and transfer of technology, as well as urgent consideration and management of attacks and other potential emergencies, recognizing that we all share common and distinct responsibilities.",
"The preventive measures recognized in the Convention should include actions to promote the autonomous development of new technologies, including software and hardware, the promotion of improved safety protocols and updated legislation.",
"Venezuela condemned and prosecuted the production of and trafficking in materials for the sexual abuse and exploitation of children and adolescents and supported the strengthening of all laws to protect that vulnerable group from criminal acts. We also believe that there is a need to prioritize preventive measures to help other groups at risk of being vulnerable, such as women, persons with disabilities, young people and older persons.",
"With regard to the involvement of other actors in preventive measures, Venezuela believes that civil society, the private sector and academia should be guided by their national laws, and that States should promote norms and standards to strengthen cooperation between those actors and States through technical information, joint research, coordination of national and social development priorities, technical training in new technologies, technology transfer and exchange, and, with regard to the security of critical infrastructure, the promotion of mechanisms to ensure maximum cooperation, speed and transparency in the provision of assistance in emergency situations.",
"It should be emphasized that the private sector has the obligation and the social and moral responsibility to contribute actively in all areas to prevent the use of ICT for criminal purposes, including through regular dialogue with States and through their specialized agencies to monitor them, establish standard procedures for cooperation and evaluation, promote the participation of the public and other social actors, and gradually adapt laws to new technological realities and global realities.",
"Implementation mechanism",
"With regard to implementation mechanisms, Venezuela is of the view that States parties should take the necessary measures, including legislative and administrative measures, in accordance with the fundamental principles of their domestic law, to ensure compliance with their obligations under the Convention.",
"In that regard, Venezuela was in favour of the establishment of a conference of States parties as a body to take decisions, review the implementation of the Convention and evaluate new commitments.",
"The Conference could be complemented by the establishment of an executive body or entity to review the implementation of the Convention. Venezuela believes that it would be useful to evaluate proposals of this nature, provided that there is fair and balanced representation among States parties and an appropriate internal technical advisory body and consultative mechanism, including, as appropriate, the frequency of meetings, continuous interaction with States that are not part of such bodies but need such participation, and the choice of such a body as an observer.",
"Reservations",
"International treaties are an expression of consensus on the establishment of international norms, and States parties express their consent to be bound by the provisions of the Convention at the international level.",
"In this regard, it is important to recognize the right of States to determine the content and scope of the norms of the convention and to exclude or modify the legal effect of certain provisions or provisions of the convention. In that connection, Venezuela believed that reservations clauses might be necessary and useful in guaranteeing the universality of international treaties and that, in some cases, the use of reservations clauses would enable States to finally decide to sign and ratify treaties. It was recognized, however, that, because of the nature of the Convention and its real social and legal functions, reservations could not be made to certain provisions or could only be formulated in a limited manner; however, that had to be decided in the course of negotiations.",
"Dispute settlement mechanisms",
"The dispute settlement mechanism to be applied in the future convention should make it clear that States parties should settle any dispute relating to the interpretation or application of the convention by peaceful means recognized by international law or previously agreed upon by the States parties. For example, the fact that some States may not recognize the jurisdiction of certain international bodies or courts or make other similar reservations for reasons of domestic law does not limit compliance with or accession to the Convention as a whole.",
"Final provisions",
"Venezuela believes that the future convention should contain a section on final clauses, based on the standard structure of similar instruments, in order to begin the preparatory work for, inter alia, the entry into force of the convention, the reform of national legislation and the basic procedural elements.",
"The convention should provide for the possible future development of an additional protocol to the convention in the light of changing developments in the field of ICT and changing social, political and economic realities.",
"Preamble",
"The preamble to the convention should reflect the following principles:",
"• Principles and purposes of the Charter of the United Nations: sovereignty, self-determination of peoples, peaceful settlement of disputes",
"• Digital sovereignty",
"• Preventing and combating the use of ICT for criminal purposes",
"• International cooperation and solidarity",
"• Promoting and strengthening multilateralism",
"• Sustainable development and poverty eradication",
"• Technology transfer",
"• Transparency"
] |
[
"第十一届会议",
"2022年10月17日至21日，维也纳",
"临时议程[1]项目7",
"缔约方会议第十二届会议临时议程",
"扩大主席团提交的决定草案",
"缔约方会议第十二届会议临时议程",
"联合国打击跨国有组织犯罪公约缔约方会议核准缔约方会议第十二届会议临时议程如下。",
"联合国打击跨国有组织犯罪公约缔约方会议第十二届会议临时议程",
"1. 组织事项：",
"(a) 缔约方会议第十二届会议开幕；",
"(b) 选举主席团成员；",
"(c) 通过议程和工作安排；",
"(d) 与会事宜；",
"(e) 通过主席团关于全权证书的报告；",
"(f) 一般性讨论。",
"2. 总体回顾《联合国打击跨国有组织犯罪公约》及其各项议定书的实施情况：",
"(a) 《联合国打击跨国有组织犯罪公约》；",
"(b) 《关于预防、禁止和惩治贩运人口特别是妇女和儿童行为的议定书》；",
"(c) 《关于打击陆、海、空偷运移民的议定书》；",
"(d) 《关于打击非法制造和贩运枪支及其零部件和弹药的议定书》。",
"3. 《公约》界定的其他严重犯罪，包括跨国有组织犯罪的新形式和新方面。",
"4. 国际合作，尤其侧重于引渡、司法协助和没收事宜国际合作，以及中央机关的设立与加强。",
"5. 技术援助。",
"6. 缔约方会议第十三届会议临时议程。",
"7. 其他事项。",
"8. 通过缔约方会议第十二届会议报告。",
"[1] * CTOC/COP/2022/1。"
] | [
"Eleventh session Vienna, 17–21 October 2022 Item 7 of the provisionalagenda[1] \nProvisional agenda for thetwelfth session ofthe Conference",
"Draft decision submitted by the extended Bureau",
"Provisional agenda for the twelfth session of the Conference",
"The Conference of the Parties to the United Nations Convention against Transnational Organized Crime approves the provisional agenda for the twelfth session of the Conference set out below.",
"Provisional agenda for the twelfth session of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime",
"1. Organizational matters:",
"(a) Opening of the twelfth session of the Conference;",
"(b) Election of officers;",
"(c) Adoption of the agenda and organization of work;",
"(d) Participation;",
"(e) Adoption of the report of the Bureau on credentials;",
"(f) General discussion.",
"2. General review of the implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto:",
"(a) United Nations Convention against Transnational Organized Crime;",
"(b) Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children;",
"(c) Protocol against the Smuggling of Migrants by Land, Sea and Air;",
"(d) Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition.",
"3. Other serious crimes, as defined in the Convention, including new forms and dimensions of transnational organized crime.",
"4. International cooperation, with particular emphasis on extradition, mutual legal assistance and international cooperation for the purpose of confiscation, and the establishment and strengthening of central authorities.",
"5. Technical assistance.",
"6. Provisional agenda for the thirteenth session of the Conference.",
"7. Other matters.",
"8. Adoption of the report of the Conference on its twelfth session.",
"[1] ^(*) CTOC/COP/2022/1."
] | CTOC_COP_2022_L.2 | [
"Eleventh session",
"Vienna, 17-21 October 2022",
"Item 7 of the provisional agenda [1]",
"Provisional agenda for the twelfth session of the Conference",
"Draft decision submitted by the Expanded Bureau",
"Provisional agenda for the twelfth session of the Conference",
"The Conference of the Parties to the United Nations Convention against Transnational Organized Crime approves the provisional agenda for its twelfth session as set out below.",
"Provisional agenda for the twelfth session of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime",
"1. Organizational matters:",
"Opening of the twelfth session of the Conference of the Parties;",
"(b) Election of officers;",
"(c) Adoption of the agenda and organization of work;",
"(d) Participation;",
"(e) Adoption of the report of the bureau on credentials;",
"(f) General discussion.",
"2. General review of the implementation of the United Nations Convention against Transnational Organized Crime and the Protocols thereto:",
"(a) United Nations Convention against Transnational Organized Crime;",
"(b) Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children;",
"(c) Protocol against the Smuggling of Migrants by Land, Sea and Air;",
"(d) Protocol against the Illicit Manufacturing of and Trafficking in Firearms, Their Parts and Components and Ammunition.",
"3. Other serious crimes as defined in the Convention, including new forms and dimensions of transnational organized crime.",
"International cooperation, with particular emphasis on extradition, mutual legal assistance and international cooperation for the purpose of confiscation, and the establishment and strengthening of central authorities.",
"5. Technical assistance.",
"Provisional agenda for the thirteenth session of the COP.",
"Other matters.",
"Adoption of the report of the Conference of the Parties on its twelfth session.",
"[1] CTOC/COP/2022/1."
] |
[
"工业发展理事会 第五十届会议 2022年11月21日至23日，维也纳 临时议程项目8 (a) \n 工发组织与循环经济有关的活动",
"工发组织与循环经济有关的活动",
"总干事的报告",
"本文件报告大会GC.18/Res.7号决议执行情况，并介绍循环经济相关最新发展动态。本报告是对IDB.49/18、GC.19/13和《工发组织2019年年度报告》（IDB.48/2）、《工发组织2020年年度报告》（IDB.49/2）和《工发组织2021年年度报告》（IDB.50/2）所载信息的补充。IDB.50/CRP.6号文件报告了关于循环经济的磋商情况。",
"一. 技术合作和政策咨询服务",
"1. 工发组织继续与欧洲投资银行、循环经济和查塔姆研究所就“转向循环经济价值链”全球项目成功开展了合作，完成了关于全球电子、纺织、服装和塑料价值链循环行动的四个试点项目的设计。",
"2. 在黎巴嫩，工发组织向私营部门的绿色和循环经济复苏提供支持，重点是农产工业价值链、商业机遇和对技术和工艺投资金融机制加以利用的机会。",
"3. 与瑞士合作实施的全球生态工业园区方案有助于把工业循环和协同增效观点纳入法律法规。经由多个利益攸关方的实践社区和部际工作组协同拟订政策，并已致使若干国家的政策发生了变化。",
"4. 地中海南部地区转型（SwitchMed）方案二已将其对地中海地区鱼类加工和水产养殖价值链的支持扩大至蓝色经济部分，重点是可持续清洁生产做法、政策建议和进一步发展循环商业模式。欧盟促环境（EU4Environment）项目继续促进经济转型国家的工业共生、工业废物减少和循环经济实践。",
"5. 埃塞俄比亚、莱索托、马达加斯加和南非的“纺织和服装业循环经济”项目经由化学品和废物的可持续管理促进循环经济实践。工发组织与剑桥大学循环经济中心合作开展活动，给增强各国国内研究中心和服务部门在循环经济方面的能力奠定了基础。通过私营部门和合作伙伴的积极参与，给传播促进该部门根本性变革的最佳做法提供了保证。",
"6. 工发组织积极参与了“非洲的化学品和废物向循环经济过渡”及“资助农用化学品的减少和管理”的方案，这些方案重新审视各国在化学品和废物管理上的做法，从而促进了区域和全球的持久变革。工发组织和13个国家实施了“加强对拉丁美洲国家电子电气设备废物中的持久性有机污染物进行环境无害管理的国家举措和区域合作”的项目，该项目由全球环境基金资助，涉及联合国其他四个实体及若干国际和国家组织，是展开循环电子产品区域项目的出发点。",
"7. 气候技术中心和网络（CTCN）[1]协助非洲和拉丁美洲18个国家为工业、农业和废物部门制定循环经济路线图，其中列入了政策、监管和技术指导，以提高价值链的效率和成本效益。CTCN还在制定衡量并评估循环经济行动对拉丁美洲和加勒比六个国家的国家气候目标影响的准则[2]。在墨西哥，CTCN为从循环经济角度分析建筑和拆除行业状况提供了技术支持[3]。",
"8. 工发组织促进工业中的循环经济实践并支持成员国发展有利环境以解决塑料泄漏到环境中的问题。在南非，工发组织支持拟订行动计划和建立首个得到国际标准化组织认证的生物降解测试国家实验室，以引导向环境上可持续的替代品的过渡。在埃及，它促进在工业中推行生态设计实践和循环商业模式，并协助创设有利的政策、法规或经济工具，从而帮助减少了塑料废物。在尼日利亚，工发组织支持拟订塑料废物管理国家政策实施准则，同时在加纳开展的活动导致建立了塑料方面的循环经济框架和循环塑料方面的英才中心。",
"9. 工发组织支持埃及发展循环生物经济，开展对商业机遇的评估，审查和支持完善现有的生物产品标准及制定新的标准，并给决策者开展能力建设。",
"10. 由环境基金资助的“响应《关于持久性有机污染物的斯德哥尔摩公约》展示露天焚烧活动方面最佳可行技术和最佳环保做法”的项目在东亚和东南亚的五个国家得到实施。该项目力求依靠循环经济原则和建立资源高效型废物管理系统以减少无意中产生的持久性有机污染物的排放，从而实现二恶英排放量减少90%的目标。",
"11. 工发组织参与了国际标准化组织一个专门技术委员会关于循环经济国际标准的拟订工作。[4]该项工作除其他外，包括拟订落实循环经济的框架和原则，制定营商模式指南和循环框架衡量指南。",
"二. 召集职能和伙伴关系",
"12. 在联合国气候变化框架公约缔约方会议第二十七届会议期间，由工发组织和联合国训练研究所共同组织并在11个联合国组织和国际组织支持下举行的“加快全球循环经济议程以应对气候变化和促进经济转型”的会外活动[5]提出了循环经济的概念。各国政府的代表以循环经济全球磋商成果为基础，领导一个小组探讨雄心勃勃的循环经济原则和做法以及将其纳入国家自主贡献和国家适应计划的主流问题。私营部门、学术界和民间社会的代表还审视了包括为气候和自然融资等有利于全球转向循环经济的因素。",
"13. 工发组织是全球循环经济和资源效率联盟（GACERE）的创始伙伴并于2021年9月共同召开了其第一次高级别会议。[6]GACERE力求基于国际上开展的努力，在全球范围内推动与循环经济转型、资源效率及可持续消费和生产有关的倡议。",
"14. 工发组织、气候技术中心和网络及该区域各国政府合作创建了拉丁美洲和加勒比循环经济区域联盟。[7]该联盟于2022年2月发表了其立场文件《拉丁美洲和加勒比的循环经济：一个共同的愿景》。[8]",
"三. 需请理事会采取的行动",
"15. 理事会似宜注意到本文件提供的信息，并就如何加强循环经济方面的国际合作和多边行动提出建议。理事会还似宜就继续关于循环经济的磋商向秘书处提供指导。",
"[1] CTCN是由环境署和工发组织共同主持的《气候变化公约》技术机制的执行机构，它应发展中国家的请求提供技术、政策和监管援助，帮助它们实现其在气候变化方面的承诺和可持续发展目标。如欲了解更多信息，请访问：www.ctc-n.org/。",
"[2] www.ctc-n.org/technical-assistance/projects/guidelines-monitoring-and-evaluating-impact-circular-economy-measures。",
"[3] www.ctc-n.org/technical-assistance/projects/analysis-current-situation-construction-and-demolition-sector-respect。",
"[4] iso.org/committee/7203984.html。",
"[5] 联合国环境规划署（环境署）；联合国开发计划署（开发计划署）；国际劳工组织（劳工组织）；联合国西亚经济社会委员会（西亚经社会）；联合国欧洲经济委员会（欧经委）；联合国最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办公室；经济合作与发展组织（经合组织）；世界银行（世行）；绿色经济行动伙伴关系（PAGE）；绿色增长知识伙伴关系（GGKP）；全球绿色增长研究所（GGGI）。",
"[6] ec.europa.eu/environment/international_issues/gacere.html。",
"[7] coalicioneconomiacircular.org/en/elementor-7/inicio-english。",
"[8] www.ctc-n.org/news/latin-american-and-caribbean-coalition-launches-vision-regional-circular-economy。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 8 (a) of the provisionalagenda \nUNIDO activities related tocircular economy",
"UNIDO activities related to circular economy",
"Report by the Director General",
"The present document reports on the implementation of General Conference resolution GC.18/Res.7 and provides information on the latest developments relating to circular economy. It supplements the information contained in IDB.49/18, GC.19/13 and in the Annual Reports of UNIDO for 2019 (IDB.48/2), 2020 (IDB.49/2) and 2021 (IDB.50/2). The consultations on circular economy are reported on in IDB.50/CRP.6.",
"I. Technical cooperation and policy advisory services",
"1. UNIDO continued the successful cooperation with the European Investment Bank, Circle Economy and Chatham House for the global project “SWITCH to circular economy value chains”, completing the design of four pilot project on circular actions in the global electronics, textiles, garments and plastics value chains.",
"2. In Lebanon, UNIDO supports the private sector’s green and circular economic recovery, focusing on agro-industrial value chains, business opportunities, and access to financial mechanisms for investments in technologies and processes.",
"3. The Global Eco-Industrial Parks Programme, implemented in partnership with Switzerland, has helped integrate industrial circularity and synergy perspectives into laws and regulations. Policy development is coordinated through a multi-stakeholder community of practice and interministerial working groups and has already resulted in policy change in several countries.",
"4. The SwitchMed II programme has extended its support to fish processing and aquaculture value chains in the Mediterranean with a Blue Economy component, focusing on sustainable and cleaner production practices, policy recommendations and the development of circular business models development. The EU4Environment project continued facilitating industrial symbiosis, industrial waste reduction and circular economy practices in countries with economies in transition.",
"5. The “Circular Economy in the Textiles and Garment Industries” project in Ethiopia, Lesotho, Madagascar and South Africa promotes circular economy practices through sustainable chemicals and wastes management. In collaboration with Cambridge University’s Circular Economy Centre, UNIDO’s activities provide the basis to capacitate domestic research centres and services in the circular economy. The dissemination of best practices for the transformative change of the sector is ensured through the active participation and involvement of the private sector and partners.",
"6. UNIDO actively participates in the “Transitioning to a Circular Economy for Chemicals and Waste in Africa” and “Financing Agrochemical Reduction and Management” programmes, which stimulate lasting change regionally and globally by re-examining national approaches to chemicals and waste management. UNIDO and 13 countries implement the GEF-funded project “Strengthening of National Initiatives and Enhancement of Regional Cooperation for the Environmentally Sound Management of Persistent Organic Pollutants in Waste of Electronic and Electrical Equipment in Latin American Countries”, which involves four other United Nations entities and several international and national organizations, and is a starting point for a regional project on circular electronics.",
"7. The Climate Technology Centre and Network (CTCN)[1] assists 18 countries in Africa and in Latin America to develop circular economy road maps for the industrial, agricultural and waste sectors that include policy, regulatory and technology guidance for more efficient and cost-effective value chains. CTCN is also developing guidelines to measure and evaluate the impact of circular economy actions on national climate objectives in six countries of Latin America and the Caribbean.[2] In Mexico, CTCN provides technical support to analyze the state of the construction and demolition sector from the perspective of a circular economy.[3]",
"8. UNIDO addresses plastic leakage into the environment by promoting circular economy practices in industry and supporting Member States to develop enabling environments. In South Africa, UNIDO supported the development of an action plan and the establishment of the first national ISO-certified biodegradation testing laboratory to lead the transition to environmentally sustainable alternatives. In Egypt, it helped reduce plastic waste by promoting eco-design practices and circular business models in the industry, and assisting in the creation of enabling policy, regulations or economic tools. In Nigeria, UNIDO supported the development of implementation guidelines for the national policy on plastic waste management, while activities in Ghana led to the establishment of a circular economy framework for plastics and a centre of excellence for circular plastics.",
"9. UNIDO supports Egypt in developing a circular bio-economy, conducting an assessment of business opportunities, reviewing and supporting the development of existing and new standards for bio-based products, as well as conducting capacity-building for policymakers.",
"10. The GEF-funded project “Demonstration of Best Available Techniques and Best Environmental Practices in Open Burning Activities in Response to the Stockholm Convention on Persistent Organic Pollutants” is implemented in five East and South-East Asian countries. The project aims at achieving a 90 per cent reduction of dioxin releases by relying on circular economy principles and establishing resource efficient waste management systems to reduce emissions of unintentional persistent organic pollutants (POPs).",
"11. UNIDO participates in the elaboration of international standards on circular economy in a dedicated Technical Committee of the International Organization for Standardization.[4] This work includes, inter alia, setting a framework and principles for the implementation of a circular economy, producing guidelines on business models and measuring circularity frameworks.",
"II. Convening and partnerships",
"12. The side event “Accelerating the global circular economy agenda to tackle climate change and foster economic transformation”, co-organized by UNIDO and the United Nations Institute for Training and Research and supported by 11 United Nations and international organizations,[5] raised the concept of circular economy at the 27th session of the Conference of the Parties to the United Nations Framework Convention on Climate Change (COP 27). By building on the outcomes of the global consultations on circular economy, national government representatives led a panel that explored ambitious circular economy principles and practices and their mainstreaming into Nationally Determined Contributions and National Adaptation Plans. Representatives of the private sector, academia and civil society also examined enabling factors for the global shift towards circular economy, including finance for climate and nature.",
"13. UNIDO is a founding partner of the Global Alliance on Circular Economy and Resource Efficiency (GACERE)[6] and co-convened its first high-level meeting in September 2021. GACERE aims to provide a global impetus for initiatives related to the circular economy transition, resource efficiency and sustainable consumption and production, building on international efforts.",
"14. Collaboration between UNIDO, CTCN, and governments in the region resulted in the launch of the Regional Coalition on Circular Economy for Latin America and the Caribbean.[7] The Coalition released its position paper Circular economy in Latin America and the Caribbean: a shared vision in February 2022.[8]",
"III. Action required of the Board",
"15. The Board may wish to take note of the information provided in the present document and provide recommendations on how to enhance international cooperation and multilateral action on circular economy. The Board may also wish to provide guidance to the Secretariat on the continuation of consultations on circular economy.",
"[1] CTCN, the implementing arm of the UNFCCC Technology Mechanism, co-hosted by UNEP and UNIDO, provides technology, policy and regulatory assistance at the request of developing countries as they seek to meet their climate change commitments and Sustainable Development Goals. For more information: www.ctc-n.org/.",
"[2] www.ctc-n.org/technical-assistance/projects/guidelines-monitoring-and-evaluating-impact-circular-economy-measures.",
"[3] www.ctc-n.org/technical-assistance/projects/analysis-current-situation-construction-and-demolition-sector-respect.",
"[4] iso.org/committee/7203984.html.",
"[5] United Nations Environment Programme (UNEP); United Nations Development Programme (UNDP); International Labour Organization (ILO); United Nations Economic and Social Commission for Western Asia (ESCWA); United Nations Economic Commission for Europe (UNECE); United Nations Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States (UN-OHRLLS); The Organisation for Economic Co-operation and Development (OECD); World Bank (WB); Partnership for Action on Green Economy (PAGE); Green Growth Knowledge Partnership (GGKP); Global Green Growth Institute (GGGI).",
"[6] ec.europa.eu/environment/international_issues/gacere.html.",
"[7] coalicioneconomiacircular.org/en/elementor-7/inicio-english.",
"[8] www.ctc-n.org/news/latin-american-and-caribbean-coalition-launches-vision-regional-circular-economy."
] | IDB.50_15 | [
"Vienna, 21-23 November 2022",
"UNIDO activities related to the circular economy",
"Report by the Director-General",
"The present document reports on the implementation of General Conference resolution GC.18/Res.7 and provides an update on developments related to the circular economy. The present report complements the information contained in IDB.49/18, GC.19/13 and the Annual Report of UNIDO 2019 (IDB.48/2), the Annual Report of UNIDO 2020 (IDB.49/2) and the Annual Report of UNIDO 2021 (IDB.50/2). The consultations on the circular economy were reported in document IDB.50/CRP.6.",
"I. Technical cooperation and policy advisory services",
"UNIDO continued its cooperation with the European Investment Bank, the Revolving Economy and the Chatham Institute on a successful global project on the “Transition to the Value Chain of the Cycle Economy” by completing the design of four pilot projects on the global electronic, textile, clothing and plastic value chain recycling initiative.",
"2. In Lebanon, UNIDO provided support for private sector green and circular economic recovery, focusing on agro-industrial value chains, business opportunities and access to financial mechanisms for technological and technological investment.",
"3. The Global Eco-Industrial Park Programme, implemented in cooperation with Switzerland, has helped to integrate the industrial cycle and synergy perspective into legislation and regulations. Policy development through multi-stakeholder community of practice and inter-ministerial working groups has led to policy changes in several countries.",
"4. The SwitchMed programme II has expanded its support for fish processing and aquaculture value chains in the Mediterranean to the blue economy, focusing on sustainable cleaner production practices, policy recommendations and the further development of circular business models. The EU4Environment project continues to promote industrial symbiotic, industrial waste reduction and circular economic practices in countries with economies in transition.",
"The project “Circular Economy of the Textile and Clothing Industry” in Ethiopia, Lesotho, Madagascar and South Africa promotes circular economic practices through the sustainable management of chemicals and wastes. UNIDO ' s activities, in cooperation with the University of Cambridge Centre for Cycle Economics, laid the foundation for strengthening the capacity of national research centres and services in the circular economy. The dissemination of best practices for fundamental change in the sector is assured through the active involvement of the private sector and partners.",
"UNIDO has been actively involved in the “Transition of chemicals and waste to circular economies in Africa” and “Financing the reduction and management of agro-chemicals” programmes, which take a fresh look at national approaches to chemicals and waste management and thus contribute to lasting regional and global change. UNIDO and 13 countries have implemented the project “Strengthening national initiatives and regional cooperation for the environmentally sound management of persistent organic pollutants in waste from electronic and electrical equipment in Latin American countries”, which is funded by GEF and involves four other United Nations entities and several international and national organizations and is the starting point for a regional project on circular electronics.",
"7. The Climate Technology Centre and Network (CTCN) [1] assisted 18 countries in Africa and Latin America in developing a road map for circular economies in the industrial, agricultural and waste sectors, which includes policy, regulatory and technical guidance to improve the efficiency and cost-effectiveness of value chains. CTCN is also developing guidelines for measuring and assessing the impact of circular economic actions on national climate targets in six countries in Latin America and the Caribbean [2]. In Mexico, CTCN provided technical support for the analysis of the construction and demolition industry from a circular economic perspective [3].",
"UNIDO promotes circular economic practices in industry and supports Member States in developing an enabling environment to address plastic spills into the environment. In South Africa, UNIDO supported the development of an action plan and the establishment of the first International Organization for Standardization-certified national laboratory for biodegradation testing to guide the transition to environmentally sustainable alternatives. In Egypt, it promoted eco-design practices and circular business models in industry and assisted in the creation of enabling policy, regulatory or economic tools to help reduce plastic waste. In Nigeria, UNIDO supported the development of guidelines for the implementation of the national policy on plastic waste management, while activities in Ghana led to the establishment of a recycling economic framework for plastics and centres of excellence for circular plastics.",
"9. UNIDO supports the development of a circular bio-economy in Egypt by undertaking an assessment of commercial opportunities, reviewing and supporting the refinement of existing and new standards for biological products and capacity-building for decision makers.",
"The GEF-funded project “Responding to the Stockholm Convention on Persistent Organic Pollutants to demonstrate best available techniques and best environmental practices in open burning” was implemented in five countries in East and South-East Asia. The project seeks to achieve a 90 per cent reduction in dioxin emissions by relying on circular economic principles and establishing resource-efficient waste management systems to reduce releases of unintentionally produced persistent organic pollutants.",
"UNIDO participated in the development of international standards on the circular economy by a specialized technical committee of the International Organization for Standardization. [4] This work includes, inter alia, the development of a framework and principles for the implementation of a circular economy, a guide to business models and a guide to the measurement of a circular framework.",
"Convening functions and partnerships",
"During the twenty-seventh session of the Conference of the Parties to the United Nations Framework Convention on Climate Change, the concept of a circular economy was presented at a side event organized jointly by UNIDO and the United Nations Institute for Training and Research and supported by 11 United Nations and international organizations, entitled “Accelerating the global circular economic agenda to address climate change and promote economic transformation”. Building on the outcome of the Global Consultations on the Cycle Economy, representatives of Governments led a panel on ambitious circular economic principles and practices and their mainstreaming into national ownership contributions and national adaptation plans. Representatives of the private sector, academia and civil society also examined factors conducive to a global shift to a circular economy, including climate and natural finance.",
"UNIDO was a founding partner of the Global Alliance for Revolving Economy and Resource Efficiency (GACERE) and co-hosted its first high-level meeting in September 2021. [6] GACERE seeks to build on international efforts to promote global initiatives related to revolving economies, resource efficiency and sustainable consumption and production.",
"UNIDO, the Climate Technology Centre and Network and the Governments of the region have cooperated in the creation of the Regional Alliance for the Cycle Economy of Latin America and the Caribbean. [7] In February 2022, the Alliance published its position paper, \" The circular economy of Latin America and the Caribbean: a common vision \" . [8]",
"III. Action required of the Board",
"The Board may wish to take note of the information provided in the present document and make recommendations on how to strengthen international cooperation and multilateral action in the circular economy. The Board may also wish to provide guidance to the secretariat on the continuation of consultations on the circular economy.",
"[1] CTCN is the implementing agency of the UNFCCC Technical Mechanism, co-chaired by UNEP and UNIDO, which provides technical, policy and regulatory assistance to developing countries, upon request, to help them achieve their climate change commitments and sustainable development goals. For more information, please visit www.ctc-n.org/.",
"[2] www.ctc-n.org/technical-assistance/projects/guidelines-monitoring-and-evaluating-impact-circular-economy-measures.",
"[3] www.ctc-n.org/technical-assistance/projects/analysis-current-situation-and-demolition-security-respect.",
"[4] Iso.org/committee/7203984.html.",
"[5] United Nations Environment Programme (UNEP); United Nations Development Programme (UNDP); International Labour Organization (ILO); United Nations Economic and Social Commission for Western Asia (ESCWA); United Nations Economic Commission for Europe (UNECE); United Nations Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States (UN-OHRLLS); Organization for Economic Cooperation and Development (OECD); World Bank (WB); Partnership for Action on Green Economy (PAGE); Green Growth Knowledge Partnership (GGKP); Global Green Growth Institute (GGGI).",
"[6] e.europa.eu/environment/international_issues/gacere.html.",
"[7] Coalicioconomiacular.org/en/elementor-7/inicio-english.",
"[8] www.ctc-n.org/news/latin-american-and-caribbean-coalition-launches-vision-regional-circulal-economy."
] |
[
"工业发展理事会",
"为可持续原因，本文件未作打印。请各位代表参阅所有文件的电子版。",
"第五十届会议",
"2022年11月21日至23日，维也纳",
"临时议程项目18",
"与政府间组织、非政府组织、政府组织 及其他组织有关的事项",
"一个非政府组织对咨商地位的申请",
"总干事的说明",
"本文件提供关于申请工发组织咨商地位的非政府组织国际应用系统分析研究所（应用系统分析所）的资料。",
"1. 根据工发组织《章程》第19.1(b)条以及《工发组织与政府间组织、政府组织、非政府组织和其他组织之间的关系的指导方针》（GC.1/Dec.41号决定），特别是其附件第17段，现将本文件附件中关于申请工发组织咨商地位的非政府组织国际应用系统分析研究所（应用系统分析所）的资料分发给理事会成员。关于该非政府组织的更多详细资料可向秘书处索取。",
"2. 《指导方针》附件第17段规定，理事会应当制订审查非政府组织要求取得咨商地位的申请的适当程序。根据理事会第四十五届会议确定的程序（IDB.45/Dec.16），理事会扩大主席团应在第五十届会议举行之前的会议上审查本文件附件提到的非政府组织的此申请和资料，并向理事会主席团提交其建议。理事会主席团应在其2022年11月21日第一次会议上审议该申请及扩大主席团的建议。",
"3. 在随后的全体会议上，第五十届会议主席应向理事会通报主席团关于申请的建议，并经主席团批准将决定草案提交理事会通过。",
"附件",
"国际应用系统分析研究所（应用系统分析所）",
"历史背景",
"应用系统分析所成立于1972年10月，是一个非政府的跨国界自主科学机构，目标是发起和支持就现代社会因科技发展而产生的问题展开协作研究和个人研究。应用系统分析所还力求鼓励并加强相应调查领域的国家和国际努力；寻找加深各国科学家对此类研究的认识的手段；并试图经由拟订统一标准和术语来增进了解。应用系统分析所完全是为和平目的而建立的。",
"应用系统分析所如今是一个国际研究机构，它推进系统分析，并应用其研究方法确定政策解决方案，以减少人类足迹，增强自然和社会经济系统的适应性，并帮助实现可持续发展目标。",
"章程",
"有。",
"理事机关和行政部门的架构",
"应用系统分析所的管理机构为理事会，由各国家成员组织和区域成员组织各派一名常驻代表组成。",
"应用系统分析所的章程及理事会和理事会下属各委员会的授权框架概述了关于该所的目标、成员资格、内部架构及理事会作用和职责的条例。",
"理事会负责治理监督、核准研究所的预算、战略和管理原则及应用系统分析所的研究领域，并确保应用系统分析所的活动符合机构目标、章程规定以及国家和区域成员组织的利益。",
"理事会每年分别在6月和11月举行两次会议。《章程》、理事会授权和理事会的决议记录了理事会的作用及其程序和决定。理事会任命研究所总干事、负责科学事务的副总干事、首席运营官和理事会秘书。",
"理事会下设以下委员会：",
"与工发组织工作有关的活动",
"应用系统分析所2021-2030的战略将该所定位为针对当前、新出现和新的全球可持续性挑战、威胁和机遇提出综合性系统解决方案和政策见解的主要目的地之一。应用系统分析所2021-2024年研究计划力求突出同时实现多个全球可持续发展目标的机遇，同时最大限度地减少取舍；采用更好结合行为、公平、正义和适应性的多学科协作包容做法。",
"应用系统分析所与工发组织有着各种形式的长期合作：",
"应用系统分析所和工发组织展开合作，在水文气候极端复杂、能源和土地使用面临多重挑战以及人口、经济和气候快速变化的地区，协力制定能源、水、粮食和生态系统安全的综合解决方案。",
"自2009年以来，应用系统分析所和工发组织主办了维也纳能源论坛，该论坛汇集了来自100多个国家的1,500多名决策者、国家代表团、专家以及私营部门和民间社会的代表。",
"应用系统分析所与工发组织在水、能源和土地综合解决方案研究项目方面开展了合作。",
"应用系统分析所和工发组织合作编写了《连接区域发展、区域一体化和创造附加值：吉尔吉斯斯坦工业发展的战略要素》的报告。",
"与联合国、其他政府间组织和非政府组织的关系",
"应用系统分析所正在与一些政府间组织展开合作。这些组织包括：联合国经济及社会理事会（经社理事会）、联合国防治荒漠化公约（防治荒漠化公约）、联合国气候变化框架公约（气候变化公约）、政府间气候变化专门委员会（IPCC）、联合国环境规划署（联合国环境署）、生物多样性和生态系统服务政府间科学政策平台（IPBES）、生物多样性公约、国际原子能机构国际核信息系统（核信息系统）。经济合作与发展组织（经合组织）及其新经济体系政府经济学家（GENESYS）倡议/平台、联合国可持续发展解决方案网络（SDSN）、联合国防治荒漠化公约（防治荒漠化公约）秘书处、联合国欧洲经济委员会（欧洲经委会）和国际反腐败学院（IACA）。",
"此外，应用系统分析所正在与一些非政府组织合作。这些组织包括：贝尔蒙特论坛、地球联盟、全球公域联盟、全球能源互联网发展合作组织（GEIDCO）、国际科学理事会（ISC）、21世纪可再生能源政策网络（REN21）、世界水理事会（WWC）、非洲研究网络、奥地利研究诚信机构（OeAWI）、奥地利气候变化中心（CCCA）、维也纳复杂性科学中心（CSH）、欧亚太平洋学术协会、欧洲公民科学协会（ECSA）、科学中心网络和维也纳能源俱乐部。",
"应用系统分析所还是联合国大会于2021年宣布的组织2022年国际基础科学促进可持续发展年倡议的创始伙伴。",
"成员资格",
"大致基于一国或一地区国内生产总值和购买力平价，应用系统分析所的成员类别从A类（最高贡献）至E类（最低贡献）不等。不论会员属于哪一类别，所有成员享有平等的投票权。理事会定期评估成员所作贡献。",
"应用系统分析所目前有下述成员：奥地利、巴西、中国、埃及、芬兰、德国、印度、印度尼西亚、伊朗伊斯兰共和国、以色列、日本、约旦、墨西哥、挪威、大韩民国、俄罗斯联邦、斯洛伐克、撒哈拉以南非洲区域成员组织、瑞典、乌克兰、大不列颠及北爱尔兰联合王国、美利坚合众国和越南。",
"总部地址",
"国际应用系统分析研究所（应用系统分析所）",
"Schlossplatz 1",
"A-2361 Laxenburg",
"Austria",
"总干事：艾伯特·S. 范雅斯维尔德先生",
"电子邮件：jaarsveld@iiasa.ac.at"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 18 of the provisionalagenda \nMatters related tointergovernmental,non-governmental, governmentaland other organizations",
"Application from a non-governmental organization for consultative status",
"Note by the Director General",
"The present document provides information on the InternationalInstitute for Applied Systems Analysis (IIASA), a non-governmentalorganization (NGO) applying for consultative status with UNIDO.",
"1. In accordance with Article 19.1 (b) of the Constitution of UNIDO and the Guidelines for the Relationship of UNIDO with intergovernmental, governmental, non-governmental and other organizations (decision GC.1/Dec.41), in particular paragraph 17 of the annex thereto, information on the International Institute for Applied Systems Analysis (IIASA), a non-governmental organization (NGO) seeking consultative status with UNIDO, is circulated to the members of the Board in the annex to the present document. More detailed information on the NGO is available with the Secretariat.",
"2. Paragraph 17 of the annex to the Guidelines, stipulates that the Board shall establish appropriate procedures for reviewing applications from NGOs for consultative status. In line with the procedures established by the Board at its forty-fifth session (IDB.45/Dec.16), the Enlarged Bureau of the Board shall review the present application of, and information on the NGO referred to in the annex to the present document at its meeting prior to the fiftieth session and submit its recommendation to the Bureau of the Board. The Bureau shall consider the application and recommendation of the Enlarged Bureau at its first meeting on 21 November 2022.",
"3. At the subsequent plenary meeting, the President of the fiftieth session shall inform the Board of the Bureau’s recommendation on the application and with the approval of the Bureau, the President shall present a draft decision to the Board for adoption.",
"Annex",
"International Institute for Applied Systems Analysis (IIASA)",
"Historical background",
"IIASA was established in October 1972 as a non-governmental, multinational, autonomous scientific institution with the objective to initiate and support collaborative and individual research in relation to problems of modern societies arising from scientific and technological development. IIASA also aims to encourage and reinforce national and international efforts in corresponding fields of inquiry; devise means of enhancing appreciation of this type of research among scientists from all nations; and attempt to increase understanding through the development of uniform standards and terminology. IIASA was established to work exclusively for peaceful purposes.",
"Today, IIASA is an international research institute that advances systems analysis and applies its research methods to identify policy solutions to reduce human footprints, enhance the resilience of natural and socioeconomic systems, and help achieve the sustainable development goals.",
"Statutes",
"Available.",
"Structure of governing bodies and administration",
"IIASA is governed by a Council comprised of one permanent representative from each National and Regional Member Organization.",
"Regulations concerning the Institute’s objectives, conditions of membership, internal structure, and the roles and responsibilities of the Council are outlined in the IIASA Charter and the delegation of authority framework of the Council and Council Committees.",
"The Council is responsible for governance oversight, approval of the Institute’s budget, strategies and governing principles, areas for IIASA research, as well as ensuring that IIASA activities are in line with institutional objectives, the provisions of the Charter and the interests of National and Regional Member Organizations.",
"The Council meets twice a year, in June and November. The Charter, the Council delegation of authority and Council resolutions document the role of the Council, as well as its processes and decisions. The Council appoints the Institute’s Director General, Deputy Director General for Science, the Chief Operations Officer (COO) and the Council Secretary.",
"The Council has the following Committees:",
"Activities related to the work of UNIDO",
"The IIASA Strategy 2021–2030 positions the Institute to be among the primary destinations for integrated systems solutions and policy insights to current, emerging, and novel global sustainability challenges, threats and opportunities. The IIASA Research Plan 2021–2024 aims to spotlight opportunities for simultaneously achieving multiple global sustainability goals while minimizing trade-offs; using multidisciplinary, collaborative and inclusive approaches that better integrate behaviour, equity, justice and resilience imperatives.",
"IIASA and UNIDO have a long record of cooperation under various formats:",
"energy, water, food and ecosystem security in regions characterized by extreme hydro-climatic complexity, multiple energy and land use challenges, and rapid demographic, economic and climate change.",
"that bring together over 1,500 policymakers, country delegations, experts and representatives from the private sector and civil society from over 100 countries.",
"Energy, and Land (ISWEL) research project.",
"Connecting Regional Development, Regional Integration and Value Added Creation: Strategic Elements for Industrial Development of Kyrgyzstan.",
"Relations with the United Nations, other IGOs and NGOs",
"IIASA is partnering with a number of intergovernmental organizations. These organizations include: the United Nations Economic and Social Council (ECOSOC), the United Nations Convention to Combat Desertification (UNCCD), the United Nations Framework Convention on Climate Change (UNFCCC), the Intergovernmental Panel on Climate Change (IPCC), the United Nations Environment Programme (UNEP), the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES), the Convention on Biological Diversity, the International Nuclear Information System (INIS) of the International Atomic Energy Agency (IAEA), the Organisation for Economic Co-operation and Development (OECD) and its Government Economists for New Economic Systems (GENESYS) initiative/platform, the United Nations Sustainable Development Solutions Network (SDSN), the Secretariat of the United Nations Convention to Combat Desertification (UNCCD), United Nations Economic Commission for Europe (UNECE) and the International Anti-Corruption Academy (IACA).",
"Furthermore, IIASA is collaborating with a number of non-governmental organizations. These organizations include: the Belmont Forum, the Earth League, the Global Commons Alliance, the Global Energy Interconnection Development and Cooperation Organization (GEIDCO), the International Science Council (ISC), REN21, the World Water Council (WWC), Africa-UniNet, the Austrian Agency for Research Integrity (OeAWI), the Climate Change Center Austria (CCCA), the Complexity Science Hub Vienna (CSH), Eurasia-Pacific Uninet, the European Citizen Science Association (ECSA), the Science Center Netzwerk and the Vienna Energy Club.",
"IIASA is also a founding partner of the initiative to organize the International Year of Basic Sciences for Sustainable Development in 2022, proclaimed by the United Nations General Assembly in 2021.",
"Membership",
"Based roughly on a country’s or region’s GDP and purchasing power parity, IIASA membership categories vary from A (highest contribution) to E (lowest contribution) category. All members’ votes are equal regardless of membership category. The Council periodically reviews membership contributions.",
"Currently, the following are members of IIASA: Austria, Brazil, China, Egypt, Finland, Germany, India, Indonesia, Iran (Islamic Republic of), Israel, Japan, Jordan, Mexico, Norway, Republic of Korea, Russian Federation, Slovakia, Sub-Saharan Africa Regional Member Organization (SSARMO), Sweden, Ukraine, United Kingdom of Great Britain and Northern Ireland, United States of America and Viet Nam.",
"Address of headquarters",
"International Institute for Applied Systems Analysis (IIASA)",
"Schlossplatz 1",
"A-2361 Laxenburg",
"Austria",
"Director General: Mr. Albert S. van Jaarsveld",
"Email: jaarsveld@iiasa.ac.at"
] | IDB.50_28 | [
"Industrial Development Board",
"For sustainability reasons, this document has not been printed. Delegates are invited to consult the electronic versions of all documents.",
"Fiftieth session",
"Vienna, 21-23 November 2022",
"Item 18 of the provisional agenda",
"Matters related to intergovernmental, non-governmental, governmental and other organizations",
"Application for consultative status of a non-governmental organization",
"Note by the Director-General",
"The present document provides information on the International Institute for Applied Systems Analysis (IIASA), a non-governmental organization applying for consultative status with UNIDO.",
"In accordance with Article 19.1 (b) of the Constitution of UNIDO and the Guidelines concerning the Relationship of UNIDO with Intergovernmental, Governmental, Non-Governmental and Other Organizations (decision GC.1/Dec.41), in particular paragraph 17 of the annex thereto, information on the International Institute for Applied Systems Analysis (IIASA), a non-governmental organization (NGO) applying to UNIDO, is circulated to the members of the Board in the annex to the present document. More detailed information on the NGO is available from the Secretariat.",
"Paragraph 17 of the annex to the Guidelines provides that the Board shall establish appropriate procedures for the review of applications from non-governmental organizations for consultative status. In accordance with the procedure established by the Board at its forty-fifth session (IDB.45/Dec.16), the Expanded Bureau of the Board, at its meeting prior to its fiftieth session, shall review the applications and information of the non-governmental organizations mentioned in the annex to the present document and submit its recommendations to the Bureau of the Board. The Bureau of the Governing Council shall consider the application and the recommendation of the Expanded Bureau at its first meeting, on 21 November 2022.",
"3. At a subsequent plenary meeting, the President of the fiftieth session shall inform the Board of the recommendations of the Bureau on the application and, with the approval of the Bureau, submit the draft decision to the Board for adoption.",
"Annex",
"International Institute for Applied Systems Analysis",
"Historical background",
"Founded in October 1972, the Institute is a non-governmental, autonomous, cross-border scientific body whose objective is to initiate and support collaborative and personal research on issues arising from scientific and technological developments in modern societies. It also seeks to encourage and strengthen national and international efforts in the corresponding areas of investigation; to find means to deepen the understanding of national scientists of such research; and to improve understanding by developing harmonized standards and terminology. The Institute was established exclusively for peaceful purposes.",
"ISAF is now an international research institution that promotes system analysis and applies its research methods to identify policy solutions to reduce the human footprint, enhance the adaptability of natural and socio-economic systems and help achieve sustainable development goals.",
"Statute",
"Yes.",
"Structure of governing bodies and administration",
"The governing body of the Institute is the Governing Council, composed of one permanent representative from each of the national and regional member organizations.",
"The Charter of the Institute and the framework for the delegation of authority of the Council and its committees outlined the regulations governing the objectives, membership, internal structure and role and responsibilities of the Institute.",
"The Board is responsible for governance oversight, approval of the Institute ' s budget, strategic and management principles and application of the Institute ' s research areas, and ensuring that the activities of the Institute are in line with the objectives of the Institute, the provisions of its statute and the interests of national and regional member organizations.",
"The Council meets twice a year in June and November, respectively. The Constitution, the mandate of the Board and the resolutions of the Board document the role of the Board and its procedures and decisions. The Board appointed the Director-General of the Institute, the Deputy Director-General for Science, the Chief Operator and the Secretary of the Board.",
"The Council consists of the following committees:",
"Activities related to the work of UNIDO",
"The Strategy 2021-2030 of the Applied Systems Analysis Institute has positioned the Institute as one of the main destinations for a comprehensive and systematic approach to addressing current, emerging and new global sustainability challenges, threats and opportunities. Its 2021-2024 research programme seeks to highlight opportunities for achieving multiple global sustainable development goals at the same time, while minimizing trade-offs; and to adopt an inclusive multidisciplinary approach that integrates behaviour better, equity, justice and adaptation.",
"AIS has various forms of long-term cooperation with UNIDO:",
"AISAF and UNIDO are working together to develop integrated solutions for energy, water, food and ecosystem security in areas of extreme hydroclimatic complexity, multiple challenges to energy and land use, and rapid demographic, economic and climate changes.",
"Since 2009, AIS and UNIDO have hosted the Vienna Energy Forum, which brought together over 1,500 policymakers, national delegations, experts and representatives of the private sector and civil society from over 100 countries.",
"The Institute cooperated with UNIDO in the research project on integrated solutions for water, energy and land.",
"A report entitled Connecting Regional Development, Regional Integration and Value Added: Strategic Elements of Industrial Development in Kyrgyzstan was prepared in cooperation between the Institute and UNIDO.",
"Relations with the United Nations, other intergovernmental and non-governmental organizations",
"The Institute is working with a number of intergovernmental organizations. These organizations include the United Nations Economic and Social Council (ECOSOC), the United Nations Convention to Combat Desertification (UNCCD), the United Nations Framework Convention on Climate Change (UNFCCC), the Intergovernmental Panel on Climate Change (IPCC), the United Nations Environment Programme (UNEP), the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES), the Convention on Biological Diversity and the International Atomic Energy Agency International Nuclear Information System (IAEA). Organization for Economic Cooperation and Development (OECD) and its New Economic System Government Economists (GENESYS) initiative/platform, United Nations Sustainable Development Solutions Network (SDSN), United Nations Convention to Combat Desertification (UNCCD) secretariat, United Nations Economic Commission for Europe (UNECE) and International Anti-Corruption Academy (IACA).",
"In addition, the Institute is working with a number of non-governmental organizations. These include: the Belmont Forum, the Earth Alliance, the Global Commons Alliance, the Global Energy Internet Development Cooperation (GEIDCO), the International Council for Science (ICSC), the Renewable Energy Policy Network for the 21st Century (REN21), the World Water Council (WWCC), the African Research Network, the Austrian Research Integrity Agency (OeAWI), the Austrian Climate Change Centre (CCCA), the Vienna Complex Science Centre (CSH), the Eurasian Pacific Academic Association, the European Civic Science Association (ECSA), the Science Centre Network and the Vienna Energy Club.",
"The Institute was also a founding partner in the International Year of Basic Science for Sustainable Development, 2022, announced by the General Assembly in 2021.",
"Membership",
"Based largely on the gross domestic product (GDP) and purchasing power parities (PPPs) of a country or region, ASA membership categories range from A (maximum contribution) to E (minimum contribution). All members have equal right to vote, regardless of the category of membership. The Council regularly assesses the contributions of its members.",
"ISAF currently has the following members: Austria, Brazil, China, Egypt, Finland, Germany, India, Indonesia, Iran (Islamic Republic of), Israel, Japan, Jordan, Mexico, Norway, Republic of Korea, Russian Federation, Slovakia, Sub-Saharan African Regional Organizations, Sweden, Ukraine, United Kingdom of Great Britain and Northern Ireland, United States of America and Viet Nam.",
"Address of headquarters",
"International Institute for Applied Systems Analysis",
"Schlosplatz 1",
"A-2361 Laxenburg",
"Audrey.",
"Director-General: Mr. Albert S. van Yaswell",
"E-mail: jaarsveld@iiasa.ac.at"
] |
[
"工业发展理事会 第五十届会议 2022年11月21日至23日，维也纳 临时议程项目8 (b) \n 工发组织应对气候变化的战略",
"工发组织应对气候变化的战略",
"总干事的报告",
"本文件介绍了工发组织根据大会GC.19/Res.2号决议经由与工发组织成员国进行的协商而编写的气候变化战略。",
"一. 导言",
"1. 大会在其GC.19/Res.2号决议中请总干事与成员国协商制定一项战略草案以供工业发展理事会第五十届会议审议，该战略将提高工发组织为支持成员国与包容可持续工业发展有关的气候优先事项而开展的活动的效率、效力和协调，并在本组织的所有业务工作中贯彻实施与气候有关的最佳做法。它还请总干事向工业发展理事会第五十届会议报告本决议执行情况的动态。",
"2. 秘书处针对这些要求召开了两次发展对话，通过调查和双边会议邀请成员国提供意见和指导，并分发了两份战略草案以供成员国审查。",
"3. 经过这一协商产生的工发组织气候变化战略载于本文件附件。",
"二. 需请理事会采取的行动",
"4. 理事会似宜审议附件所列文件，并酌情就进一步行动向秘书处提供指导。",
"附件",
"工发组织气候变化战略",
"背景",
"1. 人类引起的气候变化正以多种方式影响着地球上的每一个地区，世界上最脆弱社区首当其冲最受影响。[1]恶劣天气事件、酷热、暴雨、干旱和火灾更为频繁并且强度更大，对人们及其生计、基础设施和生态系统广泛造成严重影响。[2]",
"2. 在全球气候机制内，各国政府和非国家利益攸关方必须采取行动，将全球平均气温增幅控制在不超过比工业化前的水平高出2摄氏度的范围以内，并努力将气温增幅限制在不超过比工业化前的水平高出1.5摄氏度的范围以内；提高适应气候变化影响的能力；并根据《巴黎协定》的目标，使资金流动符合低排放的气候适应型发展路径。[3]",
"3. 《联合国气候变化框架公约》（《气候变化公约》）及其《巴黎协定》必须根据不同的国情，在公平、共同但有区别的责任和各自能力的原则基础上得到实施。以执行《巴黎协定》为基础的气候保护必须与尊重人权、保护生物多样性和发展权相伴而行。这些均在《2030年议程》和《可持续发展目标》中予以确定。如果我们要实现这些目标，发达国家尤其必须履行它们在气候行动方面的责任，并向发展中国家提供气候融资、开展技术转让和能力建设。",
"4. 工业在气候变化方面有三重作用。工业是温室气体的最大排放者之一；它本身受到气候变化和资源枯竭的不利影响；它有潜力成为技术解决方案、商业模式和绿色工作的领先提供方，同时影响全球消费者的行为和生活方式。包容可持续工业化是气候变化战略行之有效的一个关键要素。",
"任务",
"方框1：气候变化和工业：行动的迫切性 • 35亿人极易受到气候影响和严重缺水的影响。 •2010年至2020年间，高脆弱地区因洪水、干旱和风暴造成的人口死亡率高出15倍。 • 全球有30%的人面临致命的酷热之苦，到2100年该占比将上升到50%至75%。 •到2050年，居住在沿海地区的10亿人将面临风险，预计小岛屿住区和低洼地区将会消失。 • 2019年，34%的人为温室气体排放来自工业部门。 • 到2050年，工业生产过程中持续不断的排放量可能会耗尽全球的所有碳预算。 \n • 极端天气事件造成的经济损失每年总计1740亿美元，并且还在上升。",
"5. 依循重申工发组织成员国对《巴黎协定》所持承诺的《阿布扎比宣言》，《2022-2025年中期方案框架》把“气候中性工业与循环经济”确定为本组织干预措施的优先领域之一。",
"6. 为落实该优先事项，大会第十九届会议请总干事与成员国协商制定一项战略草案以供工业发展理事会第五十届会议审议，该战略将提高工发组织为支持成员国与包容可持续工业发展有关的气候优先事项而开展的活动的效率、效力和协调，并在本组织的所有业务工作中贯彻实施与气候有关的最佳做法。[4]",
"2050年愿景",
"7. 世界上不再有贫困和饥饿，由工业推动低排放经济，提高生活水准，保证今世后代有一个宜居的环境，不让任何人掉队。",
"使命陈述",
"8. 低排放的气候适应型发展是工发组织包容可持续工业发展活动的指导原则。该原则将在工发组织战略文件和成果指标中得到生动体现，并将反映在其组织结构中。低排放的气候适应型发展也是工发组织与其成员国、联合国系统及其他合作伙伴和利益攸关方进行互动的一个重要支柱。",
"范围",
"9. 工发组织为实现气候中性采取的行动参照了政府间气候变化专门委员会得出的科学结论并受气候和工业国家优先事项和需求的驱动，将与《2030年可持续发展议程》、《气候变化公约》及其《巴黎协定》保持一致。工发组织和气候变化公约秘书处签署的联合声明将指导这两个实体之间的合作。",
"10. 该战略寻求创设一个得到所有成员国支持的灵活的行动框架。它将与其他指导文件保持一致，这些文件包括冲突后/危机局势战略、小岛屿发展中国家、最不发达国家和中等收入国家战略、性别平等和增强妇女权能战略以及区域战略。",
"11. 该战略的实施将最大限度地发挥与工发组织在诸如能源、农业企业发展与粮食安全、循环经济和生物多样性等其他优先领域的协同作用。工发组织将寻求以全面综合方式提供应对全球挑战的解决方案，处理取舍问题并最大限度地提高连带惠益。",
"业务原则",
"12. 根据发展中国家的发展权为其需求和优先事项提供支持：工发组织的咨询和技术合作服务是以需求驱动方式提供的，该服务根据当地的情况提供，并对利用关于实现低排放的气候适应型发展的多项关键技术持开放态度。必须进一步开发避免和减少温室气体排放的技术选项。工发组织寻求给技术转让、投资调动和气候伙伴关系提供一个助力加速该进程的平台。",
"13. 努力为促进低排放的气候适应型发展工业政策创造公平的竞争环境：重要的是，全球和区域的市场化做法应当立足于公平和环境完整性的原则，并考虑到最易受气候变化影响的国家的特殊情况。公平、透明和平衡地实施这些政策可以让发展中国家能够获益于大量转让专门知识和气候技术及能力发展，从而在各行各业特别是在难以减排的部门实现现代化和脱碳的同时减少温室气体排放。",
"14. 采取统贯整个经济体的全局做法、部门和跨部门做法推动根本性变革：气候中性终究无法通过零敲碎打的方法实现。发达国家应继续发挥带头作用，采取把具体部门解决方案与跨部门优先事项相结合的统贯整个经济体的全局做法。",
"15. 把气候适应和抵御能力纳入工业发展的主流：为了克服气候变化已经产生的急剧影响，仅仅减少排放是不够的。需要把为减少气候变化造成的损害或为利用技术创新或发展机遇而采取的气候适应措施充分纳入工业发展活动，包括旨在提高气候适应能力的寻求抵御气候变化的做法和以风险管理为导向的做法。",
"16. 全球、区域、国家和地方各级的目标成果：为了加强气候相关干预措施的影响，本组织将把方案工作聚焦于按照其任务和专长可以产生附加值的界定明确的干预领域。",
"17. 增强中小微企业、小型工业和企业家的能力：微型、小型和中型企业（中小微企业）是经济的支柱，创造了很大一部分经济价值。如果被赋予权能，它们就能以创新方式行事，塑造替代型商业模式，并对不断变化的需求做出回应。鉴于所需的气候缓解和适应行动的规模，把扶持中小微企业作为解决方案的一部分至关重要，无论它们是小型工业和集群中的企业家，还是区域和全球价值链的参与方。",
"18. 对今后的工业能力善加利用：实现气候中性所需根本性转变的关键是，转让专门知识和技术、拟订政策和开发技术技能以及创设有利的监管框架和营商环境。",
"19. 经由伙伴关系加以落实以取得最大影响：战略伙伴关系至关重要，有利于在全球一级实现气候中性的工业发展、加强在气候问题上的宣传和落实基于此种协同作用的解决方案。把工发组织作为协调平台，包括为此对其驻地结构加以利用，将进一步加强其作为促进伙伴关系以求取得最大影响的中立斡旋人的地位。",
"20. 到2030年实现工发组织活动的净零：根据《联合国环境绿动倡议》，工发组织及其驻地办事处将在其所有业务中采用与气候有关的最佳做法，到2030年实现气候中性。",
"工作领域",
"21. 提高包容可持续工业发展在国际气候变化讨论中的知名度，并让工业方面的利益攸关方参与到对气候问题的宣传中来：工发组织将推动国际社会了解工业作为实现《巴黎协定》各项目标的解决方案提供方所起作用并提升这方面的认识。工发组织将通过其成员国帮助提升工业作为气候解决基本方案一部分的知名度，并在《气候变化公约》的进程中进一步开展关于气候与工业之间关系的新的问题的辩论。",
"22. 促进气候行动方面的国际工业合作：国际合作在制定有助于实现全球气候系统稳定的国家解决方案方面发挥着核心作用。工发组织将促进建立全球和区域联盟与伙伴关系，以加快集体行动的步伐，使全球价值链脱碳，并拓宽绿色工业产品市场。",
"23. 促进与《巴黎协定》相符的工业政策：工业转型是一个复杂的过程，今天采取的行动将对今后几十年的经济和社会产生影响。工发组织将影响诸如循环经济和工业脱碳等气候行动和包容可持续工业发展交叉问题的全球讨论，但也将加强正在进行的关于数字化、可再生能源和技术解决方案以及可持续农业发展和气候智能型农业的工作。",
"24. 为低排放的气候适应型发展提供循证工业政策建议：工发组织将支持成员国在工业部门确定、优先考虑和采取适合国情、由国家驱动并旨在实现根本性变革的气候行动。工发组织将根据请求协助发展中国家把工业方面的考虑纳入其国家战略和计划，包括国家适应计划、《巴黎协定》规定的国家自主贡献、温室气体低排放长期发展战略、减少灾害风险和人道主义应急计划。",
"25. 促进技术和知识转让以实现低排放的气候适应型发展：工发组织将继续协助发展中国家确定“易实现的目标”的减缓措施，并采用成熟的气候技术。与此同时，工发组织将充当思想领袖，在工业中采取大胆的气候行动，拥抱颠覆性技术、了解气候风险管理的新型商业模式并改变心态，以将全球平均气温的升幅控制在比工业化前的水平高出2摄氏度以下，并努力将气温升幅限制在比工业化前的水平高出1.5摄氏度以下。它将积极促进为转让涉面广泛的多项技术和创新而开展南南、南北和三边合作。",
"26. 提升对可再生能源的使用以实现低排放的气候适应型发展：发展中国家可再生能源的开发对于改善生计、创造就业机会、增加学习机会和使能源系统脱碳都至关重要。工发组织将为促进全球清洁能源方面的合作提供支持，并与伙伴国家协力利用适当的技术以促进提高与工业有关的能源和资源效率，并探索包括绿氢在内的各种可再生能源的应用以实现大幅减排。绿氢是一个可行的解决方案，可以在减少工业、能源和交通部门碳排放的同时创造绿色就业机会及其他社会经济效益。",
"方框2：工发组织关于工业绿氢的全球方案 绿氢（GH2）将对实现减缓气候变化的能源转换起到推动作用。发展中国家拥有丰富的可再生能源潜力，在成为GH2主要生产国并利用低排放工业和经济发展新路径上的优势无可替代。投资于可再生能源项目和电解槽，吸引能源密集型钢铁或基础化学品投资，或促进使用绿色钢铁或化学原料的下游工业，均可创造新的就业机会和福利。 作为对这一机遇的回应，工发组织于2021年7月启动了全球工业绿氢方案，以加快GH2在全球的应用步伐，目的是实现工业脱碳及促进低排放的工业发展。该方案基于两大支柱： (1) 全球伙伴关系支柱-侧重于政策对话、知识的开发和传播、技术准则和标准。 (2) 技术合作支柱-侧重于向国家绿氢工业集群、项目路线图和项目的联合开发提供支持。 \n工发组织将与公共和私营部门、金融组织和学术界展开合作，以确保听取所有利益攸关方的意见和坚定走在GH2价值链的轨道上。",
"27. 加强把低排放的气候适应型良好做法纳入包容可持续工业发展的能力：工发组织将协助发展中国家加强评估气候变化给企业、粮食和能源系统以及应对气候变化的基础设施所造成的影响的国家能力，并协助其拟订关于预防和减少天气引发的极端事件的影响的措施，同时加强对未来危机的抵御能力。工发组织将特别重视促进基于自然的解决方案和基于生态系统的适应。工发组织将进一步支持确定并推广在工业方面的气候行动现有良好做法和创新解决方案，并加强在挖掘气候融资机遇方面的能力。",
"28. 开展成员国高效参与市场化机制的能力建设：根据《巴黎协定》建立的新的市场机制可以便利落实国家自主贡献，推动可持续发展，并促进范围广泛的多个利益攸关方广泛参与气候行动。它们可以吸引更多资金流向发展中国家。对国际市场机制的参与需要私人和公共行为体具备特定的能力。工发组织将与其伙伴们进行合作，给发展中国家，特别是给最不发达国家和小岛屿发展中国家开展此种能力建设提供支持，包括为此共享知识和传播良好做法、进行同行交流或采取在实践中学习的做法。",
"29. 协同利用气候融资方面的机遇：工发组织将协助利用工业发展来调动私营部门的投资和国际气候融资，以协助实现发展中国家，特别是最不发达国家、内陆发展中国家和小岛屿发展中国家向低排放的气候适应型发展的范式转变。工发组织将寻求促成伙伴关系，以便从各种私人、公共和非常规来源调动助力发展中国家气候友好型项目和技术的投资、给投资提供便利，化解投资风险和对投资善加利用。",
"30. 培养绿色和数字技能以实现劳动力的公正过渡：应对气候变化需要有向建设低排放的气候适应型经济体和社会的范式转变，同时确保在顾及过渡所涉社会问题的情况下向创造体面工作的劳动力的公正过渡。鉴于许多劳动密集型工业在今后几十年内都可能会实现自动化，关键是让妇女和男子具备制造业未来所需技能。工发组织的综合举措将包括技能开发、技术和职业培训、开放式学习平台、实验室和增强型远程学习选项。",
"战略的实施",
"31. 将制定列有可衡量指标和具体目标的行动计划，以落实该战略的实施。这些指标和具体目标将尽可能与工发组织成果绩效综合框架的指标和具体目标协调一致，并与《巴黎协定》所述各里程碑保持一致。",
"32. 该行动计划将涵盖战略执行所需能力开发、资源调动、伙伴关系和交流活动。将开展能力需求评估，以查明工发组织总部和驻地办事处在与气候有关的学习、知识和能力上的差距，并为内部能力建设计划的拟订提供参照依据。作为行动计划的一部分，将制定一项资源调动计划，该计划列有核心预算和经由多种伙伴关系和融资协议而在气候问题上提供的外部融资。将制定有针对性的交流计划，以提高对气候变化与工业发展之间联系的认识，并促进与合作伙伴、资金提供人和利益攸关方的互动。",
"33. 作为一个人员和资源有限的组织，工发组织的工作成效和相关作用都必须依赖于广大合作伙伴。伙伴关系和机构间合作至关重要，它们有助于利用专门技能、获取研究和知识、善用投资和社会资本、创造前进的势头、激发创新、避免工作的重复和加强互补性、拓展能力开发和加强外联以发挥规模性影响。将制定合作伙伴参与计划，以增强现有伙伴关系的影响并建立新的伙伴关系。",
"方框3：利用战略伙伴关系 •工发组织的驻地结构包括在48个国家设有办事处，并经由区域代表覆盖更多国家； •布鲁塞尔、日内瓦和纽约的联络处以及工发组织投资和技术促进办事处的全球网络； • 区域可持续能源中心的全球网络； • 与气候融资架构的伙伴关系：全球环境基金、绿色气候基金和适应基金； • \n 与国际金融机构、企业、慈善家和有影响力的投资人建立新的合作伙伴关系。",
"34. 将根据新出现的全球趋势以及在《气候变化公约》及其他可持续发展进程下的审议情况对该战略定期更新，以反映监测和评估的结果。",
"[1] 政府间气候变化专门委员会，2021年，普遍、迅猛并且不断加快的气候变化，https://www.ipcc.ch/2021/08/09/ar6-wg1-20210809-pr/。",
"[2] ² 政府间气候变化专门委员会，2022年：决策者摘要[H.-O. Pörtner、D.C. Roberts、E.S. Poloczanska、K. Mintenbeck、M. Tignor、A. Alegría、M. Craig、S. Langsdorf、S. Löschke、V. Möller、A. Okem（编辑）]。载于：2022年气候变化：影响、适应和脆弱性。第二工作组对政府间气候变化专门委员会第六次评估报告的贡献[H.-O. Pörtner、D.C. Roberts、M. Tignor、E.S. Poloczanska、K. Mintenbeck、A. Alegría、M. Craig、S. Langsdorf、S. Löschke、V. Möller、A. Okem、B. Rama（编辑）]。剑桥大学出版社。待发表。",
"[3] ³ 《巴黎协定》第2条。",
"[4] ⁴ GC.19/Res.2。"
] | [
"Industrial Development Board Fiftieth session Vienna, 21–23 November 2022 Item 8 (b) of the provisionalagenda \nUNIDO strategy in response toclimate change",
"UNIDO Strategy in response to climate change",
"Report by the Director General",
"This document presents the UNIDO Climate Change Strategy preparedin response to General Conference resolution GC.19/Res.2 through aconsultative process with UNIDO Member States.",
"I. Introduction",
"1. The General Conference, in its resolution GC.19/Res.2, requested the Director General to develop a draft strategy in consultation with Member States, for consideration by the Industrial Development Board at its fiftieth session, that will enhance the efficiency, effectiveness and coordination of UNIDO’s activities in support of Member State inclusive and sustainable industrial development-related climate priorities and to implement climate-related best practices across its operations. It further requested the Director General to report to the fiftieth session of the Industrial Development Board on the developments regarding the implementation of this resolution.",
"2. In response to these requests, the Secretariat convened two development dialogues, invited inputs and guidance from Member States through a survey and bilateral meetings, and circulated two draft versions of the strategy for review by Member States.",
"3. The UNIDO Climate Change Strategy resulting from this consultative process is contained in an annex to the present document.",
"II. Action required of the Board",
"4. The Board may wish to consider the document included in the annex and provide guidance to the Secretariat on further action as appropriate.",
"Annex",
"UNIDO Climate Change Strategy",
"Background",
"1. Human-induced climate change is affecting every region on Earth in multiple ways, while affecting the world’s most vulnerable communities first and hardest.[1] Widespread and severe impacts to people and their livelihoods, infrastructure and ecosystems have resulted from increases in the frequency and intensity of severe weather events, extreme heat, heavy rainfalls, droughts and fires.[2]",
"2. Within the global climate regime, governments and non-State stakeholders have to take action to hold the increase in the global average temperature to well below 2°C above pre-industrial levels and pursue efforts to limit the temperature increase to 1.5°C above pre-industrial levels; increase the ability to adapt to the effects of climate change; and make finance flows consistent with a pathway towards low-emission climate-resilient development in accordance with the goals of the Paris Agreement.[3]",
"3. The United Nations Framework Convention on Climate Change (UNFCCC) and its Paris Agreement must be implemented based on the principles of equity and common but differentiated responsibilities and respective capabilities in light of different national circumstances. Climate protection, built on the implementation of the Paris Agreement, must be pursued together with respect for human rights, the protection of biodiversity, and the right to development. These are anchored in the 2030 Agenda and the Sustainable Development Goals (SDGs). Developed countries in particular must honour their responsibilities related to climate action and provide climate finance, technology transfer and capacity-building to developing countries, if we are to achieve these goals.",
"4. The role of industry in the climate change context is threefold. Industry is one of the largest emitters of greenhouse gases; it is itself adversely affected by the changing climate and resource depletion; and it has a potential to become a leading provider of technological solutions, business models and green jobs, while influencing consumer behaviour and lifestyles across the globe. Inclusive and sustainable industrialization is a key element of an effective climate change strategy.",
"Mandate",
"5. Guided by the Abu Dhabi Declaration, which reconfirms the commitment of UNIDO Member States to the Paris Agreement, the Medium-Term Programme Framework 2022–2025 sets “climate-neutral industry and circular economy” as one of the priority areas of intervention of the Organization.",
"6. To operationalize this priority, the General Conference, at its nineteenth session, requested the Director General to develop a draft strategy in consultation with Member States, for consideration by the Industrial Development Board at its fiftieth session, that will enhance the efficiency, effectiveness and coordination of UNIDO’s activities in support of Member States climate priorities related to inclusive and sustainable industrial development (ISID) and to implement climate-related best practices across its operations.[4]",
"Vision 2050",
"7. A world without poverty and hunger, where industry drives low-emission economies, improves the living standards and preserves the liveable environment for present and future generations, leaving no one behind.",
"Mission statement",
"8. Low-emission climate-resilient development is the guiding principle for UNIDO’s activities on inclusive and sustainable industrial development (ISID). It will be well anchored in its strategic documents and result metrics, and reflected in its institutional structure. Low-emission climate-resilient development also forms a key pillar of UNIDO’s engagement with its Member States, the United Nations System and other partners and stakeholders.",
"Scope",
"9. UNIDO’s actions to achieve climate neutrality will be aligned with the 2030 Agenda for Sustainable Development, the UNFCCC and its Paris Agreement; informed by scientific findings of the Intergovernmental Panel on Climate Change; and driven by national climate and industry priorities and needs. The Joint Declaration signed by UNIDO and the Secretariat of the UNFCCC will guide collaboration between the two entities.",
"10. The Strategy seeks to create a flexible framework for action supported by all Member States. It will be aligned with other guiding documents, including the Strategy for Post-conflict/-crisis Situations, the Strategies for Small Island Developing States, Least Developed Countries and Middle-Income Countries, the Strategy for Gender Equality and Empowerment of Women, as well as regional strategies.",
"11. The implementation of the Strategy will maximize synergies with other priority areas of UNIDO, such as energy, agribusiness development and food security, circular economy and biodiversity. UNIDO will seek to provide solutions to global challenges in a holistic and integrated way, handle trade-offs and maximize co-benefits.",
"Operational principles",
"12. Support the needs and priorities of developing countries in line with their right to development: Advisory and technical cooperation services of UNIDO are provided in a demand-driven manner, tailored to local conditions and open to the use of a broad range of technologies critical to achieving low-emission climate-resilient development. Technological options for avoiding and reducing greenhouse gas emissions must be further developed. UNIDO seeks to provide a platform for technology transfer, investment mobilization and climate partnerships to accelerate this process.",
"13. Strive for a level playing field for industrial policies to promote low-emission climate-resilient development: It is important that global and regional market-based approaches are rooted in the principles of equity and environmental integrity and take into account special circumstances of countries that are most vulnerable to climate change. Fair, transparent, and balanced implementation of such policies would enable developing countries to benefit from significant transfer of know-how, climate technologies and capacity development to modernize and decarbonize industries, especially hard-to-abate sectors, while reducing greenhouse gas emissions.",
"14. Promote transformational change through economy-wide, sectoral and cross-sectoral approaches: Ultimately, climate neutrality cannot be achieved through a piecemeal approach. Developed countries should continue taking the lead by undertaking an economy-wide approach that combines sector-specific solutions with cross-sectoral priorities.",
"15. Mainstream climate adaptation and resilience in industrial development: To overcome the already drastic effects of climate change, reducing emissions alone will not be sufficient. Climate adaptation measures to reduce the damage resulting from climate change or to take advantage of technological innovations or development opportunities need to be fully integrated into industrial development activities, including the pursuit of climate-proofing and risk management-oriented approaches for greater climate resilience.",
"16. Target results at the global, regional, national, and local levels: To enhance impact of climate-related interventions, the Organization will concentrate programmatic efforts on well-defined areas of intervention where it adds value in line with its mandate and expertise.",
"17. Empower MSMEs, small-scale industries and entrepreneurs: Micro, small and medium-sized enterprises (MSMEs) form the backbone of the economy and generate a large share of economic value. When empowered, they can act in an innovative manner, foster alternative business models and respond to evolving demand. Given the scale of climate mitigation and adaptation action needed, it is critical that MSMEs are supported to be part of the solutions, be it as entrepreneurs, in the context of small-scale industries and clusters or through their participation in regional and global value chains.",
"18. Harness industrial capabilities of the future: To achieve the transformation needed for climate neutrality, the transfer of know-how and technologies, policy and technical skills development and the creation of conducive regulatory frameworks and business operating environments will be critical.",
"19. Deliver through partnerships for maximum impact: Strategic partnerships will be essential to achieve climate-neutral industrial development at the global level, strengthen climate advocacy and deliver solutions that build on such synergies. UNIDO as a coordinating platform, including by making use of its field structure, will further enhance its status as a neutral broker to facilitate partnerships for maximum impact.",
"20. Achieve net zero for UNIDO’s activities by 2030: Under the United Nations Greening the Blue initiative, UNIDO and its field offices will adopt climate-related best practice across its operations and be climate-neutral by 2030.",
"Areas of work",
"21. Raise the profile of ISID in the international climate change discourse and engage industry stakeholders in climate advocacy: UNIDO will foster a global understanding and raise awareness of the role of industry as a solution provider in achieving the goals of the Paris Agreement. Through its Member States, UNIDO will contribute to a higher profile of industry as part of essential climate solutions, and step up the debate on emerging issues of the climate-industry nexus in the UNFCCC process.",
"22. Facilitate international industrial cooperation for climate action: International cooperation plays a central role in developing national solutions that contribute to stabilization of the global climate system. UNIDO will facilitate the establishment of global and regional alliances and partnerships to accelerate collective action, decarbonize global value chains, and expand markets for green industrial products.",
"23. Promote Paris-compatible industrial policies: Industry transition is a complex process with actions taken today that will have an impact on economies and societies for decades to come. UNIDO will influence the global discourse on issues at the intersection of climate action and ISID, such as circular economy and industrial decarbonization, but also enhance ongoing work on digitalization, renewable energies and technology solutions, as well as on sustainable agricultural development and climate-smart agriculture.",
"24. Provide evidence-based industrial policy advice for low-emission climate-resilient development: UNIDO will support Member States to identify, prioritize and undertake climate action in the industry sector that is nationally appropriate, country-driven and aimed at transformative change. Upon request, UNIDO will assist developing countries in incorporating industry considerations into their national strategies and plans, including National Adaptation Plans, Nationally Determined Contributions under the Paris Agreement, long-term low greenhouse gas emission development strategies, disaster risk reduction and humanitarian response plans.",
"25. Facilitate technology and knowledge transfer to achieve low-emission climate-resilient development: UNIDO will continue assisting developing countries in identifying “low-hanging fruit” mitigation measures and adopting mature climate technologies. At the same time, UNIDO will act as a thought leader for a bold climate action in industry that embraces disruptive technologies, climate risk-informed management new business models and mentality shifts to hold the increase in the global average temperature to well below 2°C above pre-industrial levels and pursuing efforts to limit the temperature increase to 1.5°C above pre-industrial levels. It will proactively foster South-South, North-South and triangular cooperation to enable transfer of a broad range of technologies and innovations.",
"26. Boost the use of renewable energies in achieving low-emission climate-resilient development: The development of renewable energy sources in developing countries is of great importance for improving livelihoods, creating jobs, enhancing learning opportunities and decarbonizing energy systems. UNIDO will support the fostering of global clean energy cooperation and work with partner countries to leverage suitable technologies to promote industry-related energy and resource efficiency and explore diverse renewable energy applications, including green hydrogen, to achieve significant emissions reductions. Green hydrogen is a viable solution to decarbonizing the industry, energy and transport sectors while creating green jobs opportunities and other socioeconomic benefits.",
"27. Strengthen the capacity to integrate low-emission climate-resilient good practices into ISID: UNIDO will assist developing countries in enhancing the national capacity to assess impact of climate change on enterprises, food and energy systems and infrastructure to climate change, and devise measures to prevent and reduce the impacts of weather-induced extreme events, while strengthening resilience to future crises. UNIDO will place a special emphasis on promoting nature-based solutions and ecosystem-based adaptation. UNIDO will further support the identification and scaling up of existing good practices and innovative solutions for climate action in industry and strengthen capacities to tap climate finance opportunities.",
"28. Build the capacity of Member States to effectively participate in market-based mechanisms: The new market mechanisms established under the Paris Agreement could facilitate the implementation of NDCs, foster sustainable development and stimulate the broad participation of a broad range of stakeholders in climate action. They can induce increased financial flows to developing countries. Engaging in international market mechanisms requires specific capacities for private and public actors. UNIDO, in collaboration with its partners, will support such capacity-building efforts in developing countries, in particular in least developed countries and small island developing States, including through knowledge-sharing and dissemination of good practices, peer-to-peer exchanges or learning-by-doing approaches.",
"29. Coordinate and leverage climate finance opportunities: UNIDO will assist in leveraging industrial development to mobilize private sector investments and international climate finance to enable a paradigm shift towards low-emission climate-resilient development in developing countries, in particular in least developed countries, landlocked developing countries and small island developing States. UNIDO will seek to broker partnerships to mobilize, facilitate, de-risk and leverage investments for climate-friendly projects and technologies in developing countries from various private, public and unconventional sources.",
"30. Foster green and digital skills to enable a just transition of the workforce: Addressing climate change requires a paradigm shift towards building low-emission climate-resilient economies and societies, while ensuring a just transition of the workforce that creates decent jobs, taking into consideration social dimensions of such transition. Given that many labour-intensive industries may be subject to automation in the coming decades, it is essential to equip women and men with the skills they need for the future of manufacturing. UNIDO’s integrated initiatives will include skills development, technical and vocational training, open-access learning platforms, labs and enhanced remote learning options.",
"Implementation of the Strategy",
"31. An Action Plan including measurable indicators and targets will be developed to operationalize the implementation of the Strategy. The indicators and targets will be harmonized, to the extent possible, with those of the UNIDO Integrated Results Performance Framework and aligned with the Paris Agreement milestones.",
"32. The Action Plan will cover the capacity development, resource mobilization, partnerships and communication activities required to implement the Strategy. A capacity needs assessment will be conducted to identify the climate-related learning, knowledge and capacity gaps of the UNIDO headquarters and field offices and inform the development of an internal capacity-building plan. A resource mobilization plan, including a core budget and external climate financing through diversified partnerships and financing agreements, will be developed as part of the Action Plan. A targeted communication plan will be created to raise awareness of the linkages between climate change and industrial development and facilitate the engagement with partners, financiers and stakeholders.",
"33. As an organization with limited staffing and resources, UNIDO has to rely on a broad range of partners to be effective and relevant. Partnerships and inter-agency cooperation are essential for leveraging expertise, accessing research and knowledge, harnessing investments and social capital, creating momentum, sparking innovation, avoiding duplication and enhancing complementarities, expanding capacity development and strengthening outreach to deliver impact at scale. A partner engagement plan will be developed to enhance impact of existing partnerships and establish new ones.",
"34. The Strategy will be updated periodically to reflect outcomes of monitoring and evaluation and in response to emerging global trends and deliberations under the UNFCCC and other sustainable development processes.",
"[1] IPCC, 2021, Climate change widespread, rapid, and intensifying https://www.ipcc.ch/2021/08/09/ar6-wg1-20210809-pr/.",
"[2] IPCC, 2022: Summary for Policymakers [H.-O. Pörtner, D.C. Roberts, E.S. Poloczanska, K. Mintenbeck, M. Tignor, A. Alegría, M. Craig, S. Langsdorf, S. Löschke, V. Möller, A. Okem (eds.)]. In: Climate Change 2022: Impacts, Adaptation, and Vulnerability. Contribution of Working Group II to the Sixth Assessment Report of the Intergovernmental Panel on Climate Change [H.-O. Pörtner, D.C. Roberts, M. Tignor, E.S. Poloczanska, K. Mintenbeck, A. Alegría, M. Craig, S. Langsdorf, S. Löschke, V. Möller, A. Okem, B. Rama (eds.)]. Cambridge University Press. In Press.",
"[3] Paris Agreement, Article 2.",
"[4] GC.19/Res.2."
] | IDB.50_16 | [
"Vienna, 21-23 November 2022",
"UNIDO strategy to address climate change",
"Report by the Director-General",
"The present document presents the climate change strategy prepared by UNIDO in consultation with UNIDO Member States pursuant to General Conference resolution GC.19/Res.2.",
"Introduction",
"1. In its resolution GC.19/Res.2, the General Conference requested the Director-General, in consultation with Member States, to prepare for consideration by the Industrial Development Board at its fiftieth session a draft strategy that would enhance the efficiency, effectiveness and coordination of UNIDO activities in support of Member States ' climate priorities related to inclusive and sustainable industrial development and follow up on the implementation of climate-related best practices in all the operational work of the Organization. It also requested the Director-General to report to the Industrial Development Board at its fiftieth session on developments in the implementation of the resolution.",
"2. In response to these requests, the secretariat convened two development dialogues, invited member States to provide comments and guidance through surveys and bilateral meetings, and circulated two draft strategies for review by member States.",
"The UNIDO climate change strategy resulting from this consultation is contained in the annex to the present document.",
"II. Action required of the Board",
"The Board may wish to consider the documents listed in the annex and provide guidance to the secretariat on further action, as appropriate.",
"Annex",
"UNIDO climate change strategy",
"Background",
"Human-induced climate change is affecting every part of the planet in many ways, with the world's most vulnerable communities bearing the brunt. [1] Increased frequency and intensity of severe weather events, heat, heavy rains, droughts and fires have serious and widespread impacts on people, their livelihoods, infrastructure and ecosystems. [2]",
"2. Within the global climate regime, Governments and non-State stakeholders must take action to keep the global average temperature increase within a range of no more than 2°C above pre-industrial levels and work to limit the temperature increase to no more than 1.5°C above pre-industrial levels; to improve the capacity to adapt to the effects of climate change; and to align financial flows with low-emission climate-adaptation development paths, in accordance with the objectives of the Paris Agreement. [3]",
"3. The United Nations Framework Convention on Climate Change (UNFCCC) and its Paris Accords must be implemented on the basis of the principles of equity, common but differentiated responsibilities and respective capabilities, in accordance with different national circumstances. Climate protection, based on the implementation of the Paris Accords, must go hand in hand with respect for human rights, the protection of biodiversity and the right to development. These were identified in Agenda 2030 and the Sustainable Development Goals. If we are to achieve these goals, developed countries in particular must fulfil their responsibilities with regard to climate action and provide climate finance, technology transfer and capacity-building to developing countries.",
"Industry has a threefold role to play in climate change. Industry is one of the largest emitters of greenhouse gases; it is itself adversely affected by climate change and resource depletion; it has the potential to be a leading provider of technological solutions, business models and green jobs, while influencing the behaviour and lifestyles of global consumers. Inclusive and sustainable industrialization is a key element in the effectiveness of climate change strategies.",
"Tasks",
"Box 1: Climate change and industry: the urgency of action • 3.5 billion people are highly vulnerable to climate impacts and severe water shortages. • Between 2010 and 2020, the mortality rate from floods, droughts and storms in highly vulnerable areas was 15 times higher. • Thirty per cent of the world's population is suffering from a deadly heat that will rise to 50 to 75 per cent by 2100. • By 2050, 1 billion people living in coastal areas will be at risk and small island settlements and low-lying areas are expected to disappear. • In 2019, 34 per cent of greenhouse gas emissions were from the industrial sector. • By 2050, persistent emissions from industrial production processes could deplete all global carbon budgets. • Economic losses due to extreme weather events totalled $174 billion per year and are rising.",
"Following the Abu Dhabi Declaration, which reaffirmed the commitment of UNIDO's Member States to the Paris Agreement, the medium-term programme framework, 2022-2025, identified “climate-neutral industry and the circular economy” as one of the priority areas of the Organization's interventions.",
"In order to implement that priority, the General Conference at its nineteenth session requested the Director-General, in consultation with Member States, to prepare for consideration by the Industrial Development Board at its fiftieth session a draft strategy that would enhance the efficiency, effectiveness and coordination of UNIDO's activities in support of Member States' climate priorities related to inclusive and sustainable industrial development and follow up on the implementation of climate-related best practices in all the Organization's operations. [4]",
"Vision 2050",
"7. There was no longer poverty and hunger in the world, with industry driving a low-emission economy, improving living standards and ensuring a liveable environment for present and future generations, leaving no one behind.",
"Mission statement",
"Low-emission climate-resilient development is the guiding principle of UNIDO ' s activities for inclusive and sustainable industrial development. This principle will be vividly reflected in UNIDO ' s strategic documents and outcome indicators and will be reflected in its organizational structure. Low-emission climate-resilient development is also an important pillar of UNIDO ' s interaction with its Member States, the United Nations system and other partners and stakeholders.",
"Scope",
"9. UNIDO ' s actions to achieve climate neutrality are guided by the scientific findings of the Intergovernmental Panel on Climate Change and driven by climate and industrial national priorities and needs and will be consistent with the Sustainable Development Agenda 2030, the UNFCCC and its Paris Accords. The joint statement signed by UNIDO and the UNFCCC secretariat will guide cooperation between the two entities.",
"10. The strategy seeks to create a flexible framework for action supported by all Member States. It will be aligned with other guidance documents, including strategies for post-conflict/crisis situations, strategies for small island developing States, least developed countries and middle-income countries, strategies for gender equality and women ' s empowerment and regional strategies.",
"The implementation of the strategy would maximize synergies with UNIDO in other priority areas such as energy, agribusiness development and food security, the circular economy and biodiversity. UNIDO will seek to provide solutions to global challenges in a comprehensive and integrated manner that addresses trade-offs and maximizes associated benefits.",
"Operational principles",
"12. Supporting the needs and priorities of developing countries in accordance with the right to development: UNIDO ' s advisory and technical cooperation services are provided in a demand-driven manner, are tailored to local conditions and are open to the use of key technologies for achieving low-emission climate-resilient development. Technical options to avoid and reduce greenhouse gas emissions must be further developed. UNIDO seeks to provide a platform for technology transfer, investment mobilization and climate partnerships to help accelerate the process.",
"Efforts to create a level playing field for low-emission climate-resilient industrial policy development: It is important that global and regional market-based practices be based on the principles of equity and environmental integrity, taking into account the special circumstances of countries most vulnerable to climate change. The fair, transparent and balanced implementation of those policies could enable developing countries to benefit from a substantial transfer of know-how and climate technology and capacity development, thereby reducing greenhouse gas emissions while modernizing and decarbonizing all sectors, especially in sectors where emission reductions were difficult.",
"14. A holistic, sectoral and cross-sectoral approach to the economy as a whole drives fundamental change: climate neutrality cannot ultimately be achieved through a piecemeal approach. Developed countries should continue to take the lead by adopting a holistic approach that combines sector-specific solutions with cross-sectoral priorities across economies.",
"Mainstreaming climate adaptation and resilience in industrial development: Reducing emissions alone is not enough to overcome the already dramatic effects of climate change. Climate adaptation measures to reduce the damage caused by climate change or to take advantage of technological innovation or development opportunities need to be fully integrated into industrial development activities, including approaches aimed at improving climate resilience and risk management-oriented approaches.",
"16. Target results at the global, regional, national and local levels: To enhance the impact of climate-related interventions, the organization will focus its programme work on well-defined areas of intervention where added value can be derived from its mandate and expertise.",
"17. Empowerment of MSMEs, small- and medium-sized industries and entrepreneurs: Micro-, small- and medium-sized enterprises (MSMEs) are the backbone of the economy, creating a significant share of economic value. If empowered, they can act in innovative ways, shape alternative business models and respond to changing needs. Given the scale of needed climate mitigation and adaptation actions, it is essential to support MSMEs as part of the solution, whether they are entrepreneurs in small industries and clusters or participants in regional and global value chains.",
"18. Making good use of future industrial capabilities: The key to the fundamental transformation required to achieve climate neutrality is the transfer of know-how and technology, the development of policy and technical skills and the creation of an enabling regulatory framework and business environment.",
"19. Implementing through partnerships to maximize impact: Strategic partnerships are essential for climate-neutral industrial development at the global level, enhanced advocacy on climate issues and the implementation of solutions based on such synergies. The use of UNIDO as a coordination platform, including through the use of its resident structure, would further strengthen its position as a neutral broker for promoting partnerships to achieve maximum impact.",
"20. Achieving zero net UNIDO activities by 2030: Under the United Nations Environment Green Initiative, UNIDO and its field offices will adopt climate-related best practices in all their operations and achieve climate neutrality by 2030.",
"Areas of work",
"21. Raising the visibility of inclusive and sustainable industrial development in international climate change discussions and involving industry stakeholders in advocacy on climate issues: UNIDO will promote awareness and awareness in the international community of the role of industry as a solution provider for achieving the Paris Pact goals. Through its Member States, UNIDO will help to raise the visibility of industry as part of a basic climate solution and to further the debate on new issues in the climate-industry nexus in the UNFCCC process.",
"22. Promoting international industrial cooperation for climate action: International cooperation plays a central role in developing national solutions that contribute to the stability of the global climate system. UNIDO will promote global and regional alliances and partnerships to accelerate collective action to decarbonize global value chains and expand markets for green industrial products.",
"23. Promoting industrial policies consistent with the Paris Accords: Industrial transformation is a complex process, and the actions taken today will have an impact on the economy and society of the coming decades. UNIDO will influence global discussions on climate initiatives such as the circular economy and industrial decarbonization and on cross-cutting issues of inclusive and sustainable industrial development, but will also strengthen ongoing work on digitalization, renewable energy and technology solutions, sustainable agricultural development and climate-smart agriculture.",
"24. Providing evidence-based industrial policy recommendations for low-emission climate-resilient development: UNIDO will support Member States in identifying, prioritizing and implementing nationally appropriate climate actions in the industrial sector that are country-driven and aimed at achieving fundamental change. UNIDO will assist developing countries, upon request, to integrate industrial considerations into their national strategies and plans, including national adaptation plans, national ownership contributions under the Paris Agreement, long-term development strategies for low greenhouse gas emissions, disaster risk reduction and humanitarian contingency plans.",
"Promoting technology and knowledge transfer for low-emission climate-resilient development: UNIDO will continue to assist developing countries in identifying “facilitable targets” for mitigation and in adopting mature climate technologies. At the same time, UNIDO will act as an intellectual leader, taking bold climate action in industry, embracing subversive technologies, understanding new business models for climate risk management and changing mindsets in order to keep the global average temperature rise below 2°C above pre-industrial levels and to try to limit it to 1.5°C below pre-industrial levels. It will actively promote South-South, North-South and triangular cooperation for the transfer of a wide range of technology and innovation.",
"26. Upgrading the use of renewable energy for low-emission climate-resilient development: The development of renewable energy in developing countries is critical for improving livelihoods, creating jobs, increasing learning opportunities and decarbonizing energy systems. UNIDO will support the promotion of global cooperation on clean energy and will work with partner countries to use appropriate technologies to promote industrial-related energy and resource efficiency and to explore renewable energy applications, including green hydrogen, to achieve significant emission reductions. Green hydrogen is a viable solution that can create green jobs and other socio-economic benefits while reducing carbon emissions in the industrial, energy and transport sectors.",
"Box 2: UNIDO ' s Global Programme on Industrial Green Hydrogen The Green Hydrogen (GH2) will contribute to achieving energy transformation for climate change mitigation. Developing countries had a rich renewable energy potential and were irreplaceable for becoming major producers of GH2 and taking advantage of new paths to low-emission industries and economic development. New jobs and benefits can be created by investing in renewable energy projects and electrolysis tanks, attracting energy-intensive investments in steel or essential chemicals, or promoting downstream industries using green steel or chemical materials. In response to this opportunity, UNIDO launched the Global Industrial Green Hydrogen Programme in July 2021 to accelerate the global application of GH2 to achieve industrial decarbonization and promote low-emission industrial development. The programme is based on two pillars: (1) the global partnership pillar, which focuses on policy dialogue, knowledge development and dissemination, and technology norms and standards. (2) The technical cooperation pillar focuses on supporting the joint development of national HYP industry clusters, project road maps and projects. UNIDO will work with the public and private sectors, financial organizations and academia to ensure that all stakeholders are heard and firmly on the GH2 value chain.",
"Strengthening the capacity to integrate low-emission climate-resilient good practices into inclusive and sustainable industrial development: UNIDO will assist developing countries in strengthening their national capacity to assess the impact of climate change on business, food and energy systems and on climate change infrastructure, and in developing measures to prevent and mitigate the impact of weather-induced extreme events, while strengthening resilience to future crises. UNIDO will pay particular attention to promoting nature-based solutions and ecosystem-based adaptation. UNIDO will further support the identification and dissemination of existing good practices and innovative solutions for climate action in industry and strengthen its capacity to tap into climate finance opportunities.",
"28. Capacity-building for efficient participation of member States in market-based mechanisms: New market-based mechanisms established under the Paris Accords can facilitate the implementation of nationally owned contributions, promote sustainable development and promote broad multi-stakeholder participation in climate action. They can attract more financial flows to developing countries. Participation in international market mechanisms requires specific capacities of private and public actors. UNIDO will work with its partners to support developing countries, in particular the least developed countries and small island developing States, in such capacity-building, including through knowledge-sharing and the dissemination of good practices, peer exchange or practice-learning.",
"Synergies in the use of opportunities for climate finance: UNIDO will assist in leveraging industrial development to mobilize private sector investment and international climate finance to help achieve a paradigm shift towards low-emission climate-resilient development in developing countries, particularly least developed countries, landlocked developing countries and small island developing States. UNIDO will seek to foster partnerships to mobilize and facilitate investment in climate-friendly projects and technologies in developing countries from a variety of private, public and non-conventional sources, to mitigate investment risks and to make good use of investment.",
"Developing green and digital skills to achieve a just transition to a labour force: Responding to climate change requires a paradigm shift towards low-emission climate-resilient economies and societies, while ensuring a just transition to a decent work workforce that takes into account the social implications of transition. Given that many labour-intensive industries are likely to be automated in the coming decades, it is crucial to equip women and men with the skills needed for the future of manufacturing. UNIDO ' s integrated initiatives will include skills development, technical and vocational training, open learning platforms, laboratories and enhanced distance learning options.",
"Implementation of the Strategy",
"31. An action plan with measurable indicators and targets will be developed to implement the strategy. The indicators and targets will be aligned, to the extent possible, with the indicators and targets of the UNIDO Integrated Framework for Results-based Performance and with the milestones outlined in the Paris Pact.",
"32. The action plan will cover capacity development, resource mobilization, partnerships and communication activities required for the implementation of the strategy. Capacity needs assessments will be undertaken to identify gaps in climate-related learning, knowledge and capacity in UNIDO headquarters and field offices and to provide a basis for the development of internal capacity-building plans. As part of the action plan, a resource mobilization plan will be developed that includes the core budget and external financing for climate issues through multiple partnerships and financing agreements. Targeted communication plans will be developed to raise awareness of the linkages between climate change and industrial development and to facilitate interaction with partners, funding providers and stakeholders.",
"As an organization with limited staff and resources, the effectiveness and relevance of UNIDO's work must depend on a broad range of partners. Partnerships and inter-agency cooperation are essential in order to leverage know-how, access research and knowledge, leverage investment and social capital, create momentum forward, stimulate innovation, avoid duplication of efforts and enhance complementarities, and expand capacity development and outreach for scale impact. A partnership engagement plan will be developed to enhance the impact of existing partnerships and build new ones.",
"Box 3: Using strategic partnerships • UNIDO's resident structure includes offices in 48 countries and more countries covered through regional representation; • Global networks of liaison offices in Brussels, Geneva and New York and UNIDO's Investment and Technology Promotion Offices; • Global networks of regional sustainable energy centres; • Partnerships with climate finance architecture: the Global Environment Facility, the Green Climate Fund and the Adaptation Fund; • New partnerships with international financial institutions, business, philanthropists and influential investors.",
"34. The strategy will be regularly updated to reflect the results of monitoring and assessment, based on emerging global trends and deliberations under the UNFCCC and other sustainable development processes.",
"[1] Intergovernmental Panel on Climate Change, 2021, widespread, rapid and accelerating climate change, https://www.ipcc.ch/2021/08/09/ar6-wg1-20210809-pr/.",
"[2] Intergovernmental Panel on Climate Change, 2022: Summary for policymakers [H.-O. Pörtner, D.C. Roberts, E.S. Poloczanska, K. Mintenbeck, M. Tingor, A. Alegría, M. Craig, S. Langsdorf, S. Löschke, V. Möller, A. Okem (ed.)]. In: Climate change 2022: impacts, adaptation and vulnerability. Contribution of Working Group II to the Sixth Assessment Report of the Intergovernmental Panel on Climate Change [H.-O. Pörtner, D.C. Roberts, M. Tingor, E.S. Poloczanska, K. Mintenbeck, A. Alegría, M. Craig, S. Langsdorf, S. Löschke, V. Möller, A. Okem, B. Rama (eds.)]. Cambridge University Press. To be issued.",
"[3] Article 2 of the Paris Agreement.",
"[4] 4 GC.19/Res.2."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目3(b) \n科学、技术与创新的政策议题：利用亚太创新论坛促进区域科学、技术和创新协作",
"亚太创新论坛的职权范围",
"秘书处的说明",
"内容摘要 \n信息和通信技术，科学、技术与创新委员会寻求就亚太创新论坛的目标、主题、参与及模式达成共识，以此为基础制定其职权范围并形成决议提交经社会第七十三届会议。本说明载有拟议职权范围，并且概述了论坛的背景情况及讨论要点。",
"一．导言",
"1. 历史上，科学、技术与创新促进可持续发展生态系统由政府机关、科研和教育组织及民间社会组成。然而这一格局正在扩展，其走势即使在五年前都难以预料。",
"2. 新的行为者正寻求原创式、具有变革意义的解决方案。慈善基金会及社会创效投资者逐步崛起成为新型资金来源，以促进具有实现社会和环境高效影响和巨大经济效益潜力的各种创新和技术。",
"3. 技术、设计及创意产业本身正在探索如何应用其技能和专长对发展中世界产生新的、不同的影响。如今，人们加入劳动大军期待有机会获得具有社会目的感的财务收益。努力实现社会变革和可持续变革的商业企业正在率先推出一些最有前途的发展创新。",
"4. 公司也在探索如何为社会、环境及经济造福。公司有能力开展大规模创新，而且，鉴于福布斯全球500强公司有40%将其总部设在亚洲，本区域因此拥有巨大的机遇。",
"5. 政策制订者面临的挑战是为这些行为者提供一种扶持环境，使其运用各自的比较优势积极主动地参与可持续发展。",
"6. 虽然信息和通信技术，科学、技术与创新委员会将为驾驭科学、技术和创新促进可持续发展开展政府间对话和集体行动提供重要场所，但要实现《2030年可持续发展议程》的宏伟目标，就要促使目前跻身这一生态系统的多利益攸关方参与其中。拟议设立的多利益攸关方亚太创新论坛将提供这样一种平台，推动多部门协作并且查明科学、技术和创新所带来的机遇和挑战。",
"7. 虽然委员会将为协助政府间知识分享、合作及集体行动提供重要场所，但两年一度的会议安排或许有碍各国紧跟迅速变化的科学、技术和创新形势的能力。鉴于正在发生的大量科学、技术和创新活动超出了政府管理范围，政府官员必须有机会讨论并了解其动态发展的根源。因此，建议由拟议设立的论坛再提供一个合作渠道，与委员会隔年交替举行会议，以便在各国政府与该生态系统领域的多利益攸关方之间，定期开展更多的互动并加强科学、技术和创新合作，尤其是在南南合作领域。",
"二．背景",
"8. 亚洲及太平洋经济社会委员会(亚太经社会)第七十二届会议通过了关于利用科学、技术与创新促进亚洲及太平洋包容的可持续发展的第72/12号决议。经社会在其中请成员国利用该委员会，就2017年起每两年召开一次亚太创新论坛会议一事进一步开展工作，并进一步完善其职权范围和模式，使论坛与委员会会议隔年交替举行，作为酌情提高并促进成员国、联合国系统和相关利益攸关方之间开展知识交流和协作的一种手段。",
"三．拟议的职权范围",
"亚洲及太平洋创新论坛的职权范围",
"1． 目标",
"1. 亚洲及太平洋创新论坛应提供一个平台，促进知识分享和集体行动，并建立一种形式多样的多利益攸关方网络以应对科学、技术和创新促进可持续发展所带来的挑战和机遇。",
"2. 论坛将处理以下目标：",
"a. 科学、技术和创新知识分享与协作",
"㈠ 支助南北、南南及三边、区域和国际层面的知识分享与合作；",
"㈡ 提供渠道供科学、技术和创新促进可持续发展生态系统领域内的不同行为者之间持续开展对话；",
"㈢ 分享追求科学突破、技术进步和创新实践过程中的成功及经验教训；",
"㈣ 就加强科学、技术和创新促进可持续发展提出新举措及伙伴关系建议；",
"㈤ 协助投资者与创新者结缘。",
"b. 科学、技术和创新政策与战略",
"㈠ 挖掘并分享从多利益攸关方角度寻求实现可持续发展的科学、技术和创新政策和战略最佳实践；",
"㈡ 探索采取创新办法借助人力和财务资源促进科学、技术和创新；",
"㈢ 分享开展科学、技术和创新促进可持续发展目标的衡量办法。",
"c. 科学、技术和创新的预测活动",
"㈠ 展示新出现的科学突破及技术进步；",
"㈡ 展示促进可持续发展的创新政策办法；",
"㈢ 参与区域预测活动。",
"d. 在信息和通信技术，科学、技术与创新委员会的讨论中通报情况",
"㈠ 确保亚太经社会成员国充分了解有关科学、技术和创新政策、战略、理念、产品及服务的最佳实践；",
"㈡ 确保成员国紧紧跟上新出现的科学、技术和创新进展及创新政策办法；",
"㈢ 向成员国提供推动科学、技术和创新促进可持续发展的创新建议。",
"2. 主题",
"3. 科学、技术与创新领域中的议程发展速度快，而且不断变化。虽然创新论坛的部分内容可以常年讨论，但各次论坛也可注重于某一具体题目，突出讨论科学、技术和创新如何协助实现可持续发展目标的方式方法。亚太经社会秘书处应根据对新出现的科学、技术和创新机遇及挑战进行的分析和研究提出拟议专题，在每届论坛会议前六个月与信息和通信技术，科学、技术与创新委员会分享，并应送交常驻代表和经社会成员指派的其他代表咨询委员会的相关会议讨论并敲定。论坛每届会议将处理一个主题或重大事宜。",
"3. 参加活动",
"4. 本论坛的性点应是相互协作和多利益攸关方参与，并应包括亚太经社会成员国、联合国各实体、其他多国及区域实体、民间社会、非政府组织、私营部门、慈善部门、科学界、学术界、青年、土著人及其他方面。",
"5. 利益攸关方的作用应突出强调其部门如何运用科学技术与创新协助实现可持续发展目标。",
"6. 论坛应向所有经认证的代表开放。为确保广泛参与应公开邀请报名登记。",
"4. 模式",
"7. 论坛应由亚太经社会举办，并与信息和通信技术，科学、技术与创新委员会隔年举行活动。论坛会期为2至3天。",
"8. 论坛可在曼谷或其他地点举行。",
"5. 主要产出",
"9. 论坛的主要产出应是关于创新促进可持续发展的文件，其中：",
"(a) 概述论坛关于在追求科学突破，技术进步及创新实践促进可持续发展的过程中的主要经验和教训的讨论情况；",
"(b) 展示新出现的科学、技术与创新产品、服务及理念；",
"(c) 介绍多利益攸关方参与者对驾驭科学、技术和创新促进可持续发展提出的新举措、重点领域及伙伴关系建议；",
"(d) 报告南南或三边合作喜结良缘的情况；",
"(e) 根据多利益攸关方讨论情况，纳入关于论坛主题的行动议程建议。",
"四. 讨论要点",
"9. 建议讨论以上职权范围，重点在于其目标、2017年论坛主题、参与及模式。",
"10. 2017年论坛备选主题包括：",
"(a) 推动亚洲及太平洋科学开放；",
"(b) 促进亚洲及太平洋开展技术协作；",
"(c) 开展创新式可持续发展融资；",
"(d) 通过教育机构以及职业培训，开发促进可持续发展的创新技能；",
"(e) 亚洲及太平洋建立社会企业和影响投资生态系统。",
"五. 成果",
"11. 委员会寻求就亚洲及太平洋创新论坛的目标、主题、参与及模式达成共识，以此为基础制定其职权范围并形成决议，提交经社会第七十三届会议。"
] | [
"Terms of reference for the Asia-Pacific Innovation Forum",
"Note by the secretariat",
"Summary \nThe Committee on Information and Communications Technology, Science,Technology and Innovation seeks to build consensus on the objectives,theme, participation and modalities for an Asia-Pacific innovationforum, which will form the basis of its terms of reference and aresolution on the subject, to be submitted to the Commission at itsseventy-third session. The present note contains the proposed termsof reference, an overview of the background for a forum and keypoints for discussion.",
"I. Introduction",
"1. Historically, the science, technology and innovation for sustainable development ecosystem has comprised government institutions, research and academic organizations, and civil society. However, this landscape is expanding along dimensions unforeseen even five years ago.",
"2. New actors are looking for original, transformative solutions. Philanthropic foundations and social impact investors are emerging as new sources of finance for innovations and technologies that have the potential to deliver both high social and environmental impact and economic returns.",
"3. The technology, design and creative industries themselves are exploring how their skills and expertise could have a new and different impact in the developing world. Today people entering the workforce are looking for opportunities that provide rewards beyond financial gain that also provide sense of social purpose. Some of the most promising development innovations are being pioneered by commercial enterprises that aim to deliver positive social and sustainable change.",
"4. Corporations are also exploring how they can benefit society and the environment as well as the economy. Corporations are equipped to deliver innovation at scale, and opportunity in the region is significant, given that 40 per cent of the Forbes Global 500 companies are headquartered in Asia.",
"5. The challenge for policymakers is to create an enabling environment for these actors to leverage their respective comparative advantages to proactively engage in sustainable development.",
"6. While the Committee on Information and Communications Technology, Science, Technology and Innovation will provide an important venue for intergovernmental dialogue and collective action to harness science, technology and innovation for sustainable development, it is also critical to engage the diverse range of stakeholders now operating in this ecosystem if the ambitions of the 2030 Agenda for Sustainable Development are to be met. The proposed multi-stakeholder Asia-Pacific innovation forum would provide such a platform to stimulate multisectoral collaboration and identify the opportunities and challenges that science, technology and innovation present.",
"7. While the Committee will provide an important venue for facilitating intergovernmental knowledge-sharing, cooperation and collective action, the biennial meeting schedule may hamper countries’ abilities to keep pace with the fast-changing science, technology and innovation landscape. Given the significant science, technology and innovation activity taking place outside the confines of government, it is imperative that government officials have the opportunity to discuss and understand the dynamics from the source. Thus, it is recommended that an additional avenue of cooperation, provided by the proposed forum, be convened in alternate years to the Committee to allow for more regular interactions and to strengthen cooperation on science, technology and innovation among Governments and the diverse stakeholders in this ecosystem, especially in the South-South arena.",
"II. Background",
"8. At its seventy-second session, the Economic and Social Commission for Asia and the Pacific (ESCAP) adopted resolution 72/12 on harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific. In it, the Commission invited member States to work further on convening a biennial Asia-Pacific innovation forum starting in 2017 through the Committee and to work further on its terms of reference and modalities, the forum to be held in alternative years to the Committee, as a means to enhance and facilitate knowledge-sharing and collaboration among member States, the United Nations system and relevant stakeholders as appropriate.",
"III. Proposed terms of reference",
"Terms of reference of the Asia-Pacific Innovation Forum",
"1. Objectives",
"1. The Asia-Pacific Innovation Forum shall provide a platform for the facilitation of knowledge-sharing and collective action and for the establishment of a diverse and multi-stakeholder network to address the challenges and opportunities presented by science, technology and innovation for sustainable development.",
"2. The Forum shall address the following objectives:",
"(a) Science, technology and innovation knowledge-sharing and collaboration",
"(i) Support North-South, South-South and triangular regional and international knowledge-sharing and cooperation;",
"(ii) Provide a venue for a sustained dialogue between the diverse actors in the science, technology and innovation for sustainable development ecosystem;",
"(iii) Share success stories and lessons learned in the pursuit of scientific breakthroughs, technological advancements and innovative practices;",
"(iv) Propose new initiatives and partnerships to harness science, technology and innovation for sustainable development;",
"(v) Matchmake between investors and innovators.",
"(b) Science, technology and innovation policy and strategy",
"(i) Surface and share best practices for policies and strategies on science, technology and innovation in pursuit of sustainable development from a multi-stakeholder perspective;",
"(ii) Explore innovative approaches to leveraging human and financial resources for science, technology and innovation;",
"(iii) Share approaches to measuring the implementation of science, technology and innovation for the Sustainable Development Goals.",
"(c) Science, technology and innovation foresight exercises",
"(i) Showcase emerging scientific breakthroughs and technological advances;",
"(ii) Showcase innovative policy approaches for sustainable development;",
"(iii) Engage in regional foresight exercises.",
"(d) Inform the deliberations of the Committee on Information and Communications Technology, Science, Technology and Innovation",
"(i) Ensure that member States of the Economic and Social Commission for Asia and the Pacific (ESCAP) have full visibility of best practices on policies, strategies, concepts, products and services for science, technology and innovation;",
"(ii) Ensure that member States keep abreast of emerging science, technology and innovation developments and innovative policy approaches;",
"(iii) Provide member States with innovative proposals to advance science, technology and innovation for sustainable development.",
"2. Theme",
"3. The areas of science, technology and innovation have a fast-paced and ever-changing agenda. While some aspects of the Forum can be perennial, each Forum may also focus on a specific topic highlighting the means by which science, technology and innovation can contribute to achieving the Sustainable Development Goals. The secretariat of ESCAP shall propose themes for the Forum based on research and analysis of emerging opportunities and challenges in science, technology and innovation, which will be shared with the Committee on Information and Communications Technology, Science, Technology and Innovation six months prior to each session of the Forum, and which shall be discussed and finalized at the relevant meeting of the Advisory Committee of Permanent Representatives and Other Representatives Designated by Members of the Commission. A theme or critical issue shall be addressed at each session of the Forum.",
"3. Participation",
"4. The Forum shall be collaborative and multi-stakeholder in nature, and shall include member States of ESCAP, United Nations entities, other multinational and regional entities, civil society, non-governmental organizations, the private sector, the philanthropic sector, the scientific community, academia, youth, indigenous peoples and others.",
"5. The role of stakeholders shall be to highlight how their sector can contribute to the achievement of the Sustainable Development Goals through science, technology and innovation.",
"6. The Forum shall be open to participation of all accredited delegates and representatives. An open call for registration shall be made to ensure a wide range of participants.",
"4. Modalities",
"7. The Forum shall be organized by ESCAP and be convened on alternate years to the Committee on Information and Communications Technology, Science, Technology and Innovation. The Forum shall take place over two to three days.",
"8. The Forum may be convened in Bangkok or a different location.",
"5. Key output",
"9. A key output of the Forum shall be a document on innovation for sustainable development which shall:",
"(a) Summarize discussions at the Forum on the key successes and lessons learned in the pursuit of scientific breakthroughs, technological advancement and innovative practices for sustainable development;",
"(b) Showcase emerging science, technology and innovation products, services and concepts on the horizon;",
"(c) Present proposals from the multi-stakeholder participants for new initiatives, areas of focus and partnerships to harness science, technology and innovation for sustainable development;",
"(d) Report on successful matchmaking for South-South or triangular cooperation;",
"(e) Include a proposal on an action agenda for the theme of the Forum, as informed by multi-stakeholder discussions.",
"IV. Key points for discussion",
"1. The terms of reference above are proposed for discussion, with a focus on the objectives, theme of the forum in 2017, participation and modalities.",
"10. Possible themes for the forum in 2017 include:",
"(a) Promoting open science in Asia and the Pacific;",
"(b) Fostering technology collaboration in Asia and the Pacific;",
"(c) Innovative financing for sustainable development;",
"(d) Developing innovation skills for sustainable development through education institutions and vocational training;",
"(e) Building the ecosystem for social enterprise and impact investment in Asia and the Pacific.",
"V. Outcome",
"11. The Committee seeks to build consensus on the objectives, theme, participation and modalities for an Asia-Pacific innovation forum, which will form the basis of its terms of reference and a resolution on the subject, to be submitted to the Commission at its seventy-third session."
] | E_ESCAP_CICTSTI(1)_8 | [
"Economic and Social Commission for Asia and the Pacific",
"Terms of reference of the Asia-Pacific Forum on Innovation",
"Note by the Secretariat",
"The Committee on Information and Communication Technology, Science, Technology and Innovation sought to build consensus on the objectives, themes, participation and modalities of the Asia-Pacific Forum on Innovation as a basis for the development of its terms of reference and the resolution to be submitted to the Commission at its seventy-third session. The present note contains the proposed terms of reference and provides an overview of the background of the Forum and the main points for discussion.",
"Introduction",
"1. Historically, science, technology and innovation for sustainable development ecosystems have comprised government bodies, scientific research and educational organizations and civil society. However, this pattern is expanding, and the trend is unpredictable even five years ago.",
"New actors are seeking original, transformative solutions. Charitable foundations and socially effective investors are emerging as innovative sources of finance to promote innovations and technologies with the potential to achieve social and environmental efficiency and high economic benefits.",
"3. The technology, design and creative industries themselves are exploring how to apply their skills and expertise to have a new and different impact on the developing world. Today, people join the labour force and expect opportunities for financial gain with a sense of social purpose. Business enterprises working towards social and sustainable change are spearheading some of the most promising development innovations.",
"4. Companies are also exploring social, environmental and economic benefits. Companies have the capacity to innovate on a large scale and, given that 40 per cent of Forbes ' Global 500 companies have their headquarters in Asia, the region has great opportunities.",
"5. The challenge for policymakers is to provide an enabling environment for these actors to engage proactively in sustainable development, using their comparative advantages.",
"6. While the Commission on Information and Communication Technologies, Science, Technology and Innovation will provide an important venue for intergovernmental dialogue and collective action to harness science, technology and innovation for sustainable development, the ambitious goals of the Sustainable Development Agenda 2030 will require multi-stakeholder engagement with the ecosystem that is now involved. The proposed multi-stakeholder Asia-Pacific Innovation Forum will provide such a platform for multisectoral collaboration and for identifying the opportunities and challenges of science, technology and innovation.",
"7. While the Commission will provide an important venue for facilitating intergovernmental knowledge-sharing, cooperation and collective action, the biennial schedule of meetings may hamper the ability of countries to keep pace with rapidly changing science, technology and innovation situations. Given the large number of science, technology and innovation activities that are taking place that go beyond government regulation, government officials must have the opportunity to discuss and understand the root causes of their dynamic developments. It is therefore recommended that the proposed forum provide an additional channel for cooperation and meet back-to-back with the Commission in alternate years in order to increase regular interaction and strengthen science, technology and innovation cooperation, particularly in the area of South-South cooperation, between Governments and multiple stakeholders in the ecosystem area.",
"Background",
"8. At its seventy-second session, the Economic and Social Commission for Asia and the Pacific (ESCAP) adopted resolution 72/12 on harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific. In it, the Commission invited member States to use the Committee to further work on the convening of the Asia-Pacific Forum on Innovation on a biennial basis, starting in 2017, and to further refine its terms of reference and modalities for holding the Forum in alternate years with meetings of the Committee as a means of enhancing and facilitating knowledge exchange and collaboration among member States, the United Nations system and relevant stakeholders, as appropriate.",
"Proposed terms of reference",
"Terms of reference of the Asia-Pacific Innovation Forum",
"Objectives",
"1. The Asia-Pacific Forum on Innovation should provide a platform for knowledge-sharing and collective action, as well as a diverse multi-stakeholder network to address the challenges and opportunities presented by science, technology and innovation for sustainable development.",
"2. The Forum will address the following objectives:",
"Science, technology and innovation knowledge-sharing and collaboration",
"(i) Support knowledge-sharing and cooperation at the North-South, South-South and trilateral, regional and international levels;",
"(ii) Providing channels for sustained dialogue among different actors in the area of science, technology and innovation for sustainable development ecosystems;",
"(iii) Sharing successes and lessons learned in the pursuit of scientific breakthroughs, technological advances and innovative practices;",
"(iv) New initiatives and partnership proposals for strengthening science, technology and innovation for sustainable development;",
"(v) Assisting investors in reaching out to innovators.",
"b. Science, technology and innovation policies and strategies",
"(i) Explore and share best practices on science, technology and innovation policies and strategies that seek to achieve sustainable development from a multi-stakeholder perspective;",
"(ii) Explore innovative ways to leverage human and financial resources for science, technology and innovation;",
"(iii) Sharing measures to implement the goals of science, technology and innovation for sustainable development.",
"c. Science, technology and innovation forecasting activities",
"(i) Demonstrating emerging scientific breakthroughs and technological advances;",
"(ii) Demonstrating innovative policy approaches to sustainable development;",
"(iii) Participation in regional forecasting activities.",
"d. Briefings in the discussions of the Committee on Information and Communication Technology, Science, Technology and Innovation",
"(i) Ensure that ESCAP member States are fully informed of best practices on science, technology and innovation policies, strategies, concepts, products and services;",
"(ii) Ensuring that member States keep abreast of emerging science, technology and innovation developments and innovative policy approaches;",
"(iii) Innovative recommendations to member States to promote science, technology and innovation for sustainable development.",
"2. Theme",
"3. The agenda in the areas of science, technology and innovation is evolving rapidly and constantly. While part of the Forum could be discussed on a perennial basis, the forums could also focus on a specific topic, highlighting ways and means in which science, technology and innovation could contribute to achieving sustainable development goals. Based on the analysis and research on emerging science, technology and innovation opportunities and challenges, the ESCAP secretariat shall propose proposed topics to be shared with the Committee on Information and Communication Technology, Science, Technology and Innovation six months prior to each session of the Forum and shall be forwarded to the relevant meeting of the Advisory Committee of Permanent Representatives and Other Representatives Designated by Members of the Commission for discussion and finalization. Each session of the Forum will address a theme or major matter.",
"Participation",
"4. The Forum should be interactive and multi-stakeholder and include ESCAP member States, United Nations entities, other multinational and regional entities, civil society, non-governmental organizations, the private sector, the philanthropic sector, the scientific community, academia, youth, indigenous peoples and others.",
"5. The role of stakeholders should highlight how their sectors use science, technology and innovation to help achieve sustainable development goals.",
"6. The Forum shall be open to all accredited representatives. Registration by open invitation should be made to ensure broad participation.",
"Modalities",
"7. The forum should be organized by ESCAP and held in alternate years with the Committee on Information and Communications Technology, Science, Technology and Innovation. The Forum will have a duration of two to three days.",
"8. The Forum could be held in Bangkok or elsewhere.",
"5. Main outputs",
"9. The main outputs of the Forum should be a document on innovation for sustainable development, in which:",
"(a) A summary of the Forum ' s discussions on key experiences and lessons learned in the pursuit of scientific breakthroughs, technological advances and innovative practices for sustainable development;",
"(b) Demonstrating emerging science, technology and innovation products, services and ideas;",
"(c) Presentation of new initiatives, focus areas and partnership proposals from multi-stakeholder participants on managing science, technology and innovation for sustainable development;",
"(d) Reporting on the convergence of South-South or triangular cooperation;",
"(e) Include recommendations for an agenda for action on the Forum theme, based on multi-stakeholder discussions.",
"IV. Points for discussion",
"9. It is recommended that the above terms of reference be discussed, focusing on its objectives, the theme of the 2017 Forum, participation and modalities.",
"10. Options for the Forum in 2017 include:",
"(a) Promoting open science in Asia and the Pacific;",
"(b) Promoting technical collaboration in Asia and the Pacific;",
"(c) Innovative financing for sustainable development;",
"(d) Developing innovative skills for sustainable development through educational institutions and vocational training;",
"(e) Building social enterprises and influencing investment ecosystems in Asia and the Pacific.",
"V. Results",
"11. The Committee sought to reach a consensus on the objectives, themes, participation and modalities of the Asia-Pacific Innovation Forum, as a basis for the development of its terms of reference and its resolution to be submitted to the Commission at its seventy-third session."
] |
[
"亚洲及太平洋经济社会委员会 \n 交通运输部长级会议 第三届会议 \n 2016年12月5日至9日，莫斯科",
"临时议程",
"本文件载有交通运输部长级会议的临时议程。[1]",
"高级官员会议段",
"1. 会议开幕：",
"a. 致开幕词；",
"b. 选举主席团成员；",
"c. 通过议程。",
"2. 评估和评价《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况。",
"3. 交通运输的主要事项：",
"a. 可持续发展目标和交通运输；",
"b. 区域交通运输基础设施的互联互通；",
"c. 区域交通运输运营上的互联互通；",
"d. 加强亚洲和欧洲之间的交通运输互联互通；",
"e. 最不发达国家、内陆发展中国家和小岛屿发展中国家交通运输的互联互通；",
"f. 农村与更广泛网络的互联互通；",
"g. 可持续的城市交通运输；",
"h. 改善道路安全。",
"4. 亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)草案。",
"5. 亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言草案。",
"6. 其他事项。",
"7. 通过高级官员会议段的报告。",
"部长级会议段",
"8. 会议开幕：",
"a. 致开幕词；",
"b. 选举主席团成员；",
"c. 通过议程。",
"9. 政策辩论：亚洲及太平洋区域与可持续交通运输互联互通有关的事项，《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况，包括高级官员会议段的报告。",
"10. 其他事项。",
"11. 通过亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言，包括亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)。",
"12. 通过会议报告。",
"13. 会议闭幕。",
"[1] 交通运输部长级会议自1985年以来一直每五年举行一次：运输和通信部长会议于1985年在曼谷举行； 负责《1985-1994年亚洲及太平洋运输和通信十年》的高级政府代表会议于1990年在曼谷举行；基础设施部长级会议于1996年在新德里举行；基础设施部长级会议于2001年在首尔举行；交通运输部长级会议于2006年在大韩民国釜山举行；以及交通运输部长级会议于2012在曼谷举行。"
] | [
"Provisional agenda",
"The present document contains the provisional agenda of the Ministerial Conference on Transport.[1]",
"Senior officials segment",
"1. Opening of the session:",
"a. Opening addresses;",
"b. Election of officers;",
"c. Adoption of the agenda.",
"2. Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016).",
"3. Major issues in transport:",
"(a) Sustainable Development Goals and transport;",
"(b) Regional transport infrastructure connectivity;",
"(c) Regional transport operational connectivity;",
"(d) Strengthening of transport connectivity between Asia and Europe;",
"(e) Transport connectivity for least developed countries, landlocked developing countries and small island developing States;",
"(f) Rural connectivity to wider networks;",
"(g) Sustainable urban transport;",
"(h) Improving road safety.",
"1. Draft regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"2. Draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific.",
"3. Other matters.",
"4. Adoption of the report of the senior officials segment.",
"Ministerial segment",
"5. Opening of the session:",
"a. Opening addresses;",
"b. Election of officers;",
"c. Adoption of the agenda.",
"6. Policy debate on issues pertaining to sustainable transport connectivity in Asia and the Pacific and the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), including the report of the senior officials segment.",
"7. Other matters.",
"8. Adoption of the ministerial declaration on sustainable transport connectivity in Asia and the Pacific, including a regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"9. Adoption of the report of the Conference.",
"10. Closing of the Conference.",
"[1] The Ministerial Conference on Transport has been held every five years since 1985: the Meeting of Ministers Responsible for Transport and Communications was held in Bangkok in 1985; the Meeting of Senior Government Representatives Responsible for the Transport and Communications Decade for Asia and the Pacific, 1985-1994 was held in Bangkok in 1990; the Ministerial Conference on Infrastructure was held in New Delhi in 1996; the Ministerial Conference on Infrastructure was held in Seoul in 2001; the Ministerial Conference on Transport was held in Busan, Republic of Korea, in 2006; and the Ministerial Conference on Transport was held in Bangkok in 2012."
] | E_ESCAP_MCT(3)_L.1 | [
"Economic and Social Commission for Asia and the Pacific Ministerial Conference on Transport Third session Moscow, 5-9 December 2016",
"Provisional agenda",
"The present document contains the provisional agenda of the Ministerial Conference on Transport. [1]",
"Senior officials segment",
"Opening of the session:",
"Opening statements;",
"b. Election of officers;",
"c. Adoption of the agenda.",
"2. Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016).",
"3. Major transport issues:",
"a. Sustainable development goals and transport;",
"b. Regional transport infrastructure connectivity;",
"c. Operational connectivity of regional transport;",
"d. Strengthening transport connectivity between Asia and Europe;",
"e. Transport connectivity in least developed countries, landlocked developing countries and small island developing States;",
"f. Rural connectivity to broader networks;",
"g. Sustainable urban transport;",
"h. Improving road safety.",
"Draft programme of action for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"5. Draft ministerial declaration on sustainable transport connectivity in the Asian and Pacific region.",
"Other matters.",
"7. Adoption of the report of the senior officials segment.",
"Ministerial segment",
"Opening of the session:",
"Opening statements;",
"b. Election of officers;",
"c. Adoption of the agenda.",
"9. Policy debate: matters related to sustainable transport connectivity in Asia and the Pacific, implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), including the report of the senior officials.",
"Other matters.",
"11. Adoption of the ministerial declaration on sustainable transport connectivity in the Asia-Pacific region, including the first phase of the Programme of Action for Sustainable Transport Connectivity in the Asia-Pacific region (2017-2021).",
"12. Adoption of the report of the meeting.",
"Closure of the session.",
"[1] The Ministerial Conference on Transport has been held every five years since 1985: the Conference of Ministers of Transport and Communications was held in Bangkok in 1985; the meeting of senior government representatives responsible for the Asian and Pacific Decade of Transport and Communications, 1985-1994, was held in Bangkok in 1990; the Ministerial Conference on Infrastructure was held in New Delhi in 1996; the Ministerial Conference on Infrastructure was held in Seoul in 2001; the Ministerial Conference on Transport was held in Busan, Republic of Korea, in 2006; and the Ministerial Conference on Transport was held in Bangkok in 2012."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目3(c) \n科学、技术与创新政策议题：推动亚洲及太平洋各次区域科技创新合作机制间的知识共享",
"关于亚洲及太平洋各次区域科技创新合作机制的报告",
"秘书处的说明",
"内容摘要 本区域拥有生机勃勃、开拓进取的科学、技术和创新生态系统，其中包括围绕这些主题建立的许多次区域合作机制。 然而，这些机制各不相同且相互脱节，因此无法充分利用本区域博大的知识及其潜力。这些机制也没有纳入本区域的许多成员国。因此，存在着这些次区域合作机制加强合作，并使整个区域从中更多受益的机遇。围绕科技创新促进包容的可持续发展这一主题在整个区域推动更多深入合作，这应当作为实现可持续发展目标的优先事项。 本文件旨在概述各次区域科学、技术和创新合作机制，并概述亚洲及太平洋经济社会委员会如何围绕这些主题推动更具包容性的知识共享、合作和集体行动的拟议模式。 \n此议程项目的拟议成果是就该模式达成协商一致，从而确保整个区域了解次区域的科学、技术和创新活动，并支持就这些主题开展合作。",
"一．导言",
"1. 亚洲及太平洋经济社会委员会(亚太经社会)在第七十二届会议上通过了关于“利用科学、技术与创新促进亚洲及太平洋包容的可持续发展”的第72/12号决议。在该决议中，经社会请执行秘书“在必要时，作为促进合作和联合行动的桥梁，向成员国宣传当前各论坛、国际组织、区域组织和次区域组织关于科学、技术和创新方面的对话”。",
"2. 因此授权亚太经社会在支持成员国利用科学、技术和创新促进可持续发展方面发挥积极作用。将通过开展以下各项活动落实这些工作，包括研究和分析、能力建设和技术协助。亚太经社会还担任最不发达国家技术库和技术推动机制等联合国其他工作的联络人。经社会发挥的一个重要作用是，确保不仅在各次区域科学、技术和创新合作机制间相互交流取得的进展和成就，而且向那些目前尚未参与任何此类机制的成员国重点介绍其进展和成就，从而在整个亚太区域深化知识共享和协作，并推动科学、技术和创新以促进包容的可持续发展。它将减少重复工作并且增加实现跨越式发展的机会，从而实现更为迅猛的进步。",
"3. 鉴于信息和通信技术，科学、技术与创新委员会在整个亚太区域拥有广泛成员，该委员会提供了一个独特的机会来创建科学、技术和创新的包容性平台，以推动整个区域的知识共享和合作。",
"4. 本文件简要介绍了以下各次区域合作组织科学、技术和创新合作机制的构想、使命和战略重点领域：亚洲及太平洋经济合作组织(亚太经合组织)、东南亚国家联盟(东盟)、经济合作组织、欧亚经济委员会、南亚区域合作联盟(南盟)、太平洋共同体秘书处、中日韩三国合作秘书处。本文件还介绍了亚太经社会可以实施的拟议模式，从而推动开展更具包容性的科学、技术和创新知识共享、合作和集体行动。",
"5. 附件列举了本文件所述各次区域组织的成员名单。",
"二．次区域科学、技术和创新合作机制及其授权",
"6. 亚太经合组织科学、技术和创新政策伙伴关系于2012年设立。其构想是至2025年，通过其努力，实现创新型经济增长。其使命是支持科学和技术合作的发展，并且为亚太经合组织提供有效的科学、技术和创新政策建议，其方法是在政府、学术界、私营部门和其他亚太经合组织的论坛间开展合作。伙伴关系旨在强化政府、私营部门和学术界之间的合作，并且将其目标按照优先次序分为三小类：(a)科学能力建设；(b)推动营造有利于创新的环境；(c)加强区域科学和技术互联互通。",
"7. 东盟科学和技术委员会于1978年设立。委员会的构想是“实现由科学、技术和创新驱动的东盟，而东盟也是创新、具有竞争力、生机勃勃、可持续和实现经济一体化的”。制订了《2015-2020年东盟科学、技术和创新行动计划》，以实现以下目标：(a)通过公共部门与私人部门之间的积极合作和人才流动，实现东盟的经济一体化，(b)对科学、技术和创新及其产生的有益影响进行更充分地了解，(c)通过应用信息和通信技术利用创新型经济、以及青年人对科技创新事业的积极参与，(d)将东盟创新与全球市场连接起来，(e)利用东盟创新，以应对新千年的严峻挑战，(f)开展积极的研究和开发合作、技术产业化、创业并建立卓越中心网络。",
"8. 经济合作组织科学基金会是2011年由经济合作组织部长理事会设立的，它成为推动科学和技术的专门机构，其目标是在其成员国实现经济发展，建立技术精湛的科学和技术人力资源储备库，并加强科学和研究机构。科学基金会的授权是在其成员国间推动开展科学技术研究合作以及其他相关活动，并推动各级的科学技术创新。此外，科学基金会还强调应当与国际组织和联合国机构开展合作，从而开展协作，以推动实现协同增效和互补作用。",
"9. 欧亚经济委员会工业政策司于2015年设立，其目的在于加速并提高其成员国的工业发展可持续性和竞争力。通过开展有效合作，该机构旨在增加工业部门的创新活动。欧亚经济委员会会员国于2015年商定工业合作的主要方向，以期在其成员国间开展有效的互利合作，从而加快可持续的工业发展，并确保可以提高工业部门的竞争力并加强其创新活动。",
"10. 南盟在科学和技术方面的合作是通过其科学与技术问题技术委员会进行的。南盟已认识到科学、技术和高等教育在应对二十一世纪挑战方面的重要性，并且确定在这些领域开展区域合作的轻重缓急，从而获益于其成员国实施的共同的、精心策划的、目标明确的举措间所形成的协同增效。已制订一项科学和技术问题行动计划，并确定以下四个基本要点：(a)在科学和技术领域开展合作，(b)标准化与实验室检测，(c)合作主题，(d)项目开发。",
"11. 作为其使命的一部分，太平洋共同体秘书处努力提升太平洋地区人民的福祉，其方法是以深入了解太平洋岛屿的环境和文化为指导，高效、创新地应用科学和知识。",
"12. 中日韩三国合作秘书处是旨在推动中国、日本和大韩民国实现和平和共同繁荣的国际组织。三国合作秘书处由政治事务处、经济事务处、社会与文件事务处和管理与协调事务处四个部门组成。科学和技术科是经济事务处下设科室。三国合作秘书处认为科学进步和创新支撑经济发展。它举办了三国科学和技术对话，以设立一个面向未来的三国科技合作体系，作为寻求应对本区域共同问题的解决办法，并且通过开展此类合作为亚洲和世界作出贡献的工具。",
"三．次区域科技创新合作机制间知识共享和合作的模式",
"13. 在上述合作机制中存在大量的科学、技术和创新知识和实践。整个区域可以在寻求实现可持续发展目标方面从这些专业知识和汲取的经验教训中获益颇丰。为了确保本区域对此充分了解，提议亚太经社会开展以下几项活动：",
"14. 信息和通信技术，科学、技术与创新委员会本届会议设立关于次区域科学、技术和创新合作机制的常设议程项目。将邀请来自次区域科学、技术和创新合作机制的相关代表出席委员会会议，并讨论其常设议程项目，以便酌情介绍活动情况并推动深化合作。",
"15. 亚太经社会在次区域科学、技术和创新会议上的观察员地位。来自亚太经社会的相关代表将观摩次区域科学、技术和创新会议，并参加相关论坛，以推动与亚太经社会会员国之间的知识共享。",
"16. 关于次区域科学、技术和创新合作活动的年度报告或两年期报告。将编写年度报告或两年期报告，以确保本区域了解这些机制所应对的问题、面临的机遇和挑战。",
"17. 制作网页，将科学、技术和创新合作活动编成目录进行分类。将制作网页，以简要介绍次区域的科学、技术和创新合作活动。",
"4. 议程项目的成果",
"1. 委员会寻求达成关于上述模式的共识，以确保整个区域充分了解次区域的科学、技术和创新合作活动，并且支持就这一主题开展深入合作。",
"附件",
"次区域合作组织的成员",
"亚太经济合作组织(亚太经合组织)",
"澳大利亚 巴布亚新几内亚\n 文莱达鲁萨兰国 秘鲁",
"加拿大 菲律宾",
"智利 大韩民国",
"中国 俄罗斯联邦",
"中国香港 新加坡",
"印度尼西亚 中国台湾省",
"日本 泰国",
"马来西亚 美利坚合众国",
"墨西哥 越南",
"新西兰",
"东南亚国家联盟(东盟)",
"文莱达鲁萨兰国 缅甸",
"柬埔寨 菲律宾",
"印度尼西亚 新加坡",
"老挝人民民主共和国 泰国",
"马来西亚 越南",
"经济合作组织",
"阿富汗 巴基斯坦",
"阿塞拜疆 塔吉克斯坦",
"伊朗伊斯兰共和国 土耳其",
"哈萨克斯坦 土库曼斯坦",
"吉尔吉斯斯坦 乌兹别克斯坦",
"欧亚经济委员会",
"亚美尼亚 吉尔吉斯斯坦\n 白俄罗斯 俄罗斯联邦",
"哈萨克斯坦",
"太平洋共同体秘书处",
"美属萨摩亚 纽埃岛\n 澳大利亚 北马里亚纳群岛",
"库克群岛 帕劳",
"斐济 巴布亚新几内亚",
"法国 皮特凯恩群岛",
"法属波利尼西亚 萨摩亚",
"关岛 所罗门群岛",
"基里巴斯 托克劳群岛",
"马绍尔群岛 汤加",
"密克罗尼西亚联邦 图瓦卢",
"瑙鲁 美利坚合众国",
"新喀里多尼亚 瓦努阿图",
"新西兰 瓦利斯和富图纳群岛",
"南亚区域合作联盟(南盟)",
"阿富汗 马尔代夫\n 孟加拉国 尼泊尔",
"不丹 巴基斯坦",
"印度 斯里兰卡",
"三国合作秘书处",
"中国 大韩民国\n 日本"
] | [
"Report on subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific",
"Note by the secretariat",
"Summary There is a dynamic, vibrant and pioneering science, technology andinnovation ecosystem in the region which includes many subregionalcooperation mechanisms on these topics. However, these mechanisms are disparate and unconnected and, thus,do not fully harness the region’s vast knowledge and potential.They also exclude many member States in the region. Therefore thereis an opportunity to improve cooperation among these subregionalcooperation mechanisms and to increase their benefits for theregion as a whole. Promoting more, and deeper, collaboration withinthe entire Asia-Pacific region on science, technology andinnovation for inclusive and sustainable development should be apriority for achieving the Sustainable Development Goals. The purpose of the present note is to provide an overview of thesubregional science, technology and innovation cooperationmechanisms and of proposed modalities for ways that the Economicand Social Commission for Asia and the Pacific could facilitatemore inclusive knowledge-sharing, cooperation and collective actionon these topics. \nThe proposed outcome of this agenda item is consensus on themodalities to ensure the region as a whole is informed onsubregional science, technology and innovation activity and tosupport cooperation on these topics.",
"I. Introduction",
"1. At its seventy-second session, the Economic and Social Commission for Asia and the Pacific (ESCAP) adopted resolution 72/12 on harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific. In the resolution, the Commission requested the Executive Secretary to raise awareness among member States on the science, technology and innovation dialogues taking place at various forums and international, regional and subregional organizations, by acting as a bridge to facilitate cooperation and joint action when necessary.",
"1. As a result, ESCAP has been tasked with playing an active role in supporting member States in harnessing science, technology and innovation for sustainable development. These efforts will be realized through a variety of activities, including research and analysis, capacity-building and technical assistance. ESCAP will also act as a liaison for other United Nations efforts, such as the Technology Bank for the Least Developed Countries and the Technology Facilitation Mechanism. One of the Commission’s key roles will be to ensure that the progress and achievements of the subregional science, technology and innovation cooperation mechanisms are highlighted not just to each other, but to the member States who currently do not participate in any of those mechanisms so as to promote deeper knowledge-sharing and collaboration within the entire Asia-Pacific region and to promote science, technology and innovation for inclusive and sustainable development. It will allow more rapid advancement by reducing redundancies and improving opportunities to leap-frog.",
"2. The Committee on Information and Communications Technology, Science, Technology and Innovation presents a unique opportunity to create an inclusive platform for science, technology and innovation that facilitates knowledge-sharing and cooperation across the region as a whole, given its broad membership across Asia and the Pacific.",
"2. The present note provides an overview of the vision, mission and strategic areas of focus of science, technology and innovation cooperation mechanisms in the following subregional cooperation organizations: Asia‑Pacific Economic Cooperation (APEC), the Association of Southeast Asian Nations (ASEAN), the Economic Cooperation Organization, the Eurasian Economic Commission, the South Asian Association for Regional Cooperation (SAARC), the Secretariat of the Pacific Community and the Trilateral Cooperation Secretariat. The present note also presents proposed modalities that ESCAP could implement to facilitate more inclusive science, technology and innovation knowledge-sharing, cooperation and collective action.",
"3. The annex lists the members of each of the subregional organizations mentioned in the present document.",
"II. Subregional science, technology and innovation cooperation mechanisms and their mandates",
"4. The Policy Partnership on Science, Technology and Innovation of APEC was established in 2012. Its vision is to have achieved, by 2025, through its efforts, innovative economic growth. Its mission is to support the development of science and technology cooperation as well as effective science, technology and innovation policy recommendations in APEC through collaboration among governments, academia, the private sector and other APEC forums. The Partnership aims to intensify cooperation among governments, the private sector and academia and prioritizes its objectives in three subgroups: (a) building science capacity, (b) promoting an enabling environment for innovation and (c) enhancing regional science and technology connectivity.",
"5. The ASEAN Committee on Science and Technology was established in 1978. The Committee’s vision is a science, technology and innovation-enabled ASEAN, which is also innovative, competitive, vibrant, sustainable and economically integrated. The ASEAN Plan of Action on Science, Technology and Innovation 2015-2020 was developed to (a) economically integrate ASEAN through active collaboration between the public and private sectors and talent mobility, (b) deepen awareness of science, technology and innovation and its beneficial impacts, (c) leverage an innovation-driven economy with information and communications technology and a strong engagement of youth in science, technology and innovation, (d) bridge ASEAN innovation to the global market, (e) utilize ASEAN innovation to address the grand challenges of the new millennium and (f) establish active research and development collaboration, technology commercialization, entrepreneurship and network of centers of excellence.",
"6. The Economic Cooperation Organization Science Foundation was established by the Council of Ministers of the Economic Cooperation Organization in 2011 as a specialized agency for the promotion of science and technology with the goal of economic development, the creation of a reservoir of highly skilled scientific and technical human resources, and strengthening the scientific and research institutions in its member States. The Science Foundation is mandated to promote scientific and technological research collaboration and other relevant activities among its member States and to promote science and technology innovation at all levels. In addition, the Science Foundation emphasizes cooperation with international organizations and United Nations agencies for collaboration that promotes synergies and complementarities.",
"7. The Eurasian Economic Commission Industrial Policy Department was established in 2015 with the purpose of accelerating and improving the sustainability of industrial development and the competitiveness of its member States. Through the implementation of effective cooperation, it aims to increase innovation activities in the industrial sector. States members of the Eurasian Economic Commission agreed on the main direction of industrial cooperation in 2015: to exercise effective and mutually beneficial cooperation between its member States in order to accelerate sustainable industrial development and ensure that it enhances the competitiveness and innovative activity of the industrial sectors.",
"8. SAARC cooperation in science and technology is pursued through its Technical Committee on Science and Technology. SAARC has recognized the importance of science, technology and higher education in addressing twenty-first century challenges and has prioritized regional cooperation in these areas to derive benefits from the synergy of collective, well-planned and focused initiatives undertaken by its member States. An action plan for science and technology was developed with four primary focuses: (a) cooperation in the field of science and technology, (b) standardization and laboratory testing, (c) themes for cooperation and (d) project development.",
"9. As part of its mission, the Secretariat of the Pacific Community works for the well-being of Pacific people through the effective and innovative application of science and knowledge, guided by a deep understanding of Pacific island contexts and cultures.",
"10. The Trilateral Cooperation Secretariat is an international organization that promotes peace and shared prosperity among China, Japan and the Republic of Korea. The Trilateral Cooperation Secretariat consists of four departments: Political Affairs, Economic Affairs, Sociocultural Affairs, and Management and Coordination. Science and technology is a subdivision under Economic Affairs. The Trilateral Cooperation Secretariat believes that scientific progress and innovation have underpinned economic development. It has held trilateral dialogues on science and technology in an effort to establish a future-oriented trilateral science and technology cooperation system as a tool to find solutions to common regional issues and make contributions to Asia and the world through such cooperation.",
"III. Modalities for knowledge-sharing and cooperation among subregional science, technology and innovation cooperation mechanisms",
"11. There is a rich body of science, technology and innovation knowledge and practice residing in the above-mentioned cooperation mechanisms. The region as a whole could benefit enormously from this expertise and experience in the pursuit of the Sustainable Development Goals. To ensure that the region is fully informed, several ESCAP activities are proposed.",
"12. A standing agenda item on subregional science, technology and innovation cooperation mechanisms at the sessions of the Committee on Information and Communications Technology, Science, Technology and Innovation. Appropriate representatives from subregional science, technology and innovation cooperation mechanisms would be invited to attend the Committee session and discuss its standing agenda item in order to present information on activities and stimulate deeper cooperation, if appropriate.",
"13. ESCAP observer status at subregional science, technology and innovation meetings. An appropriate representative from ESCAP would observe subregional science, technology and innovation meetings and attend appropriate forums to facilitate knowledge-sharing with States members of ESCAP.",
"14. Annual or biennial report on subregional science, technology and innovation cooperation activities. An annual or biennial report would be produced to ensure that the region is informed about the issues, opportunities and challenges that these mechanisms address.",
"15. Online web presence to catalogue science, technology and innovation cooperation activities. A web page would be created to provide an overview of subregional science, technology and innovation cooperation activities.",
"IV. Outcome of the agenda item",
"16. The Committee seeks consensus on the above-mentioned modalities to ensure the region as a whole is informed on subregional science, technology and innovation cooperation activity and to support deeper cooperation on this topic.",
"Annex",
"Members of subregional cooperation organizations",
"Asia-Pacific Economic Cooperation (APEC)",
"Australia Papua New Guinea",
"Brunei Darussalam Peru",
"Canada Philippines",
"Chile Republic of Korea",
"China Russian Federation",
"Hong Kong, China Singapore",
"Indonesia Taiwan Province of China",
"Japan Thailand",
"Malaysia United States of America",
"Mexico Viet Nam",
"New Zealand",
"Association of Southeast Asian Nations (ASEAN)",
"Brunei Darussalam Myanmar",
"Cambodia Philippines",
"Indonesia Singapore",
"Lao People’s Democratic Republic Thailand",
"Malaysia Viet Nam",
"Economic Cooperation Organization",
"Afghanistan Pakistan",
"Azerbaijan Tajikistan",
"Iran (Islamic Republic of) Turkey",
"Kazakhstan Turkmenistan",
"Kyrgyzstan Uzbekistan",
"Eurasian Economic Commission",
"Armenia Kyrgyzstan",
"Belarus Russian Federation",
"Kazakhstan",
"Secretariat of the Pacific Community",
"American Samoa Niue",
"Australia Northern Mariana Islands",
"Cook Islands Palau",
"Fiji Papua New Guinea",
"France Pitcairn",
"French Polynesia Samoa",
"Guam Solomon Islands",
"Kiribati Tokelau",
"Marshall Islands Tonga",
"Micronesia (Federated States of) Tuvalu",
"Nauru United States of America",
"New Caledonia Vanuatu",
"New Zealand Wallis and Futuna",
"South Asian Association for Regional Cooperation (SAARC)",
"Afghanistan Maldives",
"Bangladesh Nepal",
"Bhutan Pakistan",
"India Sri Lanka",
"Trilateral Cooperation Secretariat",
"China Republic of Korea",
"Japan"
] | E_ESCAP_CICTSTI(1)_9 | [
"Economic and Social Commission for Asia and the Pacific First session of the Committee on Information and Communication Technologies, Science, Technology and Innovation Item 3 (c) of the provisional agenda*, Bangkok, 5-7 October 2016",
"Report on cooperative mechanisms on science, technology and innovation in Asia and the Pacific",
"Note by the Secretariat",
"The region has a vibrant and pioneering science, technology and innovation ecosystem, including many subregional cooperation mechanisms around these themes. However, these mechanisms are diverse and disjointed and therefore do not take full advantage of the region ' s vast knowledge and potential. They are also not included in many member States of the region. As a result, there are opportunities for these subregional cooperation mechanisms to enhance cooperation and increase the benefits to the region as a whole. More in-depth cooperation around the theme of STI for inclusive and sustainable development should be promoted throughout the region as a priority for achieving sustainable development goals. The purpose of the present document is to provide an overview of subregional science, technology and innovation cooperation mechanisms and an overview of the proposed modalities for how the Economic and Social Commission for Asia and the Pacific can promote more inclusive knowledge-sharing, cooperation and collective action around these themes. The proposed outcome of this agenda item is a consensus on the model, thus ensuring that the region as a whole is aware of subregional science, technology and innovation activities and supporting cooperation on these themes.",
"Introduction",
"At its seventy-second session, the Economic and Social Commission for Asia and the Pacific (ESCAP) adopted resolution 72/12 on the use of science, technology and innovation for inclusive and sustainable development in Asia and the Pacific. In that resolution, the Commission requested the Executive Secretary “to inform member States, as necessary, of the ongoing dialogue on science, technology and innovation in various forums, international, regional and subregional organizations as a bridge for cooperation and joint action”.",
"2. ESCAP is therefore mandated to play an active role in supporting member States in harnessing science, technology and innovation for sustainable development. These efforts will be implemented through activities such as research and analysis, capacity-building and technical assistance. ESCAP also serves as the focal point for other United Nations efforts, such as the technology bank and technology facilitation mechanism for the least developed countries. An important role for the Commission is to ensure that not only progress and achievements are shared among the subregional science, technology and innovation cooperation mechanisms, but also that they are highlighted to those member States that are not currently involved in any such mechanisms, thus deepening knowledge-sharing and collaboration across the Asia-Pacific region and promoting science, technology and innovation for inclusive and sustainable development. It would reduce duplication of efforts and increase opportunities for cross-cutting development, thus achieving more rapid progress.",
"3. In view of information and communication technologies, the Committee on Science, Technology and Innovation, with its broad membership throughout the Asia-Pacific region, provides a unique opportunity to create an inclusive platform for science, technology and innovation to promote knowledge-sharing and cooperation across the region.",
"4. The present document outlines the vision, mission and strategic focus areas of the science, technology and innovation cooperation mechanisms of the following regional cooperation organizations: Asia-Pacific Economic Cooperation (APEC), Association of Southeast Asian Nations (ASEAN), Economic Cooperation Organization (ECO), Eurasian Economic Commission, South Asian Association for Regional Cooperation (SAARC), Secretariat of the Pacific Community (SPC) and Secretariat of China-Japan-Korean Cooperation. The document also presents the proposed modalities that ESCAP could implement to promote more inclusive knowledge-sharing, cooperation and collective action on science, technology and innovation.",
"5. The annex lists the members of the subregional organizations referred to in the present document.",
"II. Subregional science, technology and innovation cooperation mechanisms and their mandates",
"6. The APEC Science, Technology and Innovation Policy Partnership was established in 2012. Its vision is to achieve innovative economic growth through its efforts by 2025. Its mission is to support the development of science and technology cooperation and to provide APEC with effective science, technology and innovation policy advice through cooperation among Governments, academia, the private sector and other APEC forums. The Partnership aims to strengthen cooperation among Governments, the private sector and academia and to prioritize its objectives into three subcategories: (a) Scientific capacity-building; (b) promoting an enabling environment for innovation; and (c) strengthening regional science and technology connectivity.",
"7. The ASEAN Committee on Science and Technology was established in 1978. The Commission's vision was “to achieve an ASEAN driven by science, technology and innovation, which is also innovative, competitive, dynamic, sustainable and economic integration”. The ASEAN Action Plan on Science, Technology and Innovation 2015-2020 was developed to achieve the following objectives: (a) Economic integration of ASEAN through active cooperation and talent flows between the public and private sectors, (b) a fuller understanding of science, technology and innovation and their beneficial impact, (c) the use of innovative economies through the application of information and communication technologies and the active participation of young people in science, technology and innovation, (d) the linking of ASEAN innovation to global markets, (e) the use of ASEAN innovation to address the daunting challenges of the new millennium, and (f) active research and development cooperation, technological industrialization, entrepreneurship and the establishment of a network of centres of excellence.",
"8. The ECO Science Foundation was established in 2011 by the ECO Council of Ministers as a specialized body for the promotion of science and technology, with the objective of achieving economic development in its member States, establishing a well-skilled pool of scientific and technological human resources and strengthening scientific and research institutions. The mandate of the Science Foundation is to promote scientific and technological research cooperation and other related activities among its member States and to promote scientific and technological innovation at all levels. In addition, the Science Foundation stressed the importance of collaboration with international organizations and United Nations agencies to promote synergies and complementarities.",
"The Industrial Policy Division of the Eurasian Economic Commission was established in 2015 to accelerate and improve the sustainability and competitiveness of industrial development in its member States. Through effective cooperation, the Agency aims to increase the number of innovative activities in the industrial sector. In 2015, the States members of the Eurasian Economic Commission agreed on the main directions of industrial cooperation with a view to achieving effective and mutually beneficial cooperation among their member States, thereby accelerating sustainable industrial development and ensuring that the competitiveness of the industrial sector and its innovative activities could be enhanced.",
"10. SAARC cooperation in science and technology is carried out through its Technical Committee on Science and Technology. SAARC had recognized the importance of science, technology and higher education in meeting the challenges of the twenty-first century and had prioritized regional cooperation in those areas, thus benefiting from the synergies created between common, well-planned and well-targeted initiatives undertaken by its member States. An action plan on science and technology has been developed and four basic elements have been identified: (a) Cooperation in the field of science and technology, (b) standardization and laboratory testing, (c) cooperation themes and (d) project development.",
"11. As part of its mission, the Secretariat of the Pacific Community is working to enhance the well-being of the people of the Pacific through the efficient and innovative application of science and knowledge, guided by an in-depth understanding of the environment and culture of the Pacific islands.",
"12. The China-Japan Cooperation Secretariat is an international organization aimed at promoting peace and shared prosperity for China, Japan and the Republic of Korea. The Trinational Cooperation Secretariat consists of four departments: Political Affairs, Economic Affairs, Social Affairs and Documentation, and Management and Coordination. The Science and Technology Section is part of the Economic Affairs Branch. The three secretariats believe that scientific progress and innovation underpin economic development. It organized the Trinational Science and Technology Dialogue to establish a three-country system of scientific and technical cooperation for the future as a means of seeking solutions to common problems in the region and contributing to Asia and the world through such cooperation.",
"III. Modalities for knowledge-sharing and cooperation among subregional science, technology and innovation cooperation mechanisms",
"13. There is a wealth of STI knowledge and practice in the above-mentioned cooperative mechanisms. The region as a whole could benefit from these expertise and lessons learned in pursuing sustainable development goals. To ensure that the region is fully aware of this, it is proposed that ESCAP undertake the following activities:",
"14. The current session of the Committee on Information and Communication Technologies, Science, Technology and Innovation established a standing agenda item on subregional science, technology and innovation cooperation mechanisms. Relevant representatives from subregional science, technology and innovation cooperation mechanisms will be invited to participate in the meetings of the Committee and to discuss their standing agenda items in order to provide information on activities and to promote deeper cooperation, as appropriate.",
"15. Observer status for ESCAP at subregional conferences on science, technology and innovation. Relevant representatives from ESCAP will observe subregional science, technology and innovation meetings and participate in relevant forums to promote knowledge-sharing with ESCAP member States.",
"16. Annual or biennial reports on subregional science, technology and innovation cooperation activities. Annual or biennial reports will be prepared to ensure that the region is aware of the problems, opportunities and challenges that these mechanisms address.",
"17. Develop web pages to catalogue science, technology and innovation cooperation activities. Web pages will be developed to provide a brief overview of science, technology and innovation cooperation activities in the subregion.",
"4. Outcome of agenda items",
"1. The Committee seeks to reach consensus on the modalities outlined above in order to ensure that the region as a whole is well informed about subregional cooperation activities in science, technology and innovation and to support in-depth cooperation on this subject.",
"Annex",
"Members of subregional cooperation organizations",
"Asia Pacific Economic Cooperation (APEC)",
"Brunei Darussalam Peru",
"Canada Philippines",
"Chile Republic of Korea",
"China Russian Federation",
"Hong Kong, China",
"Taiwan Province of China",
"Japan Thailand",
"Malaysia United States of America",
"Viet Nam",
"New Zealand",
"Association of Southeast Asian Nations (ASEAN)",
"Brunei Darussalam Myanmar",
"Cambodia Philippines",
"Indonesia Singapore",
"Lao People ' s Democratic Republic",
"Malaysia",
"Economic Cooperation Organization",
"Afghanistan Pakistan",
"Azerbaijan Tajikistan",
"Iran (Islamic Republic of)",
"Kazakhstan Turkmenistan",
"Kyrgyzstan",
"Eurasian Economic Commission",
"Armenia Kyrgyzstan Belarus Russian Federation",
"Kazakhstan",
"Secretariat of the Pacific Community",
"Australia Northern Mariana Islands",
"Palau",
"Fiji Papua New Guinea",
"Pitcairn Islands",
"French Polynesia Samoa",
"Guam Solomon Islands",
"Kiribati Tokelau",
"Marshall Islands Tonga",
"Federated States of Micronesia Tuvalu",
"Nauru United States of America",
"New Caledonia Vanuatu",
"New Zealand Wallis and Futuna Islands",
"South Asian Association for Regional Cooperation (SAARC)",
"Afghanistan Maldives",
"Bhutan Pakistan",
"India Sri Lanka",
"Trinational Cooperation Secretariat",
"Republic of Korea Japan"
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目3(a) \n科学、技术与创新政策议题：采取下一步举措：制定亚洲及太平洋科学、技术和创新促进可持续发展的行动议程",
"采取下一步举措：制定亚洲及太平洋科学、技术和创新促进可持续发展的行动议程",
"秘书处的说明",
"内容摘要 本文件简要介绍了在专题研究《利用科学、技术与创新促进亚洲及太平洋包容的可持续发展》中提出的建议，以便供成员国在努力促进本区域科学、技术和创新知识共享和合作方面进行审议。 本文件还概述了亚洲及太平洋经济社会委员会(亚太经社会)旨在加强亚太区域关于社会企业和创效投资南南合作的相关项目。 请信息和通信技术，科学、技术与创新委员会审议本区域科学、技术和创新知识共享和合作的优先领域，并确定研究和能力建设的需求，从而支持成员国有效实施科学、技术和创新，以促进可持续发展。委员会的审议结果将构成提交经社会第七十三届会议的一系列深入建议和成果的基础。 \n还请成员国提出在参与亚太经社会有关项目方面的优先事项并表达其意向，从而加强亚太区域关于社会企业和创效投资的南南合作。",
"一．导言",
"A. 背景",
"1. 亚洲及太平洋经济社会委员会(亚太经社会)第七十二届会议的主题是科学、技术与创新。在这届经社会会议上，一场部长级专题讨论会发布了专题研究《利用科学、技术与创新促进亚洲及太平洋包容的可持续发展》。[1] 随后，经社会第72/12号决议“利用科学、技术与创新促进亚洲及太平洋包容的可持续发展”获得通过。在决议中，经社会，除其他外，请信息和通信技术，科学、技术与创新委员会审议专题研究中概述的建议，并向经社会第七十三届会议提出一套经改进的建议。",
"B. 信息和通信技术，科学、技术与创新委员会第一届会议临时议程项目3的目的",
"2. 议程项目3的目的在于推动有关实现第72/12号决议所述目标的讨论，并且围绕将向经社会第七十三届会议提交的一套包容和全面的建议达成共识。这些建议包括：",
"(a) 划分本区域科学、技术和创新知识共享和合作相关行动的优先次序(第三节)；",
"(b) 确定成员国在科学、技术和创新研究和能力建设方面的要求(第四节)。",
"3. 有关议程项目3的讨论还将征求成员国关于在支持社会企业以及营造有利于创效投资的环境方面的优先事项的意见。并征取其对参与亚太经社会有关加强南南合作促进亚太区域社会企业和创效投资的相关项目表达的意向(第五节)。",
"二．利用科学、技术与创新促进亚洲及太平洋包容的可持续发展",
"4. 正如在各份文件中充分指出的那样，可持续发展目标的主要执行手段在于有效利用科学、技术和创新。在评估亚太区域现状方面，专题研究着重介绍了本区域科学、技术和创新议程的广度、多样性和动态。它还着重介绍了本区域一些最具创新性的政策和战略，介绍了最佳实践的范例以及更实验性的做法，这显示了本区域政府的动态思维。正因为如此，专题研究介绍了围绕有效的做法开展区域合作以及相关知识共享的潜在益处。",
"5. 专题研究为科学、技术和创新提出一个概念框架，它受到开放、包容性、问责和协作等原则的约束，而且还使其重点超越可持续发展的经济维度，从而纳入其社会和环境维度。研究还呼吁各国政府为实现《2030年可持续发展议程》的目标制定与国家发展战略保持一致的、以建议为基础的、以行动为导向的科学、技术和创新计划。",
"6. 概念框架呼吁在政策立场上实现两个规范性转变。第一，关于包容和可持续发展的创新政策必须超越其以往一味单纯强调经济竞争力的做法，从而涵盖社会正义和环境保护的内容。第二，必须将开放和包容性的原则纳入创新战略，将作为创新的动力，与旨在激励竞争的政策形成补充。",
"7. 概念框架还着重强调了一个切实有效创新体系的五大核心要素，以促进包容的可持续发展。",
"8. 富有远见的领导作用。为了利用科学、技术和创新促进包容的可持续发展的潜能，需要发挥富有远见的领导作用。领导者应当在富有远见的活动的启示下制定远见卓识的行动计划；将社会和环境任务以及经济任务置于战略的核心；要求整个政府为落实这些计划负责。应当使所有行为者参与创新体系，以确保在计划中纳入可持续发展的经济、社会和环境维度。然而，这并不会自然而然的发生。利用科学、技术和创新促进包容的可持续发展需要采取坚定的、审慎的行动，以确保采取政府一盘棋的做法。",
"9. 切实有效的机构。切实有效的机构是科学、技术和创新产生、发展和实施的基础。机构确定规则和原则，并设立可以指导行为和互动结构模式的基础架构。有形基础架构和虚拟基础架构共同构成知识经济得以创建的根基。一个强有力的监管环境、包括企业法和知识产权法，也将激励承担对创新而言非常必要的风险。为了确保没有一个人掉队，政府应当使机构不断理解开放和包容性的原则，并且为其提供有效的执行手段。",
"10. 刺激对科学、技术和创新的投资。应当致力于并刺激对科学、技术和创新的投资。创新者往往在关键阶段缺乏资金，阻碍了基础研究或初期阶段创业活动的产业化或规模化。今后科学、技术和创新问题公共投资战略应当划拨资金，以缩小供资缺口，从而加速实现从基础研究和应用研究转变为产业化的创新。应当激励私人投资者支持科学、技术和创新，并确保研究与开发的开支产生私营部门可以借助以进行产业化的产出，相反地，应确保私营部门的重要举措也可以获得充足的研发资金。在此方面，政府供资者-私营部门投资者之间的关系应当得以加强。为了有效、高效地运用它们可以支配的各类资本(例如：国内金融、外国直接投资和捐助方资本)，应当将资金流动与科学、技术和创新促进可持续发展的战略相匹配。除了采取旨在增加科学、技术和创新投资额的政策外，还应当在收益中考虑到社会和环境成果以及经济成果。尽管创效投资作为努力产生社会和环境价值以及财政收益的一类投资，这一理念合乎情理，但却需要强有力的激励和政治领导力，以推动其从边缘走向主流。",
"11. 为公民提供支持。为了保持科学、技术和创新发展的势头，政府应当培育和支持其最重要的资源-公民。尽管科学家、技术专家、创新者和创业者被视作创新活动的传统源泉，但在那些往往被称为“弱势”群体或尚未充分获得认可的群体中可能存在尚待开发的人才资源。如果没有有才能的、训练有素的人们提出创意和实施创意，那么即使是世界上最佳的政府结构、机构和供资机制都将毫无意义。政府应当认可并支持那些被忽视的群体(包括妇女)，将其作为人才和创新理念的重要源泉。政府还应支持发展数字技能和创新技能，并培育具有适应性、灵活度和创新理念的解决问题人才，从而培养未来的劳动力大军，并且推动实现终身学习。通过支持和培训当地人口，政府可以在那些往往伴随新技术或创新流程产生的经济和社会的动荡阶段打造可用的人力资本，并且使所有可用的人力资本胜任其职。通过提供一个支持性和透明的监管结构，可以利用创业者的巨大潜力。包容性创新不仅是为弱势群体提供创新，而且是指增强这些群体的权能，从而使其发挥其自身的创新潜能。",
"12. 开放和包容的创新知识经济。最后，促进开放和包容的创新知识经济将有可能提高本区域科学、技术和创新促进可持续发展努力的效能并扩大其规模。在科学、技术和创新方面，如果各国没有采取共同行动来促进开放、包容的创新知识经济的话，那么就不能实现《2030年议程》的目标“不让一个人掉队”。在拥有全球若干最具创新性的国家但同时也涵盖全球若干技术上最落后国家的亚太区域，这一问题是尤其尖锐的。目前存在的许多次区域和南北科学、技术和创新平台都是迥然不同但相互脱节的，因此它们并未充分利用本区域的丰富知识和巨大潜能。信息和通信技术，科学、技术与创新委员会为确定真正统筹兼顾和包容的知识共享方式、并且展示整个区域科学、技术和创新的多样性和活力提供了一个独特的机会。",
"三．为本区域科学、技术和创新知识共享和合作相关行动划定优先次序",
"13. 考虑到委员会是一个推动知识共享和合作的政府间平台，因此请成员国审议亚太经社会可以支持发展开放、包容的创新知识经济的最佳方式，以推动本区域开展切实有效的科学、技术和创新知识共享和合作",
"14. 供审议的优先事项包括：",
"(a) 为政府官员设立区域平台，以便使各种各样的利益攸关方参与科学、技术和创新生态系统，从而有效地讨论、开展协作和利用这些工具促进包容的可持续发展(即可以借助亚太创新论坛，已在文件E/ESCAP/CICTSTI(1)/8中提出有关其职权范围的建议)；",
"(b) 正如在文件E/ESCAP/CICTSTI(1)/9中所指出的那样，推动亚太区域次区域科学、技术和创新合作机制间的知识共享；",
"(c) 围绕开放的科学政策、人文交流、技术交流和贸易协定中的科学、技术和创新条款等主要的科学、技术和创新问题，谈判相关政府间协定；",
"(d) 推动各国交流技术知识，并且为推动国家间技术协作和发展以及技术贸易和转让提供激励机制；",
"(e) 确保将本区域的需求和知识纳入全球科学、技术和创新举措(例如，联合国技术促进机制和技术库)。",
"四. 查明成员国在科学、技术和创新研究和能力建设方面的要求",
"15. 请成员国确定科学、技术和创新研究和能力建设的要求，以便支持有效实施科学、技术和创新促进可持续发展。供审议的优先事项包括：",
"(a) 为以整个政府一盘棋的做法实施科学、技术和创新政策以及将关于这些专题的政策纳入发展战略等工作发掘最佳实践；",
"(b) 研究和分析各个可持续发展目标的技术解决办法；",
"(c) 推动本区域开展切实有效的研究和开发协作；",
"(d) 为实施可持续发展目标开发科学、技术和创新人力资本；",
"(e) 推动来自企业的创新以促进可持续发展；",
"(f) 开发切实有效的机构和资金来支持科学、技术和创新；",
"(g) 为激励创业而确定最佳实践的政策；",
"(h) 借助于创新的筹资机制，利用科学、技术和创新资金",
"五. 专题：利用社会企业家精神和创效投资来实施可持续发展目标",
"A. 拓展科学、技术和创新的传统理念",
"16. 在联合国系统中，联合国贸易和发展会议(贸发会议)、世界知识产权组织(知识产权组织)和联合国教育、科学及文化组织(教科文组织)等组织已将重点放在科学、技术和创新更为传统的理念。例如，贸发会议的重点在于支持联合国会员国制定创新政策，以提高其经济竞争力，而知识产权组织和教科文组织则侧重于在衡量科学、技术和创新方面更传统的观念，例如专利活动和研究与开发的开支。",
"17. 实现全面的创新是充满挑战的，而且由于专利活动和研究和开发开支等主流指标尚未展示创新的所有维度这一事实而更加复杂。数据对于查明和理解“隐藏创新”的推动力而言非常关键。“隐藏创新”是指不体现于传统指标的创新活动，但它却同样具有产生积极影响的潜力。",
"18. 社会企业和创效投资是本区域两个新兴的创新理念，而且传统的科学、技术和创新衡量框架尚未涵盖这两个理念，正因为如此，它们有可能拓宽这些专题的传统理念，并拓展全球范围对于如何衡量这些工具这一问题的理解。",
"19. 发展筹资问题第三次国际会议《亚的斯亚贝巴行动议程》载有成员国为推动社会创新所作的坚定承诺，而社会企业和创效投资正是社会创新的两大主要支柱，但众所周知的是，各国需要支助来落实有效的政策和衡量框架。",
"20. 正因为如此，这两个领域中更为详尽的工作为支持成员国履行《亚的斯亚贝巴行动议程》中的相关承诺提供了良机，同时它还与联合国系统中更为传统的科学、技术和创新工作形成补充，并且为科学、技术和创新促进可持续发展的前瞻性议程提供“思路引导”。",
"B. 社会企业和创效投资的潜力",
"21. 中小型企业是世界范围就业、竞争、经济活力和创新的来源，并且对亚太区域是尤其重要的，这是由于2007至2012年期间亚太区域的中小企业在所有企业中占98%，雇佣各国国内66%的劳动力，为国内生产总值做出38%的贡献，并且占出口总值的30%。[2]",
"22. 可持续发展目标获得通过这一事实向全世界的经济体明确传达了一个信号，即社会和环境目标与经济发展目标是紧密关联的。借助于中小型企业，私营部门可以在将社会和环境影响内化为创业和投资决定方面发挥重要作用。因此，为本区域中小型企业、尤其是社会企业营造一个有利的环境具有日益重要的作用，而社会企业是将社会和、或环境任务纳入其核心商业模式的企业。",
"23. 寻求获取融资和建立经济上可行的中小型企业是具有挑战性的，而且考虑到传统的投资决定完全是参照商业和经济标准作出的，因此当社会企业同时努力追求产生经济、社会和、或环境效应的情况下，这一挑战只会更加突出。因此，为社会企业提供创新性筹资对于释放创新活力和力量而言非常重要，它使该部门有可能实施《2030年议程》。在此方面，创效投资已成为营造有利于社会企业环境的一个要素。",
"24. 随着人们日益认识到可持续发展三个维度对于实现可持续发展目标是非常关键的，在本区域中社会企业家精神和创效投资的理念方兴未艾。本区域若干成员国正不断制定和实施社会企业和创效投资政策。",
"25. 捐助方也将更多资源直接用于这些部门，以便支持各国实现可持续发展目标。例如：大不列颠及北爱尔兰联合王国政府最近发表了一份政策文件，其中宣布将重点放在利用社会投资上，将其作为其海外发展援助方案的核心支柱。",
"26. 亚太经社会有机会支持社会企业部门中的这些新出现的变化，其方法是通过在更广泛的区域发掘最佳实践和推动实现这些变化来提供能力建设，以支持政府官员实施有效政策。",
"C. 本区域新出现的变化",
"1． 创效投资",
"27. 监测研究所和洛克菲勒基金会将创效投资定义为“将资本积极投入企业和基金，以产生社会和、或环境利益而且至少使投资者收回名义本金”。[3] 2011年亚洲开发银行对70位创效投资者进行的调查表明，50%以上的投资者计划增加其在亚洲的投资。[4] 正如联合王国国际发展部《2014年创效投资市场调查》中所介绍的那样，这一预想已转化为现实。国际发展部的调查报告将撒哈拉以南非洲和南亚排名为创效投资活动的最大市场。[5] 全球创效投资网络目前是支持创效投资的最大规模的、最活跃的行业组织，它于2016年发表了一份对全球范围158位创效投资者的调查结果。报告重点指出，南亚以及东亚和东南亚是创效投资的主要市场，从而证实了亚洲开发银行的预测以及国际发展部的调查结果。图一重点介绍了158个被调查者在各个地域的资产分配情况。尽管在美利坚合众国和拉丁美洲的资产配置更多，但它主要是以私人债务的形式出现的。全球创效投资网络的报告重点指出的是，由私募股本投资者管理的近一半资产位于撒哈拉以南非洲和南亚，东亚和东南亚则紧随其后。",
"图一",
"按照区域划分，以158个创效投资者为样本所管理的资产情况",
"(被调查者人数)",
"[]",
"资料来源：全球创效投资网络，《2016年创效投资者年度调查》(2016年，纽约)，可查阅https://thegiin.org/assets/2016%20GIIN%20Annual%20Impact%20 Investor%20Survey_Web.pdf。",
"28. 全球创效投资网络还发布了关于南亚区域创效投资格局的报告，该报告侧重于南亚六个经济体。报告重点指出，该区域在2004至2014年期间影响力资本的配置量很大，尤其是在孟加拉国、印度和巴基斯坦(见图二)。",
"图二",
"南亚六个国家影响效应资本的配置情况",
"(百万美元)",
"[]",
"[]",
"资料来源：全球创效投资网络，《南亚创效投资格局》(纽约，2015年)，可查阅：https://thegiin.org/knowledge/publication/the-landscape-for-impact-investing-in-south-asia。",
"29. 创效投资也许并非高招，但当创效投资在创造就业、推动技能发展、增强边缘化群体的权能和提供环境上可持续的工作实践方面产生积极的外在影响与社会企业创造的直接的财政和社会影响同样重要的时候，创效投资就提供了一种独特的解决办法。",
"2. 社会企业",
"30. 如果没有制定独立的政策措施来激励社会企业的发展，那么在传统上对研发活动的关注中并未认可社会企业的重要作用，而过去研发活动一直是成员国所实施的科学、技术和创新政策的基础。然而，本区域一些政府已采取具体的政策干预办法，在支持国内的社会企业方面也取得长足进展。",
"31. 在东北亚，大韩民国政府于2007年宣布其《社会企业育成法》。该法案为社会创业提供管理咨询，使其获得专业服务和技术协助，甚至为其提供租金补贴和减税优惠。大韩民国对社会企业的重视已在其政府政策中明显体现出来，并且已引领韩国成为业内专家所公认的本区域其他国家的参照标准。“韩国社会投资”还启动一项关于社会影响力债券的试点项目，该项目立足于具有特殊需求儿童的儿童护理。此外，首尔市政府颁布了一项有关从社会企业采购商品和服务的条例(2015年总额为5700万美元)。这可能是在推动社会企业成长以及使投资者在该部门实现投资收益方面采取的最具创新性和关键的举措。首尔市政府还设立了作为社会企业孵化中心的社会经济支助中心，并设立了社会投资基金。这些旨在鼓励社会企业发展的举措已导致在2012-2015年间首尔的社会企业数增长353%。[6]",
"32. 在东南亚，马来西亚政府最近实施了《2015-2018年社会企业蓝图》，以发展国家的社会企业生态系统。这项倡议的一个主要意图在于鼓励更多的社会创业者出现，他们将通过其企业努力产生环境和社会效应，同时产生经济收益。尽管社会企业是该国一个相对新颖的理念，但政府在推动其发展方面所展示的积极立场则标志其迈出重要的一步。",
"33. 在近年来泰国政府也积极重视其社会企业部门的发展。它于2010年设立了泰国社会企业发展办公室，以支持社会企业的发展，并且作为其后续行动于近期颁布了《社会企业促进法》。设立社会创效投资问题国家特别工作组是泰国采取的另一重要举措，以凸显出政府对创效投资的重视。政府还减免税收来激励社会投资，而且计划为社会企业设立投资基金，并为社会企业创建类似于联合王国社区公益公司的新型公司形式。",
"34. 越南政府于2014年修订其《企业法》，提出社会企业的法律定义，而且政府承诺鼓励、支持和推动社会企业的发展。越南生机勃勃的非政府组织和中小型企业可以利用这一转变，扩大其企业规模，并建立新的企业以应对紧迫的社会问题。",
"35. 印度尼西亚和菲律宾政府正不断制定政策推动其国内社会企业的发展。印度尼西亚新的《创业法》中包括有关社会企业的条款，而菲律宾《社会创业减贫法案》预计将于明年颁布，该法案证明人们不断将社会企业视作可持续发展创新的重要源泉。",
"36. 在南亚，孟加拉国、印度和巴基斯坦和孟加拉国是影响效应资本的主要目的地，三国政府已采取举措建立一个创新生态系统来支持社会企业的发展。巴基斯坦政府《2025年远景规划》中的一个主要目标是促进创新和企业发展。为了支持这项目标，政府设立社会创业中心。而在被许多人视作社会企业发源地的孟加拉国，最近举办了一场关于“社会企业、政策与实践”的政策对话会，对话会的成果是为政府提交一份有关可以采取的、旨在推动社会企业取得迅猛发展的高级别政策措施的报告。",
"37. 在太平洋地区，澳大利亚政府授权资金总额为2000万美元的社会企业发展与投资基金，从而在一对一的基础上利用私营部门投资来增加用于社会企业种子期和成长期的资金。通过向基金经理人分配管理职责，它还有助于开展能力建设。其他的创新之举是社区发展融资机构试点项目，该项目为那些排除在金融体系之外的弱势个人增加利用融资的机会。在总理和内阁部内设立非营利部门办公室等其它举措说明政府致力于鼓励社会企业的发展。",
"38. 在中亚，社会企业的理念是相对新颖的，然而，本区域各国已在其发展议程中积极纳入对社会和环境效应的考虑。哈萨克斯坦政府于2013年采取有关绿色经济理念的政策，将其作为其2050年愿景的一部分。国家创新基金联合股份公司由具有更广泛创新授权的国家技术开发联合股份公司取代。中亚各国政府通过举办社会创新营等活动积极开展相互合作，积极与行业专家开展合作，表明它们对发展社会企业的承诺。",
"39. 本区域政府所采取的支持性社会企业和创效投资政策进一步证明的是，它们致力于采用创新方式应对紧迫的发展挑战和实现雄心勃勃的可持续发展目标。",
"D. 经社会实施的项目",
"40. 亚太经社会将启动一个项目，以期加强亚太区域关于社会企业和创效投资的南南合作。该项目的重点在于支持政策制定者制订和实施切实有效的政策和战略，侧重于培育社会企业家精神，并且营造一个有利于创效投资的环境，衡量在这两个领域的进展情况。",
"41. 首先，将发表重点介绍本区域最佳实践的优质研究和“构想文件”。第二，将开发知识产品和在线学习单元，以支持开展能力建设活动。这些活动将与本区域的高级别活动形成补充。",
"42. 请委员会为该项目提出拟议优先事项。供审议的优先事项包括：",
"(a) 建立一个具有社会企业和创效投资授权的政府间政策制定者网络，以推动加强知识共享；",
"(b) 为社会企业建立一个监管法律框架；",
"(c) 营造一个有利于创效投资的环境；",
"(d) 研究制定何种切实有效的政策，以激励企业将社会和环境问题具体目标纳入其核心商业模式；",
"(e) 建立一个框架来衡量和评价社会创新经济。",
"六. 讨论要点",
"43. 以下段落列举了在委员会会议期间的讨论要点。",
"44. 成员国认为本区域科学、技术和创新知识共享和合作的优先事项是什么？",
"(a) 为政府官员打造一个区域平台，以便与科学、技术和创新生态系统中各种各样的利益攸关方(包括科学家、技术人员、创新者、创业者、投资者、以及私营部门、学术界和民间社会的代表)开展合作，以便有效讨论、开展协作和利用科学、技术和创新，以促进包容的可持续发展(例如，通过亚太创新论坛-文件E/ESCAP/CICTSTI(1)/8载有拟议的职权范围)；",
"(b) 正如在文件E/ESCAP/CICTSTI(1)/9中所指出的那样，推动亚太区域次区域科学、技术和创新合作机制间的知识共享；",
"(c) 围绕开放的科学政策、人文交流、技术交流和贸易协定中科学、技术和创新条款等科学、技术和创新的主要问题，谈判相关政府间协定；",
"(d) 推动各国交流技术知识，为促进国家间的技术合作和发展以及技术贸易和转让提供激励机制；",
"(e) 确保将本区域的需要和知识纳入全球科学、技术和创新举措(例如，联合国技术促进机制和技术库)。",
"45. 科学、技术和创新方面的哪些优先议题将从政府间协定中受益？",
"(a) 开放的科学政策，以推动进一步利用科学、技术和创新研究成果，从而促进可持续发展；",
"(b) 实施政策，以推动整个区域研究和开发专业人员的进一步流动；",
"(c) 创新与技术贸易协定中有关科学、技术和创新问题的具体条款，以便产生积极的社会和环境影响(例如，清洁技术)。",
"46. 在科学、技术和创新研究和能力建设要求中的主要差距是什么?",
"(a) 在以政府一盘棋的做法实施科学、技术和创新政策以及将这些政策纳入发展战略方面的最佳实践；",
"(b) 各个可持续发展目标的技术解决办法；",
"(c) 有关有效区域研发合作的最佳实践；",
"(d) 为实施可持续发展目标发展科学、技术和创新人力资本的有效战略；",
"(e) 推动来自企业的创新、以促进可持续发展的有效战略；",
"(f) 有关开发制度模式和资金以支持科学、技术和创新的最佳实践；",
"(g) 为激励创业而确定最佳实践政策；",
"(h) 借助于创新型筹资机制，以利用科学、技术和创新资金。",
"47. 在支持成员国为社会企业发展提供支助和营造有利于创效投资的环境方面应当确定什么优先事项？",
"(a) 建立一个具有社会企业和创效投资授权的政府间政策制定者网络，以推动加强知识共享；",
"(b) 为社会企业建立一个监管法律框架；",
"(c) 营造一个有利于创效投资的环境；",
"(d) 研究制定何种切实有效的政策，以激励企业将社会和环境问题具体目标纳入其核心商业模式；",
"(e) 建立一个框架来衡量和评价社会创新经济。",
"48. 应当向经社会第七十三届会议提出什么建议？",
"七. 接下来的举措",
"49. 接下来可以采取以下举措：",
"(a) 拟订将提交经社会第七十三届会议的建议案文；",
"(b) 制订关于将从政府间协定中受益的科学、技术和创新问题的行动计划；",
"(c) 实施用以支持成员国科学、技术和创新能力建设及其研究需求的方案；",
"(d) 后续跟进对于参与亚太经社会关于社会企业和创效投资的相关项目所表达的意向。",
"[1] ¹ 联合国出版物，出售品编号E.16.Ⅱ.F.12。可查阅：www.unescap.org/resources/harnessing-science-technology-and-innovation-inclusive-and",
"[2] ² 亚洲开发银行，《2014年亚洲中小企业融资监测》(马尼拉，2015年)-根据对20个国家的分析结果，可查阅：www.adb.org/sites/default/files/publication/173205/asia-sme-finance-monitor2014.pdf。",
"[3] ³ 监测研究所，《社会和环境影响效应投资：为催化一个新兴产业而进行的设计》(2009年)。可查阅：http://monitorinstitute.com/downloads/what-we-think/impact-investing/Impact_Investing.pdf。",
"[4] ⁴ 亚洲开发银行，《亚洲的创效投资者：亚太区域对社会企业投资的特征和偏好》。(马尼拉，2011年)，可查阅：www.adb.org/publications/impact-investors-asia-characteristics-and-preferences-investing-social-enterprises-asia。",
"[5] ⁵ 大不列颠及北爱尔兰联合王国国际发展部，《2014年创效投资市场调查：撒哈拉以南非洲和南亚面临的挑战和机遇》(2015年)，可查阅：www.theimpactprogramme.org.uk/wp-content/uploads/2015/08/DFID-Impact-Programme-Market-Survey-Web-20151.pdf。",
"[6] 见http://avpn.asia/2016/06/16/building-a-social-economy-in-asia/。"
] | [
"Taking the next step: developing an action agenda for science, technology and innovation for sustainable development in Asia and the Pacific",
"Note by the secretariat",
"Summary The present note contains a summary of the recommendationscontained in the theme study Harnessing Science, Technology andInnovation for Inclusive and Sustainable Development in Asia andthe Pacific for the consideration by member States in their effortsto foster knowledge-sharing and cooperation on science, technologyand innovation in the region. The note also provides an overview of the project of the Economicand Social Commission for Asia and the Pacific (ESCAP) to enhanceSouth-South cooperation on social enterprise and impact investmentin the Asia-Pacific region. The Committee on Information and Communications Technology,Science, Technology and Innovation is invited to reflect onpriority areas for regional knowledge-sharing and cooperation onscience, technology and innovation and to identify research andcapacity-building needs to support member States to effectivelyimplement science, technology and innovation for sustainabledevelopment. The results of the Committee’s deliberations will formthe basis for a set of further recommendations and outcomes to bepresented to the Commission at its seventy-third session. \nMember States are also invited to put forward priorities andexpressions of interest in engaging on the ESCAP project to enhanceSouth-South cooperation on social enterprise and impact investmentin the Asia-Pacific region.",
"I. Introduction",
"Background",
"1. The theme for the seventy-second session of the Economic and Social Commission for Asia and the Pacific (ESCAP) was science, technology and innovation. At that Commission session, the theme study Harnessing Science, Technology and Innovation for Inclusive and Sustainable Development in Asia and the Pacific[1] was launched at a ministerial panel. Subsequently, Commission resolution 72/12 on harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific was adopted. In the resolution, the Commission requested, inter alia, the Committee on Information and Communications Technology, Science, Technology and Innovation to consider the recommendations outlined in the theme study and to present a further refined set of recommendations to the Commission at its seventy-third session.",
"Purpose of agenda item 3 of the provisional agenda for the first session of the Committee on Information and Communications Technology, Science, Technology and Innovation",
"2. The purpose of agenda item 3 is to facilitate discussions regarding meeting the objectives outlined in resolution 72/12 and to reach consensus on an inclusive and comprehensive set of recommendations to be presented to the Commission at its seventy-third session. Those recommendations will include:",
"(a) The prioritization of actions for regional knowledge-sharing and cooperation on science, technology and innovation (section III);",
"(b) The identification of the science, technology and innovation research and capacity-building requirements of member States (section IV).",
"3. Discussions pursuant to agenda item 3 will also seek the views of member States on priorities to support social enterprises and an enabling environment for impact investment. Expressions of interest with regards to engaging in the ESCAP project to enhance South-South cooperation on social enterprise and impact investment in the Asia-Pacific region will be collected (section V).",
"II. Harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific",
"4. As is well noted in a variety of documents, a key means of implementation of the Sustainable Development Goals is the effective use of science, technology and innovation. In taking stock of the situation in the Asia-Pacific region, the theme study highlighted the breadth, diversity and dynamism of the science, technology and innovation agenda in the region. It also highlighted some of the region’s most innovative policies and strategies and provided examples of best practices as well as more experimental approaches, which illustrated the dynamic mindset of Governments in the region. As such, the theme study provided examples of the potential gains derived from regional collaboration on, and knowledge-sharing of, what works.",
"5. The theme study included a conceptual framework for science, technology and innovation that is bound by the principles of openness, inclusivity, accountability and collaboration and that moves the focus beyond the economic to fully integrate the social and environmental dimensions of sustainable development. It also called on Governments to put in place recommended action-oriented science, technology and innovation plans aligned to national development strategies to meet the goals of the 2030 Agenda for Sustainable Development.",
"6. The conceptual framework called for two normative shifts in policy stance. First, innovation policy on inclusive and sustainable development must move beyond its traditional focus on economic competitiveness to include social justice and environmental protection. Second, the principles of openness and inclusivity must be integrated into innovation strategies to complement policies promoting competition as a driver of innovation.",
"7. The conceptual framework also highlighted the five core elements of an effective innovation system for inclusive and sustainable development.",
"8. Visionary leadership. To harness the potential of science, technology and innovation for inclusive and sustainable development, visionary leadership is required. Leaders will need to create farsighted action plans informed by foresight activities; put social and environmental as well as economic imperatives at the heart of strategies; and hold the whole of Government to account for the delivery of those plans. It will be essential to engage all actors in the innovation system to ensure that plans incorporate the economic, social and environmental dimensions of sustainable development. However, this will not happen automatically. Harnessing science, technology and innovation for inclusive and sustainable development will require committed and deliberate action to ensure an integrated governmental approach.",
"9. Effective institutions. Effective institutions are the foundation of creation, development and implementation for science, technology and innovation. Institutions define the rules and principles and establish the infrastructure that guides behaviour and structures patterns of interactions. Physical and virtual infrastructure form the foundation on which a knowledge economy is built. A strong regulatory environment, including corporate law and intellectual property law, will also encourage the risk-taking required to innovate. In order to ensure that no one is left behind, it will be critical for Governments to instil in institutions the principles of openness and inclusivity and provide the means for their effective implementation.",
"10. Incentivizing investment in science, technology and innovation. Committing to and incentivizing investment in science, technology and innovation will be critical. Innovators often lack funding at crucial stages, preventing basic research or early-stage start-up ventures from being commercialized or achieving scale. Future public investment strategies on science, technology and innovation will need to commit funding aimed at bridging financing shortfalls in order to accelerate innovation from basic and applied research to commercialization. It will be critical to incentivize private investors to back science, technology and innovation and ensure that research and development expenditures produce outputs the private sector can commercialize and, conversely, to ensure that important private sector initiatives receive adequate research and development funding. In this respect, the government funder-private sector investor relationship needs to be strengthened. To effectively and efficiently deploy the various forms of capital at their disposal (such as domestic finance, foreign direct investment and donor capital), alignment of financial flows to science, technology and innovation strategies for sustainable development will be key. In addition to policies aimed at increasing the amount of investment in science, technology and innovation, returns will need to incorporate social and environmental outcomes as well as economic outcomes. While the concept of impact investment – a type of investing that aims to generate social and environmental value, as well as financial return – makes sense, strong incentives and political leadership will be required to move it from the margins to the mainstream.",
"11. Support citizens. Fourth, to sustain momentum in science, technology and innovation development, Governments need to nurture and support their most important resource – their citizens. While scientists, technologists, innovators and entrepreneurs are considered the traditional sources of innovative activity, there is potentially an untapped resource of talent residing in what are often termed vulnerable communities or underrecognized community sources. The best government structures, institutions and funding mechanisms in the world will amount to nothing without talented and educated people to generate and implement ideas. Governments need to recognize and support underrepresented communities, including women, as significant sources of talent and innovative ideas. Governments also need to nurture a workforce for the future and enable life-long learning by supporting the development of digital and innovation skills and nurturing problem solvers with adaptive, flexible and innovative minds. By supporting and training the local population, Governments can generate and make fit for the purpose all available human capital through the stages of economic and social disruption that often accompany new technologies or innovative processes. By providing a supportive and transparent regulatory structure, the mass potential of the entrepreneurial class can be harnessed. Inclusive innovation is not only about making innovations available to vulnerable populations but also empowering those communities to realize their own innovative potential.",
"12. Open, inclusive and innovative knowledge economies. Finally, creating open, inclusive and innovative knowledge economies has the potential to increase the effectiveness and scale of regional science, technology and innovation efforts for sustainable development. In the context of science, technology and innovation, the 2030 Agenda’s goal to leave no one behind will be unmet if countries do not act collectively to create open inclusive and innovative knowledge economies. This issue is particularly acute in the Asia-Pacific region, which is home to some of the most innovative countries in the world, as well as to some of the most technologically deprived. The many subregional and North-South science, technology and innovation platforms that exist are disparate and unconnected and thus are not fully harnessing the vast knowledge and potential in the region. The Committee on Information and Communications Technology, Science, Technology and Innovation provides a unique opportunity to create a truly integrated and inclusive approach to knowledge-sharing and to capture the diversity and dynamism of science, technology and innovation across the region.",
"III. Prioritization of actions for regional science, technology and innovation knowledge-sharing and cooperation",
"13. Given that the Committee is an intergovernmental platform for the facilitation of knowledge-sharing and cooperation, member States are invited to consider how best ESCAP can support the development of open and inclusive innovative knowledge economies to facilitate effective regional knowledge-sharing and cooperation on science, technology and innovation.",
"14. Priority areas for consideration could include:",
"(a) Establishing a regional platform for government officials to engage the diversity of stakeholders in the science, technology and innovation ecosystem to effectively discuss, collaborate on and harness these tools for inclusive and sustainable development (namely, through an Asia-Pacific innovation forum, whose terms of reference have been proposed in document E/ESCAP/CICTSTI(1)/8);",
"(b) Facilitating knowledge-sharing between subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific as addressed in document E/ESCAP/CICTSTI(1)/9;",
"(c) Negotiating intergovernmental agreements on key science, technology and innovation issues, such as open science policy, people exchange, technology exchange and provisions on science, technology and innovation within trade agreements;",
"(d) Promoting the sharing of technical knowledge among countries and providing incentives to promote intercountry technology collaboration and development together with technology trade and transfer;",
"(e) Ensuring regional needs and knowledge are incorporated into global science, technology and innovation initiatives (such as the United Nations Technology Facilitation Mechanism and the Technology Bank).",
"IV. Identification of the science, technology and innovation research and capacity-building requirements of member States",
"15. Member States are invited to identify research and capacity-building requirements for science, technology and innovation to support the effective implementation of science, technology and innovation for sustainable development. Priority areas for consideration could include:",
"(a) Surfacing best practices for implementing whole-of-government approaches to science, technology and innovation policy and integrating policy on these topics into development strategies;",
"(b) Researching and analysing technology solutions for each of the Sustainable Development Goals;",
"(c) Facilitating effective regional research and development collaborations;",
"(d) Developing human capital in science, technology and innovation for the Sustainable Development Goals;",
"(e) Fostering innovation for sustainable development from corporations;",
"(f) Developing effective institutions and funds to support science, technology and innovation;",
"(g) Establishing best practice policies for stimulating entrepreneurship;",
"(h) Leveraging funding for science, technology and innovation through innovative financing mechanisms.",
"V. Special topic: harnessing social entrepreneurship and impact investment for the implementation of the Sustainable Development Goals",
"Broadening traditional notions of science, technology and innovation",
"16. In the United Nations system, organizations such as the United Nations Conference on Trade and Development (UNCTAD), the World Intellectual Property Organization (WIPO) and the United Nations Educational, Scientific and Cultural Organization (UNESCO) have focused on more traditional concepts of science, technology and innovation. For example, UNCTAD focuses on supporting States Members of the United Nations in developing innovation policies for economic competiveness, while WIPO and UNESCO focus on more traditional notions of measurement such as patenting activity and research and development expenditure.",
"17. Achieving a complete picture of innovation is challenging and is further complicated by the fact that mainstream indicators, such as patenting activity and research and development expenditure, do not capture all dimensions of innovation. Data will be critical to identifying and understanding the drivers of hidden innovation, which refers to innovation activities not reflected in traditional indicators that could equally have the potential for positive impact.",
"18. Social enterprise and impact investment are two emerging innovation concepts in the region not captured in the traditional science, technology and innovation measurement frameworks and as such have the potential to broaden the traditional notions of these topics and to push the boundaries of global understanding on the measurement of these tools.",
"19. The Addis Ababa Action Agenda of the Third International Conference on Financing for Development contains firm commitments made by Member States to foster social innovation – of which social enterprise and impact investment are two key pillars – but it is well recognized that countries need support to implement effective policies and measurement frameworks.",
"20. As such, more detailed work in these two areas presents an opportunity to support member States in meeting relevant commitments made in the Addis Ababa Action Agenda, while complementing the more traditional science, technology and innovation work in the United Nations system and providing thought leadership on a forward-looking agenda for science, technology and innovation for sustainable development.",
"The potential of social enterprise and impact investment",
"21. Small and medium-sized enterprises are a source of employment, competition, economic dynamism, and innovation across the world and are particularly significant in Asia and the Pacific, where from 2007 to 2012, they comprised 98 per cent of all enterprises, employed 66 per cent of the national labour force, contributed 38 per cent of the gross domestic product and accounted for 30 per cent of total export value.[2]",
"22. The adoption of the Sustainable Development Goals was a clear signal to the world’s economies that social and environmental goals are deeply interconnected with economic development goals. The private sector can play a significant role in internalizing social and environmental impact in entrepreneurial and investment decisions through small and medium-sized enterprises. Hence, it is increasingly important to create an enabling environment for small and medium-sized enterprises in the region, particularly social enterprises – that is, enterprises that integrate social and/or environmental missions into their core business model.",
"23. Securing access to finance and creating an economically viable small and medium-sized enterprise is a challenge, one that only gets accentuated in the case of social enterprises that seek to simultaneously pursue economic, social and/or environmental impacts, given that traditional investment decisions are made solely on commercial and economic criteria. Therefore, innovative financing for social enterprise will be critical to unlocking the innovation and power that this sector has the potential to deliver in the service of the 2030 Agenda. In this regard, impact investment is a key component of the enabling environment for social enterprise.",
"24. The concepts of social entrepreneurship and impact investment have been gathering momentum in the region with the growing recognition that the three dimensions of sustainable development will be key to achieving the Sustainable Development Goals. Several member States in the region are in the process of developing and implementing social enterprise and impact investment policies.",
"25. Donors are also directing more resources to these sectors in order to support countries in achieving the Sustainable Development Goals. As an example, the Government of the United Kingdom of Great Britain and Northern Ireland recently published a policy paper which announced a focus on harnessing social investment as a core pillar of its overseas development assistance programme.",
"26. There is an opportunity for ESCAP to support these emerging changes in the social enterprise sector by providing capacity-building to support government officials in implementing effective policies by surfacing best practices and enabling these changes throughout the wider region.",
"C. Emerging changes in the region",
"1. Impact investment",
"27. The Monitor Institute and the Rockefeller Foundation define impact investment as the active placement of capital in businesses and funds that generate social and/or environmental good and at least return nominal principal to the investor.[3] A 2011 Asian Development Bank survey of 70 impact investors revealed that more than 50 per cent planned on increasing their investments in Asia.[4] This forecast has been actualized, as presented in the Survey of the Impact Investment Markets 2014 of the Department for International Development of the United Kingdom. The survey ranked sub-Saharan Africa and South Asia as the largest markets for impact investment activity.[5] In 2016, the Global Impact Investing Network, currently the largest and most active industry organization supporting impact investment, published a survey of 158 impact investors from across the world. The report confirmed the Asian Development Bank’s forecast and the Department for International Development’s survey results by highlighting South Asia as well as East and South-East Asia as key markets for impact investment. Figure I highlights the asset allocation of 158 respondents across geographies. While the United States of America and Latin America see greater capital allocation, it is primarily in the form of private debt. The Global Impact Investing Network report highlights that nearly half the assets managed by private equity investors are in sub-Saharan Africa and South Asia, followed closely by East and South-East Asia.",
"Figure I",
"Assets managed by a sample of 158 impact investors, by region",
"(Number of respondents)",
"[]",
"Source: Global Impact Investing Network, Annual Impact Investor Survey 2016 (New York, 2016). Available from https://thegiin.org/assets/2016%20GIIN%20Annual%20Impact%20Investor%20Survey_Web.pdf.",
"28. The Global Impact Investing Network also released a regional report on the impact investment landscape in South Asia, focusing on six South Asian economies. The report highlighted the fact that the region saw a significant deployment of impact capital between 2004 and 2014, particularly in Bangladesh, India and Pakistan (figure II).",
"Figure II",
"Impact capital deployment in six South Asian States",
"(Millions of United States dollars)",
"[]",
"[]",
"Source: Global Impact Investing Network, The Landscape for Impact Investing in South Asia (New York, 2015). Available from https://thegiin.org/knowledge/publication/the-landscape-for-impact-investing-in-south-asia.",
"29. While impact investment is not a silver bullet, it offers a unique solution wherein the positive externalities from impact investment, in terms of job creation, skill development, empowerment of marginalized communities and environmentally sustainable work practices, are as valuable as the direct financial and social impact created by social enterprises.",
"2. Social enterprises",
"30. Social enterprises, if not encouraged through independent policy measures, are not recognized in the more traditional focus on research and development activities which have historically formed the basis of science, technology and innovation policies implemented by member States. However, some Governments in the region have also made significant progress in supporting social enterprises in their countries through specific policy interventions.",
"31. In North-East Asia, the Government of the Republic of Korea announced its Social Enterprise Promotion Act in 2007. The Act provides social entrepreneurs with management consultation, access to professional services and technical assistance and even provides subsidized rentals and reduced taxes. The focus on social enterprise in the Republic of Korea is evident in the Government’s policies and has led to the country being seen as a benchmark in the region by sector experts. Korea Social Investment has also started a pilot on social impact bonds based on childcare for children with special needs. Additionally, the metropolitan government of Seoul enacted an ordinance to procure goods and services from social enterprises ($57 million in 2015). This is possibly one of the most innovative and essential steps for enabling social enterprises to grow and to allow investors to see returns on their investments in the sector. The metropolitan government of Seoul also opened a Social Economy Support Centre that acts as an incubation centre for social enterprises and established a social investment fund. These initiatives to encourage social enterprise have resulted in 353 per cent growth in the number of social enterprises in Seoul between 2012-2015.[6]",
"32. In South-East Asia, the Government of Malaysia recently implemented its Social Enterprise Blueprint 2015-2018 to develop a social enterprise ecosystem in the country. A key aim of the initiative is to encourage a greater number of social entrepreneurs who strive to create environmental and social impact through their enterprises while generating economic returns as well. While social enterprise is a relatively new concept in the country, the Government’s active stance on its promotion is an important step.",
"33. The Government of Thailand has also actively focused on developing its social enterprise sector in recent years. It established the Thai Social Enterprise Office in 2010 to support social enterprises and followed it up with the recent Social Enterprise Promotion Act. The creation of the National Taskforce on Social Impact Investment is another significant step that highlights the Government’s focus on impact investment. The Government also incentivizes social investment through tax reliefs and is planning to establish an investment fund for social enterprises as well as create a new legal form for social enterprises, similar to community interest companies in the United Kingdom.",
"34. The Government of Viet Nam revised its Law on Enterprise in 2014 to provide a legal definition of social enterprise, and the Government promised to encourage, support and promote the development of social enterprises. The vibrant non-governmental organizations and small and medium-sized enterprises in Viet Nam can take advantage of this change and scale-up their enterprises as well as establish new ones to address pressing social issues.",
"35. The Governments of Indonesia and the Philippines are in the process of establishing policies to promote social enterprise in their economies. The new entrepreneurship law in Indonesia has provisions for social enterprises, and in the Philippines, the Poverty Reduction through Social Entrepreneurship (PRESENT) Bill, which is expected to be enacted next year, is evidence of the growing recognition of social enterprise as a valuable source of sustainable development innovation.",
"36. In South Asia, Bangladesh, India and Pakistan are major destinations for impact capital, and their Governments have taken steps to create an innovation ecosystem to support social enterprises. A key objective of the Vision 2025 Plan of the Government of Pakistan is to promote innovation and enterprise. To support this objective, the Government is establishing a Centre for Social Entrepreneurship. In Bangladesh, viewed by many as the birthplace of social enterprise, a policy dialogue on social enterprise, policy and practice was recently held, which resulted in a report to the Government on high-level policy steps that can be adopted to further foster growth in social enterprises.",
"37. In the Pacific, the Government of Australia commissioned the Social Enterprise Development and Investment Fund, a $20 million fund that aims to leverage private sector investment on a one-to-one basis to increase funds available for social enterprises in their seed and growth stages. By allocating management responsibilities to fund managers, it also contributes to capacity-building. Another innovative effort is the Community Development Financial Institutions pilot to improve access to finance for disadvantaged individuals who have been excluded from the financial system. Other steps, such as the establishment of the Office for the Not-for-Profit Sector within the Department of the Prime Minister and Cabinet, demonstrate the Government’s commitment to encouraging social enterprise.",
"38. In Central Asia, the concept of social enterprise is fairly new, however, countries in the region have actively integrated social and environmental impacts in their development agendas. In 2013, the Government of Kazakhstan adopted the Green Economy Concept policy as part of its vision for 2050. The National Innovation Fund Joint Stock Company was succeeded by the National Agency for Technological Development Joint Stock Company with a wider innovation mandate. Governments in Central Asia have demonstrated commitment towards social enterprise by actively engaging with each other and industry experts through events such as the Social Innovation Camp.",
"39. The supportive social enterprise and impact investment policies adopted by Governments in the region are further evidence of their commitment to adopt innovative ways of addressing pressing development challenges and achieving the ambitious Sustainable Development Goals.",
"The Commission’s project",
"40. ESCAP will be launching a project to enhance South-South cooperation for social enterprise and impact investment in the Asia-Pacific region. The project will focus on supporting policymakers to formulate and implement effective policies and strategies focusing on fostering social entrepreneurship and creating an enabling environment for impact investment and measuring progress in these two domains.",
"41. First, high quality research and think pieces will be published focusing on best practices in the region. Second, knowledge products and online learning modules will be developed to support capacity-building activities. These activities will be complemented by high-level regional events.",
"42. The Committee is invited to suggest priority areas for the project. Priority areas for consideration could include:",
"(a) Establishing an intergovernmental network of policymakers with social enterprise and impact investment mandates to foster greater knowledge-sharing;",
"(b) Developing a regulatory and legal framework for social enterprise;",
"(c) Developing an enabling environment for impact investment;",
"(d) Researching effective policies to incentivize corporations to integrate social and environmental targets into their core business models;",
"(e) Developing a framework to measure and value the social innovation economy.",
"VI. Key points for discussion",
"43. The following paragraphs enumerate points for discussion during the Committee session.",
"44. What do member countries see as priorities for regional science, technology and innovation knowledge-sharing and cooperation?",
"(a) Establishing a regional platform for government officials to engage with a diversity of stakeholders in the science, technology and innovation ecosystem (including scientists, technologists, innovators, entrepreneurs, investors and representatives of the private sector, academia and civil society) to effectively discuss, collaborate on and harness science, technology and innovation for inclusive and sustainable development (for example through an Asia-Pacific innovation forum, whose proposed terms of reference are contained in document E/ESCAP/CICTSTI(1)/8);",
"(b) Facilitating knowledge-sharing between subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific as addressed in document E/ESCAP/CICTSTI(1)/9;",
"(c) Negotiating intergovernmental agreements on key science, technology and innovation issues, such as open science policy, people exchange, technology exchange and provisions on science, technology and innovation within trade agreements;",
"(d) Promoting sharing of technical knowledge among countries and providing incentives to promote intercountry technology collaboration and development together with technology trade and transfer;",
"(e) Ensuring regional needs and knowledge are incorporated into global science, technology and innovation initiatives (such as the United Nations Technology Facilitation Mechanism and the Technology Bank).",
"45. What priority issues regarding science, technology and innovation would benefit from intergovernmental agreements?",
"(a) Open science policy to enable greater access to science, technology and innovation research for sustainable development;",
"(b) Policy to enable greater mobility of research and development professionals across the region;",
"(c) Specific science, technology and innovation provisions within trade agreements for innovations and technology that could create positive impacts for society and the environment (such as clean technologies).",
"46. Where are the major gaps in science, technology and innovation research and capacity-building requirements?",
"(a) Best practices for implementing whole-of-government approaches to science, technology and innovation policies and integrating those policies with development strategies;",
"(b) Technology solutions for each of the Sustainable Development Goals;",
"(c) Best practices for effective regional research and development collaborations;",
"(d) Effective strategies for the development of human capital in science, technology and innovation for the Sustainable Development Goals;",
"(e) Effective strategies for fostering innovation for sustainable development by corporations;",
"(f) Best practices for institutional models and funds to support science, technology and innovation;",
"(g) Best practice policies for stimulating entrepreneurship;",
"(h) Innovative financing mechanisms to leverage funding for science, technology and innovation.",
"47. What are the priorities for supporting member States in their support for the development of social enterprises and an enabling environment for impact investment?",
"(a) Establishing an intergovernmental network of policymakers with social enterprise and impact investment mandates to foster greater knowledge-sharing;",
"(b) Developing a regulatory and legal framework for social enterprise;",
"(c) Developing an enabling environment for impact investment;",
"(d) Researching effective policies to incentivize corporations to integrate social and environmental targets into their core business models;",
"(e) Developing a framework to measure and value the social innovation economy.",
"48. What recommendations should be presented to the Commission at its seventy-third session?",
"VII. Next steps",
"49. Next steps are as follows:",
"(a) Draft text for the recommendations to be presented to the Commission at its seventy-third session;",
"(b) Produce a plan of action on science, technology and innovation issues which would benefit from an intergovernmental agreement(s);",
"(c) Implement programmes to support member States’ science, technology and innovation capacity-building and research needs;",
"(d) Follow up on expressions of interest for participation in the ESCAP project on social enterprise and impact investment.",
"[1] United Nations publication, Sales No. E.16.II.F.12. Available from www.unescap.org/resources/harnessing-science-technology-and-innovation-inclusive-and-sustainable-development-asia.",
"[2] Asian Development Bank, Asia SME Finance Monitor 2014 (Manila, 2015), based on an analysis of 20 countries. Available from www.adb.org/sites/default/files/publication/173205/asia-sme-finance-monitor2014.pdf.",
"[3] Monitor Institute, Investing for Social & Environmental Impact: A Design for Catalyzing an Emerging Industry (2009). Available from http://monitorinstitute.com/downloads/what-we-think/impact-investing/Impact_Investing.pdf.",
"[4] Asian Development Bank, Impact Investors in Asia: Characteristics and Preferences for Investing in Social Enterprises in Asia and the Pacific, (Manila, 2011). Available from www.adb.org/publications/impact-investors-asia-characteristics-and-preferences-investing-social-enterprises-asia.",
"[5] United Kingdom of Great Britain and Northern Ireland, Department for International Development, Survey of the Impact Investment Markets 2014: Challenges and Opportunities in Sub-Saharan Africa and South Asia (2015). Available from www.theimpactprogramme.org.uk/wp-content/uploads/2015/08/DFID-Impact-Programme-Market-Survey-Web-20151.pdf.",
"[6] See https://avpn.asia/2016/06/16/building-a-social-economy-in-asia/."
] | E_ESCAP_CICTSTI(1)_7 | [
"Economic and Social Commission for Asia and the Pacific",
"Next steps: developing an agenda for action on science, technology and innovation for sustainable development in Asia and the Pacific",
"Note by the Secretariat",
"The present document provides a summary of the recommendations made in the thematic study entitled Harnessing Science, Technology and Innovation for Inclusive and Sustainable Development in Asia and the Pacific for consideration by member States in their efforts to promote knowledge-sharing and cooperation in science, technology and innovation in the region. The present document also outlines the projects of the Economic and Social Commission for Asia and the Pacific (ESCAP) aimed at strengthening South-South cooperation in the Asia-Pacific region on social enterprise and innovative investment. The Committee on Information and Communication Technologies, Science, Technology and Innovation is invited to consider the priority areas of knowledge-sharing and cooperation in science, technology and innovation in the region and to identify research and capacity-building needs in order to support member States in the effective implementation of science, technology and innovation for sustainable development. The outcome of the Committee ' s deliberations will form the basis for a series of in-depth recommendations and outcomes to be submitted to the Commission at its seventy-third session. Member States were also invited to identify priorities and express their interest in participating in relevant ESCAP projects, thereby strengthening South-South cooperation on social enterprise and innovative investment in the Asia-Pacific region.",
"Introduction",
"Background",
"1. The theme of the seventy-second session of the Economic and Social Commission for Asia and the Pacific (ESCAP) was science, technology and innovation. At the Commission session, a ministerial symposium released the theme study, Harnessing Science, Technology and Innovation for Inclusive and Sustainable Development in Asia and the Pacific. [1] Subsequently, Commission resolution 72/12, entitled “Harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific”, was adopted. In the resolution, the Commission, inter alia, requested the Committee on Information and Communications Technology, Science, Technology and Innovation to consider the recommendations outlined in the thematic study and to submit an improved set of recommendations to the Commission at its seventy-third session.",
"B. Purpose of item 3 of the provisional agenda for the first session of the Commission on Information and Communication Technologies, Science, Technology and Innovation",
"Agenda item 3 is intended to contribute to the discussion on achieving the objectives set out in resolution 72/12 and to build consensus around an inclusive and comprehensive set of recommendations to be submitted to the Commission at its seventy-third session. These include:",
"(a) Prioritization of science, technology and innovation knowledge-sharing and cooperation-related actions in the region (sect. III);",
"(b) Identify the requirements of member States for research and capacity-building in science, technology and innovation (sect. IV).",
"Discussions on agenda item 3 will also seek the views of member States on their priorities in supporting social enterprises and creating an environment conducive to productive investment. Also solicits its interest in participating in the ESCAP project on strengthening South-South cooperation for social enterprise and innovative investment in the Asia-Pacific region (sect. V).",
"II. Harnessing science, technology and innovation for inclusive and sustainable development in Asia and the Pacific",
"4. As amply noted in the various documents, the main means of implementation of the sustainable development goals is the effective use of science, technology and innovation. In assessing the current situation in the Asia-Pacific region, the thematic study highlighted the breadth, diversity and dynamics of the science, technology and innovation agenda in the region. It also highlighted some of the most innovative policies and strategies in the region, as well as examples of best practices and more experimental approaches, which demonstrated the dynamic thinking of Governments in the region. That is why the thematic study presents the potential benefits of regional cooperation around effective practices and related knowledge-sharing.",
"5. The thematic study proposes a conceptual framework for science, technology and innovation, which is bound by the principles of openness, inclusiveness, accountability and collaboration, and which also focuses beyond the economic dimensions of sustainable development and thus its social and environmental dimensions. The study also called on Governments to develop recommendations-based, action-oriented science, technology and innovation plans consistent with national development strategies to achieve the goals of the Sustainable Development Agenda 2030.",
"6. The conceptual framework calls for two normative shifts in policy positions. First, innovative policies on inclusive and sustainable development must go beyond their previous focus on economic competitiveness to cover social justice and environmental protection. Second, the principles of openness and inclusiveness must be integrated into innovation strategies, which would act as an engine of innovation and complement policies aimed at stimulating competition.",
"7. The conceptual framework also highlights five core elements of an effective and efficient innovation system to promote inclusive and sustainable development.",
"8. Visionary leadership. To harness the potential of science, technology and innovation for inclusive and sustainable development, visionary leadership is needed. Leaders should develop visionary action plans inspired by visionary activities; place social and environmental as well as economic tasks at the heart of the strategy; and hold the entire Government accountable for their implementation. All actors should be involved in the innovation system to ensure that the economic, social and environmental dimensions of sustainable development are included in the plan. However, this does not happen naturally. Harnessing science, technology and innovation for inclusive and sustainable development requires determined and deliberate action to ensure a whole-of-government approach.",
"9. Effective institutions. Effective institutions are the basis for STI generation, development and implementation. The institution establishes rules and principles and establishes a basic framework that can guide the behaviour and interaction structure model. The physical and virtual infrastructure together constitute the foundation upon which the knowledge economy is built. A strong regulatory environment, including business law and intellectual property law, would also provide incentives to take the risks necessary for innovation. In order to ensure that no one is left behind, the Government should keep institutions informed of the principles of openness and inclusiveness and provide them with effective means of implementation.",
"10. Stimulating investment in science, technology and innovation. Investment in science, technology and innovation should be pursued and stimulated. Innovators often lack financial resources at critical stages, hindering the industrialization or scaling up of basic research or entrepreneurial activities at an early stage. Future public investment strategies on science, technology and innovation should allocate funds to close the funding gap and thus accelerate the transformation of innovation from basic and applied research to industrialization. Private investors should be encouraged to support science, technology and innovation, and to ensure that research and development expenditures generate outputs that the private sector can leverage for industrialization, and, conversely, that important private sector initiatives receive adequate R&D funding. In this regard, the relationship between government funders and private sector investors should be strengthened. For the effective and efficient use of the types of capital at their disposal (e.g. domestic finance, FDI and donor capital), financial flows should be matched with STI strategies for sustainable development. In addition to policies aimed at increasing investment in science, technology and innovation, social and environmental as well as economic outcomes should be taken into account in the returns. While the concept of innovative investment as an investment that seeks to generate social and environmental values and financial returns is legitimate, it requires strong incentives and political leadership to drive it from the margins to the mainstream.",
"11. Support for citizens. In order to sustain the momentum of science, technology and innovation, Governments should nurture and support their most important resource, the citizenry. While scientists, technologists, innovators and entrepreneurs are seen as traditional sources of innovation, there may be human resources to be developed in groups that are often referred to as “vulnerable” groups or are not sufficiently recognized. Even the best government structures, institutions and funding mechanisms in the world would be meaningless if talented and trained people did not come up with and implement them. Governments should recognize and support neglected groups, including women, as important sources of talent and innovation. Governments should also support the development of digital and innovative skills, as well as the development of problem-solving talent with adaptive, flexible and innovative ideas, in order to foster a future workforce and promote lifelong learning. By supporting and training the local population, Governments can build available human capital at a time of economic and social upheavals that are often associated with new technologies or innovation processes, and to enable all available human capital to function. By providing a supportive and transparent regulatory structure, the great potential of entrepreneurs can be harnessed. Inclusive innovation not only provides innovation to vulnerable groups, but also means empowering them to realize their own innovative potential.",
"12. Open and inclusive innovative knowledge economies. Finally, the promotion of an open and inclusive and innovative knowledge economy will have the potential to increase the effectiveness and scale of science, technology and innovation efforts for sustainable development in the region. In the area of science, technology and innovation, the goal of Agenda 2030 “to keep one person off the team” cannot be achieved without concerted action by countries to promote an open and inclusive and innovative knowledge economy. This problem is particularly acute in the Asia-Pacific region, which has several of the most innovative countries in the world but also covers several of the world ' s most technologically backward countries. Many of the subregional and North-South science, technology and innovation platforms that currently exist are very different but disconnected and therefore do not take full advantage of the region ' s wealth of knowledge and great potential. The Commission on Information and Communication Technologies, Science, Technology and Innovation provides a unique opportunity to identify truly integrated and inclusive ways of sharing knowledge and to demonstrate the diversity and dynamism of science, technology and innovation across the region.",
"III. Prioritization of science, technology and innovation knowledge-sharing and cooperation-related actions in the region",
"13. Taking into account that the Committee is an intergovernmental platform for knowledge-sharing and cooperation, member States are invited to consider how best ESCAP can support the development of an open, inclusive and innovative knowledge economy to promote effective knowledge-sharing and cooperation in science, technology and innovation in the region.",
"Priorities for consideration include:",
"(a) Establish regional platforms for government officials to engage a wide range of stakeholders in science, technology and innovation ecosystems to effectively discuss, collaborate and use these tools for inclusive and sustainable development (i.e., through the Asia-Pacific Forum on Innovation, recommendations on its terms of reference have been made in document E/ESCAP/CICTSI(1)/8);",
"(b) Promoting knowledge-sharing among subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific, as noted in document E/ESCAP/CICTSI(1)/9;",
"(c) Negotiation of relevant intergovernmental agreements on key science, technology and innovation issues in open science policy, humanities exchange, technology exchange and science, technology and innovation provisions in trade agreements;",
"(d) Facilitating the exchange of technical knowledge among countries and providing incentives for technological collaboration and development among countries and trade and transfer of technology;",
"(e) Ensure that the needs and knowledge of the region are integrated into global science, technology and innovation initiatives (e.g., the United Nations technology facilitation mechanism and technology bank).",
"IV. Identification of the requirements of member States for science, technology and innovation research and capacity-building",
"15. Invites member States to identify STI research and capacity-building requirements in order to support the effective implementation of STI for sustainable development. Priorities for consideration include:",
"(a) To identify best practices for the implementation of science, technology and innovation policies and the integration of policies on these topics into development strategies, based on a whole-of-government approach;",
"(b) Research and analysis of technical solutions for each sustainable development goal;",
"(c) Promoting effective research and development collaboration in the region;",
"(d) Development of science, technology and innovation human capital for the implementation of sustainable development goals;",
"(e) Promoting innovation from enterprises for sustainable development;",
"(f) Developing effective institutions and financial resources to support science, technology and innovation;",
"(g) Policies to identify best practices to stimulate entrepreneurship;",
"(h) Harnessing science, technology and innovation finance through innovative financing mechanisms",
"V. Thematic issue: harnessing social entrepreneurship and innovative investment to implement sustainable development goals",
"A. Expanding the traditional philosophy of science, technology and innovation",
"16. Within the United Nations system, organizations such as the United Nations Conference on Trade and Development (UNCTAD), the World Intellectual Property Organization (WIPO) and the United Nations Educational, Scientific and Cultural Organization (UNESCO) have focused on more traditional concepts of science, technology and innovation. For example, the focus of UNCTAD has been on supporting United Nations Member States in developing innovative policies to improve their economic competitiveness, while WIPO and UNESCO have focused on more traditional concepts in measuring science, technology and innovation, such as patent activities and research and development expenditures.",
"17. The challenge of achieving comprehensive innovation is compounded by the fact that the main indicators, such as patent activities and research and development expenditures, do not yet demonstrate all the dimensions of innovation. Data are critical for identifying and understanding the driving forces of “hidden innovation”. The term “hidden innovation” refers to innovative activities that are not reflected in traditional indicators, but it also has the potential to have a positive impact.",
"18. Social entrepreneurship and innovative investment are two emerging innovation concepts in the region that are not yet covered by the traditional science, technology and innovation measurement framework, which makes it possible to broaden the traditional concepts of these topics and to broaden the global understanding of how to measure these tools.",
"19. While the Addis Ababa Agenda for Action of the Third International Conference on Financing for Development contained a strong commitment by member States to promote social innovation, social enterprise and innovative investment were the two main pillars of social innovation, it was well known that countries needed support to implement effective policy and measurement frameworks.",
"This is why more detailed work in these two areas provides a good opportunity to support member States in implementing the relevant commitments in the Addis Ababa Agenda for Action, while complementing more traditional science, technology and innovation in the United Nations system and providing a “think guide” for the forward-looking agenda of science, technology and innovation for sustainable development.",
"B. Potential for social enterprises and productive investment",
"21. Small and medium-sized enterprises (SMEs) are a worldwide source of employment, competition, economic dynamism and innovation, and are particularly important for the Asia-Pacific region, as SMEs in the region accounted for 98 per cent of all enterprises between 2007 and 2012, employing 66 per cent of the labour force within countries, contributing 38 per cent of GDP and 30 per cent of total exports. [2]",
"22. The adoption of the sustainable development goals sent a clear signal to the world ' s economies that social and environmental goals were closely linked to economic development goals. Through SMEs, the private sector can play an important role in internalizing social and environmental impacts into entrepreneurship and investment decisions. It is therefore increasingly important to create an enabling environment for small and medium-sized enterprises in the region, especially social enterprises, which are those that incorporate social and, or environmental tasks, into their core business models.",
"23. The search for access to finance and the creation of economically viable small and medium-sized enterprises are challenging and, given that traditional investment decisions are based solely on business and economic criteria, the challenge will only become more acute when social enterprises simultaneously seek to achieve economic, social or environmental effects. Innovative financing for social enterprises is therefore important to unleash the dynamism and power of innovation, making it possible for the sector to implement Agenda 2030. In this regard, effective investment has become a factor in creating an enabling environment for social enterprises.",
"24. With the growing recognition that the three dimensions of sustainable development are critical to achieving sustainable development goals, the concept of social entrepreneurship and innovative investment in the region has flourished. A number of member countries in the region are developing and implementing social enterprises and innovative investment policies.",
"25. Donors have also directed more resources to these sectors in order to support countries in achieving sustainable development goals. For example, the Government of the United Kingdom of Great Britain and Northern Ireland recently published a policy paper in which it announced a focus on social investment as a core pillar of its overseas development assistance programme.",
"26. ESCAP has the opportunity to support these emerging changes in the social enterprise sector by providing capacity-building to support government officials in implementing effective policies by identifying best practices and promoting these changes in the wider region.",
"C. Emerging changes in the region",
"1. Innovative investments",
"The Monitoring Institute and the Rockefeller Foundation define innovative investments as “the active investment of capital in enterprises and funds to generate social or environmental benefits and, at a minimum, the recovery of nominal principal by investors”. [3] A 2011 Asian Development Bank survey of 70 active investors indicated that more than 50 per cent of investors planned to increase their investments in Asia. [4] This vision has been translated into reality, as described in the United Kingdom Department for International Development (DFID) ' s 2014 Increasing Investment Market Survey. The DFID survey ranked sub-Saharan Africa and South Asia as the largest market for innovative investment activities. [5] The Global Innovation Investment Network, currently the largest and most active industry organization supporting innovative investment, published a global survey of 158 active investors in 2016. The report highlights South Asia and East and South-East Asia as major markets for productive investment, thereby confirming the Asian Development Bank projections and the findings of the Department for International Development. Figure I highlights the distribution of assets by geographical area for 158 respondents. Although more assets are allocated in the United States of America and Latin America, it appears mainly in the form of private debt. The GIN report highlighted that nearly half of the assets managed by private equity investors are located in sub-Saharan Africa and South Asia, followed by East and South-East Asia.",
"Figure I",
"Assets managed by a sample of 158 active investors by region",
"(Number of respondents)",
"[Chuckles]",
"Source: Global Innovation Investment Network, Annual Survey of Active Investors, 2016 (United States dollars) https://thegiin.org/assets/2016%20GIIN%20Anual%20Impact%20Investor%20Survey_Web.pdf.",
"28. GIN also published a report on the South Asia region ' s dynamic investment patterns, which focuses on six South Asian economies. The report highlights the region ' s high levels of capital allocation for impact in the period 2004-2014, particularly in Bangladesh, India and Pakistan (see figure II).",
"Figure II",
"Impact capital allocation in six South Asian countries",
"(Millions of United States dollars)",
"[Chuckles]",
"[Chuckles]",
"Source: Global Creative Investment Network, South Asia Innovative Investment Patterns (New York, 2015), available at https://thegiin.org/knowledge/publication/the-landscape-for-impact-investing-in-south-asia.",
"29. While innovative investment may not be a good idea, it offers a unique solution when it produces positive externalities in job creation, the promotion of skills development, the empowerment of marginalized groups and the provision of environmentally sustainable work practices as important as the direct financial and social impact created by social enterprises.",
"2. Social enterprises",
"30. In the absence of independent policy measures to stimulate the development of social enterprises, the important role of social enterprises has not been recognized in traditional attention to R & D activities, which in the past have been the basis for science, technology and innovation policies implemented by member States. However, some Governments in the region have adopted specific policy interventions and have made significant progress in supporting domestic social enterprises.",
"31. In North-East Asia, the Government of the Republic of Korea announced its Social Enterprise Generation Act in 2007. The Act provides management advice for social entrepreneurship and gives it access to professional services and technical assistance, even rent subsidies and tax breaks. The importance attached by the Republic of Korea to social enterprises is evident in its government policy and has led the Republic of Korea to become a recognized reference point for other countries in the region that are experts in the industry. Korea Social Investment also launched a pilot project on social impact bonds, which is based on child care for children with special needs. In addition, the Seoul Municipality issued a regulation on the procurement of goods and services from social enterprises ($57 million in 2015). This may be the most innovative and critical initiative to promote the growth of social enterprises and to enable investors to achieve investment returns in the sector. The Seoul municipality has also established a socio-economic support centre as an incubator for social enterprises and a social investment fund. These initiatives aimed at encouraging social enterprise development have led to an increase of 353 per cent in the number of social enterprises in Seoul in 2012-2015. [6]",
"32. In South-East Asia, his Government had recently implemented the Social Enterprise Blueprint 2015-2018 to develop the country ' s social enterprise ecosystem. One of the main aims of the initiative is to encourage more social entrepreneurs to emerge who will work through their enterprises to produce environmental and social effects while generating economic benefits. Although social enterprises are a relatively new concept in the country, the positive position of the Government in promoting their development marks an important step forward.",
"33. In recent years, the Thai Government has also been active in the development of its social enterprise sector. It had established the Thailand Social Enterprise Development Office in 2010 to support the development of social enterprises and had recently enacted the Social Enterprise Promotion Act as a follow-up. The establishment of a national task force on socially effective investment was another important initiative by Thailand to highlight the importance that the Government attached to innovative investment. The Government has also reduced tax revenues to stimulate social investment and plans to set up investment funds for social enterprises and to create new forms of companies for social enterprises similar to the United Kingdom Community Public Interest Corporation.",
"34. The Government of Viet Nam amended its Business Law in 2014 to provide a legal definition of social enterprises and is committed to encouraging, supporting and promoting the development of social enterprises. Viet Nam ' s vibrant non-governmental organizations (NGOs) and small and medium-sized enterprises (SMEs) could take advantage of this shift to expand their business size and create new enterprises to respond to pressing social problems.",
"35. The Governments of Indonesia and the Philippines are continuously developing policies to promote the development of domestic social enterprises. Indonesia ' s new Entrepreneurship Act included provisions on social enterprises, while the Philippines Social Entrepreneurship Poverty Reduction Act, which was expected to be enacted next year, demonstrated that social enterprises were increasingly seen as an important source of innovation for sustainable development.",
"36. In South Asia, Bangladesh, India and Pakistan and Bangladesh were major destinations for impact capital, and their Governments had taken initiatives to establish an innovative ecosystem to support the development of social enterprises. A major objective of the Government of Pakistan ' s Vision 2025 is to promote innovation and enterprise development. In support of this objective, the Government has established social entrepreneurship centres. In Bangladesh, which is regarded by many as a place of origin of social enterprises, a policy dialogue on “social enterprises, policies and practices” was recently held, which resulted in a report to the Government on high-level policy measures that could be taken to promote the rapid development of social enterprises.",
"37. In the Pacific, the Australian Government has authorized a total of $20 million in the Social Enterprise Development and Investment Fund to leverage private sector investment on a one-on-one basis to increase funding for the seed period and long term of social enterprises. It also contributes to capacity-building by assigning management responsibilities to fund managers. Other innovations are the Community Development Finance Facility pilot project, which increases access to finance for vulnerable individuals who are excluded from the financial system. Other initiatives such as the establishment of the Office of the Non-Profit Sector within the Prime Minister ' s and Cabinet ' s Ministries illustrate the Government ' s commitment to encourage the development of social enterprises.",
"38. In Central Asia, the concept of social enterprise is relatively new, yet the countries of the region have actively incorporated social and environmental effects into their development agendas. Her Government had adopted a policy on the concept of a green economy in 2013 as part of its vision for 2050. The National Innovation Fund Joint Stock Company was replaced by the National Technology Development Joint Stock Company with a broader mandate for innovation. The Governments of Central Asia have demonstrated their commitment to the development of social enterprises by actively cooperating with each other and with industry experts through activities such as the organization of social innovation camps.",
"39. The supportive social enterprises and innovative investment policies adopted by Governments in the region are further evidence of their commitment to innovative approaches to pressing development challenges and ambitious sustainable development goals.",
"D. Projects implemented by the Commission",
"40. ESCAP will initiate a project to strengthen South-South cooperation on social enterprise and innovative investment in the Asia-Pacific region. The project focuses on supporting policymakers in formulating and implementing effective policies and strategies, on fostering social entrepreneurship and on creating an environment conducive to productive investment and measuring progress in both areas.",
"First, quality studies and “concept papers” highlighting best practices in the region will be published. Second, knowledge products and online learning modules will be developed to support capacity-building activities. These activities will complement high-level events in the region.",
"42. The Commission is requested to propose priorities for the project. Priorities for consideration include:",
"(a) Establishing a network of intergovernmental policymakers with a social enterprise and an enabling investment mandate to contribute to enhanced knowledge-sharing;",
"(b) Establishing a regulatory legal framework for social enterprises;",
"(c) Creating an environment conducive to productive investment;",
"(d) To examine effective policies to stimulate enterprises to integrate social and environmental targets into their core business models;",
"(e) Establishing a framework for measuring and evaluating the social innovation economy.",
"VI. Points for discussion",
"43. The following paragraphs set out the main points of discussion during the Commission session.",
"44. What are the priorities of member States for knowledge sharing and cooperation in science, technology and innovation in the region?",
"(a) Develop a regional platform for government officials to work with a wide range of stakeholders in the science, technology and innovation ecosystem (including scientists, technicians, innovators, entrepreneurs, investors and representatives of the private sector, academia and civil society) to effectively discuss, collaborate and utilize science, technology and innovation for inclusive and sustainable development (for example, the proposed terms of reference are contained in document E/ESCAP/CICTSI(1)/8);",
"(b) Promoting knowledge-sharing among subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific, as noted in document E/ESCAP/CICTSI(1)/9;",
"(c) Negotiate relevant intergovernmental agreements on key issues of science, technology and innovation, such as open science policy, humanities exchange, technology exchange and science, technology and innovation provisions in trade agreements;",
"(d) Facilitating the exchange of technical knowledge among countries and providing incentives for technical cooperation and development among countries, as well as trade and transfer of technology;",
"(e) Ensure that the needs and knowledge of the region are integrated into global science, technology and innovation initiatives (e.g., the United Nations technology facilitation mechanism and technology bank).",
"45. What priority topics in science, technology and innovation would benefit from intergovernmental agreements?",
"(a) Open science policies to promote the increased use of research results in science, technology and innovation for sustainable development;",
"(b) Implement policies to promote further mobility of research and development professionals throughout the region;",
"(c) Specific provisions on science, technology and innovation in the context of innovation and technology trade agreements in order to have positive social and environmental impacts (e.g. clean technologies).",
"46. What are the main gaps in STI research and capacity-building requirements?",
"(a) Best practices in the implementation of science, technology and innovation policies and their integration into development strategies through a whole-of-government approach;",
"(b) Technical solutions for each sustainable development goal;",
"(c) Best practices for effective regional R & D cooperation;",
"(d) Effective strategies for the development of science, technology and innovation human capital for the implementation of sustainable development goals;",
"(e) Effective strategies to promote innovation from enterprises for sustainable development;",
"(f) Best practices on developing institutional models and financing to support science, technology and innovation;",
"(g) Identify best practice policies to stimulate entrepreneurship;",
"(h) Harnessing science, technology and innovation finance through innovative financing mechanisms.",
"What priorities should be identified in supporting member States in supporting the development of social enterprises and creating an environment conducive to productive investment?",
"(a) Establishing a network of intergovernmental policymakers with a social enterprise and an enabling investment mandate to contribute to enhanced knowledge-sharing;",
"(b) Establishing a regulatory legal framework for social enterprises;",
"(c) Creating an environment conducive to productive investment;",
"(d) To examine effective policies to stimulate enterprises to integrate social and environmental targets into their core business models;",
"(e) Establishing a framework for measuring and evaluating the social innovation economy.",
"48. What recommendations should be made to the Commission at its seventy-third session?",
"VII. Next steps",
"49. The following initiatives can be undertaken:",
"(a) To prepare the text of the recommendations to be submitted to the Commission at its seventy-third session;",
"(b) Develop an action plan on science, technology and innovation that will benefit from intergovernmental agreements;",
"(c) Implementation of programmes to support capacity-building in science, technology and innovation in member States and their research needs;",
"(d) Follow-up on expressions of interest in participating in relevant ESCAP projects on social enterprises and innovative investments.",
"[1] 1 United Nations publication, Sales No. Available at www.unescap.org/resources/harness-science-technology-and-innovation-inclusive-and",
"[2] 2 Asian Development Bank, Monitoring SME Financing in Asia 2014 (Manila, 2015) - Based on an analysis of 20 countries, available at www.adb.org/sites/default/files/publication/173205/asia-sme-finance-monitor2014.pdf.",
"[3] 3 Monitoring Institute, Investing in Social and Environmental Impacts: Designing to Catalyse an Emerging Industry (2009). Available at http://monitorinestitute.com/downloads/what-we-think/impact-investing/Inmact_Investing.pdf.",
"[4] 4 Asian Development Bank, “Inventing investors in Asia: characteristics and preferences for investment in social enterprises in Asia and the Pacific”. (Manila, 2011), available at www.adb.org/publications/impact-investors-asia-charactoristics-and-preventions-investing-social-interprisses-asia.",
"[5] 5 Department for International Development of the United Kingdom of Great Britain and Northern Ireland, Launch Investment Market Survey 2014: Challenges and Opportunities for Sub-Saharan Africa and South Asia (2015), available at www.theimpactprogramme.org.uk/wp-content/uploads/2015/08/DFID-Impact-Programme-Market-Survey-Web-20151.pdf.",
"[6] See http://avpn.asia/2016/06/16/building-a-social-economy-in-asia/."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目2(a) \n信息和通信技术的政策议题：努力建设亚太信息高速公路",
"努力建设亚太信息高速公路",
"秘书处的说明",
"内容摘要 亚洲及太平洋经济社会委员会(亚太经社会)在其第71/10号决议中，决定设立亚洲及太平洋信息高速公路不限成员名额工作组。工作组第一和第二次会议分别于2015和2016年举行。工作组第一次会议商定将制订亚太信息高速公路总体计划及区域合作框架文件，成立了指导小组从事这一工作，之后于2016年8月，工作组第二次会议制订并审查了《总体计划》及《区域合作框架文件》。 为支助努力实现可持续发展目标及信息社会世界峰会目标，亚太信息高速公路作为一项战略性区域互联互通举措，旨在刺激数字经济、缩小数字鸿沟并支持各种区域互联互通举措，如贸易、交通运输及社会经济应用，同时鼓励创新。其重要意义均得到各国政府及私营部门、民间社会和研究机构等等跨区域多个利益攸关方的认可。 \n本文件概述了根据第71/10号决议采取的主要行动，提出今后工作建议并突出谈到供信息和通信技术，科学、技术与创新委员会审议的议题。",
"一．导言",
"1. 信息和通信技术、尤其是宽带技术已越来越成为消除实体障碍、克服资金缺乏和基础设施欠缺以及世界范围获取信息、知识和服务的一种替代手段，而且在某些情况下已成为具有效率和效力的解决方案。与此同时，信通技术作为元基础设施、扩大数字经济的增长产业基础发挥着多种战略作用，而且更为重要的是，作为一种重要的推动发展的手段为努力实现可持续发展目标作出贡献。",
"2. 信通技术是推动可持续发展的基础，同时作为一种增长部门促进经济增长。例如，互联网已经改变了我们的生活方式，提供了与世界上最为遥远地区的瞬间联通，并借助光缆、无线网络或卫星，以多种形式和语文传送数据、信息和知识。信通技术具有极为广泛的用途，已经渗透到我们生活的方方面面，促成每天上万亿美元的金融交易，将天气预报与农业生产和灾害管理相联通，掌管智能交通运输，控制瘟疫疾病，推动气候变化适应并促进新企业、甚至新产业。有了物联网以及云计算，各种设备将相互联通并传输数据，这就为大量的数据收集和分析提供了前所未有的机会，同时为世界各地提供信通技术能力。",
"3. 此外，信通技术驱动的金融、交通运输及贸易便利化基础设施，是本区域鼓励创新和开发包容的数字经济的关键所在。宽带驱动的各种技术，如智能电网、智能交通运输系统、一体化水管理系统及单一窗口，都是其中的部分效益，它们将驱动经济所有部门实现增长。这一新出现的基础设施以宽带网络为基础，协助物品、服务、人员及货币在各国间流动并因此成为新兴数字经济的组成部分。",
"4. 互联网发挥的重要作用还在于使政府服务现代化并改善公共管理、公民及企事业之间发生互动并实行问责的质量，同时提高效率、效力及透明度。2016年5月，哥本哈根共识中心发表了一个项目报告谈到孟加拉国多种发展干预行为的成本效益分析结果。[1] 报告发现，在70多项发展活动中，成本效益最好的发展干预行动都与信通技术有关：电子采购(每花费1美元可获得663美元的效益)，其次是使土地档案数字化(每1美元为619美元)。联盟数字中心提供的服务以及孟加拉国的宽带扩展也列在发挥了积极效益之列。如果按照区域层面分列，其发展效益是巨大的。这些只是总体信通技术及具体宽带互联网所具备的部分潜在效益，它们将使本区域人民生活发生明显变化。",
"5. 在此背景下，信通技术已崛起成为帮助实现发展的不可缺少的工具，它有助于并将加快实现可持续发展。与此同时，可持续发展目标包含与信通技术有着直接或间接关系的小目标。小目标9.1(发展优质、可靠、可持续和有韧性的基础设施，包括区域和跨界基础设施，以支持经济发展和促进人类福祉，重点做到所有人都可以公平地使用基础设施，并负担得起)，以及执行手段9c(大幅增加信息和通信技术的普及度，力争最不发达国家到2020年时能以低廉的价格为所有人提供互联网服务)，这些是直接涉及到信通技术的部分小目标。[2]",
"6. 信通技术对可持续发展目标其他小目标的间接贡献有多种形式，包括有助于加快发展的各种应用及举措。其中一种应用就是移动货币，它正在改变向穷人提供金融服务的途径，同时不仅向中等收入国家(如菲律宾)、并且向本区域其他地方扩展服务。移动货币及移动银行服务作为一种新兴工具，以更低的费用、向更为广泛的人口便利提供金融交易，不仅是在国家境内而且跨越国境，从而帮助实现金融包容。",
"7. 正如秘书处在其为2016年5月经社会第七十二届会议编写的“亚太信息高速公路：促进包容的和无缝连接的互联互通”的说明、[3] 以及在本说明的以下章节中所突出强调的，随着移动设备和互联互通的迅速扩张，信通技术促进发展的局面自从信息和通信技术委员会2014年举行上届会议以来已大为改观。世界经济论坛2016年出版了一份报告突出谈到：(a)在新型技术和商业模式的基础上发生的数据革命改变了创新的性质；(b)公司需要持续创新；(c)企业和政府尚未充分利用数字机遇；(d)新型数字经济需要在治理及监管方面进行创新。[4] 有鉴于此，论坛的2016年网络就绪指数将新加坡排名为世界第一，其次在亚太经社会区域是日本(10)、中国香港(12)、大韩民国(13)、新西兰(17)以及澳大利亚(18)。",
"8. 本说明旨在探讨本区域利用亚太信息高速公路开发廉价可靠的宽带服务方面取得的进展，尤其是在实现可持续发展目标的大目标范围内取得的进展。其中还分析了亚洲及太平洋正在兴起的信通技术趋势以及数字鸿沟的特点所在。",
"二．努力建设亚太信息高速公路所取得的进展",
"9. 成员国在2013年经社会第69/10号决议中认识到，需要促进交流信通技术基础设施开发方面相关的最佳实践和经验，包括深入分析可能阻碍努力以无缝连接方式在整个区域同步部署信通技术基础设施方面的政策和监管障碍。",
"10. 此外，经社会在其第71/10号决议中决定设立亚洲信息高速公路不限成员名额工作组，以便商定原则和规范并制订总体计划，其中涵盖亚太信息高速公路的政策和技术内容，并且制订一项区域合作框架，同时决定应考虑修订《泛亚铁路网政府间协定》以及《亚洲公路网政府间协定》。经社会进一步要求秘书处推动分享信通技术用于灾害风险管理及电子抗灾能力方面的良好实践及经验教训，支持工作组开展工作，从事研究和分析，与国际和区域组织建立伙伴关系和开展协作以及加强发挥跨部门协同增效。",
"11. 因此，工作组第一次会议于2015年9月1日和2日在大韩民国仁川举行。[5] 19个成员国以及来自私营部门、民间社会及智囊团的代表参加会议，工作组在会上决定：[6]",
"(a) 就亚太信息高速公路的四大支柱制定一项涵盖长期愿景、目标、具体活动及里程碑的总体计划；",
"(b) 起草一项涵盖四大支柱的亚太信息高速公路区域合作框架；",
"(c) 商定自身结构及运作的相关内容。",
"三．亚洲信息高速公路工作组及指导小组开展的活动以及相关活动",
"1. 随后，根据工作组会议的决定设立了亚太信息高速公路指导小组。[7] 指导小组的成员由具备政策及技术专长的多利益攸关方代表组成，其主要目的在于起草亚太信息高速公路总体计划及区域合作框架文件，其中收入上述各种要求。",
"2. 指导小组从2016年6月开始在线讨论总体计划及区域合作框架文件，由大韩民国国家信息社会局负责牵头。其成果文件提交给于2016年8月29日和30日在中国举行的工作组第二次会议。[8] 会议同时核可了亚太信息高速公路总体计划及亚太信息高速公路区域合作框架文件，[9] 并且讨论了将提交给信息和通信技术，科学、技术与创新委员会第一届会议的各项建议。",
"3. 为支助扩大与多个利益攸关方的伙伴关系并开展协作，举办了亚太信息高速公路私营部门磋商会议，参加会议的有本区域主要电信公司、智囊团、研究机构及金融机构，如国际金融公司。[10] 会议有助于更深入地了解并探讨私营部门所面临的挑战和机遇，从而确保其观点将收入亚太信息高速公路的设计中。",
"15. 此外，秘书处与国际电信联盟及亚太地区电信组织协作，于2015年12月15日举行信息和通信技术区域机构间工作组第十九次会议。[11] 作为信通技术领域开展机构间协调的唯一区域平台，并作为减少灾害风险委员会第四届会议讨论工作的后续行动，[12] 会议重点在于信通技术用于减少灾害风险这一新兴话题，以及各个机构如何开展合作，协同努力并取得更好的发展成果。",
"16. 机构间会议期间提出的举措之一是亚太灾害风险管理及信通技术网关，涉及各机构如何在线有系统地分享信息和举措。[13] 从那以后，为了遵循联合国信通技术政策，该网关一直得到更新和升级，增加了在线社区的特点。它的目的在于向政策制订者及相关利益攸关方提供一站式门户，供应多种多样的资源和工具，以推动亚洲及太平洋信通技术促进发展和减少灾害风险，同时为政策和决定制订者以及各个伙伴开展讨论和对话提供空间，以此推进亚太信息高速公路。",
"四．深入了解亚太信息高速公路的四大支柱",
"17. 作为区域互联互通的一大支柱，亚太信息高速公路举措旨在推动开发无缝区域宽带网络，从而改善价格、可靠性、复原能力及涵盖范围，并以此解决造成数字鸿沟的原因、开发互联网生态系统，支助实施可持续发展目标并刺激亚洲及太平洋数字经济。正如秘书处为2016年5月经社会第七十二届会议编写的说明所指出，³ 亚太信息高速公路围绕四大支柱而设计：(a)加强区域宽带基础设施；(b)设立区域互联网流量和网络管理系统和政策；(c)提高信通技术基础设施复原能力；(d)提供包容的宽带互联网接入。",
"18. 秘书处与本区域主要智囊团及研究机构建立伙伴关系，围绕亚太信息高速公路的四大支柱开展研究分析工作，以深化了解新出现的趋势政策、监管和技术差距、机会及条件。其中一些报告已收入秘书处为经社会第七十二届会议编写的说明之中，³ 而其他研究和分析结果放到了亚太经社会网址上。[14]",
"五. 信息和通信技术状况：亚洲及太平洋数字鸿沟的主要特点",
"19. 尽管本区域一些先进经济体取得了重大进展，数字鸿沟的性质及范围业已改变。如果不加以解决，先进经济体与发展中经济体之间的差距将导致信通技术接入及能力的差距扩大，最终影响到发展机遇，这是信通技术作为元基础设施及推动发展手段的根本性质所决定的。有鉴于此，亚太经社会区域不断扩大的数字鸿沟以及对于提供廉价、可靠及大范围的宽带服务的需求，都应作为紧迫的优先事项予以关注。",
"20. 秘书处采用国际电信联盟提供的2015年数据，最近更新了本区域数字鸿沟的主要特点及特征的分析结果，现简介如下。",
"A． 超过半数的全球固定宽带用户",
"21. 历史上头一次，全球固定宽带用户中超过52%来自亚太经社会成员国，其次是欧洲(21.9%)及北美(14.1%)，这是国际电信联盟提供的最新数据。它表明与2005相比数目急增，当时亚太经社会用户为全球固定宽带总用户数量的38.1%，其次是欧洲(28.6%)和北美(26.5%)(见图一)。",
"图一",
"2005年及2015年全球固定宽带用户",
"(百分比)",
"[] []",
"资料来源：亚太经社会制作，资料来自国际电信联盟，世界电信/信通技术2016年指标数据库，第20版/2016年6月。见www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx(2016年7月检索)。",
"B． 在固定宽带涵盖范围方面落后",
"22. 然而，如果按人口加权计算，亚太经社会区域每100居民使用固定宽带的用户低于拉美及加勒比区域，更远远低于欧洲及北美，后者为每100居民有超过25个用户，而2015年的世界平均人数为11.2(见图二)。",
"23. 因此，亚洲及太平洋尽管固定宽带用户总数增加，其增长相对缓慢。",
"图二",
"2000-2015年固定宽带用户(平均)",
"(每100居民)",
"[]",
"资料来源：由亚太经社会制作，资料来自国际电信联盟，世界电信/信通技术2016年指标数据库，第20版/2016年6月。见www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx(2016年7月检索)。",
"C． 固定宽带用户：东亚和东北亚为75%，中国是驱动力[15]",
"24. 如果按亚太经社会次区域进行分析，可以看出2015年固定宽带用户总体数目主要来自东亚和东北亚(75%)，其次是南亚和东南亚(10%)、北亚和中亚(8%)、东南亚(6%)以及太平洋(1%)。2014年东亚和东北亚为69%，其次是东南亚(11%)、南亚和西南亚(10%)、北亚和中亚(8%)以及太平洋(2%)，显示出东亚和东北亚集中加剧。如果进一步按国家分列固定宽带用户的总数，这就显示北亚和中亚的强劲表现的动力来自中国。实际上，2015年超过半数的宽带用户在中国。中国的宽带用户增长过去十年稳步上升(见图三)。",
"图三",
"2005-2015年亚太经社会头五名国家及其他国家占有固定宽带用户总数的比例",
"(百分比)",
"[]",
"资料来源：由亚太经社会制作，资料来自国际电信联盟，世界电信/信通技术2016年指标数据库，第20版/2016年6月。见www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (2016年7月检索)。",
"说明：由于缺乏数据，2010年菲律宾的用户数目取自2009年及2011年之间的平均值。",
"25. 固定宽带用户的增加按不同收入水平国家而呈现不同模式。中高收入经济体2004年以来用户最多(受中国的增长所驱动)并且是本区域增长最快的国家群体。高收入经济体增长稳定但较为缓慢，而中低收入经济体2009年以来增长加快。最为令人担心的情况在于低收入经济体的固定宽带用户总数缺乏进展，进一步突出显示了国家间的数字鸿沟(见图四)。",
"图四",
"2000-2015年按收入水平分列亚太经社会经济体固定宽带用户",
"(百万)",
"[]",
"资料来源：由亚太经社会制作，资料来自国际电信联盟，世界电信/信通技术2016年指标数据库，第20版/2016年6月。见www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx。",
"说明：低收入经济体由于数值极低(60万及更低)而没有在图上显示。",
"26. 固定宽带用户的总数是个非常重要的指标，如果考虑到市场规模以及商业机会的话。假如某个国家的固定宽带涵盖范围达到50%，但是其宽带用户总数只为1万，那么其市场仍然有限；然而，从社会及数字包容的角度来看，对某个社会而言，每100名居民中的宽带用户数量是更为重要的指标。",
"D． 高收入国家数字包容程度更高",
"27. 亚太经社会的高收入经济体过去几年里增长稳定，其增长率只有中高收入经济体可与其媲美。然而，除非其他收入群体通过有针对性的政策干预而加快宽带扩展，否则它们与高收入国家之间的差距按照现有增长模式来看就不太可能得到缩小(见图五)。",
"图五",
"2000-2015年按收入水平分列亚太经社会经济体固定宽带用户(平均)",
"(每100居民)",
"[]",
"资料来源：由亚太经社会制作，资料来自国际电信联盟，世界电信/信通技术2016年指标数据库，第20版/2016年6月。见www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (2016年7月检索)。",
"E． 固定宽带增长扩展到新兴国家，尽管速度不快",
"28. 在国家层面，近年来亚太经社会成员国之间固定宽带联通业绩不尽相同。图六对2005年到2015年之间每100居民的固定宽带用户进行比较。嵌入图是主图左下角内容的放大显示。第一组国家(大韩民国、中国香港、日本、新加坡、澳大利亚、新西兰及中国澳门)2005年表现良好，而且2015年持续大幅度改观。第二组国家正迅速赶上并且近年来明显改善，它们包括菲律宾、阿塞拜疆、俄罗斯联邦、法属波利尼西亚、哈萨克斯坦及格鲁吉亚等。最后一组国家在上述两个年份进展都最为缓慢。在采取切实有效的政策和监管措施及投资战略、从而促成固定宽带迅速扩展方面，第二组国家或许可提供许多值得借鉴之处。",
"图六",
"2005及2015年固定宽带用户(平均)",
"(每100居民)",
"[]",
"资料来源：由亚太经社会制作，资料来自国际电信联盟，世界电信/信通技术2016年指标数据库，第20版/2016年6月。见www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx(2016年7月检索)。",
"F． 在线服务支助社会经济发展并为信通技术基础设施创造需求",
"29. 在线内容及服务、尤其是由各国政府出面提供的在线内容及服务，预期可支助实现可持续发展目标并创造对信通技术基础设施的需求，它反过来将促使发起更多的服务和应用，从而创造良性循环。一些亚太经社会国家在政府出面提供在线服务方面做得很好。然而，根据《2014年联合国电子政务调查报告》，亚太经社会成员国在开发在线服务与开发基础设施方面其增长模式不尽相同。[16]",
"30. 根据现有数据按次区域对亚太经社会成员进行分列统计(见图七)，可以看出哈萨克斯坦(北亚和中亚)在2008-2014年期间推动在线服务及信通技术基础设施两者方面均取得最大进步。在两方面都取得良好业绩的其他亚太经社会国家包括俄罗斯联邦、亚美尼亚、格鲁吉亚及乌兹别克斯坦。",
"31. 就南亚和西南亚而言，斯里兰卡、土耳其、印度以及伊朗伊斯兰共和国在2008-2014年期间的电信基础设施及在线服务都取得良好进展。其他国家主要是在电信基础设施方面取得良好进展。",
"32. 在东南亚，新加坡的在线服务及电信基础设施都取得了非常卓著的成绩。至于太平洋发展中国家(澳大利亚和新西兰在两方面都取得良好进展)，2008-2014年期间斐济、汤加、基里巴斯、马绍尔群岛及密克罗尼西亚联邦在开发在线服务以及通信基础设施方面进展良好。",
"图七",
"2008及2014年亚太经社会四个次区域的在线服务内容与电信基础设施比较",
"[] [] \n [] []",
"资料来源：亚太经社会制作，资料来自《2014年联合国电子政务概览：电子政务促进我们希望的未来》(联合国出版物，出售品编号14.II.H.1)见 https://publicadministration.un.org/egovkb/en-us/Reports/UN-E-Government-Survey-2014(2016年4月检索)。",
"说明：东亚和东北亚次区域因可用数据有限而未列其中。",
"G． 监管质量与采用固定宽带之间的紧密关联",
"33. 部分国家进展缓慢的可能共同因素之一在于监管质量状况。认为监管较差、难以推动企业发展，这与信通技术联通程度偏低(固定宽带涵盖有限)有着直接的关系，反过来也是如此，在亚太经社会国家以及在世界其他国家都是这种状况(见图八)。",
"图八",
"2014年监管质量印象与固定宽带联通的情况",
"[]",
"资料来源：亚太经社会制作，资料来自：(a)国际电信联盟、世界电信/信通技术指标2016年数据库，第20版/2016年6月(见：www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx；2016年7月检索)；(b)世界银行、世界发展指数，世界数据库(见：http://databank.worldbank.org/data/reports.aspx?source=world-development-indicators；2016年4月检索)。",
"说明：监管质量估算范围从-2(监管质量低下)到+2(监管质量上乘)。",
"H． 价格高昂是阻碍采用固定宽带的重大制约",
"34. 在中亚和南亚以及高加索地区，价格低廉的接入是推动消费者及企业采用固定宽带的关键因素之一。根据最近一项研究，[17] 在所调查的10个国家中有2个(阿富汗和塔吉克斯坦)，其固定宽带的费用按购买力平价计算超出个人收入四分之一(见表1)。这种高昂的费用因此意味着绝大多数人口无法承受宽带费用。在另外3个国家(土库曼斯坦、乌兹别克斯坦和巴基斯坦)，该研究表明固定宽带接入的价格按照宽带委员会的定义属于昂贵(按购买力平价占有个人收入超过5%)。",
"表1",
"中亚及南亚固定宽带服务承受能力状况",
"国家\t每月订购(美元)\t费用(占人均国内总产值比例)\t费用：(按购买力平价计算占人均国内总产值比例)\t评估情况\n 阿富汗 69.00 123.6 42.2 无法承受 \n 亚美尼亚 8.77 2.8 1.2 可以承受 \n 阿塞拜疆 9.50 1.5 0.7 可以承受 \n 格鲁吉亚 8.95^(a) 2.9 1.4 可以承受 \n 哈萨克斯坦 20.60^(b) 2.1 1.1 可以承受 \n 吉尔吉斯 5.83 5.6 2.2 适度 \n 巴基斯坦 29.40^(c) 25.0 6.9 昂贵 \n 塔吉克斯坦 58.44 64.9 26.4 无法承受 \n土库曼斯坦^(d)\t171.40^(e)\t25.6\t14.2\t昂贵\n 乌兹别克斯坦 37.50 21.5 7.7 昂贵 资料来源：亚洲开发银行、亚洲及太平洋经济社会委员会以及互联网社会组织，《中亚、南亚、高加索及其他地区释放互联网潜力》(2015年)。见：www.unescap.org/resources/unleashing-potential-internet-central-asia-south-asia-caucasus-and-beyond。 ^(a)每秒2兆；无上限。 ^(b)每秒4兆；无上限。 ^(c)每秒4兆；无上限。 ^(d)土库曼斯坦的月租计划为38美元(每秒每兆)，但每月上限为400兆，超额使用费为每兆0.03美元。 \n^(e)每秒512千比特；无上限。",
"35. 表内所有属于无法承受宽带服务费或是宽带服务费昂贵的国家均列在采用固定宽带不到2%的20个国家中。",
"36. 在东南亚，亚太经社会于2015年对东南亚国家联盟(东盟)的成员国的宽带网络、差距及机会进行研究。[18] 缺乏多样化信通技术联通降低了竞争力并增加利用海底电缆即其他方式进入全球网络的成本。上述研究发现互联网过境联通的成本不尽相同，显示出每个东盟国家宽带服务费用的高低、是否可承受负担的情况(见表2)。",
"表2",
"东盟国家互联网过境联通的费用",
"(美元；按月、按每秒每兆计算)",
"国家 费用 \n 柬埔寨 100 \n 印度尼西亚 60/70 - >100 \n 老挝人民民主共和国 100 \n 马来西亚 25-30^(a) \n 缅甸 >100 \n 菲律宾 80 \n 新加坡 <10^(a) \n 泰国 80 \n 越南 70",
"资料来源：亚太经社会及大韩民国信息社会组织，“东盟次区域关于亚太信息高速公路的可行性前期研究：形成概念、国际流量及质量分析、网络拓扑设计及执行模式”。(2016年)。见：www.unescap.org/resources/pre-feasibility-study-asia-pacific-information-superhighway-asean-sub-region。",
"^(a) 如果批量购买。",
"I． 亚太经社会区域主要移动宽带扩展情况",
"37. 信通技术联通的另一个重要指标在于采用移动宽带。亚太经社会区域移动宽带一直领先扩展增长并占有全球移动宽带用户的大多数，其次是欧洲及北美(见图九)。",
"图九",
"2007-2015年按主要区域分列全球移动宽带经常用户总数",
"(百万)",
"[]",
"资料来源：亚太经社会制作，资料来自：国际电信联盟、世界电信/信通技术指标数据库(2016年)，第20版/2016年6月。见：www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx；(2016年7月检索)。",
"38. 中国是亚太经社会各国中移动宽带经常用户的最大市场，拥有约7.85亿用户，其次是日本(1.6亿)及印度(1.2亿)。亚太经社会各国移动宽带用户的扩展有着类似的增长模式，即使是按照经济群体(最不发达国家、内陆发展中国家及小岛屿发展中国家)进行分列也是如此(见图十)，这就表明内陆或小岛屿国家所面临的困境或许并未影响到移动宽带服务的扩展，反而倒是收入水平及监管质量等其他因素在作祟。全球范围内，发达经济体移动宽带用户要比发展中经济体要高出几乎四倍。",
"图十",
"亚太经社会区域总体以及按国家群体分列平均移动宽带用户",
"(每100居民)",
"[]",
"资料来源：亚太经社会制作，资料来自国际电信联盟、世界电信/信通技术指标数据库(2016年)，第20版/2016年6月。见：www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx；(2016年7月检索)。",
"39. 移动宽带主要用于娱乐目的。根据特别移动协会2015年对新兴亚洲市场的互联网运营商进行分析的一份报告(见图十一)显示，移动应用用于农业、教育及就业目的的情况不多见。[19] 因此，扩大宣传生产性服务及教育产品(如移动农业、移动教育)对帮助用户了解移动互联网服务并从中受益非常重要。",
"图十一",
"2015年选定亚太经社会国家智能手机活动情况",
"[]",
"资料来源：编自特别移动联盟资料(2015年)：http://www.gsma.com/mobilefordevelopment/programme/connected-society/mobile-internet-usage-challenges-in-asia-awareness-literacy-and-local-content/(2016年4月检索)。",
"40. 概括来说，本章节探讨了亚洲及太平洋信通技术互联互通的趋势。固定宽带趋势显示，国家间宽带鸿沟的确正在扩大，尽管移动宽带在各个收入层面显示出稳定增长。鉴于移动宽带本身并不足以促成未来数字经济及数字社会的发展，应更多注意如何开发固定宽带网络并加强区域互联互通发、从而充分受益于信通技术。人们发现，监管质量及可负担得起的价格影响到本区域的宽带使用率。",
"41. 在此方面，亚太信息高速公路不失为一项重要的区域举措，旨在确保固定及移动宽带发展能够处理上述鸿沟并支持亚洲及太平洋努力实现包容和可持续的发展。",
"六．结论",
"42. 这些研究结果展示了亚洲及太平洋信通技术发展的具体景观及其数字鸿沟的性质所在。虽然整个区域出现了移动宽带的迅速扩展，但它不一定被用于社会经济发展。固定宽带的巨大增长主要来自于中国，而整个区域的增长模式不尽相同；低收入国家增长最慢，而一些国家主要集中于电信接入而不是提供服务。价格承受能力及监管质量继续构成严峻挑战，对那些宽带增长缓慢的国家尤其如此。",
"43. 考虑到上述趋势，亚太信息高速公路需要首先处理的根本性挑战在于在整个区域提供可负担得起、具有包容性的宽带服务。鉴于互联网及其支撑宽带网络其本质就是跨境并相互联通，要改善价格承受能力、服务范围、可靠性以及韧性，就要各国开展合作，这正是秘书处为经社会第七十二届会议编写的说明[20] 以及秘书处提供的其他技术材料都提到的内容。亚太信息高速公路总体计划以及亚太信息高速公路区域合作框架文件列出了各种进程、机制及活动，其目的在于实现无缝区域宽带联通的愿景以及执行可持续发展目标及信息社会世界峰会的目标。",
"七．供委员会审议的问题",
"44. 如不处理日益扩大以及正在出现的数字鸿沟就会在今后年代遏制发展机遇并扩大发展差距，因为信通技术属于元基础设施，是实现数字经济的增长产业基础，也是实现发展的重要工具。认识到这一挑战，经社会在其第71/10号决议中设立了亚太信息高速公路不限成员名额工作组，并要求秘书处向经社会第七十三届会议报告该决议的执行情况。",
"45. 在此方面，委员会不妨考虑商定以下内容：",
"a. 认识到处理不断扩大的数字鸿沟、开发区域宽带基础设施和服务极为重要，委员会不妨考虑在经社会第七十三届会议之后继续支持亚太信息高速公路；",
"b. 委员会不妨考虑核可本说明中概述的不限成员名额工作组第一和第二次会议的成果；",
"c. 委员会不妨考虑核可《亚太信息高速公路总体计划》及《亚太信息高速公路区域合作框架文件》；[21]",
"d. 在《总体计划》及《区域合作框架文件》的讨论和制订工作圆满结束之后，根据区域合作框架文件，不限成员名额工作组将转变为一个咨询小组，负责监督实施工作并向秘书处及执行伙伴提供咨询和指导；",
"e. 按照区域合作框架文件、咨询小组及亚太经社会成员国的指导，秘书处将继续扩大与多个国际和区域组织在执行总体计划方面的伙伴关系及相互协作；",
"f. 秘书处将继续在区域层面推动开展机构间协作并确保各机构间协调工作并发挥协同增效，同时深入研究和分析亚太信息高速公路的政策和技术问题；",
"g. 秘书处、成员国及各个伙伴将确保通过亚太信息高速公路实现互联互通收益，并且与努力实现可持续发展目标以及信息社会世界峰会目标相挂钩；",
"h. 成员国、伙伴及次区域组织将积极鼓励私营部门、学术界和智囊团等多个利益攸关方接触和参与，并参加执行总体计划以及咨询小组的工作；",
"i. 本次委员会会议的建议将提交经社会第七十三届会议审议并作出决定，随后将根据经核准的总体计划及区域合作框架文件启动亚太信息高速公路。",
"[1] See a summary of the project at www.economist.com/news/finance-and-economics/21698302-ambitious-attempt-work-out-best-use-scarce-resources-how-spend-it",
"[2] 关于信通技术相关目标的详细介绍及其与信息社会世界峰会行动方针的联系，可见秘书处关于信息社会世界峰会行动方针落实情况区域审评的说明(E/ESCAP/CICSTI(1)/4)。",
"[3] E/ESCAP/72/17。",
"[4] 世界经济论坛，《2016年全球信息技术报告：数字经济的创新》(日内瓦，2016年)。可查阅：www.weforum.org/reports/the-global-information-technology-report-2016。",
"[5] 见：www.unescap.org/events/first-meeting-working-group-asia-pacific-information-superhighway。",
"[6] 见：www.unescap.org/sites/default/files/Outcome%20Document%20Sept%202015.pdf。",
"[7] 见：www.unescap.org/sites/default/files/Ap-IS%20SG%20ToR.pdf。",
"[8] 见：www.unescap.org/events/second-session-working-group-asia-pacific-information-superhighway。",
"[9] E/ESCAPCICTSTI(1)/2 及 E/ESCAP/CICTSTI(1)/3。",
"[10] 见：www.unescap.org/events/asia-pacific-information-superhighway-ap-private-sector-consultative-meeting。",
"[11] 见：www.unescap.org/events/19th-meeting-regional-interagency-working-group-iwg-information-and-communication。",
"[12] 见：www.unescap.org/events/committee-disaster-risk-reduction-fourth-session。",
"[13] 见：http://drrgateway.net/。",
"[14] 见信通技术用于电子复原能力、交通运输及可持续发展的相关文件，www.unescap.org/resources。",
"[15] 东亚及东北亚次区域包括：中国、朝鲜民主主义人民共和国、中国香港、日本、中国澳门、蒙古、大韩民国及俄罗斯联邦。",
"[16] 《2014年联合国电子政务调查报告：电子政务促进我们希望的未来》(联合国出版物，出售品编号14.II.H.1)。可查阅：https://publicadministration.un.org/egovkb/en-us/Reports/UN-E-Government-Survey-2014。",
"[17] 亚洲开发银行，亚洲及太平洋经济社会委员会以及互联网社会组织，《中亚、南亚、高加索及其他地区释放互联网的潜力》(2015年)。可查阅：www.unescap.org/resources/unleashing-potential-internet-central-asia-south-asia-caucasus-and-beyond。",
"[18] 亚洲及太平洋经济社会委员会以及大韩民国国家信息社会组织，“东盟次区域关于亚太信息高速公路的可行性前期研究报告：形成要领、国际流量及质量分析、网络拓扑设计及执行模式”(2016年)。可查阅：www.unescap.org/resources/pre-feasibility-study-asia-pacific-information-superhighway-asean-sub-region。",
"[19] 特别移动联盟情报，“分析报告：亚洲移动互联网使用面临的挑战；了解情况、识字率及当地内容”(伦敦，2015年)。可查阅：www.gsma.com/mobilefordevelopment/wp-content/uploads/2015/07/150709-asia-local-content-final.pdf。",
"[20] E/ESCAP/72/17。",
"[21] E/ESCAP/CICTSTI(1)/2及E/ESCAP/CICTSTI(1)/3。"
] | [
"Towards the Asia-Pacific information superhighway",
"Note by the secretariat",
"Summary The Economic and Social Commission for Asia and the Pacific(ESCAP), in resolution 71/10, decided to create the open-endedWorking Group on the Asia-Pacific Information Superhighway. The 1stand 2nd meetings of the Working Group were held in 2015 and 2016respectively. At its 1st meeting, the Working Group agreed that amaster plan for the Asia-Pacific information superhighway andregional cooperation framework document would be developed. TheSteering Group was formed to carry out that task, and the MasterPlan and Regional Cooperation Framework Document were developed andreviewed at the 2nd meeting of the Working Group, in August 2016. In support of efforts to achieve the Sustainable Development Goalsand the goals of the World Summit on the Information Society, theAsia-Pacific information superhighway is a strategic regionalconnectivity initiative to stimulate the digital economy, narrowthe digital divide and support various regional connectivityinitiatives, such as trade and transport and socioeconomicapplications, while encouraging innovation. The importance has beenrecognized not only by Governments but also by variousstakeholders, such as the private sector, civil society andresearch institutes across the region. \nThis document summarizes the main activities undertaken inaccordance with resolution 71/10, proposes the way forward andhighlights issues for consideration by the Committee on Informationand Communications Technology, Science, Technology and Innovation.",
"I. Introduction",
"1. Information and communications technology (ICT), in particular broadband technology, has increasingly been seen as an alternative, and in some cases an efficient and effective solution, to overcoming physical barriers, lack of resources and infrastructure and access to information, knowledge and services worldwide. At the same time, ICT plays multiple strategic roles as the meta-infrastructure, growth-industry basis for the expanding digital economy and, most importantly, a critical development enabler that contributes towards achieving the Sustainable Development Goals.",
"2. ICT is a foundation for promoting sustainable development, while being a growth sector that contributes to economic growth. The Internet, for instance, has transformed the way we live by providing instant connectivity to the remotest areas of the world and transmitting data, information and knowledge in multiple formats and languages over fibre-optic cables, wireless networks or satellites. Being highly versatile, ICT now permeates every facet of our lives by enabling trillions of dollars of financial transactions every day, connecting weather forecasts to agricultural production and disaster management, managing intelligent transport, controlling epidemics, advancing climate change adaptation and promoting new businesses and even industries. With the Internet of things and cloud computing, devices will be connected to each other and transmit data, enabling unparalleled opportunities for vast data collection and analysis, while providing ICT capabilities anywhere in the world.",
"3. In addition, ICT-enabled financial, transport and trade facilitation infrastructure will be essential to encouraging innovations and developing an inclusive digital economy in the region. Broadband-enabled technologies, such as smart grids, intelligent transport systems, integrated water management systems and single windows, are some of the efficiencies that will drive growth in all sectors of the economy. This emerging infrastructure is built on broadband networks and facilitates the movements of goods, services, people and money across countries, thereby acting as building blocks of the emerging digital economy.",
"4. The Internet also plays an important role in modernizing government services and enhancing the quality of interactions and accountability between public administrations, citizens and businesses, while improving efficiency, effectiveness and transparency. In May 2016, the Copenhagen Consensus Center published a report of a project in which it conducted a cost-benefit analysis of various development interventions in Bangladesh.[1] The report found that of more than 70 development activities, the most cost-efficient development interventions were ICT-related: e-procurement ($663 in benefits for every $1 spent), followed by digitization of land records ($619 for every $1). Services provided at Union Digital Centers and broadband expansion in Bangladesh were also listed as having had a positive impact. If aggregated at the regional level, the developmental benefits would be substantial. These are only some of the potential benefits of ICT in general and broadband Internet in particular that will make a tangible difference to the lives of people in the region.",
"5. Against this background, ICT has emerged as an indispensable development enabler that contributes to and accelerates the achievement of the Sustainable Development Goals. At the same time, the Sustainable Development Goals have direct and indirect ICT-related targets. Target 9.1 (Develop quality, reliable, sustainable and resilient infrastructure, including regional and transborder infrastructure, to support economic development and human well-being, with a focus on affordable and equitable access for all) and means of implementation 9.c (Significantly increase access to information and communications technology and strive to provide universal and affordable access to the Internet in least developed countries by 2020) are some of the direct ICT-related targets.[2]",
"6. The indirect contributions of ICT to other Sustainable Development Goals targets take various forms, including development-accelerating applications and initiatives. One such application is mobile money, which has been transforming the way financial services are provided to the poor and expanding service coverage not only in middle-income countries, such as the Philippines, but also in other parts of the region. Mobile money and mobile banking constitute an emerging tool to facilitate financial transactions among a much wider segment of the population for a lower cost, not only within the country but also across national boundaries, thereby facilitating financial inclusion.",
"7. With the rapid expansion of mobile devices and connectivity, as highlighted in the note by the secretariat entitled “Asia-Pacific information superhighway: for inclusive and seamless connectivity”[3] for the seventy-second session of the Commission in May 2016 and in the following sections of the present note, the landscape of ICT for development has dramatically changed since the last session of the Committee on Information and Communications Technology was organized in 2014. The World Economic Forum published a report in 2016 that highlights that: (a) the digital revolution changes the nature of innovation, based on new technologies and business models; (b) companies need to innovate continuously; (c) businesses and Governments have not yet fully capitalized on the digital opportunities; and (d) a new digital economy requires innovations in governance and regulations.[4] Taking these points into account, the Forum’s Networked Readiness Index 2016 ranks Singapore as number one worldwide, followed in the ESCAP region by: Japan (10); Hong Kong, China (12); the Republic of Korea (13); New Zealand (17); and Australia (18).",
"8. The aim of this note is to discuss the progress made in developing affordable and reliable broadband in the region through the Asia-Pacific information superhighway, in particular within the overall objective of achieving the Sustainable Development Goals. It also contains analyses on emerging ICT trends and characteristics of the digital divide in Asia and the Pacific.",
"II. Progress towards the Asia-Pacific information superhighway",
"9. In Commission resolution 69/10 in 2013, member States recognized the need to promote the exchange of best practices and experiences related to the development of ICT infrastructure, including in-depth analysis of the policy and regulatory barriers that could impede efforts to synchronize the deployment of ICT infrastructure across the region in a seamless manner.",
"10. Furthermore, in its resolution 71/10, the Commission decided to establish the open-ended Working Group on the Asia-Pacific Information Superhighway to agree on principles and norms and develop a master plan, covering both the policy and technical aspects of the Asia-Pacific information superhighway, and a regional cooperation framework, and that consideration should be given to amending the Intergovernmental Agreement on the Trans-Asian Railway Network and the Intergovernmental Agreement on the Asian Highway Network. It further requested the secretariat to promote the sharing of good practices and lessons learned in ICT for disaster risk reduction and e‑resilience, support the work of the Working Group, undertake research and analysis, build partnerships and collaboration with international and regional organizations and harness cross-sectoral synergies.",
"11. Accordingly, the 1st meeting of the Working Group was held in Incheon, Republic of Korea, on 1 and 2 September 2015.[5] At that meeting, which was attended by 19 member countries and representatives from the private sector, civil society and think tanks, the Working Group decided to:[6]",
"(a) Draft a master plan encompassing the long-term vision, targeted goals, specific activities and milestones with regard to the four pillars of the Asia-Pacific information superhighway;",
"(b) Draft a regional cooperation framework for the Asia-Pacific information superhighway that covers the four pillars;",
"(c) Agree upon aspects relating to its own structure and operations.",
"III. Activities implemented by and in relation to the Working Group and Steering Group on the Asia-Pacific Information Superhighway",
"12. Subsequently, upon the decision at the meeting of the Working Group, the Steering Group on Asia-Pacific Information Superhighway was established.[7] With members consisting of multi-stakeholder representatives with policy and technical expertise, the primary objective of the Steering Group was to draft the master plan for the Asia-Pacific Information Superhighway and the regional cooperation framework document, incorporating the above requirements.",
"13. The Steering Group’s discussions on the master plan and regional cooperation framework document started in June 2016 online under the chairmanship of the National Information Society Agency of the Republic of Korea. The outcome documents were presented to the 2nd meeting of the Working Group, held in China on 29 and 30 August 2016.[8] The meeting endorsed both the Master Plan for the Asia-Pacific Information Superhighway and the Asia-Pacific Information Superhighway Regional Cooperation Framework Document[9] and discussed recommendations to be presented to the first session of the Committee on Information and Communications Technology, Science, Technology and Innovation.",
"14. In support of expanding partnerships and collaboration with various stakeholders, an Asia-Pacific information superhighway private-sector consultative meeting was organized with the participation of the region’s leading telecommunications operators, think tanks, research institutes and financial institutions, such as the International Finance Corporation.[10] The meeting was instrumental in gaining insights and discussing the challenges and opportunities that the private sector faces so as to ensure that their views were reflected in the Asia-Pacific information superhighway design.",
"15. Furthermore, the secretariat coordinated with the International Telecommunication Union and the Asia-Pacific Telecommunity to organize the 19th Meeting of the Regional Inter-agency Working Group on Information and Communications Technologies on 15 December 2015.[11] As the only regional platform for agency coordination in the area of ICT and as a follow-up to the deliberations of the fourth session of the Committee on Disaster Risk Reduction,[12] the meeting focused on the emerging topic of ICT for disaster risk reduction and how agencies could cooperate, synergize efforts and produce better development outcomes.",
"16. One of the initiatives presented during that inter-agency meeting was the Asia-Pacific Gateway on disaster risk reduction and ICT on how agencies can systematically share information and initiatives online.[13] Since then, in order to conform to the United Nations ICT policy, the Gateway has been updated and upgraded with additional features of online communities. It aims to provide policymakers and relevant stakeholders with a one-stop portal containing a spectrum of resources and tools to promote ICT for development and disaster risk reduction in Asia and the Pacific, while providing a space for discussions and dialogues among policy- and decision makers as well as partners for the advancement of the Asia-Pacific information superhighway.",
"IV. Deepening understanding of the four pillars of the Asia-Pacific information superhighway",
"17. As a pillar of regional connectivity, the Asia-Pacific information superhighway initiative aims to be a catalyst to develop seamless regional broadband networks which improve affordability, reliance, resilience and coverage and thereby address the causes of digital divides, develop the Internet ecosystem, support the implementation of the Sustainable Development Goals and stimulate the digital economy in Asia and the Pacific. As described in the note by the secretariat³ for the seventy-second session of the Commission in May 2016, the Asia-Pacific information superhighway is designed around four pillars: (a) strengthening the regional broadband infrastructure; (b) establishing regional Internet traffic and network management systems and policies; (c) enhancing ICT infrastructure resilience; and (d) providing inclusive access to broadband Internet.",
"18. Around the four pillars of the Asia-Pacific information superhighway, the secretariat, in partnership with the region’s leading think tanks and research institutes, undertook research and analyses to deepen understanding of emerging trends and policy, regulatory and technological gaps, opportunities and requirements. Some of the reports were already featured in the note by the secretariat for the seventy-second session of the Commission,³ while the findings of the other research and analyses are available on the ESCAP website.[14]",
"V. The state of information and communications technology: salient features of the digital divide in Asia and the Pacific",
"19. Despite the significant progress made by some advanced economies in the region, the nature and scope of the digital divide have changed. Unaddressed, this disparity between advanced and developing economies will lead to exacerbated gaps in ICT access and capabilities and which will subsequently impact development opportunities, as a result of the very nature of ICT as the meta-infrastructure and a development enabler. For these reasons, the growing digital divide and the need for availability, affordability, reliability and coverage of broadband access in the ESCAP region should be considered a matter of urgent priority.",
"20. The secretariat recently updated the analyses on the salient features and characteristics of the region’s digital divide, using the 2015 data set made available by the International Telecommunication Union, as summarized below.",
"A. More than half of global fixed broadband subscriptions",
"21. For the first time, over 52 per cent of the global fixed broadband subscribers come from ESCAP member countries, followed by Europe (21.9 per cent) and North America (14.1 per cent), according to the latest data from the International Telecommunication Union. This shows a dramatic increase from 2005, when ESCAP subscriptions constituted 38.1 per cent of the global total fixed broadband subscriptions, followed by Europe (28.6 per cent) and North America (26.5 per cent) (see figure I).",
"Figure I Global fixed broadbandsubscriptions in 2005 and 2015 \n (Percentage) \n [CHART] [CHART] \nSource: Produced by ESCAP basedon InternationalTelecommunication Union, WorldTelecommunication/ICT Indicatorsdatabase 2016, 20th Edition/June2016. Available fromwww.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx(accessed July 2016).",
"B. Lagging behind in fixed broadband penetration",
"22. However, when weighted by population, the number of fixed broadband subscriptions per 100 inhabitants in the ESCAP region is lower than Latin America and the Caribbean region, and far lower than Europe and North America which scored more than 25 subscriptions per 100 inhabitants, the world average being 11.2 in 2015 (see figure II).",
"23. Hence, despite the increase in the total number of fixed broadband subscriptions, there is relatively slow growth in Asia and the Pacific.",
"Figure II",
"Fixed broadband subscriptions (average), 2000-2015",
"(Per 100 inhabitants)",
"[]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"C. Fixed broadband subscriptions: 75 per cent in East and North-East Asia, driven by China[15]",
"24. When analysed by ESCAP subregion, it becomes clear that the total number of fixed broadband subscriptions in 2015 derives predominantly from East and North-East Asia (75 per cent), followed by South and South-West Asia (10 per cent), North and Central Asia (8 per cent), South-East Asia (6 per cent) and the Pacific (1 per cent). In 2014, East and North-East Asia recorded 69 per cent, followed by South-East Asia (11 per cent), South and South-West Asia (10 per cent), North and Central Asia (8 per cent) and the Pacific (2 per cent), illustrating an intensified concentration in East and North-East Asia. When the total number of fixed broadband subscriptions is further disaggregated by country, it becomes clear that the strong performance in North and Central Asia is driven by China. In fact, in the ESCAP region more than half of the broadband subscriptions were in China in 2015. The growth of broadband subscriptions in China has increased steadily over the past decade (see figure III).",
"Figure III",
"Share of total fixed broadband subscriptions of the top five and other ESCAP countries, 2005-2015",
"(Percentage)",
"[CHART]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"Note: Owing to missing data, the number of subscribers for the Philippines in 2010 is the average between 2009 and 2011.",
"25. The increase in fixed broadband subscriptions follows different patterns among countries of different income levels. The upper-middle-income economies have the highest number of subscriptions since 2004, driven by the growth in China, and are the fastest growing group of countries in the region. The high-income economies demonstrate stable but slower growth, while lower-middle-income economies demonstrate accelerated growth since 2009. The most worrying development is a lack of progress in the total number of fixed broadband subscriptions among low-income economies, further accentuating the digital divide between countries (see figure IV).",
"Figure IV",
"Fixed broadband subscriptions in ESCAP economies by income level, 2000-2015",
"(Millions)",
"[CHART]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx.",
"Note: The low-income economies do not show on the bar graph owing to extremely low values (0.6 million and less).",
"26. The total number of fixed broadband subscriptions is an important indicator, if the market size and commercial opportunities are considered. If a country enjoys fixed broadband penetration of 50 per cent, the market remains small if the total number of broadband subscriptions is just 10,000; however, from the social and digital inclusion perspectives, the number of broadband subscriptions per 100 inhabitants is a far more important indicator in relation to a given society.",
"D. High-income countries more digitally inclusive",
"27. ESCAP high-income economies have shown steady growth over the past years with the growth rate matched only by the upper-middle-income economies. However, unless other income groups accelerate broadband expansion through targeted policy interventions, the gap between them and high-income countries is unlikely to narrow according to current growth patterns (see figure V).",
"Figure V",
"Fixed-broadband subscriptions (average) in ESCAP economies by income level, 2000-2015",
"(Per 100 inhabitants)",
"[CHART]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"E. Fixed broadband growth spreading to the emerging countries, albeit slowly",
"28. At the country level, fixed broadband connectivity performance varies among ESCAP member countries over time. Figure VI compares fixed broadband subscriptions per 100 inhabitants between 2005 and 2015. The inset graph is a close-up of the lower left corner of the main graph. A first group of countries – the Republic of Korea; Hong Kong, China; Japan; Singapore; Australia; New Zealand; and Macao, China – performed well in 2005 and continued to improve significantly in 2015. A second group of countries is catching up fast and has shown significant improvement over time, including the Philippines, Azerbaijan, the Russian Federation, French Polynesia, Kazakhstan and Georgia, among others. The last group of countries is progressing the slowest in both years. The second group may have a lot to offer in terms of effective policy and regulatory measures and investment strategies which led to their rapid expansion of fixed broadband.",
"Figure VI",
"Fixed broadband subscriptions (average), 2005 and 2015",
"(Per 100 inhabitants)",
"[]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"F. Online services to support socioeconomic development and create demand for ICT infrastructure",
"29. The availability of online content and services, especially from Governments, is expected to support the achievement of Sustainable Development Goals and fuel demand for ICT infrastructure, which then would allow more services and applications to be launched, creating a virtuous cycle. Some ESCAP countries are performing well in terms of online services provided by Governments. Data from the United Nations E‑Government Survey 2014 suggest, however, that ESCAP member countries demonstrate diverse growth patterns between development of online services and that of infrastructure.[16]",
"30. Disaggregating ESCAP members by subregions with available data (see figure VII), it is clear that Kazakhstan (North and Central Asia) has shown the most progress in terms of advancing both online services and ICT infrastructure between 2008 and 2014. Other ESCAP countries that have performed well on both axes include the Russian Federation, Armenia, Georgia and Uzbekistan.",
"31. In the case of South and South-West Asia, Sri Lanka, Turkey, India and the Islamic Republic of Iran progressed well in both telecommunications infrastructure and online services between 2008 and 2014. Other countries progressed well predominantly on telecommunications infrastructure.",
"32. In the case of South-East Asia, Singapore stands out as progressing extremely well for both online services and telecommunications infrastructure. As for Pacific developing countries (Australia and New Zealand having progressed well on both axes), Fiji, Tonga, Kiribati, Marshall Islands and the Federated States of Micronesia progressed well between 2008 and 2014 in developing online services and telecommunications infrastructure.",
"Figure VII \nOnline services contentversus telecommunicationsinfrastructure in four ESCAPsubregions, 2008 and 2014 \n[CHART]\t[CHART] \n \n [CHART] [CHART] Source: Produced by ESCAP,based on United NationsE-Government Survey 2014:E‑Government for the FutureWe Want (United Nationspublication,Sales No. 14.II.H.1).Available fromhttps://publicadministration.un.org/egovkb/en-us/Reports/UN-E-Government-Survey-2014(accessed April 2016). \nNote: East and North-EastAsia subregion not includedas only limited dataavailable.",
"G. Strong correlation between quality of regulation and fixed broadband adoption",
"33. One common denominator that could explain this slow progress in some countries is the perception of the quality of regulations. Perception of poorer regulations in promoting business development is strongly associated with lower ICT connectivity (lower fixed-broadband penetration), and vice versa, in ESCAP countries, as in most other countries in the rest of the world (see figure VIII).",
"Figure VIII",
"Perception of quality of regulation and fixed broadband connectivity, 2014",
"[CHART]",
"Source: Produced by ESCAP based on: (a) International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016 (available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx; accessed July 2016); and (b) World Bank, World Development Indicators, World DataBank (available from http://databank.worldbank.org/data/reports.aspx?source=world-development-indicators; accessed April 2016).",
"Note: Estimates for regulatory quality ranges between -2 (poor regulatory quality) and +2 (very good regulatory quality).",
"H. High pricing a major deterrent for fixed broadband adoption",
"34. Affordability of access is one of the key factors driving adoption of fixed broadband by consumers and businesses in Central and South Asia and the Caucasus. According to a recent study,[17] in 2 of the 10 countries surveyed – Afghanistan and Tajikistan – the cost of fixed broadband represents more than a quarter of personal income in terms of purchasing power parity (see table 1). This high price therefore means that the vast majority of the population does not have access to affordable broadband. In three additional countries – Turkmenistan, Uzbekistan and Pakistan – the study indicated that the price of fixed broadband access is expensive, as defined by the Broadband Commission (more than 5 per cent of personal income in terms of purchasing power parity).",
"Table 1",
"Affordability of fixed broadband services in Central and South Asia",
"Country\tMonthlysubscription(UnitedStatesdollars)\tCost(percentageof grossnationalincome percapita)\tCost(percentageof grossnationalincome percapita interms ofpurchasingpowerparity)\tEvaluation\nAfghanistan\t69.00\t123.6\t42.2\tUnaffordable\n Armenia 8.77 2.8 1.2 Affordable\n Azerbaijan 9.50 1.5 0.7 Affordable\n Georgia 8.95^(a) 2.9 1.4 Affordable\n Kazakhstan 20.60^(b) 2.1 1.1 Affordable\n Kyrgyzstan 5.83 5.6 2.2 Moderate \n Pakistan 29.40^(c) 25.0 6.9 Expensive \nTajikistan\t58.44\t64.9\t26.4\tUnaffordable\nTurkmenistan^(d)\t171.40^(e)\t25.6\t14.2\tExpensive\n Uzbekistan 37.50 21.5 7.7 Expensive Source:AsianDevelopmentBank,Economicand SocialCommissionfor Asiaand thePacific andInternetSociety,UnleashingthePotentialof theInternet inCentralAsia, SouthAsia, theCaucasusand Beyond(2015).Availablefromwww.unescap.org/resources/unleashing-potential-internet-central-asia-south-asia-caucasus-and-beyond. ^(a) 2megabitspersecond;no cap. ^(b) 4megabitspersecond;no cap. ^(c) 4megabitspersecond;no cap. ^(d)Turkmenistanhas amonthlysubscriptionplan for$38 permegabit persecond, butit iscapped at400megabitsmonthly,and chargesexcess feesof $0.03permegabit. \n^(e) 512kilobitspersecond;no cap.",
"35. All the countries with unaffordable or expensive broadband access in table 1 are listed among the 20 countries in which adoption of fixed broadband is less than 2 per cent.",
"36. In South-East Asia, ESCAP conducted a study on broadband networks, gaps and opportunities among member States of the Association of Southeast Asian Nations (ASEAN) in 2015.[18] Lack of diversity in ICT connectivity reduces competition and increases the cost of access to global networks, including via submarine cables. The above-mentioned study found varying costs of Internet transit connectivity, indicating how expensive or affordable broadband access is in each ASEAN country (see table 2).",
"Table 2",
"Cost of Internet transit connectivity in ASEAN countries",
"(United States dollars; per month; per megabit per second)",
"Country Cost \n Cambodia 100 \n Indonesia 60/70 - >100 \n Lao People’s Democratic Republic 100 \n Malaysia 25-30^(a) \n Myanmar >100 \n Philippines 80 \n Singapore <10^(a) \n Thailand 80 \n Viet Nam 70",
"Source: ESCAP and National Information Society Agency of the Republic of Korea, “A pre-feasibility study on the Asia-Pacific information superhighway in the ASEAN sub‑region: conceptualization, international traffic and quality analysis, network topology design and implementation model” (2016). Available from www.unescap.org/resources/pre-feasibility-study-asia-pacific-information-superhighway-asean-sub-region.",
"^(a) When bought in volume.",
"I. ESCAP region leading mobile broadband expansion",
"37. Another important indicator of ICT connectivity is mobile broadband adoption. Mobile broadband penetration in the ESCAP region has led growth with the majority of mobile broadband subscriptions worldwide, followed by Europe and North America (see figure IX).",
"Figure IX",
"Total worldwide active mobile broadband subscriptions, by major region, 2007-2015",
"(Millions)",
"[CHART]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"38. China is the largest market for active mobile broadband subscriptions in ESCAP countries, with around 785 million subscriptions, followed by Japan (160 million) and India (120 million). Expansion of mobile broadband subscriptions in ESCAP countries has shown similar patterns of growth, even when disaggregated by economic group (least developed countries, landlocked developing countries and small island developing States – see figure X), suggesting that the predicaments associated with landlocked or small island countries might not affect the expansion of mobile broadband access, but rather other factors such as income level and quality of regulations. Mobile broadband subscriptions at the global level are almost four times higher in advanced economies than in developing economies.",
"Figure X",
"Average mobile broadband subscriptions in the ESCAP region overall and by country group",
"(Per 100 inhabitants)",
"[CHART]",
"Source: Produced by ESCAP based on International Telecommunication Union, World Telecommunication/ICT Indicators database 2016, 20th Edition/June 2016. Available from www.itu.int/en/ITU-D/Statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"39. Mobile broadband is being used primarily for entertainment purposes. A review of operator websites in emerging Asian markets, according to a 2015 report by the Groupe Spécial Mobile Association (see figure XI), has revealed that mobile applications that focus on agriculture, education and employment are less common.[19] Raising awareness of the availability of productive and educational services (e.g. m-agriculture, m-education) is therefore critical to help users understand and reap the benefits of mobile Internet services.",
"Figure XI",
"Smartphone activity in selected ESCAP countries in 2015",
"[CHART]",
"Source: Adapted from Groupe Spécial Mobile Association (2015), www.gsma.com/mobilefordevelopment/programme/connected-society/mobile-internet-usage-challenges-in-asia-awareness-literacy-and-local-content/ (accessed April 2016).",
"40. In summary, in this section the trends of ICT connectivity in Asia and the Pacific have been discussed. Fixed broadband trends show that the broadband divide is indeed widening between countries, although mobile broadband has shown steady growth across income groups. Given that mobile broadband alone will not be sufficient for development of the future digital economy and digital society, more attention should be paid to how fixed broadband networks could be developed and regional connectivity enhanced so as to fully benefit from ICT. The quality of regulations and affordable pricing were found to influence broadband adoption rates in the region.",
"41. In this context, the Asia-Pacific information superhighway is a critical regional initiative that is designed to ensure that fixed and mobile broadband development addresses the above-mentioned gaps and to support efforts towards inclusive and sustainable development in Asia and the Pacific.",
"VI. Conclusion",
"42. These findings illustrate a granular landscape of ICT development and the nature of the digital divide in Asia and the Pacific. While mobile broadband has been spreading rapidly across the region, it is not necessarily being used for socioeconomic development. The phenomenal growth in fixed broadband expansion is largely driven by China, and the growth patterns across the region are diverse: low-income countries are making the slowest growth, while some countries are focusing predominantly on telecommunications access over services. Affordability and regulatory quality continue to be formidable challenges, especially among countries that suffer from slow growth in broadband expansion.",
"43. Considering the above trends, the Asia-Pacific information superhighway needs first and foremost to address the fundamental challenge of providing affordable and inclusive broadband access across the region. As the Internet and the underlying broadband networks are by default cross-border and interconnected in nature, any improvement in affordability, coverage, reliability and resilience requires cooperation among countries, as described in the note by the secretariat for the seventy-second session of the Commission[20] and other technical material provided by the secretariat. The Master Plan for the Asia-Pacific Information Superhighway and the Asia-Pacific Information Superhighway Regional Cooperation Framework Document lay out processes, mechanisms and activities aimed at achieving the vision of seamless regional broadband connectivity and achievement of the Sustainable Development Goals and the goals of the World Summit on the Information Society.",
"VII. Issues for consideration by the Committee",
"44. Unaddressed, the growing and emerging digital divide would constrain development opportunities and widen development gaps in the coming years, since ICT is the meta-infrastructure, growth-industry basis for the digital economy and a critical development enabler. In recognition of this challenge, the Commission, through its resolution 71/10, established the open-ended Working Group on the Asia-Pacific Information Superhighway and requested the secretariat to report to it at its seventy-third session on the implementation of the resolution.",
"45. In this regard, the Committee may wish to consider agreeing on the following:",
"(a) The Committee may wish to consider continuing to support the Asia-Pacific information superhighway beyond the seventy-third session of the Commission, in recognition of the critical importance of addressing the widening digital divide and developing regional broadband infrastructure and access;",
"(b) The Committee may wish to consider endorsing the outcomes of the 1st and 2nd meetings of the open-ended Working Group, as summarized in the present note;",
"(c) The Committee may wish to consider endorsing the Master Plan for the Asia-Pacific Information Superhighway and the Asia-Pacific Information Superhighway Regional Cooperation Framework Document;[21]",
"(d) Following the successful deliberations and development of the Master Plan and Regional Cooperation Framework Document, the open‑ended Working Group will transform into an advisory board, as referenced in the Regional Cooperation Framework Document, as a body to oversee implementation and provide advice and guidance to the secretariat and implementing partners;",
"(e) The secretariat will continue to expand partnerships and collaboration with various international and regional organizations in the implementation of the Master Plan, guided by the Regional Cooperation Framework Document, the advisory board and the ESCAP member countries;",
"(f) The secretariat will continue to promote inter-agency collaboration at the regional level and ensure a harmonized approach and synergy among agencies, while deepening research and analyses on policy and technical aspects of the Asia-Pacific information superhighway;",
"(g) The secretariat, member States and partners will ensure that connectivity gains are achieved through the Asia-Pacific information superhighway and are linked to efforts towards achieving the Sustainable Development Goals and the goals of the World Summit on the Information Society;",
"(h) Member States, partners and subregional organizations will actively encourage the engagement and participation of various stakeholders, such as the private sector, academia and think tanks, and participate in the implementation of the Master Plan and the work of the advisory board;",
"(i) The recommendations of this Committee session will be presented to the Commission at its seventy-third session for deliberation and decision and subsequently the Asia-Pacific information superhighway will be launched based on the endorsed Master Plan and Regional Cooperation Framework Document.",
"[1] See a summary of the project at www.economist.com/news/finance-and-economics/21698302-ambitious-attempt-work-out-best-use-scarce-resources-how-spend-it.",
"[2] A more detailed description of the ICT-related targets and their linkage to the action lines of the World Summit on the Information Society can be found in the note by the secretariat on the regional review of the implementation of the World Summit on the Information Society action lines (E/ESCAP/CICSTI(1)/4).",
"[3] E/ESCAP/72/17.",
"[4] World Economic Forum, The Global Information Technology Report 2016: Innovating the Digital Economy (Geneva, 2016). Available from www.weforum.org/reports/the-global-information-technology-report-2016.",
"[5] See www.unescap.org/events/first-meeting-working-group-asia-pacific-information-superhighway.",
"[6] See www.unescap.org/sites/default/files/Outcome%20Document%20Sept%202015.pdf.",
"[7] See www.unescap.org/sites/default/files/Ap-IS%20SG%20ToR.pdf.",
"[8] See www.unescap.org/events/second-session-working-group-asia-pacific-information-superhighway.",
"[9] E/ESCAP/CICTSTI(1)/2 and E/ESCAP/CICTSTI(1)/3.",
"[10] See www.unescap.org/events/asia-pacific-information-superhighway-ap-private-sector-consultative-meeting.",
"[11] See www.unescap.org/events/19th-meeting-regional-interagency-working-group-iwg-information-and-communication.",
"[12] See www.unescap.org/events/committee-disaster-risk-reduction-fourth-session.",
"[13] See http://drrgateway.net/.",
"[14] See the relevant documents on ICT for e-resilience, transport and sustainable development at www.unescap.org/resources.",
"[15] The East and North-East Asia subregion includes: China; Democratic People’s Republic of Korea; Hong Kong, China; Japan; Macao, China; Mongolia; Republic of Korea; and Russian Federation.",
"[16] United Nations E-Government Survey 2014: E-Government for the Future We Want (United Nations publication, Sales No. 14.II.H.1). Available from https://publicadministration.un.org/egovkb/en-us/Reports/UN-E-Government-Survey-2014.",
"[17] Asian Development Bank, Economic and Social Commission for Asia and the Pacific and Internet Society, Unleashing the Potential of the Internet in Central Asia, South Asia, the Caucasus and Beyond (2015). Available from www.unescap.org/resources/unleashing-potential-internet-central-asia-south-asia-caucasus-and-beyond.",
"[18] Economic and Social Commission for Asia and the Pacific and National Information Society Agency of the Republic of Korea, “A pre-feasibility study on the Asia-Pacific information superhighway in the ASEAN sub-region: conceptualization, international traffic and quality analysis, network topology design and implementation model” (2016). Available from www.unescap.org/resources/pre-feasibility-study-asia-pacific-information-superhighway-asean-sub-region.",
"[19] GSMA Intelligence, Analysis: Mobile Internet Usage Challenges in Asia - Awareness, Literacy and Local Content (London, 2015). Available from: www.gsma.com/mobilefordevelopment/wp-content/uploads/2015/07/150709-asia-local-content-final.pdf.",
"[20] E/ESCAP/72/17.",
"[21] E/ESCAP/CICTSTI(1)/2 and E/ESCAP/CICTSTI(1)/3."
] | E_ESCAP_CICTSTI(1)_1 | [
"Economic and Social Commission for Asia and the Pacific First session of the Commission on Information and Communication Technologies, Science, Technology and Innovation Item 2 (a) of the provisional agenda*, Bangkok, 5-7 October 2016",
"Towards an Asia-Pacific Information Highway",
"Note by the Secretariat",
"In its resolution 71/10, the Economic and Social Commission for Asia and the Pacific (ESCAP) decided to establish an open-ended working group on the Asian and Pacific information superhighway. The first and second meetings of the Working Group were held in 2015 and 2016, respectively. At its first meeting, the Working Group agreed to develop an Asia-Pacific information superhighway master plan and a regional cooperation framework document and established a steering group to undertake this work, which was followed by the development and review of the master plan and the regional cooperation framework document at its second meeting, in August 2016. In support of efforts to achieve the sustainable development goals and WSIS goals, the Asia-Pacific Information Super Highway is a strategic regional connectivity initiative aimed at stimulating the digital economy, bridging the digital divide and supporting regional connectivity initiatives, such as trade, transport and socio-economic applications, while encouraging innovation. Its importance has been recognized by Governments and multi-stakeholders across regions, including the private sector, civil society and research institutions. The present document outlines the main actions taken pursuant to resolution 71/10, makes recommendations for future work and highlights issues for consideration by the Committee on Information and Communication Technology, Science, Technology and Innovation.",
"Introduction",
"Information and communication technologies (ICTs), especially broadband, have increasingly become an alternative to removing physical barriers, overcoming lack of funding and infrastructure, access to information, knowledge and services worldwide and, in some cases, have become efficient and effective solutions. At the same time, ICTs play a variety of strategic roles as a meta-infrastructure, expanding the growth industry base of the digital economy and, more importantly, contributing to efforts to achieve sustainable development goals as an important enabler of development.",
"ICTs are the basis for promoting sustainable development while promoting economic growth as a growth sector. For example, the Internet has changed our way of life, providing instantaneous connectivity to the world ' s most remote regions and using cable, wireless networks or satellites to transmit data, information and knowledge in many forms and languages. ICT has a wide range of applications that have permeated all aspects of our lives, leading to hundreds of billions of dollars in financial transactions every day, linking weather forecasts to agricultural production and disaster management, managing smart transport, controlling plagues, promoting climate change adaptation and promoting new businesses and even industries. With access to goods and cloud computing, equipment will connect and transmit data, providing unprecedented opportunities for significant data collection and analysis, while providing ICT capabilities worldwide.",
"3. In addition, ICT-driven financial, transport and trade facilitation infrastructure is key to encouraging innovation and developing an inclusive digital economy in the region. Broadband-driven technologies, such as smart grids, intelligent transport systems, integrated water management systems and single windows, are some of the benefits that will drive growth in all sectors of the economy. This emerging infrastructure, based on broadband networks, facilitates the movement of goods, services, people and money across countries and is therefore an integral part of the emerging digital economy.",
"4. The Internet also plays an important role in modernizing government services and improving the quality of public management, interaction and accountability among citizens and businesses, while increasing efficiency, effectiveness and transparency. In May 2016, the Copenhagen Consensus Centre published a project report on the results of a cost-benefit analysis of a wide range of development interventions in Bangladesh. [1] The report found that of the more than 70 development activities, the most cost-effective development interventions related to ICT: e-procurement ($663 per dollar spent), followed by the digitization of land files ($619 per dollar). The services provided by the Alliance Digital Centre and the broadband expansion in Bangladesh were among the positive benefits. The development benefits are significant if disaggregated by regional dimension. These are only some of the potential benefits of ICT in general and broadband Internet in particular, and they will bring about significant changes in the lives of people in the region.",
"5. Against this background, ICT has emerged as an indispensable tool to help achieve development, which can and will accelerate the achievement of sustainable development. At the same time, the sustainable development goals contain small goals that are directly or indirectly related to ICT. Sub-goal 9.1 (Developing high-quality, reliable, sustainable and resilient infrastructure, including regional and cross-border infrastructure, to support economic development and promote human well-being, with a focus on equitable and affordable access to infrastructure for all) and means of implementation, 9c (a substantial increase in the availability of information and communication technologies to enable least developed countries to provide Internet services at affordable prices for all by 2020), are some of the small goals directly related to ICT. [2]",
"6. The indirect contribution of ICT to other small sustainable development goals takes many forms, including applications and initiatives that help accelerate development. One such application is mobile money, which is changing access to financial services for the poor, while extending services not only to middle-income countries such as the Philippines, but also to other parts of the region. Mobile money and mobile banking services serve as an emerging tool to help achieve financial inclusion by making financial transactions available at a lower cost to a wider population, not only within but across borders.",
"As highlighted in the note by the secretariat on the Asia-Pacific information superhighway: promoting inclusive and seamless connectivity, prepared for the seventy-second session of the Commission, in May 2016,[3] and in the following sections of the present note, the situation of ICT for development has improved significantly since the last session of the Committee on Information and Communications Technology, held in 2014. A report published by the World Economic Forum in 2016 highlighted: (a) the data revolution that had taken place on the basis of new technologies and business models had changed the nature of innovation; (b) companies needed continuous innovation; (c) enterprises and Governments had yet to take full advantage of digital opportunities; and (d) the new digital economy needed innovation in governance and regulation. [4] In view of this, the Forum ' s 2016 Web Readiness Index ranked Singapore first in the world, followed by Japan (10), Hong Kong, China (12), the Republic of Korea (13), New Zealand (17) and Australia (18) in the ESCAP region.",
"The purpose of the present note is to explore the progress made in the region in the development of affordable and reliable broadband services using the Asia-Pacific information superhighway, in particular within the broader goal of achieving sustainable development goals. It also analyses emerging ICT trends in Asia and the Pacific and the characteristics of the digital divide.",
"II. Progress made in efforts to build the Asia-Pacific Information Highway",
"9. In Commission resolution 69/10 of 2013, member States recognized the need to facilitate the exchange of best practices and experiences related to ICT infrastructure development, including an in-depth analysis of policy and regulatory barriers that could hinder efforts to synchronize ICT infrastructure deployment across the region through seamless connectivity.",
"10. In addition, the Commission, in its resolution 71/10, decided to establish an open-ended working group on the Asian Information Highway in order to agree on principles and norms and to develop a master plan covering the policy and technical aspects of the Asia-Pacific Information Highway and to develop a framework for regional cooperation, and decided that consideration should be given to the revision of the Intergovernmental Agreement on the Trans-Asian Railway Network and the Intergovernmental Agreement on the Asian Highway Network. The Commission further requested the secretariat to promote the sharing of good practices and lessons learned on the use of ICT for disaster risk management and e-resilience, and to support the work of the Working Group in undertaking research and analysis, building partnerships and collaboration with international and regional organizations and enhancing cross-sectoral synergies.",
"11. Accordingly, the first meeting of the Working Group was held in Incheon, Republic of Korea, on 1 and 2 September 2015. [5] At the meeting, representatives of 19 member States and representatives of the private sector, civil society and think tanks decided that: [6]",
"(a) To develop a master plan covering long-term vision, objectives, specific activities and milestones for the four pillars of the Asia-Pacific Information Highway;",
"(b) Drafting a regional cooperation framework for the Asia-Pacific information superhighway covering four pillars;",
"(c) Agree on the relevant elements of its structure and operation.",
"Activities of the Asian Information Highway Working Group and Steering Group and related activities",
"1. Subsequently, the Asia-Pacific Information Highway Steering Group was established by decision of the Working Group. [7] The Steering Group is composed of multi-stakeholder representatives with policy and technical expertise, whose main purpose is to draft an Asia-Pacific information superhighway master plan and a regional cooperation framework document incorporating the above-mentioned requirements.",
"2. The Steering Group began an online discussion of the master plan and the RCF document in June 2016, led by the National Information Society Agency of the Republic of Korea. Its outcome document was presented to the Working Group at its second meeting, held in China on 29 and 30 August 2016. [8] The meeting also endorsed the Asia-Pacific Information Highway Master Plan and the Asia-Pacific Regional Cooperation Framework document,[9] and discussed the recommendations to be submitted to the first session of the Committee on Information and Communication Technology, Science, Technology and Innovation.",
"3. To support the expansion of multi-stakeholder partnerships and collaboration, a private sector consultation on the Asia-Pacific Information Super Highway was organized with the participation of leading telecommunications companies, think tanks, research institutions and financial institutions in the region, such as the International Finance Corporation. [10] The meeting contributed to a deeper understanding and exploration of the challenges and opportunities faced by the private sector, thus ensuring that its views would be incorporated into the design of the Asia-Pacific Information Super Highway.",
"15. In addition, the secretariat, in collaboration with the International Telecommunication Union and the Regional Telecommunications Organization for Asia and the Pacific, convened the nineteenth meeting of the Regional Inter-Agency Working Group on ICT on 15 December 2015. [11] As the only regional platform for inter-agency coordination in the area of ICT and as a follow-up to the discussions at the fourth session of the Committee on Disaster Risk Reduction, [12] the meeting focused on the emerging topic of ICT for disaster risk reduction and how agencies could work together to work together and achieve better development results.",
"One of the initiatives developed during the Inter-Agency Meeting was the Asia-Pacific Gateway for Disaster Risk Management and ICT, which addresses how agencies systematically share information and initiatives online. [13] Since then, in order to comply with the United Nations ICT policy, the gateway has been updated and upgraded, adding features to the online community. It aims to advance the Asia-Pacific Information Highway by providing policymakers and relevant stakeholders with a one-stop shop with a wide range of resources and tools to promote ICT for development and disaster risk reduction in Asia and the Pacific, as well as space for discussion and dialogue among policy and decision makers and partners.",
"IV. In-depth knowledge of the four pillars of the Asia-Pacific Information Super Highway",
"17. As one of the pillars of regional connectivity, the Asia-Pacific Information Highway Initiative aims to promote the development of seamless regional broadband networks to improve prices, reliability, resilience and coverage, as a means of addressing the causes of the digital divide, developing Internet ecosystems, supporting the implementation of sustainable development goals and stimulating the digital economy in Asia and the Pacific. As noted in the note prepared by the secretariat for the seventy-second session of the Commission in May 2016,3 the Asia-Pacific Information Super Highway was designed around four pillars: (a) Strengthening regional broadband infrastructure; (b) establishing regional Internet traffic and network management systems and policies; (c) improving the resilience of ICT infrastructure; and (d) providing inclusive broadband Internet access.",
"18. In partnership with key think tanks and research institutions in the region, the secretariat undertook research and analytical work around the four pillars of the Asia-Pacific Information Super Highway to deepen understanding of emerging trends, policy, regulatory and technology gaps, opportunities and conditions. Some of these reports were included in the note prepared by the secretariat for the seventy-second session of the Commission,3 while other research and analysis were posted on the ESCAP web site. [14]",
"The state of information and communication technologies: the main features of the digital divide in Asia and the Pacific",
"19. Despite significant progress in some advanced economies in the region, the nature and scope of the digital divide has changed. If not addressed, the gap between advanced and developing economies will lead to a widening gap in ICT access and capacity, ultimately affecting development opportunities, as determined by the fundamental nature of ICT as a meta-infrastructure and a vehicle for development. In view of this, the growing digital divide in the ESCAP region and the demand for affordable, reliable and wide-ranging broadband services should be given urgent priority attention.",
"20. Using data from the International Telecommunication Union for 2015, the secretariat recently updated the analysis of the main features and characteristics of the digital divide in the region, as summarized below.",
"A. More than half of global fixed broadband users",
"21. For the first time in history, more than 52 per cent of global fixed broadband subscribers come from ESCAP member States, followed by Europe (21.9 per cent) and North America (14.1 per cent), the latest data provided by the International Telecommunication Union. It shows a sharp increase compared to 2005, when ESCAP users were 38.1 per cent of the global total of fixed broadband subscribers, followed by Europe (28.6 per cent) and North America (26.5 per cent) (see figure I).",
"Figure I",
"Global fixed broadband subscribers, 2005 and 2015",
"(Percentage)",
"[ Chuckles ]",
"Source: ESCAP, sourced from International Telecommunication Union, World Telecommunication/ICT Indicators 2016 Database, 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"B. Deficiencies in fixed broadband coverage",
"22. However, in terms of population weighting, the use of fixed broadband per 100 inhabitants in the ESCAP region is lower than in the Latin American and Caribbean region and much lower than in Europe and North America, where there are more than 25 users per 100 inhabitants, compared with the world average of 11.2 in 2015 (see figure II).",
"23. As a result, Asia and the Pacific is growing relatively slowly despite the increase in the total number of fixed broadband users.",
"Figure II",
"Fixed broadband users, 2000-2015 (average)",
"(per 100 inhabitants)",
"[Chuckles]",
"Source: Prepared by ESCAP, from ITU, World Telecommunication/ICT Indicators Database 2016, 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"C. Fixed broadband subscribers: 75 per cent in East and North-East Asia and China as a driver [15]",
"24. An analysis by ESCAP subregion shows that the total number of fixed broadband subscribers in 2015 was mainly from East and North-East Asia (75 per cent), followed by South and South-East Asia (10 per cent), North and Central Asia (8 per cent), South-East Asia (6 per cent) and the Pacific (1 per cent). East and North-East Asia stood at 69 per cent in 2014, followed by South-East Asia (11 per cent), South and South-West Asia (10 per cent), North and Central Asia (8 per cent) and the Pacific (2 per cent), indicating increased concentration in East and North-East Asia. If the total number of fixed broadband users is further broken down by country, this shows that strong performance in North and Central Asia is driven by China. In fact, more than half of the broadband users were in China in 2015. The growth of broadband users in China has been increasing steadily over the past decade (see figure III).",
"Figure III",
"Proportion of total fixed broadband users in the first five ESCAP countries and others, 2005-2015",
"(Percentage)",
"[Chuckles]",
"Source: Prepared by ESCAP, from ITU, World Telecommunication/ICT Indicators Database 2016, 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"Note: Owing to a lack of data, the number of users in the Philippines in 2010 was taken from the average between 2009 and 2011.",
"25. The growth of fixed broadband users has varied according to income-level countries. High- and middle-income economies have been the largest users since 2004 (driven by growth in China) and are the fastest growing group of countries in the region. Growth has been stable but slow in high-income economies, while growth has accelerated in low- and middle-income economies since 2009. Most worrying is the lack of progress in the total number of fixed broadband users in low-income economies, further highlighting the digital divide between countries (see figure IV).",
"Figure IV",
"Fixed broadband subscribers in ESCAP economies by income level, 2000-2015",
"(millions)",
"[Chuckles]",
"Source: Prepared by ESCAP, from ITU, World Telecommunication/ICT Indicators Database 2016, 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx.",
"Note: Low-income economies are not shown in the figure due to very low values (0.6 million and lower).",
"26. The total number of fixed broadband users is a very important indicator, if market size and business opportunities are taken into account. A country with a fixed broadband coverage of 50 per cent, but with a total of 10,000 broadband users, the market remains limited; however, from a social and digital inclusion perspective, the number of broadband subscribers per 100 inhabitants is a more important indicator for a society.",
"D. Higher digital inclusion in high-income countries",
"27. The high-income economies of ESCAP have experienced steady growth over the past few years, with only medium- and high-income economies having comparable growth rates. However, unless other income groups accelerate broadband expansion through targeted policy interventions, the gap between them and high-income countries is unlikely to be narrowed according to current growth patterns (see figure V).",
"Figure V",
"Fixed broadband users in ESCAP economies by income level, 2000-2015 (average)",
"(per 100 inhabitants)",
"[Chuckles]",
"Source: Prepared by ESCAP, from ITU, World Telecommunication/ICT Indicators Database 2016, 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"E. Fixed broadband growth to emerging countries, albeit at a slower pace",
"28. At the national level, the performance of fixed broadband connectivity among ESCAP member States has varied in recent years. Figure VI compares fixed broadband users per 100 inhabitants between 2005 and 2015. The embedded chart is the magnification of the lower left corner of the main chart. The first group of countries (the Republic of Korea, Hong Kong, China, Japan, Singapore, Australia, New Zealand and Macao, China) performed well in 2005 and continued to significantly improve in 2015. The second group of countries, including the Philippines, Azerbaijan, the Russian Federation, French Polynesia, Kazakhstan and Georgia, is rapidly catching up and has improved significantly in recent years. The last group of countries made the slowest progress in both years. A second group of countries may offer many lessons to be learned from the adoption of effective policy and regulatory measures and investment strategies that have led to the rapid expansion of fixed broadband.",
"Figure VI",
"Fixed broadband subscribers, 2005 and 2015 (average)",
"(per 100 inhabitants)",
"[Chuckles]",
"Source: Prepared by ESCAP, from ITU, World Telecommunication/ICT Indicators Database 2016, 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"F. Online services to support socio-economic development and create demand for ICT infrastructure",
"29. Online content and services, especially those provided by Governments, are expected to support the achievement of sustainable development goals and create demand for ICT infrastructure, which in turn will lead to the launching of more services and applications, thus creating a virtuous cycle. Some ESCAP countries have done well in providing online services from Governments. However, according to the 2014 United Nations e-Government Survey, ESCAP member States have different growth patterns in developing online services and infrastructure. [16]",
"30. Based on the available data, ESCAP members are disaggregated by subregion (see figure VII). Kazakhstan (North and Central Asia) made the most progress in promoting online services and ICT infrastructure in the period 2008-2014. Other ESCAP countries with good performance in both areas include the Russian Federation, Armenia, Georgia and Uzbekistan.",
"31. For South and South-West Asia, Sri Lanka, Turkey, India and the Islamic Republic of Iran made good progress in their telecommunications infrastructure and online services during the period 2008-2014. Other countries have made good progress, mainly in telecommunications infrastructure.",
"32. In South-East Asia, Singapore ' s online services and telecommunications infrastructure have achieved remarkable results. With regard to Pacific developing countries (both Australia and New Zealand have made good progress in both areas), Fiji, Tonga, Kiribati, the Marshall Islands and the Federated States of Micronesia made good progress in developing online services and communications infrastructure during the period 2008-2014.",
"Figure VII",
"Comparison of online service content and telecommunications infrastructure in the four ESCAP subregions, 2008 and 2014",
"[ ] [ ] [ ] [ ] [ ]",
"Source: ESCAP production, sourced from United Nations e-Government Survey 2014: E-Government for the Future We Want (United Nations publication, Sales No. 14.II.H.1), available at https://publicability.un.org/egovkb/en-us/Reports/UN-E-Government-Survey-2014 (accessed April 2016).",
"Note: The East and North-East Asian subregion is not included because of the limited data available.",
"G. Close links between regulatory quality and the use of fixed broadband",
"33. One of the possible common factors in the slow progress of some countries is the state of regulatory quality. Poor regulation, which makes it difficult to promote enterprise development, is directly related to low ICT connectivity (limited fixed broadband coverage), and vice versa, both in ESCAP countries and in other countries of the world (see figure VIII).",
"Figure VIII",
"Regulatory quality perceptions and fixed broadband connectivity in 2014",
"[Chuckles]",
"Sources: ESCAP produced information from: (a) International Telecommunication Union, World Telecommunication/ICT Indicators 2016 Database, 20th edition/June 2016 (see www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx; accessed July 2016); (b) World Bank, World Development Index, World Database (see http://databank.worldbank.org/data/reports.aspx?source=world-development-indicators; accessed April 2016).",
"Note: Regulatory quality estimates range from 2 (low regulatory quality) to +2 (high regulatory quality multiplied).",
"H. High prices are a major constraint to the introduction of fixed broadband",
"34. In Central and South Asia and the Caucasus, low-cost access is one of the key factors driving consumers and businesses to adopt fixed broadband. According to a recent study, [17] in 2 of the 10 countries surveyed (Afghanistan and Tajikistan), the cost of fixed broadband exceeds one quarter of personal income at purchasing power parity (see table 1). This high cost therefore means that the vast majority of the population cannot afford broadband. In three other countries (Turkmenistan, Uzbekistan and Pakistan), the study showed that the price of fixed broadband access, as defined by the Broadband Commission, was expensive (with a purchasing power parity of more than 5 per cent of personal income).",
"Table 1",
"The sustainability of fixed broadband services in Central and South Asia",
"Monthly purchase order (in United States dollars) Cost (as a percentage of GDP per capita) Cost (as a percentage of GDP per capita) (as a proportion of purchasing power parity) Afghanistan 69.00 123.6 42.2 Unaffordable Armenia 8.77 2.8 1.2 for Azerbaijan 9.50 1.5 (a) 2.9.1.4 for Georgia 20.60 (b) 2.1.1 for Kazakhstan 20.83 5.6 2.2 Moderate Pakistan 29.40 (c) 25.0.6.9 for Tajikistan 58.44 64.9 26.4 for Turkmenistan ^ (d) 171.40 ^ (e) 25.6 14.2 Costed Uzbekistan 37.50 21.5 7.7 Source: Asian Development Bank, Economic and Social Commission for Asia and the Pacific and Internet social organizations, Unleashing the Internet Potential in Central Asia, South Asia, the Caucasus and Other Areas (2015). See www.unescap.org/resources/unleashing-policy-internet-central-asia-south-asia-caucasus-and-beyond. ^ (a) 2 trillion per second; no ceiling. ^ (b) 4 trillion per second; no ceiling. ^ (c) 4 trillion per second; no ceiling. (d) The monthly rental plan for Turkmenistan is $38 (per trillion per second), with a ceiling of 400 trillion per month and an overutilization rate of $0.03 per trillion. ^ (e) 512 kbit per second; no ceiling.",
"35. All of the countries in the table that cannot afford broadband services or are expensive in terms of broadband services are among the 20 countries with less than 2 per cent fixed broadband.",
"36. In South-East Asia, ESCAP conducted a study on broadband networks, gaps and opportunities in member countries of the Association of Southeast Asian Nations (ASEAN) in 2015. [18] The lack of diversified ICT connectivity reduces competitiveness and increases the cost of using submarine cables, or otherwise, to access global networks. The above-mentioned study found that the cost of Internet transit connectivity varies, showing the affordability of broadband services in each ASEAN country (see table 2).",
"Table 2",
"Cost of Internet transit connectivity in ASEAN countries",
"(United States dollars; monthly, per megatons per second)",
"(a) Myanmar > 100 Philippines 80 Singapore < 10(a) Thailand 80 Viet Nam 70",
"Source: ESCAP and the Information Society Organization of the Republic of Korea, “Advanced study on the feasibility of the Asia-Pacific information superhighway in the ASEAN subregion: conceptualization, international flow and quality analysis, web-mapping design and implementation model”. 2016. See www.unescap.org/resources/pre-feasibility-study-asia-pacific-information-suberhighway-asean-sub-region.",
"(a) If purchased in bulk.",
"Key mobile broadband expansion in the ESCAP region",
"Another important indicator of ICT connectivity is the use of mobile broadband. Mobile broadband in the ESCAP region has been leading the expansion and majority of global mobile broadband subscribers, followed by Europe and North America (see figure IX).",
"Figure IX",
"Total global mobile broadband regular subscribers by major region, 2007-2015",
"(millions)",
"[Chuckles]",
"Source: ESCAP, source: International Telecommunication Union, World Telecommunication/ICT Indicators Database (2016), 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"38. China is the largest market for mobile broadband current users in ESCAP countries, with about 785 million subscribers, followed by Japan (160 million) and India (1.2 billion). A similar pattern of growth in the expansion of mobile broadband users in ESCAP countries, even by economic grouping (least developed countries, landlocked developing countries and small island developing States) (see figure X), suggests that the plight of landlocked or small island States may not affect the expansion of mobile broadband services, but rather that other factors, such as income levels and regulatory quality, are present. Globally, mobile broadband users in developed economies are almost four times higher than in developing economies.",
"Figure X",
"Average mobile broadband users in the ESCAP region as a whole and by country group",
"(per 100 inhabitants)",
"[Chuckles]",
"Source: ESCAP, sourced from International Telecommunication Union, World Telecommunication/ICT Indicators Database (2016), 20th edition/June 2016. See www.itu.int/en/ITU-D/statistics/Pages/publications/wtid.aspx (accessed July 2016).",
"39. Mobile broadband is used primarily for recreational purposes. According to a 2015 analysis of Internet operators in emerging Asian markets by the Special Mobile Association (see figure XI), mobile applications for agricultural, educational and employment purposes are rare. [19] It is therefore important to expand the dissemination of productive services and educational products (e.g., mobile agriculture, mobile education) to help users understand and benefit from mobile Internet services.",
"Figure XI",
"Status of smartphone activities in selected ESCAP countries in 2015",
"[Chuckles]",
"Source: Compiled from Special Mobile Alliance 2015: http://www.gsma.com/mobilitedevelopment/programe/conected-society/mobilite-internet-usage-challenges-in-asia-avereness-literacy-and-local-content/ (accessed April 2016).",
"In summary, the present chapter examines trends in ICT connectivity in Asia and the Pacific. Fixed broadband trends show that the broadband divide between countries is indeed widening, although mobile broadband shows steady growth at all income levels. Given that mobile broadband alone is not sufficient for the future development of the digital economy and society, more attention should be given to how fixed broadband networks can be developed and regional connectivity strengthened to fully benefit from ICT. Regulatory quality and affordable prices were found to affect broadband use in the region.",
"41. In this regard, the Asia-Pacific Information Highway is an important regional initiative aimed at ensuring that fixed and mobile broadband development addresses the above-mentioned divide and supports Asia-Pacific efforts towards inclusive and sustainable development.",
"Conclusion",
"42. These findings demonstrate the specific landscape of ICT development in Asia and the Pacific and the nature of its digital divide. While there has been a rapid expansion of mobile broadband across the region, it is not necessarily used for socio-economic development. Large growth in fixed broadband is mainly from China, with growth patterns varying across the region; low-income countries have the slowest growth, while some countries have concentrated mainly on telecommunications access rather than service provision. Price affordability and regulatory quality continue to pose serious challenges, especially in countries where broadband growth is slow.",
"43. Given the above-mentioned trends, the fundamental challenge for the Asia-Pacific information superhighway to address first and foremost is to provide affordable and inclusive broadband services throughout the region. Given that the Internet and its support of broadband networks are by their very nature cross-border and interconnected, cooperation among countries is required to improve affordability, coverage, reliability and resilience, as mentioned in the note prepared by the secretariat for the seventy-second session of the Commission [20] and other technical materials provided by the secretariat. The Asia-Pacific Information Highway Master Plan and the Asia-Pacific Information Highway Regional Cooperation Framework document set out processes, mechanisms and activities aimed at achieving the vision of seamless regional broadband connectivity and the implementation of the sustainable development goals and WSIS goals.",
"Issues for consideration by the Committee",
"44. Failure to address the growing and emerging digital divide will constrain development opportunities and widen development gaps in the years to come, as ICT is a meta-infrastructure, the industrial basis for growth in the digital economy and an important tool for development. Recognizing this challenge, the Commission, in its resolution 71/10, established the Open-ended Working Group on the Asia-Pacific Information Highway and requested the secretariat to report to the Commission at its seventy-third session on the implementation of that resolution.",
"45. In this regard, the Commission may wish to consider agreeing on the following:",
"a. Recognizing the importance of addressing the growing digital divide and developing regional broadband infrastructure and services, the Committee may wish to consider continuing to support the Asia-Pacific Information Super Highway beyond the seventy-third session of the Commission;",
"The Committee may wish to consider endorsing the outcomes of the first and second meetings of the Open-ended Working Group, as outlined in the present note;",
"c. The Committee may wish to consider endorsing the Asia-Pacific Information Highway Master Plan and the Asia-Pacific Information Highway Regional Cooperation Framework Document; [21]",
"Following the successful conclusion of the discussions and development of the Master Plan and the RCF document, the Open-ended Working Group will be transformed into an advisory group to oversee implementation and provide advice and guidance to the Secretariat and implementing partners, in accordance with the RCF document;",
"e. In accordance with the RCF document, the Advisory Group and guidance from ESCAP member States, the secretariat will continue to expand partnerships and collaboration with a number of international and regional organizations in the implementation of the master plan;",
"f. The secretariat will continue to promote inter-agency collaboration and ensure inter-agency coordination and synergies at the regional level, while in-depth research and analysis of policy and technical issues of the Asia-Pacific Information Highway;",
"The secretariat, member States and partners will ensure that the benefits of connectivity are realized through the Asia-Pacific Information Highway and are linked to efforts to achieve the sustainable development goals and WSIS goals;",
"h. Member States, partners and subregional organizations will actively encourage the engagement and participation of multiple stakeholders, including the private sector, academia and think tanks, in the implementation of the master plan and the work of the advisory group;",
"i. The recommendations of the meeting of the Committee will be submitted to the Commission at its seventy-third session for its consideration and decision, which will be followed by the launch of the Asia-Pacific Information Highway in accordance with the approved master plan and the RCF document.",
"[1] See a reason of the project at www.economist.com/news/finance-and-economistics/21698302-ambitious-attest-work-out-best-use-scarce-resources-how-spend-it",
"[2] A detailed description of ICT-related goals and their linkages to WSIS action lines can be found in the note by the secretariat on the regional review of the implementation of WSIS action lines (E/ESCAP/CICTI(1)/4).",
"[3] E/ESCAP/72/17.",
"[4] World Economic Forum, Global Information Technology Report 2016: Innovation in the Digital Economy (Geneva, 2016). Available at www.weforum.org/reports/the-global-information-technology-report-2016.",
"[5] See www.unescap.org/events/first-meeting-working-group-asia-pacific-information-suberhighway.",
"[6] See www.unescap.org/sites/default/files/Outcome%20Document%20Sept%202015.pdf.",
"[7] See: www.unescap.org/sites/default/files/Ap-IS%20SG%20ToR.pdf.",
"[8] See www.unescap.org/events/second-session-working-group-asia-pacific-information-suberhighway.",
"[9] E/ESCAPICTSI(1)/2 and E/ESCAP/CICTSI(1)/3.",
"[10] See www.unescap.org/events/asia-pacific-information-suberhighway-ap-private-secretariat-consultative-meeting.",
"[11] See www.unescap.org/events/19th-meeting-regional-interactive-working-iwg-information-and-commission.",
"[12] See www.unescap.org/events/committee-disaster-risk-reduction-forth-session.",
"[13] See http://drrgateway.net/.",
"[14] See relevant documents on ICT for e-resilience, transport and sustainable development, www.unescap.org/resources.",
"[15] The subregion of East and North-East Asia includes China, the Democratic People ' s Republic of Korea, Hong Kong, China, Japan, Macao, China, Mongolia, the Republic of Korea and the Russian Federation.",
"[16] United Nations E-Government Survey 2014: E-Government for the Future We Want (United Nations publication, Sales No. 14.II.H.1). Available at https://publicadministration.un.org/egovkb/en-us/reports/UN-E-Government-Survey-2014.",
"[17] Asian Development Bank, Economic and Social Commission for Asia and the Pacific and Internet social organizations, The Potential for Unleashing the Internet in Central Asia, South Asia, the Caucasus and beyond (2015). Available at www.unescap.org/resources/unleashing-policy-internet-central-asia-south-asia-caucasus-and-beyond.",
"[18] Economic and Social Commission for Asia and the Pacific and National Information Society Organization of the Republic of Korea, “A pre-feasibility study of the ASEAN subregion on the Asia-Pacific information superhighway: shaping priorities, international traffic and quality analysis, web-mapping design and implementation model” (2016). Available at www.unescap.org/resources/pre-feasibility-study-asia-pacific-information-suberhighway-asean-sub-region.",
"[19] Special Mobile Coalition Intelligence, “Analysis of challenges to mobile Internet use in Asia; knowledge, literacy and local content” (London, 2015). Available at www.gsma.com/mobilizedfordevelopment/wp-content/uploads/2015/07/150709-asia-local-content-final.pdf.",
"[20] E/ESCAP/72/17.",
"[21] E/ESCAP/CICTSI(1)/2 and E/ESCAP/CICTSI(1)/3."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目2(c) \n信息和通信技术的政策议题：空间应用作为提高电子韧性的重要工具",
"空间应用作为提高电子韧性的重要工具",
"秘书处的说明",
"内容摘要 鉴于本区域遭受自然灾害的损害和损失日益加剧，作为减少灾害风险总体工作的一部分，如何设计并执行与包括空间技术和应用在内的信息和通信技术(信通技术)相关的、更具韧性的基础设施和服务，已成为新的工作重点。如能统筹运用具有韧性的信通技术基础设施以及在灾害管理各个阶段有效利用信通技术，或电子韧性，就有可能减少灾害风险并改善灾害管理及备灾工作。 \n本说明概述了信通技术(包括空间应用)在灾害管理各个阶段所发挥的作用。尤其是，本说明审查了旨在加强电子韧性的国家及区域举措和良好做法，例如采取具体战略将信通技术和空间应用纳入减少灾害风险及灾害管理规划工作。本说明首先讨论了亚洲及太平洋经济社会委员会(亚太经社会)目前为扩大空间及地理信息系统促进电子韧性区域合作所开展的工作，然后讨论了吸取的经验教训，尤其是涉及信通技术和空间应用促进减少灾害风险的实施情况，最后讨论了供信息和通信技术，科学、技术与创新委员会审议的议题。",
"一. 导言",
"1. 正如在《2015年亚太灾害报告：灾害无国界——建设区域韧性，促进可持续发展》中所强调的，亚洲及太平洋是世界上灾害最为频发的区域。[1] 据报道，2005至2014年期间，本区域发生了1 625次自然灾害，灾害造成14亿人口受灾，近50万人口丧生以及价值5 200亿美元以上的损失。这一数字占同期世界范围所有已报道发生的自然灾害的40%以上，占所有相关损失的45%，占所有死亡人口的60%以及占全球受灾人口的80%，详情见图一。",
"图一",
"[]2005-2014年期间亚太区域按类别分列灾情发生及其影响情况",
"[] ------- ----- ------- \n ----- \n \n \n \n \n \n \n [] []",
"资料来源：《2015年亚太灾害报告：灾害无国界——建设区域韧性，促进可持续发展》(联合国出版物，出售品编号，E.15.II.F.13)。",
"2. 对经济和社会基础设施造成的损害和损失，更不用说造成的人员伤亡，破坏了来之不易的发展成果并使国家倒退多年。《2015年亚太灾害报告》因此得出结论，亚洲及太平洋发展的当务之急就是解决减少灾害风险的问题。",
"3. 针对日益加剧的损害和损失，《2015-2030年仙台减少灾害风险框架》的重点从应对灾害转向管理灾害风险，同时提出评估进展的七项具体目标。[2]《框架》中阐述了以下四项优先行动：理解灾害风险；加强灾害风险治理，管理灾害风险；投资于减少灾害风险，提高韧性；加强备灾以便有效抗灾，并在复原、恢复和重建中让灾区“重建得更好”。",
"二. 亚洲及太平洋信息和通信技术及空间技术和应用促进减少灾害风险",
"4. 灾害发生时，包括空间技术和应用在内的信息和通信技术(信通技术)已证明可以切实有效地提供重要的应灾和应急通信服务，同时维持其他重要基础设施的运营，如管理电网、医药和卫生服务、天气预报、自然资源管理及交通运输系统，这些对于人道主义援助的物流工作非常重要。认识到信通技术在灾前及灾后所发挥的关键作用，2015年减少灾害风险委员会第四届会议要求亚洲及太平洋经济社会委员会(亚太经社会)秘书处扩大对灾害信息管理及电子韧性的支持。[3] 认识到电子韧性的重要性，作为区域宽带联通举措的亚太信息高速公路具体推动了作为其四大支柱之一的信通技术基础设施韧性的增强。[4]",
"5. 空间技术应用和地理信息系统对应灾期间的决策工作提供支撑，并且在灾害管理周期的各个阶段提供循证办法。通过提供有效购买、处理、储存、散发和使用地理空间数据所需的产品和工具，这种创新技术可协助量化风险并规划相应行动。许多灾害频发的国家正越来越多地利用这一日益增长的研发领域并将其适用于灾害管理工作，以期实现可持续发展。",
"6. 虽然具备现有卫星技术基础设施的发达国家享受到这种创新的好处，但许多其他国家则可能瞠乎其后，这使亚洲及太平洋已不断加大的数字鸿沟雪上加霜。灾害频发国家，尤其是包括最不发达国家、内陆发展中国家及小岛屿发展中国家在内的有特殊需求的国家，能够受益于使用空间技术应用和地理信息系统促进减少灾害风险、进行灾害风险管理并最终实现可持续发展。",
"三. 电子韧性",
"7. 由于加深了对其重要性的认识，电子韧性的概念和运用已得到进一步重视，具体而言，就是作为本区域减少灾害风险总体工作的一部分，如何设计和实施更具韧性的信通技术基础设施和服务，包括空间技术和应用。如能统筹兼顾，电子韧性就有可能减少灾害风险并改进灾害管理和备灾工作。",
"8. 人们认为，信通技术在实现可持续发展目标这一大背景下至关重要。《2030年可持续发展议程》承认，信通技术的传播和全球相互联通极有可能加快人类进步、缩小数字鸿沟并创建知识社会。[5] 在这方面明确具体提到信通技术的最为密切相关的可持续发展目标就是旨在建设具有韧性的基础设施的目标9，而且其中又有旨在寻求大幅度普及信息和通信技术的执行手段目标9.c，并且力争到2020年以负担得起的价格在最不发达国家普及互联网服务。[6] 然而作为推进发展的手段，信通技术通过将电子韧性作为可持续发展的基础，对所有其他可持续发展目标提供支撑，因此应作为亚洲及太平洋发展议程的优先事项。",
"9. 韧性可定为某个系统、社区或社会面临灾害时，能够及时有效抵御、吸纳和承受灾害的影响并从中恢复的能力，包括保护和修复基本的基础结构及其功能。[7] 这一概念具体应用到信通技术(电子韧性)意味着两个层面：(a)信通技术用于应灾和复原，包括迅速恢复信通技术基础设施和服务；(b)信通技术用于防灾、减险及备灾。电子韧性的这两个方面在亚太经社会一份关于信通技术基础设施韧性的研究报告中作了介绍，[8] 并在图二中显示，它是根据2004年马尔代夫及斯里兰卡发生海啸以及2011年日本发生地震时信通技术系统如何切实有效地用于应灾工作的分析结果修订而成。",
"图二",
"灾害管理周期",
"资料来源：根据亚太经社会“信通技术基础设施的韧性及其在灾害时期的作用”(2015年，曼谷)编制。见www.unescap.org/sites/default/files/The%20 resilience%20of%20",
"ICT%20Infrastructures.pdf。",
"10. 开展灾害管理工作时，在适当的时间向适当的人员提供适当的信息，对于及时迅速采取行动并确保不同政府和人道主义组织之间协调行动至关重要。《2015年亚洲及太平洋灾害报告》中确定了五个基本步骤(图三)：(a)理解风险；(b)订立数据和信息分享政策；(c)制作可采取行动的信息；(d)定制信息并传达到面临风险的人口；(e)使用实时信息。",
"图三",
"电子韧性重要步骤",
"[][]",
"资料来源：《2015年亚太灾害报告：灾害无国界——建设区域韧性，促进可持续发展》(联合国出版物，出售品编号，E.15.II.F.13)。",
"11. 信通技术作为推进手段对于加快和促进减灾工作发挥着重要作用，同时它也是应得到保护的部门。这一特征有助于在灾害管理各个阶段确定各种举措的轻重缓急(见表)。",
"信通技术在减少灾害风险中的作用",
"阶段 风险防范 降低风险 备灾和应对 恢复 信通 \n技术的作用 \n重点任务\t更好地提供风险信息，以此作为投资和企业战略和运营的基础\t减少灾害的发生的机率，并减轻破坏、损害和损失的程度\t准备好充分、适当和及时地应对不测的灾难\t能够恢复运作，挽回资产损失和恢复运营，并重建得更好利用信通技术加强其自身的韧性\t- 不产生或增加风险- 不加剧存在的风险- 避免和转移风险\t- 处理风险的根本因素-减少脆弱性- 增加容量和保护- 翻新改造- 减少受灾的风险- 对预警进行投资\t- 对系统和网络的连续性进行规划- 确保系统冗余度和备份- 确保做好应对准备工作- 培训和进行演习- 对意外灾害进行规划- 确保应急机制的运作\t-快速评估破坏和损失- 评估恢复需求-为减少未来的风险预备额外的投资 \n -确保早日恢复\t利用信通技术加强社会韧性\t-提供信通技术，用以改善风险评估- 作为一个至关紧要的分析工具- 加强发展和企业投资规划\t- 保存风险数据库- 使用地理信息系统来进行决策、规划和减灾- 使用信通技术作为加强知识、创新和教育的工具- 通过信通技术加强协作\t- 利用信通技术，以此作为加强备灾的社会资产- 利用信通技术作为快速评估和应急决策(评估、绘图、数据库和规划)的工具- 加强应急和人道主义通信和协调\t- 加强快速评估和详细的灾后需求评估-在恢复框架内，为更强劲的未来投资提供信息 \n - 利用信通技术来加强风险观测、评估和预警",
"资源来源：亚洲及太平洋经济社会委员会，《利用信通技术为减少灾害风险和适应气候变化作出更大贡献，促进可持续发展》(曼谷，2016年)。可查阅：www.unescap.org/sites/default/files/For%20show%20Prospect%20of%20Gateway%20as%20a%20nexus%20of%20DRR%20and%20ICT.pdf。",
"四. 关于电子韧性的国家研究和区域研究的要点",
"1. 亚太经社会积极开展了一项研究项目，以确定可采取何种方法来加强电信网络，增强电子韧性。开展了一系列国家层面的案例研究(斯里兰卡、中国、菲律宾和蒙古)，并汇编成一份区域审查报告，还开展了数据收集工作，包括国家、次区域和区域层面的例子。这些分析工作提供了有力的证据，证明信通技术在促进包容和具有抗灾能力的发展方面，以及在灾前和灾后协助灾害管理机构开展工作方面，可发挥显著作用。",
"2. 在斯里兰卡，自2004年发生海啸以来，其减少灾害风险政策的重点已从被动应付转向主动应对。[9] 该国家当前利用信通技术减少灾害风险的例子包括：在沿海岸带设立了77个多灾种预警塔。为确保冗余度，其国家紧急行动中心已与众多通信系统联网。",
"3. 在中国，大多数自然灾害影响到人口稠密且电信基础设施比较发达的地区。[10] 然而，中国在信通技术基础设施的部署和对当地人口提供信通技术服务和其价格可承受性方面，存在着显著的地区差异，这一鸿沟也许会影响利用信通技术系统来管理灾害风险的有效性和信通技术基础设施的韧性。",
"4. 菲律宾已调整了应对灾害的工作重点，采用全面和积极主动的方法来减少灾害风险，其目的是增强信通技术基础设施的韧性。[11] 《菲律宾减少与管理灾害风险法案》(2010年)成为该国的总体政策和框架，并指导国家减少和管理灾害风险委员会的工作。该法案规定，各利益攸关者应参与开发、更新和共享减少灾害风险的信息，而信通技术在其中起着至关重要的作用，尤其是协助对减少和管理灾害风险所涉不同利益攸关方进行协调。",
"5. 蒙古信息技术、邮政和电信管理局一直在执行一些大型的电信基础设施举措，其中包括发展光纤骨干网。[12] 其大多数光纤电缆铺设在地下，从而具有最佳稳定性，不易损坏，受损时只需很短的修复时间。然而，在蒙古发生过一些最严重地震的中部地区，却没有冗余度。",
"6. 对2011年东日本大地震之后使用信通技术的情况进行了一项研究，从中可以吸取一些重要的经验教训。[13] 这场地震对信通技术基础设施造成了重大破坏。根据从地震期间和地震后吸取的经验教训，日本政府采取了许多措施，并提供了一些具体建议。此外，传输电缆被移入内陆，那些在桥上的电缆被移到水下，并对环网络布局进行了改进，添加了绕行路线，从而增加了冗余度。",
"7. 基于上述研究、良好做法和吸取的经验教训，秘书处已确定在亚太信息高速公路背景下的电子韧性的要素，这些要素如下：(a)缩短灾后恢复所需的时间；(b)了解灾害风险，设计促进韧性；(c)确保最后一英里互联互通； (d)大力加强移动和其他通信手段，确保冗余度和应急通信；(e)探索创新的移动通信、地理信息系统和空间应用和大数据。[14] 这些至关重要的要素将在本说明的下一节详细探讨，在随后的章节，将探讨使用空间技术和空间应用的具体举措。",
"8. 灾害事件发生后的最初72小时是救灾的最关键时间段。尽快恢复受影响的电信基础设施尤其重要，以便当局和民众尽可能利用实时信息用来作出高效决定。这样的信息管理有助于协调各国政府和救灾机构运送粮食、水和其他物资。了解灾害风险的特性是增强电子韧性的起点。亚太经社会和国际电信联盟一直在绘制亚太信息高速公路现有的和计划中的信通技术骨干网。相关地图、研究和分析为查明信通技术骨干网和宽带网络的脆弱性，以及增强电子韧性以应对本地区潜在的灾害铺平了道路。在灾害发生时，信通技术基础设施往往受损，网络流量出现过载。因为信通技术基础设施的设计通常不足以处理如此增加的流量，网络就变得拥挤，从而影响救援工作。因此，在未来的规划中，应具体考虑到冗余、网络韧性和上述的网络过载问题，以加强信息通信技术基础设施，尤其是骨干网和接入网。",
"9. 关于确保最后一英里的互联互通问题，在2015年尼泊尔发生地震后，尽管人们发现灾区的电信骨干网大都安然无恙，但影响到最后一英里互联互通的其他一些组件，如手机塔，却受到损坏，这意味着人们之间通信能力丧失了。在其他一些国家，手机已在传播即将发生灾害的预警，以及在灾后使用公众提交的图像和信息确定灾害的影响方面，起着有益的作用。使用系统的方法来进行网络规划，并重视最后一英里的互联互通和所有组件的电子韧性，是很重要的。",
"10. 一些用来在灾后收集信息的技术是专用的，通常涉及定制软件，而另一些技术则依靠社交媒体，是为其他用途开发的。专用应用程序的优点是可以很容易地用来对信息进行分析，并使救灾人员能理解这些信息，而社交媒体往往结构不够严格，大众都可参加。人们设计出新一代的灾害和危机管理工具，其目的是汇编这些类型的结构化和非结构化数据，供快速决策之用。",
"11. 大数据在增强电子韧性方面也颇具前途。尽管大多数灾害情景大数据的实际应用仍然是实验性的，但在一些灾害中，如2010年海地发生的地震中，却出现一些有益的案例。日本总务省进行的一项调查也表明，预计大数据能为日本减少灾害风险作出显著贡献。[15]",
"五. 利用空间技术和应用增强电子韧性领域的区域合作",
"12. 秘书处继续开展一些相关方案，以便使成员国能更多地利用空间技术应用和地理信息系统来减少灾害风险和增强电子韧性。《2015－2030年仙台减少灾害风险框架》在2015年后联合国发展议程之前获得通过，这一框架具体倡导利用空间应用来管理灾害。随后，经社会第七十一届会议通过关于加强亚洲及太平洋实施《2015-2030 年仙台减少灾害风险框架》的区域机制的第71/12号决议。在此背景下，秘书处，除其他外，一直支持在地方、国家和全球层面发展灾害管理的区域合作机制，用以确保及时共享可靠的地理空间数据和信息，从而有效应对跨境灾害。",
"13. 为了执行《2012-2017年亚太应用空间技术和地理信息系统促进减少灾害风险和可持续发展行动计划》，成员国通过了经社会第68/5和第 69/11号决议。[16] 这些决议推动亚太区域开展区域合作，通过共享相关空间技术信息和地理信息系统应用，利用空间技术减少灾害风险，促进可持续发展，并呼吁部长级会议评估所取得的进展情况，推动各方加大努力，在与灾害有关的活动中推广这些技术。",
"14. 自然灾害的影响往往超出单个国家的边界，因为天气和地理地貌往往不会止于一个国家、城市或行政边界的界限。因此，管理灾害风险也要求邻国之间开展合作。在亚洲及太平洋地区，亚太经社会是唯一拥有空间技术应用方案的区域委员会，亚太经社会支持开展区域合作，以确保各国能够获取管理灾害和促进可持续发展所必需的技术和地理空间数据。亚太经社会秘书处通过其《空间应用促进可持续发展区域方案》，使各国空间机构和相关利益攸关方为一个共同的目的汇聚在一起。[17]",
"15. 秘书处还通过以下一些核心活动，继续与现有的全球和区域性举措、方案和资源进行协调。",
"A. 及时向受灾国家提供近实时卫星图像",
"16. 在发生灾害和成员国提出请求时，秘书处继续提供援助，协助这些国家获取近实时卫星图像和地理空间数据。之所以能够继续提供这样的援助，要归功于亚太经社会与联合国训练研究所业务卫星应用项目之间结成的战略伙伴关系，以及由来已久的亚太经社会空间应用促进可持续发展区域网络。因此，受灾成员国可以得到有效的应急响应、灾后破坏和影响评估以及恢复和重建政策建议方面的援助。这些服务对有特殊需求的国家尤其有益，这些国家通常没有获取和保持其自身较为一体化的监测、预警和应急机制所需的基础设施和机制安排。",
"B. 干旱监测和预警区域合作机制",
"17. 本区域许多国家在干旱监测、预警和管理领域面临着巨大挑战。鉴于许多人要依赖农业维持其基本的生活需求，而且许多国家的经济至少部分依赖农业，因此农业干旱是亚洲及太平洋地区一个严重的发展挑战。《2015年亚太灾害报告》中概括指出，在过去29年里，干旱影响了超过13.1亿的人口，给本区域造成的损失价值超过530亿美元。本地区国家所面临的挑战包括：获取和分析关键信息的能力较弱，缺乏将空间数据和产品与地面数据整合起来以作出适当的决策的有效方法，共享这样的知识和良好做法的区域平台很少，以及各主管机构之间和其他机构之间缺乏在国家层面的协调与合作。",
"18. 为了应对这些挑战，亚太经社会启动了“干旱监测和预警区域合作机制”，这一机制汇聚了本区域空间和地理信息系统应用方面的资源，提高综合分析空间和当季地面数据和信息的能力，以便帮助常年受干旱影响的发展中国家农村社区建设其韧性。[18] 在干旱机制下，亚洲及太平洋地区的试点国家受益非浅：能更多地获取空间数据、产品和服务；加强了旱灾备灾和应对的体制能力建设；在国家层面加强了体制协调和政策；加强了区域合作和南南合作和支持。目前已有八个国家要求加入干旱机制的试点方案：阿富汗、孟加拉国、柬埔寨、吉尔吉斯斯坦、蒙古、缅甸、尼泊尔和斯里兰卡。中国国家遥感中心、印度空间研究组织国家遥感中心以及近期泰国地理信息与空间技术发展局一直在担任干旱机制的区域服务节点，它们通过提供空间数据和产品以及能力建设援助，使其能更有效地开展干旱监测、预警和管理，从而支持了试点国家。",
"19. 蒙古国家遥感中心现在正在开发和利用干旱监测系统和地图，并正在考虑如何将该系统扩展到农作物监测。在斯里兰卡，最近举办的一次高级别论坛制定了一个路线图，以便使该国能够开发和有效利用从空间获得的信息来监测旱情，而不需区域服务节点提供支持。还为柬埔寨和缅甸制定了计划，初步培训在2016年年中进行。",
"20. 干旱机制还对世界气象组织《全球气候服务框架》当季作物生长状况监测工作起到补充作用。[19] 在八个试点国家的试点方案中，已通过在柬埔寨、缅甸、尼泊尔和斯里兰卡的季风论坛，将干旱机制与缓发灾害挂钩。在2015至2016年发生的厄尔尼诺现象的背景下，干旱机制试点国家的初步结果表明，出现了很有希望的趋势，而且需要用双轨战略扩大试点方案的范围。首先，干旱机制将提供各种可采取行动的风险信息产品和服务，如气候展望、季节预报、当季监控和基于情景的影响预期。其次，它将利用现有的风险沟通平台，如国家季风论坛和区域气候展望论坛。[20]",
"C. 应对现有差距和新出现的挑战的技能和能力建设",
"21. 尽管亚太地区拥有越来越多的航天国家，但空间技术还没有充分惠及发展中国家(尤其是有特殊需求的国家)的弱势群体，原因是人力资源、科学、技术和体制资源方面的能力缺乏。自减少灾害风险委员会第三届会议以来，秘书处作出了许多努力，根据相关调查和空间技术和地理信息系统应用区域库存查明的需求，通过一系列的专门方案发展成员国的能力。重点领域包括：将空间应用纳入灾害风险管理的主流；利用空间应用和地理信息系统绘制洪水风险图、开展干旱监测和预警；协助有特殊需求的国家设立和使用“灾害风险管理地理参考信息系统”；并就如何有效利用空间技术和地理信息系统开展灾害管理，提供技术咨询服务。",
"22. 除了短期的能力建设活动之外，秘书处还与亚洲及太平洋空间科学与技术教育中心(空间应用促进可持续发展区域方案培训网络的节点)合作，提供为期9个月的遥感和地理信息系统应用研究生课程。[21] 2014年以来，秘书处赞助了来自斐济、缅甸、蒙古、吉尔吉斯斯坦的七名政府官员参加这一研究生班课程，印度政府为此提供一个奖学金名额。",
"D. 通过知识产品、标准和程序促进体制发展",
"23. 亚太经社会援助了东南亚国家联盟(东盟)成员国，尤其是该次区域有特殊需求的国家，为此为国家灾害管理当局和空间机构制定了一套程序准则，用以在应急反应时共享天基信息，[22] 这一准则是由亚太经社会与联合国灾害管理和应急天基信息平台、业务卫星应用项目和东南亚国家联盟灾害管理人道主义援助协调中心协作并与东盟国家从业者广泛磋商后开发的。程序准则的推荐操作程序的设计旨在与国家、区域和国际层面的工作做法相呼应，以支持有效的决策，并提供一种更加循证的做法，以便将地球观测和地理空间信息纳入救灾应急反应。",
"24. 此外，秘书处目前正在编写一本针对一些具体灾害的地理空间决策辅助手册，以回应成员国在2016年4月在印度尼西亚茂物举行的第四次东盟研讨会期间提出的要求。秘书处也正在对其最近为南亚区域合作联盟出版的一本关于使用创新工具、技能和空间应用进行快速评估以促进抗灾重建的手册进行改编，使其重点瞄准东盟地区。该手册旨在提供一些指南，以增强政府机构迅速开展灾后需求评估的能力。",
"25. 秘书处一直在推动使用“灾害风险管理地理参考信息系统”门户网站，并为在孟加拉国、库克群岛、斐济、吉尔吉斯斯坦、蒙古和尼泊尔建立其分支网站，提供技术援助。这些网站(仅可通过当地的内部网访问)设在国家内的对口国家主管部门内，以一种集中的、可信的和包容的方式收集、分析和传播与灾害有关的数据，再加上支撑决策的卫星图像和社会经济信息，因此被有关国家当局和机构认为是至关重要的。",
"26. 为了进一步支持秘书处在区域一级的能力建设活动，特别是开发“灾害风险管理地理参考信息系统”门户网站，在2015年开发了一个在线电子学习平台。这一平台提供了一些创新的课程，这有助于从业者进一步开发其利用空间技术和地理信息系统应用管理灾害风险方面的分析和解决问题的核心技能。这一平台将加强和促进与应用和运行空间技术和地理信息系统来管理灾害风险以及制订相关政策有关的信息交流。",
"六. 吸取的经验教训",
"27. 亚太地区在应用空间技术和地理信息系统管理灾害方面，取得了令人瞩目的进展，现在存在着进一步改善其使用的势头和战略空间。有特殊需求国家灾害风险较高，而其应对能力较低，这些国家正面临着一些特殊的挑战，如信通技术和空间基础设施的获取有限、人力资本短缺和技术能力缺乏。这些挑战有可能阻碍它们获得这些创新技术，因此这些技术就会变得不切实际，利用率低。正如联合国多个框架所规定的，联合国系统，包括各区域委员会及其合作伙伴，不断作出协调一致的努力，改进信通技术和空间应用在这些国家的可及性和可用性并减轻人们的负担，为此减少对这些创新体制和技术的障碍，同时增强电子韧性，是非常重要的。",
"七. 供委员会审议的议题",
"28. 秘书处将与所有合作伙伴和利益攸关方合作，继续注重在各级援助成员国降低灾害风险。尤其是，秘书处将继续努力在亚太信息高速公路框架内增强电子韧性；通过《空间应用促进可持续发展区域方案》，并通过执行《2012-2017年亚太应用空间技术和地理信息系统促进减少灾害风险和可持续发展行动计划》，加强区域合作和一体化；推动《干旱监测和预警区域合作机制》投入运行；加强成员国能力建设，重点放在有特殊需求的国家；并开展分析研究，以查明新出现的挑战和需求。",
"29. 委员会不妨：",
"(a) 就秘书处在电子韧性领域(特别是空间应用和空间技术领域)的工作重点，提供指导；",
"(b) 支持秘书处在亚太信息高速公路框架内增强电子韧性的工作和在《干旱监测和预警区域合作机制》领域的相关工作；",
"(c) 支持和促进秘书处援助发展中国家从空间技术和地理信息系统应用的进步中受益，为此帮助其进一步普及和使用地理空间信息，尤其是区域地表覆盖数据集和变化监测，以及加强洪水灾害风险建模、监测和影响评估，方法是开发一系列定制的标准作业程序；",
"(d) 鼓励成员国开展活动，以支持落实经社会关于《2012-2017年亚太应用空间技术和地理信息系统促进减少灾害风险和可持续发展行动计划》的执行情况的第69/11号决议和关于加强亚洲及太平洋实施《2015-2030年仙台减少灾害风险框架》的区域机制的第71/12号决议，并向秘书处通报已采取的最新行动；",
"(e) 支持和促进秘书处调查发展中国家的地理空间信息管理能力，以期就2016年至2020年能力建设区域计划，提供指导，重点放在有特殊需求的国家；",
"(f) 根据经社会第69/11号决议，邀请成员国在2016或2017年主办“亚洲及太平洋利用空间应用促进减少和管理灾害风险以及可进持续发展问题的部长级会议”；",
"(g) 鼓励通过亚太经社会电子学习平台和空间技术和地理信息系统应用培训设施，交流相关信息、经验和专门技能，以造福灾害风险较高但减灾能力较低的国家。",
"[1] 《2015年亚太灾害报告：灾害无国界——建设区域韧性，促进可持续发展》(联合国出版物，出售品编号，E.15.II.F.13)。",
"[2] 联大第69/283号决议，附件二。",
"[3] 见E/ESCAP/CDR(4)/6。",
"[4] 关于亚太信息高速公路举措的详情，见E/ESCAP/CICTSTI(1)/1及E/ESCAP/72/17。",
"[5] 联大第70/1号决议。",
"[6] 具体提到信通技术的其他目标和执行手段目标包括关于教育和终身学习的目标4.b，关于性别平等和所有妇女和女童赋权的5.b，以及关于执行手段及全球伙伴关系的第17.8。",
"[7] 见www.unisdr.org/we/inform/terminology。",
"[8] 亚太经社会，“信通技术基础设施的抗灾能力及其在灾害时期的作用”(2015年，曼谷)。可查阅：www.unescap.org/sites/default/files/The%20resilience%20of%20ICT%20Infrastructures.pdf。",
"[9] 亚洲及太平洋经济社会委员会，《建设斯里兰卡的电子韧性：加强信息和通信技术在管理灾害风险中的作用》（曼谷，2016年）。可查阅：www.unescap.org/resources/building-e-resilience-sri-lanka-enhancing-role-information-and-communications-technology。",
"[10] 亚洲及太平洋经济社会委员会，《建设中国的电子韧性：加强信息和通信技术在管理灾害风险中的作用》（曼谷，2016年）。可查阅： www.unescap.org/resources/building-e-resilience-china-enhancing-role-information-and-communications-technology。",
"[11] 亚洲及太平洋经济社会委员会，《建设菲律宾的电子韧性：加强信息和通信技术在管理灾害风险中的作用》（曼谷，2016年）。可查阅：www.unescap.org/resources/building-e-resilience-philippines-enhancing-role-information-and-communications-technology。",
"[12] 亚洲及太平洋经济社会委员会，《建设蒙古的电子韧性：加强信息和通信技术在管理灾害风险中的作用》（曼谷，2016年）。可查阅：www.unescap.org/resources/building-e-resilience-mongolia-enhancing-role-information-and-communications-technology。",
"[13] 亚洲及太平洋经济社会委员会，《建设电子韧性：加强信息和通信技术在管理灾害风险中的作用》（曼谷，2016年）。可查阅：www.unescap.org/resources/building-e-resilience-enhancing-role-icts-disaster-risk-management-drm。",
"[14] 亚洲及太平洋经济社会委员会，《加强信通技术基础设施的电子韧性：灾害管理的差距和机会》（曼谷，2015年）。可查阅：www.unescap.org/resources/enhancing-e-resilience-ict-infrastructure-gaps-and-opportunities-disaster-management。",
"[15] 日本总务省，《2015年白皮书：日本的信息和通信技术》(东京，2015年)。可查阅：www.soumu.go.jp/main_sosiki/joho_tsusin/eng/whitepaper.html。",
"[16] 经社会第68/5号决议“《2012-2017年亚洲及太平洋空间技术应用和地理信息系统促进减少灾害风险和可持续发展行动五年》”和经社会69/11号决议“《2012-2017年亚太应用空间技术和地理信息系统促进减少灾害风险和可持续发展行动计划》的执行情况”。",
"[17] 见：www.unescap.org/events/18th-session-intergovernmental-consultative-committee-icc-regional-space-application。",
"[18] 见：www.unescap.org/sites/default/files/Final_Drought%20brief.pdf。",
"[19] 见：www.wmo.int/gfcs/node/807。",
"[20] 见：http://public.wmo.int/en/our-mandate/climate/regional-climate-outlook-products。",
"[21] 见：www.cssteap.org and www.unescap.org/our-work/ict-disaster-risk-reduction/space-technologies-and-gis-applications-sustainable-development/about。",
"[22] 亚洲及太平洋经济社会委员会，《东盟国家的国家灾害管理当局和空间机构程序准则：用以在应急反应期间共享天基信息——七步快速指南》（曼谷，2016年）。可查阅：www.unescap.org/sites/default/files/7%20Step%20-%20Quick%20Guide.pdf。"
] | [
"Space applications as a critical tool for enhanced e-resilience",
"Note by the secretariat",
"Summary Given the increasing damage and losses caused by natural disastersin the region, new emphasis has been placed on how to design andimplement more resilient infrastructure and services related toinformation and communications technology (ICT), including spacetechnology and applications, as part of overall disaster riskreduction efforts. Addressed holistically, resilient ICTinfrastructure and effective use of ICT at all phases of disastermanagement, or e-resilience, has the potential to reduce disasterrisks and improve disaster management and preparedness. \nThe purpose of this note is to present an overview of the role ofICT, including space applications, at all phases of disastermanagement. In particular, the note reviews national and regionalinitiatives and good practices aimed at strengthening e-resilience,such as specific strategies to incorporate ICT and spaceapplications into disaster risk reduction and disaster managementplanning. The note contains a discussion of current efforts by theEconomic and Social Commission for Asia and the Pacific to enhanceregional cooperation on space and geographic information systemsfor e-resilience, followed by lessons learned, particularlypertaining to the implementation of ICT and space applications fordisaster risk reduction, and issues for consideration by theCommittee on Information and Communications Technology, Science,Technology and Innovation.",
"I. Introduction",
"1. Asia and the Pacific is the world’s most disaster-prone region, as highlighted in the Asia-Pacific Disaster Report 2015: Disasters without Borders – Regional Resilience for Sustainable Development.[1] Between 2005 and 2014, there were 1,625 reported natural disaster events within the region, which affected 1.4 billion people, killing approximately half a million people and causing more than 520 billion dollars’ worth of damage. This number represented over 40 per cent of all reported natural disaster events worldwide, 45 per cent of all related damage, 60 per cent of all deaths and 80 per cent of all affected people globally during the same period, as illustrated and expanded upon in figure I.",
"Figure I",
"Occurrence and impact of disasters in the Asia-Pacific region by type, 2005-2014",
"[][] \n [][]",
"Source: Asia-Pacific Disaster Report 2015: Disasters without Borders – Regional Resilience for Sustainable Development (United Nations publication, Sales No. E.15.II.F.13).",
"2. Damage and loss to economic and social infrastructure, not to mention loss of human lives, have negated hard-won development gains and set countries back by several years. The Asia- Pacific Disaster Report 2015 thus concludes that addressing disaster risk reduction is a development imperative in Asia and the Pacific.",
"3. In response to the increasing damage and losses, the Sendai Framework for Disaster Risk Reduction 2015-2030 has shifted focus from responding to disasters to managing disaster risks, while proposing seven tangible targets to assess progress.[2] The Framework enunciates the following four priorities for action: understanding disaster risk; strengthening disaster risk governance to manage disaster risk; investing in disaster risk reduction for resilience; and enhancing disaster preparedness for effective response and to “Build Back Better” in recovery, rehabilitation and reconstruction.",
"II. Information and communications technology and space technology and applications for disaster risk reduction in Asia and the Pacific",
"4. At times disaster, information and communications technology (ICT), including space technology and applications, has proven to be effective in delivering vital disaster response and emergency communication services, while maintaining the operations of other critical infrastructure – such as management of the power grid, medical and health services, weather forecasting, natural resource management and transport systems – which are essential for the logistics of humanitarian aid. In recognition of the critical roles that ICT plays before and after disasters, the Committee on Disaster Risk Reduction at its fourth session, in 2015, requested the secretariat of the Economic and Social Commission for Asia and the Pacific (ESCAP) to expand its support to disaster information management and e-resilience.[3] In recognition of the importance of e-resilience, the Asia-Pacific information superhighway, a regional broadband connectivity initiative, specifically promotes the enhancement of ICT infrastructure resilience as one of its four pillars.[4]",
"5. Space technology applications and geographic information systems (GIS) support decision-making during disaster response and provide an evidence-based approach at all phases of the disaster management cycle. By providing the products and tools necessary to acquire, process, store, distribute and utilize geospatial data effectively, such innovative technologies can help quantify risks and plan actions accordingly. Many countries that are prone to disasters are increasingly taking advantage of this growing field of research and development and adapting it to address disaster management in pursuit of sustainable development.",
"6. While developed countries that have existing satellite technology infrastructure experience the benefits of such innovations, many other countries are potentially left behind, adding another dimension to the already widening digital divide in Asia and the Pacific. Disaster-prone countries – in particular countries with special needs, including least developed countries, landlocked developing countries and small island developing States – can benefit from the use of space technology applications and GIS for disaster risk reduction, disaster risk management and, ultimately, sustainable development.",
"III. E-resilience",
"7. Given the increased recognition of its importance, new emphasis has been placed on the conceptualization and operationalization of e-resilience and, more specifically, how to design and implement more resilient ICT infrastructure and services, including space technology and applications, as part of overall disaster risk reduction efforts in the region. Addressed holistically, e-resilience has the potential to reduce disaster risks and improve disaster management and preparedness.",
"8. ICT is considered crucial to the broader context of achievement of the Sustainable Development Goals. The 2030 Agenda for Sustainable Development recognizes that the spread of ICT and global interconnectedness has great potential to accelerate human progress, to bridge the digital divide and to develop knowledge societies.[5] The most closely related Sustainable Development Goal explicitly specifying ICT in this context is Goal 9 which aims to build resilient infrastructure, and within it means of implementation target 9.c, which seeks to significantly increase access to information and communications technology and strive to provide universal and affordable access to the Internet in least developed countries by 2020.[6] However, as a development enabler, ICT supports all the other Sustainable Development Goals by integrating e-resilience as a basis for sustainable development, and hence should be considered as a priority on the development agenda in Asia and the Pacific.",
"9. Resilience can be defined as the ability of a system, community or society exposed to hazards to resist, absorb, accommodate to and recover from the effects of a hazard in a timely and efficient manner, including through the preservation and restoration of its essential basic structures and functions.[7] When applied specifically to ICT (e-resilience), the concept implies two dimensions: (a) ICT for disaster response and recovery, including the rapid restoration of ICT infrastructure and services; and (b) ICT for disaster risk prevention, risk reduction and preparedness. The two dimensions of e-resilience were described in an ESCAP study on the resilience of ICT infrastructure,[8] and are illustrated in figure II, which has been modified from an analysis of how ICT systems had been effectively used in disaster responses to the 2004 tsunami in the Maldives and Sri Lanka and the 2011 earthquake in Japan.",
"Figure II",
"Disaster management cycle",
"Source: Adapted from ESCAP, “The resilience of ICT infrastructure and its role during disasters” (Bangkok, 2015). Available from www.unescap.org/sites/default/files/The%20resilience%20of%20ICT%20Infrastructures.pdf.",
"10. In the management of a disaster, providing the right information to the right people at the right time is critical to prompt timely actions and ensure coordination among different government and humanitarian organizations. The Asia-Pacific Disaster Report 2015 identifies five essential steps (figure III): (a) understanding risk; (b) having data- and information-sharing policies; (c) generating actionable information; (d) customizing information and reaching out to people at risk; and (e) using real-time information.",
"Figure III",
"E-resilience essential steps",
"[]",
"Source: Asia-Pacific Disaster Report 2015: Disasters without Borders – Regional Resilience for Sustainable Development (United Nations publication, Sales No. E.15.II.F.13).",
"11. ICT plays a key role in accelerating and facilitating disaster risk reduction efforts as an enabler, while at the same time being a sector to be protected. This distinction helps prioritize initiatives and efforts at all phases of disaster management (see table).",
"Role of ICT in disaster risk reduction",
"PhaseICTroles\tRiskprevention\tRiskreduction\tPreparednessand response\tRecovery\nKeytasks\tImprovingriskinformationas thebasis forinvestmentsandbusinessstrategiesandoperations\tReducing thechance ofdisasters andmitigatingthe level ofdisruption,damage andlosses\tGetting readyto respond to adisastereventualityadequately,appropriatelyand in timelymanner\tBeing ableto restorefunctions,recoverassets andoperationsand buildbackbetter\nICTforitsownresilience\t- Notcreatingorincreasingrisks- Notexacerbatingexistingrisks-Avoidingandtransferringrisks\t-Addressingtheunderlyingfactorsof risks- Reducingvulnerability-Increasingcapacityandprotection-Retrofitting- Reducingexposure- Investingin earlywarning\t- Planningfor systemand networkcontinuity- Ensuringsystemredundancyand back-up- Ensuringresponsereadiness- Trainingandconductingdrills- Planningforcontingency- Ensuringemergencyresponsemechanisms- Ensuringearlyrecovery\t-Performingarapidassessmentofdamageandlosses-Assessingneedsforrecovery-Factoringinadditionalinvestmenttoreducefuturerisks\nICTforsociety’sresilience\t- MakingICTavailabletoimproveriskassessments- Actingas acrucialanalysistool-Enhancingdevelopmentandbusinessinvestmentplanning\t- Keepingriskdatabases- Using GISfordecision-making,planningandmitigation- Using ICTas a toolforknowledge,innovationandeducation- Enhancingcoordinationvia ICT- Enhancingriskobservation,assessmentand earlywarningby ICT\t- Using ICTassociety’sasset toenhancepreparedness- Using ICTas a toolfor rapidassessmentandemergencydecision-making(assessment,mapping,databasesandplanning)- Enhancingemergencyandhumanitariancommunicationandcoordination\t-Enhancingrapidassessmentsanddetailedpost-disasterneedsassessments-Informingmorerobustfutureinvestmentwithintherecoveryframework",
"Source: Economic and Social Commission for Asia and the Pacific, “Unleashing the ICT contributions in DRR and CCA under the sustainable development” (Bangkok, 2016). Available from www.unescap.org/sites/default/files/For%20show%20Prospect%20of%20Gateway%20as%20a%20nexus%20of%20DRR%20and%20ICT.pdf.",
"IV. Highlights of national and regional studies on e-resilience",
"12. ESCAP has actively pursued a research agenda to identify ways in which telecommunication networks can be strengthened to enhance e‑resilience. A series of country-level case studies (Sri Lanka, China, the Philippines and Mongolia) with a consolidated regional review and a data-gathering exercise including examples at the national, subregional and regional levels were conducted. These analytical exercises provided evidence of the significant role that ICT can play in promoting inclusive and disaster-resilient development and assisting disaster management agencies before and after the event.",
"13. In Sri Lanka, since the tsunami in 2004, the focus of the disaster risk reduction policy has shifted from reactive to proactive.[9] Examples of current uses of ICT in disaster risk reduction include the installation of 77 multi-hazard warning towers along the coastal belt. To ensure redundancy, the national emergency operations centre is connected to numerous communications systems.",
"14. In the case of China, most natural disasters affect densely populated areas where the telecommunications infrastructure is relatively well developed.[10] However, there is significant regional disparity across China in terms of deployment of the ICT infrastructure and the availability and affordability of ICT services to the local population. This divide may have an impact on the effectiveness of ICT systems for disaster risk management and the resilience of the ICT infrastructure.",
"15. The Philippines has shifted its focus from disaster response to a holistic and proactive approach to disaster risk reduction, with the intention of increasing the resilience of the ICT infrastructure.[11] The Philippine Disaster Risk Reduction and Management Act (2010) serves as the country’s overall policy and framework and guides the work of the National Disaster Risk Reduction and Management Council. The Act stipulates that various stakeholders participate in the development, updating and sharing of information on disaster risk reduction, in which ICT plays a critical role, especially in assisting coordination efforts among different stakeholders involved in disaster risk reduction and management.",
"16. The Information Technology, Post and Telecommunication Authority of Mongolia has been implementing major telecommunications infrastructure initiatives, including the development of a fibre-optic backbone network.[12] The majority of the fibre-optic cables are installed underground, thus providing optimal robustness against damage and requiring only a short repair time. However, there is an absence of redundancy in the central parts of Mongolia, where some of the country’s worst earthquakes have occurred.",
"17. Important lessons can be learned from a study on the use of ICT after the great east Japan earthquake of 2011.[13] The earthquake had a devastating effect on the ICT infrastructure. Based on the lessons learned during and after this earthquake, the Government of Japan carried out a number of measures and provided specific recommendations. Furthermore, transmission cables were moved inland, those on bridges were moved under water and ring network topologies were adapted with bypass routes added for redundancy.",
"18. Based on the above studies, on good practices and on lessons learned, the secretariat has identified critical factors for e-resilience in the context of the Asia-Pacific information superhighway, as follows: (a) shortening the time needed for restoration after a disaster; (b) knowing disaster risks and designing for resilience; (c) ensuring last-mile connectivity; (d) promoting mobile and other communication means for redundancy and emergency communications; and (e) exploring innovative mobile, GIS and space applications and big data.[14] These critical factors are explored in more detail in the next section of the present note, while the specific initiatives of using space technology and applications follow in subsequent sections.",
"19. The first 72 hours after a disaster event are the most crucial time period in disaster response. Restoring affected telecommunication infrastructure as fast as possible is of particular importance in order to help authorities and people to make effective decisions using, to the extent possible, real-time information. Such information management facilitates the coordination of the delivery of food, water and other supplies by Governments and relief agencies. Understanding disaster risk characteristics is a starting point for e-resilience. ESCAP and the International Telecommunication Union have been mapping out the existing and planned ICT backbone networks under the Asia-Pacific information superhighway. The maps, studies and analysis have paved the way to identifying vulnerabilities in ICT backbone and broadband networks and to enhancing e‑resilience against potential hazards in the region. In the event of a disaster, ICT infrastructure is often damaged and networks experience above-average loads. As ICT infrastructure is not typically designed to handle such increased traffic, networks become congested and relief efforts are hindered. Hence, redundancy, network resilience and above-average network loads should specifically be taken into consideration in future plans to enhance ICT infrastructure, particularly backbone and access networks.",
"20. As to ensuring last-mile connectivity, after the earthquake in Nepal in 2015, while the telecommunications backbone in the affected areas was found to be largely intact, other components affecting last-mile connectivity, such as cell-phone towers, suffered damage, meaning that communication between the people was disabled. In other countries, mobile phones have been instrumental in distributing early warning of incoming disasters, as well as determining their impact using imagery and information submitted by the general public in the aftermath. It is important to use a systems-based approach in network planning, with focus on last-mile connectivity and e‑resilience in all components.",
"21. Some technologies that are used to collect information after a disaster are purpose-specific and usually involve custom software, whereas others rely on social media and were developed for other purposes. The advantage of purpose-specific applications is that the information can be easily analysed and made understandable to relief works, whereas social media are generally less structured and the general public can participate. A newer generation of tools for managing disasters and crises are designed to consolidate these types of structured and unstructured data for quick decision-making.",
"22. Big data also holds promise for enhanced e-resilience. While most practical applications of big data in disaster scenarios are still experimental, useful cases have emerged in incidents such as the earthquake in Haiti in 2010. A survey conducted by the Japanese Ministry of Internal Affairs and Communications of Japan also suggests that big data is expected to make significant contributions to disaster risk reduction in Japan.[15]",
"V. Regional cooperation for space technology and applications towards e-resilience",
"23. The secretariat has continued to conduct a number of programmes to enhance access to space technology applications and GIS for disaster risk reduction and e-resilience for the member countries. The Sendai Framework for Disaster Risk Reduction 2015-2030 was adopted during the lead-up to the United Nations development agenda beyond 2015, specifically promoting space applications for disaster management. The Commission subsequently adopted its resolution 71/12, at its seventy-first session, on strengthening regional mechanisms for the implementation of the Framework in Asia and the Pacific. In this context, the secretariat has, among other activities, been supporting the development of regional cooperation mechanisms for disaster management at the local, national and global level to ensure that disasters with transboundary origins are effectively responded to through the sharing of reliable and timely geospatial data and information.",
"24. In relation to the implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development, 2012-2017, member States adopted Commission resolutions 68/5 and 69/11.[16] These resolutions promote regional cooperation with regard to access to space technology for disaster risk reduction through the sharing of relevant space-technology-based information and GIS applications for sustainable development in the Asia-Pacific region, and call for a ministerial conference to evaluate progress and garner additional effort to proliferate the use of such technologies for disaster-related activities.",
"25. The impact of natural disasters very often goes beyond the boundaries of a single country, given that weather and geographical topography do not stop at the boundaries of any one country, city or administrative boundary. Managing disaster risk thus also requires cooperation between neighbouring countries. In Asia and the Pacific, ESCAP, the only regional commission with a programme on space technology applications, supports regional cooperation to ensure access to the technologies and geospatial data necessary for disaster management and sustainable development. Through its Regional Space Applications Programme for Sustainable Development, the ESCAP secretariat brings together space agencies and related stakeholders under one common purpose.[17]",
"26. The secretariat has also continued to coordinate with existing global and regional initiatives, programmes and resources through the following core activities.",
"A. Timely provision of near real-time satellite imagery to disaster-affected countries",
"27. The secretariat, during times of disaster and upon the request of member States, continues to provide support through the facilitation of near real-time satellite imagery and access to geospatial data. This support remains possible thanks to the strategic partnership between ESCAP and the Operational Satellite Applications Programme of the United Nations Institute for Training and Research and through the long-standing ESCAP Regional Space Applications Programme for Sustainable Development network. Disaster-affected member States can therefore receive support for effective emergency response, post-disaster damage and impact assessment and policy advice on recovery and rehabilitation. Such services are of particular benefit to countries with special needs, which normally lack the infrastructure and institutional arrangements required to access and maintain their own well-integrated monitoring, early warning and response mechanisms.",
"B. Regional Cooperative Mechanism for Drought Monitoring and Early Warning",
"28. Many countries in the region face tremendous challenges in the area of drought monitoring, early warning and management. Given that many people are reliant on the agricultural sector for their basic livelihood needs and that the economies of many countries are at least partially dependent on the sector, agricultural drought is a serious development challenge in Asia and the Pacific. As outlined in the Asia-Pacific Disaster Report 2015, drought has affected more than 1.31 billion people over the past 29 years, causing damage worth more than $53 billion in the region. The challenges facing countries in the region include a relatively weak capacity to access and analyse critical information, a lack of effective methodologies to combine space-based data and products with ground-based data for appropriate decision-making, very few regional platforms for sharing such knowledge and good practices, and a lack of coordination and cooperation among agencies and institutions at the national level.",
"29. In response, ESCAP launched the Regional Cooperative Mechanism for Drought and Early Warning, which brings together regional resources in space and GIS applications and enhances the capacity for integrated analysis of space and in-season ground data and information, in order to build the resilience of agrarian communities in developing countries that are perennially affected by drought.[18] Under the Drought Mechanism, participating pilot countries in Asia and the Pacific have benefited from enhanced access to space-based data, products and services; institutional capacity-building in drought preparedness and response; strengthened institutional coordination and policies at the country level; and regional and South-South cooperation and support. Eight countries have requested to join the Drought Mechanism’s pilot programme: Afghanistan, Bangladesh, Cambodia, Kyrgyzstan, Mongolia, Myanmar, Nepal and Sri Lanka. The National Remote Sensing Centre of China, the National Remote Sensing Centre of the Indian Space Research Organization and most recently the Geo-Informatics and Space Technology Development Agency of Thailand have been acting as regional service nodes to the Drought Mechanism, supporting the pilot countries by providing space-based data and products and capacity-building assistance for effective drought monitoring, early warning and management.",
"30. The National Remote Sensing Centre of Mongolia is now developing and utilizing the drought monitoring system and maps, and is considering ways to extend the system to crop monitoring. In Sri Lanka, a recent high-level forum developed a road map that aims to enable the country to develop and effectively utilize space-derived information to monitor drought without the support of the regional service nodes. Plans have also been developed for Cambodia and Myanmar, with preliminary training in mid-2016.",
"31. The Drought Mechanism also complements the Global Framework for Climate Services of the World Meteorological Organization with respect to monitoring in-season crop conditions.[19] During the pilot programme in the eight pilot countries, the Drought Mechanism has been linked to slow-onset disasters through monsoon forums in Cambodia, Myanmar, Nepal and Sri Lanka. Against the backdrop of the 2015/2016 El Niño phenomenon, the initial results from the Drought Mechanism pilot countries signal a promising trend and a need to scale up the pilot programme with a twin-track strategy. First, the Drought Mechanism will offer a variety of actionable risk information products and services, such as climate outlook, seasonal forecast, in-season monitoring and scenario-based impact outlooks. Second, it will capitalize on existing platforms for risk communication such as national monsoon forums and regional climate outlook forums.[20]",
"C. Skills and capacity development to address existing gaps and emerging challenges",
"32. Although the Asia-Pacific region has a growing number of spacefaring countries, space technologies are not yet fully benefitting vulnerable people in developing countries, in particular countries with special needs, because of a lack of capacity in terms of human, scientific, technological and institutional resources. Since the third session of the Committee on Disaster Risk Reduction, the secretariat has made efforts to develop member States’ capacities through a series of specialized programmes, based on the needs identified through surveys and a regional inventory on space technology and GIS applications. The focus areas include mainstreaming space applications into disaster risk management; using space applications and GIS in flood-risk mapping, drought monitoring and early warning; facilitating the establishment and use of the Geo-referenced Information System for Disaster Risk Management in countries with special needs; and providing technical advisory services on the effective use of space technology and GIS for disaster management.",
"33. Besides the short-term capacity-building events, the secretariat also worked with the Centre for Space Science and Technology Education in Asia and the Pacific – the node of the Regional Space Applications Programme for Sustainable Development training network – to provide a nine-month postgraduate course on remote sensing and GIS applications.[21] Since 2014, the secretariat has sponsored seven government officials from Fiji, Myanmar, Mongolia and Kyrgyzstan to attend this postgraduate course, with a scholarship provided by the Indian Government.",
"D. Institutional development through knowledge products, standards and procedures",
"34. ESCAP has supported member countries of the Association of Southeast Asian Nations (ASEAN), particularly countries with special needs in the subregion, by developing a set of procedural guidelines for national disaster management authorities and space agencies, for sharing space-based information during emergency response.[22] The guidelines were developed by ESCAP in collaboration with the United Nations Platform for Space-based Information for Disaster Management and Emergency Response, the Operational Satellite Applications Programme and the ASEAN Coordinating Centre for Humanitarian Assistance on Disaster Management, and with extensive consultation with practitioners in ASEAN countries. The recommended operating procedures within the procedural guidelines have been designed to echo working practices at the national, regional and international levels in order to support effective decision-making and provide a more evidence-based approach to integrating Earth observation and geospatial information into disaster emergency response.",
"35. Furthermore, the secretariat is currently developing a geospatial decision support handbook for specific hazards, in response to requests by member States during the 4th ASEAN workshop held in Bogor, Indonesia, in April 2016. The secretariat is also converting its recently published manual on rapid assessment for resilient recovery using innovative tools, techniques and space applications for the South Asian Association for Regional Cooperation to focus on the ASEAN region. The manual is designed to provide guidelines to enhance the capacity of government agencies to conduct rapid post-disaster needs assessments.",
"36. The secretariat has been promoting the use of geo-referenced information systems for disaster risk management portals and providing technical assistance for their establishment in Bangladesh, the Cook Islands, Fiji, Kyrgyzstan, Mongolia and Nepal. These portals (available through local intranets only) have been positioned within the appropriate in-country national authorities in order to be used for collecting, analysing and disseminating disaster-related data in a centralized, credible and inclusive manner, together with satellite imagery and socioeconomic information to support decision-making, and are therefore considered essential by the national authorities and agencies concerned.",
"37. To further support the capacity-building activities of the secretariat at the regional level, particularly in the development of Geo-referenced Information System for Disaster Risk Management portals, an online e‑learning platform was developed in 2015. The platform provides innovative courses that help practitioners to further develop their core skills of analysis and problem-solving using space technology and GIS applications for disaster risk management. This platform will enhance and facilitate information exchange relating to the application and operation of space technology and GIS applications for disaster risk management and to the development of relevant policies.",
"VI. Lessons learned",
"38. The Asia-Pacific region has achieved remarkable progress in space technology and GIS applications for disaster management and there is the momentum and strategic scope to further improve their use. Countries with special needs, which are at high risk of disasters and yet have low capacity to respond to them, are facing special challenges such as limited access to ICT and space infrastructure, a shortage of human capital and a lack of technical capacity. These challenges can impede their access to such innovative technologies, which are therefore rendered impractical and underutilized. As stipulated in various United Nations frameworks, it is important that the United Nations system, including regional commissions and their partners, make continuous and concerted efforts to improve the accessibility, availability and affordability of ICT and space applications to those countries by reducing institutional and technical barriers surrounding such innovations while enhancing e-resilience.",
"VII. Issues for consideration by the Committee",
"39. The secretariat, in collaboration with all partners and stakeholders, will continue to focus on providing assistance to the member States in reducing disaster risks at all levels. In particular, the secretariat will continue efforts to enhance e-resilience in the framework of the Asia-Pacific information superhighway; strengthen regional cooperation and integration through the Regional Space Applications Programme for Sustainable Development and through implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development, 2012-2017; promote the operationalization of the Regional Cooperative Mechanism for Drought Monitoring and Early Warning; enhance capacity-building of member States with a focus on countries with special needs; and undertake analytical research to identify emerging challenges and needs.",
"40. The Committee may wish to:",
"a. Guide the secretariat’s work priorities in the area of e‑resilience, in particular with respect to space applications and technology;",
"b. Support the work of the secretariat on enhanced e-resilience within the framework of the Asia-Pacific information superhighway and on the Regional Cooperative Mechanism for Drought Monitoring and Early Warning;",
"c. Support and contribute to efforts by the secretariat to assist developing countries to gain from advances in applications of space technology and GIS by increasing access to and use of geospatial information, particularly the regional land cover data set and change monitoring, and strengthening disaster risk modelling on floods, monitoring and impact assessment through the development of a series of customized standard operating procedures;",
"d. Encourage member States to carry out activities in support of Commission resolutions 69/11 on implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development, 2012-2017, and 71/12 on strengthening regional mechanisms for the implementation of the Sendai Framework for Disaster Risk Reduction 2015-2030 in Asia and the Pacific, and update the secretariat on steps taken;",
"e. Support and contribute to efforts by the secretariat to survey the capacity of developing countries with regard to geospatial information management, with a view to providing guidance on a regional plan for capacity-building for 2016-2020, focusing on countries with special needs;",
"f. Invite member States to host a ministerial conference on space applications for disaster risk reduction and management and sustainable development in Asia and the Pacific, in accordance with Commission resolution 69/11, in 2016 or 2017;",
"g. Encourage the sharing of information, experience and technological know-how through ESCAP e-learning platforms and training facilities on space technology and GIS applications for the benefit of countries that are at high risk of disasters but have low capacity to cope with their mitigation.",
"[1] Asia-Pacific Disaster Report 2015: Disasters without Borders – Regional Resilience for Sustainable Development (United Nations publication, Sales No. E.15.II.F.13).",
"[2] General Assembly resolution 69/283, annex II.",
"[3] See E/ESCAP/CDR(4)/6.",
"[4] For more details on the Asia-Pacific information superhighway initiative, see documents E/ESCAP/CICTSTI(1)/1 and E/ESCAP/72/17.",
"[5] General Assembly resolution 70/1.",
"[6] Other targets and means of implementation targets that explicitly mention ICT include 4.b on education and lifelong learning, 5.b on gender equality and empowerment of all women and girls and 17.8 on means of implementation and the global partnership.",
"[7] See www.unisdr.org/we/inform/terminology.",
"[8] Economic and Social Commission for Asia and the Pacific, “The resilience of ICT infrastructure and its role during disaster” (Bangkok, 2015). Available from www.unescap.org/sites/default/files/The%20resilience%20of%20ICT%20Infrastructures.pdf.",
"[9] Economic and Social Commission for Asia and the Pacific, “Building e-resilience in Sri Lanka: enhancing the role of information and communications technology for disaster risk management” (Bangkok, 2016). Available from: www.unescap.org/resources/building-e-resilience-sri-lanka-enhancing-role-information-and-communications-technology.",
"[10] Economic and Social Commission for Asia and the Pacific, “Building e-resilience in China: enhancing the role of information and communications technology for disaster risk management” (Bangkok, 2016). Available from: www.unescap.org/resources/building-e-resilience-china-enhancing-role-information-and-communications-technology.",
"[11] Economic and Social Commission for Asia and the Pacific, “Building e-resilience in the Philippines: enhancing the role of information and communications technology for disaster risk management” (Bangkok, 2016). Available from www.unescap.org/resources/building-e-resilience-philippines-enhancing-role-information-and-communications-technology.",
"[12] Economic and Social Commission for Asia and the Pacific, “Building e-resilience in Mongolia: enhancing the role of information and communications technology for disaster risk management” (Bangkok, 2016). Available from: www.unescap.org/resources/building-e-resilience-mongolia-enhancing-role-information-and-communications-technology.",
"[13] See Economic and Social Commission for Asia and the Pacific, “Building e‑resilience: enhancing the role of ICTs for disaster risk management (DRM)” (Bangkok, 2016). Available from www.unescap.org/resources/building-e-resilience-enhancing-role-icts-disaster-risk-management-drm.",
"[14] Economic and Social Commission for Asia and the Pacific, “Enhancing e-resilience of ICT infrastructure: gaps and opportunities in disaster management” (Bangkok, 2015). Available from www.unescap.org/resources/enhancing-e-resilience-ict-infrastructure-gaps-and-opportunities-disaster-management.",
"[15] Ministry of Internal Affairs and Communications, Japan, “White paper 2015: information and communications in Japan” (Tokyo, 2015). Available from www.soumu.go.jp/main_sosiki/joho_tsusin/eng/whitepaper.html.",
"[16] Commission resolutions 68/5 on the Asia-Pacific Years of Action for Applications of Space Technology and the Geographic Information System for Disaster Risk Reduction and Sustainable Development, 2012-2017, and 69/11 on implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development, 2012-2017.",
"[17] See www.unescap.org/events/18th-session-intergovernmental-consultative-committee-icc-regional-space-application.",
"[18] See www.unescap.org/sites/default/files/Final_Drought%20brief.pdf.",
"[19] See www.wmo.int/gfcs/node/807.",
"[20] See http://public.wmo.int/en/our-mandate/climate/regional-climate-outlook-products.",
"[21] See www.cssteap.org and www.unescap.org/our-work/ict-disaster-risk-reduction/space-technologies-and-gis-applications-sustainable-development/about.",
"[22] Economic and Social Commission for Asia and the Pacific, “Procedural guidelines for NDMAs and space agencies in ASEAN countries: for sharing space‐based information during emergency response – 7-step quick guide” (Bangkok, 2016). Available from www.unescap.org/sites/default/files/7%20Step%20-%20Quick%20Guide.pdf."
] | E_ESCAP_CICTSTI(1)_5 | [
"Economic and Social Commission for Asia and the Pacific",
"Space applications as an important tool for enhancing e-resilience",
"Note by the Secretariat",
"In view of the increasing damage and loss from natural disasters in the region, the design and implementation of more resilient infrastructure and services related to information and communications technologies (ICTs), including space technology and applications, as part of the overall work on disaster risk reduction, has become a new focus. The integrated application of resilient ICT infrastructure and the effective use of ICTs at all stages of disaster management, or e-resilience, have the potential to reduce disaster risk and improve disaster management and preparedness. The present note outlines the role of ICT, including space applications, in all phases of disaster management. In particular, the present note reviews national and regional initiatives and good practices aimed at strengthening e-resilience, such as specific strategies for integrating ICT and space applications into disaster risk reduction and disaster management planning. The present note begins with a discussion of the ongoing work of the Economic and Social Commission for Asia and the Pacific (ESCAP) to expand regional cooperation in space and geographic information systems for e-resilience, followed by a discussion of lessons learned, in particular with regard to the implementation of ICT and space applications for disaster risk reduction, and concludes with a discussion of topics for consideration by the Committee on Information and Communications Technology, Science, Technology and Innovation.",
"Introduction",
"As highlighted in the Asia-Pacific Disaster Report 2015: Disasters Without Borders - Building Regional Resilience for Sustainable Development, Asia and the Pacific is the most disaster-prone region in the world. [1] Between 2005 and 2014, 1,625 natural disasters were reported in the region, which affected 1.4 billion people, killed nearly half a million people and cost more than $520 billion. This figure represents more than 40 per cent of all reported natural disasters worldwide during the same period, 45 per cent of all related losses, 60 per cent of all deaths and 80 per cent of the global disaster-affected population, as shown in figure I.",
"Figure I",
"[] The Asia-Pacific region, by category, for the period 2005-2014",
"[ ] -- -- -- -- -- -- -- -- -- [ ] [ ]",
"Source: Asia-Pacific Disaster Report 2015: Disasters Without Borders - Building Regional Resilience for Sustainable Development (United Nations publication, Sales No. E.15.II.F.13).",
"2. The damage and damage to economic and social infrastructure, not to mention the loss of human lives, undermines hard-won development gains and sets the country back for years. The Asia-Pacific Disaster Report 2015 therefore concluded that the immediate priority for development in Asia and the Pacific was to address disaster risk reduction.",
"3. In response to increasing damage and loss, the Sendai Framework for Disaster Risk Reduction 2015-2030 shifted its focus from disaster response to disaster risk management, with seven specific targets for assessing progress. [2] The Framework sets out four priority actions: understanding disaster risk; strengthening disaster risk governance; managing disaster risk; investing in disaster risk reduction and improving resilience; and strengthening preparedness to respond effectively and “rebuild better” disaster areas in recovery, rehabilitation and reconstruction.",
"Information and communications technology and space technology and applications for disaster risk reduction in Asia and the Pacific",
"Information and communication technologies (ICTs), including space technology and applications, have proved to be effective in providing important disaster response and emergency communications services in the event of disasters, while maintaining the operation of other critical infrastructure, such as the management of electricity grids, medical and health services, weather forecasting, natural resource management and transport systems, which are important for the logistics of humanitarian assistance. Recognizing the critical role of ICT in pre- and post-disaster settings, the Committee on Disaster Risk Reduction, at its fourth session, in 2015, requested the secretariat of the Economic and Social Commission for Asia and the Pacific (ESCAP) to expand its support for disaster information management and e-resilience. [3] Recognizing the importance of e-resilience, the Asia-Pacific Information Super Highway, as a regional broadband connectivity initiative, has contributed specifically to enhancing the resilience of ICT infrastructure as one of its four pillars. [4]",
"5. Space technology applications and GIS support decision-making during disaster response and provide evidence-based approaches at all stages of the disaster management cycle. By providing the products and tools needed to purchase, process, store, disseminate and use geospatial data effectively, this innovative technology can assist in quantifying risks and planning corresponding actions. Many disaster-prone countries are increasingly using this growing area of research and development and applying it to disaster management with a view to achieving sustainable development.",
"While developed countries with existing satellite technology infrastructure have benefited from this innovation, many others may be lagging behind, adding to the growing digital divide in Asia and the Pacific. Disaster-prone countries, particularly those with special needs, including least developed countries, landlocked developing countries and small island developing States, could benefit from the use of space technology applications and geographic information systems to promote disaster risk reduction, disaster risk management and, ultimately, sustainable development.",
"III. Electronic resilience",
"7. As a result of the increased awareness of its importance, the concept and application of e-resilience has received increased attention, specifically as part of the overall disaster risk reduction efforts in the region to design and implement more resilient ICT infrastructure and services, including space technology and applications. An integrated approach would make it possible to reduce disaster risk and improve disaster management and preparedness.",
"ICTs were considered essential in the broader context of achieving sustainable development goals. The Sustainable Development Agenda 2030 recognizes that the diffusion of ICT and global connectivity have great potential to accelerate human progress, narrow the digital divide and create a knowledge society. [5] The most closely related sustainable development goal, which explicitly refers in this regard to ICT, is Goal 9, which aims at building resilient infrastructure, and Goal 9.c, which seeks to achieve significant universal access to information and communication technologies, and aims to achieve universal access to Internet services in least developed countries by 2020 at affordable prices. [6] However, as a means of advancing development, ICT should be a priority for the development agenda in Asia and the Pacific by supporting all other sustainable development goals by using e-resilience as a basis for sustainable development.",
"Resilience can be defined as the ability of a system, community or society to withstand, absorb and recover from the effects of a disaster in a timely and effective manner, including the protection and rehabilitation of basic infrastructure and its functions. [7] The specific application of this concept to ICT (e-resilience) implies two dimensions: (a) ICT for disaster response and recovery, including the rapid rehabilitation of ICT infrastructure and services; and (b) ICT for disaster prevention, risk reduction and preparedness. These two aspects of e-resilience were presented in an ESCAP study on the resilience of ICT infrastructure,[8] and illustrated in figure II that it was revised on the basis of an analysis of the effectiveness of ICT systems in response to the 2004 tsunami in Maldives and Sri Lanka and the 2011 earthquake in Japan.",
"Figure II",
"Disaster management cycle",
"Source: Based on ESCAP, “The resilience of ICT infrastructure and its role in times of disasters” Prepared by Bangkok, 2015. See www.unescap.org/sites/default/files/The%20response%20of%20",
"ICT%20Infrastructures.pdf.",
"10. In carrying out disaster management, the provision of appropriate information to appropriate personnel at the appropriate time is essential for prompt and timely action and for ensuring coordinated action between different Governments and humanitarian organizations. Five basic steps were identified in the Asia and the Pacific Disaster Report 2015 (figure III): (a) understanding risk; (b) developing data and information-sharing policies; (c) producing actionable information; (d) customizing and communicating information to populations at risk; and (e) using real-time information.",
"Figure III",
"Important electronic resilience steps",
"[Laughs]",
"Source: Asia-Pacific Disaster Report 2015: Disasters Without Borders - Building Regional Resilience for Sustainable Development (United Nations publication, Sales No. E.15.II.F.13).",
"11. ICTs play an important role as enablers in accelerating and promoting disaster reduction and are also a protection sector. This feature helps to prioritize initiatives at all stages of disaster management (see table).",
"The role of ICT in disaster risk reduction",
"Risk prevention Risk reduction Risk reduction Disaster preparedness and response Role of information and communication technology Better provision of risk information as a basis for investment and business strategies and operations better planning for continuity of systems and networks Ensuring system redundancy and back-up - Ensuring response preparedness - Training and exercises - Planning for unexpected disasters - Ensuring that emergency mechanisms operate - Rapid damage and loss assessment - Assessment of recovery needs - Additional investment for future risk reduction - Avoiding and shifting risks - Addressing the underlying factors of risk - Reducing vulnerability - Increased capacity and protection - Refurbishment - Reducing risk - Investing in early warning systems and networks - Ensuring that system redundancy and back-up - Ensuring response preparedness - Training and exercises - Planning for unexpected disasters - Ensuring that emergency mechanisms operate - Rapid assessment of damage and loss - Assessing recovery needs - Improving information and communications technology (ICT) as a tool for rapid ICT assessment and assessment - Strengthening of information and communications technology (ICT) as a tool to enhance the use of information and communications technology (ICT) for risk assessment and for risk assessment and for rapid recovery - Strengthening the use of information and communications technology (ICT) as a tool for rapid-based assessment and for risk assessment and for rapid assessment of information technology",
"Source: Economic and Social Commission for Asia and the Pacific, Enhancing the contribution of ICT to disaster risk reduction and climate change adaptation for sustainable development (Bangkok, 2016). Available at www.unescap.org/sites/default/files/For%20show%20Prospect%20of%20Gateway%20as%20a%20nexus%20of%20DRR%20and%20ICT.pdf.",
"IV. Elements of national and regional studies on e-resilience",
"ESCAP has been active in a research project to identify ways to strengthen telecommunications networks and enhance e-resilience. A series of country-level case studies (Sri Lanka, China, the Philippines and Mongolia) were undertaken and compiled into a regional review report, and data collection was undertaken, including examples at the national, subregional and regional levels. These analytical work provides strong evidence of the significant role that ICT can play in promoting inclusive and resilient development and in assisting disaster management institutions in their work before and after disasters.",
"In Sri Lanka, since the tsunami of 2004, the focus of its disaster risk reduction policy has shifted from reactive to proactive response. [9] Examples of the current use of ICT for disaster risk reduction in the country include the establishment of 77 multi-hazard warning towers in coastal zones. To ensure redundancy, its National Emergency Operations Centre was connected to numerous communication systems.",
"3. In China, most natural disasters affect densely populated areas with more developed telecommunications infrastructure. [10] However, there are significant regional differences in the deployment of ICT infrastructure and the availability and affordability of ICT services to the local population in China, which may affect the effectiveness of ICT systems for disaster risk management and the resilience of ICT infrastructure.",
"4. The Philippines has refocused its response to disasters on a comprehensive and proactive approach to disaster risk reduction, with the aim of enhancing the resilience of ICT infrastructure. [11] The Philippine Disaster Risk Reduction and Management Act (2010) serves as the overall policy and framework for the country and guides the work of the National Commission on Disaster Risk Reduction and Management. The bill provides for the involvement of stakeholders in the development, updating and sharing of disaster risk reduction information, in which ICT plays a crucial role, in particular by facilitating coordination among the different stakeholders involved in disaster risk reduction and management.",
"5. The Information Technology, Post and Telecommunications Administration of Mongolia has been implementing a number of major telecommunications infrastructure initiatives, including the development of fibre-optic backbone networks. [12] Most of its fibre-optic cables are laid underground, thus providing optimal stability, are not vulnerable to damage and require only a short period of repair. However, in the central region of Mongolia, where some of the worst earthquakes occurred, there was no redundancy.",
"6. Some important lessons could be drawn from a study on the use of ICT in the aftermath of the 2011 Great East Japan Earthquake. [13] The earthquake caused significant damage to the ICT infrastructure. Based on lessons learned during and after the earthquake, the Government of Japan has taken a number of measures and provided some specific recommendations. In addition, transmission cables were moved inland, those on bridges were moved underwater, and the ring network layout was improved by adding bypass routes, thereby increasing redundancy.",
"Based on the above-mentioned studies, good practices and lessons learned, the secretariat has identified elements of e-resilience in the context of the Asia-Pacific Information Highway, which are as follows: (a) reducing the time required for disaster recovery; (b) understanding disaster risks and designing for resilience; (c) ensuring last-mile connectivity; (d) significantly enhancing mobility and other means of communication to ensure redundancy and emergency communications; and (e) exploring innovative mobile communications, geographic information systems and space applications and big data. [14] These critical elements will be discussed in detail in the next section of the present note, and in subsequent sections specific initiatives for the use of space technology and space applications will be explored.",
"8. The first 72 hours after a disaster occurred were the most critical time period for disaster response. It is particularly important to restore the affected telecommunications infrastructure as soon as possible so that authorities and the population can use real-time information to make efficient decisions as far as possible. Such information management helps to coordinate the delivery of food, water and other goods by Governments and relief agencies. Understanding the characteristics of disaster risk is the starting point for increasing e-resilience. ESCAP and the International Telecommunication Union have been developing existing and planned ICT backbone networks for the Asia-Pacific Information Highway. Relevant maps, research and analysis have paved the way for identifying the vulnerabilities of ICT backbone and broadband networks, as well as for increasing e-resilience to respond to potential disasters in the region. ICT infrastructure is often damaged and network traffic overloaded when disasters occur. As ICT infrastructure is often not designed to handle such increased flows, networks become congested, thus affecting relief efforts. Therefore, in future planning, specific consideration should be given to redundancy, network resilience and the above-mentioned overloading of networks to strengthen ICT infrastructure, particularly backbone and access networks.",
"9. With regard to ensuring the last mile of connectivity, in the aftermath of the 2015 earthquake in Nepal, while most of the telecommunications backbone networks in the affected areas were found to be safe, other components that affected the last mile of connectivity, such as cell phone towers, were damaged, which meant that people lost their communication capacity. In other countries, mobile phones are already playing a useful role in the dissemination of early warning of impending disasters and in the use of images and information submitted by the public to determine the impact of disasters in the aftermath of disasters. It was important to use a systematic approach to network planning and to focus on the last mile of connectivity and the e-resilience of all components.",
"10. Some of the technologies used to collect information after a disaster are specialized, usually involving customized software, while others rely on social media and are developed for other purposes. The advantages of dedicated applications can easily be used to analyse information and make it accessible to disaster relief personnel, and social media are often poorly structured and accessible to the general public. A new generation of disaster and crisis management tools was designed to compile these types of structured and non-structured data for rapid decision-making.",
"11. Big data are also promising in enhancing e-resilience. While the practical application of most large-scale disaster scenario data is still experimental, there are useful examples of disasters, such as the 2010 earthquake in Haiti. A survey conducted by the Ministry of General Services of Japan also indicated that large data are expected to make a significant contribution to disaster risk reduction in Japan. [15]",
"V. Regional cooperation in the use of space technology and applications to enhance e-resilience",
"The secretariat has continued to undertake a number of programmes to increase the use of space technology applications and geographic information systems (GIS) by member States for disaster risk reduction and e-resilience. The Sendai Framework for Disaster Risk Reduction 2015-2030, adopted prior to the United Nations development agenda beyond 2015, specifically advocates the use of space applications for disaster management. Subsequently, at its seventy-first session, the Commission adopted resolution 71/12 on strengthening regional mechanisms for the implementation of the Sendai Framework for Disaster Risk Reduction 2015-2030 in Asia and the Pacific. In this context, the Secretariat has been supporting, inter alia, the development of regional cooperation mechanisms for disaster management at the local, national and global levels to ensure the timely sharing of reliable geospatial data and information for effective responses to transboundary disasters.",
"13. To implement the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development 2012-2017, member States adopted Commission resolutions 68/5 and 69/11. [16] The resolutions promote regional cooperation in the Asia-Pacific region on the use of space technology for disaster risk reduction and sustainable development through the sharing of relevant space technology information and geographic information system applications, and call upon the Ministerial Conference to assess the progress made and to promote increased efforts to promote those technologies in disaster-related activities.",
"14. The impact of natural disasters often extends beyond the boundaries of individual States, as weather and geomorphology do not often stop at the boundaries of a State, city or administrative boundaries. Disaster risk management therefore also requires cooperation between neighbouring countries. In Asia and the Pacific, ESCAP is the only regional commission with space technology applications programmes, and ESCAP supports regional cooperation to ensure that countries have access to the technology and geospatial data necessary to manage disasters and promote sustainable development. Through its Regional Space Applications Programme for Sustainable Development, the ESCAP secretariat brings together national space agencies and relevant stakeholders for a common purpose. [17]",
"15. The secretariat has also continued to coordinate with existing global and regional initiatives, programmes and resources through a number of core activities.",
"A. Timely provision of near-real-time satellite imagery to affected countries",
"16. In the event of disasters and at the request of Member States, the Secretariat continued to provide assistance to assist them in accessing near-real-time satellite imagery and geospatial data. This continued assistance is possible thanks to the strategic partnership between ESCAP and the United Nations Institute for Training and Research Operational Satellite Applications Project and the long-standing ESCAP Regional Network on Space Applications for Sustainable Development. As a result, affected Member States can receive assistance in effective emergency response, post-disaster damage and impact assessment, and recovery and reconstruction policy recommendations. These services are of particular benefit to countries with special needs, which generally do not have access to and maintain the infrastructure and institutional arrangements required for their own more integrated monitoring, early warning and response mechanisms.",
"B. Regional cooperative mechanism for drought monitoring and early warning",
"17. Many countries in the region face enormous challenges in the areas of drought monitoring, early warning and management. Given that many people depend on agriculture for their basic needs and that many economies are at least partially dependent on agriculture, agricultural drought is a serious development challenge in Asia and the Pacific. As outlined in the Asia-Pacific Disaster Report 2015, over the past 29 years, drought has affected more than 1.31 billion people and caused more than $53 billion in damage to the region. The challenges faced by countries in the region included weak access to and analysis of key information, lack of effective methods for integrating spatial data and products with ground-based data for appropriate decision-making, few regional platforms for sharing such knowledge and good practices, and lack of coordination and cooperation at the national level among competent authorities and other institutions.",
"To address these challenges, ESCAP launched the Regional Cooperative Mechanism for Drought Monitoring and Early Warning, which brings together resources for space and geographic information system applications in the region and enhances the capacity for the integrated analysis of spatial and current-season ground data and information in order to help build resilience in rural communities in developing countries that are chronically affected by drought. [18] Pilot countries in the Asian and Pacific region have benefited greatly under the drought regime: increased access to spatial data, products and services; strengthened institutional capacity-building for drought preparedness and response; strengthened institutional coordination and policies at the national level; and strengthened regional and South-South cooperation and support. Eight countries have now requested to join the pilot programmes of the drought mechanism: Afghanistan, Bangladesh, Cambodia, Kyrgyzstan, Mongolia, Myanmar, Nepal and Sri Lanka. The National Centre for Remote Sensing of China, the National Centre for Remote Sensing of the Indian Space Research Organization and, more recently, the Agency for Geoinformation and Space Technology Development of Thailand have been serving as regional service nodes for drought mechanisms, supporting pilot countries by providing space data and products and capacity-building assistance to enable them to carry out drought monitoring, early warning and management more effectively.",
"19. The National Remote Sensing Centre of Mongolia is now developing and using drought monitoring systems and maps and is considering how to extend the system to crop monitoring. In Sri Lanka, a recent high-level forum developed a road map to enable the country to develop and effectively use space-derived information to monitor drought without the support of regional service nodes. Plans have also been developed for Cambodia and Myanmar, and initial training will take place in mid-2016.",
"The Drought Mechanism also complements the monitoring of crop growth in the current season of the Global Framework for Climate Services of the World Meteorological Organization. [19] In pilot programmes in eight pilot countries, drought mechanisms have been linked to slow-onset disasters through monsoon forums in Cambodia, Myanmar, Nepal and Sri Lanka. In the context of the El Niño phenomenon from 2015 to 2016, preliminary results from the drought mechanism pilot countries indicate promising trends and the need for a two-track strategy to expand the scope of the pilot programme. First, drought mechanisms will provide a range of actionable risk information products and services, such as climate outlooks, seasonal forecasts, current season surveillance and scenario-based impact expectations. Second, it will use existing risk communication platforms, such as national monsoon forums and regional climate outlook forums. [20]",
"C. Skills and capacity-building to address existing gaps and emerging challenges",
"21. Despite the growing number of space-faring countries in the Asia-Pacific region, space technology had not yet fully benefited vulnerable groups in developing countries, especially those with special needs, owing to lack of capacity in human, scientific, technical and institutional resources. Since the third session of the Committee on Disaster Risk Reduction, the secretariat has made many efforts to develop the capacity of member States through a series of specialized programmes, based on relevant surveys and needs identified by regional inventories of space technology and geographic information system applications. The focus areas include: mainstreaming space applications in disaster risk management; using space applications and geographic information systems (GIS) for flood risk mapping, drought monitoring and early warning; assisting countries with special needs in establishing and using “geo-referenced information systems for disaster risk management”; and providing technical advisory services on the effective use of space technology and geographic information systems for disaster management.",
"In addition to short-term capacity-building activities, the secretariat, in cooperation with the Centre for Space Science and Technology Education in Asia and the Pacific (node of the RESAP training network), provided nine-month postgraduate courses in remote sensing and GIS applications. [21] Since 2014, the Secretariat has sponsored seven government officials from Fiji, Myanmar, Mongolia and Kyrgyzstan to participate in this postgraduate course, for which the Government of India has provided a scholarship.",
"D. Promoting institutional development through knowledge products, standards and procedures",
"23. ESCAP assisted member States of the Association of Southeast Asian Nations (ASEAN), particularly those with special needs in the subregion, by developing a set of procedural guidelines for national disaster management authorities and space agencies to share space-based information in emergency response,[22] which were developed by ESCAP in collaboration with the United Nations Platform for Space-based Information for Disaster Management and Emergency Response, the Operational Satellite Applications Project and the Association of Southeast Asian Nations Coordination Centre for Humanitarian Assistance in Disaster Management, in broad consultation with practitioners in ASEAN countries. The recommended operational procedures of the procedural guidelines were designed to respond to working practices at the national, regional and international levels to support effective decision-making and to provide a more evidence-based approach to the integration of Earth observation and geospatial information into disaster response response.",
"24. In addition, the secretariat is currently developing a handbook on disaster-specific geospatial decision-making support to respond to requests made by member States during the fourth ASEAN workshop, held in Bogor, Indonesia, in April 2016. The secretariat is also in the process of adapting its recent handbook for the South Asian Association for Regional Cooperation on the use of innovative tools, skills and space applications for rapid assessment for disaster-resilient reconstruction to focus on the ASEAN region. The manual is intended to provide guidance to enhance the capacity of government agencies to undertake rapid post-disaster needs assessments.",
"The secretariat has been promoting the use of the Geo-referenced Information System for Disaster Risk Management portal and has provided technical assistance for the establishment of its branch websites in Bangladesh, the Cook Islands, Fiji, Kyrgyzstan, Mongolia and Nepal. These sites, which can be accessed only through local intranets, are considered essential by the relevant national authorities and institutions for the collection, analysis and dissemination of disaster-related data in a centralized, credible and inclusive manner, together with satellite imagery and socio-economic information that underpin decision-making.",
"To further support the secretariat's capacity-building activities at the regional level, in particular the development of the Geo-referenced Information System for Disaster Risk Management portal, an online e-learning platform was developed in 2015. The platform offers innovative courses that help practitioners to further develop their core skills in analysis and problem-solving in the use of space technology and GIS applications for disaster risk management. The platform will enhance and facilitate the exchange of information related to the application and operation of space technologies and geographic information systems for disaster risk management and the development of related policies.",
"Lessons learned",
"The Asia-Pacific region had made remarkable progress in the application of space technology and geographic information systems (GIS) for disaster management, and there was momentum and strategic space to further improve their use. Countries with special needs face particular challenges, such as limited access to ICT and spatial infrastructure, human capital shortages and lack of technical capacity, because of their higher disaster risks and low capacity to respond. These challenges have the potential to hinder their access to these innovative technologies, which can become impractical and underutilized. As set out in various United Nations frameworks, the United Nations system, including the regional commissions and their partners, is making a concerted and ongoing effort to improve the accessibility and availability of ICT and space applications in those countries and to reduce the burden on people by reducing barriers to these innovative institutions and technologies and enhancing e-resilience.",
"VII. Issues for consideration by the Commission",
"28. In cooperation with all partners and stakeholders, the secretariat will continue to focus on assisting member States in disaster risk reduction at all levels. In particular, the secretariat will continue its efforts to enhance e-resilience within the framework of the Asia-Pacific Information Highway; strengthen regional cooperation and integration through the Regional Space Applications Programme for Sustainable Development and the implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development 2012-2017; facilitate the operationalization of the Regional Cooperative Mechanism for Drought Monitoring and Early Warning; strengthen capacity-building in member States, with a focus on countries with special needs; and undertake analytical studies to identify emerging challenges and needs.",
"29. The Commission may wish to:",
"(a) Providing guidance on the priorities of the Secretariat in the area of e-resilience, in particular space applications and space technology;",
"(b) Supporting the work of the secretariat on enhancing e-resilience within the Asia-Pacific Information Super Highway framework and related work in the area of the Regional Cooperative Mechanism for Drought Monitoring and Early Warning;",
"(c) To support and facilitate the secretariat ' s assistance to developing countries in benefiting from advances in space technology and geographic information system applications by helping them to increase access to and use of geospatial information, in particular regional surface cover data sets and change monitoring, and to strengthen flood disaster risk modelling, monitoring and impact assessment by developing a set of customized standard operating procedures;",
"(d) Encouraged member States to undertake activities in support of the implementation of Commission resolutions 69/11 on the implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development, 2012-2017, and 71/12 on strengthening regional mechanisms for the implementation of the Sendai Framework for Disaster Risk Reduction, 2015-2030 in Asia and the Pacific, and to update the secretariat on the latest actions taken;",
"(e) Supporting and facilitating the Secretariat ' s survey of geospatial information management capacities in developing countries with a view to providing guidance on a regional plan for capacity-building for the period 2016-2020, with a focus on countries with special needs;",
"(f) In accordance with Commission resolution 69/11, invited member States to host the Ministerial Conference on Space Applications for Disaster Risk Reduction and Management and Sustainable Development in Asia and the Pacific in 2016 or 2017;",
"(g) Encourage the exchange of relevant information, experience and know-how through the ESCAP e-learning platform and training facilities on space technology and GIS applications for the benefit of countries with high disaster risk but low disaster reduction capacity.",
"[1] Asia-Pacific Disaster Report 2015: Disasters Without Borders - Building Regional Resilience for Sustainable Development (United Nations publication, Sales No. E.15.II.F.13).",
"[2] General Assembly resolution 69/283, annex II.",
"[3] See E/ESCAP/CDR(4)/6.",
"[4] For more information on the Asia-Pacific Information Highway Initiative, see E/ESCAP/CICTSI(1)/1 and E/ESCAP/72/17.",
"[5] General Assembly resolution 70/1.",
"[6] Other targets with specific reference to ICT and means of implementation include Goal 4.b on education and lifelong learning, 5.b on gender equality and the empowerment of all women and girls, and 17.8 on means of implementation and global partnerships.",
"[7] See www.unisdr.org/we/infom/terminology.",
"[8] ESCAP, “Resilientness of ICT infrastructure and its role in disasters” (United Nations publication, Sales No. Bangkok, 2015. Available at www.unescap.org/sites/default/files/The%20resilience%20of%20ICT%20Infrastructures.pdf.",
"[9] Economic and Social Commission for Asia and the Pacific, Building e-resilience in Sri Lanka: Enhancing the Role of ICT in Disaster Risk Management (Bangkok, 2016). Available at www.unescap.org/resources/building-e-resilience-sri-lanka-enhancing-roll-information-and-commissions-technology.",
"[10] Economic and Social Commission for Asia and the Pacific, Building Electronic Resilience in China: Enhancing the Role of ICT in Disaster Risk Management (Bangkok, 2016). Available at www.unescap.org/resources/building-e-resilience-china-enhancing-roll-institution-and-commissions-technology.",
"[11] Economic and Social Commission for Asia and the Pacific, Building Electronic Resilience in the Philippines: Enhancing the Role of Information and Communication Technologies in Disaster Risk Management (Bangkok, 2016). Available at www.unescap.org/resources/building-e-resilience-philippenes-enhancing-roll-information-and-commissions-technology.",
"[12] Economic and Social Commission for Asia and the Pacific, Building Electronic Resilience in Mongolia: Enhancing the Role of Information and Communication Technologies in Disaster Risk Management (Bangkok, 2016). Available at www.unescap.org/resources/building-e-resilience-mongolia-enhancing-role-information-and-communications-technology.",
"[13] Economic and Social Commission for Asia and the Pacific, Building e-resilience: enhancing the role of information and communication technologies in disaster risk management (Bangkok, 2016). Available at www.unescap.org/resources/building-e-resilience-enhancing-role-icts-disaster-risk-manage-drum.",
"[14] Economic and Social Commission for Asia and the Pacific, Enhancing e-resilience in ICT Infrastructure: Gaps and Opportunities in Disaster Management (Bangkok, 2015). Available at www.unescap.org/resources/enhancing-e-resilience-ict-infrestrucure-gaps-and-opportunities-disaster-management.",
"[15] Ministry of General Affairs of Japan, White Paper 2015: ICT in Japan (Tokyo, 2015). Available at www.soumu.go.jp/main_sosiki/joho_tsusin/eng/whitepaper.html.",
"[16] Implementation of the Asia-Pacific Plan of Action for Applications of Space Technology and Geographic Information Systems for Disaster Risk Reduction and Sustainable Development, 2012-2017, and Commission resolution 69/11.",
"[17] See www.unescap.org/events/18th-session-intergovernance-consultative-committee-icc-regional-space-application.",
"[18] See www.unescap.org/sites/default/files/Final_Drought%20brief.pdf.",
"[19] See www.wmo.int/gfcs/node/807.",
"[20] See http://public.wmo.int/en/our-mandate/climate/regional-climate-outbook-products.",
"[21] See: www.csstep.org and www.unescap.org/our-work/ict-disaster-risk-reduction/space-technology-and-gis-applications-sustainable-development/about.",
"[22] Economic and Social Commission for Asia and the Pacific, Guidelines for National Disaster Management Authorities and Space Agency Procedures in ASEAN Countries: Space-based Information Sharing during Emergency Response — Seven Steps Rapid Guide (Bangkok, 2016). Available at www.unescap.org/sites/default/files/7%20Sep%20-%20Quick%20Guide.pdf."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 \n 2016年10月5日至7日，曼谷",
"临时议程说明",
"本文件载有信息和通信技术，科学、技术与创新委员会第一届会议的临时议程（第一部分）以及临时议程说明（第二部分），旨在为委员会开展议事工作提供重点方向。",
"一．临时议程",
"1. 会议开幕：",
"(a) 致开幕词；",
"(b) 选举主席团成员；",
"(c) 通过议程。",
"2. 信息和通信技术政策议题：",
"(a) 努力建设亚太信息高速公路；",
"(b) 信息社会世界峰会行动方针落实情况区域审查；",
"(c) 空间应用作为提高电子抗灾能力的重要工具；",
"(d) 区域信息和通信技术促进发展的能力建设。",
"3. 科学、技术与创新政策议题：",
"(a) 采取下一步举措：制定亚洲及太平洋科学、技术和创新促进可持续发展的行动议程；",
"(b) 利用亚太创新论坛促进区域科学、技术和创新协作；",
"(c) 推动亚洲及太平洋各次区域科学、技术和创新合作机制间的知识共享。",
"4. 审议各个次级方案的未来工作重点。",
"5. 审议可能提交经社会第七十三届会议的决议草案。",
"6. 委员会第二届会议的举行日期、地点和临时议程。",
"7. 其他事项。",
"8. 通过委员会第一届会议的报告。",
"二．说明",
"1． 会议开幕",
"(a) 致开幕词",
"文件",
"暂定会议日程(E/ESCAP/CICTSTI(1)/INF/3)",
"说明",
"会议开幕式的暂定日程将在适当时候发布。",
"(b) 选举主席团成员",
"文件",
"与会者名单(E/ESCAP/CICTSTI(1)/INF/2)",
"说明",
"委员会将选举主席团成员，有两名主席，一名负责信息和通信技术，另一名负责科学、技术与创新；两名副主席；另有两名副主席担任各个委员会的报告员。",
"(c) 通过议程",
"文件",
"临时议程说明(E/ESCAP/CICTSTI(1)/L.1)",
"说明",
"委员会将审议、并在作出必要修改后通过临时议程说明。",
"秘书处在信通技术促进发展领域的工作有着具体和独到的考虑，专注于帮助亚太区域经济体受益于信通技术革命所提供的机遇，并且避免数码鸿沟演变为发展差距。因此，实质性工作的重中之重在于促进信通技术互联互通，审查本区域在落实信息社会世界峰会和《可持续发展目标》方面的进展情况，推动采取空间应用提高电子抗灾能力，以及在应用信通技术促进可持续发展方面开展能力建设。",
"科学、技术和创新方案的重点在于发掘科学、技术和创新促进可持续发展的最佳实践，并关注于政策、投资战略和有效的扶持环境。方案还将确定亚太创新论坛的职权范围并推动各个次区域科学、技术和创新合作机制（例如：亚洲太平洋经济合作组织（亚太经合组织）和东南亚国家联盟（东盟））之间的知识共享，从而着重查明如何以最好的方式交流最佳实践、推动知识共享和采取集体行动。",
"议程项目2和议程项目3将在两个不同的平行会议上进行审议。委员会将在最后的联合全会上通过一份报告（议程项目(8)）。",
"2． 信息和通信技术政策议题",
"(a) 努力建设亚太信息高速公路",
"文件",
"努力建设亚太信息高速公路(E/ESCAP/CICTSTI(1)/1)",
"亚太信息高速公路总体计划(E/ESCAP/CICTSTI(1)/2)",
"亚太信息高速公路区域合作框架文件(E/ESCAP/CICTSTI(1)/3)",
"说明",
"秘书处将介绍该议程项目，然后就区域范围利用亚太信息高速公路开发宽带基础设施以及提供负担得起、可靠的宽带互联网服务方面所取得的进展举行公开讨论。",
"亚洲及太平洋经济社会委员会（亚太经社会）成员国在亚太经社会第69/10号决议中认识到，有必要推动交流与信通技术基础设施发展相关的最佳做法、经验和知识，包括对可能妨碍整个区域努力以无缝方式同步部署基础设施的各种政策和监管障碍进行深入分析。",
"根据经社会第71/10号决议，亚太信息高速公路工作组于2015年9月举行会议。会上商定成立指导小组制定一份有关亚太信息高速公路四大支柱的长期愿景和具体活动的总体计划草案。之后，2016年8月在中国举行的亚太信息高速公路工作组审查了总体计划草案。",
"请委员会审议并核可本议程项目下文件中所载建议。",
"(b) 信息社会世界峰会行动方针落实情况区域审查",
"文件",
"信息社会世界峰会行动方针落实情况区域审查(E/ESCAP/CICTSTI(1)/4)",
"说明",
"经社会第72/10号决议授权秘书处，作为委员会会议工作的一部分，就信息社会世界峰会行动方针的落实情况举行区域审查并确保与关于峰会的各全球论坛的联系。",
"秘书处将介绍该议程项目，然后就第E/ESCAP/CICTSTI(1)/4号文件举行公开讨论，该文件概述了亚太区域在新的《可持续发展目标》背景下落实信息社会世界峰会行动方针的进展情况。文件规定了开展世界峰会区域审查工作的方法，旨在支持亚太区域落实《可持续发展目标》。",
"委员会不妨结合技术迅猛发展的现状以及在此领域交流良好实践和经验教训的必要性，就文件中提出的议题展开讨论。",
"(c) 空间应用作为提高电子抗灾能力的重要工具",
"文件",
"空间应用作为提高电子抗灾能力的重要工具(E/ESCAP/CICTSTI(1)/5)",
"说明",
"亚太区域自然灾害愈发频繁剧烈。整个区域的人民、政府和企业依靠包括空间技术应用在内的大量多种技术在灾害周期的全部阶段提供至关重要的服务，并维持其他关键基础设施的运行。",
"秘书处将介绍本议程项目，随后对第E/ESCAP/CICTSTI(1)/5号文件进行公开讨论。该文件概述了以加强电子抵御能力为目标的国家举措、经验教训和良好实践，包括将空间应用纳入减少灾害风险及灾害管理规划工作的战略。亦将探讨案例研究，包括社交媒体和其他新兴技术的应用。",
"请委员会讨论国别经验，并就可望推动空间应用作为提高电子抗灾能力和灾害风险管理的重要工具的政策行动提出建议。",
"(d) 区域范围信息和通信技术促进发展的能力建设",
"文件",
"亚洲及太平洋信息和通信技术促进发展培训中心2014-2016年间活动报告(E/ESCAP/CICTSTI(1)/6)",
"说明",
"委员会将收到亚洲及太平洋信息和通信技术促进发展培训中心提交的报告，其中介绍了该中心利用信息和通信技术开展人力和体制能力建设以促进包容和可持续的发展的相关方案和活动情况。",
"秘书处将介绍议程项目，随后由专题小组讨论信息和通信技术能力建设的国别经验，并进行公开讨论。",
"3． 科学、技术与创新政策议题",
"(a) 采取下一步举措：制定亚洲及太平洋科学、技术和创新促进可持续发展的行动议程",
"文件",
"采取下一步举措：制定亚洲及太平洋科学、技术和创新促进可持续发展的行动议程(E/ESCAP/CICTSTI(1)/7)",
"说明",
"尽管一致认识到了科学、技术和创新的变革性潜力，但如何最有效地加以利用以便开展包容和可持续的发展实践，目前尚不清楚。",
"秘书处将介绍议程项目，随后就第E/ESCAP/CICTSTI(1)/7号文件进行公开讨论，该文件载有关于有效利用科学、技术和创新促进包容和可持续发展的各种建议。该文件还就亚太经社会在促进区域科学、技术和创新知识分享、相互协作和开展集体行动方面可发挥的作用提出建议，并大致谈到潜在政策优先进程和今后发展。",
"请委员会讨论如何确保科学、技术和创新造福整个区域、并确定轻重缓急和提出政策行动计划。还请委员会审议并商定亚太经社会在科学、技术和创新领域拟议发挥的作用。",
"(b) 利用亚太创新论坛促进区域科学、技术和创新协作",
"文件",
"亚太创新论坛的职权范围(E/ESCAP/CICTSTI(1)/8)",
"说明",
"经社会在第72/12号决议中请成员国就借助信息和通信技术，科学、技术与创新委员会自2017年起每两年召开一次亚太创新论坛的事宜进一步开展工作，并进一步探讨论坛的职权范围和模式，论坛会议与该委员会会议将交替举行，以此酌情提高并促进成员国、联合国系统及相关利益攸关方之间的知识交流和协作。",
"委员会将为分享知识、促进协作和推动集体行动提供重要场所，然而，其两年一次的会议安排或将有碍各国努力跟上瞬息万变的科学、技术和创新形势。因此，创新论坛会议将提供更多合作渠道，可以与委员会会议隔年举办。此论坛会议将提供独一无二的机会，使亚太各国得以增加定期会议以便针对科学、技术和创新所带来的挑战和机遇采取集体行动，并使更加广泛的利益攸关方（如私营部门和民间社会）参与讨论。",
"请委员会审议并商定文件E/ESCAP/CICTSTI(1)/8中所载职权范围。秘书处将介绍本议程项目，随后进行公开讨论。",
"(c) 推动亚洲及太平洋各次区域科学、技术和创新合作机制间的知识共享",
"文件",
"关于亚洲及太平洋各次区域科学、技术和创新合作机制的报告(E/ESCAP/CICTSTI(1)/9)",
"说明",
"本区域拥有生机勃勃、开拓进取的科学、技术和创新生态系统，已建立了诸多区域层面的科学、技术和创新合作机制（例如亚太经合组织及东盟），针对在此领域如何创造有利环境而分享知识、交流经验，并携手应对迫在眉睫的全球性挑战。",
"然而这些机制迥然不同且相互脱节，因此无法充分发挥本区域博大的知识和潜力。这些机制也没有纳入本区域的许多国家--有19个亚太经济体（包括许多太平洋岛屿国家）不归属任何次区域科学、技术和创新网络。因此，要想进一步整合杂乱的平台网络，从而促进整个亚太区域深化合作并推动包容和可持续创新，尚大有可为。",
"同样，本区域许多国家没有加入现有科学、技术和创新合作平台或机制，这一状况显然对实现可持续发展目标构成了挑战。要充分发挥本区域蕴藏的潜力，有必要建立一个横跨整个亚洲和太平洋的平台，促进包容的科学、技术和创新合作，为南南合作和南北合作提供论坛。信息和通信技术，科学、技术与创新委员会提供了独一无二的机遇，便于创立一种真正综合而包容的方式分享知识、捕捉整个区域科学、技术和创新的多样性和活力并促进协作。",
"E/ESCAP/CICTSTI(1)/9号文件审议了本区域内不同次区域科学、技术和创新合作机制的形式、功能和工作重点。",
"请委员会对文件进行审查，并就委员会如何发挥作用以确保整个区域充分了解次区域科学、技术和创新合作议程提出建议。秘书处将介绍本议程项目，随后进行公开讨论。",
"4． 审议各个次级方案的未来工作重点",
"在本议程项目下，各委员会不妨就信通技术和科学、技术和创新领域的短期和长期工作的重点向秘书处提供指导，同时兼顾2016-2017年战略框架和工作方案中规定的方案方向和优先事项。各委员会亦不妨就如何将委员会的讨论成果充分纳入2018-2019年工作方案的规划工作，向秘书处提供指导。",
"5． 审议可能提交经社会第七十三届会议的决议草案",
"成员国不妨提前散发关于信息和通信技术，科学、技术和创新的优先事项的决议草案提案和/或文本，以供经社会第七十三届会议审议。",
"6． 委员会第二届会议的举行日期、地点和临时议程",
"委员会不妨审议定于2018年举行的委员会第二届会议的暂定日期、地点和临时议程。",
"7． 其他事项",
"委员会可提出上述议程项目未涵盖的任何其他事项。",
"8． 通过委员会第四届会议的报告",
"文件",
"报告草稿(文件E/ESCAP/CICTSTI(1)/L.2)",
"说明",
"委员会将审议并通过第一届会议报告，并提交定于2017年举行的经社会第七十三届会议。"
] | [
"Annotated provisional agenda",
"The present document contains the provisional agenda for the first session of the Committee on Information and Communications Technology, Science, Technology and Innovation (section I) and the annotations to the provisional agenda (section II), which provide key directions for the deliberations of the Committee.",
"I. Provisional agenda",
"1. Opening of the session:",
"(a) Opening statements;",
"(b) Election of the Bureau;",
"(c) Adoption of the agenda.",
"2. Policy issues for information and communications technology:",
"(a) Towards the Asia-Pacific information superhighway;",
"(b) Regional review of the implementation of the World Summit on the Information Society action lines;",
"(c) Space applications as a critical tool for enhanced e-resilience;",
"(d) Regional capacity-building on information and communications technology for development.",
"3. Policy issues for science, technology and innovation:",
"(a) Taking the next step: developing an action agenda for science, technology and innovation for sustainable development in Asia and the Pacific;",
"(b) Fostering regional science, technology and innovation collaboration through an Asia-Pacific innovation forum;",
"(c) Facilitating knowledge-sharing between subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific.",
"4. Consideration of the future focus of the subprogrammes.",
"5. Consideration of possible draft resolutions for submission to the Commission at its seventy-third session.",
"6. Dates and venue of and provisional agenda for the second session of the Committee.",
"7. Other matters.",
"8. Adoption of the report of the Committee on its first session.",
"II. Annotations",
"1. Opening of the session",
"(a) Opening statements",
"Documentation",
"Tentative programme (E/ESCAP/CICTSTI(1)/INF/3)",
"Annotation",
"The tentative programme for the opening session will be issued in due course.",
"(b) Election of the Bureau",
"Documentation",
"List of participants (E/ESCAP/CICTSTI(1)/INF/2)",
"Annotation",
"The Committee will elect a bureau consisting of two co-chairs, one for information and communications technology and one for science, technology and innovation; two vice-chairs to preside over each of the subcommittees; and two additional vice-chairs to serve as rapporteurs of the subcommittees.",
"(c) Adoption of the agenda",
"Documentation",
"Annotated provisional agenda (E/ESCAP/CICTSTI(1)/L.1)",
"Annotation",
"The annotated provisional agenda will be considered and adopted by the Committee, subject to such changes as may be deemed necessary.",
"The work of the secretariat in information and communications technology for development has specific and unique considerations as it concentrates on assisting Asia-Pacific economies in benefiting from the opportunities offered by the information and communications technology revolution and in preventing the digital divide from becoming a development divide. Accordingly, the primary focus of its substantive work has been to promote information and communications technology connectivity, review regional progress against the World Summit on the Information Society and the Sustainable Development Goals, promote the use of space applications for strengthening e-resilience to disasters, and build capacity in the use of information and communications technology for sustainable development.",
"The science, technology and innovation programme will focus on bringing attention to science, technology and innovation best practices for sustainable development with an emphasis on policies, investment strategies and effective enabling environments. The programme will also focus on how best to share best practices and on facilitating knowledge-sharing and collective action by creating terms of reference for an Asia-Pacific innovation forum and facilitating knowledge-sharing between the various subregional science, technology and innovation cooperation mechanisms (such as Asia-Pacific Economic Cooperation (APEC) and the Association of Southeast Asian Nations (ASEAN)).",
"Discussions on agenda items 2 and 3 will take place in the context of two separate subcommittees meeting in parallel sessions. The Committee will adopt one report in the final common plenary session (agenda item 8).",
"2. Policy issues for information and communications technology",
"(a) Towards the Asia-Pacific information superhighway",
"Documentation",
"Towards the Asia-Pacific information superhighway (E/ESCAP/CICTSTI(1)/1)",
"Master Plan for the Asia-Pacific Information Superhighway (E/ESCAP/CICTSTI(1)/2)",
"Asia-Pacific Information Superhighway Regional Cooperation Framework Document (E/ESCAP/CICTSTI(1)/3)",
"Annotation",
"The agenda item will be introduced by the secretariat, followed by an open discussion on the progress made in developing broadband infrastructure and delivering affordable and reliable broadband Internet across the region through the Asia-Pacific information superhighway.",
"In resolution 69/10, member States of the Economic and Social Commission for Asia and the Pacific (ESCAP) recognized the need to promote the exchange of best practices, experiences and knowledge related to the development of information and communications technology infrastructure, including in-depth analysis of the policy and regulatory barriers that may impede efforts to synchronize the deployment of infrastructure across the region in a seamless manner.",
"In accordance with Commission resolution 71/10, the Working Group on the Asia-Pacific Information Superhighway met in September 2015. At that meeting, participants agreed to form a steering group to develop a draft master plan that would encompass a long-term vision and specific activities with regard to the four pillars of the Asia-Pacific information superhighway. The draft master plan was then reviewed by the Working Group on the Asia-Pacific Information Superhighway, which met in China in August 2016.",
"The Committee is invited to consider and endorse the recommendations contained in the documents under this agenda item.",
"(b) Regional review of the implementation of the World Summit on the Information Society action lines",
"Documentation",
"Regional review of the implementation of the World Summit on the Information Society action lines (E/ESCAP/CICTSTI(1)/4)",
"Annotation",
"Commission resolution 72/10 mandated the secretariat to hold a regional review of the implementation of the World Summit on the Information Society action lines as part of the session of the Committee and to ensure linkage to the global forums on the Summit.",
"The agenda item will be introduced by the secretariat, followed by an open discussion regarding document E/ESCAP/CICTSTI(1)/4, which provides an overview of progress in implementing the World Summit action lines in the context of the new Sustainable Development Goals in the Asia-Pacific region. The document sets out methods to conduct the World Summit regional review, which aims to support the implementation of the Goals in Asia and the Pacific.",
"The Committee may wish to discuss issues raised in the document in view of rapid technological advancements and the need to share good practices and lessons learned in this area.",
"(c) Space applications as a critical tool for enhanced e-resilience",
"Documentation",
"Space applications as a critical tool for enhanced e-resilience (E/ESCAP/CICTSTI(1)/5)",
"Annotation",
"Disasters are becoming more frequent and intense in the Asia-Pacific region. People, governments and businesses throughout the region rely on a vast array of technologies, including space technology applications, to deliver vital services and maintain the operation of other critical infrastructure, at all stages of the disaster cycle.",
"The agenda item will be introduced by the secretariat, followed by an open discussion with regard to document E/ESCAP/CICTSTI(1)/5, which provides an overview of national initiatives, lessons learned and good practices aimed at strengthening e-resilience, including strategies to incorporate space applications into disaster risk reduction and disaster management planning. Case studies, including the use of social media and other emerging technologies, will also be examined.",
"The Committee is invited to reflect on country experiences and propose policy actions that may promote space applications as a critical tool for enhanced e-resilience and disaster risk management.",
"(d) Regional capacity-building on information and communications technology for development",
"Documentation",
"Report of the Asian and Pacific Training Centre for Information and Communication Technology for Development on its activities during the period 2014-2016 (E/ESCAP/CICTSTI(1)/6)",
"Annotation",
"The Committee will have before it the report submitted by the Asian and Pacific Training Centre for Information and Communication Technology for Development which provides information on the Centre’s programmes and activities related to building human and institutional capacity in using information and communications technology for inclusive and sustainable development.",
"An introduction by the secretariat will be followed by a panel discussion on national experiences on information and communications technology capacity development and an open discussion.",
"3. Policy issues for science, technology and innovation",
"(a) Taking the next step: developing an action agenda for science, technology and innovation for sustainable development in Asia and the Pacific",
"Documentation",
"Taking the next step: developing an action agenda for science, technology and innovation for sustainable development in Asia and the Pacific (E/ESCAP/CICTSTI(1)/7)",
"Annotation",
"Despite consensus on the transformative potential of science, technology and innovation, there remains a lack of clarity on how best to effectively use them to implement inclusive and sustainable development practices.",
"The agenda item will be introduced by the secretariat, followed by an open discussion with regard to document E/ESCAP/CICTSTI(1)/7, which contains recommendations on effectively harnessing science, technology and innovation for inclusive and sustainable development. The document also contains a proposal on the role ESCAP could play in facilitating regional science, technology and innovation knowledge-sharing, collaboration and collective action and an outline of a potential policy prioritization process and ways forward.",
"The Committee is invited to reflect on, prioritize and propose policy action plans to ensure that the region as a whole reaps the benefits of science, technology and innovation. The Committee is also invited to review and agree on the proposed role of ESCAP in the area of science, technology and innovation.",
"(b) Fostering regional science, technology and innovation collaboration through an Asia-Pacific innovation forum",
"Documentation",
"Terms of reference for the Asia-Pacific Innovation Forum (E/ESCAP/CICTSTI(1)/8)",
"Annotation",
"In resolution 72/12, the Commission invited member States to work further on convening a biennial Asia-Pacific innovation forum starting in 2017 through the Committee on Information and Communications Technology, Science, Technology and Innovation and to work further on its terms of reference and modalities, the forum to be held alternatively with that Committee, as a means to enhance and facilitate knowledge-sharing and collaboration among member States, the United Nations system and relevant stakeholders as appropriate.",
"While the Committee will provide an important venue to share knowledge, foster collaboration and facilitate collective action, the biennial meeting schedule may hamper countries’ ability to keep pace with the fast-changing landscape of science, technology and innovation. Thus, an innovation forum would provide an additional avenue of cooperation, which could be convened on alternate years to the Committee. Such a forum would provide a unique opportunity for Asia-Pacific countries to convene on a more regular basis to collectively act on the challenges and opportunities that science, technology and innovation present and to engage a broader range of stakeholders (such as the private sector and civil society) in deliberations.",
"The Committee is invited to review and agree on the terms of reference contained in document E/ESCAP/CICTSTI(1)/8. The agenda item will be introduced by the secretariat, followed by an open discussion.",
"(c) Facilitating knowledge-sharing between subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific",
"Documentation",
"Report on subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific (E/ESCAP/CICTSTI(1)/9)",
"Annotation",
"There is a dynamic, vibrant and pioneering science, technology and innovation ecosystem in the region, and there are many regional science, technology and innovation cooperation mechanisms (such as APEC and ASEAN) that have been put in place to share knowledge and experience in creating an enabling environment in this area, as well as to collaborate on pressing global challenges.",
"However, these mechanisms are disparate and unconnected and, as a result, do not fully harness the region’s vast knowledge and potential. They also do not include many countries in the region – 19 Asian-Pacific economies (including many Pacific island countries) do not belong to any of the subregional science, technology and innovation networks. Therefore, much work can be done to further integrate the disparate network of platforms, so as to promote deeper collaboration within the entire Asia-Pacific region and promote inclusive and sustainable innovation.",
"Likewise, the fact that many countries in the region are not parties to existing science, technology and innovation cooperation platforms or mechanisms is a distinct challenge for achieving the Sustainable Development Goals. To fully harness the underlying potential of the region, it is necessary to establish a platform that spans the whole of Asia and the Pacific, promotes inclusive science, technology and innovation cooperation and provides a forum for both South-South and North-South cooperation. The Committee on Information and Communications Technology, Science, Technology and Innovation presents a unique opportunity to create a truly integrated and inclusive approach to sharing knowledge, capturing the diversity and dynamism of science, technology and innovation across the region, and facilitating collaboration.",
"Document E/ESCAP/CICTSTI(1)/9 provides a review of the form, function and focus of the various subregional science, technology and innovation cooperation mechanisms in the region.",
"The Committee is invited to review the document and make proposals regarding the role of the Committee in ensuring that the region as a whole is fully informed on subregional science, technology and innovation cooperation agendas. The agenda item will be introduced by the secretariat, followed by an open discussion.",
"4. Consideration of the future focus of the subprogrammes",
"Under this agenda item, the subcommittees may wish to provide the secretariat with guidance on the focus of the short- and long-term work in the area of information and communications technology and science, technology and innovation, respectively, taking into account the programme direction and priorities outlined in the strategic framework for 2016-2017. The subcommittees may also wish to provide the secretariat with guidance on enabling the full integration of the outcome of the Committee’s deliberations into the planning of the strategic framework and programme of work for 2018-2019.",
"5. Consideration of possible draft resolutions for submission to the Commission at its seventy-third session",
"Member States may wish to circulate, in advance, proposals and/or texts of draft resolutions on priority issues relating to information and communications technology and science, technology and innovation for consideration by the Commission at its seventy-third session.",
"6. Dates and venue of and provisional agenda for the second session of the Committee",
"The Committee may wish to discuss the tentative dates and venue of and provisional agenda for the second session of the Committee, to be held in 2018.",
"7. Other matters",
"The Committee may raise any matter not covered under the items mentioned above.",
"8. Adoption of the report of the Committee on its first session",
"Documentation",
"Draft report (E/ESCAP/CICTSTI(1)/L.2)",
"Annotation",
"The Committee will consider and adopt the report on its first session for submission to the Commission at its seventy-third session, to be held in 2017."
] | E_ESCAP_CICTSTI(1)_L.1 | [
"Economic and Social Commission for Asia and the Pacific",
"Annotated provisional agenda",
"The present document contains the provisional agenda for the first session of the Commission on Information and Communication Technologies, Science, Technology and Innovation (Part I) and the annotations to the provisional agenda (Part II), which are intended to provide a focus for the deliberations of the Commission.",
"I. Provisional agenda",
"Opening of the session:",
"(a) Opening statements;",
"(b) Election of officers;",
"(c) Adoption of the agenda.",
"2. ICT policy issues:",
"(a) Efforts to build the Asia-Pacific Information Highway;",
"(b) Regional review of the implementation of WSIS action lines;",
"(c) Space applications as an important tool for enhancing e-resilience;",
"(d) Regional capacity-building for information and communication technologies for development.",
"3. Science, technology and innovation policy issues:",
"(a) Next steps: developing an agenda for action on science, technology and innovation for sustainable development in Asia and the Pacific;",
"(b) Using the Asia-Pacific Innovation Forum to promote regional collaboration on science, technology and innovation;",
"(c) Promoting knowledge-sharing among subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific.",
"4. Consideration of the future focus of the subprogrammes.",
"5. Consideration of draft resolutions for possible submission to the Commission at its seventy-third session.",
"6. Dates, venue and provisional agenda for the second session of the Committee.",
"Other matters.",
"Adoption of the report of the Committee on its first session.",
"Annotations",
"Opening of the session",
"(a) Opening statements",
"Documentation",
"Tentative programme (E/ESCAP/CICTSI(1)/INF/3)",
"Annotations",
"The tentative programme of the opening meeting will be issued in due course.",
"Election of officers",
"Documentation",
"List of participants (E/ESCAP/CICTSI(1)/INF/2)",
"Annotations",
"The Committee will elect its officers, with two chairpersons, one for information and communication technologies and the other for science, technology and innovation; two vice-chairpersons; and two vice-chairpersons to serve as committee reporting officers.",
"(c) Adoption of the agenda",
"Documentation",
"Annotated provisional agenda (E/ESCAP/CICTSI(1)/L.1)",
"Annotations",
"The Committee will consider and adopt the annotations to the provisional agenda, mutatis mutandis.",
"The secretariat ' s work in the area of ICT for development has specific and unique considerations, focusing on helping economies in the Asia-Pacific region to benefit from the opportunities offered by the ICT revolution and avoiding the digital divide from becoming a development gap. Therefore, the main focus of substantive work will be on promoting ICT connectivity, reviewing the region ' s progress in the implementation of the World Summit on the Information Society and the Sustainable Development Goals, promoting space applications for e-resilience and capacity-building in the application of ICT for sustainable development.",
"Science, technology and innovation programmes focus on harnessing best practices in science, technology and innovation for sustainable development and on policies, investment strategies and an effective enabling environment. The programme will also define the terms of reference of the Asia-Pacific Forum on Innovation and promote knowledge-sharing among subregional science, technology and innovation cooperation mechanisms (e.g., Asia-Pacific Economic Cooperation (APEC) and Association of Southeast Asian Nations (ASEAN)) to focus on how best to share best practices, promote knowledge sharing and take collective action.",
"Agenda items 2 and 3 would be considered in two separate parallel meetings. The Committee will adopt a report (agenda item (8)) at its final joint plenary meeting.",
"2. ICT policy issues",
"(a) Efforts to build the Asia-Pacific Information Highway",
"Documentation",
"Towards an Asia-Pacific information superhighway (E/ESCAP/CICTSI(1)/1)",
"Asia-Pacific Information Highway Master Plan (E/ESCAP/CICTSI(1)/2)",
"Regional Cooperation Framework Document for the Asia-Pacific Information Highway (E/ESCAP/CICTSI(1)/3)",
"Annotations",
"The secretariat will introduce the agenda item and then hold an open discussion on regional progress in the development of broadband infrastructure and the provision of affordable and reliable broadband Internet services.",
"In ESCAP resolution 69/10, member States of the Economic and Social Commission for Asia and the Pacific (ESCAP) recognized the need to facilitate the exchange of best practices, experiences and knowledge related to ICT infrastructure development, including an in-depth analysis of policy and regulatory barriers that could hinder efforts to synchronize infrastructure deployment in a seamless manner throughout the region.",
"In accordance with Commission resolution 71/10, the Asia-Pacific Information Highway Working Group met in September 2015. It was agreed that a steering group would be established to develop a draft master plan for a long-term vision and specific activities on the four pillars of the Asia-Pacific Information Highway. The draft master plan was then reviewed by the Asia-Pacific Information Highway Working Group, held in China in August 2016.",
"The Committee is invited to consider and endorse the recommendations contained in the documents under this agenda item.",
"(b) Regional review of the implementation of the WSIS action lines",
"Documentation",
"Regional review of the implementation of the WSIS action lines (E/ESCAP/CICTSI(1)/4)",
"Annotations",
"In its resolution 72/10, the Commission mandated the secretariat, as part of the work of the Committee, to conduct regional reviews on the implementation of the WSIS action lines and to ensure linkages with the global forums on the Summit.",
"The agenda item will be introduced by the secretariat, followed by an open discussion on document E/ESCAP/CICTSI(1)/4, which outlines the progress made in implementing the WSIS action lines in the Asia-Pacific region in the context of the new Sustainable Development Goals. The document sets out the modalities for the regional review of the World Summit to support the implementation of the Sustainable Development Goals in the Asia-Pacific region.",
"The Commission may wish to discuss the issues raised in the paper in the context of the current state of rapid technological development and the need to share good practices and lessons learned in this area.",
"(c) Space applications as an important tool for enhancing e-resilience",
"Documentation",
"Space applications as an important tool to enhance e-resilience (E/ESCAP/CICTSI(1)/5)",
"Annotations",
"The Asia-Pacific region is experiencing increased frequency and intensity of natural disasters. People, Governments and businesses throughout the region rely on a wide range of technologies, including space technology applications, to provide critical services throughout the disaster cycle and to maintain the operation of other critical infrastructure.",
"The secretariat will introduce this agenda item, followed by an open discussion on document E/ESCAP/CICTSI(1)/5. The document outlines national initiatives, lessons learned and good practices aimed at enhancing e-resilience, including strategies for integrating space applications into disaster risk reduction and disaster management planning. Case studies will also be explored, including the application of social media and other emerging technologies.",
"The Committee is invited to discuss country experiences and to recommend policy actions that are expected to promote space applications as an important tool for e-resilience and disaster risk management.",
"(d) Regional capacity-building for ICT for development",
"Documentation",
"Report on the activities of the Asian and Pacific Training Centre for Information and Communication Technology for Development for the period 2014-2016 (E/ESCAP/CICTSI(1)/6)",
"Annotations",
"The Commission will have before it the report of the Asian and Pacific Training Centre for Information and Communication Technology for Development on its programmes and activities related to the use of information and communication technologies for human and institutional capacity-building for inclusive and sustainable development.",
"The secretariat will introduce the agenda items, followed by a panel discussion on country experiences in ICT capacity-building and open discussion.",
"3. Science, technology and innovation policy issues",
"(a) Next steps: developing an agenda for action on science, technology and innovation for sustainable development in Asia and the Pacific",
"Documentation",
"Next steps: developing an agenda for action on science, technology and innovation for sustainable development in Asia and the Pacific (E/ESCAP/CICTSI(1)/7)",
"Annotations",
"Despite the unanimous recognition of the transformative potential of STI, it is not clear how it can be used most effectively for inclusive and sustainable development practices.",
"The agenda item will be introduced by the secretariat, followed by an open discussion on document E/ESCAP/CICTSI(1)/7, which contains recommendations on the effective use of science, technology and innovation for inclusive and sustainable development. The document also makes recommendations on the role of ESCAP in promoting regional science, technology and innovation knowledge-sharing, collaboration and collective action, and outlines potential policy priority processes and future developments.",
"The Commission is invited to discuss how to ensure that science, technology and innovation benefit the region as a whole, prioritize and propose policy action plans. The Committee was also invited to consider and agree on the proposed role of ESCAP in the area of science, technology and innovation.",
"(b) Using the Asia-Pacific Innovation Forum to promote regional collaboration on science, technology and innovation",
"Documentation",
"Terms of reference of the Asia-Pacific Forum on Innovation (E/ESCAP/CICTSI(1)/8)",
"Annotations",
"In its resolution 72/12, the Commission invited member States to further work on the convening of the Asia-Pacific Forum on Innovation through Information and Communication Technologies, Science, Technology and Innovation, on a biennial basis, starting in 2017, and to further explore the terms of reference and modalities of the Forum, which would be held in alternate sessions with that Committee, as a means of enhancing and facilitating, as appropriate, knowledge-sharing and collaboration among member States, the United Nations system and relevant stakeholders.",
"The Commission would provide an important venue for sharing knowledge, promoting collaboration and promoting collective action, but its biennial meeting schedule might prevent countries from trying to keep pace with the ever-changing science, technology and innovation situation. Innovative Forum meetings would therefore provide more avenues for cooperation and could be held in alternate years with Commission sessions. The Forum will provide a unique opportunity for Asia-Pacific countries to increase their regular meetings in order to take collective action on the challenges and opportunities presented by science, technology and innovation and to engage a wider range of stakeholders, such as the private sector and civil society, in the discussions.",
"The Committee is invited to consider and agree on the terms of reference contained in document E/ESCAP/CICTSI(1)/8. The secretariat will introduce this agenda item, followed by an open discussion.",
"(c) Promoting knowledge-sharing among subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific",
"Documentation",
"Report on subregional science, technology and innovation cooperation mechanisms in Asia and the Pacific (E/ESCAP/CICTSI(1)/9)",
"Annotations",
"The region has a vibrant and pioneering science, technology and innovation (STI) ecosystem and has established science, technology and innovation cooperation mechanisms at the regional level (e.g. APEC and ASEAN) to share knowledge, share experiences and work together to address pressing global challenges in order to create an enabling environment in this area.",
"However, these mechanisms are very different and disjointed and thus do not allow for the full realization of the region ' s vast knowledge and potential. These mechanisms are also not integrated into many countries in the region - 19 Asia-Pacific economies (including many Pacific island countries) do not belong to any subregional STI networks. Thus, there is much to be done to further integrate the fragmented platform network, thus contributing to deepening cooperation and promoting inclusive and sustainable innovation across the Asia-Pacific region.",
"Similarly, the absence of many countries in the region from existing science, technology and innovation cooperation platforms or mechanisms is a clear challenge to the achievement of sustainable development goals. To realize the full potential of the region, it is necessary to establish a platform across Asia and the Pacific that promotes inclusive science, technology and innovation cooperation and provides a forum for South-South and North-South cooperation. The Committee on Information and Communication Technologies, Science, Technology and Innovation offers a unique opportunity to create a truly integrated and inclusive way to share knowledge, capture the diversity and dynamism of science, technology and innovation across the region and promote collaboration.",
"Document E/ESCAP/CICTSI(1)/9 considers the form, functions and priorities of different subregional science, technology and innovation cooperation mechanisms in the region.",
"The Commission is invited to review the document and make recommendations on its role in ensuring that the subregional science, technology and innovation cooperation agenda is well understood throughout the region. The secretariat will introduce this agenda item, followed by an open discussion.",
"4. Consideration of the future focus of the subprogrammes",
"Under this agenda item, the Commissions may wish to provide guidance to the secretariat on the focus of short- and long-term work in the areas of ICT and STI, taking into account the programmatic orientation and priorities set out in the strategic framework and programme of work for 2016-2017. The committees may also wish to provide guidance to the secretariat on how to fully integrate the outcomes of the Committee ' s discussions into the planning of the work programme for 2018-2019.",
"5. Consideration of possible draft resolutions for submission to the Commission at its seventy-third session",
"Member States may wish to circulate in advance proposals and/or texts of draft resolutions on priorities for information and communication technologies, science, technology and innovation for consideration by the Commission at its seventy-third session.",
"6. Dates, venue and provisional agenda for the second session of the Committee",
"The Committee may wish to consider the tentative dates, venue and provisional agenda for its second session, to be held in 2018.",
"Other business",
"The Committee may raise any other matter not covered by the agenda item above.",
"8. Adoption of the report of the Committee on its fourth session",
"Documentation",
"Draft report (E/ESCAP/CICTSI(1)/L.2)",
"Annotations",
"The Committee will consider and adopt the report on its first session and submit it to the Commission at its seventy-third session, to be held in 2017."
] |
[
"亚洲及太平洋经济社会委员会 \n 交通运输部长级会议 第三届会议 \n 2016年12月5日至9日，莫斯科",
"临时议程说明",
"本文件载有交通运输部长级会议的临时议程(第一部分)和临时议程说明(第二部分)。[1]",
"一． 临时议程",
"A. 高级官员会议段",
"1. 会议开幕：",
"(a) 致开幕词；",
"(b) 选举主席团成员；",
"(c) 通过议程。",
"2. 评估和评价《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况。",
"3. 交通运输的主要事项：",
"(a) 《可持续发展目标》与交通运输；",
"(b) 区域交通运输基础设施的互联互通；",
"(c) 区域交通运输运营上的互联互通；",
"(d) 加强亚洲和欧洲之间的交通运输互联互通；",
"(e) 最不发达国家、内陆发展中国家和小岛屿发展中国家交通运输的互联互通；",
"(f) 农村与更广泛网络的互联互通；",
"(g) 可持续的城市交通运输；",
"(h) 改善道路安全。",
"4. 亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)草案。",
"5. 亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言草案。",
"6. 其他事项。",
"7. 通过高级官员会议段的报告。",
"B. 部长级会议段",
"8. 会议开幕：",
"(a) 致开幕词；",
"(b) 选举主席团成员；",
"(c) 通过议程。",
"9. 政策辩论：亚洲及太平洋区域与可持续交通运输互联互通有关的事项，《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况，包括高级官员会议段的报告。",
"10. 其他事项。",
"11. 通过亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言，包括亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)。",
"12. 通过会议报告。",
"13. 会议闭幕。",
"二. 说明",
"A. 高级官员会议段",
"1. 会议开幕",
"a. 致开幕词",
"会议开幕式的详细日程将在最后敲定后予以提供。",
"b. 选举主席团成员",
"高级官员将选出高级官员会议段的一名主席、两名副主席和一名报告员。",
"c. 通过议程",
"文件",
"临时议程(E/ESCAP/MCT(3)/L.1)",
"临时议程说明(E/ESCAP/MCT(3)/L.2)",
"说明",
"会议将审议并在视需要作出修改后通过临时议程和临时议程说明。",
"2. 评估和评价《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况",
"文件",
"评估和评价《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况 (E/ESCAP/MCT(3)/1)",
"说明",
"文件概述了《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况，并载有对《区域行动方案》第二阶段进行的一项独立评估的主要结果和结论的摘要。",
"3. 交通运输的主要事项",
"为评估交通运输部门当前面临的问题，会议将综合审议议程项目3项下的所有文件；每一代表团将在此议程项目下有一次发言机会。",
"a. 《可持续发展目标》与交通运输",
"文件",
"《可持续发展目标》与交通运输(E/ESCAP/MCT(3)/2)",
"说明",
"交通运输对实现《可持续发展目标》的广泛推动作用意味着需要将可持续发展的三个支柱(即经济、社会和环境)平衡纳入交通运输互联互通议程，建立一个能够使每一种交通运输方式的相对优势都得到最佳发挥的一体化多式联运和物流系统。",
"文件中审议了交通运输对实现《可持续发展目标》的作用，强调了更加可持续的交通运输部门的主要驱动力。文件提出了一体化多式联运和物流系统的理念，列举了一些国家在各自交通运输发展过程中落实这一理念的实例研究，并对未来实现一体化多式联运和物流系统以促进可持续交通运输互联互通的方向提出了建议。",
"b. 区域交通运输基础设施的互联互通",
"文件",
"区域交通运输基础设施的互联互通(E/ESCAP/MCT(3)/3)",
"说明",
"亚洲公路网、泛亚铁路网和具有国际重要性的陆港网络为建立区域和国际一体化多式联运和物流系统奠定了基础。然而，本区域要实现经济持续增长及提高社会包容性所需的货物和人员流通畅通无阻，就要成员和准成员之间加强互联互通。现有的基础设施网络常常只为几个国家所用，一般不超出某个次区域。其结果是各个网络之间缺乏协调，存在缺失环节，运营存在瓶颈，技术上互不兼容，对现代化技术的认识和使用水平参差不齐。",
"文件中回顾了交通运输部门近年来取得的显著进展，重点建议将未来的发展纳入一体化多式联运走廊的框架中，将公路、铁路、水路和陆港统筹纳入交通运输基础设施统一技术标准，更广泛地运用新技术。",
"c. 区域交通运输运营上的互联互通",
"文件",
"区域交通运输运营上的互联互通 (E/ESCAP/MCT(3)/4)",
"说明",
"在建设交通运输基础设施的同时，加强区域交通运输运营上的互联互通依然是成员和准成员面临的一项长期任务。经社会通过的有关国际道路和铁路运输便利化的两个区域框架为区域统一法律文书、过境单证和手续、运营标准化和便利化措施提供了共同目标。",
"文件强调，要落实这些框架，并实施一项物流方案，从而使全区域实现运营上的一体化多式联运和物流系统的愿景。文件介绍了在这两个区域框架范围内为区域统一跨境和过境交通运输拟定的双边和次区域示范协定以及为便于物流信息系统充分利用新技术的优势改进物流工作而拟定的标准模型，供会议审议和通过。文件还提出，需要进一步协助成员和准成员拟定并落实各项跨境和过境交通运输协定以及交通运输便利化工具。文件还强调需要在统一运营标准方面提供进一步协助。",
"d. 加强亚洲和欧洲之间的交通运输互联互通",
"文件",
"加强亚洲和欧洲之间的交通运输互联互通 (E/ESCAP/MCT(3)/5)",
"说明",
"几百年来，欧亚交通运输线路推动了两大区域范围内以及两大区域之间的人员、货物、投资和思想的交流，从而促进了经济增长，推动了国际贸易，并增进了文化和科学交流。未来的社会经济进步也同样取决于区域间互联互通的加强，而目前基础设施的缺口、运输单证的不统一以及技术和运营标准的不兼容阻碍了互联互通。",
"文件中审议了欧亚交通运输方面的最新倡议以及本区域面临的挑战，并提出了加强亚洲与欧洲之间交通运输互联互通的办法。文件中还提议建立亚欧交通运输跨区域委员会，作为一个机构平台，在现有各项倡议之间发挥协同增效作用，推动消除无形障碍，以便实现基础设施和便利化项目规划和实施所需的协调。",
"e. 最不发达国家、内陆发展中国家和小岛屿发展中国家交通运输的互联互通",
"文件",
"最不发达国家、内陆发展中国家和小岛屿发展中国家交通运输的互联互通 (E/ESCAP/MCT(3)/6)",
"说明",
"最不发达国家、内陆发展中国家和小岛屿发展中国家在交通运输方面仍然面临很多挑战。这些国家面临的问题可能不尽相同，包括缺乏交通运输基础设施和服务方面的投资，或者是不利的地理条件极大地限制了发展。对内陆发展中国家而言，主要问题在于缺少经济而高效的出海口；对偏远小岛屿发展中国家而言，航运成本负担过重。",
"文件中简述了最不发达国家、内陆发展中国家和小岛屿发展中国家在交通运输方面的特殊需求，并提出了一套优先领域：(a) 推进最不发达国家和内陆发展中国家的交通运输以及一体化多式联运和物流系统；(b) 改善内陆发展中国家、最不发达国家和小岛屿发展中国家的城乡交通运输以及道路安全；(c) 加强小岛屿发展中国家的海上互联互通。文件中倡导在规划、建设和运营高效一体化多式联运走廊方面向内陆发展中国家及其过境发展中邻国提供技术援助。文件中还建议编写一份关于《2014-2024十年期支援内陆发展中国家维也纳行动纲领》执行情况中期审查的报告，并开展能力建设，以提高交通运输互联互通，发展城乡交通运输，改善道路安全。",
"f. 农村与更广泛网络的互联互通",
"文件",
"农村与更广泛网络的互联互通(E/ESCAP/MCT(3)/7)",
"说明",
"全世界大多数最贫困人口生活在农村地区，因距离遥远和地形崎岖而远离市场，得不到医疗服务和教育机会。这个问题在亚洲尤为尖锐，近七亿人尚未用上全天候公路。事实清楚说明，农村与外界的隔离导致贫困，主要原因在于农业生产力低下，缺乏广泛的经济机遇。与世隔绝还导致健康水平和入学率低下。",
"文件中简述了改善农村交通条件对减少贫困以及改善健康、教育和经济条件的作用。文件对改善农村与更广泛网络(如亚洲公路网、泛亚铁路网和陆港网络)互联互通的办法提出了建议，并提出了支持农村交通运输发展的重点领域，如为改善农村交通条件提供多种筹资办法，对农村交通运输互联互通进行评估，报告区域进展情况并开展能力建设。",
"g. 可持续城市交通运输",
"文件",
"可持续城市交通运输(E/ESCAP/MCT(3)/8)",
"说明",
"城市机动化的增长模式导致交通拥堵、污染和温室气体排放，使本区域的生产力下降，并引起健康和气候变化等问题。近期通过的《可持续发展目标》包含了一项有关可持续城市的目标，其中一项具体目标是扩大公共交通。要应对可持续城市交通系统和服务规划、建设和维护的挑战，就要成员和准成员重新作出承诺。",
"文件中简述了本区域在改善城市交通系统方面取得的进展和面临的挑战，并大力倡导建立国家可持续城市交通发展政策框架，实现城市交通方式的一体化，开发并运用各种工具以部署新的创新技术，评估区域进展情况，并开展成员和准成员的能力建设。",
"h. 改善道路安全",
"文件",
"改善道路安全(E/ESCAP/MCT(3)/9)",
"说明",
"鉴于道路安全问题的严重性及其对经济、公众健康和民众(特别是低收入群体)总体福祉产生的负面影响，道路安全问题严重关乎可持续发展。本区域2013年因道路交通事故死亡的人数约为73.3万，占全球125万因交通事故死亡总人数的一半以上。要实现《可持续发展目标》具体目标3.6(到2020年时，全球道路交通事故造成的死伤人数减半)和具体目标11.2(到2030年时，为所有人提供安全、价廉、无障碍和可持续的交通系统，改善道路安全)，就要作出更多努力。",
"文件中重点介绍了本区域成员和准成员近期在改善道路安全方面取得的进展和提出的倡议，审议了本区域道路交通事故的主因以及消除这些因素可能采取的措施，包括对超速和酒后驾驶等主要风险因素制订条例和法规。文件中提出了一套更新版的区域大目标和具体目标，提出了若干优先领域，从而使本区域的成员和准成员能够在秘书处的道路安全工具和能力建设方案的支持下因地制宜地努力改善本区域的道路安全状况。",
"4. 亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)草案",
"文件",
"亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)草案(E/ESCAP/MCT(3)/WP.1)",
"说明",
"新的区域行动方案第一阶段(2017-2021年)将以可持续发展和交通运输互联互通相结合为主题。为了实现这一目标，根本的办法是发展一体化的多式联运和物流系统，从而有效平衡经济、社会和环境三方面的可持续发展。",
"本文件依据这项基本方针提出了优先工作领域，包括以下七个具有连贯性和相关性的组成部分：区域交通运输基础设施的互联互通；区域交通运输运营上的互联互通；加强亚洲和欧洲之间的交通运输互联互通；最不发达国家、内陆发展中国家和小岛屿发展中国家交通运输的互联互通；农村与更广泛网络的互联互通；可持续的城市交通运输和改善道路安全。新的区域行动方案旨在协助本区域的发展中成员和准成员努力以可持续的方式加强跨区域、区域、国家和城乡层面的交通运输互联互通。",
"5. 亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言草案",
"文件",
"亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言草案 (E/ESCAP/MCT(3)/WP.2)",
"说明",
"高级官员会议段将审议亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言草案，然后将其提交部长级会议段通过。草案在提交高官会议段之前将由有关此次会议筹备工作的专家组会议以及常驻代表和经社会成员指派的其他代表咨询委员会先行审查。宣言将重申区域成员和准成员对推动本区域可持续交通运输发展的承诺，办法是实现一体化多式联运和物流系统的愿景，加强跨区域、区域、国家、城乡等层面交通运输基础设施和运营上的互联互通，加强最不发达国家、内陆发展中国家和小岛屿发展中国家交通运输的互联互通，改善道路安全，更广泛地运用新型创新技术，特别是智能交通系统。宣言将为区域行动方案(2017-2021年)的高效和有效实施提供框架。",
"6. 其他事项",
"会议不妨在此议程项目下审议其他事项。",
"7. 通过高级官员会议段的报告",
"文件",
"高级官员的报告草稿(E/ESCAP/MCT(3)/CRP.1)",
"说明",
"高级官员将审议并通过有关分配给高级官员会议段的议程项目的报告草稿，供部长进行审议。",
"B. 部长级会议段",
"8. 会议开幕",
"a. 致开幕词",
"b. 选举主席团成员",
"部长级会议段将选出由一名主席、多名副主席和一名报告员组成的主席团。",
"c. 通过议程",
"文件",
"临时议程(E/ESCAP/MCT(3)/L.1)",
"临时议程说明(E/ESCAP/MCT(3)/L.2)",
"9. 政策辩论：亚洲及太平洋区域与可持续交通运输互联互通有关的事项，《亚洲及太平洋发展交通运输部长级宣言》和《亚洲及太平洋发展交通运输区域行动方案第二阶段(2012-2016年)》的执行情况，包括高级官员会议段的报告",
"各位部长和代表团团长将发表其政策声明，重点提出对各自国家和本区域交通运输的可持续发展具有重要性的核心问题、政策和倡议。政策声明还将为展示交通运输方面具有区域意义的优先项目提供机会。联合国和其他政府间组织及非政府组织将就各自组织在此重要领域的政策和倡议作简短发言。",
"会议同时还将审议高级官员提交的报告 (E/ESCAP/MCT(3)/10)。",
"10. 其他事项",
"将在此议程项目下审议各代表团和/或秘书处提出的任何其他事项。",
"11. 通过亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言，包括亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)",
"会议将审议通过亚洲及太平洋区域关于可持续交通运输互联互通的部长级宣言草案，包括亚洲及太平洋区域促进可持续交通运输互联互通行动方案第一阶段(2017-2021年)(E/ESCAP/MCT(3)/L.4)。宣言将重申本区域成员和准成员承诺：推动交通运输领域区域合作和一体化从而实现本区域包容的和可持续的互联互通和发展，包括实现一体化多式联运和物流系统的长期愿景。宣言还将为区域行动方案的高效和有效实施提供框架。",
"12. 通过会议报告",
"会议将审议并通过报告草稿(E/ESCAP/MCT(3)/L.3)，以便提交2017年举行的经社会第七十三届会议。",
"13. 会议闭幕",
"闭幕致辞。",
"[1] 交通运输部长级会议自1985年以来一直每五年举行一次：交通运输和通信部长会议于1985年在曼谷举行；亚洲及太平洋交通运输和通信十年(1985-1994年)政府高级代表会议于1990年在曼谷举行；基础设施部长级会议于1996年在新德里举行；基础设施部长级会议于2001年在首尔举行；交通运输部长级会议于2006年在大韩民国釜山举行；交通运输部长级会议于2012年在曼谷举行。"
] | [
"Annotated provisional agenda",
"The present document contains the provisional agenda of the Ministerial Conference on Transport (section I) and the annotations to the provisional agenda (section II).[1]",
"I. Provisional agenda",
"A. Senior officials segment",
"1. Opening of the session:",
"a. Opening addresses;",
"b. Election of officers;",
"c. Adoption of the agenda.",
"1. Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016).",
"2. Major issues in transport:",
"a. Sustainable Development Goals and transport;",
"b. Regional transport infrastructure connectivity;",
"c. Regional transport operational connectivity;",
"d. Strengthening of transport connectivity between Asia and Europe;",
"e. Transport connectivity for least developed countries, landlocked developing countries and small island developing States;",
"f. Rural connectivity to wider networks;",
"g. Sustainable urban transport;",
"h. Improving road safety.",
"3. Draft regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"4. Draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific.",
"5. Other matters.",
"6. Adoption of the report of the senior officials segment.",
"B. Ministerial segment",
"7. Opening of the session:",
"a. Opening addresses;",
"b. Election of officers;",
"c. Adoption of the agenda.",
"8. Policy debate on issues pertaining to sustainable transport connectivity in Asia and the Pacific and the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), including the report of the senior officials segment.",
"9. Other matters.",
"10. Adoption of the ministerial declaration on sustainable transport connectivity in Asia and the Pacific, including a regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"11. Adoption of the report of the Conference.",
"12. Closing of the Conference.",
"II. Annotations",
"A. Senior officials segment",
"1. Opening of the session",
"(a) Opening addresses",
"The detailed programme for the opening of the session will be made available upon finalization.",
"(b) Election of officers",
"The senior officials will elect a chair, two vice-chairs and a rapporteur of the senior officials segment.",
"(c) Adoption of the agenda",
"Documentation",
"Provisional agenda (E/ESCAP/MCT(3)/L.1)",
"Annotated provisional agenda (E/ESCAP/MCT(3)/L.2)",
"Annotation",
"The Conference will consider and adopt the provisional agenda and annotated provisional agenda, subject to such changes as may be necessary.",
"2. Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016)",
"Documentation",
"Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012‑2016) (E/ESCAP/MCT(3)/1)",
"Annotation",
"The document provides an overview of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016). It also contains a summary of the major findings and conclusions of an independent evaluation of phase II of the Regional Action Programme.",
"3. Major issues in transport",
"All documents under item 3 will be taken up together to assess current issues in the transport sector, with each delegation making a single intervention.",
"(a) Sustainable Development Goals and transport",
"Documentation",
"Sustainable Development Goals and transport (E/ESCAP/MCT(3)/2)",
"Annotation",
"The extensive enabling role of transport in achieving the Sustainable Development Goals means that the three pillars of sustainable development – namely economic, social and environmental – need to be integrated into the transport connectivity agenda in a balanced manner, through integrated intermodal transport and logistics systems that optimize the comparative advantages of each mode of transport.",
"The document reviews the role of transport in the achievement of the Sustainable Development Goals. It highlights the key drivers of a more sustainable transport sector. It presents the concept of integrated intermodal transport and logistics systems, with case studies from countries that have implemented this concept in their transport development. It also suggests ways forward to achieve integrated intermodal transport and logistics systems for sustainable transport connectivity.",
"(b) Regional transport infrastructure connectivity",
"Documentation",
"Regional transport infrastructure connectivity (E/ESCAP/MCT(3)/3)",
"Annotation",
"The Asian Highway network, the Trans-Asian Railway network and the network of dry ports of international importance have laid the foundations for creating regional and international integrated intermodal transport and logistics systems. However, the unrestricted flow of goods and people that the region needs for continued economic growth and enhanced social inclusion will require wider connectivity between members and associate members. Existing infrastructure networks too often serve a limited group of countries and seldom extend beyond a single subregion. The result is a lack of integration between networks, missing links, operational bottlenecks, technical incompatibilities and different levels of awareness and use of modern technologies.",
"In the document, the substantial progress that has been achieved in the transport sector in recent years is recalled and proposals are highlighted to place its future development within a framework of integrated intermodal transport corridors that could coherently incorporate roads, railways, waterways and ports with harmonized technical standards of transport infrastructure and wider application of new technologies.",
"(c) Regional transport operational connectivity",
"Documentation",
"Regional transport operational connectivity (E/ESCAP/MCT(3)/4)",
"Annotation",
"Along with building transport infrastructure, enhancing regional transport operational connectivity remains a long-term task for members and associate members. The two regional frameworks for facilitation of international road and railway transport adopted by the Commission provide the common targets for regional harmonization of legal instruments, cross-border documents and formalities, operational standards and facilitation measures.",
"The document emphasizes the implementation of these frameworks and a logistics programme to realize the vision of operational integrated intermodal transport and logistics systems across the region. For consideration and adoption by the Conference, the document presents the model bilateral and subregional agreements developed within the two regional frameworks for regional harmonization of legal instruments on cross-border and transit transport and the standard model for logistics information systems to fully exploit the benefits of new technologies for the improvement of logistics performance. It also outlines the need for further assistance to members and associate members in developing and implementing cross-border and transit transport agreements and transport facilitation tools. The need for further assistance in harmonizing operational standards is also stressed in the document.",
"(d) Strengthening of transport connectivity between Asia and Europe",
"Documentation",
"Strengthening of transport connectivity between Asia and Europe (E/ESCAP/MCT(3)/5)",
"Annotation",
"For centuries, Euro-Asian transport routes have enabled people, goods, investments and ideas to move across and between the two regions, spurring economic growth, facilitating international trade and fostering cultural and scientific exchanges. Likewise, future socioeconomic progress will rely on enhanced interregional connectivity, which is currently hindered by infrastructure gaps, non-harmonized transport documents and incompatible technical and operational standards.",
"The document reviews the latest initiatives on Eurasian transport and the challenges facing the region, and presents ways to strengthen transport connectivity between Asia and Europe. It also proposes to establish an interregional committee on transport between Asia and Europe as an institutional platform that could create synergies among existing initiatives, facilitate the elimination of non-physical barriers and achieve the required level of coordination related to the planning and implementation of infrastructure and facilitation projects.",
"(e) Transport connectivity for least developed countries, landlocked developing countries and small island developing States",
"Documentation",
"Transport connectivity for least developed countries, landlocked developing countries and small island developing States (E/ESCAP/MCT(3)/6)",
"Annotation",
"There remain many transport challenges for least developed countries, landlocked developing countries and small island developing States. The issues can be varied, including lack of investment in transport infrastructure and services, or challenging geography that adds dramatically to development restrictions. A major issue for landlocked developing countries is the lack of economical and efficient access to the sea, and for remote small island developing States, the burdening cost of shipping.",
"The document outlines the special needs of least developed countries, landlocked developing countries and small island developing States with respect to transport and suggests a set of priority areas: (a) facilitating transport and integrated intermodal transport and logistics for least developed countries and landlocked developing countries; (b) improving urban and rural transport and road safety in landlocked developing countries, least developed countries and small island developing States; and (c) enhancing maritime connectivity for small island developing States. It advocates the provision of technical assistance to landlocked developing countries and neighbouring transit developing countries in planning, establishing and operating efficient integrated multimodal transport corridors. The document also recommends a report on the midterm review of the implementation of the Vienna Programme of Action for Landlocked Developing Countries for the Decade 2014-2024, together with capacity-building to enhance transport connectivity, develop urban and rural transport and improve road safety.",
"(f) Rural connectivity to wider networks",
"Documentation",
"Rural connectivity to wider networks (E/ESCAP/MCT(3)/7)",
"Annotation",
"Most of the world’s poorest people live in rural areas, isolated by long distances and difficult terrain from markets, health care and education. This problem is acute in Asia, where almost 700 million people do not have all‑season road access. There is clear evidence that rural isolation is associated with poverty, mainly as a result of low agricultural productivity and lack of access to wider economic opportunity. Isolation is also linked with poor health outcomes and low school enrolment.",
"The document outlines the role of rural transport access in reducing poverty and generating positive health, education and economic outcomes. It suggests ways to improve rural connectivity to wider networks such as the Asian Highway, Trans-Asian Railway and dry port networks. It also recommends key areas to support rural transport development, such as financing options to improve rural access, assessment of rural transport connectivity, reporting of regional progress and capacity-building.",
"(g) Sustainable urban transport",
"Documentation",
"Sustainable urban transport (E/ESCAP/MCT(3)/8)",
"Annotation",
"The growing pattern of urban motorization is leading to congestion, pollution and greenhouse gas emissions, resulting in a decline in productivity and health and climate change issues in the region. The recently adopted Sustainable Development Goals include a goal on sustainable cities with a target to expand public transport. Renewed commitment of members and associate members would be required to tackle the challenges of planning, developing and maintaining sustainable urban transport systems and services.",
"The document outlines regional progress and challenges regarding the improvement of urban transport systems and presents the case for developing national policy frameworks on sustainable urban transport development, integrating urban transport modes, developing and applying tools to deploy new innovative technologies, assessing regional progress and building the capacity of members and associate members.",
"(h) Improving road safety",
"Documentation",
"Improving road safety (E/ESCAP/MCT(3)/9)",
"Annotation",
"Road safety is an issue of serious concern to sustainable development, considering its magnitude and consequent negative impact on the economy, public health and general welfare of the people, particularly low-income groups. There were approximately 733,000 fatalities from road crashes in the region in 2013, more than half the worldwide total of 1.25 million fatalities. More efforts are needed to achieve Sustainable Development Goal targets 3.6 (by 2020, halve the number of global deaths and injuries from road traffic accidents) and 11.2 (by 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety).",
"The document highlights the recent progress made and initiatives taken by regional members and associate members on improving road safety, and reviews major causes of road crashes in the region and potential measures to address such causes, including rules and regulations for key risk factors such as speeding and drink-driving. It proposes an updated set of regional goals and targets which identify priority areas so that regional members and associate members may tailor their efforts towards improving the road safety situation in the region, with the support of the secretariat’s road safety tools and capacity-building programme.",
"4. Draft regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021)",
"Documentation",
"Draft regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021) (E/ESCAP/MCT(3)/WP.1)",
"Annotation",
"The integration of sustainable development into transport connectivity will be the theme of the new regional action programme, phase I (2017‑2021). To achieve this target, a fundamental approach is to develop integrated intermodal transport and logistics systems to effectively balance the economic, social and environmental dimensions of sustainable development.",
"The document, in line with this fundamental approach, proposes priority areas of work in the following seven coherent and interconnected components: regional transport infrastructure connectivity; regional transport operational connectivity; strengthening of transport connectivity between Asia and Europe; transport connectivity for least developed countries, landlocked developing countries and small island developing States; rural transport connectivity to wider networks; urban transport; and road safety. The new regional action programme is designed to assist the region’s developing members and associate members in their efforts to achieve enhanced transport connectivity at the interregional, regional, national, urban and rural levels in a sustainable manner to support the implementation of the Sustainable Development Goals.",
"5. Draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific",
"Documentation",
"Draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific (E/ESCAP/MCT(3)/WP.2)",
"Annotation",
"A draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific will be considered by the senior officials prior to its submission to the ministerial segment for adoption. The draft will have been reviewed by an expert group meeting on preparation for the Conference and the Advisory Committee of Permanent Representatives and Other Representatives Designated by Members of the Commission prior to its submission to the senior officials. The declaration will reaffirm the commitment of regional members and associate members to promoting sustainable transport development in the region through realization of the vision of the integrated intermodal transport and logistics systems with enhanced transport infrastructural and operational connectivity at the interregional, regional, national, urban and rural levels; strengthened transport connectivity of least developed countries, landlocked developing countries and small island developing States; improved road safety; and wide application of innovative new technologies, in particular intelligent transport systems. The declaration will provide a framework for the efficient and effective implementation of the regional action programme (2017-2021).",
"6. Other matters",
"Under this agenda item, the Conference may wish to consider other matters.",
"7. Adoption of the report of the senior officials segment",
"Documentation",
"Draft report of the senior officials (E/ESCAP/MCT(3)/CRP.1)",
"Annotation",
"The senior officials will consider and adopt a draft report on the agenda items allocated to them for consideration by the ministers.",
"B. Ministerial segment",
"8. Opening of the session",
"(a) Opening addresses",
"(b) Election of officers",
"The ministerial segment will elect a bureau which will comprise a chair, vice-chairs and a rapporteur.",
"(c) Adoption of the agenda",
"Documentation",
"Provisional agenda (E/ESCAP/MCT(3)/L.1)",
"Annotated provisional agenda (E/ESCAP/MCT(3)/L.2)",
"9. Policy debate on issues pertaining to sustainable transport connectivity in Asia and the Pacific and the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), including the report of the senior officials segment",
"The ministers and heads of delegations will deliver their policy statements, highlighting the key issues, policies and initiatives that are central to the sustainable development of transport in their respective countries and the region. The policy statements will also provide an opportunity to showcase the priority transport-related projects of regional significance. Representatives of the United Nations and other intergovernmental and non‑governmental organizations will make brief statements on the policies and initiatives of their organizations in this important area.",
"The report of the senior officials (E/ESCAP/MCT(3)/10) will be considered concurrently.",
"10. Other matters",
"Any other matters raised by delegations and/or the secretariat will be considered under this item.",
"11. Adoption of the ministerial declaration on sustainable transport connectivity in Asia and the Pacific, including a regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"The Conference will consider for adoption the draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific, including a regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021) (E/ESCAP/MCT(3)/L.4). The declaration will reaffirm the commitment of regional members and associate members to promote regional cooperation and integration in transport for inclusive and sustainable connectivity and development in the region, including realizing the long-term vision of the integrated intermodal transport and logistics systems. It will also provide a framework for the efficient and effective implementation of the regional action programme.",
"12. Adoption of the report of the Conference",
"The Conference will consider for adoption the draft report (E/ESCAP/MCT(3)/L.3), which will be submitted to the Commission at its seventy-third session, in 2017.",
"13. Closing of the Conference",
"Closing statements will be delivered.",
"[1] The Ministerial Conference on Transport has been held every five years since 1985: the Meeting of Ministers Responsible for Transport and Communications was held in Bangkok in 1985; the Meeting of Senior Government Representatives Responsible for the Transport and Communications Decade for Asia and the Pacific, 1985-1994, was held in Bangkok in 1990; the Ministerial Conference on Infrastructure was held in New Delhi in 1996; the Ministerial Conference on Infrastructure was held in Seoul in 2001; the Ministerial Conference on Transport was held in Busan, Republic of Korea, in 2006; and the Ministerial Conference on Transport was held in Bangkok in 2012."
] | E_ESCAP_MCT(3)_L.2 | [
"Economic and Social Commission for Asia and the Pacific Ministerial Conference on Transport Third session Moscow, 5-9 December 2016",
"Annotated provisional agenda",
"The present document contains the provisional agenda (Part I) and annotations (Part II) of the Ministerial Conference on Transport. [1]",
"I. Provisional agenda",
"A. Senior officials segment",
"Opening of the session:",
"(a) Opening statements;",
"(b) Election of officers;",
"(c) Adoption of the agenda.",
"2. Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016).",
"3. Major transport issues:",
"(a) Sustainable development goals and transport;",
"(b) Regional transport infrastructure connectivity;",
"(c) Regional transport operational connectivity;",
"(d) Strengthening transport connectivity between Asia and Europe;",
"(e) Transport connectivity in least developed countries, landlocked developing countries and small island developing States;",
"(f) Rural connectivity to broader networks;",
"Sustainable urban transport;",
"(h) Improving road safety.",
"Draft programme of action for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021).",
"5. Draft ministerial declaration on sustainable transport connectivity in the Asian and Pacific region.",
"Other matters.",
"7. Adoption of the report of the senior officials segment.",
"B. Ministerial segment",
"Opening of the session:",
"(a) Opening statements;",
"(b) Election of officers;",
"(c) Adoption of the agenda.",
"9. Policy debate: matters related to sustainable transport connectivity in Asia and the Pacific, implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), including the report of the senior officials.",
"Other matters.",
"11. Adoption of the ministerial declaration on sustainable transport connectivity in the Asia-Pacific region, including the first phase of the Programme of Action for Sustainable Transport Connectivity in the Asia-Pacific region (2017-2021).",
"12. Adoption of the report of the meeting.",
"Closure of the session.",
"Annotations",
"A. Senior officials segment",
"Opening of the session",
"Opening statements",
"A detailed programme of the opening session will be made available upon finalization.",
"b. Election of officers",
"The senior officials will elect a Chairman, two Vice-Chairmen and a Rapporteur for the senior officials segment.",
"c. Adoption of the agenda",
"Documentation",
"Provisional agenda (E/ESCAP/MCT(3)/L.1)",
"Annotated provisional agenda (E/ESCAP/MCT(3)/L.2)",
"Annotations",
"The Conference will consider and adopt, mutatis mutandis, the provisional agenda and annotations thereto.",
"2. Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016)",
"Documentation",
"Assessment and evaluation of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016) (E/ESCAP/MCT(3)/1)",
"Annotations",
"It provides an overview of the implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), and contains a summary of the main findings and conclusions of an independent evaluation of phase II of the Regional Action Programme.",
"3. Major transport issues",
"To assess the current problems facing the transport sector, the meeting will consider all documents under agenda item 3 in an integrated manner; each delegation will have one opportunity to speak under this agenda item.",
"a. Sustainable development goals and transport",
"Documentation",
"Sustainable development goals and transport (E/ESCAP/MCT(3)/2)",
"Annotations",
"The broad contribution of transport to the achievement of the sustainable development goals implies the need to integrate the economic, social and environmental balance of the three pillars of sustainable development into the transport connectivity agenda and to establish an integrated intermodal transport and logistics system that optimizes the comparative advantage of each mode of transport.",
"The paper considered the role of transport in achieving the sustainable development goals and highlighted the main drivers of a more sustainable transport sector. The paper presents the concept of integrated intermodal transport and logistics systems, provides examples of countries that have implemented this concept in their transport development processes and suggests future directions for achieving integrated intermodal transport and logistics systems for sustainable transport connectivity.",
"b. Regional transport infrastructure connectivity",
"Documentation",
"Regional transport infrastructure connectivity (E/ESCAP/MCT(3)/3)",
"Annotations",
"The Asian Highway, Trans-Asian Railway and dry port networks of international importance have laid the foundation for regional and international integrated intermodal transport and logistics systems. However, the smooth flow of goods and people required for sustained economic growth and social inclusion in the region requires increased connectivity among members and associate members. Existing infrastructure networks are often used only by a few countries and generally within a subregion. This has resulted in a lack of coordination among networks, missing links, bottlenecks in operations, technical incompatibility and uneven awareness and use of modern technologies.",
"The document reviews the significant progress made in the transport sector in recent years and highlights recommendations for future development within the framework of integrated intermodal transport corridors, the integration of roads, railways, waterways and dry ports into harmonized technical standards for transport infrastructure and the wider use of new technologies.",
"c. Regional transport operational connectivity",
"Documentation",
"Regional transport operational connectivity (E/ESCAP/MCT(3)/4)",
"Annotations",
"While building transport infrastructure, strengthening connectivity in regional transport operations remains a long-term task for members and associate members. The two regional frameworks adopted by the Commission on the facilitation of international road and rail transport provide common objectives for the regional harmonization of legal instruments, transit documents and procedures, operational standardization and facilitation measures.",
"It emphasizes the need to implement these frameworks and to implement a logistics programme that will lead to a region-wide vision of an integrated operational intermodal transport and logistics system. The paper presented a model bilateral and subregional agreement for regional harmonization of cross-border and transit transport in the context of the two regional frameworks and a standard model for improving logistics to enable logistics information systems to take full advantage of new technologies for consideration and adoption by the Conference. It also identified the need for further assistance to members and associate members in the development and implementation of cross-border and transit transport agreements and transport facilitation tools. The need for further assistance in harmonizing operational standards was also highlighted.",
"d. Strengthening transport connectivity between Asia and Europe",
"Documentation",
"Strengthening transport connectivity between Asia and Europe (E/ESCAP/MCT(3)/5)",
"Annotations",
"For centuries, Euro-Asian transport routes have facilitated the exchange of people, goods, investment and ideas within and between the two regions, thus contributing to economic growth, international trade and cultural and scientific exchange. Future socio-economic progress is equally dependent on increased interregional connectivity, which is hampered by current infrastructure gaps, inconsistent transport documents and incompatible technical and operational standards.",
"The paper considered the latest Euro-Asian transport initiatives and the challenges facing the region and proposed ways to strengthen transport connectivity between Asia and Europe. The document also proposes the establishment of the Asia-Europe Transport Trans-regional Commission as an institutional platform for building synergies among existing initiatives and promoting the removal of non-physical barriers in order to achieve the coordination required for infrastructure and facilitation project planning and implementation.",
"e. Transport connectivity in least developed countries, landlocked developing countries and small island developing States",
"Documentation",
"Transport connectivity in least developed countries, landlocked developing countries and small island developing States (E/ESCAP/MCT(3)/6)",
"Annotations",
"The least developed countries, landlocked developing countries and small island developing States still face many transport challenges. These countries may face different problems, including a lack of investment in transport infrastructure and services, or adverse geographical conditions that significantly limit development. For landlocked developing countries, the main problem is the lack of economic and efficient access to the sea; for remote small island developing States, the cost of shipping is excessive.",
"The paper outlined the special transport needs of least developed countries, landlocked developing countries and small island developing States and proposed a set of priority areas: (a) promoting transport and integrated intermodal transport and logistics systems in least developed countries and landlocked developing countries; (b) improving rural and urban transport and road safety in landlocked developing countries, least developed countries and small island developing States; and (c) enhancing maritime connectivity in small island developing States. It advocates the provision of technical assistance to landlocked developing countries and their transit developing neighbours in the planning, construction and operation of efficient and integrated intermodal transport corridors. It also recommended the preparation of a report on the midterm review of the implementation of the Vienna Programme of Action for Landlocked Developing Countries for the Decade 2014-2024 and capacity-building to enhance transport connectivity, develop urban and rural transport and improve road safety.",
"f. Rural connectivity to broader networks",
"Documentation",
"Rural connectivity to broader networks (E/ESCAP/MCT(3)/7)",
"Annotations",
"The majority of the world ' s poorest people live in rural areas, far away from markets and without access to health services and education because of their remoteness and rugged terrain. The problem is particularly acute in Asia, where nearly 700 million people are not yet using all-weather roads. It is clear that rural isolation leads to poverty, mainly because of low agricultural productivity and lack of broad economic opportunities. Isolation also leads to low levels of health and school enrolment.",
"The document outlines the role of improved rural transport in reducing poverty and improving health, education and economic conditions. The paper proposes ways to improve rural connectivity to broader networks, such as the Asian Highway, Trans-Asian Railway and Dry Ports networks, and identifies priority areas to support rural transport development, such as the provision of multiple financing options for improving rural transport conditions, the assessment of rural transport connectivity, reporting on regional progress and capacity-building.",
"g. Sustainable urban transport",
"Documentation",
"Sustainable urban transport (E/ESCAP/MCT(3)/8)",
"Annotations",
"The growth patterns of urban mobility have led to congestion, pollution and greenhouse gas emissions, reduced productivity in the region and caused problems of health and climate change. The recently adopted Sustainable Development Goals included a goal on sustainable cities, one of which was to expand public transport. Renewed commitment by members and associate members is required to meet the challenges of planning, building and maintaining sustainable urban transport systems and services.",
"The document outlines the progress made and the challenges faced by the region in improving urban transport systems and strongly advocates the establishment of national policy frameworks for sustainable urban transport development, the integration of urban transport modes, the development and application of tools for the deployment of new and innovative technologies, the assessment of regional progress and capacity-building of members and associate members.",
"h. Improving road safety",
"Documentation",
"Improving road safety (E/ESCAP/MCT(3)/9)",
"Annotations",
"Given the magnitude of the road safety problem and its negative impact on the economy, public health and the well-being of the population in general, and of low-income groups in particular, road safety is of serious relevance to sustainable development. The number of road traffic deaths in the region in 2013 was estimated at 733,000, representing more than half of the world ' s 1.25 million road traffic deaths. More efforts are needed to achieve target 3.6 of the Sustainable Development Goals (to halve global road traffic fatalities and injuries by 2020) and target 11.2 (to provide safe, affordable, accessible and sustainable transport systems for all and to improve road safety by 2030).",
"The paper highlighted recent progress and initiatives by members and associate members of the region in improving road safety and considered the main causes of road traffic accidents in the region and possible measures to address them, including the development of regulations and regulations on key risk factors such as speeding and drinking driving. The document sets out an updated set of regional goals and targets and identifies a number of priority areas, thus enabling members and associate members in the region, supported by the secretariat ' s road safety tools and capacity-building programmes, to adapt their efforts to improve road safety in the region.",
"Draft regional action programme for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021)",
"Documentation",
"Draft programme of action for sustainable transport connectivity in Asia and the Pacific, phase I (2017-2021) (E/ESCAP/MCT(3)/WP.1)",
"Annotations",
"The first phase of the new regional action programme (2017-2021) will focus on the integration of sustainable development and transport connectivity. To achieve this goal, the fundamental approach is to develop an integrated intermodal transport and logistics system that effectively balances the three dimensions of sustainable development: economic, social and environmental.",
"Based on this basic approach, the present document sets out priority areas of work, including the following seven coherent and relevant components: connectivity of regional transport infrastructure; connectivity of regional transport operations; strengthening transport connectivity between Asia and Europe; transport connectivity among least developed countries, landlocked developing countries and small island developing States; rural connectivity with broader networks; sustainable urban transport; and improved road safety. The new regional action programme aims to assist developing members and associate members in the region in their efforts to strengthen transport connectivity across regions, regions, countries and rural and urban areas in a sustainable manner.",
"5. Draft regional ministerial declaration on sustainable transport connectivity in Asia and the Pacific",
"Documentation",
"Draft ministerial declaration on sustainable transport connectivity in Asia and the Pacific (E/ESCAP/MCT(3)/WP.2)",
"Annotations",
"The senior officials segment will consider the draft regional ministerial declaration on sustainable transport connectivity in Asia and the Pacific and submit it to the ministerial segment for adoption. The draft will be reviewed by the expert group meeting on preparations for the meeting and the Advisory Committee of Permanent Representatives and Other Representatives Designated by Members of the Commission prior to its submission to the senior officials segment. The declaration will reaffirm the commitment of regional members and associate members to promote sustainable transport development in the region by achieving the vision of an integrated intermodal transport and logistics system, strengthening transport infrastructure and operational connectivity across regions, regions, countries, rural and urban areas, strengthening transport connectivity in least developed countries, landlocked developing countries and small island developing States, improving road safety and making wider use of new and innovative technologies, especially smart transport systems. The declaration will provide the framework for the efficient and effective implementation of the regional action programme (2017-2021).",
"Other business",
"The Conference may wish to consider other matters under this agenda item.",
"7. Adoption of the report of the senior officials segment",
"Documentation",
"Draft report of the senior officials (E/ESCAP/MCT(3)/CRP.1)",
"Annotations",
"The senior officials will consider and adopt the draft report on the agenda items allocated to the senior officials segment for consideration by the Ministers.",
"B. Ministerial segment",
"8. Opening of the session",
"Opening statements",
"b. Election of officers",
"The ministerial segment will elect a Bureau consisting of a Chairperson, Vice-Chairpersons and a Rapporteur.",
"c. Adoption of the agenda",
"Documentation",
"Provisional agenda (E/ESCAP/MCT(3)/L.1)",
"Annotated provisional agenda (E/ESCAP/MCT(3)/L.2)",
"9. Policy debate: matters related to sustainable transport connectivity in Asia and the Pacific, implementation of the Ministerial Declaration on Transport Development in Asia and the Pacific and the Regional Action Programme for Transport Development in Asia and the Pacific, phase II (2012-2016), including the report of the senior officials ' meeting",
"Ministers and heads of delegation will issue their policy statements, highlighting core issues, policies and initiatives of importance to the sustainable development of transport in their countries and the region. The policy statement will also provide an opportunity to showcase priority projects of regional significance in transport. The United Nations and other intergovernmental and non-governmental organizations will make brief presentations on the policies and initiatives of their respective organizations in this important area.",
"The meeting will also consider reports submitted by senior officials (E/ESCAP/MCT(3)/10).",
"Other business",
"Any other matters raised by delegations and/or the Secretariat will be considered under this agenda item.",
"11. Adoption of the regional ministerial declaration on sustainable transport connectivity in Asia and the Pacific, including the first phase of the Regional Action Programme for Sustainable Transport Connectivity in Asia and the Pacific (2017-2021)",
"The Conference will consider the adoption of the draft ministerial declaration on sustainable transport connectivity in the Asia-Pacific region, including the Programme of Action for Sustainable Transport Connectivity for the Asia-Pacific Region, phase I (2017-2021) (E/ESCAP/MCT(3)/L.4). The declaration will reaffirm the commitment of members and associate members of the region to promote regional cooperation and integration in transport for inclusive and sustainable connectivity and development in the region, including the long-term vision of an integrated intermodal transport and logistics system. It will also provide the framework for the efficient and effective implementation of the regional action programme.",
"12. Adoption of the report of the meeting",
"The draft report (E/ESCAP/MCT(3)/L.3) will be considered and adopted for submission to the Commission at its seventy-third session, in 2017.",
"13. Closure of the session",
"Closing remarks.",
"[1] The Ministerial Conference on Transport has been held every five years since 1985: the Conference of Ministers of Transport and Communications was held in Bangkok in 1985; the Conference of High Representatives of Governments for the Decade of Transport and Communications in Asia and the Pacific (1985-1994) was held in Bangkok in 1990; the Ministerial Conference on Infrastructure was held in New Delhi in 1996; the Ministerial Conference on Infrastructure was held in Seoul in 2001; the Ministerial Conference on Transport was held in Busan, Republic of Korea, in 2006; and the Ministerial Conference on Transport was held in Bangkok in 2012."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目2(a) \n信息和通信技术的政策问题：努力实现亚太信息高速公路",
"亚太信息高速公路总体计划",
"秘书处的说明^(**)",
"内容摘要 \n根据亚洲及太平洋经济社会委员会(亚太经社会)第71/10号决议，亚太信息高速公路工作组第一次会议于2015年9月在大韩民国仁川举行。与会代表一致同意将起草亚太信息高速公路总体计划和区域合作框架文件，两份文件相辅相成。为完成这一任务，组建了亚太信息高速公路指导小组。亚太经社会在本区域进行了调研和分析，于2016年4月与包括私营部门的代表在内的各利益攸关方进行协商，并在2016年3月举办的技术会议上讨论，在此基础上制定了《亚太信息高速公路总体计划》。《总体计划》中列出的关键战略举措、具体目标和时间线均与亚太信息高速公路四大支柱保持一致，即：加强区域宽带基础设施；制订区域互联网流量和网络管理系统和政策；提高信息和通信技术基础设施的韧性；提供包容性的宽带互联网接入。2016年8月29日至30日在中国广州举行的亚太信息高速公路工作组第二次会议将审议并核准《总体计划》。",
"一． 导言",
"1. 亚洲及太平洋经济社会委员会(亚太经社会)新近发布的报告表明，亚太发展中区域不到15%的人口可以访问高速互联网，而在过去15年中，最不发达国家的状况并未得到改善。[1] 为解决这一问题，亚太经社会在第71/10号决议中核准了在亚太信息高速公路倡议方面的持续工作。这一倡议旨在改善区域宽带互联互通，其方式是通过由开放接入的跨境网络基础设施构成的密集网络，将其纳入相互连接的陆缆和海缆光纤网络，以实现以下最终目标：为本区域发展中国家增加国际带宽，降低宽带互联网资费，弥合本区域的数字鸿沟。",
"2. 亚太信息高速公路倡议补充了亚太经社会成员国对联大第70/125号决议“关于信息社会世界首脑会议成果文件执行情况全面审查的大会高级别会议成果文件”的承诺，联大在文件中认识到迫切需要发挥知识和技术的潜力促进可持续发展目标，并需要发挥这一潜力促进发展。2015年经社会第71/10号决议呼吁秘书处促进在利用信通技术促进减少灾害风险、灾害管理和响应方面良好实践和经验教训的交流，提高电子韧性，并核准建立了亚太信息高速公路工作组。工作组第一次会议于2015年9月1-2日在大韩民国仁川举行。会议决定：",
"(a) 起草总体计划，其中包括与亚太信息高速公路倡议的四大支柱相关的长期愿景、针对性目标、专门活动和时间节点；[2]",
"(b) 起草由四大支柱构成的亚太信息高速公路区域合作框架。",
"3. 亚太信息高速公路工作组还成立了亚太信息高速公路指导小组，其成员包括指导小组办公室成员以及拥有政策和技术专长的多利益攸关方代表。指导小组的基本目标是起草亚太信息高速公路总体计划和区域合作框架文件。",
"4. 为支持亚太信息高速公路倡议并创立亚太信息高速公路总体计划，亚太经社会对现有和缺失的陆地链路进行了若干分析和可行性研究，估算了南亚、西亚、中亚和东南亚国家联盟(东盟)国家对宽带服务、电子韧性和互联网流量管理的需求。[3] 这些调研分析工作是与大韩民国国家信息社会局、亚洲发展银行、亚洲网络经济改革学习举措组织(LIRNEasia)和信息社会组织协作下共同开展的。研究主要集中在但不限于宽带接入、固定和移动宽带基础设施、定价、国内光纤网络(陆缆和区域间陆缆)以及国际互联互通上。亚太经社会也与国际电信联盟合作，更新了宽带网络地图。[4]",
"5. 草案指出，需要将亚太信息高速公路治理结构形成制度，方可确保总体计划的有效实施。经社会秘书处将通过政府间进程确保协调、汇报和支助。总体计划旨在为次区域倡议增加价值，例如东盟信通技术总体计划以及包括各成员国国家信通技术计划和举措在内的其他倡议。",
"6. 亚太信息高速公路总体计划提出建立网络走廊，旨在形成由跨境陆缆连接和海缆登陆站构成的切实有效的物理网络，实现无缝的亚太区域信息和通信网络。",
"二. 经社会研究结果重点",
"7. 亚太区域国际互联互通或经转的接入方式主要是海缆登陆。经社会对陆缆网络的分析表明，本区域许多国家的回程国内基础设施网络的网格化程度较低，呈“河流体系”模式。此外，由于各国间光纤互联数量有限，也导致总国际带宽和人均国际带宽供应受到限制。这一问题尤其困扰着内陆国家，它们无法直接接入海缆登陆站，不得不依赖有限的跨境陆缆接入。",
"8. 迄今，亚太经社会已在以下三个次区域开展了若干研究：南亚和西亚区域、中亚区域、东盟区域。结论简述如下。",
"A. 亚太区域的信息和通信技术状况",
"9. 从地理分布来看，52%以上的全球固定宽带用户来自亚太经社会成员国，其后依次为欧洲国家(21.9%)和北美洲国家(14.1%)。亚太经社会区域74%的固定宽带用户位于东亚和东北亚，本区域半数以上固定宽带用户数都是靠中国独力撑起的。亚太经社会高收入国家数字包容度更高，而亚太经社会低收入成员国则呈现出数字鸿沟的迹象。新兴国家中也出现了固定宽带增长，不过速度较慢，发展不均。",
"10. 此外，工作报告《2016年亚洲及太平洋信通技术现状》探讨了监管质量与固定宽带渗透率之间的强相关性。新兴经济体的移动宽带用户总数呈快速增长，正在迎头赶上发达国家。但若按人口数量进行加权，发达国家的移动宽带渗透率要明显高出许多。研究人员分析了亚太经社会成员国的宽带数字鸿沟，发现若不采取针对性政策加以干预，未来数年中数字鸿沟将加宽。",
"B. 中亚各国",
"11. 中亚 [5] 靠扩大覆盖范围并提供廉价手机设备，在移动通信方面表现较为出色。然而中亚10国中互联网使用率呈显著差异，渗透率参差不齐。造成这一现象的主要原因是互联网服务的高成本。虽然本次区域大多数国家仍然大大低于全球平均水平(10%)，但阿塞拜疆、格鲁吉亚、哈萨克斯坦的固定宽带普及率高于全球平均水平，而亚美尼亚仅略低于水平线。在移动宽带方面，亚美尼亚、阿塞拜疆、哈萨克斯坦和吉尔吉斯斯坦的普及情况均优于全球平均水平。",
"12. 然而即便将中亚各国作为整体来看，也缺乏足够的国际带宽。这与拥有充足带宽的东盟等其他次区域形成了鲜明对比。此外，大多数此类国家高度依赖邻国以接入国际带宽。",
"13. 以上10个经济体与外部世界的基础设施互联主要依靠陆缆光纤，但巴基斯坦和格鲁吉亚可以接入海缆光纤。这10个国家北邻俄罗斯联邦，东邻中国，南邻伊朗伊斯兰共和国和巴基斯坦，西邻土耳其。这些邻国可望经陆缆和海缆为内陆国家提供更多国际带宽。此外，中亚整个区域范围内坐拥若干相互连接的陆缆网络，如亚欧陆地光缆系统、欧洲—伊朗海缆项目和跨欧亚信息高速公路。内陆国家可望利用这些光缆系统接入国际带宽。这些光缆系统还进一步为目前海缆系统中存在的拥堵点提供了替代性冗余路径的机会。",
"14. 尽管宽带覆盖率普遍偏低，10国中越来越多的消费者和企业使用无线宽带而非固定宽带来访问互联网。这一趋势盛行的缘由是固定宽带基础设施缺失或不足，暴露出中亚各国的重大缺陷。报告亦指出，大多数此类国家尤其缺乏必要的固定骨干网基础设施以支持无线通信的新兴需求。",
"C. 东南亚国家联盟各国",
"15. 东盟国家在光纤和其他宽带基础设施(国内和国际)方面广泛投资。然而，东盟国家中互联网接入和服务水平差异较大。除新加坡和泰国外，东盟国家平均网速低于世界平均水平。柬埔寨、印度尼西亚、老挝人民民主共和国、缅甸和越南或将需要额外投资来扩展其国内网络。",
"16. 经过对东盟国家间主干网和互联网流量交换互联互通的质量进行考察，发现该次区域内呈现出显著差异。评估表明，在最差的个案中，国际主干中继线下载速度为0.15每秒兆比特，等待时间为230毫秒，远程传输指数 [6] 为35。在最佳的个案中，评估显示下载速度为50.1每秒兆比特，等待时间为7.5毫秒，远程传输指数为1。这表明，该次区域的主干网互联互通和互联网流量交换和管理系统效率严重低下。东盟的宽带普及率也依然偏低，且国别差距严重。报告同时指出，陆地互联互通相对偏弱，呈高成本或高价格结构。柬埔寨、老挝人民民主共和国、缅甸、菲律宾等国的区域互联网经转价格比新加坡贵十倍。",
"17. 除马来西亚、菲律宾和新加坡外，大多数东盟国家内国际互联互通相对较弱。柬埔寨依赖与其他邻国间的回程协议来实现国际互联互通。印度尼西亚的跨区域互联互通较为薄弱且有限，其经转能力严重依赖新加坡。东盟次区域唯一的内陆国家老挝人民民主共和国无法直接接入海缆网络。",
"D. 南亚及西亚各国",
"18. 对本次区域的九国(孟加拉国、不丹、印度、伊朗伊斯兰共和国、马尔代夫、尼泊尔、巴基斯坦、斯里兰卡和土耳其)电信、互联网市场和宽带基础设施的分析表明，各国在带宽可用性方面存在严峻差距。这一差距不利于经济增长、社会发展和包容性。陆缆光纤互联互通偏弱是造成各次区域带宽不平等、低容量、高成本和不稳定的根本原因。[7] 这导致带宽的消费价格和批发价格高企，包括宽带在内的先进信通技术服务和应用欠缺且普及率偏低。[8]",
"19. 该次区域的固定宽带和移动宽带基础设施均可望大幅扩展。互联网经转的价格从非常合理(土耳其)、适中(印度)到昂贵(次区域其他国家)不一而足。除印度和伊朗享受经海缆接入国际互联互通的优越条件外，本次区域其他各国国际互联互通从充足、稍弱到薄弱，程度不等。本次区域两个内陆国家不丹和尼泊尔完全依赖印度方可通过海缆接入国际互联互通。报告指出，本次区域各国市场的竞争状况从充分竞争(印度)、略充分(孟加拉国、巴基斯坦)、不充分竞争(不丹、尼泊尔、斯里兰卡、土耳其、马尔代夫、伊朗伊斯兰共和国)不一而足。",
"E. 太平洋区域的信息和通信技术状况",
"20. 亚太经社会对太平洋次区域的研究尚有待开展。然而，太平洋诸岛通信部门的改革导致了海缆互联互通的大幅扩张。手机和互联网接入产生了广泛的影响，带来了诸多裨益，例如便于享受医疗、教育、市场信息、金融服务，在自然灾害发生之际获得信息。[9]",
"三. 愿景和四大支柱",
"21. 作为区域互联互通的支柱，亚太信息高速公路倡议应在无缝的区域宽带网络建设中发挥催化作用，以降低资费，提高稳定性、韧性和覆盖面，因而消除数字鸿沟的成因，建设支持落实可持续发展目标的互联网生态系统，刺激亚太区域的数字经济发展。",
"22. 尽管宽带互联网在所有部门均带来了丰厚的收益，但整个亚太区域的进展并不均衡，依然是世界上数字鸿沟最为严重的区域之一。不断加宽的数字鸿沟理应令人担忧。为解决这一问题，亚太信息高速公路工作组第一次会议上将亚太信息高速公路的概念进行了界定，其基础正是上述研究和分析，以查明与以下四大支柱相关的差距、机遇和需求(图1)：",
"(a) 物理基础设施升级和互联；",
"(b) 互联网流量管理；",
"(c) 打造区域网络韧性；",
"(d) 在互联网薄弱地区推动宽带接入。",
"图一",
"亚太信息高速公路的四大支柱",
"[]",
"23. 亚太经社会与国际电信联盟联合制作了交互式信息高速公路地图。[10] 这份交互式地图用于确定若干缺失的陆地光纤链路以及海缆瓶颈处。",
"A. 互联互通",
"24. 亚太信息高速公路倡议呼吁通过升级并提高跨境、区域内和区域间宽带骨干网络的韧性并加以整合，改善无缝区域宽带光纤主干网互联互通，势必带来开放接入且更加均衡的海缆和陆缆网络。此外，亚太信息高速公路倡议呼吁发挥现有的亚洲高速公路网和泛亚铁路网以及其他跨境基础设施带来的区域互联互通机遇，利用已有的和规划中的交通运输网络通行权，在国家内部和国家间实施快速、费用低且成效高的光纤布线。除建设区域光纤陆缆外，亚太信息高速公路倡议还力求打造陆缆的运营模式，促进跨境陆缆网络的形成，提高转换的质量和效率，以便更加高效地利用完工的陆缆资源，提高区域互联互通。《亚太信息高速公路区域合作框架文件》中重点强调了上述方面。[11]",
"B. 流量与网络管理",
"25. 亚太信息高速公路倡议也呼吁在国内、次区域和区域层面改善互联网流量交换和管理系统，切实有效地协调相关政策以提高服务质量。这一支柱的目标是在区域内建立充足的互联网交换点，协调互联网流量管理实践、原则和相关政策规章框架，使之更加公开、中立、不偏不倚，并制订互联网交换点的总则。",
"C. 电子韧性",
"26. 鉴于有韧性的基础设施对可持续发展的重要性，而且信通技术在减少灾害风险和灾害管理中发挥了关键作用，亚太信息高速公路倡议旨在通过提高网络多样化等方法来改善现有或规划中的信通技术基础设施的韧性。",
"D. 全民享受宽带",
"27. 亚太信息高速公路倡议认识到最不发达国家和内陆发展中国家的特殊需求和挑战，支持推广全民上网的环境。除提升国际光纤主干网互联互通外，该倡议还促进了相关国家国内信通技术基础设施的发展，包括国内主干网和回程网络、接入网络和互联网数据中心等。国内信通技术基础设施的改善可以降低人均宽带成本，进而促进宽带的大规模扩展。有效利用互联网数据中心可以满足对国际带宽的需求，推动国内信通技术应用的发展。",
"四. 亚太信息高速公路的层级网络结构图",
"28. 亚太信息高速公路亦可用层级网络结构图来描述，该图主要解读了网络每一层级在功能方面的差异，如图2所示，例如宽带主干网层级、开放中立互联网交换点层级和内容/内容传递层级。宽带主干网层级应在查明国家、次区域和区域层面的缺失环节后，由比例均衡的无缝海缆和陆缆网络构成。政策和监管层面体现在协调互联网中间协议路由和对等或经转的区域监管系统或区域协调机构，并与监管方进行沟通，确定新来者回程接入的网络中立和非歧视权利。",
"29. 开放中立互联网交换点层级确保了国内互联网服务之间的国内互联网协议流量交换，以及邻国间的区域直接互联网协议对等/经转。在互联网交换点之间完全可以建立光纤互联，支持需要多种接入互联网交换点方式的互联网服务提供商或其他国家的互联网服务提供商。内容或内容传递层级可作为互联网数据中心，供独立提供商在此通过内容传递网络提供内容。内容传递网络服务提供商和内容提供商的作用十分重要，他们可以通过在本地服务器上缓存更多内容，减少跨境互联网流量。",
"图二",
"亚太信息高速公路层级图",
"[]",
"[][][]",
"[][]",
"[]",
"[]",
"[][][]",
"[][]",
"资料来源：亚太经社会和国家信息社会局，《在东盟次区域实施亚太信息高速公路的预可行性分析：理念、国际流量与质量分析、网络结构设计和实施模式》(曼谷，2016)。可查阅：www.unescap.org/sites/default/files/ASEAN%20report%20final.pdf。",
"五. 亚太信息高速公路的中期目标",
"30. 总体计划当前项目2016至2018年内，中期目标主要集中在以下三个方面：(a)无缝、且可靠的区域宽带互联互通，以及均衡的海缆和陆缆互联互通和互联网流量交换管理，(b)提高电子韧性(c)在宽带尚未普及的地区促进包容性的宽带接入，缩小数字鸿沟。",
"31. 区域宽带互联互通倡议应以现有研究和分析为基础，通过以下方式落实具体举措：(a)查明缺失环节，[12] (b)利用跨部门的协同增效促进光纤布线，(c)改善监管框架，推广关键基础设施的开放接入。",
"32. 应在国内和次区域层面建立充足的互联网交换点，确立互联网流量交换的共同准则，以防止互联网流量远程传输，改善区域主干网的跨境、区域内、区域间互联网服务质量，解决经转费用高昂的问题。",
"33. 包容性宽带接入的目标包括改善亚太区域的监管框架和市场实践，因为这些监管框架和市场实践往往在宽带传输市场的国际转接和国家主干网等细分市场中限制了竞争。在此方面的成功政策和监管措施将包括简化海缆网络和跨境网络接入的许可制度，减少主导运营商对国际网关和海缆登陆站的独家掌控。此外，加快改革以培育宽带传输市场的竞争格局亦是降低宽带资费的头等大事。",
"六. 建议的亚太信息高速公路网络走廊",
"34. 在物理方面，次区域网络走廊是一个跨境、区域内和区域间的宽带基础设施。网络走廊链路将主要由穿越邻国、次区域和区域的光缆、导管和管道构成。通过精密的物理网络基础设施，网络走廊将在决定亚洲及太平洋区域互联互通及国际带宽价格方面发挥重要作用。每个次区域网络将利用各次区域的主要互联网交换点，通过一条网络走廊与另一次区域网络连接起来。将通过协调的政策和规定以及区域合作等推进电子韧性和包容性宽带接入的措施来支持物理网络，详见《亚太信息高速公路区域合作框架文件》。",
"35. 网络走廊的主要举措将是在各国建立互联网交换点，这些交换点将连接到次区域互联网交换点，亦即接入欧美的外部网络服务提供点。共计查明了亚太信息高速公路的五条网络走廊(见图3)。俄中光缆系统被视为网络走廊，原因是其可作为国际互联互通的替代性陆地路径。",
"图三",
"建议的亚洲及太平洋区域网络走廊",
"[]",
"七. 亚太信息高速公路的区域伙伴",
"36. 伙伴关系是亚太信息高速公路总体计划的重要组成部分，由于这一信息高速公路地域广阔且由多重网络构成，基础设施将主要由私营部门负责建设。预计通过私营部门、各国政府、国际机构、非政府组织、研究院所和区域/国际金融机构的区域伙伴关系，各亚太信息高速公路子计划将获得协调、实施和筹资机会，同时可分享专门知识，交流良好实践和经验教训。",
"37. 各区域伙伴构成了诸多在亚太信息高速公路倡议的共同框架(图4)下齐心协力的利益攸关方。此框架内包含了由指导委员会成员构成的五个次区域指导小组。发展伙伴和金融机构伙伴将在国家、次区域和区域层面行使各自职能，为成员国提供支助。区域合作框架和融资方案详见《亚太信息高速公路区域合作框架文件》。",
"38. 此外，与其他社会经济部门的实体等进行合作并建立伙伴关系，对发挥亚洲高速公路网和泛亚铁路网以及其他跨境基础设施带来的已有区域互联互通机遇非常重要，以便利用已有的和规划中的交通运输网络通行权，在国家内部和国家间实施快速、费用低且成效高的光纤布线。",
"图四",
"区域伙伴",
"[]",
"八. 亚太信息高速公路的治理结构",
"39. 建议的亚太信息高速公路治理结构旨在为倡议各项活动的有效实施提供支助(图5)。治理结构由亚太信息高速公路整体区域层面(指导委员会)构成，其下的各次区域走廊(指导小组)将由电信运营商构成的实施小组酌情予以支助。活动将围绕四大支柱展开，应促进次区域和国家信通技术倡议的实施。如图5所示，各指导小组将负责讨论并查明各次区域互联互通、流量管理、电子韧性和数字鸿沟的相关问题。",
"图五",
"建议的亚太信息高速公路网络走廊治理结构",
"40. 建议的治理结构设计理念是要与次区域倡议保持一致，以便满足次区域需求，并契合亚太信息高速公路倡议的总体目标。此外，治理结构将利用国际电信联盟、亚太电信组织、世界银行、亚洲基础设施投资银行和其他金融机构等国际机构和专门机构的相关国际专门知识。亦将吸收信息社会组织、亚洲网络经济改革学习举措组织和其他研究院所/智库为伙伴。各次区域指导小组成员不限于该次区域的成员国，而是面向所有亚太经社会成员国开放。",
"41. 区域层面将由监控、协调和咨询职能构成，并通过亚太经社会秘书处向各政府间机构汇报，详见《亚太信息高速公路区域合作框架文件》。",
"九. 2016-2018年期战略倡议",
"42. 建议的亚太信息高速公路2016-2018年期战略倡议旨在改善亚太区域宽带互联互通(见表1)。",
"表1：",
"亚太信息高速公路2016-2018年期战略倡议",
"倡议1：与成员国和次区域组织合作，在跨境、区域内和区域间层面开展区域主干网的确定、协作、部署、扩展和整合 \n 重点领域 描述 负责方 一体化区域主干和互联互通- 陆地光纤网络\t- 查明缺失环节- 采用网状和环状混合结构，设计有韧性的区域陆地主干网\t亚洲网络经济改革学习举措组织 \n- 相干网状网\t- 规划建立中心节点，以降低成本，提高流量传输稳定性\t\n跨境陆缆的运营模式\t- 研究跨境陆缆网络的运营模式和标准及质量标准等\t国内宽带基础设施\t- 审查欠发达国家的国内主干网路径 - 协助最不发达国家制定宽带网络发展战略 \n\t-建设并规划数据中心、云数据共享和其他负担得起的备选方案\t\n 支持活动 描述 负责方 \n1. 在部分走廊开展深入的可行性研究，考虑到内陆发展中国家、最不发达国家和小岛屿发展中国家的特殊需求和挑战\t- 确定流量、收入和前期成本与经济承受能力- 确定最不发达国家、内陆发展中国家和小岛屿发展中国家的特殊需求和挑战- 与成员国和小岛屿国家私营部门协调基础设施发展规划\t亚太经社会、成员国、研究院所、智库、次区域组织和金融机构1. 更新亚太信息高速公路传输图\t-最大限度发挥跨部门协同增效或利用现有公路和铁路基础设施\t亚太经社会、国际电信联盟和成员国 \n\t-更新亚太信息高速公路传输图\t\n1. 粗数量级\t- 酌情与供应商合作，探索成本评估\t亚太经社会、私营部门",
"倡议2：在国家和次区域层面建立充足的互联网交换点，并制订互联网流量交换的共同准则，以防止互联网流量远程传输，降低经转成本，提高服务质量 \n 重点领域 描述 负责方 \n协调统一的互联网流量交换和管理- 改进区域、次区域和国家级互联网交换点- 消除新互联网服务提供商的入门壁垒，推动市场公平竞争\t- 倡导在邻国的互联网服务提供商之间开展非歧视的直接双边对等/经转- 建立区域内/区域间中立的互联网交换点-设立国内互联网交换点，以便国内流量在国内交换 \n重点领域\t描述\t负责方\t\n1. 区域诊断性研究\t- 开展诊断性研究，分析本区域互联网流量交换/管理的最佳实践\t亚太经社会、国际电信联盟、亚太电信组织、亚太网络信息中心、成员国和私营部门\t\n1. 流量产量深入分析\t-开展对流量、目的地和分配、路由和距离的研究，包括在国家层面和区域层面的整体互联网服务质量\t亚太经社会，与私营部门、亚太网络信息中心和成员国协商\t\n1. 互联网交换点系统和运营模式\t-建议建立互联网交换点，包括运营原则和监管模式\t亚太经社会、亚太网络信息中心、研究院所和私营部门\t\n4. 粗数量级\t- 与设备供应商或伙伴实体合作进行成本评估\t亚太经社会，与私营部门协商",
"倡议3：区域社会和经济研究 \n 重点领域 描述 负责方 未来和不久的将来信通技术趋势的经济社会影响分析\t-审查技术进步，查明其对经济和社会的影响，促进让决策者做出知情决定的信通技术的包容性发展\t亚太经社会、联合国教育、科学及文化组织、私营部门、其他联合国各机构和金融机构 -在亚太经社会国家开展信通技术发展需求评估，考虑到内陆发展中国家、最不发达国家和小岛屿发展中国家的特殊需求和挑战 \n\t- 开展促进宽带互联互通在生产中的应用相关能力建设",
"倡议4：提高亚太区域信通技术基础设施的韧性 \n 重点领域 描述 负责方 \n1. 接入国际互联互通的陆缆链路\t- 探索加强通往欧洲的光纤链路的电子韧性- 探索为中亚内陆国家提供额外带宽\t亚太经社会，成员国、私营部门和金融机构\n1. 多样化的路线，包括在亚洲公路网和泛亚铁路网沿线共同铺设光缆\t- 利用亚洲公路网和泛亚铁路网的基础设施探索光缆路径的多样化\t亚太经社会与成员国\n1. 减少灾害风险，保护关键基础设施2. 网络安全防备3. 引入网际协议版本6(IPV6)1\t- 整合多种方式以规划基础设施的发展，将灾害管理纳入设计阶段- 支持并审查国家信通技术的网络安全防备- 支持IPV6准备工作\t亚太经社会、研究院所、联合国各机构和私营部门亚太网络信息中心、世界银行和其他区域/国际组织亚太网络信息中心",
"倡议5：为充分利用现有基础设施、技术和包容性的宽带倡议的政策和法规 \n 重点领域 描述 负责方 \n1.海底光缆回程和降低跨境资费以及基础设施共享\t-在上述研究、磋商和伙伴关系的基础上，制订跨境基础设施共享相关政策\t成员国和次区域组织\n1. 当地/国家政府网络接入互联网交换点的情况以及在互联网交换点的对等/经转情况\t-制订基础设施共享、接入互联网交换点的相关政策\t成员国和次区域组织1. 国家信通技术政策和监管框架\t- 更新国家政策和规定，促进基础设施发展和包容性宽带\t亚太经社会、联合国各机构、次区域组织和成员国 - 实施用以推进开放接入、非歧视性定价、竞争和创新的政策 \n\t- 与电信、税收和关税相关的监管改革",
"倡议6：能力建设 \n 重点领域 描述 负责方 \n6.1→机构和个人能力建设6.2→技术培训\t- 能力建设，交流在区域层面总结的、与网络流量管理和监测、陆缆/海缆布线相关的良好做法和经验教训- 开展建立互联网服务提供商和网络安全的相关技术培训\t亚太经社会、所有成员国、研究院所、私营部门、联合国各机构。亚太网络信息中心",
"倡议7：基于公私营伙伴关系的亚太信息高速公路项目融资机制 \n 重点领域 描述 负责方 7.1→规划亚太信息高速公路筹资平台\t- 与世界银行、亚洲发展银行、亚洲基础设施投资银行和其他金融机构合作，探索并规划为亚太信息高速公路筹资的机制\t亚太经社会、联合国各机构、次区域组织、私营部门、金融机构和成员国 -探索公共资金安排和公私营伙伴关系，以及推动基础设施建设的专门工具 -探索互联网交换点建设和运营的政府筹资备选方案 \n\t- 亚太信通技术计划融资机制的信息搜集",
"十. 实施计划",
"1. 总体计划项目期为2016年至2018年(见表2)。项目进展的首次审评将于2018年提交信息和通信技术，科学、技术与创新委员会第二届会议。鉴于部分活动可能需要在2018年之后实施，总体计划将在首次审评后予以更新和修订，详见《亚太信息高速公路区域合作框架文件》。",
"表2",
"亚太信息高速公路执行方案2016-2018(仅列出部分活动)",
"行动项目 2016 2017 2018\n 1/4 2/4 3/4 4/4 1/4 2/4 3/4 4/4 1/4 2/4 3/4 4/4",
"应建立指导委员会并投入运行",
"1.1 进行可行性分析",
"2.3 互联网交换点系统和运营模式",
"3. 区域社会和经济研究",
"4.1 将路径多样化作为电子韧性的一部分加以研究",
"5.1 落实政策倡议，促进跨境互联互通",
"6.1 能力建设",
"7.1 规划亚太信息高速公路筹资平台",
"提交总体方案供审议通过",
"评估与进展报告",
"委员会第一届会议",
"经社会第七十三届会议",
"经社会第七十四届会议",
"附件一",
"亚太信息高速公路指导委员会的职权范围",
"一. 成员标准",
"1. 亚太信息高速公路指导委员会应由亚洲及太平洋经济社会委员会(亚太经社会)所有成员国组成，且鉴于所指派活动的性质，还将由来自非营利组织和研究所、拥有政策和技术专长的多利益攸关方代表，以及成员国政府的专家(以个人身份)组成。",
"2. 主席团应由指导委员会成员选举产生，任期一年。",
"3. 指导委员会应每年召开一次会议。",
"4. 指导委员会主席应由指导委员会成员选举产生。",
"5. 秘书处将协助指导委员会履行职能。",
"二. 目标",
"6. 指导小组应监督亚太信息高速公路总体计划和区域合作框架文件的实施情况，协调次区域工作，提供政策指导，并视需要成立技术咨询小组。",
"附件二",
"亚太信息高速公路次区域指导小组的职权范围",
"一. 成员标准",
"1. 亚太信息高速公路各次区域指导小组成员应由该次区域的亚洲及太平洋经济社会委员会(亚太经社会)成员国以及任何对次区域工作有兴趣的其他亚太经社会成员国组成。",
"2. 指导小组主席团应由该次区域的亚太经社会成员国选举产生，任期一年。",
"3. 指导小组主席应由该小组成员选举产生。",
"4. 秘书处应协助各指导小组履行其职能。",
"二． 目标",
"5. 各指导小组应监督次区域信通技术项目的实施情况，提供政策指导，并视需要成立实施小组。",
"[1] 联合国，亚洲及太平洋经济社会委员会，工作文件《2016年亚洲及太平洋信通技术现状》（即出）。",
"[2] 加强区域宽带基础设施；制订区域互联网流量和网络管理系统和政策；增强信通技术基础设施的韧性；提供包容性的宽带互联网接入。",
"[3] 可参阅：www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/publications?page=1。",
"[4] www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/asia-pacific-information-superhighway-maps.",
"[5] 为亚太信息高速公路倡议起见，文中“中亚”是指以下国家：阿富汗、亚美尼亚、阿塞拜疆、格鲁吉亚、哈萨克斯坦、吉尔吉斯斯坦、巴基斯坦、塔吉克斯坦、土库曼斯坦和乌兹别克斯坦。",
"[6] 远程传输指数可界定为数据包从始发地到目的地之间互联网路由距离与直线距离之比。",
"[7] 联合国亚洲及太平洋经济社会委员会，《南亚和西亚宽带基础设施深入研究》。可查阅：www.unescap.org/sites/default/files/Broadband_Infrastructure_South%26West_Asia.pdf。",
"[8] 土耳其的人均国际互联网带宽超过30千字节每秒，而孟加拉国仅为0.3千字节每秒，两者之比为100:1。孟加拉国、印度和尼泊尔等国（总人口占世界五分之一）人均国际互联网带宽低于1千字节每秒；伊朗伊斯兰共和国、巴基斯坦和斯里兰卡的带宽也极其微弱，仅为2.2千字节每秒甚至更低，相比之下，西欧平均值约为100千字节每秒。各国1每秒兆比特宽带年费加安装费占人均名义国内生产总值的百分比参差不齐，从极其低廉（土耳其）、低廉（斯里兰卡）、合理（不丹、印度、伊朗伊斯兰共和国和马尔代夫）、略贵（巴基斯坦）到极贵（孟加拉国和尼泊尔）不一而足。",
"[9] Siope Vakataki’Ofa，《小岛屿发展中国家的电信监管改革：WTO电信承诺的影响》（泰恩河畔纽卡斯尔，剑桥学者出版社，2012)。",
"[10] www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/asia-pacific-information-superhighway-maps。",
"[11] E/ESCAP/CICTSTI(1)/3。",
"[12] 可参阅：www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/resources。"
] | [
"Master Plan for the Asia-Pacific Information Superhighway",
"Note by the secretariat^(**)",
"Summary \nIn accordance with resolution 71/10 of the Economic and SocialCommission for Asia and the Pacific (ESCAP), the 1st meeting of theWorking Group on the Asia-Pacific Information Superhighway was heldin Incheon, Republic of Korea, in September 2015. At that meeting,it was agreed that a master plan on the Asia-Pacific informationsuperhighway and a regional cooperation framework document would bedeveloped and that they would be mutually reinforcing. TheAsia-Pacific Information Superhighway Steering Group was formed tocarry out that task. The Master Plan for the Asia-PacificInformation Superhighway was developed based on studies andanalyses carried out by ESCAP in the region, consultations withvarious stakeholders, including representatives of the privatesector in April 2016, and discussions at a technical meetingorganized in March 2016. The Master Plan contains key strategicinitiatives, targeted goals and a timeline in line with the fourpillars of the Asia-Pacific information superhighway initiative:strengthening the regional broadband infrastructure; establishingregional Internet traffic and network management systems andpolicies; enhancing information and communications technologyinfrastructure resilience; and providing inclusive access tobroadband Internet. The Master Plan was considered for endorsementat the 2nd meeting of the Working Group on the Asia-PacificInformation Superhighway, which was held in Guangzhou, China, on 29and 30 August 2016.",
"I. Introduction",
"1. In the developing region of Asia and the Pacific, less than 15 per cent of the population has access to high-speed Internet, and the situation in the least developed countries has not improved during the last 15 years according to the latest report of the Economic and Social Commission for Asia and the Pacific (ESCAP).[1] To address this issue, ESCAP, in its resolution 71/10, endorsed continued work on the Asia-Pacific information superhighway initiative. The initiative aims to improve regional broadband connectivity through a dense web of open access cross-border infrastructure that will be integrated into a cohesive land- and sea-based fibre network with the ultimate aims of increasing international bandwidth for developing countries in the region, lowering broadband Internet prices and bridging the digital divide in the region.",
"2. The Asia-Pacific information superhighway initiative complements the commitment of ESCAP member countries to General Assembly resolution 70/125 on the outcome document of the high-level meeting of the General Assembly on the overall review of the implementation of the outcomes of the World Summit on the Information Society, in which the Assembly recognized the urgent need to harness the potential of knowledge and technology for the promotion of the Sustainable Development Goals and the need to find ways to use this potential for development. In 2015, the Commission, in its resolution 71/10, requested the secretariat to promote the sharing of experiences, good practices and lessons learned in information and communications technology (ICT) for disaster risk reduction, management and response and building e-resilience and endorsed the establishment of the Working Group on the Asia-Pacific Information Superhighway. Its 1st meeting was held in Incheon, Republic of Korea, on 1 and 2 September, 2015. It decided to:",
"(a) Draft a master plan encompassing a long-term vision, targeted goals, specific activities and milestones with regard to the four pillars of the Asia-Pacific information superhighway initiative;[2]",
"(b) Draft a regional cooperation framework for the Asia-Pacific information superhighway initiative consisting of the four pillars.",
"3. The Working Group on the Asia-Pacific Information Superhighway also established the Asia-Pacific Information Superhighway Steering Group, consisting of the members of the Bureau of the Working Group and multi-stakeholder representatives with policy and technical expertise. The primary objective of the Steering Group was to draft a master plan for the Asia-Pacific information superhighway and a regional cooperation framework document.",
"4. In support of the Asia-Pacific information superhighway initiative, and to create the Master Plan for the Asia-Pacific Information Superhighway, ESCAP carried out a number of analyses and feasibility studies on the existing and missing terrestrial links and estimated demand for broadband services, e‑resilience and Internet traffic management in South and West Asia, Central Asia and countries of the Association of Southeast Asian Nations (ASEAN).[3] The studies and analyses were carried out in collaboration with other agencies, such as the National Information Society Agency of the Republic of Korea, the Asian Development Bank, LIRNEasia and the Internet Society. These studies were primarily focused on, but not limited to, the status of broadband adoption, fixed and mobile broadband infrastructure, pricing, domestic fibre-optic networks (terrestrial and interregional terrestrial) and international connectivity. With the International Telecommunication Union, ESCAP updates their collaborative broadband network maps.[4]",
"5. As drafted, the Master Plan requires the institutionalization of an Asia-Pacific information superhighway governance structure to ensure its effective implementation. The secretariat of the Commission, through intergovernmental processes, will ensure coordination, reporting and support. The Master Plan is intended to add value to the subregional initiatives, such as the ASEAN ICT Master Plan, and other initiatives, including member States’ national ICT plans and initiatives.",
"6. The Master Plan for the Asia-Pacific Information Superhighway proposes the establishment of network corridors with the aim of achieving an efficient and effective physical network consisting of both terrestrial cross‑border connections and submarine cable landing stations to realize a seamless Asia-Pacific regional information and communication network.",
"II. Highlights of the Commission’s findings",
"7. Access to international connectivity or transit is largely dominated by submarine cable landings in the Asia-Pacific region. The Commission’s analysis of the terrestrial network has shown that many countries in the region have backhaul domestic infrastructure networks that are poorly meshed and follow a “river system” pattern. Furthermore, the limited number of fibre interconnections across countries also limits the availability of total and per capita international bandwidth. This has affected the landlocked countries in particular, which do not have direct access to submarine cable landing stations and have to rely on limited terrestrial cross-border connections.",
"8. To date, ESCAP has conducted a number of studies in three subregions: South and West Asia, Central Asia and the ASEAN region. The findings are summarized below.",
"A. The state of information and communications technology in the Asia-Pacific region",
"9. More than 52 per cent of global fixed broadband subscriptions come from ESCAP member countries, followed by European countries (21.9 per cent) and North American countries (14.1 per cent). Seventy-four per cent of fixed broadband subscriptions in the ESCAP region are in East and North-East Asia, and more than half of the region’s fixed broadband subscriptions are driven by China alone. High-income ESCAP countries are more digitally inclusive, while low-income ESCAP members show signs of the digital divide. Fixed broadband growth is spreading to emerging countries, albeit slowly and unevenly.",
"10. In addition, in the working paper, State of ICT in Asia and the Pacific 2016, a strong correlation between the quality of regulation and fixed broadband penetration was identified. Regarding total mobile broadband subscriptions, phenomenal growth has been observed across emerging economies, which are overtaking advanced countries. However, if weighted by population, it is clear that advanced countries have much higher penetration rates. Researchers analysed the broadband digital divide in ESCAP member countries and found that unless targeted policies are implemented, the digital divide will widen in the coming years.",
"B. Central Asian countries",
"11. Central Asia[5] has done relatively well in mobile communications due to improved coverage and the availability of affordable devices. However, there is significant variation in Internet adoption across these 10 countries, with varying penetration rates. This has been attributed primarily to the high cost of Internet services. While most countries in the subregion remain significantly below the global average (10 per cent), Azerbaijan, Georgia and Kazakhstan all have fixed broadband penetration rates above the global average, with Armenia only slightly below. In mobile broadband, Armenia, Azerbaijan, Kazakhstan and Kyrgyzstan all perform well against the global average.",
"12. However, the Central Asian countries, even taken together as a whole, lack adequate international bandwidth. This is in stark contrast to other subregions, such as the ASEAN region, which has sufficient bandwidth. Furthermore, most of these countries are heavily dependent on their neighbours for access to international bandwidth.",
"13. The infrastructure connections of these 10 economies with the rest of the world mostly comprise terrestrial landing cables although Pakistan and Georgia have access to submarine cables. These 10 countries are surrounded by the Russian Federation in the north, China in the east, the Islamic Republic of Iran and Pakistan in the south, and Turkey in the west. These neighbouring countries could provide additional international bandwidth terrestrially as well as through submarine cables to the landlocked countries. Furthermore, Central Asia has a number of interconnected terrestrial cable networks running through the subregion, such as the Trans-Asia-Europe line, the Europe-Persian Express Gateway and the Trans-Eurasian Information Superhighway. These cable systems could be tapped for international bandwidth by the landlocked countries. Furthermore, these cable systems present an opportunity for alternative redundant routes to the existing choke points in the current undersea cable system.",
"14. While broadband penetration is generally low, consumers and businesses across the 10 countries are increasingly accessing the Internet through wireless broadband rather than fixed broadband. This trend is prevalent due to lack of or insufficient fixed line infrastructure, revealing major weaknesses in the Central Asian countries. It has also been noted that most of these countries in particular lack the necessary fixed backbone infrastructure required to support the emerging demand for wireless communications.",
"C. Association of Southeast Asian Nations countries",
"15. ASEAN countries have made extensive investments in fibre and other broadband infrastructure (domestic as well as international). However, a wide gap in the level of access and services exists among the ASEAN countries. The average Internet speed in ASEAN countries falls below the world average, except in Singapore and Thailand. Cambodia, Indonesia, the Lao People’s Democratic Republic, Myanmar and Viet Nam would require additional investments to expand their domestic networks.",
"16. Observations of the quality of the backbone network and Internet traffic exchange connectivity among ASEAN countries indicate noticeable differences within the subregion. In the worst case, the assessment showed an international backbone trunk line download speed of 0.15 megabits per second, a latency of 230 milliseconds and a tromboning index[6] of 35. In the best case, the assessment showed a download speed of 50.1 megabits, a latency of 7.5 milliseconds and tromboning index of 1. This indicates that the backbone network connectivity and the Internet traffic exchange and management systems in the subregion are significantly inefficient. Broadband penetration in ASEAN is also still very low, with large gaps between countries. It was also noted that there is relatively weak land-based interconnectivity and a high cost or high price structure. The regional Internet transit prices in some countries, such as Cambodia, the Lao People’s Democratic Republic, Myanmar and the Philippines, were 10 times more expensive than those in Singapore.",
"17. International connectivity in most ASEAN countries is relatively weak, except in Malaysia, the Philippines and Singapore. Cambodia relies on backhaul agreements with other neighbouring countries for international connectivity. Indonesia has weak and limited interregional connectivity and strongly depends on Singapore for its transit capacity. The only landlocked country in the ASEAN subregion, the Lao People’s Democratic Republic, has no direct connectivity to submarine cable networks.",
"D. South and West Asian countries",
"18. An analysis of telecommunications, Internet markets and broadband infrastructure in nine countries in the subregion (Bangladesh, Bhutan, India, the Islamic Republic of Iran, Maldives, Nepal, Pakistan, Sri Lanka and Turkey) revealed a sharp disparity among the countries in terms of bandwidth availability. Such a disparity is detrimental to economic growth, social development and inclusiveness. This weak terrestrial fibre-optic connectivity has been the root cause of the subregion’s bandwidth inequality and low capacity, high cost and unreliability.[7] It has led to expensive consumer and wholesale pricing of bandwidth and the limited availability and penetration of advanced ICT services and applications, including broadband.[8]",
"19. Both fixed and mobile broadband infrastructure in the subregion could be significantly expanded. The price of Internet transit varies from very reasonable (Turkey), to moderate (India), to expensive for the rest of the countries in the subregion. With the exception of India and the Islamic Republic of Iran, which enjoy excellent submarine cable-based international connectivity, the international connectivity of the rest of the countries in the subregion varies from sufficient, somewhat weak to weak. Bhutan and Nepal, the two landlocked countries in the subregion, are entirely dependent on India for international submarine connectivity. The competition in the subregion’s markets is competitive (India), somewhat competitive (Bangladesh and Pakistan) and less competitive (Bhutan, the Islamic Republic of Iran, Maldives, Nepal, Sri Lanka and Turkey).",
"E. Status of information and communications technology in the Pacific",
"20. ESCAP has yet to carry out studies in the Pacific subregion. However, reforms in the telecommunications sector of the Pacific islands have resulted in a major expansion in terms of connectivity through submarine cables. The impact of mobile phones and Internet access has been widespread, with benefits that include better access to health, education, market information, financial services and information at times of natural disasters.[9]",
"III. Vision and the four pillars",
"21. As a pillar of regional connectivity, the Asia-Pacific information superhighway initiative shall be a catalyst to develop seamless regional broadband networks which improve affordability, reliance, resilience and coverage and thereby address the causes of digital divides, develop the Internet ecosystem to support the implementation of the Sustainable Development Goals, and stimulate the digital economy in Asia and the Pacific.",
"22. Despite the substantial gains reaped from broadband Internet across all sectors, progress has been uneven across Asia and the Pacific, which remains one of the most digitally divided regions in world. The widening digital divide is a legitimate source of concern. To address this concern, the Asia-Pacific information superhighway concept was defined at the 1st meeting of the Working Group on the Asia-Pacific Information Superhighway based on the above-mentioned research and analysis that identified gaps, opportunities and the need for regional cooperation on topics related to the four pillars (figure I):",
"(a) Physical infrastructure upgrade and interconnection;",
"(b) Internet traffic management;",
"(c) Building regional network resilience;",
"(d) Promoting broadband access in underserved areas.",
"Figure I",
"Four pillars of the Asia-Pacific information superhighway",
"[]",
"23. ESCAP and the International Telecommunication Union collaborated on an interactive map of the information superhighway.[10] The interactive map has been used to identify a number of missing terrestrial fibre-optic links as well as submarine cable choke points.",
"A. Connectivity",
"24. The Asia-Pacific information superhighway initiative advocates enhancing seamless regional broadband fibre-optic backbone connectivity by upgrading and increasing the resilience of and integrating cross-border intra- and interregional broadband backbone networks, which will lead to open access and better balanced undersea and terrestrial networks. In addition, the initiative advocates leveraging existing regional connectivity opportunities offered by the Asian Highway and the Trans-Asian Railway networks, as well as other trans-border infrastructure, to utilize the rights of way of existing and planned transport networks and to achieve rapid, cost-effective deployment of optical fibre across and within countries. Besides developing regional terrestrial fibre-optic cables, the Asia-Pacific information superhighway initiative also seeks to establish operation models of terrestrial cables, facilitate the formation of trans-border terrestrial cable networks and enhance the quality and efficiency of transition, so as to put the completed terrestrial cable resources to more efficient use and to promote regional interconnectivity. These aspects are highlighted in the Asia-Pacific Information Superhighway Regional Cooperation Framework Document.[11]",
"B. Traffic and network management",
"25. The Asia-Pacific information superhighway initiative also promotes enhancing Internet traffic exchange and management systems and harmonizing related policies in a more efficient and effective manner, domestically as well as at the subregional and regional levels, which will lead to better quality of service. This pillar aims to establish sufficient Internet exchange points within the region, harmonize Internet traffic management practices, principles and related policy and regulatory frameworks in more open, neutral and non-discriminatory ways, and set out general principles on Internet exchange points.",
"C. E-resilience",
"26. The Asia-Pacific information superhighway initiative aims to enhance the resilience of existing/planned ICT infrastructure through methods such as enhanced network diversity, while recognizing the importance of resilient infrastructure to sustainable development and the critical role played by ICT in disaster risk reduction and management.",
"D. Broadband for all",
"27. The Asia-Pacific information superhighway initiative supports an environment that will lead to the promotion of inclusive access for all, acknowledging the special needs and challenges faced by least developed and landlocked developing countries. In addition to enhancing international fibre-optic backbone connectivity, the initiative also drives the development of domestic ICT infrastructure in related countries, including domestic backbone and backhaul networks, access network and internet data centres, among others. The improvement of domestic ICT infrastructure can promote large-scale broadband expansions by lowering broadband costs per capita. Effective use of Internet data centres can lead to the absorption of the demand for international bandwidth and the promotion of the development of domestic ICT applications.",
"IV. Asia-Pacific information superhighway layered map of the network structure",
"28. The Asia-Pacific information superhighway can also be described with a layered map of the network structure, which primarily explains functional differences in each layer of the network, as shown in figure II, such as the broadband backbone network layer, the policy and regulation layer, the open neutral Internet exchange point layer and the content/content delivery layer. The broadband backbone network layer shall be made up of well-balanced seamless submarine and terrestrial fibre networks after identification of missing links at the national, subregional and regional levels. The policy and regulation layer represents a regional governance system or regional coordination body that coordinates intermediate Internet Protocol (IP) routing and peering or transit and negotiates with regulators to set network neutrality and non-discriminatory rights of access to the backhaul for the newcomers.",
"29. The open neutral Internet exchange points layer ensures domestic IP traffic exchange among domestic Internet service providers and regional direct IP peering/transit among neighbouring countries. It is possible to have direct fibre interconnection between Internet exchange points to support the Internet service providers who need diversified connectivity to Internet exchange points or Internet service providers in other countries. The content or content delivery layer serves as the Internet data centre, where independent providers provide content through the content delivery network. The content delivery network service providers and content provider have a very important role in that they reduce cross-border Internet traffic by caching more content on local servers.",
"Figure II",
"Asia-Pacific information superhighway layered map",
"[]",
"Source: ESCAP and National Information Society Agency, A Pre-Feasibility Study on the Asia-Pacific Information Superhighway in the ASEAN Sub-region: Conceptualization, International Traffic & Quality Analysis, Network Topology Design and Implementation Model (Bangkok, 2016). Available from www.unescap.org/sites/default/files/ASEAN%20report%20final.pdf.",
"Abbreviations: CDN, content delivery network; CP, content provider; IDC, Internet data centre; ITEC, Internet traffic exchange connectivity; IXP, Internet exchange point; TBBC, terrestrial broadband backbone connectivity.",
"V. Medium-term objectives of the Asia-Pacific information superhighway",
"30. For the current time frame of the Master Plan, 2016 to 2018, the medium-term objectives focus on three aspects: (a) seamless, affordable and reliable regional broadband connectivity, with well-balanced sea- and land‑based connectivity and Internet traffic exchange management, (b) the promotion of e-resilience and (c) the promotion of inclusive broadband access in underserved areas and narrowing the digital divide.",
"31. Regional broadband connectivity initiatives should build on existing research and analyses and lead to concrete initiatives by (a) identifying missing links,[12] (b) tapping cross-sectoral synergies for fibre-optic deployment and (c) improving regulatory frameworks and promoting open access to critical infrastructure.",
"32. Sufficient numbers of Internet exchange points at domestic and subregional levels and common principles on Internet traffic exchange need to be established to prevent Internet traffic tromboning and to improve service quality for regional backbone networks for cross-border inter- and intraregional Internet service in order to address the issue of high transit costs.",
"33. The objectives for inclusive broadband access include improvements to the regulatory frameworks and market practices in the Asia-Pacific region which often limit competition in both the international transit and national backbone segments of broadband transmission markets. Successful policy and regulatory measures in this respect will involve simplifying licensing regimes for access to submarine and cross-border connections and reducing the exclusive control of incumbents on international gateways and submarine cable land-based stations. Furthermore, accelerating reforms to foster competition on broadband transmission markets is also seen as a key priority to lower the costs of broadband.",
"VI. Proposed network corridors for the Asia-Pacific information superhighway",
"34. Physically, the subregional network corridor is the cross-border intra- and interregional broadband infrastructure. The network corridor links will be composed mainly of fibre-optic cables, ducts and conduits that cross neighbouring countries, subregions and regions. The network corridor, through the sophisticated physical network infrastructure, will play an important role in determining connectivity and the price of international bandwidth in Asia and the Pacific. Each of the subregional networks will be connected to another subregional network through a corridor using the respective subregion’s main Internet exchange points. The physical networks will be supported by harmonized policies and regulations as well as measures to promote e-resilience and inclusive broadband access, including regional cooperation, as illustrated in the Asia-Pacific Information Superhighway Regional Cooperation Framework Document.",
"35. The establishment of Internet exchange points in each country, which in turn will be connected to the subregional Internet exchange points, which will also be the point of presence for external connectivity to Europe and America, will constitute one main component of the network corridor. In total, five network corridors have been identified for the Asia-Pacific information superhighway (figure III). The Russian-Chinese fibre-optic cable system is considered a network corridor as it will serve as alternate terrestrial routes for international connectivity.",
"Figure III",
"Proposed network corridors in Asia and the Pacific",
"[]",
"Abbreviations: ASEAN, Association of Southeast Asian Nations; SIDS, small island developing States.",
"VII. Regional partners for the Asia-Pacific information superhighway",
"36. Partnerships are an essential building block in the Master Plan for the Asia-Pacific Information Superhighway, as the information superhighway covers a wide geographic area and comprises various layers of networks, and the infrastructure will be primarily developed by the private sector. It is anticipated that, through the regional partnership comprising the private sector, Governments, international agencies, non-governmental organizations, research institutes and regional/international financial institutions, the coordination, harmonization, implementation and funding opportunities for various Asia-Pacific information superhighway sub-projects could be secured, while at the same time sharing expertise, good practices and lessons learned.",
"37. Regional partners constitute many stakeholders working together within the common framework of the Asia-Pacific information superhighway initiative (figure IV). Within this framework, there are five subregional steering groups consisting of members of the steering committee. Development partners and financial institution partners continue to provide support through their respective mandates at the national, subregional and regional levels to member States. Further details about a regional cooperation framework and financing options are contained in the Asia-Pacific Information Superhighway Regional Cooperation Framework Document.",
"38. Collaboration and partnerships, including with entities in other socioeconomic sectors, are essential to leveraging existing regional connectivity opportunities offered by the Asian Highway and the Trans-Asian Railway networks and other trans-border infrastructure, in order to use rights of way of existing and planned transport networks for the rapid, cost‑effective deployment of optical fibre across and within countries.",
"Figure IV",
"Regional partners",
"Abbreviations: ADB, Asian Development Bank; AIIB, Asian Infrastructure Investment Bank; APT, Asia-Pacific Telecommunity; ESCAP, Economic and Social Commission for Asia and the Pacific; IFC, International Finance Corporation; ISOC, Internet Society; ITU, International Telecommunication Union; WB, World Bank.",
"VIII. Governance structure of the Asia-Pacific information superhighway",
"39. The proposed governance structure of the Asia-Pacific information superhighway is intended to support the effective implementation of activities of the initiative (figure V). It consists of the overall Asia-Pacific information superhighway regional layer (steering committee), under which each subregional corridor (steering group) will be supported, where necessary, by an implementation group consisting of telecommunications operators. Activities will be developed around the four pillars, which should facilitate the implementation of the subregional and national ICT initiatives. As shown in figure V, the steering groups will be tasked with discussing and identifying issues pertaining to connectivity, traffic management, e-resilience and the digital divide for each subregion.",
"Figure V",
"Proposed governance structure for the Asia-Pacific information superhighway network corridors",
"40. The proposed governance structure has been designed to align with the subregional initiatives so that it meets the needs of the subregions and dovetails with the overall objectives of the Asia-Pacific information superhighway initiative. In addition, the governance structure will capitalize on relevant international expertise from international and specialized agencies, such as the International Telecommunication Union, the Asia-Pacific Telecommunity, the World Bank, the Asian Development Bank, the Asian Infrastructure Investment Bank and other financial institutions. It will also include other institutions such as the Internet Society, LIRNEasia and other research institutes/think tanks as partners. Membership of each subregional steering group will not be limited to member States of that particular subregion, but will be open to all ESCAP member States.",
"41. The regional layer will consist of monitoring, coordination and advisory functions, which will subsequently report to various intergovernmental bodies through the ESCAP secretariat, as described in the Asia-Pacific Information Superhighway Regional Cooperation Framework Document.",
"IX. Strategic initiatives 2016-2018",
"42. The proposed strategic initiatives of the Asia-Pacific information superhighway for 2016-2018 seek to improve broadband connectivity in the Asia-Pacific region (table 1).",
"Table 1",
"Strategic initiatives of the Asia-Pacific information superhighway 2016-2018",
"Initiative 1:Identification,coordination,deployment,expansion andintegration of theregional backbonenetworks at thecross-border intra-and interregionallevels, incollaboration withmember countries andsubregionalorganizations \nAreas of focus\tDescription\tPartyresponsible\nIntegrated regionalbackbone andinterconnectivity- Terrestrialfibre network- Coherent meshnetwork\t- Identify missinglinks- Design hybrid meshand ring structure ofresilient regionalterrestrial backbonenetwork- Plan centre nodeestablishment for lowcost and reliabledelivery of traffic\tLIRNEasia\nOperation models oftrans-borderterrestrial cables\t- Study operatingmodels and standardsand qualitystandards, interalia, of trans-borderterrestrial cablenetworks\tDomestic broadbandinfrastructure\t- Examine domesticbackbone networkroutes in lessdeveloped countries - Help developbroadband networkdevelopmentstrategies in leastdeveloped countries \n\t- Develop and plan datacentres, cloudinformation-sharingand other affordablealternatives\t\nSupportingactivities\tDescription\tPartyresponsible\n1. Conduct detailedfeasibilitystudies in somecorridors,taking intoaccount thespecial needsand challengesof landlockeddevelopingcountries, leastdevelopedcountries andsmall islanddevelopingStates\t- Determine traffic,revenue, andpreliminary costs andaffordability- Determine specialneeds and challengesfor landlockeddeveloping countries,least developedcountries and smallisland developingStates- Coordinateinfrastructuredevelopment planningwith member countriesand the privatesector among smallisland States\tESCAP, membercountries,researchinstitutes,think tanks,subregionalorganizationsand financialinstitutions1. UpdateAsia-Pacificinformationsuperhighwaytransmissionmaps\t- Maximizecross-sectoralsynergy or utilizeexisting roads andrailroadinfrastructure\tESCAP,InternationalTelecommunicationUnion and membercountries \n\t- Update theAsia-Pacificinformationsuperhighwaytransmission map\t\n1. Rough order ofmagnitude\t- Explore costestimation incollaboration withsuppliers whereapplicable\tESCAP, privatesector",
"Initiative 2:Establish a sufficientnumber of Internetexchange points at thenational andsubregional levels andset out commonprinciples on Internettraffic exchange toprevent Internettraffic tromboning,decrease transit costsand improve servicequality \nAreas of focus\tDescription PartyresponsibleHarmonized Internettraffic exchange andmanagement- Enhance regional,subregional andnational Internetexchange points\t- Promotenon-discriminatorydirect bilateralpeering/transitbetweenneighbouringStates’ Internetservice providers \n- Remove entrybarriers to newInternet serviceproviders andpromote fairmarket competition\t- Establishintra-/interregional,neutral Internetexchange points- Establish nationalInternet exchangepoints for thedomestic traffic tobe exchanged insidethe State \nSupporting activities\tDescription\tPartyresponsible\t\n1. Regionaldiagnostic study\t- Conduct diagnosticstudy, analyse bestpractices inInternet trafficexchange/managementin the region\tESCAP,InternationalTelecommunicationUnion,Asia-PacificTelecommunity,AsiaPacificNetworkInformationCentre,membercountriesandtheprivatesector\t\n1. In-depth study ontraffic productionvolume\t- Carry out studieson traffic volume,destination anddistribution,routing anddistance includingoverall Internetservice quality atthe national andregional levels\tESCAP,inconsultationwiththeprivatesector,AsiaPacificNetworkInformationCentreandmembercountries\t\n1. Internet exchangepoint system andoperation model\t- Recommend set-up ofInternet exchangepoints, includingoperating principleand governancemodel\tESCAP,AsiaPacificNetworkInformationCentre,researchinstitutesandtheprivatesector\t\n4. Rough order ofmagnitude\t- Estimate cost incollaboration withdevice vendors orpartner entities\tESCAP,inconsultationwiththeprivatesector",
"Initiative 3:Regional social andeconomic studies \nAreas of focus\tDescription\tPartyresponsibleAnalysis of theeconomic and socialimpacts of future andnear-future ICTtrends\t- Review technologicaladvancements anddiscern theirimpacts on economiesand society for theinclusivedevelopment of ICTthat allowspolicymakers to makeinformed decisions- Conduct needsassessment of ICTdevelopment in ESCAPcountries, takinginto account thespecial needs andchallenges oflandlockeddevelopingcountries, leastdeveloped countriesand small islanddeveloping States\tESCAP, UnitedNationsEducational,Scientific, andCulturalOrganization,the privatesector, otherUnited Nationsagencies andfinancialinstitutions \n\t- Conductcapacity-building onenhancing theproductive use ofbroadbandconnectivity",
"Initiative 4:Enhancing ICTinfrastructureresilience in theAsia-Pacific region \nAreas of focus\tDescription\tPartyresponsible\n1. Terrestrial fibrelinks tointernationalconnectivity\t- Explore ways tostrengthene‑resilience infibre link to Europe- Explore theprovision ofadditional bandwidthfor landlockedCentral Asiancountries\tESCAP, membercountries, theprivate sectorand financialinstitutions\n1. Diversifiedroutes, includingco-deployment offibre-opticcables embeddedin the AsianHighway and theTrans-AsianRailway networks\t- Explore fibre-opticroutediversificationcapitalizing on theinfrastructure ofthe Asian Highwayand Trans-AsianRailway networks\tESCAP, andmember countries\n1. Protectingcriticalinfrastructurewith disasterrisk reduction\t- Integrate approachto planinfrastructuredevelopment,incorporatingdisaster managementfrom design stage\tESCAP, researchinstitutes,United Nationsagencies and theprivate sector\n1. Cybersecuritypreparedness\t- Support and reviewnational ICTpreparedness forcybersecurity\tAsia PacificNetworkInformationCentre, WorldBank and otherregional andinternationalorganizations\n1. Introduction ofInternet Protocolversion 6\t- Support preparednessfor InternetProtocol version 6\tAsia PacificNetworkInformationCentre",
"Initiative 5:Policy andregulations forleveragingexistinginfrastructure,technology andinclusivebroadbandinitiatives \n Areas of focus Description Party responsible1. Submarinecable backhaulandcross-borderaffordabilityandinfrastructuresharing\t-Develop Member countriesand subregionalorganizations cross-border infrastructure-sharing policy based on the above studies, consultations and \n\tpartnerships 1. Local/nationalgovernmentnetworksaccessibilityto Internetexchange pointandpeering/transitat Internetexchange point\t-Develop Member countriesand subregionalorganizations policy on infrastructure sharing, accessibility to Internet exchange \n\tpoint 1. National ICTpolicy andregulatoryframeworks\t-Update ESCAP, UnitedNations agencies,subregionalorganizations andmember countries national policies and regulations to enable infrastructure development and inclusive broadband - Enable policies that lead to open access, non-discriminatory pricing, competition and innovation - Regulatory reforms pertaining to telecommunications, taxes and customs \n\tduties",
"Initiative 6:Capacity-building \n Areas of focus Description Party responsible\n1. Institutionaland individualcapacity-building\t- Capacity-building,sharing of goodpractices and lessonslearned at theregional levelpertaining to networktraffic management andmonitoring, deploymentofterrestrial/submarinefibre\tESCAP, all membercountries,researchinstitutes, theprivate sectorand UnitedNations agencies\n1. Technicaltraining\t- Technical training onestablishing Internetservice provider andcybersecurity\tAsia PacificNetworkInformationCentre",
"Initiative 7:Asia-Pacificinformationsuperhighwayproject fundingmechanism based onpublic-privatepartnerships \n Areas of focus Description Party responsible7.1 Formulation ofan Asia-Pacificinformationsuperhighwayfunding platform\t- Explore and formulatea mechanism to fundthe Asia-Pacificinformationsuperhighway projectin partnership withthe World Bank, theAsian DevelopmentBank, the AsianInfrastructureInvestment Bank andother financialinstitutes\tESCAP, UnitedNations agencies,subregionalorganizations,the privatesector, financialinstitutions andmember countries - Explore public fundingarrangements andpublic-privatepartnerships andspecial purposevehicles for thepromotion ofinfrastructuredevelopment - Explore governmentfunding options onInternet exchangepoint constructionand operations \n\t- Collect information onICT project fundingmechanisms in theAsia-Pacific region",
"X. Implementation plan",
"43. The timeline for the Master Plan is 2016 to 2018 (table 2). In 2018, the first review of progress will be submitted to the Committee on Information and Communications Technology, Science, Technology and Innovation at its second session, in 2018. Given that some activities may need to be implemented beyond 2018, the Master Plan will be updated and revised after the first review, as described in the Asia-Pacific Information Superhighway Regional Cooperation Framework Document.",
"Table 2",
"Asia-Pacific information superhighway implementation plan 2016‑2018 (activities not exhaustive)",
"Action item 2016 2017 2018\n 1/4 2/4 3/4 4/4 1/4 2/4 3/4 4/4 1/4 2/4 3/4 4/4",
"Steering committee to be established and operational",
"1.1 Conduct feasibility studies",
"2.3 Internet exchange point system and operation model",
"3. Regional social and economic studies",
"4.1 Study route diversification as part of e-resilience",
"5.1 Undertake policy initiatives for cross-border connectivity",
"6.1 Capacity development",
"7.1 Formulation of Asia-Pacific information superhighway funding platform",
"Present Master Plan for adoption",
"Evaluation and progress report",
"First session of the Committee",
"Seventy-third session of the Commission",
"Seventy-fourth session of the Commission",
"Annex I",
"Terms of reference of the Asia-Pacific Information Superhighway Steering Committee",
"I. Membership criteria",
"1. The membership of the Asia-Pacific Information Superhighway Steering Committee shall consist of all member States of the Economic and Social Commission for Asia and the Pacific (ESCAP) and, due to the nature of the assigned activities, it will also consist of multi-stakeholder representatives of non-profit organizations and research institutes with policy and technical expertise and experts from member country Governments (in their personal capacity).",
"2. The Bureau shall be elected by Steering Committee members for a term of one year.",
"3. The Steering Committee shall meet once a year.",
"4. The Chair of the Steering Committee shall be elected by the members of the Steering Committee.",
"5. The Steering Committee shall be supported in its functions by the secretariat.",
"II. Objectives",
"6. The Steering Committee shall monitor the implementation of the Master Plan for the Asia-Pacific Information Superhighway and the Asia-Pacific Information Superhighway Regional Cooperation Framework Document, coordinate subregional work, provide policy guidance and, if necessary, set up a technical advisory group.",
"Annex II",
"Terms of reference of the Asia-Pacific Information Superhighway subregional steering groups",
"I. Membership criteria",
"1. The membership of the Asia-Pacific Information Superhighway subregional steering groups shall consist of member States of the Economic and Social Commission for Asia and the Pacific (ESCAP) from the subregion concerned as well as any other ESCAP member States interested in subregional work.",
"2. The bureau of each steering group shall be elected by ESCAP member States from the subregion for a term of one year.",
"3. The chair of each steering group shall be elected by the members of that steering group.",
"4. Each steering group shall be supported in its functions by the secretariat.",
"II. Objectives",
"5. Each steering group shall monitor the implementation of subregional ICT projects, provide policy guidance and, if necessary, set up an implementation group.",
"[1] United Nations, Economic and Social Commission for Asia and the Pacific, “State of ICT in Asia and the Pacific 2016”, Working Paper (forthcoming).",
"[2] Strengthening the regional broadband infrastructure; establishing regional internet traffic and network management systems and policies; enhancing ICT infrastructure resilience; and providing inclusive access to broadband internet.",
"[3] See www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/publications?page=1.",
"[4] www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/asia-pacific-information-superhighway-maps.",
"[5] For the purposes of the Asia-Pacific information superhighway initiative: Afghanistan, Armenia, Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Pakistan, Tajikistan, Turkmenistan and Uzbekistan.",
"[6] A tromboning index is defined as Internet routing distance/straight line distance from the source to the destination of a packet.",
"[7] United Nations, Economic and Social Commission for Asia and the Pacific, “An in‑depth study on the broadband infrastructure in South and West Asia”. Available from www.unescap.org/sites/default/files/Broadband_Infrastructure_South%26West_Asia.pdf.",
"[8] Turkey’s per capita international Internet bandwidth was more than 30 kilobytes per second, while Bangladesh’s was only 0.3 kilobyte per second, a ratio of 100 to 1. Countries such as Bangladesh, India and Nepal (which together account for one fifth of the world’s population) have per capita international Internet bandwidth at less than 1 kilobyte per second; bandwidth in the Islamic Republic of Iran, Pakistan and Sri Lanka is also extremely weak, at 2.2 kilobytes per second or less, while, in comparison, the average in Western Europe is approximately 100 kilobytes per second. The annual 1 megabit per second broadband subscription plus installation as a percentage of nominal gross domestic product per capita varies from extremely affordable (Turkey), affordable (Sri Lanka), reasonable (Bhutan, India, the Islamic Republic of Iran and Maldives), somewhat expensive (Pakistan) to very expensive (Bangladesh and Nepal).",
"[9] Siope Vakataki’Ofa, Telecommunications Regulatory Reform in Small Island Developing States: The Impact of the WTO’s Telecommunications Commitment (Newcastle upon Tyne, Cambridge Scholars Publishing, 2012).",
"[10] www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/asia-pacific-information-superhighway-maps.",
"[11] E/ESCAP/CICTSTI(1)/3.",
"[12] See www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-superhighway/resources."
] | E_ESCAP_CICTSTI(1)_2 | [
"Economic and Social Commission for Asia and the Pacific",
"Asia-Pacific Information Highway Master Plan",
"Note by the Secretariat**",
"In accordance with Economic and Social Commission for Asia and the Pacific (ESCAP) resolution 71/10, the first meeting of the Asia-Pacific Information Highway Working Group was held in Incheon, Republic of Korea, in September 2015. It was agreed that a master plan for the Asia-Pacific information superhighway and a regional cooperation framework document would be drafted, both of which would complement each other. To accomplish this task, the Asia-Pacific Information Highway Steering Group was formed. ESCAP conducted research and analysis in the region, held consultations with various stakeholders, including representatives of the private sector, in April 2016 and discussed at a technical meeting in March 2016, which led to the development of the Asia-Pacific Information Highway Master Plan. The key strategic initiatives, targets and timelines outlined in the Master Plan are aligned with the four pillars of the Asia-Pacific Information Highway, namely: strengthening regional broadband infrastructure; developing regional Internet traffic and network management systems and policies; improving the resilience of information and communications technology infrastructure; and providing inclusive broadband Internet access. The Master Plan will be considered and endorsed at the second meeting of the Asia-Pacific Information Highway Working Group, held in Guangzhou, China, from 29 to 30 August 2016.",
"Introduction",
"1. A recent report issued by the Economic and Social Commission for Asia and the Pacific (ESCAP) indicates that less than 15 per cent of the population in the developing Asia-Pacific region has access to high-speed Internet, while the situation of the least developed countries has not improved over the past 15 years. [1] To address this issue, ESCAP, in its resolution 71/10, endorsed the ongoing work on the Asia-Pacific Information Highway initiative. The initiative aims to improve regional broadband connectivity through the integration of an intensive network of open-access cross-border network infrastructure into interconnected terrestrial and sea cable fibre-optic networks to achieve the following ultimate objectives: Increase international bandwidth for developing countries in the region, reduce the cost of broadband Internet and bridge the digital divide in the region.",
"The Asia-Pacific Information Highway Initiative complements the commitment of ESCAP member States to General Assembly resolution 70/125, “Outcome document of the high-level meeting of the General Assembly on the comprehensive review of the implementation of the outcomes of the World Summit on the Information Society”, in which the Assembly recognized the urgent need to harness the potential of knowledge and technology for sustainable development and the need to realize that potential for development. In its resolution 71/10 of 2015, the Commission called upon the secretariat to facilitate the exchange of good practices and lessons learned in the use of ICT for disaster risk reduction, disaster management and response and to enhance e-resilience, and endorsed the establishment of the Asia-Pacific Information Highway Working Group. The first meeting of the working group was held in Incheon, Republic of Korea, from 1 to 2 September 2015. The Conference decides:",
"(a) Draft a master plan that includes a long-term vision, targets, specific activities and time nodes related to the four pillars of the Asia-Pacific Information Highway Initiative;[2]",
"(b) Draft a regional cooperation framework for the Asia-Pacific information superhighway, comprising four pillars.",
"3. The Asia-Pacific Information Highway Working Group also established the Asia-Pacific Information Highway Steering Group, which includes members of the Steering Group Office and multi-stakeholder representatives with policy and technical expertise. The basic objective of the Steering Group was to draft an overall Asia-Pacific information highway plan and a regional cooperation framework document.",
"In support of the Asia-Pacific Information Highway Initiative and the creation of the Asia-Pacific Information Highway Master Plan, ESCAP conducted a number of analytical and feasibility studies on existing and missing land links, estimating the demand for broadband services, electronic resilience and Internet traffic management in South Asia, West Asia, Central Asia and countries of the Association of Southeast Asian Nations (ASEAN). [3] These research and analytical work is carried out in collaboration with the National Information Society Agency of the Republic of Korea, the Asian Development Bank, the Asia Network Learning Initiative for Economic Reform (LIRNEasia) and the Information Society Organization. Research has focused, but is not limited to, broadband access, fixed and mobile broadband infrastructure, pricing, domestic fibre-optic networks (land and interregional) and international connectivity. ESCAP, in cooperation with the International Telecommunication Union, also updated the broadband network map. [4]",
"The draft notes that the governance structure of the Asia-Pacific Information Highway needs to be institutionalized to ensure the effective implementation of the master plan. The secretariat of the Commission will ensure coordination, reporting and support through the intergovernmental process. The master plan aims to add value to subregional initiatives such as the ASEAN ICT Master Plan and other initiatives, including those of member countries.",
"6. The Asia-Pacific Information Highway Master Plan proposes the establishment of a network corridor aimed at creating an effective physical network of cross-border land cable connections and cable landing stations to achieve seamless information and communication networks in the Asia-Pacific region.",
"II. Highlights of the Commission ' s research findings",
"7. Access to international connectivity or transit in the Asia-Pacific region is mainly by sea cables. The Commission's analysis of terrestrial cable networks shows that many countries in the region have low-integral domestic infrastructure networks, with a “river system” model. In addition, the limited number of fibre-optic connections between countries has resulted in limited overall international bandwidth and international bandwidth availability per capita. This problem particularly affects landlocked countries, which have no direct access to sea-line landing stations and have to rely on limited cross-border terrestrial cable access.",
"To date, ESCAP has undertaken several studies in three subregions: South and West Asia, Central Asia and ASEAN. The conclusions are summarized below.",
"A. Information and communication technology in Asia and the Pacific",
"9. In terms of geographical distribution, more than 52 per cent of global fixed broadband subscribers come from ESCAP member States, followed by European countries (21.9 per cent) and North American countries (14.1 per cent). Seventy-four per cent of fixed broadband users in the ESCAP region are located in East and North-East Asia, and more than half of the region ' s fixed broadband subscribers depend on China alone. ESCAP high-income countries are more digitally inclusive, while low-income ESCAP member States show signs of a digital divide. Fixed broadband growth has also occurred in emerging countries, although at a slower and uneven pace.",
"10. In addition, the report on the work on ICT in Asia and the Pacific 2016 explores the strong correlation between regulatory quality and fixed broadband penetration. The total number of mobile broadband users in emerging economies is growing rapidly and is catching up with developed countries. However, when weighted by population size, mobile broadband penetration in developed countries is significantly higher. Researchers analysed the broadband digital divide in ESCAP member countries and found that it would widen in the coming years without targeted policy interventions.",
"Central Asian States",
"11. Central Asia[5] has performed well in mobile communications by expanding coverage and providing cheap mobile phone equipment. However, Internet usage varies significantly among the 10 Central Asian countries, with uneven penetration rates. The main reason for this is the high cost of Internet services. While most countries in the subregion are still well below the global average (10 per cent), in Azerbaijan, Georgia and Kazakhstan fixed broadband penetration is above the global average, while in Armenia it is only slightly below the level. In terms of mobile broadband, Armenia, Azerbaijan, Kazakhstan and Kyrgyzstan had a higher prevalence than the global average.",
"12. However, even taking the countries of Central Asia as a whole lacks sufficient international bandwidth. This contrasts sharply with other subregions, such as ASEAN, which has sufficient bandwidth. In addition, most of these countries are highly dependent on their neighbours for access to international bandwidth.",
"13. The infrastructure of the 10 above-mentioned economies is interconnected with the outside world mainly by terrestrial cable fibre-optics, but Pakistan and Georgia have access to sea cable fibre-optics. These 10 countries are bordered by the Russian Federation to the north, China to the east, the Islamic Republic of Iran and Pakistan to the south and Turkey to the west. These neighbouring countries are expected to provide landlocked countries with additional international bandwidth through land and sea cables. In addition, a number of interconnected terrestrial cable networks are located throughout Central Asia, such as the Asia-Europe Land Cable System, the Europe-Iran Sea Cable Project and the Trans-Eurasian Information Super Highway. Land-locked countries are expected to use these fibre-optic cable systems to access international bandwidth. These fibre-optic systems further provide an opportunity for alternative redundant pathways to the current congestion points in the cable system.",
"Despite widespread low broadband coverage, a growing number of consumers and businesses in 10 countries use wireless rather than fixed broadband to access the Internet. This trend prevails because of the absence or inadequacy of fixed broadband infrastructure, which exposes major deficiencies in the Central Asian countries. The report also notes that most such countries in particular lack the necessary fixed backbone infrastructure to support the emerging demand for wireless communications.",
"C. Association of Southeast Asian Nations countries",
"15. The ASEAN countries have invested extensively in fibre-optic and other broadband infrastructure (domestic and international). However, the level of Internet access and services varies considerably among ASEAN countries. With the exception of Singapore and Thailand, average netting rates in ASEAN countries are below world average. Cambodia, Indonesia, the Lao People ' s Democratic Republic, Myanmar and Viet Nam may need additional investment to expand their domestic networks.",
"16. An examination of the quality of inter-ASEAN backbone networks and Internet traffic exchange connectivity revealed significant variations within the subregion. The assessment showed that in the worst cases, international backbone trunkings were downloaded at a rate of 0.15 megabits per second, with a waiting time of 230 ms and a remote transmission index [6] of 35. In the best cases, the assessment showed a speed of 50.1 megabits per second and a waiting time of 7.5 ms and a remote transmission index of 1. This indicates that the subregion ' s backbone network connectivity and Internet traffic exchange and management systems are seriously inefficient. Broadband penetration in ASEAN also remains low, with significant country disparities. At the same time, the report notes that terrestrial connectivity is relatively weak, with high costs or price structures. Regional Internet transit prices in Cambodia, the Lao People ' s Democratic Republic, Myanmar and the Philippines are ten times more expensive than Singapore.",
"17. With the exception of Malaysia, the Philippines and Singapore, international connectivity is relatively weak in most ASEAN countries. Cambodia relies on return agreements with other neighbouring countries for international connectivity. Indonesia ' s cross-regional connectivity is weak and limited, and its transit capacity is heavily dependent on Singapore. The Lao People ' s Democratic Republic, the only landlocked country in the ASEAN subregion, does not have direct access to the cable network.",
"Countries in South and West Asia",
"18. An analysis of telecommunications, Internet markets and broadband infrastructure in nine countries of the subregion (Bangladesh, Bhutan, India, Iran (Islamic Republic of), Maldives, Nepal, Pakistan, Sri Lanka and Turkey) revealed a critical gap in bandwidth availability among countries. This gap is not conducive to economic growth, social development and inclusiveness. Weak terrestrial fibre-optic connectivity is the underlying cause of unequal bandwidth, low capacity, high cost and instability across subregions. [7] This leads to high consumer and wholesale prices for bandwidth, inadequate and low prevalence of advanced ICT services and applications, including broadband. [8]",
"19. Both fixed and mobile broadband infrastructure in the subregion are expected to expand significantly. The price of Internet transit varies from very reasonable (Turkey), moderate (India) to expensive (other countries in the subregion). With the exception of India and Iran, which enjoy the advantages of international connectivity via cable, international connectivity among other countries in the subregion varies from sufficient, weak to weak. Bhutan and Nepal, two landlocked countries in the subregion, depend entirely on India for international connectivity through sea cables. The report notes that competition in the markets of the countries of the subregion varies from full competition (India), to a slightly sufficient (Bangladesh, Pakistan) to insufficient competition (Bhutan, Nepal, Sri Lanka, Turkey, Maldives, Islamic Republic of Iran).",
"E. Information and communications technology in the Pacific region",
"20. The ESCAP study on the Pacific subregion has yet to be undertaken. However, the reform of the Pacific island communications sector has led to a significant expansion of sea cable connectivity. Mobile phones and Internet access have a wide range of impacts and benefits, such as access to health care, education, market information, financial services and access to information in the event of natural disasters. [9]",
"III. Vision and four pillars",
"21. As a pillar of regional connectivity, the Asia-Pacific Information Highway initiative should play a catalytic role in seamless regional broadband network-building in order to address the causes of the digital divide, build an Internet-based ecosystem that supports the implementation of sustainable development goals and stimulate digital economic development in the Asia-Pacific region by reducing costs and increasing stability, resilience and coverage.",
"22. Despite the benefits of broadband Internet in all sectors, progress across the Asia-Pacific region has been uneven and remains one of the most digital divides in the world. The widening digital divide should be a cause for concern. To address this problem, the first meeting of the Asia-Pacific Information Highway Working Group defined the concept of the Asia-Pacific Information Highway, based on the research and analysis described above, to identify gaps, opportunities and needs related to the following four pillars (figure 1):",
"(a) Physical infrastructure upgrading and interconnection;",
"(b) Internet traffic management;",
"(c) Building regional network resilience;",
"(d) Promote broadband access in areas where the Internet is weak.",
"Figure I",
"Four pillars of the Asia-Pacific Information Highway",
"[Chuckles]",
"23. ESCAP and the International Telecommunication Union jointly produced an interactive information superhighway map. [10] This interactive map is used to identify several missing terrestrial fibre-optic links and sea cables bottlenecks.",
"Connectivity",
"24. The Asia-Pacific Information Highway Initiative calls for improved connectivity of the seamless regional broadband fibre-optic backbone through upgrading and enhancing the resilience and integration of cross-border, intraregional and interregional broadband backbone networks, which will inevitably lead to open access and a more balanced network of sea and land cables. In addition, the Asia-Pacific Information Highway initiative calls for the implementation of fast, low-cost and effective fibre-optic cables within and between countries, taking advantage of existing regional connectivity opportunities through the Asian Highway and Trans-Asian Railway networks, as well as other cross-border infrastructure, to take advantage of existing and planned transport network access rights. In addition to building regional fibre-optic terrestrial cables, the Asia-Pacific Information Highway initiative seeks to develop operational models for terrestrial cables, facilitate the formation of cross-border terrestrial cable networks, improve the quality and efficiency of conversions in order to make more efficient use of completed terrestrial cable resources and improve regional connectivity. These aspects are highlighted in the Regional Cooperation Framework Document for the Asia-Pacific Information Highway. [11]",
"B. Traffic and network management",
"25. The Asia-Pacific Information Highway initiative also called for improved Internet traffic exchange and management systems at the national, subregional and regional levels and effective coordination of policies to improve the quality of services. The objective of this pillar is to establish adequate Internet exchange points in the region, to harmonize Internet traffic management practices, principles and related policy and regulatory frameworks, to make them more open, neutral and impartial, and to develop general principles for Internet exchange points.",
"C. Electronic resilience",
"26. Given the importance of resilient infrastructure for sustainable development and the key role played by ICT in disaster risk reduction and disaster management, the Asia-Pacific Information Highway Initiative aims to improve the resilience of existing or planned ICT infrastructure, including through increased network diversification.",
"D. Universal access to broadband",
"27. The Asia-Pacific Information Highway Initiative recognizes the special needs and challenges of least developed and landlocked developing countries and supports the promotion of a universal access environment. In addition to enhancing international fibre-optic backbone connectivity, the initiative has contributed to the development of ICT infrastructure in the countries concerned, including domestic backbone and return networks, access networks and Internet data centres. Improvements in domestic ICT infrastructure can reduce the cost of broadband per capita, thus facilitating large-scale broadband expansion. The effective use of Internet data centres can meet the demand for international bandwidth and facilitate the development of domestic ICT applications.",
"Structure of the Asia-Pacific information superhighway network",
"28. The Asia-Pacific Information Highway can also be described in a hierarchy of network structures, which primarily interprets the functional differences at each level of the network, as shown in figure 2, such as the broadband backbone, the open and neutral Internet exchange point and the content/content transfer level. The broadband backbone level should consist of a balanced, seamless network of sea and land cables, after identifying missing links at the national, subregional and regional levels. The policy and regulatory dimension is reflected in the coordination of Internet intermediate protocol routes and reciprocal or transient regional regulatory systems or regional coordinating bodies, and in communication with regulators to determine the right to a neutral and non-discriminatory network for the return of new arrivals.",
"29. The open and neutral Internet exchange point level ensures the exchange of domestic Internet protocol traffic between domestic Internet services, as well as the reciprocal/transit of regional direct Internet protocol between neighbouring countries. The fibre-optic interface between Internet exchange points is well established to support Internet service providers (ISPs) or those in other countries that require multiple modes of Internet exchange points. The content or content transfer hierarchy can serve as an Internet data centre where independent providers can provide content through content transmission networks. The role of content delivery network service providers and content providers is important, as they can reduce cross-border Internet traffic by storing more content on local servers.",
"Figure II",
"Asia-Pacific information superhighway hierarchy",
"[Chuckles]",
"[[ ] [ ]",
"[Laughs]",
"[Chuckles]",
"[Chuckles]",
"[[ ] [ ]",
"[Laughs]",
"Source: ESCAP and the National Information Society Agency, Prefeasibility Analysis for Implementing the Asia-Pacific Information Super Highway in the ASEAN subregion: Concepts, International Flow and Quality Analysis, Network Structure Design and Implementation Model (Bangkok, 2016). Available at www.unescap.org/sites/default/files/ASEAN%20report%20final.pdf.",
"Medium-term objectives of the Asia-Pacific Information Super Highway",
"30. The medium-term objectives of the current Master Plan project for the period 2016-2018 will focus on three main areas: (a) seamless and reliable regional broadband connectivity, as well as balanced sea and land cable connectivity and Internet traffic management; and (b) increased e-resilience; and (c) the promotion of inclusive broadband access and the reduction of the digital divide in areas where broadband is not yet universal.",
"31. Regional broadband connectivity initiatives should build on existing research and analysis to implement specific initiatives by: (a) identifying missing links, [12] (b) using cross-sectoral synergies to promote fibre optic wiring, and (c) improving regulatory frameworks and promoting open access to critical infrastructure.",
"32. Adequate Internet exchange points should be established at the national and subregional levels, and common guidelines for Internet traffic exchange should be established to prevent the remote transmission of Internet traffic, improve the quality of Internet services across regional backbone networks across borders, within and across regions and address the high costs of transit.",
"33. The objectives of inclusive broadband access include improving regulatory frameworks and market practices in the Asia-Pacific region, as they tend to limit competition in subdivision markets such as international transfers to broadband transmission markets and national backbone networks. Successful policy and regulatory measures in this regard will include a simplified licensing system for cable networks and cross-border network access and a reduction in the exclusive control of international gateways and cable landing stations by lead operators. In addition, accelerated reforms to foster competitive patterns in the broadband transmission market are a top priority in reducing the cost of broadband.",
"VI. Recommended Asia-Pacific Information Highway Network Corridor",
"34. At the physical level, subregional corridors are a broadband infrastructure across borders, within and across regions. Network corridor links will consist mainly of fibre-optic cables, catheters and pipelines through neighbouring countries, subregions and regions. Through a sophisticated physical network infrastructure, the corridors will play an important role in determining connectivity and international bandwidth prices in Asia and the Pacific. Each subregional network will be linked to another through one network corridor, using the main Internet exchange points in each subregion. Physical networks will be supported through coordinated policies and regulations and measures to advance e-resilient and inclusive broadband access, such as regional cooperation, as detailed in the Regional Cooperation Framework Document for the Asia-Pacific Information Highway.",
"35. The main initiative of the network corridor will be the establishment of Internet exchange points in countries that will be linked to subregional Internet exchange points, i.e., external network service delivery points in Europe and the United States. Five corridors of the Asia-Pacific Information Super Highway were identified (see figure 3). The Russian-Chinese fibre-optic cable system is considered a network corridor because it can serve as an alternative land route for international connectivity.",
"Figure III",
"Recommended Asia-Pacific regional corridor",
"[Chuckles]",
"VII. Regional partners for the Asia-Pacific Information Super Highway",
"36. Partnerships are an important component of the Asia-Pacific Information Highway master plan, which, because of its vast geographical scope and multi-networked composition, will primarily involve the private sector in infrastructure-building. Through regional partnerships between the private sector, Governments, international agencies, non-governmental organizations, research institutes and regional/international financial institutions, it is expected that the Asia-Pacific Information Highway sub-plans will have opportunities for coordination, implementation and funding, while sharing expertise and sharing good practices and lessons learned.",
"37. Regional partners constitute a number of stakeholders working together under the common framework of the Asia-Pacific Information Highway Initiative (figure 4). This framework includes five subregional steering groups comprising members of the Steering Committee. Development partners and financial institution partners will perform their respective functions at the national, subregional and regional levels in support of member States. Regional cooperation frameworks and financing programmes are described in detail in the Regional Cooperation Framework Document for the Asia-Pacific Information Highway.",
"38. In addition, cooperation and partnerships with other entities in the socio-economic sector are important for harnessing the existing regional connectivity opportunities created by the Asian Highway and Trans-Asian Railway networks and other cross-border infrastructure in order to implement fast, low-cost and effective fibre-optic wires within and between countries, taking advantage of existing and planned transport network access rights.",
"Figure IV",
"Regional partners",
"[Chuckles]",
"VIII. Governance structure of the Asia-Pacific Information Super Highway",
"39. The proposed Asia-Pacific Information Highway governance structure aims to support the effective implementation of the activities of the Initiative (figure 5). The governance structure consists of the overall regional dimension of the Asia-Pacific Information Highway (the Steering Committee) and the subregional corridors under it (the Steering Group) will be supported, as appropriate, by an implementation team consisting of telecommunications operators. Activities will be organized around four pillars and should facilitate the implementation of subregional and national ICT initiatives. As shown in figure 5, the steering groups will be responsible for discussing and identifying issues related to subregional connectivity, traffic management, e-resilience and the digital divide.",
"Figure V",
"Proposed governance structure for the Asia-Pacific Information Highway network corridor",
"40. The proposed governance structure is designed to be aligned with subregional initiatives to meet subregional needs and the overall objectives of the Asia-Pacific Information Highway Initiative. In addition, the governance structure will draw on relevant international expertise from international institutions and specialized agencies such as the International Telecommunication Union, the Asia-Pacific Telecommunity, the World Bank, the Asian Infrastructure Investment Bank and other financial institutions. The Information Society Organization, the Asia Network Learning Initiative for Economic Reform and other research institutes/think tanks will also be included as partners. The subregional steering group members are not limited to member States of the subregion but are open to all ESCAP member States.",
"41. The regional dimension will consist of a monitoring, coordination and advisory function, which will be reported to intergovernmental bodies through the ESCAP secretariat, as detailed in the Asia-Pacific Framework for Regional Cooperation on the Information Highway.",
"IX. Strategic initiatives for the period 2016-2018",
"42. The proposed Strategic Initiative for the Asia-Pacific Information Highway 2016-2018 aims to improve broadband connectivity in the Asia-Pacific region (see table 1).",
"Table 1",
"Strategic Initiative on the Asia-Pacific Information Highway for the period 2016-2018",
"Initiative 1: In cooperation with member States and subregional organizations, develop the identification, collaboration, deployment, expansion and integration of regional backbone networks at the cross-border, intraregional and interregional levels",
"Initiative 2: Establish adequate Internet exchange points at the national and subregional levels and develop common guidelines for Internet traffic exchange in order to prevent the remote transmission of Internet traffic and reduce transit costs and improve service quality",
"Initiative 3: Regional social and economic studies Economic and social impact analysis of ICT trends in the future and near future - Review of technological advances, identification of their economic and social implications and promotion of inclusive ICT development for informed decision-making by policymakers ESCAP, the United Nations Educational, Scientific and Cultural Organization, the private sector, other United Nations agencies and financial institutions - ICT development needs assessment in ESCAP countries, taking into account the special needs and challenges of landlocked developing countries, least developed countries and small island developing States - Capacity-building related to the promotion of broadband connectivity in productive applications",
"1. Disaster risk reduction, protection of critical infrastructure: Introduction of version 6 of the Inter-Network Agreement (IPV6)1 - Integration of disaster management into the design phase - Support and review of national ICT network safety preparedness - Support for IPV6 preparations",
"Initiative 5: Policies and regulations to take full advantage of existing infrastructure, technologies and inclusive broadband initiatives Description of responsible parties 1. Re-routing of submarine cables and reduction of cross-border funding and infrastructure sharing - Development of policies on cross-border infrastructure sharing based on the above-mentioned studies, consultations and partnerships 1. Information on local/national government networks and on Internet exchange points and reciprocity/transfer at Internet exchanges - Development of policies related to infrastructure sharing and Internet exchange points",
"Initiative 6: Capacity-building Focus Area Description Responsible 6.1 - Institutional and individual capacity-building 6.2 - Technical training - Capacity-building, exchange of good practices and lessons learned at the regional level related to network traffic management and monitoring, land/sea cables, and terrestrial/sea cables - Training on relevant technologies for the establishment of Internet service providers and cybersecurity ESCAP, all member States, research institutes, private sector, United Nations agencies. Asia Pacific Network Information Centre",
"Initiative 7: Asia-Pacific Information Highway Project Facility, based on public-private partnerships",
"Implementation plans",
"1. The master plan project period is from 2016 to 2018 (see table 2). The first review of project progress will be submitted to the Committee on Information and Communication Technology, Science, Technology and Innovation, at its second session, in 2018. As some of the activities may need to be implemented after 2018, the master plan will be updated and revised following the first review, as detailed in the Regional Cooperation Framework Document for the Asia-Pacific Information Highway.",
"Table 2",
"Asia-Pacific Information Highway Implementation Programme 2016-2018 (partial activities only)",
"Action items",
"A steering committee should be established and operational",
"1.1 Feasibility analysis",
"2.3 Internet exchange point systems and operating models",
"3. Regional social and economic studies",
"4.1 Path diversification studied as part of electronic resilience",
"5.1 Implementation of policy initiatives to promote cross-border connectivity",
"6.1 Capacity-building",
"7.1 Planning for the Asia-Pacific Information Highway Finance Platform",
"Submission of the overall programme for consideration and adoption",
"Assessment and progress report",
"First session of the Committee",
"Seventy-third session of the Commission",
"Seventy-fourth session of the Commission",
"Annex I",
"Terms of reference of the Asia-Pacific Information Highway Steering Committee",
"I. Membership criteria",
"1. The Asia-Pacific Information Highway Steering Committee shall be composed of all member States of the Economic and Social Commission for Asia and the Pacific (ESCAP) and, in view of the nature of the activities assigned, of multi-stakeholder representatives from non-profit organizations and research institutes with policy and technical expertise, as well as experts from member Governments (in their personal capacity).",
"2. The Bureau shall be elected by the members of the Steering Committee for a term of one year.",
"3. The Steering Committee shall meet annually.",
"4. The Chair of the Steering Committee shall be elected by the members of the Steering Committee.",
"5. The secretariat will assist the Steering Committee in the performance of its functions.",
"Objectives",
"6. The Steering Group shall oversee the implementation of the Asia-Pacific Information Highway Master Plan and the RCF document, coordinate subregional efforts, provide policy guidance and establish technical advisory groups as necessary.",
"Annex II",
"Terms of reference of the Asia-Pacific Information Highway Subregional Steering Group",
"I. Membership criteria",
"1. The members of the subregional steering groups of the Asia-Pacific Information Highway shall be members of the Economic and Social Commission for Asia and the Pacific (ESCAP) in the subregion and any other ESCAP member States interested in subregional work.",
"2. The Bureau of the Steering Group shall be elected by the ESCAP member States of the subregion for a term of one year.",
"3. The Chair of the Steering Group shall be elected by the members of the Group.",
"4. The Secretariat shall assist the steering groups in the performance of their functions.",
"Objectives",
"5. The steering groups should oversee the implementation of subregional ICT projects, provide policy guidance and establish implementation teams as required.",
"[1] United Nations, Economic and Social Commission for Asia and the Pacific, working paper, Status of ICT in Asia and the Pacific 2016 (i.e., emerging).",
"[2] Strengthen regional broadband infrastructure; develop regional Internet traffic and network management systems and policies; enhance the resilience of ICT infrastructure; and provide inclusive broadband Internet access.",
"[3] Available at www.unescap.org/our-work/ict-disaster-risk-reducation/asia-pacific-information-useghway/publications?page=1.",
"[4] www.unescap.org/our-work/ict-disaster-risk-redition/asia-pacific-information-suberhighway/asia-pacific-information-suberhighway-maps.",
"[5] For the purposes of the Asia-Pacific Information Highway Initiative, “Central Asia” refers to Afghanistan, Armenia, Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Pakistan, Tajikistan, Turkmenistan and Uzbekistan.",
"[6] The remote transmission index may be defined as the ratio of the Internet route distance between the data package's origin and destination to the straight line distance.",
"[7] United Nations Economic and Social Commission for Asia and the Pacific, In-depth study on broadband infrastructure in South and West Asia. Available at www.unescap.org/sites/default/files/Bruadband_Infrastructure_South%26West_Asia.pdf.",
"[8] The ratio of international Internet bandwidth per person in Turkey is over 30 kilobytes per second, compared with 0.3 kilobytes per second in Bangladesh, which is 100:1. Countries such as Bangladesh, India and Nepal (with one fifth of the world ' s total population) have an international Internet bandwidth of less than 1,000 bytes per second per person; the Islamic Republic of Iran, Pakistan and Sri Lanka also have extremely weak bandwidth of 2.2 bytes per second or even lower, compared with the Western European average of about 100 bytes per second. Countries vary from very low (Turkey), low (Sri Lanka), reasonable (Bhutan, India, Iran (Islamic Republic of) and Maldives), slightly expensive (Pakistan) to extremely expensive (Bangladesh and Nepal).",
"[9] Siope Vakataki'ofa, Telecommunication Regulatory Reforms in Small Island Developing States: The Impact of WTO Telecommunications Commitments (Newcastle, Cambridge Scholars Press, 2012).",
"[10] www.unescap.org/our-work/ict-disaster-risk-reduction/asia-pacific-information-suberhighway/asia-pacific-information-suberhighway-maps.",
"[11] E/ESCAP/CICTSI(1)/3.",
"[12] Available at www.unescap.org/our-work/ict-disaster-risk-reducation/asia-pacific-information-suberhighway/resources."
] |
[
"亚洲及太平洋经济社会委员会 信息和通信技术， 科学、技术与创新委员会 第一届会议 2016年10月5日至7日，曼谷 临时议程^(*) 项目2(a) \n信息和通信技术的政策议题：努力建设亚太信息高速公路",
"亚太信息高速公路区域合作框架文件",
"秘书处的说明",
"内容摘要 \n根据亚洲及太平洋经济社会委员会(亚太经社会)第71/10号决议，亚太信息高速公路工作组第一次会议于2015年9月在大韩民国仁川举行。会议商定将制订亚太信息高速公路总体计划及区域合作框架文件，两份文件相辅相成。成立了亚太信息高速公路指导小组以开展这项工作。本《区域合作框架文件》旨在确定成员国间的合作领域，尤其是如何在区域及次区域层面开展合作和协作以支持《总体计划》的落实。确定了各项规范和原则，以及成员国与各组织在区域和次区域层面开展相关区域合作的模式和进程。审议亚太区域信息和通信技术基础设施开发时，还收入了多种可能的合作及融资模式并附有实例。2016年8月29日和30日在中国广州举行的工作组第二次会议审查供核可的本《区域合作框架文件》，并提交信息和通信技术，科学、技术与创新委员会核可。",
"一．导言",
"1. 本《区域合作框架文件》旨在确定成员国间的合作领域，尤其是如何在区域和次区域层面开展合作和协作以支持《亚太信息高速公路总体计划》的落实。文件还载有与次区域组织、国际金融机构、私营部门及其他联合国机构开展合作的领域。《总体计划》不是要取代成员国及利益攸关方的信息和通信技术(信通技术)相关倡议和计划，而是要增加价值，以便改善信通技术无缝联通并加强相互联系，为此部署区域宽带网络，设置充足的互联网交换点，提高信通技术基础设施的复原能力并且为亚太区域所有人提供包容的宽带互联网接入。",
"2. 按照其四大支柱内容，《总体计划》中确定了实现亚太信息高速公路无缝区域信通技术互联互通的七大战略举措。此外，《总体计划》旨在利用一种多边区域平台处理双边合作成果可能不太理想的那些领域，同时确保区域、次区域及国家层面的信通技术计划、政策和举措之间发挥协同增效并相互看齐。",
"二．目标",
"3. 《区域合作框架文件》的总体目标是帮助实现《总体计划》的宏大目标，为此：",
"(a) 在成员国、国际金融机构、联合国机构、次区域组织、私营部门、民间社会、研究机构及学术界之间建立伙伴关系及相互协作，以便改善亚洲及太平洋无缝区域互联互通；",
"(b) 查明利益攸关方种种信通技术举措和计划之间可发挥协同增效的领域，为此深入分析研究可行性、需求预测及网络复原能力，并酌情协调政策及监管条例；",
"(c) 提高对区域合作促进区域互联互通重要性的认识，并通过开展区域合作提高内陆发展中国家、最不发达国家及小岛屿发展中国家经济体应对新出现的挑战的能力，包括应用新技术；",
"(d) 鼓励私营部门参与开发跨境宽带基础设施，尤其在内陆发展中国家、最不发达国家及小岛屿发展中国家，尤其是尚未确立商业可行性的领域；",
"(e) 确保亚太信息高速公路为实现各种区域和国际发展目标及框架作出贡献，如可持续发展目标、信息社会世界峰会以及《2011-2020十年期支援最不发达国家行动纲领》；",
"(f) 利用经社会及信息和通信技术，科学、技术与创新委员会等政府间平台制定规范和原则并达成区域共识，同时推广良好做法并总结经验教训，并确保与可持续发展、能源、交通运输、贸易、统计及社会和经济发展等领域的联系。",
"三．规范和原则",
"1. 《区域合作框架文件》以下列规范和原则为指导：",
"(a) 亚太信息高速公路战略倡议促进以公平合理的批发价格及服务条款和条件，开放和不歧视地提供网络基础设施接入，尤其是无源基础设施，[1] 同时促进竞争以便改善价格承受力并鼓励创新；",
"(b) 《区域合作框架文件》认识到国家、次区域及区域信通技术举措之间发挥协同增效的重要性；",
"(c) 《区域合作框架文件》推动跨部门协作，例如在亚洲公路及铁路沿线联合部署光纤，并且对信通技术促发展总体领域及信通技术互联互通具体领域内的现有机制和伙伴关系增加价值。",
"四．合作领域",
"1. 《总体计划》在战略举措下提供指导，重点在于四大支柱：互联互通、流量与网络管理、电子复原能力以及人人享有宽带。各项举措的执行、协调与监测工作将由一个指导委员会负责指导。根据亚太信息高速公路工作组已完成的工作情况及其向2017年经社会第七十三届会议提交的报告，建议在《总体计划》及《区域合作框架文件》于2016年10月获得委员会核准之后，指导委员会便可承担实施职权范围所规定的各项职责。指导委员会将在秘书处及各个网络走廊联络员的帮助下监督执行各项活动，提供总体指导并确定轻重缓急及方向，同时对伙伴关系、潜在供资机会及新兴技术提供咨询意见。指导委员会的拟议职权范围见亚太信息高速公路总体计划附件(E/ESCAP/CICTSTI(1)/2)。",
"2. 指导委员会将通过秘书处向信息和通信技术，科学、技术与创新委员会报告各个网络走廊的信通技术互联互通的相关进展及挑战。委员会的报告，包括其各项建议，将提交经社会下届会议。",
"3. 在这方面，利益攸关方，包括成员国、伙伴及秘书处，将开展以下工作：",
"(a) 跨境光缆部署以及包括无源基础设施在内的区域主干网络一体化(《总体计划》倡议1)。参考次区域组织、[2] 联合国机构、私营部门及国际金融机构[3] 的各种信通技术举措和计划，确定：㈠ 直通光缆连接(缺失段落)；㈡ 可能部署具有复原能力的区域主干网络混合网格及环形结构；㈢ 开展相关研究的必要性，包括数据中心、云信息分享及其他可负担得起的选择方面的研究。",
"(b) 在国家和次区域层面设立互联网交换点(《总体计划》倡议2)。确定以下合作领域 ㈠ 设立区域、次区域及国家层面互联网交换点，㈡ 开展研究。",
"(c) 区域经济和社会研究(《总体计划》倡议3)。㈠ 就信通技术的经济和社会影响及其未来趋势开展次区域和区域研究，包括研究分析如何使宽带更可以负担得起并更具包容性，以及缩小数字鸿沟；㈡ 在亚太经社会国家从事信通技术发展需求评估，兼顾内陆发展中国家、最不发达国家和小岛屿发展中国家的特殊需求和面临挑战；㈢ 就加强宽带联通的生产性使用开展能力建设。",
"(d) 提高亚太区域信通技术基础设施的复原能力(《总体计划》倡议4)。鉴于具有复原能力的信通技术基础设施对本区域实现可持续发展以及减少灾害风险的重要性，而且本区域最容易遭受自然灾害，探索办法提高电子复原能力，包括线路冗余和多样化；将灾害管理和应急电信内容纳入信通技术基础设施设计以加强网络多样化并提高复原能力。",
"(e) 信通技术相关条例和政策框架(《总体计划》倡议5)。㈠ 鼓励更新、协调并制定新的信通技术条例和政策框架，以便创造扶持性互联网生态系统并且在国家、次区域及区域层面培育有竞争力的市场；㈡ 支助并审查国家信通技术保证网络安全的就绪状况；㈢ 支助互联网协议第六版就绪。",
"(f) 能力建设(《总体计划》倡议6)。提高成员国在共同感兴趣的领域的单个和机制能力，例如：㈠ 规划并管理互联网交换点；㈡ 网络管理与维护；㈢ 网络流量管理；㈣ 分享网络开发与流量管理方面的最佳做法；㈤ 就设立互联网服务提供商及网络安全提供技术培训。",
"(g) 融资(《总体计划》倡议7)。㈠ 探索部署亚太信息高速公路基础设施的区域融资机制；㈡ 收集亚太信通技术项目筹资机制的信息。",
"(h) 开发信通技术应用，促进数字经济和数字社会。与各国政府、各个联合国机构、国际金融机构、私营部门、智囊团、民间社会及学术界开展协作，鼓励开发信通技术应用、服务及内容以促进实现可持续发展目标并提供更为包容的宽带接入。",
"五. 融资机制",
"1. 亚太区域信通技术基础设施的开发及筹资一直通过各国政府或是私营部门进行，同时也有多种形式的公私营伙伴关系合作模式。鉴于融资是本区域开发信通技术基础设施方面面临的长期挑战，依现有资金情况以及参与国家的首选协作模式而定，《总体计划》及《区域合作框架文件》可考虑采取多种潜在融资机制，包括：",
"a. 项目融资或特殊目的载体模式。私营实体(可能与其他类型利益攸关方协作)可采用特殊目的载体为大型基础设施项目融资。特殊目的载体的操作限于具体资产的并购和融资，通常作为子公司而设立，所具备的资产/负债结构及法律地位可确保即使在母公司之一破产的情况下其自身相关义务不受影响。鉴于有证据表明的确需要利用特殊目的载体为基础设施开发项目融资，应注意务必正确研究其使用界限。",
"b. 财团模式。这一模式或许是海底电缆工程最常用的模式，并可用作区域地面互联互通。私营公司和集团合伙组成财团，其目的不外是拥有国际宽带接入用于自身业务，或是要有能力提供有竞争力的批发途径。资金费用完全由财团各成员根据其所有权协议自行承担，通常涉及承建和维护协定。每个成员均分摊得到能力单位，以最低投资单位或最低可分配单位计算。财团很少具有法人结构，只是各个成员在大笔资产中占有其中部分的一种费用分担协定。",
"c. 管理合约或建设-经营-转让。在此模式下，国营部门准许私营公司代理负责部署和经营网络，采用支付年费、或遵循收益分享协定办法。",
"d. 捐助方融资。发展中国家的项目通常由发展融资机构提供支助，而且还提供贷款担保或是直接筹资，有些情况下对那些确实有利于服务欠缺国家或地区的项目甚至注入资金。",
"e. 销售方融资。信通技术基础设施的设备销售方，在项目开始获得收益之前，采取为重大设备和供应品提供信贷的形式而筹集资金，这对于海底电缆及大型移动部署等领域来说不失为值得考虑的融资选择，鉴于这类基础设施投资的资本密度高，而且在项目完工之后才有相关现金流入。如若投资盈利的潜力充足，这种推迟垫付资金承诺的做法或能加快项目进度并补充传统融资机制。",
"六．《亚太信息高速公路区域合作框架文件》的效力及更新",
"2. 《区域合作框架文件》旨在支助实施《总体计划》。因此修订并更新《总体计划》时也必须相应审查《区域合作框架文件》。上述指导委员会将在《总体计划》执行工作的最后一年举行会议并启动审查工作，修订结果将提请信息和通信技术，科学、技术与创新委员会予以关注并核准。",
"3. 修订和审查工作将参照本《区域合作框架文件》的效力评估结果，包括指导委员会的运作情况，以及涉及亚太信息高速公路未来实施工作的技术进步、各种要求、新出现的伙伴关系及融资机会。",
"[1] 无源基础设施包括光纤电缆、海底电缆登陆站、跨境陆地光纤系统设施、塔台、立杆、管道及终端设备并置。",
"[2] 例如：电子东盟框架协定(2000年)；关于共同推进建设大湄公河次区域信息高速公路谅解备忘录；南亚区域合作联盟成员国认识到信通技术的重要性并因此成立电信和信通技术工作组(2004年)；南亚次区域经济合作信息高速公路项目协定(2007年)；黑海经济合作组织章程(1999年)；黑海经济合作成员国信通技术部长宣言(2009年)；太平洋数字战略(2005年)；跨欧亚信息高速公路；跨亚欧及跨欧亚；加强区域合作和一体化太平洋计划(修订版，2007年)。",
"[3] 由亚洲开发银行及世界银行发起的倡议。"
] | [
"Asia-Pacific Information Superhighway Regional Cooperation Framework Document",
"Note by the secretariat^(**)",
"Summary \nIn accordance with resolution 71/10 of the Economic and SocialCommission for Asia and the Pacific (ESCAP), the 1st meeting of theWorking Group on the Asia-Pacific Information Superhighway was heldin Incheon, Republic of Korea, in September 2015. At that meeting, itwas agreed that a master plan for the Asia-Pacific informationsuperhighway and a regional cooperation framework document would bedeveloped and that they would be mutually reinforcing. TheAsia-Pacific Information Superhighway Steering Group was formed tocarry out that task. The aim of this Regional Cooperation FrameworkDocument is to identify areas of cooperation between membercountries, in particular how they can cooperate and collaborate atthe regional and subregional levels in support of the implementationof the Master Plan. Norms and principles are identified, as aremodalities and processes of associated regional cooperation amongmember countries and various organizations at the regional andsubregional levels. Various potential cooperation and financingmodalities are also included, with examples, in considering thedevelopment of information and communications technologyinfrastructure in the Asia-Pacific region. This Regional CooperationFramework Document was considered for endorsement at the 2nd meetingof the Working Group, which was held in Guangzhou, China, on 29 and30 August 2016. The present document is submitted to the Committee onInformation and Communications Technology, Science, Technology andInnovation for its endorsement.",
"I. Introduction",
"1. The aim of this Regional Cooperation Framework Document is to identify areas of cooperation between member countries, in particular how they can cooperate and collaborate at the regional and subregional levels in support of the implementation of the Master Plan for the Asia-Pacific Information Superhighway. It also includes areas of cooperation with the subregional organizations, international financial institutions, the private sector and other United Nations agencies. The Master Plan is intended not as a substitute for member countries’ and stakeholders’ initiatives and plans related to information and communications technology (ICT), but to add value in order to improve seamless ICT connectivity and increase interconnections by deploying regional broadband networks, establishing sufficient Internet exchange points, enhancing ICT infrastructure resilience and providing inclusive access to broadband Internet for all in the Asia-Pacific region.",
"2. In the Master Plan, in line with the four pillars, seven strategic initiatives for seamless regional ICT connectivity of the Asia-Pacific information superhighway are identified. Furthermore, the Master Plan aims to capitalize on a multilateral, regional platform to address areas in which bilateral cooperation may not achieve the desired result, while ensuring synergies and mutual alignments between regional, subregional and national ICT plans, policies and initiatives.",
"II. Objectives",
"3. The overall objectives of the Regional Cooperation Framework Document are to help achieve the overarching goals of the Master Plan by:",
"(a) Fostering partnership and collaboration between member countries, international financial institutions, United Nations agencies, subregional organizations, the private sector, civil society, research institutes and academia in order to improve seamless regional connectivity in Asia and the Pacific;",
"(b) Identifying areas of synergy between stakeholders’ ICT initiatives and plans by conducting in-depth analytical studies on feasibility, demand forecasts and network resilience, as well as harmonization of policies and regulations wherever appropriate;",
"(c) Raising awareness of the importance of regional cooperation for regional connectivity and enhancing the capacity of the economies of landlocked developing countries, least developed countries and small island developing States through regional cooperation to meet emerging challenges, including the application of new technologies;",
"(d) Encouraging the participation of the private sector in developing cross-border broadband infrastructure, especially among landlocked developing countries, least developed countries and small island developing States and in areas where commercial viability has not yet been established;",
"(e) Ensuring that the Asia-Pacific information superhighway contributes to the achievement of various regional and international development goals and frameworks, such as the Sustainable Development Goals, the World Summit on the Information Society and the Programme of Action for the Least Developed Countries for the Decade 2011-2020;",
"(f) Capitalizing on intergovernmental platforms such as the Commission and the Committee on Information and Communications Technology, Science, Technology and Innovation for setting norms and principles and building regional consensus, while promoting good practices and lessons learned and ensuring linkages with areas such as sustainable development, energy, transport, trade, statistics and social and economic development.",
"III. Norms and principles",
"4. The Regional Cooperation Framework Document is guided by the following norms and principles:",
"(a) The strategic initiatives for the Asia-Pacific information superhighway promote open and non-discriminatory access to network infrastructure at fair and reasonable wholesale prices and service terms and conditions, in particular passive infrastructure,[1] and promote competition with a view to enhancing affordability and encouraging innovation;",
"(b) The Regional Cooperation Framework Document recognizes the importance in creating synergies between national, subregional and regional ICT initiatives;",
"(c) The Regional Cooperation Framework Document promotes cross-sectoral collaboration, such as co-deployment of optical fibre cables along Asian highways and railways, and adds value to existing mechanisms and partnerships in the area of ICT for development in general and ICT connectivity in particular.",
"IV. Areas of cooperation",
"5. The Master Plan provides guidance under strategic initiatives focusing on the four pillars: connectivity, traffic and network management, e‑resilience and broadband for all. The implementation, coordination and monitoring of the initiatives will be guided by a steering committee. Based on the work completed by the Working Group on the Asia-Pacific Information Superhighway and its report to the seventy-third session of the Commission in 2017, it is proposed that this steering committee will assume the responsibilities established in the terms of reference once the Master Plan and the Regional Cooperation Framework Document have been endorsed by the Committee in October 2016. Supported by the secretariat and respective network corridors’ focal points, the steering committee will oversee the implementation of activities, provide overall guidance and decide on priorities and directions, while advising on partnerships, potential funding opportunities and emerging technologies. The proposed terms of reference of the steering committee are attached as an annex to the Master Plan for the Asia-Pacific Information Superhighway (E/ESCAP/CICTSTI(1)/2).",
"6. The steering committee will report on the progress and challenges related to ICT connectivity in respective network corridors to the Committee on Information and Communications Technology, Science, Technology and Innovation through the secretariat. The Committee’s report, including recommendations, will be submitted to the Commission at its subsequent session.",
"7. In this regard, stakeholders, including member countries, partners and the secretariat, will do the following:",
"(a) Cross-border fibre-optic deployment and integration of the regional backbone network including passive infrastructure (initiative 1 of the Master Plan). Taking into consideration the ICT initiatives and plans of subregional organizations,[2] United Nations agencies, the private sector and international financial institutions,[3] identify: (i) direct fibre-optic link (missing links); (ii) possible deployment of hybrid mesh and ring structure of resilient regional backbone networks; and (iii) the need for relevant studies, including in the area of data centres, cloud information-sharing and other affordable alternatives.",
"(b) Establishment of Internet exchange points at national and subregional levels (initiative 2 of the Master Plan). Identify areas of cooperation to: (i) establish regional, subregional and national Internet exchange points; and (ii) conduct studies.",
"(c) Regional economic and social studies (initiative 3 of the Master Plan): (i) conduct subregional and regional studies on the economic and social impacts of ICT and future ICT trends, including research and analysis on how to improve broadband affordability and inclusive broadband access and narrow the digital divide; (ii) conduct needs assessments of ICT development in ESCAP countries, taking into account the special needs and challenges of landlocked developing countries, least developed countries and small island developing States; and (iii) conduct capacity-building on enhancing the productive use of broadband connectivity.",
"(d) Enhancement of ICT infrastructure resilience in the Asia-Pacific region (initiative 4 of the Master Plan). Given the importance of resilient ICT infrastructure to sustainable development and disaster risk reduction in the region, which is the most prone to natural disasters, explore ways to enhance e-resilience, including redundancy and diversification of routes; and integrate disaster management and emergency telecommunication components into ICT infrastructure design to enhance network diversity and resilience.",
"(e) ICT-related regulations and policy frameworks (initiative 5 of the Master Plan): (i) encourage updating, harmonization and development of new ICT regulations and policy frameworks to create an enabling Internet ecosystem and foster a competitive market at national, subregional and regional levels; (ii) support and review national ICT preparedness towards cybersecurity; and (iii) support Internet Protocol version 6 preparedness.",
"(f) Capacity-building (initiative 6 of the Master Plan). Enhance individual and institutional capacity of member countries in areas of common interest, such as: (i) planning and management of Internet exchange points; (ii) network management and maintenance; (iii) network traffic management; (iv) sharing of best practices in network development and traffic management; and (v) conduct technical training on the establishment of Internet service providers and cybersecurity.",
"(g) Funding (initiative 7 of the Master Plan): (i) explore regional funding mechanisms for deployment of the Asia-Pacific information superhighway infrastructure; and (ii) collect information on ICT project funding mechanisms in the Asia-Pacific region.",
"(h) Development of ICT applications for the digital economy and digital society. Encourage development of ICT applications, services and contents for the achievement of the Sustainable Development Goals and more inclusive broadband access in collaboration with Governments, various United Nations agencies, international financial institutions, the private sector, think tanks, civil society and academia.",
"V. Financing mechanism",
"8. ICT infrastructure in the Asia-Pacific region has been developed and financed by Governments or the private sector as well as through various forms of public-private partnership cooperation model. As financing is a persistent challenge in developing ICT infrastructure in the region, various potential financing mechanisms for the Master Plan and Regional Cooperation Framework Document could be considered under the following modalities, among others, depending on the availability of funds and preferred modes of collaboration among the participating countries:",
"(a) Project financing or special purpose vehicle model. Private entities (potentially in collaboration with other types of stakeholders) can use special purpose vehicles to finance large infrastructure projects. Special purpose vehicles’ operations are limited to the acquisition and financing of specific assets, and are usually set up as subsidiary companies with asset/liability structures and legal statuses that make their obligations secure even if one of the parent companies goes bankrupt. Given the evidence that there is an appetite for using special purpose vehicles for financing infrastructure development projects, it should be noted that the parameters of their use must be correctly examined.",
"(b) Consortium model. This model is probably the most commonly used in submarine cable ventures and could be used as a model for regional terrestrial connectivity. Private operators and groups team up into consortiums with a view to either owning international broadband access for their own operations or being able to offer competitive wholesale solutions. Capital costs are entirely borne by the consortium members, in accordance with their ownership agreement, usually referenced to a construction and maintenance agreement. Each member is allocated units of capacity in minimum investment units or minimum assignable units. A consortium rarely has a legal structure as it represents only a cost-sharing agreement where each member owns part of a major asset.",
"(c) Management contract or build-operate-transfer. Under this model, the public sector gives a private player the responsibility for deploying and operating the network on its behalf against annual fees or following a revenue-sharing agreement.",
"(d) Donor financing. Projects in developing countries are often supported by development financial institutions, which also provide guarantees for loans as well as direct financing or even, in some cases, equity contributions to projects proven to benefit the development of underserved countries or regions.",
"(e) Vendor financing. Financing from the equipment vendors for ICT infrastructure, in terms of providing credit for major equipment and supplies before the projects start generating revenues, can be a financing option worth considering in areas such as submarine cables and large mobile deployments, since such infrastructure investment is capital intensive and related cash inflows only start after the completion of the project. In cases where there is sufficient potential for profitable investments, such delaying of upfront capital commitments has the potential to expedite projects and supplement traditional funding mechanisms.",
"VI. Validity and update of the Asia-Pacific Information Superhighway Regional Cooperation Framework Document",
"9. The Regional Cooperation Framework Document aims to support the implementation of the Master Plan. Therefore, when the Master Plan is revised and updated, the Regional Cooperation Framework Document must be reviewed accordingly. The review will be initiated by the above-mentioned steering committee at its meeting to be held during the last year of implementation of the Master Plan, and any revision will be presented to the attention of the Committee on Information and Communications Technology, Science, Technology and Innovation for its endorsement.",
"10. The revision and review will take into account an evaluation of the effectiveness of this Regional Cooperation Framework Document, including the function of the steering committee, as well as technological advancement, requirements, emerging partnerships and financing opportunities for future implementation of the Asia-Pacific information superhighway.",
"[1] Passive infrastructure includes fibres, submarine cable landing stations, cross-border terrestrial fibre-optic system facility, towers, poles, ducts and co-location of terminal equipment.",
"[2] For example: the e-ASEAN Framework Agreement (2000); the memorandum of understanding between member countries for the Greater Mekong Subregion Information Superhighway (2004); recognition of the importance of ICT by member countries of the South Asian Association for Regional Cooperation through the creation of a working group on telecommunications and ICT (2004); the South Asia Subregional Economic Cooperation’s Information Highway Project agreement (2007); the charter of the Organization of the Black Sea Economic Cooperation (1999); the declaration by the ministers of ICT of the member States of the Black Sea Economic Cooperation (2009); the Pacific digital strategy (2005); the Trans-Eurasian Information Super Highway; Trans-Asia-Europe and Trans-Europe-Asia; the Pacific Plan for Strengthening Regional Cooperation and Integration (revised version, 2007).",
"[3] Initiatives by the Asian Development Bank and the World Bank."
] | E_ESCAP_CICTSTI(1)_3 | [
"Economic and Social Commission for Asia and the Pacific First session of the Commission on Information and Communication Technologies, Science, Technology and Innovation Item 2 (a) of the provisional agenda*, Bangkok, 5-7 October 2016",
"Regional Cooperation Framework Document for the Asia-Pacific Information Highway",
"Note by the Secretariat",
"In accordance with Economic and Social Commission for Asia and the Pacific (ESCAP) resolution 71/10, the first meeting of the Asia-Pacific Information Highway Working Group was held in Incheon, Republic of Korea, in September 2015. It was agreed that an Asia-Pacific information superhighway master plan and a regional cooperation framework document would be developed, which would complement each other. The Asia-Pacific Information Highway Steering Group was established to carry out this work. This RCF document aims to identify areas of cooperation among member States, in particular how cooperation and collaboration at the regional and subregional levels can support the implementation of the Master Plan. Norms and principles were identified, as well as modalities and processes for relevant regional cooperation between member States and organizations at the regional and subregional levels. The consideration of ICT infrastructure development in the Asia-Pacific region also included a variety of possible cooperation and financing modalities, with examples. The second meeting of the Working Group, held in Guangzhou, China, on 29 and 30 August 2016, reviewed this RCF document for endorsement and submitted it to the ICT Committee for endorsement.",
"Introduction",
"1. This Framework Document for Regional Cooperation is intended to identify areas of cooperation among member States, in particular how cooperation and collaboration at the regional and subregional levels can support the implementation of the Asia-Pacific Information Highway Master Plan. It also contains areas of cooperation with subregional organizations, international financial institutions, the private sector and other United Nations agencies. The Master Plan is not intended to replace the ICT-related initiatives and plans of member States and stakeholders, but rather to add value in order to improve seamless ICT connectivity and strengthen connectivity by deploying regional broadband networks, establishing adequate Internet exchange points, improving the resilience of ICT infrastructure and providing inclusive broadband Internet access for all in the Asia-Pacific region.",
"2. In line with its four pillars, the Master Plan identified seven strategic initiatives to achieve seamless regional ICT connectivity on the Asia-Pacific Information Highway. In addition, the Master Plan aims to use a multilateral regional platform to address areas where bilateral cooperation outcomes may be less desirable, while ensuring synergy and alignment among ICT plans, policies and initiatives at the regional, subregional and national levels.",
"Objectives",
"3. The overall objective of the RCF document is to help achieve the ambitious objectives of the Master Plan by:",
"(a) Partnerships and collaboration among member States, international financial institutions, United Nations agencies, subregional organizations, the private sector, civil society, research institutions and academia to improve seamless regional connectivity in Asia and the Pacific;",
"(b) To identify areas of synergy between various ICT initiatives and plans of stakeholders through in-depth analysis of feasibility, demand forecasting and network resilience, and, where appropriate, harmonization of policies and regulatory frameworks;",
"(c) Raise awareness of the importance of regional cooperation in promoting regional connectivity and, through regional cooperation, improve the capacity of the economies of landlocked developing countries, least developed countries and small island developing States to address emerging challenges, including the application of new technologies;",
"(d) Encourage the involvement of the private sector in the development of cross-border broadband infrastructure, in particular in landlocked developing countries, least developed countries and small island developing States, especially in areas where commercial viability is not yet established;",
"(e) Ensure that the Asia-Pacific Information Highway contributes to the achievement of regional and international development goals and frameworks, such as the sustainable development goals, the World Summit on the Information Society and the Programme of Action for the Least Developed Countries for the Decade 2011-2020;",
"(f) Using intergovernmental platforms such as the Commission and the Committee on Science, Technology and Innovation to develop norms and principles and build regional consensus, while promoting good practices and lessons learned and ensuring linkages in the areas of sustainable development, energy, transport, trade, statistics and social and economic development.",
"III. Norms and principles",
"1. The RCF document is guided by the following norms and principles:",
"(a) The Asia-Pacific Information Highway Strategic Initiative promotes open and non-discriminatory access to network infrastructure, particularly passive infrastructure, at fair and reasonable wholesale prices and terms and conditions of service, while promoting competition to improve price affordability and encourage innovation;",
"(b) The RCF document recognizes the importance of synergies between national, subregional and regional ICT initiatives;",
"(c) The Framework Document for Regional Cooperation promotes cross-sectoral collaboration, such as the joint deployment of fibre-optics along the Asian Highway and Railways, and adds value to existing mechanisms and partnerships in the overall area of ICT for development and in specific areas of ICT connectivity.",
"IV. Areas of cooperation",
"1. The Master Plan provides guidance under the Strategic Initiative, focusing on four pillars: connectivity, traffic and network management, e-resilience and broadband for all. Implementation, coordination and monitoring of initiatives will be guided by a steering committee. Based on the work accomplished by the Asia-Pacific Information Highway Working Group and its report to the Commission at its seventy-third session, in 2017, it was suggested that the Steering Committee could assume the responsibilities set out in the terms of reference once the Master Plan and the Regional Cooperation Framework Document were approved by the Committee in October 2016. The Steering Committee, with the assistance of the secretariat and the corridor focal points, will oversee the implementation of activities, provide overall guidance and set priorities and directions, and advise on partnerships, potential funding opportunities and emerging technologies. The proposed terms of reference of the Steering Committee are contained in the annex to the Asia-Pacific Information Highway Master Plan (E/ESCAP/CICTSTI(1)/2).",
"2. The Steering Committee will report, through the secretariat, to the Committee on Information and Communications Technology, Science, Technology and Innovation on the progress and challenges related to ICT connectivity in the various corridors. The report of the Committee, including its recommendations, will be submitted to the Commission at its next session.",
"3. In this regard, stakeholders, including member States, partners and the secretariat, will:",
"(a) Cross-border deployment of fibre-optic cables and integration of regional backbone networks, including passive infrastructure (overarching initiative 1). Taking into account the various ICT initiatives and plans of subregional organizations,[2] United Nations agencies, the private sector and international financial institutions[3], identify: (i) direct access to fibre-optic cables (missing paragraphs); (ii) the possible deployment of a resilient regional backbone network with mixed grids and ring structures; and (iii) the need for relevant research, including on data centres, cloud information sharing and other affordable options.",
"(b) Establishment of Internet exchange points at the national and subregional levels (overarching plan initiative 2). (i) Establishment of Internet exchange points at the regional, subregional and national levels and (ii) research.",
"(c) Regional economic and social studies (overarching plan initiative 3). (i) Subregional and regional studies on the economic and social impact of ICTs and their future trends, including on how to make broadband more affordable and inclusive and to bridge the digital divide; (ii) ICT development needs assessments in ESCAP countries, taking into account the special needs and challenges of landlocked developing countries, least developed countries and small island developing States; and (iii) capacity-building on enhancing the productive use of broadband connectivity.",
"(d) Improved resilience of ICT infrastructure in the Asia-Pacific region (overarching plan initiative 4). Given the importance of resilient ICT infrastructure for sustainable development and disaster risk reduction in the region and the region ' s greatest vulnerability to natural disasters, explore ways to enhance e-resilience, including circuit redundancy and diversification; and integrate disaster management and emergency telecommunications components into the design of ICT infrastructure to enhance network diversification and resilience.",
"(e) ICT-related regulations and policy frameworks (overarching plan initiative 5). (i) Encourage the updating, harmonization and development of new ICT regulations and policy frameworks to create enabling Internet ecosystems and foster competitive markets at the national, subregional and regional levels; (ii) support and review the readiness of national ICT for network security; and (iii) support the implementation of version 6 of the Internet Protocol.",
"(f) Capacity-building (overarching plan initiative 6). Increased individual and institutional capacity of member States in areas of common interest, such as: (i) planning and managing Internet exchange points; (ii) network management and maintenance; (iii) network traffic management; (iv) sharing best practices in network development and traffic management; and (v) technical training on the establishment of Internet service providers and cybersecurity.",
"(g) Financing (overarching initiative 7). (i) Explore regional financing mechanisms for the deployment of the Asia-Pacific information superhighway infrastructure; and (ii) collect information on financing mechanisms for ICT projects in Asia and the Pacific.",
"(h) Developing ICT applications for the digital economy and society. Collaboration with Governments, United Nations agencies, international financial institutions, the private sector, think tanks, civil society and academia to encourage the development of ICT applications, services and content to promote sustainable development goals and provide more inclusive broadband access.",
"V. Financing mechanisms",
"1. The development and financing of ICT infrastructure in the Asia-Pacific region has been carried out through Governments or the private sector, with many forms of public-private partnership and cooperation. Given that financing is a long-term challenge for the development of ICT infrastructure in the region, the Master Plan and the RCF document could consider a range of potential financing mechanisms, depending on the availability of funding and the preferred modalities of collaboration among participating countries, including:",
"a. Project financing or special purpose vehicle model. Private entities (possibly in collaboration with other types of stakeholders) can use special purpose vehicles to finance large infrastructure projects. The operation of the special purpose vehicle is limited to the acquisition and financing of specific assets and is usually established as a subsidiary, and the asset/liability structure and legal status available ensure that its own related obligations are not affected even in the event of the insolvency of one of the parent companies. Given the evidence that there is a real need to use special purpose vehicles for financing infrastructure development projects, care should be taken to properly study the limits of their use.",
"b. Consortium model. This model is perhaps the most common model for submarine cable engineering and can be used as a regional ground connectivity. Private companies and groups form consortia with the aim not only of having international broadband access for their own business, but also of being able to provide competitive wholesale access. The cost of the funds is borne entirely by the consortium members themselves under their ownership agreements, usually involving the construction and maintenance agreements. Each member shares the unit of capacity, calculated as the minimum investment unit or the minimum transferable unit. The consortium rarely has a legal personality, but it is a cost-sharing agreement in which individual members take part in large assets.",
"Management contracts or build-operate-transfer. Under this model, the State sector allows private company agents to deploy and operate the network, either by paying an annual fee or by following a revenue-sharing agreement.",
"d. Donor financing. Projects in developing countries are usually supported by development finance institutions, and loan guarantees or direct financing are provided and, in some cases, even injected into projects that do benefit underserved countries or regions.",
"e. Vendor financing. The availability of financing by equipment sellers of ICT infrastructure, in the form of credit for major equipment and supplies, before the project proceeds, is a worthwhile financing option for areas such as submarine cables and large mobile deployments, given the high capital density of such infrastructure investments and the related cash inflows after the completion of the project. If the potential for profitability of investments is sufficient, such a delay in the disbursement of funds commitments may accelerate project progress and complement traditional financing mechanisms.",
"VI. Effectiveness and update of the Framework Document for Regional Cooperation on the Asia-Pacific Information Highway",
"2. The RCF document aims to support the implementation of the Master Plan. The RCF document must therefore be reviewed accordingly when the Master Plan is revised and updated. The Steering Committee will meet during the final year of the implementation of the Master Plan and initiate the review process, and the revised results will be brought to the attention and approval of the Committee on Information and Communications Technology.",
"3. The revision and review will take into account the results of the effectiveness assessment of this RCF document, including the functioning of the Steering Committee, as well as technological advances, requirements, emerging partnerships and financing opportunities related to the future implementation of the Asia-Pacific Information Highway.",
"[1] The passive infrastructure includes fibre-optic cables, submarine cable landing stations, cross-border terrestrial fibre-optic system facilities, towers, poles, pipes and terminal equipment.",
"[2] Examples include: e-ASEAN Framework Agreement (2000); Memorandum of Understanding on Joint Progress towards the Construction of the Greater Mekong Subregion Information Super Highway; South Asian Association for Regional Cooperation member countries ' awareness of the importance of ICT and the resulting establishment of the Working Group on Telecommunications and ICT (2004); Agreement on the Information Highway Project for Subregional Economic Cooperation in South Asia (2007); Charter of the Black Sea Economic Cooperation Organization (1999); Ministerial Declaration on ICT in the member countries of the Black Sea Economic Cooperation (2009); Pacific Digital Strategy (2005); Trans-Eurasian Information Super Highway; Trans-Asia-Europe and Trans-Eurasia; Pacific Plan for Enhanced Regional Cooperation and Integration (revised 2007).",
"[3] Initiative launched by the Asian Development Bank and the World Bank."
] |
[
"《关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约》缔约国第六次审查会议 BWC/CONF.VI/WP.420 October 2006CHINESEOriginal: ENGLISH",
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查《公约》的实施情况",
"推进建立信任措施的进程",
"法国代表欧洲联盟提交 [1]",
"一、建立信任措施的执行情况令人失望",
"1. 在1986年第二次审查会议上制定了与《公约》第五条和第十条有关的建立信任措施，在1991年第三次审查会议上进一步发展了这些措施，目的是提高透明度，改善《公约》的执行情况。正如本文件所附研究报告指出的(只有英文和法文文本)，建立信任措施的执行没有达到最初的预期：",
"(1) 在建立信任措施方面作出宣布的国家填写表格的方式常常不能令人满意(回答不一致，不完整等等)，以致难以从中清楚地了解情况。",
"(2) 总的说来，作出此种宣布的缔约国太少(155个《公约》缔约国每年作出宣布的有33个到45个；有90个国家从未提交过宣布)。因此，建立信任措施想达成的透明目标的实现情况不能令人满意。",
"(3) 鉴于这些事实，欧洲联盟提出一些矫正措施以改善建立信任措施的有用性。在本次审查会议上可以就其中一些措施达成一致，另一些措施可以作为下一个工作方案的一个组成部分在审查会议之后的一次专家会议上审议。",
"二、欧盟对第六次审查会议的建议",
"2. 为了在普遍性方面取得进展，欧盟支持可以在本次审查会议上讨论的两类措施以推进建立信任措施的进程：技术改进和政策激励。",
"技术改进",
"3. 可以赋予多项选择问卷以更广泛的作用，以便利负责提交建立信任措施材料的政府部门的工作。事实上，在许多情况下，行政方面的难题大概是不作出建立信任措施方面的宣布的原因。",
"4. 一张计算机化的建立信任措施表(包括或者不包括多项选择问卷)将使得宣布的标准化成为可能，并且方便政府机构的工作，同时避免对回答范围的任何限制：所有问题将得到保留，对问题的回答将被纳入电子数据段。",
"5. 电子化的建立信任措施材料还可以使作出的宣布更快捷更容易地传到联合国裁军事务部。不过需要一个安全的系统来进行电子数据的传输。",
"6. 最后，有能力的缔约国可以向请求帮助的其他缔约国提供支持，帮助它们填报建立信任措施材料。可以通过《生物及毒素武器公约》秘书处请求获得帮助和提议给予帮助。",
"政策激励",
"7. 由裁军部向所有缔约国发出提交建立信任措施材料的提醒通知：除了保存国发出的提醒通知外，《生物及毒素武器公约》秘书处可以很方便地向所有缔约国发出建立信任措施时间表的提醒通知。可以请缔约国指定一个联络机构来接收这些提醒通知。如果必要的话，可以在4月15日这一期限之后进一步发出提醒通知。",
"8. 由联合国秘书长发出额外的年度提醒通知：秘书长可以在每年的1月发信给所有缔约国，提醒它们建立信任措施时间表，并鼓励它们在当年的4月15日以前向裁军部提交宣布材料。",
"9. 欧盟认为可以很容易地在第六次审查会议上作出这些改变。",
"三、欧盟关于推进建立信任措施进程的进一步建议",
"10. 建立信任措施材料目前包括两部分：意在阐明建立信任措施填报资料内容的初步宣布，以及具体的A-G表。",
"初步宣布",
"11. 这样的初步宣布会增加混淆。需要阐明的是：“无情况可供宣布”/“无新情况可供宣布”这样的宣布不能令人满意，因为缔约国的回答并不一定清楚。如果缔约方在“无新情况可供宣布”项上打勾：",
"(1) 并且填写相关表格：可以认为该信息是前一年的信息。",
"(2) 并且不填写相关表格：可以认为前一年的信息仍然有效。",
"因此对于同一种情况似乎至少有两种不同的回答方式。",
"12. 另一方面，如果缔约国在“无情况可供宣布”上打勾：",
"(1) 根据逻辑可以断定缔约国没有指出任何东西，一些缔约国的确如此；",
"(2) 但如果填写了相关表格，那就解释不清了：该国是否认为信息无关紧要？",
"因此，对于同一种情况又有了两种回答方式。",
"13. 某些国家对于同一部分还指出，它们“无情况”可供宣布，并且又“无新情况”可供宣布，这似乎自相矛盾。",
"14. 初步宣布与表格上的填写项目之间的一致性在国家间有很大差异：",
"(1) 许多国家填写的项目很少，解释说它们无情况可供宣布。",
"(2) 不过，有一些国家填写的项目很少但未增加任何说明(无情况/无新情况可供宣布)。",
"15. 总的说来，“无情况可供宣布”/“无新情况可供宣布”这样的宣布有违1991年作出规定时的初衷，没有方便对建立信任措施的了解，反而增加了混淆。对初步宣布做某些具体的修订将使建立信任措施更易于理解。",
"关于澄清初步宣布的提议",
"16. 按照以下思路重新设计初步宣布表格有可能消除目前的宣布导致的混淆。",
"贵国今年关于措施A第一部分有什么要宣布的吗？",
"(a) 是，有首次在本表格中要宣布的情况(请填写表格)；",
"(b) 是，有已经在本表格中宣布过但需要更新或修订详情的情况(请填写表格)；",
"(c) 是，但自(年份)以来该信息已经宣布并且没有变化；(无需填写表格)",
"(d) 否――关于该表格根本无情况可宣布[2]。",
"随后对表格A到G都可以重复这四个问题(包括表格A和B的所有部分)。",
"表格A到G上的问题",
"17. 对表格上的问题所作回答的质量在国与国之间以及部分与部分之间存在很大差异。因此，新的“执行程序”能够补充或澄清在第三次审查会议上商定的程序：",
"(1) 建立信任措施“A”：第三次审查会议要求提供符合极高的国家或国际安全标准的研究中心和实验室的资料，“例如生物安全4级或P4级标准或同等标准”。有必要明确指出必须包含第4级实验室，但不限制国家把符合极高安全标准的其他实验室包括进来，从而确保这一规定的意思清楚无误。",
"(2) 建立信任措施“C”：不是该措施的阐释方式，而是该措施本身可以包含以下说明，以便明确区分“出版物”和“发表政策”：",
"“鼓励发表有关成果和促进利用有关知识",
"4.1 研究中心和实验室有关建立信任措施领域的出版物。",
"4.2 关于生物学研究结果的发表政策。”",
"(3) 建立信任措施“D”：执行程序可以有两个标题：一方面是过去的研讨会，另一方面是计划的研讨会：事实上，如果不只可以前瞻而且还可以回顾的话，这一部分对缔约国来说更容易填写。",
"18. 对1991年《最后宣言》中通过的初步宣布以及建立信任措施表的这些修订以及可能的其他修订可以在关于建立信任措施的一次闭会期间会议上讨论并商定，并可根据需要提交第七次审查会议。",
"Annex",
"[ENGLISH and FRENCH ONLY]",
"CONFIDENCE-BUILDING MEASURES: ANNUAL INFORMATION EXCHANGE BY STATES PARTIES",
"(REPORTS 2000-2005)",
"I. Introduction",
"1. At the Second Review Conference of the BTWC in 1986, the States Parties agreed to implement some measures intended to strengthen compliance with the Convention and to improve transparency. These were extended at the Third Review Conference in 1991. These confidence-building measures (CBMs) consist of an annual exchange of data and information, as well as declarations of past and present activities of relevance to the Convention.",
"2. In November 2006, the Sixth Review Conference of the BTWC will take place in Geneva and the question of strengthening the CBM mechanism will be one of the issues of interest.",
"This report is therefore an overview of the information submitted by States Parties to the BWC from 2000 to 2005.",
"II. General trends",
"General participation in the exchange since 2000:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 40 40 41 33 43 46 contributions",
"[]",
"These figures are approximately at the same level as during the previous decade (1990-2000) when the number of contributions varied from 31 (1990) to 53 (1996).",
"Between 2000 and 2005:",
"In other words, only a minority of States are involved in this exchange of information.",
"Every year, less than a third of States Parties to the Convention submit a declaration.",
"III. Trends in regional groups",
"Trends in the Western Group",
"The Western group is composed of 32 States Parties to the BTWC.",
"Evolution of participation in this group:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 22 22 21 16 22 24 contributions",
"% of States participating 69% 69% 66% 50% 69% 75%",
"[]",
"Number of contributions by Western group States in the period:",
"[]",
"Australia, Canada, Finland, Germany, Italy, Netherlands, Norway, New-Zealand, South Korea, Switzerland, Turkey, United Kingdom, United States",
"Belgium, France, Japan, Spain",
"Iceland, Monaco, Portugal.",
"Trends in the Eastern Group",
"This group is composed of 24 States Parties.",
"Evolution of participation in this group:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 12 13 13 13 15 13 contributions",
"% of States participating 50% 54% 54% 54% 63% 54%",
"[]",
"Number of contributions by Eastern group States in the period:",
"[]",
"Bulgaria, Czech Republic, Lithuania, Russia, Slovakia.",
"Poland, Romania, Ukraine, Uzbekistan.",
"FYROM, Tajikistan",
"Trends in the group of non-aligned and other States:",
"This group is composed of 98 States Parties.",
"Evolution of participation in this group:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 6 5 7 4 6 9 contributions",
"% of States participating 6% 5% 7% 4% 6% 9%",
"[]",
"Number of contributions by States in the period:",
"[]",
"China, Cuba",
"Tunisia, Turkmenistan",
"Analysis",
"3. These figures allow us to reach two main conclusions:",
"(1) The level of participation in each group is quite constant:",
"contributions can be observed over the past two years, but it remains below the highest point reached in 1996 (53).",
"(2) There are significant differences in the different groups’ level of participation.",
"The participation level is especially low in the non-aligned and other States group. In this group, many States have given information only once. About 10 % of them (10 States) have done so since 2000. But many participated once (or twice) in the 80s/90s. That includes 27 (about a third) of the 82 States that have not submitted any data since 2000. Therefore, over 40 % of these States have participated in the exchange at least once in the past. They may consider that participating once is enough if they have nothing more to say.",
"IV. Qualitative analysis",
"4. After having studied the number of contributions (quantitative analysis), we can now adopt an analytic point of view. This allows us to make different observations. Firstly, some remarks have to be made on the following concepts: “nothing to declare” and “nothing new to declare”:",
"(i) The form is divided into 11 different kinds of measures and questions that States have to answer. A simple pro forma gives States the opportunity to tick boxes labelled “nothing to declare” and “nothing new to declare” for each CBM. The existence of this introductory Declaration Form is beneficial as a way to buy time, but States seem to have different understandings of these expressions. Indeed, most States do not submit any information on the measures in respect of which they have ticked one of these boxes, but it is not the case for all of them.",
"(ii) When States submit data while indicating “nothing new to declare”, this generally means that they are giving the same information as previous years.",
"(iii) When States submit data while indicating “nothing to declare”, the situation is more ambiguous. This probably means that these answers are insignificant and/or do not pose any problems regarding compliance with the Convention.",
"But these are only assumptions and one cannot be sure regarding the States’ understanding of these concepts. There is no clear definition of these notions. A clarification would be useful.",
"5. Secondly, one can note a great variety regarding the quality of the forms. Although a majority of States fill out the form in a substantive manner, this is not the case for all of them:",
"(i) A small number of States answer a minority of answers without justifying it by indicating “nothing to declare” or “nothing new to declare”.",
"(ii) A greater number of them indicate “nothing to declare” for a lot of CBMs and therefore generally deliver little information. It is difficult to determine whether they have effectively “nothing to declare” or whether it is an issue of willingness.",
"(iii) Some others indicate “nothing new to declare” for a lot of CBMs. In theory, this means that the information has been delivered in a previous report, but it is difficult and time-consuming to check.",
"(iv) Some others tick both kinds of boxes, which raises the same issues. Some even only tick boxes in the Introduction Declaration Form without submitting further information.",
"V. Conclusions",
"6. Participation in the exchange is limited. Every year, in the 90s as well as since 2000, less than one-third of States Parties submitted data. Efforts should therefore aim at increasing this level of participation and we can note that the strengthening of the mechanism at the September 1991 Third Review Conference allowed a slight improvement of the participation level which rose from 41 in 1991 to 53 in 1996.",
"If participation is not general for any regional groups, the nonaligned and other States group appears to be the one where it is lowest.",
"7. The quality of the declarations submitted also fluctuates greatly. This is another issue that could be tackled.",
"8. The meaning of the two concepts “nothing to declare” and “nothing new to declare” is moreover unclear and a redefinition would be useful. The repeated use of the box “nothing new to declare” is particularly confusing. It means - at least in theory - that the information has been delivered in a previous report. Therefore, in order to facilitate the research of information, it would be useful to ask States to specify when the data was submitted, which has not been the case to date.",
"[1] 这是欧盟成员国提交缔约国审议的一系列补充文件之一。加入国保加利亚和罗马尼亚、候选国土耳其、克罗地亚和前南斯拉夫的马其顿共和国、稳定与结盟进程及可能的候选国阿尔巴尼亚、波斯尼亚和黑塞哥维那、塞尔维亚以及乌克兰和摩尔多瓦共和国也赞同本文件。",
"[2] 根本无情况可宣布指的是：不管是现在还是过去都没有任何要报告的活动能够证明有理由按照1986年和1991年《生物及毒素武器公约》缔约国审查会议《最后宣言》的规定提供数据或任何类型的资料。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/WP.420 October 2006Original: ENGLISH",
"Geneva, 20 November – 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"ENHANCEMENT OF THE CONFIDENCE-BUILDING MEASURE (CBM) PROCESS",
"Submitted by France on behalf of the European Union[1]",
"I. The disappointing performance of the confidence-building measures",
"1. The Confidence-Building Measures (CBMs), relating to Articles V and X of the Convention, were put in place at the Second Review Conference in 1986 and developed further at the Third Review Conference in 1991, with the aim of enhancing transparency and improving the implementation of the Convention. As the study annexed to the present document indicates (English and French only), CBM performance has not matched up to initial expectations:",
"(i) The States making CBM declarations often complete the forms in an unsatisfactory manner (responses that are inconsistent, incomplete, etc.) such that it is difficult to extract clear information from them.",
"(ii) Overall, too few States Parties make such declarations (between 33 and 45 declarations each year for 155 States Parties to the Convention; 90 States have never submitted a declaration). The goal of transparency pursued by the CBMs has therefore not been satisfactorily attained.",
"(iii) In the light of these facts, the EU proposes certain corrective steps to improve the usefulness of the CBMs. Some could be agreed on at the Review Conference, some could be examined in an expert meeting after the Review Conference as part of the next work programme.",
"II. EU proposals for the Sixth Review Conference",
"2. In order to make progress toward universality, the EU supports two categories of measures to improve the CBM process that could be discussed at the Review Conference: technical improvements and political incentives.",
"Technical improvements",
"3. An expanded role could be assigned to multiple-choice questionnaires (MCQs), in order to facilitate the task of official departments responsible for submitting the CBMs. Indeed, administrative difficulties probably explain the lack of CBM declarations in many cases.",
"4. A computerised CBM form (with or without MCQs) would make it possible to standardise declarations and would make the task of official agencies easier while avoiding any limitation of the scope of the responses: all the questions would be retained and the responses would be integrated into electronic data fields.",
"5. Electronic CBMs would also allow faster and easier circulation of declarations to the United Nations Department for Disarmament Affairs (DDA). They would however require a secure system for electronic transmission.",
"6. Finally, States Parties in a position to do so could support other States Parties that request assistance in returning their CBMs. Requests for and offers of assistance could be channelled through the BTWC Secretariat.",
"Political incentives",
"7. Reminders sent out by the DDA to all States Parties to submit CBMs: in addition to the reminder by depository States, the BTWC Secretariat could easily send out to all States Parties reminders of the CBM schedule. States Parties could be invited to designate a point of contact to which these reminders should be sent. If necessary, further reminders could be sent out after the deadline of 15 April.",
"8. An additional annual reminder by the United Nations Secretary-General (UNSG): the UNSG could send out a communication in January every year to all States Parties to remind them of the CBM timetable and encourage them to send in the declarations to the DDA before 15 April of the coming year.",
"9. The EU considers these changes could easily be made at the Sixth Review Conference.",
"III. Further EU proposals to enhance the CBM process",
"10. The CBMs currently comprise two parts: a preliminary declaration intended to clarify the content of the CBM return, and the specific forms A-G.",
"The preliminary declaration",
"11. As this stands, it serves to increase confusion. It needs to be clarified: the “nothing to declare” / “nothing new to declare” declaration is unsatisfactory since the responses of the States Parties are not always clear. If the State Party ticks “nothing new to declare”:",
"(i) and completes the related form: it could be assumed that this information is from the previous year.",
"(ii) and does not complete the related form: it could be assumed that the information from the previous year is still valid.",
"There therefore appear to be at least two different modes of response for one and the same situation.",
"12. If on the other hand the State Party ticks “nothing to declare”:",
"(i) logic would dictate that the State Party is indicating nothing, which is what some do;",
"(ii) but when the relevant form is completed, the interpretation is ambiguous: does the State consider the information to be insignificant?",
"There are therefore once again two modes of response for one and the same situation.",
"13. Certain States indicate in addition for the same section that they have “nothing”, and also “nothing new” to declare, which seems paradoxical.",
"14. The consistency between the preliminary declaration and the items entered on the forms varies considerably from State to State:",
"(i) A good many States fill in a very limited number of fields, justifying this by stating that they have nothing to declare.",
"(ii) However, some fill in a very limited number of fields without justifying this by adding the statement (nothing/nothing new to declare).",
"15. All in all, the “nothing to declare” / “nothing new to declare” declaration does not, contrary to the purpose assigned to it in 1991, simplify the reading of the CBMs but rather adds to the confusion. Certain specific modifications to the preliminary declaration would make the CBMs easier to understand.",
"Proposals for clarification of the preliminary declaration",
"16. A reshaping of the preliminary declaration form along the lines set out below would make it possible to eliminate the ambiguities arising from the declaration as it is currently constituted:",
"Does your country have anything to declare this year on Measure A, part I ?",
"(a) Yes, it has something to declare in this form for the first time (please complete form);",
"(b) Yes, it has previously declared something in this form, and needs to update or modify details (please complete form);",
"(c) Yes, but this information has already been declared since [year] and has not changed; (no need to complete form)",
"(d) No - it has nothing at all to declare on this form[2].",
"These four questions could then be repeated for each of the forms A to G (including all the parts to forms A and B).",
"The questions on the forms A to G",
"17. The quality of the responses to the questions on the forms varies considerably from State to State and from one section to another. New “implementation procedures” could therefore supplement or clarify those agreed at the Third Review Conference:",
"(i) CBM “A”: the Third Review Conference requested the provision of data on research centres and laboratories that meet very high national or international safety standards, “for example those designated biosafety level 4 or P4 or equivalent standards”. There is a need to ensure that this formula is unequivocal by making it clear that it is necessary to include level 4 laboratories, while not limiting States that want to include other laboratories which meet very high safety standards.",
"(ii) CBM “C”: Rather than the manner of interpretation of this measure, it is the measure itself that could include the following clarifications in order to make a clear distinction between “publications” and “policy regarding publication”:",
"“Encouragement of publications of results and promotion of use of knowledge",
"4.1 Publications of research centres and laboratories covering the area of the confidence-building measures.",
"4.2 Policy regarding the publication of results of biological research”",
"(iii) CBM “D”: The implementing procedures could provide for two headings: past seminars on the one hand and, on the other, planned seminars: the section would in fact be more easily completed by States Parties if it were retrospective and not solely prospective.",
"18. These, and possibly other, modifications of the preliminary declaration adopted in the Final Declaration of 1991 and of the CBM forms could be discussed and agreed on at an intersessional meeting dedicated to CBMs, if necessary for referral to the Seventh Review Conference.",
"Annex",
"[ENGLISH and FRENCH ONLY]",
"CONFIDENCE-BUILDING MEASURES: ANNUAL INFORMATION EXCHANGE BY STATES PARTIES",
"(REPORTS 2000-2005)",
"I. Introduction",
"1. At the Second Review Conference of the BTWC in 1986, the States Parties agreed to implement some measures intended to strengthen compliance with the Convention and to improve transparency. These were extended at the Third Review Conference in 1991. These confidence-building measures (CBMs) consist of an annual exchange of data and information, as well as declarations of past and present activities of relevance to the Convention.",
"2. In November 2006, the Sixth Review Conference of the BTWC will take place in Geneva and the question of strengthening the CBM mechanism will be one of the issues of interest.",
"This report is therefore an overview of the information submitted by States Parties to the BWC from 2000 to 2005.",
"II. General trends",
"General participation in the exchange since 2000:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 40 40 41 33 43 46 contributions",
"[]",
"These figures are approximately at the same level as during the previous decade (1990-2000) when the number of contributions varied from 31 (1990) to 53 (1996).",
"Between 2000 and 2005:",
"In other words, only a minority of States are involved in this exchange of information.",
"Every year, less than a third of States Parties to the Convention submit a declaration.",
"III. Trends in regional groups",
"Trends in the Western Group",
"The Western group is composed of 32 States Parties to the BTWC.",
"Evolution of participation in this group:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 22 22 21 16 22 24 contributions",
"% of States participating 69% 69% 66% 50% 69% 75%",
"[]",
"Number of contributions by Western group States in the period:",
"[]",
"Australia, Canada, Finland, Germany, Italy, Netherlands, Norway, New-Zealand, South Korea, Switzerland, Turkey, United Kingdom, United States",
"Belgium, France, Japan, Spain",
"Iceland, Monaco, Portugal.",
"Trends in the Eastern Group",
"This group is composed of 24 States Parties.",
"Evolution of participation in this group:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 12 13 13 13 15 13 contributions",
"% of States participating 50% 54% 54% 54% 63% 54%",
"[]",
"Number of contributions by Eastern group States in the period:",
"[]",
"Bulgaria, Czech Republic, Lithuania, Russia, Slovakia.",
"Poland, Romania, Ukraine, Uzbekistan.",
"FYROM, Tajikistan",
"Trends in the group of non-aligned and other States:",
"This group is composed of 98 States Parties.",
"Evolution of participation in this group:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 6 5 7 4 6 9 contributions",
"% of States participating 6% 5% 7% 4% 6% 9%",
"[]",
"Number of contributions by States in the period:",
"[]",
"China, Cuba",
"Tunisia, Turkmenistan",
"Analysis",
"3. These figures allow us to reach two main conclusions:",
"(1) The level of participation in each group is quite constant:",
"contributions can be observed over the past two years, but it remains below the highest point reached in 1996 (53).",
"(2) There are significant differences in the different groups’ level of participation.",
"The participation level is especially low in the non-aligned and other States group. In this group, many States have given information only once. About 10 % of them (10 States) have done so since 2000. But many participated once (or twice) in the 80s/90s. That includes 27 (about a third) of the 82 States that have not submitted any data since 2000. Therefore, over 40 % of these States have participated in the exchange at least once in the past. They may consider that participating once is enough if they have nothing more to say.",
"IV. Qualitative analysis",
"4. After having studied the number of contributions (quantitative analysis), we can now adopt an analytic point of view. This allows us to make different observations. Firstly, some remarks have to be made on the following concepts: “nothing to declare” and “nothing new to declare”:",
"(i) The form is divided into 11 different kinds of measures and questions that States have to answer. A simple pro forma gives States the opportunity to tick boxes labelled “nothing to declare” and “nothing new to declare” for each CBM. The existence of this introductory Declaration Form is beneficial as a way to buy time, but States seem to have different understandings of these expressions. Indeed, most States do not submit any information on the measures in respect of which they have ticked one of these boxes, but it is not the case for all of them.",
"(ii) When States submit data while indicating “nothing new to declare”, this generally means that they are giving the same information as previous years.",
"(iii) When States submit data while indicating “nothing to declare”, the situation is more ambiguous. This probably means that these answers are insignificant and/or do not pose any problems regarding compliance with the Convention.",
"But these are only assumptions and one cannot be sure regarding the States’ understanding of these concepts. There is no clear definition of these notions. A clarification would be useful.",
"5. Secondly, one can note a great variety regarding the quality of the forms. Although a majority of States fill out the form in a substantive manner, this is not the case for all of them:",
"(i) A small number of States answer a minority of answers without justifying it by indicating “nothing to declare” or “nothing new to declare”.",
"(ii) A greater number of them indicate “nothing to declare” for a lot of CBMs and therefore generally deliver little information. It is difficult to determine whether they have effectively “nothing to declare” or whether it is an issue of willingness.",
"(iii) Some others indicate “nothing new to declare” for a lot of CBMs. In theory, this means that the information has been delivered in a previous report, but it is difficult and time-consuming to check.",
"(iv) Some others tick both kinds of boxes, which raises the same issues. Some even only tick boxes in the Introduction Declaration Form without submitting further information.",
"V. Conclusions",
"6. Participation in the exchange is limited. Every year, in the 90s as well as since 2000, less than one-third of States Parties submitted data. Efforts should therefore aim at increasing this level of participation and we can note that the strengthening of the mechanism at the September 1991 Third Review Conference allowed a slight improvement of the participation level which rose from 41 in 1991 to 53 in 1996.",
"If participation is not general for any regional groups, the nonaligned and other States group appears to be the one where it is lowest.",
"7. The quality of the declarations submitted also fluctuates greatly. This is another issue that could be tackled.",
"8. The meaning of the two concepts “nothing to declare” and “nothing new to declare” is moreover unclear and a redefinition would be useful. The repeated use of the box “nothing new to declare” is particularly confusing. It means - at least in theory - that the information has been delivered in a previous report. Therefore, in order to facilitate the research of information, it would be useful to ask States to specify when the data was submitted, which has not been the case to date.",
"[1] This is one of a series of complementary papers submitted by the EU Member States for the consideration of States Parties. The Acceding Countries Bulgaria and Romania, the Candidate Countries Turkey, Croatia and the Former Yugoslav Republic of Macedonia, the Countries of the Stabilisation and Association Process and potential candidates Albania, Bosnia and Herzegovina, Serbia, as well as Ukraine and Republic of Moldova align themselves with this paper.",
"[2] Nothing at all to declare means: There is and there has not been in the past any activity to report that could justify the issue of data or any type of information as defined in the Final Declarations of the 1986 and 1991 Review Conferences of the States Parties to the BTWC."
] | BWC_CONF.VI_WP.4 | [
"Sixth Review Conference of the States Parties to the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction",
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Advancing the confidence-building measures process",
"Submitted by France on behalf of the European Union [1]",
"I. Frustrated implementation of confidence-building measures",
"1. Confidence-building measures relating to articles V and X of the Convention were developed at the Second Review Conference in 1986 and further developed at the Third Review Conference in 1991, with the aim of enhancing transparency and improving the implementation of the Convention. As noted in the study attached to this document (English and French only), the implementation of the confidence-building measures fell short of the original expectations:",
"(1) States that have made declarations in the context of confidence-building measures often fill out forms in a satisfactory manner (inconsistent responses, incomplete, etc.), which makes it difficult to obtain a clear picture of the situation.",
"(2) Overall, too few States parties have made such declarations (from 33 to 45 per year for 155 States parties to the Convention; 90 States have never submitted a declaration). The goal of transparency that confidence-building measures seek to achieve is therefore unsatisfactory.",
"(3) In the light of these facts, the European Union proposes a number of corrective measures to improve the usefulness of confidence-building measures. Some of these measures could be agreed upon at this Review Conference, while others could be considered at an expert meeting after the Review Conference as part of the next work programme.",
"II. EU Recommendations to the Sixth Review Conference",
"2. In order to make progress towards universality, the EU supports two types of measures that could be discussed at this Review Conference to advance the process of confidence-building measures: technical improvements and policy incentives.",
"Technical improvements",
"3. Multiple options questionnaires could be given a broader role to facilitate the work of the government departments responsible for submitting CBMs. In fact, in many cases the administrative challenge is probably the reason for not making a declaration on confidence-building measures.",
"4. A computerized CBM form (including or excluding multiple options questionnaires) will make it possible to standardize declarations and facilitate the work of government agencies, while avoiding any limitation on the scope of responses: all questions will be retained and answers will be included in the electronic data section.",
"Electronic CBMs can also make the declarations made more quickly and more accessible to the United Nations Department for Disarmament Affairs. However, a secure system is required for electronic data transmission.",
"6. Finally, States Parties in a position to do so may provide support to other States Parties requesting assistance in completing their CBMs. Assistance can be sought and offered through the BTWC secretariat.",
"Policy incentives",
"7. Reminders sent by the Department for Disarmament Affairs to all States parties to submit CBMs: In addition to the reminders sent by the depositary State, the BTWC Secretariat can easily send reminders of the CBM schedule to all States Parties. States parties could be invited to designate a contact point to receive such reminders. If necessary, further reminders could be sent after the 15 April deadline.",
"8. An additional annual reminder by the Secretary-General of the United Nations could be sent to all States parties in January of each year to remind them of the schedule of confidence-building measures and to encourage them to submit their declarations to the Department by 15 April of that year.",
"9. The EU believes that these changes could easily be made at the Sixth Review Conference.",
"III. Further EU proposals to advance the CBM process",
"10. The CBM materials currently consist of two parts: a preliminary declaration intended to clarify the content of the CBM information, and a specific A-G form.",
"Preliminary announcement",
"11. Such an initial announcement would add to confusion. It needs to be made clear that a declaration such as “there is nothing to declare”/ “there is nothing new to declare” is unsatisfactory, as the State party's response is not necessarily clear. If Parties tick “no new information to declare”:",
"(1) and complete the relevant form: this information can be considered as the previous year.",
"(2) and does not fill out the relevant form: the information of the previous year may be considered to be still valid.",
"It therefore seems that there are at least two different ways of answering the same situation.",
"On the other hand, if a State Party ticks “no action to declare”:",
"(1) It is logical to conclude that the State party did not point out anything, as some States parties did;",
"(2) If the relevant form is completed, it is unclear: Does the State consider the information irrelevant?",
"There are thus two additional ways of answering the same situation.",
"It would seem contradictory for some States to state in the same part that they are “no case” for declaration and “no new case” for declaration.",
"14. Consistency between the initial announcement and the completed project on the form varies widely among countries:",
"(1) Many countries have very few completed projects, explaining that they have no information to declare.",
"(2) However, a number of countries have completed few projects without adding any explanation (no information/no new information to announce).",
"In general, declarations such as “no more to declare”/ “no more to declare” are contrary to the original intent of the 1991 provisions and do not facilitate understanding of CBMs, but rather increase confusion. Certain specific amendments to initial declarations would make confidence-building measures more understandable.",
"Proposal to clarify the preliminary declaration",
"16. The redesign of the initial declaration form along the following lines could eliminate the confusion caused by the current declaration.",
"Does your country have anything to declare this year on the first part of measure A?",
"(a) Yes, for the first time in this form (please complete the form);",
"(b) Yes, there are instances where details have been announced in this form but need to be updated or revised (please complete the form);",
"(c) Yes, but the information has been announced and remains unchanged since (year); (no form required)",
"(d) No - There is nothing to declare on this form [2].",
"These four questions (including all parts of forms A and B) can then be repeated for forms A to G.",
"Issues on Form A to G",
"17. The quality of responses to the tabular questions varies considerably from country to country and between parts and parts. The new “implementation procedures” could thus complement or clarify the procedures agreed at the Third Review Conference:",
"(1) Confidence-building measure “A”: The Third Review Conference requested information on research centres and laboratories that meet very high national or international safety standards, “such as biosafety level 4 or P4 or equivalent”. It is necessary to make it clear that level 4 laboratories must be included, but without limiting the State to include other laboratories that meet very high safety standards, thus ensuring that the meaning of this provision is clear.",
"(2) Confidence-building measure “C”: it is not the manner in which the measure is interpreted, but the measure itself may contain the following description in order to make a clear distinction between “publication” and “publication policy”:",
"“Encouraging the publication of relevant results and promoting the use of relevant knowledge",
"4.1 Publications of research centres and laboratories in the area of confidence-building measures.",
"4.2 Policies for the publication of biological research results.”",
"(3) Confidence-building measure “D”: the implementation process could have two headings: past seminars on the one hand and planned seminars on the other: In fact, it would be easier for States parties to complete this part if it was not only forward-looking but also reminiscent.",
"18. These and other amendments, if any, to the initial declarations adopted in the Final Declaration of 1991 and to the CBMs form could be discussed and agreed upon at an intersessional meeting on CBMs and submitted to the Seventh Review Conference as necessary.",
"Annex.",
"[ENGLISH AND FRENCH ONLY]",
"CONFIDE-BUILDING MEASURES: ANNUAL INFORMATION EXCHANGE BY STATES PARTIES",
"(REPORTS 2000-2005)",
"Introdiction",
"1. At the Second Review Conference of the BBTWC in 1986, the States parties agreed to apply some measures in order to improve the relationship with the Convention and to implement the Convention.",
"In Nobel 2006, the Sixth Review Conference of the BBTWC will take place in Geneva and the question of strategizing the CBM mechanism will be one of the issues of intelest.",
"This report is somewhere an overview of the information contingent by States parties to the BWC from 2000 to 2005.",
"General Trends",
"General Participation in the Exchange since 2000:",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 40 40 41 33 43 46 communications",
"[Chuckles]",
"These figures are applied at the same level as during the previous decade (1990-2000) when the number of conflicts from 31 (1990) to 53 (1996).",
"Between 2000 and 2005:",
"In other words, only a community of States are involved in this exchange of information.",
"Every year, less than a third of the States parties to the Convention subsuming a situation.",
"Trends in regular groups",
"Trends in the Western Group",
"The Western group is connected of 32 States parties to the BBTWC.",
"Cannot initialise Evolution's mail component.",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 22 22 21 16 22 24 conflicts",
"% of States participating 69% 69% 66% 50% 69% 75%",
"[Chuckles]",
"Number of decisions by Western group States in the period:",
"[Chuckles]",
"Australia, Canada, Finland, Germany, Italy, New Zealand, South Korea, Switzerland, Turkey, United Kingdom, United States of America.",
"Belgium, France, Japan, Spain",
"Iceland, Monako, Portugal.",
"Trends in the Eastern Group",
"This group is connected of 24 States parties.",
"Cannot initialise Evolution's mail component.",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 12 13 13 15",
"% of States participating 50% 54% 54% 63% 54% 54%",
"[Chuckles]",
"Number of conflicts by Eastern Group States in the period:",
"[Chuckles]",
"Bulgaria, Czech Republic, Lithuania, Russia, Slovakia.",
"Poland, Romania, Ukraine, Uzbekistan.",
"FYROM, Tajikistan",
"Trends in the group of non-aligned and other States:",
"This group is connected of 98 States parties.",
"Cannot initialise Evolution's mail component.",
"Year 2000 2001 2002 2003 2004 2005",
"Number of States 6 5 7 4 6 9 communications",
"% of States participating 6% 5% 7% 6% 9%",
"[Chuckles]",
"Number of conflicts by States in the period:",
"[Chuckles]",
"China, Cuba",
"Tunisia, Turkmenistan",
"Analysis",
"These conflicts allow us to each two main conclusions:",
"The level of participation in each group is quite constant:",
"Contributions can be over the past two years, but it comes down the high point reached in 1996.",
"There are significent conferences' level of participation.",
"In this group, many States have given information only once.",
"Qualitative anallysis",
"After having shown the number of cases, we can now add an analytic point of view.",
"A simple pro forma gives the States to pick boxes and “nosing to develop” for each CBM.",
"When States submit data while “nething new to develop”, this general means that they are giving the same information as previous years.",
"When States continue data while “nething to develop”, the status is more ambitious.",
"There is no clear definition of these notes.",
"5. Secondly, one can note a great variay regaring the question of the futures.",
"(i) A small number of States answer a number of challenges without just knowing it by “noting to declare” or “noting new to declare”.",
"A greater number of them indicia “nething to declare” for a lot of CBMs and therefor legally deliver little information.",
"In theory, this means that the information has been written in a pre-emptive report, but it is Difficault and time-consumption to check.",
"Some others pick both of boxes, which raises the same issues.",
"V. Conclusions",
"Every year, in the 90s as well as since 2000, less than one-third of States parties committed to data.",
"If participation is not general for any regional groups, the non-nationalized and other State groups appear to be the one where it is low.",
"This is another issue that could be taken.",
"The meaning of the two decisions “nething to develop” and “nething new to develop” is more than enough unclarification and a redefinition would be useful.",
"[1] This is one of a series of additional documents submitted by EU member States for consideration by States Parties. The acceding countries Bulgaria and Romania, the candidate countries Turkey, Croatia and the former Yugoslav Republic of Macedonia, the stabilization and association process and potential candidates Albania, Bosnia and Herzegovina and Serbia, as well as Ukraine and the Republic of Moldova, align themselves with this document.",
"[2] There is nothing to be declared to mean that neither now nor in the past has any activity to report justified the provision of data or information of any kind as required by the 1986 and 1991 Final Declarations of the Review Conferences of the Parties to the Biological and Toxin Weapons Convention."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查 《公约》的实施情况",
"《生物与毒素武器公约》第十条",
"芬兰代表欧洲联盟提出 [1]",
"一、导 言",
"1. 欧洲联盟于2006年3月20日通过《共同立场》2006/242/CFSP, 其中概述了欧盟对2006年《生物与毒素武器公约》第六次审查会议的目标和优先事项。《共同立场》第3条提到欧盟将编写供缔约国在审查会议上审议的有效加强《生物与毒素武器公约》实施情况的具体、实际和可行建议。本工作文件是上述一系列建议中的一个，应当被视为欧盟为加强《生物与毒素武器公约》及其实施情况采取的全面做法的一部分。",
"二、《生物与毒素武器公约》第十条",
"2. 《公约》第十条规定《公约》缔约国有权参与并承诺促进交换关于生物剂使用于和平目的方面的设备、材料和情报以及这方面的科技合作。此外，第十条规定实施《公约》时应避免妨碍缔约国的发展或和平生物活动方面的国际合作。前几次《公约》审查会议在审查第十条实施情况时已提出了一些原则、目标和加强实施情况的措施。",
"3. 第六次审查会议将在逐条审查《公约》实施情况时讨论第十条。自第五次审查会议以来，除了生物科学和生物技术迅速进展外，全球、区域和国家各级发生了一些与第十条高度相关的事态发展。本工作文件评估了相关的事态发展并讨论了将由第六次审查会议商定的与第十条有关的可能行动。",
"三、与实施第十条有关的最新事态发展",
"4. 由于和平生物活动范围很广，有关这些问题的国际合作很多，这里将只着重说明少数最新的有关事态发展：",
"(1) 2004年12月举行的《公约》缔约国会议及2004年7月举行的其专家筹备会议被认为在讨论和促进有关监测、检测、诊断和防治传染病的共同谅解和有效行动方面非常成功。",
"(2) 在世界卫生大会于2001年和2002年通过关于全球卫生安全的决议以及关于对故意使用影响健康的生物和化学物剂或放射性核材料的公共卫生防备和应对的决议后，卫生组织努力增强其在与可能的生物武器物剂有关的疾病方面的能力，以及粮农组织、国际兽疫局和国际植物保护公约增强这方面的能力。",
"(3) 2005年对《国际卫生条例》的修改将从2007年起实施。",
"(4) 《卡塔赫纳生物安全议定书》于2003年生效，随后建立的信息交换机制，包括能力建设，以确保《议定书》所有缔约方都能够执行其规定并促进关于生物安全的信息交流。",
"(5) 全球一级和区域一级在生物技术和生物多样性方面正在作出的其他政府间和非政府努力，包括国际遗传工程和生物技术中心、国际植物遗传资源研究所、环境署、教科文组织、工发组织和开发署/环境署/世界银行全球环境基金的相关工作，经合组织生物技术倡议，包括可能建立全球生物资源中心网络，以及若干非政府组织和网络的倡议。",
"(6) 国际社会为防止禽流感传播大力作出的努力。",
"(7) 私营部门的国际生物和生物技术合作迅速增长，这大大有利于交换有关预防疾病或其他和平用途的技术和信息。",
"5. 欧洲联盟及其成员国积极参与上述全球努力，此外还进行一些具体行动支持《公约》第十条的执行，其中包括：",
"(1) 执行2002年欧盟关于生命科学和生物技术的战略及相关行动计划，其中也包括国际合作和欧洲对发展中世界的责任(见附件一，只有英文本)。",
"(2) 2005年建立欧洲疾病防治中心，其任务也包括向第三国提供援助。",
"(3) 欧盟在若干相关部门的发展合作承诺，从卫生和农业到协助达到卫生和植物检疫要求，欧盟及其成员国是世界上最大的发展援助提供者。",
"(4) 欧盟教育和研究政策，特别是高等教育方面的合作方案，纳入欧盟研究框架方案的国际合作活动和欧盟资助的研究，特别是在生物安全、传染病和生物技术方面的研究。",
"(5) 欧盟的紧急情况援助，例如在亚洲海啸中为90,000人提供初级保健服务，为880,000多人提供安全饮水和卫生设施。",
"6. 第六次审查会议应确认执行第十条取得的进展，并承认上述和其他正在进行的国际、区域、双边和国家努力对有效执行第十条的贡献。",
"四、监测、检测、诊断和防治传染病",
"7. 欧盟欢迎为2004年缔约国会议进行的筹备工作以及缔约国会议的讨论和结论，特别是主席的综合文件[2] 和秘书处提供的背景文件。[3]",
"8. 在第六次审查会议上，缔约国应重申2004年缔约国会议的结论[4] 并商定以下行动：",
"(1) 缔约国应继续加强现有国际组织和网络，特别是卫生组织、粮农组织、国际兽疫局和国际植物保护公约的网络以及从事传染病工作的非政府行为者。",
"(2) 缔约国应促进在各自职权范围内行事的上述组织之间的合作和相辅相成。",
"(3) 缔约国应重申加强卫生组织、粮农组织、国际兽疫局和国际植物保护公约与可能的生物武器物剂有关的疾病方案应当严格地在这些组织的职权范围内进行。缔约国应注意到这些组织的作用仅限于任何疾病突发的流行病学和公众/动物/植物方面，但承认与它们交换信息的增加值。",
"(4) 承认运作良好的保健服务系统是确保对疾病突发作适当防备和应对的关键，同时缔约国应继续建设和/或改善国家和区域调查、检测、诊断和防治传染病的能力并将这些努力纳入国家紧急情况和疾病管理计划。关于专家能力，鼓励缔约国探讨有助于最佳利用稀少资源的创新安排(例如，见关于联合王国“前瞻”方案的附件二(只有英文本)和关于芬兰生物威胁防备中心的附件三(只有英文本))。",
"(5) 缔约国应尽可能使用现有标准、指南和建议。特别是，缔约国应努力执行卫生组织的实验室程序规范和临床程序规范、粮农组织的紧急情况管理规范和国际植物保护公约的监测规范。",
"(6) 缔约国应努力改善有关所有各级疾病监测的信息通报，包括与卫生组织、粮农组织、国际兽疫局、国际植物保护公约和非政府组织以及缔约国之间的信息通报，并利用民间社会来源提供的信息。",
"(7) 有能力这样做的缔约国应继续直接以及通过国际组织支持在监测、检测、诊断和防治传染病及相关研究方面需要援助的缔约国建设能力。",
"(8) 缔约国应推动疫苗开发和生产，包括通过国际合作和公私合伙。",
"(9) 缔约国应继续交流这方面的经验和最佳做法，特别是考虑在2007年10月的《生物与毒素武器公约》闭会期间会议讨论检测病原体和实时应对流行病问题。",
"五、加强第十条执行情况的进一步行动",
"9. 以前的《生物与毒素武器公约》审查会议就执行第十条需要采取的行动得出了广泛的共同谅解，这除其他外反映在第四次审查会议的最后宣言。在第六次审查会议上，缔约国应审查这些谅解以便重申它们，并应特别注意以下各点：",
"(1) 提高对生物恐怖主义危险的警觉需要所有缔约国紧急、有力地作出努力在国内执行《生物与毒素武器公约》承诺。为了建立加强生物安全与促进生物科学和生物技术之间的相互依存关系，缔约国应认识到全世界各国有效地执行《公约》对于充分利用生物的巨大潜力于和平用途是很重要的。",
"(2) 确认私营部门对技术和信息转让的重要作用，缔约国应越来越多地让私营部门行为者参与国家、区域和国际各级加强执行第十条的努力。",
"(3) 以后的审查会议审查第十条的实施情况时将可受益于有关第十条执行情况的更全面信息，包括有关缔约国确定的需要和作出的努力的信息。缔约国应自愿地与其他缔约国分享这一信息，同时秘书处应便利这一信息交流。",
"Annex I",
"[ENGLISH ONLY]",
"EXTRACT FROM: LIFE SCIENCES AND BIOTECHNOLOGY – A STRATEGY FOR EUROPE, COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, THE EUROPEAN PARLIAMENT, THE ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS, 27 JANUARY 2002 (COM(2002) 27 FINAL)",
"A European Agenda for International Collaboration",
"Action 24",
"The Commission should continue to play a leading role in developing international guidelines, standards and recommendations in relevant sectors, based on international scientific consensus and, in particular, push for the development of a consistent, science-based, focused, transparent, inclusive and integrated international system dealing with food safety issues.",
"Implementer: Commission",
"Timeframe: 2002 onwards",
"Europe’s Responsibilities Towards the Developing World",
"Agriculture",
"Action 25",
"The Commission will in co-operation with Member States support:",
"(i) The redefining of national research towards an appropriate mix of traditional techniques and new technologies, based on priorities developed with local farmers.",
"(ii) The establishment of effective research partnerships between public and private research organisations in developing countries and in the EU, and the adequate capacity and infrastructure for developing countries to enter into such partnerships, in accordance with international commitments under the Conventions.",
"(iii) Sub-regional, regional and international organisations, in particular the International Agricultural Research Centres.",
"Implementer: Member States, Commission",
"Timeframe: 2002 onwards",
"Genetic resources",
"Action 26",
"The Commission and the Member States will support the conservation and sustainable use of genetic resources in developing countries and their equitable sharing of benefits arising from their use by:",
"(i) Supporting the development and enforcement of effective measures to conserve, to use sustainably and to provide access to genetic resources and traditional knowledge, as well as to share equitably the benefit arising from them, including income generated by intellectual property protection. Support for local communities is vital to conserve indigenous knowledge and genetic resources.",
"(ii) Supporting the participation of delegates from developing countries in the negotiations of relevant International Conventions.",
"(iii) Supporting measures to promote greater regional co-ordination in legislation to minimise disparities in access, benefits and also trade in products derived from genetic resources, in accordance with international commitments.",
"Implementer: Member States, Commission",
"Timeframe: 2002 onwards",
"Health",
"Action 27",
"The Commission and the Member States should work with the international community to concretise the commitment to research to combat HIV/AIDS, malaria, TB and other main poverty-related diseases and also identify effective measures to support developing countries in establishing the structures needed to deploy a health policy.",
"Implementer: Member States, Commission",
"Timeframe: 2002 onwards",
"Responsible and careful use",
"Action 28",
"The Commission should support:",
"(i) The safe and effective use of modern biotechnologies in developing countries, based on their autonomous choice and on their national development strategies.",
"(ii) Measures to increase the capacity of developing countries to assess and manage risk for man and the environment, under conditions prevailing in the country.",
"(iii) The development of appropriate administrative, legislative and regulatory measures in the developing countries, for the proper implementation of the Cartagena Protocol.",
"(iv) That international research on social, economical and environmental impacts are effectively adapted to take into account conditions prevailing in developing countries and that the findings are subsequently disseminated to them in an appropriate format.",
"(v) That the international regulatory requirements remain manageable by developing countries, so as not to impede their trade and production prospects.",
"Implementer: Commission",
"Timeframe: 2002 onwards",
"Annex II",
"[ENGLISH ONLY]",
"AN EXAMPLE FROM THE UK: FORESIGHT.",
"INFECTIOUS DISEASES: PREPARING FOR THE FUTURE",
"1. The 'Foresight' programme is owned by the Office of Science and Innovation in the United Kingdom with the aim of producing challenging visions of the future in order to ensure effective strategies now. It has produced reports in several different areas. One of its most recent projects was on infectious diseases and it aimed to use the best available science to evaluate the threats of infectious diseases in humans, animals and plants over the next 10-25 years; and to produce a vision for their management, specifically through systems for detection, identification and monitoring. The project involved more than 300 scientists, experts and stakeholders from around 30 countries. The project findings, which are available at http://www.foresight.gov.uk/Detection_and_Identification_of_Infectious_Diseases/Reports_and_Publications/Final_Reports/E1_ID_Executive_Summary.pdf, provide a considerable body of scientific analysis and fresh insights to inform policy development by the relevant stakeholders at both national and international levels.",
"2. The project resulted in the development of an action plan, which includes, inter alia:",
"(i) Building a more sustained, pro-active and integrated approach to international surveillance for infectious diseases of humans, animals and plants;",
"(ii) Developing effective and sustainable partnerships between richer and poorer countries that help provide infrastructure, technologies and skills to support detection, identification and monitoring activities, specifically the UK and Africa;",
"(iii) A wide range of stakeholders will need to act together if the benefits are to be realised.",
"3. Participants in the action plan include national and international bodies concerned with infectious diseases, and research funders.",
"4. Under the auspices of the project a Pan-African Workshop was held in Uganda in August 2005, in collaboration with leading African experts. The project report notes that: \"In August 2005, a ground-breaking workshop was held in Entebbe, Uganda, concerning the future of infectious disease in Africa. This event was unprecedented in Africa and perhaps worldwide, since it brought together leading disease experts spanning plant, animal and human health. The aim was to take a fresh look at this crucial topic and to inject fresh thinking. The event involved experts from 14 African countries, African institutions, and important international organisations such as the World Organisation for Animal Health (OIE), the Food and Agriculture Organisation of the United Nations (FAO), the World Health Organisation (WHO), the Bill and Melinda Gates Foundation, and the Gatsby Foundation. The event generated a wealth of expert advice about the future challenges facing Africa, and options for response.\"",
"Annex III",
"[ENGLISH ONLY]",
"FINNISH CENTRE FOR BIOTHREAT PREPAREDNESS",
"1. The Finnish Strategy to Secure Vital Functions of Society from November 2003 defined vital functions of Finnish society and established targets and development policies that would guide each administrative branch of the government in dealing with its strategic tasks. The strategy called for cooperation between each government sector in combating new threats towards society. According to the Government Report on Finnish Security and Defence Policy of 2004, terrorism and epidemics caused by infectious diseases were listed as key threats affecting national security.",
"2. Based on the above resolutions, the Centre for Biothreat Preparedness started operation in Helsinki in May 2005. The Centre, which will initially employ eight experts, is a centre of excellence for Finnish scientific and laboratory know-how on biological defence, as well as on biothreat assessment and preparedness. The Centre will actively seek domestic and international collaboration. The Centre is composed of two Units; the Biological Defence Unit of the Finnish Defence Forces, and the Biological Threat Unit of the National Public Health Institute, where scientific work will be carried out in a special biological safety laboratory (BSL-3).",
"3. The Finnish Defence Forces are developing their Territorial and Operational NBC Defence units for National Defence, as well as a NBC Detachment for the EU Battle Groups and other international tasks. The NBC Detachment will be equipped with a deployable, diagnostic biological and chemical (BC) laboratory. This field laboratory is under development and it will be operational in 2008.",
"4. The development of the Deployable BC Field Laboratory is led by Army Staff in cooperation with the Defence Forces Technical Research Centre and the Centre for Biothreat Preparedness, together with the Centre of Military Medicine. One of the Biothreat Centre’s initial operational tasks will be to establish the biosafety and microbial identification requirements for the BC laboratory. To achieve this, international collaboration with other countries as well as domestic collaboration between expert organisations is needed. The techniques that are developed for microbial identification are primarily based on molecular amplification of microbial genes to ensure laboratory safety and rapidity of the assays. Early microbiological diagnosis will enable timely medical intervention, before onset of possible severe clinical symptoms of those exposed to deliberate release of selected agents.",
"[1] 这是欧盟成员国提出供缔约国审议的一系列补充文件中的一个。申请加入国保加利亚和罗马尼亚，候选国土耳其、克罗地亚和前南斯拉夫的马其顿共和国，稳定与结盟进程国和潜在候选国阿尔巴尼亚、波斯尼亚和黑塞哥维那、塞尔维亚以及乌克兰和摩尔多瓦共和国支持本文件。",
"[2] 从各国代表团就专家会议讨论的专题所作的介绍、声明和发言以及提交的工作文件中摘出的各种考虑、经验教训、观点、建议、结论和提议的综述，BWC/MSP/2004/3, 附件三。",
"[3] BWC/MSP/2004/MX/INF.1, BWC/MSP/2004/MX/INF.2。",
"[4] WBC/MSP/2004/3。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/WP.520 October 2006Original: ENGLISH",
"Geneva, 20 November – 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"ARTICLE X",
"OF THE BIOLOGICAL AND TOXIN WEAPONS CONVENTION (BTWC)",
"Submitted by Finland on behalf of the European Union[1]",
"I. Introduction",
"1. The European Union adopted, on 20 March 2006, a Common Position 2006/242/CFSP outlining the objectives and priorities of the EU for the 2006 Review Conference of the BTWC. The Common Position, in its Article 3, makes reference to specific, practical and feasible proposals for the effective enhancement of the implementation of the BTWC that the EU will prepare for consideration by States Parties at the Review Conference. This working paper is one of the above-mentioned series of proposals and should be considered as one element of an overall EU approach to strengthening the BTWC and its implementation.",
"II. BTWC Article X",
"2. BTWC Article X grants the States Parties to the Convention the right to participate in, and the undertaking to facilitate, the exchange of equipment, materials and information for the use of biological agents for peaceful purposes, as well as scientific cooperation in the field. Further, Article X states that the implementation of the BTWC should avoid hampering the development of its States Parties or international cooperation in the field of peaceful biological activities. Previous Review Conferences of the Convention have, when reviewing the implementation of Article X, outlined a number of principles, objectives and measures to enhance implementation.",
"3. The Sixth Review Conference will, as part of the article-by-article review of the operation of the Convention, address Article X. Since the Fifth Review Conference, besides the rapid advances in biosciences and biotechnology, a number of developments highly relevant to Article X have taken place at the global, regional and national level. This working paper takes stock of relevant developments and discusses possible actions related to Article X to be agreed at the Sixth Review Conference.",
"III. Recent developments relevant to Article X implementation",
"4. Given the wide range of peaceful biological activities and the depth of international cooperation on these issues, only a limited number of recent relevant developments are highlighted here:",
"(i) Meeting of States Parties to the BTWC in December 2004, and its preparatory Meeting of Experts in July 2004, that were considered to be highly successful in discussing and promoting common understanding and effective action on surveillance, detection, diagnosis and combating of infectious diseases.",
"(ii) WHO efforts to enhance its capacities in the area of diseases related to possible biological weapons agents following the adoption, at the World Health Assembly in 2001 and 2002, of the resolutions on global health security and on public health preparedness and response to deliberate use of biological and chemical agents or radionuclear material that affect health, as well as the strengthening of FAO, OIE and IPPC capacities in this field.",
"(iii) Revision, in 2005, of the International Health Regulations, to be implemented as from 2007.",
"(iv) Entry into force, in 2003, of the Cartagena Protocol on Biosafety, and the subsequent establishment of a Clearing-House Mechanism, with a capacity-building component, to ensure that all Parties to the Protocol can implement its provisions and facilitate information-sharing on biosafety.",
"(v) Other ongoing inter-governmental and non-governmental efforts in the field of biotechnology and biodiversity at global and regional level such as the International Centre for Genetic Engineering and Biotechnology, the International Plant Genetic Resources Institute, related work at UNEP, UNESCO, UNIDO, and the UNDP/UNEP/World Bank Global Environment Facility, OECD biotechnology initiatives, including the possible establishment of a Global Biological Resource Centre Network, as well as the initiatives of several non-governmental organisations and networks.",
"(vi) The vigorous efforts of the international community to combat the spread of avian influenza.",
"(vii) The rapid growth of international biological and biotechnological cooperation in the private sector, which greatly facilitates opportunities for exchange of technology and information for the prevention of disease or for other peaceful purposes.",
"5. The European Union, and its Member States, have actively participated in the above-mentioned global endeavours and, in addition, have undertaken a number of specific actions that support the implementation of BTWC Article X, including:",
"(i) Implementation of the 2002 EU Strategy on Life Sciences and Biotechnology and the related Action Plan, which also covers international cooperation and Europe's responsibilities towards the developing world (see Annex I, in English only).",
"(ii) Establishment, in 2005, of the European Centre for Disease Prevention and Control whose mandate also covers assistance to third countries.",
"(iii) EU development cooperation commitments in several relevant sectors, from health and agriculture to assistance in complying with sanitary and phytosanitary requirements, the EU and its Member States being the biggest provider of development assistance in the world.",
"(iv) EU education and research policy, notably cooperation programmes in the field of higher education, international cooperation activities integrated in the EU Framework Programmes for Research, and EU-funded research notably in the fields of biosecurity, infectious diseases and biotechnology.",
"(v) EU assistance in emergency situations, such as the Asian tsunami where 90 000 people were provided with primary health services and more than 880 000 people were provided with safe water and sanitation facilities.",
"6. The Sixth Review Conference should acknowledge the progress made with Article X implementation, and recognise the contribution of the abovementioned and other ongoing international, regional, bilateral and national efforts towards effective implementation of Article X.",
"IV. Surveillance, detection, diagnosis and combating of infectious diseases",
"7. The EU welcomes the preparatory work undertaken for, the discussions at, and the conclusions of the 2004 Meeting of States Parties, in particular the Synthesis Paper of the Chair[2] and the background documents provided by the Secretariat[3].",
"8. At the Sixth Review Conference, States Parties should reaffirm the conclusions of the Meeting of States Parties of 2004[4] and agree on the following actions:",
"(i) States Parties should continue strengthening existing international organisations and networks, in particular those of the WHO, FAO, OIE and IPPC as well as non-governmental actors working on infectious diseases.",
"(ii) States Parties should promote cooperation and complementarity between the above-mentioned organisations, each acting within its mandate.",
"(iii) States Parties should reaffirm that the strengthening of WHO, FAO, OIE and IPPC programmes on diseases related to possible biological weapons agents should be undertaken strictly within the mandates of these organisations. States Parties should note that the role of these organisations is limited to the epidemiological and public/animal/plant health aspects of any disease outbreak, but recognise the added value of information exchange with them.",
"(iv) While recognising that a well-functioning health services system is the key to ensuring adequate preparedness and response to disease outbreaks, States Parties should continue establishing and/or improving national and regional capabilities to survey, detect, diagnose and combat infectious diseases and integrate these efforts in national emergency and disaster management plans. For specialist capabilities, States Parties should be encouraged to explore innovative arrangements that help to optimise use of scarce resources (as an example, see Annex II (English only) on the UK’s 'Foresight' programme and Annex III (English only) on the Finnish Centre for Biological Threat Preparedness).",
"(v) States Parties should use existing standards, guidelines, and recommendations wherever possible. In particular, States Parties should endeavour to implement WHO Good Laboratory Practices and Good Clinical Practice, FAO Good Emergency Management Practice and IPPC Good Surveillance Practice.",
"(vi) States Parties should work to improve communication on disease surveillance at all levels, including with the WHO, FAO, OIE, IPPC and non-governmental organisations, and among States Parties, also making use of information from civil society sources.",
"(vii) States Parties in a position to do so should continue supporting, directly as well as through international organisations, capacity-building in States Parties in need of assistance in the fields of surveillance, detection, diagnosis and combating of infectious diseases and related research.",
"(viii) States Parties should promote vaccine development and production, including through international cooperation and public-private partnerships.",
"(ix) States Parties should continue exchanging experiences and best practices in the field and, in particular, consider discussing during the BTWC intersessional meeting for the period 2007-10 detection of pathogens and response to epidemics in real time.",
"V. Further actions to enhance implementation of Article X",
"9. Earlier Review Conferences of the BTWC have resulted in a broad common understanding on the action needed to implement Article X, reflected, inter alia, in the Final Declaration of the Fourth Review Conference. At the Sixth Review Conference, States Parties should review those understandings with a view to reconfirming them, and pay particular attention to the following:",
"(i) Heightened consciousness of the risks of biological terrorism calls for urgent and vigorous efforts, by all States Parties, to domestically implement BTWC commitments. With a view to the interdependence between strengthening biosecurity and promoting biological sciences and biotechnology, States Parties should recognise that effective national implementation of the Convention worldwide is essential to fully harness the vast potential of biology for peaceful purposes.",
"(ii) Recognising the important role of the private sector in the transfer of technology and information, States Parties should increasingly engage private sector actors in efforts that enhance the implementation of Article X at the national, regional and international levels.",
"(iii) The review of the operation of Article X in subsequent Review Conferences would benefit from more comprehensive information on the implementation of Article X, including needs identified and efforts undertaken by States Parties. States Parties should share this information with other States Parties on a voluntary basis with the Secretariat facilitating this information exchange.",
"Annex I",
"[ENGLISH ONLY]",
"EXTRACT FROM: LIFE SCIENCES AND BIOTECHNOLOGY – A STRATEGY FOR EUROPE, COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, THE EUROPEAN PARLIAMENT, THE ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS, 27 JANUARY 2002 (COM(2002) 27 FINAL)",
"A European Agenda for International Collaboration",
"Action 24",
"The Commission should continue to play a leading role in developing international guidelines, standards and recommendations in relevant sectors, based on international scientific consensus and, in particular, push for the development of a consistent, science-based, focused, transparent, inclusive and integrated international system dealing with food safety issues.",
"Implementer: Commission",
"Timeframe: 2002 onwards",
"Europe’s Responsibilities Towards the Developing World",
"Agriculture",
"Action 25",
"The Commission will in co-operation with Member States support:",
"(i) The redefining of national research towards an appropriate mix of traditional techniques and new technologies, based on priorities developed with local farmers.",
"(ii) The establishment of effective research partnerships between public and private research organisations in developing countries and in the EU, and the adequate capacity and infrastructure for developing countries to enter into such partnerships, in accordance with international commitments under the Conventions.",
"(iii) Sub-regional, regional and international organisations, in particular the International Agricultural Research Centres.",
"Implementer: Member States, Commission",
"Timeframe: 2002 onwards",
"Genetic resources",
"Action 26",
"The Commission and the Member States will support the conservation and sustainable use of genetic resources in developing countries and their equitable sharing of benefits arising from their use by:",
"(i) Supporting the development and enforcement of effective measures to conserve, to use sustainably and to provide access to genetic resources and traditional knowledge, as well as to share equitably the benefit arising from them, including income generated by intellectual property protection. Support for local communities is vital to conserve indigenous knowledge and genetic resources.",
"(ii) Supporting the participation of delegates from developing countries in the negotiations of relevant International Conventions.",
"(iii) Supporting measures to promote greater regional co-ordination in legislation to minimise disparities in access, benefits and also trade in products derived from genetic resources, in accordance with international commitments.",
"Implementer: Member States, Commission",
"Timeframe: 2002 onwards",
"Health",
"Action 27",
"The Commission and the Member States should work with the international community to concretise the commitment to research to combat HIV/AIDS, malaria, TB and other main poverty-related diseases and also identify effective measures to support developing countries in establishing the structures needed to deploy a health policy.",
"Implementer: Member States, Commission",
"Timeframe: 2002 onwards",
"Responsible and careful use",
"Action 28",
"The Commission should support:",
"(i) The safe and effective use of modern biotechnologies in developing countries, based on their autonomous choice and on their national development strategies.",
"(ii) Measures to increase the capacity of developing countries to assess and manage risk for man and the environment, under conditions prevailing in the country.",
"(iii) The development of appropriate administrative, legislative and regulatory measures in the developing countries, for the proper implementation of the Cartagena Protocol.",
"(iv) That international research on social, economical and environmental impacts are effectively adapted to take into account conditions prevailing in developing countries and that the findings are subsequently disseminated to them in an appropriate format.",
"(v) That the international regulatory requirements remain manageable by developing countries, so as not to impede their trade and production prospects.",
"Implementer: Commission",
"Timeframe: 2002 onwards",
"Annex II",
"[ENGLISH ONLY]",
"AN EXAMPLE FROM THE UK: FORESIGHT.",
"INFECTIOUS DISEASES: PREPARING FOR THE FUTURE",
"1. The 'Foresight' programme is owned by the Office of Science and Innovation in the United Kingdom with the aim of producing challenging visions of the future in order to ensure effective strategies now. It has produced reports in several different areas. One of its most recent projects was on infectious diseases and it aimed to use the best available science to evaluate the threats of infectious diseases in humans, animals and plants over the next 10-25 years; and to produce a vision for their management, specifically through systems for detection, identification and monitoring. The project involved more than 300 scientists, experts and stakeholders from around 30 countries. The project findings, which are available at http://www.foresight.gov.uk/Detection_and_Identification_of_Infectious_Diseases/Reports_and_Publications/Final_Reports/E1_ID_Executive_Summary.pdf, provide a considerable body of scientific analysis and fresh insights to inform policy development by the relevant stakeholders at both national and international levels.",
"2. The project resulted in the development of an action plan, which includes, inter alia:",
"(i) Building a more sustained, pro-active and integrated approach to international surveillance for infectious diseases of humans, animals and plants;",
"(ii) Developing effective and sustainable partnerships between richer and poorer countries that help provide infrastructure, technologies and skills to support detection, identification and monitoring activities, specifically the UK and Africa;",
"(iii) A wide range of stakeholders will need to act together if the benefits are to be realised.",
"3. Participants in the action plan include national and international bodies concerned with infectious diseases, and research funders.",
"4. Under the auspices of the project a Pan-African Workshop was held in Uganda in August 2005, in collaboration with leading African experts. The project report notes that: \"In August 2005, a ground-breaking workshop was held in Entebbe, Uganda, concerning the future of infectious disease in Africa. This event was unprecedented in Africa and perhaps worldwide, since it brought together leading disease experts spanning plant, animal and human health. The aim was to take a fresh look at this crucial topic and to inject fresh thinking. The event involved experts from 14 African countries, African institutions, and important international organisations such as the World Organisation for Animal Health (OIE), the Food and Agriculture Organisation of the United Nations (FAO), the World Health Organisation (WHO), the Bill and Melinda Gates Foundation, and the Gatsby Foundation. The event generated a wealth of expert advice about the future challenges facing Africa, and options for response.\"",
"Annex III",
"[ENGLISH ONLY]",
"FINNISH CENTRE FOR BIOTHREAT PREPAREDNESS",
"1. The Finnish Strategy to Secure Vital Functions of Society from November 2003 defined vital functions of Finnish society and established targets and development policies that would guide each administrative branch of the government in dealing with its strategic tasks. The strategy called for cooperation between each government sector in combating new threats towards society. According to the Government Report on Finnish Security and Defence Policy of 2004, terrorism and epidemics caused by infectious diseases were listed as key threats affecting national security.",
"2. Based on the above resolutions, the Centre for Biothreat Preparedness started operation in Helsinki in May 2005. The Centre, which will initially employ eight experts, is a centre of excellence for Finnish scientific and laboratory know-how on biological defence, as well as on biothreat assessment and preparedness. The Centre will actively seek domestic and international collaboration. The Centre is composed of two Units; the Biological Defence Unit of the Finnish Defence Forces, and the Biological Threat Unit of the National Public Health Institute, where scientific work will be carried out in a special biological safety laboratory (BSL-3).",
"3. The Finnish Defence Forces are developing their Territorial and Operational NBC Defence units for National Defence, as well as a NBC Detachment for the EU Battle Groups and other international tasks. The NBC Detachment will be equipped with a deployable, diagnostic biological and chemical (BC) laboratory. This field laboratory is under development and it will be operational in 2008.",
"4. The development of the Deployable BC Field Laboratory is led by Army Staff in cooperation with the Defence Forces Technical Research Centre and the Centre for Biothreat Preparedness, together with the Centre of Military Medicine. One of the Biothreat Centre’s initial operational tasks will be to establish the biosafety and microbial identification requirements for the BC laboratory. To achieve this, international collaboration with other countries as well as domestic collaboration between expert organisations is needed. The techniques that are developed for microbial identification are primarily based on molecular amplification of microbial genes to ensure laboratory safety and rapidity of the assays. Early microbiological diagnosis will enable timely medical intervention, before onset of possible severe clinical symptoms of those exposed to deliberate release of selected agents.",
"[1] This is one of a series of complementary papers submitted by the EU Member States for the consideration of States Parties. The Acceding Countries Bulgaria and Romania, the Candidate Countries Turkey, Croatia and the Former Yugoslav Republic of Macedonia, the Countries of the Stabilisation and Association Process and potential candidates Albania, Bosnia and Herzegovina, Serbia, as well as Ukraine and Republic of Moldova align themselves with this paper.",
"[2] Synthesis of considerations, lessons, perspectives, recommendations, conclusions and proposals drawn from the presentations, statements, working papers and interventions made by delegations on the topics under discussion at the meeting of experts, BWC/MSP/2004/3, Annex III",
"[3] BWC/MSP/2004/MX/INF.1, BWC/MSP/2004/MX/INF.2",
"[4] BWC/MSP/2004/3"
] | BWC_CONF.VI_WP.5 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"BTWC Article X",
"Proposal submitted by Finland on behalf of the European Union [1]",
"Introduction",
"1. The European Union adopted Common Position 2006/242/CFSP on 20 March 2006, which outlines the objectives and priorities of the Union for the Sixth Review Conference of the Biological and Toxin Weapons Convention in 2006. Article 3 of the Common Position mentions that the EU will prepare concrete, practical and feasible recommendations for consideration by the States Parties at the Review Conference on the effective strengthening of the implementation of the BTWC. This working paper is one of the above-mentioned set of recommendations and should be considered as part of the EU ' s comprehensive approach to strengthening the BTWC and its implementation.",
"II. Article X of the Biological and Toxin Weapons Convention",
"2. Article X of the Convention provides that States parties to the Convention have the right to participate in and undertake to promote the exchange of equipment, materials and information, as well as scientific and technical cooperation in the use of biological agents for peaceful purposes. In addition, article X requires that the implementation of the Convention should avoid hampering the development of States parties or international cooperation in peaceful biological activities. In reviewing the implementation of Article X, previous Review Conferences of the Convention have proposed a number of principles, objectives and measures to enhance implementation.",
"3. The Sixth Review Conference will address Article X in its article-by-article review of the operation of the Convention. Since the Fifth Review Conference, in addition to rapid advances in bioscience and biotechnology, there have been a number of developments at the global, regional and national levels that are highly relevant to Article X. This working paper assesses relevant developments and discusses possible actions related to Article X to be agreed upon at the Sixth Review Conference.",
"III. RECENT DEVELOPMENTS RELATING TO THE IMPLEMENTATION OF ARTICLE X",
"4. Given the wide range of peaceful biological activities and the considerable international cooperation on these issues, only a few recent relevant developments will be highlighted here:",
"(1) The Meeting of States Parties to the Convention held in December 2004 and its Expert Preparatory Meeting held in July 2004 were found to have been very successful in discussing and promoting common understanding and effective action on surveillance, detection, diagnosis and combating of infectious diseases.",
"(2) Following the adoption by the World Health Assembly in 2001 and 2002 of resolutions on global health security and on public health preparedness and response to the deliberate use of biological and chemical agents or radioactive nuclear materials that affect health, WHO has sought to enhance its capacity on diseases related to possible biological weapons agents, as well as FAO, OIE and the International Plant Protection Convention.",
"(3) The 2005 amendments to the International Health Regulations will be implemented from 2007.",
"(4) The Cartagena Protocol on Biosafety entered into force in 2003 and a subsequent clearing-house mechanism, including capacity-building, was established to ensure that all Parties to the Protocol are able to implement its provisions and facilitate the exchange of information on biosafety.",
"(5) Other ongoing intergovernmental and non-governmental efforts in biotechnology and biodiversity at the global and regional levels, including relevant work of the International Centre for Genetic Engineering and Biotechnology, the International Plant Genetic Resources Institute, UNEP, UNESCO, UNIDO and the UNDP/UNEP/World Bank Global Environment Facility, the OECD Biotechnology Initiative, including the possible establishment of a global network of bioresource centres, and several NGO and networking initiatives.",
"(6) Strong international efforts to prevent the spread of avian influenza.",
"(7) The rapid growth of international biological and biotechnology cooperation from the private sector has greatly facilitated the exchange of technology and information on disease prevention or other peaceful uses.",
"5. The European Union and its member States are actively participating in the above-mentioned global efforts, in addition to undertaking a number of specific actions in support of the implementation of Article X of the Convention, including:",
"(1) Implementation of the 2002 EU Strategy on Life Sciences and Biotechnology and its related Action Plan, which also includes international cooperation and European responsibility for the developing world (see annex I, English only).",
"(2) The European Centre for Disease Control and Prevention was established in 2005 and its mandate also includes assistance to third countries.",
"(3) EU development cooperation commitments in a number of relevant sectors, ranging from health and agriculture to assistance in meeting sanitary and phytosanitary requirements, and EU and its member States are the world ' s largest providers of development assistance.",
"(4) EU cooperation programmes in education and research policy, particularly in higher education, are integrated into the EU research framework programme international cooperation activities and EU-funded research, particularly in the areas of biosafety, infectious diseases and biotechnology.",
"(5) European Union emergency assistance, such as primary health care for 90,000 people in the Asian tsunami, and safe drinking water and sanitation for more than 880,000 people.",
"6. The Sixth Review Conference should acknowledge the progress made in the implementation of Article X and recognize the contribution of the above and other ongoing international, regional, bilateral and national efforts to the effective implementation of Article X.",
"Monitoring, detection, diagnosis and combating of infectious diseases",
"7. The EU welcomes the preparations for the 2004 Meeting of States Parties and the discussions and conclusions of the Meeting of States Parties, in particular the Chairman ' s consolidated paper[2] and the background documentation provided by the Secretariat. [3]",
"8. At the Sixth Review Conference, States Parties should reaffirm the conclusions of the 2004 Meeting of States Parties and agree on the following actions:",
"(1) States Parties shall continue to strengthen existing international organizations and networks, in particular those of WHO, FAO, OIE and IPPC, as well as non-governmental actors working on infectious diseases.",
"(2) States Parties shall promote cooperation and complementarities among the above-mentioned organizations, acting within their respective spheres of competence.",
"(3) The States Parties should reaffirm that the strengthening of the disease programmes of WHO, FAO, OIE and IPPC related to possible biological weapons agents should be carried out strictly within the competence of these organizations. States Parties should note that the role of these organizations is limited to the epidemiological and public/animal/vegetative aspects of any outbreak of disease, but recognize the added value of exchanging information with them.",
"(4) While recognizing that well-functioning health service systems are key to ensuring adequate preparedness and response to disease outbreaks, States Parties should continue to build and/or improve national and regional capacities to investigate, detect, diagnose and combat infectious diseases and integrate these efforts into national emergency and disease management plans. With regard to expert capacity, States Parties are encouraged to explore innovative arrangements that would help to optimize the use of scarce resources (see, for example, annex II (English only) on the United Kingdom “foresee” programme and annex III (English only) on the Finnish Biothreat Preparedness Centre).",
"(5) States Parties shall use, to the extent possible, existing standards, guidelines and recommendations. In particular, States parties should endeavour to implement the WHO Code of Laboratory and Clinical Procedures, the FAO Code of Emergency Management and the International Plant Protection Convention Code of Monitoring.",
"(6) States Parties shall endeavour to improve the communication of information on disease surveillance at all levels, including with WHO, FAO, OIE, IPPC and NGOs, as well as with States Parties, and to make use of information from civil society sources.",
"(7) States Parties in a position to do so should continue to support, directly and through international organizations, the capacity-building of States Parties in need of assistance in monitoring, detection, diagnosis and combating infectious diseases and related research.",
"(8) States Parties shall promote the development and production of vaccines, including through international cooperation and public-private partnerships.",
"(9) States Parties should continue to share their experiences and best practices in this regard, in particular by considering discussing the detection of pathogens and real-time responses to epidemics at the BTWC intersessional meeting in October 2007.",
"Further actions to enhance the implementation of Article X",
"9. The previous Review Conferences of the Biological and Toxin Weapons Convention have developed a broad common understanding of the actions required to implement Article X, as reflected, inter alia, in the Final Declaration of the Fourth Review Conference. At the Sixth Review Conference, States Parties should review these understandings with a view to reaffirming them and should pay particular attention to:",
"(1) Increased awareness of the risks of bioterrorism requires urgent and vigorous efforts by all States Parties to implement BTWC commitments domestically. In order to build the interdependence between the strengthening of biosafety and the promotion of biosciences and biotechnology, States parties should recognize the importance of effective implementation of the Convention by all States around the world to make full use of the immense potential of life for peaceful purposes.",
"(2) Recognizing the important role of the private sector in the transfer of technology and information, States Parties should increasingly involve private sector actors in efforts to strengthen the implementation of Article X at the national, regional and international levels.",
"(3) Future Review Conferences will benefit from more comprehensive information on the implementation of Article X, including information on needs and efforts identified by the States Parties concerned. States Parties shall voluntarily share this information with other States Parties, and the Secretariat shall facilitate this exchange of information.",
"Annax I",
"[ENGLISH ONLY]",
"EXTRACT FROM: LIFE SCIENCEs AND BIOTECHNOLOGOY – A STRATEGY FOR EUROPE, COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, THE EUROPEAN PALIAMENT, THE ECONOMIC AND SOCIAL AND THE COMMITE AND THE COMMITETEE",
"A European Agency for International Cooperation",
"Action 24",
"The Commission should continue to play a role in developing international guidelines, standing and responding to problems, based on international scientific considerations and, in part, on the development of a relationship, science-based, trained, integrated and integrated international systems.",
"Implementer: Commission",
"Timeframe: 2002 onwards",
"Europe's Responsabilities Towards the Development World",
"Agraciculture",
"Action 25",
"The Commission will in co-operation with Meber States support:",
"The redefining of national research studies an application mix of technical technologies and new technologies, based on research developed with local markets.",
"(ii) The administration of effective research partners between public and private research organizations in developing countries and in the EU, and the accounting capacity for developing countries, in order to enter such partnerships, in order to assess with international committees.",
"Sub-regional, regional and international organizations, in part the International Agrosultural Research Centres.",
"Member States, Commission",
"Timeframe: 2002 onwards",
"General Resources",
"Action 26",
"The Commission and the Member States will support the provision and serviceable use of general resources in developing countries and their equitable share of benefacts arising from their use by:",
"(i) Supporting the development and implementation of effective assessments to serve, to use continuous access and to provide access to natural resources and technical knowledge, as well as as to share information from them, including inability by international practice.",
"Supporting the parties from developing countries in the context of international conventions.",
"Supporting measures to promote voluntary co-operation in legalization in access, benefits and also made from general resources, in access with international decisions.",
"Member States, Commission",
"Timeframe: 2002 onwards",
"Heather.",
"Action 27",
"The Commission and the Member States should work with the international community to discuss the situation to develop a comprehensive health policy.",
"Member States, Commission",
"Timeframe: 2002 onwards",
"I'm sorry.",
"Action 28",
"The Commission should support:",
"The safe and effective use of mobile biotechnologies in developing countries, based on their annual choice and on their national development strategies.",
"Measures to include the capacity of developing countries to assess and manage risk for man and the environment, under conditions prevailing in the country.",
"The development of approximation, legislative and regular measures in the developing countries, for the programme of the Cartagena Protocol.",
"(iv) That international research on social, economic and environmental impacts are effectively employed to take into account cases prevailing in developing countries and that the finders are subsecutely dissemination to them in an application format.",
"(v) That the international responses are sustainable by developing countries, so as not to imppee their trade and protection programmes.",
"Implementer: Commission",
"Timeframe: 2002 onwards",
"Annex II",
"[ENGLISH ONLY]",
"An EXAMLE FROM THE UK: FORESIGHT.",
"INFECOTIOUS DISEASES:",
"The 'Foresight' programme is owned by the Office of Science and India with the United Kingdom of Great Britain and Northern Ireland and the United Kingdom of Great Britain and Northern Ireland, and the United Kingdom of Great Britain and Northern Ireland, as well as the United Kingdom of Great Britain and Northern Ireland, as well as the United Kingdom of Great Britain and Northern Ireland, and the United Kingdom of Great Britain and Northern Ireland, as well as the United Kingdom of Great Britain and Northern Ireland, and the United Kingdom of Great Britain and Northern Ireland.",
"2. The project was reported in the development of an action plan, which includes:",
"(i) Building a more disciplined, pro-active and institutionalized application to international security interests of humans, animals and plans;",
"(ii) Developing experiences and capable partners between richer and proorer countries that help work in crime, technologies and skills to support development, cooperation and monitoring activities,",
"A wide range of stakeholds will need to act together if the benefactors are to be remitted.",
"3. Partners in the action plan include national and international bodies informed with inecstasies, and research funders.",
"The project reports that: \"In August 2005, a project is being carried out in Europe, Uganda, taking the life of the people of Africa, and taking it into account the people of Africa.",
"Annex III",
"[ENGLISH ONLY]",
"FINNISH CONTRE FOR BIOTHREAT PREPAREDES",
"1. The Finnish Standard of Civil Operations of 2003 designated voluntary operations of Finnish society and development policies that would provide guidance to the Government in dealing with its own laws and procedures, the system called for cooperation by each government officials in order to ensure the success of such operations.",
"2. Based on the organic laws, the Centre for Biothreat Prepardness started operation in Helsinki in May 2005. The Centre, which will actually see the official development of the Caribbean, is of a global nature.",
"3. The Finnish Defense Forces are developing their technical and operational NBC data for national development, as well as a NBC Data Management for the EU Battle Groups and other international procedures.",
"The company of BC Laboratory was chosen by Army Staff in the Office of Legal Affairs and the Centre for Biothreat Technical Cooperation, with the Centre of the Commonwealth of Belgium.",
"[1] This is one of a series of supplementary documents submitted by EU member States for consideration by States Parties. The acceding countries Bulgaria and Romania, the candidate countries Turkey, Croatia and the former Yugoslav Republic of Macedonia, the countries of the Stabilization and Association Process and potential candidates Albania, Bosnia and Herzegovina and Serbia, as well as Ukraine and the Republic of Moldova, support this document.",
"[2] Synthesis of considerations, lessons, perspectives, recommendations, conclusions and proposals drawn from the presentations, statements, working papers and statements made by delegations on the topics discussed at the Meeting of Experts, BWC/MSP/2004/3, annex III.",
"[3] BWC/MSP/2004/MX/INF.1, BWC/MSP/2004/MX/INF.2.",
"[4] BWC/MSP/2004/3."
] |
[
"《关于禁止发展、生产和储存细菌(生物) BWC/CONF.VI/WP.6 及毒素武器和销毁此种武器的公约》 20 October 2006 缔约国第六次审查会议 CHINESE Original: ENGLISH",
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查《公约》的实施情况",
"促进普遍加入《生物和毒素武器公约》",
"意大利代表欧洲联盟提交 [1]",
"1. 欧洲联盟认为，《生物和毒素武器公约》是国际不扩散和裁军框架的一个重要组成部分，是努力预防作为武器开发和使用生物制剂和毒素的基础。欧洲联盟的全部25个成员国以及两个加入国都是《生物和毒素武器公约》的缔约国，该公约禁止可能对文明造成巨大破坏的所有大规模毁灭性武器。2003年12月通过的反对大规模毁灭性武器扩散战略以及2003年11月17日第805号共同立场清楚地表明，欧盟致力于普及和加强不扩散大规模毁灭性武器及其运载工具领域的多边协定，包括 《生物和毒素武器公约》。欧盟还同意把对不扩散问题的关注纳入与其他国家的对话之中，包括通过在与第三国的协定中增加一个不扩散条款。",
"2. 联合国安全理事会第1540(2004)号决议(经第1673(2006)号决议扩充) ――申明支持旨在消除或防止核生化武器扩散的各项多边条约”，并欢迎多边安排在这方面所作的有助于不扩散的努力――特别号召所有国家促进普遍通过和全面执行其为缔约方的旨在防止大规模毁灭性武器扩散的各项多边条约，包括《生物和毒素武器公约》。迄今为止，虽然《生物和毒素武器公约》的成员国看来为数众多(155个国家)，但仍比《不扩散条约》或《化学武器公约》的成员国少很多。",
"3. 因此，借助2006年3月20日第2006/242/CFSP号共同立场――在筹备《生物和毒素武器公约》第六次审查会议中通过的――欧洲联盟重申，其优先重视促进所有国家普遍加入《公约》，包括呼吁所有非缔约国毫不迟延地加入《公约》并在法律上承诺裁减和不扩散生物和毒素武器。在尚未加入《公约》期间，欧盟鼓励这些国家作为观察员出席《生物和毒素武器公约》缔约国会议和《生物和毒素武器公约》审查进程，并在自愿的基础上执行《公约》条款。",
"4. 另外，2006年2月27日，欧洲联盟采取了一项联合行动，以支持――除其他外――《生物和毒素武器公约》的普遍化，特别是通过区域和分区域研讨会促进非缔约国(签署国及非签署国)的加入。2006年将组织五个这样的研讨会――分别在西非和中部非洲、东部非洲和南部非洲、中东、亚洲和太平洋岛屿、拉丁美洲和加勒比――目的是鼓励更多的国家加入《公约》(从而加强《生物和毒素武器公约》的执行)，并阐明加入《公约》的好处和结果。这些倡议的另一个目的是了解在加入《公约》方面的障碍以及非《生物和毒素武器公约》缔约国的可能需要，并在必要时，提供技术(行政和法律)援助，以便利它们加入该条约。由于欧洲的安全与地中海的安全与稳定息息相关，欧洲联盟特别重视该地区普遍加入《生物和毒素武器公约》的问题。",
"5. 从这一视角来看，欧洲联盟坚信，光是普遍加入《生物和毒素武器公约》还不够，所有缔约国，包括将来加入《公约》的国家，还必须在国内全面执行《公约》的所有义务和规定。全球加入《生物和毒素武器公约》但在国内不严格执行《公约》，就有可能使《公约》成为一纸空文，于《公约》的目标无益。因此，上面提到的联合行动还旨在向《生物和毒素武器公约》缔约国提供援助(包括通过欧盟专家的访问)，以帮助它们确保通过以下方式将《公约》规定的国际义务转化为国内立法和行政措施：",
"(1) 通过国内立法，包括刑事立法，将《公约》所禁止的一切包括在内；",
"(2) 有效的条例或立法以控制和监督有关的两用技术的转让；以及",
"(3) 有效的实施和执法以预防并惩治违反行为。",
"6. 在筹备第六次审查会议的过程中，欧洲联盟还对尚未签署或批准《公约》的国家做了一些工作支持《生物和毒素武器公约》普遍化，强调早日加入《生物和毒素武器公约》在政治、安全和经济方面的下述好处：",
"(1) 在政治上，这证明加入国是国际社会中负责任的一员，它承诺履行《生物和毒素武器公约》所规定的一切义务并与其他国家一起努力防止生物武器被用来从事恐怖主义活动；",
"(2) 这会带来安全方面的好处，因为每个缔约国都承诺提供或支持对任何提出请求的《公约》缔约国的援助，如果联合国安全理事会认定违反《公约》的行为致使该缔约国遭受威胁的话；",
"(3) 这会给缔约国带来经济方面的好处，因为可以为和平目的利用生物制剂而参与设备、材料和信息的交换；",
"(4) 这会鼓励在为和平目的进一步发展和应用细菌学及其他相关领域的科学发现方面进行国际合作以及",
"(5) 这有助于遵守联合国安全理事会第1540/2004号决议，该决议特别呼吁各国(第8(a)和(c)段)，“促进普遍批准、全面执行……旨在防止核生化武器扩散的……各项多边条约”以及“重申和履行进行多边合作的承诺，尤其是在……《生物和毒素武器公约》的框架内，这是谋求和实现不扩散领域内共同目标和促进为和平目的开展国际合作的重要途径”。",
"7. 在该框架内，欧洲联盟仍然极为不安地注意到，尽管《生物和毒素武器公约》作为一个促进和平与安全的手段具有重要意义并且迅速加入《公约》会带来各种好处，但有16个国家签署但未批准《公约》，有24个国家尚未签署《公约》(列于附件一，只有英文文本)。",
"8. 在这一背景下，欧洲联盟认为，审查会议有必要号召《生物和毒素武器公约》的缔约国促进和加强外交活动，鼓励非缔约国毫不迟延地加入《公约》，进一步推动更多的国家加入《生物和毒素武器公约》。欧洲联盟认为，第六次审查会议应考虑通过一个普遍性战略，以促进更多的国家加入《公约》。该战略将包括以下行动：",
"(1) 建立一个国家(及区域)《生物和毒素武器公约》联络点网络，目的是，除其他外，促进这一普遍性战略的执行。这些联络点将在非正式的基础上建立。请缔约国告知其他缔约国以及设在联合国裁军部的《生物和毒素武器公约》秘书处其“联络点”的信息，如果详情有变则提供最新信息；欧盟成员国建立了这样的联络点，详情列于本文件附件二(只有英文文本)；",
"(2) 缔约国在所有相关论坛中有效促进《生物和毒素武器公约》的普遍性，包括在区域、分区域和相关的国际组织中，如果可行的话，与这些组织采取联合行动；",
"(3) 作为闭会期间工作的一部分，制定措施以帮助准备加入《公约》的国家在国内开展执行《公约》的筹备工作；",
"(4) 在与非缔约国的双边联系中，促进加入或批准《生物和毒素武器公约》 并提议对准备成为《公约》缔约国的国家进行双边援助访问以帮助它们作出这一努力；",
"(5) 举办区域和分区域的讨论会和讲习班，以宣传《公约》的目的和意图，向可能的缔约国宣讲《公约》所规定的义务并概述在加入和在国内执行措施方面可以获得的帮助；",
"(6) 制定和执行措施以提高对《公约》及《公约》工作的认识，包括用正式语文出版闭会期间活动和审查会议的最后文件；",
"(7) 缔约国利用诸如欧盟大规模毁灭性武器条款等手段，在与非缔约国的双边、区域及其他协定中促进《生物和毒素武器公约》。",
"9. 鼓励缔约国执行它们能够采取的上述措施，并通过联合国裁军事务部《生物和毒素武器公约》秘书处分享信息，以便与其他缔约国协调执行活动，实现效力最大化。",
"10. 此外，欧盟认为，缔约国应在2011年《生物和毒素武器公约》第七次审查会议上评估这一普遍性战略的有效性和有用性。对在促进《生物和毒素武器公约》方面取得的进展的中期评估和总结可以在该会议之前的任何一次闭会期间缔约国会议上进行。",
"Annex I",
"[ENGLISH ONLY]",
"BIOLOGICAL AND TOXIN WEAPONS CONVENTION",
"As of 29 August 2006, 16 States have signed but not ratified:",
"1.",
"2. Burundi",
"3. Central African Republic",
"4. Côte d'Ivoire",
"5. Egypt",
"6. Gabon",
"7. Guyana",
"8. Haiti",
"9. Liberia",
"10. Madagascar",
"11. Malawi",
"12. Myanmar (Burma)",
"13. Nepal",
"14. Somalia",
"15. Syrian Arab Republic",
"16. United Arab Emirates",
"17. United Republic of Tanzania",
"As of 29 August 2006, 24 States have not signed:",
"1.",
"2. Andorra",
"3. Angola",
"4. Cameroon",
"5. Chad",
"6. Comoros",
"7. Cook Islands",
"8. Djibouti",
"9. Eritrea",
"10. Guinea",
"11. Israel",
"12. Kazakhstan",
"13. Kiribati",
"14. Marshall Islands",
"15. Mauritania",
"16. Micronesia (Federal States of)",
"17. Montenegro",
"18. Mozambique",
"19. Namibia",
"20. Nauru",
"21. Niue",
"22. Samoa",
"23. Trinidad and Tobago",
"24. Tuvalu",
"25. Zambia",
"Annex II",
"[ENGLISH ONLY]",
"BTWC POINTS OF CONTACT OF EU MEMBER STATES",
"AUSTRIA",
"Alexander Benedict",
"Federal Ministry for Foreign Affairs",
"Department II.8 – Global Disarmament, Arms Control, Export",
"Control, Multilateral Atomic Energy Issues and IAEA",
"A-1014 Vienna, Minoritenplatz 8",
"tel: +43(0)501150 – 3354",
"fax : +43(0)501159 – 5354",
"web: www.bmaa.gv.at",
"e-mail: alexander.BENEDICT@bmaa.gv.at",
"CZECH REPUBLIC",
"Dr Ladislav Bartak",
"Director, Department for the Control of Non-Proliferation of Weapons of Mass Destruction",
"State Office for Nuclear Safety",
"Address: Senovážné nám. 9",
"110 00 Praha 1",
"Czech Republic",
"tel: +420226514665",
"fax: +420224223133",
"e-mail: ladislav.bartak@sujb.cz",
"CYPRUS",
"Panayiotis Papadopoulos",
"Ministry of Foreign Affairs",
"Political Affairs Division – Multilateral Relations",
"tel: +357 22 401152",
"fax: +357 22 661881",
"e-mail: ppapadopoulos@mfa.gov.cy",
"DENMARK",
"Casper S. Nervil",
"Head of Section, Dept. of Security Policy",
"Royal Danish Ministry of Foreign Affairs",
"Office 6 a 67",
"Asiatisk Plads 21448 Copenhagen K",
"Denmark",
"tel direct: +45 33 92 06 77",
"cell: +45 2545 9323",
"tel: + 45 33 92 00 00",
"fax: +45 33 92 18 04",
"e-mail: casner@um.dk",
"ESTONIA",
"Ketlin Süsmalainen",
"Ministry of Foreign Affairs",
"First Political Department, First Division",
"Islandi väljak 1",
"15049 Tallinn",
"Estonia",
"tel: +3726377100",
"fax : +372 637 7199",
"e-mail: ketlin.susmalainen@mfa.ee",
"FINLAND",
"Jani Raappana",
"Second Secretary",
"Asevalvonnan yksikkö/Unit for Arms Control, Disarmament",
"and Non-proliferation",
"P.O. Box 176",
"00161 Helsinki",
"tel: +358 9 1605 6030",
"cell: +358 400 954 492",
"fax: +358 9 1605 6066",
"e-mail: jani.raappana@formin.fi",
"FRANCE",
"Frédéric JUNG",
"Ministère des Affaires Etrangères",
"Sous-Direction du Désarmement chimique, biologique",
"et de la maîtrise des armements classique",
"37 Quai d’Orsay",
"75 700 PARIS 07 SP",
"tel.: +331 43174306",
"fax : +331 43174952",
"e-mail: frederic.jung@diplomatie.gouv.fr",
"GERMANY",
"Alexander Olbrich",
"Federal Foreign Office",
"Head of BW Division",
"Werderscher Markt §1",
"10117 Berlin",
"tel: +49(0)30 5000-4583",
"fax : + 49 (0) 30 5000-54583",
"e-mail: 243-rl@auswaertiges-amt.de",
"ITALY",
"Raffaele De Benedictis",
"Permament Mission of Italy to the Conference on Disarmament",
"Geneva",
"tel: +4122 9180252",
"fax: +4122 7400715",
"e-mail: raffaele.debenedictis@esteri.it",
"LITHUANIA",
"Martynas Lukosevicius",
"Attache",
"Arms Control, Non-proliferation and Disarmament Division",
"Security Policy Departments",
"Ministry of Foreign Affairs of the Republic of Lithuania",
"tel: +37052362429",
"e-mail: martynas.lucosevicius@urm.lt",
"NETHERLANDS",
"Wouter Wormgoor",
"Ministry of Foreign Affairs",
"Department of Security Policy / Nuclear Affairs and Non-proliferation",
"tel: +31 (0) 70 - 348 5089",
"fax: +31 (0) 70 - 348 5684",
"e-mail: wouter.wormgoor@minbuza.nl",
"POLAND",
"Mr. Tadeusz Chomicki",
"Deputy Director",
"Department of Security Policy",
"Ministry of Foreign Affairs",
"tel: +48 22 523 92 02",
"fax: +48 22 628 58 41",
"e-mail: tadeusz.chomicki@msz.gov.pl",
"Mr. Janusz Wawrzyniuk",
"Counsellor, Non-Proliferation Division",
"Department of Security Policy",
"Ministry of Foreign Affairs",
"tel: +48 22 523 89 19",
"fax: +48 22 523 93 03",
"e-mail: janusz.wawrzyniuk@msz.gov.pl",
"ROMANIA",
"Ms. Nineta Barbulescu",
"Counsellor",
"Nonproliferation, Arms Control and Combating Terrorism Office",
"Ministry of Foreign Affairs",
"tel: +4021 319 6857",
"fax: +4021 319 23 63",
"e-mail: Nineta.Barbulescu@mae.ro",
"SPAIN",
"Luis Gómez Nogueira",
"Head of Disarmament Unit",
"Ministry of Foreign Affairs and Cooperation",
"Serrano Galvache, 26",
"28071 MADRID (SPAIN)",
"tel: +34 91.379.1759",
"fax: +34 91.394.8647",
"e-mail: luis.gomez@mae.es",
"SWEDEN",
"Martin Åberg",
"Department for Disarmament and Non-proliferation",
"Ministry for Foreign Affairs",
"103 39 Stockholm Sweden",
"tel: +46 8 405 35 84",
"fax: +46 8 723 11 76",
"email: martin.aberg@foreign.ministry.se",
"SLOVENIA",
"Irina Gorsic, Counsellor",
"Ministry of Foreign Affairs of the Republic of Slovenia",
"Security Policy Division",
"Presernova 25 / SI - 1000 Ljubljana",
"tel: +386 1 478 12 50",
"fax: +386 1 478 22 29",
"e-mail: Irina.Gorsic@gov.si",
"UNITED KINGDOM",
"Ashi Brant",
"Desk Officer for BWC and CTBT",
"CBW Section",
"Counter Proliferation Department",
"Foreign and Commonwealth Office",
"tel: 0207 008 2247",
"fax : 0207 008 2680",
"e-mail: btwc@fco.gov.uk",
"[1] 这是欧盟成员国提交缔约国审议的一系列补充文件之一。加入国保加利亚和罗马尼亚、候选国土耳其、克罗地亚和前南斯拉夫的马其顿共和国、参与稳定与结盟进程的国家的可能的候选国阿尔巴尼亚、波斯尼亚和黑塞哥维那、塞尔维亚以及乌克兰和摩尔多瓦共和国也赞同本文件。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/WP.620 October 2006Original: ENGLISH",
"Geneva, 20 November – 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"INCREASING UNIVERSAL ADHERENCE TO THE BIOLOGICAL AND TOXIN WEAPONS CONVENTION (BTWC)",
"Submitted by Italy on behalf of the European Union[1]",
"1. The European Union considers the BTWC a key component of the international non-proliferation and disarmament framework and the cornerstone of efforts to prevent biological agents and toxins being developed and used as weapons. All 25 Member States of the European Union and two Acceding Countries are Party to the BTWC, which prohibits an entire class of weapons of mass destruction (WMD) which could potentially cause significant damage to civilisation. The Strategy against the proliferation of WMD adopted in December 2003, and Common Position 805 of 17 November 2003, clearly indicate the EU’s commitment towards the universalization and reinforcement of multilateral agreements in the field of non-proliferation of WMD and their means of delivery, including the BTWC. The EU has also agreed to integrate its non-proliferation concerns into its dialogue with other States including through the addition of a non-proliferation clause in agreements with third countries.",
"2. UN Security Council Resolution 1540 (2004) (extended by Resolution 1673(2006)) – “affirming its support for the multilateral treaties whose aim is to eliminate or prevent the proliferation of nuclear, chemical or biological weapons”, and welcoming efforts in this context by multilateral arrangements which contribute to non-proliferation – calls upon all States, inter alia, to promote the universal adoption and full implementation of multilateral treaties to which they are Party, including the BTWC, the aim of which is to prevent the proliferation of WMD. So far, while the membership of the BTWC may seem quite high (155 States), it remains nonetheless significantly lower than membership of the Non-Proliferation Treaty or of the Chemical Weapons Convention.",
"3. Therefore, with Common Position 2006/242/CFSP of 20 March 2006 - adopted in preparation for the Sixth BTWC Review Conference - the European Union reiterated its priority of fostering universal adherence of all States to the Convention, including calling on all States not Party to adhere to the Convention without further delay and to commit legally to the disarmament and non-proliferation of biological and toxin weapons. Pending their adherence to the Convention, the EU encourages such States to participate as observers in the meetings of States Party to the BTWC and in the BTWC Review Process and to implement its provisions on a voluntary basis.",
"4. And further, on 27 February 2006, the European Union adopted a Joint Action to support, inter alia, the universalization of the BTWC and, in particular, to promote accession by States not Party (signatory as well as non-signatory States) through regional and sub regional workshops. Five of them will be organised in 2006 - respectively in West and Central Africa, in Eastern and Southern Africa, in the Middle East, in Asia and in the Pacific Islands, in Latin America and in the Caribbean - with the aim of encouraging greater membership (and thereby enhanced implementation of the BTWC) and to explain the benefits and consequences of adhering to the Convention. An additional goal of those initiatives will be to understand the obstacles to membership and the possible needs of States not Party to the BTWC and, if needed, to offer technical (administrative and legal) assistance to facilitate their accession to the treaty. As security in Europe is closely linked to security and stability in the Mediterranean, the European Union attaches special importance to the issue of BTWC universalization in that area.",
"5. In this perspective, the European Union firmly believes that the universalization of the BTWC alone is not sufficient and it must be accompanied by full national implementation of all its obligations and provisions by all States Parties, including those which adhere in the future. Global adherence to the BTWC without strict national implementation risks creating an empty shell that would not serve the goals of the Convention. That is why the above-mentioned Joint Action also aims at providing assistance (including through visits of EU experts) to States Parties to the BTWC in order to help them to ensure that they transpose the international obligations of the Convention into their national legislation and administrative measures by:",
"(i) Adoption of national legislation, including penal legislation, which encompasses the full scope of the prohibitions of the Convention;",
"(ii) Effective regulations or legislation to control and monitor transfers of relevant dual-use technologies; and",
"(iii) Effective implementation and enforcement to prevent violations and to sanction breaches.",
"6. In the process of preparation for the Sixth Review Conference, the European Union has also been carrying out demarches supporting BTWC universalization vis-à-vis countries which have not yet signed or ratified the Convention, stressing the following political, security and economic benefits to be derived from early accession to the BTWC:",
"(i) Politically, it demonstrates that a State is a responsible member of the international community, committed to all obligations of the BTWC and multinational efforts to prevent BW terrorism;",
"(ii) It offers security benefits since each State Party undertakes to provide or support assistance to any Party to the Convention which so requests, if the UN Security Council decides that such Party has been exposed to danger as a result of violation of the Convention;",
"(iii) It offers economic benefits to States Party by participating in the exchange of equipment, materials and information for the use of biological agents for peaceful purposes;",
"(iv) It encourages international scientific cooperation in further development and application of scientific discoveries, in bacteriology and other relevant fields, for peaceful purposes; and",
"(v) It fosters compliance with UN Security Council Resolution 1540/2004, which calls upon States, inter alia (paragraphs 8(a) and (c)), “to promote the universal adoption and full implementation…of multilateral treaties ….whose aim is to prevent the proliferation of nuclear, biological and chemical weapons” and “to renew and fulfil their commitment to multilateral cooperation, in particular within the framework of ….the Biological and Toxin Weapons Convention, as important means of pursuing and achieving their common objectives in the area of non-proliferation and of promoting international cooperation for peaceful purposes”.",
"7. In that framework, the European Union continues to note with great concern that, notwithstanding the importance of the BTWC as an instrument for promoting peace and security and the benefits deriving from swift accession to it, 16 States have signed but not ratified it, while 24 countries have not yet signed it (listed in Annex I, in English only).",
"8. Against this background, the European Union deems it necessary for the Review Conference to call on States Parties to the BTWC to promote and intensify diplomatic activities to encourage States not Party to adhere to the Convention without delay and, further, to foster increased adherence to the BTWC the European Union believes that the Sixth Review Conference should consider adopting a Universality Strategy to promote increased adherence to the Convention. The Strategy would consist of the following actions:",
"(i) Establishment, of a network of national (and regional) BTWC “points of contact” inter alia to facilitate implementation of this Universality Strategy. These points of contact would be established on an informal basis. States Parties are requested to inform other States Parties and the UN DDA-based BTWC secretariat of their \"points of contact\" and to keep their information up to date if/as details change; EU Member States have established such contact points and these are listed in Annex II to this paper (English only);",
"(ii) Effective promotion of universality of the BTWC by its States Parties in all relevant fora, including in regional, sub-regional and relevant international organizations, and where practicable undertaking joint activities with such organizations;",
"(iii) As part of an intersessional process, development of measures to assist States ready to join the Convention in their national preparation for implementing it;",
"(iv) In bilateral contacts with States not Party, promoting accession or ratification of the BTWC and offering bilateral assistance visits to States that are ready to become a Party to the Convention to assist them with this effort;",
"(v) Regional and sub-regional seminars and workshops to promote the object and purpose of the Convention, inform prospective States Parties of the obligations under the Convention and outline available assistance for both accession and national implementation measures;",
"(vi) Establishment and implementation of measures to increase awareness of the Convention, and of the work of the BTWC, including publications in official languages of the final documents of the intersessional activities and of the Review Conferences;",
"(vii) Promotion of the BTWC by its States Parties in bilateral, regional and other agreements with States not Party, using tools such as the EU WMD clause.",
"9. States Parties are encouraged to implement the above measures that they are able to undertake and to coordinate their implementation to achieve maximum effectiveness with other States Parties through the sharing of information via the United Nations Department for Disarmament Affairs BTWC secretariat.",
"10. Further, the EU believes that the effectiveness and utility of this Universality Strategy should be assessed by the States Parties at the Seventh Review Conference of the BTWC in 2011. Intermediate evaluations and stocktaking of progress achieved in promoting the BTWC could be undertaken during any intersessional meetings of States Parties before that Conference.",
"Annex I",
"[ENGLISH ONLY]",
"BIOLOGICAL AND TOXIN WEAPONS CONVENTION",
"As of 29 August 2006, 16 States have signed but not ratified:",
"1.",
"2. Burundi",
"3. Central African Republic",
"4. Côte d'Ivoire",
"5. Egypt",
"6. Gabon",
"7. Guyana",
"8. Haiti",
"9. Liberia",
"10. Madagascar",
"11. Malawi",
"12. Myanmar (Burma)",
"13. Nepal",
"14. Somalia",
"15. Syrian Arab Republic",
"16. United Arab Emirates",
"17. United Republic of Tanzania",
"As of 29 August 2006, 24 States have not signed:",
"1.",
"2. Andorra",
"3. Angola",
"4. Cameroon",
"5. Chad",
"6. Comoros",
"7. Cook Islands",
"8. Djibouti",
"9. Eritrea",
"10. Guinea",
"11. Israel",
"12. Kazakhstan",
"13. Kiribati",
"14. Marshall Islands",
"15. Mauritania",
"16. Micronesia (Federal States of)",
"17. Montenegro",
"18. Mozambique",
"19. Namibia",
"20. Nauru",
"21. Niue",
"22. Samoa",
"23. Trinidad and Tobago",
"24. Tuvalu",
"25. Zambia",
"Annex II",
"[ENGLISH ONLY]",
"BTWC POINTS OF CONTACT OF EU MEMBER STATES",
"AUSTRIA",
"Alexander Benedict",
"Federal Ministry for Foreign Affairs",
"Department II.8 – Global Disarmament, Arms Control, Export",
"Control, Multilateral Atomic Energy Issues and IAEA",
"A-1014 Vienna, Minoritenplatz 8",
"tel: +43(0)501150 – 3354",
"fax : +43(0)501159 – 5354",
"web: www.bmaa.gv.at",
"e-mail: alexander.BENEDICT@bmaa.gv.at",
"CZECH REPUBLIC",
"Dr Ladislav Bartak",
"Director, Department for the Control of Non-Proliferation of Weapons of Mass Destruction",
"State Office for Nuclear Safety",
"Address: Senovážné nám. 9",
"110 00 Praha 1",
"Czech Republic",
"tel: +420226514665",
"fax: +420224223133",
"e-mail: ladislav.bartak@sujb.cz",
"CYPRUS",
"Panayiotis Papadopoulos",
"Ministry of Foreign Affairs",
"Political Affairs Division – Multilateral Relations",
"tel: +357 22 401152",
"fax: +357 22 661881",
"e-mail: ppapadopoulos@mfa.gov.cy",
"DENMARK",
"Casper S. Nervil",
"Head of Section, Dept. of Security Policy",
"Royal Danish Ministry of Foreign Affairs",
"Office 6 a 67",
"Asiatisk Plads 21448 Copenhagen K",
"Denmark",
"tel direct: +45 33 92 06 77",
"cell: +45 2545 9323",
"tel: + 45 33 92 00 00",
"fax: +45 33 92 18 04",
"e-mail: casner@um.dk",
"ESTONIA",
"Ketlin Süsmalainen",
"Ministry of Foreign Affairs",
"First Political Department, First Division",
"Islandi väljak 1",
"15049 Tallinn",
"Estonia",
"tel: +3726377100",
"fax : +372 637 7199",
"e-mail: ketlin.susmalainen@mfa.ee",
"FINLAND",
"Jani Raappana",
"Second Secretary",
"Asevalvonnan yksikkö/Unit for Arms Control, Disarmament",
"and Non-proliferation",
"P.O. Box 176",
"00161 Helsinki",
"tel: +358 9 1605 6030",
"cell: +358 400 954 492",
"fax: +358 9 1605 6066",
"e-mail: jani.raappana@formin.fi",
"FRANCE",
"Frédéric JUNG",
"Ministère des Affaires Etrangères",
"Sous-Direction du Désarmement chimique, biologique",
"et de la maîtrise des armements classique",
"37 Quai d’Orsay",
"75 700 PARIS 07 SP",
"tel.: +331 43174306",
"fax : +331 43174952",
"e-mail: frederic.jung@diplomatie.gouv.fr",
"GERMANY",
"Alexander Olbrich",
"Federal Foreign Office",
"Head of BW Division",
"Werderscher Markt §1",
"10117 Berlin",
"tel: +49(0)30 5000-4583",
"fax : + 49 (0) 30 5000-54583",
"e-mail: 243-rl@auswaertiges-amt.de",
"ITALY",
"Raffaele De Benedictis",
"Permament Mission of Italy to the Conference on Disarmament",
"Geneva",
"tel: +4122 9180252",
"fax: +4122 7400715",
"e-mail: raffaele.debenedictis@esteri.it",
"LITHUANIA",
"Martynas Lukosevicius",
"Attache",
"Arms Control, Non-proliferation and Disarmament Division",
"Security Policy Departments",
"Ministry of Foreign Affairs of the Republic of Lithuania",
"tel: +37052362429",
"e-mail: martynas.lucosevicius@urm.lt",
"NETHERLANDS",
"Wouter Wormgoor",
"Ministry of Foreign Affairs",
"Department of Security Policy / Nuclear Affairs and Non-proliferation",
"tel: +31 (0) 70 - 348 5089",
"fax: +31 (0) 70 - 348 5684",
"e-mail: wouter.wormgoor@minbuza.nl",
"POLAND",
"Mr. Tadeusz Chomicki",
"Deputy Director",
"Department of Security Policy",
"Ministry of Foreign Affairs",
"tel: +48 22 523 92 02",
"fax: +48 22 628 58 41",
"e-mail: tadeusz.chomicki@msz.gov.pl",
"Mr. Janusz Wawrzyniuk",
"Counsellor, Non-Proliferation Division",
"Department of Security Policy",
"Ministry of Foreign Affairs",
"tel: +48 22 523 89 19",
"fax: +48 22 523 93 03",
"e-mail: janusz.wawrzyniuk@msz.gov.pl",
"ROMANIA",
"Ms. Nineta Barbulescu",
"Counsellor",
"Nonproliferation, Arms Control and Combating Terrorism Office",
"Ministry of Foreign Affairs",
"tel: +4021 319 6857",
"fax: +4021 319 23 63",
"e-mail: Nineta.Barbulescu@mae.ro",
"SPAIN",
"Luis Gómez Nogueira",
"Head of Disarmament Unit",
"Ministry of Foreign Affairs and Cooperation",
"Serrano Galvache, 26",
"28071 MADRID (SPAIN)",
"tel: +34 91.379.1759",
"fax: +34 91.394.8647",
"e-mail: luis.gomez@mae.es",
"SWEDEN",
"Martin Åberg",
"Department for Disarmament and Non-proliferation",
"Ministry for Foreign Affairs",
"103 39 Stockholm Sweden",
"tel: +46 8 405 35 84",
"fax: +46 8 723 11 76",
"email: martin.aberg@foreign.ministry.se",
"SLOVENIA",
"Irina Gorsic, Counsellor",
"Ministry of Foreign Affairs of the Republic of Slovenia",
"Security Policy Division",
"Presernova 25 / SI - 1000 Ljubljana",
"tel: +386 1 478 12 50",
"fax: +386 1 478 22 29",
"e-mail: Irina.Gorsic@gov.si",
"UNITED KINGDOM",
"Ashi Brant",
"Desk Officer for BWC and CTBT",
"CBW Section",
"Counter Proliferation Department",
"Foreign and Commonwealth Office",
"tel: 0207 008 2247",
"fax : 0207 008 2680",
"e-mail: btwc@fco.gov.uk",
"[1] This is one of a series of complementary papers submitted by the EU Member States for the consideration of States Parties. The Acceding Countries Bulgaria and Romania, the Candidate Countries Turkey, Croatia and the Former Yugoslav Republic of Macedonia, the Countries of the Stabilisation and Association Process and potential candidates Albania, Bosnia and Herzegovina, Serbia, as well as Ukraine and Republic of Moldova align themselves with this paper."
] | BWC_CONF.VI_WP.6 | [
"Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction",
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Promotion of universalization of the Biological and Toxin Weapons Convention",
"Submitted by Italy on behalf of the European Union [1]",
"1. The European Union considers the Biological and Toxin Weapons Convention (BTWC) to be an important component of the international non-proliferation and disarmament framework and a basis for efforts to prevent the development and use of biological agents and toxins as weapons. All 25 member States of the European Union, as well as two acceding States, are parties to the Biological and Toxin Weapons Convention, which prohibits all weapons of mass destruction that could cause great damage to civilization. The Strategy against the Proliferation of Weapons of Mass Destruction, adopted in December 2003, and Common Position No. 805 of 17 November 2003, clearly demonstrate the EU ' s commitment to the universalization and strengthening of multilateral agreements in the field of non-proliferation of weapons of mass destruction and their means of delivery, including the Biological and Toxin Weapons Convention. The EU also agreed to include non-proliferation concerns in its dialogue with other States, including through the inclusion of a non-proliferation clause in agreements with third States.",
"United Nations Security Council resolution 1540 (2004), as expanded by resolution 1673 (2006), which affirms its support for multilateral treaties aimed at eliminating or preventing the proliferation of nuclear, biological or chemical weapons, and welcomes the efforts of multilateral arrangements in this regard that contribute to non-proliferation - - Calls in particular on all States to promote the universal adoption and full implementation of multilateral treaties to which they are parties, including the Biological and Toxin Weapons Convention, aimed at preventing the proliferation of weapons of mass destruction. To date, while the membership of the Biological and Toxin Weapons Convention appears to be large (155 States), it remains significantly smaller than that of the NPT or the Chemical Weapons Convention.",
"Accordingly, through Common Position 2006/242/CFSP of 20 March 2006, adopted in preparation for the Sixth Review Conference of the Biological and Toxin Weapons Convention, the European Union reaffirms the priority it attaches to promoting the universalization of the Convention by all States, including by calling upon all States not parties to accede to the Convention without delay and to undertake in law the reduction and non-proliferation of biological and toxin weapons. While not yet party to the Convention, the EU encourages these States to attend the BTWC Meeting of States Parties and the BTWC review process as observers and to implement the provisions of the Convention on a voluntary basis.",
"In addition, on 27 February 2006, the European Union took a joint action to support - among other things - the universalization of the Biological and Toxin Weapons Convention, in particular through regional and subregional seminars to promote accession by States not parties (signatory and non-signatory). In 2006, five such seminars will be organized - in West and Central Africa, Eastern and Southern Africa, the Middle East, Asia and the Pacific islands, and Latin America and the Caribbean - with the aim of encouraging more countries to accede to the Convention (to strengthen the implementation of the Biological and Toxin Weapons Convention) and to clarify the benefits and results of joining the Convention. Another objective of these initiatives is to understand the obstacles to accession to the Convention and the possible needs of States not parties to the Biological and Toxin Weapons Convention and, where necessary, to provide technical (administrative and legal) assistance to facilitate their accession to the Treaty. Since security in Europe is closely linked to security and stability in the Mediterranean, the European Union attaches particular importance to the universalization of the Biological and Toxin Weapons Convention in the region.",
"5. From this perspective, the European Union firmly believes that universalization of the Biological and Toxin Weapons Convention is not enough and that all States parties, including those that will accede to the Convention in the future, must fully implement all obligations and provisions of the Convention at the domestic level. A global adherence to the Biological and Toxin Weapons Convention, but not its strict domestic implementation, could make the Convention a dead letter and not serve its objectives. Thus, the Joint Action mentioned above is also intended to provide assistance to BTWC States Parties (including through visits by EU experts) to help them ensure that their international obligations under the Convention are translated into domestic legislation and administrative measures by:",
"(1) Adopt domestic legislation, including penal legislation, to cover all prohibited by the Convention;",
"(2) Effective regulations or legislation to control and monitor the transfer of relevant dual-use technologies; and",
"(3) Effective enforcement and enforcement to prevent and punish violations.",
"6. In preparation for the Sixth Review Conference, the European Union has also done some work in support of the universalization of the Biological and Toxin Weapons Convention (BTWC) for States that have not yet signed or ratified the Convention, stressing the following political, security and economic benefits of early accession to the BTWC:",
"(1) Politically, this proves that the acceding State is a responsible member of the international community and is committed to fulfilling all obligations under the Biological and Toxin Weapons Convention and to working with other States to prevent the use of biological weapons for terrorist purposes;",
"(2) This would have security benefits, as each State Party undertakes to provide or support assistance to any requesting State Party to the Convention if the United Nations Security Council finds that a violation of the Convention has put that State Party at risk;",
"(3) This would provide economic benefits to States Parties, as they could participate in the exchange of equipment, materials and information for peaceful purposes by using biological agents;",
"(4) This would encourage international cooperation in the further development and application of scientific discoveries in bacteriological and other related fields for peaceful purposes, and",
"(5) This contributes to compliance with United Nations Security Council resolution 1540/2004, which, inter alia, calls upon States (paras. 8 (a) and (c)), “to promote the universal adoption and full implementation of multilateral treaties ... whose aim is to prevent the proliferation of nuclear, biological or chemical weapons” and “to reaffirm and fulfil their commitment to multilateral cooperation, in particular within the framework of the ... Biological and Toxin Weapons Convention, as important means of pursuing and achieving their common objectives in the field of non-proliferation and of promoting international cooperation for peaceful purposes”.",
"7. Within this framework, the European Union remains extremely disturbed to note that, despite the importance of the Biological and Toxin Weapons Convention as a means of promoting peace and security and the benefits of prompt accession to the Convention, 16 States have signed but not ratified the Convention and 24 States have not signed the Convention (listed in annex I, in English only).",
"8. In this context, the European Union considers it necessary for the Review Conference to call upon States parties to the Biological and Toxin Weapons Convention to promote and strengthen diplomatic activities, to encourage States not parties to accede to the Convention without delay and to further promote further accessions to the Biological and Toxin Weapons Convention. The European Union believes that the Sixth Review Conference should consider adopting a universal strategy to promote greater adherence to the Convention. The strategy will include the following actions:",
"(1) The establishment of a network of national (and regional) BTWC focal points to, inter alia, facilitate the implementation of this universal strategy. These focal points will be established on an informal basis. States Parties are invited to inform other States Parties, as well as the BTWC Secretariat in the United Nations Department for Disarmament Affairs, of its “focal point” and, if the details change, to provide updated information; EU Member States have established such a point of contact, as detailed in Annex II to this document (English only);",
"(2) Effective promotion by States Parties of the universalization of the BTWC in all relevant fora, including joint action with regional, subregional and relevant international organizations, if feasible;",
"(3) As part of the intersessional work, develop measures to assist States preparing to accede to the Convention in their domestic preparations for its implementation;",
"(4) Promote, in bilateral contacts with States not parties, accession to or ratification of the Biological and Toxin Weapons Convention and propose bilateral assistance visits to States intending to become parties to the Convention to help them in this endeavour;",
"(5) Organization of regional and subregional seminars and workshops to promote the purpose and intent of the Convention, to inform potential States parties of their obligations under the Convention and to outline possible assistance in accession and domestic implementation measures;",
"(6) Develop and implement measures to raise awareness of the Convention and its work, including the publication of the final documents of intersessional events and review conferences in the official languages;",
"(7) States Parties use means such as EU WMD provisions to promote the BTWC in bilateral, regional and other agreements with States not parties.",
"9. States parties are encouraged to implement the above measures that they can take and to share information through the BTWC secretariat of the United Nations Department for Disarmament Affairs in order to coordinate implementation activities with other States parties to maximize effectiveness.",
"10. Furthermore, the EU believes that States Parties should assess the effectiveness and usefulness of this universal strategy at the Seventh Review Conference of the Biological and Toxin Weapons Convention in 2011. A mid-term assessment and stocktaking of progress in promoting the Biological and Toxin Weapons Convention could be undertaken at any intersessional meeting of the States Parties prior to the Conference.",
"Annax I",
"[ENGLISH ONLY]",
"BOLOGICAL AND TOXIN WEAPANS CONVENTION",
"As of 29 August 2006, 16 States have signed but not marked:",
"1.",
"Burundi",
"Central African Republic",
"4. D'Ivore",
"Egypt",
"6. Gabon",
"7. Guyana",
"8. Hati",
"9. Liberia",
"10. Madagascar",
"Malawi",
"12. Myamar (Burma)",
"13. Nepal",
"14. Somalia",
"15. Syrian Arab Republic",
"16. United Arab Emirates",
"17. United Republic of Tanzania",
"As of 29 August 2006, 24 States have not signed:",
"1.",
"Andorra",
"3. Angola",
"4. Cameron",
"Chad",
"Comoros",
"Cook Islands",
"8. Djibouti",
"Eritrea",
"10. Guiena",
"11. Israel",
"12. Kazakhstan",
"13. Kiribati",
"14. Marshall Islands",
"15. Mauritania",
"16. Micronesia (Federal States of)",
"17. Montenegro",
"18. Mozambique",
"19. Namibia",
"20. Nauru",
"21. Niue",
"22. Samoa",
"Trinidad and Tobago",
"24. Tuvalu",
"25. Zambia",
"Annex II",
"[ENGLISH ONLY]",
"BTWC POINTS OF CONTACT OF EU MEMBER STATES",
"AUSTRIA",
"Alexander Benedict",
"Federal Minister for Foreign Affairs",
"– Global Disarmament, Arms Control, Export",
"Control, Multilateral Atomic Energy Issues and IAEA",
"A-1014 Vienna, Minoritenplatz 8",
"tel: +43(0)501150 – 3354",
"fax: +43(0)501159 – 5354",
"Web: www.bmaa.gv.at",
"@bmaa.gv.at",
"CZECH REMUBLC",
"Dr Ladislav Bartak",
"Director, Depart for the Control of Non-Proscription of Weapons of Mass Development",
"State Office for Nuclar Safety",
"Address:",
"110 00 Praha 1",
"Czech Republic",
"tel: +42022651465",
"fax: +42024223133",
"@sujb.cz",
"CYPRUS",
"Panayiotis Papadopoulos",
"Ministry of Forest Affairs",
"Policy Affairs Division – Multilatoral Relations",
"tel: +357 22 401152",
"fax: +357 22 661881",
"@mfa.gov.cy",
"DENMARK",
"Casper S. Nervil",
"Head of Security Policy.",
"Royal Danish Ministry of Forest Affairs",
"Office 6 a 67",
"Asatisk Plads 21448 Copenhagen K",
"Denmark",
"+45 33 92 06 77",
"cell: +45 2545 9323",
"tel: +45 33 92 00",
"fax: +45 33 92 18 04",
"@m.dk",
"ESTONIA",
"Ketlin Süsmalainen",
"Ministry of Forest Affairs",
"First Political Department, First Division",
"Islandi väljak 1",
"15049 Tallinn",
"Estonia.",
"tel: +3726377100",
"fax: +372 637 7199",
"@mfa.ee",
"Finland",
"Jani Raappana",
"Second Security",
"Asevavonnan yksikkö/Unit for Arms Control, Disarmament",
"And Non-protection",
"P.O. Box 176",
"00161 Helsinki",
"tel: +358 9 1605 6030",
"cell: +358 400 954 492",
"fax: +358 9 1605 6066",
"This post is part of our special coverage Egypt Protests 2011.",
"FRANCE",
"Frédéric JUNG",
"Ministère des Affaires Etranséres",
"You've got a Désarmément, biologique.",
"I'm not sure I'm going to be able to do that.",
"Quai d'Orsay",
"75 700 PARIS 07 SP",
"+331 43174306",
"fax: +331 43174952",
"@diplomatie.gouv.fr",
"GERMANY",
"Alexander Olbrich",
"Federal Forest Office",
"Head of BW Division",
"Wenderscher Markt §1",
"10117 Berlin",
"tel: +49(0)30 5000-45883",
"fax: +49 (0) 30 5000-54583",
"E-mail: 243-rl@auswaertages-amt.de",
"ITALE",
"Raffaele De Benedictis",
"Mission of Italy to the Conference on Disarm",
"Geneva",
"tel: +4122 9180252",
"Fax: +4122 740715",
"E-mail: ruffaele.debenedictis@esteri.it",
"LITHUANIA",
"Martynas Lukosevicius",
"Attache.",
"Arms Control, Non-promising and Disarmament Division",
"Security Policy Developments",
"Minister of Forest Operations of the Republic of Lithuania",
"tel: +37052362429",
"@urm.lt",
"NETHERLANDS",
"Walter Wormgoor",
"Ministry of Forest Affairs",
"Department of Security Policy / Nuccear Affairs and Non-Proscription",
"tel: +31 (0) 70 - 348 5089",
"fax: +31 (0) 70 - 348 5684",
"@minbuza.nl",
"POLAND",
"Mr. Tadeusz Chomicki.",
"Deputy Director",
"Department of Security Policy",
"Ministry of Forest Affairs",
"tel: +48 22 523 92 02",
"fax: +48 22 628 58 41",
"E-mail: tadeusz.chomicki@msz.gov.pl",
"Mr. Janusz Wawrzyniuk",
"Counsellor, Non-Provision Division",
"Department of Security Policy",
"Ministry of Forest Affairs",
"Tel: +48 22 523 89 19",
"fax: +48 22 523 93 03",
"e-mail: janusz.wawrzyniuk@msz.gov.pl",
"ROMANIA",
"It's me.",
"Counsellor",
"Non-protection, Arms Control and Combating Terrarism Office",
"Ministry of Forest Affairs",
"tel: +4021 319 6857",
"fax: +4021 319 23 63",
"@mae.ro",
"SPAIN",
"Luis Gómez Nogueira",
"Head of Disarm Union",
"Ministry of Forest Operations and Cooperation",
"Serrano Galvache, 26",
"28071 MADRID (SPAIN)",
"tel: +34 91.379.1759",
"fx: +34 91.394.8647",
"@mae.es",
"SWEDEN",
"Martin Åberg",
"Depart for Disarmament and Non-protection",
"Minister for Forest Affairs",
"103 39 Stockholm Sweden",
"tel: +46 8 405 35 84",
"fax: +46 8 723 11 76",
"Email: martin.aberg",
"SLOVENIA",
"Irina Gorsic, Councellor",
"Ministry of Forest Operations of the Republic of Slovenia",
"Security Policy Division",
"Presernova 25 / SI - 1000 Ljubljana",
"tel: +386 1 478 12 50",
"fax: +386 1 478 22 29",
"E-mail: Irina.Gorsic@gov.si",
"UNITED KINGDOM",
"Ashi Brant.",
"Desk Officer for BWC and CTC",
"CBW Section",
"Regulation Department",
"Foreign and Commonwealth Office",
"tel: 0207 008 2247",
"Fax: 0207 008 2680",
"e-mail: btwc@fco.gov.uk",
"[1] This is one of a series of additional documents submitted by EU member States for consideration by States Parties. The acceding countries Bulgaria and Romania, the candidate countries Turkey, Croatia and the former Yugoslav Republic of Macedonia, the countries of the Stabilization and Association Process and potential candidates Albania, Bosnia and Herzegovina and Serbia, as well as Ukraine and the Republic of Moldova, align themselves with this document."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定 审查《公约》的实施情况",
"执行《生物和毒素武器公约》：需要协调一致的办法",
"荷兰代表欧洲联盟提交 [1]",
"一、导 言",
"1. 2003-2005年闭会期间工作方案非常成功，它为缔约国提供了一个借以交流各国在广泛重要议题方面经验的机会。这些会议还使缔约国得以审查自己在执行和遵守《公约》方面的现况。",
"2. 许多缔约国充分或部分执行了《公约》，其他国家也为此开始了进程，但显然仍有许多工作要做，特别是在各国执行立法、采取维护安全和监督致病性微生物和毒素(生物安全和生物安保)措施以及提高认识方面尤其如此。欧盟认为2006年以后有必要在这些领域开展更多的工作。",
"3. 除闭会期间工作方案中讨论的问题之外，许多缔约国正式或非正式地提到《生物和毒素武器公约》今后需要注意的若干其他问题，例如改进交流建立信任措施和促进普遍加入《公约》。",
"4. 通过在国家一级执行条约规定、落实各次审查会议上作出的承诺，更加强调遵守《生物和毒素武器公约》的重要性，显然与《化学武器公约》和《不扩散条约》(原子能机构保障措施)的类似情况发展是平行的。欧盟认为，今后这一侧重点应该并只会更强。",
"5. 欧盟还认为，《生物和毒素武器公约》缔约国明确认识到加强执行《公约》的重要性，应该同意为此采取具体措施，愿意加强双边和国际努力，实现审议大会可能商定的任何具体目标。",
"二、提供援助更加重要",
"6. 许多国家在2003年闭会期间会议上就曾建议，能够在各国执行立法方面提供(技术或财政)援助的缔约国可以提议援助，并鼓励需要这类援助的缔约国与提议援助的缔约国联络。在2004年闭会期间会议(改进对疾病的监测和应对疾病爆发)和2005年闭会期间会议(行为守则)上发出了同样呼吁。在2003年，已有一些国家正式表示愿意提供援助，并提供了可以为此联络的机构或专家名单，这些倡议的重要性无须作进一步解释。",
"7. 由于闭会期间会议，一些缔约国已经在提供双边执行援助。根据支持《生物和毒素武器公约》的“联合行动”，欧盟还承诺援助缔约国执行《公约》的工作。此外，欧盟和其他缔约国还积极促进普遍加入《公约》，其他缔约国在建立信任措施方面十分活跃。欧盟通过一些倡议也在援助第三国遵守卫生和植物检疫的要求。欧盟欢迎所有这些倡议和活动，这些倡议和活动在可能的情况下应该继续进行，并得到加强。",
"三、需要协调一致的办法",
"8. 为了使所有这些倡议卓有成效，即有利于实现审查会议商定的各项目标，有必要采取协调一致的办法。双边活动应该相辅相成，而不应该重叠。此外，不应仅因为提供援助的国家不知道有此需要而使需要援助的缔约国被排除在外。最后，在有些情况下，执行问题并非一定有赖于获得援助的情况，而更多的是取决于是否有争取获得有关条约义务和其他背景知识等基本资料。",
"9. 在一个中心机构全面审查《生物和毒素武器公约》缔约国在各个援助领域所有有关活动以及对这类工作进行协调已经非常有利于提高缔约国工作的效力。同样，可以获得和收到所有有关《生物和毒素武器公约》资料的一个中心机构会有利于实现使条约更加有效的目标。",
"四、《生物和毒素武器公约》秘书处在 执行支助方面可能发挥的作用",
"10. 欧盟认为，这是我们加强一致努力改善遵守和有效执行该项条约的障碍。欧盟建议缔约国在审查会议上深入审议如何更好地利用《生物和毒素武器公约》方面的现有结构以及如何改进这些结构来满足效力标准。更具体来说，欧盟建议更好地利用目前的《生物和毒素武器公约》秘书处，将执行支助领域的一些额外任务交付给秘书处。",
"11. 除管理缔约国今后会议以及在这些会议上给予会议主席和与会者协助之外，设在联合国裁军事务部内得到扩充的《生物和毒素武器公约》秘书处――或‘执行支助股’――如果获得审查会议的授权，可承担额外任务，例如：",
"(1) 为缔约国所有有关《公约》及其实施事项提供联络中心以及缔约国之间进行交流的标准渠道。",
"(2) 协助缔约国努力促进普遍加入《公约》，包括与非缔约国的联络和参加与普遍加入有关的活动。",
"(3) 作为“交流中心”，将缔约国协助国家执行、提交建立信任措施报告、生物安保和准备工作的请求与其他缔约国的这类援助提议相匹配。",
"(4) 保持现行国内执行立法、示范立法、国际标准、指南、行为守则、手册和其他资源参考资料汇总，对新颁布的国家执行立法进行年度审查，并向缔约国提供起草有关立法的咨询意见。",
"(5) 收集并向缔约国分发年度建立信任措施报告，寄发提交建立信任措施报告的提醒函，向缔约国提供编写和提交建立信任措施报告的咨询意见。",
"(6) 协助保存人管理《公约》：保持《公约》状况清单、通知缔约国有关加入、会议、启动正式程序等情况。",
"(7) 继续支助闭会期间程序，从而便利所有缔约国积极参与，就分配的议题开展研究，编写背景文件，并与有关组织进行联络。",
"12. 对设在裁军部内的这样一个‘执行支助股’来说，与国家执行和普遍加入有关的活动似乎是最基本的任务，但该股还可以履行缔约国认为有益和必要的其他任务。",
"13. 上述所有活动都可在不明显增加秘书处支助缔约国会议及其主席所涉费用的情况下开展。如果审查会议同意将上述任务分配给设在裁军部的‘执行支助股’，审查会议看来应当商定2011年下一次审查会议前整个闭会期间开展这类活动的任务授权。这将为缔约国提供必要的持续性和使秘书处成员获得确定性。",
"14. 设在裁军部的‘执行支助股’可以在有待审查会议决定的费用估计基础上，由审查会议秘书处提供资金。费用估计应该涵盖得到扩充的《生物和毒素武器公约》秘书处2011年下一次审查会议之前整个期间的活动。",
"[1] 这是欧盟成员国提交缔约国审议的一系列补充文件之一。加入国保加利亚和罗马尼亚、候选国土耳其、克罗地亚和前南斯拉夫的马其顿共和国、参与稳定与结盟进程的国家和可能的候选国阿尔巴尼亚、波斯尼亚和黑塞哥维那、塞尔维亚以及乌克兰和摩尔多瓦共和国也赞同本文件。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/WP.720 October 2006Original: ENGLISH",
"Geneva, 20 November – 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"IMPLEMENTATION OF THE BIOLOGICAL AND TOXIN WEAPONS CONVENTION (BTWC): NEED FOR A CONCERTED AND COORDINATED APPROACH",
"Submitted by the Netherlands on behalf of the European Union[1]",
"I. Introduction",
"1. The intersessional work programme for 2003 – 2005 has been very successful. It provided States Parties with an opportunity to share national experiences on a range of important topics. The meetings also provided States Parties with an overview of where they stand with regard to the implementation of and compliance with the Convention.",
"2. Although many States Parties have implemented the Convention fully or partially, and others have started a process to that end, it is clear that a lot of work still needs to be done, particularly in the areas of national implementing legislation, national measures to maintain the security and oversight of pathogenic microorganisms and toxins (biosafety and biosecurity), and awareness raising. The EU considers that more work is necessary in these areas in the years after 2006.",
"3. Apart from the issues discussed during the intersessional programme of work, many States Parties have formally or informally mentioned a number of other issues that need BTWC attention in the years to come, such as improvement of the exchange of Confidence-building Measures (CBMs), and promoting universality of the Convention.",
"4. The enhanced emphasis on the importance of compliance with BTWC obligations, through implementing the treaty provisions and commitments made at respective Review Conferences at a national level, has clear parallels with similar developments in the context of the Chemical Weapons Convention and the Non Proliferation Treaty (IAEA Safeguards). The EU considers that this emphasis should and will only increase in the coming years.",
"5. The EU also considers that, since States Parties to the BTWC clearly recognise the importance of enhanced implementation of the Convention, they should agree on specific measures to achieve this and should be willing to intensify bilateral and international efforts to meet any concrete targets the Review Conference might agree on.",
"II. Increased importance of provision of assistance",
"6. Already at the intersessional meetings in 2003 it was suggested by many that States Parties in a position to do so could offer (technical or financial) assistance in respect of national implementing legislation. States Parties in need of such assistance were encouraged to contact those offering assistance. Similar calls were made at the intersessional meetings in 2004 (improvement of disease surveillance and outbreak response) and 2005 (codes of conduct). Already in 2003, a number of countries officially indicated their willingness to provide assistance and provided lists of institutions or experts that could be contacted to that end. The importance of these initiatives needs no further explanation.",
"7. As a result of the intersessional meetings, some States Parties are already providing bilateral implementation assistance. The EU, under its Joint Action in support of the BTWC has also committed itself to assist States Parties in their efforts to implement the Convention. Furthermore, the EU as well as other States Parties is actively promoting universality of the Convention and other States Parties have been active in the area of Confidence-building Measures. The EU, through a number of initiatives, is also assisting third countries in complying with sanitary and phytosanitary requirements. The EU welcomes all these initiatives and activities, which should be continued and intensified where possible.",
"III. Need for concerted and coordinated approach",
"8. In order for all these initiatives to be effective, i.e. contributing to achieving the targets to be agreed at the Review Conference, a coordinated approach is indispensable. Bilateral activities should complement and reinforce each other, and should not overlap. Furthermore, no State Party in need of assistance should be excluded from such assistance simply because countries providing assistance were not aware of the demand. Finally, in some cases, implementation is not so much dependent on the availability of assistance, but on access to basic information concerning treaty obligations and other background knowledge.",
"9. A complete overview of all relevant activities by BTWC States Parties in respective areas of assistance at a central point, as well as coordination of such efforts would already contribute much to the effectiveness of States Parties' efforts. Likewise, a central point where all relevant BTWC information can be obtained and received would serve the goal of a more effective treaty.",
"IV. Possible roles for BTWC Secretariat in the area of implementation support",
"10. The EU considers this to be an impediment to our enhanced and concerted efforts to improve compliance with and effective implementation of the treaty. The EU suggests that States Parties at the Review Conference consider in depth how to make better use of already existing structures in the BTWC context and how to improve these to meet the standard of effectiveness. More specifically, the EU proposes to make better use of the current BTWC Secretariat by assigning it some additional tasks in the field of implementation support.",
"11. Apart from managing any future meetings of States Parties, and assisting the Chair thereof as well as participants in these meetings, this enhanced BTWC Secretariat – or ‘Implementation Support Unit’ –, hosted within UNDDA, if so assigned by the Review Conference, could undertake additional tasks, such as:",
"(i) Provide a central point of contact for States Parties for all matters concerning the Convention and its implementation, and a standard channel for communication among States Parties.",
"(ii) Assist States Parties in their efforts to promote universal adherence to the Convention, including through liaising with non States Parties, and attending universality-related events.",
"(iii) Act as a “clearing house”, matching requests from States Parties for assistance with national implementation, submission of CBMs, bio-security and preparedness with offers of such assistance from other States Parties.",
"(iv) Maintain a reference collection of existing national implementing legislation, model legislation, international standards, guidelines, codes of conduct, manuals and other resources, provide an annual overview of newly enacted national implementing legislation, and provide basic advice to States Parties on drafting relevant legislation.",
"(v) Collect and circulate to States Parties the annual Confidence-Building Measures, send out reminders for CBM submissions, and provide basic advice to States Parties on preparing and submitting CBMs .",
"(vi) Assist the Depositaries with the administration of the Convention: maintain status lists, notify States Parties of accessions, meetings, initiation of formal proceedings, etc.",
"(vii) Continue to support the intersessional process, and thereby facilitate active participation by all States Parties, by conducting research on assigned topics, preparing background papers, and liaising with relevant organisations.",
"12. While these seem to be the most essential tasks for such an ‘Implementation Support Unit’, hosted within UNDDA, with regard to national implementation and universality-related activities, there are other tasks it could carry out, again depending on what States Parties consider useful and necessary.",
"13. All the activities described above could be carried out without a significant increase in the costs already involved in secretarial support for the meetings of States Parties and their Chairs. If the Review Conference were to agree to assigning the abovementioned tasks to this ‘Implementation Support Unit’, hosted within UNDDA, it would seem appropriate that the Review Conference should also agree on a mandate to carry out such activities for the whole intersessional period until the next Review Conference in 2011. This would provide the necessary continuity for States Parties as well as certainty for members of the secretariat.",
"14. Such an ‘Implementation Support Unit’, hosted within UNDDA, could be financed on the basis of a cost estimate by the secretariat of the Review Conference, to be decided upon by the Review Conference. The cost estimate should cover the activities of such an enhanced BTWC Secretariat for the entire period until the next Review Conference in 2011.",
"[1] This is one of a series of complementary papers submitted by the EU Member States for the consideration of States Parties. The Acceding Countries Bulgaria and Romania, the Candidate Countries Turkey, Croatia and the Former Yugoslav Republic of Macedonia, the Countries of the Stabilisation and Association Process and potential candidates Albania, Bosnia and Herzegovina, Serbia, as well as Ukraine and Republic of Moldova align themselves with this paper."
] | BWC_CONF.VI_WP.7 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Implementation of the Biological and Toxin Weapons Convention: the need for a coordinated approach",
"Submitted by the Netherlands on behalf of the European Union [1]",
"Introduction",
"1. The 2003-2005 intersessional work programme was very successful and provided an opportunity for States Parties to share their national experiences on a wide range of important topics. These meetings have also enabled States parties to review their own status with regard to the implementation of and compliance with the Convention.",
"2. While many States Parties have fully or partially implemented the Convention and others have begun the process to do so, it is clear that much remains to be done, particularly with regard to national implementation of legislation, measures to safeguard and monitor pathogenic micro-organisms and toxins (biosafety and biosecurity) and awareness-raising. The EU believes that more needs to be done in these areas after 2006.",
"3. In addition to the issues discussed in the Intersessional Work Programme, many States Parties have made formal or informal references to a number of other future BTWC issues, such as improving the exchange of confidence-building measures and promoting universalization of the Convention.",
"4. The increased emphasis on the importance of compliance with the Biological and Toxin Weapons Convention, through the implementation of treaty provisions and commitments made at review conferences at the national level, is clearly parallel to similar developments in the Chemical Weapons Convention and the Non-Proliferation Treaty (IAEA safeguards). The EU believes that this focus should and will only be stronger in the future.",
"5. The EU also believes that States parties to the Biological and Toxin Weapons Convention clearly recognize the importance of strengthening the implementation of the Convention and should agree to take concrete measures to that end, and is willing to intensify bilateral and international efforts to achieve any specific objectives that the Review Conference may agree to.",
"II. Increased importance of providing assistance",
"At the 2003 intersessional meeting, many States parties had suggested that States parties in a position to provide assistance (technical or financial) in the implementation of national legislation could offer assistance and encouraged States parties in need of such assistance to liaise with States parties that had offered assistance. Similar calls were made at the 2004 intersessional meetings (improved disease surveillance and response to outbreaks) and the 2005 intersessional meeting (code of conduct). In 2003, a number of States had formally offered assistance and provided a list of institutions or experts that could be contacted for that purpose, without further explanation of the importance of those initiatives.",
"7. As a result of intersessional meetings, a number of States parties are already providing bilateral implementation assistance. Under the Joint Action in support of the Biological and Toxin Weapons Convention, the EU is also committed to assisting States Parties in their efforts to implement the Convention. In addition, the EU and other States Parties have been active in promoting universalization of the Convention, and other States Parties have been very active in CBMs. The EU is also assisting third countries to comply with sanitary and phytosanitary requirements through a number of initiatives. The EU welcomes all these initiatives and activities, which should continue and be strengthened where possible.",
"The need for a coordinated approach",
"8. In order for all these initiatives to be effective, i.e., to contribute to the achievement of the objectives agreed at the Review Conference, a coordinated approach is necessary. Bilateral activities should be complementary and should not overlap. Furthermore, States parties in need of assistance should not be excluded simply because the State providing the assistance was unaware of the need. Finally, in some cases, questions of implementation do not necessarily depend on the availability of assistance, but more on the availability of basic information, such as treaty obligations and other background knowledge.",
"9. A comprehensive review in a central body of all relevant activities of States parties to the Biological and Toxin Weapons Convention in the various areas of assistance and the coordination of such efforts have greatly contributed to the effectiveness of the States parties ' efforts. Similarly, a central body that has access to and receives all relevant BTWC information would contribute to the goal of making the Treaty more effective.",
"IV. Possible role of the BTWC Secretariat in implementation support",
"10. The EU believes that this is an obstacle to our intensified and concerted efforts to improve compliance with and effective implementation of the Treaty. The EU recommends that States Parties at the Review Conference consider in depth how to make better use of existing BTWC structures and how to improve them to meet effectiveness standards. More specifically, the EU proposes to make better use of the current BTWC secretariat by entrusting it with additional tasks in the area of implementation support.",
"In addition to managing future meetings of States Parties and providing assistance to the President and participants at those meetings, an expanded BTWC secretariat - or `Implementing Implementation Unit' - located within the United Nations Department for Disarmament Affairs, if mandated by the Review Conference, could undertake additional tasks, such as:",
"(1) To provide a focal point for all matters relating to the Convention and its implementation and a standard channel of communication between States Parties.",
"(2) Assist States Parties in their efforts to promote universalization of the Convention, including through liaison with States not parties and participation in universalization-related activities.",
"(3) serve as a “clearing house” to match requests from States Parties for assistance in national implementation, CBM submission, biosecurity and preparatory work with offers of such assistance from other States Parties.",
"(4) Maintain a summary of existing national implementing legislation, model legislation, international standards, guidelines, codes of conduct, manuals and other resources, conduct an annual review of newly enacted national implementing legislation and provide advice to States parties on the drafting of relevant legislation.",
"(5) Collect and circulate annual CBM reports to States Parties, send reminders for CBM reports and provide advice to States Parties on the preparation and submission of CBM reports.",
"(6) Assistance to the Depositary in the administration of the Convention: maintenance of the list of status of the Convention, notification of relevant accessions, meetings, initiation of formal proceedings, etc.",
"(7) Continue to support the intersessional process, thereby facilitating the active participation of all States Parties, undertaking research, preparing background papers and liaising with relevant organizations on the topics allocated.",
"For such an `Implementation Support Unit' within the Department, activities related to national implementation and universalization appear to be the most basic tasks, but the Unit could also perform other tasks that the States Parties consider useful and necessary.",
"All the above-mentioned activities could be undertaken without a significant increase in the costs involved in the secretariat's support to the Meeting of the States Parties and its President. If the Review Conference agrees to allocate the above-mentioned tasks to the Implementation Support Unit in the Department for Disarmament Affairs, it seems appropriate that the Review Conference should agree on a mandate for such activities throughout the intersessional period leading up to the next Review Conference in 2011. This will provide the necessary continuity for States parties and certainty for the members of the secretariat.",
"14. The `Implementation Support Unit' in the Department for Disarmament Affairs may be funded by the Review Conference secretariat on the basis of cost estimates to be decided by the Review Conference. The cost estimates should cover the activities of the expanded BTWC secretariat throughout the period leading to the next Review Conference in 2011.",
"[1] This is one of a series of additional documents submitted by EU member States for consideration by States Parties. The acceding countries Bulgaria and Romania, the candidate countries Turkey, Croatia and the former Yugoslav Republic of Macedonia, the countries of the Stabilization and Association Process and potential candidates Albania, Bosnia and Herzegovina, Serbia, as well as Ukraine and the Republic of Moldova, align themselves with this document."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查 《公约》的实施情况",
"闭会期间工作方案：在2003年至2005年期间发挥的 作用和对实现《公约》目标和宗旨作出的贡献， 以及在2006年以后继续闭会期间工作的理由",
"法国和大不列颠及北爱尔兰联合王国代表欧洲联盟提出 [1]",
"一、导 言",
"1. 《生物与毒素武器公约》第五次审查会议商定通过2003年至2005年期间的工作方案继续加强《公约》的进程。闭会期间工作方案的目标是讨论下列经确定的议题并促进就这些议题达成共识和采取有效行动：",
"(1) 采取必要的国家措施，包括制定有关刑事法律，以执行《公约》所载的禁止规定；",
"(2) 确保和维护微生物和毒素病原体的安全并进行监督的国家机制；",
"(3) 加强对据称使用生物或毒素武器的案件或可疑的疾病突发事件作出反应、进行调查和减轻后果的国际能力；",
"(4) 加强和扩大国家机构和国际机构在监测、检测、诊断和防治影响人类、动物和植物的传染性疾病方面所做的努力以及现有的机制；",
"(5) 科学家行为守则的内容、公布和遵行。",
"2. 这些议题包括大多数《公约》实质性条款，其中包括《公约》的范围和目的、不扩散问题、国家执行机制、对使用进行调查、对据称使用作出反应以及疾病监测、检测、诊断和减轻，即第一、第三、第四、第五、第六、第七和第十条。",
"3. 在第六次审查会议上，缔约国将需要审议闭会期间工作方案提出的任何建议并就进一步行动作出决定。欧盟成员国、其他缔约国以及各种民间社会和非政府组织已经表示它们将在第六次审查会议上支持进一步开展闭会期间工作方案的一致意见。",
"4. 本工作文件阐述了欧盟对2003年至2005年闭会期间工作方案的效用和影响以及它如何对有效执行和加强《公约》作出贡献――这继续是很重要的――的看法。这是我们作出有关进一步的工作方案是必要的判断的基础。",
"二、闭会期间工作方案的背景",
"5. 《生物与毒素武器公约》是一项划时代的协定――第一项有关大规模毁灭性武器的裁军条约。欧盟的看法是《公约》在处理生物和毒素武器构成的一切威胁方面现在同以往一样是有效的。如果在2002年至2006年期间不举行会议，缔约国发出的信息将是它们认为《公约》在目前时期价值是有限的，特别是因为在2002年对生物武器和生物恐怖主义的忧虑达到新的水平。在《生物与毒素武器公约》议定书的谈判崩溃之后，闭会期间工作方案帮助缔约国找到它们努力的重点。它保有一群来自各缔约国为加强《公约》执行情况工作的国际专家。它也有助于恢复对《公约》的拥有感，更重要的是，各缔约国之间对实际履行《公约》义务和遵守《公约》的国家责任感。它协助拟订加强《公约》及其实际执行的各种不同办法。",
"6. 闭会期间工作方案的目的是确定缔约国如何通过在不同层次采取的行动处理已知的薄弱领域。每一个别缔约国在国家一级采取的行动是工作方案的关键组成部分。在缔约国以外政府间组织例如卫生组织和民间社会采取的行动也很重要。",
"三、闭会期间工作方案的影响",
"7. 从欧盟成员国的角度来看，工作方案以很多方式协助《公约》的执行，包括要求每个缔约国考虑和审查其执行《公约》规定的义务的情况。在为各次会议作准备时，欧盟成员国除其他外考虑了下列问题：",
"(1) 执行机制能够改善吗？",
"(2) 实际执行中存在的差距能确定吗？",
"(3) 哪个政府部门、机构和非政府实体负有在国家一级执行《公约》的责任？",
"(4) 最佳做法可以确定吗？",
"(5) 最佳做法在缔约国之间交流和传播吗？",
"(6) 欧盟成员国能学习其他缔约国的做法吗？",
"(7) 为实际执行《公约》义务需要在某些领域提供援助？",
"(8) 欧盟成员国可在某些领域向其他缔约国提供援助以确保《公约》的执行比较有效吗？",
"8. 工作方案对筹备工作和后续行动都有影响。例如，欧盟在2003年进行了一项国家执行机制调查。该调查不仅报告了欧盟成员国采取的措施，而且说明了为执行《公约》实际需要采取的措施范围(BWC/MSP/2003/MX/WP.62)。由于在2003年专家会议上将这一信息提供给各缔约国，该调查有助于回应1980年第一次审查会议发出的交流有关实际国家执行情况的信息的要求。交流这种信息使所有缔约国能更好地了解国家做法，有助于提高透明度，增加处理国家执行问题和对付问题的机会。详细探讨了各种不同做法的优点和缺点，并向缔约国作出提供援助的提议。在2003年至2005年期间为闭会期间工作方案做的准备工作导致了缔约国之间交流的信息数量和质量的提高。这一结果在《生物与毒素武器公约》范围内是史无前例的。",
"9. 专家和缔约国会议的结果也鼓励，的确往往需要采取后续行动。例如，欧盟关于普遍性和《公约》执行援助的联合行动(在筹备委员会上分发)是因受闭会期间工作方案的结果影响和认识到有些缔约国(和未来缔约国)为履行其《公约》义务将需要援助而做的工作例子。",
"10. 专家会议和缔约国会议由于有比其他非审查会议的缔约国会议更多的代表团参与而增加了《公约》执行的宽度。闭会期间工作方案也对人们对《公约》的“拥有感”和“责任感”产生影响。参与闭会期间工作方案各个方面的政府间组织和非政府组织也增加了。事实上，人们对执行的看法已从只关系到缔约国政府内少数个人的事转变为涉及缔约国境内的个人、政府部门和组织，包括政府间组织、非政府组织和民间团体的问题。举两个例子：2005年讨论行为守则的准备工作得到了专业组织的很大帮助，它们能够在科学界内开展有关生物武器的辩论。这类提高认识活动对于维持反对生物和毒素武器的规范有积极的影响。2004年在考虑疾病突发――不管是自然发生还是故意引起――的有效应付措施时，缔约国认识到及时准确的疾病突发信息很重要。因此，国家区域和国际各级的疾病报告程序可对《公约》的目标和宗旨作出贡献。",
"11. 此外，专家会议和缔约国会议通过下列方式增加《公约》执行的深度：",
"(1) 为缔约国以有利于加强《公约》的方式在特定领域采取行动提供奖励和时限；",
"(2) 在许多关于有效执行的辩论中引进具体性；",
"(3) 提供与其他缔约国各类政治和技术专家讨论问题的机会；",
"(4) 帮助建立和加强个人、缔约国、政治和技术专家之间的联系；",
"(5) 便利交流专门知识和良好做法；",
"(6) 在广大的本国社区和国际社会内提高对《公约》及其目标和要求的认识。",
"12. 闭会期间工作方案还帮助澄清某些问题。例如，2003年对生物安全概念和意义的讨论以及对生物安全需要采取哪类措施的确定导致了对这类措施的价值的确认。缔约国在1991年第三次审查会议上已确认防止未经批准的取得病原体以及敏感材料和设备是很重要的(BWC/CONF.III/23)。2003年的会议为该确认提供了一些实质内容，并帮助将一项承诺转变为比较积极的行动。",
"13. 《公约》的管理工作也得到了加强。30年来执行《公约》得到的一个主要教训是《公约》需要缔约国在国家一级和集体地不断加以注意。它不是30年前签订和实施的条约，缔约国在《公约》之下有个别的(国家)和集体的(区域、多边、国际)责任，工作方案不仅协助澄清这些责任是什么，而且澄清义务可如何执行。",
"14. 工作方案也把重点放在较大的情况。《公约》仅是寻求或帮助防止生物或毒素武器被用于战争或敌对目的的若干要素之一。关于5个工作领域的讨论情况证明了这些要素之间的关联。例如：",
"1. 《公约》、1925年《日内瓦议定书》以及联合国秘书长的调查据称或被怀疑使用化学、生物和毒素武器机制的目标和宗旨；",
"2. 《生物与毒素武器公约》和《化学武器公约》有关毒素的执行情况；",
"3. 第三条规定国家一级的不扩散及其对包括非国家行为者在内的“任何接受者”的适用，因此确认《公约》的有效执行有助于履行联合国安全理事会第1540(2004)号决议；",
"4. 减少威胁合作方案下进行的活动有助于确保缔约国之间遵约；",
"5. 8国集团关于不扩散、恐怖主义和粮食安全等问题的讨论都与《公约》有关；",
"6. 世界卫生组织、国际兽疫局和粮食及农业组织(粮农组织)的作用，这些组织进行的疾病监测、诊断活动以及应对疾病突发的活动可对《公约》的目标和宗旨作出贡献。",
"15. 闭会期间工作方案也开创新的行动论坛。其中有些是具有国际影响的区域倡议，例如上面提到的促进普遍性和国家执行援助的欧盟联合行动。另有一些是区域性的，例如澳大利亚和印度尼西亚在2004年和2005年举办的研讨会。还有一些是非政府的，例如科学院间专门小组关于科学家行为守则的工作。",
"四、结 论",
"16. 总的来说，以上例子不仅强调有必要采取国家行动和履行国家责任，而且表明缔约国有必要采取跨越各种领域的做法。这些领域超出“仅国家一级”的做法，也超出传统意义的“多边”议程。闭会期间工作方案不仅帮助缔约国集中注意具体问题，而且也促进新的想法。它使进展能够无争议地作出，并提供机会在通常与《公约》及其执行有关的“《生物与毒素武器公约》官方”之外实际地讨论、考虑和交流想法。",
"17. 2003年至2005年闭会期间工作方案的有形和无形结果远超过三次缔约国会议结束时议定的简单报告所反映者。这些报告是重要的，特别是在确定一致同意的领域和对有效执行《公约》具有价值的措施方面，但它们并没有反映所取得成就的全部。工作方案还有其他重要成就。例如，提供有关国家执行机制的援助和技术咨询一直继续着，科学家行为守则领域的活动也在若干缔约国的各种论坛继续进行。",
"五、2007至2010年新工作方案的理由",
"18. 欧盟强烈认为需要在2006年以后继续进行有关加强《公约》及其执行的工作。《公约》需要由缔约国在国家一级执行和集体地执行。这里面存在固有的责任平衡，如要《公约》继续对我们个别的和集体的安全作出贡献，维持这一平衡是很重要的。",
"19. 进一步的工作方案将使《公约》的其他重要领域能够得到处理。它将继续查明缔约国可如何通过在各级采取行动纠正薄弱领域，使提高对《公约》的认识工作能够继续延伸到政府间组织和非政府组织，并协助确定具体、切实可行的加强《公约》执行情况的措施。前一个工作方案得到的益处可转给下一个工作方案，并保持一批全心投入《公约》执行情况的专家来处理当前的威胁和问题。",
"六、2007年至2010年新工作方案的模式和可能议题",
"20. 鉴于前一个工作方案得到的益处，许多模式应可继续利用。不过缔约国可考虑作一些小的递增性变动以便使工作做得更好，同时保持已经确定的活动总格局。例如，如果达成协商一致，那么缔约国会议可以作出决定而不须提交第七次审查会议。某些问题可以每年讨论和审查，例如关于国家执行机制的报告、国家执行立法和行政安排的情况、生物安全、与《公约》有关的科学和技术发展、提高认识和教育活动、生物科学的和平利用、普遍加入《公约》的进展情况。也需要就某些具体问题进行比较密集的工作。未来工作方案的可能议题如下：",
"(1) 改善建立信任措施(与第五条有关)――关于这个议题的讨论可集中于评估建立信任措施框架内确定的各种措施，并进而提出旨在确保这些措施之间不会重复的建议，并鼓励执行共同标准以帮助改善提交进程和提高答复率。也可提出总的建立信任措施评估报告。",
"(2) 病原体和毒素安全和安保(与第四条有关)――这一领域的问题与《生物与毒素武器公约》的规定直接有关，并且能够采取若干相互补充的办法：例如通过生物安全的立法和标准与《生物与毒素武器公约》接口，或者通过讨论在拟订对可能被用于生物恐怖主义的病原体和毒素进行管制的办法时应考虑的因素。目的将是继续进行2003年会议开始的辩论。",
"(3) 检测病原体和实时对流行病作出反应(与第六条和第十条有关)――这一议题可有用地补充2004年所做的工作，并且能够评估检测流行病和对其作出反应方面的最新技术发展。在与流行病学有关的主要时事问题范围内，国际卫生和农业论坛的能力与《生物与毒素武器公约》的关切之间的关联也可加以澄清。特别是缔约国对将于2007年生效的修订的《国际卫生条例》发挥新作用和承担新责任的后果可以《生物与毒素武器公约》的角度来讨论。",
"(4) 提高国家人民对生物危险的认识(与第十条有关)――本议题将包括国家一级为帮助人民作防生物危险的准备和鼓励人民采取适当的健康行为而执行的战略。更概括地来说，可以研究生物裁军和不扩散领域的教育措施。",
"(5) 防止高危险产品扩散和双用途设备非法贸易方面的司法、警察和海关合作(与第三条、第四条和第十条有关)――这种专家会议可提供机会就下述方面进行深入交流：国家一级、与区域伙伴、在国际刑警组织等政府间组织范围内以及其他国际和区域机制为防止扩散采取的行动及加强其实效的方式。特别是它将提供机会评估在安全理事会第1540号决议之下执行的有关生物武器的措施。它也将是“加强国家立法”议题的必然延伸，因为它将审议关于病原体和毒素的立法的执行情况。",
"(6) 以前参与军事方案的科学家转业(与第十条有关)――这一议题将需要包括缔约国境内所有的有关行为者。讨论可特别集中于介绍成功的例子和这一类的有关方案并研究适当的方式和方法(机构、双边和多边合作框架)供在这方面采取行动(例如8国集团全球伙伴关系等)。",
"(7) 执行《生物与毒素武器公约》方面的区域和分区域合作(与第四条有关)――在这方面可请所有五大洲的区域和分区域组织表示它们对它们为促进《生物与毒素武器公约》的执行采取的行动的看法。交换意见可包括可能是未来努力的重点的领域以及如何确保其对其他论坛进行的有关工作的互补性。欧盟可就其支持《生物与毒素武器公约》联合行动的执行经验提供反馈意见。",
"(8) 发生可疑的使用生物或毒素武器时采取的行动(与第五条、第六条和第八条有关)――可以考虑会牵涉到的所有方面，需要遵循的程序，包括缔约国彼此协商和与其他组织协商，紧急援助等。迄今没有特定论坛专致力于生物恐怖主义，这使它成为许多不同组织的工作议题。生物恐怖主义与若干条约条款间接有关；关于这个议题的专家会议可评估在这一领域采取的所有行动并补充与第1540号决议有关的工作。",
"21. 欧盟支持在2007年至2010年期间把重点放在可加强《公约》和提高其执行实效的切实可行措施。欧盟愿意与其他缔约国讨论如何做到这一点和如何拟订进一步的闭会期间工作方案。",
"[1] 这是欧盟成员国提出供缔约国审议的一系列补充文件中的一个文件。申请加入国保加利亚和罗马尼亚，候选国土耳其、克罗地亚和前南斯拉夫的马其顿共和国，稳定与结盟进程国和潜在候选国阿尔巴尼亚、波斯尼亚和黑塞哥维那、塞尔维亚，以及乌克兰和摩尔多瓦共和国支持本文件。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIES TO THE CONVENTION ON THEPROHIBITION OF THE DEVELOPMENT, PRODUCTIONAND STOCKPILING OF BACTERIOLOGICAL(BIOLOGICAL) AND TOXIN WEAPONS AND ONTHEIR DESTRUCTION BWC/CONF.VI/WP.820 October 2006Original: ENGLISH",
"Geneva, 20 November – 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"THE INTERSESSIONAL PROGRAMME OF WORK: ITS UTILITY AND CONTRIBUTION TO FULFILLING THE OBJECT AND PURPOSE OF THE CONVENTION BETWEEN 2003-2005 AND A CASE FOR FURTHER INTERSESSIONAL WORK AFTER 2006",
"Submitted by France and the United Kingdom of Great Britain and Northern Ireland on behalf of the European Union[1]",
"I. Introduction",
"1. The Fifth Review Conference of the Biological and Toxin Weapons Convention (BTWC) agreed to continue the process of strengthening the Convention through a programme of work between 2003 and 2005. The purpose of the intersessional programme of work was 'to discuss, and promote common understanding and effective action on' identified topics as follows:",
"(i) The adoption of necessary national measures to implement the prohibitions set forth in the Convention, including the enactment of penal legislation;",
"(ii) National mechanisms to establish and maintain the security and oversight of pathogenic microorganisms and toxins;",
"(iii) Enhancing international capabilities for responding to, investigating and mitigating the effects of cases of alleged use of biological or toxin weapons or suspicious outbreaks of disease;",
"(iv) Strengthening and broadening national and international institutional efforts and existing mechanisms for the surveillance, detection, diagnosis and combating of infectious diseases affecting humans, animals and plants;",
"(v) The content, promulgation, and adoption of codes of conduct for scientists.",
"2. These topics covered most of the substantive Articles of the Convention, including the scope and purpose of the Convention, non-proliferation issues, national implementation mechanisms, investigation of use, responding to alleged use, and disease surveillance, detection, diagnosis, and mitigation, i.e. Articles I, III, IV, V, VI, VII, and X.",
"3. At the Sixth Review Conference States Parties are required to consider any recommendations from the intersessional programme of work and decide on further action. The Member States of the EU, other States Parties and various civil society and non-governmental organisations have already indicated that they would support the agreement to a further intersessional programme of work at the Sixth Review Conference.",
"4. This working paper sets out the EU view on the utility and impact of the intersessional programme of work between 2003 and 2005 and how it has contributed to the effective implementation and strengthening of the Convention, which continues to be essential. It forms the basis for our judgment that a further work programme is necessary.",
"II. Context of the intersessional programme of work",
"5. The BTWC is a landmark agreement - the first disarmament treaty for a weapon of mass destruction. The view of the EU is that the Convention is as valid now as it has always been in addressing all the threats posed by biological and toxin weapons. States Parties would have sent a message that they deemed the Convention of limited value in the current era, if no meetings had taken place between 2002 and 2006, particularly since in 2002 concerns about biological weapons and bioterrorism had reached new levels. The intersessional programme of work helped States Parties focus their efforts after the collapse of the BTWC Protocol negotiations. It maintained a body of international experts from States Parties working to enhance implementation of the BTWC. It also helped develop a renewed sense of ownership of the Convention, and more importantly, national responsibility among States Parties for actual implementation of obligations and compliance with the Convention. It assisted in the development of different approaches to strengthening the BTWC and its actual implementation.",
"6. The aim of the intersessional programme of work was to identify how States Parties might address known areas of weakness through action at various levels. Action at the national level, by each individual State Party, was a key component of the programme of work. Action beyond States Parties and outreach to intergovernmental organisations, such as the World Health Organization, and to civil society, were also important.",
"III. Impact of the intersessional programme of work",
"7. From the perspective of the EU Member States, the work programme assisted implementation in a number of ways, including requiring each State Party to think about and review its implementation of the obligations under the Convention. In preparing for the meetings, EU Member States considered, among others, the following questions:",
"(i) Could implementation mechanisms be improved?",
"(ii) Were gaps in actual implementation identifiable?",
"(iii) Which government departments, agencies, and non-governmental entities had responsibility for implementing the Convention nationally?",
"(iv) Was best practice identifiable?",
"(v) Was best practice being shared and disseminated among the States Parties?",
"(vi) Could the EU Member States learn from the approaches of other States Parties?",
"(vii) Was assistance required in some areas to actually implement the Convention's obligations?",
"(viii) Could the EU Member States offer assistance in certain areas to other States Parties to ensure implementation of the Convention was more effective?",
"8. The work programme had both preparatory and follow-on implications. For example, in 2003 the EU undertook a survey of national implementation mechanisms. The survey not only reported on measures taken by EU Member States, but also illustrated the scope of measures actually required to implement the Convention (BWC/MSP/2003/MX/WP.62). By providing this information to States Parties at the 2003 Meeting of Experts the survey helped to answer the request for sharing of information on actual national implementation issued at the First Review Conference in 1980. Sharing such information provided all States Parties with improved understanding of national practices, contributed to enhanced transparency, and increased opportunities to address issues of national implementation and deal with problems. The advantages and disadvantages of different approaches were explored in detail and offers of assistance were made to States Parties. Over the period 2003 through to 2005 preparatory work for the intersessional work programme has resulted in an increase in the amount and quality of information shared between States Parties. This result is unprecedented in the BTWC context.",
"9. The outcome of the meeting of experts and States Parties also encouraged, indeed often required, follow-up action. For example, the EU Joint Action on Universality and Implementation Assistance for the Convention (circulated at the Preparatory Committee) is an example of work that was influenced by the outcomes of the intersessional programme of work and the recognition that some States Parties (and future States Parties) would require assistance to fulfil their obligations under the Convention.",
"10. Meetings of experts and meetings of States Parties added breadth to implementation of the Convention through participation of more delegations than compared to other non-Review Conference meetings of States Parties. The intersessional programme of work also had an impact on the sense of ‘ownership’ and ‘responsibility’ for the Convention. The number of intergovernmental organisations and non-governmental organisations involved in various aspects of the intersessional programme of work also increased. Indeed, implementation shifted from being perceived as only a concern for a few individuals in governments of States Parties to being an issue involving individuals, departments, and organisations across States Parties, including intergovernmental organisations (IGOs), non-governmental organisations (NGOs), and civil society. To provide two examples: in 2005 preparation for discussions on codes of conduct was facilitated greatly by professional organisations which were able to initiate debates related to biological weapons among the scientific community. This type of awareness-raising activity has a positive impact on maintaining the norm against biological and toxin weapons. In 2004, in considering effective responses to disease outbreaks – whether or not natural occurrences or deliberately induced – States Parties recognised that timely and accurate information on disease outbreaks is important. Thus, disease reporting procedures at the national, regional, and international levels contribute to the object and purpose of the Convention.",
"11. Further, the meetings of experts and of States Parties added depth to implementation of the Convention by:",
"(i) Providing States Parties with an incentive, and a timeframe, to act in ways conducive to strengthening the Convention in specific areas;",
"(ii) Introducing specificity into many of the debates about effective implementation;",
"(iii) Permitting engagement with experts of different types, political and technical, in other States Parties;",
"(iv) Helping to establish and strengthen contacts between individuals, States Parties, and experts, including both political and technical;",
"(v) Facilitating the sharing of expertise and good practice;",
"(vi) Raising awareness of the Convention and its objectives and requirements across the wider domestic and international communities.",
"12. The intersessional programme of work also helped clarify certain issues. For example, the discussion of the concept and meaning of biosecurity in 2003, and the identification of the types of measures required for biosecurity resulted in the recognition of the value of such measures. Preventing unauthorised access to pathogens and sensitive materials and equipment had been recognised by States Parties as important in 1991 at the Third Review Conference (BWC/CONF.III/23). The meetings in 2003 provided some substance to that recognition, and helped translate a commitment into more positive action.",
"13. Stewardship of the Convention has also been enhanced. One of the main lessons from implementation of the Convention over 30 years is that the Convention needs constant attention nationally and by States Parties collectively. It is not a Treaty signed and implemented 30 years ago. States Parties have individual (national) and collective (regional, multilateral, international) responsibilities under the Convention and the programme of work assisted in not only clarifying what such responsibilities are, but also how obligations can be implemented.",
"14. The programme of work also kept the bigger picture in focus. The Convention is only one of a number of elements that seek or help to prevent biological or toxin weapons from ever being used in war or for hostile purposes. Discussion on each of the five areas of work demonstrated the connections betweens these elements. For example:",
"(i) The object and purpose of the Convention, the 1925 Geneva Protocol and the United Nations Secretary-General’s investigation mechanism for alleged or suspected use of chemical, biological, and toxin weapons;",
"(ii) Implementation of the BTWC and the Chemical Weapons Convention (CWC) with regard to toxins;",
"(iii) Non-proliferation at the State level under Article III and its application to ‘any recipient whatsoever’ which includes non-State actors, thus establishing that effective implementation of the Convention contributes to fulfilment of United Nations Security Council Resolution 1540 (2004);",
"(iv) Activities under co-operative threat reduction programmes assist in ensuring compliance within States Parties;",
"(v) Discussions in the G8 on issues such as non-proliferation, terrorism, and food security all have connections to the Convention;",
"(vi) The role of the World Health Organization (WHO), World Organisation for Animal Health (OIE), and Food and Agriculture Organization (FAO), whose activities on disease surveillance, detection and diagnosis and on responses to disease outbreaks can make a contribution to the object and purpose of the Convention.",
"15. The intersessional programme of work also opened up new fora for action. Some of these were regional initiatives with international reach, such as the EU Joint Action previously mentioned, promoting universality and national implementation assistance. Others were regional, such as the workshops convened by Australia and Indonesia in 2004 and 2005. Others still were non-governmental, such as the work of the InterAcademy Panel on codes of conduct for scientists.",
"IV. Conclusion",
"16. Taken together, the above examples not only underline the need for national action and fulfilment of national responsibilities but also demonstrate to States Parties the need for approaches across a range of areas. The range goes well beyond the ‘national only’ approach and also well beyond the ‘multinational’ agenda as traditionally understood. The intersessional programme of work not only helped to focus States Parties on specific issues but also facilitated new thinking. It allowed progress to be made in a non-controversial manner and provided the opportunity to discuss, consider and share ideas at practical levels beyond the 'BTWC officials' usually associated with the Convention and its implementation.",
"17. The tangible and intangible results of the intersessional programme of work between 2003 and 2005 extend beyond the simple reports agreed at the conclusion of each of the three Meetings of States Parties. Those reports are important, not least in identifying areas of agreement and measures that have value for effective implementation of the Convention, but they are not the totality of the achievements. The programme of work has had other important achievements. For example, the offers of assistance and technical advice on national implementation mechanisms have continued and activity in the area of codes of conduct for scientists is also continuing in various fora in a number of States Parties.",
"V. Rationale for a new work programme 2007-2010",
"18. The EU strongly believes that continued work on strengthening the Convention and enhancing its implementation is required beyond 2006. The Convention has to be implemented by its States Parties nationally and collectively. There is a balance of responsibilities inherent in this and maintaining the balance is important if the Convention is to continue to contribute to our individual and collective security.",
"19. A further programme of work will allow for other important areas of the Convention to be addressed. It will continue to identify how States Parties can rectify areas of weakness through action at various levels, permit continued outreach to intergovernmental and non-governmental organisations to raise awareness of the Convention, and assist in the identification of specific, practical, and feasible measures to enhance implementation of the Convention. The benefits derived from the last programme of work can be taken forward in the next one, and maintain a body of experts focused on implementation of the Convention to address current threats and problems.",
"VI. Modalities and possible topics for a new work programme 2007 - 2010",
"20. Given the positive benefits of the previous work programme, many of the modalities should continue to serve well. But State Parties might consider some small incremental changes to optimise the work, keeping within the overall pattern of activity already established. For example, where there is consensus, the Meetings of States Parties could make decisions without referral to the Seventh Review Conference. Certain issues could be discussed and reviewed on an annual basis, for example reporting on national implementation mechanisms, national enforcement of legislative and administrative arrangements, biosecurity, scientific and technological developments relevant to the Convention, awareness-raising and educational activities, peaceful uses of biological sciences, and progress towards universal adherence to the Convention. More intensive work on specific issues will also be required. Possible topics for a future work programme are identified below:",
"(i) Improvements to the Confidence-Building Measures (linked to Article V) - Discussion on this topic could focus on taking stock of the various measures defined in the CBM framework and lead on to recommendations aimed at ensuring that there is no duplication between them, and to encourage the implementation of common standards to help improve the submission process and the response rate. An overall evaluation of the CBMs could also be presented.",
"(ii) Safety and security of pathogens and toxins (linked to Article IV) - The issues in this area are linked directly with the provisions of the BTWC and make possible several mutually complementary approaches: through the interfacing of legislation and standards for biosecurity and biosafety and BTWC for example, or through a discussion of the factors to consider when drawing up controls over pathogens and toxins that may possibly be used for bioterrorism. The aim would be to take forward the debate started in the meetings in 2003.",
"(iii) Detection of pathogenic agents and response to epidemics in real time (linked to Articles VI and X) - This topic could usefully supplement the work done in 2004 and would make it possible to take stock of the latest technological developments on the detection of, and responses to, epidemics. In the context of major topical issues of epidemiological relevance, the links between the capacities of the international health and agriculture fora and the concerns of the BTWC could also be made clear. In particular the consequences of the new roles and responsibilities of States Parties to the revised International Health Regulations, which will enter into force in 2007, could be discussed from a BTWC perspective.",
"(iv) Raising of the awareness of the biological risk in national populations (linked to Article X) - This topic would cover the strategies implemented at national level to prepare the population for biological risks and to encourage the adoption of appropriate health-related behaviour. More generally, educational measures in the area of biological disarmament and non-proliferation could be examined.",
"(v) Judicial, police and customs cooperation on the prevention of proliferation of high-risk products and illicit trade in dual-use equipment (linked to Articles III, IV and X) - Such an expert meeting could offer an opportunity for in-depth exchanges on the actions conducted nationally, with regional partners, within the framework of intergovernmental organisations such as Interpol, and other international and regional mechanisms to prevent proliferation and on ways of enhancing their effectiveness. It would notably provide an opportunity to take stock of the measures implemented under Security Council Resolution 1540 with regard to biological weapons. It would also constitute a logical extension of the topic “reinforcement of national legislation” by considering the implementation of legislation on pathogens and toxins.",
"(vi) Redirection of scientists previously involved in military programmes (linked to Article X) - Such a topic would need to encompass all the relevant actors within States Parties. The discussion could notably be aimed at presenting examples of successful and relevant programmes of this kind and at examining appropriate ways and means (institutions, bilateral and multilateral cooperation frameworks) for action in this area (such as the G8 Global Partnership etc.).",
"(vii) Regional and sub-regional cooperation on BTWC implementation (linked to Article IV) - The regional and sub-regional organisations of all five continents could be invited in this connection to express their views on the actions they have undertaken to facilitate BTWC implementation. Exchanges of views might cover the areas likely to be the focus of future effort and how to ensure complementarity to relevant work undertaken in other fora. The EU could give feedback on its experience of the implementation of its Joint Action in support of the BTWC.",
"(viii) Action in the event of suspected use of biological or toxin weapons (linked to Articles V, VI and VII) - Consideration could be given to all the aspects that would be involved, procedures that would need to be followed, including States Parties consulting each other and other organisations, emergency assistance etc. No specific forum has, so far, been dedicated solely to bioterrorism, which makes it a work topic of many different organisations. Bioterrorism is indirectly linked to several Treaty Articles; an expert meeting about this topic could take stock of all actions undertaken in this field and complement Resolution 1540 related work.",
"21. The EU supports a focus on practical and feasible measures which will strengthen the Convention and enhance the effectiveness of its implementation between 2007 and 2010. The EU is ready to discuss with other States Parties how this might be achieved and how a further intersessional programme of work might be developed.",
"[1] This is one of a series of complementary papers submitted by the EU Member States for the consideration of States Parties. The Acceding Countries Bulgaria and Romania, the Candidate Countries Turkey, Croatia and the Former Yugoslav Republic of Macedonia, the Countries of the Stabilisation and Association Process and potential candidates Albania, Bosnia and Herzegovina, Serbia, as well as Ukraine and Republic of Moldova align themselves with this paper."
] | BWC_CONF.VI_WP.8 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Intersessional work programme: role played and contribution to the achievement of the object and purpose of the Convention during the period 2003-2005 and rationale for continuation of intersessional work beyond 2006",
"Proposal submitted by France and the United Kingdom of Great Britain and Northern Ireland on behalf of the European Union [1]",
"Introduction",
"1. The Fifth Review Conference of the Biological and Toxin Weapons Convention (BTWC) agreed to continue to strengthen the Convention process through a work programme for the period 2003-2005. The objectives of the Intersessional Work Programme are to discuss and promote consensus and effective action on the following identified issues:",
"(1) Take the necessary national measures, including the enactment of criminal legislation, to implement the prohibitions contained in the Convention;",
"(2) National mechanisms to ensure and maintain the security and oversight of pathogenic micro-organisms and toxins;",
"(3) Strengthening international capacity to respond to, investigate and mitigate the effects of cases of alleged use of biological or toxin weapons or suspicious outbreaks of disease;",
"(4) Strengthen and expand the efforts and existing mechanisms of national and international institutions for the monitoring, detection, diagnosis and combating of infectious diseases affecting humans, animals and plants;",
"(5) Content, promulgation and adoption of codes of conduct for scientists.",
"These topics include most of the substantive provisions of the Convention, including the scope and purpose of the Convention, non-proliferation issues, national implementation mechanisms, investigations of use, responses to alleged use, and disease surveillance, detection, diagnosis and mitigation, namely, articles I, III, IV, V, VI, VII and X.",
"3. At the Sixth Review Conference, States Parties will need to consider any recommendations from the Intersessional Work Programme and decide on further action. EU member States, other States parties, as well as various civil society and non-governmental organizations, have indicated that they will support agreement at the Sixth Review Conference for further intersessional work programmes.",
"The present working paper sets out the EU's views on the usefulness and impact of the 2003-2005 Intersessional Work Programme and how it can contribute to the effective implementation and strengthening of the Convention, which continues to be important. This is the basis for our necessary judgement on a further programme of work.",
"Background to the intersessional work programme",
"The Biological and Toxin Weapons Convention is a landmark agreement - the first disarmament treaty on weapons of mass destruction. The EU believes that the Convention is as effective as ever in addressing all threats posed by biological and toxin weapons. If there were no meetings between 2002 and 2006, the message from the States parties would be that they would consider the Convention to be of limited value in the current period, especially since in 2002 concerns about biological weapons and bioterrorism had reached new levels. Following the collapse of negotiations on a protocol to the Biological and Toxin Weapons Convention, the Intersessional Work Programme helped States parties to identify priorities for their efforts. It maintains a group of international experts from States parties working to strengthen the implementation of the Convention. It also helps to restore a sense of ownership of the Convention and, more importantly, a sense of State responsibility among States parties for the practical implementation of their obligations and compliance with the Convention. It assists in the development of different approaches to strengthening the Convention and its practical implementation.",
"6. The purpose of the Intersessional Work Programme is to determine how States Parties address known areas of weakness through actions taken at different levels. Action taken at the national level by each individual State party is a key component of the work programme. Action by intergovernmental organizations other than States parties, such as WHO and civil society, is also important.",
"Impact of the Intersessional Work Programme",
"From the perspective of EU member States, the work programme contributes to the implementation of the Convention in many ways, including by requiring each State party to consider and review its implementation of its obligations under the Convention. In preparation for the meetings, EU member States considered, inter alia, the following issues:",
"(1) Can implementation mechanisms be improved?",
"(2) Can gaps in actual implementation be identified?",
"(3) Which government departments, agencies and non-governmental entities are responsible for implementing the Convention at the national level?",
"(4) Can best practices be identified?",
"(5) Is best practices shared and disseminated among States parties?",
"(6) Can EU member States learn from the practices of other States parties?",
"(7) Is assistance required in certain areas for the practical implementation of the obligations under the Convention?",
"(8) Can EU Member States provide assistance to other States Parties in certain areas to ensure that the implementation of the Convention is more effective?",
"8. The work programme has implications for both the preparatory process and the follow-up. For example, the EU conducted a survey of national implementation mechanisms in 2003. The survey reported not only on the measures taken by EU member States, but also on the scope of the measures actually needed to implement the Convention (BWC/MSP/2003/MX/WP.62). As this information was made available to States Parties at the 2003 Meeting of Experts, the survey was useful in responding to the request for information on actual national implementation made at the First Review Conference in 1980. The exchange of such information enables all States parties to better understand national practices, contributes to transparency and increases opportunities to address national implementation issues and deal with them. The advantages and disadvantages of different approaches were explored in detail, and offers of assistance were made to States parties. Preparatory work for the Intersessional Work Programme during the period 2003-2005 resulted in an increase in the quantity and quality of information exchanged among States parties. This result is unprecedented in the BTWC context.",
"9. The outcome of the meetings of experts and States parties also encouraged, and indeed often required, follow-up. For example, the EU Joint Action on Universality and Assistance for the Implementation of the Convention The distribution at the Preparatory Committee is an example of work influenced by the outcome of the Intersessional Work Programme and recognizing that some States Parties (and future States Parties) will need assistance to fulfil their obligations under the Convention.",
"10. Meetings of experts and Meetings of States Parties have increased the breadth of implementation of the Convention through the participation of more delegations than other non-review meetings of States Parties. The Intersessional Work Programme also has an impact on the “ownership” and “responsibility” of the Convention. The number of intergovernmental and non-governmental organizations involved in various aspects of the Intersessional Work Programme has also increased. In fact, the perception of implementation has evolved from one that concerns only a small number of individuals within the State party ' s Government to one that concerns individuals, government departments and organizations, including intergovernmental organizations, non-governmental organizations and civil society in the State party. To give two examples: the preparation for the 2005 discussions on codes of conduct was greatly assisted by professional organizations that were able to initiate debates on biological weapons within the scientific community. Such awareness-raising activities have a positive impact on maintaining norms against biological and toxin weapons. In considering effective responses to disease outbreaks, whether natural or deliberate, in 2004, States Parties recognized the importance of timely and accurate information on disease outbreaks. Thus, disease reporting procedures at the national and international levels can contribute to the object and purpose of the Convention.",
"11. In addition, the Meeting of Experts and Meeting of States Parties have increased the depth of implementation of the Convention by:",
"(1) Provide incentives and time frames for States parties to take action in specific areas in a manner conducive to strengthening the Convention;",
"(2) Introduction of specificity in many debates on effective implementation;",
"(3) Provide an opportunity to discuss issues with various political and technical experts from other States Parties;",
"(4) To help establish and strengthen contacts between individuals, States parties, political and technical experts;",
"(5) Facilitating the exchange of expertise and good practices;",
"(6) Raise awareness of the Convention and its objectives and requirements within the wider national and international community.",
"12. The Intersessional Work Programme also helped to clarify certain issues. For example, the discussions in 2003 on the concept and implications of biosafety and the identification of the types of measures required for biosafety led to the recognition of the value of such measures. The importance of preventing unauthorized access to pathogens and sensitive materials and equipment was recognized by States Parties at the Third Review Conference in 1991 (BWC/CONF.III/23). The 2003 meeting provided some substance for that confirmation and helped to translate a commitment into more positive action.",
"The management of the Convention has also been strengthened. One of the main lessons learned from 30 years of implementation of the Convention is that it requires constant attention by States parties at the national level and collectively. It was not a treaty signed and implemented 30 years ago, and States parties had individual (national) and collective (regional, multilateral, international) responsibilities under the Convention, and the programme of work helped to clarify not only what those responsibilities were, but also how obligations could be implemented.",
"14. The programme of work also focuses on larger situations. The Convention is only one of several elements that seek or help prevent biological or toxin weapons from being used for war or hostile purposes. The discussions on the five areas of work attest to the links between these elements. For example:",
"1. The object and purpose of the Convention, the 1925 Geneva Protocol and the investigation by the Secretary-General of the United Nations into the alleged or suspected use of chemical, biological and toxin weapons mechanisms;",
"2. Implementation of the relevant toxins of the Biological and Toxin Weapons Convention and the Chemical Weapons Convention;",
"Article III provides for non-proliferation at the national level and its application to “any recipient”, including non-State actors, thus recognizing that the effective implementation of the Convention contributes to the implementation of United Nations Security Council resolution 1540 (2004);",
"Activities carried out under the Threat Reduction Cooperation Programme contribute to ensuring compliance among States Parties;",
"5. The G8 discussions on non-proliferation, terrorism and food security are all relevant to the Convention;",
"6. The role of the World Health Organization, OIE and the Food and Agriculture Organization of the United Nations (FAO) in disease surveillance, diagnostic activities and activities to respond to outbreaks of disease can contribute to the object and purpose of the Convention.",
"15. The Intersessional Work Programme has also created new forums for action. Some of these are regional initiatives with international implications, such as the EU Joint Action for Universalization and National Implementation Assistance mentioned above. Others are regional in nature, such as the seminars organized by Australia and Indonesia in 2004 and 2005. Others are non-governmental, such as the work of the InterAcademy Panel on codes of conduct for scientists.",
"Conclusions",
"16. In general, the above examples not only highlight the need for State action and State responsibility, but also indicate the need for States parties to adopt a cross-cutting approach. These areas go beyond the “national level” approach and go beyond the traditional “multilateral” agenda. The Intersessional Work Programme not only helps States parties to focus on specific issues, but also promotes new ideas. It enables progress to take place without controversy and provides an opportunity for practical discussion, consideration and exchange of ideas beyond the BTWC official, which is usually relevant to the Convention and its implementation.",
"17. The tangible and intangible results of the intersessional work programme for 2003-2005 far exceeded those reflected in the simple reports agreed upon at the conclusion of the three meetings of States parties. These reports are important, particularly in identifying areas of agreement and measures of value for the effective implementation of the Convention, but they do not reflect the full range of achievements achieved. There are other important achievements in the work programme. For example, the provision of assistance and technical advice on national implementation mechanisms has continued, and activities in the area of codes of conduct for scientists have continued in various forums in several States parties.",
"V. Rationale for the new programme of work for 2007-2010",
"The EU strongly believes that work on strengthening the Convention and its implementation needs to continue beyond 2006. The Convention needs to be implemented by States parties at the national level and collectively. There is an inherent balance of responsibility, which is important if the Convention is to continue to contribute to our individual and collective security.",
"19. Further work programmes will enable other important areas of the Convention to be addressed. It will continue to identify how States parties can address areas of weakness through action at all levels, so that awareness-raising efforts about the Convention can continue to extend to intergovernmental and non-governmental organizations, and assist in identifying concrete and practical measures to enhance the implementation of the Convention. The benefits of the previous work programme could be transferred to the next work programme and a pool of experts dedicated to the implementation of the Convention would be maintained to address current threats and problems.",
"VI. Modalities and possible topics for a new programme of work for 2007-2010",
"20. Given the benefits of the previous work programme, many models should continue to be used. The State party may, however, consider making small incremental changes in order to do better while maintaining the established overall pattern of activities. For example, if consensus is reached, the Meeting of States Parties may take a decision without having to submit it to the Seventh Review Conference. Certain issues could be discussed and reviewed annually, such as reporting on national implementation mechanisms, implementation of national legislation and administrative arrangements, biosafety, scientific and technological developments related to the Convention, awareness-raising and educational activities, peaceful uses of the biological sciences, and progress towards universalization of the Convention. More intensive work was also needed on specific issues. Possible topics for a future work programme are as follows:",
"(1) Improvement of CBMs (related to Article V) - Discussions on this topic could focus on the assessment of the various measures identified in the framework of CBMs, which could lead to recommendations aimed at ensuring that they do not duplicate each other and encourage the implementation of common standards to help improve the submission process and increase the response rate. An overall CBM assessment could also be provided.",
"(2) Safety and security of pathogens and toxins (relevant to Article IV) - Issues in this area are directly related to the provisions of the Biological and Toxin Weapons Convention and can take several complementary approaches: For example, through biosafety legislation and standards, interfaces with the Biological and Toxin Weapons Convention, or through discussions on factors to be taken into account in developing approaches to the control of pathogens and toxins that may be used for bioterrorism. The aim would be to continue the debate begun at the 2003 session.",
"(3) Detection of pathogens and real-time response to epidemics (in relation to Articles 6 and 10) - The topic could usefully complement the work done in 2004 and could assess the latest technological developments in the detection of and response to epidemics. The link between the capacity of international health and agricultural forums and the concerns of the Biological and Toxin Weapons Convention could also be clarified in the context of major current issues related to epidemiology. In particular, the consequences of the new role and responsibilities of States Parties to the revised International Health Regulations, which will enter into force in 2007, could be discussed from the BTWC perspective.",
"(4) Raising awareness of biological hazards among the people of the country (in relation to Article X) - This topic will include strategies implemented at the national level to help people prepare for biological hazards and encourage appropriate health behaviour. More generally, educational measures in the area of biological disarmament and non-proliferation could be studied.",
"(5) Judicial, police and customs cooperation in preventing the proliferation of high-risk products and illegal trade in dual-use equipment (in relation to Articles 3, 4 and 10) - Such expert meetings could provide an opportunity for in-depth exchanges at the national level, with regional partners, within intergovernmental organizations such as INTERPOL and other international and regional mechanisms on actions to prevent proliferation and ways to enhance their effectiveness. In particular, it will provide an opportunity to assess the implementation of measures relating to biological weapons under Security Council resolution 1540. It will also be a necessary extension of the topic “Strengthening national legislation”, as it will consider the implementation of legislation on pathogens and toxins.",
"(6) Conversion of scientists formerly involved in military programmes (in relation to Article X) - This topic will need to include all relevant actors within the State party. The discussion could focus in particular on the presentation of successful examples and relevant programmes of this type and on the study of appropriate ways and means (institutional, bilateral and multilateral cooperation frameworks) for action in this regard (e.g. G-8 Global Partnership, etc.).",
"(7) Regional and sub-regional cooperation in the implementation of the BTWC (related to Article IV) - In this regard, regional and sub-regional organizations on all five continents could be invited to express their views on their actions to promote BTWC implementation. The exchange of views could include areas where future efforts might be focused and how to ensure complementarity of relevant work in other forums. The EU can provide feedback on its experience in supporting the implementation of the BTWC Joint Action.",
"(8) Actions taken in the event of suspected use of biological or toxin weapons (relevant to Articles V, VI and VIII) - All aspects that may be involved may be considered and procedures to be followed, including consultations among States Parties and with other organizations, emergency assistance, etc. So far, there has been no specific forum dedicated to bioterrorism, which makes it a subject of work for many different organizations. Bioterrorism is indirectly related to a number of treaty provisions; an expert meeting on this subject could assess all actions taken in this area and complement work related to resolution 1540.",
"21. The EU supported the focus on practical measures to strengthen the Convention and enhance the effectiveness of its implementation between 2007 and 2010. The EU is ready to discuss with other States Parties how to do this and how to develop a further intersessional work programme.",
"[1] This is one of a series of additional documents submitted by EU member States for consideration by States Parties. The acceding countries Bulgaria and Romania, the candidate countries Turkey, Croatia and the former Yugoslav Republic of Macedonia, the countries of the Stabilization and Association Process and potential candidates Albania, Bosnia and Herzegovina and Serbia, as well as Ukraine and the Republic of Moldova, support this document."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定 审查《公约》的实施情况",
"普 遍 加 入",
"阿根廷、玻利维亚、巴西、智利、哥伦比亚、哥斯达黎加、 厄瓜多尔、危地马拉、墨西哥、秘鲁和乌拉圭提出",
"1. 普遍加入《关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约》对充分实现其目标和宗旨至关重要。实现普遍加入《公约》有利于加强大规模毁灭性武器的不扩散问题。",
"2. 为了实现普遍加入《公约》，所有缔约国都必须显示出政治意愿。",
"3. 在这一点上，谨请审查会议考虑下列各项建议：",
"(a) 欢迎自上次审查会议以来马里、安提瓜和巴布达、帕劳、东帝汶、苏丹、阿塞拜疆、吉尔吉斯斯坦、摩尔多瓦共和国和塔吉克斯坦等国政府加入了《生物武器公约》或交存了批准书，使缔约国达到155个这一事实；",
"(b) 呼吁尚未加入或批准《生物武器公约》的国家毫不拖延地这样做；",
"(c) 呼吁各国撤回对《1925年日内瓦议定书》的所有保留意见，以便加强禁止使用生物武器的准则；",
"(d) 强调增进国际合作和技术转让作为鼓励普遍加入的手段的重要性；",
"(e) 通过有助于普遍加入《生物武器公约》的行动计划，包括：",
"(一) 授权支助股采取行动促进普遍加入，包括：",
"(二) 通过双边办法以及在区域和多边会议框架内争取缔约国承诺加强它们为实现普遍加入《生物武器公约》作出的努力。这些努力可包括缔约国和非缔约国交流有关立法经验的信息；",
"(三) 请缔约国指定协调中心， 负责协调旨在确保普遍加入《生物武器公约》的行动，并在年度会议上向其他缔约国提出有关这些行动的报告。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIESTO THE CONVENTION ON THE PROHIBITION OFTHEDEVELOPMENT, PRODUCTION AND STOCKPILINGOF BACTERIOLOGICAL (BIOLOGICAL) ANDTOXIN WEAPONS AND ON THEIR DESTRUCTION\tBWC/CONF.VI/WP.920 October 2006ENGLISHOriginal: SPANISH",
"Geneva, 20 November-8 December 2006 Item 10 of the provisional agenda Review of the operation of the Convention as provided for in its article XII",
"UNIVERSALIZATION",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. The universalization of the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on their Destruction is of fundamental importance in fully achieving its objectives and purposes. Achieving universality contributes to strengthening the non-proliferation of weapons of mass destruction.",
"2. To achieve universalization, all States parties must demonstrate political will.",
"3. In this regard, the Review Conference is invited to consider the following recommendations:",
"(a) It should welcome the fact that, since the last Review Conference, the Governments of Mali, Antigua and Barbuda, Palau, Timor-Leste, the Sudan, Azerbaijan, Kyrgyzstan, the Republic of Moldova and Tajikistan have acceded to the Biological Weapons Convention or deposited their instruments of ratification, bringing the number of States parties to 155;",
"(b) It should call upon States that have not yet adhered to or ratified the Biological Weapons Convention to do so without delay;",
"(c) It should call upon States to withdraw all the reservations made to the 1925 Geneva Protocol in order to strengthen the norm that prohibits the use of biological weapons;",
"(d) It should underline the importance of promoting international cooperation and technology transfer as incentives to achieve universality;",
"GE.06-64690 (E) 031106 061106",
"(e) It should adopt an action plan to facilitate universalization of the Biological Weapons Convention, including:",
"(i) Authorizing the Support Unit to take action to promote universalization, including:",
"legislation to allow them to speed up their process of ratifying or acceding to the Biological Weapons Convention;",
"meetings and other events related to the Biological Weapons Convention.",
"(ii) Securing a commitment by States parties to intensify their efforts to achieve the universalization of the Biological Weapons Convention, through bilateral means as well as within the framework of regional and multilateral meetings. These efforts might include the exchange of information concerning legislative experience between States parties and non-parties;",
"(iii) Inviting States parties to appoint a focal point responsible for coordinating actions aimed at securing the universalization of the Biological Weapons Convention. A report on these actions should be presented to the other States parties at annual meetings."
] | BWC_CONF.VI_WP.9 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"General",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"Universal adherence to the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction is essential for the full achievement of its object and purpose. Universal adherence to the Convention would enhance the non-proliferation of weapons of mass destruction.",
"2. In order to achieve universal adherence to the Convention, all States parties must demonstrate political will.",
"3. In this connection, the Review Conference may wish to consider the following recommendations:",
"(a) Welcomed the fact that, since the last Review Conference, the Governments of Mali, Antigua and Barbuda, Palau, Timor-Leste, the Sudan, Azerbaijan, Kyrgyzstan, the Republic of Moldova and Tajikistan have acceded to the Biological Weapons Convention or deposited instruments of ratification, bringing the number of States parties to 155;",
"(b) Call upon States that have not yet acceded to or ratified the Biological Weapons Convention to do so without delay;",
"(c) Calls upon States to withdraw all reservations to the 1925 Geneva Protocol in order to strengthen the norm against the use of biological weapons;",
"(d) Emphasize the importance of enhancing international cooperation and transfer of technology as a means of encouraging universality;",
"(e) Adopt a plan of action to promote universalization of the Biological Weapons Convention, including:",
"(i) Authorize the Unit to take action to promote universalization, including:",
"(ii) Seeking the commitment of States Parties to strengthen their efforts to achieve universal adherence to the Biological Weapons Convention, both bilaterally and within the framework of regional and multilateral meetings. Such efforts could include the exchange of information on legislative experience between States parties and non-parties;",
"(iii) States Parties are invited to designate focal points to coordinate actions aimed at ensuring universalization of the BWC and to report on these actions to other States Parties at their annual meetings."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查《公约》的实施情况",
"科学合作和技术转让第十条",
"阿根廷、玻利维亚、巴西、智利、哥伦比亚、哥斯达黎加、 厄瓜多尔、危地马拉、墨西哥、秘鲁和乌拉圭提交",
"1. 为经济和技术的发展和平利用生物技术是缔约国根据《禁止细菌(生物)及毒素武器的发展生产及储存以及销毁这类武器的公约》(《生物武器公约》) 享有的一项权利。",
"2. 从这一视角来看，按照《生物武器公约》的宗旨和原则促进科学合作和技术转让的重要性应得到强调。",
"3. 科学合作和技术转让对于实现《生物武器公约》的普遍性起着重要的推动作用――因此有必要予以加强并呼吁缔约国考虑下述建议",
"(1) 它们应全面执行以前的审查会议以及《生物武器公约》缔约国特别会议所达成的协定；",
"(2) 它们应确保和平活动中的科学合作和技术转让，例如与公共卫生、农业和农牧业有关的活动；",
"(3) 它们应在联合国系统各专门机构与国际组织及区域组织之间建立有效的协调机制，以促进科学合作和技术转让；",
"(4) 它们应就科学合作和技术转让领域内采取的措施提交年度报告；",
"(5) 它们应重申对联合国秘书长提出的请求，即每年从缔约国收集并向缔约国传播与《生物武器公约》第十条的执行及审查会议通过的决定有关的信息；",
"(6) 它们应鼓励采取措施以便在和平利用生物技术、基因工程、微生物技术方面及与《生物武器公约》有关的其他领域建立科学界与学术部门之间的网络；",
"(7) 它们应根据《生物武器公约》第七条之规定支持建立程序来帮助请求给予帮助的缔约国；",
"(8) 它们应根据《生物武器公约》第五条之规定审查磋商和合作程序；",
"(9) 它们应创建包含国际合作和技术转让机会方面信息的数据库。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIESTO THE CONVENTION ON THE PROHIBITION OFTHEDEVELOPMENT, PRODUCTION AND STOCKPILINGOF BACTERIOLOGICAL (BIOLOGICAL) ANDTOXIN WEAPONS AND ON THEIR DESTRUCTION\tBWC/CONF.VI/WP.1020 October 2006ENGLISHOriginal: SPANISH",
"Geneva, 20 November-8 December 2006 Item 10 of the provisional agenda Review of the operation of the Convention as provided for in its article XII",
"SCIENTIFIC COOPERATION AND TECHNOLOGY TRANSFER ARTICLE X",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. The use of all peaceful applications of biotechnology for economic and technological development constitutes a right of States parties under the Convention on the Prohibition on the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (the Biological Weapons Convention).",
"2. From this perspective, the importance of promoting scientific cooperation and technology transfer in accordance with the purposes and principles of the Biological Weapons Convention is to be underscored.",
"3. Scientific cooperation and technology transfer constitute important incentives for the universalization of the Biological Weapons Convention\n consider the following recommendations:",
"(i) They should fully implement the agreements reached by previous Review Conferences, as well as the Special Conference of the parties to the Biological Weapons Convention;",
"(ii) They should ensure scientific cooperation and technology transfer in peaceful activities such as those related to public health, agriculture, farming and animal husbandry;",
"(iii) They should develop efficient coordination mechanisms between the specialized agencies of the United Nations system and international and regional organizations, in order to facilitate scientific cooperation and technology transfer;",
"(iv) They should report annually on steps taken in the area of scientific cooperation and technology transfer;",
"GE.06-64697 (E) 061106 071106",
"(v) They should reiterate the request made to the United Nations Secretary-General to collect from and distribute among States parties, on a yearly basis, information on the implementation of article X of the Biological Weapons Convention, and on decisions adopted by the Review Conferences;",
"(vi) They should encourage the adoption of measures to create networks between scientific communities and the academic sector regarding the peaceful use of biotechnology, genetic engineering, microbiology and other areas related to the Biological Weapons Convention;",
"(vii) They should support the establishment of procedures to assist States parties which request such assistance under article VII of the Biological Weapons Convention;",
"(viii) They should review the procedures for consultation and cooperation under article V of the Biological Weapons Convention;",
"(ix) They should create a database containing information on opportunities for international cooperation and technology transfer."
] | BWC_CONF.VI_WP.10 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Article 10 Scientific cooperation and technology transfer",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. The peaceful use of biotechnology for economic and technological development is a right of States Parties to the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (BWC).",
"From this perspective, the importance of promoting scientific cooperation and technology transfer in accordance with the purposes and principles of the BWC should be emphasized.",
"Scientific cooperation and technology transfer play an important catalytic role in achieving the universality of the Biological Weapons Convention - hence the need to strengthen it and call upon States Parties to consider the following recommendations:",
"(1) They should fully implement the agreements reached at previous Review Conferences and at the Special Conference of the States Parties to the Biological Weapons Convention;",
"(2) They should ensure scientific cooperation and technology transfer in peaceful activities, such as those related to public health, agriculture and agriculture;",
"(3) They should establish effective coordination mechanisms between the specialized agencies of the United Nations system and international and regional organizations to promote scientific cooperation and technology transfer;",
"(4) They should submit annual reports on measures taken in the field of scientific cooperation and technology transfer;",
"(5) They should reiterate their request to the Secretary-General of the United Nations to collect and disseminate annually to States Parties information relevant to the implementation of Article X of the BWC and the decisions adopted by the Review Conference;",
"(6) They should encourage measures to establish networks between the scientific and academic sectors in the peaceful uses of biotechnology, genetic engineering, microbiological technology and other areas relevant to the Biological Weapons Convention;",
"(7) They should support the establishment of procedures to assist States Parties requesting assistance, in accordance with Article VII of the BWC;",
"(8) They shall review the procedures for consultation and cooperation in accordance with Article V of the BWC;",
"(9) They should create databases containing information on opportunities for international cooperation and technology transfer."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查《公约》的实施情况",
"后续机制",
"阿根廷、玻利维亚、巴西、智利、哥伦比亚、哥斯达黎加、 厄瓜多尔、危地马拉、墨西哥、秘鲁和乌拉圭提交",
"1. 尽管《禁止细菌(生物)及毒素武器的发展生产及储存以及销毁这类武器的公约》(《生物武器公约》)第五次审查会议与第六次审查会议期间所用特设机制有助于就某些专题交流信息和经验，但在履行《公约》所规定的所有义务方面却受到限制。",
"2. 为了改变这一状况，我们请审查会议为《生物武器公约》第六次审查会议与第七次审查会议之间的时期建立一个灵活的特设后续机制。该机制将：",
"(1) 支持政府专家的年度会议(一个星期)和缔约国的年度会议(两个星期)；",
"(2) 在政府专家会议上分析生物技术、基因工程、微生物学领域及可能对《生物武器公约》的工作产生影响的其他相关领域的发展情况；",
"(3) 在缔约国会议上系统地审议《生物武器公约》的序言部分和执行部分以及先行召开的政府专家会议的任何工作，并具体说明在下次政府专家会议上要讨论的主题；",
"(4) 在第一次政府专家会议上讨论下列主题：……；",
"(5) 在缔约国会议期间有能力通过应对《生物武器公约》所面临的任何挑战的决定；",
"(6) 通过支助股为后续机制的工作提供便利。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIESTO THE CONVENTION ON THE PROHIBITION OFTHEDEVELOPMENT, PRODUCTION AND STOCKPILINGOF BACTERIOLOGICAL (BIOLOGICAL) ANDTOXIN WEAPONS AND ON THEIR DESTRUCTION\tBWC/CONF.VI/WP.1120 October 2006ENGLISHOriginal: SPANISH",
"Geneva, 20 November-8 December 2006 Item 10 of the provisional agenda Review of the operation of the Convention as provided for in its article XII",
"FOLLOW-UP MECHANISM",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. Although the ad hoc mechanism used in the period between the fifth and sixth review conferences of the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (the Biological Weapons Convention) has been useful for exchanging information and experience on some topics, it has suffered from limitations as regards the implementation of all the obligations contained in the Convention.",
"2. In order to remedy this situation, we invite the Review Conference to establish a flexible ad hoc follow-up mechanism for the period between the sixth and seventh review conferences of the Biological Weapons Convention. This mechanism would:",
"(i) Support annual meetings of governmental experts (one week) and of States parties (two weeks);",
"(ii) Analyse, in meetings of governmental experts, developments in the fields of biotechnology, genetic engineering, microbiology and other related areas that may have an impact on the work of the Biological Weapons Convention;",
"(iii) Examine systematically, in meetings of the States parties, the preamble as well as the operative section of the Biological Weapons Convention, as well as the work of the preceding meeting of governmental experts, if any, and specify the subjects to be discussed at the next meeting of governmental experts;",
"(iv) Discuss, at the first meeting of governmental experts, the following subjects: …;",
"(v) Have, during the meetings of the States parties, the capacity to adopt decisions which provide a response to any challenges facing the Biological Weapons Convention;",
"(vi) Facilitate the work of the follow-up mechanism through the Support Unit.",
"GE.06-64704 (E) 061106 071106"
] | BWC_CONF.VI_WP.11 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Follow-up mechanism",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. Notwithstanding the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (BWC), The ad hoc mechanisms used at the Fifth Review Conference and the Sixth Review Conference facilitated the exchange of information and experience on certain topics, but were limited in the implementation of all obligations under the Convention.",
"2. In order to remedy this situation, we request the Review Conference to establish a flexible ad hoc follow-up mechanism for the period between the Sixth and Seventh Review Conferences of the Biological Weapons Convention. The mechanism will:",
"(1) Support annual meetings of governmental experts (one week) and States parties (two weeks);",
"(2) Analysis of developments in the fields of biotechnology, genetic engineering, microbiology and other relevant areas that may have an impact on the work of the BWC at meetings of governmental experts;",
"(3) Systematically consider the preamble and operative parts of the BWC and any work of the preceding meetings of governmental experts at the Meeting of States Parties, specifying the themes to be addressed at the next meeting of governmental experts;",
"(4) Discussion of the following themes at the first meeting of governmental experts: ;",
"(5) The ability to adopt decisions to address any challenges to the BWC during meetings of States Parties;",
"(6) Facilitating the work of the follow-up mechanism through the ISU."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查《公约》的实施情况",
"建立信任措施",
"阿根廷、玻利维亚、巴西、智利、哥伦比亚、 哥斯达黎加、厄瓜多尔、危地马拉、墨西哥、 秘鲁和乌拉圭提交",
"1. 建立信任措施对于更好地和更有效地执行《禁止细菌(生物)及毒素武器的发展生产及储存以及销毁这类武器的公约》(《生物武器公约》)的条款是必要的。",
"2. 建立信任措施通过增加透明度来预防和减少模糊领域，并且能够帮助对遵约机制进行有步骤的分析。",
"3为了使这些措施得到理想的改进，请缔约国在支助股的协助下，在其年度会议的框架内考虑下述建议：",
"(1) 应缔约国的请求在设计、提交和执行建立信任措施方面向其提供协助和合作；",
"(2) 审查现有措施及其格式；",
"(3) 为加强措施的执行制定指导方针；",
"(4) 审议创建形式更易读并与所使用的语言无关的新表格及以电子形式提供该表格的可取性；",
"(5) 必要时拟订新措施；",
"(6) 研究设立一个政府专家小组来协助履行上文提到的职责及其他任务的可能性。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIESTO THE CONVENTION ON THE PROHIBITION OFTHEDEVELOPMENT, PRODUCTION AND STOCKPILINGOF BACTERIOLOGICAL (BIOLOGICAL) ANDTOXIN WEAPONS AND ON THEIR DESTRUCTION\tBWC/CONF.VI/WP.1220 October 2006ENGLISHOriginal: SPANISH",
"Geneva, 20 November-8 December 2006 Item 10 of the provisional agenda Review of the operation of the Convention as provided for in its article XII",
"CONFIDENCE-BUILDING MEASURES",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. Confidence-building measures are necessary for better and more effective implementation of the provisions of the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (the Biological Weapons Convention).",
"2. Confidence-building measures prevent and reduce areas of ambiguity through greater transparency, and can be useful in carrying out a structured analysis of a compliance regime.",
"3. In order to achieve the desired improvement of such measures, States parties are invited to consider the following recommendations within the framework of their annual meetings, assisted by the Support Unit:",
"(i) Provision of assistance and cooperation to States parties, when requested, in devising, presenting and implementing confidence-building measures;",
"(ii) Review of existing measures and their format;",
"(iii) Development of guidelines for enhancement of their implementation;",
"(iv) Examination of the desirability of creating new forms with a more readable format, independently of the language in which the forms are presented, and of making them available in electronic format;",
"(v) Devising of new measures, where necessary;",
"(vi) Study of the possibility of establishing a panel of governmental experts to assist in the duties mentioned above, among other tasks.",
"GE.06-64711 (E) 061106 071106"
] | BWC_CONF.VI_WP.12 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Confidence-building measures",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"Confidence-building measures are necessary for better and more effective implementation of the provisions of the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (BWC).",
"2. Confidence-building measures prevent and reduce areas of ambiguity through increased transparency and can contribute to a systematic analysis of compliance mechanisms.",
"In order to achieve the desired improvement of these measures, States Parties, with the assistance of the ISU, are invited to consider, within the framework of their annual meetings, the following recommendations:",
"(1) To assist and cooperate with States Parties, at their request, in the design, submission and implementation of confidence-building measures;",
"(ii) Review of existing measures and their format;",
"(3) Development of guidelines for strengthening the implementation of measures;",
"(4) Consider the desirability of creating new forms in a form that is more readable and unrelated to the language in which they are used and of making them available electronically;",
"(5) Development of new measures where necessary;",
"(6) Study the possibility of establishing a group of governmental experts to assist in the performance of the functions and other tasks mentioned above."
] |
[
"2006年11月20日至12月8日，日内瓦",
"临时议程项目10",
"按照第十二条的规定审查《公约》的实施情况",
"支 助 股",
"阿根廷、玻利维亚、巴西、智利、哥伦比亚、哥斯达黎加、 厄瓜多尔、危地马拉、墨西哥、秘鲁和乌拉圭提交",
"1. 需要一个支助机制来帮助缔约国开展《禁止细菌(生物)及毒素武器的发展生产及储存以及销毁这类武器的公约》(《生物武器公约》)审查会议之间的筹备工作，并扩展其职能。",
"2. 有鉴于此，请审查会议成立一个常设支助股/秘书处，其主要职能将是：",
"(1) 分析从缔约国报告中获得的信息；",
"(2) 应缔约国的请求协助它们提交报告；",
"(3) 应缔约国的请求协助它们修订其国内立法；",
"(4) 建立一个与《生物武器公约》所涉及的专题有关的国家标准和立法的数据库；",
"(5) 为管理保密信息设计一个机制；",
"(6) 为《生物武器公约》的会议编写文件；",
"(7) 以就技术和程序问题提供咨询意见的形式在《生物武器公约》会议上为主席和缔约国提供支持；",
"(8) 采取措施以促进普遍加入《公约》；",
"(9) 便利缔约国与保存人、国际组织、科学机构和学术机构及非政府组织之间的联系；",
"(10) 更新《生物武器公约》网站。"
] | [
"SIXTH REVIEW CONFERENCE OF THE STATESPARTIESTO THE CONVENTION ON THE PROHIBITION OFTHEDEVELOPMENT, PRODUCTION AND STOCKPILINGOF BACTERIOLOGICAL (BIOLOGICAL) ANDTOXIN WEAPONS AND ON THEIR DESTRUCTION\tBWC/CONF.VI/WP.1320 October 2006ENGLISHOriginal: SPANISH",
"Geneva, 20 November-8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention",
"as provided for in its article XII",
"SUPPORT UNIT",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. A support mechanism is needed to assist States parties in their preparatory work between the review conferences of the Convention on the Prohibition on the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (the Biological Weapons Convention), and to extend their functions.",
"2. With this perspective, the Review Conference is invited to create a permanent support unit/secretariat, whose main functions will be:",
"(i) To analyse the information received from the States parties in their reports;",
"(ii) To provide assistance to States parties on request in the submission of their reports;",
"(iii) To provide assistance to States parties on request in the adaptation of their domestic legislation;",
"(iv) To develop a database on national standards and legislation related to topics covered in the Biological Weapons Convention;",
"(v) To devise a mechanism for the management of confidential information;",
"(vi) To prepare documentation for the meetings of the Biological Weapons Convention;",
"GE.06-64718 (E) 061106 071106",
"(vii) To provide support to the Chairman and the States parties at meetings of the Biological Weapons Convention in the form of advice on technical and procedural issues;",
"(viii) To take steps designed to promote universalization;",
"(ix) To facilitate links between States parties and the depositaries, international organizations, scientific and academic institutions and non-governmental organizations;",
"(x) To update the Biological Weapons Convention website."
] | BWC_CONF.VI_WP.13 | [
"Geneva, 20 November - 8 December 2006",
"Item 10 of the provisional agenda",
"Review of the operation of the Convention as provided for in its Article XII",
"Support Unit",
"Submitted by Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Peru and Uruguay",
"1. There is a need for a support mechanism to assist States parties in the implementation of the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (BWC) Preparatory work and expansion of functions between BWC Review Conferences.",
"2. In view of the above, the Review Conference is requested to establish a permanent support unit/secretariat whose main functions will be:",
"(1) Analysis of information obtained from reports of States parties;",
"(ii) Assist States parties, at their request, in the submission of reports;",
"(3) Assist States Parties, at their request, in revising their domestic legislation;",
"(4) Establishment of a database of national standards and legislation relevant to topics covered by the BWC;",
"(5) Design a mechanism for the management of confidential information;",
"(6) Preparation of documentation for BWC meetings;",
"(7) Providing support to the President and States Parties at BWC meetings in the form of advice on technical and procedural issues;",
"(8) Measures to promote universalization of the Convention;",
"(9) Facilitating communication between States parties and depositaries, international organizations, scientific and academic institutions and non-governmental organizations;",
"(10) Update the BWC website."
] |
[
"2011年8月5日秘书长给安全理事会主席的信",
"继我关于第1701(2006)号决议执行情况给安全理事会的最新报告(S/2011/406)，我现在请安全理事会考虑延长联合国驻黎巴嫩临时部队(联黎部队)的任期，这一任期将在2011年8月31日到期。黎巴嫩外交和侨民事务部长在2011年7月22日给我的信中请安全理事会在不修改联黎部队任务的情况下将其任期再延长一年。",
"联黎部队继续在确保黎巴嫩南部的和平与稳定以及双方完全遵守“蓝线”方面至关重要的作用。按照其目前的任务规定，联黎部队继续监测停止敌对活动的状况，并协助黎巴嫩武装部队采取步骤在“蓝线”和利塔尼河之间建立无任何未经授权的武装人员、资产和武器区。联黎部队还在自己力所能及的范围内采取一切必要行动，确保其行动区不被用来从事任何种类的敌对活动。",
"联黎部队与黎巴嫩武装部队的合作对于执行联黎部队的任务规定依然必不可少。在2011年7月13日举行的三方会议上，黎巴嫩武装部队重申，黎巴嫩政府坚定承诺执行第1701(2006)号决议，并承诺在这方面继续与联黎部队合作。2011年7月16日，纳吉布·米卡提总理在国防部长、黎巴嫩武装部队指挥官和高级将领的陪同下访问联黎部队行动区时，重复了这一承诺。",
"联黎部队继续与黎巴嫩武装部队开展其联合业务活动，包括每24小时平均进行13次反火箭发射行动和每天6次徒步巡逻，同时在18个共设检查站执勤，其中6个检查站设在利塔尼河上。两支部队最近在陆地和海上举行了几次大型联合能力演习。",
"联黎部队与包括三方机制在内的有关各方的联络和协调安排，促进了最近若干建设性的务实措施，有益于建立信任。",
"由于对争议点缺少共识，“蓝线”的显著标识进程处于长期僵持状态，最近联黎部队倡议进行非争议点标识，得到双方的积极响应。我乐观地相信，经过长期的间断，标识进程现在可以认真进行，并得到特派团内地雷行动必不可少的支持。",
"有关各方还同意通过三方机制讨论海洋安全问题，有可能包括海军的专家。联黎部队将继续在推动这些讨论的方法方面与双方合作。",
"联黎部队在与双方进行广泛接触和讨论后，敲定自己关于安全安排的提议，以促进以色列国防军从盖杰尔北部撤离。2011年6月25日，联黎部队向双方提出自己的提案，供其正式通过。",
"联黎部队继续开展自己的业务活动，包括每月在整个行动区进行多达1万次的巡逻，当地民众对联黎部队的态度总体上是积极的。尽管如此，除了我通过关于第1701(2006)号决议执行情况的定期报告向安全理事会报告的事件外，2011年6月下旬发生了几起不友好行为和限制联黎部队巡逻和人员行动自由的事件。其中有些事件涉及扔石块和当地居民从联黎部队人员处拿走联合国财产，如照相机、地理信息系统、通信设备和地图。联黎部队就这些事件向黎巴嫩武装部队提出强烈抗议。联黎部队指挥官指示联黎部队坚决运用接战规则，保护自己和财产。联黎部队将继续与黎巴嫩当局密切合作，以便尽量减少这些事件的发生。",
"联黎部队的行动自由及其人员的安全保障对于有效执行其任务不可或缺。安全理事会第1773(2007)号决议促请所有有关各方同联合国和联黎部队充分合作，认真履行尊重联黎部队人员和联合国其他人员安全的义务，包括避免采取任何危及联合国人员安全的行动，确保联黎部队在其行动地区内全面享有行动自由。确保联黎部队人员在行动区行动自由的主要责任在于黎巴嫩当局。",
"联黎部队和黎巴嫩武装部队在战略对话进程中的接触使我感到鼓舞，我认为这种接触很重要。战略对话的目的是对地面部队和海洋资产进行分析，并制订一系列基准，反映出联黎部队的能力和责任与黎巴嫩武装部队的能力和责任之间的相互联系，以便查明黎巴嫩武装部队为执行第1701(2006)号决议中规定的任务有什么需要。我希望战略对话的步伐加快。联黎部队的长期目标，是按照第1701(2006)号决议，将该部队目前在陆地和海上履行的职责逐渐移交黎巴嫩武装部队，由黎巴嫩武装部队履行对联黎部队行动区和黎巴嫩领水的有效安全控制。",
"截至2011年7月15日，军事人员的总人数为12 091人。这一数字包括部署在两个区的11 135名联黎部队地面部队，616名在海事工作队服役的人员。联黎部队文职部门有354名国际工作人员和658名本国工作人员。",
"我感谢组成联黎部队的36个部队派遣国继续承诺。这一承诺，加之与黎巴嫩武装部队建立战略伙伴关系，使得第1701(2006)号决议的几个关键部分得到圆满执行。然而，随着联黎部队的任期即将到期，显然还有更多的工作需要做。",
"我还想感谢联黎部队的特派团团长和部队指挥官阿萨塔少将，并感谢联黎部队全体军事和文职人员，感谢他们为了和平在黎巴嫩南部开展工作。",
"关于联黎部队的财务问题，大会第65/303号决议为联黎部队特别账户共拨款5.455亿美元(毛额)，作为2011年7月1日至2012年6月30日期间该部队的维持费用。如果安全理事会决定将该部队的任期延长至2011年8月31日以后，维持费用将限于大会批准的数额。",
"截至2011年5月31日，联黎部队特别账户的未缴摊款为5 800万美元。截至同日，所有维持和平行动的未缴摊款总额为18.492亿美元。我吁请所有会员国尽快全额缴付摊款，以便结清所有欠款。",
"截至2011年7月14日，对部队派遣国的欠款共计1 310万美元。按照季度付款时间表，部队和特遣队所属装备费用已分别偿还至2011年5月31日和2011年3月31日。",
"考虑到上述情况，我建议安全理事会将联黎部队的任期再延长12个月，到2012年8月31日。",
"请提请安理会成员注意本函为荷。",
"潘基文(签名)"
] | [
"Letter dated 5 August 2011 from the Secretary-General addressed to the President of the Security Council",
"Further to my latest report to the Security Council concerning the implementation of resolution 1701 (2006) (S/2011/406), I hereby request the Security Council to consider the renewal of the mandate of the United Nations Interim Force in Lebanon (UNIFIL), which is due to expire on 31 August 2011. In a letter dated 22 July 2011 addressed to me, the Minister for Foreign Affairs and Emigrants of Lebanon requested that the Security Council extend the mandate of UNIFIL for a further period of one year, without amendment.",
"UNIFIL continues to play a crucial role in ensuring peace and stability in southern Lebanon, as well as full respect for the Blue Line by both parties. In accordance with its mandate, UNIFIL continues to monitor the cessation of hostilities and assist the Lebanese Armed Forces in taking steps towards the establishment between the Blue Line and the Litani River of an area free of any unauthorized armed personnel, assets and weapons. UNIFIL also takes all necessary action within its capabilities to ensure that its area of operations is not utilized for hostile activities of any kind.",
"Cooperation between UNIFIL and the Lebanese Armed Forces continues to be essential for the implementation of the UNIFIL mandate. At the tripartite meeting held on 13 July 2011, the Lebanese Armed Forces reiterated the firm commitment of the Government of Lebanon to the implementation of resolution 1701 (2006) and its continued cooperation with UNIFIL in this regard. This commitment was echoed by the Prime Minister, Najib Mikati, when he visited the UNIFIL area of operations on 16 July 2011, accompanied by the Minister of Defence and the Commander and senior generals of the Lebanese Armed Forces.",
"UNIFIL and Lebanese Armed Forces continue their joint operational activities, including an average of 13 counter-rocket-launching operations during each 24-hour period and six daily foot patrols, while operating 18 co-located checkpoints, 6 of which are on the Litani River. The two forces recently conducted several large-scale joint capability exercises on land and at sea.",
"The liaison and coordination arrangements of UNIFIL with the parties, including the tripartite mechanism, have facilitated a number of recent constructive and pragmatic measures and served to build trust.",
"After a long impasse in the process of visibly marking the Blue Line due to a lack of consensus over contentious points, the parties responded positively to the most recent initiative of UNIFIL to proceed with the marking of non-contentious points. I am optimistic that after a long hiatus the marking process can now continue in earnest with the requisite support of mine action within the mission.",
"The parties have also agreed to discuss maritime security issues through the tripartite mechanism, with the possible inclusion of naval experts. UNIFIL will continue to work with both parties on the modalities for taking these discussions forward.",
"UNIFIL, after intensive engagement and discussions with both parties, finalized its proposal regarding the security arrangements to facilitate the withdrawal of the Israel Defense Forces from northern Ghajar. On 25 June 2011, UNIFIL submitted its proposal to the parties for their formal adoption.",
"The overall attitude of the local population towards UNIFIL remains positive as it continues to carry out its operational activities, including up to 10,000 patrols per month throughout its area of operations. This notwithstanding, beyond the incidents reported to the Security Council through my periodic reports on the implementation of resolution 1701 (2006), several incidents of unfriendly behaviour and freedom of movement restrictions towards UNIFIL patrols and personnel occurred late in June 2011. Some of the incidents involved stone-throwing and the taking of United Nations property, such as cameras, geographical information systems, communication equipment and maps, from UNIFIL personnel by local civilians. UNIFIL strongly protested about the incidents to the Lebanese Armed Forces. The UNIFIL Force Commander has instructed UNIFIL troops to apply vigorously the rules of engagement in defence of themselves and their property. UNIFIL will continue to work closely with the Lebanese authorities, with the aim of minimizing the occurrence of such incidents.",
"The freedom of movement of UNIFIL and the security and safety of its personnel is integral to the effective execution of its tasks. The Security Council in its resolution 1773 (2007) urged all parties to cooperate fully with the United Nations and UNIFIL, and to abide scrupulously by their obligation to respect the safety of UNIFIL and other United Nations personnel, including by avoiding any course of action which endangers United Nations personnel and by ensuring that UNIFIL is accorded full freedom of movement within its area of operations. The primary responsibility for ensuring freedom of movement to UNIFIL personnel in the area of operations lies with the Lebanese authorities.",
"I am encouraged by the engagement of UNIFIL and the Lebanese Armed Forces in the strategic dialogue process, to which I attach great importance. The strategic dialogue aims to carry out analysis of ground forces and maritime assets, and to set a series of benchmarks reflecting the correlation between the capacities and responsibilities of UNIFIL and those of the Lebanese Armed Forces, with a view to identifying Lebanese Armed Forces requirements for implementing tasks mandated in resolution 1701 (2006). I hope that the pace of the strategic dialogue can be accelerated. The long-term objective of UNIFIL is to gradually transfer responsibilities currently carried out by the Force, on land and at sea, to the Lebanese Armed Forces, and have the Lebanese Armed Forces assume effective security control over the UNIFIL area of operations and Lebanese territorial waters, in line with resolution 1701 (2006).",
"The total number of military personnel, as at 15 July 2011, stands at 12,091. That number includes 11,135 UNIFIL ground troops deployed in two sectors, and 616 personnel serving in the Maritime Task Force. The UNIFIL civilian component numbers 354 international and 658 national staff.",
"I am grateful to the 36 troop-contributing countries that make up UNIFIL for their ongoing commitment. That commitment, coupled with the development of a strategic partnership with the Lebanese Armed Forces, has permitted the successful implementation of several key aspects of resolution 1701 (2006). However, as the UNIFIL mandate approaches its expiration date, it is clear that more work remains to be done.",
"I also would like to express my appreciation to the UNIFIL Head of Mission and Force Commander, Major General Asarta, and to all the military and civilian personnel of UNIFIL, for the work they are carrying out in southern Lebanon in the service of peace.",
"Regarding the financial aspects of UNIFIL, by its resolution 65/303 the General Assembly appropriated to the Special Account for UNIFIL a total amount of US$ 545.5 million gross for the maintenance of the Force for the period from 1 July 2011 to 30 June 2012. Should the Security Council decide to extend the mandate of the Force beyond 31 August 2011, the cost of maintaining it will be limited to the amounts approved by the General Assembly.",
"As at 31 May 2011, unpaid assessed contributions to the UNIFIL Special Account amounted to $58 million. Total outstanding assessed contributions for all peacekeeping operations at the same date amounted to $1,849.2 million. I appeal to all Member States to pay their assessments promptly and in full to clear all remaining arrears.",
"As at 14 July 2011, amounts owed to troop contributors totalled $13.1 million. Reimbursement of troop- and contingent-owned equipment costs have been made for the periods up to 31 May 2011 and 31 March 2011, respectively, in accordance with the quarterly payment schedule.",
"With the above information in mind, I recommend that the Security Council extend the mandate of UNIFIL for a further period of 12 months, until 31 August 2012.",
"I should be grateful if you would bring this letter to the attention of the members of the Council.",
"(Signed) BAN Ki-moon"
] | S_2011_488 | [
"Letter dated 5 August 2011 from the Secretary-General addressed to the President of the Security Council",
"Further to my latest report on the implementation of resolution 1701 (2006) to the Security Council (Suff 406), I now give the floor to the Security Council to consider extending the mandate of the United Nations Interim Force in Lebanon (UNIFIL) until 31 August 2011. In a letter dated 22 July 2011 to me, the Minister for Foreign Affairs and Aliens of Lebanon requested the Security Council to extend its mandate for a further year without modifying the mandate of UNIFIL.",
"UNIFIL continues to play a crucial role in ensuring peace and stability in southern Lebanon and full compliance by both parties with the Blue Line. In accordance with its current mandate, UNIFIL continued to monitor the cessation of hostilities and to assist the Lebanese Armed Forces in taking steps to establish unauthorized armed personnel, assets and weapons zones between the Blue Line and the Litani River. UNIFIL has also taken all necessary action within its capabilities to ensure that its area of operations is not used to engage in any kind of hostile activity.",
"The cooperation between UNIFIL and the Lebanese Armed Forces remains essential for the implementation of the mandate of UNIFIL. At the tripartite meeting held on 13 July 2011, the Lebanese Armed Forces reiterated the commitment of the Government of Lebanon to the implementation of resolution 1701 (2006) and pledged to continue its cooperation with UNIFIL in that regard. On 16 July 2011, Prime Minister Najib Mkati repeated that commitment when accompanied by the Minister of Defence, the Lebanese Armed Forces commander and the senior leadership to visit the UNIFIL area of operations.",
"UNIFIL continues to carry out its joint operations with the Lebanese Armed Forces, including 13 anti- rocket launch operations per 24 hours and 6 foot patrols per day, while at 18 checkpoints, 6 of which are located on the Litani River. Two troops recently held several large joint capacity exercises on land and sea.",
"The liaison and coordination arrangements between UNIFIL and the parties concerned, including the Tripartite Mechanism, have facilitated a number of recent constructive and practical measures to benefit from confidence-building.",
"As a result of the lack of consensus on the point of controversy, the marked marking process of the Blue Line is in a long-standing stalemate, and the recent initiative of UNIFIL to mark a non-controversarial identifier, with the active response of both parties. I am optimistic to believe that, after prolonged intervals, the marking process can now be carefully pursued and supported by mine action in the mission.",
"The parties also agreed to discuss maritime security issues through a tripartite mechanism, which might include naval experts. UNIFIL will continue to cooperate with the parties on ways to promote these discussions.",
"Following extensive contacts and discussions with the parties, UNIFIL finalized its proposal on security arrangements to facilitate the withdrawal of the Israel Defense Forces from northern Ghajar. On 25 June 2011, UNIFIL submitted its own proposals to the parties for their formal adoption.",
"UNIFIL continued its operational activities, including the conduct of up to 10,000 patrols throughout the area of operations, and the attitude of the local population to UNIFIL is generally positive. Nevertheless, in addition to my regular report on the implementation of resolution 1701 (2006) to the Security Council, there have been a number of unfriendly acts and restrictions on the freedom of movement of UNIFIL patrols and personnel in late June 2011. Some of these incidents involve stones and the local population having taken United Nations property from UNIFIL personnel, such as photographs, geographic information systems, communications equipment and maps. UNIFIL protested these incidents to the Lebanese Armed Forces. The Force Commander instructed UNIFIL to use the rules of engagement to protect itself and property. UNIFIL will continue to work closely with the Lebanese authorities to minimize the occurrence of these incidents.",
"The freedom of movement of UNIFIL and the safety and security of its personnel are indispensable for the effective implementation of its mandate. In its resolution 1773 (2007), the Security Council urged all parties concerned to cooperate fully with the United Nations and UNIFIL to seriously fulfil their obligations to respect the safety of UNIFIL personnel and other United Nations personnel, including by avoiding any action that endangers the safety of United Nations personnel and ensuring the full freedom of movement of UNIFIL within its area of operations. The primary responsibility for ensuring the freedom of movement of UNIFIL personnel in the area of operations lies with the Lebanese authorities.",
"I am encouraged by the contacts between UNIFIL and the Lebanese Armed Forces in the strategic dialogue process, which I think is important. The purpose of the strategic dialogue is to analyse ground forces and marine assets and to develop a set of benchmarks reflecting the interlinkages between the capabilities and responsibilities of UNIFIL and the capabilities and responsibilities of the Lebanese Armed Forces in order to identify the needs of the Lebanese Armed Forces in implementing the tasks set out in resolution 1701 (2006). I hope that the pace of the strategic dialogue will be accelerated. In accordance with resolution 1701 (2006), the long-term objective of UNIFIL is to gradually transfer the responsibilities of the Force to the Lebanese Armed Forces in the area of operations of UNIFIL and Lebanese territorial waters.",
"As at 15 July 2011, the total number of military personnel stood at 12,091. This figure includes 11,135 UNIFIL ground forces deployed in two areas, and 616 personnel serving in the Maritime Task Force. The civilian component of UNIFIL has 354 international staff and 658 national staff.",
"I thank the 36 troop-contributing countries that comprise UNIFIL for their continued commitment. This commitment, combined with the establishment of a strategic partnership with the Lebanese Armed Forces, has resulted in the successful implementation of several key elements of resolution 1701 (2006). However, as the mandate of UNIFIL expires, it is clear that more needs to be done.",
"I would also like to thank the Head of Mission and Force Commander of UNIFIL, Major General Assata, and to thank all the military and civilian personnel of UNIFIL for their work in southern Lebanon for peace.",
"With regard to the financial aspects of UNIFIL, the General Assembly, in its resolution 65/303, allocated $544.5 million for the Special Account for UNIFIL (gross) for the maintenance of the Force for the period from 1 July 2011 to 30 June 2012. If the Security Council decides to extend the mandate of the Force beyond 31 August 2011, the maintenance costs will be limited to the amount approved by the General Assembly.",
"As at 31 May 2011, unpaid assessed contributions to the Special Account for UNIFIL amounted to $58 million. As at the same date, unpaid assessed contributions to all peacekeeping operations amounted to $1842.2 million. I call upon all Member States to pay their assessed contributions in full as soon as possible in order to resolve all arrears.",
"Total arrears to troop-contributing countries as at 14 July 2011 amounted to $13.1 million. In accordance with the quarterly payment schedule, troop and contingent-owned equipment costs have been reimbursed by 31 May 2011 and 31 March 2011.",
"Taking into account the above, I recommend that the Security Council extend the mandate of UNIFIL for a further 12 months until 31 August 2012.",
"I should be grateful if you would bring this letter to the attention of the members of the Council.",
"(Signed) Ban Ki-moon"
] |
[
"安全理事会第6598次会议临时议程",
"定于2011年8月3日星期三下午3时举行",
"1. 通过议程。",
"2. 中东局势。"
] | [
"Provisional agenda for the 6598th meeting of the Security Council",
"To be held on Wednesday, 3 August 2011, at 3 p.m.",
"1. Adoption of the agenda.",
"2. The situation in the Middle East."
] | S_AGENDA_6598 | [
"Provisional agenda for the 6598th meeting of the Security Council",
"To be held on Wednesday, 3 August 2011, at 3 p.m.",
"Adoption of the agenda.",
"The situation in the Middle East."
] |
[
"秘书长关于哥伦比亚出席安全理事会候补代表的全权证书的报告",
"依照安全理事会暂行议事规则第15条的规定，秘书长谨报告，他收到哥伦比亚外交部长2011年3月14日的信，内称米格尔·卡米洛·鲁伊斯·布兰科先生、胡安·何塞·金塔纳·阿朗古伦先生和戴维·奥尔兰多·德罗德里格斯·埃斯卡内多先生已被任命为哥伦比亚出席安全理事会的候补代表。",
"秘书长认为，这份来文构成适当的临时全权证书。"
] | [
"Report of the Secretary-General concerning the credentials of the alternate representatives of Colombia on the Security Council",
"Pursuant to rule 15 of the provisional rules of procedure of the Security Council, the Secretary-General wishes to report that he has received a letter dated 14 March 2011 from the Minister for Foreign Affairs of Colombia stating that Mr. Miguel Camilo Ruiz Blanco, Mr. Juan José Quintana Aranguren and Mr. David Orlando Rodríguez Escandón have been appointed alternate representatives of Colombia on the Security Council.",
"In the opinion of the Secretary-General, that letter constitutes adequate provisional credentials."
] | S_2011_489 | [
"Report of the Secretary-General on the credentials of the alternate representative of Colombia on the Security Council",
"In accordance with rule 15 of the provisional rules of procedure of the Security Council, the Secretary-General wishes to report that he has received a letter dated 14 March 2011 from the Minister for Foreign Affairs of Colombia stating that Mr. Miguel Cabello Rusbranko, Mr. Juan José Kingtana Agron and Mr. David Orranardo de Rodriguez Escardo has been appointed alternate representative of Colombia on the Security Council.",
"In the opinion of the Secretary-General, the communication constitutes an appropriate provisional credentials."
] |
[
"第六十五届会议",
"议程项目73",
"国际刑事法院的报告",
"2011年8月1日挪威常驻联合国代表团临时代办给秘书长的信",
"谨提及2010年5月31日至6月11日在坎帕拉举行的国际刑事法院罗马规约审议大会。审议大会于2010年6月8日通过了一项题为“加强判决的执行”的决议(RC/Res.3号决议)。该决议附在本信之后(见附件)。",
"审议大会在该决议第4段中请“联合国秘书长提请联合国所有成员注意本决议，以期鼓励在世界银行、各区域银行、联合国开发计划署以及其他相关的多边机构和国家机构的有关援助方案中酌情考虑上述目标。”",
"谨请将本函及其附件作为大会议程项目73下的文件分发为荷。",
"临时代办",
"耶蒙·塞特(签名)",
"2011年8月1日挪威常驻联合国代表团临时代办给秘书长的信的附件",
"[原件：阿拉伯文、中文、英文、法文、俄文和西班牙文]",
"RC/Res.3号决议",
"2010年6月8日全体会议协商一致通过",
"RC/Res.3 加强判决的执行",
"审议大会，",
"回顾《国际刑事法院罗马规约》，",
"意识到各国在执行该法院的监禁判决方面的关键作用，",
"回顾该法院的监禁判决应在根据《规约》表示愿意接受被判刑人士的国家所提供的监狱设施中执行，",
"铭记各国需要更广泛地参与执行判决，以便此类执行可在所有相关区域和次区域执行，考虑到缔约国在这方面表达的一致意见，",
"强调需要加强国际合作，以期让更多的国家能自愿地根据广泛接受的关于囚犯待遇的国际条约标准来接受被判刑人士，",
"1. 呼吁各国向法院表示愿意根据《规约》接受被判刑人士；",
"2. 确认如判处监禁，可在通过国际或区域组织、机制或机构指定的国家所提供的监狱设施中服刑；",
"3. 促请直接或通过主管国际组织表示愿意接受被判刑人士的缔约国和国家积极促进所有各级的国际合作，特别是区域和次区域一级的合作；",
"4. 请联合国秘书长提请联合国所有成员注意本决议，以期鼓励在世界银行、各区域银行、联合国开发计划署以及其他相关的多边机构和国家机构的有关援助方案中酌情考虑上述目标。"
] | [
"Sixty-fifth session Agenda item 73 Report of the International Criminal Court",
"Letter dated 1 August 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Norway to the United Nations addressed to the Secretary-General",
"I have the honour to refer to the Review Conference of the Rome Statute of the International Criminal Court, held in Kampala from 31 May to 11 June 2010. The Review Conference adopted, on 8 June 2010, a resolution entitled “Strengthening the enforcement of sentences” (resolution RC/Res.3). The resolution is attached to the present letter (see annex).",
"In paragraph 4 of the resolution, the Review Conference requested “the Secretary-General of the United Nations to bring this resolution to the attention of all the members of the United Nations, with a view to encouraging that the above objectives may be considered, as appropriate, in the relevant programmes of assistance of the World Bank, the regional banks, the United Nations Development Programme, and other relevant multilateral and national agencies”.",
"I should be grateful if the present letter and its annex could be circulated as a document of the General Assembly, under agenda item 73.",
"(Signed) Gjermund Sæther Chargé d’affaires a.i.",
"Annex to the letter dated 1 August 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Norway to the United Nations addressed to the Secretary-General",
"[Original: Arabic, Chinese, English, French, Russian and Spanish]",
"Resolution RC/Res.3",
"Adopted at the 9th plenary meeting, on 8 June 2010, by consensus",
"RC/Res.3 Strengthening the enforcement of sentences",
"The Review Conference,",
"Recalling the Rome Statute of the International Criminal Court,",
"Conscious of the key role of States in the enforcement of the Court’s sentences of imprisonment,",
"Recalling that the Court’s sentences of imprisonment shall be served in prison facilities provided by States that have indicated their willingness to accept sentenced persons, in accordance with the Statute,",
"Mindful of the need for broader participation of States in the enforcement of sentences in order to allow for such enforcement in all relevant regions and subregions and taking note of the unanimous view expressed by States Parties to this effect,",
"Emphasizing the need for enhanced international cooperation with a view to enabling more States to voluntarily accept sentenced persons on the basis of widely accepted international treaty standards governing the treatment of prisoners,",
"1. Calls upon States to indicate to the Court their willingness to accept sentenced persons in accordance with the Statute;",
"2. Confirms that a sentence of imprisonment may be served in a prison facility made available in the designated State through an international or regional organization, mechanism or agency;",
"3. Urges States Parties and States that have indicated their willingness to accept sentenced persons, directly or through competent international organizations, to promote actively international cooperation at all levels, particularly at the regional and subregional levels;",
"4. Requests the Secretary-General of the United Nations to bring this resolution to the attention of all members of the United Nations, with a view to encouraging that the above objectives may be considered, as appropriate, in the relevant programmes of assistance of the World Bank, the regional banks, the United Nations Development Programme, and other relevant multilateral and national agencies."
] | A_65_919 | [
"Sixty-fifth session",
"Agenda item 73",
"Report of the International Criminal Court",
"Letter dated 1 August 2011 from the Chargé d'affaires a.i. of the Permanent Mission of Norway to the United Nations addressed to the Secretary-General",
"I have the honour to refer to the Review Conference of the International Criminal Court, held in Kampala from 31 May to 11 June 2010. The Review Conference adopted a resolution entitled “Strengthening the enforcement of sentences” on 8 June 2010 (RC/Res.3). The resolution is annexed to this letter (see annex).",
"In paragraph 4 of that resolution, the Review Conference requested the Secretary-General of the United Nations to bring the present resolution to the attention of all members of the United Nations, with a view to encouraging the consideration of the above-mentioned objectives in the relevant assistance programmes of the World Bank, regional banks, the United Nations Development Programme and other relevant multilateral institutions and national institutions, as appropriate.",
"I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly under agenda item 73.",
"Interim office",
"Permanent Representative",
"Annex to the letter dated 1 August 2011 from the Chargé d'affaires a.i. of the Permanent Mission of Norway to the United Nations addressed to the Secretary-General",
"[Original: Arabic, Chinese, English, French, Russian and Spanish]",
"RC/Res.3",
"Adopted by consensus at the plenary meeting on 8 June 2010",
"RC/Res.3 Enhanced enforcement of sentences",
"The Review Conference,",
"Recalling the Rome Statute of the International Criminal Court,",
"Aware of the crucial role of States in implementing the Court's imprisonment judgement,",
"Recalling that the sentence of imprisonment of the Court shall be executed in prison facilities provided by the State that expresses its willingness to accept the sentenced person in accordance with the Statute,",
"Bearing in mind the need for States to participate more broadly in the implementation of sentences so that such implementation can be implemented at all relevant regional and subregional levels, taking into account the agreement expressed by the State party in this regard,",
"Emphasizing the need for enhanced international cooperation in order to enable more States to voluntarily accept sentenced persons in accordance with the widely accepted international treaty standards on the treatment of prisoners,",
"Calls upon States to express to the Court their willingness to accept the sentenced person in accordance with the Statute;",
"Acknowledges that imprisonment may be served in prison facilities provided by States designated by international or regional organizations, mechanisms or institutions, if sentenced to imprisonment;",
"Urges States parties directly or through competent international organizations that wish to accept the sentenced persons and States to actively promote international cooperation at all levels, in particular at the regional and subregional levels;",
"Requests the Secretary-General of the United Nations to bring the present resolution to the attention of all members of the United Nations, with a view to encouraging the consideration of the above-mentioned goals, as appropriate, in the relevant assistance programmes of the World Bank, regional banks, the United Nations Development Programme and other relevant multilateral institutions and institutions."
] |
[
"第六十五届会议",
"议程项目97",
"全面彻底裁军",
"2011年8月1日巴基斯坦常驻联合国代表团临时代办给秘书长的信",
"谨随函转递巴基斯坦国家指挥局在2011年7月14日会议后分发的新闻稿(见附件)。国家指挥局是巴基斯坦最高战略决策结构，由巴基斯坦总理主持。",
"请将此信及其附件作为大会议程项目97的文件分发为荷。",
"代理常驻代表",
"拉扎·阿瓦尔·塔拉(签名)",
"2011年8月1日巴基斯坦常驻联合国代表团临时代办给秘书长的信的附件",
"新闻稿",
"2011年7月14日",
"国家指挥局今天在赛义德·优素福·拉扎·吉拉尼总理的主持下举行会议。国家指挥局成员，包括联邦部长、参谋长联席会议主席、处长、国家指挥局秘书、战略规划司司长以及其他高级官员均出席了会议。",
"国家指挥局全面审视了区域和全球安全环境的发展状况。国家指挥局还对国际和区域趋势和政策及其对巴基斯坦的影响做了详细评估。",
"经过深入的审议和评估，除其他外，国家指挥局决定，巴基斯坦作为一个负责任的核武器国家，将继续奉行可信的最低限度威慑能力政策。国家指挥局对巴基斯坦战略计划及设施的安全和安保表示满意。它也对巴基斯坦战略武器的战备状态充满信心。",
"国家指挥局对继续奉行背离全球共享的平等、包容和客观规范和规则的政策表示关切。国家指挥局告诫说，这种政策是对不扩散机制的压制，有可能打破东南亚区域的战略平衡。巴基斯坦将继续采取适当的反措施，确保其安全，维护区域稳定。",
"国家指挥局重申，巴基斯坦希望在国际社会平等和伙伴关系的基础上为实现无核武器世界和防扩散目标作出建设性的贡献。巴基斯坦因此积极参与四个出口管制措施。",
"国家指挥局重申核安全的重要性。在这方面，它满意地注意到，对巴基斯坦核管制局所有现有和计划建立的民用核设施都进行了安全检查。国家指挥局指示巴基斯坦核管制局和巴基斯坦原子能委员会继续确保我们的各项计划达到最高安全级别，符合国际最佳做法。",
"国家指挥局还介绍了最近进行的核安全检查。它对指挥和控制系统制度化以及为确保战略资产可靠性和安全性而实施的综合措施充满信心。国家指挥局着重强调，巴基斯坦政府和人民坚定地支持国家核安全和导弹计划，为确保维持有效、可靠和可信的威慑能力将继续执行这个计划。任何破坏这种能力的企图将受到全力打击。",
"作为能源安全战略的一部分，国家指挥局还将审查和核准非传统、自我维持的“核力量计划-2050年”，以弥补现有的能源短缺，应对未来人口增长和经济发展的需求。国家指挥局强调，应把人民的社会经济发展列为重中之重。",
"国家指挥局还批准了“巴基斯坦空间计划——2040”，以使巴基斯坦人民能充分享受空间技术带来的全方位的益处。"
] | [
"Sixty-fifth session",
"Agenda item 97",
"General and complete disarmament",
"Letter dated 1 August 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Pakistan to the United Nations addressed to the Secretary-General",
"I have the honour to forward herewith a press release issued by Pakistan’s National Command Authority (NCA) after its meeting on 14 July 2011 (see annex). NCA is the highest decision-making body on strategic issues and is chaired by the Prime Minister of Pakistan.",
"I would greatly appreciate it if you would have the present letter and its annex circulated as a document of the General Assembly, under agenda item 97.",
"(Signed) Raza Bashir Tarar Acting Permanent Representative",
"Annex to the letter dated 1 August 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Pakistan to the United Nations addressed to the Secretary-General",
"Press release",
"14 July 2011",
"The National Command Authority (NCA) met today under the Chairmanship of Prime Minister Syed Yusuf Raza Gilani. Members of NCA, including Federal Ministers, the Chairman of the Joint Chiefs of Staff Committee, Service Chiefs, the Secretary of NCA, the Director General of the Strategic Plans Division, and other senior officials attended the meeting.",
"NCA comprehensively reviewed developments in the regional and global security environment. NCA also undertook detailed appraisal of the international and regional trends and policies and their implications for Pakistan.",
"After in-depth consideration and evaluation, NCA, inter alia, decided that Pakistan will continue to pursue its policy of credible minimum deterrence as a responsible nuclear weapons State. NCA expressed satisfaction at the security and safety of Pakistan’s strategic programmes and facilities. It also expressed confidence in the operational readiness of Pakistan’s strategic weapons.",
"NCA expressed concern over the continued pursuit of policies that detract from the globally shared norms and rules of equality, inclusiveness and objectivity. NCA cautioned that such policies represent regression in the non-proliferation regime and tend to erode the strategic balance in South Asia. Pakistan would continue to take appropriate countermeasures to ensure its security and to maintain regional stability.",
"NCA reiterated Pakistan’s desire to constructively contribute to the realization of a world free of nuclear weapons and to the goals of non-proliferation on the basis of equality and partnership with the international community. Accordingly, Pakistan was keen to join the four export control arrangements.",
"NCA reaffirmed the importance of nuclear safety. In this regard, it noted with satisfaction the safety review of all the existing and planned civil nuclear facilities by the Pakistan Nuclear Regulatory Authority (PNRA). NCA directed PNRA and the Pakistan Atomic Energy Commission to continue to ensure that our programmes conform to the highest levels of safety and international best practices.",
"NCA was also briefed on the nuclear security review undertaken recently. It expressed confidence in the institutionalized Command and Control System and comprehensive measures put in place to ensure reliability and security of strategic assets. NCA underlined that the Government and the people of Pakistan stood solidly behind the country’s nuclear and missile programmes, which would be pursued to maintain effective, reliable and credible deterrence capability, and all attempts to undermine this capability would be thwarted with full force.",
"As part of the energy security strategy, NCA also reviewed and approved the futuristic, self-sustaining Nuclear Power Programme — 2050, to meet the existing energy shortfalls and to respond to the future requirements of a growing population and economy. NCA emphasized the need to focus on socio-economic development of the people as a foremost priority.",
"The NCA also approved Pakistan’s Space Programme — 2040 in order to bring the benefits of the full spectrum of space technology to the people of Pakistan."
] | A_65_920 | [
"Sixty-fifth session",
"Agenda item 97",
"General and complete disarmament",
"Letter dated 1 August 2011 from the Chargé d'affaires a.i. of the Permanent Mission of Pakistan to the United Nations addressed to the Secretary-General",
"I have the honour to transmit herewith a press release issued by the Pakistani National Command Bureau after the 14 July 2011 meeting (see annex). The National Command is the highest strategic decision-making structure in Pakistan, chaired by the Prime Minister of Pakistan.",
"I should be grateful if you would have this letter and its annex circulated as a document of the General Assembly under agenda item 97.",
"Acting Permanent Representative",
"Permanent Representative",
"Annex to the letter dated 1 August 2011 from the Chargé d'affaires a.i. of the Permanent Mission of Pakistan to the United Nations addressed to the Secretary-General",
"Press releases",
"14 July 2011",
"The National Command Bureau met today under the chairmanship of Prime Minister Said Yousef Laza Giani. Members of the National Command Bureau, including the President of the Joint Meeting of the Federal Minister, the Chief of Staff, the Secretary of the National Command, the Director of the Strategic Planning Division and other senior officials, attended the session.",
"The National Command Agency has reviewed the development of a regional and global security environment. The National Command also provided a detailed assessment of international and regional trends and policies and their impact on Pakistan.",
"After in-depth consideration and assessment, the National Command decided, inter alia, that Pakistan, as a responsible nuclear-weapon State, would continue to pursue a credible minimum deterrent capacity policy. The National Command Office expressed satisfaction with the safety and security of the Pakistan strategic plan and facilities. It also has confidence in the operational status of strategic arms in Pakistan.",
"The National Command Bureau expressed concern about the continuing policy of deviating from global sharing of equality, inclusion and objective norms and rules. The National Command cautioned that this policy was a repression of non-proliferation mechanisms and was likely to break the strategic balance in South-East Asia. Pakistan will continue to take appropriate countermeasures to ensure their security and to maintain regional stability.",
"The National Command reaffirmed Pakistan's desire to make a constructive contribution to the achievement of a world free of nuclear weapons and non-proliferation goals on the basis of equality and partnership between the international community. Pakistan is therefore actively involved in four export control measures.",
"The National Command Agency reiterates the importance of nuclear safety. In that regard, it noted with satisfaction that all existing and planned civilian nuclear facilities in the Pakistan Nuclear Control Agency had been subject to security inspections. The National Command has instructed the Pakistan Nuclear Control Agency and the Pakistan Atomic Energy Commission to continue to ensure that our plans reach the highest level of security and meet international best practices.",
"The National Command also provided information on recent nuclear safety inspections. It is confidence in the institutionalization of command and control systems and the comprehensive measures implemented to ensure the reliability and safety of strategic assets. The National Command stresses that the Government and people of Pakistan firmly support national nuclear safety and missile plans and that the plan will continue to be implemented in order to ensure the maintenance of effective, reliable and credible deterrent capacities. Any attempt to undermine that capacity will be hard hit.",
"As part of the energy security strategy, the National Command will also review and approve non-traditional, self-sustainable nuclear power plans-2050 to fill existing energy shortages and meet future population growth and economic development needs. The National Command stressed that the socio-economic development of the people should be a top priority.",
"The National Command has also approved the “Pakistan Space Plan — 2040” to enable the people of Pakistan to fully enjoy the full benefits of space technology."
] |
[
"第六十六届会议",
"^(*) A/66/150。",
"临时议程^(*) 项目69(b)",
"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径",
"食物权",
"秘书长的说明",
"秘书长谨向大会成员转递食物权问题特别报告员奥利维娅·德许特按照大会第65/220号决议提交的临时报告。",
"摘要",
"更好地进入市场，是发展中国家许多小农改善生计的关键。最近，代耕成为最佳解决方案，协助买方商号，供应商小农和政府。本报告列出扩大代耕提出的问题，并注意到，在七个方面，各国政府和企业可以确保其有利于扶贫，协助充分实现食物权。代耕很少鼓励农民攀登价值链，进入其产品的包装，加工或营销。因此，报告还探讨其他更广泛的商业模式，如农民控制的企业，合资企业或农民直接面向粮食消费者的营销手法。重要的是，确保小农户农产品销售网点的多样化，加强其在食物链中的地位，促进农村社区实现食物权，促进总的农村发展。",
"目录",
"页次\n1.导言 3\t\n2.代耕 3\t\nA.代耕兴起的背后动力 4\t\nB.澄清食物权的影响 5\t\nC.避免食物链政治经济的不利转变 7\t\n3.合同中应当列入的各项要素 11\t\nA.长期经济可行性 11\t\nB.在谈判中支持小农户 11\t\nC.性别平等 11\t\nD.定价 11\t\nE.质量标准 12\t\nF.环境可持续性 12\t\nG.调解和解决争端 12\t\n4.其他可能有利于小农户的商业模式 13\t\nA.农民控制的企业 13\t\nB.合资企业 14\t\nC.社区支持的农业 15\t\n5.结论和建议 16",
"一. 导言",
"1. 现在有一种广泛共识，认为需要增加对农业的支持，解决农村贫穷和缺乏足够食物问题。过去几年，特别是自2007-2008年全球粮食价格危机后，出现对农业的大量再投资。此前，特别报告员记录了这方面发展造成的一些风险和机会。他列举了一些好的做法，其可确保投资有助于减轻农村贫困和粮食不安全，增加小农户的能力(见A/HRC/13/33和Add.2，A/65/281)。除非获得食物权成为当前农业再投资的基础，否则，最贫穷农民在最贫瘠土地上劳作的情况可能会因这一进程进一步加重，从而增加对生产性资源的竞争，现有农业部门的两极分化可能会因此而恶化。",
"2. 一个关键、但常常被低估的挑战是，如何促进农民进入市场。许多发展中国家过分强调出口为主导的农业，可能于事无补，导致其依赖很少的原材料商品出口收入，作为粮食进口国非常容易受到价格冲击(见A/HRC/10/5/Add.2)。小农户、牧民和渔民，为当地消费而生产，[1] 可成为加强当地和区域市场的主要受益者，将促使他们接触本地买家，尤其是城市消费者。因此，特别报告员一直鼓励采取举措，通过适当基础设施、价格信息和组织价值链，改善当地生产者和消费者之间的联系。“国家粮食安全范围内支持逐步实现适足食物权的自愿准则”4.5条指出，“各国应酌情促进发展小规模地方和区域市场及边境贸易，减少贫困，增加粮食安全，特别是在农村和城市贫困地区”(见E/CN.4/2005/131，附件)。",
"3. 小规模地方和区域市场的发展似乎是许多农村普遍贫穷的发展中国家实现食物权的最有前途的途径。所以，本报告侧重不同于零散市场，或大规模收购或租赁土地的其他商业模式。代耕等其他替代商业模式，一般与外商投资和全球供应链相关，但本报告强调，这种替代模式也可以通过当地行为者，包括公营机构采用。在一定条件下，替代模式可以帮助开发本地化的食物链，例如，让当地农业社与食品加工业联系起来，或与服务城市消费者的当地新鲜农产品零售商联系起来。",
"4. 本报告根据的是最近的科学文献和特别报告员的各次访问。报告也得益于广泛的利益相关者的投入，包括国际发展合作机构、联合国基金和机构、学术机构、私营部门专家和非政府组织。",
"二. 代耕",
"5. 代耕的定义是“农民与加工和/或销售企业之间商定协议，根据远期协议，生产和供应农产品，价格常常事先确定。”[2]",
"A. 代耕兴起的背后动力",
"6. 代耕近年来在发达国家和发展中国家均愈显重要。[3]^(、)[4] 买家将其作为一种手段，加强控制供应链，应对关于生产可追溯性和食品产品标准化的更大需求，因为食品质量和安全标准越来越重要，消费者对生产的环境和社会条件表示关注。控制合同农民，防止合同外的市场营销，或把得到的投入由于合同规定作物之外的生产，其成本可能很高。不过，因为提高了可靠性，质量比在公开市场上购买的产品更一致，成本也就抵消了。² 代耕可以缩小商号的风险，减少供需变动，以便加强安全标准和其他质量要求。[5] 合同还使商号能在最佳时间安排交付产品，而若是依赖零散市场，则不能控制。⁴",
"7. 商号通过代耕，把劳动管理职责转给农民；劳工成本可能会降低，因为代耕农民常使用无报酬的家庭帮工。此外，商号使用代耕安排，可使操作更流畅，因为其不受固定资产制约。因此，在印度，小农户代耕被看到是有吸引力的园艺、家禽和奶制品行业的选择。虽然交易成本比较高，但这种模式把风险平摊给大量供应商(因此，买方无风险，如果任何一个主要供应源失约)，于是有了灵活的供应，也很容易适应数量或质量的变化。[6]",
"8. 相当数量的小农户加入了这些计划。³`[7] 过去30年，部分因撤回或减少公共推广服务，代耕往往成为唯一可行的改善生计的办法，因为这种协议保证市场准入，保证产品优质投入(通常以较低批发价格提供)和技术咨询，还便利获得认证计划，符合标准。[8] 转向价值较高的作物，提高生产力，降低营销和交易成本，可能会增加收入。代耕还可以协助农民获取信贷，[9] 要么是商号直接提供信贷，要么是银行同意农民把合同作为抵押。取决于安排的类型，代耕也保证了种田的收入相对稳定，不受市场价格波动的影响。² 此外，商号有时给农民支付保费，确保农民不从事合同外的活动。[10] 直接采购的模式通常摆脱了中间人，因此，代耕也可视为有利于消费者、商号和农民各方。⁷",
"9. 政府通常支持代耕，[11] 认为代耕可增加农民收入，吸引外国投资，并减少政府的财政负担；因为，买方与生产方建立长期合同关系，往往提供政府传统上提供的服务和支持。⁹ 因此，商号也常受益于政府的财政鼓励，促进代耕，如减免税收或削减关税。",
"B. 澄清食物权的影响",
"10. 代耕是否有助于实现食物权，将取决于具体情况，具体的合同安排，以及在多大程度上采用人权方式。[12] 因此，东道国、投资者和农民要考虑传统代耕模式的一些主要优缺点，以及确定标准，确保代耕真正施惠于小农户。人权方式会引出下列标准，列举如下。",
"1. 国家义务：尊重、保护和落实",
"11. 根据国际法，各国有义务尊重、保护和落实充足食物权。尊重的义务要求各国不要采取任何阻止人获得充足食物的措施。保护的义务要求缔约国采取措施，确保企业或个人不得剥夺个人获得充足食物的机会(见E/C.12/1999/5，第15段)。因此，各国必须控制投资者和买方与农民和生产者之间的长期安排，防止滥用安排的风险，或在滥用发生时，确保提供有效的补救。各国还必须保护国际劳工组织(劳工组织)核心文书承认的基本劳工权利，如未能遵守这些权利，可导致侵犯国际法认可的工作权和有足够生活水准的权利。[13] 落实的义务要求各国积极参与活动，让人们更多获得和利用资源和手段，确保自己的生计，包括粮食安全(见E/C.12/1999/5，第15段)。在最大限度地提供现有资源情况下，各国必须创造有利环境，使农业社区达成各种安排，但条件是要确保其权利得到有效保障，尽管有时各方之间权力赤裸裸的不平等，信息也不对称。",
"12. 各国还应支持农业社区，提供某些物品和服务，以求通过农耕达到适足的生活水准。虽然私人投资者会提供一些同样的物品和服务，致使一些评论家认为，代耕这种手段可以确保更有效地分配这类物品和服务，[14] 但不应把代耕看作可取代国家这方面不可或缺的作用。食物权自愿准则第2.6条指出，贫困和饥饿主要出现在农村地区的国家应承担义务。预计，各国将向农户提供技术援助，推广公共农业服务，确保小农户获得合理利率的可靠和有保证的信贷，帮助为小农户建立基本的价格支持机制。[15] 代耕不应成为推广服务私有化的驱动因素，[16] 或作为各国政府玩忽职守，不向农民提供公共物品的借口，因为，国家撤回支助，受影响的恰恰是最边缘化的农民。",
"2. 需要非歧视性的商业模式",
"13. 人权方式要求注重最脆弱者，他们常常被排除在进步之外。代耕制度往往排除最贫困的农民，他们的土地有限，贫瘠，投入的资源少，生活在偏远地区。研究人员指出，提供投入、信贷、推广服务和产品收集和分级的交易成本，商号不愿意与小农户达成代耕安排，所以，商号往往喜欢大中型农户。^(5、9、)[17] 弱势和边缘化群体除非得到具体考虑，否则就可能得不到这些商业模式创造的机会。此外，小农户通常处于较弱的谈判地位。他们可能是文盲，或缺乏技能，在合同谈判中无法有效捍卫自身权益。妇女往往被边缘化，特别是在社区一级进行决策时，因为她们事实上给排除在决策进程之外。",
"3. 需要确保连贯性和可持续性",
"14. 符合某些合同安排或商业模式中各方利益者，可能不符合整体社区的利益，解决方案可能是不可持续的。例如，代耕可能把农业生产引向经济作物，这虽然可能增加一些生产者的收入，也可能导致当地食品价格上涨，因为为地方消费而生产的粮食少了，一些社区内的赤贫者可能买不起食品。这可能破坏“每个男女，每个儿童，无论是单独一人，还是身在社区，也无论何时，物质上和经济上均可有适足食物，或有获得适足食物的手段”(见E/C.12/1995/5，第6段)的规定。经济作物的专业化，经常带来生物多样性的丧失，耕作制度中改多元为单一种植，可能危害土壤的生物活性，加快水土流失。各国有义务“保护生态系统的可持续性和承载能力，确保为当代和子孙后代持续不断地生产更多粮食，防止水污染，保护土壤肥力，推广渔业和林业的可持续管理。”(见E/CN.4/2005/131，附件，第8，13段)。",
"C. 避免食物链政治经济的不利转变",
"15. 从食物权出发对代耕进行的分析突出了6个潜在问题。4个问题产生于向代耕转变本身，两个问题来自一些农民签订的代耕安排的具体内容。",
"1. 过分专业化和不可持续的农业做法",
"16. 代耕一般与生产出口经济作物、单一作物和严重依赖化肥和农药的生产方式联系在一起，往往对人类健康和土壤造成不良影响。然而，这些都不是代耕的必然后果。正如已经指出的那样，这种买方和农民之间的合同安排可用于生产在国内市场上销售的农作物，并有助于加强本地市场，特别是改善农村生产者和城市消费者之间的联系。代耕可以并且应当包括鼓励根据农业生态学的原则将植物、树木和动物相结合发展更加多样化的农作制度(A/HRC/16/49)。代耕虽然往往涉及买方提供矿物肥料等投入，但也可包括要求生产者遵守特定环境条件的规定，例如更谨慎地使用农药。",
"2. 粮食价格波动性导致小农户粮食无保障",
"17. 代耕往往导致生产者从粮食作物转向经济作物。但是，当农民转而全部生产合同安排所涉及的非粮食作物时，他们就放弃了为自己的家庭生产粮食的能力，从而失去了宝贵的安全网。这使得农民容易受到粮食价格上涨的影响，在企业不履行合同义务或者农业收入与粮食价格变化相比低于预期时尤其如此。农民有时还不得不挨过合同周期之间没有任何农业收入的时期。[18] 为了减轻在向经济作物转变过程中的风险以及由此导致的农户依赖市场购买食品，签订合同农民的土地应留一部分给农民或其他家庭成员，用于种植供家庭消费的粮食作物。尤其是在合同农民获益于技术和技能转让，从而对包括维持生存的作物耕种等合同以外的农业活动产生多种效应的地方，这样做十分有效。² 同样，农民可以以各种方式利用代耕活动的副产品和残留物，包括出售副产品，或利用副产品用于维持生计的活动。在马达加斯加，与Lecofruit签订合同生产蔬菜的小农户利用部分土地生产主粮作物稻米，由于使用堆肥和粪肥以及从蔬菜生产中回收的废物，稻米生产率从3.6增至6吨/公顷。在马里，小农户与MaliBiocarburant SA(MBSA)签订合同，从麻风树生产生物柴油，其产生的残余“饼粕”可用作有机肥料，也可用作生产肥皂的甘油。麻风树与占地表80%的玉米间作，以确保主粮作物优先。[19] 这应能确保签订合同的农民受到足够保护，防备偶尔歉收或作物价格突然下降的风险。[20] 这种稳定收入保障对于适当的生活水准至关重要，即便下文提议的保障生产商最低价格的定价机制(除非将该价格与生产成本和生活费用挂钩)，也不会提供同等保障。",
"18. 除了农户之外，转种经济作物也使当地社区更难以承受价格冲击。当合同作物是可在本地市场获得的食用作物时，确保居民能够获得文化上可接受的(生理上和经济上)充足的粮食，或许会有帮助。一个方便社区居民享受食物权的可行办法是在合同中包括一条对当地销售的要求，这样一定比例的作物会在当地市场出售。[21]",
"3. 小农户转变为自己土地上的虚假的有薪农业工人",
"19. 在更一般意义上，代耕可能导致失去对生产的控制，包括生产何种作物以及如何生产。因此，代耕可使农民实际上成为自己土地上的有薪农业工人，但却不能享受与有薪劳动有关的福利，如最低工资、病假及其他法定福利。而后签订合同的小农户就被买方视为劳动力市场中介。种植园主可能为了破坏工会的力量或规避公司的责任而将种植园拆解以建立小规模农场，对以前的工人产生不利影响，此时这一点尤其明显。由此看来，代耕提出了一些有关工作权和家庭农场就业条件的问题。签订合同的农户往往依靠家庭劳动力来满足工作要求。虽然这可视为增加就业机会，但往往只是导致更多的家庭成员无薪工作，因为这可能是削减成本和从合约安排获利的唯一方法。在这种情况下，童工也可能成为代耕安排的一个问题。[22]《经济、社会、文化权利国际公约》第10条和《儿童权利公约》第32条规定，国家有义务保护儿童和未成年人免受经济和社会的剥削，雇佣他们从事可能有害或影响儿童教育或对儿童健康或身心、精神、道德或社会发展有害的工作，依法应受惩罚。各国必须采取有效措施，确保禁止童工规定得到充分遵守(见E/C.12/GC/18，第24段)。还应注意，根据《公约》第9条，各国必须保证社会保障的权利，独立生产者必须也能够获得这一权利(见E/C.12/GC/19)。",
"20. 签订合同的农民在雇用外来工人方面存在一些具体问题。这些工人可能不在管辖较大种植园中农业工人的劳动法的管辖之下。《公约》第7条承认工作权的个人层面，阐明人人有权享受公正和良好的工作条件。所有工人享有公平的工资和同值工作同酬而没有任何歧视；特别是保证妇女享受不差于男子所享受的工作条件，并享受同工同酬；保证他们自己和家人得有符合本公约规定的过得去的生活；安全和卫生的工作条件。然而，小农场工人的工作条件往往比较大种植园的差，小农场的工人工资往往极低，女性工人工资往往比男劳工还要低。尤其是由于小农场的工人(像大型种植园的农业工人一样)不太可能组织工会，而且小农场工人的就业往往不稳定，因此劳动法的遵守情况很难监督。代耕使得小农场更像是大规模种植园，在这种特定情况下，这促使农民或多或少地经常聘请外来工人。在这种情况下，劳工法规的执法遇到具体挑战，最好的解决办法是，确保控制生产的买方也控制国内劳工法规的遵守情况。",
"4. 性别效应",
"21. 女性得以从事代耕的机会低于男性。一项研究发现，在肯尼亚园艺出口行业中，妇女占签订合同农户的比例不到10%，在塞内加尔，出口法国豆的59个签订合同农民抽样中只有一名妇女。[23] 妇女获益于代耕的能力取决于她们的土地权以及家庭内部的权力关系，或者，当合同通过社区代表或农民组织谈判订立时，取决于那些组织内部的权力关系。事实上，即使大部分工作事实上由妻子和其他家庭成员完成，也往往由作为户主的丈夫来签署合同，南非的食糖代耕和印度旁遮普邦的蔬菜代耕就是这种情况。[24] 此外，一些研究表明，当种植的是经济作物而不供当地消费之用时，妇女就失去了对决策的控制。尽管妇女决定如何使用所生产的供自我消费的食品，但她们不决定如何支配家庭收入。因此，除非代耕的框架尊重妇女的权利并对性别问题具有敏感认识，否则就会破坏两性平等。[25] 例如，对肯尼亚豆类代耕的研究表明，虽然妇女承担了大部分工作，但她们得到的合同收入比例有限。此外，当她们得到了现金时，就被认为应当分担家庭开支，即使这本来应当是丈夫的责任。[26] 加强妇女地位不仅仅是保障平等待遇的权利，还是一种提高生产率的手段，因为得到更大比例作物收入的妇女将有更大的动力去增加生产。此外，与男性收入提高带来的收益相比，妇女收入提高对于家庭粮食安全及儿童健康、营养和教育方面均带来更大的好处。妇女做出的如何支出家庭收入的决定越多，家庭收入就越有可能通常用在儿童的需要上；²⁵ 母亲控制家庭预算，孩子生存机会增加20%(见A/HRC/13/32，第58段)。",
"5. 小农户落入债务循环陷阱的可能性",
"22. 虽然买方以批发价格购买投入的能力，会使其得以通过降低价格将盈余转让给农民，但也可能当农民只能从一个买方获得投入时，买方向农民索价将高于这些投入的市场价格。在协商过程中，特别报告员收到的一份来文指出，“在没有公共服务的情况下，代耕可能导致小农依赖合同公司提供的技术、信贷、投入和服务，而这种依赖具有潜在破坏性”。这不仅是指政府放弃提供充足公共产品以履行支持农村社区的职责、希望私人投资者来填补缺口的危险，也着重指出了代耕对农民的一个主要负面影响，即其有可能使农民落入债务周期的陷阱。经常发生的情况是，农民必须借钱来根据合同规定投资于农业生产，但由于市场价格下跌或歉收等，赚的钱不足以还债。当对土地的投资仅与一种生产有关，而合同公司是唯一的买方时，这种风险尤为重要，因为公司可以利用这种制约条件行使垄断权力，从而逐渐压低面向农民的价格。⁴ 那些依赖大多数种植者不熟悉的复杂生产和加工技术及十分专门的投入、并需要大量资本支出的作物，显著增加了种植者所面临的风险，马拉维的小农户糖业管理局和小农户茶叶管理局的代耕计划就是这种情况。[27] 由此导致的债务恶性循环会使农民由于债务本身或其他原因陷入既不是最优又难以脱身的合同安排：例如，土壤由于大量使用农药已退化，或是农民已经失去了与以前的交易伙伴的关系，无法重建传统的种植方法或产品，或是已过于依赖公司的其他服务。⁴",
"6. 权力不对称导致不平等合同",
"23. 农民在订立合同之前的谈判地位往往处于弱势。他们掌握的信息、谈判技巧和法律知识程度通常低于业务伙伴。³ 确定价格的方式、提供投入的扣除款、终止合同的条件以及农产品质量分级评估，都是合同条款可能严重偏向买方的领域。",
"24. 依据这样的条款，公司可谎称产品不符合质量规定，拒收交付的产品，从而在市场价格低时将经济损失转嫁给农民。当合同规定的价格机制不透明时，公司可以利用复杂的价格公式、数量计量或价格计量方式来操纵价格。它们还可以操纵交货时间表，从市场价格的变化或作为价格基础的产品质量变化中牟利(例如，因为甘蔗收割后蔗糖含量迅速下降，所以在依据蔗糖含量定价时延后购买甘蔗)。⁴",
"三. 合同中应当列入的各项要素",
"25. 各国应注意下列一些问题，以确保代耕安排有助于实现食物权。农业企业也可发挥作用。依据它们尊重人权的责任(见人权理事会第17/4号决议)，它们应当努力在与小农打交道时采纳良好做法。特别报告员着重指出了七个有待改进的方面。",
"A. 长期经济可行性",
"26. 安排必须对所有有关各方均可行。如果对于买方不可行，买方将终止合同或在财政压力下对其义务食言，对农民生计产生有害后果。如果由于不可持续的债务等导致安排对于农民不可行，买方将面临短期内的供应问题，并因此在其他农民中声名狼藉，可能使买方更难在长期与其他生产者订立安排。协议订立的方式应使农民和企业双方均受益，这样双方都愿意履行合同，而没有强大的背约动机。",
"B. 在谈判中支持小农户",
"27. 为了满足上述第一个条件，而且由于小农户处在相对较弱的谈判地位，他们应该有机会参与制定合同条款的措辞，确保合同反映农民的需求，并确保关于义务的术语的表达方式是农民能够理解的。农民组织可在支持合同谈判和提供咨询方面发挥重要作用，农民组织合作社代表其成员进行谈判，加强了农民的谈判地位。这也降低了买方的交易成本，还可提供集体贷款和改善沟通，从而降低农民违约的风险。合同拟订后，必须向农民提供合同副本。如果农民是文盲，应该由农民代表、农民组织或支持农民的非政府组织审查书面合同。还应向有关政府机构提供副本，以确保适当监督并减少霸王条款的风险。",
"C. 性别平等",
"28. 当预计农场工作将主要由妇女承担时，合同应写上妇女的名字，或者，工作由一对夫妻承担的时候，应写上夫妻双方的名字。不应自动默认为家庭男性户主的名字或耕地男性所有者的名字。",
"D. 定价",
"29. 定价机制应明确和透明，并表明价格如何体现生产成本、风险和回报。⁷ 尽管存在多种价格模式(例如现货定价、市场分割定价、固定价格和灵活价格模式)，但特别报告员认为，理想的定价机制是一个套用公平贸易计划中使用的公式的机制。生产者应得到一个固定的最低价格保障，价格的基础是满足生产成本并确保所有工人(在适用情况下包括家庭成员)生活工资的需要(见A/HRC/13/33，第14-17段)，但如果市场价格上升，买方支付的价格应该更高一些。例如，这就是MBSA在马里收购小农户生产的麻疯树时使用的定价机制。农民由合作社联盟代表，得到了最低价格保障，可根据生产时的柴油价格提高这一价格。¹⁹ 这就消除了生产者受到的在合同条款规定之外出售产品的诱惑，从而买方也没有必要密切监测生产者的业务。因此，这保障了买方的稳定供应，同时降低有关与大量小规模供应商签订合同的交易成本。定价机制应受一个独立仲裁机制管辖，应向农民提供国际交易商品的市场价格，以减少各方之间信息不对称所带来的风险。",
"E. 质量标准",
"30. 标准必须明确、具体，使商号无法操纵模糊标准的应用。另一方面，标准不应过于复杂，否则也会使商号有机会操纵标准。公司应向农民演示标准。此外，公司代表应在作物分级之前及早提前作出解释。",
"F. 环境可持续性",
"31. 代耕应加强努力促进农业生态生产方式，并提供足够的知识以及生物投入。如果代耕建立在可持续的知识密集型生产方式基础上，依靠农场产生肥料和控制病虫害而不是靠外部投入，那么其可持续性就会增强。如果合同规定采用高度投入密集型的生产模式，那么其具体要求应确保生产者对外部投入的依赖(特别是改良品种的种子和化肥)不会导致签订合同的农民依赖性增加的情况：(a) 当买方提供投入时，收取价格应合理，决不超过商业价格；(b) 应该为农民提供投保的机会，以保护他们不受所购买投入价格变动的影响；及(c) 其他形式的支持特别是技术咨询应作为优先事项，确保可持续做法得到测试和推广，包括生物控制、堆肥、多种耕作制度或复合农林业。",
"G. 调解和解决争端",
"32. 合同应通过适当管理结构促进各方之间的沟通，并写明解决争议的方式。应该承认，在绝大多数情况下，当一方未履行合同要求时无法诉诸法庭，因为所涉金额太小，而且在许多发展中国家农村贫穷人口实际上没有机会去法院。另一方面，买方不愿意使用正式法律手续不仅是因为这样做不现实，也是因为存在与农业社区的关系转坏的风险。[28] 真正的制裁机制是契约关系的破裂。农民如果认为这种关系不平衡将拒绝继续为买方供货，公司如果认为农民没有达到既定期望值将停止从该农民那里购买。[29] 因此，虽然法律制度是主要的问责机制之一，也应建立其他机制，其中包括：谈判空间、独立仲裁机制，可供农民提出顾虑的论坛，以及由非政府组织或第三方进行的冲突调解。各方之间应组织定期会议，以确保持续交流，以便及早发现问题。可以设立具体配额，以确保妇女在代表合同农民的委员会中的席位得到公平分配。",
"四. 其他可能有利于小农户的商业模式",
"33. 代耕很少鼓励农民在价值链上向上攀登，进入其产品的包装、加工或营销领域。代耕的目的是组织卖方和买方之间的劳动分工，卖方仅限于生产原材料。此外，所有的战略决策——种植何种作物、如何种植、以哪个市场为目标——都由买方做出。生产者仅仅是执行人。最后，在代耕中，双方的利益有所不同：虽然双方明显对于安排取得成功存在兴趣，但合同条款将或多或少有利于某一方而对另一方不利。因此，应对其他商业模式加以探讨。",
"34. 特别报告员认为，农民控股企业、合资企业和社区支持的农业计划提供了令人关注的重新思考，有利于小农户的食物链政治经济学的补充方式。虽然本节中未讨论若干其他业务模型，[30] 但此处探讨的模型强调，对于农业投资和小农户进入市场问题，必须拓宽思路。",
"A. 农民控制的企业",
"35. 可以鼓励农民组建自己的合作社、农民协会或合作社。[31] 此种农民控制的企业可以进入代耕计划(以比会员更为优惠的条件)，还能加强农民的谈判能力和在与投入品供应商和产品买方打交道时的谈判地位；可以推动农民进入市场并转向作物的加工、包装和市场营销领域；可以提高其成员为影响他们的公共政策的设计和执行工作作出贡献的能力(A/HRC/13/33，第30段和第31段)。例如，菲律宾有团体市场营销的农民的总收入(在实行可持续农业的农民成员达到35 000名的MASIPAG 网络的支持下)比其他农民的收入大约高45%。[32]",
"36. 集体所有制模式比传统的代耕安排能使小农户对其土地和生产有更大的自决权，并能绕过可能赚走收入很大百分比的中间商。集体耕种可以增强女农的权能，加强她们的土地产权和保护她们的工作权利。",
"37. 农民控制的企业有其自身的挑战。大型组织和过去一些国家控制的合作社一样，可能对各个农民的需求反应迟缓。有凝聚力的小型团体通常比较大的组织更为成功，因为较大的组织可能对成员的反应较为迟缓。³¹ 将农民组织起来可能需要作出很大的努力，并且对于时间有限的农民可能效率较低。特别是在组织内的民主管制薄弱的情况下，组织不一定总能为其成员带来经济效益。管理层在管理和商业技能方面接受的培训可能不足。必须在对成员的问责制和对持续有效领导的需求之间达到平衡，方法包括规定专业管理者不需经过选举即可向经选举产生的合作社委员会报告，如危地马拉报告的一个合作社实例。⁷ 如果外部机构组建的和由发展行为体提供支持的组织的生存能力取决于其所获得的支助水平，这种组织可能在长期无法持续。如果农民控制的企业是由非政府组织、发展组织或公共部门组建和领导的，不妨为结束外部支助设立一个时间表。在企业设立时在商业计划书中编制一个此种退出战略应会确保该企业是可持续的，并能独立生存。",
"B. 合资企业",
"38. 农民(通常通过其组织)和私人投资者可以设立合资企业，每一方以现金或实物形式出资。在理论上，此种业务模式能够确保双方是同等的合作伙伴并且是项目的共同所有者。双方均在合资企业中持有股权，同时保持其独自的法律地位并分享合资企业的利润或共同承担合资企业的损失。农民成为股东可以使他们对公司治理产生影响和就价格政策谈判、分享收益 (无论利润是重新投入企业还是作为股息发放)和改善获得贷款和其他与农业有关的服务的途径。[33]",
"39. 例如，1998年，成立了Divine chocolate有限公司(前Day Chocolate Company)，其中有代表加纳68 000名生产可可的农民的Kuapa Kokoo农民联盟(KKFU)，致力于为163 000个农民家庭生产的咖啡、坚果、可可、糖、水果发展公平贸易供应链的总部设在大不列颠及北爱尔兰联合王国、包括来自8个国家的24个农民合作社的会员组织TWIN Trading。一个小额融资机构Christian Aid，Comic Relief and Oikocredit 和美体小铺(The Body Shop)也通过参股支持该合资企业，美体小铺随后向KKFU捐献了其股份。联合王国的国际发展部担保提供一个大型联合王国商业银行的信贷额度，这使 Divine Chocolate能够更好地得到资金，并使其能够将该公司的更多数量的股权给予KKFU，使其在运营中有更大的决策权力。KKFU现在拥有Divine Chocolate 的45%的股权和2007年创立的Divine美国分公司的33%的股权。Divine Chocolate在开始运营的9年时间销售了7 150多万美元价值的巧克力。2001年，在扣除设立费用后首次支付了股息。股息是象征性的(直接向每个成员支付1美元)，但这是在KKFU的固定价格、公平贸易溢价以及Divine在其开始运营的10年中对其捐助了超过122万美元的农民支助和发展方案的惠益之上额外支付的。这种安排推动了创收活动，并支持了社区项目 (包括水井、学校、卫生设施和工厂)以及农民培训和参与性决策。[34]",
"40. MBSA是另一个有希望的合资模式，侧重于在荷兰私人机构投资者和荷兰政府的支持下，与马里和布基纳法索的小佃农合作使用麻风树生产生物柴油。在马里，2 611名农民于2009年参与了这一合资模式，在3 250公顷的土地上种植了160万棵麻风树。农民被组织在12个合作社中，并加入了农民联盟。联盟与MBSA协商麻风树的价格，为农民提供支持。公司董事会有农民联盟代表，这些代表拥有公司的20%的股权。因此，农民直接从销售他们的产品和作为股东得到股息中获益。¹⁹",
"41. 但是，合资企业并不是灵丹妙药。几份研究显示，这一模式不一定为小农提供更好的生计 ，或改善农村发展和落实食物权。公司往往控制所有的业务决定，并且合资企业可能篡改账目以避免支付股息。²¹ 例如，在南非，在鼓励1994 年后的土地归还和重新分配方案的受益方设立有农业企业的合资企业，或在有时被视为不公平的条件下缔结允许前土地所有者使用其土地的租回协定后，出现了一些问题；^(34、)[35] 在马来西亚，在政府鼓励根据惯有权利在沙巴和沙捞越的以三方合资的形式在土地上生产油棕后也出现了问题，这三方包括一个私人种植公司 (60%的股权)、一个当地社区(30%)和一个半官方机构(10%)，其中当地社区实际上放弃在合资企业内的所有日常决策权力。³⁰",
"42. 为降低此种风险，农民组织和东道国政府应在合资企业董事会中指派代表，而合资企业应加入对少数股东的保障。地方合作伙伴也可以在控股公司董事会中指派代表。",
"C. 社区支持的农业",
"43. 直接送达消费者的食品市场营销是一个更为新颖的途径，它以使小农能增加收入、同时控制其生产的条件将小农户与市场联系起来。尽管地方粮食系统仍然处于主流之外，这种系统最近几年在一些发达国家取得了巨大进展。在美利坚合众国，直接送达消费者的食品销售在十年中增长了一倍以上，从1997年的5.51亿美元增至2007年的12亿美元，并且农民市场的数量从1998年的2 756个增至2009年的5 274个。1986年，有两个社区支持的组织，现在估计有1 400 个此种组织。美国农业部估计，在2007年，136 817个农场直接向消费者销售产品。[36] 现代的社区支持农业在日本以teikei系统的方式产生，现在在加拿大和法国等若干国家显示了强劲的增长，在这些国家“维护家庭养殖协会(AMAP)”网络现在包括1 200个社区支持农业计划。尽管这些社区支持农业计划往往与消费者对有机产品的更大需求有关，此种举措确保农民的产品有一个有保障的出路，并使农民获得稳定的收入。",
"44. 在巴西贝洛奥利藏特和南非德班，出现了两个通过重新定义地方粮食系统试图将小农与地方消费者联系起来的有意思的做法。特别报告员在2009年和2011年对这两个国家进行正式访问的时候，对这两个案例都进行了认真的研究。1993年，贝洛奥利藏特通过了一部国内法，根据粮食主权的概念设立了一个政策框架，并设立了一个粮食政策与供应秘书处。在这一框架下，贝洛奥利藏特努力创建获得可负担得起的健康食品的各种渠道。由于低收入群体往往认为传统市场过于昂贵，并且由于该城市中最贫穷的部分——贫民窟——通常无法得到充分的食品分发，秘书处开设了流动食品分发服务。它努力通过政府食品采购和将地方生产者置于优先地位的刺激措施，支持家庭农业，将此种支持视为减少向城市的移徙和鼓励有机生产方法的关键。通过整合整个粮食系统的后勤和供应链，以及将地方生产者与消费者直接联系起来从而降低价格，重新规划了该城市的地方粮食系统。2008年，为经公开程序遴选的来自贝洛奥利藏特的8个农村市镇的34个生产者在整个城市分配了固定的销售点，并监管他们产品的价格和质量，以确保粮食是可负担得起的和有益健康的。在同一年，该市运营49个传统市场和7个有机市场，使周围地区的97个小生产者受益。",
"45. 在人口接近400万的徳班/伊特克维尼市，市政当局的农业管理科致力于不仅支持社区食品菜园，还支持社区小型农场和新兴商业农场。市政当局确定了26个农民协会和800个社区菜园，并努力改善市场与城市居民的联系。据估计，如为这些菜园提供充分的支持，这些菜园可以创造 60 000个工作。市政当局的一个关键目标是通过面向城市中心的剩余销售，提高新鲜和可负担得起的粮食的自给自足能力。农业管理科为实施这一战略设立了六个中心——实际上是支持当地农民和提高他们营销产品能力的中心，包括展示农业生态技术的网站和关于农业生态的研究和发展中心、培训地点、一个包装和市场营销中心和将在今后建立的一个种子库。",
"五. 结论和建议",
"46. 特别报告员在审查备选的商业模式后得出结论， 这些模式对于实现食物权都有潜在的风险和惠益，各国政府在保护个人避免有关风险和确保代耕和其他商业模式支持小生产者、其当地社区和整个社会实现食物权方面具有重要的作用。",
"47. 各国政府应支持将农民组织起来，成立合作社和其他生产者组织，这可以改善农民的谈判地位，帮助他们向价值链上游攀升，进入到产品包装、加工和市场运营领域，并在更好的条件下获得投入和销售他们的产品。有必要确保投资者和农民组织之间的谈判条件的公平性。各国政府还可以向农民或农民组织提供法律咨询，以加强他们的谈判地位，并确保他们选择缔结的任何合同对他们是在经济上可持续的。",
"48. 作为实现食物权国家战略的一部分，各国政府应创造一个环境，使地方市场的发展能惠及小农，并创造将农村地区的小农与城市消费者联系起来的各种备选方案。可以选择进入市场的农民越多，他们在与私营实体谈判合同农业或合资企业的协议条件时的地位就越高。",
"49. 各国政府有责任通过为小农户提供市场支助，支持食物权的实现，并最大程度上利用他们的现有资源。这些包括：",
"(a) 提供稳定和可靠的基础设施服务，例如公路、水、电和通信；",
"(b) 支持传统和批发市场；",
"(c) 建立允许小农向价值链上游攀升的计划，包括通过在地方或区域一级确定在生产商、包装商、加工商和零售商之间可以建立何种伙伴关系；",
"(d) 要求开展公共推广服务，为农民提供有关如何与公司创建合资企业或如何建立农民控制的商业实体的咨询。",
"50. 各国政府还可通过财政刺激或将进入公共采购计划的条件设为投标人符合特定采购要求的情况，鼓励优先从小农户采购。",
"51. 各国政府应确保商人之间有足够的竞争，以防止农民在没有特定作物的其他买家的情况下受制于与特定商人建立的不平等关系中。特别是，各国政府应确保合同农业的扩张不会导致公共支持计划的废弃和农业推广服务的私有化，这些情况将缩小小农的选择面并增加没有组织起来的小农和在国家、区域和全球范围运营的私人行动体之间的权力不对称。",
"52. 各国政府应确保管理监督跟上包括小规模耕种的商业模式的扩张和复杂性水平。应监管合同的特定关键条款，包括价格固定、质量评级和提供投入的条件，以及保留一部分土地用于生产供自家口粮。双方商定合同后，合同可能须经当局的审查，以确保识别任何滥用的情况并在适当时对其进行补救，此外应提供非司法解决争端机制。应特别注意七个重要方面和上文第三节中确定的代耕的良好做法。此外，政府机构应：",
"(a) 监测合同农业中的劳工条件，并确保此种耕种的扩大不会导致对廉价家庭劳动力的过度使用，或对农业工人的劳动权产生间接的压力；",
"(b) 将其对合同农业的支持与遵守特定环境条件联系起来，如减少使用化学肥料或种植树木，或通过规定逐步转向更可持续的耕种类型的商业计划。",
"53. 国家粮食安全机构应监测和评估本报告探讨的各种商业模式对实现食物权的贡献。这些机构可以借鉴巴西的国家粮食和营养安全理事会的工作或南非人权委员会关于粮食安全问题的具体工作。各国政府还应设立论坛，在论坛上生产商、加工商、零售商和消费者可以讨论食品链的公平性，以确保向农民支付其所生产粮食的公平价格。此种论坛可以研究(a) 农场交货价与零售价之间的关系，以及这两个价格之间的差距是否保持在合理的范围内；(b) 在生产商和消费者之间如何建立较为直接的联系。这应被视为发展地方粮食系统的更伟大事业的一部分，并因此为小农的产品创造了另一个出路。",
"54. 农业企业应在其与小农打交道时结合运用第三节中确定的七个良好做法。",
"55. 发展合作伙伴和国际组织可以确保代耕有益于贫穷的小型粮食生产者，并遵循充足食物权原则，包括通过加强基于社区的组织与私营部门谈判公平协议的能力，促进为当地社区在合资企业参股供资，或支持农民控制的企业获得向价值链上游攀升所需要的资产和管理技能，因为开办今后能够自我维持的企业时，往往需要在初期给予支助。",
"[1] 本报告中主要指农作物生产，但大部分经验也可转用于广义上其他农耕部门。",
"[2] C. Eaton和A. Shepherd,《代耕：合作伙伴促增长》(联合国粮食及农业组织，罗马，2001年。",
"[3] M. Brüntrup和R. Peltzer,“撒哈拉以南非洲农村发展的关键——超速生长”《DEG/DIE研讨会报告》2006年8月18日(波恩，2007年)。",
"[4] C. da Silva,“代耕在农业粮食系统发展发挥越来越大作用：推动因素、理论与实践”，农业管理、营销和财政服务工作文件，》(联合国粮食及农业组织，罗马，2005年。)",
"[5] R. Rama和J. Wilkinson,“发展中国家外国直接投资与农业粮食价值链：主要问题回顾”，《商品市场回顾2007-2008年》(联合国粮食及农业组织，罗马，2008年)。",
"[6] 根据欧洲委员会的研究，多数买方喜欢与中等农户打交道，因为与小农户定合约交易成本高(包括监测成本)。不过小农户也有其吸引力的一面是，其依赖廉价(不付钱)的家庭帮工，而且其依赖程度很高，因为除非通过买方，否则通常很难进入市场。",
"[7] B. Vorley及其他作者,“包含小农户的商业模式”《农业促进发展》。C.da Silva及其他作者编(CAB国际和联合国粮食及农业组织，2009年)。",
"[8] 比如，见B. Minten及其他作者,“全球零售链与贫穷农户：马达加斯加的证据”LICOS讨论文件，第164/06号。(显示马达加斯加高原小代耕农户为欧洲超市生产蔬菜，得到买方支持，遵守复杂的标准化卫生规定，福利较好，农闲时期较短，收入较稳定，胜过把产品卖给地方零售商的农户。)可以指出，这些情况与一家公司Lecofruit(Légumineuses Condiments Fruits de Madagascar SA)的采购实践密切相连,至今它是马达加斯加高价值蔬菜的主要出口商，从该国9 000多代耕农户购买蔬菜，每个农户耕种的土地不足一公顷。",
"[9] S. Setboonsarng,“全球扶贫合作伙伴：代耕与区域合作”亚洲开发银行，机构讨论文件，89号(2008年2月)。",
"[10] P. Birthal,“让代耕在小农农业中起作用”，全国农业经济与政策研究中心，新德里。",
"[11] 尤其见非洲发展新伙伴关系。“代耕为非洲衰落的农业带来新希望”，东非政策简介，第2号。(南非约翰内斯堡，2006年)。",
"[12] 关于评述，见D. Glover和K. Kusterer,“小农户、大商业：代耕与农村发展”，(纽约St.Martin’s出版社，1990年；P. Little和M.Watts(编),《依合同生活：代耕与撒哈拉南非洲农业转变》，(麦迪逊，威斯康星大学出版社,1994年)。",
"[13] 《国际经济、政治及文化权利公约》第6和第11条。另见A/HRC/13/33,第13-20段。",
"[14] L. Ortega和M. Dirven,“农业产业与小农业：比较不同的经验”LC/R.1663号报告(拉丁美洲和加勒比经济委员会，智利，1996年)。",
"[15] 例如，见粮农组织,“通往成功：农业生产与粮食安全的成功经验,”(罗马，2009年)。",
"[16] 见P. Birthal及其他作者,“高价值食物的纵向协调：对小农户的影响”，MTID讨论文件，第85号。(国际粮食政策研究所，市场、贸易与机构司，华盛顿特区，2005年。以及I. Delforge,“泰国的代耕：农村的看法”，侧重全球南方活动文件，第2号。(曼谷，2007年)。",
"[17] N. Key and D. Runsten,“拉丁美洲代耕，小农户与农村发展：农业加工商号与超量种植生产规模”《世界发展》第27卷第2号(1999年2月)。P. Simmons及其他作者,“分析印度尼西亚East Java, Bali和Lombok的代耕”《农业经济》第33卷第3号(2005年11月)。J. Coulter 及其他作者,“让农民合作与代耕结合起来，在政策放宽到撒哈拉南非洲提供服务”《国家资源角度》第48号，(1999年11月)。这方面的证明各不相同。见关于对小农户无偏见的看法，脚注16。",
"[18] I.Delforge,“Contract farming in Thailand: a view from the farmer”(见脚注16)。",
"[19] Center for Human Rights and Global Justice,“Foreign land deals and human rights: case studies on agricultural and biofuel invesment”(New York University School of Law,2010).",
"[20] 确实，这种保障对于厌恶风险的小规模农户加盟代耕计划是必不可少的。见H.Binswanger,“Attitudes toward risk:experimental measurements in rural India”,American Journal of Agricultural Economics,vol.62,No.3(1980)(说明小农户可能更倾向于较低但稳定的收入，而不是潜在收益更高却有更大风险的收入)。",
"[21] L. Cotula,“投资合同与可持续发展：如何使合同有利于更公平、更可持续的自然资源投资”, National Resource Issue No.20,International Institute for Environment and Development (IIED)(London,2010)。",
"[22] S.Singh,“印度的代耕：对女工和童工的影响”,Gatekeeper Series No.111,IIED(London,2003)。",
"[23] M.Maertens and J.Swinnen,“现代供应链是造成男女不平等？”Paper presented at the ILO-FAO workshop on Gender and rural employment:differentiated pathways out of poverty(Rome,2009)。",
"[24] 另见J.Behrman et al.,“大规模土地交易对性别的影响”，IFPRI Discussion Paper No. 01056, International Food Polic Research Institute(Washington,D.C.,2011)。",
"[25] 见M.-K.Chan,“改善小户供应链中妇女的机遇”,for the Bill & Melinda Gates Foundation,2010。",
"[26] C. Dolan,“农业转型中的性别和巫术：肯尼亚的园艺”,Development and Change,vol.33,no.4 (Sep.2002)。",
"[27] 本案例特别之处在于，国家而不是私营买方根据这项计划与农民订立合同、向种植者提供信贷、作物投入和延伸服务，种植者必须偿还这些费用。小规模农户的参与成本是不成比例的，因为包括支付延伸服务的费用在内的固定费用对于那些耕种小块土地的人是最高的。见M.Warning and W.Soo Hoo,“The impact of contract farming on income distribution: theory and evidence”,paper presented for the Western Economics Association International Annual Meetings(2000)。",
"[28] J.Kirsten and K.Sartorius,“发展中国家农商业与工农户联系起来：代耕的新作用？”，Development Southern Africa,vol.19,No.4(2002)。",
"[29] M.Warning and N.Key,“The social performance and distributional consequences of contract farming: an equilibrium analysis of the arachide de bouche program in Senegal”,World Development,vol.30,No.2(2002)；H.Guo et al.,“代耕在中国：供应链还是锁链”,paper presented at the 15th Annual International Food and Agribusiness Management Association Forum and Symposium(2005)。",
"[30] 见S.Vermeulen and L.Cotula,“最大限度利用农业投资：给小农户机遇的商业模式普查”,IIED/FAO/ International Fund for Agricultural Development and Cooperation(SCD)(London/Rome/ Bern,2010)。",
"[31] J. Coulter et al.，见脚注17。",
"[32] L. Bachmann et al.(eds)，粮食安全与农民赋权，MASIPAG，菲律宾洛斯巴尼奥斯，2009年。",
"[33] M. de Koning and B. de Steenhuijsen Piters，“身为参股方的农民：新近经验探讨，”Bulletins of the Royal Tropical Institute，No.390，2009。",
"[34] L. Cotula and R. Leonard (eds.)，“绕开土地购置：农业投资与合作商业模式”，第2章，IIED/SDC/IFAD/Centro Terra Viva，London/Bern/Rome/Maputo，2010年。",
"[35] Ofreneo，“The LEASEBACK Mode of Agrarian Reform：Strengths，Weaknesses and Options，”Action for Economic Reforms，Poverty Series，Sep. 2000；for a similar situation in the Philippines，C. Flores-Obanil & M. Manahan， “Leaseback Arrangements：Reversing Agrarian Reform Gains in the Philippines”，Farm Bulletin，第一卷，第2号(2006年)。",
"[36] S. Martinez et al.，“地方粮食系统：概念、影响与问题”，United States Department of Agriculture，Economic Research Report No. ERR-97(May 2010)."
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"The right to food",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the members of the General Assembly the interim report of the Special Rapporteur on the right to food, Olivier De Schutter, submitted in accordance with General Assembly resolution 65/220.",
"Summary",
"Better access to markets is key to improving livelihoods for many small-scale farmers in developing countries. Recently, contract farming has been presented as an optimal solution, benefiting firms as buyers, small-scale farmers as suppliers and Governments. This report identifies the issues raised by the expansion of contract farming and notes seven areas in which Governments and firms could ensure that it results in pro-poor outcomes and contributes to the full realization of the right to food. Contract farming rarely encourages farmers to climb up the value chain and move into the packaging, processing or marketing of their produce. The report therefore also examines other business models that could be more inclusive, such as farmer-controlled enterprises, joint ventures or direct-to-consumer food marketing practices by farmers. It is vital to ensure a diversity of outlets for the produce of small-scale farmers to strengthen their position in the food chain, which contributes to the realization of the right to food in rural communities and rural development in general.",
"Contents",
"Page\nI.Introduction 3II.Contract 4 \nfarming A.Drivers 4 behind the rise of contract \nfarming B. Clarification 6 of the implications of the right to \n food C. Avoidance 8 of negative transformations of the political economy of food \nchains III.Elements 12 that a contract should \nintegrate A. Long-term 12 economic \nviability B.Support 13 for small-scale farmers in \nnegotiations C.Gender 13 \nequality \nD.Pricing 13E.Quality 14 \nstandards F. Environmental 14 \nsustainability G. Mediation 14 and dispute \nsettlement IV. Other 15 business models that could benefit small-scale \nfarmers A. Farmer-controlled 15 \nenterprises B. Joint 16 \nventures C.Community-supported 18 \nagriculture V.Conclusions 19 and \nrecommendations",
"I. Introduction",
"1. There is now a broad consensus on the need to tackle rural poverty and the lack of access to adequate food by increasing support for agriculture. Over the past few years, and particularly since the global food price crisis of 2007-2008, a significant reinvestment in agriculture has been occurring. Previously, the Special Rapporteur documented some of the risks and opportunities resulting from that development. He identified some good practices that could ensure that the investments would contribute to the alleviation of rural poverty and food insecurity and to the empowerment of small-scale farmers (see A/HRC/13/33 and Add.2 and A/65/281). Unless the realization of the right to food serves as the foundation of the current reinvestment in agriculture, the situation of the poorest farmers working on the most marginal land could be further aggravated by this process, which leads to increased competition for productive resources, and the existing dualization of the farming sector could worsen as a result.",
"2. A key but often underestimated challenge is how to improve the access of farmers to markets. An overemphasis on export-led agriculture in many developing countries may have perverse consequences, leading those countries to depend on a narrow range of raw commodities for their export revenues and making them highly vulnerable to price shocks as food importers (see A/HRC/10/5/Add.2). Small-scale farmers, herders and fishers producing for local consumption[1] could be the primary beneficiaries of strengthened local and regional markets, which would enhance their access to local buyers, particularly urban consumers. Consequently, the Special Rapporteur has consistently encouraged initiatives that could improve the links between local producers and consumers through appropriate infrastructure and price information and the organization of value chains. Guideline 4.5 of the Voluntary Guidelines to Support the Progressive Realization of the Right to Adequate Food in the Context of National Food Security notes that “States should, as appropriate, promote the development of small-scale local and regional markets and border trade to reduce poverty and increase food security, particularly in poor rural and urban areas” (see E/CN.4/2005/131, annex).",
"3. The development of small-scale local and regional markets seems to be the most promising avenue towards the realization of the right to food in many developing countries where rural poverty is widespread. The choice to focus the present report on business models that are alternatives either to the spot markets or to large-scale acquisitions or leases of land is consistent with this conviction. While alternative business models, such as contract farming, are generally associated with foreign investment and global supply chains, such alternative models can also be adopted by local actors, including public bodies. Under certain conditions, alternative models can help in the development of localized food chains, for instance by linking farmers’ cooperatives to the local food-processing industry or to local fresh produce retailers serving urban consumers.",
"4. The report is based on recent scientific literature and on various site visits undertaken by the Special Rapporteur. It also benefited from inputs from a wide range of stakeholders, including international development cooperation agencies, United Nations funds and agencies, academic institutions, private sector experts and non-governmental organizations.",
"II. Contract farming",
"5. Contract farming has been defined as an agreement between farmers and processing and/or marketing firms for the production and supply of agricultural products under forward agreements, frequently at predetermined prices.[2]",
"A. Drivers behind the rise of contract farming",
"6. Contract farming has gained importance in recent years in both developed and developing countries.[3]^(,)[4] Buyers see it as a means of strengthening control down the supply chain in order to respond to an increased need for production traceability and food product standardization, as quality and food safety standards have gained in importance and as consumers express concerns about the environmental and social aspects of production.[5] Controlling contracted farmers to prevent extra-contractual marketing or the diversion of inputs received for uses other than crop production under the contract may be costly, but the costs are generally offset by the improved reliability and more consistent quality of supplies compared with products purchased on the open market.² Contract farming can minimize firms’ risks with respect to changes in supply and demand and allows firms to promote safety standards and other quality requirements. Contracts also enable firms to schedule the delivery of products at optimal times for their business, something that they cannot control when relying on the spot market.⁴",
"7. Firms transfer responsibilities for labour management to farmers through contract farming, and labour costs may be lower because contract farmers often use unpaid family workers. Furthermore, firms using contract farming arrangements can maintain more fluid operations because they are not constrained by fixed assets. These are some of the reasons why, for instance, contract farming with smallholders has been seen as an attractive option in India for companies in the horticultural, poultry and dairy sectors. Although transaction costs are relatively high, this model spreads risk over a large number of suppliers (the buyer, therefore, is not at risk if any one major supply source defaults) and provides for flexible supply that adapts easily to volume or quality variations.[6]",
"8. A considerable number of small-scale farmers have joined such schemes.^(3,)[7] In part as a result of the withdrawal or reduction of public extension services over the past 30 years, contract farming often represents the only viable option to improve livelihoods, as such agreements guarantee access to markets as well as to good-quality inputs (often supplied at lower wholesale prices) and technical advice, and facilitate both access to certification schemes and meeting standards.[8] The shift to higher-value crops, improved productivity and the lowering of their marketing and transaction costs may result in higher incomes. Contract farming may also improve farmers’ access to credit,[9] either because firms directly provide credit or because banks accept farmers’ contracts as collateral. Depending on the particular type of arrangement, contract farming can provide a guarantee that farming revenues will be relatively stable and insulated from market price fluctuations.² In addition, firms sometimes pay farmers a premium to ensure that they do not engage in selling outside the contract.[10] As a model of direct procurement, which generally cuts out the middleman, contract farming may also be seen as a winning solution for consumers, firms and farmers alike.⁷",
"9. Governments have generally supported contract farming.[11] They see it as a way to increase farmers’ incomes, attract foreign investment and reduce the fiscal burden on Governments, as buyers having long-term contractual relationships with producers often provide the services and types of support traditionally provided by Governments.⁹ It has therefore not been unusual for firms to benefit from government financial incentives promoting contract farming, such as tax breaks or tariff reductions.",
"B. Clarification of the implications of the right to food",
"10. Whether contract farming will contribute to the realization of the right to food will depend on context, the specific contractual arrangements and to what extent a human rights-based approach is adopted.[12] It is thus important for host States, investors and farmers to consider some of the main benefits and drawbacks of traditional contract farming models, as well as to identify the criteria that can ensure that contract farming truly benefits small-scale farmers. A human rights-based approach leads to the criteria set out below.",
"1. Duties of the State: respect, protect and fulfil",
"11. States, under international law, have the duty to respect, protect and fulfil the right to adequate food. The duty to respect requires States not to take any measures that result in preventing access to adequate food. The duty to protect requires measures by States to ensure that enterprises or individuals do not deprive individuals of their access to adequate food (see E/C.12/1999/5, para. 15). Consequently, States must control long-term arrangements between investors and buyers and between farmers and producers to prevent the risk of abuse or, where abuses do occur, to ensure that effective remedies are available. They must also protect basic labour rights recognized under the core International Labour Organization (ILO) instruments, since the failure to comply with such rights can lead to violation of the rights to work and to an adequate standard of living recognized in international human rights law.[13] The duty to fulfil obliges States to proactively engage in activities intended to strengthen people’s access to and utilization of resources and means to ensure their livelihood, including food security (see E/C.12/1999/5, para. 15). To the maximum extent of their available resources, States must, therefore, create an environment enabling farming communities to enter into various arrangements under conditions that ensure that their rights will be effectively safeguarded, despite sometimes stark inequalities of power and asymmetries of information among the various parties.",
"12. States should also support farming communities by providing certain goods and services required to achieve an adequate standard of living through farming. Although private investors may provide some of the same goods and services, leading some commentators to view contract farming as a means to ensure the more efficient distribution of such goods and services,[14] it would be misplaced to view contract farming as a substitute for the indispensable role of the State in this regard. Guideline 2.6 of the Voluntary Guidelines on the right to food recalls the duties of the State where poverty and hunger are predominantly rural. It is expected that States, for instance, will provide technical assistance to farmers through public agricultural extension services, ensure access to reliable and assured credit for small-scale farmers at reasonable rates and help to create basic price support mechanisms for small-scale farmers.[15] Contract farming should not become a driver of the privatization of extension services,[16] or serve as an excuse for Governments to neglect their duty to support farmers with the provision of public goods, since it is precisely the most marginalized farmers who would suffer most from the retreat of State support.",
"2. Need for non-discriminatory business models",
"13. A human rights-based approach requires a focus on the most vulnerable, those who are most often excluded from progress. Contract farming schemes often exclude the poorest farmers, who have limited and marginal land and fewer resources to invest and live in remote areas. Researchers note that the transaction costs associated with providing inputs, credit and extension services and carrying out product collection and grading are disincentives for firms to contract with smallholders, so firms often prefer to engage with medium- or large-scale farmers.^(5,9,)[17] Unless vulnerable and marginalized groups are considered specifically, they may be excluded from the opportunities that these business models seek to create. Moreover, small-scale farmers are usually in weaker bargaining positions. They may be illiterate or lack the skills to effectively defend their rights and interests in contract negotiations. Women often are marginalized, particularly where decisions are made at the community level through decision-making processes from which they are de facto excluded.",
"3. Need to ensure coherence and sustainability",
"14. What is in the interest of the parties to certain contractual arrangements or business models may not be in the interest of the community as a whole, and the solutions may not be sustainable. For instance, contract farming may divert agricultural production towards cash crops that, while potentially increasing revenue for some producers, may also lead to local food price increases, as less food would be produced for local consumption, with the risk that food would become unaffordable for the poorest in some communities. This may be in violation of the requirement that “every man, woman and child, alone or in community with others, have physical and economic access at all times to adequate food or means for its procurement” (see E/C.12/1999/5, para. 6). The specialization in cash crops frequently entails a loss of biodiversity and a shift away from diversity and towards mono-cropping in farming systems that may be detrimental to the biotic activity of the soil and may accelerate soil erosion. States have a duty to “protect ecological sustainability and the carrying capacity of ecosystems to ensure the possibility for increased, sustainable food production for present and future generations, prevent water pollution, protect the fertility of the soil, and promote the sustainable management of fisheries and forestry” (E/CN.4/2005/131, annex, para. 8.13).",
"C. Avoidance of negative transformations of the political economy of food chains",
"15. An analysis of contract farming grounded in the right to food highlights six potential problems. Four arise from the shift to contract farming itself, and two stem from the specific content of the contract farming arrangement into which some farmers enter.",
"1. Overspecialization and unsustainable agricultural practices",
"16. Contract farming is generally associated with the production of commercial crops for export, mono-cropping and forms of production that rely heavily on chemical fertilizers and pesticides, often with adverse repercussions for human health and for soil. None of these consequences, however, are inevitable in contract farming. As already noted, this kind of contractual arrangement between a buyer and a farmer can be used to produce crops for sale on the domestic market and contribute to the strengthening of local markets, and in particular to improving the links between rural producers and urban consumers. Contract farming could and should include incentives for moving towards more diverse farming systems, using a combination of plants, trees and animals according to the principles of agroecology (see A/HRC/16/49). While contract farming often involves the provision of inputs, including mineral fertilizers, by the buyer, it may also include provisions that oblige the producer to comply with certain environmental conditions, for instance more cautious use of pesticides.",
"2. Vulnerability of small-scale farmers to food insecurity through food price volatility",
"17. Contract farming often leads the producer to shift from food crops to cash crops. When farmers change all of their crop production to non-food crops covered by contractual arrangements, however, they relinquish the ability to produce food for their families, thus losing a valuable safety net. This renders the farmers vulnerable to food price increases, particularly if firms do not meet their contractual obligations or if farm incomes are lower than expected in comparison to the evolution of food prices. Farmers sometimes also have to manage gaps between contract cycles, during which time they do not earn any money from farming.[18] To mitigate the risks involved in the shift to cash crops and the resulting dependence of farming households on the market to purchase food, a portion of the contracting farmer’s land should be left to the farmer or other household members to grow food crops for household consumption. This can be effective especially where the contract farmer benefits from technology and skills transfers, leading to multiplier effects on non-contracted farming activities, including subsistence crop farming.² Similarly, farmers can use by-products and residues from contract farming activities in various ways, including by selling the by-products or using them for subsistence activities. In Madagascar, small-scale farmers contracted by Lecofruit for vegetable production use part of the land for the production of rice, the staple crop, and the productivity of rice increases (from 3.6 to 6.0 tons/ha) thanks to the use of compost and manure and the recycling of waste from vegetable production. In Mali, the production of biodiesel from jatropha by small-scale farmers contracted by MaliBiocarburant SA (MBSA) produces residual “press cakes” that can be used as an organic fertilizer, as well as glycerine used to produce soap. The jatropha trees are intercropped with maize, which accounts for 80 per cent of the surface, ensuring that priority is given to staple food crops.[19] This should ensure adequate protection for the contract farmer against the risk of occasional bad harvests or sudden crop price depressions.[20] Such a guarantee of a stable income commensurate with an adequate standard of living is essential, and even a pricing mechanism that, as proposed below, guarantees a minimum price to the producer (unless the price is linked to the cost of production and the cost of living) would not provide an equivalent safeguard.",
"18. Beyond the farming household, the switch to cash crops also increases vulnerability to price shocks for the local community. When the contracted crops are edible produce that is available on the local market, it may be helpful to ensure the accessibility (physically and economically) of adequate and culturally acceptable food for the population. One possible solution to facilitate the enjoyment of the right to food of the community is to include a local marketing requirement in the contract whereby a certain percentage of crops is sold on the local market.[21]",
"3. Transformation of small-scale farmers into false wage-earning agricultural labourers on their own land",
"19. More generally, contract farming can lead to a loss of control over production, including which crops to produce and how to produce them. Contract farming can thus cause farmers to become essentially wage-earning agricultural labourers on their own land, but without the benefits associated with paid labour, such as minimum wages, sick leave and other legislated benefits. Contracted small farmers are then seen by the buyer as labour market intermediaries. This is particularly clear after plantations are broken up by owners to create small-scale farms, possibly to break the power of unions or divest firms of their responsibilities, with negative effects on former labourers. Seen in this light, contract farming raises a number of questions that concern the right to work and the conditions of employment on family farms. Contract farmers often rely on family labour to fulfil work requirements. While this may be seen as leading to greater employment opportunities, it often simply results in more family members working without pay because that may be the only way to cut costs and to make the contractual arrangement profitable. In such contexts, child labour can become a problem in contract farming arrangements.[22] Article 10 of the International Covenant on Social and Cultural Rights and article 32 of the Convention on the Rights of the Child impose on States the obligation to protect children and young persons from economic and social exploitation and to punish their employment in work that is likely to be hazardous or to interfere with the child’s education or to be harmful to the child’s health or physical, spiritual, moral or social development. States must adopt effective measures to ensure that the prohibition of child labour is fully respected (see E/C.12/GC/18, para. 24). It is also relevant to note that in accordance with article 9 of the Covenant, States must guarantee the right to social security, which must also be accessible to independent producers (see E/C.12/GC/19).",
"20. Specific problems are associated with the hiring of outside labourers by contracting farmers. Such labourers may not be covered by the same labour laws that cover agricultural workers on larger plantations. Article 7 of the Covenant recognizes the individual dimension of the right to work, stating the right of everyone to the enjoyment of just and favourable working conditions. All workers are entitled to fair wages and equal remuneration for work of equal value without distinction of any kind; in particular, women are guaranteed conditions of work not inferior to those enjoyed by men, with equal pay for equal work; a decent living for themselves and their families; and safe and healthy working conditions. Working conditions for labourers on small farms, however, are often worse than on larger plantations. Wages for labourers on small farms are often extremely low, and women labourers are frequently paid even less than male labourers. Monitoring compliance with labour legislation is difficult, especially since labourers on small farms (just like agricultural workers on large plantations) are unlikely to be unionized, and labourers’ employment situations on small farms are often insecure. Contract farming makes small farms more like large-scale plantations, and in this case in particular it encourages the farmer to hire an outside workforce on a more or less regular basis. In such cases, the enforcement of labour legislation encounters specific challenges, which may be best tackled by ensuring that the buyer controlling production also controls compliance with domestic labour legislation.",
"4. Gender effects",
"21. Women have less access to contract farming than men. A study found that in the Kenyan horticulture export industry, women comprised fewer than 10 per cent of contracted farmers, and in a sample of 59 contract farmers for French beans exported from Senegal, only one was a woman.[23] The ability of women to benefit from contract farming is determined by their rights over land and by the power relationships both within households or, when the contract is negotiated through representatives of the community or the farmers’ organizations, within those groups. Indeed, even where most of the work is in fact performed by the wife and other family members, it is not unusual for the contract to be signed by the husband, as head of the household, as is seen in sugar contract farming in South Africa or in vegetable contract farming in the Indian Punjab.[24] In addition, studies suggest that women lose control over decision-making when crops are produced for cash rather than for local consumption. While women decide about the use of food produced for self-consumption, they do not decide how the income of the household is spent. Therefore, unless the framework for contract farming respects women’s rights and is gender sensitive, it will undermine gender equality.[25] Research done on bean contract farming in Kenya shows, for instance, that while women performed most of the work, they received a limited portion of the revenues from the contract. In addition, where they did receive cash, they were expected to contribute to household expenditures even when this would have been the husband’s responsibility.[26] Strengthening the position of women is not only a matter of guaranteeing the right to equality of treatment, but also a means of improving productivity, since women receiving a greater proportion of the crop income will have a greater incentive to increase production. Moreover, household food security and children’s health, nutrition and education all gain from improved income for women, in comparison to the gains that result from improved income for men. The more women decide on how to spend household income, the more it is usually spent on children’s needs;²⁵ a child’s chance of survival increases by 20 per cent when the mother controls the household budget (see A/HRC/13/32, para. 58).",
"5. Potential for trapping small-scale farmers in cycles of debt",
"22. While the ability of buyers to purchase inputs at wholesale prices might allow them to pass savings on to farmers through lower prices, it may also be that when a farmer has access to inputs only through a buyer, the buyer will charge farmers higher than market prices for those inputs. In the course of consultations, the Special Rapporteur received a communication indicating that in the absence of public services, contract farming can create potentially devastating dependence by small farmers on the technology, credit, inputs and services provided by their contracting companies. This not only points to the danger of the Government relinquishing its duty to support farming communities by providing adequate public goods in the hope that private investors will fill in the gap, it also highlights one of the main negative effects of contract farming for farmers, which is its potential to trap them in cycles of debt. One common occurrence is that farmers must borrow money to invest in agricultural production as required under the contract and then do not earn enough money to cover their debts, for instance, because of falling market prices or poor harvests. This risk is particularly important where the investment on the land is related specifically to one type of production for which the contracting firm is the only buyer, a constraint that may be exploited by the firm as a way to exercise monopolistic power and thus gradually impose lower prices on farmers.⁴ Crops that rely on complex production and processing technologies and substantial specialized inputs that are unfamiliar to most growers and require large capital outlays significantly increase the level of risk confronted by growers, as illustrated by the Smallholder Sugar Authority and Smallholder Tea Authority contract-farming schemes in Malawi.[27] The resulting cycle of debt can trap farmers into contractual arrangements that are neither optimal nor easily abandoned, either because of the debt itself or for other reasons, for example, because the soil was degraded by heavy pesticide use or because farmers have lost their relationships with former transaction partners, are unable to re-establish traditional cultivation methods or products or have become too dependent on the firm for other services.⁴",
"6. Inequitable contracts resulting from asymmetry of power",
"23. The bargaining position of farmers is often weak before they enter into contracts. They typically have less information and negotiating skills than their business partners and a lower degree of legal literacy.³ The way prices are determined, the deductions for the provision of inputs, the conditions under which the contract can be terminated and the way in which the quality grading of the produce is assessed are all areas in which contractual clauses may be heavily biased in favour of the buyer.",
"24. Under such clauses, firms may reject delivered products by stating falsely that they do not conform to quality regulations, thus transferring financial losses to farmers when market prices are low. Firms can manipulate prices when the price mechanism specified by the contract is not transparent, using complex price formulas, quantity measurements or price measurements. They also can manipulate delivery schedules to benefit from market price changes or from changes in a product’s qualities upon which prices are based (for example, delaying the purchase of sugar cane when prices are based on sucrose levels because sucrose levels decline rapidly after harvest).⁴",
"III. Elements that a contract should integrate",
"25. States should pay attention to a number of issues, listed below, to ensure that contract farming arrangements contribute to the realization of the right to food. Agribusiness enterprises also have a role to play. Consistent with their responsibility to respect human rights (see Human Rights Council resolution 17/4), they should seek to incorporate good practices in their dealings with small-scale farmers. The Special Rapporteur highlights seven areas where improvements could be made.",
"A. Long-term economic viability",
"26. The arrangement must be viable for all the parties concerned. If it appears unviable to the buyer, the contract may be terminated or the buyer may renege on obligations when under financial stress, with detrimental consequences for the livelihoods of farmers. If the arrangement is unviable for the farmer, for instance because of an unsustainable debt, the buyer may face supply problems in the short term and incur high reputational costs with other farmers, which may make it more difficult for the buyer to enter into arrangements with other producers in the longer term. Agreements should be structured so that both farmers and firms benefit and so that both sides desire to respect the contract and do not have strong incentives to renege on it.",
"B. Support for small-scale farmers in negotiations",
"27. To satisfy the first condition above and because small-scale farmers are in a comparatively weaker bargaining position, they should have the opportunity to contribute to the wording of contract provisions, ensuring that the contracts reflect the farmers’ needs and that obligations are written in terminology that the farmers will understand. Farmers’ organizations may have a key role to play in supporting the negotiation of contracts and in providing advice, and the bargaining position of farmers is strengthened by their being organized in cooperatives that negotiate on behalf of the members. This also lowers the transaction costs for buyers, and may reduce the risk of farmer defaults by providing group lending and improved communication. Once contracts are drafted, farmers must be provided with a copy of the contract. In the case of illiterate parties, the written contract should be reviewed by farmers’ representatives, a farmers’ organization or a supporting non‑governmental organization. Copies should also be made available to relevant governmental agencies to ensure appropriate oversight and reduce the risk of abusive clauses.",
"C. Gender equality",
"28. Contracts should be put in the woman’s name where it is expected that the woman would be the main person working on the farm, or, in the case of a couple, in the names of both parties. It should not automatically be in the name of the male head of household or the male holder of the title to the land cultivated.",
"D. Pricing",
"29. The pricing mechanisms should be clear and transparent and show how prices incorporate production costs, risks and returns.⁷ While a variety of price models exist (e.g. spot market-based pricing, split pricing, fixed prices and flexible price model), in the view of the Special Rapporteur, the ideal pricing mechanism is one replicating the formula used in fair trade schemes. The producer should be guaranteed a fixed minimum price based on the need to meet production costs and to ensure a living wage for all the workers concerned (including family members, where applicable) (see A/HRC/13/33, paras. 14-17), but the prices paid by the buyer should be higher if market prices increase. This is the price-setting mechanism used, for instance, by MBSA for the acquisition of jatropha produced by smallholders in Mali. The farmers, represented by a union of cooperatives, are guaranteed a minimum price, which may increase relative to the price of diesel at the pump.¹⁹ This eliminates the temptation for the producer to sell goods outside the terms of the contract, and thus the need for the buyer to closely monitor the producer’s operations. It therefore guarantees a stable supply for the buyer, while simultaneously reducing transaction costs linked with the contracting of a large number of small-scale suppliers. Pricing mechanisms should be subject to an independent arbitration mechanism, and farmers should be provided with the market prices of internationally traded commodities to reduce the risks associated with the asymmetry of information between the parties.",
"E. Quality standards",
"30. Standards must be clear and specific so that firms cannot manipulate the application of vague standards. On the other hand, they should not be too complex, which could also allow firms to manipulate standards. Firms should demonstrate the standards visually to farmers. In addition, the firm’s representatives should explain well in advance how crops are graded.",
"F. Environmental sustainability",
"31. Contract farming should increasingly seek to promote agroecological forms of production and provide adequate knowledge as well as biological inputs. Contract farming will increase its sustainability if it is based on sustainable, knowledge-intensive modes of production that rely on on-farm fertility generation and pest management rather than on external inputs. Where the contract provides for highly input-intensive modes of production, specific requirements should ensure that the reliance of the producer on external inputs (in particular, improved varieties of seeds and chemical fertilizers) does not lead to a situation of increased dependency for the contracting farmer: (a) when inputs are provided by the buyer, reasonable prices should be charged, never exceeding commercial prices; (b) farmers should be offered the possibility of seeking insurance to protect them from changes in the price of the inputs they are sold; and (c) other forms of support, particularly technical advice, should be prioritized, ensuring that sustainable practices are tested and promoted, including biological control, composting, polycropping or agroforestry.",
"G. Mediation and dispute settlement",
"32. Contracts should facilitate communication between parties through appropriate management structures and should identify ways of resolving disputes. It should be acknowledged that in the vast majority of cases where one of the parties fails to comply with the requirements of the contract, there is no resort to courts because the sums involved are too small and because, in many developing countries, courts are in practice inaccessible to the rural poor. Buyers, on the other hand, are reluctant to use formal legal procedures, not only because it is impractical to do so, but also because of the risk that the relationships with the farming communities will turn sour.[28] The real sanctioning mechanism is the breakdown of the contractual relationship. The farmer will refuse to continue to supply the buyer if he or she feels that the relationship is imbalanced, and the firm will cease buying from the farmer if it considers that he or she is not complying with the expectations set.[29] Therefore, while the legal system is one of the main accountability mechanisms available, other mechanisms should be established. Among them are negotiation spaces, independent arbitration mechanisms, forums in which farmers can raise concerns and conflict mediation by non-governmental organizations or third parties. Regular meetings should be organized between the parties to ensure a consistent flow of communication so as to identify problems early on. Specific quotas to ensure the equitable representation of women on committees representing contracting farmers could be established.",
"IV. Other business models that could benefit small-scale farmers",
"33. Contract farming rarely encourages farmers to climb up the value chain and move into the packaging, processing or marketing of their produce. The purpose of contract farming is to organize a division of labour between the seller and the buyer in which the seller is confined to the production of raw commodities. In addition, all the strategic decisions — about what to grow and how to grow and about which markets to target — are with the buyer. The producer is merely the executor. Finally, in contract farming, the interests of the two parties differ: while both have an obvious interest in the success of the arrangement, the terms of the contract will be more or less favourable to each, at the expense of the other. Other business models, therefore, should be explored.",
"34. In the view of the Special Rapporteur, farmer-controlled enterprises, joint ventures and community-supported agriculture schemes provide interesting and complementary ways to rethink the political economy of food chains for the benefit of small-scale farmers. Although there are several other business models not studied in this section,[30] the models explored here highlight the need to think more broadly about investment in agriculture and access to markets for small-scale farmers.",
"A. Farmer-controlled enterprises",
"35. Farmers can be encouraged to form their own cooperatives, farmer associations or collectives.[31] While such farmer-controlled enterprises can enter into contract farming schemes (in conditions more favourable to the members), they also can strengthen farmers’ negotiating skills and bargaining positions in their dealings with the suppliers of inputs and commodity buyers; they can facilitate access to markets and to moving towards the processing, packaging and marketing of crops; and they can improve the ability of their members to contribute to the design and implementation of public policies that affect them (see A/HRC/13/33, paras. 30 and 31). For instance, the total income of farmers with group marketing in the Philippines (as supported by the MASIPAG network, which reaches 35,000 farmers practising sustainable agriculture) is about 45 per cent higher than the income of other farmers.[32]",
"36. Collective ownership models can give small-scale farmers more autonomy over their land and production than traditional contract farming arrangements and can also cut out middlemen that might take a large percentage of earnings. Collective farming can also empower women farmers, strengthen their claims to land and protect their right to work.",
"37. Farmer-controlled enterprises come with their own challenges. Large organizations may be unresponsive to the needs of individual farmers, as was the case with some State-controlled cooperatives in the past. Small cohesive groups are generally more successful than larger organizations that might be less responsive to members.³¹ Organizing farmers can require a lot of effort and may not be efficient for farmers with limited time. Particularly where democratic control within the group is weak, such organizations may not always provide economic benefits to its members. The leadership may not be well-trained in managerial and business skills. Accountability towards members must be balanced against the need for continual and effective leadership, for instance by providing that professional managers report to an elected cooperative board without being subject to elections, as in a reported example of a cooperative in Guatemala.⁷ Organizations formed by external agents and supported by development actors may be unsustainable in the long term if their viability depends on the support level they receive. When farmer-controlled enterprises are formed and led by non-governmental organizations, development organizations or the public sector, it may be desirable to set a timeline for the end of external support. The design of such an exit strategy in the business plan when the enterprise is established should ensure that the enterprise is sustainable and will be viable on its own.",
"B. Joint ventures",
"38. Farmers (generally through their organizations) and private investors may establish joint ventures, with each party contributing in cash or in kind. Such business models ensure, in theory, that both sides are equal partners and are co‑owners of the project. Both sides hold equity shares in the joint venture, while retaining their individual legal status and sharing in profits or losses made by the joint venture. Enabling farmers to be shareholders allows them to influence company governance and negotiate price policy, to share in the benefits (whether profit is reinvested or distributed as dividends) and to improve access to credits and other farm-related services.[33]",
"39. For instance, Divine Chocolate Company Ltd. (formerly the Day Chocolate Company) was established in 1998 by Kuapa Kokoo Farmers’ Union (KKFU), representing 68,000 cocoa-producing farmers in Ghana, and TWIN Trading, a membership organization based in the United Kingdom of Great Britain and Northern Ireland comprising 24 farmer cooperatives from eight countries dedicated to developing the fair-trade supply chain for the coffee, nuts, cocoa, sugar and fruit produced by 163,000 farmer families. Christian Aid, Comic Relief and Oikocredit, a microfinance institution, also supported the joint venture by taking shares, as did the Body Shop, which later donated its shares to KKFU. The Department for International Development of the United Kingdom guaranteed a bank credit line from a major commercial bank, which gave Divine Chocolate better access to finance and enabled it to grant a larger quantity of shares of the company to KKFU, resulting in greater decision-making power in the operations. KKFU now owns 45 per cent of the shares of Divine Chocolate as well as 33 per cent of the shares of the United States branch of Divine created in 2007. Divine Chocolate sold more than $71.5 million worth of chocolate in its first nine years of operation. In 2001, dividends were paid for the first time, after offsetting set-up costs. They remain symbolic (a direct payment of $1 per member), but come on top of the fixed prices by KKFU, the fair-trade premium and the benefits of the farmer support and development programme, to which Divine contributed more than $1.22 million in its first 10 years of operation. The arrangement facilitated income-generating activities and supported community projects (including boreholes, schools, sanitary facilities and mills), as well as the training of farmers and participatory decision-making.[34]",
"40. MBSA is another promising joint venture model, focusing on the production of biodiesel from jatropha in collaboration with smallholders in Burkina Faso and Mali, with support from Dutch private institutional investors and the Government of the Netherlands. In Mali, 2,611 farmers were involved in 2009, having planted 1.6 million jatropha trees on 3,250 ha of land. The farmers are organized in 12 cooperatives, joined in a farmers’ union. The union negotiates the price of the jatropha with MBSA and provides support to the farmers. The farmers’ union is represented on the board of the company and owns a 20 per cent share of the company. The farmers, therefore, benefit directly from the sale of their produce and from dividend payments as shareholders.¹⁹",
"41. Joint ventures, however, are not a panacea. A number of studies indicate that this model does not necessarily deliver better livelihoods for small-scale farmers or improve rural development and the realization of the right to food. The firm frequently controls all business decisions, and the joint venture might manipulate accounts to avoid paying out dividends.²¹ Questions arose in South Africa, for instance, after the beneficiaries of the post-1994 land restitution and redistribution programmes were encouraged to establish joint ventures with agribusinesses or to conclude leaseback agreements granting the former landowners use of their lands in conditions sometimes deemed unfair,^(34,)[35] and in Malaysia, after the Government, under the “Konsep Baru” (New Concept) scheme, encouraged production of palm oil on land under native customary rights in Sabah and Sarawak, in the form of a three-way joint venture among a private plantation company (60 per cent of the shares), a local community (30 per cent) and a parastatal agency (10 per cent) in which the local communities in effect relinquished all day-to-day decision-making power within the joint venture.³⁰",
"42. To reduce such risks, farmers’ organizations and host Governments should have representatives on the board of the joint venture company, which should include safeguards for minority shareholders. The local partners could also be represented on the board of the holding company.",
"C. Community-supported agriculture",
"43. Direct-to-consumer food marketing is an even more innovative way of linking small-scale farmers to markets in conditions that allow them to increase their incomes and at the same time to control their production. Although still relatively marginal, local food systems have made spectacular progress in recent years in a range of developed countries. In the United States of America, direct-to-consumer food sales more than doubled in 10 years, moving from $551 million in 1997 to $1.2 billion in 2007, and the number of farmers’ markets rose from 2,756 in 1998 to 5,274 in 2009. In 1986 there were two community-supported organizations, whereas now there are an estimated 1,400 such organizations. The United States Department of Agriculture estimates that in 2007, 136,817 farms were selling directly to consumers.[36] Modern community-supported agriculture emerged in Japan with the teikei system, and now shows a strong growth in several countries, including Canada and France, where the network of “Associations pour le maintien d’une agriculture paysanne” now includes 1,200 community-supported agriculture schemes. Although they are often linked to the increased consumer demand for organic products, such initiatives ensure farmers a guaranteed outlet for their produce and stable revenues.",
"44. Two interesting attempts to link small-scale farmers to local consumers through a redefinition of local food systems are found in Belo Horizonte, Brazil, and Durban, South Africa. Both examples were studied closely by the Special Rapporteur when he conducted official missions to those countries in 2009 and 2011. In 1993, Belo Horizonte adopted a municipal law, setting out a policy framework based on the concept of food sovereignty and established a secretariat for food policy and supply. Under this framework, it sought to create various channels of affordable access to healthy food. Because conventional markets were often found to be too expensive for low-income groups and because the poorest parts of the city, the favelas, were usually not well served with respect to food distribution, the secretariat established mobile food distribution services. It sought to support family agriculture through government food purchases and incentives prioritizing local producers, seeing such support as a key to reducing migration to the cities and encouraging organic production methods. The local food system of the city was rethought by integrating the logistics and supply chains of the entire food system and by tying local producers directly to consumers to reduce prices. In 2008, 34 producers from eight rural municipalities of Belo Horizonte, selected through a public process, were assigned fixed sale points throughout the city, and the price and quality of their produce were regulated to ensure that the food would be affordable and healthy. In the same year, the city operated 49 conventional and 7 organic markets, benefiting 97 small producers from surrounding areas.",
"45. In the City of Durban/eThekwini Municipality, with a population approaching 4 million people, a new Agricultural Management Section within the municipality seeks not only to support community food gardens, but also community mini-farms and emerging commercial farms. The municipality identified 26 farmers’ associations and 800 community gardens and aims to improve market linkages with the urban residents. It is estimated that, provided that there is adequate support, such gardens could generate 60,000 jobs. One key objective for the municipality is to become increasingly self-sufficient in fresh and affordable food through surplus sales to the urban centre. The Agricultural Management Section established six hubs to pursue this strategy — in effect, centres to support local farmers and improve their ability to market their produce, including sites demonstrating agroecology techniques, a research and development centre on agroecology, training sites, a packing and marketing hub and, in the future, a seed bank.",
"V. Conclusions and recommendations",
"46. The Special Rapporteur concludes from his review of alternative business models that they all carry potential risks and benefits for the realization of the right to food and that Governments have a key role to play in protecting individuals against the many risks involved and in ensuring that contract farming and other business models support the right to food of small producers, their local communities and the entire population.",
"47. Governments should support the organization of farmers into cooperatives and other types of producers’ organizations that can improve farmers’ bargaining position and help them to move up the value chain into the produce packaging, processing and marketing operations and help them to acquire inputs and sell their produce under better circumstances. This condition is necessary to ensure fairness in the negotiations between investors and farmers’ organizations. Governments could also provide legal advice to farmers or their organizations to enhance their negotiating position and to ensure that any contract they choose to enter into is economically sustainable for them.",
"48. As part of their national strategies for the realization of the right to food, Governments should create an environment enabling the development of local markets benefiting small-scale farmers and the creation of a range of options for connecting small-scale farmers in rural areas to urban consumers. The more farmers have alternatives for accessing markets, the stronger their position will be in negotiating the terms of agreements with private entities for contract farming or joint ventures.",
"49. Governments have a duty to support the realization of the right to food, to the maximum extent of their available resources, by providing small-scale farmers with appropriate support, including by:",
"(a) Providing stable and reliable infrastructure services such as roads, water, electricity and communications;",
"(b) Supporting traditional and wholesale markets;",
"(c) Establishing schemes allowing small-scale farmers to climb up the value chain, including by identifying at the local or regional level which partnerships could be established between producers, packagers, processors and retailers;",
"(d) Requiring public extension services to provide advice to farmers on how to create joint ventures with firms or how to establish farmer-controlled business entities.",
"50. Governments could also encourage preferential sourcing from small-scale farmers through fiscal incentives or by making access to public procurement schemes conditional on the bidders’ compliance with certain sourcing requirements.",
"51. Governments should ensure that the degree of competition among traders is sufficient to prevent farmers from being locked into unequal relationships with a particular trader in the absence of alternative buyers for a given crop. In particular, Governments should ensure that the expansion of contract farming does not result in the dismantling of public support schemes and the privatization of agricultural extension services, which would narrow the range of options available to small-scale farmers and increase the asymmetry of power between unorganized small-scale farmers and private actors operating on a national, regional or global scale.",
"52. Governments should ensure that regulatory oversight keeps pace with the level of the expansion and the complexity of business models, including small-scale farming. Certain key clauses of contracts should be regulated, including those concerning price fixing, quality grading and the conditions under which inputs are provided, and the reservation of a portion of land for the production of food crops for self-consumption. The contracts, once agreed upon by the parties, could be subjected to vetting by authorities to ensure that any abuse is identified and, where appropriate, remedied; in addition, non-judicial dispute resolution mechanisms should be made available. Particular attention should be paid to the seven critical aspects and good practices for contract farming identified in section III above. In addition, Government agencies should:",
"(a) Monitor labour conditions in contract farming and ensure that the expansion of such farming does not lead to the overexploitation of cheap family labour or to indirect downward pressure on the labour rights of agricultural workers;",
"(b) Link their support for contract farming to compliance with certain environmental conditions, such as reduced use of chemical fertilizers or the planting of trees, or to the adoption of a business plan that provides for a gradual shift to more sustainable types of farming.",
"53. National food security institutions should monitor and assess the contribution of the various business models explored in the present report to the realization of the right to food. These institutions could build on the work of the National Council on Food and Nutrition Security in Brazil or the specific work of the South African Human Rights Commission on food security issues. Governments should also set up forums in which the fairness of food chains could be discussed among producers, processors, retailers and consumers to ensure that farmers are paid fair prices for the food they produce. Such forums could examine:",
"(a) How the farm gate price relates to the retail price and whether the wedge between the two remains within a reasonable margin;",
"(b) How more direct links could be established between producers and consumers.",
"This should be seen as part of a larger enterprise of developing local food systems and thus of creating alternative outlets for small-scale farm production.",
"54. Agribusiness enterprises should incorporate the seven good practices identified in section III in their dealings with small-scale farmers.",
"55. Development partners and international organizations can ensure that contract farming schemes work for the benefit of the poor small-scale food producers and respect the principles of the right to adequate food, including by increasing the capacity of community-based organizations to negotiate equitable agreements with the private sector, by contributing to financing equity participation by local communities in joint ventures or by supporting farmer-controlled enterprises to acquire the assets and managerial skills necessary to climb up the value chain, as initial support is frequently needed to start businesses that will become self-sustaining.",
"[1] The present report refers primarily to crop production, but most of the lessons are transposable to these other sectors of farming, broadly conceived.",
"[2] C. Eaton and A. Shepherd, Contract Farming: Partnerships for Growth (Food and Agriculture Organization of the United Nations (FAO), Rome, 2001).",
"[3] M. Brüntrup and R. Peltzer, “Outgrowers — a key to the development of rural areas in Sub‑Saharan Africa and to poverty reduction”, report of the DEG/DIE Workshop on 18 August 2006 (Bonn, 2007).",
"[4] C. da Silva, “The growing role of contract farming in agri-food systems development: drivers, theory and practice”, Agricultural Management, Marketing and Finance Service Working Documents, No. 9 (FAO, Rome, 2005).",
"[5] R. Rama and J. Wilkinson, “Foreign direct investment and agri-food value chains in developing countries: a review of the main issues”, Commodity Market Review 2007-2008 (FAO, Rome, 2008).",
"[6] According to a study conducted for the European Commission, while most buyers prefer to deal with medium-scale farmers, since contracting with small-scale farmers results in high transaction costs (including monitoring costs), some reasons why small-scale farmers may nevertheless be seen as attractive are their reliance on cheap (unpaid) family labour and their higher degree of dependence since they would typically find it difficult to have access to markets except through the buyer.",
"[7] B. Vorley et al., “Business models that are inclusive of small farmers”, in Agro-Industries for Development, C. da Silva et al., eds. (Rome, CAB International and FAO, 2009).",
"[8] See, e.g., B. Minten et al., “Global retail chains and poor farmers: evidence from Madagascar”, LICOS Discussion Papers, No. 164/06 (showing that small contract farmers from the Highlands of Madagascar producing vegetables for supermarkets in Europe and supported by buyers to comply with complex standards and phytosanitary requirements have higher welfare, shorter lean periods and more income stability than farmers selling to local retailers). It is relevant to note that these findings are strongly related to the buying practices of one company, Lecofruit (Légumineuses Condiments Fruits de Madagascar SA), which is by far the major exporter of high-value vegetables from Madagascar and buys from more than 9,000 contract farmers in the country, each cultivating on average less than 1 ha.",
"[9] S. Setboonsarng, “Global partnership in poverty reduction: contract farming and regional cooperation”, Asian Development Bank Institute Discussion Paper No. 89 (Feb. 2008).",
"[10] P. Birthal, “Making contract farming work in smallholder agriculture”, National Centre for Agricultural Economics and Policy Research, New Delhi.",
"[11] See in particular New Partnership for Africa’s Development, “Contract farming offers fresh hope for Africa’s declining agriculture”, East Africa Policy Brief, No. 2 (Johannesburg, South Africa, 2006).",
"[12] See, for critical views, D. Glover and K. Kusterer, Small Farmers, Big Business: Contract Farming and Rural Development (New York, St. Martin’s Press, 1990); P. Little and M. Watts (eds.), Living Under Contract: Contract Farming and Agrarian Transformation in Sub-Saharan Africa (Madison, University of Wisconsin Press, 1994).",
"[13] International Covenant on Economic, Social and Cultural Rights, arts. 6 and 11; see also A/HRC/13/33, paras. 13-20.",
"[14] L. Ortega and M. Dirven, “Agroindustry and small-scale agriculture: a comparative synthesis of different experiences”, report LC/R.1663 (Economic Commission for Latin America and the Caribbean, Santiago, 1996).",
"[15] See, e.g., FAO, “Pathways to success: success stories in agricultural production and food security” (Rome, 2009).",
"[16] See P. Birthal et al., “Vertical coordination in high-value food commodities: implications for smallholders”, MTID Discussion Paper No. 85 (International Food Policy Research Institute, Markets, Trade and Institutions Division, Washington, D.C., 2005), and I. Delforge, “Contract farming in Thailand: a view from the farm”, Focus on the Global South, Occasional Papers 2 (Bangkok, 2007).",
"[17] N. Key and D. Runsten, “Contract farming, smallholders, and rural development in Latin America: the organization of agroprocessing firms and the scale of outgrower production”, World Development, vol. 27, No. 2 (Feb. 1999); P. Simmons et al., “An analysis of contract farming in East Java, Bali, and Lombok, Indonesia”, Agricultural Economics, vol. 33, s3 (Nov. 2005); J. Coulter et al., “Marrying farmer cooperation and contract farming for service provision in a liberalising sub-Saharan Africa”, Natural Resource Perspectives, No. 48 (Nov. 1999). The evidence on this point is mixed, however. See, for the argument that there is no bias against small-scale farmers, footnote 16.",
"[18] I. Delforge, “Contract farming in Thailand: a view from the farm” (see footnote 16).",
"[19] Center for Human Rights and Global Justice, “Foreign land deals and human rights: case studies on agricultural and biofuel investment” (New York University School of Law, 2010).",
"[20] Indeed, for small-scale farmers who are averse to risk, such a guarantee may be essential to joining a contract farming scheme. See H. Binswanger, “Attitudes toward risk: experimental measurements in rural India”, American Journal of Agricultural Economics, vol. 62, No. 3 (1980) (showing that smallholders may prefer lower but stable incomes to potentially higher gains but associated with higher levels of risk).",
"[21] L. Cotula, “Investment contracts and sustainable development: how to make contracts for fairer and more sustainable natural resource investments”, Natural Resource Issues No. 20, International Institute for Environment and Development (IIED) (London, 2010).",
"[22] S. Singh, “Contract farming in India: impacts on women and child workers”, Gatekeeper Series No. 111, IIED (London, 2003).",
"[23] M. Maertens and J. Swinnen, “Are modern supply chains bearers of gender inequality?”, paper presented at the ILO-FAO workshop on Gender and rural employment: differentiated pathways out of poverty (Rome, 2009).",
"[24] See J. Behrman et al., “The gender implications of large-scale land deals”, IFPRI Discussion Paper No. 01056, International Food Policy Research Institute (Washington, D.C., 2011).",
"[25] See M.-K. Chan, “Improving opportunities for women in smallholder-based supply chains”, for the Bill & Melinda Gates Foundation, 2010.",
"[26] C. Dolan, “Gender and witchcraft in agrarian transition: the Case of Kenyan horticulture”, Development and Change, vol. 33, No. 4 (September 2002).",
"[27] What is specific about this example is that the State, rather than private buyers, contracts farmers under this scheme, supplying the growers with credit, crop inputs and extension services, which the growers must reimburse. The costs of participation for small-scale farmers are disproportionate, since fixed costs, including costs for the payment of extension services, are highest for those who cultivate small plots. See M. Warning and W. Soo Hoo, “The impact of contract farming on income distribution: theory and evidence”, paper prepared for the Western Economics Association International Annual Meeting (2000).",
"[28] J. Kirsten and K. Sartorius, “Linking agribusiness and small-scale farmers in developing countries: is there a new role for contract farming?”, Development Southern Africa, vol. 19, No. 4 (2002).",
"[29] M. Warning and N. Key, “The social performance and distributional consequences of contract farming: an equilibrium analysis of the arachide de bouche program in Senegal”, World Development, vol. 30, No. 2 (2002); H. Guo et al., “Contract farming in China: supply chain or ball and chain?”, paper presented at the 15th Annual International Food and Agribusiness Management Association Forum and Symposium, 2005.",
"[30] See S. Vermeulen and L. Cotula, “Making the most of agricultural investment: a survey of business models that provide opportunities for smallholders”, IIED/FAO/International Fund for Agricultural Development (IFAD)/Swiss Agency for Development and Cooperation (SDC) (London/Rome/Bern, 2010).",
"[31] See J. Coulter et al. in footnote 17.",
"[32] L. Bachmann et al. (eds.), Food Security and Farmer Empowerment, MASIPAG (Los Baños, Philippines, 2009).",
"[33] M. de Koning and B. de Steenhuijsen Piters, “Farmers as shareholders: a close look at recent experience”, Bulletins of the Royal Tropical Institute, No. 390 (2009).",
"[34] L. Cotula and R. Leonard (eds.), “Alternatives to land acquisitions: agricultural investment and collaborative business models”, chap. 2, IIED/SDC/IFAD/Centro Terra Viva (London/Bern/ Rome/Maputo, 2010).",
"[35] Ofreneo, “The leaseback mode of agrarian reform: strengths, weaknesses and options”, Action for Economic Reforms, Poverty Series (September 2000); for a similar situation in the Philippines, C. Flores-Obanil and M. Manahan, “Leaseback arrangements: reversing agrarian reform gains in the Philippines”, Farm Bulletin, vol. 1, No. 2 (2006).",
"[36] S. Martinez et al., “Local food systems: concepts, impacts and issues”, United States Department of Agriculture, Economic Research Report No. ERR-97 (May 2010)."
] | A_66_262 | [
"Sixty-sixth session",
"∗ A/63/250.",
"Item 69 (b) of the provisional agenda",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Right to food",
"Note by the Secretariat",
"The Secretary-General has the honour to transmit to the members of the General Assembly the interim report of the Special Rapporteur on the right to food, Olivier de Cassert, submitted pursuant to General Assembly resolution 20/8.",
"Summary",
"Better market access is key to improving livelihoods for many small farmers in developing countries. More recently, cultivated as the best solution to assist buyers in their trades, small-scale farmers and Governments. The present report lists the issues raised by the expansion of arsenal and notes that, in seven areas, Governments and enterprises can ensure that they are pro-poor and contribute to the full realization of the right to food. Few farming encouraged farmers to access their value chains to packaging their products, processing or marketing. Therefore, the report also explores other broader business models, such as those under the control of farmers, joint ventures or farmers directly target food consumers. It is important to ensure the diversification of smallholder farmers' agricultural marketing networks, to strengthen their position in the food chain, to promote the realization of the right to food in rural communities and to promote overall rural development.",
"Contents",
"The negative changes in the food chain political economy 7 3.",
"Introduction",
"There is a broad consensus on the need for increased support for agriculture to address rural poverty and the lack of adequate food. Over the past few years, in particular since the global food price crisis in 2007-2008, there has been significant re-investment in agriculture. Previously, the Special Rapporteur has documented some of the risks and opportunities arising from developments in that regard. He cited a number of good practices that would ensure that investments contribute to alleviating rural poverty and food insecurity and increase the capacity of small farmers (see A/HRC/13/33 and Add.2, A/65/281). Unless the right to food becomes the basis for current re-investment in agriculture, the situation of the poorest farmers in the most deprived lands may be further exacerbated by this process, thus increasing competition for productive resources, and the polarization of the existing agricultural sector may therefore worsen.",
"A key but often underestimated challenge is how to promote farmers' markets. In many developing countries, excessive emphasis is placed on export-led agriculture, which may not be filled, leading to their reliance on small raw materials for export earnings, which are very vulnerable to price shocks as food importers (see A/HRC/10/5/Add.2). Small farmers, pastoralists and fishermen are produced for local consumption and can be the main beneficiaries of strengthening local and regional markets and will enable them to reach local buyers, especially urban consumers. Therefore, the Special Rapporteur has encouraged initiatives to improve linkages between local producers and consumers through appropriate infrastructure, price information and the organization of value chains. Article 4.5 of the Voluntary Guidelines for Supporting the Progressive Realization of the Right to Adequate Food states that “States should promote, as appropriate, small-scale local and regional markets and border trade, poverty reduction, and increase food security, particularly in rural and urban poverty areas” (see E/CN.4/2005/131, annex).",
"The development of small-scale local and regional markets appears to be the most promising way for many developing countries in rural areas to achieve the right to food. The present report therefore focuses on other commercial models that differ from the dispersion market or large-scale acquisition or lease of land. Other alternative business models, such as generational farming, are generally associated with external investment and global supply chains, but this report stresses that such alternatives may also be adopted by local actors, including public agencies. Under certain conditions, alternative models could help to develop localized food chains, such as linking local agricultural communities to food-giving industries or linking local fresh agricultural retailers who serve urban consumers.",
"The present report is based on recent scientific literature and the missions of the Special Rapporteur. The report also benefited from inputs from a wide range of stakeholders, including international development cooperation agencies, the United Nations funds and agencies, academic institutions, private sector experts and non-governmental organizations.",
"Drying",
"The definition of generational farming is “agreement agreement between farmers and the processing and/or marketing enterprises to produce and supply agricultural products according to long-term agreements, which are often determined in advance”. [2]",
"Post-launching power",
"In recent years, generational farming has become even more important in both developed and developing countries. [3] nurture (4) [4] buyers as a means of strengthening control of the supply chain and responding to greater demand for the standardization of production traceability and food products, as food quality and safety standards are increasingly important and consumer concerns about the environmental and social conditions of production. It is likely that the cost of controlling the farmers of the contract, preventing market marketing outside the contract or making the inputs obtained as a result of the production outside of the contract. However, because of increased reliability, the quality is more consistent and costly than the products purchased in the public market. Drying can reduce the risk of trade numbers and reduce demand changes in order to enhance safety standards and other quality requirements. [5] The contract also enables the vendor to deliver the products at the best time, while it cannot be controlled if it is dependent on a piecemeal market. 4",
"Trades are transferred to farmers through generational farming, and labour costs may be reduced, as cultivated farmers often use unpaid family gangs. In addition, the use of generational farming arrangements by traders would make it easier to operate because they are not subject to fixed assets. As a result, in India, smallholder farming was seen as attractive options for horticulture, poultry and dairy industries. Although transaction costs are relatively high, this model allows the risk to be rated to a large number of suppliers (and therefore, the buyer is not at risk and, if any major source of supply is missing), is flexible supply and easily adaptable to qualitative changes. [6]",
"A considerable number of small farmers have joined these plans. 3 `[7] Over the past 30 years, in part by withdrawing or reducing public extension services, generational farming tends to be the only viable means of improving livelihoods, as such agreements guarantee market access and guarantee high-quality inputs for products (usually provided at lower-produced prices) and technical advice, and facilitate access to certification schemes and meet standards. [8] Redirecting to high-value crops, raising productivity, reducing marketing and transaction costs, may increase revenue. Generations can also assist farmers in accessing credit, [9] are either directly provided by trade Nos. or by the bank's agreement with farmers as mortgages. Depending on the type of arrangement, generational farming also guarantees relative stability in the income of the fields without the effects of market price fluctuations. In addition, trade numbers sometimes pay for farmers and ensure that farmers do not engage in activities outside the contract. [10] The model of direct procurement is usually out of the intermediary and, therefore, farming can also be considered to be beneficial to consumers, traders and farmers. 7",
"The Government usually supports generational farming, and [11] consider that generational farming could increase the income of farmers, attract foreign investment and reduce the Government's financial burden; since the buyer's long-term contractual relationship with the producer often provides services and support traditionally provided by the Government. As a result, trade numbers often benefit from the Government's financial incentives to promote generational farming, such as tax relief or tariff cuts.",
"Clarification of the impact of the right to food",
"The realization of the right to food will depend on specific circumstances, specific contractual arrangements and the extent to which human rights are used. [12] Therefore, host countries, investors and farmers wish to consider some of the main advantages and disadvantages of traditional farming patterns and to establish standards to ensure that generational farming is truly oriented to small farmers. The following criteria are cited in the human rights approach.",
"State obligations: respect, protection and implementation",
"Under international law, States have an obligation to respect, protect and implement the right to adequate food. The obligation to respect requires States not to take any measures that prevent the enjoyment of adequate food. The obligation to protect requires States parties to take measures to ensure that enterprises or individuals may not deprive individuals of access to adequate food (see E/C.12/1999/5, para. States must therefore control long-term arrangements between investors and buyers and farmers and producers to prevent the risk of misuse of arrangements or to ensure effective remedies when abuse occurs. States must also protect the fundamental labour rights recognized by the core instruments of the International Labour Organization (ILO), such as failure to comply with those rights, which could lead to violations of the right to work and the right to an adequate standard of living recognized by international law. [13] The obligation to implement requires the active participation of States in activities to increase access to and use of resources and means to ensure their livelihoods, including food security (see E/C.12/1999/5, para. In the context of maximizing the availability of resources, States must create an enabling environment to reach arrangements for agricultural communities, provided that their rights are effectively guaranteed, although in some cases, the information is not known.",
"States should also support agricultural communities by providing certain goods and services to achieve an adequate standard of living through farming. While private investors will offer some similar goods and services, some commentators believe that generational farming means can ensure more efficient distribution of such goods and services, [14] should not be seen as an essential role of the State in this regard. Article 2.6 of the voluntary guidelines on the right to food states that countries where poverty and hunger occur mainly in rural areas should bear obligations. It is expected that States will provide technical assistance to farmers to promote public agricultural services, ensure that small farmers receive reliable and assured credits at reasonable rates and help to establish basic price support mechanisms for small farmers. [15] Drying should not be a driver of the privatization of extension services, [16] or as a pretext for Governments to play a role and not to provide public goods to farmers, as the State withdraws its support and affects the most marginalized farmers.",
"Commercial models requiring non-discrimination",
"Human rights approaches require attention to the most vulnerable, who are often excluded from progress. The generation farming system often excludes the poorest farmers, their limited land, poor, low resources and living in remote areas. Researchers noted that the transaction costs of providing inputs, credit, extension services and product collection and sub-sectors were not willing to reach farming arrangements with small farmers, so that trade numbers often favoured large-scale farmers. AD(5, 9,) [17] Vulnerable and marginalized groups may not have the opportunity to create such commercial models unless specific considerations are taken into account. In addition, small farmers are generally at a weaker negotiating status. They may be illiterate or lacking skills to effectively defend their rights in contract negotiations. Women tend to be marginalized, particularly in decision-making at the community level, as they are in fact excluded from decision-making processes.",
"Need to ensure coherence and sustainability",
"A solution may not be sustainable in keeping with the interests of the parties in certain contractual arrangements or commercial models. For example, generational farming may push agricultural production to economic crops, although it may increase the income of some producers, may also lead to higher local food prices, as food produced for local consumption may be purchased by poor people in some communities. This may undermine the provisions of “every woman and every child, whether alone or in the community, or when, physical and economic access to adequate food” (see E/C.12/1995/5, para. The specialization of economic crops, often resulting in the loss of biodiversity, the transformation of diversity into single cultivation in farming systems, which may endanger the living of the soil and accelerate water loss. States have an obligation to “protect the sustainability and affordability of ecosystems and ensure the continuous production of additional food for present and future generations, prevent water pollution, protect soil fertility and promote sustainable management of fisheries and forestry”. (see E/CN.4/2005/131, annex, para.",
"C. Devolution of the political economy of the food chain",
"An analysis of crop generation from the right to food highlights six potential issues. Four issues arise from a shift towards generation of farming itself, and two issues come from the specific content of the farming arrangement signed by some farmers.",
"Excessive specialization and unsustainable agricultural practices",
"Digenerational farming is generally linked to the production patterns of production of economic crops, single crops and heavy reliance on fertilizers and pesticides, often adversely affect human health and soil. However, these are not the inevitable consequences of generational farming. As has been noted, contractual arrangements between such buyers and farmers can be used to produce agricultural crops sold on domestic markets and to strengthen linkages between local markets, in particular rural producers and urban consumers. Drying can and should include encouraging the development of more diversified farming systems based on agroecological principles (A/HRC/16/49). Despite often involving the buyer's inputs such as fossil fertilizers, generational farming may also include provisions requiring producers to comply with specific environmental conditions, such as more prudent use of pesticides.",
"The volatility of food prices leads to food insecurity for smallholder farmers",
"Generational farming often leads to the shift of producers from food crops to economic crops. However, when farmers move to the full production of non-food crops covered by contractual arrangements, they abandoned their ability to produce food for their families, thereby losing valuable safety nets. This makes farmers vulnerable to the impact of rising food prices, particularly when businesses do not meet contractual obligations or agricultural income is less than expected in relation to changes in food prices. Farmers sometimes have to suffer from any agricultural income between the contract cycle. [18] In order to mitigate the risks in the transformation of economic crops and the resulting dependence on farmers to purchase food in the market, the land of the contract farmers should be left to farmers or other family members for the cultivation of food crops for household consumption. This is particularly true where farmers benefit from technology and skills transfer, thereby having multiple effects on agricultural activities, including those that sustain subsistence crops. Similarly, farmers can use alternative products and residues, including the sale of sub-products or the use of sub-products to sustain livelihoods in a variety of ways. In Madagascar, smallholder farmers with Lecofruit signed contracts for the production of vegetables used part of their rice crop rice, which increased rice productivity from 3.6 to 6 tons/ hectares as a result of the use of composts and manures and waste recovered from vegetable production. In Mali, small farmers entered into contracts with MaliBiocarburant SA (MBSA) to produce biofuels from lean trees, which could be used as organic fertilizers or for production of so-called sugar. Toolphoon trees were made between 80 per cent of the surface of maize to ensure the priority of the main food crops. [19] This should ensure that farmers who conclude contracts are adequately protected and that the risk of accidental apologies of receipt or a sudden drop in crop prices should be protected. [20] This stabilization income security is essential for an adequate standard of living, even if the price-setting mechanism (unless the price is tied to the cost of production and the cost of living), as proposed below, does not provide equal safeguards.",
"In addition to farmers, the diversion of economic crops makes local communities more vulnerable to price shocks. When a contract crop is available in local markets, it may be helpful to ensure that the population has access to culturally acceptable (physical and economic) adequate food. A feasible way to facilitate the enjoyment of the right to food is to include in the contract a requirement for local sales, which would be sold in local markets. [21]",
"Smallholder farmers convert to waged agricultural workers on their own land",
"In a more general sense, generational farming may result in losing control over production, including what crops are produced and how to produce. As a result, generational farming enables farmers to actually become paid agricultural workers on their own land, but does not enjoy benefits related to paid work, such as minimum wages, sick leave and other statutory benefits. A smallholder of a later contract was considered by the buyer as an intermediary in the labour market. This is particularly evident when planting owners may destroy plantations to establish small-scale farms in order to undermine the trade union's power or to circumvent corporate responsibility. As a result, generational farming raises a number of issues relating to the right to work and the conditions of employment of the family farms. Farmers who conclude contracts often rely on the household labour force to meet the job requirements. Although this can be seen as an increase in employment opportunities, it is often the only way to reduce costs and benefit from contractual arrangements. In this context, child labour may also be a problem in alternative farming arrangements. [22] Article 10 of the International Covenant on Economic, Social and Cultural Rights and article 32 of the Convention on the Rights of the Child stipulate that the State is obliged to protect children and minors from economic and social exploitation and to employ them in work that may be harmful to or affect the child's education or are harmful to the health, mental, moral or social development of the child, and shall be punished by law. States must take effective measures to ensure that child labour provisions are fully respected (see E/C.12/GC/18, para. It should also be noted that, under article 9 of the Convention, States must guarantee the right to social security and that independent producers must also have the right (see E/C.12/GC/19).",
"Farmers entering contracts have specific problems in hiring outside workers. These workers may not be subject to labour laws governing agricultural workers in larger plantations. Article 7 of the Convention recognizes the individual dimension of the right to work and sets out that everyone has the right to just and favourable conditions of work. All workers enjoy fair wages and equal pay for work of equal value; in particular, guarantee that women enjoy working conditions that are not enjoyed by men and enjoy equal pay for work of equal value; guarantee that they themselves and their families are able to live in accordance with the provisions of this Convention; and safe and healthy working conditions. However, working conditions for small-farm workers tend to be relatively poor in large plantations, and the wages of small-farm workers tend to be very low than male labourers. In particular, compliance with the labour law is difficult to monitor due to the fact that small farm workers (as in agriculture workers like large plantations) are less likely to organize trade unions and that the employment of small farm workers is often precarious. In such specific circumstances, generational farming makes small farms more like large-scale plantations, which prompts farmers or more or less frequent external workers. In such cases, labour legislation enforcement faces specific challenges, preferably by ensuring that the buyer controlling the production also controls compliance with domestic labour legislation.",
"Gender effects",
"Women were able to engage in generational farming than men. A study found that in the Kenyan horticulture export industry, women account for less than 10 per cent of contract farmers, and in Senegal only one of the 59 signed farms that export French beans. [23] Women's ability to benefit from farming depends on their land rights and the power relations within the family, or when the contract is negotiated through community representatives or peasant organizations, it depends on the power relations within those organizations. In fact, even though most of the work was actually completed by the wife and other family members, it was often signed by the husband of the head of the household, the situation was the case in the case of the sugar crop in South Africa and vegetable farming in Punjab in India. [24] In addition, a number of studies have shown that women lose control over decision-making when they plant economic crops rather than for local consumption. Despite women's decision to use food produced for self- consumption, they do not determine how to dispose of household income. Therefore, gender equality can be undermined unless the framework of generational farming respects women's rights and is gender-sensitive. [25] For example, studies on cultivated by potatoes in Kenya suggest that, while women bear the bulk of their work, their share of contractual income is limited. Moreover, when they were cashed, they were considered to be sharing family expenses, even if they were to be the responsibility of the husband. [26] Strengthening the status of women is not only the right to equal treatment, but also a means to increase productivity, as women with higher crop income will have greater incentives to increase production. In addition, the increase in women's income in comparison to the gains made by the increase in male incomes has increased benefits for household food security and for child health, nutrition and education. The greater number of women's decisions on how to pay for household income is likely to be usually used in the needs of children; 25. Mother-controlled household budgets and an increase of 20 per cent in child survival opportunities (see A/HRC/13/32, para.",
"Potential for smallholder farmers to fall into the debt cycle trap",
"Although the buyer's ability to purchase inputs at a given price would enable it to transfer surpluses to farmers by lowering prices, it may also be higher than the market price of these inputs when farmers were able to obtain inputs from a buyer. In the course of the consultations, the Special Rapporteur received a communication stating that “in the absence of public services, generational farming may result in technical, credit, inputs and services provided by small-scale farmers relying on contracts, which are potentially destructive”. Not only means that the Government renounces the risk of providing adequate public products to fulfil its responsibilities in support of rural communities, that private investors wish to fill gaps, but also underscores the main negative impact of generational farming on farmers, which is likely to turn farmers into the trap of the debt cycle. Frequently, farmers must borrow money to invest in agricultural production in accordance with contract provisions, but they are not sufficient to earn money because of falling market prices or apologies. This risk is particularly important when investments in land are related only to a production, which is the only buyer of the contract company, since the company can use such constraints to exercise monopoly power, thereby gradually depressing the prices of the farmers. 4 This is the case in the case of complex production and processing technologies that depend on the lack of familiarity of the majority of farmers, as well as highly specialized inputs, and crops requiring significant capital expenditure. [27] The resulting vicious circle of debts has allowed farmers to fall into contractual arrangements that are neither best nor difficult because of their debts themselves or other reasons: for example, soils have been degraded because of the large use of pesticides, or farmers have lost their relationship with previous trading partners to re-establish traditional methods or products or have been too dependent on other services of companies. 4",
"Power does not claim to result in unequal contracts",
"Farmers tend to be vulnerable in pre-existing contracts. Their information, negotiation skills and legal knowledge are usually lower than operational partners. The manner in which prices are determined, the deduction of inputs, the terms of the termination of the contract and the assessment of the quality of the agricultural product are all areas where the terms of the contract may seriously favour the buyer.",
"In accordance with such provisions, the company may claim that the products are not in accordance with quality provisions and reject the products delivered, thereby transferring economic losses to farmers when market prices are low. When price mechanisms under the contract are not transparent, companies can use complex price formulas, quantitative measurements or price measurements to manipulate prices. They can also manipulate delivery schedules that profit from changes in market prices or changes in the quality of products used as the basis of prices (e.g., as sugar cane is rapidly declining after sugar cane harvesting, thus re-purchasing sugar cane upon the price of sugar. 4",
"Elements to be included in the contract",
"States should pay attention to the following issues to ensure that arable farming arrangements contribute to the realization of the right to food. Agricultural enterprises can also play a role. In accordance with their responsibility to respect human rights (see Human Rights Council resolution 17/4), they should strive to adopt good practices in dealing with small farmers. The Special Rapporteur highlighted seven areas to be improved.",
"Long-term economic viability",
"Arrangements must be feasible for all interested parties. If the buyer was not feasible, the buyer would terminate the contract or, under the fiscal pressure, food its obligations and would have harmful consequences for farmers' livelihoods. If arrangements are not feasible for farmers, such as unsustainable debts, the buyer will face supply problems in the short term and, as a result, beds in other farmers, may make it more difficult for the buyer to enter into arrangements with other producers in the long term. The manner in which the agreement was concluded should benefit both farmers and businesses, so that both parties would be willing to perform the contract without strong motivation.",
"Support for small farmers in the negotiations",
"In order to meet the first conditions mentioned above and given the relatively weak negotiating status of small farmers, they should be given the opportunity to participate in the formulation of contractual terms, ensure that contracts reflect the needs of farmers and ensure that the expression of the terms of obligations is understood by farmers. Farmer organizations can play an important role in supporting contract negotiations and providing advice, and farmers' cooperatives represent their members to negotiate and strengthen their negotiating status. This also reduces the buyer's transaction costs and provides collective loans and improved communication to reduce the risk of default by farmers. After contract formulation, a copy of the contract must be provided to farmers. If farmers are illiterate, written contracts should be reviewed by farmers' representatives, farmers' organizations or non-governmental organizations supporting farmers. A copy should also be provided to relevant government bodies to ensure proper oversight and reduce the risk of hegemony provisions.",
"C. Gender equality",
"When the work on farms is expected to be carried out primarily by women, the contract shall write the name of the woman or, when it is assumed by a couple, the name of the couple shall be written. The name of male heads of households or owners of arable land should not be automatically tacit.",
"Prices",
"The pricing mechanism should be clear and transparent and indicate how prices reflect production costs, risks and returns. Despite the existence of multiple price models (e.g. current pricing, market division pricing, fixed prices and flexible price models), the Special Rapporteur believes that the ideal pricing mechanism is a mechanism for a package used in fair trade plans. The producers should receive a fixed minimum price guarantee that the price is based on the need to meet the cost of production and to ensure that all workers, including family members, in the event of application (see A/HRC/13/33, paras. This is, for example, the pricing mechanism used by MBSA in the acquisition of a smallholder farmer in Mali. Farmers are represented by the Association of Cooperatives and are guaranteed at the lowest price level, which can be increased according to the price of diesel at the time of production. This eliminates the temptation of producers to sell products outside the terms of the contract and thus the buyer does not need to closely monitor the operation of producers. It therefore guaranteed the buyer's stability supply, while at the same time reducing transaction costs related to contracts with a large number of small-scale suppliers. The pricing mechanism should be governed by an independent arbitration mechanism and should provide farmers with market prices for international transactions commodities to reduce the risk that information between parties does not raise.",
"E. Quality standards",
"The criteria must be clear and specific so that trade numbers cannot manipulate the application of vague standards. On the other hand, the criteria should not be too complex, but they would also give the opportunity to manoeuvre. Companies should demonstrate standards to farmers. In addition, corporate representatives should make early interpretations before the crop sub-grade.",
"Environmental sustainability",
"Generations should intensify their efforts to promote agroecological production and provide adequate knowledge and biomass inputs. Its sustainability will be enhanced if cultivated on the basis of sustainable knowledge-intensive production methods, depending on farms for the generation of fertilizers and the control of pests rather than external inputs. If the contract provides for a highly input-intensive production model, then its specific requirement should ensure that the reliance of producers on external inputs, in particular the seeds and fertilizers of improved varieties, does not lead to increased reliance on farmers entering the contract: (a) When the buyer provides inputs, the collection of prices should be reasonable and no longer than the commercial price; (b) farmers should be given access to insurance to protect them from the effects of the price changes in the purchase of inputs; and (c) other forms of support, in particular technical advice, should, as a matter of priority, ensure that sustainable practices are tested and promoted, including biological control, fertilization, multiple farming systems or reforestry.",
"Mediation and settlement of disputes",
"The contract shall promote communication among the parties through the appropriate management structure and write the way to resolve disputes. It should be acknowledged that, in the vast majority of cases, a party could not resort to the court because the amount involved was too small and that in many developing countries rural poor people did not have the opportunity to leave the courts. On the other hand, the buyer was unwilling to use formal legal procedures not only because they were not realistic, but also because there was a risk of mixed relations with the agricultural community. [28] The true sanctions regime is a breakdown of the contractual relationship. Farmers believe that the imbalance in this relationship will refuse to continue the buyer's supply, and if the company considers that the farmers' failure to meet the established expectations will stop buying from the farmer. [29] Therefore, while the legal system is one of the main accountability mechanisms, other mechanisms should be put in place, including negotiation of space, independent arbitration mechanisms, forums for farmers' concerns and conflict mediation by non-governmental organizations or third parties. Regular meetings should be organized between the parties to ensure continuous exchange in order to detect problems early. Specific quotas could be established to ensure equitable representation of women in committees representing farmers.",
"Other business models that may benefit small farmers",
"Few farming encouraged farmers to move to the value chain and to access their products in the areas of packaging, processing or marketing. The purpose of generational farming is to organize the division of labour between the seller and the buyer, which is limited to the production of raw materials. In addition, all strategic decision-making — what crops, how to grow and what markets are targeted — are made by the buyer. The producer is only the implementer. Finally, the interests of both sides differ in crop generation: while there is a clear interest in the success of the arrangement, the terms of the contract will or will be more or less favourable to the other side. Other business models should therefore be explored.",
"In the Special Rapporteur's view, the agricultural plans supported by the Farmers Control Unit enterprises, joint ventures and communities provide a cause for renewed reflection and complementary approaches to the political economics of the food chain of small farmers. While a number of other business models are not discussed in this section [30], the model explored at this point emphasizes the need to broaden the approach to investment in agriculture and the market access of small farmers.",
"Business controlled by farmers",
"Farmers can be encouraged to form their own cooperatives, farmers' associations or cooperatives. [31] Business controlled by such farmers can enter crop-generation schemes (by more favourable conditions than members) and enhance the bargaining capacity of farmers in dealing with inputs suppliers and product buyers; promote the marketplace of farmers and shift to crop processing, packaging and market marketing areas; and enhance the capacity of their members to contribute to the design and implementation of public policies affecting them (A/HRC/13/33, paras. 30 and 31). For example, the Philippines has a total income of farmers who have marketing the market (with the support of the MASIPAG network of 35,000 farmers who are implementing sustainable agriculture) than about 45 per cent of the income of other farmers. [32]",
"Collective patterns of farming are more than traditional farming arrangements that enable small farmers to gain greater self-determination for their land and production and to circumvent middlers who may earn a large percentage of income. Collective farming can empower women farmers, strengthen their land titles and protect their rights to work.",
"Farmer-controlled businesses have their own challenges. Large-scale organizations and cooperatives controlled by some countries in the past may slow the demand for farmers. Synergies tend to be more successful than larger organizations, as the larger organization may be slower in its response. There may be considerable efforts to organize farmers and may be inefficient for time-limited farmers. In particular, in cases where democracy control is weak within the organization, the organization does not always have economic benefits for its members. Training received by management in management and business skills may be inadequate. There must be a balance between the accountability of members and the need for sustained and effective leadership, including by providing that professional managers are not required to report to the elected Committee on Cooperatives, such as an example of cooperation reported in Guatemala. If the survival capacity of external institutions and organizations supported by development actors depends on the level of support they have received, such organizations may not be sustainable in the long term. If a farmer-controlled business is established and led by non-governmental organizations, development organizations or the public sector, it may be useful to establish a timetable for ending external support. The development of a such exit strategy in business plans at the time of the establishment of the enterprise should ensure that the enterprise is sustainable and can be independent.",
"Joint ventures",
"Farmers (usually through their organizations) and private investors may establish joint ventures, each of which is funded in cash or in kind. In theory, such business models can ensure that both parties are equal partners and are co-owners of the project. Both parties hold a unit in joint ventures, while maintaining their sole legal status and sharing the profits of joint ventures or jointly assuming the losses of joint ventures. Farmers can become shareholders that affect corporate governance and negotiate on price policies, share benefits (whether profit is re-invested in business or as a unit) and improve access to credit and other agricultural-related services. [33]",
"For example, in 1998, Divine chocolate Ltd (former Day Chocolate Company) was established, including the Kanuapa Kokoo Farmers' Union (KKFU), representing 680,000 farmers producing comparable farmers (KKFU), which is committed to the production of coffee, nut, cocoa, cocoa, sugar, fruit development of fair trade supply chains for 163,000 farmers' families, and the organization of TWIN Trading for 24 farmers from eight countries. A small financing institution, Christian Aid, Comic Relief and Oikocredit, and the United States Small Constraint (the institution Shop) also supported the joint venture through the Partner, which was subsequently donated to KFU. The United Kingdom's International Development Department guarantees a creditworthiness for large United Kingdom commercial banks, enabling Divine Chocolate to better receive funding and enable it to grant KFU a greater number of unit rights to the company to make it more decision-making power in its operation. KFU now holds 45 per cent of the Divine Chocolate and 33 per cent of the United States subsidiaries created in 2007. Divine Chocolate sold the value of over $71.5 million over nine years of operation. In 2001, the unit was paid for the first time after deduction of the establishment costs. The unit was symbolic (direct payment of $1 directly to each member), but it was paid on the basis of fixed prices in KFU, fair trade premiums and the additional payments made by Divine over 10 years of its operation for farmers' support and development programmes with more than $12 million. This arrangement promotes income-generating activities and supports community projects (including wells, schools, sanitation facilities and plants) and training and participatory decision-making by farmers. [34]",
"MBSA is another promising model of joint ventures focusing on the use of bio diesel for the production of anti-phoon trees in collaboration with small farmers in Mali and Burkina Faso, with the support of private institutional investors in the Netherlands and the Government of the Netherlands. In Mali, 2,611 farmers participated in this joint venture in 2009 and 1.6 million trees were planted on 3,250 hectares of land. Farmers were organized in 12 cooperatives and joined farmers' alliances. The Union consulted with MBSA on the price of the Toolkit and provided support to farmers. The Board of Companies has representatives of the Farmers Alliance, which have 20 per cent of corporate equity. Therefore, farmers benefit directly from the sale of their products and as shareholders. 1919",
"However, joint ventures are not panacea. Several studies suggest that this model does not necessarily provide better livelihoods for small farmers or improve rural development and the realization of the right to food. Companies often control all business decisions, and joint ventures may steer accounts to avoid paying dividends. For example, in South Africa, joint ventures with agricultural enterprises have been established by beneficiaries of the post-1994 land restitution and redistribution programme, or when a lease agreement allowing former landowners to use their land is sometimes considered inequitable conditions, a number of issues have emerged; razing (34,) [35] in Malaysia, when the Government encourages the production of oil in the form of a tripartite joint venture based on customary rights in Shaba and Sara, which includes a private planting company (60 per cent), a local community (30 per cent) and an official decision-making body. Contents",
"In order to reduce such risks, farmers' organizations and host Governments should assign representatives to the Board of Trustees of the Joint venture, and joint ventures should join the guarantees of a small number of shareholders. Local partners may also assign representatives to the Board of Trustees of the Unit.",
"C. Community-supported agriculture",
"The marketing of food markets directly to consumers is a more innovative way to enable small farmers to increase their income while controlling their production conditions that link small farmers to markets. Despite the fact that local food systems remain mainstreamed, there has been significant progress in some developed countries in recent years. In the United States of America, the sale of food directly delivered to consumers increased by more than double in the decade, from $551 million in 1997 to $1.2 billion in 2007, and the number of farmers' markets increased from 2,756 in 1998 to 5,274 in 2009. In 1986, two community-supported organizations were estimated to have 1,400 such organizations. The United States Ministry of Agriculture estimated that in 2007, 136,817 farms were directly sold to consumers. [36] Modern community support for the generation of agriculture in a way that isteikei system in Japan and is now showing strong growth in a number of countries, such as Canada and France, which now include 1,200 communities in support of agricultural programmes. Despite the fact that these communities support agricultural programmes often relate to the greater demand for organic products by consumers, such initiatives ensure that farmers' products have a secure way and that farmers have access to stable income.",
"In Brazil, BALL and Durban, South Africa, there were two interesting practices that were trying to link small farmers to local consumers by redefining local food systems. The Special Rapporteur undertook a serious study of both cases when he conducted official visits to both countries in 2009 and 2011. In 1993, the BALT adopted a domestic law establishing a policy framework based on the concept of food sovereignty and establishing a food policy and supply secretariat. In this framework, efforts to create a variety of avenues for access to affordable and healthy foods have been made. Because low-income groups often believe that traditional markets are too costly and because of the poorest parts of the city - - Slums — usually unable to be adequately distributed, and the secretariat has established mobile food distribution services. It strives to support family agriculture through government food procurement and incentives that prioritize local producers, as key to reducing migration to cities and encouraging organic production methods. The city's local food system was restructured through the integration of logistics and supply chains across the food system and the direct linkage between local producers and consumers. In 2008, 34 producers from eight rural municipalities selected by public procedures were allocated fixed marketing points throughout the city and regulating the prices and quality of their products to ensure that food was affordable and healthy. In the same year, the city operated 49 traditional markets and 7 organic markets to benefit 97 small producers in the surrounding areas.",
"In the city of Equatorial Guinea/Itkevini, the Municipal Authority's Agricultural Management Section is committed not only to supporting community food gardens but also to supporting small and emerging commercial farms. The municipalities have identified 26 Farmers Associations and 800 community gardens and work to improve market linkages with urban residents. It is estimated that such gardens can create 60,000 jobs if adequate support is provided for these gardens. A key objective of the municipal authorities is to increase the self-sufficiency of fresh and affordable food through the remaining sale of urban centres. The Agricultural Management Section has established six centres for the implementation of this strategy, in practice at the centre of support for local farmers and their marketing capacities, including the website showing agroecological technologies and research and development centres on agroecology, training sites, a packaging and marketing centre and a seed bank to be established in the future.",
"Conclusions and recommendations",
"Following the review of alternative business models, the Special Rapporteur concluded that these models have potential risks and benefits for the realization of the right to food, and Governments have an important role to play in protecting individuals from risks and ensuring that generational farming and other business models support small producers, their local communities and society as a whole in achieving the right to food.",
"Governments should support the formation of cooperatives and other producer organizations, which could improve the negotiating status of farmers, help them move to the value chain, enter into the areas of product packaging, processing and market operation and obtain inputs and sales of their products under better conditions. There is a need to ensure the fairness of negotiating conditions between investors and farmers' organizations. Governments may also provide legal advice to farmers or farmers' organizations to strengthen their negotiating status and to ensure that any contract they choose to conclude is economically sustainable.",
"As part of the national strategy for the realization of the right to food, Governments should create an environment that would enable the development of local markets to benefit small farmers and create options for linking small farmers in rural areas to urban consumers. Farmers who may choose to enter the market are more likely, and their position is higher when they negotiate contractual agriculture or joint ventures with private entities.",
"Governments have the responsibility to support the realization of the right to food by providing market support for small farmers and to maximize the use of their existing resources. These include:",
"(a) Provide stable and reliable infrastructure services, such as roads, water, electricity and communications;",
"(b) Support traditional and quantized markets;",
"(c) The establishment of plans to allow smallholder farmers to move towards value chains, including through the identification at the local or regional level of partnerships that could be established between producers, packagingrs, processors and retailers;",
"(d) Call for public extension services to provide farmers with advice on how to create joint ventures with companies or how to establish farmer-controlled commercial entities.",
"Governments may also encourage the priority of procurement from small farmers through financial incentives or the conditions for entering public procurement plans in line with specific procurement requirements.",
"Governments should ensure that there is sufficient competition among businessmen to prevent farmers from being subjected to unequal relations with specific businessmen when they do not have a particular crop. In particular, Governments should ensure that the expansion of agriculture in contracts does not lead to the privatization of public support schemes and agricultural extension services, which will narrow the selection of small farmers and increase the authority between small farmers that are not organized and private actors operating at the national, regional and global levels.",
"Governments should ensure that regulatory oversight is given to the expansion and complexity of business models, including small-scale farming. Specific key provisions of the contract should be regulated, including fixed prices, quality ratings and conditions for inputs, and the retention of part of the land for the production of self-contained rations. After agreeing on contracts, contracts may be subject to review by the authorities to ensure that any abuse is identified and remedied where appropriate, and that non-judicial dispute resolution mechanisms should be provided. Particular attention should be paid to the seven important aspects and to good practices for generational farming identified in section III above. In addition, government agencies should:",
"(a) Monitoring labour conditions in agriculture of contracts and ensuring that the expansion of such farming does not result in excessive use of cheap household labour or indirect pressure on the labour rights of agricultural workers;",
"(b) Link their support to contractual agriculture with respect to specific environmental conditions, such as reducing the use of chemical fertilizers or planting trees, or through the provision for progressive shifts to more sustainable types of commercial schemes.",
"National food security institutions should monitor and assess the contribution of various commercial models explored in the present report to the realization of the right to food. These institutions can draw on the work of the National Food and Nutrition Security Council in Brazil or the specific work of the South African Human Rights Commission on food security. Governments should also establish forums that producers, processors, retailers and consumers in forums could discuss the fairness of the food chain to ensure fair prices for farmers to pay their food produced. Such forums could study (a) the relationship between farm delivery and retail prices and whether the gap between the two prices remained reasonable; and (b) how to establish a more direct link between producers and consumers. This should be seen as part of the larger cause of the development of local food systems and thus creates another way for small farmers.",
"Agricultural enterprises should incorporate seven good practices identified in section III in their dealings with small farmers.",
"Development partners and international organizations can ensure that generations of small-scale food producers benefit from poverty and follow the principle of the right to adequate food, including through strengthening the capacity of community-based organizations to negotiate fair agreements with the private sector, promoting the funding of local communities in the Joint ventures Unit or supporting farmers-controlled businesses to obtain the assets and management skills needed to move back to the value chain, which often need to be supported at an early stage when they start up businesses that are self-sustaining.",
"The main reference in this report is to crop production, but most of the experience can also be used in the broader range of other farming sectors.",
"[2] C. Eaton and A. Shepherd, “Adriculture: partnership growth” (FAO, Rome, 2001).",
"[3] M. Brüntrup and R. Peltzer, “The key to rural development in sub-Saharan Africa — the Highlight” Report of the DEG/DIE Seminar, 18 August 2006 (Bonn, 2007).",
"[4] C. da Silva, “Agriculture plays an increasingly important role in the development of agricultural food systems: contributing factors, doctrine and practice”, working paper on agricultural management, marketing and fiscal services (FAO, Rome, 2005). (b)",
"[5] R. Rama and J. Wilkinson, “Financing for FDI and agricultural food value chains in developing countries: major issues review”, Commodities Market Review 2007-2008 (Food and Agriculture Organization of the United Nations, Rome, 2008).",
"[6] In accordance with the study of the Council of Europe, most buyers preferred to deal with small-scale farmers because of the high transaction costs (including monitoring costs). However, small farmers also have the attractiveness of relying on cheap (non-payments) family gangs and their dependency is high because, unless through the buyer, it is usually difficult to access the market.",
"[7] B. Vorley and other authors, “Commercial models containing small farmers”, Agriculture for Development. C.da Silva and other authors (CAB International and Food and Agriculture Organization of the United Nations, 2009).",
"[8] See, for example, B. Minten and others, “Global retail chains and poor farmers: evidence from Madagascar” LICOS Discussion Paper, No. 164/06. (According that the high-old arriculture of Madagascar produces vegetables in the supermarket of Europe, with the buyer's support, in compliance with complex standardized health provisions, well-being, poorer periods of subsistence, poorer incomes, and more profitability and the sale of products to farmers in local retailers. () It may be noted that these cases are closely linked to the procurement practice of a company Lecofruit (Légumineuses Condiments Fruits de Madagascar SA), which has so far been the main exporters of high-value vegetables in Madagascar, buying vegetables from over 9,000 cultivated farmers in the country, with fewer land for each farmer.",
"[9] S. Setboonsarng, Asian Development Bank, “Global Poverty Reduction Partners: Generation and Regional Cooperation”, Institutional Discussion Paper No. 89 (February 2008).",
"[10] P. Birthal, “The role of farming in small-scale agriculture”, National Centre for Agricultural Economy and Policy Studies, New Delhi.",
"[11] See, inter alia, the New Partnership for Africa's Development. “Adult farming brings new hope for Africa's devastation”, East Africa Policy Brief, No. 2. (Johannesburg, South Africa, 2006).",
"[12] With regard to comments, see D. Glover and K. Kusterer, “A smallholder, big business: generational farming and rural development”, (St. Martins Press, 1990; P. Little and M.Watts (eds), under contract life: generational farming and agricultural transformation in sub-Saharan Africa”, (Madron, Writson University Press, 1994).",
"[13] Articles 6 and 11 of the International Covenant on Economic, Social and Cultural Rights. See also A/HRC/13/33, paras.",
"[14] L. Ortega and M. Dirven, “Agriculture industry and small agriculture: comparative experiences” LC/R.1663 (Economic Commission for Latin America and the Caribbean, Chile, 1996).",
"[15] See, for example, FAO, “Towards the success of agricultural production and food security” (Rome, 2009).",
"[16] See P. Birthal and other authors, “Palical coordination of high-value food: impact on small farmers”, MTID discussion paper, No. 85. (International Food Policy Research Institute, Market, Trade and Institutions Division, Washington, D.C., 2005. As well as I. Delforge, “Agriculture in Thailand: rural perception”, focusing on global South-South activities document, No. 2. (Bangkok, 2007).",
"[17] N. Key and D. Runsten, “Lageneration farming, smallholder and rural development in Latin America: scale of production of agricultural processers and excess cultivation”, World Development, vol. 27, No. 2 (February 1999). P. Simmons and other authors, “Assessing East Java, Bali and Lombok”, Agriculture Economy vol. 33, No. 3 (November 2005). J. Coulter and others, “Towards cooperation between farmers and farming, to service services in sub-Saharan Africa” No. 48 (November 1999). This evidence varies. See the perception that smallholder farmers have no prejudice, footnote 16.",
"[18] I. Delforge, “Contract farming in Thailand: a view from the farmer” (see footnote 16).",
"[19] Center for Human Rights and Global Justice, “Foreign land deal and human rights: case studies on agricultural and biofuels invesment” (New York University School of Law, 2010).",
"[20] Indeed, this guarantee is essential for small-scale farmers who are at risk of repelling farming programmes. See H. Binswanger, “Attitudes towards risk: experimental measurements in rural India”, American Journal of Agricultural Economics, vol. 62, No. 3 (1980) (note that small farmers may prefer lower but stable income rather than potential incomes that are more at risk).",
"[21] L. Cotula, “Invest contracts and sustainable development: how contracts are conducive to more equitable and sustainable natural resource investment”, National Resource Issue No.20, International Institute for Environment and Development (IIED) (London, 2010).",
"[22] S. Singh, “Adriculture in India: impact on women workers and child labour”, Gateman Series No. 111, IIED (London, 2003).",
"[23] M. Madertens and J. Swinnen, “Madrid supply chains are gender inequality?” Paper presented at the ILO-FAO workshop on gender and rural employment:differentiated pathways out of poverty (Rome, 2009).",
"[24] See also J. Behrman et al., “The gender impact of large-scale land transactions”, IFPRI Discussion Paper No. 01056, International Food Polic Research Institute (Washington, D.C., 2011).",
"[25] See M.-K.Chan, “Improving the Opportunities for Women in Small Household Supply chains”, for the Bill & Melinda Gates Foundation, 2010.",
"[26] C. Dolan, “Gender and witchcraft in agricultural transformation: horticulture in Kenya”, Development and Change, vol. 33, No.4 (Sep. 2002).",
"[27] This case is particularly true that, under this scheme, the State and not the private buyer enter into contracts with farmers, provide credit, crop inputs and extension services to farmers, the farmers must pay these costs. The participation costs of small-scale farmers are not proportional, since fixed costs, including expenses for extension services, are the highest for those who have cultivated small plots. See M.Warning and W. Soo Hoo, “The impact of contract farming on income distribution: theory and evidence”, paper presented for the Western Economics Association International Annual Conference (2000).",
"[28] J.Kirsten and K. Sartorius, “Financing agro-industries in developing countries to farmers: new roles for crop generation?”, Development Southern Africa, vol. 19, No.4 (2002).",
"[29] M.Warning and N.Key, “The social performance and distributional consequences of contractual farming: an orallibrium analysis of thearachide de bouche programme in Senegal”, World Development, vol. 30, No.2 (2002); H. Guo et al., “Adultry in China: supply chain or chain”, paper presented at the 15th Annual International Food and Agribusiness Management Forum and symposium (2005).",
"[30] See S.Vermeulen and L.Cotula, “to maximize the use of agricultural investment: commercial model survey of opportunities for small farmers”, IIED/FAO/International Fund for Agricultural Development and Cooperation (SCD) (London/Rome/ Bern, 2010).",
"[31] J. Coulter et al., footnote 17.",
"[32] L. Bachmann et al. (eds), Food security and the empowerment of farmers, MASIPAG, Philippines Losbasan, 2009.",
"[33] M. de Koning and B. de Steenhuijsen Piters, “Aboriginals who are party to the Unit: new experience exploration”, Bulletins of the Royal Tropical Institute, No. 390, 2009.",
"[34] L. Cotula and R. Leonard (eds.), “Bern/Rome/Maputo, 2010”.",
"[35] Ofreno, “The LEASEBACK Mode of Agrarian Reform: Strengths, Weak rehabilitation and alternatives,” Action for Economic Reforms, Poverty Series, Sep. 2000; for a similar situation in the Philippines, C. Flores-Obanil & M. Manahan, “Leaseback arrangements: Reversing Agrarian Gains in the Philippines”, vol. I, (2006).",
"[36] S. Martinez et al., “local food systems: concepts, impacts and problems”, United States Department of Agriculture, Economic Research Report No. ERR-97 (May 2010)."
] |
[
"第六十五届会议",
"议程项目118",
"大会工作的振兴",
"大会工作的振兴：大会第六十六届会议文件编制情况",
"秘书长的报告",
"本增编开列了截至2011年8月3日的大会第六十六届会议文件编制情况。议程项目编号系临时议程(A/66/150)的编号。",
"缩写与简称",
"行预咨委会 行政和预算问题咨询委员会",
"审计委 审计委员会",
"经社部 经济和社会事务部",
"外勤部 外勤支助部",
"大会部 大会和会议管理部",
"管理部 管理事务部",
"政治部 政治事务部",
"新闻部 新闻部",
"维和部 维持和平行动部",
"安保部 安全和安保部",
"秘书长办公厅 秘书长办公厅",
"审咨委 独立审计咨询委员会",
"原子能机构 国际原子能机构",
"国际法院 国际法院",
"卢旺达问题国际法庭 卢旺达问题国际法庭",
"前南问题国际法庭 前南斯拉夫问题国际刑事法庭",
"减灾战略 国际减少灾害战略",
"内部司法办公室 内部司法办公室",
"人道协调厅 人道主义事务协调厅",
"裁军厅 裁军事务厅",
"人权高专办 联合国人权事务高级专员办事处",
"最不发达等国家高代办 最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办事处",
"监督厅 内部监督事务厅",
"法律厅 法律事务厅",
"非洲顾问办 非洲问题特别顾问办公室",
"儿童与武装冲突特代办 儿童与武装冲突问题秘书长特别代表办公室",
"区域委纽约办 区域委员会纽约办事处",
"生物多样性公约 联合国生物多样性公约",
"防治荒漠化公约 联合国防治荒漠化公约",
"贸发会议 联合国贸易和发展会议",
"开发署 联合国开发计划署",
"环境署 联合国环境规划署",
"气候公约 联合国气候变化框架公约",
"伙伴基金 联合国国际伙伴关系基金",
"人口基金 联合国人口基金",
"人居署 联合国人类住区规划署",
"难民署 联合国难民事务高级专员办事处",
"儿基会 联合国儿童基金会",
"养恤基金 联合国合办工作人员养恤基金",
"禁毒办 联合国毒品和犯罪问题办事处",
"外空办 联合国外层空间事务办公室",
"近东救济工程处 联合国近东巴勒斯坦难民救济和工程处",
"辐射科委会 联合国原子辐射影响问题科学委员会",
"妇女署 联合国促进性别平等和增强妇女权能署",
"大会第六十六届会议文件编制情况",
"项目/分项\t文号文件标题\t会议日期\t作者\t排定提交日期\t收到日期\t印发日期 \n1.\t大会主席宣布会议开幕 \n\t无预发文件\t2011年9月13日 \n2.\t默祷或默念一分钟 \n\t无预发文件\t2011年9月13日 \n3.\t出席大会第六十六届会议各国代表的全权证书 \n(b)\tA/66/\t2011年12月12日\t法律厅\t2011年12月7日 \n 全权证书委员会的报告 \n4.\t选举大会主席 \n 无预发文件 \n5.\t选举各主要委员会的主席团成员 \n 无预发文件 \n6.\t选举大会副主席 \n 无预发文件 \n7.\t安排工作、通过议程和分配项目：总务委员会的报告 \n\tA/66/50 大会部\t2011年2月15日\t2011年2月11日\t2011年2月14日\n\t大会第六十六届常会临时议程暂定项目表 \n\tA/66/100 大会部\t2011年6月15日\t2011年4月20日\t2011年6月15日\n\t大会第六十六届常会临时议程附加说明的暂定项目表 \n\tA/66/150 大会部\t2011年7月15日\t2011年7月8日\t2011年7月15日\n\t大会第六十六届常会临时议程 \n\tA/66/100/Add.1 大会部\t2011年8月12日 \n\t大会第六十六届常会附加说明的议程草案(增编) \n\tA/66/200 大会部\t2011年8月24日 \n\t提议列入大会第六十六届会议议程的补充项目清单 \n\tA/BUR/66/1 大会部\t2011年9月13日 \n\t秘书长备忘录：大会第六十六届常会安排工作、通过议程和分配项目 \n\tA/66/250 大会部\t2011年9月15日 \n\t总务委员会的第一次报告：第六十六届常会安排工作、通过议程和分配项目 \n\tA/66/251 大会部\t2011年9月19日 \n\t大会第六十六届会议议程 \n\tA/66/252 大会部\t2011年9月19日 \n\t大会第六十六届会议议程项目分配 \n8.\t一般性辩论 \n\t无预发文件\t2011年9月21日 \n9.\t经济及社会理事会的报告 \n\tA/66/3(Suppl.)\t2011年10月19日\t大会部\t2011年8月22日 \n\t经济及社会理事会的报告(补编第3号) \n\tA/66/\t2011年10月19日\t人口基金\t2011年8月10日 \n\t秘书长的说明，转递联合国人口基金执行主任关于2011年联合国人口奖的报告 \n10.\t体育促进和平与发展 \n\t无预发文件\t2011年10月17日 \n11.\t全球道路安全危机 \n\tA/66/\t2011年12月12日\t经社部\t2011年10月3日 \n\t秘书长的说明，转递世界卫生组织关于改善全球道路安全情况的报告 \n12.\t2001-2010：发展中国家特别是非洲减少疟疾十年 \n\tA/66/\t2011年10月11日\t经社部\t2011年7月29日 \n\t秘书长的报告：在发展中国家特别是非洲巩固成果并加紧努力，到2015年控制和消除疟疾 \n13.\t联合国经济、社会及有关领域各次主要会议和首脑会议成果的统筹协调执行及后续行动 \n\tA/66/160\t2011年10月19日\t人道协调厅\t2011年7月22日\t2011年7月19日\t2011年7月28日\n\t人的安全：秘书处的说明 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月4日 \n\t与享有安全饮用水和卫生设施有关的人权义务问题独立专家的年度报告 \n\tA/66/\t2011年10月19日\t人权高专办 \n\t关于提供充分资金，支付人权理事会的决议和决定引起的意外和非常费用的报告，附带供第五委员会审议的备选方案 \n14.\t不同文明对话全球议程 \n\t无预发文件\t2011年10月17日 \n15.\t和平文化 \n\tA/66/\t2011年10月17日\t经社部\t2011年8月8日 \n\t秘书长的说明，转递联合国教育、科学及文化组织总干事关于和平和非暴力文化国际十年的报告 \n\tA/66/280\t2011年10月17日\t经社部\t2011年8月8日 \n\t秘书长关于文化间、宗教间和文明间对话的报告 \n16.\t信息和通信技术促进发展 \n\tA/66/77-E/2011/103\t2011年10月17日\t经社部\t2011年5月9日\t2011年5月4日\t2011年5月23日\n\t秘书长的报告：在与因特网有关的公共政策问题方面加强合作 \n\tA/66/64-E/2011/77\t2011年10月17日\t贸发会议 \n\t秘书长的报告：在区域和国际一级执行和落实信息社会世界首脑会议成果方面取得的进展 \n\tA/66/ -E/2011/\t2011年10月17日\t贸发会议 \n\t工作组关于改进因特网治理论坛的报告 \n17.\t宏观经济政策问题 \n\tA/66/15(PartI)(Suppl.)\t2011年10月3日\t贸发会议 2011年3月30日\t\n\t贸易和发展理事会第五十一届执行会议报告(2010年11月29-30日，日内瓦)(补编第15号)(第一部分) \n\tA/66/15(PartII)(Suppl.)\t2011年10月3日\t贸发会议 \n\t贸易和发展理事会第五十二届执行会议报告(2011年4月11-12、14日，日内瓦)(补编第15号)(第二部分) \n\tA/66/15(PartIII)(Suppl.)\t2011年10月3日\t贸发会议 \n\t贸易和发展理事会第五十三届执行会议报告(非洲/关于各委员会的报告)(2011年6月27日和28日及7月11日，日内瓦)(补编第15号)(第三部分) \n\tA/66/15(PartIV)(Suppl.)\t2011年10月3日\t贸发会议 \n\t贸易和发展理事会第五十八届常会报告(2011年9月12-23日，日内瓦)(补编第15号)(第四部分) \n(a)\t国际贸易与发展 \n\tA/66/138\t2011年10月3日\t经社部\t2011年7月25日\t2011年7月14日\t\n\t秘书长的报告：以单方面经济措施作为对发展中国家施行胁迫的手段 \n\tA/66/185\t2011年10月3日\t贸发会议\t2011年7月25日\t2011年7月25日\t\n\t秘书长关于国际贸易与发展的报告 \n(b)\t国际金融体系与发展 \n\tA/66/167\t2011年10月3日\t经社部\t2011年7月22日\t2011年7月21日\t\n\t秘书长关于国际金融体系与发展的报告 \n(c)\t外债可持续性与发展 \n\tA/66/164\t2011年10月3日\t贸发会议\t2011年7月25日\t2011年7月20日\t\n\t秘书长关于外债可持续性与发展的报告 \n(d)\t商品 \n\tA/66/207\t2011年10月3日\t贸发会议\t2011年7月28日\t2011年7月28日\t\n\t秘书长关于世界商品趋势和前景的说明 \n18.\t2002年发展筹资问题国际会议以及2008年审查会议成果的后续行动和执行情况 \n\tA/66/\t2011年10月3日\t经社部\t2011年8月31日 \n\t秘书长的报告：《蒙特雷共识》和《关于发展筹资问题的多哈宣言》的后续行动和执行情况 \n\tA/66/\t2011年10月3日\t经社部\t2011年8月29日 \n\t大会主席关于创新金融机制促进发展的报告 \n19.\t可持续发展 \n\tA/66/25(Suppl.)\t2011年10月24日\t环境署 \n\t理事会/全球部长级环境论坛第二十六届会议工作报告(2011年2月21-24日)(补编第25号) \n\tA/66/ -E/2011/\t2011年10月24日\t经社部\t2011年4月25日 \n\t经济及社会理事会主席关于理事会与布雷顿森林机构、世界贸易组织和联合国贸易和发展会议举行的高级别特别会议的总结 \n\tA/66/\t2011年10月24日\t环境署\t2011年8月12日 \n\t秘书长的报告：黎巴嫩海岸的浮油 \n\tA/66/\t2011年10月24日\t环境署\t2011年8月15日 \n\t秘书长的报告：保护珊瑚礁，促进可持续生计和发展 \n\tA/66/\t2011年10月24日\t防治荒漠化公约 \n\t秘书长的报告：《联合国关于在发生严重干旱和/或荒漠化的国家特别是在非洲防治荒漠化的公约》的执行情况 \n\tA/66/\t2011年10月24日\t经社部\t2011年8月11日 \n\t秘书长的说明，转递联合国气候变化框架公约秘书处、联合国关于在发生严重干旱和/或荒漠化的国家特别是在非洲防治荒漠化的公约秘书处、以及生物多样性公约秘书处分别提交的关于联合国各项环境公约的执行情况的报告 \n(a)\t《21世纪议程》、《进一步执行〈21世纪议程〉方案》和可持续发展问题世界首脑会议成果的执行情况 \n\tA/66/\t2011年10月24日\t经社部\t2011年8月15日 \n\t秘书长关于农业技术促进发展的报告 \n\tA/66/287\t2011年10月24日\t经社部\t2011年8月9日 \n\t秘书长的报告：《21世纪议程》、《进一步执行〈21世纪议程〉方案》和可持续发展问题世界首脑会议成果的执行情况 \n(b)\t《关于进一步执行小岛屿发展中国家可持续发展行动纲领的毛里求斯战略》的后续行动和执行情况 \n\tA/66/218\t2011年10月24日\t经社部\t2011年8月1日\t2011年8月1日\t\n\t秘书长的报告：审查联合国系统对小岛屿发展中国家的支持 \n\tA/66/\t2011年10月24日\t经社部\t2011年8月8日 \n\t秘书长的报告：加强《巴巴多斯行动纲领》和《毛里求斯战略》执行工作的具体建议 \n(c)\t国际减少灾害战略 \n\tA/66/\t2011年10月24日\t减灾战略\t2011年8月12日 \n\t秘书长的报告：国际减少灾害战略：兵库行动框架中期审查 \n(d)\t为人类今世后代保护全球气候 \n\tA/66/\t2011年10月24日\t气候公约 \n\t秘书长的说明，转递联合国气候变化框架公约关于为人类今世后代保护全球气候的报告 \n(f)\t生物多样性公约 \n\tA/66/\t2011年10月24日\t生物多样性公约/经社部\t2011年8月15日 \n\t秘书长关于2010年国际生物多样性年的报告 \n\tA/66/\t2011年10月24日\t生物多样性公约 \n\t秘书长的说明，转递生物多样性公约缔约方大会第十次会议的报告 \n(h)\t与自然和谐相处 \n\tA/66/\t2011年10月24日\t经社部\t2011年8月15日 \n\t秘书长关于与自然和谐相处的报告 \n(i)\t山区可持续发展 \n\tA/66/\t2011年10月24日\t经社部\t2011年8月15日 \n\t秘书长关于山区可持续发展的报告 \n(j)\t推广新能源和可再生能源 \n\tA/66/\t2011年10月24日\t经社部\t2011年8月15日 \n\t秘书长关于推广新能源和可再生能源的报告 \n20.\t联合国人类住区会议(人居二)成果的执行情况和加强联合国人类住区规划署(人居署) \n\tA/66/8(Suppl.)\t2011年10月24日\t人居署\t2011年5月2日 \n\t联合国人类住区规划署理事会第二十三届会议的报告(4月11-15日，内罗毕)(补编第8号) \n\tA/66/\t2011年10月24日\t人居署\t2011年8月12日 \n\t秘书长的报告：第三次联合国住房与可持续城市发展问题会议(人居三) \n\tA/66/\t2011年10月24日\t人居署\t2011年8月12日 \n\t秘书长的报告：联合国人类住区会议(人居二)成果的执行情况和加强联合国人类住区规划署(人居署) \n\tA/66/\t2011年10月24日\t大会部 \n\t秘书长的说明，转递关于协调执行人居议程的报告 \n21.\t全球化和相互依存 \n\tA/66/187\t2011年10月10日\t经社部\t2011年8月1日\t2011年7月26日\t\n\t秘书长的说明，转递联合国教育、科学及文化组织总干事关于文化与发展的报告 \n(a)\t联合国在全球化和相互依存的背景下促进发展的作用 \n\tA/66/223\t2011年10月10日\t经社部\t2011年8月1日\t2011年8月1日\t\n\t秘书长的报告：全球化和相互依存：以持续、包容和公平的经济增长推动公平和更加公正的普惠全球化，包括创造就业 \n(b)\t与中等收入国家的发展合作 \n\tA/66/208\t2011年10月10日\t贸发会议\t2011年8月1日\t2011年7月28日\t\n\t秘书长关于科学技术促进发展的报告 \n\tA/66/220\t2011年10月10日\t经社部\t2011年8月1日\t2011年8月1日\t\n\t秘书长的报告：与中等收入国家的发展合作 \n22.\t处境特殊的各国家组 \n(a)\t第四次联合国最不发达国家问题会议后续行动 \n\tA/CONF.219/7\t2011年10月10日\t最不发达等国家高代办\t2011年6月20日\t2011年6月16日\t\n\t第四次联合国最不发达国家问题会议的报告(5月9-13日，伊斯坦布尔) \n\tA/66/66-E/2011/78\t2011年10月10日\t最不发达等国家高代办\t2011年2月1日\t2011年2月7日\t2011年3月14日\n\t秘书长的报告：2001-2010十年期布鲁塞尔支援最不发达国家行动纲领执行情况的十年期评估和审查 \n\tA/66/134\t2011年10月10日\t最不发达等国家高代办\t2011年7月15日\t2011年7月13日\t2011年7月29日\n\t秘书长的报告：第四次联合国最不发达国家问题会议成果 \n(b)\t与内陆发展中国家的特殊需要和问题有关的具体行动：内陆和过境发展中国家与捐助国及国际金融和发展机构过境运输合作问题国际部长级会议的成果 \n\tA/66/205\t2011年10月10日\t最不发达等国家高代办\t2011年7月25日\t2011年7月25日\t\n\t秘书长的报告：《阿拉木图行动纲领：在内陆和过境发展中国家过境运输合作全球新框架下满足内陆发展中国家的特别需要》的执行情况 \n23.\t消除贫穷和其他发展问题 \n(a)\t联合国第二个消除贫穷十年(2008-2017)的执行情况 \n\tA/66/221\t2011年10月10日\t经社部\t2011年7月29日\t2011年8月1日\t\n\t秘书长的报告：联合国第二个消除贫穷十年(2008-2017)的执行情况 \n(b)\t妇女参与发展 \n\tA/66/219\t2011年10月10日\t妇女署\t2011年8月1日\t2011年8月1日\t\n\t秘书长关于把性别观点纳入国家发展战略的报告 \n(c)\t人力资源开发 \n\tA/66/206\t2011年10月10日\t经社部\t2011年8月1日\t2011年7月28日\t\n\t秘书长关于人力资源开发的报告 \n24.\t发展方面的业务活动 \n(a)\t联合国系统发展方面的业务活动 \n\tA/66/79-E/2011/107\t2011年10月3日\t经社部\t2011年5月6日\t2011年5月19日\t2011年7月1日\n\t秘书长的报告：2009年联合国系统发展方面业务活动供资情况分析 \n(b)\t南南合作促进发展 \n\tA/66/\t2011年10月3日\t开发署\t2011年8月3日 \n\t秘书长关于南南合作促进发展的报告 \n25.\t农业发展与粮食安全 \n\tA/66/\t2011年10月17日\t经社部\t2011年8月8日 \n\t秘书长的报告：农业发展和粮食安全：世界粮食安全首脑会议成果的执行进展情况 \n26.\t建立全球伙伴关系 \n\tA/66/\t2011年10月31日\t秘书长办公厅\t2011年8月22日 \n\t秘书长的报告：加强联合国与所有有关伙伴，特别是私人部门的合作 \n27.\t社会发展 \n\tA/66/136\t2011年10月3日\t经社部\t2011年7月13日\t2011年7月13日\t\n\t秘书长的报告：合作社在社会发展中的作用和实施国际合作社年 \n\tA/66/62-E/2011/4\t2011年10月3日\t经社部\t2011年11月30日\t2011年11月30日\t2011年11月22日\n\t秘书长的报告：国际家庭年十周年及其后的后续行动 \n(a)\t社会发展问题世界首脑会议和大会第二十四届特别会议成果的执行情况 \n\tA/66/124\t2011年10月3日\t经社部\t2011年7月13日\t2011年7月11日\t2011年7月27日\n\t秘书长的报告：社会发展问题世界首脑会议和大会第二十四届特别会议成果的执行情况 \n\tA/66/226\t2011年10月3日\t经社部\t2011年7月21日\t2011年8月2日\t\n\t秘书长的报告：2011年世界社会状况：全球社会危机 \n(b)\t社会发展，包括与世界社会状况以及与青年、老龄、残疾人和家庭有关的问题 \n\tA/66/129\t2011年10月3日\t经社部\t2011年7月12日\t2011年7月12日\t2011年7月29日\n\t秘书长关于国际青年年：对话和相互了解的报告 \n\tA/66/61-E/2011/3\t2011年10月3日\t经社部\t2011年11月29日\t2011年11月22日\t2011年12月28日\n\t秘书长的报告：实施世界青年行动纲领：联合国系统青年工作的协调与合作 \n\tA/66/128\t2011年10月3日\t经社部\t2011年7月12日\t2011年7月12日\t\n\t秘书长的报告：为残疾人实现千年发展目标和其他国际商定的发展目标 \n(c)\t国际老年人年的后续行动：第二次老龄问题世界大会 \n\tA/66/173\t2011年10月3日\t经社部\t2011年7月22日\t2011年7月22日\t\n\t秘书长的报告：第二次老龄问题世界大会的后续行动 \n28.\t提高妇女地位 \n\tA/66/38(Suppl.)\t2011年10月10日\t人权高专办\t2011年4月1日\t2011年4月6日\t2011年6月15日\n\t消除对妇女歧视委员会第四十六届会议(2010年7月12-30日)、第四十七届会议(2010年10月4-22日) \n\t和第四十八届会议(2011年1月17日-2月4日)的报告(补编第38号) \n\tA/66/181\t2011年10月10日\t妇女署\t2011年7月25日\t2011年7月25日\t\n\t秘书长关于改善农村妇女境况的报告 \n\tA/66/212\t2011年10月10日\t妇女署\t2011年7月29日\t2011年7月29日\t\n\t秘书长关于暴力侵害女移徙工人问题的报告 \n\tA/66/99\t2011年10月10日\t人权高专办\t2011年8月1日\t2011年6月28日\t2011年7月19日\n\t秘书长的报告：《消除对妇女一切形式歧视公约》的现况 \n(a)\t提高妇女地位 \n\tA/66/215\t2011年10月10日\t人权高专办\t2011年8月1日\t2011年8月1日\t\n\t秘书长的说明，转递暴力侵害妇女行为及其因果问题特别报告员的报告 \n(b)\t第四次妇女问题世界会议和大会第二十三届特别会议成果的执行情况 \n\tA/66/211\t2011年10月10日\t妇女署\t2011年7月29日\t2011年7月29日\t\n\t秘书长的报告：执行《北京宣言》和《行动纲要》及大会第二十三届特别会议成果的后续行动中采取的措施和取得的进展 \n29.\t安全理事会的报告 \n\tA/66/2(Suppl.)\t2011年11月8日\t政治部\t2011年9月2日 \n\t安全理事会关于2010年8月1日至2011年7月31日期间的报告(补编第2号) \n30.\t建设和平委员会的报告 \n\t无预发文件\t2011年10月6日 \n31.\t联合国系统支持各国政府努力促进和巩固新的民主政体或恢复民主的政体 \n\tA/66/\t2011年11月18日\t政治部\t2011年9月7日 \n\t秘书长的报告：联合国系统支持各国政府努力促进和巩固新的民主政体或恢复民主的政体 \n32.\t钻石在助长冲突方面所起的作用 \n\tA/66/\t2011年12月9日\t刚果民主共和国 \n\t金伯利进程主席关于该进程实施进度的报告 \n33.\t预防武装冲突 \n\tA/66/\t2011年12月12日\t政治部 \n\t秘书长的报告：加强调解在和平解决争端、预防冲突和解决冲突方面的作用 \n34.\t古阿姆集团地区旷日持久的冲突及其对国际和平、安全与发展的影响 \n\tA/66/\t2011年12月12日\t难民署/维和部 \n\t秘书长的报告：来自格鲁吉亚的阿布哈兹和茨欣瓦利地区/南奥塞梯的境内流离失所者和难民的现状 \n35.\t中东局势 \n\tA/66/ -S/2011/\t2011年11月29日\t政治部\t2011年9月19日 \n\t秘书长的报告：和平解决巴勒斯坦问题方面的努力和各项发展 \n\tA/66/\t2011年11月29日\t政治部\t2011年9月19日 \n\t秘书长关于中东局势的报告 \n36.\t巴勒斯坦问题 \n\tA/66/35(Suppl.)\t2011年11月28日\t政治部\t2011年10月7日 \n\t巴勒斯坦人民行使不可剥夺权利委员会的报告(补编第35号) \n\tA/66/ -S/2011/\t2011年11月28日\t政治部 \n\t秘书长关于和平解决巴勒斯坦问题的努力与事态发展的报告 \n37.\t阿富汗局势 \n\tA/66/ -S/2011/\t2011年11月23日\t维和部\t2011年9月23日 \n\t秘书长的报告：阿富汗局势及其对国际和平与安全的影响 \n38.\t被占领阿塞拜疆领土的局势 \n\t无预发文件\t2011年12月12日 \n\t无预发文件\t2011年12月12日 \n39.\t科摩罗马约特岛问题 \n 无预发文件 \n40.\t必须终止美利坚合众国对古巴的经济、商业和金融封锁 \n\tA/66/114\t2011年10月25日\t政治部\t2011年8月2日 \n\t秘书长的报告：必须终止美利坚合众国对古巴的经济、商业和金融封锁 \n41.\t中美洲局势：形成和平、自由、民主和发展区域的进展 \n\tA/66/ 政治部 \n\t秘书长的报告：消除危地马拉国内有罪不罚现象国际委员会的工作 \n42.\t塞浦路斯问题 \n 无预发文件 \n43.\t对刚果民主共和国的武装侵略 \n 无预发文件 \n44.\t福克兰(马尔维纳斯)群岛问题 \n 无预发文件 \n45.\t海地的民主和人权状况 \n 无预发文件 \n46.\t以色列对伊拉克核设施的武装侵略及其对已确立的关于和平利用核能、不扩散核武器及国际和平与安全的国际制度的严重后果 \n 无预发文件 \n47.\t伊拉克占领和侵略科威特的后果 \n 无预发文件 \n48.\t协助地雷行动 \n\tA/66/\t2011年10月28日\t维和部\t2011年8月10日 \n\t秘书长关于协助地雷行动的报告 \n49.\t原子辐射的影响 \n\tA/66/46(Suppl.)\t2011年10月21日\t辐射科委会 \n\t联合国原子辐射影响问题科学委员会的报告(第五十八届会议，2011年5月23-27日，维也纳)(补编第46号) \n50.\t和平利用外层空间的国际合作 \n\tA/66/20(Suppl.)\t2011年10月11日\t外空办 \n\t和平利用外层空间委员会第五十四届会议的报告(2011年6月1-10日)(补编第20号) \n51.\t联合国近东巴勒斯坦难民救济和工程处 \n\tA/66/13(Suppl.)\t2011年10月31日\t近东救济工程处\t2011年3月31日\t2011年3月31日\t\n\t联合国近东巴勒斯坦难民救济和工程处主任专员的报告(补编第13号) \n\tA/66/\t2011年10月31日\t政治部\t2011年8月22日 \n\t秘书长的说明：转递联合国巴勒斯坦和解委员会的第六十五次报告 \n\tA/66/222\t2011年10月31日\t近东救济工程处\t2011年8月18日\t2011年8月1日\t\n\t秘书长的报告：因1967年6月及其后的敌对行动而流离失所的人 \n\tA/66/\t2011年10月31日\t政治部\t2011年8月22日 \n\t秘书长的报告：巴勒斯坦难民的财产及其收益 \n\tA/66/\t2011年10月31日\t政治部\t2011年9月29日 \n\t联合国近东巴勒斯坦难民救济和工程处经费筹措问题工作组的报告 \n\tA/66/13(Suppl.)\t2011年10月31日\t近东救济工程处\t2011年8月16日 \n\t近东巴勒斯坦难民救济和工程处主任专员的报告(补编第13号)(增编) \n52.\t调查以色列侵害占领区巴勒斯坦人民和其他阿拉伯人人权的行为特别委员会的报告 \n\tA/66/\t2011年11月4日\t人权高专办\t2011年8月26日 \n\t秘书长关于调查以色列侵害占领区巴勒斯坦人民和其他阿拉伯人人权的行为特别委员会工作的报告 \n\tA/66/\t2011年11月4日\t人权高专办\t2011年8月26日 \n\t秘书长的说明，转递调查以色列侵害占领区巴勒斯坦人民和其他阿拉伯人人权的行为特别委员会第四十三次报告 \n\tA/66/\t2011年11月4日\t人权高专办\t2011年8月26日 \n\t秘书长的报告：1949年8月12日《关于战时保护平民之日内瓦公约》适用于包括东耶路撒冷在内被占领巴勒斯坦领土和其他被占领的阿拉伯领土 \n\tA/66/\t2011年11月4日\t人权高专办\t2011年8月26日 \n\t秘书长的报告：以色列在包括东耶路撒冷在内的被占领巴勒斯坦领土和被占领的叙利亚戈兰的定居点 \n\tA/66/\t2011年11月4日\t人权高专办\t2011年8月26日 \n\t秘书长的报告：以色列在包括东耶路撒冷在内的被占领巴勒斯坦领土侵害巴勒斯坦人民人权的行为 \n\tA/66/\t2011年11月4日\t人权高专办\t2011年8月26日 \n\t秘书长关于被占领的叙利亚戈兰的报告 \n53.\t整个维持和平行动问题所有方面的全盘审查 \n\tA/66/19(Suppl.)\t2011年10月24日\t大会部\t2011年5月12日\t2011年5月12日\t2011年6月20日\n\t维持和平行动特别委员会2011年实质性会议(2011年2月22日-5月9日)的报告(补编第19号) \n54.\t有关信息的问题 \n\tA/66/21(Suppl.)\t2011年10月18日\t新闻部\t2011年6月1日\t2011年5月26日\t2011年6月24日\n\t新闻委员会第三十三届会议(2011年4月27日-5月6日)的报告(补编第21号) \n\tA/66/\t2011年10月18日\t新闻部\t2011年8月9日 \n\t秘书长关于新闻问题的报告 \n55.\t按照《联合国宪章》第七十三条(辰)款递送的非自治领土情报 \n\tA/66/\t2011年10月3日\t政治部\t2011年3月14日 \n\t秘书长的报告：按照《联合国宪章》第七十三条(辰)款递送的非自治领土情报 \n57.\t各专门机构和与联合国有联系的国际机构执行《给予殖民地国家和人民独立宣言》的情况 \n\tA/66/23(Suppl.)\t2011年10月3日\t大会部\t2011年7月7日\t2011年6月29日\t\n\t给予殖民地国家和人民独立宣言执行情况特别委员会的2011年报告(2011年6月/7月，纽约)(补编第23号) \n58.\t会员国向非自治领土居民提供学习和训练便利 \n\tA/66/\t2011年10月3日\t政治部\t2011年3月18日 \n\t秘书长的报告：会员国向非自治领土居民提供学习和训练便利 \n59.\t《给予殖民地国家和人民独立宣言》的执行情况 \n\tA/66/\t2011年10月3日\t政治部\t2011年7月25日 \n\t秘书长关于西撒哈拉问题的报告 \n60.\t马达加斯加格洛里厄斯群岛、新胡安岛、欧罗巴岛和印度巴萨斯岛问题 \n 无预发文件 \n61.\t包括东耶路撒冷在内的巴勒斯坦被占领土上的巴勒斯坦人民和被占领叙利亚戈兰的阿拉伯居民对其自然资源的永久主权 \n\tA/66/78-E/2011/13\t2011年10月31日\t区域委纽约办\t2011年5月9日\t2011年5月6日\t2011年5月25日\n\t秘书长的说明：以色列占领对包括东耶路撒冷在内的巴勒斯坦被占领土上的巴勒斯坦人民和被占领叙利亚戈兰的阿拉伯居民的生活条件造成的经济和社会影响 \n62.\t联合国难民事务高级专员的报告：与难民、回返者和流离失所者有关的问题以及人道主义问题 \n\tA/66/12(Suppl.)\t2011年11月2日\t难民署 \n\t联合国难民事务高级专员的报告(补编第12号) \n\tA/66/12/Add.1(Suppl.)\t2011年11月2日\t难民署 \n\t联合国难民事务高级专员方案执行委员会的报告(第六十一届会议，2011年10月，日内瓦)(补编第12A号)(增编1) \n\tA/66/\t2011年11月2日\t难民署\t2011年8月22日 \n\t秘书长关于援助非洲难民、回返者和流离失所者的报告 \n63.\t非洲发展新伙伴关系：执行进展情况和国际支持 \n\tA/66/202\t2011年10月11日\t非洲顾问办\t2011年8月1日\t2011年7月28日\t\n\t秘书长关于非洲发展新伙伴关系的报告：关于执行进展情况和国际支持的第九份综合报告 \n(b)\t非洲境内冲突起因和促进持久和平与可持续发展 \n\tA/66/214-S/2011/476\t2011年10月11日\t非洲顾问办\t2011年8月1日\t2011年8月1日\t\n\t秘书长的报告：秘书长关于非洲境内冲突起因和促进持久和平与可持续发展的报告所载建议的执行情况 \n64.\t人权理事会的报告 \n\tA/66/53(Suppl.)\t2011年11月1日\t人权高专办 \n\t人权理事会报告(补编第53号) \n\tA/66/53/Add.1(Suppl.)\t2011年11月1日\t人权高专办 \n\t人权理事会报告(补编第53A号)(增编) \n\tA/66/\t2011年11月1日\t人权高专办\t2011年8月23日 \n\t秘书长的报告：宣布3月24日为了解严重侵犯人权行为真相权利和维护受害者尊严国际日 \n\tA/66/\t2011年11月1日\t人权高专办\t2011年8月15日 \n\t人权理事会关于其工作和运作情况的报告 \n65.\t促进和保护儿童权利 \n\tA/66/257\t2011年10月12日\t儿基会\t2011年8月3日 \n\t秘书长关于女童问题的报告 \n(a)\t促进和保护儿童权利 \n\tA/66/230\t2011年10月12日\t人权高专办\t2011年8月3日 \n\t秘书长关于《儿童权利公约》现况的报告 \n\tA/66/\t2011年10月12日\t儿童与武装冲突特代办\t2011年8月3日 \n\t儿童与武装冲突问题特别代表的报告 \n\tA/66/227\t2011年10月12日\t人权高专办\t2011年8月3日\t2011年8月2日\t\n\t暴力侵害儿童问题秘书长特别代表的年度报告 \n\tA/66/228\t2011年10月12日\t人权高专办\t2011年8月3日\t2011年8月2日\t\n\t秘书长的说明，转递买卖儿童、儿童卖淫和儿童色情制品问题特别报告员的报告 \n\tA/66/258\t2011年10月12日\t儿基会\t2011年8月3日 \n\t秘书长的报告：落实大会儿童问题特别会议的结果 \n66.\t土著人民权利 \n\t无预发文件\t2011年10月17日 \n67.\t消除种族主义、种族歧视、仇外心理和相关不容忍行为 \n(a)\t消除种族主义、种族歧视、仇外心理和相关不容忍行为 \n\tA/66/18(Suppl.)\t2011年10月31日\t人权高专办 \n\t消除种族歧视委员会（第七十八届会议，2011年2月14日-3月11日和第七十九届会议(2011年8月15日-9月8日，日内瓦)的报告(补编第18号) \n\tA/66/\t2011年10月31日\t人权高专办\t2011年8月22日 \n\t特别报告员的报告：取缔某些助长当代形式的种族主义、种族歧视、仇外心理和有关不容忍行为的做法 \n(b)\t《德班宣言和行动纲领》的全面执行和后续行动 \n\tA/66/\t2011年10月31日\t人权高专办\t2011年8月22日 \n\t秘书长的报告：彻底消除种族主义、种族歧视、仇外心理和有关不容忍行为的全球努力以及《德班宣言和行动纲领》的全面执行和后续行动 \n68.\t人民自决的权利 \n\tA/66/172\t2011年10月31日\t人权高专办\t2011年8月22日\t2011年7月22日\t\n\t秘书长关于人民自决权利的报告 \n\tA/66/\t2011年10月31日\t人权高专办\t2011年8月22日 \n\t秘书长的说明，转递利用雇佣军作为侵犯人权阻止人民行使自决权利的手段问题工作组的报告 \n69.\t促进和保护人权 \n(a)\t人权文书的执行情况 \n\tA/66/44(Suppl.)\t2011年10月18日\t人权高专办 \n 禁止酷刑委员会的报告 \n\tA/66/40(Vol.I)(Suppl.)\t2011年10月18日\t人权高专办 \n\t人权事务委员会报告(第一〇一届会议，2011年3月14日-4月1日，纽约；第一〇二届会议，2011年7月11-29日，日内瓦；第一〇三届会议，2011年10月17日-11月4日)(Vol.I)(补编第40号) \n\tA/66/40(Vol.II)(Suppl.)\t2011年10月18日\t人权高专办 \n\t人权事务委员会报告(第一〇一届会议，2011年3月14日-4月1日，纽约；第一〇二届会议，2011年7月11-29日，日内瓦；第一〇三届会议，2011年10月17日-11月4日)(Vol.II)(补编第40号) \n\tA/66/48(Suppl.)\t2011年10月18日\t人权高专办 \n\t保护所有移徙工人及其家庭成员权利委员会的报告(补编第48号) \n\tA/66/121\t2011年10月18日\t经社部\t2011年7月12日\t2011年7月7日\t2011年7月27日\n\t秘书长的报告：《残疾人权利公约》及其任择议定书的现状 \n\tA/66/\t2011年10月18日\t人权高专办\t2011年8月9日 \n\t秘书长的报告：为进一步提高条约机构制度的效力以及统一和改革该制度所采取的措施 \n\tA/66/175\t2011年10月18日\t人权高专办\t2011年7月27日\t2011年7月25日\t\n\t秘书长的说明，转递第二十三届人权条约机构主席会议的报告 \n\tA/66/217\t2011年10月18日\t人权高专办\t2011年8月9日\t2011年8月1日\t\n\t秘书长关于联合国当代形式奴隶制问题自愿信托基金现状的报告 \n\tA/66/\t2011年10月18日\t人权高专办\t2011年8月8日 \n\t秘书长的报告：《禁止酷刑公约》任择议定书所设特别基金的业务 \n(b)\t人权问题，包括增进人权和基本自由切实享受的各种途径 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月9日 \n\t秘书长关于中部非洲次区域人权与民主中心的报告 \n\tA/66/225\t2011年10月19日\t人权高专办\t2011年8月9日\t2011年8月2日\t\n\t秘书长关于国际人权学习年后续行动的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月8日 \n\t秘书长关于促进和保护人权的国家机构的报告 \n\tA/66/\t2011年10月19日\t政治部\t2011年8月8日 \n\t秘书长的报告：加强联合国在提高定期真正选举原则的效力和促进民主化方面的作用 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月8日 \n\t秘书长的报告：非洲裔国际年活动方案 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月8日 \n\t秘书长的说明，转递酷刑和其他残忍、不人道和有辱人格的待遇或处罚问题特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月8日 \n\t秘书长的报告：联合国援助酷刑受害者自愿基金的业务 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月25日 \n\t秘书长的说明，转递法外处决、即决处决或任意处决问题特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的报告：《保护所有人免遭强迫失踪国际公约》 \n\tA/66/156\t2011年10月19日\t人权高专办\t2011年8月4日\t2011年7月18日\t\n\t秘书长的说明，转递宗教或信仰自由问题特别报告员的临时报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的报告：促进和保护人权，包括促进移徙者人权的方式方法 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月4日 \n\t秘书长的说明：转递促进和保护人权，包括促进移徙者人权的方式方法特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月8日 \n\t秘书长的报告：全球化及其对所有人权的充分享受的影响 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月5日 \n\t秘书长关于人权与单方面胁迫性措施的报告 \n\tA/66/216\t2011年10月19日\t人权高专办\t2011年8月5日\t2011年8月1日\t\n\t秘书长关于发展权的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月5日 \n\t秘书长的说明，转递食物权问题特别报告员的报告 \n\tA/66/204\t2011年10月19日\t人权高专办\t2011年8月5日\t2011年7月28日\t\n\t秘书长的报告：在打击恐怖主义同时保护人权和基本自由 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月19日 \n\t秘书长的说明，转递在打击恐怖主义同时保护人权和基本自由问题特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月4日 \n\t秘书长关于遏制对宗教的诽谤的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t人权理事会关于其工作和运作情况的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，转递土著人人权和基本自由状况特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月8日 \n\t秘书长的说明，转递适足住房问题特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，转递促进和保护言论自由权问题特别报告员的报告 \n\tA/66/203\t2011年10月19日\t人权高专办\t2011年8月10日\t2011年7月28日\t\n\t秘书长的说明，转递人权维护者处境问题特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月5日 \n\t秘书长的说明，转递人权和赤贫问题独立专家的报告 \n\tA/66/269\t2011年10月19日\t人权高专办\t2011年8月5日 \n\t秘书长的说明，转递教育权问题特别报告员的临时报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月5日 \n\t秘书长的说明，转递健康权利问题特别报告员的临时报告 \n\tA/66/289\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，转递法官和律师独立性问题特别报告员的报告 \n\tA/66/283\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，转递贩运人口特别是妇女和儿童问题特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，转递1967年以来巴勒斯坦被占领土人权状况特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的报告，《残疾人权利公约》及其任择议定书的现况和决议执行情况 \n\tA/66/\t2011年10月19日\t人权高专办 \n\t残疾人权利委员会的报告 \n\tA/66/161\t2011年10月19日\t人权高专办\t2011年8月10日\t2011年7月20日\t\n\t秘书长关于人权与文化多样性的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，转递负责保护和协助境内流离失所者问题秘书长代表的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月4日 \n\t外债问题独立专家的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月10日 \n\t秘书长的说明，伊朗伊斯兰共和国人权状况特别报告员的报告 \n(c)\t人权状况及特别报告员和代表的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月2日 \n\t秘书长关于朝鲜民主主义人民共和国境内人权情况的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月2日 \n\t秘书长的说明，转递朝鲜民主主义人民共和国境内人权情况特别报告员的报告 \n\tA/66/\t2011年10月19日\t政治部\t2011年8月4日 \n\t秘书长关于缅甸境内人权情况的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年9月8日 \n\t秘书长的说明，转递缅甸境内人权情况特别报告员的报告 \n\tA/66/\t2011年10月19日\t人权高专办\t2011年8月2日 \n\t秘书长关于伊朗伊斯兰共和国境内人权情况的报告 \n(d)\t《维也纳宣言和行动纲领》的全面执行和后续行动 \n\tA/66/36(Suppl.)\t2011年10月18日\t人权高专办\t2011年8月9日 \n\t联合国人权事务高级专员的报告(补编第36号) \n70.\t加强联合国人道主义和救灾援助，包括特别经济援助的协调 \n\tA/66/\t2011年11月14日\t安保部\t2011年9月1日 \n\t秘书长的报告：关于人道主义人员的安全保障和对联合国人员的保护的最新综合报告 \n(a)\t加强联合国紧急人道主义援助的协调 \n\tA/66/\t2011年11月14日\t人道协调厅\t2011年9月16日 \n\t秘书长的报告：中央应急基金开始业务活动第五年年底的独立审查 \n\tA/66/\t2011年11月14日\t开发署\t2011年9月2日 \n\t秘书长的报告：为哈萨克斯坦塞米巴拉金斯克区域人的康复、生态恢复和经济发展开展国际合作与协调 \n\tA/66/81-E/2011/117\t2011年11月14日\t人道协调厅\t2011年5月16日\t2011年5月16日\t2011年6月13日\n\t秘书长关于加强联合国紧急人道主义援助的协调的报告 \n\tA/66/\t2011年11月14日\t人道协调厅\t2011年9月3日 \n\t秘书长的报告：自然灾害领域人道主义援助从救济向发展过渡的国际合作 \n\tA/66/\t2011年11月14日\t人道协调厅\t2011年9月3日 \n\t秘书长的报告：为选定的国家和区域开展的人道主义援助和复原工作 \n(b)\t援助巴勒斯坦人民 \n\tA/66/80-E/2011/111\t2011年11月14日\t政治部\t2011年5月9日\t2011年5月9日\t2011年5月26日\n\t秘书长关于援助巴勒斯坦人民的报告 \n71.\t对1994年卢旺达境内种族灭绝幸存者，特别是孤儿、寡妇和性暴力行为受害人的援助 \n\tA/66/\t2011年11月14日\t人道协调厅\t2011年9月3日 \n\t秘书长的报告：对1994年卢旺达境内种族灭绝幸存者，特别是孤儿、寡妇和性暴力行为受害人的援助 \n72.\t国际法院的报告 \n\tA/66/4(Suppl.)\t2011年10月27日\t国际法院\t2011年8月8日 \n\t国际法院的报告(补编第4号) \n73.\t起诉应对1994年1月1日至12月31日期间在卢旺达境内的种族灭绝和其他严重违反国际人道主义法行为负责者和应对这一期间邻国境内种族灭绝和其他这类违法行为负责的卢旺达公民的国际刑事法庭的报告 \n\tA/66/209-S/2011/452\t2011年10月10日\t卢旺达问题国际法庭\t2011年7月29日\t2011年7月29日\t\n\t秘书长的说明，转递起诉应对1994年1月1日至12月31日期间在卢旺达境内的种族灭绝和其他严重违反国际人道主义法行为负责者和应对这一期间邻国境内种族灭绝和其他这类违法行为负责的卢旺达公民的国际刑事法庭第十六次年度报告 \n74.\t起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭的报告 \n\tA/66/210-S/2011/473\t2011年10月10日\t前南问题国际法庭\t2011年7月29日\t2011年7月29日\t\n\t秘书长的说明，转递起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭第十八次年度报告 \n75.\t国际刑事法院的报告 \n\tA/66/\t2011年10月27日\t法律厅\t2011年8月16日 \n\t秘书长的说明，转递国际刑事法院关于其2010-2011年活动的报告 \n\tA/66/\t2011年10月27日\t法律厅\t2011年8月31日 \n\t秘书长的报告：联合国向国际刑事法院提供协助所支付的费用和收到的偿还 \n76.\t海洋和海洋法 \n(a)\t海洋和海洋法 \n\tA/66/189\t2011年12月7日\t法律厅\t2011年8月1日\t2011年7月27日\t\n\t2011年7月13日特设全体工作组共同主席给大会主席的信,转递关于就海洋环境包括社会经济方面的状况作出全球报告和评估的经常程序的报告 \n\tA/66/186\t2011年12月7日\t法律厅\t2011年7月25日\t2011年7月25日\t\n\t2011年7月22日联合国海洋和海洋法问题不限成员名额协商进程共同主席给大会主席的信，转递非正式协商进程第十二次会议工作报告 \n\tA/66/119\t2011年12月7日\t法律厅\t2011年6月30日\t2011年6月30日\t2011年7月21日\n\t2011年6月30日不限成员名额非正式特设工作组共同主席给大会主席的信,转递非正式特设工作组关于研究国家管辖范围以外区域海洋生物多样性的养护和可持续利用问题的建议 \n\tA/66/70\t2011年12月7日\t法律厅\t2011年3月21日 \n\t秘书长关于海洋和海洋法的报告 \n\tA/66/70/Add.1\t2011年12月7日\t法律厅\t2011年3月29日 \n\t秘书长关于海洋和海洋法的报告(增编1) \n\tA/66/70/Add.2\t2011年12月7日\t法律厅\t2011年8月30日 \n\t秘书长关于海洋和海洋法的报告(增编2) \n(b)\t通过1995年《执行1982年12月10日<联合国海洋法公约>有关养护和管理跨界鱼类种群和高度洄游鱼类种群的规定的协定》和相关文书等途径实现可持续渔业 \n\tA/66/\t2011年12月7日\t法律厅\t2011年8月15日 \n\t秘书长的报告：各国和区域渔业管理组织和安排根据大会第61/105号决议第80和83至87段、第64/72号决议第113至117段和第119至127段的规定，针对海底捕捞对脆弱海洋生态系统和深海鱼类资源的长期可持续性所产生影响采取的可持续渔业行动 \n77.\t国家继承涉及的自然人国籍问题 \n\tA/66/178\t2011年10月17日\t法律厅\t2011年8月8日\t2011年7月25日\t\n\t秘书长的说明，转递各国政府就国家继承涉及的自然人国籍问题提交的评论 \n78.\t追究联合国官员和特派专家的刑事责任 \n\tA/66/174\t2011年10月7日\t法律厅\t2011年7月29日\t2011年7月25日\t\n\t秘书长的报告：追究联合国官员和特派专家的刑事责任 \n79.\t联合国国际贸易法委员会第四十四届会议工作报告 \n\tA/66/17(Suppl.)\t2011年10月10日\t法律厅 \n\t联合国国际贸易法委员会第四十四届会议工作报告(6月27日-7月15日，维也纳)(补编第17号) \n80.\t联合国国际法的教学、研究、传播和广泛了解协助方案 \n\tA/AC.117/2011/CRP.1\t2011年10月14日\t法律厅\t2011年8月5日 \n\t秘书长的报告草稿：国际法的教学、研究、传播和广泛了解协助方案 \n81.\t国际法委员会第六十三届会议工作报告 \n\tA/66/10(Suppl.)\t2011年10月24日\t法律厅\t2011年8月22日 \n\t国际法委员会第六十三届会议工作报告(2011年4月26日-6月3日和7月4日-8月12日，日内瓦)(补编第10号) \n82.\t联合国宪章和加强联合国作用特别委员会的报告 \n\tA/66/33(Suppl.)\t2011年10月6日\t法律厅\t2011年3月16日\t2011年3月16日\t2011年3月30日\n\t联合国宪章和加强联合国作用特别委员会的报告(2011年2月28日-3月4日以及7日和9日，纽约)(补编第33号) \n\tA/66/201\t2011年10月6日\t法律厅\t2011年7月28日\t2011年7月27日\t\n\t秘书长的报告：《联合国机关惯例汇编》和《安全理事会惯例汇辑》 \n\tA/66/213\t2011年10月6日\t法律厅\t2011年8月9日\t2011年7月29日\t\n\t秘书长的报告：执行《联合国宪章》中有关援助因实施制裁而受影响的第三国的规定 \n83.\t国内和国际的法治 \n\tA/66/133\t2011年10月5日\t秘书长办公厅 2011年7月13日\t2011年7月28日\n\t秘书长关于加强和协调联合国法治活动的报告 \n84.\t普遍管辖权原则的范围和适用 \n\tA/66/93\t2011年10月12日\t法律厅\t2011年8月3日\t2011年6月20日\t\n\t秘书长根据各国政府评论和意见编写的报告：普遍管辖权原则的范围和适用 \n85.\t跨界含水层法 \n\tA/66/116\t2011年10月18日\t法律厅\t2011年7月29日\t2011年6月29日\t2011年7月27日\n\t秘书长关于跨界含水层法的报告 \n86.\t国际原子能机构的报告 \n\tA/66/95\t2011年11月1日\t原子能机构\t2011年8月16日\t2011年6月22日\t2011年6月27日\n\t秘书长的说明，转递国际原子能机构的报告 \n87.\t裁减军事预算 \n\tA/66/117\t2011年10月3日\t裁军厅\t2011年7月11日\t2011年6月29日\t\n\t秘书长的报告：关于军事情况的客观情报，包括军事支出的透明度 \n(b)\t军事情况的客观情报，包括军事支出的透明度 \n\tA/66/89\t2011年10月3日\t裁军厅\t2011年6月17日\t2011年6月14日\t2011年7月11日\n\t秘书长的说明，转递联合国军事支出标准汇报表的运作和进一步发展问题政府间专家组的报告 \n\tA/66/117/Add.1\t2011年10月3日\t裁军厅\t2011年9月15日 \n\t秘书长的报告：关于军事情况的客观情报，包括军事支出的透明度(增编) \n88.\t禁止发展和制造新型大规模毁灭性武器和此种武器新系统：裁军谈判会议的报告 \n\t无预发文件\t2011年10月3日 \n89.\t《宣布印度洋为和平区宣言》的执行情况 \n\tA/66/29(Suppl.)\t2011年10月3日\t大会部\t2011年7月29日\t2011年7月19日\t2011年7月28日\n\t印度洋特设委员会的报告(补编第29号) \n90.\t非洲无核武器区条约 \n\t无预发文件\t2011年10月3日\t裁军厅 \n91.\t核查的一切方面，包括联合国在核查领域的作用 \n\t无预发文件\t2011年10月3日\t裁军厅 \n92.\t审查《加强国际安全宣言》的执行情况 \n\t无预发文件\t2011年10月3日\t裁军厅 \n93.\t从国际安全的角度来看信息和电信领域的发展 \n\tA/66/152\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月15日\t\n\t秘书长的报告：从国际安全的角度来看信息和电信领域的发展 \n\tA/66/152/Add.1\t2011年10月3日\t裁军厅\t2011年9月21日 \n\t秘书长的报告：从国际安全的角度来看信息和电信领域的发展(增编) \n94.\t建立中东无核武器区 \n\tA/66/153(Part I)\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月15日\t\n\t秘书长的报告：建立中东无核武器区(第一部分) \n\tA/66/153(PartI)/Add.1\t2011年10月3日\t裁军厅\t2011年9月19日 \n\t秘书长的合并报告：建立中东无核武器区(第一部分)(增编) \n95.\t缔结关于保证不对无核武器国家使用或威胁使用核武器的有效国际安排 \n\t无预发文件\t2011年10月3日\t裁军厅 \n96.\t防止外层空间的军备竞赛 \n\t无预发文件\t2011年10月3日\t裁军厅 \n97.\t科学和技术在国际安全和裁军领域的作用 \n\t无预发文件\t2011年10月3日\t裁军厅 \n98.\t全面彻底裁军 \n\tA/66/176\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月25日\t\n\t秘书长的报告：关于常规武器领域建立信任措施的信息 \n\t无预发文件\t2011年10月3日\t裁军厅 \n\tA/66/176/Add.1\t2011年10月3日\t裁军厅\t2011年9月21日 \n\t秘书长的报告：关于常规武器领域建立信任措施的信息(增编) \n\tA/66/171\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月22日\t\n\t秘书长的说明，转递禁止化学武器组织的年度报告 \n(e)\t推动拟订一项武器贸易条约：建立常规武器进出口和转让共同国际标准 \n\tA/66/166\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月20日\t\n\t秘书长的报告：武器贸易条约：会员国的意见 \n\tA/66/166/Add.1\t2011年10月3日\t裁军厅\t2011年9月21日 \n\t秘书长的报告：武器贸易条约：会员国的意见(增编) \n(g)\t军备的透明度 \n\tA/66/127\t2011年10月3日\t裁军厅\t2011年7月18日\t2011年7月12日\t\n\t秘书长的报告：联合国传统武器登记册 \n\tA/66/127/Add.1\t2011年10月3日\t裁军厅\t2011年9月21日 \n\t秘书长的报告：联合国传统武器登记册(增编) \n(h)\t区域裁军 \n\t无预发文件\t2011年10月3日\t裁军厅 \n(i)\t区域和次区域两级的常规军备控制 \n\tA/66/154\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月15日\t\n\t秘书长的报告：区域和次区域两级的常规军备控制 \n\tA/66/154/Add.1\t2011年10月3日\t裁军厅\t2011年9月19日 \n\t秘书长的报告：区域和次区域两级的常规军备控制(增编) \n(j)\t区域和次区域建立信任措施 \n\tA/66/112\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年6月28日\t2011年7月21日\n\t秘书长的报告：区域和次区域建立信任措施 \n\tA/66/112/Add.1\t2011年10月3日\t裁军厅\t2011年9月15日 \n\t秘书长的报告：区域和次区域建立信任措施(增编) \n(k)\t协助各国制止小武器和轻武器非法贩运并加以收集 \n\tA/66/177\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月25日\t\n\t秘书长的报告：协助各国制止小武器和轻武器非法贩运并加以收集；小武器和轻武器非法贸易的各方面问题 \n(l)\t裁军与发展之间的关系 \n\tA/66/168\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月21日\t\n\t秘书长的报告：裁军与发展之间关系 \n\tA/66/168/Add.1\t2011年10月3日\t裁军厅\t2011年9月15日 \n\t秘书长的报告：裁军与发展之间关系(增编) \n(m)\t拟订和执行裁军和军备控制协定时遵守环境规范 \n\tA/66/97\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年6月27日\t2011年7月22日\n\t秘书长的报告：拟订和执行裁军和军备控制协定时遵守环境规范 \n\tA/66/97/Add.1\t2011年10月3日\t裁军厅\t2011年9月19日 \n\t秘书长的报告：拟订和执行裁军和军备控制协定时遵守环境规范(增编) \n(n)\t促进裁军和不扩散领域的多边主义 \n\tA/66/111\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年6月28日\t2011年7月21日\n\t秘书长的报告：促进裁军和不扩散领域的多边主义 \n\tA/66/111/Add.1\t2011年10月3日\t裁军厅\t2011年9月19日 \n\t秘书长的报告：促进裁军和不扩散领域的多边主义(增编) \n(o)\t核裁军 \n\tA/66/132\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月13日\t\n\t秘书长的报告：核裁军；减少核危险；国际法院关于“威胁使用或使用核武器的合法性”的咨询意见的后续行动 \n\tA/66/132/Add.1\t2011年10月3日\t裁军厅\t2011年9月19日 \n\t秘书长的报告：核裁军；减少核危险；国际法院关于“威胁使用或使用核武器的合法性”的咨询意见的后续行动(增编) \n(p)\t《关于禁止发展、生产、储存和使用化学武器及销毁此种武器的公约》的执行情况 \n\t无预发文件\t2011年10月3日\t裁军厅 \n(q)\t建立一个无核武器世界：加速履行核裁军承诺 \n\t无预发文件\t2011年10月3日\t裁军厅 \n(s)\t防止恐怖分子获取大规模毁灭性武器的措施 \n\tA/66/115\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年6月29日\t2011年7月26日\n\t秘书长的报告：防止恐怖分子获取大规模毁灭性武器的措施 \n\tA/66/115/Add.1\t2011年10月3日\t裁军厅\t2011年9月19日 \n\t秘书长的报告：防止恐怖分子获取大规模毁灭性武器的措施(增编) \n(t)\t小武器和轻武器非法贸易的各方面问题 \n\tA/66/177\t2011年10月3日\t裁军厅\t2011年7月25日 \n\t秘书长的报告：协助各国制止小武器和轻武器非法贩运并加以收集；小武器和轻武器非法贸易的各方面问题(又见项目98(k)) \n(u)\t禁止生产核武器或其他核爆炸装置所用裂变材料条约 \n\t无预发文件\t2011年10月3日\t裁军厅 \n(v)\t外层空间活动中的透明度和建立信任措施 \n\t无预发文件\t2011年10月3日 \n(w)\t采取联合行动彻底消除核武器 \n\t无预发文件\t2011年10月3日\t裁军厅 \n(y)\t导弹 \n\t无预发文件\t2011年10月3日\t裁军厅 \n99.\t审查和执行大会第十二届特别会议的《结论文件》 \n(a)\t联合国和平与裁军非洲区域中心 \n\tA/66/159\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月19日\t\n\t秘书长的报告：联合国和平与裁军非洲区域中心 \n(b)\t联合国和平与裁军区域中心 \n\t无预发文件\t2011年10月3日\t裁军厅 \n(c)\t联合国和平、裁军与发展拉丁美洲和加勒比区域中心 \n\tA/66/140\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月14日\t\n\t秘书长的报告：联合国和平、裁军与发展拉丁美洲和加勒比区域中心 \n(e)\t联合国和平与裁军亚洲及太平洋区域中心 \n\tA/66/113\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年6月28日\t2011年7月13日\n\t秘书长的报告：联合国和平、裁军与发展亚洲及太平洋区域中心 \n(f)\t区域建立信任措施：联合国中部非洲安全问题常设咨询委员会的活动 \n\tA/66/163\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月20日\t\n\t秘书长的报告：区域建立信任措施：联合国中部非洲安全问题常设咨询委员会的活动 \n100.\t审查大会第十届特别会议通过的建议和决定的执行情况 \n\tA/66/123\t2011年10月3日\t裁军厅\t2011年7月29日\t2011年7月11日\t2011年7月25日\n\t秘书长的说明，转递联合国裁军研究所的报告 \n\tA/66/125\t2011年10月3日\t裁军厅\t2011年7月29日\t2011年7月11日\t2011年7月19日\n\t秘书长的报告：裁军事务咨询委员会的工作 \n(a)\t裁军谈判会议的报告 \n\tA/66/27(Suppl.)\t2011年10月3日\t裁军厅 \n\t裁军谈判会议的报告(2011年8月-9月，日内瓦)（补编第27号） \n(b)\t裁军审议委员会的报告 \n\tA/66/42(Suppl.)\t2011年10月3日\t大会部\t2011年4月29日\t2011年4月21日\t2011年5月4日\n\t裁军谈判会议的报告(2011年4月4-21日)(补编第42号) \n101.\t中东的核扩散危险 \n\tA/66/\t2011年10月3日\t裁军厅\t2011年10月11日 \n\t秘书长的报告：中东的核扩散危险 \n102.\t禁止或限制使用某些可被认为具有过分伤害力或滥杀滥伤作用的常规武器公约 \n\t无预发文件\t2011年10月3日\t裁军厅 \n103.\t加强地中海区域的安全和合作 \n\tA/66/122\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月8日\t2011年7月27日\n\t秘书长的报告：加强地中海区域的安全和合作 \n\tA/66/122/Add.1\t2011年10月3日\t裁军厅\t2011年9月15日 \n\t秘书长的报告：加强地中海区域的安全和合作(增编) \n104.\t全面禁止核试验条约 \n\tA/66/155\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月15日\t\n\t秘书长的报告：全面禁止核试验条约 \n\tA/66/155/Add.1\t2011年10月3日\t裁军厅\t2011年9月21日 \n\t秘书长的报告：全面禁止核试验条约(增编) \n\tA/66/165\t2011年10月3日\t裁军厅\t2011年7月25日\t2011年7月20日\t\n\t秘书长的说明，转递全面禁止核试验条约组织筹备委员会的报告 \n105.\t关于禁止发展、生产和储存细菌(生物)及毒素武器和销毁此种武器的公约 \n\t无预发文件\t2011年10月3日\t裁军厅 \n106.\t振兴裁军谈判会议工作和推进多边裁军谈判 \n\t无预发文件\t2011年10月3日\t裁军厅 \n107.\t预防犯罪和刑事司法 \n\tA/66/\t2011年10月5日\t禁毒办 \n\t秘书长的报告：第十二届联合国预防犯罪和刑事司法大会的后续行动和第十三届联合国预防犯罪和刑事司法大会的筹备情况 \n\tA/66/\t2011年10月5日\t禁毒办 \n\t联合国非洲预防犯罪和罪犯待遇研究所的报告 \n\tA/66/\t2011年10月5日\t禁毒办 \n\t秘书长的报告：加强联合国预防犯罪和刑事司法方案，特别是其技术合作能力 \n\tA/66/92\t2011年10月5日\t禁毒办 \n\t秘书长的说明，转递联合国打击跨国有组织犯罪公约缔约方会议的报告 \n108.\t国际药物管制 \n\tA/66/\t2011年10月5日\t禁毒办 \n\t秘书长的报告：国际合作对付世界毒品问题 \n109.\t消除国际恐怖主义的措施 \n\tA/66/37(Suppl.)\t2011年10月3日\t法律厅\t2011年4月22日\t2011年4月25日\t2011年5月17日\n\t1996年12月17日第51/210号决议特设委员会的报告(2011年4月11-15日，纽约)(补编第37号) \n\tA/66/96\t2011年10月3日\t法律厅\t2011年7月29日\t2011年6月24日\t2011年7月26日\n\t秘书长的报告：消除国际恐怖主义的措施 \n110.\t秘书长关于联合国工作的报告 \n\tA/66/1(Suppl.)\t2011年10月4日\t秘书长办公厅\t2011年7月25日\t2011年7月25日\t\n\t秘书长关于联合国工作的报告(补编第1号) \n111.\t秘书长关于建设和平基金的报告 \n\t无预发文件\t2011年10月6日 \n112.\t秘书长按照《联合国宪章》第十二条第二项提出通知 \n\tA/66/300\t2011年11月8日\t政治部\t2011年8月30日 \n\t秘书长的报告：秘书长按照《联合国宪章》第十二条第二项提出通知 \n113.\t选举各主要机构成员以补空缺 \n(c)\t选举国际法院五名法官 \n\tA/66/182-S/2011/452\t2011年11月10日\t法律厅\t2011年7月25日\t2011年7月25日\t\n\t秘书长的备忘录：选举国际法院五名法官 \n\tA/66/183-S/2011/453\t2011年11月10日\t法律厅\t2011年7月25日\t2011年7月25日\t\n\t秘书长的说明，转递各国家团体提名的候选人名单 \n\tA/66/184-S/2011/454\t2011年11月10日\t法律厅\t2011年7月25日\t2011年7月25日\t\n\t秘书长的说明，转递各国家团体提名的候选人的简历 \n114.\t选举各附属机构成员以补空缺，并进行其他选举 \n(b)\t选举国际法委员会成员 \n\tA/66/88\t2011年11月16日\t法律厅\t2011年6月13日\t2011年6月7日\t2011年6月10日\n\t秘书长关于选举国际法委员会成员的说明，转递各国政府提名的候选人名单 \n\tA/66/88/Add.1\t2011年11月16日\t法律厅 2011年6月17日\t2011年6月17日\n\t秘书长关于选举国际法委员会成员的说明，转递各国政府提名的候选人名单(增编1) \n\tA/66/88/Add.2\t2011年11月16日\t法律厅 \n\t秘书长关于选举国际法委员会成员的说明，转递各国政府提名的候选人名单(增编2) \n\tA/66/88/Add.3\t2011年11月16日\t法律厅 \n\t秘书长关于选举国际法委员会成员的说明，转递各国政府提名的候选人名单(增编3) \n\tA/66/90\t2011年11月16日\t法律厅\t2011年6月30日\t2011年6月17日\t\n\t秘书长关于选举国际法委员会成员的说明，转递各国政府提名的候选人的简历 \n\tA/66/\t2011年11月16日\t法律厅\t2011年10月31日 \n\t秘书长关于选举国际法委员会成员的说明，转递合并成员名单 \n\tA/66/90/Add.1\t2011年11月16日\t法律厅\t2011年7月29日\t2011年6月28日\t\n\t秘书长关于选举国际法委员会成员的说明，转递各国政府提名的候选人的简历(增编) \n115.\t任命各附属机构成员以补空缺，并作出其他任命 \n(a)\t任命行政和预算问题咨询委员会成员 \n\tA/66/101\t2011年11月3日\t管理部\t2011年3月15日\t2011年3月15日\t2011年3月17日\n\t秘书长的说明：任命行政和预算问题咨询委员会成员 \n(b)\t任命会费委员会成员 \n\tA/66/102\t2011年11月3日\t管理部\t2011年3月15日\t2011年3月15日\t2011年3月18日\n\t秘书长的说明：任命会费委员会成员 \n(c)\t认可投资委员会成员的任命 \n\tA/66/103\t2011年11月3日\t管理部\t2011年3月15日\t2011年3月15日\t2011年3月18日\n\t秘书长的说明：认可投资委员会成员的任命 \n(d)\t任命审计委员会成员 \n\tA/66/104\t2011年11月3日\t管理部\t2011年3月15日\t2011年3月15日\t2011年3月17日\n\t秘书长的说明：任命审计委员会成员 \n(e)\t任命独立审计咨询委员会成员 \n\tA/66/105\t2011年11月3日\t管理部\t2011年3月15日\t2011年3月15日\t2011年3月18日\n\t秘书长的说明：任命独立审计咨询委员会成员 \n(f)\t任命会议委员会成员 \n\tA/66/107\t2011年12月1日\t大会部\t2011年6月6日\t2011年6月6日\t2011年6月10日\n\t秘书长的说明：任命会议委员会成员 \n(g)\t任命联合检查组成员 \n\tA/66/106\t2011年12月1日\t管理部\t2011年6月17日\t2011年6月16日\t2011年6月22日\n\t秘书长的说明：任命联合检查组成员 \n(h)\t核准联合国人权事务高级专员的任命 \n\tA/66/108\t2011年12月13日\t秘书长办公厅\t2011年8月19日 \n\t秘书长的说明：核准联合国人权事务高级专员的任命 \n(i)\t任命联合国争议法庭法官 \n\tA/66/109\t2011年12月13日\t内部司法办公室 \n\t秘书长的说明：任命联合国争议法庭法官 \n(j)\t任命联合国上诉法庭法官 \n\tA/66/110\t2011年12月13日\t内部司法办公室 \n\t秘书长的说明：任命联合国上诉法庭法官 \n116.\t接纳新会员加入联合国 \n 无预发文件 \n117.\t千年首脑会议成果的后续行动 \n\tA/66/\t2011年9月19日\t人权高专办 \n\t秘书长的说明，转递受教育权利问题特别报告员的报告：紧急局势中的受教育权利 \n\tA/66/126\t2011年9月19日\t经社部\t2011年7月11日\t2011年7月11日\t2011年8月2日\n\t秘书长的年度报告：加快实现千年发展目标：持续和包容性增长的可选办法以及在2015年后推进联合国发展议程的问题 \n\tA/66/\t2011年9月19日\t妇女署 \n\t秘书长的综合报告：关于新的性别平等实体的提议 \n\tA/66/\t2011年9月19日\t经社部 \n\t秘书长关于全系统一致性的报告 \n\tA/66/83\t2011年9月19日\t经社部\t2011年5月2日\t2011年5月19日\t\n\t秘书长关于预防和控制非传染性疾病的报告 \n\tA/66/120\t2011年9月19日\t妇女署\t2011年7月8日\t2011年7月1日\t2011年7月28日\n\t秘书长的报告：加强支持两性平等和增强妇女力量的体制安排 \n\tA/66/\t2011年11月15日\t经社部\t2011年9月6日 \n\t秘书长的报告：促进穷人法律权益与消除贫穷 \n119.\t纪念废除跨大西洋贩卖奴隶二百周年的后续活动 \n\tA/66/\t2011年12月8日\t新闻部\t2011年9月29日 \n\t秘书长的报告：继续采取行动，执行宣传教育方案，以动员教育机构和民间社会等方面牢记跨大西洋贩卖奴隶和奴隶制的历史 \n\tA/66/162\t2011年12月8日\t伙伴基金\t2011年7月26日\t2011年7月20日\t2011年7月29日\n\t秘书长的报告，奴隶制和跨大西洋贩卖奴隶行为受害者永久纪念碑和对受害者的纪念：联合国永久纪念碑伙伴信托基金 \n120.\t执行联合国各项决议 \n\t无预发文件\t2011年11月22日 \n121.\t大会工作的振兴 \n\t无预发文件\t2011年11月22日 \n122.\t安全理事会席位公平分配和成员数目增加问题及有关事项 \n\t无预发文件\t2011年11月8日 \n123.\t加强联合国系统 \n(a)\t加强联合国系统 \n\tA/66/\t2011年11月22日\t维和部\t2011年8月15日 \n\t秘书长关于民事能力的报告 \n(b)\t联合国系统在全球治理中的核心作用 \n\tA/66/\t2011年11月22日\t经社部\t2011年8月31日 \n\t秘书长关于经济治理与发展的报告 \n124.\t联合国改革：措施和提议 \n 无预发文件 \n125.\t联合国石油换粮食方案独立调查委员会就行政管理和内部监督所提建议的后续行动 \n 无预发文件 \n126.\t全球卫生与外交政策 \n\tA/66/\t2011年12月8日\t经社部\t2011年9月28日 \n\t秘书长的说明，转递世界卫生组织关于全球卫生与外交政策的报告 \n127.\t起诉应对1994年1月1日至12月31日期间在卢旺达境内的种族灭绝和其他严重违反国际人道主义法行为负责者和应对这一期间邻国境内种族灭绝和其他这类违法行为负责的卢旺达公民的国际刑事法庭 \n 无预发文件 \n128.\t起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭 \n 无预发文件 \n129.\t刑事法庭余留事项国际处理机制 \n 无预发文件 \n130.\t联合国与各国议会和各国议会联盟之间的互动 \n\t无预发文件\t2011年12月2日 \n131.\t财务报告和已审计财务报表以及审计委员会的报告 \n\tA/66/151 审计委\t2011年7月18日\t2011年7月14日\t\n\t秘书长的说明，转递关于执行国际公共部门会计准则的进度报告 \n\tA/66/ 管理部 \n\t秘书长的报告，审计委员会关于基本建设总计划2011年12月31日终了年度的报告所载各项建议的执行情况 \n(b)\t联合国难民事务高级专员经管的自愿基金 \n\tA/66/5/Add.5(Suppl.) 审计委\t2011年7月18日\t2011年7月14日\t\n\t联合国难民事务高级专员经管的自愿基金(补编第5号)(增编5) \n\tA/66/139 审计委\t2011年7月18日\t2011年7月14日\t\n\t秘书长的说明，转递审计委员会关于其与2008-2009两年期有关的各项建议执行情况的报告 \n(c)\t基本建设总计划 \n\tA/66/5(Vol.V)(Suppl.) 审计委\t2011年7月18日\t2011年7月7日\t\n\t审计委员会关于2010年12月31日终了年度基本建设总计划的报告(补编第5号) \n132.\t审查联合国行政和财政业务效率 \n\tA/66/16(Suppl.) 管理部\t2011年7月8日\t2011年7月5日\t2011年7月7日\n\t方案和协调委员会第五十一届会议的报告(2011年6月6日-7月2日)(补编第16号) \n\tA/66/299 审咨委\t2011年8月11日 \n133.\t2010-2011两年期方案预算 \n\tA/66/ 管理部\t2011年11月11日 \n\t秘书长的报告：2010-2011两年期方案预算第二次执行情况报告 \n\tA/66/188 伙伴基金\t2011年7月27日\t2011年7月27日\t\n\t秘书长关于联合国伙伴关系办公室的报告 \n\tA/66/82 管理部\t2011年5月18日\t2011年5月18日\t2011年5月31日\n\t秘书长的报告：关于2010-2011两年期方案预算和2012-2013两年期拟议方案预算中反映的两年期方案计划变化的合并报告 \n\tA/66/ 管理部\t2011年10月10日 \n\t秘书长的报告：关于基本建设总计划执行情况的第九次年度进展报告 \n\tA/66/ 管理部\t2011年9月30日 \n\t秘书长的报告：为基本建设总计划相关费用筹资的提议 \n134.\t2012-2013两年期拟议方案预算 \n\tA/66/7(Suppl.) 行预咨委会\t2011年8月10日 \n\t行政和预算问题咨询委员会关于2012-2013两年期方案预算的第一次报告(补编第7号) \n\tA/66/6(Introduction) 管理部 \n\t2012-2013两年期拟议方案预算：前言和导言 \n\tA/66/6(Sect.1) 管理部\t2011年4月28日 \n\t2012-2013两年期拟议方案预算：第1款：通盘决策、领导和协调 \n\tA/66/6(Sect.2) 管理部\t2011年5月4日 \n\t2012-2013两年期拟议方案预算：第2款：大会和经济及社会理事会事务和会议管理 \n\tA/66/6(Sect.3) 管理部\t2011年4月25日 \n\t2012-2013两年期拟议方案预算：第3款：政治事务 \n\tA/66/6(Sect.4) 管理部\t2011年4月1日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第4款：裁军 \n\tA/66/6(Sect.5) 管理部\t2011年5月16日 \n\t2012-2013两年期拟议方案预算：第5款：维持和平行动 \n\tA/66/6(Sect.6) 管理部\t2011年3月31日\t2011年3月17日\t2011年4月13日\n\t2012-2013两年期拟议方案预算：第6款：和平利用外层空间 \n\tA/66/6(Sect.7) 管理部\t2011年3月31日\t2011年3月17日\t2011年5月24日\n\t2012-2013两年期拟议方案预算：第7款：国际法院 \n\tA/66/6(Sect.8)和Corr.1 管理部\t2011年4月4日 2011年5月24日\n\t2012-2013两年期拟议方案预算：第8款：法律事务 \n\tA/66/6(Sect.9) 管理部\t2011年5月4日 \n\t2012-2013两年期拟议方案预算：第9款：经济和社会事务 \n\tA/66/6(Sect.10) 管理部\t2011年4月7日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第10款：最不发达国家、内陆发展中国家和小岛屿发展中国家 \n\tA/66/6(Sect.11) 管理部\t2011年4月8日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第11款：联合国支助非洲发展新伙伴关系 \n\tA/66/6(Sect.12) 管理部\t2011年4月11日 2011年5月27日\n\t2012-2013两年期拟议方案预算：第12款：贸易和发展 \n\tA/66/6(Sect.13) 管理部\t2011年4月1日 2011年5月20日\n\t2012-2013两年期拟议方案预算：第13款：贸发会议/世贸组织国际贸易中心 \n\tA/66/6(Sect.13) 管理部\t2011年9月5日 \n\t2012-2013两年期拟议方案预算：第13款：贸发会议/世贸组织国际贸易中心(增编) \n\tA/66/6(Sect.14) 管理部\t2011年4月15日 2011年5月11日\n\t2012-2013两年期拟议方案预算：第14款：环境 \n\tA/66/6(Sect.15) 管理部\t2011年4月27日 2011年5月18日\n\t2012-2013两年期拟议方案预算：第15款：人类住区 \n\tA/66/6(Sect.16) 管理部\t2011年4月22日 \n\t2012-2013两年期拟议方案预算：第16款：国际药物管制、预防犯罪和恐怖主义及刑事司法 \n\tA/66/6(Sect.17) 管理部\t2011年5月2日 2011年5月24日\n\t2012-2013两年期拟议方案预算：第17款：妇女署 \n\tA/66/6(Sect.18) 管理部\t2011年4月25日 \n\t2012-2013两年期拟议方案预算：第18款：非洲经济和社会发展 \n\tA/66/6(Sect.19) 管理部\t2011年4月20日 \n\t2012-2013两年期拟议方案预算：第19款：亚洲及太平洋经济和社会发展 \n\tA/66/6(Sect.20) 管理部\t2011年4月11日 \n\t2012-2013两年期拟议方案预算：第20款：欧洲经济发展 \n\tA/66/6(Sect.21) 管理部\t2011年4月18日 \n\t2012-2013两年期拟议方案预算：第21款：拉丁美洲和加勒比经济和社会发展 \n\tA/66/6(Sect.22) 管理部\t2011年4月14日 2011年5月26日\n\t2012-2013两年期拟议方案预算：第22款：西亚经济和社会发展 \n\tA/66/6(Sect.23) 管理部\t2011年5月4日 \n\t2012-2013两年期拟议方案预算：第23款：技术合作经常方案 \n\tA/66/6(Sect.24) 管理部\t2011年4月22日 \n\t2012-2013两年期拟议方案预算：第24款：人权 \n\tA/66/6(Sect.25) 管理部\t2011年3月31日 2011年4月15日\n\t2012-2013两年期拟议方案预算：第25款：对难民的国际保护、持久解决和援助 \n\tA/66/6(Sect.26)和Corr.1 管理部\t2011年4月29日 2011年5月24日\n\t2012-2013两年期拟议方案预算：第26款：巴勒斯坦难民 \n\tA/66/6(Sect.27) 管理部\t2011年4月7日 2011年5月24日\n\t2012-2013两年期拟议方案预算：第27款：人道主义援助 \n\tA/66/6(Sect.28) 管理部\t2011年4月13日 \n\t2012-2013两年期拟议方案预算：第28款：新闻 \n\tA/66/6(Sect.29) 管理部\t2011年5月6日 \n\t2012-2013两年期拟议方案预算：第29款：管理和支助事务 \n\tA/66/6(Sect.29 A) 管理部\t2011年4月28日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第29A款：主管管理事务副秘书长办公室 \n\tA/66/6(Sect.29 B) 管理部\t2011年4月15日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第29B款：方案规划、预算和账户厅 \n\tA/66/6(Sect.29 C) 管理部\t2011年4月18日 \n\t2012-2013两年期拟议方案预算：第29C款：人力资源管理厅 \n\tA/66/6(Sect.29 D) 管理部\t2011年4月22日 \n\t2012-2013两年期拟议方案预算：第29D款：中央支助事务厅 \n\tA/66/6(Sect.29 E) 管理部\t2011年5月23日 \n\t2012-2013两年期拟议方案预算：第29E款：行政，日内瓦 \n\tA/66/6(Sect.29 F) 管理部\t2011年4月20日 2011年5月26日\n\t2012-2013两年期拟议方案预算：第29F款：行政，维也纳 \n\tA/66/6(Sect.29 G) 管理部\t2011年4月29日 2011年5月26日\n\t2012-2013两年期拟议方案预算：第29G款：行政，内罗毕 \n\tA/66/6(Sect.30) 管理部\t2011年5月5日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第30款：信息和通信技术厅 \n\tA/66/6(Sect.31) 管理部\t2011年4月8日 2011年5月25日\n\t2012-2013两年期拟议方案预算：第31款：内部监督 \n\tA/66/6(Sect.32) 管理部\t2011年5月9日 2011年5月20日\n\t2012-2013两年期拟议方案预算：第32款：合资办理的行政活动 \n\tA/66/6(Sect.33) 管理部\t2011年5月2日 2011年5月16日\n\t2012-2013两年期拟议方案预算：第33款：特别费 \n\tA/66/6(Sect.34) 管理部\t2011年5月6日 2011年6月1日\n\t2012-2013两年期拟议方案预算：第34款：建筑、改建、装修和主要维修 \n\tA/66/6(Sect.35) 管理部\t2011年4月27日 \n\t2012-2013两年期拟议方案预算：第35款：安全和安保 \n\tA/66/6(Sect.36) 管理部\t2011年5月11日 \n\t2012-2013两年期拟议方案预算：第36款：发展账户 \n\tA/66/6(Sect.37) 管理部\t2011年5月2日 2011年6月2日\n\t2012-2013两年期拟议方案预算：第37款：工作人员薪金税 \n\tA/66/6(Income Sect.1) 管理部\t2011年5月9日 2011年6月2日\n\t2012-2013两年期拟议方案预算：收入第1款：工作人员薪金税收入 \n\tA/66/6(Income Sect.2) 管理部\t2011年4月22日 2011年5月26日\n\t2012-2013两年期拟议方案预算：收入第2款：一般收入 \n\tA/66/6(Income Sect.3) 管理部\t2011年4月29日 \n\t2012-2013两年期拟议方案预算：收入第3款：服务公众 \n\tA/66/5(Vol.V)(Suppl.) 审计委\t2011年7月18日 \n\t审计委员会关于2010年12月31日终了年度基本建设总计划的报告(补编第5号)(又见项目131(c)) \n\tA/66/ 管理部\t2011年8月8日 \n\t秘书长的报告：联合国日内瓦办事处战略遗产计划进度报告 \n\tA/66/74 人权高专办\t2011年4月20日\t2011年4月20日\t2011年4月29日\n\t秘书长的报告：内部监督事务厅关于联合国人权事务高级专员办事处执行任务效率的报告所载建议执行情况进度报告 \n\tA/66/ 外勤部\t2011年9月6日 \n\t秘书长的报告；彻底审查特别政治任务的现行供资和支助安排 \n\tA/66/85 审咨委\t2011年5月27日\t2011年5月27日\t2011年6月15日\n\t独立审计咨询委员会关于内部监督的报告：2012-2013两年期拟议方案预算 \n\tA/66/ 管理部\t2011年8月8日 \n\t秘书长关于紧急情况管理框架的报告 \n\tA/66/84 管理部\t2011年5月25日\t2011年5月24日\t2011年6月16日\n\t秘书长的报告：发展账户供资项目执行情况：第七次进度报告 \n\tA/66/ 管理部\t2011年8月8日 \n\t秘书长的报告：关于建立一个退休金核定机制的提议 \n\tA/66/ 管理部\t2011年9月7日 \n\t秘书长的报告：海外财产管理和进行中的建筑项目 \n\tA/66/ 管理部\t2011年10月17日 \n\t秘书长关于塞拉利昂问题特别法庭的报告 \n\tA/66/ 管理部\t2011年9月30日 \n\t秘书长关于企业资源规划项目的第三次进度报告 \n\tA/66/ 管理部\t2011年10月19日 \n\t秘书长的报告，大会和(或)安全理事会授权的特别政治任务、斡旋和其他政治举措费用估计数 \n\tA/66/…/Add.1 管理部\t2011年8月30日 \n\t秘书长报告：大会和(或)安全理事会授权的特别政治任务、斡旋和其他政治举措费用估计数——第一专题组 \n\tA/66/…/Add.2 管理部\t2011年8月15日 \n\t秘书长报告：大会和(或)安全理事会授权的特别政治任务、斡旋和其他政治举措费用估计数——第二专题组 \n\tA/66/…/Add.3 管理部\t2011年10月11日 \n\t秘书长报告：大会和(或)安全理事会授权的特别政治任务、斡旋和其他政治举措费用估计数——第三专题组 \n\tA/66/…/Add.4 管理部\t2011年10月17日 \n\t秘书长报告：大会和(或)安全理事会授权的特别政治任务、斡旋和其他政治举措费用估计数——联合国阿富汗援助团 \n\tA/66/…/Add.5 管理部\t2011年10月17日 \n\t秘书长报告：大会和(或)安全理事会授权的特别政治任务、斡旋和其他政治举措费用估计数——联合国伊拉克援助团 \n\tA/66/ 管理部\t2011年12月19日 \n\t秘书长的报告：订正估计数：汇率变化和通货膨胀的影响 \n\tA/66/ 管理部\t2011年8月31日 \n\t秘书长的报告：关于联合国总部所需长期办公房地的可行性研究 \n\tA/66/ 管理部\t2011年11月11日 \n\t秘书长关于有限预算酌处权试验的报告 \n\tA/66/170 管理部\t2011年7月22日\t2011年7月21日\t\n\t秘书长的报告：根据联合国裁军研究所董事会关于研究所2012-2013年工作方案的建议为研究所申请补助金 \n\tA/66/ 管理部\t2011年12月22日 \n 应急基金支出合并报表 \n\tA/66/ 管理部\t2011年9月30日 \n\t秘书长的报告：联合国内罗毕办事处主任办公室订正估计数 \n\tA/66/ 管理部\t2011年8月18日 \n\t秘书长的报告：联合国采用国际公共部门会计准则情况第四次进度报告 \n\tA/66/ 养恤基金 \n\t联合国工作人员养恤金联合委员会关于行政费用的报告 \n\tA/66/ 管理部\t2011年11月21日 \n\t秘书长的报告：人权理事会第十六次会议和第十七次会议通过的决议和决定引起的订正估计数 \n\tA/66/ 管理部\t2011年10月7日 \n\t秘书长的报告：经济及社会理事会2011年实质性会议和实质性会议续会通过的决议和决定引起的订正概算 \n\tA/66/94 管理部\t2011年6月28日\t2011年6月22日\t\n\t秘书长的报告：联合国秘书处企业信息和通信技术倡议 \n135.\t方案规划 \n\tA/66/16(Suppl.) 管理部\t2011年7月8日\t2011年7月5日\t2011年7月7日\n\t方案和协调委员会第五十一届会议的报告(2011年6月6日-7月1日)(补编16)(又见项目132) \n136.\t改善联合国财政情况 \n\tA/66/ 管理部 \n\t秘书长关于改善联合国财政情况的定期报告 \n137.\t会议时地分配办法 \n\tA/66/118 大会部\t2011年7月1日\t2011年7月1日\t2011年7月25日\n\t秘书长的报告：会议时地分配办法 \n\tA/66/32(Suppl.) 大会部\t2011年9月26日 \n\t会议委员会的2011年报告(补编第32号) \n138.\t联合国经费分摊比额表 \n\tA/66/11(Suppl.) 管理部\t2011年7月8日\t2011年7月8日\t2011年7月22日\n\t会费委员会第七十一届会议(2011年6月6-24日)报告(补编第11号) \n\tA/66/69 管理部\t2011年3月28日\t2011年3月18日\t2011年3月29日\n\t秘书长关于多年付款计划的报告 \n139.\t人力资源管理 \n\tA/66/135 管理部\t2011年7月29日\t2011年7月13日\t2011年7月28日\n\t秘书长的报告：关于2010年7月1日至2011年6月30日期间秘书长处理纪律问题和可能犯罪行为的做法 \n\tA/66/98 管理部\t2011年6月30日\t2011年6月27日\t2011年7月13日\n\t秘书长的报告：个人利益冲突 \n\tA/66/ 秘书长办公厅\t2011年8月19日 \n\t秘书长关于道德操守办公室活动的报告 \n\tA/66/ 管理部\t2011年8月31日 \n\t秘书长关于秘书处工作人员组成的报告 \n140.\t联合检查组 \n 无预发文件 \n141.\t联合国共同制度 \n A/66/30(Suppl.) \n\t国际公务员制度委员会2011年度报告(补编第30号) 公务员制度委员会\t2011年8月23日 \n 根据：A/63/30 \n\tA/66/ 管理部\t2011年9月30日 \n\t秘书长按照大会议事规则第153条提交的说明：国际公务员制度委员会报告所载决定和建议所涉行政和财务问题 \n142.\t关于内部监督事务厅活动的报告 \n\tA/66/ (Part I) 监督厅\t2011年8月9日 \n\t内部监督事务厅2010年7月1日至2011年6月30日期间的活动(第一部分) \n\tA/66/ (Part I)/Add.1 监督厅\t2011年8月15日 \n\t内部监督事务厅2010年7月1日至2011年6月30日期间的活动(第一部分)(增编) \n\tA/66/ 监督厅\t2011年7月25日\t2011年7月25日\t\n\t内部监督事务厅的报告：对秘书处新闻职能组织框架的审查 \n143.\t联合国内部司法 \n\tA/66/\t2011年10月10日\t秘书长办公厅\t2011年8月18日 \n\t秘书长的报告：联合国内部司法 \n\tA/66/158\t2011年10月10日\t秘书长办公厅\t2011年7月18日\t2011年7月19日\t\n\t内部司法理事会的报告：联合国内部司法 \n\tA/66/86\t2011年10月10日\t秘书长办公厅\t2011年7月18日 \n\t秘书长的报告：联合国争议法庭和联合国上诉法庭法官议事规则修正案 \n\tA/66/224 秘书长办公厅\t2011年8月3日\t2011年8月2日\t\n\t内部司法理事会的报告：联合国监察员和调解事务办公室的活动 \n\tA/66/275 秘书长办公厅\t2011年8月2日 \n\t秘书长的报告：联合国内部司法 \n144.\t起诉应对1994年1月1日至12月31日期间在卢旺达境内的种族灭绝和其他严重违反国际人道主义法行为负责者和应对这一期间邻国境内种族灭绝和其他这类违法行为负责的卢旺达公民的国际刑事法庭经费的筹措 \n\tA/66/ 管理部\t2011年11月15日 \n\t秘书长的报告：卢旺达问题国际刑事法庭2010-2011两年期第二次执行情况报告 \n\tA/66/ 管理部\t2011年9月30日 \n\t秘书长的报告：卢旺达问题国际刑事法庭2012-2013两年期预算 \n\tA/66/ 管理部\t2011年12月19日 \n\t秘书长的报告：前南斯拉夫问题国际刑事法庭和卢旺达问题国际刑事法庭订正估计数：汇率变化和通货膨胀的影响 \n145.\t起诉应对1991年以来前南斯拉夫境内所犯严重违反国际人道主义法行为负责者的国际法庭经费的筹措 \n\tA/66/ 管理部\t2011年11月15日 \n\t秘书长的报告：前南斯拉夫问题国际刑事法庭2010-2011两年期第二次执行情况报告 \n\tA/66/ 管理部\t2011年9月30日 \n\t秘书长的报告：前南斯拉夫问题国际刑事法庭2012-2013两年期预算 \n146.\t联合国维持和平行动经费筹措的行政和预算问题 \n 无预发文件 \n147.\t联合国中非共和国和乍得特派团经费的筹措 \n 无预发文件 \n148.\t联合国科特迪瓦行动经费的筹措 \n 无预发文件 \n149.\t联合国驻塞浦路斯维持和平部队经费的筹措 \n 无预发文件 \n150.\t联合国组织刚果民主共和国特派团经费的筹措 \n 无预发文件 \n151.\t联合国组织刚果民主共和国稳定特派团经费的筹措 \n 无预发文件 \n152.\t联合国东帝汶特派团经费的筹措 \n 无预发文件 \n153.\t联合国东帝汶综合特派团经费的筹措 \n 无预发文件 \n154.\t联合国埃塞俄比亚和厄立特里亚特派团经费的筹措 \n 无预发文件 \n155.\t联合国格鲁吉亚观察团经费的筹措 \n 无预发文件 \n156.\t联合国海地稳定特派团经费的筹措 \n 无预发文件 \n157.\t联合国科索沃临时行政当局特派团经费的筹措 \n 无预发文件 \n158.\t联合国利比里亚特派团经费的筹措 \n 无预发文件 \n159.\t联合国中东维持和平部队经费的筹措 \n 无预发文件 \n160.\t联合国苏丹特派团经费的筹措 \n\tA/66/ 管理部\t2011年10月7日 \n\t秘书长的报告：联合国苏丹特派团资产的最后处置 \n161.\t联合国西撒哈拉全民投票特派团经费的筹措 \n 无预发文件 \n162.\t非洲联盟-联合国达尔富尔混合行动经费的筹措 \n 无预发文件 \n163.\t安全理事会第1863(2009)号决议引起的活动的经费筹措 \n 无预发文件 \n164.\t东道国关系委员会的报告 \n\tA/66/26(Suppl.)\t2011年11月10日\t法律厅\t2011年10月28日 \n\t东道国关系委员会的报告(补编第26号) \n\tA/AC.154/2011/CRP.__\t2011年11月10日\t法律厅\t2011年10月14日 \n\t东道国关系委员会的报告草稿 \n165.\t给予突厥语国家合作委员会大会观察员地位 \n 无预发文件 \n166.\t给予国际紧急状况应对组织大会观察员地位 \n 无预发文件 \n167.\t给予南美洲国家联盟大会观察员地位 \n 无预发文件 \n168.\t给予国际可再生能源机构大会观察员地位 \n 无预发文件 \n169.\t联合国阿卜耶伊临时安全部队经费的筹措 \n\tA/66/ 管理部\t2011年10月21日 \n\t秘书长的报告：联合国阿卜耶伊临时安全部队2011年7月1日-12月31日预算 \n170.\t联合国南苏丹特派团经费的筹措 \n\tA/66/ 管理部\t2011年10月21日 \n\t秘书长的报告：联合国南苏丹特派团2011年7月1日-12月31日预算"
] | [
"Sixty-fifth session",
"Agenda item 118",
"Revitalization of the work of the General Assembly",
"Revitalization of the work of the General Assembly: status of documentation for the sixty-sixth session of the General Assembly",
"Report of the Secretary-General",
"The present addendum contains the status of documentation for the sixty-sixth session of the General Assembly as at 3 August 2011. The agenda item numbers correspond to those of the provisional agenda (A/66/150).",
"Acronyms and abbreviations",
"ACABQ\tAdvisory Committee on Administrative and BudgetaryQuestions\n BOA Board of Auditors \n DESA Department of Economic and Social Affairs \n DFS Department of Field Support \nDGACM\tDepartment for General Assembly and ConferenceManagement\n DM Department of Management \n DPA Department of Political Affairs \n DPI Department of Public Information \n DPKO Department of Peacekeeping Operations \n DSS Department of Safety and Security \n EOSG Executive Office of the Secretary-General \n IAAC Independent Audit Advisory Committee \n IAEA International Atomic Energy Agency \n ICJ International Court of Justice \n ICTR International Criminal Tribunal for Rwanda \n ICTY International Tribunal for the Former Yugoslavia \n ISDR International Strategy for Disaster Reduction \n OAJ Office of the Administration of Justice \n OCHA Office for the Coordination of Humanitarian Affairs \n ODA Office for Disarmament Affairs \nOHCHR\tOffice of the United Nations High Commissioner forHuman Rights\nOHRLLS\tOffice of the High Representative for the LeastDeveloped Countries, Landlocked Developing Countriesand Small Island Developing States\n OIOS Office of Internal Oversight Services \n OLA Office of Legal Affairs \n OSAA Office of the Special Adviser on Africa \nOSRSG/CAC\tOffice of the Special Representative of theSecretary-General for Children and Armed Conflict\n RCNYO Regional Commissions New York Office \n UNCBD United Nations Convention on Biological Diversity \n UNCDD United Nations Convention to Combat Desertification \n UNCTAD United Nations Conference on Trade and Development \n UNDP United Nations Development Programme \n UNEP United Nations Environment Programme \nUNFCCC\tUnited Nations Framework Convention on ClimateChange\n UNFIP United Nations Fund for International Partnerships \n UNFPA United Nations Population Fund \n UN-Habitat United Nations Human Settlements Programme \nUNHCR\tOffice of the United Nations High Commissioner forRefugees\n UNICEF United Nations Children’s Fund \n UNJSPF United Nations Joint Staff Pension Fund \n UNODC United Nations Office on Drugs and Crime \n UNOOSA United Nations Office for Outer Space Affairs \nUNRWA\tUnited Nations Relief and Works Agency for PalestineRefugees in the Near East\nUNSCEAR\tUnited Nations Scientific Committee on the Effectsof Atomic Radiation\nUN-Women\tUnited Nations Entity for Gender Equality and theEmpowerment of Women",
"Status of documentation for the sixty-sixth session of the General Assembly",
"Item/sub-item\tSymbolDocument title\tMeetingdate\tAuthor\tSlotdateofsubmission\tDatereceived\tDateissued \n1.\tOpening of the session bythe President of theGeneral Assembly \n\tNo advance documentation\t13/9/2011 \n2.\tMinute of silent prayeror meditation \n\tNo advance documentation\t13/9/2011 \n3.\tCredentials ofrepresentatives to thesixty-sixth session ofthe General Assembly \n(b)\tA/66/\t12/12/2011\tOLA\t7/12/2011 \n\tReport of the CredentialsCommittee \n4.\tElection of the Presidentof the General Assembly \n No advance documentation \n5.\tElection of the officersof the Main Committees \n No advance documentation \n6.\tElection of theVice-Presidents of theGeneral Assembly \n No advance documentation \n7.\tOrganization of work,adoption of the agendaand allocation of items:reports of the GeneralCommittee \n\tA/66/50 DGACM\t15/2/2011\t11/2/2011\t14/2/2011\n\tPreliminary list of itemsto be included in theprovisional agenda of thesixty-sixth regularsession of the GeneralAssembly \n\tA/66/100 DGACM\t15/6/2011\t20/4/2011\t15/6/2011\n\tAnnotated preliminarylist of items to beincluded in theprovisional agenda of thesixty-sixth regularsession of the GeneralAssembly \n\tA/66/150 DGACM\t15/7/2011\t8/7/2011\t15/7/2011\n\tProvisional agenda of thesixty-sixth regularsession of the GeneralAssembly \n\tA/66/100/Add.1 DGACM\t12/8/2011 \n\tAnnotated draft agenda ofthe sixty-sixth regularsession of the GeneralAssembly (addendum) \n\tA/66/200 DGACM\t24/8/2011 \n\tList of supplementaryitems proposed forinclusion in the agendaof the sixty-sixthsession of the GeneralAssembly \n\tA/BUR/66/1 DGACM\t13/9/2011 \n\tMemorandum by theSecretary-General:Organization of thesixty-sixth regularsession of the GeneralAssembly, adoption of theagenda and allocation ofitems \n\tA/66/250 DGACM\t15/9/2011 \n\tFirst report of theGeneral Committee:Organization of thesixty-sixth regularsession of the GeneralAssembly, adoption of theagenda and allocation ofitems \n\tA/66/251 DGACM\t19/9/2011 \n\tAgenda of the sixty-sixthsession of the GeneralAssembly \n\tA/66/252 DGACM\t19/9/2011 \n\tAllocation of agendaitems for the sixty-sixthsession of the GeneralAssembly \n8.\tGeneral debate \n\tNo advance documentation\t21/9/2011 \n9.\tReport of the Economicand Social Council \n\tA/66/3 (Suppl.)\t19/10/2011\tDGACM\t22/8/2011 \n\tReport of the Economicand Social Council(Suppl. No. 3) \n\tA/66/\t19/10/2011\tUNFPA\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Executive Directorof the United NationsPopulation Fund on theUnited Nations PopulationAward, 2011 \n10.\tSport for peace anddevelopment \n\tNo advance documentation\t17/10/2011 \n11.\tGlobal road safety crisis \n\tA/66/\t12/12/2011\tDESA\t3/10/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the World HealthOrganization on improvingglobal road safety \n12.\t2001-2010: Decade to RollBack Malaria inDeveloping Countries,Particularly in Africa \n\tA/66/\t11/10/2011\tDESA\t29/7/2011 \n\tReport of theSecretary-General onconsolidating gains andaccelerating efforts tocontrol and eliminatemalaria in developingcountries, particularlyin Africa, by 2015 \n13.\tIntegrated andcoordinatedimplementation of andfollow-up to the outcomesof the major UnitedNations conferences andsummits in the economic,social and related fields \n\tA/66/160\t19/10/2011\tOCHA\t22/7/2011\t19/7/2011\t28/7/2011\n\tHuman security: Note bythe Secretariat \n\tA/66/\t19/10/2011\tOHCHR\t04/8/2011 \n\tAnnual report of theindependent expert onhuman rights obligationsrelated to access to safedrinking water andsanitation \n\tA/66/\t19/10/2011\tOHCHR \n\tReport with options forconsideration by theFifth Committee, toprovide adequatefinancing to fundunforeseen andextraordinary expensesarising from resolutionsand decisions of theHuman Rights Council \n14.\tGlobal Agenda forDialogue amongCivilization \n\tNo advance documentation\t17/10/2011 \n15.\tCulture of peace \n\tA/66/\t17/10/2011\tDESA\t8/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportby the Director-Generalof the United NationsEducational, Scientificand Cultural Organizationon the InternationalDecade for a Culture ofPeace and Non-Violence \n\tA/66/280\t17/10/2011\tDESA\t8/8/2011 \n\tReport of theSecretary-General onintercultural,interreligiousintercivilizationaldialogue \n16.\tInformation andcommunicationtechnologies fordevelopment \n\tA/66/77-E/2011/103\t17/10/2011\tDESA\t9/5/2011\t4/5/2011\t23/5/2011\n\tReport of theSecretary-General on theenhanced cooperation onpublic policy issuespertaining to theInternet \n\tA/66/64-E/2011/77\t17/10/2011\tUNCTAD \n\tReport of theSecretary-General onprogress made in theimplementation of andfollow-up to the outcomesof the World Summit onthe Information Societyat the regional andinternational levels \n\tA/66/ -E/2011/\t17/10/2011\tUNCTAD \n\tReport of the WorkingGroup on improvements tothe Internet GovernanceForum \n17.\tMacroeconomic policyquestions \n\tA/66/15 (Part I) (Suppl.)\t3/10/2011\tUNCTAD 30/3/2011\t\n\tReport of the Trade andDevelopment Board on itsfifty-first executivesession (Geneva, 29-30November 2010) (Suppl.No. 15) (Part I) \n\tA/66/15 (Part II)(Suppl.)\t3/10/2011\tUNCTAD \n\tReport of the Trade andDevelopment Board on itsfifty-second executivesession (Geneva, 11-12,14 April 2011) (Suppl.No. 15) (Part II) \n\tA/66/15 (Part III)(Suppl.)\t3/10/2011\tUNCTAD \n\tReport of the Trade andDevelopment Board on itsfifty-third executivesession (Africa/Reportson Commissions) (Geneva,27 and 28 June and 11July 2011)(Suppl. No. 15) (PartIII) \n\tA/66/15 (Part IV)(Suppl.)\t3/10/2011\tUNCTAD \n\tReport of the Trade andDevelopment Board on itsfifty-eighth regularsession (Geneva, 12-23September 2011) (Suppl.No. 15) (Part IV) \n(a)\tInternational trade anddevelopment \n\tA/66/138\t03/10/2011\tDESA\t25/7/2011\t14/7/2011\t\n\tReport of theSecretary-General onunilateral economicmeasures as a means ofpolitical and economiccoercion againstdeveloping countries \n\tA/66/185\t3/10/2011\tUNCTAD\t25/7/2011\t25/7/2011\t\n\tReport of theSecretary-General oninternational trade anddevelopment \n(b)\tInternational financialsystem and development \n\tA/66/167\t3/10/2011\tDESA\t22/7/2011\t21/7/2011\t\n\tReport of theSecretary-General on theinternational financialsystem and development \n(c)\tExternal debtsustainability anddevelopment \n\tA/66/164\t3/10/2011\tUNCTAD\t25/7/2011\t20/7/2011\t\n\tReport of theSecretary-General onexternal debtsustainability anddevelopment \n(d)\tCommodities \n\tA/66/207\t3/10/2011\tUNCTAD\t28/7/2011\t28/7/2011\t\n\tNote by theSecretary-General onworld commodity trendsand prospects \n18.\tFollow-up to andimplementation of theoutcome of the 2002International Conferenceon Financing forDevelopment and the 2008Review Conference \n\tA/66/\t3/10/2011\tDESA\t31/8/2011 \n\tReport of theSecretary-General on thefollow-up to andimplementation of theMonterrey Consensus andDoha Declaration onFinancing for Development \n\tA/66/\t3/10/2011\tDESA\t29/8/2011 \n\tReport of theSecretary-General oninnovative mechanisms offinancing for development \n19.\tSustainable development \n\tA/66/25 (Suppl.)\t24/10/2011\tUNEP \n\tReport of the GoverningCouncil/GlobalMinisterial EnvironmentForum on the work of itstwenty-sixth session(21-24 February 2011)(Suppl. No. 25) \n\tA/66/ -E/2011/\t24/10/2011\tDESA\t25/4/2011 \n\tSummary by the Presidentof the Council of thespecial high-levelmeeting of the Economicand Social Council withthe Bretton Woodsinstitutions, the WorldTrade Organization andthe United NationsConference on Trade andDevelopment \n\tA/66/\t24/10/2011\tUNEP\t12/8/2011 \n\tReport of theSecretary-General on theoil slick on Lebaneseshores \n\tA/66/\t24/10/2011\tDESA\t15/8/2011 \n\tReport of theSecretary-General on theprotection of coral reefsfor sustainablelivelihoods anddevelopment \n\tA/66/\t24/10/2011\tUNCCD \n\tReport of theSecretary-General on theimplementation of theUnited Nations Conventionto Combat Desertificationin Those CountriesExperiencing SeriousDrought and/orDesertification,Particularly in Africa \n\tA/66/\t24/10/2011\tDESA\t11/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportssubmitted by thesecretariats of theUnited Nations FrameworkConvention on ClimateChange, the UnitedNations Convention toCombat Desertification inThose CountriesExperiencing SeriousDrought and/orDesertification,Particularly in Africa,and the Convention onBiological Diversity onthe implementation ofUnited Nationsenvironmental conventions \n(a)\tImplementation of Agenda21, the Programme for theFurther Implementation ofAgenda 21 and theoutcomes of the WorldSummit on SustainableDevelopment \n\tA/66/\t24/10/2011\tDESA\t15/8/2011 \n\tReport of theSecretary-General onagricultural technologyfor development \n\tA/66/287\t24/10/2011\tDESA\t9/8/2011 \n\tReport of theSecretary-General on theimplementation of Agenda21, the Programme for theFurther Implementation ofAgenda 21 and theoutcomes of the WorldSummit on SustainableDevelopment \n(b)\tFollow-up to andimplementation of theMauritius Strategy forthe FurtherImplementation of theProgramme of Action forthe SustainableDevelopment of SmallIsland Developing States \n\tA/66/218\t24/10/2011\tDESA\t1/8/2011\t1/8/2011\t\n\tReport of theSecretary-General on thereview of United Nationssystem support to smallisland developing States \n\tA/66/\t24/10/2011\tDESA\t8/8/2011 \n\tReport of theSecretary-General onconcrete recommendationsto enhance theimplementation of theBarbados Programme ofAction and the MauritiusStrategy \n(c)\tInternational Strategyfor Disaster Reduction \n\tA/66/\t24/10/2011\tISDR\t12/8/2011 \n\tReport of theSecretary-General onInternational Strategyfor Disaster Reduction:midterm review of theHyogo Framework forAction \n(d)\tProtection of globalclimate for present andfuture generations \n\tA/66/\t24/10/2011\tUNFCCC \n\tNote by theSecretary-Generaltransmitting the reportof the United NationsFramework Convention onClimate Change onprotection of globalclimate for present andfuture generations ofhumankind \n(f)\tConvention on BiologicalDiversity \n\tA/66/\t24/10/2011\tUNCBD/DESA\t15/8/2011 \n\tReport of theSecretary-General on theInternational Year ofBiodiversity, 2010 \n\tA/66/\t24/10/2011\tUNCBD \n\tNote by theSecretary-Generaltransmitting the reportof the Conference of theParties to the Conventionon Biological Diversityon its tenth meeting \n(h)\tHarmony with Nature \n\tA/66/\t24/10/2011\tDESA\t15/8/2011 \n\tReport of theSecretary-General onHarmony with Nature \n(i)\tSustainable mountaindevelopment \n\tA/66/\t24/10/2011\tDESA\t15/8/2011 \n\tReport of theSecretary-General onsustainable mountaindevelopment \n(j)\tPromotion of new andrenewable sources ofenergy \n\tA/66/\t24/10/2011\tDESA\t15/8/2011 \n\tReport of theSecretary-General on thepromotion of new andrenewable sources ofenergy \n20.\tImplementation of theoutcome of the UnitedNations Conference onHuman Settlements(Habitat II) andstrengthening of theUnited Nations HumanSettlements Programme(UN-Habitat) \n\tA/66/8 (Suppl.)\t24/10/2011\tUN-Habitat\t2/5/2011 \n\tReport of the GoverningCouncil of the UnitedNations Human SettlementsProgramme, twenty-thirdsession (Nairobi, 11-15April) (Suppl. No. 8) \n\tA/66/\t24/10/2011\tUN-Habitat\t12/8/2011 \n\tReport of theSecretary-General on thethird United NationsConference on Housing andSustainable UrbanDevelopment (Habitat III) \n\tA/66/\t24/10/2011\tUN-Habitat\t12/8/2011 \n\tReport of theSecretary-General on theimplementation of theoutcome of the UnitedNations Conference onHuman Settlements(Habitat II) andstrengthening of theUnited Nations HumanSettlements Programme(UN-Habitat) \n\tA/66/\t24/10/2011\tDGACM \n\tNote by theSecretary-Generaltransmitting the reporton the coordinatedimplementation of theHabitat Agenda \n21.\tGlobalization andinterdependence \n\tA/66/187\t10/10/2011\tDESA\t1/8/2011\t26/7/2011\t\n\tNote by theSecretary-Generaltransmitting the reportby the Director-Generalof the United NationsEducational, Scientificand Cultural Organizationon culture anddevelopment \n(a)\tRole of the UnitedNations in promotingdevelopment in thecontext of globalizationand interdependence \n\tA/66/223\t10/10/2011\tDESA\t1/8/2011\t1/8/2011\t\n\tReport of theSecretary-General onglobalization andinterdependence:sustained, inclusive andequitable economic growthfor a fair and moreequitable globalizationfor all, including jobcreation \n(c)\tDevelopment cooperationwith middle-incomecountries \n\tA/66/208\t10/10/2011\tUNCTAD\t1/8/2011\t28/7/2011\t\n\tReport of theSecretary-General onscience and technologyfor development \n\tA/66/220\t10/10/2011\tDESA\t1/8/2011\t1/8/2011\t\n\tReport of theSecretary-General ondevelopment cooperationwith middle-incomecountries \n22.\tGroups of countries inspecial situations \n(a)\tFollow-up to the FourthUnited Nations Conferenceon the Least DevelopedCountries \n\tA/CONF.219/7\t10/10/2011\tOHRLLS\t20/6/2011\t16/6/2011\t\n\tReport of the FourthUnited Nations Conferenceon the Least DevelopedCountries (Istanbul,Turkey, 9-13 May) \n\tA/66/66-E/2011/78\t10/10/2011\tOHRLLS\t1/2/2011\t7/2/2011\t14/3/2011\n\tReport of theSecretary-General on theten-year appraisal andreview of theimplementation of theBrussels Programme ofAction for the LeastDeveloped Countries forthe Decade 2001-2010 \n\tA/66/134\t10/10/2011\tOHRLLS\t15/7/2011\t13/7/2011\t29/7/2011\n\tReport ofSecretary-General on theoutcome of the FourthUnited Nations Conferenceon the Least DevelopedCountries \n(b)\tSpecific actions relatedto the particular needsand problems oflandlocked developingcountries: outcome of theInternational MinisterialConference of Landlockedand Transit DevelopingCountries and DonorCountries andInternational Financialand DevelopmentInstitutions on TransitTransport Cooperation \n\tA/66/205\t10/10/2011\tOHRLLS\t25/7/2011\t25/7/2011\t\n\tReport of theSecretary-General on theimplementation of theAlmaty Programme ofAction: addressing thespecial needs oflandlocked developingcountries with a newglobal framework fortransit transportcooperation forlandlocked and transitdeveloping countries \n23.\tEradication of povertyand other developmentissues \n(a)\tImplementation of theSecond United NationsDecade for theEradication of Poverty(2008-2017) \n\tA/66/221\t10/10/2011\tDESA\t29/7/2011\t1/8/2011\t\n\tReport of theSecretary-General on theimplementation of theSecond United NationsDecade for theEradication of Poverty(2008-2017) \n(b)\tWomen in development \n\tA/66/219\t10/10/2011\tUN-Women\t01/8/2011\t01/8/2011\t\n\tReport of theSecretary-General onintegrating a genderperspective into nationaldevelopment strategies \n(c)\tHuman resourcesdevelopment \n\tA/66/206\t10/10/2011\tDESA\t1/8/2011\t28/7/211\t\n\tReport of theSecretary-General onhuman resourcesdevelopment \n24.\tOperational activitiesfor development \n(a)\tOperational activitiesfor development of theUnited Nations system \n\tA/66/79-E/2011/107\t3/10/2011\tDESA\t6/5/2011\t19/5/2011\t1/7/2011\n\tReport of theSecretary-General on theanalysis of the fundingof operational activitiesfor development of theUnited Nations system for2009 \n(b)\tSouth-South cooperationfor development \n\tA/66/\t3/10/2011\tUNDP\t3/8/2011 \n\tReport of theSecretary-General on thestate of South-Southcooperation fordevelopment \n25.\tAgriculture developmentand food security \n\tA/66/\t17/10/2011\tDESA\t8/8/2011 \n\tReport of theSecretary-General onagriculture developmentand food security:progress in theimplementation of theoutcome of the WorldSummit on Food Security \n26.\tTowards globalpartnerships \n\tA/66/\t31/10/2011\tEOSG\t22/8/2011 \n\tReport of theSecretary-General onenhanced cooperationbetween the UnitedNations and all relevantpartners, in particularthe private sector \n27.\tSocial development \n\tA/66/136\t03/10/2011\tDESA\t13/7/2011\t13/7/2011\t\n\tReport of theSecretary-General oncooperatives in socialdevelopment andimplementation of theInternational Year ofCooperatives \n\tA/66/62-E/2011/4\t3/10/2011\tDESA\t30/11/2010\t30/11/2010\t22/11/2010\n\tReport of theSecretary-General on thefollow-up to the tenthanniversary of theInternational Year ofFamily and beyond \n(a)\tImplementation of theoutcome of the WorldSummit for SocialDevelopment and of thetwenty-fourth specialsession of the GeneralAssembly \n\tA/66/124\t03/10/2011\tDESA\t13/7/2011\t11/7/2011\t27/7/2011\n\tReport of theSecretary-General on theimplementation of theoutcome of the WorldSummit for SocialDevelopment and of thetwenty-fourth specialsession of the GeneralAssembly \n\tA/66/226\t3/10/2011\tDESA\t21/7/2011\t2/8/2011\t\n\tReport of theSecretary-General on theworld social situation2011: the global socialcrisis \n(b)\tSocial development,including questionsrelating to the worldsocial situation and toyouth, ageing, disabledpersons and the family \n\tA/66/129\t3/10/2011\tDESA\t12/7/2011\t12/7/2011\t29/7/2011\n\tReport of theSecretary-General on theInternational Year ofYouth: Dialogue andMutual Understanding \n\tA/66/61-E/2011/3\t3/10/2011\tDESA\t29/11/2010\t22/11/2010\t28/12/2010\n\tReport of theSecretary-General on theimplementation of theWorld Programme of Actionon Youth: United Nationssystem coordination andcollaboration related toyouth \n\tA/66/128\t3/10/2011\tDESA\t12/7/2011\t12/7/2011\t\n\tReport of theSecretary-General onrealization of theMillennium DevelopmentGoals and otherinternationally agreeddevelopment goals forpersons with disabilities \n(c)\tFollow-up to theInternational Year ofOlder Persons: SecondWorld Assembly on Ageing \n\tA/66/173\t3/10/2011\tDESA\t22/7/2011\t22/7/2011\t\n\tReport of theSecretary-General on thefollow-up to the SecondWorld Assembly on Ageing \n28.\tAdvancement of women \n\tA/66/38 (Suppl.)\t10/10/2011\tOHCHR\t1/4/2011\t6/4/2011\t15/6/2011\n\tReport of the Committeeon the Elimination ofDiscrimination againstWomen, forty-sixthsession(12-30 July 2010),forty-seventh session(4-22 October 2010) andforty-eighth session (17January-4 February 2011)(Suppl. No. 38) \n\tA/66/181\t10/10/2011\tUN-Women\t25/7/2011\t25/7/2011\t\n\tReport ofSecretary-General on theimprovement of thesituation of women inrural areas \n\tA/66/212\t10/10/2011\tUN-Women\t29/7/2011\t29/7/2011\t\n\tReport ofSecretary-General onviolence against womenmigrant workers \n\tA/66/99\t10/10/2011\tOHCHR\t1/8/2011\t28/6/2011\t19/7/2011\n\tReport of theSecretary-General on thestatus of the Conventionon the Elimination of AllForms of Discriminationagainst Women \n(a)\tAdvancement of women \n\tA/66/215\t10/10/2011\tOHCHR\t1/8/2011\t1/8/2011\t\n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron violence againstwomen, its causes andconsequences \n(b)\tImplementation of theoutcome of the FourthWorld Conference on Womenand of the twenty-thirdspecial session of theGeneral Assembly \n\tA/66/211\t10/10/2011\tUN-Women\t29/7/2011\t29/7/2011\t\n\tReport of theSecretary-General onmeasures taken andprogress achieved infollow-up to theimplementation of theBeijing Declaration andPlatform for Action andthe outcomes of thetwenty-third specialsession of the GeneralAssembly \n29.\tReport of the SecurityCouncil \n\tA/66/2 (Suppl.)\t8/11/2011\tDPA\t2/9/2011 \n\tReport of the SecurityCouncil covering theperiod from 1 August 2010to 31 July 2011 (Suppl.No. 2) \n30.\tReport of thePeacebuilding Commission \n\tNo advance documentation\t6/10/2011 \n31.\tSupport by the UnitedNations system of theefforts of Governments topromote and consolidatenew or restoreddemocracies \n\tA/66/\t18/11/2011\tDPA\t7/9/2011 \n\tReport of theSecretary-General onsupport by the UnitedNations system of theefforts of Governments topromote and consolidatenew or restoreddemocracies \n32.\tThe role of diamonds infuelling conflict A/66/\t9/12/2011\tDemocratic Republicof \n theCongo \n\tReport by the Chair ofthe Kimberley Process onthe implementation of theProcess \n33.\tPrevention of armedconflict \n\tA/66/\t12/12/2011\tDPA \n\tReport of theSecretary-General onstrengthening the role ofmediation in peacefulsettlement of disputes,conflict prevention andresolution \n34.\tProtracted conflicts inthe GUAM area and theirimplications forinternational peace andsecurity \n\tA/66/\t12/12/2011\tUNHCR/DPKO \n\tReport of theSecretary-General on thestatus of internallydisplaced persons andrefugees from Abkhazia,Georgia, and theTskhinvali region/SouthOssetia, Georgia \n35.\tThe situation in theMiddle East \n\tA/66/ -S/2011/\t29/11/2011\tDPA\t19/9/2011 \n\tReport of theSecretary-General onefforts and developmentson peaceful settlement ofthe question of Palestine \n\tA/66/\t29/11/2011\tDPA\t19/9/2011 \n\tReport of theSecretary-General on thesituation in the MiddleEast \n36.\tQuestion of Palestine \n\tA/66/35 (Suppl.)\t28/11/2011\tDPA\t7/10/2011 \n\tReport of the Committeeon the Exercise of theInalienable Rights of thePalestinian People(Suppl. No. 35) \n\tA/66/ -S/2011/\t28/11/2011\tDPA \n\tReport of theSecretary-General onefforts and developmentson peaceful settlement ofthe question of Palestine \n37.\tThe situation inAfghanistan \n\tA/66/ -S/2011/\t23/11/2011\tDPKO\t23/9/2011 \n\tReport of theSecretary-General on thesituation in Afghanistanand its implications forinternational peace andsecurity \n38.\tThe situation in theoccupied territories ofAzerbaijan \n\tNo advance documentation\t12/12/2011 \n\tNo advance documentation\t12/12/2011 \n39.\tQuestion of the Comorianisland of Mayotte \n No advance documentation \n40.\tNecessity of ending theeconomic, commercial andfinancial embargo imposedby the United States ofAmerica against Cuba \n\tA/66/114\t25/10/2011\tDPA\t2/8/2011 \n\tReport of theSecretary-General on thenecessity of ending theeconomic, commercial andfinancial embargo imposedby the United States ofAmerica against Cuba \n41.\tThe situation in CentralAmerica: progress infashioning a region ofpeace, freedom, democracyand development \n\tA/66/ DPA \n\tReport of theSecretary-General on thework of the InternationalCommission againstImpunity in Guatemala \n42.\tQuestion of Cyprus \n No advance documentation \n43.\tArmed aggression againstthe Democratic Republicof the Congo \n No advance documentation \n44.\tQuestion of the FalklandIslands (Malvinas) \n No advance documentation \n45.\tThe situation ofdemocracy and humanrights in Haiti \n No advance documentation \n46.\tArmed Israeli aggressionagainst the Iraqi nuclearinstallations and itsgrave consequences forthe establishedinternational systemconcerning the peacefuluses of nuclear energy,the non-proliferation ofnuclear weapons andinternational peace andsecurity \n No advance documentation \n47.\tConsequences of the Iraqioccupation of andaggression against Kuwait \n No advance documentation \n48.\tAssistance in mine action \n\tA/66/\t28/10/2011\tDPKO\t10/8/2011 \n\tReport of theSecretary-General onassistance in mine action \n49.\tEffects of atomicradiation \n\tA/66/46 (Suppl.)\t21/10/2011\tUNSCEAR \n\tReport of the UnitedNations ScientificCommittee on the Effectsof Atomic Radiation,fifty-eighth session(Vienna, 23-27 May 2011)(Suppl. No. 46) \n50.\tInternational cooperationin the peaceful uses ofouter space \n\tA/66/20 (Suppl.)\t11/10/2011\tUNOOSA \n\tReport of the Committeeon the Peaceful Uses ofOuter Space, fifty-fourthsession (Vienna, 1-10June 2011) (Suppl. No.20) \n51.\tUnited Nations Relief andWorks Agency forPalestine Refugees in theNear East \n\tA/66/13 (Suppl.)\t31/10/2011\tUNRWA\t31/3/2011\t31/3/2011\t\n\tReport of theCommissioner-General ofthe United Nations Reliefand Works Agency forPalestine Refugees in theNear East (Suppl. No. 13) \n\tA/66/\t31/10/2011\tDPA\t22/8/2011 \n\tNote by theSecretary-Generaltransmitting thesixty-fifth report of theUnited NationsConciliation Commissionfor Palestine \n\tA/66/222\t31/10/2011\tUNRWA\t18/8/2011\t1/8/2011\t\n\tReport of theSecretary-General onpersons displaced as aresult of the June 1967and subsequenthostilities \n\tA/66/\t31/10/2011\tDPA\t22/8/2011 \n\tReport of theSecretary-General onPalestine refugees’properties and theirrevenues \n\tA/66/\t31/10/2011\tDPA\t29/9/2011 \n\tReport of the WorkingGroup on the Financing ofthe United Nations Reliefand Works Agency forPalestine Refugees in theNear East \n\tA/66/13/Add.1 (Suppl.)\t31/10/2011\tUNRWA\t16/8/2011 \n\tReport of theCommissioner-General ofthe United Nations Reliefand Works Agency forPalestine Refugees in theNear East (Suppl. No. 13)(addendum) \n52.\tReport of the SpecialCommittee to InvestigateIsraeli PracticesAffecting the HumanRights of the PalestinianPeople and Other Arabs ofthe Occupied Territories \n\tA/66/\t4/11/2011\tOHCHR\t26/8/2011 \n\tReport of theSecretary-General on thework of the SpecialCommittee to investigateIsraeli practicesaffecting the humanrights of the Palestinianpeople and other Arabs ofthe occupied territories \n\tA/66/\t4/11/2011\tOHCHR\t26/8/2011 \n\tNote by theSecretary-Generaltransmitting theforty-third report of theSpecial Committee toinvestigate Israelipractices affecting thehuman rights of thePalestinian people andother Arabs of theoccupied territories \n\tA/66/\t4/11/2011\tOHCHR\t26/8/2011 \n\tReport of theSecretary-General on theapplicability of theGeneva Conventionrelative to theProtection of CivilianPersons in Time of War,of 12 August 1949, to theOccupied PalestinianTerritory, including EastJerusalem, and the otheroccupied Arab territories \n\tA/66/\t4/11/2011\tOHCHR\t26/8/2011 \n\tReport of theSecretary-General onIsraeli settlements inthe Occupied PalestinianTerritory, including EastJerusalem, and theoccupied Syrian Golan \n\tA/66/\t4/11/2011\tOHCHR\t26/8/2011 \n\tReport of theSecretary-General onIsraeli practicesaffecting the humanrights of the Palestinianpeople in the OccupiedPalestinian Territory,including East Jerusalem \n\tA/66/\t4/11/2011\tOHCHR\t26/8/2011 \n\tReport Secretary-Generalon the occupied SyrianGolan \n53.\tComprehensive review ofthe whole question ofpeacekeeping operationsin all their aspects \n\tA/65/19 (Suppl.)\t24/10/2011\tDGACM\t12/5/2011\t12/5/2011\t20/6/2011\n\tReport of the SpecialCommittee on PeacekeepingOperations on the 2011substantive session (22February-18 March and 9May 2011) (Suppl. 19) \n54.\tQuestions relating toinformation \n\tA/66/21 (Suppl.)\t18/10/2011\tDPI\t1/6/2011\t26/5/2011\t24/6/2011\n\tReport on thethirty-third session ofthe Committee onInformation (27 April-6May 2011) (Suppl. No. 21) \n\tA/66/\t18/10/2011\tDPI\t9/8/2011 \n\tReport of theSecretary-General onquestions relating toinformation \n55.\tInformation fromNon-Self-GoverningTerritories transmittedunder Article 73 e of theCharter of the UnitedNations \n\tA/66/\t3/10/2011\tDPA\t14/3/2011 \n\tReport of theSecretary-General oninformation fromNon-Self-GoverningTerritories transmittedunder Article 73 e of theCharter of the UnitedNations \n57.\tImplementation of theDeclaration on theGranting of Independenceto Colonial Countries andPeoples by thespecialized agencies andthe internationalinstitutions associatedwith the United Nations \n\tA/66/23 (Suppl.)\t3/10/2011\tDGACM\t7/7/2011\t29/6/2011\t\n\tReport of the SpecialCommittee on theSituation with regard tothe Implementation of theDeclaration on theGranting of Independenceto Colonial Countries andPeoples for 2011 (NewYork, June/July 2011)(Suppl. No. 23) \n58.\tOffers by Member Statesof study and trainingfacilities forinhabitants ofNon-Self-GoverningTerritories \n\tA/66/\t3/10/2011\tDPA\t18/3/2011 \n\tReport of theSecretary-General onoffers by Member Statesof study and trainingfacilities forinhabitants ofNon-Self-GoverningTerritories \n59.\tImplementation of theDeclaration on theGranting of Independenceto Colonial Countries andPeoples \n\tA/66/\t3/10/2011\tDPA\t25/7/2011 \n\tReport of theSecretary-General on thequestion of WesternSahara \n60.\tQuestion of the Malagasyislands of Glorieuses,Juan de Nova, Europa andBassas da India \n No advance documentation \n61.\tPermanent sovereignty ofthe Palestinian people inthe Occupied PalestinianTerritory, including EastJerusalem, and of theArab population in theoccupied Syrian Golanover their naturalresources \n\tA/66/78-E/2011/13\t31/10/2011\tRCNYO\t9/5/2011\t6/5/2011\t25/5/2011\n\tNote by theSecretary-General on theeconomic and socialrepercussions of theIsraeli occupation on theliving conditions of thePalestinian people in theoccupied Palestinianterritory, including EastJerusalem, and of theArab population in theoccupied Syrian Golan \n62.\tReport of the UnitedNations High Commissionerfor Refugees, questionsrelating to refugees,returnees and displacedpersons and humanitarianquestions \n\tA/66/12 (Suppl.)\t2/11/2011\tUNHCR \n\tReport of the UnitedNations High Commissionerfor Refugees (Suppl. No.12) \n\tA/66/12/Add.1 (Suppl.)\t2/11/2011\tUNHCR \n\tReport of the ExecutiveCommittee of theProgramme of the UnitedNations High Commissionerfor Refugees (Geneva,sixty-first session,October 2011)(Suppl. No. 12A)(addendum 1) \n\tA/66/\t2/11/2011\tUNHCR\t22/8/2011 \n\tReport of theSecretary-General onassistance to refugees,returnees and displacedpersons in Africa \n63.\tNew Partnership forAfrica’s Development:progress inimplementation andinternational support \n\tA/66/202\t11/10/2011\tOSAA\t1/8/2011\t28/7/2011\t\n\tReport of theSecretary-General on theNew Partnership forAfrica’s Development:ninth consolidatedprogress report onimplementation andinternational support \n(b)\tCauses of conflict andthe promotion of durablepeace and sustainabledevelopment in Africa \n\tA/66/214-S/2011/476\t11/10/2011\tOSAA\t1/8/2011\t1/8/2011\t\n\tReport of theSecretary-General on theimplementation of therecommendations containedin the report of theSecretary-General on thecauses of conflict andthe promotion of durablepeace and sustainabledevelopment in Africa \n64.\tReport of the HumanRights Council \n\tA/66/53 (Suppl.)\t1/11/2011\tOHCHR \n\tReport of the HumanRights Council (Suppl.No. 53) \n\tA/66/53/Add.1 (Suppl.)\t1/11/2011\tOHCHR \n\tReport of the HumanRights Council (Suppl.No. 53A) (addendum) \n\tA/66/\t1/11/2011\tOHCHR\t23/8/2011 \n\tReport of theSecretary-General on theproclamation of 24 Marchas the International Dayfor the Right to theTruth concerning GrossHuman Rights Violationsand for the Dignity ofVictims \n\tA/66/\t1/11/2011\tOHCHR\t15/8/2011 \n\tReport of the HumanRights Council on itswork and functioning \n65.\tPromotion and protectionof the rights of children \n\tA/66/257\t12/10/2011\tUNICEF\t3/8/2011 \n\tReport of theSecretary-General on thegirl child \n(a)\tPromotion and protectionof the rights of children \n\tA/66/230\t12/10/2011\tOHCHR\t3/8/2011 \n\tReport of theSecretary-General on thestatus of the Conventionon the Rights of theChild \n\tA/66/\t12/10/2011\tOSRSG/CAC\t3/8/2011 \n\tReport of the SpecialRepresentative onChildren and ArmedConflict \n\tA/66/227\t12/10/2011\tOHCHR\t3/8/2011\t2/8/2011\t\n\tAnnual report of theSpecial Representative ofthe Secretary-General onviolence against children \n\tA/66/228\t12/10/2011\tOHCHR\t3/8/2011\t2/8/2011\t\n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the sale of children,child prostitution andchild pornography \n\tA/66/258\t12/10/2011\tUNICEF\t3/8/2011 \n\tReport of theSecretary-General on thefollow-up to the specialsession of the GeneralAssembly on children \n66.\tRights of indigenouspeoples \n\tNo advance documentation\t17/10/2011 \n67.\tElimination of racism,racial discrimination,xenophobia and relatedintolerance \n(a)\tElimination of racism,racial discrimination,xenophobia and relatedintolerance \n\tA/66/18 (Suppl.)\t31/10/2011\tOHCHR \n\tReport of the Committeeon the Elimination ofRacial Discrimination(Geneva, seventy-eighthsession, 14 February-11March 2011, andseventy-ninth session, 15August-8 September 2011)(Suppl. No. 18) \n\tA/66/\t31/10/2011\tOHCHR\t22/8/2011 \n\tReport of the SpecialRapporteur on theinadmissibility ofcertain practices thatcontribute to fuellingcontemporary forms ofracism, racialdiscrimination,xenophobia and relatedintolerance \n(b)\tComprehensiveimplementation of andfollow-up to the DurbanDeclaration and Programmeof Action \n\tA/66/\t31/10/2011\tOHCHR\t22/8/2011 \n\tReport of theSecretary-General on theglobal efforts for thetotal elimination ofracism, racialdiscrimination,xenophobia and relatedintolerance and thecomprehensiveimplementation of andfollow-up to the DurbanDeclaration and Programmeof Action \n68.\tRight of peoples toself-determination \n\tA/66/172\t31/10/2011\tOHCHR\t22/8/2011\t22/7/2011\t\n\tReport of theSecretary-General on theright of peoples toself-determination \n\tA/66/\t31/10/2011\tOHCHR\t22/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Working Group onthe use of mercenaries asa means of violatinghuman rights and impedingthe exercise of the rightof peoples toself-determination \n69.\tPromotion and protectionof human rights \n(a)\tImplementation of humanrights instruments \n\tA/66/44 (Suppl.)\t18/10/2011\tOHCHR \n\tReport of the Committeeagainst Torture (Suppl.No. 44) \n\tA/66/40 (Vol. I) (Suppl.)\t18/10/2011\tOHCHR \n\tReport of the HumanRights Committee (NewYork, 101st session, 14March-1 April 2011;Geneva, 102nd session,11-29 July 2011; and103rd session, 17October-4 November 2011)(Vol. I) (Suppl. No. 40) \n\tA/66/40 (Vol. II)(Suppl.)\t18/10/2011\tOHCHR \n\tReport of the HumanRights Committee (NewYork, 101st session, 14March-1 April 2011;Geneva, 102nd session,11-29 July 2011; and103rd session, 17October-4 November 2011)(Vol. II) (Suppl. No. 40) \n\tA/66/48 (Suppl.)\t18/10/2011\tOHCHR \n\tReport of the Committeeon the Protection of theRights of All MigrantWorkers and Members ofTheir Families (Suppl.No. 48) \n\tA/66/121\t18/10/2011\tDESA\t12/7/2011\t7/7/2011\t27/7/2011\n\tReport of theSecretary-General on thestatus of the Conventionon the Rights of Personswith Disabilities and theOptional Protocol thereto \n\tA/66/\t18/10/2011\tOHCHR\t9/8/2011 \n\tReport of theSecretary-General onmeasures taken to furtherimprove the effectivenessof, harmonizing andreforming the treaty bodysystem \n\tA/66/175\t18/10/2011\tOHCHR\t27/7/2011\t25/7/2011\t\n\tNote by theSecretary-Generaltransmitting the reportof the Chairs of thehuman rights treatybodies on theirtwenty-third meeting \n\tA/66/217\t18/10/2011\tOHCHR\t9/8/2011\t1/8/2011\t\n\tReport of theSecretary-General on thestatus of the UnitedNations Voluntary TrustFund on ContemporaryForms of Slavery \n\tA/66/\t18/10/2011\tOHCHR\t8/8/2011 \n\tReport of theSecretary-General on theoperations of the specialfund established by theOptional Protocol to theConvention againstTorture \n(b)\tHuman rights questions,including alternativeapproaches for improvingthe effective enjoymentof human rights andfundamental freedoms \n\tA/66/\t19/10/2011\tOHCHR\t9/8/2011 \n\tReport of theSecretary-General on theSubregional Centre forHuman Rights andDemocracy in CentralAfrica \n\tA/66/225\t19/10/2011\tOHCHR\t9/8/2011\t2/8/2011\t\n\tReport ofSecretary-General on thefollow-up to theInternational Year ofHuman Rights Learning \n\tA/66/\t19/10/2011\tOHCHR\t8/8/2011 \n\tReport of theSecretary-General on thenational institutions forthe promotion andprotection of humanrights \n\tA/66/\t19/10/2011\tDPA\t8/8/2011 \n\tReport of theSecretary-General onstrengthening the role ofthe United Nations inenhancing theeffectiveness of theprinciple of periodic andgenuine elections and thepromotion ofdemocratization \n\tA/66/\t19/10/2011\tOHCHR\t8/8/2011 \n\tReport of theSecretary-General on theprogramme of activitiesfor the InternationalYear for People ofAfrican Descent \n\tA/66/\t19/10/2011\tOHCHR\t8/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron torture and othercruel, inhuman ordegrading treatment orpunishment \n\tA/66/\t19/10/2011\tOHCHR\t8/8/2011 \n\tReport of theSecretary-General on theoperations of the UnitedNations Voluntary Fundfor Victims of Torture \n\tA/66/\t19/10/2011\tOHCHR\t25/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron extrajudicial, summaryor arbitrary executions \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tReport of theSecretary-General on theInternational Conventionfor the Protection of AllPersons from EnforcedDisappearance \n\tA/66/156\t19/10/2011\tOHCHR\t4/8/2011\t18/7/2011\t\n\tNote by theSecretary-Generaltransmitting the interimreport of the SpecialRapporteur on freedom ofreligion or belief \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tReport of theSecretary-General on thepromotion and protectionof human rights,including ways and meansto promote the humanrights of migrants \n\tA/66/\t19/10/2011\tOHCHR\t4/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the promotion andprotection of humanrights, including waysand means to promote thehuman rights of migrants \n\tA/66/\t19/10/2011\tOHCHR\t8/8/2011 \n\tReport of theSecretary-General onglobalization and itsimpact on the fullenjoyment of all humanrights \n\tA/66/\t19/10/2011\tOHCHR\t5/8/2011 \n\tReport of theSecretary-General onhuman rights andunilateral coercivemeasures \n\tA/66/216\t19/10/2011\tOHCHR\t5/8/2011\t1/8/2011\t\n\tReport of theSecretary-General on theright to development \n\tA/66/\t19/10/2011\tOHCHR\t5/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the right to food \n\tA/66/204\t19/10/2011\tOHCHR\t5/8/2011\t28/7/2011\t\n\tReport of theSecretary-General onprotecting human rightsand fundamental freedomswhile counteringterrorism \n\tA/66/\t19/10/2011\tOHCHR\t19/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the promotion andprotection of humanrights and fundamentalfreedoms while counteringterrorism \n\tA/66/\t19/10/2011\tOHCHR\t4/8/2011 \n\tReport of theSecretary-General oncombating defamation ofreligions \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tReport of the HumanRights Council on itswork and functioning \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the situation of humanrights and fundamentalfreedoms of indigenouspeople \n\tA/66/\t19/10/2011\tOHCHR\t8/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron adequate housing \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the promotion andprotection of the rightto freedom of expression \n\tA/66/203\t19/10/2011\tOHCHR\t10/8/2011\t28/7/2011\t\n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the situation of humanrights defenders \n\tA/66/\t19/10/2011\tOHCHR\t5/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the independent experton the question of humanrights and extremepoverty \n\tA/66/269\t19/10/2011\tOHCHR\t5/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the right to education \n\tA/66/\t19/10/2011\tOHCHR\t5/8/2011 \n\tNote by theSecretary-Generaltransmitting the interimreport of the SpecialRapporteur on the rightto health \n\tA/66/289\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the independence ofjudges and lawyers \n\tA/66/283\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron trafficking inpersons, especially womenand children \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the situation of humanrights in the PalestinianTerritories occupiedsince 1967 \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tReport of theSecretary-General on thestatus of the Conventionon the Rights of Personswith Disabilities and theOptional Protocol theretoand the implementation ofthe resolution \n\tA/66/\t19/10/2011\tOHCHR \n\tReport of the Committeeon Right of Persons withDisabilities \n\tA/66/161\t19/10/2011\tOHCHR\t10/8/2011\t20/7/2011\t\n\tReport of theSecretary-General onhuman rights and culturaldiversity \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof his representative onthe protection andassistance to internallydisplaced persons \n\tA/66/\t19/10/2011\tOHCHR\t4/8/2011 \n\tReport of the IndependentExpert on foreign debt \n\tA/66/\t19/10/2011\tOHCHR\t10/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the situation of humanrights in the IslamicRepublic of Iran \n(c)\tHuman rights situationsand reports of specialrapporteurs andrepresentatives \n\tA/66/\t19/10/2011\tOHCHR\t2/8/2011 \n\tReport of theSecretary-General on thesituation of human rightsin the DemocraticPeople’s Republic ofKorea \n\tA/66/\t19/10/2011\tOHCHR\t2/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the situation of humanrights in the DemocraticPeople’s Republic ofKorea \n\tA/66/\t19/10/2011\tDPA\t4/8/2011 \n\tReport of theSecretary-General on thesituation of human rightsin Myanmar \n\tA/66/\t19/10/2011\tOHCHR\t8/9/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the situation of humanrights in Myanmar \n\tA/66/\t19/10/2011\tOHCHR\t2/8/2011 \n\tReport of theSecretary-General on thesituation of human rightsin the Islamic Republicof Iran \n(d)\tComprehensiveimplementation of andfollow-up to the ViennaDeclaration and Programmeof Action \n\tA/66/36 (Suppl.)\t18/10/2011\tOHCHR\t9/8/2011 \n\tReport of the UnitedNations High Commissionerfor Human Rights (Suppl.No. 36) \n70.\tStrengthening of thecoordination ofhumanitarian and disasterrelief assistance of theUnited Nations, includingspecial economicassistance \n\tA/66/\t14/11/2011\tDSS\t1/9/2011 \n\tReport of theSecretary-General on thecomprehensive and updatedreport on the safety andsecurity of humanitarianpersonnel and protectionof United Nationspersonnel \n(a)\tStrengthening of thecoordination of emergencyhumanitarian assistanceof the United Nations \n\tA/66/\t14/11/2011\tOCHA\t16/9/2011 \n\tReport of theSecretary-General on theindependent review of theCentral EmergencyResponse Fund at the endof its fifth year ofoperations \n\tA/66/\t14/11/2011\tUNDP\t2/9/2011 \n\tReport of theSecretary-General oninternational cooperationand coordination for thehuman and ecologicalrehabilitation andeconomic development ofthe Semipalatinsk regionof Kazakhstan \n\tA/66/81-E/2011/117\t14/11/2011\tOCHA\t16/5/2011\t16/5/2011\t13/6/2011\n\tReport of theSecretary-General on thestrengthening of thecoordination of emergencyhumanitarian assistanceof the United Nations \n\tA/66/\t14/11/2011\tOCHA\t3/9/2011 \n\tReport of theSecretary-General oninternational cooperationon humanitarianassistance in the fieldof natural disasters,from relief todevelopment \n\tA/66/\t14/11/2011\tOCHA\t3/9/2011 \n\tReport of theSecretary-General on thehumanitarian assistanceand rehabilitation forselected countries andregions \n(b)\tAssistance to thePalestinian people \n\tA/66/80-E/2011/111\t14/11/2011\tDPA\t9/5/2011\t9/5/2011\t26/5/2011\n\tReport of theSecretary-General onassistance to thePalestinian people \n71.\tAssistance to survivorsof the 1994 genocide inRwanda, particularlyorphans, widows andvictims of sexualviolence \n\tA/66/\t14/11/2011\tOCHA\t3/9/2011 \n\tReport of theSecretary-General onassistance to survivorsof the 1994 genocide inRwanda, particularlyorphans, widows andvictims of sexualviolence \n72.\tReport of theInternational Court ofJustice \n\tA/66/4 (Suppl.)\t27/10/2011\tICJ\t8/8/2011 \n\tReport of theInternational Court ofJustice(Suppl. No. 4) \n73.\tReport of theInternational CriminalTribunal for theProsecution of PersonsResponsible for Genocideand Other SeriousViolations ofInternationalHumanitarian LawCommitted in theTerritory of Rwanda andRwandan CitizensResponsible for Genocideand Other Such ViolationsCommitted in theTerritory of NeighbouringStates between 1 Januaryand 31 December 1994 \n\tA/66/209-S/2011/452\t10/10/2011\tICTR\t29/7/2011\t29/7/2011\t\n\tNote by theSecretary-Generaltransmitting thesixteenth annual reportof the InternationalCriminal Tribunal for theProsecution of PersonsResponsible for Genocideand Other SeriousViolations ofInternationalHumanitarian LawCommitted in theTerritory of Rwanda andRwandan CitizensResponsible for Genocideand Other Such ViolationsCommitted in theTerritory of NeighbouringStates between 1 Januaryand 31 December 1994 \n74.\tReport of theInternational Tribunalfor the Prosecution ofPersons Responsible forSerious Violations ofInternationalHumanitarian LawCommitted in theTerritory of the FormerYugoslavia since 1991 \n\tA/66/210-S/2011/473\t10/10/2011\tICTY\t29/7/2011\t29/7/2011\t\n\tNote by theSecretary-General on theeighteenth annual reportof the InternationalTribunal for theProsecution of PersonsResponsible for SeriousViolations ofInternationalHumanitarian LawCommitted in theTerritory of the FormerYugoslavia since 1991 \n75.\tReport of theInternational CriminalCourt \n\tA/66/\t27/10/2011\tOLA\t16/8/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the InternationalCriminal Court on itsactivities for 2010-2011 \n\tA/66/\t27/10/2011\tOLA\t31/8/2011 \n\tReport of theSecretary-General onexpenses incurred andreimbursements receivedby the United Nations inconnection withassistance provided tothe InternationalCriminal Court \n76.\tOceans and the law of thesea \n(a)\tOceans and the law of thesea \n\tA/66/189\t7/12/2011\tOLA\t1/8/2011\t27/7/2011\t\n\tLetter dated 13 July 2011from the Co-Chairs of theAd Hoc Working Group ofthe Whole addressed tothe President of theGeneral Assembly,transmitting the reporton the Regular Processfor Global Reporting andAssessment of the MarineEnvironment, includingSocio‑economic Aspects \n\tA/66/186\t7/12/2011\tOLA\t25/7/2011\t25/7/2011\t\n\tLetter dated 22 July 2011from the Co-Chairs of theConsultative Processaddressed to thePresident of the GeneralAssembly transmitting thereport on the work of theUnited Nations Open-endedInformal ConsultativeProcess on Oceans and theLaw of the Sea at itstwelfth meeting \n\tA/66/119\t7/12/2011\tOLA\t30/6/2011\t30/6/2011\t21/7/2011\n\tLetter dated 30 June 2011from the Co-Chairs of theAd Hoc Open-endedInformal Working Group tothe President of theGeneral Assemblytransmitting itsrecommendations to studyissues relating to theconservation andsustainable use of marinebiological diversitybeyond areas of nationaljurisdiction \n\tA/66/70\t7/12/2011\tOLA\t21/3/2011 \n\tReport of theSecretary-General onoceans and the law of thesea \n\tA/66/70/Add.1\t7/12/2011\tOLA\t29/3/2011 \n\tReport of theSecretary-General onoceans and the law of thesea (addendum 1) \n\tA/66/70/Add.2\t7/12/2011\tOLA\t30/8/2011 \n\tReport of theSecretary-General onoceans and the law of thesea (addendum 2) \n(b)\tSustainable fisheries,including through the1995 Agreement for theImplementation of theProvisions of the UnitedNations Convention on theLaw of the Sea of 10December 1982 relating tothe Conservation andManagement of StraddlingFish Stocks and HighlyMigratory Fish Stocks,and related instruments \n\tA/66/\t7/12/2011\tOLA\t15/8/2011 \n\tReport of theSecretary-General onactions taken by Statesand regional fisheriesmanagement organizationsand arrangements inresponse to paragraphs 80and 83 to 87 of GeneralAssembly resolution61/105 and paragraphs 113to 117 and 119 to 127 ofGeneral Assemblyresolution 64/72 onsustainable fisheries,addressing the impacts ofbottom fishing onvulnerable marineecosystems and thelong-term sustainabilityof deep-sea fish stocks \n77.\tNationality of naturalpersons in relation tothe succession of States \n\tA/66/178\t17/10/2011\tOLA\t8/8/2011\t25/7/2011\t\n\tNote by the Secretariattransmitting the commentsreceived from Governmentson the nationality ofpersons in relation tothe succession of States \n78.\tCriminal accountabilityof United Nationsofficials and experts onmission \n\tA/66/174\t7/10/2011\tOLA\t29/7/2011\t25/7/2011\t\n\tReport of theSecretary-General oncriminal accountabilityof United Nationsofficials and experts onmission \n79.\tReport of the UnitedNations Commission onInternational Trade Lawon the work of itsforty-fourth session \n\tA/66/17 (Suppl.)\t10/10/2011\tOLA \n\tReport of the UnitedNations Commission onInternational Trade Lawon the work of itsforty-fourth session(Vienna, 27 June-15 July)(Suppl. No. 17) \n80.\tUnited Nations Programmeof Assistance in theTeaching, Study,Dissemination and WiderAppreciation ofInternational Law \n\tA/AC.117/2011/CRP.1\t14/10/2011\tOLA\t5/8/2011 \n\tDraft report of theSecretary-General on theUnited Nations Programmeof Assistance in theTeaching, Study,Dissemination and WiderAppreciation ofInternational Law \n81.\tReport of theInternational LawCommission on the work ofits sixty-third session \n\tA/66/10 (Suppl.)\t24/10/2011\tOLA\t22/8/2011 \n\tReport of theInternational LawCommission on the work ofits sixty-third session(Geneva, 26 April-3 Juneand 4 July-12 August2011) (Suppl. No. 10) \n82.\tReport of the SpecialCommittee on the Charterof the United Nations andon the Strengthening ofthe Role of theOrganization \n\tA/66/33 (Suppl.)\t6/10/2011\tOLA\t16/3/2011\t16/3/2011\t30/3/2011\n\tReport of the SpecialCommittee on the Charterof the United Nations andon the Strengthening ofthe Role of theOrganization (New York,28 February-4 March, 7and 9 March 2011) (Suppl.No. 33) \n\tA/66/201\t6/10/2011\tOLA\t28/7/2011\t27/7/2011\t\n\tReport of theSecretary-General on theRepertory of Practice ofUnited Nations Organs andthe Repertoire of thePractice of the SecurityCouncil \n\tA/66/213\t6/10/2011\tOLA\t9/8/2011\t29/7/2011\t\n\tReport of theSecretary-General on theimplementation of theprovisions of the Charterof the United Nationsrelated to assistance tothird States affected bythe application ofsanctions \n83.\tThe rule of law at thenational andinternational levels \n\tA/66/133\t5/10/2011\tEOSG 13/7/2011\t28/7/2011\n\tReport of theSecretary-General onstrengthening andcoordinating UnitedNations rule of lawactivities \n84.\tThe scope and applicationof the principle ofuniversal jurisdiction \n\tA/66/93\t12/10/2011\tOLA\t3/8/2011\t20/6/2011\t\n\tReport of theSecretary-Generalprepared on the basis ofcomments and observationsof Governments andobservers on the scopeand application of theprinciple of universaljurisdiction \n85.\tThe law of transboundaryaquifers \n\tA/66/116\t18/10/2011\tOLA\t29/7/2011\t29/6/2011\t27/7/2011\n\tReport of theSecretary-General on thelaw of transboundaryaquifers \n86.\tReport of theInternational AtomicEnergy Agency \n\tA/66/95\t1/11/2011\tIAEA\t16/8/2011\t22/6/2011\t27/6/2011\n\tNote by theSecretary-Generaltransmitting the reportof the InternationalAtomic Energy Agency \n87.\tReduction of militarybudgets \n\tA/66/117\t3/10/2011\tODA\t11/7/2011\t29/6/2011\t\n\tReport of theSecretary-General onobjective information onmilitary matters,including transparency ofmilitary expenditures \n(b)\tObjective information onmilitary matters,including transparency ofmilitary expenditures \n\tA/66/89\t3/10/2011\tODA\t17/6/2011\t14/6/2011\t11/7/2011\n\tNote by theSecretary-Generaltransmitting the reportof the group ofgovernmental experts onthe operation and furtherdevelopment of the UnitedNations StandardizedInstrument for ReportingMilitary Expenditures \n\tA/66/117/Add.1\t3/10/2011\tODA\t15/9/2011 \n\tReport of theSecretary-General onobjective information onmilitary matters,including transparency ofmilitary expenditures(addendum) \n88.\tProhibition of thedevelopment andmanufacture of new typesof weapons of massdestruction and newsystems of such weapons:report of the Conferenceon Disarmament \n\tNo advance documentation\t3/10/2011 \n89.\tImplementation of theDeclaration of the IndianOcean as a Zone of Peace \n\tA/66/29 (Suppl.)\t3/10/2011\tDGACM\t29/7/2011\t19/7/2011\t28/7/2011\n\tReport of the Ad HocCommittee on the IndianOcean (Suppl. No. 29) \n90.\tAfricanNuclear-Weapon-Free ZoneTreaty \n\tNo advance documentation\t3/10/2011\tODA \n91.\tVerification in all itsaspects, including therole of the UnitedNations in the field ofverification \n\tNo advance documentation\t3/10/2011\tODA \n92.\tReview of theimplementation of theDeclaration on theStrengthening ofInternational Security \n\tNo advance documentation\t3/10/2011\tODA \n93.\tDevelopments in the fieldof information andtelecommunications in thecontext of internationalsecurity \n\tA/66/152\t3/10/2011\tODA\t25/7/2011\t15/7/2011\t\n\tReport of theSecretary-General ondevelopments in the fieldof information andtelecommunications in thecontext of internationalsecurity \n\tA/66/152/Add.1\t3/10/2011\tODA\t21/9/2011 \n\tReport of theSecretary-General ondevelopments in the fieldof information andtelecommunications in thecontext of internationalsecurity (addendum) \n94.\tEstablishment of anuclear-weapon-free zonein the region of theMiddle East \n\tA/66/153 (Part I)\t3/10/2011\tODA\t25/7/2011\t15/7/2011\t\n\tReport of theSecretary-General onestablishment of anuclear-weapon-free zonein the region of theMiddle East (Part I) \n\tA/66/153 (Part I)/Add.1\t3/10/2011\tODA\t19/9/2011 \n\tReport of theSecretary-General onestablishment of anuclear-weapon-free zonein the region of theMiddle East (Part I)(addendum) \n95.\tConclusion of effectiveinternationalarrangements to assurenon-nuclear-weapon Statesagainst the use or threatof use of nuclear weapons \n\tNo advance documentation\t3/10/2011\tODA \n96.\tPrevention of an armsrace in outer space \n\tNo advance documentation\t3/10/2011\tODA \n97.\tRole of science andtechnology in the contextof international securityand disarmament \n\tNo advance documentation\t3/10/2011\tODA \n98.\tGeneral and completedisarmament \n\tA/66/176\t3/10/2011\tODA\t25/7/2011\t25/7/2011\t\n\tReport of theSecretary-General oninformation onconfidence-buildingmeasures in the field ofconventional arms \n\tNo advance documentation\t3/10/2011\tODA \n\tA/66/176/Add.1\t3/10/2011\tODA\t21/9/2011 \n\tReport of theSecretary-General oninformation onconfidence-buildingmeasures in the field ofconventional arms(addendum) \n\tA/66/171\t3/10/2011\tODA\t25/7/2011\t22/7/2011\t\n\tNote by theSecretary-Generaltransmitting the annualreport of theOrganization for theProhibition of ChemicalWeapons \n(e)\tTowards an arms tradetreaty: establishingcommon internationalstandards for the import,export and transfer ofconventional arms \n\tA/66/166\t3/10/2011\tODA\t25/7/2011\t20/7/2011\t\n\tReport of theSecretary-General on thearms trade treaty: viewsof Member States \n\tA/66/166/Add.1\t3/10/2011\tODA\t21/9/2011 \n\tReport of theSecretary-General on thearms trade treaty: viewsof Member States(addendum) \n(g)\tTransparency in armaments \n\tA/66/127\t3/10/2011\tODA\t18/7/2011\t12/7/2011\t\n\tReport of theSecretary-General on theUnited Nations Registerof Conventional Arms \n\tA/66/127/Add.1\t3/10/2011\tODA\t21/9/2011 \n\tReport of theSecretary-General on theUnited Nations Registerof Conventional Arms(addendum) \n(h)\tRegional disarmament \n\tNo advance documentation\t3/10/2011\tODA \n(i)\tConventional arms controlat the regional andsubregional levels \n\tA/66/154\t3/10/2011\tODA\t25/7/2011\t15/7/2011\t\n\tReport of theSecretary-General onconventional arms controlat the regional andsubregional levels \n\tA/66/154/Add.1\t3/10/2011\tODA\t19/9/2011 \n\tReport of theSecretary-General onconventional arms controlat the regional andsubregional levels(addendum) \n(j)\tConfidence-buildingmeasures in the regionaland subregional context \n\tA/66/112\t3/10/2011\tODA\t25/7/2011\t28/6/2011\t21/7/2011\n\tReport of theSecretary-General onconfidence-buildingmeasures in the regionaland subregional context \n\tA/66/112/Add.1\t3/10/2011\tODA\t15/9/2011 \n\tReport of theSecretary-General onconfidence-buildingmeasures in the regionaland subregional context(addendum) \n(k)\tAssistance to States forcurbing the illicittraffic in small arms andlight weapons andcollecting them \n\tA/66/177\t3/10/2011\tODA\t25/7/2011\t25/7/2011\t\n\tReport of theSecretary-General onassistance to States forcurbing the illicittraffic in small arms andlight weapons andcollecting them; theillicit trade in smallarms and light weapons inall its aspects \n(l)\tRelationship betweendisarmament anddevelopment \n\tA/66/168\t3/10/2011\tODA\t25/7/2011\t21/7/2011\t\n\tReport of theSecretary-General on therelationship betweendisarmament anddevelopment \n\tA/66/168/Add.1\t3/10/2011\tODA\t15/9/2011 \n\tReport of theSecretary-General on therelationship betweendisarmament anddevelopment (addendum) \n(m)\tObservance ofenvironmental norms inthe drafting andimplementation ofagreements on disarmamentand arms control \n\tA/66/97\t3/10/2011\tODA\t25/7/2011\t27/6/2011\t22/7/2011\n\tReport of theSecretary-General on theobservance ofenvironmental norms inthe drafting andimplementation ofagreements on disarmamentand arms control \n\tA/66/97/Add.1\t3/10/2011\tODA\t19/9/2011 \n\tReport of theSecretary-General on theobservance ofenvironmental norms inthe drafting andimplementation ofagreements on disarmamentand arms control(addendum) \n(n)\tPromotion ofmultilateralism in thearea of disarmament andnon-proliferation \n\tA/66/111\t3/10/2011\tODA\t25/7/2011\t28/6/2011\t21/7/2011\n\tReport of theSecretary-General on thepromotion ofmultilateralism in thearea of disarmament andnon‑proliferation \n\tA/66/111/Add.1\t3/10/2011\tODA\t19/9/2011 \n\tReport of theSecretary-General on thepromotion ofmultilateralism in thearea of disarmament andnon‑proliferation(addendum) \n(o)\tNuclear disarmament \n\tA/66/132\t3/10/2011\tODA\t25/7/2011\t13/7/2011\t\n\tReport of theSecretary-General onnuclear disarmament;reducing nuclear danger;follow-up to the advisoryopinion of theInternational Court ofJustice on the Legalityof the Threat or Use ofNuclear Weapons \n\tA/66/132/Add.1\t3/10/2011\tODA\t19/9/2011 \n\tReport of theSecretary-General onnuclear disarmament;reducing nuclear danger;follow-up to the advisoryopinion of theInternational Court ofJustice on the Legalityof the Threat or Use ofNuclear Weapons(addendum) \n(p)\tImplementation of theConvention on theProhibition of theDevelopment, Production,Stockpiling and Use ofChemical Weapons and onTheir Destruction \n\tNo advance documentation\t3/10/2011\tODA \n(q)\tTowards anuclear-weapon-freeworld: accelerating theimplementation of nucleardisarmament commitments \n\tNo advance documentation\t3/10/2011\tODA \n(s)\tMeasures to preventterrorists from acquiringweapons of massdestruction \n\tA/66/115\t3/10/2011\tODA\t25/7/2011\t29/6/2011\t26/7/2011\n\tReport of theSecretary-General onmeasures to preventterrorists from acquiringweapons of massdestruction \n\tA/66/115/Add.1\t3/10/2011\tODA\t19/9/2011 \n\tReport of theSecretary-General onmeasures to preventterrorists from acquiringweapons of massdestruction (addendum) \n(t)\tThe illicit trade insmall arms and lightweapons in all itsaspects \n\tA/66/177\t3/10/2011\tODA\t25/7/2011 \n\tReport of theSecretary-General onassistance to States forcurbing the illicittraffic in small arms andlight weapons andcollecting them; theillicit trade in smallarms and light weapons inall its aspects (alsounder item 98 (k)) \n(u)\tTreaty banning theproduction of fissilematerial for nuclearweapons or other nuclearexplosive devices \n\tNo advance documentation\t3/10/2011\tODA \n(v)\tTransparency andconfidence-buildingmeasures in outer spaceactivities \n\tNo advance documentation\t3/10/2011 \n(w)\tUnited action towards thetotal elimination ofnuclear weapons \n\tNo advance documentation\t3/10/2011\tODA \n(y)\tMissiles \n\tNo advance documentation\t3/10/2011\tODA \n99.\tReview and implementationof the ConcludingDocument of the TwelfthSpecial Session of theGeneral Assembly \n(a)\tUnited Nations RegionalCentre for Peace andDisarmament in Africa \n\tA/66/159\t3/10/2011\tODA\t25/7/2011\t19/7/2011\t\n\tReport of theSecretary-General on theUnited Nations RegionalCentre for Peace andDisarmament in Africa \n(b)\tUnited Nations regionalcentres for peace anddisarmament \n\tNo advance documentation\t3/10/2011\tODA \n(c)\tUnited Nations RegionalCentre for Peace,Disarmament andDevelopment in LatinAmerica and the Caribbean \n\tA/66/140\t3/10/2011\tODA\t25/7/2011\t14/7/2011\t\n\tReport of theSecretary-General on theUnited Nations RegionalCentre for Peace,Disarmament andDevelopment in LatinAmerica and the Caribbean \n(e)\tUnited Nations RegionalCentre for Peace andDisarmament in Asia andthe Pacific \n\tA/66/113\t3/10/2011\tODA\t25/7/2011\t28/6/2011\t13/7/2011\n\tReport of theSecretary-General on theUnited Nations RegionalCentre for Peace andDisarmament in Asia andthe Pacific \n(f)\tRegionalconfidence-buildingmeasures: activities ofthe United NationsStanding AdvisoryCommittee on SecurityQuestions in CentralAfrica \n\tA/66/163\t3/10/2011\tODA\t25/7/2011\t20/7/2011\t\n\tReport of theSecretary-General onregionalconfidence-buildingmeasures: activities ofthe United NationsStanding AdvisoryCommittee on SecurityQuestions in CentralAfrica \n100.\tReview of theimplementation of therecommendations anddecisions adopted by theGeneral Assembly at itstenth special session \n\tA/66/123\t3/10/2011\tODA\t29/7/2011\t11/7/2011\t25/7/2011\n\tNote by theSecretary-Generaltransmitting the reportof the United NationsInstitute for DisarmamentResearch \n\tA/66/125\t3/10/2011\tODA\t29/7/2011\t11/7/2011\t19/7/2011\n\tReport of theSecretary-General on thework of the AdvisoryBoard on DisarmamentMatters \n(a)\tReport of the Conferenceon Disarmament \n\tA/66/27 (Suppl.)\t3/10/2011\tODA \n\tReport of the Conferenceon Disarmament (Geneva,August-September 2011)(Suppl. No. 27) \n(b)\tReport of the DisarmamentCommission \n\tA/66/42 (Suppl.)\t3/10/2011\tDGACM\t29/4/2011\t21/4/2011\t4/5/2011\n\tReport of the DisarmamentCommission (4-21 April2011) (Suppl. No. 42) \n101.\tThe risk of nuclearproliferation in theMiddle East \n\tA/66/\t3/10/2011\tODA\t11/10/2011 \n\tReport of theSecretary-General on therisk of nuclearproliferation in theMiddle East \n102.\tConvention onProhibitions orRestrictions on the Useof Certain ConventionalWeapons Which May BeDeemed to Be ExcessivelyInjurious or to HaveIndiscriminate Effects \n\tNo advance documentation\t3/10/2011\tODA \n103.\tStrengthening of securityand cooperation in theMediterranean region \n\tA/66/122\t3/10/2011\tODA\t25/7/2011\t8/7/2011\t27/7/2011\n\tReport of theSecretary-General on thestrengthening of securityand cooperation in theMediterranean region \n\tA/66/122/Add.1\t3/10/2011\tODA\t15/9/2011 \n\tReport of theSecretary-General on thestrengthening of securityand cooperation in theMediterranean region(addendum) \n104.\tComprehensiveNuclear-Test-Ban Treaty \n\tA/66/155\t3/10/2011\tODA\t25/7/2011\t15/7/2011\t\n\tReport of theSecretary-General on theComprehensiveNuclear-Test-Ban Treaty \n\tA/66/155/Add.1\t3/10/2011\tODA\t21/9/2011 \n\tReport of theSecretary-General on theComprehensiveNuclear-Test-Ban Treaty(addendum) \n\tA/66/165\t3/10/2011\tODA\t25/7/2011\t20/7/2011\t\n\tNote by theSecretary-Generaltransmitting the annualreport of the PreparatoryCommission for theComprehensiveNuclear-Test-Ban TreatyOrganization \n105.\tConvention on theProhibition of theDevelopment, Productionand Stockpiling ofBacteriological(Biological) and ToxinWeapons and on TheirDestruction \n\tNo advance documentation\t3/10/2011\tODA \n106.\tRevitalizing the work ofthe Conference onDisarmament and takingforward multilateraldisarmament negotiations \n\tNo advance documentation\t3/10/2011\tODA \n107.\tCrime prevention andcriminal justice \n\tA/66/\t5/10/2011\tUNODC \n\tReport of theSecretary-General on thefollow-up to the TwelfthUnited Nations Congresson Crime Prevention andCriminal Justice andpreparations for theThirteenth United NationsCongress on CrimePrevention and CriminalJustice \n\tA/66/\t5/10/2011\tUNODC \n\tReport of the UnitedNations African Institutefor the Prevention ofCrime and the Treatmentof Offenders \n\tA/66/\t5/10/2011\tUNODC \n\tReport of theSecretary-General onstrengthening the UnitedNations crime preventionand criminal justiceprogramme, in particularits technical cooperationcapacity \n\tA/66/92\t5/10/2011\tUNODC \n\tNote by theSecretary-Generaltransmitting the reportof the Conference of theParties to the UnitedNations Conventionagainst TransnationalOrganized Crime \n108.\tInternational drugcontrol \n\tA/66/\t5/10/2011\tUNODC \n\tReport of theSecretary-General oninternational cooperationagainst the world drugproblem \n109.\tMeasures to eliminateinternational terrorism \n\tA/66/37 (Suppl.)\t3/10/2011\tOLA\t22/4/2011\t25/4/2011\t17/5/2011\n\tReport of the Ad HocCommittee established byGeneral Assemblyresolution 51/210 of 17December 1996 (New York,11-15 April 2011) (Suppl.No. 37) \n\tA/66/96\t3/10/2011\tOLA\t29/7/2011\t24/6/2011\t26/7/2011\n\tReport of theSecretary-General onmeasures to eliminateinternational terrorism \n110.\tReport of theSecretary-General on thework of the Organization \n\tA/66/1 (Suppl.)\t4/10/2011\tEOSG\t25/7/2011\t25/7/2011\t\n\tReport of theSecretary-General on thework of the Organization(Suppl. No. 1) \n111.\tReport of theSecretary-General on thePeacebuilding Fund \n\tNo advance documentation\t6/10/2011 \n112.\tNotification by theSecretary-General underArticle 12, paragraph 2,of the Charter of theUnited Nations \n\tA/66/300\t8/11/2011\tDPA\t30/8/2011 \n\tReport of theSecretary-General onnotification by theSecretary-General underArticle 12, paragraph 2,of the Charter of theUnited Nations \n113.\tElections to fillvacancies in principalorgans \n(c)\tElection of five membersof the InternationalCourt of Justice \n\tA/66/182-S/2011/452\t10/11/2011\tOLA\t25/7/2011\t25/7/2011\t\n\tMemorandum by theSecretary-General on theelection of five membersof the InternationalCourt of Justice \n\tA/66/183-S/2011/453\t10/11/2011\tOLA\t25/7/2011\t25/7/2011\t\n\tNote by theSecretary-Generaltransmitting the list ofcandidates nominated bynational groups \n\tA/66/184-S/2011/454\t10/11/2011\tOLA\t25/7/2011\t25/7/2011\t\n\tNote by theSecretary-Generaltransmitting thecurricula vitae ofcandidates nominated bynational groups \n114.\tElections to fillvacancies in subsidiaryorgans and otherelections \n(b)\tElection of the membersof the International LawCommission \n\tA/66/88\t16/11/2011\tOLA\t13/6/2011\t7/6/2011\t10/6/2011\n\tNote by theSecretary-General on theelection of the membersof the International LawCommission transmittingthe list of candidatesnominated by Governments \n\tA/66/88/Add.1\t16/11/2011\tOLA 17/6/2011\t17/6/2011\n\tNote by theSecretary-General on theelection of the membersof the International LawCommission transmittingthe list of candidatesnominated by Governments(addendum 1) \n\tA/66/88/Add.2\t16/11/2011\tOLA \n\tNote by theSecretary-General on theelection of the membersof the International LawCommission transmittingthe list of candidatesnominated by Governments(addendum 2) \n\tA/66/88/Add.3\t16/11/2011\tOLA \n\tNote by theSecretary-General on theelection of the membersof the International LawCommission transmittingthe list of candidatesnominated by Governments(addendum 3) \n\tA/66/90\t16/11/2011\tOLA\t30/6/2011\t17/6/2011\t\n\tNote by theSecretary-General on theelection of the membersof the International LawCommission transmittingthe curricula vitae ofcandidates nominated byGovernments \n\tA/66/\t16/11/2011\tOLA\t31/10/2011 \n\tNote by theSecretary-General on theelection of the membersof the International LawCommission transmittingthe consolidated list ofmembers \n\tA/66/90/Add.1\t16/11/2011\tOLA\t29/7/2011\t28/6/2011\t\n\tNote by theSecretary-Generaltransmitting thecurricula vitae ofcandidates for theelection of the membersof the International LawCommission (addendum) \n115.\tAppointments to fillvacancies in subsidiaryorgans and otherappointments \n(a)\tAppointment of members ofthe Advisory Committee onAdministrative andBudgetary Questions \n\tA/66/101\t3/11/2011\tDM\t15/3/2011\t15/3/2011\t17/3/2011\n\tNote by theSecretary-General on theappointment of members ofthe Advisory Committee onAdministrative andBudgetary Questions \n(b)\tAppointment of members ofthe Committee onContributions \n\tA/66/102\t3/11/2011\tDM\t15/3/2011\t15/3/2011\t18/3/2011\n\tNote by theSecretary-General on theappointment of members ofthe Committee onContributions \n(c)\tConfirmation of theappointment of members ofthe Investments Committee \n\tA/66/103\t3/11/2011\tDM\t15/3/2011\t15/3/2011\t18/3/2011\n\tNote by theSecretary-General on theconfirmation of theappointment of members ofthe Investments Committee \n(d)\tAppointment of a memberof the Board of Auditors \n\tA/66/104\t3/11/2011\tDM\t15/3/2011\t15/3/2011\t17/3/2011\n\tNote by theSecretary-General on theappointment of a memberof the Board of Auditors \n(e)\tAppointment of members ofthe Independent AuditAdvisory Committee \n\tA/66/105\t3/11/2011\tDM\t15/3/2011\t15/3/2011\t18/3/2011\n\tNote by theSecretary-General on theappointment of members ofthe Independent AuditAdvisory Committee \n(f)\tAppointment of members ofthe Committee onConferences \n\tA/66/107\t1/12/2011\tDGACM\t6/6/2011\t6/6/2011\t10/6/2011\n\tNote by theSecretary-General on theappointment of members ofthe Committee onConferences \n(g)\tAppointment of members ofthe Joint Inspection Unit \n\tA/66/106\t1/12/2011\tDM\t17/6/2011\t16/6/2011\t22/6/2011\n\tNote by theSecretary-General on theappointment of members ofthe Joint Inspection Unit \n(h)\tApproval of theappointment of the UnitedNations High Commissionerfor Human Rights \n\tA/66/108\t13/12/2011\tEOSG\t19/8/2011 \n\tNote by theSecretary-General on theapproval of theappointment of the UnitedNations High Commissionerfor Human Rights \n(i)\tAppointment the judges ofthe United NationsDispute Tribunal \n\tA/66/109\t13/12/2011\tOAJ \n\tNote by theSecretary-General on theappointment of the judgesof the United NationsDispute Tribunal \n(j)\tAppointment of the judgesof the United NationsAppeals Tribunal \n\tA/66/110\t13/12/2011\tOAJ \n\tNote by theSecretary-General on theappointment of the judgesof the United NationsAppeals Tribunal \n116.\tAdmission of new Membersto the United Nations \n No advance documentation \n117.\tFollow-up to the outcomeof the Millennium Summit \n\tA/66/\t19/9/2011\tOHCHR \n\tNote by theSecretary-Generaltransmitting the reportof the Special Rapporteuron the right toeducation: the right toeducation in emergencysituations \n\tA/66/126\t19/9/2011\tDESA\t11/7/2011\t11/7/2011\t2/8/2011\n\tAnnual report of theSecretary-General onaccelerating progresstowards the MillenniumDevelopment Goals:options for sustained andinclusive growth andissues for advancing theUnited Nationsdevelopment agenda beyond2015 \n\tA/66/\t19/9/2011\tUN-Women \n\tComprehensive report ofthe Secretary-General onthe proposal on the newgender entity \n\tA/66/\t19/9/2011\tDESA \n\tReport of theSecretary-General onsystem-wide coherence \n\tA/66/83\t19/9/2011\tDESA\t2/5/2011\t19/5/2011\t\n\tReport of theSecretary-General on theprevention and control ofnon-communicable diseases \n\tA/66/120\t19/9/2011\tUN-Women\t8/7/2011\t1/7/2011\t28/7/2011\n\tReport of theSecretary-Generalstrengthening theinstitutionalarrangements for supportof gender equality andthe empowerment of women \n\tA/66/\t15/11/2011\tDESA\t6/9/2011 \n\tReport of theSecretary-General onlegal empowerment of thepoor and eradication ofpoverty \n119.\tFollow-up to thecommemoration of thetwo‑hundredth anniversaryof the abolition of thetransatlantic slave trade \n\tA/66/\t8/12/2011\tDPI\t29/9/2011 \n\tReport of theSecretary-General oncontinued action toimplement the programmeof educational outreachto mobilize, inter alia,educational institutionsand civil society on thesubject of rememberingthe transatlantic slavetrade and slavery \n\tA/66/162\t8/12/2011\tUNFIP\t26/7/2011\t20/7/2011\t29/7/2011\n\tReport of theSecretary-General on thepermanent memorial to andremembrance of thevictims of slavery andthe transatlantic slavetrade: status of theUnited Nations Trust Fundfor Partnerships —Permanent Memorial \n120.\tImplementation of theresolutions of the UnitedNations \n\tNo advance documentation\t22/11/2011 \n121.\tRevitalization of thework of the GeneralAssembly \n\tNo advance documentation\t22/11/2011 \n122.\tQuestion of equitablerepresentation on andincrease in themembership of theSecurity Council andrelated matters \n\tNo advance documentation\t8/11/2011 \n123.\tStrengthening of theUnited Nations system \n(a)\tStrengthening of theUnited Nations system \n\tA/66/\t22/11/2011\tDPKO\t15/8/2011 \n\tReport of theSecretary-General on thecivilian capacity \n(b)\tCentral role of theUnited Nations system inglobal governance \n\tA/66/\t22/11/2011\tDESA\t31/8/2011 \n\tReport of theSecretary-General onglobal economicgovernance anddevelopment \n124.\tUnited Nations reform:measures and proposals \n No advance documentation \n125.\tFollow-up to therecommendations onadministrative managementand internal oversight ofthe Independent InquiryCommittee into the UnitedNations Oil-for-FoodProgramme \n No advance documentation \n126.\tGlobal health and foreignpolicy \n\tA/66/\t8/12/2011\tDESA\t28/9/2011 \n\tNote by theSecretary-Generaltransmitting the reportof the World HealthOrganization on globalhealth and foreign policy \n127.\tInternational CriminalTribunal for theProsecution of PersonsResponsible for Genocideand Other SeriousViolations ofInternationalHumanitarian LawCommitted in theTerritory of Rwanda andRwandan CitizensResponsible for Genocideand Other Such ViolationsCommitted in theTerritory of NeighbouringStates between 1 Januaryand 31 December 1994 \n No advance documentation \n128.\tInternational Tribunalfor the Prosecution ofPersons Responsible forSerious Violations ofInternationalHumanitarian LawCommitted in theTerritory of the FormerYugoslavia since 1991 \n No advance documentation \n129.\tInternational residualmechanism for criminaltribunals \n No advance documentation \n130.\tInteraction between theUnited Nations, nationalparliaments and theInter-Parliamentary Union \n\tNo advance documentation\t2/12/2011 \n131.\tFinancial reports andaudited financialstatements, and reportsof the Board of Auditors \n\tA/66/151 BOA\t18/7/2011\t14/7/2011\t\n\tNote by theSecretary-Generaltransmitting the reporton progress in theimplementation of theInternational PublicSector AccountingStandards \n A/66/ DM \n\tReport of theSecretary-General on theimplementation of therecommendations of theBoard of Auditorscontained in its reporton the capital masterplan for the year ended31 December 2011 \n(b)\tVoluntary fundsadministered by theUnited Nations HighCommissioner for Refugees \n\tA/66/5/Add.5 (Suppl.) BOA\t18/7/2011\t14/7/2011\t\n\tVoluntary fundsadministered by theUnited Nations HighCommissioner for Refugees(Suppl. No. 5E) (addendum5) \n\tA/66/139 BOA\t18/7/2011\t14/7/2011\t\n\tNote by theSecretary-Generaltransmitting the reportof the Board of Auditorson implementation of itsrecommendations relatingto the biennium 2008-2009 \n(c)\tCapital master plan \n\tA/66/5 (Vol. V) (Suppl.) BOA\t18/7/2011\t7/7/2011\t\n\tReport of the Board ofAuditors for the yearended 31 December 2010 onthe capital master plan(Vol. V) (Suppl. No. 5) \n132.\tReview of the efficiencyof the administrative andfinancial functioning ofthe United Nations \n\tA/66/16 (Suppl.) DM\t8/7/2011\t5/7/2011\t7/7/2011\n\tReport of the Committeefor Programme andCoordination on itsfifty-first session (6June-1 July 2011) (Suppl.No. 16) \n\tA/66/299 IAAC\t11/8/2011 \n\tReport of the IndependentAudit Advisory Committeeon its activities for theperiod from 1 August 2010to 31 July 2011 \n133.\tProgramme budget for thebiennium 2010-2011 \n\tA/66/ DM\t11/11/2011 \n\tReport of theSecretary-General on thesecond performance reportfor the programme budgetfor the biennium2010-2011 \n\tA/66/188 UNFIP\t27/7/2011\t27/7/2011\t\n\tReport of theSecretary-General on theUnited Nations Office forPartnerships \n\tA/66/82 DM\t18/5/2011\t18/5/2011\t31/5/2011\n\tReport of theSecretary-General on theconsolidated report onthe changes to thebiennial programme planas reflected in theprogramme budget for thebiennium 2010-2011 andthe proposed programmebudget for the biennium2012-2013 \n\tA/66/ DM\t10/10/2011 \n\tReport of theSecretary-General on theninth annual progressreport on theimplementation of thecapital master plan \n\tA/66/ DM\t30/9/2011 \n\tReport of theSecretary-General onproposals for financingassociated costs relatedto the capital masterplan \n134.\tProposed programme budgetfor the biennium2012‑2013 \n\tA/66/7 (Suppl.) ACABQ\t10/8/2011 \n\tFirst report of theAdvisory Committee onAdministrative andBudgetary Questions onthe proposed programmebudget for the biennium2012-2013 (Suppl. No. 7) \n A/66/6 (Introduction) DM \n\tProposed programme budgetfor the biennium2012‑2013: Foreword andintroduction \n\tA/66/6 (Sect. 1) DM\t28/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 1,Overall policymaking,direction andcoordination \n\tA/66/6 (Sect. 2) DM\t4/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 2,General Assembly andEconomic and SocialCouncil Affairs andconference management \n\tA/66/6 (Sect. 3) DM\t25/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 3,Political affairs \n\tA/66/6 (Sect. 4) DM\t1/4/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 4,Disarmament \n\tA/66/6 (Sect. 5) DM\t16/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 5,Peacekeeping operations \n\tA/66/6 (Sect. 6) DM\t31/3/2011\t17/3/2011\t13/4/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 6,Peaceful uses of outerspace \n\tA/66/6 (Sect. 7) DM\t31/3/2011\t17/3/2011\t24/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 7,International Court ofJustice \n\tA/66/6 (Sect. 8) andCorr.1 DM\t4/4/2011 24/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 8,Legal affairs \n\tA/66/6 (Sect. 9) DM\t4/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 9,Economic and socialaffairs \n\tA/66/6 (Sect. 10) DM\t7/4/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 10,Least developedcountries, landlockeddeveloping countries andsmall island developingStates \n\tA/66/6 (Sect. 11) DM\t8/4/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 11,United Nations supportfor the New Partnershipfor Africa’s Development \n\tA/66/6 (Sect. 12) DM\t11/4/2011 27/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 12,Trade and development \n\tA/66/6 (Sect. 13) DM\t1/4/2011 20/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 13,International TradeCentre \n\tA/66/6 (Sect. 13) DM\t5/9/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 13,International TradeCentre (addendum) \n\tA/66/6 (Sect. 14) DM\t15/4/2011 11/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 14,Environment \n\tA/66/6 (Sect. 15) DM\t27/4/2011 18/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 15,Human settlements \n\tA/66/6 (Sect. 16) andCorr.1 DM\t22/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 16,International drugcontrol, crime andterrorism prevention andcriminal justice \n\tA/66/6 (Sect. 17) DM\t2/5/2011 24/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 17,UN-Women \n\tA/66/6 (Sect. 18) DM\t25/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 18,Economic and socialdevelopment in Africa \n\tA/66/6 (Sect. 19) DM\t20/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 19,Economic and socialdevelopment in Asia andthe Pacific \n\tA/66/6 (Sect. 20) DM\t11/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 20,Economic development inEurope \n\tA/66/6 (Sect. 21) DM\t18/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 21,Economic and socialdevelopment in LatinAmerica and the Caribbean \n\tA/66/6 (Sect. 22) DM\t14/4/2011 26/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 22,Economic and socialdevelopment in WesternAsia \n\tA/66/6 (Sect. 23) DM\t4/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 23,Regular programme oftechnical cooperation \n\tA/66/6 (Sect. 24) DM\t22/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 24,Human rights \n\tA/66/6 (Sect. 25) DM\t31/3/2011 15/4/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 25,International protection,durable solutions andassistance to refugees \n\tA/66/6 (Sect. 26) andCorr.1 DM\t29/4/2011 24/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 26,Palestine refugees \n\tA/66/6 (Sect. 27) DM\t7/4/2011 24/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 27,Humanitarian assistance \n\tA/66/6 (Sect. 28) andCorr.1 DM\t13/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 28,Public information \n\tA/66/6 (Sect. 29) DM\t6/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 29,Management and supportservices \n\tA/66/6 (Sect. 29A) DM\t28/4/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 29A,Office of theUnder-Secretary-Generalfor Management \n\tA/66/6 (Sect. 29B) DM\t15/4/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 29B,Office of ProgrammePlanning, Budget andAccounts \n\tA/66/6 (Sect. 29C) DM\t18/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 29C,Office of Human ResourcesManagement \n\tA/66/6 (Sect. 29D) DM\t22/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 29D,Office of Central SupportServices \n\tA/66/6 (Sect. 29E) DM\t23/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 29E,Administration, Geneva \n\tA/66/6 (Sect. 29F) andCorr.1 DM\t20/4/2011 26/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 29F,Administration, Vienna \n\tA/66/6 (Sect. 29G) DM\t29/4/2011 26/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 29G,Administration, Nairobi \n\tA/66/6 (Sect. 30) DM\t5/5/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 30,Office of Information andCommunications Technology \n\tA/66/6 (Sect. 31) DM\t8/4/2011 25/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 31,Internal oversight \n\tA/66/6 (Sect. 32) DM\t9/5/2011 20/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 32,Jointly financedadministrative activities \n\tA/66/6 (Sect. 33) DM\t2/5/2011 16/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 33,Special expenses \n\tA/66/6 (Sect. 34) DM\t6/5/2011 1/6/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 34,Construction, alteration,improvement and majormaintenance \n\tA/66/6 (Sect. 35) DM\t27/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 35,Safety and security \n\tA/66/6 (Sect. 36) DM\t11/5/2011 \n\tProposed programme budgetfor the biennium2012‑2013: section 36,Development Account \n\tA/66/6 (Sect. 37) DM\t2/5/2011 2/6/2011\n\tProposed programme budgetfor the biennium2012‑2013: section 37,Staff assessment \n\tA/66/6 (Income sect. 1) DM\t9/5/2011 2/6/2011\n\tProposed programme budgetfor the biennium2012‑2013: Income section1, Income from staffassessment \n\tA/66/6 (Income sect. 2) DM\t22/4/2011 26/5/2011\n\tProposed programme budgetfor the biennium2012‑2013: Income section2, General income \n\tA/66/6 (Income sect. 3) DM\t29/4/2011 \n\tProposed programme budgetfor the biennium2012‑2013: Income section3, Services to the public \n\tA/66/5 (Vol. V) (Suppl.) BOA\t18/7/2011 \n\tReport of the Board ofAuditors for the yearended 31 December 2010for the capital masterplan (Vol. V) (Suppl. No.5) (also under item 131(c)) \n\tA/66/ DM\t8/8/2011 \n\tReport of theSecretary-General on theprogress report on thestrategic heritage planat the United NationsOffice at Geneva \n\tA/66/74 OHCHR\t20/4/2011\t20/4/2011\t29/4/2011\n\tReport of theSecretary-General on theprogress of theimplementation of therecommendations of thereport of the Office ofInternal OversightServices on theefficiency of theimplementation of themandate of the Office ofthe United Nations HighCommissioner for HumanRights \n\tA/66/ DFS\t6/9/2011 \n\tReport of theSecretary-General on thethorough review of thecurrent funding andbackstopping arrangementsfor the special politicalmissions \n\tA/66/85 IAAC\t27/5/2011\t27/5/2011\t15/6/2011\n\tReport of the IndependentAudit Advisory Committeeon internal oversight:proposed programme budgetfor the biennium2012-2013 \n\tA/66/ DM\t8/8/2011 \n\tReport of theSecretary-General on theemergency managementframework \n\tA/66/84 DM\t25/5/2011\t24/5/2011\t16/6/2011\n\tReport of theSecretary-General on theimplementation ofprojects financed fromthe Development Account:seventh progress report \n\tA/66/ DM\t8/8/2011 \n\tReport of theSecretary-General on aproposal for a mechanismto determine retirementpension benefits \n\tA/66/ DM\t7/9/2011 \n\tReport of theSecretary-General on theoverseas propertymanagement andconstruction projects inprogress \n\tA/66/ DM\t17/10/2011 \n\tReport of theSecretary-General on theSpecial Court in SierraLeone \n\tA/66/ DM\t30/9/2011 \n\tReport of theSecretary-General on thethird progress report onthe enterprise resourceplanning project \n\tA/66/ DM\t19/10/2011 \n\tReport of theSecretary-General onestimates in respect ofspecial politicalmissions, good officesand other politicalinitiatives authorized bythe General Assemblyand/or Security Council \n\tA/66/ /Add.1 DM\t30/8/2011 \n\tReport of theSecretary-General onestimates in respect ofspecial politicalmissions, good officesand other politicalinitiatives authorized bythe General Assemblyand/or Security Council:thematic cluster I \n\tA/66/ /Add.2 DM\t15/8/2011 \n\tReport of theSecretary-General onestimates in respect ofspecial politicalmissions, good officesand other politicalinitiatives authorized bythe General Assemblyand/or Security Council:thematic cluster II \n\tA/66/ /Add.3 DM\t11/10/2011 \n\tReport of theSecretary-General onestimates in respect ofspecial politicalmissions, good officesand other politicalinitiatives authorized bythe General Assemblyand/or Security Council:thematic cluster III \n\tA/66/ /Add.4 DM\t17/10/2011 \n\tReport of theSecretary-General onestimates in respect ofspecial politicalmissions, good officesand other politicalinitiatives authorized bythe General Assemblyand/or Security Council:United Nations AssistanceMission in Afghanistan \n\tA/66/ /Add.5 DM\t17/10/2011 \n\tReport of theSecretary-General onestimates in respect ofspecial politicalmissions, good officesand other politicalinitiatives authorized bythe General Assemblyand/or Security Council:United Nations AssistanceMission in Iraq \n\tA/66/ DM\t19/12/2011 \n\tReport of theSecretary-General on therevised estimates: effectof changes in rates ofexchange and inflation \n\tA/66/ DM\t31/8/2011 \n\tReport of theSecretary-General on thefeasibility study of theUnited NationsHeadquarters long-termaccommodationrequirements \n\tA/66/ DM\t11/11/2011 \n\tReport of theSecretary-General onlimited budgetarydiscretion \n\tA/66/170 DM\t22/7/2011\t21/7/2011\t\n\tReport of theSecretary-General on therequest for a subventionto the United NationsInstitute for DisarmamentResearch resulting fromthe recommendations ofthe Board of Trustees ofthe Institute on the workprogramme of theInstitute for 2012-2013 \n\tA/66/ DM\t22/12/2011 \n\tConsolidated statement ofcharges to thecontingency fund \n\tA/66/ DM\t30/9/2011 \n\tReport of theSecretary-General on therevised estimates for theOffice of theDirector-General of theUnited Nations office inNairobi \n\tA/66/ DM\t18/8/2011 \n\tReport of theSecretary-General on thefourth progress report onthe adoption ofInternational PublicSector AccountingStandards by the UnitedNations \n\tA/66/ UNJSPF \n\tReport of the UnitedNations Joint StaffPension Board onadministrative expenses \n\tA/66/ DM\t21/11/2011 \n\tReport of theSecretary-General on therevised estimatesresulting fromresolutions and decisionsadopted by the HumanRights Council at itssixteenth and seventeenthsessions \n\tA/66/ DM\t7/10/2011 \n\tReport of theSecretary-General on therevised estimatesresulting fromresolutions and decisionsadopted by the Economicand Social Council at itssubstantive session andits resumed substantivesessions of 2011 \n\tA/66/94 DM\t28/6/2011\t22/6/2011\t\n\tReport of theSecretary-General onenterprise informationand communicationstechnology initiativesfor the United NationsSecretariat \n135.\tProgramme planning \n\tA/66/16 (Suppl.) DM\t8/7/2011\t5/7/2011\t7/7/2011\n\tReport of the Committeefor Programme andCoordination on itsfifty-first session (6June-1 July 2011) (Suppl.No. 16) (also under item132) \n136.\tImproving the financialsituation of the UnitedNations \n A/66/ DM \n\tPeriodic report of theSecretary-General onimproving the financialsituation of the UnitedNations \n137.\tPattern of conferences \n\tA/66/118 DGACM\t1/7/2011\t1/7/2011\t25/7/2011\n\tReport of theSecretary-General on thepattern of conferences \n\tA/66/32 (Suppl.) DGACM\t26/9/2011 \n\tReport of the Committeeon Conferences for 2011(Suppl. No. 32) \n138.\tScale of assessments forthe apportionment of theexpenses of the UnitedNations \n\tA/66/11 (Suppl.) DM\t8/7/2011\t8/7/2011\t22/7/2011\n\tReport of the Committeeon Contributions on itsseventy-first session(6-24 June 2011) (Suppl.No. 11) \n\tA/66/69 DM\t28/3/2011\t18/3/2011\t29/3/2011\n\tReport of theSecretary-General onmulti-year payment plans \n139.\tHuman resourcesmanagement \n\tA/66/135 DM\t29/7/2011\t13/7/2011\t28/7/2011\n\tReport of theSecretary-General on thepractice of theSecretary-General indisciplinary matters andpossible criminalbehaviour, 1 July 2010 to30 June 2011 \n\tA/66/98 DM\t30/6/2011\t27/6/2011\t13/7/2011\n\tReport of theSecretary-General onpersonal conflict ofinterest \n\tA/66/ EOSG\t19/8/2011 \n\tReport of theSecretary-General on theactivities of the EthicsOffice \n\tA/66/ DM\t31/8/2011 \n\tReport of theSecretary-General on thecomposition of theSecretariat \n140.\tJoint Inspection Unit \n No advance documentation \n141.\tUnited Nations commonsystem \n\tA/66/30 (Suppl.) ICSC\t23/8/2011 \n\tReport of theInternational CivilService Commission forthe year 2011 (Suppl. No.30) \n\tA/66/ DM\t30/9/2011 \n\tStatement submitted bythe Secretary-General onthe administrative andfinancial implications ofthe decisions andrecommendations containedin the report of theInternational CivilService Commission inaccordance with rule 53of the rules of procedureof the General Assembly \n142.\tReport on the activitiesof the Office of InternalOversight Services \n\tA/66/ (Part I) OIOS\t9/8/2011 \n\tActivities of the Officeof Internal OversightServices for the periodfrom 1 July 2010 to 30June 2011 (Part I) \n\tA/66/ (Part I)/(Add.1) OIOS\t15/8/2011 \n\tActivities of the Officeof Internal OversightServices for the periodfrom 1 July 2010 to 30June 2011 (Part I)(addendum) \n\tA/66/180 OIOS\t25/7/2011\t25/7/2011\t\n\tReport of the Office ofInternal OversightServices on the review ofthe organizationalframework of the publicinformation function ofthe Secretariat \n143.\tAdministration of justiceat the United Nations \n\tA/66/\t10/10/2011\tEOSG\t18/8/2011 \n\tReport of theSecretary-General on theadministration of justiceat the United Nations \n\tA/66/158\t10/10/2011\tEOSG\t18/7/2011\t19/7/2011\t\n\tReport of the InternalJustice Council on theadministration of justiceat the United Nations \n\tA/66/86\t10/10/2011\tEOSG\t18/7/2011 \n\tReport of theSecretary-General onamendments to the rulesof procedure for theUnited Nations DisputeTribunal and UnitedNations Appeals Tribunal \n\tA/66/224 EOSG\t3/8/2011\t2/8/2011\t\n\tReport of theSecretary-General on theactivities of the UnitedNations Ombudsman andMediation Services \n\tA/66/275 EOSG\t2/8/2011 \n\tReport of theSecretary-General on theadministration of justiceat the United Nations \n144.\tFinancing of theInternational CriminalTribunal for theProsecution of PersonsResponsible for Genocideand Other SeriousViolations ofInternationalHumanitarian LawCommitted in theTerritory of Rwanda andRwandan CitizensResponsible for Genocideand Other Such ViolationsCommitted in theTerritory of NeighbouringStates between 1 Januaryand 31 December 1994 \n\tA/66/ DM\t15/11/2011 \n\tReport of theSecretary-General on thesecond performance reportof the InternationalCriminal Tribunal forRwanda for the biennium2010-2011 \n\tA/66/ DM\t30/9/2011 \n\tReport of theSecretary-General on thebudget of theInternational CriminalTribunal for Rwanda forthe biennium 2012-2013 \n\tA/66/ DM\t19/12/2011 \n\tReport of theSecretary-General onrevised estimates for theInternational CriminalTribunal for the formerYugoslavia and theInternational CriminalTribunal for Rwanda:effect of changes inrates of exchange andinflation \n145.\tFinancing of theInternational Tribunalfor the Prosecution ofPersons Responsible forSerious Violations ofInternationalHumanitarian LawCommitted in theTerritory of the FormerYugoslavia since 1991 \n\tA/66/ DM\t15/11/2011 \n\tReport of theSecretary-General on thesecond performance reportof the InternationalTribunal for the FormerYugoslavia for thebiennium 2010-2011 \n\tA/66/ DM\t30/9/2011 \n\tReport of theSecretary-General on thebudget of theInternational CriminalTribunal for the formerYugoslavia for thebiennium 2012-2013 \n146.\tAdministrative andbudgetary aspects of thefinancing of the UnitedNations peacekeepingoperations \n No advance documentation \n147.\tFinancing of the UnitedNations Mission in theCentral African Republicand Chad \n No advance documentation \n148.\tFinancing of the UnitedNations Operation in Côted’Ivoire \n No advance documentation \n149.\tFinancing of the UnitedNations PeacekeepingForce in Cyprus \n No advance documentation \n150.\tFinancing of the UnitedNations OrganizationMission in the DemocraticRepublic of the Congo \n No advance documentation \n151.\tFinancing of the UnitedNations OrganizationStabilization Mission inthe Democratic Republicof the Congo \n No advance documentation \n152.\tFinancing of the UnitedNations Mission in EastTimor \n No advance documentation \n153.\tFinancing of the UnitedNations IntegratedMission in Timor-Leste \n No advance documentation \n154.\tFinancing of the UnitedNations Mission inEthiopia and Eritrea \n No advance documentation \n155.\tFinancing of the UnitedNations Observer Missionin Georgia \n No advance documentation \n156.\tFinancing of the UnitedNations StabilizationMission in Haiti \n No advance documentation \n157.\tFinancing of the UnitedNations InterimAdministration Mission inKosovo \n No advance documentation \n158.\tFinancing of the UnitedNations Mission inLiberia \n No advance documentation \n159.\tFinancing of the UnitedNations peacekeepingforces in the Middle East \n No advance documentation \n160.\tFinancing of the UnitedNations Mission in theSudan \n\tA/66/ DM\t7/10/2011 \n\tReport of theSecretary-General on thefinal disposition of theassets of the UnitedNations Mission in theSudan \n161.\tFinancing of the UnitedNations Mission for theReferendum in WesternSahara \n No advance documentation \n162.\tFinancing of the AfricanUnion-United NationsHybrid Operation inDarfur \n No advance documentation \n163.\tFinancing of theactivities arising fromSecurity Councilresolution 1863 (2009) \n No advance documentation \n164.\tReport of the Committeeon Relations with theHost Country \n\tA/66/26 (Suppl.)\t10/11/2011\tOLA\t28/10/2011 \n\tReport of the Committeeon Relations with theHost Country (Suppl. No.26) \n\tA/AC.154/2011/CRP.___\t10/11/2011\tOLA\t14/10/2011 \n\tDraft report of theCommittee on Relationswith the Host Country \n165.\tObserver status for theCooperation Council ofTurkic-speaking States inthe General Assembly \n No advance documentation \n166.\tObserver status for theInternational EmergencyManagement Organizationin the General Assembly \n No advance documentation \n167.\tObserver status for theUnion of South AmericanNations in the GeneralAssembly \n No advance documentation \n168.\tObserver status for theInternational RenewableEnergy Agency in theGeneral Assembly \n No advance documentation \n169.\tFinancing of the UnitedNations Interim SecurityForce for Abyei \n\tA/66/ DM\t21/10/2011 \n\tReport of theSecretary-General on thebudget for the UnitedNations Interim SecurityForce for Abyei from1 July 2011 to 31December 2011 \n170.\tFinancing of the UnitedNations Mission in SouthSudan \n\tA/66/ DM\t21/10/2011 \n\tReport of theSecretary-General on thebudget for the UnitedNations Mission in SouthSudan from 1 July to31 December 2011"
] | A_65_902_ADD.1 | [
"Sixty-fifth session",
"Agenda item 118",
"Revitalization of the work of the Assembly",
"Revitalization of the work of the General Assembly: documentation for the sixty-sixth session of the General Assembly",
"Report of the Secretary-General",
"The present addendum lists the status of documentation for the sixty-sixth session of the General Assembly as at 3 August 2011. The provisional agenda (A/63/250).",
"Abbreviations",
"Advisory Committee on Administrative and Budgetary Questions",
"Board of Auditors",
"Department of Economic and Social Affairs",
"Department of Field Support",
"Department of General Assembly and Conference Management",
"Department of Management",
"Department of Political Affairs",
"Department of Public Information",
"Department of Peacekeeping Operations",
"Department of Safety and Security",
"Executive Office of the Secretary-General",
"Advisory Committee on Independent Audit",
"IAEA International Atomic Energy Agency",
"International Court of Justice",
"ICTR",
"International Tribunal for the Former Yugoslavia",
"International Strategy for Disaster Reduction",
"Office of the Administration of Justice",
"Office for the Coordination of Humanitarian Affairs",
"Office for Disarmament Affairs",
"OHCHR Office of the United Nations High Commissioner for Human Rights",
"Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States",
"OIOS Office of Internal Oversight Services",
"Office of Legal Affairs",
"Office of the Special Adviser on Africa",
"Office of the Special Representative of the Secretary-General for Children and Armed Conflict",
"Regional Commission New York Office",
"United Nations Convention on Biological Diversity",
"United Nations Convention to Combat Desertification",
"UNCTAD United Nations Conference on Trade and Development",
"UNDP United Nations Development Programme",
"UNEP United Nations Environment Programme",
"UNFCCC United Nations Framework Convention on Climate Change",
"United Nations Fund for International Partnerships",
"UNFPA United Nations Population Fund",
"UN-Habitat United Nations Human Settlements Programme",
"UNHCR Office of the United Nations High Commissioner for Refugees",
"UNICEF United Nations Children's Fund",
"United Nations Joint Staff Pension Fund",
"United Nations Office on Drugs and Crime",
"United Nations Office for Outer Space Affairs",
"UNRWA United Nations Relief and Works Agency for Palestine Refugees in the Near East",
"United Nations Scientific Committee on the Effects of Atomic Radiation",
"United Nations Agency for Gender Equality and Empowerment of Women",
"Preparations for the sixty-sixth session of the General Assembly",
"Report of the Secretary-General on the implementation of the agenda of the sixty-sixth session of the General Assembly (A/CN.9/WG.VI/WP.11/Add.1) Geneva, 29-30 November 2010 (Supplement No. 15) (Part I) A/66/15 (Part II) (Suppl.) Report of the UNCTAD Trade and Development Board on its fifty-third executive session, held on 3 October 2011 (Africa/for the reports of the Commission)) Report of the UNCTAD Trade and Development Board on its fifty-eighth regular session on 3 October 2011 (IDB.36/12) (Part III) Report of the Secretary-General on the implementation of Agenda 21 of the United Nations Conference on Sustainable Development (UNCCD) of 24 September 2008 (Part IV) and of the report of the Secretary-General of the United Nations Conference on Environment and Development of 24 October 2011 (A/CN.9/WG.VI/WP.66/Add.1) Report of the Secretary-General on the implementation of the United Nations Programme of Action for the Least Developed Countries (UN-Habitat) Note by the Secretary-General on the nomination of members of the United Nations Office on Drugs and Crime (A/CN.9/WG.VI/WP.66/Add.1 dated 25 April 2009) Report of the Secretary-General on the financing of the United Nations peacekeeping operations for the period from 1 July 2008 to 31 July 2011 Draft report of the Committee on Relations with the Host Country, dated 10 November 2011 165. Provision of observer status to the General Assembly of the Committee on International Emergency Response to the observer status of the International Organization of American States in the General Assembly of the United Nations General Assembly of the United Nations, No advance documentation, granting observer status to the Assembly of the League of Arab States of South America, No advance documentation 168. Provision of observer status to the International Renewable Energy Agency General Assembly, No advance document 169. Financing of the United Nations Interim Security Force in Abyei, 21 October 2011: report of the Secretary-General on the financing of the United Nations security forces for the period ended 31 July 2011-12."
] |
[
"第六十六届会议",
"临时议程^(*) 项目9",
"经济及社会理事会的报告",
"2011年联合国人口奖",
"秘书长的说明",
"秘书长谨向大会转递联合国人口基金执行主任关于大会第36/201号决议所设联合国人口奖的报告。报告涵盖2011年，根据经济及社会理事会第1982/112号决定编写。",
"^(*) A/66/150。",
"联合国人口基金执行主任关于2011年联合国人口奖的报告",
"一. 导言",
"1. 1981年12月17日，大会第36/201号决议设立了联合国人口奖。该奖每年颁发给对增进人口问题的认识或对人口问题的解决作出最杰出贡献的一个人或若干人、一个机构或若干机构或个人与机构的任何组合。",
"2. 获奖者由联合国人口奖委员会选出，该委员会由经济及社会理事会选出的10个联合国会员国的代表组成，任期三年。",
"3. 大会第41/445号决定对联合国人口奖规章第2条第1款进行了修正，以使个人和机构可共同获得该奖。",
"4. 经济及社会理事会第1987/129号决定对联合国人口奖委员会议事规则作了相应的修订。",
"5. 委员会现任当选成员为孟加拉国、捷克共和国、埃及、加纳、危地马拉、牙买加、马来西亚、尼加拉瓜、挪威和坦桑尼亚联合共和国。",
"6. 委员会在2011年1月5日的组织会议上选举马吉德·阿卜杜拉齐兹大使(埃及)担任其2011年主席。",
"二. 2011年联合国人口奖",
"7. 委员会收到合格提名者提出的2011年人口奖提名10项，其中5项为个人类别，5项为机构类别。2011年3月9日，根据大会授权，委员会对各项提名进行了认真审查，选出伊朗伊斯兰共和国的穆罕默德·贾拉勒·阿巴西-沙瓦兹（Mohammad Jalal Abbasi-Shavazi）教授为个人获奖者，选出设在喀麦隆的人口研究训练所为机构获奖者。",
"8. 委员会选出阿巴西-沙瓦兹教授是为了表彰他(a) 通过证明提高妇女受教育程度和妇女地位——尤其是帮助她们获得生殖保健服务——与家庭少生孩子之间的关联，为理解伊朗伊斯兰共和国生育率下降的动态作出了卓越贡献；(b) 通过在近20个国家的研究，证明各国之间社会、经济和文化的差异对于解释生育率的差别比宗教更加重要，而且性别平等、晚婚和降低生育率与社会-经济发展互为因果，从而为增进对家庭和人口行为价值观和信念的理解作出了贡献；(c) 他成功地充当了世界杰出人口学家与伊朗学者和方案管理人之间的桥梁。",
"9. 阿巴西-沙瓦兹教授是一位社会科学院士。在获得社会学学士学位(1987年，伊朗伊斯兰共和国伊斯法罕大学)后，他又获得德黑兰大学人口学硕士学位(1991年)，并于1998年在澳大利亚国立大学社会科学研究院获得人口学博士学位。他的职业生涯是教学、人口研究、咨询和政策服务的结合。他的工作重点是人口与发展、生殖健康与生育率、家庭变迁、移民和难民。自2001年以来，他一直是德黑兰大学人口研究所所长。",
"10. 作为一名社会学研究者，阿巴西-沙瓦兹教授为理解伊朗伊斯兰共和国生育率下降的动态作出了贡献，证明提高妇女受教育程度和妇女地位以及改善她们获得生殖健康服务的机会，使家庭少生孩子的理念得到采纳。他对伊朗伊斯兰共和国境内阿富汗难民的境况进行过研究，他也是国际人口问题科学研究联合会难民问题科学小组的主席。他在培养和指导伊朗伊斯兰共和国新一代人口学家方面发挥了重要作用。",
"11. 阿巴西-沙瓦兹教授推动设立和加强了国家一级和国际一级的一批人口机构。他担任了许多人口刊物和专业协会的专业和咨询委员会委员。他主导设立了亚洲人口学会并担任其现任会长。自2007年以来，他担任了孟加拉国国际腹泻病研究中心董事会董事。1993年，他因合著一部关于人口和计划生育的教科书而受到国家表彰，该教材已成为伊朗伊斯兰共和国教育部使用的手册。2009年，他与伊朗伊斯兰共和国卫生部及联合国人口基金协作编写了该国的人口评估报告。",
"12. 阿巴西-沙瓦兹教授与澳大利亚国立大学有长期协作研究的历史，现在是澳大利亚人口和社会研究所的未来研究员。他与澳大利亚国立大学研究人员对伊朗伊斯兰共和国生育率急剧下降问题长达10年的协作研究，最终形成了一部著作，名为《伊朗生育率转型：革命与繁衍》。该书由施普林格出版社出版，获得2011年伊朗伊斯兰共和国世界年度图书奖。自2006年以来，阿巴西-沙瓦兹教授是密西根大学发展理想主义研究小组的活跃成员。该小组一直在对近20个国家的家庭和人口行为价值观和信念进行研究。这一交叉学科专题研究的成果显示，性别平等、推迟结婚年龄和降低生育率与社会-经济发展互为因果。阿巴西-沙瓦兹教授推广了这样一种观点，即各国之间社会、经济和文化的差异对于解释生育率的差别比宗教更加重要。",
"13. 联合国人口奖委员会选出人口研究训练所(人口所)，是为了表彰它自1972年以来取得的下列成就：(a) 培训非洲人口专家，其中包括500多名非洲人口学家；(b) 进行关于理解以下方面的非洲人口问题的研究：贫穷、性与生殖健康、性别与人口、移民；(c) 进行关于人口、环境与发展之间关联的研究，这种研究对于非洲和印度洋区域超过26个国家的能力建设和政策制订至关重要；(d) 提供技术，帮助各国开展人口普查、设立本地研究活动、提供本地培训、设立和管理数据库并就制订和评价人口政策提供咨询；(e) 编制受重视的高质量科学出版物，包括《联络公报》。",
"14. 人口所是非洲的一个学术机构，致力于培训人口专家和进行研究。人口所依照非洲经济委员会部长理事会的建议设立，1972年开始活动，总部设在雅温得。人口所与雅温得大学有学术联系。人口所有三个主要目标：(a) 培养人口与发展领域的非洲队伍；(b) 进行与理解非洲人口问题有关的研究；(c) 为各国提供人口与发展领域的技术支持。",
"15. 人口所的培训方案分两个层次：第一个层次培养人口学硕士，第二个层次培养人口学博士。自创建以来，人口所通过这两种方案已培训了500多名非洲人口学者。最近，人口所扩大了能力，以提供为期3至5周的短期培训方案。",
"16. 人口所有一个持续的研究方案，其重点为五个领域：贫穷；性与生殖健康；性别与人口问题；移民；人口、环境与发展之间的关联。研究项目由人口所人员开展，其中有该所研究生和访问学者参与。在技术支持方面，人口所协助非洲国家进行人口普查、设立本地研究活动、提供本地培训、设立和管理数据库并就制订和评价人口政策提供咨询。两个最近的事例是：关于中非青少年中贫穷与未获满足的生殖健康需求之间关联的为期三年的深入研究；关于布基纳法索、喀麦隆和多哥青少年生殖健康政策和方案的研究。",
"17. 人口所是非洲和印度洋区域人口领域中培训、研究和技术援助方面的领头机构，为26个国家提供服务。人口所出版了一大批科学刊物；1979年，它发行了作为传播信息主要工具的《联络公报》。《人口所年鉴》、《人口所手册》和《人口所卷宗》等其他定期出版物为《联络公报》发挥了补充作用。最近，喀麦隆国家统计局协助人口所安装了国家数据档案应用程序，以便在网上向普通公众提供调查元数据和微观数据。",
"三. 财务事项",
"18. 截至2010年12月31日，联合国人口奖信托基金资金结余总额为1 782 100.84美元。2010年利息收入为28 405.02美元。2011年支出共计80 845.51美元，其中包括给两个获奖者的奖金。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 9 of the provisional agenda*",
"Report of the Economic and Social Council",
"United Nations Population Award 2011",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the report of the Executive Director of the United Nations Population Fund on the United Nations Population Award, established by the Assembly in its resolution 36/201. The report covers the year 2011, and was prepared in accordance with Economic and Social Council decision 1982/112.",
"Report of the Executive Director of the United Nations Population Fund on the United Nations Population Award 2011",
"I. Introduction",
"1. On 17 December 1981, by its resolution 36/201, the General Assembly established the United Nations Population Award. The Award is presented annually to an individual or individuals, to an institution or institutions, or to any combination thereof, for the most outstanding contribution to increasing awareness of population questions or to finding solutions to them.",
"2. The Committee for the United Nations Population Award selects the laureate for the Award. The Committee is composed of representatives of 10 States Members of the United Nations, elected by the Economic and Social Council for a period of three years.",
"3. In decision 41/445, the General Assembly amended article 2, paragraph 1, of the regulations governing the United Nations Population Award, so that an individual and an institution could share the award.",
"4. In decision 1987/129, the Economic and Social Council amended the rules of procedure of the Committee for the Population Award accordingly.",
"5. The current elected members of the Committee are Bangladesh, the Czech Republic, Egypt, Ghana, Guatemala, Jamaica, Malaysia, Nicaragua, Norway and the United Republic of Tanzania.",
"6. During its organizational meeting, on 5 January 2011, the Committee elected Ambassador Maged A. Abdelaziz (Egypt) as Chair for 2011.",
"II. United Nations Population Award 2011",
"7. The Committee received 10 nominations from qualified nominators for the 2011 Award. Of these, five were for the individual category and five were for the institutional category. On 9 March 2011, in accordance with the mandate given to it by the General Assembly, and after a thorough review of the nominations, the Committee selected Professor Mohammad Jalal Abbasi-Shavazi of the Islamic Republic of Iran in the individual category, and the Institut de formation et de recherche démographique, based in Cameroon, in the institutional category.",
"8. The Committee selected Professor Abbasi-Shavazi in recognition of (a) his exemplary contribution to understanding the dynamics of fertility decline in the Islamic Republic of Iran, by demonstrating the linkages between improving the education and status of women — in particular, by facilitating their access to reproductive health services — and smaller families; (b) his contributions to improving the understanding of values and beliefs related to family and demographic behaviour, through studies in nearly 20 countries that demonstrate that social, economic and cultural differences among countries are more important than religion as explanations of fertility differentials, and that gender equality, delayed marriage and lower fertility are both causes and consequences of socio-economic development; and (c) his success in serving as a bridge between the world’s outstanding demographers and Iranian scholars and programme managers.",
"9. Professor Abbasi-Shavazi is a social sciences academician. After completing his BA in social sciences (Esfahan University, Islamic Republic of Iran, 1987), he obtained an MA in demography from the University of Tehran (1991), and a PhD in demography at the Research School of Social Sciences of the Australian National University in 1998. His professional career has combined teaching, demographic research, and advisory and policy services. His work has focused on population and development, reproductive health and fertility, family change, immigration and refugees. Since 2001, he has been Chair of the Division of Population Research at the University of Tehran.",
"10. As a social sciences researcher, Professor Abbasi-Shavazi has contributed to understanding the dynamics of fertility decline in the Islamic Republic of Iran, demonstrating that improving the education and status of women, as well as their access to reproductive health services, has facilitated the adoption of smaller family size ideals. He has conducted research on the situation of Afghan refugees in the Islamic Republic of Iran, and he is also the Chair of the Scientific Panel on Refugees at the International Union for the Scientific Study of Population. He has played a major role in training and guiding a new generation of demographers in the Islamic Republic of Iran.",
"11. Professor Abbasi-Shavazi has been instrumental in establishing and consolidating population institutions at national and international levels. He has served as a member of numerous professional and advisory boards of population journals and professional associations. He was a leading force in creating the Asian Population Association, of which he is the current President. Since 2007, he has served as a member of the Board of Trustees of the International Centre for Diarrhoeal Disease Research in Bangladesh. In 1993, he was nationally recognized after he co-authored a textbook on population and family planning that became the manual used by the Ministry of Education in the Islamic Republic of Iran. In 2009, he prepared the Population Assessment Report for the Islamic Republic of Iran, in collaboration with the country’s Ministry of Health and the United Nations Population Fund.",
"12. Professor Abbasi-Shavazi has had a long history of research collaboration with the Australian National University and is now Future Fellow at the Australian Demographic and Social Research Institute. His decade-long research collaboration with researchers at the Australian National University on the sharp fertility decline in the Islamic Republic of Iran culminated in a book, The Fertility Transition in Iran: Revolution and Reproduction, published by Springer, which won the 2011 World Prize for Book of the Year of the Islamic Republic of Iran. Since 2006, Professor Abbasi-Shavazi has been an active member of the Developmental Idealism Study Group at the University of Michigan. The Group has been studying values and beliefs related to family and demographic behaviour in nearly 20 countries; the results of this interdisciplinary subject have demonstrated that gender equality, delaying the age at marriage, and achieving lower fertility are both causes and consequences of socio-economic development. Professor Abbasi-Shavazi has promoted the view that social, economic and cultural differences among countries are more important than religion as explanations of fertility differentials.",
"13. The Committee for the United Nations Population Award selected the Institut de formation et de recherche démographique (IFORD) in recognition of its achievements since 1972: (a) training African population specialists, including more than 500 African demographers; (b) conducting research relevant to understanding African population issues in the areas of poverty, sexual and reproductive health, gender and demography, and migration; (c) conducting research on the linkages between population, environment and development, critical to capacity-building and policymaking in more than 26 countries in Africa and the Indian Ocean region; (d) offering technical support to countries to conduct their population censuses, establish local research activities, provide local training, create and manage databases, and provide advice on formulating and evaluating population policies; and (e) producing respected, high-quality scientific publications, including the Bulletin de Liaison.",
"14. IFORD is an African academic institution dedicated to training population specialists and to conducting research. IFORD was created upon the recommendation of the Council of Ministers of the Economic Commission for Africa. It began its activities in 1972 and is headquartered in Yaoundé. IFORD is linked academically to the University of Yaoundé. IFORD has three principal goals: (a) to train African teams in the field of population and development; (b) to conduct research relevant to understanding African population issues; and (c) to offer technical support to countries in the field of population and development.",
"15. The training programme at IFORD has two levels — the first one leads to an MA degree in demography, and the second one leads to a PhD degree in demography. Since its creation, IFORD has trained more than 500 African demographers through these two programmes. More recently, IFORD has expanded its capacity to provide short training programmes of three to five weeks’ duration.",
"16. IFORD has a continuous programme of research that concentrates on five areas: poverty; sexual and reproductive health; gender and demographic issues; migration; and the linkages between population, the environment and development. Research projects are conducted by the staff of IFORD, with the participation of its graduate students and visiting scholars. In the area of technical support, IFORD assists African countries in conducting their population censuses, establishing local research activities, providing local training, creating and managing databases, and providing advice on formulating and evaluating population policies. Two recent examples are the in-depth, three-year study on the linkages between poverty and unmet needs in reproductive health among adolescents and young people in Central Africa; and the study on adolescent reproductive health policies and programmes in Burkina Faso, Cameroon and Togo.",
"17. IFORD is the leading institution in Africa and the Indian Ocean region for training, research and technical assistance in the field of population, serving 26 countries. IFORD has a long list of scientific publications; in 1979, it launched the Bulletin de Liaison, the main instrument for disseminating information. Other periodic publications, including Les Annales de l’IFORD, Les Cahiers de l’IFORD and Les Dossiers de l’IFORD, have complemented the Bulletin de Liaison. Recently, the National Statistical Office of Cameroon assisted IFORD in installing the National Data Archive application to make survey metadata and microdata available online to the general public.",
"III. Financial matters",
"18. As at 31 December 2010, the Trust Fund for the United Nations Population Award had a total fund balance of $1,782,100.84. Interest income in 2010 was $28,405.02. Expenditure in 2011, including prizes given to the two laureates, totalled $80,845.51."
] | A_66_263 | [
"Sixty-sixth session",
"Item 9 of the provisional agenda*",
"Report of the Economic and Social Council",
"United Nations Population Award 2011",
"Note by the Secretariat",
"The Secretary-General has the honour to transmit to the General Assembly the report of the Executive Director of the United Nations Population Fund on the United Nations Population Award established pursuant to General Assembly resolution 36/201. The report covers 2011, prepared in accordance with Economic and Social Council decision 1982/112.",
"∗ A/63/250.",
"Report of the Executive Director of the United Nations Population Fund on the United Nations Population Award 2011",
"Introduction",
"On 17 December 1981, the General Assembly, in its resolution 36/201, established the United Nations Population Award. The awards are issued annually for any combination of individuals or groups of individuals, an institution or a number of institutions or bodies that have contributed most outstanding to raising awareness of population issues or to addressing population issues.",
"The awards were elected by the United Nations Population Award Committee, composed of 10 States Members of the United Nations elected by the Economic and Social Council for a three-year term.",
"By its decision 41/445, the General Assembly amended article 2, paragraph 1, of the United Nations Population Award to enable individuals and institutions to obtain the award together.",
"The Economic and Social Council, in its decision 1987/129, amended the rules of procedure of the United Nations Population Award Committee accordingly.",
"The Committee is currently elected as Bangladesh, the Czech Republic, Egypt, Ghana, Guatemala, Jamaica, Malaysia, Nicaragua, Norway and the United Republic of Tanzania.",
"At its organizational meeting on 5 January 2011, the Committee elected Ambassador Maged Abdelaziz (Egypt) as its President for 2011.",
"United Nations Population Award 2011",
"The Committee received 10 nominations for the 2011 Population Award submitted by qualified nominees, 5 of which are the personal category and 5 are the institutional category. On 9 March 2011, in accordance with the mandate of the General Assembly, the Committee held a careful review of the nominations and elected Professor Mohamed Jailal ABrazil-Shawaz, Islamic Republic of Iran (Mohammad Jal Abbasi-Shavazi) as a cholastic of individuals and elected the Cameroonian Population Research Training Institute as a rator.",
"The Committee elected Professor ABrazil-Swaz to recognize that (a) social, economic and cultural differences between countries are more important in interpreting the differences between fertility and the status of women, in particular in helping them gain access to reproductive health services — and in the light of the dynamics of the decline in fertility in the Islamic Republic of Iran; and (b) have contributed to the study in nearly 20 countries by demonstrating that social, economic and cultural differences among States are more important for interpreting the differences of fertility than religion, and that gender equality, marriage and reduction of fertility are interdependent with socio-economic development, thus enhancing the understanding of the values and the world's population.",
"Professor ABrazil-Shawaz is a member of the Social Sciences Academy. After having obtained a degree of social scholarship (Year University of Isfahan, Islamic Republic of Iran, 1987), he also received a Master's degree in Population Sciences at the University of Tehran (1991) and was given a doctor's degree in the Faculty of Social Sciences at the National University of Australia in 1998. His career was a combination of teaching, population research, counselling and policy services. His work focused on population and development, reproductive health and fertility, family relocation, immigration and refugees. Since 2001, he has been the director of the Institute of Population of Tehran University.",
"As a social researcher, Professor ABrazil-Swaz contributed to the understanding of the dynamics of the decline in fertility in the Islamic Republic of Iran, demonstrating that women's education and status and opportunities for their access to reproductive health services have resulted in the adoption of the concept of a child with fewer families. He conducted a study on the situation of Afghan refugees in the Islamic Republic of Iran, and he was also Chairman of the International Federation of Scientific Research on Population and Refugee Science. He has played an important role in the development and direction of a new generation of populationologists in the Islamic Republic of Iran.",
"Professor ABrazil-Shawaz promoted the establishment and strengthening of a number of population institutions at the national and international levels. He served as a member of the Professional and Advisory Committee of many Population Journals and Professional Associations. He led to the establishment of the Asian Population Institute and its current Director. Since 2007, he has served as Director of the Board of Trustees of the Center for International diarrhoea Research in Bangladesh. In 1993, he was recognized by the State for a book on population and family planning, which has become a manual used by the Ministry of Education of the Islamic Republic of Iran. In 2009, he collaborated with the Ministry of Health of the Islamic Republic of Iran and the United Nations Population Fund in preparing the country's population assessment report.",
"Professor ABrazil-Shawaz has a long history of collaborative research with the Australian National University, and is now a future Fellow of the Australian Institute of Population and Social Studies. He worked with researchers from the Australian National University for a decade-long study of the sharp decline in fertility in the Islamic Republic of Iran, which culminated in a book entitled “The transition of Iranian fertility: revolution and fertility”. The book was published by the Sepling Press and was awarded to the International Year of the Islamic Republic of Iran in 2011. Since 2006, Professor ABrazil-Shawaz is an active member of the Development idealist Study Group at the University of Sylgen. The Group has been conducting research on the values and convictions of family and population behaviour in nearly 20 countries. The results of this cross-cutting study suggest that gender equality, the age of marriage and the reduction of fertility are mutually beneficial to socio-economic development. Professor ABrazil-Swaz extended the view that differences in social, economic and cultural relations among States were more important to explain the difference in fertility than religion.",
"The United Nations Population Award Commission elected the Population Research Training Institute (Population) in recognition of its achievements since 1972: (a) training of African population experts, including more than 500 Africans; (b) conducting studies on understanding the demographic problems of Africa: poverty, sexuality and reproductive health, gender and population, migrants; (c) conducting research on linkages between population, environment and development, which are essential for capacity-building and policy development in more than 26 countries in Africa and the Indian Ocean region; and (d) providing technical assistance to countries in conducting research, training and management of local censuses; and (e) providing advice on the development of scientific databases.",
"Population is an academic institution in Africa and is committed to training population experts and research. The population was established in accordance with the recommendations of the Economic Commission for Africa Council of Ministers and started its activities in 1972 and was based in Yaoundé. The population has academic links with the University of Yaoundé. All three main objectives of the population were: (a) the development of the African workforce in the area of population and development; (b) research related to the understanding of the population in Africa; and (c) technical support for countries in the area of population and development.",
"The training programme for the population is structured at two levels: the first level of the Master of Population Sciences and the second level of PhD. Since its inception, the two programmes adopted by the population have trained more than 500 African population scholars. Recently, the population has expanded its capacity to provide short-term training programmes for three to five weeks.",
"All a sustained research programme for the population focused on five areas: poverty; sexual and reproductive health; gender and population issues; migration; linkages between population, environment and development. The research project was carried out by the population, with the participation of the graduate and visiting scholars. In terms of technical support, the population assisted African countries in conducting censuses, establishing local research activities, providing local training, setting up and managing databases and advising on the development and evaluation of population policies. Two recent examples were: a three-year in-depth study on the linkages between poverty and unmet reproductive health needs among adolescents in Central Africa; a study on adolescent reproductive health policies and programmes in Burkina Faso, Cameroon and Togo.",
"The population is the leading agency for training, research and technical assistance in the area of population in Africa and the Indian Ocean, providing services to 26 countries. The population published a large number of scientific journals; in 1979, it issued the Liaison Bulletin as the main tool for disseminating information. Other regular publications, such as the Population Yearbook, the Population Manual and the Population Booklet, play a complementary role in the Liaison Bulletin. More recently, the National Statistics Office of Cameroon has assisted the population in installing national data archives applications to provide survey metadata and micronutrient data online to the general public.",
"Financial matters",
"As at 31 December 2010, the total fund balance for the United Nations Population Award amounted to $1,782,384. Interest income for 2010 amounted to $28,405.02. Expenditures in 2011 amount to $80,845.51, including awards for two awards."
] |
[
"第六十六届会议",
"临时议程[1] 项目69(b)",
"促进和保护人权：人权问题，包括增进人权 和基本自由切实享受的各种途径",
"人人享有能达到的最高标准身心健康的权利",
"秘书长的说明",
"秘书长谨向大会转递人人有权享有能达到的最高标准身心健康问题特别报告员阿南德·格罗夫根据人权理事会第15/22号决议和第6/29号决议编拟的中期报告。",
"人人有权享有能达到的最高标准身心健康问题特别报告员的中期报告",
"摘要 在本报告中，人人有权享有能达到的最高标准身心健康问题特别报告员审议了关于性健康和生殖健康及健康权的刑法与其他法律限制之间的相互作用。性健康和生殖健康权利是健康权的一个基本部分。因此，各国必须确保这方面的健康权得到充分实现。 特别报告员审议了刑事限制和其他法律限制对堕胎、孕期行为、避孕和计划生育，以及提供性教育与生殖教育和信息的影响。上述各领域的一些刑事限制和其他法律限制常常具有歧视性，并因限制获取优质产品、服务和信息，侵犯了健康权。它们因对个人根据健康权有权享有的自由加以限制，特别是以与决策和身体健全相关的自由加以限制，侵犯了人的尊严。此外，将这些法律作为实现某些公共健康成果的途径通常效率低下且不相称。 \n实现健康权须消除干涉个人做出健康相关问题决策和获取特别是仅影响妇女和女童的健康状况的健康服务、教育和信息的障碍。如果这种障碍是因刑法或其他法律限制造成的，则各国有义务将其废除。这些法律和法律限制的废除工作不受资源的制约，从而不能被视为仅要求逐步实现。因此必须立即消除因刑法和其他影响性健康和生殖健康的法律和政策造成的障碍，以便确保充分享有健康权。",
"目录",
"页次\n 1. 导言 4\n 2. 背景 4\n 3. 国际人权法与性健康和生殖健康权利 4\n4. 影响性健康和生殖健康权的刑法和其他法律限制刑法和其他法律限制对健康与生殖健康的影响\t6\n5. 建议\t19",
"一. 导言",
"1. 特别报告员自向大会提交上一份报告(A/65/255)以来，于2010年11月和2011年5月分别对阿拉伯叙利亚共和国(A/HRC/17/25/Add.3)和加纳开展了国别访问。他向2011年6月召开的人权理事会届会提交了一份关于健康权与发展的报告(A/HRC/17/25)，以及一份关于获得药品是健康权的基本内容的专家协商会的报告(A/HRC/17/43)。2011年4月，他就老年人的健康权召开了一次专家协商和一次公众协商，这为提交2011年9月人权理事会届会的报告提供了信息。",
"2. 特别报告员向若干关于健康权问题的会议和大会做出了贡献，包括2011年3月开放社会学会/联合国艾滋病毒/艾滋病联合规划署(艾滋病规划署)在纽约举行的关于人权与全球防治艾滋病、结核病和疟疾基金的会议，以及2011年6月中欧大学在布达佩斯举行的关于行使健康权问题的会议。2010年9月，特别报告员在北爱尔兰议会做了关于千年发展目标的主题发言，2011年5月在伦敦举行的国际毒品政策联合会讨论会上做了关于毒品罪判刑相称原则的主题发言。",
"3. 特别报告员还分别为东非、东欧以及俄罗斯联邦和中亚在内罗毕、布达佩斯和莫斯科举行了区域民间社会协商。这些协商使报告员得以收集关于在这些区域实现健康权的信息，并传播任务授权相关信息。",
"二. 背景",
"4. 本报告审议了将某些性健康和生殖健康服务，特别是与妇女相关的服务进行刑事定罪的问题，以及这些服务对人人享有能达到的最高标准身心健康的权利(下称“健康权”)的影响。报告还讨论了影响性健康和生殖健康方面的行为和决策的其他相关法律限制和政策的影响。报告审查了如何运用这些法律和其他法律限制，规范堕胎、孕期行为、性教育和生殖教育，以及避孕和计划生育。报告还讨论了这些刑法和其他法律限制可能对保健(包括获取产品、服务和信息)、受影响人群特别是妇女的自由和人的尊严，以及公共健康成果造成的不利影响。",
"5. 考虑到性健康和生殖健康权利是由各国通过许多可能侵犯健康权的刑法和其他法律限制予以规范行为和决策的一个领域，特别报告员决定讨论这些问题。",
"三. 国际人权法与性健康和生殖健康权利",
"6. 性健康和生殖健康权利是健康权一个不可分割的组成部分。《经济、社会、文化权利国际公约》第12.2(a)条强调了性健康和生殖健康权利所涉各方面的问题。经济、社会和文化权利委员会第14号一般性意见指出，健康权包括采取措施，改善儿童和母亲的健康、性健康和生殖健康服务，包括获取计划生育、产前和产后保健、紧急产科服务和获取信息，以及根据获取的信息采取行动所需的资源(E/C.12/2000/4，第14段)。此外，它指出妇女的健康权必须清除所有影响获得健康服务、教育和信息的障碍，包括在性健康和生殖健康领域(同上，第21段)。委员会的建议一贯支持该方法。[2]",
"7. 《消除对妇女一切形式歧视公约》[3] 要求各国采取行动，确保妇女除其他外在教育、就业和获取保健服务方面享有广泛的平等。《公约》特别规定正确了解母性的社会功能、获取计划生育信息和消除在婚姻和家庭关系上对妇女的歧视。此外，第16.1(e)条规定妇女有相同的权利，自由负责地决定子女人数和生育间隔，并有机会获得使她们能够行使这种权利的知识、教育和方法。",
"8. 《儿童权利公约》规定保护18周岁以下青年的健康权。《公约》第24条申明了《经济、社会、文化权利国际公约》所确定的健康权，鉴于性健康和生殖健康对青年男女生活的重要意义，这一点尤其重要。[4]《公约》敦促各国确保母亲得到适当的产前和产后保健，开展计划生育教育和服务，以及确保废除“对儿童健康有害”的传统习俗。[5]",
"9. 生殖健康权还在1994年《国际人口与发展会议行动纲领》、1995年《北京行动纲要》和千年发展目标中占据重要的地位。这些文件申明，妇女享有在没有歧视、胁迫和暴力的情况下，控制其健康的所有方面、尊重身体自主和完整并自由决定与性和生殖相关事项的权利。《北京行动纲要》指出，各国应考虑取消与性健康和生殖健康相关的惩罚措施。对妇女性健康和生殖健康的改善与减贫之间的关系予以了特别强调。遗憾的是，《2010年千年发展目标报告》[6] 宣布，世界一些地区在少女怀孕和避孕药具使用等指示性领域的进度减缓，并且2000至2008年期间计划生育援助在健康援助总额中所占比例大幅下降。",
"10. 经济、社会和文化权利委员会第14号一般性意见述及了生殖健康的概念，并指出男女有权自由决定是否和何时生育，以及有权了解情况和得到安全、有效、能够支付得起和可以接受的、由他们自己选择的计划生育方法，有权得到适当的卫生保健服务，例如可使妇女安全的渡过孕期和生产(E/C.12/2000/4，脚注12)。性健康是与性能力有关的生理、情感、心理和社会福祉方面的状态，而不仅仅指没有疾病、功能不紊乱或不虚弱。[7] 人发会议《行动纲领》指出，性健康包括拥有满意而且安全的性生活以及自由决定何时生育和生育间隔的权利(A/CONF.171/13，第7.2段)。它还指出，性健康要求对性能力和性关系实行积极和尊重的办法，以及能够在没有歧视、胁迫和暴力的情况下，享有愉悦和安全的性经历。",
"四. 影响性健康和生殖健康权的刑法和其他法律限制",
"11. 各国颁布刑法旨在规范被认为对个人、他人或社会造成威胁、危险或有害的行为。这些法律是国家惩罚权最有力的表述，属于国家目的最为明确的法案之一。刑法惩罚那些参与禁止行为的人；刑法还用于阻止其他人从事类似行为，剥夺罪犯权利并对其进行改造，向受害人提供赔偿。",
"12. 长期以来，人们一直认为国家或非国家行为者在强迫绝育、强迫堕胎、强迫避孕和强迫怀孕等情况下使用公开身体胁迫是一种不合理的国家制裁的胁迫形式，并侵犯了健康权。[8] 同样，当国家将刑法用作规范性健康和生殖健康权方面的个人行为和决策的工具时，国家胁迫性地用其意志代替了个人意志。",
"13. 国家还利用其他法律限制，其中包括民法和行政法条款，来限制或禁止获取和/或提供性健康和生殖健康服务、产品和信息。",
"14. 在应用中，刑法和其他法律限制可防止获取避孕方法等某些性保健和生殖保健产品，直接宣布堕胎等特定服务违法，或者通过学校教育方案或以其他方式禁止提供性健康和生殖健康信息。实际上，受这些法律影响的个人范围广泛，其中包括想要堕胎或寻求避孕的妇女；协助妇女获取堕胎服务的朋友或家庭成员；提供堕胎服务的从业人员；提供性教育的教师；提供避孕药具的药剂师；旨在提供计划生育服务的机构的员工；倡导性健康和生殖健康权利的人权捍卫者；和为自愿同意的性行为寻求获取避孕药具的青少年。",
"15. 关于性健康和生殖健康的刑法及其他法律限制可通过干涉人的尊严等多种方式对健康权造成不利影响。尊重尊严是实现所有人权的基础。尊严要求个人㹉在不受国家干涉的情况下做出个人决定，特别是在如性健康和生殖健康这样重要私密的领域。",
"16. 影响性健康和生殖健康的刑法和其他法律限制可构成对健康权的侵犯。虽然本报告着重述及了这些法律和法律限制对妇女和女童的影响，但是其绝非要低估男人和男童面临的类似问题。不过，一般而言，鉴于人类生殖的生理机能以及性、生育、怀孕和生育方面与性别相关的社会、法律和经济环境，妇女的性健康和生殖健康权更易被侵犯。[9] 关于妇女在社会和家庭中角色的持续存在的陈规定型观念确立和巩固了相关社会规范。其中许多规范基于这样一个观点，即妇女的自由，特别是妇女的性行为特性方面的自由，应当加以约束和管制(见E/CN.4/2002/83，第99段)。如果妇女违反这些基于陈规定型观念的规范，追求性自由和生殖自由，她们则会常常受到严厉惩罚，从而导致其健康状况受到不利影响，健康权遭到侵犯。本报告审查的刑法和其他法律限制便于国家控制妇女的生活并为这种控制提供了理由，如迫使妇女继续意外怀孕和计划外怀孕。",
"17. 对性别陈规定型观念、妇女和女童被歧视和边缘化与其享有性健康和生殖健康权利之间的因果关系有详细的记载(见E/CN.4/2002/83和E/CN.4/2004/49)。刑事定罪引发了指责，并使这种现象长期存在；限制了她们充分利用可获得的性保健和生殖保健产品、服务和信息的能力；剥夺了她们充分参与社会的机会；扭曲了保健专业人员的认识，从而会妨碍妇女获得保健服务。刑法和其他法律限制削弱了妇女的权能，为逃避责任并且由于担心受到指责，妇女可能不采取保护其健康的措施。通过限制获取性保健和生殖保健产品、服务和信息，这些法律还会造成歧视效果，因为它们对需要这些资源的人(即妇女)造成了极大地影响。结果是，不论遵守还是违犯这些法律，妇女和女孩均会受到惩罚，因为前者会使其身心健康状况很差，后者会使其面临监禁。",
"18. 各国最常以如下两点作为执行与性健康和生殖健康权相关刑法和其他限制性法律的理由：公共健康和公共道德。公共道德不能成为强制执行或颁布可导致侵犯人权的法律的理由，包括旨在规范性行为和生殖行为以及相关决策的法律。尽管保证某些公共健康成果是一个合法的国家目的，但必须以基于证据和相称的方式采取实现此目的的措施，以确保尊重人权。当用来规范公共健康的刑法和法律限制既没有基于证据也不相称时，各国应避免用其规范性健康和生殖健康，因为这些法律不仅侵犯了受影响个人的健康权，而且也与其本身的公共健康理由相矛盾。",
"19. 保证妇女的权利对改善两性健康成果至关重要。然而，对生殖健康和性健康问题的报告严重不足是一个严峻挑战，这可能是因各种政治、社会和文化原因引起的。刑事定罪对公开信息交流和数据搜集产生了令人胆寒的影响，从而进一步加剧了对重要健康指标报告不足的现象。结果导致无法有效应对恶劣的健康成果，国际社会在实现核心发展目标时面临的困难更为复杂。此外，发展指标显示不出刑事定罪的所有影响，因为这些指标只涉及具体的可量化公共健康数据，不包括剥夺尊严和自主权的情况。",
"20. 国家使用刑事限制和其他法律限制来规范性健康和生殖健康可能会构成对受影响个人健康权的严重侵犯，是一项不力的公共卫生干预措施。各国必须立即重新审议这些法律，这些法律的废除无须逐步实现，因为法律废除不涉及相应的资源负担或负担很少。",
"刑法和其他法律限制对健康与生殖健康的影响",
"1. 堕胎相关的刑事定罪和其他法律限制",
"21. 处罚和限制堕胎的刑法是实现妇女健康权的禁用障碍的一个典型例子，必须予以废除。这些法律因严格限制妇女做出与其性健康和生殖健康相关的决策而侵犯了妇女的尊严和自主权。此外，这些法律经常造成身体健康不良的结果，从而导致本可避免的死亡、患病和健康状况欠佳，这些法律还会为精神健康造成负面影响，其中一个主要原因是妇女面临被卷进刑事司法系统的风险。制定或维持与堕胎相关的刑法可能有悖国家尊重、保护和履行健康权的义务。",
"22. 消除对妇女歧视委员会强烈反对限制性堕胎法律，特别反对那些在所有情况下均对堕胎予以禁止和进行刑事定罪的法律(CEDAW/C/CH/CO/4，第19段)。委员会还证实这种立法不会防止妇女获取不安全的非法堕胎服务，认为限制性堕胎法律侵犯了生命权、健康权和信息权。[10] 儿童权利委员会也对高度限制性堕胎法律对少女健康权的影响表示关切。[11] 禁止酷刑委员会还指出，应当重估惩罚性堕胎法律，因为这些法律导致侵犯了妇女不受非人道和残忍待遇的权利。[12] 人权委员会的结论是，男女平等要求其在保健领域享有平等待遇，消除产品和服务提供方面的歧视，并需要对堕胎法进行审查以防止侵犯权利。[13] 前健康权问题特别报告员呼吁废除针对试图堕胎妇女的惩罚性措施(见E/CN.4/2004/49，第30段)。",
"23. 在将堕胎刑事定罪的国家，提供试图堕胎的特定理由可免于刑事定罪。不过，在最严重的情况下，堕胎无一例外地全部被进行刑事定罪(只有少数几个国家存在这种情况)或者只在为了挽救妇女生命时才允许堕胎。涵盖全世界约25%的人口的法律制度禁止所有堕胎，强奸或乱伦的情况以及为挽救妇女生命所必须的除外。限制性稍低的法律制度允许出于一些身体健康、精神健康以及贫穷和子女数量等社会经济理由堕胎。最后，堕胎在56个国家不受任何限制，尽管对在孕期哪个阶段不允许堕胎仍有限制。[14]",
"24. 其他法律限制还致使不能获取合法堕胎。依良心反对的法律允许保健提供人员以及接待员和药剂师等辅助人员拒绝提供堕胎服务和关于程序的信息，并拒绝转诊至其他设施和提供人员，这为获取堕胎服务设置了障碍。[15] 其他限制措施的例子包括：禁止公共资助堕胎护理的法律；针对试图终止怀孕的妇女的咨询要求和强制等待时间；堕胎需经一个以上保健提供人员批准的要求；父母或配偶同意的要求；以及要求保健提供人员在妇女进行堕胎后护理(包括流产在内)时，报告“可疑”非法堕胎案例的法律。这些法律使特别是流离失所的贫穷青年妇女不能获得安全的堕胎和堕胎后护理服务。这些限制性制度在性保健和生殖保健的其他领域没有重复出现，强化了认为堕胎是可予拒绝的行为的蔑视观点。",
"25. 世界卫生组织(世卫组织)确定法律理由大体设定了计划外怀孕妇女实现安全或不安全堕胎的过程。[16] 由于法律限制主要对是否安全堕胎产生影响，[17] 因此在堕胎限制较多的法律制度内易于出现更多不安全的堕胎。不安全堕胎率及不安全堕胎与安全堕胎之间的比率均与堕胎法律的限制和/或惩罚程度直接相关。[18] 据估计，全球近13%的孕产妇死亡因不安全堕胎所致。另有500万妇女和女童因不安全堕胎遭受短期和长期伤害，[19] 其中包括出血、脓毒症、阴道、子宫及腹腔器官受损、宫颈撕裂、腹膜炎、生殖道感染、盆腔炎以及慢性骨盆疼痛、休克及不育。",
"26. 出现不安全堕胎的情况包括：信息特别是关于何时和如何获得合法堕胎的信息的获取受到限制；由技术不熟悉的提供人员在不卫生的条件下进行堕胎或由保健人员在适当设施外进行堕胎；妇女自己堕胎和传统医务从业人员通过向子宫插入物体、喝一种有毒物质或暴力按摩进行堕胎；以及在未采取后续行动或提供更多信息情况下不正确地开药。[20] 将堕胎刑事定罪会产生这些不安全的情况，并使之长期存在。在更宽松的制度内，妇女能够合法地寻求专业保健提供人员在安全适当的医疗环境下提供服务和治疗，包括使用医疗堕胎药，从而使人们能够及早自行进行安全堕胎。",
"27. 刑事禁止堕胎非常明显地体现了国家对妇女性健康和生殖健康的干涉，因为这限制了妇女对其身体的控制，可能将其置于不必要的风险之下。刑事禁止还要求妇女在并非出于自身选择情况下继续进行计划外怀孕和分娩。各国有义务确保无论堕胎是否合法，妇女均能获取必要的堕胎后医疗服务。",
"28. 各国还有义务保护健康权不受第三方的侵犯。在禁止堕胎的国家，不会出台向保健人员提供培训和授予许可等堕胎相关的公共健康和安全条例，这从而增加了采取不安全堕胎做法的可能性。合法化再加上适当的监管和提供可获得的安全堕胎服务是充分保护健康权不受第三方侵犯的最快速的方法。此外，各国应采取措施保护那些提供堕胎和相关服务的人员不受非国家行为者(出于宗教或其他动机)的骚扰、暴力、绑架和谋杀。",
"29. 各国必须采取措施确保可使用并可获得合法安全的优质堕胎服务。不过，除非各国创造提供安全堕胎的条件，否则安全堕胎不会在合法化之后立即就可获得。这些条件包括：建立可使用和可获得的诊所；向医生和保健人员提供更多的培训；颁布发放许可的要求；以及确保提供最新和最安全的药物和设备。",
"30. 妇女有权平等地享有国家提供的健康保护，这是健康权的一部分。无论堕胎有何法律地位，妇女有权获取与性健康和生殖健康相关的产品、服务和信息。具体而言，妇女有权获取高质的医疗服务以处理并发症，包括因不安全堕胎和流产导致的并发症。这种护理必须是无条件的，即使有刑事惩罚的威胁存在也不受影响，而且这种护理不应视妇女在任何随后的刑事起诉中的合作情况而定，也不应在起诉妇女或堕胎提供人员的法律程序中用作证据。法律不得要求保健人员向执法或司法机构举报寻求堕胎相关护理的妇女。",
"31. 刑法的绝对禁止条款使妇女不能使用(在有些情况下)挽救生命的做法。即使可在相对安全卫生的环境下进行秘密堕胎，但最弱势的妇女也可能因经济原因不能获取该服务。贫穷和边缘化的妇女可能转而进行不安全地自行堕胎。当存在将堕胎进行刑事定罪的极少数例外情况(如挽救妇女生命)时，刑事定罪做法会有效地妨碍获取关于合法堕胎服务的信息。由于对堕胎问题的指责阻止了对这种必要信息的传播和讨论，因此妇女常常不知道这些例外情况。由于刑法常常载有明确禁止制造和传播关于堕胎相关信息的条文，因此也存在关于此类信息可获得性的法律限制。",
"32. 提供劣质保健产品和服务是将堕胎刑事定罪的法律制度造成的一个主要问题。在这些环境下，缺乏对医疗做法的国家和专业监管意味着为逃避执法，会由技能不熟练的从业人员在不卫生的条件下进行堕胎。[21] 相反，当由训练有素的保健提供人员在适当条件下进行堕胎时，堕胎是可提供的最安全的医疗程序之一。[22] 刑事定罪还不利于从业人员获取准确的健康信息，并且在存在刑事定罪的例外情况时，相关指责带来的令人胆寒的影响会阻止保健人员寻求堕胎相关培训和信息。因此，选择在这些环境下实施堕胎的保健人员可能会在适当堕胎程序和堕胎后护理方面获得的信息和培训不足，从而降低了合法堕胎的质量和可获得性。",
"33. 保健人员有时会拒绝向妇女提供合法可用的性健康和生殖健康服务，或者仅拒绝向因在别处秘密堕胎而患有并发症的妇女提供治疗服务。由于对堕胎的职责，保健人员还向妇女提供错误信息，如声称一名妇女只有一次合法堕胎机会。",
"34. 堕胎相关的指责和歧视导致妇女被边缘化和变得脆弱，这延续和助长了对健康权的侵犯。堕胎相关指责不利于妇女寻求堕胎服务，也不利于已堕胎妇女要求对堕胎造成的医疗并发症进行治疗。堕胎的报告严重不足(仅35%至60%的堕胎得到报告)是显示堕胎相关指责程度的一个指标。尽管许多社会和文化因素造成和加剧了堕胎相关的指责，但堕胎的刑事定罪使对堕胎的歧视持续存在，并造成了新的指责形式。例如，一名妇女不育可能被误解为是上一次堕胎的结果。由于堕胎相关指责，这种观点认为妇女“有罪”，而不是承认不育可能因各种不相关的健康状况导致。",
"35. 刑事定罪导致的指责产生了一个恶性循环。对堕胎进行刑事定罪导致妇女寻求秘密并且常常是不安全的堕胎服务。因获取非法堕胎服务违法导致的指责使堕胎是不道德的做法、堕胎程序本身是不安全的观念持续存在，这继而又加强了对该做法的持续刑事定罪。",
"36. 对堕胎进行刑事定罪还严重影响精神健康。寻求非法保健服务的需求和对堕胎程序及寻求该程序妇女的强烈指责会对妇女的精神健康造成不利影响。[23]在一些情况下，妇女因堕胎相关的累积压力和指责而自杀。[24] 在强奸不是终止妊娠理由的法域，因强奸而怀孕又不希望继续妊娠的妇女和女孩要么被迫把孩子生下来，要么寻求进行非法堕胎。这两种选择均会造成巨大的痛苦。无论选择哪一种，在刑事司法系统内被调查、被起诉和被惩罚的巨大威胁均会对寻求堕胎和不堕胎的人的心智健康和福祉造成巨大的不利影响。此外，尽管对寻求非法堕胎和将意外怀孕的孩子生下来造成的心理影响有详细记载，但是,没有相应证据证明是否存在选择性堕胎导致的长期精神健康后遗症。[25]",
"2. 对孕期和产期行为的控制和刑事定罪",
"37. 孕产妇健康、产前和产后保健以及信息的获取是第14号一般性意见详述的健康权的所有要素。此外，《经济、社会、文化权利国际公约》第10.2条规定，应给予母亲特别保护。《消除对妇女一切形式歧视公约》还认识到，应向妇女提供与怀孕有关的适当服务。[26]《人发会议行动纲领》在第七A章中认为，生殖健康包括获得使妇女安全度过孕期和分娩的服务。尽管有在孕期和产后向妇女提供支助的积极义务，但一些国家已提出或颁布了刑法或其他法律限制，禁止侵犯受害妇女健康权的某些行为。",
"38. 在某些法域，对孕妇在孕期做出的各种行为提出了控诉。很多控诉涉及孕妇使用非法药物，包括根据现行法律与虐待儿童、企图谋杀、杀人和需负刑事责任的过失杀人有关的起诉。刑法还用于起诉妇女的其他行为，包括在孕期酗酒、生下死婴或胎儿流产(见A/HRC/17/26/Add.2，第68段)、未能遵照医生嘱咐、未能戒除性生活以及隐瞒婴儿出生的情况。",
"39. 在某些情况下，已经将与儿童福祉相关的民事立法范围扩大，以纳入对产前药物暴露行为的惩罚性制裁，这种暴露可成为剥夺父母权利和在婴儿出生后剥夺其照看权利的理由。若孕妇的毒理学报告呈阳性，或新生儿呈现出药物暴露的临床症状，可将其视作这些立法计划规定的虐待或忽视儿童行为的证据。在某些法域，医务人员须对孕妇或新生儿进行药物暴露方面的检测，或对接到通知的孕妇进行检测。其他法域已颁布立法，核准将妇女在孕期使用药物的问题制度化。医务人员可能还有义务向政府报告呈阳性的药物筛选结果。",
"40. 一些国家还将艾滋病毒母婴传播进行刑事定罪。例如，在一个法域，感染艾滋病毒者(和意识到这个事实)必须“‘采取一切合理措施和预防，防止将艾滋病毒传播给其他人，以及在孕妇的情况下传播给胎儿’，如果不这么做，将被处以刑事制裁”(见A/HRC/14/20，第67段)。在这种情况下，毫无例外地不得以无法获得预防性保健品、服务和资料或获取途径不足为由进行辩护。其他一般将艾滋病毒传播进行刑事定罪的法域的法规可能也适用于母婴传播。",
"41. 将孕期行为进行刑事定罪不利于保健品和服务的获取，从而侵犯了孕妇的健康权。如果妇女担心受到刑事起诉，她们在获得保健服务和护理以及与怀孕有关信息方面便可能受到限制。例如，如果妇女面临因传播艾滋病毒被起诉的风险，她们可能不会寻求产前服务，但这会对其健康和胎儿健康带来风险。这样有损与艾滋病毒相关的公共健康目标，因为在面临传播带来的刑事处罚时，妇女可能拒绝接受全面检测。",
"42. 尽管公共健康目标能够成为在一定程度上干涉个人自由的合理理由，但有据可查的是，公共健康目标不能通过刑事定罪来实现；相反，刑事定罪往往会有损这一目标(见A/HRC/14/20，第51段)。将刑法用于监管孕期酗酒等行为是过激的反应和无效的威慑。大量专业医疗协会反对以刑法作为解决孕妇滥用药物问题的手段，因为这是无效且过激的。[27]为有效实现公共健康成果，以及同时促进妇女的健康权，各国不得将孕期的此类行进行刑事定罪，而应确保提供促进孕期和产期健康的保健品、服务和信息。",
"43. 某些刑法有效地将国家实现健康权的负担转移给了孕妇，政府缺乏对保健品、服务和信息的有效供应，却对孕妇进行惩罚。例如，如果携带艾滋病毒的妇女必须采取一切合理措施和预防，防止将艾滋病毒传播给胎儿，但其无法获得保健服务和抗逆转录病毒治疗或获取途径有限，则该国不能向妇女提供避免其被刑事起诉的保障。特别报告员认为，“在不能确保享有获得适当的保健服务……的权利时，妇女根本不能采取防止传播的必要的预防，这可能使她们面临刑事责任的风险(见A/HRC/14/20，第66段)。”因为提供和获取保健品和服务是各国的责任，所以刑法可能因国家政府在这方面的能力不足而惩罚妇女的做法尤为不当。",
"3. 避孕和计划生育",
"44. 世卫组织将计划生育界定为一个使人们得以按自己期望的数目和怀孕间隔生育子女的过程，该过程是通过使用避孕方法和治疗不孕不育来实现的。[28]使用计划生育方法是健康权不可分割的组成部分。避孕是一种控制生育的方法，并影响着计划生育。还能用一些形式预防性传播感染，具体途径主要是避孕套等物理屏障避孕方法。存在各种其他避孕方法，从绝育手术到口服避孕药等药物方法不等，但这些做法不能预防性传播感染。",
"45. 计划生育赋予了妇女就其性健康和生殖健康做出自主和知情选择的权利。计划生育通过推迟青年妇女怀孕年龄，降低了孕产妇死亡率，早育还会使青年妇女面临其他更高风险的健康问题，甚至是死亡。证据表明，进行自愿计划生育能使孕产妇死亡率降低25%至40%。[29] 计划生育还能减少不安全堕胎的次数和艾滋病毒母婴传播的几率。避孕套的使用不仅降低了性传播感染的发病率，而且如果正确和坚持使用，避孕成功率能达到98%。²⁷",
"46. 全球在实现计划生育方面未满足的需要仍是实现权利相关目标和发展目标的重大障碍。世卫组织估算，发展中国家2亿夫妇打算推迟或停止生育，但并未使用任何避孕方法。²⁷据报告，2009年，最不发达国家24%的已婚或同居的育龄妇女不想生育更多子女或想推迟生育下一个孩子的时间。[30] 全球存在未满足需要的原因包括：获得避孕药具的途径有限；避孕方法的选择有限；有副作用方面的担心或经历；文化或宗教方面的反对；可用服务的质量低劣；以及基于性别的障碍。",
"47. 计划生育使妇女得以选择是否与何时生育，因此是妇女发展和全面参与社会的重要前提。在撒哈拉沙漠以南非洲的部分地区，受过中等教育的妇女使用避孕药具次数比没受过教育的妇女高四倍，来自最富裕家庭的妇女比来自最贫穷家庭的妇女高近四倍。[31] 一项全国调查显示，妇女在劳动人口中所占比例与国家生育率有直接关系。[32] 调查还指出，妇女使用避孕药具的情况与其在家庭外获得工作机会的情况有着紧密的联系；在一个国家，怀孕一到三次的妇女收入平均增幅是怀孕七次以上的妇女的两倍。³¹",
"48. 刑法和其他法律限制减少或拒绝提供计划生育用品和服务，或者紧急避孕等某些现代化避孕方法的行为都是对健康权的侵犯。《消除对妇女一切形式歧视公约》呼吁各国确保有接受特殊知识辅导的机会，以有助于保障家庭健康和福祉，包括关于计划生育的知识和赴台在内，并利用充分的保健设施，包括计划生育方面的知识、辅导和服务。[33] 在第14号一般性意见中，《经济、社会、文化权利国际公约》呼吁各国采取措施，“改善儿童和孕产妇的健康、性健康和生殖健康服务，包括实行计划生育……和获得信息，以及根据获得的信息采取行动所需的资源(见E/C.12/2000/4，第14段)。”",
"49. 在第二章中，《人发会议行动纲领》原则8证实，各国应采取一切适当措施来确保，在两性平等的基础上，普遍获得保健服务，包括与生殖保健相关的服务，其中涉及计划生育和性健康。该行动纲领还强调参与的必要性，并指出，当妇女全面参与服务的制定、提供、管理和评估时，计划生育方案是最成功的。该行动纲领进一步补充说，各国政府应摒除所有在获得信息以及计划生育服务和方法方面不必要的法律、医学、临床和监管障碍。在第96段，《北京行动纲要》宣布，妇女的人权包括在不受胁迫和歧视以及没有暴力的情况下，控制并负责任和自主地决定与其性生活有关的事项，包括性健康和生殖健康。",
"50. 然而，在很多国家，刑法和其他法律限制严重抑制了计划生育产品和服务的获取。在这些法域中，妇女和男子(特别是贫穷人口)缺乏获得安全和有效的避孕药具的途径，并被剥夺了决定是否生育的自由。",
"51. 例如，一些国家已将分发和使用紧急避孕药具的做法进行刑事定罪，[34] 以紧急避孕药具是堕胎药具的理由为这些法律辩护。然而，世卫组织证实，紧急避孕药具是有效的避孕形式。[35] 根据这些法律，意外怀孕的妇女可能也要承担不良的身体和精神健康后果。[36] 同时，因刑事禁令无法进行紧急避孕的妇女可能最终被迫进行秘密堕胎，从而给她们自身带来了相关的健康风险。",
"52. 限制获得避孕手术方法还违背了各国确保提供和获得优质服务的义务。例如，一些国家的法律禁止实施对妇女进行安全和有效的绝育手术——输卵管结扎术，除非在该手术是治疗所需的极少情况下。与判定对肢体造成永久伤害的暴力行为是刑事犯罪的法律一并阅读，该法使实施该手术的医务人员须承担刑事责任，从而限制了妇女获得该避孕方法的途径。但妇女可能寻求在无照经营的卫生设施中接受输卵管结扎手术，这可能给其带来患上并发症的风险，并有效阻止了无力负担这类手术费用的贫穷妇女进行手术。",
"53. 在一个法域，限制获得计划生育和避孕服务的其他法律包括对所谓的“人工”避孕实施全市范围内真正意义上的禁止，这使得妇女在获得可靠的节育方法方面面临极大困难(见A/HRC/14/20/Add.1)。在总共70%的受害人口中，绝大多数是贫穷和边缘化人口，他们依靠政府提供女性绝育手术、口服避孕药、宫内避孕器和注射剂等服务(同上)。该禁令绝对剥夺了众多妇女和男子获得计划生育服务和避孕药具的途径。在其他情形中，国家要求妇女和青少年在进行各种形式的避孕前分别得到丈夫和父母的同意。其他法域允许药剂师，以及在某些情况下，允许药店拒绝分发紧急避孕药具，但这些药具本来是应合法提供的。这些法律直接侵犯了妇女和女孩就其性健康和生殖健康做出自由和知情选择的权利，并反映出歧视妇女在家庭和社会中所起作用的观念。",
"54. 妇女还有权在各决策层面上参与影响其性健康和生殖健康的所有决定。已证实涉及避孕药具使用的社区一级的参与能增强妇女自由选择使用避孕套的自主权和能力，这不仅为其提供了一种控制生育的手段，还在预防性传播感染方面保护了其自身健康。[37]",
"55. 尊重健康权的义务要求，各国不得限制获得避孕药具以及保持性健康和生殖健康的其他方式。因此，各国应取消刑法和其他法律限制，包括关于父母同意的法律和其他第三方授权，以便确保获得计划生育和避孕产品、服务和信息。保护的义务要求各国确保，第三方或有害的社会和传统做法都不能干预获得产前和产后护理和计划生育(见E/C.12/2000/4，第35段)，或阻止一些或一切避孕方法的获取。最后，履行的义务包括采取和执行国家公共健康战略，其中涉及提供“范围广泛的一系列性健康和生殖健康服务，包括获得计划生育(……)和获得资料”(见E/CN.4/2004/49，第29段)。",
"4. 关于性健康和生殖健康的教育和信息",
"56. 提供关于性健康和生殖健康的全面教育和信息是实现健康权和其他权利的重要组成部分，如受教育权和获取信息的权利。因此，限制获得性健康和生殖健康方面的全面教育和信息的刑法和其他法律与全面实现健康权不符，各国应取消相关法律(见E/C.12/2000/4，第11段)。这些障碍对妇女和男子造成了负面影响。然而，妇女受到的影响更大。",
"57. 第14号一般性意见强调了信息的获取，因为这是健康权的重要组成部分(同上，脚注8)，而且特别保障性健康和生殖健康方面的信息获取。此外，各国还须提供充足的资源，不得“审查、扣留或故意歪曲与健康相关的信息，包括性教育和有关信息(见E/C.12/2000/14，第14段)。”消除对妇女一切形式歧视公约委员会建议，全面了解性教育和生殖教育的内容包括生殖权利、负责任的性行为、性健康和生殖健康、预防包括艾滋病毒/艾滋病在内的性传播感染、防止未成年人怀孕，以及计划生育这些议题，[38] 并强调迫切需要开展教育活动，以便打击切割女性生殖器官等有害做法。[39] 关于性健康和生殖健康的全面教育和信息还有益于缩小两性在这些问题上的知识差距。[40]",
"58. 联合国教育、科学及文化组织(教科文组织)《性教育国际准则》将最佳性教育描述为“适龄、具有文化敏感性和全面的方法……包括提供具有科学准确性、真实和非评判性信息的方案”。[41] 此外，全面的性健康和生殖健康教育应提供“探索个人自身价值观和态度，以及培养就性所涉各方面进行决策、交流和降低风险的技能的机会”。⁴⁰ 教育权问题特别报告员进一步强调，全面的课程需具备对性多元化的敏感性和性别观点(见A/65/162，第23段)。",
"59. 限制了解性健康和生殖健康信息以及审查关于同性恋问题课堂讨论的法律助长了对弱势少数族裔的羞辱和歧视。[42] 例如，提倡禁欲教育的法律和政策将性教育降低到异性恋规范的印象和固定模式上，因为这些法律和政策注重生殖。一些方案甚至明确包含关于性别和性取向的歧视性内容。[43] 在一些情况下，如果教师在课堂上讨论性健康和生殖健康问题时，与其学生共同讨论“不适当”的性问题，则会面临被勒令停职或被控诉的危险。在其他情况下，根据禁欲和反淫秽政策，校区、法庭和立法者禁止民间社会组织在公立学校内集会。这些法律和政策将使性方面的虚假和负面固定模式长期存在下去，具有不同性取向的学生被疏远，并不利于学生就其性健康和生殖健康做出完全知情的决定。",
"60. 尽管一些法域准许开展某些形式的性健康和生殖健康教育，但政策规定会严重削弱教育的质量和效力。各国在传播避孕套使用的错误信息方面起到了推波助澜的作用，具体方法要么是分发载有错误信息的材料，要么是对该问题保持缄默，从而导致传播矛盾和不准确的信息。[44] 同样地，只注重将禁止性交作为防止性传播感染和意外怀孕的手段的禁欲活动反映了狭隘、不完整且不全面的观点。这些方案往往缺乏准确和基于证据的信息，被证实对减少性传播感染的效果微乎其微或没有任何效果。",
"61. 研究表明，尽管少数青年对艾滋病毒/艾滋病有正确的认识，[45] 但妇女通常比男子了解得更少。在艾滋病规划署涉及147个国家的研究中，尽管发现超过70%的青年男子认识到避孕套能预防艾滋病毒，但确定只有55%的青年妇女将使用避孕套视为预防艾滋病毒的有效途径。[46] 对获得全面性健康和生殖健康教育和信息的法律限制给妇女和女孩造成了格外严重的影响，这些法律限制加大并加剧了数据表明的性别不平等的情况。在获得性健康和生殖健康的信息和教育方面存在的法律限制导致了非正规来源的错误信息的出现，非正规来源往往是有误的，并且可能强化负面的性别固定模式。因此，青年妇女对其性生活和生育生活准备更加不足，容易受到胁迫、虐待和剥削，并且面临更大的意外怀孕、不安全堕胎、孕产妇死亡、感染艾滋病毒/艾滋病和其他性传播感染风险。[47]",
"62. 在将性健康和生殖健康的某些方面进行刑事定罪的法域，相关信息的可用性和可获性受到了严重限制。例如，刑法可能具体规定了，禁止分发关于防止或终止怀孕的信息，或所谓违背道德或行为规范观念的材料。惩罚范围可从罚款到监禁不等。此外，对与健康相关信息的限制可能是与其他信息相关的法律产生的意外后果，如色情法，这也能对性健康和生殖健康信息进行刑事定罪。[48] 因此，基于这些信息的公共健康和赋权方案及活动——关于艾滋病毒/艾滋病和预防性传播感染、计划生育、家庭暴力、性别歧视、女性生殖器切割、性多元化、全面性健康和生殖健康的教育活动——被有效禁止了。妇女和女孩是最有可能受可用服务和方案编制缺口影响的，因为她们面临艾滋病毒/艾滋病感染和性传播感染、孕产妇死亡、不安全堕胎以及不必要和意外怀孕的风险更高。",
"63. 一再证实对性健康和生殖健康具有充分认识能有效降低孕产妇死亡率；防止意外怀孕、不安全堕胎、感染艾滋病毒/艾滋病和其他性传播感染；推迟首次性交年龄；加强对计划生育选择的了解；以及防止发生基于性别的暴力(见E/C.12/2000/4，第21段)。还必须通过全面的性健康和生殖健康教育和信息增强妇女权能，因为青年妇女往往缺乏性关系方面的权力和控制，这使她们很容易受到胁迫、虐待和剥削。[49]作为赋权手段以及认真审视性别不平等问题和固定模式问题的方法，全面教育和信息还是消除根深蒂固的父权制度的方法；父权制使侵犯妇女权利的现象长期存在，包括其健康权(见A/65/162，第7-9段)。向妇女提供与其性健康和生殖健康相关的知识和技能、相关教育和信息能使其更为自由地做出与健康相关的知情决定，并促进其平等地参与社会。",
"64. 实施和强制执行限制获得性健康和生殖健康信息的刑法或其他法律的国家积极减少对信息的获取，因此没有履行其尊重健康权的义务。由于这些法律的存在和法律引起的指责，教师、出版商或书商等第三方可能也拒绝向妇女和女孩提供获得必要的性健康和生殖健康资料的途径。各国实现健康权的义务要求其制定战略，确保向所有人，特别是妇女和少女提供全面的性健康和生殖健康教育和信息。",
"五. 建议",
"65. 在适用实现健康权方法方面，各国应根据国际人权法的要求，就制定和执行与性健康和生殖健康相关的政策和方案进行改革。在这方面，特别报告员呼吁各国：",
"(a) 拟定公共健康政策和方案，宣传涉及性健康和生殖健康及预防艾滋病毒母婴传播的基于证据的信息；",
"(b) 制定全面的计划生育政策和方案，以提供范围广泛的与避孕相关的产品、服务和信息，且产品、服务和信息可使用、可获得并质量优良；",
"(c) 使提供和使用一切避孕形式以及为控制生育进行自愿绝育的做法合法化，并取消对配偶和/或家长同意的要求；",
"(d) 采取措施，确保各种避孕方法的可用性、可获得性和质量，其中包括药物和手术避孕方法；",
"(e) 使提供与性健康和生殖健康相关的信息合法化，其中包括开展基于证据的性健康和生殖健康教育；",
"(f) 拟定政策，以便确保色情相关法律等现有刑法不适用于限制获得基于证据的性健康和生殖健康信息和教育，或者不对这方面信息和教育的供应者予以处罚；",
"(g) 采取措施，使国家课程标准化，以便确保性教育和生殖教育全面、以证据为依据，并载有与人权、性别和性相关的内容；",
"(h) 使堕胎合法化，包括相关法律，如涉及唆使堕胎的法律；",
"(i) 考虑作为暂行措施由责任当局拟定政策和议定书，以暂停适用关于堕胎的刑法，包括医务人员向执法机关报告妇女情况的法律职责；",
"(j) 确保根据世卫组织议定书，提供包括堕胎在内的安全优质的健康服务，并使用相关服务；",
"(k) 制定政策和方案，以便确保特别是在将堕胎进行刑事定罪的法域，根据世卫组织议定书，获得和利用关于堕胎相关并发症和堕胎后护理的安全、可靠和优质的服务；",
"(l) 确保关于堕胎及其可用性的准确和基于证据的信息公开可用，并且卫生保健供应者充分认识到与堕胎及其例外情况相关的法律；",
"(m) 确保在范围方面，对出于良心而反对豁免的情况作出明确界定，在使用时予以认真监管，并且在服务供应者提出反对的情况下，提供转诊和替代性服务；",
"(n) 中止/取消现行刑法对孕期各种形式行为的适用，如与治疗胎儿、尤其是流产、酗酒和使用药物以及传播艾滋病毒相关的行为。",
"[1] ^(*) A/66/150。",
"[2] 见E/C.12/1/Add.98，第43段；E/C.12/1/Add.105和Corr.1，第53和54段；E/C.12/BRA/CO/2，第29段；以及E/C.12/COL/CO/5，第5段。",
"[3] 特别见第5、10(h)、11、12.1和16条。",
"[4] 见联合国人口基金，《八个生命：生殖健康的故事》(纽约，2010年)。",
"[5] 联合国，《条约汇编》，第1577卷，第27531号，第24条；(另见CRC/GC/2003/4，第31段)。",
"[6] 联合国出版物，出售品编号：E.10.I.7。",
"[7] Paul Hunt and Judith Bueno de Mesquita. The Rights to Sexual and Reproductive Health(Colchestex Essex, University of Essex, 2006)。",
"[8] 见CRC/C/15/Add.268，第46(e)段。CEDAW/C/CHN/CO/6，第32段；E/CN.4/2004/49，第25段。",
"[9] 与男性发生性关系的男性除外；见A/HRC/14/20。",
"[10] 见A/53/38/Rev.1，第337段；以及A/54/38/Rev.1，第一部分，第56、228和393段。",
"[11] CRC/C/15/Add.107，第30段；CRC/C/CHL/CO/3，第55段；以及CRC/C/URY/CO/2，第51段。",
"[12] CAT/C/PER/CO/4，第23段；CAT/C/NIC/CO/1，第16段；以及CAT/C/CR/32/5，第7段。",
"[13] CCPR/C/21/Rev.1/Add.10，第20、28和31段。",
"[14] R. Boland, “Second trimester abortion laws globally: actuality, trends and recommenda tions”, Reproductive Health Matters, vol. 18, No. 36 (2010), pp. 67–89。",
"[15] Louise Finer和Judith Buenode Mesquita，《良知拒绝：保护性健康和生殖健康权》(埃塞克斯科尔切斯特，埃塞克斯大学，2010年)。",
"[16] 世卫组织，《不安全的堕胎：2008年全球和区域不安全堕胎和相关死亡的估计数》，第6版，(日内瓦，2011年)，第2页。",
"[17] A.I. Mundigo, “Determinants of Unsafe Induced Abortion in Developing Countries,” in Ina K. Warriner and Iqbal H. Shah, eds., Preventing Unsafe Abortion and its Consequences: Priorities for Research and Action(纽约，古特马赫研究院，2006年)，pp.51-54。",
"[18] 世卫组织，《安全堕胎：健康系统技术和政策指南》(日内瓦，2003年)，第86页。",
"[19] Lori Ashford, “Hidden suffering: Disabilities from pregnancy and childbirth in less developed countries”. (华盛顿特区，人口资料局，2002年)。Available from: http://www.prb.org/pdf/ hiddensufferingeng.pdf。",
"[20] Michael Vlassoff, and others, “Estimates of health care system costs of unsafe abortion in Africa and Latin America”, International Perspectives on Sexual and Reproductive Health, vol. 35, No. 3 (2009), pp.114–121。",
"[21] 世卫组织，《不安全的堕胎：全球和区域估计数》，第7页(见上文脚注14)。",
"[22] 世卫组织，《安全堕胎：技术和政策指南》，第14页(见上文脚注16)。",
"[23] 世卫组织，《妇女生殖健康的精神健康方面》(日内瓦，2008年)，第54页。",
"[24] 同上，第52页。",
"[25] Vignetta E. Charles and others, “Abortion and long-term mental health outcomes: a systematic review of the evidence”, Contraception, vol. 78, No. 6. (December 2008), p. 436。",
"[26] 联合国，《条约汇编》，第1249卷，第20378号，第12条。",
"[27] 全国怀孕妇女倡议者，“将怀孕和药物问题视为犯罪错在何处？”(2006年3月9日)。",
"[28] 世卫组织，“计划生育”，第351号概况介绍(2011年4月)。",
"[29] 世界银行，“21世纪的人口问题：世界银行的作用”，健康、营养和人口(2007年4月，华盛顿特区)。",
"[30] 2010年世界避孕药具使用情况(POP/DB/CP/Rev2010)；可查阅：http://www.un.org/esa/ populations/wcu2010/Main.html。",
"[31] 《2010年千年发展目标报告》(联合国出版物，出售品编号：E.10.I.7)，第37页。",
"[32] 世界银行，“人口问题”，第26页(见上文脚注27)。",
"[33] 联合国，《条约汇编》，第1249卷，第20378号，第 10(h)和 14(b)条。",
"[34] Eileen Kelly. “Crisis of Conscience: Pharmacist Refusal to Provide Health Care Services on Moral Grounds”, Employee Responsibility Rights, vol.23, No.1 (2011), 37-54。",
"[35] 世卫组织，“紧急避孕”，第244号概况介绍(2005年10月修订)。可查阅：http://www.who.int/ mediacentre/factsheets/fs244/en/index.html。",
"[36] 世卫组织，《精神健康》，第55页(见上文脚注21)。",
"[37] 例如，在印度的加尔各答，由于社区牵头的结构性干预措施Sonagachi项目，七年中性工作者使用避孕套的比例从3%增至了90%。见T. Ghosea and others, “Mobilizing collective identity to reduce HIV risk among sex workers in Sonagachi, India: The boundaries, consciousness, negotiation framework,” Social Science Medicine, vol. 67, No. 2 (2008), pp. 311–320。",
"[38] 见A/56/38，第224段；A/56/38，第303段；A/53/38，第349段；CEDAW/C/PHI/CO/6，第28段。",
"[39] 见 E/C.12/1/Add.78，第31段；以及E/C.12/1/Add.62，第39段。",
"[40] 艾滋病规划署，《全球艾滋病疫情报告》(2008年，日内瓦)。",
"[41] 教科文组织，《性教育国际准则：有效性伙伴关系和艾滋病毒/性传播感染教育的循证知情办法》(2009年，巴黎)，第61页。",
"[42] 见人权合法保护者国际中心诉克罗地亚；人权观察、危急的权利、执行摘要(2011年)；英国广播公司，“总统暂停的巴西性教育材料”(2011年5月25日)。可查阅：http://www.bbc.co.uk/news/world-latin-america-13554077。",
"[43] 见A/65/162，第 68-69段；以及A/HRC/14/20/Add.3，第25段。",
"[44] 教科文组织，《对学校性、性关系和艾滋病毒教育的审查》，(2007年)，第16和17段。",
"[45] 艾滋病规划署，《2008年全球报告》，第98页(见上文脚注38)。",
"[46] 同上。",
"[47] 教科文组织，《性教育国际准则》，第2页(见上文脚注39)。",
"[48] 国际特赦组织，“别无选择：印度尼西亚生殖健康的障碍”(2010年，伦敦)。",
"[49] 见教科文组织，《性教育国际准则》，第20页(见上文脚注39)。"
] | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda[1]",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Right of everyone to the enjoyment of the highest attainable standard of physical and mental health",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the interim report prepared by the Special Rapporteur of the Human Rights Council on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health, Anand Grover, in accordance with Human Rights Council resolutions 15/22 and 6/29.",
"Interim report of the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health",
"Summary",
"In the present report, the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health considers the interaction between criminal laws and other legal restrictions relating to sexual and reproductive health and the right to health. The right to sexual and reproductive health is a fundamental part of the right to health. States must therefore ensure that this aspect of the right to health is fully realized.",
"The Special Rapporteur considers the impact of criminal and other legal restrictions on abortion; conduct during pregnancy; contraception and family planning; and the provision of sexual and reproductive education and information. Some criminal and other legal restrictions in each of those areas, which are often discriminatory in nature, violate the right to health by restricting access to quality goods, services and information. They infringe human dignity by restricting the freedoms to which individuals are entitled under the right to health, particularly in respect of decision-making and bodily integrity. Moreover, the application of such laws as a means to achieving certain public health outcomes is often ineffective and disproportionate.",
"Realization of the right to health requires the removal of barriers that interfere with individual decision-making on health-related issues and with access to health services, education and information, in particular on health conditions that only affect women and girls. In cases where a barrier is created by a criminal law or other legal restriction, it is the obligation of the State to remove it. The removal of such laws and legal restrictions is not subject to resource constraints and can thus not be seen as requiring only progressive realization. Barriers arising from criminal laws and other laws and policies affecting sexual and reproductive health must therefore be immediately removed in order to ensure full enjoyment of the right to health.",
"Contents",
"Page\nI.Introduction 4\nII. Background 4III. International 5 human rights law and the right to sexual and reproductive \nhealth IV.Criminal 6 laws and other legal restriction affecting the right to sexual and reproductive \nhealth Impactof 7 criminal laws andotherlegal restrictionsonsexual and \nreproductivehealth \nV.Recommendations 19",
"I. Introduction",
"1. Since his previous report to the General Assembly (A/65/255), the Special Rapporteur has undertaken country missions to the Syrian Arab Republic in November 2010 (A/HRC/17/25/Add.3) and Ghana in May 2011. He submitted reports on the right to health and development (A/HRC/17/25) and on the expert consultation on access to medicines as a fundamental component of the right to health (A/HRC/17/43) to the Human Rights Council at its seventeenth session, held in June 2011. He convened an expert consultation and held a public consultation on the right to health of older persons in April 2011, which informed the report submitted to the Council at its eighteenth session in September 2011.",
"2. The Special Rapporteur has contributed to a number of meetings and conferences on the right to health, including the meeting on human rights and the Global Fund to Fight AIDS, Tuberculosis and Malaria, organized by the Open Society Institute/Joint United Nations Programme on HIV/AIDS (UNAIDS) in New York in March 2011, and the conference on enforcement of the right to health organized by the Central European University in Budapest in June 2011. The Special Rapporteur gave keynote presentations at the Northern Ireland Assembly in September 2010 on the Millennium Development Goals and at the International Drug Policy Consortium seminar, held in London in May 2011, on proportionality in sentencing for drug offences.",
"3. The Special Rapporteur also held regional civil society consultations in Nairobi, for East Africa; Budapest, for Eastern Europe; and Moscow, the Russian Federation and Central Asia. The consultations allowed the Rapporteur to gather information regarding realization of the right to health in those regions and to disseminate information about the mandate.",
"II. Background",
"4. The present report considers the criminalization of certain sexual and reproductive health services, particularly in relation to women, and their impact on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health (hereafter, the “right to health”). It also discusses the effect of other legal restrictions and policies affecting conduct and decision-making in the context of sexual and reproductive health. It examines how laws and other legal restrictions are used to regulate abortion, conduct during pregnancy, sexual and reproductive education, and contraception and family planning. It also discusses the negative impact that such criminal laws and other legal restrictions may have on health care, including access to goods, services and information, on the freedoms and human dignity of affected persons, particularly women, and on public health outcomes.",
"5. The Special Rapporteur decided to address those issues given that the right to sexual and reproductive health is an area in which conduct and decision-making are regulated by the State through a range of criminal laws and other legal restrictions that may violate the right to health.",
"III. International human rights law and the right to sexual and reproductive health",
"6. The right to sexual and reproductive health is an integral component of the right to health. The International Covenant on Economic, Social and Cultural Rights emphasizes aspects of the right to sexual and reproductive health in article 12.2 (a). General Comment No. 14 of the Committee on Economic, Social and Cultural Rights states that the right to health includes measures to improve child and maternal health, sexual and reproductive health services, including access to family planning, prenatal and post-natal care, emergency obstetric services and access to information, as well as to resources necessary to act on that information (E/C.2/2000/4, para. 14). Moreover, it notes that women’s right to health requires the removal of all barriers interfering with access to health services, education and information, including in the area of sexual and reproductive health (ibid., para. 21). The recommendations of the Committee have consistently supported that approach.[2]",
"7. The Convention on the Elimination of All Forms of Discrimination against Women[3] requires States to take action to ensure that women are afforded broad equality in, inter alia, education, employment and access to health care. The Convention specifically provides for a proper understanding of maternity as a social function, access to family planning information, and the elimination of discrimination against women in marriage and family relations. Furthermore, article 16.1 (e) mandates that women be provided the same rights to decide freely and responsibly on the number and spacing of their children and to have access to the information, education and means to enable them to exercise those rights.",
"8. The Convention on the Rights of the Child provides for the protection of the right to health of young persons under the age of 18. Article 24 of the Convention affirms the right to health as established in the International Covenant on Economic, Social and Cultural Rights, which is especially relevant given the importance of sexual and reproductive health to the lives of young women and men.[4] The Convention urges States to ensure prenatal and post-natal care for mothers, develop family planning education and services and ensure the elimination of traditional practices that are “prejudicial to the health of children”.[5]",
"9. Reproductive health rights also feature prominently in the Programme of Action of the 1994 International Conference on Population and Development, the 1995 Beijing Platform for Action and the Millennium Development Goals, which affirm the rights of women to control all aspects of their health, to respect bodily autonomy and integrity and to decide freely in matters relating to their sexuality and reproduction, free of discrimination, coercion and violence. The Beijing Platform for Action states that States should consider removing punitive measures related to sexual and reproductive health. The relationship between improved sexual and reproductive health for women and poverty reduction is particularly emphasized. Unfortunately, the Millennium Development Goals Report 2010[6] declared that progress in parts of the world in some indicative areas, such as adolescent pregnancy and contraceptive use, had slowed and that aid for family planning as a proportion of total aid to health had declined sharply between 2000 and 2008.",
"10. General Comment No. 14 of the Committee on Economic, Social and Cultural Rights elaborates the concept of reproductive health, stating that women and men have the freedom to decide if and when to reproduce and the right to be informed and to have access to safe, effective, affordable and acceptable methods of family planning of their choice and appropriate health-care services that will, for example, enable women to go safely through pregnancy and childbirth (E/C.12/2000/4, footnote 12). Sexual health is a “state of physical, emotional, mental and social well-being related to sexuality, not merely the absence of disease, dysfunction or infirmity”.[7] The Programme of Action of the International Conference on Population and Development states that sexual health includes the right to a satisfying and safe sex life as well as the freedom to decide when and how often to reproduce (A/CONF.171/13, para. 7.2). It also states that sexual health requires a positive and respectful approach to sexuality and sexual relationships, as well as the possibility of having pleasurable and safe sexual experiences, free of coercion, discrimination and violence.",
"IV. Criminal laws and other legal restrictions affecting the right to sexual and reproductive health",
"11. Criminal laws are enacted by the State to regulate conduct perceived as threatening, dangerous, or harmful to an individual, to other individuals or society. Such laws represent the strongest expression of the State’s power to punish and are among its most intentional acts. Criminal laws punish those who engage in prohibited conduct; they are also intended to deter others from similar conduct, incapacitate and rehabilitate offenders, and provide restitution for victims.",
"12. The use of overt physical coercion by the State or non-State actors, such as in cases of forced sterilization, forced abortion, forced contraception and forced pregnancy has long been recognized as an unjustifiable form of State-sanctioned coercion and a violation of the right to health.[8] Similarly, where the criminal law is used as a tool by the State to regulate the conduct and decision-making of individuals in the context of the right to sexual and reproductive health the State coercively substitutes its will for that of the individual.",
"13. States also use other legal restrictions, including provisions in civil and administrative laws to restrict or prohibit access and/or availability of sexual and reproductive health services, goods and information.",
"14. In their application, criminal laws and other legal restrictions may prevent access to certain sexual and reproductive health-care goods, such as contraceptive methods, directly outlaw a particular service, such as abortion, or ban the provision of sexual and reproductive information through school-based education programmes or otherwise. In practice, these laws affect a wide range of individuals, including women who attempt to undergo abortions or seek contraception; friends or family members who assist women to access abortions; practitioners providing abortions; teachers providing sexual education; pharmacists supplying contraceptives; employees of institutions that are established to provide family planning services; human rights defenders advocating for sexual and reproductive health rights; and adolescents seeking access to contraception for consensual sexual activity.",
"15. Criminal laws and other legal restrictions on sexual and reproductive health may have a negative impact on the right to health in many ways, including by interfering with human dignity. Respect for dignity is fundamental to the realization of all human rights. Dignity requires that individuals are free to make personal decisions without interference from the State, especially in an area as important and intimate as sexual and reproductive health.",
"16. Criminal laws and other legal restrictions affecting sexual and reproductive health may amount to violations of the right to health. Although the present report deals predominantly with the impact of these laws and legal restrictions on women and girls, it by no means discounts similar problems faced by men and boys. Women, however, are generally more likely to experience infringements of their right to sexual and reproductive health[9] given the physiology of human reproduction and the gendered social, legal and economic context in which sexuality, fertility, pregnancy and parenthood occur. Persistent stereotyping of women’s roles within society and the family establish and fuel societal norms. Many of those norms are based on the belief that the freedom of a woman, especially with regard to her sexual identity, should be curtailed and regulated (see E/CN.4/2002/83, para. 99). Where women transgress these stereotype-driven norms in the pursuit of sexual and reproductive freedom, they are often punished severely,⁶ with resultant adverse effects on their health outcomes and violations of their right to health. The criminal laws and other legal restrictions examined in the present report facilitate and justify State control over women’s life, such as forcing women to continue unwanted or unplanned pregnancies.",
"17. The causal relationship between the gender stereotyping, discrimination and marginalization of women and girls and their enjoyment of their right to sexual and reproductive health is well documented (see E/CN.4/2002/83 and E/CN.4/2004/49). Criminalization generates and perpetuates stigma; restricts their ability to make full use of available sexual and reproductive health-care goods, services and information; denies their full participation in society; and distorts perceptions among health-care professionals which, as a consequence, can hinder their access to health-care services. Criminal laws and other legal restrictions disempower women, who may be deterred from taking steps to protect their health, in order to avoid liability and out of fear of stigmatization. By restricting access to sexual and reproductive health-care goods, services and information these laws can also have a discriminatory effect, in that they disproportionately affect those in need of such resources, namely women. As a result, women and girls are punished both when they abide by these laws, and are thus subjected to poor physical and mental health outcomes, and when they do not, and thus face incarceration.",
"18. States most frequently cite two grounds for implementing criminal or other restrictive laws in relation to the right to sexual and reproductive health: public health and public morality. Public morality cannot serve as a justification for enactment or enforcement of laws that may result in human rights violations, including those intended to regulate sexual and reproductive conduct and decision-making. Although securing particular public health outcomes is a legitimate State aim, measures taken to achieve this must be both evidence-based and proportionate to ensure respect of human rights. When criminal laws and legal restrictions used to regulate public health are neither evidence-based nor proportionate, States should refrain from using them to regulate sexual and reproductive health, as they not only violate the right to health of affected individuals, but also contradict their own public health justification.",
"19. Securing the rights of women is crucial to improving health outcomes for both sexes. However, substantial underreporting of reproductive and sexual health problems is a serious challenge and probably arises for a variety of political, social, and cultural reasons. By generating a chilling effect on the open exchange of information and data collection, criminalization further exacerbates the underreporting of important health indicators. As a result, effectively addressing poor health outcomes is rendered impossible, and difficulties faced by the international community in meeting core development goals are compounded. Moreover, development indicators do not capture the full impact of criminalization because they only address specific quantifiable public health data and exclude deprivations of dignity and autonomy.",
"20. The use by States of criminal and other legal restrictions to regulate sexual and reproductive health may represent serious violations of the right to health of affected persons and are ineffective as public health interventions. These laws must be immediately reconsidered. Their elimination is not subject to progressive realization since no corresponding resource burden, or a de minimis one, is associated with their elimination.",
"Impact of criminal laws and other legal restrictions on sexual and reproductive health",
"1. Criminalization and other legal restrictions related to abortion",
"21. Criminal laws penalizing and restricting induced abortion are the paradigmatic examples of impermissible barriers to the realization of women’s right to health and must be eliminated. These laws infringe women’s dignity and autonomy by severely restricting decision-making by women in respect of their sexual and reproductive health. Moreover, such laws consistently generate poor physical health outcomes, resulting in deaths that could have been prevented, morbidity and ill-health, as well as negative mental health outcomes, not least because affected women risk being thrust into the criminal justice system. Creation or maintenance of criminal laws with respect to abortion may amount to violations of the obligations of States to respect, protect and fulfil the right to health.",
"22. The Committee on the Elimination of Discrimination against Women has strongly disapproved of restrictive abortion laws, especially those that prohibit and criminalize abortion in all circumstances (see CEDAW/C/CH/CO/4, para. 19). It has also confirmed that such legislation does not prevent women from procuring unsafe illegal abortions and has framed restrictive abortion laws as a violation of the rights to life, health and information.[10] The Committee on the Rights of the Child is also concerned about the impact of highly restrictive abortion laws on the right to health of adolescent girls.[11] The Committee against Torture has further stated that punitive abortion laws should be reassessed since they lead to violations of a woman’s right to be free from inhuman and cruel treatment.[12] The Human Rights Committee concluded that equality between men and women required equal treatment in the area of health and the elimination of discrimination in the provision of goods and services and addressed the need to review abortion laws to prevent rights violations (see CCPR/C/21/Rev.1/Add.10, paras. 20, 28 and 31). The former Special Rapporteur on the right to health called for removal of punitive measures against women who seek abortions (see E/CN.4/2004/49, para. 30).",
"23. In States where abortion is criminalized, particular grounds for seeking an abortion may be exempt from criminalization. In the most severe cases, however, abortion is completely criminalized without exception — a situation that exists in only a handful of States — or allowed only to save the life of the woman. Approximately 25 per cent of the world’s population lives under legal regimes that prohibit all abortions except for those following rape or incest, as well as those necessary to save a woman’s life. Slightly less restrictive legal regimes permit abortion on a number of physical health, mental health and socio-economic grounds, such as poverty and number of children. Finally, abortion is unrestricted on any grounds in 56 States, though limits still exist with respect to how late in pregnancy an abortion will be permitted.[13]",
"24. Other legal restrictions also contribute to making legal abortions inaccessible. Conscientious objection laws create barriers to access by permitting health-care providers and ancillary personnel, such as receptionists and pharmacists, to refuse to provide abortion services, information about procedures and referrals to alternative facilities and providers.[14] Examples of other restrictions include: laws prohibiting public funding of abortion care; requirements of counselling and mandatory waiting periods for women seeking to terminate a pregnancy; requirements that abortions be approved by more than one health-care provider; parental and spousal consent requirements; and laws that require health-care providers to report “suspected” cases of illegal abortion when women present for post-abortion care, including miscarriages. These laws make safe abortions and post-abortion care unavailable, especially to poor, displaced and young women. Such restrictive regimes, which are not replicated in other areas of sexual and reproductive health care, serve to reinforce the stigma that abortion is an objectionable practice.",
"25. The World Health Organization (WHO) has confirmed that legal grounds largely shape the course for women with an unplanned pregnancy towards a safe or an unsafe abortion.[15] As legal restrictions primarily influence whether abortion is safe or not,[16] more unsafe abortions are likely to occur in legal regimes that are more restrictive of abortion. The rate of unsafe abortions and the ratio of unsafe to safe abortions both directly correlate to the degree to which abortion laws are restrictive and/or punitive.[17] Unsafe abortions are estimated to account for nearly 13 per cent of all maternal deaths globally.¹⁴ A further 5 million women and girls suffer short- and long-term injuries due to unsafe abortions,[18] including haemorrhage; sepsis; trauma to the vagina, uterus and abdominal organs; cervical tearing; peritonitis; reproductive tract infections; pelvic inflammatory disease and chronic pelvic pain; shock and infertility.",
"26. The conditions under which unsafe abortions occur include: limited access to information, particularly concerning when and how legal abortions may be obtained; abortion induced by an unskilled provider in unhygienic conditions or by a health-care worker outside of appropriate facilities; abortion induced by the woman herself or a traditional medical practitioner through insertion of an object into the uterus, drinking of a hazardous substance or violent massage; and incorrectly prescribed medicine with no follow-up or further information provided.[19] Criminalization of abortion creates and perpetuates these unsafe conditions. In more liberal regimes, women are able to legally seek service and treatment through professional health-care providers under safe and medically appropriate circumstances, including the use of medical abortion pills, which allow for safe, self-induced early abortions.",
"27. Criminal prohibition of abortion is a very clear expression of State interference with a woman’s sexual and reproductive health because it restricts a woman’s control over her body, possibly subjecting her to unnecessary health risks. Criminal prohibition also requires women to continue unplanned pregnancies and give birth when it is not their choice to do so. States are obliged to ensure that women are not denied access to necessary post-abortion medical services, irrespective of the legality of the abortion undertaken.",
"28. States are also obliged to protect against infringement of the right to health by third parties. In States where abortion is prohibited, public health and safety regulations regarding abortion, such as provisions for the training and licensing of health-care workers, cannot exist, thus increasing the potential for unsafe abortion practices. Decriminalization, coupled with appropriate regulation and the provision of accessible, safe abortion services, is the most expeditious method of fully protecting the right to health against third-party violations. Additionally, States should take measures to protect those who provide abortions and related services from harassment, violence, kidnappings and murder perpetrated by non-State actors (religiously motivated or otherwise).",
"29. States must take measures to ensure that legal and safe abortion services are available, accessible, and of good quality. Safe abortions, however, will not immediately be available upon decriminalization unless States create conditions under which they may be provided. These conditions include establishing available and accessible clinics; the provision of additional training for physicians and health-care workers; enacting licensing requirements; and ensuring the availability of the latest and safest medicines and equipment.",
"30. Women are entitled to equal health protection afforded by the State as part of the right to health. Regardless of the legal status of abortion, women are entitled to receive access to goods, services and information related to sexual and reproductive health. In particular, they are entitled to have access to quality health services for the management of complications, including those arising from unsafe abortions and miscarriages. Such care must be unconditional even where the threat of criminal punishment is present, and it should not be contingent on a woman’s cooperation in any subsequent criminal prosecution, or used as evidence in any proceeding against her or the abortion providers. Laws must not require health-care personnel to report women for abortion-related care to law enforcement or judicial authorities.",
"31. Absolute prohibition under criminal law deprives women of access to what, in some cases, is a life-saving procedure. Even where a clandestine abortion can be performed in a relatively safe, hygienic setting, it may be financially inaccessible for the most vulnerable women. Poor and marginalized women may instead turn to unsafe, self-induced abortions. Where narrow exceptions to the criminalization of abortion exist, such as to save the life of a woman, criminalization may effectively block access to information about legal abortion services. Women often remain unaware of these exceptions because the stigma surrounding the issue of abortion prevents dissemination and discussion of such necessary information. Legal restrictions on the availability of information relating to abortions also exist because criminal laws often include explicit provisions prohibiting the production and distribution of the information.",
"32. The provision of health-care goods and services that are of poor quality is a major problem arising from legal regimes criminalizing abortion. In these circumstances, the lack of State and professional regulation of medical practices means that abortions are performed by unskilled practitioners, in unhygienic conditions, in order to evade law enforcement.[20] On the contrary, when performed by trained health-care providers under appropriate conditions, abortion is one of the safest medical procedures available.[21] Criminalization further prevents practitioners from accessing accurate health information and, where exceptions to criminalization exist, the chilling effect created by its associated stigma may prevent health-care workers from seeking training and information on abortion. Health-care workers who choose to perform abortions under these circumstances may accordingly be uninformed and untrained on appropriate abortion procedure and post-abortion care, reducing the quality and availability of legal abortions.",
"33. Health-care workers have, on occasion, denied women access to legally available sexual and reproductive health services or simply refused to treat women suffering from complications resulting from a clandestine abortion performed elsewhere. Owing to the stigma surrounding abortion, health-care workers have also provided erroneous information to women, such as stating that a woman may have only one legal abortion.",
"34. The marginalization and vulnerability of women as a result of abortion-related stigma and discrimination perpetuate and intensify violations of the right to health. Abortion-related stigma prevents women from seeking abortions and prevents those who undergo abortions from requesting treatment for resulting medical complications. The gross underreporting of abortion — only 35 to 60 per cent are reported — is one indicator of the magnitude of the stigma attached to abortion. Although many social and cultural factors generate and exacerbate the stigma attached to abortion, criminalization of abortion perpetuates discrimination and generates new forms of stigmatization. For example, a woman’s infertility may be misunderstood to be the result of a previous abortion, placing “culpability” on the woman as a result of the stigma associated with abortion rather than acknowledging that her infertility may be due to various unrelated health conditions.",
"35. The stigma resulting from criminalization creates a vicious cycle. Criminalization of abortion results in women seeking clandestine, and likely unsafe, abortions. The stigma resulting from procuring an illegal abortion and thereby breaking the law perpetuates the notion that abortion is an immoral practice and that the procedure is inherently unsafe, which then reinforces continuing criminalization of the practice.",
"36. The criminalization of abortion also has a severe impact on mental health. The need to seek illegal health services and the intense stigmatization of both the abortion procedure and women who seek such procedures can have deleterious effects on women’s mental health.[22] In some cases, women have committed suicide because of accumulated pressures and stigma related to abortion.[23] In jurisdictions where rape is not a ground for termination of pregnancy, women and girls who are pregnant as a result of rape but who do not wish to continue their pregnancy are either forced to carry the pregnancy to term or seek an illegal abortion. Both options can cause enormous anguish. In electing to pursue either option, the overarching threat of being investigated, prosecuted and punished within the criminal justice system has significant negative impacts on the emotional health and well-being of both those who seek abortions and those who do not. Moreover, while the psychological impact of seeking an illegal abortion or carrying an unwanted pregnancy to term is well documented, no corresponding evidence supports the existence of long-term mental health sequelae resulting from elective abortion.[24]",
"2. Control over and criminalization of conduct during pregnancy and delivery",
"37. Maternal health, prenatal and post-natal care, and access to information, are all elements of the right to health elaborated under General Comment No. 14. Additionally, article 10.2 of the International Covenant on Economic, Social and Cultural Rights provides that special protection should be accorded to mothers. The Convention on the Elimination of All Forms of Discrimination against Women also recognizes that women should be provided with appropriate services in connection with pregnancy. In chapter VII.A., the Programme of Action of the International Conference on Population and Development observes that reproductive health includes access to services that enable women to go through pregnancy and childbirth safely.[25] Despite these positive obligations to support women during pregnancy and post-birth, certain States have proposed or enacted criminal laws or other legal restrictions prohibiting certain forms of conduct, which infringe the right to health of affected women.",
"38. In certain jurisdictions, pregnant women have been prosecuted for various types of conduct during pregnancy. A number of prosecutions have occurred in relation to the use of illicit drugs by pregnant woman, including under pre-existing laws relating to child abuse, attempted murder, manslaughter and criminally negligent homicide. Criminal laws have also been used to prosecute women for other conduct, including alcohol use during pregnancy, the birth of stillborn babies or the miscarriage of a foetus (see A/HRC/17/26/Add.2, para. 68), failing to follow a doctor’s orders, failing to refrain from sexual intercourse, and concealment of the birth.",
"39. In some instances, civil legislation related to child welfare has been expanded to include punitive sanctions for prenatal drug exposure, where such exposure may provide a ground for the termination of parental rights and the removal of the child upon birth. A pregnant woman’s positive toxicology report or clinical signs of drug exposure in newborns, may be regarded as proof of child abuse or neglect under these legislative schemes. In some jurisdictions, health professionals are required to test pregnant women or newborns for drug exposure or may do so provided the woman is given notice. Others have enacted legislation authorizing the institutionalization of women who have used drugs during pregnancy. Health professionals may also be obliged to report positive drug-screening results to the Government.",
"40. Some States have also criminalized perinatal HIV transmission. For example, in one jurisdiction, a person infected with HIV (and aware of the fact) must “‘take all reasonable measures and precautions to prevent the transmission of HIV to others and in the case of pregnant women, the foetus’, with criminal sanctions imposed for failure to do so” (see A/HRC/14/20, para. 67). In this case, no exception or defence is allowed in relation to unavailability or lack of access to preventive health-care goods, services and information. Statutes from other jurisdictions, which criminalize HIV transmission generally, may also be applied to perinatal transmission.",
"41. Criminalization of conduct during pregnancy impedes access to health-care goods and services, infringing the right to health of pregnant women. Where women fear criminal prosecution, they may be deterred from accessing health services and care, as well as pregnancy-related information. For example, women may not seek antenatal services if they are faced with the risk of prosecution from transmitting HIV, which poses a risk to their health and the health of the foetus. This undermines public health objectives related to HIV, because women may refuse testing entirely if they face criminal penalties for transmission.",
"42. While public health goals can justify some degree of interference with personal freedoms, it has been well documented that the public health goals are not realized through criminalization; rather, they are often undermined by it (see A/HRC/14/20, para. 51). The application of criminal law to regulate conduct such as alcohol consumption during pregnancy is a disproportionate response and an ineffective deterrent. A number of professional medical associations oppose use of the criminal law as a means to address substance abuse by pregnant women, on the grounds of ineffectiveness and disproportionality.[26] In order to realize public health outcomes effectively and simultaneously promote the right to health of women, States should not criminalize such conducts during pregnancy, but rather ensure the provision of health-care goods, services and information that promote health throughout pregnancy and childbirth.",
"43. Certain criminal laws effectively shift the burden of realizing the right to health away from States onto pregnant women, punishing women for the lack of effective provision of health-care goods, services and education by the Government. For instance, where a woman living with HIV must take all reasonable measures and precautions to prevent the transmission of HIV to the foetus but there is limited or no access to health-care services and antiretroviral treatment, the State fails to provide what is needed for a woman to avoid criminal prosecution. The Special Rapporteur has observed that “where the right to access to appropriate health services … is not ensured, women are simply unable to take necessary precautions to prevent transmission, which could place them at risk of criminal liability” (see A/HRC/14/20, para. 66). As availability of, and access to, health-care goods and services is the responsibility of States, it is particularly perverse that the criminal law has the potential to punish women for the inadequacy of the Government in this respect.",
"3. Contraception and family planning",
"44. WHO defines family planning as a process that allows people to attain their desired number of children and determine the spacing of pregnancies which is achieved through use of contraceptive methods and the treatment of infertility.[27] Use of family planning methods is an integral component of the right to health. Contraception is a method of fertility control by which family planning is affected. Some forms can also be used for the prevention of sexually transmitted infections, primarily through physical barrier methods of contraception such as condoms. Various other forms of contraception exist, ranging from surgical sterilization to pharmaceutical methods, such as the oral contraceptive pill, which do not protect against sexually transmitted infections.",
"45. Family planning empowers women to make autonomous and informed choices about their sexual and reproductive health. It reduces maternal mortality by delaying pregnancies in young women who would otherwise face an increased risk of health problems and death from early childbearing. Evidence shows that access to voluntary family planning can reduce maternal deaths by between 25 and 40 per cent.[28] Family planning also reduces the number of unsafe abortions and the perinatal transmission of HIV. Condom use not only results in lower incidences of sexually transmitted infections but, when used correctly and consistently, male condoms are 98 per cent effective toward preventing pregnancy.²⁶",
"46. The global unmet need for family planning remains a significant barrier to achieving rights-related and development goals. WHO estimates that 200 million couples in developing countries would like to delay or stop childbearing but are not using any method of contraception.²⁶ In 2009, 24 per cent of women of reproductive age in the least developed countries, who were married or in a union, reported not wanting any more children or wanting to delay the birth of their next child.[29] Reasons for the global unmet need included limited access to contraception; limited choice of contraceptive methods; fear or experience of side-effects; cultural or religious opposition; poor quality of available services; and gender-based barriers.",
"47. Family planning allows women to choose whether and when to reproduce and is thus integral to development and the full participation of women in society. In parts of sub-Saharan Africa, contraceptive use is four times higher among women with a secondary education than among those with no education, and is almost four times higher among women in the richest households than those in the poorest households.[30] One cross-national survey suggests that the percentage of women in the labour force is directly related to national birth rates.[31] Strong links have also been observed between contraception use by women and opportunities to work outside of the home; in one country, the average income growth for women with one to three pregnancies was twice that of women who had been pregnant more than seven times.³⁰",
"48. Criminal laws and other legal restrictions that reduce or deny access to family planning goods and services, or certain modern contraceptive methods, such as emergency contraception, constitute a violation of the right to health. The Convention on the Elimination of All Forms of Discrimination against Women calls upon States to ensure access to specific educational information to help to ensure the health and well-being of families, including information and advice on family planning, as well as access to adequate health-care facilities, including information, counselling and services in family planning.[32] In General Comment No. 14, the Committee on Economic, Social and Cultural Rights calls upon States to take measures to “improve child and maternal health, sexual and reproductive health services, including access to family planning … and access to information, as well as to resources necessary to act on that information” (see E/C.12/2000/4, para. 14).",
"49. In chapter II, principle 8, of the Programme of Action of the International Conference on Population and Development confirms that States should take all appropriate measures to ensure, on a basis of equality of men and women, universal access to health-care services, including those related to reproductive health care, which includes family planning and sexual health. It also stresses the need for participation and notes that family planning programmes are most successful when women are fully involved in the design, provision, management and evaluation of services. It further adds that Governments should remove all unnecessary legal, medical, clinical and regulatory barriers to information and to access to family-planning services and methods. In paragraph 96, the Beijing Platform for Action declares that the human rights of women include their right to have control over and decide freely and responsibly on matters related to their sexuality, including sexual and reproductive health, free of coercion, discrimination and violence.",
"50. However, in many States access to family planning goods and services is severely curtailed by criminal laws and other legal restrictions. In these jurisdictions, women and men (especially the poor) lack access to safe and effective contraception and are denied the freedom to decide whether or not to reproduce.",
"51. For example, some States have criminalized the distribution and use of emergency contraception,[33] justifying such laws with claims that emergency contraception is abortifacient. WHO, however, confirms that emergency contraception is a valid form of contraception.[34] Women who carry an unplanned pregnancy to term as a result of such laws also might face adverse physical and mental health outcomes.[35] At the same time, women who lack access to emergency contraception as a result of criminal prohibitions may ultimately be forced to seek clandestine abortions, thus exposing themselves to the associated health risks.",
"52. Restricting access to surgical methods of contraception also contravenes the obligations of States to ensure that quality services are available and accessible. For instance, tubal ligation, a safe and effective sterilization procedure for women, is prohibited by law in some countries except under narrow circumstances where the procedure is therapeutically necessary. Read in conjunction with laws criminalizing violence causing permanent damage to a limb, this law exposes health professionals who perform the procedure to criminal liability, thus restricting women’s access to this method of contraception. Women may instead seek tubal ligation procedures in unlicenced health facilities, potentially placing them at the risk of experiencing health complications and effectively denying access to poor women who cannot afford such procedures.",
"53. Other laws restricting access to family planning and contraception include a city-wide de facto ban on so-called “artificial” contraception in one jurisdiction, which created significant difficulty for women in accessing reliable forms of birth control (see A/HRC/14/20/Add.1). A total of 70 per cent of the affected population, a majority of whom were poor and marginalized, depended on Government providers for services including female sterilization, oral pills, intrauterine devices and injectables (ibid.). The ban resulted in the absolute deprivation of access to family planning services and contraception for many women and men. In other instances, States require women to obtain their husband’s consent and adolescents to obtain parental consent before acquiring various forms of contraception. Other jurisdictions allow pharmacists, and in some cases pharmacies, to refuse to dispense emergency contraception, which is otherwise legally available. These laws directly infringe upon the right of women and girls to make free and informed choices about their sexual and reproductive health and reflect discriminatory notions of women’s roles in the family and society.",
"54. Women are also entitled to participate in all decisions affecting their sexual and reproductive health at all levels of decision-making. Community-level participation concerning use of contraception has been shown to increase a woman’s autonomy and capacity to freely choose to use condoms, not only providing her with a means of controlling fertility but also protecting her own health in preventing sexually transmitted infections.[36]",
"55. The obligation to respect the right to health requires that States abstain from limiting access to contraceptives and other means of maintaining sexual and reproductive health. States should therefore remove criminal laws and other legal restrictions, including parental consent laws and other third party authorizations, to ensure access to family planning and contraceptive goods, services and information. The obligation to protect requires States ensure that neither third parties nor harmful social or traditional practices interfere with access to prenatal and post-natal care and family-planning (see E/C.12/2000/4, para. 35), or curtail access to some or all contraceptive methods. Finally, the obligation to fulfil includes adopting and implementing a national public health strategy, which includes the provision of “a wide range of sexual and reproductive health services, including access to family planning (...) and access to information (see E/CN.4/2004/49, para. 29)”.",
"4. Education and information on sexual and reproductive health",
"56. The provision of comprehensive education and information on sexual and reproductive health is an essential component of the right to health and to the realization of other rights, such as the right to education and access to information. Criminal and other laws restricting access to comprehensive education and information on sexual and reproductive health are thus incompatible with the full realization of the right to health and should be removed by States (see E/C.12/2000/4, para. 11). Both women and men are adversely affected by these barriers. Women, however, are disproportionately impacted.",
"57. General Comment No. 14 places emphasis on access to information because it is a critical component of the right to health (ibid; footnote 8), and particularly guarantees access to sexual and reproductive health information. States are additionally required to provide adequate resources and refrain “from censoring, withholding or intentionally misrepresenting health-related information, including sexual education and information (see E/C.12/2000/14, para. 14)”. The Committee on the Elimination of Discrimination against Women has recommended that a comprehensive understanding of the content of sexual and reproductive education encompass the topics of reproductive rights, responsible sexual behaviour, sexual and reproductive health, prevention of sexually transmitted infections including HIV/AIDS, prevention of teenage pregnancies, and family planning,[37] and stressed that education campaigns are urgently needed to combat harmful practices such as female genital mutilation.[38] Comprehensive education and information on sexual and reproductive health is also useful in reducing knowledge gaps between men and women on these issues.[39]",
"58. The International Guidelines on Sexuality Education of the United Nations Educational, Scientific and Cultural Organization (UNESCO) describe optimal sexual education as “an age-appropriate, culturally sensitive and comprehensive approach … that include programmes providing scientifically accurate, realistic, non-judgmental information”.[40] Moreover, comprehensive sexual and reproductive health education and information should provide “opportunities to explore one’s own values and attitudes and to build decision-making, communication, and risk reduction skills about all aspects of sexuality”.³⁹ The Special Rapporteur on the right to education has further emphasized that a comprehensive curriculum requires sensitivity to sexual diversity and a gendered perspective (see A/65/162, para. 23).",
"59. Laws restricting information about sexual and reproductive health and which censor discussions of homosexuality in the classroom fuel stigma and discrimination of vulnerable minorities.[41] For example, laws and policies that promote abstinence-only education reduce sexual education to images and stereotypes of heteronormativity, given their focus on procreation; some of these programmes even contain explicitly discriminatory content on gender and sexual orientation.[42] In certain instances, teachers have been suspended or threatened with lawsuits for engaging in discussions on “inappropriate” sexual matters with their students when discussing sexual and reproductive health issues in the classroom. In other cases, pursuant to abstinence-only and anti-obscenity policies, school districts, courts and legislators have prohibited civil society organizations from meeting in public schools. Such laws and policies perpetuate false and negative stereotypes concerning sexuality, alienate students of different sexual orientations and prevent students from making fully informed decisions regarding their sexual and reproductive health.",
"60. Even in jurisdictions where sexual and reproductive health education is permitted in some form, its quality and effectiveness can be severely diminished by policy prescriptions. States have assisted in the dissemination of misinformation on condom use either by distributing materials that contain inaccurate information or by remaining silent on the topic, which allows for the proliferation of contradictory and inaccurate information.[43] Similarly, abstinence-only campaigns that focus only on abstaining from sexual intercourse as a means to avoid sexually transmitted infections and unintended pregnancies provide a narrow and incomplete rather than a comprehensive perspective. Such programmes, which often lack accurate and evidence-based information, have been shown to have a minimal or no effect on reducing the transmission of sexually transmitted infections.",
"61. Studies have shown that while few young people have accurate knowledge about HIV/AIDS,[44] women are generally even less well informed than men. In a UNAIDS study of 147 countries, whereas more than 70 per cent of young men were found to recognize that condoms can protect against HIV, only 55 per cent of young women identified condoms as an effective strategy for HIV prevention.[45] Women and girls are disproportionally impacted by legal restrictions to comprehensive sexual and reproductive health education and information, which both reinforces and exacerbates the gender inequalities that the figures demonstrate. The existence of legal restrictions on access to sexual and reproductive health information and education lead to the provision of inaccurate information through informal sources that are often inaccurate and may reinforce negative gender stereotypes. As a result, young women are less prepared for their sexual and reproductive lives, leaving them vulnerable to coercion, abuse and exploitation, as well as to an increased risk of unintended pregnancy, unsafe abortion, maternal mortality, HIV/AIDS and other sexually transmitted infections.[46]",
"62. In jurisdictions where aspects of sexual and reproductive health are criminalized, the availability and accessibility of related information is greatly restricted. For example, penal codes may contain specific provisions that prohibit dispensing information on the prevention or interruption of pregnancies, or materials that supposedly conflict with notions of morality or decency. Punishments can range from fines to imprisonment. Moreover, the restriction of information relating to health can be an unintended result of laws relating to other information, such as pornography laws, which can also extend to criminalize sexual and reproductive health materials.[47] Thus, public health and empowerment programmes and activities that rely on such information — educational campaigns on HIV/AIDS and sexually transmitted infection prevention, family planning, domestic violence, gender discrimination, female genital mutilation, sexual diversity, overall sexual and reproductive health — are effectively prohibited. Women and girls are most likely to be affected by this gap in available services and programming because they are exposed to a higher risk of HIV/AIDS and sexually transmitted infections, maternal mortality, unsafe abortion and unwanted or unplanned pregnancies.",
"63. Adequate knowledge about sexual and reproductive health has repeatedly proved to be effecting in lowering rates of maternal mortality; preventing unintended pregnancies, unsafe abortion, HIV/AIDS and other sexually transmitted infections; delaying the onset of sexual intercourse; increasing knowledge about family planning options; and protecting against gender-based violence (see E/C.12/2000/4, para. 21). Empowering women through comprehensive education and information on sexual and reproductive health is also imperative since young women often have less power or control in their relationships, which make them disproportionately vulnerable to coercion, abuse and exploitation.[48] As a tool for empowerment and means to critically examine gender inequalities and stereotypes, comprehensive education and information also becomes a way of eroding deeply entrenched systems of patriarchy; such systems perpetuate violations of women’s rights, including their right to health (see A/65/162, paras. 7-9). Providing women with knowledge and skills relating to their sexual and reproductive health, related education and information enhances their freedom in making informed health-related decisions, and promotes their equal participation in society.",
"64. States that implement and enforce criminal or other laws to restrict access to sexual and reproductive health information actively reduce access to information and therefore do not meet their obligation to respect the right to health. As a consequence of such laws and the stigma they generate, third parties, such as teachers, publishers, or booksellers may also deny women and girls access to necessary sexual and reproductive health materials. The obligation of States to fulfil the right to health requires that they develop strategies to ensure that comprehensive sexual and reproductive health education and information is provided to everyone, especially women and young girls.",
"V. Recommendations",
"65. In applying a right-to-health approach, States should undertake reforms toward the development and implementation of policies and programmes relating to sexual and reproductive health as required by international human rights law. In that context, the Special Rapporteur calls upon States to:",
"(a) Formulate public health policies and programmes that disseminate evidence-based information regarding sexual and reproductive health, as well as the prevention of perinatal HIV transmission;",
"(b) Develop comprehensive family planning policies and programmes, which provide a wide range of goods, services and information relating to contraception and are available, accessible and of good quality;",
"(c) Decriminalize the supply and use of all forms of contraception and voluntary sterilization for fertility control and remove requirements for spousal and/or parental consent;",
"(d) Take steps to ensure the availability, accessibility and quality of a full range of contraceptive methods, including both pharmaceutical and surgical contraceptive methods;",
"(e) Decriminalize the provision of information relating to sexual and reproductive health, including evidence-based sexual and reproductive health education;",
"(f) Formulate policies to ensure that existing criminal laws, such as those concerning pornography, are not applied to restrict access to, or punish those who provide, evidence-based sexual and reproductive health information and education;",
"(g) Take steps to standardize national curricula to ensure that sexual and reproductive education is comprehensive, evidence-based, and includes information regarding human rights, gender and sexuality;",
"(h) Decriminalize abortion, including related laws, such as those concerning abetment of abortion;",
"(i) Consider, as an interim measure, the formulation of policies and protocols by responsible authorities imposing a moratorium on the application of criminal laws concerning abortion, including legal duties on medical professionals to report women to law enforcement authorities;",
"(j) Ensure safe, good quality health services, including abortion, using services, in line with WHO protocols;",
"(k) Establish policies and programmes to ensure the accessibility and availability of safe, reliable and good quality services for abortion-related complications and post-abortion care, in line with WHO protocols, particularly in jurisdictions where abortion is criminalized;",
"(l) Ensure that accurate, evidence-based information concerning abortion and its legal availability is publicly available and that health-care providers are fully aware of the law related to abortion and its exceptions;",
"(m) Ensure that conscientious objection exemptions are well-defined in scope and well-regulated in use and that referrals and alternative services are available in cases where the objection is raised by a service provider;",
"(n) Suspend/abolish the application of existing criminal laws to various forms of conduct during pregnancy, such as conduct related to treatment of the foetus, most notably miscarriage, alcohol and drug consumption and HIV transmission.",
"[1] * A/66/150.",
"[2] See E/C.12/1/Add.98, para. 43; E/C.12/1/Add.105 and Corr.1, paras. 53 and 54; E/C.12/BRA/ CO/2, para. 29; and E/C.12/COL/CO/5, para. 5.",
"[3] See in particular articles 5, 10 (h), 11, 12.1 and 16.",
"[4] See United Nations Population Fund, Eight Lives: Stories of Reproductive Health (New York, 2010).",
"[5] United Nations, Treaty Series, vol. 1577, No. 27531, article 24; see also CRC/GC/2003/4, para. 31.",
"[6] United Nations publication, Sales No. E.10.I.7.",
"[7] Paul Hunt and Judith Bueno de Mesquita, The Rights to Sexual and Reproductive Health (Colchester, Essex, University of Essex, 2006).",
"[8] See CRC/C/15/Add.268, para. 46(e); CEDAW/C/CHN/CO/6, para. 32; E/CN.4/2004/49, para. 25.",
"[9] With the exception of men who have sex with men; see A/HRC/14/20.",
"[10] See A/53/38/Rev.1, para. 337; and A/54/38/Rev.1, part I, paras. 56, 228 and 393.",
"[11] CRC/C/15/Add.107, para. 30; CRC/C/CHL/CO/3, para. 55; and CRC/C/URY/CO/2, para. 51.",
"[12] CAT/C/PER/CO/4, para. 23; CAT/C/NIC/CO/1, para. 16; and CAT/C/CR/32/5, para. 7.",
"[13] R. Boland, “Second trimester abortion laws globally: actuality, trends and recommendations”, Reproductive Health Matters, vol. 18, No. 36 (2010), pp. 67-89.",
"[14] Louise Finer and Judith Bueno de Mesquita, Conscientious Objection: Protecting Sexual and Reproductive Health Rights (Colchester, Essex, University of Essex, 2010).",
"[15] WHO, Unsafe Abortion: Global and Regional Estimates of the Incidence of Unsafe Abortion and Associated Mortality in 2008, 6th ed. (Geneva, 2011), p. 2.",
"[16] Axel I. Mundigo, “Determinants of unsafe induced abortion in developing countries”, in Ina K. Warriner and Iqbal H. Shah, eds., Preventing Unsafe Abortion and its Consequences: Priorities for Research and Action (New York, Guttmacher Institute, 2006), pp. 51-54.",
"[17] WHO, Safe Abortion: Technical and Policy Guidance for Health Systems (Geneva, 2003), p. 86.",
"[18] Lori Ashford, “Hidden suffering: disabilities from pregnancy and childbirth in less developed countries” (Washington, D.C., Population Reference Bureau, 2002). Available from: http://www.prb.org/pdf/HiddenSufferingEng.pdf.",
"[19] Michael Vlassoff and others, “Estimates of health care system costs of unsafe abortion in Africa and Latin America”, International Perspectives on Sexual and Reproductive Health, vol. 35, No. 3 (2009), pp. 114-121.",
"[20] WHO, Unsafe Abortion: Global and Regional Estimates, p. 7 (see footnote 14 above).",
"[21] WHO, Safe Abortion: Technical and Policy Guidance, p. 14 (see footnote 16 above).",
"[22] WHO, Mental Health Aspects of Women’s Reproductive Health (Geneva, 2008), p. 54.",
"[23] Ibid, p. 52.",
"[24] Vignetta E. Charles and others, “Abortion and long-term mental health outcomes: a systematic review of the evidence”, Contraception, vol. 78, No. 6 (December 2008), p. 436.",
"[25] United Nations, Treaty Series, vol. 1249, No. 20378, article 12.",
"[26] National Advocates for Pregnant Women, “What’s wrong with making it a crime to be pregnant and to have a drug problem?” (9 March 2006).",
"[27] WHO, Family Planning, Fact sheet No. 351 (April 2011).",
"[28] World Bank, “Population issues in the 21st century: the role of the World Bank”, Health, Nutrition, and Population (Washington, D.C., April 2007).",
"[29] World Contraceptive Use 2010 (POP/DB/CP/Rev2010), available from http://www.un.org/esa/ population/publications/WCP_2010/Data.html.",
"[30] Millennium Development Goals Report 2010 (United Nations publication, Sales No. E.10.I.7), p. 37.",
"[31] World Bank, “Population issues”, p. 26 (see footnote 27 above).",
"[32] United Nations, Treaty Series, vol. 1249, No. 20378, articles 10 (h), 14 (b).",
"[33] Eileen Kelly, “Crisis of conscience: pharmacist refusal to provide health care services on moral grounds”, Employee Responsibility Rights, vol. 23, No. 1 (2011), 37-54.",
"[34] WHO, Emergency contraception, Fact Sheet No. 244 (revised October 2005). Available from http://www.who.int/mediacentre/factsheets/fs244/en/index.html.",
"[35] WHO, Mental health, p. 55 (see footnote 21 above).",
"[36] For example, in Kolkata, India, the rate of condom use among sex workers rose from 3 to 90 per cent over the course of seven years as a result of a community-led structural intervention called the Sonagachi Project. See T. Ghosea and others, “Mobilizing collective identity to reduce HIV risk among sex workers in Sonagachi, India: the boundaries, consciousness, negotiation framework”, Social Science Medicine, vol. 67, No. 2 (2008), pp. 311-320.",
"[37] See A/56/38, para. 224; A/56/38, para. 303; A/53/38, para. 349; CEDAW/C/PHI/CO/6, para. 28.",
"[38] See E/C.12/1/Add.78, para. 31; and E/C.12/1/Add.62, para. 39.",
"[39] UNAIDS, Global Report on the AIDS Epidemic 2008 (Geneva, 2008).",
"[40] UNESCO, International Guidelines on Sexuality Education: An Evidence Informed Approach to Effective Sex, Relationships and HIV/STI Education (Paris, 2009), p. 61.",
"[41] See the International Centre for the Legal Protection of Human Rights (INTERIGHTS) v. Croatia; Human Rights Watch, Rights at Risk, Executive Summary (2011); and BBC, “Brazil sex education material suspended by President” (25 May 2011). Available from http://www.bbc.co.uk/news/world-latin-america-13554077.",
"[42] See A/65/162, paras. 68 and 69; and A/HRC/14/20/Add.3, para. 25.",
"[43] UNESCO, “Review of sex, relationships and HIV education in schools” (2007), pp. 16 and 17.",
"[44] UNAIDS, Global Report 2008, p. 98 (see footnote 38 above).",
"[45] Ibid.",
"[46] UNESCO, International Guidelines on Sexuality Education, p. 2 (see footnote 39 above).",
"[47] Amnesty International, Left Without a Choice: Barriers to Reproductive Health in Indonesia (London, 2010).",
"[48] See UNESCO, International Guidelines on Sexuality Education, p. 20 (see footnote 39 above)."
] | A_66_254 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"The right of everyone to the enjoyment of the highest attainable standard of physical and mental health",
"Note by the Secretariat",
"The Secretary-General has the honour to transmit to the General Assembly the interim report prepared by the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health, Anam Grov, in accordance with Human Rights Council resolutions 15/22 and 6/29.",
"Interim report of the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health",
"In the present report, the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health considered the interaction between the criminal law on sexual and reproductive health and the right to health and other legal limitations. The right to sexual and reproductive health is an essential part of the right to health. Therefore, States must ensure that the right to health is fully realized. The Special Rapporteur has considered the impact of criminal restrictions and other legal restrictions on abortion, pregnancy, contraception and family planning, and sexual education and reproductive education. Some criminal restrictions and other legal limitations in these areas are often discriminatory and violate the right to health by limiting access to quality products, services and information. They violate human dignity by restricting the liberty of individuals under the right to health, in particular by restricting freedom related to decision-making and physical integrity. Moreover, these laws are often inefficient and disproportionate as a way to achieve certain public health outcomes. The realization of the right to health must remove barriers that interfere with the health-related decision-making and access to health services, education and information that affect women and girls in particular. If such obstacles are caused by criminal or other legal limitations, States are obliged to repeal them. These laws and legal limitations are not subject to resource constraints and cannot be seen as requiring progressive realization only. It is therefore important to immediately remove the obstacles posed by criminal law and other laws and policies affecting sexual and reproductive health in order to ensure the full enjoyment of the right to health.",
"Contents",
"Introduction 4",
"Introduction",
"Since the last report to the General Assembly (A/65/255), the Special Rapporteur has undertaken country visits to the Syrian Arab Republic in November 2010 and May 2011 respectively (A/HRC/17/25/Add.3) and Ghana. He submitted a report on the right to health and development (A/HRC/17/25) to the Human Rights Council at its session in June 2011, and a report on the expert consultation meeting on access to medicines as essential elements of the right to health (A/HRC/17/43). In April 2011, he held an expert consultation and a public consultation on the right to health of the elderly, which provided information on the report to the Human Rights Council at its session in September 2011.",
"The Special Rapporteur contributed to a number of meetings and conferences on the right to health, including the inauguration of the Social Institute/United Nations Joint Programme on HIV/AIDS (UNAIDS) in New York in March 2011, and the conference on the right to health held in Budapest in June 2011. In September 2010, the Special Rapporteur made a thematic statement on the Millennium Development Goals in the Northern Ireland Parliament, at the International Drug Policy Federation seminar held in London in May 2011.",
"The Special Rapporteur also held regional civil society consultations in East Africa, Eastern Europe and the Russian Federation and Central Asia in Nairobi, Budapest and Moscow. These consultations enabled the Rapporteur to collect information on the realization of the right to health in those regions and to disseminate information on the mandate.",
"Background",
"The present report considers the criminalization of certain sexual and reproductive health services, in particular those related to women, and the impact of these services on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health (hereinafter referred to as “the right to health”). The report also addresses the impact of other relevant legal limitations and policies that affect sexual and reproductive health. The report reviews how these laws and other legal limitations are used to regulate abortion, maternity, sexual and reproductive education, and contraceptive and family planning. The report also discusses the adverse impact of these criminal and other legal limitations on health (including access to products, services and information), the freedom and human dignity of affected persons, in particular women, and public health outcomes.",
"Bearing in mind that sexual and reproductive health rights are an area in which States adopt normative acts and decision-making through a number of criminal and other legal limitations that may violate the right to health, the Special Rapporteur decides to discuss these issues.",
"International human rights law and sexual and reproductive health rights",
"The right to sexual and reproductive health is an integral part of the right to health. Article 12.2 (a) of the International Covenant on Economic, Social and Cultural Rights highlights the various aspects of sexual and reproductive health rights. The Committee on Economic, Social and Cultural Rights, in its general comment No. 14, noted that the right to health includes measures to improve the health, sexual and reproductive health services of children and mothers, including access to family planning, pre- and post-natal health care, emergency obstetric services and access to information, and the resources required to act on the basis of information obtained (E/C.12/2000/4, para. In addition, it noted that women's right to health must remove all obstacles affecting access to health services, education and information, including in the area of sexual and reproductive health (ibid., para. The Committee recommends that the methodology be consistently supported. [2]",
"The Convention on the Elimination of All Forms of Discrimination against Women [3] requires States to take action to ensure that women enjoy a wide range of equality, inter alia, in education, employment and access to health services. In particular, the Convention provides for a proper understanding of the social functions of maternity, access to family planning information and elimination of discrimination against women in marriage and family relations. In addition, article 16.1 (e) stipulates that women have the same rights, freely responsible for determining the number and spacing of their children and the opportunity to obtain knowledge, education and methods that enable them to exercise such rights.",
"The Convention on the Rights of the Child provides for the protection of the right to health of young people under 18 years of age. Article 24 of the Convention affirms the right to health as set out in the International Covenant on Economic, Social and Cultural Rights, which is particularly important given the importance of sexual and reproductive health for the lives of young women and men. [4] The Convention urges States to ensure adequate pre- and post-natal health care for mothers, family planning education and services, and to ensure the repeal of traditional practices “ harmful to the health of children”. [5]",
"The right to reproductive health is also important in the 1994 Programme of Action of the International Conference on Population and Development, the 1995 Beijing Platform for Action and the Millennium Development Goals. These documents affirm that women have the right to control all aspects of their health without discrimination, coercion and violence, respect for physical autonomy and integrity and freely decide matters related to sexual and reproductive health. The Beijing Platform for Action states that States should consider eliminating punitive measures related to sexual and reproductive health. The relationship between the improvement of sexual and reproductive health of women and poverty reduction has been particularly emphasized. Regrettably, the Millennium Development Goals Report 2010 [6] declared progress in some parts of the world in indicative areas such as teenage pregnancy and contraceptive use, and that the proportion of family planning assistance in total health assistance decreased significantly between 2000 and 2008.",
"The Committee on Economic, Social and Cultural Rights, in its general comment No. 14, addressed the concept of reproductive health and noted that men and women had the right to decide freely and when they were born, as well as to have access to safe, effective, affordable and acceptable family planning methods, which were chosen by them, and had the right to adequate health services, such as the period of pregnancy and production that women were safe (E/C.12/2000/4, footnote 12). Sexual health is a state of physical, emotional, psychological and social well-being related to sexual capacity, not only with disease, functional disorder or omission. [7] The ICPD Programme of Action states that sexual health includes the right to have satisfactory and safe sexual life and to freely decide when and spacing births (A/CONF.171/13, para. It also noted that sexual health requires positive and respectful approaches to sexual capacity and sexual relations, as well as access to safe sexual experience without discrimination, coercion and violence.",
"Criminal and other legal limitations affecting the right to sexual and reproductive health",
"States enact criminal laws aimed at regulating acts that are perceived as threatening, dangerous or harmful to individuals, others or societies. These laws are the most powerful expression of the State's right to punishment and are one of the most explicit bills for national purposes. The criminal code punishes those involved in prohibited acts; the criminal code is also used to prevent others from engaging in similar acts, depriving offenders' rights and rehabilitating them and providing reparation to victims.",
"The use of public physical coercion by States or non-State actors in cases such as forced sterilization, forced abortion, forced contraceptives and forced pregnancy is a form of coercion of unjustifiable national sanctions and violates the right to health. [8] Similarly, when States use criminal law as a tool for regulating individual conduct and decision-making in the area of sexual and reproductive health, States have used their will to replace their personal will.",
"States also use other legal restrictions, including civil and administrative law provisions, to limit or prohibit access to and/or sexual and reproductive health services, products and information.",
"In application, criminal and other legal restrictions may prevent access to certain sexual and reproductive health products, such as contraceptive methods, directly declare specific services such as abortion, or provide sexual and reproductive health information through school education programmes or otherwise prohibit sexual and reproductive health information. In practice, the range of individuals affected by these laws includes women who wish to have abortion or seek contraceptives; friends or family members who assist women in accessing abortion services; practitioners offering abortion services; teachers providing sex education; pharmacists who provide contraceptives; employees of institutions that provide family planning services; human rights defenders advocating sexual and reproductive health rights; and adolescents seeking contraceptives for voluntary consent.",
"Criminal law and other legal limitations on sexual and reproductive health can negatively affect the right to health by interfering with human dignity. Respect for dignity is the basis for the realization of all human rights. The dignity requires individuals to make personal decisions without State interference, particularly in such areas as sexual and reproductive health.",
"Criminal and other legal limitations affecting sexual and reproductive health can constitute violations of the right to health. While this report focuses on the impact of these laws and laws on women and girls, it does not underestimate the similar problems faced by men and boys. In general, however, women's sexual and reproductive health rights are more vulnerable to abuse, given the gender-related social, legal and economic environment in terms of human reproduction and sexual, reproductive, pregnant and reproductive health. [9] The persistence of stereotypes regarding the role of women in society and in the family has established and consolidated relevant social norms. Many of these norms are based on the view that the freedom of women, in particular women's sexual identity, should be bound and controlled (see E/CN.4/2002/83, para. If women violate these stereotyped norms and pursue sexual and reproductive freedoms, they are often severely punished, resulting in their adverse health and violations of the right to health. Criminal and other legal limitations reviewed in the present report facilitate the State's control of the lives of women and provide grounds for such control, such as forced women to continue unwanted pregnancies and to plan outside pregnancies.",
"Detailed documentation of the causal relationship between gender stereotypes, discrimination and marginalization of women and girls and their right to sexual and reproductive health (see E/CN.4/2002/83 and E/CN.4/2004/49). The criminalization triggers accusations and perpetuates this phenomenon; limits their ability to make full use of sexual and reproductive health products, services and information available; deprives them of their full participation in society; distorts the awareness of health professionals, thereby impeding women's access to health services. Criminal law and other laws restrict women's empowerment, in order to avoid responsibilities and to be blamed, women may not take measures to protect their health. These laws also have discriminatory effects by limiting access to sexual and reproductive health products, services and information, as they have a significant impact on those who need such resources (i.e. women). As a result, women and girls are punished irrespective of compliance or violations of these laws, since the former would make their physical and mental health a difference, which would expose them to imprisonment.",
"States are among the most often justified by the implementation of criminal and other restrictive laws relating to the right to sexual and reproductive health: public health and public ethics. Public ethics cannot be a reason for enforcing or enacting laws that may lead to human rights violations, including laws aimed at normative and reproductive behaviour and related decision-making. While certain public health outcomes are a legitimate national purpose, measures to achieve this aim must be taken in a manner based on evidence and proportionality to ensure respect for human rights. When criminal laws and legal limitations that regulate public health are not based on evidence or proportionality, States should refrain from using sexual and reproductive health because they violate not only the right to health of the affected individuals but also contradict the public health grounds themselves.",
"Ensuring women's rights is essential for improving gender health outcomes. However, reporting on reproductive health and sexual health is a serious challenge, which may be caused by various political, social and cultural causes. Criminalization has had a dramatic impact on public information exchange and data collection, which further exacerbates the inadequacy of reporting on important health indicators. As a result, the failure to respond effectively to the poor health outcomes is more complicated by the difficulties that the international community faces in achieving the core development goals. In addition, development indicators show no impact on criminal convictions, as they relate only to specific quantitative public health data, excluding deprivation of dignity and ownership.",
"The use of criminal and other legal restrictions by States to regulate sexual and reproductive health may constitute grave violations of the right to health of the affected individuals, and is a disproportionate public health intervention. States must immediately reconsider these laws, which must be repealed without progressive realization, since the law does not involve a corresponding resource burden or burden.",
"The impact of criminal and other laws on health and reproductive health",
"Criminalization and other legal limitations relating to abortion",
"Penalties and limitations on abortion are a typical example of obstacles to the realization of women's right to health and must be repealed. These laws violate women's dignity and ownership by strictly limiting women's decision-making with regard to sexual and reproductive health. In addition, these laws often result in poor physical health outcomes, resulting in the indecent death, illness and health, which also negatively affect mental health, owing mainly to the risk of women being released into the criminal justice system. The development or maintenance of criminal law relating to abortion may be contrary to the State's obligation to respect, protect and fulfil the right to health.",
"The Committee on the Elimination of Discrimination against Women strongly rejects the restrictive abortion law and specifically rejects those laws that prohibit and criminalize abortion in all circumstances (art. CEDAW/C/CH/CO/4, para. The Committee also confirmed that such legislation would not prevent women from accessing unsafe abortion services and that restrictive abortion laws violate the right to life, the right to health and information. [10] CRC was also concerned about the impact of highly restrictive abortion legislation on the right to health of adolescent girls. [11] CAT also noted that punitive abortion laws should be reassessed, as they result in violations of women's right to inhuman and cruel treatment. [12] The Commission on Human Rights concluded that equality between men and women requires equal treatment in the field of health, the elimination of discrimination in the provision of products and services and the need for a review of abortion law to prevent violations of rights. [13] The former Special Rapporteur on the right to health called for the abolition of punitive measures against women seeking abortion (see E/CN.4/2004/49, para.",
"In countries where abortion is criminalized, specific grounds for seeking abortion may be exempted from criminalization. However, in the most serious cases, abortion was criminalized without exception (on the existence of a few countries) or permitted abortion only in order to save the lives of women. The legal regime covering about 25 per cent of the world's population prohibits all abortions, rapes or incests and the need to save women's lives. The restrictive legal system allows abortion for socio-economic reasons such as physical health, mental health and poverty and the number of children. Finally, abortion is not subject to any limitations in 56 countries, although there is still limitations on the extent to which abortion is not permitted at the maternity stage. [14]",
"Other legal limitations also prevent the acquisition of legal abortion. The law on conscientious objection allows health-care providers and associates, such as receptioners and pharmacists, to refuse to provide abortion services and information on procedures, and to refuse referrals to other facilities and providers, which create barriers to access to abortion services. [15] Examples of other restrictive measures include: legislation prohibiting public funding for abortion care; counselling requirements and mandatory waiting time for women trying to terminate pregnancy; requirements for abortion subject to the approval of a health-care provider; requirements for parents or spouses; and the requirement for health-care providers to report on “spect” law in cases of illegal abortion when they are subject to post-abortion care for women, including abortion. These laws prevent, in particular, displaced young women from accessing safe abortion and post-abortion care services. These restrictive systems do not duplicate other areas of sexual and reproductive health and reinforce the disrespect of the perceived abortion as an act that may be denied.",
"The World Health Organization (WHO) has determined that legal grounds have largely created a process of safe or unsafe abortion for pregnant women. [16] Since legal limitations affect primarily the safety of abortion, [17] is therefore vulnerable to more unsafe abortion in the legal system with higher abortion limitations. The ratio between unsafe abortion and unsafe abortion and safe abortion is directly related to the extent of limitations and/or penalties under abortion law. [18] It is estimated that nearly 13 per cent of global maternal deaths are due to unsafe abortion. More than 5 million women and girls suffer short- and long-term injuries due to unsafe abortion, [19] including bloodshed, severance, cereal and diarrhoea organs, cereal breaks, singitis, reproductive infection, basin hepatitis and chronic ostracism, recuperation and neglect.",
"The incidence of unsafe abortion includes limitations on access to information, particularly when and how to obtain legal abortion; abortion by technically familiar providers under non-health conditions or by health personnel outside appropriate facilities; abortion by women's own abortion and traditional medical practitioners through the insertion of objects at the Palais des Nations, the consumption of a toxic substance or violence; and in the absence of follow-up or more information. [20] The criminalization of abortion creates these insecurity and perpetuates it. In a more loose system, women can legitimately seek the services and treatment of professional health-care providers in safe and adequate medical settings, including the use of medical abortions, so that safe abortion can be carried out early.",
"The criminal prohibition of abortion is very evident in the State's interference in sexual and reproductive health, which limits women's control over their body and may place them under unnecessary risks. The criminal prohibition also requires women to continue outside of the planned pregnancy and childbirth without their choice. States have an obligation to ensure that women have access to the necessary post-abortion care regardless of whether abortion is lawful.",
"States are also obliged to protect the right to health from third parties. In countries where abortion is prohibited, public health and safety regulations relating to the provision of training to health-care personnel and the granting of licences are not in place, thus increasing the likelihood of unsafe abortion practices. Legalization, combined with adequate regulation and availability of safe abortion services, is the most rapid way to fully protect the right to health against third parties. In addition, States should take measures to protect those who provide abortion and related services from harassment, violence, abduction and murder by non-State actors (for religious or other motivation).",
"States must take measures to ensure that high-quality abortion services are available and legally safe. However, unless States create conditions for safe abortion, safe abortion will not be available immediately after legalization. These conditions include the establishment of accessible and accessible clinics; the provision of more training to doctors and health personnel; the promulgation of licensing requirements; and the provision of updated and most secure drugs and equipment.",
"Women have the right to equal access to health protection provided by the State as part of the right to health. Women have the right to access products, services and information related to sexual and reproductive health regardless of the legal status of abortion. In particular, women have the right to access high-quality medical services to address complications, including complications arising from unsafe abortion and abortion. Such care must be unconditional, even if the threat of criminal punishment is not affected, and such care should not be subject to the cooperation of women in any subsequent criminal prosecution, nor should it be used as evidence in the legal process of prosecuting women or persons providing abortion. The law does not require health workers to report to law enforcement or the judiciary women seeking abortion-related care.",
"The absolute prohibition of criminal law makes it impossible for women to use (in some cases) life-saving practices. Even if clandestine abortions can be carried out in a relatively safe environment, the most vulnerable women may be unable to access the service for economic reasons. Women who are poor and marginalized may turn to unsafe abortions. When there are very few exceptions to criminalization of abortion (e.g., to save women's lives), the criminalization approach effectively hinders access to information on legal abortion services. Women often do not know these exceptions because of allegations of abortion that prevent the dissemination and discussion of such necessary information. As criminal law often contains provisions that explicitly prohibit the manufacture and dissemination of information on abortion, there is also legal limitations on the availability of such information.",
"The provision of quality health services and services is a major problem arising from the legal regime that criminalizes abortion. In these environments, the lack of national and professional regulation of medical practices means abortion by skilled and non-skilled practitioners without health. [21] Instead, when trained health-care providers conduct abortion under appropriate conditions, abortion is one of the most secure medical procedures available. [22] Criminalization is also not conducive to the access of practitioners to accurate health information and, in exceptional cases where criminal convictions exist, the horrendous impact of the allegations will prevent health personnel from seeking training and information on abortion. As a result, health personnel who choose to implement abortion in these environments may receive insufficient information and training in appropriate abortion procedures and post-abortion care, thus reducing the quality and accessibility of legal abortion.",
"Health workers sometimes refuse to provide women with legal sexual and reproductive health services, or simply refuse to provide treatment services to women suffering from complications arising from clandestine abortions. As a result of the responsibilities for abortion, health personnel also provide false information to women, such as the claim that a woman has only a legal abortion opportunity.",
"The accusations and discrimination related to abortion have led to the marginalization and vulnerability of women, which perpetuate and contribute to violations of the right to health. Abortion-related allegations are not conducive to women's access to abortion services, but also to the treatment of medical complications caused by abortion. The report of abortion is severely underreported (only 35 to 60 per cent of abortions) as an indicator showing the level of allegations of abortion. Although many social and cultural factors cause and exacerbate the allegations of abortion, the criminalization of abortion perpetuates discrimination against abortion and creates new forms of accusations. For example, a woman may be mistreated as a result of the previous abortion. As a result of the relevant allegations of abortion, the view was expressed that women were “crime” rather than recognizing that it might result from a variety of unrelated health conditions.",
"The accusations resulting from the criminalization have created a vicious circle. Criminalization of abortion leads to women seeking secret and often unsafe abortion services. As a result of the alleged violation of the acquisition of illicit abortion services, abortion is immoral, and the abortion process itself is not a constant concept of safety, which also reinforces the ongoing criminalization of the practice.",
"Criminalization of abortion also severely affects mental health. The need to seek illegal health services and the strong accusations of abortion procedures and women seeking the process would have a negative impact on women's mental health. [23] In some cases, women suicide as a result of cumulative pressures and accusations related to abortion. [24] In jurisdictions where rape is not a cause of termination of pregnancy, women and girls who wish to continue their pregnancies because of rape are forced to leave their children or seek illegal abortion. Both options cause great suffering. The great threat of investigation, prosecution and punishment in the criminal justice system, regardless of the choice, would have a huge negative impact on the mental health and well-being of those seeking abortion and non-abortion. In addition, although there is a detailed record of the psychological impact of the search for illegal abortion and the birth of the unanticipated pregnant child, there is no corresponding evidence of the existence of long-term mental health complications resulting from the selective abortion. [25]",
"Control and criminalization of pregnancy and childbirth",
"Maternal health, antenatal and post-natal health and access to information are all elements of the right to health detailed in general comment No. 14. In addition, article 10.2 of the International Covenant on Economic, Social and Cultural Rights provides for the special protection of mothers. The Convention on the Elimination of All Forms of Discrimination against Women also recognizes that women should be provided with appropriate services related to pregnancy. [26] In chapter VIIA, the ICPD Programme of Action considers that reproductive health includes access to services for women's safe motherhood and delivery. Despite the positive obligation to provide support to women during pregnancy and after childbirth, a number of States have introduced or enacted criminal or other legal restrictions prohibiting certain violations of the right to health of women victims.",
"In some jurisdictions, complaints were made of various acts committed by pregnant women during pregnancy. Many complaints relate to the use of illicit drugs by pregnant women, including prosecution in accordance with existing laws relating to child abuse, attempted murder, homicide and the homicides subject to criminal responsibility. The Criminal Code also provides for the prosecution of other acts of women, including alcohol abuse, babies or babies during pregnancy (see A/HRC/17/26/Add.2, para.",
"In some cases, the scope of civil legislation relating to the well-being of children has been expanded to include punitive sanctions on the exposure of antenatal medicines, which can be a reason for denying parental rights and depriving them of their care after birth. If the toxicological reports of pregnant women are positive, or newborns present clinical symptoms of drug exposure, they can be seen as evidence of ill-treatment or neglect of children under these legislative plans. In some jurisdictions, medical personnel are required to test the exposure of pregnant women or newborns, or to test the informed pregnant women. Other jurisdictions have enacted legislation approving the institutionalization of the use of drugs by women during pregnancy. Medical personnel may also be obliged to report to the Government on positive drug screening results.",
"Some States also criminalize mother-to-child transmission of HIV. For example, in one jurisdiction, persons living with HIV (and aware of this fact) must “take all reasonable measures and prevention to prevent the transmission of HIV to other persons, as well as the transmission of babies to pregnant women if they are not to be subject to criminal sanctions” (see A/HRC/14/20, para. In such cases, there shall be no exception to justify the lack of access to preventive health care, services and information or access. Other jurisdictions that generally criminalize HIV transmission may also apply to mother-to-child transmission.",
"The criminalization of maternity offences is not conducive to access to health care and services, thereby violating the right to health of pregnant women. If women fear criminal prosecution, they may be limited in accessing health services and care and in relation to pregnancy-related information. For example, if women are at risk of being prosecuted for the transmission of HIV, they may not seek prenatal services, this would pose a risk to their health and the health of their foetus. This undermines the public health goals related to HIV, as women may refuse to receive comprehensive testing when they face the criminal penalties brought about by the dissemination.",
"Although public health goals can be a reasonable ground for certain interference in the freedom of individuals, it is understandable that public health goals cannot be achieved through criminalization; rather, criminalization often undermines this goal (see A/HRC/14/20, para. The use of criminal law for the regulation of alcohol abuse during pregnancy is a deterrent to laser responses and invalidity. A large number of professional health associations object to criminal law as a means to address the abuse of drugs by pregnant women, which is null and void. [27] In order to effectively achieve public health outcomes and to promote the right to health at the same time, States may not criminalize such practices during pregnancy, while ensuring that health care, services and information are provided for the promotion of maternity and childbirth.",
"Certain criminal laws effectively transfer the burden of the State's realization of the right to health to pregnant women, and the Government lacks effective access to health care, services and information, while punishing pregnant women. For example, if women living with HIV must take all reasonable measures and prevent the transmission of HIV to babies, their lack of access to health services and antiretroviral treatment or access is limited, the State cannot provide women with guarantees to avoid their criminal prosecution. In the Special Rapporteur's view, “When the right to adequate health services is not ensured, women are not able to take the necessary prevention to prevent dissemination, which may expose them to criminal responsibility (see A/HRC/14/20, para. Since the provision and access to health care and services are the responsibility of States, the criminal law may be particularly inappropriate for punishing women because of the inadequate capacity of Governments in this regard.",
"Discrimination and family planning",
"WHO defines family planning as a process that enables the number of children who are expected by themselves and the spacing of pregnancy, which is achieved through the use of contraceptive methods and the treatment of unwanted pregnancies. [28] The use of family planning is an integral part of the right to health. contraception is a method of controlling births and affects family planning. Some forms of preventive transmission of infection can also be used, notably through physical barriers such as condoms. There are various other contraceptive methods, ranging from sterilization to opioid, but these practices cannot prevent the transmission of infection.",
"Family planning empowers women to make ownership and informed choices about their sexual and reproductive health. Family planning reduces the maternal mortality rate by delaying the age of teenage pregnancies, and early childhood also exposes young women to other higher-risk health problems, even deaths. Evidence suggests that voluntary family planning can reduce maternal mortality by 25 to 40 per cent. [29] Family planning also reduces the number of unsafe abortions and the number of mother-to-child transmission of HIV. The use of condoms reduces not only the incidence of sexually transmitted infections but also the success rate of contraceptives can reach 98 per cent if they are properly and consistently used. 27 April 2009",
"The global unmet need for family planning remains a major obstacle to the realization of the rights-related goals and development goals. WHO estimates that 200 million couples in developing countries intend to postpone or cease their pregnancies, but no contraceptive methods are used. In 2009, 24 per cent of women married or cohabited by least developed countries did not want more children or wanted to delay the next child. [30] The reasons for the global absence of meeting the needs include limited access to contraceptives; limited choice of contraceptive methods; limited fears or experiences in the side; cultural or religious objections; poor quality of available services; and gender-based barriers.",
"Family planning enables women to choose whether and when they are born, and therefore is an important prerequisite for women's development and full participation in society. In parts of sub-Saharan Africa, the number of women using contraceptives in secondary education is four times higher than those who have not been educated, and women from the richest family are nearly four times higher than women from the poorest households. [31] A national survey shows that the proportion of women in the workforce is directly linked to national fertility. [32] The survey also noted that women's use of contraceptives is closely linked to their access to work outside the family; in one country, the average increase in women's income from one to three is twice the number of pregnant women. 31 March 2009",
"Criminal law and other laws restrict the reduction or denial of access to family planning supplies and services, or certain modern contraceptive methods such as emergency contraception are violations of the right to health. The Convention on the Elimination of All Forms of Discrimination against Women calls upon States to ensure access to special knowledge counselling to help guarantee the health and well-being of the family, including knowledge on family planning and access to adequate health facilities, including in family planning. [33] In its general comment No. 14, the International Covenant on Economic, Social and Cultural Rights calls upon States to take measures “to improve the health, sexual and reproductive health services of children and mothers, including family planning ... and access to information, as well as the resources required to act on the basis of information obtained” (see E/C.12/2000/4, para.",
"In chapter II, principle 8 of the ICPD Programme of Action confirmed that States should take all appropriate measures to ensure universal access to health services, including reproductive health-related services, based on gender equality, covering family planning and sexual health. The Programme of Action also emphasized the need for participation and noted that family planning programmes were the most successful when women were fully involved in the development, delivery, management and evaluation of services. The Programme of Action further added that Governments should exclude all unnecessary legal, medical, clinical and regulatory barriers to access to information and family planning services and methods. In paragraph 96, the Beijing Platform for Action declared that women's human rights include control and responsible and autonomous decision-making on matters related to their sexual life, including sexual and reproductive health, without coercion and discrimination and violence.",
"However, in many countries, criminal and other legal restrictions severely inhibit access to family planning products and services. In these jurisdictions, women and men (especially the poor) lack access to safe and effective contraceptives and are deprived of the freedom to decide on maternity.",
"For example, a number of States have criminalized the distribution and use of emergency contraceptives, and [34] have been defended by emergency contraceptives as a justification for abortion. However, WHO confirmed that emergency contraceptives are effective forms of contraception. [35] In accordance with these laws, women who are accidental to pregnancy may also bear negative physical and mental health consequences. [36] At the same time, women who are unable to carry out emergency contraceptives may eventually be forced to undergo clandestine abortions, thereby giving them the health-related risks themselves.",
"Restrictions on access to contraceptives also contradict States' obligations to ensure delivery and access to quality services. For example, a number of laws prohibit the implementation of safe and effective sterilization of women — the transmission of zocrafts unless the operation is a very rare condition for treatment. In conjunction with the law that determines that acts of permanent injury are criminal offences, the Act makes it mandatory for medical personnel carrying out the operation to bear criminal responsibility, thereby limiting women's access to this method of contraception. However, women may seek to accept zooby surgery in untreated sanitation facilities, which may expose them to the risk of complications and effectively prevent poor women who cannot afford such operating expenses.",
"In one jurisdiction other laws that restrict access to family planning and contraceptive services include genuine prohibitions for so-called “modile” contraceptive use throughout the city, which makes women extremely difficult to obtain reliable means of childbearing (see A/HRC/14/20/Add.1). In a total of 70 per cent of the victims, the vast majority of the poor and marginalized are dependent on the Government's services such as female sterilization, oral contraceptives, intrauterine devices and injectives (ibid.). The ban absolutely deprives many women and men of access to family planning services and contraceptives. In other cases, the State requires that women and adolescents receive the consent of their husbands and parents before all forms of contraception are carried out. Other jurisdictions allow pharmacists and, in some cases, allow pharmacies to refuse the distribution of emergency contraceptives, which should have been legally provided. These laws directly violate the rights of women and girls to make free and informed choices about their sexual and reproductive health and reflect the idea of discrimination against women in their roles in the family and society.",
"Women also have the right to participate in all decisions affecting their sexual and reproductive health at all policymaking levels. Participation at the community level involved in contraceptive use has been confirmed to enhance women's ownership and ability to freely choose condoms, not only by providing a means to control births, but also protecting their own health in the area of preventive transmission. [37]",
"Obligations to respect the right to health require States not to limit access to contraceptives and other ways to maintain sexual and reproductive health. Therefore, States should remove criminal and other legal restrictions, including laws and other third-party authorizations with parental consent, in order to ensure access to family planning and contraceptive products, services and information. The obligation to protect requires States to ensure that third parties or harmful social and traditional practices cannot interfere with access to prenatal and post-natal care and family planning (see E/C.12/2000/4, para. 35) or prevent access to some or all contraceptive methods. Finally, the obligation to fulfil includes the adoption and implementation of national public health strategies, which involve the provision of a wide range of sexual and reproductive health services, including access to family planning (...) and access to information (see E/CN.4/2004/49, para.",
"Education and information on sexual and reproductive health",
"Comprehensive education and information on sexual and reproductive health are an important component of the realization of the right to health and other rights, such as the right to education and access to information. Therefore, penal and other laws that restrict access to comprehensive education and information on sexual and reproductive health are incompatible with the full realization of the right to health, and States should repeal the relevant legislation (see E/C.12/2000/4, para. These barriers negatively affect women and men. However, women are more affected.",
"General comment No. 14 highlighted the availability of information, which is an important part of the right to health (ibid., footnote 8) and specifically guarantees access to information on sexual and reproductive health. In addition, States must provide sufficient resources to “review, detain or deliberately misrepresent health-related information, including sexual education and related information” (see E/C.12/2000/14, para. CEDAW recommended that sexual and reproductive education include reproductive rights, responsible sexual activity, sexual and reproductive health, prevention of sexually transmitted infections, including HIV/AIDS, prevention of teenage pregnancies and family planning topics, [38] and that educational activities are urgently needed to combat harmful practices such as female genital mutilation. [39] Comprehensive education and information on sexual and reproductive health are also useful in narrowing gender knowledge gaps in these issues. [40]",
"The International Guidelines on Sexual Education of the United Nations Educational, Scientific and Cultural Organization (UNESCO) describe the best sex education as “a suitable age, cultural sensitivity and a comprehensive approach ... including the provision of programmes with scientific accuracy, authenticity and non-exclusive information”. [41] In addition, comprehensive sexual and reproductive health education should provide “to explore the values and attitudes of individuals themselves and to develop skills for decision-making, communication and risk reduction in all aspects of sexuality”. The Special Rapporteur on the right to education further emphasized that comprehensive curricula require sensitivity and a gender perspective to sexual diversity (see A/65/162, para.",
"Restrictions on access to sexual and reproductive health information and the review of the law on the discussion of homosexual subjects contribute to stigma and discrimination against vulnerable minorities. [42] For example, the laws and policies that promote the prohibition of education reduce sexual education to the impressions and fixed patterns of heterosexual norms, which focus on reproduction. Some programmes even explicitly include discriminatory elements on gender and sexual orientation. [43] In some cases, if teachers discuss sexual and reproductive health issues in the course of their sessions, they will be at risk of being suspended or brought to a complaint with their students. In other cases, according to the banishment and anti-sex policies, schools, courts and legislators prohibited civil society organizations to assemble in public schools. These laws and policies perpetuate the false and negative fixed patterns of sexuality, who have different sexual orientations, and do not favour the full informed decision of students on their sexual and reproductive health.",
"Although certain forms of sexual and reproductive health education are permitted in some jurisdictions, policy provisions will seriously undermine the quality and effectiveness of education. States have contributed to the dissemination of false information used by condoms, either by distributing material containing wrong information or by maintaining silence on this issue, leading to the dissemination of contradictory and inaccurate information. [44] Similarly, the prohibition of sexual intercourse as a means of preventing sexually transmitted infections and unwanted pregnancies reflects narrow, incomplete and incomplete perspectives. These programmes often lack accurate and evidence-based information and are confirmed to have little or no effect on reducing the effects of sexually transmitted infections.",
"Studies show that women are generally less aware than men, despite the right perception of HIV/AIDS by a few young people. In UNAIDS studies involving 147 countries, although more than 70 per cent of young men were identified to prevent HIV, only 55 per cent of young women were identified as effective ways to prevent HIV. [46] The legal limitations on access to comprehensive sexual and reproductive health education and information have had a severe impact on women and girls, which have increased and exacerbated data indicating gender inequality. Legal limitations on access to sexual and reproductive health and education have led to the emergence of wrong information from non-regular sources, which are often misplaced and may reinforce negative gender fixed patterns. As a result, young women are more underrepresented in their sexual and reproductive lives, vulnerable to coercion, abuse and exploitation and face greater risk of unwanted pregnancies, unsafe abortion, maternal deaths, HIV/AIDS and other sexually transmitted infections. [47]",
"In jurisdictions that criminalize certain aspects of sexual and reproductive health, the availability and accessibility of information are severely restricted. For example, the criminal law may specify the prohibition of the distribution of information on the prevention or termination of pregnancy or of material that is contrary to the concept of ethics or conduct. The scope of punishment can vary from fine to imprisonment. Moreover, limitations on health-related information may be an accidental consequence of other information-related laws, such as pornography, which can also criminalize sexual and reproductive health information. [48] Therefore, public health and empowerment programmes and activities based on these information — on HIV/AIDS and preventive transmission of infection, family planning, domestic violence, gender discrimination, female genital mutilation, sexual diversity and comprehensive sexual and reproductive health education activities — are effectively prohibited. Women and girls are the most likely to be affected by the availability of services and programming gaps, as they face higher risk of HIV/AIDS infection and sexually transmitted infections, maternal deaths, unsafe abortion and unwanted and unwanted pregnancies.",
"There has been repeated confirmation that sexual and reproductive health is fully aware of the effective reduction of maternal mortality; prevention of unwanted pregnancies, unsafe abortion, HIV/AIDS and other sexually transmitted infections; postponement of the first age of sexual intercourse; enhanced understanding of family planning options; and prevention of gender-based violence (see E/C.12/2000/4, para. It is also important to empower women through comprehensive sexual and reproductive health education and information, as young women often lack power and control in sexual relations, which make them vulnerable to coercion, abuse and exploitation. [49] As a means of empowerment, as well as a method of carefully reviewing gender inequalities and fixed models, comprehensive education and information or ways to eliminate deep-rooted patriarchal systems; patriarchal systems perpetuate violations of women's rights, including their right to health (see A/65/162, paras. Women are provided with knowledge and skills relevant to their sexual and reproductive health, relevant education and information to make them more free to make informed decisions on health-related issues and to promote their equal participation in society.",
"States implementing and enforcing penal or other laws that restrict access to sexual and reproductive health information are actively reducing access to information and thus do not fulfil their obligations to respect the right to health. Because of the existence of these laws and allegations arising from the law, third parties, such as teachers, publishers or authors, may also refuse to provide women and girls with the necessary means of obtaining sexual and reproductive health information. States' obligations to achieve the right to health require strategies to ensure that comprehensive sexual and reproductive health education and information are provided to all, especially women and girls.",
"Recommendations",
"With regard to the application of the right to health approach, States should reform policies and programmes related to sexual and reproductive health, as required by international human rights law. In this regard, the Special Rapporteur calls upon States:",
"(a) Develop public health policies and programmes to promote evidence-based information on sexual and reproductive health and HIV prevention;",
"(b) Develop comprehensive family planning policies and programmes to provide a wide range of contraceptive-related products, services and information, and products, services and information can be used, accessible and quality;",
"(c) legitimize the provision and use of all forms of contraception and the practice of voluntary sterilization in the control of births, and eliminate the requirement for spouses and/or parental consent;",
"(d) Measures to ensure the availability, availability and quality of contraceptive methods, including drug and operational contraceptive methods;",
"(e) Legalize information relevant to sexual and reproductive health, including evidence-based sexual and reproductive health education;",
"(f) Develop policies to ensure that existing criminal laws, such as sex-related laws, do not apply to limiting access to evidence-based sexual and reproductive health information and education, or do not punish those who provide information and education in this regard;",
"(g) Take measures to standardize national curriculums in order to ensure that sexual and reproductive education is based on evidence and contains human rights, gender and sexual aspects;",
"(h) Legalize abortion, including the relevant legislation, such as legislation involving the instigation of abortion;",
"(i) Consider the development of policies and protocols as a temporary measure by the responsible authorities to suspend the application of the criminal law on abortion, including the legal responsibility of medical personnel to report on women to law enforcement authorities;",
"(j) Ensure that safe and high-quality health services, including abortion, are provided in accordance with WHO protocols and that services are used;",
"(k) Develop policies and programmes to ensure safe, reliable and quality services for abortion-related complications and post-abortion care, in particular in jurisdictions that criminalize abortion;",
"(l) Ensure that accurate and evidence-based information on abortion and its availability is publicly available and that health-care providers are fully aware of the laws relating to abortion and its exceptions;",
"(m) Ensure that, in terms of scope, there is a clear definition of conscientious objection, that it is carefully regulated at the time of use, and that referral and alternative services are provided without objection from service providers;",
"(n) To suspend/remove the application of existing criminal laws for all forms of pregnancy, such as those related to the treatment of births, in particular abortions, alcohol abuse and the use of drugs and the dissemination of HIV.",
"AD(*) A/63/250.",
"[2] See E/C.12/1/Add.98, para. 43; E/C.12/1/Add.105 and Corr.1, paras. 53 and 54; E/C.12/BRA/CO/2, para. 29; and E/C.12/COL/CO/5, para.",
"[3] See, inter alia, articles 5, 10 (h), 11, 121 and 16.",
"[4] See United Nations Population Fund, eight life: story of reproductive health (New York, 2010).",
"[5] United Nations, Treaty Series, vol. 1577, No. 27531, article 24; see also CRC/GC/2003/4, para.",
"[6] United Nations publication, Sales No.",
"[7] Paul Hunt and Judith Bueno de Mesquita. The Rights to Sexual and Reproductive Health (Colchestex Esex, University of Esex, 2006).",
"[8] See CRC/C/15/Add.268, para. CEDAW/C/CHN/CO/6, para. 32; E/CN.4/2004/49, para.",
"[9] Except for men who have sex with men; see A/HRC/14/20.",
"[10] See A/53/38/Rev.1, para.",
"[11] CRC/C/15/Add.107, para. 30; CRC/C/CHL/CO/3, para. 55; and CRC/C/URY/CO/2, para.",
"[12] CAT/C/PER/CO/4, para. 23; CAT/C/NIC/CO/1, para. 16; and CAT/C/CR/32/5, para.",
"[13] CCPR/C/21/Rev.1/Add.10, paras. 20, 28 and 31.",
"[14] R. Boland, “Second trimester abortion laws embassies: reality, trends and preferenceations”, Reproductive Health Matters, vol. 18, No. 36 thereof, pp. 67/1989.",
"[15] Louise Finer and Jaudith Buenode Mesquita, “The right to sexual and reproductive health: protection of the right to sexual and reproductive health” (Esquest, Esques University, 2010).",
"[16] WHO, unsafe abortion: estimates of global and regional unsafe abortions and related deaths in 2008, p. 2.",
"[17] A.I. Mundigo, “Determinants of Unsafe Induced Abortion in Developing Countries”, in Ina K. Warriner and Iqbal H. Shah, eds., Preventing Unsafe Abortion and its Consequences: Protocolities for Research and Action (New York, Gutmacher Research Institute, 2006), pp. 51-54.",
"[18] WHO, Safety Abortion: Health Systems Technical and Policy Guide (Geneva, 2003), p. 86.",
"[19] Lori Ashford, “Hidden suffering: Disabilities from pregnancy and childbirth in less developed countries” (Washington, D.C., Population Intelligence Agency, 2002). Available from http://www.prb.org/pdf/newfferingeng.pdf.",
"[20] Michael Vlassoff, and others, “Estimates of health care systems costs of unsafe abortion in Africa and Latin America”, International Perspectives on Sexual and Reproductive Health, vol. 35, No. 3 (2009), pp. 114 strike121.",
"[21] WHO, unsafe abortion: global and regional estimates, p. 7 (see footnote 14 above).",
"[22] WHO, Safety Abortion: Technical and Policy Guide, p. 14 (see footnote 16 above).",
"[23] WHO, Mental Health of Women (Geneva, 2008), p. 54.",
"Ibid., p. 52.",
"[25] Vignetta E. Charles and others, “Abortion and Long-term mental health outcomes: a systematic review of the evidence”, Contraception, vol. 78, No. 6. (December 2008), p. 436.",
"[26] United Nations, Treaty Series, vol. 1249, No. 20378, article 12.",
"[27] The National Women's Initiative, “What is the problem of pregnancy and medicine?” (9 March 2006).",
"[28] WHO, Family Planning, Summary No. 351 (April 2011).",
"[29] World Bank, “The population of the twenty-first century: the role of the World Bank”, health, nutrition and population (the World Bank) April 2007, Washington, D.C.",
"[30] World contraceptive use in 2010 (POP/DB/CP/Rev 2010); available at: http://www.un.org/esa/ populations/wcu2010/Main.html.",
"[31] Millennium Development Goals Report 2010 (United Nations publication, Sales No. E.10.I.7), p. 37.",
"[32] World Bank, “Humanitarian issues”, p. 26 (see footnote 27 above).",
"[33] United Nations, Treaty Series, vol. 1249, No. 20378, articles 10 (h) and 14 (b).",
"[34] Eileen Kelly. “Crisis of Conscience: Pharmacist Refusal to Provide Health Care Services on Moral Grounds”, Employee Responsibility Rights, vol. 23, No.1 End, 37-54.",
"[35] WHO, “Emergency contraception”, fact No. 244 (revised in October 2005). Available from http://www.who.int/mediacentre/factsheets/fs244/en/index.html.",
"[36] WHO, Mental Health, p. 55 (see footnote 21 above).",
"[37] For example, the proportion of sex workers used condoms increased from 3 per cent to 90 per cent in seven years owing to the community-led structural intervention Sonagachi project. See T. Ghosea and others, “Mobilizing collective identity to reduce HIV risk among sex workers in Sonagachi, India: The boundaries, awareness-raising, framework”, Social Science Medicine, vol. 67, No. 2 (2008), pp. 311 Quisum320.",
"[38] See A/56/38, para. 224; A/56/38, para. 303; A/53/38, para. 349; CEDAW/C/PHI/CO/6, para.",
"[39] See E/C.12/1/Add.78, para. 31; and E/C.12/1/Add.62, para.",
"[40] UNAIDS, Report on the Global AIDS epidemic (Geneva, 2008).",
"[41] UNESCO, International Guidelines for Sexual Education: Effective Partnership and evidence-based approaches to HIV/AIDS transmission education (STI) 2009, Paris, p. 61.",
"[42] See International Centre for the Legal Protection of Human Rights v. Croatia; Human Rights Watch, Critical Rights, Executive Summary (2011); British Broadcasting Corporation, “The President's moratorium on Brazilian sex education materials” (25 May 2011. Available from http://www.bbc.co.uk/news/world-latin-america-13554077.",
"[43] See A/65/162, paras. 68-69; and A/HRC/14/20/Add.3, para.",
"[44] UNESCO, Review of Schools, Sexual Relations and HIV Education (2007), paras. 16 and 17.",
"[45] UNAIDS, Global Report 2008, p. 98 (see footnote 38 above).",
"Ibid.",
"[47] UNESCO, International Guidelines for Sexual Education, p. 2 (see footnote 39 above).",
"[48] International Amnesty Organization, “No alternative: Obstacles to reproductive health in Indonesia” London, 2010.",
"[49] See UNESCO, International Guidelines for Sexual Education, p. 20 (see footnote 39 above)."
] |
[
"第六十六届会议",
"临时议程[1] 项目13和69(b)",
"联合国经济、社会及有关领域",
"各次主要会议和首脑会议成果",
"的统筹协调执行及后续行动",
"促进和保护人权：",
"人权问题，包括增进人权和基本自由切实享受的各种途径",
"享有安全饮用水和卫生设施的人权问题特别报告员的报告",
"秘书长的报告",
"摘要",
"享有安全饮用水和卫生设施的人权问题特别报告员卡塔丽娜·德阿尔布克尔克按照大会第64/292号决议及人权理事会第15/9号决议和第16/2号决议，向大会提交本报告。报告审查了涉及可用于实现水和卫生设施权利资源的重要问题。报告第二部分简要回顾了相关部门的资源状况。接下来审议了各部门范围内的一些主要筹资来源，就如何通过与人权原则保持一致来扩大和完善这些来源提出了建议，并扼要阐述了投资饮水和卫生设施权利的巨大益处。第三部分审议了有效调拨资源的相关挑战。该部分通过具体实例介绍了利益攸关方可如何通过铭记人权原则，更好地利用有限资源。最后，第四部分论及了进行充分筹资的其他挑战，诸如机构分散和缺少透明度。",
"目录",
"页次\n 1. 导言 3\n 2. 对水和卫生设施的供资不足 4\n A. 将人权纳入传统筹资机制 6\n B. 筹资来源 7\nC. 投资水和卫生设施的益处\t13\n3. 有效定位资源\t14\nA. 人权和定位\t14\nB. 最弱势群体和边缘群体未享受到资源\t15\nC. 选择适当的技术\t16\nD. 运作和维持\t17\nE. 权力下放和能力建设\t17\nF. 监管\t18\nG. 提高认识和社区外展\t19\n4. 准确评估资源\t20\nA. 分割问题\t20\nB. 透明度问题\t22\nC. 无法衡量个人缴费情况\t23\n5. 结论和建议\t24",
"一. 导言",
"1. 享有安全饮用水和卫生设施的人权问题特别报告员卡塔丽娜·德阿尔布克尔克按照人权理事会第15/9号决议和大会第64/292号决议，向大会提交本报告。在前一份决议中，理事会请特别报告员(当时为独立专家)向大会提交年度报告，在后一份决议中，大会请特别报告员在其提交大会第六十六届会议的报告中介绍在实现享有安全清洁饮用水和卫生设施的人权方面存在的主要挑战，以及这些挑战对实现千年发展目标努力的影响。根据人权理事会第16/2号决议而延长的任务规定，特别报告员还在努力确定在充分实现享有安全饮用水和卫生设施的人权方面存在的挑战和障碍。",
"2. 特别报告员在其他报告中提及在实现享有安全饮用水和卫生设施的人权方面存在的具体挑战，诸如缺乏政治意愿和需要出台国家行动计划(如，A/HRC/18/33)。然而，缺少资源问题经常被各利益攸关方提及，应予以特别关注。因此，她选择将该议题作为本报告的重点。",
"3. 报告处理了用于实现享有安全饮用水和卫生设施的人权的资源问题，并询问现有资源是否足以实现此项权利，以及这些资源是否得到了妥善利用。总而言之，得出的结论是，虽然可以并且应该向各部门投入更多资源，但通过采取符合人权义务的更具针对性的干预措施，能够利用现有资源开展更多相关工作。提高透明度及加强协调将有助于更好地全面了解直接用于各部门的资源，以及如何利用这些资源，从而有助于完善政策制订和执行。",
"4. 特别报告员强调指出，不可回避的事实是，实现包括公民权利和政治权利在内的人权需要资金。司法系统运作良好、警察部队尊重人权、社会政策保护最弱势人群和建设基础设施是支持建立基于尊重人权的社会和获得经费的必要条件。这些费用通常由国家支助和个人付款共同分摊。例如，教育和法律援助通常由税收予以支助，而保健则是通过保险方案和税收。",
"5. 投资水和卫生设施不应脱离实际进行。在决定资源的使用方式和使用领域时，宏观经济政策极大地影响着国家决策。在未满足人们的经济和社会需求的情况下，将自身经济增长作为优先事项会对人权的享有构成威胁。[2] 例如，某些经济理论无视收入分配的意义，并根据私营部门能够更为有效地使用资源这一假设，提倡尽量减少公共开支。[3] 然而，如果不对成果是否公平予以同等关注，注重经济增长和建立强有力的监管框架的狭隘做法会引发对人权的重大关切。只有社会最弱势阶层能够参与其中，经济增长才能在减少贫穷、实现千年发展目标和最终实现人权方面发挥关键作用。",
"6. 水和卫生设施资源的供应情况还与全球范围内的资金借贷方式密切相关。需将较大部分国内生产总值用于偿还外债的国家确定其基本公共服务(包括水和卫生设施)国家预算和资源分配的能力可能会受到限制。此外，如下文所进一步讨论的，继续在上述筹资安排中使用附加条件还会扭曲国家优先事项，并对人权造成有害影响。[4]",
"7. 经济政策必须以人权为指导，并作为实现人权的一项工具。各国和国际决策者有责任根据其人权义务审议其宏观经济政策选择。应对经济政策进行审查，以符合人权标准，并逐步实现、不后退、不歧视、透明、参与和问责等原则。虽然对经济政策提出详细评论意见不属于本报告范畴，但必须从一开始就了解，对人人享有安全饮用水和卫生设施的筹资是在这一更大背景下进行的，并且这一背景影响着筹资。",
"8. 在铭记更大背景的同时，本报告表明，各国和国际捐助方坚定承诺将人权原则融入部门的筹资工作能够帮助各国筹集、使用和跟踪资源。为编制本报告，特别报告员于2011年5月与人权法、水、卫生设施、宏观经济学和发展领域的专家在里斯本举行会议，[5] 并继续与一些专家进行双边协商。专家们提供的观点和专门知识极有帮助，特别报告员感谢专家分享其观点。",
"二. 对水和卫生设施的供资不足",
"9. 最新估计显示，近10亿人得不到经改良的饮用水源，26亿人仍无法获取经改善的卫生设施。[6] 千年发展目标关于卫生设施的具体目标严重偏离轨道，无法获取的人数仍在上升。[7]即使2015年的目标能够实现，仍然有超过17亿人得不到经改善的卫生设施。⁶关于水的具体目标已步入轨道，但进展情况仍不稳定。如果实现，全世界至少6.72亿人仍将无法获取经改良的水源，[8] 无法获取安全饮水的人数必将增长，因为目前的数据并不包括对水质或负担能力的衡量。最弱势和最受排挤的人群无一例外地仍将无法获取；令人遗憾的是，实现千年发展目标方面取得的进展并未给穷人带来显著改变。",
"10. 在其提交大会第六十五届会议的报告(A/65/254)中，特别报告员解释道，水和卫生设施权利的规范性内容能够以更为全面、负责、更具参与性、不歧视和可持续的方式，支助实现千年发展目标具体7.C。她现在强调，尽管目标提供了具体的发展基准，但人权观点突出表明了具有法律约束力的义务，并设想了普遍、公平和负担得起的获取。",
"11. 无论重点是发展目标还是人权，事实是，以目前的供资水平和使用模式，现有资源不足以实现任一方面。一项研究估计，到2015年实现普遍享有水和卫生设施意味着每年需花费165.8亿美元，但指出该数字可能为一个低估数。[9] 关于千年发展目标的具体目标，如果要在2015年之前实现具体目标7.C，则必须大幅增加甚至双倍于对水和卫生设施部门的供资。[10] 根据各项估计，全球实现2015年具体目标每年所需的费用从67亿美元到750亿美元不等，具体取决于基准年份、人口增长和分布、技术费用，以及费用估计数是否包括新基础设施、运作和维护和/或建设持续享有的机构能力的费用等因素。[11] 在国家一级，据估计，各国至少应将国内生产总值的1%用于水和卫生领域。[12]",
"12. 与上述高额费用相比，事实上国家政府和捐助者都没有向水和卫生设施服务承诺充足的资源。2008年，水和卫生设施领域的国际援助承诺额仅为74亿美元，占报告的所有国际援助的5%。[13] 尽管对水和卫生设施的投资对实现千年目标产生了重大影响，诸如孕产妇死亡率降低，实现了初级教育普及，增强妇女权能和儿童死亡率降低，但与用于健康和教育的开支相比，投入水和卫生设施领域的国际援助比例在过去十年中有所减少。[14] 如果要实现所有目标，并充分实现水和卫生设施权利，水和卫生设施必须在国家政府国内和国际优先事项中占据更加显著的地位。",
"A. 将人权纳入传统筹资机制",
"13. 虽然人权法认识到各国拥有的途径通常很有限，但其需要逐步开展充分实现水和卫生设施权利的工作。逐步实现的原则承认充分行使经济、社会和文化权利是一个长期过程，但申明各国须在一段时间内取得进展，并采取周密、具体和有针对性的步骤，履行《经济、社会、文化权利国际公约》所确认的义务，[15] 以尽可能迅速和有效地充分实现上述权利。[16]执行该原则的必然结果是禁止故意的倒退措施。¹⁵不履行其基本义务并减少对特定权利的保护的国家承担提供证据的责任，证实参照《公约》规定的总体权利和从充分利用尽可能多的可用资源的角度看，采取这些措施是合理的。¹⁵",
"14. 为逐步充分实现水和卫生设施权利，各国有义务采取步骤，最大限度地利用可用资源，[17] 并且不能以缺乏必要资金或人力资源为由，无视其人权义务。[18] 同时，各国还有一项从其境内居民并在必要时从国际社会筹集资源的积极义务。[19] 无论各国选择的供资来源如何，其自始至终必须确保出台相应的机制，支持透明、公众参与和问责制。",
"15. 然而，对各国而言，如果为水和卫生设施部门筹集大量资源，但同时却不能确保其使用能对实现普及产生尽可能大的影响，这样是不够的。除其他外，各国应设法通过以下方式实现最大成果：制定全部门战略和有力的监管框架；努力提高对水和卫生设施服务的认识和需求；酌情投资低成本但高效率的技术。数量评估领域的新兴战略使得监测是否将尽可能多的可用资源用于实现经济、社会和文化权利(包括水和卫生设施权利)成为可能。[20] 人权法还要求各国积极促进不歧视做法。[21] 各国必须将其经费优先用于需求最大的目标群体和社区。",
"16. 虽然水和卫生权利的一些方面需要逐步实现，但人权法也设想了即刻产生效果的义务，应根据这些义务规定国家短期优先事项和决策。[22] 在水和卫生设施权利方面，它包括在没有歧视的基础上，优先获得最基本的水和卫生设施；通过并执行国家水和卫生设施战略；以及开始监测水和卫生设施权利的实现程度。[23]",
"B. 筹资来源",
"17. 除了投资于高效技术和将基本需求列为优先事项外，各国还应努力实现水和卫生部门供资来源的多样化，并优化这些来源，其中包括收费和用户缴费、国家和地方税收，以及国际援助(赠款或贷款)。许多扩大获取机会的项目将涉及不同的筹资来源。",
"18. 将问责制、参与和不歧视等人权原则纳入筹资机制能增强其影响，具体方法是确保分配这些资源，使其侧重于增加目前没有或未充分获取水和卫生设施服务的人群的获得机会。",
"1. 家庭和用户缴费",
"19. 特别报告员强调，人权框架并不要求免费提供水和卫生设施服务。免费获取水资源实际上可能会剥夺服务提供者扩大和保持服务所需的收入，从而对低收入家庭造成损失，并使其面临不可持续的风险。[24] 此外，拒绝缴费的并不总是那些因没有接入正规网络而从非正规供应商购买大量水的最弱势和低收入家庭。对于上述社区的人而言，支付正式服务供给费通常是一个获得更常规的服务和更高质量水和卫生设施的好机会。[25]",
"20. 家庭可通过若干方式促进改善获得水和卫生设施的机会。在网络供应的情况下，收费问题讨论尤为重要，因为多数供水(和污水)部门至少通过收费(例如，家庭直接支付获取水和卫生设施的费用)支付其部分经费。[26] 对相关设施的限制日趋加大，通过收费筹集的资金只能用于运营、维护和改善或扩大水和卫生设施服务，且不能被用于其他政府用途。一些国家政府还要求遵循费用回收原则，至少通过收费来支付运作和维护费用，这意味着与运作和和维护水(及有时卫生设施)服务相关的所有费用。然而，通过收取用户费筹得的资金一般达不到投资新项目或扩大现有基础设施所需的资金水平。²⁵ 如果制定了费用回收原则，则必须对收费进行调整，通过确保负担得起的补充制度援助无力支付水(和卫生设施)服务供给成本价格的家庭。因此，会出现不一致情况，原因是供水部门需要在商业性基础上提供服务，但同时也需提供负担得起的公共产品。",
"21. 在获取正规的水和污水服务方面，另一种家庭缴费方式是连接费。这些费用包括向供电部门支付网络连接费(如，给家庭接通管道的实际费用)，以及改良家庭管道使其能够连通的费用(如，内部管道、储水箱等)。这些费用通常是赤贫家庭的一个重大障碍。最新研究表明，在非洲，向供水部门支付的连通费平均为185.50美元，亚洲为168.90美元。在具体环境下连通水系统的费用方面，举例来说，加纳需要一年的收入。[27] 一些国家已决定减少获取水和卫生设施服务的障碍，取消所有家庭或部分家庭的这一支出，或将部分或全部扩大服务的费用纳入标准服务费用。可以说，扩大供水部门的客户基础可能比坚持收取高昂的连通费更能够带来更大的收入。[28]",
"22. 农村地区和非正规居住区水和卫生设施服务的家庭缴费与标准自来水和污水服务供应的家庭缴费大不相同。在这些情况下，用户费用从建立社区和个别家庭供应(一个干净的公共或家庭厕所)、水储存(桶、罐、箱)、水处理(煮沸、氯化、过滤等)、清洁、维护、清空厕所或化粪池，到粪便处置不等。",
"23. 在任何情况下，人权框架要求各国首先确保获得水和卫生设施的费用仍然可负担得起，并且适当反映边缘化和弱势人群的需求，其次，确保针对无力支付或仅能够支付最低费用的人群出台一个安全网络。在这种情况下，可负担得起表示该费用不得大幅削弱家庭支付食物、住房或保健等其他基本费用的能力。[29]",
"24. 如下文所讨论的，直接或交叉性补贴等各种形式的政府支助可对负担能力产生积极影响。[30] 采用健全和透明的衡量指标并监测负担能力有助于进一步促进该部门的问责。",
"虽然本报告通篇都考虑到了为水和卫生设施筹资的问题，但应评估为卫生设施筹资不同于为供水筹资的原因。 虽然投资卫生设施比仅投资于水能够带来更为显著的益处，但与卫生设施部门相比较，更易筹得供水部门的所需资源，37%的援助供资^(a)和平均仅20%的关于相关部门的政府支出被用于卫生设施。^(b) 无论经济状况如何，妇女、儿童和男子均认为获得水资源是一项需求，且此需求不可替代。因此在没有选择的情况下，人们甚至愿意支付高昂的价格以获得劣质水。因此，在没有充分了解拥有和使用厕所的经济和健康益处的情况下，供水在各国政府的政治议程及家庭、学校、工作场所和诊所的预算优先事项清单上的地位一般高于卫生设施。 此外，卫生设施可能是一个禁忌话题，因为在许多文化中，很难对个人需求，特别是妇女需求开展讨论。这意味着，无法充分了解哪些人没有充分获得卫生设施及其原因(如果不是不可能获得)，从而使规划和预算编制变得困难。 男性户主可能是预算优先次序的决策者，他们在获得卫生设施方面往往有更多选择，无论是在工作场所还是根据文化习俗，这些习俗使得男子随地小便(如果不是大便)更易为人所接受。这可能意味着，家庭预算决定没有反映妇女的需求，并且没有满足其对方便和安全的卫生设施的需求，这些设施不只用于个人用途，也有助于照料儿童、病人和老人。 适足卫生设施所涉的各个方面都要求为卫生设施进行筹资，这些方面包括购买或修建厕所或盥洗室，清除或运输废物(例如污水或坑式厕所/化粪池清空系统)及其处理、处置和/或再利用。虽然许多家庭可能对修建盥洗室或厕所进行了有效规划，但相关运输、处理、处置和再利用方面的规划和预算编制更为复杂，需要(特别是在城市地区)采用更为全面的做法。各国政府和捐助方废水处理的工作重点是网络污水系统，但这些系统往往未普及至最贫穷的家庭，因而没有解决厕所和化粪池粪便污泥处理问题。为在密集的城市环境中和未连接下水道系统的农村地区找到适当的粪便处置系统，必须开展更多的工作。^(c) 为了可持续地获得卫生设施，对宣传等领域的投资通常是刺激需求的必要条件。在需求很小的情况下，提供卫生基础设施和装置会带来设施得不到使用的风险。^(d) _________ ^(a)《2010年联合国水机制全球卫生与饮水年度评估：向更好的成果划拨资源》(日内瓦，世界卫生组织，2010年3月)，第28页。 ^(b) 同上，第29页。 ^(c) Maggie Black and Ben Fawcett, The Last Taboo: Opening the Dooron the Global Sanitation Crisis (London and Stirling, Virginia,Earthscan Publications Ltd., 2008), pp. 212-216。 \n^(d) 见Carolien van der Voorden and Andy Peal, Public Funding forSanitation: The Many Faces of Sanitation Subsidies (Geneva, WaterSupply and Sanitation Collaborative Council, 2009); and SophieTrémolet, Pete Kolsky and Eddy Perez, Financing On-site Sanitationfor the Poor: A Six Country Comparative Review andAnalysis(华盛顿特区，世界银行饮水和卫生方案，2010年1月)。",
"2. 税收和政府供资",
"25. 虽然收费和用户费能够支助水和卫生设施服务的提供，但它们几乎不能支付全部费用，特别是将服务扩大至新的或未得到充分服务的地区时。[31] 发达国家和发展中国家的情况均是如此。例如，在日本，政府补贴占到对这些部门投资的7%，而在葡萄牙，水和卫生设施部门31%的筹资来自国家和市政预算，而非收费(http://insaar.inag.pt/index.php?id=31)。",
"26. 因此，政府支助是确保筹得资金的必要条件，原因如下：第一，这通常是为资本密集型基础设施项目供资的主要来源，诸如建设废水处理设施。[32] 如果扩大获取范围涉及在贫民窟和其他非正规居住区等未得到服务和贫穷地区开展工作，且初期费用高昂及投资的短期收益很低，各国可能是愿意和有能力进行大规模供给的唯一行为者。",
"27. 第二，补贴形式的政府供资可能是提高低收入家庭负担相关服务的能力的必要条件。具有重大人权影响的一个问题是政府补贴方案应具有普遍性质，还是具有针对性。[33] 仅仅旨在普及至有需求人群的具有针对性的补贴反映出，预算拮据限制了各国可投入任何特定部门的资源。[34] 同样，能够独自进行补贴的国家也应采取此种做法。因此，各国可采取经济情况调查等方式确定符合获得支助条件的人群。",
"28. 然而，确保具有针对性的补贴普及至预期受益者可能很复杂，且费用高昂。尤为重要的是，要确保具有针对性的补贴不是出于政治关系偏袒某些人群，或者被中坚力量攫获的一种掩护，因为这样会加剧各群体或宗教之间的差距。在这方面，选定目标的过程和符合资格的标准尤其必须做到公正、合理、客观和透明。[35] 在难以确定有需求人群的情况下，普及补贴制度可能适宜保障最需要援助的人群实际获益。如果没有经济情况调查制度，普及制度在管理方面的费用也较低。从本质上来讲，各国必须出台一项制度，确保在获得水和卫生设施方面需要援助的家庭能够获得此类援助，同时考虑到今世后代的需求及资源的有效利用。",
"29. 在个人或家庭管理其自身本地化服务的情况下，可能有必要提供赠款或补贴，以确保持续获得水和卫生设施。在一些情况下，为修建供水点或厕所提供了补贴，但却很少对其运营和维护提供补贴。各国政府很少为援助家庭安全处理粪便提供支助。对可持续性的关注不够会带来后退风险，并可能违反人权法。社区牵头的全面卫生做法等方法提供了宝贵经验，特别是在向社区能力建设划拨经费，而不是为确保厕所既得到维护又得到有效使用对修建厕所体进行直接补贴方面。",
"3. 国际援助",
"30. 在家庭缴费和政府支出不足以实现水和卫生设施权利的情况下，国际援助通常为筹资提供捐助。[36] 为根据逐步实现原则最大限度利用可用资源，各国有义务在必要时诉诸国际支助。[37] 反过来，能够提供援助的国家有义务根据人权原则提供支助。[38] 这一国际合作义务对相关人权条约的缔约方普遍适用，且不是针对任何具体国家(E/CN.4/2006/WG.32/2，第50段)。",
"31. 尽管过去十年国内筹资呈现增加的趋势，但国际援助依然是诸多发展中国家及一些转型国家的水和卫生部门筹资的主要来源。[39] 同时，用于水和卫生设施领域的国家援助份额在过去十年有所减少，并且考虑到增加获取带来的巨大利 益，[40] 应将此援助列为供资方面的重点优先事项(见下文)。",
"32. 在当前的经济环境下，严重依赖国际援助支助实现水和卫生设施权利的国家应力争在现有援助分配的范围之内，将为水和卫生设施供资作为优先事项，同时还应采用各项措施，即使是在供资没有大幅增长的情况下，也能继续在实现上述权利方面取得进展。",
"33. 该过程首先是进行有力的部门规划，其中包括制订统一的全部门政策和具体目标。证据表明，在没有明确的国家政策框架的情况下，尤其难以有效和高效地提供服务。[41] 此外，国际捐助者在考虑将哪些部门列为优先事项时，是否制定了有力的部门计划经常是为影响其决策的一个重要因素。[42] 同时，在开展部门规划时，应首先从总体获取情况及负担能力、可接受性和质量方面，对可用资源和实现水和卫生设施权利的现状进行全面评估。[43]",
"34. 如果发展中国家有义务采取步骤，确保可持续向水和卫生设施领域划拨国际援助，并支持逐步实现，则国际捐助者也有相应地义务促进这一过程。国际援助应恪守《援助实效问题巴黎宣言》和《阿克拉行动纲领》所述的各项原则，从而确保援助协定符合国际人权法，以及援助优先事项与其发展伙伴的国家政策框架相一致。[44]",
"35. 此外，通过国际金融机构和捐助者提供的贷款和赠款为水和卫生设施领域调集资金。上述行为者必须努力消除这些筹资协定所附的不当附加条件。[45] 如果发展资金有赖于具体宏观经济政策的颁布，则会导致可以其他方式支助实现水和卫生设施权利的公共开支出现削减。[46] 政府资产(包括水和卫生设施服务提供者)私有化，也可能是附加条件方面的一个特点。虽然人权法并未禁止私营部门参与，但如果同时不施具体措施，监测服务的提供并保持所有人可负担得起的获取，则会存在巨大风险，即此类参与会降低扩大和改善未得到充分服务的地区获取的动力，同时还会导致问责削弱，家庭成本增加。",
"4. 私营部门和非政府支助",
"36. 私营部门筹资主要用于弥补因政府支助不足而出现的服务缺口。例如，尽管通常属于非正规性质，但供水商在未得到服务的社区发挥重要作用。在卫生设施方面，私营行为者参与修建、管理或维护个人或公共厕所，并出售肥皂和其他清洁用品。更为普遍的是，私营部门可以弥补筹资差距，并抵消与提供水和卫生设施服务相关的费用。然而，正规私营部门提供筹资的一个前提条件通常是能够收回这些资金，这不利于向低收入居民区提供服务。同样，非政府组织也可发挥重要作用，但按总体筹资计算，其捐助依然很少。特别报告员详述了私营部门在支助实现水和卫生设施权利方面的作用(见A/HRC/15/31)，并重申从经济模式来说，人权法持中立态度，国家是主要负责方，且有责任进行有效承包和监管私营行为者。",
"C. 投资水和卫生设施的益处",
"37. 在讨论投资水和卫生设施的成本时，很容易忽视其好处。不向水和卫生设施领域花费更多资金的确会产生更高的经济成本。在发达国家，只有在国家政府开始向供水及且更为重要的卫生设施做出重大投资之后，才会伴随经济增长和预期寿命延长，儿童死亡率降低。[47]",
"38. 这些改善带来的利益惊人。根据一些估计，同时实现千年发展目标关于水和卫生设施的具体目标的综合成本-效益比率为8：1。[48]",
"39. 在经济合作与发展组织(经合组织)非成员国，同时普及水和卫生设施可带来1 700亿美元的效益。⁴⁷ 在改善健康方面，上述利益尤为明显：例如，通过避免腹泻和救治因不能获得水和卫生设施引起的疾病。[49] 通过对改善水和卫生设施服务进行投资，以残疾调整生命年计算的全球疾病总负担确实可至少降低10%。家庭接通水管也能对降低儿童死亡率产生巨大的积极影响；[50] 在阿根廷开展的一项研究表明，增加最贫穷城市接通水管的家庭可使儿童死亡率降低24%。[51] 增加获得水和卫生设施机会的经济利益包括成人生产效率和儿童入学率提高，因卫生条件恶劣引起的慢性疾病会对这两者造成影响。[52]",
"40. 并不是所有好处都能用金钱进行量化。需要对节省时间和获得尊严等无形利益予以认真考虑，因为其可对人类福祉产生影响。投资水和卫生设施给妇女和女孩带来的尤为积极的影响对于实现与两性平等相关的人权义务至关重要。也很难得出关于环境利益的准确数字，但鉴于改善水和卫生设施服务有助于抵御环境恶化，其会给这方面带来巨大利益。",
"三. 有效定位资源",
"A. 人权和定位",
"41. 成功调动确保普遍享有所需的资源本身并不能保证成功实现获得水和卫生设施的权利。人权原则提供了三个基本考虑因素，可以用来指导各国和国际捐助者确定如何将资源分配给水和卫生设施。首先，资源应首先用于履行即刻产生效果的义务。[53] 各国之后可基于该基础，更充分地实现权利并转到更高的服务水平。第二，各国和捐助者必须在其水和卫生设施方案和政策中积极宣传无歧视，以消除主要基于种族、肤色、民族、宗教、性别、经济状况或公民身份的获得机会的不平等。最后，不追溯原则表明资源应促进朝普遍实现的努力的长期可持续性。通常这意味着优化使用现有资源，并创造必要的有形基础设施和监管基础设施，以及必需的人力资源能力，以吸收未来额外的资源。",
"42. 近期对水和卫生设施部门可用资源的评估表明：这些资源的利用并不总是为了实现权利。从国际和国内层面来看，大部分资源的受益者为相对较为富裕的人，而不是缺少基本获得机会的低收入社区。[54] 次外，尽管各国和国际捐助者在扩大覆盖范围、运作和维护的相关投资、能力建设和提高认识方面取得了进展，但支持可持续性朝向权利实现发展的并不是优先事项。简而言之，钱花的地方不对。下面这一小节将强调本部门目前定位产生的一些关键人权问题，并就各国如何更有效地利用资源提出了建议。",
"B. 最弱势群体和边缘群体未享受到资源",
"43. 履行与水和卫生设施权利有关的即刻产生效果的义务意味着保证所有人的基本获得机会，同时将最弱势和边缘化的个人和群体列为优先目标。然而，根据目前的资源分配，这些群体通常不列为优先群体，并且一个国家收到的援助金额与充分获得水和卫生设施服务的人口比例之间并无联系。[55]",
"44. 出现这种情况有几个原因，包括因缺乏国际层面和国家层面的数据导致定位和监测不佳，且捐助者出于地理政治原因将几个受援国列为优先目标。从国际层面来看，大多数捐助者并不明确了解他们的资源到了哪些人手里，也不明确了解如何确定这些人。只有一半稍多的人表示会衡量其援助对最贫困人口的影响。[56] 许多人称其对水和卫生设施的援助承诺中有一大半是针对中等收入国家的。[57] 实际上，前10个水和卫生设施援助接受国中有7个报告改善的水和卫生设施的获得率超过90%。[58] 尽管对中等收入国家的援助很重要，但关键是要确认这些重要资源是否被分到最边缘和最弱势群体手中，以及资金是否被用于改善小康人士的获得机会。",
"45. 从国家层面看，鲜有国家报告它们已制定或坚持适用旨在确保部门间资源平等分配的标准，尤其是针对卫生设施的标准。[59] 例如，在印度，1995年至2008年间，1.66亿人获得改善的卫生设施，但是最贫穷的五分之一人口的获得几率仅提高了大约3%。[60]",
"46. 各国和国际捐助者必须在其水和卫生设施战略中将与权利有关的即刻产生效果的义务列为优先事项。捐助者应考虑将其关注点和资源转至基本获得机会仍然很低的国家，或者制定更强的指标确保其对中等收入国家的援助分配有效用于边缘和弱势群体。同时，各国应制定全国水和卫生设施战略，强调扩大基本获得范围，确保最边缘和弱势群体能够享受到。这也需要提高对国家和国际层面监督的资金支持，以便跟踪资金去向和具体受益人。与各社群之间进行协商也提供了关于哪些家庭最需要帮助的重要信息。",
"47. 目前的资助模式过度关注网络化的城区。城市地区的大型系统(例如污水处理设施和污水管道等)比农村地区和城市贫困区的基本服务设施(例如公共厕所、钻孔和手泵)接收的量更大。目前，所有部门援助中有62%流向发展中的大型系统，而只有16%用于基本系统。[61] 这表明自2003年起，基本服务设施的资助降低了约10%。",
"48. 在计划大规模系统时，重要的一点是研究哪些人受益：这些投资是否改善已享受设施的人所获得的服务，或其是否扩大至那些缺乏设施的人群？由于规模经济，管道供水系统一般以人均最低成本提供最佳质量的水。但是也需向城郊和非正式定居点的未获得服务或服务率不足的家庭提供这些系统。目前，大型系统的受益人主要为中高等收入家庭，这加深了歧视并加剧了贫富差距。[62]",
"C. 选择适当的技术",
"49. 水和卫生设施权利的逐步实现并不会自动推高成本。不同的区域和情况要求考虑使用不同的技术。存在低成本的替代技术，且需要进一步创新来为不同的情况设定最适宜的解决方案。在短期到中期内，向居住在偏远农村地区或非正式城市定居点的人有效提供服务的过程中，替代技术可能是有用的。某些替代技术为低成本技术，其他一些可能是高成本但更具持续性的技术，因此，随着时间的推移，是更好的投资。应仔细审查这些选择方案，确定在特定环境下哪项技术是最适宜的，以充分实现水和卫生设施权利。对更昂贵技术的投资并不一定会导致服务得到重大改善。[63] 同时，对低成本高效率技术的投资可大幅降低实现权利所需的资金额度。[64]",
"50. 特别报告员并未断然否定任何特定技术或表明扩大或改善水和卫生设施的使用范围应维持低成本。卫生设施的低成本方案通常只是临时方案，因为长期改善公共健康的可靠服务设施往往成本较高。各国应依据目标确定适用的技术。举例来说，如果目标是短期内稳定非正式定居点的用水情况，希望数年之后社区将得到更多永久设施，那么对有限时期来说，公共事业公司提供的水站等低成本方案可能是合适的。",
"D. 运作和维持",
"51. 将更多资源用于运作和维持对实现水和卫生设施权利工作的长期可持续性至关重要。为实现水和卫生设施千年发展目标所需的当前年度资源的75%被用于替换和维护现有资源。[65] 不幸的是，尽管在扩大水和卫生设施覆盖范围方面取得了进展，但有明显迹象表明存在下滑趋势，由于维护不佳，覆盖范围有所改善的社区的设施出现老化。[66] 例如在印度，所有水和卫生设施得到改善的社区中约有30%失去部分或所有设施覆盖。[67] 在整个非洲，据估计在任何特定时刻，约有30%-40%的手泵无法使用。[68] 用于承担这些开支的国际援助目前相当之少。[69]",
"52. 将改进水和卫生设施的使用寿命成本纳入考虑的投资，或特别针对新的和现有服务设施的维护和运作的投资对避免这种后退很有必要。至于效率，对运作和维护进行投资比失效后翻修一个项目要节省得多。[70]",
"E. 权力下放和能力建设",
"53. 水和卫生设施权利实现的长期成功还要求对政府和人才能力(尤其是地方政府和人才能力)进行投资。水和卫生设施管理责任的分权可能提高其效率，从而提高可持续性，同时也改善透明度、问责制和对当地需求的敏感度。[71] 然而，权力下放的这些性质并不是自动的，中央政府在人权方面发挥着重要的监督作用。具体而言，中央政府必须确保大部分边缘化和弱势群体被列为优先对象，并采纳必要措施(例如通过有约束的转交或专门转交给地方机构)，以避免资金被用于特权群体或其他部门或被其占用。",
"54. 地方政府极少有解决服务设施的使用、购买和质量所需的资金或技术能力。除非得到地方机构的支持，例如他们学习修订税费和/或补助金结构、规划新项目或调集其他资源，否则下放提供水和卫生设施的责任是无效的。但是据报告，有几项资源被用于支持能力改进。[72] 地方政府并未定期得到足以承担其所有责任的资源，并且几乎无能力自筹资金。近期的一项研究发现各国对水和卫生设施的支出中大约只有三分之一进入地方政府预算。[73]",
"55. 为了确保地方政府在可用资源的最大范围内，完全遵循其逐步实现水和卫生设施权利的责任，选择下放水和卫生设施控制权的国家必须通过对地方能力建设提供更多资源，以提高过程效率和效能。能力建设投资应主要关注两个方面。首先，各国和国际捐助者应提供更多资源，用于支持地方政府独立资助项目并扩大服务范围的能力，同时确保资源用于最有需求的人。向地方机构提供更多资金并非易事，这可能涉及改善当地政府的信誉及其吸引外资的能力。[74]",
"56. 第二，在改进当地行为体吸收额外资源并管理和提供水和卫生设施服务方面，应提供更多资金。这意味着需要更多关于如何进行和维持水和卫生设施改善的实际培训以及关于如何进行新项目规划和预算编制、筹集费用以及在某些情况下执行补助方案的行政培训。[75]",
"F. 监管",
"57. 与能力建设一样，水和卫生设施权利的实现进展只有在强大的监管框架中才可以持续。[76] 国家监管框架以几种方式对权利予以支持，例如设定明确的实施目标和基准；澄清并协调各行为体的责任；设定最低质量、可用性和负担能力标准；并通过设定合规鼓励措施来改进问责制。[77] 监管框架让政府能够将未获得服务或服务率不足的人口列为优先对象，并可形成补助方案和其他针对低收入家庭保障措施的基础。[78]",
"G. 提高认识和社区外展",
"58. 水和卫生设施服务的扩散和可持续不仅取决于资金和构建新设施。各国也有责任就水和卫生设施的卫生使用提供社区教育。[79] 就水和卫生设施的使用和益处进行社区教育的专用资源和与社区进行有关其特别需求的商讨有几点好处，主要包括：确保以支持其长期可持续性的方式正确使用服务设施；改善地方自主权、透明度和问责制；确保设施适用并反映社区的文化需求；并改善整体公共健康。但尽管有这些益处，大部分国家对该领域划拨更多资源的能力有限。[80] 国际支助也很低，2008年仅占该领域总援助的1%。[81]",
"59. 外展和提高认识也为将来更有效地扩展服务奠定基础。这些活动的专用资源常常可转化为更大需求，从而形成更大的政治意愿。创造需求的必要性尤其与环境卫生相关，这种情况下改善服务的益处并不非常明显且获得壁垒可能很高。[82] 而尽管得到水的好处很明显，但社区外展仍能通过宣传补助方案发挥重要作 用。[83] 幸运的是，各国开始认识到对社区外展和提高认识分配资源的重要性，举例来说，这反映在承诺扩大国家减贫战略中环境卫生和个人卫生范畴的2008年《特克维尼宣言》之中。[84]",
"四. 准确评估资源",
"60. 在准确评估可用资源之后，各国才能对在何处使用和如何使用资源进行实际评估。由于各种原因，包括制度分割、缺乏透明度和缺乏对个人缴费的监督机构，目前很难准确衡量或跟踪流入该部门或从该部门流出的资源量。本节简要讨论了这些障碍并提供一些初步的改善建议。",
"A. 分割问题",
"61. 分割(即资源和责任在大量机构和项目间分散，每一个机构和项目均有其自身的规则和目标)是准确衡量资源的核心挑战。[85]由于其分布于数个部门，从公共健康到住房，所以在这方面水和卫生设施尤其容易受到影响。[86]",
"62. 当部门援助由一系列政府部门管理时(例如一个监管机构可能负责管理税费，而另一个监督水质量)，分割通常横向出现在各机构当中。在这种情况下，分割并不总是毫无效果，它对资源跟踪也不会产生严重威胁。但是，当多个机构负责类似职责时，或当一个机构负责制定政策而另一个机构控制开支时，它就成了问题。[87] 横向分割也困扰着国际捐助者。[88] 例如，在协商援助项目时，个人捐助者常常想与政府达成个人化的预算外协议。这些协议可能会破坏一国在制定部门策略时计算所有可用资源的能力。[89] 特别报告员已在其哥斯达黎加和埃及特派团报告中表达其对横向分割所产生问题的关注(A/HRC/12/24/Add.1和Corr.1，第61段和A/HRC/15/31/Add.3和Corr.1，第13段)，但是与许多专家的讨论表明，在全世界水和卫生设施部门中这些是系统性问题。",
"63. 分割也可能是纵向的，不仅出现在部委之间，也出现在国家、国家以下各级和地方机构之中。在权力下放时往往会出现分割，同时没有一致性国家战略和强有力的监管框架。[90] 资金渠道常常错综复杂，导致代价不菲的重叠和重复，[91] 且整个国家可能使用不一致的标准。特别报告员对中央政府在服务供应设施分散安排的环境下确保水和卫生设施权的首要作用发表评论，特别在其斯洛文尼亚和美国特派团报告中提及。[92]",
"64. 关于衡量可用资源，分割在数个方面造成障碍。举例来说，许多国际或地方机构在水和卫生设施部门有一个进入点，作为其更广泛职责范畴的一部分。因为就预算编制而言，每个机构对部门的贡献可能包含在更大的职责范围中(例如公共卫生措施、住房措施、缓解措施等)，所以各国很难准确查明用于水和卫生设施的资源量。[93] 实际上，水和卫生设施责任的扩散是资金不足的主要原因。[94] 此外，由于资源位于几个不同的账户，所以很难监督其支付情况。例如，合并所有政府现金并提供资金如何使用和由谁使用[95]线索的财政部单一账户提供了处理这个问题的一种方法。",
"65. 同样，由于多个机构和利益攸关方关注同一个部门，所以极有可能存在服务重叠或无谓的重复。例如，马拉维取水点制图报告发现，由于缺少协调，在现有钻井旁钻出新的取水点，而服务率不足的地区还是继续被忽略。[96] 因此，即使有可能确定一国在任一既定时间的水和卫生设施开支，也可能仍然难以确定若消除这种浪费则可以使用的资源量。最后，不同的机构，包括国际捐助者，可能有不同的水和卫生设施监管机构，这些机构考虑的是不同的标准，使用的是自身特定的方法。这给希望实施全国性水和卫生设施战略的政府带来了问题，因为其将导致不同的需求和成本评估。[97]",
"66. 特别报告员已强调国家规划和明确分配责任，以有效实现水和卫生设施权的重要性(见A/HRC/18/33)。因此各国必须承担其义务，认真协调各层面行为体的工作，并采用针对水和卫生设施的综合部门政策。[98]",
"B. 透明度问题",
"67. 水和卫生设施部门内透明度有限是准确评估资源库存的另一个主要挑战。水和卫生设施预算编制的透明度对该部门改进的可持续性和长期成功至关重要，因为它支持各机构资源和设施协调的可预测性、规划和平等分配。透明的预算编制还可作为弱势群体或未获服务社区中的宣传和问责平台。[99]",
"68. 预算编制透明度低主要是因为缺乏预算编制细节。国家预算往往未能充分考虑如何分配水和卫生设施部门的开支，分配在何处、由谁来分配。这个问题与上文提到的横向分割有着密切关系，这种情况下水和卫生设施属于多个更广阔的范畴。即使预算足够详细，但预算资料的获得机会仍然有限。几项水和卫生设施措施，例如WASHCost(www.washcost.org)和联合国水机制全球环境卫生和饮用水年度评估报告，针对更好地监督部门资金并确保改进个人和机构的信息获取采取了重要措施。人权预算监督工作近年来大幅增加，为要求获得信息和跟踪预算分配的民间团体和其他利益攸关方提供重要工具，以便让政府对履行其人权义务负责。这个工作涉及到按照区域和群体分列预算，对了解资金是否根据人权义务而分配具有深远影响。公共开支跟踪对于评估资金是否准确依据预算所述目标而使用也很重要。",
"69. 即使是透明的预算编制，也很少能说明国际捐助者和非政府组织对水和卫生设施的额外预算外资源的去向，这些机构常常希望独立于政府对其项目的管理。花费在这些项目上的资源几乎从未记录在国家预算之中。如果国家依赖国际捐助来进行其大部分的水和卫生设施工作，那么这意味着政府和社区几乎不知道实际上能获得多少资金。就2006年马拉维的例子来说，据估计非政府组织的预算外开支是报告的水和卫生设施年度预算的三倍。[100]",
"70. 当国家与私营部门达成服务供应合同(特别是招标过程和合同不对外公开)时，缺乏透明度也可能影响资源的准确评估。[101] 特别报告员强调了私营部门参与时透明度的重要性，特别指出最终合同和职权范围必须接受公共监督和评论(A/HRC/15/31，第36段)。私营承包商有时也会估计出低价，为赢得合同而人为降低成本，之后在双边的合同重新谈判中获得更有利的条件，特别报告员指出这种做法与人权要求相违背。",
"71. 在所有筹资形式中，缺乏透明度可能刺激产生侵吞资源、贿赂或收受贿赂或其他不当行为的现象。这些行为会转化为很少见报告的附加成本，导致政府和个别机构无法清晰了解实际上有多少钱可用于水和卫生设施。[102] 举例而言，据透明国际估算，到2015年，腐败可能导致实现千年发展目标7.C的成本增加约500亿美元。[103]",
"C. 无法衡量个人缴费情况",
"72. 如上文所解释的，个人和家庭缴费在水和卫生设施获得机会的扩展和改进方面发挥着重要作用。《人类发展报告》以中国为例，指出农村地区卫生设施快速发展，70%的改进资金来自家庭。[104] 然而，这些缴费的价值很少被纳入国家成本评估。",
"73. 对这种缴费进行跟踪并将其纳入总体规划和预算极为困难。尽管水和卫生设施的收费相对来说容易监控，但家庭用于建造和维持其使用的开支金额(特别在非网络化服务中)是很难监控的。人权分析要求考虑这些成本，因为其影响了对水和卫生设施的承付能力。这一信息对了解哪些人需要哪种援助至关重要，这样才能确保其获得水和卫生设施。对于穷人而言，大量家庭缴费是获得或持续获得水和卫生设施的障碍。",
"五. 结论和建议",
"74. 本报告分析了在为获得水和卫生设施提供资金以实现这些人权方面的各种挑战。确保人人享有水和卫生设施需要获得相当多的资源，才能向仍然无法获得水和卫生设施的上亿人提供可持续的水和卫生设施。但是，除了需要额外资源外，现有资源也必须有更好的定位，将最受排斥和边缘化群体列为优先对象。更透明的预算和更好的协调也有助于更完整地了解可用于解决水和卫生设施危机的资源。",
"75. 基于本报告的调查结果，特别报告员建议各国：",
"(a) 在国家预算和官方发展援助中将水和卫生设施的资金列为优先事项，特别着重扩大至未获服务或服务率不足的地区。这应包括确定在享有水和卫生设施方面处于最边缘、最受排斥和弱势群体的措施，以及改善其状况的特别措施；",
"(b) 确保家庭缴费(不论是税费还是其他形式的缴费)能够负担得起，包括设立补充系统支持低收入家庭获得并持续享有水和卫生设施；",
"(c) 增加分配给水和卫生设施的国际援助份额并纳入人权方法；",
"(d) 确保所有行为者(包括捐助者、私营提供者和非政府组织)报告用于该部门的资金，以便完整地了解分配给部门的资源及其如何定位；",
"(e) 将最有可能延伸到最边缘化和弱势群体的系统的开支列为优先事项，包括确保非正式定居点也获得管道供水，并就可用于确保可持续使用的技术选择范围同社区进行磋商；",
"(f) 将运作和维护成本考虑因素纳入投资，以确保可持续性；",
"(g) 在权力下放的情况下，为地方当局的能力建设投入资源；",
"(h) 为在具有必备专业知识的情况下有效执行监管投入资源；",
"(i) 为提高对水、环境卫生和个人卫生的认识投入资源，作为增加对这些服务设施的需求的手段；",
"(j) 确保横向和纵向协调，以及其他利益攸关方(例如捐助者、私营服务提供者和非政府组织)之间的协调；",
"(k) 确保预算和其他部门资金的透明度，包括关于由谁获得何种水平的设施的分列资料。",
"76. 特别报告员鼓励捐助国、非政府组织和国际组织确保其政策、方案和项目支持旨在更协调和更透明地资助水和卫生设施部门的工作。",
"——————",
"[1] ^(*) A/66/150。",
"[2] Radhika Balakrishnan、Diane Elson 和 Raj Patel, Rethinking Macro Economic Strategies from a Human Rights Perspective(卡内基理事会，2009年2月)，第10页和第11页。见 http://www.cwgl.rutgers.edu/globalcenter/publications/whymes2.pdf(2011年8月9日查阅)。",
"[3] 同上。",
"[4] 见独立专家关于国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响的报告(A/65/260)。",
"[5] 与拉特格斯大学妇女全球领导地位中心联合举办的关于宏观经济政策及水和卫生设施权力的会议。",
"[6] 世界卫生组织(世卫组织)和联合国儿童基金会(儿童基金会)，供水和卫生联合监测方案，《卫生和饮用水方面的进展：2010年最新情况》，第6页和第7页。可查阅：www.wssinfo.org/documents-links/documents/(2011年8月9日查阅)。",
"[7] 同上，第8页。",
"[8] 同上，第9页。",
"[9] 世卫组织和联合国开发计划署(开发署)，“扩大低收入家庭饮用水供应和卫生干预措施覆盖范围的经济和健康影响”(WHO/SDE/WSH/07/05)，第21页和第22页。可查阅：www.who.int/water_sanitation_health/economic/mdg10_offtrack.pdf(2011年8月9日查阅)。",
"[10] 世界水事理事会、第三届世界水论坛和全球水事伙伴关系，《资助向所有人提供饮水：世界水基础设施筹资小组的报告》(2003年3月)，前言。可查阅：www.financingwaterforall.org/ index.php?id=1098(2011年8月9日查阅)。",
"[11] 《2010年联合国水机制全球卫生与饮水年度评估：向更好的成果划拨资源》(日内瓦，世界卫生组织，2010年3月)，第20页。可查阅：www.who.int/water_sanitation_health/glaas/en/(2011年8月9日查阅)。",
"[12] 开发计划署，《2006年人类发展报告：消除匮乏——电力、贫穷和全球用水危机》(纽约，2006年)，第9页。",
"[13] 《联合国水机制全球年度评估》，第14页。",
"[14] 同上，第15页。",
"[15] 经济、社会和文化权利委员会第3号一般性意见(1990年)，第10段(《经济及社会理事会正式记录》，1991年，补编第3号，(E/1991/23)，附件三)。",
"[16] 同上，第9段。",
"[17] 《经济、社会、文化权利国际公约》第2条(大会第2200 A (XXI)号决议，附件)。",
"[18] 经济、社会和文化权利委员会第3号一般性意见(1990年)，第10段。",
"[19] Balakrishnan, Elson and Patel, Rethinking Macro Economic Strategies, p. 8。",
"[20] 例如见E. Felner, “A new frontier in economic and social rights advocacy? Turning quantitative data into a tool for human rights accountability”, International Journal on Human Rights, No. 9 (December 2008); and S. Fukuda-Parr, T. Lawson-Remer and S. Randolph, “Measuring the progressive realization of human rights obligations: an index of economic and social rights fulfilment” Economic Rights Working Paper Series, No. 8 (Storrs, Connecticut, University of Connecticut Human Rights Institute, August 2008)。",
"[21] 《经济、社会、文化权利国际公约》第2条，第2款。",
"[22] 经济、社会、文化权利委员会第3号一般性意见(1990年)，第10段。",
"[23] 委员会第15号一般性意见(2002年)，第37段。",
"[24] 世界水事理事会，《增加地方政府获得经费的机会：为农业用水筹资》，资助向所有人提供饮水工作队，第1号报告(Marseilles，法国，2006年3月)，第6页。可查阅：www.pseau.org/outils/ouvrages/wwc_task_force_financing_water_for_all.pdf(2011年8月9日查阅)。",
"[25] 开发署，《2006年人类发展报告：消除匮乏——电力、贫穷和全球用水危机》(纽约，2006年)，第52页和第53页。",
"[26] 经济合作与发展组织(经合组织)，《对水资源及水和卫生服务进行定价》(巴黎，经合组织出版，2010年)，第70页。",
"[27] R.W.A. Franceys, “Charging to enter the water shop? The costs of urban water connections for the poor”, Water Science and Technology: Water Supply, vol. 5, No. 6 (伦敦，世界淡水协会出版，2005年)，第209-216、 213和215页。",
"[28] 同上，第216页。",
"[29] 经济、社会和文化权利委员会第15号一般性意见(2002年)。",
"[30] 经济合作与发展组织(经合组织)，《对水资源及水和卫生服务进行定价》，第77页。",
"[31] 经济合作与发展组织(经合组织)，《对水资源及水和卫生服务进行定价》，第72页。",
"[32] 世界水事理事会、第三届世界水论坛和全球水事伙伴关系，《资助向所有人提供饮水》。",
"[33] 在其即将提交人权理事会的关于良好做法的报告(将作为A/HRC/18/33/Add.1印发)中，特别报告员介绍了各国为支助对水和卫生设施服务的负担能力所使用的常见补贴类型。",
"[34] Thandika Mkandawire, “Targeting and universalism in poverty reduction“, Social Policy and Development Programme, paper No. 23(联合国社会发展研究所，2005年)。",
"[35] 人权与赤贫问题独立专家的报告(A/HRC/11/9)，第39段。",
"[36] 世界水事理事会、第三届世界水论坛和全球水事伙伴关系，《资助向所有人提供饮水》，第2页。",
"[37] 《经济、社会、文化权利国际公约》，第2条，第1款，以及经济、社会和文化权利委员会第3号一般性意见(1990年)，第13段。",
"[38] 《联合国宪章》，第五十五条和第五十六条；《经济、社会、文化权利国际公约》，第11条；经济、社会和文化权利委员会第3号一般性意见(1990年)，第13段和第14段。",
"[39] 《联合国水机制全球年度评估》，第46页。",
"[40] 同上，第15页。",
"[41] 同上，第38页。",
"[42] 同上，第22页。",
"[43] 关于从人权角度进行国家规划的更多信息，见特别报告员提交人权理事会第十八届会议的报告(A/HRC/18/33)。",
"[44] 《巴黎宣言》，第16段。",
"[45] 《阿克拉纲领》(A/63/539，附件)，第18段。",
"[46] 见国家的外债和其他有关国际金融义务的影响问题独立专家的报告(A/65/20)，B部分。",
"[47] 开发署，《2006年人类发展报告》，第28-31页。",
"[48] ⁴⁷ 同上，第六页。",
"[49] ⁴⁸ 同上，第25-29页。",
"[50] ⁴⁹ Annette Prüss-Üstün and others, Safer Water, Better Health: Costs, Benefits and Sustainability of Interventions to Protect and Promote Health(日内瓦，世界卫生组织，2008年)，第7页。",
"[51] ⁵⁰ R.W.A. Franceys, “Charging to enter the water shop?”, p. 210。",
"[52] ⁵¹ Hutton, Haller and Bartram, “Economic and health effects”, p. 30。",
"[53] ⁵² 有关实现安全饮水和环境卫生权利的指南草案(见E/CN.4/Sub.2/2005/25)，第2.3(a)段。",
"[54] ⁵³ 《联合国水机制全球年度评估》，第26页。",
"[55] ⁵⁴ 同上，第33页。",
"[56] ⁵⁵ 同上，第35页。",
"[57] ⁵⁶ 同上，第26页。",
"[58] ⁵⁷ 同上，第24页。",
"[59] ⁵⁸ 同上，第34页。",
"[60] ⁵⁹ 联合国儿童基金会，“平等情况报道：千年发展目标7”。见www.chindinfo.org/files/MDG7.pdf (2011年8月10日查阅)。",
"[61] ⁶⁰《联合国水机制全球年度评估》，第30页。",
"[62] Sophie Tremolet、Pete Kolsky 和 Eddy Perez，Financing Onsite Sanitation for the Poor: A Six Country Comparative Review and Analysis (哥伦比亚特区华盛顿，世界银行水和环境卫生方案，2010年1月)。",
"[63] ⁶² Catarina Fonseca等人，“维持水和卫生设施的使用寿命成本方法”(WASHCost，2011年4月)，查阅来源www.washcost.info/page/121(要求登录)。",
"[64] ⁶³ “实现千年发展目标的供水和卫生设施目标(目标10)的区域和全球成本”，文件WHO/HSE/AMR/08/01(日内瓦，世界卫生组织，2008年)，查阅来源http://www.who.int/water_ sanitation_health/economic/mdg_global_costing.pdf(2011年8月10日查阅)。",
"[65] 《联合国水机制全球年度评估》，第21页。",
"[66] ⁶⁵ Fonseca等人，“维持水和卫生设施的使用寿命成本方法”。",
"[67] ⁶⁶ Ton Schouten等人，“采用服务交付方法监测低收入区的供水和联合监测方案的影响”(WASHCost，国际供水和卫生中心，2011年)，第1.1节。查阅来源www.washcost.info/ redir/.../Monitoring_sustainability_JMP_Berlin.pdf(要求登入)。",
"[68] ⁶⁷ 同上。",
"[69] ⁶⁸ 《联合国水机制全球年度评估》，第32页，在27位国际捐助者中，有8位能够根据新服务设施、新增的服务或处理水平来分列支出情况，并维护或替换现有服务设施，现有服务设施仅得到13%的援助。",
"[70] ⁶⁹ Fonseca等人，“维持水和卫生设施的使用寿命成本方法”。",
"[71] ⁷⁰ Meera Mehta 和Dinesh Mehta，《资助地方的水和卫生设施》(伦敦，WaterAid，2008年1月)，第45页。查阅来源www.wateraid.org/documents/plugin_documents/financing_water_and_ sanitation_at_local_levels.pdf(2011年8月10日查阅)。",
"[72] ⁷¹ 《联合国水机制全球年度评估》，第46页。",
"[73] ⁷² Mehta和 Mehta，《资助地方的水和卫生设施》，第46页。",
"[74] ⁷³ 世界水理事会，《强化地方政府的资金获得：农业用水资金》，第5页。参见世界水理事会、第三次世界水论坛和全球水事伙伴关系，《全民用水投资》，第15页。",
"[75] ⁷⁴ 同上。",
"[76] ⁷⁵ 经济、社会和文化权利委员会第15号一般性意见(2002年)，第16、47和48段。",
"[77] ⁷⁶ 世界水理事会、第三届世界水论坛和全球水事伙伴关系，全民用水投资，第9页。另见维护住房权利反对驱逐房客中心、美国科学促进协会、瑞士发展和合作署和联合国人类住区规划署，水和卫生设施权利手册，(2008年)，第37页；查阅来源www.cohre.org/sites/default/ files/manual_on_the_right_to_water_and_sanitation_2008.pdf(2011年8月10日查阅)。",
"[78] ⁷⁷ 德国技术合作署、撒哈拉以南非洲监管和私营部门参与工作组，“供水部门监管经验共享”，(2004年4月)。查阅来源www.gtz.de/de/dokumente/en-regulation-water-sector-africa.pdf(2011年8月10日查阅)。",
"[79] ⁷⁸ 经济、社会和文化权利委员会第15号一般性意见(2002年)，第25段；和维护住房权利反对驱逐房客中心、美国科学促进协会、瑞士发展和合作署和联合国人类住区规划署，《水和卫生设施权利手册》，第106页。",
"[80] ⁷⁹ 斯德哥尔摩国际水研究所和世界卫生组织，《获取卫生设施：解决危机的引人注目的案例》(斯德哥尔摩，2005年)，第25页。查阅来源www.who.int/water_sanitation_health/ hygiene/ securingsanitation.pdf(2011年8月10日查阅)。",
"[81] ⁸⁰ 《联合国水机制全球年度评估》，第30页。",
"[82] ⁸¹ 斯德哥尔摩国际水研究所和世界卫生组织，《获取卫生设施》，第24页和25页。",
"[83] ⁸² Sophie Trémolet，“世界水日：全球资金泛滥也不够”，《卫报》，2011年3月22日。查阅来源www.guardian.co.uk/global-development/poverty-matters/2011/mar/22/world-water-day-sanita tion-hygiene(2011年8月10日查阅)。",
"[84] ⁸³ 《特克维尼宣言》第4号评论，由2008年2月18-21日在南非德班举行的第二届非洲环境卫生和个人卫生大会通过。《宣言》文本查阅来源www.africasan3.com/Images/eThekwini AfricaSan.pdf(2011年8月10日查阅)。",
"[85] ⁸⁴ Mehta和Mehta，《资助地方的水和卫生设施》，第59页。",
"[86] ⁸⁵ 开发署，《2006年人类发展报告》，第12和第61页。",
"[87] ⁸⁶ 同上。",
"[88] ⁸⁷ 同上，第79页和第71页。",
"[89] ⁸⁸ Tom Slaymaker和Peter Newborne，“根据PRSP实施供水和卫生设施方案：撒哈拉以南非洲研究结果合集”(伦敦，海外发展研究所，2004年8月)。查阅来源www.odi.org.uk/resources/ details.asp?id=1663&title=water-supply-sanitation-prsps-synthesis-research-sub-saharan-africa(2011年8月10日查阅)。",
"[90] ⁸⁹ Mehta和 Mehta，《资助地方的水和卫生设施》，第59页。",
"[91] ⁹⁰ 同上，第28页。",
"[92] ⁹¹ A/HRC/18/33/Add.2，第48段，呼吁斯洛文尼亚政府干预各市未能满足与罗马人口有关的人权义务事宜和A/HRC/33/Add.4(即将发布)，呼吁对美国承付能力实施一项强制联邦标准。",
"[93] ⁹² 开发署，《2006年人类发展报告》，第62页。",
"[94] ⁹³ 同上，第61页。",
"[95] ⁹⁴ Ehtisham Ahmad，“处理边缘化的宏观、财务和权力下放意见：延伸到极端贫困人口”，为于2011年6月20-22日在德国波恩大学发展研究中心举行的“关于边缘化和极端贫困：为赤贫者并与赤贫者一起朝向包容性发展努力国际圆桌会议”准备的论文。",
"[96] ⁹⁵ Katharina Welle，“宣传和良好做法学习：WaterAid取水点制图：基于对马拉维和坦桑尼亚的国际访问的结果报告”，WaterAid报告(伦敦，海外发展研究所，2005年12月)。查阅来源www.odi.org.uk/resources/download/2952.pdf(2011年8月10日查阅)。",
"[97] ⁹⁶ 世界卫生组织和联合国儿童基金会，供水和卫生设施的联合监测方案(www.wssinfo.org/ country-collaborations/data-reconciliation)。",
"[98] ⁹⁷ 经济、社会和文化权利委员会第15号一般性意见(2002年)，第51段。",
"[99] ⁹⁸ 开发署，《2006年人类发展报告》，第63页。",
"[100] ⁹⁹ 非洲部长级水理事会，《让非洲步入实现关于水和卫生设施的千年发展目标的轨道；非洲十六国状况审查》(2006年12月)，第47页。",
"[101] ¹⁰⁰ Nila Ardhianie，“印度尼西亚的供水私营化”，见B. Balanyá等人(编辑)，《收回公共用水：全球成果、斗争和设想》(阿姆斯特丹，跨国学会和企业欧洲观察，2005年)，第227页；和Violeta Petrova，“淘水热前沿：水私有化和人类用水权”，《布鲁克林国际法期刊》，第31卷，第2号(2006年)，第577–614页。",
"[102] ¹⁰¹世界水理事会、第三届世界水论坛和全球水事伙伴关系，《全民用水投资》，第10页。",
"[103] ¹⁰² 《2008年全球腐败报告：水部门中的腐败》(纽约，剑桥大学出版社，2008年)，第10页。查阅来源www.transparency.org/publications/gcr/gcr_2008(2011年8月10日查阅)。",
"[104] ¹⁰³ 开发署，《2006年人类发展报告》，第128页。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Items 13 and 69 (b) of the provisional agenda*",
"Integrated and coordinated implementation of and follow-up to the outcomes of the major United Nations conferences and summits in the economic, social and related fields",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Report of the Special Rapporteur on the human right to safe drinking water and sanitation",
"Report of the Secretary-General",
"Summary",
"The present report is submitted to the General Assembly by. Catarina de Albuquerque, Special Rapporteur on the human right to safe drinking water and sanitation, pursuant to General Assembly resolution 64/292, and in accordance with Human Rights Council resolutions 15/9 and 16/2. It reviews the major issues surrounding the resources available for the realization of the rights to water and sanitation. Section II of the report offers a brief review of the status of resources for the sectors. It then considers several principal sources of financing within the sectors and offers suggestions on how these can be augmented and improved through alignment with human rights principles, and recaps the tremendous benefits of investing in the rights to water and sanitation. Section III considers the related challenge of targeting resources effectively. It offers concrete examples of how stakeholders can better utilize limited resources by keeping human rights principles in mind. Finally, section IV addresses additional challenges to adequate financing, such as institutional fragmentation and lack of transparency.",
"Contents",
"Page\nI.Introduction 3II. Inadequate 4 funding for water and \nsanitation A. Incorporating 6 human rights into traditional financing \nmechanisms B.Sources 7 of \nfinancing C.Benefits 13 of investing in water and \nsanitation III. Targeting 14 resources \neffectively A. Human 14 rights and \ntargeting B. Resources 15 are not reaching the most vulnerable and \nmarginalized C.Choosing 16 appropriate \ntechnologies D. Operation 17 and \nmaintenance E.Decentralization 18 and \ncapacity-building \nF.Regulation 19G. Awareness-raising 19 and community \noutreach IV. Taking 20 accurate stock of \nresources A.Problems 20 of \nfragmentation B.Problems 22 of \ntransparency C.No 24 measurement of individual \ncontributions V.Conclusions 24 and \nrecommendations",
"I. Introduction",
"1. The present report is submitted to the General Assembly by the Special Rapporteur on the human right to safe drinking water and sanitation, Catarina de Albuquerque, in accordance with Human Rights Council resolution 15/9, by which the Council requested the Special Rapporteur (then an independent expert) to report annually to the General Assembly, and in pursuance of General Assembly resolution 64/292, in which the Assembly requested the Special Rapporteur, in her report to the Assembly at its sixty-sixth session, to address the principal challenges related to the realization of the human right to safe and clean drinking water and sanitation and their impact on the achievement of the Millennium Development Goals. Pursuant to her mandate, as renewed by the Human Rights Council in resolution 16/2, the Special Rapporteur, is also working on identifying challenges and obstacles to the full realization of the human right to safe drinking water and sanitation.",
"2. The Special Rapporteur has addressed specific challenges to the realization of the human right to safe drinking water and sanitation in other reports, such as lack of political will and the need for national plans of action (e.g. A/HRC/18/33). Lack of resources is, however, consistently invoked by different stakeholders and is deserving of special attention. Thus, she has chosen to focus on this topic for in the present report.",
"3. The report tackles the issue of resources for the realization of the human right to safe drinking water and sanitation, querying whether the resources available are enough to realize that right and whether they are being spent appropriately. Overall, the conclusion is that, while additional resources could and should be devoted to the sectors, much more can be done with existing funds through better targeted interventions aligned with human rights obligations. Greater transparency and improved coordination will contribute to better overall knowledge of the resources that are being directed to the sectors and how they are being utilized, thus supporting improved policy design and implementation.",
"4. The Special Rapporteur underlines the inescapable truth that the realization of human rights, including civil and political rights, costs money. A functioning judicial system, a police force which respects human rights, social policies which protect the most disadvantaged populations and construction of infrastructure are necessary to support a society built on respect for human rights, and have monetary costs. These costs are generally shared by a combination of State support and the payments of individuals. For instance, education and legal aid is often supported by taxes and health care through insurance programmes and taxes.",
"5. Investments in water and sanitation do not occur in a vacuum. Macroeconomic policies greatly influence State decision-making when it comes to determining how and where resources are spent. Policies that prioritize economic growth in its own right without addressing the economic and social needs of the population can threaten the enjoyment of human rights.[1] For instance, certain economic theories disregard the relevance of income distribution and advocate minimizing public spending based on the assumption that resources can be more efficiently spent by the private sector.[2] However, a narrow focus on economic growth, without simultaneous attention on whether outcomes are equitable and on building a strong regulatory framework, raises important human rights concerns. Economic growth can play a central role in poverty reduction, the achievement of the Millennium Development Goals and, ultimately, the realization of human rights, but only if the most vulnerable sectors of society are able to participate.",
"6. The availability of resources for water and sanitation is also closely related to how money is lent and borrowed globally. States required to devote large portions of gross domestic product to service external debt may be restricted in their ability to determine their national budget and resource allocation for essential public services, including water and sanitation. Furthermore, the continued use of conditionalities in these financing arrangements can also distort State priorities and have a deleterious effect on human rights, as further discussed below.[3]",
"7. Economic policy must be guided by human rights and serve as a tool for their realization. States and international policymakers have a responsibility to consider their macroeconomic policy choices in the light of their human rights obligations. Economic policy should be scrutinized for compliance with human rights standards and such principles as progressive realization, non-retrogression, non‑discrimination, transparency, participation and accountability. It is not within the scope of the present report to comment in detail on economic policy, but it is crucial to understand from the outset that financing access to safe drinking water and sanitation for all takes place within, and is impacted by, this larger context.",
"8. Bearing the larger context in mind, the present report demonstrates how a deeper commitment on the part of States and international donors to incorporate human rights principles into sector financing can aid States in mobilizing, spending and tracking resources. To prepare the report, the Special Rapporteur met with experts in human rights law, water, sanitation, macroeconomics and development in Lisbon in May 2011,[4] and continued to consult bilaterally with a number of experts. The perspectives and expertise they offered have been extremely helpful and the Special Rapporteur is thankful to all those who shared their views.",
"II. Inadequate funding for water and sanitation",
"9. The most recent estimates reveal that nearly one billion people lack access to an improved source of drinking water, and 2.6 billion still do not have access to improved sanitation.[5] The Millennium Development Goal target on sanitation is woefully off track and the number of people with no access is on the rise.[6] Even if the 2015 target were met, over 1.7 billion people would still lack access to improved sanitation.⁶ The target for water is on track, but progress remains shaky. If achieved, at least 672 million people throughout the world will continue to lack access to improved water sources[7] and the number of people without access to safe water would undoubtedly be much higher since current data do not include measurements of water quality or affordability. Invariably, it is the most marginalized and excluded populations which will continue to be without access; sadly, the progress made towards achieving the Millennium Development Goals has not resulted in significant changes for people living in poverty.",
"10. In her report to the General Assembly at its sixty-fifth session (A/65/254), the Special Rapporteur explained how the normative content of the rights to water and sanitation can support the achievement of target 7.C of the Millennium Development Goals in a more comprehensive, accountable, participatory, non‑discriminatory and sustainable manner. She now stresses that, while the Goals provide concrete development benchmarks, a human rights perspective highlights legally binding obligations and envisions universal, equitable and affordable access.",
"11. Irrespective of whether the focus is on development goals or human rights, the reality is that, at current funding levels and with current spending patterns, there are not enough resources available to attain either. One study estimates that achieving universal access to water and sanitation by 2015 implies an annual cost of US$ 16.58 billion but notes that this figure is probably an underestimate.[8] Concerning the Millennium Development Goal targets, funding for the water and sanitation sector must increase significantly, perhaps even double, if target 7.C is to be met by 2015.[9] By various estimates, the global cost of meeting the 2015 targets ranges between US$ 6.7 billion to US$ 75 billion annually, depending on factors such as baseline years, population growth and distribution, costs of technology, and whether cost estimates include the costs of new infrastructure, operation and maintenance and/or of building institutional capacity to sustain access.[10] At the national level, it has been estimated that, at a minimum, States should aim to spend 1 per cent of gross domestic product on water and sanitation.[11]",
"12. Contrasting with these substantial costs, the reality is that neither governments nor donors are committing sufficient resources to water and sanitation services. In 2008, the total international aid commitment to water and sanitation was just US$ 7.4 billion, or 5 per cent of all reported international aid.[12] Compared to spending on health and education, the proportion of international aid devoted to water and sanitation has dwindled over the past decade,[13] even though investments in water and sanitation have a crucial impact in achieving other Millennium Development Goals, such as reduction of maternal mortality, achievement of universal primary education, empowerment of women and reduction of child mortality. Water and sanitation must figure more prominently in the priorities of Governments, both domestically and internationally, if all of the Goals are to be achieved and the rights to water and sanitation fully realized.",
"A. Incorporating human rights into traditional financing mechanisms",
"13. Although human rights law recognizes that States often have limited means, they are nonetheless required to work progressively to fully realize the rights to water and sanitation. The principle of progressive realization acknowledges that fully implementing economic, social and cultural rights is a long-term process, but affirms that States must progress over time, taking deliberate, concrete and targeted steps towards meeting the obligations recognized in the International Covenant on Economic, Social and Cultural Rights,[14] in order to move as expeditiously and effectively as possible towards fulfilment of those rights.[15] Running corollary to this principle is the prohibition of deliberately retrogressive measures.¹⁵ States which renege on their basic obligations and reduce protection for a particular right bear the burden of proof to show that such measures are justified by reference to the totality of the rights provided for in the Covenant and in the context of full use of the maximum available resources.¹⁵",
"14. With a view to achieving progressively full realization of the rights to water and sanitation, each State is obliged to take steps to the maximum of its available resources[16] and cannot justify neglect of its human rights obligations based on assertions that it lacks the necessary funds or human resources.[17] Rather, there is a positive obligation for States to mobilize resources from those living within their borders and, where necessary, the international community.[18] Regardless of the funding sources that a State chooses, it must always ensure that there are corresponding mechanisms in place to support transparency, public participation and accountability.",
"15. It is not enough, however, for States to mobilize a large amount of resources for the water and sanitation sector without also ensuring that they are spent in ways that have the greatest possible impact on achieving universal realization. States should look to maximize results by, inter alia, developing sector-wide strategies and strong regulatory frameworks; working to increase awareness and demand for water and sanitation services; and investing in low-cost, high-efficiency technologies, where appropriate. Emerging strategies in the area of quantitative assessment make it possible to monitor whether the maximum of available resources are directed towards the realization of economic, social and cultural rights, including the rights to water and sanitation.[19] Human rights law also requires States to actively promote non-discrimination.[20] States must prioritize their spending to target groups and communities with the greatest need.",
"16. While some aspects of the rights to water and sanitation are subject to progressive realization, human rights law also contemplates obligations of immediate effect that should dictate State priorities and decision-making in the short term.[21] In the context of the rights to water and sanitation, this involves, inter alia, prioritizing access to minimum essential levels of water and sanitation on a non‑discriminatory basis; adopting and implementing a national water and sanitation strategy; and beginning to monitor the extent of the realization of the rights to water and sanitation.[22]",
"B. Sources of financing",
"17. Beyond investing in efficient technology and prioritizing basic needs, States should also look to diversify and optimize sources of funding for the water and sanitation sectors, including tariffs and user contributions, national and local tax revenue, and international assistance, whether in the form of grants or loans. Many projects to extend access will involve a combination of different sources of financing.",
"18. Incorporating human rights principles, such as accountability, participation and non-discrimination, into financing mechanisms will enhance their impact by ensuring that resources are distributed so as to focus on improving access to water and sanitation services for those who currently have no or inadequate access.",
"1. Household and user contributions",
"19. The Special Rapporteur stresses that a human rights framework does not require that water and sanitation services be provided free of charge. Obtaining water at no cost may actually harm low-income households by depriving service providers of the revenue needed to expand and maintain the service, and risks being unsustainable.[23] Further, resistance to payment does not always rest with the most disadvantaged and low-income communities which are not connected to the formal network and thus pay considerably more per litre for water from informal vendors. For the people in those communities, paying for formal service provision is often a welcome opportunity to have a more regular service and better quality water and sanitation.[24]",
"20. There are several means by which households may contribute to improving access to water and sanitation. In cases of networked supply, discussions concerning tariffs are particularly important, as most water (and sewerage) utilities cover at least part of their costs through tariffs (i.e. direct payments by households for access to water and sanitation services).[25] Increasingly, utilities are ring-fenced, so that the funds raised from tariffs can only be used on the operation, maintenance and improvement or extension of access to water and sanitation services and cannot be utilized for other government purposes. Some governments also demand that the cost recovery principle be followed, at a minimum insofar as operation and maintenance costs, meaning that all costs related to operating and maintaining water (and in some cases, sanitation) services are paid for through tariffs. User fees however normally do not generate the level of revenue needed to invest in new projects or expand existing infrastructure.²⁵ Where there is a cost recovery principle in place, it is crucial that the tariffs be structured such that those who cannot afford to pay cost price for the delivery of water (and sanitation) services are assisted through supplementary systems that ensure affordability. Therefore there is an inconsistency in that utilities are expected to deliver services on a commercial basis but at the same time provide an affordable public good.",
"21. Another form of household contribution in accessing formal water and sewerage services is the connection charges. These costs consist of payments to the utility for the cost of connection to the network (e.g. the physical costs of bringing the pipes to the household) and the cost of improvements within the household to enable such a connection (e.g. in-house pipes, water storage tanks etc.). These costs are often a significant barrier for those living in extreme poverty, with recent research suggesting that in Africa the average connection cost paid to utilities was US$ 185.50, and in Asia, US$ 168.90. Putting these numbers in context, connecting to the water system in, for example, Ghana requires about one year’s income.[26] Some countries have decided to reduce the barriers to accessing water and sanitation services by removing this charge for all or some households, or by incorporating some or all of the cost of extending the service into standard service charges. Arguably, expanding the customer base of the water utility has the potential to bring in more revenue than insisting on high connection charges.[27]",
"22. Household contributions for water and sanitation services in rural areas and in informal settlements can differ quite substantially from household contributions for standard piped water and sewerage provision. In these cases, user costs can range from the construction of communal or individual household provision (a well, communal or household toilet), through the storage of water (buckets, jerry cans, tanks), treatment of water (boiling, chlorine, filters etc.), cleaning, maintenance, emptying of latrines or septic tanks, to the disposal of excreta.",
"23. In any event, the human rights framework obliges States to ensure, first, that the cost of accessing water and sanitation remains affordable and appropriately reflects the needs of marginalized and vulnerable groups and, second, that there is a safety net in place for those who cannot afford to pay or who can only afford to pay a minimal fee. In this context, affordable means that the costs should not significantly detract from a household’s ability to pay other essential costs, such as food, housing or health care.[28]",
"24. As discussed below, various forms of government support, for instance, direct or cross subsidization, can have a positive impact on affordability.[29] Sound, transparent indicators for measuring and monitoring affordability help to further promote accountability in the sector.",
"While consideration is given throughout the present report tofinancing for both water and sanitation, it is worth assessing thereasons why financing for sanitation differs from that for water. Although the benefits from investing in sanitation are considerablymore pronounced than investing only in water, requirements for thewater sector are easier to finance than requirements for thesanitation sector, with 37 per cent of aid funding^(a) and anaverage of a mere 20 per cent of government spending on the sectorsgoing to sanitation.^(b) \nAccess to water is a need felt by every woman, child and man,regardless of economic status, and there is no substitute, sopeople will pay high prices even for poor quality water if there isno alternative. For these reasons, water is generally higher onboth the political agenda of governments and list of budgetpriorities of households, schools, workplaces and clinics than issanitation, where the economic and health benefits of owning andusing a latrine are not fully understood.\nFurther, sanitation can be a taboo subject, with many culturesfinding it difficult to discuss individual needs, particularlythose of women. This means that there is not enough information onwho does not have adequate access to sanitation and why, makingplanning and budgeting difficult, if not impossible.\nA male head of household, who may be the decision maker in budgetprioritization, has often a wider range of options for accessingsafe sanitation, whether at the workplace or through cultural normswhich make it more acceptable for men to urinate, if not defecate,in the open. This may mean that women’s needs are not representedin household budgetary decisions, and their need for convenient andsafe sanitation, not only for personal use but also to assist incare of children, the sick and the elderly, is not met.\nFinancing for sanitation is required for all aspects of adequatesanitation, including the purchase or construction of a latrine ortoilet, and removal or transport of waste matter (i.e. sewerage ora pit/septic tank emptying system) and its treatment, disposaland/or reuse. While many households may plan effectively for theconstruction of a toilet or latrine, planning and budgeting forappropriate transport, treatment, disposal and reuse is morecomplex and requires, particularly in urban areas, a more holisticapproach. Wastewater treatment efforts by governments and donorshave focused on networked sewerage systems which are often notavailable to the poorest households, leaving treatment of faecalsludge from latrines and septic tanks unaddressed. More must bedone to find appropriate systems of excreta disposal in dense urbanenvironments and rural areas not connected to the sewer system.^(c)\nFor access to sanitation to be sustainable, investments in areassuch as awareness-raising are usually necessary to stimulatedemand. Providing sanitation infrastructure and fittings wheredemand is low risks non-use of the facility.^(d)^(a) UN-Water Global Annual Assessment of Sanitation andDrinking-water 2010: Targeting Resources for Better Results(Geneva, World Health Organization, March 2010), p. 28. ^(b) Ibid., p. 29. ^(c) Maggie Black and Ben Fawcett, The Last Taboo: Opening the Dooron the Global Sanitation Crisis (London and Stirling, Virginia,Earthscan Publications Ltd., 2008), pp. 212-216. \n^(d) See Carolien van der Voorden and Andy Peal, Public Funding forSanitation: The Many Faces of Sanitation Subsidies (Geneva, WaterSupply and Sanitation Collaborative Council, 2009); and SophieTrémolet, Pete Kolsky and Eddy Perez, Financing On-site Sanitationfor the Poor: A Six Country Comparative Review and Analysis(Washington, D.C., World Bank Water and Sanitation Programme,January 2010).",
"2. Taxes and government funding",
"25. While tariffs and user fees can support the provision of water and sanitation services, they rarely cover all associated costs, in particular expansion into new or under-served areas. This holds true for both developed and developing countries. For instance, in Japan, government subsidies account for 7 per cent of investment in these sectors, while in Portugal, 31 per cent of financing for the water and sanitation sectors is provided through financing from the national and municipal budgets, rather than from tariffs (http://insaar.inag.pt/index.php?id=31).[30]",
"26. Government support is for several reasons therefore necessary to ensure financing. First, it is often the primary source of funding for capital-intensive infrastructure projects, such as building wastewater treatment facilities.[31] Indeed, in cases in which expanding access involves working in unserved and impoverished areas, such as slums or other informal settlements, where initial costs are high and short-term returns on investment are low, States may be the only actors willing and able to deliver on a major scale.",
"27. Second, government funding in the form of subsidies may be necessary to improve the affordability of services in low-income households. One issue with major human rights implications is whether government subsidy programmes should be universal or targeted in nature.[32] Targeted subsidies aimed at reaching only those in need reflect the reality that budgetary limitations restrict the resources that States can devote to any given sector.[33] Those who are able to contribute on their own, meanwhile, should be expected to do so. Accordingly, States may undertake measures such as means testing to identify those eligible for support.",
"28. Ensuring that targeted subsidies reach the intended beneficiaries can, however, be complicated and expensive. It is especially important to ensure that targeted subsidies are not a mask for favouritism of certain groups based on political connections, or subject to capture by the elite, as this could reinforce disparities among groups or regions. In this regard, it is especially important that the targeting process and eligibility criteria be fair, reasonable, objective and transparent.[34] Where identifying the persons in need is difficult, a universal system of subsidies may be appropriate in order to guarantee that those most in need of assistance actually benefit. With no system of means testing, universal systems can also be cheaper to administer. Essentially, States must have a system in place to ensure that households requiring assistance in accessing water and sanitation obtain such assistance, taking into account the needs of present and future generations as well as the efficient use of resources.",
"29. Where individuals or households manage their own localized services, it may be necessary to provide grants or subsidies to ensure sustained access to water and sanitation. In some cases, subsidies are available for the construction of water points or latrines, but seldom for their operation and maintenance. Very little support is provided by Governments to assist households in managing the safe disposal of excreta. Lack of attention to sustainability runs the risk of retrogression and, potentially, violations of human rights law. Approaches such as community-led total sanitation have provided valuable lessons, especially in terms of allocating funding towards capacity-building for the community rather than direct subsidies for latrine construction to ensure that latrines will be both maintained and used effectively.",
"3. International aid",
"30. Where household contributions and government spending are insufficient to realize the rights to water and sanitation, international aid frequently contributes to financing.[35] In order to employ the maximum available resources in compliance with the principle of progressive realization, countries have an obligation to turn to international support when necessary.[36] In turn, countries in a position to assist have an obligation to provide support in a manner consistent with human rights principles.[37] This obligation of international cooperation applies to States parties to relevant human rights treaties in general and does not pertain to any particular State (E/CN.4/2006/WG.23/2, para. 50).",
"31. While there has been a trend towards greater domestic financing over the past decade, international aid remains the primary source of funding for the water and sanitation sector in many developing countries and for some countries in transition.[38] Meanwhile, the share of international aid going to water and sanitation has decreased over the past decade[39] and deserves higher priority in funding given the significant benefits brought by enhanced access (see below).",
"32. In the current economic climate, States relying heavily on international aid to support the realization of the rights to water and sanitation should push for the prioritization of funding for water and sanitation within existing aid allocations, while also adopting measures to sustain progress towards realization of those rights even without significant increases in funding.",
"33. This process begins with strong sectoral planning, including the articulation of both a uniform, sector-wide policy and specific targets. Evidence shows that without a clear national policy framework, effective and efficient service delivery is particularly difficult to achieve.[40] Moreover, when international donors consider which sectors to prioritize they regularly cite the existence of strong sectoral plans as a crucial factor influencing their decision-making.[41] Sectoral planning, meanwhile, should begin with a comprehensive assessment of available resources and the current status of the realization of the rights to water and sanitation, both in terms of overall access as well as affordability, acceptability and quality.[42]",
"34. If developing countries are obliged to take steps to ensure that international aid allocations for the water and sanitation sectors are sustainable and support progressive realization, international donors have a corresponding obligation to facilitate this process. International aid should adhere to the principles articulated in the Paris Declaration on Aid Effectiveness and the Accra Agenda for Action, ensuring that aid agreements are consistent with international human rights law and aligning aid priorities with the national policy frameworks of their development partners.[43]",
"35. In addition, money for water and sanitation is mobilized through loans and grants from international financial institutions and donors. These actors must work to eliminate inappropriate conditionalities attached to these financing agreements.[44] When money for development hinges on the enactment of particular macroeconomic policies, it can lead to cuts in public expenditures that could otherwise support the realization of the rights to water and sanitation.[45] Privatization of government assets, including providers of water and sanitation services, may also feature in conditionalities. While private sector participation is not prohibited under human rights law, without the simultaneous implementation of specific measures to regulate service provision and to maintain affordable access for all, there is significant risk that such participation could reduce incentives to expand and improve access in under-served areas while contributing to lower accountability and higher household costs.",
"4. Private sector and non-governmental support",
"36. Private sector financing mainly comes into play to cover gaps in service resulting from a lack of government support. Water vendors, for instance, play a significant, albeit frequently informal, role in unserved communities. In the case of sanitation, private actors are involved in the construction, management or maintenance of individual or public latrines as well as in selling soap and other cleaning products. More generally, the private sector may be involved in bridging financing gaps, offsetting some of the costs associated with the provision of water and sanitation services. Financing by the formal private sector, however, is generally provided on the understanding that such funds will be recouped, which can be a disincentive to delivering services to low-income settlements. Similarly, non‑governmental organizations can play an important role, but their contribution in terms of overall financing remains minimal. The Special Rapporteur has addressed in detail the role of the private sector in supporting the realization of the rights to water and sanitation (see A/HRC/15/31), reiterating that human rights law is neutral with respect to economic models and that States are the primary duty bearers and, as such, are responsible for the effective contracting and regulation of private actors.",
"C. Benefits of investing in water and sanitation",
"37. In discussing the costs of investing in water and sanitation it is easy to lose sight of the benefits. Indeed, the economic costs of not spending more on water and sanitation are potentially much higher. In developed nations, advances in life expectancy and child mortality accompanied economic growth only after governments began making substantial investments in water supply and, more importantly, in sanitation.[46]",
"38. The economic benefits of such improvements are staggering. By some estimates, the combined cost-benefit ratio for meeting both the water and sanitation Millennium Development Goal targets is 8 to 1.[47]",
"39. Universal access to water and sanitation combined could produce benefits of US$ 170 billion in countries non-members of the Organization for Economic Cooperation and Development.⁴⁷ These benefits are particularly felt in improved health: for instance, through averted cases of diarrhoea and savings in the treatment of illnesses caused by lack of access to water and sanitation.[48] Indeed, the total global disease burden in terms of disability-adjusted life years could be reduced by at least 10 per cent through investment in improvements to water and sanitation services.[49] The benefits of a household connection also have considerable positive impacts on reducing child mortality; one study carried out in Argentina found that increased household connections reduced child mortality in the poorest municipalities by 24 per cent.[50] The economic benefits of improved access to water and sanitation include increased productivity of adults and school attendance of children, both of which may be affected by chronic illness that stems from poor hygiene.[51]",
"40. Not all benefits can be monetized. Intangible benefits, such as time saved and dignity gained, warrant careful consideration for their impact on human well-being. The particularly positive impact for women and girls of investing in water and sanitation is crucial for realizing human rights obligations related to gender equality. Environmental benefits are also difficult to put a figure on, but may be enormous, given that improving water and sanitation services helps combat environmental degradation.",
"III. Targeting resources effectively",
"A. Human rights and targeting",
"41. Successfully mobilizing the resources needed to ensure universal access does not by itself guarantee success in fully realizing the rights to water and sanitation. Human rights principles offer three basic considerations which should guide States and international donors when determining how to allocate resources for water and sanitation. First, resources should initially be directed towards meeting obligations of immediate effect.[52] States can then build on that foundation to more fully realize the rights and move to higher levels of service. Second, States and donors must vigorously promote non-discrimination in their water and sanitation programmes and policies, looking to eliminate disparities in access based on, inter alia, race, colour, ethnic origin, religion, gender, economic status or citizenship. Finally, the principle of non-retrogression suggests that resources should contribute to the long-term sustainability of efforts towards universal realization. Quite often this means optimizing the use of existing resources and creating the necessary physical and regulatory infrastructure, as well as the human capacity needed to absorb additional resources in the future.",
"42. Recent assessments of resources available to the water and sanitation sectors show that they are not always being used to make gains towards realization of the rights. At both the international and national level, the majority of resources are benefiting the relatively well off rather than low-income communities which lack even basic access.[53] Moreover, while States and international donors have made headway in terms of expanding coverage, corresponding investments in operation and maintenance, capacity-building and awareness-raising, all of which support the sustainability of progress towards realizing the rights, are not a priority. In short, money is being spent in the wrong places. The subsections below highlight some of the key human rights arising out of current targeting within the sector and offer suggestions on how States can utilize resources more effectively.",
"B. Resources are not reaching the most vulnerable and marginalized",
"43. Meeting the obligations of immediate effect related to the rights to water and sanitation means guaranteeing basic access to all people while prioritizing the most vulnerable and marginalized individuals and communities. Under the current allocation of resources, priority is, however, generally not assigned to these groups, and there is no correlation between the amount of aid a particular country receives and the percentage of the population with adequate access to water and sanitation services.[54]",
"44. There are several reasons for this, including poor targeting and monitoring as a result of a lack of data at both the international and national level and because donors prioritize certain recipient countries for geopolitical reasons. At the international level, most donors do not know specifically whom their resources are reaching or how they are being targeted. Only slightly more than one half of them indicate that they measure the impact of their aid on the poorest sectors of the population,[55] many reporting that more than one half of their aid commitments to water and sanitation were to middle-income countries.[56] Indeed, 7 of the top 10 recipient countries of aid for water and sanitation report levels of access to improved water and sanitation of more than 90 per cent.[57] While aid to middle-income countries is important, it is crucial to ask whether these significant resources are reaching those who are most marginalized and disadvantaged or whether the funds go towards improving access for the relatively well off.",
"45. At the national level, few States report that they have developed or consistently apply criteria designed to ensure that sectoral resources are distributed equitably, particularly with respect to sanitation.[58] In India, for example, 166 million people gained access to improved sanitation between 1995 and 2008, yet access among the poorest quintile of the population improved by only around 3 per cent.[59]",
"46. States and international donors must prioritize in their water and sanitation strategies the obligations of immediate effect related to the rights. Donors should consider shifting their focus and resources to low-income countries in which levels of basic access remain low or, alternatively, developing stronger indicators to ensure that aid allocations to middle-income countries effectively target marginalized and disadvantaged communities. States, meanwhile, should develop national strategies for water and sanitation that emphasize the expansion of basic access, ensuring that the most marginalized and excluded are reached. This will also necessitate heightened financial support for monitoring at both the national and international level in order to track where their funds are going, as well as who benefits. Consultation with communities will also provide important information on which households are the most in need.",
"47. Current funding patterns disproportionately target networked urban areas. Large systems in urban areas (e.g. wastewater treatment facilities and sewerage pipelines etc.) receive vastly larger sums than basic services in rural areas and deprived urban areas (e.g. latrines, boreholes and hand pumps). Currently, 62 per cent of all of the sectoral aid goes to developing large systems, while only 16 per cent goes to basic systems.[60] This marks a near 10 per cent decline in funding basic services since 2003.",
"48. Where large-scale systems are planned, it is important to investigate who benefits: do these investments improve services for those who already enjoy access, or do they expand coverage to those who lack it? Piped water systems generally offer the best quality water at the lowest cost per capita owing to economies of scale. These systems must, however, also be made available to those households which are unserved or under-served in peri-urban and informal settlements. At present, the benefits from large-scale systems largely go to middle and upper-income households, reinforcing discrimination and exacerbating disparities between rich and poor.[61]",
"C. Choosing appropriate technologies",
"49. Progressive realization of the rights to water and sanitation does not automatically translate into higher costs. Different regions and contexts will require consideration of different technologies. Low-cost alternative technologies exist and further innovation is necessary to devise the most appropriate solutions for different contexts. Alternative technologies may be useful in providing access in an efficient manner, in the short to medium term, to those parts of the population living in remote rural areas or informal urban settlements. Some of these alternative technologies will be low cost, others might be higher cost but more sustainable and thus a better investment over time. These options should be carefully examined to determine which technology is most appropriate in a given context to fully realize the rights to water and sanitation. Investing in more expensive technologies does not necessarily lead to significant improvements in service.[62] Investing in low-cost, high-efficiency technologies, meanwhile, can dramatically reduce the amount of funding required to achieve the rights.[63]",
"50. The Special Rapporteur does not categorically reject any particular technology or suggest that expanding or improving access to water and sanitation should be done cheaply. Low-cost solutions for sanitation are often only temporary solutions, as reliable services that yield the long-term public health improvements normally come at a higher cost. States should determine which technology is appropriate based on the objective. If the goal is, for instance, to stabilize access to water in an informal settlement in the short term with the expectation that the community will be reached by more permanent services after a few years, low-cost options such as water kiosks served by utilities might be acceptable for a limited period.",
"D. Operation and maintenance",
"51. Directing more resources towards operation and maintenance is essential for the long-term sustainability of efforts to realize the rights to water and sanitation. Seventy-five per cent of the current annual resource needs to achieve the Millennium Development Goal targets for water and sanitation are for replacing and maintaining existing resources.[64] Unfortunately, despite progress in expanding coverage of water and sanitation services, there are clear signs of slippage, whereby communities that had received improved coverage fell into old patterns owing to poor maintenance.[65] In India, for instance, roughly 30 per cent of all communities that had gained improved access to water and sanitation have since lost some or all of that coverage.[66] Throughout Africa, it is estimated that, at any given moment, between 30 and 40 per cent of hand pumps are not functional.[67] Comparatively little international aid currently goes to covering such expenses.[68]",
"52. Investments that take the life-cycle cost of a water or sanitation improvement into account, or that are specifically directed towards the maintenance and operation of new and existing services, are essential to avoid this sort of retrogression. In terms of efficiency, it is also vastly more cost effective to invest in operation and maintenance than to rehabilitate a project after it has failed.[69]",
"E. Decentralization and capacity-building",
"53. The long-term success of the realization of the rights to water and sanitation also requires investment in governmental and human capacity, particularly at the local level. Decentralizing responsibility for managing water and sanitation services may boost their efficiency, and thus their sustainability, while also enhancing transparency, accountability and sensitivity to local needs.[70] These attributes of decentralization, however, are not automatic and the central Government maintains an important monitoring role in respect of human rights. In particular, the central Government must ensure that the most marginalized and disadvantaged groups are prioritized, and adopt the necessary measures (e.g. through tied or earmarked transfers to local authorities), so as to avoid funding being diverted to, or captured by, privileged segments of the population or other sectors.",
"54. Local governments rarely have the financial or technical capacity needed to address the accessibility, affordability and quality of services. Decentralized responsibility for providing water and sanitation services is not effective unless accompanied by support to local authorities as they learn to modify tariff and/or subsidy structures, plan new projects or mobilize additional resources. There are, however, reportedly few resources available to support capacity improvement.[71] Local governments are not routinely assigned resources sufficient to pay for all of their obligations and few are in a position to raise the money themselves. One recent study revealed that only around one third of State expenditure on water and sanitation goes to local government budgets.[72]",
"55. In order to ensure that they are fully complying with their obligation to progressively realize the rights to water and sanitation to the maximum of available resources, States choosing to decentralize control over water and sanitation must improve the efficiency and the efficacy of the process by devoting more resources to building capacity at the local level. Investments in capacity-building should focus primarily on two areas. First, States and international donors should devote more resources to supporting the ability of local governments to finance projects and expand services independently, while ensuring that resources are spent on those in greatest need. Not simply a question of giving local authorities more money, this may involve improving a local government’s creditworthiness and its ability to attract its own external funding.[73]",
"56. Second, more funding must go towards improving the ability of local actors to absorb additional resources and to manage and deliver water and sanitation services. This means more practical training in how to operate and maintain water and sanitation improvements as well as administrative training in how to plan and budget new projects, collect fees and, in some cases, implement a subsidy programme.[74]",
"F. Regulation",
"57. As with capacity-building, progress towards realization of the rights to water and sanitation cannot be sustainable unless it occurs within the context of a strong regulatory framework.[75] National regulatory frameworks bolster the rights in a number of ways, such as setting clear targets and benchmarks for implementation; clarifying and harmonizing the responsibilities of various actors; setting minimum standards for quality, accessibility and affordability; and improving accountability by creating incentives for compliance.[76] Regulatory frameworks allow governments to prioritize unserved or under-served populations and can form the foundation of subsidy programmes and other safeguards for low-income households[77].",
"G. Awareness-raising and community outreach",
"58. The proliferation and sustainability of water and sanitation services depends not only on financing and constructing new facilities. States also have an obligation to educate communities about the hygienic use of water and sanitation services.[78] Devoting resources towards educating communities about the use and benefits of water and sanitation and consulting with them about their specific needs have a number of benefits, including, inter alia, ensuring that the services are used correctly and in a manner that supports their long-term sustainability; improving local ownership, transparency and accountability; ensuring that facilities are acceptable and reflect the cultural needs of the community; and improving overall public health. Despite these benefits, most countries still have limited capacity to devote further resources to this area.[79] International support also remains low, representing just 1 per cent of total aid to the sector in 2008.[80]",
"59. Outreach and awareness-raising also lay the groundwork for more effective expansion of services in the future. Devoting resources to these activities can often translate into greater demand and consequently result in greater political will. The need to create demand is especially relevant with respect to sanitation, where the benefits of improved services are not immediately obvious and the barriers to access can be high.[81] While the benefits of having access to water are more obvious, community outreach can still play an important role by spreading the word about subsidy programmes.[82] Fortunately, States are beginning to recognize the importance of allocating resources to community outreach and awareness-raising, as reflected, for instance, in the 2008 eThekwini Declaration commitment to increase the profile of sanitation and hygiene in national poverty reduction strategies.[83]",
"IV. Taking accurate stock of resources",
"60. It is not possible for States to make realistic assessments of where and how resources should be spent until they can accurately take stock of available resources. For a variety of reasons, including institutional fragmentation, a lack of transparency and the absence of mechanisms for monitoring individual contributions, it is currently difficult to accurately measure or track the amount of resources flowing into, or leaking out of, the sector. The present section briefly addresses these obstacles and offers some preliminary recommendations for improvement.",
"A. Problems of fragmentation",
"61. Fragmentation, that is, when resources and responsibilities are dispersed across a wide array of institutions and projects, each with their own rules and objectives, presents a central challenge to accurately measuring resources.[84] Because they span a number of sectors, ranging from public health to housing, water and sanitation are especially susceptible in this regard.[85]",
"62. Fragmentation often occurs horizontally between institutions when sectoral aid is managed by a variety of government ministries; for instance, one regulatory agency may be in charge of managing tariffs, while another monitors water quality. In such cases, fragmentation is not always particularly inefficient, nor does it pose a serious threat to resource tracking. It becomes a problem, however, when multiple institutions are charged with similar responsibilities, or when one institution is responsible for articulating policy while another controls the purse strings.[86] Horizontal fragmentation also plagues donors at the international level.[87] When negotiating aid packages, for instance, individual donors often seek out personalized, extrabudgetary arrangements with Governments. These agreements may undermine a State’s ability to account for all available resources when developing strategies for the sector.[88] The Special Rapporteur has expressed concern about the problems caused by horizontal fragmentation in the reports on her missions to Costa Rica and Egypt (A/HRC/12/24/Add.1 and Corr.1, para. 61, and A/HRC/15/31/Add.3 and Corr.1, para. 13) but discussions with many experts indicate that they are systemic in the water and sanitation sectors around the world.",
"63. Fragmentation can also be vertical, occurring not just between ministries, but also between national, subnational and local institutions. It often occurs in the context of decentralization when it is not coupled with a coherent national strategy or strong regulatory framework.[89] Financing channels can often become convoluted, leading to costly overlap and duplication,[90] and inconsistent standards across a country may be applied. The Special Rapporteur has commented on the overarching role of the central Government in ensuring the rights to water and sanitation in the context of decentralized arrangements for delivering these services, especially in her reports on her missions to Slovenia and the United States of America.[91]",
"64. In terms of measuring available resources, fragmentation presents an obstacle in several ways. For one, it is fairly common that a variety of institutions at the national or local level will have an entry point into the water and sanitation sector as part of their broader portfolio of responsibilities. Because in regard to budgeting each agency’s contribution to the sector may be couched in terms of these larger responsibilities (e.g. public health initiatives, housing initiatives, environmental initiatives etc.), it is difficult for States to ascertain with precision the amount of resources they devote to water and sanitation.[92] Indeed, this diffusion of responsibility for water and sanitation is a major contributor to under-resourcing.[93] Furthermore, with resources located in several different accounts, it is difficult to monitor disbursements. For example, a Treasury single account, which consolidates all of the Government’s cash and provides a trail of how the funds are spent and to whom,[94] offers one way of addressing this challenge.",
"65. Similarly, with multiple agencies and stakeholders focusing on the same sector, there is a high potential for overlap or wasteful duplication of services. For instance, a report on water point mapping in Malawi found that, as a result of lack of coordination, new water points were drilled next to existing boreholes while under-served areas continued to be neglected.[95] Accordingly, even if it were possible to determine how much a State is spending on water and sanitation at any given moment, it still might be difficult to determine the amount of resources that could be available if this waste were eliminated. Finally, different institutions, including international donors, may have different monitoring mechanisms for water and sanitation that consider various criteria and employ unique methodologies. This poses a serious problem for Governments hoping to implement a national water and sanitation strategy, as it leads to varying assessments of need and cost.[96]",
"66. The Special Rapporteur has emphasized the importance of national planning and a clear allocation of responsibilities to effectively realize the rights to water and sanitation (see A/HRC/18/33). States must therefore take their obligation to coordinate the work of actors at all levels seriously, and adopt comprehensive sector-wide policies for water and sanitation.[97]",
"B. Problems of transparency",
"67. Limited transparency within the water and sanitation sectors represents another key challenge to accurately taking stock of resources. Transparent budgeting for water and sanitation is essential to the sustainability and long-term success of improvements in the sector as it supports predictability, planning and the equitable distribution of resources and facilitates coordination among various agencies. Transparent budgeting can also serve as a platform for advocacy and accountability within vulnerable or unserved communities.[98]",
"68. A low level of transparency in budgeting is primarily the product of a lack of detail in budgeting. All too often, national budgets do not adequately account for how, where and by whom expenditures in the water and sanitation sector will be allocated. This problem is closely related to horizontal fragmentation, mentioned above, whereby water and sanitation are enveloped within multiple broader portfolios. Even where budgets are sufficiently detailed, access to information about the budget may still be limited. Specific water and sanitation initiatives, such as WASHCost (www.washcost.org) and the UN-Water Global Annual Assessment of Sanitation and Drinking Water, are taking important steps towards better monitoring of financing for the sectors and ensuring improved access to information for individuals and institutions. Human rights budget monitoring work has increased substantially in recent years, offering important tools to civil society and other stakeholders to demand access to information and track budget allocations with a view to holding Governments accountable for meeting their human rights obligations. This work involves disaggregating budgets by region and group and can have a profound impact on understanding whether funds are being allocated in line with human rights obligations. Public expenditure tracking is also important for assessing whether funds have actually been spent in line with the stated intention in the budget.",
"69. Even transparent budgeting can seldom account for the additional off-budget resources spent on water and sanitation by international donors and non‑governmental organizations, which often wish to manage their projects independent of Governments. The resources expended on these projects are then almost never recorded in national budgets. In cases in which States rely on international contributions for the majority of their work in the water and sanitation sector, this means that Governments and communities have little knowledge of how much funding is actually available. In Malawi in 2006, for example, it is estimated that off-budget spending by non-governmental organizations was as much as three times the reported annual budget for water and sanitation.[99]",
"70. A lack of transparency may also impede accurate measurement of resources when States enter into contracts for service delivery with the private sector, particularly as bidding processes and contracts tend not to be made public.[100] The Special Rapporteur has emphasized the importance of transparency in private sector participation, particularly noting that the final contract and terms of reference must be available for public scrutiny and comment (A/HRC/15/31, para. 36). Private contractors have also sometimes intentionally underbid, artificially lowering costs in order to win contracts and then securing more favourable terms in bilateral renegotiations of contracts, a practice which the Special Rapporteur has highlighted as contrary to human rights requirements.",
"71. In all forms of financing, a lack of transparency can create incentives to siphon off resources, to make or accept bribes, or to engage in other unsavoury behaviour. These activities translate into added costs that are rarely reported, leaving Governments and individual agencies without a clear notion of how much money is actually available for water and sanitation.[101] For instance, Transparency International has estimated that corruption could increase the cost of meeting Millennium Development Goal target 7.C by 2015 by nearly US$ 50 billion.[102]",
"C. No measurement of individual contributions",
"72. As explained above, individual and household contributions play a significant role in the expansion and improvement of access to water and sanitation. The Human Development Report cited the case of China which has seen rapid progress in access to sanitation in rural areas, with 70 per cent of financing for these improvements coming from households.[103] The value of these contributions is, however, rarely factored into State assessments of costs.",
"73. It is exceedingly difficult to track these contributions and factor them into overall planning and budgeting. While tariffs for water and sanitation services will be relatively easy to monitor, the amount that households spend to build and maintain their access is more difficult, especially in cases of non-networked services. A human rights analysis requires consideration of these costs as they impact the affordability of water and sanitation. This information is essential for understanding which segments of the population require which kind of assistance in order to ensure their access to water and sanitation. The significant level of household contributions often required for gaining or maintaining access to water and sanitation can function as a barrier for people living in poverty.",
"V. Conclusions and recommendations",
"74. The present report has reviewed various challenges in financing access to water and sanitation for the realization of these human rights. Ensuring water and sanitation for all will require considerably more resources to extend sustainable access to the billions of people who still lack access. Beyond the need for additional resources, however, existing resources must also be better targeted to prioritize the most excluded and marginalized. More transparent budgets and better coordination will also assist in acquiring a more complete understanding of the resources available to tackle the water and sanitation crisis.",
"75. Based on the findings of the present report, the Special Rapporteur recommends that States:",
"(a) Prioritize funding, both in the national budget and for official development assistance, for water and sanitation with a particular focus on extending access to the unserved or under-served. This should include measures to identify the most marginalized, excluded and disadvantaged populations in terms of access to water and sanitation and specific initiatives to improve their situation;",
"(b) Ensure that household contributions, whether tariffs or other forms of contributions, remain affordable, including by establishing supplementary systems to support low-income households to gain and maintain access to water and sanitation;",
"(c) Increase the percentage of international aid allocated to water and sanitation and incorporate a human rights approach;",
"(d) Ensure that funding to the sectors is reported by all actors, including donors, private providers and non-governmental organizations, in order to obtain a complete picture of the resources allocated to the sectors and how it is being targeted;",
"(e) Prioritize spending on systems which are more likely to reach the most marginalized and disadvantaged, including ensuring that a piped water supply is also available to informal settlements, and consult with communities on the range of technologies available to ensure sustainable access;",
"(f) Integrate cost considerations of operation and maintenance into investments with a view to ensuring sustainability;",
"(g) Invest resources in building the capacity of local authorities in cases of decentralization;",
"(h) Invest resources in ensuring that regulation can be carried out effectively and with the necessary expertise;",
"(i) Invest resources in awareness-raising about the importance of water, sanitation and hygiene as a means of creating greater demand for these services;",
"(j) Ensure coordination, both horizontally and vertically, as well with other stakeholders such as donors, private service providers and non‑governmental organizations;",
"(k) Ensure transparency of budgets and other funding for the sectors, including disaggregated information on which segments of the population have which level of access.",
"76. The Special Rapporteur encourages donor States, non-governmental organizations and international organizations to ensure that their policies, programmes and projects support efforts towards more coordinated and transparent funding of the water and sanitation sectors.",
"[1] Radhika Balakrishnan, Diane Elson and Raj Patel, Rethinking Macro Economic Strategies from a Human Rights Perspective (Carnegie Council, February 2009), pp. 10 and 11. Available from http://www.cwgl.rutgers.edu/globalcenter/publications/whymes2.pdf.",
"[2] Ibid.",
"[3] See also the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights (A/65/260).",
"[4] The meeting, on macroeconomic policy and the rights to water and sanitation, was organized in conjunction with the Center for Women’s Global Leadership, Rutgers University.",
"[5] World Health Organization (WHO) and United Nations Children’s Fund (UNICEF), Joint Monitoring Programme for Water Supply and Sanitation, Progress on Sanitation and Drinking-Water: 2010 Update, pp. 6 and 7. Available from www.wssinfo.org/documents-links/documents/.",
"[6] Ibid., p. 8.",
"[7] Ibid., p. 9.",
"[8] WHO and United Nations Development Programme (UNDP), “Economic and health effects of increasing the coverage of low-cost household drinking water supply and sanitation interventions” (WHO/SDE/WSH/07/05), pp. 21 and 22. Available from www.who.int/water_sanitation_health/economic/mdg10_offtrack.pdf.",
"[9] World Water Council, Third World Water Forum and Global Water Partnership, Financing Water for All: Report of the World Panel on Financing Water Infrastructure (March 2003), foreword. Available from www.financingwaterforall.org/index.php?id=1098.",
"[10] UN-Water Global Annual Assessment of Sanitation and Drinking-water 2010: Targeting Resources for Better Results (Geneva, World Health Organization, March 2010), p. 20. Available from www.who.int/water_sanitation_health/glaas/en/.",
"[11] UNDP, Human Development Report 2006: Beyond Scarcity — Power, Poverty and the Global Water Crisis (New York, 2006), p. 9.",
"[12] UN-Water Global Annual Assessment, p. 14.",
"[13] Ibid., p. 15.",
"[14] General Comment No. 3 (1990) of the Committee on Economic, Social and Cultural Rights, para. 2. Official Records of the Economic and Social Council, 1991, Supplement No. 3 (E/1991/23), annex III.",
"[15] Ibid., para. 9",
"[16] Article 2 of the International Covenant on Economic, Social and Cultural Rights (General Assembly resolution 2200 A (XXI), annex).",
"[17] General Comment No. 3 (1990) of the Committee on Economic, Social and Cultural Rights, para. 10.",
"[18] Balakrishnan, Elson and Patel, Rethinking Macro Economic Strategies, p. 8.",
"[19] See, for example, E. Felner, “A new frontier in economic and social rights advocacy? Turning quantitative data into a tool for human rights accountability”, International Journal on Human Rights, No. 9 (December 2008); and S. Fukuda-Parr, T. Lawson-Remer and S. Randolph, “Measuring the progressive realization of human rights obligations: an index of economic and social rights fulfilment” Economic Rights Working Paper Series, No. 8 (Storrs, Connecticut, University of Connecticut Human Rights Institute, August 2008).",
"[20] International Covenant on Economic, Social and Cultural Rights, art. 2, para. 2.",
"[21] General Comment No. 3 (1990) of the Committee on Economic, Social and Cultural Rights, para. 10.",
"[22] General Comment No. 15 (2002) of the Committee, para. 37.",
"[23] World Water Council, Enhancing Access to Finance for Local Governments: Financing Water for Agriculture, Task Force on Financing Water for All, Report No. 1 (Marseilles, France, March 2006), p. 6. Available from www.pseau.org/outils/ouvrages/wwc_task_force_financing_water_for_all.pdf (accessed 9 August 2011).",
"[24] UNDP, Human Development Report 2006: Beyond Scarcity — Power, Poverty and the Global Water Crisis (New York, 2006), pp. 52 and 53.",
"[25] Organization for Economic Cooperation and Development, Pricing Water Resources and Water and Sanitation Services (Paris, OECD Publishing, 2010), p. 70.",
"[26] R. W. A. Franceys, “Charging to enter the water shop? The costs of urban water connections for the poor”, Water Science and Technology: Water Supply, vol. 5, No. 6 (London, International Water Association (IWA) Publishing, 2005), pp. 209-216, 213 and 215.",
"[27] Ibid., p. 216.",
"[28] General Comment No. 15 (2002) of the Committee on Economic, Social and Cultural Rights.",
"[29] Organization for Economic Cooperation and Development, Pricing Water Resources and Water and Sanitation Services, p. 77.",
"[30] Organization for Economic Cooperation and Development, Pricing Water Resources and Water and Sanitation Services, p. 72.",
"[31] World Water Council, Third World Water Forum and Global Water Partnership, Financing Water for All.",
"[32] In her forthcoming report to the Human Rights Council on good practices (to be issued as A/HRC/18/33/Add.1), the Special Rapporteur describes common types of subsidies used by States to support the affordability of water and sanitation services.",
"[33] Thandika Mkandawire, “Targeting and universalism in poverty reduction”, Social Policy and Development Programme, paper No. 23 (United Nations Research Institute for Social Development, December 2005).",
"[34] Report of the independent expert on the question of human rights and extreme poverty (A/HRC/11/9), para. 39.",
"[35] World Water Council, Third World Water Forum and Global Water Partnership, Financing Water for All, p. 2.",
"[36] International Covenant on Economic, Social and Cultural Rights, art. 2, para. 1, and General Comment No. 3 (1990) of the Committee on Economic, Social and Cultural Rights, para. 13.",
"[37] Charter of the United Nations, Arts. 55 and 56; International Covenant on Economic, Social and Cultural Rights, art. 11; General Comment No. 3 (1990) of the Committee on Economic, Social and Cultural Rights, paras. 13 and 14.",
"[38] UN-Water Global Annual Assessment, p. 46.",
"[39] Ibid., p. 15.",
"[40] Ibid., p. 38.",
"[41] Ibid., p. 22.",
"[42] For more information on national planning from a human rights perspective, see the report submitted by the Special Rapporteur to the Human Rights Council at its eighteenth session (A/HRC/18/33).",
"[43] Paris Declaration, para. 16.",
"[44] Accra Agenda (A/63/539, annex), para. 18.",
"[45] See report of the independent expert on the effects of foreign debt and other related international financial obligations of States (A/65/260), sect. B.",
"[46] UNDP, Human Development Report 2006, pp. 28-31.",
"[47] Ibid., p. vi.",
"[48] Ibid., pp. 25-29.",
"[49] Annette Prüss-Üstün and others, Safer Water, Better Health: Costs, Benefits and Sustainability of Interventions to Protect and Promote Health (Geneva, World Health Organization, 2008), p. 7.",
"[50] R. W. A. Franceys, “Charging to enter the water shop?”, p. 210.",
"[51] Hutton, Haller and Bartram, “Economic and health effects”, p. 30.",
"[52] Draft guidelines for the realization of the right to safe drinking water and sanitation (see E/CN.4/Sub.2/2005/25), para. 2.3 (a).",
"[53] UN-Water Global Annual Assessment, p. 26.",
"[54] Ibid., p. 33.",
"[55] Ibid., p. 35.",
"[56] Ibid., p. 26.",
"[57] Ibid. p. 24.",
"[58] Ibid., p. 34.",
"[59] UNICEF, “Equity fact sheet: MDG 7”. Available from www.childinfo.org/files/MDG7.pdf.",
"[60] UN-Water Global Annual Assessment, p. 30.",
"[61] Sophie Trémolet, Pete Kolsky and Eddy Perez, Financing On-site Sanitation for the Poor: A Six Country Comparative Review and Analysis (Washington, D.C., World Bank Water and Sanitation Programme, January 2010).",
"[62] Catarina Fonseca and others, “Life-cycle costs approach for water and sanitation services that last” (WASHCost, April 2011). Available from www.washcost.info/page/121 (log-in required).",
"[63] Guy Hutton and Jamie Bartram, “Regional and global costs of attaining the water supply and sanitation target (target 10) of the Millennium Development Goals, document WHO/HSE/AMR/08/01 (Geneva, World Health Organization, 2008). Available from http://www.who.int/water_sanitation_health/economic/mdg_global_costing.pdf.",
"[64] UN-Water Global Annual Assessment, p. 21.",
"[65] Fonseca and others, “Life cycle costs approach for water and sanitation services that last”.",
"[66] Ton Schouten and others, “Taking a service delivery approach to monitoring water supply in low-income areas and implications for the Joint Monitoring Programme” (WASHCost, International Water and Sanitation Centre, 2011), sect. 1.1. Available from www.washcost.info/redir/.../Monitoring_sustainability_JMP_Berlin.pdf (log-in required).",
"[67] Ibid.",
"[68] UN-Water Global Annual Assessment, p. 32. Of 27 international donors, 8 were able to break down disbursements according to new services, increased service or treatment levels, and maintain or replace existing services, with the latter receiving only 13 per cent of aid.",
"[69] Fonseca and others, “Life cycle costs approach for water and sanitation services that last”.",
"[70] Meera Mehta and Dinesh Mehta, Financing Water and Sanitation at Local Levels (London, WaterAid, January 2008), p. 45. Available from www.wateraid.org/documents/ plugin_documents/financing_water_and_sanitation_at_local_levels.pdf.",
"[71] UN-Water Global Annual Assessment, p. 46.",
"[72] Mehta and Mehta, Financing Water and Sanitation at Local Levels, p. 46.",
"[73] World Water Council, Enhancing Access to Finance for Local Governments: Financing Water for Agriculture, p. 5. See also World Water Council, Third World Water Forum and Global Water Partnership, Financing Water for All, p. 15.",
"[74] Ibid.",
"[75] General Comment No. 15 (2002) of the Committee on Economic, Social and Cultural Rights, paras. 16, 47 and 48.",
"[76] World Water Council, Third World Water Forum and Global Water Partnership, Financing Water for All, p. 9. See also Centre on Housing Rights and Evictions (COHRE), American Association for the Advancement of Science (AAS), Swiss Agency for Development and Cooperation (SDC) and United Nations Human Settlements Programme (UN-Habitat), Manual on the Right to Water and Sanitation (2008), p. 37; available from www.cohre.org/sites/default/files/ manual_on_the_right_to_water_and_sanitation_2008.pdf.",
"[77] Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ), Working Group on Regulation and Private Sector Participation in Sub-Saharan Africa, “Sharing the Experience on Regulation in the Water Sector” (April 2004). Available from www.gtz.de/de/dokumente/en-regulation-water-sector-africa.pdf (accessed 10 August 2011).",
"[78] General Comment No. 15 (2002) of the Committee on Economic, Social and Cultural Rights, para. 25; and COHRE, AAS, SDC and UN-Habitat, Manual on the Right to Water and Sanitation, p. 106.",
"[79] Stockholm International Water Institute (SIWI) and WHO, Securing Sanitation: The Compelling Case to Address the Crisis (Stockholm, 2005), p. 25. Available from www.who.int/ water_sanitation_health/hygiene/securingsanitation.pdf.",
"[80] UN-Water Global Annual Assessment, p. 30.",
"[81] SIWI and WHO, Securing Sanitation, pp. 24 and 25.",
"[82] Sophie Trémolet, “World Water Day: a global inundation of funds is not enough”, The Guardian, 22 March 2011. Available from www.guardian.co.uk/global-development/poverty-matters/2011/ mar/22/world-water-day-sanitation-hygiene.",
"[83] Commitment No. 4 of the eThekwini Declaration, adopted by the Second African Conference on Sanitation and Hygiene, held in Durban, South Africa, from 18 to 21 February 2008. The text of the Declaration is available from www.africasan3.com/Images/eThekwiniAfricaSan.pdf.",
"[84] Mehta and Mehta, Financing Water and Sanitation at Local Levels, p. 59.",
"[85] UNDP, Human Development Report 2006, pp. 12 and 61.",
"[86] Ibid.",
"[87] Ibid., pp. 70 and 71.",
"[88] Tom Slaymaker and Peter Newborne, “Implementation of water supply and sanitation programmes under PRSPs: synthesis of research findings from sub-Saharan Africa” (London, Overseas Development Institute, August 2004). Available from www.odi.org.uk/ resources/details.asp?id=1663&title=water-supply-sanitation-prsps-synthesis-research-sub-saharan-africa.",
"[89] Mehta and Mehta, Financing Water and Sanitation at Local Levels, p. 59.",
"[90] Ibid., p. 28.",
"[91] A/HRC/18/33/Add.2, para. 48, calling on the Slovenian Government to intervene in municipalities failing to meet human rights obligations related to the Roma population, and A/HRC/33/Add.4 (forthcoming), calling for a mandatory federal standard on affordability in the United States of America.",
"[92] UNDP, Human Development Report 2006, p. 62.",
"[93] Ibid., p. 61.",
"[94] Ehtisham Ahmad, “Macro, fiscal and decentralization options to address marginality: reaching the extreme poor”, paper prepared for the International Roundtable Conference on Marginality and Extreme Poverty: Towards Inclusive Development for and with the Poorest, held at the Centre for Development Research, University of Bonn, Germany, from 20 to 22 June 2011.",
"[95] Katharina Welle, “Learning for advocacy and good practice: WaterAid water point mapping: report of findings based on country visits to Malawi and Tanzania”, WaterAid Report (London, Overseas Development Institute, December 2005). Available from www.odi.org.uk/resources/ download/2952.pdf.",
"[96] WHO and UNICEF, Joint Monitoring Programme for Water Supply and Sanitation (www.wssinfo.org/country-collaborations/data-reconciliation).",
"[97] General Comment No. 15 (2002) of the Committee on Economic, Social and Cultural Rights, para. 51.",
"[98] UNDP, Human Development Report 2006, p. 63.",
"[99] African Ministers’ Council on Water, Getting Africa on Track to Meet the MDGs on Water and Sanitation; a Status Review of Sixteen African Countries (December 2006), p. 47.",
"[100] Nila Ardhianie, “Water privatisation in Indonesia”, in B. Balanyá and others (eds.), Reclaiming Public Water: Achievements, Struggles and Visions from Around the World (Amsterdam: Transnational Institute and Corporate Europe Observatory, 2005), p. 227; and Violeta Petrova, “At the frontiers of the rush for blue gold: water privatization and the human right to water, Brooklyn Journal of International Law, vol. 31, No. 2 (2006), pp. 577‑614.",
"[101] World Water Council, Third World Water Forum and Global Water Partnership, Financing Water for All, p. 10.",
"[102] Global Corruption Report 2008: Corruption in the Water Sector (New York, Cambridge University Press, 2008), p. 10. Available from www.transparency.org/publications/gcr/gcr_2008.",
"[103] UNDP, Human Development Report 2006, p. 128."
] | A_66_255 | [
"Sixty-sixth session",
"Items 13 and 69 (b) of the provisional agenda",
"United Nations economic, social and related fields",
"Outcomes of the major conferences and summits",
"Integrated and coordinated implementation and follow-up",
"Promotion and protection of human rights:",
"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Report of the Special Rapporteur on the right to safe drinking water and sanitation",
"Report of the Secretary-General",
"Summary",
"The present report is submitted to the General Assembly by the Special Rapporteur on the human rights of access to safe drinking water and sanitation, Karita de Albucque, in accordance with General Assembly resolution 64292 and Human Rights Council resolutions 15/9 and 16/2. The report examined important issues that could be used to achieve the resources of water and sanitation facilities. Part II of the report briefly reviews the resource situation in the relevant sectors. Some of the main sources of funding within the various sectors were then considered to make recommendations on how to expand and improve those sources by aligning the principles of human rights and outlining the enormous benefits of investment in water and sanitation rights. Part III presents the related challenges for the effective allocation of resources. This part provides specific examples of how stakeholders can make better use of limited resources by bearing in mind human rights principles. Finally, part IV addresses other challenges for adequate financing, such as institutional dispersion and lack of transparency.",
"Contents",
"Introduction 3",
"Introduction",
"The present report is submitted to the General Assembly in accordance with Human Rights Council resolution 15/9 and General Assembly resolution 64/9. In the previous resolution, the Council requested the Special Rapporteur (at that time, the independent expert) to submit an annual report to the General Assembly, in which the Assembly requested the Special Rapporteur to present, in his report to the General Assembly at its sixty-sixth session, the main challenges to the realization of the human rights of safe clean drinking water and sanitation and the impact of those challenges on the efforts to achieve the Millennium Development Goals. In accordance with the mandate extended by the Human Rights Council in its resolution 16/2, the Special Rapporteur is also working to identify challenges and obstacles to the full realization of the human rights aspects of access to safe drinking water and sanitation.",
"In other reports, the Special Rapporteur referred to specific challenges to the realization of the human rights of access to safe drinking water and sanitation, such as the lack of political will and the need for national action plans (e.g., A/HRC/18/33). However, the lack of resources is often referred to by various stakeholders and deserves special attention. She therefore opted for the topic to be the focus of the present report.",
"The report addressed the question of human rights resources for the realization of access to safe drinking water and sanitation and asked whether existing resources were sufficient to achieve that right and whether those resources were properly utilized. Overall, it was concluded that, while more resources could and should be made available to all sectors, more relevant work could be carried out through more targeted interventions consistent with human rights obligations. Enhanced transparency and enhanced coordination will help to better understand the resources directly used in all sectors and to use them, thereby helping to improve policy formulation and implementation.",
"The Special Rapporteur stresses that the unavoidable fact is that the realization of human rights, including civil and political rights, requires funding. The functioning of the justice system, respect for human rights by the police force, the protection of the most vulnerable and the construction of infrastructure are essential to support the establishment of a society based on respect for human rights and the provision of funding. These costs are usually shared by State support and individual payments. For example, education and legal aid are usually supported by taxation, while health care is through insurance programmes and taxes.",
"Investment in water and sanitation facilities should not be separated from practice. Macroeconomic policies have a significant impact on national decision-making when deciding how and using resources. Without meeting the economic and social needs of the people, the priority given to economic growth will pose a threat to the enjoyment of human rights. [2] For example, certain economic doctrines disregard the value of income distribution and promote the minimization of public spending on the basis of the assumption that the private sector can make more effective use of resources. [3] However, the narrow approach that focuses on economic growth and the establishment of a strong regulatory framework raises serious concerns about human rights without equal attention to the fairness of results. Only the most vulnerable sectors of society are able to participate, and economic growth can play a key role in reducing poverty, achieving the Millennium Development Goals and ultimately achieving human rights.",
"The availability of water and sanitation resources is also closely linked to the pattern of funding borrowing at the global level. The ability to determine the national budget and resource allocation of the basic public services, including water and sanitation facilities, is likely to be limited in most countries that need to be used to pay foreign debt. In addition, the use of conditionalities in the above-mentioned financing arrangements would also distort national priorities and negatively affect human rights. [4]",
"Economic policies must be guided by human rights and serve as a tool for the realization of human rights. States and international policymakers have the responsibility to consider their macroeconomic policy options in accordance with their human rights obligations. The review of economic policies to meet human rights standards and the progressive realization, non-discrimination, transparency, participation and accountability. Although detailed comments on economic policies are not within the scope of the present report, it must be understood from the outset that financing for safe drinking water and sanitation for all is taking place in this wider context and that this context affects financing.",
"While bearing in mind the greater context, the present report indicates that States and international donors are committed to integrating human rights principles into the financing sector, which can help countries mobilize, use and track resources. In preparation for the present report, the Special Rapporteur met in Lisbon in May 2011 with experts in the areas of human rights law, water, sanitation, macroeconomicology and development, and continued to engage in bilateral consultations with experts. The views and expertise provided by experts were extremely helpful, and the Special Rapporteur thanked experts for sharing their views.",
"Inadequate funding for water and sanitation facilities",
"The latest estimates indicate that nearly 1 billion people have no access to improved drinking water sources and that 26 million people are still unable to access improved sanitation facilities. [6] The target of the Millennium Development Goals on sanitation is a serious departure from the orbit and the number of people unable to access is still increasing. [7] Even if the 2015 target is to be achieved, more than 17 million people still have access to improved sanitation facilities. The target on water has been on track but progress remains precarious. If achieved, at least 6,72 million people worldwide will not be able to access improved water sources, [8] the number of people unable to access safe drinking water will increase, as current data do not include measurement of water quality or affordability. The most vulnerable and most excluded populations will remain uninterrupted; unfortunately, progress in achieving the Millennium Development Goals has not resulted in significant changes in the poor.",
"In his report to the General Assembly at its sixty-fifth session (A/65/254), the Special Rapporteur explained that the normative content of the right to water and sanitation facilities could support the achievement of the Millennium Development Goals in a more comprehensive, responsible, participatory, non-discriminatory and sustainable manner. She would now like to stress that, despite the specific benchmarks for development, the human rights perspective highlights legally binding obligations and envisages universal, fair and affordable access.",
"Regardless of the focus on development goals or human rights, the fact is that, at the current level of funding and the patterns of use, existing resources are not sufficient to achieve one another. A study estimated that achieving universal access to water and sanitation by 2015 would imply an annual cost of $168 million, but noted that the figure could be underestimated. [9] With regard to the Millennium Development Goals target, if Target 7.C is to be achieved by 2015, there must be a significant increase or even double funding for the water and sanitation sector. [10] Based on estimates, the costs required for achieving the 2015 target range from $67 million to $7.5 billion per year, depending specifically on the base year, population growth and distribution, technical costs, and whether the cost estimate includes new infrastructure, operation and maintenance and/or the cost of building sustained institutional capacity. [11] At the national level, it is estimated that at least 1 per cent of gross domestic product should be used in the area of water and sanitation. [12]",
"Unlike the above-mentioned high cost, Governments and donors have not committed sufficient resources to water and sanitation services. In 2008, international assistance commitments in the area of water and sanitation amounted to only $7.4 billion, accounting for 5 per cent of all reported international assistance. [13] Although investment in water and sanitation has a significant impact on the achievement of the Millennium Goals, such as the reduction of maternal mortality, the achievement of universal primary education and the reduction of women's empowerment and child mortality, the proportion of international assistance in the area of water and sanitation has declined over the past decade compared to expenditure on health and education. [14] If all objectives are to be achieved and the full realization of the right to water and sanitation, water and sanitation facilities must be more prominent in national and international priorities.",
"Integrating human rights into traditional financing mechanisms",
"Although human rights law recognizes that the means available by States are usually limited, it requires progressive work on the full realization of the right to water and sanitation. The principle of progressive realization recognizes that the full exercise of economic, social and cultural rights is a long-term process, but affirms the need for States to make progress over a period of time and to take carefully, concrete and targeted steps to fulfil their obligations under the International Covenant on Economic, Social and Cultural Rights, and [15] to achieve the fullest possible and effective realization of these rights. [16] The inevitable consequence of implementing this principle is the prohibition of deliberate retrogression measures. The duty of States that do not fulfil their basic obligations and reduce the protection of specific rights to provide evidence confirms that such measures are justified in the light of the overall rights set forth in the Convention and from the perspective of the fullest possible available resources. 15 May 2009",
"For the progressive realization of the right to water and sanitation, States have an obligation to take steps to maximize the use of available resources, [17] and to ignore their human rights obligations on the basis of the lack of necessary funding or human resources. [18] At the same time, States have a positive obligation to mobilize resources from their inhabitants and, if necessary, from the international community. [19] Regardless of the funding source chosen by States, it must ensure that appropriate mechanisms are put in place to support transparency, public participation and accountability.",
"However, it is not enough to ensure that the use of water and sanitation services has the greatest impact on achieving universal access if there is considerable resources for countries. States should, inter alia, seek to achieve the greatest results through the development of sector-wide strategies and robust regulatory frameworks; efforts to raise awareness and demand for water and sanitation services; and investments in low-cost but efficient technologies, as appropriate. Emerging strategies in the area of quantitative assessment make it possible to monitor whether as many resources are available to achieve economic, social and cultural rights, including water and sanitation. [20] Human rights law also requires States to actively promote non-discrimination practices. [21] States must prioritize their funding to target groups and communities with the greatest needs.",
"Although some aspects of the right to water and sanitation require progressive realization, human rights law also envisages obligations that have immediate effect, which should require short-term national priorities and decision-making. [22] With regard to the right to water and sanitation facilities, it includes priority for access to the most basic water and sanitation facilities on the basis of non-discrimination; adoption and implementation of national water and sanitation strategies; and initiation of monitoring the realization of the rights of water and sanitation facilities. [23]",
"Sources of financing",
"In addition to investing in efficient technologies and prioritizing basic needs, countries should also strive to diversify sources of funding for the water and sanitation sector and to optimize those sources, including fees and user-contributory payments, national and local revenue collection and international assistance ( grants or loans). Many projects that expand access will involve different sources of funding.",
"The inclusion of human rights principles such as accountability, participation and non-discrimination in financing mechanisms enhances their impact by ensuring that these resources are allocated, focusing on increasing access to people who are currently unable or without adequate access to water and sanitation facilities.",
"Family and user contributions",
"The Special Rapporteur emphasizes that the human rights framework does not require free water and sanitation services. Free access to water resources may in fact deprive service providers of the income they need to expand and maintain services, resulting in losses to low-income households and their unsustainable risks. [24] In addition, the refusal to pay is not always the most vulnerable and low-income households that purchase large water from non-regular suppliers due to the lack of access to formal networks. For those of the above-mentioned community, the payment of official service supplies is usually a good opportunity for more conventional services and for more quality water and sanitation facilities. [25]",
"Families can contribute to improving access to water and sanitation facilities in a number of ways. In the context of web availability, the issue of fees is particularly important, as most water supply (and wastewater) sectors pay part of their funding at least through charges (e.g., direct payment by households of the cost of access to water and sanitation facilities). [26] Increased restrictions on the facilities concerned, and funds mobilized through fees can only be used for operation, maintenance and improvement or expansion of water and sanitation services and cannot be used for other government purposes. Some Governments also requested that the principle of cost recovery be followed by payment of operating and maintenance costs at least through fees, which means all costs associated with the operation and maintenance of water (and sometimes sanitation). However, funds generated through the collection of user fees generally reach the level of funding required for new investment projects or the expansion of existing infrastructure. If the principle of cost recovery has been developed, the fees must be adjusted to ensure that affordable supplementary systems assist households that cannot afford the cost of water (and sanitation) services. Thus, there is a discrepancy because the water supply sector needs to be serviced on a commercial basis, but it also requires affordable public products.",
"In terms of access to regular water and sewage services, another household payment is connected. These costs include payments to the electricity sector for network connectivity (e.g., actual costs for household access to pipelines) and improvements in household pipelines to allow connectivity (e.g. internal pipelines, storage tanks etc.). These costs are usually a major obstacle to the families of extreme poverty. The latest study shows that in Africa, the average rate of connectivity paid to the water supply sector amounted to $18.50 and Asia was $168.90. For example, Ghana needs one year of income in connection with the costs of water systems in specific environments. [27] Several States have decided to reduce barriers to access to water and sanitation services, to eliminate this expenditure for all households or some families, or to include costs for some or all expansion of services in standard service costs. It can be said that the expansion of the customer base in the water supply sector may lead to greater income than insisting on high connectivity. [28]",
"Family contributions for water and sanitation services in rural areas and informal residential areas are largely different from household contributions for water and sewage services. In these cases, user costs are from the establishment of community and individual households (a clean public or household latrines), water storage (b, tanks, boxes), water disposal (up, chlorine, filtering, etc.), cleaning, maintenance, air-based toilets or septic tanks, etc.) to be disposed of by manure.",
"In any case, the human rights framework requires States to ensure, first and foremost, that the costs of access to water and sanitation are still affordable and appropriately reflect the needs of marginalized and vulnerable populations, and, secondly, to ensure that a safety network is put in place for those who cannot pay or are able to pay the minimum cost. In such cases, it may be burdened that the cost should not significantly diminish the ability of the family to pay other basic costs, such as food, housing or health. [29]",
"As discussed below, various forms of government support, such as direct or cross-cutting subsidies, can have a positive impact on affordability. [30] The use of sound and transparent measurement indicators and the monitoring of affordability will help to further promote accountability in the sector.",
"Although the issue of financing water and sanitation facilities has been taken into account throughout the present report, funding for sanitation should be assessed against the reasons for financing water. While investment in sanitation is more beneficial than invested in water alone, it is easier to generate resource requirements in the water supply sector, 37 per cent of aid funding (a) and an average of 20 per cent of government spending on the relevant sectors for sanitation. AD(b) Whether the economic situation is concerned, women, children and men believe that access to water resources is a demand and that this needs cannot be substituted. Therefore, in the absence of a choice, people are even willing to pay high prices for access to quality water. As a result, in the absence of sufficient knowledge of the economic and health benefits of ownership and use of toilets, water supply is generally higher than sanitation in the list of budgetary priorities for Governments and families, schools, workplaces and clinics. In addition, sanitation may be a taboo issue because in many cultures it is difficult to discuss individual needs, particularly women. This means that there is no sufficient understanding of which persons do not have adequate access to sanitation and its causes, if not impossible, thus making planning and budgeting difficult. The male heads of households may be decision makers with budgetary priorities, who often have more choices in accessing sanitation, whether in the workplace or in accordance with cultural practices, which make men more readily accepted, if not large. This may mean that family budget decisions do not reflect the needs of women and do not meet their needs for convenience and safe sanitation, which are not used for personal purposes but also for children, patients and the elderly. All aspects of adequate sanitation require funding for sanitation, including the purchase or construction of toilets or bedrooms, removal or transport of waste (e.g., sewage or pit-based toilets/septic tanks) and their treatment, disposal and/or reuse. Although many households may have effective planning for the construction of a bedroom or toilet, planning and budgeting in the areas of transport, treatment, disposal and reuse are more complex and require more comprehensive approaches, particularly in urban areas. Governments and donors have focused their wastewater treatment on web-based wastewater systems, but they often do not reach the poorest households and thus do not address the issue of toilets and septic tanks. More needs to be done in order to find appropriate manure disposal systems in rural areas with intensive urban environments and unconnected watercourse systems. In order to achieve sustainable access to sanitation, investments in the areas of advocacy are often required to stimulate demand. In the case of a small demand, the availability of sanitation infrastructure and devices will result in the risk of access to facilities. xx (d) ________ AD(a) Annual United Nations Water Facility Global Health and Water Assessment 2010: allocation of resources to better results (Geneva, World Health Organization, March 2010), p. 28. Ibid., p. 29. lob (c) Maggie Black and Ben Fawcett, The Last Taboo: opening the Dooron the Global Sanitation Crisis (London and Stirling, Commodities, Earthscan Publications Ltd., 2008), pp. 212-216. AD(d) See Carolien van der Voorden and Andy Peal, Public Funding for Sanitation: The many Faces of Sanitation Subsidies (Geneva, WaterSupply and Sanitation Collaborative Council, 2009); and Sophie Trémoletlet, Pete Kolsky and Eddy Perez, Financing Onsite Sanitation For the Poor: A Six Comparative Review and Annalysis (Washington, D.C., World Bank Water and Sanitation Program, January 2010).",
"Tax and government funding",
"Although fees and user fees can support the delivery of water and sanitation services, they are virtually unable to pay all costs, particularly when services are expanded to new or not adequately serviced areas. [31] This is true for both developed and developing countries. For example, in Japan, government subsidies accounted for 7 per cent of investment in these sectors, while in Portugal, 31 per cent of the water and sanitation sector funding came from national and municipal budgets rather than charges (http://insaar.inag.pt/index.php?id=31).",
"Therefore, government support is a necessary requirement to ensure funding, for the first instance, which is usually the main source of funding for capital-intensive infrastructure projects, such as the construction of wastewater treatment facilities. [32] States may be the only actors willing and able to carry out large-scale supplies if the scope of access relates to work in areas where services and poverty are not available, such as slums and other informal settlements, and where the initial cost is high and the short-term benefits of investment are low.",
"Secondly, government funding in the form of subsidies may be necessary to enhance the capacity of low-income households to afford related services. One issue that has major human rights implications is whether government subsidies should be universal or targeted. [33] Targeted subsidies aimed solely at universal access to people in need reflect that budgetary constraints limit the resources that States can invest in any particular sector. [34] Similarly, States that are able to grant alone should also take such practices. As a result, States may, inter alia, identify persons eligible for support, including through economic survey.",
"However, ensuring universal access to targeted subsidies may be complex and costly. It is particularly important to ensure that targeted subsidies are not motivated by political relations or by a cover seized by the moderate forces, which exacerbate the gap between groups or religions. In this regard, the process of selecting targets and the criteria for eligibility must be fair, reasonable, objective and transparent. [35] In cases where it is difficult to identify people in need, the universal subsidy system may be appropriate to guarantee the practical benefits of the most in need of assistance. In the absence of an economic survey system, the cost of universal access to the system is also low. In essence, States must put in place a system to ensure that families in need of assistance in accessing water and sanitation facilities have access to such assistance, taking into account the needs of present and future generations and the effective use of resources.",
"Where individuals or families manage their own localization services, grants or subsidies may be necessary to ensure sustained access to sanitation facilities. In some cases, subsidies have been provided for the construction of water points or toilets, but little subsidies have been provided for their operation and maintenance. Governments rarely support the safe handling of manures for families. The lack of attention to sustainability raises the risk of refunding and may violate human rights law. The community-led approach to comprehensive sanitation provides valuable experience, particularly in allocating funds to community capacity-building, rather than ensuring that toilets are maintained and effectively used to direct subsidies for the construction of toilets.",
"International assistance",
"In cases where household contributions and government expenditure are not sufficient to achieve the right to water and sanitation facilities, international assistance usually contributes to financing. [36] In order to maximize the use of available resources in accordance with the principle of progressive realization, States are obliged to resort to international support when necessary. [37] In turn, States that can provide assistance are obliged to provide support in accordance with human rights principles. [38] This obligation of international cooperation is generally applicable to Parties to relevant human rights treaties and is not directed at any specific State (E/CN.4/2006/WG.32/2, para.",
"Despite the increase in domestic funding over the past decade, international assistance remains a major source of funding for water and sanitation sectors in many developing countries and some transition countries. [39] At the same time, the share of national assistance in the area of water and sanitation has declined over the past 10 years, taking into account the enormous benefits of increased access, [40] should be a priority for funding (see below).",
"In the current economic environment, States that are heavily dependent on international assistance in support of the realization of the right to water and sanitation should strive to fund water and sanitation as a matter of priority within the scope of existing aid allocations, as well as to apply measures, even where funding is not substantially increased, to continue making progress towards the realization of these rights.",
"The process started with robust sectoral planning, including the development of coherent sector-wide policies and targets. Evidence suggests that, in the absence of a clear national policy framework, it is particularly difficult to deliver services effectively and efficiently. [41] In addition, when international donors consider what sectors are prioritized, there is a strong sectoral plan that is often an important factor affecting their decision-making. [42] At the same time, in carrying out sectoral planning, a comprehensive assessment of the current resources available and the realization of the right to water and sanitation facilities should be carried out first, in terms of overall access and affordability, acceptability and quality. [43]",
"If developing countries have an obligation to take steps to ensure sustainable allocation of international assistance to the areas of water and sanitation and to support progressive realization, international donors have a corresponding obligation to promote the process. International assistance should adhere to the principles set out in the Paris Declaration on Aid Effectiveness and the Accra Agenda for Action, thereby ensuring that aid agreements are in line with international human rights law and that aid priorities are aligned with national policy frameworks of development partners. [44]",
"In addition, funds are mobilized in the area of water and sanitation through loans and grants from international financial institutions and donors. The above-mentioned actors must strive to eliminate inappropriate conditionalities attached to these financing agreements. [45] If development funds depend on the enactment of specific macroeconomic policies, there may be other ways to support cuts in public spending on the realization of the right to water and sanitation facilities. [46] The privatization of Government assets, including water and sanitation service providers, may also be a feature of conditionality. Although human rights law does not prohibit private sector participation, if there is no specific measures to monitor the delivery of services and to maintain affordable access for all, there is a great risk that such participation will reduce the drivers of expanding and improving access to areas that are not fully serviced, as well as weakening accountability and increasing household costs.",
"Private sector and non-governmental support",
"Private sector financing is mainly used to fill the service gaps arising from inadequate government support. For example, water providers play an important role in non-service communities, although they are usually informal. In the area of sanitation, private actors are involved in the construction, management or maintenance of personal or public toilets and selling soap and other clean supplies. More generally, the private sector can fill the funding gap and offset the costs associated with the provision of water and sanitation services. However, a prerequisite for the provision of funding by the regular private sector is usually to recover these funds, which is not conducive to the provision of services to low-income neighbourhoods. Similarly, non-governmental organizations have an important role to play, but their contributions are still very low in terms of overall funding. The Special Rapporteur elaborates on the role of the private sector in supporting the realization of the right to water and sanitation facilities (see A/HRC/15/31), and reiterates that, in economic patterns, human rights law is neutral, the State is the primary responsible and has the responsibility to conduct effective contracting and regulating private actors.",
"C. The benefits of investment in water and sanitation facilities",
"In discussing the costs of investment in water and sanitation facilities, their benefits are easily neglected. It is true that the cost of more funds in the area of water and sanitation does lead to higher economic costs. In developed countries, higher economic growth and life expectancy will be accompanied by a reduction in child mortality only after Governments have started to make significant investments in water supply and more important sanitation. [47]",
"The benefits of these improvements are alarming. Based on some estimates, the combined cost-benefit ratio for achieving the Millennium Development Goals target on water and sanitation is 8:1. [48]",
"In the Organization for Economic Cooperation and Development (OECD) non-member State, universal access to water and sanitation facilities could yield the benefits of $100 million. In terms of improving health, the above-mentioned benefits are particularly pronounced: for example, through the avoidance of diarrhoea and the treatment of diseases arising from lack of access to water and sanitation facilities. [49] The overall burden of global diseases, calculated in the year of disability, can indeed be reduced by at least 10 per cent by investments in improved water and sanitation services. Families can also have a significant positive impact on child mortality reduction; a study undertaken in Argentina [50] shows that an increase in household water pipes in the poorest cities could reduce child mortality by 24 per cent. [51] The economic benefits of increasing access to water and sanitation facilities include increased adult production efficiency and the increase in the enrolment rate of children, which may have an impact on chronic diseases resulting from poor sanitation conditions. [52]",
"Not all benefits can be quantified in monetary terms. Serious consideration needs to be given to the intangible interests of time-saving and dignity, which can have an impact on human well-being. The particularly positive impact of investment in water and sanitation on women and girls is critical to achieving gender-related human rights obligations. It is also difficult to arrive at accurate figures on environmental interests, but given that improved water and sanitation services contribute to environmental degradation, they will have great benefits in that regard.",
"Effective positioning resources",
"Human rights and positioning",
"Successful mobilization ensures universal access to the resources required alone cannot guarantee the successful realization of the right to access water and sanitation facilities. Human rights principles provide three basic considerations that can be used to guide countries and international donors in identifying how resources are allocated to water and sanitation facilities. First, resources should be used first to fulfil obligations that are immediate and effective. [53] States may, after that foundation, achieve rights more fully and move to higher service levels. Secondly, States and donors must actively promote non-discrimination in their water and sanitation programmes and policies in order to eliminate inequalities based mainly on access to opportunities based on race, colour, national, religious, gender, economic conditions or citizenship. Finally, the principle of non-retroactivity indicates that resources should contribute to the long-term sustainability of efforts towards universal realization. This usually means optimizing the use of existing resources and creating the necessary physical infrastructure and regulatory infrastructure, as well as the necessary human resources capacity to absorb future additional resources.",
"Recent assessments of available resources in the water and sanitation sector indicate that the use of these resources is not always intended to achieve rights. In terms of both international and domestic levels, most of the beneficiaries of resources are relatively rich, rather than low-income communities that lack basic access. [54] Beyond, while progress has been made by States and international donors in scaling up related investment, capacity-building and awareness-raising in terms of coverage, operation and maintenance, support for sustainability is not a priority for the realization of development towards rights. In short, the money is not available. This subsection will highlight some of the key human rights issues arising from the current positioning of the sector and make recommendations on how countries can make more efficient use of resources.",
"Lack of access to resources by the most vulnerable and marginalized groups",
"The obligation to fulfil the immediate impact on the right to water and sanitation means guaranteeing basic access to all, while prioritizing the most vulnerable and marginalized individuals and groups. However, according to the current allocation of resources, these groups are often not prioritized and there is no link between the amount of assistance received by one country and the proportion of the population who have fully access to water and sanitation services. [55]",
"There are several reasons for this situation, including the lack of data at the international level and at the national level, resulting in poor positioning and monitoring, and the prioritization of several recipient countries by donors for geographical political reasons. At the international level, most donors are not clearly aware of what their resources reach and how they can be identified. Only half a small number of people indicated that their assistance would measure the impact of the poorest. [56] Many argue that one half of their commitment to assistance to water and sanitation facilities is directed to middle-income countries. [57] In practice, seven of the first 10 water and sanitation assistance recipients reported more than 90 per cent of improved water and sanitation facilities. [58] Despite the importance of aid to middle-income countries, it is critical to recognize whether these important resources are placed in the hands of the most marginalized and most vulnerable groups and whether funds are used to improve access to small-scale regulators.",
"From the national level, there are national reports that they have developed or adhered to standards aimed at ensuring the equitable allocation of resources in the intersectoral context, in particular sanitation. [59] For example, in India, between 1995 and 2008, 1.6 million people had access to improved sanitation, but the number of people in the poorest five had increased by about 3 per cent. [60]",
"States and international donors must be given priority in their water and sanitation strategy obligations that are relevant to rights. Donors should consider transferring their focus points and resources to countries that are still very low or developing stronger indicators to ensure that their aid allocations are effectively used for marginalized and vulnerable groups. At the same time, countries should develop national strategies for water and sanitation, highlighting the expansion of basic access and ensuring access to the most marginalized and vulnerable groups. This also requires increased financial support for oversight at the national and international levels in order to track funds to and target beneficiaries. Consultations with communities also provided important information on the most needs of families.",
"The current funding model is disproportionate to the urban areas of networkization. Large systems in urban areas (e.g. wastewater treatment facilities and sewerage pipelines, etc.) are much higher than those received in rural areas and urban poor areas (e.g. public toilets, drilling and hand pumps). Currently, 62 per cent of all sector assistance flows to large developing systems, while only 16 per cent are used for basic systems. [61] This indicates that funding for basic services facilities has decreased by about 10 per cent since 2003.",
"In planning large-scale systems, an important point is to study who benefits: Does these investments improve the services available to those who have access to facilities or whether they expand to those who lack the facilities? Owing to economies of scale, the pipeline water system generally provides the best quality of water at the lowest per capita cost. However, these systems are also required for households who have not received services or services in the suburbs of the city and informal settlements. At present, the beneficiaries of the large system are mainly middle-income households, which deepen discrimination and exacerbate the gap between rich and poor. [62]",
"C. Electing appropriate technologies",
"The progressive realization of the right to water and sanitation does not automatically push high costs. Different regions and circumstances require consideration of the use of different technologies. Low-cost alternatives exist and further innovation is needed to create the most appropriate solutions for different situations. In the short- and medium term, alternative technologies may be useful in providing services effectively to persons living in remote rural areas or informal urban settlements. Some alternative technologies are low-cost technologies, and others are likely to be cost-effective but more sustainable technologies, thus better investment over time. These options should be carefully reviewed to determine which technology is most appropriate in a given environment to fully realize the right to water and sanitation. Investment in more expensive technologies does not necessarily lead to significant improvements in services. [63] At the same time, investment in low-cost efficient technologies could significantly reduce the level of funds needed to realize the right. [64]",
"The Special Rapporteur does not categorically reject any specific technology or indicate that the scope of use of water and sanitation facilities should be maintained at low cost. Low-cost programmes for sanitation are usually only temporary programmes, as reliable services for long-term improvements in public health are often costly. States should determine the applicable technologies based on the objectives. For example, if the goal is to stabilize water in informal settlements in the short term, it is hoped that communities will receive more permanent facilities after several years, the low-cost programmes such as water stations provided by public utilities may be appropriate for a limited period of time.",
"Functioning and maintenance",
"More resources will be used for the operation and maintenance of the long-term sustainability of the realization of the right to water and sanitation. 75 per cent of the current annual resources required to achieve the Millennium Development Goals for water and sanitation facilities are used to replace and maintain existing resources. [65] Unfortunately, although progress has been made in expanding the coverage of water and sanitation facilities, there are clear indications of a downward trend, which has become resilient to improved community facilities due to poor maintenance. [66] For example, in India, about 30 per cent of all improved water and sanitation facilities lost part or all facilities. [67] Throughout Africa, it is estimated that at about 30-40 per cent of hand pumps cannot be used at any given time. [68] International assistance to bear these expenses is now quite small. [69]",
"Investments that would improve the cost of the use of water and sanitation facilities in the consideration of investments, or in particular for the maintenance and operation of new and existing services facilities, would be necessary to avoid such relapse. As for efficiency, investment in operation and maintenance is much more cost-effective than the renovation of a project. [70]",
"E. Decentralization and capacity-building",
"The long-term success of the right to water and sanitation also requires investments in government and talent capacities, in particular local governments and talent capacities. The decentralized responsibilities for water and sanitation management may enhance their efficiency, thereby increasing sustainability, while also improving transparency, accountability and sensitivity to local needs. [71] However, the nature of decentralization is not automatic and central government plays an important oversight role in human rights. In particular, the central Government must ensure that the majority of marginalized and vulnerable groups are prioritized and adopt the necessary measures (e.g. through binding referrals or specialized referrals to local institutions) in order to avoid funds being used for privileged groups or other sectors or for their occupation.",
"Local governments have very few funds or technical capabilities needed to address the use, purchase and quality of service facilities. Unless they are supported by local institutions, such as their learning to revise tax fees and/or grant structures, plan new projects or mobilize other resources, the responsibility for the provision of water and sanitation facilities is null and void. However, several resources were reported to be used to support improved capacities. [72] Local governments do not receive regular resources sufficient to assume all their responsibilities and have little capacity to fund themselves. A recent study found that only one third of the country's expenditure on water and sanitation facilities had entered local government budgets. [73]",
"In order to ensure that local governments, within the maximum resources available, comply fully with their responsibilities to progressively realize the right to water and sanitation facilities, countries that choose to exercise control over water and sanitation facilities must increase their resources through local capacity-building to enhance the efficiency and effectiveness of the process. Capacity-building investments should focus on two aspects. First, States and international donors should provide additional resources to support the independent funding projects of local governments and to expand the capacity to deliver services, while ensuring that resources are used to those most in need. More funding to local institutions is not easy, and this could involve improving the credibility of local governments and their ability to attract foreign investment. [74]",
"Secondly, additional funding should be provided to improve the inclusion of additional resources by local actors and to manage and provide water and sanitation services. This means more practical training on how to conduct and maintain improvements in water and sanitation facilities and administrative training on how new project planning and budgeting, raising costs and, in some cases, implementing subsidies programmes. [75]",
"Regulatory",
"Progress in the realization of the rights of water and sanitation facilities, like capacity-building, can be sustained only in a strong regulatory framework. [76] The national regulatory framework supports rights in a number of ways, such as setting clear targets and benchmarks for implementation; clarifying and coordinating the responsibilities of various actors; setting minimum quality, availability and affordability standards; and improving accountability through the creation of compliance incentives. [77] The regulatory framework enables the Government to prioritize the population with no access to services or services and to form the basis for the subsidy programmes and other measures for low-income households. [78]",
"Awareness-raising and community outreach",
"The proliferation and sustainability of water and sanitation services depends not only on funding and the establishment of new facilities. States also have a responsibility to provide community education on the health use of water and sanitation facilities. [79] There are a number of benefits for the dedicated resources and community-based discussions on the use and benefits of water and sanitation facilities, including, inter alia, ensuring that services are properly used in ways that support their long-term sustainability; improving local ownership, transparency and accountability; ensuring that facilities are applied and reflect the cultural needs of the community; and improving overall public health. However, despite these benefits, most countries have limited capacity to allocate more resources in this area. [80] International support is also very low, accounting for only 1 per cent of total assistance in this field in 2008. [81]",
"Outreach and awareness-raising also lay the foundation for more efficient expansion of services in the future. The dedicated resources of these activities are often translated into greater needs, thereby creating greater political will. The need to create demand is particularly relevant to sanitation, which is not very clear and potentially high. [82] Although the benefits of water are clear, community outreach will continue to play an important role through the advocacy grant programme. [83] Fortunately, countries have begun to recognize the importance of outreach and awareness-raising on resource allocation for communities, as reflected in the 2008 Declaration of Tkweni, which is committed to expanding the scope of sanitation and hygiene in national poverty reduction strategies. [84]",
"Explanatory assessment of resources",
"After an accurate assessment of the resources available, States will be able to undertake practical assessments of where and how resources are used. For various reasons, including the separation of systems, the lack of transparency and the lack of oversight bodies for personal contributions, it is difficult to accurately measure or track the amount of resources flowing from the sector or from the sector. This section briefly discusses these obstacles and provides some preliminary improvements.",
"Divide issues",
"The division (i.e. resource and responsibility are dispersed among a large number of institutions and projects, each with its own rules and objectives) is the central challenge of accurately measuring resources. [85] Water and sanitation facilities are particularly vulnerable in this regard owing to their distribution in several sectors from public health to housing. [86]",
"When sector assistance is managed by a range of government departments (e.g., a regulatory body may manage tax fees, while another oversight of the quality of water), the division usually occurs among agencies. In such cases, fragmentation does not always have any effect, nor will it pose a serious threat to the tracking of resources. However, when multiple agencies are responsible for similar duties, or when a body is responsible for policy formulation and another agency control expenditure. [87] Horizontal divisions also plague international donors. [88] For example, in consultation with assistance projects, individual donors often wish to reach an individualized extrabudgetary agreement with the Government. These agreements may undermine the ability of a State to calculate all available resources in developing sectoral strategies. [89] The Special Rapporteur has expressed his concern with regard to issues arising from horizontal segregation in his reports from the missions of Costa Rica and Egypt (A/HRC/12/24/Add.1 and Corr.1, para. 61 and A/HRC/15/31/Add.3 and Corr.1, para. 13), but discussions with many experts indicate that these are systemic issues in the water and sanitation sector worldwide.",
"The division may also be vertical, not only among ministries but also among national, subnational and local institutions. Constraints often occur when decentralization is decentralization, while there is no consistent national strategy and a strong regulatory framework. [90] Financial channels often complicate, resulting in unfamiliar overlap and duplication, [91] and the possible use of inconsistent standards throughout the country. The Special Rapporteur commented on the central Government's primary role in ensuring the right to water and sanitation in the context of decentralized arrangements for the provision of services, in particular in its reports on Slovenia and the United States Mission. [92]",
"With regard to measuring the resources available, the division creates obstacles in several areas. For example, many international or local institutions have a access point in the water and sanitation sector as part of their broader mandate. As for budgeting, the contribution of each agency to the sector may include a greater range of responsibilities (e.g. public health measures, housing measures, mitigation measures, etc.), it is difficult for States to accurately identify resource levels for water and sanitation facilities. [93] In practice, the proliferation of responsibilities for water and sanitation facilities is the main reason for insufficient funding. [94] Moreover, since resources are located in several different accounts, it is difficult to monitor their disbursements. For example, the consolidation of all Governments' cash and the provision of funds for the use and use of [the]. The single accounts of the Ministry of Finance of 95] Lines provide a way to address this issue.",
"Similarly, as multiple institutions and stakeholders are concerned with the same sector, there is a great risk of duplication or unnecessary duplication of services. For example, the Malawi Water Point Cartography report found that, owing to the lack of coordination, new water spots were drilled around existing drills, while areas with inadequate service rates continued to be neglected. [96] Therefore, even if it is possible to determine a country's spending on water and sanitation facilities at a given time, it may still be difficult to determine the level of resources that could be used to eliminate such waste. Finally, different institutions, including international donors, may have different water and sanitation regulatory bodies, which consider different standards and use as their own specific methods. This raises questions for Governments wishing to implement national water and sanitation strategies, which will lead to different needs and cost assessments. [97]",
"The Special Rapporteur has emphasized the importance of national planning and clear distribution of responsibilities to effectively realize the right to water and sanitation (see A/HRC/18/33). States must therefore assume their obligations to seriously coordinate the work of actors at all levels and adopt integrated sectoral policies targeting water and sanitation facilities. [98]",
"Transparency",
"The limited transparency in the water and sanitation sector is another major challenge for the accurate assessment of resource inventories. Transparency in water and sanitation budgeting is essential for the sustainability and long-term success of improvements in the sector, as it supports the predictability, planning and equitable distribution of resources and facilities coordination among agencies. Transparency budgeting can also serve as advocacy and accountability platforms for vulnerable groups or non-service communities. [99]",
"The low transparency in budgeting is mainly due to the lack of budgetary details. National budgets often fail to fully consider how to allocate expenditures in the water and sanitation sector, wherever and by whom they are allocated. This is closely related to the horizontal division referred to above, where water and sanitation facilities are more extensive. Even if the budget is sufficiently detailed, access to budgetary information remains limited. Several water and sanitation measures, such as WASHCost (www.washcost.org) and the United Nations annual assessment report on global environmental sanitation and drinking water mechanisms, have taken important measures to better monitor sector funding and ensure improved access to information from individuals and institutions. The monitoring of the human rights budget has increased in recent years, providing important tools for civil society and other stakeholders that require information and follow-up to budgetary allocations to enable the Government to assume responsibility for the fulfilment of its human rights obligations. The work involved a far-reaching impact on the understanding of whether funds were allocated in accordance with human rights obligations, according to regional and group budgets. Public expenditure tracking is also important to assess whether funds are used in the light of the objectives set out in the budget.",
"Even transparent budgeting, few additional extrabudgetary resources from international donors and non-governmental organizations for water and sanitation facilities are available, which often wish to stand independently from the Government's management of its projects. The resources spent on these projects have never been recorded in the national budget. If countries rely on international contributions to carry out most of their water and sanitation facilities, this means that Governments and communities are almost unaware of what funds are actually available. In the case of Malawi in 2006, it was estimated that extrabudgetary expenditure by non-governmental organizations was three times the annual budget for water and sanitation facilities. [100]",
"The lack of transparency may also affect the accurate assessment of resources when States and the private sector enter into service supply contracts, in particular tendering processes and contracts that are not public. [101] The Special Rapporteur stresses the importance of transparency in the involvement of the private sector, noting in particular that the final contract and terms of reference must be subject to public oversight and comment (A/HRC/15/31, para. In some cases, private contractors will also be estimated at low prices, artificially lowering costs for winning contracts, followed by more favourable conditions in bilateral contractual re-exploitation negotiations, which the Special Rapporteur notes are contrary to human rights requirements.",
"In all forms of financing, the lack of transparency may stimulate misappropriation of resources, bribery or receipt of bribery or other misconduct. These actions can be translated into a few additional costs for the report, resulting in a lack of clarity between the Government and individual agencies on how many of the funds actually available for water and sanitation facilities. [102] For example, corruption may result in an increase of about $500 million in the cost of achieving Millennium Development Goal 7.C by 2015, based on transparent international estimates. [103]",
"C. Failure to measure individual contributions",
"As explained above, personal and household contributions play an important role in expanding and improving access to water and sanitation facilities. In China, the Human Development Report noted the rapid development of sanitation facilities in rural areas and 70 per cent of improved funds from families. [104] However, the value of these contributions is rarely incorporated into national cost assessments.",
"The tracking and integration of such contributions into the overall planning and budget is extremely difficult. Although water and sanitation fees are relatively easy to monitor, household expenditure for construction and maintenance of their use is difficult to monitor. Human rights analyses require consideration of these costs as they affect the commitment capacity to water and sanitation facilities. This information is essential to know what kind of assistance is needed to ensure access to water and sanitation facilities. For the poor, a large number of household contributions are an obstacle to accessing or continuing access to water and sanitation facilities.",
"Conclusions and recommendations",
"The present report analyses the challenges in providing funding for access to water and sanitation to achieve these human rights. Ensuring access to water and sanitation for all requires considerable resources to provide sustainable water and sanitation facilities for the hundreds of millions of people still unable to access water and sanitation facilities. However, in addition to the need for additional resources, existing resources must also be better positioned to place the most excluded and marginalized groups at the forefront. More transparent budgets and better coordination also contribute to a more complete understanding of resources available to address the water and sanitation crisis.",
"Based on the findings of the present report, the Special Rapporteur recommends that States:",
"(a) Funding for water and sanitation facilities in national budgets and official development assistance, with a particular focus on expanding areas that are not serviced or underserved. This should include measures to identify the most marginalized, most marginalized and vulnerable groups with regard to access to water and sanitation facilities and special measures to improve their situation;",
"(b) Ensure that household contributions, whether tax or other forms of payment, are affordable, including the establishment of complementary systems to support access to and sustained access to water and sanitation facilities for low-income households;",
"(c) Increase the share of international assistance allocated to water and sanitation facilities and incorporate human rights approaches;",
"(d) Ensure that all actors, including donors, private providers and non-governmental organizations, report funds for the sector in order to fully understand the resources allocated to the sector and their location;",
"(e) Prioritize spending on systems that are most likely to be extended to the most marginalized and vulnerable groups, including ensuring that informal settlements also receive pipeline water and consulting with communities on technical options available to ensure sustainable use;",
"(f) Integrate operational and maintenance of cost considerations into investment to ensure sustainability;",
"(g) To invest resources for capacity-building of local authorities in cases of decentralization;",
"(h) Effective management inputs for the effective implementation of the necessary expertise;",
"(i) To invest resources in raising awareness of water, sanitation and hygiene as a means to increase the demand for these services facilities;",
"(j) Ensure horizontal and vertical coordination and coordination among other stakeholders, such as donors, private service providers and non-governmental organizations;",
"(k) Ensure transparency in budget and other sector funds, including disaggregated information on the level of facilities to which they receive.",
"The Special Rapporteur encourages donor countries, non-governmental organizations and international organizations to ensure that their policies, programmes and projects support efforts aimed at more coordinated and transparent funding of the water and sanitation sector.",
"—",
"AD(*) A/63/250.",
"[2] Radhika Balakrishnan, Diane Elson and Raj Patel, Rethinking Macro Economic Strategies from a Human Rights Perspective (Cariki Council, February 2009), pp. 10 and 11. See http://www.cwgl.rutgers.edu/globalcenter/publications/whymes2.pdf (accessed 9 August 2011.",
"Ibid.",
"[4] See the report of the independent expert on the impact of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, in particular economic, social and cultural rights (A/65/260).",
"[5] Meetings on macroeconomic policy and water and sanitation facilities, jointly with the Centre for Women's Global Leadership, University of Ratgs.",
"[6] World Health Organization (WHO) and United Nations Children's Fund (UNICEF), Joint Monitoring Programme on Water and Sanitation, Progress on Sanitation and Water: 2010 update, pp. 6 and 7. Available at: www.wssinfo.org/documents-links/documents/ (accessed 9 August 2011.",
"Ibid., p. 8.",
"Ibid., p. 9.",
"[9] WHO and the United Nations Development Programme (UNDP), “The economic and health implications of expanding access to drinking water and sanitation interventions for low-income households” (WHO/SDE/WSH/07/05), pp. 21 and 22. Available from www.who.int/water_sanitation_health/economic/mdg10_off Track.pdf (accessed 9 August 2011.",
"[10] World Water Council, Third World Water Forum and Global Water Partnership, “Financing for Water for All: Report of the World Water Infrastructure Financing Group” (March 2003), chap. Available at: www.finwaterforall.org/index.php?id=1098 (accessed 9 August 2011.",
"[11] Annual United Nations Water Facility Global Health and Water Assessment 2010: allocation of resources to better results (Geneva, World Health Organization, March 2010), p. 20. Available from www.who.int/water_sanitation_health/glaas/en/ (accessed 9 August 2011.",
"[12] UNDP, Human Development Report 2006: elimination of deprivation — electricity, poverty and global water crisis (New York, 2006), p. 9.",
"[13] Global annual assessment of the United Nations water mechanism, p. 14.",
"Ibid., p. 15.",
"[15] Committee on Economic, Social and Cultural Rights general comment No. 3 (1990), para. 10 (Official Records of the Economic and Social Council, 1991, Supplement No. 3 (E/1991/23), annex III).",
"Ibid., para.",
"[17] Article 2 of the International Covenant on Economic, Social and Cultural Rights (General Assembly resolution 2200 A (XXI), annex).",
"[18] Committee on Economic, Social and Cultural Rights general comment No. 3 (1990), para.",
"[19] Balakrishnan, Elson and Patel, Rethinking Macro Economic Strategies, p. 8.",
"[20] See, for example, E. Felner, “A new party in economic and social rights advocacy? Turning quantitative data into a tool for accountability for human rights”, International Journal on Human Rights, No. 9 (December 2008); and S. Fukuda-Parr, T. Lawson-Remer and S. Randolph, “Measuring the progressive realization of human rights obligations: an index of economic and social rights implementation”, Economic Working Paper Series, No. 8 (Sutchart, 2008).",
"[21] article 2 of the International Covenant on Economic, Social and Cultural Rights, paragraph 2.",
"[22] Committee on Economic, Social and Cultural Rights general comment No. 3 (1990), para.",
"[23] Committee general comment No. 15 (2002), para.",
"[24] World Water Council, “Establishment of local governments' access to funding: financing for agricultural water, financing of the Water Task Force for All”, Report No. 1 (Marseilles, France, March 2006), p. 6. Available from www.pseau.org/outils/ouvrages/wc_task_force_financing_water_for_all.pdf (accessed 9 August 2011.",
"[25] UNDP, Human Development Report 2006: elimination of deprivation — electricity, poverty and the global water crisis (New York, 2006), pp. 52 and 53.",
"[26] Organization for Economic Cooperation and Development (OECD), pricing of water and sanitation services (Paris, OECD publication, 2010), p. 70.",
"[27] R.W.A. Franceys, “Charging to enter the water shop? The cost of urban water connections for the poor”, Water Science and Technology: Water Supply, vol. 5, No. 6 (London, World Association of Freshwater, 2005), pp. 209-216, 213 and 2115.",
"[28] Ibid., p. 216.",
"[29] Committee on Economic, Social and Cultural Rights general comment No. 15 (2002).",
"[30] Organization for Economic Cooperation and Development (OECD), pricing of water resources and water and sanitation services, p. 77.",
"[31] Organization for Economic Cooperation and Development (OECD), pricing of water resources and water and sanitation services, p. 72.",
"[32] World Water Council, Third World Water Forum and Global Water Partnership, “Financing for the provision of water to all.",
"[33] In his forthcoming report on good practices to the Human Rights Council (to be issued as A/HRC/18/33/Add.1), the Special Rapporteur describes the common types of subsidies used by States to support the affordability of water and sanitation facilities.",
"[34] Thandika Mkandawire, “Targeting and universalism in poverty reduction: Social Policy and Development Programme, paper No. 23 (United Nations Institute for Social Development, 2005).",
"[35] Report of the independent expert on the question of human rights and extreme poverty (A/HRC/11/9), para.",
"[36] World Water Council, Third World Water Forum and Global Water Partnership, Financing for Water for All, p. 2.",
"[37] International Covenant on Economic, Social and Cultural Rights, article 2, paragraph 1, and Committee on Economic, Social and Cultural Rights general comment No. 3 (1990), para.",
"[38] Charter of the United Nations, Articles 55 and 56; International Covenant on Economic, Social and Cultural Rights, article 11; Committee on Economic, Social and Cultural Rights general comment No. 3 (1990), paras. 13 and 14.",
"[39] Global annual assessment of the United Nations water mechanism, p. 46.",
"Ibid., p. 15.",
"[41] Ibid., p. 38.",
"Ibid., p. 22.",
"[43] For more information on national planning from a human rights perspective, see the report of the Special Rapporteur to the Human Rights Council on its eighteenth session (A/HRC/18/33).",
"[44] Paris Declaration, para.",
"[45] Accra Agenda (A/63/539, annex), para.",
"[46] See the report of the independent expert on the effects of foreign debt and other related international financial obligations of States (A/65/20), part B.",
"[47] UNDP, Human Development Report 2006, pp. 28-31.",
"[48] 47 Ibid., p. 6.",
"[49] 48 Ibid., pp. 25-29.",
"[50] 49 Annette Prüss-Üstün and others, Safer Water, Better Health: Costs, Benefits and Sustainability of Interventions to Protect and Promote Health (Geneva, World Health Organization, 2008), p. 7.",
"[51] 50 R.W.A. Franceys, “Charging to enter the water shop?”, p. 210.",
"[52] 51 Hutton, Haller and Bartram, “Economic and health effects”, p. 30.",
"[53] 52 Draft Guide on the realization of the right to safe drinking water and sanitation (see E/CN.4/Sub.2/2005/25), para.",
"[54] 53 United Nations Water Mechanism Global Annual Assessment, p. 26.",
"Ibid., p. 33.",
"[56] 55 Ibid., p. 35.",
"Ibid., p. 26.",
"[58] 57 Ibid., p. 24.",
"Ibid., p. 34.",
"[60] 59 United Nations Children's Fund, “Equality coverage: Millennium Development Goal 7”. See www.chindinfo.org/files/MDG7.pdf (accessed 10 August 2011.",
"[61] 60 United Nations Water Mechanism Global Annual Assessment, p. 30.",
"[62] Sophie Tremolet, Pete Kolsky and Eddy Perez, Financing Onsite Sanitation for the Poor: A Six Comparative Review and Analysis (Washington, D.C., World Bank Water and Sanitation Program, January 2010).",
"[63] 62 Catarina Fonseca et al., “Strategic life-cycle methods for the maintenance of water and sanitation facilities” (WASHCost, April 2011), accessed sources at www.washcost.info/page/121 (release).",
"[64] 63 “The regional and global costs of achieving the Millennium Development Goals for water and sanitation (Goal 10)”, document WHO/HSE/AMR/08/01 (Geneva, World Health Organization, 2008), available from http://www.who.int/water_health/economic/mdg_global_costing.pdf (accessed 10 August 2011.",
"[65] Global annual assessment of the United Nations water mechanism, p. 21.",
"[66] 65 Fonseca et al., “Sustaining the cost of life of water and sanitation facilities”.",
"[67] 66 Ton Schouten et al., “The use of service delivery methods to monitor the impact of water and joint monitoring programmes in low-income areas” (WASHCost, International Centre for Water and Sanitation, 2011), sect. Sources available at www.washcost.info/statementir/.../Monitoring_sustainability_JMP_Berlin.pdf (request for entry).",
"[68] 67 Ibid.",
"[69] 68 The United Nations Global Annual Assessment of Water Mechanisms, p. 32, where eight of the 27 international donors are able to disaggregate expenditure on the basis of new service facilities, new services or processing levels, and to maintain or replace existing service facilities, with only 13 per cent of existing service facilities.",
"[70] 69 Fonseca et al., “Sustaining the cost of life of water and sanitation facilities”.",
"[71] 70 Mehta and Dinesh Mehta, “Financing local water and sanitation facilities (London, WaterAid, January 2008)”, p. 45. Source: www.wateraid.org/documents/plugin_documents/financing_water_and_hy_local_level_levels.pdf (accessed 10 August 2011.",
"[72] 71 Global Annual Assessment of the United Nations Water Mechanism, p. 46.",
"[73] 72 Mehta and Mehta, “Financing local water and sanitation facilities”, p. 46.",
"[74] 73 World Water Council, “Financing for Strengthening Local Governments: Agricultural Water Resources”, p. 5. See World Water Council, Third World Water Forum and Global Water Partnership, Water Investment for All, p. 15.",
"[75] 74 Ibid.",
"[76] 75 Committee on Economic, Social and Cultural Rights general comment No. 15 (2002), paras. 16, 47 and 48.",
"[77] 76 World Water Council, Third World Water Forum and Global Water Partnership for Water Investment for All, p. 9. See also the maintenance of housing rights against eviction centres, the United States Scientific Promotion Association, the Swiss Agency for Development and Cooperation and the United Nations Human Settlements Programme, the Water and Sanitation Facilities Manual (2008), p. 37; access source www.cohre.org/sites/default/filmanual_on_the_right_to_water_and_sanitation_2008.pdf (accessed 10 August 2011.",
"[78] 77 German Agency for Technical Cooperation, sub-Saharan Africa Regulatory and Private Sector Participation Working Group, “Sharing regulatory experience in the water sector”, April 2004. Available from www.gtz.de/de/dokumente/en-regulation-water-sector-africa.pdf (accessed 10 August 2011.",
"[79] 78 Committee on Economic, Social and Cultural Rights general comment No. 15 (2002), para. 25; and Maintenance of the right to housing against the eviction of homes centres, the United States Science Promotion Association, the Swiss Agency for Development and Cooperation and the United Nations Human Settlements Programme, Manual on Water and Sanitation Facilities Rights, p. 106.",
"[80] 79 Stockholm International Institute for Water Research and the World Health Organization, Access to sanitation: Highlights of Crisis Response ( Stockholm, 2005), p. 25. Source: www.who.int/water_sanitation_health/generation/ securingsanitation.pdf (accessed 10 August 2011.",
"[81] 80 United Nations Water Mechanism Global Annual Assessment, p. 30.",
"[82] 81 Stockholm International Institute for Water Research and World Health Organization, Access to Sanitation, pp. 24 and 25.",
"[83] 82 Sophie Trémolet, “World Water Day: The spread of global funding”, Guard, 22 March 2011. Sources are available at www.guardian.co.uk/global-development/poverty-matters marriage/22/world-water-day-sanita tion-hygiene (accessed 10 August 2011.",
"[84] 83 Comments No. 4 of the Special Civni Declaration, adopted by the Second African Conference on Sanitation and Personal Health, held in Durban, South Africa, from 18 to 21 February 2008. The text of the Declaration is available at www.africasan3.com/Images/e Thekwini AfricaSan.pdf (accessed 10 August 2011.",
"[85] 84 Mehta and Mehta, “Financing local water and sanitation facilities”, p. 59.",
"[86] 85 UNDP, Human Development Report 2006, pp. 12 and 61.",
"Ibid.",
"[88] 87 Ibid., pp. 79 and 71.",
"[89] 88 Tom Slaymaker and Peter Newborneborne, “The Water Supply and Sanitation Programme under the PRSP: A Compilation of the findings of sub-Saharan Africa” (London, Overseas Development Institute, August 2004). Available from www.odi.org.uk/resources/ details.asp?id=1663&fin=water-supply-sanitation-prsps-synthesis-research-sub-saharan-africa (accessed 10 August 2011.",
"[90] 89 Mehta and Mehta, “Financing local water and sanitation facilities”, p. 59.",
"[91] 90 Ibid., p. 28.",
"[92] 91 A/HRC/18/33/Add.2, para. 48, calls upon the Government of Slovenia to intervene in municipalities that fail to meet the human rights obligations related to the population of Rome and A/HRC/33/Add.4 (to be issued), calling for a mandatory federal standard for the commitment capacity of the United States.",
"[93] 92 UNDP, Human Development Report 2006, p. 62.",
"[94] 93 Ibid, p. 61.",
"[95] 94 Ehtisham Ahmad, “Making marginalized macro, financial and decentralization: extending to extreme poverty”, paper prepared for the International Round Table on marginalized and extreme poverty, held at the University of Bonn, Germany, from 20 to 22 June 2011.",
"[96] 95 Katharina Welle, “Information and Good Practices: Water Aid Access Water Point Cartography: Based on the results of international missions to Malawi and Tanzania”, Water Aid Report (London, Overseas Development Institute, December 2005). Available from www.odi.org.uk/resources/download/2952.pdf (accessed 10 August 2011.",
"[97] 96 World Health Organization and the United Nations Children's Fund, Joint Monitoring Programme for Water and Sanitation (www.wssinfo.org/country-collaborations/data-reconciliation).",
"[98] 97 Committee on Economic, Social and Cultural Rights general comment No. 15 (2002), para.",
"[99] 98 UNDP, Human Development Report 2006, p. 63.",
"[100] 99 African Ministerial Water Council, “Towards Africa into a path towards achieving the Millennium Development Goals on water and sanitation facilities; review of the situation of the sixteenth countries of Africa (December 2006), p. 47.",
"[101] 100 Nila Ardhianie, “Environmentalization of water supply in Indonesia”, see B. Balanyá et al. (ed.), “Recovering public water: global results, struggles and scenarios” Amsterdam, Transnational Institutes and Business European Watch, 2005, p. 227; and Violeta Petrova, “Space precipitation: water privatization and human right to water”, Journal of International Law of Brooking, vol. 31 (2006), No. 577 (2008)614.",
"[102] World Water Council, Third World Water Forum and Global Water Partnership, Water Investment for All, p. 10.",
"[103] 102 Report on Global Corruption 2008: Corruption in the Water Sector (New York, Cambridge University Press, 2008), p. 10. Source: www.transparency.org/publications/gcr/gcr_2008 (accessed 10 August 2011.",
"[104] 103 UNDP, Human Development Report 2006, p. 128."
] |
[
"第六十六届会议",
"临时议程[1] 项目65(a)",
"促进和保护儿童权利：",
"促进和保护儿童权利",
"负责儿童与武装冲突问题的秘书长特别代表的报告",
"摘要",
"提交本报告的依据是大会第51/77号决议和其后关于儿童权利的决议，其中最近的是第64/146号决议。大会在第64/146号决议中，请负责儿童与武装冲突问题的秘书长特别代表向大会提交报告，说明进行实地访问的情况，以及在处理儿童与武装冲突问题上所取得的进展和依然面临的挑战。",
"本报告所述期间为2010年8月至2011年8月，报告说明了在处理儿童与武装冲突问题上所取得的进展，以及出现的趋势和依然面临的挑战。第二节详细介绍了在过去一年中所取得的进展，包括在提高认识、建立伙伴关系、收集信息和从武装部队和武装团体释放儿童方面的进展。第三节着重介绍在冲突性质发生变化的背景下依然存在的挑战，并概述了其他新出现的关切问题。第四节介绍了在制止侵犯儿童行为方面前进的方向。第五节描述了在将儿童与武装冲突议程纳入联合国系统主流方面采取的行动。第六节提出了一套可操作的保护受冲突影响的儿童建议，供大会审议。",
"本报告的附件列出了一套建议采用的标准作业程序，其中概述了国家武装部队以及多国部队和维持和平部队为确保在军事行动中保护儿童而可实施的最低限度措施。",
"一. 导言",
"1. 提交本报告的依据是大会第51/77号决议和其后关于儿童权利的决议，其中最近的是第64/146号决议。本报告所述期间为2010年8月至2011年8月，报告着重介绍了在过去一年中取得的进展、目前的趋势和挑战、在制止在武装冲突中侵犯儿童的行为以及将儿童保护问题纳入联合国系统主流方面前进的方向。该报告最后就如何加强对受武装冲突影响的儿童的保护提出建议。",
"二. 儿童与武装冲突议程：进展综述",
"A. 提高全球意识",
"2. 在受武装冲突影响的儿童困境问题上提高认识和促进信息收集是大会交付负责儿童与武装冲突问题的秘书长特别代表的任务的一个核心方面。特别代表办公室在本报告所述期间已采用了一个多管齐下的提高认识办法。",
"3. 特别代表继续就儿童与武装冲突状况向大会和人权理事会提交报告。此外，特别代表办公室担任秘书处负责编写秘书长在儿童与武装冲突问题上向安理会提交的年度和具体国家报告的实体。在这一过程中，该办公室与联合国各伙伴和联合国各国家工作队密切协商。这些报告为提供了一个平台，可宣传在具体国家情况下保护儿童方面所取得的进展和所面临的挑战，并进行权威和经常的记录。",
"4. 特别代表办公室通过编写和分发有助于政策讨论的文献，支持制定有关政策。2010年关于国内流离失所儿童的文件等关于儿童保护问题的关键工作文件通过总结学术和政策方面的经验和支持宣传活动，积累了关于这一主题“灰色地带”的知识和认识。此外，特别代表办公室与联合国儿童基金(儿基会)和其他主要的联合国伙伴一起，已制定了该领域广泛的准则，包括供外地联合国合作伙伴使用的准则和模板，以便它们制定制止对儿童的性暴力和杀害及残害的行动计划。",
"5. 特别代表作为受武装冲突影响的儿童全球代言人，继续为这类儿童发出独立的道义上的声音。通过实地考察、宣传和使用传统媒体和社会媒体，特别代表得以传达冲突地区儿童的关切，动员对受武装冲突影响的儿童的支持和保持关键决策者的紧迫感。此外，她的办公室在本报告所述期间共举办了9次活动，以提高有关儿童与武装冲突问题的意识和认识。",
"6. 特别代表强调外地特派团，这仍然是她宣传活动的核心。通过实地考察，可对儿童情况进行第一手评估，与各国政府接触以支持它们保护儿童的努力，得到冲突各方对儿童保护的具体承诺和对实施监测和报告活动的支持，并与有关方面进行对话。在本报告所述期间，应有关国家政府的邀请，特别代表对下列国家进行了实地考察：索马里(2010年11月)、阿富汗(2011年1月)、菲律宾(2011年4月)和乍得(2011年6月)。",
"B. 建立全球伙伴关系",
"7. 按照大会给予特别代表的任务，建立全球伙伴关系以及利益攸关方网络对加强保护是必不可少的。特别代表把在保护受武装冲突影响的儿童问题上的利益攸关方召集在一起，充当各方之间的桥梁。",
"8. 与大会成员保持密切接触，以便灌输意识，了解他们的优先事项，并加强保护受武装冲突影响的儿童的全球支持，这已成为特别代表的一个关键优先事项。由来自所有致力于保护儿童议程的区域集团的会员国组成的儿童与武装冲突问题之友小组对于这种参与至关重要。",
"9. 继续与会员国协商，尤其是在秘书长关于儿童与武装冲突问题的年度和具体国家报告编制过程中，是必不可少的，有助于确保会员国的关切能够被纳入报告起草工作的考量之中。展望未来，特别代表的目标是继续与有关会员国进行极其重要的对话，以加强协作并确保对儿童保护的支持和承诺。",
"10. 民间社会组织对特别代表办公室的工作具有根本重要的意义。它们可向该办公室通报出现的问题，提出关于政策问题和挑战的创新建议，并在必要时提醒该办公室注意需要改进的领域。特别代表与在全球一级和国家一级行动的非政府组织密切合作，并与民间社会的代表举行定期会议，集思广益，讨论共同关心的领域，让它们了解日程的最新情况。在本报告所述期间就具体国家的情况，包括中非共和国受冲突影响的儿童的处境进行了协调一致的宣传工作，从而与各国当局建立了更密切的伙伴关系，增加了国际社会的关注和在实地的儿童保护合作伙伴的行动承诺。",
"C. 收集关于受武装冲突影响的儿童的信息",
"11. 随着关于儿童与武装冲突问题的监测和报告机制根据安理会第1612(2005)号决议于2005年建立，以及此后在各国得到实施，收集关于严重侵犯儿童行为的及时和可靠信息的工作已见成效。通过在联合国在实地最高权威的领导下建立严重侵犯儿童行为监测和报告国家工作队，加强了联合国对六种严重侵犯行为的数据收集能力并完善了准确信息的收集和流通。这一全面的信息收集框架有助于更好地了解儿童与武装冲突问题，并有助于总部和在该实地的机构和方案采取更多的适当反应措施。到目前为止，监测和报告机制已成功在15个国家实施。",
"12. 因其代表秘书长进行的信息收集工作，并在与有关合作伙伴进行协商基础上，特别代表办公室在本报告所述期间得以编写六个具体国家，即阿富汗、乍得、中非共和国、伊拉克、苏丹和索马里的儿童与武装冲突问题报告。这些报告提高了儿童与武装冲突议程的地位，并通过其分发，为国家和国际的儿童保护伙伴和民间社会的应对举措提供了一个坚实的信息依据，同时也为学术界提供了数据。",
"D. 从武装部队和武装团体释放儿童",
"13. 1996年格拉萨-马谢尔关于武装冲突对儿童的影响的研究(A/51/306和Add.1)突出介绍了作为当代冲突一个令人震惊的特点并构成了严重侵犯的行为，即武装部队和武装团体招募和使用儿童的行为。从那时起，通过国家和国际儿童保护伙伴的宣传和有针对性的努力，许多儿童已脱离武装部队和团体。2010年，11 393名儿童(8 624名男童和2 769名女童)受益于联合国各机构、基金和方案支助的重返社会援助(见A/65/741，第16段)。",
"14. 为了将宣传与实际的承诺结合起来而实施的制止在武装冲突中招募和使用儿童行为行动计划是应安理会第1539(2004)号决议等文件要求进行的，同时也响应了大会第64/146号决议，在该决议中会员国呼吁冲突各方采取有时限的有效措施，制止一切侵犯和虐待儿童的行为。制止对儿童严重侵犯行为行动计划释放了一个信号，即武装冲突对儿童的影响不仅侵犯了人权和有害于发展，而且也威胁到联合国的和平与安全议程，这一点已经成为普遍共识。",
"15. 至目前为止，已与下列8个国家中的15个国家和非国家当事方签订了制止在武装冲突中招募和使用儿童行为行动计划：阿富汗、乍得、科特迪瓦、尼泊尔、菲律宾、斯里兰卡、苏丹和乌干达。在本报告所述期间，阿富汗安全部队和乍得安全部队签署了释放其部队中的儿童行动计划，并制定了必要的法律保障措施，达成切实可行的协议，以防止招募和使用儿童兵。迄今，有六项行动计划已顺利完成实施。特别代表办公室同联合国主要伙伴，包括儿基会和国际劳工组织(劳工组织)一道，支持对签订行动计划一事的宣传，并制定实施提供技术支持和指导。",
"16. 使儿童从武装部队和武装团体持久脱离的工作是一个复杂的过程，需要适当的安全保障、儿童保护伙伴的支持、以及在经济以及社会上重新融入的机会。按照《关于与武装部队或武装团体有关系的儿童的巴黎原则和导则》，行动伙伴的经验表明，对儿童重返社会的援助必须针对他们的特定需要。换言之，年幼孩子的需要不同于工作年龄(15-17岁，取决于国家立法)的需要。对年幼儿童重返社会的援助应强调学校教育以及在适当的情况下对其家庭的经济援助，而年龄较大的儿童则通常需要职业培训或学徒机会，以便向就业过渡。特别代表办公室将通过由维持和平行动部和联合国开发计划署(开发署)共同主持的解除武装、复员和重返社会问题机构间工作组，继续促进关于儿童解除武装、复员和重返社会政策和准则的制定，并对这种准则的实施和主流化进行宣传。",
"E. 加强儿童与武装冲突问题的法律和规范框架",
"17. 在报告所述期间，特别代表努力加强保护儿童的法律和规范框架，包括开展普遍批准《儿童权利公约关于儿童卷入武装冲突问题任择议定书》运动。该运动的名称为“无未满18岁者”，运动是与暴力侵害儿童问题秘书长特别代表办公室、儿基会、联合国人权事务高级专员办事处(人权高专办)合作进行的。于2000年通过的这一《任择议定书》禁止武装部队和武装团体强迫招募未满18岁儿童直接参加敌对行动。",
"18. 特别代表已对34个非《任择议定书》缔约国的会员国进行了外展活动，并向一些区域组织，包括加勒比共同体(加共体)和伊斯兰合作组织介绍了情况。特别代表办公室在2010年9月大会千年发展目标高级别全体会议上组织了一次签署条约活动并在2010年5月在纽约举办该运动一周年论坛。在由联合国训练研究所主办的一次研讨会期间，该办公室向会员国提供了关于批准进程的技术咨询。",
"19. 自2010年5月发起该运动以来，已采取了12项条约行动：三个会员国已签署《任择议定书》(中非共和国、埃塞俄比亚和伊朗(伊斯兰共和国))、5个已予以批准(塞浦路斯、吉布提、加蓬、马拉维和塞舌尔)和5个已加入(刚果、格鲁吉亚、圭亚那、圣文森特和格林纳丁斯和沙特阿拉伯)。迄今为止，共142个国家已批准《任择议定书》。",
"20. 特别代表将继续鼓励各会员国成为其他有关条约缔约方，其中包括国际劳工组织关于禁止和立即行动消除最恶劣形式的童工劳动的第182(1999)号公约(其中将招募儿童定义为最恶劣童工的形式)，以及《非洲儿童权利与福利宪章》(1999年)(其中禁止招募儿童并主张维护儿童根本权利)。",
"三. 儿童与武装冲突：趋势和挑战",
"A. 冲突性质的变化",
"1. 在冲突中将儿童用作暴力工具",
"21. 人们越来越关注的是利用儿童(有时瞒着他们)携带或穿戴炸药的做法。在本报告所述期间，被武装团体用于上述目的的女童和男童数量稳步增长。这些儿童有时仅有8岁，往往不知道他们在教唆下去作出的行为的具体行动或后果。这种行为往往会导致孩子自己的死亡和平民死亡，其中包括其他儿童遭杀害。",
"22. 武装行动者为找到进行这些暴力行为的儿童而采取的战略则鲜为人知。但是，有传闻证据表明，家庭往往被迫送出子女去参加这些行动，也有武装团体通过承诺给钱来诱使贫穷家庭让它们带走孩子的情况。而新出现的一个可怕趋势是使用非常年幼的儿童和/或残疾儿童来进行这种行为，这也是一个令人严重关切的现象。现迫切需要获悉未知情况，更好地了解如何防止这些行为。同时，有必要更好地解决对涉嫌与武装行为者合作的儿童的耻辱化和偏见，因为这进而会导致其他侵害儿童的行为，包括殴打、威胁儿童及其家人，这些行为无异于酷刑、任意逮捕和羁押。在这种情况下，必须特别注意对年幼儿童、女童和残疾儿童的保护。",
"2. 军事行动期间对儿童的保护",
"23. 在她的最后报告中，特别代表强调了儿童在军事行动中面临的风险，并强调需要有具体的政策和程序，包括战术指示和标准作业程序，以维护国际人道主义法和防止侵犯儿童的行为。新的战争手段，包括新技术的使用、没有明确的战场和可识别的对象等因素给军事行动中的儿童造成更大的风险。作为优先事项，所有武装行动者应对使用空中袭击，包括通过无人驾驶飞机袭击以及夜袭的情况进行审查，以尽量减少附带造成的平民生命损失、平民受伤和对民用物体的破坏。",
"24. 儿童的安全和安保是任何军事活动合法性和可信性至关重要的条件。在维持和平或稳定行动情况下，这一点更重要，因为在此类情况下对外国派军进入的同意是任务成功至关重要的条件。武装部队的接战规则必须规定，在军事行动中，包括在打击叛乱活动的区域内进行的军事行动中，对平民的保护均须作为首要考虑的因素。在今天的冲突环境中，所有武装行动者均必须恪守相称和区分的原则;只有通过尊重这些原则，才可避免儿童受害。",
"25. 特别代表重申她的一项呼吁，即制定有关指示和标准作业程序，以确保军事行动是在符合适用的国际人道主义法前提下进行的，并确保保护平民，包括儿童。在本报告所述期间，乌干达军队已在特别代表办公室支持下制定了有关标准作业程序，以确保保护其武装部队在对上帝抵抗军的行动期间抓获或看管的儿童。特别代表重申她的一项呼吁，即所有有关军事行动者，包括军队、多国部队和维持和平行动部队均实施本报告附件专门规定的最低限度措施，将之作为一个优先事项。",
"3. 对与武装团体有关系的儿童的羁押和起诉",
"26. 各国越来越多地逮捕和扣留涉嫌与武装团体有关系的儿童。被捕获并被羁押的儿童有时其关押条件不符合各项国际法律文书规定的最低标准。",
"27. 在某些情况下，国家行政拘留儿童，而不是指控他们犯有刑事罪行和将他们告上法庭。这些儿童往往被长期关押，而没有获得律师帮助，也没有得到其他法律保障。有许多证据表明，被剥夺自由时，儿童人权特别容易受到侵犯，包括遭受有辱人格和不人道的待遇和/或无异于酷刑的行为。",
"28. 在其他情况下，国家指控儿童因在他们与武装团体有关系期间涉嫌犯下根据国家或国际法律属犯罪的行为。这些儿童有时会长时间受到审前羁押的折磨，却无法获得法律援助。此外，国家法院或军事法庭的审判一般不适用少年司法标准和正当程序方面的保障措施。因此，儿童往往在没有法律代表或得到法律协助的情况下受审，没有他们的父母或法定监护人陪同，而且对他们受到的指控也没有一个清楚的认识。",
"29. 由于与武装团体之间的关系常常是被迫的，并考虑到他们的年龄尚幼，儿童应主要被视为受害者，而不是肇事者。重点应放在根据指挥责任的概念起诉有关个人。各国还应该起诉成年的招募者和指挥官，不仅起诉其招募儿童的罪行，也要起诉他们为了迫使儿童就范而可能犯下的其他罪行。",
"30. 羁押和起诉因积极参与敌对行动而犯下罪行的儿童，应始终作为万不得已的措施。被控犯下此类犯罪的许多儿童本身可能是被强迫或引诱加入武装团体的。在他们与武装团体有关系期间，儿童往往遭到指挥官虐待、殴打、剥削和操纵，以迫使其犯下罪行，包括轻微的治安罪行和战争罪行。虽然公认对此需要某种形式的正式问责，但更宜将儿童从司法系统中移交出去处理。考虑儿童最佳利益并促进儿童重新融入其家庭和社区的替代办法包括非司法机制，如恢复性司法措施、说明真相，传统的治疗仪式以及重返社会方案。",
"31. 《儿童权利公约》要求各国在国家一级寻求对儿童的司法程序的替代办法，而且任何解决方案均需要考虑到让儿童“在社会中发挥积极作用”。儿童若了解和承认过去的不当行为，则对他们的心理发育和重返社会进程可起至关重要的作用。基于恢复性办法的问责有利于儿童的康复和与社区和解。",
"32. 特别代表办公室正在最后敲定一份工作文件，该文件将探讨在武装冲突期间犯有罪行的儿童的责任和问责问题，以及可用以协助儿童重新融入社会的替代办法。其目的是通过审视下列若干因素，以从概念上澄清这一问题：与羁押儿童有关的国际法律框架;被羁押的儿童的待遇和权利；和保护受起诉和审判的儿童。该文件还将讨论具备更多康复功能的其他非司法公正机制。",
"B. 儿童保护和安全部门改革",
"33. 近年来，在各国政府或安全理事会的要求下，联合国各机构在协助国家行为者努力建立基于不歧视和尊重人权和法治的可问责和有效安全机构方面发挥了越来越大的作用。这种支持具体包括促进作为各方之间更广泛谈判一部分的安全安排讨论、期望达成的和平协议、以及关于实施安全部门改革计划的技术咨询和/或支持。在这一问题上，儿童保护方面的考虑则是构建基于权利的可问责安全系统的核心。",
"34. 边缘化或被社会排斥的群体，特别是妇女和儿童的安全需求在制定安全部门改革计划时应予以考虑。安全机构应将儿童保护纳入自己的任务，作为优先领域；无论是在冲突还是在和平时期，儿童受到的威胁往往被忽视，从而导致儿童受到严重侵犯。在苏丹和南苏丹等国家，通过在武装部队中建立专门的儿童保护单位已大大促进了确保及时应对侵犯儿童的案件，并有助于在广大安全部队中提高对儿童权利和福利的意识。这种积极的举措应在其他地方得到仿效。此外，为了防止动员儿童入伍，招募协议必须保证严格核实年龄：当民事登记记录不完整或不准确时，必须辅以其他程序，以确定年龄。",
"35. 在武装部队和团体按照和平协议合并或复员和重新融入社会时，作为任何安全部门改革进程的第一步，都必须确保让可能会与有关各方有关系的儿童脱离各方。在此类情况下，初始阶段往往是战斗人员的登记。必须采取措施系统地进行年龄验证或在无法获得国家管理的可靠出生日期数据时，制定一个严格的年龄测定方法。然而，让儿童脱离武装部队和武装团体一事不应依赖于安全部门的改革计划。在武装冲突中招募和使用儿童是违反国际法的，从规范上而言，特别是在前面提到的行动计划的背景下，确定儿童并使之脱离是必须进行的。",
"36. 进行儿童保护方面的提高认识和培训活动，对在安保部队内加强问责和对人权的尊重至关重要。这种培训必须对安全部门的所有工作人员进行，并应包括国际和国家的规范框架及其应用，以及依法对冲突中的儿童予以关怀和对待。",
"37. 归根结蒂，确保安全机构奉行和实施对儿童的保护是一项长期的工作，需要国家行为者，即政府、立法机构、司法机构和民间社会进行专门和集中的努力。通过在国际社会的支持下建立国家行为者之间的伙伴关系，才能将儿童保护纳入安全部门的主流。",
"C. 保护武装冲突中的教育机构",
"38. 在她以前的报告中，特别代表一直关切地注意到对教育机构的袭击增加的趋势。这些行为包括对学校和其他教育设施的部分或全部破坏和对教育人员的威胁或实际袭击。对教育机构的袭击有损于为儿童创造一个保护环境的工作，也有损于他们拥有美好未来的机会。此外，对女童的暴力袭击和针对其教育机构的袭击也有损于她们在社会中的作用，妨碍她们行使自己的权利。",
"39. 在本报告所述期间，在采取保护教育机构和儿童受教育权措施方面有所进展。在国际社会更大的关注下，2010年创立了由联合国机构和非政府组织组成的保护教育设施不受袭击全球联盟。该联盟有助于以下几个方面的工作：防止对教育机构的袭击；制定有效的应对袭击的措施；提高知识、监测和报告工作水平；以及倡导国际规范和标准并加强问责。2011年3月，联合国教育、科学及文化组织(教科文组织)出版了一份创新报告，其中突出介绍了武装冲突对教育的影响。[2] 特别代表欢迎此类举措，并期待着与全球联盟、教科文组织和其他有关伙伴密切合作，以加强对教育机构的保护，使之免于袭击。",
"40. 大会通过其关于紧急情况中的受教育权利的开拓性决议，即第64/290号决议后，安理会也加强了在这一问题上的努力。2011年7月，安理会通过第1998(2011)号决议，扩大了秘书长关于儿童与武装冲突问题的年度报告附件中的清单，使之包括对学校进行经常袭击和对这些设施相关受保护人员进行袭击或威胁的肇事者。特别代表赞扬大会和安理会将注意力集中于儿童受教育权利，并敦促各会员国与其他儿童保护伙伴执行上述两机构的决定。",
"D. 为保护受武装冲突影响的儿童而采取的跨境举措",
"41. 因有平民和战斗人员跨越国界流动，冲突的区域特点造成了新的儿童安全、保障和保护挑战。“上帝抵抗军”等武装团体在非洲中部腹地广袤地带的跨越国界活动已证明难以跟踪，并因此难以遏制其构成的威胁。在从行动上应对跨境威胁所带来的挑战方面有两点值得注意。",
"42. 首先，有必要确保有协调良好的监测和报告机制，可用来将各国的信息汇集起来，以形成对武装团伙侵犯人权行为的趋势和规律的全面看法。这对确保采取适当的切实措施以保护受影响地区的平民至关重要。例如，在本报告所述期间，在特别代表办公室支持下，儿基会增强其能力，以促进儿童保护工作队之间就上帝抵抗军在中非共和国、刚果民主共和国、苏丹和乌干达的活动进行协调和信息共享。",
"43. 其次，以前与武装部队和武装团体有关系的儿童重返社会过程中往往需进行遣返，即遣返那些随着武装部队或团体来到外国领土作战的儿童，须使其返回原籍国，重归平民生活。在这种情况下，国家主管部门与儿童保护伙伴之间的密切关系和协调是必不可少的。",
"四. 消除在冲突中侵犯和虐待儿童的行为",
"A. 根源",
"44. 为制止在冲突中侵犯和虐待儿童行为而进行的努力必须基于对冲突的结构性原因以及引起这些侵犯和虐待行为的情形的透彻了解。贫穷、歧视、环境退化、社会和经济边缘化和不平等因素为儿童被迫或自愿与武装部队或团体建立关系创造了条件。",
"45. 研究已显示出,在贫穷与暴力冲突之间，以及在暴力冲突与低人类发展指标水平之间有很强的相关性。千年发展目标指标显示，那些生活在极端贫穷中的人有三分之一、没有获得初级教育的儿童有一半以及五岁前死亡的儿童有一半属于处在武装冲突局势中的国家。虽然不是所有的贫穷儿童在冲突情况下都成为士兵，但是贫穷是儿童加入武装部队和武装团体的一个重要激励因素。在一些地区，贫穷意味着缺乏教育条件及其他基本社会服务而且就业及创收的机会极少。儿童往往在家长的鼓励和武装行为者煽动下成为战斗人员，以期得到很好的衣食、住房和保护。",
"46. 对歧视/社会不公正/政治排斥和经济差距的看法往往是儿童加入武装团体的激励因素。这些看法与集体认同，即与民族、地区或宗教方面因素交织在一起，成为动员社区，包括儿童入伍的有力工具。对某一集团的忠诚有时会成为一个武装团体讨价还价的工具，社区也往往被呼吁发挥其作用，将自己的儿童送去参加斗争。儿童很容易接受这些要求，这不仅是出于一种社会压力或义务感，也是因为个人遭受的不公正。当针对儿童的犯罪不受惩罚时，许多儿童就会在复仇欲望的驱动下参加武装团体。",
"47. 国家法律软弱无力，特别是在边缘地区，则是冲突的另一个因素，会使儿童暴露于暴力之下。凡国家提供安全保障、提供基本社会服务、裁定纠纷和促进经济活动的能力受到质疑，则当地社区会转向其他权威形式。传统的治理结构和/或司法机制，可能会接管虚弱的法定机构。然而，传统的治理结构往往不是基于国家推动的规范标准和保护机制。在冲突发生时，当地社区也往往组建自卫团，并经常在社会中登记幼童参战并保卫社区免受外来威胁。",
"48. 在某些社会，旷日持久的暴力冲突本身成为目的，其政治经济是受经济利益和政治妥协的逻辑驱动的。在这样的情况下，儿童经过社会灌输接受战争为常态，而不是例外，并寻求在其创建的结构中步步高升。军事指挥员成为儿童的榜样，军事风气成为日常生活的一部分。加入武装团体可能会提高一个人在社会上进取的机会以及对资源的获取机会，并能够在武装团体控制下的领土上呼风唤雨。在此类长期冲突情况下，儿童可能把加入武装团体看作自己在社会中飞黄腾达的合法途径，可借以为自己提供一些其他选择。",
"49. 以上是一些会为促使儿童卷入冲突创造环境的关键因素。若不能在战略层面上解决导致冲突的条件，儿童则将继续成为武装冲突的受害者。在这方面，由大会在其第64/241号决议中呼吁，各国必须“加强关于安全、发展、人权和人道主义问题的国家政策和战略之间的互补性和协调，从而有效、可持续和全面地处理武装冲突对儿童的短期、中期和长期影响”。联合国系统和整个国际社会必须支持各国政府努力建设在冲突期间具有弹性的社会，包括通过促进经济发展和公平，同时支持加强社会公正和问责的措施。",
"B. 防止侵害和虐待儿童的行为",
"50. 显然，在战略层面上，保护儿童免于战争祸害的最有效方法是减少武装冲突的爆发。防止冲突意味着要解决暴力的根源并促进可持续和公平的人类发展。如马谢尔研究报告和2007年该研究报告十年审查(见A/62/228)指出，要实现可持续的防止冲突和建设和平，就需要以下若干条件：超越政治解决方案并加强和平的关键载体，包括善政；创造一个负责任的、合法的和以规则为基础的安全部门；一个独立和有效的司法系统；提供基本社会服务；和创造一个有利于就业和创造财富的经济环境。",
"51. 研究表明，在人口中青少年人数过多和内乱之间存在很强的相关性。虽然人口因素单独不会煽动冲突，系统地吸纳和专注于青少年，使之受益于发展方案，则可降低风险，尤其是在青年人较多的国家。必须在和平时期和在冲突后时期促进青年就业和培养其技能，这须成为重建和发展战略的重要组成部分。",
"52. 上述是受冲突影响各国须在国际社会持续支持下逐步解决的广泛和长期措施。国家行为者可在国际社会支持下采取一些更直接的保护措施。在冲突过程中，若建立儿童保护网络，则可有利于帮助社区更好地保护自己的儿童。这些网络会向社区发出威胁或侵犯行为警示，并可帮助建立以社区为基础的应对暴力后果的措施。他们还可以通过提高认识并建立与可提供保护的实体之间的关系，从而有助于防止虐待行为。能够依靠一个支持网络，这让儿童感到更安全，而且也可在其遭受侵犯或虐待时提供一个援助机制。",
"53. 在任何冲突开始时，应说服社区领袖作出特别的努力与各方谈判，以确保指定学校为“和平区”，规定不得将之作为军队或武装团体袭击或使用的目标。这样，儿童则可在不受虐待或暴力的情况下自由地求学。另一种方式是开展以社区为基础的保卫学校行动，以确保儿童安全。在一定程度上保持冲突中儿童生活的正常状态，即使其学校教育得以继续，这可维持其发展，同时也可保护他们不被武装分子招募入伍。",
"C. 在全球一级解决问责问题",
"54. 自1996年马谢尔研究报告以来，国际社会在加强保护武装冲突中的儿童的法律框架方面，以及在将肇事者绳之以法方面已取得重大进展。国际刑事法院、前南斯拉夫问题国际刑事法庭和卢旺达问题国际刑事法庭和塞拉利昂特别法庭已审判过对儿童的侵犯行为案。这些国际和混合法庭，以及在波斯尼亚和黑塞哥维那等处建立的混合分庭已在处理针对儿童的犯罪方面，对国家司法机制起到关键的补充作用。",
"55. 必须强调，在打击有罪不罚现象过程中，单靠国际努力不能达到持久的效果。要对犯下的罪行进行持续的问责，就只能通过有关国家的人民和司法系统按照国际标准自主这一过程。在刚刚摆脱冲突的社会中，国家机构和社会结构已经被战争削弱，国际社会则可发挥重要作用，支持国家努力更广泛地加强司法部门和法治。发展社会通过有效的司法系统处理侵犯行为的能力，是确保可持续正义的必由之路。",
"56. 国际社会也应支持刚刚摆脱武装冲突的国家的赔偿机制。赔偿作为在冲突后社会中提供社会正义的一种方式，是一种有效的额外问责机制。这在以下情况下尤其如此：因司法系统薄弱或对司法机关缺乏信心而难以或无法通过法院诉诸法律和申诉；肇事者身份不明，或侵犯人权的肇事者出于政治原因而免于司法问责程序。",
"D. 进行保护对话的必要性",
"57. 在第64/146号决议中，大会呼吁各国和武装冲突其他各方，在冲突中发生了违反适用的国际法对儿童侵犯和虐待行为的情况下，应采取有时限的有效措施予以制止。国家若与联合国各实体、民间社会和区域组织一道，对武装冲突中受侵犯和虐待的儿童提供保护和援助，就必须在所有有关伙伴之间进行对话，以确保协调一致并建立适当的反应机制。与各国政府伙伴关系是制止严重侵犯儿童行为工作的关键所在。在这方面，有关的政府实体组成的部际委员会可作为与联合国对应部门进行有效协调和对话的论坛。",
"58. 凡在适当和可能的情况下，则可在和平进程中与非国家行为者进行对话。但是，不论政治讨论如何，均应与有关政府密切合作，尝试进行对话，商讨制定保护受害儿童的有时限和有效措施——包括行动计划，以制止特定的侵犯行为。各个局势的情形不同，而且经验表明，若要将有效的保障措施落实到位，创新则是一个关键因素。在没有启动和平进程的情况下，各国政府作为保护儿童的首要责任承担者应与联合国合作，以确保各方将有时限和有效的措施，包括行动计划落实到位。",
"E. 有针对性和程度有别的措施",
"59. 加强安理会关于儿童与武装冲突的工作与其制裁制度之间的关系，这是一个工作正在进行的领域。对屡犯者采取有针对性和程度有别的制裁，这应作为最后的手段，即当其他所有手段都未能起到制止对儿童犯下的罪行有罪不罚现象时才采用。在其最近关于儿童与武装冲突的第1998(2011)号决议中，安理会重申它在以往的决议和主席声明中表示的意愿，即要对严重侵犯儿童行为的屡犯者采取有针对性和程度有别的措施，并逐步把侵犯儿童行为纳入其制裁制度。",
"60. 因此，今年5月，特别代表向安全理事会关于索马里和厄立特里亚的第751(1992)号和第1907(2009)号决议委员会进行了通报，提出将严重侵犯儿童行为增加为确定制裁的标准。安全理事会第2002(2011)号决议扩大了对索马里的制裁制度，将在武装冲突中严重侵犯儿童行为增加为确定制裁的标准。安全理事会关于索马里和厄立特里亚的第751(1992)号和第1907(2009)号决议委员会与安理会儿童与武装冲突问题工作组之间更紧密的合作将有助于提高安理会工作的连贯性并加强其打击有罪不罚现象的行动。展望未来，应将这种做法扩大到其他处理严重侵犯儿童行为屡犯者的制裁委员会，这具有极其重要的意义。",
"F. 政府在保护受武装冲突影响的儿童方面的作用",
"61. 政府承担着保护儿童和广大平民的首要责任。必须采取若干步骤，为儿童建立一个在冲突之前、之中和之后均予以保护的环境。最重要的是建立一个国家法律框架，其中要包含有关国际准则，以维护儿童权利并保护他们免受冲突后果的危害。在这方面，《儿童权利公约》的批准和随后的执行，特别是通过转化为国家立法来予以落实，并辅之以必要的行政、预算和社会政策调整，是在儿童保护方面一个关键的根本步骤。进一步的专门针对儿童的法律文书，如儿童保护法令或法案，包括少年司法和对侵犯儿童权利行为的惩罚性措施等一系列措施，则在受冲突影响的国家提供了一层额外的法律保护。",
"62. 在刚刚摆脱冲突的社会中，国家主管部门应建立过渡时期司法机制，以确保战时对儿童的犯罪受到惩处。基于司法程序的过渡时期司法机制可通过非司法问责机制得到补充。这些机制可含有查明真相和恢复性办法，可提供和解所需的净化效果并适合于儿童肇事者，因为作为儿童，对他们应免于起诉。例如，哥伦比亚最近通过的受害者法律是一个值得称赞的举措，其目的是确保在冲突中侵犯和虐待行为的儿童受害者从政府获得赔偿。",
"G. 宣传",
"63. 在保护受武装冲突影响的儿童方面仍存在重大挑战，因此，宣传具有至关重要的作用，可为最终制止在冲突中对儿童的严重侵犯而提高意识和激发行为转变。特别代表的宣传努力将继续突出重点关注的问题，为各国政府和受冲突影响的儿童保护工作行动伙伴动员更大的政治和捐助者支持。",
"64. 宣传工作将把重点放在一些关键的优先领域。这些领域包括：按照总结出的方案最佳实践，为儿童提供全面和长期的重返社会援助；国内流离失所的儿童权利，特别是受教育权和安全；与司法系统接触的儿童(无论是作为受害者和肇事者)权利；冲突与贫穷之间的关系，特别要结合千年发展目标指标；以及因冲突性质发生变化和儿童暴露于军事行动而造成的保护挑战。",
"65. 特别代表将继续与会员国、专家和学术界接触，以促进知识的积累、发展和完善，以便更好地了解在保护冲突中儿童方面新出现的挑战。",
"五. 儿童保护在联合国系统内的主流化",
"A. 联合国外地特派团的儿童保护工作",
"66. 特别代表的任务是帮助协调有关努力，促进关于受武装冲突影响的儿童困境的信息收集，因此，她的一个关键的优先事项是儿童保护在联合国系统内的主流化。在秘书处内，两个有外地存在的部门，即维持和平行动部和政治事务部已任命协调人，以确保将儿童保护问题纳入其部门的政策和业务活动，同时与特别代表办公室紧密合作。2011年，维持和平行动部的儿童保护协调人获得一个经常预算员额，从而可以向外地的儿童保护顾问提供专用的和持续的支持，并在总部实现儿童保护主流化。由于本报告中所述的在儿童保护方面日益增加的挑战，秘书处有关部门迫切需要一贯地注重对儿童的保护。特别代表鼓励秘书处的主要机构，包括政治事务部、人权高专办和建设和平支助办公室借鉴维持和平行动部的例子。",
"67. 维持和平行动部和外勤支助部关于儿童保护的政策指示制定于2009年，特别代表以前的报告(A/65/219)中曾加以概述，该指示为在维和行动中保护儿童的活动提供了指导，并有助于收集关于严重侵犯儿童行为的准确、客观、可靠和可核查的信息。政策指示定义了维和行动中的儿童保护人员的角色和责任，并为维持和平行动与联合国机构、基金和方案之间的分工和互补性提供了一个明确的框架。据预期，政策指示将在今后的报告周期中得到审查和更新。这一审查有可能提供一个机会，可借以考虑由维持和平行动部、外勤支助部和政治事务部联合出台一份适用于联合国所有外地特派团的儿童保护准则。在政治事务部管理的政治特派团以及各建设和平办事处实现儿童保护的主流化是至关重要的，因为这些特派团和办事处现在需要在冲突后的环境中和在复杂的从维持和平向建设和平过渡期间发挥更大的保护儿童作用。",
"68. 自儿童保护政策通过以来，维持和平行动部已经制定了一项政策实施计划，以促进在外地和总部儿童保护任务的持续和有系统实施。在计划中确定的关键优先事项包括加强维和人员的培训活动。在这方面，维和部与特别代表办公室、联合国儿童基金会和救助儿童会合作，以加强和完善部署前和任务中的培训方案和材料。",
"69. 大会通过关于儿童权利的第62/141号决议以及维持和平行动特别委员会，大力支持儿童保护顾问的部署及其作用的发挥。已经在7个外地特派团任命了儿童保护顾问。在这方面，值得注意的是，联合国维持和平特派团和政治特派团的大部分任务规定中现在包括儿童保护的内容。对儿童保护的承诺越来越多地体现在：通过第五委员会的工作，根据行政和预算问题咨询委员会的建议和在维持和平行动特别委员会支持下，大会为联合国外地行动批准的儿童保护员额及资源。特别代表赞赏大会为儿童保护在联合国活动中主流化提供的关键支持，并敦促一如既往予以支持。",
"B. 联合国系统内的儿童保护伙伴关系",
"70. 作为总部的儿童与武装冲突问题工作队主席，特别代表召集16个部门、机构、基金和方案，以便就关切的儿童保护问题和秘书长关于儿童与武装冲突的年度报告的编写进行谘商。这些谘商活动有助于确定在哪些领域需要进一步宣传，进行主流化和/或加强合作和协调。通过国家工作队，特别代表办公室继续支持外地的儿童保护努力，包括提供技术支持、以及培训、宣传和经费筹措。",
"71. 儿童基金会和特别代表办公室之间的密切合作伙伴关系在本报告所述期间继续维持。这种合作对全球一级和外地一级的儿童与武装冲突议程至关重要，双方的技术协调继续在下列方面产生效益：为外地提供指导、实施行动计划、以及加强外地保护儿童的能力。特别代表继续致力于向捐助国进行宣传，以确保这些行动计划和儿童基金会领导的重返社会方案在长期可持续资金来源方面得到必要的重视。",
"72. 也与秘书长负责暴力侵害儿童行为问题的特别代表就共同关心的问题进行经常的协调，包括联合开展普遍批准《儿童权利公约任择议定书》行动。",
"73. 特别代表办公室继续与负责武装冲突中性暴力问题的秘书长特别代表密切合作，以更好地防止对儿童的性暴力行为。在本报告所述期间，双方在技术层面上加强了合作，以确保两个办公室的活动相互补充。特别代表办公室的工作人员参加了维持和平行动部举办的一个关于该问题的讲习班，与冲突中的性暴力问题特别代表办公室、维持和平行动部和儿基会保持接触，参与制定给外地特派团和合作伙伴的性暴力问题指南。各部门商定，将由冲突中的性暴力问题特别代表在与性暴力有关的所有事项上，包括在酌情获得冲突各方的承诺方面牵头开展工作，并在涉及儿童的事项上与儿童与武装冲突问题特别代表办公室密切协商。若没有监测和报告框架以便性暴力冲突议程牵头，儿童与武装冲突问题特别代表则将继续倡导实施对儿童的性暴力问题行动计划。",
"六. 关于前进道路的建议",
"74. 特别代表敦促会员国、联合国各机构、基金和方案以及非政府组织加倍努力，实施1996年马谢尔研究报告和2007年该研究报告十年审查的建议中提出的全套保护和方案措施。在这方面，可参考特别代表2007年报告(A/62/228)的第二部分，其中包括在十年审查的结论基础上提出的建议。",
"75. 特别代表认识到各国在儿童保护方面的首要责任，敦促会员国加强有关政策和做法，以确保防止侵犯和虐待行为，并随时准备推动成员国之间分享这方面的最佳做法。",
"76. 特别代表重申她呼吁各国在批准《儿童权利公约关于儿童卷入武装冲突问题的任择议定书》后交存具有法律约束力的声明时，规定其允许自愿应征加入本国武装部队的最低年龄为18岁(根据第3条的规定)。",
"77. 特别代表呼吁各会员国制止有罪不罚现象并起诉和惩罚那些在武装冲突中犯有严重侵犯儿童行为的人。国际社会应酌情支持会员国发展其处理冲突局势中司法问题的能力。",
"78. 鉴于军事行动，特别是那些包含空中袭击(包括动用无人驾驶飞机和直升机的袭击)及夜袭对儿童造成的严重影响，特别代表欢迎多国部队努力采取和实施有关战术指示和标准作业程序，以尽量减少平民伤亡和对民用设施的破坏，并敦促所有多国部队和维持和平行动确保将适当的政策和程序落实到位，并对军事人员进行必要的培训。",
"79. 特别代表鼓励各会员国在对儿童进行审判时适用少年司法标准和正当程序保障措施，避免对儿童进行行政拘留或审前超期羁押。在可能的情况下，会员国应考虑免除18岁以下的儿童在与武装部队或武装团体有关系期间所犯罪行的刑事责任，因为他们的年龄尚幼、受人指挥而且是被强迫招募的。应引入非司法、恢复性的问责机制，以顾及儿童的最佳利益，并推动其重返社会。",
"80. 特别代表认识到，可持续长期的社会和经济融合是让儿童从武装冲突各方持久分离的基石，因此敦促捐助者按照《关于与武装部队或武装团体有关系的儿童的巴黎原则和导则》为重返社会提供持续和长期的支持，包括在教育、职业培训和创收活动领域酌情提供支持，并在财务方面支持行动计划的实施，以制止招募和使用、杀害、残害、暴力侵害和性暴力侵害儿童的行为，以及对学校和医院的袭击。",
"81. 特别代表鼓励会员国继续支持在联合国的活动中，包括在外地特派团和总部实现儿童保护主流化，并推动在维持和平和建设和平过程中酌情及时部署儿童保护顾问，并为此核准足够的资源。",
"82. 鼓励派遣军警人员的会员国将儿童保护模块纳入自己国家军队、警察和文职人员的部署前训练。",
"83. 特别代表鼓励所有有关的联合国机构和方案加强其保护儿童的能力，包括酌情在全球一级和外地一级动用的专用能力。",
"附件",
"建议在军事行动中采用的儿童保护标准作业程序",
"(a) 在任何军事行动之前，由军民联合进行人口，特别是儿童面临的安全风险评估；",
"(b) 应避免在人口稠密地区接战和/或使用重炮。在此情形中，将学校和医院作为“和平区”加以保护，是重中之重；",
"(c) 不得为可能将之变成军事目标的目的占用或使用学校和保健设施或其周边地带；",
"(d) 在行动后对包括儿童在内的平民所受影响进行系统评估；",
"(e) 为对据控在开展军事行动过程中军队人员对儿童犯下的罪行进行调查而实施一个立即反应的和透明的框架。关于调查进展和结果的报告应予以公布，并应酌情及时对肇事者采取惩戒措施；",
"(f) 应建立一个框架，以确保就在导致儿童遭杀害和/或残害或性暴力的军事行动中犯下的侵犯人权行为，对受害儿童及其家庭提供赔偿和/或补偿；",
"(g) 制定有关程序，以便接收、处理并向联合国儿童保护行动者迅速移交在军事行动中从武装团体分离出的儿童；",
"(h) 在武装部队内任命一名儿童与武装冲突问题协调人，以就上述所有步骤进行后续。",
"[1] ^(*) A/66/150。",
"[2] United Nations Educational, Scientific and Cultural Organization, The Hidden Crisis: Armed Conflict and Education (Paris, 2011)。"
] | [
"Sixty-sixth session",
"Item 65 (a) of the provisional agenda*",
"Promotion and protection of the rights of children:",
"promotion and protection of the rights of children",
"Report of the Special Representative of the Secretary-General for Children and Armed Conflict",
"Summary The present report is submitted pursuant to General Assemblyresolution 51/77 and subsequent resolutions on the rights of thechild, the most recent of which is resolution 64/146. In resolution64/146, the Assembly requested the Special Representative of theSecretary-General for Children and Armed Conflict to submit a reportto the General Assembly containing information on her field visits,on the progress achieved and the challenges remaining on the childrenand armed conflict agenda. The present report covers the period from August 2010 to August 2011and provides an overview of progress in the children and armedconflict agenda, followed by an account of the trends and remainingchallenges faced. Section II details progress made over the pastyear, including on awareness-raising, partnership building,information collection and the release of children from armed forcesand groups. Section III highlights remaining challenges in thecontext of the changing nature of conflict and outlines otheremerging issues of concern. Section IV describes the way forward interms of ending violations committed against children. Section Vdescribes actions taken to mainstream the children and armed conflictagenda within the United Nations system Section VI presents a set ofactionable recommendations on the protection of children affected byconflict for the attention of the General Assembly. \nThe annex to the report sets out suggested standard operatingprocedures outlining minimum measures that may be put in place bynational armed forces, as well as multinational and peacekeepingforces, to ensure the protection of children in the course ofmilitary operations.",
"* A/66/150.",
"I. Introduction",
"1. The present report is submitted to the General Assembly pursuant to resolution 51/77 and subsequent resolutions on the rights of the child, the most recent of which is resolution 64/146. The report covers the period from August 2010 to August 2011 and highlights progress made over the past year, current trends and challenges, the way forward on ending grave violations against children in armed conflict and child protection mainstreaming in the United Nations system. The report ends with recommendations aimed at enhancing the protection of children affected by conflict.",
"II. Children and armed conflict agenda: overview of progress",
"A. Raising global awareness",
"2. Raising awareness and promoting the collection of information on the plight of children affected by armed conflict is a core aspect of the mandate given to the Special Representative of the Secretary-General for Children and Armed Conflict by the General Assembly. A multipronged approach to awareness-raising has been undertaken by the Office of the Special Representative during the reporting period.",
"3. The Special Representative has continued to submit reports on the situation of children and armed conflict to the General Assembly and the Human Rights Council. In addition, the Office of the Special Representative has served as the Secretariat entity charged with the preparation, in close consultation with United Nations partners and country task forces, of the Secretary-General’s annual and country-specific reports on children and armed conflict to the Security Council. These reports provide a platform for advocacy and an authoritative and regular account of the progress made and challenges faced with regard to the protection of children in concrete country situations.",
"4. The Office of the Special Representative supports the development of policy through the preparation and distribution of literature that contributes to policy discussions. Working papers on key aspects of child protection, such as the 2010 paper on internally displaced children, build knowledge and understanding of “grey areas” in the subject by distilling academic and policy experience and supporting advocacy efforts. In addition, together with the United Nations Children’s Fund (UNICEF) and other key United Nations partners, the Office of the Special Representative has produced a broad range of guidelines for the field, including guidance and templates for use by field-based United Nations partners in the development of action plans to halt sexual violence and the killing and maiming of children.",
"5. The Special Representative, in her role as global advocate for children affected by armed conflict, has continued to serve as an independent moral voice for such children. Through field trips, outreach and use of traditional and social media, the Special Representative has managed to relay the concerns of children in conflict areas, mobilize solidarity with children affected by armed conflict and maintain a sense of urgency amongst key decision makers. In addition, during the reporting period her Office organized nine events to raise awareness and knowledge related to children and armed conflict.",
"6. The Special Representative’s emphasis on field missions continues to be central to her advocacy efforts. Field visits enable first-hand assessments of the situation of children, engagement with Governments to support their efforts in protecting children, the securing of concrete commitments from parties to conflict on child protection and support for the implementation of monitoring and reporting activities, and dialogue with relevant parties. During the reporting period and upon the invitation of the Governments concerned, the Special Representative undertook field visits to Somalia (November 2010), Afghanistan (January 2011), the Philippines (April 2011), and Chad (June 2011).",
"B. Building global partnerships",
"7. In line with the mandate given to the Special Representative by the General Assembly, building global partnerships and a network of stakeholders is indispensable to enhancing protection. Playing a convening role, the Special Representative brings together those with stakes in the protection of children affected by armed conflict and acts as a bridge between all parties.",
"8. Maintaining close contact with members of the General Assembly in order to create awareness, take stock of their priorities and strengthen global support for the protection of children affected by armed conflict has been a key priority for the Special Representative. The Group of Friends of Children and Armed Conflict, composed of Member States from all regional groups committed to the child protection agenda, has been critical for this engagement.",
"9. Continuing consultations with Member States, particularly during the preparation of the Secretary-General’s annual and country-specific reports on children and armed conflict, are essential to ensure that the concerns of Member States are taken into account in the drafting of the reports. Going forward, the Special Representative aims to continue this critical dialogue with concerned Member States, in order to strengthen collaboration and ensure buy-in and commitment to the protection of children.",
"10. Civil society organizations are fundamental to the work of the Office of the Special Representative. They inform the Office of emerging matters of concern, provide innovative suggestions on policy questions and challenges and alert the Office to areas in need of improvement, when necessary. The Special Representative works closely with non-governmental organizations (NGOs) operating at the global and national levels and holds regular meetings with civil society representatives to brainstorm, discuss areas of common concern and keep them abreast of developments on the agenda. Concerted advocacy efforts on specific country situations during the reporting period, including on the situation of children affected by conflict in the Central African Republic, have led to a closer partnership with the authorities, increased international attention and operational commitments by child protection partners on the ground.",
"C. Collection of information on children affected by armed conflict",
"11. With the establishment of the monitoring and reporting mechanism on children and armed conflict in 2005 pursuant to Security Council resolution 1612 (2005) and its subsequent implementation in various countries, efforts to gather timely and reliable information on grave violations against children have borne fruit. The creation of country task forces on the monitoring and reporting of grave violations against children, under the leadership of the highest United Nations authority on the ground, has strengthened United Nations data-gathering capacities and improved the collection and flow of accurate information on six grave violations. This comprehensive framework of information collection contributes to a better understanding of the issue of children and armed conflict and to a greater range of appropriate responses from Headquarters and agencies and programmes in the field. To date, the monitoring and reporting mechanism has been successfully implemented in 15 country situations.",
"12. As a result of information collection efforts on behalf of the Secretary-General, the Office of the Special Representative has, during the reporting period, prepared six country-specific reports, on the situation of children and armed conflict in Afghanistan, Chad, the Central African Republic, Iraq, the Sudan and Somalia, in consultation with relevant partners. These reports raise the profile of the children and armed conflict agenda and, through their dissemination, provide a solid information base for response by national and international child protection partners and civil society, while providing data for the academic community.",
"D. Release of children from armed forces and groups",
"13. The 1996 Graça Machel study on the impact of armed conflict on children (A/51/306 and Add.1) highlighted the recruitment and use of children by armed forces and groups as an alarming characteristic of contemporary conflict and one which constitutes a grave violation. Since then, through advocacy and the focused efforts of national and international child protection partners, numerous children have been separated from armed forces and groups. In 2010, 11,393 children (8,624 male and 2,769 female) benefited from reintegration assistance supported by United Nations agencies, funds and programmes (see A/65/741, para. 16).",
"14. Marrying advocacy with practical commitment to halt the recruitment and use of children in armed conflict, action plans requested by the Security Council in, inter alia, resolution 1539 (2004), also respond to General Assembly resolution 64/146, in which Member States called on all parties to conflict to take time-bound and effective measures to end all violations and abuses against children. Action plans to end grave violations against children signal a widespread acknowledgement that the impact of armed conflict on children is an affront not only to human rights and development, but also to the peace and security agenda of the United Nations.",
"15. To date, action plans to halt the recruitment and use of children in armed conflict have been signed with 15 State and non-State parties in 8 countries: Afghanistan, Chad, Côte d’Ivoire, Nepal, the Philippines, Sri Lanka, the Sudan and Uganda. During the reporting period, the Afghan and Chadian security forces signed action plans to release children present in their units and put in place the legal safeguards and practical protocols necessary to prevent the recruitment and use of children. Six action plans have been successfully completed to date. The Office of the Special Representative, together with key United Nations partners, including UNICEF and the International Labour Organization (ILO), supports advocacy for the signature of action plans and provides technical support and guidance for their preparation and implementation.",
"16. The durable separation of children from armed forces and groups is a complex process that requires appropriate security safeguards, support from child protection partners and the existence of economic as well as social reintegration opportunities. In line with the Paris Principles and Guidelines on Children associated with Armed Forces or Armed Groups, the experience of operational partners has shown that reintegration assistance to children must be tailored to their specific needs. As such, the needs of younger children are different to those of working age (15-17 depending on national legislation). While for younger children reintegration assistance should emphasize schooling combined, where appropriate, with economic assistance to the family, older children usually require vocational training or apprenticeships, which would enable a transition to employment. The Office of the Special Representative, through the Inter-Agency Working Group on Disarmament, Demobilization and Reintegration, co-chaired by the Department of Peacekeeping Operations and the United Nations Development Programme (UNDP), will continue to contribute to policy and guidance development on child disarmament, demobilization and reintegration and to conduct advocacy for the implementation and mainstreaming of such guidance.",
"E. Enhancing the legal and normative framework for children and armed conflict",
"17. During the reporting period, the Special Representative worked towards the strengthening of the legal and normative framework for the protection of children, including through the implementation of the campaign for the universal ratification of the Optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict. The campaign, Zero Under 18, has been conducted in cooperation with UNICEF, the Office of the Special Representative of the Secretary-General for Violence against Children, and the Office of the United Nations High Commissioner for Human Rights (OHCHR). The Optional Protocol, adopted in 2000, prohibits the forced recruitment of children under the age of 18 by armed forces and armed groups and their direct participation in hostilities.",
"18. The Special Representative has conducted outreach activities with 34 Member States that are not party to the Optional Protocol and briefed several regional organizations, including the Caribbean Community (CARICOM) and the Organization of Islamic Cooperation (OIC). The Office of the Special Representative organized a treaty signing event during the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals in September 2010 and held a forum in New York on the occasion of the first anniversary of the campaign in May 2010. During a seminar organized by the United Nations Institute for Training and Research, the Office provided technical advice to Member States on the ratification process.",
"19. Since the launch of the campaign in May 2010, 12 treaty actions have been taken: three Member States have signed the Optional Protocol (Central African Republic, Ethiopia and Iran (Islamic Republic of)), five have ratified it (Cyprus, Djibouti, Gabon, Malawi and Seychelles) and five have acceded to it (Congo, Georgia, Guyana, St. Vincent and the Grenadines and Saudi Arabia). To date, the Optional Protocol has been ratified by 142 States.",
"20. The Special Representative continues to encourage Member States to become party to other relevant treaties, including ILO Convention No. 182 (1999) concerning the prohibition and immediate action for the elimination of the worst forms of child labour, which defines child recruitment as one of the worst forms of child labour, as well as the African Charter of the Rights and Welfare of the Child (1999), which prohibits child recruitment and upholds the fundamental rights of children.",
"III. Children and armed conflict: trends and challenges",
"A. The changing nature of conflict",
"1. Use of children as instruments of violence in conflict",
"21. Of growing concern is the use of children — sometimes unbeknownst to them — to carry or wear explosives. The reporting period has seen a steady increase in the number of girls and boys being used by armed groups for such purposes. These children, sometimes as young as eight, are often unaware of the actions or consequences of the acts they are instigated to commit. Such acts often lead to their own death and the killing of civilians, including other children.",
"22. Little is known of the strategies used by armed actors to access children for these acts of violence. However, anecdotal evidence suggests that families are forced to hand over their children to take part in these actions, and there have also been cases of poor families being induced by armed groups to give their children away, through the promise of money. The use of very young children and/or disabled children for such acts is also a horrifying trend of grave concern. There is an urgent need to fill the knowledge gap and to reach a better understanding of how these acts could be prevented. Concomitantly, there is a need to better address the stigmatization of, and prejudice against, children suspected of collaboration with armed actors, which lead to other violations including beatings, threats to children and their families, acts tantamount to torture, arbitrary arrests and detentions. In this context, particular attention must be given to young children, girls and disabled children.",
"2. Protection of children during military operations",
"23. In her last report, the Special Representative emphasized the risks for children during the course of military operations and the need to put in place specific policies and procedures, including tactical directives and standard operating procedures, in order to uphold international humanitarian law and prevent violations against children. New instruments of war, including the use of new technologies, the absence of clear battlefields and identifiable opponents have led to greater risks to children during military operations. The use of aerial attacks, including by drone, and night raids should be reviewed as a matter of priority by all armed actors, in order to minimize incidental loss of civilian life, injury to civilians and damage to civilian objects.",
"24. The safety and security of children is critical to the legitimacy and credibility of any military activity. This is even more important in the context of peacekeeping or stabilization operations, where consent for the foreign presence is paramount to the success of the mission. The rules of engagement of armed forces must stipulate the protection of civilians as a foremost consideration in military operations, including in the context of counter-insurgency activities. The principles of proportionality and distinction must be upheld in today’s conflict settings by all armed actors; it is only through respect for these principles that the victimization of children can be avoided.",
"25. The Special Representative reiterates her call for the development of directives and standard operating procedures to ensure that military operations are conducted in conformity with applicable international humanitarian law and safeguard the protection of civilians, including children. During the reporting period, standard operating procedures have been developed by the Ugandan army, with the support of the Office of the Special Representative, to ensure the protection of children captured by, or in the custody of, the armed forces during operations against the Lord’s Resistance Army (LRA). The Special Representative reiterates her call to all relevant military actors, including armed forces, multinational forces and peacekeeping operations, to implement as a matter of priority the minimum set of measures highlighted in the annex to the present report.",
"3. Detention and prosecution of children associated with armed groups",
"26. States are increasingly arresting and detaining children for alleged association with armed groups. Children who are captured and placed in detention are sometimes kept in conditions which do not meet the minimum standards set out in various international legal instruments.",
"27. In some situations, States place children in administrative detention, rather than charging them with a criminal offence and bringing them before a court. These children are often detained for long periods without being granted access to a lawyer and without other legal safeguards being applied. Evidence abounds that, when deprived of their liberty, children are particularly vulnerable to human rights abuses, including degrading and inhuman treatment and/or acts tantamount to torture.",
"28. In other situations, States charge children for allegedly having committed acts during their association with an armed group that are regarded as crimes under national or international law. These children sometimes languish in prolonged pretrial detention without access to legal assistance. In addition, trials before national courts or military tribunals do not generally apply juvenile justice standards and due process safeguards. As a result, children are frequently tried without legal representation or assistance, are not accompanied by their parents or a legal guardian and do not have a clear understanding of the charges brought against them.",
"29. Given the often forced nature of their association with armed groups, and considering their age, children should be treated primarily as victims, not as perpetrators. Emphasis should be placed on prosecuting individuals based on the concept of command responsibility. States should also prosecute adult recruiters and commanders not only for the crime of child recruitment, but also for other crimes they may have forced children to commit.",
"30. The detention and prosecution of children for crimes arising from active participation in hostilities should always be a measure of last resort. Many children who are charged with such crimes may themselves have been forced or enticed to join armed groups. During their association with an armed group, children are often abused, beaten, exploited and manipulated by commanders to commit criminal acts, ranging from minor security offences to war crimes. Although the need for some form of formal accountability is acknowledged, diversion from the judicial system is more suitable for children. Alternatives that take the best interest of the child into consideration and promote the reintegration of the child into his or her family and community include non-judicial mechanisms such as restorative justice measures, truth-telling, traditional healing ceremonies and reintegration programmes.",
"31. The Convention on the Rights of the Child requires that States seek alternatives to judicial proceedings for children at the national level and that any solution needs to take into account “the child’s assuming of a constructive role in society.” For children, understanding and acknowledging a past wrongdoing plays a crucial role in their psychosocial development and reintegration process. Accountability based on restorative approaches contributes to a child’s rehabilitation and reconciliation with his or her community.",
"32. The Office of the Special Representative is finalizing a working paper which will explore the issue of the responsibility and accountability of children who have committed criminal acts during armed conflict and the alternatives that can be used to assist children in reintegrating into society. The purpose will be to bring conceptual clarity to the issue by examining the international legal framework related to the detention of children; the treatment and rights of children in detention; and the protection of children who are subject to prosecution and trial. It will also discuss other, non-judicial justice mechanisms with more rehabilitative functions.",
"B. Child protection and security sector reform",
"33. In recent years, at the request of Governments or the Security Council, United Nations bodies have played an increasing role in assisting national actors in their efforts to develop accountable and effective security institutions on the basis of non-discrimination, respect for human rights and the rule of law. Support has ranged from facilitating discussions on security arrangements as part of wider negotiations between parties to a prospective peace agreement, to technical advice on and/or support for the implementation of security sector reform plans. In this context, child protection considerations are central to efforts to build rights-based, accountable security systems.",
"34. The security needs of marginalized or socially excluded groups, particularly those of children and women, should be taken into account when developing plans for security sector reform. Security institutions should integrate the protection of children as a priority area of their mandates; threats to children have often been overlooked, resulting in the exposure of children to grave violations, both in conflict and peacetime. In countries such as the Sudan and South Sudan, the establishment of specialized child protection units in the armed forces has gone a long way to ensuring timely response to cases of violations against children and has helped raise awareness of child rights and welfare among the security forces more widely. Such positive initiatives should be replicated elsewhere. In addition, in order to prevent mobilization of children, recruitment protocols must ensure rigorous age verification: civil registry records, when incomplete or inaccurate, must be supplemented by other procedures to ascertain age.",
"35. Where armed forces and groups are merged, or demobilized and reintegrated as part of a peace agreement, there is a need to ensure, as a first step in any security sector reform process, that children who may be associated with the parties are separated. The initial stage in such situations is often the registration of combatants. Measures must be systematically put in place to effect age verification or, where reliable State-managed data on birth dates are not available, to establish a solid method of for age determination. However, separating children from armed forces and groups should not be dependent on security sector reform plans. Recruitment and use of children in armed conflict is a violation of international law; there is a normative imperative for children to be identified and separated, inter alia in the context of the action plans mentioned earlier.",
"36. Awareness-raising and training on child protection is critical to strengthening accountability and respect for human rights within the security forces. Such training must be administered to all actors in the security sector and should cover the international and national normative framework and its application, as well as the care and treatment of children in conflict with the law.",
"37. Ultimately, ensuring that security institutions uphold and practice child protection is a long-term endeavour, requiring dedicated and focused efforts on the part of national actors: the Government, legislative bodies, the judiciary and civil society. It is through a partnership between national actors, with international support, that child protection can be mainstreamed into the security sector.",
"C. Protecting education in armed conflict",
"38. In her previous reports, the Special Representative has consistently noted with concern the increasing trend of attacks on education. Such acts include the partial or total destruction of schools and other education facilities and threatened or actual targeting of education personnel. Attacks on education undermine the establishment of a protective environment for children and their chances for a better future. In addition, violent attacks on girls and targeted attacks on their education undermine their role in society and prevent them from exercising their rights.",
"39. The reporting period has seen progress in terms of protective measures for education and the rights of children to education. Greater international attention led to the creation in 2010 of the Global Coalition to Protect Education from Attack, composed of United Nations agencies and NGOs. It has helped prevent attacks on education; develop effective response to attacks; improve knowledge, monitoring and reporting; and advocate for international norms and standards and increased accountability. In March 2011, the United Nations Educational, Scientific and Cultural Organization (UNESCO) published an innovative report highlighting the impact of armed conflict on education.[1] The Special Representative welcomes these initiatives and looks forward to working closely with the Global Coalition, UNESCO and other concerned partners to enhance protection from attacks on education.",
"40. Following the adoption by the General Assembly of its groundbreaking resolution 64/290 on the right to education in emergency situations, the Security Council also strengthened its efforts on this matter. In July 2011, the Security Council adopted resolution 1998 (2011), expanding the listing in the annexes to the annual reports of the Secretary-General on children and armed conflict to perpetrators of recurrent attacks against schools and recurrent attacks or threats of attacks against protected personnel in relation to such facilities. The Special Representative commends the focused attention of the General Assembly and the Security Council on the right of children to access education and urges Member States, together with other child protection partners, to implement the decisions of both bodies.",
"D. Cross-border efforts to protect children affected by conflict",
"41. With the flow of civilians and combatants across borders, the regional aspects of conflicts have brought new challenges to the safety, security and protection of children. The activities across borders by armed groups such as the LRA, operating over vast stretches of the central African hinterland, have proven difficult to follow, and as a result the threat posed by them has been concomitantly difficult to contain. Two aspects are worthy of note with regard to the operational response to the challenges posed by cross-border threats.",
"42. First, there is a need to ensure a well-coordinated monitoring and reporting mechanism, which is able to pull the various country-specific strands of information together in order to develop a comprehensive view of the trends and patterns of violations perpetrated by armed groups. This is critical in order to ensure that appropriate practical measures are taken to protect civilians in affected areas. For instance, during the reporting period, with the support of the Office of the Special Representative, UNICEF enhanced its capacity to facilitate coordination and information-sharing on LRA between child protection teams in the Central African Republic, the Democratic Republic of the Congo, the Sudan and Uganda.",
"43. Secondly, the reintegration of children formerly associated with armed forces and groups often involves a repatriation component, where the child, operating alongside the armed force or group on foreign soil, returns to his or her country of origin for reintegration into civilian life. In such cases, close contact and coordination between national authorities and child protection partners is essential.",
"IV. Ending violations and abuses against children in conflict",
"A. Root causes",
"44. Efforts to end violations and abuses against children during conflict must stem from a thorough understanding of the structural causes of conflict and the circumstances that give rise to these violations and abuses. Poverty, discrimination, environmental degradation, social and economic marginalization and inequity are some of the factors that create the conditions for children to be associated with armed forces or groups, forcibly or voluntarily.",
"45. Research has demonstrated a strong correlation between poverty and violent conflict, as well as between violent conflict and poor human development indicators. Millennium Development Goal indicators reveal that countries in situations of armed conflict account for one third of those living in extreme poverty, half of the children with no access to primary education and half of the children who die before their fifth birthday. While not all poor children in conflict situations become soldiers, poverty is an important motivating factor for children to join armed forces and groups. In some areas, poverty means a lack of access to education and other basic social services and few opportunities for employment and income generation. Children, often with the encouragement of parents and the incitement of armed actors, become combatants in the hope that they will be well fed, housed and protected.",
"46. Perceptions of discrimination, social injustice, political exclusion and economic disparity are often motivating factors for children to join armed groups. Compounded with collective identity, defined often in ethnic, regional or religious terms, these perceptions become potent mobilizers of communities, including children. Loyalty to the group sometimes becomes a bargaining tool for armed groups, and members of the community are called upon to play their part and contribute their children to the struggle. Children are susceptible to these demands, not only as a result of social pressure or a sense of obligation, but also as a consequence of personal injustices suffered. When crimes against children are committed with impunity, many join armed groups motivated by a desire for revenge.",
"47. The weak writ of the State, particularly in peripheral areas, is another contributing factor to conflict and has played a role in exposing children to violence. Where the State is challenged in its ability to provide security, deliver basic social services, adjudicate on grievances and facilitate economic activity, local communities turn to alternative forms of authority. Traditional governance structures and/or justice mechanisms, may take precedence over weak statutory institutions. However, traditional governance structures are often not underpinned by the normative standards and protection mechanisms facilitated by the State. Where conflict is occurring, local communities also often form self-defence groups and frequently enlist young children in the community to fight and defend them against external threats.",
"48. In some societies, protracted violent conflict becomes an end in itself, with a political economy driven by the logic of economic gain and political compromise. In such contexts, children are socialized to accept war as the norm, not the exception, and to seek advancement in the structures it creates. Military commanders become role models for children and the military ethos becomes part of everyday life. Joining an armed group may facilitate social mobility, with access to resources and the ability to wield power and influence in the territory under the control of the armed group. In such situations of chronic conflict, joining an armed group may be seen by children as a legitimate avenue of advancement in a society that offers them few other options.",
"49. The above are some of the key factors which create an environment that is conducive to children being caught up in conflict. Without addressing the conditions which create conflict at the strategic level, children will continue to be victimized by armed conflict. In this regard, as called for by the General Assembly in its resolution 63/241, States must “enhance complementarity and coordination of national policies and strategies related to security, development, human rights and humanitarian issues, with a view to addressing the short-, medium- and long-term impact of armed conflict on children in an effective, sustainable and comprehensive manner”. The United Nations system and the international community more widely must support the efforts of Governments in building societies that are resilient during conflict, including by contributing to economic development and equity, while supporting initiatives to strengthen social justice and accountability.",
"B. Prevention of violations and abuses against children",
"50. At the strategic level, clearly the most effective way of protecting children from the scourge of war is by mitigating the outbreak of armed conflict. Conflict prevention means addressing the root causes of violence and promoting sustainable and equitable human development. As identified in the Machel study and the 2007 10-year review of that study (see A/62/228), sustainable conflict prevention and peacebuilding require going beyond political settlements and strengthening the key vectors of peace, including good governance; the creation of an accountable, legitimate and rule-based security sector; an independent and effective judicial system; the delivery of basic social services; and the creation of an economic environment conducive to employment and wealth creation.",
"51. Studies suggest that there is a strong correlation between a disproportionately large youth population and civil strife. While demographics alone do not instigate conflict, systematically engaging and targeting young people as the beneficiaries of development programmes, particularly in countries with a youth bulge, could mitigate the risk. The need to promote youth employment and the development of skills among young people during peacetime and in post-conflict periods must be an important component of reconstruction and development strategies.",
"52. The above are broad and long-term measures that States affected by conflict must address progressively, with the sustained support of the international community. A number of more direct protective steps may be taken by national actors, with international support. During conflict, the creation of child protection networks may assist in helping communities to better protect their children. These networks alert the community to threats or violations and can help develop a community-based response to the consequences of violence. They can also help prevent abuses by raising awareness and forging linkages with entities that can provide protection. Being able to rely on a network of support makes children feel more secure and provides a mechanism for assistance when violations or abuses are committed against them.",
"53. At the start of any conflict, community leaders should be persuaded to make a special effort to negotiate with parties to ensure that schools are designated as “zones of peace” and are not the targets of attacks or use by military forces or armed groups. In this way, children will be free to pursue their education without abuse or violence. Community-based action to protect schools is another way in which to ensure that children are safe. Maintaining a degree of normalcy in the lives of children during conflict, through the continuation of schooling, sustains their development, while protecting them from recruitment by armed actors.",
"C. Addressing accountability at the global level",
"54. Since the 1996 Machel study, the international community has made significant progress in strengthening the legal framework for the protection of children in armed conflict and in bringing perpetrators to justice. Violations against children have been addressed by the International Criminal Court, the International Criminal Tribunals for the former Yugoslavia and for Rwanda and the Special Court for Sierra Leone. These international and hybrid courts, along with mixed chambers such as those established in Bosnia and Herzegovina, have been critical in complementing national justice mechanisms in addressing crimes against children.",
"55. It must be emphasized that international efforts alone cannot achieve durable results in the fight against impunity. Sustained accountability for crimes committed can only be reached through the ownership of the people and justice system of the nation concerned, in conformity with international standards. In societies emerging from conflict, where State institutions and the social fabric have been weakened by war, the international community has an important role to play in supporting national efforts to strengthen the justice sector and the rule of law more broadly. Developing the capacity of societies to deal with violations through an effective justice system is the only way to ensure that justice will be sustainable.",
"56. The international community should also support reparations mechanisms in countries emerging from armed conflict. Reparations are a way of providing social justice in post-conflict societies, and are an effective additional accountability mechanism. This is particularly the case in areas where access to justice and redress through the courts is difficult or not possible because of a weak judicial system or a lack of confidence in the judiciary, where the identity of perpetrators are unknown, or where, for political reasons, perpetrators of human rights abuses are exempted from judicial accountability processes.",
"D. The need for a protection dialogue",
"57. In its resolution 64/146, the General Assembly called on States and other parties to armed conflict that engage in violations and abuses against children in contravention of applicable international law to take time-bound and effective measures to end such practices. The delivery of protection and assistance to child victims of violations and abuses in armed conflict by States, together with United Nations entities, civil society and regional organizations, necessitates a dialogue among all partners involved, in order to ensure coordination and the establishment of appropriate response mechanisms. Partnerships with Governments are critical in ending grave violations against children. In this regard, inter-ministerial committees composed of relevant Government entities can serve as effective forums for coordination and dialogue with United Nations counterparts.",
"58. Where relevant and possible, dialogue with non-State actors may take place in the context of peace processes. However, working closely with the relevant Governments, dialogue on the establishment of time-bound and effective measures to protect child victims — including action plans to halt particular violations — should be explored regardless of the status of political discussions. Contexts vary and experience has shown that innovation is a key ingredient for effective protection measures to be put in place. In the absence of a peace process Governments, as the primary duty-bearers for the protection of children, should work in partnership with the United Nations to ensure that time-bound and effective measures, including action plans, are put in place by all parties.",
"E. Targeted and graduated measures",
"59. Efforts to strengthen the links between the work of the Security Council on children and armed conflict and its sanctions regime is an area of ongoing work. Targeted and graduated sanctions should be applied against persistent perpetrators as a measure of last resort, when all other means have failed to end impunity for crimes committed against children. In its most recent resolution on children and armed conflict (resolution 1998 (2011)), the Security Council reaffirmed its readiness, expressed in previous resolutions and presidential statements, to adopt targeted and graduated measures against persistent perpetrators of grave violations against children, and increasingly to integrate violations against children into its sanctions regimes.",
"60. In response, in May of this year, the Special Representative briefed the Security Council Committee pursuant to resolutions 751 (1992) and 1907 (2009) concerning Somalia and Eritrea, proposing the addition of grave violations against children as designation criteria for sanctions. The Security Council, by its resolution 2002 (2011), expanded the sanctions regime in Somalia to include grave violations against children in armed conflict in its designation criteria. Closer collaboration between the Security Council Committee pursuant to resolutions 751 (1992) and 1907 (2009) concerning Somalia and Eritrea and the Security Council Working Group on Children and Armed Conflict will enhance coherence in the work of the Council and strengthen its actions against impunity. Going forward, it will be critical to expand this practice to other sanctions committees which address persistent perpetrators of grave violations against children.",
"F. Role of Governments in protecting children affected by conflict",
"61. Governments bear the primary responsibility for the protection of children and, more widely, of civilians. A number of steps must be taken to build a protective environment for children, before, during and after conflict. Foremost is the establishment of a national legal framework enshrining international norms that upholds the rights of children and protects them from the consequences of conflict. In this regard, the ratification and subsequent implementation of the Convention on the Rights of the Child, inter alia through translation into national legislation, followed by the necessary administrative, budgetary and social policy adjustments, is a key foundational step towards the protection of children. Further child-specific legal instruments, such as child protection codes or acts, which include a gamut of measures from juvenile justice to punitive measures against violations and abuses of child rights, have provided an additional layer of legal protection in States affected by conflict.",
"62. Where societies are emerging from conflict, transitional justice mechanisms should be put in place by national authorities to ensure that wartime crimes against children are accounted for. Transitional justice mechanisms based on judicial processes may be complemented by non-judicial accountability mechanisms. These mechanisms, which can include truth-seeking and restorative approaches, can provide the cathartic effect required for reconciliation and are appropriate for child perpetrators who, as children, should be spared from prosecution. The recently passed Victims Law in Colombia, for example, is a laudable initiative aiming at ensuring that child victims of violations and abuses during conflict receive reparations from the Government.",
"G. Advocacy",
"63. With significant challenges remaining to the protection of children affected by conflict, advocacy is critical in developing awareness and instigating behaviour change with a view to ultimately ending grave violations against children in conflict. The Special Representative’s advocacy efforts will continue to highlight key issues of concern with a view to creating greater political and donor support for Governments and operational partners working on the protection of children affected by conflict.",
"64. Advocacy efforts will focus on a number of key priority areas. These include the delivery of comprehensive and long-term reintegration assistance for children, based on identified programmatic best practice; the rights of internally displaced children, particularly with regard to access to education and security; the rights of children in contact with justice systems, both as victims and perpetrators; the relationship between conflict and poverty, with particular reference to Millennium Development Goal indicators; and the protection challenges raised by the changing nature of conflict and the exposure of children to military operations.",
"65. The Special Representative will continue to engage with Member States, experts and the academic community to foster greater knowledge and develop and refine knowledge and understanding of emerging challenges to the protection of children in conflict.",
"V. Mainstreaming child protection within the United Nations system",
"A. Child protection in United Nations field missions",
"66. A key priority for the Special Representative has been the mainstreaming of child protection expertise within the United Nations system, in line with her mandate to contribute to the coordination of efforts and to promote the collection of information on the plight of children affected by armed conflict. Within the Secretariat, the Department of Peacekeeping Operations and the Department of Political Affairs, two departments with a field presence, have appointed focal points to ensure that child protection concerns are factored into their departmental policy and operational activities, while working closely with the Office of the Special Representative. In 2011, the Department of Peacekeeping Operations obtained a regular post for the child protection focal point, enabling the provision of dedicated and sustained support to field-based child protection advisers and the mainstreaming of child protection at Headquarters. Given the increasing child protection challenges as outlined in the present report, there is a critical need for a consistent focus on child protection within relevant departments of the Secretariat. The Special Representative encourages key Secretariat bodies, including the Department of Political Affairs, OHCHR and the Peacebuilding Support Office to follow the example of the Department of Peacekeeping Operations.",
"67. The Department of Peacekeeping Operations-Department of Field Support child protection policy directive, established in 2009 and outlined in the previous report of the Special Representative (A/65/219) , has guided child protection activities in peacekeeping operations and contributed to the collection of accurate, objective, reliable and verifiable information on grave violations against children. The policy directive defines the roles and responsibilities of child protection personnel in peacekeeping operations and provides a clear framework for the division of labour and complementarity between peacekeeping operations and United Nations agencies, funds and programmes. It is expected that the policy directive will be reviewed and updated during the next reporting cycle. This review may constitute an opportunity to consider the development of joint child protection guidance by the Department of Peacekeeping Operations, the Department of Field Support and the Department of Political Affairs, applicable to all United Nations field missions. Mainstreaming child protection in special political missions and peacebuilding offices managed by the Department of Political Affairs is critical, as they are called to play an increasing child protection role in post-conflict environments and during the complex transition from peacekeeping to peacebuilding.",
"68. Since the adoption of the child protection policy, the Department of Peacekeeping Operations has developed a policy implementation plan to facilitate sustained and systematic implementation of the child protection mandate in the field and at Headquarters. Among the key priorities identified in the plan is the strengthening of training activities for peacekeeping personnel. In this regard, the Department is partnering with the Office of the Special Representative, UNICEF and Save the Children to strengthen and develop predeployment and in-mission training programmes and material.",
"69. The support of the General Assembly for the deployment and role of child protection advisers has been significant, including through resolution 62/141 on the rights of the child and the Special Committee on Peacekeeping Operations. Child protection advisers have been appointed in seven field missions. In this regard, it is notable that most mandates for United Nations peacekeeping and political missions now include a child protection dimension. The commitment to protect children has increasingly been reflected in the child protection staffing and resources approved by the General Assembly for United Nations field operations, through the work of the Fifth Committee, with the advice of the Advisory Committee on Administrative and Budgetary Questions and support of the Special Committee on Peacekeeping Operations. The Special Representative appreciates the critical support provided by the General Assembly to the mainstreaming of child protection in United Nations activities and urges continued support for the same.",
"B. Partnerships on child protection in the United Nations system",
"70. As chair of the Headquarters Task Force on Children and Armed Conflict, the Special Representative convenes 16 departments, agencies, funds and programmes in order to consult on child protection issues of concern and the preparation of the annual report of the Secretary-General on children and armed conflict. These encounters help identify areas requiring further advocacy, mainstreaming and/or increased cooperation and coordination. Through the country task forces, the Office of the Special Representative has continued to support field-based child protection efforts, including through the provision of technical support, as well as support for training, advocacy and fund-raising.",
"71. The close partnership between UNICEF and the Office of the Special Representative continued during the reporting period. This cooperation has been critical for the children and armed conflict agenda, at both the global and field levels, and technical coordination continues to bear fruit in terms of guidance for the field, the implementation of action plans and the strengthening of child protection capacities in the field. The Special Representative remains committed to advocating with donor countries to ensure that these action plans and reintegration programmes led by UNICEF receive the necessary attention in terms of long-term sustainable funding.",
"72. Regular coordination also takes place with the Special Representative of the Secretary-General on Violence against Children on issues of common concern, including the joint campaign for the universal ratification of the Optional Protocols to the Convention on the Rights of the Child.",
"73. The Office of the Special Representative has continued to work closely with the Special Representative of the Secretary-General for Sexual Violence in Conflict to advance preventive activities on sexual violence against children. This reporting period has seen increased collaboration at the technical level to ensure that the activities of the two offices complement each other. Members of staff of the Office of the Special Representative participated in a workshop organized by the Department of Peacekeeping Operations on this matter and engaged on an ongoing basis with the Office of the Special Representative for Sexual Violence in Conflict, the Department of Peacekeeping Operations and UNICEF for the preparation of guidance on sexual violence for field missions and partners. It has been agreed that the Special Representative for Sexual Violence in Conflict will take the lead on all matters related to sexual violence, including on obtaining commitments from parties to conflict where appropriate, and in close consultation with the Office of the Special Representative for Children and Armed Conflict for matters relating to children. In situations where there is no monitoring and reporting framework for the sexual violence in conflict agenda to take the lead, the Special Representative for Children and Armed Conflict will continue to advocate for the implementation of action plans on sexual violence against children.",
"VI. Recommendations for the way forward",
"74. The Special Representative urges Member States, United Nations agencies, funds and programmes and NGOs to redouble efforts to implement the full range of protection and programmatic measures outlined in the recommendations of the 1996 Machel study and the 2007 10-year review of that study. In this regard, part two of the report of the Special Representative of 2007 (A/62/228), which included recommendations based on the findings of the 10-year review, is referenced.",
"75. Cognizant of the primary responsibility of States in the protection of children, the Special Representative urges Member States to strengthen policies and practices that ensure prevention of violation and abuse and stands ready to facilitate the sharing of best practices between Member States in that regard.",
"76. The Special Representative reiterates her call for States to establish 18 years as the minimum age for voluntary recruitment into the armed forces when depositing their binding declaration (under article 3) upon ratification of the Optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict.",
"77. The Special Representative calls upon Member States to end impunity and to prosecute and punish those who commit grave violations against children during armed conflict. The international community should support Member States whenever appropriate by developing their capacity to deal with issues of justice during conflict situations.",
"78. Given the serious impact that military operations, particularly those involving aerial attacks, including by drone and helicopter, and night raids, have on children, the Special Representative welcomes efforts by multinational forces to adopt and implement tactical directives and standard operating procedures to minimize civilian casualties and destruction of civilian installations and urges all multinational forces and peacekeeping operations to ensure that appropriate policies and procedures be put in place, and the requisite training of military personnel conducted.",
"79. The Special Representative encourages Member States to apply juvenile justice standards and due process safeguards when bringing a child to trial and to avoid maintaining children in administrative or prolonged pretrial detention. Where possible, Member States should consider excluding children below 18 from criminal responsibility for crimes committed while associated with an armed force or an armed group, by virtue of their age, the chain of command and the forced nature of recruitment. Non-judicial, restorative accountability mechanisms that take the best interests of the child into consideration and promote their reintegration should be introduced.",
"80. Recognizing that sustainable, long-term social and economic reintegration is the cornerstone for the durable separation of children from parties to armed conflict, the Special Representative urges donors to provide sustained and long-term support to reintegration in line with the Paris Principles and Guidelines on Children associated with Armed Forces or Armed Groups, including in the areas of education, vocational training and income-generating activities, as appropriate, and to support the financial aspects of the implementation of actions plans to end the recruitment and use, killing and maiming of and sexual violence against children, as well as attacks on schools and hospitals.",
"81. The Special Representative encourages Member States to continue to support the mainstreaming of child protection in United Nations activities, both in field missions and at Headquarters, and to facilitate the timely deployment of child protection advisers in peacekeeping and peacebuilding, as appropriate, as well as the authorization of adequate resources for this purpose.",
"82. Member States contributing uniformed personnel are encouraged to incorporate a child protection module into their national predeployment training for military, police and civilian personnel.",
"83. The Special Representative encourages all relevant United Nations agencies and programmes to strengthen their child protection capacity, including with dedicated capacity when appropriate, at global and field levels.",
"Annex",
"Suggested standard operating procedures for the protection of children in the conduct of military operations",
"(a) Establish a joint military-civilian assessment of the security risk for populations, and especially children, prior to any military action;",
"(b) Refrain from engaging in combat and/or using heavy artillery in highly populated areas. In this context, the protection of schools and hospitals as “zones of peace” should be paramount;",
"(c) Refrain from occupying or using schools and health facilities, or their vicinity, for purposes that could turn them into military targets;",
"(d) Undertake systematic post-operation assessment of the impact on civilians including children;",
"(e) Implement an immediate and transparent framework of investigation into alleged crimes committed against children by elements of the armed forces in the conduct of military operations. Reports on the progress and results of these investigations should be made public and disciplinary measures, if appropriate, should be promptly taken against the perpetrators;",
"(f) Establish a framework to ensure reparations and/or compensation are provided to children and their families for violations committed in the context of military operations that led to the killing and/or maiming of children or acts of sexual violence against children;",
"(g) Develop procedures for the reception, treatment and rapid handover to United Nations child protection actors of children separated from armed groups in the course of military operations;",
"(h) Appoint a focal point on children and armed conflict within the armed forces in order to follow up on all steps mentioned above.",
"[1] United Nations Educational, Scientific and Cultural Organization, The Hidden Crisis: Armed Conflict and Education (Paris, 2011)."
] | A_66_256 | [
"Sixty-sixth session",
"Item 65 (a) of the provisional agenda",
"Promotion and protection of the rights of children:",
"Promotion and protection of the rights of children",
"Report of the Special Representative of the Secretary-General for Children and Armed Conflict",
"Summary",
"The present report is submitted on the basis of General Assembly resolution 51/177 and subsequent resolutions on children's rights, most recently resolution 64/146. In its resolution 64/146, the General Assembly requested the Special Representative of the Secretary-General for Children and Armed Conflict to submit a report to the General Assembly on the conduct of field visits, as well as on the progress made and remaining challenges in addressing children and armed conflict.",
"During the reporting period, between August 2010 and August 2011, the report describes progress made in addressing children and armed conflict, as well as trends and remaining challenges. Section II provides detailed information on the progress made during the past year, including awareness-raising, partnerships, information collection and the release of children from armed forces and armed groups. Section III focuses on challenges that remain in the context of changing the nature of conflicts and outlines other emerging concerns. Section IV presents the way forward in combating violations of children. Section V describes actions taken in mainstreaming the agenda of children and armed conflict into the United Nations system. Section VI presents a set of operational recommendations for the protection of children affected by conflict for consideration by the General Assembly.",
"The annex to the present report lists a set of proposed standard operating procedures, outlining minimum measures that can be implemented by national armed forces and multinational forces and peacekeeping forces to ensure the protection of children in military operations.",
"Introduction",
"The present report is submitted on the basis of General Assembly resolution 51/177 and subsequent resolutions on the rights of the child, most recently resolution 64/146. During the reporting period, between August 2010 and August 2011, the report highlighted the progress made during the past year, current trends and challenges, the way forward in ending violations of children in armed conflict and mainstreaming child protection issues in the United Nations system. The report concludes with recommendations on ways to enhance the protection of children affected by armed conflict.",
"Agenda for Children and Armed Conflict: overview of progress",
"Improving global awareness",
"Awareness-raising and information-gathering on the plight of children affected by armed conflict is a central aspect of the General Assembly's mandate to deliver to the Special Representative of the Secretary-General for Children and Armed Conflict. During the reporting period, the Office of the Special Representative has adopted a multi-pronged awareness-raising approach.",
"The Special Representative continued to report to the General Assembly and the Human Rights Council on the situation of children and armed conflict. In addition, the Office of the Special Representative serves as the secretariat for the preparation of annual and specific national reports to the Council on children and armed conflict. During this process, the Office has consulted closely with United Nations partners and United Nations country teams. These reports provide a platform for disseminating progress and challenges to the protection of children in specific national circumstances and for authoritative and regular records.",
"The Office of the Special Representative supports the development of policies through the preparation and distribution of documentation that would contribute to policy discussions. The key working paper on child protection, such as the 2010 paper on internally displaced children, builds knowledge and awareness on this theme, through a summary of academic and policy experience and advocacy activities. In addition, the Office of the Special Representative, together with the United Nations Children's Fund (UNICEF) and other key United Nations partners, has developed a wide range of guidelines and templates in this field, including for United Nations partners in the field, to develop action plans to combat sexual violence and killing and maiming of children.",
"As a global advocate for children affected by armed conflict, the Special Representative continues to provide an independent moral voice to such children. Through field visits, advocacy and the use of traditional media and social media, the Special Representative has been able to convey concerns about children in conflict zones, mobilize support for children affected by armed conflict and maintain a sense of urgency among key decision makers. In addition, her Office organized nine activities during the reporting period to raise awareness and awareness of children and armed conflict.",
"The Special Representative stresses that field missions remain at the heart of her advocacy activities. Through field visits, a first-hand assessment of the situation of children can be carried out, contact with Governments in support of their efforts to protect children, receive specific commitments to child protection by parties to conflict and support for monitoring and reporting activities and engage in dialogue with the parties concerned. During the reporting period, at the invitation of the Governments concerned, the Special Representative undertook field missions to the following countries: Somalia (November 2010), Afghanistan (January 2011), Philippines (April 2011) and Chad (June 2011.",
"Towards global partnerships",
"The establishment of a global partnership and a network of stakeholders is essential to strengthening protection, in accordance with the mandate given to the Special Representative by the General Assembly. The Special Representative brings together stakeholders on the protection of children affected by armed conflict as a bridge between the parties.",
"Maintaining close contact with members of the General Assembly in order to instil awareness, understand their priorities and strengthen global support for the protection of children affected by armed conflict has become a key priority for the Special Representative. The participation of the Group of Friends of Children and Armed Conflict, consisting of all Member States that are committed to the child protection agenda, is essential.",
"Continuation of consultations with Member States, in particular in the preparation of the Secretary-General's annual and specific national reports on children and armed conflict, is essential to ensure that the concerns of Member States are included in the assessment of the drafting of the report. Looking ahead, the Special Representative's objective is to continue to engage with the relevant Member States in an extremely important dialogue to strengthen collaboration and ensure support and commitment to child protection.",
"Civil society organizations are fundamental to the work of the Office of the Special Representative. They could inform the Office of emerging issues, make innovative recommendations on policy issues and challenges, and remind the Office, if necessary, of areas where improvements are needed. In close cooperation with non-governmental organizations operating at the global and national levels, the Special Representative held regular meetings with representatives of civil society, brainstorming, discussing areas of common interest and informing them of the update on the schedule. Coordinated advocacy on the situation of children affected by conflict in specific countries during the reporting period, including in the Central African Republic, has resulted in closer partnerships with national authorities to increase international attention and commitment to child protection partners on the ground.",
"C. Collection of information on children affected by armed conflict",
"As the monitoring and reporting mechanism on children and armed conflict was established in 2005 in accordance with Security Council resolution 1612 (2005) and subsequently implemented in States, the collection of timely and reliable information on grave violations against children has been effective. Through the establishment of a United Nations country team for monitoring and reporting on grave violations against children under the highest authority on the ground, the United Nations capacity for data collection and dissemination of accurate information has been strengthened. This comprehensive information-gathering framework contributes to a better understanding of children and armed conflict and contributes to additional appropriate response measures at Headquarters and in the field. To date, the monitoring and reporting mechanism has been successfully implemented in 15 countries.",
"As a result of the information-gathering process carried out by the Secretary-General on behalf of the Secretary-General, and in consultation with relevant partners, the Office of the Special Representative was able to prepare six specific country reports on children and armed conflict in Afghanistan, Chad, the Central African Republic, Iraq, the Sudan and Somalia during the reporting period. These reports enhance the status of the agenda for children and armed conflict and provide a solid information basis for national and international child protection partners and civil society responses, as well as data for academia.",
"Release of children from armed forces and armed groups",
"The 1996 study on the impact of armed conflict on children (A/51/306 and Add.1) highlighted an alarming feature of contemporary conflicts and constitutes a grave violation of the recruitment and use of children by armed forces and armed groups. Since then, many children have been separated from armed forces and groups through advocacy and targeted efforts by national and international child protection partners. In 2010, 11,393 children (8,624 boys and 2,769 girls) benefited from reintegration assistance supported by United Nations agencies, funds and programmes (see A/65/741, para.",
"In order to combine advocacy with actual commitments, the action plan for the suppression of the recruitment and use of children in armed conflict was carried out in response to the documentation requirements of the Council in resolution 1539 (2004), and in response to General Assembly resolution 64/1, in which Member States called on parties to conflict to take time-bound and effective measures to end all violations and abuses against children. The Action Plan for the Suppression of Acts against Children released a signal that the impact of armed conflict on children is not only a violation of human rights and of development but also a threat to the United Nations peace and security agenda, which has become a general consensus.",
"To date, 15 States and non-State parties in eight countries have signed action plans to combat the recruitment and use of children in armed conflict: Afghanistan, Chad, Côte d'Ivoire, Nepal, the Philippines, Sri Lanka, the Sudan and Uganda. During the reporting period, the Afghan security forces and the Chadian security forces have signed plans of action for the release of children in their forces and have developed necessary legal safeguards to reach practical agreements to prevent the recruitment and use of child soldiers. To date, six action plans have been successfully implemented. The Office of the Special Representative works with key United Nations partners, including UNICEF and the International Labour Organization (ILO) to support the dissemination of action plans and to develop technical support and guidance for implementation.",
"The sustainable separation of children from armed forces and armed groups is a complex process that requires appropriate safety and security, support from child protection partners, and economic and social reintegration opportunities. In accordance with the Paris Principles and Guidelines on Children Associated with Armed Forces or Armed Groups, the experience of operational partners has shown that assistance for the reintegration of children must be tailored to their specific needs. In other words, the needs of young children differ from the age of work (15-17 years, depending on national legislation). Assistance for the reintegration of young children should emphasize school education and economic assistance to their families, where appropriate, while children with higher age often require vocational training or apprenticeship to transition to employment. The Office of the Special Representative will continue to promote the development of policies and guidelines on the disarmament, demobilization and reintegration of children through the Inter-Agency Working Group on Disarmament, Demobilization and Reintegration, co-chaired by the Department of Peacekeeping Operations and the United Nations Development Programme (UNDP) and to advocate for their implementation and mainstreaming.",
"E. Strengthening the legal and normative framework for children and armed conflict",
"During the reporting period, the Special Representative sought to strengthen the legal and normative framework for the protection of children, including through the universal ratification of the Optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict. The title of the campaign was “No person under 18 years of age”, which was carried out in cooperation with the Office of the Special Representative of the Secretary-General for Violence against Children, UNICEF, the Office of the United Nations High Commissioner for Human Rights (OHCHR). The Optional Protocol, adopted in 2000, prohibits the direct recruitment of children under 18 years of age by armed forces and armed groups.",
"The Special Representative has carried out outreach activities for 34 Member States not parties to the Optional Protocol and provided information to a number of regional organizations, including the Caribbean Community (CARICOM) and the Islamic Organization for Cooperation. The Office of the Special Representative organized a treaty event at the high-level plenary meeting of the General Assembly on the Millennium Development Goals in September 2010 and organized a one-year forum for the campaign in New York in May 2010. During a workshop hosted by the United Nations Institute for Training and Research, the Office provided technical advice to Member States on the process of ratification.",
"Since the launch of the campaign in May 2010, 12 treaty actions have been taken: three Member States have signed the Optional Protocol (the Central African Republic, Ethiopia and Iran (Islamic Republic of)), 5 have been ratified (Cyprus, Djibouti, Gabon, Malawi and Seychelles) and 5 have joined (Congo, Georgia, Guyana, Saint Vincent and the Grenadines and Saudi Arabia). To date, 142 States have ratified the Optional Protocol.",
"The Special Representative will continue to encourage Member States to become parties to other relevant treaties, including the International Labour Organization Convention No. 182 (1999) on the Prohibition and Immediate Action for the Elimination of the Worst Forms of Child Labour, which defines the recruitment of children as the worst forms of child labour, and the African Charter on the Rights and Welfare of the Child (1999) (which prohibits the recruitment of children and advocates the preservation of the fundamental rights of children).",
"Children and armed conflict: trends and challenges",
"Changes in the nature of conflicts",
"The use of children as a tool for violence in conflict",
"There is a growing concern about the use of children (sometimes of them) to carry or wear explosives. During the reporting period, the number of girls and boys used by armed groups for these purposes has increased steadily. These children are at times only eight years of age and often do not know the specific actions or consequences they have committed in abetting. Such acts often lead to the deaths and deaths of children themselves, including other children.",
"The strategies taken by armed actors to find children who commit such violence are well known. However, there is a reminder that families are often forced to send their children to participate in these actions, and that armed groups are also tempting poor families to take their children by committing money. The emergence of a horrible trend is the use of very young children and/or children with disabilities for such acts, which is also a serious concern. There is an urgent need to learn about what is known and how to prevent them. At the same time, there is a need to better address the stigma and prejudice of children suspected of cooperating with armed actors, which in turn lead to other violations of children, including beatings, threatening children and their families, which do not differ from torture, arbitrary arrest and detention. In this context, special attention must be paid to the protection of children, girls and children with disabilities.",
"Protection of children during military operations",
"In her final report, the Special Representative highlighted the risks faced by children in military operations and emphasized the need for specific policies and procedures, including tactical directives and standard operating procedures, to uphold international humanitarian law and to prevent violations of children. New war instruments, including the use of new technologies, the absence of clear battlefields and the identification of targets, pose a greater risk to children in military operations. As a matter of priority, all armed actors should respond to air attacks, including through unmanned aerial attacks and night raids, in order to minimize the resulting loss of civilian life, civilian injury and damage to civilian objects.",
"The safety and security of children is essential to the legitimacy and credibility of any military activity. This is even more important in the context of peacekeeping or stabilization operations, since consent to entry into foreign forces in such circumstances is essential for the success of the mandate. The rules of engagement of armed forces must stipulate that the protection of civilians must be a primary consideration in military operations, including in the area of countering rebel activities. In today's conflict environment, all armed actors must adhere to the principle of proportionality and distinction; it can only be avoided by respecting these principles.",
"The Special Representative reiterates her call for the development of instructions and standard operating procedures to ensure that military operations are carried out in accordance with applicable international humanitarian law and to ensure the protection of civilians, including children. During the reporting period, the Ugandan army, with the support of the Office of the Special Representative, developed standard operating procedures to ensure the protection of children captured or watchdoged by its armed forces during the operations of the Lord's Resistance Army. The Special Representative reiterates her appeal to all relevant military actors, including the military, multinational forces and peacekeeping forces, to implement the minimum measures specified in the annex to the present report as a priority.",
"Detention and prosecution of children associated with armed groups",
"States have increasingly arrested and detained children suspected of having a relationship with armed groups. In some cases, children caught and detained do not meet the minimum standards set forth in international legal instruments.",
"In some cases, the State has administratively detained children rather than accused of criminal offences and brought them to court. These children are often held in prolonged detention without the assistance of lawyers and are not guaranteed by other laws. There are many evidence that the human rights of children are particularly vulnerable when they are deprived of their liberty, including degrading and inhuman treatment and/or torture.",
"In other cases, the State alleged that children were suspected of committing crimes under national or international legal law during their relations with armed groups. These children sometimes suffer from prolonged pretrial detention without legal assistance. In addition, trials by national courts or military tribunals generally do not apply to juvenile justice standards and due process guarantees. Therefore, children are often tried without legal representation or legal assistance, without their parents or legal guardians, and there is no clear understanding of the allegations they have suffered.",
"As relations with armed groups are often forced and taking into account their young age, children should be considered primarily as victims rather than perpetrators. Emphasis should be placed on the prosecution of individuals in accordance with the concept of command responsibility. States should also prosecute adult recruiters and commanders, not only for crimes committed by their recruitment of children, but also for other crimes that they may commit in order to force children.",
"Detention and prosecution of children who have committed crimes because of their active participation in hostilities should always be a measure that is no longer available. Many children accused of committing such crimes may themselves be forced or induceed to join armed groups. During their relations with armed groups, children are often abused, beaten, exploited and manipulated by commanders to compel them to commit crimes, including minor policing crimes and war crimes. While it was recognized that some form of formal accountability was needed, it was more appropriate to transfer children from the justice system. Alternatives to consider the best interests of children and to promote their reintegration into their families and communities include non-judicial mechanisms such as restorative justice measures, truth, traditional treatment rituals and reintegration programmes.",
"The Convention on the Rights of the Child requires States to seek alternatives to the judicial process of children at the national level, and any solution needs to take into account the “inactive role in society”. Children can play a crucial role in their psychological development and reintegration processes if they understand and recognize past misconduct. Accountability based on a restorative approach is conducive to child rehabilitation and community reconciliation.",
"The Office of the Special Representative is finalizing a working paper that will address the issue of the responsibility and accountability of children who have committed crimes during armed conflict, as well as alternatives that can be used to facilitate the reintegration of children into society. The purpose is to clarify this issue conceptually through a review of the following factors: international legal frameworks relating to the detention of children; the treatment and rights of detained children; and the protection of children prosecuted and tried. The paper will also discuss other non-judicial justice mechanisms with more rehabilitation functions.",
"Child protection and security sector reform",
"In recent years, at the request of Governments or the Security Council, United Nations agencies have played an increasingly important role in assisting national actors in their efforts to establish accountable and effective security institutions based on non-discrimination and respect for human rights and the rule of law. This support includes, inter alia, promoting discussions on security arrangements as part of broader negotiations among the parties, expected peace agreements and technical advice and/or support for the implementation of security sector reform plans. On this issue, child protection considerations are at the core of a rights-based accountability security system.",
"The security needs of marginalized or socially excluded groups, especially women and children, should be taken into account in developing security sector reform plans. The security institutions should incorporate child protection into their mandates as a priority area; children are often neglected in times of conflict or peace, leading to grave violations against children. In countries such as the Sudan and South Sudan, the establishment of specialized child protection units in the armed forces has greatly contributed to ensuring timely responses to child violations and to raising awareness of children's rights and benefits among the broader security forces. Such positive initiatives should be replicated elsewhere. In addition, in order to prevent the mobilization of children, recruitment agreements must ensure strict verification of age: when civil registration records are incomplete or imprecise, they must be accompanied by other procedures to determine age.",
"When armed forces and groups merged or demobilized and reintegrated into society in accordance with peace agreements, as a first step in any security sector reform process, it is important to ensure that children who may be associated with the parties are separated from the parties concerned. In such cases, the initial phase is often registered by combatants. Measures must be taken to systematically establish age-based measurement methods when they are not able to obtain reliable data on the country's management. However, the separation of children from armed forces and armed groups should not be dependent on security sector reform plans. The recruitment and use of children in armed conflict is a violation of international law and, in normative terms, in particular in the context of the above-mentioned plan of action, the identification and separation of children is essential.",
"Awareness-raising and training activities on child protection are essential to strengthening accountability and respect for human rights within security forces. Such training must be carried out by all staff in the security sector and should include international and national normative frameworks and their applications, as well as care and treatment of children in conflict under the law.",
"Ultimately, ensuring that the security institutions pursue and implement the protection of children is a long-term effort that requires specialized and focused efforts by national actors, namely Governments, legislative bodies, the judiciary and civil society. Child protection can be mainstreamed into the security sector by building partnerships among national actors with the support of the international community.",
"C. Protection of educational institutions in armed conflict",
"In her previous report, the Special Representative has noted with concern the increase in attacks on educational institutions. These include part or all damage to schools and other educational facilities and threats or actual attacks on educational personnel. The attacks on educational institutions undermine the creation of a child's environment and undermine their access to a better future. In addition, violence against girls and attacks against their educational institutions also undermine their role in society and impede their exercise of their rights.",
"During the reporting period, progress has been made in the adoption of measures to protect the right to education of educational institutions and children. With greater attention from the international community, a protection education facility consisting of United Nations agencies and non-governmental organizations was created in 2010 without attacking the Global Alliance. The Alliance contributes to the prevention of attacks on educational institutions; the development of effective response measures; the enhancement of knowledge, monitoring and reporting levels; and the promotion of international norms and standards and accountability. In March 2011, the United Nations Educational, Scientific and Cultural Organization (UNESCO) published an innovative report highlighting the impact of armed conflict on education. [2] The Special Representative welcomes such initiatives and looks forward to working closely with the Global Alliance, UNESCO and other relevant partners to strengthen the protection of educational institutions and to free them from attacks.",
"The Council has also intensified its efforts on this issue, following the adoption by the General Assembly of its open resolution on the right to education in emergencies, namely, resolution 64/120. In July 2011, the Council adopted resolution 1998 (2011), by which it extended the list of the annexes to the Secretary-General's annual report on children and armed conflict, including those responsible for regular attacks on schools and attacks or threats against protected persons associated with those facilities. The Special Representative commends the General Assembly and the Council for focusing attention on the right to education of children and urges Member States to implement the decisions of those two bodies with other child protection partners.",
"Cross-border initiatives to protect children affected by armed conflict",
"The regional characteristics of conflicts have created new child safety, security and protection challenges due to the movement of civilians and combatants across national borders. The cross-border activities of armed groups such as the Lord's Resistance Army have proved to be difficult to track and thus to curb the threat posed by them. There are two points of interest in addressing the challenges posed by cross-border threats from action.",
"First, there is a need to ensure that well-coordinated monitoring and reporting mechanisms can be used to bring together information from States to form a comprehensive view of trends and patterns of human rights violations committed by armed groups. This is crucial to ensuring appropriate practical measures to protect civilians in affected areas. For example, during the reporting period, UNICEF, with the support of the Office of the Special Representative, strengthened its capacity to promote coordination and information-sharing among child protection teams on the activities of the Lord's Resistance Army in the Central African Republic, the Democratic Republic of the Congo, the Sudan and Uganda.",
"Secondly, children formerly associated with armed forces and armed groups often need to be repatriated, i.e., children who have been fighting with armed forces or groups to foreign territory must return to their countries of origin and return to civilian life. In this context, close relations and coordination between national authorities and child protection partners are essential.",
"Elimination of violations and abuses against children in conflict",
"Sources",
"Efforts to put an end to violations and abuses against children in conflict must be based on a thorough understanding of the structural causes of conflicts and the circumstances that give rise to such violations and abuses. Poverty, discrimination, environmental degradation, social and economic marginalization and inequality create conditions for forced or voluntary relations between children and armed forces or groups.",
"Research has shown that there is strong correlation between poverty and violent conflicts and between violent conflicts and low levels of human development indicators. The Millennium Development Goals indicators show that one third of those living in extreme poverty, half of children without primary education, and half of the children who died before the age of five are in situations of armed conflict. Although not all poor children are soldiers in conflict situations, poverty is an important incentive for children to join armed forces and armed groups. In some areas, poverty means a lack of educational conditions and other basic social services and very little opportunities for employment and income generation. Children often become combatants with the encouragement of parents and the instigation of armed actors, with a view to receiving good clothing, housing and protection.",
"The perception of discrimination/social injustice/political exclusion and economic disparities is often an incentive for children to join armed groups. These views are shared with the community, i.e. with national, regional or religious factors, and are a powerful tool for mobilizing communities, including children. The loyalty of a group sometimes serves as a tool for the bargaining of an armed group, and communities are often called upon to play their role in bringing their children into the struggle. Children are vulnerable to these demands, not only because of a sense of social pressure or obligation, but also because of the injustice suffered by individuals. When crimes against children are punishable, many children will participate in armed groups driven by revenge.",
"The weakness of national legislation, particularly in marginalized areas, is another factor of conflict that exposes children to violence. The ability of local communities to provide safety and security, to provide basic social services, to adjudicate disputes and to promote economic activity is questioned. Traditional governance structures and/or judicial mechanisms may take over weak statutory institutions. However, traditional governance structures are often not based on national-driven normative standards and protection mechanisms. In times of conflict, local communities often form self-defence missions and often register young children in society and defend communities against external threats.",
"In some societies, prolonged violent conflicts are themselves the purpose of the political economy being the logical driver of economic interest and political compromise. In such cases, children are pushed into the war in society rather than exceptionally, and seek to move forward in their structures. The military commander is a child's example and the military wind is part of everyday life. Participatory armed groups may raise opportunities for social inclusion and access to resources and can call rains in territories under the control of armed groups. In such long-term conflicts, children may see joining armed groups as a legitimate means of placing them in society, by offering them some other options.",
"The above is a key factor in creating an environment conducive to the involvement of children in conflict. Children will continue to be victims of armed conflict if they are not addressed at the strategic level. In this regard, the General Assembly, in its resolution 64/141, called upon States to “enhance complementarity and coordination among national policies and strategies on security, development, human rights and humanitarian issues, thereby effectively, sustainable and comprehensively addressing the short, medium- and long-term impact of armed conflict on children”. The United Nations system and the international community as a whole must support Governments in their efforts to build flexible societies during conflict, including through economic development and equity, while supporting measures to enhance social justice and accountability.",
"Prevention of abuse and abuse of children",
"Clearly, at the strategic level, the most effective way to protect children from the scourge of war is to reduce the outbreak of armed conflict. Conflict prevention means addressing the root causes of violence and promoting sustainable and equitable human development. As the Mayr study and the 2007 10-year review of the study (see A/62/228), it was noted that sustainable conflict prevention and peacebuilding would require a number of conditions that go beyond political settlement programmes and strengthen key features of peace, including good governance; create responsible, legitimate and rule-based security sectors; an independent and effective justice system; provide basic social services; and create an economic environment conducive to employment and wealth creation.",
"Studies suggest that there is a strong correlation between the number of young people and the internal unrest among the population. While population factors alone do not instigate conflicts, systematically absorb and focus on adolescents and benefit from development programmes, risk reduction, particularly in countries where young people are more. Youth employment and skills must be promoted during peace and in post-conflict periods, which must be an important part of the reconstruction and development strategy.",
"The above-mentioned is the broad and long-term measures to be progressively addressed by conflict-affected countries with sustained support from the international community. National actors can take a number of more direct protection measures with the support of the international community. In the course of conflict, where child protection networks are established, they can help communities better protect their children. These networks will send threats or violations to communities and help to establish community-based measures to address the consequences of violence. They can also help to prevent abuse by raising awareness and building relationships with protected entities. It can rely on a network of support that makes children more secure and can provide a assistance mechanism when they suffer violations or abuse.",
"At the beginning of any conflict, community leaders should be persuaded to make special efforts and negotiations with the parties to ensure that schools are designated as “peace zones” and that they are not targeted as military or armed groups. In this way, children can freely attend school without abuse or violence. Another approach is community-based defence schools to ensure child safety. To some extent maintain the normal situation of children living in conflict, even if their school education is continuing, it can sustain its development and protect them from recruitment by armed elements.",
"C. Addressing accountability at the global level",
"Since the Mayr study of 1996, the international community has made significant progress in strengthening the legal framework for the protection of children in armed conflict and in bringing perpetrators to justice. The International Criminal Court, the International Criminal Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda and the Special Court for Sierra Leone have tried violations against children. These international and hybrid tribunals, as well as the mixed chambers established in Bosnia and Herzegovina, have played a crucial complementary role in dealing with crimes against children.",
"It must be emphasized that international efforts alone cannot achieve lasting results in the fight against impunity. Continuing accountability for the crimes committed can only be achieved through the people and the justice system of the countries concerned, in accordance with international standards. In societies emerging from conflict, national institutions and social structures have been weakened by war and the international community can play an important role in supporting national efforts to strengthen the judiciary and the rule of law more broadly. The development of society's ability to deal with violations through an effective justice system is an essential way to ensure sustainable justice.",
"The international community should also support reparation mechanisms in countries emerging from armed conflict. Compensation is an effective additional accountability mechanism as a way to provide social justice in post-conflict societies. This is particularly true in the context of weak judicial systems or lack of confidence in the judiciary, the difficulty or inability to resort to legal and complaints through courts, the lack of identity of perpetrators, or the immunity of judicial accountability procedures for perpetrators of human rights violations.",
"Need for protection dialogue",
"In its resolution 64/146, the General Assembly called upon States and other parties to armed conflict to put an end to the violations and abuses committed against children in conflict in violation of applicable international law. States, in conjunction with United Nations entities, civil society and regional organizations, must engage in dialogue among all relevant partners to ensure coherence and the establishment of appropriate response mechanisms. Partnerships with Governments are key to ending grave violations against children. In this regard, an inter-ministerial committee composed of relevant governmental entities could serve as a forum for effective coordination and dialogue with the United Nations counterparts.",
"Where appropriate and possible, dialogue with non-State actors can be held in the peace process. However, irrespective of the political discussions, dialogue should be attempted, in close cooperation with the Governments concerned, to discuss the development of time-bound and effective measures to protect child victims, including action plans, to put an end to specific violations. Various situations vary and experience shows that innovation is a key factor if effective safeguards are to be implemented. In the absence of a peace process, Governments, as the primary responsibility for the protection of children, should cooperate with the United Nations to ensure that the parties will have time-bound and effective measures, including the implementation of the action plan.",
"E. Targeting and measuring measures",
"The strengthening of the relationship between the work of the Council on children and armed conflict and its sanctions regime is an ongoing area of work. Targeting and varying degrees of sanctions against offenders should be used as a last resort, i.e. when all other means fail to act as an end to impunity for crimes committed against children. In its recent resolution 1998 (2011) on children and armed conflict, the Council reaffirmed its intention expressed in previous resolutions and presidential statements to take targeted and measurable measures against perpetrators of grave violations of children and to gradually incorporate violations into their sanctions regimes.",
"Accordingly, in May this year, the Special Representative briefed the Security Council Committee on resolutions 751 (1992) and 1907 (2009) on Somalia and Eritrea on the criteria for increasing grave violations against children as a norm for determining sanctions. In its resolution 2002 (2011), the Security Council extended the sanctions regime for Somalia and added grave violations against children in armed conflict to the criteria for determining sanctions. The closer cooperation between the Security Council resolutions 751 (1992) and 1907 (2009) on Somalia and Eritrea and the Council Working Group on Children and Armed Conflict will contribute to enhancing coherence in the work of the Council and strengthening its action against impunity. Looking forward, this approach should be extended to other sanctions committees dealing with grave violations against children, which are of paramount importance.",
"Role of the Government in protecting children affected by armed conflict",
"The Government bears the primary responsibility for the protection of children and the wider civilian population. A number of steps must be taken to establish a protective environment for children before, during and after conflict. Most importantly, the establishment of a national legal framework containing relevant international norms to uphold children's rights and protect them from the consequences of conflict. In this regard, the ratification and subsequent implementation of the Convention on the Rights of the Child, in particular through translation into national legislation, complemented by the necessary administrative, budgetary and social policy adjustments, is a key fundamental step in child protection. Further legal instruments targeting children, such as child protection orders or bills, including juvenile justice and punitive measures against children's rights, provide an additional legal protection in conflict-affected countries.",
"In societies emerging from conflict, national authorities should establish transitional justice mechanisms to ensure that crimes against children are punished in times of war. transitional justice mechanisms based on judicial procedures can be supplemented by non-judicial accountability mechanisms. Those mechanisms could contain the identification of truth and recovery approaches that could provide the net effect necessary for reconciliation and suit the perpetrators of children, since they should be exempted from prosecution as a child. For example, the recent adoption of victim legislation in Colombia is a commendable initiative aimed at ensuring that child victims of violations and abuses in conflict are compensated by the Government.",
"Advocacy",
"There are still major challenges in the protection of children affected by armed conflict, and advocacy has a crucial role to increase awareness and stimulate behavioural change in order to ultimately end grave violations against children in conflict. The Special Representative's advocacy efforts will continue to highlight issues that mobilize greater political and donor support for Governments and child protection actors that are affected by conflict.",
"Advocacy will focus on a number of key priority areas. These areas include: provision of comprehensive and long-term reintegration assistance to children in line with the best practices of the summarized programmes; the rights of internally displaced children, in particular the right to education and security; the rights of children in contact with the justice system, whether as victims and perpetrators; the relationship between conflict and poverty, in particular with regard to the Millennium Development Goals indicators; and protection challenges arising from changes in the nature of conflicts and the exposure of children to military operations.",
"The Special Representative will continue to engage with Member States, experts and academia to promote the accumulation, development and improvement of knowledge in order to better understand emerging challenges in protecting children in conflict.",
"Mainstreaming child protection within the United Nations system",
"Child protection work in United Nations field missions",
"The mandate of the Special Representative was to help coordinate efforts to facilitate the collection of information on the plight of children affected by armed conflict, and she was therefore a key priority for child protection within the United Nations system. In the Secretariat, two field presences, namely, the Department of Peacekeeping Operations and the Department of Political Affairs, have appointed focal points to ensure that child protection issues are incorporated into their policies and operational activities, while working closely with the Office of the Special Representative. In 2011, child protection focal points in the Department of Peacekeeping Operations received a regular budget post that could provide dedicated and sustained support to child protection advisers in the field and mainstream child protection at Headquarters. Because of the increasing challenges in child protection as described in the present report, the relevant departments of the Secretariat urgently need to focus on the protection of children. The Special Representative encourages the main agencies of the Secretariat, including the Department of Political Affairs, OHCHR and the Peacebuilding Support Office, to draw on the examples of the Department of Peacekeeping Operations.",
"The Department of Peacekeeping Operations and Department of Field Support policy directives on child protection were developed in 2009, as outlined in the previous report of the Special Representative (A/65/219), which provides guidance for child protection activities in peacekeeping operations and contributes to the collection of accurate, objective, reliable and verifiable information on grave violations against children. Policy directives define the roles and responsibilities of child protection personnel in peacekeeping operations and provide a clear framework for the division of labour and complementarity between peacekeeping operations and United Nations agencies, funds and programmes. It is expected that policy directives will be reviewed and updated in future reporting cycles. This review could provide an opportunity to consider the joint introduction of a child protection guidelines for all United Nations field missions by the Department of Peacekeeping Operations, the Department of Field Support and the Department of Political Affairs. Special political missions administered by the Department of Political Affairs, as well as the mainstreaming of child protection by peacebuilding offices, are essential, as they now need to play a greater role in child protection in post-conflict environments and in the complex transition from peacekeeping to peacebuilding.",
"Since the adoption of child protection policies, the Department of Peacekeeping Operations has developed a policy implementation plan to promote the ongoing and systematic implementation of child protection mandates in the field and at Headquarters. Key priorities identified in the plan included strengthening training activities for peacekeepers. In this regard, the Department cooperates with the Office of the Special Representative, the United Nations Children's Fund and the Children's Fund to strengthen and improve training programmes and materials in predeployment and mandate.",
"By its resolution 62/141 on children's rights and the Special Committee on Peacekeeping Operations, the General Assembly strongly supported the deployment and functioning of child protection advisers. Child protection advisers have been appointed in seven field missions. In this regard, it is noteworthy that most of the mandates of United Nations peacekeeping missions and special political missions now include child protection. Commitments for child protection are increasingly reflected in child protection posts and resources approved by the General Assembly for United Nations field operations, in line with the recommendations of the Advisory Committee on Administrative and Budgetary Questions and with the support of the Special Committee on Peacekeeping Operations. The Special Representative commends the key support provided by the General Assembly in mainstreaming child protection in United Nations activities and urges support as always.",
"Child protection partnerships within the United Nations system",
"As Chairperson of the Task Force on Children and Armed Conflict at Headquarters, the Special Representative convened 16 departments, agencies, funds and programmes to provide advice on child protection concerns and the preparation of the Secretary-General's annual report on children and armed conflict. These advisory activities contribute to identifying areas where further advocacy is needed, mainstreaming and/or enhanced cooperation and coordination. Through UNCT, the Office of the Special Representative continues to support child protection efforts in the field, including technical support, training, advocacy and financing.",
"Close cooperation between UNICEF and the Office of the Special Representative continued during the reporting period. This cooperation is crucial to the agenda for children and armed conflict at the global and field levels, and the technical coordination of both sides continues to yield benefits in providing guidance on the field, implementing action plans and strengthening the capacity of children in the field. The Special Representative remains committed to advocacy to donor countries to ensure that the action plans and the reintegration programmes led by UNICEF are given the necessary attention in the area of long-term sustainable financing.",
"Regular coordination with the Special Representative of the Secretary-General on violence against children on issues of common concern, including joint action on universal ratification of the Optional Protocol to the Convention on the Rights of the Child.",
"The Office of the Special Representative continued to work closely with the Special Representative of the Secretary-General on sexual violence in armed conflict to better prevent sexual violence against children. During the reporting period, the parties strengthened their cooperation at the technical level to ensure that the activities of the two offices complement each other. The staff of the Office of the Special Representative participated in a workshop organized by the Department of Peacekeeping Operations on this issue, with contacts with the Office of the Special Representative for Sexual Violence in Conflict, the Department of Peacekeeping Operations and UNICEF, and in the development of guidance on sexual violence for field missions and partners. It was agreed that the Special Representative for Sexual Violence in Conflict would lead work on all matters related to sexual violence, including, where appropriate, the commitment of parties to conflict, and in close consultation with the Office of the Special Representative for Children and Armed Conflict on matters involving children. In the absence of a monitoring and reporting framework to lead the conflict agenda on sexual violence, the Special Representative for Children and Armed Conflict will continue to advocate for the implementation of a plan of action on sexual violence against children.",
"Recommendations on the way forward",
"The Special Representative urges Member States, United Nations agencies, funds and programmes and non-governmental organizations to redouble their efforts to implement the full range of protection and programme measures set out in the 1996 Machel study and in the recommendations of the 2007 10-year review of the study. In this regard, reference could be made to the second part of the Special Representative's 2007 report (A/62/228), including recommendations based on the conclusions of the 10-year review.",
"The Special Representative recognizes the primary responsibility of States in the area of child protection and urges Member States to strengthen policies and practices to ensure that violations and abuses are prevented, and stands ready to promote the sharing of best practices among Member States in this regard.",
"The Special Representative reiterates her appeal to States, when ratifying the Convention on the Rights of the Child on the involvement of children in armed conflict, to deposit a legally binding declaration providing for a minimum age of 18 years for voluntary recruitment into national armed forces (under article 3).",
"The Special Representative calls upon Member States to put an end to impunity and to prosecute and punish those who commit grave violations against children in armed conflict. The international community should, as appropriate, support Member States in developing their capacity to deal with justice issues in conflict situations.",
"In view of the military operations, in particular the serious implications of air attacks, including the use of unmanned aircraft and helicopters, and the impact of night attacks on children, the Special Representative welcomes the efforts of the multinational force to adopt and implement tactical instructions and standard operating procedures to minimize civilian casualties and damage to civilian facilities, and urges all multinational forces and peacekeeping operations to ensure that appropriate policies and procedures are put in place and that necessary training is provided to military personnel.",
"The Special Representative encourages Member States to apply juvenile justice standards and due process safeguards in the trials of children and to avoid administrative detention or pretrial detention of children. Where possible, Member States should consider exempting children under the age of 18 from criminal responsibility for crimes committed during their relations with armed forces or armed groups, as they are still young, under human command and forced recruitment. Non-judicial, rehabilitative accountability mechanisms should be introduced to take into account the best interests of children and to promote their reintegration into society.",
"The Special Representative recognizes that sustainable long-term social and economic integration is the cornerstone of lasting separation of children from all parties to armed conflict, and urges donors to provide sustained and long-term support for reintegration, in accordance with the Paris Principles and Guidelines on Children Associated with Armed Forces or Armed Groups, including in the areas of education, vocational training and income-generating activities, as appropriate, and financially support the implementation of action plans in order to end recruitment and use, killing, maiming, violence and sexual violence against children, as well as attacks on schools and hospitals.",
"The Special Representative encourages Member States to continue to support child protection mainstreaming in United Nations activities, including in field missions and headquarters, and to facilitate the timely deployment of child protection advisers in peacekeeping and peacebuilding processes, as appropriate, and to approve adequate resources for that purpose.",
"Member States contributing uniformed personnel are encouraged to incorporate child protection modules into predeployment training for their national army, police and civilian personnel.",
"The Special Representative encourages all relevant United Nations agencies and programmes to strengthen their capacity to protect children, including, where appropriate, specialized capacities at the global and field levels.",
"Annex",
"Recommendations for child protection standard operating procedures in military operations",
"(a) Until any military operation, a joint civilian population risk assessment, in particular for children;",
"(b) Removal and/or use of heavy artillery in densely populated areas should be avoided. In this context, the protection of schools and hospitals as “peace zones” is a top priority;",
"(c) No school and health facilities or their surrounding areas may be occupied or used for the purpose of transforming them into military objectives;",
"(d) A systematic assessment of the impact of civilians, including children, after action;",
"(e) An immediate and transparent framework for the investigation of crimes committed by military personnel in the course of military operations against children. Reports on progress and results of investigations should be made public and disciplinary measures should be taken, as appropriate, against perpetrators;",
"(f) A framework should be established to ensure reparation and/or compensation for child victims and their families for human rights violations committed in military operations leading to the killing and/or maiming or sexual violence of children;",
"(g) Develop procedures to receive, process and rapidly transfer to United Nations child protection actors children separated from armed groups in military operations;",
"(h) Appointment of a focal point for children and armed conflict within the armed forces to follow up on all the above steps.",
"AD(*) A/63/250.",
"[2] United Nations Educational, Scientific and Cultural Organization, The Hidden Crisis: Armed Conflict and Education (Paris, 2011."
] |
[
"第六十六届会议",
"暂定项目表^(*) 项目101",
"审查大会第十届特别会议所通过 建议和决定的执行情况",
"联合国裁军研究所",
"^(*) A/66/150。",
"秘书长的说明",
"更正",
"1. 附件二",
"第2段后的表格替换为：",
"(千美元)",
"所需人员编制 薪金净额总数 一般人事费 出席会议津贴 费用共计",
"1个D-2 210.2 75.7 0.6 286.5",
"1个D-1 193.1 69.6 — 262.9",
"2个一般事务(其他职等) 201.6 72.6 — 274.2",
"共计 823.6"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 100 of the provisional agenda*",
"Review of the implementation of the recommendations and decisions adopted by the General Assembly at its tenth special session",
"United Nations Institute for Disarmament Research",
"Note by the Secretary-General",
"Corrigendum",
"1. Annex II",
"For the table following paragraph 2 substitute",
"(In thousands of United States dollars)",
"Staffing requirement Total net Common Representation Total salaries staff costs allowance",
"1 D-2 210.2 75.7 0.6 286.5",
"1 D-1 193.3 69.6 — 262.9",
"2 General Service (Other 201.6 72.6 — 274.2 level)",
"Total 823.6",
"2. Annex III",
"The column headings should read",
"Voluntary contributions 2009 2010 2011^(a) 2012^(a)"
] | A_66_123_CORR.1 | [
"Sixty-sixth session",
"Item 101 of the preliminary list*",
"Review of the implementation of the recommendations and decisions adopted by the General Assembly at its tenth special session",
"United Nations Institute for Disarmament Research",
"∗ A/63/250.",
"Note by the Secretariat",
"Corrigendum",
"Annex II",
"Replace the table after paragraph 2 with the following:",
"(Thousands of United States dollars)",
"Total net salary costs",
"1 D-221.2 75.7 0.6286.5",
"1 D-191.6 - 262.9",
"2 General Service (Other level) 206 - 27 4.2",
"Total 823.6"
] |
[
"第六十六届会议",
"临时议程^(*) 项目65(a)",
"促进和保护儿童权利",
"女童",
"秘书长的报告",
"摘要",
"本报告是根据大会第64/145号决议的要求提交的。决议概述了人权条约和国际会议产生的关于女童的国际义务和全球承诺，以及法律和政策的发展情况。报告评估了下列因素对女童造成的负面影响：贫穷和全球经济危机；暴力、虐待和剥削；教育中的性别差距；缺乏足够的水、环境卫生和个人卫生；营养；艾滋病毒/艾滋病；健康；残疾；人道主义危机；以及参与。报告着重介绍了为解决童婚和迫婚问题而采取的行动。",
"^(*) A/66/150。",
"一. 导言",
"1. 本报告是根据大会题为“女童”的第64/145号决议提交的。决议要求秘书长向大会第六十六届会议提交关于该决议执行情况的报告，其中应重点说明终止童婚和迫婚方面的情况，以便评估本决议对女童福祉的影响。为了编写本报告，向会员国[1] 和联合国各机构、方案和部门发出普通照会，要求提出与该决议的执行情况相关的信息，并致函重要的以促进女童权利为宗旨的非政府组织。",
"2. 本报告是秘书长提交大会第六十四届会议的报告(A/64/315)的后续，重点介绍了终止女性生殖器切割方面的情况。报告概述了在尊重女童的权利方面现有的法律和规范框架和国际承诺(第二节)；介绍了在第64/145号决议所述各领域中女童的境况(第三节)；详细分析了童婚和迫婚做法(第四节)。报告还着重介绍了在促进女童的权利方面的进展和成就(第五节)并提出了今后的行动建议(第六节)。",
"二. 法律/规范框架和全球承诺",
"A. 人权条约和其他国际公约",
"3. 尊重女童的权利是国际法规定的一项义务和道义责任。现在已经具备全面的国际法律框架，其中规定了各国对女童的人权义务。《儿童权利公约》规定了一整套权利，其享受不受“任何形式的歧视”，包括性别歧视。此外，所有基本人权条约都包括各种规定，确认男女之间及男童女童之间的不歧视和平等原则。在这方面尤其重要的是《消除对妇女一切形式歧视公约》，虽然该公约以妇女为重点，但对女童的状况和福祉有直接影响。另外，2008年5月生效的《残疾人权利公约》，其第7条不仅具体提到一般儿童，还特别提到女童。在其第6条，该公约规定：“缔约国确认残疾妇女和残疾女童受到多重歧视，在这方面，应当采取措施，确保她们充分和平等享有所有人权和基本自由”。",
"4. 除了人权条约外，法律义务还来源于具有法律约束力的劳动法文书，包括国际劳工组织下列公约：1973年《最低年龄公约(第138号)》和1999年《最恶劣形式的童工劳动公约(第182号)》。这个一般儿童权利、特别是女童权利的综合法律框架，进一步得到区域人权文书的加强，如2005年《非洲人权和人民权利宪章关于非洲妇女权利的议定书》。",
"5. 在报告所述期间制定的新规范包括2011年通过的《儿童权利委员会关于儿童免遭一切形式暴力侵害的权利的第13号一般性意见(2011年)》。该文件对《儿童权利公约》第19条进行了详尽的论述。在第72b段中，一般性意见分析了暴力侵害儿童问题中的性别因素，并建议：各缔约国应确保其政策和措施考虑到对于各种环境下各种形式的暴力，男女儿童面临的风险不同。文件还呼吁各国将处理一切形式的性别歧视作为全面的暴力预防战略的内容之一。这包括消除基于性别的成见、力量不平衡、不平等和歧视，这些问题使得使用暴力和威胁的现象在家中、学校和教育场所、社区、工作场所、机构和整个社会得到支持并得以延续。文件称，“应积极鼓励男性和男童成为战略伙伴和同盟，还应为他们及女性和女童提供机会，使大家更加相互尊重，更好地了解如何消除性别歧视及由此导致的暴力行为”(CRC/C/GC/13,第72(b)段)。",
"B. 国际会议、政府间机构和有关承诺",
"6. 除了国家批准的、具有法律约束力的国际文书，会员国在世界会议和其他国际论坛也为消除对女童的歧视作出了意义深远的承诺。1995年在北京举行的联合国第四次妇女问题世界会议首次包括了关于女童的专门部分，而其后的《行动纲要》[2] 提出下列问题的战略目标：消除一切形式对女童的歧视和对女童的负面文化态度和做法，在有关教育、保健和营养、童工、暴力和社会、经济和政治生活的参与方面促进和保护女童权利。",
"7. 大会第64/145号决议再次申明主要联合国首脑会议和大型会议同女童有关的其他结果，包括大会题为“2000年妇女：二十一世纪两性平等、发展与和平”的第二十三届特别会议的结果、[3] 国际人口与发展会议《行动纲领》、[4] 社会发展问题世界首脑会议《行动纲领》[5] 和妇女地位委员会第四十九届会议通过的宣言[6] 以及把“消除一切形式歧视和暴力侵害女童行为”作为优先主题审议的委员会第五十一届会议的商定结论。[7]",
"8. 在其第16次会议上，人权理事会审议了买卖儿童、儿童卖淫和儿童色情制品问题特别报告员和暴力侵害儿童问题秘书长特别代表的联合报告(A/HRC/16/56)。该报告侧重于有效的且对儿童问题有敏感认识的咨询、投诉和报告机制，使儿童能够安全地报告暴力事件，包括性暴力和剥削。联合报告指出，据“国际儿童帮助热线网络”在其2010年关于暴力侵害儿童问题的报告中记录，其调查中启用的62个热线共报告了超过25万起暴力和虐待事件。其中大部分投诉涉及年龄在10至15岁的儿童，尤其是女童。身体虐待和欺凌是最经常报告的事件，其次是遭忽视、性虐待和情感暴力。该报告还确认，女童仍是武装冲突中性暴力的主要受害者。",
"9. 在同一次会议上还举行了关于保护和促进流落街头和(或)在街头谋生的儿童权利的小组讨论。讨论后，人权理事会对全世界流落街头和(或)在街头谋生的女童和男童境况，以及这对他们充分享受自己的权利和他们的发展的负面影响深表关切，并强烈谴责对这些儿童的权利的侵犯行为，包括基于性别的暴力行为，敦促各国确保采用一个全面的基于权利和促进性别平等的办法来纠正这一现象(见人权理事会第16/12号决议)。",
"三. 歧视和女童境况",
"A. 贫穷和全球经济危机的影响",
"10. 在全球范围内，超过800万儿童死于5岁前，其中超过570万死于1岁前。[8] 贫穷严重影响着儿童的生活，威胁着他们的生存和发展、以及他们的健康权、充足食物权和营养权、以及受教育权。贫穷对儿童的参与权和受到保护免遭暴力、伤害和剥削的权利产生负面影响。然而，女童不仅遭受贫穷和疾病的影响，而且还受其他因素的影响：如助长性别不平等现象的社会和文化规范；基于其种族而受到的歧视；以及社会、地域和收入的不平等，这些因素可能加重其所面临的性别歧视。因此，女童极易受到进一步的剥削和边缘化。",
"11. 2008年开始的全球经济危机加剧了贫穷对儿童的影响，加重了许多儿童面临的贫穷程度。危机期间，特定年龄的和因性别而导致的脆弱性加剧，妇女和青年可能会首当其冲地失去工作或就业不足；其家庭可能被迫减少支出，从而影响儿童的营养摄入量；而儿童也可能辍学，以帮助家庭寻求额外收入。[9] 最近的估计表明，危机可能导致撒哈拉以南非洲婴儿死亡数增加30 000-50 000，其中大部分是女婴。[10]",
"12. 尽管全球经济正呈现复苏迹象，而且2009年以来的全球国内生产总值增长率出现强力反弹很大，女童和妇女仍然容易受到危机的许多持续影响。最近的粮食价格激增也可能对女童产生负面影响。粮农组织食品价格指数，即衡量一篮子食品类商品国际价格的指数最近几个月大幅上升，在2011年6月平均为234点，仅略低于2月份的纪录高位，比2010年6月高出39%。[11] 自2008年食品价格上涨以来，国内粮食价格仍然高得惊人。[12] 最近的估计表明，由于近期食品价格上涨，约44亿人已经陷入贫穷境地。[13]",
"13. 在政府着手解决日益增长的财政赤字的情况下，人们感到关切的是，在影响女童福祉的重点领域的支出可能会遭削减。此外，在健康和教育方面公共开支收缩时，费用的负担往往转移到家庭，特别是妇女和女童的肩头。而当家庭收入下降时，妇女往往没有选择，只能接受地位低的和临时的工作，同时还要承担其他职责；在一家之内如何分配食物方面，女童可能受到不平等的待遇。³",
"B. 暴力、虐待和剥削",
"14. 对全世界数以百万计的女童和妇女而言，暴力是其日常生活的一部分,在家里、在学校、在护理和司法机构、在其工作场所以及在其社区之中均是如此。这是每个国家的情况，无论是发达国家还是发展中国家。",
"15. 数据表明，1.5亿18岁以下的女童都遭受过某种形式的性暴力,[14] 29个国家中超过7 000万15-49岁的女童和妇女曾受到女性生殖器官切割(女性生殖器切割)。[15] 来自撒哈拉以南非洲的许多地区的证据还表明，女性割礼可导致严重和慢性致残的骨盆和尿路问题和行动不便，并可导致女童感染一些传染病，包括艾滋病毒的风险增加。[16] 然而，这方面的数据是有限的，暴力侵害女童和妇女行为没有得到充分的认识和报告或记录，这是因为受害者耻辱、恐惧的心理、社会对这种行为的纵容以及这些活动经常具有的非法和隐蔽性质。",
"16. 女童还往往承受着家务、功课以及家庭之外有偿或无偿工作的三重负担。这种负担，特别是在家庭内数小时得不到承认的工作，大大降低了女童的学习成绩和学业完成率，增加了女童本人以及其子女身陷童工这一恶性循环之中的可能性。[17]",
"C. 在教育方面的性别差距",
"17. 在过去十年中，入学率有所增加，因此小学教育的失学人口中的性别差距已经缩小：小学适龄女童失学率从1998年的57%下降到2008年的53%。然而，近3 600万小学和超过3 900万初中学龄女童仍在失学之中。取得的进展也不平衡，一些总的数字往往掩盖了国家和地区之间的巨大差异。南亚和西亚以及撒哈拉以南非洲的失学女童人数远远高于其他地区。[18]",
"18. 除性别外，贫穷、种族和家庭收入排位等因素也增加了失学的可能性。就发展中地区整体而言，最贫穷的20%的家庭的女童失学可能性是最富裕家庭的女童失学可能性的3.5倍，是最富裕家庭的男孩失学可能性的四倍。[19]",
"D. 难以获得水、环境卫生和个人卫生设施",
"19. 女童比男孩承担的寻水责任更多。来自45个发展中国家的数据表明，未满15岁的女童承担的寻水责任是在同一年龄组男孩的两倍。随着女童长大成人，成为妇女，这一比例也随之增加，在几乎三分之二的家庭中，负责寻水的是妇女。在某些情况下，女童可能要步行很远的距离去取水，这增加了她们的工作量，会影响她们的健康以及花在教育上的时间。此外，收集和接触不安全的水也会影响她们的身体安全。[20]",
"20. 此外，在供水点和在学校的厕所，特别是在那些处于学校保护环境之外的地点，女童 ，尤其是少女可能面临骚扰和强奸的风险。在人道主义危机中，因获取水、环境卫生和个人卫生方面的做法而导致女童所面临的问题甚至更加严峻。",
"E. 营养不足和贫血病患病率",
"21. 全球5岁以下女童和男孩营养结果指标水平中的性别差距微不足道。然而，营养服务的不足(营养计划的覆盖范围和食品和用品的质量/可用性)一般会对妇女和女童造成较大的负面影响。这是因为妇女和少女对营养的需要较高，而文化上的障碍又让她们难以前往较远的地方获取服务，另外，因为她们的工作量过重，她们也没有时间。此外，研究和分析还发现，在产妇低识字水平与年幼儿童低营养水平之间存在显著的关联。[21]",
"22. 值得注意的一点是，在发展中国家的少女和妇女中，贫血(三分之二的情况是由于缺铁)是非常普遍的，这增加了产妇死亡的风险。女童和妇女贫血率很高与其体内铁的损失有关，特别是在青春期，由于月经和怀孕，损失量尤大。",
"F. 艾滋病毒和艾滋病：不成比例的高风险",
"23. 由于其特有的生物脆弱性、以及遭受的社会不平等和排斥，年轻妇女和少女仍面临过高的感染风险。属于15至24岁年龄组的感染艾滋病毒的年轻人近78%来自非洲撒哈拉以南地区，其中大部分是女性而且不知道自己的艾滋病毒状况。在所有属于10至19岁年龄组的感染艾滋病毒的青少年中超过60%是女童。[22]",
"24. 在全球范围内(不包括中国)，11%的少女曾在15岁前发生性行为，每年约有1 500万名产妇是20岁以下的少女。[23] 过早发生性关系和接触毒品是造成少女感染艾滋病毒风险的关键因素。这些行为反映了少女的环境中存在的问题，以及在保护和照顾她们方面的多重缺失，甚至可能是暴力、剥削、虐待和忽视的结果。",
"25. 社会和收入不平等和有关性和艾滋病毒的知识不足也是导致其他加剧艾滋病毒感染风险的行为原因，这些行为包括与多个伙伴发生性关系和双方年龄差距过大的性关系。年轻妇女和少女往往被迫与年纪较大的伙伴发生关系，换取金钱、食物、保护或其他社会或物质利益，以为生存之计。一些法律、政策和做法限制少女获得避孕套、艾滋病毒检测和准确、全面的性教育，因而导致她们感染的风险增加。亲密伴侣的暴力行为往往是在家庭和社区知情的情况下发生的，这种暴力也限制了年轻妇女和女童在预防艾滋病毒方面进行有效选择的能力，因而进一步增加了其感染病毒的风险。",
"G. 青少年健康",
"26. 虽然五岁以下儿童死亡率通常男孩高于女童，因为女童有一定的生物和遗传优势，但是，性别不平等导致女童在青春期面临更大的健康风险。[24] 早期妊娠和分娩是全球15至19岁少女死亡的主要原因。在这个年龄阶段，女童面临的负面健康后果，包括抑郁症的风险往往要大于男孩，而这些风险往往又因为基于性别的歧视和虐待而增大。女童特别容易患饮食紊乱症，如厌食症和贪食症，而导致这一脆弱性的部分原因来自其对体形的深度忧虑，这种忧虑则因在阴柔之美方面的文化陈见以及媒体在这方面的刻板宣传而愈发严重。¹⁵",
"H. 残疾：耻辱化和边缘化",
"27. 残疾女童不仅要面对残疾男孩所遇的社会耻辱化和边缘化，而且还会因性别遭受更多的歧视。除在家庭、在社区、在学校和在更广泛社会内遭受边缘化，并因而可能导致其健康状况和教育成绩不佳外，残疾女童遭受暴力、伤害、虐待、忽视或照料不周、恶待和剥削的风险往往更大。[25] 此外，残疾女童可能会遭受强迫绝育或人工流产。[26]",
"I. 人道主义危机",
"28. 在人道主义危机，包括武装冲突和自然灾害中，因不稳定和不安全的局势导致侵犯人权行为急剧增加，而且有关正式和非正式的保护机制也遭破坏，在这种情况下，女童面临遭受侵害的风险。社会性别不平等现象在很大程度上导致并影响着人道主义危机的后果，并加剧了其对女童的负面影响。在紧急事件下，落入作战部队、社区成员、人道主义工作者和军警人员手中的女童，特别是少女容易受到强奸和性剥削。在武装冲突中，女童可能被绑架或招入武装部队或团体。关于女童从事性交易以换取援助或出售性服务以满足自己或其家庭需要的报告不绝于耳。这增加了她们受剥削和虐待、感染艾滋病毒/性传播疾病以及意外怀孕的风险。基于性别的暴力和其他形式的性暴力的女幸存者饱受心理健康和心理问题的折磨，并受到严重的社会耻辱化和排斥。",
"29. 受危机影响的女童上学或得到早期教育的可能性比男孩小，她们获得性和生殖健康服务的机会也有限。在重男轻女的文化中，家庭和社区成员在分配援助时可能会优先考虑男孩。危机加剧的贫穷也可能常常促使家长强迫女儿幼年嫁人(以应对贫穷)。女童和女性传统上承担着大部分的家务，而在危机期间则往往肩负更多的工作量，以应付社会服务的减少，抚养家人。这增加了她们的日常负担，使学习和其他活动的时间减少。",
"J. 缺乏参与的机会",
"30. 履行《儿童权利公约》第12条(其中规定，“缔约国应确保有主见能力的儿童有权对影响到其本人的一切事项自由发表自己的意见”)，对世界大部分地区的各国政府而言是一项深刻的挑战。传统上，孩子们被认为没有必要，也没有经验、知识或理解力来直接参与影响他们生活的重大决定。家庭内的社会和文化行为形态通常为女童和妇女主张自己权利的能力造成进一步障碍。青年服务方案为青年人参与创造着越来越多的空间。然而，女童，特别是那些失学和弱势女童在特定同行俱乐部和青年方案中的比例往往是非常低的。许多社区还缺乏强有力的女性领导人，以便成为女童和妇女的模范，并为建立网络和实现其参与权带来机会。",
"四. 结束童婚和迫婚",
"31. 国际法律文书公认女童或男孩在18岁前结婚是对孩子人权的侵犯。[27] 即使孩子同意，童婚也是迫于那些期待孩子幼年成婚的现行社会习俗而进行的。因此，这可以被认为是迫婚。在某些情况下，童婚是指早婚，然而，这一术语是模棱两可的，因为它在本质上是相对的。例如，它也可用来在平均结婚年龄超过30岁的国家提倡提早结婚年龄。",
"32. 童婚是特定经济和社会力量相互作用的结果，而且在女童结婚方面，这些力量还特别强大。对于一个家庭而言，孩子越年轻，其婚姻的费用往往就越低，这是因为孩子可以脱离父母的照顾，也是因为年幼女童需要的嫁妆往往较少。这些社会力量体现于，若一家庭奉行传统、维护自家女童的贞洁、保护家庭名誉且尽量减少女童非婚生育的风险，则会得到社会认可。如果不遵守社会规范，则会遭到社会的谴责，甚至可能为女童或其家庭成员招来暴力侵害。",
"33. 2010年，联合国儿童基金会(儿基会)使用最新的人口数据和健康调查和多指标类集调查进行了一次审查，审查显示，目前发展中世界20至24岁的妇女约三分之一在18岁之前结婚。审查还表明，总体而言，童婚的普遍程度已经下降，尽管降速缓慢。尽管发展中国家45至49岁妇女在中有48%在年满18岁之前结婚，但这一比例在20至24岁²⁴ 的妇女中已经下降到35%。[28]",
"34. 数据还显示了显著的不平等。童婚是与女童教育水平低有着密切的关系。在实践中，童婚减少的情况几乎全部发生在收入最高的五分之一家庭，而童婚收入最低的五分之一家庭的普遍程度几乎保持不变。数据证实，童婚部分是由经济因素促成的，而且尽管有必要解决这些因素，仅仅做到这一点，还不足以结束童婚的做法。",
"35. 在童婚盛行的社区，让女童嫁人是一整套轻视女童人权的性别规范和态度的一部分。这些规范包括早育和持续生育(这对产妇及其孩子的健康造成负面的后果)；嫁妆或彩礼(因而女童被认为是一种经济资产)；在教育上重男轻女；在家中男子和男孩先吃饭女童后吃(这对女童整体健康和营养状况造成潜在的负面影响)；普遍期望女童屈从于男性(因而侵犯了她们的参与权)。",
"36. 在童婚盛行的地方，少女早早成婚、怀孕和生育，但她们在身体、情感和与社会打交道方面还没有做好身为人母的准备。现在每年大约有1 500万青春期少女生育、²³ 其中大多数是已婚。她们大多对保健服务和自己的权利，包括生殖健康缺乏认识。因此，她们在怀孕期间面临重大风险，包括产科瘘和死亡的风险。10至14岁女童怀孕和分娩时死亡的可能性比20至24岁妇女高五倍。[29] 因为早育，青春期少女可能会生育更多的孩子而且间隔更短，因此她们面临的产妇死亡和残疾风险更高。女童的人生选择也受到制约，因为她们更难以完成学业，获得全面的健康知识，参与社区以及发展就业技能。童婚也增加了年少已婚女童的艾滋病毒和性传播感染的风险，因为她们无力拒绝与年纪较大的丈夫进行不想要的和无保护的性交。这也对下一代有消极后果：20岁以下产妇出现死胎和所生婴儿死亡的可能性比20至29岁产妇高50%。[30]",
"37. 在终止童婚方面的进展对实现千年发展目标至关重要。这也将有助于实施《儿童权利公约》和《消除对妇女一切形式歧视公约》，也符合2006年联合国秘书长关于暴力侵害儿童问题的报告的建议。",
"38. 国家的经验表明，要终止童婚，采取的办法就必须包括政府承诺，即由政府制定适当的立法，还要包括对社区给予支持，使社区能够找到更好的替代办法。虽然进行反童婚立法是必要的，但在对这种做法的社会支持仍根深蒂固的地方，要禁止这种做法，也是非常难以执行的。不过，可以通过法律和沟通策略来减少对这种做法的支持，而且随着社会接受度开始降低，可进一步为那些着手结束这种做法的人提供合法性和支持。",
"39. 有几个国家根据儿童权利委员会第4号一般性意见进行了立法，将结婚的最低年龄设定在18岁，而有些国家则是将结婚的最低年龄提高到18岁，并取消了男孩和女童法定年龄之间的差别。2009年，厄立特里亚修订了其民法和刑法，以将男孩和女童最低结婚年龄提高至18岁，确保婚姻是双方自愿和平等进行的，并限制彩礼和嫁妆。马拉维对法律进行了修改，法定结婚年龄从16岁有所提高。在其他国家，包括马里和也门，童婚是一个有争论的话题，有关方面正在讨论设定或提高法定结婚年龄的建议。",
"40. 要终止童婚，就需要支持社区进行讨论，共同探索这一做法的替代办法。[31] 这种讨论必须要尊重那些坚持传统的家庭的愿望，但同时要揭露这一做法的祸害，并强化人权原则。可通过可靠来源提供信息，其中包括通过医务人员和宗教领导人提供信息，并给予女童更大的发言权，以确保整个社会有关信息的一致性。男子和男孩的积极参与也是必要的。据报，各地区的国家已经开展了这种提高认识的行动。",
"41. 全面的童婚政策和方案考虑到已婚少女的需要，同时支持为结束这种做法而采取的行动。他们提供可行的替代方案和机构支持，特别是扩大对女童，包括已婚或已孕女童的教育机会。各国正在改善亲身入校接受教育的条件，建立安全的居住设施，增加对家庭的财政激励措施，促进女童赋权，提高教育质量以及确保学校的安全和卫生条件。一些国家，如吉布提，已采取法律措施，使16岁以下儿童上学成为强制政策。",
"42. 尽管童婚普遍存在，但历来得到的关注有限。不过，也有许多合作伙伴，特别是非政府组织、联合国人口基金和儿基会加大了力度。联合国人口基金和儿基会已加强了他们向各国进行倡导和支持的方案，包括通过联合国青春期少女问题机构间工作队来给予支持。此外，消除对妇女歧视委员会和儿童权利委员会正在起草一份关于有害做法的联合一般性意见/建议，这将更新在童婚问题上向缔约国提供的指导。发展合作机构，如美国国际开发署也日益重视结束童婚和迫婚的问题。",
"43. 在各类不同的国家，如孟加拉国、布基纳法索、吉布提、埃塞俄比亚、印度、尼日尔、塞内加尔、索马里和瑞典的经验表明，将法律措施与支持社区相结合，提供可行的替代办法，使其能够讨论并达成结束童婚的明确和集体决定，会产生了积极的成果。许多令人鼓舞的结果也来自国家和地方民间社会组织的努力。其他国家也在一些终止童婚所需元素方面取得了进展。例如，比利时、尼加拉瓜和斯洛伐克报告称其禁止童婚，加强了立法框架。然而，对于其他国家而言，终止童婚并非重要事项，尽管事实上这种做法侵犯了许多少女的权利和以及在较小规模上也侵犯了青春期男孩的权利。",
"44. 如果目前的趋势继续下去，多达1亿的女童在未来十年内会结婚。[32] 然而，在现有的知识和经验水平基础上，而且因为各国与民间社会增加了伙伴关系并加强行动，男孩和女孩多数可能推迟结婚，并实现其潜力，造福于整个社区。",
"五. 进展和成就",
"45. 在促进女童权利和执行大会第64/145号决议所涉若干领域中，已经取得了进展。下文着重介绍一些主要成就。",
"A. 加强立法和承诺",
"46. 世界各地在暴力侵害妇女和女童行为问题上的国家立法均有改善。许多国家已经实施了法律和政策，以及具体的行动计划或战略，以解决多种形式的对女童的暴力，包括贩卖人口、性暴力和性剥削、女性生殖器切割和童婚。此外，一些国家通过社会福利、司法、教育和保健各部门间的协调和能力建设，加强了对暴力和剥削行为的机构反应。",
"47. 在2010年5月启动的批准《儿童权利公约关于买卖儿童、儿童卖淫和儿童色情制品问题的任择议定书》和批准《儿童权利公约关于儿童卷入武装冲突问题的任择议定书》全球运动的推动下，75%的会员国现已批准了这两项任择议定书，并正在执行有关规定。一些国家已经通过某种形式的立法，以制止儿童色情。",
"48. 2011年6月通过的《家庭佣工体面工作公约》建立了一套国际标准，旨在改善全球数以千万计的家庭佣工的工作条件，其中包括童工，童工中又有90%估计是女童。¹⁵",
"49. 安全理事会分别通过下列各项决议，从而加强了国际上对受冲突影响的女孩的保护：关于儿童与武装冲突的第1882(2009)号决议，该决议扩大了有关监测和报告机制，将武装冲突中的性暴力纳入其中；关于预防和保护武装冲突中性暴力的第1888(2009)号决议和第1960(2010)号决议，这两项决议建立了加强的问责机制，旨在追究凶手的责任；以及关于妇女、和平与安全的第1889(2009)号决议，该决议呼吁设立一套全球指标，以便更好地监测女童和妇女参与建设和平的情况，并满足她们的安全需要和提供基本服务。",
"B. 联合倡议",
"50. 在人口基金和联合国儿基会的支持下，15个非洲国家采取了一个共同办法，以结束一些有害的做法。这一办法包括推行法律和社区方案，开展基于人权原则的大型社区讨论会，以及由社区和地区公开声明摒弃女性生殖器切割的习俗。",
"51. 许多国家的政府还开展了多部门的行动，以向女童和妇女提供支持，解决在家庭、学校、社区和工作场所暴力侵害女童的问题。《欧洲委员会关于保护儿童免受性剥削和性虐待的公约》于2010年7月1日生效，在这一背景下，各国正在将系统的干预措施与提高认识和直接支持遭受暴力的女童和妇女的措施相结合，包括设立儿童求助热线，以及向社区提供预防和保护措施的信息等。",
"52. 2000年世界教育论坛推出的“联合国女童教育倡议”在继续保持对女童教育的重视方面发挥了很大的作用。该倡议将不同的利益攸关方(政府、民间社会组织、双边援助机构、私营部门和联合国系统)召集起来，共同确保免费义务教育的权利和性别平等。这一伙伴关系目前已开始在非洲和亚洲的47国家进行活动。",
"53. 由人口基金和儿基会共同主持并包括劳工组织、联合国教科文组织(教科文组织)、联合国难民事务高级专员办事处(难民署)、妇女署和世界卫生组织(世卫组织)的联合国青春期少女问题机构间工作队提供了一个为最边缘化的少女采取集体行动的平台。正在与政府及其伙伴合作，在埃塞俄比亚、危地马拉、马拉维、利比里亚、坦桑尼亚联合共和国等国制定实施全面的方案。",
"54. 人道主义界进行了越来越多的投资，以确保机构间协调机制能够满足女孩、以及男孩、妇女和男子特殊的需要。2010年，制定了一些新的机构间工具和指导方针，帮助人道主义工作人员更好地满足受危机影响的女孩特殊的需要和权利。这包括：机构间紧急情况中教育网络的《袖珍性别问题指南(2010)》，该指南就在紧急情况下如何促进女童教育问题提供了具体的例子；《人道主义环境下协调性别暴力措施手册(2010)》，该手册就领导作用、主要职责和应采取的具体行动提供了指导；以及《人道主义背景下青少年性生殖健康工具包(2010)》，其中涉及人道主义危机中青少年的特殊需要，特别强调女童以及那些土著群体、移民和残疾人等最边缘化群体的特殊脆弱性。",
"C. 改善受教育的条件和质量",
"55. 自1990年推出“人人享受教育”倡议以来，各发展中国家采取的若干干预措施已成功地提高了女童的入学率和学业完成率。例如，在孟加拉、萨尔瓦多、墨西哥和肯尼亚等国，由于免去女孩有关用费和向她们提供助学金和现金转移，因此女童踊跃接受教育。纳米比亚将工作集中在解决阻碍女童教育的文化和社会规范上，即通过实施一项政策，允许身为人母的少女在产后回到学校继续读书。此外，政府已推出了一项全国性别暴力零容忍运动，并已作出努力，建立跨部门的管理者能力，以便处理性别暴力，并建立媒体专业人员在这个问题上的报告能力。",
"56. 若干会员国和联合国若干组织，包括儿基会、粮农组织、教科文组织和联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)在为女童升入中学提供支持，并倡导根据其具体的需求和环境为少女提供职业教育培训机会。世界粮食计划署(粮食署)提供带回家的口粮作为激励手段，鼓励女童注册入校和继续在校学习。除了受教育条件得到改善外，还正在努力改善女孩受教育过程中的体验和其受教育的质量，即确保学校对儿童友好，有利于两性平等且促进人权教育。",
"57. 萨尔瓦多和尼加拉瓜等国将人权和生活技能教育，包括生殖健康问题教育纳入学校课程，以便少女掌握适当的知识。在马达加斯加，联合国民主基金支持童子军和青年环保俱乐部等组织促进儿童和青少年对性别平等和人权的认识。与此同时，在加纳，儿基会支持一个名叫“好奇的头脑”的儿童广播网络，作为一个交流思想和宣传涉及一般儿童的法律的知识平台。这种网络服务也可作为宣传女童教育、保护少女免受传统习俗之害和少女怀孕的信息的有用渠道。",
"58. 还采取措施招聘合格的女教师和培养教师和教育管理者解决性别问题的能力。如在马耳他和瑞典，对决策者、教师和学生进行了宣传，使之认识到需要增进在职业选择上的性别平等，重点是在数学和科学上让女童越来越多地参与。",
"D. 改进保健服务",
"59. 世界许多地方的女童健康服务均得到了加强。例如，在吉布提，有关方面提供了保护隐私的计划生育服务，妇女和女童成为2008-2012年全国艾滋病毒/艾滋病战略计划的核心。在孟加拉国，有关方面采用儿童疾病综合管理战略并进行社区保健工作者培训，从而帮助缩小在免疫覆盖方面的性别差距。近东救济工程处的保健方案为巴勒斯坦难民提供儿科预防和治疗服务，包括通过学校提供服务，同时提高结束童婚和预防性别暴力的意识。",
"E. 女童的参与",
"60. 已采取举措促进女童赋权，具体做法是为她们提供参与机会，培养她们的领导能力，让她们了解自己的权利和帮助她们获得技能，以便行使自己的权利。在牙买加，举行了一次儿童问题研讨会和性别培训讲习班(后者由妇女事务局主办)，旨在让女童和男孩了解自己的权利和提高对性别暴力以及性和生殖健康的意识。在智利，妇女署支持由40名青年妇女开发的一项关于在婚姻和其他关系中对年轻女性的暴力问题的研究。这项研究的结果将被用于对议员进行宣传。",
"61. 在喀麦隆，在儿基会的支持下实施了一项培养年轻人领导能力的活动，即创建青年市议会。现已建立了21 个青年市议会，其中17个是由少女领导的。女童占市议员的一半，而全国由女市长领导的市议会只有6%。青年市长和他们的议员倡导青年参与其社区内的决策。人口基金在危地马拉、马拉维和埃塞俄比亚开展年少女童的赋权工作，推动建立安全空间，培养领导技能和支持生活技能教育活动，重点是性和生殖健康。这些方案也由青年领袖管理。",
"F. 缓解全球经济危机的影响",
"62. 已采取特别措施减轻经济危机对女童和妇女的影响。成功的例子包括保持必要的社会部门支出和实施社会保障政策，以帮助确保她们获得保健、教育和孕产妇保健服务的权利。最近的一项研究发现，在35个国家，估计25%刺激消费，金额达653亿美元，用于社会保障措施。[33] 重要的是，要确保这些措施不会作为因遏制公共部门开支而实施的紧缩计划一部分而遭削减。此外，变革性的社会保障措施，包括反歧视政策和立法改革，有解决女童的社会脆弱性和确保女童和男孩公平获取服务的潜力。",
"六. 建议",
"63. 虽然如上述例子所证明，已经取得了进展，但是这些努力必须得到继承和扩大。这就需要各国政府在发展机构、非政府组织和民间社会支持下，在女童和男孩、男子和妇女的积极参与下，采取果断行动。",
"A. 赋予女童力量",
"64. 应按照妇女地位委员会、儿童权利委员会和其他机构的要求，进一步促进女童的参与和赋权。[34] 重要的是，要认识到女童是在实现两性平等和她们自己权能方面的主要行为体。培养她们领导能力的方案应作为学校课程的一部分而得到支持，或通过其他方式，如仅对女童开放的俱乐部或作为更广泛的技能培训计划的一部分予以支持。也应促进女童参与旨在为其服务的发展方案的设计和交付。还必须努力确保女童，包括青春期少女的观点能够被纳入关于人道主义危机防备、反应和恢复的讨论支助，从制度上为女童表达其特有的关切提供机会，并就如何解决这些问题拟定建议。",
"65. 若不能获取形式上她们可以使用和理解的信息，女童则不能行使自己的权利。为女童创建的社会网络和安全空间有助于她们获得必要的信息和健康及保护服务。全面、年龄适当的性教育和对自己艾滋病毒状况的了解可增强她们自我保护的能力和掌握自己健康和福祉的能力。",
"B. 支持社会变革和转变权力关系",
"66. 在对女童不平等和歧视现象根深蒂固的地方，必须进行社会变革和权力关系的转变，才能实现两性平等以及女童和妇女赋权。更好地理解社会规范的作用及其对个人、家庭和社区决策过程的影响、对政策和战略的参考以及扩大干预措施规模，这是对更高层次的举措，如立法改革的重要补充。不解决性别不平等和排斥女童现象的根源，则不可能履行在保护和实现女童权利方面的集体义务。政府、社区和家庭有责任塑造不容忍歧视和暴力侵害女童行为的积极环境。",
"C. 留住女生",
"67. 对女童教育的投资可使她们获得力量且有助于加快反贫穷、反不平等和反性别歧视斗争。需要进行特别的努力，以确定和惠及最难惠及和最受排斥的女童：来自最贫穷家庭的女童；农村、贫民窟和偏远地区的女童；以及遭受社会排斥的群体，包括残疾儿童，以及来自土著和弱势少数人口的儿童。",
"68. 小学教育在过去的几十年里取得的成绩必须得到巩固，同时要加快进展速度，即扩大学前教育方案，以确保女童开始就读小学且不辍学，并开展有针对性的干预活动，旨在让失学儿童(其中大部分是女童)回到学校。由于中学教育中性别的差距最大，应促进和增加女童向初中的升学，扩大其获得中学教育的渠道，尤其要注意降低女童失学率。应该推广教育的多种途径(正式和非正式的)，以确保女童成功地完成基础教育并实现从学校向工作的过渡。此外，应实施包括教育、及健康和营养、社会保障、基础设施和劳动力市场在内的多部门战略，以确保教育中的性别平等。",
"D. 解决少女的权利问题",
"69. 女童在青春期面临的歧视更大。虽然性别歧视是一个甚至在出生之前就已经存在的因素，而性别方面的陈旧观念通常在儿童早年就已经灌输，但是当女童长至青春期时，她们往往面临着新的限制和规矩。女童往往过早地担负人妻、人母、劳作或照料他人等的成人角色，失去了童年应特别享有的抚养和保护。少女若能拥有教育、健康和有技能，则可帮助促进社会公正，支持经济发展并为消灭贫穷作出贡献。重要的是，要投资于少女的权利和保护并确保她们不再被发展政策和方案所忽视。",
"E. 加强数据收集和分析",
"70. 需要有更好的按性别和年龄分类的数据，以便更全面地了解女童的境况。也有必要超越按性别分列数据并对数据进行分析，以揭示女童所面临的多种形式的排斥，包括因身患残疾、生活在最贫穷的社区或属于土著或少数民族群体而遭到歧视。这应包括对定量和定性数据和信息的收集和分析。",
"F. 促进包容性的政策和方案",
"71. 有关方案也应采取一种全面的方法来解决女童可能面临的各种歧视，以有效地保护她们的权利。尊重女童的人权，也需认识到其生活现实和其境况的多样性。这包括确保在从全球经济危机中恢复过程中采取以性别平等为重点的应对措施。必须奉行在国家层面作出的支持和保护女童权利的承诺，包括在保健和营养、清洁水、基础教育、儿童和社会保障服务以及参与机制方面提供足够和持续的投资，并在可能的情况下予以扩大。应采取应对措施，包括针对最边缘化和易受伤害的女童的特别措施，以确保儿童，包括女童和其他弱势和社会脆弱群体的权利能够得以享受和保护。",
"G. 扩展和改善对女童的服务，",
"72. 应扩大和改进保健、营养和其他服务，以满足女童的需要和尊重她们的权利。例如，应向感染艾滋病毒的少女和年轻妇女提供全面的服务。男性和女性健康和营养服务提供者应当接受培训，学会使用对性别平等敏感的方法。应建立多部门的转介和回应系统，提供育儿、生活、小额信贷、职业教育和就业计划等方面的信息链接。对在获得保健方面的不平等应得到纠正，即应努力为残疾女童提供服务，具体做法就是推行包容性的保健服务，包括提供适龄的性和生殖健康服务，从而使所有女童都可以实现自己的健康权。需要开展专门的外联方案，以使得服务及于最年轻的首次孕产妇，使她们能够更好地获得可救命的孕产妇保健服务。还应当努力确保在住家附近获得安全饮用水，以减少女童工作量，使她们能够留在学校，要照顾她们的健康、童趣和与男孩平等进行的其他活动。此外，在必要的情况下，应经过精心设计有关服务，以专门解决女童特有的脆弱性和需要。这在人道主义局势中具有特别重要的意义，因为在这样的局势中，若使用“一刀切”的模式，女童，包括少女和边缘化女童则有继续被忽略或忽视的危险。",
"73. 在需要时，应预留专门资源，用于开展专为女童设立的方案。确定并满足女童的权利和需要的工作在整个人道主义行动中，包括在减少灾害风险过程中，以及在人道主义危机的防备、应对和恢复过程中均应得到确保。要取得实效，这项工作就必须在更广泛的性别平等框架下开展，该框架应对女童以及男孩、妇女和男子的能力和需要一并进行分析，并动员妇女和女童以及男人和男孩，携手实现更加公正和公平的社会的共同目标。",
"[1] 本报告参考了下列国家提交的一些信息：阿根廷、比利时、吉布提、萨尔瓦多、芬兰、印度尼西亚、意大利、牙买加、日本、马耳他、纳米比亚、尼加拉瓜、阿曼、秘鲁、卡塔尔、斯洛伐克、西班牙、瑞典和美利坚合众国。",
"[2] 见第四次妇女问题世界会议(1995年9月4日至15日，北京)的报告，(联合国出版物，销售品编号E.96.IV.13)，第一章，决议一，附件二。",
"[3] S-23/2号决议，附件，和S-23/3号决议，附件。",
"[4] 国际人口与发展会议(1994年9月5日至13日，开罗)的报告,(联合国出版物，销售品编号 E.95.XIII.18)，第一章，决议一，附件。",
"[5] 社会发展问题世界首脑会议(1995年3月6日至12日，哥本哈根)的报告,(联合国出版物，销售品编号E.96.IV.8)，第一章，决议一，附件。",
"[6] E/2005/27和Corr.1，第一章，A节。",
"[7] E/2007/27，第一章，A节。",
"[8] 见www.childinfo.org/mortality.html。",
"[9] Caroline Harper, Nicola Jones, Andy McKay and Jessica Espey, “Children in times of economic crisis:Past lessons, future policies”,Background Note,Overseas Development Institute, March 2009.",
"[10] Jed Friedman and Norbert Schady,How Many More Infants are Likely to Die in Africa as a Result of the Global Financial Crisis?, World Bank,2009,p.2.",
"[11] 见粮农组织食品价格指数(www.fao.org/worldfoodsituation/wfs-home/foodpricesindex/en/)。2011年7月7日公布的报告。",
"[12] Isabel Ortiz, Jingqing Chai and Matthew Cummins, “Escalating Food Prices: The threat to poor households and policies to safeguard a Recovery for All”, Social and Economic Policy Working Paper, UNICEF,2011。",
"[13] 世界银行《食品价格观察》(http://www.worldbank.org/foodcrisis/food_price_watch_ report_feb2011.html)。",
"[14] 见Paulo Sérgio Pinheiro, World Report on Violence against Children, United Nations, 2006(http://www.violencestudy.org)。",
"[15] The State of the World’s Children 2011,Adolescence–An Age of Opportunity,UNICEF, (United Nations Publications,Sales NO.E.11.XX.1)。",
"[16] Nora Groce,“Girls and Women with Disability:A global review”,One in Ten,vol.17(1997)。",
"[17] 见Joining Forces against Child Labour: Inter-agency report for The Hague Global Child Labour Conference of 2010,ILO and Understanding Children’s Work,May 2010。",
"[18] 见Education for All(EFA)Global Monitoring Report 2011: The hidden crisis: Armed conflict and education,UNESCO,2011。",
"[19] 见《2010年千年发展目标报告》，联合国，2010年。数字依据从42个国家收集的家庭调查数据。",
"[20] 见Progress on Sanitation and Drinking Water(2010 Update),WHO and UNICEF,2010。",
"[21] 见Jane E. Miller and Yana V. Rodgers,“Mother’s Education and Children’s Nutritional Status: New Evidence from Cambodia”,Asian Development Review,vol.26,No.1(2009)。",
"[22] 见Opportunity in Crisis: Preventing HIV from early adolescence to young adulthood, UNICEF,June 2011(United Nations publications,Sales No.E.11.XX.5)。",
"[23] James E.Rosen，Position Paper on Mainstreaming Adolescent Pregnancy in Efforts to Make Pregnancy Safer,WHO,2010(WHO/MPS/10.03)。",
"[24] 见Progress for Children: Achieving the MDGs with Equity(No.9),UNICEF,2010。",
"[25] 见第61/106号决议。",
"[26] E/CN.4/Sub.2/1991/31(United Nations publications,Sales No.E.92.XIV.4)。",
"[27] 《消除对妇女一切形式歧视公约》,第16条2款；消除对妇女歧视委员会关于平等婚姻和家庭关系的一般性建议21(1994)；儿童权利委员会，第4号一般性意见(2003年)，《儿童权利公约》下青少年的健康和成长问题。",
"[28] 数字供第33段及其后各段参考。",
"[29] 见“Giving Girls Today and Tomorrow: Breaking the Cycle of Adolescent Pregnancy”, UNFPA, 2007(见http://www.unfpa.org)。",
"[30] 见Miriam Temin and Ruth Levine, Start with a Girl: A New Agenda for Global Health, Center for Global Development,2009。",
"[31] 见“Child Protection Meta Evaluation”：Final Report,UNICEF,15 May 2008(见http://www. unicef.org)。",
"[32] Fact Sheet,United Nations Interagency Task Force on Adolescent Girls,3 March 2009。",
"[33] Yanchun Zhang,Nina Thelen and Aparna Rao,“Social Protection in Fiscal Stimulus Packages: Some Evidence,”working paper,UNDP/ODS,2010。",
"[34] 见E/2005/27和Corr.1；儿童权利委员会关于儿童表达意见权的第12号一般性意见(2009年)。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 65 (a) of the provisional agenda*",
"Promotion and protection of the rights of children",
"The girl child",
"Report of the Secretary-General",
"Summary",
"The present report, submitted pursuant to the request of the General Assembly in its resolution 64/145, contains a brief overview of international obligations and commitments with respect to the girl child stemming from human rights treaties and international conferences, as well as legal and policy development. It assesses the negative impact on the girl child caused by poverty and the global economic crisis; violence, abuse and exploitation; gender disparities in education; lack of adequate water, sanitation and hygiene; nutrition; HIV/AIDS; health; disabilities; humanitarian crises; and participation, and highlights action taken to address child and forced marriage.",
"I. Introduction",
"1. The present report is submitted in accordance with the request of the General Assembly in its resolution 64/145, entitled “The girl child”, that the Secretary-General submit a report to the Assembly at its sixty-sixth session on the implementation of the resolution, with a view to assessing its impact on the well-being of the girl child, with an emphasis on ending child and forced marriage. For the purpose of the preparation of the report, notes verbales requesting relevant information on the implementation of the resolution were sent to Member States[1] and United Nations agencies, funds and programmes and letters were sent to key non-governmental organizations (NGOs) working to promote the rights of girls.",
"2. The report follows up on the report submitted by the Secretary-General to the General Assembly at its sixty-fourth session (A/64/315), which included a focus on ending female genital mutilation. It provides an overview of: the existing legal and normative frameworks and international commitments with respect to the rights of the girl child (sect. II); the situation of the girl child in areas covered by resolution 64/145 (sect. III); and a detailed analysis of the practice of child and forced marriages (sect. IV). The report also highlights progress and achievements made to promote the rights of the girl child (sect. V) and recommendations for future action (sect. VI).",
"II. Legal and normative framework and global commitments",
"A. Human rights treaties and other international conventions",
"3. The fulfilment of the rights of girls is an obligation and a moral imperative which is reflected in international law. There is a comprehensive international legal framework establishing the obligations of States regarding the human rights of the girl child. In addition to the Convention on the Rights of the Child, which provides a comprehensive set of rights to be enjoyed “without discrimination of any kind”, including discrimination on the grounds of sex, all fundamental human rights treaties include provisions confirming the principle of non-discrimination and equality between men and women, boys and girls. Of particular importance is the Convention on the Elimination of All Forms of Discrimination against Women, which, while focusing on women, has a direct bearing on the situation and well-being of the girl child. Furthermore, the Convention on the Rights of Persons with Disabilities, which entered into force in May 2008, includes specific language with respect to children (article 7). In addition, according to article 6 of that Convention, “States Parties recognize that women and girls with disabilities are subject to multiple discrimination, and in this regard shall take measures to ensure the full and equal enjoyment by them of all human rights and fundamental freedoms”.",
"4. In addition to the human rights treaties, legal obligations stem from legally binding labour law instruments, including the 1973 Minimum Age Convention (No. 138) and the 1999 Worst Forms of Child Labour Convention (No. 182) of the International Labour Organization (ILO). This legal framework for the rights of children in general, and for the rights of girls in particular, is further strengthened by regional human rights instruments, including the 2005 Protocol to the African Charter on Human and Peoples’ Rights on the Rights of Women in Africa.",
"5. Normative developments during the reporting period include the adoption by the Committee on the Rights of the Child of its general comment No. 13 (2011) on the right of the child to freedom from all forms of violence, elaborating on article 19 of the Convention on the Rights of the Child. The general comment analyses the gender dimensions of violence against children and recommends that: “States Parties should ensure that policies and measures take into account the different risks facing girls and boys in respect of various forms of violence in various settings”. It further calls on States to address all forms of gender discrimination as part of a comprehensive violence-prevention strategy, including addressing gender stereotypes, power imbalances, inequalities and discrimination which support and perpetuate the use of violence and coercion in the home, in school and educational settings, in communities, in the workplace, in institutions and in society at large. “Men and boys”, it asserts, “must be actively encouraged as strategic partners and allies, and, along with women and girls, must be provided with opportunities to increase their respect for one another and their understanding of how to stop gender discrimination and its violent manifestations” (CRC/C/GC/13, para. 72 (b)).",
"B. International conferences, intergovernmental bodies and related commitments",
"6. In addition to ratifying international legally binding instruments, Member States have also made far-reaching commitments to eliminate discrimination against the girl child in the context of world conferences and other international forums. The United Nations Fourth World Conference on Women, held in Beijing in 1995, was the first such conference to include a specific segment on the girl child. The Beijing Platform of Action[2] included strategic objectives on issues ranging from the elimination of all forms of discrimination against the girl child and negative cultural attitudes and practices against girls to the promotion and protection of the rights of the girl child in the areas of education, health and nutrition, child labour, violence and participation in economic and political life.",
"7. In its resolution 64/145, the General Assembly reaffirmed other outcomes of major United Nations summits and conferences relevant to the girl child, including: the outcome of the twenty-third special session of the General Assembly, entitled “Women 2000: gender equality, development and peace for the twenty-first century”;[3] the Programme of Action of the International Conference on Population and Development;[4] the Programme of Action of the World Summit for Social Development;[5] and the declaration adopted by the Commission on the Status of Women at its forty-ninth session,[6] as well as the agreed conclusions adopted by the Commission at its fifty-first session, at which it considered as its priority theme “The elimination of all forms of discrimination and violence against the girl child”.[7]",
"8. At its 16th session, the Human Rights Council considered the joint report of the Special Rapporteur on the sale of children, child prostitution and child pornography and the Special Representative of the Secretary-General on Violence against Children (A/HRC/16/56). The report focused on effective and child-sensitive counselling and complaint and reporting mechanisms to which children can safely report incidents of violence, including sexual violence and exploitation. The report noted that the non-governmental organization Child Helpline International, in its 2010 report on violence against children, had recorded more than 250,000 incidents of violence and abuse from the 62 help lines contributing to its survey. Most complaints concerned children between the ages of 10 and 15, in particular girls. Physical abuse and bullying were most frequently reported, followed by neglect, sexual abuse and emotional violence. The report also acknowledged that girls remain the main victims of sexual violence in armed conflict.",
"9. Following a panel discussion held at the same session of the Human Rights Council, on the protection and promotion of the rights of children living and/or working on the street, the Council, expressing deep concern about the situation of girls and boys working and/or living on the street worldwide and the negative impact this has on the full enjoyment of their rights and their development, strongly condemned violations of the rights of those children, including gender-based violence, and urged States to ensure a holistic rights-based and gender-responsive approach to address this phenomenon (see Human Rights Council resolution 16/12).",
"III. Discrimination and the situation of the girl child",
"A. Poverty and the impact of the global economic crisis",
"10. Globally, over 8 million children die before the age of 5, of whom over 5.7 million die before the age of 1.[8] Poverty acutely affects the lives of children, threatening their survival and development, and their rights to health, adequate food and nutrition and education. It also has a negative impact on their rights to participation and to protection from violence, harm and exploitation. Moreover, girls not only suffer from the effects of poverty and disease, but also from other factors, including: social and cultural norms that reinforce gender inequality; discrimination on the basis of their ethnicity; and social, geographical and income inequities, which may compound the gender discrimination they face. They are therefore extremely vulnerable to further deprivation and marginalization.",
"11. The global economic crisis, which began in 2008, has exacerbated the impact of poverty on children, and the magnitude of the poverty that many of them face. During crises, age-specific and gender-based vulnerabilities are compounded: women and youth may be the first to lose their jobs or be underemployed; households may be forced to reduce spending, thus affecting the nutritional intake of children; and children may have to drop out of school to help their families seek additional income.[9] Recent estimates suggest that 30,000 to 50,000 more infant deaths, the majority of them girls, could have occurred in sub-Saharan Africa because of the crisis.[10]",
"12. Although the global economy is now showing signs of recovery, and global gross domestic product (GDP) growth rates have rebounded considerably since 2009, girls and women are still vulnerable to many of the lingering effects of the crisis. Recent surges in food prices may also negatively affect girls. The Food and Agriculture Organization of the United Nations (FAO) Food Price Index, which measures the international price of food for a common basket of food commodities, has surged in recent months, averaging 234 points in June 2011, just below record highs in February and 39 per cent higher than in June 2010.[11] Domestic food prices have also remained alarmingly high since the previous spike in food prices in 2008.[12] Recent estimates suggest that, because of the recent food price hikes, approximately 44 million people have been pushed into poverty.[13]",
"13. As Governments move to address mounting fiscal deficits, there is concern that spending in key areas that affect the well-being of girls could be cut. Furthermore, where contractions in public spending on health and education occur, the cost burden often shifts to households, in particular to women and girls. When household income falls, women often have no choice but to take on low-status and temporary jobs, in addition to their other responsibilities, and girls may face disparities in how food is distributed within the household.³",
"B. Violence, abuse and exploitation",
"14. For millions of girls and women worldwide, violence is a part of their daily lives, at home, at school, in care and justice institutions, at their workplace and in their community. This is the case in every country, both developed and developing.",
"15. Data suggest that 150 million girls under the age of 18 have experienced some form of sexual violence,[14] and more than 70 million girls and women between the ages of 15 and 49 in 29 countries have undergone female genital mutilation/ cutting.[15] Evidence from many areas of sub-Saharan Africa shows that female circumcision can lead to severe and chronic disabling pelvic and urinary tract problems and mobility impairment and can place girls at increased risk for a number of infectious diseases, including HIV.[16] However, data in this field is limited, and violence against girls and women is under-recognized and underreported or unrecorded because of stigma, fear, social tolerance and the often illegal and covert nature of such activities.",
"16. Girls often carry the triple burden of housework, schoolwork and work outside the home, paid or unpaid. Such burdens, in particular hours spent on unrecognized work within the household, significantly reduce their school achievement and completion rates and increase the likelihood that they, and their children, will continue the cycle of child labour.[17]",
"C. Gender disparities in education",
"17. Increased enrolments in the last decade have ensured that the gender gap in the out-of-school population at the primary education level has narrowed: girls of primary school age who are out of school decreased from 57 per cent in 1998 to 53 per cent in 2008. However, nearly 36 million at the primary level and over 39 million girls at the lower secondary level remain out of school. Progress has been uneven and aggregate figures often mask large variations among countries and regions. The number of out-of-school girls is much larger in South and West Asia and in sub-Saharan Africa.[18]",
"18. Along with gender, factors such as poverty, ethnicity and household location also increase the likelihood of a child being out of school. In developing regions overall, girls in the poorest 20 per cent of households are 3.5 times more likely to be out of school than girls in the richest households and four times more likely to be out of school than boys from the richest households.[19]",
"D. Lack of access to water, sanitation and hygiene facilities",
"19. Girls, more often than boys, bear the responsibility of collecting water. Data from 45 developing countries indicate that girls under 15 years of age are twice as likely to bear this responsibility as boys in the same age group. The ratio increases as girls move into womanhood, with women being responsible for collecting water in almost two thirds of households. In some cases, girls have to walk great distances to collect water, increasing their workload and affecting their health and their ability to spend time on their education. In addition, collection and exposure to unsafe water can take a physical toll.[20]",
"20. In addition, girls, particularly adolescent girls, may be at risk of sexual harassment or rape at wells or other water points as well as in school toilets, especially those that are located outside the protective environment of the school. In humanitarian crises, problems facing girls in terms of access to water, sanitation and hygienic practices are even more acute.",
"E. Inadequate nutrition services and prevalence of anaemia",
"21. There are negligible gender disparities at the global level in nutrition outcome indicators relating to girls and boys under 5 years of age. In general, however, the inadequacy of nutrition services (in terms of the coverage of nutrition programmes and quality/availability of food and supplies) has a disproportionately negative impact on women and girls. This is because of the higher nutritional needs of women and adolescent girls, the cultural barriers that prevent them from travelling far distances to reach services and lack of time owing to their workload. In addition, studies and analyses have found a significant association between low maternal literacy and poor nutritional status of young children.[21]",
"22. It is notable that anaemia (two thirds of the cases of anaemia are due to iron deficiency), which is highly prevalent among adolescent girls and women in developing countries, increases the risk of maternal death. The high rates of anaemia among girls and women are related to the loss of iron they experience, especially during adolescence, owing to menstruation and pregnancy.",
"F. HIV and AIDS: the disproportionately high risk",
"23. Young women and adolescent girls continue to face a disproportionately high risk of infection due to biological vulnerability, social inequality and exclusion. Nearly 78 per cent of all young people living with HIV in the 15- to 24-year-old age group are from sub-Saharan Africa; most of them are female and are not aware of their HIV status. Over 60 per cent of all adolescents living with HIV in the 10- to 19-year-old age group are girls.[22]",
"24. Globally (excluding China), 11 per cent of adolescent girls have had sex before age 15, and adolescent girls under age 20 account for about 15 million births every year.[23] Early experiences with sex and drugs are key factors associated with the risk to adolescent girls for contracting HIV. These behaviours reflect problems in the environment of adolescent girls and are the result of multiple failures in protection and care, possibly associated with violence, exploitation, abuse and neglect.",
"25. Social and income inequality and inadequate knowledge about sexuality and HIV underlie other behaviours that exacerbate the risk for HIV infection, including sex with multiple partners and age-disparate relationships. Young women and adolescent girls are often compelled to be in relationships with older partners as a survival strategy for money, food, protection or other social or material gain. Their risk of infection is heightened by laws, policies and practices that restrict the access of adolescent girls to condoms, HIV testing and accurate, comprehensive sex education. Intimate partner violence, which often occurs with the knowledge of families and communities, also limits the ability of young women and girls to make effective choices for the prevention of HIV and further adds to the risk of contracting the virus.",
"G. Adolescent health",
"26. While under-five mortality tends to be higher for boys than for girls because girls have certain biological and genetic advantages, gender inequality results in girls having to confront greater health risks in adolescence.[24] Early pregnancy and childbirth are among the leading causes of death worldwide for adolescent girls between the ages of 15 and 19. At this stage of their lives, girls tend to be at greater risk than boys of negative health outcomes, including depression, and these risks are often magnified by gender-based discrimination and abuse. Girls are particularly prone to eating disorders such as anorexia and bulimia, and this vulnerability derives in part from profound anxieties over body image, fuelled by cultural and media stereotypes of feminine beauty.¹⁵",
"H. Disabilities: stigma and marginalization",
"27. Girls with disabilities not only face the same social stigma and marginalization that boys with disabilities encounter, they face additional discrimination because of their sex. In addition to suffering from marginalization within the family, the community, at school and in wider social circles, which may lead to poor health and education outcomes, girls with disabilities are often at greater risk of violence, injury, abuse, neglect or negligent treatment, maltreatment and exploitation.[25] Furthermore, girls with disabilities may be subjected to forced sterilization or abortion.[26]",
"I. Humanitarian crises",
"28. During humanitarian crises, including armed conflict and natural disasters, girls are exposed to a dramatic increase in rights violations as a result of the greater instability and insecurity that ensue, including the related breakdown of formal and informal protection mechanisms. The consequences of humanitarian crises are highly gendered and may be shaped by pre-existing gender inequalities that can exacerbate negative impact for girls. In emergencies, girls, in particular adolescent girls, are vulnerable to rape and sexual exploitation at the hands of fighting forces, community members, humanitarian workers and uniformed personnel. In the context of armed conflict, girls may be abducted or recruited into armed forces or groups. Reports of girls engaging in transactional sex for aid or selling sex to meet their own needs or those of their families are frequent. Such activity increases their vulnerability to sexual exploitation and abuse, HIV/sexually transmitted infections and unwanted pregnancies. Girl survivors of sexual violence and other forms of gender-based violence suffer mental health and psychosocial problems, severe social stigmatization and exclusion.",
"29. Crisis-affected girls are less likely than boys to be enrolled in school or to have access to early education; they also have limited access to sexual and reproductive health services. In cultures where boys are more valued than girls, boys may be given priority by families and community members in distribution of aid. Increased poverty resulting from crisis may also drive parents to push their daughters into child marriage (as a coping mechanism) in some cases. Girls who, along with women, traditionally take on the majority of household chores, often shoulder an increased workload during crises to support their families in the face of diminished social services. This adds to their daily burden, leaving less time for school and other activities.",
"J. Lack of participation opportunities",
"30. The fulfilment of article 12 of the Convention on the Rights of the Child, which states that “States Parties shall assume to the child who is capable of forming his or her own views the right to express those views freely in all matters” affecting him or her, poses profound challenges for Governments in most regions of the world. Traditionally, children have not been deemed to have the experience, knowledge or understanding necessary to be directly involved in contributing to major decisions affecting their lives. Social and cultural patterns of conduct within the family typically present further barriers to the ability of girls and women to claim their rights. Increasingly, youth service programmes are creating spaces for the participation of young people. However, the proportion of girls, in particular those who are out of school and disadvantaged, in typical peer clubs and youth programmes is often very low. Many communities also lack strong female leaders to serve as role models and opportunities for girls and women to establish networks and realize their right to participation.",
"IV. Ending child and forced marriages",
"31. Marriage of a girl or boy before the age of 18 is recognized in international legal instruments to be a violation of the child’s human rights.[27] Even if the child consents to it, child marriage is an outcome of prevailing social norms whereby children are expected to marry as children. It can therefore be considered forced marriage. In some cases, child marriage is referred to as early marriage; however, this terminology is equivocal because it is relative in nature. For example, it could also apply to the promotion of marriage at an earlier age in countries where the average age of marriage is over 30 years.",
"32. Child marriage is the result of the interplay of economic and social forces, forces which are particularly strong with respect to the marriage of girls. The cost of marriage for families tends to be lower if the children are younger, both because they leave the care of their parents and because younger girls tend to require a lower dowry. These social forces are manifested by the social approval that families enjoy if they are seen to uphold tradition, safeguard the chastity of their girls, protect the honour of the family and minimize the risk of girls bearing children out of wedlock. Failure to abide by social norms is met with social disapproval, which may even entail violence against the girl or members of the family.",
"33. A review conducted by the United Nations Children’s Fund (UNICEF) in 2010 using data from the latest demographic and health surveys and multiple indicator cluster surveys shows that about a third of women in the developing world who are currently 20 to 24 years old were married before the age of 18. It also indicates that, overall, the prevalence of child marriage has been decreasing, albeit slowly. While 48 per cent of women in the developing countries between 45 and 49 years of age were married before reaching 18 years of age, the proportion drops to 35 per cent for women between the ages of 20 and 24.^(24,)[28]",
"34. Data also indicate significant inequities. Child marriage is strongly associated with girls who have received little formal education. Decreases in the practice have occurred almost exclusively among households in the highest income quintile, while prevalence among the households in the lowest income quintile has remained almost unchanged. Data substantiate the perception that child marriage is motivated in part by economic factors and although it is necessary to address those factors, such actions alone will not be sufficient to bring about an end to the practice.",
"35. In communities where the practice is prevalent, marrying a girl as a child is part of a cluster of gender norms and attitudes that reflect the low value accorded to the human rights of girls. These norms include: early and continuous childbearing, with negative consequences on the health of both the mother and her children; dowry or bride price whereby girls are considered an economic asset; giving preference to the education of boys over that of girls; having girls eat after the men and boys in the household, with potential negative effects on the overall health and nutritional status of girls; and the general expectation that girls should be subservient to men, which infringes on their right to participation.",
"36. Where child marriage is prevalent, adolescent girls become brides, get pregnant and have children before they are physically, emotionally and socially ready to be mothers. Approximately 15 million adolescent girls, the majority of whom are married, give birth each year.²³ Most of them lack awareness of their rights and of health-care services, including reproductive health. As a result, they face significant risks during pregnancy, including obstetric fistula and death. Girls between 10 and 14 years of age are five times more likely than women aged 20 to 24 to die in pregnancy and childbirth.[29] Because they start childbearing early, adolescent girls are likely to have more children and at shorter intervals, putting them at higher risk of maternal death and disability. As a result, their life options are also constrained by reduced opportunities to complete their education, gain comprehensive health knowledge, participate in the community or develop employable skills. Child marriage also exposes young married girls to greater risk of HIV and sexually transmitted infections, as they lack the power to refuse unwanted and unprotected sexual intercourse with older husbands. There are also negative consequences for the next generation: stillbirths and death are 50 per cent more likely for babies born to mothers younger than 20 years than among babies born to mothers of between 20 to 29 years of age.[30]",
"37. Progress towards the goal of ending child marriage is of crucial importance for achieving the Millennium Development Goals. It will also contribute to the implementation of the Convention on the Rights of the Child and the Convention on the Elimination of All Forms of Discrimination against Women and will respond to the recommendations of the 2006 report of the Secretary-General on violence against children.¹⁴",
"38. Country experience shows that ending child marriage requires an approach that includes Government commitment through the enactment of appropriate legislation as well as support to communities to enable them to find better alternatives. While necessary, in contexts where social support for child marriage is high, legislation that bans the practice is very difficult to enforce. Nonetheless, legal measures and communications strategies can be used to diminish support for the practice and, as social acceptance begins to wane, to provide legitimacy and support to those who are moving to end the practice.",
"39. Several countries are enacting legislation setting the minimum age of marriage at 18, in accordance with general comment No. 4 of the Committee on the Rights of the Child, while others are increasing the minimum age of marriage to 18 and eliminating differences in the legal age between boys and girls. In 2009, Eritrea revised its Civil and Penal Code to increase the minimum age of marriage to 18 for both boys and girls, ensure that marriage is consensual and equal and limit bride price and dowry. In Malawi, the law is being redrafted to increase the legal age of marriage from 16 years of age. In other countries, including Mali and Yemen, the issue is a topic of debate, with proposals for setting or increasing the legal age of marriage under discussion.",
"40. Ending child marriage requires support for community discussions to collectively explore alternatives to the practice.[31] Such discussions need to be respectful of the desire of families to uphold tradition while simultaneously exposing the harm associated with the practice and reinforcing human rights principles. Information can be provided through credible sources, including medical personnel and religious leaders, and a greater voice can be given to girls themselves ensuring consistency of message throughout the community. The strong engagement of men and boys is also needed. Such awareness-raising actions have been reported from countries in various regions.",
"41. Comprehensive policies and programmes on child marriage address the needs of adolescents who are already married while supporting actions to end the practice. They provide viable alternatives and institutional support, especially expanded educational opportunities for girls, including for those who are already married or pregnant. Countries are increasing physical access to education by establishing safe residential facilities, increasing financial incentives to families, promoting the empowerment of girls, improving educational quality and ensuring safe and hygienic conditions in schools. In some countries, such as Djibouti, legal measures have been taken to make school attendance mandatory up to 16 years of age.",
"42. Despite its widespread practice, child marriage has historically received limited attention, although there are increased efforts among a range of partners, notably non-governmental organizations, the United Nations Population Fund (UNFPA) and UNICEF. The latter two entities have stepped up their advocacy and programme support to countries, including through the United Nations Inter-agency Task Force on Adolescent Girls. In addition, the Committee on the Elimination of Discrimination against Women and the Committee on the Rights of the Child are in the process of drafting a joint general comment/recommendation on harmful practices, which will update the guidance provided to States parties on child marriage. Development cooperation agencies such as USAID are also increasing attention to the issue of ending child and forced marriage.",
"43. Experience in countries as diverse as Bangladesh, Burkina Faso, Djibouti, Ethiopia, India, Niger, Senegal, Somalia and Sweden indicates that combining legal measures with support to communities, providing viable alternatives and enabling them to discuss and reach the explicit, collective decision to end child marriage yields positive results. In addition, there have been many encouraging outcomes from the efforts of national and local civil society organizations. Other countries have also made progress on some of the elements needed to end child marriage. For example, Belgium, Nicaragua and Slovakia report strengthening the legislative framework banning child marriage. In other countries, however, ending child marriage is given a low priority despite the fact that the practice infringes on the rights of a high proportion of adolescent girls and a proportion, albeit smaller, of adolescent boys.",
"44. If current trends continue, as many as 100 million girls could be married during the next decade.[32] However, with the available knowledge and experience and increased action by States in enhanced partnerships with civil society, the majority of girls and boys could delay marriage and realize much more of their potential, to the benefit of the entire community.",
"V. Progress and achievements",
"45. Progress has been made in a number of areas with respect to the promotion of the rights of girls and the implementation of General Assembly resolution 64/145. Some key achievements are highlighted below.",
"A. Strengthened legislation and commitment",
"46. National legislation addressing violence against women and girls is being systematically improved across the world. Numerous States have adopted laws and policies, including specific action plans and strategies, to address the multiple forms of violence against girls, including human trafficking, sexual violence and exploitation, female genital mutilation/cutting and child marriage. In addition, the institutional response to violence and exploitation has been strengthened in some countries through intersectoral coordination and capacity-building in the social welfare, justice, education and health sectors.",
"47. Owing in part to the global campaign, launched in May 2010, for the universal ratification of the Optional Protocols to the Convention on the Rights of the Child on the sale of children, child prostitution and child pornography and on the involvement of children in armed conflict, approximately 75 per cent of all Member States have now ratified both Optional Protocols and are working to implement their provisions. A number of countries have already passed some form of legislation to stop child pornography.",
"48. The Convention Concerning Decent Work for Domestic Workers, adopted by ILO in June 2011, establishes a set of international standards aimed at improving the working conditions of tens of millions of domestic workers worldwide, including children, of whom 90 per cent are estimated to be girls.¹⁵",
"49. The international response to protecting girls affected by conflict has been strengthened by the adoption of Security Council resolution 1882 (2009) on children and armed conflict, which expands the monitoring and reporting mechanism to include sexual violence in armed conflict, resolution 1888 (2009) and resolution 1960 (2010) on prevention and protection from conflict-related sexual violence, which establish strengthened mechanisms to hold perpetrators to account, and resolution 1889 (2009) on women and peace and security, which calls for a set of global indicators to better monitor the inclusion of girls and women in peacebuilding, to meet their security needs and to provide basic services.",
"B. Joint initiatives",
"50. with the support of UNFPA and UNICEF, 15 African countries have adopted a common approach to ending harmful practices. The approach includes the promotion of laws and community programmes, large-scale community discussion sessions based on human rights principles and community and district-wide public declarations for the abandonment of female genital mutilation/cutting.",
"51. Many Governments are also carrying out multisectoral initiatives to provide support to girls and women and to address violence against girls in the home, schools, communities and the workplace. Within the context of the Council of Europe Convention on the Protection of Children against Sexual Exploitation and Sexual Abuse, which entered into force on 1 July 2010, countries are combining systemic interventions with awareness-raising and direct support to girls and women experiencing violence, including establishing child help lines and making information on preventive and protective measures available to communities.",
"52. The United Nations Girls’ Education Initiative, launched in 2000 at the World Education Forum, continues to play a significant role in keeping the spotlight on the education of the girl child. The initiative brings together diverse stakeholders, Governments, civil society organizations, bilateral aid agencies, the private sector and the United Nations system, to work to ensure the right to free and compulsory education and gender equality. The partnership is currently operational in 47 countries in Africa and Asia.",
"53. The United Nations Inter-agency Task Force on Adolescent Girls, co-chaired by UNFPA and UNICEF, and including ILO, the United Nations Educational, Scientific and Cultural Organization (UNESCO), the Office of the United Nations High Commissioner for Refugees (UNHCR), UN-Women and the World Health Organization (WHO), provides a platform for collective action for the most marginalized adolescent girls. Work is under way with Governments and their partners to develop comprehensive programmes in Ethiopia, Guatemala, Malawi, Liberia, the United Republic of Tanzania and other countries.",
"54. The humanitarian community has increasingly invested in ensuring that inter‑agency coordination mechanisms respond to the distinct needs of girls, as well as boys, women and men. In 2010, new inter-agency tools and guidelines were developed to help humanitarian actors better respond to the distinct needs and rights of girls affected by crisis situations. They include: the Inter-Agency Network for Education in Emergencies “Pocket Guide to Gender” (2010), which provides concrete examples of how to promote girls’ education in emergency situations; the “Handbook for Coordinating Gender-based Violence Interventions in Humanitarian Settings” (2010), which provides guidance on leadership roles, key responsibilities and specific actions to be taken; and the Adolescent Sexual Reproductive Health Toolkit for Humanitarian Settings (2010), which addresses the special needs of adolescents in humanitarian crises, with special attention to the particular vulnerabilities of girls and those most marginalized, such as indigenous groups, migrants and persons with disabilities.",
"C. Improved access to, and quality of, education",
"55. Since the launch of the “Education for All” initiative in 1990, a number of interventions across developing countries have successfully accelerated school enrolment and school completion rates for girls. For example, the elimination of user fees and the provision of stipends and cash transfers to girls has led to greater demand for education, inter alia, in Bangladesh, El Salvador, Mexico and Kenya. In Namibia, efforts have focused on addressing cultural and social norms that impede girls’ education through the adoption of a policy allowing teenage mothers to return to school after they have their babies. In addition, the Government has launched a national “zero-tolerance” campaign for gender-based violence and efforts have been made to build the capacity of administrators across all sectors to handle cases of gender-based violence, as well as that of media professionals reporting on the issue.",
"56. Several Member States and United Nations organizations, including UNICEF, FAO, UNESCO and the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), are supporting girls’ transition to secondary education and advocating for vocational education training opportunities for adolescent girls, based on their specific needs and contexts. The World Food Programme (WFP) has been providing take-home rations as an incentive to enrol and keep girls in school. In addition to improved access, efforts are also being made to improve girls’ experience of schooling and the quality of education they receive by ensuring that schools are child-friendly and gender-responsive and that they promote human rights education.",
"57. Countries such as El Salvador and Nicaragua are integrating human rights and life skills education, including reproductive health issues, into school curricula in order to equip adolescent girls with appropriate knowledge. In Madagascar, the United Nations Democracy Fund supports organizations such as the scouts and youth environmental clubs to promote an appreciation among children and youth of gender equality and human rights. In Ghana, UNICEF supports a children’s radio broadcasting network known as “Curious Minds” to serve as a knowledge platform for the exchange of ideas and dissemination of laws affecting children in general. Such networks have served as useful channels for publicizing information on girls’ education, protection from traditional practices and teenage pregnancy.",
"58. Additional measures have been taken to recruit qualified female teachers and build the capacity of teachers and educational administrators to address gender issues. In Malta and Sweden, for example, policymakers, teachers and students are sensitized to the need for greater gender equality in career choices, with a focus on increased participation of girls in mathematics and science.",
"D. Improved health services",
"59. Health services for girls have been strengthened in many parts of the world. For example, in Djibouti, confidential family planning services are provided and women and girls are at the centre of the national strategic plan on HIV/AIDS for 2008-2012. In Bangladesh, the use of the integrated management of childhood illness and the training of community health workers have helped reduce gender disparities in immunization coverage. UNRWA health programmes provide paediatric preventive and curative services for Palestinian refugees, including through schools, while raising awareness on ending child marriage and the prevention of gender-based violence.",
"E. Girls’ participation",
"60. Initiatives have been undertaken to promote the empowerment of girls by creating opportunities for their participation, developing their leadership skills, informing them about their rights and helping them build the skills to exercise those rights. In Jamaica, a child symposium and gender training workshops, the latter organized by the Bureau of Women’s Affairs, were held to inform girls and boys about their rights and raise awareness of gender-based violence and sexual and reproductive health. In Chile, UN-Women supported a study, developed by 40 young women, on violence against young women in marriage and other relationships. The results of the study will be used for advocacy with Parliamentarians.",
"61. In Cameroon, an initiative was set up, with UNICEF support, to develop young people’s leadership skills by creating youth municipal councils. The initiative has resulted in the establishment of 21 such councils, of which 17 are headed by adolescent girls. Girls make up half the membership of the councils, compared to only 6 per cent of national councils being led by female mayors. The youth mayors and their councillors advocate youth participation in decision-making within their communities. UNFPA is working to empower young girls in Guatemala, Malawi and Ethiopia by promoting safe spaces, building leadership skills and supporting life skills education activities with a focus on sexual and reproductive health. These programmes are also being managed by youth leaders.",
"F. Mitigation of the impact of the global economic crisis",
"62. Special measures have been taken to mitigate the impact of the economic crisis on girls and women. Successful examples include maintaining necessary social sector expenditures and implementing social protection policies to help ensure their rights to health care, education and maternal health services. A recent study found that in 35 countries an estimated 25 per cent of stimulus spending, amounting to $653 billion, went to social protection measures.[33] It is important to ensure that these measures are not cut back as part of austerity programmes to curb public-sector spending. Moreover, transformative social protection measures, including anti-discrimination policies and legislation reform, have the potential to address social vulnerabilities, ensuring equitable access to services by girls and boys.",
"VI. Recommendations",
"63. While progress has been made, as the above examples demonstrate, such efforts must be built upon and expanded. This requires decisive action by Governments, supported by development agencies, non-governmental organizations and civil society, with the active engagement of girls and boys, men and women.",
"A. Empower girls",
"64. Girls’ participation and empowerment should be further promoted as called for by the Commission on the Status of Women, the Committee on the Rights of the Child and other bodies.[34] It is important to recognize girls as key actors in achieving both gender equality and their own empowerment. Programmes to develop their leadership skills should be supported as part of school curricula, or through other means, such as girls-only clubs or as part of broader skills training programmes. The involvement of girls in the design and delivery of development programmes intended to reach them should also be promoted. Efforts must also ensure that the perspectives of girls, including adolescent girls, are included in discussions about humanitarian preparedness, response and recovery, institutionalizing opportunities for them to speak about their distinct concerns and formulating recommendations on how to address them.",
"65. Girls cannot exercise their rights unless they have access to information in a form that they can use and understand. Social networks and safe spaces for girls can facilitate their access to essential information and health and protective services. Comprehensive, age-appropriate sex education and knowledge of their HIV status enhance their ability to protect themselves and take charge of their health and well‑being.",
"B. Support social change and transform power relations",
"66. Where inequalities and discrimination against girls are entrenched, social change and transformation of power relations are essential to achieving gender equality and the empowerment of girls and women. A better understanding of the role of social norms and the ways they affect the decision-making processes of individuals, families and communities to inform policies and strategies and to scale up interventions is a vital complement to higher-level initiatives such as legislative reform. Without addressing the root causes of gender inequality and the exclusion of girls, it is not possible to meet collective obligations to protect and fulfil the rights of girls. Governments, communities and households are accountable for shaping positive environments that do not tolerate discrimination or violence against girls.",
"C. Keep girls in school",
"67. Investing in the education of girls empowers them and helps accelerate the fight against poverty, inequity and gender discrimination. Special efforts are needed to identify and reach out to girls who are the hardest to reach and most excluded, including girls from: the poorest households; rural, slum and remote areas; socially excluded groups, including children with disabilities; and indigenous and disadvantaged minority populations.",
"68. Gains made in primary education during the last decades must be consolidated, while accelerating progress by expanding pre-primary education programmes, to ensure that girls start and stay in primary school, and through targeted interventions aimed at getting out-of-school children, the majority of whom are girls, back in school. Since gender disparities are the greatest at the secondary education level, the transition of girls from primary to secondary education should be facilitated and increased and access to secondary education expanded, with particular attention to reducing dropout rates among girls. Multiple pathways of education, both formal and informal, should be promoted to ensure that girls successfully complete their basic education and make the school-to-work transition. Furthermore, multisectoral strategies covering education as well as health and nutrition, social protection, infrastructure and the labour market should be employed to ensure gender equality in education.",
"D. Address the rights of adolescent girls",
"69. Girls face increased discrimination in adolescence. While gender discrimination is a factor even before birth and gender stereotypes are typically introduced early in the life of the child, when girls reach adolescence, they often face new restrictions and limitations. Much too often, they find themselves prematurely in adult roles of wife, mother, worker or caretaker, losing the special provisions and protections of childhood. Educated, healthy and skilled adolescent girls can help advance social justice, support economic development and contribute to eradicating poverty. It is important to invest in the rights and protection of adolescent girls and to ensure they are no longer neglected in development policies and programmes.",
"E. Strengthen data collection and analysis",
"70. There is a need for better sex- and age-disaggregated data to provide a better understanding of the situation of girls. It is also necessary to go beyond disaggregating data by sex and to analyse data that reveal the multiple forms of exclusion that girls face, including discrimination because of disabilities, living in the poorest communities or belonging to indigenous or minority groups. This should include the collection and analysis of both quantitative and qualitative data and information.",
"F. Promote inclusive policies and programmes",
"71. Programmes should also take a holistic approach to addressing the full range of discrimination girls may face in order to protect their rights effectively. Part of respecting girls as human beings with rights involves recognizing the realities of their lives and the diversity of their circumstances. This includes ensuring a gender-focused response to the recovery process in relation to the global economic crisis. National commitments that support and protect girls’ rights through adequate and sustained investments in health care and nutrition, clean water, basic education, child and social protection services and participation mechanisms must be upheld and, where possible, expanded. Responses, including in the form of special measures focused on the most marginalized and vulnerable, should be introduced to ensure the enjoyment and protection of the rights of children, including girls and other disadvantaged and vulnerable groups in society.",
"G. Expand and improve services for girls",
"72. Health, nutrition and other services should be expanded and improved so as to address the needs and rights of girls. For example, comprehensive services should be provided for adolescent girls and young women living with HIV. Male and female health and nutrition service providers should receive training to use gender-responsive approaches. Multisectoral referral and response systems should be established providing links to childcare, livelihood, microfinance, vocational education and employment programmes. Inequalities in access to health care should be addressed through efforts to reach girls with disabilities by promoting inclusive health services, including age-appropriate sexual and reproductive health services, so that all girls can realize their right to health. Dedicated outreach programmes are needed to reach the youngest first-time mothers to enable them to better access life-saving maternal health services. Efforts should also be made to ensure access to safe water close to the home in order to reduce the workloads of girls, so that they can stay in school, care for their health, play and undertake other activities on an equal basis with boys. Such services should be carefully designed, wherever necessary, to address the particular vulnerabilities and needs of girls. This is of particular importance in humanitarian situations, where the needs of girls, including adolescent and marginalized girls, are in danger of remaining neglected or overlooked when using a “one size fits all” model.",
"73. Dedicated resources should be earmarked for programming specific to girls, whenever required. The identification and response to the rights and needs of girls should be ensured across the scope of humanitarian action, including in the context of disaster risk reduction, as well as in relation to preparedness, response and recovery from humanitarian crises. To be effective, this work should be carried out within a broader gender equality framework that analyses the needs and capacities of girls alongside that of boys, women and men and that mobilizes not just women and girls, but also men and boys around the common goal of a more just and equitable society.",
"[1] The following States submitted information which has informed the content of the report: Argentina, Belgium, Djibouti, El Salvador, Finland, Indonesia, Italy, Jamaica, Japan, Malta, Namibia, Nicaragua, Oman, Peru, Qatar, Slovakia, Spain, Sweden and the United States of America.",
"[2] Report of the Fourth World Conference on Women, Beijing, 4-15 September 1995 (United Nations publication, Sales No. E.96.IV.13), chapter I, resolution I, annex II.",
"[3] Resolution S-23/2, annex, and resolution S-23/3, annex.",
"[4] Report of the International Conference on Population and Development, Cairo, 5-13 September 1994 (United Nations publication, Sales No. E.95.XIII.18), chapter I, resolution I, annex.",
"[5] Report of the World Summit for Social Development, Copenhagen, 6-12 March 1995 (United Nations publication, Sales No. E.96.IV.8), chapter I, resolution I, annex II.",
"[6] E/2005/27 and Corr.1, chap. I.A.",
"[7] E/2007/27, chap. I.A.",
"[8] See www.childinfo.org/mortality.html.",
"[9] Caroline Harper, Nicola Jones, Andy McKay and Jessica Espey, “Children in times of economic crisis: Past lessons, future policies”, background note, Overseas Development Institute, March 2009.",
"[10] See Jed Friedman and Norbert Schady, “How Many More Infants are Likely to Die in Africa as a Result of the Global Financial Crisis?”, World Bank, 2009.",
"[11] FAO Food Price Index (www.fao.org/worldfoodsituation/wfs-home/foodpricesindex/en/). (Report released 7 July 2011).",
"[12] Isabel Ortiz, Jingqing Chai and Matthew Cummins, “Escalating food prices: The threat to poor households and policies to safeguard a recovery for all”, Social and Economic Policy Working Paper, UNICEF, 2011.",
"[13] Food Price Watch (http://www.worldbank.org/foodcrisis/food_price_watch_report_ feb2011.html), World Bank.",
"[14] See Paulo Sérgio Pinheiro, World Report on Violence against Children, United Nations, 2006 (http://www.violencestudy.org).",
"[15] See The State of the World’s Children 2011, Adolescence — An Age of Opportunity, UNICEF (United Nations publication, Sales No. E.11.XX.1).",
"[16] Nora Groce, “Girls and women with disability: A global overview”, One in Ten, vol. 17 (1997).",
"[17] See Joining forces against child labour: Inter-agency report for The Hague Global Child Labour Conference of 2010, ILO and Understanding Children’s Work, May 2010.",
"[18] See Education for All (EFA) Global Monitoring Report 2011: The hidden crisis: Armed conflict and education, UNESCO, 2011.",
"[19] See The Millennium Development Goals Report 2010, United Nations, 2010. Figures are based on household survey data from 42 countries.",
"[20] See Progress on Sanitation and Drinking-Water (2010 update), WHO and UNICEF, 2010.",
"[21] See Jane E. Miller and Yana V. Rodgers, “Mother’s Education and Children’s Nutritional Status: New Evidence from Cambodia”, Asian Development Review, vol. 26, No. 1 (2009).",
"[22] See Opportunity in Crisis: Preventing HIV from early adolescence to young adulthood, UNICEF, June 2011 (United Nations publication, Sales No. E.11.XX.5).",
"[23] James E. Rosen, “Position paper on mainstreaming adolescent pregnancy in efforts to make pregnancy safer”, WHO, 2010 (WHO/MPS/10.03).",
"[24] See Progress for Children: Achieving the Millennium Development Goals with Equity (No. 9), UNICEF, 2010.",
"[25] See resolution 61/106.",
"[26] E/CN.4/Sub.2/1991/31, para. 34 (United Nations publication, Sales No. E.92.XIV.4).",
"[27] Convention on the Elimination of All Forms of Discrimination against Women, article 16, para. 2; Committee on the Elimination of Discrimination against Women, general recommendation No. 21 (1994), Equality in marriage and family relations; Convention on the Rights of the Child, general comment No. 4 (2003), Adolescent health and development in the context of the Convention on the Rights of the Child.",
"[28] Figures are for paragraph 33 and the following paragraphs.",
"[29] See “Giving Girls Today and Tomorrow: Breaking the Cycle of Adolescent Pregnancy”, United Nations Population Fund, 2007 (see http://www.unfpa.org).",
"[30] See Miriam Temin and Ruth Levine, Start with a Girl: A New Agenda for Global Health, Center for Global Development, 2009.",
"[31] See “Child Protection Meta-Evaluation”, final report, UNICEF, 15 May 2008 (see http://www.unicef.org).",
"[32] Fact Sheet, United Nations Inter-agency Task Force on Adolescent Girls, 3 March 2009.",
"[33] Yanchun Zhang, Nina Thelen and Aparna Rao, “Social Protection in Fiscal Stimulus Packages: Some Evidence”, working paper, UNDP/Office of Development Studies, 2010.",
"[34] See E/2005/27 and Corr.1; Committee on the Rights of the Child, general comment No. 12 (2009), on the right of the child to be heard."
] | A_66_257 | [
"Sixty-sixth session",
"Item 65 (a) of the provisional agenda",
"Promotion and protection of the rights of children",
"Girls",
"Report of the Secretary-General",
"Summary",
"The present report is submitted pursuant to General Assembly resolution 64/145. The resolution outlines international obligations and global commitments on girls arising from human rights treaties and international conferences, as well as developments in laws and policies. The report assesses the negative impact of the following factors on girls: poverty and global economic crisis; violence, abuse and exploitation; gender gaps in education; lack of adequate water, sanitation and hygiene; nutrition; HIV/AIDS; health; disability; humanitarian crisis; and participation. The report highlights actions taken to address child marriage and forced marriage.",
"∗ A/63/250.",
"Introduction",
"The present report is submitted pursuant to General Assembly resolution 64/145, entitled “Women”. The resolution requested the Secretary-General to submit to the General Assembly at its sixty-sixth session a report on the implementation of the resolution, focusing on ending child marriage and forced marriage in order to assess the impact of the present resolution on the well-being of girls. In order to prepare the present report, a note verbale was sent to Member States and to United Nations agencies, programmes and departments requesting information relevant to the implementation of the resolution and a letter to non-governmental organizations that are important to promote the rights of girls.",
"The present report is a follow-up to the report of the Secretary-General to the General Assembly at its sixty-fourth session (A/64/315), focusing on ending female genital mutilation. The report outlines existing legal and normative frameworks and international commitments in respect of the rights of girls (sect. II); presents the situation of girls in all areas referred to in resolution 64/145 (sect. III); provides a detailed analysis of child marriage and forced marriage practices (sect. The report also highlights progress and achievements in the promotion of the rights of girls (section V) and proposes future action recommendations (section VI).",
"Legal/ normative framework and global commitments",
"Human rights treaties and other international conventions",
"Respect for the rights of girls is an obligation and moral responsibility under international law. There is now a comprehensive international legal framework that sets out the human rights obligations of States vis-à-vis girls. The Convention on the Rights of the Child provides for a set of rights that are not “in any form of discrimination”, including gender discrimination. In addition, all human rights treaties include provisions that recognize the principle of non-discrimination and equality between women and men and between boys. It is particularly important in this regard to the Convention on the Elimination of All Forms of Discrimination against Women, although the Convention focuses on women, has a direct impact on the situation and well-being of girls. Furthermore, the Convention on the Rights of Persons with Disabilities, which entered into force in May 2008, article 7 refers not only to children in general but also to girls. In its article 6, the Convention stipulates that “the State party recognizes that women with disabilities and girls with disabilities are subject to multiple discrimination and, in this regard, should take measures to ensure their full and equal enjoyment of all human rights and fundamental freedoms”.",
"In addition to human rights treaties, legal obligations are also derived from legally binding labour law instruments, including the following Conventions of the International Labour Organization: Minimum Age Convention 1973 (No. 138) and the Worst Forms of Child Labour Convention, 1999 (No. 182). This comprehensive legal framework for the rights of children in general, in particular girls, is further strengthened by regional human rights instruments, such as the 2005 Protocol to the African Charter on Human and Peoples' Rights on the Rights of Women in Africa.",
"New norms developed during the reporting period include the Committee on the Rights of the Child general comment No. 13 (2011) on the rights of children to be protected from all forms of violence. This document provides a detailed discussion of article 19 of the Convention on the Rights of the Child. In paragraph 72b, the general comments analysed the gender dimensions of violence against children and recommended that States parties ensure that their policies and measures take into account all forms of violence in all settings and that the risks faced by women and men differ. It also calls upon States to address all forms of gender discrimination as one of the elements of a comprehensive strategy for violence prevention. This includes eliminating gender-based stereotypes, power imbalances, inequality and discrimination, which have enabled the use of violence and threats to be supported and sustained in the home, in schools and in educational places, communities, workplaces, institutions and society at large. The document states that “[t]he active encouragement of men and boys to become strategic partners and alliances should also provide opportunities for them and women and girls to increase mutual respect for how to eliminate gender discrimination and the resulting violence” (CRC/C/GC/13, para.",
"International conferences, intergovernmental bodies and related commitments",
"In addition to the legally binding international instruments ratified by States, Member States have made far-reaching commitments to eliminate discrimination against girls in the world conferences and other international forums. The United Nations Fourth World Conference on Women, held in Beijing in 1995, included, for the first time, a specific component on girls, and the subsequent Platform for Action [2] presented strategic objectives on the following issues: Elimination of all forms of discrimination against girls and negative cultural attitudes and practices against girls and the promotion and protection of the rights of girls in relation to the participation in education, health and nutrition, child labour, violence and social, economic and political life.",
"In its resolution 64/145, the General Assembly reaffirmed the outcomes of the twenty-third special session of the General Assembly entitled “Women 2000: gender equality, development and peace for the twenty-first century”, [3] the Programme of Action of the International Conference on Population and Development, [4] the Programme of Action of the World Summit for Social Development [5] and the Declaration adopted at the forty-ninth session of the Commission on the Status of Women [6], as well as the agreed conclusions of the Commission at its fifty-first session, entitled “Elimination of all forms of discrimination and violence against girls”. [7]",
"At its 16th meeting, the Human Rights Council considered the joint report of the Special Rapporteur on the sale of children, child prostitution and child pornography and the Special Representative of the Secretary-General on violence against children (A/HRC/16/56). The report focuses on effective and child-sensitive counselling, complaints and reporting mechanisms that enable children to report violence safely, including sexual violence and exploitation. The joint report noted that, according to the International Child Helpline Network, the 62 hotlines launched in its 2010 report on violence against children reported more than 250,000 incidents of violence and abuse. Most of these complaints involve children aged 10 to 15 years, especially girls. Physical abuse and abuse are the most frequently reported incidents, followed by neglect, sexual abuse and emotional violence. The report also recognizes that girls remain the main victims of sexual violence in armed conflict.",
"At the same meeting, a panel discussion was held on the protection and promotion of the rights of children living on the street and/or living on the street. After discussion, the Human Rights Council expressed its deep concern about the situation of girls and boys living on the streets and/or living on the streets worldwide, as well as their negative impact on their full enjoyment of their rights and their development, and strongly condemned violations of their rights, including gender-based violence, and urged States to ensure that a comprehensive rights-based approach to gender equality was adopted to redress this phenomenon (see Human Rights Council resolution 16/12).",
"Discrimination and the situation of girls",
"Impact of poverty and the global economic crisis",
"At the global level, more than 8 million children died before the age of 5 years, of which more than 570 million died before the age of 1. [8] Poverty severely affects the lives of children and threatens their survival and development, as well as their right to health, the right to adequate food and nutrition, and the right to education. Poverty has a negative impact on the right to participate and protection against violence, injury and exploitation. However, girls suffer not only from poverty and disease but also from other factors: These factors may exacerbate gender discrimination if social and cultural norms contribute to gender inequality; discrimination based on their race; and inequality in society, geographical and income. Therefore, girls are extremely vulnerable to further exploitation and marginalization.",
"The global economic crisis that started in 2008 has exacerbated the impact of poverty on children and increased poverty faced by many children. During the crisis, the vulnerability of specific ages and gender-related causes increased, and women and young people are likely to lose their jobs or underemployment in the first place; their families may be forced to reduce spending, thereby affecting the nutritional intake of children; and children may drop out of school to help families find additional income. [9] Recent estimates suggest that the crisis may lead to an increase in infant deaths in sub-Saharan Africa by 300,000 to 500,000, most of which are female infants. [10]",
"Although the global economy is showing signs of recovery and the global gross domestic product growth rate has grown significantly since 2009, girls and women remain vulnerable to many of the ongoing effects of the crisis. The recent surge in food prices may also have a negative impact on girls. The FAO Food Price Index, the International price index for measuring a basket of food commodities, has increased significantly in recent months, at an average of 234 points in June 2011, only slightly lower than in February and 39 per cent higher than in June 2010. [11] Since the increase in food prices in 2008, domestic food prices remain alarming. [12] Recent estimates suggest that some 44 million people have been trapped in poverty due to rising food prices in the near future. [13]",
"In the context of the Government's efforts to address the growing fiscal deficit, concern was expressed that expenditure in priority areas affecting the well-being of girls could be reduced. In addition, when public spending on health and education is contracted, the burden of the costs often shifts to the household, especially women and girls. In the event of a decline in household income, women often do not have the option to accept low-status and temporary work, while also assuming other responsibilities; girls may be treated in inequality within a given setting. 3",
"Violence, abuse and exploitation",
"For millions of girls and women around the world, violence is part of their daily lives, both at home, in schools, in care and in the judiciary, in their workplaces and in their communities. This is the case in each country, whether developed or developing.",
"The data indicate that 1.5 billion girls under 18 have been subjected to some form of sexual violence, with more than 70 million girls and women aged 15-49 years of age in 30 countries [14] having been subject to female genital mutilation ( Female genital mutilation). [15] Evidence from many parts of sub-Saharan Africa also indicates that female circumcision can lead to severe and chronic residues and urture problems and actions that can lead to increased risk of infection of some infectious diseases, including HIV. [16] However, data in this regard are limited, and violence against girls and women is not fully understood or recorded because of the stigma of victims, the psychological fear, the indifference of society and the illegal and hidden nature of these activities.",
"Girls are also often burdened by the burden of paid or unpaid work outside the household. This burden, in particular the lack of recognition within the family for several hours, has considerably reduced the educational performance and completion rate of girls and increased the possibility of girls themselves and their children in the vicious circle of child labour. [17]",
"C. Gender gaps in education",
"Over the past decade, enrolment has increased, and gender gaps in the preschool population of primary and secondary education have narrowed: The dropout rate for girls of primary school age decreased from 57 per cent in 1998 to 53 per cent in 2008. However, nearly 36 million primary schools and more than 39 million girls of primary secondary school age remain in school. Progress has also been uneven, and a number of aggregate figures often mask significant differences between countries and regions. The number of girls in South and Western Asia and sub-Saharan Africa is far higher than in other regions. [18]",
"In addition to gender, factors such as poverty, race and household income have also increased the possibility of losing. As a whole, 20 per cent of the poorest households have less than 3.5 times the possibility of girls losing school in the richest family, which is four times the possibility for boys from the richest family. [19]",
"Access to water, sanitation and hygiene facilities",
"Girls are more responsible for water than boys. Data from 45 developing countries indicate that the responsibility for finding water for girls under the age of 15 is twice as boys in the same age group. As girls are older adults, the proportion has also increased, with almost two thirds of households responsible for finding water for women. In some cases, girls may walk far away from water, which adds their workload, affect their health and the time spent on education. Moreover, the collection and access to unsafe water will also affect their physical safety. [20]",
"In addition, girls, especially young girls, may face harassment and rape risks in water supply sites and in schools, particularly in those locations outside the environment. In the humanitarian crisis, the problems faced by girls are even more daunting because of access to water, sanitation and hygiene.",
"E. Inadequate nutrition and morbidity rates of bloodshed",
"The gender gap in the level of nutrition outcomes for girls and boys under the age of 5 is minimal. However, inadequate nutrition services (the coverage of nutrition plans and the quality/availability of food and supplies) generally have a significant negative impact on women and girls. This is due to the high demand for nutrition for women and adolescent girls, while cultural barriers make them difficult to access services in remote places, as their workload has been overloaded and they have no time. In addition, research and analysis found that there was a significant correlation between the low levels of maternal illiteracy and the low levels of nutrition for young children. [21]",
"It is worth noting that, among girls and women in developing countries, anaemia (two thirds due to lack of iron) is very prevalent, increasing the risk of maternal deaths. Girls and women have a high rate of bloodshed in relation to their physical damage, particularly in the spring period, which is particularly high as a result of past and pregnancy.",
"HIV and AIDS: a disproportionate risk",
"Young women and young girls continue to face high risk of infection due to their specific biological vulnerability and social inequalities and exclusion. Nearly 78 per cent of young people living with HIV in the age group aged 15-24 are from sub-Saharan Africa, most of which are women and do not know their HIV status. More than 60 per cent of all adolescents infected with HIV in the 10-19 age group are girls. [22]",
"At the global level (excluding China), 11 per cent of young girls had committed sexual behaviour before 15 years of age, with about 15 million mothers per year being girls under 20 years of age. [23] Early sexual relations and access to drugs are key factors contributing to the risk of HIV infection among girls. These acts reflect the problems that exist in the context of adolescent girls and the multiple shortcomings in the protection and care of them, even the result of violence, exploitation, abuse and neglect.",
"Social and income inequality and the lack of knowledge about sexual and HIV are also the result of other acts that exacerbate the risk of HIV infection, including sexual relations with multiple partners and the high age gap between the parties. Young women and young girls are often forced to engage in relationships with older partners in exchange for money, food, protection or other social or material benefits for survival. Some laws, policies and practices restrict the access of young girls to condoms, HIV testing and accurate and comprehensive sexual education, resulting in increased risk of their infection. Violence by intimate partners is often taking place in the knowledge of families and communities, which also limits the ability of young women and girls to make effective choices in preventing HIV, thus increasing their risk of infection.",
"Adolescent health",
"Although under-five mortality is usually higher among girls, as girls have some biological and genetic advantages, gender inequality has led girls to greater health risks in the spring. [24] Early pregnancy and childbirth are the main causes of the deaths of young girls aged 15-19 globally. At this age stage, the negative health consequences faced by girls, including the risk of depression, are often greater than that of boys, which are often exacerbated by gender-based discrimination and abuse. Girls are particularly vulnerable to dietary disorders, such as anaemia and analytic food problem, which has resulted in some of the causes of this vulnerability from their deep concern about the physical nature, which is exacerbated by cultural stereotypes in the context of the peuple and by the media in this regard. 15 May 2009",
"H. Disability: stigma and marginalization",
"Girls with disabilities face not only the stigma and marginalization of the society of boys with disabilities but also increased discrimination on the basis of gender. In addition to marginalization within the family, in the community, in schools and in a wider society, it may lead to poor health and educational performance, with girls with disabilities being exposed to violence, injury, abuse, neglect or neglect, and risk of maltreatment and exploitation. [25] In addition, girls with disabilities may be subjected to forced sterilization or abortion. [26]",
"Humanitarian crisis",
"In humanitarian crises, including armed conflict and natural disasters, the situation of instability and insecurity has led to a sharp increase in human rights violations, and the formal and informal protection mechanisms have also been undermined, in which girls are at risk of violations. Gender inequality has largely led to and affected the consequences of the humanitarian crisis and has exacerbated its negative impact on girls. In emergencies, girls who fall into the hands of combatants, community members, humanitarian workers and uniformed personnel, particularly young girls, are vulnerable to rape and sexual exploitation. In armed conflict, girls may be abducted or recruited into armed forces or groups. The report on sexual transactions involving girls in exchange for assistance or sale of sexual services to meet their own or household needs is not exhaustive. This increases the risk of their exploitation and abuse, HIV/AIDS and unwanted pregnancies. Female survivors of gender-based violence and other forms of sexual violence suffer from mental health and psychological problems and are severely stigma and exclusion.",
"Girls affected by the crisis are less likely to attend school or receive early education than boys, and their access to sexual and reproductive health services is limited. In a patriarchal culture, family and community members may give priority to boys in the allocation of assistance. Poverty exacerbated by the crisis may often lead parents to forced marriage of their daughters for young children (in response to poverty). Girls and women traditionally bear the majority of household chores, while in times of crisis there is often more workload to cope with the decline in social services and to support their families. This adds to their daily burden and reduces the time spent on learning and other activities.",
"J. Lack of participation",
"The implementation of article 12 of the Convention on the Rights of the Child (which stipulates that “States parties shall ensure that children with the capacity are entitled to make their views freely on all matters affecting them”) is a profound challenge for Governments in most parts of the world. Traditionally, the children are considered unnecessary and have no experience, knowledge or understanding to be directly involved in major decisions affecting their lives. Social and cultural patterns within the family often pose further obstacles to the ability of girls and women to claim their rights. Youth services programmes have created an increasing number of spaces for young people. However, the proportion of girls, especially those who do not attend school and vulnerable girls, is often very low in specific peer clubs and youth programmes. Many communities also lack strong female leaders in order to serve as a model for girls and women and offer opportunities for networking and their participation.",
"Ending child marriage and forced marriage",
"International legal instruments recognize that marriage of girls or boys before the age of 18 is a violation of the human rights of the child. [27] Even if the child consents, the marriage of a child is also forced to take place in the context of existing social practices that are expected to be married to a child. This could therefore be considered forced into marriage. In some cases, child marriage refers to early marriage, but this term is ambiguous because it is inherent in nature. For example, it can also be used to promote the age of early marriage in a country where the average marriage age is more than 30 years.",
"Child marriage is the result of the interaction of specific economic and social forces and is particularly strong in the area of marriage for girls. For a household, the young child often suffers from a low cost of marriage, because the child can be separated from the care of his or her parents, and because the dowry needs for young girls are often low. These social forces are reflected in the social recognition of the fact that a family pursues traditional practices, upholds the integrity of the child, protects the reputation of the family and minimizes the risk of non-marriage of girls. If non-compliance with social norms is not respected, social condemnation may be condemned, even for girls or their family members.",
"In 2010, the United Nations Children's Fund (UNICEF) conducted a review of the latest population data and health surveys and the multiple indicator cluster surveys, which showed that about one third of women aged 20-24 years in the developing world were married before the age of 18. The review also shows that the prevalence of child marriage has declined overall, despite the slow pace. Although 48 per cent of women aged 45 to 49 in developing countries had been married before the age of 18 years, the proportion had dropped to 35 per cent among women aged 20-24. [28]",
"Data also show significant inequality. Child marriage is closely related to the low level of education for girls. In practice, the decline in child marriage is almost all occurring in one fifth of the highest income households, while the prevalence of one fifth of the lowest child's married income remains virtually unchanged. The data confirm that child marriage is partly driven by economic factors and that, despite the need to address these factors, it is not sufficient to end child marriage.",
"In communities that are prevalent in child marriage, the marriage of girls is part of a gender norm and attitude towards the human rights of girls. These norms include early and sustained fertility (which has negative consequences for maternal and child health); dowry or philosophical (and girls are considered as an economic asset); reprime women in education; and repayment of girls in the home by both men and boys (which has a potential negative impact on the overall health and nutrition situation of girls); generally expectations that girls are subordinated to men (and thus violating their right to participate).",
"In places where child marriage is prevalent, young girls are early into marriage, pregnancy and childbirth, but they have not been ready for their physical, emotional and social intercourse. Approximately 15 million young girls are now born each year and most of them are married. Most of them lack awareness of health services and their rights, including reproductive health. They therefore face significant risks during pregnancy, including the risk of obstetric fistance and deaths. The possibility of deaths of girls between 10 and 14 years of pregnancy and childbirth is five times higher than for women aged between 20 and 24. [29] Since early childbearing, adolescent girls may be more likely to have more children and be more frequent, they face higher risk of maternal mortality and disability. Girls' choices are also constrained because they are more difficult to complete their education, have access to comprehensive health knowledge, participate in the community and develop employment skills. Child marriage also increased the risk of HIV and sexually transmitted infections by young married girls in the year, since they were unable to refuse unwanted and unprotected sexual intercourse with older husbands. It also has negative consequences for the next generation: the possibility of death and infant deaths under 20 years of age is 50 per cent higher than those of 20 to 29. [30]",
"Progress in ending child marriage is crucial to achieving the Millennium Development Goals. It will also contribute to the implementation of the Convention on the Rights of the Child and the Convention on the Elimination of All Forms of Discrimination against Women, as well as to the 2006 recommendations of the United Nations Secretary-General on violence against children.",
"The experience of the State has shown that, in order to put an end to child marriage, it must include the Government's commitment to enact appropriate legislation, including community support, so that communities can find better alternatives. Although anti-marriage legislation is necessary, there is still deep-rooted social support for such practices and it is very difficult to implement it. However, support for this approach could be reduced through legal and communication strategies and, as social acceptance begins, it could further provide legitimacy and support to those who started to end this practice.",
"Several States have adopted legislation in line with Committee on the Rights of the Child general comment No. 4 to set the minimum age for marriage at 18 years, while some countries have raised the minimum age of marriage to 18 years and to eliminate differences between the legal age of boys and girls. In 2009, Eritrea amended its civil laws and criminal laws to raise the minimum age of marriage for boys and girls to 18 years, to ensure that marriage is carried out on a voluntary and equal basis by both parties and to limit the bride price and dowry. Malawi had amended the law and the legal age of marriage had increased from 16 years. In other countries, including Mali and Yemen, child marriage is a subject of debate and recommendations are being discussed to establish or raise the legal age of marriage.",
"To put an end to child marriage, there is a need to support community discussions to explore alternatives to this practice. [31] Such discussions must respect the desires of traditional families, but at the same time to shed light on the scourge of this practice and reinforce the principles of human rights. Information can be provided through reliable sources, including through medical and religious leaders, and the empowerment of girls in order to ensure coherence in relevant information throughout society. The active participation of men and boys is also necessary. This awareness-raising campaign has been reported in countries in various regions.",
"Comprehensive child marriage policies and programmes take into account the needs of married girls, while supporting actions to end this practice. They provide viable alternative programmes and institutional support, in particular by expanding educational opportunities for girls, including married or pregnant girls. Countries are improving access to education, establishing safe residential facilities, increasing financial incentives for families, promoting girls' empowerment, improving the quality of education and ensuring the safety and health conditions of schools. In some countries, such as Djibouti, legal measures have been taken to make schools under 16 years of age mandatory.",
"Despite the prevalence of child marriage, there has been limited attention. However, there are many partners, in particular non-governmental organizations, the United Nations Population Fund and UNICEF. The United Nations Population Fund and UNICEF have strengthened their advocacy and support programmes to countries, including through the United Nations Inter-Agency Task Force on adolescent girls. In addition, the Committee on the Elimination of Discrimination against Women and the Committee on the Rights of the Child are drafting a joint general comment/recommendation on harmful practices, which will update the guidance provided to States parties on child marriage. The development cooperation agencies, such as the United States Agency for International Development, also place increasing emphasis on ending child marriage and forced marriage.",
"Experiences in a variety of different countries, such as Bangladesh, Burkina Faso, Djibouti, Ethiopia, India, Niger, Senegal, Somalia and Sweden, have shown that the integration of legal measures with support communities and the provision of viable alternatives to enable them to discuss and reach clear and collective decisions to end child marriage has yielded positive results. Many encouraging results also come from the efforts of national and local civil society organizations. Other countries have also made progress in some of the elements required to end child marriage. For example, Belgium, Nicaragua and Slovakia reported that they prohibited child marriage and strengthened the legislative framework. However, in other countries, the termination of child marriage is not an important matter, although it is in fact a violation of the rights of many young girls and of the rights of young boys in the light.",
"If the current trend continues, up to 100 million girls will marry in the next decade. [32] However, on the basis of existing knowledge and experience levels, and since countries have increased partnerships and intensified action with civil society, the majority of boys and girls may delay marriage and realize their potential for the benefit of the entire community.",
"Progress and achievements",
"Progress has been made in several areas covered by General Assembly resolution 64/145. Some key achievements are highlighted below.",
"Enhanced legislation and commitments",
"National legislation on violence against women and girls worldwide has improved. Many countries have implemented laws and policies and specific action plans or strategies to address multiple forms of violence against girls, including trafficking in persons, sexual violence and sexual exploitation, female genital mutilation and child marriage. In addition, some countries have strengthened institutional responses to violence and exploitation through coordination and capacity-building among various sectors of social welfare, justice, education and health.",
"With the ratification of the Optional Protocol to the Convention on the Rights of the Child on the sale of children, child prostitution and child pornography and the ratification of the Global Campaign on the Optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict, launched in May 2010, 75 per cent of Member States have already ratified the two Optional Protocols and are implementing the relevant provisions. Some States have adopted some form of legislation to combat child pornography.",
"The Convention on the decent work of domestic workers, adopted in June 2011, established a set of international standards aimed at improving the working conditions of thousands of domestic workers worldwide, including child labour, with 90 per cent of child labour estimated to be girls. 15 May 2009",
"By adopting the following resolutions, the Security Council strengthened the international protection of girls affected by conflict: resolution 1882 (2009) on children and armed conflict, which extended the monitoring and reporting mechanisms for the integration of sexual violence in armed conflict; resolution 1888 (2009) on the prevention and protection of sexual violence in armed conflict and resolution 1960 (2010), which established strengthened accountability mechanisms to hold perpetrators accountable; and resolution 1889 (2009) on women, peace and security, which called for the establishment of a global set of indicators to better monitor girls and women's participation in peacebuilding and to meet their security and basic services.",
"Joint initiatives",
"With support from UNFPA and the United Nations Children's Fund, 15 African countries have adopted a common approach to ending some harmful practices. This approach includes the introduction of legal and community programmes, the conduct of large-scale community seminars based on human rights principles, and the public declaration by communities and regions of practices that renounce female genital mutilation.",
"Many Governments have also undertaken multisectoral actions to provide support to girls and women to address violence against girls in the family, schools, communities and workplaces. In this context, the Council of Europe Convention on the Protection of Children from Sexual Exploitation and Abuse entered into force on 1 July 2010, in which States are combining systematic interventions with awareness-raising and direct support to girls and women victims of violence, including the establishment of a child help line and information on prevention and protection measures to communities.",
"The United Nations Girls Education Initiative launched at the World Education Forum in 2000 played a significant role in continuing to maintain the focus on girls' education. The initiative brings together different stakeholders (Governments, civil society organizations, bilateral aid agencies, the private sector and the United Nations system) to ensure the right to free education and gender equality. This partnership has now begun to operate in 47 countries in Africa and Asia.",
"The United Nations Inter-Agency Task Force on adolescent girls, co-chaired by UNFPA and UNICEF, including ILO, UNESCO, the Office of the United Nations High Commissioner for Refugees (UNHCR), Viet Nam and the World Health Organization (WHO), provides a platform for collective action for the most marginalized girls. A comprehensive programme is being developed with the Government and its partners in countries such as Ethiopia, Guatemala, Malawi, Liberia, the United Republic of Tanzania.",
"The humanitarian community has increased its investment to ensure that the inter-agency coordination mechanisms meet the special needs of girls, boys and women. In 2010, new inter-agency tools and guidelines were developed to help humanitarian workers better meet the special needs and rights of girls affected by the crisis. This includes: The pocket Gender Guidelines for Education Networks in Inter-Agency Emergency (2008), which provides specific examples of how to promote girls' education in emergencies; the Handbook on Gender-Basic Measures for Coordination in the Humanitarian environment (2010), which provides guidance on leadership, primary responsibility and specific actions to be taken; and the Youth Reproductive Health Toolkit in the Humanitarian context (2010), which addresses the special needs of adolescents in the humanitarian crisis, with particular emphasis on the particular vulnerability of girls and the most marginalized groups such as indigenous groups, migrants and persons with disabilities.",
"C. Improving the conditions and quality of education",
"Since the launch of the Education for All initiative in 1990, a number of interventions in developing countries have successfully increased the enrolment and completion rate of girls. For example, in Bangladesh, El Salvador, Mexico and Kenya, girls have increased access to education due to the removal of girls' fees and the provision of assistance and cash transfers to them. Namibia will focus its work on addressing cultural and social norms that impede girls' education, namely by implementing a policy that allows young girls who are mothers to return to school after childbirth. In addition, the Government has launched a national campaign on gender-based violence zero tolerance and has made efforts to build cross-sectoral management capacities to address gender-based violence and to build the reporting capacity of media professionals on this issue.",
"Several Member States and a number of United Nations organizations, including UNICEF, FAO, UNESCO and the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), have provided support for the promotion of girls' access to secondary school and advocate for the provision of vocational training opportunities for girls in line with their specific needs and circumstances. The World Food Programme (WFP) provides food rations to return home as an incentive to encourage girls to be enrolled in schools and to continue to study in schools. In addition to improved educational conditions, efforts are being made to improve the physical and educational quality of girls' education, i.e. to ensure that schools are child-friendly for gender equality and promote human rights education.",
"In countries such as El Salvador and Nicaragua, human rights and life skills education, including reproductive health, has been incorporated into school curricula so that girls have adequate knowledge. In Madagascar, the United Nations Democracy Fund supports organizations such as the Children's Army and the Youth Environment Club to promote awareness of gender equality and human rights among children and adolescents. At the same time, in Ghana, UNICEF supported a child's radio network, known as “Whildhead” as a knowledge platform for the exchange of ideas and the dissemination of laws involving children in general. Such web services could also serve as a useful means to promote girls' education, protect adolescent girls from traditional practices and teenage pregnancies.",
"Measures were also taken to recruit qualified female teachers and to build the capacity of teachers and educators to address gender issues. In Malta and Sweden, awareness-raising has been given to policymakers, teachers and students to the need to promote gender equality in career choices, with a focus on increasing participation of girls in mathematics and science.",
"Improving health services",
"Girls' health services have been strengthened in many parts of the world. In Djibouti, for example, family planning services for the protection of privacy were provided and women and girls were at the heart of the National HIV/AIDS Strategic Plan for the period 2008-2012. In Bangladesh, integrated child disease management strategies and community-based health workers training have helped to narrow gender gaps in immunization coverage. UNRWA's health programmes offer paediatric prevention and treatment services to Palestine refugees, including through schools, while raising awareness of ending child marriage and preventing gender-based violence.",
"E. Participation of girls",
"Initiatives have been taken to promote the empowerment of girls by providing them with opportunities for participation, developing their leadership, informing them of their rights and helping them to gain skills to exercise their rights. In Jamaica, a seminar on children and a gender training workshop (the latter was hosted by the Women's Bureau) aimed at informing girls and boys about their rights and raising awareness of gender-based violence and sexual and reproductive health. In Chile, we support a study developed by 40 young women on violence against young women in marriage and other relationships. The results of this study will be used to promote parliamentarians.",
"In Cameroon, a youth leadership initiative was implemented with the support of UNICEF, namely the creation of a youth municipal council. Twenty-one youth municipal councils have been established, of which 17 are headed by girls. Girls account for half of the municipal councillors, while only 6 per cent of the National Parliament headed by women mayors. Youth mayors and their parliamentarians advocate for youth participation in decision-making within their communities. In Guatemala, Malawi and Ethiopia, UNFPA has carried out a yearly empowerment of girls, promoting a safe space, developing leadership skills and supporting life skills education activities, with emphasis on sexual and reproductive health. These programmes are also managed by youth leaders.",
"Reducing the impact of the global economic crisis",
"Special measures have been taken to mitigate the impact of the economic crisis on girls and women. Successful examples include maintaining the necessary social sector spending and implementing social security policies to help ensure their right to health, education and maternal health services. A recent study found that an estimated 25 per cent stimulus in 35 countries amounted to $653 million for social security measures. [33] It is important to ensure that these measures are not reduced as part of a tightening plan to curb public sector spending. In addition, transformative social security measures, including anti-discrimination policies and legislative reforms, have the potential to address the social vulnerability of girls and ensure equitable access to services for girls and boys.",
"Recommendations",
"Although progress has been made, as shown in the above-mentioned examples, these efforts must be inherited and expanded. This requires decisive action by Governments, with the support of development agencies, non-governmental organizations and civil society, with the active participation of girls and boys, men and women.",
"Empowerment of girls",
"The participation and empowerment of girls should be further promoted, as requested by the Commission on the Status of Women, the Committee on the Rights of the Child and other bodies. [34] It is important to recognize that girls are the main actors in achieving gender equality and their empowerment. Programmes to build their leadership should be supported as part of the school curriculum, or through other means, such as clubs open to girls alone or as part of a broader skills training plan. Girls should also be promoted in the design and delivery of development programmes aimed at their services. Efforts must also be made to ensure that the views of girls, including young girls, can be incorporated in the discussion support for humanitarian crisis preparedness, response and recovery, provide the institutional opportunity for girls to express their specific concerns and develop recommendations on how to address them.",
"Girls cannot exercise their rights without access to information that they can use and understand in the form. Social networks and safe spaces created for girls contribute to their access to the necessary information and health and protection services. A comprehensive, age-appropriate education and knowledge of their HIV status can enhance their ability to protect themselves and to have their health and well-being.",
"Support for social change and transformation of power relations",
"In places where inequalities and discrimination against girls are deeply rooted, changes in social change and power relations must be made in order to achieve gender equality and the empowerment of girls and women. Better understanding of the role of social norms and their impact on the decision-making process of individuals, families and communities, references to policies and strategies, and the scale of interventions, is an important complement to higher-level initiatives such as legislative reform. Failure to address the root causes of gender inequality and the exclusion of girls could not fulfil collective obligations in the protection and realization of girls' rights. The Government, the community and the family have the responsibility to shape the positive environment of intolerance and violence against girls.",
"C. Reservation of girls",
"Investments in girls' education can empower them and contribute to accelerating the fight against poverty, anti-inequity and gender discrimination. Special efforts are needed to identify and benefit the most vulnerable girls: girls from the poorest families; girls from rural, slum and remote areas; and socially excluded groups, including children with disabilities, and children from indigenous and vulnerable minorities.",
"The achievements of primary education over the past decades must be consolidated, and progress has been accelerated, namely by expanding preschool education programmes to ensure that girls start in primary schools and do not drop out of school, and by conducting targeted intervention activities aimed at enabling schoolchildren (mostly girls). Because of the greatest gender gap in secondary education, girls should be promoted and increased to secondary schools, expanding their access to secondary education, with particular attention to reducing girls' drop-out rates. Multiple avenues for education (formal and informal) should be promoted to ensure that girls successfully complete basic education and achieve the transition from school to work. In addition, multisectoral strategies, including education, health and nutrition, social security, infrastructure and the labour market, should be implemented to ensure gender equality in education.",
"Addressing the rights of adolescent girls",
"Girls face greater discrimination in the spring. Although gender discrimination is a factor even before birth, gender stereotypes are usually inclinated in the early childhood, they often face new constraints and patterns when girls are young. Girls often bear adult roles, such as wives, maternals, matrimonials or care for others, and lose the care and protection that they deserve in particular years. Girls can help promote social justice, support economic development and contribute to poverty eradication if they have education, health and skills. It is important to invest in the rights of young girls and to ensure that they are no longer neglected by development policies and programmes.",
"E. Enhanced data collection and analysis",
"There is a need for better sex- and age-disaggregated data to better understand the situation of girls. There is also a need to go beyond sex-disaggregated data and to analyse data to reveal the multiple forms of exclusion faced by girls, including discrimination due to their disability, living in the poorest communities or belonging to indigenous or ethnic groups. This should include the collection and analysis of quantitative and qualitative data and information.",
"Promoting inclusive policies and programmes",
"The programmes should also adopt a comprehensive approach to addressing discrimination that girls may face in order to effectively protect their rights. Respect for the human rights of girls also requires recognition of the reality of their lives and the diversity of their situation. This includes ensuring gender-focused responses in the recovery of the global economic crisis. Commitments to support and protect the rights of girls at the national level must be pursued, including adequate and sustained investments in health and nutrition, clean water, basic education, child and social security services and participation mechanisms and, where possible, expanded. Responses should be taken, including special measures targeting the most marginalized and vulnerable girls, to ensure that the rights of children, including girls and other vulnerable and socially vulnerable groups are enjoyed and protected.",
"Extension and improvement of services for girls,",
"Health, nutrition and other services should be expanded and improved to meet the needs of girls and to respect their rights. For example, comprehensive services should be provided to adolescent girls and young women infected with HIV. Men and women's health and nutrition service providers should receive training and learn about gender-sensitive approaches. Multisectoral referrals and response systems should be established to provide information links to childcare, life, microcredit, vocational education and employment plans. Inequity in access to health care should be corrected, i.e., efforts should be made to provide services for girls with disabilities, by promoting inclusive health services, including the provision of age-appropriate sexual and reproductive health services, so that all girls can realize their right to health. Special outreach programmes are needed in order to make services and the most young maternal first time so that they can better access to life-saving maternal health services. Efforts should also be made to ensure access to safe drinking water in close proximity to home so as to reduce the workload of girls and enable them to stay in schools to take care of their health, child interest and other activities that are carried out on an equal basis with boys. In addition, where necessary, services should be carefully designed to address the specific vulnerability and needs of girls. This is particularly important in the humanitarian situation because, in such situations, girls, including adolescent girls and marginalized girls, continue to be neglected or neglected if a “one-size-fits-all” model is used.",
"When needed, special resources should be earmarked for programmes for girls. Work to identify and meet the rights and needs of girls should be ensured throughout humanitarian operations, including in the context of disaster risk reduction and in the preparedness, response and recovery of humanitarian crises. In order to be effective, this work must be carried out within a broader gender framework that responds to the capacity and needs of girls and boys, women and men, and mobilizes women and girls, as well as men and boys, to work together towards a more just and equitable society.",
"The present report refers to information submitted by Argentina, Belgium, Djibouti, El Salvador, Finland, Indonesia, Italy, Jamaica, Japan, Malta, Namibia, Nicaragua, Oman, Peru, Qatar, Slovakia, Spain, Sweden and the United States of America.",
"[2] See the report of the Fourth World Conference on Women (Beijing, 4-15 September 1995), (United Nations publication, Sales No. E.96.IV.13), chap. I, resolution I, annex II.",
"[3] S-23/2, annex, and resolution S-23/3, annex.",
"[4] Report of the International Conference on Population and Development ( Cairo, 5-13 September 1994), (United Nations publication, Sales No. E.95.XIII.18), chap. I, resolution I, annex.",
"[5] Report of the World Summit for Social Development ( Copenhagen, 6-12 March 1995), (United Nations publication, Sales No. E.96.IV.8), chap. I, resolution I, annex.",
"[6] E/2005/27 and Corr.1, chap. I, sect.",
"[7] E/2007/27, chap. I, sect.",
"[8] See www.childinfo.org/mortality.html.",
"[9] Caroline Harper, Nicola Jones, Andy McKay and Jessica Espey, “Children in times of economic crisis: Past lessons, future policies”, Background Note, Overseas Development Institute, March 2009.",
"[10] Jed Friedman and Norbert Schady, How many More infantrys are among the rests to Die in Africa as a Result of the Global Financial Crisis?, World Bank, 2009, p. 2.",
"[11] See FAO Food Price Index (www.fao.org/worldfoodsituation/wfs-home/pricesindex/en/). Report published on 7 July 2011.",
"[12] Isabel Ortiz, Jingqing Chai and Matthew Cummins, “Escalating Food Prices: The threat to poor households and policies to safeguard a recovery for All”, Social and Economic Policy Working Paper, UNICEF, 2011.",
"[13] World Bank Food Price Watch (http://www.worldbank.org/foodcrisis/food_price_watch_Report_feb 2011.html).",
"[14] See Paulo Sérgio Pinheiro, World Report on Violence against Children, United Nations, 2006 (http://www.violencestudy.org).",
"[15] The State of the World Widesp Children 2011, Adolescence An Age of Opportunity, UNICEF, (United Nations Publications, Sales NO.E.11.XX).",
"[16] Nora Groce, “Girls and women with disabilities: A global review”, One in Ten, vol. 17 (1997).",
"[17] See Joining Forces against Child Labour: Inter-agency Report for the Hague Global Child Labour Conference of ILO and Understanding Children Work, May 2010.",
"[18] See Education for All (EFA) Global Monitoring Report 2011: The Crisis: Armed Conflict and Education, UNESCO, 2011.",
"[19] See Millennium Development Goals Report 2010, United Nations, 2010. The figures are based on household survey data collected from 42 countries.",
"[20] See Progressress on Sanitation and Drinking Water (2010), WHO and UNICEF, 2010.",
"[21] See Jane E. Miller and Yana V. Rodgers, “Mother perpetuates education and children constral Status: New Evidence from Cambodia”, Asian Development Review, vol. 26, No.1 (2009).",
"[22] See Opportunity in crisis: preventing HIV from early adolescence to young adulthood, UNICEF, June 2011 (United Nations publication, Sales No. E.11.XX5).",
"[23] James E. Rosen, Position Paper on Mainstreaming Adolescent Pregnancy in Efforts to Make Pregnancy Safer, WHO, 2010 (WHO/MPS/10.03).",
"[24] See Progressress for Children: Achieving the MDGs with equity (No.9), UNICEF, 2010.",
"[25] See resolution 61/106.",
"[26] E/CN.4/Sub.2/1991/31 (United Nations publication, Sales No. E.92.XIV.4).",
"[27] Convention on the Elimination of All Forms of Discrimination against Women, article 162; Committee on the Elimination of Discrimination against Women general recommendation 21 (1994) on equal marriage and family relations; Committee on the Rights of the Child, general comment No. 4 (2003), Health and Growth of Youth under the Convention on the Rights of the Child.",
"[28] The figures are available for reference to paragraph 33 and subsequent paragraphs.",
"[29] See “Giving Girls Today and Tomorrow: Breaking the Cycle of Adolescent Pregnancy”, UNFPA, 2007 (see http://www.unfpa.org).",
"[30] See Miriam Temin and Ruth Levine, leading with a girl: A New Agenda for Global Health, Center for Global Development, 2009.",
"[31] See “Child Protection Meta Evaluation”: Final Report, UNICEF, 15 May 2008 (see http://www.unicef.org).",
"[32] Fact Sheet, United Nations Interagency Task Force on Adolescent Girls, 3 March 2009.",
"[33] Yanchun Zhang, Nina Thelen and Aparna Rao, “Social Protection in Fiscal Stimulus Packages: Some Evidence”, paper, UNDP/ODS, 2010.",
"[34] See E/2005/27 and Corr.1; Committee on the Rights of the Child general comment No. 12 (2009) on the right to express views on children."
] |
[
"第六十六届会议",
"临时议程^(*) 项目65(b)",
"促进和保护儿童权利： 儿童问题特别会议成果的后续行动",
"大会儿童问题特别会议的后续行动",
"秘书长的报告",
"摘要",
"本报告根据大会第58/157和58/282号决议的要求印发，在上述两个决议中，会员国要求秘书长继续向大会报告关于大会儿童问题特别会议所做承诺的执行进展情况，这些承诺载于题为“适合儿童生长的世界”的特别会议成果文件(S-27/2)中。本报告概述在这方面取得的进展和面临的挑战，以及进一步取得进展所需采取的行动，尤其是在各种情况下帮助最易受害和处境最不利的儿童的必要性。",
"本报告指出，如果无法兑现承诺，则到2015年及其后实现《联合国千年宣言》的愿望和千年发展目标的努力将受到严重影响。",
"^(*) A/66/150。",
"目录",
"页次\n1.导言 3\t\n2.大会儿童问题特别会议的后续行动 3\t\nA.为儿童制定计划 3\t\nB.推动执行《儿童权利公约》 4\t\nC.为儿童开展协作和调集资源 5\t\nD.监测进展 5\t\nE.儿童的参与和自我表达 6\t\n3.四个主要目标领域的进展情况 7\t\nA.促进健康生活 7\t\nB.提供优质教育 9\t\nC.防止虐待、剥削和暴力 11\t\nD.防治艾滋病毒/艾滋病 14\t\n4.今后方向 16",
"一. 导言",
"1. 过去10年中，《联合国千年宣言》和千年发展目标促成了前所未有的承诺和伙伴关系，目的是在实现儿童权利方面取得进展。历届首脑会议和会议重申了这些承诺和伙伴关系。2007年，举行了关于建立一个“适合儿童生长的世界”(S-27/2)的承诺的高级别纪念全体会议，审查《宣言》和《行动计划》执行成果和进展情况。在题为“履行诺言：团结一致实现千年发展目标”的大会第65/1号决议中，会员国进一步承诺加快实现千年发展目标的进展。",
"2. 本报告沿用以往报告[1] 的做法，评估在实现“适合儿童生长的世界”所载目标方面取得的进展。其中许多目标与《联合国千年宣言》和千年发展目标为儿童设想的关键目标相一致。",
"3. 与2000年通过《千年宣言》时相比，5周岁前死于可预防原因的儿童人数每年减少210万；1999至2008年间，小学适龄儿童辍学人数减少了3 900万。但是，每年5岁以下儿童死亡人数达810万，孕产妇死亡人数超过35万；仍有将近6 700万儿童失学；在发展中国家有1.95亿5岁以下儿童发育迟缓，阻碍了千年发展目标的实现。数百万计儿童继续承受冲突带来的强烈影响，例如失去父母或者突如其来地被迫迁移别处。估计每天仍然有1 000多名婴儿出生时携带艾滋病毒，近500万15至24岁青年感染艾滋病毒。2亿多名5岁以下儿童没有出生证明。",
"4. 2008至2009年的全球经济衰退以及粮食和能源商品价格的波动，证实各国在全球经济中相互依存，并且需要在国家和全球各级加强利用发展政策保障儿童地位，尤其是最贫困家庭儿童的地位。能力薄弱、金融动荡和负债增加已证实阻碍许多发展中国家持续实现千年发展目标，并往往造成社会之间和社会内部的差距不断扩大。",
"5. 社会投资下降，加上长期存在的挑战，例如土著人民和处境不利的少数群体、残疾儿童和女孩受到社会排斥，移民、城市快速扩张和气候不稳定产生影响，使推行“适合儿童生长的世界”变得更加困难。",
"二. 大会儿童问题特别会议的后续行动",
"A. 为儿童制定计划",
"6. 2010年至少有81个国家就儿童和妇女权利问题开展了重大专题研究或分析。又有6个国家加入了由联合国儿童基金会(儿基会)牵头提出的儿童贫穷与差距问题全球倡议，使参加国增加至52个。在情况分析中更加关注确认最易受害和最弱势儿童和妇女，以推动注重公平，能更好地支持他们的战略。将分析结果用于发展政策，保护和促进儿童权利。",
"7. 2011年，儿基会出版了一份题为《世界儿童状况：青春期——充满机遇的年代》的报告。该报告强调了对青少年投资以打破贫穷和不平等周期的重要性。气候变化、城市化、经济衰退和就业率上升给当今世界带来了前所未有的挑战，面对这样一个日益不确定的世界，报告强调需要充分支持青少年，使他们充分发挥自身的潜力。",
"8. 支持根据各国国情保护最易受伤害的群体被视为紧急优先事项。继续注重提高就业增长率、维持基本服务和加强社会保护措施对巩固和扩大经济复苏和全体人民的福祉至关重要。",
"B. 推动执行《儿童权利公约》",
"9. 2010年5月，秘书长、负责暴力侵害儿童问题秘书长特别代表、负责儿童与武装冲突问题的秘书长特别代表、儿基会、联合国人权事务高级专员办事处和合作伙伴发起了一项全球运动，以推动在2012年底前普遍批准和执行《儿童权利公约》任择议定书。该运动的目的在于提高人们对防止暴力机制，包括遵守国际标准和有效执行这些标准的重要性的认识。自此次运动发起以来，又有8个国家批准/加入了关于买卖儿童、儿童卖淫和儿童色情制品问题的任择议定书，1个国家签署了该议定书，使缔约国数量增加至145个，签字国数量增加至118个。2010年，另有7个国家批准了关于儿童卷入武装冲突问题的任择议定书。[2]",
"10. 2010年在儿基会和国际劳工组织(劳工组织)的支持下，首次尝试利用“打击以劳动力剥削、性剥削和其他形式剥削为目的贩运儿童的培训手册”举办区域培训员培训。",
"11. 通过支持人权理事会关于性暴力侵害儿童行为的一般讨论日和决议(13/20)，加大了国际社会对性暴力行为的关注。作为该专题辩论的后续行动，负责暴力侵害儿童问题秘书长特别代表和买卖儿童、儿童卖淫和儿童色情制品问题特别报告员联合编写了一份报告(A/HRC/16/56)提交人权理事会，该报告呼吁在每个国家为儿童建立无障碍、安全和对儿童问题敏感的心理咨询、投诉和报告机制，以报告暴力事件。同儿童权利委员会和消除对妇女歧视委员会分享了社会规范和处理有害传统做法的技术知识，以帮助确保上述两委员会在今后关于有害做法的一般性联合评论中体现这些知识。",
"12. 伙伴关系继续得到加强。2010年，“携手扶持女孩”举措的范围得到扩大，重点是围绕防止暴力侵害儿童，尤其是性暴力侵害儿童行为开展数据收集和协调一致的方案响应和宣传活动。“携手扶持女孩”举措是2009年推出的创新多国伙伴关系，目的在于制止对非洲和东亚女孩的性暴力。这些努力鼓励了在地方一级采取行动，同时又激发全球伙伴的兴趣，促进他们提供支助。关于儿童权利和针对儿童的影响评估的公司工作手册已编写完成，并与利益攸关方进行了协商。联合国少女工作队倡导并促进为少女，尤其是最边缘化少女制定全面的政策和方案。另外，儿基会继续就海牙国际私法会议的4项儿童公约与其建立进一步关系。向海牙全球童工问题会议投入了技术，并向各国提供后续行动和支持，以执行到2016年消除最恶劣形式童工现象的路线图所载建议。",
"13. 对于生活在最贫穷国家和处境最不利群体中的儿童而言，扩大基本服务的覆盖范围对实现他们的权利至关重要。“扩大规模”涉及一系列复杂的行动，包括扩大实施各种经检验的干预措施和克服提供服务时面临的行为、体制和环境障碍。而这又要求充分理解为孩子提供基本服务时所遇到的瓶颈和家庭在获取这些服务时所面临的障碍。要求各项措施具备更高的一致性和统一性。",
"C. 为儿童开展协作和调集资源",
"14. 2010年，与捐助方的合作增加，使得在紧急状况下为儿童调集资源的协调工作得到加强。新的捐助方提供了人道主义资金，以提高人道主义应急能力。多年和多国具体周期专题协议等供资协议纳入了新机制，从而提供了更大的灵活性和对方案供资有了更高的可预测性。",
"15. 根据联合国千年发展目标差距工作队2010年报告，2009年发展援助委员会成员的援助额接近1 200亿美元，按实际价值计算，增幅不足1%。但是官方发展援助在捐助国国民总收入中所占份额仅为0.31%，远低于0.7%的目标。仅有5个捐助国达到并超过了这一目标。在许多发展中国家，汇款已成为不断增长的收入来源，估计2008年的汇款额高达3 360亿美元。在目前的危机下，汇款已证实比私人资本流动更具韧性。2010年，进一步扩大了涉及基金会、非政府组织和全球方案的伙伴关系，为全世界儿童调集额外资金提供了机会。主要捐助方包括国际扶轮社、比尔及梅林达·盖茨基金会和全球抗击艾滋病、结核病和疟疾基金。",
"16. 随着金融滑坡，全球讨论越来越关注于基础设施和农业等关键投资部门。虽然总体水平似乎没有下降，但是多数国家投资于儿童的资源仍然远远不够。结果可能会对今后的基本社会服务供资造成有害影响，而这方面供资对儿童的福祉至关重要。",
"D. 监测进展",
"17. 全球儿童和妇女数据库在2010年得到更新。对来自国家户口调查和其它来源的数据进行了分析，并按性别、财富和地点分类，以便更深刻了解不平等状况。联合国作出大量努力，以统一合作伙伴间的数据，包括对新方法、指标标准化、监测工具、建立国家统计能力以及拟订联合评估形成共同认识。",
"18. 在前三轮(1995年、2000年、2005至2006年)，全球共进行了近200次多指标类集调查。第四轮在2009至2011年进行，涵盖更为广泛的指标。2010年开始产生调查结果。",
"19. 联合国发展集团共同数据库软件——发展信息数据系统——作为一个组织、展示和分析标准化人力发展数据的工具，在世界范围内得到采用。截至2010年，发展信息数据系统共有120多种适应版本可供使用。来自众多方案国的1 000多名专家得到了培训，以支持各国努力建立国家人类发展数据储存库，包括与儿童相关的广泛指标。",
"20. 2010年，儿基会进行的一项名为“拉近差距，实现目标”的研究，为一项基于公平原则的战略提供了有说服力的证据，这与传统途径相比，可使全球社会更快、更具成本效益地实现千年发展目标中的具体目标4和5。根据该研究，这项战略具有潜力，可在2015年最后期限到来之前，帮助避免数百万计妇女和儿童的死亡。",
"E. 儿童的参与和自我表达",
"21. 儿童越来越多地参与到落实儿童权利和实现千年发展目标的工作中。一些国家建立了议员儿童权利问题常设委员会，不间断地定期与儿童进行面对面的对话。许多国家报告了儿童的媒体活动以及使用信息技术，增进儿童的参与。针对年轻人进行的调查和民意测验越来越多，以进一步了解年轻人对他们所在社会的观点和意见。正在做出特别努力，以加强往往处于边缘化的儿童(如少女、残疾儿童和土著儿童)的参与。",
"22. 在国际青年年期间，越来越多的青少年参与解决影响国家治理的诸多问题。许多帮助国家加强儿童参与的能力建设工具已开发完成，比如，儿基会和“拯救儿童”为政府官员制订的关于《儿童权利公约》的第12号一般性意见手册。儿基会和各国议会联盟也完成了有关儿童参与的议员手册，目的是在议会进程中促进儿童的利益和观点。",
"23. 参与影响儿童和青少年生活和福祉的重要全球论坛的儿童人数持续增长，包括参与全球移徙问题小组、联合国土著问题常设论坛以及秘书长关于女童和青年报告的编制工作。儿基会和青年联盟社区组织在联合国粮食及农业组织的支持下，制订了“气候变化：立即采取行动！”指南，以支持当地儿童和青年的行动，并特别重视女童和青少年。",
"三. 四个主要目标领域的进展情况",
"A. 促进健康生活",
"24. 自1990年以来，发展中国家的5岁以下幼儿死亡率从每千个活产儿死亡99人下降到2009年的每千个活产儿死亡66人。1990年，约1 240万活产儿在5岁之前死亡，但在2009年，这一数字减少到了810万，为有记录以来的最低数字。这代表着年下降率为2.1%，但现在这一比例必须提升到每年至少达11.6%，才能实现到2015年将5岁以下幼儿死亡率减少三分之二的目标。在发展中国家，20%最贫穷家庭的5岁以下幼儿死亡率平均是20%最富裕家庭的2倍多。同样，农村地区5岁以下儿童死亡率可能远远高于城市地区。",
"25. 每年有近150万5岁以下儿童死于肺炎，占全球儿童死亡人数的近五分之一。腹泻仍是造成5岁以下儿童死亡的第二大原因，第三大原因是麻疹。2009年，全球82%的一岁以下儿童接种了麻疹疫苗。同样，估计全球白喉、百日咳、破伤风三联疫苗免疫覆盖率从2000年的74%增加到了2009年的82%。2000年至2008年，改善免疫覆盖率与给予第二剂接种机会相结合，使全球因麻疹而死亡的人数下降了78%。但降低新生儿死亡率的进展仍较为缓慢。",
"26. 由于疟疾防控工作资金增加并在政策上得到更多关注，仅2008年至2010年，在撒哈拉以南非洲就发放了2.9亿顶驱虫蚊帐，这足以满足近80%经报道的需求。",
"27. 自1988年发起全球消除小儿麻痹症倡议以来，25亿儿童接受了免疫接种，但小儿麻痹症仍未得到根除，并持续在该疾病的四个流行国家(阿富汗、印度、尼日利亚和巴基斯坦)传播。冲突和相关的安全关切以及服务覆盖面不足和自然灾害限制了在阿富汗和巴基斯坦部分地区取得进展。",
"28. 全球三分之一的5岁以下儿童死亡率与营养不良有关。虽然发展中国家体重不足儿童的比例由1990年的31%下降到了2008年的26%，但许多国家仍没有取得足够进展或没有取得任何进展。1995年至2009年，南亚地区最贫困家庭儿童的状况没有得到切实改善，而20%最富裕家庭儿童体重不足的普遍现象却下降了近三分之一。在发展中国家，最贫困的五分之一家庭中有40%的幼儿体重不足，而最富裕五分之一家庭中的此一比例则为15%。在发展中国家，农村地区儿童体重不足的可能性是城市地区的两倍，而发育迟缓的可能性比城市地区高出50%。截至2011年初，有数据记录的118个国家中，只有58个国家正在按计划达到将体重不足儿童的数目减半的目标。",
"29. 最不发达国家儿童的维生素A补充剂覆盖率仍然较高，2009年，87%的儿童得到了两剂维生素A补充剂，其中撒哈拉以南非洲为81%，亚洲为76%。最不发达国家的覆盖率提高了一倍以上，从2000年的41%增加到了2008年的88%。",
"30. 消除缺碘性失调症的工作也持续取得进展。2002年，大会儿童问题特别会议核可了普及食盐碘化的目标，当时有21个国家至少90%的家庭使用适当加碘食盐，现在达到这一目标的国家为37个。据最新数据显示，发展中国家约72%的家庭消费适当加碘食盐，亚洲家庭约为73%，撒哈拉以南非洲为61%。",
"31. 婴幼儿喂养方面取得的进展有限。在发展中国家，全母乳喂养率仅稍有增长，从1995年的33%增长到了2008年的38%。但是，19个国家在过去的5至10年中，通过健全的政策、执法和社区支助相结合的方式，全母乳喂养率显著提升了至少20%。",
"32. 2010年，秘书长的全球粮食安全危机高级别工作队特别强调了改善营养的重要性，并协助促进对话以及维持全球战略伙伴关系和倡议。发展中国家为改善儿童和妇女营养状况作出大量努力，包括通过制订路线图，以实施100多个机构参与制定的加强营养框架中提出的建议。",
"33. 据估算，1990年至2008年，全球孕产妇死亡率每年仅下降2.3%，但要实现2015年的目标，从1990年起，每年的死亡率必须下降5.5%。2008年的孕产妇死亡率估计为35.8万例，虽与1990年相比下降了34%，但目标则为下降75%。1990年至2008年，147个国家实现了孕产妇死亡率的下降，其中90个国家下降40%或以上。虽然取得了该项进展，但发展中国家仍占孕产妇死亡率总数的99%，其中撒哈拉以南非洲和南亚占87%。怀孕和分娩并发症是全世界15至19岁少女死亡的主因之一。",
"34. 富裕人口和贫困人口在孕产妇保健领域也存在显著差距。在发达国家，几乎所有的分娩过程都有熟练的保健人员助产，而在最不发达国家，城市地区妇女的这一数字仅为41%。最富裕的五分之一家庭和最贫困的五分之一家庭的比例是3比1。在发展中国家，妇女在妊娠期间接受护理的差异也很显著，城市地区妇女在分娩前至少接受一次产前护理的可能性是农村地区妇女的1.3倍。妇女是否有能力决定生育子女的时间和数量显著影响着产妇的发病率和死亡率。2008年，超过半数的15至49岁已婚或同居妇女使用某种形式的避孕措施。但2000年至2008年，避孕措施进展缓慢。撒哈拉以南非洲妇女的避孕普及率最低(22%)，并且自2000年以来，基本未取得进展。全世界计划生育需求未得到满足的15至49岁已婚或同居妇女的人数超过1.2亿。",
"35. 如今，世界人口的87%，共59亿人使用源自改良水源的饮用水，这一数字较1990年增长了18亿。但是，8.84亿人仍无法从改良水源获得饮用水，这些人几乎全部生活在发展中地区。撒哈拉以南非洲占该数字的三分之一以上，并在实现千年发展目标具体目标7方面进展滞后。地区、国家和城乡间差异仍十分巨大。在撒哈拉以南非洲，城市居民使用改良饮用水源的可能性是农村居民的1.8倍。发展中地区94%的城市人口使用改良水源，但农村人口仅为76%。但是在城市地区，覆盖率的扩大几乎跟不上人口增长的步伐。1990年以来，世界城市人口增长了10.9亿，而无法使用改良饮用水源的人口也从1.02亿增加到了1.4亿。",
"36. 超过26亿人仍缺少抽水马桶或其它形式的改良卫生设施，虽然1990至2008年，获得改良卫生设施的人数约达13亿，但全世界仍将落后环境卫生目标13个百分点。除非作出巨大努力，否则将无法实现降低得不到基本卫生设施的人口比例的目标。",
"37. 2010年发起了“人人享有环境卫生和饮用水”活动，帮助扩大饮用水、环境卫生和个人卫生方案，这是一项发展中国家、捐助国、多边机构、民间社会和其它实体共同努力实现普遍、可持续地享有卫生设施和饮用水的全球伙伴关系。当前的重点是加快严重偏离正规的国家和最贫困的社区实现目标的进程。2010年，49个国家接受了卫生支助，目标是通过从需求出发的参与性社区全面卫生办法，消除随地大小便现象。此外，已制定改变国家行为的密集宣传方案、提倡用肥皂洗手的国家由2008年的53个增加到2010年的87个。",
"38. 2010年世界幼儿期照料和教育会议呼吁加强在该领域的承诺，并强调公平和包容；会议还呼吁通过加强父母、家庭和服务提供者的能力，扩展对幼儿的高质量照料。儿基会和世界卫生组织联合制订了一份订正的儿童发育护理训练计划，2010年在南非约翰内斯堡召开的国际儿科协会大会启动了这项计划。",
"39. 为加快在妇女和儿童健康方面取得进展，秘书长带头推动一项全球性努力，召集了来自政府、民间社会和公司部门的所有主要利益攸关方，制订促进实现千年发展目标具体目标第4和5的计划。随之发起的全球妇女和儿童健康战略概述了急需采取行动增加筹资、加强政策和改善服务提供的主要领域。该战略要求有关各方协调行动，使针对最贫困人口采取的经检验的干预措施产生最大影响。",
"40. 2010年，约100个国家发生了近300起人道主义状况，影响了数百万的儿童。海地的地震紧急情况和巴基斯坦的季风洪灾对社区和儿童造成了严重危害，影响了超过300万的海地居民和近2 000万的巴基斯坦居民。此外，智利、中国和印度尼西亚也发生了地震，尼日尔和萨赫勒地区发生了旱灾和不断恶化的营养不良状况；阿富汗、刚果民主共和国、索马里和苏丹的危机旷日持久，世界其它地区则发生新的冲突。",
"B. 提供优质教育",
"41. 为实现千年发展目标具体目标2，在提高入学率、缩小性别差距和为弱势群体儿童提供更多机会方面取得了长足进展。但2008年仍有大约6 700万小学适龄儿童失学，尽管失学儿童数量自1999年以来已减少3 900万。以最近学校入学率增速为基础的预测指出，2015年至少仍有7 200万小学适龄儿童有可能失学。另外，仍有7 400万初中适龄儿童失学。",
"42. 虽然初等教育入学率继续上升，在发展中世界达到89%，但一些国家的净入学率从1999年到2008年并无提高。至少有20个国家的入学率甚至下降。全世界未入学的小学适龄儿童中，42%、即2 800万名此类儿童生活在受冲突影响的贫穷国家。甚至中等收入国家也往往有大量边缘化群体中的儿童不能上小学。根据对42个发展中国家的数据分析表明，最贫穷的20%家庭的女孩的失学几率比最富有家庭的女孩高3.5倍，比最富有家庭的男孩高4倍。失学儿童问题全球倡议在2010年初启动，目标是引入较为系统的办法以应对让失学儿童上学的挑战。许多国家正在推广诸如取消学费、注重公平的社会保护手段和学校供餐方案等措施，旨在消除费用对入学和继续上学构成的障碍。2010年，146个报告国中，44%制定了政策，并配有具体机制和适当预算，以消除费用和其他因素对普及初等教育构成的障碍。",
"43. 2010年，有更多报告国制定了学校落实到位的国家政策。146个报告国中，65个国家制定了该项政策，而2008年是50个。2010年，44个国家通过与联合国女孩教育倡议建立伙伴关系等途径，推动基础教育的政策发展，并更大规模地实施注重性别平等的干预措施。全球一级的重大成果是通过了《加速女孩教育与性别平等达喀尔宣言》。",
"44. 2010年，通过为女孩开设辅导班，设立补助金和奖学金计划，进行重视性别平等的教师培训以及提供课堂材料等各种办法，为女孩继续上学和升入中学消除障碍。在贫穷社区分发以积极学习、重视公平和编入新课程为基础的学习和教学材料。多国政府为使弱势儿童入学并继续上学，采取了适龄儿童速成学习举措。47个国家在初等教育课程、51个国家在中等教育课程中纳入了环境与气候变化方面的教育。",
"45. 2002年启动了全民教育“快车道倡议”，旨在帮助低收入国家普及免费基础教育，并确保它们加快实现千年发展目标具体目标2。该倡议成功调集资金用于国家教育部门计划及制定计划，包括在若干脆弱国家内。",
"46. 然而最近有证据显示，教育质量落后于学校入学比率的提升。为解决这个问题，截止2010年，79个国家采用了以爱生学校或类似模式为基础的小学教育质量标准，而2005年是43个国家。建立保护儿童、特别是保护女孩的学习环境现已成为优质教育必不可少的组成部分。各种创造安全空间，防止暴力侵害和性虐待儿童行为的方案，以及心理社会服务和社区干预措施已经在一些国家深入进行。仍在继续努力在学校系统中禁止一切形式暴力行为。截止2010年，79个国家制定了禁止体罚的国家政策；50个国家制定了国家教育部门计划，以应对感染艾滋病毒和艾滋病的儿童问题；88个国家在学校开展了以饮水、环卫和讲卫生为主题的活动，超过2万所学校的420万儿童从中受益。2010年4月，启动了此类活动的“多伙伴行动呼吁”，以加强对该问题的重视。",
"47. “教师促进全民教育”国际工作队强调在与教师有关的重要问题上采取行动，并实现全民教育目标和有关初等教育的千年发展目标，工作队由联合国教育、科学及文化组织负责协调，64个国家和24个国际政府组织和非政府组织参与其中。",
"48. 在一项关于教育方案执行情况的审查中重点提到了下列制约因素：合作伙伴和政府对应部门的能力有限；政府各部门间、国家级与国以下各级间协调欠佳；政治局势不稳定；资金灵活性不够；以及监测和评价制度薄弱。要加快实现千年发展目标具体目标2，就必须在战略上重视促进教育部门计划中的公平和包容性成果，不仅对失学儿童、也对面临中途辍学和失学危险的儿童保持关注，以及加强国家监测和评价制度。",
"49. 2010年，教育是人道主义应急行动的关键组成部分。在海地，儿基会及其合作伙伴领导了教育应急行动，涵盖大约583所学校，即远超过100万名儿童和5万名教师。在巴基斯坦，40多万名儿童和500多所学校在2010年获得支助。重返校园运动也成为伊拉克、也门和其他受自然灾害或冲突影响国家的一个特点。2010年，成立了35个国家级教育小组，从而加强了机构间常设委员会的全球教育小组机制。虽然人道主义应急行动有助于更快实现恢复，但更大的挑战在于如何加强应急行动，促进教育体制更长期的重建和改革。",
"C. 防止虐待、剥削和暴力",
"50. 无论在哪个财富阶层、处于何种发展和紧急情况背景下，属于低收入、中等收入还是工业化国家，儿童都容易在学校、福利和司法机构、家庭、工作场所和社区等一系列环境中，受到各种形式暴力、虐待和剥削的侵害。关于儿童保护，包括儿童状况和最可能受侵害的儿童的特征方面的有力数据日益增多。",
"51. 发展中国家有近半数5岁以下儿童没有办理登记，因此得不到保护，也无法享受他们有权获得的保健、社会福利和教育等基本服务。最富有家庭的儿童办理出生登记的可能性比最贫穷家庭的儿童高2到3倍。财富阶层还与童婚有联系：在许多发展中国家，最贫穷家庭的女孩在18岁前结婚的可能性比最富有家庭的女孩高3倍。",
"52. 虽然贫穷是预测某些儿童保护措施易遭违反的一项指标，但是造成这种现象的还有与歧视以及根深蒂固的社会规范、态度和行为有关的其他许多因素。某些形式的暴力行为跨越所有财富阶层和地理区域。在所有区域，许多儿童不论经济地位如何都遭受心理暴力和体罚。切割女性生殖器比率因族裔不同，而非因社会人口变量而出现差异。非洲29个国家和中东1个国家中的7 000多万名女孩和妇女(15到49岁)受到此陋习的侵害。",
"53. 虽然很难收集与一些保护问题有关的确切数据，但现有的估计数字令人忧虑：每年遭受暴力侵害的儿童人数在5亿至15亿之间，施害者往往是儿童应该信任的人。据劳工组织估计，全世界大约有2.15亿18岁以下儿童沦为童工，其中男孩较可能从事经济活动，而很大一部分女孩则从事家务劳动。据认为至少有200万儿童被安置在机构中，至少有25个国家的儿童被武装团体或部队强制招募入伍。",
"54. 加强儿童保护制度仍然是一个主要重点，通过制订计划和评估总结重大经验教训，以确保全面应对儿童保护问题。在消除构成暴力、剥削和虐待根源的社会规范方面也取得了进展，包括通过宣言摒弃切割女性生殖器的陋习。虽然将社会变革办法用于对付更广泛形式的暴力行为仍然是一项挑战，但这方面的知识库在2010年得到加强，并为一些国家的实际运用提供信息。大约有131个方案国家致力于加强社会福利和司法制度，至少有15个国家开展了构建儿童保护制度的综合行动。全世界为防止暴力侵害儿童而进行的法律改革势头有增无减。目前，29个国家颁布了全面的法律禁令，禁止在任何环境中实施任何形式的暴力，包括家庭体罚。各地区正在进行重大立法改革以实现全面禁止，很多国家通过了新立法，以禁止贩卖、性虐待和性剥削、家庭暴力以及切割女性生殖器等具体形式的暴力。",
"55. 2010年，儿基会、联合国难民事务高级专员、拯救儿童和芝加哥大学蔡平馆签署了一份题为“调整适应儿童保护的系统办法：重大概念和考虑”的文件，其中阐明了了解儿童保护制度的共同出发点。文件详述了儿童保护制度的功能，为开发规划和评估工具奠定了基础，其中一些工具于2010年初在撒哈拉以南非洲和其他区域得到试用和推出。",
"56. 规划和评估活动对于加强制度工作至关重要。这项活动支持利用所有现有资源，促进制度的各组成部分间的联系，并确定弱势民众能够利用该制度并从中获益的途径。规划进程通过将相关行为体纳入正式或不太正式的架构中，就儿童保护制度的目标和需要采取的行动达成政治共识。",
"57. 国家政策与替代性照料国际标准保持一致的趋势日益明显，包括与《关于替代性儿童照料的导则》中建议的国际标准保持一致。2010年，有58个国家通过了符合国际标准的国家政策，而2005年是36个。在结论意见中敦请向儿童权利委员会提交报告的国家在开展儿童保护服务时应考虑到《导则》。在全球范围制定了一项衡量和监测武装暴力行为框架，其中包括有关儿童的具体指标。为了应对在该部门进行监测和评价的全球挑战，设立了一个机构间儿童保护监测和评价咨商小组，目的是改进数据收集方法和加强协调。",
"58. 在出生登记率低的国家，研究和规划活动为制定国家行动计划和政策提供了基础。加强人力资源能力，以及与卫生服务部门合作改进提供与保护有关的服务，是儿童保护制度工作中的另一个核心组成部分，是2010年很多国家的工作重点。为加强向儿童提供保护服务的机构能力，利用短信息服务技术等创新办法进行出生登记。",
"59. 2010年，儿基会和其他伙伴与至少99个国家的立法者和决策者合作，改进与儿童保护有关的法律和政策框架。还加大努力影响绕过司法程序和采取替代拘留措施的国家议程，有助于更深刻地认识到两者对于确保根据《儿童权利公约》保护触法儿童权利，至关重要。此外在2010年，大约有24个方案国利用了爱幼和性别意识正确的调查及法庭程序，而2008年是17个。",
"60. 2010年，联合国人口基金-儿基会通过联合方案在15个国家加紧努力，进一步应用社会规范认识，支持加速摒弃切割女性生殖器官陋习。显著成果包括全社区更广泛地公开摒弃这一陋习，区以下和区一级摒弃这一陋习的现象日益增加。在“携手扶持女孩倡议”下，为减少暴力侵害女孩行为在全球和国家进行的合作正在得到加强。印度根据国家一级行动计划和2010年完成的社会规范成长研究结果，可望在2011年制定一项禁止童婚国家战略。",
"61. 一般性讨论日、2010年3月人权理事会通过的关于打击性暴力侵害儿童行为的决议(见上文第11段)，以及负责暴力侵害儿童问题秘书长特别代表和买卖儿童、儿童卖淫和儿童色情制品问题特别报告员的联合报告，是为各国打击对儿童的性暴力和性剥削行为的工作提供借鉴的重要指导原则和建议。",
"62. 2010年海牙全球童工问题会议召开之后，将利用商定的到2016年消除最恶劣形式童工路线图，跟踪直到2016年的进展情况。此外，在第九十九届国际劳工大会上，劳工组织成员国同意拟定一项关于家务劳动的公约和建议。",
"63. 把应对冲突、后调整为应对灾害的机构间导则和工具用来应对大规模自然灾害被发现是不够的，2010年开始努力弥补差距，其中包括制定“儿童友好空间”机构间标准、与待命伙伴共组紧急情况下儿童保护快速反应小组和提供机构间应急准备培训。在2009年能力建设基础上，支持各国消除基于性别的暴力行为。这将是联合国促进性别平等和增强妇女权能署(妇女署)与其他合作伙伴的一个重点核心领域。",
"64. 根据安全理事会第1612(2005)号决议规定的职责，支持在13个国家武装冲突局势下实施关于严重侵害儿童行为的监督和报告机制。正在根据安全理事会第1888(2009)号决议制定一个监督和报告机制，其中将包括一套指标，用以衡量联合国对性暴力行为采取的对策，并为如何在国家、区域和全球各级建立监督和报告制度提供指导。还需加大力度收集和分析关于最边缘化儿童和群体的保护和他们所面临的其他挑战的数据。",
"65. 2010年，向15个受冲突影响国家提供支助，帮助28 000名受武装冲突影响的儿童和11 400名与武装部队和武装团体有牵连的儿童重返社会。另有11个国家签署了保护被武装部队或武装团伙非法征召或利用的儿童的《巴黎承诺》，使签署国总数增加到95个。",
"66. 通过儿童保护分组工作加深认识在更广泛的应急反应和人道主义应急工作中开展的儿童保护活动，包括加深认识基于性别的暴力行为、精神保健和心理社会支助问题。19个国家得到紧急情况下保护儿童的技术支助。尤其令人关注的是，在海地应急行动中通过对安置在机构中的儿童和流离失所儿童、孤身/失散儿童的儿童友好空间进行的儿童问题多部门评估，在儿童保护、水和环卫、营养和卫生问题上形成的方案统一。由此而对海地机构中儿童的需求和儿童友好空间有了一个更全面的了解。",
"67. 作为加强宗教社群，特别是宗教间机制保护受冲突影响儿童的能力的多年伙伴关系的一部分，儿基会和宗教致力于和平组织根据联合国研究暴力侵害儿童行为问题独立专家的报告(A/61/299)中所载建议，共同出版了题为“从承诺到行动：宗教社群可为消除暴力侵害儿童行为采取的行动”的导则。",
"68. 经验表明需继续重视儿童保护制度和改善一切情况下，包括冲突和自然灾害中的社会规范。合作伙伴间需要进一步加强对以战略方法处理最弱势儿童需求的认识和知识交流。虽然在监督和评价方面取得了进展，儿童保护数据得到了扩充，但是挑战依然存在。当前的户口调查并未将离家儿童，包括安置在机构中、拘留中心、从事最恶劣形式童工劳动或流落街头的儿童包括在内。为确保干预措施产生积极成效及符合儿童的最大利益，更全面地了解最弱势和最边缘化儿童，包括无家庭照料的儿童状况，至关重要。",
"D. 防治艾滋病毒/艾滋病",
"69. 2009年，估计有3 330万人感染艾滋病毒，比1999年增长27%。据估计，2009年，有500万青年人(15至24岁)感染艾滋病毒，占同年15岁及以上艾滋病毒新感染者的41%。撒哈拉以南非洲仍然是受影响最严重地区，占艾滋病毒感染者总数的68%，占艾滋病死亡人数的72%。2009年，约890万15至24岁青年为艾滋病毒新患者，每天增加近2 500名患者，其中75%的新患者在撒哈拉以南非洲。此流行病尤其影响到妇女和儿童。全球60%感染艾滋病毒的年轻人是青年妇女；在撒哈拉以南非洲，这一数字更高达72%。撒哈拉以南非洲的少女和青年妇女感染艾滋病毒的可能性高于同龄男性好几倍。2004至2009年，接受抗逆转录病毒治疗的人数增长了13倍，同期与艾滋病有关的死亡人数也随之减少19%。然而此流行病继续产生严重后果。2005至2009年，艾滋病孤儿人数从1 460万增加到1 660万。",
"70. 所有孕妇自愿接受常规艾滋病毒检测和咨询，是提供服务防止母婴传播艾滋病毒的一个关键切入点。中、低收入国家孕妇接受艾滋病毒检测的比例从2005年的7%上升到2009年的26%。截至2009年底，在所有中、低收入国家中，27个国家已经达到大会第二十七届特别会议制定的目标(见第S-27/2号决议)，即到2010年80%的孕妇接受了艾滋病毒检测和咨询。2009年，在感染艾滋病毒的孕妇中，53%接受了预防母婴传播艾滋病毒的抗逆转录病毒治疗，而2008年是45%。在撒哈拉以南非洲，这一比例从2008年的45%提升到2009年的53%。在滋病毒呈阳性母亲生育的婴儿中，约三分之一接受了防止母婴传播的治疗；在中、低收入国家，这一覆盖面只略有提高，从2008年的32%增加到2009年的35%。必须作出更加实质性的努力，实现普遍检测和在抗逆转录病毒治疗上达到95%的覆盖率，才能实现消除母婴传播艾滋病毒的目标。",
"71. 在全球，儿童接受治疗的覆盖面(28%)明显低于成人(37%)。根据2010年的新准则，更多感染艾滋病毒的儿童，包括所有2岁以下儿童，有资格开始接受抗逆转录病毒治疗。但是新数据显示，这一潜在机会在很大程度上未得到利用。2009年，有250万名15岁以下儿童为艾滋病毒感染者。虽然中、低收入国家接受抗逆转录病毒治疗的儿童人数从2008年的275.3万人增加到2009年的356.4万人，但是这一数字在目前新准则规定有此需要的127万儿童中，仍然只占28%。然而，成人与儿童之间的实际差距要大得多，约50%感染艾滋病毒、又得不到治疗的儿童在二周岁之前就夭折。现在已可提供一系列具有成本效益的抗逆转录病毒儿童配方，通过技术改进，可以快速诊断艾滋病毒。",
"72. 2001年估计有570万15至24岁青年感染上艾滋病毒。2009年底，这一数字降低到500万。此外，2009年估计有890万15至24岁青年新感染了艾滋病毒。青年人中间艾滋病毒流行程度大幅降低，与初次性生活年龄推迟、减少性伴侣人数和增加使用避孕药具等更安全行为和做法的明显趋势有关。根据联合国艾滋病毒/艾滋病联合规划署2010年的报告，2001至2008年期间，在撒哈拉以南非洲22个关键国家，青年人中间的流行率骤降了25%以上。在世界多数地区，艾滋病毒新感染率稳步下降或保持稳定。在全球感染艾滋病毒的青年人中，估计80%居住在20个国家，分散在世界好几个区域，并有着该疾病流行的多种环境。年轻妇女仍然更容易受到感染。很多国家的妇女在25岁前就染上艾滋病毒的风险最大。关于青年人掌握艾滋病毒全面知识的数据表明，整体水平仍远落后于大会第二十七届特别会议设定的到2010年达到95%的目标，并突显不同区域和国家间的差异。自2000年以来，在17个有青年男性趋势数据和22个有青年女性趋势数据的国家中，11个国家男女青年避孕药具的使用率都提高了十个百分点或以上。为减少青年人感染艾滋病毒的人数，必须加大努力增强校内外青年人有关艾滋病毒的全面知识，增加青年人报告性行为期间使用避孕药具的人数，以及加强为青年人提供的艾滋病毒检测和咨询服务。",
"73. 多数撒哈拉以南非洲国家，在实现10至14岁孤儿和非孤儿在校比例均等方面取得了重大进展。在至少提供两个时间点数据的31个撒哈拉以南非洲国家，27个国家失去父亲或母亲或父母双亡的儿童在校率提高。尽管取得了明显进展，孤儿和易受伤害儿童得到外部照顾和家庭照顾支助的覆盖面较低，仍令人关切。 在2005至2009年期间做过户口调查的25个国家，11%的中位数家庭接受了外部支助。尽管大批儿童需要帮助，为孤儿和易受伤害儿童采取的措施仍然较少且不成系统，未能与更大范围的防止儿童感染艾滋病和为其提供治疗的努力联系起来。直到现在，孤儿随便成为艾滋病感染儿童的代名词，但是并非孤儿就一定被打上最易受伤害儿童，包括离家儿童的标记。制定多层面脆弱性指标的意向日益明显，其中不仅说明儿童易感染艾滋病的程度，还包括与贫穷有关的更广义的脆弱性。",
"74. 在新感染率下降的很长一段时期内，失去艾滋病患者父母的儿童仍需要继续得到关爱。对易感染艾滋病毒的孤儿和儿童提供照料和支助，应成为循环干预措施的一部分，其中优先重视照料和支助与初级预防和感染艾滋病毒的青年人接受治疗之间的联系。投资于社会保护措施及为易感染艾滋病毒的孤儿和儿童提供的儿童保护，对于确保取得更加公平的成果，至关重要。与让少女继续上学有关的证据显示，这类方案不仅能减少失去双亲或与病患亲属生活在一起的儿童的经济脆弱性，还能防止感染艾滋病毒和减少易受感染率。精心设计的现金转移措施为坚持治疗和消除母婴传播艾滋病毒提供了奖励。这是针对艾滋病的多种干预措施的其中一种，具有改进照料儿童家庭的保健和福利的巨大潜力，而不论造成脆弱性的根源是什么。",
"四. 今后方向",
"75. 在关于儿童问题的大会特别会议举行后的近10年里，在达到与儿童有关的几个关键指标方面取得了长足进展，但是在很多情况下，许多国家内部和区域之间的差距不断扩大或维持在同等水平上。以最弱势和处境最不利儿童和家庭为工作重点的注重公平的方法，很可能是实现千年发展目标最具成本效益和最快的途径。这一方法还将有助于维持进展，确保贫穷和处境不利社区的儿童拥有的未来正是特别会议在《宣言》和《行动计划》的全球承诺中为所有儿童承诺的未来。2007年12月举行的专门讨论落实大会儿童问题特别会议成果后续行动的高级别全体纪念会议重申了这些承诺。注重公平的战略将改善社会服务的提供和利用，减少地理位置、收入贫穷、信息缺乏和社会歧视等因素构成的障碍。",
"76. 2010年大会关于千年发展目标的高级别全体会议和题为“履行诺言：团结一致实现千年发展目标”的第65/1号决议为实现全世界儿童和家庭的愿望提供了新的动力。会员国不妨将国家、区域和全球各级的进一步举措，包括在2012年适当时候举行的大会高级别全体纪念会议作为一项机制，用以审查进展，特别是在帮助处境最不利的儿童方面取得的进展，并加快采取行动，以便到2015年建成一个适合儿童生长的世界。",
"[1] 自第五十八届会议起向大会提交关于进展情况的年度审查(A/58/333、A/59/274、A/60/207、A/61/270、A/62/259、A/63/308、A/64/285和A/65/226)。",
"[2] 见联合国，《条约汇编》，第2171卷，第27531号，大会第54/263号决议附件一(关于儿童卷入武装冲突问题)和附件二(关于买卖儿童、儿童卖淫和儿童色情制品问题)通过了这些任择议定书。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 65 (b) of the provisional agenda*",
"Promotion and protection of the rights of children: follow-up to the outcome of the special session on children",
"Follow-up to the special session of the General Assembly on children",
"Report of the Secretary-General",
"Summary",
"The present report is issued in response to General Assembly resolutions 58/157 and 58/282, in which Member States requested the Secretary-General to continue to report to the General Assembly on the progress made in implementing the commitments made at the special session of the General Assembly on children, as contained in the outcome document of that special session, entitled “A world fit for children” (S-27/2). The report provides an overview of the progress and challenges in that regard, and the actions needed to achieve further progress, particularly the need to reach the most vulnerable and disadvantaged children in each context.",
"In the report, it is noted that failure to achieve the commitments will significantly undermine efforts towards realizing the aspirations of the United Nations Millennium Declaration and the Millennium Development Goals by 2015 and beyond.",
"Contents",
"Page\nI.Introduction 3II. Follow-up 4 to the special session of the General Assembly on \nchildren A.Planning 4 for \nchildren B. Promoting 4 the implementation of the Convention on the Rights of the \nChild C. Collaboration 5 and leveraging resources for \nchildren D.Monitoring 6 \nprogress E. Participation 7 and self-expression of \nchildren III.Progress 7 in the four major goal \nareas A. Promoting 7 healthy \nlives B. Providing 10 quality \neducation C.Protecting 12 against abuse, exploitation and \nviolence D. Combating 16 \nHIV/AIDS IV.Ways 18 \nforward",
"I. Introduction",
"1. During the past decade, the United Nations Millennium Declaration and the Millennium Development Goals have led to unprecedented commitments and partnerships for goal-driven progress towards fulfilling the rights of children, reaffirmed in successive summits and meetings. A commemorative high-level plenary meeting on the commitments of “A world fit for children” (S-27/2) was held in 2007 to review the outcome and progress made in implementing the Declaration and the Plan of Action. In General Assembly resolution 65/1, entitled “Keeping the promise: united to achieve the Millennium Development Goals”, Member States further committed to accelerating progress towards achieving the Millennium Development Goals.",
"2. The present report follows previous reports[1] and assesses the progress made in achieving the goals set out in “A world fit for children”, many of which correspond to key targets for children as envisaged in the United Nations Millennium Declaration and the Millennium Development Goals.",
"3. Compared with 2000, when the Millennium Declaration was adopted, 2.1 million fewer children are dying every year from preventable causes before reaching their fifth birthday; the number of primary school age children out of school dropped by 39 million from 1999 to 2008. Yet each year there are 8.1 million deaths in children under 5 years of age and over 350,000 maternal deaths; close to 67 million children are still out of school; and in developing countries 195 million children under 5 years of age are suffering from stunting, jeopardizing the achievement of the Millennium Development Goals. Millions of children continue to experience the searing impacts of conflict, such as the loss of parents or sudden, forced relocation. It is estimated that more than 1,000 babies continue to be born with HIV every day and nearly 5 million young people aged 15-24 are living with HIV. More than 200 million children under the age of 5 do not have a birth certificate.",
"4. The global economic downturn in 2008-2009 and price volatility in food and energy commodities exposed the interdependence of countries in the global economy and the need to strengthen the use of development policy both at the national and global levels to safeguard the status of children, especially in the poorest families. Capacity weaknesses, financial volatility and increased indebtedness have proved to be destabilizing for the sustained achievement of the Millennium Development Goals in many developing countries and have often been associated with widening disparities between and within societies.",
"5. Declining social investments, combined with long-standing challenges such as the social exclusion of indigenous and disadvantaged minority groups, children with disabilities and girls, as well as the effects of migration, rapid urban expansion and climate instability, are making the implementation of “A world fit for children” more challenging.",
"II. Follow-up to the special session of the General Assembly on children",
"A. Planning for children",
"6. In 2010, major thematic studies or analyses on the rights of children and women were carried out in at least 81 countries. Six more countries joined the Global Initiative on Child Poverty and Disparities, led by the United Nations Children’s Fund (UNICEF), raising the number of participating countries to 52. Situation analyses increasingly focused on identifying the most vulnerable and disadvantaged children and women in order to promote equity-focused strategies that could better support them. Findings are used to advance policies to protect and promote the rights of children.",
"7. In 2011, UNICEF published a report entitled The State of the World’s Children: Adolescence — An Age of Opportunity, in which it highlighted the importance of investing in adolescents in order to break cycles of poverty and inequity. Facing an increasingly uncertain world where climate change, urbanization, economic recession and rising unemployment pose unprecedented challenges, the report emphasizes the need to provide adequate support to adolescents so that they reach their full potential.",
"8. Support for protecting the most vulnerable in each country context was seen as an urgent priority. A continued focus on boosting employment growth, maintaining basic services and strengthening social protection measures are recognized as crucial for solidifying and broadening economic recovery and well-being for all.",
"B. Promoting the implementation of the Convention on the Rights of the Child",
"9. In May 2010, the Secretary-General, the Special Representative of the Secretary-General on Violence against Children, the Special Representative of the Secretary-General for Children and Armed Conflict, UNICEF, the Office of the United Nations High Commissioner for Human Rights and partners launched a global campaign to promote the universal ratification and implementation of the Optional Protocols to the Convention on the Rights of the Child by 2012. The campaign aims at raising awareness of the importance of mechanisms for protection against violence, including adherence to international standards and their effective enforcement. Since the launch of the campaign, eight more countries have ratified/acceded to the Optional Protocol on the sale of children, child prostitution and child pornography, and one country has signed it, bringing the total number of States parties to 145 and signatories to 118. In 2010, seven additional countries ratified the Optional Protocol on the involvement of children in armed conflict.[2]",
"10. The first regional training of trainers using the “Training manual to fight trafficking in children for labour, sexual and other forms of exploitation” was piloted in 2010 with the support of UNICEF and the International Labour Organization (ILO).",
"11. Increased international attention to sexual violence was achieved through support to the Human Rights Council general day of discussion and its resolution (13/20) on sexual violence against children. As a follow-up to that thematic debate, a joint report (A/HRC/16/56) by the Special Representative of the Secretary-General on Violence against Children and the Special Rapporteur on the sale of children, child prostitution and child pornography to the Human Rights Council called for the establishment in every country of accessible, safe and child-sensitive counselling and complaint and reporting mechanisms for children to report incidents of violence. Technical knowledge on social norms and addressing harmful traditional practices was shared with the Committee on the Rights of the Child and the Committee on the Elimination of Discrimination against Women to help to ensure that the knowledge is reflected in a future joint general comment of the Committees on harmful practices.",
"12. Partnerships continued to be strengthened. In 2010, the scope of the “Together for Girls” initiative, an innovative multi-country partnership established in 2009 to end sexual violence against girls in Africa and East Asia, was broadened to focus on data collection and coordinated programme response and advocacy around the prevention of violence against children, particularly sexual violence. Those efforts galvanized action at the local level, while stimulating the interest and support of global partners. A workbook for corporations on child rights and child-focused impact assessments was completed, and a consultation was held with stakeholders. The United Nations Adolescent Girls Task Force advocates for and promotes comprehensive policies and programmes for adolescent girls, especially the most marginalized. In addition, UNICEF continued to foster the relationship with the Hague Conference on International Private Law on four of its conventions on children. Technical inputs were provided to the Hague Global Child Labour Conference, and follow-up and support were provided to countries for implementation of the recommendations contained in the Road Map for Achieving the Elimination of the Worst Forms of Child Labour by 2016.",
"13. For children in the poorest countries and most disadvantaged population groups, expanding coverage of essential services will be critical to fulfilling their rights. “Going to scale” involves a complex range of actions, including expanding the delivery of tried-and-tested interventions and overcoming behavioural, institutional and environmental impediments to service delivery. That, in turn, requires a good understanding of the bottlenecks to delivering essential services for children and the barriers faced by families in accessing them. Initiatives will require greater coherence and harmonization.",
"C. Collaboration and leveraging resources for children",
"14. In 2010, increased collaboration with donors led to greater coordination of leveraging resources for children in emergencies. New donors provided humanitarian funding in order to improve capacity for humanitarian response. New mechanisms incorporated into funding agreements, such as multi-year and country cycle-specific thematic agreements, provided increased flexibility and funding predictability for programmes.",
"15. According to the 2010 report of the United Nations Millennium Development Goals Gap Task Force, aid from members of the Development Assistance Committee reached almost $120 billion in 2009, increasing by less than 1 per cent, in real terms. However, the share of official development assistance in the gross national income of donors was only 0.31 per cent, well below the target of 0.7 per cent, which has been reached and exceeded by only five donor countries. Remittances have become a growing source of income in many developing countries, reaching a high of an estimated $336 billion in 2008. In the current crisis, remittances have proved to be more resilient than private capital flows. Partnerships involving foundations, non-governmental organizations and global programmes expanded further in 2010, providing opportunities to leverage additional funding for children worldwide. Among the major contributors were Rotary International, the Bill and Melinda Gates Foundation and the Global Fund to Fight AIDS, Tuberculosis and Malaria.",
"16. With the financial downturn, global discussions are increasingly focused on key investment sectors such as infrastructure and agriculture. While overall levels appear not to have declined, resources for investments in children are still highly inadequate in most countries. The consequences could have harmful implications for future funding of basic social services, which are critical to the well-being of children.",
"D. Monitoring progress",
"17. Global databases on children and women were updated throughout 2010. Data from national household surveys and other sources were analysed and disaggregated by sex, wealth and location in order to provide a stronger understanding of inequalities. The United Nations directed significant efforts towards harmonizing work on data among partners, including through common recognition of new methodologies, standardization of indicators and monitoring tools, building national statistical capacity and developing joint estimates.",
"18. Nearly 200 multiple indicator cluster surveys have been conducted globally in the first three rounds (1995, 2000, 2005-2006). The fourth round is being carried out during 2009-2011, with a wider range of indicators. The results of the surveys started to be produced in 2010.",
"19. The common United Nations Development Group database software, DevInfo, has been adopted worldwide as a tool to organize, display and analyse standardized human development data. By 2010, DevInfo had over 120 adaptations available. More than 1,000 professionals from many programme countries have been trained to support the effort of establishing national repositories of data on human development, including a wide range of child-related indicators.",
"20. In 2010, a UNICEF study entitled “Narrowing the gaps to meet the Goals” provided compelling evidence for an equity-based strategy that, compared with the traditional path, could move the global community more quickly and cost-effectively towards meeting Goals 4 and 5 of the Millennium Development Goals. That strategy, according to the study, has the potential to help to avert millions of maternal and child deaths by the 2015 deadline.",
"E. Participation and self-expression of children",
"21. There has been an increase in children’s participation in contributing to the fulfilment of the rights of the child and meeting the Millennium Development Goals. A few countries have established a standing committee of parliamentarians on the rights of the child to have regular face-to-face continuous dialogue with girls and boys. Many countries reported on children’s media initiatives and the use of information technology to further the participation of children. There has also been an increase in the number of surveys and polls taken of young people to further the understanding of their perspectives and opinions regarding the societies in which they live. Special efforts are being made to strengthen the participation of children who are often marginalized, such as adolescent girls, children with disabilities and indigenous children.",
"22. The International Year of Youth has seen the growing participation of young people and adolescents in addressing the many issues affecting the governance of nations. A number of capacity-building tools were finalized to help States to strengthen children’s participation, such as the Handbook on General Comment No. 12, concerning the Convention on the Rights of the Child, produced by UNICEF and Save the Children for government officials. UNICEF and the Inter‑Parliamentary Union also completed a handbook for parliamentarians on child participation, with the objective of promoting the interests and perspectives of children in parliamentary processes.",
"23. The participation of children in key global forums that affect the lives and well-being of children and adolescents has continued to increase. They include the Global Migration Group, the United Nations Permanent Forum on Indigenous Issues, and the preparation of the reports of the Secretary-General on the girl child and on youth. UNICEF and the Alliance of Youth community-based organizations, with support from the Food and Agriculture Organization of the United Nations, produced “Climate Change: Take Action Now!”, a guide to supporting the local actions of children and young people, with special emphasis on girls and adolescents.",
"III. Progress in the four major goal areas",
"A. Promoting healthy lives",
"24. Since 1990, the under-5 mortality rate for developing countries has declined from 99 deaths per 1,000 live births to 66 deaths per 1,000 live births in 2009. An estimated 12.4 million children born alive died before their fifth birthday in 1990, but by 2009 that had been reduced to 8.1 million, the lowest number on record. That represents an annual rate of decline of 2.1 per cent, which must now accelerate to at least 11.6 per cent each year to achieve the target of reducing the rate by two thirds by 2015. The mortality rate of children under age 5 is, on average, more than twice as high for the poorest 20 per cent of households in developing countries as for the richest 20 per cent. Similarly, children in rural areas are significantly more likely to die before their fifth birthday than those in urban areas.",
"25. Nearly 1.5 million children under age 5 die from pneumonia each year, accounting for nearly one in five child deaths globally. Diarrhoea remains the second leading cause of death among children under five, followed by measles. Globally, 82 per cent of children under age 1 were immunized against measles in 2009. Similarly, estimates for the global immunization coverage of three doses of vaccine against diphtheria, pertussis and tetanus stood at 82 per cent in 2009, up from 74 per cent in 2000. From 2000 to 2008, the combination of improved immunization coverage and the opportunity for a second dose contributed to a 78 per cent drop in deaths caused by measles globally. However, progress in reducing neonatal mortality continues to be slower.",
"26. Owing to increased funding for and policy attention to malaria control, from 2008 to 2010 alone, 290 million insecticide-treated nets were distributed in sub‑Saharan Africa, enough to cover almost 80 per cent of the reported need.",
"27. Since the Global Polio Eradication Initiative began in 1988, 2.5 billion children have been immunized, but polio is not yet eradicated and transmission continues in four endemic countries (Afghanistan, India, Nigeria and Pakistan). Conflict and related security concerns, combined with poor coverage of services and natural disasters, have constrained progress in parts of Afghanistan and Pakistan.",
"28. Globally, one third of deaths among children under age 5 are associated with undernutrition. Although the percentage of children who are underweight in developing countries declined from 31 per cent around 1990 to 26 per cent around 2008, many countries are still making insufficient or no progress. From 1995 to 2009, no meaningful improvement was seen in Southern Asia among children in the poorest households, while underweight prevalence among children from the richest 20 per cent of households decreased by almost one third. In developing countries, 40 per cent of young children in the poorest wealth quintile are underweight, compared with 15 per cent in the richest. In the developing world, children in rural areas are twice as likely to be underweight as those in urban areas and are 50 per cent more likely to be stunted. As of early 2011, only 58 of 118 countries with data available were on track to meet the target of reducing the number of underweight children by 50 per cent.",
"29. Vitamin A supplementation coverage continued to be high among children in the least developed countries, with 87 per cent of children fully covered with two doses in 2009, including 81 per cent in sub-Saharan Africa and 76 per cent in Asia. The coverage has more than doubled in the least developed countries, rising from 41 per cent in 2000 to 88 per cent in 2008.",
"30. There has also been progress in eliminating iodine deficiency disorders. Some 37 countries have reached the target of at least 90 per cent of households using adequately iodized salt, an increase from 21 countries in 2002, when the universal salt iodization goal was endorsed at the special session of the General Assembly on children. According to recent data, some 72 per cent of households in developing countries have been consuming adequately iodized salt, including about 73 per cent of households in Asia and 61 per cent in sub-Saharan Africa.",
"31. Progress in infant and young child feeding has been modest. In the developing world, the rate of exclusive breastfeeding has increased only slightly, from 33 per cent in 1995 to 38 per cent around 2008. However, some 19 countries, through a combination of sound policies, legislative enforcement and community-based support, have shown significant increases of at least 20 percentage points in the past 5 to 10 years.",
"32. In 2010, the Secretary-General’s High-level Task Force on the Global Food Security Crisis placed greater emphasis on improving nutrition and helped to promote dialogue and maintain global strategic partnerships and initiatives. Significant efforts were made to improve the nutrition of children and women in developing countries, including through the development of a road map to implement the recommendations contained in the “Scaling Up Nutrition” framework, with more than 100 agencies participating.",
"33. Globally, the annual decline in the maternal mortality ratio from 1990 to 2008 was estimated at only 2.3 per cent, compared with the 5.5 per cent annual decline needed from 1990 to reach the 2015 target. An estimated 358,000 maternal deaths occurred in 2008, a decline of 34 per cent against the target of a 75 per cent decline from 1990 levels. From 1990 to 2008, 147 countries achieved a decline in the maternal mortality ratio, 90 of which showed a decline of 40 per cent or more. Despite that progress, developing countries continued to account for 99 per cent of all maternal deaths; sub-Saharan Africa and South Asia accounted for 87 per cent. Complications related to pregnancy and childbirth are among the leading causes of death worldwide for adolescent girls aged 15-19.",
"34. Maternal health is another area where there is a conspicuous gap between the rich and poor. While almost all births are attended by skilled health personnel in developed countries, in the least developed countries, the figure for women in urban areas is only 41 per cent. The ratio of richest to poorest quintiles is 3 to 1. Disparities in access to care during pregnancy are also striking within developing countries, with women in urban areas 1.3 times as likely as rural women to obtain antenatal care coverage at least once before giving birth. The ability of women to choose when and how many children they will have significantly affects maternal morbidity and mortality. By 2008, more than half of all women aged 15-49 who were married or in union were using some form of contraception. However, progress slowed from 2000 to 2008. Women in sub-Saharan Africa continue to have the lowest level of contraceptive prevalence (22 per cent), with little progress reported since 2000. Worldwide, more than 120 million women aged 15-49 who are married or in union have an unmet need for family planning.",
"35. Today, 87 per cent of the world’s population, a total of 5.9 billion people worldwide, use drinking water from improved sources, an increase of 1.8 billion people since 1990. However, 884 million people, almost all of them in developing regions, still do not get their drinking water from such sources. Sub-Saharan Africa accounts for over a third of that number and is lagging behind in progress towards the target in Goal 7 of the Millennium Development Goals. Huge disparities remain between regions, countries and rural and urban areas. In sub-Saharan Africa, an urban-dweller is 1.8 times more likely to use an improved drinking water source than a rural-dweller. While 94 per cent of the urban population of developing regions uses improved sources, the figure for rural populations is only 76 per cent. However, in urban areas, the increase in coverage is barely keeping pace with population growth. Since 1990, the world’s urban population has risen by 1.09 billion, while the urban population without improved drinking water sources has increased from 102 million to 140 million.",
"36. Over 2.6 billion people still lack access to flush toilets or other forms of improved sanitation. Although approximately 1.3 billion people gained access to improved sanitation from 1990 to 2008, the world will miss the sanitation target by 13 percentage points. Unless great efforts are made, the target for lowering the proportion of people without access to basic sanitation will not be met.",
"37. In 2010, the launch of Sanitation and Water for All, a global partnership of developing countries, donors, multilateral agencies, civil society and others working together to achieve universal and sustainable access, helped to scale-up water, sanitation and hygiene programmes. The immediate focus has been to accelerate progress towards meeting targets in those countries that are most off track and in the most deprived communities. In 2010, 49 countries received sanitation support, with the goal of eliminating open defecation through demand-led, participatory community approaches to total sanitation. In addition, the number of countries with an intensive communication programme to change national behaviours, promoting hand-washing with soap, rose from 53 in 2008 to 87 in 2010.",
"38. The 2010 World Conference on Early Childhood Care and Education called for stronger commitments in that area, with a focus on equity and inclusion, and for the extension of quality care for young children by strengthening the capacities of parents, families and service providers. A revised Care for Child Development training package was developed jointly by UNICEF and the World Health Organization and launched at the 2010 International Paediatric Association Congress, held in Johannesburg, South Africa.",
"39. In order to accelerate progress in women’s and children’s health, the Secretary-General spearheaded a global effort to bring together all key stakeholders from Government, civil society and the corporate sector to develop a plan to promote the achievement of Goals 4 and 5 of the Millennium Development Goals. The resulting Global Strategy for Women’s and Children’s Health outlines the key areas where action is urgently required to enhance financing, strengthen policy and improve service delivery. All concerned parties are called upon to coordinate action to maximize the impact of tried-and-tested interventions for the most deprived populations.",
"40. In 2010, nearly 300 humanitarian situations occurred in close to 100 countries, affecting millions of children. The earthquake emergency in Haiti and monsoon floods in Pakistan had a daunting impact on communities and children, affecting more than 3 million people in Haiti and nearly 20 million in Pakistan. In addition, there were earthquakes in Chile, China and Indonesia; drought and worsening malnutrition in the Niger and the Sahel region; protracted crises in Afghanistan, the Democratic Republic of the Congo, Somalia and the Sudan; and new conflicts elsewhere.",
"B. Providing quality education",
"41. Considerable progress has been made towards achieving Goal 2 of the Millennium Development Goals in terms of increased enrolments, narrowed gender gaps and extended opportunities for children in disadvantaged groups. However, an estimated 67 million children of primary school age were still out of school in 2008, despite a reduction in the numbers of such children by 39 million since 1999. Projections based on the recent rates of progress in school enrolments suggest that at least 72 million children of primary school age are still unlikely to be in school in 2015. In addition, 74 million children of lower-secondary school age are still out of school.",
"42. Though enrolment in primary education has continued to rise, reaching 89 per cent in the developing world, there was little improvement in the net enrolment rate between 1999 and 2008 in several countries. In at least 20 countries, the net enrolment rate even fell. Worldwide, among children of primary school age not enrolled in school, 42 per cent, or 28 million children, live in poor countries affected by conflict. Even in middle-income countries, there are often large numbers of children from marginalized groups not attending primary school. Based on an analysis of data from 42 countries in the developing world, girls in the poorest 20 per cent of households are 3.5 times more likely to be out of school than girls in the richest households, and 4 times more likely to be out of school than boys in the richest households. A global initiative on out-of-school children was launched at the beginning of 2010 with the aim of introducing a more systematic approach to the challenge of including out-of-school children. Measures to address cost barriers to access and retention, such as school fee abolition and equity-focused social protection measures and school feeding programmes, are now being expanded in many countries. In 2010, 44 per cent of 146 reporting countries had developed policies, accompanied by concrete mechanisms and adequate budgets, to address costs and other barriers to primary education.",
"43. In 2010 there was an increase in the number of reporting countries with national policies on school readiness. Sixty-five of the 146 reporting countries had such policies in place compared with 50 in 2008. Also in 2010, policy development was undertaken and gender-focused interventions were scaled up in basic education in 44 countries, including through partnerships of the United Nations Girls’ Education Initiative. A key achievement at the global level was the adoption of the Dakar Declaration on Accelerating Girls’ Education and Gender Equality.",
"44. Barriers to the retention of girls and their transition to secondary school were addressed in 2010 through various approaches, including remedial classes, grants, scholarship programmes for girls and gender-sensitized teacher training and classroom materials. In poor communities, learning and teaching materials were distributed that are based on active learning, focused on equity and incorporating new curricula. In order to enrol and retain disadvantaged children, Governments in many countries implemented accelerated age-appropriate learning initiatives. Environmental and climate change education was incorporated into primary school curricula in 47 countries and into secondary school curricula in 51 countries.",
"45. The Education For All Fast Track Initiative, launched in 2002 to help low-income countries achieve free, universal basic education and ensure accelerated progress towards Goal 2 of the Millennium Development Goals, has been successful in leveraging funds for country education sector plans and the development of plans, including in several fragile States.",
"46. Recent evidence, however, shows that the quality of education is lagging behind the improvement in school enrolment ratios. In response, 79 countries had adopted quality standards for primary education based on child-friendly schools or similar models by 2010, compared with 43 in 2005. Establishing a protective learning environment for children, especially for girls, is now included as an integral part of quality education. Programmes for safe spaces, the prevention of violence and sexual abuse of children, psychosocial services and community-based interventions have taken root in a number of countries. Efforts have also continued to introduce a ban on all forms of violence within the school system. By 2010, 79 countries had developed national policies to end the practice of corporal punishment; 50 countries had created national education sector plans that address issues of children affected by HIV and AIDS; and 88 countries had implemented activities about water, sanitation and hygiene education in schools, benefiting 4.2 million children in more than 20,000 schools. In April 2010, a multi-partner call for action for such activities was launched, to intensify focus on the issue.",
"47. The International Task Force on “Teachers for Education for All”, coordinated by the United Nations Educational, Scientific and Cultural Organization with the involvement of 64 countries and 24 international governmental and non‑governmental organizations, has emphasized action on a number of important issues relating to teachers and the achievement of the Education for All goals and Millennium Development Goals on primary education.",
"48. A review of the constraints to the implementation of education programmes highlighted the following: limited capacity of partners and Government counterparts; poor coordination among Government departments and between the national and subnational levels; unstable political situations; lack of flexibility in funding; and weak systems of monitoring and evaluation. Strategic focus on promoting equitable and inclusive results within education sector plans, on maintaining attention to both out-of-school children and children at risk of dropping out and not learning, and on strengthening national monitoring and evaluation systems, is needed to accelerate the achievement of Goal 2 of the Millennium Development Goals.",
"49. In 2010, education was a key component of the humanitarian response. In Haiti, UNICEF and partners led the education response, which reached some 583 schools, or well over 1 million children and 50,000 teachers. In Pakistan, more than 400,000 children and 500 schools received support in 2010. Back-to-school campaigns were also a feature in Iraq, Yemen and other countries affected by natural disasters or conflict. In 2010, the global education cluster mechanism of the Inter‑Agency Standing Committee was strengthened through the establishment of 35 country-level clusters. While humanitarian responses have contributed to faster recovery, a further challenge lies in consolidating responses in order to contribute to longer-term rebuilding and reform of education systems.",
"C. Protecting against abuse, exploitation and violence",
"50. Children across all wealth quintiles, in development and emergency contexts, and in low-income, middle-income and industrialized countries, are vulnerable to various forms of violence, abuse and exploitation in a range of settings, including schools, welfare and justice institutions, the home, the workplace and the community. Robust data on child protection are gradually becoming more available, including on the situation of children and the characteristics of those most at risk.",
"51. Nearly half of children under age 5 in developing countries are not registered and are therefore beyond the reach of the protection and basic services to which they have a right, such as health care, social welfare and education. Children from the wealthiest households are two to three times more likely to have their births registered than those from the poorest. A relationship also exists between wealth quintile and child marriage: across many developing countries, girls from the poorest households are 3 times more likely than those from the richest to be married before the age of 18.",
"52. While poverty is a predictor of vulnerability to some child protection violations, many other factors are at play, linked to discrimination and deeply entrenched social norms, attitudes and behaviours. Some forms of violence cut across all wealth quintiles and geographic regions. Across all regions, many children experience psychological violence and physical punishment regardless of their economic status. Female genital mutilation and cutting rates vary more by ethnicity than by any other sociodemographic variables. Across 29 countries in Africa and one country in the Middle East, more than 70 million girls and women (aged 15-49 years) have undergone the practice.",
"53. Although precise data on some protection issues are difficult to collect, the available estimates raise concern: between 500 million and 1.5 billion children experience violence annually, often perpetrated by those they should be able to trust. According to the ILO estimates, approximately 215 million children under age 18 worldwide are engaged in child labour, for which boys are more likely to be engaged in economic activity and girls are disproportionately engaged in household chores. At least 2 million children are also thought to be living in institutions, and children are forcibly recruited by armed groups or forces in at least 25 countries.",
"54. The strengthening of child protection systems continued to be a major focus, with mapping and assessments producing important lessons to ensure that child protection issues are holistically addressed. Advances were also made in addressing social norms that underlie violence, exploitation and abuse, including through declarations to abandon female genital mutilation and cutting. While the application of social-change approaches to broader forms of violence remains a challenge, the knowledge base was strengthened in that area in 2010 and is informing practical application in a number of countries. An estimated 131 programme countries are engaged in strengthening social welfare and justice systems and at least 15 countries initiated a comprehensive exercise to map child protection systems. Law reform for children’s protection from violence is gaining momentum worldwide. Currently, 29 countries have introduced a comprehensive legal ban prohibiting all forms of violence in all settings, including corporal punishment in the home. Across regions, significant legislative reforms are under way to achieve full prohibition, and in a large number of nations, new legislation has been adopted to prohibit specific forms of violence, including trafficking, sexual abuse and exploitation, domestic violence and female genital mutilation and cutting.",
"55. A collective starting point for understanding child protection systems was articulated in the 2010 paper entitled “Adapting a systems approach to child protection: key concepts and considerations”, endorsed by UNICEF, the United Nations High Commissioner for Refugees, Save the Children, and Chapin Hall at the University of Chicago. The paper details the functions of a child protection system and provides the basis for mapping and assessment tools, some of which were piloted and rolled out in early 2010 in sub-Saharan Africa and other regions.",
"56. Mapping and assessment exercises are essential to systems-strengthening work. They support the utilization of all available resources, promote the connections between all system components and identify methods by which vulnerable people can access and benefit from a system. By including relevant actors within formal and less formal structures, the mapping process builds a political consensus around the goals of the child protection system and the actions needed.",
"57. There has been a growing trend in aligning national policies with international standards for alternative care, including those recommended by the 2009 Guidelines for the Alternative Care of Children, with 58 countries having adopted national policies consistent with international standards in 2010, compared with 36 in 2005. Countries submitting their reports to the Committee on the Rights of the Child are being urged, in its concluding observations, to consider the Guidelines when developing their child protection services. Globally, a framework for measuring and monitoring armed violence was developed and includes child-specific indicators. To address global challenges in monitoring and evaluation in the sector, an inter‑organizational child protection monitoring and evaluation reference group was set up, which aims to improve data collection methodologies and coordination.",
"58. In countries with low levels of birth registration, studies and mapping exercises provided a basis for national action plans and policies. Strengthening human resource capacity and collaboration with health services to improve protection-related service delivery is another core component of work in child protection systems and was a focus in 2010 in various countries. Innovations, such as Short Message Service technology for birth registration, were employed to strengthen institutional capacities to deliver protection services for children.",
"59. In 2010, UNICEF and other partners worked with legislators and policymakers from at least 99 countries to improve legal and policy frameworks around child protection. Efforts were also scaled up towards influencing national agendas on the use of diversion from judicial proceedings and alternative measures to detention, helping to advance recognition that they are both essential to ensuring the protection of the rights of children in conflict with the law and are in conformity with the Convention on the Rights of the Child. Furthermore, in 2010, some 24 programme countries used child-friendly and gender-appropriate investigation and court procedures, compared with 17 in 2008.",
"60. The social norms perspective was further operationalized through the United Nations Population Fund-UNICEF Joint Programme, which intensified its efforts in 15 countries in 2010 to support acceleration of the abandonment of female genital mutilation and cutting. Visible results included more widespread public abandonment of that practice by entire communities, increasingly at the subdistrict or district level. Under the Together for Girls initiative, global and country cooperation is being strengthened to reduce violence against children. Development of a national strategy to end child marriage is expected to start in India in 2011, based on State-level action plans and the findings from formative research on social norms that was completed in 2010.",
"61. The organization of the general day of discussion and adoption in March 2010 by the Human Rights Council of a resolution on sexual violence against children (see para. 11, above), and the joint report of the Special Representative of the Secretary-General on Violence against Children and the Special Rapporteur on the sale of children, child prostitution and child pornography presented key guiding principles and recommendations to inform the work of countries on combating sexual violence and the exploitation of children.",
"62. As a result of the Global Child Labour Conference, held at The Hague in 2010, an agreed Road Map for Achieving the Elimination of the Worst Forms of Child Labour by 2016 will be used to track progress through 2016. In addition, at the ninety-ninth session of the International Labour Conference, member States of the ILO agreed to develop a convention and recommendation on domestic labour.",
"63. In the response to large-scale natural disasters, the inter-agency guidance and tools developed for conflict but adapted for disaster have been found to be inadequate. Efforts to address those gaps were initiated in 2010, and include the development of inter-agency standards on “child-friendly spaces”, the development of rapid response teams for child protection in emergencies with standby partners, and inter-agency emergency preparedness training. Building on capacity development efforts in 2009, countries were supported to address gender-based violence. That will be a central area of focus for the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), with other partners.",
"64. In line with the responsibilities mandated by the Security Council in resolution 1612 (2005), implementation of the monitoring and reporting mechanism on grave violations against children was supported in situations of armed conflict in 13 countries. A monitoring and reporting mechanism based on Security Council resolution 1888 (2009) is being developed. This will include a set of indicators to gauge the response of the United Nations to sexual violence and to provide guidance on how monitoring and reporting systems can be put in place at the country, regional and global levels. Efforts will also need to be intensified to collect and analyse data on protection and other challenges facing the most marginalized children and groups.",
"65. In 2010, reintegration support was provided to 28,000 children affected by armed conflict and 11,400 boys and girls associated with armed forces and armed groups in 15 conflict-affected countries. Eleven more countries endorsed the Paris Commitments to protect children from unlawful recruitment or use by armed forces or armed groups, raising the total to 95.",
"66. The work of the child protection sub-cluster strengthened the recognition of child protection activities in broader emergency and humanitarian responses, including issues on gender-based violence and mental health and psychosocial support. Nineteen countries received technical support in child protection in emergencies. Of particular interest is the programme convergence that was developed in the Haiti emergency response on issues of child protection, water and sanitation, nutrition and health through multisectoral assessments of children in institutions as well as in child-friendly spaces for displaced children and unaccompanied/separated children. This resulted in a more comprehensive understanding of the needs of children in institutions and child-friendly spaces in Haiti.",
"67. As part of a multi-year partnership to strengthen the capacity of religious communities, particularly interreligious mechanisms, to protect children affected by conflict, UNICEF and Religions for Peace published the guide entitled “From commitment to action: what religious communities can do to eliminate violence against children”, in keeping with the recommendations contained in the report of the independent expert for the United Nations study on violence against children (A/61/299).",
"68. Experience supports the continued focus on strengthening child protection systems and addressing social norms in all contexts, including in conflicts and natural disasters. Awareness and knowledge exchange among partners need to be further strengthened on strategic approaches to addressing the needs of the most vulnerable children. While progress has been made in monitoring and evaluation, and data on child protection have expanded, challenges still remain. Current household surveys do not capture the situation of children living outside of households, including children in institutions, in detention centres, in the worst forms of child labour, or living on the street. More comprehensive knowledge on the most vulnerable and marginalized, including children without family care, is vital for ensuring that interventions have a positive impact and are in children’s best interests.",
"D. Combating HIV/AIDS",
"69. In 2009, an estimated 33.3 million people were living with HIV, an increase of 27 per cent from 1999. It is estimated that 5 million young people (aged 15-24) were living with HIV in 2009, accounting for 41 per cent of new HIV infections in people aged 15 and older in the same year. Sub-Saharan Africa remains the most severely affected region, accounting for 68 per cent of all people living with HIV and 72 per cent of AIDS deaths. An estimated 890,000 young people aged 15-24 were newly infected with HIV in 2009 — nearly 2,500 every day — with 75 per cent of the new infections occurring in sub-Saharan Africa. The epidemic particularly affects women and girls. Globally, 60 per cent of young people living with HIV are young women; in sub-Saharan Africa, that figure jumps to 72 per cent. Adolescent girls and young women in sub-Saharan Africa are several times more likely to be living with HIV than males of the same age. With the number of people receiving antiretroviral treatment increasing 13-fold from 2004 to 2009, the number of AIDS-related deaths declined by 19 per cent during the same period. Still, the epidemic continues to exact severe consequences. From 2005 to 2009, the number of children orphaned by AIDS increased from 14.6 million to 16.6 million.",
"70. Routine, voluntary HIV testing and counselling of all pregnant women is the key entry point for services in the prevention of mother-to-child transmission of HIV. The proportion of pregnant women tested for HIV in low- and middle-income countries increased from 7 per cent in 2005 to 26 per cent in 2009. By the end of 2009, 27 out of all low- and middle-income countries had already reached the target set by the General Assembly at its twenty-seventh special session (see resolution S‑27/2), that 80 per cent of all pregnant women should have access to HIV testing and counselling by 2010. In low- and middle-income countries in 2009, 53 per cent of pregnant women living with HIV received antiretroviral treatment to prevent mother-to-child transmission of HIV, compared with 45 per cent in 2008. In sub‑Saharan Africa, that proportion increased from 45 per cent in 2008 to 53 per cent in 2009. About one third of infants born to mothers who are HIV positive receive such treatment for the prevention of mother-to-child transmission; coverage has increased only slightly in low- and middle-income countries, from 32 per cent in 2008 to 35 per cent in 2009. Reaching the goal of eliminating mother-to-child transmission of HIV requires a more substantial effort towards universal testing and at least 95 per cent coverage for antiretroviral treatment.",
"71. Globally, treatment coverage is notably lower for children (28 per cent) than for adults (37 per cent). In accordance with new guidelines, in 2010, many more children with HIV, including all those under age 2, became eligible to initiate antiretroviral treatment. However, new data reveal that this potential remains largely unrealized. In 2009, there were 2.5 million children under age 15 living with HIV. Although the number of children in low- and middle-income countries receiving antiretroviral treatment increased from an estimated 275,300 in 2008 to 356,400 in 2009, that figure is still only 28 per cent of the 1.27 million children currently estimated to be in need under the new guidelines. However, the true gap between adults and children is far greater, as about 50 per cent of children infected with HIV who receive no treatment die before their second birthday. An array of cost-effective antiretroviral formulations for children is now available, and improved technology permits rapid HIV diagnosis.",
"72. In 2001, 5.7 million young people aged 15-24 were estimated to be living with HIV. At the end of 2009, that number had dropped to 5.0 million. Further, an estimated 890,000 new infections occurred among young people aged 15-24 in 2009. The significant decline in HIV prevalence among young people is linked to clear trends towards safer behaviours and practices, including delayed age of first sex, reduction in the number of partners, and increased condom use. In 2010, the United Nations Joint Programme on HIV/AIDS reported a decline in prevalence among young people of more than 25 per cent in 22 key countries in sub-Saharan Africa between 2001 and 2008. In most parts of the world, new HIV infections are steadily falling or stabilizing. An estimated 80 per cent of all infections in young people globally are in 20 countries spanning several regions of the world and representing a diversity of epidemic settings. Young women still shoulder the greater burden of infection, and in many countries women face their greatest risk of infection before age 25. Data on comprehensive knowledge of HIV among young people still show levels well below the target of 95 per cent by 2010, set by the General Assembly at its twenty-seventh special session and highlight variations between regions and countries. Since 2000, condom use increased by 10 or more percentage points among young men in 11 of 17 countries with trend data and among young women in 11 of 22 countries with trend data. To reduce HIV infections in young people, greater efforts are needed to increase the comprehensive knowledge of HIV among young people in and out of school, the numbers of young people reporting condom use during sexual intercourse and the HIV testing and counselling services available to young people.",
"73. Most countries in sub-Saharan Africa have made significant progress towards parity in school attendance for orphans and non-orphans aged 10-14. In 27 out of 31 countries in sub-Saharan Africa that have reported data for at least two points in time, school attendance among children who have lost one or both parents has increased. Despite those impressive gains, concerns remain about the low coverage of external care and support for households caring for orphans and vulnerable children. In 25 countries where household surveys were conducted between 2005 and 2009, a median of 11 per cent of households were receiving external support. Despite the large number of children in need, the responses for orphans and vulnerable children remain small and fragmented, and fail to connect to broader prevention and treatment efforts for children affected by AIDS. Until now, orphans have been considered a convenient proxy for children affected by AIDS, yet orphanhood is not necessarily a marker of the most vulnerable children, including those living outside of households. There is growing interest in developing more multidimensional indicators of vulnerability that describe not only the extent to which children are affected by AIDS, but also broader poverty-related vulnerability.",
"74. Children who have lost parents to AIDS will need continued attention long after rates of new infection subside. Care and support for orphans and children made vulnerable by HIV should be seen as part of a cycle of intervention giving paramount priority to linkages between care and support and primary prevention and access to treatment for young people living with HIV. Investment in social protection measures and child protection for orphans and children made vulnerable by HIV is crucial for ensuring more equitable outcomes. Not only can such programmes reduce the economic vulnerability of children who have lost parents or who are living with sick relatives, but they can also be protective and reduce vulnerability to HIV infection, as demonstrated by evidence related to keeping adolescent girls in school. Well-designed cash transfers offer incentives for adherence to treatment and for the elimination of mother-to-child transmission of HIV. That is one of many AIDS-specific interventions with broad potential for improving the health and welfare of families caring for children, whatever the cause of the vulnerability.",
"IV. Ways forward",
"75. Although considerable progress has been seen in several key child-related indicators during the nearly 10 years since the convening of the special session of the General Assembly on children, disparities within many countries and among regions are in many cases worsening or staying at the same levels. An equity-focused approach, with efforts concentrating on the most vulnerable and disadvantaged children and families, is potentially the most cost-effective and quickest way to achieve the Millennium Development Goals. The approach will also help to sustain progress and to assure the children of poor and disadvantaged communities of a future that is consistent with global commitments made to all children in the Declaration and Plan of Action that emerged from the special session. The commitments were reaffirmed at the commemorative high-level plenary meeting of the General Assembly devoted to the follow-up to the outcome of the special session on children, held in December 2007. Equity-focused strategies will improve the provision and use of social services and reduce barriers that result from factors such as geographical location, income poverty, lack of information and social discrimination.",
"76. The 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals and resolution 65/1, entitled “Keeping the promise: united to achieve the Millennium Development Goals”, provided new impetus to meet the aspirations of children and families worldwide. Further initiatives at the country, regional and global levels, including through an appropriate commemorative high-level plenary meeting of the General Assembly in 2012, may be considered by Member States as a mechanism with which to review progress, especially for children who are most disadvantaged, and to further galvanize action to make the world fit for children by 2015.",
"[1] Annual reviews of progress have been submitted to the General Assembly, beginning with the fifty-eighth session (A/58/333, A/59/274, A/60/207, A/61/270, A/62/259, A/63/308, A/64/285 and A/65/226).",
"[2] See United Nations, Treaty Series, vol. 2171, No. 27531. The Optional Protocols were adopted by the General Assembly in its resolution 54/263, annex I (on the involvement of children in armed conflict) and annex II (on the sale of children, child prostitution and child pornography)."
] | A_66_258 | [
"Sixty-sixth session",
"Item 65 (b) of the provisional agenda",
"Promotion and protection of the rights of children: follow-up to the outcome of the special session on children",
"Follow-up to the special session of the General Assembly on children",
"Report of the Secretary-General",
"Summary",
"In accordance with General Assembly resolutions 58/157 and 58/282, Member States requested the Secretary-General to continue to report to the Assembly on progress made in the implementation of the commitments made at the special session on children, as contained in the outcome document of the special session entitled “A world fit for children” (S-27/2). The present report outlines progress made and challenges in this regard, as well as the actions required for further progress, in particular the need to help the most vulnerable and disadvantaged children in all circumstances.",
"The present report points out that efforts to achieve the United Nations Millennium Declaration and the Millennium Development Goals by 2015 and beyond will be severely affected if commitments are not met.",
"∗ A/63/250.",
"Contents",
"Introduction 3",
"Introduction",
"Over the past 10 years, the United Nations Millennium Declaration and the Millennium Development Goals have resulted in unprecedented commitments and partnerships aimed at achieving progress on children's rights. These commitments and partnerships were reaffirmed at successive summits and conferences. In 2007, a high-level commemorative plenary meeting on the establishment of a “A world fit for children” (S-27/2) was held to review the implementation outcomes and progress of the Declaration and the Plan of Action. In General Assembly resolution 63/2 entitled “Towards the Millennium Development Goals in solidarity”, Member States further committed themselves to accelerating progress towards the Millennium Development Goals.",
"The present report, along with previous reports, assesses progress made towards achieving the goals contained in the World Fit for Children. Many of these goals are consistent with the United Nations Millennium Declaration and the key goals envisaged for children.",
"As compared to the adoption of the Millennium Declaration in 2000, the number of children killed by 5 years of age for preventable causes decreased by 210 million per year; the number of children of primary school age dropped by 39 million between 1999 and 2008. However, the deaths of children under 5 years of age amounted to 8.1 million per year, with more than 350,000 deaths; almost 67 million children still lost their school; and the stunting of 115 million children under 5 years of age in developing countries has impeded the achievement of the Millennium Development Goals. Millions of children continue to suffer from a strong impact of the conflict, such as loss of parents or, if so, forced displacement. It is estimated that more than 1,000 infants are still living with HIV every day, with nearly 5 million young people aged 15-24 years infected with HIV. More than 2 billion children under 5 years of age have no birth certificate.",
"The global economic downturn from 2008 to 2009 and the volatility of food and energy commodity prices confirmed the interdependence of States in the global economy and the need to strengthen the use of development policies to guarantee the status of children, in particular those of the poorest households, at the national and global levels. Vulnerability, financial instability and increased liabilities have confirmed the obstacles that have impeded the achievement of the Millennium Development Goals in many developing countries and often result in widening disparities between societies and within societies.",
"The decline in social investment, coupled with long-standing challenges, such as the social exclusion of indigenous peoples and disadvantaged minorities, children with disabilities and girls, the impact of migration, rapid urban expansion and climate instability, has made the implementation of the “A world fit for children” more difficult.",
"Follow-up to the special session of the General Assembly on children",
"Planning for children",
"Major thematic studies or analyses on children and women's rights were carried out in at least 81 countries in 2010. Six States have also joined the Global Initiative on Child Poverty and gaps, led by the United Nations Children's Fund (UNICEF), which has increased to 52 participating countries. More attention was given to identifying the most vulnerable and vulnerable children and women in the context of the situation analysis to promote equity and better support for their strategies. The results will be used for development policy and the protection and promotion of children's rights.",
"In 2011, UNICEF published a report entitled “The state of the world's children: the spring of young people — an opportunity-flights”. The report highlights the importance of investment for adolescents to break the cycle of poverty and inequality. Climate change, urbanization, economic downturn and rising employment rates pose unprecedented challenges for the world today and, in the face of such an increasingly uncertain world, the report stresses the need for full support for adolescents and their full potential.",
"Support for the protection of the most vulnerable groups in accordance with national circumstances is considered urgent priorities. The continued focus on increasing employment growth, the maintenance of basic services and the strengthening of social protection measures is essential to consolidating and expanding economic recovery and the well-being of all people.",
"Promoting the implementation of the Convention on the Rights of the Child",
"In May 2010, the Secretary-General, the Special Representative of the Secretary-General for Violence against Children, the Special Representative of the Secretary-General for Children and Armed Conflict, UNICEF, the Office of the United Nations High Commissioner for Human Rights and partners launched a global campaign to promote universal ratification and implementation of the Optional Protocol to the Convention on the Rights of the Child by 2012. The aim of the campaign is to raise awareness of the importance of mechanisms to prevent violence, including compliance with international standards and the effective implementation of these standards. Since the launch of the campaign, eight additional States have ratified or acceded to the Optional Protocol on the sale of children, child prostitution and child pornography, and one State has signed the Protocol to increase the number of States parties to 145 and to 118 signatories. In 2010, another seven States ratified the Optional Protocol to the Convention on the involvement of children in armed conflict. [2]",
"In 2010, with the support of UNICEF and the International Labour Organization (ILO), the first attempt was made to use the training manual on trafficking in children for labour exploitation, sexual exploitation and other forms of exploitation to train regional trainers.",
"In support of the Human Rights Council's general discussion and resolution on sexual violence against children (13/20), international attention to sexual violence was increased. As a follow-up to this thematic debate, the Special Representative of the Secretary-General on violence against children and the Special Rapporteur on the sale of children, child prostitution and child pornography jointly prepared a report (A/HRC/16/56) to the Human Rights Council, which called for the establishment of accessibility, security and sensitivity to children in each country to report violence. The Committee on the Rights of the Child and the Committee on the Elimination of Discrimination against Women have shared technical knowledge on social norms and dealing with harmful traditional practices in order to help ensure that these knowledge is reflected in future general joint comments on harmful practices.",
"Partnerships continue to be strengthened. In 2010, the scope of the “Partnership for Girls” initiative was expanded, with a focus on data collection and coordinated programme responses and advocacy activities aimed at preventing violence against children, in particular sexual violence. The “Partnership for Girls” initiative was launched in 2009 in innovative multi-country partnerships aimed at curbing sexual violence against girls in Africa and East Asia. These efforts encourage action at the local level, while at the same time stimulating the interest of global partners and promoting their support. A manual on the work of companies for child rights and impact assessment for children has been finalized and consultations with stakeholders. The United Nations Girls Task Force advocates and promotes the development of comprehensive policies and programmes for adolescent girls, especially the most marginalized girls. In addition, UNICEF continued to establish further relationships with four children's conventions on the Hague Conference on Private International Law. The Hague Conference on Global Child Labour has been technical and has provided follow-up and support to States to implement the recommendations contained in the road map to eliminate the worst forms of child labour by 2016.",
"In the case of children living in the poorest countries and most disadvantaged groups, the expansion of the coverage of basic services is essential to the realization of their rights. “Expand size” involves a range of complex actions, including the expansion of the implementation of various test-based interventions and the removal of behaviour, institutional and environmental barriers to service delivery. This also requires a full understanding of the bottlenecks and obstacles faced by families in providing basic services for children. Measures are required to be more coherent and coherent.",
"C. Collaboration and resource mobilization for children",
"In 2010, increased cooperation with donors has strengthened the coordination of resource mobilization for children in emergencies. New donors have provided humanitarian funding to enhance humanitarian response capacity. Funding agreements such as multi-year and multi-country specific cycle thematic agreements incorporate new mechanisms, thus providing greater flexibility and greater predictability in programme funding.",
"In accordance with the United Nations Millennium Development Goals Gap Task Force's 2010 report, the assistance of the members of the Development Assistance Committee for 2009 was close to $120 million, an increase of less than 1 per cent in real terms. However, ODA share of the gross national income of donor countries was only 0.31 per cent, far less than 0.7 per cent. Only five donors met and surpassed that goal. In many developing countries, remittances have become an increasing source of income, with an estimated amount of $36.6 million in 2008. In the current crisis, remittances have confirmed more resilience than private capital flows. In 2010, partnerships involving foundations, non-governmental organizations and global programmes were further expanded to provide opportunities for mobilizing additional funding for children worldwide. Major donors include Rotary, Bill and Melinda Gates Foundation and the Global Fund to Fight AIDS, Tuberculosis and Malaria.",
"With financial downturns, global discussions increasingly focus on key investment sectors such as infrastructure and agriculture. Although the overall level appears to have not declined, most countries invest in children are still far from sufficient resources. The result may have a negative impact on future financing of basic social services, which is essential for the well-being of children.",
"Monitoring progress",
"The global database on children and women was updated in 2010. Data from national household surveys and other sources have been analysed and disaggregated by sex, wealth and location in order to better understand inequalities. The United Nations has made considerable efforts to harmonize data among partners, including a common understanding of new methodologies, indicators standardization, monitoring tools, national statistical capacity-building and the development of joint assessments.",
"In the first three rounds (1995, 2000, 2005-2006), global aggregates conducted nearly 200 sets of indicators. The fourth round was held from 2009 to 2011, covering a wider range of indicators. The findings began in 2010.",
"The United Nations Development Group Common Database software — the development of information data systems — a tool for organizing, demonstrating and analysing standardized human development data, has been adopted worldwide. As of 2010, there were more than 120 adaptation versions of the development information data system. More than 1,000 experts from many programme countries have been trained to support national efforts to establish national human development data storage banks, including a wide range of indicators related to children.",
"In 2010, a study by UNICEF entitled “Lar near gaps and objectives”, provided compelling evidence of a strategy based on equity, which, compared with traditional means, could make the global community more rapid and more cost-effective in achieving the Millennium Development Goals target 4 and 5. According to the study, this strategy has the potential to help avoid the deaths of millions of women and children by 2015.",
"E. Participation and self-statement of children",
"Children are increasingly involved in the implementation of children's rights and the achievement of the Millennium Development Goals. A number of States have established the Standing Committee on the Rights of Children of Parliamentarians, which regularly engage children. Many countries reported on child media activities and the use of information technology to enhance the participation of children. Surveys and popular perceptions of young people have been increasing in order to better understand the views and views of young people in their societies. Special efforts are being made to strengthen the participation of children often marginalized (e.g. girls, children with disabilities and indigenous children).",
"During the International Year of Youth, a growing number of young people are involved in addressing many issues affecting national governance. Many national capacity-building tools that help to strengthen the participation of children have been developed, such as the handbook on general comment No. 12 on the Convention on the Rights of the Child developed by UNICEF and Save the Children for Government officials. UNICEF and the Inter-Parliamentary Union have also completed the parliamentarians manual on the participation of children with the aim of promoting the interests and views of children in the Parliament process.",
"The number of children involved in important global forums affecting the lives and well-being of children and adolescents continues to grow, including through participation in the Global Migration Group, the United Nations Permanent Forum on Indigenous Issues and the preparation of the Secretary-General's report on girls and youth. UNICEF and the Youth Alliance community organizations, with the support of the Food and Agriculture Organization of the United Nations, have developed “Climate change: immediate action!” Guidance to support action by children and young people on the ground, with special emphasis on girls and adolescents.",
"Progress in the four main areas",
"Promoting healthy lives",
"Since 1990, the under-five mortality rate in developing countries has dropped from 99 per 1,000 live births to 66 deaths per thousand live births in 2009. In 1990, about 1,240 million live births were killed before 5 years of age, but in 2009 this figure dropped to 8.1 million, with the lowest number recorded. This represents an increase of 2.1 per cent in the year, but this proportion must now be upgraded to at least 11.6 per cent per year, in order to achieve the goal of reducing infant mortality by two thirds by 2015. In developing countries, the under-five mortality rate of 20 per cent of the poorest households is an average of 2 times the richest 20 per cent. Similarly, under-five mortality rates in rural areas may be much higher than in urban areas.",
"Nearly 1.5 million children under 5 years of age die each year from pneumonia, accounting for almost one fifth of the global child deaths. diarrhoea remains the second cause of the death of children under 5 years of age, with the third reason being measles. In 2009, 82 per cent of the world's children under the age of eighteen years had vaccinations. Similarly, it is estimated that the global coverage of Hphthephtheria, Vishes, tetanus III vaccines increased from 74 per cent in 2000 to 82 per cent in 2009. Between 2000 and 2008, improved immunization coverage combined with the grant of second-dose vaccination opportunities resulted in a decrease of 78 per cent of global deaths due to measles. However, progress in reducing neonatal mortality remains slow.",
"Because of the increase in funding for malaria control and increased policy attention, only between 2008 and 2010, the release of 280 million insecticide-treated nets in sub-Saharan Africa was sufficient to meet almost 80 per cent of reported needs.",
"Since the launch of the Global polio Eradication Initiative in 1988, 25 million children have been immunized, but poliomyelitis has not been eradicated and continues to spread among the four pandemic countries (Afghanistan, India, Nigeria and Pakistan). Conflicts and related security concerns and inadequate service coverage and natural disasters limit progress in parts of Afghanistan and Pakistan.",
"A third of the world's under-five mortality rate is related to malnutrition. Although the proportion of underweight children in developing countries decreased from 31 per cent in 1990 to 26 per cent in 2008, many countries still have insufficient progress or no progress. Between 1995 and 2009, the situation of the most poor families in South Asia was not effectively improved, while the prevalence of underweight children in 20 per cent of the richest households declined by almost one third. In developing countries, 40 per cent of the poorest five households are underweight, compared to 15 per cent in one of the richest five households. In developing countries, the possibility of underweight children in rural areas is twice as high as in urban areas, while the possibility of slow development is 50 per cent higher than in urban areas. As of early 2011, only 58 of the 118 countries with data records were planning to meet the target of halving the number of underweight children.",
"The coverage of vitamin A supplemental agents for children in the least developed countries remained high, and in 2009, 87 per cent of children received two supplements, 81 per cent in sub-Saharan Africa and 76 per cent in Asia. The coverage of least developed countries increased by more than double, from 41 per cent in 2000 to 8 per cent in 2008.",
"Efforts to eliminate iodine deficiency disorders have also continued. In 2002, the General Assembly's Special Session on Children endorsed the goal of universal salt iodization, when at least 90 per cent of households in 21 countries used appropriate iodized salts and 37 of the target countries. According to recent data, about 72 per cent of households in developing countries are duly iodized salts, about 73 per cent in Asian households and 61 per cent in sub-Saharan Africa.",
"There has been limited progress in infant feeding. In developing countries, the rate of breastfeeding grew slightly, from 33 per cent in 1995 to 38 per cent in 2008. However, in 19 countries over the past five to 10 years, the entire breastfeeding rate has increased significantly by at least 20 per cent through a combination of sound policies, law enforcement and community support.",
"In 2010, the Secretary-General's High-level Task Force on the Global Food Security Crisis placed particular emphasis on the importance of improving nutrition and on facilitating dialogue and maintaining global strategic partnerships and initiatives. Developing countries have made considerable efforts to improve the nutritional status of children and women, including through the development of road maps to implement the recommendations made in the enhanced nutrition framework developed by more than 100 agencies.",
"It is estimated that the global maternal mortality rate dropped by only 2.3 per cent per year between 1990 and 2008, but, in order to achieve the 2015 target, the annual mortality rate has to fall by 5.5 per cent from 1990 to 2008. The 2008 maternal mortality rate was estimated at 35.8 million, although 34 per cent had dropped compared to 1990, the target was 75 per cent. Between 1990 and 2008, 147 countries achieved a drop in maternal mortality, with 90 countries having dropped by 40 per cent or more. Despite this progress, developing countries still account for 99 per cent of the total maternal mortality rate, of which 77 per cent were in sub-Saharan Africa and South Asia. pregnancy and childbirth complications are one of the leading causes of the deaths of young girls aged 15 to 19 years worldwide.",
"The rich population and the poor also have significant disparities in maternal health. In developed countries, almost all delivery processes have skilled health personnel, while in least developed countries the number of women in urban areas is only 41 per cent. The proportion of one of the most rich households and one of the poorest five households is 3:1. In developing countries, the difference in women's access to care during pregnancy is also significant, and the possibility for women in urban areas to receive at least one antenatal care before delivery is 1.3 times the number of women in rural areas. Whether women have the ability to determine the time and quantity of their children has a significant impact on maternal morbidity and mortality. In 2008, more than half of the 15 to 49 years of age had been married or used some form of contraceptive measures for women living in the country. However, from 2000 to 2008, contraceptive measures were slow. The prevalence of contraceptives among women in sub-Saharan Africa is minimal (22 per cent) and has not been achieved since 2000. The number of women aged 15 to 49 years who have not been met in the world's family planning needs is more than 1.2 billion.",
"Today, 87 per cent of the world's population, with 59 million people using drinking water from improved water sources, an increase of 1.8 billion over 1990. However, 084 million people remain unable to access drinking water from improved water sources, almost all of them live in developing regions. Sub-Saharan Africa accounts for more than one third of the figure and has made progress in achieving Goal 7. The difference between regions, countries and urban and rural areas remains immense. In sub-Saharan Africa, the possibility for urban residents to use improved drinking water sources is 1.8 times the rural population. 94 per cent of the urban population in developing regions use improved water sources, but the rural population is only 76 per cent. In urban areas, however, the expansion of coverage keeps pace with population growth. Since 1990, the world's urban population has grown by 1.9 billion, and the population that cannot use improved drinking water sources has increased from $102 million to 1.4 billion.",
"More than 26 million people still lack access to water pumps or other forms of improved sanitation, although the number of people receiving improved sanitation was about 13 million between 1990 and 2008, the world still left behind the target of 13 percentage points. Unless significant efforts are made, the goal of reducing the proportion of population without access to basic sanitation will not be met.",
"In 2010, “Health and Water for All” was launched to help expand water, sanitation and hygiene programmes, a global partnership for universal and sustainable access to sanitation and drinking water in developing countries, donor countries, multilateral agencies, civil society and other entities. The current focus is on accelerating the process of achieving the goals of countries that are heavily detract from the regular and most deprived communities. In 2010, 49 countries received health support, with the goal of eliminating the phenomenon of tandem and size through a participatory community approach from demand. In addition, intensive advocacy programmes have been developed to change State behaviour, and countries advocating so-called so-called hand-washing increased from 53 in 2008 to 87 in 2010.",
"The 2010 World Conference on Early Childhood Care and Education called for greater commitment in this area and emphasized equity and inclusion; the Conference also called for the expansion of high-quality care for young children by strengthening the capacity of parents, families and service providers. UNICEF and the World Health Organization have jointly developed a revised child development care training plan, which was launched at the International Child Care Association Congress in Johannesburg, South Africa in 2010.",
"In order to accelerate progress in the health of women and children, the Secretary-General has led to a global effort to convene all major stakeholders from the Government, civil society and the corporate sector to develop plans to promote the achievement of the Millennium Development Goals targets, paragraphs 4 and 5. The resulting global strategy on women and children's health outlines key areas in which urgent action is needed to increase funding, strengthen policies and improve service delivery. The strategy calls for coordinated action by the parties concerned to maximize the impact of targeted interventions targeting the poorest.",
"In 2010, nearly 300 humanitarian situations occurred in about 100 countries, affecting millions of children. The earthquake in Haiti and the cyclone flood in Pakistan pose a serious threat to communities and children, affecting more than 3 million Haitian residents and nearly 2,000 Pakistani residents. In addition, Chile, China and Indonesia have also experienced earthquakes, with droughts and deteriorating malnutrition in the Niger and Sahel region; the protracted crisis in Afghanistan, the Democratic Republic of the Congo, Somalia and the Sudan and new conflicts in other parts of the world.",
"Providing quality education",
"In order to achieve Goal 2, there has been considerable progress in increasing enrolment, reducing gender gaps and increasing opportunities for vulnerable children. In 2008, however, about 67 million children of primary school age remained in school, although the number of children in school had decreased by 39 million since 1999. According to projections based on the increase in school enrolment rates in recent schools, at least 72 million children of primary school age in 2015 are likely to lose school. In addition, 7,440 million children of primary age remain in school.",
"Although enrolment in primary education continues to rise, at 89 per cent in the developing world, the net enrolment rate in some countries has not increased from 1999 to 2008. The enrolment rate in at least 20 countries was even declining. Of the world's unschooled primary school-age children, 42 per cent, or 2,800 million such children live in conflict-affected countries. Even middle-income countries often have a large number of marginalized groups who cannot attend primary schools. According to the data analysis of 42 developing countries, the number of girls in the poorest 20 per cent of households is 3.5 times higher than in the most vulnerable households, and 4 times higher than in the most rich households. The Global Initiative on Missing Children was launched in early 2010 with the goal of introducing a more systematic approach to addressing the challenge of reaching out to school children. Many countries are promoting measures such as the elimination of tuition fees, fair social protection instruments and school feeding programmes aimed at eliminating the barriers posed by costs to enrolment and continuing school attendance. In 2010, 44 per cent of 146 reporting States had adopted policies and had specific mechanisms and appropriate budgets to eliminate the barriers posed by costs and other factors to universal primary education.",
"In 2010, more reporting States developed national policies for school implementation. Of the 146 reporting countries, 65 countries had developed the policy, compared with 50 in 2008. In 2010, 44 countries promoted policy development in basic education, including through partnerships with the United Nations Girls' Education Initiative, and more large-scale gender-sensitive interventions. A major outcome at the global level was the adoption of the Dakar Declaration on Acceleration of Girls' Education and Gender Equality.",
"In 2010, through counselling sessions for girls, the establishment of grants and scholarships schemes, teacher training for gender equality and the provision of classroom materials, were aimed at removing barriers for girls to continue attending school and to secondary school. Learning and teaching materials based on active learning, equity and the integration of new curricula are distributed in poor communities. The multi-country Government has taken quick-learning initiatives for vulnerable children to school and continue to attend school. 47 countries have incorporated environmental and climate change education in primary education curricula, 51 in secondary education curricula.",
"In 2002, the National Education for All initiative was launched to help low-income countries achieve free basic education and to ensure that they accelerate the achievement of Goal 2. The initiative successfully mobilized funds for national education sector plans and plans, including in several vulnerable countries.",
"However, recent evidence suggests that the quality of education is lagging behind the increase in school enrolment rates. In order to address this problem, 79 countries had adopted quality standards based on school-friendly or similar models, compared with 43 countries in 2005. The establishment of a learning environment for the protection of children, in particular girls, is now an essential component of quality education. Various programmes to create safe space to prevent violence and sexual abuse of children, as well as psychological social services and community interventions, have been in-depth in a number of countries. Efforts continue to be made to prohibit all forms of violence in the school system. As of 2010, 79 States had adopted national policies against corporal punishment; 50 countries had developed national education sector plans to address HIV and AIDS issues; 88 countries had undertaken activities on the theme of drinking water, sanitation and hygiene, with over 420 million children in 20,000 schools benefiting from them. In April 2010, the multi-partner action appeal for such activities was launched to strengthen the focus on the issue.",
"The International Task Force on “Education for All” highlighted action on key issues related to teachers and the achievement of the goal of education for all and the Millennium Development Goals relating to primary education, coordinated by the United Nations Educational, Scientific and Cultural Organization, with 64 countries and 24 international governmental and non-governmental organizations involved.",
"In a review of the implementation of education programmes, the following constraints were highlighted: limited capacity of partners and Governments in the sector; poor coordination among government departments, national levels and subnational levels; political instability; insufficient funding flexibility; and weak monitoring and evaluation systems. In order to accelerate the achievement of Goal 2, strategic attention must be given to promoting fair and inclusive outcomes in the education sector plan, not only to schoolchildren, but also to children at risk of dropping out of school and school, and to strengthening national monitoring and evaluation systems.",
"Education is a key component of humanitarian response in 2010. In Haiti, UNICEF and its partners have led education emergency response to cover approximately 583 schools, namely over 1 million children and 50,000 teachers. In Pakistan, over 40 million children and more than 500 schools were supported in 2010. Re-entry campaigns are also a feature of Iraq, Yemen and other countries affected by natural disasters or conflicts. In 2010, 35 national-level education teams were established, thereby strengthening the Inter-Agency Standing Committee Global Education Team mechanism. While humanitarian response contributes to faster recovery, greater challenges lie in strengthening emergency response and promoting longer-term reconstruction and reform of the education system.",
"C. Prevention of abuse, exploitation and violence",
"Children are vulnerable to various forms of violence, abuse and exploitation in a range of settings such as schools, welfare and the judiciary, the family, the workplace and the community, irrespective of the kind of development and emergency context. Strong data on child protection, including the situation of children and the characteristics of children most likely to be victims are increasing.",
"Nearly half of the children under 5 years of age have not been registered in developing countries and thus have no protection or access to basic services such as health, social welfare and education. Children with the most vulnerable families have the possibility of birth registration twice as high as those in the poorest households. The wealthy class is also associated with child marriage: in many developing countries, girls in the poorest households have three times higher possibilities for marriage before the age of 18.",
"While poverty is an indicator of the vulnerability of certain child protection measures to violations, it also causes many other factors related to discrimination and deep-rooted social norms, attitudes and behaviour. Certain forms of violence span all levels of wealth and geographical regions. In all regions, many children, regardless of their economic status, suffer psychological violence and corporal punishment. The rate of female genital mutilation varies according to ethnicity rather than by social population variables. More than 7,000 girls and women in 29 countries in Africa and 1 in the Middle East were subjected to abuses by this practice (15-49 years).",
"While it is difficult to collect precise data on some protection issues, the current estimates are alarming: the number of children who suffer violence every year is between 500 and 15 billion, often those who should be trusted by children. According to ILO estimates, about 221.5 million children under 18 years of age worldwide have become child labour, with boys more likely to engage in economic activities, while a large proportion of girls are engaged in domestic work. At least 2 million children were considered to be placed in institutions and at least 25 children were recruited by armed groups or forces.",
"The strengthening of child protection systems remains a major focus and summarizes significant lessons learned through the development of plans and assessments to ensure a comprehensive response to child protection issues. Progress has also been made in addressing the social norms that constitute the root causes of violence, exploitation and abuse, including through the declaration of abandonment of female genital mutilation. While the use of the social change approach to dealing with more forms of violence remains a challenge, the knowledge base in this regard was strengthened in 2010 and information was provided on the practical application of some countries. Approximately 131 programme countries are committed to strengthening social welfare and justice systems, and at least 15 countries have undertaken integrated actions to build child protection systems. The momentum of law reform worldwide to prevent violence against children has increased. At present, 29 States have enacted comprehensive legal prohibitions prohibiting all forms of violence, including corporal punishment of families, in any environment. Significant legislative reforms are under way in all regions to achieve a comprehensive prohibition, and many States have adopted new legislation to prohibit specific forms of violence such as trafficking, sexual abuse and sexual exploitation, domestic violence and female genital mutilation.",
"In 2010, UNICEF, the United Nations High Commissioner for Refugees, the University of Save the Children and Chicago signed a paper entitled “Strategic approaches for adaptation to child protection: important concepts and considerations”, which sets out the common point of departure for child protection systems. The document elaborates on the functioning of the child protection system and provides the basis for the development of planning and assessment tools, some of which were piloted and launched in sub-Saharan Africa and other regions in early 2010.",
"Planning and assessment activities are essential for strengthening the system. The event supports the use of all available resources to facilitate linkages among the various components of the system and to identify ways in which vulnerable people can use the system and benefit from it. The planning process has reached political consensus on the objectives and actions required for child protection systems through the integration of relevant actors into formal or less formal structures.",
"There is growing tendency to harmonize national policies with international standards for alternative care, including those recommended in the Guidelines on Alternative Child Care. In 2010, 58 countries adopted national policies consistent with international standards, compared with 36 in 2005. In concluding observations, States reporting to the Committee on the Rights of the Child should take into account the Guidelines when carrying out child protection services. A framework for measuring and monitoring armed violence has been developed worldwide, including specific indicators on children. In response to the global challenge of monitoring and evaluation in the sector, an Inter-Agency Child Protection Monitoring and Evaluation Reference Group was established to improve data collection methods and enhance coordination.",
"In countries with low birth registration rates, research and planning activities provide the basis for the development of national action plans and policies. Enhancing human resources capacity and improving the provision of protection-related services in collaboration with the health services sector is another core component of child protection systems, which is a focus on the work of many countries in 2010. In order to strengthen the institutional capacity to provide protection services to children, birth registration is carried out using innovative approaches such as short information services.",
"In 2010, UNICEF and other partners worked with legislators and decision makers in at least 99 countries to improve legal and policy frameworks related to child protection. Greater efforts have also been made to influence national agendas that circumvent judicial processes and adopt alternative detention measures, which are essential to ensuring the protection of children's rights under the Convention on the Rights of the Child. In addition, in 2010, approximately 24 programme countries used the proper survey and court procedures for child and gender awareness, compared with 17 in 2008.",
"In 2010, the United Nations Population Fund-UNICEF intensified efforts in 15 countries through joint programmes to further implement social normative awareness and support the accelerated abandonment of female genital mutilation. The notable results include a wider public rejection of this practice by the entire community, which is growing at the subnational and regional levels. Cooperation on reducing violence against girls is being strengthened globally and nationally under the “Partnership for Girls Initiative”. India is expected to develop a national strategy against child marriage in 2011, based on national-level action plans and the results of the study on social normative growth completed in 2010.",
"The Day of General Discussion and the March 2010 Human Rights Council resolution on combating sexual violence against children (see para. 11 above) and the joint report of the Special Representative of the Secretary-General on violence against children and the Special Rapporteur on the sale of children, child prostitution and child pornography provide important guiding principles and recommendations for States' efforts to combat sexual violence and sexual exploitation of children.",
"After the 2010 Hague Conference on Global Child Labour, the road map for the elimination of the worst forms of child labour will be used to track progress until 2016. In addition, at the ninth International Labour Conference, ILO member States agreed to develop a convention and recommendations on domestic work.",
"The use of inter-agency guidelines and tools for responding to conflicts and post-adjustment to deal with large-scale natural disasters was found to be inadequate, and efforts to fill gaps in 2010 included the development of inter-agency standards for a child-friendly space, child protection response teams with standby partners in emergencies and the provision of inter-agency emergency preparedness training. On the basis of capacity-building in 2009, support countries are supporting the elimination of gender-based violence. This will be a central area for the United Nations Agency for Gender Equality and Empowerment of Women (ADB) and other partners.",
"In accordance with the responsibilities set out in Security Council resolution 1612 (2005), support the implementation of monitoring and reporting mechanisms on grave violations of children in 13 countries of armed conflict. A monitoring and reporting mechanism is being developed pursuant to Security Council resolution 1888 (2009), which will include a set of indicators to measure the United Nations response to sexual violence and to provide guidance on how to establish a monitoring and reporting system at the national, regional and global levels. There is also a need to increase efforts to collect and analyse data on the protection and other challenges faced by the most marginalized children and groups.",
"In 2010, support was provided to 15 conflict-affected countries to facilitate the reintegration of 28,000 children affected by armed conflict and 11,400 children associated with armed forces and armed groups. Another 11 States signed the Paris Commitment for the Protection of Children illegally recruited or used by armed forces or armed groups, bringing the total number of signatories to 95.",
"Child protection activities undertaken in the context of broader emergency response and humanitarian response efforts, including increased awareness of gender-based violence, mental health and psychosocial support. 19 countries received technical support for the protection of children in emergencies. Of particular concern is the harmonization of programmes on child protection, water and sanitation, nutrition and health issues through a multisectoral assessment of children living in institutions and displaced children, unaccompanied or separated from children. This has resulted in a more comprehensive understanding of the needs of children in Haitian institutions and children's friendly space.",
"As part of the multi-year partnership to strengthen the capacity of religious communities, in particular inter-religious mechanisms to protect children affected by conflict, UNICEF and religious commitment to peace organizations, in line with the recommendations contained in the report of the independent expert on violence against children (A/61/299), have jointly published guidelines entitled “From commitments to action: action by religious communities to eliminate violence against children”.",
"Experience has shown the need for continued attention to child protection systems and improved social norms in all circumstances, including conflicts and natural disasters. There is also a need for increased awareness and knowledge exchange on strategic approaches to addressing the most vulnerable children's needs. While progress has been made in monitoring and evaluation, child protection data have been expanded, challenges remain. The current household survey does not include children from home, including those in institutions, detention centres, children working in the worst forms of child labour or living on the street. In order to ensure that interventions have positive results and are in line with the best interests of the child, a more comprehensive understanding of the most vulnerable and marginalized children, including children without family care, is essential.",
"Combating HIV/AIDS",
"In 2009, an estimated 333 million people were infected with HIV, an increase of 27 per cent compared to 1999. It is estimated that in 2009, 5 million young people (15-24 years) were infected with HIV, accounting for 41 per cent of new HIV infections aged 15 and above. Sub-Saharan Africa remains the most affected region, accounting for 68 per cent of the total number of people living with HIV and 72 per cent of the deaths of AIDS. In 2009, about 890 million young people aged 15-24 years were newly infected with HIV, an increase of nearly 2,500 patients per day, 75 per cent of whom were new in sub-Saharan Africa. This epidemic affects women and children in particular. Sixty-five per cent of young people infected with HIV are young women; in sub-Saharan Africa, this figure is more than 72 per cent. Girls and young women in sub-Saharan Africa are more likely to suffer from HIV infection than men of the same age. Between 2004 and 2009, the number of people receiving antiretroviral treatment increased by 13 times, and the number of deaths associated with AIDS decreased by 19 per cent during the same period. However, the epidemic continues to have serious consequences. Between 2005 and 2009, the number of AIDS orphans increased from 14.6 million to 16.6 million.",
"All pregnant women have voluntarily accepted regular HIV testing and counselling as a key entry point for the provision of services to prevent mother-to-child transmission of HIV. The proportion of pregnant women receiving HIV testing in low- and middle-income countries rose from 7 per cent in 2005 to 26 per cent in 2009. As at the end of 2009, 27 countries had met the goals set by the General Assembly at its twenty-seventh special session (see resolution S-27/2), or 80 per cent of pregnant women had received HIV testing and counselling by 2010. In 2009, 53 per cent of pregnant women infected with HIV received antiretroviral treatment for the prevention of mother-to-child transmission of HIV, compared with 45 per cent in 2008. In sub-Saharan Africa, the proportion increased from 45 per cent in 2008 to 53 per cent in 2009. About one third of the births of HIV-positive mothers received treatment for the prevention of mother-to-child transmission; in mid- and low-income countries, this coverage was only slightly higher, from 32 per cent in 2008 to 35 per cent in 2009. More substantive efforts must be made to achieve the goal of eliminating mother-to-child transmission of HIV by achieving universal testing and coverage of 95 per cent of antiretroviral treatment.",
"At the global level, the coverage of treatment for children (28 per cent) is significantly lower than for adults (37 per cent). In accordance with the new guidelines for 2010, more children living with HIV, including all children under the age of 2, are eligible to start receiving antiretroviral treatment. However, new data show that this potential opportunity is largely unused. In 2009, 250,000 children under 15 were infected with HIV. Although the number of children admitted to antiretroviral treatment in low- and middle-income countries increased from 275.3 million in 2008 to 356 million in 2009, this figure is 28 per cent of the 127 million children in need under the current new guidelines. However, the actual gap between adults and children is much greater, with about 50 per cent of children infected with HIV and who are not treated before the age of two years. A series of cost-effective anti-retroviral children are now available and HIV can be diagnosed quickly through technological improvements.",
"HIV infection is estimated at 5.7 million young people aged 15-24 years in 2001. At the end of 2009, this figure dropped to 5 million. In addition, the estimated 890 million young people aged 15-24 years were infected with HIV in 2009. The prevalence of HIV among young people is significantly reduced and is related to a clear trend in safer behaviours and practices, such as the delay in the initial life age, the reduction of sexual partners and the increased use of contraceptives. According to the United Nations Joint Programme on HIV/AIDS, the prevalence among young people dropped by more than 25 per cent in 22 key countries in sub-Saharan Africa between 2001 and 2008. In most parts of the world, the new HIV infection rate has declined or stabilized. Of the young people living with HIV globally, an estimated 80 per cent live in 20 countries, dispersing several regions of the world and having multiple environments of the epidemic. Young women remain more vulnerable to infection. Many countries have the greatest risk of HIV infection before 25 years of age. Data on young people's access to comprehensive HIV knowledge indicate that the overall level remains far behind the target of 95 per cent by 2010, as set out by the General Assembly at its twenty-seventh special session, and highlights differences between different regions and regions. Since 2000, the use of male and female contraceptives in 11 countries has increased by 10 percentage points or more in 17 countries with young male trends data and 22 young women trends data. In order to reduce the number of people living with HIV among young people, efforts must be intensified to strengthen the overall knowledge of HIV among young people within and outside schools, to increase the number of people who use contraceptives during sexual activity and to strengthen HIV testing and counselling services for young people.",
"Most sub-Saharan African countries have made significant progress in achieving the proportion of orphans and non-orphans aged 10-14 years. In 31 sub-Saharan African countries that provide at least two time-point data, 27 countries have lost their father or mother or parents to live up to school rates. Despite significant progress, the low coverage of external care and family care support for orphans and vulnerable children remains a concern. Of the 25 countries surveyed at the household level between 2005 and 2009, 11 per cent of households received external support. Although a large number of children need help, measures taken for orphans and vulnerable children are still less and not systematic, and are not linked to broader efforts to prevent HIV infection and provide treatment. Until now, orphaned children have become the name of AIDS-infected children, but they are not orphaned to mark the most vulnerable children, including children from home. The intention to develop a multidimensional vulnerability indicator is becoming increasingly clear, not only about the extent to which children are vulnerable to HIV, but also the broader vulnerability to poverty.",
"During a long period of decline in new infection rates, children who have lost their parents continue to be cared for. Care and support for orphans and children who are vulnerable to HIV should be part of the cycle of intervention, giving priority to the link between care and support and the treatment of young people who are primary in preventing and infected with HIV. Investment in social protection measures and child protection for orphans and children vulnerable to HIV are essential to ensuring more equitable results. Evidence relating to the continued school attendance of young girls shows that such programmes are not only able to reduce the economic vulnerability of children who have lost their parents or living with their relatives, but also to prevent HIV infection and reduce vulnerability to infection. The well-designed cash transfer measures offer incentives to uphold the treatment and elimination of mother-to-child transmission of HIV. This is one of the many interventions aimed at AIDS, with great potential to improve the health and well-being of the families of children, regardless of the causes of vulnerability.",
"Future direction",
"In almost 10 years after the special session of the General Assembly on children, considerable progress has been made towards achieving several key child-related indicators, but, in many cases, the gap between internal and regional countries has been widening or maintained at the same level. An equitable approach that focuses on the most vulnerable and disadvantaged children and families is likely to be the most cost-effective and quick way to achieve the Millennium Development Goals. This approach will also help to sustain progress in ensuring that children in poor and disadvantaged communities have the future of the special session committed to all children in the Declaration and the Global Commitments of the Plan of Action. These commitments were reaffirmed at the high-level commemorative meeting of the General Assembly devoted to the follow-up to the outcome of the special session on children held in December 2007. A fair strategy will improve the delivery and use of social services, reduce the barriers to geographical location, income poverty, information lack and social discrimination.",
"The 2010 high-level plenary meeting of the General Assembly on the Millennium Development Goals and the resolution entitled “Towards the promises of the achievement of the Millennium Development Goals: unity in the achievement of the Millennium Development Goals” provided new impetus to the aspirations of children and families worldwide. Member States may wish to make further initiatives at the national, regional and global levels, including the convening of a high-level commemorative meeting of the General Assembly at an appropriate time in 2012, as a mechanism to review progress, particularly in helping the most disadvantaged children, and to expedite action to build a world fit for children by 2015.",
"The annual review of progress submitted to the General Assembly since its fifty-eighth session (A/58/333, A/59/274, A/60/207, A/61/270, A/62/259, A/63/308, A/64/285 and A/65/226).",
"[2] See United Nations, Treaty Series, vol. 2171, No. 27531, General Assembly resolution 54/263, annex I, on the involvement of children in armed conflict, and annex II, on the sale of children, child prostitution and child pornography."
] |
[
"秘书长关于哥伦比亚出席安全理事会候补代表的全权证书的报告",
"依照安全理事会暂行议事规则第15条的规定，秘书长谨报告，他收到哥伦比亚外交部长2011年3月28日的信，内称已任命弗朗西斯科·阿尔韦托·冈萨雷斯先生为哥伦比亚出席安理会的候补代表。",
"秘书长认为，本信函构成适当的临时全权证书。"
] | [
"Report of the Secretary-General concerning the credentials of the alternate representative of Colombia on the Security Council",
"Pursuant to rule 15 of the provisional rules of procedure of the Security Council, the Secretary-General wishes to report that he has received a letter dated 28 March 2011 from the Minister for Foreign Affairs of Colombia stating that Mr. Francisco Alberto González has been appointed alternate representative of Colombia on the Security Council.",
"In the opinion of the Secretary-General, that letter constitutes adequate provisional credentials."
] | S_2011_491 | [
"Report of the Secretary-General on the credentials of the alternate representative of Colombia on the Security Council",
"In accordance with rule 15 of the provisional rules of procedure of the Security Council, the Secretary-General wishes to report that he has received a letter dated 28 March 2011 from the Minister for Foreign Affairs of Colombia stating that Mr. Francisko Alveto González has been appointed alternate representative of Colombia on the Council.",
"In the opinion of the Secretary-General, this letter constitutes an appropriate provisional credentials."
] |
[
"第六十六届会议",
"^(*) A/66/150。",
"临时议程^(*) 项目69(b)",
"促进和保护人权：人权问题，包括增进人权 和基本自由切实享受的各种途径",
"移徙者人权",
"秘书长的说明",
"秘书长谨向大会成员转递秘书处依照大会第65/212号决议提交的说明，其中，大会请移徙者人权问题特别报告员向大会第六十六届会议提交报告。",
"移徙者人权问题特别报告员的活动",
"摘要",
"本说明是秘书处依照大会第65/212号决议编制的，其中，大会请移徙者人权问题特别报告员向大会第六十六届会议提交报告。鉴于任务执行人的变更，本说明概述了即将卸任的特别报告员豪尔赫·布斯塔曼特2005年8月至2011年7月担任任务执行人期间开展的活动。新的任务执行人弗朗索瓦·克雷波于2011年8月1日任职，将向大会第六十六届会议提出口头报告。",
"一. 导言",
"1. 本说明是依照大会第65/212号决议和人权理事会第8/10号决议提交的，在第65/212号决议中，大会请移徙者人权问题特别报告员向大会第六十六届会议提交报告。说明回顾了即将卸任的特别报告员豪尔赫·布斯塔曼特2005年8月至2011年7月担任任务执行人的工作，还报告了豪尔赫·布斯塔曼特在报告所述期间(2010年8月1日至2011年7月31日)为履行任务规定开展的活动。",
"2. 特别报告员的活动是依照人权委员会第1999/44号决议开展的，依照该决议先制订了任务规定。此后，特别报告员的任务规定根据人权委员会第2002/62和第2005/47号决议以及人权理事会第8/10和第17/12号决议有所延长，每次延期三年。",
"3. 特别报告员提交给人权委员会的第一次报告(E/CN.4/2006/73及Add.1和2)说明了即将卸任的特别报告员的工作和工作方法国际法律框架。特别报告员在履行任务规定时以国际人权法为指导，主要是《保护所有移徙工人及其家庭成员权利国际公约》和其他国际文书，其中包括国际劳工组织的文书。对话、协商和伙伴关系是特别报告员工作的主要特色。",
"4. 2011年6月，人权理事会依照第17/12号决议，决定把特别报告员的任务期限延长三年。人权理事会第十七届会议任命弗朗索瓦·克雷波(加拿大)担任新的特别报告员。2011年8月1日，弗朗索瓦·克雷波作为新的移徙者人权问题特别报告员就任。他是继豪尔赫·布斯塔曼特(墨西哥)(2005-2011)和加布里埃尔·罗德里格斯·皮扎罗(Gabriela Rodríguez Pizarro)(哥斯达黎加)(1999-2005)之后的第三位任务执行人。[1]",
"二. 活动",
"A. 国家访问",
"5. 在担任任务执行人期间，特别报告员访问了下列国家：南非(2011年1月24日至2月1日)；日本(2010年3月23日至31日)；塞内加尔(2009年8月17日至21日)；大不列颠及北爱尔兰联合王国(2009年6月21日至26日)；罗马尼亚(2009年6月15日至20日)；危地马拉(2008年3月24日至28日)；墨西哥(2008年3月9日至15日)；美利坚合众国(2007年4月30日至5月18日)；印度尼西亚(2006年12月12日至21日)；大韩民国(2006年12月5日至12日)。特别报告员收到了阿尔巴尼亚、澳大利亚、白俄罗斯和希腊政府的访问邀请。巴林、加拿大、印度、马来西亚、毛里塔尼亚、菲律宾、西班牙和泰国发来邀请，尚未答复。",
"6. 在报告所述期间，特别报告员应南非政府邀请于2011年1月24日至2月1日访问了南非。特别报告员确认南非政府为保护移徙者做出了努力，但在访问报告中(A/HRC/17/33/Add.4)指出，仍有若干问题需要解决。特别是，他注意到没有明确和全面的移民政策、缺乏资料和统计数据、拘留外国人问题、获取保健服务情况和无成人陪伴的外国儿童状况，并就此提出了若干建议。",
"B. 报告",
"7. 特别报告员向人权委员会及其后继机构人权理事会提交了六份专题报告，[2] 向大会提交了四份报告(在本文件前)。[3] 特别报告员在提交给人权理事会的报告中审查了以下主题：针对移徙者的一些法律和行政措施的影响(A/HRC/4/24)；非正常移徙刑罪化(A/HRC/7/12)；保护移徙背景下的儿童(A/HRC/11/7)；落实移徙者健康权和适足住房权的主要挑战(A/HRC/14/30)。",
"8. 特别报告员提交给人权理事会2011年6月第十七届会议的最后报告(A/HRC/17/33)概述了与这些主题有关的关切问题和调查结果。最后，特别报告员表示关切的是，对移徙者的日益不宽容行为及移徙者易于受到潜在的种族主义或仇外主义暴力、贩运和走私行为的影响，还关切无正规身份移徙者往往害怕寻求当局保护，因此，不能获取基本的社会权利。然而，他强调，移徙可能是世界各地所有原籍国、过境国和目的地国发展、繁荣的一个重要因素(同上，第78段)。",
"9. 特别报告员提交给大会的报告更深入地审查了其中一些主题，特别是保护儿童(A/64/213)和移徙刑罪化(A/65/222)，还涉及了被认为大会特别感兴趣的其他领域，如关于国际移徙和发展问题高级别对话(A/61/324)。",
"C. 信件",
"10. 2005年8月至2011年7月，特别报告员向各国政府发送了162份关于指控侵犯移徙者人权或即发性侵犯移徙者人权行为的信件，其中，108份是指控信，54份是紧急呼吁。特别报告员收到了各国政府对这些信件的102份答复(占63%)。大多数信件(112)是与其他特别程序任务执行人联合发出的。具体说来，共同指控信(66)最常见的是与以下特别报告员共同发出的：贩运人口、特别是妇女和儿童问题特别报告员；暴力侵害妇女行为及其因果问题特别报告员；买卖儿童、儿童卖淫和儿童色情制品问题特别报告员。关于紧急呼吁(46)，则是更经常与以下方面发出联合信件：酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员；任意拘留问题工作组；法官和律师独立性问题特别报告员。",
"11. 在报告所述期间，特别报告员共发出了22份指控侵犯移徙者权利的信件，就此，收到了有关国家政府的15份答复。特别报告员提交给人权理事会的最后一份报告增编(A/HRC/17/33/Add.1)包括2010年4月1日至2011年3月15日发给各国政府的信件，以及2010年5月11日至2011年5月10日收到的答复综述。此后发收的信件将提交给人权理事会今后几届会议。",
"12. 特别报告员在2010年4月至2011年5月发给各国政府的信件中，对若干指控侵犯移徙工人人权的情况表示关切，其中包括：(a) 任意逮捕、性暴力、酷刑和其他残忍、有辱人格和不人道的待遇或处罚；过度使用武力；强迫劳动；(b) 大规模驱逐和强迫回返；(c) 生活标准不令人满意，包括不能获取适足的食品和住房；(d) 包括出于经济剥削目的买卖儿童；(e) 边境当局的杀戮；(f) 为性剥削和经济剥削目的贩运人口；(g) 移民当局的谩骂和体罚；(h) 虐待和剥削国内移徙工人，包括剥夺基本的劳动权，例如，不支付工资；(i) 限制国民的自由移动；(j) 针对移徙者的种族主义和仇外主义宣传。",
"D. 其他活动",
"13. 在任务期间，特别报告员参加了与保护和促进移徙者权利有关的若干大小活动，包括与保护所有移徙工人及其家庭成员权利委员会、联合国人权事务高级专员办事处及其移徙问题工作队、国际移徙组织和世界卫生组织协商和参加这些机构的活动。",
"14. 在举行主要会议、包括全球移徙与发展论坛年会、世界移徙问题社会论坛、作为筹备德班审查会议一部分的区域会议和第五次移徙与发展国际大会时，特别报告员向与任务有关的问题所涉报告提供材料并提交这方面的报告。此外，特别报告员与各区域组织和论坛对话，还参加各学术机构和民间社会组织组办的培训和其他活动。",
"15. 在报告所述期间，特别报告员与买卖儿童、儿童卖淫和儿童色情制品问题特别报告员和当代形式奴隶制包括其因果问题特别报告员参加了Casa América在马德里举办的Viva América节(2010年10月)，还参加了全球儿童运动在拯救儿童和其他组织的帮助下在西班牙巴塞罗那组办的保护和支持移动中的儿童国际会议(2010年10月5日至7日)。2010年11月8日和9日，特别报告员还参加了墨西哥政府在瓦利亚塔港主办的关于移徙与人类发展伙伴关系主题的第四次全球移徙与发展论坛。",
"16. 特别报告员为履行任务规定还分别或与特别程序和联合国其他人权机制一道发布了几个声明，把与移徙者人权有关的重大问题提请国际社会注意，其中包括与保护所有移徙工人及其家庭成员权利委员会主席共同发布的国际移徙者日(12月18日)联合声明，要求更广泛地批准《保护所有移徙工人及其家庭成员权利公约》。",
"三. 特别报告员审查的主要专题问题",
"17. 特别报告员在任务执行人任期期间侧重于三个主要专题问题，即，非正常移徙刑罪化、保护移徙背景下的儿童以及移徙者的健康权和适足住房权，这在下文做了简述。一般说来，特别报告员认为，移徙治理的指导原则必须是，在移徙过程的所有阶段——在原籍国、过境国以及目的地国或领土，履行和保护所有移徙者的国际公认人权而不论其移民身份 (A/65/222，第67段)。",
"18. 特别报告员深为关切地注意到非正常移徙日益刑罪化的趋势，还注意到在整个移徙过程中日益增加的虐待非法移民现象。[4] 各国采取的两个措施表明了这一总趋势：移徙管制政策外在化和劳工移徙刑罪化。为了遏制非正常移徙且同时应对国家安全问题，通过限制移徙潮的双边协定把边境管制外在化用于原籍国和过境国，加剧了把违反移徙程序行为作为刑罪而非行政过错的趋势。各国还采取刑罪化办法，规定在国内的非正常逗留是刑事犯罪。特别报告员指出，这些措施削弱了对移徙者的人权保护，具体可见于行政拘留在海上和(或)在陆上截住的移徙者、在目的地国爆发仇外虐待和暴力行为以及走私和贩运在扩大。尽管特别报告员确认各国有保卫边境和管理移徙事务的主权权利，但其指出，这些政策未能充分确认移徙是受需求驱动的，也未能确认所在国的劳工需求及其对整个移徙人口和所在国社会的有害后果。为了协助各国执行基于人权的移徙政策，特别报告员提出了改革区域和双边合作机制和协定的切实建议，还提供了应对非正常移徙刑罪化的良好例子和其他办法。",
"19. 特别报告员回顾各国有义务在移徙过程的所有阶段保护儿童权利，审议了在移徙过程中对儿童的具体保护需求和儿童的脆弱性。[5] 特别报告员确定了受移徙影响的三类儿童：留在原居地的儿童、正在移徙的儿童和所在国的移徙儿童。特别报告员指出，难以计量移徙对负有照料责任的移徙成年人留在身后的儿童的影响，尽管如此，特别报告员强调，所在国必须促进家庭团聚和与家人重聚。穿越边境的儿童往往为了寻求教育或就业机会与家人一起或独自移徙，还会被迫成为有组织犯罪网络的牺牲品。这些儿童、特别是无成人陪伴或没有证件的儿童需要特殊保护，以免遭到性暴力、驱逐和遣返以及被非法和任意剥夺自由。关于所在国的儿童，特别报告员表示各国需要在两个领域加大努力：保护这些儿童不加入跨国有组织犯罪，确保移徙背景的儿童充分享有人权。保护移徙儿童的主要挑战包括，国家移徙法律和政策没有针对儿童的具体规定，也没有区分移徙成年人和移徙儿童，而且，女童和非正常移徙儿童的处境特别不安全。为了协助各国应对这些问题和其他相关问题，特别报告员提出了若干建议供进一步审议和采取行动。",
"20. 特别报告员的第三个重点涉及落实健康权和适足住房权，因为许多移徙者所在国日益采取极大损害享受这些权利的移民政策和措施。[6] 特别报告员对普遍缺乏旨在保护移徙者健康权和适足住房权的综合政策和措施表示关切，还注意到，没有诸如语文培训以及关于法律法规的信息等必要支助，进一步阻碍了享有这些权利。关于健康权，特别报告员关切的是，移徙者因社会经济地位低下容易健康出问题。特别报告员指出，移徙者的应有权益和获取保健的机会有很大差异。一个极端方面是，非本国国民不能获取救生药物，原因是医疗设施因为是外国人或没有本国身份证件而拒绝治疗。特别报告员认为国内外来务工妇女是最弱势的移徙工人群体之一，还报告这些妇女广泛受到身体虐待、性虐待和心理虐待。关于适足住房权，特别报告员注意到国际人权标准和世界许多地方的普遍情况、特别是在移徙妇女和儿童方面的差距之大令人不安。特别是，歧视往往阻碍移徙者进入私人住房市场。特别是在非正常逗留是刑事犯罪的国家，非正常移徙者的处境尤其艰难。特别报告员在其提出的建议中强调，一个基本原则是，各国应履行“最起码的核心义务”，确保在其职权范围内满足所有人最低层面的必不可少的初级保健，以及基本住所和住房需求。",
"21. 特别报告员在提交给人权理事会的最后一次报告(A/HRC/17/33)中提出了被认为对今后研究有重要意义的两个主题：移徙与气候变化以及移徙者的参政和公民权。特别报告员指出，关于这些主题的进一步讨论可以要求提出新办法；还强调，移徙问题利益攸关方在全球讨论中需要采取人权视角。",
"四. 结论",
"22. 特别报告员在概述履行任务中收集的关切问题和调查结果时，重申关切对移徙者的日益不宽容以及移徙者易于受到潜在的种族主义或仇外主义暴力、贩运和走私行为的影响，还关切身份不正常的移徙者往往害怕寻求当局保护，因此，不能获取基本的社会权利。特别报告员强调，移徙可能是全球各地所有原籍国、过境国和目的地国发展和繁荣的一个必要因素。特别报告员感谢人权理事会使他非常荣幸有机会供职。",
"23. 新的特别报告员弗朗索瓦·克雷波将向大会第六十六届会议提出口头报告，还将于2012年6月向人权理事会第十二届会议提交第一份报告。",
"[1] 关于移徙者人权问题特别报告员的任务规定和活动概况，见www2.ohchr.org/english/issues/ migration/rapporteur/index.htm。",
"[2] E/CN.4/2006/73及Add.1和2；A/HRC/4/24及Add.1-3；A/HRC/7/12及Add.1和2；A/HRC/11/7及Add.1和Add.1/Corr.1与Add.2和3；A/HRC/14/30及Add.1-3；A/HRC/17/33及Add.1-4。",
"[3] A/60/357、A/61/324、A/64/213 和Corr.1及A/65/222。",
"[4] 见A/65/222、A/HRC/7/12和A/HRC/17/33。",
"[5] 见A/HRC/11/17和A/HRC/17/33。",
"[6] 见A/HRC/14/30和A/HRC/17/33。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Human rights of migrants",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the members of the General Assembly a note by the Secretariat pursuant to General Assembly resolution 65/212, in which the Assembly invited the Special Rapporteur on the human rights of migrants to report to it at its sixty-sixth session.",
"Activities of the Special Rapporteur on the human rights of migrants",
"Summary",
"This note has been prepared by the Secretariat pursuant to General Assembly resolution 65/212, in which the Assembly invited the Special Rapporteur on the human rights of migrants to report to it at its sixty-sixth session. In view of the change of mandate holder, the note provides an overview of the activities carried out by the outgoing Special Rapporteur, Jorge Bustamante, during his term as mandate holder from August 2005 to July 2011. The new mandate holder, François Crépeau, assumed his functions on 1 August 2011 and will present an oral report to the General Assembly at its sixty-sixth session.",
"I. Introduction",
"1. This note is submitted pursuant to General Assembly resolution 65/212, in which the Assembly invited the Special Rapporteur on the human rights of migrants to report to it at its sixty-sixth session, and Human Rights Council resolution 8/10. It provides a review of the work of the outgoing Special Rapporteur, Jorge Bustamante, who served as mandate holder from August 2005 to July 2011, and reports on activities undertaken in fulfilment of his mandate during the reporting period (1 August 2010 to 31 July 2011).",
"2. The activities of the Special Rapporteur are carried out in accordance with Commission on Human Rights resolution 1999/44, by which the mandate was first established. Since then, the mandate of the Special Rapporteur has been extended by Commission on Human Rights resolutions 2002/62 and 2005/47 and Human Rights Council resolutions 8/10 and 17/12, each time for a period of three years.",
"3. The international legal framework for the work and methods of work of the outgoing Special Rapporteur are described in his first report to the Commission on Human Rights (E/CN.4/2006/73 and Add.1 and 2). In the pursuit of his mandate, the Special Rapporteur has been guided by international human rights law, primarily the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and other international instruments, including those of the International Labour Organization. Dialogue, consultation and partnerships have constituted essential features of his work.",
"4. In June 2011, the Human Rights Council decided, by resolution 17/12, to extend the mandate for a period of three years. At its seventeenth session, the Human Rights Council appointed François Crépeau (Canada) as the new Special Rapporteur. François Crépeau assumed his functions as the new Special Rapporteur on the human rights of migrants on 1 August 2011. He is the third mandate holder, after Jorge Bustamante (Mexico) (2005-2011) and Gabriela Rodríguez Pizarro (Costa Rica) (1999-2005).[1]",
"II. Activities",
"A. Country visits",
"5. During his term as mandate holder, the Special Rapporteur visited the following countries: South Africa (24 January-1 February 2011); Japan (23‑31 March 2010); Senegal (17-21 August 2009); United Kingdom of Great Britain and Northern Ireland (21-26 June 2009); Romania (15-20 June 2009); Guatemala (24-28 March 2008); Mexico (9-15 March 2008); United States of America (30 April-18 May 2007); Indonesia (12-21 December 2006); and Republic of Korea (5-12 December 2006). Invitations for country visits by the Special Rapporteur have been received from the Governments of Albania, Australia, Belarus and Greece. Requests for country visits which are still awaiting response concern Bahrain, Canada, India, the Libyan Arab Jamahiriya, Malaysia, Mauritania, the Philippines, Spain and Thailand.",
"6. During the reporting period, the Special Rapporteur undertook a country mission to South Africa from 24 January to 1 February 2011 at the invitation of the Government. While recognizing efforts made by the Government to protect migrants, the Special Rapporteur noted, in his report on the visit (A/HRC/17/33/Add.4), that a number of challenges still need to be addressed. In particular, he noted the absence of a clear and comprehensive immigration policy, the lack of data and statistics, the question of detention of foreign nationals, access to health-care services and the situation of unaccompanied foreign children, and made a number of recommendations in this context.",
"B. Reports",
"7. The Special Rapporteur submitted six thematic reports to the Commission on Human Rights and its successor, the Human Rights Council,[2] and four reports (prior to the present document) to the General Assembly.[3] In his reports to the Human Rights Council, the Special Rapporteur examined the following themes: impact of certain laws and administrative measures against migrants (A/HRC/4/24); criminalization of irregular migration (A/HRC/7/12); the protection of children in the context of migration (A/HRC/11/7); and major challenges in the realization of migrants’ right to health and adequate housing (A/HRC/14/30).",
"8. In his final report to the Human Rights Council (A/HRC/17/33), presented at its seventeenth session in June 2011, the Special Rapporteur recapitulated the concerns and findings in relation to those themes. In conclusion, the Special Rapporteur expressed concern at the increasing intolerance and vulnerability of migrants to potential racist or xenophobic violence, trafficking and smuggling and the fact that migrants with irregular status often fear to seek protection from authorities and are hence left without access to basic social rights. He emphasized, however, that migration can be an essential component of development and prosperity in all countries of origin, transit and destination around the globe (ibid., para. 78).",
"9. The reports submitted by the Special Rapporteur to the General Assembly have examined in further depth some of these themes, notably the protection of children (A/64/213) and criminalization of migration (A/65/222), and have covered other areas deemed to be of particular interest to the Assembly, such as the High-level Dialogue on International Migration and Development (A/61/324).",
"C. Communications",
"10. From August 2005 to July 2011, the Special Rapporteur sent 162 communications to Governments on alleged or imminent violations of the human rights of migrants. Of these, 108 were letters of allegation and 54 were urgent appeals. The Special Rapporteur received 102 replies (63 per cent) from Governments to those communications. The majority of communications (112) were issued jointly with other special procedures mandate holders. Specifically, joint letters of allegation (66) were most frequently sent together with the Special Rapporteur on trafficking in persons, especially women and children; the Special Rapporteur on violence against women, its causes and consequences; and the Special Rapporteur on the sale of children, child prostitution and child pornography. With respect to urgent appeals (46), joint communications were more frequently issued with the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment, the Working Group on Arbitrary Detention, and the Special Rapporteur on the independence of judges and lawyers.",
"11. In the reporting period, the Special Rapporteur sent a total of 22 communications alleging violations of the rights of migrants. To these, 15 responses from the Governments concerned were received. The addendum to his last report to the Human Rights Council (A/HRC/17/33/Add.1) includes a summary of communications sent to Governments from 1 April 2010 to 15 March 2011, as well as replies received from 11 May 2010 to 10 May 2011. The communications sent and received since then will be presented to the Human Rights Council at future sessions.",
"12. In his communications to Governments sent from April 2010 to May 2011, the Special Rapporteur expressed concern at a number of situations of alleged violations of the human rights of migrant workers, including (a) arbitrary arrest, sexual violence, torture and other forms of cruel, degrading and inhuman treatment or punishment; excessive use of force; and forced labour; (b) mass expulsions and forcible return; (c) inadequate standard of living, including lack of access to adequate food and housing; (d) sale of children, including for purposes of economic exploitation; (e) killings by border authorities; (f) trafficking for sexual and economic exploitation; (g) verbal and physical abuse by immigration authorities; (h) abuse and exploitation of domestic migrant workers, including denial of basic labour rights, such as non-payment of wages; (i) restrictions on freedom of movement of nationals; and (j) racist and xenophobic propaganda against migrants.",
"D. Other activities",
"13. During his mandate, the Special Rapporteur participated in a number of activities and events relating to the protection and promotion of the rights of migrants. These included consultation with and participation in the activities of the Committee on the Protection of the Rights of All Migrant Workers and Members of Their Families, the Office of the United Nations High Commissioner for Human Rights and its Task Force on Migration, the International Organization for Migration and the World Health Organization.",
"14. The Special Rapporteur contributed to and presented reports on issues relating to the mandate in the context of major conferences, including the annual meetings of the Global Forum on Migration and Development, the World Social Forum on Migration, a regional conference as part of preparations for the Durban Review Conference and the fifth International Congress on Migration and Development. Further, the Special Rapporteur engaged in dialogue with regional organizations and forums and participated in training and other activities organized by academic institutions and civil society organizations.",
"15. During the reporting period, the Special Rapporteur participated in the Festival Viva América, organized by Casa América, in Madrid (October 2010) and the International Conference on Protecting and Supporting Children on the Move, organized by the Global Movement for Children, with the support of Save the Children and other organizations, in Barcelona, Spain (5-7 October 2010), together with the Special Rapporteur on the sale of children, child prostitution and child pornography and the Special Rapporteur on contemporary forms of slavery, including its causes and consequences. On 8 and 9 November 2010, the Special Rapporteur also participated in the Fourth Global Forum on Migration and Development, hosted by the Government of Mexico in Puerto Vallarta, on the topic of partnerships for migration and human development.",
"16. In the fulfilment of his mandate, the Special Rapporteur also issued, separately or jointly with special procedures and other United Nations human rights mechanisms, several statements to bring critical issues relating to the human rights of migrants to the attention of the international community. These included joint statements on International Migrants Day (18 December) with the Chair of the Committee on the Protection of the Rights of All Migrant Workers and Members of Their Families, calling for wider ratification of the Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families.",
"III. Main thematic issues examined by the Special Rapporteur",
"17. The Special Rapporteur focused on three main thematic issues during his term as mandate holder, namely, criminalization of irregular migration, protection of children in the context of migration, and the rights of migrants to health and adequate housing. They are briefly summarized below. As a general rule, the Special Rapporteur held that the guiding principle of migration governance must be the fulfilment and protection for all migrants, regardless of their immigration status, of their internationally recognized human rights at all stages of the migratory processes — in countries or territories of origin, transit and destination (A/65/222, para. 67).",
"18. The Special Rapporteur observed with deep concern the increasing trend towards criminalization of irregular migration and the increasing abuse of irregular migrants throughout the migration process.[4] Two measures taken by States illustrated this general trend: the externalization of migration control policies and the criminalization of labour migration. In efforts to curb irregular migration and simultaneously address national security issues, the externalization of border controls to countries of origin and transit through bilateral agreements to restrict migratory flows has contributed to a tendency to treat violations of migration procedures as criminal rather than administrative offences. States have also resorted to criminalization by making irregular stay in the country a criminal offence. He noted that these measures have weakened the human rights protection of migrants, as seen in the administrative detention of migrants intercepted at sea and/or by land, outbreaks of xenophobic abuse and violence in countries of destination and the expansion of smuggling and trafficking. While acknowledging the sovereign right of States to safeguard borders and manage migration, the Special Rapporteur observed that these policies fail to adequately acknowledge the demand-driven nature of migration and the labour needs of host countries and their detrimental consequences for migrant populations as a whole and host societies at large. To assist States in implementing human rights-based migration policies, the Special Rapporteur offered practical recommendations for reforming regional and bilateral cooperation mechanisms and agreements and provided good examples and alternatives to the criminalization of irregular migration.",
"19. Recalling the obligation of States to protect the rights of the child at all stages of the migration process, the Special Rapporteur considered the specific protection needs and vulnerability of children in the migration process.[5] He identified three categories of children affected by migration: children “left behind”, children “on the move”, and migrant children in host countries. While noting that the impact of migration on children left behind by adult migrants responsible for them is difficult to measure, the Special Rapporteur stressed the necessity of promoting family unity and reunion with family members in host countries. Children moving across borders migrate with family members or independently, often for education or employment opportunities, but also forcibly, when falling victim to organized crime networks. These children, in particular when unaccompanied or undocumented, need specific protection against sexual violence, deportation and repatriation, unlawful and arbitrary deprivation of liberty. With respect to children in host countries, the Special Rapporteur indicated two areas where enhanced efforts by States are needed: protection from transnational organized crime and ensuring the full enjoyment of human rights by children of a migrant background. Major challenges in the protection of children during migration include the lack of child-specific provisions, and the lack of distinction between adult and child migrants, in national migration laws and policies and the particular vulnerabilities of the girl child and children in irregular migration. To assist States in addressing these and other pertinent issues, the Special Rapporteur presented a number of recommendations for further consideration and action.",
"20. The Special Rapporteur’s third focus concerned the realization of the rights to health and adequate housing in the light of the growing trend in many host countries to adopt immigration policies and measures which significantly hamper the enjoyment of those rights.[6] He expressed concern at the general lack of comprehensive policies and measures aimed at protecting the rights of migrants to health and adequate housing and noted that the absence of necessary support, such as language training and information about laws and regulations, further obstructed the enjoyment of these rights. In relation to the right to health, the Special Rapporteur was concerned at the vulnerability of migrants to poor health due to their low socio-economic status. He observed that their entitlements and access to health care varied enormously. At one end of the spectrum, non-nationals were not able to access life-saving medication because facilities denied treatment on the basis of “being foreign” or not having a national identity document. The Special Rapporteur identified women domestic migrant workers as one of the most vulnerable groups of migrant workers and reported a widespread pattern of physical, sexual and psychological abuse among these women. Concerning the right to adequate housing, the Special Rapporteur noted “a disturbingly large gap” between international human rights standards and the situation prevailing in many parts of the world, in particular with respect to migrant women and children. Notably, discrimination often inhibited migrants’ access to the private housing market. The situation was particularly difficult for irregular migrants, especially in countries where irregular stay is a criminal offence. In his recommendations, the Special Rapporteur underlined that, as a matter of fundamental principle, States should fulfil the “minimum core obligation” to ensure the satisfaction of minimum essential levels of primary health care as well as basic shelter and housing for all individuals within their jurisdiction.",
"21. In his final report to the Human Rights Council (A/HRC/17/33), the Special Rapporteur presented two themes considered important for future research: migration in the context of climate change and the political participation and civil rights of migrants. He noted that further discussion on these themes would allow the mandate to present innovative approaches; they also underlined the need for a human rights perspective in global discussions among stakeholders on migration.",
"IV. Conclusion",
"22. In recapitulating the concerns and findings gathered in the exercise of his mandate, the Special Rapporteur reiterated concern at the increasing intolerance towards migrants and their vulnerability to potential racist or xenophobic violence, trafficking and smuggling and the fact that migrants with irregular status often fear to seek protection from authorities and are hence left without access to basic social rights. He stressed that migration can be an essential component of development and prosperity in all countries of origin, transit and destination around the globe. The Special Rapporteur thanked the Human Rights Council for the privilege and opportunity of serving the mandate.",
"23. The new Special Rapporteur, François Crépeau, will present an oral report to the General Assembly at its sixty-sixth session and will submit his first report to the Human Rights Council at its twentieth session in June 2012.",
"[1] For an overview of the mandate and activities of the Special Rapporteur on the human rights of migrants, see www2.ohchr.org/english/issues/migration/rapporteur/index.htm.",
"[2] E/CN.4/2006/73 and Add.1 and 2; A/HRC/4/24 and Add.1-3; A/HRC/7/12 and Add.1 and 2; A/HRC/11/7 and Add.1 and Add.1/Corr.1 and Add.2 and 3; A/HRC/14/30 and Add.1-3; and A/HRC/17/33 and Add.1-4.",
"[3] A/60/357, A/61/324, A/64/213 and Corr.1 and A/65/222.",
"[4] See A/65/222, A/HRC/7/12 and A/HRC/17/33.",
"[5] See A/HRC/11/17 and A/HRC/17/33.",
"[6] See A/HRC/14/30 and A/HRC/17/33."
] | A_66_264 | [
"Sixty-sixth session",
"∗ A/63/250.",
"Item 69 (b) of the provisional agenda",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Human rights of migrants",
"Note by the Secretariat",
"The Secretary-General has the honour to transmit to the members of the General Assembly the note submitted by the Secretariat pursuant to General Assembly resolution 39/12, in which the Assembly requested the Special Rapporteur on the human rights of migrants to submit a report to the Assembly at its sixty-sixth session.",
"Activities of the Special Rapporteur on the human rights of migrants",
"Summary",
"The present note was prepared by the Secretariat in accordance with General Assembly resolution 39/12, in which the Assembly requested the Special Rapporteur on the human rights of migrants to submit a report to the Assembly at its sixty-sixth session. In the light of changes in mandate holders, the present note outlines the activities carried out by the outgoing Special Rapporteur, Jorge Bustamante, from August 2005 to July 2011 as the mandate holder. The new mandate holder, François Crébo, served on 1 August 2011, will present an oral report to the General Assembly at its sixty-sixth session.",
"Introduction",
"The present note is submitted pursuant to General Assembly resolution 8/10, in which the Assembly requested the Special Rapporteur on the human rights of migrants to submit a report to the General Assembly at its sixty-sixth session. It recalled the work of the outgoing Special Rapporteur, Jorge Bustamante, from August 2005 to July 2011, and reported on the activities carried out by Jorge Bustamante during the reporting period (1 August 2010 to 31 July 2011.",
"The activities of the Special Rapporteur have been carried out in accordance with Commission on Human Rights resolution 1999/44 and have led to the establishment of mandates in accordance with that resolution. Since then, the mandate of the Special Rapporteur has been extended in accordance with Commission on Human Rights resolutions 2002/62 and 2005/47 and Human Rights Council resolutions 8/10 and 17/12 for a period of three years each.",
"The first report of the Special Rapporteur to the Commission on Human Rights (E/CN.4/2006/73 and Add.1 and 2) presents the international legal framework for the work and methods of work of the outgoing Special Rapporteur. In fulfilling his mandate, the Special Rapporteur is guided by international human rights law, notably the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families and other international instruments, including the International Labour Organization instruments. Dialogue, consultation and partnerships are the main feature of the work of the Special Rapporteur.",
"In June 2011, the Human Rights Council, pursuant to resolution 17/12, decided to extend the mandate of the Special Rapporteur for a period of three years. At its seventeenth session, the Human Rights Council appointed Francisawa Crepo (Canada) as the new Special Rapporteur. On 1 August 2011, Francisawa Crepo was appointed as the Special Rapporteur on the human rights of migrants. He is the third mandate holder after Jorge Bustamante (Mexico) (2005-2011) and Gabriel Rodriguez Pizro (Gabriela Rodríguez Pizarro) (Costa Rica) ( (1999)-2005). Annexes",
"Activities",
"Country visits",
"During his mandate holders, the Special Rapporteur visited South Africa (24 January-1 February 2011); Japan (23-31 March 2010); Senegal (17-21 August 2009); the United Kingdom of Great Britain and Northern Ireland (21-26 June 2009); Romania (15-20 June 2009); Guatemala (24-28 March 2008); Mexico (9-15 March 2008); the United States of America (30 April-18 May 2007); and Indonesia (21 December 2006-12 May 2006); and Guatemala (Republic of Korea) The Special Rapporteur received invitations from the Governments of Albania, Australia, Belarus and Greece. Bahrain, Canada, India, Malaysia, Mauritania, the Philippines, Spain and Thailand have not yet responded.",
"During the reporting period, the Special Rapporteur visited South Africa at the invitation of the Government of South Africa from 24 January to 1 February 2011. The Special Rapporteur recognizes the efforts made by the Government of South Africa to protect migrants, but points out in the visit report (A/HRC/17/33/Add.4) that a number of issues still need to be addressed. In particular, he noted the lack of clear and comprehensive immigration policies, the lack of information and statistics, the detention of foreigners, access to health services and the situation of foreign children unaccompanied by adults and made a number of recommendations.",
"Reports",
"The Special Rapporteur submitted six thematic reports to the Commission on Human Rights and the subsequent institutional Human Rights Council, [2] to the General Assembly four reports (before this document). [3] In his report to the Human Rights Council, the Special Rapporteur reviewed the following themes: the impact of a number of legal and administrative measures against migrants (A/HRC/4/24); the criminalization of irregular migration (A/HRC/7/12); the protection of children in the context of migration (A/HRC/11/7); and the main challenge of implementing the right to health and adequate housing of migrants (A/HRC/14/30).",
"The final report of the Special Rapporteur to the Human Rights Council at its seventeenth session in June 2011 (A/HRC/17/33) outlines concerns and findings relating to these themes. Finally, the Special Rapporteur expresses concern at the increasing intolerance of migrants and the vulnerability of migrants to potential racist or xenophobic violence, trafficking and smuggling, and is concerned that irregular migrants often fear seeking protection by the authorities, and therefore cannot obtain basic social rights. However, he stressed that migration could be an important factor in the development and prosperity of all countries of origin, transit and destination worldwide (ibid., para.",
"The Special Rapporteur's report to the General Assembly examined some of these themes more in depth, in particular the protection of children (A/64/213) and the criminalization of migration (A/65/222), and other areas considered to be of particular interest to the Assembly, such as the High-level Dialogue on International Migration and Development (A/61/324).",
"C. Communications",
"Between August 2005 and July 2011, the Special Rapporteur sent 162 letters to Governments concerning alleged violations of the human rights of migrants or sexual abuse of the human rights of migrants, 108 of which were allegations and 54 urgent appeals. The Special Rapporteur received 102 responses from Governments to these letters (63 per cent). Most letters (112) were sent jointly with other special procedures mandate holders. Specifically, the most common allegation letter (66) was sent in conjunction with the Special Rapporteur on trafficking in persons, especially women and children; the Special Rapporteur on violence against women and its causes and consequences; and the Special Rapporteur on the sale of children, child prostitution and child pornography. With regard to urgent appeals (46), joint letters were sent more frequently to the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment; the Working Group on Arbitrary Detention; and the Special Rapporteur on the independence of judges and lawyers.",
"During the reporting period, the Special Rapporteur sent 22 letters alleging violations of the rights of migrants and received 15 responses from the Governments concerned. An addendum to the final report of the Special Rapporteur to the Human Rights Council (A/HRC/17/33/Add.1), including a letter to Governments from 1 April 2010 to 15 March 2011, and an overview of the replies received from 11 May 2010 to 10 May 2011. The letters received will be submitted to the Human Rights Council for future sessions.",
"In a letter to Governments from April 2010 to May 2011, the Special Rapporteur expressed concern about a number of allegations of violations of the human rights of migrant workers, including: (a) arbitrary arrests, sexual violence, torture and other cruel, inhuman or degrading treatment or punishment; excessive use of force; (b) mass expulsion and forced return; (c) inadequate standards of living, including access to adequate food and housing; (d) the sale of children for economic exploitation; (e) killings by border authorities; (f) sexual exploitation and economic exploitation; and (g) denial of the right of migrant workers; and (i) the right to freedom of migrant workers, such as migrant workers; and (b) the right to pay for the right to education.",
"Other activities",
"During his mandate, the Special Rapporteur participated in a number of activities related to the protection and promotion of the rights of migrants, including those related to the Committee on the Protection and Protection of the Rights of All Migrant Workers and Members of Their Families, the Office of the United Nations High Commissioner for Human Rights and its Task Force on Migration, the International Organization for Migration and the World Health Organization.",
"In holding major conferences, including the annual session of the Global Forum on Migration and Development, the World Social Forum on Migration, the regional conference as part of the Durban Review Conference and the Fifth International Conference on Migration and Development, the Special Rapporteur provided information and reports on the reports of the mandate-related issues. In addition, the Special Rapporteur has engaged in training and other activities organized by academic institutions and civil society organizations in dialogue with regional organizations and forums.",
"During the reporting period, the Special Rapporteur participated with the Special Rapporteur on the sale of children, child prostitution and child pornography and the Special Rapporteur on contemporary forms of slavery, including its causes and consequences, in the section Viva América, held in Madrid, and in the International Conference on the Protection and Support of Children in Mobile, organized by the Global Child Movement, with the assistance of children and other organizations, in Barcelona, Spain, from 5 to 7 October 2010. On 8 and 9 November 2010, the Special Rapporteur also participated in the fourth Global Forum on Migration and Development, hosted by the Government of Mexico in Port Viliaa.",
"In fulfilment of his mandate, the Special Rapporteur has also issued several statements, either in conjunction with special procedures and other United Nations human rights mechanisms, to draw the attention of the international community to the important issues related to the human rights of migrants, including the joint statement of the International Migrant Day (18 December) issued jointly with the Chairman of the Committee on the Protection of the Rights of All Migrant Workers and Members of Their Families, calling for wider ratification of the Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families.",
"Main thematic issues reviewed by the Special Rapporteur",
"During his mandate, the Special Rapporteur has focused on three main thematic issues, namely, the criminalization of irregular migration, the protection of children in the context of migration and the right to health and adequate housing for migrants, which are summarized below. In general, the Special Rapporteur believes that the guiding principles of migration governance must be that at all stages of the migration process — in countries of origin, transit and destination or territory, to fulfil and protect the internationally recognized human rights of all migrants regardless of their immigration status (A/65/222, para.",
"The Special Rapporteur notes with deep concern the trend of increasing criminalization of irregular migration and notes the increasing abuse of illegal migrants throughout the course of migration. [4] Two measures adopted by States demonstrate this overall trend: migration control policies are criminalized in addition to labour migration. In order to curb irregular migration and to respond to national security issues, the diversion of border controls over countries of origin and transit through bilateral agreements that limit the migratory flows has exacerbated the trend towards the criminalization of violations of migration procedures rather than administrative error. States have also adopted a criminalized approach providing that irregular stay in the country is a criminal offence. The Special Rapporteur notes that these measures undermine the protection of the human rights of migrants, which are seen in particular in administrative detention at sea and/or in land, the outbreak of xenophobic abuse and violence in destination countries and the expansion of smuggling and trafficking. Although the Special Rapporteur recognizes the sovereign right of States to defend border and manage migration, it notes that these policies do not fully recognize the demand-driven nature of migration and fail to recognize the labour needs of the country and their harmful consequences for the entire migrant population and in the country's society. In order to assist States in the implementation of human rights-based migration policies, the Special Rapporteur has made practical recommendations for reforming regional and bilateral cooperation mechanisms and agreements, and has also provided good examples and other approaches to the criminalization of irregular migration.",
"The Special Rapporteur recalls the obligation of States to protect children's rights at all stages of the migration process and considers the specific protection needs and vulnerability of children in the context of migration. [5] The Special Rapporteur identifies three categories of children affected by migration: children left behind, children who are being migrated and migrant children in the country. The Special Rapporteur points out that it is difficult to measure the impact of migration on children left behind by migrant adults with care responsibilities, despite which the Special Rapporteur stresses that the State must promote family reunification and family reunification. Children who have crossed the border are often forced to become victims of the organized crime network in order to seek education or employment opportunities to migrate with their families or alone. These children, in particular unaccompanied or undocumented children, need special protection against sexual violence, expulsion and repatriation and unlawful and arbitrary deprivation of liberty. With regard to children in the country, the Special Rapporteur indicated that States needed to intensify their efforts in two areas: to protect those children from becoming parties to transnational organized crime and to ensure the full enjoyment of human rights by children in the context of migration. The main challenge for the protection of migrant children includes that national migration laws and policies do not specifically target children, do not distinguish between migrant adults and migrant children, and that the situation of girls and irregular migrant children is particularly unsafe. In order to assist States in addressing these and other related issues, the Special Rapporteur has made a number of recommendations for further consideration and action.",
"The third focus of the Special Rapporteur relates to the implementation of the right to health and adequate housing, as many migrants are increasingly taking immigration policies and measures that undermine the enjoyment of these rights. [6] The Special Rapporteur expresses concern at the prevalence of comprehensive policies and measures aimed at protecting the right to health and adequate housing of migrants, and notes that the lack of necessary support, such as language training and information on legal regulations, further hampers the enjoyment of these rights. With regard to the right to health, the Special Rapporteur is concerned about the vulnerability of migrants to health due to their low socio-economic status. The Special Rapporteur points out that the rights of migrants and access to health care vary widely. One extreme aspect is that non-nationals cannot access life-saving medicines because medical facilities are denied treatment because they are foreigners or have no national identity documents. The Special Rapporteur is of the view that domestic and foreign women are one of the most vulnerable migrant workers and reports that they are widely abused, sexually abused and psychologically abused. With regard to the right to adequate housing, the Special Rapporteur notes the alarming gap between international human rights standards and the prevailing situation in many parts of the world, in particular migrant women and children. In particular, discrimination often prevents migrants from entering private housing markets. In particular, in countries where irregular stay is a criminal offence, the situation of irregular migrants is particularly difficult. In his recommendations, the Special Rapporteur stressed that a basic principle was that States should fulfil their “minimum core obligations” to ensure that essential primary health care at the minimum level for all, within their purview, and basic shelter and housing needs were met.",
"In his last report to the Human Rights Council (A/HRC/17/33), the Special Rapporteur presented two themes considered important for future studies: migration and climate change and the political and civil rights of migrants. The Special Rapporteur points out that further discussions on these themes may require new approaches; and stresses that stakeholders in migration need a human rights perspective in global discussions.",
"Conclusion",
"In outlining the concerns and findings collected in the fulfilment of his mandate, the Special Rapporteur reiterates his concern about the increasing intolerance of migrants and the vulnerability of migrants to potential racist or xenophobic violence, trafficking and smuggling, and is concerned that irregular migrants often fear seeking protection by the authorities, and therefore cannot access basic social rights. The Special Rapporteur emphasizes that migration may be a necessary factor for the development and prosperity of all countries of origin, transit and destination worldwide. The Special Rapporteur is grateful to the Human Rights Council for having given him the very honour to have the opportunity to do so.",
"The new Special Rapporteur, François Crébo, will present an oral report to the General Assembly at its sixty-sixth session and will submit its first report to the Human Rights Council at its twelfth session in June 2012.",
"See www2.ohchr.org/english/issues/migration/rapporteur/index.htm.",
"[2] E/CN.4/2006/73 and Add.1 and 2; A/HRC/4/24 and Add.1-3; A/HRC/7/12 and Add.1 and 2; A/HRC/11/7 and Add.1 and Add.1/Corr.1 and Add.1 and Add.1/Corr.1 and Add.2 and 3; A/HRC/14/30 and Add.1-3; A/HRC/17/33 and Add.1-4.",
"[3] A/60/357, A/61/324, A/64/213 and Corr.1 and A/65/222.",
"[4] See A/65/222, A/HRC/7/12 and A/HRC/17/33.",
"[5] See A/HRC/11/17 and A/HRC/17/33.",
"[6] See A/HRC/14/30 and A/HRC/17/33."
] |
[
"第六十六届会议",
"临时议程^(*) 项目69(a)",
"^(*) A/66/150。",
"促进和保护人权：人权文书的 执行情况",
"《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约任择议定书》所设特别基金",
"秘书长的说明",
"摘要",
"本报告介绍了《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约任择议定书》所设特别基金的运转情况。",
"一. 导言",
"A. 递交报告",
"1. 本说明按照大会第65/205号决议核定的安排编写，大会在该决议中鼓励向《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约任择议定书》(任择议定书)所设特别基金捐款，并请秘书长提交关于特别基金运作情况的报告。",
"B． 特别基金的任务",
"2. 特别基金是根据《任择议定书》第26条设立的，目的是资助落实禁止酷刑委员会小组委员会在访问《任择议定书》缔约国之后提出的建议以及开展国家预防机制的教育方案。",
"3. 特别基金接收政府、政府间组织和非政府组织以及其他私营或公营实体的自愿捐款。",
"C. 特别基金的管理",
"4. 特别基金由联合国人权事务高级专员办事处(人权高专办)按照《联合国财务条例和细则》予以管理。将按大会要求提供支出情况资料。",
"二. 特别基金的财务状况",
"5. 编写本说明时，《任择议定书》所设特别基金已收到下列国家的捐款：捷克共和国20 271.52美元；马尔代夫82 266.30美元；西班牙5 000美元；大不列颠及北爱尔兰联合王国855 263.16美元。下表列出收到的捐款。",
"2008-2011年收到的捐款",
"(单位：美元)",
"捐助国 数额 收款日期 \n 捷克共和国 10 000.00 2009年11月16日 \n 捷克共和国 10 271.52 2010年12月27日 \n 马尔代夫 5 000.00 2008年5月27日 \n 西班牙 25 906.74 2008年12月16日 \n 西班牙 29 585.80 2009年11月10日 \n 西班牙 26 773.76 2010年12月29日 \n大不列颠及北爱尔兰联合王国\t855 263.16\t2011年6月20日",
"三. 捐款",
"6. 向基金提供的捐款一律应写明“受款人：《禁止酷刑公约任择议定书》所设特别基金，CH账户”。款项可以通过银行转账支付：(a) 美元：UNOG General Fund, Aaccount No. 485001802, J.P. Morgan Chase Bank, 270 Park Avenue, 43rd floor, New York, NY 10017, United States of America (Swift code: CHAS US 33；bank number:(ABA)code: 021000021)；(b) 欧元：United Nations Office at Geneva, account no. 6161600934, J.P. Morgan Chase AG, Grueneburgweg 2-60322 Frankfurt am Main, Germany(Swift code: CHAS DE FX, bank number: (BLZ) 50110800, IBAN: DE78 5011 0800 6161 6009 34)；(c) 英镑：United Nations at Geneva, account no. 23961903, J.P. Morgan Chase Bank, 25 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, bank number: 609242, IBAN: GB68 CHAS 6092 4223 9619 03)；(d) 瑞士法郎：United Nations Geneva General Fund, Aaccount no. 240-C0590160.0, UBS AG, rue du Rhône 8, case postale 2600, CH-1211 Geneva 2, Switzerland (Swift code: UBSW CH ZH 80A；bank number: 240；IBAN: CH92 0024 0240 CO59 0160 0)；(e) 其他货币：United Nations Geneva General Fund, account no. 240-C0590160.1, UBS AG, rue du Rhône 8, case postale 2600, CH-Geneva 1211 2, Switzerland (Swift code: UBSW CH ZH 80A；bank number: 240；IBAN: CH65 0024 0240 CO59 0160 1)；或者(f) 以支票支付给联合国，地址是：Trésorerie, Nations Unies, Palais des Nations, CH-1211 Geneva 10, witzerland。",
"7. 请捐助国在付款以后通知人权高专办捐助和对外关系科(附上一份银行转账通知复印件或支票复印件)，以便有效地追踪正式记录程序和编写秘书长的报告。",
"四. 结论和建议",
"8. 大力鼓励各国政府向特别基金捐款，以便为该基金提供履行任务所需的资源。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (a) of the provisional agenda*",
"Promotion and protection of human rights: implementation of human rights instruments",
"Special Fund established by the Optional Protocol to the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment",
"Note by the Secretary-General",
"Summary",
"The present report contains information on the operations of the Special Fund established by the Optional Protocol to the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment.",
"I. Introduction",
"A. Submission of the report",
"1. The present note was prepared in accordance with the arrangements approved by the General Assembly in its resolution 65/205, in which it encouraged contributions to the Special Fund established by the Optional Protocol to the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment and requested the Secretary-General to report on the operations of the Special Fund.",
"B. Mandate of the Special Fund",
"2. The Special Fund was established pursuant to article 26 of the Optional Protocol to help finance the implementation of the recommendations made by the Subcommittee on Prevention of Torture following a visit to a State Party to the Optional Protocol, as well as education programmes of national preventive mechanisms.",
"3. The Special Fund receives voluntary contributions from Governments, intergovernmental and non-governmental organizations and other private or public entities.",
"C. Management of the Special Fund",
"4. The Special Fund is administered by the Office of the High Commissioner for Human Rights (OHCHR) in accordance with the Financial Regulations and Rules of the United Nations. Information will be provided as requested by the General Assembly when expenditures have occurred.",
"II. Financial situation of the Special Fund",
"5. At the time of writing, the following contributions to the Special Fund established by the Optional Protocol had been received: $20,271.52 from the Czech Republic, $5,000 from the Maldives, $82,266.30 from Spain and $855,263.16 from the United Kingdom of Great Britain and Northern Ireland. The table below shows the contributions received.",
"Contributions received from 2008 to 2011",
"(In United States dollars)",
"Donors Amount Date of receipt",
"Czech Republic 10 000.00 16 November 2009",
"Czech Republic 10 271.52 27 December 2010",
"Maldives 5 000.00 27 May 2008",
"Spain 25 906.74 16 December 2008",
"Spain 29 585.80 10 November 2009",
"Spain 26 773.76 29 December 2010",
"United Kingdom of Great Britain and 855 263.16 20 June 2011 Northern Ireland",
"III. Making a contribution",
"6. Contributions to the Special Fund should always be marked “Payee: Special Fund established by the Optional Protocol to the Convention against Torture, account CH”. Payments may be made either by bank transfer (a) in United States dollars to UNOG General Fund, account No. 485001802, J.P. Morgan Chase Bank, 270 Park Avenue, 43rd floor, New York, NY 10017, United States of America (Swift code: CHAS US 33; bank number: (ABA) 021000021); (b) in euros to the United Nations Office at Geneva, account No. 6161600934, J.P. Morgan Chase AG, Grueneburgweg 2 — 60322 Frankfurt am Main, Germany (Swift code: CHAS DE FX, bank number: (BLZ) 50110800, IBAN: DE78 5011 0800 6161 6009 34); (c) in pounds sterling to the United Nations Office at Geneva, account No. 23961903, J.P. Morgan Chase Bank, 25 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, bank number: (SC) 609242, IBAN: GB68 CHAS 6092 4223 9619 03); (d) in Swiss francs to the United Nations Geneva General Fund, account No. 240-C0590160.0, UBS AG, rue du Rhône 8, case postale 2600, CH‑1211 Geneva 2, Switzerland (Swift code: UBSW CH ZH 80A, bank number: 240, IBAN: CH92 0024 0240 C059 0160 0); (e) in other currencies to the United Nations Geneva General Fund, account No. 240-C0590160.1, UBS AG, rue du Rhône 8, case postale 2600, CH-1211 Geneva 2, Switzerland (Swift code: UBSW CH ZH 80A, bank number: 240, IBAN: CH65 0024 0240 C059 0160 1); or (f) by cheque payable to the United Nations, addressed to Trésorerie, Nations Unies, Palais des Nations, CH-1211 Geneva 10, Switzerland.",
"7. Donors are requested to inform the Donor and External Relations Section of OHCHR when a payment has been made (including a copy of the bank transfer order or of the cheque) to facilitate effective follow-up on the official recording procedure and preparation of reports of the Secretary-General.",
"IV. Conclusions and recommendations",
"8. Governments are strongly encouraged to contribute to the Special Fund, in order to provide the Special Fund with the resources required to carry out its mandate."
] | A_66_259 | [
"Sixty-sixth session",
"Item 69 (a) of the provisional agenda",
"∗ A/63/250.",
"Promotion and protection of human rights: implementation of human rights instruments",
"Special Fund established under the Optional Protocol to the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment",
"Note by the Secretariat",
"Summary",
"The present report describes the operation of the Special Fund established under the Optional Protocol to the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment.",
"Introduction",
"Submission of reports",
"The present note is prepared in accordance with the arrangements approved by the General Assembly in its resolution 63/205, in which the Assembly encouraged contributions to the Special Fund established by the Optional Protocol to the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (Optional Protocol) and requested the Secretary-General to submit a report on the operation of the Special Fund.",
"Mandate of the Special Fund",
"The Special Fund was established in accordance with article 26 of the Optional Protocol to fund the implementation of the recommendations made by the Committee against Torture following its visit to States parties to the Optional Protocol and the education programmes for national preventive mechanisms.",
"The Special Fund receives voluntary contributions from Governments, intergovernmental organizations and non-governmental organizations and other private or public entities.",
"C. Management of the Special Fund",
"The Special Fund is administered by the Office of the United Nations High Commissioner for Human Rights (OHCHR) in accordance with the Financial Regulations and Rules of the United Nations. Information on expenditure will be requested by the General Assembly.",
"Financial situation of the Special Fund",
"In preparing the present note, the Special Fund established under the Optional Protocol had received contributions from the following countries: $20,271.52 in the Czech Republic; $282,266.30 in Maldives; $45,000 in Spain; and $855,263.16 in the United Kingdom of Great Britain and Northern Ireland. The contributions received are summarized in the table below.",
"Contributions received for 2008-2011",
"(In United States dollars)",
"The amount of donor countries, which was dated 16 November 2009 from Spain 29,585.80 of 16 December 2008, Spain 26,773.76 of 29 December 2010, United Kingdom of Great Britain and Northern Ireland, 855,263.66 of 20 June 2011",
"Contributions",
"Contributions to the Fund shall be made in all cases by “a recipient: special funds established under the Optional Protocol to the Convention against Torture, the CH accounts”. (a) UBS: US$ 212, Aaccount No. 485001802, J.P. Morgan Chase Bank, 270 Park Avenue, 43rd floor, New York, NY 10017 IUS (Swift codes: CHASUS 33; U.S.C.",
"Invites donor countries to inform the OHCHR Donors and External Relations Section (see annex to a bank transfer notification of photocopies or cheques) after the payment is made in order to effectively track the official records process and prepare the report of the Secretary-General.",
"Conclusions and recommendations",
"Strongly encourages Governments to contribute to the Special Fund in order to provide the Fund with the resources needed to carry out its mandate."
] |
[
"第六十六届会议",
"临时议程[1] 项目59",
"《给予殖民地国家和人民独立宣言》 的执行情况",
"西撒哈拉问题",
"秘书长的报告",
"摘要",
"本报告是根据大会第65/112号决议提交的，是秘书长向安全理事会提交的关于2010年7月1日至2011年6月30日期间西撒哈拉局势的报告的摘要。",
"1. 2010年12月10日，大会未经表决通过了关于西撒哈拉问题的第65/112号决议。本报告是根据该决议第7段提交的，所述期间为2010年7月1日至2011年6月30日。",
"2. 依照安全理事会第1920(2010)号决议，秘书长于2011年4月1日向安全理事会提交了关于西撒哈拉局势的报告(S/2011/249)。在该报告中，秘书长向安理会通报了他的个人特使推动西撒哈拉谈判的活动。他还提出了一些新想法，供双方考虑(同上，第120段)。",
"3. 2010年7月1日至2011年6月30日期间，我的个人特使就这一问题与双方、邻国及国际社会其他成员开展了大量活动。在此期间举行的五轮非正式会谈结束时，双方商定继续讨论影响谈判气氛的因素和双方感兴趣的具体议题。他们还重申并在某些情况下商定了先前关于建立信任措施的协议的实施步骤。在这五轮会谈过程中，他们还在礼貌、互让对话的基础上成功地进行了交流并承诺举行更多会议。然而，在西撒哈拉未来地位和西撒哈拉人民实现自决的方式等核心问题上，双方没有取得任何进展。双方继续坚持我的个人特使以前曾描述的“毫不退让且相互排斥的立场”。总之，他们继续表现出定期举行会议的政治意愿，但尚未表现出打破僵局的政治意愿。",
"4. 2010年6月21日至7月1日，我的个人特使访问了西撒哈拉之友小组三个成员国的首都——伦敦、巴黎和马德里，鼓励他们持续关注并继续支持谈判进程，并就如何最佳地指导谈判进程找到双方可接受的政治解决办法交换了意见。为同样目的，他于2010年7月16日在华盛顿特区、2010年9月12日至14日在莫斯科分别与高级官员进行了磋商。每到一地他都发现，这些官员认识到打破现状的必要性、愿意与他和双方努力推动更实质性的接触及进行更灵活的讨论，并赞同必须在建立信任措施方面加强工作，包括恢复空路探亲、早日启动陆路探亲和尽早考虑2004年联合国难民事务高级专员办事处(难民署)行动计划列举的其他建立信任措施。",
"5. 双方第三轮非正式会谈原定在2010年8月初举行。然而，7月波利萨里奥阵线代表团团长马赫福兹·阿里·贝巴突然去世，使得很难再按原计划举行会谈，双方认为，最好等到斋月(8月11日至9月10日)和大会高级别会议和一般性辩论之后再举行会谈。",
"6. 2010年9月中旬，难民署和我的个人特使再次要求恢复空路探亲，但双方对适当通知对方和其他问题存在的争议阻碍了探亲的恢复。",
"7. 2010年10月17日至26日，我的个人特使第四次访问该区域，与双方和邻国进行讨论，为第三轮非正式会谈铺路。像上次访问那样，他会晤了阿尔及利亚、毛里塔尼亚和摩洛哥的国家元首、波利萨里奥阵线秘书长及其他高级官员。所有人都重申致力于谈判进程，同时再次表明他们在西撒哈拉未来地位和西撒哈拉人民自决形式等核心问题上的红线。协商还为讨论人权和恐怖主义问题提供了机会。",
"8. 第四次访问时正遇到当地紧张局势加剧，阿尤恩的撒哈拉居民在城外搭建了营地，抗议包括失业在内的社会经济条件艰苦和感受到的歧视。",
"9. 2010年11月7日至10日在纽约长岛举行了第三轮非正式会谈。定于11月8日上午举行的开幕式，正赶上摩洛哥采取行动，拆除阿尤恩城外撒哈拉人的抗议营地和随后在阿尤恩城市中发生的对抗。随之而来的紧张局势差点使谈判脱轨，波利萨里奥阵线代表团对摩洛哥行动的动机和时机以及在暴力升级的同时继续谈判的效用提出了质疑。我的个人特使作出了重大努力，才举行了开幕式。在整个会谈期间，波利萨里奥阵线和摩洛哥一再相互指责对方在西撒哈拉和在廷杜夫地区的难民营加剧紧张局势和侵犯人权。",
"10. 第一次会议专门讨论了双方在2007年4月提出的两项提议(见S/2007/206和S/2007/210)，这成了随后几轮会谈的模式。讨论结束时，显然同过去一样，任何一方都不同意把另一方的提议作为未来谈判的唯一基础。在持续僵局的情况下，为推动建设性接触，我的个人特使向双方提议，他们应认真考虑在今后几轮谈判中如何创造新的活力，思考以创新方式推动谈判进程，并确定不论西撒哈拉的最终地位如何均可讨论的议题。其目标是让双方分解他们的提议、找到可为审议核心问题添砖加瓦的讨论议题并促使双方逐步建立信任和信心。他们同意将这种方式纳入今后几轮会谈；在这样做时，双方寻求并获得保证，这种方式并不表示双方放弃各自的提议，相反它是解决核心问题的一种补充方式。",
"11. 关于建立信任措施的会议，我的个人特使寻求并争取到邻国阿尔及利亚和毛里塔尼亚代表团首次积极参与讨论，从而使他们为整个谈判进程做出了更大贡献。同时这两个邻国坚持认为，核心问题必须完全由摩洛哥和波利萨里奥阵线解决。我的个人特使强调，目前和将来的建立信任措施是人道主义性质的，不得受政治考虑因素的制约。为此，他要求立即无条件地恢复空路探亲，双方也都表示同意。为全面审查目前和提议的建立信任措施，我的个人特使还提议2011年2月初双方和邻国代表团在日内瓦与难民署举行有他出席的会议，各方一致同意。",
"12. 2010年12月16日至18日在第三轮会谈的同一地点举行了第四轮非正式会谈。会谈中双方再次提出2007年4月的提议，但每一方都再次继续拒绝将另一方的提议作为今后谈判的唯一基础。按照上一轮会谈商定的意见，并在我的个人特使的协助下，双方初步讨论了创新方式和要讨论的议题。不过，会谈气氛再次受到阿尤恩事件后果的影响，每一方都指责对方侵犯人权并质疑对方寻求冲突解决办法的政治意愿。我的个人特使在这一轮会谈结束时呼吁双方2011年在定期会议的基础上创造新的活力，避免采取不利于创造取得进展所需信任气氛的行动。",
"13. 2011年1月21日至23日在前两轮会谈的同一地点举行了第五轮非正式会谈。双方再次继续拒绝把对方的提议作为今后谈判的唯一基础。按照上轮会谈商定的意见，我的个人特使请双方继续探讨创新方式和讨论议题。双方提出了10多个具体创新方式和约10个讨论议题。其中大部分的表述都是服务于一方或另一方的计划，结果，除了让我的个人特使加强活动和实现活动多样化的“创新方式”之外，双方无法在任何提议上达成共识。为了下一轮会谈取得更大进展，我的个人特使请双方编写一份有关创新方式和讨论议题的修订清单，撇开最有争议的内容并尽可能以双方都能同意的方式重新提出其他问题。",
"14. 按照第三轮非正式会谈商定的意见，2011年2月9日和10日双方和邻国代表团在日内瓦会见了难民署代表，我的个人特使和我的西撒哈拉问题特别代表兼西撒特派团团长在场。双方和邻国在会谈期间重申支持适当执行关于建立信任措施的2004年难民署行动计划以及在2011年4月部署难民署技术特派团，以便为实现陆路探亲尽可能创造最有利条件。各方还商定每6个月在日内瓦与难民署会晤一次，跟踪建立信任措施的执行情况。",
"15. 2011年3月7日至9日在马耳他梅利莱举行了第六轮非正式会谈，马耳他政府提供了后勤援助。我的个人特使在会谈开幕式上请双方和邻国的代表团认真考虑席卷中东和北非的抗议浪潮对西撒哈拉问题谈判进程的影响，并建议双方不妨认真着手谈判，以尽量减少抗议浪潮对所在次区域的威胁，而邻国可以为谈判进程提供更多援助。",
"16. 为了把2007年4月的两项提议作为开幕式的重点，我的个人特使请双方代表团从2009年8月9日和10日在奥地利迪恩斯泰举行的第一轮非正式会谈开始，总结一方向另一方提出的关于这两项提议的各种问题。",
"17. 波利萨里奥阵线代表团回顾了它过去提出的同摩洛哥提议实质内容有关的问题。在过去几轮会谈中，摩洛哥代表团一直回避充分答复这些问题，声称它们完全是在波利萨里奥阵线关于全民投票的提议的框架内提出的，其中把独立作为一种选择。不过，摩洛哥代表团这次进行了回答，澄清了其提议的许多方面内容。",
"18. 摩洛哥代表团就波利萨里奥阵线的提议提出了意见和问题。这些问题主要涉及该提议的起因和时机、它似乎受到我的前任个人特使詹姆斯·贝克提出的前一个和平计划的启发而且未包括关于自治选择的任何讨论等。不过，对于一旦独立后与摩洛哥关系的参数的那部分提议，摩洛哥代表团并没有提出任何问题。波利萨里奥阵线代表团未回答所提出的大多数问题，声称这些问题不合时宜、无视波利萨里奥阵线提议的实质内容并试图指责该阵线未提及自治选择。",
"19. 在关于创新谈判方式和今后会议要详细审查的具体讨论议题的会议上，双方就前几轮会谈提出的各项提议广泛交流了意见。关于要讨论的议题，双方商定审查两项提议：排雷方案和西撒哈拉自然资源及其使用。关于创新谈判方式，双方最后商定审查3项议题：挑衅的构成和避免挑衅的方式、平息局势可采取的措施以及我的个人特使可开展的多元和互补活动。在长时间地交换意见并突显出双方对任何最终讨论的参数和时机存在根本分歧之后，波利萨里奥阵线代表团在前几轮会谈中提出并被摩洛哥代表团在这一轮接受的人权问题应波利萨里奥阵线代表团的请求被撤回。",
"20. 2011年6月5日至7日在纽约长岛举行了第七轮非正式会谈。会议目的是审查安全理事会第1979(2011)号决议提供的指导并鼓励双方进一步讨论他们提出的两项提议，包括更多探讨创新方式及讨论议题，关注本人2011年4月1日报告(S/2011/249)第120段提出的想法，以及就第1979(2011)号决议交流意见。与之前的非正式会谈一样，双方讨论了这两项提议。会议结束时，显然又是每一方都不准备接受另一方的提议。但双方首次就撒哈拉人的自决机制进行了交流。双方还开始讨论排雷问题，并请求联合国秘书处提供援助，提出关于今后就自然资源问题进行交流的框架供研究。关于建立信任措施，双方和邻国重申支持落实陆路探亲，并由难民署于2011年9月在葡萄牙马德拉组织一个讲习班，并在今年晚些时候与难民署开展一个为期6个月的审查会议。关于下次非正式会谈，双方商定无论最终的解决办法如何，都将提出关于领土治理具体方面的提议，以便讨论。",
"21. 迄今达成的协议，特别是有关今后讨论议题的协议，为今后会议提供了一个相当大的议程。然而，这在很大程度上将取决于双方在着手讨论这些议题时的动机和精神。虽然双方都强调完全致力于寻求解决办法，但双方完全缺乏信任的情况继续阻扰谈判进程，而且每一方都对另一方深疑不信。摩洛哥代表团表示关切的是，波利萨里奥阵线企图使会谈倒退到我的前任个人特使詹姆斯·贝克的上一个和平计划上，而不是接受摩洛哥的自治提议，并企图向国际社会提出这样的结论，即在西撒哈拉未来地位和行使自决权等核心问题上没有取得重大进展。",
"22. 波利萨里奥阵线代表团表示关切的是，摩洛哥在利用探讨创新方式和具体讨论议题的机会，转移会谈审议2007年4月提议的大方向，并向国际社会展示会谈似乎取得进展的表象。",
"23. 双方商定于2011年7月19日至21日再举行一轮非正式会谈，再次审查2007年4月的提议并讨论一个或多个创新方式或具体议题。此外，双方原则上同意定期举行更多轮非正式会谈，直到取得足够进展后再举行一轮正式谈判。随着这一进程的展开，双方将有大量的机会确认其意图，表明其不仅有继续会晤的政治意愿，而且有进行真正谈判的政治意愿，并且更多地共同自主掌握谈判进程。就像过去一样，这些更频繁的会议也将给双方和邻国提供非正式机会，可以就共同关心的重大区域和双边问题交换意见和澄清立场。",
"[1] ^(∗) A/66/150。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 59 of the provisional agenda*",
"Implementation of the Declaration on the Granting of Independence to Colonial Countries and Peoples",
"Question of Western Sahara",
"Report of the Secretary-General",
"Summary",
"The present report, submitted pursuant to General Assembly resolution 65/112, summarizes the report submitted by the Secretary-General to the Security Council on the situation concerning Western Sahara in the period from 1 July 2010 to 30 June 2011.",
"1. On 10 December 2010, the General Assembly adopted, without a vote, resolution 65/112 on the question of Western Sahara. The present report, covering the period from 1 July 2010 to 30 June 2011, is submitted in accordance with paragraph 7 of that resolution.",
"2. Pursuant to Security Council resolution 1920 (2010), the Secretary-General submitted a report dated 1 April 2011 (S/2011/249) to the Security Council on the situation concerning Western Sahara. In that report, the Secretary-General informed the Council of the activities of his Personal Envoy to promote negotiations on Western Sahara. He also included some new ideas for the parties’ consideration (ibid., para. 120).",
"3. The period from 1 July 2010 to 30 June 2011 was one of intensified activity on this item with the parties and neighbouring States, as well as with other members of the international community. By the end of the five rounds of informal talks held during this time frame, the parties had agreed to future discussion of factors affecting the negotiating atmosphere, as well as of specific subjects of mutual interest, and had reaffirmed, and in some cases agreed to steps to implement, prior agreements on confidence-building measures. They also succeeded in conducting their exchanges throughout the five rounds on the basis of a respectful give-and-take dialogue and committed themselves to meeting more frequently. However, on the core issues of the future status of Western Sahara and the means by which the self‑determination of the people of Western Sahara is to occur, no progress was registered. The parties continued to adhere to what the Personal Envoy has previously characterized as “unyielding adherence to mutually exclusive positions”. In short, they continued to demonstrate the political will to meet at regular intervals, but have yet to demonstrate the political will to break the stalemate.",
"4. From 21 June to 1 July 2010, the Personal Envoy visited the capitals of three States members of the Group of Friends of Western Sahara — London, Paris and Madrid — to encourage their sustained interest in and continued support of the negotiating process and to exchange views on how best to steer that process towards a mutually acceptable political solution. To the same end, he consulted with senior officials in Washington, D.C., on 16 July 2010 and in Moscow from 12 to 14 September 2010. Everywhere, he found recognition of the need to move beyond the status quo, a readiness to work with him and the parties to promote more substantive engagement and more flexible discussions, and agreement on the need to intensify work on confidence-building measures, including the resumption of family visits by air, the early inauguration of family visits by road and early consideration of other confidence-building measures contained in the 2004 plan of action of the Office of the United Nations High Commissioner for Refugees (UNHCR).",
"5. A third round of informal talks between the parties was to have taken place in early August 2010. However, the sudden death in July of Mahfoud Ali Beiba, the head of the delegation of the Frente Polisario, made it difficult to maintain this schedule, and the parties concurred that it was best to wait until after Ramadan (11 August to 10 September) and the high-level meetings and general debate of the General Assembly to meet again.",
"6. In mid-September 2010, UNHCR and the Personal Envoy again attempted to resume family visits by air, but a dispute over proper notification to the parties and other issues prevented their resumption.",
"7. The Personal Envoy undertook a fourth visit to the region from 17 to 26 October 2010 to prepare the way for a third round of informal talks by holding discussions with the parties and neighbouring States. As on his previous visit, he met with the Heads of State of Algeria, Mauritania and Morocco, with the Secretary-General of the Frente Polisario and other senior officials. All reiterated their commitment to the negotiating process, while at the same time restating their red lines on the core issues of the future status of Western Sahara and the form of self‑determination of its people. His consultations also provided an opportunity to discuss human rights and terrorism.",
"8. That fourth visit coincided with increased tensions arising from the action by Saharan residents of Laayoune to establish an encampment outside that city to protest difficult socio-economic conditions, including unemployment and perceived discrimination.",
"9. The third round of informal talks was held from 7 to 10 November 2010 on Long Island, New York. The opening session, scheduled for the morning of 8 November, coincided with Moroccan action to dismantle the Saharan protest encampment outside Laayoune and subsequent confrontations within the city. The ensuing tensions threatened to derail the talks, inasmuch as the delegation of the Frente Polisario questioned the motives and timing of the Moroccan action and the utility of proceeding with talks as violence escalated. It took a significant effort by my Personal Envoy to convene the opening session, and throughout the round the Frente Polisario and Morocco accused each other repeatedly of escalating tensions and engaging in human rights violations in Western Sahara and in the refugee camps in the Tindouf area.",
"10. As became the pattern in succeeding rounds, the first session was devoted to the two proposals that the parties had presented in April 2007 (see S/2007/206 and S/2007/210). By the end of this discussion, it was clear that, as in the past, neither party accepted the proposal of the other as the sole basis of future negotiations. To foster constructive engagement despite the continuing impasse, the Personal Envoy proposed to the parties that they reflect on how to create a new dynamic at future rounds by pondering innovative approaches for the negotiating process and identifying subjects that could be discussed irrespective of the final status of Western Sahara. The goal was to get the parties to deconstruct their proposals, find subjects to be discussed as building blocks towards the consideration of the core issues, and foster the gradual emergence of trust and confidence. They agreed to incorporate this approach into future rounds; in so doing, the parties sought and received assurances that such an approach did not constitute an abandonment of their respective proposals, but was instead a supplementary way of approaching the core issues.",
"11. For the session on confidence-building measures, the Personal Envoy sought and obtained the active participation of the delegations of the neighbouring States, Algeria and Mauritania, in the discussions for the first time, thus deepening their contribution to the overall negotiating process. At the same time, the two neighbouring States maintained their insistence that the core issues must be addressed solely by Morocco and the Frente Polisario. The Personal Envoy stressed that present and future confidence-building measures were humanitarian in nature and must not be subjected to political considerations. This being so, he asked that family visits by air resume unconditionally and without delay, and the parties agreed. To permit a full review of current and proposed confidence-building measures, the Personal Envoy also proposed that delegations from the parties and the neighbouring States meet, in his presence, with UNHCR in Geneva in early February 2011, and all agreed.",
"12. The fourth round of informal talks was held from 16 to 18 December 2010 at the same venue as the third. The April 2007 proposals of the parties were again presented, and again each party continued to reject the proposal of the other as the sole basis for future negotiations. As agreed at the previous round, and with the assistance of my Personal Envoy, the parties engaged in preliminary discussions on innovative approaches and on subjects to be discussed. However, the atmosphere was again affected by the aftermath of the events in Laayoune, with each party accusing the other of human rights violations and questioning the other’s political will to find a solution to the conflict. At the end of the round, the Personal Envoy called upon the parties to create a new dynamic in 2011 on the basis of regular meetings and to avoid actions that undermined the creation of the atmosphere of trust needed for progress to be made.",
"13. The fifth round of informal talks was held from 21 to 23 January 2011 at the same venue as the two previous rounds. Again, the parties continued to reject each other’s proposals as the sole basis of future negotiations. As agreed at the previous round, the Personal Envoy invited the parties to continue their exploration of innovative approaches and subjects for discussion. The parties responded by making concrete proposals for over a dozen innovative approaches and some 10 subjects for discussion. Most of these were couched in terms that served the agenda of one or another of the parties, and, as a result, the parties were unable to reach a consensus on any of them other than the “innovative approach” of having the Personal Envoy intensify and diversify his activities. To achieve more progress at the next round, the Personal Envoy asked the parties to prepare a revised list of innovative approaches and subjects for discussion, putting aside the most controversial elements and, where possible, recasting others in terms to which both parties could agree.",
"14. As agreed at the third round of informal talks, delegations from the parties and neighbouring States met with representatives of UNHCR in the presence of the Personal Envoy and my Special Representative for Western Sahara and Head of MINURSO on 9 and 10 February 2011 in Geneva. During that meeting, the parties and neighbouring States reiterated their support for the proper implementation of the 2004 plan of action of UNHCR on confidence-building measures, as well as for the UNHCR technical mission to be deployed in April 2011, to create the most favourable conditions possible for the implementation of family visits by land. They also agreed to meet every six months with UNHCR in Geneva to follow up on the implementation of the confidence-building measures.",
"15. The sixth round of informal talks was held from 7 to 9 March 2011 in Mellieha, Malta, with logistical assistance from the Government of Malta. In opening this round, the Personal Envoy asked the delegations of the parties and of the neighbouring States to reflect on the implications for the Western Saharan negotiating process of the protest movements sweeping across the Middle East and North Africa and suggested that, to minimize the dangers to their own subregion, the parties would do well to begin negotiating seriously, while the neighbouring States could lend greater assistance to the process.",
"16. To focus the opening session on the two proposals of April 2007, the Personal Envoy asked the delegations of the parties to summarize the various questions that each had asked of the other with regard to the two proposals, beginning with the first round of informal talks held in Dürnstein, Austria, on 9 and 10 August 2009.",
"17. The delegation of the Frente Polisario reviewed the questions it had asked on substantive aspects of the Moroccan proposal. In previous rounds, the delegation of Morocco had refrained from fully replying to those questions, arguing that they were being posed solely in the framework of the proposal of the Frente Polisario for a referendum that included independence as an option. On this occasion, the delegation of Morocco did provide answers that clarified many aspects of its proposal.",
"18. The delegation of Morocco, for its part, put forward observations and questions on the proposal of the Frente Polisario. These dealt largely with the origins and timing of that proposal, the fact that it seemed to have been inspired by the last peace plan put forward by the former Personal Envoy, James Baker, and its omission of any discussion of the option of autonomy. No questions were asked on that portion of the proposal that described the parameters for relations with Morocco in the event of independence. The delegation of the Frente Polisario refrained from answering most of the questions posed, arguing that they were out of place, ignored the essence of its proposal and sought to blame it for not addressing the option of autonomy.",
"19. At the session on innovative negotiating approaches and specific subjects for discussion to be examined in detail at future meetings, the parties engaged in extensive exchanges on the various proposals put forward in the course of previous rounds. With regard to subjects to be discussed, the parties agreed to examine two proposals: the demining programme and the natural resources of Western Sahara and their use. With regard to innovative negotiating approaches, the parties finally agreed to examine three subjects: what constitutes provocation and how to avoid it, what measures can be taken to calm the situation, and what diversified and complementary forms of activity the Personal Envoy can undertake. After lengthy exchanges that highlighted fundamental differences between the parties as to the parameters and timing of any eventual discussion, the issue of human rights, proposed by the delegation of the Frente Polisario at previous rounds and embraced by the delegation of Morocco at this round, was withdrawn at the request of the delegation of the Frente Polisario.",
"20. The seventh round of informal talks was held on Long Island, New York, from 5 to 7 June 2011. The purpose of the meeting was to review the guidance provided in Security Council resolution 1979 (2011) and to encourage the parties to deepen their discussion of their two proposals, including by expanding their exploration of innovative approaches and topics for discussion and devoting attention to the ideas in paragraph 120 of my report of 1 April 2011 (S/2011/249), and exchanging views on resolution 1979 (2011). As in previous informal meetings, the parties discussed the two proposals. At the end of the meeting, it was once again clear that neither party was prepared to accept the proposal of the other. However, for the first time, the parties engaged in exchanges on the mechanism for self‑determination of the Sahrawi people. They also began discussing demining and asked for the assistance of the United Nations Secretariat in proposing a framework for reflection for future exchanges on natural resources. Regarding confidence-building measures, the parties and the neighbouring States reiterated their support for the implementation of family visits by road, as well as for a workshop to be organized by UNHCR in Madeira, Portugal, in September 2011 and a six-month review meeting with UNHCR later in the year. For the next informal meeting, the parties agreed to propose for discussion specific aspects of governance of the Territory regardless of the final solution.",
"21. The agreements reached to date, particularly those with regard to subjects for future discussion, provide a considerable agenda for future meetings. However, much will depend on the motivations and spirit of the parties as they proceed to engage on them. While both emphasize their full commitment to the search for a solution, a total lack of trust continues to haunt the negotiating process, and each party harbours deep suspicions of the other. The delegation of Morocco, for its part, has expressed concern that the Frente Polisario is attempting both to steer the talks back to the last peace plan of the former Personal Envoy, James Baker, instead of embracing Morocco’s proposal for autonomy, and to present the international community with the conclusion that no significant progress has been made on the core issues of the future status of Western Sahara and the exercise of self‑determination.",
"22. The delegation of the Frente Polisario has voiced concern that Morocco is exploiting the exploration of innovative approaches and specific subjects for discussion both to divert the talks from examination of the proposals of April 2007 and to present the international community with the appearance of progress.",
"23. The parties have agreed to hold another round of informal talks from 19 to 21 July 2011 to examine the proposals of April 2007 yet again and to discuss one or more of the innovative approaches or specific subjects. In addition, the parties have agreed in principle to hold further rounds regularly until enough progress has been made to convene a round of formal negotiations. As this process unfolds, ample opportunities will exist for the parties to confirm their intentions, demonstrate the political will not only to continue meeting, but also to engage in genuine negotiations and to accept greater shared ownership of the negotiating process. These more frequent meetings will also give the parties and the neighbouring States, as they have in the past, informal opportunities to exchange views and clarify positions on important regional and bilateral issues of common interest."
] | A_66_260 | [
"Sixty-sixth session",
"Item 59 of the provisional agenda",
"Implementation of the Declaration on the Granting of Independence to Colonial Countries and Peoples",
"Question of Western Sahara",
"Report of the Secretary-General",
"Summary",
"The present report is submitted pursuant to General Assembly resolution 63/212 and is a summary of the report of the Secretary-General to the Security Council on the situation in Western Sahara for the period from 1 July 2010 to 30 June 2011.",
"On 10 December 2010, the General Assembly adopted, without a vote, resolution 63/212 on the question of Western Sahara. The present report is submitted pursuant to paragraph 7 of the resolution and covers the period from 1 July 2010 to 30 June 2011.",
"Pursuant to Security Council resolution 1920 (2010), the Secretary-General submitted a report on the situation in Western Sahara to the Security Council on 1 April 2011 (Speak 249). In that report, the Secretary-General briefed the Council on his Personal Envoy's activities to facilitate the negotiation of Western Sahara. He also raised new ideas for consideration by the parties (ibid., para.",
"During the period from 1 July 2010 to 30 June 2011, my Personal Envoy undertook a large number of activities with both parties, neighbouring countries and other members of the international community on this issue. At the end of the five rounds of informal talks held during this period, the parties agreed to continue to discuss factors affecting the atmosphere of negotiations and specific topics of interest to both parties. They also reiterated and, in some cases, agreed on steps to implement previous agreements on confidence-building measures. In the course of these five rounds of talks, they have also successfully exchanged and committed themselves to holding more meetings on the basis of a cereal and interactive dialogue. However, there has been no progress on the core issues such as the future status of Western Sahara and the way the people of Western Sahara can achieve self-determination. Both parties continue to adhere to the “without releasing and mutually exclusive position” as described earlier by my Personal Envoy. In summary, they continue to show political will to meet on a regular basis, but they have not shown political will to break the stalemate.",
"From 21 June to 1 July 2010, my Personal Envoy visited the capitals of the three member States of the Group of Western Sahara — London, Paris and Madrid, encouraging them to continue to pay attention and support to the negotiating process and to exchange views on how best to guide the negotiation process in finding mutually acceptable political solutions. For the same purpose, he held consultations with senior officials in Washington, D.C., on 16 July 2010, and in Moscow from 12 to 14 September 2010. At all times, he has found that these officials recognize the need to break the status quo, are willing to work with him and the parties to promote more substantive contacts and more flexible discussions, and agree on the need to strengthen their work in confidence-building measures, including the resumption of air access visits, early launch of land visitors and, as early as possible, consider other confidence-building measures outlined in the 2004 Action Plan of the Office of the United Nations High Commissioner for Refugees (UNHCR).",
"The third round of informal talks between the parties was scheduled to take place in early August 2010. However, the sudden death of the Head of State of the Frente Polisario in July, Mahfus Ali Bebba, makes it difficult to hold talks on the basis of the original plan, in the view of the parties that it would be desirable to hold talks until Ramadan (11 August to 10 September) and after the high-level and general debate of the General Assembly.",
"In mid-September 2010, UNHCR and my Personal Envoy reiterated their request for the resumption of air travel visits, but the dispute between the parties regarding the proper notification of the parties and other issues hindered the return of their relatives.",
"From 17 to 26 October 2010, my Personal Envoy visited the region for discussion with both parties and neighbouring countries to pave the way for the third round of informal talks. As was the last visit, he met with the Head of State of Algeria, Mauritania and Morocco, the Secretary-General of the Frente Polisario and other senior officials. All reaffirmed their commitment to the process of negotiations, while again demonstrating the dividends of their core issues, such as the future status of Western Sahara and the self-determination of the people of Western Sahara. The consultations also provided an opportunity to discuss human rights and terrorism.",
"During the fourth visit, there was an increase in local tensions, with the sub-Saharan population of Aayoune having erected camps outside the city to protest the hardship and discrimination of socio-economic conditions, including unemployment.",
"The third round of informal talks was held in New York from 7 to 10 November 2010. The opening session will be held on 8 November, with the action taken by Morocco to dismantle the camps for protests by the Sahrawi people in the city of Aayoune and subsequent confrontations in the city of Aayoune. The ensuing gap in tension brought the negotiations into line, and the Frente Polisario questioned the motivation and timing of the Moroccan operation and the utility of continuing negotiations in parallel with the escalation of violence. My Personal Envoy has made significant efforts to open the door. Throughout the talks, the Frente Polisario and Morocco have repeatedly accused each other of increasing tensions and human rights violations in the camps in Western Sahara and in the Tindouf region.",
"The first meeting was devoted to two proposals made by the parties in April 2007 (see S/2007/206 and S/2007/210), which served as a model for subsequent rounds of talks. At the conclusion of the discussion, it is clear that, as in the past, any party disagreed with the proposal of the other party as the only basis for future negotiations. In order to facilitate constructive engagement, my Personal Envoy has proposed to both parties that they seriously consider how to create new vibrant in future rounds of negotiations to reflect innovative ways to advance the process of negotiations and identify the topics to be discussed irrespective of the final status of Western Sahara. Its objective is to separate the parties from their proposals, to find a discussion that could add bricka to the consideration of core issues and to promote confidence- and confidence-building. They agreed to incorporate this approach into future rounds of talks; in doing so, the parties sought and secured assurances that it did not indicate that the parties had renounced their proposals and that it was a complementary way to address core issues.",
"With regard to the conference on confidence-building measures, my Personal Envoy sought and sought the active participation of the delegations of Algeria and Mauritania in neighbouring countries for the first time, thereby making their contribution to the entire process of negotiations. At the same time, the two neighbouring countries insist that the core issue must be addressed exclusively by Morocco and the Frente Polisario. My Personal Envoy emphasizes that current and future confidence-building measures are humanitarian and cannot be subject to political considerations. To that end, he called for the immediate and unconditional resumption of air travel visits and the consent of both parties. In order to conduct a comprehensive review of current and proposed confidence-building measures, my Personal Envoy also proposes that the delegations of both parties and neighbouring countries, in early February 2011, meet with UNHCR in Geneva, agreeing unanimously.",
"The fourth round of informal talks was held at the same location of the third round of talks from 16 to 18 December 2010. While the parties had once again proposed in April 2007, each party had once again refused to use the other proposal as the only basis for future negotiations. In accordance with the views agreed at the previous round, and with the assistance of my Personal Envoy, the parties discussed innovative approaches and topics to be discussed in a preliminary manner. However, the climate of talks was once again affected by the consequences of the Aayoune incident, and each party blamed on human rights abuses by other parties and questioned the political will to seek solutions to conflicts. My Personal Envoy, at the conclusion of this round of talks, called on the parties to create new vibrant, based on regular meetings in 2011, and to refrain from actions that are not conducive to creating a climate of trust required for progress.",
"The fifth informal talks were held at the same location of the first two rounds of talks from 21 to 23 January 2011. The parties once again continue to reject the proposal of the parties as the only basis for future negotiations. In accordance with the views agreed at the previous round of talks, my Personal Envoy requested the parties to continue to explore innovative approaches and discuss topics. More than 10 specific innovative approaches and some 10 discussion topics were raised by both sides. Most of the expressions were intended to serve either party or another party, and the result was that, in addition to the “innovative approach” which my Personal Envoy strengthened activities and diversifyed activities, the parties could not reach consensus on any proposal. In order to achieve greater progress in the next round of talks, my Personal Envoy requested the parties to prepare a revised list of innovative ways and topics for discussion, to address the most controversial elements and, to the extent possible, to resubmit other issues in a mutually agreed manner.",
"In accordance with the views agreed at the third round of informal talks, the delegations of both parties and neighbouring countries met with UNHCR representatives in Geneva on 9 and 10 February 2011, and my Personal Envoy and Head of MINURSO were present. During the talks, both parties and neighbouring countries reaffirmed their support for the appropriate implementation of the 2004 UNHCR Action Plan on confidence-building measures and the deployment of UNHCR technical missions in April 2011 to create the most favourable conditions for land-based visits. The parties also agreed to meet with UNHCR every six months in Geneva to follow up on the implementation of confidence-building measures.",
"The Government of Malta provided logistical assistance during the sixth round of informal talks held in Mélié, Malta, from 7 to 9 March 2011. At the opening of the talks, my Personal Envoy invited the delegations of both parties and neighbouring countries to give serious consideration to the impact of the protest waves in the Middle East and North Africa on the negotiation process on the question of Western Sahara, and recommended that the parties should proceed carefully to the negotiations in order to minimize the threat posed by the wave of protests to the subregion and that neighbouring countries could provide more assistance to the negotiating process.",
"In order to focus the two proposals in April 2007 on the opening of the opening ceremony, my Personal Envoy requested the delegations of both sides to begin the first informal round of talks held in Dubai, Austria, on 9 and 10 August 2009 to take stock of the issues raised by one side to the other.",
"The delegation of the Frente Polisario recalled its previous questions relating to the proposed substantive content of Morocco. In the past few rounds of talks, the delegation of Morocco has consistently avoided the full response to these issues, stating that they are fully raised within the framework of the Frente Polisario proposal for the referendum, which makes independence an option. However, the delegation of Morocco responded to clarifying the many aspects of its proposal.",
"The delegation of Morocco made comments and questions on the proposal of the Frente Polisario. These issues relate mainly to the origins and timing of the proposal, which appears to be inspired by the previous peace plan proposed by my former Personal Envoy, James Beck, and do not include any discussion on the option of self-government. However, the delegation of Morocco did not raise any question with regard to the proposal of that part of the parameters associated with Morocco after independence. The delegation of the Frente Polisario did not respond to most of the questions raised, stating that they were inappropriate, disregarding the substance of the Frente Polisario proposal and trying to accuse the Front of the option of self-government.",
"At meetings on innovative modalities for negotiations and specific topics to be examined in detail at future meetings, the parties shared their views on the proposals made at previous rounds. On the subject to discussion, the parties agreed to review two proposals: demining programmes and natural resources of Western Sahara and their use. With regard to innovative methods of negotiations, the parties finally agreed to review three topics: the composition of provocation and the manner in which provocation was avoided, the measures that could be taken in the calm situation and the plurality and complementarity that my Personal Envoy could undertake. After lengthy exchange of views and highlighting the fundamental differences between the parties with regard to the parameters and timing of any final discussion, the delegation of the Frente Polisario (Frente d'Ivoire), in previous rounds, had submitted and was withdrawn by the delegation of Morocco at the request of the Frente Polisario delegation.",
"The seventh round of informal talks was held from 5 to 7 June 2011 in New York. The purpose of the meeting was to review the guidance provided by the Security Council in its resolution 1979 (2011) and to encourage the parties to further discuss the two proposals made by them, including more innovative approaches and discussion topics, to focus on the ideas presented in paragraph 120 of their report of 1 April 2011 (Speak 249) and to exchange views on resolution 1979 (2011). Like previous informal talks, both sides discussed the two proposals. At the end of the meeting, it is clear that each party is not ready to accept the proposal of the other party. However, for the first time, the parties exchanged information on the mechanism of self-determination of the Saharawi people. Both parties also started discussions on demining and requested the United Nations Secretariat to provide assistance for research on a framework for future exchanges on natural resources. With regard to confidence-building measures, both parties and neighbouring countries reaffirmed their support for the implementation of land-based visits and organized a workshop by UNHCR in Maya, Portugal, in September 2011, and a six-month review with UNHCR later this year. With regard to the next informal talks, the parties agreed that, irrespective of the final solution, proposals on specific aspects of territorial governance would be made to discuss them.",
"The agreements reached so far, in particular those relating to future discussions, provide a considerable agenda for future meetings. However, this will depend to a great extent on the motivations and spirit of the parties in their discussions on these topics. While both sides stressed their full commitment to finding solutions, the lack of trust between the parties continued to block the process of negotiations and each party was deeply distrusted by the other. His delegation expressed concern that the Frente Polisario had attempted to reverse the talks to the previous peace plan of my former Personal Envoy, James Beck, instead of accepting the self-government proposal of Morocco, and had attempted to propose to the international community that there was no significant progress on core issues such as the future status of Western Sahara and the exercise of the right to self-determination.",
"The delegation of the Frente Polisario expressed concern that Morocco had taken advantage of opportunities to explore innovative approaches and to discuss specific topics, had diverted the talks to consider the main directions proposed in April 2007 and had shown to the international community what the talks seemed to have made progress.",
"The parties agreed to hold another round of informal talks from 19 to 21 July 2011 to review the proposals of April 2007 and to discuss one or more innovative or specific topics. In addition, the parties agreed in principle to hold additional rounds of informal talks on a regular basis until a formal round of negotiations was held after sufficient progress was made. As the process begins, there will be a great opportunity for both parties to recognize their intentions, to demonstrate that they have not only the political will to continue to meet, but also the political will to engage in genuine negotiations, and to gain greater ownership of the negotiating process. As in the past, these more frequent meetings will also provide informal opportunities for both parties and neighbouring countries to exchange views and clarify positions on major regional and bilateral issues of common interest.",
"AD ∗ A/63/250."
] |
[
"第六十六届会议",
"^(*) A/66/150。",
"临时议程^(*) 项目54",
"有关信息的问题",
"有关信息的问题",
"秘书长的报告",
"摘要",
"本报告是应大会第65/107 B号决议的要求编写的，重点介绍了新闻部最近在千年发展目标、可持续发展与气候变化、国际和平与安全和人权等重要问题上所做的战略传播工作。报告对联合国信息中心网络的各项活动也进行了回顾，这一网络对新闻部开展传播运动给予的支持至关重要。报告突出了新闻部向媒体和民间社会提供的服务，其中特别强调进一步使用了信息和通信新技术。本文还介绍了新闻部外展活动的最新情况，包括组织了全球模拟联合国活动和新发起的联合国学术影响力倡议。",
"一. 导言",
"1. 在第65/107 B号决议第83段，大会要求秘书长在新闻委员会第三十三届会议上向该委员会，并在大会第六十六届会议上向大会报告新闻部的活动和该决议中所列所有建议和要求的执行情况。因此，新闻部在2011年4月27日至5月6日召开的新闻委员会第三十三届会议上向该委员会提交了三份报告(A/AC.198/2011/2、3和4)，供其审议。委员会对这些报告的审议情况载于其向大会提交的报告(A/66/21)之中。",
"2. 本报告对在新闻委员会第三十三届会议上向其提供的信息进行了更新，并且描述了2011年2月至7月新闻部通过三个次级方案，即战略传播服务、新闻服务和外展服务所开展的活动。",
"二. 战略传播服务",
"A. 主题问题",
"千年发展目标",
"3. 为保持千年发展目标的势头，由超过25个合作伙伴组成的联合国传播组起草了共用信息。此外，新闻部推介了秘书长千年发展目标宣传小组，在4月底开通了有关网站(www.un.org/millenniumgoals/advocates)。",
"可持续发展与气候变化",
"4. 为准备将于2012年6月在巴西里约热内卢举行的联合国可持续发展大会(持发大会)，新闻部协调举办了各种活动，推动就可持续发展及森林、海洋、生物多样性和气候变化等有关问题进行知情讨论。新闻部通过专门的联合国传播组工作队协调拟订了持发大会全系统传播战略，包括共同信息和徽标。新闻部努力推动《坎昆协定》的执行工作和政府间气候变化专门委员会发布了关于再生能源的报告。此外，新闻部牵头推动联合国参与“地球一小时”和其他促进可持续性的活动，包括在世界环境日开展活动，开展与工作人员为对象的运动，减少纸张的使用。在生物多样性方面，新闻部努力增加《生物多样性公约关于获取遗传资源和公平和公正分享其利用所产生惠益的名古屋议定书》的签约国数量。",
"5. 针对2011年国际森林年，一批联合国信息中心参加了电影节、海报竞赛、植树活动和其他提高认识活动。例如，联合国堪培拉信息中心与堪培拉理工学院和澳大利亚国家植物园建立了合作关系，共同开展为期一年的摄影竞赛，联合国里约热内卢信息中心为一系列活动提供了支持，包括Humanitare研究所与汇丰银行巴西分行在圣保罗组织举办的森林会议。",
"第四次联合国最不发达国家问题会议",
"6. 为准备将于5月9日至13日在土耳其伊斯坦布尔举行的的第四次联合国最不发达国家问题会议，新闻部进行了广泛的公众信息宣传活动，准备了关键信息、英文和法文综合新闻资料袋和4篇署名评论。在这次会议上，该部对500名记者进行了核证，并与其一起工作。",
"艾滋病毒和艾滋病高级别会议",
"7. 在2011年6月8日至10日在纽约举行的为期三天的高级别会议之前和会议期间，新闻部向联合国艾滋病毒/艾滋病联合规划署(艾滋病规划署)提供了宣传支持。以联合国六种正式语文推出了官方网站，新闻部社交媒体小组与艾滋病规划署密切合作，以联系年轻的受众。",
"预防和控制非传染性疾病问题大会高级别会议",
"8. 为迎接将于2011年9月19日至20日在纽约举行的预防和控制非传染性疾病问题大会高级别会议，新闻部会同美国癌症协会于2011年6月组织举办了一次媒体论坛。超过45个国家的近60名记者应邀参加了在联合国总部举行的关于癌症、糖尿病、心血管和肺部疾病的诱因、发病率和预防问题的通报会。",
"妇女问题",
"9. 新闻部继续对联合国促进两性平等和增强妇女权能署(妇女署)提供支持，通过社交媒体平台和专门为国际妇女节开发的网站等，推动妇女署在2月底成立。 此外，新闻部还与维持和平行动部密切合作，开发了维和网站关于性别与维护问题部分，以支持就执行安全理事会关于妇女、和平与安全的第1325(2000)号决议展开为期10年的研究。",
"10. 新闻部宣传了2010年3月12日、2011年2月22日至3月4日和2011年3月14日在纽约举行的妇女地位委员会第五十五届会议，与媒体进行了广泛接触，宣传了会议期间举办的特别活动，包括秘书长发起的“联合起来制止暴力侵害妇女行为”运动。",
"11. 联合国布鲁塞尔区域信息中心推出了以“禁止对妇女暴力行为”为主题的“为联合国创作”全欧广告竞赛。",
"12. 联合国安卡拉信息中心与土耳其《国民报》建立了伙伴关系，《国民报》在其主页上刊登了一个多月的安卡拉信息中心活动广告条，每天访问量超过1万人次。",
"13. 在联合国传播组也门办事处的支持下，联合国萨那信息中心制作了三个有关妇女的教育、工作和早婚问题的广播节目。萨那广播电台播出了这些节目。",
"全球反对种族主义行动",
"14. 在消除种族歧视国际日(3月21日)，在总部为来自加拿大、特立尼达和多巴哥和美利坚合众国的200名中学生举办了关于种族歧视问题的视频会议，会议特别着重于非洲后裔问题。联合国信息中心网络推出了一系列外展活动。",
"纳尔逊·曼德拉国际日",
"15. 在2011年7月18日举办的第二个纳尔逊·曼德拉国际日纪念活动中，新闻部的活动主题是“采取行动！促动变化”，鼓励人们拿出67分钟的时间，投入到公共服务之中，以纪念纳尔逊·曼德拉为争取自由和平等权利而进行的长达67年的斗争。作为活动的一部分，联合国与纽约中央公园管理处合作实施了公园改善工程，给扶手和公园长椅刷漆。通过与MTV合作，在纳尔逊·曼德拉国际日为题为“MTV行动”的博客制作了特别节目，通过电视频道突出介绍普通公民如何通过细小的行动改变他们的生活和社区。",
"卢旺达种族灭绝纪念活动",
"16. 新闻部以“重建卢旺达：和解和教育”为主题开展了卢旺达种族灭绝17周年纪念活动。4月7日，与卢旺达常驻联合国代表团合作，在总部举办了纪念仪式。种族灭绝的幸存者在活动中发言。此外，新闻部为关于这一主题的学生会议做了安排。秘书长防止灭绝种族罪行问题特别顾问和一位种族灭绝的幸存者对学生们发表了讲话。在世界各地发行了一部书名为“Tugire Ubumwe：让我们团结起来”的青少年小说。",
"巴勒斯坦问题",
"17. 2011年7月12日和13日，新闻部在布达佩斯举办了中东和平问题国际媒体研讨会。该会议是与匈牙利外交部联合主办的，为期两天，以色列和巴勒斯坦权力机构的约100位现任和前任政策制定者以及联合国高级官员、国际专家和媒体代表参加了会议。与会者根据阿拉伯世界的政治格局的变化，探讨了和平进程，讨论了新闻和视觉媒体在促进和平议程方面的作用。",
"18. 2011年巴勒斯坦媒体从业人员年度培训计划定于2011年10月31日至12月2日在总部举行。预计主要从事视听媒体工作的巴勒斯坦记者将参加为期五周的活动，在此期间将重点提供广播电视节目制作的实际技能培训。",
"联合国维和工作",
"19. 4月18日至21日，新闻部、维持和平行动部和外勤支助部在乌干达恩德培联合国区域服务中心举行了第八次年度培训讲习班。讲习班的重点是推动数字领域的创新和集成，以及针对外地工作人员的新的招聘政策。",
"20. 为联合国维持和平人员国际日选定的主题是“法治”。新闻部与维持和平行动部和外勤支助部合作，重点介绍在“法律、秩序和和平”的口号下，维持和平行动如何加强警察、司法和惩戒机构。在总部开展的公共活动包括，献花仪式、向维和人员授勋仪式和发布关于维和人员所做的法治工作的视频。",
"21. 联合国布琼布拉信息中心与联合国布隆迪办事处、非洲联盟的当地办事处、布隆迪国防部和前战斗人员联合举办了纪念活动。联合国雅加达信息中心举办了关于联合国女性维和人员的直播电台谈话节目，在印度尼西亚共和国电台播出。联合国瓦加杜古信息中心举办了几项活动，以提高人们对维和人员国际日的认识，包括与布基纳法索国家电视台联合制作的30分钟的电视节目，与布基纳法索国防部合作，为当地军校学生举办的介绍会。",
"非洲发展新伙伴关系",
"22. 新闻部通过其季刊《非洲复兴》和重新设计并定期更新的网站，继续提高全球对非洲发展新伙伴关系规划和协调局的认识和支持。2011年3月至6月，在54个国家的224家不同的媒体发表了12篇专题短文(英文335次，法文193次)。新闻部非洲科继续增加它在网络的存在，更多地利用社交媒体工具，深入人数不多但不断增加的非洲网民以及发达国家的受众。",
"国际青年年",
"23. 为推广国际青年年，新闻部开展了一系列活动，包括针对青年团体和学生的讲座和简报会、记者会、研讨会、讲习班、辩论会、采访和广播电视谈话节目。联合国信息中心在联合国其他重大纪念活动和实现千年发展目标宣传活动中纳入了青年的角度。",
"24. 联合国麦纳麦信息中心与Ajial——一家鼓励青年人参与实现千年发展目标和“巴林2030愿景”倡议的巴林和海湾地区的青年组织，进行合作，共同纪念国际青年年，在巴林举办了青年篮球锦标赛和女足锦标赛等活动。",
"25. 联合国新德里信息中心，作为其长达一年的国际青年年推广活动安排的一部分，与“上街”组织者合作，举办了街头戏剧节，吸引了新德里20所学院的戏剧团体参加。",
"B. 联合国信息中心",
"传播活动视觉材料",
"26. 如上所述，联合国信息中心继续使用各种通讯工具，并与各国政府、媒体组织、非政府组织、学术机构和民间社会的其他成员建立伙伴关系。在此过程中，他们越来越多地使用电影和其他视觉材料。",
"27. 联合国布鲁塞尔区域信息中心举办每月电影放映活动，然后进行讨论。这一活动已扩展到其他国家，包括法国、德国、冰岛和以色列。",
"28. 联合国新德里信息中心举办了第八届“我们并非无动于衷”电影节。这是由非政府组织兄弟会发起的关于残疾问题的年度国际纪录片电影节。",
"与当地广播机构的合作安排",
"29. 联合国信息中心与国家广播机构加强了合作，共同传播联合国的视频和电影，并做出联合制作安排。",
"30. 联合国伊斯兰堡信息中心在联合国传播组巴基斯坦办事处的支持下，做出了联合宣传安排，与“求同组织”合作，从2011年7月至12月在巴基斯坦全国为联合国播出关于优先问题的12个专题广播节目。",
"31. 联合国墨西哥城信息中心与拉丁美洲教育交流研究所(专门开发、研究和应用用于远程学习的信息和通信技术及制作教育材料的组织)达成了一项协议，目的是提高拉丁美洲的教育质量。",
"建设新闻部工作人员的宣传能力",
"32. 新闻部认识到必须加强其工作人员，特别是外地人员的宣传技巧，因此组织了几次培训班。在2011年6月，新闻部在维也纳为联合国莫斯科信息中心和联合国驻亚美尼亚、阿塞拜疆、白俄罗斯、格鲁吉亚、哈萨克斯坦和乌克兰办事处的宣传人员安排了媒体讲习班。讲习班内容包括新媒体、危机公关及采访和新闻发布会管理技巧。",
"33. 此外，新闻部继续与人力资源管理厅合作，共同提供题为“网络写作”的为期8天的远程学习课程，颇受欢迎。自2011年初以来，已有19个地点的工作人员参加这一课程。",
"持续存在的预算和安全挑战",
"34. 新闻部继续致力于最大限度地发挥其人力和财力资源的作用，尽可能以最具战略性和最有效率的方式使用这些资源。例如，在一些联合国信息中心中，行政助理的员额被改划为知识管理助理，以加强信息中心在国家工作队中的宣传职能。在许多情况下，分配给信息中心的实际空间已经减少，有的是直接减少，有的是因为与国家工作队的其他人员共用空间和分担费用而减少。因此，一些先前属于信息中心图书馆的资产被捐献给当地的大学，信息中心重点帮助客户访问电子资源和通过在中心以外的地方举办讲习班和介绍会，向目标受众进行宣传。",
"35. 安全问题依然严重。安全和安保部继续重新评估最低业务安全标准。因此，与前一个两年期相比，保安措施的开支增加了约三分之一。",
"联合国罗安达新闻中心",
"36. 安哥拉政府的代表知会新闻部，将为非洲葡萄牙语国家提供服务的联合国罗安达信息中心的建设资金已经获得批准。新闻部正在与法律事务厅一道起草东道国协议。新中心的员额已经定级，主任一职的空缺广告已经发布。",
"三. 新闻服务",
"A. 联合国网站",
"37. 为加强导航功能和扩大使用共同的品牌元素，以提升网站内容的一致性和连贯性，对本组织网站(www.un.org)的结构要素进行了调整。此外，按照大会的规定，以六种正式语文创建了新的网页。",
"38. 从2011年初开始，网站流量报告的依据是通过使用Google Analytics收集的数据，所反映的情况的准确度大为提高。按语言、地理区域、特定网站和日期范围分析使用趋势更加容易。",
"39. 新闻部制作的大部分网站都以本组织的所有正式语文提供内容。由于新闻部更多地使用了多媒体产品，如为联合国主页上最有新闻价值的的条目编配视频，从而确保说明文字以所有正式语文提供(见表1和表2)。",
"40. 新闻部在协助设计和开发网站时，继续利用与白俄罗斯、中国和西班牙大学达成的合作安排，将网页内容翻译成中文、俄文和西班牙文。新闻部阿拉伯语网站股与大会和会议管理部阿拉伯文翻译处合作，将网站内容翻译成阿拉伯文。这两个部门最近扩大了合作关系，与大马士革大学、开罗美利坚大学和贝鲁特圣约瑟夫大学签署了协议。新闻部和联合国志愿人员方案之间的现有安排也有助于在联合国网站上以法文提供额外的材料。",
"表1 2011年3月至6月联合国网站的访问量：排名最高的10个国家",
"语言\n 国家 阿拉伯文 中文 英文 法文 俄文 西班牙文 共计",
"美国 11 928 7 882 680 398 17 788 9 052 19 803 755 270",
"中国 1 376 130 834 38 068 1 446 909 2 664 175 488",
"墨西哥 214 162 25 557 649 115 140 012 166 934",
"英国 1 512 964 143 503 2 611 617 1 276 152 115",
"加拿大 1 097 1 010 118 440 24 979 441 1 942 148 943",
"法国 803 802 26 640 104 367 667 1 258 134 875",
"俄罗斯联邦 256 170 13 281 605 110 249 311 124 954",
"西班牙 408 187 22 648 1 920 340 90 376 116 064",
"澳大利亚 512 876 103 909 492 275 282 106 531",
"印度 331 146 90 025 323 88 173 91 975",
"表2 联合国网站独特访问量和网页浏览量，2011年3月至6月",
"语言 独特访问量 网页浏览量",
"阿拉伯文 313 200 1 006 102",
"中文 887 868 2 519 136",
"英文 8 054 234 30 243 489",
"法文 1 131 371 4 032 868",
"俄文 732 598 2 546 944",
"西班牙文 2 461 798 6 967 826",
"共计 13 581 069 47 316 365",
"41. 为方便残疾人，包括视觉、听觉和行动障碍者使用联合国网站，新闻部在制作联合国主页每日新闻视频时编配了字幕，正在努力为新闻部制作的其他视频编配字幕。",
"B. 联合国新闻中心",
"42. 在本报告所述期间，仅以英文和法文制作的新闻就超过了2 000条，而电讯经常配有相关的音频和视频链接。联合国网站继续刊登每周新闻问答、图片报道和某月读者最多的报道名单。3月至6月，对联合国官员和新闻人物进行了10次深入访谈。定期更新的重点页面继续提供关于复杂问题的文件和文章的一站式便利。联合国新闻中心还推出了从外地发来的新的系列报道，重点介绍特派团人员的经历。",
"43. 更多的国家提供了新闻聚合网站和媒体通道，这增加了这些国家采用新闻部制作的报道的频率。在本报告所述期间，《菲律宾时报》、《新喀拉拉邦》、《印度花开》、《朝鲜时报》、《伦敦水星》，《印度宪报》、《柬埔寨时报》、华盛顿孟加拉电台、《老挝小新闻报》、《Afriquinfo》、《非洲时代》和All Africa.com等网络媒体都全文转载了新闻部制作的有关报道。",
"44. 联合国新闻中心的英文网页每月约有60万的访问量和100多万的页面浏览量。在热点新闻的高峰期，这些数字飙升。今年4月，在中东和北非的局势迅速变化之时，联合国新闻中心记录的访问量为845 000和页面浏览量为150万。此外，每天约有43 000名用户通过电子邮件接收新闻。",
"C. 广播、电视和摄影服务",
"45. 在本报告所述期间，联合国广播电台为合作伙伴增加了更新频率，通过发送电子邮件向各个广播电台提示每日报道内容。联合国电台扩充了报道内容，增加了现场实时报道，其中一种方式是更多地使用Skype进行采访。最受欢迎的新闻报道包括插播新闻，报道联合国对中东和北非暴动的反应和对策。",
"46. 广播电台科为纪念奴隶制和跨大西洋贩卖奴隶行为受害者国际纪念日、联合国维持和平人员国际日和艾滋病毒/艾滋病问题高级别会议制作了专题节目和有关访谈节目。该科为纪念切尔诺贝利二十五周年制作了配有多国语言解说词的幻灯片，为纪念联合国土著问题常设论坛第十届会议制作了关于妇女人权问题的专题节目。联合国电台派出两名记者，前往土耳其伊斯坦布尔报道了第四次联合国最不发达国家问题会议。这两名记者以法文和英文制作了40份报告和成套节目，以其他语言通过Skype进行了采访，与联合国新闻中心分享了信息。",
"47. 为使联合国高级官员谈论他们最近完成的任务，推出了一个新的“前线探访”的电台采访专题节目。受访人包括主管人权事务的助理秘书长伊万·西蒙诺维奇，他介绍了伊拉克之行的情况；还包括当代形式奴隶制问题特别报告员，她介绍了派往秘鲁的第一个真相调查团的情况。",
"48. 在本报告所述期间，联合国电台采取了更多的步骤，升级了其网站和相关的内容管理系统，以便更灵活地以不同的语言发布多媒体内容，包括视频和幻灯片，因此得以在联合国电台西班牙文网站现场直播大会新一届主席的选举情况。现在，联合国电台葡萄牙文网站定期提供视频，例如联合国电台制作了原创视频报道，在网站上报道了作为联合国可持续发展大会筹备工作的一部分在总部进行的电影《里约》的放映活动。",
"49. 在本报告所述期间，以下机构成为联合国电台的合作伙伴：Vinha FM(巴西)、Radio Communitaria Maria Rosa FM(巴西)、Urban Cool Radio(美国)、FM Sierras(阿根廷)、Canal Saúde/Fundação Oswaldo Cruz(巴西)、Radio Huancavilca 830 AM(厄瓜多尔)、Radio Indico(莫桑比克)和Tela Non(巴西)。",
"50. 联合国电视台对艾滋病毒和艾滋病问题高级别会议和第四次联合国最不发达国家问题会议进行了现场直播，后者在脸谱网(Facebook)上播出——这对于在联合国总部之外举行的会议尚属首次。这些节目内容被电视新闻机构广泛采用，其中包括路透社和美联社电视新闻，并通过联合国电视广播平台这一联合国新闻联合组织向广播机构提供。联合国电视广播平台继续扩大与依赖联合国电视广播平台提供联合国新闻内容的非政府组织、政府机构、教育机构和个人的联系。超过40个联合国机构、基金、维和特派团和其他实体向这一服务提供内容。",
"51. 关于纽约总部和联合国日内瓦办事处活动的现场报道通过时代华纳联合国频道在纽约大都会地区播出并通过联合国网播向全球传送。",
"52. 由60多个国际广播机构播出的新闻部旗舰节目——系列电视新闻杂志《21世纪》，继续得到认可。2011年4月，有一篇介绍了联合国在为红色高棉受害者伸张正义方面的作用，赢得了著名的纽约艺术节国际电视和电影奖世界金奖。以英文、法文、俄文和西班牙文制作的系列短片《联合国在行动》，通过与联合国机构合办项目扩大了覆盖范围，重点介绍了联合国在经济和社会发展、环境、人权和健康等领域的工作。",
"53. 新闻部与人道主义事务协调厅共同制作了《世界一日》，影片介绍了秘书长和他为引起人们对孕产妇健康问题的重视对尼日利亚和埃塞俄比亚进行访问的情况。2011年，联合国电视台与联合国人口基金、联合国教育、科学及文化组织(教科文组织)等共同推出的电视辩论节目《面对面》介绍了联合国儿童基金会(儿童基金会)执行主任安东尼·莱克和教科文组织总干事伊琳娜·博科娃。联合国电视台与亚洲广播联盟开展的一个项目是共同制作关于千年发展目标的系列纪录片，由联盟成员在亚太地区播出并由联合国电视台频道播出。在过去几个月的时间里，联合国电视台与一些实体建立了新的伙伴关系，包括Newspoint TV(印度)、Shalom TV(美国)、土耳其广播电视公司(土耳其)、美国和平研究所(美国)和ViewChange.org(美国)。",
"54. 新闻部继续通过电影放映和其他活动扩大联合国电视台节目的覆盖面：关于人权和社会经济问题的多部影片曾在耶鲁大学拉丁美洲研究系放映；在日内瓦举行的人权理事会会议上、慕尼黑电影节期间和在纽约举办的“联合起来制止暴力侵害妇女行为”活动期间，放映了关于在波斯尼亚和黑塞哥维那将强奸作为战争武器的影片；纽约联合国协会在希腊放映了关于阿富汗移民的影片。西班牙阿斯图里亚斯Centro Niemeyer组织了一场大型联合国电影系列活动，内容包括联合国电影和录像档案库保存的历史影片和获奖影片。",
"55. 联合国网播通过现场流媒体服务和提供内容广泛的档案材料点播服务，提供了1 100多个视频片段，在为联合国主页制作和传送每日新闻视频方面发挥了重要作用。此外，联合国网播还向总部和外地的工作人员提供了职工会议的网播内容，还提供了培训班录像档案资料，推动了内部交流。",
"56. 在本报告所述期间，对新闻部图片服务的需求继续增长。联合国图片社报道了近650场活动，包括秘书长对33个国家进行的访问，选出并在联合国图片社网站向公众提供了约3 000幅高清照片。除报道时事外，联合国图片社还努力加大联合国图片库历史图片的筛选力度，以此记录联合国的历史成就。在本报告所述期间还提供了1 800张经过修饰和数字化处理的这类照片。",
"D. 联合国新闻稿和会议报道",
"57. 2011年3月至6月，通过会议报道活动以英文和法文拟写了658份新闻稿，共计2 856页，其中241份新闻稿涉及大会、安全理事会和经济及社会理事会及其附属机构和专门委员会的会议。240多份新闻稿涉及秘书长和常务副秘书长的发言、讲话和致辞以及联合国其他部门的资料。",
"58. 在本报告所述期间，媒体核证和联络股办理了935件长期核证申请和830件临时核证申请。该科向71次媒体定点采访提供了资料和后勤支援，协助举行了152次记者会和吹风会，参加的记者人数达到2 193人。该股向媒体推荐了各种活动，向整个联合国系统的媒体组织、常驻代表团和办事处等机构约4 000人发送了77条电子媒体提示，还通过推特网(Twitter)推介了各种活动。",
"四. 外展服务",
"A. 深化民间社会对联合国活动的参与",
"59. 在本报告定稿之时，将于2011年9月3日至5日在德国波恩召开的题为“可持续社会；顺应形势的公民”的第六十四次联合国新闻部/非政府组织年会的筹备工作正在进行。与会者将有机会拟订有意义的宣言和行动计划，预计将有助于在联合国可持续发展大会上进行的谈判，也将有助于在该会议开始之前召开的几次重大会议。此外，波恩会议的成果将有助于将于2011年12月召开的国际志愿人员年十周年大会特别会议。",
"60. 在本报告所述期间，非政府组织关系小组(A/66/6(第28款))为新成立的非政府组织的代表举办了12次介绍会，一次宣传讲习班和一次为期两天的年度迎新活动。参与新闻部活动的此类组织总数达到1 601个。",
"B. 全球模拟联合国会议",
"61. 为准备即将在大汉民国仁川举行的的全球模拟联合国会议，来自世界各地的18位学生领袖参加了在纽约举行的为期一周的讲习班，了解了他们将在会议上扮演的角色，与联合国官员和外交官就会议的主题，即可持续发展，进行了交流。展望未来，新闻部计划与其他模拟联合国计划分享经验，以便使这些活动更加接近联合国的实际运作方式。",
"C. 创意社区外展活动",
"62. 主题为“通过纪录片探讨全球性问题”的第三次年度展望论坛内容包括放映纪录片和就与千年发展目标有关的主题进行系列讨论，重点是贫困和饥饿问题。",
"63. 在联合国土著问题常设论坛第十届会议期间，在联合国拍摄了好评如潮的澳大利亚电视烹饪节目《澳大利亚厨艺大师》的一集节目。在该集节目中，业余厨师在土著菜肴的启发下进行了厨艺竞赛。",
"64. 1990年以来，新闻部与纽约艺术节合作，对体现联合国价值观和目标的优秀节目进行奖励。2001年，新闻部对以儿童保护、暴力侵害妇女行为、民主和环境为重点的节目进行了奖励。",
"65. 在西班牙阿维莱斯举行的伊比利亚-美洲创意首脑会议上，向西班牙、葡萄牙和拉丁美洲的电影电视专业人员介绍了联合国的情况。由Centro Niemeyer主办的为期一天的活动内容包括分别以两性平等、环境可持续性和打击毒品和犯罪为重点的三场小组讨论。这是此类活动首次在美国以外的国家举行。",
"D. 名人宣传",
"66. 在2011年3月11日日本遭受地震和海啸灾难后，一些联合国和平使者和亲善大使与秘书长一道共同录制了录像信息，向日本人民表示慰问。这些信息通过日本的广播和网络伙伴、联合国信息中心和联合国社交媒体频道传送给灾民，在线观看人数超过20万。参与这些录像的制作和传送的有：新闻部、人道主义事务协调厅和多个联合国实体，包括联合国粮食及农业组织、联合国开发计划署、联合国环境规划署(环境署)、教科文组织和联合国基金会。",
"67. 和平使者Wangari Maathai和Jane Goodall帮助开展了环境署在线活动，推动为支持国际森林年而进行的植树活动。",
"E. 联合国学术影响力倡议",
"68. 截至2011年7月中旬，104个国家的660多个高等教育和研究机构与联合国建立了全球伙伴关系(见下文图示)。联合国学术影响力计划成员所开展的活动包括，在妇女地位委员会第五十五届会议期间举行了虚拟会议，在纽约与南非夸祖鲁-纳塔尔大学学生和关于贫困程度衡量问题的新书的编辑进行了视频讨论；在中国上海举办了国际职业教育论坛、在白俄罗斯举行了题为“青年促进和平”的国际法竞赛。在日本举行的座谈会重点讨论了向海啸和地震受害者提供恢复和重建支持的问题。3月，来自15个国家的代表参加了在罗马尼亚康斯坦察在黑海大学网络的框架内举行的主题为“教育与可持续发展治理”的会议。5月，意大利PEGASO研究所召集了关于在欧洲执行联合国学术影响力倡议各项原则的欧洲日座谈会。8月，韩国大学教育理事会和韩东全球大学将在首尔举办为期两天的题为“实现变革的新伙伴：联合国与世界学术界”的论坛。与学术影响力倡议有关的机构继续举办各种活动，支持该倡议的各项目标，包括在巴基斯坦开办关于水过滤问题的在线学习课程。阿根廷的一所大学正在计划举办关于可持续发展问题的全球视频竞赛。",
"图 联合国学术影响力倡议：截至2011年7月18日按区域划分的成员分布情况",
"[]",
"F. 吸纳公众参与",
"69. 新闻部通过联合国演讲事务处为联合国访客协调安排了235场内部介绍会和视频会议，另外，外部演讲活动的听众达到15 500人。新闻部发放了许多新闻资料袋，答复了10 200项公众查询，收到带有4 048人签名的多封请愿书。",
"70. 每年有近百万游客参观新闻部在总部游客大厅展示和安装的轮流公开展览。访客网站也在线提供展览情况。",
"71. 在本报告所述期间，共组织了七次展览：",
"(a) 为纪念奴隶制和跨大西洋奴隶贸易受害者举办的《3 000万个未曾披露的故事构成的鲜活的遗产》；",
"(b) 《决心扫除地雷》，展示了地雷受害者的图片，同时突显了地雷行动挽救生命和保护生活的工作；",
"(c) 《为终结疟疾而呐喊》，展现了在防治疟疾方面全球进展和个人所作的努力；",
"(d) 《切尔诺贝利25年以后》，向切尔诺贝利灾难的受害者表示敬意；",
"(e) 《为实现民主而做事》，展示了在世界五个地区所开展的民主项目；",
"(f) 《水权与土著人民》，展示了水对土著人民生活方式的重要性；",
"(g) 《法律、秩序、和平》，重点介绍了联合国为改善遭受战争苦难的国家的法治状况而作出的维和努力。",
"72. 2011年，参加总部导游游览的游客达到94 615人，与2010年同期相比略有减少。游客减少的原因之一是6月8日至10日由于举行艾滋病毒和艾滋病问题高级别会议而导致大楼意外关闭三天。",
"G. 纪念活动",
"73. 5月2日，大屠杀和联合国外展方案放映了电影《贝尔森的救赎》并组织了讨论。这次活动是由大不列颠及北爱尔兰联合王国常驻联合国代表团为纪念贝尔根-贝尔森集中营的解放者举办的。5月20日，外展方案组织了一次关于支持在社区内捍卫人权的教育工作者讲习班。活动内容包括与秘书长防止灭绝种族罪行问题特别顾问和知名的人权活动家举办讲习班和讨论会，在活动期间讨论了纳粹时期种族歧视的事例和当代大规模暴力行为案例。外展计划继续为大学生编写系列讨论文件，最近的三份文件是：“全球预防种族灭绝行为：从大屠杀中吸取教训”、“南非的大屠杀教育”和“法律如何成为种族灭绝的加速器”。",
"74. 奴隶制和跨大西洋贩卖奴隶行为受害者国际纪念日第四次年度纪念活动在2011年3月25日所在的一周进行，主题是“《3 000万个未曾披露的故事构成的鲜活的遗产》”。在总部举行的活动包括：放映电影《贸易的痕迹》；展示“中间通道”的复制品、运载奴隶的船只和文物及历史文献收藏品；全球教育者视频会议，重点是新的研究、课程规划和教学；与大学生和非政府组织进行的小组讨论；强调非洲和加勒比菜肴关联的漫画活动；大会特别纪念会议和非洲、美洲和加勒比表演者演出的“鲜活的遗产”音乐会。新闻部还利用其信息中心网络开展了一系列活动，包括在阿拉木图(哈萨克斯坦)、塔那那利佛、堪培拉、达喀尔、日内瓦和瓦加杜古放映教科文组织制作的电影《奴隶贩运路线：全球视野》的影片和组织讲习班、文化活动、小组讨论会和展览。",
"H. 纪念莱赫姆法拉记者研究金年度方案",
"75. 新闻部将于2011年9月12日至10月21日组织举办的第三十一届纪念莱赫姆法拉记者研究金年度方案的准备工作正在进行。14个发展中国家和经济转型国家已经提交了候选人名单，即：巴哈马、巴巴多斯、喀麦隆、克罗地亚、刚果民主共和国、冈比亚、格鲁吉亚、加纳、基里巴斯、阿曼、帕劳、斯威士兰、塔吉克斯坦和阿拉伯联合酋长国。",
"76. 2011年方案将为参加这一方案的记者提供在总部进行实际报道工作的机会。记者们将借鉴新闻部的知识和技能，跟随联合国各个领域的媒体人员进行学习，并与他们共同制作节目。",
"I. 联合国旗舰出版物",
"77. 5月，《联合国年鉴》(2007年)第六十一期在与联合国学术影响力倡议共同举办的题为“发现事实真相”的小组讨论中推出。《年鉴》电子书也首次问世。来自当地大学的学生、学术界特邀小组成员、新闻记者、媒体代表根据当今媒体的形式探讨了2007年年鉴所涵盖的话题，例如千年发展目标的进展情况和人道主义工作者遭受袭击的问题。",
"78. 常年畅销书联合国简介《联合国概况》2011年版于5月出版。《联合国概况》在介绍联合国主要机构和联合国其他组织所发挥的作用的同时，还探讨了联合国是如何促进国际和平与安全、经济和社会发展、人权、人道主义行动、国际法和维和行动的。2011年版还收录了新修订的联合国系统组织机构图。法文和西班牙文版定于年底前出版。将该书翻译成地方语言的工作已在进行。",
"79. 侧重于艾滋病毒和艾滋病问题的《联合国大事记》2011年第一期于5月出版发行。撰稿人包括艾滋病规划署执行主任米歇尔·西迪贝、阿根廷前国务秘书Pedro Basualdo和巴布亚新几内亚社区发展部部长Carol Kidu。他们在文章中分析了艾滋病毒与工作场所、艾滋病毒与教育及妇女与艾滋病毒等问题。",
"80. 作为纪念达格·哈马舍尔德去世50周年纪念活动一部分的和平与安全专刊《联合国大事记》2011年第二期将在6月底付印。",
"J. 联合国出版物的销售和营销",
"81. 扩大新闻部电子出版计划的工作继续进行。这包括与知名的非盈利服务商JSTOR签订电子书发售协议，提供学术内容；出版针对移动设备的31部新电子书；计划将300多部广受欢迎的联合国出版物转换成适合移动设备的格式。两个新的移动应用程序已经推出：艾滋病信息和公共治理创新。在传统书籍方面，与撒哈拉以南非洲的图书发售商签订了3份新的发售协议。在本报告所述期间共出版了131部新书。",
"K. 通过网络进行内部交流和外展",
"82. 秘书处内联网iSeek继续向世界各地的工作人员和有关人员提供服务。iSeek小组共张贴了270条新闻，内容涉及一系列问题，包括国际妇女节、联合国妇女署、维和、跨大西洋奴隶贸易、世界环境日、多样性、多语环境和非洲裔国际年。",
"83. 新闻部继续开发各种网站，支持其外展目标。为第六十四次联合国新闻部／非政府组织年会和2011年全球模拟联合国会议开发了新网站。联合国学术影响力倡议和达格·哈马舍尔德图书馆口述历史项目的网站正在建设之中。",
"L. 虚拟标识",
"84. 新闻部负责提供印刷和网络产品定制设计解决方案的平面设计小组所做的项目包括：和平使者别饰、消除贫困运动、巴勒斯坦展览、关于国际联盟的书籍和联合国可持续发展大会等等。",
"M. 图书馆服务",
"85. 在图书馆培训场地重新开放以后，图书馆培训计划在2011年春季得以恢复。3月至6月，1 370名工作人员、代表、非政府组织代表等参加了图书馆组织的培训活动。",
"托存图书馆",
"86. 对联合国托存图书馆的数据收集工作的审查于2011年5月结束。审查的目的是确保托存图书馆以对于读者最为有用的格式接收适当的联合国信息资料。托存图书馆，包括发展中国家的图书馆越来越多地表示，将更好地利用因特网。联合国图书馆在继续鼓励托存图书馆考虑电子阅览的优势的同时，考虑在电子阅览方面存在的不均衡现象。联合国图书馆还在与托存图书馆一道，共同加强与联合国问题有关的外展活动。",
"87. 联合国图书馆继续通过培训计划与联合国托存图书馆进行合作，包括由联合国墨西哥信息中心安排的为70名拉丁美洲图书管理员提供的培训和为纽约大都会地区的主要研究型图书馆馆员提供的关于联合国信息资源和文献的有针对性的培训。对托存图书馆进行的审查获得的初步结果表明，87%的图书馆希望增加关于如何使用联合国信息资源的培训。",
"电子资源和联合国数字信息",
"88. 联合国图书馆55个联合国实体“采取一体行动”，充当联合国系统电子信息采购联合组织的协调秘书处，帮助47个国家的成员订阅不断增加的电子资源。为满足用户提出的随时随地获取优质资源的需要，联合国图书馆正在尽可能地从印刷收藏过渡到电子资源，为将电子资源提供给世界各地工作人员的桌面准备建立新的机制。联合国图书馆继续准备建立新的平台，为利益相关者提供经过数字化处理和从一开始就属于电子格式的联合国信息。新的平台将有助于为后代保存联合国电子资产。",
"89. 同时，联合国图书馆正在努力确保保护和提供1946年以来的联合国出版记录。通过数字化计划已经完成安全理事会文件主要系列的处理工作，将把工作重点放在早期的大会文件，包括对文件进行追溯内容分析，以便用户容易地获取各种文件。",
"90. 2011年3月至6月，为6 600份联合国文件和出版物创建了书目元数据记录，以确保其易于检索。以六种正式语文编制的术语和词库索引正在经过不断的维护。这些元数据记录构成了联合国书目信息系统、议事录索引和正式文件系统的核心信息。截至2011年6月30日，在联合国书目信息系统中共录入了860 700条书目元数据记录，提供了大会和安全理事会所有决议的完整投票记录。",
"91. 为着眼于未来，正在努力审查达格·哈马舍尔德图书馆应如何改进服务，适应在联合国和信息技术领域所发生的诸多变化。2011年5月成立的新闻部改进图书馆工作小组的任务是就未来战略、技术和工作流程提出建议。",
"五. 新闻部对社交媒体和“新”媒体的使用情况",
"92. 新闻部关于社交媒体使用问题的导则已经定稿，将在整个秘书处分发，作为其他部厅的建议示范。战略传播司负责维护的联合国推特账户的用户人数最近超过了40万人。根据得到广泛认可的社交媒体影响力最佳计量方式之一的“klout”的评分，联合国推特账户在联合国系统雄踞高位。联合国信息中心在脸谱网的张贴浏览量超过300万。新闻部还在管理两个侧重于千年发展目标的账户。在本报告所述期间，千年发展目标账户在脸谱网的张贴浏览量超过100万。",
"93. 在宣传纳尔逊·曼德拉国际日的过程中社交媒体得到了有效利用。通过推特网、脸谱网、Tumblr和Flickr传送了宣传信息和图片。联合国脸谱网网页张贴浏览量超过了12 000人次。",
"94. 在外地，越来越多的联合国信息中心通过社交媒体工具传播关于秘书长致辞、主要报告和动态的信息，接触和覆盖当地受众(见表3)。",
"95. 联合国贝鲁特信息中心是西亚经济社会委员会社交媒体工作队的主要成员，负责拟订、管理和监督该委员会的社交媒体策略。",
"96. 联合国华盛顿新闻中心为纪念国际森林年在脸谱网网页并通过推特网发布了多条信息。该中心的主任参加了通过脸谱网进行流媒体传送的全体会议，讨论了联合国在海地的作用问题。",
"表3 联合国新闻中心所使用的社交网络工具",
"脸谱网 推特 YouTube Flickr",
"安卡拉 安卡拉 波哥大 波哥大",
"巴库 波哥大 布鲁塞尔 科伦坡",
"波哥大 布鲁塞尔 雅加达 日内瓦",
"布鲁塞尔 堪培拉 加德满都 雅加达",
"布加勒斯特 日内瓦 拉巴斯",
"布宜诺斯艾利斯 雅加达 利马",
"开罗 拉巴斯 墨西哥城",
"达累斯萨拉姆 墨西哥城 里约热内卢",
"雅加达 新德里 东京",
"拉巴斯 比勒陀利亚 华盛顿",
"利马 里约热内卢 埃里温",
"马尼拉 突尼斯",
"墨西哥城 维也纳",
"新德里 华盛顿特区",
"布拉格 埃里温",
"比勒陀利亚",
"里约热内卢",
"东京",
"突尼斯",
"维也纳",
"华沙",
"华盛顿特区",
"雅温得",
"埃里温",
"97. 2010年9月，新闻部新闻和媒体司以中文在颇有人气的微博平台新浪微博推出了专用频道。截至2011年6月，联合国微博通过近6 000条信息报道了最新新闻和重要事件，注册用户接近662 000人。在中国两个顶级视频分享网站优酷网和土豆网还推出了视频频道，张贴的片断超过470条，内容广泛，涉及联合国的动态和所处理的各种问题。这两个频道的浏览量总数达到280万。同时，新闻部继续以法文和西班牙文提升联合国YouTube频道的视频内容，以这两种语言张贴的视频约达150条。",
"98. 在本报告所述期间，对联合国新闻中心在新媒体平台的存在方式的管理实行了战略性的变革，涉及每天所张贴的内容的数量和类型及以英文和法文创建独立的账户等。这些决定产生了立竿见影的效果：脸谱网粉丝数量增加了约9 000人，总人数约达28 000人，推特网英文和法文粉丝总人数将近翻了一番，达到8 000人。",
"99. 由于新媒体的使用增多，联合国新闻中心得以更加密切地与联合国伙伴进行合作。例如，联合国新闻中心参加了艾滋病规划署牵头的特设新媒体小组，传播信息，支持大会关于艾滋病毒和艾滋病问题的高级别会议。法文推特网账户尤其有用，因为许多联合国组织没有法文新闻通道。",
"100. 为分享联合国新闻中心的报道增加了一项新的功能，受到用户的广泛欢迎，在本报告所述期间，用户分享美洲新闻问答的次数达到约2 000次。其他颇有人气的项目包括，关于人权的文章及关于阿拉伯世界的动态和难民保护工作的新闻，在这些新闻张贴后分享次数很快超过800次。联合国网播通过社交媒体工具提示用户将要进行现场直播的活动。作为负责维护YouTube时联合国频道的单位，联合国网播不断更新网页上的视频内容，采取步骤加强互动功能，具体作法包括鼓励用户对视频进行评论。在日本地震和海啸灾难发生后，联合国YouTube频道张贴了一系列视频，传送对日本人民表示慰问的信息，吸引了数以千计的用户。",
"101. 联合国图片社Flickr“图片流”张贴的图片超过3 000幅，2011年4月达到了一个里程碑，浏览量达到100万。此后这一数字继续稳定增长。",
"102. 2011年2月和3月，联合国学术影响力倡议与经济和社会事务部合作，组织举办了主题为“为今天的青年人建设未来：更好地提供教育机会”的四场网络系列讨论。这一系列活动发挥了新媒体的力量，在学术影响力倡议的脸谱网网页上进行。关于虚拟讨论的综合全球性报告已经在4月提交给经济及社会理事会。",
"103. 联合国在脸谱网和推特网提供的社交媒体平台上进行的推销工作继续增长：分别有将近3 500名和15 500名用户在脸谱网和推特网上跟踪联合国的情况。脸谱网的用户多数居住在美国，随后是印度尼西亚和巴基斯坦。",
"六. 结论",
"104. 本报告概括介绍的动态和实例再次证明，传播和宣传工作不是也不可能仅仅是辅助性的工作：这些工作必须成为政策、方案和变革的组成部分。此外，要使传播工作获得成功，就必须在地方和全球范围内持续进行，并高效地提供资源。",
"105. 世事无常，这对新闻部在全球和外地的工作提出了要求。必须将新旧手段结合使用，在地方和全球范围内维持新闻部与媒体、联合国系统其他部分、民间社会和学术界的伙伴关系和青年人的热情。新闻部在总部和外地大有可为，而且大有作为，必须在财政和运作方面为这些活动提供持续的保障。新闻部将继续加强“走出去”的手段，同时提升自身的能力，成为全世界及世界各国人民可以“走进来”的思想和想象力交汇的平台。"
] | [
"Sixty-sixth session",
"Item 54 of the provisional agenda*",
"Questions relating to information",
"* A/66/150.",
"Questions relating to information",
"Report of the Secretary-General",
"Summary",
"The present report, prepared in response to General Assembly resolution 65/107 B, provides highlights of recent strategic communications work of the Department of Public Information on key issues, including the Millennium Development Goals, sustainable development and climate change, international peace and security and human rights. The activities of the network of United Nations information centres, whose support is crucial to the implementation of the Department’s communications campaigns, are also reviewed. The report highlights the Department’s services to the media and civil society, with a particular emphasis on the expanded use of new information and communications technologies. It also provides an update on the Department’s outreach activities, including the organization of a global Model United Nations and the newly launched United Nations Academic Impact initiative.",
"I. Introduction",
"1. In paragraph 83 of its resolution 65/107 B, the General Assembly requested the Secretary-General to report to the Committee on Information at its thirty-third session and to the Assembly at its sixty-sixth session on the activities of the Department of Public Information and on the implementation of all recommendations and requests contained in that resolution. Accordingly, the Department submitted three reports for consideration by the Committee at its thirty-third session, held from 27 April to 6 May 2011 (A/AC.198/2011/2, A/AC.198/2011/3 and A/AC.198/2011/4). The deliberations of the Committee with regard to those reports are reflected in the report of the Committee on its thirty-third session (A/66/21).",
"2. The present report updates the information provided to the Committee on Information at its thirty-third session, and describes activities undertaken by the Department from February to July 2011 through its three subprogrammes: strategic communications services, news services and outreach services.",
"II. Strategic communications services",
"A. Thematic issues",
"Millennium Development Goals",
"3. In order to sustain momentum on the Millennium Development Goals, a system-wide task force of the United Nations Communications Group, composed of more than 25 partners, drafted common messages. In addition, the Department promoted the advocacy group of the Secretary-General on the Millennium Development Goals, for which a website was launched at the end of April (www.un.org/millenniumgoals/advocates).",
"Sustainable development and climate change",
"4. Leading up to the United Nations Conference on Sustainable Development, to be held in Rio de Janeiro, Brazil, in June 2012, the Department coordinated activities to promote informed discussion on sustainable development and related issues, such as forests, oceans, biodiversity and climate change. Through a dedicated task force of the United Nations Communications Group, the Department coordinated the development of a system-wide communications strategy for the Conference that included common messages and a logo. The Department worked to promote the implementation of the Cancún Agreements and the launch of a report on renewable energy by the Intergovernmental Panel on Climate Change. In addition, it played a lead role in promoting United Nations participation in Earth Hour and other efforts to promote sustainability, including on World Environment Day, with a staff-targeted campaign to reduce the use of paper. On biodiversity, the Department worked to increase the number of signatories to the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from Their Utilization to the Convention on Biological Diversity.",
"5. For the International Year of Forests, which was observed in 2011, a number of United Nations information centres participated in film festivals, poster competitions, tree-planting events and other awareness-raising activities. For example, United Nations Information Centre Canberra established a partnership with the Canberra Institute of Technology and the Australian National Botanic Gardens for a year-long photographic competition and United Nations Information Centre Rio de Janeiro provided support for a series of activities, including a conference on forests, in São Paulo organized by the Instituto Humanitare in partnership with HSBC Bank Brazil.",
"Fourth United Nations Conference on the Least Developed Countries",
"6. In preparation for the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May, the Department carried out extensive public information outreach activities by preparing key messages, a comprehensive press kit in English and French and four op-eds. At the conference, it accredited and worked with 500 journalists.",
"High-level meeting on HIV and AIDS",
"7. The Department provided communications support to the Joint United Nations Programme on HIV/AIDS (UNAIDS), both before and during a three-day high-level meeting held in New York from 8 to 10 June 2011. An official website in the six official languages of the United Nations was launched and the Department’s social media team worked closely with UNAIDS to connect with young audiences.",
"High-level Meeting of the General Assembly on the Prevention and Control of Non-communicable Diseases",
"8. In the lead-up to the High-Level Meeting of the General Assembly on the Prevention and Control of Non-communicable Diseases, to be held in New York on 19 and 20 September 2011, the Department organized a media forum in June 2011 in partnership with the American Cancer Society. Close to 60 journalists from more than 45 countries were invited to briefings at United Nations Headquarters on the causes, incidence and prevention of cancer, diabetes and cardiovascular and lung diseases.",
"Women’s issues",
"9. The Department continued to support the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) by promoting its launch at the end of February, including through social media platforms and a website developed specifically for International Women’s Day. Furthermore, the Department worked closely with the Department of Peacekeeping Operations to develop a section of the peacekeeping website on gender and peacekeeping in support of the launch of a 10-year study on the implementation of Security Council resolution 1325 (2000), on women and peace and security.",
"10. The Department promoted the fifty-fifth session of the Commission on the Status of Women, held in New York on 12 March 2010, from 22 February to 4 March 2011 and on 14 March 2011, by reaching out to media and by publicizing special events held during the session, including for the “UNiTE to End Violence against Women” campaign of the Secretary-General.",
"11. United Nations Regional Information Centre Brussels launched a Europe-wide advertising competition called “Create4theUN” on the theme “No to violence against women”.",
"12. United Nations Information Centre Ankara established a partnership with the Turkish daily newspaper Milliyet by which the newspaper posted, for more than a month, one of the centre’s campaign banners on its home page, which received more than 1 million visitors daily.",
"13. United Nations Information CentreSana’a produced, with the support of the United Nations Communications Group in Yemen, three radio pieces dealing with women’s education, work and early marriage. The pieces were aired on Sana’a Radio.",
"Global action against racism",
"14. On the International Day for the Elimination of Racial Discrimination (21 March), a videoconference on racial discrimination with a special focus on people of African descent was organized at Headquarters for 200 middle- and high-school students from Canada, Trinidad and Tobago and the United States of America. The network of United Nations information centres launched a range of outreach activities.",
"Nelson Mandela International Day",
"15. For the second observance of Nelson Mandela International Day, on 18 July 2011, the Department focused its campaign on the theme “Take action! Inspire change” to encourage people to devote 67 minutes of their time to public service in honour of Nelson Mandela’s 67-year struggle for freedom and equal rights. As part of the campaign, the United Nations partnered with the Central Park Conservancy in New York on a park improvement project that involved painting handrails and park benches. Through a partnership with MTV, a special feature on the Day was developed for a blog entitled “MTV Act”, through which the television channel highlights small actions that ordinary citizens can do to bring about change in their lives and communities.",
"Commemoration of the genocide in Rwanda",
"16. The Department marked the seventeenth annual commemoration of the genocide in Rwanda under the theme “Rebuilding Rwanda: reconciliation and education”. On 7 April, a memorial ceremony was organized at Headquarters in cooperation with the Permanent Mission of Rwanda to the United Nations. Survivors of the genocide spoke at the event. In addition, the Department made arrangements for a student conference on the topic. The Special Adviser to the Secretary-General on the Prevention of Genocide and a genocide survivor addressed the students. A novel for young people entitled Tugire Ubumwe: Let’s Unite! was distributed worldwide.",
"The question of Palestine",
"17. The 2011 international media seminar on peace in the Middle East, which was organized by the Department, was held on 12 and 13 July in Budapest. Co-hosted by the Foreign Ministry of Hungary, the two-day meeting brought together about 100 current and former policymakers from Israel and the Palestinian Authority, as well as senior United Nations officials, international experts and media representatives. Participants examined the peace process in the light of the changing political landscape in the Arab world and discussed the role of new and visual media in promoting the peace agenda.",
"18. The 2011 annual training programme for Palestinian media practitioners is scheduled to take place at Headquarters from 31 October to 2 December. Ten Palestinian journalists working mainly in audio-visual media are expected to attend the five-week session, which will focus on providing hands-on skills training in radio and television production.",
"United Nations peacekeeping",
"19. The Department of Public Information, the Department of Peacekeeping Operations and the Department of Field Support held their eighth annual training workshop at the United Nations Regional Service Centre at Entebbe, Uganda, from 18 to 21 April. The workshop focused on driving innovation and integration in the digital sphere, as well as on new recruitment policies for staff in the field.",
"20. The theme chosen for the International Day of United Nations Peacekeepers was “Rule of law.” The Department collaborated with the Departments of Peacekeeping Operations and of Field Support to highlight how peacekeeping operations work to strengthen the police, the judiciary and corrections institutions with the slogan “Law. Order. Peace.”. Public events at Headquarters included a wreath-laying ceremony, a ceremony for awarding medals to peacekeepers and the release of a video on the work done by peacekeepers on the rule of law.",
"21. United Nations Information Centre Bujumbura jointly organized an event with the United Nations Office in Burundi, the local office of the African Union, the Ministry of National Defence of Burundi and former combatants to commemorate the Day. United Nations Information Centre Jakarta organized a live radio talk show on women in United Nations peacekeeping, which was aired on Radio Republik Indonesia. United Nations Information Centre Ouagadougou organized several activities to raise awareness of the Day, including a 30-minute television programme developed in partnership with Burkina National Television and a conference to brief students from the local military academy in cooperation with the Ministry of Defence of Burkina Faso.",
"New Partnership for Africa’s Development",
"22. Through its quarterly magazine Africa Renewal/Afrique renouveau and a redesigned and regularly updated website, the Department continued to raise global awareness of and support for the New Partnership for Africa’s Development Planning and Coordinating Agency. Twelve short feature articles were published in 224 different media in 54 countries (335 times in English and 193 times in French) between March and June 2011. The Africa Section of the Department continued to increase its presence online and its use of social media tools to reach the small but growing African population with access to the Internet, as well as audiences in developed countries.",
"International Year of Youth",
"23. The Department’s promotion of the International Year of Youth resulted in a range of activities, from lectures and briefings to youth groups and students to press conferences, seminars, workshops, debates, interviews and radio and television talk shows. United Nations information centres included a youth perspective in other major United Nations observances and in the campaign to achieve the Millennium Development Goals.",
"24. United Nations Information Centre Manama, in cooperation with Ajial, an organization that brings together youth in Bahrain and in the Gulf region to encourage them to participate in achieving the Millennium Development Goals and the “Bahrain 2030 Vision” initiative, marked the International Year of Youth by organizing a basketball tournament for young people and a women’s league football tournament in Bahrain, among other activities.",
"25. As part of its year-long calendar of activities to promote the International Year of Youth, United Nations Information Centre New Delhi partnered with the organizers of “Be on the street”, a street theatre festival bringing together theatre groups from 20 New Delhi colleges.",
"B. United Nations Information Centres",
"Visual material for communications campaigns",
"26. As mentioned above, the United Nations information centres continue to use various communications tools and forge partnerships with Governments, media organizations, non-governmental organizations, academic institutions and other members of civil society. In doing so, they are increasingly using films and other visual materials.",
"27. United Nations Regional Information Centre Brussels organizes a monthly film screening (“Cine ONU”) followed by a debate. The event has expanded to other countries, including France, Germany, Iceland and Israel.",
"28. United Nations Information Centre New Delhi held the eighth edition of We Care Film Fest, an annual international festival of documentary films on disability issues launched by the non-governmental organization Brotherhood.",
"Collaborative arrangements with local broadcasters",
"29. The United Nations information centres have increased collaboration with national broadcasters in disseminating United Nations videos and films and making arrangements for joint productions.",
"30. United Nations Information Centre Islamabad has arranged for a joint communications effort with the support of the United Nations Communications Group in Pakistan to broadcast, in collaboration with Search for Common Ground, 12 featured radio programmes on priority issues for the Organization throughout the country from July to December 2011.",
"31. United Nations Information Centre Mexico City concluded an agreement with the Instituto Latinoamericano de la Comunicación Educativa, an organization that specializes in the development, research and application of information and communications technologies for distance learning and the production of educational materials, with the aim of improving the quality of education in Latin America.",
"Building communications capacity of staff of the Department of Public Information in the field",
"32. Recognizing the importance of enhancing the communications skills of its staff, particularly those in the field, the Department organized several training courses. In June 2011, the Department arranged a media workshop, held in Vienna, for its communications staff from United Nations Information Centre Moscow and United Nations offices in Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan and Ukraine. The workshop included sessions on new media, crisis communications and techniques for managing interviews and press conferences.",
"33. In addition, the Department continued to work with the Office of Human Resources Management to offer the very popular eight-session long-distance learning course entitled “Writing for the web”. Since the beginning of 2011, staff members at 19 locations have taken the course.",
"Ongoing budgetary and security challenges",
"34. The Department remained committed to maximizing its resources, both human and financial, and to using them as strategically and efficiently as possible. At some United Nations information centres, for example, posts of administrative assistants were being converted to knowledge management assistants as a way of strengthening the communications role that information centres play within country teams. In many cases, the physical space assigned to information centres had been reduced, either outright or by sharing common spaces and costs with others in country teams. As a result, some of the former assets of libraries belonging to information centres were donated to local universities and centres concentrated on helping clients access electronic resources and on reaching out to target audiences through workshops and presentations held away from centres.",
"35. Security remained a serious concern. The Department of Safety and Security continued to reassess the minimum operating security standards. As a result, expenditures on security measures increased by approximately a third compared with the previous biennium.",
"United Nations information centre in Luanda",
"36. The Department was advised by representatives of the Government of Angola that funds had been approved for the construction of premises for a United Nations information centre in Luanda to serve the needs of the Portuguese-speaking countries in Africa. For its part, the Department was working with the Office of Legal Affairs on the preparation of a host country agreement. Posts for the new centre had been classified and the vacancy for the post of the director had been advertised.",
"III. News services",
"A. United Nations website",
"37. Structural elements of the Organization’s website (www.un.org) were realigned to improve navigation and expand the use of common branding elements with a view to enhancing consistency and coherence of presentation. In addition, new web pages were created in the six official languages for observances mandated by the General Assembly.",
"38. From the beginning of 2011, reports on website traffic were based on data collected through the use of Google Analytics and thus presented a far more accurate picture of the situation. It became easier to analyse usage trends by language, geographical region, specific sites and date ranges.",
"39. Most of the websites produced by the Department were made available in all the official languages of the Organization. As it expanded the use of its multimedia products, such as the use of a video to accompany the most newsworthy item on the United Nation’s homepage, the Department ensured that captions were available in all the official languages (see tables 1 and 2).",
"40. When assisting in the design and development of websites, the Department continued to build upon the cooperative arrangements established with universities in Belarus, China and Spain for the translation of web content into Chinese, Russian and Spanish. In collaboration with the Arabic Translation Service of the Department for General Assembly and Conference Management, the Arabic Website Unit of the Department of Public Information provided translation into Arabic. The two Departments recently expanded their partnership by signing agreements with the University of Damascus, the American University of Cairo and Saint Joseph University in Beirut. The ongoing arrangement between the Department of Public Information and the United Nations Volunteers programme also helped in making additional materials available in French on the United Nations website.",
"Table 1 Visits to the United Nations website: top 10 countries, March-June 2011",
"Language\n Country Arabic Chinese English French Russian Spanish Total",
"United States 11 928 7 882 680 398 17 788 9 052 19 803 755 270",
"China 1 376 130 834 38 068 1 446 909 2 664 175 488",
"Mexico 214 162 25 557 649 115 140 012 166 934",
"United 1 512 964 143 503 2 611 617 1 276 152 115 Kingdom",
"Canada 1 097 1 010 118 440 24 979 441 1 942 148 943",
"France 803 802 26 640 104 367 667 1 258 134 875",
"Russian 256 170 13 281 605 110 249 311 124 954 Federation",
"Spain 408 187 22 648 1 920 340 90 376 116 064",
"Australia 512 876 103 909 492 275 282 106 531",
"India 331 146 90 025 323 88 173 91 975",
"Table 2 Unique visits and page views to United Nations website, March-June 2011",
"Language Unique visits Page views",
"Arabic 313 200 100 602",
"Chinese 887 868 2 519 136",
"English 8 054 234 30 243 489",
"French 1 131 371 4 032 868",
"Russian 732 598 2 546 944",
"Spanish 2 461 798 6 967 826",
"Total 13 581 069 47 316 365",
"41. As part of its efforts to ensure that the United Nations website is accessible to people with disabilities, including those with visual, hearing and motion impairments, the Department incorporated the use of captioning in the production of the daily news video on the Organization’s home page and was working to extend captioning to other videos produced by the Department.",
"B. United Nations News Centre",
"42. During the reporting period, more than 2,000 news stories were produced in English and French alone, with dispatches frequently supplemented by related audio and video links. The United Nations website continued to feature weekly news quizzes, photo stories and lists of the most-read stories in a given month. Ten in‑depth interviews with United Nations officials and newsmakers were conducted between March and June. Regularly updated focus pages continued to provide one-stop access for documents and articles on complex issues. The UN News Centre also launched a new series of stories from the field to highlight the experiences of staff working on mission.",
"43. News aggregators and media outlets from more countries increased the frequency with which they picked up stories produced by the Department. During the reporting period, stories were reprinted in full by online media outlets such as Philippines Times, New Kerala, India Blooms, North Korea Times, London Mercury, India Gazette, Cambodia Times, Washington Bangla Radio, Le Petit Journal du Laos, Afriquinfos, Africa Time and All Africa.com, among others.",
"44. According to Google Analytics, the English-language pages of the UN News Centre receive some 600,000 visits and more than 1 million page views each month. During periods of peak news interest, those numbers spiked. In April, when the situation in the Middle East and North Africa was changing rapidly, the UN News Centre registered 845,000 visits and 1.5 million page views. In addition, some 43,000 subscribers received articles daily by e-mail.",
"C. Radio, television and photography services",
"45. During the period under review, United Nations Radio increased the frequency of updates to partners by sending out e-mail alerts to radio stations promoting daily coverage. It expanded its coverage of stories by adding spot reports from the field, in part by making greater use of Skype to conduct interviews. Top news stories included breaking news on the reaction and response of the United Nations to the uprisings in the Middle East and North Africa.",
"46. The Radio Section produced special features and related interviews on the International Day of Remembrance of the Victims of Slavery and the Transatlantic Slave Trade, the International Day of United Nations Peacekeepers and the high-level meeting on HIV and AIDS. The Section observed the twenty-fifth anniversary of Chernobyl with a slideshow accompanied by narration in multiple languages and marked the tenth session of the United Nations Permanent Forum on Indigenous Issues by producing a special on the human rights of women. United Nations Radio sent two reporters to Istanbul, Turkey, for the Fourth United Nations Conference on the Least Developed Countries; the reporters filed 40 reports and packages in French and English, set up interviews in other languages through Skype and shared information with the UN News Centre.",
"47. A new radio interview feature called “From the field” was launched to enable top United Nations officials to talk about their recently completed missions. Interviews were held with Ivan Šimonović, the Assistant Secretary-General for Human Rights, who spoke about a trip to Iraq, and Gulnara Shahinian, the Special Rapporteur on Contemporary Forms of Slavery, on her first fact-finding mission to Peru, among others.",
"48. During the reporting period, United Nations Radio took additional steps to upgrade its website and the underlying content management system to provide more flexibility in posting multimedia content, including video and slideshows, in different languages. This made it possible, for example, to provide live coverage of the election of the new President of the General Assembly on the website of the Spanish section of the Radio. The website of the Portuguese section of the Radio now regularly features videos; for example, an original video report that had been produced by the Radio covering the screening at Headquarters of the film Rio as part of the preparations for the United Nations Conference on Sustainable Development was posted on the website.",
"49. The following became partners of United Nations Radio during the reporting period: Vinha FM (Brazil), Radio Communitaria Maria Rosa FM (Brazil), Urban Cool Radio (United States), FM Sierras (Argentina), Canal Saúde/Fundação Oswaldo Cruz (Brazil), Radio Huancavilca 830 AM (Ecuador), Radio Indico (Mozambique) and Tela Non (Brazil).",
"50. United Nations Television provided live coverage of, among other events, the high-level meeting on HIV and AIDS and the Fourth United Nations Conference on the Least Developed Countries, which was broadcast live on Facebook — a first for a United Nations conference held away from Headquarters. These feeds were widely used by television news agencies, including Reuters and Associated Press Television News, and made available to broadcasters through UNifeed, the United Nations news syndicator. UNifeed continued to expand its outreach to non-governmental organizations, Government agencies, educational institutions and individuals relying on UNifeed for United Nations news content. More than 40 United Nations agencies, funds, peacekeeping missions and other entities provide content to the service.",
"51. Live feeds from events at Headquarters in New York and the United Nations Office at Geneva were aired on the United Nations channel on Time Warner Cable in parts of the New York metropolitan area and webcast globally through UN Webcast.",
"52. The Department’s flagship television news magazine series, 21st Century, which is aired by more than 60 international broadcasters, continued to gain recognition. A story on the role of the United Nations in the search for justice for the victims of the Khmer Rouge won a Gold World Medal at the prestigious New York Festivals International Television and Film Awards, in April 2011. UN in Action, a short-format series produced in English, French, Russian and Spanish, expanded the scope of its coverage, in part through joint projects with United Nations agencies, to highlight the Organization’s work in areas such as economic and social development, the environment, human rights and health.",
"53. The Department partnered with the Office for the Coordination of Humanitarian Affairs in co-producing The World in a Day, a film featuring the Secretary-General, and a video of a visit of the Secretary-General to Nigeria and Ethiopia to highlight the issue of maternal health. In 2011, a televised debate entitled Face to Face, developed by United Nations Television with the United Nations Population Fund, the United Nations Educational, Scientific and Cultural Organization (UNESCO) and others, featured the Executive Director of the United Nations Children’s Fund (UNICEF), Anthony Lake, and the Director-General of UNESCO, Irina Bokova. A project of United Nations Television and the Asia‑Pacific Broadcasting Union involved the co-production of a series of documentaries on the Millennium Development Goals which was broadcast by Union members in the Asia and the Pacific region, as well as the United Nations Television channel. Over the past months, United Nations Television established new partnerships with a number of entities, including Newspoint TV (India), Shalom TV (United States), the Turkish Radio and Television Corporation (Turkey), the United States Institute of Peace (United States) and ViewChange.org (United States).",
"54. The Department continued to use the opportunities presented by screenings and other events to expand the reach of programmes produced by United Nations Television: several features on human rights and socio-economic issues were shown at the Latin American Studies department at Yale University; a feature story on the use of rape as a weapon of war in Bosnia and Herzegovina was screened at a session of the Human Rights Council in Geneva, at the Munich Film Festival and in the context of the “UNiTE to End Violence against Women” campaign in New York; a film about Afghan migrants in Greece was screened by the United Nations Association of New York. The Centro Niemeyer in Asturias, Spain, organized a major United Nations film series that included historical and prize-winning films from the Organization’s film and video archives.",
"55. Through its live streaming service and by providing on-demand access to a wide range of archival material, UN Webcast made available more than 1,100 video clips and played a key role in the production and distribution of the daily news video for the United Nations home page. In addition, it facilitated internal communications by making webcasts of town hall meetings accessible to staff at Headquarters and in the field and by providing archives of videotaped training sessions.",
"56. Demand for the Department’s photography service continued to grow during the reporting period. United Nations Photo covered nearly 650 events, including the visits of the Secretary-General to 33 countries, resulting in about 3,000 images being selected and made available to the public, in high resolution, on the United Nations Photo website. In addition to covering current events, United Nations Photo worked to increase the selection of legacy photographs documenting the historic accomplishments of the Organization available in the United Nations Photo Library. An additional 1,800 such images, retouched and digitized, were made available during the period under review.",
"D. United Nations press releases and meetings coverage",
"57. Between March and June 2011, the meetings coverage operation produced 658 press releases, equal to 2,856 pages, in English and French. Of this total, 241 press releases covered meetings of the General Assembly, the Security Council and the Economic and Social Council, and their subsidiary bodies and specialized commissions. More than 240 press releases concerned statements, remarks and messages from the Secretary-General and the Deputy Secretary-General, as well as material from other United Nations offices and departments.",
"58. The Media Liaison and Accreditation Unit processed 935 permanent accreditations and 830 temporary press accreditations during the reporting period. It provided information and logistical assistance for 71 media stake-outs and assisted in the holding of 152 press conferences and briefings, which were attended by 2,193 journalists. The Unit promoted a variety of events to the press by sending out 77 electronic media alerts to about 4,000 recipients, including media organizations, permanent missions and offices throughout the United Nations system. It also promoted events through its Twitter feed.",
"IV. Outreach services",
"A. Deepening the involvement of civil society in the activities of the Organization",
"59. Preparations for the sixty-fourth Annual United Nations Department of Public Information/Non-Governmental Organizations Conference, entitled “Sustainable societies; responsive citizens”, to be held from 3 to 5 September 2011 in Bonn, Germany, were progressing as the present report was being finalized. Participants will have the opportunity to develop a meaningful declaration and action plan that is expected to contribute to negotiations at the United Nations Conference on Sustainable Development and to several major meetings in the run-up to the Conference. In addition, the outcomes of the Bonn Conference will contribute to the special session of the General Assembly on the tenth anniversary of the International Year of Volunteers, scheduled to be held in December 2011.",
"60. During the reporting period, the NGO Relations cluster organized 12 briefings, a communications workshop and a two-day annual orientation programme for representatives of newly associated non-governmental organizations. The total number of such organizations working with the Department reached 1,601.",
"B. Global Model United Nations Conference",
"61. In preparation for the upcoming Global Model United Nations Conference, to be held in Incheon, Republic of Korea, 18 student leaders from around the world participated in a week-long workshop in New York, where they learned about the roles they would play at the Conference and communicated with United Nations officials and diplomats about the theme of the Conference: sustainable development. Looking forward, the Department plans to share its experience with other model United Nations programmes so as to bring them closer to the way in which the Organization actually functions.",
"C. Creative Community Outreach Initiative",
"62. The third annual Envision forum, on the theme “Addressing global issues through documentaries”, included a documentary film screening and a discussion series on themes related to the Millennium Development Goals, with a special focus on poverty and hunger.",
"63. One episode of MasterChef Australia, a highly rated Australian televised cooking show, was shot on United Nations premises during the tenth session of the United Nations Permanent Forum on Indigenous Issues. For the episode, amateur chefs faced each other in a challenge inspired by indigenous dishes.",
"64. Since 1990, the Department has partnered with New York Festivals to reward exceptional media productions that exemplify the values and goals of the Organization. In 2011, the Department rewarded productions that focused on child protection, violence against women, democracy and the environment.",
"65. At the Iberoamerican Creative Summit, held in Aviles, Spain, Spanish, Portuguese and Latin American film and television professionals were introduced to the United Nations. The one-day gathering, hosted by the Centro Niemeyer, included three panel discussions focusing on gender equality, environmental sustainability and combating drugs and crime. It was the first time that such an event was held outside the United States.",
"D. Celebrity advocacy",
"66. A number of United Nations messengers of peace and goodwill ambassadors joined the Secretary-General in recording video messages of solidarity with the people of Japan in the wake of the earthquake and tsunami of 11 March 2011. The messages, which were transmitted to the affected populations through Japanese broadcast and online partners, United Nations information centres and the Organization’s social media channels, were viewed over 200,000 times online. The production and distribution of the recordings resulted from a collaboration between the Department, the Office for the Coordination of Humanitarian Affairs and several United Nations entities, including the Food and Agriculture Organization of the United Nations, the United Nations Development Programme, the United Nations Environment Programme (UNEP), UNESCO and the United Nations Foundation.",
"67. Messengers of Peace Wangari Maathai and Jane Goodall contributed to an online campaign of UNEP promoting tree-planting activities in support of the International Year of Forests.",
"E. United Nations Academic Impact",
"68. By mid-July 2011, over 660 institutions of higher education and research in 104 countries had entered into a global partnership with the United Nations (see figure below). Activities by United Nations Academic Impact members included a virtual conference during the fifty-fifth session of the Commission on the Status of Women, a video-linked discussion with students at the University of KwaZulu-Natal in South Africa and editors of a new book on the measurement of poverty in New York; an international forum on vocational education, held in Shanghai, China; and an international law competition entitled “Youth for peace”, held in Belarus. A symposium in Japan focused on rehabilitation and reconstruction support to the victims of the tsunami and earthquake. In March, representatives from 15 countries participated in a conference organized in the framework of the Black Sea Universities Network on the theme “Education and governance for sustainable development”, held in Constantza, Romania. In May, the Pegaso Institute in Italy convened a symposium for Europe Day on the implementation of the principles of the United Nations Academic Impact initiative in Europe. In August, the Korean Council for University Education and Handong Global University will host a two‑day forum in Seoul entitled “New partners for change: the United Nations and the world academic community”. Institutions affiliated with the initiative continue to carry out activities in support of the initiative’s goals, including an e-learning course in Pakistan on water filtration. A university in Argentina is planning to hold a global video contest on sustainable development.",
"Figure",
"United Nations Academic Impact: distribution of members by region, as at 18 July 2011",
"[]",
"F. Engaging the public",
"69. Through the United Nations Speakers Bureau, the Department coordinated 235 in-house briefings and videoconferences for visitors to the United Nations, in addition to outside speaking engagements reaching 15,500 individuals. The Department distributed numerous information kits, responded to 10,200 inquiries from the public and received a number of petitions with 4,048 signatories in total.",
"70. Almost 1 million visitors each year view the rotating roster of public exhibitions curated and installed by the Department in the Visitors’ Lobby at Headquarters. The website for visitors also makes the exhibitions available online.",
"71. During the reporting period, seven exhibitions were organized:",
"(a) The Living Legacy of 30 Million Untold Stories, which was organized in remembrance of the victims of slavery and the Transatlantic Slave Trade;",
"(b) DeterMined, which showed pictures of victims of landmines while highlighting the work of Mine Action to save lives and protect livelihoods;",
"(c) Champions to End Malaria, which portrayed global progress and individual efforts in combating malaria;",
"(d) 25 Years after Chernobyl, which paid tribute to victims of the Chernobyl disaster;",
"(e) The Doers of Democracy, which illustrated democracy projects in five regions of the world;",
"(f) The Right to Water and Indigenous Peoples, which showed the importance of water to indigenous peoples’ way of life;",
"(g) Law. Order. Peace., which highlighted United Nations peacekeeping efforts to improve the rule of law in war-torn countries.",
"72. In 2011, 94,615 visitors took guided tours of Headquarters, a slight decrease compared with the same period in 2010. The decrease was related to an unforeseen three-day building closure for the high-level meeting on HIV and AIDS, held from 8 to 10 June.",
"G. Remembrance activities",
"73. On 2 May, the Holocaust and the United Nations Outreach Programme held the screening of and a discussion on the film The Relief of Belsen. The event was co‑sponsored by the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations in honour of the British liberators of the Bergen-Belsen concentration camp. On 20 May, the Programme organized an educators’ workshop on fostering the defence of human rights within communities. The event included a workshop and a discussion with the Special Adviser to the Secretary-General on the Prevention of Genocide and a leading human rights activist during which examples of racial discrimination during the Nazi era and contemporary cases of mass violence were discussed. The Programme continued its series of discussion papers for university students, the three most recent ones being: “The global prevention of genocide: learning from the Holocaust”, “Holocaust education in South Africa” and “The law as an accelerator of Genocide”.",
"74. The fourth annual commemoration of the International Day of Remembrance of the Victims of Slavery and the Transatlantic Slave Trade was observed during the week of 25 March 2011 under the theme “The living legacy of 30 million untold stories”. Activities at Headquarters included the screening of the film Traces of the Trade; an exhibition displaying recreations of the “middle passage”, slave ships and a collection of artefacts and historic documents; a global videoconference for educators focusing on new research, curricula planning and teaching; panel discussions with university students and non-governmental organizations; a cultural event underscoring the nexus between the cuisines of Africa and the Caribbean; a special commemorative meeting of the General Assembly and a “living legacy” concert featuring performers from Africa, the Americas and the Caribbean. The Department also utilized its network of information centres to undertake a range of activities, including the screening of the UNESCO film Slave Routes: A Global Vision in Almaty (Kazakhstan), Antananarivo, Canberra, Dakar, Geneva and Ouagadougou and the organization of workshops, cultural events, panel discussions and exhibits.",
"H. Reham Al-Farra Memorial Journalists’ Fellowship Programme",
"75. Preparations for the thirty-first annual Reham Al-Farra Memorial Journalists’ Fellowship Programme, organized by the Department and held from 12 September to 21 October 2011, are progressing. Fourteen developing countries and countries with economies in transition have submitted candidates, namely: Bahamas, Barbados, Cameroon, Croatia, Democratic Republic of the Congo, Gambia, Georgia, Ghana, Kiribati, Oman, Palau, Swaziland, Tajikistan and United Arab Emirates.",
"76. The 2011 programme will give participating journalists the opportunity to engage in practical reporting work at Headquarters. Leveraging know-how and skills within the Department, the journalists will shadow United Nations media professionals in their respective field of expertise and produce stories with them.",
"I. United Nations flagship publications",
"77. In May, the sixty-first edition of the Yearbook of the United Nations (2007) was launched at a panel discussion on “Getting the facts right”, held in partnership with the United Nations Academic Impact initiative. For the first time, the Yearbook was issued also as an e-book. An audience that included students from local universities, guest panellists from academia, journalists and representatives of the media explored, in today’s media context, topics covered by the 2007 Yearbook such as progress towards the Millennium Development Goals and attacks on humanitarian workers.",
"78. The 2011 edition of the United Nations primer, Basic Facts about the United Nations, a perennial bestseller, was published in May. As well as explaining the role played by the principal organs of the United Nations and the other organizations of the United Nations system, Basic Facts explores the ways in which the Organization contributes to international peace and security, economic and social development, human rights, humanitarian action, international law and peacekeeping operations. The 2011 edition also features the newly revised organization chart of the United Nations system. French and Spanish editions are due to follow towards the end of the year. Translations into local languages are already under way.",
"79. The first issue in 2011 of the UN Chronicle, which focused on HIV and AIDS, was published and distributed in May. Contributors included Michel Sidibé, Executive Director of UNAIDS; Pedro Basualdo, former Secretary of State of Argentina; Marc Conant, one of the first physicians to diagnose and treat AIDS; and Carol Kidu, Minister for Community Development in Papua New Guinea. In their articles, the authors analysed such issues as HIV and the workplace, HIV and education, and women and HIV.",
"80. The second issue in 2011 of UN Chronicle, dedicated to peace and security as part of the commemoration of the fiftieth anniversary of Dag Hammarskjold’s death, went to press at the end of June.",
"J. Sales and marketing of United Nations publications",
"81. Work continued on the expansion of the Department’s e-publishing programme. That included entering into an agreement for e-book distribution with JSTOR, the pre-eminent not-for-profit service that enables access to scholarly content; the publication of 31 new e-books for mobile devices; and plans for converting more than 300 popular United Nations titles into formats suitable for mobile devices. Two new mobile applications were launched: AIDSInfo and Innovations in Public Governance. The United Nations e-book collection was in the planning phase and will enter the building phase in August 2011. On the traditional book front, three new distribution agreements were signed with book distributors in sub-Saharan Africa. A total of 131 new books were published in the period under review.",
"K. Internal communications and outreach through the web",
"82. The Secretariat Intranet, iSeek, continued to be accessed by staff and personnel worldwide. The iSeek team posted 270 stories on a range of issues including International Women’s Day, UN-Women, peacekeeping, the transatlantic slave trade, World Environment Day, diversity, multilingualism and the International Year for People of African Descent.",
"83. The Department continued to develop websites to support its outreach goals. New sites were developed for the sixty-fourth Annual United Nations Department of Public Information/Non-Governmental Organization Conference and the 2011 Global Model United Nations Conference. Construction of the websites for the United Nations Academic Impact initiative and the oral history project of the Dag Hammarskjöld Library was in progress.",
"L. Visual identity",
"84. The graphic design team of the Department, which provides tailored design solutions for print and web products, worked on the messenger-of-peace pins, the eradication of poverty campaign, the Palestinian exhibit, a book on the League of Nations and the United Nations Conference on Sustainable Development, among other projects.",
"M. Library services",
"85. With the reopening of a library training space, the Library’s training programme was reinvigorated in the spring of 2011. From March to June 1,370 staff members, delegates, representatives of non-governmental organizations and others participated in library trainings.",
"Depository libraries",
"86. The data-collection exercise for the review of United Nations depository libraries ended in May 2011. The aim of the review is to ensure that depository libraries receive appropriate United Nations information in the formats that are most useful for readers. Increasingly, depository libraries, including those in developing countries, are indicating that they have improved access to the Internet. While the Library continues to encourage depository libraries to consider the advantages of electronic access, inequities in the area of such access will be taken into account. The Library is also working with depository libraries to strengthen outreach efforts in connection with United Nations-related issues.",
"87. The Library has continued to engage United Nations depository libraries through training programmes, including for 70 Latin American librarians arranged by United Nations Information Centre Mexico and a targeted training in United Nations statistical resources and documentation for librarians at major research libraries in the New York metropolitan area. Initial results from the review of depository libraries indicate that 87 per cent of the libraries would like more training in the use of United Nations information resources.",
"Electronic resources and United Nations digital information",
"88. The Library helps 55 United Nations entities to “deliver as one” by serving as the coordinating secretariat for the United Nations System Electronic Information Acquisition Consortium, which facilitates subscriptions to a constantly growing list of electronic resources for its members in 47 countries. In response to users’ needs for quality information at any time and at any location, the Library is transitioning, to the extent possible, from print collections to electronic resources and preparing new mechanisms for the delivery of electronic resources onto the desktops of staff members worldwide. The Library has continued preparations for a new platform to provide stakeholders with both digitized and born-digital United Nations information. The new platform will help safeguard United Nations digital assets for future generations.",
"89. At the same time, the Library is seeking to ensure the preservation and accessibility of the published records of the Organization since 1946. Having completed the main series of Security Council documents, the digitization programme will focus on earlier General Assembly documentation, including a retrospective content analysis of the documents so that they can become widely and easily accessible.",
"90. In the period covering March through June 2011, bibliographic metadata records were created for 6,600 United Nations documents and publications to ensure their easy retrieval. An authoritative index of terms and the thesaurus in the six official languages were continuously being maintained. Those metadata records form the core information for the United Nations Bibliographic Information System (UNBISnet), the Index to Proceedings and the Official Document System. As at 30 June 2011, 860,700 bibliographic metadata records had been recorded in UNBISnet, providing a complete voting history on all General Assembly and Security Council resolutions.",
"91. Looking ahead, an effort is under way to review how the Dag Hammarskjold Library can enhance its services and adapt to the many changes that have occurred both in the United Nations and in the area of information technology. A departmental working group on library improvements, formed in May 2011, was tasked with making recommendations covering future strategy, technology and work processes.",
"V. Use of social and “new” media in the Department",
"92. Departmental guidelines on the use of social media were finalized and will be shared across the Secretariat as a suggested model for other departments and offices. The number of followers of the United Nations Twitter account, maintained by the Strategic Communications Division, recently surpassed 400,000. Based on its “klout” score, which is widely recognized as one of the best ways to measure social media influence, the Organization’s Twitter account is the top-rated account in the United Nations system. On Facebook, the posts of the United Nations Information Centre registered more than 3 million views. The Department also maintains two accounts focusing on the Millennium Development Goals. On Facebook, the posts on the Goals account registered more than 1 million views during the reporting period.",
"93. Social media were effectively utilized to publicize the Nelson Mandela International Day campaign. Promotional messages and images were disseminated through Twitter, Facebook, Tumblr and Flickr. Posts on the United Nations Facebook page registered more than 12,000 “impressions” each.",
"94. In the field, an increasing number of United Nations information centres used social media tools to disseminate information on the Secretary-General’s messages, major reports and developments, and to reach and engage local audiences (see table 3).",
"95. United Nations Information Centre Beirut is a leading member of the social media task force of the Economic and Social Commission for Western Asia, which is responsible for the development, management and supervision of the Commission’s social media strategy.",
"96. United Nations Information Centre Washington, D.C., published several messages on its Facebook page and through Twitter in observance of the International Year of Forests. The Director of the Centre participated in a town hall meeting that was streamed on Facebook to discuss the role of the United Nations in Haiti.",
"Table 3",
"Social networking tools used by United Nations information centres",
"Facebook Twitter YouTube Flickr \n Ankara Ankara Bogota Bogota \n Baku Bogota Brussels Colombo \n Bogota Brussels Jakarta Geneva \n Brussels Canberra Kathmandu Jakarta \n Bucharest Geneva La Paz \n Buenos Aires Jakarta Lima \n Cairo La Paz Mexico City \nDar es Salaam\tMexico City\tRio deJaneiro\t\n Jakarta New Delhi Tokyo \nLa Paz\tPretoria\tWashington,D.C.\t\n Lima Rio de Janeiro Yerevan \n Manila Tunis \n Mexico City Vienna \nNew Delhi\tWashington,D.C. \n Prague Yerevan \n Pretoria \n Rio de Janeiro \n Tokyo \n Tunis \n Vienna \n Warsaw \n Washington, D.C. \n Yaounde \n Yerevan",
"97. In September 2010, the News and Media Division of the Department launched a channel on Sina Weibo, the popular microblogging platform in Chinese. With nearly 6,000 messages covering the latest news and key events, UN Weibo had close to 662,000 fans registered by June 2011. Video channels were also launched on Youku and Tudou, the top-two Chinese video-sharing websites, with over 470 clips covering a broad range of United Nations developments and issues featured on each of them. The total number of views on both channels reached 2.8 million. At the same time, the Department continued to enhance video content on the Organization’s YouTube channel in French and Spanish, with some 150 videos posted in the two languages.",
"98. During the reporting period, strategic changes were made to the management of the UN News Centre’s presence on new media platforms, including with regard to the number and type of content posted per day and the creation of separate accounts in English and French. Those decisions generated immediate results: the number of Facebook fans increased by roughly 9,000, bringing the total to almost 28,000 and the number of Twitter followers almost doubled to 8,000 in English and French combined.",
"99. The increased use of new media has enabled the UN News Centre to work more closely with its United Nations partners. For example, the UN News Centre participated in an ad hoc new media team led by UNAIDS that disseminated information in support of the high-level meeting of the General Assembly on HIV and AIDS. The French-language Twitter account was particularly useful, as many United Nations organizations do not have public information outlets in French.",
"100. The addition of a feature that makes it possible to share UN News Centre stories proved to be popular among users, who shared the weekly news quiz some 2,000 times during the reporting period. Other popular items included articles on human rights and news items on developments in the Arab world and on work done to protect refugees, which were shared more than 800 times shortly after posting. UN Webcast uses social media tools to alert viewers to upcoming events scheduled for live coverage. As the unit responsible for maintaining the United Nations channel on YouTube, UN Webcast continuously updated videos on the page and took steps to enhance its interactive aspects, in part by encouraging user response to videos. A series of videos posted on the Organization’s YouTube channel that featured messages of solidarity with the Japanese people in the wake of the Japan earthquake and tsunami disaster drew thousands of viewers.",
"101. The United Nations Photo Flickr “photostream”, where over 3,000 images have been posted, reached a milestone in April 2011, when it registered 1 million views. That number has continued to grow steadily since then.",
"102. In February and March 2011, the United Nations Academic Impact initiative, in partnership with the Department of Economic and Social Affairs, organized a series of four e-discussions on the theme “Building a future for today’s youth: improving access to education”. Harnessing the power of new media, the series was hosted on the initiative’s Facebook page. A consolidated global report on the virtual discussion was presented to the Economic and Social Council in April.",
"103. The sales and marketing presence of the United Nations on the social media platforms provided by Facebook and Twitter continued to grow: close to 3,500 users follow the Organization on Facebook and 15,500 users follow it on Twitter. Most of the Facebook users live in the United States, followed by Indonesia and Pakistan.",
"VI. Conclusions",
"104. The developments and examples outlined in the present report serve to once again provide proof that communications and public engagement are not and cannot be solely supportive endeavours: they must be integral to policies, programmes and change. Furthermore, for communications efforts to be successful, they must be sustained both locally and globally and be efficiently resourced.",
"105. The relentless and often unexpected pace of everyday life places demands on the work of the Department at both the global and the field levels. Its partnerships with the media, other parts of the United Nations system, civil society and the academic community, and the enthusiasm of young people must be sustained both locally and globally, through familiar and novel means. There is much that the Department can do, and is doing, at Headquarters and in the field, and it is vital that these activities remain financially and operationally secure. The Department will continue to enhance its means of reaching out, while invigorating its capacity to be a forum for ideas and imagination where the world and its peoples can “reach in”."
] | A_66_261 | [
"Sixty-sixth session",
"∗ A/63/250.",
"Item 54 of the provisional agenda*",
"Questions relating to information",
"Questions relating to information",
"Report of the Secretary-General",
"Summary",
"The present report has been prepared in response to General Assembly resolution 65/107 B, focusing on the recent strategic communications of the Department of Public Information on important issues such as the Millennium Development Goals, sustainable development and climate change, international peace and security and human rights. The report also reviews the activities of the United Nations Information Centre network, which is critical to the Department's support for the dissemination campaign. The report highlights the Department's services to the media and civil society, with particular emphasis on the further use of new information and communications technologies. The present paper also provides an update on the Department's outreach activities, including the organization of global simulation of United Nations activities and the new United Nations scholarly influence initiative.",
"Introduction",
"In paragraph 83 of resolution 65/107 B, the General Assembly requested the Secretary-General to submit to the Committee at its thirty-third session and to report to the Assembly at its sixty-sixth session on the activities of the Department of Public Information and on the implementation of all the recommendations and requests contained in that resolution. Accordingly, the Department of Public Information submitted three reports to the Committee at its thirty-third session, held from 27 April to 6 May 2011 (A/AC.198, paras. 3, 4) for its consideration. The Committee's deliberations on these reports are contained in its report to the General Assembly (A/66/21).",
"The present report updates information provided at the thirty-third session of the Committee on Information and describes activities undertaken by the Department of Public Information through three subprogrammes, namely strategic communications services, information services and outreach services, from February to July 2011.",
"Strategic communications services",
"Thematic issues",
"Millennium Development Goals",
"In order to maintain the momentum of the Millennium Development Goals, a shared message was drawn up by the United Nations Communications Group of over 25 partners. In addition, the Department of Public Information launched the Secretary-General's Millennium Development Goals Advocacy Group and launched the relevant website at the end of April (www.un.org/millenniumgoals/advocates).",
"Sustainable development and climate change",
"In preparation for the conference to be held in Rio de Janeiro, Brazil, in June 2012, the Department coordinated various activities to promote an informed discussion on issues such as sustainable development and forests, oceans, biodiversity and climate change. The Department of Public Information has developed a system-wide communications strategy, including common information and embezzlement, in coordination with the specialized United Nations Communications Group Task Force. The Department of Public Information has endeavoured to promote the implementation of the Cycle Agreement and the issuance by the Intergovernmental Panel on Climate Change of a report on renewable energy. In addition, the Department of Public Information has led to the United Nations involvement in the “One hour of Earth” and other activities to promote sustainability, including the activities carried out on the World Environment Day to conduct a campaign targeting staff and to reduce the use of paper. In the area of biodiversity, the Department of Public Information has endeavoured to increase the number of signatories to the Convention on Biological Diversity Protocol on the Access to Genetic Resources and the Fair and Fair Sharing of the benefits arising from its use.",
"In response to the International Year of Forests 2011, a number of United Nations information centres participated in film festivals, posters competitions, vegetation activities and other awareness-raising activities. For example, the United Nations Canberra Information Centre has established a collaborative relationship with the Canberra Institute and the National Plant and Plans of Australia to conduct a one-year photograph competition, and the United Nations Information Centre in Rio de Janeiro has provided support for a range of activities, including the Forest Conference organized by the Institute of Humanitare and Bon bank Brazil in São Paulo.",
"Fourth United Nations Conference on the Least Developed Countries",
"In preparation for the fourth United Nations Conference on the Least Developed Countries, to be held in Istanbul, Turkey, from 9 to 13 May, the Department of Public Information undertook a wide range of public information campaigns to prepare key information, a comprehensive press kit in English and French and four comments. At that meeting, the Department certified 500 journalists and worked with them.",
"High-level meeting on HIV and AIDS",
"The Department of Public Information provided advocacy support to the Joint United Nations Programme on HIV/AIDS (UNAIDS) before and during the three-day high-level meeting held in New York from 8 to 10 June 2011. In the six official languages of the United Nations, the Department of Public Information's Social Media Group works closely with UNAIDS to reach young audiences.",
"High-level meeting of the General Assembly on the prevention and control of non-communicable diseases",
"To meet the high-level meeting of the General Assembly on the prevention and control of non-communicable diseases, to be held in New York from 19 to 20 September 2011, the Department of Public Information organized a media forum with the American Association of Cancer in June 2011. Nearly 60 journalists from more than 45 countries were invited to attend a briefing at United Nations Headquarters on the causes, morbidity and prevention of cancer, diabetes, cardiovascular and lung diseases.",
"Women's issues",
"The Department of Public Information continued to provide support to the United Nations Agency for the Promotion of Gender Equality and the Empowerment of Women (BWC) to promote the establishment at the end of February through social media platforms and websites specifically developed for the International Women's Day. In addition, the Department of Public Information, in close cooperation with the Department of Peacekeeping Operations, has developed a section on gender and maintenance of the peacekeeping website to support a 10-year study on the implementation of Security Council resolution 1325 (2000) on women, peace and security.",
"The Department of Public Information disseminated the fifty-fifth session of the Commission on the Status of Women, held in New York from 12 March, 22 February to 4 March 2011 and 14 March 2011, to engage extensively with the media and to promote special events held during the session, including the “Uniting to End Violence against Women” campaign launched by the Secretary-General.",
"The United Nations Regional Information Centre in Brussels launched a full-European advertising competition on the theme “Prevention of violence against women”.",
"The United Nations Information Centre for Ankara has established a partnership with the Turkish National Journal, which publishes, on its main page, an advertisement of the activities of the Ankara Information Centre for more than 1 million people per day.",
"The United Nations Information Centre, supported by the United Nations Communications Group Yemen, produced three radio programmes on women's education, work and early marriage. The radio station in Sana has broadcast these programmes.",
"Global Action against Racism",
"In the International Day for the Elimination of Racial Discrimination (21 March), a video conference on racial discrimination was held at Headquarters for 200 students from Canada, Trinidad and Tobago and the United States of America, with a particular focus on Afro-descendants. The United Nations Information Centre network launched a series of outreach activities.",
"Nelson Mandela International Day",
"At the Second International Day of Nelson Mandela, held on 18 July 2011, the Department's activities were on the theme “Action! In order to promote change, it was encouraged to devote 67 minutes to public services to mark the 67-year struggle of Nelson Mandela for free and equal rights. As part of its activities, the United Nations, in cooperation with the Central Park Management Service in New York, has carried out the construction of the park improvement work, which is being painted by the facilitators and the chief of the park. In cooperation with MTV, special programmes were produced for the International Day of Nelson Mandela, “MTV Action”, highlighting how ordinary citizens could change their lives and communities through minor actions.",
"Rwanda genocide commemoration",
"The Department of Public Information carried out the 17th anniversary of the genocide in Rwanda on the theme “Renewing Rwanda: reconciliation and education”. On 7 April, a commemorative ceremony was held at Headquarters in cooperation with the Permanent Mission of Rwanda to the United Nations. The survivors of the genocide made statements in their activities. In addition, the Department of Public Information arranged for student meetings on the subject. The Special Adviser of the Secretary-General on the Prevention of Genocide and a survivors of genocide addressed students. A young man named “Tugire Ubumwe: Let us unit”.",
"Question of Palestine",
"On 12 and 13 July 2011, the Department organized an international media seminar on peace in the Middle East in Budapest. The conference was co-hosted with the Ministry of Foreign Affairs of Hungary for a two-day period, with approximately 100 current and former policy makers from Israeli and Palestinian Authority, as well as senior United Nations officials, international experts and media representatives. Participants discussed the role of the press and visual media in the agenda for peace, based on changes in the political landscape of the Arab world.",
"The annual training plan for Palestinian media practitioners in 2011 is scheduled to be held at Headquarters from 31 October to 2 December 2011. Palestinian journalists, who are mainly involved in the audio-visual media, will participate in a five-week event, which will focus on practical skills training for broadcast television programming.",
"United Nations peacekeeping",
"From 18 to 21 April, the Department of Public Information, the Department of Peacekeeping Operations and the Department of Field Support held eight annual training workshops at the United Nations Regional Centre in Entebbe, Uganda. The focus of the workshop was on promoting innovation and collation in the digital area and new recruitment policies for field staff.",
"The selected theme for the International Day of United Nations Peacekeepers is “The rule of law”. The Department of Public Information, in cooperation with the Department of Peacekeeping Operations and the Department of Field Support, focused on how peacekeeping operations strengthen the police, justice and corrections institutions under the “Legal, Order and Peace”. Public activities carried out at Headquarters include ceremonization, award ceremony for peacekeepers and videos on the rule of law for peacekeepers.",
"The United Nations Bujumbura Information Centre jointly organized commemorative events with the United Nations Office in Burundi, the African Union local offices, the Ministry of Defence of Burundi and ex-combatants. The United Nations Information Centre in Jakarta organized a live radio talk programme on United Nations women peacekeepers, which was broadcast at the Radio of the Republic of Indonesia. Several activities were organized by the United Nations Information Centre in Ouagadougou to raise awareness of the International Day of Peacekeepers, including the 30-minute television programme developed jointly with the National Television of Burkina Faso, and the presentations for local military school students in cooperation with the Ministry of Defence of Burkina Faso.",
"New Partnership for Africa's Development",
"Through its quarterly magazine Africa Renewal and redesigned and regularly updated websites, the Department continued to raise global awareness and support for the NEPAD Planning and Coordination Bureau. Between March and June 2011, 12 thematic briefs were published in 224 different media in 54 countries (335 in English, 193 in French). The Africa Section of the Department of Public Information continues to increase its network presence and make greater use of social media tools, in-depth but growing numbers of African networks and audiences in developed countries.",
"International Year of Youth",
"In order to promote the International Year of Youth, the Department of Public Information undertook a series of activities, including lectures and briefings for youth groups and students, press conferences, seminars, workshops, debates, interviews and radio television talk programmes. The United Nations Information Centre has included a youth perspective in other major United Nations commemorative events and the Millennium Development Goals outreach activities.",
"The United Nations Information Centre McAjial - a youth organization that encourages young people to participate in the achievement of the Millennium Development Goals and the “Bahrain Vision 2030” initiative in Bahrain and the Gulf region, cooperates in the celebration of the International Year of Youth, organized activities such as the Youth baskets and the Women Envelopes in Bahrain.",
"The United Nations New Delhi Information Centre, as part of its one-year extension programme for the International Year of Youth, organized the street theatre festival in collaboration with the “green” organizers, attracting the participation of theatre groups in the New Delhi 20 College.",
"United Nations information centres",
"Dissemination of information",
"As noted above, the United Nations Information Centre continued to use various communication tools and partnerships with Governments, media organizations, non-governmental organizations, academic institutions and other members of civil society. In this process, they increasingly use movies and other visual materials.",
"The United Nations Regional Information Centre in Brussels organized a monthly film screening exercise followed by discussions. This activity has been extended to other countries, including France, Germany, Iceland and Israel.",
"The United Nations New Delhi Information Centre organized the 8th film festival “We are not indifferent”. This is an annual international documentary film festival on disability initiated by the NGO Fraternite.",
"Cooperation arrangements with local broadcast institutions",
"The United Nations Information Centre has strengthened its cooperation with national broadcast agencies to disseminate United Nations videos and movies and to make joint programming arrangements.",
"The United Nations Information Centre for Islamabad, with the support of the United Nations Communications Group Pakistan office, made a joint advocacy arrangement to broadcast 12 thematic broadcasts on priority issues from July to December 2011 for the United Nations throughout Pakistan.",
"A agreement was reached between the United Nations Information Centre in Mexico City and the Latin American Institute for Education Exchange (the organization dedicated to the development, research and application of information and communications technology and the production of educational materials for distance learning) to improve the quality of education in Latin America.",
"Building the advocacy capacity of Department staff",
"The Department of Public Information recognizes the need to strengthen the advocacy skills of its staff, in particular those in the field, and has organized several training courses. In June 2011, the Department of Public Information organized a media workshop in Vienna for the United Nations Information Centre in Moscow and the United Nations Office in Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan and Ukraine. The workshop included new media, crisis gates and interviews and press conference management techniques.",
"In addition, the Department of Public Information, in cooperation with the Office of Human Resources Management, has been welcomed by providing a eight-day distance learning course entitled “Information of networks”. Since early 2011.",
"Ongoing budgetary and security challenges",
"The Department of Public Information remains committed to maximizing the role of its human and financial resources to use these resources in the most strategic and efficient manner possible. For example, in a number of United Nations information centres, the post of Administrative Assistant has been converted to the Knowledge Management Assistant to strengthen the advocacy functions of the information centre in the country team. In many cases, the actual space allocated to the information centre has been reduced, with direct reductions due to a reduction in the sharing of space and sharing costs with other United Nations country team personnel. As a result, some of the assets previously owned by the Information Centre Library were donated to local universities, and the information centre focused on helping clients to visit e- Resources and to advocate for target audiences through workshops and presentations outside the centre.",
"Security issues remain grave. The Department of Safety and Security continued to reassess the minimum operational safety standards. As a result, the expenditure on security measures increased by about one third compared to the previous biennium.",
"United Nations Information Centre",
"The representative of the Government of Angola informed the Department of Public Information that funding for the United Nations Information Centre for the Portuguese-speaking countries in Africa had been approved. The Department is working with the Office of Legal Affairs to draft host country agreements. The posts at the new centre have been established and the vacancy advertisements in the post of Director have been issued.",
"Information services",
"United Nations website",
"Structural elements of the Organization's website (www.un.org) have been adjusted to strengthen navigation function and expand the use of common brand elements to enhance coherence and consistency in the content of the website. In addition, new pages were created in the six official languages, in accordance with the provisions of the General Assembly.",
"Starting in early 2011, the reporting on web flows is based on the use of Google Analytics collected data, reflecting a high degree of accuracy. The analysis of trends in use by languages, geographical regions, specific sites and dates is more easy.",
"Most of the websites produced by the Department are provided in all official languages of the Organization. As the Department of Public Information has increased its use of multimedia products, such as video distribution of the most news values on the United Nations home page, thus ensuring that the statements are made available in all official languages (see tables 1 and 2).",
"In assisting in the design and development of the website, the Department of Public Information continued to use collaborative arrangements with the University of Belarus, China and Spain to translate the content of the web page into Chinese, Russian and Spanish. In cooperation with the Arabic translation services of the Department for General Assembly and Conference Management, the Arabic Languages Unit of the Department of Public Information translated the website into Arabic. The two sectors have recently expanded their cooperation and signed agreements with the University of Damascus, the University of Cairo and the University of Saint Joseph, Beirut. The existing arrangements between the Department of Public Information and the United Nations Volunteers programme also contribute to the provision of additional material on the United Nations website in French.",
"Table 1",
"Total Spanish",
"United States",
"Paragraphs Page",
"Paragraphs Page",
"United Kingdom 1 512 964 143 503 611 617 1 276 152 115",
"Canada 1,097 1,010 118 440 979 441",
"France 803,802 26, 640 367 667",
"256 170 281 605,110311 124 954",
"Spain 408 187 22 6481 920 340 90 376 1,064",
"Australia 512 876 103,909 492 275 282 106 531",
"India 331 146 905,025 323 883 91 975",
"Table 2 United Nations website unique visitors and web pages, March-June 2011",
"Languages",
"Arabic 313,200 1,006 102",
"Original: ENGLISH",
"English 85,054 234 30243 489",
"French 1 131 37 1,032 868",
"Russian 732 598 2 546 944",
"Spain 2 461 798 667 826",
"Total",
"In order to facilitate the use of the United Nations website by persons with disabilities, including visual, hearing and operational barriers, the Department of Public Information, in the production of the United Nations home page daily videos, has prepared a video footprint for the Department.",
"United Nations information centres",
"During the reporting period, only the news produced in English and French surpassed 2,000, while the telecommunications often has relevant audio and video links. The United Nations website continues to publish weekly lists of press questions, photographs and the most monthly audiences. Between March and June, 10 in-depth interviews were held with United Nations officials and journalists. The focus of the regular update continues to provide a spousal facility for documentation and articles on complex issues. The United Nations information centres have also launched new series coverage from the field, focusing on the experience of mission personnel.",
"More countries have provided news pools and media corridors, which have increased the frequency of coverage by the Department of Public Information. During the period under review, the Philippines Times, New Caledonia, India, the Democratic People's Republic of Korea, the London Waters, the Indian Constitution, the Cambodia Times, Washington Radio, D.C., the Lao Small Newslet, Afriquinfo, the Africa Times and All Africa.com, all of the media have been reproduced by the Department of Public Information.",
"The English web page of the United Nations Information Centre is about 600,000 visits per month and over 1 million pages. Those numbers have stired at the peak of the hot spots. At the time of rapid changes in the situation in the Middle East and North Africa in April this year, the United Nations information centres recorded a total of 8,000 and 1.5 million pages. In addition, about 430,000 users receive information on a daily basis through e-mail.",
"C. Broadcast, television and photograph services",
"During the reporting period, United Nations Radio increased the frequency of updates for partners by sending e-mails to radio stations indicating daily coverage. United Nations Radio expanded coverage and increased live-time coverage, one of which was the use of Skype for interviews. The most popular news coverage includes webcasting news coverage of the United Nations response and response to the riots in the Middle East and North Africa.",
"The Radiology produced thematic programmes and related interviews for the International Day of Commemoration of Victims of Slavery and the Transatlantic Slave Trade, the United Nations International Day for Peacekeepers and the High-level Conference on HIV/AIDS. The Section produced a slogan for the commemoration of the twenty-fifth anniversary of the twenty-fifth anniversary of the development of thematic programmes on women's human rights for the commemoration of the tenth session of the United Nations Permanent Forum on Indigenous Issues. The United Nations Radio dispatched two journalists to Istanbul, Turkey, to cover the fourth United Nations Conference on the Least Developed Countries. The two journalists produced 40 reports and sets of programmes in French and English, interviews with United Nations information centres in other languages through Skype.",
"In order for senior United Nations officials to talk about their recent tasks, a new “former-line visit” radio interview feature was launched. The visitor included the Assistant Secretary-General for Human Rights, Ivan Simnoović, who provided information on the conduct of Iraq, as well as the Special Rapporteur on contemporary forms of slavery, and she provided information on the first fact-finding mission to Peru.",
"During the reporting period, United Nations Radio took additional steps to upgrade its website and related content management systems in order to more flexiblely publish multimedia content in different languages, including videos and lights, allowing for the direct transmission of the election of the new President of the General Assembly on the United Nations Radio Spanish website. The United Nations Radio Portuguese website regularly provides videos, for example, the United Nations Radio produced a video coverage and reported on the screening of the Rio as part of the preparations for the production at Headquarters.",
"During the reporting period, Vinha FM (Brazil), Radio Communitaria Maria Rosa FM (Brazil), Urban Cool Radio (United States), FM Sierras (Argentina), Coral Saúde/Fundação Oswaldo Cruz (Brazil), Radio Huancavilca 830 AM (Ecuador), Radio Indico (Mozambique) and Tela Non Brazil).",
"The United Nations Television held live webcasts of the High-level Meeting on HIV and AIDS and the Fourth United Nations Conference on the Least Developed Countries, which was broadcast on the face-to-face network (Facebook) — the first time that was held outside United Nations Headquarters. The content of these programmes is widely used by television news agencies, including through uters and ITU television news and through the United Nations Television Broadcast Platform. The United Nations Television Broadcast Platform continued to expand its contacts with non-governmental organizations, government agencies, educational institutions and individuals who relied on the United Nations Television broadcast platform to provide United Nations news content. More than 40 United Nations agencies, funds, peacekeeping missions and other entities provide this service.",
"On-site coverage of activities at Headquarters in New York and at the United Nations Office at Geneva was broadcast through the occasional United Nations channel in New York and disseminated globally through the United Nations web.",
"The flagship programme of the Department of Public Information, which was broadcast by more than 60 international broadcast agencies — the twenty-first century of television news magazines, continues to be endorsed. In April 2011, a presentation was made on the role of the United Nations in the justice of the Khmer victims, which won the famous New York International Television and Film Award. The United Nations Action Series, produced in English, French, Russian and Spanish, expanded coverage through joint projects with United Nations agencies, highlighting the work of the United Nations in the areas of economic and social development, environment, human rights and health.",
"The Department of Public Information, in collaboration with the Office for the Coordination of Humanitarian Affairs, produced the World Day, which provided an overview of the visit of the Secretary-General and his to Nigeria and Ethiopia to raise the importance attached to maternal health. In 2011, the United Nations Television programme, launched jointly with the United Nations Population Fund, the United Nations Educational, Scientific and Cultural Organization (UNESCO), presented the United Nations Children's Fund (UNICEF) Executive Director An Easterni Lek and the Director-General of UNESCO, Iinna Bokoova. The United Nations Television project with the Asian Broadcasting Union is a joint production of a series of documentary films on the Millennium Development Goals, webcasted by members of the Alliance in the Asia-Pacific region and webcasted by United Nations Television channels. During the past few months, United Nations Television has established new partnerships with a number of entities, including Newspoint TV (India), Shalom TV (United States), Turkish Broadcasting Corporation (Turkey), United States Institute for Peace (United States) and View Change.org (United States).",
"The Department continued to expand the coverage of United Nations Television programmes through film screening and other activities: A number of films on human rights and socio-economic issues have been screened by the Latin American Research Institute at the University of Yruu; a film on rape in Bosnia and Herzegovina as a weapon of war was shown by the United Nations Association in New York during the Human Rights Council meetings held in Geneva, the Muni black film festival and the “Uniting to End Violence against Women” events held in New York. A large United Nations film series was organized by Arsturia Centro Niemeyer, Spain, which included the historical films and awards stored in the United Nations film and video archives.",
"The United Nations webcasting service through live media services and the provision of a wide range of archival material, provides more than 1,100 videos, which play an important role in the production and delivery of daily news videos for the United Nations home page. In addition, the United Nations webcast has also provided the staff at Headquarters and in the field with webcasts of the meetings of the workforce, as well as video files of the training courses, facilitating internal communication.",
"During the reporting period, the demand for photo services in the Department continued to grow. The United Nations Photographs have reported nearly 650 activities, including the Secretary-General's visit to 33 countries, selected and made available to the public about 3,000 high photographs on the United Nations Photo Library website. In addition to the coverage, the United Nations Photographies have also endeavoured to increase the screening of United Nations photographs of historical photographs, thereby documenting the historical achievements of the United Nations. During the reporting period, 1,800 such photographs were also provided.",
"United Nations press releases and conference coverage",
"Between March and June 2011, 658 press releases were prepared in English and French through conference coverage activities, covering a total of 2,856 pages, of which 241 press releases relate to meetings of the General Assembly, the Security Council and the Economic and Social Council and its subsidiary bodies and specialized committees. More than 240 press releases relate to statements, speeches and statements made by the Secretary-General and the Deputy Secretary-General, as well as to information from other parts of the United Nations.",
"During the reporting period, the Media Accreditation and Liaison Unit processed 935 applications for long-term certification and 830 requests for provisional accreditation. The Section provided information and logistical support to 71 media targeted interviews, facilitated 152 press conferences and briefings, bringing the number of journalists to 2,193. The Unit has recommended various activities to the media and sent 77 e-media notes to about 4,000 people across the United Nations system, including media organizations, permanent missions and offices, as well as various activities through the Inferral Network (Twitter).",
"Outreach services",
"Increasing the participation of civil society in United Nations activities",
"At the time of finalization of the present report, preparations for the sixty-fourth United Nations Department of Public Information/NGO Annual Conference, entitled “Sustainable societies; citizens responsive to the situation”, to be held in Bonn, Germany, from 3 to 5 September 2011. Participants will be given the opportunity to formulate meaningful declarations and plans of action, which are expected to contribute to negotiations on the ground, and will also contribute to several major meetings that were held before the start of the Conference. In addition, the outcome of the meeting in Bonn will contribute to the special session of the General Assembly on the tenth anniversary of the International Year of Volunteers, to be held in December 2011.",
"During the reporting period, the Non-Governmental Organizations Relations Group (A/64/2, para. The total number of such organizations involved in the activities of the Department is 1,601.",
"Global simulation of United Nations meetings",
"In preparation for the upcoming global simulation United Nations Conference in Incheon, Grand Handhan State, 18 students from all over the world participated in a one-week workshop in New York to understand their role in the Conference and to share with United Nations officials and diplomats on the theme of the Conference, namely sustainable development. Looking forward, the Department of Public Information plans to share experiences with other simulations of United Nations plans in order to bring those activities closer to the United Nations's practical functioning.",
"C. Creative community outreach activities",
"The third Annual Vision Forum, which addresses global issues through documentary films, includes the screening of documentary films and a series of discussions on themes related to the Millennium Development Goals, with a focus on poverty and hunger.",
"During the tenth session of the United Nations Permanent Forum on Indigenous Issues, a photocopy of Australia's television feeding programme, the Australian kitchen horrend. During the programme, the remaining kitchens had launched a horticulture competition in the light of indigenous vegetables.",
"Since 1990, the Department of Public Information, in cooperation with the New York Art festival, has given incentives for excellence in programmes that reflect United Nations values and objectives. In 2001, the Department of Public Information provided incentives for programmes focused on child protection, violence against women, democracy and the environment.",
"At the Ibero-American creative Summit held in Aviles, Spain, the United Nations was presented to film television professionals in Spain, Portugal and Latin America. A one-day event hosted by Centro Niemeyer included three panel discussions focusing on gender equality, environmental sustainability and countering drug and crime. This is the first time in countries other than the United States.",
"Advocates",
"Following the earthquake and tsunami disaster of Japan on 11 March 2011, a number of United Nations peacemakers and Goodwill Ambassadors, together with the Secretary-General, made a welcome to the people of Japan. These information is transmitted to the victims through Japan's radio and network partners, United Nations information centres and United Nations social media channels, with an online view of over 200,000. Participation in the production and dissemination of these videos is the Department of Public Information, the Office for the Coordination of Humanitarian Affairs and a number of United Nations entities, including the Food and Agriculture Organization of the United Nations, the United Nations Development Programme, the United Nations Environment Programme (UNEP), UNESCO and the United Nations Foundation.",
"Peacemakers Wangari Maathai and Jane Goodall have helped to carry out UNEP online activities to promote planting activities in support of the Year.",
"E. United Nations scholarly impact initiatives",
"As of mid-July 2011, more than 660 higher education and research institutions in 104 countries have established a global partnership with the United Nations (see figure below). Activities undertaken by members of the United Nations scholarly influence plan included the holding of virtual meetings during the fifty-fifth session of the Commission on the Status of Women, video discussions with students from the University of Ankara Zurra, South Africa, and a new book on poverty measurement; international vocational education forums in Shanghai, China; and the international legal competition entitled “Youth for Peace” in Belarus. The symposium held in Japan focused on providing rehabilitation and reconstruction support to tsunami and earthquake victims. In March, representatives from 15 countries participated in the conference on the theme “Education and sustainable development governance”, held in Constantina, Romania, within the framework of the Black Sea University Network. In May, the Italian PEGASO Institute convened a European Day Symposium on the implementation of the principles of the United Nations scholarly impact initiative in Europe. In August, the Korea University Education Council and the University of Korea will hold a two-day forum entitled “New Partnership for Change: United Nations and World academia”. Agencies related to the Academic Impact Initiative continued to organize activities to support the objectives of the initiative, including the launch of an online learning course on water filters in Pakistan. A university in Argentina is planning to organize a global video competition on sustainable development.",
"United Nations scholarly influence initiative: distribution of members by region as at 18 July 2011",
"[]",
"Participation of the public",
"The Department of Public Information arranged 235 internal presentations and video meetings for United Nations visitors through the United Nations Speakers Service, and 15,500 participants in external lecture events. The Department of Public Information issued a number of press kits to respond to 10,200 public inquiries and received multiple petitions with 4,048 signatures.",
"Approximately millions of tourists visited the Department of Public Information to display and install a rotating public exhibition at the Visitors' Office at Headquarters. Visitors' websites also provide online exhibitions.",
"During the reporting period, seven exhibitions were organized:",
"(a) The hard-wall legacy of the 3,000 undisclosureed stories for the memory of victims of slavery and the transatlantic slave trade;",
"(b) Resistance for the removal of landmines, showing maps of mine victims, highlighting the work of mine action to save lives and protect lives;",
"(c) “With a view to ending malaria”, demonstrating global progress and personal efforts to combat malaria;",
"(d) After Chernobyl 25 years, pay tribute to the victims of the Chernobyl disaster;",
"(e) To do so to achieve democracy, demonstrating democratic projects in five regions of the world;",
"(f) The right to water and indigenous peoples show the importance of water for indigenous peoples' lifestyles;",
"(g) Law, order, peace, with a focus on United Nations peacekeeping efforts to improve the rule of law in countries suffering from war.",
"In 2011, the number of visitors participating in the headquarters guided tour was 94,615, a slight decrease compared to the same period in 2010. One of the reasons for the decrease in visitors was the uninterrupted closure of the building for three days from 8 to 10 June as a result of the high-level meeting on HIV and AIDS.",
"Memorial activities",
"On 2 May, the Holocaust and the United Nations Outreach Programme gave an overview of the ransom of the film “Welson rescue” and organized discussions. The event was organized by the Permanent Mission of the United Kingdom of Great Britain and Northern Ireland to the United Nations to commemorate the emancipation of the Begen-Belson concentration camp. On 20 May, the Outreach Programme organized a workshop for educators supporting the defence of human rights in the community. Activities included workshops and seminars organized by the Special Adviser of the Secretary-General on the Prevention of Genocide and prominent human rights activists to discuss instances of racial discrimination during the course of activities and contemporary mass violence. The outreach plan continued to produce a series of discussion papers for university students, and the last three documents were: “Global genocide prevention: lessons learned from the Holocaust”, “The Holocaust education in South Africa” and “The law is a accelerated tool for genocide”.",
"The fourth annual commemoration of the International Day of Remembrance of Victims of Slavery and the Transatlantic Slave Trade took place on 25 March 2011 on the theme “Final legacy of 3,000 undisclosureed stories”. Activities at Headquarters included the screening of the marks of trade in films; the demonstration of replication of “intermediational corridors” and of objects and historical literature; video meetings of global educators, focusing on new research, curriculum planning and teaching; panel discussions with university students and non-governmental organizations; highlighting the trajectory activities linked to the trajectory events in Africa and the Caribbean; the special commemorative meetings of the General Assembly and the “well-life legacy” concerts for African, the Americas and Caribbean performanceers. The Department also uses its network of information centres to conduct a series of activities, including in Almaty (Kazakhstan), Antananarivo, Canberra, Dakar, Geneva and Ouagadougou, to map the Slave Traffic Routes produced by UNESCO: a global vision workshop, cultural events, panel discussions and exhibitions.",
"H. Annual Programme of the Memorial of the Journal of Hahm Farra",
"Preparations for the thirty-first Annual Programme of Memorial of Journalists, to be organized by the Department of Public Information from 12 September to 21 October 2011 are under way. Fourteen developing countries and countries with economies in transition have submitted lists of candidates: Bahamas, Barbados, Cameroon, Croatia, Democratic Republic of the Congo, Gambia, Georgia, Ghana, Kiribati, Oman, Palau, Swaziland, Tajikistan and United Arab Emirates.",
"The 2011 programme will provide journalists participating in the programme with opportunities for practical coverage at Headquarters. Journalists will draw on the knowledge and skills of the Department of Public Information to learn from media personnel in all areas of the United Nations and to produce their programmes together.",
"United Nations flagship publications",
"In May, the United Nations Yearbook (2007) was launched in a panel discussion entitled “Demonstration of facts”, jointly with the United Nations scholarly influence initiative. For the first time, the Yearbook's electronic paper was also asked. Students from local universities, expert panellists from academia, journalists, media representatives addressed the topics covered in the 2007 Yearbook in the form of today's media, such as progress in the Millennium Development Goals and attacks on humanitarian workers.",
"The United Nations Overview of the United Nations Profiles of the Year was published in May 2011. The United Nations profile, while presenting the role played by the principal organs of the United Nations and other organizations of the United Nations, also explores how the United Nations promotes international peace and security, economic and social development, human rights, humanitarian action, international law and peacekeeping operations. The new revised United Nations system organization chart was also available in the 2011 edition. The French and Spanish versions are scheduled to be published by the end of the year. The translation of the book into local languages has been carried out.",
"The first United Nations book focusing on HIV and AIDS was published in May 2011. The authors included the Executive Director of UNAIDS, Michelle Sadibe, former Secretary of State of Argentina, Pedro Basualdo and Carol Kidu, Minister of Community Development of Papua New Guinea. They analysed HIV and workplaces, HIV and education and women and HIV in their articles.",
"The second part of the commemoration of the fiftieth anniversary of the death of Dag Hammarskjöld will be printed by the end of June 2011, in the Official Journal of Peace and Security.",
"J. Sales and marketing of United Nations publications",
"The expansion of the Department's electronic publishing plan continued. This includes the signing of an electronic sales agreement with prominent non-profit service providers JSTOR to provide academic content; the publication of a new electronic book of 31 for mobile equipment; and the planned conversion of more than 300 widely welcomed United Nations publications into a format suitable for mobile equipment. Two new mobile applications have been launched: AIDS information and public governance innovation. In the area of traditional books, three new sales agreements were concluded with the purchaser in sub-Saharan Africa. A total of 131 new books were published during the reporting period.",
"Internal communication and outreach through the network",
"IntranetiSeek, the Secretariat continues to provide services to staff and associated personnel around the world. iSeek groups have posted 270 news, covering a range of issues, including International Women's Day, United Nations mediation, peacekeeping, transatlantic slave trade, World Environment Day, Diversity, multilingual environment and Afro-descendant International.",
"The Department continued to develop websites to support its outreach objectives. New sites were developed for the sixty-fourth United Nations Department of Public Information/NGO Annual Conference and the Global Model United Nations Conference in 2011. The United Nations scholarly influence initiative and the website of the Dag Hammarskjöld Library on historical projects are being constructed.",
"Virtual mark",
"The Department of Public Information's portfolio design team responsible for the provision of print and web-based product tailor-made solutions consists of peacemakers, poverty eradication campaigns, Palestinian exhibitions, books on international alliances and hospitality.",
"Library services",
"Following the reopening of the library training site, the library training is planned to be resumed in spring 2011. Between March and June, 1,370 staff, representatives and representatives of non-governmental organizations participated in the activities organized by the Library.",
"Library",
"The review of data collection at the United Nations depository libraries ended in May 2011. The purpose of the review is to ensure that the depository libraries receive appropriate United Nations information in the most useful format for the reader. The depository libraries, including libraries in developing countries, have increasingly indicated that the Internet will be better utilized. The United Nations Library, while continuing to encourage depository libraries to consider the advantages of electronic access, considers the imbalance in electronic access. The United Nations Library is also working with the depository libraries to strengthen outreach activities related to United Nations issues.",
"The United Nations Library continued to cooperate with the United Nations depository libraries through training programmes, including targeted training on United Nations information resources and documentation provided by 70 Latin American Archives, organized by the United Nations Information Centre for Mexico, and by major research-oriented libraries in the Great New York region. The preliminary results of the review of the depository libraries indicate that 87 per cent of libraries wish to increase training on how to use United Nations information resources.",
"Electronic resources and United Nations digital information",
"The 55 United Nations entities in the United Nations Library “Adelivering as One” serve as the coordinating secretariat of the United Nations system Joint Organization for e-information procurement to help 47 members to access the growing electronic resources. In order to meet the user's demands for access to quality resources at all times, the United Nations Library is moving to electronic resources, as far as possible, from print collections to new mechanisms for the preparation of electronic resources to staff around the world. The United Nations Library continues to prepare new platforms to provide stakeholders with United Nations information that is digitally processed and from the outset in electronic format. The new platform will help to preserve United Nations electronic assets for future generations.",
"At the same time, the United Nations Library is working to ensure the protection and delivery of United Nations publication records since 1946. The process of processing of the main series of Security Council documents has been completed through the digitization plan, which will focus its work on early General Assembly documents, including a retroactive analysis of the documentation so that users can easily access documents.",
"Between March and June 2011, six,600 United Nations documents and publications were created to ensure their accessibility. The terminology and terminology index developed in the six official languages is constantly maintained. These metadata records constitute core information on the United Nations bibliographic information system, the records and the official documents system. As at 30 June 2011, a total of $860,700 was recorded in the United Nations bibliographic information system, which provided a complete record of voting on all General Assembly and Security Council resolutions.",
"To focus on the future, efforts are being made to review how the Dag Hammarskjöld Library should improve its services and adapt to the many changes that have occurred in the United Nations and in the area of information technology. The Department's task of improving the library was established in May 2011 to make recommendations on future strategies, technologies and work processes.",
"Use of social media and “new” media by the Department of Public Information",
"The Department's guidelines on the use of social media have been finalized and will be distributed throughout the Secretariat as a model for other departments and offices. The number of users of the United Nations-led accounts maintained by the Strategic Communications Division has recently surpassed 400,000. In accordance with the widely recognized rating of “klout” of one of the best measurements of the social media, the United Nations pushed the accounts at a high level in the United Nations system. The United Nations Information Centre has more than 3 million posters on the face. The Department also manages two accounts that focus on the Millennium Development Goals. During the reporting period, the Millennium Development Goals accounts were posted on the face of more than 1 million people.",
"Social media were effectively used in the promotion of Nelson Mandela International Day. Advocacy information and photographs were transmitted through the promotional network, the face network, Tumblr and Flickr. The United Nations Chronicle web page has posted more than 12,000 people.",
"In the field, a growing number of United Nations information centres disseminate information on the Secretary-General's message, main report and developments, and reach local audiences (see table 3).",
"The United Nations Information Centre in Beirut is the main member of the Economic and Social Commission for Western Asia Social Media Task Force to develop, manage and monitor the social media strategy of the Commission.",
"The United Nations Information Centre, Washington, D.C., has issued a variety of information to commemorate the International Year of Forests web page and through the Inputing Network. The Director of the Centre participated in the plenary meetings that were delivered through the face-to-face media to discuss the role of the United Nations in Haiti.",
"Table 3 Social networking tools used by United Nations information centres",
"Facing Network",
"Ankara Bogotá",
"Baku Bogota",
"Burkina Faso",
"Brussels",
"Bucharest Geneva",
"Bangkok",
"Cairo",
"Dar es Salaam Mexico City",
"Jakarta New Delhi",
"Oslo",
"Chile",
"Manila Tunisia",
"Mexico City Vienna",
"New Delhi",
"Prague Erib",
"Pretoria",
"Rio de Janeiro",
"Tokyo",
"Tunisia",
"Vienna",
"Warsaw",
"Washington, D.C.",
"Yaoundé",
"Egypt",
"In September 2010, the News and Media Division of the Department of Public Information launched a dedicated channel through a new wave of microbagbo platforms in Chinese. As of June 2011, the United Nations Microbobo reported up-to-date news and important events through almost 6,000 information, and registered users were close to 662,000. Video channels have also been launched at two top-level video-sharing sites in China, with more than 470 copies of posted films, covering a wide range of United Nations developments and issues addressed. The total number of these two channels is 2.8 million. At the same time, the Department of Public Information continued to upgrade the video content of the United Nations YouTube channel in French and Spanish, with videos posted in both languages of approximately 150.",
"During the reporting period, strategic changes have been introduced for the management of the new media platform by the United Nations Information Centre in relation to the number and type of content posted daily and the creation of an independent account in English and French. These decisions have resulted in the immediate effect of an increase of about 9,000 people in face-to-face chillers, an increase of about 28,000 in the total number of chillers and nearly 8,000 in English and French.",
"Because of the increased use of new media, the United Nations Information Centre has been able to cooperate more closely with United Nations partners. For example, the United Nations Information Centre participated in the Ad Hoc Media Group led by UNAIDS to disseminate information and support the high-level meeting of the General Assembly on HIV and AIDS. In French, the IPF accounts are particularly useful, as many United Nations organizations have no French press access.",
"In order to share the coverage of the United Nations information centres, a new function has been increased and widely welcomed by the user, and during the reporting period, the number of user-sharing of inter-American press queries reached about 2,000 times. Other promising projects include articles on human rights and information on developments in the Arab world and refugee protection efforts, which are soon more than 800 times after their post. The United Nations webcasts of activities to be broadcast live by users through social media tools. As a unit responsible for the maintenance of the United Nations channel in YouTube, the United Nations is webcasting up video content on the web page and taking steps to strengthen its interactive functions, including by encouraging users to comment on videos. Following the earthquake and the tsunami disaster in Japan, the United Nations YouTube channel has posted a series of videos to disseminate information about the people of Japan, attracting thousands of users.",
"More than 3,000 photographs posted by the United Nations Photograph Flickr “figures”, reached a milestone in April 2011 to reach 1 million. This figure has continued to stabilize.",
"In February and March 2011, the United Nations scholarly influence initiative, in collaboration with the Department of Economic and Social Affairs, organized four web series discussions on the theme “A future for young people today: better access to education”. This series of activities has led to a new media presence on the face of the scholarly influence initiative web page. A comprehensive global report on virtual discussions was submitted to the Economic and Social Council in April.",
"The promotional work carried out by the United Nations on the social media platform offered by the face network and the promotional network continued to grow: nearly 3,500 and 15,500 users were tracking the United Nations in the face-to-face network and on-line tracks. Most users of the face network lived in the United States, followed by Indonesia and Pakistan.",
"Conclusion",
"The dynamics and examples outlined in the present report once again demonstrate that communications and advocacy work are not complementary. These work must be part of policy, programme and change. In addition, the success of the dissemination process must be sustained at the local and global levels and the efficient provision of resources.",
"Worldless, this calls for the work of the Department in the global and field. It is important to maintain the dynamism of the Department of Public Information with the media, other parts of the United Nations system, civil society and academia in the local and global context. The Department of Public Information, which is largely available at Headquarters and in the field, must provide continuous financial and operational guarantees for these activities. The Department of Public Information will continue to strengthen the means of “doing” while upgrading its own capacity as a platform for the thoughts and imagination of the world and the peoples of the world."
] |
[
"大 会 安全理事会",
"第六十五届会议 第六十六年",
"议程项目33",
"预防武装冲突",
"2011年7月24日卡塔尔常驻联合国代表团临时代办给秘书长的信",
"谨向大会转递2011年7月18日卡塔尔外交国务大臣兼内阁成员艾哈迈德·本·阿卜杜拉•马哈茂德阁下的信及附件：",
"(a) 苏丹和解放与正义运动于2011年7月14日在多哈签署的旨在通过《促进达尔富尔和平多哈文件》的协议，该文件经2011年5月27日至31日在多哈召开的达尔富尔利益攸关方全体会议批准，是全面解决达尔富尔冲突的基础。",
"(b) 《促进达尔富尔和平多哈文件》。",
"谨将本函及其附件作为大会议程项目33文件及安全理事会文件分发为荷。",
"[]",
"塔里克·阿里·安萨里",
"临时代办(签名)",
"卡塔尔常驻联合国代表团临时代办2011年7月24日给秘书长的信的附件",
"［原件：阿拉伯文］",
"我再次感谢和赞赏您对多哈达尔富尔和平进程的持续支持。我们还非常感谢你对苏丹共和国政府和解放与正义运动于2011年7月14日在多哈签署的旨在通过《促进达尔富尔和平多哈文件》的协议表示欢迎。该文件经2011年5月27日至31日在多哈召开的达尔富尔利益攸关方全体会议核可，是全面解决达尔富尔冲突的基础。",
"谨此随附上述协议的阿拉伯文和英文版本，协议后附阿拉伯文和英文版本的《促进达尔富尔和平多哈文件》。",
"谨将本函及其附件作为大会文件和安全理事会文件分发为荷。",
"外交国务大臣兼内阁成员",
"艾哈迈德·本·阿卜杜拉·马哈茂德(签名)",
"附件1",
"[原件：阿拉伯文和英文]",
"以真主、仁慈和善良的名义",
"苏丹政府和解放与正义运动旨在通过《促进达尔富尔和平多哈文件》的协议",
"苏丹政府和解放与正义运动以下称“缔约双方”；",
"提及《促进达尔富尔和平多哈文件》，该文件是谈判各方、全体苏丹人民特别是达尔富尔人民坚持不懈地尽最大努力的成果，旨在实现公正、持久和全面谈判的和平；",
"表示承诺《苏丹临时国家宪法》及其中所载原则；",
"深信《促进达尔富尔和平多哈文件》是解决达尔富尔冲突的基础；",
"确认承诺以《促进达尔富尔和平多哈文件》为基础持久和平的解决方式和促进与保护人权和基本自由；",
"重申坚定承诺在达尔富尔实现和平、安全和发展；承认达尔富尔冲突不能通过军事手段解决，而只能通过和平包容的政治手段解决；",
"深信本协议为实现《联合国宪章》与维护国际和平与安全的宗旨和原则带来了好兆头；",
"提及国际社会支持和巩固达尔富尔和平的承诺；",
"确认非盟-联合国联合调解和国际伙伴所给予的广泛援助及贡献的价值和重要意义；",
"欢迎联合国秘书长、联合国安全理事会、非洲联盟、阿拉伯国家联盟、伊斯兰合作组织、欧洲联盟和国际和平伙伴对《促进达尔富尔和平多哈文件》的支持；",
"确认《促进达尔富尔和平多哈文件》是达尔富尔人民及其代表通过多哈民间社会、分别于2009年11月和2010年7月召开的境内流离失所者和难民磋商论坛、2011年5月达尔富尔利益攸关方全体会议以及苏丹特别是达尔富尔内委员会广泛参与的成果；",
"确认《促进达尔富尔和平多哈文件》述及达尔富尔人民的共识和冲突的根本原因，从而为恢复、重建和发展达尔富尔奠定了坚实的基础；",
"指出《促进达尔富尔和平多哈文件》为各武装运动提供了一个机会，这些运动已参与多哈和平进程以参与实现和承诺包容性原则；",
"承诺和决定全面执行《促进达尔富尔和平多哈文件》，在这方面，欢迎成立一个执行后续行动委员会；",
"呼吁国际社会坚定支持《促进达尔富尔和平多哈文件》的执行工作，并为此提供必要的资源和专门知识；",
"深表赞赏和感激卡塔尔国家在埃米尔谢赫•哈马德•本•哈利法•阿勒萨尼的领导下在推动多哈和平进程中发挥的重要作用；",
"特此达成如下协议：",
"第1条：缔约双方通过《促进达尔富尔和平多哈文件》及其附件，附件是本协议不可分割的组成部分，即执行方法和时间以及缔约双方和调解小组启动的关于解放与正义运动参与不同级别权力和管理以通过解除武装、复员和重返社会进程整合其力量的议定书。",
"第2条：缔约双方承诺执行《促进达尔富尔和平多哈文件》所有条款及第1条所述全部附件。",
"第3条：缔约双方同意通过对话、相互谅解和直接谈判的和平方式解决因本协议的解释或执行可能产生的任何争端或分歧。如果缔约双方未能达成一致意见，则相关事项应提交到宪法法院，法院判决应具有约束力。",
"第4条：本协议经缔约双方签署后生效。",
"第5条：缔约双方的正式授权代表在下述证人的见证下草签了作为本协议附件和基础的《促进达尔富尔和平多哈文件》，并签署本协议，以资证明。",
"于希吉历1432年舍尔邦月13日，即公元2011年7月14日在多哈以阿拉伯文和英文两种文本签署，两种文本具有同等效力。如两个版本之间出现差异，则以阿拉伯文版本为准。",
"苏丹共和国政府 解放与正义运动",
"[] []",
"(签名) (签名)",
"共和国总统顾问 解放与正义运动主席",
"见证人",
"卡塔尔国家 非洲联盟和联合国",
"[]",
"(签名) (签名)",
"艾哈迈德·本·阿卜杜拉·马哈茂德 易卜拉欣·甘巴里教授",
"外交部国务大臣和内阁成员 联合特别代表",
"[]",
"(签名)",
"布基纳法索外交和区域合作部长",
"附件2",
"[原件：阿拉伯文和英文]",
"《促进达尔富尔和平多哈文件》",
"目录",
"缩略语清单",
"定义",
"前言",
"第一章：人权和基本自由",
"第二章：达尔富尔权力分享和行政地位",
"第三章：财富分享",
"第四章：境内流离失所者和难民的赔偿与回归",
"第五章：正义与和解",
"第六章：永久停火和最终安全安排",
"第七章：内部对话和协商及执行方法",
"－最后条款",
"附件 执行时间表",
"缩略语清单",
"ADB 非洲开发银行",
"ADSC 达尔富尔利益攸关方全体会议",
"AFR 年度财务报告",
"AOR 责任区",
"AU 非洲联盟",
"CFA 停火协议",
"CFC 停火委员会",
"CPA 全面和平协议",
"CPC 社区警务中心",
"CTSG 停火小组现场工作组",
"DDB 达尔富尔开发银行",
"DDR 解除武装、复员和重返社会",
"DFC 部队副指挥官",
"DJAM 达尔富尔联合评估团",
"DLC 达尔富尔土地委员会",
"DMZ 非军事区",
"DoC DPA 《达尔富尔和平协议》的承诺宣言",
"DPA 《达尔富尔和平协议》",
"DSG 达尔富尔州政府",
"DRA 达尔富尔地区管理局",
"DRC 达尔富尔全民投票委员会",
"DRDF 达尔富尔重建与发展基金",
"EU 欧洲联盟",
"FC 部队指挥官",
"FFAMC 财政和金融分配监测委员会",
"GoS 苏丹政府",
"IFC 执行后续行动委员会",
"ICRC 红十字国际委员会",
"IDPs 境内流离失所者",
"INC 《临时国家宪法》",
"ITC 综合技术委员会",
"JAF 赔偿/ Jabr Al Darar基金",
"JC 联合委员会",
"JCM 联合协调机制",
"JLCC 联合后勤协调委员会",
"JSC 司法事务委员会",
"JTC 联合技术委员会",
"LAS 阿拉伯国家联盟",
"LCC 后勤协调委员会",
"MDGs 千年发展目标",
"MFS 小额融资制度",
"NC 国家宪法",
"NCRC 全国制宪审查委员会",
"NCS 国家公务员制度",
"NCSC 国家公务员制度委员会",
"NGO 非政府组织",
"NRF 国家岁入基金",
"OIC 伊斯兰会议组织",
"PC 警察专员",
"PCRC 财产索赔和赔偿委员会",
"RCC 补偿及赔偿委员会",
"RoE 接触规则",
"SAF 苏丹武装部队",
"SOMA 《特派团地位协定》",
"SPF 苏丹警察部队",
"SSCFC 区级停火委员会",
"Sub-CFCs 次级停火委员会",
"TRC 真相与和解委员会",
"TJRC 真相、正义与和解委员会",
"TSGs 停火小组现场工作组",
"UN 联合国",
"UNAMID 非洲联盟-联合国达尔富尔混合行动",
"UNHCR 联合国难民事务高级专员",
"UNICEF 联合国国际儿童教育基金会",
"UNPOL 服务于非洲联盟-联合国达尔富尔混合行动的联合国警察",
"UNSCR 联合国安全理事会决议",
"USA 美利坚合众国",
"VRC 自愿回归问题委员会",
"VRRC 自愿回归和重新安置问题委员会",
"WB 世界银行",
"定义",
"“Ajaweed委员会”系指由地方行政当局和社区领袖组成的调解委员会。",
"“控制区”系指其中一方行使控制权而任何其他方均不得开展活动的划定区域。",
"“武装民兵”系指无论是否相关联或附属于任何一方的非正规部队，包括任何正在参与或已参与敌对行动的武装群体。",
"“集结”系指将运动的前战斗人员重新安置在选定地点以便解决武装和融入新的安全机构的过程。",
"“集结区”或“营地”可互换使用，系指战斗员完成解决武装和复员程序的地点。",
"“缓冲区”系指根据本协议划定、由非洲联盟-联合国达尔富尔混合行动监测的不包括有争议部队或交战部队的区域。",
"“战斗员”系指运动的部队。",
"“专员”系指本协议内机构的负责人，达尔富尔地区管理局的成员。",
"“社区警察”系指苏丹政府经与达尔富尔地区管理局协商从当地社区招募的用于开展巡逻活动以维护公共和平与安宁的自愿人员。",
"“受冲突影响个人”或“冲突受害人”系指在达尔富尔冲突期间遭受迫害的个人或群体以及那些生活和生计因该冲突受到不利影响的人。",
"“人员协助武器”系指那些在发射位置和/或终端轨迹位置不能由单个操作员操作而是要求有补充操作员和技术手段的武器。这种类型的武器常常置于车辆、船只和飞机之上。",
"“非军事区”系指一个根据本协议划定、各方承诺不进行军事行动并拆除军事资产的区域。",
"“复员”系指各方开始解散其军事结构和前战斗员开始转入平民生活的过程。",
"“解除武装”系指搜集、控制和处置小武器和轻重武器，包括排雷。",
"“脱离接触”是一个普遍术语，系指使敌对部队出现地理分隔的过程。",
"“Hawakeer”系指部落土地所有权。",
"“境内流离失所者”系指被迫或不得不，尤其是由于或为了避免武装冲突、普遍暴力情况、侵犯人权和自然灾害及人为灾害而逃离或离开家园或经常居住地并且尚未跨越国际承认的国家边境的个人或群体。",
"“运动”系指除国家武装部队及相关民兵以外所有参与冲突的武装群体；在本协议内，运动系指多哈和平进程各方和本协议签署方。",
"“国家宪法”系指《临时国家宪法》和任何其他《宪法》。",
"“各方”系指苏丹政府和参与多哈和平进程的运动各方。",
"“和解”系指协助那些遭受长期暴力和严重侵犯基本权利的受害人克服悲痛、愤怒、仇恨和失去信任的情绪以重建各社区间的信任和恢复社会和平的过程。",
"“调动”系指以重返社会和/或退出进程为目的，将部署在一个区域的单位、个人或补给品调至该区域另一地点或该区域另一部分以进一步加以利用或复员。",
"“选定安全机构的改革”系指转变特定安全机构以改善其能力、有效性和专业性并根据公认的国际标准加强法治的过程。",
"“难民”系指有正当理由畏惧由于种族、宗教、国籍、属于其一社会团体或具有某种政治见解的原因受到迫害而留在其本国之外，并且由于此项畏惧而不能或不愿受该国保护的人；或者不具有国籍并由于上述事情留在他以前经常居住国家以外而现在不能或者由于上述畏惧不愿返回该国的人。“难民”还适用于因其原籍国或国籍国部分或全部遭到外部侵略、占领、外国统治或发生严重破坏公共秩序的事件，被迫离开经常居住地，到其原籍国或国籍国之外的其他地方避难的人。",
"“正规部队”系指苏丹共和国的武装部队、警察部队和国家情报与安全服务。",
"“重返社会”系指向前战斗员提供的旨在增加其融入民间社会的经济和社会潜力的协助措施。",
"“回归者”系指自愿返回其流离失所前的居住地并有意在那里重新安置下来的流离失所者。",
"“接触规则”系指由军事主管当局发布的、界定部队针对其遇到的其他部队使用和/或继续使用武力的情形和限制条件的指令。",
"前言",
"本协议各方当事人在下文中简称“缔约各方”。",
"重申苏丹的主权、统一和领土完整；",
"再次承诺《2005年苏丹共和国国家宪法》、全面执行2005年1月《全面和平协议》和关于需要达成一个政治解决方案以结束达尔富尔冲突的非洲联盟决定和联合国安全理事会决议(安理会决议)；",
"回顾先前关于达尔富尔冲突的协议，特别是2004年4月8日在乍得恩贾梅纳签署的《关于达尔富尔冲突的人道主义停火协议》以及《关于设立达尔富尔人道主义援助的议定书》；2004年5月28日在埃塞俄比亚亚的斯亚贝巴签署的《与苏丹各方关于停火委员会方法和在达尔富尔部署观察员问题的协议》；2004年11月9日苏丹政府、苏丹解放运动/解放军和正义与平等运动在尼日利亚阿布贾签署的《关于改善人道主义局势的议定书》；2004年11月9日苏丹政府、苏丹解放运动/解放军和正义与平等运动根据《恩贾梅纳协议》在尼日利亚阿布贾签署的《关于加强达尔富尔安全局势的议定书》；2005年7月5日在尼日利亚阿布贾签署的《解决达尔富尔苏丹人冲突的原则宣言》；2006年5月5日在尼日利亚阿布贾签署的《达尔富尔和平协议》；2009年2月17日苏丹政府和正义与平等运动在卡塔尔多哈签署的《善意协议》；2010年2月23日苏丹政府和正义与平等运动在卡塔尔多哈签署的《框架协议》；2010年3月18日苏丹政府和解放与正义运动在卡塔尔多哈签署的《框架协议》；2010年3月18日苏丹政府和解放与正义运动在卡塔尔多哈签署的《停火协议》；",
"承认苏丹人民的文化和民族多样性是民族凝聚力的基础，因此应加以促进和发展；",
"欢迎卡塔尔国埃米尔阁下创建达尔富尔开发银行以协助达尔富尔发展和重建努力的慷慨举措；",
"强调有必要在苏丹特别是在达尔富尔促进和保护人权、正义、问责和和解；",
"谴责所有针对平民的暴力和侵犯人权的行为，特别谴责针对妇女和儿童的暴力；强调急需阻止这种暴力和侵犯人权与国际人道主义法的行为；",
"承认在达尔富尔创造持久和平的条件、执行本协议、民族和解、社会融合和重建工作要求促进和保护人权、尊重所有苏丹公民一律平等的原则和尊重法治；",
"强调达尔富尔武装冲突各方应全面无条件地接受其在国际人道主义法、国际人权法和相关联合国安全理事会决议下的义务很有必要；",
"承诺解决在达尔富尔冲突期间侵犯人权的问题；",
"考虑到分别于2009年11月和2010年7月在多哈召开的第一和第二届达尔富尔民间社会论坛以及2011年5月在多哈召开的达尔富尔利益攸关方全体会议的成果；",
"承认达尔富尔冲突不能通过军事手段解决，持久的解决方案只能通过包容的政治进程来实现；",
"特此达成如下协议：",
"第一章：人权和基本自由",
"第1条：促进和保护人权与基本自由",
"1. 缔约各方承认，促进和保护达尔富尔所有人的人权与基本自由有着重要意义。苏丹政府、达尔富尔地区管理局和达尔富尔各州政府应保证人民有效享有苏丹《国家宪法》和苏丹加入的国际人权文书所载的一切权利和自由。",
"2. 所有各方均应履行其在国际人权和国际人道主义法律之下的义务，确保有利于有效行使公民和政治权利以及充分平等地享有经济、社会和文化权利的环境。",
"3. 公民身份是所有苏丹人享有平等的政治和公民权利与义务的基础。",
"4. 缔约各方应确保人人享有和行使本协议、苏丹《国家宪法》以及苏丹加入的国际和区域人权文书所规定的所有权利和自由，不以性别、种族、肤色、语言、宗教、政治见解或其他见解、民族或社会出身或社会地位为理由进行歧视。应保证妇女、儿童和男子平等地享有苏丹加入的国际人权和人道主义法所规定的所有权利。",
"5. 应以法治、平等和不歧视为基础在达尔富尔保证人人享有安全与保障。缔约各方应尊重的生命权和人身安全、个人尊严和完整性，确保任何人不被任意剥夺生命、遭受酷刑或虐待。",
"6. 苏丹政府应以在法院和法庭面前人人平等为基础，保证所有民事、行政和刑事程序中公平和公开的审判权以及诉诸司法的权利。该项保证包括《公民及政治权利国际公约》第9和14条规定的权利。",
"7. 苏丹政府应采取必要的法律和行政措施以确保意见自由、信仰和宗教自由、言论自由、和平集会和结社自由、平等地组建和登记政党的权利、平等地投票权和参与公共事务的权利、组建和参与民间社会组织、私营部门机构和工会的权利。苏丹政府应根据《公民及政治权利国际公约》、《世界人权宣言》和《非洲人权和人民权利宪章》所规定的国际人权标准保证新闻出版自由和其他媒体自由。",
"8. 所有各方不得因公民见解对其进行威胁或者阻止公民在达尔富尔行使言论、集会和行动及和平结社自由的平等权利。",
"9. 依照第三章的规定，苏丹政府应在适当尊重现行规范和传统情况下，通过满足达尔富尔所有社区足够的基本需求、为其提供充分的服务和基础设施、促进青年就业、妇女赋权、良好治理、公共服务和拨付适当资源以及平等获取土地等自然资源来推动达尔富尔的公共福利和经济增长。",
"10. 缔约各方同意促进达尔富尔人民参与规划、设计和执行达尔富尔早期恢复、重建和复兴方案。",
"11. 达尔富尔早期恢复、重建、复兴和教育政策和方案应适当关注妇女、儿童和脆弱群体的需求。",
"12. 缔约各方敦促国际社会通过覆盖整个达尔富尔的可持续的早期恢复、重建和复兴方案加强经济、社会和文化权利的执行力度。",
"13. 苏丹政府应确保根据巴黎原则在本协议签署后30天内全面建立和有效运作新建国家人权委员会；在本协议签署后三个月内便利国家人权委员会建立分权、独立、自治和资源丰富的达尔富尔人权小组委员会。",
"14. 国家人权委员会和人权小组委员会应监测达尔富尔的人权状况并促进和保护人权。委员会和小组委员会应给予打击所有形式的歧视和保护经济、社会和文化权利工作适当的关注，应定期报告在有效落实各州和苏丹公民平等原则方面的进展情况。",
"15. 缔约各方应与达尔富尔人权小组委员会合作执行其任务授权。小组委员会应获取与人权相关的所有文件和信息，包括出入达尔富尔的所有拘留所。",
"16. 可向联合国人权事务高级专员办事处、非洲人权和人民权利委员会和其他国际组织寻求技术和物质援助。",
"17. 缔约各方应与非洲联盟-联合国达尔富尔混合行动合作执行其人权和法治任务授权。",
"18. 应鼓励达尔富尔人权和民间社会组织通过定期监测、早期预警、宣传和能力建设方案为促进和保护人权做出贡献。",
"第二章：达尔富尔权力分享和行政地位",
"第2条：权力分享的一般原则",
"权力分享应基于以下原则：",
"19. 苏丹是一个独立、主权和联邦共和国，国家主权属于人民并由国家根据《苏丹宪法》的规定行使。",
"20. 宗教、信仰、传统和风俗是苏丹人民的道德力量和灵感的源泉。苏丹人民的文化和种族多样性是民族凝聚力的基础，因此应根据反映国家团结和苏丹人民多样性的国家标准加以促进、发展和管理。苏丹人民共享一个共同的传承和灵感，因此一致认为要共同努力。",
"21. 权力分享对该国的统一、安全和稳定至关重要。以民主手段通过自由公正的选举下放权力以及和平移交行政和立法权力是稳定的保证，应成为苏丹民主治理的基础。",
"22. 苏丹各级政府的选举应以自由直接的投票为基础，由国家和国际观察员进行监督。",
"23. 各级联邦立法权、行政权和司法权分立应巩固良好治理、问责、透明度和对人民保障及福祉的承诺。",
"24. 法治和司法独立应得到保证。",
"25. 公民身份应为公民权利与义务的基础。不因个人的族裔、部落、性别和出身而受到歧视。这并不排除任何以改善因种族、族裔、肤色或区域或国家原籍而处于弱势的个人或群体的处境为目标的法律、方案或活动。",
"26. 不应妨碍在苏丹境内外流离失所的公民依照相关国家和国际法律充分行使其公民权利。",
"27. 所设立的联邦政府体系应有效地下放权利和明确地分配职责，以确保所有苏丹公民特别是达尔富尔的公民公正平等地参与。",
"28. 包括达尔富尔人民在内的所有公民应在国家公务员、公共机关和机构、各委员会、武装部队和其他正规部队内在各级特别是在中高级别得到公正平等地代表。",
"29. 在不影响《全面和平协议》关于南北边界的规定以及苏丹共和国与邻国间现行有效的任何国际协议的情况下，达尔富尔的北部边界应回归至1956年1月1日的位置。",
"30. 应通过公正的权力分享标准手段确保达尔富尔人民参与各级政府和所有国家机构。",
"31. 各级政府应确保在公共服务内提供一般教育、培训和就业的持续机会，以促进达尔富尔人民全面平等地参与增进国家福祉的工作。在此背景下，应在教育、能力建设和培训领域特别关注妇女和儿童。应与专门国际和区域组织合作在城乡地区建立培训中心。",
"32. 所有运动应采取必要措施根据既定法律安排将自身转变成政党。",
"33. 在不影响第32款的情况下，各运动应根据本协议参与不同级别的政府。",
"34. 为了应对政府机构和决策结构内妇女代表性不足的问题，应根据本协议采取和执行特别措施，以便确保妇女平等有效地参与达尔富尔各级政府的决策。",
"国家一级的权力分享",
"第3条：权力分享的标准",
"35. 本协议所规定的权力分享应尊重比例原则，达尔富尔应全面参与苏丹国家政府所有形式的政治权力。",
"36. 应采取有利于达尔富尔人民的扶持行动，扩大其在公共部门、公务员部门和正规部队的代表性。从长远来看，应提供特殊教育培训和公共就业机会以使达尔富尔人民得以全面平等地参与增进苏丹福祉的工作。",
"37. 达尔富尔人民在国家一级的代表应反映达尔富尔人口在南苏丹分离后苏丹总人口中所占的比例。",
"第4条：国家行政部门",
"38. 达尔富尔应依照比例标准在国家执行委员会内获得代表性。",
"正副总统",
"副总统",
"39. 应以实现政治包容和包括达尔富尔人民在内的所有苏丹人民得到代表的方式任命若干名副总统。副总统应具有以下职责：",
"一. 国家部长理事会的成员；",
"二. 国家安全委员会的成员；",
"三. 在总统和第一副总统缺席时根据总统决定的副总统先后次序行使总统职权；",
"四. 总统分配的任何其他职能或职责。",
"总统助理和顾问",
"40. 应当按照达尔富尔人占苏丹人口的比例任命达尔富尔人担任总统助理和顾问。",
"41. 一名总统助理应自达尔富尔人中任命。",
"国家部长理事会",
"42. 达尔富尔应根据比例标准派代表参加国家部长理事会。在这方面：",
"一. 目前由达尔富尔人担任的五名内阁部长的员额和四名国务部长的员额应仍由达尔富尔人担任；",
"二. 另有两名内阁部长和四名国务部长应由各运动提名由总统任命；",
"三. 内阁部长组成结构发生变化时，各运动应在其中维持与变化前同样百分比的代表。",
"第5条：国家立法机关",
"43. 达尔富尔应按照其在苏丹人口中所占比例在国家立法机关得到代表。在这方面：",
"一. 达尔富尔应维持其在国家立法机关占有的96个席位，直到下届国家选举为止。",
"二. 2011年1月9日南苏丹全民投票后，因苏丹新的人口组合状况出现了国家立法机关空缺席位，达尔富尔在其中所占份额应由各运动通过缔约各方商定的一项安排担任。",
"第6条：国家司法机关",
"44. 国家司法机关是一个重要的政府部门，维持其中立、公正和独立至关重要。",
"45. 国家司法机关应代表包括达尔富尔在内的苏丹人民。达尔富尔人民应在司法事务委员会内得到充分代表性。委员会应保证达尔富尔人民在上诉法院、国家最高法院和宪法法院等国家司法机构内享有充分的代表性。",
"46. 作为一项长期措施，司法事务委员会应成立一个专家小组，以确定达尔富尔人民代表的不均衡问题，并就如何纠正不均衡提出适当建议。",
"47. 宪法法院有权裁决各级政府和政府各机关间关于专有、并行和剩余权限的任何争端。",
"第7条：国家公务员和其他公共机构",
"48. 达尔富尔应根据比例、扶持行动和优先原则在国家公务员和其他公共机构内得到代表性，以纠正已确定的达尔富尔人民代表性不均衡和不足问题。",
"49. 国家公务员应成为特别是中高级别公务员应成为所有苏丹人民的代表。",
"50. 应成立由达尔富尔人按比例任职的国家公务员委员会，负责应对公务员和其他公共机构内的不均衡问题。",
"51. 应在国家公务员委员会之下成立一个专家小组，达尔富尔人在小组中特别在较高级别享有实质性代表权，以决定达尔富尔人民在各级国家公务员委员会的代表级别。",
"52. 该小组应确定任何损害达尔富尔人民代表权的不均衡问题，并应做出着重行动的实际建议以解决国家公务员中的这种不均衡和差异问题，包括建议确保达尔富尔人民在国家公务员中享有公正代表的适当措施。小组工作受以下因素指导：",
"一. 基于2008年或之后人口普查的人口规模；",
"二. 征聘、培训和促进方面的扶持行动，包括促进性别平等的措施。",
"53. 该小组应在不迟于本协议签署后六个月内完成工作并提交报告，随后苏丹政府应在六个月内采取补救行动。",
"54. 在小组报告的结果出来之前，苏丹政府应确保开展如下任务：",
"一. 确立和实现关于达尔富尔人民参与情况的中期目标，特别是参与包括但不限于副秘书、大使、委员会成员和其他高级责任员额的中高级国家公务员的目标。这些目标应在专家小组提交报告后加以审查，并考虑各运动的合格中立的候选人在国家公务员中的代表情况。",
"二. 在国家公务员中专门为达尔富尔的合格妇女保留特定员额。",
"三. 制定政策和落实将合格达尔富尔人民培训和征聘为国家公务员的扶持行动，考虑到商定标准，目标是确保国家公务员内代表公平以及纠正任何不均衡问题；",
"四. 审查已通过的政策，审查其三年间的执行情况，并在认为必要时确立新的目的和目标。",
"55. 缔约各方同意，所有因冲突相关原则被任意和不公正地从国家公务员中解雇的个人均应恢复原职。这些个人不应丧失其资历，应得到其应获得的福利。国家公务员委员会应受理投诉，确定是非曲直并酌情提出建议。",
"第8条：各运动在各级政府中的代表性",
"56. 各运动应依照每个运动与政府签署的另外的议定书在各级政府得到代表。该议定书应是本协议不可分割的组成部分。",
"第9条：武装部队和其他正规部队",
"57. 苏丹武装部队应是正规、专业和中立的。达尔富尔人民应在其中各级享有公正的代表性。苏丹政府应根据征聘标准采取必要措施，以纠正可能存在的达尔富尔人民在苏丹武装部队高级别职位和进入军事院校就读方面代表不均衡问题。",
"58. 警察、海关、移民和边境卫队、监狱和野生生物局以及其他所有正规部队均应向包括达尔富尔人民在内的所有苏丹人开放，以反映苏丹社会的多样性。",
"达尔富尔的行政地位和达尔富尔内部权力分享",
"第10条：达尔富尔的行政地位",
"成立达尔富尔地区管理局",
"59. 应成立达尔富尔地区管理局。达尔富尔地区管理局应作为与苏丹政府合作在国际伙伴的支持下执行本协议的主要工具。管理局还将在加强执行、协调和促进达尔富尔所有冲突后重建和发展项目与活动方面发挥核心作用，并负责达尔富尔各州间的合作与协调。达尔富尔地区管理局的活动着重促进：",
"一. 和平与安全；",
"二. 社会经济发展、稳定和增长；",
"三. 公正、和解与恢复。",
"60. 达尔富尔地区管理局应制定其议事规则，雇佣必要的工作人员开展工作并为此建立预算。达尔富尔地区管理局的特区不能与达尔富尔各州和联邦政府的专有权力相冲突或对其产生影响。但是达尔富尔地区管理局对与其主要管辖权和职权相关的所有事项负有监督责任。达尔富尔地区管理局应监督进行全民投票以决定达尔富尔的行政地位，特别是决定是否保留当前的州体系或设立包括各州的单一区域。",
"61. 在不影响《宪法》规定的达尔富尔各州专有权限的情况下，达尔富尔地区管理局应监督本协议所有条款的执行情况，包括达尔富尔各州管辖权下条款的执行情况。",
"62. 应依照国家和各州模式成立一个达尔富尔地区安全委员会，并界定该委员会的权限。",
"达尔富尔地区管理局的权限",
"63. 达尔富尔地区管理局应拥有以下主要权限：",
"一. 与苏丹政府合作执行本协议条款；",
"二. 实现和解并巩固安全与社会和平；",
"三. 冲突后重建和发展，以及协调包括达尔富尔联合评估团在内的国际和区域伙伴的所有参与活动；",
"四. 保健问题、环境保护和应对气候变化的后果；",
"五. 规划、发展和保护牛的路线和牧场；",
"六. 为境内流离失所者和难民自愿回归和重新安置创造持久条件；",
"七. 规划土地使用和行使相关权利；",
"八. 教育和文化发展；",
"九. 规划和统计；",
"十. 加强达尔富尔各州间的合作，便利各州的交流与协调；",
"十一. 在国家宏观经济政策背景内，经苏丹银行核准和担保向本国和境外机构借款；",
"十二. 保护和促进人权；",
"十三. 加强透明度和良好治理；",
"十四. 能力建设；",
"十五. 区域旅游业；",
"十六. 审查和建议立法与行政措施以加强各州间的协调；",
"十七. 在达尔富尔控制小武器和轻武器的政策；",
"十八. 缔约各方商定的其他任务。",
"并存权限",
"64. 达尔富尔地区管理局应在以下方面拥有政策制定与协调的并存权限：",
"一. 该区域的社会经济发展；",
"二. 保健政策；",
"三. 金融和经济政策；",
"四. 城市发展与住房规划；",
"五. 发展贸易和工业；",
"六. 救济和人道主义事务；",
"七. 经苏丹政府核准，与外国政府和非政府组织草拟和谈判关于高等教育、文化、体育、人道主义事务、贷款和赠款、贸易、投资、技术援助的国际协议；",
"八. 妇女进步、母性与儿童保育；",
"九. 食品和药品质量控制、消费者安全与保护；",
"十. 高等教育和专业与科学研究机构；",
"十一. 性别政策；",
"十二. 发电和水与废物管理；",
"十三. 土地所有权、使用和权利的政策；",
"十四. 紧急救济和灾害预防与管理，以及流行病控制；",
"十五. 媒体、出版、大众媒体和广播电台；",
"十六. 管理、保护和养护；",
"十七. 体育、文化遗产和发展青年技能；",
"十八. 规划达尔富尔的自然资源。",
"结构和组成",
"65. 达尔富尔地区管理局应由两个主要机构组成：达尔富尔地区管理局执行机构和达尔富尔地区管理局委员会。",
"达尔富尔地区管理局执行机关",
"66. 苏丹共和国总统应自各运动中任命达尔富尔地区管理局主席，由主席主持达尔富尔地区管理局执行机关。",
"67. 达尔富尔地区管理局执行机关的组成如下：",
"一. 达尔富尔地区管理局主席 \n 二. 达尔富尔各州州长 副主席 \n 三. 负责达尔富尔事务的达尔富尔地区管理局主席助理 成员 \n 四. 财政和经济规划部长 成员 \n 五. 文化、信息和旅游部长 成员 \n 六. 农业和家畜部长 成员 \n 七. 重建、发展和基础设施部长 成员 \n 八. 环境和自然资源开发部长 成员 \n 九. 达尔富尔地区管理局委员会事务部长 成员 \n 十. 社会事务、产妇和儿童护理部长 成员 \n 十一. 保健事务部长 成员 \n 十二. 青年和体育部长 成员 \n 十三. 技术发展和能力建设部长 成员 \n 十四. 自愿回归和重新安置委员会委员 成员 \n 十五. 正义、真相与和解委员会委员 成员 \n 十六. 达尔富尔重建和发展基金主席 成员 \n 十七. 土地委员会委员 成员 \n 十八. 达尔富尔安全安排执行委员会委员 成员",
"68. 在国家外交礼节当中，达尔富尔地区管理局主席直接排在共和国副总统之后，共和国总统助理之前。",
"69. 达尔富尔地区管理局执行机构的成员应经达尔富尔地区管理局主席提名、由苏丹共和国总统任命。经任命的成员拥有国务部长的地位。",
"70. 达尔富尔地区管理局主席可向达尔富尔地区管理局执行机构的成员问责。主席还可向共和国总统建议解除执行机构任何已任命成员的职务。达尔富尔地区管理局委员会可撤回对执行机构任何已任命成员的信任并向达尔富尔地区管理局主席建议解除其职务。",
"达尔富尔地区管理局委员会",
"71. 达尔富尔地区管理局委员会由67名成员组成，组成情况如下：",
"一. 主席；",
"二. 两名副主席；",
"三. 各运动的代表；",
"四. 国家立法机关的代表。",
"72. 达尔富尔地区管理局委员会可在认为必要时成立专门委员会。",
"达尔富尔地区管理局委员会的权限",
"73. 达尔富尔地区管理局委员会拥有监督、监测和组织权限。委员会应审查法律并建议可促进达尔富尔各州间协调与合作的立法措施。具本而言，委员会的权限包括：",
"一. 审查与达尔富尔地区管理局权限相关的法律；",
"二. 控制和评估达尔富尔地区管理局的绩效；",
"三. 核准达尔富尔地区管理局的预算；",
"四. 确保达尔富尔地区管理局的适当支出和问责；",
"五. 在达尔富尔地区管理局权限内通过政策，特别是通过关于达尔富尔各州间跨界问题的政策；",
"六. 在达尔富尔人民多数票赞成建立一个区域时成立一个委员会以编制达尔富尔地区宪法。",
"争端解决",
"74. 达尔富尔地区管理局应在不影响达尔富尔各州政府的宪法权力和职能情况下行使职能。如果达尔富尔地区管理局主席认为州政府正在开展的任何行动损害了本协议的执行，则应将该事项提交达尔富尔地区管理局委员会做出决定，不影响任何一方根据以下因素诉诸宪法法院以最终解决争端的权利：",
"一. 《国家宪法》；",
"二. 本协议条款；",
"三. 加强安全、稳定、人民福祉和保护人权与基本自由的需要。",
"达尔富尔的永久行政地位",
"75. 达尔富尔的永久行政地位应通过全民投票决定。",
"76. 全民投票应在本协议签署一年后在达尔富尔各州同时举行。一年后，共和国总统与达尔富尔地区管理局主席商定后将成立全民投票委员会，委员会将开展全民投票工作。全民投票的结果应载入永久《宪法》。以下备选方案应予提供：",
"一. 建立一个包括达尔富尔各州的达尔富尔地区；",
"二. 保留各州体系现状。在任何情况下，达尔富尔经文化和历史传统与联系界定的特点应受到尊重。",
"77. 经总统与达尔富尔地区管理局商定后成立的达尔富尔全民投票委员会应组织和开展全民投票工作。《国家选举法》应规定全民投票的规划和程序。全民投票应受到国际社会的监测。",
"78. 如果达尔富尔人民在全民投票中以多数票决定应建立一个达尔富尔地区，达尔富尔地区管理局应组建一个宪法委员会以决定达尔富尔地区政府的权限。委员会应在全民投票三个月内将拟定宪法提交给达尔富尔地区管理局供通过。该拟订宪法应提交给国家立法机构供通过，苏丹共和国总统应颁布该宪法。",
"79. 如果全民投票的结果是保留现状，则达尔富尔地区管理局应继续其作为执行本协议主要工具的地位，自本协议签署日起为期四年。",
"第11条：达尔富尔的北部边界",
"80. 在不影响《全面和平协议》关于南北边界的条款以及苏丹共和国与邻国间现行有效的任何国际协议的情况下，达尔富尔的北部边界应回归至1956年1月1日的位置。",
"81. 联合技术委员会应在本协议签署后六个月内完成边界划分工作。",
"第12条：州一级的代表权",
"82. 缔约各方同意各运动将在各级达尔富尔州政府内得到代表。",
"州长",
"83. 如果另外设州，各运动应提名两名候选人供苏丹总统核准担任代理州长(Walis)，在过渡期管理新建立州的其中两个，直至选举举行。",
"第13条：地方政府",
"84. 缔约各方一致认为，在履行主权属于人民、赋权基层、确保公民有效参与治理、推动发展和使公共事务的管理最具成本效益的承诺上地方政府的作用非常重要。",
"85. 地方行政当局应酌情尊重在社区中发挥重要作用的既定历史和社区传统、风俗和做法。",
"86. 缔约各方一致认为，地方政府和地方行政当局受到达尔富尔冲突的不利影响，因此应被赋权以应对冲突的后果，包括环境退化和荒漠化。",
"87. 缔约各方一致认为在下届地方选举之前各运动应在地方政府级别得到充分代表，应有适当比 的妇女代表。",
"88. 应采取适当措施通过能力建设和扶持行动为青年和妇女等各群体提供协助。",
"第14条：大学和国立高等教育机构",
"89. 国立大学15%的录取名额应根据五年竞争要求分配给来自达尔富尔的学生。",
"90. 达尔富尔人民应根据高等教育和科学研究部规定的能力和科学资格在国立大学和高等教育机构管理层得到代表性。",
"91. 达尔富尔国立大学50%的录取席位应根据录取委员会的要求分配给达尔富尔人的子女。同时应成立一个机制或委员会以审查那些遭受战争影响的人的境况，免收其五年的大学费用。",
"92. 达尔富尔各州境内流离失所者和难民的后代，一经录取委员会正式录取进入国立大学，应免收五年的教育费用。",
"93. 应在达尔富尔各州的各个地点便利执行境内流离失所者、难民和受战争影响的人的子女的录取程序。",
"第15条：永久宪法",
"94. 各运动应在全国制宪审查委员会内得到充分代表性，以起草苏丹共和国的永久宪法。",
"第三章：财富分享",
"总则",
"第16条：财富分享的原则",
"财富分享应基于以下原则：",
"95. 除其他目标外，一个经济体应以保证所有苏丹公民平衡适当的生活水平的方式确保实现减贫、社会正义、公平地分配财富和资源。",
"96. 财政联邦制和公平分享苏丹的财富使每一级政府能向苏丹人民履行其法律和宪法责任和义务。苏丹政府应根据本协议确立的程序和标准为达尔富尔的利益做出必要的资金划拨。",
"97. 苏丹所有部分均有权实现公正均衡的发展，承认急需重建达尔富尔受武装冲突影响的地区，急需特别关注流离失所的人，通过建设有利环境使他们自愿回归出生点或如本协议第四章所规定的，回到所选择的地点。",
"98. 通过和执行安置游牧民的综合发展项目，促进该部门的生产力，组织农民和牧民的关系，以确保所有人的安全、稳定和发展。",
"99. 苏丹的财富概念应定义为包括自然资源和人力资源、历史和文化遗产、国际和国内贷款和公共借款等金融资产、国际援助和赠款。它还包括促进创造和分配财富的手段、体制、政策和机会 以及物质资源、政府收入、机构利润和其他资源。",
"100. 财富是其创造和分配受政府机构、政策和方案影响巨大的一个重要部分。因此，达尔富尔公平参与关于旨在监管那些影响其社会和经济利益的财富的创造和分配的政策和机构的决策非常重要，应加以促进。",
"101. 人力资源发展应是经济和社会发展政策的手段和目标。应制定和执行这些政策以发展教育系统，并确保达尔富尔人在达尔富尔和这个国家平等获取教育和培训机会，不因种族或性别受到歧视。应特别努力消除妇女文盲。",
"102. 所有苏丹公民应享有以下平等权利：",
"一. 不受饥饿；",
"二. 可持续的谋生手段；",
"三. 获取饮用水；",
"四. 获取高质教育；",
"五. 获取保健和其他社会服务；",
"六. 充分获取公共事业和基础设施服务；",
"七. 获取发展和工作机会；",
"八. 自由的市场准入；",
"九. 保护财产；",
"十. 促进和保护文化遗产；",
"十一. 向受冲突影响的人补偿和(或)赔偿所丧失的财产；",
"十二. 审查影响生计的行政措施。",
"103. 一个有效的财富分配系统应以透明和问责为基础。经济政策应规定扶持行动，以应对因冲突导致的长年发展不足和伤害带来的劣势。",
"104. 财富分享和分配应以苏丹所有部分均有权实现公平公正的发展为前提。承认贫穷在整个苏丹特别是在达尔富尔普遍存在，应在该国发展政策框架内通过一个全国减贫战略，以实现千年发展目标。",
"105. 达尔富尔极需恢复、重建和发展因冲突而受到损坏的有形基础设施和社会基础架构，急需履行基本政府职能和建设民政机关。应作为要求紧急执行的最主要的优先事项对这些需求进行综合评估。",
"106. 达尔富尔的恢复和重建被认为是一个优先事项。为此，应采取措施向达尔富尔人支付赔偿款项，应对因生命丧失和财产毁坏、没收和盗窃以及随后遭受的苦难而导致的怨愤。",
"107. 基本的经济和社会基础设施的发展非常重要，为此，应制定一个加速发展方案，使达尔富尔达到该国其他地方的水平。",
"108. 鉴于开展该进程所需要的财政资源和专门知识超出了苏丹的能力，缔约各方可寻求国际社会的支持，使国际社会充分参与该举措，协助提供必要的资金和专门知识，为满足实现该目的所确定的需求做出贡献。",
"109. 整个达尔富尔以及那些特别需要建设和重建的地区应达到一个使其能快速实现千年发展目标的水平。应制定一个基本基础设施发展方案，使达尔富尔经济融入国家经济。",
"110. 应在本协议下设立一项特别基金，用于重建和发展达尔富尔。",
"第17条：财富分享政策",
"111. 国家经济政策的最终目标是通过除其他外基于促进价格稳定、提高就业水平、促进可持续经济发展和消除贫困的良好政策来实现充分就业。因此，国家、社会和经济政策应旨在确保：",
"一. 促进和改善所有公民的体面和有尊严的生活条件，不以种族、肤色、族裔、部落、区域或地方从属关系、性别、宗教、语言或政治见解或其他见解而歧视；",
"二. 公民通过各级政府和非政府组织参与制定和执行创造和分配财富所需的社会政策，参与关于收入管理和发展的决策；",
"三. 保证在所有参与创造和分配财富的苏丹政府机构内享有公平公正的代表。",
"112. 国家经济和社会政策应旨在实现以下目标：",
"一. 与维护宏观经济稳定和可持续发展保持一致，在苏丹所有地方创造和公平分配财富；",
"二. 确保为全体人民的利益收税用税；",
"三. 将关于发展、服务提供和治理问题的决策过程权力下放；",
"四. 平安、安全和开放地准入市场和获取货物与服务，以期：",
"(a) 创建有利的外国投资环境；",
"(b) 承认社会和文化多样性；",
"(c) 促进社会护理和稳定；",
"(d) 应对环境退化问题；",
"(e) 落实可持续发展的原则。",
"113. 应制定国家经济政策以为国内和外国私营部门参与整个苏丹特别是达尔富尔的发展创造有利透明的环境。应审查和修正国家和区域立法以吸引投资。",
"114. 国家和区域政策应适于促进达尔富尔向国内和国际市场的出口。",
"115. 应审查财政和货币政策，特别是银行系统，以满足可持续增长和平衡发展的需求，增加进入国际金融市场的机会。",
"116. 苏丹银行致力于制定政策和创新金融方法，鼓励金融机构、商业银行和专业政府银行(农业银行、工业发展银行等)扩展其在达尔富尔的活动。",
"117. 在不影响第14条的情况下，应制定和执行政策发展教育系统，并确保达尔富尔人在达尔富尔各州和这个国家平等获取教育和培训机会，不因种族或性别受到歧视。应特别努力消除妇女文盲。",
"118. 应推动和促进研究和开发，特别是推动在农业、畜牧业、小型工业、手工业、采矿、环境和着重可再生能源的能源领域的技术发展。",
"119. 应通过政策确保有效保护和恢复环境，特别是通过关于恢复森林和植树造林的政策。",
"120. 应优先关注着重发展和升级包括家畜在内的农业部门，适当尊重游牧文化和可持续的自然环境。",
"121. 本协议执行中的最优先事项应是应对受冲突影响领域的需求，特别关注境内流离失所者、回归难民和受冲突影响者，提供使他们安全而有尊严地回归出生地所需的基本服务和保障。本协议第四章境内流离失所者和难民的赔偿与回归规定了赔偿财产和援助难民完全融入社区的原则和流程，其中包括恢复他们的土地财产权，补偿他们因冲突而遭受的损害和损失。",
"122. 应特别关注达尔富尔妇女的关切，她们参与所有领域的活动，除了是户主特别是难民、境内游离失所者和移民家庭的户主外，还是劳动力的主要部分，在农业和动物资源部门尤其如此。此外，在所有这些领域内，妇女的境遇因冲突而恶化，冲突特别对妇女和儿童造成不利影响，主要对其生计造成影响。应采取具体措施应对她们的关切，确保她们平等有效地参与根据本协议成立的各种委员会和机构。",
"123. 合理、可持续地承认“hawakeer”和土地历史权等传统和习惯性质的权利对保证达尔富尔的发展和生计极其重要。本协议旨在建立承认和保护这些权利所需的机制。",
"124. 应建立一个机制，规定确保可持续地利用和监测土地和其他自然资源程序。该机制应确保与所有受土地开发和自然资源利用影响的公民协商，在执行此类开发程序时将他们的意见考虑在内。因土地和自然资源开发而财产受到损失或生活受到影响的个人有权获得充足及时的赔偿。",
"125. 应发展和合法地支持土地管理体系和机构，以便根据土地利用图谱数据率，同时考虑到这方面的历史经验，推动可持续发展和应对环境退化问题。",
"126. 达尔富尔所处地理位置远离中心，缺少公路、铁路、桥梁和堤坝等基础设施，因此需要有效的开发和投资，应通过如下改革、法定减免和激励措施便利这些开发和投资：",
"一. 完全免除达尔富尔建设和发展所需进口材料的关税和其他费用；",
"二. 苏丹政府应负担在达尔富尔的国家发展项目以及苏丹政府或货款资助的项目所需进口材料的应付关税和其他费用。",
"三. 应修订《投资促进法》，为外国和当地公司在达尔富尔各州投资规定更多的激励特权，如免除这些公司的商业利润税负。",
"达尔富尔的重建和发展",
"第18条：总则",
"127. 达尔富尔的重建和发展努力应通过第25条所述财政和金融分配监测委员会定期进行大量有保证的资金划拨以及通过其他本国资源和外国援助获得支助。",
"128. 达尔富尔需要一个快速从冲突转为和平的过渡期，因此应创造一个有利环境，以便从人道主义援助阶段转为重建、经济恢复和发展阶段。",
"129. 为支持上文第128款提及的过渡期和实现上述目标，达尔富尔需要大量资源，这大大超出其在短期内可在当地经济层面调动的能力。因此，除外国援助外，应通过国家岁入基金定期进行的安全资金划拨和其他本国资源向达尔富尔的努力提供协助。",
"第19条：小额融资制度",
"130. 达尔富尔应建立小额融资制度，在没有传统银行系统适用的抵押要求情况下，通过可供个人和群体获得的小额贷款向有增长潜力的创收活动提供所需的资金。",
"131. 小额融资制度应设立若干非传统抵押品，方便目标人群如小生产者特别是回归者获取此项资助。",
"132. 受惠人应在行政区域内通过政府资助建设其生产能力，在各自领域提高技能。",
"133. 小额融资制度应特别注重妇女特别是遗孀的创收活动。",
"134. 苏丹政府应出资100 000 000美元(一亿美元)作为小额融资制度的资本。",
"135. 政府应鼓励有小额融资业务的银行优先关注达尔富尔。",
"136. 政府应与达尔富尔地区管理局合作，在小额融资领域的专家参与下，以确保小额融资制度独立性的方式制定小额融资制度的章程和议事规则。",
"137. 小额融资制度可无条件地接受小额融资领域专业组织及其他组织的支助。",
"第20条：社会服务",
"138. 除了财政和金融分配监测委员会的划拨外，苏丹政府应在三年期间向达尔富尔各州三次等额分期支付225 000 000美元(二亿二千五百万美元)以支持社会服务活动。",
"第21条：达尔富尔重建与发展基金",
"139. 应在达尔富尔重建与发展基金的结构和运作构架内采取必要措施改革、重组和纠正其失衡问题，达尔富尔重建与发展基金应一直运作，直至并入多方捐助信托基金，多方捐助信托基金将如第32条的规定在达尔富尔联合评估团之后成立。",
"140. 达尔富尔重建与发展基金将在一个由苏丹政府、达尔富尔地区管理局和达尔富尔各州政府代表组成的委员会的监督下运作。",
"141. 达尔富尔重建与发展基金的职能包括但不限于以下任务：",
"一. 资助回归和重新安置项目；",
"二. 纠正发展失衡问题，特别是在基础设施和实现千年发展目标领域；",
"三. 建立供资机制，满足妇女、儿童和孤儿的特殊需要。这种机制应包括但不限于提供贷款、投资机会、加强生产能力、生产投入和妇女的能力建设。",
"达尔富尔重建与发展基金的国家政府拨款",
"142. 除了财政和金融分配监测委员会划拨款内达尔富尔的份额外，苏丹政府应从国家岁入基金中拨款2 000 000 000美元(二十亿美元)。该款项的 200 000 000美元(二亿美元)应在本协议签署后立即支付，作为达尔富尔重建与发展基金的种子资金。苏丹政府应以如下方式支付余额：",
"一. 在本协议签署后一年内支付300 000 000美元(三亿美元)；",
"二. 在第三年支付300 000 000美元(三亿美元)；",
"三. 在第四年支付300 000 000美元(三亿美元)；",
"四. 在第五年支付400 000 000美元(四亿美元)；",
"五. 在第六年支付500 000 000美元(五亿美元)。",
"财政联邦制和政府间关系",
"第22条：确定国家一级和州一级的财政责任",
"143. 国民收入应按其宪法责任的比例拨给联邦政府和各州政府，以确保联邦治理的效力。",
"144. 应根据以下原则在治理的国家级和州级分配收支相关责任：",
"一. 将支出功能分配给其管辖权最密切反映该功能服务的地理区域的政府级别；",
"二. 特定服务的提供(支出分配)只能由特定级别的政府承担，或者由两级或多级政府共同承担；",
"三. 达尔富尔州政府应努力利用从在上述地区征收的税款来支付为特定地理区域生活的人们提供的服务；",
"四. 达尔富尔州政府应有权确定税基结构、关税水平或税率，不受联邦政府的干涉。",
"第23条：税收分配原则和基础",
"税收规则",
"145. 所有在国家一级由或为联邦政府收取的税收均支付到由国家财政部管理的国家岁入基金的账户，此项税收包括所有部委的税收，覆盖黄金、石油、行政或政府在任何机构或公司或任何其他实体利润中所占份额，无论是因商业、投资或其他活动产生。该基金包括所有账户，包括收取、报告和储存联邦政府应收款项的子账户。",
"146. 在每个财政年度未，各级政府及其附属机构应通过立法机关公布一份综合报告，详细描述所有税收和非税收入以及所有支出(年度财务报告)，以确保透明和依法问责。",
"税基",
"147. 联邦政府可立法规定从以下来源收取税收或税赋：",
"一. 国家个人所得税；",
"二. 公司或企业利润税；",
"三. 关税和进口税；",
"四. 海港和机场税收；",
"五. 服务费；",
"六. 石油、采矿和电力税收；",
"七. 政府机构和项目税收；",
"八. 增值税和批发/零售税和其他货物和服务税；",
"九. 消费税；",
"十. 贷款，包括从苏丹中央银行和公民的贷款；",
"十一. 赠款和外国财政援助；",
"十二. 国家立法机关规定的其他税赋。",
"148. 达尔富尔州政府有权收取和管理以下费用：",
"一. 州土地和财产税与权益费；",
"二. 州服务的服务费；",
"三. 许可费；",
"四. 达尔富尔各州的个人所得税；",
"五. 各州在达尔富尔各州生产的石油和其他自然资源收入中所占份额；",
"六. 达尔富尔各州项目、机构和自然保护区；",
"七. 印花税；",
"八. 农业税；",
"九. 旅游税；",
"十. 外国赠款和援助；",
"十一. 消费税；",
"十二. 由州立法规定的其他区域税收；",
"十三. 在国家宏观经济政策框架内，经中央银行核准和担保，根据其信贷价值进行的本地和国外贷款和借款；",
"十四. 家畜税；",
"十五. 苏丹政府提供的补贴和外国财政援助；",
"十六. 国家岁入基金的拨款；",
"十七. 根据联邦立法收取的边境贸易税收。",
"149. 达尔富尔各州可缔结协议在其管辖区和权力内加强资源调动和管理。",
"第24条：伊斯兰济贫税机构",
"150. 应在达尔富尔地区内使用达尔富尔征收的所有税款。",
"151. 尽管有第150款之规定，但伊斯兰济贫税中央机构根据2001年《课税法》第38(A)条之规定，可能提供尽可能多的必要资金，并根据达尔富尔地区的贫困线，执行服务形式多样化的扶贫方案和项目，特别是对流离失所者和难民而言，如挖井、提供医疗器械和设备、教育和其他生产性项目。",
"第25条：政府间财政转移支付",
"152. 将依法设立财政分配和监测委员会。还将依法任命一个专家小组，并授权该小组制定将国家岁入基金转入达尔富尔各州的标准。达尔富尔地区管理局的一名代表将任职财政分配和监测委员会。",
"153. 为实现财政平衡，财政分配和监测委员会将确保反映达尔富尔各州的利益和观点，考虑其他州政府的利益。委员会将在制度上确保以下方面：",
"一. 纵向和横向优化对资源的利用和分享；",
"二. 向达尔富尔各州分配资金时保持透明度；",
"三. 在迅速转移预算补助方面监测国家财政部的行动。委员会将向立法机关提交报告。",
"154. 根据以下标准，份额将直接从财政分配和监测委员会转入达尔富尔各州：",
"一. 2008年人口普查得出的人口数量；",
"二. 发展指标(卫生、教育、基础设施)；",
"三. 州在收税方面做出的努力；",
"四. 冲突的影响；",
"五. 地域大小。",
"155. 专家组将以百分比的形式逐一说明各标准所占比重，以期作为计算各州所得份额的依据。",
"156. 财政分配和监测委员会将执行透明的进程，在确保联邦政府不得扣留达尔富尔各州或任何其他次级政府的资金时，监测向达尔富尔各州及时支付转让。",
"157. 如果国家财政部扣留分配给达尔富尔各州的资金，或没能按照原有安排分配资金，达尔富尔各州可能向宪法法院提起诉讼。",
"第26条：向达尔富尔地区管理局转移资金",
"158. 苏丹政府将向达尔富尔地区管理局开展的一切活动供资。用于资本支出的资金将来自达尔富尔重建与发展基金，而预算中的管理费用将由国家立法通过的国家预算直接提供。",
"159. 向达尔富尔地区管理局分配资金的过程将保持透明。",
"160. 如果联邦政府延误了向达尔富尔地区转移分配给其的资金或扣留了资金，达尔富尔地区管理局可能向宪法法院提起诉讼。",
"第27条：达尔富尔德财政权利",
"161. 在联邦系统的背景下，达尔富尔各州应有权：",
"一. 根据第25条将国家财政部收集的税款转移出去；",
"二. 根据第23条收税；",
"三. 达尔富尔重建与发展基金的岁入；",
"四. 多方捐助者信托基金的岁入。",
"162. 将建立有特定目的的拨款制度，以期实现千年发展目标，减少贫困并实现两性平等。",
"第28条：外部供资来源",
"163. 经苏丹中央银行的核准和担保，达尔富尔地区管理局和达尔富尔各州能从国家和国际金融市场中获得贷款。",
"164. 达尔富尔地区管理局和达尔富尔各州将向联邦政府提交关于来自外部供资和援助来源的全部数额的报告。",
"第29条：能力建设",
"165. 在签署此《协定》时，苏丹政府将帮助达尔富尔各州和达尔富尔地区管理局制定和实施一项关于公共财政和财政联邦制的先进和全面的能力建设方案。",
"第30条：监测和问责制",
"166. 达尔富尔地区管理局和达尔富尔各州将根据一般性金融统计数据编制年度预算，预算将分别提交至达尔富尔地区管理局理事会和各州立法机关核准或修正。不经达尔富尔地区管理局理事会核准，或视情况而定不经立法机关核准，不能修改或添加任何新的资金分配事项。还应编制关于总收入和支出的全面中期报告。将按照国家一级透明度和问责制的标准，根据金融法规和国家审计师机构的准则，编制这些报告；而且，应根据国际标准编制全面的报告。",
"167. 负责监测该进程的机构如下：",
"一. 财政分配和监测委员会；",
"二. 国家审计长机构和各州审计长办公室；",
"三. 达尔富尔地区管理局理事会；",
"四. 达尔富尔各州立法机关。",
"第31条：关于达尔富尔的发展政策",
"168. 将在实现苏丹所有地区公平和均衡发展权的基础上制定国家发展政策，并将该国更贫困和受冲突影响地区作为特别优先事项。",
"169. 在这一背景下，达尔富尔将旨在实现复原、重建、建设和发展等多领域的短期和中期目标，并考虑迫切的需要和制定长期发展依据的需要。将特别关注将使达尔富尔加速实现从救济向发展过渡的方案和项目。",
"170. 实现达尔富尔冲突后经济复苏和发展的主要目标如下：",
"一. 重建和发展；",
"二. 重振达尔富尔的经济，使其融入国家经济，并促进达尔富尔各州同邻国的贸易；",
"三. 恢复基础社会服务，如教育、卫生和水供应；",
"四. 实现可持续的经济增长、公平发展、社会稳定，并改善获得社会服务的途径；",
"五. 减少贫困，并提高经济能力和认识；",
"六. 创造充足的就业机会；",
"七. 培养善治方面的个人和机构能力，强调问责制和透明度；",
"八. 发展物理基础设施，以期改善达尔富尔人民接触达尔富尔、苏丹其他地区和邻国主要市场的途径，承诺根据国际标准在两年内开通西Ingaz公路及所有分支路段；",
"九. 建立稳定和透明的法律框架，以鼓励私人、当地、国家和外国投资；",
"十. 培养经济管理、财务管理和采购等主要领域的技术和分析能力；",
"十一. 投资教育和科学研究，改善和发展人力资源；",
"十二. 促进可替代能源的生产，并处理环境退化的原因。",
"171. 各方认识到，达尔富尔因历史原因贫困，且遭受冲突导致的破坏的严重影响，因而迫切需要：",
"一. 恢复和平、安全和社会稳定；",
"二. 更有效地履行政府职能；",
"三. 加强民政管理；",
"四. 在冲突后的达尔富尔恢复、重建和建设物理、机构和社会基础设施；",
"五. 在达尔富尔的大学和机构内进行全面的结构改革，使其履行自身使命；",
"六. 开设大学以及外国科学和技术学院分校，将达尔富尔转变为一个技术、工业、农业和贸易都发达的社会。",
"172. 牧民和农民争夺牧场和水源是达尔富尔的一个严重问题，将以全面的方式应对该问题：",
"一. 制定政策和项目来遏制环境退化，促进农业生产和畜牧业生产；",
"二. 逐渐将畜牧业生产和畜牧业的重心从数量转向质量；",
"三. 制定框架，使不同用户公平获取土地资源和水资源；",
"四. 制定旨在在各州建立农业、工业和技术经济的政策和项目；",
"五. 培养这些领域的研究能力。",
"173. 忽视苏丹人民(一般来讲)和达尔富尔人民(具体来讲)赖以生存的传统雨水浇灌部门导致粮食进口增加、农村人口向城市迁移以及饥饿和纠纷蔓延的状况。因此，应制定针对促进传统雨水浇灌农业的政策和项目，这将被视为一项加速实现千年发展目标的重大国家发展优先事项。",
"174. 以下发展项目曾被忽视，现将对其进行审查以评估其可行性。如果可行，将恢复该项目的实施：",
"一. 西萨瓦纳发展项目；",
"二. 杰贝尔·马拉农村发展项目；",
"三. 杰贝尔·马拉热能项目；",
"四. Habeela农业项目；",
"五. Ghazalah Jawazat研究站；",
"六. 阿布·哈姆拉农业项目；",
"七. Saq Alnaam农业项目；",
"八. Urn Bayada项目；",
"九. 旺地·哈瓦尔水谷盆地；",
"十. 防治干旱和荒漠化项目；",
"十一. 大众住房项目；",
"十二. 农业研究项目；",
"十三. 产糖项目；",
"十四. Alradoom、旺地·哈瓦尔和其他野生动物保护区；",
"十五. Urn Ajaja项目(Bahar Alarab发展项目)；",
"十六. Wadi Alatroon发展项目。",
"175. 所有政府一级将做出最大努力，在努力加速实现千年发展目标的过程中，将达尔富尔的人民发展水平提升至国家一级。",
"第32条：达尔富尔联合评估团",
"176. 将组建达尔富尔联合评估团来确认和评估达尔富尔冲突后经济复苏、发展和消除贫困的需要。将在签署该《协定》的三个月后举行捐助方大会，届时提出这些需要。",
"177. 各方将请求世界银行(世行)、达尔富尔开发银行、联合国和非洲开发银行(非行)带头开展联合评估团的活动，与伊斯兰开发银行、非洲联盟(非盟)、阿拉伯国家联盟(阿盟)、伊斯兰会议组织、阿拉伯基金、欧洲联盟(欧盟)、美利坚合众国(美国)、卡塔尔国以及其他相关国家及区域和国际经济组织合作。",
"178. 因为开展这一行动所需的财政资源和专业知识超出了苏丹的能力范围，所以各方请求国际社会紧急并全面参与该行动，在提供必要资源和专业知识方面给予援助，并通过建立多方捐助信托基金协助满足此用途的需要。将由捐助方和苏丹政府将建立的监管机构来决定该基金的运行程序。",
"179. 各方将参与达尔富尔联合评估团的监督和技术委员会。",
"180. 将评估达尔富尔在社会领域和基础设施方面的发展需求，并将由达尔富尔联合评估团来决定未来六年内应对这些需求所必需的资源。",
"发展和管理土地、Hawakeer和自然资源",
"第33条：一般原则",
"181. 本章涉及的土地边界将是本《协定》第二章第80款所述的达尔富尔的土地。",
"182. 由于达尔富尔人民没有从1925年的《土地垦殖和注册条例》中获益，因此将根据关于土地所有权、传统畜牧业路线和获取水资源的机会的习俗、传统和遗产，优先修改法律，将土地(Hawakeer)权和土地(Hawakeer)使用权囊括进来。",
"183. 如果根据投资法出租土地，且租户未满足将这些土地出租给其的条件，则所涉土地将恢复原状。",
"184. 在不影响本《协定》规定的情况下，适当或确认的政府一级将行使与达尔富尔的苏丹政府所有的土地相关的权利。",
"185. 将归还任意或非法被剥夺合法财产或土地权的所有流离失所者和其他人其财产和权利，并将立即对其在被剥夺期间遭受的持续损失或损害进行充分赔偿。",
"186. 将建立机制，以期确保对土地和其他自然资源的可持续管理和利用。应咨询土地开发和自然资源利用的所有受害者，并考虑其意见。因开发和利用自然资源使财产或生活资料受到负面影响的个人将有权立即获得充分赔偿。",
"第34条：土地的传统和历史权利",
"187. 土地所有权条例以及使用和行使土地权是一致的，将在适当的政府层面上行使。",
"188. 将承认和保护部落传统的土地(Hawakeer)所有权、土地、传统和习惯的畜牧业路线以及获得水源的途径的历史权利。政府的所有相关层面都将根据国际趋势和做法，启动和完成一个程序，以便逐步修订相关法律，纳入习惯法。为保护传统遗产，尽可能重新开放封闭的传统和习惯的畜牧业路线，或将划定替代路线。",
"189. 根据第188款修订的土地法将承认和保护历史、传统和习惯的土地权。",
"190. 如果不能立即进行充分商议和补偿，不得剥夺任何个人或个人团体的任何传统或历史土地权或获取水源的权利。",
"191. 在不影响法庭司法管辖权的情况下，达尔富尔土地委员会将应对土地的传统和历史权利，审查土地管理和利用问题以及自然资源开发问题。",
"第35条：当地社区的土地",
"192. 如果联邦政府和州政府在拥有这些土地权的当地社区的参与下与其进行善意磋商，则可能开发族裔土地。该族裔将有权获得土地开发所得的公平收入份额；或受影响的族裔将获得实物和/或现金赔偿。",
"193. 如果联邦和州政府采取行动或开发土地的行为符合根据第38条建立的土地利用映射数据库所制定的开发计划，则这些政府可以采取行动或开发任何属于当地社区的土地。",
"第36条：土地分配",
"194. 当地社区的个人可以将其习惯拥有的土地注册为自己的土地。如果可能，注册将是免费的，如果不免费，将降低注册费，并将同用于提高公众认识的便利程序和活动绑定起来。",
"第37条：土地规划和可持续发展",
"195. 土地规划和可持续发展须遵循以下要求：",
"一. 认识到土地的传统权利(包括Hawakeer)和历史权利，以便确保达尔富尔民生和发展的安全和可持续的基础；",
"二. 制定可持续的土地制度，并解决土地利用竞争引起的争端；",
"三. 达尔富尔的土地规划将基于土地利用映射数据库的成果制定，用于以下途径：",
"(a) 住房；",
"(b) 农业；",
"(c) 放牧；",
"(d) 采矿；",
"(e) 工业发展，包括外商投资；",
"(f) 自然保护区；",
"(g) 季节性牲畜移动(路线、牧场等)；",
"(h) 森林储备和植树造林。",
"第38条：达尔富尔土地委员会",
"196. 将建立达尔富尔土地委员会。达尔富尔土地委员会理事会将由联邦政府、达尔富尔地区管理局、达尔富尔州政府、本地人管理和当地专家组成。成员构成将体现达尔富尔的土地使用利益。在提出关于土地规划和开发的建议方面，理事会将询问权利受到影响的个人。",
"197. 达尔富尔土地委员会将制作达尔富尔各州土地利用映射数据库，并将数据库作为建议提交至达尔富尔各州立法机关，等待通过，随后提交至达尔富尔地区管理局理事会以获最终核准。将每五年对该数据库进行一次审查。",
"198. 达尔富尔土地委员会将适用一项关于利用和开发土地和自然资源的规划制度，该制度针对以下内容：",
"一. 良好管理、开发和保护农业用地、受保护的自然保护区、森林和矿物质、水源、城镇和农村等自然资源，以期促进当地社区的社会和经济福祉，并创造和维护一个更好的环境；",
"二. 发展和协调有组织的土地和自然资源的经济开发；",
"三. 可持续发展；",
"四. 保护文化遗产；",
"五. 保护、提供和协调电信、交通和其他相关服务；",
"六. 为公共目的分配土地；",
"七. 提供和协调社会服务和设施；",
"八. 环境保护，包括保护动植物群、濒危物种和自然保护区；",
"九. 开垦受侵蚀的土地并制定抗击荒漠化的方案，包括造林和再造林；",
"十. 促进达尔富尔各政府级承担环境规划的共同责任；",
"十一. 为公众参与环境规划和评估创造机会；",
"十二. 创造机会，与受到土地和自然资源开发计划影响的所有人进行磋商；",
"十三. 核准立即向生活资料或财产因与土地和自然资源开发和规划相关决定受到负面影响的个人进行充分赔偿。",
"199. 如果当地社区或个人的当前土地利用和生活资料因土地利用映射数据库受到负面影响，则他们有权立即获得充分赔偿。",
"200. 达尔富尔土地委员会将：",
"一. 保持独立和公正；",
"二. 制定议事规则，并将议事规则提交给达尔富尔地区管理局核准；",
"三. 获得所有土地记录；",
"四. 尽快履行职责；",
"五. 做出一切适当安排，以确保所有受害个人和当地社区全面和有效参与议事；",
"六. 向达尔富尔地区管理局和达尔富尔各州政府提交关于其活动年度预算的年度报告；",
"七. 确保委员会的成员构成、招募情况和服务条件符合法律规定；",
"八. 考虑土地的传统和历史权利。",
"201. 在不影响法庭司法管辖权的情况下，达尔富尔土地委员会将行使以下附加职责：",
"一. 对土地权利纠纷实施仲裁；",
"二. 向适当的政府一级提交关于承认传统和历史土地权的建议；",
"三. 就向其提交的申请评估适当的赔偿。这些赔偿不一定限于经济赔偿；",
"四. 就如何协调关于影响土地或土地权的达尔富尔各州政府项目的政策问题向各级政府提出建议，并考虑土地利用映射数据库；",
"五. 建立并维护关于土地利用的记录；",
"六. 进行关于土地所有权和土地利用的研究；",
"七. 审查目前的土地利用条例机制，并向主管机关提出关于必要变更的建议，包括向土地所有者归还土地权，或向其支付赔偿。",
"202. 在行使仲裁职责的同时，达尔富尔土地委员会将有权受理申请，并在获得争议各方同意后适用习惯和传统法律或公平与正义原则。仲裁决定将制约争议各方，并可能由主管法庭强制执行。",
"203. 在不影响各法庭司法管辖权的情况下，将鼓励存在土地争议的各方在诉诸法庭前详尽论述解决争端的传统方法，包括仲裁。",
"204. 达尔富尔土地委员会将尊重由本协定第四章授权的机构或实体做出的决定，以期对流离失所者、难民和其他受冲突影响的个人所有的土地做出决定。",
"205. 国家土地委员会和达尔富尔土地委员会将开展合作，并协调活动，以便有效利用二者的资源。在未对协调问题施加限制的情况下，国家土地委员会和达尔富尔土地委员会将在以下问题上达成一致：",
"一. 共享信息并共同做出决定；",
"二. 向达尔富尔土地委员会委派国家土地委员会的特定职能，包括数据收集和研究；",
"三. 消除实际结果同两个委员会提出的建议之间的任何矛盾；",
"206. 达尔富尔土地委员会将作为国家土地委员会的永久成员。",
"207. 如果实际结果、国家土地委员会提出的建议和达尔富尔土地委员会提出的建议之间出现冲突，两个委员会将努力协调各自位置。如果无法做到，问题将交由宪法法庭决定。",
"第39条：主要发展项目",
"208. 在特殊情况下，达尔富尔地区管理局理事会和达尔富尔各州立法会可能授权达尔富尔各州政府签署协定，以便实施可能不符合任何关于土地利用的计划或规划立法的重大发展项目。但如果拟议的协定包含说明以下内容的详细规定，达尔富尔各州政府可能力争获得此项任务：",
"一. 明确界定拟议的项目；",
"二. 将根据该协定通过程序，以期保护环境；",
"三. 将采取措施与利益受到拟议的发展项目负面影响的族裔和个人进行磋商；",
"四. 预计为当地社区和达尔富尔人民带来惠益；",
"五. 将对财产或生活资料受到协定的负面影响的族裔和个人做出赔偿，并说明他们是否同意指定的赔偿。",
"将对土地利用映射数据库或关于规划的立法做出相应修订。",
"第40条：自然资源",
"209. 在对自然资源进行管理和开发方面，达尔富尔土地委员会将致力于可持续地利用这些资源，并考虑以下问题：",
"一. 国家利益和公益；",
"二. 相关国家和区域的利益；",
"三. 相关区域当地人民的利益；",
"四. 国家和达尔富尔各州的环境政策、生物多样性保护准则以及文化遗产保护原则；",
"五. 土地权，包括习惯和传统权利；",
"六. 采矿和自然资源开发方面的国际认可标准和环保方式。",
"210. 将与土地权所有者进行磋商，并且在做出关于开采他们拥有权利的领域的地下资源时，考虑他们的意见。",
"211. 拥有土地权的个人在其土地财产被征用和利用以作开发自然资源之用的情况下，将有权立即获得充分赔偿。",
"212. 苏丹政府将使达尔富尔人民通过其州政府参与与开发和利用达尔富尔自然资源有关的各阶段决策。这将涉及合同的谈判、缔结和管理。将考虑受开发影响的当地社区的惠益。",
"第41条：石油部门的管理和开发",
"213. 除其他外，石油部门的管理和开发将基于以下方面内容：",
"一. 根据以下方面，将石油作为非可再生自然资源进行优化开采：",
"(a) 国家利益和公益；",
"(b) 相关国家的利益；",
"(c) 相关区域人口的利益；",
"(d) 国家和达尔富尔各州的环境政策、生物多样性保护准则、文化遗产保护原则，包括通过和遵守国际技术与安全标准。",
"二. 使达尔富尔适当的政府级别同相关当地社区合作参与不同阶段的石油开发和管理工作；",
"三. 创建有利的环境，吸引达尔富尔的外商直接投资；",
"四. 与达尔富尔的土地权所有者进行磋商，并在做出关于相关区域的石油资源决定时考虑他们的意见；",
"五. 拥有土地权的个人在其土地财产被征用和利用以作开发石油资源之用的情况下，将有权立即获得充分赔偿。",
"214. 将获得石油部门投资的州应派三名非永久成员参加国家石油委员会，以便参与相关合同的谈判和缔结，并确保这些合同的条款符合委员会的原则、政策和指令。",
"215. 将把2%的石油收入分配给生产石油的州。这样的州可以通过谈判获得较高的百分比。",
"第四章：境内流离失所者和难民的赔偿与回归",
"第42条：境内流离失所者和难民的赔偿与回归的一般原则",
"持久解决境内流离失所者和难民问题应基于以下原则：",
"216. 各方承诺履行关于境内流离失所者和难民的义务，2010年2月23日苏丹政府同正义与平等运动之间的《框架协定》以及2010年3月18日苏丹政府同解放与正义运动之间的《框架协定》规定了这些义务，具体来说包括内部流离失所者和难民自愿回归来源国的权利，以及各方根据明确的战略，创造使其自愿回归的有利环境的条件并帮助其回归。",
"217. 根据国际人权法、国际人道主义法、国际难民法以及苏丹缔约的所有其他国际和区域文书，尊重、保护和实现境内流离失所者、难民和所有冲突受害者的权利。",
"218. 根据国家法律和苏丹缔约的国际法律文书，境内流离失所者、回归难民和所有冲突受害者将在绝对平等的基础上享有与苏丹其他人相同的权利和自由。",
"219. 保护和援助境内流离失所者、难民和所有冲突受害者，包括失散和无人照顾的儿童、女户主、孕妇、携带儿童的母亲、老人和残疾人。",
"220. 各方采取措施来确保境内流离失所者、难民和冲突的所有其他受害者安全且有尊严地生活，并且在遭受流离失所的各阶段全面尊重他们的平等权利，包括在流离失所和自愿回归、重新安置和重返社会期间防止一切形式的被迫流离失所发生，并提供保护和援助。确保向受害者提供人道主义援助，特别是妇女和儿童，着手应对残疾受害者的状况，并向其提供卫生和社会服务。",
"221. 各方承诺建立机制，以期促进和推动境内流离失所者、难民、冲突受害者和民间社会积极参与策划和实施与应对冲突带来的人道主义和人权影响以及回归过程相关的战略、政策和方案。将采取特殊措施来确保妇女和青年的参与。",
"222. 各方承诺以快速、安全和非限制性的方式建立国际人道主义、发展和人权组织，以及国家和国际非政府组织、国际维和特派团参与支助、保护、遣返、重新安置和重新融合境内流离失所者、难民和冲突受害者。",
"223. 各方承认联合国秘书长委派的专门国际组织起到的人道主义带头作用，即在国内流离失所和保护、援助以及解决难民问题的背景下，对提供保护、避难所和营地等援助的所有机构进行协调。",
"224. 各方根据《联合国原则》和《联合国宪章》以及《非盟组织法》、《萨赫勒－撒哈拉国家共同体组织法》和其他相关国际及区域组织在和平解决争端领域之规定履行义务，防止和避免迫使个人流离失所的情况发生。各方将向境内流离失所者、回归难民和冲突的所有受害者提供援助。各方同意遵照《2005年联合国世界首脑会议成果文件》赞同的关于境内流离失所问题的指导原则。",
"第43条：对伤害和损失的赔偿",
"225. 境内流离失所者和难民等所有冲突受害者将有权获得有关冲突带来的伤害和损失的经济赔偿，包括死亡、人身伤害、精神和感情上的痛苦及经济损失。",
"第44条：安全和安保",
"226. 各方将在非洲联盟-联合国达尔富尔混合行动的支助下提供安全和保护，防止遭受一切形式的身体攻击、一切形式的性暴力、剥削、绑架、招募儿童兵、童工、任意拘留、非正规“税收”、索要赎金和非法没收财产等行为，并且苏丹政府将采取必要措施来应对这些暴力行为造成的影响，从而有效和及时地确保正义。",
"227. 各方将尊重和维护庇护境内流离失所者的营地的平民和人道主义性质。",
"228. 根据本协定第六章之规定，各方将在非洲联盟-联合国达尔富尔混合行动的援助下，采取一切必要措施，确保境内流离失所者营地的安全。这些措施将确保营地中的妇女有效参与决策进程。",
"229. 苏丹政府将采取一切必要的合法措施打击参与袭击人道主义机构员工的行为。",
"第45条：人道主义援助",
"230. 苏丹政府将向境内流离失所者发放紧急援助，包括食物、避难所、教育、医疗保健和其他医疗卫生服务，以及其他必要的人道主义和社会服务。",
"231. 将在境内流离失所者回归前后，以及在难民回归时，向其提供人道主义援助和生活资料。",
"232. 将向收容需要人道主义援助和生计支持的境内流离失所者和回归难民的社区提供此类援助。",
"233. 根据与苏丹政府商定的安排，各方将促进和推动联合国和专门机构以及国家、区域和国际人道主义组织的参与，使境内流离失所者及其营地不受阻碍和限制。",
"234. 各方将保证和保护人道主义援助路线和人道主义员工的安全。",
"第46条：个人证件",
"235. 苏丹政府应签发返回境内流离失所者和难民以使其享受权利所必须的全部证件。各方应在创建自愿回归和重新安置委员会所属机制的形式方面达成一致，以便同相关当局合作，免费签发上述证件。",
"236. 苏丹政府将促进新的或替代证件的分发，用以替代流离失所过程中丢失或销毁的证件。",
"237. 妇女、儿童以及男子在获得所有必要身份证件方面享有平等的权利，并且他们有权获得按其姓名分发的证件。将做出特别努力，加速向孤儿以及失散和无人照顾的儿童提供这些证件。",
"第47条：亲人团聚",
"238. 达尔富尔政府和相关当局将采取一切必要措施，使因流离失所失散的亲人尽快团聚。将做出特别努力，加速无人照顾和失散儿童与其家人团聚。自愿回归和重新安置将与参与家庭追踪和援助亲人团聚的人道主义组织进行协调并开展合作。各方强调其承诺打击绑架和贩运儿童的行径，并将努力制止和揭露任何不正当的做法。",
"第48条：迁移自由",
"239. 各方将保障迁移自由，并确保境内流离失所者和回归难民能选择住处，其中包括自由进出营地的权利，以及自愿回归来源地或自愿在该国另一地点重新安置的权利。",
"240. 各方将尊重和确保境内流离失所者和难民的权利，使其在苏丹另一地点寻求安全，并受到保护，免遭强行遣返或重新安居于任何威胁其生命、安全、自由和/或健康的地点。",
"第49条：自愿回归",
"241. 所有境内流离失所者和难民有权安全并有尊严地自愿回归其来源国或惯常居住地，或在其选择的另一地点重新安居。各方将不能干涉境内流离失所者和回归难民对目的地做出的选择，也不能强迫其留在、回归或迁移到严重危险或不安全的局势中或缺乏正常生活所必须的基础服务的区域。",
"242. 苏丹政府将接受并促进境内流离失所者和难民自愿回归其来源国或惯常居住地或自愿在该国另一地点重新安居。",
"243. 各方将采取一切必要措施，制止将阻碍境内流离失所者和难民安全并有尊严地自愿回归的活动。",
"244. 境内流离失所者和难民将获得关于回归和重新安置区域状况的客观信息。各方将在适当的地方和国际行为方的援助下，促进关于回归和重新安置区域状况的准确信息的及时传播，以使难民和境内流离失所者做出关于回归和重新安置的知情和自愿决定。",
"245. 各方将尊重存在于自愿回归或重新安置的亲人团聚原则。",
"246. 各方将与自愿回归和重新安置以及任何其他相关实体进行协调，做出特别努力，确保包括妇女和青年在内的境内流离失所者和难民参与其回归或重新安居和重返社会的规划和管理。",
"第50条：回归的适当条件",
"247. 苏丹政府将尽快创造安全、政治、经济和社会条件，并将提供途径，使境内流离失所者和难民安全并有尊严地自愿回归其来源国或惯常居住地。",
"248. 各方将促进创造和维护难民和境内流离失所者安全并有尊严地自愿回归以及持久并和谐地重返社会的必要条件。",
"249. 各方同意，境内流离失所者和难民回归所必要的条件如下：",
"一. 在境内流离失所者和难民自愿回归或重新安居期间或之后，保证其安保与安全，不存在受到骚扰、恐吓、迫害或歧视的风险；",
"二. 有权自由迁移，并能选择居住地，包括有权回归来源国或惯常居住地并在那里定居；",
"三. 对境内流离失所者和难民家园和土地所在区域进行排雷，并在通往市场、水源、学校和卫生设施的路上进行排雷；",
"四. 归还境内流离失所者和难民财产；",
"五. 为在流离失所者和难民的回归村庄设立固定避难所提供援助，并修理和赔偿受损财产。",
"六. 获取食物、饮用水和医疗，包括在境内流离失所者和难民能恢复正常生活前提供人道主义援助的方式；",
"七. 向每户提供的金额为250美元(二百五十美元)，作为回归一揽子计划的一部分，以期帮助满足境内流离失所者和难民回归后的迫切需要。该一揽子计划旨在使其开始新的生活，并有效重返社会。该一揽子计划还将包括获取饮用水、食物和避难所材料的途径以及用于农作物和牲畜所需的农业投入，如种子、幼苗、兽医服务、工具和必要设备。",
"八. 在回归区域改造和建设基础设施；",
"九. 复原受损的农业用地；",
"十. 对男孩和女孩进行教育，并提供包括生计培训在内的平等培训；",
"十一. 使男子和妇女平等获得生活资料，包括就业；",
"十二. 使境内流离失所者和难民平等获得公共服务，并具有参与公共事务的平等权利；",
"十三. 向境内流离失所者和难民提供心理支助。",
"250. 各方将确保，促进回归前的适当条件得到落实。",
"251. 各方将根据明确战略，促进境内流离失所者和难民以和平、有序和逐步的方式，自愿回归或重新安居。",
"第51条：自愿回归和重新安置委员会",
"252. 将设立自愿回归和重新安置委员会作为优先事项。它将包括：",
"一. 自愿回归委员会；",
"二. 财产索赔和归还委员会；",
"三. 赔偿/Jabr Al-Darar基金。",
"253. 自愿回归和重新安置委员会将监督自愿回归委员会、财产索赔和归还委员会以及赔偿/Jabr Al-Darar 基金。",
"254. 自愿回归和重新安置委员会将制定议事规则、财务和行政条例，设计适当结构，待达尔富尔地区管理局通过。",
"255. 各方将商定建立于自愿回归和重新安置委员会下的机构组成以及成员的指定。",
"256. 自愿回归和重新安置委员会活动的赔偿/Jabr Al-Darar 基金方面将由赔偿/Jabr Al-Darar 基金供资。",
"自愿回归委员会",
"257. 在自愿回归和重新安置委员会的监督下，自愿回归委员会将负责有关境内流离失所者和难民自愿回归的所有方面事宜。为此，自愿回归委员会将承担以下任务和职能：",
"一. 进行关于境内流离失所者和难民的数据调查，以便对自愿回归或重新安居进行规划；",
"二. 与联合国难民事务高级专员办事处(难民署)等相关国际机构协作，对可能回归或重新安置的区域进行全面需要评估，评估将涉及以下方面：安全、食品安全、对家园和土地造成的破坏、饮用水、卫生、教育、获得卫生服务和基础设施的途径；",
"三. 评估是否落实了可持续的回归所需的条件，建议将实施的具体措施，从而确保创造这些条件，并核实这些条件的落实情况；",
"四. 在难民署和适当当地机构的援助下，经过与境内流离失所者、难民和当地社区的协商，在签署本协定的3个月内制定并通过自愿回归计划；",
"五. 与适当当地机构、国际社会，特别是难民署，以及收留难民的国家开展密切合作，实施自愿回归计划；",
"六. 就关于维护可持续回归和重返社会的必要条件的持续基础以及境内流离失所者和难民回归后的条件进行监测和报告；",
"七. 根据自愿回归计划，规划、组织和援助境内流离失所者和难民自愿回归，并在其重返社会方面提供援助。",
"258. 自愿回归委员会可能建立其履行职责所需的小组委员会，即：",
"一. 关于数据调查和规划的小组委员会；",
"二. 关于评估、复原和建立回归区域基础设施的小组委员会。",
"259. 自愿回归和重新安置委员会将确保境内流离失所者、难民和民间社会代表积极参与与自愿回归相关的进程。",
"第52条：归还住房、土地和财产",
"260. 境内流离失所者和难民有权重新获得被非法剥夺的住房、土地和财产。如果不能归还其财产，其将有权根据国际原则获得赔偿。",
"261. 无论境内流离失所者和难民选择回到其来源地或在别处重新安居，该权利均对其适用。",
"262. 财产索赔和归还委员会将确保归还境内流离失所者和难民房屋、土地和财产。",
"263. 财产索赔和归还委员会将：",
"一. 收到达尔富尔境内流离失所者、难民和其他冲突受害者提出的归还财产要求。",
"二. 在收到索赔要求后，根据索赔内容确定财产的合法所有者；",
"三. 如果索偿人是合法所有者，要求将财产归还给他或她；",
"四. 如果不能做到这一点，要求向他/她做出赔偿。",
"五. 制定关于提交和裁决索赔要求的程序，即简明、易理解、透明、公平、及时、可实施且免费。这些程序将包括确保妇女和孤儿在完全平等的基础上参与归还进程的具体措施；",
"六. 如果合适，任命倡导者和代表以索偿人的名义行事，特别是在索偿人未满18岁或存在智力残疾的情况下。",
"264. 财产索赔和归还委员会将不能承认任何非法交易的效力，包括被迫或未获得自由和知情同意进行的任何转移。",
"265. 苏丹政府将负责确保将财产归还给合法所有者。苏丹政府将在相关国际机构的援助下，迁移并重新安置非法定居且占用境内流离失所者和难民财产者。",
"266. 不得在未经同意或无法立即提供充分赔偿的情况下剥夺任何人或团体获取土地或水源的任何传统或历史权利。",
"267. 在不影响法庭司法管辖权的情况下，如果回归过程中出现的争端符合人权的国际准则，则可利用传统制度解决争端。",
"268. 财产索赔和归还委员会将建立其履行职责所需的小组委员会，即：",
"一. 关于核查和编制文件的小组委员会；",
"二. 关于解决争端和财产索赔问题的小组委员会；以及",
"三. 其认为必要的其他此类小组委员会。",
"269. 财产索赔和归还委员会将公开做出决定。",
"第53条：赔偿/Jabr Al-Darar 基金",
"270. 将设立赔偿/Jabr Al-Darar 基金，按下列要求支付赔偿金",
"一. 财产索赔和归还委员会根据第52条提出要求；",
"二. 司法委员会根据第58条提出要求。",
"271. 该基金将收到并持有：",
"一. 苏丹政府根据第273款提供的捐助；",
"二. 苏丹人民通过其商会和慈善组织等机构进行的捐助；",
"三. 伊斯兰、阿拉伯和非洲国家进行的捐助及其基金；",
"四. 欧盟和其他捐助方进行的捐助；",
"五. 联合国各机构调动的基金。",
"272. 赔偿/ Jabr Al-Darar 基金将制定其议事规则。该规则应简明且易理解。",
"第54条：供资",
"273. 赔偿/Jabr Al-Darar 基金将为达尔富尔境内流离失所者、难民和冲突的任何其他受害者赔偿的最初数额是3亿美元(三亿美元)，其中苏丹政府承诺支付2亿美元(二亿美元)，剩余1亿美元(一亿美元)将由捐助方提供。",
"274. 苏丹政府将从国家预算中拨款，以期根据财产索赔和归还委员会制定的预算，并经过达尔富尔地区管理局核准，支持境内流离失所者和难民自愿回归和重返社会。",
"275. 认识到一般调解以及集体和家庭赔偿(具体而言)都需要调动大量资源，并且认识到以下事实，即仅调动当地资源不能满足所有要求，供资这项计划需要国际社会、和平伙伴及和平受益者的参与和支助。因此，各方同意加强国际资源的调动，为赔偿/ Jabr Al-Darar 基金捐款。",
"第五章：正义与和解",
"第55条：正义与和解的一般原则",
"正义与和解应建立在以下原则基础上：",
"276. 尊重国际人权法和国际人道主义法。",
"277. 正义与和解是实现达尔富尔持久和平不可分割和相互关联的因素，并且是坚持法治的关键。",
"278. 采取过渡的司法制度进行补偿，并追求达尔富尔武装冲突相关暴力行为的肇事者法律责任。",
"279. 重建和修复社会关系，以及恢复和加强和平共处的价值观，尊重达尔富尔的现有惯例、社会合作和团结。",
"280. 受害者有权使用司法和补救机制，特别是针对违反国际人权法和国际人道主义法的情况，有权获得充分、有效和及时补偿和/或赔偿。",
"281. 包括过渡时期的司法制度在内的司法和其他补救机制将是独立和公正的，并将符合国际规范和标准。",
"282. 谴责冲突期间达尔富尔发生的暴行、滥用和侵犯人权以及违反国际人道主义法的行为，并且迫切需要采取一切必要措施，防止这类侵权行为再度发生。",
"283. 确保追求侵犯人权和违反国际人道主义法的所有肇事者的责任。",
"284. 对所有罪行和侵犯形式进行适当记录并编制文件。",
"285. 认识到妇女、儿童和青年的特殊状况及关切，妇女和青年在制止和解决冲突方面、过渡时期的司法进程中以及缔造和平方面所起的重要作用，并且认识到她们有必要平等和充分地参与一切努力，维护和平与安全，包括正义与和解。",
"286. 将首先视陷入冲突并可能卷入违反国际法规定的犯罪行为的儿童为受害者，并将根据《儿童权利公约》、《日内瓦公约第二议定书》、《非洲儿童权利与福利宪章》、《北京规则》以及相关国际青少年正义和公正审判标准处理这些儿童。",
"287. 认识到独立和公正的传统机制在正义与和解的补充进程中起到的作用，以及在维护国际人权标准时充分利用其潜能的重要性。",
"288. 必须吸取关于责任、和解与寻求真相的非洲和国际经验并学习最佳做法，以便应对达尔富尔的局势，并利用解决冲突的正义、赔偿与和解机制。",
"289. 向所有公民提供安全和全面保护。",
"290. 正义、责任、承认不法行为、宽恕和做出不重复的承诺。",
"291. 鼓励和解部落的首领之间进行友好的交流互访。",
"292. 各部落与地方当局进行协调，收集部落群体所有的武器。",
"293. 促进对话作为实现部落间和解的适当渠道，并加强达尔富尔承认的和解机制。",
"第56条：国家司法系统",
"294. 各方认同为促进和平在达尔富尔建立司法的重要性，并且它们同意司法制度在这方面将起到重要作用。它们还同意，应不断进行广泛且持久的改革，从而加强自身能力、专业性和独立性，确保为所有人实现司法公正。",
"295. 在不影响第60条的情况下，凭借官方身份或职权享受豁免权者不得阻碍尽快伸张正义，也不得阻碍打击有罪不罚现象。",
"296. 苏丹政府承诺通过采取以下必要和重要措施促进伸张正义：",
"一. 增加达尔富尔的法庭和司法人员数目，包括法官和检察官；",
"二. 加强和利用流动法庭制度；",
"三. 分配有效伸张正义所需的必要资源，包括在达尔富尔为检察官提供必要土地和航空运输。为此，苏丹政府可寻求来自联合国和其他和平伙伴的援助；",
"四. 确保司法部强制执行并支持在调查过程中履行检察职责；",
"五. 确保司法人员、受害者和证人得到保护。",
"297. 第296款规定的措施和程序将保证实施正当程序和获得公平审判的权利，确保法庭真正结案和过渡时期的司法制度，并消除任何阻碍达尔富尔人民行使诉讼、正义和补救措施的权利的现有或潜在障碍。",
"298. 苏丹政府承诺提供技术援助和支助，促进法庭与委员会或与抚恤金或赔偿有关的特别委员会之间的协调，并促进其他和解方式，以期创造必要的凝聚力，从而增强它们的能力，避免不一致和重复。",
"299. 将加强达尔富尔民间社会在自由和独立地促进正义、和平与和解方面所起的作用。民间社会可根据已有程序，寻求来自国家、区域和国际组织的支助。",
"300. 各方呼吁国际社会提供技术援助和适当资源，以期支持司法制度的有效运行。",
"第57条：赔偿/JABR AL DARAR",
"301. 根据类似局势的国际经验和最佳做法，境内流离失所者和难民等所有遭受包括死亡、人身伤害、精神伤害和情感痛苦在内的达尔富尔冲突带来的损失或损害的受害者有权获得及时和充分的赔偿/Jabr Al Darar。",
"302. 将根据第53条规定的程序处理关于住房、土地和财产的赔偿/Jabr Al Darar问题。",
"303. 将根据第58条规定的程序处理关于其他形式的损失和损害的赔偿/Jabr Al Darar问题。",
"304. 如果可能，将分期支付赔偿/Jabr al Darar。否则，如果自评估损害的日期起，落实赔偿/Jabr al Darar的整个期限不超过两年，将分两期支付赔偿金。",
"第58条：真相与和解",
"总则",
"305. 苏丹政府将指定达尔富尔和平与非暴力国家日。",
"306. 为促进和解，各方同意一致同意解决以下冲突原因：",
"一. 环境退化和获取自然资源问题引起的纠纷；",
"二. 当地社区间的紧张局面；",
"三. 本地人管理的弱点；",
"四. 土地、Hawakeer和游牧路线引发的冲突；",
"五. 武器扩散；",
"六. 冲突的区域特点。",
"307. 各方同意，和解进程将旨在：",
"一. 谴责暴力行为和排斥做法，并通过对话实现社会和平；",
"二. 采取正义、和解和宽恕做法作为实现和平的原则；",
"三. 重建和加强达尔富尔社会各组成部分之间的关系，以及提高达尔富尔共存、合作和社会团结的程度；",
"四. 消除部落和种族的两极分化；",
"五. 利用部落酋长、宗教学者、民间社会组织、媒体和教育机构等途径，固守符合达尔富尔人民价值观、传统和文化遗产的和平文化；",
"六. 以个别和集体方式向冲突受害者进行正式和非正式的道歉；",
"七. 加强本地人管理制度；",
"八. 鼓励尊重游牧路线，以便稳定牧民和农民间的关系并消除紧张；",
"九. 解决存在非法移民及其占有达尔富尔村庄、城镇、农场和果园的问题。",
"308. 在不影响根据此条建立的真相与和解委员会的特权与任务的情况下，将使用以下机制：",
"一. Ajaweed理事会；",
"二. 本地人管理。",
"309. 国家政府、达尔富尔地区管理局和各州政府将为这些机制提供支助，以便对真相与和解委员会进行补充。",
"310. 将加强Ajaweed理事会的作用，并将筹办和解会议，以便恢复信心，同时在达尔富尔族裔间建立良好关系。",
"真相、正义与和解委员会",
"311. 在不影响苏丹法庭，包括达尔富尔特别法庭的司法管辖权的情况下，将建立真相、正义与和解委员会。该委员会将由以下两个委员会组成：",
"一. 正义委员会，以及：",
"二. 真相与和解委员会。",
"正义委员会",
"312. 正义委员会将负责对索赔进行接收、检验和评估，并决定赔偿/Jabr al Darar的性质以及应支付给受害者的适当数额。将给受害者10年时间向正义委员会提出索赔要求，从委员会指定的提出个人索赔要求的起始日期开始计算。",
"313. 委员会成员将由各方提名，并由达尔富尔地区管理局主席任命。",
"314. 正义委员会将通过其议事规则和做法。这些程序将是简明和易理解的。",
"315. 技术和行政委员会将协助正义委员会决定个人损害和损失的性质及程度。这些委员会将由除其他外的专业医师、律师、本地人管理、营地的老人、受害者代表和其他相关专家组成。这些委员会将同当地政府进行密切协作。苏丹政府承诺负担它们开展工作所需的费用。",
"真相与和解委员会",
"316. 真相与和解委员会将评估达尔富尔冲突的根源，调查暴力事件、犯罪行为和侵犯人权的行径，包括2003年2月对经济、社会和文化权利造成的侵犯，处理有罪不罚的问题，并培养信心、和平与和解文化。",
"317. 该委员会将由体现苏丹民族与文化多样性的知名人士组成，并对性别平衡给予适当尊重。该委员会将包括各方提名的成员。",
"318. 该委员会将通过其议事规则和做法。这些程序将是简明和易理解的。",
"319. 该委员会将提供一次机会，使侵犯人权的受害者和施害者以及其他公民共同体会这段经历，建立对过去的共同理解，使各族裔间真正消除分歧，并促进和解，防止今后再度发生暴行。",
"320. 该委员会将提出关于实现达尔富尔全面与持久和平的建议措施，并将向苏丹共和国总统和苏丹国会提交其年度调查结果和建议。它将在任务结束时，向苏丹总统和国会提交最后报告。",
"321. 在为真相与和解委员会的工作提供必要的财政和技术援助方面，各方同意向国际社会请求援助。",
"第59条：达尔富尔问题特别法庭",
"322. 自2003年2月起，各方同意呼吁苏丹司法机构建立达尔富尔问题特别法庭，该法庭将对达尔富尔严重侵犯人权和严重违反国际法的行为拥有管辖权。",
"323. 苏丹政府将任命特别法庭的检察官，并将使他/她在将施害者绳之于法方面发挥作用。检察官可将案件提交至国家法院。",
"324. 特别法庭将适用苏丹刑法、国际刑法以及国际人道主义法和人权法。",
"325. 苏丹政府将创造新的有利条件，使特别法庭在进行调查和审判方面发挥作用，并将为此向该法庭提供必要资源。",
"326. 与苏丹政府协商选出的一组来自联合国和非盟的专家将根据国际法规定的正义与公平规则，遵守法庭的诉讼程序，确保做出适当行为。",
"327. 各方将采取一切必要措施来保证对受害者和证人提供保护和援助，并确保其全面接触并参与司法进程。各方将避免任何可能不鼓励证人自由并无畏作证的行为出现。",
"328. 在国际社会的支助下，苏丹政府将在调查和审判期间建立关于法律援助和特别法庭其他相关活动的基金。",
"第60条：大赦",
"329. 为创造有利于和平与和解的环境，苏丹政府将根据《苏丹宪法》和法律，向民事和军事成员、战俘和被各方判刑的人颁布大赦令，并在此基础上，释放战俘。",
"330. 各方同意，不得将战争罪、危害人类罪、灭绝种族罪、性暴力罪以及对人权的严重侵犯和对国际法的严重违反纳入适用大赦令的范畴。",
"第61条：公共服务",
"331. 为遏制有罪不罚的现象，树立信心，加强达尔富尔的法治，并为树立信心与达成和解创造有利条件，苏丹政府将建立独立、公正、资源丰富和有效的制度，从而确认并采取适当行动打击在公共服务领域被证实犯有侵犯人权和违反国际人道主义法罪行者。",
"第六章：永久停火与最终安全安排",
"第62条：永久停火与最终安全安排的一般原则",
"“永久停火与最终安全安排”应当基于以下一般原则：",
"332. 达尔富尔冲突不能用武力解决，只有采取一种具有包容性的政治手段才能得到冲突的长久解决方案；",
"333. 达尔富尔平民享有受保护的权利，其中包括在充分考虑其在国际法中的特殊地位，同时承认他们在冲突期间受到严重伤害的基础上向弱势群体(比如，妇女和儿童)提供特殊保护措施；",
"334. 如联合国安全理事会第1769(2007)和1935(2010)号决议(安理会决议)和《非洲联盟和平与安全委员会第79次会议公报》所述，必须加强联合国和非洲联盟在达尔富尔的混合行动，其中包括帮助其完成保护平民的任务；",
"335. 必须防止发生任何针对平民(尤其是妇女和儿童等弱势群体)的暴力行动，而且必须防止发生任何旨在侵犯人权和违反国际人道主义法律的行为；",
"336. 必须解决达尔富尔人民面临的人道主义危机，其中包括确保人道主义救助到达达尔富尔所有地区不受任何限制；",
"337. 通过达成一份旨在解决武装冲突根源问题以及不同方面问题的全面协议和最终安全安排等，在达尔富尔实现并维持永久和平。",
"338. 确保达尔富尔人员、货物和服务能够自由流动。",
"339. 必须建立一支强大、包容、专业的苏丹武装部队和其他安全机构，这些机构必须有能力捍卫和保持国家主权和领土完整。",
"永久停火",
"第63条：禁止的活动和积极的承诺",
"340. 依照本协议，各方同意立即停火并且努力防止以下行为的发生：",
"一. 针对达尔富尔平民和境内流离失所者的敌对行为、暴力行为或恐吓行为；",
"二. 危害本协议条文和精神的活动；",
"三. 任何旨在侵犯2006年5月5日在尼日利亚首都阿布贾签署的《达尔富尔和平协议》另一个各方或任何“运动”当事方或此后签署的《〈达尔富尔和平协议〉承诺声明》签署方的犯罪行为、挑衅行为或报复行为，其中包括敌对宣传以及非法调动和部署军队；",
"四. 在境内流离失所者或难民营内部或其邻近地区征募新兵或开展任何其他军事活动；",
"五. 任何针对达尔富尔混合行动工作人员、设施或装备、国内或国际人道主义机构(包括联合国机构、国际组织和非政府组织)成员及其工作人员、设施或装备以及媒体成员的恐吓、敌对行为、暴力侵害或攻击行为；",
"六. 任何可能妨碍或延误对平民的人道主义援助或保护以及限制人员自由流动的行为；",
"七. 对人道主义机构安全、自由、无障碍行动的限制；",
"八. 使用或埋布地雷；",
"九. 任何形式基于性别的暴力行为和性剥削行为；",
"十. 武装部队和从事敌对行动的武装集团不履行苏丹共和国在《儿童权利公约关于儿童卷入武装冲突问题的任择议定书》之下的义务以及在《1949年日内瓦四公约第二议定书》(1977年)之下的义务，征募和使用18周岁以下的男孩和女孩；",
"十一. 可能危及或危害各方全面、永久停止敌对行动承诺的其他活动，比如那些依照本本协议被认定为违反停战协定的活动；针对《达尔富尔和平协议》其他各方或《达尔富尔和平协议》项下其他武装集团的敌对宣传；",
"十二. 任何一方旨在将其设备、人员或活动伪装成联合国达尔富尔混合行动组织、联合国机构、非洲联盟、国际红十字/红新月会委员会(红十字委员会)或任何其他类似组织的设备、人员或活动的企图。",
"341. 各方进一步承诺确保：",
"一. 人员和货物的自由流动；",
"二. 人道主义援助能够无阻碍的惠及急需援助的群体、人道主义工作人员及其在控制地区的行动得到有效保护；",
"三. 与达尔富尔混合行动全面合作，帮助其实现既定任务目标；",
"四. 通过各方的指挥系统将本协议的各项规定传达给其武装部队的各个分支及其控制或影响的武装集团(包括妇女)，同时确保所有这些武装部队和集团都能遵守本协议的各项规定；",
"五. 适时脱离接触民兵部队的武装并将其复员，作为实施军备控制措施的先决条件，确保整个达尔富尔的安全；",
"六. 停火行动不受苏丹境内现存的任何外部好战分子的威胁；",
"七. 境内流离失所者和达尔富尔地区其他平民不应受到政府安全机构和运动的骚扰或任意拘留；可将这些行为视作违反停火协定的行为；",
"八. 武装部队或武装集团征募的所有儿童(包括男孩和女孩)(如有)都应通过制定《行动计划》无条件释放；",
"九. 被指控在被武装部队或武装集团非法征募后犯有违反国际法罪行的所有儿童(包括男童和女童)都应首先被认定为违反国际法行为的受害人，而不应被认定为所谓的犯罪行为人。",
"第64条：停火委员会",
"342. 必须成立停火委员会和联合行动委员会，作为停火监督与核查机制。",
"343. 停火委员会应由以下部门组成：",
"一. 总部位于埃尔法舍尔的停火委员会；",
"二. 总部位于埃尔法舍尔的“停火委员会秘书处”；",
"三. 战区小组停火委员会；",
"四. 停火小组现场工作组。",
"344. 停火委员会全面负责永久停火的监督与实施，并且应努力在协商一致的基础上做出决策。 如果无法达成一致意见，停火委员会应将问题提交给联合委员会仲裁裁决。各方应负责实施《停火协定》，并且必须采纳联合委员会的建议。",
"345. 各方必须重视妇女在缔造和平方面的重要作用，必须在停火机制的各个层次确保广大妇女充分有效的代表性。",
"346. 各方必须确保联合国达尔富尔混合行动组织能够执行任务期间任何时候在达尔富尔所有地区自由行动。",
"347. 各方承诺全面积极的参与停火委员会、小组停火委员会和 停火小组现场工作组的活动并支持它们的工作。",
"停火委员会的职能",
"348. 停火委员会的职能如下：",
"一. 监督各方履行其在永久停火协定项下的义务的情况以及各自武装部队的行动；",
"二. 协调永久停火协定的规划、监督与核查；",
"三. 确定各方武装力量的行动路线，从而减少发生事故的风险；批准各方武装力量的行动请求(各方至少应提前72小时发出请求)；",
"四. 帮助开展排雷行动；",
"五. 通过停火委员会主席绘制旨在显示各方兵力部署以及境内流离失所者营地和托管社区周围“非军事区”的总体布局图 ；",
"六. 受理、核实、分析和解决与可能违反停火协定的行为相关的投诉；",
"七. 当一方发生永久停火协定规定的任何被禁止的行为时，发布违约报告 ；",
"八. 帮助宣传有关永久停火的信息；",
"九. 充当各方之间相互沟通的渠道；",
"十. 在各方同意的情况下、在任何时间帮助前战斗人员解除武装、复员和重返社会。",
"停火委员会的组成",
"349. 停火委员会应由以下人员组成：",
"一. 达尔富尔混合行动部队指挥官 主席",
"二. 来自各方的三名委员 委员",
"三. 一名来自卡塔尔国的代表 委员",
"350. 停火委员会主席应根据需要与现任委员共同选举来自达尔富尔混合行动其他部门/分支(即警察、“HLO”、“PAD”、法律办公室)的代表为停火委员会无表决权的委员。",
"351. 各方可在晚些时候决定观察员的人数及其构成。观察员是实现永久停火的重要组成部分，因为他们将帮助停火委员会和各方开展工作并提出宝贵意见。 他们可包括但不限于来自国际/地区组织或个别国家的代表。观察员可出席停火委员会和小组停火委员会的公开会议。如果各方认为适当而且一致同意，观察员可列席非公开的会议。",
"停火委员会主席",
"352. 达尔富尔混合行动部队指挥官应出任停火委员会主席，如果达尔富尔混合行动部队指挥官缺席，副指挥官应履行停火委员会主席职责。",
"停火委员会主席的职责",
"353. 主席的职责应包括：",
"一. 主持停火委员会的所有会议；",
"二. 确定停火委员会的活动方案；",
"三. 确保停火委员会和联合委员会的决定和建议得到有效落实；",
"四. 在任何适当时间，下令在停火委员会层面开展独立调查或补充调查；",
"五. 确保每周向联合委员会提交相关报告；",
"六. 确保各项旨在督促停火委员会委员尊重当地法律法规、防止出现任何与其职责的公平性和国际性不相符的活动或行为的适当措施得到有效落实。",
"会议",
"354. 停火委员会会议应由主席或应各方的请求召集。停火委员会会议应在埃尔法舍尔达尔富尔混合行动总部举行，也可在主席确定的任何其他地点举行。停火委员会会议必须以以下原则为指导：",
"一. 会议议程必须在会议开始时获得通过；",
"二. 必须在协商一致的基础上形成停火委员会的审议意见和决议，但是如果各方无法就相关问题在停火委员会会议上达成一致，主席应将该问题提交联合委员会解决。各方都必须服从联合委员会的裁决；",
"三. 每一次会议都应由会议秘书签署会议纪要，会议纪要必须在由主席核准后提交下一次会议确认，作为会议的真实记录，对各方均具有约束力；",
"四. 可成立相关小组委员会，负责在必要时执行相关具体任务，小组委员会必须向停火委员会提交相关报告，停火委员会 可通过或驳回小组委员会的报告；",
"五. 观察员可应主席的要求在会议上发表意见。",
"行为准则",
"355. 停火委员会委员和观察员必须始终严格遵守相关行为准则，具体内容如下：",
"一. 应当使用对话和适当的礼貌语言，作为审议期间的指导原则；",
"二. 委员想要提出的任何问题都应发给主席；",
"三. 不得对任何委员进行人身攻击或采取仇视行为；",
"四. 全体委员都应守时；",
"五. 停火委员会所有委员在未经主席事先授权的情况下，不得代表停火委员会向新闻媒体披露任何信息或发表声明；",
"六. 应对停火委员会的审议意见予以保密；停火委员会的审议意见只能在“有必要知悉”的基础上共享；",
"七. 应防止出现所有可能败坏任何各方名声的行为；",
"八. 始终将达尔富尔人民和其他当地平民(包括妇女和儿童)的利益放在第一位；",
"九. 认识停火委员会的使命并在其受权范围内行事。",
"356. 主席应对停火委员会秘书处以及本协议中定义的下级机构小组停火委员会行使控制权。战区指挥官和参谋长、停火委员会秘书处应就其所支配的停火委员会资源的管理事宜对主席负责。",
"357. 战区指挥官应行使小组停火委员会的控制权并在其“责任区”行使对停火小组现场工作组的管理权，而且应对停火委员会主席负责。小组停火委员会关于违约行为的报告应由停火委员会秘书处转交停火委员会主席。",
"战区小组停火委员会",
"358. 各战区都应成立旨在确保实现有效调查和报告周期的战区小组停火委员会(包括妇女)。各战区应仿效停火委员会秘书处成立一个以停火委员会 小组委员会负责人为首的秘书处。应成立由下属单位/单位层面不同部门组成的停火小组现场工作组(包括妇女) ，作为报告与永久停火相关的事件和调查违反永久停火协定的主要来源。",
"战区小组停火委员会的职能",
"359. 战区小组停火委员会的主要职能如下：",
"一. 监督各方履行其在战区“责任范围”内与永久停火相关的义务；",
"二. 依照永久停火，审议、核实、调查和报告各方之间的分歧问题和所谓的违约行为；",
"三. 实施停火委员会政策与指令；",
"四. 定期向停火委员会总部报告和提交尚未解决的投诉问题，并就分歧问题做出全面解释；",
"五. 承担永久停火协定规定的违约调查责任；",
"六. 向停火小组现场工作组分配任务/工作职责。",
"360. 当无法就具体问题达成一致意见时，将问题转交停火委员会解决。",
"战区小组停火委员会的构成",
"361. 战区小组停火委员会应由以下成员组成：",
"一. 战区指挥官——主席",
"二. 来自各方的两名代表——委员",
"三. 秘书",
"四. 来自达尔富尔混合行动相关部门或分支机构的委员无表决权。",
"报告",
"362. 战区小组停火委员会应在每天16时之前，将其涵盖永久停火协定或任何其他生效协议中明确重申的违约行为的报告转交停火委员会秘书处。报告至少应包含以下内容：",
"一. 违约行为的性质/类型；",
"二. 违约行为发生的时间和地点；",
"三. 相关当事方；",
"四. 违约行为是否得到确认；",
"五. 达尔富尔混合行动的行动；",
"六. 任何其他相关事实/信息。",
"停火小组现场工作组",
"363. 停火小组现场工作组应确保向小组停火委员会及时了解现场的实际情况，并且在其职责范围内充当冲突的第一调停人。在充分认识妇女必须在和平与安全进程中起到重要作用的基础上，所有停火小组现场工作组都必须由女成员。",
"364. 停火小组现场工作组负责在其责任区范围内，监督各方履行永久停火协定强调的停火承诺。停火小组现场工作组可在小组停火委员会的指导和监督下，通过监视、巡逻、访问、调查、核实和报告等方式做到这一点。",
"停火小组现场工作组的人员构成",
"365. 下属单位层面停火小组现场工作组由以下人员组成：",
"一. 军事观察员团队领导人——主席",
"二. 两名来自各方的代表——成员",
"第65条：联合委员会",
"366. 达尔富尔混合行动联合特别代表应当出任联合委员会主席；如果 联合特别代表缺席，副代表应履行联合委员会主席职责。联合委员会组成人员如下：",
"一. 达尔富尔混合行动 联合特别代表——主席",
"二. 卡塔尔国——委员",
"三. 来自各方的三位代表——委员",
"四. 阿拉伯国家联盟(阿盟) ——委员",
"五. 欧洲联盟——委员",
"六. 达尔富尔混合行动政治事务——秘书",
"367. 以下国家应具备观察员身份，可应主席的要求参加联合委员会的活动：",
"一. 加拿大；",
"二. 中国；",
"三. 挪威。",
"职能与职责范围",
"368. 联合委员会成立的目的在于解决停火委员会提交的、各方之间的争端，同时确保“最终安全安排”中各项规定能够得到有效实施。",
"369. 联合委员会应履行以下职能：",
"一. 跟踪本协议确定的“永久停火与最终安全安排”的落实；",
"二. 在必要时，负责 “永久停火与最终安全安排”中各项规定的解释。",
"三. 对相关违法和违约行为进行仲裁、受理停火委员会无法适当解决的、各方之间的投诉并做出相应裁决。尽一切努力全面调查并且在达成基本一致意见的基础上妥善解决诉讼问题；",
"四. 如发生重大违约事件，联合委员会应及时告知非洲联盟和联合国；",
"五. 依照安理会第1325(2000)号决议的规定，联合委员会应确保以一种性别敏感与能胜任的方式听取和纠正一切形式对妇女和儿童构成严重影响的暴力行为；",
"六. 关注一切可能妨碍或危害“停火协定和最终安全安排”落实的动向，并采取措施防止此类事件再次发生；",
"七. 提出有关旨在针对那些对违反停火协定行为负责的人员和机构采取适当行动的建议；",
"八. 联合委员会在本协议精神指引下可能认为适当的任何其他职能。",
"会议",
"370. 联合委员会应在埃尔法舍尔达尔富尔混合行动总部举行联合委员会会议，特殊情况下，也可在联合委员会成员约定的任何其他国家举行。",
"371. 联合委员会应每月召开一次会议，每一次会议结束后，都应发布会议报告。至少应在每一次会议召开之前七天将会议议程和文件告知联合委员会委员。联合委员会应当在其认为必要时，召开紧急会议并且可以不执行本事先通知的规定。各方均可在其认为必要时，要求联合委员会召开紧急会议。",
"372. 各方应遵守并实施与针对违反停火协定行为的措施相关的联合委员会建议。",
"373. 各方应向其成员和选民分发联合委员会报告。",
"374. 联合委员会应发布有关本协议相关规定实施进度的定期公开声明。",
"375. 联合委员会应当在协商一致的基础上做出决定。如果各方无法达成一致意见，联合委员会主席与联合委员会国际成员应在与“观察员”协商后，做出最有利于保证停火的决定，而且该决定对各方具有约束力。",
"最终安全安排",
"第66条：脱离接触、调动与有限军备控制",
"376. 各方认识到，全面停火需要在军事上适当脱离、重新部署兵力和加强军备控制。",
"377. 停火必须循序渐进、在互利互惠的基础上分步实施，必须确保安全。停火必须在停火委员会内部达成一致并且由达尔富尔混合行动进行核实。",
"378. 停火委员会应负责停火进程的规划、协调、管理和监督。停火委员会还应监督相关决策和协议的落实。",
"379. 停火行动应按照以下顺序实施：",
"一. 为脱离接触和调动做好准备，其中包括核查；",
"二. 第一阶段：脱离接触；",
"三. 第二阶段：重新部署兵力；",
"四. 第三阶段：军备控制。",
"380. 各方应将与这些阶段相关的计划和规章及时告知下属各部队战地指挥官，同时应确保他们都能严格遵守这些规章。",
"381. 各方应将下属各部队的确切位置及时告知停火委员会主席，而且这些位置应明确标注在作为本协议文本附件的地图上，达尔富尔混合行动将秘密保存这些地图。达尔富尔混合行动应对这些位置进行核查并在主图上标明。",
"382. 各方都应受达尔富尔混合行动在初审时确定的主图的约束。此后，停火委员会主席可在与各方磋商的基础上对主图进行修订。",
"383. 停火委员会主席应向各方提供调整后的各运动“军营”、“非军事区”、“非军事人道主义供应线路”、“缓冲区”和“调动区”地图。",
"384. 各方都应受与部队、军火、补给和供应品的流动相关的重要规章的约束，相关部队、军火、补给和供应品的流动必须符合以下规定：",
"一. 对于第一阶段(脱离接触)和第二阶段(调动)武装士兵的流动，相关方必须提前72小时向停火委员会发出通知，并且应该得到停火委员会的批准；",
"二. 对于第一阶段(脱离接触)和第二阶段(调动)第五类和第七类(军火和装备)在不同地区之间或同一地区范围内的流动，相关方必须提前72小时向停火委员会发出通知，并且应该得到停火委员会的批准；",
"三. 对于这些阶段一般供应品(比如，第一类(食品和水)、第二类(设备和医疗用品)、第三类(燃料、油品和润滑剂)、第四类(建筑材料))在这些地区之间的运输，只需提前72小时通知停火委员会即可。",
"385. 苏丹政府军队的集结和部署以及将运输通道(包括“非军事区”、缓冲区)用于达尔富尔的边境保护不受任何限制。然而，如果兵力部署需要进入一只“运动”的部队控制的地区， 苏丹政府应及时通知相关方。",
"386. 旨在防止任何违反本协议的敌对活动发生的“运动”军队集结和部署以及运输通道使用应得到停火委员会的批准，而且应及时向达尔富尔混合行动发出通知并接受达尔富尔混合行动的监督。",
"387. 政府军可在未经停火委员会书面许可的情况下，进入任何“运动”军队控制的任何“ 非军事区”、缓冲区、调防区或集结区。",
"388. 任何违反与本章所介绍脱离接触、调动和军备控制程序相关的规则的行为都是停火协定的行为。",
"第67条：为脱离接触和调动决策及沟通做准备",
"389. 在为脱离接触和调动做准备时，停火委员会应尽量在协商一致的基础上做出决策和解决争端。",
"390. 如果各方不能就相关争端的解决达成一致，停火委员会的主席应将其转交联合委员会最终裁决。各方都应服从联合委员会的决定。",
"391. 停火委员会主席应确保所有旨在用精确的GPS坐标系在相关地图上清楚划分“非军事区”、“缓冲区”、“调防区”界线的相关决定和协议得到落实。主席应确保各方地图上的划界完全一致。",
"392. 停火委员会主席应在苏丹政府的协调下，在停火委员会与各方之间建立一种安全高效的沟通机制。",
"核查",
"393. 为了全面落实“最终安全安排”，达尔富尔混合行动应核实各方提交的信息(其中包含各方的确切位置和装备、武器的数量和类型、各自军队的实力(包括其队伍中是否有儿童存在)等信息)以及达尔富尔混合行动或停火委员会可能需要的其他信息。这些信息在停火准备、脱离接触、重新部署兵力以及军备控制等各阶段都严格保密。在社会重返社会与复员阶段开始之前，这些信息仅限于停火委员会主席知道。",
"394. “运动”的部队及其控制区的核查工作应仅限于一般有150(一百五十)名士兵的连级及其以上单位或具有同等实力的下属单位。这些单位/下属单位不间断的持续控制是一个地区成为“运动”控制区的先决条件。",
"计划",
"第一阶段：脱离接触",
"395. 脱离接触过程应包括以下步骤：",
"一. “运动”和各方的活动应仅限于“主地图”明确划分给各方的区域；",
"二. 停火委员会主席必须在与各方充分协商后，在境内流离失所者营地和托管社区周围、沿选定的人道主义供应路线建立“非军事区”；",
"三. 如有必要，停火委员会主席应在与各方充分协商后， 在各方军队之间的地区以及经历激烈冲突的地区建立缓冲区；",
"四. 各方都应确保其影响或控制的武装集团和民兵组织承诺停火并且恪守停火协定；",
"五. 任何一方都不得开展任何军事活动或建立任何武装集团或民兵组织。",
"外国武装战斗人员在达尔富尔的存在",
"396. 外国武装战斗人员在达尔富尔的存在是对和平与安全到的严峻挑战，而且这些武装战斗人员的存在也将对本协议构成严重威胁。按照第385款之规定，苏丹政府应采取适当措施控制这些武装人员、解除他们的武装、使他们保持中立以及将他们遣返回国。",
"397. 各方应关注目前旨在与邻国合作共同解决达尔富尔地区外国武装战斗人员的存在问题的行动，并且同意支持这一倡议行动。",
"第二阶段：调动",
"398. 调动过程涉及以下活动：",
"一. 停火委员会主席应在与各方充分协商的基础上建立缓冲区和“调防区”。",
"二. 各方应重新部署兵力及其武器装备，使它们尽快进入各自的“调防区”、远离缓冲区。",
"三. 达尔富尔混合行动应对缓冲区进行监督并且在缓冲区加强巡查。",
"四. 恢复对平民提供基本服务。",
"解除武装民兵组织的武装",
"399. 作为实施全面武装管制措施的先决条件，必须解除全部武装民兵组织的武装并将其复员，以确保整个达尔富尔地区的安全。苏丹政府应负责解除武装民兵组织的武装。在这方面，苏丹政府应向停火委员会提交旨在解除武装民兵组织的武装和复员这些民兵组织、同时歼灭非法武装人员、土匪以及在达尔富尔行动的本地和外地犯罪集团的综合计划。这项计划应包含一系列旨在完成社会重返社会阶段开始之前的演练的措施，还应包含一系列旨在帮助这些被解散的武装集团成员复员和社会经济重返社会以及在集结地区将妇女和男子分离的措施。",
"400. 这项计划必须在第一阶段启动之前呈交停火委员会主席审查批准，并且依照计划规定的时间表实施。",
"401. 停火委员会必须依照约定的计划，监督和核查民兵组织解除武装和复员以及旨在歼灭非法武装人员、土匪和其他犯罪集团的行动。",
"第三阶段：有限军备控制",
"402. 在各方的部队部署到其各自“调防区”之后、“运动”军队集结之前，必须采取以下旨在加强军备控制的措施：",
"一. “运动”必须将其远程、人工辅助型武器、大炮和相关军火存放在停火委员会主席制定的安全地带。达尔富尔混合行动应在作战单位层面进行核查。“运动”战斗人员在转入苏丹武装部队和苏丹警察部队(苏丹警察部队)之前应妥善保管好个人的武器；",
"二. 达尔富尔混合行动必须在与各方磋商后，准备好临时存放远程、人工辅助型武器、大炮和相关军火的场地，同时加大对武器和军火仓库的监督力度，这些武器和军火必须接受达尔富尔混合行动的检查；",
"三. 停火委员会主席必须监督军备控制过程、确定武器保管和检查的要求和程序，其中包括库存武器、大炮和军火的准确命名。",
"联合协调机制",
"403. 为了建立信任和确保达尔富尔的和平与安全，各方必须在核查“运动”军队后，建立一种“联合协调机制”。重返社会进程启动之前，“联合协调机制”必须始终有效而且应在停火委员会的严格指导下运行。",
"404. “联合协调机制”应履行以下职能：",
"一. 协调一系列旨在消除本协议的实施所面临的潜在威胁的行动和措施；",
"二. 交换情报与其他相关信息；",
"三. 监督一系列旨在组织“运动”军队的措施、确保调防区和集结区的安全；",
"四. 与联合后勤协调委员会合作，共同加强各方共同约定的“非军事后勤保障物资”的配给；",
"五. 加大力度向战区指挥官及其指挥的部队宣传本协议的规定及其实施阶段的顺序；",
"六. 应由双方约定的任何其他任务。",
"第68条 ：非军事区与缓冲区一般承诺",
"405. 各方都重申，他们承诺：",
"一. 尊重平民(包括境内流离失所者和难民)的权利；",
"二. 防止发生一系列可能破坏平民和境内流离失所者的安全和福利的活动 ；",
"三. 防止发生一系列可能破坏或危及达尔富尔人道主义行动的活动；",
"四. 营造一种有利于境内流离失所者 和难民安全、资源和持续重返其原籍地的环境；",
"五. 为妇女、残疾人、儿童(尤其是那些与武装部队和武装集团相关的儿童)及其他有特殊需求的人员提供特殊保护。",
"非军事区",
"406. 在不违反第385款规定的条件下，“非军事区”应为符合以下规定的区域：",
"一. 除非得到停火委员会的许可并且得到达尔富尔混合行动的护卫，否则，这一地区不应存在任何各方或任何其他武装集团或民兵；",
"二. 除非得到停火委员会的许可并且得到达尔富尔混合行动的护卫，否则，这一地区任何人员都不得携带武器；",
"三. “非军事区”的周围不应包含任何城市地区、靠近机场的地区或由苏丹政府全面负责的城市安全规划区；",
"四. 停火委员会主席应在与各方 充分协商后，确定“非军事区”的边界；",
"五. 停火委员会主席必须在与停火委员会委员充分协商后，决定是否有必要重新部署与任何各方相关的部队；",
"六. 停火委员会主席必须在与停火委员会充分协商后，决定与任何要求的调动相关的措施，同时决定与本次重新部署相关的时间表；",
"七. 停火委员会应将任何与“非军事区”相关的违约行为视为违反停火协定的行为。",
"407. 达尔富尔混合行动应承担与境内流离失所者营地和托管社区与人道主义物资供应线路周围的“非军事区”相关的以下责任：",
"一. 苏丹政府控制区的达尔富尔混合行动与苏丹警察部队和在经停火委员会核实并认可的“运动”控制区的“运动”联络官必须制定一项有关境内流离失所者营周围“非军事区”巡逻与监视的工作计划，而且必须监督这项计划的实施；",
"二. 属于苏丹政府控制区的“非军事区”应由达尔富尔混合行动与苏丹警察部队下属军事单位负责巡查。由苏丹警察部队在达尔富尔混合行动的监督下，执行警务职能；",
"三. 属于经停火委员会核实并认可的“运动”控制区的“非军事区”应由达尔富尔混合行动和“运动”联络官组成的军事单位负责巡查。",
"缓冲区",
"408. 停火委员会必须制定一项包含“缓冲区”巡逻与监视规则和程序的计划，并且负责这项计划的实施。",
"第69条：对“运动”的非军用后勤保障",
"409. “运动”可要求得到非军用后勤保障，而且苏丹政府应提供上述后勤保障服务，而且可请求国际伙伴在这方面提供援助。",
"410. 联合后勤保障协调委员会应由达尔富尔混合行动组建，并且由各方、达尔富尔混合行动与可提供上述援助的捐助机构代表组成。上述保障服务的形态应由联合后勤保障协调委员会确定。",
"411. 联合后勤协调委员会的职责范围如下：",
"一. 收集、核实由联合后勤协调委员会确定的、与“运动”各部队在食品、饮用水、住房、服装、医疗用品/治疗与运输需求相关的信息；",
"二. 接收和保存来自国际捐助机构的后勤保障物资；",
"三. 订购适当数量和质量 的后勤保障物资；",
"四. 通过设在调防区和集结区的配送点或配送中心向“运动”各部队发放后勤保障物资；",
"五. 确定一系列旨在管理向“运动”各部队供应非军用后勤保障物资的规则和程序。",
"412. 对于拟供应的上述后勤保障物资，必须满足以下条件：",
"一. 各级队伍的战斗人员(含儿童士兵(如有))的数量和位置必须告知“达尔富尔混合行动”部队指挥官并依照上文第393和394款的规定对这些信息进行核查；",
"二. 必须明确并约定一定数量战斗人员的出入通道。",
"第70条：确保达尔富尔境内流离失所者营地和人道主义行动的安全",
"413. 苏丹政府应在充分征求达尔富尔地区管理局意见后，从当地社区、境内流离失所者以及回国的难民中征募男女志愿人员加入社区警察队伍，参与维持境内流离失所者营和自愿返乡难民村庄的社会治安。达尔富尔混合行动应帮助培训社区警察。",
"414. 各方约定共同遏制一切可能危及达尔富尔人道主义行动的行为，并且重申其旨在为人道主义援助物资的运输畅通无阻创造适当安全条件、确保境内流离失所者营地安全以及营造一种有助于境内流离失所者和难民安全、自愿重返其原籍地的氛围的承诺。",
"415. 各方的部队应防止发生任何旨在破坏境内流离失所者安全和福利的活动。",
"第71条：平民军备控制",
"416. 由于达尔富尔平民手中的小型武器日益泛滥，各方应在“开发署”和达尔富尔混合行动的帮助下，制定一系列旨在落实平民武器自愿管制项目的策略和计划。",
"417. 苏丹政府应动员必要的资金和资源落实平民军备控制项目。苏丹政府可向相关国际组织寻求帮助。",
"第72条：解除武装、复员和重返社会以及前战斗人员融入苏丹武装部队和警察部队",
"一般规定",
"418. 解除武装、复员和重返社会以及相关融入进程应在第三阶段结束后在指定的集结区进行，而且只有在那些经核实属于“运动”下属部队成员的战斗人员才可参加。达尔富尔混合行动必须在充分征求“运动”意见后，制定一项与集结区相关的计划，其中包含：",
"一. 集结区的面积、数量和位置；",
"二. 在充分考虑复员女战斗人员特殊需求的基础上确定的集结区理想特征；",
"三. 后勤保障物资供应的便利性；",
"四. 达尔富尔混合行动应将这项计划提交停火委员会审批。停火委员会 应依照该计划指定集结区。",
"419. “运动”应负责集结区前战斗人员的管理、纪律处罚与内部安全。",
"420. 远程大炮、人工辅助型武器和相关军火均不得进入集结区。",
"421. 必须为集结区的建设以及解除武装、复员与社会重返社会过程供应必要的后勤保障物资。",
"422. 在完成相关核查与登记工作以及集结区的建设后，经核查与登记的“运动”战斗人员只能携带小型武器应进入集结区。达尔富尔混合行动应为这一过程提供帮助和监督服务。",
"423. 苏丹政府应为那些希望恢复平民生活或不符合进入苏丹武装部队或苏丹警察部队的任职资格标准的前战斗人员提供社会与经济重返社会的机会。",
"424. 在确定作为受助对象的前战斗人员时，必须确保公正、公平、公开。",
"425. 前战斗人员不论其以前与“运动”的关系如何，都应受到公平的对待。他们也应得到自愿选择重返社会出路的培训与信息服务。重返社会进程必须以社区为基础，既要有利于回归人员，也应符合当地社区的利益。",
"426. 重返社会计划的设计应确保其长期可持续性，而且应包含必需的跟踪监督与持续援助措施。",
"427. 重返社会计划应鼓励社区和民间团体组织(包括妇女团体)参与其中，从而增强他们在促进和维系前战斗人员的从社会和经济方面重返社会方面起作用的能力。",
"428. 苏丹政府应向解除武装、复员和重返社会和重返社会计划提供资金和后勤保障，并且可设法动用来自国际社会的资助。",
"429. 必需调动专项资金和资源专门用于解决妇女重返社会的特殊需求。",
"解除武装与复员",
"430. 各方同意重建北苏丹解除武装、复员和重返社会委员会，以反映新的现实情况。北苏丹解除武装、复员和重返社会委员会应吸收来自“运动”的代表。",
"431. 达尔富尔混合行动应在所有地区同时开展对“运动”军队的核查工作。",
"432. 解除武装、复员和重返社会委员会必须在“达尔富尔混合行动”和其他相关联合国机构的帮助下，制定一系列旨在包含前战斗人员解除武装、复员和重返社会阶段的时间安排和次序安排的计划。",
"433. 各方必须尽快集结其前战斗人员，而且在任何情况下，都必须依照以下规定做好解除武装和复员的工作：",
"一. 对解除武装、复员、重返社会以及和平进程中领导阶层及其军队以及它们的作用和职责的认识和敏感化；",
"二. 各方应确定适用于解除未重返社会战斗人员武装过程的适任标准；",
"三. 各方应确保解除所有儿童兵(如有)武装的持续时间尽可能缩短，而且不得依赖于成人武装的解除和复员。必须首先考虑儿童的安全和尊严及其保密的需要。儿童应当尽快与成年战斗人员隔离，并且移交适当强制的独立平民化进程；",
"四. 各方不得将年龄在18周岁以下的前战斗人员转运至集结区，而应当在签署本协议之前，分别解除他们的武装并将他们复员；",
"五. 各方应优先启动有特殊需求的群体(包括残疾的前战斗人员和妇女)的复员和重返社会程序。",
"第73条：前战斗人员从社会与经济方面重返平民社会",
"434. 已解除武装和复员的前战斗人员必须从社会和经济方面重返平民社会。苏丹政府应动用自有资源并且寻求来自国际社会的援助，通过一系列适当的社会经济重返社会计划，肩负起让前战斗人员回归平民生活的责任。",
"435. 前战斗人员解除武装、复员和重返社会的计划还应根据当地条件包含一种基于社区的方案，其中包括一系列旨在减少社区暴力行为的措施，以便于进一步实现解除武装、复员和重返社会的目标。",
"436. 在前战斗人员从社会和经济方面重返社会过程中，必须遵循公开、透明、公正、公平和诚信的原则。而且，前战斗人员不论其以前与“运动”的关系如何，都应受到公平的对待。",
"437. 重返社会进程必须以社区为基础，既要有利于回归人员，也应符合当地社区的利益。",
"438. 前战斗人员从社会和经济方面重返社会必须确保当地社区和民间团体组织(包括妇女团体)的参与，使得它们能够在保证与武装部队和武装集团相关的男童和女童以及受冲突影响的其他弱势儿童从社会和经济方面重返社会的可持续性，这一点至关重要。",
"439. 重返社会计划必须包含采取一系列正式和非正式的方式帮助那些已离开武装部队或武装“运动”的男童和女童以及受冲突影响、急需保护的其他弱势儿童(包括未成年母亲)的内容。",
"440. 必须优先解决有特殊需求的群体(比如，女战斗人员和与武装“运动”相关的妇女(尤其是寡妇)、与武装部队和武装“运动”相关的男童和女童以及受冲突影响的弱势儿童、残疾战斗人员和老年人)从社会和经济方面重返社会的问题。",
"441. 必须加努力采取一种基于社区的方法，实现重返社会长期可持续目标。这些努力必须包含相关跟踪行动、监督措施和必要的持续保障。",
"第74条：前战斗人员融入苏丹武装部队和警察部队",
"融入原则",
"442. 来自“运动”商定数量、符合条件的战斗人员应融入苏丹武装部队和苏丹警察部队。符合条件的士兵人数应由各方在融入技术委员会的帮助下确定。",
"443. 苏丹政府应向复员士兵提供必要的帮助和培训(包括速成培训)，这对于确保这些士兵尽快达到能力增强的适任标准并且晋升至更高级别而言是必不可少。",
"444. 苏丹政府可在征求“运动”的意见后，要求达尔富尔混合行动、捐助机构和国际合作伙伴在其培训机构内创造有利于前战斗人员(包括军官、军士、战斗人员和警察)增强其专业水平的培训和职业化的计划。",
"445. 加入苏丹武装部队与苏丹警察部队的前战斗人员在其任职前6年不得因苏丹武装部队与苏丹警察部队精简裁员而被解雇，但那些因违反这些机构行为准则和规章而被开除的人员除外。",
"446. 对于那些不愿加入苏丹武装部队和警察部队但表示愿意加入行政文职部门的前战斗人员(无论是男性还是女性)，必须将他们转入由解除武装、复员和重返社会委员会确定的国家公务员制度委员会系统进行考评和安置。",
"447. 苏丹政府必须依照适用于苏丹武装部队与苏丹警察部队的任职标准，让许多复员战士在苏丹苏丹武装部队高层司令部、各级战区司令部、旅司令部、国防部、内政部以及首都、达尔富尔州和其他地区的高级警察部队司令部任职。",
"达尔富尔安全安排执行委员会",
"448. 达尔富尔安全安排执行委员会应由达尔富尔地区管理局负责组建。作为达尔富尔地区管理局的下属机构，达尔富尔安全安排执行委员会负责协调本协议各项安全安排规定的实施。",
"449. 达尔富尔安全安排执行委员会应成立一个融入技术委员会，负责前战斗人员重返社会方案的设计、规划、实施、管理与监督。",
"450. 融入技术委员会必须包括妇女，应由达尔富尔混合行动、 各方代表和来自各方认可国家的技术专家组成。",
"451. 达尔富尔安全安排执行委员会必须包括达尔富尔三个州的州长代表、苏丹武装部队司令部参谋长的代表、全国解除武装、复员和重返社会协调理事会的代表、“运动”的代表、达尔富尔混合行动的代表以及实施重返社会计划所需的其他人员。达尔富尔安全安排执行委员会主席必须在与达尔富尔地区管理局主席协商后以“总统令”的方式任命。",
"452. 由达尔富尔安全安排执行委员会建立的所有下属机构都应包含达尔富尔安全安排执行委员会委员单位相关实体机构的代表。",
"453. 达尔富尔安全安排执行委员会及其所建立的下属机构中必须有一定的妇女代表。这些机构必须形成一系列旨在确保他们的工作能够充分吸纳妇女们对妇女和儿童特殊关切的问题发表的意见。",
"重返社会计划",
"454. 融入技术委员会定义的“重返社会计划”应分阶段实施。",
"455. 各方同意根据经核实的“运动”部队数量，确定融入苏丹武装部队、苏丹警察部队和甄选的行政部门的男、女前战斗人员的人数。",
"456. “运动”部队融入苏丹武装部队和苏丹警察部队应包含一个由各方约定并且由融入技术委员会负责监督的审查过程，而且必须符合以下标准：",
"一. 苏丹国籍；",
"二. 年龄(不低于18周岁或未达到退休年龄)；",
"三. 经融入技术委员会认定的身体健康和心理健康；",
"四. 战斗经验；",
"五. 无犯罪前科；",
"六. 个人志愿。",
"457. 旨在引导军官融入的标准，除上文所列以外，还应包含以下标准：",
"一. 学历(至少有中等学校毕业证书。融入技术委员会可破格录用一定数量的战地指挥官)；",
"二. 战斗经验；",
"三. 年龄；",
"四. 不得因不称职而被解雇。",
"458. 已融入的前战斗人员必须依照各单位的要求参加军事训练。",
"459. 依照苏丹武装部队与苏丹警察部队的组织结构，约定加入苏丹武装部队与苏丹警察部队的军官人数必须与非委任级军官和士兵的总人数成比例。",
"460. 第一次进入军事部门和警察部门军官和军士都必须参加一定时期基于各自部队相关课程大纲的培训。",
"461. 这些人员官阶的确定应以以下标准为引导：",
"一. 年龄；",
"二. 培训和战斗经验；",
"三. 学历；",
"四. 因达尔富尔冲突而被解雇的前军官和前警官应在初审时官复员职，而在通过规定的能力测试后，可得到与其课程对应的官阶；",
"五. 各方约定的任何其他适用标准；",
"462. 苏丹政府应向那些年龄在18周岁以上被选进入苏丹武装部队与苏丹警察部队的前战斗人员提供标准化的培训。",
"对一些军事机构的改革",
"463. 各方认识到，为了增强达尔富尔相关军事机构的能力、效率和专业化，加强法治，必须依照公认标准促进这些机构的改革与发展。",
"464. 苏丹政府应向达尔富尔安全安排执行委员会提交一份关于经确认的军事机构的改革、发展与重组相关的计划(包含相关期限)，达尔富尔安全安排执行委员会负责监督这份计划的实施。苏丹政府可在苏丹境内外为这项计划的实施寻求资助和专家支持。",
"相关活动的时间框架和次序",
"465. 必须依照以下期限分阶段实施：",
"一. 准备阶段的工作应在本协议签字后7日内完成。",
"二. 关于脱离接触的第一阶段应在准备工作结束后立即启动，而且必须在此后45天内完成。",
"三. 关于调动的第二阶段应在第一阶段结束后立即启动，而且必须在此后45天内完成。",
"四. 关于军备控制的第三阶段应在第二阶段结束后立即启动，而且必须在此后30天内完成。",
"五. 前战斗人员的重返社会、解除武装、复员和重返社会应在第三阶段结束后立即启动。",
"466. 出于安全、后勤保障和其他方面的原因，停火委员会主席可在征求各方的意见后，根据需要修改本时间表。",
"其他条款",
"第75条：争端解决",
"467. 在最终安全规定或任何现有停火协定的解释方面存在的任何分歧或争端都应提交联合委员会裁决，联合委员会必须在协商一致的基础上做出裁决。",
"468. 如果各方无法就上述问题达成一致，联合委员会主席应当与联合委员会国际委员一道，在征求联合委员会观察员意见后，做出最有利于停火的决定；各方应服从联合委员会做出的决定。",
"第七章：内部对话和协商及执行办法",
"第76条：达尔富尔内部对话和协商",
"469. 各方充分认识到 达尔富尔利益相关方在多哈和平进程中起到非常重要的作用。",
"470. 各方同意，在达尔富尔/苏丹境内外举行的、关于冲突根源和后果问题的各种磋商和讨论的成果(包括多哈论坛一和论坛二以及达尔富尔利益攸关方全体会议)为旨在签署本协议的一系列谈判奠定了坚实的基础。",
"471. 各方强调，为了巩固和平的成果、促进冲突各方之间的和解，有必要继续加强 达尔富尔内部的对话与磋商。",
"472. 因此，各方同意依照本协议的规定，开展达尔富尔内部对话和协商。",
"职能范围",
"473. 首先，达尔富尔内部对话和协商将通过广泛磋商和对话，力争巩固达尔富尔的和平成果、在达尔富尔人民以及更广泛的苏丹人民之间建立信任机制、加强和解和团结。具体而言，达尔富尔内部对话和协商将实现以下目标：",
"一. 扩大本协议的覆盖面、动员各方面的力量帮助落实本协议；",
"二. 解决与公民责任、民主价值观与实践以及建设和平相关的问题；",
"三. 强化与当地纠纷的解决、土地所有权、牧场、季节性迁移放牧、水资源和自然资源等相关的、经受时间考验的传统做法；",
"四. 促进部落之间、公社之间的和平、和解与和睦相处；",
"五. 强化本土行政管理机构的地位，包括恢复其职权、建设其能力；",
"六. 依照本协议的规定，加强认识、动员一切力量，采取一切手段，加强平民的军备控制、促进妇女和青年的发展、确保境内流离失所者和难民安全返回原籍地、重新融入社会、财产归还与赔偿；",
"七. 恢复达尔富尔社会和政治秩序、帮助人们设法结束过去、努力前行。",
"促进达尔富尔内部对话和协商",
"474. 各方同意由达尔富尔混合行动、非洲联盟和卡塔尔国负责达尔富尔内部对话和协商的协调。这些实体机构必须根据要求确定达尔富尔内部对话和协商实施形式和机制及其相应的时间表。各方承诺采取必要行动，营造有利于增强达尔富尔内部对话和协商过程与结果可信度的有利环境。",
"475. 各方及其他利益集团的代表应全面参与这些机制。",
"476. 作为一种咨询机制和一种社会与政治转型的工具，达尔富尔内部对话和协商进程预计会在修复社会网络、铸造个人和集体和平共处与实现和解的心态、塑造达尔富尔人民的未来方面产生立竿见影的效果。达尔富尔内部对话和协商的成果应以学到的最优方法和汲取的教训的形式存在，而且应正式提交苏丹政府、达尔富尔地区管理局和达尔富尔州政府。",
"后勤保障与筹集资金",
"477. 达尔富尔混合行动应在其力所能及的范围内，为相关机构的运行以及达尔富尔内部对话和协商的实施提供后勤保障。各方有责任建立一个有利于保证所有利益攸关方全面参与以及达尔富尔内部对话和协商成功实施的有利环境。达尔富尔混合行动还将帮助制定一项有效沟通的策略，确保与达尔富尔内部对话和协商相关的信息及其实际进程在达尔富尔及苏丹境内外得到广泛宣传并且做好适当的文件档案记录。",
"478. 苏丹政府和国际捐助机构将受邀为达尔富尔内部对话和协商筹集资金。而且必须建立一个专门用于“达尔富尔内部对话和协商”目的的信托基金管理这些专项资金。",
"第77条：执行后续行动委员会",
"479. 依照本协议相关规定成立的一个执行后续行动委员会将负责：",
"一. 监督和检查本协议的实施情况；",
"二. 帮助为那些依照本协议成立的机构提供资金和技术援助；",
"三. 根据商定时间表，帮助落实本协议。",
"执行后续行动委员会的人员构成",
"480. 执行后续行动委员会由明确表示致力于促进本协议实施的以下成员组成：",
"一. 卡塔尔国的代表——主席",
"二. 两(2)名来自苏丹政府的代表——委员",
"三. 两(2)名来自“运动”的代表——委员",
"四. 非盟的代表——委员",
"五. 联合国的代表——委员",
"六. 联合特别代表与达尔富尔混合行动负责人——委员",
"七. 前非盟-联合国联合首席调停人——委员",
"八. 阿盟代表——委员",
"九. 欧盟代表——委员",
"十. 伊斯兰会议组织代表——委员",
"十一. 加拿大代表——委员",
"十二. 法国代表——委员",
"十三. 日本代表——委员",
"十四. 阿拉伯埃及共和国代表——委员",
"十五. 中华人民共和国代表——委员",
"十六. 乍得共和国代表——委员",
"十七. 俄罗斯联邦代表——委员",
"十八. 英国代表——委员",
"十九. 美国代表——委员",
"481. 执行后续行动委员会第一次会议应由卡塔尔国作为主席召集。",
"执行后续行动委员会的职能",
"482. 执行后续行动委员会应履行以下职能：",
"一. 持续监督、记录和跟踪本协议的实施；",
"二. 保持与各方的密切联系，促使其全面遵守本协议的各项规定，同时帮助各方为实现这一目的而努力；",
"三. 规划和监督对冲突后各项活动的技术援助和资助以及本协议规定机构的建立与运行，其中包括但不限于能力建设、人员培训以及资金、资源、专家、顾问的提供；",
"四. 评价和检查其实施进度，及时将可能导致延误的各种动态告知各方，同时，提出相关的应对措施；",
"五. 帮助提供全面实施本协议所需的政治支持和实质支援；",
"六. 执行后续行动委员会及各方可能认为适当而且符合本协议原则和精神的任何其他职能。",
"执行后续行动委员会的会议",
"483. 执行后续行动委员会每季度召开一次会议，而且每次会议结束后都应发布相关报告。执行后续行动委员会应在其认为必要时召开紧急会议。各方可要求执行后续行动委员会召开紧急会议。",
"484. 达尔富尔混合行动应设立秘书处帮助执行后续行动委员会履行职能和开展相关活动。",
"485. 执行后续行动委员会应通过其自己的程序规则。",
"第78条：最后条款",
"486. 随附执行时间表是本文件不可或缺的重要组成部分。",
"487. 本文件在获得各方通过后，应具有宪法地位。这种地位应在国家宪法中明确规定。",
"“执行时间表”草案",
"A. 分享权力",
"序号\t活动内容\t参见\t责任方/责任机构\t期限\t构成\t供资来源\t程序 \n1.\t总统任命（副总统、达尔富尔地区管理局主席、总统助理和顾问）\t第39、66、40款\t总统\tD+30天 以总统令方式任命\n2.\t国家内阁部长会议任命（内阁部长和州部长）\t第42款\t总统\tD+30天 以总统令方式任命\n3.\t成立达尔富尔地区管理局\t第59至62款\t总统\tD+30+30天 以总统令方式任命\n4.\t由司法事务委员会成立专家小组\t第46款\t司法事务委员会\tD+90天 由“司法事务委员会”主席任命\n5.\t由国家公务员制度委员会成立“专家小组”\t第51款\t国家公务员制度委员会\tD+90天\t达尔富尔的实质代表性（包括在高层）\t苏丹政府\t由国家公务员制度委员会主席任命\n6.\t完成达尔富尔北方边界线的划定\t第81款\t苏丹政府\tD+180天 “司法事务委员会”将完成划界工作。\n7.\t州行政长官在“运动”的代表性\t第82款\t苏丹政府与达尔富尔州政府\tD+90天 州预算\t依照补充议定书\n8.\t国家和州立法机关在“运动”的代表\t第43、82款\t苏丹政府/各州\tD+90天 国家预算与州预算\t依照补充议定书\n9.\t达尔富尔地方政府（地方当局）在“运动”的代表性\t第87款\t苏丹政府与达尔富尔州政府\tD+90天 苏丹政府\t依照补充议定书\n10.\t与高等教育相关的平权行动\t第89至93款\t苏丹政府\tD+90天 以总统令方式任命\n11.\t“苏丹武装部队”和“苏丹警察部队”和其他常规部队在“运动”的代表性\t第57和58款\t苏丹政府\tD+40天以上",
"B. 分享财富",
"序号\t活动内容\t参见\t责任方/责任机构\t期限\t构成\t供资来源\t程序 \n12.\t通过并实施游牧民发展、稳定与定居的综合项目、提高游牧业的劳动生产率、管理农牧民之间的关系、确保全民安全、稳定和发展\t第98款\t苏丹政府/达尔富尔地区管理局/达尔富尔州政府\tD+90天以上 苏丹政府/达尔富尔地区管理局\t确定具体项目、开展应用经济学研究\n13.\t制定相关政策并开展一系列旨在终止环境恶化和保护自然资源的必要研究活动\t第172㈠款\t苏丹政府/达尔富尔地区管理局/达尔富尔州政府\tD+90天以上 苏丹政府/达尔富尔地区管理局/达尔富尔州政府\t\n14.\t制定一系列旨在使妇女能够成为达尔富尔劳动力和帮助他们（尤其是其中的回归人员）建设自身生产能力\t第141㈢款\t达尔富尔地区管理局/达尔富尔州政府\tD+90天以上 达尔富尔地区管理局/达尔富尔州政府\t\n15.\t制定并实施一系列旨在鼓励来自达尔富尔的专家参与国际、国内市场竞争、鼓励专业化的商业银行和政府银行在达尔富尔拓展业务活动\t第114和116款\t苏丹政府/达尔富尔地区管理局/达尔富尔州政府\tD+90天以上 苏丹政府/达尔富尔地区管理局/达尔富尔州政府\t\n16.\t制定并实施一系列有助于教育系统重建的政策、对达尔富尔公民开展教育培训、消除妇女中的文盲\t第117款\t苏丹政府/达尔富尔地区管理局/达尔富尔州政府\tD+90天以上 苏丹政府/达尔富尔地区管理局/达尔富尔州政府/捐助机构\t\n17.\t促进农业、畜牧业、小型工业和手工业、采矿业、环境与能源（重点关注可再生能源）产业方面相关技术的开发与研究\t第118款\t苏丹政府/达尔富尔地区管理局/达尔富尔州政府\tD+90天以上 苏丹政府/达尔富尔地区管理局/达尔富尔州政府/捐助机构\t18.\ta)对于那些用于达尔富尔重建与开发的进口材料全额免征进口关税和其他费用；\t第126㈠款\t苏丹政府\tD+30天以上\t苏丹政府 财政与国民经济部关于苏丹关税的指令 \n\tb)应由苏丹政府承担对达尔富尔的国家开发项目和苏丹政府资助的项目或贷款项目进口的材料征收的关税和其他税费；\t第126㈡款 \n19.\t落实《投资促进法修正案》，鼓励和吸引更多的国内外公司在达尔富尔各州投资\t第126㈢款\t苏丹政府/国民议会\tD+180天 \n20.\t成立财政和金融分配监测委员会\t第152款\t苏丹政府/国民议会\tD+180天 颁布财政和金融分配监测委员会组织法\n21.\t任命相关专家团队负责制定有关国家税收资金向各州转移支付的标准\t第152款\t财政和金融分配监测委员会\tD+180天 \n22.\t成立达尔富尔联合评估团确定其任务目标、为其开展工作做准备\t第176款\t相关各方/捐助机构\tD+30天\t相关各方/捐助机构 成立核心协调小组、确定其职能、建立以目标任务为基础的工作秘书处、在喀土穆和达尔富尔开展工作援助\n23.\t启动达尔富尔联合评估团\t第177款\t苏丹政府/世行/非洲开发银行/达尔富尔开发银行/联合国/达尔富尔地区管理局\tD+60天\t苏丹政府/联合国/非洲开发银行/所有国家和区域经济与国际组织\t成立相关委员会落实达尔富尔联合评估团各项行动\t\n24.\t着眼于评估达尔富尔的需求，编制“达尔富尔联合评估团”报告\t第180款\t达尔富尔联合评估团\tD+120天\t苏丹政府/联合国/非洲开发银行 秘书处应编制“达尔富尔联合评估团”最终工作报告，并将其提交中央协调小组审议，报告内容涉及开发项目、消除贫困、经济复苏及其成本，以及苏丹政府承担其中部分费用的同意书\n25.\t召开捐助机构会议、成立多捐助机构托管基金和达尔富尔重建与发展基金监管机构\t第176和178款\t世行/联合国/非洲开发银行/卡塔尔国\tD+180天 捐助机构\t邀请伊斯兰开发银行、非盟、阿盟、阿拉伯基金组织、欧盟、美国、阿拉伯和伊斯兰国家以及所有其他利益相关国家和组织参加\n26.\t达尔富尔重建与发展基金重组\t第139款\t各方\tD+60天 \n27.\t将200 000000美元（两亿美元）转入“达尔富尔重建与发展基金”基金账户（作为种子基金）\t第142款\t苏丹政府\tD+90天 \n28.\t将300 000000美元（三亿美元）转入“达尔富尔重建与发展基金”基金账户（第二次拨款）\t第142㈠款\t苏丹政府\tD+1年+60天 \n29.\t将300 000000美元（三亿美元）转入“达尔富尔重建与发展基金”基金账户（第三次拨款）\t第142㈡款\t苏丹政府\tD+2年+60天 \n30.\t将300 000000美元（三亿美元）转入“达尔富尔重建与发展基金”基金账户（第四次拨款）\t第142㈢款\t苏丹政府\tD+3年+60天 \n31.\t将400 000000美元（四亿美元）转入“达尔富尔重建与发展基金”基金账户（第五次拨款）\t第142㈣款\t苏丹政府\tD+4年+60天 \n32.\t将500 000000美元（五亿美元）转入“达尔富尔重建与发展基金”基金账户（第五次拨款）\t第142㈤款\t苏丹政府\tD+5年+60天 \n33.\t建立“小额融资制度”并制定“小额融资制度”条例\t第130款\t苏丹中央银行，但必须征求苏丹政府和达尔富尔地区管理局的意见\tD+60天 各方与小额贷款方面的专家参与\t由中央银行决定\n34.\t第一期支付40000000美元（四千万美元）\t第134款\t苏丹政府\tD+90天\t苏丹政府 向达尔富尔的“小额融资制度”系统支付\n35.\t第二期支付30000000美元（三千万美元）\t第134款\t苏丹政府\tD+1年+90天\t苏丹政府 向达尔富尔的“小额融资制度”系统支付\n36.\t第三期支付30000000美元（三千万美元）\t第134款\t苏丹政府\tD+2年+90天\t苏丹政府 向达尔富尔的“小额融资制度”系统支付\n37.\t对“小额融资制度”受益人开展能力建设\t第132款\t达尔富尔地区管理局与达尔富尔州政府\tD+120天\t苏丹政府 \n38.\t第一期支付75000000美元（七千五百万美元），用于资助达尔富尔各州的社会服务事业\t第138款\t苏丹政府\t按月拨付 向各州支付每月资助\n39.\t第二期支付75000000美元（七千五百万美元）\t第138款\t苏丹政府\t按月拨付 向各州支付每月资助\n40.\t第三期支付75000000美元（七千五百万美元）\t第138款\t苏丹政府\t按月拨付 向各州支付每月资助\n41.\t决定在达尔富尔境内动用在达尔富尔筹集的天课资金\t第150款\t中央天课会理事会\tD+30天 中央天课会理事会应向设在达尔富尔的所有天课机构传达这项决定\n42.\t天课会应筹集尽可能多的必要资金，用于实施一系列有利于贫困家庭、尤其是回归人员、境内流离失所者和难民的项目\t第151款\t中央天课会理事会\tD+90天 中央天课会理事会的决定\n43.\t制定一系列旨在发展靠雨水灌溉的传统农业的政策和项目\t第173款\t苏丹政府/达尔富尔地区管理局\tD+30天以上 \n44.\t第174款所述可行项目的评价与复兴\t第174款\t苏丹政府/达尔富尔地区管理局/捐助机构\tD+1年\t苏丹政府 有负责开展必要研究工作的专家团队组成\n45.\t制定并实施公共财政、金融联邦主义（包括支出管理透明化）等方面的综合能力建设计划 苏丹政府/达尔富尔地区管理局/捐助机构\tD+30天以上\t苏丹政府 苏丹政府必须与来自苏丹境内外的专业机构签订合同，以便制定相关计划并要求在规定的时间框架内实施\n46.\t在基础设施方面，对达尔富尔的大学进行综合结构改革、完善体制机制，使其能够完成自身使命和任务\t第171（五）款\t苏丹政府\tD+30天以上\t苏丹政府 依照高等教育与科学研究部（与达尔富尔相关大学合作）提交的计划，为必要的改革筹集资金\n47.\t成立达尔富尔土地委员会\t第196款\t苏丹政府/国民议会\tD+180天\t苏丹政府 以总统令方式决定\n48.\t逐步修订相关法规，使其包含与土地相关的权利及其依照土地所有权方面的惯例、传统和遗产的使用、牲畜通道和水源的使用。同时，使得人们能够参照惯例登记其自有土地\t第182款与第194款\t苏丹政府/达尔富尔地区管理局/达尔富尔州政府/立法机构\tD+120天以上 苏丹政府、达尔富尔地区管理局和各州政府必须起草相关法规的修正案，提请国民议会通过、达尔富尔地区管理局理事会核准以及州立法机构审批\n49.\t土地（依照《投资法》赋予的土地、其所有人违反土地所有权赋予条件）恢复原状\t第183款\t达尔富尔地区管理局/达尔富尔州政府/立法机构\tD+120天以上 \n50.\t编制“达尔富尔土地使用绘图信息库”计划及其相关结果\t第197款\t达尔富尔土地委员会\tD+180天以上\t达尔富尔地区管理局 \n51.\t达尔富尔各州立法机构采纳相关建议并通过“达尔富尔土地使用绘图信息库”计划\t第197款\t达尔富尔地区管理局理事会/达尔富尔州立法机构\tD+2年\t达尔富尔地区管理局与达尔富尔州政府",
"C. 境内流离失所者和难民赔偿和回归",
"序号\t活动内容\t参见\t责任方/责任机构\t期限\t构成\t供资来源\t程序 \n52.\t成立自愿回归和重新安置问题委员会及其下属两个小组委员会：自愿回归问题委员会与财产索赔和赔偿委员会以及成立赔偿/Jabr AlDarar基金\t第25572款\t国家立法机构\tD +45天 颁布法律\n53.\t向境内流离失所者和难民签发身份证明文件\t第46条第235-237款\t苏丹政府/联合国难民事务高级专员\tD +90天以上 苏丹政府\t建立在相关调查和需求评价结果基础上\n54.\t确定回归区、确保境内流离失所者和难民有权使用其家乡的土地、道路以及公共服务设施\t第249㈢款\t苏丹政府/达尔富尔混合行动，与相关组织合作\tD+l年 苏丹政府/捐助机构(达尔富尔混合行动)\t\n55.\t为制定自愿回归计划，对境内流离失所者和难民开展统计调查\t第257㈠款\t苏丹政府/达尔富尔地区管理局/达尔富尔混合行动（在联合国难民事务高级专员的帮助下）进行。\tD+60+60天 苏丹政府/捐助机构\t\n56.\t在可能回归的地区开展综合需求评价，以便于妥善解决相关基本服务问题\t第257㈡款\t自愿回归和重新安置问题委员会(在联合国难民事务高级专员的帮助下)进行。\t自愿回归和重新安置问题委员会成立后立即启动。\t苏丹政府/自愿回归和重新安置问题委员会(在联合国难民事务高级专员的帮助下)进行\t苏丹政府/捐助机构",
"D. 司法与和解",
"序号\t活动内容\t参见\t责任方/责任机构\t期限\t构成\t供资来源\t程序 \n57.\t通过在达尔富尔建立更多的法庭、安排更多的审判人员并向为达尔富尔的起诉检举工作提供充足的资金，来增强达尔富尔司法部门的能力\t第296款㈠与㈢\t苏丹政府\tD+90天以上 苏丹政府\t\n58.\t实行大赦\t第329款\t共和国总统\tD+30天 以总统令方式实施\n59.\t成立“真理、正义与和解委员会”\t第311款\t苏丹政府/达尔富尔地区管理局\tD+90天 苏丹政府\t以总统令方式实施\n60.\t建立“达尔富尔特别法庭”\t第322款\t苏丹政府\tD+90天 苏丹政府\t国家司法部门\n61.\t建立“法律援助基金”\t第328款\t苏丹政府（在捐助机构的援助下）进行\tD+90天 苏丹政府（在捐助机构的援助下）进行\t\n62.\t宣布在达尔富尔庆祝国家和平与非暴力纪念日\t第305款\t苏丹政府\tD+30天 以总统令方式实施\n63.\t建立一套独立、公正、经费有保障而且有效的机制，确定并采取适当行动打击公共服务部门那些经证实已犯有侵害人权和违反国际人道主义法律罪行的公务人员\t第331款\t苏丹政府\tD+90天",
"E. 永久停火与最终安全安排",
"序号\t活动内容\t参见\t责任方/责任机构\t期限\t构成\t供资来源\t程序 \n64.\t各方应将其兵力部署以及与之结盟的所有武装集团的名单提交调停委员会\t第381款\t各方\tD-日之前 绘制地图所需\n65.\t各方应向调停委员会提交雷区位置图 各方\tD-日之前 计划编制所需\n66.\t在“FHQ”成立停火委员会\t第342款\t达尔富尔混合行动\tD-日之前\t达尔富尔混合行动FC-主席；来自各方的3名委员；卡塔尔国\t达尔富尔混合行动/国际合作伙伴\t\n67.\t核实各方部队的位置和兵力\t第393款与第394款\t停火委员会/达尔富尔混合行动\tD日之后、第一阶段开始之前 停火委员会主席将对各方的位置保密\n68.\t成立联合委员会\t第342款\t调停委员会+达尔富尔混合行动\tD+7\t联合特别代表/卡塔尔国/各方的代表/阿盟/欧盟/达尔富尔混合行动政治事务官员\t达尔富尔混合行动/国际合作伙伴\t\n69.\t释放儿童士兵。\t第341㈧款和第433㈢款\t各方与儿童基金会合作实施。\tD-日之前 开始向儿童基金会移交儿童士兵\n70.\t成立联合后勤保障协调委员会。\t第410款\t达尔富尔混合行动\tD+5\t达尔富尔混合行动/各方/捐助机构\t捐助机构\t\n71.\t第一到三阶段准备工作启动。\t第395-402款\t各方\tD+7天 \n72.\t成立达尔富尔安全安排执行委员会。\t第448款\t苏丹政府/达尔富尔地区管理局\tD+60天\t各方\t苏丹政府/达尔富尔地区管理局\t\n73.\t各方向停火委员会提交停火各阶段的兵力调动计划\t第398款\t各方\tD+14天\t达尔富尔混合行动/各方 \n74.\t绘制最终地图，图上应标明“运动”各部队的位置、控制区、缓冲区、非军事区和“调防区”\t第348㈤款\t停火委员会\t经核实后。 详细内容将在主地图上标注\n75.\t制定缓冲区监督巡逻计划\t第408款\t停火委员会\tD+7天 \n76.\t各自控制区、缓冲区和非军事区实际划界\t第391款\t达尔富尔混合行动与各方合作完成。\tD+37天 \n77.\t各方将其部队从非军事区/缓冲区撤到其控制区 各方\tD+7至D+45 \n78.\t重建北苏丹解除武装、复员和重返社会委员会\t第430款\t各方\tD+45天 \n79.\t“运动”通过达尔富尔混合行动/停火委员会向联合后勤协调委员会提出气后勤保障需求\t第409款\t各方\tD+10天 \n80.\t成立重返社会工作技术委员会\t第449款\t达尔富尔安全安排执行委员会\tD+60+10天 \n81.\t重新部署各方的部队\t第398㈡款\t达尔富尔混合行动/各方 \n82.\t向“运动”发放非军用后勤保障物资\t第404㈣款\t联合后勤协调委员会\tD+30天 苏丹政府/国际合作伙伴\t\n83.\t制定解除武装、复员和重返社会计划并向达尔富尔安全安排执行委员会提交\t第432款\t解除武装、复员和重返社会委员会\tD+90天 \n84.\t制定并提交前战斗人员重返社会计划\t第449款\t融入技术委员会\tD+90天 \n85.\t确定“运动”部队的集结区 停火委员会\t取决于停火委员会主席的决定。 \n86.\t在重返社会阶段开始之前，提交民兵解除武装的计划，其中包括解除民兵武装的措施和时间安排\t第399-401款\t苏丹政府\tD+37天 \n87.\t“运动”的部队在选定的集结区/地点集结并将其重型武器存放在选定的集结区/地点 达尔富尔混合行动\t立即完成或在向集结区部署的同时完成 \n88.\t前战斗人员加入苏丹武装部队与苏丹警察部队\t第442、454–462款\t融入技术委员会/苏丹政府\t以融入技术委员会拟定的时间表为准 \n89.\t部分军事机构的改革\t第463-464款\t苏丹政府\tD+200 \n90.\t前战斗人员解除武装、复员与社会/经济重返社会\t第72和73条\t解除武装、复员和重返社会委员会\tD+220 \n91.\t制定平民军备控制的计划和策略\t第416款\t各方/开发署/达尔富尔混合行动\t第三阶段结束后",
"F. 内部对话和协商及执行办法",
"序号\t活动内容\t参见\t责任方/责任机构\t期限\t构成\t供资来源\t程序 \n92.\t达尔富尔内部对话和协商机制的建立及其存在形式\t第473款\t达尔富尔混合行动/非盟/卡塔尔国\tD+30天 捐助机构\t\n93.\t达尔富尔内部对话和协商机制的实施\t第473款\t达尔富尔混合行动/非盟/卡塔尔国\tD+30+90天 捐助机构\t\n94.\t成立执行后续行动委员会。\t第479款\t调停委员会/卡塔尔国\tD-日之前\t如第479款所述。\t捐助机构"
] | [
"General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda item 33 \n Prevention of armed conflict",
"Letter dated 24 July 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Qatar to the United Nations addressed to the Secretary-General",
"I have the honour to transmit herewith a letter dated 18 July 2011 addressed to the Secretary-General from His Excellency Ahmad bin Abdullah Al Mahmoud, Minister of State for Foreign Affairs, Member of the Cabinet of the State of Qatar (see annex), and its enclosures:",
"(a) Agreement between Sudan and the Liberation and Justice Movement signed on 14 July 2011 in Doha for the adoption of the Doha Document for Peace in Darfur, which was endorsed by the All Darfur Stakeholders Conference held from 27 to 31 May 2011 in Doha, as the basis for final settlement of the Darfur conflict;",
"(b) Doha Document for Peace in Darfur.",
"I should be grateful if you would circulate the present letter and its annex as a document of the General Assembly, under agenda item 33, and of the Security Council.",
"(Signed) Tariq Ali F. Al-Ansari Chargé d’affaires a.i.",
"Annex to the letter dated 24 July 2011 from the Chargé d’affaires a.i. of the Permanent Mission of Qatar to the United Nations addressed to the Secretary-General",
"[Original: Arabic]",
"I would like to reiterate our thanks and appreciation to you for your continued support to the Doha Darfur Peace Process. We also extend our deep gratitude to you for welcoming the signing of an agreement between the Government of the Republic of the Sudan and the Liberation and Justice Movement on 14 July 2011, in Doha, for the adoption of the Doha Document for Peace in Darfur, endorsed by the All Darfur Stakeholders Conference, held in Doha from 27 to 31 May 2011, as the basis for a final settlement of the Darfur conflict.",
"Hence, it is my pleasure to enclose herewith the above-mentioned agreement in both Arabic and English, with the Arabic and English versions of the Doha Document for Peace in Darfur attached thereto.",
"I should be grateful if you would circulate the present letter and its enclosures as a document of the General Assembly, and of the Security Council.",
"(Signed) Ahmed bin Abdullah Al Mahmoud Minister of State for Foreign Affairs and Member of the Cabinet",
"Enclosure",
"[Original: Arabic and English]",
"In the Name of Allah, Most Gracious, Most Merciful",
"AGREEMENT BETWEEN THE GOVERNMENT OF THE SUDAN AND THE LIBERATION AND JUSTICE MOVEMENT FOR THE ADOPTION OF THE DOHA DOCUMENT FOR PEACE IN DARFUR",
"The Government of The Sudan (GoS) and the Liberation and Justice Movement (LJM), hereinafter referred to as “the Parties”;",
"Referring to the Doha Darfur Peace Document (DDPD), as the outcome of an endeavor, for which the Parties to the negotiations, the Sudanese people in general, and the People of Darfur in particular, have persistently and diligently exerted their utmost efforts with a view to achieving just, durable, and comprehensive negotiated peace;",
"Expressing their commitment to the Interim National Constitution of The Sudan and the principles enshrined therein;",
"Expressing their full conviction that the DDPD is the basis for the settlement of the conflict in Darfur;",
"Affirming their commitment to a durable peaceful settlement on the basis of the DDPD, and to promote and protect human rights and fundamental freedoms;",
"Reaffirming their profound commitment to achieving peace, security, and development in Darfur; and recognizing that the Darfur conflict cannot be resolved militarily but only by a peaceful and inclusive political settlement;",
"Expressing their full conviction that this agreement augurs well for the realization of the purposes and principles of United Nations Charter related to the maintenance of international peace and security;",
"Referring to the commitments of the international community towards the support and the consolidation of peace in Darfur;",
"Stressing the value and importance of the broad assistance and contribution of the African Union-United Nations Joint Mediation and the international partners;",
"Welcoming the support for the DDPD by the United Nations Secretary-General, the United Nations Security Council, the African Union, the League of Arab States, the Organization of Islamic Cooperation, the European Union and the international peace partners;",
"Affirming that the DDPD is the outcome of the wide participation of the people of Darfur and their representatives through the Doha Civil Society, IDPs and Refugees Consultative Forums I & II in November 2009 and July 2010, respectively, and the All Darfur Stakeholders Conference in May 2011, as well as the consultations that took place within Sudan, and particularly in Darfur;",
"Confirming that the DDPD addresses the concerns of the people of Darfur, and the root causes of the conflict and its consequences, and lays solid foundations for recovery, reconstruction and development in Darfur;",
"Noting that the DDPD provides the opportunity for the armed Movements, which have participated in the Doha peace process to join in realization of and commitment to the principle of inclusiveness;",
"Reiterating their commitment and resolve to fully implement the DDPD, and welcoming, in this connection, the establishment of the Implementation Follow-up Commission (IFC);",
"Calling upon the international community to firmly support the implementation of the DDPD, and to provide the necessary resources and expertise for this purpose;",
"Expressing their deep appreciation and gratitude to the State of Qatar under the leadership of His Highness, Sheikh Hamad Bin Khalifa Al-Thani, Emir of the State of Qatar for the critical role of facilitating the Doha peace process;",
"Have agreed to the following:",
"Article 1: The parties adopt the DDPD and all its annexes, which constitute an integral part thereof, namely the implementation modalities and timelines and the Protocol on the participation of the Liberation and Justice Movement at the different levels of power and the arrangements to integrate its forces through the disarmament, demobilization, and reintegration process, as initialed by the two Parties and by the Mediation.",
"Article 2: The Parties undertake to implement each and every provision in the DDPD and all its annexes as referred to in article 1 above.",
"Article 3: The Parties agree to settle any dispute or disagreement that may arise from the interpretation or the implementation of the present Agreement peacefully through dialogue, mutual understanding and direct negotiations. In case the Parties fail to agree, the matter shall be referred to the Constitutional Court, whose decision shall be binding.",
"Article 4: This Agreement shall enter into force upon its signing by the Parties.",
"Article 5: In witness whereof the duly authorized representatives of the Parties have initiated the DDPD as attached and as the basis to this agreement, and signed this Agreement, in the presence of the witnesses hereunder.",
"Done in Doha, this 13th of Sha’baan, 1432 Hijri, being the 14th of July, 2011 A.D., in two original texts in the Arabic and English languages, both texts being equally authentic. In case of discrepancies between the versions, the Arabic version shall prevail.",
"For the Government of The Republic For the Liberation and Justice of The Sudan (GoS) Movement\n [] []",
"Dr. Ghazi Salahuddin Atabani Dr. Eltigani Seisi Mohamed Ateem Advisor to the President of the Chairman of the Liberation and Republic Justice Movement",
"Witnessed by:",
"For the State of Qatar For the African Union and the United Nations",
"[]",
"H.E. Ahmed bin Abdulla Al-Mahmoud Prof. Ibrahim Gambari Minister of State for Foreign Affairs Joint Special Representative and Member of the Cabinet",
"[]",
"H.E. Djibril Yipènè Bassolé Minister of Foreign Affairs and Regional Cooperation of Burkina Faso",
"Enclosure 2",
"[Original: Arabic and English]",
"DOHA DOCUMENT FOR PEACE IN DARFUR (DDPD)",
"Table of Contents",
"List of Abbreviations",
"Definitions",
"Preamble",
"Chapter I — Human Rights and Fundamental Freedoms",
"Chapter II — Power-Sharing and the Administrative Status of Darfur",
"Chapter III — Wealth Sharing",
"Chapter IV — Compensation and the Return of IDPs and Refugees",
"Chapter V — Justice and Reconciliation",
"Chapter VI — Permanent Ceasefire and Final Security Arrangements",
"Chapter VII — Internal Dialogue and Consultation & Implementation Modalities",
"— Final Provisions",
"Annex — Implementation Timetable",
"LIST OF ABBREVIATIONS",
"ADB — African Development Bank",
"ADSC — All Darfur Stakeholders Conference",
"AFR — Annual Financial Report",
"AOR — Area of Responsibility",
"AU — African Union",
"CFA — Ceasefire Agreement",
"CFC — Ceasefire Commission",
"CPA — The Comprehensive Peace Agreement",
"CPC — Community Policing Centre",
"CTSG — Ceasefire Team Site Group",
"DDB — Darfur Development Bank",
"DDR — Disarmament, Demobilisation and Reintegration",
"DFC — Deputy Force Commander",
"DJAM — Darfur Joint Assessment Mission",
"DLC — Darfur Land Commission",
"DMZ — Demilitarised Zone",
"DoC DPA — Declarations of Commitment to the DPA",
"DPA — Darfur Peace Agreement",
"DSG — Darfur State Governments",
"DRA — Darfur Regional Authority",
"DRC — Darfur Referendum Commission",
"DRDF — Darfur Reconstruction and Development Fund",
"EU — European Union",
"FC — Force Commander",
"FFAMC — Fiscal and Financial Allocation and Monitoring Commission",
"GoS — Government of Sudan",
"IFC — Implementation Follow-up Commission",
"ICRC — International Committee of the Red Cross",
"IDPs — Internally Displaced Persons",
"INC — Interim National Constitution",
"ITC — Integration Technical Committee",
"JAF — Compensation/Jabr Al Darar Fund",
"JC — Joint Commission",
"JCM — Joint Coordination Mechanism",
"JLCC — Joint Logistics Coordination Committee",
"JSC — Judicial Service Commission",
"JTC — Joint Technical Committee",
"LAS — League of Arab States",
"LCC — Logistics Coordination Committee",
"MDGs — Millennium Development Goals",
"MFS — Micro Finance System",
"NC — National Constitution",
"NCRC — National Constitutional Review Commission",
"NCS — National Civil Service",
"NCSC — National Civil Service Commission",
"NGO — Non-Governmental Organisation",
"NRF — National Revenue Fund",
"OIC — Organisation of the Islamic Conference",
"PC — Police Commissioner",
"PCRC — Property Claims and Restitution Committee",
"RCC — Reparation and Compensation Commission",
"RoE — Rules of Engagement",
"SAF — Sudan Armed Forces",
"SOMA — Status of Mission Agreement",
"SPF — Sudan Police Forces",
"SSCFC — Sector Sub-Ceasefire Commission",
"Sub-CFCs — Sub-Ceasefire Commissions",
"TRC — Truth and Reconciliation Committee",
"TJRC — Truth, Justice and Reconciliation Commission",
"TSGs — Team Site Groups",
"UN — United Nations",
"UNAMID — African Union United Nations Hybrid Operation in Darfur",
"UNHCR — United Nations High Commissioner for Refugees",
"UNICEF — United Nations International Children’s Educational Fund",
"UNPOL — United Nations Police serving with UNAMID",
"UNSCR — United Nations Security Council Resolution",
"USA — United States of America",
"VRC — Voluntary Return Committee",
"VRRC — Voluntary Return and Resettlement Commission",
"WB — World Bank",
"DEFINITIONS",
"“Ajaweed Council” means a Mediation Council which consists of the Native Administration and community leaders.",
"“Area of Control” means a defined area over which one of the Parties exercises control and in which no other Party may undertake activity.",
"“Armed Militia” means irregular forces, whether or not associated or affiliated with any Party, and includes any armed group engaging in or which has engaged in hostile activity.",
"“Assembly” means the process of the relocation of the Movements’ former combatants into selected sites for purposes of their disarmament and integration into selected security institutions.",
"“Assembly Areas” or “Cantonment Sites” are used interchangeably to mean locations where combatants go through the disarmament and demobilisation process.",
"“Buffer Zone” means a defined area established in accordance with this Agreement monitored by UNAMID from which disputing or belligerent forces have been excluded.",
"“Combatants” means Movements’ forces.",
"“Commissioner” means head of a body in the Agreement, member of the DRA.",
"“Community Police” means volunteer personnel who are recruited by GoS in consultation with DRA from local communities to undertake patrolling activities to assist in maintaining public peace and tranquillity.",
"“Conflict-affected persons” or “victims of conflict” means persons or groups of people who have suffered persecution during the conflict in Darfur as well as those whose life and livelihoods have been adversely affected as a result of the conflict.",
"“Crew-Assisted Weapons” means those weapons that cannot be served by a single operator and require supplementary operators and technical means, both in launching position and/or the terminal trajectory position. Often these types of weapons are mounted on vehicles, ships and aircraft.",
"“Demilitarised Zone” means a defined area in accordance with this Agreement within which the Parties undertake no military operations and from which they remove military assets.",
"“Demobilisation” means the process by which the Parties begin to disband their military structure and former combatants begin the process of transformation into civilian life.",
"“Disarmament” means the collection, control and disposal of small arms, light and heavy weapons and includes de-mining.",
"“Disengagement” is a general term for a process that would result in the geographical separation of opposing forces.",
"“Hawakeer” means tribal land ownership rights.",
"“Internally Displaced Persons” (IDPs) means persons or groups of persons who have been forced or obliged to flee or to leave their homes or places of habitual residence, in particular as a result of or in order to avoid the effects of armed conflict, situations of generalised violence, violations of human rights or natural or human-made disasters, and who have not crossed an internationally recognised State border.",
"“Movements” means all the armed groups involved in the conflict other than State armed forces and associated militia; for the purpose of this Agreement, the “Movements” refers to parties to the Doha Peace Process and are signatories to this Agreement.",
"“National Constitution” means the Interim National Constitution and any other Constitution.",
"“Parties” means the Government of Sudan and the Movements parties to the Doha Peace Process.",
"“Reconciliation” means a process which assists the victims of prolonged violence and grave violations of fundamental rights to overcome the grief, anger, hatred and loss of trust in order to rebuild confidence among communities and restore social peace.",
"“Redeployment” means the transfer of a unit, an individual or supplies deployed to one area to another location within the area, or to an interior part of the zone for the purpose of further employment or demobilisation for reintegration and/or out processing.",
"“Reform of selected security institutions” means the process of transforming specific security institutions to improve their capacity, effectiveness and professionalism and to strengthen the rule of law in accordance with accepted international standards.",
"“Refugee” means a person who, owing to well-founded fear of being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion, is outside the country of his nationality and is unable or, owing to such fear, is unwilling to avail himself of the protection of that country, or who, not having a nationality and being outside the country of his former habitual residence as a result of such events is unable or, owing to such fear, is unwilling to return to it. “Refugee” is also applied to every person who, owing to external aggression, occupation, foreign domination or events seriously disturbing public order in either part or the whole of his country of origin or nationality, is compelled to leave his place of habitual residence in order to seek refuge in another place outside his country of origin or nationality.",
"“Regular Forces” means the Armed Forces, the Police Forces and the national intelligence and security services of the Republic of the Sudan.",
"“Reintegration” means assistance measures provided to former combatants in order to increase the potential for their economic and social absorption into civil society.",
"“Returnee” means a displaced person who voluntarily returns to his/her habitual residence before displacement with the intention to re-establish himself/herself there.",
"“Rules of Engagement” (RoE) means directives issued by a competent military authority that define the circumstances and limitations under which forces will initiate and/or continue use of force against other forces encountered.",
"PREAMBLE",
"The Parties to the Agreement hereinafter referred to as “The Parties”;",
"Reaffirming the sovereignty, unity and territorial integrity of Sudan;",
"Reiterating their commitment to the National Constitution of the Republic of Sudan of 2005, to the full implementation of the Comprehensive Peace Agreement of January 2005, and to the African Union Decisions and United Nations Security Council Resolutions (UNSCR) concerning the need to reach a political solution in order to bring the conflict in Darfur to an end;",
"Recalling the previous agreements on the conflict in Darfur, in particular the Humanitarian Ceasefire Agreement on the Conflict in Darfur & Protocol on the Establishment of Humanitarian Assistance in Darfur of 8 April, 2004, N’Djamena, Chad; the Agreement with the Sudanese Parties on the Modalities for the Establishment of the Ceasefire Commission and the Deployment of Observers in Darfur of 28 May 2004, Addis Ababa, Ethiopia; the Protocol between the Government of Sudan, The Sudan Liberation Movement / Army and the Justice and Equality Movement on the Improvement of the Humanitarian Situation in Darfur of 9 November, 2004, Abuja, Nigeria; the Protocol between the Government of Sudan, The Sudan Liberation Movement / Army and the Justice and Equality Movement on the Enhancement of the Security Situation in Darfur in accordance with the N’Djamena Agreement of 9 November, 2004, Abuja, Nigeria; the Declaration of Principles for the Resolution of the Sudanese Conflict in Darfur of 5 July, 2005, Abuja, Nigeria; the Darfur Peace Agreement (DPA) of 5 May, 2006, Abuja, Nigeria; the Goodwill Agreement between the Government of Sudan and the Justice and Equality Movement, 17 February 2009, Doha, Qatar; the Framework Agreement between the Government of Sudan and the Justice and Equality Movement, 23 February 2010, Doha, Qatar; the Framework Agreement between the Government of Sudan and the Liberation and Justice Movement, 18 March 2010, Doha, Qatar; the Ceasefire Agreement between the Government of Sudan and the Liberation and Justice Movement, 18 March 2010, Doha, Qatar;",
"Recognising that the cultural and ethnic diversity of the Sudanese people is the foundation of national cohesion and shall therefore be promoted and developed;",
"Welcoming the generous initiative of His Highness the Emir of the State of Qatar to create a Darfur Development Bank (DDB) to assist development and reconstruction efforts in Darfur;",
"Stressing the necessity to promote and protect human rights, justice, accountability and reconciliation in Sudan, and in particular in Darfur;",
"Condemning all acts of violence against civilians and the violations of human rights, in particular violence against women and children; and stressing the imperative to refrain from such acts of violence and violations of human rights and international humanitarian law;",
"Recognising that creating conditions for durable peace in Darfur, the implementation of this Agreement, national reconciliation, social cohesion and reconstruction require the promotion and protection of human rights, respect for the principle of equality of all Sudanese citizens and for the rule of law;",
"Stressing the necessity that all Parties to the armed conflict in Darfur shall fully and unconditionally accept their obligations under international humanitarian law, international human rights law, and relevant UNSCR;",
"Committed to address human rights violations committed during the Darfur conflict;",
"Taking into account the outcomes of the first and the second Darfur civil society forums, held in Doha in November 2009 and July 2010 respectively and the outcomes of the All Darfur Stakeholders Conference (ADSC) held in Doha in May 2011;",
"Recognising that the Darfur conflict cannot be resolved militarily and a durable solution can only be obtained through an inclusive political process,",
"Have agreed to the following:",
"CHAPTER I - HUMAN RIGHTS AND FUNDAMENTAL FREEDOMS",
"ARTICLE 1: PROMOTION AND PROTECTION OF HUMAN RIGHTS AND FUNDAMENTAL FREEDOMS",
"1. The Parties recognise the importance of promoting and protecting human rights and fundamental freedoms of all people of Darfur. The Government of Sudan (GoS), the Darfur Regional Authority (DRA) and the Governments of the States of Darfur shall guarantee the effective enjoyment of all rights and freedoms enshrined in Sudan's National Constitution and international human rights instruments to which Sudan is a party.",
"2. All Parties shall fulfil their obligations under international human rights and international humanitarian law and ensure a conducive environment for the effective exercise of civil and political rights as well as the full and equal enjoyment of economic, social and cultural rights.",
"3. Citizenship shall be the basis for equal political and civic rights and obligations for all Sudanese.",
"4. The Parties shall ensure that all persons enjoy and exercise all of the rights and freedoms provided for in this Agreement, in the National Constitution of Sudan and international and regional human rights instruments to which Sudan is a party without discrimination on any grounds including sex, race, colour, language, religion, political or other opinion, national or social origin or social status. Women, children and men shall be guaranteed the equal enjoyment of all rights enshrined in the international human rights and humanitarian law instruments to which Sudan is a party.",
"5. The security and safety of everyone shall be guaranteed in Darfur on the basis of the rule of law, equality and non-discrimination. The Parties shall respect the right to life and security of persons, personal dignity and integrity and ensure that no person be arbitrarily deprived of his/her life, tortured or ill-treated.",
"6. The GoS shall guarantee the right to fair and public trial, as well as the right to resort to justice in all civil, administrative and criminal proceedings on the basis of equality before the courts and tribunals. This guarantee includes the rights set out in Articles 9 and 14 of the International Covenant on Civil and Political Rights.",
"7. The GoS shall take the necessary legal and administrative measures to ensure freedom of opinion, freedom of conscience and religion, freedom of expression, freedom to peaceful assembly and association, and the equal right to form and register political parties, the equal right to vote and the right to participate in public affairs, the right to form and participate in civil society organisations, private sector bodies and trade unions. The GoS shall guarantee the freedom of the press and other media in accordance with international human rights standards as enshrined in the International Covenant on Civil and Political Rights, Universal Declaration of Human Rights and African Charter on Human and Peoples' Rights.",
"8. All Parties shall refrain from threatening citizens for their opinion or preventing them from exercising their equal right to freedom of expression, association and movement and peaceful assembly in Darfur.",
"9. The GoS, in accordance with the provisions of Chapter III, shall promote the general welfare and economic growth in Darfur through provision of adequate basic needs, services and infrastructure, promotion of youth employment, empowerment of women, good governance, public services and allocation of appropriate resources, as well as equal access to natural resources including land for all communities in Darfur, with due respect to prevailing norms and traditions.",
"10. The Parties agree to foster the participation of the people of Darfur in the planning, designing and implementing programmes of early recovery, reconstruction and rehabilitation in Darfur.",
"11. The needs of women, children and vulnerable groups shall be given due attention in the Darfur early recovery, reconstruction, rehabilitation and education policies and programmes.",
"12. The Parties urge the international community to enhance the implementation of economic, social and cultural rights through sustainable programmes of early recovery, reconstruction and rehabilitation throughout Darfur.",
"13. The GoS shall ensure the full establishment and effective functioning of the newly created National Human Rights Commission in compliance with the Paris principles within thirty days of the signing of this Agreement; and facilitate, within three months from the signing of this Agreement, the establishment by the latter, of decentralised, independent, autonomous and resourced Human Rights Sub-Committees for Darfur.",
"14. The National Human Rights Commission and the Human Rights Sub-Committees shall monitor the situation of human rights as well as protect and promote human rights in Darfur. The fight against all forms of discrimination and the protection of economic and social and cultural rights shall be given due attention by both the Commission and the Sub-Committees which shall regularly report on progress made towards the effective implementation of the principle of equality between States and citizens in Sudan.",
"15. The Parties shall cooperate with the Human Rights Sub-Committees for Darfur in the implementation of their mandate. The Sub-Committees shall have access to all relevant documents and information pertaining to human rights including physical access to all detainees throughout Darfur.",
"16. Technical and material assistance may be sought from the United Nations Office of the High Commissioner for Human Rights, the African Commission on Human and Peoples' Rights and other international organisations.",
"17. The Parties shall cooperate with the African Union-United Nations Hybrid Operation in Darfur (UNAMID) in the implementation of its human rights and rule of law mandates.",
"18. Human rights and civil society organisations in Darfur shall be encouraged to contribute to the promotion and protection of human rights through regular monitoring, early warning, advocacy and capacity-building programmes.",
"CHAPTER II — POWER SHARING AND ADMINISTRATIVE STATUS OF DARFUR",
"ARTICLE 2: GENERAL PRINCIPLES OF POWER SHARING",
"Power sharing shall be based on the following principles:",
"19. Sudan is an independent, sovereign and federal republic in which sovereignty is vested in the people and shall be exercised by the State according to the provisions of the Constitution of Sudan.",
"20. Religion, beliefs, traditions and customs are sources of moral strength and inspiration for the Sudanese people. The cultural and ethnic diversity of the Sudanese people is the foundation of national cohesion and shall therefore be promoted, developed and managed according to national criteria that reflect both the national unity and the diversity of the Sudanese people. The Sudanese people share a common heritage and aspirations and accordingly agree to work together.",
"21. Power sharing is vital for the country's unity, security and stability. The devolution of power and the peaceful transfer of executive and legislative powers by democratic means, through free and fair elections, as guarantors of stability shall be the foundation for democratic governance in Sudan.",
"22. Elections at all levels of government in Sudan shall be based on free and direct voting, observed by national and international observers.",
"23. The separation of the legislative, executive and judicial powers at all levels of the federation shall consolidate good governance, accountability, transparency and commitment to the security and welfare of the people.",
"24. The rule of law and the independence of the judiciary shall be guaranteed.",
"25. Citizenship shall be the basis for civic rights and obligations without any discrimination as to the ethnicity, tribe, religion, gender or origin of persons. This does not preclude any law, programme or activity that has as its objective the improvement of conditions of individuals or groups that have been disadvantaged because of their race, ethnicity, colour, or regional or national origin.",
"26. The displacement of citizens within or outside the territory of Sudan shall not preclude the full exercise of their civic rights subject to relevant national and international laws.",
"27. There shall be a federal system of government, with an effective devolution of powers and a clear distribution of responsibilities to ensure fair and equitable participation by the citizens of Sudan in general, and those of Darfur in particular.",
"28. All citizens, including the people of Darfur, shall be fairly and equally represented in the national civil service, public bodies and institutions, commissions, armed forces and other regular forces, at all levels, especially the senior and middle levels.",
"29. Without prejudice to the provisions of the Comprehensive Peace Agreement (CPA) relating to the North-South border and any international agreements in force between the Republic of Sudan and neighbouring countries, the northern boundaries of Darfur shall return to their positions of 1 January 1956.",
"30. The participation of the people of Darfur shall be ensured at all levels of government and in all State institutions, by means of fair power sharing criteria.",
"31. All levels of Government shall ensure the provision of continuing opportunities of general education, training and employment in public service to promote full and equal participation of the people of Darfur in advancing the nation's welfare. In this context, special attention shall be given to women and children in the field of education, capacity building and training. Training centres shall be established in urban and rural areas in collaboration with specialised international and regional organisations.",
"32. All Movements shall take necessary measures to transform themselves into political parties according to the established legal arrangements.",
"33. Without prejudice to paragraph 32, the Movements shall participate at different levels of government according to this Agreement.",
"34. To address the under-representation of women in government institutions and decision-making structures, special measures shall be taken and implemented, according to this Agreement, in order to ensure women's equal and effective participation in decision-making at all levels of government in Darfur.",
"POWER SHARING AT THE NATIONAL LEVEL",
"ARTICLE 3: CRITERIA FOR POWER SHARING",
"35. Power sharing, as provided for in this Agreement, shall respect the principle of proportionality, and Darfur shall fully participate in all forms of political power in Sudan's National Government.",
"36. Affirmative action shall be taken in favour of the people of Darfur to augment their representation in the public and civil service and regular forces. For the long term, special educational training and public employment opportunities shall be provided to enable the people of Darfur to participate fully on an equal basis in advancing the welfare of Sudan.",
"37. The representation of the people of Darfur at the national level shall reflect the proportion of the Darfur population to the total population of Sudan, after the separation of South Sudan.",
"ARTICLE 4: THE NATIONAL EXECUTIVE",
"38. Darfur shall be represented in the National Executive according to the criterion of proportionality.",
"THE PRESIDENCY",
"VICE-PRESIDENT",
"39. A number of Vice-Presidents shall be appointed in a manner that realises political inclusion and representation of all Sudanese including from Darfur. A Vice-President shall have the following responsibilities:",
"i. Member of the National Council of Ministers,",
"ii. Member of the National Security Council,",
"iii. Act as President in the absence of the President and First Vice President in accordance with the order of precedence among Vice Presidents as shall be determined by the President,",
"iv. Any other function or duty that may be assigned to him/her by the President.",
"ASSISTANTS AND ADVISERS TO THE PRESIDENT",
"40. Assistants and Advisers to the President shall be appointed from Darfur according to its proportion of Sudan's population.",
"41. An Assistant to the President shall be appointed from Darfur.",
"THE NATIONAL COUNCIL OF MINISTERS",
"42. Darfur shall be represented in the National Council of Ministers, in accordance to the proportionality criterion. In this regard:",
"i. The five posts of Cabinet Ministers and four posts of Ministers of State currently held by the people of Darfur shall continue to be held by the people of Darfur;",
"ii. Two additional Cabinet Ministers and four Ministers of State shall be nominated by the Movements and appointed by the President.",
"iii. In the event of a change in the composition of the Council of Ministers, the Movements shall retain the same percentage of representation before the change.",
"ARTICLE 5: THE NATIONAL LEGISLATURE",
"43. Darfur shall be represented in the National Legislature in accordance with its proportion of Sudan's population. In this regard:",
"i. Darfur shall retain its 96 seats in the National Legislature until the next national elections.",
"ii. The share of Darfur from any vacant seats in the National Legislature arising from the new demographic configuration of Sudan following the January 9, 2011 referendum in South Sudan shall be filled by the Movements through an arrangement to be agreed upon by the Parties.",
"ARTICLE 6: THE NATIONAL JUDICIARY",
"44. The National Judiciary is an important arm of government. It is vital to maintain its neutrality, impartiality and independence.",
"45. The National Judiciary shall be representative of the people of Sudan including Darfur. The people of Darfur shall be adequately represented in the Judicial Service Commission (JSC). The Commission shall guarantee the adequate representation of the people of Darfur in the national judicial institutions, including the Court of Appeal, the National Supreme Court and the Constitutional Court.",
"46. A Panel of Experts shall be established by the JSC to, as a long-term measure, identify any imbalance in the representation of the people of Darfur and make appropriate recommendations on how the imbalance should be redressed.",
"47. The Constitutional Court has the competence to settle any disputes between levels or organs of government regarding their areas of exclusive, concurrent and residual competence.",
"ARTICLE 7: THE NATIONAL CIVIL SERVICE AND OTHER PUBLIC BODIES",
"48. Darfur shall be represented in the National Civil Service (NSC) and other public bodies according to the principles of proportionality, affirmative action and precedents, in order to rectify identified imbalances and under-representation of the people of Darfur.",
"49. The NCS shall be representative of all the people of Sudan, especially at the senior and middle levels.",
"50. A National Civil Service Commission (NCSC), with proportionate representation from Darfur, shall be created and tasked to address imbalances in the civil service and other public bodies.",
"51. A Panel of Experts with substantial representation from Darfur, including at the more senior levels, shall be established under the NCSC to determine the level of representation of the people of Darfur in the NCS at all levels.",
"52. The Panel shall identify any imbalances that have undermined the representation of the people of Darfur in the NCS, and shall make practical and action-oriented recommendations to address such imbalances and discrepancies in the NCS, including recommending appropriate measures to ensure fair representation for the people of Darfur in the service. The Panel is to be guided in its work by the following:",
"i. Population size based on the 2008 or subsequent census;",
"ii. Affirmative action in recruitment, training and promotion, including measures to promote gender balance.",
"53. The Panel shall complete its work and submit its report no later than six months after the signing of this Agreement, following which the GoS shall take remedial action within a period of six months.",
"54. Pending the outcome of the Panel's report, the GoS shall ensure that the following tasks are carried out:",
"i. Establish and achieve interim targets for the participation of the people of Darfur, especially at middle and senior levels of the NCS including, but not limited to Under-Secretaries, Ambassadors, members of commissions and other senior posts of responsibility. These targets shall be reviewed after the submission of the report of the Panel of Experts, and shall take into consideration the representation of qualified and neutral candidates from the Movements in the NCS;",
"ii. Reserve certain posts in the NCS exclusively for qualified women from Darfur;",
"iii. Formulate policies and execute affirmative action on training and recruitment into the NCS of qualified people from Darfur, taking into account the agreed upon criteria, with the objective of ensuring equitable representation in the NCS, as well as to redress any imbalances;",
"iv. Conduct a review of the adopted policies, three years into their implementation, and setting such new goals and targets as may be deemed necessary.",
"55. The Parties agree that all persons dismissed arbitrarily and unjustly from the NCS, for reasons related to the conflict, shall be reinstated. Such persons shall not lose their seniority and shall receive their accrued entitlements. The NCSC shall receive complaints, determine their merits and demerits and recommend as appropriate.",
"ARTICLE 8: REPRESENTATION OF MOVEMENTS AT THE LEVELS OF GOVERNMENT",
"56. Movements shall be represented at all levels of government on the basis of additional protocols between each Movement and the Government. Such protocols shall be an integral part of this agreement.",
"ARTICLE 9: THE ARMED FORCES AND OTHER REGULAR FORCES",
"57. The Sudan Armed Forces (SAF) shall be regular, professional and non-partisan. The people of Darfur shall be fairly represented at all levels therein. The GoS shall take appropriate measures, in accordance with the recruitment criteria, to rectify any imbalances that may exist in the representation of the people of Darfur at senior levels of the SAF and in the intake into the military academies.",
"58. The Police, Customs, Immigration and Border Guards, the Prisons and Wildlife Services and all other regular forces shall be open to all Sudanese, including the people of Darfur, to reflect the diversity of the Sudanese society.",
"THE ADMINISTRATIVE STATUS OF DARFUR AND POWER SHARING WITHIN DARFUR",
"ARTICLE 10: THE ADMINISTRATIVE STATUS OF DARFUR",
"ESTABLISHMENT OF THE DARFUR REGIONAL AUTHORITY",
"59. The Darfur Regional Authority (DRA) shall be established. The DRA shall serve as the principal instrument for the implementation of this Agreement in collaboration with the GoS and with the support of the international partners. It will also play a central role in enhancing implementation, coordination and promotion of all post-conflict reconstruction and development projects and activities in Darfur, and be responsible for cooperation and coordination among the States of Darfur. The activities of the DRA shall primarily aim to promote:",
"i. Peace and security;",
"ii. Socio-economic development, stability and growth;",
"iii. Justice, reconciliation and healing.",
"60. The DRA shall establish its own rules of procedure, engage necessary staff to carry out its work and establish a budget for that purpose. The prerogatives of the DRA shall not contradict or affect the exclusive powers of the states in Darfur and the Federal Government. However, the DRA shall have oversight responsibility over all matters related to its areas of primary jurisdiction and competence. The DRA shall supervise the conduct of a referendum to decide the administrative status of Darfur, specifically whether to keep the current States system or to have a single region with States.",
"61. Without prejudice to the exclusive competencies of the Darfur States as provided for in the Constitution, the DRA shall oversee the implementation of all the provisions of this Agreement, including those under the jurisdiction of the States of Darfur.",
"62. A Darfur regional security committee shall be established in conformity with the national and state pattern, and its competencies shall be defined.",
"COMPETENCIES OF THE DRA",
"63. The DRA shall have the following primary competencies:",
"i. Implementation of the provisions of this Agreement in collaboration with the GoS;",
"ii. Achieving reconciliation and the consolidation of security and social peace;",
"iii. Post conflict reconstruction and development, as well as the coordination of all engagements of international and regional partners including the Darfur Joint Assessment Mission (DJAM);",
"iv. Health issues, environmental protection and addressing the consequences of climate change;",
"v. Planning, development and conservation of cattle routes and pastures;",
"vi. Creation of durable conditions necessary for voluntary return and resettlement of IDPs and refugees;",
"vii. Planning for land use and the exercise of the relevant rights;",
"viii. Education and cultural development;",
"ix. Planning and statistics;",
"x. Enhancing cooperation and facilitating communication and coordination among the Darfur States;",
"xi. Borrowing money from both national and external institutions in the context of the national macroeconomic policy as approved and guaranteed by the Bank of Sudan;",
"xii. Protection and promotion of human rights;",
"xiii. Enhancing transparency and good governance;",
"xiv. Capacity building;",
"xv. Regional tourism;",
"xvi. Reviewing and recommending the legislative and executive measures towards enhancing inter-state coordination;",
"xvii. Policies for control of small arms and light weapons in Darfur;",
"xviii. Any other tasks the Parties may agree on.",
"CONCURRENT COMPETENCIES",
"64. The DRA shall have concurrent competencies in policy making and coordination on the following:",
"i. Socio-economic development in the Region;",
"ii. Health policies;",
"iii. Financial and economic policies;",
"iv. Urban development and housing planning;",
"v. Development of trade and industry;",
"vi. Relief and humanitarian affairs;",
"vii. Initiation and negotiation, upon the approval of the GoS, of international agreements on tertiary education, culture, sports, humanitarian affairs, loans and grants, trade, investment, technical assistance with foreign governments and NGOs;",
"viii. Women advancement, motherhood and child care;",
"ix. Food and drugs quality control, consumer safety and protection;",
"x. Tertiary education and professional and scientific research institutes;",
"xi. Gender policy;",
"xii. Electricity generation and water and waste management;",
"xiii. Policies on land ownership, use and rights;",
"xiv. Emergency relief and disaster prevention and management, and epidemics control;",
"xv. Media, publications, mass media and radio stations;",
"xvi. Management, protection and conservation of environment;",
"xvii. Sports, cultural heritage and development of youth skills;",
"xviii. Planning Darfur’s natural resources.",
"STRUCTURE AND COMPOSITION",
"65. The DRA shall be composed of two main organs: the DRA Executive Organ and the DRA Council.",
"THE DRA EXECUTIVE ORGAN",
"66. The President of the Republic of Sudan shall appoint from the Movements, the DRA Chairperson, who shall preside over the DRA Executive Organ.",
"67. The DRA Executive Organ shall consist of the following:",
"i. The DRA Chairperson",
"ii. Governors of the States of Darfur - Deputy Chairs",
"iii. Assistant to the Chairperson in charge of DRA Affairs - Member",
"iv. Minister of Finance and Economic Planning - Member",
"v. Minister of Culture, Information and Tourism - Member",
"vi. Minister of Agriculture and Livestock - Member",
"vii. Minister of Reconstruction, Development and Infrastructure - Member",
"viii. Minister of Environment and Natural Resources Development - Member",
"ix. Minister for DRA Council Affairs - Member",
"x. Minister of Social Affairs, Maternity and Childhood Care - Member",
"xi. Minister of Health Affairs - Member",
"xii. Minister of Youth and Sports - Member",
"xiii. Minister of Technology Development and Capacity Building - Member",
"xiv. Commissioner, Voluntary Return and Resettlement Commission - Member",
"xv. Commissioner, Justice, Truth and Reconciliation Commission - Member",
"xvi. Chairperson, Darfur Reconstruction and Development Fund - Member",
"xvii. Commissioner, Land Commission - Member",
"xviii. Commissioner, Darfur Security Arrangements Implementation Commission - Member",
"68. In State Protocol, the DRA Chairperson comes directly after the Vice-Presidents of the Republic and before the Assistants to the President of the Republic.",
"69. The Members of the DRA Executive Organ shall be appointed by the President of the Republic of the Sudan, upon nomination by the DRA Chairperson. The appointed Members shall have the status of State Ministers.",
"70. The DRA Chairperson may hold accountable the DRA Executive Organ members. He/she may also make a recommendation to the President of the Republic to relieve any member appointed in the Executive Organ. The DRA Council may withdraw confidence from any member appointed in the Executive Organ and make a recommendation to the DRA Chairperson to relieve him/her.",
"THE DRA COUNCIL",
"71. The DRA Council made up of 67 members, shall consist of the following:",
"i. Chairperson;",
"ii. Two Vice Chairpersons;",
"iii. Representatives of Movements;",
"iv. Representatives of the State Legislatures.",
"72. The DRA Council may establish specialised committees as it deems necessary.",
"THE COMPETENCIES OF THE DRA COUNCIL",
"73. The DRA Council shall have supervisory, monitoring and organisational competencies. The Council shall examine laws and recommend legislative measures that would promote coordination and cooperation among the States of Darfur. Specifically, the competencies of the Council shall include:",
"i. Examining laws as they relate to the competencies of the DRA;",
"ii. Controlling and evaluating the performance of the DRA;",
"iii. Approving the budget of the DRA;",
"iv. Ensuring proper spending and accountability by the DRA;",
"v. Adopting policies within the competencies of the DRA and in particular, over all trans- boundary issues between/among the States of Darfur;",
"vi. Establishing a Committee for the preparation of a Constitution of the Darfur Region in the event of a majority vote by the people of Darfur for the creation of one region.",
"SETTLEMENT OF DISPUTES",
"74. The DRA shall exercise its functions without prejudice to the constitutional powers and functions of the Governments of the States of Darfur. In the event that the Chairperson of the DRA deems that any action being undertaken by a State Government undermines the implementation of the Agreement, the matter shall be referred to the DRA Council for decision without prejudice to the right of any of the parties to resort to the Constitutional Court for final settlement of the dispute in accordance with the following:",
"i. The National Constitution;",
"ii. The provisions of this Agreement;",
"iii. The need for enhancing security, stability, the people’s welfare and the protection of human rights and fundamental freedoms.",
"THE PERMANENT ADMINISTRATIVE STATUS OF DARFUR",
"75. The permanent administrative status of Darfur shall be determined through a referendum.",
"76. The referendum shall be held simultaneously in the States of Darfur, no sooner than one year after the signing of the Agreement. After one year, the President of the Republic, in agreement with the DRA Chairperson, will establish the Referendum Commission which will conduct the referendum. The outcome of the referendum shall be incorporated in the permanent Constitution. The following options shall be presented:",
"i. The creation of a Darfur Region composed of the States of Darfur;",
"ii. Retention of the status quo of States system. In either case the character of Darfur, as defined by cultural and historical traditions and ties, shall be respected.",
"77. The Darfur Referendum Commission (DRC) established by the Presidency in agreement with the DRA shall organise and conduct the referendum. The National Elections Law shall specify the rules and the procedures governing the referendum. The referendum shall be internationally monitored.",
"78. If a majority of votes cast by the people of Darfur in the referendum determines that a Region of Darfur should be created, the DRA shall form a Constitutional Committee to determine the competencies of the Regional Government of Darfur. The Committee shall present the proposed Constitution to the DRA for adoption within three months of the referendum. The proposed Constitution shall be submitted to the National Legislature for adoption and the President of the Republic of Sudan shall promulgate the Constitution.",
"79. If the outcome of the referendum maintains the status quo, the DRA shall continue in its capacity as the principal instrument for the implementation of this Agreement for a period of four years from the date of the signing of this Agreement.",
"ARTICLE 11: THE NORTHERN BORDERS OF DARFUR",
"80. Without prejudice to the provisions of the Comprehensive Peace Agreement (CPA) relating to the North-South border and any international agreements in force between the Republic of Sudan and neighbouring countries, the northern boundaries of Darfur shall return to their positions as of 1 January 1956.",
"81. The Joint Technical Committee (JTC) shall complete the demarcation exercise within 6 months after the signing of this Agreement.",
"ARTICLE 12: REPRESENTATION AT THE STATE LEVEL",
"82. The Parties agree that the Movements will be represented at all levels of the Darfur State Governments (DSG).",
"GOVERNORS",
"83. In the event that additional States are created, the Movements shall nominate two candidates for the approval of the President of Sudan as Acting Governors (Walis) to run two of the new States in the interim until elections are held.",
"ARTICLE 13: LOCAL GOVERNMENT",
"84. The Parties agree that Local Government is essential to fulfilling the commitment to vest sovereignty in the people, bring power to the grassroots and to ensure the effective participation of the citizens in governance, promote development and make the management of public affairs most cost effective.",
"85. Native Administration shall respect, where appropriate, the established historical and community traditions, customs and practices that have played vital roles in the community.",
"86. The Parties agree that Local Government and the Native Administration have been adversely affected by the conflict in Darfur and shall therefore, be empowered to address the consequences of the conflict, including environmental degradation and desertification.",
"87. The Parties agree that the Movements shall be adequately represented at the local government level before the next local elections, with proportionate representation of women.",
"88. Appropriate measures shall be taken to assist various groups such as youth and women through capacity building and affirmative action.",
"ARTICLE 14: UNIVERSITIES AND STATE-RUN HIGHER EDUCATION INSTITUTIONS",
"89. 15% of admissible seats in national universities shall be allocated for students from Darfur pursuant to the requirements of competition for 5 years.",
"90. The people of Darfur shall be represented in the management of national universities and higher education institutions based on the competence and scientific qualifications specified by the Ministry of Higher Education and Scientific Research.",
"91. 50% of admissible seats in national universities in Darfur shall be allocated for the sons and daughters of Darfur pursuant to the admission committee requirements. Meanwhile a mechanism or committee shall be constituted to examine the conditions of those affected by war to be exempted from university fees for 5 years.",
"92. All students who are the offspring of IDPs and refugees from Darfur States duly admitted by the admission committee to national universities shall be exempted from educational fees for 5 years.",
"93. The admission procedures for the children of IDPs, refugees and those affected by war shall be facilitated in the various localities in the States of Darfur.",
"ARTICLE 15: PERMANENT CONSTITUTION",
"94. The Movements shall be adequately represented in the National Constitutional Review Commission (NCRC), for the drafting of a permanent constitution of the Republic of the Sudan.",
"CHAPTER III - WEALTH SHARING",
"GENERAL PROVISIONS",
"ARTICLE 16: PRINCIPLES FOR WEALTH SHARING",
"Wealth sharing shall be based on the following principles:",
"95. An economy that, among other objectives, ensures poverty mitigation, social justice, equitable distribution of wealth and resources in a manner that ensures balanced and adequate standards of living for all Sudan’s citizens.",
"1. Fiscal federalism and equitable sharing of Sudan’s wealth, to enable each level of government to discharge its legal and constitutional responsibilities and duties to the people of Sudan. The GoS shall make necessary financial transfers for the benefit of Darfur, in accordance with the processes and criteria established in this Agreement.",
"96. All parts of Sudan have the right to just and balanced development with the recognition of an urgent need for the reconstruction of areas of Darfur affected by armed conflict and for giving special attention to displaced people by the creation of a conducive environment enabling them to return voluntarily to their places of origin, or of choice, as set out in Chapter IV of this Agreement.",
"1. Adoption and implementation of integrated development projects for the settlement of nomads, boosting the productivity of this sector, and organisation of the relationship between farmers and herders so as to ensure security, stability and development for all.",
"97. The concept of Sudan’s wealth shall be defined to include natural and human resources, historical and cultural heritage, financial assets including credit and public borrowing, international and domestic, and international aid and grants. It also includes means, institutions, policies and opportunities contributing to wealth generation and distribution as well as material resources, government revenues, institutions’ profits and other resources.",
"1. Wealth constitutes a vital element whose generation and distribution are greatly influenced by government institutions, policies and programmes. Therefore, the fair participation of Darfur in decision-making concerning policies and institutions regulating the generation and distribution of wealth that affect its social and economic interests is fundamental and shall be promoted.",
"101. Human resources development shall constitute a means and objective for economic and social development policies. These policies shall be drawn up and implemented to develop the educational system and to secure access by the population of Darfur, without discrimination on the basis of race or gender, to equal opportunities to education and training within Darfur and the country. Special efforts shall be exerted to eliminate illiteracy among women.",
"102. All Sudanese citizens shall have the following equal rights:",
"i. Freedom from hunger;",
"ii. Sustainable means of living;",
"i. Access to potable water;",
"ii. Access to quality education;",
"iii. Access to health and other social services;",
"iv. Adequate access to public utilities and infrastructures;",
"i. Access to development and job opportunities;",
"ii. Free access to markets;",
"v. Protection of property;",
"vi. Promotion and protection of cultural heritage;",
"iii. Restitution and/or compensation for property lost to those affected by the conflict;",
"i. Review of administrative measures which affect livelihood.",
"103. An effective system for the distribution of wealth, based on transparency and accountability. Affirmative action shall be taken in economic policy to address past disadvantages resulting from long years of underdevelopment and harm caused by the conflict.",
"104. Wealth sharing and distribution shall be based on the premise that all parts of Sudan are entitled to fair and equitable development. Acknowledging that poverty is common in Sudan, in general, and Darfur, in particular, a nation-wide strategy for poverty alleviation shall be adopted within the framework of the country’s development policy to meet the Millennium Development Goals (MDGs).",
"105. Darfur is in urgent and dire need for rehabilitation, reconstruction and development of physical and social infrastructure damaged as a result of the conflict and for the performance of basic government functions and building up civil administration. There should be a comprehensive assessment of such needs as a top priority requiring urgent implementation.",
"106. The rehabilitation and reconstruction of Darfur are considered a priority. For this purpose, measures shall be taken to pay compensation to the population of Darfur, to address grievances resulting from losses in lives and destruction, seizure or theft of properties as well as the subsequent suffering.",
"1. The development of basic economic and social infrastructure is essential and to this end, a programme for accelerated development shall be formulated to bring Darfur to the level of the rest of the country.",
"108. Given that the financial resources and the expertise needed to undertake such a process are beyond Sudan’s capacity, the Parties may seek support from the international community, to fully participate in this initiative, assist in the provision of the necessary finance and expertise and contribute to meeting the needs identified for this purpose.",
"109. Darfur as a whole and in particular those areas in need of construction or reconstruction shall be brought up to the level that will allow them to rapidly reach the MDGs. A programme for development of basic infrastructure shall be formulated to integrate the Darfur economy within the national economy.",
"1. There is a need to establish a special fund for the reconstruction and development of Darfur under this Agreement.",
"ARTICLE 17: POLICIES OF WEALTH SHARING",
"110. The ultimate goal of the national economic policy shall be to reach full employment through, inter alia, sound policies based on promotion of price stability, raising employment levels, promotion of sustainable economic development and eradication of poverty. Accordingly, national, social and economic policies, programmes and plans shall aim at ensuring that:",
"i. Decent and dignified living conditions for all citizens are promoted and improved without discrimination on grounds of race, colour, ethnicity, tribal, regional or local affiliation, gender, religion, language or political or other opinions;",
"i. Citizens participate, through the different levels of government, and non-governmental organisations in the formulation and implementation of social policies required to create and distribute wealth, and in decision-making on revenue management and development;",
"iii. Equitable and just representation in all GoS institutions involved in wealth creation and distribution is guaranteed.",
"112. National economic and social policies shall aim at realising the following objectives:",
"i. Creation and equitable distribution of wealth in all parts of Sudan consistent with the maintenance of macro-economic stability and sustainable development;",
"ii. Ensuring equitable tax collection and usage for the benefit of the entire population;",
"iii. Decentralisation of decision-making process on development issues, service delivery and governance;",
"iv. Provision of safe, secure and open access to markets, goods and services with a view to:",
"a) Securing a conducive environment for foreign investment;",
"b) Acknowledging social and cultural diversity;",
"c) Promoting social care and stability;",
"d) Addressing environmental deterioration;",
"e) Implementing sustainable development principles.",
"113. National economic policies shall be formulated so as to create a conducive and transparent environment for the participation of the domestic and foreign private sectors in the development of Sudan, in general, and Darfur, in particular. National and regional legislation shall be reviewed and amended to attract investments.",
"1. National and regional economic policies shall be geared towards promoting exports from Darfur to national and international markets.",
"2. Financial and monetary policies, especially the banking system, shall be reviewed to meet the needs of sustainable growth and balanced development and to increase access opportunities to international financial markets.",
"114. The Bank of Sudan is committed to drawing up policies and innovative financial methods to encourage financial institutions, commercial banks and specialised government banks (Agricultural Bank, Industrial Development Bank and others) to expand their activities in Darfur.",
"3. Without prejudice to Article 14, policies shall be drawn up and implemented to develop the educational system and secure access by the population of Darfur, without discrimination on the basis of race or gender, to equal opportunities to education and training within the States of Darfur and the country. Special efforts shall be exerted to eliminate illiteracy among women.",
"1. Research and development shall be promoted and fostered, especially the promotion of technology in the fields of agriculture, animal husbandry, small industries, handicrafts, mining, environment and energy with emphasis on renewable energies.",
"4. Policies shall be adopted to ensure the effective protection and rehabilitation of the environment, in particular with regards to the restoration of forests and afforestation, wherever possible.",
"5. Priority shall be given to policies directed to the development and upgrading of the agricultural sector, including livestock, with due respect to the nomadic culture and sustainable natural environment.",
"121. The topmost priority in the implementation of this Agreement shall be to address the needs of the areas affected by the conflict with special attention to the internally displaced persons, returning refugees and conflict affected persons, to provide basic services and security needed to enable them return to their places of origin in safety and dignity. Chapter IV on Compensation, Return of IDPS and Refugees in this Agreement sets out principles and processes for restitution of property and assistance for the full integration of the returnees into their communities, including restoring their rights to land property and compensating them for the damages and losses caused by the conflict.",
"122. Special focus shall be put on the concerns of Darfur women, who are involved in all areas of activity and constitute the bulk of the labour force, especially in the agricultural and animal resource sectors, in addition to being heads of households particularly among refugees, internally displaced persons and migrants and to the fact that women’s situation in all these areas has been worsened by the conflict, which has had a particularly deleterious impact on them and children, mainly on their means of livelihood. Concrete measures shall be taken to address their concerns, as well as to ensure their equal and effective participation in commissions, committees and bodies established pursuant to this Agreement.",
"123. It is highly important to recognise traditional and customary rights, including ‘hawakeer’ and land historical rights, on a sound and sustainable basis to secure development and a means of livelihood in Darfur. This Agreement aims to establish the mechanisms needed for the recognition and protection of such rights.",
"124. A mechanism shall be set up to define the processes of ensuring the utilisation and monitoring of lands and other natural resources in a sustainable manner. The said mechanism shall ensure consultation of all citizens affected by land development or natural resources utilisation, and take their views into consideration when such development process is implemented. Persons whose properties have been damaged or whose lives have been affected as a result of land or natural resources development shall be entitled to adequate and prompt compensation.",
"1. The land management structures and institutions shall be developed and legally supported to promote sustainable development and address environmental degradation issues according to the Land Use Mapping Database, taking into account historical experiences in this respect.",
"1. Darfur is geographically remote from the centre, lacks infrastructure including roads, railways, bridges and dams, and therefore requires effective development and investment, which shall be facilitated by reforms, legal exemptions and incentives including:",
"i. Full exemption of customs duties and other fees for imported materials for construction and development in Darfur;",
"ii. The GoS shall bear custom duties as well as other duties and fees payable on materials imported for national development projects in Darfur and projects funded by the GoS or by way of loans;",
"iii. The Investment Promotion Law shall be amended to provide for more incentive privileges for investment by foreign and local companies in the Darfur States, such as granting these companies exemption from taxes on business profits.",
"RECONSTRUCTION AND DEVELOPMENT OF DARFUR",
"ARTICLE 18: GENERAL PROVISIONS",
"127. Reconstruction and development efforts in Darfur shall be backed through substantial, guaranteed and regular monetary transfers by the Fiscal and Financial Allocation and Monitoring Commission (FFAMC) as detailed in Article 25 as well as through other national resources and foreign aid.",
"1. Darfur is in need of an interim period to move quickly from conflict to peace, therefore, an enabling environment should be created to move from the humanitarian assistance phase to the reconstruction, economic recovery and development phase.",
"128. In support of this interim period referred to in paragraph 128 above, and in order to realise the above-mentioned objectives, Darfur needs resources, which are considerably beyond its ability to mobilise at the local economic level in the short term. Therefore, it shall be assisted in its efforts through secure and regular financial transfers by the National Revenue Fund (NRF) and other national resources in addition to foreign aid.",
"ARTICLE 19: MICRO-FINANCE SYSTEM",
"129. A micro-finance system (MFS) shall be established in Darfur to provide the required funding for income generating activities that have the potential to grow, through small loans accessible to individuals and groups without the collateral requirements applicable in the traditional banking system.",
"1. The MFS shall create a number of non-traditional collaterals to provide easy access for the targeted population, such as small producers, and particularly returnees receiving such financing.",
"2. Beneficiaries shall be trained to build their productive capacity through government funding in the areas of administration and enhancement of technical skills in their respective fields.",
"133. The MFS shall give particular importance to women’s income generating activities especially those of widows.",
"134. The GoS shall contribute an amount of US $100,000,000 (US dollars one hundred million) representing the capital of the MFS.",
"135. The Government shall encourage banks working in micro-financing to give priority to Darfur.",
"136. The Government, in collaboration with the DRA, shall draw up the statute and rules of procedure of the MFS in a manner that guarantees its independence, with the participation of specialists in the field of micro-financing.",
"1. The MFS may receive support from organisations specialised in the field of micro-financing and others, without conditionalities.",
"ARTICLE 20: SOCIAL SERVICES",
"137. In addition to the transfers from the FFAMC, the GoS shall contribute an amount of US $ 225,000,000 (US dollars two hundred and twenty-five million) payable to the Darfur States, over a period of three years in three equal instalments, to support social service activities.",
"ARTICLE 21: THE DARFUR RECONSTRUCTION AND DEVELOPMENT FUND",
"138. Necessary measures shall be taken within its structural and operational frameworks to reform, restructure and rectify the imbalances in the Darfur Reconstruction and Development Fund (DRDF), which shall be operational until integrated in a Multi-Donor Trust Fund to be established following the Darfur Joint Assessment Mission (DJAM) as stipulated in Article 32.",
"139. The DRDF shall operate under the supervision of a committee composed of representatives from the GoS, the DRA and the Governments of the Darfur States.",
"141. The functions of the Fund include, but are not limited to, the following tasks:",
"i. Financing return and resettlement projects;",
"ii. Redressing development imbalances, especially in the fields of infrastructure and the realisation of the MDGs;",
"iii. Establishing financing mechanisms to meet the special needs of women, children and orphans. Such mechanisms shall include, but not be limited to, the provision of loans, investment opportunities, strengthening of productive capacities, production inputs and capacity building for women.",
"THE NATIONAL GOVERNMENT ALLOCATION FOR THE DRDF",
"142. In addition to the share of Darfur in the transfers made by the FFAMC, the GoS shall allocate US $2,000,000,000 (US dollars two billion) from the NRF. An amount of US $200,000,000 (US dollars two hundred million) of the aforementioned amount shall be deposited immediately after the signing of this Agreement as seed money in the DRDF. The GoS shall pay the balance as follows:",
"i. An amount of US $300,000,000 (US dollars three hundred million) in the year following the signing of this Agreement;",
"ii. An amount of US $300,000,000 (US dollars three hundred million) in the third year;",
"i. An amount of US $300,000,000 (US dollars three hundred million) in the fourth year;",
"ii. An amount of US $400,000,000 (US dollars four hundred million) in the fifth year;",
"iii. An amount of US $500,000,000 (US dollars five hundred million) in the sixth year.",
"FISCAL FEDERALISM AND INTERGOVERNMENTAL RELATIONS",
"ARTICLE 22: IDENTIFYING FINANCIAL RESPONSIBILITIES AT THE NATIONAL AND STATES LEVELS",
"143. National revenues shall be allocated to the Federal Government and the State Governments in proportion to their constitutional responsibilities in order to ensure the effectiveness of federal governance.",
"144. Responsibilities concerning expenditures and revenues shall be distributed at the national and State levels of governance in accordance with the following principles:",
"i. Assignment of expenditure function to the level of government whose jurisdiction closely reflects the geographical area served by that function;",
"ii. The delivery of a particular service (expenditure assignment) may be carried out exclusively by a given level of government, or concurrently by two or more levels;",
"i. The DSG shall endeavour to pay for the services delivered to people living in a given geographical area from revenues raised in the said area;",
"iii. The DSG shall have the right to identify the revenue base structure, tariffs levels or tax rates collected without intervention by the Federal Government.",
"ARTICLE 23: ASSIGNMENT OF REVENUES RULES AND BASES",
"REVENUES RULES",
"145. All revenues collected at the national level for or by the Federal Government, including revenues of all Ministries, covering those of gold, oil, administrations or the Government’s share of the profits of any institution or company or any other entity, whether resulting from commercial, investment or other activity, shall be paid into the account of the NRF administered by the National Treasury. This fund covers all accounts, including sub accounts into which amounts due to the Federal Government are collected, reported and deposited.",
"146. At the end of each fiscal year, all levels of governance and their subsidiaries shall make public, through legislative bodies, a comprehensive report detailing all tax and non-tax revenues as well as all expenditures (annual financial report) to ensure transparency and accountability by the legislature.",
"REVENUES BASES",
"147. The Federal Government may legislate to collect revenues or taxes from the following sources:",
"i. National personal income tax;",
"ii. Corporate or business profits tax;",
"iii. Customs duties and imports taxes;",
"iv. Seaports and airports revenues;",
"v. Service charges;",
"vi. Oil, mining and electricity revenues;",
"i. Government institutions and projects revenues;",
"i. Value added tax and taxes on whole/retail sales and other taxes on goods and services;",
"vii. Excise duties;",
"viii. Loans, including from the Central Bank of Sudan and from citizens;",
"ix. Grants and foreign financial aid;",
"ii. Any other taxes set by the National Legislature.",
"148. The DSG shall be entitled to raise and administer the following:",
"i. State land and property taxes and royalties;",
"ii. Service charges for state services;",
"iii. License fees;",
"iv. Darfur States’ personal income tax;",
"v. The States’ share of oil revenues and other natural resources produced in the Darfur States;",
"vi. Darfur States projects, institutions and natural reserves;",
"i. Stamp duties;",
"i. Agricultural taxes;",
"vii. Tourism taxes;",
"i. Foreign grants and aid;",
"ii. Excise taxes;",
"ii. Other regional taxes enacted by State legislations;",
"iii. Local and foreign loans and borrowing, in accordance with their creditworthiness, within the framework of the national macroeconomic policy, approved and guaranteed by the Central Bank;",
"iv. Livestock tax;",
"v. Subsidies provided by the GoS and foreign financial aid;",
"vi. Allocations from the NRF;",
"xvii. Revenues from border trade taxes according to the Federal Legislation.",
"149. The Darfur States may conclude agreements to enhance resource mobilisation and management within their jurisdiction and powers.",
"ARTICLE 24: ZAKAT CHAMBER",
"150. All Zakat money collected in Darfur shall be spent within Darfur.",
"151. Notwithstanding the provisions in paragraph 150, the Central Zakat Chamber, under Article 38(A) of the 2001 Zakat Law may provide the maximum possible necessary funding and implement programmes and projects in favour of poor families, particularly displaced persons and refugees, in various services, such as digging wells, providing medical devices and equipment, education and other productive projects in line with the poverty level in Darfur.",
"ARTICLE 25: INTERGOVERNMENTAL FINANCIAL TRANSFERS",
"152. The FFAMC shall be established by law. Also, a team of experts shall be appointed by law and commissioned to determine the criteria of the transfers from the NRF to the States of Darfur. A representative of the DRA shall be member of the FFAMC.",
"153. To accomplish financial equalisation, the FFAMC shall ensure that the interests and views of Darfur States are reflected, taking into account the interests of other State Governments. The Commission shall be structured to ensure the following:",
"i. Optimal use and sharing of resources vertically and horizontally;",
"ii. Transparency in the allocation of funds to the States of Darfur;",
"iii. Monitoring the National Treasury’s action in making swift transfer of the budget grants. The Commission shall submit reports to the Legislature.",
"154. The Shares shall be directly transferred from the FFAMC to the States of Darfur using the following criteria:",
"i. Population according to the 2008 census;",
"ii. Development indicators (Health, Education, Infrastructure);",
"i. Effort exerted by the State in collecting revenues;",
"ii. Impact of the conflict;",
"iii. Geographical size.",
"155. A team of experts shall specify the weight of each criterion in the form of a percentage to serve as basis for calculating the share of each and every State.",
"156. The FFAMC shall implement a transparent process whereby the timely payment of transfers to Darfur States is monitored while ensuring that the Federal Government does not retain Darfur States’ funds or those of any other sub-government level.",
"1. The Darfur States may file a suit with the Constitutional Court in the event that the National Treasury retains funds allocated to the Darfur States or does not allocate the funds set for them.",
"ARTICLE 26: TRANSFER OF FUNDS TO DRA",
"1. The GoS shall finance all the activities of the DRA. Funds for capital expenditure shall be sourced from the DRDF, while the overhead cost aspect of the budget shall be funded directly from the National budget after its adoption by the National Legislature.",
"157. There shall be transparency in the allocation of funds to the DRA.",
"158. The DRA may file a suit with the Constitutional Court in the event that the Federal Government delays or withholds the transfers of funds allocated to it.",
"ARTICLE 27: FISCAL ENTITLEMENTS OF DARFUR",
"161. Within the context of the federal system, Darfur States shall be entitled to:",
"i. Transfers of tax revenues from the National Treasury collected in accordance with Article 25;",
"i. Tax revenues collected in accordance with Article 23;",
"ii. Revenues of the DRDF;",
"ii. Revenues from the Multi-Donor Trust Fund.",
"162. A system of grants for specific purposes shall be established, with a view to realising the MDGs, alleviating poverty and realising gender equality.",
"ARTICLE 28: EXTERNAL SOURCES OF FINANCING",
"163. The DRA and the Darfur States can get loans from national and international financial markets upon approval and guarantee of the Central Bank of Sudan.",
"164. The DRA and the Darfur States shall submit to the Federal Government, reports on all amounts received from external financing and aid sources.",
"ARTICLE 29: CAPACITY BUILDING",
"1. Upon the signing of this Agreement, the GoS shall assist the Darfur States and the DRA to work out and implement an advanced and comprehensive capacity building programme in the fields of public finance and fiscal federalism.",
"ARTICLE 30: MONITORING AND ACCOUNTABILITY",
"1. The DRA and the Darfur States shall prepare annual budgets based on the general financial statistics, which are submitted to the DRA Council and the States Legislatures respectively, for approval or amendment. No modification or addition of any new allocation shall be made without the approval of the DRA Council or, as the case may be, the Darfur Legislatures. Comprehensive interim reports shall also be prepared on the total revenues and expenditures. The method of preparing such reports shall be set in accordance with the criteria of transparency and accountability at the national level, on the basis of the financial laws and the guidelines by the National Auditor Chamber; and comprehensive reports should be prepared in compliance with international standard.",
"167. Institutions in charge of monitoring this process include the following:",
"i. The FFAMC;",
"ii. The National Auditor General’s Chamber and States’ Auditors General Offices;",
"i. The DRA Council;",
"ii. The Darfur State Legislatures.",
"ARTICLE 31: DEVELOPMENT POLICIES FOR DARFUR",
"168. National development policy shall be based on the right of all parts of Sudan to equitable and balanced development and giving special priority to the more deprived and conflict affected areas of the country.",
"1. Within this framework, Darfur shall aim at realising short-term and medium-term objectives in the fields of rehabilitation, reconstruction, construction and development taking into consideration urgent needs and the need to work out the basis for long-term development. Special attention shall be given to programmes and projects which will enable Darfur to speed up the transition from relief to development.",
"170. The main objectives of the post-conflict economic recovery and development in Darfur are the following:",
"i. Reconstruction and development;",
"ii. Reinvigoration of Darfur’s economy to enable it to integrate into the national economy and promote trade between the Darfur States and neighbouring countries;",
"iii. Rehabilitation of basic social services such as education, health and water supplies;",
"iv. Realisation of sustainable economic growth, equitable development, social stability, improvement of access to social services;",
"v. Combating poverty and raising economic capacity and awareness;",
"i. Creation of adequate employment opportunities;",
"i. Development of individual and institutional capacities in good governance with emphasis on accountability and transparency;",
"ii. Development of physical infrastructure to improve access for the Darfur population to principal markets in Darfur, the rest of Sudan and in neighbouring countries and commitment to the implementation of the Western Ingaz Highway with all branches within two years in accordance with international standards;",
"ix. Establishment of a stable and transparent legal framework to encourage private, local, national and foreign investments;",
"x. Development of technical and analytical capacities in major fields such as economic management, financial management and procurement;",
"xi. Investment in education and scientific research to improve and develop human resources;",
"xii. Promotion of the production of alternative energy sources and addressing the causes of environmental degradation.",
"171. The Parties recognise that Darfur, being historically deprived and having severely suffered from destruction caused by the conflict, is in dire need to:",
"i. Restore peace, security, and social stability;",
"ii. Carry out government functions more effectively;",
"i. Strengthen the civil administration;",
"ii. Rehabilitate, reconstruct and construct physical, institutional and social infrastructures in post-conflict Darfur;",
"iii. Implement a comprehensive structural reform of universities and institutions in Darfur to enable them to undertake their mission;",
"iii. Establish universities and national and branches of foreign scientific and technical colleges to transform Darfur into a developed society in terms of technology, industry, agriculture and trade.",
"172. Competition over pasture and water between herders and farmers is a serious problem in Darfur which shall be addressed in a comprehensive way by:",
"i. Developing policies and projects to curb environmental degradation, raise the agricultural production and improve livestock production;",
"ii. Gradually shifting emphasis from quantity to quality in livestock production and animal husbandry;",
"i. Developing a framework for equitable access by various users of land and water resources;",
"ii. Developing policies and projects aimed to establish agricultural, industrial and technological economy in the States;",
"v. Developing research capacities in these areas.",
"173. Neglect of the traditional rain-fed sector on which the Sudanese people in general, and the people of Darfur in particular depend, has led to increasing food imports, rural-urban migration and the spread of hunger and disputes. Therefore, policies and projects should be formulated and directed towards promoting traditional rain-fed agriculture, which shall be considered as a major national development priority to accelerate the attainment of the MDGs.",
"174. The following development projects, which have been neglected, shall be reviewed in order to assess their feasibility and, if found feasible, revived:",
"i. West Savannah Development Project;",
"i. Jebel Marra Rural Development Project;",
"ii. Jebel Marra Thermal Energy Project;",
"iii. Habeela Agricultural Project;",
"i. Ghazalah Jawazat Research Station;",
"ii. Abu Hamra Agricultural Project;",
"iii. Saq Alnaam Agricultural Project;",
"iv. Urn Bayada Project;",
"v. Wadi Hawar Water Valley Basin;",
"vi. Combating Drought and Desertification Project;",
"vii. Popular Housing Project;",
"viii. Agricultural Research Projects;",
"ix. Sugar Production Projects;",
"x. Alradoom, Wadi Hawar and other Wildlife Reserves;",
"xi. Urn Ajaja Project (Bahar Alarab Development Project);",
"xii. Wadi Alatroon Development Project",
"175. All government levels shall exert maximum efforts to bring human development levels in Darfur up to national levels in the context of endeavours to accelerate the attainment of the MDGs.",
"ARTICLE 32: DARFUR JOINT ASSESSMENT MISSION",
"1. The Darfur Joint Assessment Mission (DJAM) shall be established to identify and assess the needs for economic recovery, development and poverty eradication in the aftermath of the conflict in Darfur. Such needs shall be presented at a donors’ conference to be convened three months after the signing of this Agreement.",
"177. The Parties shall request the World Bank (WB), the DDB, the United Nations (UN), and the African Development Bank (ADB) to lead the Joint Assessment Mission’s activities, in cooperation with the Islamic Development Bank (IDB), the African Union (AU), the League of Arab States (LAS), the Organisation of the Islamic Conference (OIC), Arab Funds, the European Union (EU), the United States of America (USA), the State of Qatar, and other interested countries and regional and international economic organisations.",
"178. Since the financial resources and expertise required to undertake such an operation are beyond Sudan’s capacity, the Parties request the international community to urgently and fully participate in this initiative and assist in the provision of necessary resources and expertise and partake in meeting the needs set for this purpose through the establishment of a Multi-Donor Trust Fund. The operational procedures of the Fund shall be determined by a supervisory body to be established by the Donors and the GoS.",
"1. The Parties shall be represented in the supervisory and technical committees of the DJAM.",
"1. Darfur development needs in social areas and infrastructure shall be assessed and the resources required for addressing those needs within six years shall be determined by the DJAM.",
"DEVELOPMENT AND MANAGEMENT OF LANDS, HAWAKEER AND NATURAL RESOURCES",
"ARTICLE 33: GENERAL PRINCIPLES",
"2. The boundaries of the land referred to in this section shall be those of Darfur mentioned in paragraph 80 of Chapter II of this Agreement.",
"179. Since the people of Darfur did not benefit from the 1925 Land Settlement and Registration Ordinance, priority shall be given to modifying the laws to include rights to land and its use (hawakeer) in conformity with customs, traditions and heritage on land ownership, traditional livestock routes and access opportunities to water sources.",
"2. Where lands leased under the investment laws and the lessees did not meet the conditions under which those lands were leased to them, the lands in question shall return to their status quo ante.",
"3. Without prejudice to the provisions of this Agreement, the appropriate or identified government level shall exercise the rights related to the lands owned by the GoS in Darfur.",
"180. All displaced persons and other persons arbitrarily or unlawfully deprived of their lawful possessions or rights to land shall have their possession and rights restored and shall be compensated adequately and promptly for the losses or damages sustained during the period of deprivation.",
"186. Mechanisms shall be established to ensure the sustainable management and use of lands and other natural resources. All citizens affected by land development and natural resources utilisation shall be consulted and their views taken into consideration. Individuals whose property or means of livelihood have been adversely affected because of the development and exploitation of natural resources shall be entitled to adequate and prompt compensation.",
"ARTICLE 34: LAND TRADITIONAL AND HISTORICAL RIGHTS",
"187. Land ownership regulation and use and exercise of land rights are concurrent powers which shall be exercised at the appropriate government level.",
"1. Tribal traditional land ownership rights (hawakeer), historical rights to land, traditional and customary livestock routes and access to water sources shall be recognised and protected. All relevant levels of Government shall initiate and complete a process to progressively amend relevant laws to incorporate customary laws, in accordance with international trends and practices. To protect the traditional heritage, the closed traditional and customary livestock routes shall be re-opened, whenever possible, or alternative routes shall be demarcated.",
"188. Land laws amended in accordance with paragraph 188 shall recognise and protect the historical, traditional and customary rights to land.",
"189. No individual or group of individuals shall be deprived of any traditional or historical rights to land or of the right to have access to water sources without consulting and compensating them in a prompt and adequate manner.",
"190. Without prejudice to the jurisdiction of the courts, the Darfur Land Commission (DLC) shall address land traditional and historical rights, review land management and use and natural resources development.",
"ARTICLE 35: LOCAL COMMUNITIES’ LANDS",
"2. The Federal and State Governments may develop communities’ lands in good-faith consultation with the participation of the local communities that have rights to those lands. The community shall be entitled to receive an equitable share of the revenue accruing from the development of those lands; alternatively the affected community shall be compensated in kind and/or in cash.",
"191. The Federal and State Governments may act on or develop any land belonging to the local communities provided that such an action or development is in conformity with the Development Plan set in accordance with the Land Use Mapping Database established in accordance with Article 38.",
"ARTICLE 36: LAND ALLOTMENT",
"192. Individuals in the local communities may register their customarily owned land as their own. The registration shall be free, if possible, and, if not, shall be for a reduced fee and shall be coupled with facilitated procedures and campaigns for raising public awareness.",
"ARTICLE 37: LAND PLANNING AND SUSTAINABLE DEVELOPMENT",
"195. Land planning and sustainable development shall be subject to the following:",
"i. Recognition of traditional rights (including hawakeer) and historical rights to land to ensure the safe and sustainable basis to livelihood and development in Darfur;",
"ii. Development of sustainable land system and resolution of disputes resulting from competition in land use;",
"iii. Land planning in Darfur shall be based on the outcomes of the Land Use Mapping Database in terms of the following usage:",
"a) Housing;",
"b) Agriculture;",
"c) Grazing;",
"d) Mining;",
"e) Industrial development, including foreign investments;",
"f) Natural reserves;",
"g) Seasonal transhumance (routes, pastures etc...);",
"h) Forests reserves and afforestation.",
"ARTICLE 38: THE DARFUR LAND COMMISSION",
"196. The Darfur Land Commission shall be established. The DLC Council shall be composed of representatives of the Federal Government, the DRA, DSG, Native Administration and local experts. The membership shall reflect land use interests in Darfur. In making recommendations on land planning and development, the Council shall consult individuals whose rights are affected.",
"1. The DLC shall develop the Darfur States Land Use Mapping Database and shall submit it as a recommendation to the Darfur State Legislatures for their adoption and then to the DRA Council for final approval. This Database shall be reviewed every five years.",
"198. The DLC shall apply a system of planning for the use and development of land and natural resources that is aimed at the following:",
"i. Sound management, development and protection of the natural resources, including agricultural lands, protected natural reserves, forests and minerals, waters, towns and villages with a view to promoting the local communities’ social and economic welfare and the establishment and the preservation of a better environment;",
"ii. Development and coordination of the organised economic exploitation of lands and natural resources;",
"iii. Sustainable development;",
"i. Protection of cultural heritage;",
"ii. Protection, provision, and coordination of telecommunication, transport and other relevant services;",
"iv. Allocation of land for public purposes;",
"v. Provision and coordination of social services and facilities;",
"i. Environmental protection, including the protection of flora and fauna, endangered species and natural reserves;",
"ii. Reclamation of eroded land and development of programmes to combat desertification, including reforestation and afforestation;",
"vi. Enhancement of shared responsibility for environmental planning among various government levels in Darfur;",
"vii. Creation of opportunities for public participation in environmental planning and assessment;",
"i. Creation of opportunities for consultation with all persons affected by land and natural resources development plans;",
"ii. Approval of adequate and prompt compensation for individuals whose means of livelihood or properties are adversely affected as a result of decisions related to land and natural resources development and planning.",
"199. Local communities or individuals whose current land use or means of livelihood are adversely affected as a result of the Land Use Mapping Database shall have the right to be promptly and adequately compensated.",
"200. The DLC shall:",
"i. Be independent and impartial;",
"ii. Develop its rules of procedure and summit them to the DRA for approval;",
"i. Have access to all land records;",
"ii. Discharge its functions expeditiously;",
"iii. Make all appropriate arrangements to ensure full and effective participation by all affected individuals and local communities in its procedures;",
"iv. Submit an annual report to the DRA and the Darfur State Governments on its activities in its annual budget;",
"i. Ensure that the membership, recruitment and conditions of service in the Commission, in accordance with law;",
"ii. Take into consideration traditional and historical rights to land.",
"201. Without prejudice to the jurisdiction of courts, the DLC shall perform the following additional functions:",
"i. Arbitration on land rights disputes;",
"ii. Submission of recommendations to the appropriate government level on the recognition of traditional and historical rights to land;",
"i. Assessment of appropriate compensation in connection with the applications submitted to it. Such compensation may not necessarily be limited to financial compensation;",
"ii. Advising the different levels of government on how to coordinate policies on projects of the Darfur State Governments affecting land or land rights, taking into consideration the Land Use Mapping Database;",
"iii. Establishment and maintenance of records on land use;",
"iv. Undertaking research on land ownership and use;",
"vii. Reviewing the current mechanisms for the regulation of land use and making recommendations to the competent authorities on necessary changes, including the restoration of land rights to their owners or payment of compensation to them.",
"202. While performing its arbitration functions, the DLC shall have the authority to receive applications and may, with the agreement of parties in dispute, apply customary and traditional laws or principles of justice and equity. The arbitration decision shall be binding upon the parties in dispute and it may be enforced by a competent court.",
"203. Without prejudice to the jurisdiction of the courts, parties to land disputes shall be encouraged to exhaust traditional methods of dispute settlement, including arbitration, before going to court.",
"204. The DLC shall respect the decisions made by institutions or entities authorised in Chapter IV of this Agreement to make decisions on lands owned by displaced persons, refugees and other conflict affected individuals.",
"205. The National Land Commission (NLC) and the DLC shall cooperate and coordinate their activities so as to use their resources effectively. Without placing restrictions on coordination issues, the NLC and the DLC shall agree on the following:",
"i. Sharing information and decisions;",
"ii. Delegating certain functions of the NLC, including data collection and research, to the DLC;",
"iii. Removing any contradiction between the results and recommendations made by the two Commissions;",
"206. The DLC shall be a permanent member of the NLC.",
"207. In the event of a conflict between the results and recommendations of the NLC and those of the DLC, the two Commissions shall endeavour to reconcile their positions. Failing this, the issue shall be referred to the Constitutional Court for decision.",
"ARTICLE 39: MAJOR DEVELOPMENT PROJECTS",
"1. The DRA Council and the Darfur States Legislative Councils may, in exceptional circumstances, empower the DSG to enter into agreements to implement major development projects which may not be in conformity with any plan for land use or planning legislation. However, DSG may seek to obtain this mandate only if the proposed agreement contains detailed provisions explaining the following:",
"i. A clear definition of the proposed project;",
"ii. The procedures to be adopted, in accordance with the agreement, to protect the environment;",
"i. The steps to be taken to undertake consultations with all those communities and individuals whose interests are adversely affected by the proposed development project;",
"iii. The benefits expected for local communities and the Darfur population;",
"v. The compensation to be made to communities and individuals whose properties or means of livelihood are adversely affected by the agreement, with clarification of whether they have consented to the compensation specified.",
"The Land Use Mapping Database or the legislation on planning shall be amended accordingly.",
"ARTICLE 40: NATURAL RESOURCES",
"209. In planning for the management and development of natural resources, the DLC shall be committed to sustainable utilisation of such resources taking into account the following:",
"i. The national interest and the public good;",
"ii. The interest of the States and areas concerned;",
"i. The interests of the local populations in areas concerned;",
"ii. The national and Darfur States environmental policies, biodiversity conservation guidelines and cultural heritage protection principles;",
"iii. Rights to land, including customary and traditional rights;",
"iv. Internationally recognised standards and environmental friendly methods in mining and natural resources development.",
"210. Consultations shall be held with the land right holders and their views shall be taken into consideration when decisions are made in relation to the exploitation of subsoil resources in areas in which they have rights.",
"211. Individuals holding land rights shall be entitled to compensation on adequate and prompt basis in the event their land property is expropriated or exploited to develop natural resources.",
"1. The GoS shall enable the people of Darfur to be represented through their State Governments in all phases of decision making relating to the development and exploitation of natural resources in Darfur. This shall include the procedures for negotiating, concluding and managing contracts. The benefits to local communities affected by the development shall be taken into account.",
"ARTICLE 41: MANAGEMENT AND DEVELOPMENT OF THE PETROLEUM SECTOR",
"213. The management and development of the petroleum sector shall be based, inter alia, on the following:",
"i. The optimal exploitation of oil as a non-renewable natural resource in accordance with:",
"a) The national interest and the public good;",
"b) The interest of the States concerned;",
"c) The interest of the population in the areas concerned;",
"d) The national and Darfur states environment policies, biodiversity conservation guidelines, cultural heritage protection principles, including the adoption and observation of international technical and safety standards.",
"ii. Enabling the appropriate levels of government in Darfur, in cooperation with the relevant local communities, to participate in the development and management of oil at different stages;",
"iii. Creating a conducive environment to attract foreign direct investment in Darfur;",
"iv. Undertaking consultations with land rights holders in Darfur and taking into account their opinions when making investment decisions on oil resources in the relevant areas;",
"v. Individuals holding land rights shall be entitled to compensation on an adequate and basis in the event their land property is expropriated or exploited to develop oil resource.",
"214. The State in which investment in the oil sector will take place shall be represented by three non‑permanent members in the National Petroleum Commission in order to participate in the negotiation and the conclusion of the relevant contracts, and make sure that the provisions of those contracts are consistent with the principles, policies and directives of the Commission.",
"1. 2% of oil revenue shall be allocated to the oil-producing State. That State may negotiate a higher percentage.",
"CHAPTER IV - COMPENSATION, RETURN OF INTERNALLY DISPLACED PERSONS AND REFUGEES",
"ARTICLE 42: GENERAL PRINCIPLES FOR COMPENSATION AND THE RETURN OF INTERNALLY DISPLACED PERSONS AND REFUGEES",
"Durable solutions for internally displaced persons (IDPs) and refugees shall be based on the following principles:",
"216. The commitment of the Parties to the obligations concerning internally displaced persons and refugees set forth in the Framework Agreements between the Government of Sudan and the Justice and Equality Movement, 23 February 2010, and the Framework Agreement between the Government of Sudan and the Liberation and Justice Movement, 18 March 2010, specifically, the right of internally displaced persons and refugees to return voluntarily to their homes of origin and the responsibilities of the Parties to create the conditions for a conducive environment enabling voluntary return and to assist this return in accordance with a clear-cut strategy.",
"217. Respect for, protection and fulfilment of the rights of IDPs, refugees and all victims of conflict in accordance with international human rights law, international humanitarian law, international refugee law and all other international and regional instruments to which Sudan is a Party.",
"218. IDPs, returning refugees and all victims of conflict shall enjoy, in full equality, the same rights and freedoms as do other persons in Sudan under national law and international legal instruments to which Sudan is party.",
"219. The protection and assistance of IDPs, refugees and all victims of conflict with special needs, including separated and unaccompanied children, female heads of household, expectant mothers, mothers with young children, the elderly, and persons with disabilities.",
"1. The adoption by the Parties of measures to ensure that IDPs, refugees and all other victims of conflict live in conditions of safety and dignity, and in full respect for their equal rights, in all phases of displacement, including prevention of all forms of forced displacement, protection and assistance during displacement and during voluntary return, resettlement and reintegration. Ensuring that humanitarian assistance is delivered to the affected people, especially women and children, undertaking to address the situation of the disabled among them and provide them with health and social services.",
"220. The commitment of the Parties to establish mechanisms to promote, enable and facilitate the active participation of IDPs, returning refugees, victims of conflict and civil society in the planning and implementation of strategies, policies and programmes related to addressing the humanitarian and human rights impact of the conflict and to the return process. Special measures shall be taken to ensure the participation of women and youth.",
"222. The commitment of the Parties to establish fast, safe and unrestricted access of international humanitarian, development and human rights organizations, as well as national and international non-governmental organizations, and international peacekeeping mission participating in the support, protection, return, resettlement and reintegration of IDPs, refugees and victims of conflict.",
"223. The Parties acknowledge the leading humanitarian role of the specialized international organisations commissioned by the United Nations Secretary-General to coordinate among all the bodies assisting with protection, shelter, camp management in situations of internal displacement and protection, assistance and solutions for refugees.",
"224. Fulfilment by the Parties of their obligations under the Principles and Charter of the United Nations, and the Constitutive Act of the AU, the Community of Sahel-Saharan States, and other relevant international and regional organizations acting in the area of peaceful settlement of dispute, to prevent and avoid conditions that force persons to be displaced. The Parties shall provide assistance to IDPs, returning refugees and all victims of conflict. The Parties agree to observe the Guiding Principles on Internal Displacement endorsed by the United Nations World Summit Outcome Document of 2005.",
"ARTICLE 43: COMPENSATION FOR HARM AND LOSSES",
"225. All victims of conflict, including IDPs and refugees, shall have the right to financial compensation for the harm and losses they have incurred as a result of the conflict, including loss of lives, physical injury, mental and emotional suffering and economic losses.",
"ARTICLE 44: SAFETY AND SECURITY",
"226. The Parties shall, with the support of UNAMID, provide security and protection from all forms of physical attack, all forms of sexual violence, exploitation, abduction, child recruitment, child labour, arbitrary detention, informal “taxation”, charging ransoms, and illegal confiscation of property and the GoS shall address the impact of such violations by taking the necessary steps to ensure effective and timely justice.",
"1. The Parties shall respect and maintain the civilian and humanitarian character of the camps sheltering IDPs.",
"228. Subject to the provisions of Chapter VI of this Agreement, the Parties shall undertake all measures necessary with the assistance of UNAMID to ensure security in IDP camps. Such measures shall ensure the effective participation of women in the decision-making process within the camps.",
"229. The GoS shall take all necessary legal measures against those involved in attacks against the staff of humanitarian agencies.",
"ARTICLE 45: HUMANITARIAN ASSISTANCE",
"1. The GoS shall extend urgent aid to IDPs, including food, shelter, education, medical care, and other medical and health services, together with the other necessary humanitarian and social services.",
"230. IDPs shall be provided with humanitarian assistance and means of livelihood before and after their return, and the refugees upon return.",
"231. Such assistance shall be provided to communities hosting IDPs and returning refugees who are in need of humanitarian assistance and livelihood support.",
"1. The Parties shall enable and facilitate access by the United Nations and the specialized agencies and national, regional and international humanitarian organizations without hindrance and impediment to IDPs, including their camps, in accordance with arrangements agreed upon with the GoS.",
"2. The Parties shall secure and protect humanitarian aid routes and the security of humanitarian staff.",
"ARTICLE 46: PERSONAL DOCUMENTATION",
"2. The GoS shall issue all the documents necessary for the returning IDPs and refugees to enjoy their rights. The Parties shall agree on the formation of a mechanism affiliate to the Voluntary Return and Resettlement Commission (VRRC) to cooperate with the relevant authorities to issue the said documents free of charge.",
"3. The GoS shall facilitate the issuance of new or replacement documents in lieu of documents lost or destroyed in the course of displacement.",
"237. Women, children, as well as men have equal rights to obtain all necessary identity documents and have the right to have such documents issued in their own names. Special efforts will be taken to expedite the provision of such documents to orphans as well as to separated and unaccompanied children.",
"ARTICLE 47: FAMILY REUNIFICATION",
"238. The Government and relevant authorities in Darfur shall take all necessary measures so that families which are separated by displacement are reunited as quickly as possible. Special efforts shall be made to expedite the reunification of unaccompanied and separated children with their families. The VRRC shall coordinate and cooperate with humanitarian organizations engaged in family tracing and assisting family reunification. The Parties underscore their commitment to fight child abduction and trafficking, and shall work to prevent and disclose any irregular practices.",
"ARTICLE 48: FREEDOM OF MOVEMENT",
"1. The Parties shall guarantee the freedom of movement and choice of residence of IDPs and returning refugees, including their right to move freely in and out of camps, and their right to return voluntarily to their place of origin or to resettle voluntarily in another part of the country.",
"1. The Parties shall respect and ensure the right of IDPs and refugees to seek safety in another part of Sudan and to be protected against forcible return to or resettlement in any place where their life, safety, liberty and/or health would be at risk.",
"ARTICLE 49: VOLUNTARY RETURN",
"239. All IDPs and refugees have the right to return voluntarily, and in safety and dignity, to their homes of origin or places of habitual residence or to resettle in another place of their choice. The Parties shall not interfere with IDPs’ and returning refugees’ choice of destination, nor shall they compel them to remain in, return to, or move to situations of serious danger or insecurity, or to areas lacking in basic services necessary to resume a normal life.",
"2. The GoS shall accept and facilitate the voluntary return of IDPs and of refugees to their homes of origin or places of habitual residence or their voluntary resettlement in another part of the country.",
"3. The Parties shall take all necessary steps to prevent activities which would hinder the voluntary return, in safety and dignity, of IDPs and refugees.",
"244. IDPs and refugees shall have access to objective information about the conditions in the areas of return or resettlement. The Parties, with the assistance of competent local and international actors, shall facilitate the timely flow of accurate information about the conditions in areas of return or resettlement in order for refugees and IDPs to be able to make an informed and voluntary decision about return or resettlement.",
"245. The Parties shall respect the principle of family unity in the voluntary return or resettlement.",
"246. The Parties shall make special efforts to ensure the participation of IDPs and refugees, including women and youth, in the planning and management of their return or resettlement and reintegration, in coordination with the VRRC and any other relevant entities.",
"ARTICLE 50: CONDITIONS SUITABLE FOR RETURN",
"1. The GoS shall establish, as soon as possible, the security, political, economic and social conditions, and shall provide the means, to enable IDPs and refugees to exercise their right to return, voluntarily, in safety and dignity, to their homes of origin or places of habitual residence.",
"247. The Parties shall facilitate the creation and maintenance of conditions required for the voluntary return, in safety and dignity, and for the durable and harmonious reintegration of refugees and IDPs.",
"249. The Parties agree that the necessary conditions for return of IDPs and refugees are the following:",
"i. The security and safety of IDPs and refugees, without risk of harassment, intimidation, persecution, or discrimination, during and after their voluntary return or resettlement;",
"ii. The right to freedom of movement and choice of residence, including the right to return to their homes of origin or habitual residence and to settle therein;",
"iii. Demining of the areas in which the homes and lands of IDPs and refugees are located, and demining routes to markets, water sources, schools and health services;",
"iv. The restitution of property to IDPs and refugees;",
"v. Assistance in erecting fixed shelters in the return villages for IDPs and refugees and repair of or compensation for the damaged properties;",
"vi. Access to food, potable water and health care, including through the provision of humanitarian assistance until IDPs and refugees can resume normal life;",
"i. The provision of the sum of US$ 250 (US dollars two hundred and fifty) per family as part of the return package to help meet IDPs and refugees’ immediate needs upon return. This package is intended to enable them to restart their livelihood and commence effective reintegration. The package shall also include access to potable water, food and shelter materials, as well as agricultural inputs for both crops and livestock such as seeds, seedlings, veterinary services, tools and essential equipment;",
"i. Rehabilitation and construction of basic facilities in areas of return;",
"i. Rehabilitation of damaged agricultural land;",
"ii. Provision of education and equal training for boys and girls including livelihoods training;",
"xi. Equal access to means of livelihood for men and women, including employment;",
"xii. Equal access for IDPs and refugees to public services and the equal right to participate in public affairs;",
"xiii. Psychosocial support to IDPs and refugees.",
"250. The Parties shall ensure that the appropriate conditions are in place before promoting return.",
"251. The Parties shall facilitate the voluntary return or resettlement of IDPs and refugees in a peaceful, orderly and phased manner, in accordance with a clear strategy.",
"ARTICLE 51: VOLUNTARY RETURN AND RESETTLEMENT COMMISSION",
"252. A Voluntary Return and Resettlement Commission shall be established as a matter of priority. It shall comprise:",
"i. A Voluntary Return Committee (VRC);",
"i. A Property Claims and Restitution Committee (PCRC);",
"ii. A Compensation/Jabr Al-Darar Fund (JAF).",
"253. The VRRC shall supervise the VRC, the PCRC and the JAF.",
"254. The VRRC shall prepare its rules of procedure, its financial and administrative regulations, design its structure as appropriate, for adoption by the DRA.",
"255. The composition of the bodies established under the VRRC, as well as the designation of their members, shall be agreed upon by the Parties.",
"256. The Compensation/Jahr AI-Darar aspect of the activities of the VRRC will be funded from the JAF.",
"THE VOLUNTARY RETURN COMMITTEE",
"1. Under the supervision of the VRRC, the VRC shall be responsible for all aspects regarding the voluntary return of the IDPs and refugees. To this end, the VRC shall undertake the following tasks and functions:",
"i. Conduct statistical surveys of IDPs and refugees for the purpose of planning for voluntary return or resettlement;",
"ii. Conduct, in collaboration with the relevant international bodies, including the United Nations High Commissioner for Refugees (UNHCR), a comprehensive needs assessment in areas of potential return or resettlement, which shall include addressing the following issues: safety, food security, damage to homes and land, potable water, sanitation, education, access to health services and infrastructure;",
"iii. Assess whether the conditions required for sustainable return are in place, recommend specific measures to be implemented to ensure the creation of these conditions, and verify the fulfilment of these conditions;",
"i. Develop and adopt a Voluntary Return Plan, within three months of the signing of this Agreement, with the assistance of the UNHCR and competent local bodies and in consultation with IDPs, refugees and local communities;",
"iv. Implement the Voluntary Return Plan in close cooperation with competent local bodies, the international community, in particular UNHCR, and countries hosting the refugees;",
"i. Monitor and report on a continuing basis on the maintenance of the necessary conditions for sustainable return and reintegration, and on the conditions of IDPs and refugees upon return;",
"vii. Plan, organize and assist the voluntary return of IDPs and refugees, in accordance with the Voluntary Return Plan, and to assist in their reintegration.",
"258. The VRC may establish such subcommittees as it deems necessary to carry out its functions, including:",
"i. A subcommittee on Statistical Surveys and Planning;",
"ii. A subcommittee on Evaluation, Rehabilitation and Establishment of the Basic",
"Utilities in the Areas of Return.",
"259. The VRRC shall ensure the active participation of representatives of IDPs, refugees and civil society in the processes associated with voluntary return.",
"ARTICLE 52: HOUSING, LAND AND PROPERTY RESTITUTION",
"260. IDPs and refugees have the right to have their houses, land and properties which they were unlawfully deprived of, restored to them. In the event that recovery of such property is not possible, they shall be entitled to compensation, in accordance with international principles.",
"261. This right applies to IDPs and refugees whether they choose to return to their place of origin or to resettle elsewhere.",
"262. The PCRC shall ensure that IDPs and refugees have their houses, land and property restored to them.",
"263. The PCRC shall:",
"i. Receive property restitution claims from IDPs, refugees and other conflict affected",
"victims in Darfur;",
"ii. Determine, upon receipt of a claim, the lawful owner of the property with respect to",
"which the claim is made;",
"iii. If the claimant is the lawful owner, order the restitution of the property to him or her;",
"iv. Where this is not possible, order the award of compensation to him/her;",
"v. Establish procedures for the submission and determination of claims that are simple,",
"accessible, transparent, just, timely, enforceable and free of charge. These procedures shall include specific measures to ensure that women and orphans are able to participate on a fully equal basis in the restitution process;",
"vi. Where appropriate, appoint advocate(s) or representative(s) to act on behalf of a claimant particularly in cases where the person is under 18 years of age or suffers from mental disability.",
"264. The PCRC shall not recognize as valid any illegal property transaction including any transfer that was made under duress or made without free and informed consent.",
"265. The GoS shall be responsible for ensuring property restitution to the lawful owner. The GoS shall remove and relocate the people who settled in an illegal manner and occupied the properties of IDPs and refugees, with the assistance of relevant international bodies.",
"266. No person or group of persons shall be deprived of any traditional or historical right in respect to land or access to water without consent or prompt and adequate compensation.",
"1. Without prejudice to the jurisdiction of the courts, traditional mechanisms may be used to settle disputes arising from the return process, provided they are consistent with the international principles of human rights.",
"268. The PCRC shall establish subcommittees to carry out its functions, including:",
"i. a subcommittee on Verification and Documentation;",
"i. a subcommittee on Dispute Settlement and Property Claims; and",
"iii. such other subcommittees as it may deem necessary.",
"269. The decisions of the PCRC shall be made public.",
"ARTICLE 53: COMPENSATION/JABR AL-DARAR FUND",
"270. The Compensation/Jabr Al-Darar Fund shall be established for payment of compensation awards ordered by:",
"i. the PCRC in accordance with Article 52;",
"i. the Justice Committee in accordance with Article 58.",
"271. The Fund shall receive and hold:",
"i. Contributions from the GoS in accordance with paragraph 273;",
"ii. Contributions from the Sudanese people through their institutions such as chambers of commerce and charitable organizations;",
"i. Contributions by the Islamic, Arab and African countries and their Funds;",
"ii. Contributions by the EU and other donors;",
"v. Funds mobilized by/through the United Nations agencies.",
"272. The JAF shall establish its rules of procedure. The procedures shall be simple and accessible.",
"ARTICLE 54: FUNDING",
"273. The initial amount of the JAF for the settlement of compensation for any loss and/or damage suffered by IDPs, refugees and any other victims of the conflict in Darfur shall be US$ 300,000,000 (US dollars three hundred million), out of which the GoS undertakes to pay US$ 200,000,000 (US dollars two hundred million), and the balance of US$ 100,000,000 (US dollars one hundred million) will be sourced from donors.",
"1. The GoS shall allocate funds from the national budget to support the voluntary return and reintegration of IDPs and refugees, in accordance with the budgets prepared by the VRRC, and approved by the DRA.",
"275. Recognizing that peacemaking in general, and collective and family compensations in particular, require mobilization of huge resources and the fact that mobilization of local resources alone cannot meet all requirements, funding such plan requires the participation and support of the international community, peace partners and beneficiaries of peace. The Parties therefore agree to promote the mobilization of international resources to contribute to the JAF.",
"CHAPTER V – JUSTICE AND RECONCILIATION",
"ARTICLE 55: GENERAL PRINCIPLES FOR JUSTICE AND RECONCILIATION",
"Justice and reconciliation shall be based on the following principles:",
"276. Respect for international human rights law and international humanitarian law.",
"277. Justice and reconciliation are integral and interlinked elements for achieving lasting peace in Darfur and are essential for upholding the rule of law.",
"1. Adoption of transitional justice mechanisms for remedies and for the legal accountability of perpetrators of acts of violence related to the armed conflict in Darfur.",
"2. Reconstructing and repairing social relationships and reviving and strengthening the values of peaceful coexistence, respect for existing customs, social cooperation and solidarity in Darfur.",
"278. The right of victims to have access to mechanisms of justice and redress, in particular the right to an adequate, effective and prompt remedy and/or reparations for violations of international human rights law and international humanitarian law.",
"279. Justice and other mechanisms of redress, including transitional justice mechanisms, shall be independent and impartial, and shall be consistent with international norms and standards.",
"3. Condemnation of atrocities, abuses and violations of human rights and international humanitarian law committed in Darfur during the conflict, and the imperative need to take all necessary steps to prevent the repetition of such violations.",
"4. Ensuring that all perpetrators of violations of human rights and international humanitarian law are held accountable.",
"5. The appropriate recording and documentation of all crimes and forms of violations.",
"1. The recognition of the special situation and concerns of women, children and youth and the important role of women and youth in the prevention and resolution of conflicts, in transitional justice processes and in peacebuilding, and the imperative of their equal participation and full involvement in all efforts for the maintenance of peace and security, including justice and reconciliation.",
"286. Children implicated in the conflict who may have been involved in the commission of crimes under international law shall be considered primarily as victims and shall be treated in accordance with the Convention on the Rights of the Child, Protocol II to the Geneva Convention, the African Charter on Rights and Welfare of the Child, the Beijing Rules and related international juvenile justice and fair trial standards.",
"287. Recognition of the role that independent and impartial traditional mechanisms can play in complementing processes of justice and reconciliation and the importance of making full use of their potential while maintaining international human rights standards.",
"1. The importance of drawing upon African and international experiences and best practices with respect to accountability, reconciliation and truth seeking in addressing what occurred in Darfur and the use of the mechanisms of justice, compensation and reconciliation for the settlement of the conflict.",
"288. Provision of security and full protection to all citizens.",
"289. Justice, accountability, recognition of wrongdoing, forgiveness and commitment to non‑repetition.",
"290. Encouraging exchange of amicable visits between the leaders of reconciling tribes.",
"291. Collection of weapons in the possession of tribal groups by the tribes themselves in coordination with local authorities.",
"1. Promoting dialogue as an appropriate channel to achieve reconciliation among tribes and consolidating the reconciliation mechanisms recognized in Darfur.",
"ARTICLE 56: THE NATIONAL JUDICIAL SYSTEM",
"2. The Parties agree on the importance of establishing justice in Darfur in order to consolidate peace, and they agree that the institutions of justice have an important role to play in this respect. They also agree that continued broad reforms should be sustained to reinforce their capacity, professionalism and independence to ensure equal justice for all.",
"292. Without prejudice to Article 60, immunities enjoyed by persons by virtue of their official status or functions shall not obstruct the speedy dispensation of justice nor shall they prevent the combating of impunity.",
"293. The GoS undertakes to facilitate access to justice by taking the following necessary and important steps:",
"i. Increasing the number of courts and judicial personnel including judges and prosecutors in Darfur;",
"ii. Strengthening and utilizing the system of mobile courts;",
"iii. Allocating adequate resources required for the effective delivery of justice, including providing necessary land and air transport throughout Darfur for prosecution officials. To this end, the Government may seek assistance from the United Nations and other peace partners;",
"iv. Ensuring that the Ministry of Justice enforces and supports the discharge of Prosecutorial duties in conducting investigations;",
"v. Ensuring the protection of judicial personnel, victims and witnesses.",
"297. The steps and procedures set out in paragraph 296 shall guarantee the rights to due process and a fair trial and ensure conclusive settlement of cases processed by and referred to courts and mechanisms of transitional justice, and eliminate-any existing or potential barrier obstructing people of Darfur from exercising their right to litigation, justice and remedy.",
"1. The GoS undertakes to provide technical assistance and support to enhance coordination between the courts and the commissions or the special committees pertaining to blood money (dia) or compensation, and other means of reconciliation with a view to creating the required cohesion, thereby increasing their capacity, and avoiding inconsistencies and overlaps.",
"2. The role of civil society in Darfur in fostering justice, peace and reconciliation freely and independently shall be strengthened. Civil society may seek support from national, regional and international organizations according to established procedures.",
"3. The Parties call upon the international community to provide technical assistance and appropriate resources to support the effective functioning of the judicial system.",
"ARTICLE 57: COMPENSATION/JABR AL-DARAR",
"4. All victims, including IDPs and refugees, who suffered loss or damage, including loss of life, physical injury, mental harm and emotional suffering, because of the conflict in Darfur, have the right to prompt and adequate compensation/Jabr Al-Darar in accordance with international experiences and best practices in similar situations.",
"298. Compensation/Jabr Al-Darar for loss of housing, land and property shall be addressed through the procedures set out in Article 53.",
"303. Compensation/Jabr Al-Darar for other forms of loss and damage shall be addressed in accordance with the procedures set out in Article 58.",
"304. Compensation/Jabr Al-Darar shall be paid in one instalment whenever possible. Otherwise, it shall be paid in two instalments provided that the whole period for the settlement of such compensation/Jabr Al-Darar, does not exceed two years from the date of assessment of the damage.",
"ARTICLE 58: TRUTH AND RECONCILIATION",
"GENERAL PROVISIONS",
"1. The Government shall designate a national day for peace and non-violence in Darfur.",
"2. In order to foster reconciliation, the Parties agree to address the following causes of the conflict:",
"i. Environmental degradation and dispute over access to natural resources;",
"ii. Tensions among local communities;",
"i. Weakness of the Native Administration;",
"ii. Conflict over land, hawakeer and nomadic routes;",
"iii. Proliferation of weapons;",
"iv. The regional dimension of the conflict.",
"307. The Parties agree that there shall be a reconciliation process aimed at:",
"i. Denouncing violence and exclusion and adopting dialogue as a means of achieving social peace;",
"ii. Adopting justice, reconciliation and forgiveness as principles leading to peace;",
"i. Rebuilding and strengthening relationships between the components of Darfur society as well as raising the level of coexistence, cooperation and social solidarity in Darfur;",
"ii. Eradicating tribal and ethnic polarization;",
"iii. Entrenching a culture of peace in conformity with the values, traditions and cultural heritage of the Darfur people, using such means as tribal chiefs, religious scholars, civil society organizations, the media and educational institutions;",
"iv. Formal and informal apologies, individually and collectively, to the victims of the conflict;",
"i. Strengthening the Native Administration system;",
"ii. Encouraging respect for nomadic routes in order to stabilize relations and reduce tensions among herders and farmers;",
"ix. Resolving the issue of the presence of illegal migrants and their occupation of villages, towns, farms and orchards in Darfur.",
"308. Without prejudice to the prerogatives and mandate of the Truth and Reconciliation Committee (TRC) established pursuant to this Article, the following mechanisms shall be employed:",
"i. The Ajaweed Council;",
"ii. The Native Administration.",
"309. The National Government, the DRA and the State Governments shall support these mechanisms to complement the work of the TRC.",
"310. The role of the Ajaweed Councils shall be strengthened, and reconciliation conferences shall be organized with a view to restoring confidence and fostering good relations among the Darfur communities.",
"TRUTH, JUSTICE AND RECONCILIATION COMMISSION",
"311. Without prejudice to the jurisdiction of the Sudanese courts, including the Special Court for Darfur, an independent Truth, Justice and Reconciliation Commission (TJRC) shall be established. The TJRC shall be composed of the following two Committees:",
"i. The Justice Committee; and",
"ii. The Truth and Reconciliation Committee.",
"JUSTICE COMMITTEE",
"312. The Justice Committee shall be responsible for receiving, examining and assessing claims, and determining the nature of compensation/Jabr Al-Darar as well as the amount to be paid to the victims as appropriate. The victims shall be given a period of 10 years for filing claims before the Justice Committee, starting from the initial date fixed by the Committee for submission of individual claims.",
"1. The members of the Committee shall be nominated by the Parties and appointed by the Chairperson of the DRA.",
"313. The Justice Committee shall adopt its rules of procedure and modus operandi. Its procedures shall be simple and accessible.",
"1. Technical and administrative committees shall assist the Justice Committee in determining the nature and the extent of the individual damages and losses. These committees shall be composed of, among others, specialized physicians, lawyers, Native Administration, the elders of the camps, representatives of the victims and other relevant experts. These committees shall work in close collaboration with the local government. The GoS undertakes to bear the expenses of their work.",
"TRUTH AND RECONCILIATION COMMITTEE",
"316. The Truth and Reconciliation Committee shall assess the root causes of the conflict in Darfur, investigate violations, crimes and human rights abuses including violations of economic, social and cultural rights committed from February 2003, address issues of impunity and build a culture of confidence, peace and reconciliation.",
"317. The TRC shall be composed of eminent personalities reflecting the ethnic and cultural diversity of Sudan, with due respect for gender balance. The membership of the TRC shall include members nominated by the Parties.",
"318. The TRC shall adopt its rules of procedure and modus operandi. These procedures shall be simple and accessible.",
"1. The TRC shall provide an opportunity for the victims and perpetrators of human rights violations as well as other citizens to share their experiences, establish a common understanding of the past, facilitate genuine healing within and among communities and promote reconciliation and prevention of atrocities in the future.",
"319. The TRC shall recommend measures towards comprehensive and lasting peace in Darfur and shall submit its findings and recommendations to the President of the Republic of the Sudan and the National Assembly of Sudan on an annual basis. It shall submit its final report to the President and the National Assembly of Sudan upon the completion of its mandate.",
"320. The Parties agree to request the assistance of the international community in providing the necessary financial and technical support for the work of the TRC.",
"ARTICLE 59: SPECIAL COURT FOR DARFUR",
"1. The Parties agree to call upon the Sudanese Judiciary to establish a Special Court for Darfur, which shall have jurisdiction over gross violations of human rights and serious violations of international humanitarian law committed in Darfur, since February 2003.",
"321. The GoS shall appoint the Prosecutor of the Special Court, and shall enable him/her to assume his/her role in bringing perpetrators to justice. The Prosecutor may refer cases to the national courts.",
"324. The Special Court shall apply the Sudanese criminal law, international criminal law and international humanitarian and human rights laws.",
"325. The GoS shall create conducive conditions to enable the Special Court to undertake its functions in conducting investigations and trials and shall provide the Court with the necessary resources to this end.",
"326. A team of specialized experts from the United Nations and the AU, selected in consultation with the GoS, shall observe the courts proceedings to ensure their proper conduct, in accordance with justice and equity rules, enshrined in International Law.",
"1. The Parties shall take all necessary measures to guarantee the protection and assistance of victims and witnesses, and ensure their full access to and participation in the justice process. The Parties shall abstain from any act that might discourage witnesses from testifying freely and without fear.",
"327. The GoS, with the support of the international community, shall establish a fund for legal aid and other related activities of the Special Court during investigations and trials.",
"ARTICLE 60: AMNESTY",
"328. In order to create a conducive environment for peace and reconciliation, the GoS shall grant a general amnesty in accordance with the Sudanese Constitution and Laws, to civil and military members, to prisoners of war and those sentenced from the Parties, and on this basis, release the prisoners of war.",
"1. The Parties agree that war crimes, crimes against humanity, crimes of genocide, crimes of sexual violence, and gross violations of human rights and humanitarian law shall not be included in the scope of application of the amnesty.",
"ARTICLE 61: PUBLIC SERVICES",
"331. In order to curb impunity, build confidence and strengthen the rule of law in Darfur and create conducive conditions for confidence-building and reconciliation, the GoS shall establish an independent, impartial, resourced and effective mechanism to identify and take appropriate action against individuals in the public service who have been proven guilty of committing abuses and violations of human rights and international humanitarian law.",
"CHAPTER VI: PERMANENT CEASEFIRE AND FINAL SECURITY ARRANGEMENTS",
"ARTICLE 62: GENERAL PRINCIPLES FOR PERMANENT CEASEFIRE AND FINAL SECURITY ARRANGEMENTS",
"The Permanent Ceasefire and the Final Security Arrangements shall be based on the following general principles:",
"332. The Darfur conflict cannot be resolved militarily and a durable solution can only be obtained through an inclusive political process;",
"1. Civilians in Darfur have the right to protection, including provision of specific measures for vulnerable groups such as women and children taking into account their special status in international law, and in recognition that they have suffered disproportionately during the conflict;",
"333. The importance of facilitating the mandate of UNAMID, including for the protection of civilians, as outlined in UNSCR 1769 (2007) and UNSCR 1935 (2010) respectively, and the Communiqué of the 79^(th) Meeting of the AU PSC;",
"334. The imperative to refrain from all acts of violence against civilians, in particular vulnerable groups such as women and children, and from violations of human rights and international humanitarian law;",
"1. The need to address the urgent humanitarian crisis faced by the people of Darfur, including the guarantee of unrestricted humanitarian access to all areas;",
"2. Realising and supporting permanent peace in Darfur through, among other things, a comprehensive agreement and final security arrangements that address the root causes and the different aspects of the armed conflict.",
"335. Guaranteed free movement for individuals, goods and services in Darfur.",
"336. The necessity to have a strong professional and inclusive Sudanese Armed Forces (SAF) and other security institutions, capable of defending and maintaining the sovereignty and territorial integrity of the country.",
"PERMANENT CEASEFIRE",
"ARTICLE 63: PROHIBITED ACTIVITIES AND POSITIVE UNDERTAKINGS",
"340. In accordance with this Agreement, the Parties agree to immediately cease and refrain from any:",
"i. Acts of hostility, violence or intimidation against the civilian population in Darfur and IDPs;",
"ii. Activity that jeopardise the letter and spirit of this Agreement;",
"iii. Offensive, provocative or retaliatory actions, including hostile propaganda and the unauthorised redeployment and movement of forces, against another Party or any Movement party to the Darfur Peace Agreement (DPA), signed on 5 May 2006 in Abuja, Nigeria, or against the signatories to the Declaration of Commitment to the DPA (DoC DPA), signed thereafter;",
"i. Recruitment or any other military activity within or in the proximity of IDP or refugee camps;",
"i. Acts of intimidation, hostility, violence or attacks against UNAMID personnel, installations or equipment, members of local or international humanitarian agencies including UN agencies, international organisations and non-governmental organisations, their personnel, installations or equipment, and members of the media;",
"iv. Actions that may impede or delay the provision of humanitarian assistance or protection to civilians and restrict free movement of people;",
"i. Restrictions on the safe, free and unimpeded movement of humanitarian agencies;",
"ii. Use or laying of land mines;",
"ii. Acts and forms of gender-based violence and sexual exploitation;",
"v. Recruitment and use of boys and girls under age 18 by armed forces and armed groups in hostilities, in accordance with Sudan’s obligations under the Optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict, and obligations under Protocol II (1977) of Geneva Conventions of 1949;",
"iii. Other activities that could endanger or undermine the Parties’ commitment to a complete and durable cessation of hostilities, including those activities that would be determined to be a violation of the ceasefire based on this Agreement; hostile propaganda against another Party or any armed group party to the DPA;",
"iv. Attempt by any Party to disguise its equipment, personnel or activities as those of UNAMID, the UN Agencies, the AU, the International Committee of the Red Cross/Red Crescent (ICRC) or any other similar organisation.",
"341. The Parties further undertake to ensure:",
"i. The free movement of people and goods;",
"ii. Unimpeded access of humanitarian assistance to the population in need and the protection of humanitarian workers and their operations in areas under their control;",
"iii. Full cooperation with UNAMID to implement its mandate;",
"i. That the provisions of this Agreement are communicated, through the Parties’ chain of command, to all elements of their armed forces, and armed groups under their control or influence including women, and that all such forces and groups shall comply with those provisions.",
"iv. The disarmament and disbandment of armed militias in due time, and as a prerequisite for the implementation of comprehensive arms control measures to ensure security throughout Darfur;",
"i. That the Ceasefire is not threatened by any foreign combatants present on Sudanese territory;",
"ii. That IDPs and other civilians in Darfur shall not be subject to harassment or arbitrary detention by the Government security organisations and the Movements; noting that such activities may be treated as violations of the Ceasefire;",
"i. That all children, boys and girls, recruited by armed forces or armed groups, if any, are released unconditionally through the development of Action Plans;",
"ii. That all children, boys and girls, who are accused of crimes against international law after being unlawfully recruited by armed forces or armed groups are considered primarily as victims of violations against international law and not as alleged perpetrators.",
"ARTICLE 64: CEASEFIRE COMMISSION",
"342. The Ceasefire Commission, hereafter referred to as “the CFC”, and the Joint Commission, hereafter referred to as “the Commission” shall be established as Ceasefire monitoring and verification mechanisms.",
"343. The CFC shall comprise the under listed components:",
"i. The CFC headquartered in El Fasher;",
"ii. The CFC Secretariat headquartered in El Fasher;",
"i. Sector Sub-Ceasefire Commission (SSCFC);",
"ii. The Ceasefire Team Site Group (CTSG).",
"344. The CFC has the overall responsibility for the monitoring and implementation of the Permanent Ceasefire, and shall endeavour to make decisions by consensus. Where consensus cannot be reached, the CFC shall commit the issue for arbitration by the Commission. The Parties are responsible for implementing the Ceasefire Agreement and shall be obliged to adhere to the recommendations of the Commission.",
"345. Cognisant of the important role of women in peace making, adequate and effective representation of women shall be guaranteed by the Parties at all levels of the ceasefire mechanism.",
"346. The Parties shall guarantee UNAMID unimpeded freedom of movement in all areas and at all times in Darfur in the exercise of its mandate.",
"347. The Parties commit themselves to participating fully and actively in the CFC, the Sector Sub‑CFCs and CTSGs and to supporting their work.",
"FUNCTIONS OF THE CFC",
"348. The functions of the CFC shall be to:",
"i. Monitor compliance of the Parties to their obligations under the Permanent Ceasefire and the conduct of the respective armed forces;",
"ii. Coordinate planning, monitoring and verification of the implementation of the Permanent Ceasefire;",
"iii. Define the routes for all movement of the Parties’ forces in order to reduce risks of incidents; and approve all such movements which must be requested by the Parties with at least 72 hours notice;",
"iv. Support de-mining operations;",
"i. Produce, through its Chairperson, the master map showing disposition of the Parties, and Demilitarised Zones (DMZ) around IDP camps and hosting communities;",
"ii. Receive, verify, analyse and resolve complaints related to possible violations of the Ceasefire;",
"i. Issue violation reports in the event that a Party commits any prohibited act, as stipulated in the Permanent Ceasefire;",
"ii. Assist in the dissemination of information about the Permanent Ceasefire;",
"iii. Serve as a channel of communication between the Parties;",
"iv. Support the Disarmament, Demobilisation and Reintegration (DDR) of the ex-combatants as and when agreed by the Parties.",
"COMPOSITION OF THE CFC",
"349. The CFC shall be constituted as follows:",
"i. UNAMID Force Commander Chairperson",
"ii. Three members from each Party Members",
"iii. One Representative of the State of Qatar Member",
"350. The Chairperson shall, as required, co-opt representatives of other components/sections of UNAMID i.e. Police, HLO, PAD, Legal office as members without voting right.",
"1. The Parties may decide on the number and composition of observers at a later date. Observers are an important facet for the implementation of the Permanent Ceasefire as they facilitate and advise the CFC and the Parties. They may include but are not limited to international/regional organisations or individual countries. Observers may attend open sessions and meetings of the CFC and Sub-CFCs. If deemed appropriate and agreed upon by the Parties, observers will be briefed on closed sessions/meetings.",
"CHAIRPERSON OF THE CFC",
"1. The UNAMID Force Commander shall be the Chairperson of the CFC, and in his absence, the Deputy Force Commander shall perform the duties.",
"DUTIES OF CFC CHAIRPERSON",
"351. The duties and responsibilities of the Chairperson shall include:",
"i. Preside over all CFC meetings;",
"ii. Define the CFC programme of activities;",
"iii. Ensure implementation of the decisions and recommendations of both CFC and the Commission;",
"iv. Order independent or supplementary investigations at CFC level whenever appropriate;",
"v. Ensure the submission of weekly reports to the Commission;",
"vi. Ensure that appropriate measures are taken for CFC members to respect the local laws and regulations, refrain from any action or activity incompatible with the impartial and international nature of their duties.",
"MEETINGS",
"354. CFC meetings shall be convened by the Chairperson or at the request of the Parties. The meetings shall be held at UNAMID Headquarters, El Fasher or in any other venue as shall be decided by the Chairperson. The meetings shall be conducted under the following guidelines:",
"i. The agenda for the meeting shall be adopted at the beginning of the session;",
"i. The CFC deliberations and decisions are reached by consensus, but if the Parties are unable to reach an agreement on a matter before the CFC, the Chairperson shall refer the matter to the Commission for resolution. The Parties shall be obliged to adhere to the ruling of the Commission;",
"iii. At every session, minutes of meetings shall be signed by the secretary and authenticated by the Chairperson and brought to the next meeting for confirmation as a true record of the proceedings and shall be binding upon the Parties;",
"iv. Sub committees may be constituted for specific tasks whenever necessary and shall present their reports before the CFC for adoption/rejection;",
"v. Observers may make comments at the request of the Chairperson.",
"CODE OF CONDUCT",
"355. CFC members and observers will be expected at all times to adhere to the code of conduct which includes the following:",
"i. Dialogue and appropriate and polite language should be used as the guiding principle during deliberations;",
"i. Any issues that Members wish to raise should be addressed to the Chair;",
"ii. Personal attacks or animosity shall not be accepted from any member;",
"iii. Punctuality shall be observed by all members;",
"iv. No member of the CFC shall brief the press or issue statement on behalf of the CFC without prior authorisation by the Chairperson;",
"v. Deliberations of the CFC are confidential and are shared only on a need to know basis;",
"i. Avoid actions that may discredit any Party;",
"ii. Place the interests of the people of Darfur and other resident civilians, including women and children, ahead of personal considerations;",
"ix. Understand the CFC mandate and act within it.",
"356. The Chairperson shall exercise control over the CFC Secretariat and the subordinate level SSCFC as defined in this Agreement. The Sector Commanders and Chief of Staff CFC Secretariat shall be directly answerable to the Chairperson on the management of CFC resources put under their control.",
"357. The Sector Commanders shall exercise control of the SSCFCs and Ceasefire TSGs within their Areas of Responsibility (AORs) and remain answerable to the Chairperson. The SSCFC reports on violations shall be forwarded to the Chairperson through the CFC Secretariat.",
"SECTOR SUB-CEASEFIRE COMMISSION",
"358. Each sector shall establish and maintain Sector Sub-Ceasefire Commission inclusive of women to ensure an effective investigation and reporting cycle. The sectors shall establish a Secretariat to be headed by the Chief sub CFC modelled on the CFC Secretariat. Team site groups comprising various elements at sub-unit/unit levels, inclusive of women, shall be established as the primary sources of reporting incidents and investigating violations to the Permanent Ceasefire.",
"FUNCTIONS OF SSCFC",
"359. The main functions of the SSCFC are to:",
"i. Oversee compliance of the Parties to their obligations within the Sector AOR as per the Permanent Ceasefire;",
"ii. Consider, verify, investigate and report matters of disagreements and alleged violations between the Parties, in accordance with the Permanent Ceasefire;",
"i. Implement CFC policy and directives;",
"iii. Report periodically and refer unresolved complaints to the CFC at FHQ with a full explanation as to the matter in dispute;",
"iv. Assume responsibility for investigations of violations as stipulated in the Permanent Ceasefire;",
"v. Assign tasks/missions to TSGs.",
"360. When consensus cannot be reached on a particular issue, it shall be forwarded to the CFC for resolution.",
"COMPOSITION",
"361. The SSCFC shall comprise the following members:",
"i. Sector Commander — Chairperson",
"ii. Two representatives from each party — Members",
"i. Secretary",
"ii. Co-opted members from relevant UNAMID components who shall have no voting rights.",
"REPORTS",
"362. SSCFCs shall forward their reports covering ceasefire violations as clearly reaffirmed in the Permanent Ceasefire or in any other agreement in force to the CFC Secretariat by 1600 hrs daily. As a minimum, the report is to cover:",
"i. Nature/type of violation;",
"i. When and where it occurred;",
"ii. Party/Parties involved;",
"iii. Confirmed or unconfirmed;",
"iv. UNAMID actions;",
"v. Any other relevant facts/information.",
"CEASEFIRE TEAM SITE GROUPS",
"363. The CTSGs provide SSCFC with situational awareness and serve as the first level of conflict resolution within the Mission. In recognition of the role that women must play in the peace and security process, women shall be included in all CTSGs.",
"1. The CTSGs are responsible for overseeing the compliance of the Parties to the ceasefire as enshrined in the Permanent Ceasefire within their areas of responsibility. This will be achieved through monitoring, patrolling, visiting, inspecting, liaising, investigating, verifying and reporting as directed and supervised by the SSCFC.",
"COMPOSITION OF CEASEFIRE TEAM SITE GROUPS",
"365. The CTSGs at sub-unit level shall be composed of:",
"i. Military Observer Team Leader - Chairperson",
"ii. Two Representatives from each Party - Members",
"ARTICLE 65: JOINT COMMISSION",
"366. The Joint Special Representative (JSR), UNAMID shall chair the Commission and in his/her absence, the Deputy JSR shall perform the duties. The Commission shall be composed of the following:",
"i. UNAMID JSR — Chairperson",
"ii. State of Qatar — Member",
"iii. Three representatives from each Party — Members",
"iv. League of Arab States (LAS) — Member",
"v. European Union — Member",
"vi. UNAMID Political Affairs — Secretary",
"367. The following countries shall enjoy observer status and may be called upon by the Chair to address the Commission as required:",
"i. Canada;",
"ii. China;",
"iii. Norway.",
"FUNCTIONS/TERMS OF REFERENCE",
"368. The Commission shall be established to resolve disputes among Parties referred to it by the CFC, and for ensuring the effective implementation of the provisions of the Final Security Arrangements.",
"369. The Commission shall perform the following functions:",
"i. Follow-up the implementation of the Permanent Ceasefire and the Final Security Arrangements established by this Agreement;",
"ii. Be responsible for the interpretation of provisions of the Permanent Ceasefire and the Final Security Arrangements, when necessary;",
"iii. Arbitrate irregularities and violations, and accept and decide upon complaints filed by the Parties and which cannot be suitably addressed by the CFC. All attempts will be made to investigate fully and resolve contentious issues collaboratively and by consensus at the lowest level;",
"i. In case of gross violations, the Commission shall notify the African Union and the United Nations;",
"ii. In accordance with the UNSCR 1325 (2000), the Commission shall ensure that all forms of violence that specifically affect women and children are heard and redressed in a gender sensitive and competent manner;",
"iii. Draw attention to any development that would impede or compromise the implementation of the Ceasefire and the Final Security Arrangements, and to take measures to avoid repetition;",
"i. Make recommendations on appropriate measures that should be taken in respect of those responsible for violations of the Ceasefire;",
"ii. Any additional functions that the Commission may deem appropriate within the spirit of this Agreement.",
"MEETINGS",
"370. The Commission shall hold its meetings at the UNAMID headquarters in El Fasher or by exception in any other country agreed by the Commission.",
"1. The Commission shall meet on a monthly basis and shall issue a report after each meeting. The members shall be notified of the agenda and documentation at least seven days before each meeting. The Commission shall call emergency meetings, and forego this preliminary notification requirement, when deemed necessary. Any of the Parties may request the Commission to convene an emergency meeting when deemed necessary.",
"2. The Parties shall abide by and implement the Commission’s recommendations on the measures taken in regard to ceasefire violations.",
"3. The Parties shall circulate to their members and constituencies, the reports of the Commission.",
"374. The Commission shall issue regular public statements on progress towards implementing the relevant provisions of this Agreement.",
"1. The Commission shall make its decisions by consensus. Where consensus cannot be reached by the Parties, the Chairperson with the international members of the Commission, and in consultations with the Observers, shall make a decision in the best interest of maintaining the ceasefire and the decision shall be binding on the Parties.",
"FINAL SECURITY ARRANGEMENTS",
"ARTICLE 66: DISENGAGEMENT, REDEPLOYMENT AND LIMITED ARMS CONTROL GENERAL PROVISIONS",
"2. The Parties understand that ceasefire requires appropriate processes of military disengagement, redeployment of forces and limited arms control.",
"3. The ceasefire shall take place in incremental steps and on a reciprocal basis, with appropriate security guarantees and through agreements reached in the CFC and with verification by UNAMID.",
"4. The CFC shall be responsible for planning, co-ordination, management and supervision of the processes. The CFC shall oversee the implementation of decisions and agreements.",
"5. The processes shall occur in the following sequence:",
"i. Preparation for disengagement and redeployment including verification;",
"ii. Phase 1: Disengagement;",
"i. Phase 2: Redeployment;",
"ii. Phase 3: Arms Control.",
"380. The Parties shall inform their field commanders of all the components of the plans and the rules relating to these phases and shall ensure compliance with these rules.",
"1. The Parties shall inform the Chairperson of the CFC of the exact locations of their forces and these shall be indicated clearly on maps to be attached as an annex to a copy of the Agreement to be confidentially kept by UNAMID. These locations shall be subject to verification by UNAMID and will be indicated on a Master Map.",
"382. The Parties shall be bound by the Master Map as determined in the first instance by UNAMID. The Map may be modified thereafter by the Chairperson of the CFC in consultation with the Parties.",
"383. The Chairperson of the CFC shall provide the Parties with adjusted maps of the Movements’ camps, DMZs, Demilitarised Humanitarian Supply Routes, Buffer Zones, and Redeployment Areas.",
"384. The Parties shall be bound by the main rules for movement of troops, arms, provisions and supplies in accordance with the following:",
"i. A notification shall be given, 72 hours in advance, to the CFC and shall be approved by CFC for the movement of armed soldiers during the first phase (Disengagement) and the second phase (Redeployment);",
"i. A notification shall be given, 72 hours in advance, to the CFC and shall be approved by CFC for the movement of Class V and Class VII (ammunition and weapons systems) to, within and from the area(s), during the first phase (Disengagement) and the second phase (Redeployment);",
"iii. For ordinary supplies to and from these areas during these phases, Class I (food and water), Class II (equipment and medical supplies), Class III (fuel, oil and lubricants) and Class IV (construction materials) only notification to the CFC 72 hours in advance is necessary.",
"385. Concentration and deployment of forces by the GoS and utilisation of access routes including DMZs and buffer zones, for the purpose of border protection in Darfur shall not be subject to any restriction. However, in the event that the deployment entails entry into an area controlled by a Movement’s forces, the GoS shall notify the Party concerned.",
"1. Concentration and deployment of forces by the Movements and utilisation of access routes for the purpose of protecting this Agreement against any hostile activities shall be subject to approval by the CFC and notification to, and monitoring by UNAMID.",
"1. Government forces may not enter any DMZ or buffer zone or redeployment area or assembly area of a Movement’s forces without the written permission of the CFC.",
"2. Any breach of the rules relating to the disengagement, redeployment and limited arms control processes presented in this Chapter is a violation of the ceasefire.",
"ARTICLE 67: PREPARATION FOR DISENGAGEMENT AND REDEPLOYMENT",
"DECISION-MAKING AND COMMUNICATION",
"389. In preparation for disengagement and redeployment, the CFC shall endeavour to make decisions and resolve disputes by consensus.",
"390. Where the Parties are unable to reach consensus, the Chairperson of the CFC shall refer the dispute to the Commission for its decision. The Parties shall be bound by decisions taken by the Commission.",
"391. The Chairperson of the CFC shall ensure that all decisions and agreements relating to DMZs, Buffer Zones and Redeployment Areas are demarcated clearly on maps with precise GPS co‑ordinates. The Chairperson shall ensure that the Parties have the same maps with the same demarcations.",
"1. The Chairperson of CFC shall establish, in coordination with the Government, a system for an effective and secure communications procedure between the CFC and the Parties.",
"VERIFICATION",
"1. For the purpose of implementing the overall final security arrangements, UNAMID shall verify information submitted by the Parties; including the exact locations and equipment thereof, number and types of weapons, strength of their forces including the presence of any children among their ranks and other information that UNAMID or CFC may request. This information shall be confidential throughout the preparatory, disengagement, redeployment and limited arms control phases. The information shall be restricted to the Chairperson of the CFC only, until the beginning of the integration and demobilisation phase.",
"2. The verification process of the Movements’ forces and their areas of control shall be limited to units no smaller than company level, normally 150 (one hundred and fifty) soldiers or sub-units with equivalent capability. Uninterrupted duration of control by such unit/sub-unit is a condition for the area to qualify as being under the control of the Movements.",
"PLANS",
"PHASE ONE: DISENGAGEMENT",
"395. The process of disengagement shall include the following steps:",
"i. Movements and activities of the Parties shall be confined to the areas allocated for the Parties as demarcated and shown on the Master Maps;",
"ii. In consultation with the Parties, the Chairperson of CFC shall establish DMZs around IDPs camp sites and host communities and along selected humanitarian supply routes;",
"i. After consultation with the Parties, the Chairperson of CFC shall establish buffer zones in between forces of the Parties and areas experiencing intense conflicts, where necessary;",
"ii. The Parties shall ensure that the armed and militias groups under their control of influence are committed to and comply with the ceasefire;",
"v. No Party shall undertake any military activities or establish any new armed group or militia.",
"PRESENCE OF FOREIGN ARMED COMBATANTS IN DARFUR",
"396. The presence of foreign armed combatants in Darfur is a serious challenge to peace and security and constitutes a potential threat to this Agreement. Consistently with paragraph 385, the GoS shall take appropriate measures to control, disarm, neutralise and repatriate these groups.",
"1. The Parties note the action being taken in collaboration with neighbouring countries to control the presence of foreign armed combatants in Darfur and agree to support the initiative.",
"PHASE Two REDEPLOYMENT",
"398. The process of redeployment involves the following activities:",
"i. The Chairperson of the CFC, in consultation with the Parties, shall establish buffer zones and Redeployment Areas.",
"ii. The Parties shall redeploy their forces and their weapons away from the buffer zones and into their respective Redeployment Areas.",
"i. UNAMID shall monitor the buffer zones and conduct patrols therein.",
"ii. The restoration of provision of basic services and access to basic services for civilians.",
"DISARMAMENT OF ARMED MILITIA GROUPS",
"399. All armed militia groups shall be disarmed and disbanded as a prerequisite for the implementation of comprehensive arms control measures, to ensure security throughout Darfur. The GoS shall be responsible for the disarmament of the armed militia. In this regard, the GoS shall present a comprehensive plan to the CFC for the disarmament and disbandment of armed militia, and for combating illegally armed persons, bandits and other outlaw groups both foreign and local operating in Darfur. The plan shall include measures to be taken to complete the exercise before the start of the integration phase. The plan shall also include measures for the rehabilitation and socio-economic reintegration of members of these disbanded groups, and the separation of men and women in assembly areas.",
"400. This plan shall be presented to the Chairperson of the CFC for review and approval before the commencement of the phase 1, and implemented according to the timetable of the plan.",
"401. The CFC shall monitor and verify the disarmament and disbandment of the militia groups, and the combating of illegally armed persons, bandits and other outlaw groups, in accordance with the agreed plan.",
"PHASE THREE:",
"LIMITED ARMS CONTROL",
"402. Following the redeployment of the Parties’ forces into their respective Redeployment Areas and before assembly of the Movements’ forces, the following limited arms control measures shall take place:",
"i. The Movements shall store their long-range and crew-assisted weapons, artillery and relevant munitions in secure locations designated by the Chairperson of the CFC. UNAMID shall carry out inspection at the unit level. The Movements’ combatants shall retain personal weapons until the commencement of integration into the SAF and the Sudan Police Forces (SPF);",
"ii. In consultation with the Parties, UNAMID shall prepare the sites for temporary storage of long-range and crew assisted weapons, artillery and related munitions and monitor the storage of weapons and munitions that have to be held subject to the inspection of UNAMID;",
"iii. The Chairperson of the CFC shall oversee the arms control process and determine the requirements and procedures for holding and inspection, including the precise designation of the weapons, artillery and munitions to be stored.",
"JOINT COORDINATION MECHANISM",
"403. For the purpose of confidence-building and maintaining security in Darfur, the Parties shall establish a Joint Coordination Mechanism (JCM), after the verification of the Movements’ forces. The JCM shall remain in force until the commencement of the integration process, and shall function under the strict guidance of the CFC.",
"404. The JCM shall perform the following functions:",
"i. The coordination of efforts and steps in addressing any potential threat to the implementation of this Agreement;",
"ii. The exchange of intelligence and other relevant information;",
"i. The supervision of measures to organise the Movements’ forces and the maintenance of their security in the redeployment areas and assembly areas;",
"i. The facilitation of the distribution of Non-military Logistical support as agreed upon by the Parties and in collaboration with the Joint Logistics Coordination Committee (JLCC);",
"ii. The facilitation of the dissemination of the terms of this Agreement to field commanders and forces under their command and the sequence of the phases of its implementation;",
"iii. Any other tasks as shall be agreed upon.",
"ARTICLE 68: DEMILITARISED ZONES AND BUFFER ZONES GENERAL COMMITMENTS",
"405. The Parties reaffirm their commitment to:",
"i. Respect the rights of civilians including the IDPs and refugees;",
"ii. Refrain from activities that would undermine the safety, welfare and security of civilians and IDPs;",
"i. Refrain from activities that would undermine or endanger humanitarian operations in Darfur;",
"ii. Create an enabling environment for the safe voluntary and sustainable return of IDPs and refugees to their places of origin;",
"v. Provide special protection for women, disabled persons, children including those associated with the armed forces and armed groups, and other persons with special needs.",
"DEMILITARISED ZONES",
"406. Without prejudice to paragraph 385, the Demilitarised Zones shall be an area subject to the following rules:",
"i. There shall be no forces in this zone of any Party or any other armed group or militias except by permission of the CFC and escorted by UNAMID;",
"i. There shall be no carrying of weapons by any persons except with the permission of the CFC and escorted by UNAMID;",
"iii. The perimeter of a DMZ shall not include any urban area, approaches to an airport or urban security plan locations that are the full responsibility of the GoS;",
"iv. The Chairperson of the CFC shall determine the borders of the DMZ following consultation with the Parties;",
"i. The Chairperson of the CFC in consultation with the members of the CFC shall decide whether the redeployment process of the forces related to any Party is a necessary measure;",
"v. The Chairperson of the CFC shall, in consultation with the members of the CFC decide the measures connected to any required redeployment in addition to the timetable pertaining to this redeployment;",
"vi. The CFC shall consider any violation pertaining to the DMZs as ceasefire violation.",
"407. UNAMID shall have the following responsibilities in relation to DMZs surrounding IDP camp sites and hosting communities and humanitarian supply routes:",
"i. UNAMID and the SPF, in the GoS areas of control and the Movements’ Liaison Officers, in areas where the CFC verifies and recognises the Movements’ control, shall develop a plan for patrolling and monitoring the DMZs around IDP camps and shall oversee the implementation of the plan;",
"ii. DMZs falling within areas of control of the GoS shall be patrolled by units of UNAMID and the SPF. Executive policing functions shall be carried out by the SPF under the monitoring of UNAMID;",
"iii. DMZs falling within areas where the CFC verifies and recognises the Movements’ control shall be patrolled by units comprising UNAMID and the Movements’ Liaison Officers.",
"BUFFER ZONES",
"408. The CFC shall develop a plan including rules and procedures for patrolling and monitoring the Buffer Zones and shall oversee its implementation.",
"ARTICLE 69: NON-MILITARY LOGISTICAL SUPPORT TO THE MOVEMENTS",
"409. The Movements may request non-military logistical support and the GoS shall provide such support and may ask international partners to assist in this regard.",
"410. A Joint Logistics Coordination Committee shall be established by UNAMID and be composed of the Parties, UNAMID and representatives of the donors that may provide such assistance. The modalities of the support shall be determined by the Committee.",
"411. The terms of reference of the JLCC shall include the following:",
"i. Gather and collate data on the logistical requirements of the Movements' forces in terms of food, water, shelter, clothing and medical supplies/treatment and transportation needs as determined by the JLCC;",
"ii. Receive and store logistical supplies from international donors;",
"i. Place orders for logistical supplies in appropriate quantity and quality;",
"ii. Distribute logistical supplies to the Movements' forces through distribution points or centres in the redeployment areas and assembly areas;",
"v. Determine the rules and procedures that govern the provision of non-military logistical supplies to the Movements' forces.",
"412. The following conditions shall be fulfilled for such support to be provided:",
"i. The number and location of combatants including the presence of children, if any, among the ranks, is given to the UNAMID Force Commander and verified in accordance with paragraphs 393 & 394;",
"ii. Accessible locations for sizeable number of combatants are identified and agreed upon.",
"ARTICLE 70: SECURITY OF IDP CAMPS AND HUMANITARIAN OPERATIONS IN DARFUR",
"413. The GoS shall, in consultation with the DRA, recruit male and female volunteers from the local communities, IDPs and returning refugees into the Community Police, to participate in maintaining the security and safety of the IDPs' camps and voluntary return villages. The UNAMID shall contribute in training the community police.",
"414. The Parties agree to refrain from acts that might jeopardize the humanitarian operations in Darfur and restate commitment to create appropriate security conditions for the unimpeded flow of humanitarian assistance and goods, guarantee security in IDP camps and the creation of an atmosphere conducive for the safe voluntary and sustained return of IDPs and refugees to their areas of origin.",
"415. The Parties' forces shall refrain from activities that would undermine the safety, welfare and security of IDPs.",
"ARTICLE 71: CIVILIAN ARMS CONTROL",
"416. Owing to the proliferation of small arms in the hands of civilians in Darfur, the Parties, with the support of UNDP and UNAMID, shall develop a strategy and plans for the implementation of a voluntary civilian arms control programme.",
"417. The GoS shall mobilize resources for the civilian arms control programmes. The GoS may seek assistance from international organizations.",
"ARTICLE 72: DISARMAMENT, DEMOBILIZATION AND REINTEGRATION, AND INTEGRATION OF FORMER COMBATANTS INTO THE SUDANESE ARMED FORCES AND POLICE FORCES",
"GENERAL PROVISIONS",
"1. The Disarmament, Demobilization and Reintegration (DDR) and Integration-process shall take place within the designated assembly areas after phase III, with only those former combatants that have been verified as part of the Movements' forces. UNAMID, in consultation with the Movements, shall develop a plan for the assembly areas to include:",
"i. The size, number and locations of the assembly areas;",
"ii. Desired characteristics of the assembly areas, taking into account the specific needs of female former combatants;",
"i. Accessibility for the provision of logistical support;",
"ii. UNAMID shall present this Plan to the CFC for approval. The CFC shall designate the assembly areas in the light of the plan.",
"419. The Movements shall be responsible for the administration, discipline and internal security of former combatants in the assembly areas.",
"420. Long-range, artillery, crew-served weapons and relevant munitions shall not be moved into the assembly areas.",
"421. Logistics support shall be provided for the establishment of the assembly areas and during the processes of disarmament and demobilization, and integration.",
"422. On the completion of the verification and registration process and the establishment of assembly areas, the Movements' combatants that have been so verified and registered shall move into the assembly areas with only small arms. UNAMID shall support and monitor the process.",
"423. The GoS shall provide former combatants who wish to return to civilian life or do not meet the eligibility criteria for entry into the SAF and the SPF with social and economic reintegration opportunities.",
"424. Fairness, transparency and equity shall be ensured in determining the eligibility of former combatants targeted for assistance.",
"1. Former combatants shall be treated equally irrespective of their previous Movements' affiliation. They shall also be empowered by provision of training and information to voluntarily choose their path to reintegration. The reintegration process shall be community based and benefit both returnees and local communities.",
"1. Reintegration programme shall be designed to be sustainable over the long-term and include follow-up monitoring and continuing support measures as needed.",
"425. The reintegration programme shall encourage the participation of the communities and civil society organizations including women groups, with the view to strengthening their capacity to play their role in improving and sustaining the social and economic reintegration of former combatants.",
"426. The GoS shall provide financial and logistical support for the DDR and Integration programme and may seek to mobilize support from the international community.",
"427. Specific resources shall be mobilized and set aside to address the special reintegration needs of women.",
"DISARMAMENT AND DEMOBILIZATION",
"2. Parties agree that the North-Sudan DDR Commission shall be re-established to reflect new realities. The Commission shall be expanded to include representatives from the Movements.",
"3. UNAMID shall conduct the verification of Movements' forces concurrently in all the areas.",
"432. The DDR Commission, with the assistance of UNAMID and other relevant UN Agencies, shall develop plans including the timing and sequencing of phases of DDR of former combatants.",
"433. The Parties shall assemble their former combatants. However, care shall be taken for disarmament and demobilization to be done in accordance with the following:",
"i. Awareness and sensitisation of the leadership and their forces on disarmament, demobilization, reintegration and the peace process as well as their roles and responsibilities;",
"ii. The Parties shall decide on the criteria of eligibility for the process of disarming the combatants who are not integrated;",
"iii. The Parties shall ensure that the duration of the release process of all child combatants, if any, is as brief as possible and not dependent on any release or demobilization of adults. The safety and dignity of the child and his/her need for confidentiality must be primary considerations. Children should be rapidly separated from adult fighters and handed over to an appropriate, mandated and independent civilian process;",
"iv. The Parties shall not transfer former combatants who are below the age of 18 to the assembly areas. Rather, they shall be released and demobilized separately before the signing of this Agreement;",
"v. The Parties shall begin, as a matter of priority, the process of demobilization and reintegration of special needs groups, which includes disabled ex-combatants and women.",
"ARTICLE 73: SOCIAL AND ECONOMIC REINTEGRATION OF EX-COMBATANTS INTO CIVILIAN SOCIETY",
"434. Disarmed and demobilized ex-combatants shall be socially and economically reintegrated into the civilian society. The GoS shall mobilize its own resources as well as seek assistance from the international community and assume the responsibility to reintegrate ex-combatants into civilian life through proper social and economic reintegration programmes.",
"435. The programme for the disarmament, demobilization and reintegration of former combatants shall also contain a community-based approach, including community violence reduction measures, in accordance with local conditions, in order to further the goal of disarmament, demobilization and reintegration.",
"1. Principles of fairness and transparency, equality and integrity shall be followed in the social and economic reintegration of ex-combatants. Moreover, former combatants shall be treated equally irrespective of their former association with any of the Movements.",
"437. The process of reintegration shall be community-based so that both the returnees and the local communities will benefit from it.",
"438. It is imperative that social and economic reintegration of ex-combatants assures the participation of local communities and civil society organizations including women groups, towards enabling them to play their role in the sustainability of the social and economic reintegration of boys and girls associated with armed forces and armed groups and other vulnerable conflict affected children.",
"439. Reintegration programmes must be inclusive to support boys and girls who have left armed forces or armed Movements through formal and informal processes, as well as other vulnerable conflict affected children in need of protection, such as girl mothers.",
"440. Priority shall be to address the social and economic reintegration of Special Needs Groups such as women combatants and women associated with armed Movements, in particular widows, boys and girls associated with armed forces and armed Movements and other vulnerable conflict affected children, disabled combatants and the elderly.",
"1. Efforts shall be made to realize the long term sustainability of reintegration through community-based approach. These efforts are to include follow-up action, monitoring measures and ongoing support, as required.",
"ARTICLE 74: INTEGRATION OF FORMER COMBATANTS INTO THE SUDAN ARMED FORCES AND POLICE FORCES",
"INTEGRATION PRINCIPLES",
"2. An agreed number of eligible combatants from the Movements' forces shall be integrated into the SAF and the SPF. The number shall be determined by the Parties with the assistance of the ITC.",
"3. The GoS shall provide support and training for former combatants, including accelerated training, which are necessary to ensure fulfilment of the eligibility criteria for capacity enhancement and promotion to higher ranks.",
"4. The GoS in consultation with the Movements may ask UNAMID, the donors and the international partners to create opportunities for training and professionalization within its training institutions in favour of former combatants, including officers, non-commissioned officers, soldiers and the police to enhance their professional expertise.",
"441. Former combatants integrated into the SAF and SPF shall be excluded from any downsizing process of the SAF and SPF during the first six years of service, except for those that have violated the regulations and code of conduct of these institutions.",
"446. Former combatants, male and female, who do not wish to join the Sudanese Armed Forces and Police Forces but expressed the desire to join the civil service, shall be referred to the NCSC as decided by the DDR Commission for assessment and placement.",
"1. The GoS shall act towards having a number of former combatants occupy posts in the Office of the Chief of Staff, divisional general commands at the level of the higher commandment of the SAF, brigade commands, the Ministry of Defence, the Ministry of Interior, the headquarters of the higher police command in the capital, in Darfur States, and in other parts of Sudan, according to the criteria applicable in the SAF and the SPF.",
"DARFUR SECURITY ARRANGEMENTS IMPLEMENTATION COMMISSION",
"447. The Darfur Security Arrangements Implementation Commission (DSAIC) shall be established by the DRA. As a subsidiary body of the DRA, the DSAIC shall coordinate the implementation of the security arrangements provisions of this Agreement.",
"448. The Commission shall establish an Integration Technical Committee (ITC) to design, plan, implement, manage, and monitor the integration programme of former combatants.",
"2. The membership of the ITC which shall include women shall consist of UNAMID, representatives of the Parties and technical experts from a country or countries acceptable to the Parties.",
"1. DSAIC members shall include the representatives of the Governors of the three Darfur States, a representative of the Chief of Staff of the SAF, a representative of the National Council for DDR Coordination, representatives of the Movements and representatives of UNAMID, and other persons required to implement integration. The Chairperson of the DSAIC shall be appointed by a Presidential Decree in consultation with the Chairperson of the DRA.",
"449. All subsidiary bodies established by the DSAIC shall include representatives from the entities that make up the membership of the DSAIC.",
"450. Women shall be fairly represented in the DSAIC and the subsidiary bodies it establishes. These bodies shall develop mechanisms to ensure that their work incorporates appropriate input from women on issues of special concern to women and children.",
"THE INTEGRATION PLAN",
"454. The Integration programme shall be phased as defined by the ITC.",
"455. The Parties agree to determine the number of male and female former combatants to be integrated in the SAF, the SPF and selected civil services on the basis of the verified number of the Movements' forces.",
"1. The integration of the Movements' forces into the SAF and the SPF shall include a vetting process agreed upon by the Parties and monitored by the ITC, and shall be guided by the following criteria:",
"i. Sudanese nationality;",
"ii. Age (shall not be less than 18 or has attained retirement age);",
"iii. Medical and mental fitness subject to ITC determination;",
"i. Combat experience;",
"iv. No previous criminal conviction;",
"v. Voluntary consent of the individual.",
"457. Criteria guiding the integration of officers shall include, in addition to the above, the following:",
"i. Academic qualification (a minimum of secondary school certificate. The ITC could make exceptions for a considerable number of field commanders);",
"ii. Combat experience;",
"i. Age;",
"ii. Not to have been dismissed due to incompetence.",
"458. The former combatants who have been integrated shall be subjected to military training in accordance with the requirements of each unit.",
"459. The number of officers agreed upon for integration shall be proportional to the total number of non-commissioned officers and soldiers in accordance with the organizational structure of the SAF and SPF.",
"460. Officers and non-commissioned officers who are entering the military and police forces for the first time will be subjected to a period of training based on the curriculum of courses in the respective forces.",
"461. The following criteria shall guide the process of determining ranks:",
"i. Age;",
"ii. Training and combat experience;",
"iii. Academic qualifications;",
"iv. Former military and police officers dismissed because of the conflict in Darfur shall be returned to their former ranks in the first instance and thereafter given the ranks of their course mates after passing the required competency based tests;",
"v. Any other applicable criteria agreed upon by the Parties.",
"462. The GoS shall provide standardized training to those ex-combatants above age 18 selected for integration into the SAF and the SPF.",
"REFORM OF SOME MILITARY INSTITUTIONS",
"463. The Parties recognize the need for reform and development of military institutions in Darfur in order to improve their capacity, effectiveness and professionalism and to strengthen the rule of law in accordance with accepted standards.",
"464. The GoS shall submit a plan, including timelines, for the reform, development and restructuring of the identified military institutions to the DSAIC to monitor its implementation. The GoS may source funding and experts to support this exercise from within and outside Sudan.",
"TIMEFRAME AND SEQUENCING OF ACTIVITIES",
"465. The phases shall be undertaken according to the following timelines:",
"i. The preparatory phase shall be completed 7 days after the signing of this Agreement;",
"ii. Phase 1 on disengagement shall commence immediately after the completion of the preparations and shall be concluded within 45 days;",
"i. Phase 2 on redeployment shall commence immediately after the completion of Phase 1 and shall be concluded within 45 days;",
"ii. Phase 3 on limited arms control shall commence immediately after the completion of Phase 2 and shall be concluded within 30 days;",
"v. The integration, disarmament, demobilization and reintegration of former combatants shall commence immediately after the completion of Phase 3.",
"466. In consultation with the Parties, the Chairperson of the CFC may amend this schedule if so required for security, logistical or other reasons.",
"OTHER PROVISIONS",
"ARTICLE 75: SETTLEMENT OF DISPUTES",
"467. Any disagreement or dispute over the interpretation of the final security provisions or any of the existing ceasefire agreements shall be referred to the Commission which shall make its decisions by consensus.",
"1. Where consensus cannot be reached by the Parties, the Chairperson of the Commission shall, together with the international members and in consultation with the observers of the Commission, make a decision in the best interest of maintaining the ceasefire, and the Parties shall abide by the decision.",
"CHAPTER VII: INTERNAL DIALOGUE AND CONSULTATION AND",
"IMPLEMENTATION MODALITIES",
"ARTICLE 76: DARFUR INTERNAL DIALOGUE AND CONSULTATION",
"469. The Parties fully recognize the important role that the Darfur stakeholders have played in the Doha peace process.",
"470. The Parties agree that the outcomes of the various consultations and discussions held in and outside Darfur/Sudan, including the Doha Forums I and II, and the ADSC, on issues relating to the root causes and consequences of the conflict have enriched the negotiations that led to the signing of this Agreement.",
"471. The Parties stress the necessity for the continuation of the dialogue and consultation within Darfur, in order to consolidate peace and promote reconciliation and healing.",
"472. The Parties therefore agree that a Darfur Internal Dialogue and Consultation (DIDC) shall be conducted, in accordance with the provisions of this Agreement.",
"TERMS OF REFERENCE",
"473. Primarily, the DIDC will, through popular consultation and dialogue seek to consolidate peace in Darfur, promote confidence-building and encourage reconciliation as well as unity among the people of Darfur and Sudan in general. Specifically, the DIDC will aim at:",
"i. Widening ownership for this Agreement and mobilizing support for its implementation;",
"ii. Addressing issues related to civic responsibilities, democratic values and practice as well as peacebuilding;",
"iii. Enhancing time tested traditional practices regarding settlement of local disputes, land ownership, pastures, transhumance, water and natural resources etc. ... ;",
"i. Promoting inter-tribal and inter-communal peace, reconciliation and harmonious coexistence;",
"iv. Enhancing the status of Native Administration including restoring its authority and building its capacity;",
"ii. Raising awareness and mobilizing support for all measures taken regarding civilian arms control, the promotion of women, youth development, the safe return of IDPs and refugees and their reintegration into the society, property restitution and compensation, as provided for in this Agreement; and",
"vii. Bringing about a social and political rejuvenation in Darfur and helping the people to come to terms with their immediate past and forge ahead.",
"FACILITATION OF THE DIDC",
"474. The Parties agree that the DIDC shall be facilitated by UNAMID, the AU and the State of Qatar. These entities are requested to develop the modalities and the mechanisms for the conduct of the DIDC as well as the timelines within which it will take place. The Parties undertake to take necessary steps to create the enabling environment to enhance the credibility of the process and outcome of DIDC.",
"1. Representatives of the Parties and other interest groups shall be fully represented in the mechanisms.",
"2. As an advisory mechanism and a vehicle for social and political transformation, the DIDC process is expected to have an immediate impact in mending the social fabric, casting individual and collective mindset towards peaceful coexistence and reconciliation, and shaping the future of the people of Darfur. The outcomes of the DIDC, which shall be in the form of best practices and lessons learned, shall be formally submitted to the GoS, the DRA, and the DSG.",
"LOGISTICAL SUPPORT AND FUNDING",
"1. UNAMID shall provide logistical support for the work of the Mechanism and the conduct of the DIDC, within its capabilities. It is the responsibility of the Parties to establish an enabling environment in order to guarantee full participation of all stakeholders and the successful conduct of the DIDC. UNAMID will also assist in developing a communication strategy to ensure that information about the DIDC and the actual process is widely disseminated within and outside Darfur and Sudan, and also properly documented and archived.",
"3. The GoS and the international donors will be invited to contribute towards funding the DIDC. Funds shall be held in a special trust fund established for purposes of the DIDC.",
"ARTICLE 77: IMPLEMENTATION FOLLOW-UP COMMISSION",
"4. An Implementation Follow-Up Commission (IFC) is established in accordance with the provisions of this Agreement to:",
"i. Monitor and assess the implementation of this Agreement;",
"ii. Assist in the provision of funding and technical assistance to bodies established by this Agreement; and",
"iii. Support the implementation of this Agreement in accordance with the agreed timelines.",
"COMPOSITION OF THE IFC",
"480. The IFC is composed of the following members who have expressed commitment to support the implementation of this Agreement:",
"i. Representative of the State of Qatar -Chairperson",
"ii. Two (02) Representatives from the GoS -Member",
"iii. Two (02) Representatives from the Movements -Member",
"iv. Representative of the AU -Member",
"v. Representative of the UN -Member",
"vi. The JSR and Head of UNAMID -Member",
"vii. The Former AU-UN Joint Chief Mediator -Member",
"viii. Representative of the LAS -Member",
"ix. Representative of the EU -Member",
"x. Representative of the OIC -Member",
"xi. Representative of Canada -Member",
"i. Representative of France -Member",
"xii. Representative of Japan -Member",
"xiii. Representative of the Arab Republic of Egypt -Member",
"ii. Representative of the People's Republic of China -Member",
"xiv. Representative of the Republic of Chad -Member",
"xvii. Representative of the Russian Federation -Member",
"xviii. Representative of the United Kingdom -Member",
"i. Representative of the United States of America -Member",
"481. The inaugural meeting of the IFC shall be convened by the State of Qatar as the Chairperson.",
"FUNCTIONS OF THE IFC",
"482. The IFC shall perform the following functions:",
"i. Monitor, document and follow-up the implementation of this Agreement on an on‑going basis;",
"ii. Maintain close contact with the Parties to promote full commitment to all the provisions of this Agreement and facilitate the Parties' efforts towards this end;",
"iii. Plan and oversee the provision of technical assistance and support for post-conflict activities, as well as for the establishment and functioning of bodies provided for in this Agreement including, but not limited to, the provision of capacity-building, training as well as provision of resources, experts and advisers;",
"iv. Assess and evaluate progress made in the implementation process and advise the Parties of any development that could cause delay and propose appropriate measures in this regard;",
"v. Assist in providing the required political and material support towards the full implementation of this Agreement;",
"vi. Any additional functions that the IFC and the Parties may deem appropriate and which are in conformity with the letter and spirit of this Agreement.",
"MEETINGS OF THE IFC",
"483. The IFC shall meet quarterly and issue a report after each meeting. The IFC shall convene emergency meetings whenever deemed necessary. Any of the Parties may request the Chair of the IFC to convene an emergency meeting.",
"484. UNAMID shall establish a Secretariat to support the functions and activities of the IFC.",
"485. The IFC shall adopt its own rules of procedure.",
"ARTICLE 78: FINAL PROVISIONS",
"486. The annexed implementation timetable is an integral part of this Document.",
"487. Upon its adoption by the Parties, this Document shall have constitutional status. This status shall be stated in the National Constitution.",
"Draft implementation timetable",
"A. Power sharing",
"SerialNo.\tActivity\tReference\tBody(ies)/party(ies)responsible\tTimeline\tComposition\tFundingsource(s)\tProcedures1. \n1.\tAppointmentsin thePresidency(VP, DRA\tParagraphs39,66,40\tPresidency\tD+30days ByPresidentialDecree \n\tChairperson,AssistantsandAdvisersto thePresident) \n2.\tAppointmentin theNationalCouncil ofMinisters(MinistersandMinistersof State)\tParagraph42\tPresidency\tD+30days ByPresidentialDecree3.\tEstablishmentof the DRA\tParagraphs59to62\tPresidency\tD+30+30 ByPresidentialDecree \n days \n4.\tEstablishmentof thePanel ofExperts bythe JSC\tParagraph46\tJSC\tD+90days By theChairpersonof theJSC5.\tEstablishmentof thePanel ofExperts bythe NCSC\tParagraph51\tNCSC\tD+90days\tSubstantialrepresentation\tGoS\tBy theChairpersonof theNCSC fromDarfur includingatsenior \n level \n6.\tCompletionof thedemarcationof thenorthernborders ofDarfur\tParagraph81\tGoS\tD+180days The JTCwillcarryout thedemarcationexercise\n7.\tRepresentationofMovement(s)in StateExecutive\tParagraph82\tGoSandDSG\tD+90days Statesbudget\tAs peradditionalprotocol\n8.\tRepresentationofMovement(s)inNational &StateLegislatures\tParagraphs43,82\tGoS/States\tD+90days National&Statesbudgets\tAs peradditionalprotocol9.\tRepresentationofMovement(s)in theDarfurLocalGovernment\tParagraph87\tGoSandDSG\tD+90days GoS\tAs peradditionalprotocol \n (Localities) \n10.\tAffirmativeactionwithregard toHigherEducation\tParagraphs89to93\tGoS\tD+90days ByPresidentialDecree\n11.\tRepresentationof theMovement(s)in the SAFand SPFand otherregularforces\tParagraphs57,58\tGoS\tD+40daysonwards",
"B. Wealth sharing",
"SerialNo.\tActivity\tReference\tBody(ies)/party(ies)responsible\tTimeline\tComposition\tFundingsource(s)\tProcedures \n12.\tAdoptionandimplementationofintegratedprojectsfor thedevelopment,stabilityandsettlementof nomads,raisingthe\tParagraph98\tGoS/DRA/DSG\tD+90daysonwards GoS/DRA\tIdentifyingspecificprojectsandconductingeconomicstudiesto beapplied productivityof thissector andregulatingthe relationshipbetweenfarmersandherders toensuresecurity,stabilityand \n\tdevelopmentfor all 13.\tDevelopingpoliciesandconductingnecessarystudiesforputting anend toenvironmental\tParagraph172 (i)\tGoS/DRA/DSG\tD+90daysonwards GoS/DRA/DSG \n\tdegradationandpreservingnaturalresources \n14.\tDevelopingpoliciesto enablethe femaleelement asa workingforce inDarfur andbuildtheirproductivecapacitiesespeciallythereturneesamong them\tParagraph141(iii)\tDRA/DSG\tD+90daysonwards DRA/DSG\t15.\tDevelopingandimplementingpoliciestoencourageexportsfromDarfur tonationalandinternationalmarkets,and toencouragethe\tParagraphs114&116\tGoS/DRA/DSG\tD+90daysonwards GoS/DRA/DSG specializedcommercialand \n\tgovernmentalbanks toexpandtheiractivitiesin Darfur 16.\tDevelopingandimplementingpoliciesthat leadto thedevelopmentof the\tParagraph117\tGoS/DRA/DSG\tD+90daysonwards GoS/DRA/DSG/donors educationalsystem,provideeducationandtrainingfor Darfurcitizensand the \n\teliminationofilliteracyamongwomen 17.\tPromotingresearchanddevelopment,especiallyin thedevelopmentoftechnologyin theareas of\tParagraph118\tGoS/DRA/DSG\tD+90daysonwards GoS/DRA/DSG/donors agriculture,animalhusbandry,smallindustriesand handicrafts,mining, \n\tenvironmentandenergy,with afocus onrenewableenergies 18.\t(a) Fullexemptionof customsduties andother feesforimportingmaterialsfor\tParagraph126 (i)\tGoS\tD+30daysonwards\tGoS DirectivesfromtheMinistryofFinanceand \n\tconstructionanddevelopmentin Darfur; NationalEconomyto theSudanesecustoms\t(b) TheGoS shallbearcustomduties aswell asotherduties andfeespayable onmaterialsimportedfornational\tParagraph126 (ii) \n\tdevelopmentprojectsin Darfurandprojectsfunded bythe GoS orby way ofloans \n19.\tAmendmentsin theInvestmentPromotionLaw toprovidegreaterincentivesto maketheinvestmentmoreattractiveto foreignanddomesticfirms inthe Statesof Darfur\tParagraph126(iii)\tGoS/NationalAssembly\tD+180days \n20.\tEstablishmentof theFFAMC\tParagraph152\tGoS/NationalAssembly\tD+180days Promulgationof lawon theestablishmentof theFFAMC21.\tAppointmentof a teamof expertsto be incharge of\tParagraph152\tFFAMC\tD+180days \n\tidentifyingthecriteriagoverningthetransfersfrom theNationalRevenueFund tothe States 22.\tTheestablishmentof theDJAM,definitionof itsobjectivesand thepreparationforlaunchingits work\tParagraph176\tParties/Donors\tD+30days\tParties/Donors Creationof theCoreCoordinatinggroup,definitionof itsfunctionsand theSecretariatof themission-basedworkand the provisionof workassistancein both \n KhartoumandDarfur23.\tLaunchingthe DJAM\tParagraph177\tGoS/WB/ADB/DDB/UN/DRA\tD+60days\tGoS/UN/ADB/allcountriesandeconomic\tThecommissionsestablishedtoimplement \n regionalandinternationalorganizations\ttheactionsoftheDJAM\t24.\tPreparationof theDJAMreportwith aview toassessingthe needsof Darfur\tParagraph180\tDJAM\tD+120days\tGoS/UN/ADB TheSecretariatshallpreparethefinalreportof thework oftheDJAMandsubmitit tothecentralcoordinatinggroup includingdevelopment projects,thefightagainst poverty, economic recoveryandtheircost,and \n includingtheconsentof theGoS tobearpart ofthetotalcost25.\tHolding oftheDonors’conferenceandestablishmentof aMulti-DonorTrust Fundand the\tParagraphs176&178\tWB/UN/ADB/StateofQatar\tD+180days Thedonors\tInvitingtheIDB,AU,LAS,Arabfunds,EU, US,ArabandIslamic Supervisorybody ofthe DRDF countriesand allotherinterested \n countriesandorganizations26.\tRestructuringthe DRDF\tParagraph139\tTheParties\tD+60 \n days \n27.\tTransferof US$200,000,000(twohundredmillion USdollars)to DRDF(Seedmoney).\tParagraph142\tGoS\tD+90days \n28.\tTransferof US$300,000,000(threehundredmillion USdollars)to DRDF(secondpayment)\tParagraph142(i)\tGoS\tD+1yr+60days \n29.\tTransferof US$300,000,000(threehundredmillion USdollars)to DRDF(thirdpayment)\tParagraph142 (ii)\tGoS\tD+2yrs+60days 30.\tTransferof US$300,000,000(threehundredmillion\tParagraph142(iii)\tGoS\tD+3yrs+60 \n\tUS dollars)to DRDF(fourthpayment) days \n31.\tTransferof US$400,000,000(fourhundredmillion USdollars)to DRDF(fifthpayment)\tParagraph142 (iv)\tGoS\tD+4yrs+60days \n32.\tTransferof US$500,000,000(fivehundredmillion USdollars)to DRDF(sixthpayment)\tParagraph142 (v)\tGoS\tD+5yrs+60days 33.\tEstablishmentof the MFSanddevelopmentof itsstatute\tParagraph130\tCentralBankofSudan,inconsultationwiththeGoSandDRA\tD+60days ThePartieswiththeparticipationofspecialistsin\tDecisionby theCentralBank thefieldof \n microlending\t\n34.\tFirstinstalmentofUS$ 40,000,000(fortymillion USdollars)\tParagraph134\tGoS\tD+90days\tGoS To bepaid tothe MFSinDarfur\n35.\tSecondinstalmentofUS$ 30,000,000(thirtymillion USdollars)\tParagraph134\tGoS\tD+1yr+90days\tGoS To bepaid tothe MFSinDarfur\n36.\tThirdinstalmentofUS$ 30,000,000(thirtymillion USdollars)\tParagraph134\tGoS\tD+2yrs+90days\tGoS To bepaid tothe MFSinDarfur\n37.\tCapacity-buildingto thebeneficiariesof the MFS\tParagraph132\tDRA&DSG\tD+120days\tGoS \n38.\tFirstinstalmentofUS$ 75,000,000(seventy-fivemillion USdollars)to supportsocialservicesin DarfurStates\tParagraph138\tGoS\tInmonthlyinstalments To bepaid totheStateswiththemonthlysupport\n39.\tSecondinstalmentofUS$ 75,000,000(seventy-fivemillion USdollars)\tParagraph138\tGoS\tInmonthlyinstalments To bepaid totheStateswiththemonthlysupport\n40.\tThirdinstalmentofUS$ 75,000,000(seventy-fivemillion USdollars)\tParagraph138\tGoS\tInmonthlyinstalments To bepaid totheStateswiththemonthlysupport41.\tDecisionto spendthe Zakatmoneycollectedin DarfurinsideDarfur\tParagraph150\tCentralZakatChamberBoard\tD+30days CommunicationcirculatedfromtheCentralZakat \n ChamberBoardto allZakatofficesinDarfur42.\tThe ZakatChambershallprovidethemaximumpossiblenecessaryfundingandimplementtheprojectsin favourof poorfamilies,\tParagraph151\tCentralZakatChamberBoard\tD+90days Decisionof theCentralZakatChamberBoard \n\tparticularlyreturnees,IDPs andrefugees 43.\tFormulatingpoliciesandprojectsdirectedtowards\tParagraph173\tGoS/DRA\tD+30onwards developmentof the traditionalrain-fed \n agriculture 44.\tAssessmentandrevitalizationoffeasibleprojectsmentionedinparagraph174\tParagraph174\tGoS/DRA/donors\tD+1yr\tGoS Composinga teamofprofessionalexpertstoconductthestudies \n necessary45.\tWorkingout andimplementinganadvancedandcomprehensivecapacity-buildingprogrammein thefields ofpublicfinance,fiscalfederalism,includingtransparencyinexpendituresmanagement GoS/DRA/donors\tD+30daysonwards\tGoS The GoSshallconcludecontractswithspecializedbodiesfrominsideandoutsideSudantoformulatetheprogrammeandelaborateitsexecutionwithinthetimeframe \n specified46.\tConductingacomprehensivestructuralreform ofuniversitiesin Darfurin termsofinfrastructureandcompletionof itsinstitutionsto beenabled toundertaketheirmission\tParagraph171 (v)\tGoS\tD+30daysonwards\tGoS Financingtherequiredreformunder aplanpresentedby theMinistryofHigherEducationandScientificResearch(incollaborationwiththeuniversities \n concernedinDarfur)\n47.\tEstablishmentof the DLC\tParagraph196\tGoS/NationalAssembly\tD+180days\tGoS ByPresidentialDecree\n48.\tGradualamendmentof laws toincludethe rightsto theland andtheir usesinaccordancewith thecustoms,traditionsandlegaciesin theownershipof land,thelivestockroutes andaccess towatersources.Andenablingthe peopletoregisterthe landcustomarilyowned bythem astheir ownlands\tParagraphs182&194\tGoS/DRA/DSG/TheLegislatures\tD+120daysonwards TheGoS,the DRAand theStateGovernmentsshallpreparedraftsfor theamendmentof thelaws tobepassedby theNationalCouncil,approvedby theDRACouncil,andadoptedby theStateLegislatures\n49.\tRestorationof thelands —which weregrantedunder theinvestmentlaws andwhoseownersbreachedtheconditionsunderwhich theyweregranted —to thestatus quoante\tParagraph183\tDRA/DSG/TheLegislatures\tD+120daysonwards \n50.\tPreparationof theplan ofDarfurLand UseMappingDatabaseand itsoutcomes\tParagraph197\tDLC\tD+180daysonwards\tDRA 51.\tAdoptionofrecommendationsand theplan ofDarfurLand UseMappingDatabasein the\tParagraph197\tDRACouncil/DarfurStateLegislatures\tD+2yrs\tDRA&DSG \n\tlegislativebodies inDarfurStates",
"C. Compensation and the return of IDPs & refugees",
"SerialNo.\tActivity\tReference\tBody(ies)responsible\tTimeline\tComposition\tFundingsource(s)\tProcedures \n52.\tEstablishmentof theVRRC andits two\tParagraph25572\tNationalLegislature\tD+45days Enactmentof law \n\tcommittees:VRC andPCRC aswell asthe JAF \n53.\tIssuanceofidentificationdocumentsto IDPsandrefugees\tArticle46paragraphs235‑237\tGoS/UNHCR\tD+90daysonwards GoS\tBasedon thesurveyandneedsassessmentoutcome\n54.\tDemine theareas ofreturn andensureIDPs andrefugeesaccess totheir homelands androutes andaccess topublicservices\tParagraph249(iii)\tGoS/UNAMIDincollaborationwithrelevantorganizations\tD+lyr GoS/Donors(UNAMID)\t\n55.\tConductstatisticalsurveys ofIDPs andrefugeesfor thepurpose ofplanningforvoluntaryreturn\tParagraph257 (i)\tGoS/DRA/UNAMIDwiththeassistanceofUNHCR\tD+60+60days GoS/Donors\t\n56.\tConduct acomprehensiveneedsassessmentin areasofpotentialreturn, toaddressthe issuesof basicservices\tParagraph257 (ii)\tVRRCwiththeassistanceofUNHCR\tOncetheVRRCisestablished\tGoS/VRRCwiththeassistanceofUNHCR\tGoS/Donors",
"D. Justice and reconciliation",
"SerialNo.\tActivity\tReference\tBody(ies)responsible\tTimeline\tComposition\tFundingsource(s)\tProcedures \n57.\tStrengtheningthe Justicesector byestablishingadditionalcourts,deployingadditionaljudicialpersonneland theprovision ofadequateresourcesforprosecutionwork inDarfur\tParagraph296 (i)&(iii)\tGoS\tD+90daysonwards GoS\t\n58.\tGrantinggeneralamnesty\tParagraph329\tThePresidentoftheRepublic\tD+30days ByPresidentialDecree59.\tEstablishmentof theTruth,Justice and\tParagraph311\tGoS/DRA\tD+90days GoS\tByPresidentialDecree \n\tReconciliationCommission \n60.\tEstablishmentof theSpecialCourt forDarfur\tParagraph322\tGoS\tD+90days GoS\tTheNationalJudiciary61.\tEstablishmentof the Fundfor LegalAid\tParagraph328\tGoSwiththeassistanceoftheDonors\tD+90days GoSwiththeassistanceof \n theDonors\t\n62.\tDeclaring anational dayfor peaceandnon-violencein Darfur\tParagraph305\tGoS\tD+30days ByPresidentialDecree63.\tEstablishmentof anindependent,impartial,resourcedandeffectivemechanism toidentify andtakeappropriateactionagainstindividualsin thepublicservice whohave beenprovenguilty ofcommittingabuses andviolationsof humanrights and\tParagraph331\tGoS\tD+90days \n\tinternationalhumanitarianlaw",
"E. Permanent ceasefire and final security arrangements",
"SerialNo.\tActivity\tReference\tBody(ies)responsible\tTimeline\tComposition\tFundingsource(s)\tProcedures \n64.\tParties tosubmit totheMediationtheirforcesdispositions,lists ofall armedgroupsalignedwith them\tParagraphs381\tParties\tBeforeD‑Day Requiredforthedevelopmentofmaps\n65.\tParties toprovidemine fieldlocationsto theMediation Parties\tBeforeD‑Day Requiredforplanningpurpose66.\tEstablishmentof CFC atFHQ\tParagraph342\tUNAMID\tBeforeD‑Day\tUNAMIDFC‑Chairperson;3membersfromeach\tUNAMID/internationalpartners Party; Stateof \n Qatar \n67.\tVerificationof Partiesforcespositionsandstrength\tParagraphs393&394\tCFC/UNAMID\tAfterD‑Dayandbeforephase1 Partylocationsare tobeheldconfidentiallybyChairpersonof CFC\n68.\tEstablishmentof JointCommission\tParagraph342\tMediation+UNAMID\tD+7days\tJSR/StateofQatar/RepsofParties/LAS/EU/UNAMIDPoliticalAffairs\tUNAMID/internationalpartners\t\n69.\tRelease ofchildsoldiers\tParagraphs341(viii)&433(iii)\tPartiesincooperationwithUNICEF\tBeforeD‑Day TobeginhandingoverchildsoldierstoUNICEF\n70.\tEstablishmentof JointLogisticsCoordinationCommittee(JLCC)\tParagraph410\tUNAMID\tD+5days\tUNAMID/Parties/Donors\tDonors\t\n71.\tPreparationfor PhasesI-IIIbegins\tParagraphs395‑402\tParties\tD+7days \n72.\tEstablishmentof DarfurSecurityArrangementsImplementationCommission(DSAIC)\tParagraph448\tGoS/DRA\tD+60days\tParties\tGoS/DRA\t\n73.\tPartiesprovideredeploymentPlans forall phasesof theCeasefireto CFC\tParagraph398\tParties\tD+14days\tUNAMID/Parties 74.\tProductionof finalmapindicatinglocationsofMovements’forces,Areas ofControl,BufferZones,DemilitarizedZones and\tParagraph348 (v)\tCFC\tAfterverification Detailsto bemarkedon theMasterMap \n\tRedeploymentAreas \n75.\tDevelopmentof patrolplan formonitoringthe BufferZones\tParagraph408\tCFC\tD+7days \n76.\tPhysicaldemarcationofrespectiveAreas ofControl,Buffer,DemilitarizedZones\tParagraph391\tUNAMIDincollaborationwithParties\tD+37days \n77.\tPartieswithdrawforces outofdemilitarization/bufferzones intoareas ofcontrol Parties\tD+7toD+45days \n78.\tRe-establishmentof theNorthSudan DDRCommission\tParagraph430\tParties\tD+45days \n79.\tMovementssubmittheirlogisticsrequirementto JLCCthroughUNAMID/CFC\tParagraph409\tParties\tD+10days \n80.\tEstablishmentofIntegrationTechnicalCommittee\tParagraph449\tDSAIC\tD+60+10days \n81.\tRedeploymentof theParties’Forces\tParagraph398 (ii)\tUNAMID/Parties \n82.\tDistributionofnon-militarylogisticalsupport(NMLS) totheMovements\tParagraph404 (iv)\tJLCC\tD+30days GoS/internationalpartners\t\n83.\tFormulationandSubmissionof DDRPlans toDSAIC\tParagraph432\tDDRCommission\tD+90days 84.\tFormulationandsubmissionof\tParagraph449\tITC\tD+90days \n\tIntegrationof FormerCombatantPlan 85.\tSelectionofassemblyareas ofMovements’Forces CFC\tDependentondecisionby \n CFCChair 86.\tSubmissionof a planfor thedisarmamentof themilitias,includingmeasuresandtimelinesfor the\tParagraphs399‑401\tGoS\tD+37days disarmamentof themilitiasbefore the \n\tintegrationphase 87.\tAssemblyof theMovements’forces andstorage ofheavyweapons inselectedassemblyareas/sites UNAMID\tDoneimmediatelyorconcurrently (---) withdeploymentto \n assemblyareas \n88.\tIntegrationof FormerCombatantsinto SAFand SPF\tParagraphs442,454-462\tITC/GoS\tAccordingtoITC’stimetable \n89.\tReform ofsomemilitaryinstitutions\tParagraph463‑464\tGoS\tD+200days \n90.\tDisarmament,demobilization,andsocial/economicreintegrationof theformercombatants\tArticle72 &73\tDDRCommission\tD+220days \n91.\tDevelopmentof Planandstrategyforcivilianarmscontrol\tParagraph416\tParties/UNDP/UNAMID\tAfterphase3",
"F. Internal dialogue and consultation and implementation modalities",
"SerialNo.\tActivity\tReference\tBody(ies)responsible\tTimeline\tComposition\tFundingsource(s)\tProcedures \n92.\tDevelopmentof DIDCmechanismsandmodalities\tParagraph473\tUNAMID/AU/StateofQatar\tD+30days Donors\t93.\tConduct ofthe DIDC\tParagraph473\tUNAMID/AU/Stateof\tD+30+90 Donors \n Qatar days 94.\tEstablishmentof the IFC\tParagraph479\tMediation/Stateof\tBeforeD‑Day\tAsinparagraph479\tDonors \n Qatar"
] | A_65_914 | [
"General Assembly",
"Sixty-sixth year",
"Agenda item 33",
"Prevention of armed conflict",
"Letter dated 24 July 2011.",
"I have the honour to transmit to the General Assembly the letter and the annex to the letter dated 18 July 2011 from Her Excellency Ahmed bin Abdullah Mahmoud, Minister of State for Foreign Affairs of Qatar and members of the Cabinet:",
"(a) The agreement signed by the Sudan and the Movement for the Liberation and Justice in Doha on 14 July 2011 aimed at the adoption of the Doha Document for the Promotion of Peace in Darfur, which was approved by the plenary of the Darfur stakeholders held in Doha from 27 to 31 May 2011 as the basis for a comprehensive settlement of the conflict in Darfur.",
"(b) The Doha document for the promotion of peace in Darfur.",
"I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly, under agenda item 33, and of the Security Council.",
"[]",
"Tariq Ali Ansari",
"Permanent Representative",
"Annex to the letter dated 24 July 2011 from the Chargé d'affaires a.i. of the Permanent Mission of Qatar to the United Nations addressed to the Secretary-General",
"[Original: Arabic]",
"I thank you again and thank you for your continued support for the peace process in Doha. We also thank you very much for welcoming the agreement signed by the Government of the Republic of the Sudan and the Movement for the Liberation and Justice in Doha on 14 July 2011 aimed at adopting the Doha Document for the Promotion of Peace in Darfur. The document was endorsed by the plenary of the Darfur stakeholders held in Doha from 27 to 31 May 2011 as the basis for a comprehensive resolution of the conflict in Darfur.",
"I have the honour to transmit herewith the Arabic and English versions of the above-mentioned agreement, which are annexed to the Doha paper on the promotion of peace in Darfur, in Arabic and English.",
"The present letter and its annex are circulated as a document of the General Assembly and of the Security Council.",
"Minister of Foreign Affairs and Cabinet",
"(Signed) Ahmed bin Abdullah Mahmoud Ambassador Permanent Representative",
"Annex 1",
"[Original: Arabic and English]",
"In the name of God, Integrity and Goodness",
"Agreement between the Government of the Sudan and the Movement for the Liberation and Justice aimed at the adoption of the Doha Document for the Promotion of Peace in Darfur",
"The Government of the Sudan and the Movement for the Liberation and Justice referred to as “Party Parties”;",
"Referring to the Doha paper for the promotion of peace in Darfur, which is the result of the tireless efforts of the parties, the entire people of the Sudan, in particular the people of Darfur, aimed at achieving a just, lasting and comprehensive negotiated peace;",
"Expresses its commitment to the provisional National Constitution of the Sudan and the principles contained therein;",
"Convinced that the Doha document for peace in Darfur is the basis for the resolution of the conflict in Darfur;",
"Recognizing the commitment to promote and protect human rights and fundamental freedoms based on a peaceful and lasting solution based on the Doha Document for the Promotion of Peace in Darfur;",
"Reaffirming its firm commitment to peace, security and development in Darfur, and recognizing that the conflict in Darfur cannot be resolved through military means, but only through peaceful inclusive political means;",
"Convinced that this agreement brings a great deal to the purposes and principles of the Charter of the United Nations and the maintenance of international peace and security;",
"Referring to the commitment of the international community to support and consolidate peace in Darfur;",
"Recognizing the value and importance of the extensive assistance and contributions of the AU-United Nations joint mediation and international partners;",
"Welcoming the support of the Secretary-General of the United Nations, the United Nations Security Council, the African Union, the League of Arab States, the Islamic Organization for Cooperation, the European Union and international peace partners for the Doha document for the promotion of peace in Darfur,",
"Recognizing that the Doha Document for Peace in Darfur is the result of the extensive participation of the people and their representatives in Darfur through the Doha Civil Society, the Forum on Internally Displaced Persons and Refugees, held in November 2009 and July 2010, the plenary meetings of the Darfur stakeholders in May 2011 and the Sudan, in particular the Darfur Interim Commission;",
"Recognizing that the Doha document for peace in Darfur addresses the underlying causes of the consensus and conflict among the people of Darfur and thus provides a solid basis for the recovery, reconstruction and development of Darfur;",
"Notes that the Doha Document for Peace in Darfur provides an opportunity for armed movements that have been involved in the Doha peace process to engage in the realization and commitment of the principle of inclusiveness;",
"Commitments and decisions for the full implementation of the Doha document for the promotion of peace in Darfur, and in this regard welcomes the establishment of a follow-up committee;",
"Calls upon the international community to firmly support the implementation of the Doha Document for the Promotion of Peace in Darfur and to provide the necessary resources and expertise to that end;",
"Expresses its deep appreciation and gratitude to the State of Qatar for its important role in promoting the Doha peace process under the leadership of Sheikh Hamad bin Khalifa Al-Thani;",
"At this point, the following agreement is reached:",
"Article 1: The parties to the Treaty adopt the Doha Document for the Promotion of Peace in Darfur and its annex, which is an integral part of the Agreement, namely, the implementation of methods and time and the protocol initiated by both the contracting parties and the mediation team on the participation and management of the Movement in various levels of power and management to integrate its forces through the disarmament, demobilization and reintegration process.",
"Article 2: The parties to the Treaty undertake to implement all provisions of the Doha Document for the Promotion of Peace in Darfur and all the annexes referred to in article 1.",
"Article 3. If both parties fail to agree, the matter shall be brought before the Constitutional Court and the Court's judgement shall be binding.",
"Article 4.",
"Article 5: The formal authorization of the parties to the Treaty, under the witness's witness's testimony, signed the Doha document for the promotion of peace in Darfur as an annex and basis of the present Agreement and signed this agreement with a view to providing proof of funding.",
"On 13 March 2009 in Hijigi, H.C., signed in Doha on 14 July 2011 in both Arabic and English, with the same effect. If there are differences between the two versions, the Arabic version is based on the Arabic version.",
"Government of the Sudan Movement for the Liberation and Justice",
"[]",
"Permanent Representative",
"Chairman of the Movement for the Liberation and Justice of the Republic",
"Witnesses",
"African Union and United Nations",
"[]",
"Permanent Representative",
"Professor Ahmed bin Abdullah Mahmoud",
"Joint Special Representative of the Minister of Foreign Affairs and Cabinet",
"[]",
"(Signed)",
"Minister for Foreign Affairs and Regional Cooperation of Burkina Faso",
"Annex 2",
"[Original: Arabic and English]",
"Doha paper for peace in Darfur",
"Contents",
"Abbreviation list",
"Definitions",
"Introduction",
"Chapter I: Human rights and fundamental freedoms",
"Chapter II: Power-sharing and administrative status in Darfur",
"Chapter III: wealth-sharing",
"Chapter IV: Compensation and return of internally displaced persons and refugees",
"Chapter V: Justice and reconciliation",
"Chapter VI: Permanent ceasefire and final security arrangements",
"Chapter VII: Internal dialogue and consultation and means of implementation",
"- Final provisions",
"Annex",
"Abbreviation list",
"ADB African Development Bank",
"ADSC plenary meeting of the stakeholders in Darfur",
"AFR Annual financial report",
"AOR area of responsibility",
"African Union",
"CFA ceasefire agreement",
"Committee on a Nuclear Ceasefire",
"CPA Comprehensive Peace Agreement",
"CPC Community Police Centre",
"CTSG Online Working Group on the Ceasefire Group",
"DDB Development Bank for Darfur",
"DDR Disarmament, demobilization and reintegration",
"DFC Deputy Force Commander",
"DJAM Joint Assessment Mission in Darfur",
"DLC Land Commission in Darfur",
"DMZ Non-military Zone",
"DoC DPA Declaration of Commitments for the Darfur Peace Agreement",
"DPA Darfur Peace Agreement",
"DSG Government of Darfur",
"DRA Regional Authority for Darfur",
"DRC Commission for the Referendum in Darfur",
"DRDF Darfur Reconstruction and Development Fund",
"European Union",
"FC Force Commander",
"FFAMC Financial and Financial Distribution Monitoring Committee",
"GoS Government of the Sudan",
"IFC Follow-up Committee",
"ICRC International Committee of the Red Cross",
"Internally displaced persons",
"INC National Constitution",
"ITC Integrated Technical Committee",
"JAF Compensation/ Jabr Al Darar Fund",
"JC Joint Committee",
"JCM Joint Coordination Mechanism",
"JLCC Joint Logistics Coordination Committee",
"JSC Judicial Affairs Committee",
"JTC Joint Technical Committee",
"LAS League of Arab States",
"LCC Logistics Coordination Committee",
"Millennium Development Goals",
"MFS microfinance system",
"National Constitution",
"NCRC National Constitutional Review Commission",
"National Civil Service",
"National ICSC",
"Non-governmental organizations",
"NRF National Fund",
"OIC",
"PC Police Commissioner",
"PCRC Committee on Property Claims and Compensation",
"RCC Compensation and Compensation Commission",
"RoE Rules of contact",
"SAF Sudanese Armed Forces",
"SOMA Mission Status Agreement",
"SPF Sudan Police Force",
"240 Ceasefire Commission",
"Sub-CFCs Sub Ceasefire Commission",
"TRC Truth and Reconciliation Commission",
"TJRC Truth, Justice and Reconciliation Commission",
"TSGs Online Working Group on the Ceasefire Group",
"United Nations",
"African Union-United Nations Hybrid Operation in Darfur",
"UNHCR United Nations High Commissioner for Refugees",
"UNICEF International Child Education Foundation",
"UNPOL Services in the African Union-United Nations Hybrid Operation in Darfur",
"United Nations Security Council resolutions",
"Brazil",
"VRC Committee on Voluntary Returns",
"VRRC Committee on Voluntary Returns and Resettlement",
"WB World Bank",
"Definitions",
"“Ajaweed Commission” means a conciliation commission composed of local administrations and community leaders.",
"The “control zone” means a delineation area where one party exercises control and no other party may carry out activities.",
"“armed militias” means non-regular forces, whether associated or affiliated to any party, including any armed groups that are involved in or are involved in hostilities.",
"The assembly refers to the resettlement of ex-combatants of the Movement in selected locations to address the process of armed and integration into new security institutions.",
"The “grouping area” or “in camps” may be used interchangeably, referring to the location where combatants complete the process of armed and demobilization.",
"“The buffer zone” means areas that are not covered by the disputed or belligerent forces, which are established under this agreement and monitored by the African Union-United Nations Hybrid Operation in Darfur.",
"“combatants” means the movement's forces.",
"“The Commissioner” means the head of the body within this agreement and the members of the Darfur Regional Authority.",
"“Community police” means voluntary personnel recruited by the Government of the Sudan from local communities in consultation with the Darfur Regional Authority to maintain public peace and peace.",
"“persons affected by conflict” or “victims of conflict” means individuals or groups who suffer persecution during the conflict in Darfur, as well as those whose lives and livelihoods are adversely affected by the conflict.",
"“Poper assistance” means weapons that are not operated by a single operator but require additional operators and technical means. Such types of weapons are often placed on vehicles, vessels and aircraft.",
"The “non-military zone” means a region that delineates, commits parties to refrain from military operations and dismantles military assets in accordance with this agreement.",
"“Remobilization” means the process of beginning to disband its military structure and the start of the transfer of former combatants into civilian life.",
"“Disarmament” means the collection, control and disposal of small arms and light weapons, including demining.",
"“The disengagement” is a universal term referring to the process of geographical separation of hostile forces.",
"“Hawakeer” means tribal land ownership.",
"“If internally displaced persons” means individuals or groups who have been forced or have to flee or leave their homes or places of residence, particularly as a result of armed conflict, widespread violence, human rights violations and natural disasters and man-made disasters, and who have not crossed the internationally recognized national borders.",
"The Movement refers to all armed groups that are involved in conflicts other than national armed forces and relevant militias; in this agreement, the Movement refers to the parties to the Doha peace process and the signatories of this Agreement.",
"The National Constitution refers to the Interim National Constitution and any other Constitution.",
"“Parts” means all parties involved in the Doha peace process.",
"“ Reconciliation” means assisting victims of long-term violence and grave violations of their fundamental rights to overcome their sadness, anger, hatred and mistrust in order to rebuild confidence among communities and restore social peace.",
"“Mobilization” means that, for the purpose of reintegration and/or exit processes, units, individuals or supplies in a region will be deployed to another location in the region or another part of the region for further use or demobilization.",
"Reform of selected security institutions means a process of transforming specific security institutions to improve their capacity, effectiveness and professionalism and to strengthen the rule of law in accordance with recognized international standards.",
"“Afghanistan” means persons who have justified fear of being subjected to persecution for reasons of race, religion, nationality, belonging to a social group or a political opinion, and who cannot or are unwilling to be protected by the State because of this fear; or who have no nationality or because of the fact that they remain in the country before the said matter, cannot or because of the above-mentioned fear of being unwilling to return. “Afghanistan” is also applicable to persons who have been sheltered in other places outside their country of origin or nationality because of their external aggression, occupation, foreign domination or grave breaches of public order.",
"“regular forces” means armed forces, police forces and national intelligence and security services in the Republic of the Sudan.",
"“Recommendation” means assistance to former combatants aimed at increasing their economic and social potential for integration into civil society.",
"The “returnor” means displaced persons who voluntarily return to their place of residence and wish to relocate there.",
"“The rules of engagement” refer to instructions issued by military authorities to define the conditions and limitations of the use and/or continuing use of force by troops against other troops they encounter.",
"Introduction",
"The parties to this agreement are briefly referred to as “the parties”.",
"Reaffirming the sovereignty, unity and territorial integrity of the Sudan;",
"Reiterates its commitment to the 2005 National Constitution of the Republic of the Sudan, the full implementation of the Comprehensive Peace Agreement of January 2005 and the need for a political settlement programme to end the conflict in Darfur and the United Nations Security Council resolutions (Council resolution);",
"Recalling previous agreements on the conflict in Darfur, in particular the humanitarian ceasefire agreement on the conflict in Darfur signed in N'Djamena on 8 April 2004 and the Protocol on the Establishment of humanitarian assistance in Darfur; the Agreement signed at Addis Ababa, Ethiopia on 28 May 2004 on the modalities of the Ceasefire Commission and the deployment of observers in Darfur; the Protocol on the Peace Agreement signed between the Government of the Sudan, the Sudan Liberation Movement/SPLA and the Justice and Equality Movement in Abuja, Nigeria, on 9 November 2004; and the Agreement of 9 November 2004 between the Government of the Sudan, the Sudan Liberation Movement for Justice and the Sudan, in accordance with the Protocol on the Equality of July 2009;",
"Acknowledges that the cultural and national diversity of the people of the Sudan is the basis for national cohesion and should therefore be promoted and developed;",
"Welcoming the generous initiative of His Excellency Emir of the State of Qatar to create the Darfur Development Bank to assist in the development and reconstruction efforts in Darfur;",
"Emphasizes the need to promote and protect human rights, justice, accountability and reconciliation in the Sudan, in particular in Darfur;",
"Condemns all violence and human rights violations against civilians, in particular condemning violence against women and children, and stresses the urgent need to prevent such violence and violations of human rights and international humanitarian law;",
"Acknowledges the conditions for creating lasting peace in Darfur, the implementation of this agreement, national reconciliation, integration and reconstruction, and calls for the promotion and protection of human rights, respect for the principle of equality of all Sudanese citizens and respect for the rule of law;",
"Emphasizing that all parties to armed conflict in Darfur should fully and unconditionally accept their obligations under international humanitarian law, international human rights law and relevant United Nations Security Council resolutions,",
"Commitments to address human rights violations during the conflict in Darfur;",
"Taking into account the outcomes of the first and second Civil Society Forum for Darfur, held in Doha in November 2009 and July 2010, as well as the plenary meetings of the stakeholders in Darfur, held in Doha in May 2011;",
"Acknowledges that the conflict in Darfur cannot be resolved through military means and that lasting solutions can only be achieved through inclusive political processes;",
"At this point, the following agreement is reached:",
"Chapter I: Human rights and fundamental freedoms",
"Article 1: Promotion and protection of human rights and fundamental freedoms",
"The parties recognize the importance of promoting and protecting human rights and fundamental freedoms for all in Darfur. The Government of the Sudan, the Darfur Regional Authority and the Governments of Darfur should guarantee the effective enjoyment by the people of all the rights and freedoms enshrined in the National Constitution of the Sudan and the international human rights instruments to which the Sudan is a party.",
"All parties should fulfil their obligations under international human rights and international humanitarian law to ensure an environment conducive to the effective exercise of civil and political rights and the full and equal enjoyment of economic, social and cultural rights.",
"Citizenship is the basis for the equal political and civil rights and obligations of all Sudanese.",
"The parties should ensure that all rights and freedoms set forth in this agreement, the Sudan National Constitution and international and regional human rights instruments to which the Sudan is a party are not discriminated against on the grounds of sex, race, colour, language, religion, political opinion or other opinion, national or social origin or social status. Women, children and men should be guaranteed equal access to all rights set out in international human rights and humanitarian law, to which the Sudan is a party.",
"All human security and safety should be guaranteed in Darfur on the basis of the rule of law, equality and non-discrimination. The parties should respect the right to life and security, personal dignity and integrity and ensure that no one is arbitrarily deprived of life, torture or ill-treatment.",
"The Government of the Sudan should be based on equality before the courts and tribunals in order to guarantee fair and open trial rights and the right to justice in all civil, administrative and criminal proceedings. This guarantee includes the rights set forth in articles 9 and 14 of the International Covenant on Civil and Political Rights.",
"The Government of the Sudan should take the necessary legal and administrative measures to ensure freedom of opinion, belief and religion, freedom of expression, peaceful assembly and association, the right to form and register political parties on an equal basis, the right to vote and participate in public affairs, the right to form and participate in civil society organizations, private sector institutions and trade unions. The Government of the Sudan shall guarantee freedom of the press and other media freedoms in accordance with international human rights standards set out in the International Covenant on Civil and Political Rights, the Universal Declaration of Human Rights and the African Charter on Human and Peoples' Rights.",
"All parties shall not be threatened by civil opinions or prevent citizens from exercising their equal rights to freedom of expression, assembly and movement in Darfur.",
"In accordance with Chapter III, the Government of the Sudan shall promote public welfare and economic growth in Darfur, in appropriate respect for existing norms and traditions, by meeting the basic needs of all communities in Darfur, providing adequate services and infrastructure, promoting youth employment, women empowerment, good governance, public services and the allocation of adequate resources and equal access to natural resources such as land.",
"The parties agreed to promote the participation of the people of Darfur in the planning, design and implementation of the early recovery, reconstruction and rehabilitation programme in Darfur.",
"Early recovery, reconstruction, rehabilitation and education policies and programmes in Darfur should pay due attention to the needs of women, children and vulnerable groups.",
"The parties urge the international community to strengthen the implementation of economic, social and cultural rights through sustainable early recovery, reconstruction and rehabilitation programmes covering Darfur as a whole.",
"The Government of the Sudan should ensure the full establishment and effective functioning of the new National Human Rights Commission within 30 days of the signing of the Paris Principles; facilitate the establishment by the National Human Rights Commission of a Sub-Commission on Human Rights in Darfur, independent, self-governing and resource-rich.",
"The National Human Rights Commission and the Human Rights Subcommittee should monitor the human rights situation in Darfur and promote and protect human rights. The Committee and the Subcommittee should give appropriate attention to the fight against all forms of discrimination and the protection of economic, social and cultural rights and should report regularly on progress made in the effective implementation of the principle of equality of citizens in the states and the Sudan.",
"The parties shall implement their mandates in cooperation with the Human Rights Subcommittee in Darfur. The Subcommittee should have access to all documents and information relevant to human rights, including access to all places of detention in Darfur.",
"Technical and material assistance can be sought to the Office of the United Nations High Commissioner for Human Rights, the African Commission on Human and Peoples' Rights and other international organizations.",
"The parties shall cooperate with the African Union-United Nations Hybrid Operation in Darfur in implementing its mandate on human rights and the rule of law.",
"Human rights and civil society organizations in Darfur should be encouraged to contribute to the promotion and protection of human rights through regular monitoring, early warning, advocacy and capacity-building programmes.",
"Chapter II: Power-sharing and administrative status in Darfur",
"Article 2: General principles of power-sharing",
"The sharing of power should be based on the following principles:",
"The Sudan is an independent, sovereign and federal republic, with the sovereignty of the people and exercised by the State in accordance with the provisions of the Sudan Constitution.",
"Religions, beliefs, traditions and customs are the source of moral power and sense among the people of the Sudan. The cultural and ethnic diversity of the people of the Sudan is the basis for national cohesion and should therefore be promoted, developed and managed in accordance with national standards reflecting national unity and the diversity of the people of the Sudan. The people of the Sudan shared a common sense of charging and inspiration, and agreed that joint efforts would be needed.",
"The sharing of power is essential for the unity, security and stability of the country. Decentralization through free and fair elections and the peaceful handover of administrative and legislative power are a guarantee of stability and should serve as the basis for democratic governance in the Sudan.",
"Elections at all levels of government in the Sudan should be based on free direct ballots and be monitored by national and international observers.",
"Federal legislative power, executive power and judicial separation at all levels should consolidate good governance, accountability, transparency and commitment to people's security and well-being.",
"The rule of law and the independence of the judiciary should be guaranteed.",
"Citizenship should be the basis for civil rights and obligations. Individuals are not discriminated against by ethnicity, tribe, gender and origin. This does not exclude any laws, programmes or activities aimed at improving the situation of vulnerable individuals or groups who are at risk of ethnic, ethnic, colour or regional or national origin.",
"Citizens displaced outside the Sudan should not be prevented from fully exercising their civil rights in accordance with the relevant national and international laws.",
"The federal government system established should effectively decentralize rights and clearly allocate responsibilities to ensure fair and equal participation of all Sudanese citizens, in particular in Darfur.",
"All citizens, including the people of Darfur, shall be equitably represented at all levels of national civil servants, public bodies and institutions, commissions, armed forces and other regular forces, in particular at the middle level.",
"Without prejudice to the provisions of the Comprehensive Peace Agreement on the South-North border and any effective international agreement between the Republic of the Sudan and neighbouring countries, the northern border in Darfur should be returned to the place on 1 January 1956.",
"The people of Darfur should be ensured through fair power-sharing criteria.",
"Governments should ensure that sustained opportunities for general education, training and employment are provided within the public service to promote the full and equal participation of the people of Darfur in the promotion of national well-being. In this context, special attention should be given to women and children in the areas of education, capacity-building and training. Training centres should be established in rural and urban areas in cooperation with specialized international and regional organizations.",
"All movements should take the necessary measures to translate themselves into political parties in accordance with established legal arrangements.",
"Without prejudice to paragraph 32, movements should participate at different levels of government in accordance with this agreement.",
"In order to address the lack of representation of women in government institutions and decision-making structures, special measures should be taken and implemented in accordance with this agreement to ensure women's equal participation in decision-making at all levels in Darfur.",
"Power-sharing at the national level",
"Article 3: criteria for power-sharing",
"The power-sharing under this agreement shall respect the principle of proportionality, and Darfur shall participate fully in all forms of political power of the Government of the Sudan.",
"Affirmative action should be taken in favour of the people of Darfur to increase their representation in the public sector, the civil service sector and the regular forces. In the long term, special education training and public employment opportunities should be provided to enable the people of Darfur to participate fully and equally in the promotion of the well-being of the Sudan.",
"Representatives of the people of Darfur at the national level should reflect the proportion of the population of Darfur in the Sudan after separation from South Sudan.",
"Article 4: National Administration",
"Darfur should be represented within the National Executive Committee in accordance with the proportionality criteria.",
"Vice-President",
"Vice-President",
"A number of Vice-Presidents should be appointed in a manner that would achieve political inclusion and the representation of all Sudanese people, including the people of Darfur. The Vice-President shall have the following duties:",
"Membership of the National Council of Ministers;",
"Members of the National Security Committee;",
"In the absence of the President and Vice-Presidents, the President shall exercise his functions in accordance with the order of the Vice-Presidents decided by the President;",
"Any other functions or responsibilities assigned by the President.",
"Assistant and Adviser to the President",
"Darfur should be appointed as a presidential assistant and adviser in accordance with the proportion of the population of Darfur.",
"One presidential assistant shall be appointed from among the Darfurers.",
"National Council of Ministers",
"Darfur should be represented in the National Council of Ministers on a proportional basis. In this regard:",
"The posts of the five cabinet ministers currently served by the Darfurs and the posts of the four ministers of State should continue to be held by the Darfur;",
"Two other cabinet ministers and four ministers shall be appointed by the President by the movements;",
"When the composition of the cabinet minister changed, the movements should maintain the same percentage as before change.",
"Article 5: National legislatures",
"Darfur shall be represented by national legislatures in proportion to the population of the Sudan. In this regard:",
"Darfur should maintain its 96 seats in the national legislature until the next national elections.",
"After the referendum of South Sudan on 9 January 2011, there was a vacancy in the national legislature due to the new demographic configuration of the Sudan, with the share of which Darfur should be held by the movements through an arrangement agreed by the parties.",
"Article 6: National judiciary",
"The national judiciary is an important government department that maintains its neutrality, impartiality and independence.",
"The national judiciary shall represent the people of the Sudan, including Darfur. The people of Darfur should be fully represented in the Judicial Affairs Committee. The Commission should ensure that the people of Darfur enjoy adequate representation in national jurisdictions such as the Court of Appeal, the National Supreme Court and the Constitutional Court.",
"As a long-term measure, the Judicial Affairs Commission should establish a panel of experts to determine the imbalance of the representative of the people of Darfur and to make appropriate recommendations on how to correct imbalances.",
"The Constitutional Court has the right to determine any dispute between all levels of government and organs of the Government concerning exclusive, concurrent and residual competence.",
"Article 7: National Civil Service and Other Public Institutions",
"Darfur should be representative within the national civil service and other public institutions in accordance with the principle of proportionality, affirmative action and priority, in order to correct the perceived imbalance and shortcomings of the population of Darfur.",
"National civil servants should be represented by all the people of the Sudan, in particular high-level civil servants.",
"The National Civil Servants Commission, which is assigned proportional to the Darfur, should be established to deal with the imbalance in civil servants and other public institutions.",
"A panel of experts should be established under the National Civil Service Commission, in particular at the higher level, to determine the representation of the people of Darfur at all levels of the National Civil Service Commission.",
"The Group should identify any imbalance that undermines the representation of the people of Darfur and should make practical recommendations that focus on action to address such imbalances and differences in the national civil service, including recommendations to ensure that the people of Darfur enjoy fair representation in the national civil service. The work of the Group is guided by the following factors:",
"Based on the size of the population census in 2008 or beyond;",
"Enhanced action on recruitment, training and promotion, including measures to promote gender equality.",
"The Panel shall complete its work and report within six months of the signing of this agreement, followed by remedial action by the Government of the Sudan within six months.",
"Prior to the results of the Panel's report, the Government of the Sudan should ensure the following tasks:",
"The establishment and achievement of the medium-term goal on the participation of the people of Darfur, in particular the goal of participation in the medium- and high-level national civil service, including but not limited to the Deputy Secretary, ambassadors, members of the Committee and other high-level posts of responsibility. These goals should be reviewed after the report of the Panel of Experts and considered the representation of eligible candidates in national civil service.",
"Specific posts are reserved for qualified women in Darfur in the national civil service.",
"Develop policies and implement affirmative action to train and recruit qualified people in Darfur as national civil servants, taking into account the agreed criteria, with the objective of ensuring fair representation and redress for any imbalance in the State's civil service;",
"Review of the policies adopted to review the implementation of the three-year period and establish new goals and objectives, if considered necessary.",
"The Parties agree that all individuals who have been dismissed from national civil servants on the basis of the principle of conflict are arbitrarily and unjustifiable. These individuals should not lose their qualifications and receive the benefits they deserve. The National Civil Service Commission shall receive complaints, determine the merits and make recommendations.",
"Article 8: Representation of movements at all levels of government",
"Movements should be represented at all levels of government in accordance with separate protocols signed by each movement and the Government. The Protocol shall be an integral part of this agreement.",
"Article 9: Armed Forces and other regular forces",
"The Sudanese Armed Forces should be regular, professional and neutral. The people of Darfur should enjoy fair representation at all levels. The Government of the Sudan should take the necessary measures in accordance with the recruitment criteria to correct the possible imbalanced representation of the people of Darfur in the high-level positions of the Sudanese Armed Forces and in the military colleges.",
"Police, customs, immigration and border guards, prisons and wildlife and all other regular forces shall be open to all Sudanese elements, including the people of Darfur, to reflect the diversity of Sudanese society.",
"Administrative status in Darfur and internal power-sharing in Darfur",
"Article 10: Administrative status in Darfur",
"Establishment of the Darfur Regional Authority",
"The Darfur Regional Authority should be established. The Darfur Regional Authority should serve as the main tool for the implementation of this agreement with the Government of the Sudan, with the support of international partners. The Authority will also play a central role in strengthening the implementation, coordination and promotion of all post-conflict reconstruction and development projects and activities in Darfur and will be responsible for cooperation and coordination among the Darfur states. The activities of the Darfur Regional Authority focus on:",
"Peace and security;",
"Socio-economic development, stability and growth;",
"Justice, reconciliation and recovery.",
"The Darfur Regional Authority shall establish its rules of procedure, employ the necessary staff to carry out its work and establish budgets. The specific areas of the Darfur Regional Authority cannot be conflicted or affected by the exclusive power of the Darfur and the Federal Government. However, the Darfur Regional Authority has oversight responsibility for all matters related to its main jurisdiction and competence. The Darfur Regional Authority shall oversee the conduct of a referendum to determine the administrative status of Darfur, in particular by deciding whether to retain the current state system or to establish a single region, including the states.",
"Without prejudice to the exclusive competence of the Darfur states under the Constitution, the Darfur Regional Authority shall oversee the implementation of all the provisions of this Agreement, including those under the jurisdiction of the Darfur States.",
"The establishment of a security commission for the Darfur region, in accordance with national and regional models, should be defined.",
"Competence of the Darfur Regional Authority",
"The Darfur Regional Authority shall have the following main authority:",
"Implementation of the provisions of this Agreement in cooperation with the Government of the Sudan;",
"Reconciliation and consolidation of security and social peace;",
"Post-conflict reconstruction and development, as well as coordination of all international and regional partners, including the Darfur Joint Mission;",
"Health issues, environmental protection and the consequences of climate change;",
"Planning, development and protection of cattle routes and pastures;",
"Creating lasting conditions for the voluntary return and resettlement of internally displaced persons and refugees;",
"Planning for land use and the exercise of related rights;",
"Education and cultural development;",
"Planning and statistics;",
"Enhanced cooperation among Darfur states to facilitate the exchange and coordination of the states;",
"Within the context of national macroeconomic policy, borrowing from national and external institutions through the approval and security of the Sudanese Bank;",
"Promotion and protection of human rights;",
"Enhanced transparency and good governance;",
"Capacity-building;",
"Regional tourism;",
"Review and recommend legislation and administrative measures to enhance coordination among States;",
"Policies to control small arms and light weapons in Darfur;",
"Other tasks agreed by the parties.",
"Reservations",
"The Darfur Regional Authority shall have policy formulation and coordination authority in the following areas:",
"Economic and social development in the region;",
"Health policies;",
"Financial and economic policies;",
"Urban development and housing planning;",
"Development of trade and industry;",
"Relief and humanitarian affairs;",
"Drafting and negotiating international agreements with foreign Governments and non-governmental organizations on higher education, culture, sports, humanitarian affairs, loans and grants, trade, investment, technical assistance, as approved by the Government of the Sudan;",
"Progress in women, parenthood and child care;",
"Food and drug quality control, consumer safety and protection;",
"Higher education and professional and scientific research institutions;",
"Gender policy;",
"Electricity and water and waste management;",
"Policy on land ownership, use and rights;",
"Emergency relief and disaster prevention and management and epidemiological control;",
"Media, publication, mass media and radio stations;",
"Management, protection and conservation;",
"Sports, cultural heritage and development of youth skills;",
"Planning of natural resources in Darfur.",
"Structure and composition",
"The Darfur Regional Authority shall be composed of two main bodies: the implementing agencies of the Darfur Regional Authority and the Darfur Regional Authority.",
"Executive organs of the Darfur Regional Authority",
"The President of the Republic of the Sudan shall appoint the President of the Darfur Regional Authority from among the movements, chaired by the President, the executive organs of the Darfur Regional Authority.",
"The composition of the executive organs of the Darfur Regional Authority is as follows:",
"Members of the Committee for the Reconstruction, Development and Infrastructure of Darfur",
"Among the national diplomatic service, the President of the Regional Authority for Darfur was directly vested in the Vice-President of the Republic before the Assistant to the President of the Republic.",
"The members of the Executive Body of the Darfur Regional Authority shall be appointed by the President of the Darfur Regional Authority and by the President of the Republic of the Sudan. The appointed members have the status of the Minister of State.",
"The President of the Darfur Regional Authority may be accountable to the members of the executive body of the Darfur Regional Authority. The President may also recommend to the President of the Republic the removal of any appointed member of the executive body. The Darfur Regional Authority Commission may withdraw its confidence in any appointed member of the implementing agency and recommend to the President of the Darfur Regional Authority the removal of its functions.",
"Committee of the Regional Authority for Darfur",
"The Regional Authority for Darfur consists of 67 members, as follows:",
"The President;",
"Two Vice-Chairpersons;",
"Representatives of movements;",
"Representatives of national legislatures.",
"The Committee of the Regional Authority for Darfur may establish a specialized commission if it deems necessary.",
"competence of the Regional Authority for Darfur",
"The Darfur Regional Authority Commission has oversight, monitoring and organizational competence. The Commission should review the law and recommend legislative measures that could facilitate coordination and cooperation among Darfur states. In this context, the competence of the Commission includes:",
"Review of laws relating to the competence of the Regional Authority in Darfur;",
"Control and assessment of the performance of the Darfur Regional Authority;",
"Approves the budget of the Regional Authority for Darfur;",
"Ensure adequate expenditure and accountability of the Darfur Regional Authority;",
"The adoption of policies within the authority of the Regional Authority in Darfur, in particular through policies on cross-border issues among Darfur states;",
"The majority of the people in Darfur were in favour of the establishment of a regional commission to prepare the constitution of the Darfur region.",
"Dispute resolution",
"The Darfur Regional Authority shall exercise its functions without prejudice to the constitutional powers and functions of the Governments of Darfur. If the President of the Darfur Regional Authority considers that any action being taken by the State Government undermines the implementation of this agreement, the matter should be submitted to the Regional Authority Committee for Darfur for decision, without prejudice to the right of any party to resort to the Constitutional Court for the final settlement of disputes, in accordance with the following factors:",
"National Constitution;",
"Articles of this agreement;",
"Enhanced security, stability, people's well-being and protection of human rights and fundamental freedoms.",
"Permanent administrative status in Darfur",
"The permanent administrative status of Darfur shall be determined through referendums.",
"The referendum shall be held at the same time in Darfur after one year of signature of this agreement. After one year, the President of the Republic and the President of the Regional Authority for Darfur agreed that the Commission would be established and that the referendum would be carried out. The results of the referendum should be enshrined in the permanent Constitution. The following options should be provided:",
"The establishment of a Darfur region, including the Darfur states;",
"Reservation of the state of the state of the state of the state of the State system. In any case, the characteristics of the cultural and historical traditions and links in Darfur should be respected.",
"The Darfur referendum, established by the President following agreement with the Darfur Regional Authority, shall organize and conduct the referendum. The National Electoral Law should provide for planning and procedures for referendums. The referendum should be monitored by the international community.",
"If the people of Darfur decided by a majority vote in the referendum to establish a Darfur region, the Darfur Regional Authority shall establish a Constitutional Committee to determine the competence of the Government of the Darfur region. The Commission shall submit a constitution to the Darfur Regional Authority within three months of the referendum for adoption. The constitution should be submitted to the national legislature for adoption and the President of the Republic of the Sudan shall enact the Constitution.",
"If the outcome of the referendum is the status of reservations, the Darfur Regional Authority should continue to serve as the main tool for the implementation of this Agreement for a period of four years beginning with the signing of the Agreement.",
"Article 11: northern boundaries in Darfur",
"Without prejudice to the provisions of the Comprehensive Peace Agreement on the South-North border and any effective international agreement between the Republic of the Sudan and neighbouring countries, the northern border in Darfur should be returned to 1 January 1956.",
"The Joint Technical Committee shall complete its border demarcation within six months of the signing of this agreement.",
"Article 12: Representation at the state level",
"The Parties agree that movements will be represented at all levels of the state of Darfur.",
"State governors",
"If another state is established, the movements should nominate two candidates for approval by the President of the Sudan as the Acting State (Walis), two of them in the new state of establishment in the transition period until the elections are held.",
"Article 13: Local governments",
"The Parties agreed that the role of local governments in the fulfilment of their sovereignty as the people, the empowerment of the grass-roots level, ensuring the effective participation of citizens in governance, promoting development and making the management of public affairs very cost-effective.",
"The local administration should respect, as appropriate, the established history and community traditions, customs and practices that play an important role in the community.",
"The Parties agreed that local governments and local administrations were adversely affected by the conflict in Darfur and should therefore be empowered to respond to the consequences of the conflict, including environmental degradation and desertification.",
"The Parties agreed that the movements prior to the next local elections should be fully represented at the local government level and that women representatives should be properly represented.",
"Appropriate measures should be taken to assist groups such as youth and women through capacity-building and affirmative action.",
"Article 14.",
"The 15 per cent quota of the National University shall be allocated to students from Darfur on a five-year competition request.",
"The people of Darfur are represented in the management of national universities and higher education institutions, in accordance with the capacity and scientific qualifications established by the Ministry of Higher Education and Scientific Research.",
"50 per cent of the seats taken at the National University of Darfur shall be allocated to the children of Darfur at the request of the Committee. At the same time, a mechanism or committee should be established to review the situation of those who have been affected by war and to exempt from the cost of the five-year university.",
"Futures of internally displaced persons and refugees in Darfur should be exempted from the five-year education costs, once they are formally taken into the National University.",
"Access procedures for internally displaced persons, refugees and children affected by war should be facilitated at all locations in Darfur.",
"Article 15: Permanent Constitution",
"Movements should be fully representative within the National Constitutional Review Commission to draft a permanent constitution of the Republic of the Sudan.",
"Chapter III: wealth-sharing",
"General",
"Article 16: Principles for wealth-sharing",
"The sharing of wealth should be based on the following principles:",
"One economy, among other objectives, should ensure that all Sudanese citizens are balanced in a manner that ensures poverty reduction, social justice and equitable distribution of wealth and resources.",
"The financial federalization and equitable sharing of the wealth of the Sudan enables every Government to fulfil its legal and constitutional responsibilities and obligations to the people of the Sudan. The Government of the Sudan shall make the necessary funds for the benefit of Darfur in accordance with the procedures and standards established in this agreement.",
"All parts of the Sudan have the right to achieve a just and balanced development and recognize the urgent need to re-establish areas affected by armed conflict in Darfur and the urgent need to pay special attention to displaced persons to return to the location chosen by creating an enabling environment for their voluntary return to their place of birth or, as set out in chapter IV of this Agreement.",
"Through and implementing integrated development projects for the resettlement of pastoralists, the sector promotes productivity and organizes relations between farmers and pastoralists to ensure the safety, stability and development of all.",
"The concept of wealth in the Sudan should be defined as financial assets, international assistance and grants, including natural resources and human resources, historical and cultural heritage, international and domestic loans and public borrowing. It also includes means of promoting the creation and distribution of wealth, institutions, policies and opportunities, as well as material resources, government revenue, institutional profits and other resources.",
"The creation and distribution of wealth is an important part of the impact of government institutions, policies and programmes. Thus, fair participation in decision-making in Darfur on policies and institutions aimed at regulating the creation and distribution of wealth that affect their social and economic interests should be promoted.",
"Human resources development should be a means and objective of economic and social development policies. These policies should be developed and implemented in order to develop the education system and to ensure equal access to education and training opportunities for people in Darfur and the country without discrimination on the basis of race or gender. Special efforts should be made to eradicate the illiteracy of women.",
"All Sudanese citizens shall enjoy the following equal rights:",
"I. Freedom from hunger;",
"Sustainable means of livelihood;",
"Access to drinking water;",
"Access to quality education;",
"Access to health and other social services;",
"Full access to public utilities and infrastructure services;",
"Access to development and work opportunities;",
"Free market access;",
"Protection of property;",
"Promotion and protection of cultural heritage;",
"Reimbursement and/or compensation of property lost to persons affected by conflict;",
"Review of administrative measures affecting livelihoods.",
"An effective wealth distribution system should be based on transparency and accountability. Economic policies should provide for affirmative action to address the disadvantages of the long-term development and injury resulting from conflict.",
"The sharing and distribution of wealth should be premised upon the right of all parts of the Sudan to achieve fair and equitable development. Recognition of the prevalence of poverty throughout the Sudan, particularly in Darfur, should be achieved through a national poverty reduction strategy within the framework of the national development policy.",
"There is a great need for the rehabilitation, reconstruction and development of tangible infrastructure and social infrastructures damaged by conflict, and for the urgent need to perform basic government functions and build civilian institutions. An integrated assessment of these needs should be undertaken as the most important priority for urgent implementation.",
"Recovery and reconstruction in Darfur are considered a priority. To that end, measures should be taken to pay compensation to the people of Darfur to respond to the grievances caused by loss of life and destruction of property, confiscation and theft and the subsequent suffering.",
"The development of basic economic and social infrastructure is very important and, to that end, a accelerated development programme should be developed to bring Darfur to the level elsewhere in the country.",
"In the light of the financial resources and expertise required to carry out the process beyond the capacity of the Sudan, the parties may seek the support of the international community to fully participate in the initiative and to assist in providing the necessary financial and expertise to contribute to meeting the needs identified for that purpose.",
"In Darfur as a whole, as well as in those areas where construction and reconstruction are particularly needed, the level of achieving the Millennium Development Goals should be met. A basic infrastructure development programme should be developed to integrate the economy of Darfur into the national economy.",
"A special fund should be established under this agreement for the reconstruction and development of Darfur.",
"Article 17: wealth-sharing policy",
"The ultimate objective of the national economic policy is to achieve full employment through, inter alia, promoting price stability, raising employment levels, promoting sustainable economic development and eradicating poverty. National, social and economic policies should therefore be aimed at ensuring that:",
"To promote and improve the decent and dignified living conditions of all citizens without discrimination on the basis of race, colour, ethnicity, tribe, region or local affiliation, gender, religion, language or political opinion;",
"Civil participation in decision-making on income management and development through the participation of all levels of government and non-governmental organizations in the formulation and implementation of social policies necessary for the creation and distribution of wealth;",
"To ensure fair and fair representation in all government bodies involved in the creation and distribution of wealth.",
"National economic and social policies should aim at achieving the following objectives:",
"Creating and equitable distribution of wealth in all parts of the Sudan, consistent with macroeconomic stability and sustainable development;",
"Ensuring tax collection for the benefit of all people;",
"Decentralization of the decision-making process on development, service delivery and governance issues;",
"Access to markets and access to goods and services in order to:",
"(a) Create an enabling foreign investment environment;",
"(b) Recognition of social and cultural diversity;",
"(c) Promote social care and stability;",
"(d) Responding to environmental degradation;",
"(e) Implementing the principles of sustainable development.",
"National economic policies should be developed to create a conducive and transparent environment for the participation of domestic and foreign private sectors in the development of the Sudan as a whole, in particular Darfur. National and regional legislation should be reviewed and amended to attract investment.",
"National and regional policies should be tailored to promote exports from Darfur to national and international markets.",
"Financial and monetary policies, in particular banking systems, should be reviewed to meet the needs of sustainable growth and balanced development and increase access to international financial markets.",
"The Sudan Bank is committed to developing policies and innovative financial approaches to encourage financial institutions, commercial banks and professional government banks (agriculture banks, industrial development banks, etc.) to expand their activities in Darfur.",
"Without prejudice to article 14, the development of a policy development education system should be developed and implemented and ensured equal access to education and training opportunities for Darfurers in Darfur and the country, without discrimination on the basis of race or gender. Special efforts should be made to eradicate the illiteracy of women.",
"Research and development should be promoted and promoted, in particular, by promoting technological development in the areas of agriculture, livestock, small industry, handicraft, mining, environment and energy-focused energy.",
"Policies should be adopted to ensure effective protection and rehabilitation of the environment, in particular through policies on the rehabilitation of forests and afforestation.",
"Priority should be given to the development and upgrading of the agricultural sector, including livestock, with due respect for the culture of pastoralism and the sustainable natural environment.",
"The most priority in the implementation of this Agreement should be to respond to the needs of conflict-affected areas, with particular attention to internally displaced persons, returnees and conflict-affected persons, and to provide basic services and guarantees necessary for their safe and dignified return to their places of origin. In chapter IV of this agreement, compensation and return of internally displaced persons and refugees provide for the principle and process of compensation and assistance for the full integration of refugees into the community, including the restoration of their land property rights and compensation for the damage and losses they suffered as a result of the conflict.",
"Particular attention should be paid to the concerns of women in Darfur and their participation in all areas, in addition to heads of households, in particular refugees, internally displaced persons and migrant families, or the main part of the workforce, especially in the agricultural and animal resource sectors. Moreover, in all these areas, the situation of women has deteriorated because of conflicts, which have had a particular negative impact on women and children, mainly on their livelihoods. Specific measures should be taken to address their concerns and ensure their equal and effective participation in various committees and institutions established under this agreement.",
"The right to legitimate and sustainable recognition of the traditional and customary nature of the “hawakeer” and the right to land history is of paramount importance in guaranteeing the development and livelihoods of Darfur. This agreement aims to establish the mechanisms necessary to recognize and protect these rights.",
"A mechanism should be established to ensure sustainable use and monitoring of land and other natural resources procedures. The mechanism should ensure that the views of all citizens affected by land development and natural resource use are taken into account in the implementation of such development processes. Individuals whose property is lost or affected by the development of land and natural resources are entitled to adequate and timely compensation.",
"Land management systems and institutions should be developed and legally supported in order to promote sustainable development and response to environmental degradation based on land-use map data rates, taking into account historical experience in this regard.",
"The geographical location of Darfur is far from the centre, the lack of infrastructure such as roads, railways, bridges and dams, and therefore requires effective development and investment, which should be facilitated through reform, statutory relief and incentives:",
"Exemptation of tariffs and other costs for the construction and development of import materials in Darfur;",
"The Government of the Sudan should afford to meet tariffs and other costs for imported materials for national development projects in Darfur and for projects financed by the Government of the Sudan or the freight.",
"The Investment Promotion Act should be amended to provide additional incentives for foreign and local companies to invest in Darfur, such as the exemption of commercial profit taxes from these companies.",
"Reconstruction and development in Darfur",
"Article 18: General",
"The reconstruction and development efforts in Darfur should be supported through the regular and assured allocation of funds by the Financial and Financial Allocation Monitoring Committee, as set out in article 25.",
"Darfur needs a rapid transition from conflict to peace and should therefore create an enabling environment for the transition from the humanitarian aid phase to reconstruction, economic recovery and development phases.",
"In support of the transition period referred to in paragraph 128 above and the achievement of the above-mentioned objectives, Darfur needs considerable resources that go beyond its ability to mobilize at the local economic level in the short term. Thus, with the exception of State assistance, assistance should be provided through regular security funds allocated by the National Fund for the Fund and other national resources to Darfur's efforts.",
"Article 19: Microfinance regime",
"Darfur should establish a micro-financing system that would provide the necessary funding for income-generating activities with growth potential through small loans available to individuals and groups without the collateral requirements applicable to traditional banking systems.",
"The microfinance system should establish a number of non-traditional mortgages to facilitate access by target groups such as small producers, especially returnees.",
"Beneficiaries should increase their skills in their respective areas through government funding to build their productive capacities in the administration.",
"The microfinance system should pay special attention to income-generating activities for women, particularly widows.",
"The Government of the Sudan should fund $100,000 (US$ 1 billion) as a capital for the microfinance system.",
"The Government should encourage banks with small financing operations to give priority to Darfur.",
"The Government shall, in cooperation with the Darfur Regional Authority, develop, with the participation of experts in the area of microfinance, the statutes and rules of procedure for microfinance systems in a manner that ensures the independence of the microfinance system.",
"Microfinance systems can unconditionally receive support from professional organizations and other organizations in the area of microfinance.",
"Article 20: Social services",
"In addition to the allocation of financial and financial distribution monitoring committees, the Government of the Sudan should pay $225,000 over three successive periods to Darfur (US$ 200 million) in support of social services activities.",
"Article 21: Darfur Reconstruction and Development Fund",
"The Darfur Reconstruction and Development Fund should take the necessary measures to reform, reorganize and correct its imbalances within the structure and operational structure of the Fund for Reconstruction and Development in Darfur, which should be operational until it is incorporated into a multi-donor trust fund, and the multi-donor trust fund would be established in accordance with article 32 of the joint assessment mission in Darfur.",
"The Darfur Reconstruction and Development Fund will operate under the supervision of a committee composed of representatives of the Government of the Sudan, the Darfur Regional Authority and the Governments of Darfur.",
"The functions of the Darfur Reconstruction and Development Fund include, but are not limited to, the following tasks:",
"Financing return and resettlement projects;",
"Addressing development imbalances, in particular in the area of infrastructure and achievement of the Millennium Development Goals;",
"Establish funding mechanisms to meet the special needs of women, children and orphaned children. Such mechanisms should include but not limited to providing loans, investment opportunities, strengthening productive capacities, productive inputs and women's capacity-building.",
"National Government allocation of the Darfur Reconstruction and Development Fund",
"In addition to the share of the funds allocated by the Financial and Financial Allocation Monitoring Committee in Darfur, the Government of the Sudan should allocate $200,000 (20 billion dollars) from the National Fund. The amount of $200,000 ( $200 million) shall be paid immediately after the signing of this agreement as a seed fund for the Reconstruction and Development Fund for Darfur. The Government of the Sudan should pay the balance as follows:",
"One year after the signing of this agreement, the amount of $300,000 (US$ 3 billion);",
"Payment of $300,000 (US$ 3 billion) for the third year;",
"The amount of $300,000 (US$ 3 billion) was paid for the fourth year;",
"The amount of $400 million (40 million) was paid in the first five years;",
"$500 million (US$ 5 billion) was paid in the sixth year.",
"Financial federalization and intergovernmental relations",
"Article 22: Determination of financial responsibility at the national and state levels",
"National income shall be allocated to the Federal Government and the state governments in proportion to their constitutional responsibility to ensure the effectiveness of federal governance.",
"The allocation of income and expenditure-related responsibilities at the national and state levels of governance should be based on the following principles:",
"The allocation of expenditure functions to the Government level of geographical regions most closely reflecting that function;",
"The provision of specific services (expenditure distribution) can only be borne by a Government at a given level or by a level of government;",
"The Government of the Darfur State shall endeavour to use taxes collected from the above-mentioned areas to cover the services provided to people living in specific geographical areas;",
"The Government of Darfur shall be entitled to determine the tax base structure, tariff level or rate without interference by the Federal Government.",
"Article 23: Principles and bases for revenue distribution",
"Tax rules",
"All revenue collected at the national level or by the Federal Government is paid to the accounts of the National Fund for the years of age administered by the Ministry of Finance, which includes taxes from all ministries covering the shares of gold, oil, administrative or government in any agency or company or any other entity, whether arising from commercial, investment or other activities. The fund includes all accounts, including the collection, reporting and storage of sub-accounts receivable from the Federal Government.",
"In the absence of each financial year, Governments and their subsidiary bodies should publish a comprehensive report through legislative organs detailing all tax and non-levant income and all expenditure (annual financial reporting) to ensure transparency and accountability.",
"Tax base",
"The Federal Government may provide for collection of taxes or taxes from the following sources:",
"Individual income tax in the country;",
"Customary or corporate profits tax;",
"Customs and import taxes;",
"Seaport and airport taxes;",
"Costs of services;",
"Oil, mining and electricity taxes;",
"Government agencies and project taxes;",
"Value-added taxes and collection/ retail taxes and other goods and services taxes;",
"Consumer taxes;",
"Loans, including loans from central banks and citizens of the Sudan;",
"Grants and foreign financial assistance;",
"Other taxes provided by national legislatures.",
"The Government of Darfur is entitled to collect and manage the following costs:",
"State land and property taxes and benefits;",
"State service fees;",
"Constraints;",
"Individual income tax in Darfur;",
"Shares of oil and other natural resources produced by the states of Darfur;",
"Regional projects, institutions and natural protected areas in Darfur;",
"Customary taxes;",
"Agricultural taxes;",
"Tourism taxes;",
"Foreign grants and assistance;",
"Consumer taxes;",
"Other regional taxes under State legislation;",
"Within the framework of national macroeconomic policies, local and foreign loans and loans based on the value of credit are approved and guaranteed by the Central Bank;",
"Taxation on livestock;",
"subsidies and foreign financial assistance provided by the Government of the Sudan;",
"The allocation of funds for the National Fund for the years of age;",
"Border trade taxes charged under federal legislation.",
"The Darfur States may conclude agreements to strengthen resource mobilization and management within their jurisdictional areas and powers.",
"Article 24: Islamic tax institutions",
"All taxes collected in Darfur should be used in Darfur.",
"Despite the provisions of paragraph 150, the central body of the Islamic FIE, in accordance with article 38 (A) of the 2001 Statistical Tax Law, may provide as much as possible the necessary funds and implement programmes and projects that diversify the form of services, in particular for displaced persons and refugees, such as exhumation, provision of medical equipment, education and other productive projects.",
"Article 25: Intergovernmental financial transfers",
"The Commission will be established under the law. A panel of experts will also be appointed in accordance with the law and mandated to establish criteria for the transfer of the National Fund to Darfur states. A representative of the Darfur Regional Authority will serve as the Financial Distribution and Monitoring Committee.",
"In order to achieve financial balance, the Committee will ensure that the interests and perspectives of the Darfur states are reflected and that the interests of other state Governments are taken into account. The Committee will ensure that:",
"A vertical and horizontal optimization of the use and sharing of resources;",
"Maintain transparency in the allocation of funds to Darfur states;",
"Activities of the National Ministry of Finance in connection with the rapid transfer of budgetary subsidies. The Committee will report to the legislative organs.",
"In accordance with the following criteria, the share will be transferred directly from the Finance Allocation and Monitoring Commission to the Darfur states:",
"Number of population drawn from the 2008 census;",
"Development indicators (health, education, infrastructure);",
"State efforts in tax collection;",
"Impact of conflicts;",
"Geographical size.",
"The Group of Experts will provide, in the form of a percentage, a weight of the criteria in order to serve as the basis for calculating the shares of the countries.",
"The Financial Allocation and Monitoring Board will implement a transparent process to monitor the timely payment of transfers to Darfur states when ensuring that the Federal Government shall not detain funds from the Darfur states or any other sub-government.",
"If the State Ministry of Finance detains funds allocated to the Darfur states or does not allocate funds in accordance with the original arrangements, the Darfur States may sue the Constitutional Court.",
"Article 26: Transfer of funds to the Darfur Regional Authority",
"The Government of the Sudan will fund all activities carried out by the Darfur Regional Authority. Funds for capital expenditure will come from the Darfur Reconstruction and Development Fund, while management costs in the budget will be directly provided through national legislation.",
"The process of allocating funds to the Darfur Regional Authority will be transparent.",
"If the Federal Government delayed the transfer of funds allocated to the Darfur region or the seizure of funds, the Darfur Regional Authority may sue the Constitutional Court.",
"Article 27: German financial rights in Darfur",
"In the context of the federal system, the Darfur States shall have the right to:",
"The transfer of taxes collected by the State Ministry of Finance pursuant to article 25;",
"Tax collection pursuant to article 23;",
"Entry into the Darfur Reconstruction and Development Fund;",
"Multi-donor trust funds have been made available.",
"A specific purpose allocation system will be established to achieve the Millennium Development Goals, reduce poverty and achieve gender equality.",
"Article 28: Sources of external funding",
"With the approval and security of the Central Bank of the Sudan, the Darfur Regional Authority and Darfur can obtain loans from national and international financial markets.",
"The Darfur Regional Authority and the Darfur states will submit reports to the Federal Government on all amounts from external funding and assistance sources.",
"Article 29: Capacity-building",
"In signing the Agreement, the Government of the Sudan will assist the Darfur States and the Darfur Regional Authority in developing and implementing a advanced and comprehensive capacity-building programme on public financial and financial federalization.",
"Article 30: Monitoring and accountability",
"The Darfur Regional Authority and the Darfur states will prepare their budgets in accordance with general financial statistics, which will be submitted to the Council of the Regional Authority for Darfur and to the legislative organs of the states. No new allocation of funds could be revised or added without the approval of the Council of the Regional Authority for Darfur, or subject to approval by the legislative organs. A comprehensive interim report on overall income and expenditure should also be prepared. These reports will be prepared in accordance with the criteria for transparency and accountability at the national level, in accordance with financial regulations and guidelines for national auditor bodies; and comprehensive reports should be prepared in accordance with international standards.",
"The following bodies are responsible for monitoring the process:",
"Financial distribution and monitoring committees;",
"ACHIE and the Office of the Auditor-General of the States;",
"The Council of the Regional Authority for Darfur;",
"National legislatures in Darfur.",
"Article 31: Development policy for Darfur",
"The development of national development policies will be based on the realization of the right to equitable and balanced development in all parts of the Sudan and will be a special priority for the country's poorer and conflict-affected areas.",
"Against this background, Darfur will aim to achieve short- and medium-term goals in a wide range of areas, such as recovery, reconstruction, construction and development, and to consider urgent needs and the need for a long-term development basis. Special attention will be paid to programmes and projects that will accelerate the transition from relief to development in Darfur.",
"The main objective of achieving post-conflict economic recovery and development in Darfur is as follows:",
"Reconstruction and development;",
"Revitalizing the economy of Darfur to integrate it into the national economy and to promote trade between the Darfur states and neighbouring countries;",
"Recovery of basic social services, such as education, health and water supply;",
"Achieving sustainable economic growth, equitable development, social stability and improving access to social services;",
"Poverty reduction and economic empowerment and awareness;",
"Creating adequate employment opportunities;",
"Develop individual and institutional capacities for good governance, emphasizing accountability and transparency;",
"Develop physical infrastructure with a view to improving access by the people of Darfur to the main markets of Darfur, other parts of the Sudan and neighbouring countries, and undertakes to open the Western Ingaz Highway and all branches within two years in accordance with international standards;",
"Establishing a stable and transparent legal framework to encourage private, local, national and foreign investment;",
"Developing technical and analytical capacities in key areas such as economic management, financial management and procurement;",
"Investment in education and scientific research to improve and develop human resources;",
"Promoting alternative energy production and addressing the causes of environmental degradation.",
"The parties recognized the urgent need for Darfur to suffer from poverty for historical reasons and the severe impact of the conflict on them:",
"Restoration of peace, security and social stability;",
"Effective implementation of government functions;",
"Strengthening civil administration;",
"Restoration, reconstruction and building physical, institutional and social infrastructure in Darfur emerging from conflict;",
"A comprehensive structural reform within the University and institutions of Darfur to carry out their mission;",
"The opening of universities and foreign science and technology colleges to transform Darfur into an advanced society of technology, industry, agriculture and trade.",
"The struggle of pastoralists and farmers for pastoral and water sources is a serious problem in Darfur and will be addressed in a comprehensive manner:",
"Develop policies and projects to curb environmental degradation and promote agricultural production and livestock production;",
"Progress in shifting the weight of livestock production and livestock farming from quantity to quality;",
"Develop a framework for equitable access to land resources and water resources by different users;",
"Develop policies and projects aimed at building a agricultural, industrial and technological economy in all states;",
"Developing research capacities in these areas.",
"Disadvantages of the people of the Sudan (General speaking) and the traditional rain-fed sectors of the people of Darfur (specificly) have led to increased food imports, rural displacement to cities and the spread of hunger and disputes. Therefore, policies and projects aimed at promoting traditional rain-fed agriculture should be developed, which will be seen as a major national development priority to accelerate the achievement of the Millennium Development Goals.",
"The following development projects have been neglected and will be reviewed to assess their feasibility. If feasible, the implementation of the project will be resumed:",
"The Western Swana Development Project;",
"Jbel Mar Rural Development Project;",
"ACHIE project;",
"Habeela agricultural projects;",
"Ghazalah Jawazat research stations;",
"Abkh Hamamra Agriculture Project;",
"Saq Alnaam Agriculture Project;",
"Urn Bayada Project;",
"Ultimal al-Harval water basins;",
"Combating drought and desertification projects;",
"Public housing projects;",
"Agricultural research projects;",
"sugar projects;",
"XIV. Alradoom, Wangi Harval and other wildlife protected areas;",
"Urn Aja project (Bahar Alarab development project);",
"Wadi Alatroon development project.",
"All Government levels will make the utmost effort to increase the level of people development in Darfur to the country level in their efforts to accelerate the achievement of the Millennium Development Goals.",
"Article 32: Joint assessment mission in Darfur",
"The joint Darfur assessment mission will be established to identify and assess the needs of post-conflict economic recovery, development and poverty eradication in Darfur. The donor conference will be held three months after the signing of the Agreement, at which time these needs will be raised.",
"The parties will request the World Bank (WB), the Darfur Development Bank, the United Nations and the African Development Bank (AfDB) to take the lead in joint assessment missions, in cooperation with the Islamic Development Bank, the African Union (AU), the League of Arab States (ANU), the Organization of the Islamic Conference, the Arab Fund, the European Union (EU), the United States of America (United States), the State of Qatar and other relevant national and regional economic organizations.",
"Since the financial resources and expertise required to carry out this action go beyond the Sudan's capacity, the parties requested the international community to participate urgently and fully in the operation, to provide assistance in the provision of the necessary resources and expertise, and to assist in meeting the needs for that purpose through the establishment of a multi-donor trust fund. The regulatory body to be established by donors and the Government of the Sudan will determine the operation of the Fund.",
"The parties will participate in the oversight and technical committees of the joint assessment mission in Darfur.",
"The development needs of Darfur in the social sphere and infrastructure will be assessed and will be determined by the joint assessment mission in Darfur to determine the resources necessary to meet these needs in the next six years.",
"Development and management of land, Hamwakeer and natural resources",
"Article 33: General principles",
"The land boundary covered by this chapter will be the land of Darfur referred to in chapter II of the Agreement, paragraph 80.",
"Because the people of Darfur did not benefit from the Land Recovery and Registration Regulations of 1925, the use of land (Hawakeer) in accordance with the customs, traditions and inheritances on land ownership, traditional livestock routes and access to water resources would be amended on a priority basis, with priority to incorporate land (Hawakeer) rights and land (Hawakeer).",
"If the land is rented under the investment law and the tenants do not meet the conditions for the rental of these lands to them, the land in question will be restored.",
"Without prejudice to the provisions of this Agreement, the appropriate or confirmed Government level will exercise the right to all land-related issues of the Government of Darfur.",
"All displaced persons and other persons who are arbitrarily or unlawfully deprived of their property or land rights will be returned to their property and rights and will immediately be fully compensated for the continuing loss or damage they suffered during their deprivation.",
"Mechanisms will be established to ensure sustainable management and utilization of land and other natural resources. All victims of land development and natural resource use should be consulted and their views should be considered. Individuals whose property or living information is negatively affected by the development and use of natural resources will be entitled to immediate and adequate compensation.",
"Article 34: Traditional and historical rights of land",
"Land ownership regulations and the use and exercise of land rights are consistent and will be exercised at the appropriate government level.",
"The historical rights of ownership, land, traditional and customary livestock routes and access to water will be recognized and protected by the traditional lands of the tribe (Hawakeer). All relevant levels of the Government will initiate and complete a process based on international trends and practices in order to gradually revise the relevant legislation and incorporate customary law. In order to protect traditional heritage, the traditional and customary livestock pathways, closed, or alternative routes will be reopened as possible.",
"The land law revised in accordance with paragraph 188 will recognize and protect historical, traditional and customary land rights.",
"Any traditional or historical land rights of any individual or individual group or the right to access water shall not be denied if there is no immediate full consultation and compensation.",
"Without prejudice to the jurisdiction of the Tribunal, the Land Commission in Darfur will respond to the traditional and historical rights of the land, review land management and utilization issues and natural resource development.",
"Article 35: Land of local communities",
"Ethnic land may be developed if the Federal Government and the State Governments engage with local communities with these rights. The ethnic group will be entitled to a fair share of income derived from land development; or the affected ethnic group will receive physical and/or cash compensation.",
"If the federal and state governments act or develop land in conformity with the development plans developed under Article 38 of the land-use screening database, they may act or develop any land belonging to local communities.",
"Article 36: Land distribution",
"Individuals from local communities can register their customary land. If possible, registration would be free and, if not free, would reduce registration fees and would be tied to facilities and activities used to raise public awareness.",
"Article 37: Land planning and sustainable development",
"Land planning and sustainable development are subject to the following requirements:",
"Recognizes the traditional rights of the land (including Hawakeer) and historical rights to ensure the safe and sustainable basis for the lives and development of the people of Darfur;",
"Develop sustainable land systems and resolve disputes arising from land-use competition;",
"Land planning in Darfur will be based on results from the land-use screening database for the following:",
"(a) Housing;",
"(b) Agriculture;",
"(c) Extensive pasture;",
"(d) Mining;",
"(e) Industrial development, including external investment;",
"(f) Natural protected areas;",
"(g) seasonal livestock movements (roads, pastorals etc.);",
"(h) Forest reserves and afforestation.",
"Article 38: Land Commission in Darfur",
"The Darfur Land Commission will be established. The Land Commission of Darfur will be composed of the Federal Government, the Darfur Regional Authority, the Government of Darfur, local people management and local experts. Memberships will reflect the land-use interests of Darfur. With regard to recommendations on land planning and development, the Council will ask individuals affected by the rights.",
"The Lands Commission in Darfur will produce a land-use screening database for the states of Darfur and submit the database as a recommendation to the legislative organs of the states of Darfur for adoption and subsequently to the Council of the Regional Authority in Darfur for final approval. The database will be reviewed every five years.",
"The Land Commission in Darfur will apply a planning system for the use and development of land and natural resources, which addresses the following:",
"Good management, development and protection of natural resources, such as agricultural land, protected natural protected areas, forests and minerals, water, towns and rural areas, with a view to promoting the social and economic well-being of local communities and creating and maintaining a better environment;",
"Development and coordination of economic development of organized land and natural resources;",
"Sustainable development;",
"Protection of cultural heritage;",
"Protection, provision and coordination of telecommunications, transport and other related services;",
"Allocation of land for public purposes;",
"Provision and coordination of social services and facilities;",
"Environmental protection, including protection of flora and fauna, endangered species and natural protected areas;",
"Removation of erodeed lands and development of programmes to combat desertification, including afforestation and reforestation;",
"Promoting shared responsibility for environmental planning at all levels in Darfur;",
"Creating opportunities for public participation in environmental planning and assessment;",
"Creating opportunities for consultation with all persons affected by land and natural resource development plans;",
"Approval of immediate and adequate compensation to individuals whose living information or property is adversely affected by the development and planning of decisions relating to land and natural resources.",
"If the current land use and living information of local communities or individuals has been negatively affected by the land-use screening database, they have the right to receive adequate compensation immediately.",
"The Land Commission in Darfur will:",
"Maintaining independence and impartiality;",
"To establish rules of procedure and submit the rules of procedure to the Regional Authority for Darfur for approval;",
"Access to all land records;",
"To discharge its duties as soon as possible;",
"All appropriate arrangements to ensure full and effective participation of all victims and local communities;",
"Annual report on the annual budget of its activities to the Darfur Regional Authority and the Governments of Darfur;",
"Ensure that the composition, recruitment and conditions of service of members of the Committee are in compliance with the law;",
"Consideration of the traditional and historical rights of land.",
"Without prejudice to the jurisdiction of the Tribunal, the Lands in Darfur will exercise the following additional duties:",
"Arbitration of land rights disputes;",
"Recommendations on recognition of traditional and historical land rights at the appropriate government level;",
"Evaluating appropriate compensation for the application submitted to it. These compensation is not necessarily limited to economic compensation;",
"To make recommendations to all levels of government on the coordination of policy issues on the projects of the Governments of Darfur that affect land or land rights, and to consider land-use screening databases;",
"Establishment and maintenance of records on land use;",
"Research on land ownership and land use;",
"Review of current land-use regulations mechanisms and make recommendations to competent authorities for necessary changes, including the return of land rights to landowners or compensation.",
"In parallel with the exercise of arbitration duties, the Land Commission in Darfur will be entitled to receive applications and apply customary and traditional laws or principles of equity and justice after the consent of the parties to the dispute. The arbitration decides to limit the parties to the dispute and may be enforced by the competent court.",
"Without prejudice to the jurisdiction of the courts, parties with land disputes will be encouraged to give detailed consideration to traditional methods of settlement of disputes, including arbitration before recourse to courts.",
"The Land Commission in Darfur will respect the decisions taken by bodies or entities authorized by chapter IV of this Agreement with a view to making decisions on all land of displaced persons, refugees and other persons affected by conflict.",
"The National Land Commission and the Land Commission in Darfur will cooperate and coordinate activities to make effective use of the resources of the two. In the absence of restrictions on coordination, the National Land Commission and the Darfur Land Commission will agree on the following issues:",
"Share information and make joint decisions;",
"Specific functions of the National Land Commission to be assigned to the Land Commission in Darfur, including data collection and research;",
"Elimination of any contradiction between the actual results and the recommendations of the two commissions;",
"The Darfur Land Commission will serve as a permanent member of the National Land Commission.",
"If there is a conflict between the actual results, the recommendations of the National Land Commission and the recommendations of the Darfur Land Commission, the two commissions will work to coordinate their respective positions. If it is not possible, the question will be referred to the Constitutional Court for its decision.",
"Article 39: Main development projects",
"In exceptional cases, the Council of the Regional Authority for Darfur and the Darfur State legislation may authorize the Governments of Darfur to sign agreements in order to implement major development projects that may be incompatible with any land-use plan or planning legislation. However, if the proposed agreement contains detailed provisions on the following elements, the Governments of Darfur may seek to obtain that task:",
"A clear definition of the proposed project;",
"The agreement shall adopt procedures to protect the environment;",
"Measures will be taken to consult with ethnic and individuals who are negatively affected by the proposed development projects;",
"Expected benefits for local communities and the people of Darfur;",
"Compensation will be given to the ethnic and individual whose property or living information is negatively affected by the agreement and whether they agree to the designation of compensation.",
"Relevant revisions will be made to the LULUCF database or to the planning legislation.",
"Article 40: Natural resources",
"With regard to the management and development of natural resources, the Lands in Darfur will work towards the sustainable use of these resources and consider the following issues:",
"National interests and public goods;",
"Relevant national and regional interests;",
"The interests of the local people in the relevant region;",
"Environmental policies, biodiversity protection guidelines and the principles of cultural heritage protection in the states of State and Darfur;",
"Right to land, including customary and traditional rights;",
"International accreditation standards and environmental approaches for mining and natural resource development.",
"Consultations will be held with the owners of the land rights and their views are taken into account when making available resources in the field of exploitation of their rights.",
"Individuals with land rights will be entitled to immediate and adequate compensation if they are used and used for the exploitation of natural resources.",
"The Government of the Sudan will involve the people of Darfur, through its state governments, in all stages related to the development and use of natural resources in Darfur. This would involve negotiations, conclusion and management of contracts. The benefits of local communities affected by development will be considered.",
"Article 41: Management and development of the oil sector",
"The management and development of the oil sector will be based, inter alia, on the following:",
"The optimization of oil as a non-renewable natural resource is based on the following:",
"(a) National interests and public goods;",
"(b) The interests of the States concerned;",
"(c) The interests of the relevant regional population;",
"(d) Environmental policies, biodiversity protection guidelines, cultural heritage protection principles, including through and compliance with international technical and security standards, in the states of Darfur.",
"Enabling appropriate levels of government in Darfur to engage with relevant local communities in the development and management of oil at different stages;",
"Creation of an enabling environment to attract direct investment from outsiders in Darfur;",
"Consultations with all persons of land rights in Darfur and their views are taken into account in making decisions on oil resources in the relevant regions;",
"Individuals with land rights will be entitled to immediate and adequate compensation if they are used and used to develop oil resources.",
"Three non-permanent members shall be assigned to the National Oil Commission to participate in the negotiations and conclusion of the relevant contracts and to ensure that the provisions of these contracts are in line with the principles, policies and directives of the Committee.",
"Two per cent of oil revenue will be allocated to the State producing oil. Such States may negotiate a higher percentage.",
"Chapter IV: Compensation and return of internally displaced persons and refugees",
"Article 42: General principles of compensation and return of internally displaced persons and refugees",
"A lasting solution to internally displaced persons and refugees should be based on the following principles:",
"The parties committed themselves to fulfilling their obligations with regard to internally displaced persons and refugees, the Framework Agreement between the Government of the Sudan and the Justice and Equality Movement (JEM) of 23 February 2010 and the Framework Agreement between the Government of the Sudan and the Movement for the Liberation and Justice of 18 March 2010, which specifically includes the right of internally displaced persons and refugees to voluntarily return to their countries of origin, as well as the creation of conditions conducive to their voluntary return and to help their return, in accordance with clear strategies.",
"Respect for, protect and fulfil the rights of internally displaced persons, refugees and all victims of conflict, in accordance with international human rights law, international humanitarian law, international refugee law and all other international and regional instruments to which the Sudan is a party.",
"In accordance with national legislation and international legal instruments contracting with the Sudan, internally displaced persons, returnees and all victims of conflict will enjoy the same rights and freedoms as others in the Sudan on the basis of absolute equality.",
"Protection and assistance to internally displaced persons, refugees and all victims of conflict, including separated and untreated children, female heads of households, pregnant women, mothers living with children, the elderly and persons with disabilities.",
"Measures were taken to ensure safe and dignified life for all other victims of internally displaced persons, refugees and conflicts, and to fully respect their equal rights at all stages of displacement, including during displacement and voluntary return, resettlement and reintegration, and to provide protection and assistance. Ensure the delivery of humanitarian assistance to victims, especially women and children, to address the situation of victims of disabilities and to provide them with health and social services.",
"The parties committed themselves to establishing mechanisms to promote and promote the active participation of internally displaced persons, refugees, victims of conflict and civil society in the planning and implementation of strategies, policies and programmes related to addressing the humanitarian and human rights impacts of conflicts and the return process. Special measures will be taken to ensure the participation of women and young people.",
"The parties undertake to establish international humanitarian, development and human rights organizations in a rapid, safe and non-restrictive manner, as well as national and international non-governmental organizations, international peacekeeping missions to participate in support, protection, repatriation, resettlement and reintegration of internally displaced persons, refugees and conflict victims.",
"The parties recognize the humanitarian leadership role played by specialized international organizations appointed by the Secretary-General of the United Nations, namely, in the context of internal displacement and protection, assistance and the resolution of refugee issues, coordination among all agencies, such as protection, shelters and camps.",
"In accordance with the principles of the United Nations and the Charter of the United Nations and the provisions of the AU Organic Law, the Organization of the Community of Sahel-Saharan States and other relevant international and regional organizations in the area of the peaceful settlement of disputes, the parties have fulfilled their obligations to prevent and avoid the displacement of individuals. Assistance will be provided to all victims of internally displaced persons, returnees and conflicts. The parties agreed to follow the guiding principles on internal displacement endorsed in the 2005 United Nations World Summit Outcome.",
"Article 43: Compensation for injury and loss",
"All conflict victims, such as internally displaced persons and refugees, will be entitled to economic compensation for the harm and losses caused by the conflict, including deaths, bodily harm, mental and emotional suffering and economic losses.",
"Article 44: Safety and security",
"The parties will provide security and protection, with the support of the African Union-United Nations Hybrid Operation in Darfur, to prevent all forms of physical attacks, sexual violence, exploitation, abduction, recruitment of child soldiers, child labour, arbitrary detention, non-fundamental payments, ranom and illegal confiscation of property, and the Government of the Sudan will take the necessary measures to address the impact of such violence, thereby effectively and in a timely manner ensuring justice.",
"The parties will respect and preserve the civilian and humanitarian character of camps for internally displaced persons.",
"Under Chapter VI of this Agreement, the parties will take all necessary measures, with the assistance of the African Union-United Nations Hybrid Operation in Darfur, to ensure the safety of camps for internally displaced persons. These measures will ensure the effective participation of women in decision-making processes in the camps.",
"The Government of the Sudan will take all necessary legitimate measures to combat participation in attacks on the staff of humanitarian agencies.",
"Article 45: Humanitarian assistance",
"The Government of the Sudan will provide emergency assistance to internally displaced persons, including food, shelter, education, health care and other health services, as well as other necessary humanitarian and social services.",
"Humanitarian assistance and living information will be provided before and after the return of internally displaced persons and when refugees return.",
"Such assistance will be provided to host communities that require humanitarian assistance and livelihood support and returning refugees.",
"In accordance with arrangements agreed with the Government of the Sudan, the parties will promote and promote the participation of the United Nations and the specialized agencies, as well as national, regional and international humanitarian organizations, so that internally displaced persons and their camps are not hindered and restricted.",
"The parties will guarantee and protect the safety of humanitarian aid routes and humanitarian workers.",
"Article 46: Personal documents",
"The Government of the Sudan should issue all the documents necessary to return internally displaced persons and refugees to enable them to enjoy their rights. The parties should agree on the form of a voluntary return and resettlement committee-owned mechanism in order to issue such documents free of charge, in cooperation with the relevant authorities.",
"The Government of the Sudan will facilitate the distribution of new or alternative documents to replace documents lost or destroyed during displacement.",
"Women, children and men have equal rights in obtaining the necessary identification documents and are entitled to documents distributed according to their names. Special efforts will be made to accelerate the delivery of these documents to orphans and children who are dispersed and untreated.",
"Article 47.",
"The Government of Darfur and the relevant authorities will take all necessary measures to bring together the displaced persons as soon as possible. Special efforts will be made to accelerate uncareering and dispersing of children with their families. Voluntary returns and resettlement will be coordinated and cooperated with humanitarian organizations involved in family tracing and assistance. The parties stressed their commitment to combat the abduction and trafficking of children and would work to put an end to and unwarranted practices.",
"Article 48: Freedom of movement",
"The parties will guarantee the freedom of movement and ensure that internally displaced persons and returning refugees choose their homes, including the right to free access to camps, as well as the right to voluntarily return to their sources or to voluntarily resettle at another location in the country.",
"The parties will respect and ensure the rights of internally displaced persons and refugees to seek security at another location in the Sudan and be protected from forced repatriation or re-entry into any place threatening their lives, security, liberty and/or health.",
"Article 49: Voluntary return",
"All internally displaced persons and refugees have the right to return voluntarily to their countries of origin or habitual residence in a safe and dignified manner or to resettle their homes in another location they choose. The parties will not interfere with the choices made by internally displaced persons and returning refugees to their destinations, nor will they be forced to remain, return or migrate to regions where there is a serious risk or insecurity or the lack of basic services required for normal life.",
"The Government of the Sudan will accept and promote the voluntary return of internally displaced persons and refugees to their countries of origin or habitual residence or to resettle in another location in the country.",
"All parties will take all necessary measures to put an end to activities that will impede the safe and dignified voluntary return of internally displaced persons and refugees.",
"Internally displaced persons and refugees will receive objective information on the status of return and resettlement. The parties, with the assistance of appropriate local and international actors, will facilitate the timely dissemination of accurate information on the status of return and resettlement to enable refugees and internally displaced persons to make informed and voluntary decisions on returns and resettlement.",
"The parties will respect the principle of family reunification that exists in voluntary return or resettlement.",
"In coordination with voluntary returns and resettlement and any other relevant entities, the parties will make special efforts to ensure the participation of internally displaced persons and refugees, including women and youth, in planning and management of their return or reintegration.",
"Article 50: Adequate conditions for return",
"The Government of the Sudan will create security, political, economic and social conditions as soon as possible and provide avenues for the safe and dignified voluntary return of internally displaced persons and refugees to their countries of origin or habitual residence.",
"The parties will contribute to the creation and maintenance of the conditions for voluntary return and the sustainable and harmonious reintegration of refugees and internally displaced persons.",
"The parties agree that the conditions necessary for the return of internally displaced persons and refugees are as follows:",
"To guarantee their security and safety without risk of harassment, intimidation, persecution or discrimination during or after the voluntary return or resettlement of internally displaced persons and refugees;",
"Freedom of movement and the choice of residence, including the right to return to the country of origin or habitual residence and to settle there;",
"iii. Demining internally displaced persons and refugee homes and areas in which land is located and demining on the way to markets, water sources, schools and sanitation facilities;",
"Return of internally displaced persons and refugee property;",
"Assistance is provided for the establishment of fixed shelters for displaced persons and refugee return villages and the repair and compensation of damaged property.",
"Access to food, drinking water and medical care, including in the form of humanitarian assistance before the return of internally displaced persons and refugees to normal life;",
"The amount provided to each household amounted to $250 million ($2550) as part of the return package to help meet the urgent needs of internally displaced persons and refugees. The package aims to enable them to start new lives and to integrate them effectively. The package will also include access to drinking water, food and shelter materials, as well as agricultural inputs for crop and livestock, such as seeds, nursery, veterinary services, tools and necessary equipment.",
"Responsibilities and infrastructures in the region;",
"Recovery of damaged agricultural land;",
"Education for boys and girls and equal training, including livelihood training;",
"Equal access of men and women to life information, including employment;",
"Equal access to public services for internally displaced persons and refugees and equal rights to participate in public affairs;",
"Provision of psychological support to internally displaced persons and refugees.",
"The parties will ensure that the appropriate conditions before the return are implemented.",
"The parties will promote the voluntary return or resettlement of internally displaced persons and refugees in a peaceful, orderly and progressive manner, in accordance with a clear strategy.",
"Article 51: Voluntary Return and Resettlement Commission",
"The establishment of a voluntary return and resettlement commission will be a priority. It will include:",
"Voluntary return to the Committee;",
"Property claims and restitution committees;",
"Compensation/Jabr Al-Darar Fund.",
"The Voluntary Return and Resettlement Commission will oversee the Voluntary Returns Commission, the Property Claims and the Return Commission and the Compensation/Jabr Al-Darararar Fund.",
"The voluntary return and resettlement committee will develop rules of procedure, financial and administrative regulations to design appropriate structures to be adopted by the Darfur Regional Authority.",
"The parties will agree on the establishment of the composition of institutions under the Voluntary Return and Resettlement Commission and the designation of members.",
"Reparation/Jabr Al-Dararararar Funds for Voluntary Returns and Resettlement Commission activities will be funded by the Compensation/Jabr Al-Dararararar Fund.",
"Voluntary Returns Committee",
"Under the supervision of the Voluntary Return and Resettlement Commission, the Voluntary Returns Commission will be responsible for all aspects of the voluntary return of internally displaced persons and refugees. To that end, the voluntary return committee will assume the following tasks and functions:",
"Conduct data surveys on internally displaced persons and refugees in order to plan for voluntary return or resettlement;",
"In collaboration with relevant international bodies, such as the Office of the United Nations High Commissioner for Refugees (UNHCR), a comprehensive needs assessment of regions that may return or resettle will involve safety, food security, damage to homes and lands, drinking water, sanitation, education, access to health services and infrastructure;",
"Assessment of the conditions required for sustainable returns, and recommends that concrete measures be taken to ensure the creation of these conditions and to verify their implementation;",
"To develop and adopt voluntary return plans within three months of signature of this Agreement, with assistance from UNHCR and appropriate local institutions;",
"Implementation of voluntary return plans in close cooperation with appropriate local institutions, the international community, in particular UNHCR, and countries hosting refugees;",
"Monitoring and reporting on the continuing basis necessary for the maintenance of sustainable returns and reintegration and conditions for the return of internally displaced persons and refugees;",
"Planning, organization and assistance for the voluntary return of internally displaced persons and refugees, in accordance with voluntary return plans, and assistance in their reintegration.",
"The voluntary return committee may establish the subcommittee required to carry out its duties, namely:",
"The Subcommittee on Data Surveys and Planning;",
"Sub-Commission on the assessment, recovery and establishment of regional infrastructure.",
"The voluntary return and resettlement committee will ensure that internally displaced persons, refugees and civil society representatives are actively involved in the process related to voluntary returns.",
"Article 52: Return of homes, land and property",
"Internally displaced persons and refugees have the right to re-equipped housing, land and property. If the property cannot be returned, it will be entitled to compensation in accordance with international principles.",
"This right applies irrespective of the choice of internally displaced persons and refugees to return to their places of origin or to rejoin elsewhere.",
"The Property Claims and Recovery Commission will ensure the return of internally displaced persons and refugee homes, land and property.",
"The Property Claims and Recovery Commission will:",
"I have received restitution claims from internally displaced persons, refugees and other victims of conflict in Darfur.",
"Having received claims, the legitimate owner of the property is determined in accordance with the content of the claim;",
"If the claimant is a legitimate owner, he or she is required to return the property to him or her;",
"If this cannot be done, he/she is required to make reparations.",
"A procedure for submitting and adjudicating claims is to be simple, understandable, transparent, fair, timely, enforceable and free of charge. These procedures will include concrete measures to ensure the participation of women and orphans in the return process on the basis of full equality;",
"If appropriate, the appointment of a proponent and a representative act on behalf of the claimant, particularly in cases where the claimant is under 18 years of age or has a intellectual disability.",
"The Property Claims and Recovery Commission will not recognize the effectiveness of any unlawful transaction, including any transfer that is forced or has not been obtained free and informed consent.",
"The Government of the Sudan will be responsible for ensuring the return of property to the legitimate owners. The Government of the Sudan will, with the assistance of the relevant international institutions, move and resettle internally displaced persons and refugees.",
"No person or group shall be deprived of any traditional or historical right to access land or water without consent or without immediate compensation.",
"Without prejudice to the jurisdiction of the Tribunal, the traditional regime can be used to resolve disputes if disputes arising during the return process are in compliance with international human rights norms.",
"The Property Claims and Recovery Commission will establish the subcommittee required to carry out its duties, namely:",
"The Subcommittee on Verification and Preparation of Documentation;",
"The Subcommittee on Dispute Settlement and Property Claims; and",
"Other such subcommittees considered necessary.",
"The Property Claims and Recovery Commission will make public decisions.",
"Article 53: Compensation/Jabr Al-Dararar Fund",
"The Compensation/Jabr Al-Dararararar Fund will be established, as required by the following:",
"Claims for property and claims submitted by the Commission pursuant to article 52;",
"Pursuant to article 58.",
"The Fund will have before it and hold:",
"Contributions made by the Government of the Sudan pursuant to paragraph 273;",
"The people of the Sudan, through their chambers of commerce and philanthropic organizations;",
"Contributions by Islam, the Arab and African countries and their funds;",
"Contributions by the EU and other donors;",
"Funds mobilized by United Nations agencies.",
"The Compensation/ Jabr Al-Darararar Fund will establish its rules of procedure. This rule should be simple and understandable.",
"Article 54: Funding",
"The Compensation/Jabr Al-Darararar Fund will compensate internally displaced persons, refugees and any other victims of conflict in Darfur for an initial amount of $300 million (US$ 3 billion), in which the Government of the Sudan committed $200 million (US$ 2 billion), and the remaining $1 billion (US$ 1 billion) will be provided by donors.",
"The Government of the Sudan will be funded from the national budget with a view to supporting the voluntary return and reintegration of internally displaced persons and refugees, in accordance with the property claims and the budget established by the Committee.",
"Recognizing that general mediation and collective and family reparations (specific) require significant mobilization of resources, and recognizing the fact that the mobilization of local resources alone cannot meet all demands and that the funding plan requires the participation and support of the international community, peace partners and peaceful beneficiaries. Therefore, the parties agreed to strengthen the mobilization of international resources and to contribute to the Compensation/ Jabr Al-Darararararararar Fund.",
"Chapter V: Justice and reconciliation",
"Article 55: General principles of justice and reconciliation",
"Justice and reconciliation should be based on the following principles:",
"Respect for international human rights law and international humanitarian law.",
"Justice and reconciliation are indivisible and interrelated elements for achieving lasting peace in Darfur and are key to upholding the rule of law.",
"The transitional justice system is compensated and the legal responsibility of the perpetrators of violence related to armed conflict in Darfur is pursued.",
"Rebuilding and restoring social relations and restoring and strengthening the values of peaceful coexistence, respecting existing practices, social cooperation and solidarity in Darfur.",
"Victims have the right to use judicial and remedy mechanisms, in particular those that violate international human rights law and international humanitarian law, to receive adequate, effective and timely compensation and/or compensation.",
"Judicial and other remedies, including transitional justice systems, will be independent and impartial and will be consistent with international norms and standards.",
"Condemning the atrocities, abuses and violations of human rights and international humanitarian law committed in Darfur during the conflict, and urgent need to take all necessary measures to prevent the recurrence of such violations.",
"Ensuring the responsibility of all perpetrators of violations of human rights and international humanitarian law.",
"Adequate recording and documentation of all forms of crime and violations.",
"Recognizing the special situation and concerns of women, children and young people, the important role of women and young people in combating and resolving conflicts, transitional justice processes and peacemaking, and recognizing the need for their equal and full participation in all efforts to maintain peace and security, including justice and reconciliation.",
"Children caught in conflict and may be involved in crimes under international law will first be victims and will be treated in accordance with the Convention on the Rights of the Child, the Geneva Convention II, the African Charter on the Rights and Welfare of the Child, the Beijing Rules and relevant international standards for juvenile justice and fair trial.",
"Recognizing the role of independent and impartial traditional mechanisms in complementary processes of justice and reconciliation and the importance of making full use of their potential in upholding international human rights standards.",
"African and international experience and best practices on responsibility, reconciliation and the search for truth must be drawn upon to respond to the situation in Darfur and to take advantage of the justice, reparation and reconciliation mechanisms for resolving conflicts.",
"Safe and comprehensive protection is provided to all citizens.",
"Justice, responsibility, recognition of wrongful acts, tolerance and non-repetition commitments.",
"Encourage friendly exchanges among the leaders of the reconciliation tribes.",
"In coordination with local authorities, tribes collect all weapons of the tribal groups.",
"Promoting dialogue as an appropriate channel for inter-tribal reconciliation and strengthening the reconciliation mechanisms recognized in Darfur.",
"Article 56: National justice system",
"The parties agreed on the importance of promoting the establishment of justice in Darfur and agreed that the judicial system would play an important role in that regard. They also agree that a wide and sustained reform should be carried out so as to strengthen their capacity, professionalism and independence and to ensure justice for all.",
"Without prejudice to article 60, persons who enjoy immunity by official status or competence shall not impede justice as soon as possible or prevent impunity.",
"The Government of the Sudan is committed to promoting justice through the following necessary and important measures:",
"Increase the number of courts and judicial personnel in Darfur, including judges and prosecutors;",
"Strengthening and using the mobile court system;",
"Allocation of the necessary resources for effective justice, including the provision of necessary land and air transport to prosecutors in Darfur. To that end, the Government of the Sudan could seek assistance from the United Nations and other peace partners;",
"Ensure that the Ministry of Justice enforces and supports the performance of the prosecution duties in the investigation process;",
"Ensuring the protection of the judiciary, victims and witnesses.",
"The measures and procedures set out in paragraph 296 will guarantee the implementation of due process and the right to a fair trial, ensure that the Court's judicial system is truly closed and transitional, and remove any existing or potential obstacles impeding the exercise of the right of the people of Darfur to pursue proceedings, justice and remedies.",
"The Government of the Sudan is committed to providing technical assistance and support to facilitate coordination between the Tribunal and the Special Committee relating to pension or compensation and to promote other forms of reconciliation with a view to creating the necessary cohesion, thereby enhancing their capacity to avoid inconsistencies and duplication.",
"The role of civil society in Darfur in promoting justice, peace and reconciliation freely and independently will be strengthened. Civil society can seek support from national, regional and international organizations in accordance with existing procedures.",
"The parties called on the international community to provide technical assistance and adequate resources to support the effective functioning of the judicial system.",
"Article 57: Compensation/JABR AL DAR",
"Based on international experience and best practices in similar situations, all victims of conflicts, including deaths, bodily harm, mental injury and emotional suffering, such as internally displaced persons and refugees, are entitled to timely and adequate reparation/Jabr Al Darar.",
"Compensation/Jabr Al Darar on housing, land and property will be addressed in accordance with the procedure set out in article 53.",
"Compensation/Jabr Al Darar will be addressed in accordance with the procedure set out in article 58.",
"Where possible, compensation/Jabr al Darar will be paid in instalments. Otherwise, the full period of implementation of compensation/Jabr al Darar will be paid in two instalments if the damage is to be assessed.",
"Article 58: Truth and Reconciliation",
"General",
"The Government of the Sudan will designate the National Day for Peace and Non-Violence in Darfur.",
"To promote reconciliation, the parties agreed to resolve the following causes of conflict:",
"Environmental degradation and disputes arising from the acquisition of natural resources;",
"tensions among local communities;",
"Vulnerability for local people management;",
"Conflicts arising from land, Hamwakeer and nomadic routes;",
"Arms proliferation;",
"Regional characteristics of conflicts.",
"The parties agree that the reconciliation process will be aimed at:",
"Condemning acts of violence and exclusion and achieving social peace through dialogue;",
"The adoption of justice, reconciliation and tolerance as the principle of peace;",
"Rebuilding and strengthening the relations between the various components of the society in Darfur, as well as increasing the level of coexistence, cooperation and social solidarity in Darfur;",
"Elimination of the polarization of tribes and races;",
"A culture of peace that is consistent with the values, traditions and cultural heritage of the people of Darfur, using the means of tribal chiefs, religious scholars, civil society organizations, the media and educational institutions;",
"Formal and informal apologies for victims of conflict, individually and collectively;",
"Enhance local human management systems;",
"Encourages respect for nomadic routes in order to stabilize the relations between pastorals and farmers and eliminate tensions;",
"The problem of illegal immigration and its possession of villages, towns, farms and fruits in Darfur is addressed.",
"Without prejudice to the privileges and mandates of the Truth and Reconciliation Commission established under this article, the following mechanisms will be used:",
"Ajaweed Council;",
"Local ownership.",
"Governments, the Darfur Regional Authority and the state governments will support these mechanisms in order to complement the Truth and Reconciliation Commission.",
"The role of the Ajaweed Council will be strengthened and a reconciliation conference will be organized to restore confidence while establishing good relations among Darfur ethnic groups.",
"Truth, Justice and Reconciliation Commission",
"The Truth, Justice and Reconciliation Commission will be established without prejudice to the jurisdiction of the Sudan Court, including the Special Court for Darfur. The Commission will consist of the following two committees:",
"The Justice Committee, and:",
"Truth and Reconciliation Commission.",
"Justice Commission",
"The Justice Commission will be responsible for receiving, inspecting and evaluating the claims and decides to compensate/Jabr al Darar nature and to pay the appropriate amount to the victim. A claim will be submitted to the Justice Committee for 10 years, beginning with the start date of the Commission's designation of the claim for individual claims.",
"Members of the Committee will be nominated by the parties and appointed by the President of the Darfur Regional Authority.",
"The Justice Commission will adopt its rules of procedure and practices. These procedures will be concise and understandable.",
"The Technical and Administrative Commission will assist the Justice Commission in determining the nature and extent of individual damage and loss. These committees will be composed of, inter alia, professional doctors, lawyers, local people management, the elderly, victims' representatives and other relevant experts. These committees will work closely with local governments. The Government of the Sudan is committed to affording the costs required to carry out its work.",
"Truth and Reconciliation Commission",
"The Truth and Reconciliation Commission will assess the root causes of the conflict in Darfur, investigate acts of violence, crimes and human rights violations, including violations of economic, social and cultural rights in February 2003, address the issue of impunity and foster a culture of confidence, peace and reconciliation.",
"The Commission will be composed of eminent persons reflecting the national and cultural diversity of the Sudan and give due respect to gender balance. The Committee will include members nominated by the parties.",
"The Commission will adopt its rules of procedure and practices. These procedures will be concise and understandable.",
"The Commission will provide an opportunity to enable victims and perpetrators of human rights violations and other citizens' communities to experience this, to build a common understanding of the past, to genuinely eliminate differences among communities and to promote reconciliation and to prevent future recidivism.",
"The Commission will propose measures to achieve a comprehensive and lasting peace in Darfur and will submit its annual findings and recommendations to the President of the Republic of the Sudan and the Sudan Congress. It will submit its final report to the President and the National Assembly of the Sudan at the end of its mandate.",
"In providing the necessary financial and technical assistance for the work of the Truth and Reconciliation Commission, the parties agreed to request assistance to the international community.",
"Article 59: Special Court for Darfur",
"Since February 2003, the parties agreed to call upon the Sudanese judiciary to establish the Special Court for Darfur, which would have jurisdiction over serious human rights violations and gross violations of international law in Darfur.",
"The Government of the Sudan will appoint the Prosecutor of the Special Court and will play a role in bringing the perpetrators to justice. The Prosecutor may submit the case to the National Court.",
"The Special Court will apply the Sudanese Criminal Code, the International Criminal Code and international humanitarian and human rights law.",
"The Government of the Sudan will create new favourable conditions for the Special Court to play a role in investigating and conducting trials and will provide the Tribunal with the necessary resources to that end.",
"In consultation with the Government of the Sudan, a group of experts from the United Nations and the AU will respect the Court's proceedings in accordance with the rules of justice and equity established by international law and ensure appropriate behaviour.",
"The parties will take all necessary measures to ensure the protection and assistance of victims and witnesses and to ensure their full access and participation in the justice process. The parties will avoid any act that may not encourage the freedom of witnesses to testify without fear.",
"With the support of the international community, the Government of the Sudan will establish a fund for legal assistance and other related activities of the Special Court during investigations and trials.",
"Article 60: Amnesty",
"In order to create an environment conducive to peace and reconciliation, the Government of the Sudan, in accordance with the Constitution and laws of the Sudan, has issued amnesty orders to civil and military members, prisoners of war and those sentenced by the parties and, on that basis, to release prisoners of war.",
"The parties agreed that war crimes, crimes against humanity, genocide, sexual violence and serious violations of human rights and international law should not be included in the scope of the application of the amnesty order.",
"Article 61: Public service",
"In order to curb impunity, build confidence, strengthen the rule of law in Darfur and create favourable conditions for confidence and reconciliation, the Government of the Sudan will establish an independent, impartial, resource-rich and effective system to recognize and take appropriate action to combat those who have confirmed violations of human rights and international humanitarian law in the field of public services.",
"Chapter VI: Permanent ceasefire and final security arrangements",
"Article 62: General principles of a permanent ceasefire and a final security arrangement",
"“Permanent ceasefire and final security arrangements” should be based on the following general principles:",
"The conflict in Darfur cannot be resolved by force, and only through an inclusive political means can receive a lasting solution to the conflict;",
"Civilians in Darfur enjoy the rights protected, including their special status in international law, with full consideration, while recognizing that they provide special protection measures to vulnerable groups, such as women and children, on the basis of serious harm during the conflict;",
"As stated in United Nations Security Council resolutions 1769 (2007) and 1935 (2010) (Council resolutions) and the communiqué of the 79th African Union Peace and Security Commission meetings, there is a need to strengthen the hybrid operations of the United Nations and the African Union in Darfur, including by helping them fulfil their mandate to protect civilians;",
"Violence against civilians, especially vulnerable groups such as women and children, must be prevented and any acts aimed at violating human rights and international humanitarian law must be prevented;",
"The humanitarian crisis facing the people of Darfur must be addressed, including ensuring that humanitarian assistance is not subject to any limitations in all areas of Darfur;",
"The achievement and maintenance of permanent peace in Darfur through the conclusion of a comprehensive agreement and final security arrangements aimed at addressing the root causes of armed conflict and the various dimensions.",
"Ensuring free movement of persons, goods and services in Darfur.",
"There must be a strong, inclusive, professional Sudanese armed forces and other security institutions that must be able to defend and maintain national sovereignty and territorial integrity.",
"Permanent ceasefire",
"Article 63: Activities prohibited and positive commitments",
"Pursuant to this agreement, the parties agree to an immediate ceasefire and endeavour to prevent the occurrence of the following acts:",
"Hostilities, acts of violence or intimidation against civilians and internally displaced persons in Darfur;",
"Activities that endanger the provisions and spirit of this Agreement;",
"Any offence, provocation or reprisal against another party to the Darfur Peace Agreement, signed in Abuja, Nigeria, on 5 May 2006, or any other party to the Movement, or the signatories to the Darfur Peace Agreement, signed thereafter, including hostile propaganda and the illegal mobilization and deployment of the military;",
"Recruitment or other military activities within or adjacent areas of internally displaced persons or refugee camps;",
"Any act of intimidation, hostility, violence or attack against UNAMID staff, facilities or equipment, domestic or international humanitarian agencies, including United Nations agencies, international organizations and non-governmental organizations, and members of the media;",
"Any act that may impede or delay humanitarian assistance or protection of civilians and restrict the free movement of persons;",
"Restrictions on the safety, liberty and accessibility of humanitarian agencies;",
"Use or buried mines;",
"Any form of gender-based violence and sexual exploitation;",
"Armed forces and armed groups engaged in hostilities do not fulfil the obligations of the Republic of the Sudan under the Optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict and its obligations under the Protocol II of the Geneva Conventions of 1949 (1977) to recruit and use boys and girls below the age of 18 years;",
"Other activities that may endanger or endanger the full and permanent cessation of hostilities commitments of the parties, such as those that have been identified as a violation of the war agreement pursuant to this Agreement; hostile propaganda against other parties to the Darfur Peace Agreement or other armed groups under the Darfur Peace Agreement;",
"The purpose of any party is to defy its equipment, personnel or activities into the United Nations Hybrid Operation in Darfur, United Nations agencies, the African Union, the International Red Cross/ Red Crescent Commission (ICRC) or any other similar organization's equipment, personnel or activities.",
"Further commitment by the parties to ensure:",
"Freedom of movement of persons and goods;",
"Humanitarian assistance can be effectively protected by groups, humanitarian workers and their actions in controlled areas that are not hindered by humanitarian assistance;",
"To cooperate fully with UNAMID in order to help it achieve its established mandate objectives;",
"The provisions of this agreement are communicated to all branches of their armed forces and their armed groups, including women, through the chain of command of the parties, while ensuring that all such armed forces and groups comply with the provisions of this Agreement;",
"ACHIEVEMENTS, BEST PRACTICES, CHALLENGES AND PRACTICES, INCLUDING THE RIGHT TO DEVELOPMENT",
"Ceasefire actions are not threatened by any external militants present in the Sudan;",
"Internally displaced persons and other civilians in Darfur shall not be subject to harassment or arbitrary detention by governmental security institutions and movements; such acts may be considered as violations of the ceasefire agreement;",
"All children recruited by armed forces or armed groups, including boys and girls, should be released unconditionally through the development of the Action Plan;",
"All children, including boys and girls, who have been accused of having committed crimes in violation of international law following the illegal recruitment of armed forces or armed groups, should be first identified as victims of violations of international law and should not be found to be so-called perpetrators.",
"Article 64: Ceasefire Commission",
"The ceasefire commission and the Joint Operations Committee must be established as a mechanism for ceasefire monitoring and verification.",
"The Ceasefire Commission shall be composed of:",
"Headquarters's ceasefire commission in El Fasher;",
"Headquarters's secretariat of the Ceasefire Commission in El Fasher;",
"ACHIEVEMENTS",
"Online Working Group on the Ceasefire Group.",
"The Ceasefire Commission is fully responsible for monitoring and implementation of a permanent ceasefire and should strive to make decisions based on consensus. If there is no agreement, the Ceasefire Commission shall refer the issue to the Joint Committee's arbitral awards. The parties should be responsible for the implementation of the Ceasefire Agreement and must adopt the recommendations of the Joint Committee.",
"The parties must pay attention to the important role of women in building peace and must ensure full and effective representation of women at all levels of the ceasefire mechanism.",
"The parties must ensure that the United Nations Hybrid Operation in Darfur is able to act freely in all parts of Darfur at any time during its mandate.",
"The parties committed themselves to fully active participation in the activities of the Ceasefire Commission, the Panel's Ceasefire Commission and the Working Group on the Ceasefire Group site and to support their work.",
"Functions of the Ceasefire Commission",
"The functions of the Ceasefire Commission are as follows:",
"Oversight of compliance by parties with their obligations under the Permanent Ceasefire Agreement and actions by their armed forces;",
"Coordination of planning, monitoring and verification of the permanent ceasefire agreement;",
"Identification of operational routes for the armed forces of the parties to reduce the risk of accidents; approval of requests for action by the armed forces (at least 72 hours in advance);",
"Assistance in mine action;",
"(a) To develop, through the Chairman of the Ceasefire Commission, a general blueprint aimed at showing the deployment of all parties, as well as the “non-military zone” around camps for internally displaced persons and host communities;",
"To receive, verify, analyse and resolve complaints relating to possible violations of the Ceasefire Agreement;",
"Reports of default when a party takes any prohibited acts under the permanent ceasefire agreement;",
"Facilitating the dissemination of information on a permanent ceasefire;",
"To serve as channels for communication between the parties;",
"Assistance to ex-combatants for disarmament, demobilization and reintegration, with the consent of the parties.",
"Composition of the Ceasefire Commission",
"The Ceasefire Commission shall consist of the following:",
"Chairman of the Force Commander of UNAMID",
"Three members from the parties",
"One representative from the State of Qatar",
"The Chairman of the Ceasefire Commission shall elect representatives from other UNAMID departments/offices (i.e. police, “HLO”, “PAD” and the Legal Office) as members of the Ceasefire Commission without voting.",
"The number of observers and their composition may be decided later. Observers are an important part of achieving a permanent ceasefire, since they will help the Ceasefire Commission and the parties to work and make valuable observations. They may include but not be limited to representatives from international/regional organizations or individual States. Observers may attend public meetings of the Ceasefire Commission and the Panel Ceasefire Commission. If the parties are of the view that appropriate and agreed, observers may be seated in closed meetings.",
"Chairman of the Ceasefire Commission",
"The UNAMID Force Commander shall serve as Chairman of the Ceasefire Commission and, if the UNAMID Force Commander is absent, the Deputy Commander shall perform the duties of the Chairman of the Ceasefire Commission.",
"responsibilities of the Chairman of the Ceasefire Commission",
"The functions of the Chair shall include:",
"Presidential meetings of the Ceasefire Commission;",
"Identification of the activities of the Ceasefire Commission;",
"Ensure effective implementation of the decisions and recommendations of the Ceasefire Commission and the Joint Committee;",
"To order independent investigations or supplementary investigations at the level of the Ceasefire Commission at any appropriate time;",
"Ensure that reports are submitted to the Joint Committee on a weekly basis;",
"Adequate measures to ensure that members of the Commission for the Promotion of a Ceasefire respect local legal regulations, prevent any activity or conduct that is incompatible with the impartiality and international character of their duties.",
"Meetings",
"The Ceasefire Committee shall be convened by the President or at the request of the parties. The Ceasefire Committee shall be held at the headquarters of UNAMID in El Fasher or at any other location determined by the Chairman. The Ceasefire Committee shall be guided by the following principles:",
"The agenda of the Conference must be adopted at the beginning of the Conference;",
"The deliberations and resolutions of the Ceasefire Commission must be based on consensus, but if the parties are unable to reach agreement at the Ceasefire Commission meeting, the President shall submit the matter to the Joint Committee for its resolution. All parties must comply with the decisions of the Joint Committee;",
"Each meeting shall be subject to a summary of the proceedings of the Conference signed by the Secretary of the Conference, which shall be subject to confirmation by the President at the next meeting as a authentic record of the Conference;",
"Relevant subcommittees may be established to carry out specific tasks, if necessary, and the Subcommittee must submit relevant reports to the Ceasefire Commission, which may or reject the reports of the Subcommittee;",
"Observers may comment at the meeting at the request of the President.",
"Code of Conduct",
"The members and observers of the Ceasefire Commission must always adhere strictly to the relevant code of conduct, as follows:",
"Dialogue and appropriate gift language should be used as guiding principles for the period under review;",
"Any questions to be raised by members shall be communicated to the Chairman;",
"No member shall be physically attacked or subjected to hatred;",
"All members should be held accountable;",
"All members of the Ceasefire Commission shall not disclose any information or statement to the press without the prior authorization of the President;",
"Confidentiality with regard to the deliberations of the Ceasefire Commission; the deliberations of the Ceasefire Commission can only be shared on the basis of “necessity to know”;",
"All acts that may defeat the reputation of any party should be prevented;",
"The interests of the people of Darfur and other local civilians, including women and children, remain the first;",
"Understanding the mission of the Ceasefire Commission and acting within its mandate.",
"The President shall exercise control over the secretariat of the Ceasefire Commission and the sub-group Ceasefire Commission, as defined in this agreement. The Commander and the Chief of Staff of the War Zone and the secretariat of the Ceasefire Commission shall be responsible for the management of the resources of the Ceasefire Commission at their disposal.",
"The Commander of the theatre shall exercise control of the Panel's Ceasefire Commission and exercise his authority over the management of the ceasefire team site working group on the ground and shall be accountable to the Chairman of the Ceasefire Commission. The Panel's report on violations should be transmitted to the Chairman of the Ceasefire Commission secretariat.",
"Ceasefire Commission of the war zone group",
"War zones should be established as a ceasefire commission (including women) aimed at ensuring effective investigation and reporting cycles. They should follow the establishment of a secretariat headed by the Subcommittee of the Ceasefire Commission. It should be established as the main source for reporting incidents related to a permanent ceasefire and investigating violations of the Permanent Ceasefire Agreement.",
"Functions of the Panel's Ceasefire Commission",
"The main functions of the Ceasefire Commission of the Panel are as follows:",
"To monitor the fulfilment by the parties of their obligations relating to a permanent ceasefire in the area of war, within the scope of responsibility;",
"Consideration, verification, investigation and reporting of differences among the parties and so-called violations, in accordance with a permanent ceasefire;",
"Implementation of the policy and directives of the Ceasefire Commission;",
"To report regularly to the Ceasefire Commission headquarters on outstanding complaints and provide a comprehensive explanation of the issues of disagreement;",
"Liability for default under the Permanent Ceasefire Agreement;",
"Allocation of mandate/working responsibilities to the On-site Working Group of the Ceasefire Group.",
"The issue will be transmitted to the Ceasefire Commission when it is unable to reach agreement on specific issues.",
"Composition of the Ceasefire Commission of the belligerent groups",
"The ceasefire committee of the war zone group shall consist of the following members:",
"Commander-in-Chief of the war zone — Chairman",
"Two representatives from the parties - members",
"Secretary",
"Members from relevant UNAMID departments or branches have no voting rights.",
"Report of the Secretary-General",
"The Ceasefire Commission of the belligerent groups shall transmit to the secretariat of the Ceasefire Commission reports on violations expressly reaffirmed in the permanent ceasefire agreement or any other entry into force agreement before 16 a day. The report should contain at least the following:",
"The nature or type of breach;",
"Time and place of default;",
"The parties concerned;",
"Would the breach be confirmed;",
"Action by UNAMID;",
"Any other relevant facts/information.",
"Online Working Group on the Ceasefire Group",
"The Ceasefire Group Online Working Group should ensure that the Panel's Ceasefire Commission is informed on the ground in a timely manner and serves as the first mediator of conflict within its mandate. Based on the full recognition of the importance of women in peace and security processes, all ceasefire team site working groups must be female members.",
"The On-site Working Group of the Ceasefire Group is responsible for monitoring, within its area of responsibility, the parties' commitment to the ceasefire, as highlighted in the Permanent Ceasefire Agreement. The ceasefire team site working group could do so, including through surveillance, patrols, visits, investigations, verification and reporting, under the guidance and supervision of the Panel's Ceasefire Commission.",
"Composition of the Working Group on the Ceasefire Group on the ground",
"The Working Group on the Field of the Sub-offices Contact Group consists of the following:",
"Leadership of the military observer team — President",
"Two representatives from the parties - members",
"Article 65: Joint Committee",
"The Joint Special Representative of UNAMID should serve as Chairman of the Joint Committee; if the Joint Special Representative is absent, the Deputy Representative shall perform the duties of the Chairman of the Joint Committee. The composition of the Joint Committee is as follows:",
"Joint Special Representative for UNAMID - Chairman",
"State of Qatar - members",
"Three representatives from the parties - members",
"League of Arab States (A League of Arab States) - members",
"European Union - Members",
"Political affairs in UNAMID — Secretary",
"The following States shall have observer status and may participate in the activities of the Joint Committee at the request of the Chairman:",
"Canada;",
"China;",
"Norway.",
"Terms of reference",
"The Joint Commission was established to resolve disputes between the parties submitted by the Ceasefire Commission and to ensure that the provisions of the Final Safety Arrangements were effectively implemented.",
"The Joint Committee shall perform the following functions:",
"Follow-up on the implementation of the “permanent ceasefire and final security arrangements” established in this agreement;",
"When necessary, it is responsible for the interpretation of the provisions of the Permanent Ceasefire and the Final Safety Arrangement.",
"Arbitration of relevant violations and defaults, acceptance of the ceasefire commission cannot be properly addressed, complaints between the parties and consequential decisions. Every effort is made to fully investigate and address the issue of litigation properly on the basis of a basic agreement;",
"If there is a significant default, the Joint Commission shall inform the African Union and the United Nations in a timely manner;",
"Pursuant to Security Council resolution 1325 (2000), the Joint Committee should ensure that all forms of violence, which constitutes a serious impact on women and children, are heard and corrected in a gender-sensitive and competent manner;",
"Expresses concern at all movements that may impede or endanger the implementation of the Ceasefire Agreement and the Final Safety Arrangement, and to take measures to prevent the recurrence of such incidents;",
"Recommendations for appropriate action against persons and institutions responsible for violations of the ceasefire agreement;",
"The Joint Committee may consider any other function as appropriate under the spirit of this agreement.",
"Meetings",
"The Joint Committee shall hold a joint meeting at the headquarters of Hybrid Operation in Darfur, in particular, or in any other country agreed by the Joint Committee.",
"The Joint Committee shall meet on a monthly basis and, after the end of each meeting, shall issue the report of the meeting. The agenda and documentation of the Conference shall be communicated to the members of the Joint Committee at least seven days before each meeting. The Joint Committee shall, in its view, convene an emergency meeting and, if necessary, may not implement the provisions of the present prior notification. The parties may, in their view, request the Joint Committee to convene an emergency meeting.",
"The parties should comply with and implement the Joint Recommendations relating to measures against violations of the Ceasefire Agreement.",
"The parties shall circulate the report of the Joint Committee to their members and voters.",
"The Joint Committee shall issue regular public statements on progress made in the implementation of the relevant provisions of this agreement.",
"The Joint Committee shall decide on the basis of consensus. If there is no agreement between the parties, the Chairman of the Joint Committee, in consultation with “Observers”, shall make the most favourable decision to guarantee the ceasefire and shall be binding on the parties.",
"Final security arrangements",
"Article 66: disengagement, mobilization and limited arms control",
"The parties recognize that a comprehensive ceasefire requires appropriate military separation, redeployment of troops and strengthening arms control.",
"The ceasefire must be carried out in a gradual and mutually beneficial manner and ensure security. The ceasefire must be agreed within the Ceasefire Commission and verified by UNAMID.",
"The Ceasefire Commission shall be responsible for planning, coordination, management and oversight of the ceasefire process. The Ceasefire Commission should also monitor the implementation of relevant decisions and agreements.",
"Ceasefire action shall be implemented in accordance with the following order:",
"Preparations for disengagement and mobilization, including verification;",
"First phase: disengagement;",
"Phase II: redeployment of troops;",
"Phase III: arms control.",
"The parties shall communicate, in a timely manner, plans and regulations relating to these phases to the armed forces' commanders, while ensuring their strict compliance with these regulations.",
"The parties shall notify the Chairman of the Ceasefire Commission in a timely manner of the exact location of the respective troops, and these positions should be clearly stated in the map annexed to the present Agreement, and UNAMID will keep these maps confidentially. UNAMID should verify these locations and mark the main map.",
"The parties should be bound by the main map established by UNAMID in the first instance. Since then, the Chairman of the Ceasefire Commission may revise the main map on the basis of consultations with the parties.",
"The Chairman of the Ceasefire Commission shall provide the parties with the maps of the “military camps”, “non-military zones”, “non-military humanitarian supply routes”, buffer zones” and “removal areas”.",
"The parties should be bound by important regulations relating to the movement of troops, arms, supplies and supplies, and the movement of the relevant forces, arms, supplies and supplies must be in compliance with the following provisions:",
"For the movement of armed soldiers in the first phase (disposition) and in the second phase (redeployment), the parties concerned must send a notice to the Ceasefire Commission for 72 hours in advance and should be approved by the Ceasefire Commission;",
"With regard to the movement of categories V and VII (arms and equipment) between or within the same area of phase I (dislocation) and phase II (redeployment), the parties concerned must send a notice to the Ceasefire Commission for 72 hours in advance and should be approved by the Ceasefire Commission;",
"Transport between these phases of general supply (e.g., food and water), second category (e.g. equipment and medical supplies), three categories (fuels, oils and lubricants), fourth (construction materials) will be required to inform the Ceasefire Commission only 72 hours in advance.",
"The build-up and deployment of the Government of the Sudan army and the use of transport corridors, including “non-military zones”, buffer zones, are not subject to any limitations. However, the Government of the Sudan should notify the relevant parties in a timely manner if the force deployment is required to enter the area controlled by a single “mod” force.",
"The assembly and deployment of the “moval movement” army, which is aimed at preventing any hostile activity that violates this agreement, and the use of transport corridors, shall be approved by the Ceasefire Commission and shall be communicated to UNAMID in a timely manner and subject to the supervision of UNAMID.",
"Government forces may enter into any “non-military zone” under the control of the “moval movement” army without the written permission of the Ceasefire Commission, buffer zone, mediation or assembly areas.",
"Any violation of the rules relating to the disengagement, mobilization and arms control procedures described in this chapter is a ceasefire agreement.",
"Article 67: Preparation of decisions and communications for disengagement and mobilization",
"In preparing for the disengagement and mobilization, the Ceasefire Commission shall, to the extent possible, make decisions and resolve disputes based on consensus.",
"If the parties cannot agree on the settlement of the dispute, the President of the Ceasefire Commission shall transmit it to the final decision of the Joint Committee. All parties should be subject to the decisions of the Joint Committee.",
"The Chairman of the Ceasefire Commission shall ensure that all relevant decisions and agreements aimed at using a precision GPS coordinates clearly delineating the “non-military zone”, “buoys”, “rehabiting zones” line, are implemented in the relevant maps. The President should ensure that the delimitation of maps is fully consistent.",
"The President of the Ceasefire Commission shall, in coordination with the Government of the Sudan, establish a safe and efficient communication mechanism between the Ceasefire Commission and the parties.",
"Verification",
"In order to fully implement the “last security arrangements”, UNAMID should verify the information submitted by the parties (including the precise location and equipment of the parties, the quantity and type of weapons, the strength of their respective military forces, including the presence of children in their ranks) and other information that UNAMID or the Ceasefire Commission may require. These information is strictly confidential at all stages of ceasefire preparedness, disengagement, redeployment of troops and arms control. Prior to the start of the social reintegration and demobilization phase, these information is confined to the knowledge of the Chairman of the Ceasefire Commission.",
"The verification of the Forces of the Movement and its controlled areas shall be limited to the level of the general presence of 150 (1050) soldiers and their units or units with equal strength. The continuous control of these units/subsidiaries is a prerequisite for the movement's control area.",
"Plans",
"First phase: disengagement",
"The process of disengagement should include the following steps:",
"The activities of the Movement and the parties should be limited to the regions where the “owner map” is clearly divided;",
"The President of the Ceasefire Commission must establish a “non-military zone” around the camps for internally displaced persons and the host communities, in full consultation with the parties;",
"If necessary, the Chairman of the Ceasefire Commission shall establish a buffer zone in areas between the parties' military and in areas experiencing intense conflicts, in full consultation with the parties;",
"All parties should ensure that armed groups and militias affected or controlled committed a ceasefire and adhere to the ceasefire agreement;",
"No party shall carry out any military activity or establish any armed group or militia organization.",
"The presence of foreign armed combatants in Darfur",
"The presence of foreign armed combatants in Darfur is a serious challenge to peace and security, and the presence of these armed combatants will also pose a serious threat to this agreement. In accordance with paragraph 385, the Government of the Sudan should take appropriate measures to control these armed personnel, disarm them, maintain their neutrality and repatriate them.",
"The parties should be concerned about ongoing actions aimed at working with neighbouring countries to address the presence of foreign armed combatants in Darfur and agree to support this initiative.",
"Phase II: Mobilization",
"The mobilization process involves the following activities:",
"The President of the Ceasefire Commission shall establish buffer zones and “redeployment zones” based on full consultation with the parties.",
"The parties should redeploy their troops and their weapons equipment so that they can enter their respective “redeployment zones” as soon as possible, far from the buffer zone.",
"UNAMID should monitor the buffer zone and strengthen its patrols in the buffer zone.",
"Recovery of basic services for civilians.",
"Armed organized by disarmament militias",
"As a prerequisite for the implementation of comprehensive armed control measures, the disarmament and demobilization of all armed militias must be lifted to ensure security throughout Darfur. The Government of the Sudan should be responsible for disarming militias. In this regard, the Government of the Sudan should submit to the Ceasefire Commission a comprehensive plan aimed at disarming and demobilized these militias, at the same time destroying illegal armed personnel, bandits and local and field criminal groups operating in Darfur. The plan should contain a range of measures aimed at completing the social reintegration phase, which should also include a range of measures aimed at helping members of these disbanded armed groups to demobilization and socio-economic reintegration and to separate women and men from the assembly area.",
"The plan must be presented before the start of the first phase to the Chairman of the Ceasefire Commission to review its approval and implement in accordance with the schedule set out in the plan.",
"The Ceasefire Commission must monitor and verify, in accordance with the agreed plan, the disarmament and demobilization of militias and the actions aimed at destroying illegal armed personnel, bandits and other criminal groups.",
"Phase III: Limited arms control",
"Prior to the deployment of the parties' troops to their respective “redeployment zones” and the assembly of the Forces nouvelles, the following measures must be taken to strengthen arms control:",
"The Movement must store its distance, man-facilitative weapons, artillery and related arms in the security zone established by the Chairman of the Ceasefire Commission. UNAMID should verify at the operational unit level. “The Movement” combatants shall be kept in good faith before being transferred to the Sudanese Armed Forces and the Sudanese Police Force (the Sudan Police Force);",
"UNAMID must prepare, after consultations with the parties, a site for the temporary storage of remote, man-facilitative weapons, artillery and related arms, while increasing oversight of arms and arms warehouses, which must be inspected by UNAMID;",
"The Chairman of the Ceasefire Commission must oversee the arms control process, identify requirements and procedures for the custody and inspection of arms, including the accurate name of stockpiled weapons, artillery and arms.",
"Joint coordination mechanisms",
"In order to build confidence and ensure peace and security in Darfur, the parties must establish a “joint coordination mechanism” after verification of the Forces nouvelles army. Prior to the start of the reintegration process, the Joint Coordination Mechanism must always be effective and should operate under strict guidance from the Ceasefire Commission.",
"The Joint Coordination Mechanism shall perform the following functions:",
"Coordination of a range of actions and measures aimed at eliminating potential threats to the implementation of this agreement;",
"Exchange of information and other relevant information;",
"Oversight of a range of measures aimed at organizing the “mobilization” army, ensuring the security of the zone and assembly areas;",
"In cooperation with the Joint Logistics Coordination Committee, the distribution of “non-military logistics security supplies” agreed upon by the parties;",
"Enhanced efforts to promote the provisions of the Agreement and the order of its implementation phase to the armed forces and their command;",
"Any other task to be agreed by the parties.",
"Article 68: General commitment to non-military zones and buffer zones",
"All parties reaffirmed their commitment to:",
"Respect for the rights of civilians, including internally displaced persons and refugees;",
"Prevention of a series of activities that may undermine the safety and well-being of civilians and internally displaced persons;",
"Prevention of a series of activities that may undermine or endanger humanitarian operations in Darfur;",
"Creating an environment conducive to the safety, resources and the sustainable return of internally displaced persons to their places of origin;",
"Special protection is provided to women, persons with disabilities, children (especially those associated with armed forces and armed groups) and other persons with special needs.",
"Non-military zones",
"In the absence of a violation of paragraph 385, the “non-military zone” shall be a region consistent with the following provisions:",
"No party or any other armed group or militias should be present in the area unless the Ceasefire Commission has been granted and has been escorted by UNAMID;",
"No person in this area shall be in possession of weapons unless the Ceasefire Commission has obtained permission and has been escorted by UNAMID;",
"The area of “non-military zones” should not include any urban area, areas close to the airport or urban security planning area fully responsible by the Government of the Sudan;",
"The President of the Ceasefire Commission shall determine the boundaries of the “non-military zone” in full consultation with the parties;",
"The President of the Ceasefire Commission must, after full consultation with the members of the Ceasefire Commission, decide whether there is a need to redeploy troops associated with any party;",
"The President of the Ceasefire Commission must decide, after full consultation with the Ceasefire Commission, on measures related to any redeployment of requests, while deciding on a timetable relevant to this redeployment;",
"The Ceasefire Commission shall consider any violation of the ceasefire agreement in relation to “non-military zones”.",
"UNAMID should assume the following responsibilities related to the camps for internally displaced persons and the host community to the “non-military zone” surrounding the humanitarian supply line:",
"The Hybrid Operation in Darfur in the controlled area of the Government of the Sudan, along with the Sudanese police force and the Movement's liaison officer in the area of control verified and endorsed by the Ceasefire Commission, must develop a workplan on patrolling and surveillance of the “non-military zone” around the camps of internally displaced persons and must be monitored;",
"The “non-military zone” in the area under the control of the Government of the Sudan shall be conducted by UNAMID with military units under the Sudanese Police Force. Police functions are carried out under the supervision of UNAMID by the Sudanese police force;",
"The “non-military zone” in the area controlled by the Ceasefire Commission, which is verified and endorsed by the Ceasefire Commission, shall be inspected by military units composed of UNAMID and the liaison officers of the Movement.",
"buffer zone",
"The Ceasefire Commission must develop a plan containing the rules and procedures for patrolling and surveillance of the buffer zone and be responsible for its implementation.",
"Article 69: Non-military logistics security of the Movement",
"The Movement may require non-military logistics security and the Government of the Sudan should provide the above-mentioned logistics security services and may request assistance from international partners in this regard.",
"The Joint Logistics Guarantee Coordination Committee should be established by UNAMID and composed of representatives of all parties, UNAMID and donor agencies that could provide the above-mentioned assistance. The above-mentioned form of security services should be determined by the Joint Logistics Guarantee Coordination Committee.",
"The terms of reference of the Joint Logistics Coordination Committee are as follows:",
"Collection, verification by the Joint Logistics Coordination Committee, of information relevant to transport needs related to food, drinking water, housing, clothing, medical supplies/therapy, as determined by the Joint Logistics Coordination Committee;",
"To receive and preserve logistical safeguards from international donor agencies;",
"Acquisition of appropriate quantity and quality logistics safeguards;",
"Provision of logistics security supplies to the units of the Movement through the distribution points or distribution centres located in the area of mediation and assembly;",
"A series of rules and procedures aimed at managing the supply of non-military logistics security supplies to the Forces nouvelles forces are identified.",
"For the above-mentioned logistical security items to be supplied, the following conditions must be met:",
"The number and location of combatants (including child soldiers, if any) at all levels must be communicated to the Force Commander of UNAMID and to verify these information in accordance with paragraphs 393 and 394 above;",
"There is a need to clarify and agree on access routes for a number of combatants.",
"Article 70: Ensuring the safety of camps for internally displaced persons and humanitarian operations in Darfur",
"The Government of the Sudan should recruit male and female volunteers from local communities, internally displaced persons and returning refugees into the community police force after full consultation with the Darfur Regional Authority, and participate in the maintenance of the social security of internally displaced persons camps and the voluntary return of refugee villages. UNAMID should help train community police.",
"The parties agreed to jointly contain all possible humanitarian action in Darfur and reiterate their commitment to creating adequate security conditions for the unimpeded transport of humanitarian aid supplies, ensuring the safety of camps for internally displaced persons and creating an environment conducive to the safety of internally displaced persons and refugees, voluntary return to their places of origin.",
"The forces of the parties should prevent any activity aimed at undermining the safety and welfare of internally displaced persons.",
"Article 71: Civilian arms control",
"Because of the proliferation of small arms in the hands of civilians in Darfur, the parties should, with the assistance of “UNDP” and UNAMID, develop a range of strategies and plans aimed at implementing the voluntary control of civilian weapons.",
"The Government of the Sudan should mobilize the necessary funds and resources to implement civilian arms control projects. The Government of the Sudan may seek assistance from the relevant international organizations.",
"Article 72: Disarmament, demobilization and reintegration and the integration of ex-combatants into Sudanese armed forces and police forces",
"General provisions",
"The disarmament, demobilization and reintegration and related integration processes should be conducted in the designated assembly area after the end of phase III, and only those verified as members of the Forces under the Movement may participate. UNAMID must develop a plan relevant to the assembly area after full consultation with the Movement, including:",
"Scope, quantity and place of the assembly area;",
"ideal features of the assembly area established on the basis of full consideration of the special needs of demobilized women combatants;",
"Facilitating the supply of logistics safeguards;",
"UNAMID shall submit the plan to the Ceasefire Commission for approval. The Ceasefire Commission shall designate the assembly area in accordance with the plan.",
"The Movement shall be responsible for the management, discipline and internal security of ex-combatants in the assembly area.",
"Telephone artillery, man-facilitative weapons and related arms are not allowed to enter the assembly area.",
"The necessary logistical safeguards must be made available for the building of the assembly area and for the disarmament, demobilization and reintegration process.",
"After the completion of the verification and registration process and the construction of the assembly area, verified and registered “moval” combatants can only bring small arms into the assembly area. UNAMID should help and monitor the process.",
"The Government of the Sudan should provide opportunities for socio-economic reintegration for former combatants who wish to resume their civilian lives or do not meet eligibility criteria for entry into the Sudanese Armed Forces or the Sudanese Police Force.",
"The need to ensure fairness, equity and openness in determining the ex-combatants who are beneficiaries.",
"The former combatants, regardless of their previous relationship with the Movement, should be treated fairly. They should also receive voluntary training and information services for reintegration. The reintegration process must be based on the community, both in terms of enabling returns and in the interests of local communities.",
"The design of the reintegration plan should ensure its long-term sustainability and should include the necessary tracking and continuous assistance measures.",
"The reintegration plan should encourage community and civil society organizations (including women's groups) to participate, thereby enhancing their capacity to play a role in promoting and socio-economic reintegration of ex-combatants.",
"The Government of the Sudan should provide financial and logistical security to the disarmament, demobilization and reintegration plan and can seek funding from the international community.",
"Specific funding and resources are needed to address the special needs of women's reintegration.",
"Disarmament and demobilization",
"The parties agreed to re-establish the Northern Sudan Disarmament, Demobilization and Reintegration Commission to reflect new realities. The Northern Sudan Disarmament, Demobilization and Reintegration Commission should include representatives from the Movement.",
"UNAMID should conduct verification of the “mobilize” army at the same time in all areas.",
"The Disarmament, Demobilization and Reintegration Commission, with the assistance of UNAMID and other relevant United Nations agencies, must develop a series of plans aimed at including the timing and sequence of disarmament, demobilization and reintegration phases of ex-combatants.",
"The parties must assemble their ex-combatants as soon as possible and must, under any circumstances, work on disarmament and demobilization in accordance with the following provisions:",
"Awareness and sensitivity of the leadership and the military and their roles and responsibilities in the disarmament, demobilization, reintegration and peace process;",
"The parties should determine the criteria applicable to the disarmament of the armed process of uncomfored combatants;",
"The parties should ensure that all child soldiers (if armed) are disarmed as short as possible and that they are not dependent on the disarmament and demobilization of adults. The safety and dignity of children and their confidentiality needs must be taken first into account. Children should be separated from adult combatants as soon as possible and transferred to an appropriate forced independent civilianization process;",
"The parties shall not transfer the age of ex-combatants under the age of 18 to the assembly area, and shall remove their armed forces and demobilize them before signing this agreement;",
"The parties should prioritize the process of demobilization and reintegration of groups with special needs, including former combatants and women with disabilities.",
"Article 73: Return of ex-combatants from society and the economy to civilian society",
"The former combatants who have been disarmed and demobilized must return to their civilian society in the social and economic context. The Government of the Sudan should use its own resources and seek assistance from the international community to assume responsibility for the return of ex-combatants to civilian life through a series of appropriate socio-economic reintegration plans.",
"The plans for the disarmament, demobilization and reintegration of former combatants should also include a community-based programme based on local conditions, including a range of measures aimed at reducing community violence, in order to further achieve the objectives of disarmament, demobilization and reintegration.",
"In the socio-economic reintegration of former combatants, the principles of openness, transparency, justice, equity and integrity must be followed. Moreover, the former combatants should be given fair treatment irrespective of their previous relationship with the Movement.",
"The reintegration process must be based on the community, both in terms of enabling returns and in the interests of local communities.",
"The social and economic reintegration of ex-combatants must ensure the participation of local communities and civil society organizations, including women's groups, so that they can guarantee the social and economic sustainability of the reintegration of boys and girls associated with armed forces and armed groups and other vulnerable children affected by conflict.",
"The reintegration plan must contain a range of formal and informal ways to help boys and girls who have left armed forces or armed “model” movements, as well as other vulnerable children affected by conflict, who are in urgent need of protection, including teenage mothers.",
"Priority must be given to the social and economic reintegration of groups with special needs (e.g. female combatants and women associated with the armed “moval movement” (especially widows), boys and girls associated with the armed forces and armed “moval movements” and vulnerable children affected by the conflict, combatants with disabilities and the elderly).",
"Efforts must be made to adopt a community-based approach to achieving long-term sustainable reintegration goals. These efforts must include relevant follow-up actions, oversight measures and necessary sustained safeguards.",
"Article 74: Integration of ex-combatants into the Sudanese Armed Forces and the Police Force",
"The principle of integration",
"The number agreed by the Movement and eligible combatants should be integrated into the Sudanese Armed Forces and the Sudan Police Force. The number of eligible soldiers should be determined by the parties with the assistance of the Technical Committee.",
"The Government of the Sudan should provide the demobilized soldiers with the necessary assistance and training, including rapid training, which is essential to ensure that these soldiers meet the standards of affordability as soon as possible and promote to a higher level.",
"The Government of the Sudan may, after seeking the views of the Movement, request UNAMID, donor agencies and international partners to create training and professionalization programmes for ex-combatants, including military officers, soldiers, combatants and police, within their training institutions.",
"The former combatants who joined the Sudanese Armed Forces and the Sudanese Police Force shall not be dismissed for a period of six years prior to their assignment as a result of the downsizing of the Sudanese Armed Forces with the Sudanese Police Force, except for those who have been dismissed as a result of violations of the norms and regulations of the conduct of these institutions.",
"For former combatants who are reluctant to join the Sudanese Armed Forces and the police force, they must be transferred to the national ICSC system established by the Committee on Disarmament, Demobilization and Reintegration.",
"The Government of the Sudan must hold a large number of demobilized fighters in the Sudan's high-level commanders of the Armed Forces of the Sudan, in accordance with the standards applicable to the Armed Forces of the Sudan and the Sudanese police force, at all levels of war zone, at the Ministry of Defence, the Ministry of the Interior and the capital, in Darfur and in other areas.",
"Executive Committee on Security Arrangements in Darfur",
"The Executive Committee of the Darfur Security Arrangements shall be established by the Darfur Regional Authority. As a subordinate body of the Darfur Regional Authority, the Executive Committee for the Darfur Security Arrangements is responsible for coordinating the implementation of the provisions of the security arrangements of the Agreement.",
"The Executive Committee of the Darfur Security Arrangements shall establish a technical integration committee responsible for the design, planning, implementation, management and supervision of the reintegration programme for former combatants.",
"The Integration Technical Committee must include women, which shall be composed of UNAMID, representatives of the parties and technical experts from the countries accredited by the parties.",
"The Executive Committee of the Darfur Security Arrangements must include representatives of the three states of Darfur, representatives of the Chief of Staff of the Armed Forces of the Sudan, representatives of the National Disarmament, Demobilization and Reintegration Coordination Council, representatives of the Movement, representatives of UNAMID and other personnel required to implement the reintegration plan. The Chairman of the Executive Committee for the Darfur Security Arrangements must be appointed in a “Presidential order”, in consultation with the President of the Regional Authority for Darfur.",
"All bodies established by the Executive Committee of the Darfur Security Arrangements should include representatives of relevant entities of the Darfur Security Arrangement Executive Committee.",
"The Executive Committee of the Darfur Security Arrangements and its subsidiary bodies must have some women's representation. These institutions must form a range of views aimed at ensuring that their work is fully inclusive of women's views on the special concerns of women and children.",
"Reintegration plans",
"The reintegration plan, defined by the Technical Committee, should be implemented in a phased manner.",
"The parties agreed to determine the number of male and female ex-combatants who are integrated into the Armed Forces of the Sudan, the Sudan Police Force and the elected executive branch, in accordance with the number of verified “mobilities” troops.",
"The integration of the Forces nouvelles into the Sudanese Armed Forces and the Sudanese Police Force shall include a review process agreed by the parties and monitored by the Committee on Integration, and must be in compliance with the following criteria:",
"Nationality of the Sudan;",
"Age (no less than 18 years or not reached retirement age);",
"Physical health and mental health, as determined by the Technical Committee;",
"Experience in fighting;",
"Unwarranted former sections;",
"Individual voluntary contributions.",
"The criteria aimed at leading the integration of military officers should include, in addition to the above-mentioned criteria:",
"Education (at least secondary school graduation certificates). The Committee on Integration may deduct a certain number of field commanders;",
"Experience in fighting;",
"Age;",
"No dismissal shall be carried out as a result of non-representation.",
"The newly integrated ex-combatants must participate in military training as requested by the units.",
"In accordance with the organizational structure of the Sudanese Armed Forces and the Sudanese Police Force, the number of military officers agreed to join the Sudanese Armed Forces and the Sudanese Police Force must be proportional to the total number of non-appointed military officers and soldiers.",
"For the first time, military officers and military personnel from the military and police components must be trained in a certain period based on the relevant curriculum of their respective forces.",
"The determination of these officers shall be guided by the following criteria:",
"Age;",
"Training and fighting experience;",
"Education;",
"The former military officers and former police officers who have been dismissed as a result of the conflict in Darfur shall be demobilized at the time of the first instance, and, after the adoption of the mandated competency test, they are subject to an officer corresponding to their curriculum;",
"Any other applicable criteria agreed by the parties;",
"The Government of the Sudan should provide standardized training to former combatants who have been elected to the Sudanese Armed Forces and the Sudanese Police Force for the age of 18 years.",
"Reform of some military institutions",
"The parties recognize that, in order to enhance the capacity, efficiency and professionalism of relevant military institutions in Darfur, the rule of law must be strengthened in accordance with recognized standards to promote the reform and development of these institutions.",
"The Government of the Sudan should submit to the Executive Committee of the Darfur Security Arrangements a plan for the reform, development and restructuring of recognized military institutions (including the relevant deadlines), which will be monitored by the Executive Committee on Security Arrangements in Darfur. The Government of the Sudan can seek funding and expert support for the implementation of the plan outside the Sudan.",
"Timeframe and sequence of activities",
"A phased implementation must be carried out in accordance with the following deadlines:",
"The preparatory phase shall be completed within 7 days of the signing of this agreement.",
"The first phase on disengagement should be launched immediately after the completion of the preparatory work and must be completed within 45 days thereafter.",
"The second phase on redeployment should be launched immediately after the end of the first phase and must be completed within 45 days thereafter.",
"The third phase on arms control should be launched immediately after the end of the second phase and must be completed within 30 days thereafter.",
"The reintegration, disarmament, demobilization and reintegration of former combatants shall be launched immediately after the end of phase III.",
"For security, logistical security and other reasons, the Chairman of the Ceasefire Commission may, after seeking the views of the parties, modify the timetable in accordance with the requirements.",
"Other provisions",
"Article 75: Dispute settlement",
"Any disagreement or dispute with respect to the interpretation of the final security provision or any existing ceasefire agreement shall be submitted to the Joint Committee for its decision and the Joint Committee must decide on the basis of consensus.",
"If the parties were unable to reach agreement on the above-mentioned issue, the Chairman of the Joint Committee, together with the members of the Joint Commission, should make the most favourable decision to the ceasefire after seeking the advice of the observer for the Joint Committee; the parties should defer to the decisions of the Joint Committee.",
"Chapter VII: Internal dialogue and consultation and means of implementation",
"Article 76: Dialogue and consultation within Darfur",
"The parties fully recognize the important role played by the Darfur stakeholders in the Doha peace process.",
"The parties agreed that the outcomes of the consultations and discussions held outside Darfur/Sudan on the root causes and consequences of conflicts (including the Doha Forum I and Forum II and the Darfur stakeholder plenary) provided a solid basis for a series of negotiations aimed at signing this agreement.",
"The parties emphasized the need for continued strengthening dialogue and consultation within Darfur in order to consolidate the results of peace and promote reconciliation among parties to the conflict.",
"Therefore, the parties agree to conduct internal dialogue and consultations in Darfur in accordance with the provisions of this Agreement.",
"Terms of reference",
"First, the internal dialogue and consultations in Darfur will seek to consolidate peace gains in Darfur, confidence-building mechanisms between the people of Darfur and the wider people of the Sudan, and to strengthen reconciliation and unity. In particular, the internal dialogue and consultations in Darfur will achieve the following objectives:",
"Expansion of the coverage of this agreement and the mobilization of forces to help implement the Agreement;",
"Addressing issues related to civil responsibility, democratic values and practices and peacebuilding;",
"Enhanced traditional practices related to local disputes settlement, land ownership, pastoral, seasonal displacement, water resources and natural resources;",
"Promotion of peace, reconciliation and harmony among tribes, among public institutions;",
"Enhancing the status of the local administration institutions, including restoring their mandates and building their capacities;",
"In accordance with the provisions of the present Agreement, increased awareness, mobilization of all forces and all means of strengthening civilian arms control, promoting the development of women and youth, ensuring the safe return of internally displaced persons and refugees to their places of origin, reintegration, property restitution and compensation;",
"Restoring the social and political order in Darfur and helping people to end the past and work forward.",
"Promotion of dialogue and consultation within Darfur",
"The parties agreed to be coordinated by UNAMID, the African Union and the State of Qatar for internal dialogue and consultation in Darfur. These entities must determine, upon request, the form and mechanisms for internal dialogue and consultation in Darfur and their corresponding timetables. The parties committed themselves to taking the necessary action to create an enabling environment conducive to enhancing the credibility of the internal dialogue and consultation process in Darfur.",
"Representatives of the parties and other interest groups shall be fully involved in these mechanisms.",
"As an advisory mechanism and a tool for socio-political transformation, the internal dialogue and consultative process in Darfur are expected to have immediate results in the rehabilitation of social networks, the peaceful coexistence and reconciliation of individuals and groups, and in shaping the future of the people of Darfur. The results of the internal dialogue and consultations in Darfur should be based on the best practices and lessons learned and should be formally presented to the Government of the Sudan, the Darfur Regional Authority and the Darfur State Government.",
"Logistics security and fund-raising",
"UNAMID should, within its capabilities, provide logistical security for the operation of the relevant institutions and the implementation of internal dialogue and consultation in Darfur. The parties have a responsibility to establish an enabling environment conducive to the full participation of all stakeholders and the successful implementation of the internal dialogue and consultations in Darfur. UNAMID will also help to develop a strategy for effective communication to ensure that information relevant to the internal dialogue and consultation in Darfur and its practical processes are widely disseminated and properly documented in Darfur and the Sudan.",
"The Government of the Sudan and the international donor agencies will be invited to fund internal dialogue and consultation in Darfur. Moreover, it is important to establish a trust fund dedicated to the purpose of “internal dialogue and consultation in Darfur”.",
"Article 77: Follow-up Committee",
"A follow-up committee established pursuant to the relevant provisions of this agreement will be responsible for:",
"Monitoring and inspection of the implementation of this Agreement;",
"helped to provide financial and technical assistance to those bodies established under this Agreement;",
"In accordance with the agreed timetable, the implementation of the Agreement is facilitated.",
"Composition of the Committee for Follow-up",
"The Follow-up Committee on the Implementation of the Follow-up to the Implementation of the Convention consists of the following members who clearly express their commitment to promoting the implementation of the Agreement:",
"The representative of the State of Qatar - Chairman",
"Two (2) representatives from the Government of the Sudan - members",
"Two (2) representatives from the Movement — members",
"Representatives of the AU - members",
"Representatives of the United Nations — members",
"Joint Special Representative and UNAMID Head — members",
"former AU-United Nations Joint Chief Mediator - Members",
"Allied representative — members",
"EU representative - Commissioner",
"Representative of the Organization of the Islamic Conference — members",
"representative of Canada - members",
"Representative of France - Commissioner",
"The representative of Japan - a member",
"Representative of the Arab Republic of Egypt - members",
"Representative of the People's Republic of China - members",
"Representative of the Republic of Chad - members",
"The representative of the Russian Federation — members",
"United Kingdom representative - Commissioner",
"United States Representative - Commissioner",
"The first meeting of the Follow-up Committee shall be convened by the State of Qatar as Chairman.",
"Functions of the Follow-up Committee",
"The Follow-up Committee shall perform the following functions:",
"Sustained monitoring, recording and tracking of the implementation of the Agreement;",
"Maintaining close contact with the parties in order to promote their full compliance with the provisions of this Agreement, while helping the parties to work towards that purpose;",
"Planning and monitoring of technical assistance and funding for post-conflict activities and the establishment and operation of institutions under this agreement, including but not limited to capacity-building, training of personnel and funding, resources, experts, consultants;",
"Evaluation and inspection of progress in their implementation will inform the parties in a timely manner of the developments that may lead to delays, while responding to the relevant responses;",
"Continued political support and substantive support required for the full implementation of this Agreement;",
"The Follow-up Committee and the parties may consider appropriate and consistent with the principles and spirit of this Agreement.",
"Meeting of the Follow-up Committee",
"The Follow-up Committee meets quarterlyly and should issue relevant reports at the end of each meeting. The Follow-up Committee shall convene emergency meetings, if it deems necessary. The parties may request the Follow-up Committee to convene an emergency meeting.",
"UNAMID should establish a secretariat to help implement the functions and activities of the Follow-up Committee.",
"The Follow-up Committee shall adopt its own rules of procedure.",
"Article 78: Final provisions",
"The accompanying implementation schedule is an essential component of this document.",
"The present document should have constitutional status after the adoption of the parties. Such status should be specified in national constitutions.",
"Draft implementation timetable",
"Sharing power",
"The duration of the activities of the responsible party/responsibilities constituted the funding source process. The appointment of the President (Vice-President, President, Assistant and Adviser) 39, 66, 40, President D+30, by a presidential decree appointing the National Council of Ministers of Justice in Darfur (Minister of Cabinet and State), paragraph 42, President D+30, was appointed by the Government of the Sudan in the form of a presidential order 3.9-62 days for the establishment of the Supreme Authority in Darfur, including the appointment of the Commission on the Judiciary in accordance with paragraph 51 of the Commission's decision No. The Government of the Sudan, in accordance with the supplementary protocol, paragraph 82 of the State Administrator's representative to the Government of Darfur D+90 days, the State budget, pursuant to the supplementary Protocol 8. The Government of the Sudan/State D+90 National Budget and the State Budget, in accordance with the Supplementary Protocol 9. Local Government of Darfur (local authorities) is appointed by the Government of the Sudan, in accordance with paragraph 87 of the Protocol, as well as the Government of the Sudan, in accordance with the Supplementary Protocol, in accordance with paragraph 89-90, of the Protocol.",
"Sharing wealth",
"The Executive Board At the same time, the registration of the amendments to the relevant legislation by the National Assembly, the approval by the Council of the Regional Authority for Darfur and the approval by the State's legislative bodies of section 194, the Government of the Sudan/Government of Darfur for more than 120 days, the Government of the Sudan, the Darfur Regional Authority and the state governments of the states, drawing upon the adoption of the relevant legislation, the approval by the Council of the Regional Authority in Darfur and the approval by the State legislative bodies of the Land Uses Authority in Darfur (in accordance with the land granted by the Investment Act, its owner in violation of the terms of land ownership rights granted by the Lands Authority in Darfur)",
"C. Internally displaced persons and refugee compensation and return",
"The activities listed below refer to the duration of the period of responsibility/responsibility institution, which constitutes the source of funding, the establishment of the Committee on Voluntary Returns and Resettlement, and its two subcommittees: the Committee on Voluntary Returns and the Compensation Commission and the establishment of the Compensation/Jabr AlDar Fund, section 25572, National legislature D+45 days of the enactment of legislation for the issuance of identity documents to internally displaced persons and refugees, article 46, paragraphs 235-237, of the Government of the Sudan/United Nations High Commissioner for Refugees's assessment of the land needs of internally displaced persons in the context of the United Nations Development Programme for Refugees (UN-based assessment of the Sudan) D+60+60 days The Government of the Sudan/donor agencies undertake integrated needs assessments in areas where possible returns are to be undertaken in order to properly address related basic services, paragraph 257 (ii) of the Voluntary Return and Resettlement Commission (with the assistance of the United Nations High Commissioner for Refugees). The Committee on Voluntary Returns and Resettlement was launched immediately after its establishment. The Government of the Sudan/Central Commission on Voluntary Returns and Resettlement (with the assistance of the United Nations High Commissioner for Refugees) is undertaking the Government of the Sudan/donor institution.",
"Justice and reconciliation",
"Paragraph 296 (i) and (iii) of the Government of the Sudan's assistance to the justice sector in Darfur, where the Government of the Sudan has declared the implementation of the Special Court's Decree No. 329, the President of the Republic of the Republic of Darfur, D+30, by means of a presidential decree, of the establishment of an independent justice, justice and reconciliation commission in Darfur, and the Government of the Sudan's assistance for the implementation of a set of laws against the Darfur justice sector,",
"E. Permanent ceasefire and final security arrangements",
"The duration of the activities of the responsible party/responsibility body shall constitute the source of funding. Paragraphs 341 (viii) and 433 (iii) were implemented in cooperation with UNICEF. The Joint Logistics Guarantee Coordination Committee was established before the start of the transfer of child soldiers to UNICEF. Section 410 UNAMID D+5 Hybrid Operation in Darfur/Partners/donor agencies are preparing for the first to three phases. Paragraphs 395-402 were established by the parties, D+7, to establish the Executive Committee on the Darfur Security Arrangements. Paragraph 448 of the Government of the Sudan/Development of Darfur D+60, the parties of the Government of the Sudan/Afghanistan Regional Authority, submitted to the Ceasefire Commission the military force mobilization plan for all phases of the ceasefire, paragraph 398, D+14 days Hybrid Operation in Darfur/Parties to map the final map, which should be mapped at the location of the units of the Movement, the control area, the buffer zone, the non-military zone and the “redeployment zone”, after verification by the Ceasefire Commission. Details will be developed on the main map by paragraph 408 of the buffer zone monitoring patrol plan, which is to be completed by UNAMID in cooperation with the parties. The decision of the parties to withdraw their forces from the non-military zone/buoys to their controlled areas, D+7 to D+45.7, re-establishing the Northern Sudan Disarmament, Demobilization and Reintegration Commission, section 430, Movement D+4517, “The Movement” through the UNAMID/Ceasefire Commission to submit to the Joint Logistics Coordination Committee, paragraph 409, the parties D+10 days for the reintegration of ex-combatants, the establishment of the Executive Committee for the Coordination of Humanitarian Affairs in Darfur, paragraph 449, the redeployment of troops to the United Nations Relief and Works Agency for Palestine Refugees in Darfur (UNAF) of the Joint Military Security Plan for the Sudan. Prior to the start of the reintegration phase, a plan for the disarmament of militias includes measures and timelines for the disarmament of militias, paragraphs 399-401, the Government of the Sudan, D+37 days, the Movement's forces assemble and store heavy weapons in selected assembly areas/ locations, UNAMID immediately completed or deployed to the assembly area, while completing the reintegration of ex-combatants into the Sudan Armed Forces and the Sudan Police Force, Section 442, 454 (2009), the reintegration strategy of former combatants into the technical committees/the Government of the Sudan into the military component of the disarmament, demobilization and reintegration programme,",
"Internal dialogue and consultation and means of implementation",
"The duration of the activities of the responsible/responsibilities constituted a funding source process. The establishment of the internal dialogue and consultation mechanism in Darfur and its format, paragraph 473, Hybrid Operation in Qatar D+30 days, donor agencies 93. The implementation of the internal dialogue and consultative mechanism in Darfur, paragraph 473, UNAMID/AU/QU/Liberian Countries D+30+0. Paragraph 479 Responsibilities Committee/Qatar State D- Priorities, as referred to in paragraph 479. Donor agencies"
] |
[
"第六十六届会议",
"临时议程^(*) 项目69(b)",
"促进和保护人权：人权问题，包括增进人权 和基本自由切实享受的各种途径",
"赤贫与人权问题",
"秘书长的说明",
"* A/66/150。",
"秘书长谨向大会会员国转送赤贫与人权问题特别报告员玛格达莱娜·塞普尔韦达·卡尔莫纳根据人权理事会第17/13号决议提交的报告。",
"赤贫与人权问题特别报告员的报告",
"摘要",
"赤贫与人权问题特别报告员在本报告中分析了惩罚、分割、控制和破坏生活贫穷者自主权的一些法律、条例和做法。过去三十年里，采取这种措施的情况越来越频繁，近年来的经济金融危机又使之愈演愈烈，现已成为对生活贫穷者享有人权的一种严重威胁。",
"各国和社会势力惩罚生活贫穷者的方式相互关联，涉及很多层面，不能孤立地加以分析。为了本报告的目的，特别报告员指出了以下四个需要关注的方面：(a) 不适当限制生活贫穷者在公共场所从事赖以维持生命行为的法律、条例和做法；(b) 同严重影响生活贫穷者的公共场所贵族化和私有化相关的城市规划条例和措施；(c) 在获得公共服务和社会福利方面施加干涉生活贫穷者自主权、隐私和家庭生活的要求和条件；以及(d) 过度和任意使用拘留和监禁，因而威胁生活贫穷者的自由和个人安全。",
"目录",
"页次\n1.导言 4\n2.贫困的现实：耻辱化、歧视、惩罚、排斥 4\n3.国际人权框架 6\nA.平等和不歧视 6\nB.对人权的正当限制 7\nC.参加决策的权利 8\nD.私有化和国家的义务 8\n4.对享有人权具有消极影响的惩罚措施 8\nA.限制生活贫困者在公共场所的行为的法律、条例和做法 9\nB.城市规划条例和措施 12\nC.获得公共服务和社会福利的要求和条件 13\nD.过度和随意使用拘留和监禁 17\n5.结论和建议 18",
"一. 导言",
"1. 本报告由赤贫与人权问题特别报告员玛格达莱娜·塞普尔韦达·卡尔莫纳根据人权理事会第17/13号决议提交。报告述及发达国家和发展中国家越来越普遍的一些法律、条例和做法，这些法律、条例和做法惩罚、分割、控制和破坏生活贫穷者的自主权。",
"2. 报告借鉴了国际人权政策理事会2011年3月17日和18日在日内瓦主办的国际专家会议提出的文件和发表的意见。参加上述会议的有来自各个区域的人权专家、学术界、民间社会以及联合国实体的代表，他们都为特别报告员的报告[1] 提供了宝贵的意见。",
"3. 报告使用的“惩罚措施”的术语，一般是指惩罚、分割、控制和破坏生活贫穷者的政策、法律和行政条例。这些措施的目的和效果都不一样；在同一区域、国家、省份和城市，这些措施的目的和影响也大不相同。一些措施导致生活贫穷者被直接定罪、起诉和监禁，其他一些措施则对生活贫穷者从各个方面进行过度的管制和控制。一些措施具有惩罚性效果，例如课以重罚、失去儿童监护权、丧失领取社会福利资格、以及隐私权和自主权遭到侵犯。一些措施明确针对生活贫困者，其他措施尽管是对所有个人实行的中立色彩的法律、政策和做法，但对生活贫困者具有极为严重的影响。",
"4. 报告分析了其中的一些措施，借以揭示这些措施对生活贫困者享有人权造成的影响。报告解释了这些措施就是影响公共政策的那种根深蒂固的偏见和成见的结果的原因。报告强调，这些措施的消极影响相互重叠和促进，致使贫困加剧和无休无止。报告利用人权框架来显示，虽然贫困本身可能没有违反人权，但是，不时发生的国家行为或不作为造成、加剧贫困或使贫困永久化，这种行为和不作为等同于侵犯人权。就此而言，惩罚措施是对各国履行人权义务的严重威胁。",
"二. 贫困的现实：耻辱化、歧视、惩罚、排斥",
"5. 各国一直认为，贫困是人类的一种错综复杂的处境，被定义为由于持续或长期地被剥夺资源、能力、选择、安全和权力而不能享受适当的生活标准以及其他公民、文化、经济、政治和社会权利。[2] 贫困并不是自动的选择，而是一种多方面的处境，在没有援助的情况下，很难摆脱这种处境，如果并非不可能的话。这种处境的责任不在生活贫困者的身上；因此，各国绝不应为此处罚或惩罚生活贫困者。相反，各国必须通过广泛的措施和政策，消除造成、加剧贫困或使贫困永久化的种种条件，确保实现生活贫困者的所有经济、社会、文化、公民和政治权利。",
"6. 惩罚政策反映了对于赤贫者和最弱势群体现实情况的严重误解，也反映了对他们处处受歧视和遭遇相辅相成的劣势一无所知。",
"7. 处罚措施与歧视性成见一拍即合，这些成见认为，生活贫困者懒惰、不负责任、对子女的健康和教育无动于衷、不诚实、不值得与之来往，甚至有罪。生活贫困者常常被说成是自身不幸的始作俑者，只有他们自己亲自“更拼命地努力”，才能为自己解围。偏颇和耸人听闻的媒体报道往往又加深了这些偏见和成见。这些报道专门针对那些作为多种形式歧视受害者的生活贫困者，例如单身母亲、少数民族、土著人民和移民。这种态度根深蒂固，影响到公共政策的制定，让决策者无法解决制度方面存在的阻碍生活贫困者摆脱困境的种种因素。",
"8. 生活贫困者因遭受歧视和轻蔑，往往形成对公共当局的恐惧甚至敌意，也对协助他们的机构缺乏信任。政策制定者、文职人员、社会工作者、执法官员、教师和保健提供者常常漠视生活贫困者，甚至以一种恩赐的态度对待他们。这些人还可能认识不到，也没有去支持生活贫困者为改进生活做出的努力。",
"9. 耻辱化和偏见态度产生一种耻辱感，阻止生活贫困者接近公共官员和寻求所需要的帮助。他们不希望由于得到已被社会羞辱过的服务而遭到更多的歧视，因此有可能不去申领粮食券和补贴等权利、入住公屋或到免费医疗诊所就诊。这导致他们被进一步隔离和排斥，进一步加剧了使贫困处境代代相传的恶性循环。",
"10. 在各国，不论是发达国家还是发展中国家，历史性社会分歧和权力结构决定了在与国家当局的关系方面，最贫穷和最受排斥的人永远处于不利的地位。权力不对称意味着，生活贫困者无法要求权利，也无法抗议自己的权利受到侵犯。由于不识字，缺乏信息或由于语言上的障碍，他们在与当局沟通上面临障碍，这种情况表现在移民、土著人民、少数民族和残疾人的身上尤其突出。因此，他们很可能不知道、也不了解自己的权利和待遇，或是报告受到的侵害和虐待。",
"11. 在这方面，妇女尤其容易受到惩罚措施的伤害。由于结构方面存在的歧视，妇女在权力结构中的代表人数不足，因此，她们在同国家当局打交道时处境非常不利，无法要求自己的权利。惩罚措施给妇女造成的影响，常常较男子严重得多，原因是贫穷妇女的人数多，而接收教育、就业和经济资源的机会少，并肩负着照顾和家务的主要重担。",
"12. 难于打破惩罚和贫困循环的重要障碍，是生活贫困者无法获得法律援助，因为她们没有能力负担私人法律代表，而法律协助往往无法得到或不充分。在没有健全和全面法律协助的情况下，最贫穷和最受排斥的人在同当局打交道时处于愈发不利的地位，不仅是在受到刑事指控时，在遇到儿童保护案件、福利欺诈案件或驱逐和移民诉讼方面也是如此。",
"13. 当生活贫困者得不到法律代表或咨询时，特别是在不熟悉复杂的法律语言时，他们更有可能遇到不公正或不平等的待遇，并接受这种待遇。他们非常有可能受到腐败的致命影响或有人要求他们必须行贿，被拘留的时间可能更长，或是如果出席审判，被判刑的可能性也更大。即便能够得到法律协助，歧视和语言上的障碍也严重影响他们寻求诉诸于司法与平反措施的方式。",
"三. 国际人权框架",
"A. 平等和不歧视",
"14. 不歧视和平等是国际人权规范框架的核心内容。[3] 这些原则要求，相同情况下的个人应在法律和做法中获得同等的待遇。根据人权法，并非所有区别对待或待遇上的差别都等同于歧视。区别对待如果是有目标并有合理的理由时，是符合平等的原则的；区别对待必须是为了一个正当的目标，所使用的手段与所寻求目的之间必须具有合理的比例关系。[4] 因此，对生活贫困者实行差别对待(区分、排除、限制或优惠)必须符合上述标准，才能被人权法视为合理。",
"15. 此外，某些形式的优惠待遇采取了为弱势和处境不利群体争取福利的平等权利行动的形式，就没有被视为歧视性的，因为它们的目的是“削弱和消除造成或延续实质性或事实上的歧视的条件和态度”，鼓励平等享有权利。[5] 因此，不仅要允许致力于解决社会和经济不平衡的有利于生活贫困者的平等权利行动，根据人权法，也是各国必须这样做的。只有在待遇上的差别没有正当的目的，或是所使用的手段与要实现的目的之间没有合理的比例关系时，才存在歧视。",
"16. 歧视性动机并非歧视的必要内容。[6] 因此，任何具有剥夺或影响平等享有人权的目的或效果的措施，都违法国家的人权义务。",
"17. 将本报告所审查惩罚措施统一起来的共同之处是，这些措施都没有充分满足这些标准。这些措施都直接或间接歧视生活贫困者，都有剥夺或影响生活贫困者享有人权和基本自由的效果。",
"18. 根据所列举的一些理由，歧视在禁止之列，这些理由包括“其他身份”的句子中所暗示的经济和社会地位，而《经济、社会、文化权利国际公约》和《公民及政治权利国际公约》将“其他身份”列为歧视的理由。[7] 惩罚措施选择个人为对象，因为他们的收入、相貌、讲话、地址或需要说明他们贫穷。因此，这种措施显然构成了基于经济和社会地位的歧视。",
"B. 对人权的正当限制",
"19. 人权法允许国家对某些权利加以限制，其依据是，为了公共安保、安全或秩序，公共健康或保护其他人的权利和自由的目的，实行这种限制是必要的。为使某一限制从人权法的角度来看是合法的，这种限制必须符合各种保障；这种限制必须“由法律决定”，“与这些权利的性质相符”，“完全是为了促进广泛福利的目的”以及“在民主社会内是必要的”。[8] 允许的限制还必须符合人权法的普遍原则，因此，还必须是非歧视性的、合理的和适度。[9] 遵守这些原则要求，例如，任何限制性措施都必须是为实现所追求目标而采取的适当手段，且限制不得较为所追求目标而必须实行的限制更为苛刻。",
"20. 考虑到人权框架的主要目标是保护个人的权利而不是允许国家实行限制，各国有责任证明，对生活贫困者行使权利所施加限制符合所有标准，因此，对所寻求目的而言是正当、合理化相称的。不符合这些标准的限制就是对人权准则的侵犯。",
"21. 各国常常援引所列可允许限制来为通过惩罚措施辩护。但在实践中，采取惩罚措施的动机往往是各种因素的结合。一些措施的目的是消除一切贫困的形象，例如，将城市无家可归者和乞丐迁走，以便美化城市和吸引投资和开发。其他措施的必要理由是要惠及“有资格的穷人”，或是为了满足批评“过份宽容的”社会政策的人的要求，因此，是为了争取对某一举措的政治支持。从人权的观点而言，需要对这些理由进行审慎的分析，以评估从人权法的角度而言惩罚措施是否合法，是否符合该项目的。各国绝不应施加超过为实现限制的目的所必须的更多限制措施。",
"22. 应特别注意惩罚措施的经济理由。经济理由不仅超出人权法所允许限制的范围，而且与执行惩罚措施的费用极其昂贵的这一现实相抵触。执行惩罚措施需要更多的执法和公共服务人员；增加刑罚和刑事司法系统中个人的数量；而且需要行政监测程序方面花费大量开支，例如经济情况调查和福利监督。",
"23. 在很多情况中，采用效果适得其反的惩罚措施的费用大大超过解决贫困和排斥根源可能带来的费用。如果能把用于监管、监督和拘留的资源投资于解决贫困根源和改善获得公共服务、包括社会住房的机会，各国将能够大大改善生活贫困者的生活，并确保有尽可能多的现有资源用于提高经济、社会和文化权利的享有程度。[10]",
"C. 参加决策的权利",
"24. 制定和实施惩罚措施时，一向都没有同生活贫困者进行过有意义的对话。生活贫困者的经验和需要总是受到忽视，这种情况加重了他们的无助感。因此，确保生活贫困者能够有效和有意义地参加决策的权利，是消除歧视和贫困的一个基本先决条件。",
"25. 为消除贫困采取的人权办法决定了，生活贫困者应积极、自由、知情和有意义地参加影响他们的政策的所有阶段的制定、执行和监测。不应仅仅把真正的参与理解为确认每个人和每个团体有参加公共事务的权利，[11] 它也是能够推动解决贫困和社会排斥的一个组成部分。通过参与赋予生活贫困者能力，也是促进社会融合和确保公共政策的制定能够满足社会最贫穷阶层的特殊需要的手段。",
"D. 私有化和国家的义务",
"26. 在发达国家和发展中国家，都存在私有化和把传统上国家开展的某些活动外包的明显趋势。尽管私有化有可能降低成本，提高效率，并因此改善服务的提供，但私有化也可能给最贫穷和最弱势的人获得公共服务的机会造成重大障碍。当国家将福利系统、保健系统和拘留中心的管理移交给谋求经济利益以及可能不在国家适当监督和控制下的私人实体时，国家便危及个人获得必要服务的能力，并促使产生可能有损生活贫困者的影响。没有确保问责和透明的机制，私人实体便可能先考虑利润后考虑人，对自己的失败不承担责任。",
"27. 各国绝不能将私有化视为可以逃避其人权责任的手段。尽管国际人权法并不限制公共服务的私有化，但国际人权法却规定，当公共服务外包给私人公司时，各国继续负责确保质量、承付能力和覆盖面，并有责任保护个人免遭这些公司的虐待。[12]",
"四. 对享有人权具有消极影响的惩罚措施",
"28. 本节概述惩罚措施给一些人权的享有所带来后果的实例，说明此种措施对于生活贫困者造成的诸多复杂而相互关联的影响的情况。",
"A. 限制生活贫困者在公共场所的行为的法律、条例和做法",
"29. 各国越来越多地通过执行各种法律、条例和做法，限制人们在公共场所的行为、行动和流动，因而大大妨碍了生活贫困者的生活和生计。这些措施在各国间和各国内都有很大不同，但相同的是，都是对公共场所内被视为“不可取”的行动和行为或“妨碍行为”进行惩罚。各国为了给这些措施找理由，将被禁止的行为规定为：性质危险、与公共安全或秩序的要求冲突、干扰作为设立公共场所用途的正常活动的，或违背当局希望此种场所所具有的形象和原定想法的行为。[13]",
"30. 在发达国家和发展中国家，将流浪和乞讨定为非法的刑事或管制措施(例如政令)，正变得越来越流行。这些法律有几种形式：从禁止在公共场所讨钱的立法，到禁止夜间讨钱或采取“进攻性举止”讨钱的立法。[14] 其中一些法律已被广泛应用，扩大到了从事任何可能要人出钱的活动，例如表演舞蹈或展示伤痕或身体畸形。在一些国家，一个人仅仅出现在某一公共场所，看不出有维持生命的手段，因此很可能是通过乞讨来维生，此种情况便属非法。[15]",
"31. 显然，这些法律和条例对于生活贫困者具有过份严重的影响。当生活贫困者无法得到国家的足够支助和协助时，他们就有可能别无选择，只能靠乞讨维持生命。因他们在没有其他生存手段情况下采取的行动而对他们进行惩罚，显然是不相称的惩罚措施。",
"32. 禁止乞讨和流浪，是严重违反平等和不歧视原则的行为。[16] 这种措施让执法官员拥有可以使用的酌处权，使生活贫困者更容易遭受骚扰和暴力。这些措施只能推动对于最贫穷和处境最不利的人的那种消极社会态度的永久化。",
"33. 各国还越来越经常地对犯有同流落街头联系在一起行为和行动进行惩罚，例如：在公共场所睡觉、坐立、躺着、丢垃圾、借宿、野营或储存物品；在公共场所酗酒、在公共场所小便或不遵守交通规则乱穿马路。[17] 这些条例的措辞不明确，给了执法机构很大的酌处权和执法权力，而这很有可能违法法律和宪法保障。各国将这些活动或行为定为非法，增加了生活贫困者遭受来自个人和执法官员的虐待、袭扰、暴力、腐败和敲诈的机会。",
"34. 尽管这些条例并非明确地针对生活贫困者，但对他们的影响特别大。生活贫困者没有住房，或是获得住房的机会有限，因此，日常生活更多依靠的是公共场所。为此，除了流落街头而别无选择的个人发现，他们维持生命的日常活动有可能让自己面临刑事制裁的危险。尽管这类措施看来是中性的，但研究显示，当局针对的是生活贫困者，特别是无家可归的人。[18] 这种过度实施的做法显然违背了在执行所有法律和政策时确保平等和不歧视的这一义务。",
"35. 这些措施的根本动机常常是要降低城市贫困的可见度，以及将投资、开发和(非贫穷)公民吸引到城市中心区。从人权法的角度来说，这些目的是不合法的，而且无法说明常常通过这些条例所实行的严厉制裁是正当的。",
"36. 实施这些法律的背景是，经济金融危机导致取消赎权和驱逐史无前例地增加，迫使越来越多的家庭流落街头。各国没有利用公共资金对这些家庭提供帮助，相反，却采取代价昂贵的行动对他们的行为进行惩罚。凡是没有足够公共基础设施和服务让家庭拥有可选择的地方来从事这些行动的地方，生活贫困者和无家可归者便没有可以睡觉、坐立和吃喝的存活之地。因此，这些措施有可能给生活贫困者带来非常不利的身心影响，破坏生活贫困者享有适当标准身心健康的权利，甚至等同于残忍、不人道或有辱人格的待遇。[19]",
"37. 在一些国家，将协助流落街头者的行动定为非法的法律进一步加剧了这些条例的消极影响。[20] 在一些国家，具体立法对民间社会组织的行动实行限制，或禁止在某种情况下提供协助。例如，在一些城市，未经许可在闹市区公园与人群分食品为非法，给向无家可归者提供食品的慈善机构和其他组织造成了障碍。[21] 将倡导人士、活动分子和民间社会组织定罪，侵犯了结社、言论自由和集会等几项人权，破坏社会凝聚力。",
"38. 警察有发布反社会行为和不许停留命令的权力，公共安全法又让警察可以对个人进行“拦截和搜查”，生活贫困者因此遭受到极为严重的影响。这些措施常常范围非常广泛，而且很大程度上由警官自行决定，而他们的主观判定毋需负很大的举证责任。[22] 这些条例绝大多数针对处境不利和最脆弱的群体以及他们生活的地区和社区。在生活贫困者中，受到多种形式歧视的人更经常地被当作目标。[23] 这些措施迎合并加强了生活贫困者很可能会参与犯罪活动这种歧视性态度，致使鄙视贫困的情况长期存在下去。例如，在某一国家，首都地铁的使用规则让警察有权将那些因为“衣着肮脏”等原因影响其他乘客的人逐出地铁。[24]",
"39. 针对借街头贩卖维持生计的人采取的惩罚措施，尤其令人关切。在很多国家，街头摆摊严格受限[25] 或属非法，[26] 自街头摊贩购物亦然。[27] 研究显示，街头摊贩之所以要摆摊，是因为没有其他形式的收入，受教育水平低和缺乏就业机会。[28] 街头贩卖是最贫穷和最脆弱的人挣钱养家和维持生计的一种手段。国家在对街头摊贩实行的取缔、繁琐的许可证和街头限制时严重影响了生活贫困者谋生的权力。[29]",
"40. 尽管各国可以通过合理的条例，但在决定禁止或限制街头贩卖活动的地区、日期和时间问题上，给予执法官员的酌处权往往过于广泛。这就使得街头摊贩更容易遭受执法官员、个人或帮派的欺辱。因此，他们的生命和人身安全经常受到威胁，并常常遭受贿赂、敲诈和非法没收物品的威胁。",
"41. 当有人骚扰街头摊贩，向他们行贿或捣毁他们的物品时，由于深刻的结构性不平等和权力的不平衡、沟通和信息障碍以及得不到法律代理，他们几乎不可能向警察提出投诉。在街头贩卖属于非法的国家，个人常常由于害怕自己受到惩罚而不敢向警察报告受到的虐待和伤害。对于那些作为遭受广泛歧视的弱势群体成员以及历史上一直与警察和当局保持一种消极关系的街头摊贩来说，这种情况尤为严重，例如妇女、移民和少数族裔。",
"42. 以街头为家和谋生的儿童尤其容易受到惩罚措施的伤害。街头儿童过的是一种虐待、暴力和恐惧的生活，但由于他们被污蔑为有罪和非法，他们在寻求帮助和补救方面无计可施。街头儿童受到剥削，被贩卖，被迫从事危险的工作，被武装部队和武装团伙招募，但却因为害怕受进一步惩罚和虐待而没有寻求当局的帮助。在很多情况下，生活贫困儿童出生时没有进行登记，因此，无法获得包括初级教育的基本服务。由于没有依靠，他们为了生存只能从事街头贩卖、乞讨或托钵等活动。[30] 当这些行动被定为非法时，他们便被推到更危险和备受虐待的处境。",
"43. 非常荒谬的是，惩罚与贫困和无家可归相关行为的条例常常对拿不出钱来的生活贫困者处以罚款。无法缴纳罚款的不合逻辑的结果常常是进一步的罚款，甚至判处徒刑。例如，在某一国家，仅一年内就有数千人因不缴纳法院所课罚款被监禁。[31] 将无力缴纳罚款的人判处徒刑，不仅浪费国家的很多财政和行政资源，而且很大程度上会让生活贫困者继续遭受社会排斥和身陷经济困难。",
"B. 城市规划条例和措施",
"44. 在一些国家，以贵族化的办法改造城市、社会住房的私有化、重新开发和分区法律的通过，已经带来了将生活贫困者迁出城市中心区或迫使他们迁出的效果，不仅影响他们享有适当住房权，也影响他们的广泛权利。",
"45. 作为让城市更“安全”和对投资者，开发商和社会的富裕阶层有吸引力的一种手段，各国越来越多地将分区法律应用于那种排斥最贫穷和最脆弱的人的优惠土地用途上，例如：有门卫的社区、豪宅或高成本住房以及大型体育基础设施。为了“重建”、“改造”和“维护”城市“历史和文化遗产”的目的，[32] 或是为了开发和基础设施项目腾出地盘的目的，[33] 当局正在将整个居民区拆除，迁走区内的居民。因此，这些地区已变得非常昂贵，生活贫困者难以重返，他们沦落到只能在廉价、交通不便、服务差、地处偏远的居民区居住。在很多情况下，生活贫困者在未获通知的情况下被强行赶走，遭受暴力侵犯，财物受损或遭到破坏。生活贫困者被赶走后很少能够获得补偿或补救，他们得不到赔偿，失去的物件无法返还本人，也得不到重新安置。",
"46. 这些政策不仅严重影响城市的包容性和多样性，加剧生活贫困者的被隔离和社会排斥，也给享有适当住房、工作、适当生活水准及参与文化生活的权利造成严重障碍。[34]",
"47. 生活贫困者一旦被迁离城市的中心，便从地理上远离工作、市场、教育和保健中心。这反过来又限制他们接近城市中心、公共服务和经济资源的机会，增加了他们获得机会和交通的成本，给获得就业带来更多障碍。远离城市中心还意味着被排除在城市设施和文化生活之外，进一步加深了生活贫困者的被孤立和受排斥的感觉。",
"48. 穷人被隔离在公共场所之外，因大规模的国家和私有化基础设施项目而变得越来越严重，特别是同奥运会和世界性足球杯赛等相关的超大型活动。在这些活动中，当局常常将生活贫困者从城市地区迁走，安置在周围的郊区，而且常常是靠强迫，没有确保给予替代住房或获得补救和赔偿的机会，粗暴侵犯了他们的适当住房权。例如，在首尔，2002年世界足球杯赛的筹备工作包括了禁止无家可归者进入城市的指定地区，而1988年奥运会期间，无家可归者被关押在城市以外的设施中。巴塞罗那和亚特兰大奥运会期间也采取了迁走无家可归者或将他们定罪的行动。[35] 这些举措的实际效果是让最贫穷和最受排斥的人完全无家可归，代之以他们并不需要、也无法利用的基础设施，例如旅馆、运动场所和办公楼。",
"C. 获得公共服务和社会福利的要求和条件",
"49. 各国越来越普遍地对获得公共服务和社会福利的机会施加严格的要求和条件。[36] 各国在为实行这些措施找理由时提到，有必要充分利用公共资源，提高有的放矢的准确性，避免依赖性和消除影响工作的因素，以及防止系统内的弊端。虽然这些关切可能是有道理的，但这些措施的影响与其要实现的目标来说完全不相称。各国对于获得服务和福利的机会提出苛刻的要求和条件，对不遵守这些要求和条件实行严厉制裁，惩罚、羞辱和损害了生活贫困者的自主权，加剧了生活贫困者克服这种局面的困难。此外，受益人对于自己的未来也一无所知，无法作长远的规划。",
"50. 对这些措施给予的支持，并不是因为有有力的证据说明这些措施有成效，经济上有效益，而是建筑在媒体散布的歧视性污蔑和成见之上，这种污蔑和成见将社会福利的受益人说成是懒惰、不诚实和不值得信任。要求和条件常常被颐指气使的顽固态度所破坏；决策者认为，他们是为着生活贫困者的最大利益考虑，不能相信这些人能够为自己和他们的家庭作决定。",
"51. 这些措施不仅损害受益人的自主权，妨碍他们作出自己的抉择，而且影响他们享有很多权利，包括参与直接影响他们本人决策的权利，[37] 以及私生活、家庭、住宅或通信不受国家任意或非法干涉的权利。[38] 由于不遵守这些苛刻的条件和要求将导致无法获得社会福利，有资格获得福利的人长期出于焦虑和恐惧之中，担心福利会被收回，并因此失去主要生存手段。生活在这种情况下的积累影响，威胁着受益人享有能达到的最高的体质和心理健康的标准的权利。[39]",
"52. 很多国家要求有资格享有社会福利的人提供大量文件证明他们的资格和披露不相干的个人信息。这一过程给受益人造成极大的压力，也有损他们的人格。生活贫困者在取得官方证件方面面临几种障碍和代价。证件可能十分昂贵，获得证件对于没有固定住址或没有身份证明的人来说十分困难。这种情况在发展中国家十分普遍，这些国家的一些最脆弱和最受排斥的人，特别是妇女和少数族裔出生时并没有进行过登记。获得证件还需要同公共官员进行更多的互动，而这些官员对于生活贫困者的特殊需要的情况往往没有足够的理解。传闻证据显示，社会福利管理者对于受益人常常考虑不周或缺乏同情心，除了官僚主义的障碍外，受益人在满足常常是复杂而不透明的要求时，还必须克服在教育、识字程度和交流方面存在的差距。",
"53. 为了获得政治上的支持和向公众保证只有“有资格”的穷人才领取支助，接受社会福利常常附带了繁琐的条件。例如，中低收入国家的一些有条件的现金转移方案发给户主(一般是妇女)现金，以换取他们承诺做事情，例如让儿童到学校注册和确保他们上学，或是参加保健方案。虽然这些条件鼓励了对人力资本的投资，但也给妇女带来了额外负担，制定方案往往忽略了她们的需要。没有认真的两性平等观点有可能使那些有关传统家庭作用和责任的性别成见长期存在，并导致家庭暴力。[40]",
"54. 在其中一些方案中，不遵守附件条件导致在不遵守的原因未作评估的情况下福利被立即取消。这常常还意味着家庭不能重新申请加入方案，尽管它们有需要，而且不遵守也属于事出有因。",
"55. 附加条件影响了受益人的自主权，加深了那种生活贫困者不能进行负责任的决策的成见。证据显示，如果有充足的资源，贫困家庭也能够在没有附加条件的情况下，在教育和保健方面作相同的投资。[41] 因此，制定和执行附加条件以及监测其执行情况所涉额外行政费用可以更好地用于扩大和支持公共服务上。",
"56. 各国越来越多实行的另一种条件是要求接受失业、单亲父母和残疾人补助的人必须参加就业或培训方案。尽管转让重新就业所需要的技能和知识可能是一项重要目标，但实施这些方案时常常没有保障条件，例如提供儿童保育设施，或者没有考虑到现时劳动力市场的高失业和行业迅速现代化的实际情况等结构性的障碍。方案特别强调“摆脱”福利改为就业，但却没有适当考虑受益人的实际需要，而且常常不为他们提供为获得持续、生产性和体面工作而需要得到的帮助。[42]",
"57. 为确保受益人遵守条件和要求，各国常常对受益人进行深入的盘问和侵犯性调查。社会福利管理者有权就广泛的个人问题对受益人进行盘查，并为寻找欺诈活动的证据对他们的住宅进行搜查。[43] 不论何时提出要求，受益人都必须定期报告和披露大量的信息。在一些国家，受益人甚至必须接受强制性吸毒检查。他们还必须同意让当局对其生活进行审查，盘问他们的朋友、同事和认识的人。[44] 这些国家鼓励受益人相互间进行盘查，并通过匿名渠道向方案管理者报告犯法行为。这些侵入性措施损害了受益人的个人独立，严重干扰了他们的隐私权和家庭生活权，使他们容易收到虐待和骚扰，削弱社区的团结。",
"58. 社会福利系统实行生物鉴别意味着，在一些国家，受益人必须接受面部识别技术、指纹成像和虹膜扫描。[45] 这些办法赋予了国家监测和干预受益人生活的广泛权力和酌处权。获得的信息经常在未经受益人同意的情况下，为了其他的目的提供给其他的当局。[46] 这种做法严重威胁个人数据的保护和查阅和管控人们信息的权利。",
"59. 监视政策常常把受益人当成犯罪分子一样对待，让他们感到有负罪感、焦虑和耻辱。尽管一些控制办法是必要的，但这些办法必须符合合理性和对称性的要求。例如，证据显示，国家在管理社会福利时采取的很多控制和监视办法对于社会福利欺诈行为的普及性而言不成比例。多付社会福利的情况常常是由于国家方面的行政管理错误，而不是受益人的欺诈造成的。[47] 当因受益人的责任发生多付的情况时，更大的可能是因为错误而不是欺诈造成的，当确实发生欺诈行为时，这种行为通常是涉及少量活命钱的临时起意的、低层次的欺诈。但决策者将社会福利欺诈说成是普遍存在的问题，划拨很多资源加以应对。政治言论过分关注社会福利欺诈，而对税务欺诈却不甚重视，其代价就是给国家造成更大的负担，并利用福利欺诈来影响公众对于贫困问题的讨论。[48]",
"60. 社会福利欺诈和不遵守受到公众强烈的谴责，当局也大力追查处置。[49] 一旦确定存在欺诈后，结果可能是通过削减个人福利来偿还欺诈的金额，同时对个人进行刑事诉讼。[50] 当受益人被裁定有犯有欺诈行为时，他(她)便有可能终生不得进入社会福利系统。如果受益人有尚未执行的逮捕令，他们的社会福利有可能被中止，直至逮捕令已完结或给予豁免。这些措施极其严酷，将给与贫困和排斥抗争的人们带来严重的后果，使他们长期处于最初依赖社会福利的那种不利境地。",
"61. 被排除在社会福利帮助之外，给妇女造成的影响尤其严重，她们占了社会福利受益人的多数，通常都担负照料子女和维持家计的主要责任。剥夺妇女获得社会福利的机会将给整个家庭带来影响。此外，妇女继续囿于或重新回到受虐待关系中的可能性越来越大，如果无法获得社会福利，她们或将被迫在其他易受伤害的情况下生活。[51]",
"62. 在其他方面，妇女的私人和家庭生活也受到国家的干扰。特别是国家动辄采取儿童保护措施，给特别是妇女[52] 以及更普遍而言生活贫困者带来全面的影响。研究显示，儿童保护措施与有关家庭的不利处境和被边缘化之间有着明显和一贯的联系。[53] 不能错误地认为贫困就必然忽视儿童。国家常常将贫困家庭的儿童作为儿童保护诉讼的对象，而不是将努力放在解决儿童贫困的根源上。",
"63. 生活贫困者常常要使出浑身解数履行儿童保护的诉讼程序，而在很多国家，这种程序极具侵入性和对抗性。儿童保护措施常常不能向家庭提供有关这一程序的充分信息，而很多国家的儿童保护诉讼程序中没有经批准的免费法律援助。因此，在国家与生活贫困者家庭之间存在着严重的权力不平衡，存在着司法程序有可能导致不必要地终止或限制父母权利或其他有害儿童最高利益的结果的实实在在的危险。",
"64. 尽管儿童有权在安全和养育环境中成长的权利，但他们也有不与亲生父母分离的权利，除非分离符合其最大利益。[54] 儿童保护程序的重点始终应该是儿童的最高利益，而不是对其父母实行惩罚。将父母的忽视或虐待定为犯罪尽管很重要，但并非解决贫困和不利处境的办法。",
"D. 过度和随意使用拘留和监禁",
"65. 由于执法官员经常用“贫困”、“无家可归”或“不利处境”作为犯罪的一种指标，生活贫困者同刑事司法系统打交道的机率极高。他们要在刑事司法系统内施展身手或脱身，也遇到很多的障碍。因此，被捕、被拘留和监禁的最贫穷和最受排斥的人特别多。",
"66. 在发达国家和发展中国家，审前交保获释的限制都越来越严格，越来越不透明，例如，这些条件要求个人必须证明他们同社区的联系，有固定的住址或长期就业，或缴纳现金或交付保证金作为保证。大多数情况下，最贫穷和最受排斥的人无法按这些要求做，因此，审判开始之前他们非常可能被先行拘留。这就大大增加了他们最终被判刑的可能性：这不仅使他们处于脆弱地位，并因此更可能接受不公平的“认罪求情”或承认有罪以便能够尽快获释，而且还导致被拘留者的外观和行为举止受到影响，有损他们与律师联系和获得人品证人的能力，导致他们失去就业或社会住房，从而影响法院作出缓刑或社区服务刑罚的判决。[55]",
"67. 无法获得适当、全面的法律援助，严重威胁生活贫困者的人权。个人在没有适当代表或咨询的情况下被判有罪的可能性更大。在被拘留期间，他们没有可以利用的手段抗议自己权利受到的侵犯，例如不安全或不卫生的条件，身心受到虐待或长期拖延，而且非常可能有人会要求他们行贿，如果他们去行贿，就必然会遇到困难。",
"68. 被拘留和监禁的经济社会代价对于生活贫困者来说可能是非常严重的。被拘留不仅意味着暂时失去收入，而且常常导致失业，特别是当个人是在非正规部门就业的情况下。被冠以有犯罪记录会给寻找就业带来额外的障碍。拘留和监禁，哪怕是因为轻微非暴力犯罪行为，都常常导致社会福利临时或永久地取消，或是让被居留者及其家庭被拒绝获得社会住房的机会。[56]",
"69. 家庭被迫利用其有限的收入，或是变卖资产来支付保释金、法律援助、使用刑事设施内物品和服务的权利(例如食品和使用电话)、或是前往探视被拘留者。子女的教育也常常因其父母被拘留而受到干扰。在这方面，被拘留给被拘留者的整个家庭的财政稳定带来严重影响，有助于让贫困的循环长期下去。",
"70. 拘留和羁押还可能严重影响最贫穷和最受排斥的人的健康，这些人很可能得到最坏的待遇和条件，包括过于拥挤的囚室、不佳卫生设施、疾病大肆传播和不良保健。在一些情况下，监狱人满为患可能严重影响被拘留者，这种条件很可能等同于残忍和不人道的待遇。[57]",
"71. 因此，贫穷和处境脆弱的人在离开居留地时可能在财务、身体和个人方面都处于极其不利的境地。在被释放后，他们的资产业已用尽，就业机会减少，获得社会福利的可能性很小，同社区失去联系，遭受社会的羞辱和排斥，进一步损害他们摆脱贫困的前景。",
"五. 结论和建议",
"72. 贫困是一种错综复杂、多方面的处境，而直接间接地惩罚、分割、控制和破坏生活贫困者的自主权的种种措施又加剧了这种处境，并使之长期存在。这些措施极大影响生活贫困者享有广泛人权自由的能力，加剧和延长了贫困和排斥循环。",
"73. 各国经常以公共安全、健康或安保为理由，试图为通过惩罚措施限制人权的做法辩护。但是，人权法对于限制个人权利的问题提出了严格的要求。对生活贫困者享有人权的任何限制，都必须符合几项保障，所包括的要求有：这些限制必须依法制定，必须是不歧视和相称，并具有正当的目的。各国有责任证明，对生活贫困者所享有的权利施加的限制符合国际人权法。",
"74. 惩罚措施常常是出于偏见和负面的成见，这些偏见和成见无视不利处境和排斥的现实，也看不到生活贫困者每天为克服所面临多重障碍进行的抗争。无家可归者希望有安全、住得起的适当住房，而不希望住在公园或汽车站。那些靠社会福利勉强活着的人希望有安全、经常性、薪酬较好的生产性就业，而不希望受到歧视和总是担心待遇被剥夺。没有人愿意生活在贫困中，因此，不应对生活在贫困中的人进行惩罚。",
"75. 造成对生活贫困者实行惩罚的各项措施，并没有为解决贫困和社会排斥的根源发挥任何作用。这些措施只能加剧生活贫困者面临的多方面匮乏，并给减贫和社会包容制造障碍。因此，这些措施严重破坏各国履行其遵守、保护和履行人权的义务的能力。",
"76. 各国不应因最贫困人的处境而对他们实行惩罚，而应采取积极的措施消除生活贫困者面临的法律、经济、社会和行政方面的障碍，这些障碍妨碍她们获得粮食、住所、就业、教育和保健服务，使他们无法同整个人口一样平等地享有经济、社会和文化权利和成为包容社区的一部分。",
"77. 确保至少满足最低必要水平的经济、社会、文化权利的人权义务，意味着有责任通过确保基本生存实现适当的生活水准，包括提供必要的初级保健护理服务、基本住房和最基本的教育。各国不应将紧缺的资源用于代价颇巨的惩罚措施，而应最大限度地将可用资源用于确保生活贫困者享有所有经济、政治、社会、公民和文化权利。",
"78. 城市转型、私有化、贵族化、美化和重新开发，有可能严重影响生活贫困者的一些权利，加剧排斥和耻辱化。由于生活贫困者正在被这些现象逐步推向城市中心区的边缘，他们获得就业和公共服务的机会以及享有参与文化生活的权利受到威胁。除了其他内容外，住房权是否充足的概念还要求必须考虑到可获得服务和基础设施的机会、可负担性和可获得性等因素。这一概念还要求各国不要采取强行搬迁的行动。",
"79. 公共服务和社会福利在生活贫困者的生活中发挥着必不可少的作用，为他们提供重要的支助和帮助，特别是在经济和社会困难时期。尽管这些福利常常满足不了受益人及其家庭的需求，但也确实为他们提供了应有的重要支助，没有这些支助，他们便不能生存。各国切勿颁布污蔑受益人、将其形象定型和对其进行惩罚的要求和条件。这些措施只能破坏社会福利所提供的重要支助，给生活贫困者制造进一步的障碍。",
"80. 虽然防止欺诈是正当的目的，但社会福利系统中的侵入性监督政策、不透明的附加条件、过分的披露要求和诸多监管等项措施，与这一目的并不相称，且产生于公开和非公开的歧视态度，只能有助于加剧受益人的贫困。",
"81. 监狱拘留、监禁和送教养院的做法对生活贫困者具有广泛和长期的消极影响，各国只有在为满足社会迫切需要的情况下，才能诉诸与此需要相称的剥夺自由的做法。最贫困和最脆弱的个人必须能够平等地利用自由、公平和有效的法院程序，必须能够享有同较富裕的社会阶层一样的人道条件和受尊敬的待遇。",
"82. 在这方面，特别报告员谨提出以下建议：",
"(a) 各国应采取一切必要措施消除对生活贫困者的所有直接或间接歧视。各国切勿通过任何法律、生活贫困者获得享有所有权利、包括经济、社会和文化权利的机会。各国必须对国家立法进行审查，以便评估存在的给生活贫困者造成歧视性影响的情况，并废除或修订具有影响生活贫困者平等享有权利的目的或效果的立法；",
"(b) 为了阻止今后出现歧视，必须通过适用生活贫困者的全面反歧视立法。各国应确保法律和法院所适用的法律禁止各种基于经济和社会地位的歧视；",
"(c) 各国应采取措施保护生活贫困者，使其权利免遭第三方的破坏。为此，各国应：",
"㈠ 开展教育方案和运动，使人民重视生活贫困者在克服自身困境方面面临的多重障碍；",
"㈡ 鼓励媒体避免传播对生活贫困者具有歧视性成见的偏颇报告和耸人听闻的报道。为此，各国应促进新闻伦理和鼓励通过行为守则，停止对生活贫困者、无家可归者、失业人士和社会福利领取者的负面报道；",
"㈢ 确保公共福利的私人提供者以及其他非公共实体不对生活贫困者实行歧视。各国应通过立法措施防止和惩罚私人实体侵犯生活贫困者权利的行为；",
"(d) 各国应创造有利环境，便利生活贫困者参与公众生活和影响他们生活的决定。为此，各国必须查明并解决妨碍脆弱和受排斥群体全面参与决策进程的体制性障碍；",
"(e) 能够获得法律代表极其重要，并从根本上涉及对生活贫困者各种形式的惩罚。各国应确保社会最贫穷阶层能够获得法律援助，不仅是刑事诉讼方面的法律援助，而且能够在特别关系到生活贫困者的问题方面获得法律援助，例如社会福利上诉、驱逐和儿童保护程序。",
"(f) 各国必须确保所有刑事和管制政策符合人权标准，包括平等和不歧视的原则以及无罪推定的原则。具体针对生活贫困者的特殊行为和行动的法律等同于基于经济和社会地位的歧视，应予废除。",
"(g) 各国应重申其义务，确保作为享有适当生活水准权利的一部分人人享有适当住房权。这一权利要求各国必须确保住房的承受能力以及可以获得社会服务和基础设施。各国还不得实行强制搬迁。在搬迁不可避免时，各国应确保进行搬迁时能够尊重受影响人的尊严和生活及安全的权利。[58]",
"(h) 社会福利系统的制定和执行必须符合人权准则，包括生活贫困者的隐私和家庭生活的权利以及参与影响他们的决定的权利。必须对监督政策、附加条件和其他要求进行审查，以确保其不会给生活贫困者施加过分沉重的负担，从而违反人权义务。在收集和处理涉及受益人的信息时，各国应确保遵守国际公认的隐私和保密标准，也不向其他当局传播此种信息，或在未经受益人同意的情况下将信息用于其他目的。",
"(i) 只有在为满足社会迫切需要的情况下，各国才能进行与此需要相称的拘留和监禁。各国必须确保逮捕和拘留不会给生活贫困者带来不成比例的影响。为此，各国应：",
"㈠ 对所有拘留和监禁政策进行审查，以便查明并消除给生活贫困者造成严重影响的歧视性法律和做法。应制定措施确保警察、法院和公共官员根据每个人的情况充分评估拘留和监禁的潜在影响；",
"㈡ 确保保释过程尽最大可能考虑到生活贫困者的经济和社会情况。",
"––––––––––––––",
"[1] 关于会议的更多信息，请见：www.ichrp.org/en/projects/162。",
"[2] E/C.12/2001/10，第8段。",
"[3] 例如，见：《世界人权宣言》第二条；《经济、社会、文化权利国际公约》第二条；《公民及政治权利国际公约》第二和第二十六条；《消除一切形式种族歧视国际公约》第一条；《消除对妇女一切形式歧视公约》第二条；《儿童权利公约》第二条；《残疾人权利公约》第5条。",
"[4] 例如，见：经济、社会、文化权利委员会第18号一般性评论；消除种族歧视委员会第14号一般性评论；Marckx诉比利时一案，欧洲人权法院，第6833/74号上诉，1979年6月13日判决，第33段；美洲人权法院第4号咨询意见，“哥斯达黎加宪法入籍规定的拟议修正案”，1984年1月19日，OC-4/84，第57段。",
"[5] 经济、社会、文化权利委员会第20号一般性评论，第8段。",
"[6] 经济、社会、文化权利委员会第20号一般性评论，第10和第12段；人权委员会第18号一般性评论，第9段；消除种族歧视委员会第14号一般性评论，第1段：消除歧视妇女委员会第28号一般性评论，第16段。",
"[7] 人权委员会在其判例中重申，歧视的理由并非包罗万象，“其他身份”的涵义是没有数量限制的。另见：经济、社会、文化权利委员会，第20号一般性评论，第35段。《美洲人权公约》第一条将经济地位和社会条件明确列为歧视的一种理由。“财产”以及甚至“社会出身”等其他受禁止的歧视理由在解决财产问题方面也可能具有相关性。",
"[8] 《公民及政治权利国际公约》第十八、第十九、第二十一和第二十二条；《经济、社会、文化权利国际公约》第四条；《欧洲社会宪章》第三十一条第一款；《萨尔瓦多议定书》第五条。其他地方已广泛地发展了这些要求的内容。例如，见：“关于《公民及政治权利国际公约》的各项限制条款和可克减条款的锡拉库萨原则”(E/CN.4/1985/4，附件)以及“关于经济、社会和文化权利落实情况的林堡原则”(E/CN.4/1987/17，附件)。",
"[9] 见“锡拉库萨原则”的原则10和16，以及“林堡原则”的原则60(上文注8)。",
"[10] 《经济、社会、文化权利国际公约》第二条第一款。",
"[11] 《世界人权宣言》第二十一条；《公民及政治权利国际公约》第二十五条。",
"[12] 经济、社会、文化权利委员会第14号一般性评论。",
"[13] Antonio Tossi，“无家可归者和公共场所的管制——处罚穷人？”，欧洲无家可归者刊物，第1卷(2007年12月1日)，第226页。",
"[14] 例如，见，1999年《街道安全法》(加拿大安大略)第二节；2004年《街道安全法》(加拿大英属哥伦比亚)第二节，第一款，以及1824年《流浪法》(联合王国)第三节。",
"[15] 1959年《孟买(防止乞讨)法》第二节第一款。",
"[16] 《公民及政治权利国际公约》第二十六条。",
"[17] 例如，在对美国235个城市进行的调查中，33%的城市禁止在公共场所野营，30%的城市禁止在公共场所坐立和躺着。见：无家可归者与贫困问题全国法律中心和全国无家可归者联盟，“要家园不要手铐”，2009年7月。可参阅www.nlchp.org。",
"[18] James Farrell，“快起来，快离开：澳大利亚的警察权利和公共场所”，2011年8月将由公开民主组织出版(www.opendemocracy.org)。",
"[19] 《世界人权宣言》第五条；《经济、社会、文化权利国际公约》第十二条；《公民及政治权利国际公约》第七条；对无家可归者因不得以而在公共场所表演实行惩罚等于是残忍和不人道待遇的论点，已被美国的一些管辖区域接受。见：Pottinger诉迈阿密市，76 F.3d 1154(第11巡回法院，1996年)；Johnson诉达拉斯市，61 F.3d 442(第5巡回法院，1995年)。",
"[20] Mandeep Tiwana和Netsanet Belay，“民间社会：动了真格的取缔行动：2009-2010年全球趋势”，公民社会——公民参与世界联盟，2010年12月。可查阅：wwww.civicus.org。",
"[21] 例如，见：《美国佛罗里达州奥兰多市法规》第18A节第1条。另见：“要家园不要手铐”(上文注17)，第11页。",
"[22] 见：George Lavendar，“帮派禁制令惩罚的是贫穷社区”，《卫报》，2011年2月1日。",
"[23] 例如，一个国家的黑人遇到警察行使“拦截和搜查”权的机会比白人高六倍，亚裔遇到的这种机会比白人高两倍。见：“警察拦截和搜查的权力针对的是少数族裔”，BBC新闻，2010年3月15日。",
"[24] 布达佩斯运输公司，“旅行条款和条件”，可查阅：www.bkv.hu/en/travel_conditions/ terms_ and_conditions_of_travelling。",
"[25] 纽约市(见：Jennifer Lee，“街头贩卖不失为消灭失业的一种途径”，《纽约时报》，2009年4月29日)以及德班(见：Blessing Karumbidza，“惩罚穷人的生计：让非正式经商正规化对德班女商贩和移民商贩的影响”南非社会经济权力研究所，2011年)都属于此种情况。",
"[26] 例如，在泰国(1992年《城市法》和1992年《公共卫生法》的清洁和秩序问题)以及柬埔寨(《公共秩序二级法令》)的一些城市。见：Kyoko Kusakabe，“街头摊贩的政策问题：泰国、柬埔寨和蒙古研究概览”，国际劳工局，2006年。",
"[27] Bosco R. Asiimwe，“尼亚鲁根区将要对向摊贩购物者实行惩罚”，《卢旺达新时报》，2011年8月3日。",
"[28] Kusakabe(上文注26)，第23页。",
"[29] 《经济、社会、文化权利国际公约》第六条。",
"[30] A/HRC/16/L.13/Rev.1，第3段(e)分段。",
"[31] 爱尔兰刑法改革信托基金，“2010年，6 681人因未缴纳罚款被监禁”，2011年2月2日。",
"[32] Ayfer Bartu Candan和Biray Kolluoglu，“新自由主义的新空间：伊斯坦布尔的有门卫的城镇和公共住房项目”，关于土耳其的新观点，第29卷(2008年)，第16页。",
"[33] 见A/HRC/4/18，第21至24段。",
"[34] 《世界人权宣言》第二十七条；《经济、社会、文化权利国际公约》第六、第十一和第十五条；经济、社会和文化权利委员会第7、第18和第21号一般性评论。",
"[35] 关于这些和其他实例，请见A/HRC/13/20，第18和第25至第27段。",
"[36] 在本报告中，“社会福利”一词的使用是代表通过国家福利、社会保障和社会援助制度向个人提供的福利，包括转拨现金、粮食或粮食券；残疾或疾病抚恤金、失业补助、单身父母或儿童津贴、非缴费性社会养恤金、住房补助和教育补助。",
"[37] 《公民及政治权利国际公约》第二十五条。",
"[38] 《世界人权宣言》第十二条；《公民及政治权利国际公约》第十七条。",
"[39] 《世界人权宣言》第二十五条；《经济、社会、文化权利国际公约》第十二条。经济、社会和文化权利委员会第14号一般性评论。",
"[40] 见A/HRC/11/9和A/65/259。",
"[41] Armando Barrientos，“消除贫困方案的条件”，《政策和社会正义刊物》，第19卷，第1册(2011年)，第19页。",
"[42] 《世界人权宣言》第二十三条；《经济、社会和文化权利国际公约》第六条。",
"[43] Falkiner诉安大略(社区和社会服务署)一案(2002年)，59 O.R.(3d) 481(C.A.)，加拿大公民自由协会的事实陈述，第5页。",
"[44] 同上。",
"[45] 例如，印度正在推出“印度独特识别当局”计划，根据这一计划，人们将被分配到同生物识别数据挂钩的独特识别号。见：印度识别当局，“What is Aadhaar?”，可查阅：http://uidai.gov.in/ index.php?option=com_content&view=article&id=57&Itemid=105。",
"[46] 例如，见：Anemona Hartocollis，“城市大型穷人社会福利数据库引起的关切”，《纽约时报》，2011年6月16日。",
"[47] Tamara Walsh和Greg Marston，“澳大利亚福利中多付给的情况、福利欺诈和财政困难”，《社会保障法刊物》，第17卷，第2期(2010年)，第101页。",
"[48] 例如，在一个国家，估计2009/10年社会福利欺诈和错误给国家造成330亿美元的损失，而逃税造成的损失是400亿美元。见：Deborah Padfield，“欺诈和错误：逃税漏税”，2011年7月20日。可查阅：wwww.opendemocracy.net。",
"[49] M.D.R. Evans和J. Kelley，“税务欺骗行为和福利欺诈错了吗？二十九个国家的公众意见“，《澳大利亚社会监测》，第3卷，第4期(2001年)，第93页。",
"[50] Walsh和Marston(上文注47)，第109页。",
"[51] Mary E. Baker，“出现虐待家庭母亲的两难处境：社会支助系统、监护结果和他人行为的责任”，《芝加哥大学法学院圆桌会议》，第2卷(1995年)，第13页。",
"[52] Heather Douglas和Tamara Walsh，“母亲和儿童保护系统”，《法律、政策和家庭国际刊物》，第23卷，第2期(2009年8月)，第211页；Naomi Cahn，“对妇女的监督：道德论点和定罪的难题”，《德保罗法律评论》，第49卷(2000年)，第817页。",
"[53] 在一些国家，接受公共援助的家庭数量可能比接受调查以及子女因儿童虐待罪被从家中带走的其他家庭多四倍。见：Douglas J. Berharov，“儿童虐待的实际情况：重复登记和贫困”，《维吉尼亚社会政策和法律刊物》，第8卷(2000年)，第183-184页。",
"[54] 《儿童权利公约》第九条。",
"[55] E/CN.4/2006/7，第66段。",
"[56] 例如，见：“没有第二次机会：有犯罪记录的人被剥夺入住公共住房的机会”，《人权观察》，2005年11月17日。",
"[57] Brown诉Plata一案，美国最高法院，案件号：09-1233，2011年5月23日(引注暂缺)。",
"[58] 见经济、社会和文化权利委员会第7号一般性评论；《关于出于发展目的的搬迁和迁离问题的基本原则和准则》(A/HRC/4/18)。"
] | [
"Sixty-sixth session",
"* Reissued for technical reasons on 3 October 2011.",
"** A/66/150.",
"Item 69 (b) of the provisional agenda**",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Extreme poverty and human rights",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the Members of the General Assembly the report submitted by Magdalena Sepúlveda Carmona, Special Rapporteur on extreme poverty and human rights, in accordance with resolution 17/13 of the Human Rights Council.",
"Report of the Special Rapporteur on extreme poverty and human rights",
"Summary",
"In the present report, the Special Rapporteur on extreme poverty and human rights analyses several laws, regulations and practices that punish, segregate, control and undermine the autonomy of persons living in poverty. Such measures have been adopted with increasing frequency over the past three decades, intensifying in recent years owing to the economic and financial crises, and now represent a serious threat to the enjoyment of human rights by persons living in poverty.",
"The ways in which States and social forces penalize those living in poverty are interconnected and multidimensional, and cannot be analysed in isolation. For the purpose of this report, the Special Rapporteur identifies the following four areas of concern: (a) laws, regulations and practices which unduly restrict the performance of life-sustaining behaviours in public spaces by persons living in poverty; (b) urban planning regulations and measures related to the gentrification and privatization of public spaces that disproportionately impact persons living in poverty; (c) requirements and conditions imposed on access to public services and social benefits which interfere with the autonomy, privacy and family life of persons living in poverty; and (d) excessive and arbitrary use of detention and incarceration that threatens the liberty and personal security of persons living in poverty.",
"Contents",
"Page\nI.Introduction 4II.The 4 realities of poverty: stigmatization, discrimination, penalization, \nexclusion III.The 6 international human rights \nframework A.Equality 6 and \nnon-discrimination B.Legitimate 7 restrictions on human \nrights C. Right 9 to participate in \ndecision-making D. Privatization 9 and obligations of the \nState IV.Penalization 10 measures that negatively affect the enjoyment of human \nrights A. Laws, 10 regulations and practices that restrict behaviours in public spaces by persons living in \npoverty B. Urban 13 planning regulations and \nmeasures C.Requirements 15 and conditions for access to public services and social \nbenefits D. Excessive 19 and arbitrary use of detention and \nincarceration V.Conclusions 20 and \nrecommendations",
"I. Introduction",
"1. The present report is submitted by the Special Rapporteur on extreme poverty and human rights, Magdalena Sepúlveda Carmona, in accordance with Human Rights Council resolution 17/13. It addresses several laws, regulations and practices, which have become increasingly common in developed and developing countries, that punish, segregate, control and undermine the autonomy of persons living in poverty.",
"2. The report benefits from papers presented and opinions expressed at an international expert meeting hosted by the International Council on Human Rights Policy in Geneva on 17 and 18 March 2011, which brought together human rights experts, academics, civil society and representatives of United Nations entities from all regions, each of whom provided valuable input into the Special Rapporteur’s report.[1]",
"3. The report uses the term “penalization measures” to refer generally to policies, laws and administrative regulations that punish, segregate, control and undermine the autonomy of persons living in poverty. These measures are homogenous neither in their design nor their effect; they vary significantly in their intent and impact across and within regions, States, provinces and municipalities. Some result in the outright criminalization, prosecution and incarceration of persons living in poverty, while others excessively regulate and control various aspects of their lives. Some have punitive effects such as the imposition of heavy fines, loss of child custody, disentitlement from social benefits and infringement on rights to privacy and autonomy. Some measures explicitly target persons living in poverty while others are neutral laws, policies and practices which, though directed at all individuals, have a disproportionate impact on those living in poverty.",
"4. The report analyses some of these measures to demonstrate their impact on the enjoyment of human rights by those living in poverty. The report explains how these measures are the result of deeply entrenched prejudices and stereotypes that have permeated public policies. It emphasizes that the negative impacts of these measures overlap and reinforce one another, exacerbating and perpetuating poverty. The report applies a human rights framework to demonstrate that, while poverty may not in itself be a violation of human rights, often States’ actions or omissions that cause, exacerbate or perpetuate poverty amount to violations of human rights. In this context, penalization measures represent a serious threat to States’ observance of their human rights obligations.",
"II. The realities of poverty: stigmatization, discrimination, penalization, exclusion",
"5. States have long recognized that poverty is a complex human condition characterized by sustained or chronic deprivation of the resources, capabilities, choices, security and power necessary for the enjoyment of an adequate standard of living and other economic, civil, cultural, political and social rights.[2] Poverty is not an autonomous choice, but rather a multifaceted situation from which it may be difficult, if not impossible, to escape without assistance. Persons living in poverty are not to blame for their situation; accordingly, States must not punish or penalize them for it. Rather, States must adopt wide-reaching measures and policies designed to eliminate the conditions that cause, exacerbate or perpetuate poverty, and ensure the realization of all economic, social, cultural, civil and political rights of those living in poverty.",
"6. Penalization policies reflect a serious misunderstanding of the realities of the lives of the poorest and most vulnerable and ignorance of the pervasive discrimination and mutually reinforcing disadvantages that they suffer.",
"7. Penalization measures respond to discriminatory stereotypes that assume that persons living in poverty are lazy, irresponsible, indifferent to their children’s health and education, dishonest, undeserving and even criminal. Persons living in poverty are often portrayed as authors of their own misfortune, who can remedy their situation by simply “trying harder”. These prejudices and stereotypes are often reinforced by biased and sensationalist media reports that particularly target those living in poverty who are victims of multiple forms of discrimination, such as single mothers, ethnic minorities, indigenous people and migrants. Such attitudes are so deeply entrenched that they inform public policies and prevent policymakers from addressing the systemic factors that prevent persons living in poverty from overcoming their situation.",
"8. As a consequence of the discrimination and stigma that they suffer, persons living in poverty often develop fear of and even hostility towards public authorities, and have little confidence in the institutions that should assist them. Too often, they are treated with disrespect or condescension by policymakers, civil servants, social workers, law enforcement officials, teachers and health-care providers, who may fail to recognize and support the efforts that persons living in poverty are making to improve their lives.",
"9. Stigmatization and prejudicial attitudes generate a sense of shame, discouraging persons living in poverty from approaching public officials and seeking the support that they need. Not wishing to expose themselves to even greater social discrimination by accessing services that are stigmatized by society, persons living in poverty may refrain from claiming entitlements such as food vouchers or subsidies, accessing public housing or attending free health clinics. This further segregates and excludes them, strengthening the vicious cycle that perpetuates poverty through generations.",
"10. In every country, developed or developing, historical social divisions and power structures ensure that the poorest and most excluded are at a constant disadvantage in their relations with State authorities. Asymmetries of power mean that persons living in poverty are unable to claim rights or protest their violation. They may face obstacles in communicating with authorities owing to illiteracy, lack of information or language barriers, a situation which is particularly acute for migrants, indigenous peoples, ethnic minorities and persons with disabilities. As a result, they are less likely to know and understand their rights and entitlements or to report infringements and abuses.",
"11. In this respect, women are particularly vulnerable to penalization measures. Due to structural discrimination, women have less representation in structures of power and therefore are disproportionately disadvantaged in their dealings with State authorities and less able to claim their rights. Often penalization measures have a much more onerous impact on women than men, given that women are overrepresented among the poor, have less access to education, employment and economic resources, and assume the principal burden of care and domestic work.",
"12. A significant obstacle in breaking this cycle of penalization and poverty is the inability of persons living in poverty to access legal assistance, as they are unable to afford private legal representation and legal aid is often unavailable or inadequate. Without access to competent, comprehensive legal assistance, the poorest and most excluded are further disadvantaged in their dealings with authorities, not only when they are facing criminal charges, but also with respect to administrative procedures such as child protection cases, benefit fraud matters or eviction and immigration proceedings.",
"13. When persons living in poverty do not have access to legal representation or advice, particularly in circumstances where they are unfamiliar with complex legal language, they are more likely to receive and accept unfair or unequal treatment. There is a higher likelihood that they will be detrimentally affected by corruption or asked to pay bribes, will be detained for longer periods of time and, if facing trial, will be convicted. Even when legal assistance is available, discrimination and linguistic barriers are powerful obstacles in the way of those seeking access to justice and redress.",
"III. The international human rights framework",
"A. Equality and non-discrimination",
"14. Non-discrimination and equality are core elements of the international human rights normative framework.[3] These principles require that those in equal circumstances be treated equally in law and practice. Under human rights law, not every distinction or difference in treatment will amount to discrimination. A distinction is compatible with the principle of equality when it has an objective and reasonable justification; it must pursue a legitimate aim, and there must be a reasonable relationship of proportionality between the means employed and the aim sought.[4] Thus, differential treatment (distinction, exclusion, restriction or preference) of persons living in poverty must comply with the criteria mentioned above in order to be justified under human rights law.",
"15. Moreover, certain forms of preferential treatment, in the form of affirmative actions for the benefit of vulnerable and disadvantaged groups, are not considered discriminatory because they are designed “to diminish or eliminate conditions and attitudes which cause or perpetuate substantive or de facto discrimination”, encouraging an equal enjoyment of rights.[5] Therefore, affirmative actions in favour of persons living in poverty directed towards addressing social and economic imbalances are not only permitted, but are compulsory for States under human rights law. There is discrimination only if a difference in treatment has no legitimate aim or if there is not a reasonable relationship of proportionality between the means employed and the aim to be realized.",
"16. A discriminatory intent is not a necessary element of discrimination.[6] Therefore, any measure with the purpose or effect of nullifying or impairing the equal enjoyment of human rights constitutes a violation of States’ human rights obligations.",
"17. The common element unifying the penalization measures examined in this report is their failure to sufficiently satisfy these criteria. They all directly or indirectly discriminate against persons living in poverty, with the effect of nullifying or impairing the enjoyment or exercise of their human rights and fundamental freedoms.",
"18. Discrimination is prohibited on a number of enumerated grounds, including economic and social status as implied in the phrase “other status”, which is included as a ground of discrimination in the International Covenant on Economic, Social and Cultural Rights and the International Covenant on Civil and Political Rights.[7] Penalization measures target individuals because their income, appearance, speech, address or needs identify them as poor. Thus, such measures clearly constitute discrimination on the basis of economic and social status.",
"B. Legitimate restrictions on human rights",
"19. Human rights law permits States to limit some rights, on the basis that such limitations are justified in the interests of public security, safety or order; public health; or the protection of the rights and freedoms of others. In order for a limitation to be legitimate under human rights law, it must comply with numerous safeguards: it must be “determined by law”, “compatible with the nature of these rights”, “solely for the purposes of promoting general welfare” and “necessary in a",
"democratic society”.[8] Permissible limitations must also comply with general principles of human rights law, and must thus be non-discriminatory, reasonable and proportionate.[9] Compliance with these principles requires, for example, that any restrictive measures must be appropriate means of achieving the aims pursued, and that limitations must not be more severe than is necessary for the attainment of the aim sought.",
"20. Considering that the primary objective of the human rights framework is to protect the rights of individuals rather than permit the imposition of limitations by the State, States have the burden of demonstrating that the restrictions imposed on the exercise of rights by those living in poverty comply with all these criteria and are therefore legitimate, reasonable and proportionate to the aim sought. Restrictions that are not in conformity with these criteria constitute a violation of human rights norms.",
"21. States often draw on the enumerated permissible limitations to justify the adoption of penalization measures. However, in practice, penalization measures are motivated by a combination of factors. Some measures aim to remove any image of poverty, such as the removal of homeless persons and beggars from urban centres, in order to beautify the city and attract investment and development. Other measures are justified as necessary to reach the “deserving poor”, or to satisfy critics of “lenient” social policies and therefore gain political support for an initiative. From a human rights perspective, these justifications require cautious analysis to assess whether or not the penalization measure pursues a legitimate aim under human rights law and is proportionate to that aim. States must not impose more restrictive measures than are required for the achievement of the purpose of the limitation.",
"22. Particular attention should be paid to economic justifications for penalization measures. Economic reasons are not only outside the range of limitations permissible under human rights law, they also contradict the reality that the implementation of penalization measures is extremely costly. Penalization measures necessitate greater numbers of law enforcement and public service staff; increase the number of individuals in the penal and criminal justice systems; and require considerable outlays on administrative monitoring procedures, such as means testing and benefit surveillance.",
"23. In many cases, the cost of employing reactive penalization measures greatly outweighs the costs that would be incurred in addressing the root causes of poverty and exclusion. If resources dedicated to policing, surveillance and detention were instead invested in addressing the causes of poverty and improving access to public services, including social housing, States could drastically improve the lives of persons living in poverty and ensure that the maximum available resources are dedicated to increasing the levels of enjoyment of economic, social and cultural rights.[10]",
"C. Right to participate in decision-making",
"24. Penalization measures are invariably designed and implemented without any meaningful dialogue with persons living in poverty. Their experiences and needs are almost always ignored, and this strengthens their sense of powerlessness. Thus, ensuring the right to effective and meaningful participation in decision-making by persons living in poverty is an essential prerequisite to the elimination of discrimination and poverty.",
"25. A human rights approach to poverty eradication dictates an active, free, informed and meaningful participation of persons living in poverty at all stages of the design, implementation and monitoring of policies affecting them. Genuine participation should not only be understood as an affirmation of the right of every individual and group to take part in the conduct of public affairs,[11] but also as an instrumental part of the solution to poverty and social exclusion. The empowerment of persons living in poverty through participation is also a means to promote social inclusion and to ensure that public policies are designed to meet the particular needs of the poorest segments of society.",
"D. Privatization and the obligations of the State",
"26. There is a clear trend, across developed and developing countries, towards the privatization and outsourcing of some activities traditionally undertaken by the State. While privatization has the potential to decrease costs, increase efficiency, and therefore improve the provision of services, it may also create significant obstacles to access to public services by the poorest and most vulnerable. When States hand over the administration of welfare systems, health systems, housing facilities and detention centres to private entities which are seeking an economic profit and may not be appropriately supervised and controlled by the State, they put at risk the ability of individuals to access necessary services, and create incentives that might have detrimental effects for persons living in poverty. Without mechanisms to ensure accountability and transparency, private entities may prioritize profit over people and are not responsible for their failures.",
"27. States must not consider privatization to be a means by which they can evade their human rights responsibilities. While international human rights law does not restrict the privatization of public services, it nevertheless stipulates that when public services are outsourced to private companies, States remain responsible for ensuring quality, affordability and coverage and have the duty to protect individuals against abuses committed by these companies.[12]",
"IV. Penalization measures that negatively affect the enjoyment of human rights",
"28. This section outlines some examples of the consequences of penalization measures for the enjoyment of a number of human rights, in order to demonstrate how such measures have numerous complex and interlinked ramifications for persons living in poverty.",
"A. Laws, regulations and practices that restrict behaviours in public spaces by persons living in poverty",
"29. Increasingly, States are implementing laws, regulations and practices limiting the behaviour, actions and movements of people in public space, which greatly impede the lives and livelihoods of those living in poverty. These measures vary considerably across and within States, with the common denominator being the penalization of actions and behaviours which are considered “undesirable” or a “nuisance” in public spaces. States justify these measures by classifying the prohibited behaviours as dangerous, conflicting with the demands of public safety or order, disturbing the normal activities for which public spaces are intended, or contrary to the images and preconceptions that authorities want to associate with such places.[13]",
"30. Criminal or regulatory measures (e.g. ordinances) that make vagrancy and begging unlawful are becoming increasingly common across developed and developing countries. These laws take a number of forms, from legislation that prohibits the solicitation of money in any public space to that which prohibits begging at night or in an “aggressive manner”.[14] Some of these laws have a broad application, extending to the performance of any activity which might elicit money, such as performing or dancing, or exposing a wound or a deformity. In some States, it is even illegal for a person just to be in a public place and have no visible means of subsistence, such that it is likely that they stay alive by begging.[15]",
"31. It is obvious that these laws and regulations have a disproportionate impact on persons who live in poverty. When they are unable to access sufficient support and assistance from the State, persons living in poverty may have no other option than to beg in order to stay alive. To punish them for their actions in circumstances where they have no other means of survival is clearly a disproportionately punitive measure.",
"32. Bans on begging and vagrancy represent serious violations of the principles of equality and non-discrimination.[16] Such measures give law enforcement officials wide discretion in their application and increase the vulnerability of persons living in poverty to harassment and violence. They serve only to contribute to the perpetuation of discriminatory societal attitudes towards the poorest and most vulnerable.",
"33. With increasing frequency, States are also penalizing the performance of certain behaviours and actions which are associated with living on the street such as sleeping, sitting, lying, littering, lodging, camping or storing belongings in public spaces; public drunkenness; public urination; or jaywalking.[17] Often these regulations are vaguely worded, allowing law enforcement agencies extensive discretion and enforcement authority, which threatens to violate legal and constitutional safeguards. By making these activities or behaviours illegal, States increase the exposure of persons living in poverty to abuse, harassment, violence, corruption and extortion by both private individuals and law enforcement officials.",
"34. While these regulations are not explicitly addressed towards persons living in poverty, they affect them disproportionately. Owing to their lack of or limited access to housing, persons living in poverty rely more heavily on public spaces for their daily activities. Thus, individuals who have no choice but to live on the street find that daily life-sustaining activities can put them in danger of criminal sanctions. Although these types of measures are ostensibly neutral, studies show that authorities target those living in poverty, particularly homeless persons.[18] This disproportionate application clearly violates the obligation to ensure equality and non-discrimination in the implementation of all laws and policies.",
"35. Often the underlying motivation of these measures is to reduce the visibility of poverty in the city and attract investments, development and (non-poor) citizens to the city centres. These aims are not legitimate under human rights law and they do not justify the severe sanctions that are often imposed through these regulations.",
"36. These laws are being implemented in a context in which the economic and financial crises have resulted in an unprecedented increase in foreclosures and evictions, forcing a growing number of families to live on the streets. Instead of using public funds to assist these families, States are instead carrying out costly operations to penalize them for their behaviour. Where there is insufficient public infrastructure and services to provide families with alternative places to perform such behaviours, persons living in poverty and homelessness are left with no viable place to sleep, sit, eat or drink. These measures can thus have serious adverse physical and psychological effects on persons living in poverty, undermining their right to an adequate standard of physical and mental health and even amounting to cruel, inhuman or degrading treatment.[19]",
"37. In several countries, the negative impact of these regulations is further exacerbated by laws which make illegal actions to assist those living in the street. In several States, specific legislation limits the actions of civil society organizations[20] or bans the provision of assistance in certain circumstances. For example, in some municipalities, it is illegal to share food with groups of people in downtown parks without a permit, creating a barrier for charities and other organizations that provide food to homeless persons.[21] The criminalization of advocates, activists and civil society organizations violates several human rights such as the freedom of association, expression and assembly, and undermines social cohesion.",
"38. Persons living in poverty are also disproportionately subjected to police powers to impose anti-social behaviour and move-on orders, and public safety laws allowing police to “stop and search” individuals. These measures are often wide-reaching and subject to considerable discretion on the part of police officers, who make subjective judgements that do not need to meet a high burden of proof.[22] Overwhelmingly, these regulations are targeted at the marginalized and most vulnerable and the areas and communities in which they live. Of persons living in poverty, those subject to multiple forms of discrimination are even more frequently targeted.[23] These measures respond to and reinforce discriminatory attitudes about the likelihood of persons living in poverty partaking in criminal activity, and perpetuate the stigmatization of poverty. For example, in one country, rules for the use of the capital city metro allow police to remove people who are disturbing other passengers by, inter alia, wearing “filthy clothing”.[24]",
"39. Of particular concern are penalization measures that target those who seek to gain a living through street vending. In many States, street vending is severely restricted[25] or illegal,[26] as is buying from a street vendor.[27] Research shows that street vendors turn to vending because they have no other form of income, have low levels of education and lack employment opportunities.[28] Street vending is a means for the poorest and most vulnerable to earn money to support their families and their livelihoods. When States impose bans, onerous licences or strict restrictions on street vendors, they severely undermine the rights of persons living in poverty to gain a living.[29]",
"40. While States can adopt reasonable regulations, law enforcement officials are often given wide discretion to determine zones, days and times when street vending activities are banned or restricted. This makes street vendors more vulnerable to abuse by law enforcement officials, private individuals or gangs. As a result, they often suffer from threats to their life and physical integrity, as well as from bribery, extortion and unlawful seizures of their wares.",
"41. When street vendors are harassed or bribed or their wares are destroyed, deep structural inequalities and power imbalances, communication and information barriers and a lack of access to legal representation make it nearly impossible for them to complain to police. In countries where street vending is illegal, individuals are too afraid to report mistreatment or harm to police for fear of being criminalized themselves. This is particularly acute with respect to street vendors who are members of vulnerable groups which face widespread discrimination and have historically had negative relationships with police and authorities, such as women, migrants and ethnic minorities.",
"42. Children who live or work on the street are particularly vulnerable to penalization measures. Street children lead lives defined by abuse, violence and fear, but because they are stigmatized as criminal or illegitimate they have little recourse to help or redress. Children on the street are exploited, trafficked, forced to perform hazardous work and recruited by armed forces and armed groups, and do not seek the assistance of authorities for fear of further penalization or abuse. In many cases children living in poverty are not registered at birth and as such cannot access basic services including primary education. With nowhere else to turn, they must undertake activities such as street vending, begging or panhandling in order to survive.[30] When these actions are made illegal, they are further forced into dangerous and abusive situations.",
"43. Absurdly, regulations that penalize behaviours associated with poverty and homelessness often impose fines that persons living in poverty are unable to pay. The illogical outcome of failure to pay a fine is often the imposition of a further fine, or even a prison sentence. In one country, for example, thousands were imprisoned in a single year because of non-payment of court-ordered fines.[31] The imposition of prison sentences for non-payment of fines on those unable to pay not only represents a considerable waste of State financial and administrative resources, but contributes significantly to perpetuating the social exclusion and economic hardship of persons living in poverty.",
"B. Urban planning regulations and measures",
"44. In several countries, the transformation of cities through gentrification policies, the privatization of social housing, redevelopment and adoption of zoning laws have had the effect of forcing persons living in poverty to move away from inner-city urban areas, affecting their enjoyment of not only their right to adequate housing, but a wide range of rights.",
"45. As a means of making cities more “secure” and attractive to investors, developers and more affluent segments of societies, States are increasingly using zoning laws to preference land use which excludes the poorest and most vulnerable, such as gated communities, luxury or high-cost housing, and large sports infrastructure. Authorities are carrying out demolitions of entire neighbourhoods and removing residents for the purpose of “rehabilitating”, “renewing” and “preserving” the “historical and cultural heritage” of the city,[32] or to make room for development and infrastructure projects.[33] As a result, these areas become too costly for persons living in poverty to return to, and they are relegated to housing in cheaper, less accessible, badly serviced and geographically remote neighbourhoods. In many cases, persons living in poverty are forcibly evicted without notice, are subject to violence and have their belongings damaged or destroyed. Persons living in poverty are rarely able to access redress and remedies after having been evicted, and are deprived of compensation, restitution and resettlement.",
"46. These policies not only severely impact the inclusiveness and diversity of cities, and increase the segregation and social exclusion of those living in poverty, but also represent serious obstacles to the enjoyment of rights to adequate housing, to work, to an adequate standard of living and to take part in cultural life.[34]",
"47. When they are moved away from urban centres, persons living in poverty become geographically remote from jobs, markets, education and health centres. This is turn restricts their access to city centres, public services and economic resources, and increases their opportunity and transportation costs, creating further barriers to gaining employment. Being distant from city centres also implies exclusion from the facilities and cultural life of urban areas, which further contributes to the feeling of isolation and exclusion that persons living in poverty experience.",
"48. The segregation of the poor from public spaces is further exacerbated by large-scale State and privatized infrastructure projects, particularly those connected with mega-events such as the Olympic Games or football World Cups. During such events, authorities often remove persons living in poverty from urban areas and relocate them in outlying suburbs, often by force, without ensuring alternative housing or access to remedies and compensation, in flagrant violation of their right to adequate housing. For example, in Seoul, preparations for the 2002 football World Cup included the banning of homeless persons from specified places in the city, and during the Olympic Games in 1988 homeless persons were detained in facilities outside the city. Action was also taken to remove or criminalize homeless persons during the Barcelona and Atlanta Olympic Games.[35] The practical effect of such initiatives is to completely displace the poorest and most marginalized and to replace them with infrastructure for which they have no need and which they cannot access, such as hotels, sporting venues and office buildings.",
"C. Requirements and conditions for access to public services and social benefits",
"49. It is becoming increasingly common for States to impose strict requirements and conditions on access to public services and social benefits.[36] To justify these measures, States point to the need to make efficient use of public resources, improve the accuracy of targeting, avoid dependency, eliminate disincentives to work and deter abuse of the system. While these may be valid concerns, the impact of these measures is often completely disproportionate to the aim they seek to achieve. By imposing excessive requirements and conditions on access to services and benefits, and severe sanctions for non-compliance, States punish, humiliate and undermine the autonomy of persons living in poverty, exacerbating the challenges they face in overcoming their situation. Moreover, beneficiaries are kept in a state of uncertainty about their future and are unable to plan for the long term.",
"50. Support for these measures is not based on strong evidence of their effectiveness and economic efficiency, but rather on discriminatory stigmas and stereotypes, perpetuated by the media, that portray recipients of social benefits as lazy, dishonest and untrustworthy. Requirements and conditions are often underpinned by strong paternalistic attitudes; policymakers believe that they are acting in the best interests of persons living in poverty, who cannot be trusted to make decisions for themselves and their families.",
"51. These measures not only undermine beneficiaries’ autonomy and prevent them from making their own choices, they also threaten their enjoyment of a number of human rights, including the right to participate in the decisions that directly affect them[37] and to be free from arbitrary or unlawful State interference in their privacy, family, home or correspondence.[38] Considering that non-compliance with excessive conditions and requirements results in exclusion from social benefits, those entitled to benefits live in constant anxiety and fear that their benefits will be withdrawn and, with them, their primary means of survival. The cumulative impact of living in such circumstances threatens the beneficiaries’ right to enjoy the highest attainable standard of physical and mental health.[39]",
"52. In many countries, those entitled to social benefits are required to prove their entitlement by providing excessive amounts of documentation and disclosing irrelevant personal information. This is often a stressful and demeaning process for beneficiaries. Persons living in poverty face several obstacles and costs in gaining access to official documents. Documents may be expensive, and accessing them difficult for individuals who do not have a fixed address or lack proof of identity. This is particularly common in developing countries, where some of the most vulnerable and excluded people, particularly women and ethnic minorities, are not registered at birth. Obtaining documents also requires additional interactions with public officials who often lack sufficient understanding of the specific needs and circumstances of persons living in poverty. Anecdotal evidence shows that social benefit administrators are often inconsiderate or unsympathetic towards beneficiaries, who in addition to bureaucratic hurdles must overcome gaps in education, literacy and communication when seeking to comply with often complex and opaque requirements.",
"53. Onerous conditions are often attached to the receipt of social benefits in order to gain political support and assure the public that only the “deserving” poor are receiving support. For example, some conditional cash transfer programmes in low- and middle-income countries pay cash to heads of households (generally women) in exchange for their commitment to do something in return, such as enrolling children in school and ensuring their attendance, or participating in health programmes. Although these conditions do encourage investment in human capital, they also impose additional burdens on women, whose needs are often ignored in designing the programme. The lack of a serious gender approach may perpetuate gender stereotypes about traditional household roles and responsibilities, and trigger domestic violence. [40]",
"54. In some of these programmes, non-compliance with conditionalities results in the immediate cancellation of benefits, without first assessing the reasons for non‑compliance. Often, this also means that the family cannot reapply to the programme, notwithstanding its needs and the reasons behind its failure to comply.",
"55. Conditionalities undermine the autonomy of beneficiaries and reinforce the stereotype that persons living in poverty are incapable of responsible decision-making. Evidence shows that with sufficient resources, poor households would make the same investments in education and health in the absence of conditionalities.[41] Thus, the additional administrative costs involved in designing, implementing and monitoring compliance with conditionalities would be better invested in extending and supporting public services.",
"56. Another condition that is increasingly being adopted by States is the requirement that those who receive unemployment, single parent or disability benefits participate in employment or training programmes. While transferring skills and knowledge required for reintegration into the workforce may be an important objective, often these programmes are implemented in the absence of enabling conditions, such as the provision of childcare facilities, or without consideration of structural barriers such as the realities of the current labour market, characterized by high unemployment and rapidly modernizing industries. Programmes place a heavy emphasis on “graduation” from benefits to employment, without giving due consideration to the actual needs of the beneficiaries and often without providing them with the assistance they need to obtain sustainable, productive and decent work.[42]",
"57. To ensure that beneficiaries comply with conditions and requirements, States often subject them to intensive examinations and intrusive investigations. Social benefit administrators are empowered to interrogate beneficiaries about a wide range of personal issues and to search their homes for evidence of fraudulent activity.[43] Beneficiaries are required to report regularly and disclose excessive amounts of information whenever it is demanded of them. In some countries, they must even submit to mandatory screening for drug use. They must also give their consent to authorities to scrutinize every aspect of their lives and to question their friends, colleagues and acquaintances.[44] Beneficiaries are encouraged to watch each other and report abuses to programme administrators through anonymous channels. These intrusive measures undermine beneficiaries’ personal independence, seriously interfere in their right to privacy and family life, make them vulnerable to abuse and harassment, and weaken community solidarity.",
"58. The introduction of biometrics to social benefits systems means that in some States, beneficiaries must submit to facial recognition technology, finger imaging and iris scans.[45] These mechanisms give States extensive power and discretion to monitor and interfere in the lives of beneficiaries. The information obtained is frequently made accessible to other authorities for purposes other than those for which it was given, without beneficiaries’ consent.[46] Such practices seriously threaten the protection of personal data and the right to access and control one’s personal information.",
"59. Surveillance policies often treat beneficiaries like criminals and make them feel guilty, anxious and ashamed. While some mechanisms of control are necessary, they must comply with the requirements of reasonableness and proportionality. For example, evidence shows that the range of control and surveillance mechanisms employed by States in administering social benefits is clearly disproportionate to the prevalence of social benefit fraud. The overpayment of social benefits is often caused by administrative errors on the part of the State, rather than fraud by the beneficiary.[47] Where beneficiaries are responsible for overpayment, it is far more likely to be due to error than to fraud, and when fraud does occur, is it usually opportunistic, low-level fraud with respect to small, subsistence amounts of money. However, policymakers represent social benefit fraud to be a pervasive problem, channelling considerable resources to combat it. Political rhetoric disproportionately focuses on social benefit fraud over taxation fraud, the cost of which is a far greater burden on the State, and use instances of benefit fraud to influence the public discourse on poverty.[48]",
"60. Social benefit fraud and non-compliance are strongly condemned by the public and rigorously pursued by authorities.[49] Where fraud is established, it can result in the reduction of the individual’s benefit to cover repayment of the defrauded amount, and the commencement of criminal proceedings against the individual.[50] When a beneficiary is convicted of fraud he or she may face a lifetime ban from the social benefit system. If beneficiaries have outstanding warrants they may have their social benefit cut off until the warrant is resolved or they are granted an exemption. These measures are extremely harsh and will have grave consequences for people already struggling with poverty and exclusion, perpetrating the disadvantage which induces them to rely on social benefits to begin with.",
"61. Being excluded from social benefit assistance has an especially harsh effect on women, who make up the majority of social benefit beneficiaries, and who generally hold primary responsibility for the care of children and maintenance of the household. If women are denied access to social benefits, it will generally have implications for the whole family. Furthermore, there is an increased likelihood that women will remain in or return to abusive relationships, or be forced to live in other vulnerable situations, if they are unable to access social benefits.[51]",
"62. Women are also exposed to State interference in their private and family lives in other respects. In particular, States’ ever-increasing preference for child protection interventions overwhelmingly affects poor women specifically,[52] and persons living in poverty more generally. Research shows a clear and consistent link between child protection intervention and the disadvantage and marginalization of the families involved.[53] Poverty must not be mistaken for child neglect. Often States disproportionately target children in poor families for child protection proceedings instead of channelling their efforts towards addressing the root causes of child poverty.",
"63. Persons living in poverty will often struggle to navigate the child protection process, which in many countries is an extremely intrusive, adversarial process. Child protection interventions often fail to provide families with sufficient information about the process, and in many countries there is no mandated free legal aid in child protection proceedings. As a result, there is a serious power imbalance between the State and families living in poverty, and a real risk that the judicial process may lead to unnecessary termination or limitation of parental rights or to other results detrimental to the child’s best interests.",
"64. Although children have the right to grow up in a safe and nurturing environment, they also have the right not to be separated from their biological parents, unless such separation is in their best interests.[54] The focus of child protection proceedings should always be the best interests of the child, and not the penalization of their parents. Criminalization of parental neglect and abuse, while important, does not provide a meaningful solution to poverty and disadvantage.",
"D. Excessive and arbitrary use of detention and incarceration",
"65. Because law enforcement officials often use “poverty”, “homelessness” or “disadvantage” as an indicator of criminality, persons living in poverty come into contact with the criminal justice system with a disproportionately high frequency. They also encounter considerable obstacles manoeuvring within or exiting the system. As a result, disproportionately high numbers of the poorest and most excluded are arrested, detained and imprisoned.",
"66. Across developing and developed countries, release on bail pending trial is subject to increasingly stringent and onerous conditions which require individuals to, for example, demonstrate their connections with the community, have a fixed address or permanent employment, report regularly to police or make a cash deposit or post a bond as guarantee. These requirements are impossible for the poorest and most marginalized to meet in the vast majority of cases and, as a result, they are more likely to remain in detention pending a trial. This dramatically increases the likelihood that they will ultimately be convicted: not only does it put them in a vulnerable position whereby they will be more inclined to accept unfair “plea deals” or to make admissions of guilt in order to secure a swifter release, it contributes to the deterioration of the detainees’ appearance and demeanour, impedes their ability to liaise with lawyers or obtain character witnesses and causes them to lose their employment or social housing, thereby creating a disincentive for the court to give a suspended or community service sentence.[55]",
"67. The inability to access competent, comprehensive legal assistance presents a serious threat to the human rights of persons living in poverty. Without adequate representation or advice individuals are more likely to be convicted. While in detention they have no accessible means of protesting infringements of their rights, such as unsafe or unsanitary conditions, physical or mental abuse or lengthy delays, and there is a higher likelihood that they will be requested to pay bribes, which they will experience difficulties in paying.",
"68. The economic and social costs of detention and incarceration can be devastating for persons living in poverty. Detention not only means a temporary loss of income, but also often leads to the loss of employment, particularly where individuals are employed in the informal sector. The imposition of a criminal record creates an additional obstacle to finding employment. Detention and incarceration, even for minor non-violent offences, will often result in the temporary or permanent withdrawal of social benefits or the denial of access to social housing, for both the detainee and his or her family.[56]",
"69. Families are forced to use their limited income or sell assets to pay for bail, legal assistance, access to goods and services within penal facilities (e.g. food or telephone usage), or travel to visit the detainee. Children’s education is also often disrupted when their parents are detained. In this context, detention represents a serious threat to the financial stability of the detainee’s whole family and serves to perpetuate the cycle of poverty.",
"70. Detention and incarceration can also have serious health implications for the poorest and most vulnerable, who are likely to be subject to the worst treatment and conditions, including overcrowded cells, inadequate hygiene facilities, rampant disease transmission and inadequate health care. In some cases, overcrowding in prisons can have such a severe effect on detainees that the conditions may even amount to a form of cruel and inhuman treatment.[57]",
"71. Those who are poor and vulnerable are therefore likely to leave detention disproportionately disadvantaged financially, physically and personally. After their release they will have depleted assets, reduced employment opportunities, limited access to social benefits and severed community ties and family relationships, and will be subject to added social stigmatization and exclusion, diminishing even further their prospects of escaping poverty.",
"V. Conclusions and recommendations",
"72. Poverty is a complex, multifaceted condition, which is only exacerbated and perpetuated by measures that directly or indirectly punish, segregate, control and undermine the autonomy of persons living in poverty. Such measures greatly impair the ability of persons living in poverty to enjoy a wide range of human rights and freedoms, deepening and prolonging the cycle of poverty and exclusion.",
"73. Often, States invoke grounds of public safety, health or security in an attempt to justify the restriction of human rights through penalization measures. However, human rights law establishes strict requirements for the imposition of limitations on individual rights. Any restriction on the enjoyment of human rights by those living in poverty must comply with several safeguards, including requirements that they be legally established, non‑discriminatory and proportionate, and have a legitimate aim. The burden falls upon States to prove that a limitation imposed upon the enjoyment of rights by those living in poverty is in conformity with international human rights law.",
"74. Penalization measures are often motivated by prejudices and negative stereotypes that ignore the realities of disadvantage and exclusion and fail to recognize the daily struggle of persons living in poverty to overcome the multiple obstacles they face. Poverty is not a lifestyle choice. Homeless persons would prefer safe, affordable, adequate housing to public parks and bus stations. Those struggling to survive on social benefits would rather have secure, regular, well-paying, productive employment than be subject to discrimination and live in constant fear that their entitlements will be taken away. One does not choose to live in poverty, and therefore should not be punished for that situation.",
"75. Measures that result in the penalization of those living in poverty do nothing to tackle the root causes of poverty and social exclusion. They serve only to entrench further the multiple deprivations faced by those living in poverty and create barriers to poverty reduction and social inclusion. Consequently, they greatly undermine the ability of States to comply with their obligations to respect, protect and fulfil human rights.",
"76. Rather than penalizing the poorest for their situation, States must take positive measures to bring down the legal, economic, social and administrative barriers that persons living in poverty face in gaining access to food, shelter, employment, education and health services, and which prevent them from enjoying their economic, social and cultural rights on an equal footing with the rest of the population and as part of an inclusive community.",
"77. The human rights obligation to ensure the satisfaction of, at the very least, minimum essential levels of all economic, social and cultural rights implies a responsibility to secure an adequate standard of living through basic subsistence, including by providing essential primary health care, basic shelter and housing and basic forms of education. Instead of dedicating scarce resources to costly penalization measures, States must direct the maximum available resources towards ensuring that persons living in poverty are able to enjoy all economic, political, social, civil and cultural rights.",
"78. Urban transformation, privatization, gentrification, beautification and redevelopment can seriously undermine several rights of those living in poverty and contribute to exclusion and stigmatization. As persons living in poverty are gradually pushed to the fringes of urban centres by these phenomena, their ability to access employment and public services and enjoy the right to participate in cultural life is threatened. The concept of adequacy in relation to the right to housing requires, among other elements, that factors such as the availability of services and infrastructure, affordability and accessibility be taken into account. It also requires States to refrain from forced evictions.",
"79. Public services and social benefits play an integral role in the lives of persons living in poverty, offering important support and assistance, particularly during times of economic and social hardship. While often these benefits are not sufficient to cover the needs of the beneficiaries and their families, they do provide an important form of support to which they are entitled, and without which they would not survive. States must refrain from imposing requirements and conditionalities that stigmatize, stereotype and penalize beneficiaries. Such measures only undermine the essential support that social benefits provide and create further obstacles for persons living in poverty.",
"80. While preventing fraud is a legitimate aim, measures such as invasive surveillance policies, onerous conditionalities, excessive disclosure requirements and extensive policing in social benefit systems are disproportionate to their aim, stem from overt and covert discriminatory attitudes and practices, and only serve to reinforce the poverty experienced by beneficiaries.",
"81. Considering that detention, incarceration and institutionalization have such extensive and long-lasting negative effects on persons living in poverty, States must only have recourse to deprivation of liberty insofar as it is necessary to meet a pressing societal need, and in a manner proportionate to that need. The poorest and most vulnerable individuals in detention must have equal access to free, fair and efficient court procedures, and must enjoy the same rights to humane conditions and respectful treatment as more affluent segments of society.",
"82. In this context, the Special Rapporteur wishes to present the following recommendations:",
"(a) States shall take all necessary measures to eliminate all direct and indirect discrimination against persons living in poverty. States must refrain from adopting any law, regulation or practice denying or limiting the access of persons living in poverty to the enjoyment of all their rights, including economic, social and cultural rights. States must review national legislation in order to assess the existence of any discriminatory impact on those living in poverty and shall repeal or amend legislation that has the purpose or effect of impairing the equal enjoyment of rights by those living in poverty;",
"(b) In order to deter future discrimination, comprehensive anti‑discrimination legislation in relation to persons living in poverty must be adopted. States shall ensure that discrimination on the basis of economic and social status is prohibited by law and the law applied by courts;",
"(c) States shall take special measures to protect those living in poverty from the violation of their rights by third parties. To this end, States shall:",
"(i) Carry out educational programmes and campaigns to sensitize the population to the multiple obstacles that persons living in poverty face in overcoming their situation;",
"(ii) Encourage the media to avoid biased reports and sensationalist coverage that perpetuates discriminatory stereotypes against persons living in poverty. To this end, States should promote ethical journalism and encourage the adoption of codes of conduct to end the negative portrayal of persons living in poverty, homeless persons, unemployed persons and social benefit recipients;",
"(iii) Ensure that private suppliers of public services, and other non-public entities, do not discriminate against those living in poverty. States shall adopt legislative measures to prevent and punish violations of the rights of persons living in poverty by private entities;",
"(d) States shall create an enabling environment to facilitate the participation of persons living in poverty in public life and in the decisions affecting their lives. To this end, States must identify and address the institutional impediments which prevent vulnerable and marginalized groups from fully participating in decision-making processes;",
"(e) Access to legal representation is of utmost importance and underpins all forms of penalization of persons living in poverty. States shall ensure quality legal aid for the poorest segments of society, not only for criminal proceedings but also with respect to issues which are particularly relevant for persons living in poverty, such as social benefit appeals, eviction and child protection procedures;",
"(f) States must ensure that all criminal and regulatory policies comply with human rights standards, including the principles of equality and non‑discrimination and the presumption of innocence. Laws which specifically target the particular behaviours and actions of persons living in poverty amount to discrimination on the basis of economic and social status, and shall be repealed;",
"(g) States shall recall their obligations to ensure that everyone has the right to adequate housing as a component of the right to an adequate standard of living. This right requires States to ensure the affordability of housing and its accessibility to social services and infrastructure. They must also refrain from carrying out forced evictions. Where evictions are unavoidable, States shall ensure that they are conducted in a manner which respects the dignity and rights to life and security of those affected;[58]",
"(h) The design and implementation of social benefit systems must comply with human rights norms, including the rights of persons living in poverty to privacy and family life and to take part in the decisions that affect them. Surveillance policies, conditionalities and other requirements must be reviewed to ensure that they do not violate human rights obligations by imposing a disproportionate burden on those living in poverty. When collecting and processing information pertaining to beneficiaries, States shall ensure that they observe internationally accepted standards of privacy and confidentiality, and shall not disseminate such information to other authorities or use it for other purposes without the consent of the beneficiary;",
"(i) States must only have recourse to detention and incarceration when it is necessary to meet a pressing societal need, and in a manner proportionate to that need. States must ensure that arrest or detention does not disproportionately affect those living in poverty. To this end, States shall:",
"(i) Review all detention and incarceration policies and legislation, in order to identify and remove discriminatory laws and practices which disproportionately disadvantage persons living in poverty. Measures should be put in place to enable police, courts and public officials to adequately assess the potential effects of detention or incarceration in the light of each individual’s circumstances;",
"(ii) Ensure that to the greatest possible extent, bail processes take into account the economic and societal circumstances of persons living in poverty.",
"[1] For more information about the meeting, please see www.ichrp.org/en/projects/162.",
"[2] E/C.12/2001/10, para. 8.",
"[3] See, for example, Universal Declaration of Human Rights, art. 2; International Covenant on Economic, Social and Cultural Rights, art. 2; International Covenant on Civil and Political Rights, arts. 2 and 26; International Convention on the Elimination of All Forms of Racial Discrimination, art. 1, Convention on the Elimination of All Forms of Discrimination against Women, art. 2; Convention on the Rights of the Child, art. 2; Convention on the Rights of Persons with Disabilities, art. 5.",
"[4] See, for example, Committee on Economic, Social and Cultural Rights, general comment No. 20; Human Rights Committee, general comment No. 18; Committee for the Elimination of Racial Discrimination, general recommendation No. 14; Marckx v. Belgium, European Court of Human Rights, Application No. 6833/74, Judgement of 13 June 1979, para. 33; Inter-American Court of Human Rights, Advisory Opinion No. 4, “Proposed amendments to the naturalization provisions of the Constitution of Costa Rica”, OC-4/84 of 19 January 1984, para. 57.",
"[5] Committee on Economic, Social and Cultural Rights, general comment No. 20, para. 8.",
"[6] Committee on Economic, Social and Cultural Rights, general comment No. 20, paras. 10 and 12; Human Rights Committee, general comment No. 18, para. 9; Committee on the Elimination of Racial Discrimination, general recommendation No. 14, para. 1; Committee on the Elimination of Discrimination against Women, general recommendation No. 28, para. 16.",
"[7] In its jurisprudence, the Human Rights Committee has reiterated that the grounds for discrimination are not exhaustive and that “other status” has an open-ended meaning. See also Committee on Economic, Social and Cultural Rights, general comment No. 20, para. 35. Economic status and social condition are explicitly included as grounds of discrimination in article 1 of the American Convention on Human Rights. Other prohibited grounds for discrimination such as “property” and even “social origin” may also be relevant in addressing issues of poverty.",
"[8] International Covenant on Civil and Political Rights, arts. 18, 19, 21 and 22; International Covenant on Economic, Social and Cultural Rights, art. 4; European Social Charter, art. 31.1; Protocol of San Salvador, art. 5. The content of these requirements has been developed extensively elsewhere. See, for example, the Siracusa Principles on the Limitation and Derogation Provisions in the International Covenant on Civil and Political Rights (E/CN.4/1985/4, annex) and the Limburg Principles on the Implementation of the International Covenant on Economic, Social and Cultural Rights (E/CN.4/1987/17, annex).",
"[9] See principles 10 and 16 of the Siracusa Principles and principle 60 of the Limburg Principles (note 8 above).",
"[10] International Covenant on Economic, Social and Cultural Rights, art. 2(1).",
"[11] Universal Declaration of Human Rights, art. 21; International Covenant on Civil and Political Rights, art. 25.",
"[12] Committee on Economic, Social and Cultural Rights, general comment No. 14.",
"[13] Antonio Tossi, “Homelessness and the control of public space: criminalising the poor?”, European Journal of Homelessness, vol. 1 (December 2007), p. 226.",
"[14] See, for example, section 2, Safe Streets Act 1999 (Ontario, Canada); section 2(1), Safe Streets Act 2004 (British Columbia, Canada) and section 3, Vagrancy Act 1824 (United Kingdom).",
"[15] Section 2(1), Bombay (Prevention of Begging) Act 1959.",
"[16] International Covenant on Civil and Political Rights, art. 26.",
"[17] For example, of 235 United States municipalities surveyed, 33 per cent prohibited camping and 30 per cent prohibited sitting or lying in certain public places. See National Law Center on Homelessness and Poverty and National Coalition for the Homeless, “Homes not handcuffs”, July 2009. Available from www.nlchp.org.",
"[18] James Farrell, “Moving on, moving out: police powers and public spaces in Australia”, to be published in August 2011 by openDemocracy (www.opendemocracy.net).",
"[19] Universal Declaration of Human Rights, art. 5; International Covenant on Economic, Social and Cultural Rights, art. 12; International Covenant on Civil and Political Rights, art. 7. The argument that the punishment of homeless people for behaviours that they have no choice but to perform in public may amount to cruel and inhuman treatment has been accepted in a number of United States jurisdictions. See Pottinger v. City of Miami 76 F.3d 1154 (11th Cir. 1996); Johnson v. City of Dallas 61 F.3d 442 (5th Cir. 1995).",
"[20] Mandeep Tiwana and Netsanet Belay, “Civil society: the clampdown is real — global trends 2009-2010”, Civicus World Alliance for Citizen Participation, December 2010. Available from www.civicus.org.",
"[21] See, for example, section 18A.01 of the Code of the City of Orlando, Florida, United States. See also “Homes not handcuffs” (note 17 above), p. 11.",
"[22] See George Lavendar, “Gang injunctions just criminalize poor communities”, The Guardian, 1 February 2011.",
"[23] For example, black individuals in one country are six times more likely, and Asian individuals twice as likely, to be subject to police “stop and search” powers than white individuals. See “Police stop and search powers ‘target minorities’”, BBC News, 15 March 2010.",
"[24] Budapest Transport Company (BKV Zrt), “Terms and conditions of travelling”, available at www.bkv.hu/en/travel_conditions/terms_and_conditions_of_travelling.",
"[25] This is the case, for example, in New York City (see Jennifer Lee, “Street vending as a way to ease joblessness”, The New York Times, 29 April 2009) and Durban (see Blessing Karumbidza, “Criminalizing the livelihoods of the poor: the impact of formalising informal trading on female and migrant traders in Durban”, Socio-economic Rights Institute of South Africa, 2011).",
"[26] For example, in some municipalities in Thailand (Cleanliness and Order of the City Act 1992 and Public Health Act 1992) and Cambodia (Sub-decree on Public Order). See Kyoko Kusakabe, “Policy issues on street vending: an overview of studies in Thailand, Cambodia and Mongolia”, International Labour Office, 2006.",
"[27] Bosco R. Asiimwe, “Nyarugenge to penalise vendors’ clients”, Rwandan New Times, 3 August 2011.",
"[28] Kusakabe (note 26 above), p. 23.",
"[29] International Covenant on Economic, Social and Cultural Rights, art. 6.",
"[30] A/HRC/16/L.13/Rev.1, para. 3 (e).",
"[31] Irish Penal Reform Trust, “6,681 imprisoned for non-payment of fines in 2010”, 2 February 2011.",
"[32] Ayfer Bartu Candan and Biray Kolluoglu, “Emerging spaces of neoliberalism: a gated town and a public housing project in Istanbul”, New Perspectives on Turkey, vol. 29 (2008), p. 16.",
"[33] See A/HRC/4/18, paras. 21-24.",
"[34] Universal Declaration of Human Rights, art. 27; International Covenant on Economic, Social and Cultural Rights, arts. 6, 11 and 15; Committee on Economic, Social and Cultural rights, general comments Nos. 7, 18 and 21.",
"[35] For these and other examples see A/HRC/13/20, paras. 18 and 25-27.",
"[36] In the present report, the term “social benefits” is used to denote any benefit provided to individuals through a State’s welfare, social security and social assistance systems, including transfers of cash, food or food stamps; disability or illness benefits, unemployment benefits, single parent or child allowances, non-contributory social pensions, housing assistance and education assistance.",
"[37] International Covenant on Civil and Political Rights, art. 25.",
"[38] Universal Declaration of Human Rights, art. 12; International Covenant on Civil and Political Rights, art. 17.",
"[39] Universal Declaration of Human Rights, art. 25; International Covenant on Economic, Social and Cultural Rights, art. 12. Committee on Economic, Social and Cultural Rights, general comment No. 14.",
"[40] See A/HRC/11/9 and A/65/259.",
"[41] Armando Barrientos, “Conditions in antipoverty programmes”, Journal of Poverty and Social Justice, vol. 19, No. 1 (2011), p. 19.",
"[42] Universal Declaration of Human Rights, art. 23; International Covenant on Economic, Social and Cultural rights, art. 6.",
"[43] Falkiner v. Ontario (Ministry of Community and Social Services) (2002), 59 O.R. (3d) 481 (C.A.), Factum of the Canadian Civil Liberties Association, p. 5.",
"[44] Ibid.",
"[45] For example, India is in the process of rolling out the Unique Identification Authority of India scheme, whereby individuals will be allocated a unique identity number tied to biometric data. See the Unique Identification Authority of India, “What is Aadhaar?” available at http://uidai.gov.in/index.php?option=com_content&view=article&id=57&Itemid=105.",
"[46] See, for example, Anemona Hartocollis, “Concern for vast social services database on the city’s neediest”, The New York Times, 16 June 2011.",
"[47] Tamara Walsh and Greg Marston, “Benefit overpayment, welfare fraud and financial hardship in Australia”, Journal of Social Security Law, vol. 17, No. 2 (2010), p. 101.",
"[48] For example, in one country, it is estimated that in 2009/10, social benefit fraud and error cost the State £3.3 billion, whereas tax evasion cost the State £40 billion. See Deborah Padfield, “Fraud’n’error: tax avoidance and evasion”, 20 July 2011. Available from www.opendemocracy.net.",
"[49] M.D.R. Evans and J. Kelley, “Are tax cheating and welfare fraud wrong? Public opinion in 29 nations”, Australian Social Monitor, vol. 3, No. 4 (2001), p. 93.",
"[50] Walsh and Marston (note 47 above), p. 109.",
"[51] Mary E. Baker, “Double binds facing mothers in abusive families: social support systems, custody outcomes, and liability for acts of others”, The University of Chicago Law School Roundtable, vol. 2 (1995), p. 13.",
"[52] Heather Douglas and Tamara Walsh, “Mothers and the child protection system”, International Journal of Law, Policy and the Family, vol. 23, No. 2 (August 2009), p. 211; Naomi Cahn, “Policing women: moral arguments and the dilemmas of criminalization”, DePaul Law Review, vol. 49 (2000), p. 817.",
"[53] In some countries, families on public assistance are four times more likely than others to be investigated and have their children removed from the family home on the basis of child maltreatment. See Douglas J. Berharov, “Child abuse realities: over-reporting and poverty”, Virginia Journal of Social Policy and the Law, vol. 8 (2000), pp. 183-184.",
"[54] Convention on the Rights of the Child, art. 9.",
"[55] E/CN.4/2006/7, para. 66.",
"[56] See, for example, “No second chance: people with criminal records denied access to public housing”, Human Rights Watch, 17 November 2005.",
"[57] Brown v. Plata, United States Supreme Court, No. 09-1233, 23 May 2011 (citation not yet available).",
"[58] See Committee on Economic, Social and Cultural Rights, general comment No. 7; Basic Principles and Guidelines on Development based Evictions and Displacement (A/HRC/4/18)."
] | A_66_265 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Extreme poverty and human rights",
"Note by the Secretariat",
"* A/63/250.",
"The Secretary-General has the honour to transmit to the members of the General Assembly the report of the Special Rapporteur on extreme poverty and human rights, Magdalena Sepúlveda Carmona, pursuant to Human Rights Council resolution 17/13.",
"Report of the Special Rapporteur on extreme poverty and human rights",
"Summary",
"The Special Rapporteur on extreme poverty and human rights analyses a number of laws, regulations and practices that penalize, divide, control and undermine the ownership of those living in poverty. Over the past three decades, such measures have been increasingly frequent, and the economic financial crisis has worsened in recent years and has become a serious threat to the enjoyment of human rights by those living in poverty.",
"The ways in which people living in poverty are punished by national and social forces are interrelated, involve many dimensions and cannot be analysed in isolation. For the purposes of the present report, the Special Rapporteur points to four areas of concern: (a) the lack of adequate restrictions on the legal, regulations and practices of those living in poverty in public places for life-saving behaviour; (b) urban planning regulations and measures related to the predominantization and privatization of public places that seriously affect the lives of poor; (c) the requirement and conditions for interference in the ownership, privacy and family life of those living in poverty in access to public services and social benefits; and (d) the excessive and arbitrary use of detention and imprisonment, thus threatening the free safety of the poor and individual.",
"Contents",
"Introduction 4: The reality of poverty: shame, discrimination, punishment, exclusion 4 3. International human rights framework 6A. Equality and non-discrimination 6 B. The right to participate in decision-making 7 C. 8 D. Priatization and State obligations 8 4",
"Introduction",
"The present report is submitted pursuant to Human Rights Council resolution 17/13 by the Special Rapporteur on extreme poverty and human rights, Magdalena Sepúlveda Carmona. The report addresses a number of laws, regulations and practices that are increasingly prevalent in developed and developing countries, which punish, divide, control and undermine the ownership of those living in poverty.",
"The report draws on the documents and observations of the international expert meeting hosted by the International Council for Human Rights Policy in Geneva on 17 and 18 March 2011. The meetings were attended by representatives of human rights experts from various regions, academia, civil society and United Nations entities, who provided valuable insights into the reports of the Special Rapporteur.",
"The term “response measures” used in the report generally refers to policies, laws and administrative regulations that punish, divide, control and destroy those living in poverty. The purpose and effectiveness of these measures are not identical; they are also the same in the same region, countries, provinces and cities. Some measures have led to the direct conviction, prosecution and imprisonment of those living in poverty, while others have excessive control and control over all aspects of those living in poverty. Some measures have punitive effects, such as heavy penalties, the loss of custody of children, the loss of eligibility for social welfare and the violation of privacy and ownership. Some measures explicitly target people living in poverty, while they are neutral laws, policies and practices for all individuals, have an extremely serious impact on those living in poverty.",
"The report analyses some of these measures to reveal the impact of these measures on the enjoyment of human rights by the poor. The report explains the reasons for the deep-rooted prejudices and stereotypes that affect public policies. The report emphasizes that the negative impact of these measures overlaps and promotes that exacerbate poverty and stoplessness. The report uses the human rights framework to show that, while poverty itself may not be in violation of human rights, there is no time-breaking State act or omission that causes, exacerbates poverty or perpetuates poverty, which does not amount to human rights violations. In this regard, punitive measures constitute a serious threat to the fulfilment by States of their human rights obligations.",
"Poverty reality: stigma, discrimination, punishment, exclusion",
"States have maintained that poverty is a complex situation of humanity and is defined as the right to an adequate standard of living and other civil, cultural, economic, political and social rights due to sustained or long-term deprivation of resources, capacities, choices, security and power. [2] Poverty is not an automatic option, but rather a multifaceted situation, and it is difficult to overcome that situation without assistance, if not impossible. The responsibility for such situations is not among those living in poverty; therefore, States must not punish or punish those living in poverty. Instead, States must adopt a wide range of measures and policies to eliminate conditions that cause, exacerbate poverty or perpetuate poverty and ensure the realization of all economic, social, cultural, civil and political rights of those living in poverty.",
"The punitive policy reflects a serious misunderstanding of the reality of the poor and the most vulnerable, as well as the lack of knowledge of the discrimination they face and the disadvantages that are mutually reinforcing.",
"Punishment measures are synonymous with discriminatory stereotypes, which are considered to be committed by the poor, irresponsible, child health and education. People living in poverty are often said to be the victims of their own unfortunate start-ups, and only they themselves “wealer efforts” can be stopped. These biass and stereotypes have often been deepened by a fertile and escalating media coverage. These reports specifically target those living in poverty as victims of multiple forms of discrimination, such as single mothers, ethnic minorities, indigenous peoples and migrants. This attitude is deeply rooted and affects the development of public policies and prevents decision makers from addressing the various factors that prevent people living in poverty from escaping their plight.",
"The people living in poverty suffer discrimination and stigma, often generate fear or even hostility towards public authorities, and lack trust in assisting their institutions. Policymakers, civilian personnel, social workers, law enforcement officials, teachers and health-care providers often disregard the poor and even treat them in a sterile manner. They may also be less aware of the efforts of those living in poverty to improve their lives.",
"The shameful and biased attitude generates a stigma that prevents those living in poverty from coming to public officials and seeking the assistance needed. They do not wish to receive more discrimination as a result of the services that have been humiliated by society, and may not leave the rights, such as food vouchers and subsidies, access to housing or free medical clinics. This has led them to further segregation and exclusion and has further exacerbated the vicious circle that perpetuates poverty.",
"In countries, both developed and developing countries, historic social divisions and power structures determine the relationship with national authorities that the poorest and most excluded are permanently disadvantaged. The power does not mean that people living in poverty cannot claim rights or protest against violations of their rights. Because of illiteracy, lack of information or language barriers, they face barriers to communication with the authorities, particularly in the areas of migrants, indigenous peoples, minorities and persons with disabilities. They are therefore likely to be unaware of, or not aware of, their rights and treatment, or to report abuses and abuses.",
"In this regard, women are particularly vulnerable to punitive measures. Because of structural discrimination, women's representation in the power structure is inadequate, they are particularly disadvantaged when dealing with national authorities and cannot claim their rights. The impact of punitive measures on women is often much greater than men because of the high number of poor women, the lack of access to education, employment and economic resources and the primary burden of care and household work.",
"It is difficult to break the important obstacle to the cycle of punishment and poverty, which is not able to access legal aid to those living in poverty because they do not have the capacity to afford private legal representation, and legal assistance often cannot be obtained or sufficient. In the absence of adequate and comprehensive legal assistance, the poorest and most excluded persons are increasingly disadvantaged when dealing with the authorities, not only in cases of child protection, welfare fraud or deportation and immigration proceedings when criminal charges are alleged.",
"When people living in poverty have no legal representation or advice, particularly when they are not familiar with complex legal languages, they are more likely to face injustice or unequal treatment and receive such treatment. They are very likely to suffer from the fatal effects of corruption or the need for them to be bribeed, the length of detention may be longer or, if they are present, the possibility of sentencing is greater. Even if legal assistance is available, barriers to discrimination and language also seriously affect the way they seek justice and equal countermeasures.",
"International human rights framework",
"Equality and non-discrimination",
"Non-discrimination and equality are central elements of the international human rights normative framework. [3] These principles require that individuals in the same circumstances receive the same treatment in law and practice. According to human rights law, the difference between discrimination or treatment is not equal to discrimination. Differentiation is in line with the principle of equality if it is objective and justified; it must be a legitimate goal, and the means used must be reasonably proportional. [4] Therefore, differential treatment of persons living in poverty (by distinction, exclusion, restriction or preference) must be in line with the above criteria so that human rights law can be considered reasonable.",
"In addition, certain forms of preferential treatment have taken the form of affirmative action for the benefit of vulnerable and disadvantaged groups without being considered discriminatory because they aim “to weaken and eliminate conditions and attitudes that cause or perpetuate substantive or de facto discrimination”, and to encourage equal enjoyment of rights. [5] Therefore, the commitment not only to the resolution of affirmative action for people living in poverty, but also under human rights law, must be done by States. Discrimination arises only when the difference in treatment is not justified or when the means used are not reasonably connected to the purpose to be achieved.",
"The necessary elements of discriminatory motivation and non-discrimination. [6] Therefore, any measure which has the purpose or effect of denying or affecting the equal enjoyment of human rights violates the human rights obligations of States.",
"Coherence to the punitive measures reviewed in the present report is that these measures are not fully met. These measures directly or indirectly discriminate against persons living in poverty and have the effect of denying or affecting the enjoyment of human rights and fundamental freedoms by those living in poverty.",
"Based on some of the reasons cited, discrimination is prohibited, including the economic and social status implied in the words “other status”, which are considered as grounds for discrimination under the International Covenant on Economic, Social and Cultural Rights and the International Covenant on Civil and Political Rights. [7] The punishment measures choose to target individuals because of their income, appearance, address, address or need to clarify their poverty. Therefore, such measures constitute discrimination based on economic and social status.",
"Due limitations on human rights",
"Human rights law allows States to limit certain rights on the basis that such limitations are necessary for the purpose of public security, safety or order, public health or protection of the rights and freedoms of others. In order for a limitation to be lawful from the perspective of human rights law, such limitations must be in line with safeguards; such limitations must be “in accordance with the nature of those rights”, “full purpose of promoting broad welfare” and “necessarily necessary in a democratic society”. [8] The limitations permitted must also be in line with the universal principles of human rights law and must therefore be non-discriminatory, reasonable and proportionate. [9] Compliance with these principles requires, for example, that any restrictive measures must be the appropriate means to achieve the objectives pursued and that restrictions must not be imposed on the pursuit of the goals.",
"Taking into account that the main objective of the human rights framework is to protect the rights of individuals rather than to allow States to impose restrictions, States have a responsibility to demonstrate that the limitations imposed on the exercise of the rights of those living in poverty are in line with all standards and thus are proportionate to the purposes sought. Non-compliance with these standards is a violation of human rights norms.",
"States often invoke the limitations indicated to justify the adoption of punitive measures. In practice, however, the motivation to take punitive measures is often a combination of factors. Some measures are aimed at eliminating the image of all poverty, such as the relocation of the urban homeless and beggars, in order to make the cities of Americanization and attract investment and development. The necessary reason for other measures is to benefit the “fit poor” or to meet the demands of those who criticize “tolerance” social policy, which is thus seeking political support for a particular initiative. From a human rights perspective, careful analysis of these grounds is needed to assess whether punitive measures are lawful in the context of human rights law and are in line with the project. States should never impose more restrictive measures that must be imposed for the purpose of achieving the limitation.",
"Particular attention should be paid to the economic reasons for punitive measures. Economic grounds go beyond the limits permitted by human rights law and are incompatible with the reality that the cost of implementing punitive measures is extremely costly. The implementation of punitive measures requires more law enforcement and public service personnel; an increase in the number of individuals in the penal and criminal justice systems; and a significant cost of administrative monitoring procedures, such as economic survey and welfare oversight.",
"In many cases, the cost of using punitive measures that are counterproductive is significantly higher than the costs that may be incurred in addressing the root causes of poverty and exclusion. If resources available for regulation, supervision and detention are to invest in addressing the root causes of poverty and improving access to public services, including social housing, States will be able to significantly improve the lives of those living in poverty and ensure that as many available resources are available to increase the enjoyment of economic, social and cultural rights. [10]",
"C. Right to participate in decision-making",
"In developing and implementing punitive measures, no meaningful dialogue was held with those living in poverty. The experience and needs of those living in poverty have always been neglected, which has exacerbated their sense of help. Thus, ensuring that the right to life of poor people to participate effectively and meaningfully in decision-making is an essential prerequisite for eliminating discrimination and poverty.",
"The human rights approach to poverty eradication has been decided that those living in poverty should participate actively, free, informed and meaningfully in the formulation, implementation and monitoring of all stages affecting their policies. Real participation should not be understood solely as recognition of the right of everyone and every group to participate in public affairs, and [11] is also an integral part of promoting the resolution of poverty and social exclusion. By engaging in empowering those living in poverty, it is also a means to promote social integration and ensure that public policy development can meet the special needs of the poorest segments of society.",
"Privatization and State obligations",
"In both developed and developing countries, there is a clear trend towards privatization and outsourcing certain activities traditionally undertaken by States. Although privatization is likely to reduce costs, improve efficiency and thus improve the delivery of services, privatization may also pose a major obstacle to access to public services for the poorest and most vulnerable. When the State transfers the management of welfare systems, health systems and detention centres to private entities seeking economic benefits and may not be subject to adequate monitoring and control in the country, the State threatens the ability of individuals to access the necessary services and has contributed to the impact of those living in poverty. Without ensuring accountability and transparency mechanisms, private entities may consider the owner after profit, and do not assume responsibility for its failure.",
"States must not consider privatization as a means of avoiding their human rights responsibilities. Although international human rights law does not limit the privatization of public services, international human rights law provides that States continue to be responsible for ensuring quality, commitment and coverage and the duty to protect individuals from abuse by such companies when they are outsourced to private companies. [12]",
"Punishment measures that negatively affect the enjoyment of human rights",
"This section outlines examples of the consequences of punitive measures for the enjoyment of a number of human rights, indicating the complex and interrelated impacts of such measures on those living in poverty.",
"Laws, regulations and practices that limit the behaviour of persons living in poverty in public places",
"States increasingly limit the behaviour, action and mobility of people in public places through the implementation of laws, regulations and practices, thus significantly hampering the lives and livelihoods of those living in poverty. These measures vary widely among States and within countries, but the same is the punishment of actions and acts that are considered “inadvisible” in public places or “intrusive behaviour”. In order to justify such measures, States will prohibit acts that are dangerous, conflict with public safety or order requirements, interference as a normal activity for the establishment of public places, or incompatible with the image and original ideas of the authorities wishing such places. [13]",
"In both developed and developing countries, the criminalization of street and begging as illegal criminal or regulatory measures (e.g. political orders) is becoming increasingly prevalent. These laws have several forms: legislation prohibiting the payment of money in public places, to prohibit night bargaining or to take a “intrusive” bargaining money. [14] Some of these laws have been widely applied and have been extended to any activity that may require money, such as performance dance or display of marks or physical misconduct. In a number of countries, a single person appears only in a public place to see a means of maintaining life, which is likely to be born through begging. [15]",
"It is clear that these laws and regulations have serious implications for those living in poverty. When those living in poverty are unable to receive adequate support and assistance from the State, they are likely to have no choice but to live up to begging. It is clear that they are not commensurate with punitive measures due to their actions in the absence of other means of survival.",
"The prohibition of begging and streets is a grave breach of the principle of equality and non-discrimination. [16] Such measures allow law enforcement officials to have the discretion that can be used to make those living in poverty more vulnerable to harassment and violence. These measures can only contribute to the permanentization of negative social attitudes towards the poorest and most disadvantaged.",
"States are also increasingly punishing acts and actions that are linked to the streets, such as sleeping, collating, placing in public places, garbage, garbage, wild battalions or storage items; interceptions in public places, small in public places or non-compliance with transport rules. [17] The wording of these regulations is not clear, giving the law enforcement agencies great discretion and law enforcement powers, which are likely to violate legal and constitutional guarantees. States have criminalized such activities or acts and have increased the chances of abuse, assault, violence, corruption and extortion from individuals and law enforcement officials.",
"Although these regulations are not explicitly directed at those living in poverty, they are particularly affected. People living in poverty do not have housing or have limited access to housing, and their daily lives depend on public places. To that end, individuals with no choice to live on the street have found that their daily activities to maintain life are likely to expose themselves to the risk of criminal sanctions. Although such measures appear to be neutral, the study shows that the authorities are targeting those living in poverty, particularly those who are homeless. [18] This excessive application clearly violates this obligation to ensure equality and non-discrimination in the implementation of all laws and policies.",
"The underlying motivation of these measures is often to reduce the visibility of urban poverty and to attract investment, development and (non-poor) citizens to urban centres. From the perspective of human rights law, these aims are not legitimate and cannot be justified by the harsh sanctions that are often imposed through these regulations.",
"In the context of the implementation of these laws, the economic financial crisis has resulted in an unprecedented increase in the cancellation of ranny and expulsions, which has forced an increasing number of families to fall on the streets. States do not use public funds to help these families, contrary to which costly actions are punished. Where there is no adequate public infrastructure and services that enable families to take part in these actions, the poor and homeless people are not able to sleep, sit and eat. These measures are therefore likely to have a very adverse physical and mental impact on those living in poverty and undermine the right of those living in poverty to adequate standards of physical and mental health, even to be cruel, inhuman or degrading. [19]",
"In a number of countries, actions to assist streets are identified as illegal legislation further aggravating the negative impact of these regulations. [20] In a number of countries, specific legislation restricts the actions of civil society organizations or prohibits assistance in some cases. For example, in some cities, unlicensed foods are illegal in the urban parks and crowds, creating obstacles to charities and other organizations that provide food to homeless people. [21] The criminalization of advocates, activists and civil society organizations violates several human rights, such as associations, freedom of expression and assembly, and undermines social cohesion.",
"The police have the power to issue anti-social acts and orders for staying, and public safety law allows the police to “intercept and search” for individuals, who live in poverty, and therefore suffer very serious consequences. These measures are often very broad and largely determined by police officers themselves, while their subjective decisions do not require a high burden of proof. [22] The vast majority of these regulations target disadvantaged and most vulnerable groups and areas and communities they live. In those living in poverty, people who suffer multiple forms of discrimination are more frequently targeted. [23] These measures are combined to strengthen the discriminatory attitudes of those living in poverty that are likely to be involved in criminal activities, leading to a long-term existence of shameful poverty. For example, in a particular country, the capital's rules of use allow the police to lay the groundline for those who affect other passengers for reasons such as “dwelling”. [24]",
"The punitive measures taken against those who sell their livelihoods in the street are of particular concern. In many countries, the streets have been severely restricted by [25] or unlawfully, and [26] from the street to buyers. [27] The study shows that street vendors are counted because there is no other form of income, low levels of education and lack of employment opportunities. [28] Street trafficking is a means of earning and maintaining livelihoods for the poorest and most vulnerable. The State has severely affected the right to livelihood of the poor in the context of the ban on street-based vendors, cumbersome licences and street restrictions. [29]",
"Although States may adopt reasonable regulations, the discretion of law enforcement officials is often too broad in deciding on areas, dates and time to prohibit or restrict trafficking in the street. This makes it easier for street vendors to face abuse by law enforcement officials, individuals or gangs. As a result, their lives and physical integrity are often threatened and often subject to threats of bribery, extortion and illicit confiscation of goods.",
"When people harass street traders, bribeing them or destroying their goods, they cannot lodge complaints to the police because of deep structural inequalities and power imbalances, communication and information barriers and lack of legal representation. In countries where street trafficking is illegal, individuals often report abuses and injuries to the police because of fear of their punishment. This is particularly true for members of vulnerable groups who have been widely discriminated against, as well as those who have historically maintained a negative relationship with the police and the authorities, such as women, migrants and minorities.",
"Children living in the street are particularly vulnerable to punitive measures. Street children are a life of ill-treatment, violence and fear, but they are stigmatized and illegal, and they do nothing in seeking help and redress. Street children are exploited, trafficked and forced to engage in dangerous work, recruited by armed forces and armed groups, but they do not seek the help of the authorities in fear of further punishment and abuse. In many cases, children living in poverty have not been registered at birth and thus do not have access to basic services, including primary education. In the absence of reliance, they can only engage in activities such as street trafficking, begging or trustee. [30] When these actions are deemed illegal, they are transferred to a more dangerous and ill-treatment situation.",
"It is very absurd that regulations that punish acts related to poverty and homelessness often impose fines on those living in poverty who do not pay money. The irreparable result of the failure to pay a fine is often further fines, even imprisonment. For example, in a given country, thousands of people have been imprisoned for failing to pay the court's fine. [31] Imprisoners who are unable to pay fines, not only waste many financial and administrative resources in the country but also, to a large extent, continue to suffer from social exclusion and economic hardship.",
"Urban planning regulations and measures",
"In a number of countries, the privatization of urban, social housing, the redevelopment and adoption of sub-regional laws have resulted in the relocation of poor people into urban centres or forced their relocation, not only affecting their right to adequate housing but also their broad rights.",
"As a means to make cities more “safe” and investors, developing and socially rich segments of the population are more attractive, countries increasingly use subsector laws for preferential land-uses that exclude the poorest and most vulnerable, for example, community-based, lugged or high-cost housing and large sports infrastructure. For the purpose of “rebuilding”, “rehabiliation” and “Secure of historical and cultural heritage” cities, [32] or for the development and infrastructure projects to be freed, the authorities are dismantling the entire population area and moving the inhabitants of the area. As a result, these areas have become very costly and the poor have been unable to return to their homes, and they fall to live only in cheap, transport, poor services and remote neighbourhoods. In many cases, people living in poverty were forcibly removed without notice, subjected to violence, damaged or destroyed. People living in poverty are rarely compensated or remedied after their departure, who are not compensated and lost items are not returned to themselves and are not resettling.",
"These policies not only seriously affect the inclusiveness and diversity of cities, exacerbate the isolation and social exclusion of those living in poverty, but also pose serious obstacles to the enjoyment of the right to adequate housing, work, an adequate standard of living and participation in cultural life. [34]",
"The living poor are geographically away from work, markets, education and health centres once they are relocated to urban centres. This, in turn, limits their access to urban centres, public services and economic resources and increases their cost of access to opportunities and transport and creates additional barriers to access to employment. The isolation and exclusion of those living in poverty have also been further exacerbated by the exclusion from urban facilities and cultural life.",
"In addition to public places, the poor have become increasingly severe as a result of large-scale national and privatization infrastructure projects, particularly in relation to the Olympics and the World Scup. In these activities, the authorities often relocate those living in poverty from urban areas, relocate in the surrounding suburbs and often rely on coercion, do not ensure access to alternative housing or remedies and reparations, and violate their right to adequate housing. For example, in Seoul, the preparations for the World Cups in 2002 included the ban on homelessness into designated areas of the city, while the homeless were held in facilities other than cities during the 1988 Olympic Games. Actions taken to relocate homeless persons or to criminalize them were also taken during the Barcelona and Yatran Olympic Games. [35] The practical effect of these initiatives is to make the poorest and most excluded persons fully homeless, and to replace them with infrastructure that they do not need and do not use, such as hotels, sports sites and office buildings.",
"C. Requirements and conditions for access to public services and social benefits",
"States increasingly impose strict demands and conditions on access to public services and social benefits. [36] In seeking reasons for the implementation of these measures, States referred to the need to make full use of public resources, to improve targeted accuracy, to avoid reliance on and eliminate factors affecting their work, and to prevent the shortcomings of the system. While these concerns may be justified, the impact of these measures is not fully commensurate with the objectives to be achieved. States impose severe demands and conditions on access to services and benefits, impose severe sanctions on non-compliance with these requirements and conditions, punish, stigma and undermine the ownership of those living in poverty, and exacerbate the hardships of those living in poverty. In addition, the beneficiaries have no knowledge of their future and cannot make long-term planning.",
"Support for these measures is not because there is strong evidence of the effectiveness of these measures, economic benefits, but building on the discriminatory stigma and stereotypes that are spreading in the media, which are stigmatizing and sensitizing the beneficiaries of social welfare as a sign, inadvertent and mistrust. Demands and conditions are often undermined by the persistence of stereotypes; policymakers believe that they are the best interests of those living in poverty and that they cannot be believed to be able to determine their own and their families.",
"These measures not only undermine the ownership of the beneficiaries, prevent them from making their choice but also affect their rights, including the right to participate directly in their own decision-making, [37] and the right to private life, family, residence or communication from arbitrary or unlawful interference by States. [38] As non-compliance with these harsh conditions and requirements will result in lack of social welfare, those eligible for benefits will be reclaimed for a long period of focus and fear, fearing that benefits will be recovered and thus losing the main means of subsistence. The cumulative impact of life in such circumstances threatens the right of beneficiaries to the highest attainable standard of physical and mental health. [39]",
"Many countries require persons eligible for social benefits to provide a large number of documentation that demonstrates their qualifications and disclosure of unparalleled personal information. This process has placed great pressure on beneficiaries and undermines their personality. Poor people face several obstacles and costs in obtaining official documents. The documents may be very expensive, and the availability of documents is very difficult for those who do not have a fixed place or have no identification. This is prevalent in developing countries, and some of the most vulnerable and excluded persons, especially women and ethnic minorities, have not been registered. Access to documents also requires more interaction with public officials, who often lack sufficient understanding of the special needs of those living in poverty. Healing evidence suggests that social welfare managers often consider non-week or lack of compassion, and that, in addition to bureaucratic barriers, beneficiaries must overcome gaps in education, literacy and communication.",
"In order to gain political support and to ensure that only “qualified” poor people receive support, social welfare is often cumbersome. For example, some conditional cash transfer programmes in low- and middle-income countries are sent to heads of households (generally women) in exchange for their commitment to do things, such as the registration of children in schools and ensuring their attendance at schools or participation in health programmes. While these conditions encourage investment in human capital, they also impose additional burdens on women and programmes often neglect their needs. There is no serious gender perspective that makes gender stereotypes about the roles and responsibilities of traditional families and leads to domestic violence. [40]",
"In some of these programmes, non-compliance with annex conditions has resulted in the immediate removal of benefits in cases where non-compliance is not assessed. This often means that the family cannot re-applicate the application of the programme, despite their needs and the fact that non-compliance is also a cause.",
"The conditionality affects the ownership of the beneficiaries and deepens the perception that the poor cannot be held responsible for decision-making. Evidence shows that poor households can also make the same investments in education and health without conditionality if adequate resources are available. [41] Therefore, additional administrative costs associated with the development and implementation of conditionalities and monitoring of their implementation could be better used to expand and support public services.",
"Another condition in which countries are increasingly implementing is that those who require unemployment, single-parent and disabled assistance must participate in employment or training programmes. Although the skills and knowledge required for the transfer of re-employment may be an important objective, the implementation of these programmes often lacks safeguards, such as the provision of childcare facilities, or does not take into account structural barriers such as high unemployment in the current labour market and the rapid modernization of the industry. Special emphasis was placed on “moval” benefits to be replaced with employment, but no due consideration was given to the actual needs of beneficiaries and, often, the need for assistance for their sustained, productive and decent work. [42]",
"In order to ensure compliance with the conditions and requirements of beneficiaries, countries often conduct in-depth interrogations and violations of beneficiaries. Social welfare managers have the right to check the beneficiaries on a wide range of individual issues and to search their homes for evidence seeking fraudulent activities. [43] Whereever requested, the beneficiaries must report regularly and disclose a significant amount of information. In some countries, beneficiaries are even subject to mandatory drug control inspections. They must also agree to allow the authorities to review their lives and to ask their friends, colleagues and those who are aware. [44] Those countries encourage beneficiaries to conduct cross-checks and to report to programme managers on criminal acts through anonymous channels. These intrusive measures undermine the personal independence of the beneficiaries and seriously disrupt their right to privacy and family life, render them vulnerable to abuse and harassment and weaken community solidarity.",
"The introduction of biometrics by the social welfare system meant that in some countries beneficiaries had to be able to access stereotyped techniques, fingerprinting and inbowing. [45] These approaches give broad powers and discretion to monitor and intervene in the lives of beneficiaries. Information obtained is often provided to other authorities for other purposes without the consent of the beneficiaries. [46] This practice seriously threatens the protection and access of personal data and the right to regulate information.",
"The surveillance policy often treats beneficiaries as criminals and gives them a sense of criminality, anxiety and shame. Although some control approaches are necessary, they must be in line with reasonable and perceived requirements. For example, evidence shows that many control and surveillance measures taken by the State in the management of social welfare are disproportionate to the prevalence of social welfare fraud. The multi-payment of social benefits is often due to the mismanagement of the State and not to the fraud of beneficiaries. [47] When the burden of the beneficiaries arises, it may be more likely to be caused by error rather than fraud, which often involves temporary, low-level fraud involving a small amount of life. However, decision-makers portray social welfare fraud as a widespread problem and allocate many resources to respond. Political statements are duly concerned with social welfare fraud, which is at the expense of a greater burden on the State and the use of welfare fraud to influence public debate on poverty. [48]",
"Social welfare fraud and non-compliance are strongly condemned by the public and the authorities are also keen to follow up. [49] Once a fraud has been identified, it may be possible to repay the amount of fraud through the reduction of personal welfare, while criminal proceedings are conducted against individuals. [50] When the beneficiary has been found guilty of fraud, he (she) may not enter the social welfare system for life. If the beneficiaries have no warrant of arrest, their social welfare may be suspended until the arrest warrant has been completed or granted immunity. These measures are extremely harsh and will result in serious consequences for people who suffer from poverty and exclusion, and they are in a long-term disadvantage of being dependent on social welfare.",
"In addition to social welfare assistance, the impact on women is particularly severe, and they account for the majority of the beneficiaries of social welfare, usually bear the primary responsibility for the care and maintenance of household accounts. Women's access to social benefits will have an impact on the entire family. In addition, women continue to be confined or returned to the increasing likelihood of abuse relations and, if they are not available, they will be forced to live in other vulnerable circumstances. [51]",
"In other areas, women's private and family life is also subject to State interference. In particular, national efforts to adopt child protection measures have a comprehensive impact on people living in poverty, particularly women [52] and more generally. The study shows that child protection measures have a clear and consistent relationship with the disadvantages and marginalization of the families concerned. [53] Children cannot be considered wrongly. Children in poor households are often targeted in child protection proceedings, rather than in efforts to address the root causes of child poverty.",
"In many countries, those living in poverty are often trying to destabilize child protection proceedings, which are intrusive and confrontational. Child protection measures often fail to provide the family with adequate information on the process, while many national child protection proceedings do not receive authorized free legal assistance. Consequently, there is a serious power imbalance between the State and the families living in poverty, and the existence of judicial procedures may lead to a real risk that parents' rights or other outcomes that are harmful to the best interests of the child are terminated without necessity.",
"Despite the right of the child to grow in a safe and raising environment, they also have the right not to be separated from their parents, unless the separation is in the best interest. [54] The focus of child protection procedures should always be the best interests of children, not the punishment of their parents. The criminalization of parents' neglect or abuse is not a solution to poverty and disadvantage, although important.",
"Over and random use of detention and imprisonment",
"Since law enforcement officials often use “poor”, homelessness” or “no disadvantage” as an indicator of crime, the number of persons living in poverty is high in the hands of the criminal justice system. They have also encountered many obstacles in the delivery of their own hands or dispersion within the criminal justice system. Therefore, the poorest and most excluded persons arrested, detained and imprisoned are particularly vulnerable.",
"In both developed and developing countries, the restrictions on the release of pre-trial security are becoming increasingly restrictive and are increasingly non-transparent, for example, which require individuals to demonstrate their linkages with the community, have fixed place or long-term employment or pay cash or delivery bonds as guarantees. In most cases, the poorest and most excluded persons are not allowed to do so, and they may be detained very well before the commencement of the trial. This has significantly increased the possibility of their final sentences: This is not only a fragile position, but it is more likely to accept unfair “respect” or to recognize the conviction that can be released as soon as possible, but also the appearance and conduct of detainees, which undermine their ability to communicate with lawyers and to receive witnesses of human origin, leading to their loss of employment or social housing, thereby influencing the Court's decision to make probation or community service sentences. [55]",
"Lack of adequate and comprehensive legal assistance seriously threatens the human rights of those living in poverty. Individuals are more likely to be found guilty without adequate representation or counselling. During their detention, they did not have the means available to protest against violations of their rights, such as insecurity or lack of health, physical and psychological abuse or prolonged delays, and they would be very likely to require them to pay and, if they were to bribe, would inevitably encounter difficulties.",
"The economic and social costs of detention and imprisonment may be very serious for those living in poverty. Not only means the temporary loss of income, but often the result of unemployment, especially when individuals are employed in the informal sector. The tactic of a criminal record presents additional obstacles to finding employment. Detention and imprisonment, even because of a minor and non-violent offence, often result in the temporary or permanent dismissal of social benefits or the denial of access to social housing by the resident and his family. [56]",
"The family is forced to use its limited income or to sell assets for payment of bail payments, legal aid, the right to use goods and services in criminal facilities (e.g. food and the use of telephones), or to visit detainees. Children's education is also often disrupted by their parents' detention. In this regard, the financial stability of the entire families detained for detainees has a serious impact on the cycle of poverty.",
"Detention and detention may also seriously affect the health of the poorest and most excluded, who are likely to receive the worst treatment and conditions, including overcrowding in cells, poor sanitation, disease transmission and poor health care. In some cases, prison overcrowding may seriously affect detainees, which is likely to amount to cruel and inhuman treatment. [57]",
"As a result, poor and vulnerable persons may be in dire financial, physical and personal circumstances when they leave their place of residence. After their release, their assets have been exhausted, employment opportunities have been reduced, access to social benefits is small, the community has lost contact, the stigma and exclusion of society and further undermines their prospects for overcoming poverty.",
"Conclusions and recommendations",
"Poverty is a complex and multifaceted situation, which is exacerbated by measures that directly indirectly punish, divide, control and undermine the ownership of the poor and perpetuate them. These measures greatly affect the ability of those living in poverty to enjoy broad human rights freedoms and exacerbate and prolong the cycle of poverty and exclusion.",
"States often seek to defend practices that restrict human rights through punitive measures, on the basis of public safety, health or security. However, human rights law imposes strict demands on issues that limit the rights of individuals. Any limitations on the enjoyment of human rights by those living in poverty must be in accordance with several safeguards, including the requirement that such limitations must be established by law and must be non-discriminatory and proportionate and legitimate. States have a responsibility to demonstrate that restrictions imposed on the rights of persons living in poverty are in compliance with international human rights law.",
"Punishment measures are often motivated by bias and negative stereotypes, which ignore the realities of disadvantage and exclusion, and fail to see the struggle of those living in poverty every day to overcome multiple obstacles faced. Homeless persons wish to have safe and affordable adequate housing without wishing to live in parks or car stations. Those who depend on social welfare wish to have safe, recurrent and better productive employment without fear of discrimination and always fear of being deprived of treatment. No one is willing to live in poverty and should therefore not punish those living in poverty.",
"Measures to impose penalties on those living in poverty do not play any role in addressing the root causes of poverty and social exclusion. These measures can only exacerbate the number of people living in poverty and create barriers to poverty reduction and social inclusion. These measures therefore seriously undermine the ability of States to fulfil their obligations to respect, protect and fulfil human rights.",
"States should not be punished by the situation of the poorest, but should take positive measures to eliminate the legal, economic, social and administrative barriers faced by those living in poverty, which hinder their access to food, shelter, employment, education and health services and prevent them from enjoying economic, social and cultural rights on an equal basis with the entire population and becoming part of an inclusive community.",
"Ensuring that human rights obligations at least the minimum necessary levels of economic, social and cultural rights mean the responsibility to achieve an adequate standard of living, including the provision of primary health-care services, basic housing and the most basic education, through ensuring basic survival. States should not use the scarce resources to the costly punishment measures, but the resources available should be used to ensure that those living in poverty enjoy all economic, political, social, civil and cultural rights.",
"Urban transformation, privatization, creativity, philanthropicization and redevelopment have the potential to seriously affect the rights of those living in poverty and to increase exclusion and stigmatization. As those living in poverty are gradually being driven to the marginalization of urban centres, their access to employment and public services and their right to participate in cultural life are threatened. In addition to other elements, the idea of whether the right to housing is sufficient requires that factors such as access to services and infrastructure, affordability and accessibility be taken into account. This concept also requires States not to take forced evictions.",
"Public services and social benefits play an essential role in the lives of poor people, providing them with important support and assistance, particularly in times of economic and social hardship. Although these benefits often meet the needs of beneficiaries and their families, they do not provide them with the important support they deserve, and they cannot survive. States must not enact the requirements and conditions for stigmating beneficiaries, their image and punishment. These measures can only undermine the important support provided by social welfare and create further obstacles for those living in poverty.",
"Although the prevention of fraud is justified, the intrusive oversight policy in the social welfare system, the non-transparent conditionalities, excessive disclosure requirements and many regulatory measures are not commensurate with this purpose and generate public and private attitudes that can only contribute to the increase in the poverty of beneficiaries.",
"The practice of prison detention, imprisonment and correctional institutions has a wide and long-term negative impact on the lives of poor people, and States can only resort to deprivation of liberty commensurate with the needs of society if they meet urgent social needs. The poorest and most vulnerable individuals must be given equal access to free, fair and effective court procedures and must be able to enjoy the same humane conditions as the richer social class.",
"In this regard, the Special Rapporteur wishes to make the following recommendations:",
"(a) States should take all necessary measures to eliminate all direct or indirect discrimination against persons living in poverty. States must not have access to all rights, including economic, social and cultural rights, through any law, to those living in poverty. States must review national legislation so as to assess the discriminatory impact on the poor and to repeal or revise legislation that affects the equal enjoyment of the rights of those living in poverty;",
"(b) In order to prevent future discrimination, comprehensive anti-discrimination legislation for those living in poverty must be adopted. States should ensure that laws applicable to the law and the courts prohibit discrimination based on economic and social status;",
"(c) States should take measures to protect those living in poverty from third parties. To that end, States should:",
"(i) Education programmes and campaigns to give priority to the multiple obstacles faced by people living in poverty in overcoming their plight;",
"(ii) Encourage the media to avoid the dissemination of discriminatory and escalating reports of poor people living in poverty. To that end, States should promote the ethics of information and encourage the adoption of codes of conduct to end negative coverage of people living in poverty, homeless, unemployed and social welfare;",
"(iii) Ensuring that private providers of public benefits and other non-public entities do not discriminate against those living in poverty. States should adopt legislative measures to prevent and punish violations of the rights of persons living in poverty by private entities;",
"(d) States should create an environment conducive to the participation of those living in poverty in public life and decisions affecting their lives. To that end, States must identify and address institutional barriers that impede the full participation of vulnerable and excluded groups in decision-making processes;",
"(e) Access to legal representation and fundamentally related to all forms of punishment for those living in poverty. States should ensure that the poorest segments of society have access to legal aid, not only in criminal proceedings, but also to legal assistance, such as social welfare appeals, expulsion and child protection procedures, particularly in relation to the problems of those living in poverty.",
"(f) States must ensure that all criminal and regulatory policies comply with human rights standards, including the principle of equality and non-discrimination and the principle of presumption of innocence. The laws specifically dealing with the special acts and actions of persons living in poverty are equal to discrimination based on economic and social status and should be repealed.",
"(g) States should reaffirm their obligations to ensure the right to adequate housing for all as part of the right to an adequate standard of living. This right requires States to ensure the affordability of housing and access to social services and infrastructure. States must also refrain from forced evictions. In cases where relocation is inevitable, States should ensure that the right to respect the human dignity and life and security of the affected person is respected when relocation is carried out. [58]",
"(h) The development and implementation of social welfare systems must be consistent with human rights norms, including the right to privacy and family life of the poor and the right to participate in decisions affecting them. Monitoring policies, conditionalities and other requirements must be reviewed to ensure that they do not impose an excessive burden on those living in poverty, thereby violating human rights obligations. In collecting and dealing with information involving beneficiaries, States should ensure compliance with internationally recognized standards of privacy and confidentiality, nor the dissemination of such information to other authorities, or use information for other purposes without the consent of the beneficiaries.",
"(i) In order to meet the urgent needs of the society, States can exercise detention and imprisonment commensurate with that needs. States must ensure that arrest and detention do not result in a disproportionate impact on those living in poverty. To that end, States should:",
"(i) Review all detention and imprisonment policies in order to identify and eliminate discriminatory laws and practices that have serious implications for those living in poverty. Measures should be taken to ensure that police, courts and public officials fully assess the potential impact of detention and imprisonment in accordance with the circumstances of everyone;",
"(ii) Ensure that the release process takes the economic and social conditions of those living in poverty to the greatest extent possible.",
"Equatorial Guinea Equatorial Guinea Equatorial Guinea Equatorial Guinea Equatorial Guinea",
"For more information about the meetings, please see www.ichrp.org/en/projects/162.",
"[2] E/C.12/2001/10, para.",
"[3] See, for example, article 2 of the Universal Declaration of Human Rights; article II of the International Covenant on Economic, Social and Cultural Rights; articles 2 and 26 of the International Covenant on Civil and Political Rights; article 1 of the International Convention on the Elimination of All Forms of Racial Discrimination; article 2 of the Convention on the Elimination of All Forms of Discrimination against Women; article 2 of the Convention on the Rights of the Child; article 5 of the Convention on the Rights of Persons with Disabilities.",
"[4] See, for example, general comment No. 18 of the Committee on Economic, Social and Cultural Rights; general comment No. 14 of the Committee on the Elimination of Racial Discrimination; Marckx v. Belgium, European Court of Human Rights, appeal No. 6833/74 of 13 June 1979, para. 33; advisory opinion No. 4 of the Inter-American Court of Human Rights, proposed amendments to the Constitution of Costa Rica, 19 January 1984, OC-4/84, para.",
"[5] Committee on Economic, Social and Cultural Rights general comment No. 20, para.",
"[6] Committee on Economic, Social and Cultural Rights general comment No. 20, paras. 10 and 12; Commission on Human Rights general comment No. 18, para. 9; Committee on the Elimination of Racial Discrimination, general comment No. 14, para. 1: Committee on the Elimination of Discrimination against Women, general comment No. 28, para.",
"[7] The Commission on Human Rights, in its jurisprudence, reiterates that the grounds of discrimination are not exhaustive and that the meaning of “other status” is not limited. See also: Committee on Economic, Social and Cultural Rights, general comment No. 20, para. Article 1 of the Inter-American Convention on Human Rights places economic status and social conditions explicitly as a justification for discrimination. Other prohibited grounds of discrimination such as “property” and even “social origin” may also be relevant in addressing the issue of property.",
"[8] International Covenant on Civil and Political Rights, articles 18, 19, 21 and 22; article IV of the International Covenant on Economic, Social and Cultural Rights; article 31, paragraph 1, of the European Social Charter; article 5 of the Salvador Protocol. These demands have been developed widely elsewhere. See, for example, “The principles of Saraqsa relating to the restrictive provisions of the International Covenant on Civil and Political Rights and derogations” (E/CN.4/1985/4, annex) and “Lurg principles on the implementation of economic, social and cultural rights” (E/CN.4/1987/17, annex).",
"[9] See principles 10 and 16 of the “Scuula principle”, as well as principle 60 of the Linburg Principles” (note 8).",
"[10] International Covenant on Economic, Social and Cultural Rights, article 2, paragraph 1.",
"[11] Article 21 of the Universal Declaration of Human Rights; article 25 of the International Covenant on Civil and Political Rights.",
"[12] Committee on Economic, Social and Cultural Rights general comment No. 14.",
"[13] Antonio Tossi, “The control of homeless and public places — the punishment of the poor?”, European Homeless Journal, vol. 1 (1 December 2007), p. 226.",
"[14] See, for example, section II of the Street Security Act 1999 (Adman, Canada); section II, paragraph 1, of the 2004 Street Safety Act (Canada British Columbia), and section III of the 1824 Travel Law (United Kingdom).",
"[15] Section II, paragraph 1, of the Mumbai (Prevention of begging) Act 1959.",
"[16] article 26 of the International Covenant on Civil and Political Rights.",
"[17] For example, 33 per cent of cities in 235 cities in the United States are prohibited from operating in public places and 30 per cent of cities are prohibited from seating and placing in public places. See: National Law Centre for Homeless Persons and Poverty and the National Coalition for Homeless Persons, “No handcuffing for their homes”, July 2009. Available from www.nlchp.org.",
"[18] James Farrell, “Accessed to leave: Australian police rights and public places”, to be published by public democratic organizations in August 2011 (www.opendemocracy.org).",
"[19] Article 5 of the Universal Declaration of Human Rights; article 12 of the International Covenant on Economic, Social and Cultural Rights; article 7 of the International Covenant on Civil and Political Rights; argument that the punishment of homeless persons cannot be carried out in public places equal to cruel and inhuman treatment has been accepted by a number of jurisdictions in the United States. See: Pottinger v. Miami city, 76 F.3d 1154 (11 Circuit Court, 1996); Johnson v. Daras city, 61 F.3d 442 (5 Circuit Court, 1995).",
"[20] Mandeep Tiwana and Netsanet Belay, “civil society: a truly horrendous action: global trends 2009-2010”, civil society — citizen's participation in the World Alliance, December 2010. Available from wwww.civicus.org.",
"[21] See, for example, section 18A, section I of the United States Buddddddddddolada Law. See also “It is not handcuffed” (note 17 above), p. 11.",
"[22] See: George Lavendar, “The gang blocking orders punish poor communities”, Guard, 1 February 2011.",
"[23] For example, blacks in a country face six times higher opportunities for the police to exercise the right to “interdiction and search” than whites, which are twice as high as whites. See “The power of police interception and search is directed against minorities”, BBC News, 15 March 2010.",
"[24] Budapest Transport Corporation, “Turice terms and conditions”, available at: www.bkv.hu/en/travel_conditions/ terms_ and_conditions_of_travelling.",
"[25] City in New York (see: Jennifer Lee, “Linking the street as a means of eliminating unemployment”, New York Times, 29 April 2009) and Durban (see Blessing Karumbidza, “Child the livelihoods of the poor: the formalization of informal businessmen's impact on the traders and migrant traders”, the South African Institute of Socio-Economic Empowerment, 2011) are all the cases.",
"[26] For example, in Thailand (The Urban Act 1992 and the issue of the clean and order of the Public Health Act 1992) and in some cities in Cambodia (Public Order II). See: Kyoko Kusakabe, “The policy issues of street vendors: overview of research in Thailand, Cambodia and Mongolia”, International Labour Office, 2006.",
"[27] Bosco R. Asiimwe, “The Nyrugen region will impose penalties on the licensee, the new Rwanda Times, 3 August 2011.",
"[28] Kusakabe (note 26 above), p. 23.",
"[29] article 6 of the International Covenant on Economic, Social and Cultural Rights.",
"[30] A/HRC/16/L.13/Rev.1, paragraph 3 (e).",
"[31] Ireland Criminal Reform Trust Fund, “6,681 persons have been imprisoned for unpaid fines”, 2 February 2011.",
"[32] Ayfer Bartu Candan and Biray Kolluoglulu, “New Space of Freeism: Towns and Public Housing projects in Istanbul”, New Perspectives of Turkey, vol. 29 (2008), p. 16.",
"See A/HRC/4/18, paras.",
"[34] Article 27 of the Universal Declaration of Human Rights; articles 6, 11 and 15 of the International Covenant on Economic, Social and Cultural Rights; general comments Nos. 7, 18 and 21.",
"[35] For these and other examples, see A/HRC/13/20, paras. 18 and 25 to 27.",
"[36] In this report, the term “social welfare” is used to benefit individuals, including through the national welfare, social security and social assistance system, including through the transfer of cash, food or food vouchers; disability or sickness benefits, unemployment benefits, single parents or child benefits, non-contributory social pensions, housing benefits and education benefits.",
"[37] International Covenant on Civil and Political Rights, article 25.",
"[38] Article 12 of the Universal Declaration of Human Rights; article 17 of the International Covenant on Civil and Political Rights.",
"[39] Article 25 of the Universal Declaration of Human Rights; article 12 of the International Covenant on Economic, Social and Cultural Rights. Committee on Economic, Social and Cultural Rights general comment No. 14.",
"See A/HRC/11/9 and A/65/259.",
"[41] Armando Barrientos, “The conditions of the programme for poverty eradication”, Journal of Policy and Social Justice, vol. 19, No. 1 (2011), p. 19.",
"[42] Article 23 of the Universal Declaration of Human Rights; article 6 of the International Covenant on Economic, Social and Cultural Rights.",
"[43] Falkiner v. Ontario (Community and Social Services Agency) (2002), 59 O.R. (3d) 481 (C.A.), factual statement by the Canadian Civil Liberty Association, p. 5.",
"Ibid.",
"[45] For example, India is in the process of rolling out the “Chief Identification Authorities in India” scheme, according to which people will be allocated to the unique identifiers linked to biological identification data. See: India identifier, “What is Aadhaar?”, available at http://uidai.gov.in/index.php?option=com_content&view=article&id=57&Itemid=105.",
"[46] See, for example, Anmona Hartocollis, “The concerns arising from the large urban poor's social welfare database”, New York Times, 16 June 2011.",
"[47] Tamara Walsh and Greg Marston, “The situation, welfare fraud and financial difficulties in Australian welfare”, Journal of Social Security Law, vol. 17, No. 2 (2010), p. 101.",
"[48] For example, in one country, it is estimated that social welfare fraud and error in 2009/10 caused $3.3 billion to the country, while the loss of tax evasion was $400 million. See: Deborah Padfield, “Fraud and error: tax leakage”, 20 July 2011. Available at wwww.opendemocracracy.net.",
"[49] M.D.R. Evans and J. Kelley, “Would tax fraud and welfare be wrong? Public opinion of twenty-ninth countries, Social Monitoring Australia, vol. 3, No. 4 (2001), p. 93.",
"[50] Walsh and Marston (note 47 above), p. 109.",
"[51] Mary E. Baker, “The dilemma of ill-treatment of family mothers: responsibility for social support systems, custody results and acts of others”, Paris University School of Law, vol. 2 (1995), p. 13.",
"[52] Heather Douglas and Tamara Walsh, “The Mother and Child Protection System”, Legal, Policy and Family International Journal, vol. 23, No. 2 (August 2009), p. 211; Naomi Cahn, “Recogn oversight of women: ethical arguments and difficulties in conviction”, De Paul Legal Review, vol. 49 (2000), p. 817.",
"[53] In some countries, the number of families receiving public assistance may be more than four times higher than the number of other families that have been taken from home for child abuse. See: Douglas J. Berharov, “The situation of child abuse: duplication of registration and poverty”, Social Policy and Legal Journal of Victoria, vol. 8 (2000), pp. 183-184.",
"[54] Convention on the Rights of the Child, article 9.",
"[55] E/CN.4/2006/7, para.",
"[56] See, for example, “No second opportunity: persons with criminal records are deprived of access to public housing”, Human Rights Watch, 17 November 2005.",
"[57] Brown v. Plata, United States Supreme Court, Case No. 09-1233, 23 May 2011 (release).",
"[58] See Committee on Economic, Social and Cultural Rights general comment No. 7; Basic Principles and Guidelines on evictions and evictions for development purposes (A/HRC/4/18)."
] |
[
"促进《全面禁止核试验条约》生效会议",
"2011年9月23日，纽约",
"议事规则草案",
"目录",
"规则 页次 \n一.代表和全权证书 3\t\n1.与会国 3\t\n2.代表团的组成 3\t\n3.全权证书 3\t\n4.全权证书委员会 3\t\n5.暂准出席会议 3 \n二.主席团成员 4\t\n6.选举 4\t\n7.代理主席 4\t\n8.主席参与决策 4 \n三.总务委员会 4\t\n9.组成 4\t\n10.职能 4 \n四.秘书处 4\t\n11. 会议秘书的职责 4\t\n12.秘书处的职责 5 \n五. 5 \n联合国秘书长 \n13.秘书长的职责 5 \n六. 5 \n全面禁止核试验条约组织筹备委员会执行秘书 \n14. 全面禁止核试验条约组织筹备委员会执行秘书的职责 5 \n七.会议的掌握 5\t\n15.法定人数 5\t\n16. 主席的一般权力 5\t\n17.程序问题 6\t\n18.发言 6\t\n19.优先发言 6\t\n20.发言报名截止 6\t\n21. 答辩权 6\t\n22. 暂停会议或休会 7\t\n23.暂停辩论 7\t\n24.结束辩论 7\t\n25. 动议的先后次序 7\t\n26. 提案和修正案的提出 7\t\n27.提案和动议的撤回 7\t\n28. 关于权限的决定 8\t\n29. 提案的重新审议 8 \n八.决策 8\t\n30.决定的作出 8\t31. 8 \n“出席并参加表决的批准国”一语的含义 32. 8 \n表决方法 33. 9 \n表决守则 \n九. 9 \n会议附属机关 34. 9 \n附属机关 \n十.语文和记录 9\t\n35.会议的语文 9\t36. 9 \n 口译 \n37.正式文件的语文 9\t\n38.会议的录音记录 9 \n十一.公开会议和非公开会议 10\t39. 10 \n公开会议和非公开会议 \n十二.其他国家、政府间组织、实体和非政府组织 10\t40. 10 \n其他国家 \n41.专门机构、有关组织和政府间组织 10\t42. 10 \n获得联合国大会咨商地位的实体 \n43.非政府组织 10 \n十三.议事规则的修正或暂停适用 11\t44. 11 \n修正方法 \n45.暂停适用的方法 11",
"会议的目的是审查在达到《全面禁止核试验条约》（下称“条约”）第14条第1款所列生效要求方面的情况，审议并以协商一致的方式决定可采取哪些符合国际法的措施来加快批准过程，以促进条约早日生效。",
"一. 代表和全权证书",
"与会国",
"第1条",
"1. 凡是在大会开幕之前已提交其条约批准文书的国家（下称“批准国”），均可参加依照条约第14条第3款举行的会议并派代表出席会议。",
"2. 凡是在会议开幕之前尚未交存其条约批准文书的签署国（下称“签署国”），均可依照条约第14条第4款出席会议。",
"3. “与会国”一词系指批准国和签署国。",
"代表团的组成",
"第2条",
"与会国的代表团应由一名代表团团长和其他必要的副代表和顾问组成。代表团团长可指定一名副代表或顾问代行职责。",
"全权证书",
"第3条",
"批准国代表的全权证书和副代表和顾问的姓名，应尽量在为会议开幕确定的日期之前至少提前一周提交会议秘书处。全权证书应由国家元首或政府首脑或由外交部长签发。",
"全权证书委员会",
"第4条",
"会议应设立全权证书委员会，全权证书委员会应由会议根据主席的提议任命的批准国的五名代表组成。全权证书委员会应审查代表的全权证书并应尽快向会议提出报告。",
"暂准出席会议",
"第5条",
"在会议就代表的全权证书作出决定之前，应暂准代表出席会议。",
"二. 主席团成员",
"选举",
"第6条",
"会议应选举一名主席和至多六名副主席。副主席中半数以上应自批准国中选出。主席团成员的选举应确保职位分配的代表性。",
"代理主席",
"第7条",
"1. 如果主席不能出席某次会议或会议的一部分，应由其从批准国中指定其中的一名副主席代行主席职务。",
"2. 副主席代理主席时，其权力和职责应与主席相同。",
"主席参与决策",
"第8条",
"主席或代理主席的副主席不得参与决策，而应指定其所属代表团的另一名成员代行此事。",
"三. 总务委员会",
"组成",
"第9条",
"1. 总务委员会应由会议主席和自出席会议国家中选出的副主席组成。",
"2. 如果主席不能出席总务委员会会议，可由其自批准国中指定一名副主席来主持这一会议，并指定其所属代表团的一名成员代为出席。如果副主席不能出席，可由其指定其所属代表团的一名成员代为出席。",
"职能",
"第10条",
"总务委员会应协助主席总理会议事务，并根据会议作出的决定，确保其工作的协调。",
"四. 秘书处",
"会议秘书的职责",
"第11条",
"1. 会议应设一会议秘书。会议秘书应由联合国秘书长任命。会议秘书应在会议及其附属机关的所有会议上以会议秘书的身份行事，并可指定一名秘书处成员在这些会议上代行职责。",
"2. 会议秘书应给会议工作人员以指导。",
"秘书处的职责",
"第12条",
"会议秘书处应依照本议事规则：",
"(a) 口译会议上的发言；",
"(b) 接收、翻译和散发会议文件；",
"(c) 出版和散发会议的正式文件；",
"(d) 制作并安排保管各次会议的录音；",
"(e) 安排在联合国档案库保管和保存会议记录；",
"(f) 一般性地担负会议所要求的一切其他工作。",
"五. 联合国秘书长",
"秘书长的职责",
"第13条",
"秘书长应以联合国秘书长的身份在会议上行事。秘书长可指定一名联合国秘书处成员作为其代表，代表秘书长出席会议。秘书长或其代表应有权就会议审议的任何事项作口头或书面发言。",
"六. 全面禁止核试验条约组织筹备委员会执行秘书",
"全面禁止核试验条约组织筹备委员会执行秘书的职责",
"第14条",
"全面禁止核试验条约组织筹备委员会执行秘书可在会议上以此身份行事。执行秘书可指定全面禁止核试验条约组织筹备委员会临时技术秘书处一名成员作为其代表代为出席会议。执行秘书或其代表应有权在执行秘书的职责范围内就会议审议的任何事项作口头或书面发言。",
"七. 会议的掌握",
"法定人数",
"第15条",
"任何决定均须有过半数的批准国代表出席方能作出。",
"主席的一般权力",
"第16条",
"1. 除应行使本议事规则其他规则所赋予的权力外，主席应主持会议的全体会议，宣布每次会议的开幕和闭幕，领导讨论，确保议事规则得到遵守，给予发言权，向会议提出应作决定的问题，并宣布决定。主席应就程序问题作出裁决，并依照本议事规则，完全掌握会议的进行和维持会场秩序。主席可向会议建议截止发言报名，限制每名发言人就某个问题发言的时间，暂停或结束辩论，暂停会议或休会。",
"2. 主席在行使其职责时仍受会议权力的约束。",
"程序问题",
"第17条",
"与会国代表可随时提出程序问题，主席应立即依照本议事规则作出裁决。与会国代表可对主席裁决提出异议。会议应立即对此异议作出裁决，除非主席的裁决经过半数出席并参加表决的批准国否决，否则裁决仍应有效。与会国代表在提出程序问题时不得就所讨论事项的实质发言。",
"发言",
"第18条",
"1. 未经事先征得主席允许，任何人均不得在会议上发言。主席应在不违反第17、第19以及第22至24条的情况下按请求发言的先后次序请发言者发言。",
"2. 辩论应以会议所讨论的问题为限，如果发言与讨论的问题无关，会议主席可敦促发言者遵守规则。",
"3. 会议可限制每名发言者的发言时间以及与会国每名代表就某一问题发言的次数。在就规定此种限制的建议作出决定之前，可以由两名赞成和两名反对这一建议的与会国代表发言。无论如何，主席应将关于程序问题的发言时间限为最多3分钟。在辩论有时间限制的情况下，如某一发言者的发言超过规定时间，主席应立即敦促其遵守规则。",
"优先发言",
"第19条",
"如某一附属机关主席需解释该机关所作结论，主席可允许其优先发言。",
"发言报名截止",
"第20条",
"主席可在辩论过程中宣布发言者的名单，并可在征得会议同意后宣布发言报名截止。如已无人要求发言，主席可宣布辩论结束。",
"答辩权",
"第21条",
"1. 虽有第20条的规定，主席仍可允许请求答辩的与会国代表行使答辩权。",
"2. 依照本条的答辩，通常应在当天最后一次会议结束时进行。",
"3. 任何代表团在某次会议上根据本条规则发言，均不得超过一次。",
"4. 任何代表团在某次会议上行使答辩权的发言，均应以3分钟为限。",
"暂停会议或休会",
"第22条",
"批准国代表可随时提出暂停会议或休会的动议，对此种动议不得辩论，而应在不违反第25条的情况下立即由会议作出决定。",
"暂停辩论",
"第23条",
"批准国代表可随时提出暂停辩论所讨论问题的动议。除动议提出者外，还可由两名赞成和两名反对暂停辩论动议的参与国代表发言，并应在不违反第25条的情况下立即将该动议交由会议作出决定。",
"结束辩论",
"第24条",
"批准国代表可随时提出结束辩论所讨论问题的动议，而不论与会国任何其他代表是否已表示希望发言。只应允许两名反对结束辩论的发言者就结束辩论的动议发言，然后应在不违反第25条的情况下立即将此动议交由会议作出决定。",
"动议的先后次序",
"第25条",
"在不违反第17条的情况下，下列动议应按以下顺序优先于提交会议的一切其他提案或动议：",
"(a) 暂停会议；",
"(b) 休会；",
"(c) 暂停辩论所讨论问题；",
"(d) 结束辩论所讨论问题。",
"提案和修正案的提出",
"第26条",
"与会国提出的提案和修正案，通常应以书面形式提交会议秘书处，由会议秘书处将复制本分发各代表团。一般情况下，除非在不晚于会议召开前一天之时将提案副本分发各代表团，否则不得讨论提案或就其作出决定。但即使修正案或提案并未分发或仅在同一天分发，主席仍可允许对修正案或提案进行讨论或审议。",
"提案和动义的撤回",
"第27条",
"提案或动义可在就其作出决定前由原提案人随时撤回，只要尚未予以修正。已经撤回的提案或动义可由与会国任何代表重新提出。",
"关于权限的决定",
"第28条",
"在不违反第17和第25条的情况下，与会国要求就会议讨论任何事项或通过某一提交会议的提案的权限作出决定的任何动义，均应在讨论该事项之前或就有关的提案作出决定之前作出决定。如果不能取得协商一致的意见，会议应以出席并参加表决的批准国的三分之二作出决定，同时应尽量考虑到签署国在会议上发表的意见。",
"提案的重新审议",
"第29条",
"已经通过或否决的提案不得重新审议，除非会议作出重新审议的决定。只应允许两名反对重新审议的发言者就重新审议的动义发言，然后应立即将其交由会议作出决定。",
"八. 决策",
"决定的作出",
"第30条",
"1. 与条约第14条第2款中所提及措施有关的决定，应由批准国以协商一致方式作出，同时尽量考虑到签署国在会议上表达的意见。",
"2. 有关程序事项的决定，应以出席并参加表决的批准国的多数作出，同时应尽量考虑到签署国在会议上发表的意见。",
"3. 在对某一问题究竟是属上文第1款所规定的实质性问题还是程序性问题产生争议时，应将该问题作为实质事项看待。",
"“出席并参加表决的批准国”一语的含义",
"第31条",
"在本规则中，“出席并参加表决的批准国”一语系指出并投赞成票或反对票的批准国代表。弃权的批准国应视为未参加表决。",
"表决方法",
"第32条",
"批准国通常应以举手或起立的方式进行表决，但任何代表均可请求进行唱名表决。唱名表决应从主席抽签决定的代表团开始，按批准国国名的英文字母次序进行。唱名表决时，每一批准国的国名均应唱出，并由该国代表回答“赞成”、“反对”或“弃权”。如果就程序事项作出决定，将依照第30条第2款进行表决。",
"表决守则",
"第33条",
"主席宣布表决开始后，除了与表决过程有关的程序问题外，任何代表均不得在表决结果宣布前打断表决的进行。",
"九. 会议附属机关",
"附属机关",
"第34条",
"1. 会议可设立为开展其工作所需的附属机关。",
"2. 除非另有决定，会议议事规则经必要修改应适用于其各附属机关。",
"十. 语文和记录",
"会议的语文",
"第35条",
"条约的语文应为会议正式语文。",
"口译",
"第36条",
"1. 以会议的一种语文所作的发言应口译成会议其他正式语文。",
"2. 与会国的代表可用会议语文以外的一种语文发言，但该国代表团应安排将其口译为一种会议语文。",
"正式文件的语文",
"第37条",
"会议的正式文件以会议语文提供。",
"会议的录音记录",
"第38条",
"会议及其附属机关各次会议的录音记录，应依照联合国的惯例制作和保管。",
"十一. 公开会议和非公开会议",
"公开会议和非公开会议",
"第39条",
"1. 除非会议另有决定，会议的全体会议应公开举行。",
"2. 除非会议另有决定，附属机关的会议应限于第1条中所界定的与会国。",
"十二. 其他国家、政府间组织、实体和非政府组织",
"其他国家",
"第40条",
"根据条约第11条有权签署条约但尚未签署的任何国家均可出席会议。这些国家的代表应有权出席会议的公开会议，就为此目的而分配的议程项目在会议上发言，收到会议的文件，并就会议的事项提交书面意见。",
"专门机构、有关组织和政府间组织",
"第41条",
"获长期邀请以观察员身份参加联合国大会届会及其工作的任何专门机构、有关的组织或政府间组织，均可向会议秘书处提出出席会议的申请。将根据会议的决定给予出席许可。此种专门机构、有关组织或政府间组织应有权出席会议的公开会议，收到会议文件，并就会议审议的事项提交书面意见。",
"获得联合国大会咨商地位的实体",
"第42条",
"获长期邀请以观察员身份参加联合国大会届会及其工作并在联合国总部设有常设办事处的任何其他实体，均可向会议秘书处提出出席会议的申请。将根据会议的决定给予出席许可。此种实体应有权出席会议的公开会议，收到会议文件，并就会议审议的事项提交书面意见。",
"非政府组织",
"第43条",
"任何希望出席会议的非政府组织，均可向会议秘书处提出出席会议的申请。将根据会议的决定给予出席许可。此种非政府组织应有权出席会议的公开会议，根据请求收到会议文件，并就会议审议的事项提供书面意见，费用自负。应会议主席的邀请，由出席会议的非政府组织从其成员中选出的一名代表，将可以就为此目的分配的议程项目向会议发言。",
"十三. 议事规则的修正或暂停适用",
"修正方法",
"第44条",
"在不违反条约第14条的情况下，本议事规则可经出席并参加表决的多数批准国的决定加以修正。",
"暂停适用的方法",
"第45条",
"在不违反条约第14条的情况下，会议可暂停适用本议事规则的任何规则，但需提前24小时就暂停提议发出通知，如无批准国代表反对也可不提前通知。任何此种暂停适用，均应仅限于某一具体申明的目的，并应为实现此目的所需的期间为限。"
] | [
"Conference on Facilitating the Entry into Force",
"of the Comprehensive Nuclear-Test-Ban Treaty",
"New York, 23 September 2011",
"DRAFT RULES OF PROCEDURE",
"CONTENTS",
"Rule Page",
"I. REPRESENTATION AND CREDENTIALS 3",
"1. Participating States 3",
"2. Composition of delegations 3",
"3. Credentials 3",
"4. Credentials Committee 4",
"5. Provisional participation 4",
"II. OFFICERS 4",
"6. Election 4",
"7. Acting President 4",
"8. Participation of the President in decision-taking 4",
"III. GENERAL COMMITTEE 5",
"9. Composition 5",
"10. Functions 5",
"IV. SECRETARIAT 5",
"11. Duties of the Secretary of the Conference 5",
"12. Duties of the Secretariat 5",
"V. SECRETARY-GENERAL OF THE UNITED NATIONS 6",
"13. Duties of the Secretary-General 6",
"VI. EXECUTIVE SECRETARY OF THE PREPARATORY COMMISSION FOR THE COMPREHENSIVE NUCLEAR-TEST-BAN TREATY ORGANIZATION 6",
"14. Duties of the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear Test-Ban Treaty Organization 6",
"VII. CONDUCT OF BUSINESS 7",
"15. Quorum 7",
"16. General powers of the President 7",
"17. Points of order 7",
"18.. Speeches 7",
"19. Precedence 8",
"20. Closing of the list of speakers 8",
"21. Rights of reply 8",
"22. Suspension or adjournment of the meeting 9",
"23. Adjournment of debate 9",
"24. Closure of debate 9",
"25. Order of motions 9",
"26. Submission of proposals and amendments 10",
"27. Withdrawal of proposals and motions 10",
"28. Decision on competence 10",
"29. Reconsideration of proposals 10",
"VIII. DECISION-TAKING 11",
"30. Adoption of decisions 11",
"31. Meaning of the phrase “ratifiers present and voting” 11",
"32. Method of voting 11",
"33. Conduct during voting 11",
"IX. SUBSIDIARY ORGANS OF THE CONFERENCE 12",
"34. Subsidiary organs 12",
"X. LANGUAGES AND RECORDS 12",
"35. Languages of the Conference 12",
"36. Interpretation 12",
"37. Languages of official documents 12",
"38. Sound recordings of meetings 12",
"XI. OPEN AND CLOSED MEETINGS 13",
"39. Open and closed meetings 13",
"XII. OTHER STATES, INTERGOVERNMENTAL ORGANIZATIONS, ENTITIES AND NON-GOVERNMENTAL ORGANIZATIONS 13",
"40. Other States 13",
"41. Specialized agencies, related organizations and intergovernmental organizations 13",
"42. Entities having been granted observer status in the United Nations General",
"Assembly 13",
"43. Non-governmental organizations 14",
"XIII. AMENDMENT OR SUSPENSION OF THE RULES OF PROCEDURE 14",
"44. Method of amendment 14",
"45. Method of suspension 14",
"The purpose of the Conference is to examine the extent to which the requirement for entry into force set out in Article XIV, paragraph 1 of the Comprehensive Nuclear-Test-Ban Treaty (hereinafter “the Treaty”) has been met and to consider and decide by consensus what measures consistent with international law may be undertaken to accelerate the ratification process in order to facilitate the early entry into force of the Treaty.",
"I. REPRESENTATION AND CREDENTIALS",
"Participating States",
"Rule 1",
"1. Each State that has already deposited its instrument of ratification of the Treaty before the opening of the Conference (hereinafter “ratifier”) may participate in and be represented at the Conference convened pursuant to paragraph 3 of Article XIV of the Treaty.",
"2. Each State Signatory, which has not yet deposited its instrument of ratification of the Treaty before the opening of the Conference (hereinafter “signatory”), may attend the Conference in accordance with paragraph 4 of Article XIV of the Treaty.",
"3. The term “participating States” refers to ratifiers and signatories.",
"Composition of delegations",
"Rule 2",
"The delegation of a participating State shall consist of a head of delegation and such other alternates and advisers as may be required. The head of delegation may designate an alternate or adviser to act in his or her place.",
"Credentials",
"Rule 3",
"The credentials of representatives of ratifiers and the names of alternate representatives and advisers shall be submitted to the Secretariat of the Conference, if possible not less than one week before the date fixed for the opening of the Conference. Credentials shall be issued by the Head of State or Government or by the Minister for Foreign Affairs.",
"Credentials Committee",
"Rule 4",
"The Conference shall establish a Credentials Committee, which shall consist of five representatives of ratifiers appointed by the Conference on proposal of the President. The Committee shall examine the credentials of representatives and report to the Conference without delay.",
"Provisional participation",
"Rule 5",
"Pending a decision of the Conference upon their credentials, representatives shall be entitled to participate provisionally in the Conference.",
"II. OFFICERS",
"Election",
"Rule 6",
"The Conference shall elect a President and up to six Vice-Presidents. A majority of the Vice-Presidents shall be chosen from the ratifiers. The officers shall be so elected as to ensure a representative distribution of posts.",
"Acting President",
"Rule 7",
"1. If the President finds it necessary to be absent from a meeting or any part thereof, he or she shall designate one of the Vice-Presidents from a ratifier to take his or her place.",
"2. A Vice-President acting as President shall have the same powers and duties as the President.",
"Participation of the President in decision-taking",
"Rule 8",
"The President, or a Vice-President acting as President, shall not participate in taking decisions, but shall appoint another member of his or her delegation to do so in his or her place.",
"III. GENERAL COMMITTEE",
"Composition",
"Rule 9",
"1. The General Committee shall be composed of the President of the Conference and the Vice-Presidents of the Conference chosen from among the participating States.",
"2. If the President is unable to attend a meeting of the General Committee, he or she may designate a Vice-President from a ratifier to preside at such meeting and a member of his or her delegation to attend the meeting in his or her place. If a Vice-President is unable to attend, he or she may designate a member of his or her delegation to attend the meeting in his or her place.",
"Functions",
"Rule 10",
"The General Committee shall assist the President in the general conduct of the business of the Conference and, subject to decisions of the Conference, shall ensure the coordination of its work.",
"IV. SECRETARIAT",
"Duties of the Secretary of the Conference",
"Rule 11",
"1. There shall be a Secretary of the Conference. The Secretary-General of the United Nations shall nominate the Secretary of the Conference. He or she shall act in that capacity in all meetings of the Conference and its subsidiary organs and may designate a member of the Secretariat to act in his or her place at these meetings.",
"2. The Secretary of the Conference shall direct the staff of the Conference.",
"Duties of the Secretariat",
"Rule 12",
"The Secretariat of the Conference shall, in accordance with these rules:",
"(a) Interpret speeches made at meetings;",
"(b) Receive, translate, reproduce and distribute the documents of the Conference;",
"(c) Publish and circulate the official documents of the Conference;",
"(d) Make and arrange for the keeping of sound recordings of the meetings of the Conference;",
"(e) Arrange for the custody and preservation of the records of the Conference in the archives of the United Nations; and",
"(f) Generally perform all other work that the Conference may require.",
"V. SECRETARY-GENERAL OF THE UNITED NATIONS",
"Duties of the Secretary-General",
"Rule 13",
"The Secretary-General shall act at the Conference in his capacity as Secretary-General of the United Nations. The Secretary-General may designate a member of the Secretariat of the United Nations as his representative to participate in the Conference on his behalf. The Secretary-General or his representative shall be entitled to make oral or written statements concerning any matter under consideration by the Conference.",
"VI. EXECUTIVE SECRETARY OF THE",
"PREPARATORY COMMISSION FOR THE",
"COMPREHENSIVE NUCLEAR-TEST-BAN TREATY ORGANIZATION",
"Duties of the Executive Secretary of the",
"Preparatory Commission for the",
"Comprehensive Nuclear-Test-Ban Treaty Organization",
"Rule 14",
"The Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization may act at the Conference in that capacity. The Executive Secretary may designate a member of the Provisional Technical Secretariat of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization as his representative to participate in the Conference on his behalf. The Executive Secretary or his representative shall be entitled, within his competence as Executive Secretary, to make oral or written statements concerning any matter under consideration by the Conference.",
"VII. CONDUCT OF BUSINESS",
"Quorum",
"Rule 15",
"The presence of representatives of a majority of the ratifiers shall be required for any decision to be taken.",
"General powers of the President",
"Rule 16",
"1. In addition to exercising the powers conferred upon him or her elsewhere by these rules, the President shall preside at the plenary meetings of the Conference, declare the opening and closing of each meeting, direct the discussions, ensure observance of these rules, accord the right to speak, put questions to the Conference for decision and announce such decisions. He or she shall rule on points of order and, subject to these rules, have complete control of the proceedings and over the maintenance of order thereat. He or she may propose to the Conference the closure of the list of speakers, a limitation on the time to be allowed to speakers on a question, the adjournment or the closure of the debate, and the suspension or the adjournment of a meeting.",
"2. The President, in the exercise of his or her functions, remains under the authority of the Conference.",
"Points of order",
"Rule 17",
"A representative of a participating State may at any time raise a point of order, which shall be decided upon immediately by the President in accordance with these rules. A representative of a participating State may appeal against the ruling of the President. The appeal shall be put to the Conference for decision immediately, and the President's ruling shall stand unless overruled by a majority of ratifiers present and voting. A representative of a participating State may not, in raising a point of order, speak on the substance of the matter under discussion.",
"Speeches",
"Rule 18",
"1. No one may address the Conference without having previously obtained the permission of the President, who shall, subject to rules 17, 19 and 22 to 24, call upon speakers in the order in which they signify their desire to speak.",
"2. Debate shall be confined to the question before the Conference and the President may call a speaker to order if his or her remarks are not relevant to the subject under discussion.",
"3. The Conference may limit the time allowed to each speaker and the number of times each representative of a participating State may speak on a question. Before a decision is taken, two representatives of participating States may speak in favour and two against, a proposal to set such limits. In any event, the President shall limit interventions on procedural questions to a maximum of three minutes. When the debate is limited and a speaker exceeds the allocated time, the President shall call him or her to order without delay.",
"Precedence",
"Rule 19",
"The Chairman of a subsidiary organ may be accorded precedence for the purpose of explaining the conclusion arrived at by that organ.",
"Closing of the list of speakers",
"Rule 20",
"During the course of the debate the President may announce the list of speakers and, with the consent of the Conference, declare the list closed. When there are no more speakers on the list, the President may declare the debate closed.",
"Rights of reply",
"Rule 21",
"1. Notwithstanding rule 20, the President shall accord the right of reply to a representative of a participating State who requests it.",
"2. Replies made pursuant to this rule shall normally be made at the end of the last meeting of the day.",
"3. No delegation may make more than one statement under this rule at a given meeting.",
"4. An intervention in the exercise of the right of reply for any delegation at a given meeting shall be limited to three minutes.",
"Suspension or adjournment of the meeting",
"Rule 22",
"A representative of a ratifier may at any time move the suspension or the adjournment of the meeting. Such motions shall not be debated but shall, subject to rule 25, be put immediately to the Conference for decision.",
"Adjournment of debate",
"Rule 23",
"A representative of a ratifier may at any time move the adjournment of the debate on the question under discussion. In addition to the proposer of the motion, two representatives of participating States may speak in favour of, and two against, the adjournment, after which the motion shall, subject to rule 25, be put immediately to the Conference for decision.",
"Closure of debate",
"Rule 24",
"A representative of a ratifier may at any time move the closure of the debate on the question under discussion, whether or not any other representative of a participating State has signified a wish to speak. Permission to speak on the closure of the debate shall be accorded only to two speakers opposing the closure, after which the motion shall, subject to rule 25, be put immediately to the Conference for decision.",
"Order of motions",
"Rule 25",
"Subject to rule 17, the motions indicated below shall have the precedence in the following order over all other proposals or motions before the meeting:",
"(a) To suspend the meeting;",
"(b) To adjourn the meeting;",
"(c) To adjourn the debate on the question under discussion;",
"(d) To close the debate on the question under discussion.",
"Submission of proposals and amendments",
"Rule 26",
"Proposals and amendments put forward by participating States shall normally be submitted in writing to the Secretariat of the Conference, which shall circulate copies to all delegations. As a general rule, no proposal shall be discussed or put to a decision unless copies of it have been circulated to all delegations not later than a day preceding the meeting. The President may, however, permit the consideration of amendments or proposals, even though the amendments or proposals have not been circulated or have only been circulated the same day.",
"Withdrawal of proposals and motions",
"Rule 27",
"A proposal or a motion may be withdrawn by its sponsor at any time before a decision on it has been taken, provided that it has not been amended. A proposal or a motion thus withdrawn may be reintroduced by any representative of a participating State.",
"Decision on competence",
"Rule 28",
"Subject to rules 17 and 25, any motion by a participating State calling for a decision on the competence of the Conference to discuss any matter or to adopt a proposal submitted to it shall be decided before the matter is discussed or a decision is taken on the proposal in question. If consensus is not attainable, the Conference shall take a decision by a two-thirds majority of the ratifiers present and voting, taking into account, to the maximum extent possible, views expressed at the Conference by signatories.",
"Reconsideration of proposals",
"Rule 29",
"When a proposal has been adopted or rejected it may not be reconsidered unless the Conference takes a decision to that effect. Permission to speak on a motion to reconsider shall be accorded only to two speakers opposing reconsideration, after which it shall be put immediately to the Conference for a decision.",
"VIII. DECISION-TAKING",
"Adoption of decisions",
"Rule 30",
"1. Decisions on the measures referred to in paragraph 2 of Article XIV of the Treaty shall be taken by consensus of ratifiers, taking into account, to the maximum extent possible, views expressed at the Conference by signatories.",
"2 Decisions on matters of procedure shall be taken by a majority of ratifiers present and voting, taking into account, to the maximum extent possible, views expressed at the Conference by signatories.",
"3. When an issue arises as to whether a question is one of substance, as provided for in paragraph 1 above, or of procedure, that question shall be treated as a matter of substance.",
"Meaning of the phrase “ratifiers present and voting”",
"Rule 31",
"For the purpose of these rules, the phrase “ratifiers present and voting” means representatives of ratifiers present and casting an affirmative or negative vote. Ratifiers who abstain from voting shall be considered as not voting.",
"Method of voting",
"Rule 32",
"The ratifiers shall normally vote by show of hands or by standing, but any ratifier may request a roll call. The roll call shall be taken in the English alphabetical order of the names of the ratifiers, beginning with the delegation whose name is drawn by lot by the President. The name of each ratifier shall be called in all roll calls and its representatives shall reply “yes”, “no” or “abstention”. In the case of a decision on a matter of procedure, a vote will be taken consistent with paragraph 2 of rule 30.",
"Conduct during voting",
"Rule 33",
"The President shall announce the commencement of voting, after which no representative of a ratifier shall be permitted to intervene until the result of the vote has been announced, except on a point of order in connection with the process of voting.",
"IX. SUBSIDIARY ORGANS OF THE CONFERENCE",
"Subsidiary organs",
"Rule 34",
"1. The Conference may establish such subsidiary organs as may be needed for the conduct of its work.",
"2. The rules of procedure of the Conference shall apply, mutatis mutandis, to its subsidiary organs, unless decided otherwise.",
"X. LANGUAGES AND RECORDS",
"Languages of the Conference",
"Rule 35",
"The languages of the Treaty shall be the official languages of the Conference.",
"Interpretation",
"Rule 36",
"1. Speeches made in a language of the Conference shall be interpreted into other official languages of the Conference.",
"2. A representative of a participating State may make a speech in a language other than a language of the Conference if his or her delegation provides for interpretation into one such language.",
"Languages of official documents",
"Rule 37",
"Official documents of the Conference shall be made available in the languages of the Conference.",
"Sound recordings of meetings",
"Rule 38",
"Sound recordings of meetings of the Conference and its subsidiary organs shall be made and kept in accordance with the practice of the United Nations.",
"XI. OPEN AND CLOSED MEETINGS",
"Open and closed meetings",
"Rule 39",
"1. The plenary meetings of the Conference shall be open unless otherwise decided by the Conference.",
"2. Meetings of the subsidiary organs shall be restricted to participating States as defined in rule 1, unless otherwise decided by the Conference.",
"XII. OTHER STATES, INTERGOVERNMENTAL ORGANIZATIONS, ENTITIES AND NON-GOVERNMENTAL ORGANIZATIONS",
"Other States",
"Rule 40",
"Any State which, in accordance with Article XI of the Treaty, has the right to sign the Treaty, but has not yet done so, may attend the Conference. Representatives of these States shall be entitled to attend open meetings of the Conference, to address the Conference under the agenda item allocated for this purpose, to receive the documents of the Conference and to submit written contributions on matters under consideration by the Conference.",
"Specialized agencies, related organizations",
"and intergovernmental organizations",
"Rule 41",
"Any specialized agency, related organization or intergovernmental organization having received a standing invitation to participate as an observer in the sessions and the work of the United Nations General Assembly may apply to the Secretariat of the Conference to attend the Conference. Permission to attend will be granted on the decision of the Conference. Such a specialized agency, related organization or intergovernmental organization shall be entitled to attend open meetings of the Conference, to receive the documents of the Conference and to submit written contributions on matters under consideration by the Conference.",
"Entities having been granted observer status",
"in the United Nations General Assembly",
"Rule 42",
"Any entity having received a standing invitation to participate as an observer in the sessions and the work of the United Nations General Assembly and maintaining permanent observer missions or permanent offices at United Nations Headquarters may apply to the Secretariat of the Conference to attend the Conference. Permission to attend will be granted on the decision of the Conference. Such an entity shall be entitled to attend open meetings of the Conference, to receive the documents of the Conference and to submit written contributions on matters under consideration by the Conference.",
"Non-governmental organizations",
"Rule 43",
"Any non-governmental organization (NGO) that wishes to attend the Conference may apply to the Secretariat of the Conference to attend the Conference. Permission to attend will be granted on the decision of the Conference. Such a non-governmental organization shall be entitled to attend open meetings of the Conference, to receive upon request the documents of the Conference and to make available at its own cost written contributions on matters under consideration by the Conference. At the invitation of the President of the Conference, a representative chosen by NGOs attending the Conference from among their number would be allowed to address the Conference under the agenda item allocated for this purpose.",
"XIII. AMENDMENT OR SUSPENSION OF THE RULES OF PROCEDURE",
"Method of amendment",
"Rule 44",
"Subject to Article XIV of the Treaty, these rules of procedure may be amended by a decision by a majority of ratifiers present and voting.",
"Method of suspension",
"Rule 45",
"Subject to Article XIV of the Treaty, any of these rules may be suspended by the Conference, provided that 24 hours’ notice of the proposal for the suspension has been given, which may be waived if no representative of a ratifier objects. Any such suspension shall be limited to a specific and stated purpose and to a period required to achieve that purpose."
] | CTBT-ART.XIV_2011_1 | [
"Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty",
"New York, 23 September 2011",
"Draft rules of procedure",
"Contents",
"Adoption of the agenda",
"The purpose of the meeting was to review the status of the requirements for entry into force set out in article 14, paragraph 1, of the Comprehensive Nuclear-Test-Ban Treaty (hereinafter referred to as “the Treaty”), and to consider and decide, in a consensual manner, what measures in compliance with international law could be taken to expedite the ratification process in order to facilitate the early entry into force of the Treaty.",
"Representation and credentials",
"Participants",
"Article 1",
"States that have submitted their treaty ratification instruments before the opening of the General Assembly (hereinafter referred to as “rator”) may participate in meetings pursuant to article 14, paragraph 3, of the Treaty and be represented.",
"Any signatory that has not deposited its instrument of ratification before the opening of the Conference (hereinafter referred to as “signatory State”) may attend the meeting in accordance with article 14, paragraph 4, of the Treaty.",
"The term “Partners” means ratifying States and signatories.",
"Composition of delegations",
"Article 2",
"Delegations from participating States shall be composed of a head of delegation and other necessary alternates and advisers. The head of delegation may designate a deputy representative or an adviser to act as a representative.",
"Credentials",
"Article 3",
"The credentials of representatives and the names of alternate representatives and advisers shall be submitted to the secretariat of the Conference at least one week before the date fixed for the opening of the session. Credentials shall be issued either by the Head of State or Government or by the Minister for Foreign Affairs.",
"Credentials Committee",
"Article 4",
"The Conference shall establish a Credentials Committee composed of five representatives of the ratifying State appointed by the Conference on the proposal of the President. The Credentials Committee shall examine the credentials of representatives and report thereon to the Conference as soon as possible.",
"Provisional participation",
"Article 5",
"Pending a decision on the credentials of representatives at the Conference, representatives shall be invited to attend.",
"Officers",
"Elections",
"Article 6",
"The Meeting shall elect a Chairman and up to six Vice-Chairpersons. More than half of the Vice-Chairpersons shall be elected from among the ratifying States. The election of officers shall ensure the representation of posts.",
"Acting Chairman",
"Article 7",
"If the President is unable to attend a part of a meeting or meeting, he or she shall appoint one of the Vice-Chairpersons from the ratifying State to act as President.",
"The powers and duties of the Vice-Chairman shall be the same as the President.",
"Participation in decision-making",
"Article 8",
"The President or the Vice-Chairman of the Acting Chairman shall not be involved in decision-making and shall designate another member of his or her delegation to act on that matter.",
"General Committee",
"Composition",
"Article 9",
"The General Committee shall consist of the President of the Conference and the Vice-Chairpersons elected from among the States participating in the Conference.",
"If the President is unable to attend the General Committee meeting, he or she may designate a Vice-Chairperson from the State of ratification to preside over the Conference and designate a member of his or her delegation to attend. If the Vice-Chairperson is unable to attend, a member of his or her delegation may be present.",
"Functions",
"Article 10",
"The General Committee shall assist the President in the conference services and, in accordance with the decisions taken by the Conference, ensure the coordination of its work.",
"Secretariat",
"Duties of the Secretary of the Conference",
"Article 11",
"The Conference shall establish a Secretary of the Conference. The Secretary of the Conference shall be appointed by the Secretary-General of the United Nations. The Secretary of the Conference shall act in his capacity as Secretary of the Conference at all meetings of the Conference and its subsidiary organs and may designate a member of the secretariat to act in such meetings.",
"The Secretary of the Conference shall guide the staff of the Conference.",
"Duties of the secretariat",
"Article 12",
"The secretariat of the Conference shall, in accordance with these rules of procedure:",
"(a) Statements at the interpretation conference;",
"(b) To receive, translate and disseminate documents of the Conference;",
"(c) The publication and dissemination of official documents of the Conference;",
"(d) Produce and arrange for the preservation of the recordings of meetings;",
"(e) Arrange for the custody and preservation of the records of the United Nations archives;",
"(f) Generally assume all other work required by the Conference.",
"United Nations Secretary-General",
"Duties of the Secretary-General",
"Article 13",
"The Secretary-General shall act in his capacity as Secretary-General of the United Nations at the meeting. The Secretary-General may designate a member of the United Nations Secretariat as his representative to represent the Secretary-General. The Secretary-General or his representative shall be entitled to make oral or written statements on any matter considered by the Conference.",
"Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization",
"responsibilities of the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization",
"Article 14",
"The Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization may act in that capacity. The Executive Secretary may designate a member of the Provisional Technical Secretariat of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization as his representative. The Executive Secretary or his representative shall be entitled to make oral or written statements on any matter considered by the Conference within the mandate of the Executive Secretary.",
"Venue of meetings",
"Legislative strength",
"Article 15",
"Any decision shall be taken by a majority of the authorized representatives.",
"General powers of the President",
"Article 16",
"In addition to the powers conferred upon it by other rules of procedure, the President shall preside at the plenary meeting of the Conference, declare the opening and closing of each meeting, lead the discussion, ensure compliance with the rules of procedure, give the right to speak, propose questions to the Conference and announce decisions. The President shall rule on procedural matters and, in accordance with these rules of procedure, shall have full control over the conduct and maintenance of the order of the Conference. The President may propose to the Conference the closure of the list of speakers, limiting the time allowed for each speaker to speak on a question, the suspension or closure of the debate, the suspension or the adjournment of the meeting.",
"The President, in exercising his duties, remains bound by the powers of the Conference.",
"Points of order",
"Article 17",
"A representative of the participating States may at any time raise a point of order, which shall be immediately decided by the President in accordance with these rules of procedure. Representatives of participating States may challenge the President's ruling. The Conference shall immediately rule against this objection unless the President's ruling is rejected by a majority of the authorized States present and voting. Representatives of participating States may not speak on the substance of the matter under discussion when making a point of order.",
"Statements",
"Article 18",
"No one may speak at the meeting without prior permission from the President. The President shall, without prejudice to articles 17, 19 and 22 to 24, give the floor to speakers in the order in which they are requested.",
"The debate shall be limited to the issues discussed at the Conference and, if statements are not relevant to the issues under discussion, the President of the Conference may urge speakers to adhere to the rules.",
"The meeting may limit the time allowed for each speaker and the number of times each representative of the participating State may speak on a question. Before deciding on proposals for such limitations, statements may be made by two representatives in favour of and two against the proposal. In any case, the President shall limit the number of statements on procedural matters to up to three minutes. In the event of time constraints in the debate, if a speaker exceeds the specified time, the President shall immediately urge him to comply with the rules.",
"Priority statements",
"Article 19",
"If the President of a subsidiary organ is required to explain the conclusions of the organ, the President may allow his or her priority.",
"Closing of statements",
"Article 20",
"In the course of the debate, the President may announce the list of speakers and, with the consent of the Conference, declare the list closed. If no statements have been made, the President may declare the debate closed.",
"Right of reply",
"Article 21",
"Notwithstanding article 20, the President may permit the representatives of the participating States requesting the reply to exercise the right of reply.",
"In accordance with this article, the reply shall normally be held at the end of the last meeting of the day.",
"Any delegation may make a statement under this rule at a meeting.",
"Statements made by any delegation at a meeting shall be limited to three minutes.",
"Suspension or adjournment of the meeting",
"Article 22",
"A representative of the author of the approval State may at any time move the suspension or the adjournment of the meeting and shall not be debated, and shall, without prejudice to article 25.",
"Suspension of debate",
"Article 23",
"A representative of the ratifying State may at any time move the adjournment of the debate on the question under discussion. In addition to the proposer of the motion, statements may be made by two representatives in favour of and two opposing the adjournment of the debate and shall be submitted to the Conference without prejudice to article 25.",
"Closure of the debate",
"Article 24",
"A representative of the ratifying State may at any time move the closure of the debate on the question under discussion, whether any other representative of the participating State has expressed the wish to speak. Permission to speak on the motion for the closure of the debate shall be accorded only to two speakers opposing the closure, after which the motion shall be immediately referred to the Conference without prejudice to article 25.",
"Order of motions",
"Article 25",
"Subject to rule 17, the following motion shall be accorded precedence in the following order to all other proposals or motions submitted to the Conference:",
"(a) To suspend the meeting;",
"(b) To adjourn the meeting;",
"(c) To adjourn the debate on the question under discussion;",
"(d) Closure of the debate.",
"Submission of proposals and amendments",
"Article 26",
"Proposals and amendments submitted by participating States shall normally be submitted in writing to the secretariat of the Conference, which will circulate copies to delegations. In general, no proposal shall be discussed or decided upon unless copies of the proposal are circulated to delegations at a later date of the meeting. However, even if amendments or proposals are not circulated or are circulated only on the same day, the President may permit discussion or consideration of amendments or proposals.",
"Withdrawal of proposals and statements",
"Article 27",
"A proposal or an objection may be withdrawn by the original sponsor at any time prior to its decision, provided that it has not been amended. A proposal or an objection that has been withdrawn may be reintroduced by any representative of the participating State.",
"Decisions on competence",
"Article 28",
"Subject to articles 17 and 25, the participating States requested any action on the competence of the Conference to discuss any matter or adopt a proposal submitted to the Conference, which shall be decided prior to the discussion of the matter or before a decision is taken on the proposal. If consensus is not possible, the Conference shall take a decision by two thirds of the States Parties present and voting, taking into account, to the extent possible, the views expressed by the signatory States at the Conference.",
"Reconsideration of proposals",
"Article 29",
"A proposal that has been adopted or rejected shall not be reconsidered unless the Conference decides to reconsider. Only two speakers opposing reconsideration should be allowed to speak on the dynamic of reconsideration before they should be submitted to the Conference immediately.",
"Decision-making",
"Decisions",
"Article 30",
"Decisions relating to the measures referred to in article 14, paragraph 2, of the Treaty shall be taken by consensus by the ratifying State, taking into account, to the extent possible, the views expressed by the signatory States at the Conference.",
"Decisions on procedural matters shall be taken by a majority of the States Parties present and voting, taking into account, to the extent possible, the views expressed by the signatory States at the meeting.",
"The issue should be considered as a matter of substance when it arises as to whether a question is substantive or procedural issues specified in paragraph 1 above.",
"meaning of the phrase “rator of the States Parties present and voting”",
"Article 31",
"In this rule, the phrase “ratified States present and voting” indicates and castes the representatives of the State that voted in favour of the vote or against the vote. The State that abstained shall be considered as not voting.",
"Method of voting",
"Article 32",
"The ratifying State shall normally vote by show of hands or by means of order, but any representative may request a roll-call vote. A roll-call vote shall be taken in the English alphabetical order of the name of the author of the State, beginning with the delegation decided by lot by the President. At the time of a roll-call vote, the names of each ratifying State shall be rolled out and shall be answered by the representative of that State by “in favour”, “objection” or “ abstaining”. A vote will be taken in accordance with article 30, paragraph 2.",
"Conduct of voting",
"Article 33",
"After the announcement of the vote, no representative shall interrupt the voting until the result of the voting has been announced, in addition to a point of order relating to the voting process.",
"Subsidiary organs of the Conference",
"Subsidiary organs",
"Article 34",
"The Conference may establish a subsidiary body required to carry out its work.",
"Unless otherwise decided, the rules of procedure of the Conference shall apply mutatis mutandis to its subsidiary organs.",
"Languages and records",
"Languages of the Conference",
"Article 35",
"The language of the treaty shall be the official languages of the Conference.",
"Interpretation",
"Article 36",
"Statements made in one of the languages of the Conference shall be interpreted into the other official languages of the Conference.",
"Representatives of participating States may speak in a language other than the language of the Conference, but the delegation shall arrange for their interpretation to be a language of the Conference.",
"Languages of official documents",
"Article 37",
"Official documents of the Conference are available in the languages of the Conference.",
"Sound recordings of meetings",
"Article 38",
"Sound recordings of meetings of the Conference and its subsidiary organs shall be produced and kept in accordance with United Nations practice.",
"Public meetings and closed meetings",
"Public meetings and closed meetings",
"Article 39",
"The plenary meetings of the Conference shall be held in public unless the Conference decides otherwise.",
"Unless otherwise decided by the Conference, meetings of subsidiary organs shall be limited to the participating States as defined in Article 1.",
"Other States, intergovernmental organizations, entities and non-governmental organizations",
"Other States",
"Article 40",
"Any State entitled to sign a treaty under article 11 of the Treaty may attend. Representatives of these States shall be entitled to attend public meetings, to make statements at meetings on the agenda items allocated for this purpose, to receive the documentation of the meeting and to submit written observations on matters of the Conference.",
"specialized agencies, relevant organizations and intergovernmental organizations",
"Article 41",
"Any specialized agencies, organizations or intergovernmental organizations that have received a standing invitation to participate in the sessions of the General Assembly and its work as observers may submit requests to the secretariat of the Conference for participation. The permission to attend shall be granted in accordance with the decisions of the Conference. Such specialized agencies, relevant organizations or intergovernmental organizations shall be entitled to attend public meetings, receive documents of the Conference and submit written observations on matters considered by the Conference.",
"Entities granted consultative status with the United Nations General Assembly",
"Article 42",
"Any other entity that has received a standing invitation to participate in the sessions of the General Assembly and its work and maintains a permanent office at United Nations Headquarters may submit a request for participation to the secretariat of the Conference. The permission to attend shall be granted in accordance with the decisions of the Conference. Such entities shall be entitled to attend public meetings, receive documents of the Conference and submit written observations on matters considered by the Conference.",
"Non-governmental organizations",
"Article 43",
"Any non-governmental organization wishing to attend may submit a request for participation to the Conference secretariat. The permission to attend shall be granted in accordance with the decisions of the Conference. Such non-governmental organizations shall be entitled to participate in public meetings, to receive documents of the Conference, upon request, and to provide written advice on matters considered by the Conference, with costs self-sufficiency. At the invitation of the President of the Conference, a representative elected by a non-governmental organization present at the meeting from among its members will be able to make a statement to the Conference on the agenda items allocated for that purpose.",
"Amendments to or suspension of the rules of procedure",
"Method of amendment",
"Article 44",
"Subject to article 14 of the Treaty, the present rules of procedure may be amended by the decision of the majority of the ratifying States present and voting.",
"Method of suspension",
"Article 45",
"Subject to article 14 of the Treaty, the Conference may suspend any rules applicable to these rules of procedure, subject to a 24-hour notice of the suspension of the proposal, which may not be notified in advance of the objection by the representative of the State without the approval. Any such suspension shall be limited to a specified purpose and shall be required for that purpose."
] |
[
"2011年第二届常会",
"2011年9月6日至9日，纽约",
"临时议程项目1",
"组织事项",
"2011年年度会议报告 (2011年6月6日至17日，纽约)",
"目录",
"章次 页次\n1.组织事项 3\n关于开发署的部分 3\n2.署长的发言和年度报告 3\n3.向开发署的供资承诺 5\n4.评价 6\n5.人类发展报告 6\n6.开发署国家方案及有关事项 7\n7.联合国资本发展基金 8\n8.联合国志愿人员 9\n关于项目厅的部分 10\n9.执行主任的发言和年度报告 10 \n联合部分 11\n10. 内部审计和监督 11\n11.开发署、人口基金和项目厅道德操守办公室的报告 15\n12.实地访问 16\n关于人口基金的部分 16\n13.执行主任的发言和年度报告 16\n14.对人口基金的供资承诺 18\n15. 人口基金国家方案及有关事项 19\n16.战略计划中期审查 20\n17.其他事项 21",
"一. 组织事项",
"1. 开发署、人口基金和项目厅执行局于2011年6月6日至17日在纽约联合国总部举行了2011年年度会议。",
"2. 执行局核可了2011年年度会议议程和工作计划(DP/2011/L.2)，并核可了2011年第一届常会报告(DP/2011/20)。",
"3. 执行局商定了执行局2011年今后各届会议的时间表如下：",
"2011年第二届常会：2011年9月6日至9日。",
"4. 执行局2011年年度会议通过的各项决定载于DP/2011/32号文件，可查阅：http://www.undp.org/execbrd。",
"5. 开发署副助理署长兼伙伴关系局副局长告知执行局，开发署、人口基金和儿基会已商定采用共同办法，确保在南苏丹计划独立后的各月中继续南苏丹的方案工作；三个组织在制定出细节后，将联合告知执行局。",
"6. 执行局同意推迟审议开发署的方案拟订安排，从2011年第二届常会推迟至2012年第一届常会。",
"关于开发署的部分",
"二. 署长的发言和年度报告",
"7. 署长在向执行局所作的发言(见开发署网站http://www.beta.undp.org/ content/undp/en/home/operations/executive_board/overview.html)中，概述了发展全景变化背景下的机构改革议程。署长重点说明进行中的工作将如何推动开发署从一个良好的组织演变为一个优秀的组织，将如何进一步提高开发署在国家一级取得具体发展成果的能力。署长强调了战略计划中期审查的主要结论，以及内部变革议程加强开发署工作的途径。署长还概述了在2010年成果报告8个重点成果领域内开发署2010年在全世界帮助实现的一些成果。",
"8. 署长然后谈到开发署在联合国一致性议程方面取得的进展，指出开发署坚定地致力于妥善安排联合国发展系统的资源，以更有效、更战略性地应对国家一级的发展挑战。署长在强调开发署需要有必要数量的稳定核心资源时，呼吁所有伙伴增加为2011年和当前战略计划剩余时期提供的核心捐款。",
"9. 署长指出，加强机构披露政策从而增强透明度具有重要意义，并告知执行局，开发署正按预期一步步地采用《国际公共部门会计准则》(《公共部门会计准则》)。署长最后向执行局通报了新近启用的开发署网站。",
"10. 各代表团对署长发言提到的重点领域发表了评论意见，其中包括：机构改革议程、中期审查进程和下一个战略计划、向开发署的供资承诺以及加大信息披露以增强透明度的问题。代表团谈到的问题还涉及《人类发展报告》和提交审议的有关中等收入国家的决定草案。",
"11. 经社理事会主席然后发言，他感谢开发署署长概述开发署重要活动和贡献的全面发言。主席支持中期审查进程，并认可年度报告所列的实质方向。主席谈及的问题包括：国家方案文件草案的重要性，以及稳定和可预测的资金使开发署执行发展任务的必要性。",
"12. 在变革管理和机构改革方面，若干代表团欣见这一进程使开发署有机会彻底审查目前分散和头重脚轻的设置，并突出开发署实现转型变革的工作领域。在这方面，这些代表团鼓励加强驻地协调员制度，以及利用总部工作人员和国家办事处工作队的技能组合。",
"13. 许多代表团承认在中期审查进程中取得的进展，同时认为有进一步改进的空间，特别是中期审查的发展成果框架。这些代表团在表示关切时指出，需要在战略上增强清晰度并提出更多的改进建议，因为中期审查表明，在若干问题方面没有达到期望。这些问题包括：开发署如何调整战略重点，以重新确定国家方案的方向，如何汲取经验教训，以加强实地的成果；开发署为发展所作的重要贡献是什么；以及开发署如何改进成果和业绩报告。这些代表团大力支持制订一个路线图，以指导下一个战略计划的编制和协商，这些代表团希望下一个战略计划将明确确立开发署在更广泛发展环境中的战略位置。",
"14. 还有些代表团总体上欢迎中期审查，表示支持这一进程，并请讨论过程中关注最不发达国家关切的问题。若干代表团在谈到类似问题时强调，需要根据中等收入国家特定和有差别的需要，重新考虑目前的毕业标准。",
"15. 一些代表团指出，应采用以需求驱动的方法来减轻贫穷，并强调需要把伊斯坦布尔《2011-2020十年期支援最不发达国家行动纲领》纳入开发署今后的工作方案。然而，若干代表团吁请开发署更加侧重于其具备相对优势的领域，尤其是民主治理以及预防危机和复原。还有些代表团强调，在消除贫穷方面，应减少社会不平等。",
"16. 许多代表团对核心资源捐助持续下降的趋势表示严重关切，并吁请捐助国兑现解决核心资源与非核心资源失衡问题的承诺。这些代表团还强调，应确保提供稳定、可观、可预测的核心资源，使开发署有效履行其发展任务。",
"17. 其他代表团确认需要持续提供稳定资金，同时敦促开发署实现捐助群体多样化，并遵循联合国秘书长提倡的严格预算纪律。借此机会，一些代表团在讨论过程中承诺2011年为开发署的核心资源捐款。",
"18. 发言的代表团重申明确支持向政府间组织以及全球抗击艾滋病、结核病和疟疾基金披露与项目和方案有关的内部审计报告，不管这些组织和基金捐助数量的多少。这些代表团还强调，在遵守保密要求的条件下，应给予这些非国家组织与会员国相同的查阅报告的机会。",
"19. 许多代表团在强调需处理中等收入国家特定和有差别的需要时，表示坚决支持拉丁美洲和加勒比国家提交审议的有关中等收入国家的决定草案。两个代表团指出过去有关《人类发展报告》的关切问题，同时指出，在起草报告过程中与会员国的协商已取得重大进展。",
"20. 署长感谢各代表团内容翔实的评论意见和关切，并回应了涉及如下内容的问题：中期审查，特别是涉及开发署对发展的贡献以及发展成果框架的评论意见；机构改革议程；开发署保持普遍存在的重要性；对更广泛查阅内部审计报告的新要求作出回应的必要性。协理署长还回应了就中期审查的技术和方法方面问题提出的评论意见。",
"21. 执行局通过了关于开发署战略计划中期审查的第2011/14号决定，并表示注意到：署长关于2010年业绩和成果的年度报告(DP/2011/22)及其附件、开发署关于2010年联合检查组各项建议的报告(DP/2011/22/Add.1)以及统计附件(DP/2011/22/Add.2)。",
"三. 向开发署的供资承诺",
"22. 署长介绍了关于向开发署的供资承诺的项目，同时一并感谢向开发署提供资源的所有伙伴。署长还提及2011年维持或增加向开发署提供的资金的国家。助理署长兼伙伴关系局局长还详细说明了供资环境目前的复杂性，并强调应向开发署提供稳定、充足、可预测的核心资源，以确保开发署执行发展任务。她概述了开发署为下述目的进行的努力：扩大捐助群体；加强战略沟通；并进一步统筹对待筹资和资源调动工作。",
"23. 有两个代表团发言对开发署未实现战略计划所列的2010年和2011年的目标表示遗憾。一个代表团代表若干代表团发言，强调所有会员国分担经济责任的原则。该代表团还吁请开发署扩大捐助群体的范围，并说开发署需要少花钱、多办事。",
"24. 另一个代表团注意到千年发展目标的目标日期，同时鼓励捐助国处理核心资源与非核心资源之间持续存在的失衡问题。该代表团重申2011年其对核心资源的供资承诺。",
"25. 署长与助理署长兼伙伴关系局局长表示注意到代表团提出的评论意见，并期待继续得到执行局的指导。",
"26. 执行局通过了关于2011年及以后向开发署及其各基金和方案提供经常资金的承诺状况的第2011/15号决定。",
"四. 评价",
"27. 评价办公室主任介绍了2010年评价工作年度报告，重点说明开发署及其相关基金和方案的评价职能、独立评价的重要结果和经验教训以及评价办公室2011-2012年的拟议工作方案。",
"28. 各代表团确认在管理层回应以及利用评价方面出现了改进，并希望评价结果的使用将加强今后的成果管理。然而，一些代表团对分散评价在质量、覆盖范围和遵守情况方面的有限进展表示关切，敦促开发署确保行之有效的评价计划成为国家方案的一个部分，并确保计划的评价得以开展。这些代表团要求就处理评价专家人数减少问题的管理计划作出解释。",
"29. 若干代表团对2010年完成的成果评价无一令人非常满意表示关切，但同时注意到，这些评价无一令人非常不满意。这些代表团谈到方案设计存在缺陷，缺乏明确界定的成果框架，同时强调需要采取重大措施，以弥补事实缺陷。这些代表团惊讶地获悉，从2009年至2010年，评价办公室的预算减少了14%，并要求对此予以澄清。这些代表团还希望了解为2012年安排的战略计划评价重点领域。",
"30. 一些代表团对评价办公室新主任的任用过程极感兴趣，并要求提供这一过程的最新情况。这些代表团还期待看到，今后所有国家方案文件都附有成果评价，管理层对所有评价相应作出回应，以及管理层的回应措施得到及时落实。",
"31. 各代表团欣见独立评价小组中发展中国家评价员的人数增加，一些代表团指出，评价办公室在这些评价小组中保持了性别均衡，但难以增加小组女负责人的人数。 这些代表团呼吁关注建设评价能力的问题，以增加发展中国家专业妇女评价员的人数。",
"32. 一个代表团在一般性评论整体评价职能时说，如果能够增加国家一级的联合评价，可最大程度地减少重复工作。",
"33. 协理署长兼评价办公室主任回应了代表团提出的评论意见，并重申开发署致力于改进评价职能，以便实现转型变革。",
"34. 执行局通过了关于年度评价报告的第2011/16 号决定(DP/2011/24)。",
"五. 人类发展报告",
"35. 依照执行局第2011/12号决定，署长口头介绍了开发署和人类发展报告处(人发报告处)为确保落实大会第57/264号决议载列的建议与准则而采取的措施。署长重点说明了人发报告处一些重要的机构方面问题，包括编辑独立的性质，并重申人类发展报告对开发署具有重要意义。人类发展报告处处长摘要介绍了协商过程，以及编写2011年报告(DP/2011/25)的过程。",
"36. 各代表团赞赏署长的口头发言，并赞扬人发报告处为落实执行局第2011/12号决定和大会第57/264号决议载列的建议所作的努力。代表团欣见同会员国以及相关统计界进行的协商进程得到加强，以增强报告的质量和客观性。代表团重申，在编制今后的报告时，协商进程具有重要意义。一些代表团向人发报告处的继任主任表示祝贺。",
"37. 一个代表团提醒谨防使用表述政府间机构仍未明确界定概念的指标(如人权)。该代表团满意地注意到，人发报告处与该国政府进行合作，以解决围绕国民收入估计数产生的问题，并希望能够为其他未被纳入2010年报告的国家找到妥善的解决办法。另一个代表团欣见人发报告处决定，考虑到正在筹备里约+20可持续发展大会，因此2011年报告不提出环境可持续性的新指数。",
"38. 其他代表团承认人发报告处需要与会员国和联合国统计委员会进行对话，但同时强调，确保人发报告处的编辑独立性具有重要意义。",
"39. 协理署长感谢代表团的鼓励，重申人发报告处致力于同利益攸关方进行对话，特别是与会员国和国际统计界对话。",
"40. 执行局通过了关于更新《人类发展报告》的第2011/17号决定。",
"六. 开发署国家方案及有关事项",
"开发署国家方案",
"41. 协理署长介绍了这一项目，在介绍了22份国家方案草案、1份共同国家方案文件草案和1个次区域方案后，邀请各代表团对上述文件发表评论意见。",
"42. 新国家方案草案所涉国家的代表团感谢开发署的支持，并请执行局积极审议面前的国家方案文件草案。这些代表团重点说明了各国家方案文件草案反映的关键重点领域，同时强调，联合国各组织的工作必须通过在重点领域提供技术援助和能力建设，与各国政府实现可持续发展的努力相辅相成。还有些代表团强调，必须考虑到中等收入国家。",
"43. 其他代表团促请开发署加强国家办事处的能力，并请求在今后的国家方案文件中重点关注性别问题主流化、加强司法改革、提供选举支持以及应对气候变化等重要的交叉问题。这些代表团还指出成果框架存在缺陷，这些缺陷将为成果报告和成果管理制造困难，并建议开发署形成更全面的成果链条，并纳入更多有关风险分析和减缓风险的信息。",
"44. 一个代表团想知道，鉴于国家办事处的能力和任务规定，开发署涉足的方案领域是否过于广泛。该代表团补充说，可选择的另一作法是侧重于精心挑选的方案领域。另一个代表团对纳入国家方案文件草案的评价计划的遵守情况表示关切，特别是遵守分散评价的趋势不断恶化。该代表团敦促开发署确保在制订国家方案阶段聘请性别问题专家，并加强问责机制，以便从一开始就确保质量。",
"45. 关于坦桑尼亚联合共和国和阿尔巴尼亚的共同国家方案文件草案，另一代表团代表若干代表团发言，要求提供最新信息，说明是否将向执行局提交总结经验教训的结果，以及何时提交；要求说明独立评价取得的进展；并要求提供审查管理与问责系统的最新情况。该代表团还强调，需要确定联合国国家工作队面临的机构瓶颈问题，并概述了相关机构的执行局可协助推动这一进程的方式。",
"46. 执行局表示注意到，埃及、几内亚、海地、毛里求斯、摩尔多瓦、突尼斯和阿拉伯联合酋长国的国家方案延长一年。执行局核准将南非国家方案第二次延长一年，并将克罗地亚、马达加斯加和巴拉圭的国家方案延长两年。",
"47. 执行局表示注意到就22份国家方案草案发表的评论意见，所涉国家如下：(非洲区域)乍得、埃塞俄比亚、加蓬、加纳、毛里塔尼亚、圣多美和普林西比、塞内加尔、塞舌尔和津巴布韦；(阿拉伯区域)巴林、摩洛哥和沙特阿拉伯；(亚洲和太平洋区域)孟加拉国、蒙古国和菲律宾；(东欧和独立国家联合体)吉尔吉斯斯坦、黑山和乌克兰；(拉丁美洲和加勒比区域)萨尔瓦多、洪都拉斯、牙买加以及特立尼达和多巴哥。",
"48. 执行局还表示注意到就阿尔巴尼亚共同国家方案文件草案以及巴巴多斯和东加勒比国家组织的次区域方案文件草案发表的评论意见。",
"49. 执行局依照其第2001/11号和第2006/36号决定，核准在2011年第一届常会上作为例外情况提交的坦桑尼亚联合共和国共同国家方案文件。",
"2009-2013年开发署全球方案中期审查",
"50. 协理署长介绍了这一项目。助理署长兼发展政策局局长介绍了2009-2013年开发署全球方案中期审查的报告(DP/2011/27)，阐述了全球方案中期审查的结论以及拟议的今后工作方向。",
"51. 各代表团没有发表评论意见。",
"52. 执行局通过了关于开发署全球方案中期审查的第2011/18号决定。",
"七. 联合国资本发展基金",
"53. 协理署长介绍了这一项目，称赞联合国资本发展基金(资发基金)2010年实现的成果，然后简短介绍了资发基金的工作及其与开发署的伙伴关系。资发基金执行秘书介绍了关于资发基金2010年成果的报告，其中包括资发基金与开发署战略伙伴关系执行情况的进度报告。",
"54. 各代表团赞扬资发基金的良好业绩，特别是在国家一级的业绩，并欢迎资发基金继续扩大活动，这表明基金赢得了越来越多的信任。然而，若干代表团对核心资源数额不断下降表示关切，鼓励资发基金扩大捐助群体范围，确保供资基础更加稳定、更可预测。",
"55. 一个代表团代表最不发达国家发言，对资发基金为在最不发达国家实现千年发展目标所作的重要贡献感到鼓舞。该代表团希望看到今后资发基金注重在所有最不发达国家扩大国家一级的活动范围，特别是小额金融服务和地方发展方案。该代表团还请资发基金将关于最不发达国家的伊斯坦布尔行动纲领的相关规定和原则纳入工作的主流，并感谢资发基金在第四次联合国最不发达国家问题会议期间举行两次会外活动。",
"56. 一个代表团赞扬资发基金衡量成果的广泛框架，赞扬基金在2010年委托对其各项方案进行了9次充分评价，并对小额金融服务组合进行了1次外部审查。另一代表团欣见资发基金与开发署的战略伙伴关系近年来变得愈加紧密。该代表团还指出，资发基金几乎所有的国家方案都是与开发署联合开展的。",
"57. 执行秘书感谢各代表团的溢美之词和评论意见，执行秘书说，若不增加筹资，向更多最不发达国家扩大资发基金的活动范围将面临挑战。协理署长赞扬执行秘书的领导，并重申开发署致力于加强与资发基金开展的工作，以实现转型变革。",
"58. 执行局通过了关于资发基金2010年成果报告的第2011/19号决定(DP/2011/ 28)。",
"八. 联合国志愿人员",
"59. 协理署长介绍了关于志愿人员国际年十周年和联合国志愿人员方案四十周年活动规划的项目，并指出在过去40年中方案取得了积极的进展。联合国志愿人员组织执行协调员详述了该组织的工作，介绍了根据大会第63/135号决议为筹备有关志愿人员国际年的活动的各种举措的最新情况。她还向这一年中献出生命的联合国志愿人员致敬。",
"60. 各代表团赞扬联合国志愿人员推进和平、稳定和自主发展的工作，赞赏志愿人员在世界各地的奉献和艰苦工作。各代表团指出，在纪念志愿人员国际年十周年之际，他们期待进一步弘扬志愿行动的价值观，打造和强化志愿人员网络，帮助实现千年发展目标。",
"61. 一个代表团说，志愿人员国际年应该是一个很好的机会，借以审视和关心志愿人员的运动和贡献，并认为志愿人员应享有国际专家享有的职务豁免。另一个代表团提及志愿行动及其在当地发展活动中的重要性，期待看到正由联合国志愿人员组织编制的首部《世界志愿行动状况报告》的出台。",
"62. 一些代表团将联合国志愿人员方案与各国国内的志愿活动挂钩，表示坚决支持联合国志愿人员方案的目标。一些代表团借此机会确认其捐款意向，并呼吁其他国家也向特别志愿人员基金捐款。其他代表团与执行协调员一起向今年殉职的志愿人员致敬。",
"63. 执行协调员对各代表团的评论和意见表示感谢，并强调必须承认志愿人员的贡献。她说，由于志愿人员所处境况很艰难，有时还有危险，因此必须让他们有安全，并享有与联合国其他人员一样的职务豁免。她也对各个合作伙伴的持续支持表示感谢，并说，联合国志愿人员组织将继续致力于倡导志愿精神，提供志愿工作的机会，确保在地域和性别上实现最大限度的均衡。",
"64. 执行局通过了关于志愿人员国际年十周年和联合国志愿人员方案四十周年活动规划的2011/20号决定。",
"关于项目厅的部分",
"九. 执行主任的发言和年度报告",
"65. 项目厅执行主任介绍了年度报告和执行2010-2013年战略计划的进展，突出阐述项目厅对联合国及其合作伙伴为需要得到援助的人带来实质惠益的工作的贡献。他概述了项目厅2010年的工作，包括价值为12.7亿美元的项目服务、清理和改善业务做法的情况以及在一些国家的实地业务成果。通过清理和改善业务做法，2008-2009两年期审计中无保留意见。执行主任介绍了项目厅为提高服务效率和质量的不懈努力，突出述及项目厅最近得到的核证。他还指出，2011年提交执行局的年度报告中将列入实施关于综合表彰及奖惩的政策的结果。",
"66. 许多代表团感谢执行主任介绍年度报告，强调项目厅在过去一年中取得了积极的成果。在这方面，他们赞扬项目厅管理人员发挥领导作用，确保项目厅的财政稳定。",
"67. 一个代表团回顾此前关于项目厅审计、调查和道德操守报告的讨论，鼓励管理人员继续支持这些相对较新的审计和道德操守职能，以便有效执行任务。该代表团还鼓励项目厅帮助发展中国家不仅建设其技术能力，而且发展增进可持续性的体制能力。另一个代表团注意到，项目厅继续在其任务和核心能力范围内力争满足与日俱增的国家能力建设需求，包括对管理咨询服务的需求。",
"68. 一个代表团满意地注意到项目厅在2010年花钱少办事多，希望项目厅的工作被当作联合国其他机构效仿的榜样，并希望项目厅作为联合国国家工作队的重要成员推进联合国的一致性议程。另一代表团鼓励项目厅继续迅速提供高质量的服务，同时探讨增加从发展中国家采购的可能性。",
"69. 一个代表团表示希望在即将举行的执行局第二届常会上讨论项目厅两年期支助预算。另一代表团承认2010年的成果，但鼓励项目厅探讨增加成本效益的更多机会，向执行局报告结果。",
"70. 执行主任对各代表团的鼓励和指导表示感谢，并向各代表团保证，项目厅计划仔细审视各代表团发表的评论，包括关于希望项目厅与联合国系统其他组织分享良好管理做法的意见。此外，他说，项目厅将继续在其任务范围内参与国家能力和核心能力建设。",
"71. 执行局通过了关于项目厅执行主任的年度报告的第2011/21号决定。",
"联合部分",
"十. 内部审计和监督",
"72. 开发署审计和调查处处长、人口基金监督事务司司长和项目厅内部审计和调查组主任介绍了各自关于内部审计和监督活动的年度报告(DP/2011/29、DP/FPA/2011/5和DP/OPS/2011/2)。",
"73. 随后，开发署助理署长兼管理局局长、人口基金执行主任、项目厅副执行主任分别以管理方名义作了答复。",
"74. 各代表团对开发署审计和调查处、人口基金监督事务司和项目厅内部审计和调查组提交信息丰富、引人深思的年度报告表示感谢。他们对管理层的答复和审计咨询委员会的报告表示赞赏。各代表团对开发署、人口基金和项目厅的共同问题和每一机构独特的问题发表了评论。他们感到鼓舞的是，三个机构的高级管理层正在认真考虑审计结论和建议，着力及时认真弥补不足。一些人建议开发署和人口基金加快步伐，努力有效实施18个月前提出的审计建议。然而，若干代表团对负责监督工作的部门的人员配置情况表示关切，要求改进在内部审计和监督活动的报告或在管理方答复中定期汇报关于欺诈和推定欺诈案件的工作。",
"开发署",
"75. 一些代表团注意到，被评为“满意”的国家办事处的比例从39%降至25%，而评为“不满意”的国家办事处的比例仍与2009年相同。他们对这一趋势表示关切，要求听取开发署管理层对令人不满意的评分的推定原因(包括系统性缺陷)的看法。",
"76. 同样，一些代表团注意到，22%的审计建议与国家办事处采购职能有关，希望今后能就开发署如何实施这些建议的问题开展对话。他们也有兴趣更多了解开发署2012年采用《国际公共部门会计准则》的准备工作，包括该准则的准备状态“仪表板”。",
"77. 其他一些代表团鼓励审计和调查处继续与联合国其他组织协商，探讨用联合办法审计联合方案的可能性。关于开发署审计咨询委员会2010历年的年度报告，一个代表团代表若干其他代表团发言，对现金转移统一办法各方面的后续工作作了评论，要求进一步讨论这方面问题。",
"78. 另一代表团对审计和调查处章程的修订表示欢迎，请署长向执行局提供附加说明的附录，显示修改之处，并提出修改的理由。",
"79. 审计和调查处处长对关于下列事项的评论作了答复：与国家办事处采购职能有关的审计建议、审计评分的变动、“一体行动”审计办法、一般调查。他解释说，虽然“满意”评分比例大幅下降值得关切，但应该看到审计评分是在波动的，不应被视为一种趋势，而是更加全面的审计的结果。此外，他解释说，开发署目前提供合并审计摘要，但将需要采用联合审计办法，无论有关指控的严重程度为何，所有调查均须有适当程序。",
"80. 助理署长兼管理局局长解释了开发署为弥补职能和政策领域的系统性不足而采取的对策，指出目前在采取与减低风险和落实问责的政策有关的措施。副助理署长兼管理局副局长进一步澄清了审计评分变动的原因，并解释说，只有一个国家办事处得到同样的“不满意”评分。",
"81. 开发署审计咨询委员会主席对开发署及时全面回应管理方的答复表示赞赏。关于对现金转移统一办法的评论，她解释说，年度报告并没有暗示，现金转移统一办法本身的保证程度低于非政府组织和国家执行情况的审计。如果现金转移统一办法的全部流程和程序得不到遵守，就有可能降低保证程度。现金转移统一办法的一次审计显示，在遵守所有标准方面有一些缺陷，因此认为如标准得不到遵守，就会出现风险。",
"人口基金",
"82. 若干代表团对报告的格式和报告中的具体建议发表了意见。他们要求管理方在今后答复中更加具体地说明为实施审计建议所采取的措施，包括实施建议的预期时限。他们对人口基金处理调查案件的透明度表示满意。",
"83. 一些代表团对监督事务司填补空缺员额的积极情况表示欢迎，并强调所有工作人员都应具备开展工作的必要技巧和能力。他们对执行主任加强学习与发展的计划表示欢迎，以确保技巧和能力更加符合需要，使工作人员能有效执行任务。",
"84. 一些代表团关切地注意到，审计委员会关于2008-2009年财务报表的有保留的审计意见所涉问题和反复出现的审计问题尚未得到适当处理，结构性和系统性的挑战尚存。他们表示支持执行主任努力处理这些问题。",
"85. 一些代表团对下列情况表示关切：国家执行情况审计中发现财务风险增加，状况恶化；“不满意”评分增多；方案监测和评价工作继续面临挑战；工作人员没有清楚了解总部各单位、区域和国家办事处的作用；一些管理举措性质很不相同。各代表团鼓励人口基金在优先重视高风险领域的机构风险管理战略的框架内，在业务规划等方面进一步整合努力，使监控系统体制化，包括为国家办事处和监督系统提供适当支持。",
"86. 一些代表团注意到，监督事务司报告的结论认为，为了防止审计发现的问题再次发生，国家办事处需要作基本调整，因此这些代表团欣见执行主任亲自主持审计监测委员会会议，并保证将此作为人口基金的优先事项。他们赞赏管理层为实施审计建议而采取的各种措施，并注意到这需要有一定时间才能产生影响，但感到关切的是，另一次审计也可能有保留意见。若干代表团赞扬人口基金加快步伐实施18个月以前提出的审计建议。",
"87. 一些代表团对人口基金审计咨询委员会的报告表示欢迎，要求该委员会代表提出人口基金的三个最优先的事项，并说明管理层处理其提出的问题的能力。一些代表团请执行主任确定实施内部审计人的建议的优先事项，并提出载列明确的措施和时间表的行动计划。他们建议定期报告进展情况，由执行局予以审查。",
"88. 执行主任强调，人口基金很重视审计问题，正在通过对战略计划中期审查和(或)业务计划处理这些问题。他深信执行局成员将对人口基金采取的步骤感到满意。他指出，为减轻基金的风险，现已采取了各种措施，包括突出基金的战略重点，审查与执行伙伴的合作情况，减少方案产出的数目。他重申人口基金充分承诺保持透明度，接受问责。",
"89. 监督事务司司长指出，调查处工作人员已有增加。关于欺诈问题，他说，人口基金已购买了用于不断监测的软件。关于“不满意”评分，他指出，重要的是应考虑到人口基金所依赖的是一种风险模式，对具有最高风险的单位进行了特定审计，因此出现“不满意”的评分是不可避免的。但一些缺陷是系统性的。如执行主任所述，这些问题正在通过中期审查和业务计划处理。",
"90. 人口基金审计咨询委员会代表回答问题时指出，人口基金的优先事项是从战略上整合风险管理与方案/项目管理。她说，人口基金面临的许多问题可通过将风险管理计划纳入业务计划的方法来处理。",
"项目厅",
"91. 各代表团对项目厅收到无保留的审计意见表示欢迎，赞扬内部审计和调查组尽心尽职履行调查职能。但他们也对需要改进的领域发表意见，要求收到关于审计结论所涉财政问题以及内部审计和调查组在2009-2010年如何处理增加170%的指控的进一步信息。",
"92. 一些代表团注意到，从2008年到2009年，建议的总数和高度优先的建议的数目都大幅下降，2010年这一状况又被完全颠倒过来，为此要求收到关于波动原因的进一步信息。他们还敦促项目厅加紧努力实施提出已久的审计建议。",
"93. 一个代表团鼓励项目厅管理层确保为内部审计和调查组配置执行任务所需的资源，并就影响内部审计和调查组工作的重大事态发展与执行局协商。",
"94. 内部审计和调查组主任回答关于收到的指控增加的意见时说，项目厅努力防止案件成为骚扰案件。项目厅通过监察员和调解程序做到这一点。她说，项目厅将向执行局成员随时通报与欺诈和腐败案件有关的发展情况，项目厅目前依赖联合国系统各组织所掌握的情况。关于为应对案件数目剧增而需增加人力资源问题，她说，项目厅管理层将需要结合预算和目前的审计员数目来审议这个问题。",
"95. 执行局通过了关于开发署、人口基金和项目厅关于2010年内部审计和监督活动的报告的第2011/22号决定。",
"对关于内部审计报告披露更多信息的新要求的回应",
"96. 开发署署长介绍了该项目，强调开发署急需对保证透明度和问责制表现出决心。她还说，开发署如果不能让机构捐助者查阅内部审计报告，就可能失去信任，失去资助。开发署审计和调查处处长代表开发署、人口基金和项目厅提交了报告，说明了对关于内部审计报告(DP-FPA-OPS/2011/1)披露更多信息的要求的回应。",
"97. 全球抗击艾滋病、结核病和疟疾基金(全球基金)执行主任指出全球基金与开发署的工作关系十分重要，并表示全球基金理事会对管理人员目前查阅内部审计报告的权限日益感到关切。执行主任虽然表示相信提出的备选办法是向前迈进的重要一步，但还是请执行局允许有一定的灵活度。",
"98. 许多代表团欢迎有机会讨论对关于内部审计报告披露更多信息的新要求作出回应的备选办法。这些代表团强调必须提高各个组织的透明度和开放性，明确表示支持向捐助机构披露与项目和方案相关的内部审计报告，无论捐款额为何，使捐助机构享有与会员国一样的查阅权限，前提是保密要求继续得到满足。关于精简程序问题，各代表团建议探讨能否为非机密文件找到安全的技术处理方案，请三个机构向执行局2011年第二届常会提交一份关于远程调阅内部审计报告的联合建议。他们还就新的披露政策的实施发表了意见，认为这方面的责任应仍然由各机构的监督部门承担。",
"99. 一个代表团指出，披露内部审计报告是在各机构内进一步打造透明度和问责制文化的一个重大步骤。另一代表团强调使用资金决不能考虑政治因素，并警告说，在没有关于所提备选办法的影响的充分信息的情况下，讨论该项目的时间不成熟。该代表团强调，让非国家实体与会员国有同样的查阅内部审计报告的权限，无论如何是不可接受的。",
"100. 开发署署长、人口基金执行主任和项目厅执行主任表示完全支持提高内部审计报告的透明度，披露更多信息。开发署署长重申问题的严重性，并解释了不对关于内部审计报告披露更多信息的新要求做出反应而可能产生的后果。",
"101. 执行局通过了对关于内部审计报告披露更多信息的新要求的回应的第2011/23号决定。",
"102. 第2011/23号决定通过后，一个代表团发言解释了其本国政府为何加入协商一致意见允许非国家捐助者(特别是政府间组织和全球抗击艾滋病、结核病和疟疾基金)查阅其捐助的项目和方案的内部审计报告的原因。",
"十一. 开发署、人口基金和项目厅道德操守办公室的报告",
"103. 开发署道德操守办公室主任、人口基金道德操守办公室道德操守顾问和项目厅总法律顾问解释了各自机构道德操守办公室的报告(DP/2011/30、DP/FPA/2011/6和DP/OPS/2011/3)。",
"104. 两个代表团发了言。一个代表团对开发署、人口基金和项目厅道德操守办公室的报告表示欢迎，并对三个机构的道德操守办公室为在联合国系统内打造廉正问责文化的集体努力表示欢迎。该代表团强调坚决支持财政披露方案，认为这是避免工作人员利益冲突的一个关键工具。该代表团高兴地看到遵守规章的比例在开发署为99%，在人口基金为100%，在项目厅为95%。",
"105. 该代表团要求今后报告要有实质内容，要求列出关于需要资产弃除或其他补救行动的案件的数目。该代表团敦促三个机构公布高级官员的财务披露表，以提高透明度。此外，该代表团建议开发署、人口基金和项目厅将保护举报人的报告标准化，并就处理关于打击报复的指控事宜征求联合国道德操守委员会主席的指导。",
"106. 另一代表团强调，要使这三个机构保持健康，必须确立有力的道德操守职能，以便更好地满足发展中国家的需要。该代表团鼓励三个机构的管理层进一步确保道德操守职能体制化。",
"107. 开发署道德操守办公室主任承认在财务披露方面需要列出补救行动的实际数目，并说今后报告将载列相关统计数据。项目厅总法律顾问表示支持公共财务披露，但认为自愿披露的问题需由联合国道德操守办公室审议。",
"108. 人口基金道德操守顾问感谢各代表团的意见和支持。她同意开发署的答复，并注意到人口基金将继续在联合国道德操守委员会的框架内与其他组织统一行动。",
"109. 执行局通过了关于开发署、人口基金和项目厅道德操守办公室的报告的第2011/24号决定。",
"十二. 实地访问",
"110. 赴菲律宾共和国联合实地访问以及赴巴拿马和乌拉圭实地访问的各领队介绍了该项目。实地访问报告员陈述了各自的报告(DP-FPA/2011/CRP.1和更正；DP/2011/CRP.2-DP/FPA/2011/CRP.1；DP/2011/CRP.3-DP/FPA/2011/CRP.2)，其中强调主要结论和建议。",
"111. 一个代表团在认可实地访问成功的同时，亦请执行局秘书处提供资料说明组织这些实地访问的总费用，特别是旅行相关费用。",
"112. 执行局注意到关于赴菲律宾共和国、巴拿马和乌拉圭实地访问的三份报告。",
"关于人口基金的部分",
"十三. 执行主任的发言和年度报告",
"113. 执行主任在执行局的发言(可查阅http://www.unfpa.org/public/home/ news/pid/7763)中报告了过去三年来在执行战略计划方面所取得的进展，突出介绍了将人口基金建设为更突出重点、更有成效的组织的各项计划。他说，目前已在开展各项强化组织的工作，包括对战略计划进行中期审查以及制定一项内部业务计划。",
"114. 各代表团感谢执行主任颇有见地的陈述，赞赏执行主任在重新评估人口基金战略优先事项的工作以及透明、包容的中期审查进程中发挥的领导作用。多个代表团强调，《国际人口与发展会议(人发会议)行动纲领》应该是人口基金的工作的核心，是人口与发展、生殖健康和权利以及性别平等领域工作的核心。各代表团着重指出，必须维护人发会议的共识。他们强调，人口基金的工作必须遵循立足人权的方针。各代表团认为，人口基金的战略方向应该加强重点，但也指出，应该保留所有可能的切入点，以便加强与利益攸关方和发展伙伴的合作。各代表团注意到千年发展目标5进展滞后，着重指出人口基金在协助各国推进千年发展目标5方面的关键作用，强调数据对发展的重要性，应加强国家数据系统和能力建设，敦促人口基金坚持采用在文化上敏感的方案拟定办法。各代表团提到人口基金在支持南南合作方面的关键作用。",
"115. 各代表团欢迎执行主任将青少年作为重点，强调需要对青年人投资，包括提供信息、教育和便利青年的服务。一个代表团提议在未来的一届会议上就联合国各实体的青年工作举行讨论，以促进联合行动。人口基金在紧急情况/人道主义环境下的工作受到欢迎，一些代表团鼓励基金加强自身及其伙伴在预防和应对性别暴力方面的合作机制和能力。人口基金在其2010年人口普查中给予各国的支持得到赞赏。一个代表团提出，应每年对基金的人道主义活动进行审查/讨论。",
"116. 几个代表团提到第四次联合国最不发达国家问题会议，强调必须加快最不发达国家的进展，才能在2015年以前实现各项千年发展目标。一个代表团代表最不发达国家集团对执行主任的支持表示感谢。该代表团强调，最不发达国家在实现千年发展目标中有关普及生殖健康、包括计划生育的具体目标方面面临严峻挑战，该代表团表示相信人口基金会优先重视最不发达国家。",
"117. 大家承认，技能熟练的接生人员的作用，特别是助产士的作用，对降低孕产妇和新生儿死亡率和发病率至关重要。一个代表团宣布了一项新的举措，将扩大该国助产士计划，并提高由技能熟练的助产士接生的分娩所占百分比。该代表团表示，该国将与人口基金密切合作。另一个代表团宣布了一项新的国家计划，将为城乡孕妇提供各种免费服务。",
"118. 执行主任强调问责制为人口基金的当务之急，各代表团对此表示欢迎。他们敦促人口基金更加重视国家执行、财务管理、审计合规、评估以及循证的方案拟定和决策。关于成果报告，一些代表团强调，应该确定经验教训以及所遇到和已克服的挑战。各代表团赞赏人口基金对联合国改革的贡献，包括对“一体行动”的贡献。几个代表团指出，人口基金应与妇女署合作，确保对性别平等问题采取协调互补的办法。",
"119. 很多代表团强调，人口基金需要更多可预测的财政资源，以协助各国执行人发会议议程和实现千年发展目标。他们鼓励人口基金争取更高效、更有效地利用资源。大不列颠及北爱尔兰联合王国代表团宣布，该国今后两年将保持目前每年2 000万英镑的核心供资数额。该代表团强调，未来的供资将取决于三个关键方面：国家一级的方案实施和效用改善；成果管理制加强；财政管理改善，包括审计合规情况改善。其他代表团，包括爱沙尼亚、芬兰、爱尔兰、荷兰和新西兰代表团，也提到各自对人口基金的核心捐款。日本代表团表示深为感谢人口基金及其工作人员在日本最近发生地震后所表现的同情。该代表团说，尽管处于目前的形势下，该国政府仍将履行对人口基金的财政承诺。",
"120. 几个代表团对人口基金多名高级专业工作人员将于2011-2015年期间退休的情况表示关切。他们强调新的工作人员应有必要的培训/知识专长，并吁请执行主任保持地域平衡和性别平等。一个代表团要求说明哪些单位将会受到未来退休情况的影响。",
"121. 执行主任感谢各代表团的支持，强调人口基金决心改善方案交付、成果管理制、效率、透明度和问责制，包括注重财务管理和审计合规。他同意需要灵活处理，也认识到不能搞一刀切。他欢迎对中期审查的支持，也认为展示成果至关重要。他说，人口基金已采取重大步骤强化和精简成果框架。他向各国保证，侧重于妇女、女孩和青年并不意味着人口基金不与各国合作解决它们在人口和发展、性别平等以及生殖健康领域的需求。他欢迎关于在执行局未来一届会议上讨论青年问题的建议。他强调，人口基金致力于满足最不发达国家的需求和落实《伊斯坦布尔行动纲领》。他说，人口基金还致力于满足中等收入国家的需求。",
"122. 执行主任感谢会员国的慷慨捐款，并促请各国作出多年承诺。他说，两年期预算草案将于今年晚些时候备妥，并向执行局保证，人口基金正在高效管理总费用和总收入。他说，内部业务计划将侧重于工作人员培训、上岗和更替规划。",
"123. 执行局通过了关于执行主任2010年报告的第2011/25号决定。",
"十四. 对人口基金的供资承诺",
"124. 资源调动处处长介绍了关于会员国和其他捐助方向人口基金捐款以及2011年及其后年份收入预测情况的报告(DP/FPA/2011/4)，并提供了有关供资情况的最新资料。他说，截至2011年6月1日，2011年向人口基金经常资源捐款的预测收入估计数约为4.556亿美元，大大超过该报告在2011年3月定稿时预测的4.442亿美元。2011年其他资源(共同筹资)预测收入估计数为2.7亿美元。他强调，经常资源是人口基金各项业务的基石，并着重指出，现在比以往任何时候都更需要充足、连贯、可预测的财政资源。",
"125. 多个代表团在一份联合声明中表示，他们同意报告的主要结论，认为人口基金必须有稳定的经常资源基础，才能支持各国执行《人发会议行动纲领》。这些代表团强调，他们向基金的捐款优先捐入经常资源，因为核心供资是人口基金所有工作的基石。他们还指出，其他资源是对基金经常资源基础的重要补充。他们欢迎新经济体和新兴经济体更多参与，并强调人口基金需要有更多的重要捐助方。",
"126. 各代表团鼓励人口基金进一步改善其财务和业务管理，强调财务和业务管理的改善以及有效和循证的方案拟定对于吸引经常资源和其他资源均有重要意义。他们指出，在当前的全球环境下，各组织均应“少花钱多办事”，他们欢迎执行主任努力使人口基金更高效地取得并展示成果。各代表团强调，这一点将对基金调动资源的能力起到决定性作用。",
"127. 执行主任感谢各代表团认可人口基金为加强其财务基础所作的努力。他强调，问责制和透明度将是人口基金的口号，人口基金将力求“用更少资源取得更大成效”。",
"128. 执行局通过了关于会员国和其他捐助方的捐款以及2011年及其后数年收入预测的报告的第2011/26号决定。",
"十五. 人口基金国家方案及有关事项",
"129. 首先，执行局核准了坦桑尼亚联合共和国共同国家方案文件的机构部分。该文件先前已在2011年第一届常会上经执行局审议。",
"130. 人口基金副执行主任(方案)概述了以下18份提交执行局审议的国家方案文件草案：非洲——埃塞俄比亚、加蓬、加纳、毛里塔尼亚、圣多美和普林西比、塞内加尔、津巴布韦；阿拉伯国家——摩洛哥；亚洲及太平洋——孟加拉国、老挝人民民主共和国、蒙古、菲律宾；东欧和中亚——阿尔巴尼亚、吉尔吉斯斯坦、乌克兰；拉丁美洲和加勒比——萨尔瓦多、加勒比英语和荷兰语国家多国方案文件、洪都拉斯。她还介绍了几内亚、南非、马达加斯加、突尼斯、摩尔多瓦共和国、海地和巴拉圭的国家方案延长事宜。随后，人口基金的非洲、阿拉伯国家、亚洲及太平洋、东欧和中亚以及拉丁美洲和加勒比各区域主任详述了各自区域的方案。",
"131. 各代表团赞赏国家方案文件是与各国政府和发展伙伴的密切协商后拟订的，并与国家计划和优先事项保持一致。多个代表团注意到他们数十年来与人口基金的合作，特别指出这些方案考虑到了各国具体背景。他们强调，必须在性健康和生殖健康及生殖权利、人口和发展以及性别平等领域开展能力建设。一些代表团指出，鉴于财政和经济环境日益窘迫，鼓励人口基金加强和扩大与其他发展伙伴合作，包括与美国国家开发署、儿基会和世卫组织合作。在这方面，一些代表团强调需要找出漏洞，避免工作重叠。",
"132. 一些代表团吁请人口基金突出方案重点，增进协同作用，以便取得最佳发展成果。他们指出，在资源有限的情况下，某些国家方案文件草案中的预期成果和指标定得过高，不切实际。各代表团请人口基金特别注意应对青年人、穷人和处境不利的各类人群的需求，包括土著人的需求。他们强调，必须采用对性别问题有敏感认识并以权利为基础的办法。各代表团赞扬人口基金在倡导提高助产士地位和促进由技能熟练的助产人员接生方面所发挥的重要作用。各代表团还对具体的国家方案文件草案发表评论意见并提出了问题。以下各代表团就各自的国家方案感谢执行局和人口基金并赞赏基金的支持：阿尔巴尼亚、安提瓜和巴布达 (代表加勒比共同体的14个会员国)、孟加拉国、埃塞俄比亚、洪都拉斯、蒙古、摩洛哥、菲律宾、圣多美和普林西比、南非、乌克兰、坦桑尼亚联合共和国。",
"133. 人口基金各区域办事处主任感谢各代表团的评论意见和支持。他们向执行局保证，将按照第2006/36号决定，向有关国家转达对国家方案文件草案的评论意见，供它们在最后确定国家方案文件时考虑。",
"134. 执行局核可延长马达加斯加、巴拉圭和南非的方案，并注意到几内亚、突尼斯、摩尔多瓦共和国和海地的方案延长。此外，执行局注意到以下18份国家方案文件草案以及对这些草案的评论意见：埃塞俄比亚、加蓬、加纳、毛里塔尼亚、圣多美和普林西比、塞内加尔、津巴布韦、摩洛哥、孟加拉国、老挝人民民主共和国、蒙古、菲律宾、阿尔巴尼亚、吉尔吉斯斯坦、乌克兰、萨尔瓦多、加勒比英语和荷兰语国家多国方案文件、洪都拉斯。",
"十六. 战略计划中期审查",
"135. 执行主任介绍了该议程项目。副执行主任(方案)陈述了执行2008-2013年战略计划所取得的进展和面临的挑战。方案司司长作了关于成果问责制——强化衡量系统的陈述。",
"136. 多个代表团赞赏人口基金采用包容、透明和协商的办法处理正在进行中的2008-2013年战略计划中期审查。他们强调，必须确保人口基金所有伙伴都充分致力于所需的变革，才能提高基金的实效。他们欢迎制定一项业务计划，其中清楚概述需要采取哪些行动来落实人口基金的战略和业务优先事项。各代表团指出，加强的国家一级成果和影响，将是评估基金实效的基础。他们鼓励人口基金加强与其他发展伙伴的协同作用。",
"137. 几个代表团赞扬执行主任所作的突出侧重基金核心任务的决定。他们强调，至关重要的是，人口基金仍须充当生殖健康和权利的倡导者，并领导全球努力加快推进实现人发会议的各项目标以及千年发展目标中有关降低孕产妇死亡率和普及生殖健康的具体目标，包括计划生育的具体目标。他们认为，计划生育和对青年人的重视，包括对少女的重视，对于基金履行任务和实现千年发展目标具有核心意义。他们指出，人口基金在性健康和生殖健康及生殖权利方面的工作最为接近实现业务成果，有助于改善你处境不利的群体的生活，特别是妇女和青年的生活。",
"138. 多个代表团表示，人道主义援助应该继续作为人口基金工作的一个重要方面。基金在打击性别暴力以及确保妇女在自然灾害和冲突环境下能够生育方面发挥了独特作用。若干代表团敦促人口基金除了发挥政策和保护方面的次群组协调作用之外，自身也继续充当人道主义行为体。",
"139. 各代表团欢迎人口基金与艾滋病规划署和保健四机构伙伴协同努力，以进一步减少艾滋病毒的性传播，并促进更好地整合母婴传播的预防工作与性健康和生殖健康及计划生育方案。一些代表团指出，随着妇女署的成立，人口基金需要重新审视它在性别平等和增强妇女权能领域的作用。他们认为，人口基金应该继续开展促进性别平等和增强妇女权能的工作，但重点应该是与性健康和生殖健康及生殖权利有关的性别平等问题。",
"140. 一些代表团指出，基金工作的多个方面支离破碎，分散了它的影响，在管理上造成了很大的复杂性和风险。他们鼓励人口基金突出战略计划的重点，并通过减少成果和产出数目来减少方案领域的数目。突出重点和减少成果数目将有助于优化现有财政和人力资源的使用，提高效率，增强实效和影响。他们支持人口基金努力改善监测和评价系统，提高数据质量，并特别指出，宣传发展影响对于获得进一步的政治和财政支持至关重要。",
"141. 几个代表团指出，人口基金同其他组织一样，并非无所不在、无所不能。鉴于可用的财政和人力资源有限，人口基金必须就优先开展哪些工作作出艰难的战略决定。为了实现和报告成果，基金应该根据其支持执行《人发会议行动纲领》的责任，侧重于自身具有相对优势且能增加价值的领域，在工作人员和方案过于分散的国家特别如此。一些代表团提议，除了考虑人口基金的相对优势，还应该根据对各国具体需求和背景的差别分析作出选择。",
"142. 关于改善基金的业绩衡量和成果报告的必要性问题，几个代表团指出，必须减少战略计划中的指标数目，加强成果与产出之间的联系，才能更好地展示基金对成果的贡献。各代表团鼓励人口基金在人发会议目标和千年发展目标5所含具体目标尚未走上进展轨道的国家实行高影响做法，并加强与发展伙伴的合作。各代表团注意到，人口基金的主要影响是通过在国家一级开展的工作产生的，他们指出，为了有效开展工作并实现可见的成果，人口基金的方案必须具体适应国家和当地需求以及其他行为体的参与程度。",
"143. 执行主任感谢各代表团的评论意见，并注意到这些意见集中在以下各方面：优先重视青年人，特别是女孩；性健康和生殖健康以及确保提供计划生育的方案；性别平等和人口动态的重要性；按照人发会议议程和千年发展目标5推动上述各方面的进展。方案司司长感谢各代表团的指导和支持，并表示，人口基金将在即将举行的非正式会议上提供更多指标。关于采购问题，管理事务司司长表示，人口基金正在审查各个领域，包括基金可能对价格造成影响的商品和长期协议。",
"十七. 其他事项",
"通过的其他决定",
"144. 执行局通过了关于人口基金2012-2013两年期预算临时拨款的第2011/27号决定、关于最不发达国家的第2011/28号决定以及关于中等收入国家的第2011/29号决定。",
"145. 第2011/29号决定通过之后，一个代表团说明了提交关于中等收入国家的决定的目的，强调需要采用更先进的手段来衡量发展。",
"146. 一个代表团询问是否可以安排在2011年第二届常会上进行关于青年的专题讨论。另一个代表团发言时感谢开发署、人口基金和项目厅处理有关执行局文件语文要求的问题，并希望看到一如既往的合作。",
"其他活动",
"147. 进行了以下专题讨论/磋商：",
"(a) 关于各组织在应对中等收入国家发展需求方面的作用的联合专题讨论。联合国发展集团拉丁美洲主席以及联合国发展集团欧洲和中亚主席介绍了各自区域中等收入国家的发展需求。乌拉圭总统府秘书谈到联合国在中等收入国家的作用。纳米比亚共和国代表就中等收入国家相关问题介绍了非洲国家的经验，包括纳米比亚的经验。",
"(b) 关于环境和气候变化的联合专题讨论：三机构在国家一级的作用。开发署助理署长兼发展政策局局长代表开发署、人口基金和项目厅介绍了这三个组织在发展中国家的作用。布基纳法索代表提供了该国参与非洲适应方案的经验，同时也指出气候变化对该国发展的负面影响。人口基金技术司司长介绍了人口基金在人口、环境和气候变化方面的工作，他指出，人口基金是唯一以人口问题为重点任务的组织。项目厅拉丁美洲和加勒比区域局局长介绍了项目厅为国家和区域各级应对气候变化所作的贡献。随后播放了一段介绍巴巴多斯小额赠款方案的简短视频。",
"(c) 关于第四次联合国最不发达国家问题会议背景下的最不发达国家相关问题的联合专题讨论。执行局主管亚太国家副主席主持了关于第四次联合国最不发达国家问题会议背景下的最不发达国家相关问题的联合专题讨论。以下人士作了陈述：联合国最不发达国家、内陆发展中国家和小岛屿发展中国家高级代表办事处代理主任、尼泊尔常驻联合国副代表(代表最不发达国家集团主席)、开发署助理署长兼非洲区域局局长、人口基金技术司司长、项目厅北美洲办事处区域主任。",
"(d) 就开发署2012-2013两年期机构预算估计数、人口基金战略计划中期审查和项目厅两年期支助预算进行了非正式讨论。"
] | [
"United Nations DP/2011/31",
"[]",
"Second regular session 2011",
"6 to 9 September 2011, New York",
"Item 1 of the provisional agenda",
"Organizational matters",
"Report of the annual session 2011",
"(6 to 17 June 2011, New York)",
"Contents",
"Chapter Page",
"I. Organizational matters 2",
"UNDP segment",
"II. Statement by the Administrator and annual report of the Administrator 2",
"III. Funding commitments to UNDP 4",
"IV. Evaluation 5",
"V. Human Development Report 6",
"VI. UNDP country programmes and related matters 7",
"VII. United Nations Capital Development Fund 8",
"VIII. United Nations Volunteers 9",
"UNOPS segment",
"IX. Statement by the Executive Director and annual report of the Executive Director 10",
"Joint segment",
"X. Internal audit and oversight 11",
"XI. Reports of UNDP, UNFPA and UNOPS Ethics Offices 15",
"XII. Field visits 16",
"UNFPA segment",
"XIII. Statement by the Executive Director and annual report of the Executive Director 17",
"XIV. Funding commitments to UNFPA 19",
"XV. UNFPA country programmes and related matters 19",
"XVI. Midterm review of the strategic plan 20",
"XVII. Other matters 22",
"I. Organizational matters",
"1. The annual session 2011 of the Executive Board of UNDP, UNFPA and UNOPS was held at United Nations Headquarters, New York, from 6 to 17 June 2011.",
"2. The Executive Board approved the agenda and workplan for its annual session 2011 (DP/2011/L.2), and approved the report of the first regular session 2011 (DP/2011/20).",
"3. The Executive Board agreed to the following schedule of future sessions of the Executive Board in 2011:",
"Second regular session 2011: 6 to 9 September 2011.",
"4. Decisions adopted by the Executive Board at the annual session 2011 were included in document DP/2011/32, accessible at www.undp.org/execbrd.",
"5. The UNDP Deputy Assistant Administrator and Deputy Director, Partnerships Bureau, informed the Executive Board that UNDP, UNFPA and UNICEF had agreed on a common approach to ensure the continuity of programming in Southern Sudan in the subsequent months following the planned independence and that the three organizations would jointly inform the Executive Board after working out the details.",
"6. The Executive Board agreed to postpone, from the second regular session 2011 to the first regular session 2012, consideration of the UNDP programming arrangements.",
"UNDP segment",
"II. Statement by the Administrator and annual report of the Administrator",
"7. In her statement to the Executive Board (available on the UNDP website at http://www.beta.undp.org/content/undp/en/home/operations/executive_board/overview.html), the Administrator outlined the agenda for organizational change in the context of the altering development landscape. She highlighted how the work under way would move UNDP from being a good organization to a great one and further improve the organization’s ability to deliver concrete development results at the country level. The Administrator stressed the main findings of the midterm review (MTR) of the strategic plan, and the ways in which the internal change agenda would strengthen the work of UNDP. Further, she outlined some of the results UNDP helped deliver in 2010 across the world and in the eight outcome areas of focus in the 2010 results report.",
"8. The Administrator then spoke of the progress made by UNDP on the United Nations coherence agenda, noting the firm commitment of UNDP to marshal the resources of the United Nations development system to respond more effectively and strategically to development challenges at the country level. In emphasizing the fact that UNDP needed a stable and critical mass of core resources, the Administrator appealed to all partners to increase core contributions for the year 2011, and for the remainder of the current strategic plan.",
"9. The Administrator noted the importance of strengthening transparency by means of enhancing the organizational disclosure policy and informed the Executive Board that UNDP was on track to adopt the International Public Sector Accounting Standards (IPSAS). In concluding, the Administrator informed the Executive Board of the newly launched UNDP website.",
"10. Delegations commented on the focus areas reflected in the Administrator’s statement, including the agenda for organizational change, the MTR process and the next strategic plan, funding commitments to UNDP and greater information disclosure to enhance transparency, as well as on issues related to the Human Development Report and the draft decision that had been tabled on the middle-income countries (MICs).",
"11. The President of the ECOSOC took the floor and thanked the Administrator for her comprehensive statement outlining the key activities and contributions of UNDP. He expressed support for the MTR process and endorsed the substantive direction set out in the annual report. The issues he touched upon included: the importance of the draft country programme documents (CPDs) and the need for stable and predictable funding to allow UNDP to carry out its development mandates.",
"12. On change management and organizational reform, a number of delegations welcomed the process as an opportunity for UNDP to critically review the current decentralized and top-heavy set-up and to sharpen UNDP areas of work for transformational change. In this regard, they encouraged strengthening the resident coordinator system and building on the skill sets of both the headquarters staff and country office teams.",
"13. While acknowledging the progress made in the MTR process, many delegations felt that there was room for further improvement, in particular with regard to the development results framework of the midterm review. In expressing their concern, they stated that more clarity and suggestions for improvement at the strategic level would be required, as the MTR revealed unmet expectations around a number of issues. These included: how UNDP would adjust its strategic focus to reorient its country programmes and incorporate the lessons learned to enhance results on the ground; what the key contributions of UNDP to development were; and how UNDP would improve the reporting of results and performances. The delegations strongly supported the development of a roadmap to guide preparations and consultations for the next strategic plan, which the delegations hoped would clearly establish the strategic positioning of UNDP within the broader development environment.",
"14. Some other delegations broadly welcomed the MTR and expressed their support for the process while requesting the concerns of the least developed countries (LDCs) to be noted in the course of discussion. On a similar note, a number of delegations stressed the need to revisit the current graduation criteria in light of the special and differentiated needs of the MICs.",
"15. Some delegations noted the importance of a demand-driven approach to reduce poverty and underscored the need to integrate in the future work programme of UNDP the Istanbul Programme of Action for the Least Developed Countries for the Decade 2011-2020. A number of delegations, however, called on UNDP to remain more focused on areas where UNDP is expected to have a comparative advantage, inter alia, democratic governance and crisis prevention and recovery. Some other delegations stressed the importance of reducing social inequality in the context of combating poverty.",
"16. Many delegations expressed grave concerns over the continued downward trend of contributions to core resources and called on donor countries to deliver on their commitments to address the imbalance between core and non-core resources. They further stressed the importance of ensuring stable, sizeable and predictable core resources to allow UNDP to effectively deliver on its development mandates.",
"17. Other delegations, while recognizing the need to sustain stable funding, urged UNDP to diversify its donor base and follow the example of strict budget discipline promoted by the United Nations Secretary-General. In the course of discussion, some delegations took the opportunity to state their commitments to contribute to UNDP core resources in 2011.",
"18. Delegations who spoke reiterated their explicit support for the disclosure of project- and programme-related internal audit reports to intergovernmental organizations and the Global Fund to Fight AIDS, Tuberculosis and Malaria, irrespective of the size of their contributions. Further, they stressed that those non-state organizations should be granted the same level of access as Member States, provided that confidentiality requirements would be maintained.",
"19. In stressing the need for addressing the special and differentiated needs of the MICs, many delegations expressed strong support for the draft decision on the MICs tabled by the Latin America and the Caribbean States. Two delegations, while noting past concerns related to the Human Development Report, remarked that substantial progress had been made in the consultation process with Member States in the course of drafting the report.",
"20. The Administrator thanked the delegations for their informative comments and concerns and responded to the issues regarding: the MTR, in particular the comments related to the UNDP contribution to development and the development results framework; the organizational change agenda; the importance of UNDP maintaining its universal presence; and the need to respond to the emerging demand for greater access to internal audit reports. The Associate Administrator further responded to the comments raised with regard to the technical and methodological aspects of the MTR.",
"21. The Executive Board adopted decision 2011/14 on the midterm review of the UNDP strategic plan, and took note of: the annual report of the Administrator on performance and results for 2010 (DP/2011/22) and its annexes, the report of UNDP on the recommendations of the Joint Inspection Unit in 2010 (DP/2011/22/Add.1) and the statistical annex (DP/2011/22/Add.2).",
"III. Funding commitments to UNDP",
"22. The Administrator introduced the item on funding commitments to UNDP, thanking all partners across the board for providing resources to UNDP. She further noted the countries that had maintained or increased funding to UNDP in 2011. The Assistant Administrator and Director, Partnerships Bureau, further elaborated on the current complexities of the funding environment and stressed the importance of providing UNDP with stable, adequate and predictable core resources to ensure that the organization’s development mandates are achieved. She outlined UNDP efforts to: expand the donor base; strengthen strategic communications; and develop a more integrated approach to funding and resource mobilization.",
"23. Two delegations spoke, regretting that UNDP failed to meet the targets set out in the strategic plan for the years 2010 and 2011. One delegation, who also spoke on behalf of a number of delegations, emphasized the principle of sharing the financial responsibilities among all Member States. That delegation further called on UNDP to broaden its donor base and said that UNDP would need to do more with less.",
"24. Another delegation, in noting the target dates for the Millennium Development Goals (MDGs), encouraged the donor countries to address the continued imbalance between core and non-core resources. The delegation reiterated its funding commitment to core resources in 2011.",
"25. The Administrator and the Assistant Administrator and Director, Partnerships Bureau, took note of the comments made, and looked forward to receiving continued guidance from the Executive Board.",
"26. The Executive Board adopted decision 2011/15 on the status of regular funding commitments to UNDP and to its funds and programmes for 2011 and onwards.",
"IV. Evaluation",
"27. The Director, Evaluation Office, presented the annual report on evaluation 2010, highlighting the evaluation function in UNDP and the associated funds and programmes, the key findings and lessons learned from independent evaluations, and the proposed programme of work for 2011-2012 of the Evaluation Office.",
"28. Delegations recognized the improvement in the availability of management responses and in the use of evaluations, and were hopeful that the use of evaluation findings would enhance future management for results. Some delegations, however, expressed concern over the limited progress made on decentralized evaluations in terms of quality, coverage and compliance, and urged UNDP to ensure that robust evaluation plans would form part of the country programmes and that planned evaluations would be carried out. They requested an explanation on management plans for addressing the decline in the number of evaluation specialists.",
"29. A number of delegations were concerned that none of the outcome evaluations completed in 2010 were highly satisfactory while noting that none of them were highly unsatisfactory. Commenting on the weakness of the programme designs that lacked well-defined results frameworks, they stressed that significant measures would need to be taken to remedy the factual weaknesses. They were surprised to learn that the budget of the Evaluation Office was reduced by 14 per cent from 2009 to 2010, and requested clarification. The delegations were also interested in hearing about the focus areas of the evaluation of the strategic plan scheduled for 2012.",
"30. Some delegations were particularly interested in the appointment process for the new Director of the Evaluation Office and requested an update on the process. They also looked forward to seeing all future CPDs accompanied by outcome evaluations and management responses issued accordingly for all evaluations and the timely implementation of the management responses.",
"31. Delegations were pleased with the increase in evaluators from developing countries in independent evaluation teams, and some noted that the Evaluation Office had maintained gender balance in these evaluation teams but had found it difficult to increase the number of women team leaders. They called for attention to evaluation capacity-building to increase the number of professional women evaluators in developing countries.",
"32. One delegation, in providing general comments on the evaluation function as a whole, said that duplication of work could be minimized if joint evaluations could be increased at the country level.",
"33. The Associate Administrator and the Director, Evaluation Office, responded to the comments and reiterated commitment of UNDP to improving the evaluation function with a view to achieving transformational change.",
"34. The Executive Board adopted decision 2011/16 on the annual report on evaluation (DP/2011/24).",
"V. Human Development Report",
"35. In line with Executive Board decision 2011/12, the Administrator provided an oral presentation on the measures taken by UNDP and the Human Development Report Office (HDRO) to ensure the implementation of the recommendations and the guidelines contained in General Assembly resolution 57/264. The Administrator highlighted some key organizational aspects of the HDRO, including the nature of the editorial independence, and reiterated the importance of the Human Development Report (HDR) for UNDP. The Director, Human Development Report Office, summarized the consultation process, as well as the process of developing the Report for 2011 (DP/2011/25).",
"36. Delegations expressed appreciation for the Administrator’s oral presentation and commended the efforts made by HDRO to implement the recommendations contained in Executive Board decision 2011/12 and General Assembly resolution 57/264. They welcomed the enhanced consultation process with Member States as well as with the relevant statistical community in order to strengthen the quality and the objectivity of the report. They reiterated the importance of the consultative process in developing future reports. Some delegations conveyed congratulations to the incoming Director of HDRO.",
"37. One delegation cautioned against using indicators for concepts that had not been unambiguously defined by the intergovernmental community (e.g., human rights). That delegation noted with satisfaction the cooperation between HDRO and its Government to resolve the issues surrounding the national-income estimates and hoped that appropriate solutions could be found for other countries that had been excluded from the 2010 Report. Another delegation welcomed the decision of HDRO to not present new indices on environmental sustainability in the 2011 Report in consideration of the ongoing preparations for the Rio+20 Conference on Sustainable Development.",
"38. Other delegations, while acknowledging the need for HDRO to engage in dialogue with Member States and with the United Nations Statistical Commission, stressed the importance of ensuring the editorial independence of HDRO.",
"39. The Associate Administrator thanked delegations for their words of encouragement and reiterated HDRO commitment to engage in dialogue with stakeholders, in particular Member States and the international statistical community.",
"40. The Executive Board adopted decision 2011/17 on the update on the Human Development Report.",
"VI. UNDP country programmes and related matters",
"UNDP country programmes",
"41. The Associate Administrator introduced the item. Following the presentation of 22 draft country programmes, a draft common country programme document (CCPD) and a subregional programme, delegations were invited to comment on them.",
"42. Delegations whose countries were the subject of the new draft country programmes thanked UNDP for its support and requested the Executive Board to give positive consideration to the draft CPDs before them. In highlighting the key focus areas reflected in the respective draft CPDs, the delegations stressed that the work of the United Nations organizations must complement the respective governments’ efforts to achieve sustainable development through the provision of technical assistance and capacity-building in critical areas. Some other delegations stressed that consideration must also be given to the MICs.",
"43. Other delegations called upon UNDP to strengthen the capacity of the country offices and asked future CPDs to be focused on important cross-cutting issues like mainstreaming gender, strengthening judicial reform, providing electoral support and responding to climate change. They also noted the weakness in results frameworks that would lead to difficulty in results reporting and results-based management, and suggested that UNDP develop a more comprehensive results chain and include more information on risk analysis and risk mitigation.",
"44. One delegation wondered if UNDP was stretching across too many programme areas given the capacities and mandates of the country offices. The delegation added that an alternative approach would be to focus on select programme areas. Another delegation expressed concern over the compliance with the evaluation plans included in the draft CPDs, in particular with regard to the worsening trend in compliance with decentralized evaluations. The delegation urged UNDP to ensure that gender specialists were engaged during the development stage of the country programmes and that accountability mechanisms were enhanced to ensure quality at the time of entry.",
"45. On the draft CCPDs for the United Republic of Tanzania and Albania, another delegation, who also spoke on behalf of a number of delegations, requested an update on whether and when the results of the lessons learned would be presented to the Executive Board, and an indication of the progress being made on independent evaluations, as well as on the review of the management and accountability system. The delegation further stressed the need to identify the institutional bottlenecks faced by the United Nations country teams and outlined how the Executive Boards of the relevant agencies could assist in moving that process forward.",
"46. The Executive Board took note of the one-year extensions of the country programmes for Egypt, Guinea, Haiti, Mauritius, Moldova, Tunisia and the United Arab Emirates. The Board approved the second one-year extension of the country programme for South Africa and the two-year extensions of the country programmes for Croatia, Madagascar and Paraguay.",
"47. The Executive Board took note of the comments made regarding the 22 draft country programmes for: (Africa region) Chad, Ethiopia, Gabon, Ghana, Mauritania, Sao Tome and Principe, Senegal, Seychelles and Zimbabwe; (Arab region) Bahrain, Morocco and Saudi Arabia; (Asia and the Pacific region) Bangladesh, Mongolia and the Philippines; (Eastern Europe and Commonwealth of Independent States) Kyrgyzstan, Montenegro and Ukraine; and (Latin America and the Caribbean region) El Salvador, Honduras, Jamaica, and Trinidad and Tobago.",
"48. The Executive Board further took note of comments made regarding the draft CCPD for Albania and the draft subregional programme document for Barbados and the Organisation of Eastern Caribbean States.",
"49. The Executive Board, in accordance with Executive Board decisions 2001/11 and 2006/36, approved the CCPD for the United Republic of Tanzania that was presented on an exceptional basis at the first regular session 2011.",
"Midterm review of the UNDP global programme, 2009-2013",
"50. The Associate Administrator introduced the item. The Assistant Administrator and Director, Bureau for Development Policy, introduced the report on the midterm review of the UNDP global programme, 2009-2013 (DP/2011/27), presenting the findings of the midterm review of the global programme and the proposed ways forward.",
"51. There were no comments from delegations.",
"52. The Executive Board adopted decision 2011/18 on the midterm review of the UNDP global programme.",
"VII. United Nations Capital Development Fund",
"53. The Associate Administrator introduced the item, commending the results achieved by the United Nations Capital Development Fund (UNCDF) in 2010 before providing a short introduction on the work of UNCDF and its partnership with UNDP. The Executive Secretary of UNCDF presented the report on results achieved by UNCDF in 2010, including a progress report on the implementation of the strategic partnership between UNCDF and UNDP.",
"54. Delegations commended the strong performance of UNCDF, particularly at the country level, and welcomed the continued expansion of its activities, which illustrate the growing confidence the fund enjoys. However, a number of delegations expressed concern over the decreasing level of core resources and encouraged UNCDF to broaden its donor base to ensure a more stable and predictable funding base.",
"55. One delegation, who spoke on behalf of the least developed countries (LDCs), was encouraged that UNCDF had made significant contributions towards the achievement of the Millennium Development Goals (MDGs) in the LDCs. The delegation hoped to see UNCDF in the future focus on increasing the coverage of its activities, in particular microfinance and local development programmes, at the country level in all the LDCs. That delegation further requested UNCDF to mainstream the relevant provisions and principles of the Istanbul Programme of Action on the LDCs and thanked UNCDF for organizing two side events during the Fourth United Nations Conference on the LDCs.",
"56. One delegation commended UNCDF for its extensive framework for measuring results and for commissioning nine full evaluations of its programmes as well as an external review of its microfinance portfolio in 2010. Another delegation welcomed the strategic partnership between UNCDF and UNDP which had become closer in recent years. The delegation further noted that almost all of the country programmes of UNCDF were undertaken jointly with UNDP.",
"57. The Executive Secretary thanked delegations for their generous remarks and comments and said that there would be challenges to expanding UNCDF coverage to more LDCs without increased financing. The Associate Administrator commended the Executive Secretary’s leadership and reaffirmed commitment of UNDP to strengthening its work with UNCDF so as to achieve transformational change.",
"58. The Executive Board adopted decision 2011/19 on the report on results achieved by UNCDF in 2010 (DP/2011/28).",
"VIII. United Nations Volunteers",
"59. The Associate Administrator introduced the item on the planning for the tenth anniversary of the International Year of Volunteers and the fortieth anniversary of United Nations Volunteers (UNV) programme and noted the positive achievements made by the organization over the past 40 years. The Executive Coordinator of UNV elaborated on the work of UNV and provided an update on the various initiatives undertaken in preparation for the International Year of Volunteers in accordance with General Assembly resolution 63/153. She further paid tribute to those United Nations Volunteers whose lives were lost earlier in the year.",
"60. Delegations commended the work of UNV in promoting peace, stability and ownership of development, applauding the contributions and hard work by the United Nations Volunteers around the world. The delegations said that, in celebrating the tenth anniversary of the International Year of Volunteers, they looked forward to further promoting the values of volunteerism, building and reinforcing volunteer networks and contributing to the achievement of the MDGs.",
"61. One delegation said that the tenth anniversary of the International Year of Volunteers should be viewed as a good opportunity to review and take stock of the movement and contribution of efforts made by volunteers and added that the volunteers should enjoy the same level of functional immunity that international experts enjoy. Another delegation, in illustrating the importance of volunteerism and its role in local development activities worldwide, looked forward to the first State of the World’s Volunteerism Report, which was being prepared by UNV.",
"62. A number of delegations related the UNV programme to volunteer activities ongoing in their respective countries and expressed firm support to the programme objectives of UNV. Some delegations took the opportunity to confirm their financial contributions and called on other countries in a position to do so to also contribute to the Special Voluntary Fund of UNV. Other delegations joined the Executive Coordinator in paying tribute to those whose lives were lost earlier in the year while on duty.",
"63. The Executive Coordinator thanked delegations for their comments and observations, and emphasized the importance of recognizing the contributions made by the volunteers. As these volunteers operate in challenging and at times under dangerous circumstances, she said it was essential to grant them security as well as the same level of functional immunity extended to other United Nations personnel. She further expressed her thanks for the continued support of various partners and said that UNV would continue to remain committed to promoting volunteerism and to offering volunteer opportunities so as to ensure the broadest possible representation based on geography and gender.",
"64. The Executive Board adopted decision 2011/20 on the planning for the tenth anniversary of the International Year of Volunteers and the fortieth anniversary of United Nations Volunteers.",
"UNOPS segment",
"IX. Statement by the Executive Director and annual report of the Executive Director",
"65. The Executive Director of UNOPS introduced the annual report and presented the progress made in the implementation of the strategic plan, 2010-2013, highlighting the UNOPS contribution to the work of the United Nations and its partners to deliver tangible benefits to people in need. He provided a summary of UNOPS performance in 2010, including the delivery of $1.27 billion in project services and the successful cleaning up and improving of business practices, which led to an unqualified audit for the biennium 2008-2009, and to operational achievements on the ground in a number of countries. In presenting the continued efforts of UNOPS to strengthen the efficiency and the quality of the services it offers, the Executive Director highlighted the certification UNOPS had recently received. He further stated that the results of the implementation of the comprehensive recognition, rewards and sanctions policy would be included in the 2011 annual report to the Executive Board.",
"66. Many delegations thanked the Executive Director for his presentation of the annual report and highlighted the positive achievement made by UNOPS over the past years. In this regard, they commended the UNOPS management for its leadership to ensure the financial stability of the organization.",
"67. One delegation, recalling earlier discussions of the UNOPS audit, investigations and ethics reports, encouraged the management to continue to support these relatively new audit and ethics functions so that they could effectively carry out their mandates. That delegation further encouraged UNOPS to help developing countries to build not only their technical capacities, but also institutional capacities to foster sustainability. Another delegation observed that UNOPS continued to respond to the increasing demand for national capacity-building, including management advisory services, within the context of its mandate and core competencies.",
"68. In noting with satisfaction that UNOPS did more with less in 2010, one delegation hoped that UNOPS efforts would be seen as a model for other United Nations organizations to follow, and looked forward to seeing UNOPS push forward the United Nations coherence agenda as an important member of United Nations country teams. Another delegation encouraged UNOPS to continue to provide high-quality and speedy service while also looking into the possibility of increasing purchases from developing countries.",
"69. A delegation stated that it looked forward to the discussion on the UNOPS biennial support budget during the upcoming second regular session of the Executive Board. While recognizing the success achieved in 2010, another delegation encouraged UNOPS to explore more opportunities for cost-effective performance and report the results to the Executive Board.",
"70. The Executive Director thanked the delegations for their words of encouragement and guidance and assured delegations that UNOPS planned to carefully review the comments made, including comments related to the expectations placed on UNOPS to share its good management practice with other organizations of the United Nations system. Further, he said that UNOPS would continue to engage in building national capacities and core competencies within its mandate.",
"71. The Executive Board adopted decision 2011/21 on the annual report of the Executive Director, UNOPS.",
"Joint segment",
"X. Internal audit and oversight",
"72. The Director, Office of Audit and Investigations (OAI), UNDP, the Director, Division for Oversight Services (DOS), UNFPA, and the Director, Internal Audit and Investigations Group (IAIG), UNOPS, introduced the respective annual reports (DP/2011/29; DP/FPA/2011/5; and DP/OPS/2011/2) on internal audit and oversight activities.",
"73. The introductions of the annual reports were followed by separate management responses presented by the UNDP Assistant Administrator and Director, Bureau of Management, the UNFPA Executive Director, and the UNOPS Deputy Executive Director.",
"74. Delegations thanked UNDP OAI, UNFPA DOS, and UNOPS IAIG for the informative and thought-provoking annual reports. They were appreciative of the management responses and reports by the audit advisory committees. Delegations commented on issues that were common to UNDP, UNFPA and UNOPS, as well as those specific to each of the three organizations. They were encouraged that the senior management of the three organizations were taking audit findings and recommendations seriously and were investing organizational efforts to address the shortcomings in a timely and rigorous manner. Some commended UNDP and UNFPA for having accelerated their efforts to effectively address audit recommendations that were older than 18 months. However, several other delegations expressed concern over the staffing situation of units responsible for the oversight function, and requested improved reporting on cases of fraud and presumptive fraud on a regular basis, either in the annual reports on internal audit and oversight activities or in the management responses.",
"UNDP",
"75. A number of delegations noted that the percentage of country offices rated as “satisfactory” decreased from 39 per cent to 25 per cent, while the percentage of country offices rated as “unsatisfactory” remained at the same level as 2009. In expressing concern regarding this trend, they requested to hear from UNDP management on the assumed causes, including systemic weaknesses, of the unsatisfactory rating.",
"76. On a similar note, some delegations noted that 22 per cent of audit recommendations were related to the procurement function at country offices and looked forward to a dialogue in the future on how UNDP would tackle the recommendations. They were also interested in hearing more about UNDP preparedness for the introduction of the International Public Sector Accounting Standards (IPSAS) in 2012, including the IPSAS readiness dashboard.",
"77. Some other delegations encouraged OAI to continue consultations with other United Nations organizations with a view to exploring the possibility of a joint approach to auditing joint programmes. With reference to the annual report of the UNDP Audit Advisory Committee (AAC) for the calendar year 2010, one delegation, speaking also on behalf of several other delegations, commented on the lack of follow-up on various aspects of the harmonized approach to cash transfers (HACT) modality and requested further elaboration in this regard.",
"78. Another delegation welcomed the revisions made to the OAI Charter, and requested the Administrator to provide the Executive Board with an annotated appendix to indicate the changes made along with the reasons for those changes.",
"79. The Director, OAI, responded to the comments related to: the audit recommendation with regard to the procurement function at country offices; the shift in audit ratings; the Delivering as One audit approach; and investigation in general. He explained that while a sharp decrease in “satisfactory” ratings would be of concern, it should be understood that audit ratings fluctuate and should not be seen as a trend but the result of more thorough auditing. Further, he explained that UNDP currently provided a consolidated audit summary but would need to move to a joint auditing approach and that all investigations, regardless of the seriousness of the allegations, require due process.",
"80. The Assistant Administrator and Director, Bureau of Management, explained the approaches taken by UNDP to address the systematic weaknesses in the functional and policy areas and said that measures related to risk mitigation and accountability policy were being taken. The Deputy Assistant Administrator and Deputy Director, Bureau of Management, further clarified the reason for the shift in the audit ratings and explained that only one country office received the same unsatisfactory rating.",
"81. The chair of the UNDP AAC expressed appreciation for the timely and comprehensive reaction by UNDP in responding to the management response. With reference to the comment related to the HACT, she clarified that the annual report did not intend to imply that the HACT modality inherently had lower assurance levels than the non-governmental organizations and national implementation (NIM) audits. Rather, there was the danger of lower assurance levels if all HACT processes and procedures were not observed. One of the HACT audits had shown some deficiencies in observing all the safeguards, thus the observation regarding risk if these were not followed.",
"UNFPA",
"82. Several delegations commended the new format of the report and the concrete recommendations that it contained. They requested that future management responses should contain more detail about the measures being taken to address audit recommendations, including expected time frames for implementation. They were pleased with the level of transparency of UNFPA in handling investigation cases.",
"83. A number of delegations welcomed the positive news on the filling of vacant posts in DOS and stressed that all staff should have the necessary skills and competencies to carry out their work. They welcomed the Executive Director’s plan to enhance learning and development to ensure that skills and competencies were better aligned so that staff could carry out their duties effectively.",
"84. Some delegations expressed concern that the issues responsible for a qualified audit opinion by the Board of Auditors on the 2008-2009 financial statements and the recurring audit issues had not been adequately dealt with and still faced structural and systemic challenges. They expressed support for the Executive Director’s efforts in addressing these issues.",
"85. Some delegations expressed concern about the increased financial exposure and deterioration in national execution audits; the number of unsatisfactory ratings; continued challenges in programme monitoring and evaluation; a lack of clarity among staff on the respective roles of headquarters units, regional and country offices; and the disparate nature of some management initiatives. The delegations encouraged UNFPA to integrate further efforts, including in the business plan, to institutionalize systems for controls, including appropriate support to country offices and oversight systems, within the context of an enterprise risk-management strategy that prioritized areas of higher risk.",
"86. Noting the DOS report’s conclusion that fundamental change was needed in country office operations to prevent the recurrence of audit issues, a number of delegations welcomed the personal intervention of the Executive Director in chairing the audit monitoring committee and his assurance that this was a priority area for UNFPA. While appreciating the various measures undertaken by management to address audit recommendations and noting that time would be required to demonstrate impact, they expressed concern about the possibility of another qualified audit. Several delegations commended UNFPA for speeding up addressing audit recommendations that were older than 18 months.",
"87. A number of delegations welcomed the report of the UNFPA Audit Advisory Committee (AAC) and asked the AAC representative to set out the top three priorities for UNFPA and to provide a view on management’s ability to tackle issues as management had set out. Some delegations invited the Executive Director to set priorities in addressing the internal auditor’s recommendations and to present a plan of action with clear measures and timelines. They suggested that progress be presented and reviewed by the Executive Board at regular intervals.",
"88. The Executive Director underscored that UNFPA took audit issues seriously and was addressing them through the midterm review (MTR) of the strategic plan and/or the business plan. He was confident that the Executive Board members would be satisfied with the steps taken by UNFPA. He noted various measures under way to reduce the Fund’s risk exposure, including sharpening the Fund’s strategic focus; reviewing the engagement with implementing partners; and decreasing the number of programme outputs. He reiterated that UNFPA was fully committed to transparency and accountability.",
"89. The Director, DOS, noted that the number of staff in the Investigations Branch had increased. Regarding the issue of fraud, he stated that UNFPA had purchased software that would enable continuous monitoring. Concerning “unsatisfactory” ratings, he pointed out that it was important to take into account the fact that UNFPA relied on a risk model and specifically audited units that had the highest risks. Thus, the likelihood of “unsatisfactory” ratings was inevitable. However, there were some systemic deficiencies and as noted by the Executive Director those were being addressed through the MTR and the business plan.",
"90. The UNFPA AAC representative, in responding to a query, noted that the priority for UNFPA was strategically integrating risk management and programme/project management. She stated that many of the issues facing UNFPA could be addressed by incorporating the risk management plan in the business plan.",
"UNOPS",
"91. Delegations welcomed the unqualified audit opinion UNOPS received and commended IAIG for performing a dedicated investigations function. However, they also made comments on areas that required improvement and requested additional information on the financial implications of audit findings, as well as on how the IAIG has been tackling the 170 per cent increase in received complaints from 2009 to 2010.",
"92. In noting the sharp drop in the total number of recommendations and in the number of recommendations of high priority from 2008 to 2009 that had been strongly reversed in 2010, a number of delegations requested further information on the causes of the fluctuations. They further urged UNOPS to intensify its efforts to implement long-standing audit recommendations.",
"93. One delegation encouraged UNOPS management to ensure that the IAIG was equipped with the resources to carry out its mandate and to consult with the Executive Board on significant developments that affect the work of IAIG.",
"94. The Director, IAIG, in responding to the comment on the increase in received complaints, said that UNOPS made efforts to prevent cases from becoming harassment cases. This was done through the ombudsman and mediation processes. She said that UNOPS would keep members of the Executive Board abreast of the developments in the cases related to fraud and corruption, as UNOPS was currently relying on the body of knowledge available to the United Nations system organizations. With regard to the comments on the need for more human resources given the sharp increase in the number of cases, she said that UNOPS management would need to consider the matter in the context of its budget and the current number of auditors.",
"95. The Executive Board adopted decision 2011/22: Reports of UNDP, UNFPA and UNOPS on internal audit and oversight activities in 2010.",
"Responding to the emerging demand for greater information disclosure of internal audit reports",
"96. The Administrator of UNDP introduced the item, underscoring the urgency of the need for UNDP to demonstrate its commitment to ensuring transparency and accountability. She further stated that UNDP may risk erosion of trust and of funding from its institutional donors if unable to grant them access to the internal audit reports. The Director, OAI, UNDP, presented the report on responding to the emerging demand for greater information disclosure of internal audit reports (DP-FPA-OPS/2011/1) on behalf of UNDP, UNFPA and UNOPS.",
"97. The Executive Director of the Global Fund to Fight AIDS, Tuberculosis and Malaria (Global Fund), in noting the critical working relations between the Global Fund and UNDP, communicated the increasing concern of the Global Fund Board regarding the current level of management access to the internal audit reports. While expressing the belief that the options presented were a significant step forward, the Executive Director further requested the Executive Board to provide room for flexibility.",
"98. Many delegations welcomed the opportunity to discuss options for responding to the emerging demand for greater information disclosure of internal audit reports. In stressing the importance of strengthening the transparency and openness of the organizations, these delegations expressed explicit support for the disclosure of project- and programme-related internal audit reports to institutional donors, irrespective of the size of their contributions, the same level of access enjoyed by Member States, provided that confidentiality requirements would be maintained. With regard to simplification of procedures, the delegations suggested exploring the possibility of a secure technological solution for unclassified documents, and requested the three organizations to present a joint proposal for the remote viewing of internal audit reports at the 2011 second regular session of the Executive Board. They also expressed their view on the administration of a new disclosure policy, stating that the responsibility should remain within the oversight units of the respective organizations.",
"99. One delegation assessed the disclosure of internal audit reports to be an essential first step towards establishing a broader culture of transparency and accountability within the organizations. Another delegation, in emphasizing the importance of the non-politicized use of funds, cautioned against the premature discussion of the item without sufficient information provided on the implications of the options presented. That delegation stressed that, in any case, it would be unacceptable to grant non-State entities the same level of access to internal audit reports as was granted to Member States.",
"100. The UNDP Administrator, the UNFPA Executive Director and the UNOPS Executive Director expressed their full support for transparency and greater information disclosure of internal audit reports. The UNDP Administrator reiterated the gravity of the issue and explained the potential consequences of not responding to the emerging demand for greater information disclosure of the internal audit reports.",
"101. The Executive Board adopted decision 2011/23: Responding to the emerging demand for greater information disclosure of internal audit reports.",
"102. Following the adoption of decision 2011/23, one delegation took the floor and explained why its Government had joined the consensus that allowed non-State donors, specifically intergovernmental organizations and the Global Fund to Fight AIDS, Tuberculosis and Malaria, to access the internal audit reports of projects and programmes to which they were contributing financially.",
"XI. Reports of UNDP, UNFPA and UNOPS Ethics Offices",
"103. The Director, UNDP Ethics Office, the Ethics Adviser, UNFPA Ethics Office, and the General Counsel, UNOPS, introduced the reports of the Ethics Offices of their respective organizations (DP/2011/30; DP/FPA/2011/6; and DP/OPS/2011/3).",
"104. Two delegations took the floor. In welcoming the reports of the Ethics Offices of UNDP, UNFPA and UNOPS, one delegation underscored its strong support for the Ethics Offices and welcomed their collective effort to contribute to a culture of integrity and accountability within the United Nations system. The delegation underscored its strong support for the financial disclosure programme as a vital tool for avoiding conflicts of interest among staff. The delegation was pleased to see compliance rates of 99 per cent at UNDP, 100 per cent at UNFPA, and 95 per cent at UNOPS.",
"105. In calling for meaningful future reporting, the delegation asked for the inclusion of information on the number of cases that required divestiture of financial holdings or other remedial action. The delegation urged the three organizations to make publicly available the disclosure statements of senior officials in order to enhance transparency. Furthermore, the delegation recommended that UNDP, UNFPA and UNOPS standardize their reporting regarding whistle-blower protection and seek guidance from the chair of the United Nations Ethics Committee (UNEC) on the treatment of complaints of retaliation.",
"106. Another delegation highlighted the importance of establishing strong ethics functions within the three organizations to keep the organizations healthy, so they could better serve the needs of developing countries. That delegation encouraged the management of the three organizations to further ensure the institutionalization of the ethics function.",
"107. The Director, UNDP Ethics Office, acknowledged the need to include the actual number of remedial actions taken related to financial disclosure and said that in future reports relevant statistics would be included. The General Counsel of UNOPS, while expressing his support for public financial disclosure, said that the issue of voluntary disclosure would need to be taken to the United Nations Ethics Office.",
"108. The UNFPA Ethics Adviser thanked the delegations for their comments and support. She concurred with the response of UNDP and also noted that UNFPA would continue to harmonize with the other organizations within the UNEC framework.",
"109. The Executive Board adopted decision 2011/24: Reports of the ethics offices of UNDP, UNFPA and UNOPS.",
"XII. Field visits",
"110. The team leaders of the joint field visit to the Republic of the Philippines, and the field visits to Panama and Uruguay introduced the item. The rapporteurs of the field visits presented their respective reports (DP-FPA/2011/CRP.1 and Corrigendum; DP/2011/CRP.2-DP/FPA/2011/CRP.1; DP/2011/CRP.3-DP/FPA/2011/CRP.2), highlighting the key findings and recommendations.",
"111. One delegation, while recognizing the success of the field visits, requested the Executive Board secretariat to provide information about the total costs of organizing the field visits, in particular travel-related costs.",
"112. The Executive Board took note of the three reports on the field visits to the Philippines, Panama and Uruguay.",
"UNFPA segment",
"XIII. Statement by the Executive Director and annual report of the Executive Director",
"The Executive Director, in his statement to the Executive Board (available at http://www.unfpa.org/public/home/news/pid/7763), reported on the progress achieved in implementing the strategic plan during the past three years and highlighted plans to make UNFPA a more focused and effective organization. He noted that various processes were under way to strengthen the organization, including the midterm review (MTR) of the strategic plan and the development of an internal business plan.",
"114. Delegations thanked the Executive Director for his thoughtful statement. They appreciated his leadership in reassessing the organization’s strategic priorities and the transparent and inclusive MTR process. Numerous delegations underscored that the Programme of Action of the International Conference on Population and Development (ICPD) should be the core of the work of UNFPA, including in the areas of population and development, reproductive health and rights, and gender equality. Delegations stressed the need to protect the ICPD consensus. They emphasized the importance of the human rights-based approach in UNFPA work. Observing the merit in sharpening the focus of the Fund’s strategic direction, delegations stated that all possible entry points should be preserved in order to strengthen collaboration with stakeholders and development partners. Noting that progress on Millennium Development Goal (MDG) 5 was lagging behind, delegations underscored the key role of UNFPA in assisting countries in making progress on MDG 5. The importance of data for development, strengthening national data systems and capacity-building were emphasized. UNFPA was urged to maintain its culturally sensitive approach to programming. Delegations cited the key role of UNFPA in supporting South-South cooperation.",
"115. Delegations welcomed the Executive Director’s focus on adolescents and youth and underscored the need to invest in young people, including the provision of information, education and youth-friendly services. One delegation proposed holding a discussion at a future session on the work of United Nations entities on youth to promote joint action. The Fund’s work in emergency/humanitarian settings was welcomed and some delegations encouraged UNFPA to strengthen its coordination mechanisms and capacities and those of its partners to prevent and respond to gender-based violence. UNFPA support to countries in their 2010 census was appreciated. One delegation requested a review/discussion annually on the Fund’s humanitarian activities.",
"116. Several delegations referred to the Fourth United Nations Conference on the Least Developed Countries and stressed the need to accelerate progress in the least developed countries (LDCs) in order to meet the MDGs by 2015. One delegation, on behalf of the LDC group, expressed appreciation for the Executive Director’s support. Underscoring the formidable challenges LDCs faced in meeting the MDG target on universal access to reproductive health, including family planning, the delegation expressed confidence that UNFPA would give priority attention to the LDCs.",
"117. The role of skilled birth attendants, in particular midwives, was acknowledged as crucial in addressing maternal and newborn mortality and morbidity. One delegation announced a new initiative to scale up national midwifery plans and increase the percentage of births attended by skilled birth attendants. The delegation stated that it would collaborate closely with UNFPA. Another delegation announced a new national scheme that would provide free services to pregnant women in rural and urban areas.",
"118. Delegations welcomed the Executive Director’s emphasis on accountability as a top priority for UNFPA. They urged UNFPA to focus enhanced attention to national execution, financial management, audit compliance, evaluation, and evidence-based programming and decision-making. Regarding reporting on results, some delegations underscored the need to delineate lessons learned and challenges encountered and overcome. Delegations appreciated the contributions of UNFPA to United Nations reform, including Delivering as One. Several delegations noted the need for UNFPA collaboration with UN-Women to ensure a coordinated and complementary approach on gender equality.",
"119. Numerous delegations emphasized the Fund’s need for increased and predictable financial resources to assist countries in implementing the ICPD agenda and achieving the MDGs. UNFPA was encouraged to strive for greater efficiencies and effectiveness to leverage resources. The delegation of the United Kingdom of Great Britain and Northern Ireland announced that it would maintain its core funding at the current level of 20 million pounds per year for the next two years. The delegation underscored that future funding would depend on three critical areas: improved delivery and impact of programmes at the country level; enhanced results-based management (RBM); and improved financial management, including audit compliance. Other delegations, including Estonia, Finland, Ireland, Netherlands and New Zealand also referred to their core contributions to UNFPA. The delegation of Japan expressed its deep gratitude for the sympathy demonstrated by UNFPA and its staff in the wake of the recent earthquake in Japan. The delegation noted that despite the current situation its Government would honour its financial commitment to UNFPA.",
"120. Several delegations expressed concern that a significant number of UNFPA senior professional staff would retire during the period 2011-2015. Emphasizing that new staff should have the requisite training/expertise, they called on the Executive Director to maintain geographical balance and gender equity. One delegation requested information on the units that would be affected by the upcoming retirements.",
"121. The Executive Director thanked delegations for their support and underscored that UNFPA was committed to improving programme delivery, RBM, efficiency, transparency and accountability, including a focus on financial management and audit compliance. He concurred with the need for flexibility and the recognition that no one size fits all. He welcomed the support for the MTR and agreed that demonstrating results was critical. He noted that UNFPA had already taken significant steps to sharpen and simplify the results framework. He assured countries that focusing on women, girls and youth did not mean that UNFPA would not work with countries to address their needs in the areas of population and development, gender equality and reproductive health. He welcomed the suggestion to hold a discussion on youth at a future Executive Board session. He underscored that UNFPA was committed to addressing the needs of LDCs and to following up on the Istanbul Programme of Action. He stated that UNFPA was also committed to addressing the needs of middle-income countries.",
"122. The Executive Director appreciated the generous contributions from Member States and urged countries to make multi-year commitments. He noted that the draft biennial budget would be available later in the year and assured the Executive Board that UNFPA was efficiently managing both total costs and total income. He noted that the internal business plan would focus on staff training, induction and succession planning.",
"123. The Executive Board adopted decision 2011/25 on the report of the Executive Director for 2010.",
"XIV. Funding commitments to UNFPA",
"124. The Chief, Resource Mobilization Branch (RMB), introduced the Report on contributions by Member States and others to UNFPA and revenue projections for 2011 and future years (DP/FPA/2011/4), and provided an update on the funding situation. He noted that, as of 1 June 2011, the UNFPA revenue forecast estimate for contributions to regular resources was approximately $455.6 million for 2011, i.e., substantially higher than the $444.2 million that had been projected when the report was finalized in March 2011. The revenue forecast estimate for other resources (co-financing) was $270 million for 2011. Emphasizing that regular resources were the bedrock of UNFPA operations, he stressed that adequate, consistent and predictable financial resources were needed now more than ever.",
"125. In a joint statement, numerous delegations noted that they agreed with the main conclusion of the report that a stable base of regular resources was critical to enable UNFPA to support countries in implementing the ICPD Programme of Action. They underscored that they gave priority to regular resources in their contributions to the Fund because core funding was the bedrock of all UNFPA work. They added that other resources represented an important supplement to the Fund’s regular resource base. They welcomed a stronger participation from new and emerging economies and stressed the need to expand the list of significant donors to UNFPA.",
"126. The delegations encouraged UNFPA to further improve its financial and operational management, and emphasized that such improvement combined with effective and evidence-based programming would be important for attracting both regular and other resources. Noting that organizations would need to “do more with less” in the current global environment, they welcomed the Executive Director’s efforts to make UNFPA deliver more efficiently and demonstrate results. The delegations underscored that this would be decisive for the Fund’s ability to mobilize resources.",
"127. The Executive Director thanked the delegations for their observations regarding UNFPA efforts to improve its financial base. He underscored that accountability and transparency would be UNFPA watchwords and UNFPA would strive to “get more from less”.",
"128. The Executive Board adopted decision 2011/26: Report on contributions by Member States and others, and revenue projections for 2011 and future years.",
"XV. UNFPA country programmes and related matters",
"129. At the outset, the Executive Board approved the agency component of the common country programme document for the United Republic of Tanzania, which the Board had reviewed earlier at the first regular session 2011.",
"130. The UNFPA Deputy Executive Director (Programme) provided an overview of the 18 draft country programme documents (CPDs) submitted to the Executive Board for review: for Africa – Ethiopia, Gabon, Ghana, Mauritania, Sao Tome and Principe, Senegal and Zimbabwe; for Arab States – Morocco; for Asia and the Pacific – Bangladesh, Lao People’s Democratic Republic, Mongolia and the Philippines; for Eastern Europe and Central Asia – Albania, Kyrgyzstan and Ukraine; and for Latin America and the Caribbean – El Salvador, multi-country programme document for the English-speaking and Dutch-speaking Caribbean countries, and Honduras. She also introduced the programme extensions for Guinea, South Africa, Madagascar, Tunisia, Republic of Moldova, Haiti and Paraguay. Next, the UNFPA Regional Directors for Africa; Arab States; Asia and the Pacific; Eastern Europe and Central Asia; and Latin America and the Caribbean elaborated on the programmes from their respective regions.",
"131. Delegations appreciated that the draft CPDs had been developed in close consultation with the respective Governments and development partners, and were well aligned with national plans and priorities. In noting their cooperation over decades with UNFPA, numerous delegations underscored that the programmes responded to the specific country context. The importance of capacity-building in the areas of sexual and reproductive health and reproductive rights, population and development, and gender equality was stressed. Some delegations, noting an increasingly constrained financial and economic environment, encouraged UNFPA to enhance and expand its engagement with other development partners, including the United States Agency for International Development, UNICEF and WHO. In this connection, some delegations emphasized the need to identify gaps and avoid duplication.",
"132. Some delegations called on UNFPA to strengthen programme focus and increase synergies in order to help optimize development results. It was noted that in some of the draft CPDs the expected results and indicators were too ambitious and not realistic, given the limited resources. UNFPA was asked by delegations to give particular attention to addressing the needs of young people and poor and disadvantaged population groups, including indigenous people. The importance of utilizing gender-sensitive and rights-based approaches was emphasized. Delegations commended the important role played by UNFPA in advocating for the increased status of midwives and promoting births with skilled attendants. Delegations also made comments and raised queries on specific draft CPDs. The following delegations thanked the Executive Board and UNFPA regarding their country programmes and appreciated the Fund’s support: Albania, Antigua and Barbuda (on behalf of 14 Member States of the Caribbean Community), Bangladesh, Ethiopia, Honduras, Mongolia, Morocco, Philippines, Sao Tome and Principe, South Africa, Ukraine and the United Republic of Tanzania.",
"133. The Directors of the UNFPA regional offices thanked the delegations for their comments and support. They assured the Executive Board that in accordance with decision 2006/36 the comments on the draft CPDs would be conveyed to the concerned countries to take into account in finalizing the CPDs.",
"134. The Executive Board approved the programme extensions for Madagascar, Paraguay and South Africa, and took note of the programme extensions for Guinea, Tunisia, Republic of Moldova and Haiti. In addition, the Board took note of the following 18 draft CPDs and the comments thereon: Ethiopia, Gabon, Ghana, Mauritania, Sao Tome and Principe, Senegal, Zimbabwe, Morocco, Bangladesh, Lao People’s Democratic Republic, Mongolia, Philippines, Albania, Kyrgyzstan, Ukraine, El Salvador, multi-country programme document for the English-speaking and Dutch-speaking Caribbean countries, and Honduras.",
"XVI. Midterm review of the strategic plan",
"135. The Executive Director introduced the agenda item. The Deputy Executive Director (Programme) presented the progress and challenges in implementing the strategic plan, 2008-2013. The Director, Programme Division, made a presentation on the accountability for results: sharpening the measurement system.",
"136. Numerous delegations appreciated the inclusive, transparent and consultative approach that UNFPA had adopted for the ongoing MTR of the strategic plan, 2008-2013. They underscored the importance of ensuring that all UNFPA partners were fully committed to the changes needed to make the Fund more effective. They welcomed the development of a business plan that would clearly outline the necessary actions to deliver on UNFPA strategic and operational priorities. Delegations pointed out that strengthened results and impact at the country level would be the basis for assessing the Fund’s effectiveness. They encouraged UNFPA to strengthen synergies with other development partners.",
"137. Several delegations applauded the Executive Director’s decision to sharpen the Fund’s focus on its core mandate. They underscored that it was vital for UNFPA to remain a champion of reproductive health and rights and to lead the global effort to accelerate progress in achieving the ICPD goals and the MDG targets to reduce maternal mortality and provide universal access to reproductive health, including family planning. They observed that family planning and a focus on young people, including adolescent girls, were central to the Fund’s mandate and to achieving the MDGs. They noted that UNFPA work on sexual and reproductive health (SRH) and reproductive rights came the closest to attaining operational results which made a difference in the lives of disadvantaged population groups, in particular women and youth.",
"138. Numerous delegations stated that humanitarian assistance should continue to be an important aspect of UNFPA work. The Fund’s role was unique in combating gender-based violence and ensuring that women could give birth during natural disasters and in conflict situations. A number of delegations urged UNFPA to continue to be a humanitarian actor in its own right, in addition to the policy and protection sub-cluster coordination role.",
"139. Delegations welcomed UNFPA efforts to further reduce the sexual transmission of HIV and promote better integration of prevention of mother-to-child transmission (PMTCT) and SRH and family planning programmes in cooperation with UNAIDS and H4+ partners. With the establishment of UN-Women, some delegations noted that UNFPA would need to revisit its role in the area of gender equality and the empowerment of women. They stated that UNFPA should continue its work to promote gender equality and the empowerment of women, but focus on gender issues that relate to SRH and reproductive rights.",
"140. Some delegations noted that the fragmentation across multiple dimensions of the Fund’s work diffused its impact and created significant management complexity and risk. They encouraged UNFPA to strengthen the focus of the strategic plan and reduce the number of programme areas, by reducing the number of outcomes and outputs. A stronger focus and the reduction of outcomes would allow optimal use of the available financial and human resources and increase efficiency, effectiveness and impact. They supported UNFPA efforts to improve monitoring and evaluation systems and enhance data quality and stressed that telling the story about development impact was critical to securing further political and financial support.",
"141. Several delegations noted that UNFPA, like other organizations, could not do everything everywhere. Given the limited financial and human resources available, UNFPA had to make tough strategic decisions on what to prioritize. In order for UNFPA to deliver and report on results, it should focus on areas where it had a comparative advantage and added value in line with its responsibility to support the implementation of the ICPD Programme of Action, especially in countries where staff and programmes were spread too thin. Some delegations proposed that in addition to taking into account the comparative advantages of UNFPA, the choices should be made on the basis of a differentiated analysis of the specific needs and contexts of countries.",
"142. Regarding the need to improve the Fund’s performance measurement and reporting on results, several delegations stated that the number of indicators in the strategic plan must be reduced and the link between outcomes and outputs must be strengthened to better demonstrate the Fund’s contribution to results. Delegations encouraged UNFPA to implement high-impact practices and strengthen its collaboration with development partners in countries where progress on ICPD goals and MDG 5 targets were not on track. Noting that the main impact of UNFPA was through the work undertaken at country level, delegations noted that in order to work efficiently and deliver tangible results, UNFPA programmes must be adapted specifically to national and local needs and the level of engagement of other actors.",
"143. The Executive Director thanked delegations for their comments, noting that they had focused on prioritization around young people, particularly girls; SRH and programmes that ensured family planning availability; the importance of gender equality, as well as population dynamics; and taking all of that forward under the ICPD agenda and MDG 5. The Director, Programme Division, appreciated the guidance and support of delegations and noted that UNFPA would share additional indicators at the upcoming informal meeting. Regarding procurement, the Director, Division for Management Services, stated that UNFPA was looking at various areas, including commodities and long-term agreements where the Fund could influence prices.",
"XVII. Other matters",
"Other decisions adopted",
"144. The Executive Board adopted decision 2011/27 on the interim allocation for the UNFPA biennial budget 2012-2013; decision 2011/28 on the least developed countries; and decision 2011/29 on the middle-income countries.",
"145. Following the adoption of decision 2011/29, a delegation explained the purpose of tabling the decision on the MICs and stressed the need for a more sophisticated means of measuring development.",
"146. One delegation asked if a thematic discussion on youth could be organized at the second regular session 2011. Another took the floor to thank UNDP, UNFPA and UNOPS for addressing the concerns regarding the language requirements of the Executive Board documents and hoped to see continued cooperation.",
"Other events",
"147. The following thematic discussions/consultations took place:",
"(a) Joint thematic discussion on the role of the organizations in addressing the development needs of middle-income countries. The Chair, United Nations Development Group of Latin America, and the Chair, United Nations Development Group of Europe and Central Asia, gave presentations on the development needs of MICs in the respective regions. The Secretary of the Presidency of Uruguay spoke of the role of the United Nations in MICs. The representative of the Republic of Namibia shared the experiences of the African countries, including those of Namibia, on issues related to MICs.",
"(b) Joint thematic discussion on environment and climate change: three agencies role at the national level. The UNDP Assistant Administrator and Director, Bureau for Development Policy, gave a presentation on behalf of UNDP, UNFPA and UNOPS on the role of the three organizations in developing countries. The representative of Burkina Faso shared his country’s experience participating in the Africa Adaptation Programme, while also noting the negative effect of climate change on the development of his country. The UNFPA Director, Technical Division, made a presentation on UNFPA work on population, environment and climate change, observing that UNFPA was the only organization with a mandate to focus on population issues. The UNOPS Director, Regional Bureau for Latin America and the Caribbean, presented the UNOPS contributions to addressing climate change at the national and regional levels. It was followed by a short video presentation on the Small Grants Programme in Barbados.",
"(c) Joint thematic discussion on the issues related to the least developed countries in the context of the Fourth United Nations Conference on the LDCs. The Executive Board Vice-President, Asian and Pacific States, chaired the joint thematic discussion on the issues related to LDCs in the context of the Fourth United Nations Conference on the LDCs. Presentations were made by the Acting Director and Chief, United Nations Office of the High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States; the Deputy Permanent Representative of Nepal to the United Nations (on behalf of the Chair, LDC group); the Assistant Administrator and Director, Regional Bureau for Africa, UNDP; the Director, Technical Division, UNFPA; and the Regional Director, North America Office, UNOPS.",
"(d) Informal consultations on the UNDP institutional budget estimates for the biennium 2012-2013, the UNFPA MTR of the strategic plan and the UNOPS biennial support budget, 2012-2013, were held."
] | DP_2011_31 | [
"Second regular session 2009",
"New York, 6-9 September 2011",
"Item 1 of the provisional agenda",
"Organizational matters",
"Report of the annual session 2011 (New York, 6-17 June 2011)",
"Contents",
"Executive Director's statement and annual report on UNDP segment 3: Statement and annual report 3 3 to UNDP funding commitments 5 4. Evaluation 6 5.6 Human Development Report 6",
"Organizational matters",
"The Executive Board of UNDP, UNFPA and UNOPS held its annual session 2011 at United Nations Headquarters in New York from 6 to 17 June 2011.",
"The Executive Board endorsed the agenda and workplan for the annual session 2011 (DPRUL.2) and endorsed the report of the first regular session 2011 (DP Corporal 20.",
"The Executive Board agreed on the schedule for future sessions of the Executive Board in 2011 as follows:",
"Second regular session 2011: 6-9 September 2011.",
"Decisions adopted by the Executive Board at its annual session 2011 are contained in document DP 32, available at http://www.undp.org/execbrd.",
"The Deputy Assistant Administrator of UNDP and the Deputy Director of the Partnerships Bureau informed the Executive Board that UNDP, UNFPA and UNICEF had agreed to adopt a common approach to ensure that programmes in South Sudan continue to be carried out in various months following the planned independence of South Sudan; and that the three organizations would be jointly informed to the Executive Board after the development of details.",
"The Executive Board agreed to defer consideration of UNDP programming arrangements, which were deferred from the second regular session 2011 to the first regular session 2012.",
"UNDP segment",
"Statement by the Administrator and annual report",
"In his statement to the Executive Board (see UNDP website http://www.beta.undp.org/ content/undp/en/home/operations/executive_board/overview.html), the Administrator outlined the development of the institutional reform agenda in a changing context. The Administrator's focus on how the ongoing work will contribute to the evolution of UNDP from a well-organized organization and will further enhance the ability of UNDP to achieve concrete development outcomes at the country level. The Administrator highlighted the main findings of the midterm review of the strategic plan and the ways in which the internal change agenda was strengthened. The Administrator also outlined a number of results that UNDP had helped to achieve in the world in 2010 in the eight priority results areas of the 2010 results report.",
"The Administrator then referred to the progress made by UNDP in the United Nations coherence agenda, noting that UNDP is firmly committed to the proper organization of the resources of the United Nations development system to respond more effectively and strategically to development challenges at the country level. In emphasizing that UNDP needs the necessary number of stable core resources, the Administrator called on all partners to increase core contributions to the remaining periods of 2011 and the current strategic plan.",
"The Administrator noted the importance of strengthening institutional disclosure policies, thereby enhancing transparency, and informed the Executive Board that UNDP was adopting the International Public Sector Accounting Standards (IPSAS) as expected. The Administrator finally informed the Executive Board of the newly launched UNDP website.",
"Delegations commented on the focus areas referred to in the statement of the Administrator, including the institutional reform agenda, the midterm review process and the next strategic plan, the funding commitments to UNDP and the increased disclosure of information to enhance transparency. The issues addressed by the delegation also relate to the Human Development Report and the draft decisions on middle-income countries submitted for consideration.",
"The President of the Economic and Social Council then made a statement, and he thanked the Administrator of UNDP for his comprehensive statement outlining the important activities and contributions of UNDP. The Chair supported the midterm review process and endorsed the substantive direction outlined in the annual report. The issues addressed by the Chair included the importance of the draft country programme documents and the need for stable and predictable funding to enable UNDP to carry out its development mandate.",
"In the area of change management and institutional reform, a number of delegations welcomed the fact that the process provided UNDP with an opportunity to review thoroughly the current fragmented and staggering features and highlighted the areas of UNDP's work towards transformation. In that regard, those delegations encouraged the strengthening of the resident coordinator system and the use of the skills mix of Headquarters staff and country office task forces.",
"Many delegations acknowledged the progress made in the midterm review process, while recognizing that there was a further improvement in space, in particular the development results framework for the midterm review. In expressing concern, those delegations pointed out that there was a need for greater clarity on the strategy and for more improvements, as the midterm review showed that expectations were not met in a number of issues. These issues include how UNDP adapts to strategic priorities to re-establish the direction of country programmes and how lessons learned can be learned to strengthen results on the ground; what is the important contribution of UNDP to development; and how UNDP can improve results and performance reporting. Those delegations strongly supported the development of a road map to guide the preparation and consultations of the next strategic plan, which they expressed the hope that the next strategic plan would clearly establish the strategic position of UNDP in a broader development environment.",
"Some delegations also welcomed the midterm review in general and expressed support for that process and requested attention to the concerns of least developed countries in the discussions. In addressing similar issues, a number of delegations emphasized the need to reconsider the current graduation criteria, based on the specific and differentiated needs of middle-income countries.",
"Some delegations noted that demand-driven approaches should be used to reduce poverty and emphasized the need to incorporate the Istanbul Programme of Action for the Least Developed Countries for the period 2011-2020 into future UNDP work programmes. However, several delegations called upon UNDP to focus more on areas where it had comparative advantages, in particular democratic governance and crisis prevention and recovery. Some delegations also stressed that social inequalities should be reduced in the area of poverty eradication.",
"Many delegations expressed serious concern about the continuing decline in core resources contributions and called on donor countries to honour their commitments to address the imbalance between core resources and non-core resources. Those delegations also emphasized the importance of ensuring stable, measurable and predictable core resources to enable UNDP to effectively carry out its development mandate.",
"Other delegations recognized the need for sustained funding for stability, and urged UNDP to diversify donor groups and follow the rigorous budgetary discipline advocated by the Secretary-General of the United Nations. Taking this opportunity, some delegations pledged to contribute to UNDP core resources in 2011 during the discussion.",
"Delegations that made statements reiterated their unequivocal support for the disclosure of internal audit reports related to projects and programmes to intergovernmental organizations, as well as the Global Fund to Fight AIDS, Tuberculosis and Malaria, irrespective of the number of contributions from these organizations and funds. These delegations also emphasized that, subject to confidentiality requirements, these non-State organizations should be given the same access to reports with Member States.",
"In emphasizing the need to address the specific and differentiated needs of middle-income countries, many delegations expressed their strong support for the draft decision submitted by Latin American and Caribbean States for consideration on middle-income countries. Two delegations noted past concerns about the Human Development Report, while noting that consultations with Member States had made significant progress in the drafting of the report.",
"The Administrator thanked delegations for their informative comments and concerns and responded to questions concerning the following: The midterm review, in particular with regard to the contribution of UNDP to development and the comments of the development results framework; the institutional reform agenda; the importance of UNDP maintaining a universal presence; and the need to respond to new demands for wider access to internal audit reports. The Associate Administrator also responded to comments on technical and methodological aspects of the midterm review.",
"The Executive Board adopted decision 2011/14 on the midterm review of the UNDP strategic plan and took note of the annual report of the Administrator on performance and results for 2010 (DP corrections and its annex), the UNDP report on the recommendations of the Joint Inspection Unit for 2010 (DP/63/122/Add.1), and the statistical annex (DP corrections22/Add.2).",
"Funding commitments to UNDP",
"The Administrator introduced the project on funding commitments to UNDP, and thanked all partners that provided resources to UNDP. The Administrator also referred to countries that maintained or increased funding to UNDP in 2011. The Assistant Administrator and the Director of the Partnership also provided detailed information on the current complexity of the funding environment and emphasized that stable, adequate and predictable core resources should be provided to UNDP to ensure that UNDP implements development mandates. She outlined the UNDP efforts to expand donor groups; strengthen strategic communications; and further integrate funding and resource mobilization efforts.",
"Two delegations expressed regret at the failure of UNDP to achieve the objectives set out in the strategic plan for 2010 and 2011. One delegation, speaking on behalf of a number of delegations, stressed the principle of sharing economic responsibility among all Member States. The delegation also called on UNDP to expand the scope of donor groups and said that UNDP needed less expensive and multifunctions.",
"Another delegation noted the target date of the Millennium Development Goals, while encouraging donor countries to address the continuing imbalance between core resources and non-core resources. The delegation reiterated its commitment to funding core resources in 2011.",
"The Administrator took note of the comments made by the delegation and looked forward to continuing guidance from the Executive Board.",
"The Executive Board adopted decision 2011/15 on the status of commitment to regular funding to UNDP and its funds and programmes in 2011 and beyond.",
"Evaluation",
"The Director of the Evaluation Office presented the annual report on the work of the evaluation in 2010 focusing on the evaluation functions of UNDP and its relevant funds and programmes, the important findings and lessons learned of independent evaluations and the proposed programme of work of the Evaluation Office for 2011-2012.",
"Delegations recognized improvements in management response and the use of evaluation, and expressed the hope that the use of evaluation results would enhance future results management. However, some delegations expressed concern about the limited progress made in decentralized evaluation in terms of quality, coverage and compliance, urging UNDP to ensure that effective evaluation plans are part of country programmes and that planned evaluations are carried out. These delegations requested clarifications on management plans to address the reduction in the number of experts.",
"Several delegations expressed concern that the results evaluation completed in 2010 was not very satisfactory, but noted that these evaluations were not very unsatisfactory. Those delegations spoke of the shortcomings in the design of programmes and the lack of a clearly defined results framework, while stressing the need for significant measures to address the de facto shortcomings. Those delegations were surprised to learn that the budget of the Evaluation Office had decreased by 14 per cent from 2009 to 2010, and requested clarification. Those delegations also wished to know the focus area of evaluation of the strategic plan to be organized in 2012.",
"Some delegations expressed interest in the appointment process of the new Director of the Evaluation Office and requested an update on the process. Those delegations also looked forward to seeing that all future national programme documents were accompanied by results-based evaluations, that management responded accordingly to all evaluations and that management responses were implemented in a timely manner.",
"Delegations welcomed the increase in the number of evaluationers in developing countries in the Independent Evaluation Group, noting that the Evaluation Office had maintained a gender balance in those evaluation teams, but it was difficult to increase the number of women heads of the Panel. Those delegations called for attention to the issue of building evaluation capacity to increase the number of professional women evaluationers in developing countries.",
"One delegation, in its overall general comment evaluation function, said that duplication could be minimized if joint evaluations at the country level could be increased.",
"The Associate Administrator and the Director of Evaluation responded to comments made by the delegation and reiterated the commitment of UNDP to improve evaluation functions in order to achieve transformational change.",
"The Executive Board adopted decision 2011/16 on the annual evaluation report (DP 24).",
"Human Development Report",
"In accordance with Executive Board decision Equatorial Guinea, the Administrator presented orally the measures taken by UNDP and the Human Development Report Service (HRD) to ensure the implementation of the recommendations and guidelines contained in General Assembly resolution 57/264. The Administrator highlighted a number of important institutional aspects of the Human Development Report, including the nature of editorial independence, and reiterated the importance of human development reports for UNDP. The Director of the Human Development Report provided a summary of the consultation process and the preparation of the 2011 report (DPLCA 25).",
"Delegations expressed appreciation for the oral statement made by the Administrator and commended the efforts made by the Proclamation Service to implement the recommendations contained in Executive Board decision DPI and General Assembly resolution 57/264. The delegation welcomed the enhanced consultative process with Member States and relevant statistical communities to enhance the quality and objectivity of the report. The delegation reiterated the importance of the consultation process in preparing future reports. Some delegations congratulated the Director of the Human Rights Reporting Service on his successor.",
"One delegation cautioned against the use of indicators that were not clearly defined by the intergovernmental bodies (such as human rights). The delegation noted with satisfaction the cooperation of the Human Rights Reporting Service with the Government to address issues surrounding the estimates of national income and expressed the hope that appropriate solutions would be found for other countries that were not included in the 2010 report. Another delegation welcomed the decision of the HRA to report on new indicators of environmental sustainability in 2011, taking into account the ongoing preparations for the Rio Declining Sustainable Development Conference.",
"Other delegations recognized the need for a dialogue with Member States and the United Nations Statistical Commission, while stressing the importance of ensuring the editorial independence of the HRA.",
"The Associate Administrator thanked the delegation for its encouragement and reiterated the commitment of the UNRISD to engage in dialogue with stakeholders, in particular with Member States and the international statistical community.",
"The Executive Board adopted decision 2011/17 to update the Human Development Report.",
"UNDP country programmes and related matters",
"UNDP country programme",
"The Associate Administrator introduced the project and invited delegations to comment on the above-mentioned document, after presenting 22 draft country programmes, one draft common country programme document and one subregional programme.",
"Delegations of the countries covered by the new draft country programme thanked UNDP for its support and invited the Executive Board to actively consider the draft country programme documents before it. Those delegations highlighted key focus areas reflected in the draft country programme documents, while stressing that the work of United Nations organizations must be complementary to national efforts to achieve sustainable development through the provision of technical assistance and capacity-building in the focus areas. Some delegations also stressed that middle-income countries must be taken into account.",
"Other delegations urged UNDP to strengthen the capacity of country offices and requested that priority be given in future country programme documents to gender mainstreaming, strengthening judicial reform, providing electoral support and addressing key cross-cutting issues such as climate change. Those delegations also noted that the results framework was flawed, which would create difficulties for results reporting and results-based management, and recommended that UNDP develop a more comprehensive results chain and include more information on risk analysis and risk mitigation.",
"One delegation wished to know whether UNDP was too broad in programme areas, given the country office capacity and mandate. The delegation added that another option could be chosen to focus on carefully selected programme areas. Another delegation expressed concern about compliance with the evaluation plan incorporating the draft national programme document, in particular the declining trend towards decentralized evaluation. The delegation urged UNDP to ensure that gender experts were recruited at the country programme stage and that accountability mechanisms were strengthened to ensure quality from the outset.",
"With regard to the draft common country programme documents in the United Republic of Tanzania and Albania, another delegation, speaking on behalf of a number of delegations, requested updated information on whether lessons learned would be presented to the Executive Board and when they were submitted; requested clarification on progress made in the independent evaluation; and requested an update on the review of the management and accountability system. The delegation also emphasized the need to identify institutional bottlenecks faced by the United Nations country team and outlined the ways in which the Executive Board of the agencies could assist in promoting the process.",
"The Executive Board took note of the one-year extension of country programmes in Egypt, Guinea, Haiti, Mauritius, Moldova, Tunisia and the United Arab Emirates. The Executive Board approved the second one-year extension of the country programme for South Africa and extended the country programme for Croatia, Madagascar and Paraguay for two years.",
"The Executive Board took note of the comments made on the draft 22 country programmes, covering the following countries: Chad, Ethiopia, Gabon, Ghana, Mauritania, Sao Tome and Principe, Senegal, Seychelles and Zimbabwe; the Arab region ( Bahrain, Morocco and Saudi Arabia); Bangladesh, Mongolia and the Philippines; Eastern and Commonwealth of Independent States ( Eastern Europe and the Commonwealth of Independent States) Kyrgyzstan, Montenegro and Ukraine; Latin America and the Caribbean (Latin America and the Caribbean) El Salvador, Honduras, Jamaica and Trinidad and Tobago.",
"The Executive Board also took note of the comments made on the draft common country programme document for Albania and the draft subregional programme document for Barbados and the Organization of Eastern Caribbean States.",
"In accordance with its decisions 2001/11 and 2006/36, the Executive Board approved the joint country programme document of the United Republic of Tanzania, submitted as an exception at the first regular session 2011.",
"UNDP Global Programme midterm review 2009-2013",
"The Associate Administrator introduced the project. The Assistant Administrator and the Director of Development Policy presented the report on the midterm review of the UNDP Global Programme for 2009-2013 (DP/63/227), describing the findings of the midterm review of the Global Programme and the proposed future course of work.",
"No comments were made by delegations.",
"The Executive Board adopted decision 2011/18 on the midterm review of the UNDP Global Programme.",
"United Nations Capital Development Fund",
"The Associate Administrator introduced the project, commending the results achieved in 2010 by the United Nations Capital Development Fund (UNCDF) and then briefed on the work of UNCDF and its partnership with UNDP. The Executive Secretary of UNCDF introduced the report on the results of the 2010 UNCDF, including the progress report on the implementation of the UNCDF strategic partnership with UNDP.",
"Delegations commended the good performance of UNCDF, particularly at the country level, and welcomed the continued expansion of its activities, which indicated that the Fund had earned increased confidence. However, a number of delegations expressed concern at the declining level of core resources and encouraged UNCDF to expand the donor community to ensure a more stable and predictable funding base.",
"One delegation, speaking on behalf of the least developed countries, was encouraged by the important contribution of UNCDF to achieving the Millennium Development Goals in the least developed countries. The delegation would like to see the future focus of UNCDF on expanding country-level activities in all least developed countries, in particular microfinance and local development programmes. The delegation also requested that UNCDF mainstream the relevant provisions and principles of the Istanbul Programme of Action for the Least Developed Countries and thanked UNCDF for two side events during the fourth United Nations Conference on the Least Developed Countries.",
"One delegation commended the broad framework for measuring results in UNCDF, commended the Fund for having commissioned nine full evaluations of its programmes in 2010, and one external review of the microfinance portfolio. Another delegation welcomed the fact that the strategic partnership between UNCDF and UNDP had become increasingly strong in recent years. The delegation also noted that almost all UNCDF country programmes were joint with UNDP.",
"The Executive Secretary wishes to thank delegations for their spillovers and comments, and the Executive Secretary said that the expansion of the scope of the activities of UNCDF to more least developed countries would be challenged without increased funding. The Associate Administrator commended the Executive Secretary for his leadership and reiterated the commitment of UNDP to strengthen its work with UNCDF to achieve transformation.",
"The Executive Board adopted decision 2011/19 on the UNCDF results report for 2010 (DP corrections 28).",
"United Nations Volunteers",
"The Associate Administrator introduced the project on the planning of the tenth anniversary of the International Year of Volunteers and the activities of the United Nations Volunteers programme, noting that positive progress has been made over the past 40 years. The Executive Coordinator of the United Nations Volunteers (UNV) detailed the work of the organization and provided an update on various initiatives to prepare activities related to the Year, in accordance with General Assembly resolution 63/135. She also paid tribute to the United Nations Volunteers who gave life during the year.",
"Delegations commended United Nations Volunteers for its efforts to promote peace, stability and ownership, and appreciated the dedication and hard work of volunteers worldwide. Delegations noted that, on the occasion of the tenth anniversary of the International Year of Volunteers, they looked forward to further promoting the values of voluntary action, creating and strengthening the network of volunteers to help achieve the Millennium Development Goals.",
"One delegation said that the International Year of Volunteers should be a good opportunity to review and pay attention to the movements and contributions of volunteers and to consider that volunteers should enjoy the immunity of international experts. Another delegation referred to the importance of voluntary action and its local development activities, and looked forward to seeing the introduction of the World Voluntary Action Report, which was being prepared by the United Nations Volunteers.",
"Some delegations linked the UNV programme to voluntary activities within countries and expressed strong support for the objectives of the United Nations Volunteers programme. Some delegations took this opportunity to recognize their contributions and called on other countries to contribute to the Special Voluntary Fund. Other delegations, together with the Executive Coordinator, paid tribute to volunteers who lost their jobs this year.",
"The Executive Coordinator expressed appreciation to delegations for their comments and observations and stressed the importance of recognizing the contributions of volunteers. She said that because of the difficult situation of volunteers and sometimes dangerous, they must be safe and enjoy the same job immunity as other United Nations personnel. She also expressed her appreciation for the continued support of various partners and said that the United Nations Volunteers would continue to advocate for volunteerism and provide opportunities for voluntary work to ensure a geographical and gender balance.",
"The Executive Board adopted decision 2011/20 on planning for the tenth anniversary of the International Year of Volunteers and the activities of the United Nations Volunteers programme.",
"Part of UNOPS",
"Statement by the Executive Director and annual report",
"The Executive Director of UNOPS presented progress in the annual report and in the implementation of the strategic plan 2010-2013, highlighting the contribution of UNOPS to the work of the United Nations and its partners in providing substantive benefits to those in need of assistance. He outlined the work of UNOPS in 2010, including project services valued at $12.7 million, clean-up and improvement of business practices and field operations in some countries. There was no reservation in the biennium 2008-2009, through the clean-up and improvement of business practices. The Executive Director presented the tireless efforts of UNOPS to improve the efficiency and quality of services, highlighting the recent certification of UNOPS. He also noted that the annual report to the Executive Board in 2011 would include the results of the implementation of the policy on the recognition and punishment of awards.",
"Many delegations thanked the Executive Director for presenting the annual report and stressed that UNOPS had achieved positive results over the past year. In this regard, they commended the leadership of UNOPS managers to ensure the financial stability of UNOPS.",
"One delegation, recalling previous discussions on the audit, investigation and ethics report of UNOPS, encouraged managers to continue to support these relatively new audit and ethics functions in order to effectively implement mandates. The delegation also encouraged UNOPS to help developing countries not only build their technical capacities but also develop institutional capacity to enhance sustainability. Another delegation noted that UNOPS continued to strive to meet growing national capacity-building needs within its mandate and core capacities, including the need for management advisory services.",
"One delegation noted with satisfaction the fact that UNOPS spent less money in 2010, and hoped that the work of UNOPS would be seen as an example of follow-up by other United Nations agencies and hoped that UNOPS would advance the United Nations coherence agenda as an important member of the United Nations country team. Another delegation encouraged UNOPS to continue to rapidly provide high-quality services while exploring the possibility of increasing procurement from developing countries.",
"One delegation expressed the wish to discuss the UNOPS biennial support budget at the upcoming second regular session of the Executive Board. Another delegation acknowledged the 2010 outcome, but encouraged UNOPS to explore more cost-effective opportunities to report to the Executive Board on the results.",
"The Executive Director expressed appreciation for the encouragement and guidance of delegations and assured delegations that UNOPS planned to carefully review the comments made by delegations, including its views on promising management practices with other organizations of the United Nations system. In addition, he said that UNOPS would continue to engage in national capacities and core capacity-building within its mandate.",
"The Executive Board adopted decision 2011/21 on the annual report of the Executive Director of UNOPS.",
"Joint segment",
"Internal audit and oversight",
"The Director of the UNDP Audit and Investigation Service, the Director of the UNFPA Oversight Services Division and the Director of the Internal Audit and Investigation Unit of UNOPS presented their annual reports on internal audit and oversight activities (DPRU29, DP/FPA/2009/5 and DP/OPS recipients2).",
"Subsequently, the UNDP Assistant Administrator and the Director of Management, the Executive Director of UNFPA and the Deputy Executive Director of UNOPS responded on behalf of the management side.",
"Delegations expressed their appreciation to the UNDP Audit and Investigation Service, the UNFPA Oversight Services and the UNOPS Internal Audit and Investigation Team for their valuable annual report. They expressed appreciation for the management response and the report of the Audit Advisory Committee. Delegations commented on the joint issues of UNDP, UNFPA and UNOPS and the unique issues of each agency. They were encouraged by the fact that senior management of the three agencies was seriously considering audit findings and recommendations and that efforts were being made to address shortcomings in a timely manner. Some suggested that UNDP and UNFPA expedite their efforts to effectively implement the audit recommendations made by 18 months ago. However, a number of delegations expressed concern about the staffing situation in the sectors responsible for overseeing the work of the Office of Internal Audit and Oversight or the regular reporting of fraud and presumptive fraud cases in management responses.",
"UNDP United Nations Development Programme",
"Some delegations noted that the proportion of country offices reviewed as “satisfaction” dropped from 39 per cent to 25 per cent, while the proportion of country offices assessed as “no satisfaction” remained the same in 2009. They expressed concern about this trend and asked for the views of UNDP management on the presumptive causes, including systemic shortcomings.",
"Similarly, some delegations noted that 22 per cent of audit recommendations were relevant to the procurement functions of country offices and hoped that future dialogue on how UNDP could implement those recommendations would be possible. They were also interested in more knowledge of the preparation of the UNDP IPSAS adoption in 2012, including the “Timeboard” for the preparation of the Guidelines.",
"Other delegations encouraged the Audit and Investigation Service to continue its consultations with other United Nations organizations on the possibility of using joint approaches to audit joint programmes. With regard to the annual report of the UNDP Audit Advisory Committee for calendar years 2010, a delegation, speaking on behalf of a number of other delegations, commented on the follow-up to various aspects of the integrated approach to cash transfers and requested further discussion on this issue.",
"Another delegation welcomed the revision of the statute of the Office of Audit and Investigation and requested the Administrator to provide the Executive Board with annotated appendix showing changes and proposing the reasons for the changes.",
"The Director of the Audit and Investigation Service responded to comments on audit recommendations relating to the procurement functions of country offices, changes in audit ratings, “Delivering as One” audit methodology and general investigations. He explained that, while a significant decrease in “satisfaction” rating was a matter of concern, it should be seen that the audit rating was volatile and should not be seen as a trend, but rather as a result of a more comprehensive audit. In addition, he explained that UNDP currently provided a consolidated audit summary, but that a joint audit approach would be needed, regardless of the gravity of the allegations, that all investigations would have appropriate procedures.",
"The Assistant Administrator and the Director of Management explained the UNDP response to the systemic shortcomings in the area of functions and policy, noting that measures are being taken in relation to policies to reduce risk and to implement accountability. The Deputy Assistant Administrator and the Deputy Director of the Authority further clarified the reasons for changes in the audit rating and explained that only one country office received the same “no satisfaction” rating.",
"The President of the UNDP Audit Advisory Committee expressed appreciation to UNDP for its timely and comprehensive response to the management response. With regard to comments on the harmonized approach to cash transfers, she explained that the annual report did not imply that the level of assurance for the harmonization of cash transfers was less than that of non-governmental organizations and national implementation audits. If the full process and procedures for a harmonized approach to cash transfers are not respected, the level of assurance may be reduced. An audit of the Harmonized Approach to Cash Transfer showed that there were some deficiencies in compliance with all standards and therefore considered that there would be risks if standards were not complied with.",
"UNFPA",
"Several delegations expressed their views on the format and specific recommendations of the report. They requested the management to include in future responses more specific information on measures taken to implement audit recommendations, including the expected time frame for implementing the recommendations. They expressed their satisfaction with the transparency of UNFPA dealing with investigation cases.",
"Some delegations welcomed the positiveness of filling vacant posts in the Division of Oversight Services and stressed that all staff should have the necessary skills and capacity to carry out their work. They welcomed the Executive Director's plan to strengthen learning and development in order to ensure that skills and capacities are more responsive and enable staff to effectively implement their mandates.",
"Some delegations noted with concern that the issues and recurring audit issues of the Board of Auditors with respect to the financial statements for 2008-2009 had not been adequately addressed and structural and systemic challenges remained. They expressed support for the efforts of the Executive Director to address these issues.",
"Some delegations expressed concern about the increased financial risks identified in national implementation audits and the deterioration of the situation; the rise in “nosatisfaction” ratings; the continuing challenge of programme monitoring and evaluation; the lack of clarity among staff on the roles of headquarters units, regional and country offices; and the different nature of some management initiatives. Delegations encouraged UNFPA to further integrate efforts in the area of operational planning, within the framework of the institutional risk management strategy for high-risk areas, to institutionalize the monitoring system, including adequate support for country offices and oversight systems.",
"Some delegations noted the conclusion of the report of the Division of Oversight Services that, in order to prevent the recurrence of problems identified by the audit, country offices needed to make basic adjustments, and welcomed the Executive Director's personal chairmanship of the Audit Monitoring Committee and the assurance that this would be a priority for UNFPA. While appreciating the various measures taken by management to implement audit recommendations, they noted that this would require some time to have an impact, they were concerned that another audit might also have reservations. Several delegations commended UNFPA for its accelerated implementation of the audit recommendations made by 18 months ago.",
"Some delegations welcomed the report of the UNFPA Audit Advisory Committee, which requested the representative of the Committee to present three of the top priorities for UNFPA and to clarify the capacity of management to address its issues. Some delegations requested the Executive Director to identify priorities for implementing the recommendations of the internal auditor and to propose action plans containing clear measures and timelines. They recommended that the progress of periodic reports be reviewed by the Executive Board.",
"The Executive Director emphasized that UNFPA attached great importance to audit issues and was addressing them through the midterm review of the strategic plan and/or operational plans. He was convinced that the Executive Board members would be satisfied with the steps taken by UNFPA. He noted that measures had been taken to mitigate the risks of the Fund, including the strategic focus of the Fund, the review of cooperation with implementing partners and the number of programme outputs. He reiterated UNFPA's full commitment to transparency and accountability.",
"The Director of the Oversight Services noted that the staff of the Investigation Service had increased. With regard to fraud, he said that UNFPA had purchased software for ongoing monitoring. With regard to “no satisfaction” ratings, he noted that it was important to take into account a risk model relied upon by UNFPA, to conduct a specific audit of units with the highest risk, and that the evaluation of “no satisfaction” was inevitable. However, some deficiencies are systematic. As noted by the Executive Director, these issues are being addressed through the midterm review and operational plan.",
"In response to the questions posed by the representative of the UNFPA Audit Advisory Committee, UNFPA priorities were strategically integrated risk management and programme/project management. She said that many of the problems faced by UNFPA could be addressed through the integration of risk management plans into business plans.",
"UNOPS",
"Delegations welcomed the outstanding audit opinion received by UNOPS and commended the Internal Audit and Investigation Group for its dedication to performing its investigation functions. However, they also expressed their views on areas where improvements were needed and requested further information on the financial implications of the audit findings and how the internal audit and investigation team dealt with an increase of 70 per cent of allegations in 2009-2010.",
"Some delegations noted that the number of recommendations and high-priority recommendations had declined significantly from 2008 to 2009, and that this situation had been completely reversed in 2010, requesting further information on the causes of volatility. They also urged UNOPS to intensify its efforts to implement the long-term audit recommendations.",
"One delegation encouraged the management of UNOPS to ensure that the resources required for the internal audit and investigation teams to carry out their mandates are shared with the Executive Board on significant developments affecting the work of the internal audit and investigation teams.",
"The Director of the Internal Audit and Investigation Team responded to comments on the increase in allegations received, saying that UNOPS was working to prevent cases from becoming harassment cases. UNOPS is doing so through the Ombudsman and the mediation process. She said that UNOPS would keep members of the Executive Board informed of developments related to fraud and corruption cases, and that UNOPS was now dependent on the information available by the United Nations system organizations. Turning to the need for additional human resources to respond to the increase in the number of cases, she said that UNOPS management would need to consider the issue in the context of the budget and the current number of auditors.",
"The Executive Board adopted decision 2011/22 on the activities of UNDP, UNFPA and UNOPS on internal audit and oversight activities for 2010.",
"Response to new requirements for disclosure of additional information in internal audit reports",
"The Administrator of UNDP introduced the project and emphasized the urgent need for UNDP to demonstrate its commitment to ensuring transparency and accountability. She also said that UNDP could lose trust and finance if it was unable to access internal audit reports by institutional donors. On behalf of UNDP, UNFPA and UNOPS, the Director of the UNDP Audit and Investigation Service presented reports indicating responses to requests for disclosure of additional information on internal audit reports (DP-FPA-OPS).",
"The Executive Director of the Global Fund to Fight AIDS, Tuberculosis and Malaria (Global Fund) noted the importance of the Global Fund's working relationship with UNDP and expressed the growing concern of the Global Fund Board about the competence of managers to present internal audit reports. While the Executive Director expressed the belief that the proposed options were an important step forward, it was also requested that the Executive Board allow a certain degree of flexibility.",
"Many delegations welcomed the opportunity to discuss options for responding to new requests for information on internal audit reports. Those delegations emphasized the importance of enhancing transparency and openness among organizations, and expressed their support for the disclosure of internal audit reports related to projects and programmes to donor agencies, regardless of the level of contributions, to the extent that the donor agencies had the same access to Member States, provided that confidentiality requirements continued to be met. With regard to streamlining procedures, delegations suggested exploring the possibility of finding safe technical treatment programmes for non-confidential documents, and invited three agencies to submit a joint recommendation to the Executive Board at its second regular session 2011 on access to internal audit reports. They also expressed their views on the implementation of the new disclosure policy, which should continue to be assumed by the oversight bodies of the agencies.",
"One delegation noted that the disclosure of internal audit reports was a major step within agencies to further develop a culture of transparency and accountability. Another delegation stressed that the use of funds must not be considered politically, and warned that the time was not ripe to discuss the project without adequate information on the impact of the proposed options. The delegation stressed that the same competence of non-State entities and Member States to access internal audit reports was unacceptable in any event.",
"The Administrator of UNDP, the Executive Director of UNFPA and the Executive Director of UNOPS expressed their full support for improving transparency in internal audit reports and disclosure of additional information. The Administrator of UNDP reiterated the gravity of the problem and explained the possible consequences of the failure to respond to new requests for disclosure of additional information on internal audit reports.",
"The Executive Board adopted decision 2011/23 on response to new requests for internal audit reports to disclose additional information.",
"After the adoption of decision 2011/23, one delegation explained why his Government had joined the consensus to allow non-State donors (in particular intergovernmental organizations and the Global Fund to Fight AIDS, Tuberculosis and Malaria) to access the internal audit reports of their contributions to projects and programmes.",
"Report of the UNDP, UNFPA and the UNOPS Ethics Office",
"The Director of the UNDP Ethics Office, the Ethics Adviser of the UNFPA Ethics Office and the UNOPS General Legal Adviser explained the report of their respective agency Ethics Office (DP/30, DP/FPA/2009/6 and DP/OPS (2009)3).",
"Statements were made by two delegations. One delegation welcomed the report of UNDP, UNFPA and the UNOPS Ethics Office and welcomed the collective efforts of the Ethics Office of the three agencies to create a culture of integrity within the United Nations system. The delegation emphasized its strong support for the financial disclosure programme as a key tool to avoid conflicts of interest among staff. The delegation was pleased to see that the proportion of compliance with the regulations was 99 per cent in UNDP and 100 per cent in UNFPA and 95 per cent in UNOPS.",
"The delegation requested that future reports be substantive and that the number of cases requiring asset abandonment or other remedial action be included. The delegation urged three agencies to publish financial disclosure forms of senior officials in order to increase transparency. In addition, the delegation recommended that UNDP, UNFPA and UNOPS standardize the reportingers' reports and seek guidance from the Chairman of the United Nations Ethics Committee in dealing with allegations of reprisals.",
"Another delegation emphasized the importance of establishing robust ethics functions in order to better meet the needs of developing countries. The delegation encouraged management of three institutions to further ensure the institutionalization of ethics functions.",
"The Director of the UNDP Ethics Office acknowledged the need to list the actual number of remedial actions in terms of financial disclosure and said that future reports would contain relevant statistics. The overall legal adviser of UNOPS expressed support for public financial disclosure, but considered that the issue of voluntary disclosure needs to be considered by the United Nations Ethics Office.",
"UNFPA Ethics Adviser thanked delegations for their views and support. She agreed with UNDP responses and noted that UNFPA would continue to act in harmony with other organizations within the framework of the United Nations Ethics Committee.",
"The Executive Board adopted decision 2011/24 on the report of the UNDP, UNFPA and the UNOPS Ethics Office.",
"Field visits",
"The project was presented by the joint field visit to the Republic of the Philippines and by the various teams that visited Panama and Uruguay. The Rapporteur on the field visit presented their respective reports (DP-FPA/2009/CRP.1 and corrigenda; DPACT CRP.2-DP/FPA/2009/CRP.1; DPACT CRP.3-DP/FPA/2009/CRP.2), highlighting key conclusions and recommendations.",
"A delegation, while recognizing the success of field visits, requested the secretariat of the Executive Board to provide information on the overall cost of organizing those field visits, in particular travel-related costs.",
"The Executive Board took note of three reports on field visits to the Republic of the Philippines, Panama and Uruguay.",
"UNFPA segment",
"Statements and annual reports of the Executive Director",
"In her statement to the Executive Board (available at http://www.unfpa.org/public/home/new/pid/7763), the Executive Director reported on the progress made in the implementation of the strategic plan over the past three years, highlighting the plans to build UNFPA as a more focused and effective organization. He said that work had been under way to strengthen organizations, including the midterm review of the strategic plan and the development of an internal business plan.",
"Delegations thanked the Executive Director for his insightful presentation and appreciated the leadership of the Executive Director in reassessing the work of the UNFPA strategic priorities and in a transparent and inclusive midterm review process. Several delegations stressed that the Programme of Action of the International Conference on Population and Development (ICPD) should be at the core of the work of UNFPA, at the heart of the work of the field of population and development, reproductive health and rights and gender equality. Delegations highlighted the importance of maintaining the consensus of the Conference. They stressed that the work of UNFPA must be guided by a human rights-based approach. The delegations were of the view that the strategic direction of UNFPA should be strengthened, but noted that all possible entry points should be retained in order to enhance cooperation with stakeholders and development partners. Delegations noted that progress on Millennium Development Goal 5 was lagging, highlighting the key role of UNFPA in assisting countries in advancing Millennium Development Goal 5 and highlighting the importance of data for development and strengthening national data systems and capacity-building, and urged UNFPA to adhere to culturally sensitive programming approaches. Delegations referred to the key role of UNFPA in supporting South-South cooperation.",
"Delegations welcomed the focus of the Executive Director on adolescents and emphasized the need for investment in young people, including information, education and youth services. One delegation proposed that discussions be held at a future session on youth work by United Nations entities to facilitate joint action. UNFPA work in emergency/humanitarian settings was welcomed, and some delegations encouraged the Fund to strengthen its mechanisms and capacities for cooperation in preventing and responding to gender-based violence. UNFPA's support to countries was appreciated in its 2010 census. One delegation suggested that the Fund's humanitarian activities should be reviewed/discussed annually.",
"Several delegations referred to the Fourth United Nations Conference on the Least Developed Countries and emphasized the importance of accelerating progress in the least developed countries to achieve the Millennium Development Goals by 2015. One delegation thanked the Least Developed Countries Group for its support. The delegation stressed that the least developed countries face daunting challenges in achieving the Millennium Development Goals target on universal access to reproductive health, including family planning, and expressed the belief that UNFPA would give priority to the least developed countries.",
"It was acknowledged that the role of skilled attendants, in particular the role of midwives, was crucial to reducing maternal and newborn mortality and morbidity. One delegation announced a new initiative to expand the country's plan for midwives and to increase the percentage of births attended by skilled birth attendants. The delegation indicated that it would work closely with UNFPA. Another delegation announced a new national plan to provide free services for pregnant women in rural and urban areas.",
"The Executive Director stressed that accountability was a priority for UNFPA and welcomed. They urged UNFPA to pay greater attention to national execution, financial management, audit compliance, assessment and evidence-based programming and decision-making. With regard to the results report, some delegations stressed that lessons learned and the challenges encountered and overcome should be identified. Delegations appreciated the contribution of UNFPA to United Nations reform, including “Delivering as One”. Several delegations noted that UNFPA should work with chewing to ensure a coordinated approach to gender equality.",
"Many delegations stressed that UNFPA needed more predictable financial resources to assist countries in implementing the ICPD agenda and achieving the Millennium Development Goals. They encouraged UNFPA to seek more efficient and efficient use of resources. The delegation of the United Kingdom of Great Britain and Northern Ireland announced that the country would maintain the core funding level of £20 million per year over the next two years. The delegation stressed that future funding would depend on three key areas: improved programme delivery and effectiveness at the country level; enhanced results-based management; improved financial management, including improved audit compliance. Other delegations, including Estonia, Finland, Ireland, the Netherlands and New Zealand delegations, also referred to their respective core contributions to UNFPA. The delegation of Japan expressed its deep appreciation to UNFPA and its staff for their sympathetics in the aftermath of the recent earthquake in Japan. The delegation said that, despite the current situation, the Government would continue to honour its financial commitment to UNFPA.",
"Several delegations expressed concern that more senior UNFPA Professional staff would retire during the period 2011-2015. They stressed the need for training/knowledge expertise for new staff and called on the Executive Director to maintain geographical balance and gender equality. One delegation asked what units would be affected by future retirements.",
"The Executive Director thanked delegations for their support and emphasized the determination of UNFPA to improve programme delivery, results-based management, efficiency, transparency and accountability, including financial management and audit compliance. He agreed that there was a need for flexible treatment and that there should be no single-fits-all. He welcomed the support for the midterm review and considered that the results were crucial. He said that UNFPA had taken significant steps to strengthen and streamline the results framework. He assured States that the focus on women, girls and young people did not imply that UNFPA did not work with States to address their needs in the areas of population and development, gender equality and reproductive health. He welcomed the recommendation to discuss youth issues at future sessions of the Executive Board. He stressed that UNFPA was committed to meeting the needs of the least developed countries and implementing the Istanbul Programme of Action. He said that UNFPA was also committed to meeting the needs of middle-income countries.",
"The Executive Director thanked Member States for their generous contributions and urged them to make multi-year commitments. He said that the draft budget for the biennium would be ready later this year and assured the Executive Board that UNFPA was effectively managing overall costs and overall income. He said that internal business plans would focus on staff training, induction and replacement planning.",
"The Executive Board adopted decision 2011/25 on the report of the Executive Director for 2010.",
"Funding commitments to UNFPA",
"The Chief of the Resource Mobilization Services introduced the report on the contributions of Member States and other donors to UNFPA and income projections for 2011 and subsequent years (DP/FPA/2009/4) and provided updated information on funding. He said that, as at 1 June 2011, projected income for regular resources contributions to UNFPA was estimated at $456.6 million, a significant increase over the $442 million projected in the report at the time of finalization in March 2011. Projected income estimates for other resources (common funding) for 2011 amount to $270 million. He stressed that regular resources were the cornerstone of the operations of UNFPA and highlighted that there was more than ever a need for adequate, coherent and predictable financial resources.",
"In a joint statement, several delegations expressed their agreement with the main conclusions of the report, stating that UNFPA must have a stable regular resource base to support national implementation of the ICPD Programme of Action. Those delegations stressed that their contributions to the Fund had given priority to regular resources, since core funding was the cornerstone of all UNFPA work. They also noted that other resources were an important complement to the Fund's regular resource base. They welcomed the increased participation of new and emerging economies and stressed that UNFPA needed more important donors.",
"Delegations encouraged UNFPA to further improve its financial and operational management, highlighting the importance of improved financial and operational management and effective and evidence-based programming to attract regular and other resources. They noted that, under the current global environment, organizations should “minimize money” and they welcomed the efforts of the Executive Director to make UNFPA more efficient in achieving and demonstrating results. Delegations stressed that this would play a decisive role in the Fund's capacity to mobilize resources.",
"The Executive Director thanked delegations for their endorsement of UNFPA efforts to strengthen its financial base. He stressed that accountability and transparency would be the UNFPA slogan and that UNFPA would seek “to achieve greater effectiveness through more resources”.",
"The Executive Board adopted decision 2011/26 on contributions from Member States and other donors and on income projections for 2011 and subsequent years.",
"UNFPA country programmes and related matters",
"First, the Executive Board approved the institutional component of the common country programme document of the United Republic of Tanzania. The document was previously considered by the Executive Board at its first regular session in 2011.",
"The Deputy Executive Director of UNFPA (Programme) outlined the following 18 draft country programme documents submitted for consideration by the Executive Board: Africa — Ethiopia, Gabon, Ghana, Mauritania, Sao Tome and Principe, Senegal, Zimbabwe; Arab States — Morocco; Asia and the Pacific — Bangladesh, Lao People's Democratic Republic, Mongolia, Philippines; Eastern and Central Asia — Albania, Kyrgyzstan, Ukraine; Latin America and the Caribbean — El Salvador, the Caribbean and the Netherlands — multi-country programme documents, Honduras. She also introduced the extension of the country programme in Guinea, South Africa, Madagascar, Tunisia, the Republic of Moldova, Haiti and Paraguay. Subsequently, UNFPA regional directors in Africa, Arab States, Asia and the Pacific, Eastern Europe and Central Asia and Latin America and the Caribbean detailed their regional programmes.",
"Delegations appreciated that the country programme documents were developed in close consultation with Governments and development partners and were aligned with national plans and priorities. Several delegations noted their cooperation with UNFPA for decades, noting in particular that those programmes took into account national specific contexts. They stressed the need for capacity-building in the areas of sexual and reproductive rights, population and development and gender equality. Some delegations noted that, given the increasing financial and economic environment, UNFPA was encouraged to strengthen and expand its cooperation with other development partners, including the United States Agency for Development, UNICEF and WHO. In that regard, some delegations emphasized the need to identify loopholes and avoid duplication of effort.",
"Some delegations called on UNFPA to highlight programme priorities and enhance synergies in order to achieve the best development results. They noted that, in the context of limited resources, the expected accomplishments and indicators in the draft programme documents in some countries were too ambitious and practical. Delegations invited UNFPA to pay particular attention to addressing the needs of young people, the poor and disadvantaged groups, including the needs of indigenous peoples. They stressed the importance of adopting gender-sensitive and rights-based approaches. Delegations commended UNFPA for its important role in advocating for the improvement of the status of midwives and promoting skilled attendance. Delegations also made comments and questions on the draft country programme documents. The following delegations thanked the Executive Board and UNFPA for their country programmes and appreciated the Fund's support: Albania, Antigua and Barbuda (on behalf of 14 Member States of the Caribbean Community), Bangladesh, Ethiopia, Honduras, Mongolia, Morocco, the Philippines, Sao Tome and Principe, South Africa, Ukraine, United Republic of Tanzania.",
"The Directors of UNFPA regional offices thanked delegations for their comments and support. They assured the Executive Board that, in accordance with decision 2006/36, comments on the draft country programme documents would be conveyed to the countries concerned for their consideration in finalizing the country programme documents.",
"The Executive Board approved the extension of programmes in Madagascar, Paraguay and South Africa and noted the extension of programmes in Guinea, Tunisia, the Republic of Moldova and Haiti. In addition, the Executive Board took note of the 18 draft country programme documents and comments on them: Ethiopia, Gabon, Ghana, Mauritania, Sao Tome and Principe, Senegal, Zimbabwe, Morocco, Bangladesh, the Lao People's Democratic Republic, Mongolia, the Philippines, Albania, Kyrgyzstan, Ukraine, El Salvador, the Caribbean and the Netherlands, national multi-country programme documents, Honduras.",
"midterm review of the strategic plan",
"The Executive Director introduced the agenda item. The Deputy Executive Director (Programme) presented progress and challenges to implement the strategic plan for 2008-2013. The Director of the Programme made presentations on results-based accountability — strengthening measurement systems.",
"Several delegations commended UNFPA for its inclusive, transparent and consultative approach to the ongoing midterm review of the strategic plan for 2008-2013. They stressed the need to ensure that all UNFPA partners are fully committed to the changes required in order to enhance the effectiveness of the Fund. They welcomed the development of a business plan outlining what action was needed to implement UNFPA strategic and operational priorities. Delegations noted that enhanced country-level outcomes and impacts would be the basis for assessing the effectiveness of the Fund. They encouraged UNFPA to strengthen synergies with other development partners.",
"Several delegations commended the Executive Director for his decision to focus on the core mandate of the Fund. They stressed the importance of UNFPA being an advocate for reproductive health and rights and leading global efforts to accelerate progress towards the achievement of the goals of the Conference and the targets set in the Millennium Development Goals for reducing maternal mortality and universal reproductive health, including targets for family planning. They felt that family planning and the importance attached to young people, including adolescent girls, were central to the Fund's mandate and the achievement of the Millennium Development Goals. They noted that UNFPA's work on sexual and reproductive rights was most closely linked to the achievement of operational results, helping to improve the lives of disadvantaged groups, especially women and young people.",
"Several delegations stated that humanitarian assistance should continue to be an important aspect of the work of UNFPA. The Fund has played a unique role in combating gender-based violence and ensuring that women have a unique role to play in making births in natural disasters and conflicts. Several delegations urged UNFPA to continue to serve as humanitarian actors, in addition to its role in policy and protection.",
"Delegations welcomed the efforts of UNFPA in collaboration with UNAIDS and the four institutional partners in health to further reduce the spread of HIV and to promote better integration of prevention and sexual and reproductive health and family planning programmes for mother-to-child transmission. Some delegations noted that UNFPA needed to review its role in the area of gender equality and the empowerment of women, with the establishment of tiny. In their view, UNFPA should continue its work on gender equality and empowerment of women, with a focus on gender equality issues related to sexual and reproductive rights.",
"Some delegations noted that the multiple aspects of the Fund's work were fragmented and dispersed its impact, causing great complexity and risk in management. They encouraged UNFPA to highlight the focus of the strategic plan and reduce the number of programme areas by reducing the number of results and outputs. Focusing and reducing the number of results will help to optimize the use of existing financial and human resources, improve efficiency and enhance effectiveness and impact. They supported UNFPA efforts to improve monitoring and evaluation systems, improve the quality of data, noting in particular that advocacy of development impacts was essential for further political and financial support.",
"Several delegations noted that UNFPA, like other organizations, was not in a position to do so. Given the limited financial and human resources available, UNFPA must make tough strategic decisions on what priority is being done. In order to achieve and report on results, the Fund should focus on areas where it has comparative advantages and value added, particularly in countries where staff and programmes are too dispersed. Some delegations suggested that, in addition to taking into account the comparative advantages of UNFPA, options should also be made based on the difference analysis of the specific needs and contexts of countries.",
"With regard to the need to improve the performance measurement and results-based reporting of the Fund, several delegations noted the need to reduce the number of indicators in the strategic plan and to enhance the linkages between results and outputs in order to better demonstrate the Fund's contribution to results. Delegations encouraged UNFPA to implement high-impact practices in countries that had not yet been on track with the targets set out in the ICPD objectives and Millennium Development Goal 5 and to strengthen cooperation with development partners. Delegations noted that the main impact of UNFPA was the result of work at the country level, noting that, in order to work effectively and achieve tangible results, UNFPA programmes must be tailored to national and local needs and the level of participation of other actors.",
"The Executive Director thanked delegations for their comments and noted that those observations were focused on priority areas for young people, in particular girls, sexual and reproductive health and programmes to ensure family planning, the importance of gender equality and population dynamics, and the progress made in the above-mentioned areas in line with the ICPD agenda and Millennium Development Goal 5. The Director of the Programme Division thanked delegations for their guidance and support and stated that UNFPA would provide additional indicators at the upcoming informal meeting. With regard to procurement, the Director of the Division for Management stated that UNFPA was reviewing various areas, including commodities and long-term agreements that the Fund might have an impact on prices.",
"Other matters",
"Other decisions adopted",
"The Executive Board adopted decision 2011/27 on the provisional appropriation for the biennium 2012-2013 for UNFPA, decision 2011/28 on the least developed countries and decision 2011/29 on middle-income countries.",
"Following the adoption of decision 2011/29, a delegation described the purpose of submitting decisions on middle-income countries and emphasized the need for more advanced means to measure development.",
"One delegation asked whether a thematic discussion on youth would be organized at the second regular session 2011. Another delegation thanked UNDP, UNFPA and UNOPS for addressing issues related to the Executive Board's documentation language requirements and would like to see cooperation as always.",
"Other activities",
"The following thematic discussion/ consultations were held:",
"(a) Joint thematic discussion on the role of organizations in responding to the development needs of middle-income countries. The Latin American Chair of the United Nations Development Group and the President of the United Nations Development Group Europe and Central Asia presented the development needs of middle-income countries in their respective regions. The President of Uruguay spoke about the role of the United Nations in middle-income countries. The representative of the Republic of Namibia shared the experiences of African countries on issues related to middle-income countries, including Namibia.",
"(b) Joint thematic discussion on environment and climate change: role of three institutions at the national level. The UNDP Assistant Administrator and the Director of Development Policy, on behalf of UNDP, UNFPA and UNOPS, presented the roles of the three organizations in developing countries. The representative of Burkina Faso provided the country's experience in participating in the adaptation programme in Africa, noting also the negative impact of climate change on its development. The Director of the UNFPA Technical Division presented UNFPA work on population, environment and climate change, noting that UNFPA was the only organization with a focus on population issues. The UNOPS Regional Bureau for Latin America and the Caribbean presented the contribution of UNOPS to climate change at the national and regional levels. A brief video briefing on the Barbados Small Grants Programme was subsequently broadcast.",
"(c) Joint thematic discussion on issues related to least developed countries in the context of the Fourth United Nations Conference on the Least Developed Countries. The Vice-President of the Executive Board for Asia and the Pacific chaired a joint thematic discussion on issues related to least developed countries in the context of the Fourth United Nations Conference on the Least Developed Countries. Presentations were made by the Acting Director of the Office of the United Nations High Representative for the Least Developed Countries, Landlocked Developing Countries and Small Island Developing States, the Permanent Representative of Nepal to the United Nations (on behalf of the Chair of the Least Developed Countries Group), the Assistant Administrator of UNDP and the Director of the Regional Bureau for Africa, the Director of the UNFPA Technical Division, and the Regional Director of the North America Office of UNOPS.",
"(d) Informal discussions on the UNDP budget estimates for the biennium 2012-2013, the midterm review of the UNFPA strategic plan and the UNOPS biennial support budget."
] |
[
"促进《全面禁止核试验条约》 生效会议",
"2011年9月23日，纽约",
"临时议程草案",
"1. 会议开幕",
"2. 程序和组织事项",
"(a) 选举主席",
"(b) 通过议事规则",
"(c) 通过议程",
"(d) 选举主席之外的其他主席团成员",
"(e) 任命全权证书委员会成员",
"(f) 确认会议秘书",
"3. 联合国秘书长发言",
"4. 主席发言",
"5. 全面禁止核试验条约组织筹备委员会执行秘书致辞",
"6. 通过最后宣言",
"7. 提交关于合作促进《全面禁止核试验条约》生效的进度报告",
"8. 批准国和签署国就促进《全面禁止核试验条约》生效一般性交换意见[1]",
"9. 非签署国发言¹",
"10. 非政府组织代表发言¹",
"11. 全权证书委员会的报告",
"12. 通过会议的报告",
"13. 会议闭幕。",
"附件一",
"拟议的会议工作时间表",
"2011年9月23日，星期五 10:00-13:00",
"项目1 会议开幕",
"项目2 程序和组织事项",
"(a) 选举主席",
"(b) 通过议事规则",
"(c) 通过议程",
"(d) 选举主席之外的其他主席团成员",
"(e) 任命全权证书委员会成员",
"(f) 确认会议秘书",
"项目3 联合国秘书长发言",
"项目4 主席发言",
"项目5 全面禁止核试验条约组织筹备委员会执行秘书致辞",
"项目6 通过最后宣言",
"项目7 提交关于合作促进《全面禁止核试验条约》生效的进度报告",
"项目8 批准国和签署国就促进《全面禁止核试验条约》生效一般性交换意见",
"15:00-18:00",
"项目8 批准国和签署国就促进《全面禁止核试验条约》生效一般性交换意见(续)",
"项目9 非签署国发言",
"项目10 非政府组织代表发言",
"项目11 全权证书委员会的报告",
"项目12 通过会议的报告",
"项目13 会议闭幕。",
"[1] 作为一般性指导，假定每位发言者发言时间不超过五分钟，由主席斟酌决定。"
] | [
"Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty",
"New York, 23 September 2011",
"Draft provisional agenda",
"1. Opening of the Conference",
"2. Procedural and organizational matters",
"(a) Election of the Presidency",
"(b) Adoption of the rules of procedure",
"(c) Adoption of the agenda",
"(d) Election of officers other than the Presidency",
"(e) Appointment of members of the Credentials Committee",
"(f) Confirmation of the Secretary of the Conference",
"3. Statement by the Secretary-General of the United Nations",
"4. Statement(s) by the Presidency",
"5. Address by the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization",
"6. Adoption of a Final Declaration",
"7. Presentation of a progress report on cooperation to facilitate the entry into force of the Comprehensive Nuclear-Test-Ban Treaty",
"8. General exchange of views by ratifiers and signatories on facilitating the entry into force of the Comprehensive Nuclear-Test-Ban Treaty[1]",
"9. Statements by non-signatory States¹",
"10. Statement on behalf of NGOs¹",
"11. Report of the Credentials Committee",
"12. Adoption of the report of the Conference",
"13. Closure of the Conference.",
"Annex I",
"Proposed timetable for the work of the Conference",
"Friday, 23 September 2011 10.00-13.00",
"Item 1 Opening of the Conference",
"Item 2 Procedural and organizational matters",
"(a) Election of the Presidency",
"(b) Adoption of the rules of procedure",
"(c) Adoption of the agenda",
"(d) Election of officers other than the Presidency",
"(e) Appointment of members of the Credentials Committee",
"(f) Confirmation of the Secretary of the Conference",
"Item 3 Statement by the Secretary-General of the United Nations",
"Item 4 Statement(s) by the Presidency",
"Item 5 Address by the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization",
"Item 6 Adoption of a Final Declaration",
"Item 7 Presentation of a progress report on cooperation to facilitate the entry into force of the Comprehensive Nuclear-Test-Ban Treaty",
"Item 8 General exchange of views by ratifiers and signatories on facilitating the entry into force of the Comprehensive Nuclear-Test-Ban Treaty",
"15.00-18.00",
"Item 8 General exchange of views by ratifiers and signatories on facilitating the entry into force of the Comprehensive Nuclear-Test-Ban Treaty (continued)",
"Item 9 Statements by non-signatory States",
"Item 10 Statement on behalf of NGOs",
"Item 11 Report of the Credentials Committee",
"Item 12 Adoption of the report of the Conference",
"Item 13 Closure of the Conference.",
"[1] As general guidance, it is assumed that speakers, at the discretion of the Presidency, will talk for up to five minutes each."
] | CTBT-ART.XIV_2011_2 | [
"Conference on Facilitating the Entry into Force of the Comprehensive Nuclear-Test-Ban Treaty",
"New York, 23 September 2011",
"Draft provisional agenda",
"Opening of the session",
"Procedures and organizational matters",
"(a) Election of the President",
"(b) Adoption of the rules of procedure",
"(c) Adoption of the agenda",
"(d) Election of other officers other than the President",
"(e) Appointment of members of the Credentials Committee",
"(f) Confirmation of the Secretary of the Conference",
"Statement by the Secretary-General of the United Nations",
"Statement by the Chairman",
"Address by the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization",
"Adoption of the final declaration",
"Submission of progress reports on cooperation for the entry into force of the Comprehensive Nuclear-Test-Ban Treaty",
"General exchange of views by ratifying States and signatories on promoting the entry into force of the Comprehensive Nuclear-Test-Ban Treaty [ Annex",
"Statements by non-signatory States1",
"Statements by representatives of non-governmental organizations1",
"Report of the Credentials Committee",
"Adoption of the report of the Conference",
"Closure of the session.",
"Annex I",
"Proposed timetable for the work of the Conference",
"Friday, 23 September 2011, 10 a.m.",
"Item 1 Opening of the session",
"Item 2",
"(a) Election of the President",
"(b) Adoption of the rules of procedure",
"(c) Adoption of the agenda",
"(d) Election of other officers other than the President",
"(e) Appointment of members of the Credentials Committee",
"(f) Confirmation of the Secretary of the Conference",
"Item 3 Statements by the Secretary-General of the United Nations",
"Item 4",
"Item 5 Address by the Executive Secretary of the Preparatory Commission for the Comprehensive Nuclear-Test-Ban Treaty Organization",
"Item 6 Adoption of the final declaration",
"Item 7 Progress report on cooperation for the entry into force of the Comprehensive Nuclear-Test-Ban Treaty",
"Item 8",
"15:00-18:00",
"Item 8",
"Item 9 Statements by non-signatory States",
"Item 10 Statements by non-governmental organizations",
"Item 11 Report of the Credentials Committee",
"Item 12 Adoption of the report of the Conference",
"Item 13 Closure of the meeting.",
"As a general guide, it is assumed that each speaker will speak for more than five minutes, with the discretion of the Chair."
] |
[
"大 会 安全理事会",
"第六十五届会议 第六十六年",
"议程项目36",
"中东局势",
"2011年7月26日黎巴嫩常驻联合国代表给秘书长和安全理事会主席的信",
"奉我国政府指示，谨随函转递2011年6月期间，以色列违反安全理事会第1701(2006)号决议行为的统计摘要。",
"请将本函分发给安全理事会成员，并将其作为中东局势议程项目下安理会的文件分发为荷。",
"常驻代表",
"大使",
"纳瓦夫·萨拉姆(签名)",
"陆上侵犯行为",
"日期 时间 侵犯行为的性质 \n2011年6月1日\t12时15分\t以色列敌方一巡逻队在黎巴嫩陆军Wazzani桥检查站对面树下设置监视摄像机。巡逻队成员对检查站进行拍照，并朝检查站的人员训练武器。\n\t14时30分17时00分\t在被占领的沙巴阿农场对面的Birkatal-Naqqar，以色列一巡逻队竖起一个带有以色列国旗图样的黑色帐篷和一个监视摄像机，并用布匹覆盖其军人纪念碑。17时35分，一辆载有15人的大客车抵达。以色列敌方人员拆除帐篷和覆盖物之后巡逻队离开。\n\t17时30分\t以色列敌方用中型武器朝被占领的沙巴阿农场的Ruwaysatal-Alam周围进行若干次扫射。\n\t17时30分\t以色列敌方巡逻队在法蒂玛门对面行进时，其成员对着黎巴嫩陆军检查站的人员训练MAG机枪，并使用亵渎的语言和粗俗的手势。2011年6月2日\t12时20分\t以色列敌方一巡逻队在法蒂玛门停下，并对着黎巴嫩领土训练武器。 \n\t12时30分\t\n\t不同时间段\t以色列敌军闯入移动电话网，并播放阿拉伯语录音电话，大意是悬赏1000万美元征集在黎巴嫩失踪以色列士兵的情报。\n2011年6月3日\t08时30分\t以色列敌方一支由三辆坦克和一辆推土机组成的巡逻队从Ruwaysatal-Alam出发，在撤离线附近的铺面公路以南被占领的区域内着手开辟一条长约600米、宽3米的土路。\n\t09时00分\t一支由两辆悍马汽车和一辆工程车组成的以色列敌方巡逻队在果园附近的阵地shin-32和阵地shin-33之间布设铁丝网。一辆客车运送约60名平民来观察工作。看到敌方有一人平躺在大门对面的炮台上，并对着黎巴嫩领土训练武器。另一支巡逻队在KafrKila镇对面的墙壁一带布设铁丝网。\n\t12时43分\t一以色列敌方巡逻队要求联合国驻黎巴嫩临时部队(联黎部队)的印度特遣队防止黎巴嫩牧羊人靠近或越过Saddanah的“蓝线”，否则以色列军队将开枪。该地区处于有争议的黎巴嫩领土上。\n\t13时30分\t一支以色列敌方巡逻队通过Hassan门越过技术围栏，进入约35米处。巡逻队停留10分钟，但没有越过撤离线。\n2011年6月5日\t08时00分\t黎巴嫩军队一车辆行驶经过Fatimah门对面的KafrKila时，以色列敌方一士兵对着车辆上的人员在使用亵渎语言。\n\t12时30分\t以色列敌方一徒步巡逻队通过Hassan门越过技术围栏，进入约50米处黎巴嫩声称有主权的地区。该行动中还有车辆和人员在被占领的沙巴阿农场行动。\n\t15时15分\t以色列敌军闯入移动电话网，并播放阿拉伯语录音电话，大意是悬赏1000万美元征集在黎巴嫩失踪以色列士兵的情报。2011年6月6日\t14时50分\t以色列敌方一巡逻队在原Shahal前哨和雷达前哨之间企图盗走牧羊人Khudr \n Zahra所有的一只山羊，但没有越过撤离线。\n2011年6月7日\t11时00分\t以色列敌方一徒步巡逻队通过Hassan门越过技术围栏，进入约150米处黎巴嫩声称有主权的地区。\n2011年6月9日\t10时16分\t以色列敌军闯入移动电话网，并播放阿拉伯语录音电话，大意是悬赏1000万美元征集在黎巴嫩失踪以色列士兵的情报。\n\t14时46分\t以色列敌军闯入移动电话网，并播放阿拉伯语录音电话，大意是悬赏1000万美元征集在黎巴嫩失踪以色列士兵的情报。\n2011年6月10日\t23时00分\t在被占领的沙巴阿农场一阵地的以色列敌军在上述地区的Ramta和Sammaqah阵地上空发射4枚照明弹。\n2011年6月13日\t15时15分\t在沙巴阿农场的Shahal地区，以色列敌方两部车辆(一部轻型和一部重型)侵犯位于坐标Q755150-N690786的撤离线，入侵约30米处6分钟，然后返回被占领的领土。\n2011年6月16日\t10时10分\t在Udaysah黎巴嫩陆军检查站对面有一以色列敌方巡逻队在检查站训练12.7毫米机枪10分钟。\n\t13时30分\t以色列敌方两支分别由10名成员组成的巡逻队侵犯被占领的沙巴阿农场对面Saddanah的撤离线，入侵约250米处，抵达位于坐标Q148185-N154847处。他们试图围住沙巴镇一牧羊人，叫他走近他们，但牧羊人不从。18时00分，两支巡逻队离开前往被占领土。\n2011年6月18日\t23时10分\t以色列敌方一巡逻队朝Dahirah的黎巴嫩陆军阵地的哨兵照射探照灯5秒。\n2011年6月22日\t13时15分\t以色列敌军闯入移动电话网，并播放阿拉伯语录音电话，大意是悬赏1000万美元征集在黎巴嫩失踪以色列士兵的情报。\n\t21时00分\tKafrKila镇对面的以色列敌方人员对着在Fatimah门的黎巴嫩军观察员使用亵渎语言。还听到“你叫什么名字？”一语。\n\t21时30分\tKafrKila镇对面的以色列敌方人员对着在Fatimah门的黎巴嫩军观察员照射探照灯。\n2011年6月23日\t15时30分\t两名以色列敌军人员侵犯位于KafrShuba以南坐标Q751500-N688250的蓝线，入侵约150米处两分钟。\n2011年6月25日\t19时00分\t5头奶牛跨越比尔卡特巴塔伊尔附近的撤离线，并于19时10分离开。\n2011年6月28日\t11时55分\t以色列敌方从其在Jabal alSummaqah的阵地用梅卡瓦坦克炮对着黎巴嫩领土。\n2011年6月29日\t13时55分\t以色列敌军闯入移动电话网，并播放阿拉伯语录音电话，大意是悬赏1000万美元征集在黎巴嫩失踪以色列士兵的情报。",
"海上侵犯行为",
"日期 时间 侵犯行为的性质 \n2011年6月1日\t21时30分\t以色列敌军朝黎巴嫩领水照射探照灯1.5分钟。 \n\t21时56分\t\n\t23时18分\t以色列敌军朝黎巴嫩领水照射探照灯20秒。\n2011年6月2日\t23时40分\t以色列敌军朝黎巴嫩领水照射探照灯20秒。\n2011年6月3日\t22时34分\t以色列敌军朝Ra'sal-Naqurah的黎巴嫩陆军哨所照射探照灯15秒。\n2011年6月5日\t22时25分23时55分\t以色列敌方有四次从其在Rasal-Naqurah的阵地用探照灯对着黎巴嫩领海照射，第一次15秒，第二次30秒，第三和第四次一分钟。\n2011年6月6日\t02时15分\t以色列敌军朝黎巴嫩领水照射探照灯15秒。\n\t23时20分\t以色列敌军朝黎巴嫩领水照射探照灯15秒。\n2011年6月10日\t00时30分\t以色列敌军朝黎巴嫩领水照射探照灯30秒。\n2011年6月15日\t05时05分\t以色列敌军朝黎巴嫩领水照射探照灯15秒。\n2011年6月17日\t21时15分\t以色列敌军朝黎巴嫩领水照射探照灯15秒。\n\t22时10分\t以色列敌军朝黎巴嫩领水照射探照灯20秒。\n\t22时55分\t以色列敌军朝黎巴嫩领水照射探照灯40秒。\n\t23时00分\t以色列敌军朝黎巴嫩领水照射探照灯40秒。\n2011年6月18日\t21时25分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯25秒。\n2011年6月19日\t21时30分23时42分\t以色列敌军有三次从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯2分15秒。\n2011年6月20日\t02时30分03时05分\t以色列敌军有三次从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯3分钟。\n2011年6月21日\t21时20分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯5分钟。\n\t22时25分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯30秒。\n2011年6月22日\t02时30分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯30秒。\n\t03时15分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯20秒。\n\t03时50分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯40秒。\n\t21时45分\t以色列敌军从阵地其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯30秒。\n\t22时05分22时45分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分10秒。\n2011年6月23日\t21时40分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯15秒。\n\t23时47分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯30秒。\n2011年6月24日\t21时50分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯30秒。\n2011年6月27日\t01时05分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分钟。\n\t01时38分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分钟。\n\t02时05分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分钟。\n\t02时50分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯2分钟。\n\t03时08分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分钟。\n\t03时40分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯30秒。\n2011年6月29日\t01时20分04时50分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分20秒。\n2011年6月30日\t23时50分\t以色列敌军从其在Ra'sal-Naqurah的阵地朝黎巴嫩领水照射探照灯1分钟。",
"领空侵犯行为",
"日期 时间 侵犯行为的性质 \n2011年6月1日\t06时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于19时30分在Naqurah上空离去。\n\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于20时50分在Naqurah上空离去。\n\t15时20分\t一架以色列敌方战斗机侵犯黎巴嫩领空，在南部上空盘旋，然后于16时45分飞离。\n\t21时45分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Naqurah沿海上空。飞机在Damur和Naqurah之间的海域上空盘旋，然后于6月2日05时55分从Naqurah沿海上空离去。\n\t22时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部和贝卡西部上空盘旋，然后于6月2日10时00分在Yarun上空离去。\n2011年6月2日\t07时10分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha’b上空。飞机在南部、Riyaq和Baalbek上空盘旋，然后于18时20分从KafrKila上空飞离。\n\t12时05分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在Riyaq、Baalbek和Hirmil上空盘旋，然后于16时40分从KafrKila上空离去。\n\t22时15分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Tyre以西海面上空。飞机在Tyre和Beirut之间的海面上空盘旋，然后于6月3日00时10分从Naqurah沿海上空离去。\n2011年6月3日\t08时20分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于08时30分飞离。\n\t10时30分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于11时30分飞离。\n\t13时44分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于16时45分飞离。\n\t18时00分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于19时15分飞离。\n2011年6月4日\t07时05分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha’b上空。飞机在南部上空盘旋，然后于18时10分从Rumaysh上空飞离。\n\t07时20分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部上空盘旋，然后于18时10分从Rumaysh上空离去。\n2011年6月5日\t07时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部上空盘旋，然后于16时45分从KafrKila上空飞离。\n\t07时45分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在贝鲁特、Damur、贝卡和南部上空盘旋，然后于16时45分在KafrKila上空离去。\n\t10时30分\t以色列敌方战斗机侵犯黎巴嫩领空，在南部上空盘旋，然后于11时20分飞离。\n\t13时55分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于18时42分飞离。\n\t18时26分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于21时01分飞离。\n2011年6月6日\t01时04分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于03时01分飞离。\n\t07时10分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域、Riyaq和Baalbek上空盘旋，然后于19时30分从Almaal-Sha'b上空飞离。\n\t09时45分\t十架以色列战机侵犯黎巴嫩领空，进入Almaal-Sha'b和Naqurah上空，飞机在黎巴嫩各区域上空盘旋。其中六架战机于10时30分飞离Naqurah沿海上空；四架于11时50分飞离Almaal-Sha'b上空。\n\t10时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入沙巴阿农场上空。飞机在贝卡西部上空盘旋，然后于13时15分从沙巴阿农场上空离去。\n\t17时56分\t以色列敌方十架战机侵犯黎巴嫩领空，进入Yarun上空。飞机在Juniyah和南部上空盘旋，然后于19时55分在Rumaysh上空离去。\n\t18时51分\t两架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于21时53分飞离。\n2011年6月7日\t06时36分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于14时11分飞离。\n\t09时05分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域上空盘旋，然后于14时55分从Almaal-Sha'b上空飞离。\n2011年6月8日\t05时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于14时35分飞离。\n\t06时55分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在南部各区域和贝卡西部上空盘旋，然后于18时20分在Almaal-Sha'b上空离去。\n2011年6月9日\t07时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在Riyaq、Baalbek和南部上空盘旋，然后于13时05分在Rumaysh上空离去。\n\t07时25分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在贝卡西部和南部上空盘旋，然后于23时20分在Naqurah上空离去。\n\t21时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月10日00时02分飞离。\n2011年6月10日\t01时55分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于02时04分飞离。\n\t06时03分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于14时13分飞离。\n\t07时50分\t以色列敌方侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于15时10分在Rumaysh上空离去。\n\t09时05分\t两架以色列敌方战机侵犯黎巴嫩领空，进入Naqurah沿海上空。飞机在黎巴嫩各区域上空盘旋，然后于10时55分在Naqurah沿海上空离去。\n\t09时10分\t以色列敌方两架战机侵犯黎巴嫩领空，进入KafrKila上空。飞机在黎巴嫩各区域上空盘旋，然后于10时55分在Naqurah沿海上空离去。\n\t10时55分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在南部各区域上空盘旋，然后于14时20分在Almaal-Sha'b上空离去。\n\t13时50分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于21时32分飞离。\n\t16时11分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于16时20分飞离。\n\t19时40分\t一架以色列敌方战斗机侵犯黎巴嫩领空，在南部上空盘旋，然后于19时45分飞离。\n\t21时02分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月11日00时02分飞离。\n2011年6月11日\t06时18分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于06时55分飞离。\n\t06时54分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于08时32分飞离。\n\t10时10分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于10时17分飞离。\n\t10时26分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于17时50分飞离。\n\t21时47分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于22时00分飞离。\n2011年6月12日\t01时37分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于01时54分飞离。\n\t02时19分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于02时33分飞离。\n\t02时36分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于02时53分飞离。\n\t03时45分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于03时59分飞离。\n\t07时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于17时30分在Rumaysh上空离去。\n\t16时07分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于18时18分飞离。\n\t21时29分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于22时16分飞离。\n\t22时50分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于23时00分飞离。\n2011年6月13日\t09时33分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于09时54分飞离。\n\t10时23分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于10时39分飞离。\n\t17时54分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于18时01分飞离。\n\t23时45分\t一架以色列敌机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月14日00时06分飞离。\n2011年6月14日\t04时49分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于06时39分飞离。\n\t09时20分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于09时35分飞离。\n\t15时15分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部上空盘旋，然后于16时25分从Almaal-Sha'b上空飞离。\n\t20时10分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于20时15分飞离。\n\t20时35分\t一架以色列敌方战斗机侵犯黎巴嫩领空，在南部上空盘旋，然后于20时38分飞离。\n2011年6月15日\t04时49分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于06时39分飞离。\n\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于13时35分在Naqurah上空离去。\n\t11时45分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Yarun上空。飞机在南部上空盘旋，然后于18时25分在Naqurah上空离去。\n\t19时50分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域和贝卡上空盘旋，然后于6月16日15时00分从Rumaysh上空飞离。\n2011年6月16日\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域和贝卡上空盘旋，然后于2011年6月17日06时00分在Rumaysh上空离去。\n\t10时05分\t以色列敌方四架战机侵犯黎巴嫩领空，进入Naqurah上空。飞机在黎巴嫩所有区域的上空盘旋，然后于10时50分在Almaal-Sha'b上空离去。\n2011年6月17日\t06时20分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部和贝卡西部上空盘旋，然后于18时20分在Almaal-Sha'b上空离去。\n\t09时00分\t四架以色列战机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在黎巴嫩各区域上空盘旋，然后于11时15分从Almaal-Sha'b上空飞离。\n\t12时30分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于20时40分飞离。\n\t14时52分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月18日02时30分飞离。\n2011年6月18日\t05时50分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于20时25分在Aytarun上空离去。\n\t08时30分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于19时10分在KafrKila上空离去。\n\t18时01分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月19日04时20分飞离。\n2011年6月19日\t07时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部上空盘旋，然后于6月20日11时45分从Almaal-Sha'b上空飞离。\n\t07时15分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部上空盘旋，然后于19时40分在 Almaal-Sha'b上空离去。\n\t07时15分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在北部和南部各区域上空盘旋，然后于6月20日12时10分在Naqurah上空离去。\n\t07时55分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在Hirmil、Al-Arz和南部各区域上空盘旋，然后于22时05分在Rumaysh上空离去。\n\t10时50分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部上空盘旋，然后于15时35分在Naqurah上空离去。\n2011年6月20日\t06时20分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在南部各区域、Hirmil和Al-Arz上空盘旋，然后于19时00分在Almaal-Sha'b上空离去。\n\t12时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在南部各区域上空盘旋，然后于6月20日01时30分在Almaal-Sha'b上空离去。\n\t12时30分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域、贝鲁特、Damur、Baalbek和Hirmil上空盘旋，然后于6月21日11时10分从Rumaysh上空飞离。\n\t14时20分\t以色列敌方四架战机侵犯黎巴嫩领空，进入KafrKila上空。飞机在黎巴嫩所有区域的上空盘旋，然后于15时45分在Almaal-Sha'b上空离去。\n\t20时00分\t以色列敌方战斗机侵犯黎巴嫩领空，在南部上空盘旋，然后于20时15分飞离。\n2011年6月21日\t06时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域和贝卡西部上空盘旋，然后于22时15分在KafrKila上空离去。\n\t06时25分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于15时40分在Naqurah上空离去。\n\t10时30分\t以色列敌方八架战机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在黎巴嫩所有区域的上空盘旋，然后于12时00分在Almaal-Sha'b上空离去。\n\t14时20分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部上空盘旋，然后于18时35分从Almaal-Sha'b上空飞离。\n\t16时55分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在黎巴嫩所有区域的上空盘旋，然后于6月22日12时20分在Naqurah上空离去。\n2011年6月22日\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于22时00分在Almaal-Sha'b上空离去。\n\t12时20分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域上空盘旋，然后于6月23日07时00分从Almaal-Sha'b上空飞离。\n\t14时38分\t以色列敌方四架战机侵犯黎巴嫩领空，进入领海上空。飞机在黎巴嫩所有区域的上空盘旋，然后于16时30分在Almaal-Sha'b上空离去。\n\t16时20分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。5月23日00时15分，飞机南部各区域和贝鲁特及其郊区上空盘旋，然后于6月23日10时15分从Almaal-Sha'b上空飞离。\n\t16时25分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于于6月23日00时30分从Yarun上空离去。\n2011年6月23日\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于22时00分在Almaal-Sha'b上空离去。\n\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部各区域上空盘旋，然后于6月24日03时00分在Almaal-Sha'b上空离去。\t07时40分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Alma \n al-Sha'b上空。飞机在南部各区域和贝卡上空盘旋，然后于21时20分从Rumaysh上空飞离。\n\t09时37分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域和贝卡上空盘旋，然后于6月24日06时10分在Almaal-Sha'b上空离去。\n\t10时45分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域、Iqlimal-Kharrub和舒夫地区上空盘旋，然后于14时00分从Naqurah沿海上空飞离。\n\t15时05分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域上空盘旋，然后于22时25分从Yarun上空飞离。\n2011年6月24日\t06时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部各区域上空盘旋，然后于22时30分在Almaal-Sha'b上空离去。\n\t06时20分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于6月25日05时00分在Rumaysh上空离去。\n2011年6月25日\t07时15分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部、贝卡西部、Riyaq和Baalbek上空盘旋，然后于22时40分在Naqurah上空离去。\n\t10时10分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部和贝卡西部上空盘旋，然后于20时00分在Naqurah上空离去。\n2011年6月26日\t07时55分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于6月27日03时00分在Naqurah上空离去。\n\t08时05分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域上空盘旋，然后于11时15分从Almaal-Sha'b上空飞离。\n\t10时15分\t以色列敌方两架战机侵犯黎巴嫩领空，进入Aytarun上空。飞机在黎巴嫩所有区域的上空盘旋，然后于11时15分在Naqurah上空离去。\n\t10时15分\t以色列敌方两架战机侵犯黎巴嫩领空，进入Aytarun上空。飞机在黎巴嫩所有区域上空盘旋，然后于11时25分在KafrKila上空离去。\n\t10时15分\t以色列敌方两架战机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在黎巴嫩各区域上空盘旋，然后于11时55分在Naqurah沿海上空离去。\n\t13时25分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域上空盘旋，然后于18时05分在Almaal-Sha'b上空离去。\n\t16时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Sidon以西沿海上空。飞机在Sidon和贝鲁特之间的海域上空盘旋，然后于18时05分在Naqurah沿海上空离去。\n2011年6月27日\t04时58分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于18时00分飞离。\n\t07时20分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha`b上空。飞机在南部各区域上空盘旋，然后于16时15分从Naqurah上空飞离。\n\t07时20分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入KafrKila上空。飞机在南部各区域上空盘旋，然后于18时20分在Naqurah以西沿海上空离去。\n\t07时50分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部上空盘旋，然后于18时30分从Rumaysh上空飞离。\n\t10时08分\t六架以色列敌方战机侵犯黎巴嫩领空，进入Naqurah沿海上空。飞机在Shikka和Naqurah之间的海域上空盘旋，然后于10时50分在Naqurah沿海上空离去。\n\t10时10分\t以色列敌方两架战机侵犯黎巴嫩领空，进入Naqurah上空。飞机在黎巴嫩所有区域的上空盘旋，然后于10时50分在Almaal-Sha'b上空离去。\n\t10时12分\t四架以色列战机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在黎巴嫩各区域上空盘旋，然后于10时50分从Almaal-Sha'b上空飞离。\n\t10时15分\t以色列敌方四架战机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在黎巴嫩各区域上空盘旋，然后于11时10分在Naqurah沿海上空离去。\n\t21时30分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域和贝卡上空盘旋，然后于6月28日00时40分在KafrKila上空离去。\n\t21时30分23时00分\t直升机、战斗机和侦察机在黎巴嫩与被占领的巴勒斯坦间的边界一带盘旋，在Ramiyah、Aytaal-Sha'b、Rumaysh、Marunal-Ra's、Aytarun、Blida和Maysal-Jabal各镇上空投下伪装信号弹。\n2011年6月28日\t06时10分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在南部各区域上空盘旋，然后于18时25分从Rumaysh上空飞离。\n\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部各区域上空盘旋，然后于18时40分在Almaal-Sha'b上空离去。\n\t07时20分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在贝鲁特和南部上空盘旋，然后于6月29日00时25分在Rumaysh上空离去。\n\t20时15分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月29日06时10分飞离。\n2011年6月29日\t06时25分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Almaal-Sha'b上空。飞机在贝卡西部和南部上空盘旋，然后于14时25分从Naqurah上空飞离。\n\t07时15分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部上空盘旋，然后于18时25分在Naqurah上空离去。\n\t07时30分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部上空盘旋，然后于18时25分在Naqurah上空离去。\n\t11时40分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于20时20分飞离。\n\t12时05分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于6月30日04时00分飞离。\n\t13时25分\t四架以色列敌方战机侵犯黎巴嫩领空，进入Naqurah沿海上空。飞机在Naqurah与的黎波里之间的沿海上空盘旋，然后于14时40分在Naqurah沿海上空离去。\n\t13时25分\t以色列敌方两架战机侵犯黎巴嫩领空，进入KafrKila上空。飞机在南部和贝卡西部之间的上空盘旋，然后于14时40分在Naqurah沿海上空离去。\n\t19时00分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于21时10分飞离。\n\t19时41分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于22时58分飞离。\n2011年6月30日\t04时48分\t一架以色列敌侦察机侵犯黎巴嫩领空，在南部上空盘旋，然后于05时02分飞离。\n\t06时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部和贝鲁特上空盘旋，然后于15时15分在Naqurah上空离去。\n\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Rumaysh上空。飞机在南部各区域上空盘旋，然后于18时15分在Almaal-Sha'b上空离去。\n\t07时00分\t以色列敌方一侦察机侵犯黎巴嫩领空，进入Naqurah上空。飞机在南部各区域和贝卡上空盘旋，然后于7月1日03时05分在Rumaysh上空离去。\n\t20时33分\t有人看到以色列敌方一观察气球低空徘徊在Rasal-Marj(Arsal)上空。然后气球升高飘向Arsal高地。\n\t21时10分\t一架以色列敌侦察机侵犯黎巴嫩领空，进入Sidon沿海上空。飞机在贝鲁特与Sidon之间的沿海上空盘旋，然后于7月1日00时10分在Naqurah沿海上空离去。"
] | [
"General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda item 36 \n The situation in the Middle East",
"Identical letters dated 26 July 2011 from the Permanent Representative of Lebanon to the United Nations addressed to the Secretary-General and the President of the Security Council",
"On instructions from my Government, I transmit to you herewith a statistical summary of the violations of Security Council resolution 1701 (2006) committed by Israel during the month of June 2011 (see annex).",
"I should be grateful if you would have the present letter issued as an official document of the sixty-fifth session of the General Assembly, under agenda item 36, and of the Security Council.",
"(Signed) Nawaf Salam Ambassador Permanent Representative",
"Annex to the identical letters dated 26 July 2011 from the Permanent Representative of Lebanon to the United Nations addressed to the Secretary-General and the President of the Security Council",
"Land violations",
"Date\tTime\tNature of violation \n1 June2011\t1215\tAn Israeli enemy patrol deployed under the treesopposite the Lebanese Army checkpoint at theWazzani Bridge. The members of the patrol tookphotographs of the checkpoint and trained theirweapons towards its personnel.\n\t14301700\tIn Birkat al-Naqqar, opposite the occupiedShab‘a Farms, an Israeli patrol erected a blacktent featuring Israeli flags and a surveillancecamera, and placed a cloth cover over thememorial to their troops. At 1735 hours, a coachcontaining 15 people arrived. It departed afterthe Israeli enemy personnel dismantled the tentand removed the cover.\n\t1730\tThe Israeli enemy directed several bursts ofmedium-weapons fire around Ruwaysat al-Alam inthe occupied Shab‘a Farms.\n\t1730\tWhile an Israeli enemy patrol was travellingopposite the Fatimah Gate, its members trainedMAG machine guns and directed profanities andvulgar gestures towards personnel at theLebanese Army checkpoint.2 June2011\t1220\tAn Israeli enemy patrol halted at the FatimahGate and trained their weapons towards Lebaneseterritory. \n 1230 \n\tVarious\tIsraeli enemy forces broke into the cellulartelephone network and sent recorded messages inArabic to the effect that anyone withinformation about the Israeli soldiers missingin Lebanon was guaranteed a reward of $10million.\n3 June2011\t0830\tAn Israeli enemy patrol consisting of threetanks and a bulldozer departed from Ruwaysatal-Alam and proceeded to open a dirt road about600 metres long and 3 metres wide within theoccupied area, south of the paved road adjacentto the withdrawal line.\n\t0900\tOpposite the Fatimah Gate, an Israeli enemypatrol consisting of two Hummer vehicles and aconstruction vehicle laid barbed wire betweenposition shin-32 and position shin-33 adjacentto the orchard. A passenger bus brought some 60civilians, who observed the work. One enemyindividual was seen lying flat on theemplacement opposite the gate and training hisweapon towards Lebanese territory. Anotherpatrol laid barbed wire along the wall oppositethe town of Kafr Kila.\n\t1243\tAn Israeli enemy patrol requested that theIndian contingent of the United Nations InterimForce in Lebanon (UNIFIL) should preventLebanese shepherds from approaching or crossingthe Blue Line at Saddanah, failing which theIsraeli forces would open fire. That area is indisputed Lebanese territory.\n\t1330\tAn Israeli foot patrol crossed the technicalfence through the Hassan Gate, penetrating some35 metres. It stayed in place for 10 minuteswithout crossing the withdrawal line.\n5 June2011\t0800\tWhile a Lebanese Army vehicle was travellingthrough Kafr Kila, opposite the Fatimah Gate, anIsraeli enemy soldier directed profanities atthe personnel in the vehicle.\n\t1230\tAn Israeli foot patrol crossed the technicalfence through the Hassan Gate, penetrating some50 metres into the area with regard to whichLebanon maintains a claim. That operation wasaccompanied by movements of vehicles andpersonnel in the occupied Shab‘a Farms.\n\t1515\tIsraeli enemy forces broke into the cellulartelephone network and sent recorded messages inArabic to the effect that anyone withinformation about the Israeli soldiers missingin Lebanon was guaranteed a reward of $10million.\n6 June2011\t1450\tAn Israeli enemy patrol between the formerShahal outpost and the Radar outpost attemptedto purloin a goat belonging to the shepherdKhudr Zahra without crossing the withdrawalline.\n7 June2011\t1100\tAn Israeli foot patrol crossed the technicalfence through the Hassan Gate, penetrating some150 metres into the area with regard to whichLebanon maintains a claim.\n9 June2011\t1016\tIsraeli enemy forces broke into the cellulartelephone network and sent recorded messages inArabic to the effect that anyone withinformation about the Israeli soldiers missingin Lebanon was guaranteed a reward of $10million.\n\t1446\tIsraeli enemy forces broke into the cellulartelephone network and sent recorded messages inArabic to the effect that anyone withinformation about the Israeli soldiers missingin Lebanon was guaranteed a reward of $10million.\n10 June2011\t2300\tIsraeli enemy forces at a position in theoccupied Shab‘a Farms fired four flare shellsover the Ramta and Sammaqah positions in theaforementioned area.\n13 June2011\t1515\tIn the Shahal area of the Shab‘a Farms, twoIsraeli enemy vehicles, one light and one heavy,violated the withdrawal line at coordinatesQ755150-N690786, encroaching some 30 metres overa period of six minutes before returning towardsthe occupied territory.\n16 June2011\t1010\tAn Israeli enemy patrol opposite the LebaneseArmy checkpoint at Udaysah trained 12.7-mmmachine guns on the checkpoint for10 minutes.\n\t1330\tTwo Israeli enemy patrols, consisting of 10members each, violated the withdrawal line atSaddanah opposite the occupied Shab‘a Farms,encroaching some 250 metres and reachingcoordinates Q148185-N154847. They attempted tosurround a shepherd from the town of Shab‘a,calling him to approach them, but the shepherddid not comply. At 1800 hours, the two patrolsdeparted towards the occupied territories.\n18 June2011\t2310\tAn Israeli enemy patrol directed a searchlighttowards a sentry at the Lebanese Army positionat Dahirah for five seconds.\n22 June2011\t1315\tIsraeli enemy forces broke into the cellulartelephone network and sent recorded messages inArabic to the effect that anyone withinformation about the Israeli soldiers missingin Lebanon was guaranteed a reward of $10million.\n\t2100\tIsraeli enemy personnel opposite the town ofKafr Kila directed profanities at Lebanese Armyobservers at the Fatimah Gate. The phrase“What’s your name?” was also heard.\n\t2130\tIsraeli enemy personnel opposite Kafr Kiladirected a searchlight towards Lebanese Armyobservers at the Fatimah Gate.\n23 June2011\t1530\tTwo Israeli enemy personnel violated the BlueLine at coordinates Q751500-N688250 south ofKafr Shuba, encroaching some 150 metres over aperiod of two minutes.\n25 June2011\t1900\tFive cows crossed the withdrawal line nearBirkat Ba‘tha’il, then departed at 1910 hours.\n28 June2011\t1155\tThe Israeli enemy directed a Merkava tank gunfrom its position in Jabal al-Summaqah towardsLebanese territory.\n29 June2011\t1355\tIsraeli enemy forces broke into the cellulartelephone network and sent recorded messages inArabic to the effect that anyone withinformation about the Israeli soldiers missingin Lebanon was guaranteed a reward of $10million.",
"Sea violations",
"Date\tTime\tNature of violation \n1 June2011\t2130\tAn Israeli enemy military launch directed asearchlight for one and a half minutes towardsLebanese territorial waters. \n 2156 \n\t2318\tAn Israeli enemy military launch directed asearchlight for 20 seconds towards Lebaneseterritorial waters.\n2 June2011\t2340\tAn Israeli enemy military launch directed asearchlight for 20 seconds towards Lebaneseterritorial waters.\n3 June2011\t2234\tAn Israeli enemy military launch directed asearchlight for 15 seconds towards the LebaneseArmy post at Ra’s al-Naqurah.\n5 June2011\t22252355\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight towardsLebanese territorial waters on four occasions,for 15 seconds on the first occasion, 30 secondson the second occasion and one minute on thethird and fourth occasions.\n6 June2011\t0215\tAn Israeli enemy military launch directed asearchlight for 15 seconds towards Lebaneseterritorial waters.\n\t2320\tAn Israeli enemy military launch directed asearchlight for 15 seconds towards Lebaneseterritorial waters.\n10 June2011\t0030\tAn Israeli enemy military launch directed asearchlight for 30 seconds towards Lebaneseterritorial waters.\n15 June2011\t0505\tAn Israeli enemy military launch directed asearchlight for 15 seconds towards Lebaneseterritorial waters.\n17 June2011\t2115\tAn Israeli enemy military launch directed asearchlight for 15 seconds towards Lebaneseterritorial waters.\n\t2210\tAn Israeli enemy military launch directed asearchlight for 20 seconds towards Lebaneseterritorial waters.\n\t2255\tAn Israeli enemy military launch directed asearchlight for 40 seconds towards Lebaneseterritorial waters.\n\t2300\tAn Israeli enemy military launch directed asearchlight for 40 seconds towards Lebaneseterritorial waters.\n18 June2011\t2125\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n19 June2011\t21302342\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight towardsLebanese territorial waters on three occasionsfor two minutes and 15 seconds.\n20 June2011\t02300305\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight towardsLebanese territorial waters on three occasionsfor three minutes.\n21 June2011\t2120\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for fiveminutes towards Lebanese territorial waters.\n\t2225\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n22 June2011\t0230\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n\t0315\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 20seconds towards Lebanese territorial waters.\n\t0350\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 40seconds towards Lebanese territorial waters.\n\t2145\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n\t22052245\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 1minute and 10 seconds towards Lebaneseterritorial waters.\n23 June2011\t2140\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 15seconds towards Lebanese territorial waters.\n\t2347\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n24 June2011\t2150\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n27 June2011\t0105\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for oneminute towards Lebanese territorial waters.\n\t0138\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for oneminute towards Lebanese territorial waters.\n\t0205\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for oneminute towards Lebanese territorial waters.\n\t0250\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for twominutes towards Lebanese territorial waters.\n\t0308\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for oneminute towards Lebanese territorial waters.\n\t0340\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for 30seconds towards Lebanese territorial waters.\n29 June2011\t01200450\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for oneminute and 20 seconds towards Lebaneseterritorial waters.\n30 June2011\t2350\tFrom its position at Ra’s al-Naqurah, theIsraeli enemy directed a searchlight for oneminute towards Lebanese territorial waters.",
"Air violations",
"Date\tTime\tNature of violation\n1 June2011\t0610\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 1930 hours over Naqurah.\n\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 2050 hours over Naqurah.\n\t1520\tIsraeli enemy warplanes violated Lebaneseairspace, circling over the South before leavingat 1645 hours.\n\t2145\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over thesea off Naqurah. It circled over the sea betweenDamur and Naqurah before leaving on 2 June at0555 hours over the sea off Naqurah.\n\t2200\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the South and the Bekaabefore leaving on 2 June at 1000 hours overYarun.\n2 June2011\t0710\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the South, Riyaq andBaalbek before leaving at 1820 hours over KafrKila.\n\t1205\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over Riyaq, Baalbek and Hirmilbefore leaving at 1640 hours over Kafr Kila.\n\t2215\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over thesea to the west of Tyre. It circled over the seabetween Tyre and Beirut before leaving on 3 Juneat 0010 hours over the sea off Naqurah.\n3 June2011\t0820\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0830 hours.\n\t1030\tTwo Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1130 hours.\n\t1344\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1645 hours.\n\t1800\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 1915 hours.\n4 June2011\t0705\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the South beforeleaving at 1810 hours over Rumaysh.\n\t0720\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the South beforeleaving at 1810 hours over Rumaysh.\n5 June2011\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the South beforeleaving at 1645 hours over Kafr Kila.\n\t0745\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over Beirut, Damur, theBekaa and the South before leaving at 1645 hoursover Kafr Kila.\n\t1030\tIsraeli enemy warplanes violated Lebaneseairspace, circling over the South before leavingat 1120 hours.\n\t1355\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1842 hours.\n\t1826\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2101 hours.\n6 June2011\t0104\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 0301 hours.\n\t0710\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regions,Riyaq and Baalbek before leaving at 1930 hoursover Alma al-Sha‘b.\n\t0945\tTen Israeli enemy warplanes violated Lebaneseairspace, entering over Alma al-Sha‘b andNaqurah and circling over all regions ofLebanon. Six of the warplanes left at 1030 hoursover the sea off Naqurah; four left at 1150hours over Alma al-Sha‘b.\n\t1000\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over theShab‘a Farms. It circled over the western Bekaabefore departing at 1315 hours over the Shab‘aFarms.\n\t1756\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Yarun. They circled overJuniyah and the South before leaving at 1955hours over Rumaysh.\n\t1851\tTwo Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 2153 hours.\n7 June2011\t0636\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1411 hours.\n\t0905\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving at 1455 hours over Alma al-Sha‘b.\n8 June2011\t0500\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1435 hours.\n\t0655\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the southern regions andthe western Bekaa before leaving at 1820 hoursover Alma al-Sha‘b.\n9 June2011\t0710\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over Riyaq, Baalbek and theSouth before leaving at 1305 hours over Rumaysh.\n\t0725\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the western Bekaa and theSouth before leaving at 2320 hours over Naqurah.\n\t2100\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving on 10 June at 0002 hours.\n10 June2011\t0155\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0204 hours.\n\t0603\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1413 hours.\n\t0750\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 1510 hours over Rumaysh.\n\t0905\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over the sea off Naqurah.They circled over all regions of Lebanon beforeleaving at 1055 hours over the sea off Naqurah.\n\t0910\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Kafr Kila. They circledover all regions of Lebanon before leaving at1055 hours over the sea off Naqurah.\n\t1055\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the South before leavingat 1420 hours over Alma al-Sha‘b.\n\t1350\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 2132 hours.\n\t1611\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 1620 hours.\n\t1940\tIsraeli enemy warplanes violated Lebaneseairspace, circling over the South before leavingat 1945 hours.\n\t2102\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving on 11 June at 0002 hours.\n11 June2011\t0618\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0655 hours.\n\t0654\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0832 hours.\n\t1010\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1017 hours.\n\t1026\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1750 hours.\n\t2147\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2200 hours.\n12 June2011\t0137\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 0154 hours.\n\t0219\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 0233 hours.\n\t0236\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 0253 hours.\n\t0345\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingat 0359 hours.\n\t0710\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving at 1730 hours over Rumaysh.\n\t1607\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1818 hours.\n\t2129\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2216 hours.\n\t2250\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2300 hours.\n13 June2011\t0933\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0954 hours.\n\t1023\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1039 hours.\n\t1754\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1801 hours.\n\t2345\tAn Israeli enemy aircraft violated Lebaneseairspace, circling over the South before leavingon 14 June at 0006 hours.\n14 June2011\t0449\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0639 hours.\n\t0920\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0935 hours.\n\t1515\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the South beforeleaving at 1625 hours over Alma al-Sha‘b.\n\t2010\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2015 hours.\n\t2035\tAn Israeli enemy warplane violated Lebaneseairspace, circling over the South before leavingat 2038 hours.\n15 June2011\t0449\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0639 hours.\n\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving at 1335 over Naqurah.\n\t1145\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Yarun.It circled over the southern regions beforeleaving at 1825 hours over Naqurah.\n\t1950\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsand the Bekaa before leaving on 16 June at 1500hours over Rumaysh.\n16 June2011\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsand the Bekaa before leaving on 17 June 2011 at0600 hours over Rumaysh.\n\t1005\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over Naqurah. They circledover all regions of Lebanon before leaving at1050 hours over Alma al-Sha‘b.\n17 June2011\t0620\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South and thewestern Bekaa before leaving at 1820 hours overAlma al-Sha‘b.\n\t0900\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over Alma al-Sha‘b. Theycircled over all regions of Lebanon beforeleaving at 1115 hours over Alma al-Sha‘b.\n\t1230\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2040 hours.\n\t1452\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving on 18 June at 0230 hours.\n18 June2011\t0550\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 2025 hours over Aytarun.\n\t0830\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 1910 hours over Kafr Kila.\n\t1801\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving on 19 June at 0420 hours.\n19 June2011\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving on 20 June at 1145 hours overAlma al-Sha‘b.\n\t0715\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the South beforeleaving at 1940 hours over Alma al-Sha‘b.\n\t0715\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the northern and southernregions before leaving on 20 June at 1210 hoursover Naqurah.\n\t0755\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over Hirmil, Al-Arz and theSouth before leaving at 2205 hours over Rumaysh.\n\t1050\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the South beforeleaving at 1535 hours over Naqurah.\n20 June2011\t0620\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the southern regions,Hirmil and Al-Arz before leaving at 1900 hoursover Alma al-Sha‘b.\n\t1210\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the southern regionsbefore leaving on 21 June at 0130 hours overAlma al-Sha‘b.\n\t1230\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regions,Beirut, Damur, Baalbek and Hirmil before leavingon 21 June at 1110 hours over Rumaysh.\n\t1420\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over Kafr Kila. They circledover all regions of Lebanon before leaving at1545 hours over Alma al-Sha‘b.\n\t2000\tIsraeli enemy warplanes violated Lebaneseairspace, circling over the South before leavingat 2015 hours.\n21 June2011\t0610\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsand the western Bekaa before leaving at 2215hours over Kafr Kila.\n\t0625\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 1540 hours over Naqurah.\n\t1030\tEight Israeli enemy warplanes violated Lebaneseairspace, entering over Rumaysh. They circledover all regions of Lebanon before leaving at1200 hours over Alma al-Sha‘b.\n\t1420\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the South beforeleaving at 1835 hours over Alma al-Sha‘b.\n\t1655\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over all regions of Lebanonbefore leaving on 22 June at 1220 hours overNaqurah.\n22 June2011\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving at 2200 hours over Alma al-Sha‘b.\n\t1220\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving on 23 June at 0700 hours overAlma al-Sha‘b.\n\t1438\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over the sea. They circledover all regions of Lebanon before leaving at1630 hours over Alma al-Sha‘b.\n\t1620\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsand Beirut and its suburbs before leaving on 23June at 1015 over Alma al‑Sha‘b.\n\t1625\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving on 23 June at 0030 hours overYarun.\n23 June2011\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving at 2200 hours over Alma al-Sha‘b.\n\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the southern regionsbefore leaving on 24 June at 0300 hours overAlma al-Sha‘b.\n\t0740\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsand the Bekaa before leaving at 2120 hours overRumaysh.\n\t0937\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsand the Bekaa before leaving on 24 June at 0610hours over Alma al-Sha‘b.\n\t1045\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regions,Iqlim al-Kharub and the Shuf before leaving at1400 hours over the sea off Naqurah.\n\t1505\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving at 2225 hours over Yarun.\n24 June2011\t0610\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the southern regionsbefore leaving at 2230 hours over Alma al-Sha‘b.\n\t0620\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving on 25 June at 0500 hours overRumaysh.\n25 June2011\t0715\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regions,the western Bekaa, Riyaq and Baalbek beforeleaving at 2240 hours over Naqurah.\n\t1010\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the South and thewestern Bekaa before leaving at 2000 hours overNaqurah.\n26 June2011\t0755\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving on 27 June at 0300 hours overNaqurah.\n\t0805\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving at 1115 hours over Alma al-Sha‘b.\n\t1015\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Aytarun. They circledover all regions of Lebanon before leaving at1115 hours over Naqurah.\n\t1015\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Aytarun. They circledover all regions of Lebanon before leaving at1125 hours over Kafr Kila.\n\t1015\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Rumaysh. They circledover all regions of Lebanon before leaving at1155 hours over the sea off Naqurah.\n\t1325\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsbefore leaving at 1805 hours over Alma al-Sha‘b.\n\t1600\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over thesea to the west of Sidon. It circled over thesea between Sidon and Beirut before leaving at1805 hours over the sea off Naqurah.\n27 June2011\t0458\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 1800 hours.\n\t0720\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving at 1615 hours over Naqurah.\n\t0720\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over KafrKila. It circled over the southern regionsbefore leaving at 1820 hours over the sea to thewest of Naqurah.\n\t0750\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving at 1830 hours over Rumaysh.\n\t1008\tSix Israeli enemy warplanes violated Lebaneseairspace, entering over the sea off Naqurah.They circled over the sea between Shikka andNaqurah before leaving at 1050 hours over thesea off Naqurah.\n\t1010\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Naqurah. They circledover all regions of Lebanon before leaving at1050 hours over Alma al-Sha‘b.\n\t1012\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over Alma al-Sha‘b. Theycircled over all regions of Lebanon beforeleaving at 1050 over Alma al-Sha‘b.\n\t1015\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over Rumaysh. They circledover all regions of Lebanon before leaving at1110 hours over the sea off Naqurah.\n\t2130\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsand the Bekaa before leaving on 28 June at 0040hours over Kafr Kila.\n\t21302300\tHelicopters, warplanes and reconnaissanceaircraft circled along the border betweenLebanon and Occupied Palestine, releasing decoyflares over the towns of Ramiyah, Ayta al-Sha‘b,Rumaysh, Marun al-Ra’s, Aytarun, Blida and Maysal-Jabal.\n28 June2011\t0610\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the southern regionsbefore leaving at 1825 hours over Rumaysh.\n\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the southern regionsbefore leaving at 1840 hours over Alma al-Sha‘b.\n\t0720\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over Beirut and the Southbefore leaving at 29 June at 0025 hours overRumaysh.\n\t2015\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving on 29 June at 0610 hours.\n29 June2011\t0625\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over Almaal-Sha‘b. It circled over the western Bekaa andthe South before leaving at 1425 hours overNaqurah.\n\t0715\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the South beforeleaving at 1825 hours over Naqurah.\n\t0730\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the South beforeleaving at 1825 hours over Naqurah.\n\t1140\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2020 hours.\n\t1205\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving on 30 June at 0400 hours.\n\t1325\tFour Israeli enemy warplanes violated Lebaneseairspace, entering over the sea off Naqurah.They circled over the coast between Naqurah andTripoli before leaving at 1440 hours over thesea off Naqurah.\n\t1325\tTwo Israeli enemy warplanes violated Lebaneseairspace, entering over Kafr Kila. They circledover the South and the western Bekaa beforeleaving at 1440 hours over the sea off Naqurah.\n\t1900\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2110 hours.\n\t1941\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 2258 hours.\n30 June2011\t0448\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, circling over theSouth before leaving at 0502 hours.\n\t0600\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the southern regionsand Beirut before leaving at 1515 hours overNaqurah.\n\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overRumaysh. It circled over the southern regionsbefore leaving at 1815 hours over Alma al-Sha‘b.\n\t0700\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering overNaqurah. It circled over the southern regionsand the Bekaa before leaving on 1 July at 0305hours over Rumaysh.",
"2033\tAn Israeli enemy observation balloon was seen atlow altitude over Ra’s al-Marj (Arsal). It thenrose eastward towards the highlands of Arsal.\n\t2110\tAn Israeli enemy reconnaissance aircraftviolated Lebanese airspace, entering over thesea off Sidon. It circled over the sea offBeirut and Sidon before leaving on 1 July at0010 hours over the sea off Naqurah."
] | A_65_922 | [
"General Assembly",
"Sixty-sixth session",
"Agenda item 36",
"The situation in the Middle East",
"Letter dated 26 July 2011 from the Permanent Representative of Lebanon to the United Nations addressed to the Secretary-General and the President of the Security Council",
"On instructions from my Government, I transmit to you herewith a statistical summary of Israel's violations of Security Council resolution 1701 (2006) for the period of June 2011.",
"I should be grateful if you would have the present letter circulated as a document of the Security Council under the agenda item on the situation in the Middle East.",
"Permanent Representative",
"Ambassador",
"(Signed) Nawaf Salam Ambassador Permanent Representative",
"Land-based violations",
"The nature of the violation was committed at 1215 hours on 1 June 2011, by a patrol of the Israeli enemy at the Wazzani Bridge checkpoint at the Lebanese Army. The members of the patrol took photographs of the checkpoint and trained weapons to the personnel of the checkpoint. At 1730 hours, at Birkatal-Naqqar, on the occupied Shab'a Farms, a Israeli patrol opened a black tent and a surveillance camera with the Israeli flag map and covered its military memorials. At 1735 hours, a bus containing 15 people arrived. The Israeli enemy left the patrol after the demolition of tents and supplies. At 1730 hours, the Israeli enemy directed a number of strikes around Ruwaysatal-Alam, occupied Shab'a Farms. At 1730 hours, when the Israeli enemy patrol arrived at Fatima, its members trained MAG guns on personnel at the Lebanese Army checkpoint and used blasphemy language and customs. On 2 June 2011, at 1220 hours, an Israeli enemy patrol stopped at the Fatimagate and trained weapons in Lebanese territory. At 1230 hours, the Israeli enemy entered the mobile telephone network in various times and broadcast Arabic-language audio-visual telephones, with an overwhelming appreciation of $10 million for the collection of information from Israeli soldiers who disappeared in Lebanon. On 3 June 2011, at 0830 hours, a patrol of the Israeli enemy, consisting of three tanks and one bulldozer, started the opening of a local road near the evacuation line in the south of the occupied region with a long distance of about 600 metres and a bread3 m. At 0900 hours, an Israeli enemy patrol, consisting of two Hilma vehicles and a engineering vehicle, erected a bar network between its positionshin-32 and positionshin-33 near the compound. A passenger vehicle transported about 60 civilians to observe the work. It was observed that the enemy had a wing on the door and had trained weapons in Lebanese territory. Another patrol was erecting a barbed wall on the Kafr Kila town. At 1243 hours, an Israeli enemy patrol called on the Indian contingent of the United Nations Interim Force in Lebanon (UNIFIL) to prevent Lebanese pastorals from nearing or crossing the Blue Line of Saddanah, otherwise, the Israeli army would fire. The region is in disputed Lebanese territory. At 1330 hours, an Israeli enemy patrol entered approximately 35 metres through the Hassan crossing. The patrol stayed for 10 minutes, but did not crossed the line. On 5 June 2011, at 0800 hours, the Lebanese army proceeded with the Kafr Kila opposite Fatimah, when a soldier of the Israeli enemy used the blasphemy language for the vehicle. At 1230 hours, the Israeli enemy's foot patrol crossed the technical fence through the Hassan door, entering some 50 metres of Lebanon's alleged sovereign areas. There are also vehicles and personnel operating on the occupied Shab'a Farms. At 1515 hours, the Israeli enemy entered the mobile telephone network and broadcast the Arabic-language audio-visual telephone, with an interest in receiving information from the Israeli soldiers who disappeared in Lebanon. On 6 June 2011, at 1450 hours, an Israeli enemy patrol attempted to steal a sheep of all herders, Khudr Zahra, between the former Shahal outposts and the radar outpost. On 7 June 2011, at 1100 hours, an Israeli enemy patrol crossed the technical fence through the Hassan door, entering approximately 150 metres of areas where Lebanon claimed sovereignty. On 9 June 2011, at 16 p.m., the Israeli enemy entered the mobile telephone network and broadcast the Arabic-language audio-visual telephones, with a significant appreciation of $10 million for the collection of information from Israeli soldiers who disappeared in Lebanon. At 1446 hours, the Israeli enemy entered the mobile telephone network and broadcast the Arabic-language audio-visual telephone, with an interest in receiving information from the Israeli soldiers who disappeared in Lebanon. On 10 June 2011, at 2300 hours, four light shells were fired over the positions of Ramta and Sammaqah in the occupied Shab`a Farms. On 13 June 2011, at 1515 hours, in the Shahal area of the Shab'a Farms, the Israeli enemy's two vehicles (a light and a heavy) violated the evacuation line located in coordinates Q755150-N690786, in incursions into approximately 30 minutes before returning to the occupied territories. On 16 June 2011, at 1010 hours, an Israeli enemy patrol trained 12.7 mm machine guns at the checkpoint at Udaysah Lebanese Army checkpoint for 10 minutes. At 1330 hours, two Israeli enemy patrols, each of which were composed of 10 members, violated the evacuation line of the occupied Shab'a Farms opposite Saddanah, invaded at approximately 250 metres and arrived at coordinates Q148-N154847. They tried to live in the town of Shab'a pastor, who was called close to them, but herders were not. At 1800 hours, two patrols left the occupied territories. On 18 June 2011, at 2310 hours, an Israeli enemy patrol directed a searchlight for five seconds towards the post of the Lebanese Army position in Dahirah. On 22 June 2011, at 1315 hours, the Israeli enemy entered the mobile telephone network and broadcast the Arabic-language audio-visual telephones, with a significant appreciation of $10 million to collect information from Israeli soldiers who disappeared in Lebanon. At 2100 hours, Israeli enemy elements opposite the town of Kafr Kila used the blasphemy language against Lebanese military observers at the Fattimah door. We have also heard the words “What you call?”. At 2130 hours, Israeli enemy elements opposite the town of Kafr Kila directed a searchlight against Lebanese military observers at the Fatimah entrance. On 23 June 2011, at 1530 hours, two Israeli enemy personnel violated the Blue Line in South Kafr Shuba, at Q751500-N688250, invading approximately 150 metres. On 25 June 2011, at 1900 hours, five cattle crossed the line of withdrawal near Birakalbataur and left at 1910 hours. On 28 June 2011, at 1155 hours, the Israeli enemy, from its position in Jabal al Summaqah, shelled the Lebanese territory. On 29 June 2011, at 1355 hours, the Israeli enemy entered the mobile telephone network and broadcast the Arabic-language audio-visual telephones, with a significant appreciation of $10 million to collect information from Israeli soldiers who disappeared in Lebanon.",
"Sea violations",
"The nature of the violation was at 2130 hours on 1 June 2011 and directed a searchlight for 1.5 minutes towards Lebanese territorial waters. At 2156 hours, at 2318 hours, the Israeli enemy directed a searchlight for 20 seconds towards Lebanese territorial waters. On 2 June 2011, at 2340 hours, the Israeli enemy directed a searchlight for 20 seconds towards Lebanese territorial waters. On 3 June 2011, at 2234 hours, the Israeli enemy directed a searchlight for 15 seconds towards Lebanese Army posts in Ra'sal-Naqurah. On 5 June 2011, at 2225 hours, at 2355 hours, the Israeli enemy had four visits from its position Rasal-Naqurah directed towards Lebanese territorial waters, the first 15 second 30 seconds, third and fourth minutes. On 6 June 2011, at 0215 hours, the Israeli enemy directed a searchlight for 15 seconds towards Lebanese territorial waters. At 2320 hours, the Israeli enemy directed a searchlight for 15 seconds towards Lebanese territorial waters. On 10 June 2011, at 0030 hours, the Israeli enemy directed a searchlight for 30 seconds towards Lebanese territorial waters. On 15 June 2011, at 05050505 hours, the Israeli enemy directed a searchlight for 15 seconds towards Lebanese territorial waters. On 17 June 2011, at 2115 hours, the Israeli enemy directed a searchlight for 15 seconds towards Lebanese territorial waters. At 2210 hours, the Israeli enemy directed a searchlight for 20 seconds towards Lebanese territorial waters. At 2255 hours, the Israeli enemy directed a searchlight for 40 seconds towards Lebanese territorial waters. At 2300 hours, the Israeli enemy directed a searchlight for 40 seconds towards Lebanese territorial waters. On 18 June 2011, at 2125 hours, the Israeli enemy directed a searchlight for 25 seconds towards Lebanese territorial waters from its position Ra'sal-Naqurah. At 2130 hours, on 19 June 2011, at 2342 hours, the Israeli enemy directed a searchlight for two thirds from its position Ra'sal-Naqurah towards Lebanese territorial waters. On 20 June 2011, at 0230 hours, at 0305 hours, the Israeli enemy directed a searchlight for three minutes from its position Ra'sal-Naqurah towards Lebanese territorial waters. On 21 June 2011, at 2120 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for five minutes towards Lebanese territorial waters. At 2225 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 30 seconds towards Lebanese territorial waters. On 22 June 2011, at 0230 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 30 seconds towards Lebanese territorial waters. At 0315 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 20 seconds towards Lebanese territorial waters. At 0350 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 40 seconds towards Lebanese territorial waters. At 2145 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 30 seconds towards Lebanese territorial waters. At 2205 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 10 seconds towards Lebanese territorial waters. On 23 June 2011, at 2140 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 15 seconds towards Lebanese territorial waters. At 2347 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 30 seconds towards Lebanese territorial waters. On 24 June 2011, at 2150 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 30 seconds towards Lebanese territorial waters. On 27 June 2011, at 0105 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight towards Lebanese territorial waters for a period of minute. At 0138 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for one minute towards Lebanese territorial waters. At 0205 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for one minute towards Lebanese territorial waters. At 0250 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for two minutes towards Lebanese territorial waters. At 0308 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for one minute towards Lebanese territorial waters. At 0340 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 30 seconds towards Lebanese territorial waters. On 29 June 2011, at 01200450 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for 20 seconds towards Lebanese territorial waters. On 30 June 2011, at 2350 hours, the Israeli enemy, from its position Ra'sal-Naqurah, directed a searchlight for a minute towards Lebanese territorial waters.",
"Air violations",
"The nature of the violation was violated at 0610 hours on 1 June 2011. The aircraft circled over the South before leaving over Naqurah at 1930 hours. At 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South before leaving over 2050 hours. At 1520 hours, an Israeli enemy combat aircraft violated Lebanese airspace, circled over the South before leaving at 1645 hours. At 2145 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over the sea. The aircraft circled over the sea between Damur and Naqurah before leaving over the sea off Naqurah at 0555 hours on 2 June. At 2200 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South and western Bekaa before leaving over Yaarun on 2 June at 1000 hours. On 2 June 2011, at 0710 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Shantb. The aircraft circled over the South, Riyaq and Baalbek before leaving over Kafr Kila at 1820 hours. At 1205 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over Riyaq, Baalbek and Hirmil before leaving over Kafr Kila at 1640 hours. At 2215 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Tyre. The aircraft circled over the sea between Tyre and Beirut before leaving over the sea off Naqurah at 0010 hours on 3 June. On 3 June 2011, at 0820 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0830 hours. At 1030 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 11.30 a.m. At 1344 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1645 hours. At 1800 hours, an Israeli enemy aircraft violated Lebanese airspace, circled over the South before leaving at 1915 hours. On 4 June 2011, at 0705 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Shantb. The aircraft circled over the South before leaving over Rumaysh at 1810 hours. At 0720 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South before leaving over Rumaysh at 1810 hours. On 5 June 2011, at 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the South before leaving over Kafr Kila at 1645 hours. At 0745 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over Beirut, Damur, Bekaa and the South before leaving over Kafr Kila at 1645 hours. At 1030 hours, Israeli enemy warplanes violated Lebanese airspace and circled over the South before leaving at 1120 hours. At 1355 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1842 hours. At 1826 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2101 hours. On 6 June 2011, at 0104 hours, an Israeli enemy aircraft violated Lebanese airspace, circled over the South before leaving at 0301 hours. At 0710 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha'b. They circled over the regions of the South, Riyaq and Baalbek before leaving over Almaal-Sha'b at 1930 hours. At 0945 hours, 10 Israeli warplanes violated Lebanese airspace, entering over Almaal-Sha'b and Naqurah. They circled over all regions of Lebanon. Six of these warplanes flew over the sea off Naqurah at 10.30 a.m.; four flew over Almaal-Sha'b at 1150 hours. At 1000 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over the Shab`a Farms. The aircraft circled over the western Bekaa before leaving over Shab`a Farms at 1315 hours. At 1756 hours, Israeli enemy warplanes violated Lebanese airspace and entered over Yaarun. The aircraft circled over Jauniyah and the South before leaving over Rumaysh at 1955 hours. At 1851 hours, two Israeli enemy warplanes violated Lebanese airspace, circled over the South before leaving at 2153 hours. On 7 June 2011, at 0636 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1411 hours. At 0905 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha'b. It circled over the regions of the South before leaving over Almaal-Sha'b at 1455 hours. On 8 June 2011, at 0500 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1435 hours. At 0655 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the southern regions and western Bekaa before leaving over Almaal-Sha'b at 1820 hours. On 9 June 2011, at 0710 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over Riyaq, Baalbek and the South before leaving over Rumaysh. At 0725 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the western and southern regions of Bekaa before leaving over 2320 hours. At 2100 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0002 hours on 10 June. On 10 June 2011, at 0155 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0204 hours. At 0603 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1413 hours. At 0750 hours, Israeli enemy warplanes violated Lebanese airspace and entered over Naqurah. It circled over the South before leaving over Rumaysh at 1510 hours. At 0905 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over the sea off Naqurah. The aircraft circled over all regions of Lebanon before leaving over the sea off Naqurah. At 0910 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over all regions of Lebanon before leaving over the sea off Naqurah. At 1055 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 1420 hours. At 1350 hours, an Israeli enemy violated Lebanese airspace, circled over the South before leaving at 2132 hours. At 1611 hours, an Israeli enemy violated Lebanese airspace, circled over the South before leaving at 1620 hours. At 1940 hours, an Israeli enemy combat aircraft violated Lebanese airspace, circled over the South before leaving at 1945 hours. At 2102 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0002 hours on 11 June. On 11 June 2011, at 0618 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0655 hours. At 0654 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0832 hours. At 1010 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1017 hours. At 1026 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1750 hours. At 2147 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2200 hours. On 12 June 2011, at 0137 hours, an Israeli enemy aircraft violated Lebanese airspace, circled over the South before leaving at 0154 hours. At 0219 hours, an Israeli enemy aircraft violated Lebanese airspace, circled over the South before leaving at 0233 hours. At 0236 hours, an Israeli enemy violated Lebanese airspace, circled over the South before leaving at 0253 hours. At 0345 hours, an Israeli enemy aircraft violated Lebanese airspace, circled over the South before leaving at 0359 hours. At 0710 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. It circled over the regions of the South before leaving over Rumaysh. At 1607 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1818 hours. At 2129 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2216 hours. At 2250 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2300 hours. On 13 June 2011, at 0933 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0954 hours. At 1023 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 10.39 hours. At 1754 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1801 hours. At 2345 hours, an Israeli enemy violated Lebanese airspace, circled over the South before leaving at 0006 hours on 14 June. On 14 June 2011, at 0449 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0639 hours. At 0920 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0935 hours. At 1515 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the South before leaving over Almaal-Sha'b at 1625 hours. At 2010 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2015 hours. At 2035 hours, an Israeli enemy combat aircraft violated Lebanese airspace, circled over the South before leaving at 20.38 hours. On 15 June 2011, at 0449 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0639 hours. At 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South before leaving over 1335 hours. At 1145 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Yarun. The aircraft circled over the South before leaving over 1825 hours. At 1950 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the regions of the South and Bekaa before leaving over Rumaysh at 1500 hours on 16 June. On 16 June 2011, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South and Bekaa before leaving over Rumaysh at 0600 hours on 17 June 2011. At 1005 hours, four Israeli enemy warplanes violated Lebanese airspace and entered over Naqurah. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1050 hours. On 17 June 2011, at 0620 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South and western Bekaa before leaving over Almaal-Sha'b at 1820 hours. At 0900 hours, four Israeli warplanes violated Lebanese airspace and entered over Almaal-Sha'b. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1115 hours. At 1230 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 20.40 hours. At 1452 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0230 hours on 18 June. On 18 June 2011, at 0550 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South before leaving over Aytarun at 2025 hours. At 0830 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South before leaving over Kafr Kila at 1910 hours. At 1801 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0420 hours on 19 June. On 19 June 2011, at 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the South before leaving over Almaal-Sha'b at 1145 hours on 20 June. At 0715 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South before leaving over Almaal-Sha'b at 1940 hours. At 0715 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the northern and southern regions before leaving over Naqurah at 1210 hours on 20 June. At 0755 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of Hirmil, Al-Arz and the South before leaving over Rumaysh. At 1050 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South before leaving over 1535 hours. On 20 June 2011, at 0620 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the regions of the South, Hirmil and Al-Arz before leaving over Almaal-Sha'b at 1900 hours. At 1210 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 030 hours on 20 June. At 1230 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the regions of the South, Beirut, Damur, Baalbek and Hirmil before leaving over Rumaysh at 1110 hours on 21 June. At 1420 hours, four Israeli enemy warplanes violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1545 hours. At 2000 hours, Israeli enemy warplanes violated Lebanese airspace and circled over the South before leaving at 2015 hours. On 21 June 2011, at 0610 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the southern regions and western Bekaa before leaving over Kafr Kila at 2215 hours. At 0625 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South before leaving over 1540 hours. At 1030 hours, eight Israeli enemy warplanes violated Lebanese airspace and entered over Rumaysh. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1200 hours. At 1420 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha'b. The aircraft circled over the South before leaving over Almaal-Sha'b at 1835 hours. At 1655 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over all regions of Lebanon before leaving over Naqurah at 1220 hours on 22 June. On 22 June 2011, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. It circled over the regions of the South before leaving over Almaal-Sha'b at 2200 hours. At 1220 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 0700 hours on 23 June. At 1438 hours, four Israeli enemy warplanes violated Lebanese airspace and entered over the territorial sea. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1630 hours. At 1620 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. On 23 May, at 0015 hours, the regions of the South of the aircraft and the suburbs of Beirut and their suburbs circled over before leaving over Almaal-Sha'b at 1015 hours on 23 June. At 1625 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South before leaving over Yarun at 0030 hours on 23 June. On 23 June 2011, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. It circled over the regions of the South before leaving over Almaal-Sha'b at 2200 hours. At 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 0300 hours on 24 June. At 0740 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Alma al-Sha'b. The aircraft circled over the regions of the South and Bekaa before leaving over Rumaysh at 2120 hours. At 0937 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South and Bekaa before leaving over Almaal-Sha'b at 0610 hours on 24 June. At 1045 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the regions of the South, Iqlimal-Kharrub and Shuf before leaving over the sea off Naqurah at 1400 hours. At 1505 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha'b. It circled over the regions of the South before leaving over Yarun at 2225 hours. On 24 June 2011, at 0610 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 2230 hours. At 0620 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South before leaving over Rumaysh at 0500 hours on 25 June. On 25 June 2011, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South, the western Bekaa, Riyaq and Baalbek before leaving over Naqurah at 2240 hours. At 1010 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South and western Bekaa before leaving over Naqurah at 2000 hours. On 26 June 2011, at 0755 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South before leaving over Naqurah at 0300 hours on 27 June. At 0805 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha'b. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 1115 hours. At 1015 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over Aytarun. The aircraft circled over all regions of Lebanon before leaving over 1115 hours. At 1015 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over Aytarun. The aircraft circled over all regions of Lebanon before leaving over Kafr Kila at 1125 hours. At 1015 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over Rumaysh. The aircraft circled over all regions of Lebanon before leaving over the sea off Naqurah. At 1325 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. It circled over the regions of the South before leaving over Almaal-Sha'b at 1805 hours. At 1600 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over the sea off Sidon. The aircraft circled over the sea between Sidon and Beirut before leaving over the sea off Naqurah. On 27 June 2011, at 0458 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 1800 hours. At 0720 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha`b. The aircraft circled over the regions of the South before leaving over Naqurah at 1615 hours. At 0720 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the regions of the South before leaving over the sea off Naqurah. At 0750 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Almaal-Sha'b. The aircraft circled over the South before leaving over Rumaysh at 1830 hours. At 1008 hours, six Israeli enemy warplanes violated Lebanese airspace and entered over the Naqurah sea. The aircraft circled over the sea between Shikka and Naqurah before leaving over the sea off Naqurah. At 1010 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over Naqurah. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1050 hours. At 1012 hours, four Israeli warplanes violated Lebanese airspace and entered over Almaal-Sha'b. The aircraft circled over all regions of Lebanon before leaving over Almaal-Sha'b at 1050 hours. At 1015 hours, four Israeli enemy warplanes violated Lebanese airspace and entered over Rumaysh. The aircraft circled over all regions of Lebanon before leaving over the sea off Naqurah. At 2130 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South and Bekaa before leaving over Kafr Kila at 0040 hours on 28 June. At 2130 hours, at 2300 hours, helicopters, combat aircraft and reconnaissance aircraft circled over the occupied Palestinian border between Lebanon and the occupied Palestinian border, throwing signals over the towns of Ramiyah, Aytaal-Sha'b, Rumaysh, Marunal-Ra's, Aytarun, Blida and Maysal-Jabal. On 28 June 2011, at 0610 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. It circled over the regions of the South before leaving over Rumaysh at 1825 hours. At 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the regions of the South before leaving over Almaal-Sha'b at 1840 hours. At 0720 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over Beirut and the South before leaving over Rumaysh at 0025 hours on 29 June. At 2015 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0610 hours on 29 June. On 29 June 2011, at 0625 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, entering over Almaal-Sha'b. The aircraft circled over the western and southern regions of Bekaa before leaving over Naqurah at 1425 hours. At 0715 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the South before leaving over 1825 hours. At 0730 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South before leaving over 1825 hours. At 1140 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2020 hours. At 1205 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving over 0400 hours on 30 June. At 1325 hours, four Israeli enemy warplanes violated Lebanese airspace and entered over the sea off Naqurah. The aircraft circled over the sea between Naqurah and Tripoli before leaving over Naqurah. At 1325 hours, two Israeli enemy warplanes violated Lebanese airspace and entered over Kafr Kila. The aircraft circled over the South and western Bekaa before leaving over the sea off Naqurah. At 1900 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2110 hours. At 1941 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 2258 hours. On 30 June 2011, at 0448 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace, circled over the South before leaving at 0502 hours. At 0600 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. The aircraft circled over the South and Beirut before leaving over 1515 hours. At 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Rumaysh. It circled over the regions of the South before leaving over Almaal-Sha'b at 1815 hours. At 0700 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over Naqurah. The aircraft circled over the regions of the South and Bekaa before leaving over Rumaysh at 0305 hours on 1 July. At 2033 hours, it was observed that the Israeli enemy's divergence over Rasal-Marj (Arsal). It then increased to Arsal Highlands. At 2110 hours, an Israeli enemy reconnaissance aircraft violated Lebanese airspace and entered over the sea off Sidon. The aircraft circled over the sea between Beirut and Sidon before leaving over the sea off Naqurah at 0010 hours on 1 July."
] |
[
"大 会 安全理事会",
"第六十五届会议 第六十六年",
"议程项目34、39、66和75",
"古阿姆集团地区旷日持久的冲突及其 对国际和平、安全与发展的影响",
"被占领阿塞拜疆领土的局势",
"消除种族主义、种族歧视、仇外心理和 相关不容忍行为",
"国家对国际不法行为的责任",
"2011年8月3日阿塞拜疆常驻联合国代表给秘书长的信",
"根据收到的阿塞拜疆共和国政府的指示，谨提请你注意2011年7月亚美尼亚共和国武装军队持续违反停火情况的记录(见附件)。在这一期间，由于亚美尼亚方面在2011年7月14日违反停火，并犯下恐怖罪行(见A/65/915：S/2011/457)，致使一位13岁的阿塞拜疆女孩和阿塞拜疆武装部队1名军官身亡，两名阿塞拜疆平民受重伤。",
"过去几个月间，居住在前线地区的阿塞拜疆平民伤亡数量日益增多，这又一次证明亚美尼亚在当前解决冲突的过程中，明目张胆地无视其在国际法中的义务。",
"2011年5月26日，法国、俄罗斯联邦和美利坚合众国三国总统作为欧洲安全与合作组织明斯克小组的联合主席在法国多维尔发表了联合声明，其中除其他外，强烈敦促双方让本国民众争取和平，而非战争。亚美尼亚方面以其特有的方式回应了这一号召。",
"亚美尼亚方面除了加强对阿塞拜疆平民和民用目标的攻击及其领导人对阿塞拜疆肆无忌惮地发表一波又一波敌对言论之外，亚美尼亚共和国总统谢尔日·萨尔基相则走得更远，彻底粉碎了人为制造的、有关其政府能够建设性地寻求该地区和平的神话。2011年7月25日，在亚美尼亚Gara Chichek(Tsakhkadzor)举行了关于亚美尼亚语言、文学和亚美尼亚研究的第五届泛亚美尼亚奥林匹克会议。其间，亚美尼亚国家领导人对与会者进行了会晤，并让该国青年人继续执行对该地区人民的仇恨和不信任政策。(亚美尼亚总统的官方网站，可查阅http：//www.president.am/events/visits/eng/?visits=2&id=290)。谢尔日·萨尔基相在回答一个学生关于以牺牲邻国土耳其为代价，扩大亚美尼亚领土的问题时说，实现这一职责将取决于新的一代的努力，并将此说成是完成收复他所谓“我们的祖国：卡拉巴赫”任务的实例。",
"换句话说，亚美尼亚总统不是鼓励其人民与周边国家开展友谊合作来促进实现和平、繁荣和稳定的未来，而是公开煽动该国青年和未来世代进行新的战争和暴力。值得注意的是，亚美尼亚总统信奉这一冒险理念是基于这样的信念，即他的“国家……总是一次又一次地像浴火凤凰一样崛起”。因此，亚美尼亚国家元首意在将本国人民和整个地区拖进新的战争和苦难的深渊，以实现灾难性的政治议程。",
"谢尔日·萨尔基相总统并不局限于上述有害观点，他在2011年7月28日与波兰总统在埃里温举行的联合记者招待会上，继续谈及这些观点。这一次，他不厌其烦地大谈特谈与另一国家，即阿塞拜疆共和国的主权领土有关的问题。据亚美尼亚总统所说，“纳戈尔诺-卡拉巴赫冲突的爆发是侵犯当地人民自决权的结果”，“必须尊重纳戈尔诺-卡拉巴赫人民掌握自己的命运、并在其祖祖辈辈的土地上有安全保障和繁荣的合法权利”。至少可以这样说，亚美尼亚国家元首在记者招待会上所说的每一个字，包括这些和其他关于冲突、冲突的前因后果以及和平进程的有关其他意见，纯属胡编乱造。",
"包括联合国主要机构在内的国际社会已经认定，是亚美尼亚发动了战争，攻击阿塞拜疆并占领其领土，包括Daghlyq Garabagh(纳戈尔诺-卡拉巴赫)地区，开展大规模种族清洗，在战争期间犯下其他滔天罪行，并在占领的阿塞拜疆领土上建立了种族分裂实体。亚美尼亚总统本人必须为针对阿塞拜疆平民的恐怖暴行承担个人责任，他一定清楚地知道，他认为的“纳戈尔诺-卡拉巴赫人民的自决权”的事实，已被联合国安全理事会和大会以及其他权威国际组织明确界定为非法使用武力侵犯阿塞拜疆共和国的主权和领土完整，严重违反了《联合国宪章》和国际法。",
"此外，亚美尼亚方面所谓历史说的一个生动例子是，亚美尼亚总统把占领阿塞拜疆的Daghlyq Garabagh说成是占领者的“祖祖辈辈的故土”或“祖国”，这些说法都是荒谬虚假的，唯一目的是误导国际社会并使暴力扩张领土政策合理化。",
"亚美尼亚领导层对其境内以及被占阿塞拜疆领土的所有非亚美尼亚人进行了全面的种族清洗，从而在这些地区成功地创造了独有的单一民族文化，他们很早以前就公布其吞并意图，其核心是历史妄想和种族仇恨。亚美尼亚高级官员处处挑衅、反对和平与繁荣未来前景、下令针对包括儿童在内的阿塞拜疆平民、操控舆论并试图欺骗国际社会，凡此种种令人毫不怀疑其不愿为和平而努力，企图挑起大规模骚乱的用心。",
"我们相信，亚美尼亚领导人将不得不停止其挑衅性政策，确保结束对阿塞拜疆领土的占领，放弃其对周边国家的领土诉求，与该地区所有国家建立文明关系。阿塞拜疆共和国真诚地相信，除和平、稳定和互利的区域合作外，别无选择。",
"请将本函及其附件作为大会议程项目34、39、66和75下的文件和安全理事会文件分发为荷。",
"常驻代表",
"大使",
"阿格申·梅赫迪耶夫(签名)",
"2011年8月3日阿塞拜疆常驻联合国代表给秘书长的信的附件",
"2011年7月亚美尼亚共和国武装部队违反停火情况^(a)",
"日期\t时间\t开火地区\t方向\t所用武器\t伤亡及破坏情况 \n7月3日\t21.5-21.55\t阿塞拜疆Fizuli区Seyidahmadli和Alkhanli村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月4日\t01.15-01.20\t亚美尼亚Ijevan区Aygovit村附近被占领地区\t阿塞拜疆Gazakh区BalaJafarli村\t火器和机枪\t-\n\t在不同时间和次日\t阿塞拜疆Fizuli区Garakhanbeyli,AshagiSeyidahamdli村和Horadiz镇附近被占领地区,阿塞拜疆Agdam区Javahirli村被占领地区\t邻近地区\t火器和机枪\t-\n\t在不同时间和次日\t阿塞拜疆Khojavand区附近以及Jabrail区Djodjug-Marjanli村被占领地区\t邻近地区\t火器和机枪\t-\n7月5日\t在不同时间\t阿塞拜疆Fizuli区Garakhanbeyli、AshagiSeyidahamdli村和Horadiz镇附近被占领地区,阿塞拜疆Agdam区Javahirli村被占领地区\t邻近地区\t火器和机枪\t-\n\t在不同时间\t阿塞拜疆Khojavand区附近以及Jabrail区Djodjug-Marjanli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t23.15-23.30\t阿塞拜疆Jabrail区Mehdili村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月6日\t在不同时间和次日\t阿塞拜疆Fizuli区AshagiAbdulrahmanli村和不明高地附近的被占领地区\t邻近地区\t火器和机枪\t-\n7月7日\t在不同时间\t阿塞拜疆Fizuli区AshagiAbdulrahmanli村和不明高地附近的被占领地区\t邻近地区\t火器和机枪\t-\n\t在不同时间和次日\t亚美尼亚Krasnoselsk区不明高地\t阿塞拜疆Gadabay区不明高地\t火器和机枪\t-\n\t在不同时间和次日\t阿塞拜疆Fizuli区AshagiSeyidahamdli和Gorgan村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月8日\t在不同时间\t亚美尼亚Krasnoselsk区不明高地\t阿塞拜疆Gadabay区不明高地\t火器和机枪\t-\n\t在不同时间\t阿塞拜疆Fizuli区AshagiSeyidahamdli和Gorgan村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t在不同时间\t阿塞拜疆Khojavand区Kurapatkino村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月10日\t16.10-16.30\t亚美尼亚Krasnoselsk区不明高地\t阿塞拜疆Gadabay区不明高地\t火器和机枪\t-\n7月11日\t06.05-06.15\t亚美尼亚Noyanberyan区Berdavan村\t阿塞拜疆Gazakh区Kemerli村\t火器和机枪\t-\n7月12日\t17.30-17.35\t阿塞拜疆Agdam区Shurabad村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月13日\t18.45-18.55\t阿塞拜疆Goygol区附近被占领地区\t邻近地区\t火器和机枪\t-\n7月14日\t05.20-05.25\t阿塞拜疆Fizuli区Gorgan村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t22.45-22.50\t阿塞拜疆Fizuli区AshagiSeyidahamdli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t23.00-23.10\t阿塞拜疆Agdam区Garagashli村附近被占领地区\t邻近地区\t火器和机枪\t- 从亚美尼亚流出的Tovuz河\t阿塞拜疆Tovuz区Alibayli村\t藏在玩具中的一个爆炸装置起爆\t阿塞拜疆一位14岁女孩AygunShahmaliyeva被炸身亡，她的32岁母亲Elnara \n Shahmaliyeva受重伤\n7月17日\t01.20-01.30\t阿塞拜疆Agdam区Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t19.40-20.00\t阿塞拜疆Goranboy区附近被占领地区\t邻近地区\t火器和机枪\t-",
"日期\t时间\t开火地区\t方向\t所用武器\t伤亡及破坏情况 \n7月18日\t17.15-17.25\t亚美尼亚Krasnoselsk区不明高地\t阿塞拜疆Gadabay区不明高地\t火器和机枪\t-\n\t23.15-23.50\t阿塞拜疆Fizuli区AshagiAbdulrahmanli、Gorgan和Garakhanbayli村以及Horadiz镇附近被占领地区\t邻近地区\t火器和机枪\t-\n7月19日\t23.10-23.25\t阿塞拜疆Fizuli区AshagiSeyidahamdli和Alkhanli村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月20日\t00.50-01.10\t阿塞拜疆Agdam区Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t03.40-03.50\t阿塞拜疆Fizuli区AshagiSeyidahamdli和Alkhanli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t13.00-13.15\t亚美尼亚Krasnoselsk区不明高地\t阿塞拜疆Gadabay区不明高地\t火器和机枪\t-\n7月21日\t03.35-03.40\t阿塞拜疆Fizuli区Garakhanbayli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t03.50-04.00\t阿塞拜疆Agdam区Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t10.45-11.10\t阿塞拜疆Goranboy区Tapgaragoyunlu村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t16.45-16.50\t阿塞拜疆Fizuli区AshaghiAbdulrahmanli村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月22日\t00.05-00.09\t阿塞拜疆Fizuli区AshaghiAbdulrahmanli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t00.25-00.45\t阿塞拜疆Dashkasan区附近被占领地区\t邻近地区\t火器和机枪\t-\n\t01.20-01.25\t阿塞拜疆Agdam区Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t05.50-06.10\t阿塞拜疆Jabrayil区附近被占领地区\t邻近地区\t火器和机枪\t-\n7月23日\t03.20-03.25\t阿塞拜疆Fizuli区Gorgan村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月24日\t09.05-09.30\t阿塞拜疆Gadabay区附近不明高地\t邻近地区\t火器和机枪\t- \n\t14.30-14.45\t阿塞拜疆Gornaboy区Tapgaragoyunlu村附近被占领地区\t邻近地区\t火器&机枪\t-\n7月25日\t00.25-00.3000.35-00.40\t阿塞拜疆Fizuli区AshaghiAbdulrahmanli村和Horadiz镇附近被占领地区\t邻近地区\t火器和机枪\t-\n\t15.30-15.50\t阿塞拜疆Dashkasan区附近被占领地区\t邻近地区\t火器和机枪\t-\n7月26日\t05.20-05.30\t阿塞拜疆Agdam区Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t10.40-10.4520.00-20.1021.30-21.40\t亚美尼亚Berd区Aygezor和Mosesgeh村\t阿塞拜疆Tovuz区Mundjuglu、Alibayli和Agdam村\t火器和机枪\t-\n\t10.45-10.50\t阿塞拜疆Gadabay区附近不明高地\t邻近地区\t火器和机枪\t-\n\t14.30-14.40\t阿塞拜疆Fizuli区AshagiSeyidahamdli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t14.40-14.50\t阿塞拜疆Jabrayil区附近被占领地区\t邻近地区\t火器和机枪\t-\n\t14.40-15.00\t阿塞拜疆Gornaboy区Tapgaragoyunlu村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月27日\t12.30-12.40\t阿塞拜疆Gornaboy区Tapgaragoyunlu村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t15.40\t亚美尼亚与阿塞拜疆Gazakh区毗邻的领土\t阿塞拜疆Gazakh区Mezem村\t火器\t阿塞拜疆Gazakh区Mezem村名叫NailaPoladova的居民严重受伤\n7月28日\t03.35-03.40\t阿塞拜疆Jabrayil区附近被占领地区\t邻近地区\t火器和机枪\t-\n\t00.40-00.5003.32-03.4003.35-03.40\t阿塞拜疆Fizuli区AshaghiAbdulrahmanli、Gorgan村和Horadiz镇附近被占领地区\t邻近地区\t火器和机枪\t-\n\t17.05-17.15\t阿塞拜疆Gornaboy区Tapgaragoyunlu村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t19.50-20.05\t阿塞拜疆Goygol区附近被占领地区\t邻近地区\t火器和机枪\t-\n\t23.35-23.45\t阿塞拜疆Agdam区Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-\n7月29日\t15.10-15.35\t阿塞拜疆Dashkasan区附近被占领地区\t邻近地区\t火器和机枪\t-\n\t20.55-21.10\t阿塞拜疆Gadabay区附近不明高地\t邻近地区\t火器和机枪\t-\t21.30-21.3321.40-21.50\t阿塞拜疆Agdam区Yusifjanli和Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t阿塞拜疆武装部队Elshad \n Hasanov中尉遭枪击身亡。\n7月30日\t00.15-00.2002.07-02.1202.05-02.10\t阿塞拜疆Fizuli区AshaghiAbdulrahmanli和Garakhanbayli村附近被占领地区\t邻近地区\t火器和机枪\t-\n\t02.30-02.50\t阿塞拜疆Agdam区Yusifjanli和Javahirli村附近被占领地区\t邻近地区\t火器和机枪\t-",
"^(a) 本资料中所列阿塞拜疆共和国定居点均在亚美尼亚共和国占领之下或在开火地区附近。"
] | [
"General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda items 34, 39, 66 and 75 Protracted conflicts in the GUAMarea andtheir implications for internationalpeace, securityand development The situation in the occupiedterritories of Azerbaijan Elimination of racism, racialdiscrimination, xenophobia andrelated intolerance \nResponsibility of States forinternationally wrongful acts",
"Letter dated 3 August 2011 from the Permanent Representative of Azerbaijan to the United Nations addressed to the Secretary‑General",
"In accordance with instructions received from the Government of the Republic of Azerbaijan, I have the honour to draw your attention to ongoing violations of the ceasefire by the armed forces of the Republic of Armenia, recorded for the month of July 2011 (see annex). As a result of these violations and the terrorist act committed by the Armenian side on 14 July 2011 (see A/65/915-S/2011/457), during the aforementioned period a 13-year-old Azerbaijani girl and one officer of the armed forces of the Republic of Azerbaijan were killed and two Azerbaijani civilians were seriously wounded.",
"The increasing number of casualties over the past several months among Azerbaijani civilians residing in the front-line areas represents yet another piece of evidence testifying to Armenia’s apparent disregard of its obligations under international law and in the context of the ongoing conflict settlement process.",
"In their joint statement of 26 May 2011 made in Deauville, France, the Presidents of France, the Russian Federation and the United States of America — the countries co-chairing the Minsk Group of the Organization for Security and Cooperation in Europe — inter alia, strongly urged the sides to prepare their populations for peace, not war. The Armenian side responded to this call in the manner so characteristic of it.",
"In addition to intensified attacks on Azerbaijani civilians and civilian objects across the front line and the recent uncontrollable surge of hostile rhetoric towards Azerbaijan from the Armenian leadership, President Serzh Sargsyan of the Republic of Armenia went farther ahead and once and for all shattered the artificially imposed myth of his Government’s ability to engage in a constructive search for peace in the region. At a meeting with the participants in the fifth Pan-Armenian Olympiad for the Armenian Language, Literature and Armenian Studies, held in Gara Chichek (Tsakhkadzor), Armenia, on 25 July 2011, the head of the Armenian State instructed the youth of his country to continue the implementation of the policy of hatred and mistrust among the peoples of the region (see the official website of the President of Armenia, available from http://www.president.am/events/visits/eng/?visits=2&id=290). Thus, in response to the question of a student about the perspectives of expanding Armenia’s territory at the expense of neighbouring Turkey, Serzh Sargsyan said that the realization of this duty would depend on the efforts of the new generation and referred as an example to the fulfilment of the task of capturing a part of what he called “our fatherland — Karabakh”.",
"In other words, instead of preparing its people for peace and a prosperous and stable future in friendship and cooperation with the neighbouring nations, the President of Armenia openly incites the youth and future generations of his country to new wars and violence. It is notable that the Armenian President’s belief in this adventurist idea is based on the conviction that his “nation … always rises from the ashes like the phoenix — again and again”. Accordingly, the head of the Armenian State considers it possible to plunge his own people and the region as a whole into new wars and an abyss of misery for the realization of the disastrous political agenda.",
"President Serzh Sargsyan has not confined himself to the above-mentioned harmful views and continued sharing them at the joint press conference with the President of Poland in Yerevan on 28 July 2011. This time he was deeply absorbed in discussing the issues pertaining to the sovereign territory of another State — the Republic of Azerbaijan. According to the President of Armenia, “the Nagorno Karabakh conflict … erupted as a result of the violation of the Nagorno Karabakh people’s right for self-determination” and “the legitimate right of the people of Nagorno Karabakh to master their own destiny, to have security guarantees and prosper in their historical land must be respected”. Every single word in these and other comments about the conflict, its causes and consequences and the peace process made by the head of the Armenian State during the press conference is pure fiction, to say the least.",
"It has been internationally recognized, including by the principal organs of the United Nations, that Armenia unleashed the war, attacked Azerbaijan and occupied its territories, including the Daghlyq Garabagh (Nagorno Karabakh) region, carried out ethnic cleansing on a massive scale, perpetrated other heinous crimes in the course of the war and established the ethnically constructed subordinate separatist entity on the captured Azerbaijani territory. The President of Armenia, who bears personal responsibility for horrible atrocities against Azerbaijani civilians, must be well aware that what he considers “the violation of the Nagorno Karabakh people’s right for self-determination” has been unequivocally qualified by the United Nations Security Council and the General Assembly, as well as by other authoritative international organizations, as the illegal use of force against the sovereignty and territorial integrity of the Republic of Azerbaijan and other egregious violations of the Charter of the United Nations and international law.",
"Moreover, the Republic of Azerbaijan considers historical assertions of the Armenian side, a vivid example of which is the reference by the President of Armenia to the occupied Daghlyq Garabagh region of Azerbaijan as allegedly the occupiers’ “historical land” or “fatherland”, as false and having the sole purpose of misleading the international community and justifying the policy of violent territorial expansionism.",
"Having implemented the total ethnic cleansing of both the territory of Armenia and the occupied territories of Azerbaijan of all non-Armenians and thus succeeded in creating the uniquely mono-ethnic culture in these areas, the leadership of Armenia long ago unveiled its annexationist intentions, at the core of which are historical delusions and racial animosity. The defiant behaviour of those high-ranking officials in Armenia opposing the perspectives of a peaceful and prosperous future for the region, ordering the targeting of Azerbaijani civilians, including children, manipulating public opinion and trying to delude the international community leaves no doubt as to their unwillingness to work for peace and attempts to provoke large-scale destabilization.",
"We are confident that the leadership of Armenia will be obliged to cease its provocative policy, to ensure that the occupation of Azerbaijani territory is ended, to denounce its territorial claims towards neighbouring nations and to establish civilized relations with all countries of the region. The Republic of Azerbaijan sincerely believes that there is no alternative to peace, stability and mutually beneficial regional cooperation.",
"I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly, under agenda items 34, 39, 66 and 75, and of the Security Council.",
"(Signed) Agshin Mehdiyev Ambassador Permanent Representative",
"Annex to the letter dated 3 August 2011 from the Permanent Representative of Azerbaijan to the United Nations addressed to the Secretary-General",
"Violations of the ceasefire by the armed forces of the Republic of Armenia[1] for the month of July 2011",
"Date\tTime\tFire point area\tDirection\tWeaponsused\tCasualtiesand \n damage \n3July\t21.50-21.55\tOccupied areanear Seyidahmadliand Alkhanlivillages, Fizulidistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—4July\t01.15-01.20\tAygovit village,Ijevan region,Armenia\tBalaJafarlivillage,Gazakhdistrict,\tFirearmandmachinegun\t— \n Azerbaijan \n\tAtdifferenttimesandthefollowingday\tOccupied areasnearGarakhanbeyli,AshagiSeyidahamdlivillages andHoradiz town,Fizuli district,Azerbaijan, andJavahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\tAtdifferenttimesandthefollowingday\tOccupied areasnear Khojavanddistrict andDjodjug-Marjanlivillage, Jabraildistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n5July\tAtdifferenttimes\tOccupied areasnearGarakhanbeyli,AshagiSeyidahamdlivillages andHoradiz town,Fizuli district,Azerbaijan, andJavahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\tAtdifferenttimes\tOccupied areasnear Khojavanddistrict andDjodjug-Marjanlivillage, Jabraildistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t23.15-23.30\tOccupied areanear Mehdilivillage, Jabraildistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n6July\tAtdifferenttimesandthefollowingday\tOccupied areanear AshagiAbdulrahmanlivillage andunknown heights,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n7July\tAtdifferenttimes\tOccupied areanear AshagiAbdulrahmanlivillage andunknown heights,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\tAtdifferenttimesandthefollowingday\tUnknown heights,Krasnoselskdistrict, Armenia\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n\tAtdifferenttimesandthefollowingday\tOccupied areasnear AshagiSeyidahamdli andGorgan villages,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n8July\tAtdifferenttimes\tUnknown heights,Krasnoselskdistrict, Armenia\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n\tAtdifferenttimes\tOccupied areasnear AshagiSeyidahamdli andGorgan villages,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\tAtdifferenttimes\tOccupied areanear Kurapatkinovillage,Khajavanddistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n10July\t16.10-16.30\tUnknown heights,Krasnoselskdistrict, Armenia\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n11July\t06.05-06.15\tBerdavan village,Noyanberyanregion, Armenia\tKemerlivillage,Gazakhdistrict,Azerbaijan\tFirearmandmachinegun\t—\n12July\t17.30-17.35\tOccupied areanear Shurabadvillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n13July\t18.45-18.55\tOccupied areanear Goygoldistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n14July\t05.20-05.25\tOccupied areanear Gorganvillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t22.45-22.50\tOccupied areanear AshagiSeyidahamdlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t23.00-23.10\tOccupied areanear Garagashlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t— Tovuz River,springing fromthe territory ofArmenia\tAlibaylivillage,Tovuzdistrict,Azerbaijan\tBlastof anexplosivedevicebuiltin atoy\tA13-year-oldAzerbaijanigirl,AygunShahmaliyeva,was killedandher32-year-old mother, Elnara Shahmaliyeva,wasseriously \n wounded\n17July\t01.20-01.30\tOccupied areanear Javahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t19.40-20.00\tOccupied areanear Goranboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n18July\t17.15-17.25\tUnknown heights,Krasnoselskdistrict, Armenia\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n\t23.15-23.50\tOccupied areasnear AshagiAbdulrahmanli,Gorgan andGarakhanbaylivillages andHoradiz town,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n19July\t23.10-23.25\tOccupied areasnear AshagiSeyidahamdli andAlkhanlivillages, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n20July\t00.50-01.10\tOccupied areanear Javahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t03.40-03.50\tOccupied areasnear AshagiSeyidahamdli andAlkhanlivillages, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t13.00-13.15\tUnknown heights,Krasnoselskdistrict, Armenia\tUnknownheights,Gadabaydistrict,Azerbaijan\tFirearmandmachinegun\t—\n21July\t03.35-03.40\tOccupied areanearGarakhanbaylivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t03.50-04.00\tOccupied areanear Javahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t10.45-11.10\tOccupied areanearTapgaragoyunluvillage, Goranboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t16.45-16.50\tOccupied areanear AshaghiAbdulrahmanlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n22July\t00.05-00.09\tOccupied areanear AshaghiAbdulrahmanlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t00.25-00.45\tOccupied areanear Dashkasandistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t01.20-01.25\tOccupied areanear Javahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t05.50-06.10\tOccupied areanear Jabrayildistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n23July\t03.20-03.25\tOccupied areanear Gorganvillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n24July\t09.05-09.30\tUnknown heightsnear the Gadabaydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t14.30-14.45\tOccupied areanearTapgaragoyunluvillage, Gornaboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n25July\t00.25-00.3000.35-00.40\tOccupied areanear AshaghiAbdulrahmanlivillage andHoradiz town,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t15.30-15.50\tOccupied areanear Dashkasandistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n26July\t05.20-05.30\tOccupied areanear Javahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\t10.40-10.4520.00-20.1021.30-21.40\tAygezor andMosesgehvillages, Berddistrict, Armenia\tMundjuglu,AlibayliandAgdamvillages,Tovuz\tFirearmandmachinegun\t— district, \n Azerbaijan \n\t10.45-10.50\tUnknown heightsnear the Gadabaydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t14.30-14.40\tOccupied areanear AshagiSeyidahamdlivillage, Fizulidistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t14.40-14.50\tOccupied areanear the Jabrayildistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t14.40-15.00\tOccupied areanearTapgaragoyunluvillage, Gornaboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n27July\t12.30-12.40\tOccupied areanearTapgaragoyunluvillage, Gornaboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\t15.40\tTerritory ofArmenia borderingwith the Gazakhdistrict ofAzerbaijan\tMezemvillage,Gazakhdistrict,\tFirearm\tAresidentofMezem Azerbaijan villageofthe GazakhdistrictofAzerbaijan,NailaPoladova,wasseriously \n wounded\n28July\t03.35-03.40\tOccupied areanear the Jabrayildistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t00.40-00.5003.32-03.4003.35-03.40\tOccupied areasnear AshaghiAbdulrahmanli andGorgan villagesand Horadiz town,Fizuli district,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t17.05-17.15\tOccupied areanearTapgaragoyunluvillage, Gornaboydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t19.50-20.05\tOccupied areanear the Goygoldistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t23.35-23.45\tOccupied areanear Javahirlivillage, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n29July\t15.10-15.35\tOccupied areanear Dashkasandistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\n\t20.55-21.10\tUnknown heightsnear the Gadabaydistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\t—\t21.30-21.3321.40-21.50\tOccupied areasnear Yusifjanliand Javahirlivillages, Agdamdistrict,Azerbaijan\tAdjacentarea\tFirearmandmachinegun\tLieutenantofthearmedforcesofAzerbaijan, \n ElshadHasanov,wasshottodeath\n30July\t00.15-00.2002.07-02.1202.05-02.10\tOccupied areasnear AshaghiAbdulrahmanli andGarakhanbaylivillages, Fizulidistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—\n\t02.30-02.50\tOccupied areasnear Yusifjanliand Javahirlivillages, Agdamdistrict,Azerbaijan\tAdjacentareas\tFirearmandmachinegun\t—",
"[1] Settlements of the Republic of Azerbaijan included in this information are under occupation by the Republic of Armenia or situated close to fire point areas."
] | A_65_921 | [
"General Assembly",
"Sixty-sixth session",
"Agenda items 34, 39, 66 and 75",
"The protracted conflicts in the GUAM region and their implications for international peace, security and development",
"The situation in the occupied territories of Azerbaijan",
"Elimination of racism, racial discrimination, xenophobia and related intolerance",
"Responsibility of States for internationally wrongful acts",
"Letter dated 3 August 2011 from the Permanent Representative of Azerbaijan to the United Nations addressed to the Secretary-General",
"In accordance with instructions received from the Government of the Republic of Azerbaijan, I wish to draw your attention to the record of the continuing violations of the ceasefire by the armed forces of the Republic of Armenia in July 2011 (see annex). During that period, as a result of the violation of the ceasefire on 14 July 2011 by the Armenian side and the perpetration of terrorist crimes (see A/65/915: Soft 457), a 13-year-old girl and a military officer of the Armed Forces of Azerbaijan were killed and two civilians in Azerbaijan were seriously injured.",
"In the past few months, the number of civilian casualties in Azerbaijan living in the area of the front line has increased, and this has once again proved that Armenia's obligations under international law are disregarded in the context of the ongoing conflict resolution.",
"On 26 May 2011, the Presidents of France, the Russian Federation and the United States of America, as Co-Chairs of the Minsk Group of the Organization for Security and Cooperation in Europe, issued a joint statement in Triville, France, which, inter alia, strongly urged the parties to bring peace to the people of their countries, not war. The Armenian side responded to this call in its specific manner.",
"In addition to intensifying attacks on civilians and civilian targets in Azerbaijan and their leadership's relentlessly opening a wave of hostile statements against Azerbaijan, the President of the Republic of Armenia, Serge Sarki, has gone far more far and has completely shattered the minds of man-made manufacture and that his Government can constructively seek peace in the region. On 25 July 2011, the fifth Pan-American Olympic Conference on Armenian Languages, Literary and Armenian studies was held in Gara Chichek, Armenia (Tsakhkadzor). Among them, the Armenian national leaders met with participants and allowed young people to continue their policy of hatred and mistrust for the people of the region. (The official website of the President of Armenia is available at http://www.org/events/visits/eng/?visits=2&id=290). In response to a student's question regarding the expansion of the territory of Armenia at the expense of Turkey in neighbouring countries, Serge Saliki said that the fulfilment of this responsibility would depend on the efforts of the new generation and would be an example of the completion of his so-called “Syance: Karabakh” mandate.",
"In other words, the President of Armenia does not encourage his people to cooperate with neighbouring countries in order to promote a future of peace, prosperity and stability, but is a public incitement to new wars and violence against their young people and future generations. It is worth noting that the President of Armenia adheres to this risky concept based on the conviction that his “State ... always has the same emergence as the ablution”. Thus, the Head of State of Armenia is intended to drag the people of the country and the region as a whole into the deepests of war and suffering to achieve a disastrous political agenda.",
"President Serge Saliki did not limit the above-mentioned harmful view, and he continued to address those views at a joint press conference with the President of Poland held in Yerevan on 28 July 2011. On that occasion, he was not afraid of discussing issues related to another country, namely the sovereign territory of the Republic of Azerbaijan. According to the President of Armenia, “the eruption of the Nagorny Karabakh conflict is a result of violations of the right of the people of the ground to self-determination”, “the need to respect the legitimate right of the people of Nagorny Karabakh to have security and prosperity in their ancestral lands”. At least, it may be said that the Head of State of Armenia, at the press conference, referred to every word, including those and other views on conflicts, pre-conflict consequences and the peace process, which were solely blended.",
"The international community, including the main United Nations agencies, has found that Armenia has launched a war against Azerbaijan and occupied its territory, including the Daghlyqabagh (Nagorny Karabakh) area, carrying out a large-scale ethnic cleansing and other heinous crimes committed during the war, and has established ethnic secession entities in the occupied territories of Azerbaijan. The President of Armenia must personally assume personal responsibility for the terrorist atrocities committed against the civilian population of Azerbaijan, and he would like to know clearly that the fact that he considers “the right of the people of Nagorny Karabakh to self-determination”, has been clearly defined by the United Nations Security Council and the General Assembly and other authoritative international organizations as a violation of the sovereignty and territorial integrity of the Republic of Azerbaijan by the illegal use of force and constitutes a grave violation of the Charter of the United Nations and international law.",
"In addition, one of the so-called spoilers in Armenia is the fact that the President of Armenia has made the occupation of Daghlyq Garabagh as the “Zanguishing” or “Zother State” of the occupier of Azerbaijan, the only purpose of which is to misleading the international community and rationalize the policy of the expansion of the territory.",
"The Armenian leadership has made a comprehensive ethnic cleansing of all non-Armen present in its territory and occupied Azerbaijani territory, which has succeeded in creating a single national culture uniquely in those areas, who have published their annexation intent well earlier, at the core of their historic and ethnic hatred. The provocative, opposition to the future prospects of peace and prosperity, the order of the civilian, physical opinion and the attempts to decede the international community, including children, are no doubt about their reluctance to work for peace and attempts to create a sense of mass unrest.",
"We are convinced that Armenian leaders will have to put an end to their provocative policies to ensure that the occupation of the territory of Azerbaijan is brought to an end, renounce their territorial claims in neighbouring countries and establish civilized relations with all States in the region. The Republic of Azerbaijan sincerely believes that there is no alternative to peaceful, stable and mutually beneficial regional cooperation.",
"I should be grateful if you would have the present letter and its annex circulated as a document of the General Assembly, under agenda items 34, 39, 66 and 75.",
"Permanent Representative",
"Ambassador",
"Permanent Representative",
"Annex to the letter dated 3 August 2011 from the Permanent Representative of Azerbaijan to the United Nations addressed to the Secretary-General",
"Violations of the ceasefire by the armed forces of the Republic of Armenia in July 2011 (continued)",
"(a) Affected weapons in the area of armed conflict in Afghanistan;",
"Farms in the vicinity of the armed conflict in the immediate vicinity of Azerbaijan On 30 July, 00.15-00.2002.07-02.1205-02.10 Azerbaijan Fizuli District Ashaghi Abdulrahmanli and Garhanbayli villages in neighbouring areas: firearms and machine guns - 02.30-02.50 Azerbaijan Agdam area Yusifjanli and Javahirli villages in the occupied areas",
"AD(a) The settlements of the Republic of Azerbaijan listed in this information are occupied by the Republic of Armenia or near the area of fire."
] |
[
"非政府组织委员会",
"2012年常会",
"2012年1月30日至2月8日和2月17日",
"具有经济及社会理事会咨商地位的非政府组织根据理事会第1996/31号决议通过秘书长提交的2007-2010四年期报告",
"秘书长的说明",
"目录",
"页次\n1.商业和经济学专业学生协会国际 2\n2.中华全国妇女联合会 3\n3.全印度妇女大会 5\n4.安卡拉白血病儿童基金会 7\n5.亚美尼亚宪法权利保护中心 9\n6.亚洲信贷联盟联合会协会 11\n7.发展团结协会 12\n8.城市网：地方人类住区管理当局区域网 15\n9.地球正义 17\n10. 欧洲妇女游说团 20\n11. 安东尼奥·努涅斯·希门尼斯自然和人类基金会 22\n12.日内瓦国际模拟联合国 24\n13.生殖选择信息集团 26\n14.香港社会服务联会 27\n15. 国际自由妇女网 29",
"1. 商业和经济学专业学生协会国际",
"(特别咨商地位，2007年)",
"导言",
"商业和经济学专业学生协会国际是世界上最大的学生组织。本组织着重为青年领导能力的发展提供一个平台，在过去四年中，它已扩大到11个以上的国家。本组织的统计数据如下：60 000名成员；15 000个领导职位；15 000名实习生；4 000名伙伴；1 600所大学；470次会议；110个国家和地区；60年经验。",
"本组织的目标和宗旨",
"本组织的愿景是争取和平与实现人类潜能。它的范围依然是由高等教育机构学生和应届毕业生管理的一个全球、非政治、独立和非营利的组织。",
"本组织内的重要变化",
"本组织最近设立了2015年中期追求目标：",
"我们的实际和虚拟联系不断增加，使我们成为青年最可信和最多样化的一种声音。我们有能力发展负责任和创业型的领导能力，因而作为首选合作伙伴得到众多部门的认可。我们的协作环境使每个成员能获得高品质的商业和经济学专业学生协会国际的经验，对社会产生积极的跨代影响。",
"本组织对联合国的工作所作贡献",
"本组织大韩民国国家办事处派出一名代表出席2010年11月在大韩民国举办的联合国全球契约活动。2010年7月本组织也出席在墨西哥莱昂举行的世界青年首脑会议。商业和经济学专业学生协会国际还通过每周通讯传播联合国的信息，如竞赛通知、事件和特别新闻，每周通讯分发给110个国家和地区的60 000名成员。",
"参加联合国会议的情况",
"遗憾的是，在过去几年中本组织减少了与联合国和联合国机构的合作。",
"与联合国机构的合作",
"本组织与秘书处新闻部、经济和社会事务部、联合国儿童基金会(儿基会)、联合国教育、科学及文化组织(教科文组织)和联合国人类住区规划署(人居署)密切合作。",
"本组织为支持千年发展目标所采取的举措",
"在约旦的商业和经济学专业学生协会国际已成为管理行业实习的区域中心，为主要的区域咨询公司输送国际人才。2010年在巴林的商业和经济学专业学生协会国际推出第一个可持续性项目，其目标是提出经精心研究的全面减少碳排放量的方法。在2007年、2008年和2009年一部分，共有4 715名学生参加了编制社会方案的实习，而在2010年，实习的约1 000名学生以企业社会责任和能源为重点。约有67个国家提供了可持续性和企业社会责任方面的实习机会，而200多个非政府组织、140个公司、90个教育机构和14个政府机构提供了注重可持续性和企业社会责任的实习机会。",
"在2007年和2008年，共有1 200名青年参加了本组织的教育实习；在2009年和2010年，共有5 706名学生进行了以文化教育为重点的实习。中欧、东欧和中亚提供了约1 918个文化教育实习机会，来自相同地区的1 137名应届毕业生参加了教育实习。在2007年期间，本组织与标准渣打银行一起实施了一个项目，可能有30万青年成人——受艾滋病毒严重影响的年龄组受益。",
"其他信息",
"2010年商业和经济学专业学生协会国际在印度召开的大会期间，在海得拉巴印度商学院主办了第二届全球青年经商论坛，该论坛有110个国家和地区的600多名代表参加。论坛讨论的范围集中在三个重大议题上：利用青年的创新精神、劳动力的流动和多样性以及环境和企业可持续能力。《华尔街日报欧洲版专刊》刊登了讨论意见的汇编(见www.aiesec.org/cms/aiesec/AI/press.html＃pr6)。另外，在2010年，有两份重要的出版物展示了各成员对环境问题解决方案的民意测验结果(见www.aiesec.org/cms/aiesec/AI/press.html＃pr1)。关于本组织的全球年度报告，请查阅www.aiesec.org/cms/aiesec/AI/partners/ publications.html。",
"2. 中华全国妇女联合会",
"(特别咨商地位，1995年)",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"本组织促进《北京行动纲要》和其他成果文件的实施和国际经验的共享。它(于2010年9月16日至18日在中国上海)举办妇女参与城市发展国际论坛和纪念第四次妇女问题世界会议十五周年。代表们参加了(2009年10月22日至25日在菲律宾奎松举办的)北京加15亚太区域非政府组织论坛和(2010年4月20日至22日在越南岘港举行的)第六次千年发展目标加10和北京加15区域圆桌会议)。",
"参加联合国会议的情况",
"• 代表出席了在纽约举行的妇女地位委员会第五十一届至第五十四届会议，提交了书面发言并在亚太区域讲习班上作了发言。代表们还举办了主题为“从性别观点看金融和经济危机”的并行活动。",
"• 代表出席了(2007年12月5日至7日在日内瓦举行的)具有联合国咨商关系的非政府组织会议第二十三届大会。",
"• 代表出席了(2008年3月17日至21日在日内瓦举行的)人权理事会第七届会议和(2009年2月5日至12日在日内瓦举行的)人权理事会普遍定期审议中国人权状况的会议。",
"与联合国机构的合作",
"2009年4月20日至22日联合会与联合国国际减少灾害战略协作，在北京组织了性别与减少灾害风险的国际会议，2010年11月4日至6日与联合国儿童基金会协作，在北京举办了亚太区域合作争取儿童权利的高级别会议。本组织还与联合国系统中国办事处协作，开展下列宣传项目：(2010年)亚太区域人类发展报告；(2010年)妇女与艾滋病毒/艾滋病；(2009年和2010年)妇女与暴力。(2006-2010年)它与联合国人口基金一起从事性别平等、暴力侵害妇女和男子参与的工作；(2007-2010年)它与联合国妇女发展基金(妇发基金)，现在称为联合国促进性别平等和增强妇女权能署(妇女署)协作，从事消除对艾滋病毒/艾滋病感染者歧视的工作。(2008-2010年)联合会还与联合国开发计划署(开发署)协作，为地震灾区的穷人和易受伤害的妇女开展救灾和重建项目；(2006-2010年)与儿童基金会协作，在地震灾区就暴力侵害儿童、儿童安全和预防贩运儿童、性别平等和家庭教育以及儿童保护的问题开展工作。(2000年至2012年)本组织还与国际劳工组织协作，防止为劳动剥削目的贩运年轻妇女和儿童，(2009-2011年)与妇女署协作，通过饲养牲畜增强妇女能力。",
"本组织为支持千年发展目标所采取的举措",
"截至2010年12月，联合会的小额信贷项目已发放了237亿元人民币的贷款，帮助54万名妇女自己创业。其慈善基金会已帮助10 355名因艾滋病毒/艾滋病而成为孤儿的儿童。春蕾项目已筹资10亿元人民币并建造了1 000多所春蕾学校，它们帮助了200多万女童重返校园和对40万名女孩进行了职业技能培训。帮助中国女毕业生创业的指导项目提供了16万个实习机会和帮助了9万名女毕业生创业。本组织促进新修订的《村民委员会组织法》起草者在其中列入促进性别平等和其他的概念。联合会还在中国2 500多个县开设妇女法律援助服务热线。",
"为支持政府降低孕产妇死亡率的努力，母亲健康快车项目已向27个省分发了1 087辆汽车，有2 600万人受益。基金会还收到中国政府划拨的资金，用于对农村妇女免费检查宫颈癌和乳腺癌的医务扫描；截至2010年12月，有700多万名妇女接受了宫颈癌扫描检查，有907 000名妇女接受了乳腺癌扫描检查。联合会帮助贫困妇女应对这两个癌症的慈善基金会已筹资3 000万元人民币。",
"母亲水窖项目已在24个省使用了6亿元人民币，建造125 000个水窖和1 400个小型供水项目，有170万人受益。",
"其他信息",
"基金会计划2011年11月9日至11日在北京举行妇女与可持续发展国际论坛，以配合即将举行的里约+20会议。",
"3. 全印度妇女大会",
"(特别咨商地位，1999年)",
"导言",
"全印度妇女大会是印度最老的志愿机构之一，由玛格丽特表姐妹于1927年成立。本组织开始时主要关注妇女教育问题，但后来逐渐涉及有关妇女的各种社会和经济问题，包括“面纱”、童婚、离婚、妇女的财产权利。多年来妇女大会一直致力于妇女安全及其社会和经济权利和待遇。在国际一级，本组织是儿基会、具有联合国咨商关系的非政府组织会议、国际可持续能源网络、世界可再生能源网、恩纳吉亚性别与能源国际网和全球村能源伙伴关系的成员，并隶属于国际妇女联盟、泛太平洋和东南亚妇女协会和日本尼姆罗(NIMROO)教育中心。",
"本组织的目标和宗旨",
"目标和宗旨包括：",
"• 努力建设基于社会公正、诚信、平等权利和机会等原则的社会。",
"• 确保每个人工作和获得食物、衣服、住房、教育，社会福利设施和保障等生活必需品的固有权利得到承认，认定这些权利不应该由出生或性别的偶然事件决定，而由计划的社会分配决定。",
"• 支持每个公民提出享有基本权利和自由的权利要求。",
"• 反对一切分裂倾向和促进更多的民族融合和团结。",
"• 积极努力争取妇女和儿童的总体进步和福利并帮助妇女最充分地利用《印度宪法》赋予她们的基本权利。",
"本组织的重大变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"在过去三年中，本组织在印度各地的分支机构已培训了近4 000名运营自己微型企业的妇女，帮助她们创收。",
"参加联合国会议的情况",
"本组织驻纽约的代表参加了下列会议：",
"• 社会研究中心(2008年7月13日至23日)",
"• 世界可再生能源大会(2008年7月19日至25日)",
"• 小额信贷问题区域首脑会议(2008年7月28日至30日，印度尼西亚巴厘)",
"• 国际妇女联盟董事会会议(2008年10月4日至9日，荷兰)",
"• 生物多样性公约缔约方第十四次会议(2008年12月1日至12日，波兰波兹南)",
"• 全球非政府组织论坛(2010年2月27日和28日)",
"• 与教科文组织性别平等司合作，马沙夫(以色列国际发展合作署)关于暴力侵害妇女问题的国际讲习班(2010年5月16日至27日)",
"• 中华全国妇女联合会友好访问(2010年7月25日至31日)",
"• 世界可再生能源大会(2010年9月25日至30日，阿布扎比)",
"• 国际妇女联盟董事会和国际会议(2010年11月22日至28日，南非约翰内斯堡)",
"与联合国机构的合作",
"在世界卫生组织(世卫组织)和印度政府卫生和家庭福利部的协助下，本组织发起了比迪烟工人方案，作为其后续行动，本组织对比迪烟女工进行了职业培训，培养她们转换职业的能力。早些时候，妇女大会在印度7个邦为比迪烟女工组织了一个提高认识和替代职业的项目。本组织与美国国际开发署南亚区域能源倡议编制的小额赠款方案协作，向重点从事南普里、森格姆维哈和德里社区太阳能发电举措的妇女生计和创收自助团体提供资金。",
"本组织为支持千年发展目标所采取的举措",
"目标1. 妇女大会开办职业培训和技能提升中心，已培训了大约8 650名创建自助团体的妇女，向她们提供小额信贷项目和企业经营的工具。",
"目标2. 本组织10个分支机构除了为约400名儿童上课外，还开办非正规学校，为工作妇女提供晚间扫盲课程。",
"目标5. 本组织开设以生殖健康、一般健康、卫生和环卫教育为重点的妇幼营地。",
"目标7. 本组织与印度各地约100所学校结成伙伴关系，实施了250项关于环境保护和废物及供水卫生的宣传方案，包括种植草药花园。",
"其他信息",
"无其他信息。",
"4. 安卡拉白血病儿童基金会",
"特别咨商地位，2007年",
"导言",
"安卡拉白血病儿童基金会是一个设在安卡拉的非政府组织，在国家层面提供服务。",
"本组织的目标和宗旨",
"本组织旨在向患有白血病或慢性血液疾病的儿童提供教育和情感支持以及财政援助和医疗服务，帮助他们应对这些危及生命的疾病。本基金会还增进知识，提供国际上有关获得性和遗传性血液疾病的指导说明，以及建立和管理研究机构。2010年6月，本组织在安卡拉设立了白血病儿童村，有实验室进行可能有助于预防癌症和改善白血病治疗的临床研究。对于那些由于自己家乡缺乏救治设施而背井离乡的家庭，本组织有25套带家具的住房，这些家庭可以在自己的孩子治疗期间住在那里。对于来安卡拉进行随访检查的儿童，基金会设立了住宿设施，免费提供旅馆服务。本组织在伊斯坦布尔安纳托利亚地区和伊兹密尔开设了办事处，以便居住在这些地区的患者可方便地获取服务。2008年11月，本组织还开设了白血病儿童学校。这是一家私立学校，采用土耳其教育部的课程，免费提供幼儿园和小学教育。本组织还致力于提高对癌症的认识，因为这一疾病阻碍了可持续发展。因此，2008年，本组织开始在幼儿园、初等和中等私立学校和公立学校开展研讨课，促进健康的饮食和积极的生活方式。",
"本组织内的重要变化",
"本基金会从安卡拉白血病儿童基金会改名为洛谢夫白血病儿童基金会，去除了“安卡拉”字样，以避免造成地方性组织的印象。最近，本组织还在章程中添加扩大使命的文字，纳入了为成人癌症患者提供支持的内容。本组织不久会向成年癌症患者开放，举办知识性和心理社会讲座，且创造一个社会空间，让成年患者可以进行职业治疗。",
"本组织对联合国的工作所作贡献",
"2007年获得特别咨商地位后，本组织开始对邻国致力于同一事业的对应组织进行短期访问，以分享经验和知识。这些访问有望使双方在研究、社会和卫生服务及预防癌症等领域开展卓有成效的具体合作。",
"2010年：哈萨克斯坦阿拉木图Al Farabi医院；索非亚Sofia Childrens Onco-Hematology医院；德国波恩德国白血病基金会；西班牙巴伦西亚La FE医院和ASPANION Asociación de padres de niños con cáncer de la Comunidad Valenciana；布鲁塞尔法比奥拉皇后大学儿童医院肿瘤科。",
"2009年：安曼侯赛因国王癌症中心和侯赛因国王癌症基金会。",
"2008年：布达佩斯Together for Children with Tumours基金会；维也纳圣安娜儿童医院。",
"2007年：伦敦University College London Hospital的 Clic Sargent和Procancer Research Fund。",
"参加联合国会议的情况",
"本组织希望与对应组织、特别是联合国协作，以确保采取具体措施，找到预防疾病的办法，让弱势群体像在发达国家一样在治疗方面享有平等机会和平等权利。",
"与联合国机构的合作",
"本组织正与设在土耳其的儿童基金会办事处和联合国代表在其专门领域进行联系。",
"本组织为支持千年发展目标所采取的举措",
"本组织一直在支持、还将继续支持贫困的癌症患者，在财政上协助他们支付因疾病产生的金钱需求。因此，工作侧重于非传染性疾病。",
"其他信息",
"无。",
"5. 亚美尼亚宪法权利保护中心",
"特别咨商地位，2007年",
"导言",
"亚美尼亚宪法权利保护中心是1988年6月成立的、设在亚美尼亚瓦纳佐尔的一个非营利性非政府组织。本中心自1996年以来一直是亚美尼亚的首要人权教育非政府组织，实施了约70个项目，耗资共约200万美元。",
"本组织的目标和宗旨",
"2011-2015年战略计划是2010年5月至12月在两个讲习班期间制订的，参加者有组织成员、合作伙伴，受益人和志愿者。中心的构想“天赋之法和正义盛行的、充满爱和容忍的世界”及其战略方向最终旨在促进法治、全球正义与和平。",
"本组织内的重要变化",
"2008年，本组织成为国民议会和非政府组织网络一员，并当选为理事会成员。 2009年，本中心登记为公共理事会及其公民社会委员会人权小组委员会成员。2010年2月至11月，制定和批准了亚美尼亚人权学校的新构想。2010年，中心注册成为欧洲联盟委员会东方伙伴关系公民社会论坛亚美尼亚全国性平台的会员。",
"本组织对联合国的工作所作贡献",
"中心的贡献包括：",
"• 亚美尼亚人权学校，为亚美尼亚中等学校的人权、公民教育、国家和法律及道德教师举办了四个为期一年的高级人权培训课程。",
"• 人权图书馆网络。所有六个人权图书馆都有与联合国有关的专门部分，还作为人权教育资源中心，促进世界人权教育方案。",
"• 2007和2010年间，在其期刊Legal Culture和For the Sake of Justice上刊出了80多个与联合国有关的文章、声明和文件，旨在让社会了解联合国的活动。出版了大约2 300个期刊，分发给亚美尼亚所有地区的教育机构、图书馆、国家机构和非政府组织。",
"参加联合国会议的情况",
"代表们参加了新闻部/非政府组织会议规划委员会和妇女地位委员会在纽约举行的第五十一届至第五十四届会议的工作，并出席了这些会议。2009年，本中心与联合国设在埃里温的新闻中心合作，举办了一个论坛，协调人权教育行为者加入为世界人权教育方案第二阶段(7月2日)制订建议的工作，还向联合国人权事务高级专员办事处(人权高专办)提交了亚美尼亚外交部长的一份文件。",
"与联合国机构的合作",
"本中心合作发展了人权图书馆网络，补充了有关联合国的书籍。本中心还与人权高专办以及开发署和儿童基金会驻亚美尼亚办事处合作开展联合项目，与联合国设在埃里温的新闻中心开展联合活动和演示。本组织还与教科文组织、开发署、儿童基金会和联合国设在埃里温的新闻中心举办了人权课程。",
"本组织为支持千年发展目标所采取的举措",
"本组织采取了以下举措：",
"• 2010年7月，在对刚果民主共和国、海地、肯尼亚和塞拉利昂进行人道主义宣传期间，代表们向有需要的人士分发了保健条和维生素补充剂，每个国家约500个单位。",
"• 本中心的合作中学教授了144个学童，其人权教育青少年俱乐部对45个年轻人开展工作。",
"• 2010年4月，本中心的主要代表组织队伍并带队去海地。",
"• 在肯尼亚Kunya，中心一名代表每天在执行任务时为中学约20名受害儿童举办知识性和疗愈聚会，重点是预防方法和行动。",
"• 一名代表致力于在肯尼亚和塞拉利昂赋权于100名弱势妇女，在减少母子风险的情况下让她们生出更健康的孩子。",
"• 2009年在肯尼亚和塞拉利昂、2010年在海地举办了孕产妇保健方面的教育课程和讲习班。",
"• 在海地和肯尼亚以及在以前的宣传地点发起了六个人道主义宣传任务。还在Kunya开展了一个为期两周的人道主义宣传，以建立合作伙伴关系，培训太阳能烹饪(2010年8月和9月)。",
"• 本中心与联合国新闻中心以及教科文组织和儿童基金会设在亚美尼亚的办事处合作，协调全球教育运动亚美尼亚联盟的全国性活动。",
"其他信息",
"无。",
"6. 亚洲信贷联盟联合会协会",
"特别咨商地位，2007年",
"导言",
"亚洲信贷联盟联合会协会是信贷联盟和类似的合作金融机构在亚洲的区域代表组织。本联合会促进帮助成员应对信贷联盟面临的发展问题，诸如贫困、性别平等、获取金融服务和青年参与。",
"本组织的目标和宗旨",
"本联合会既是一个贸易协会，也是一个发展组织，其愿景是在亚洲创建一个可持续的信贷联盟体系。联合会的使命是促进和加强信贷联盟和类似的合作金融组织，使他们能够发挥自己的潜力，有效促进人民在市场中的社会经济发展。本组织是信贷联盟的区域组织，代表亚洲信贷联盟运动履行代表、发展、联络和协调职能。本联合会确保信贷联盟在所服务的社区发挥重大作用，并继续秉持原先的目标。",
"本组织内的重要变化",
"无。",
"本组织对联合国的工作所作贡献",
"本组织时常审查亚洲信贷联盟是否坚持其最初的使命，特别是向那些无法获取金融服务者提供负担得起的金融服务，以改善人民的福祉。本组织于1999年推出的新型信贷联盟小额信贷向穷人的细分市场提供可持续的金融服务：全国性合作伙伴联合会能够掌握相应的技能和产品业务框架，得以向其信贷联盟成员提供该产品。在农村也贫困、城市也贫困的国家，成员组织认为这一方案要放在优先地位，是一个扶贫工具。500多万低收入者获得了由本组织支持的信贷联盟提供的负担得起的金融服务。信贷联盟的新型小额信贷提供了一种有效的减贫手段，可提高收入，鼓励贫困户进入市场经济。本联合会不断激励和提高其合作伙伴联合会的能力，以加强对可持续战略的侧重，让更多的低收入人群受益。",
"参加联合国会议的情况",
"不适用。",
"与联合国机构的合作",
"本组织与联合国粮食和农业组织(粮农组织)的一个项目——区域渔业生计方案 合作，向其小额信贷国家咨询人引进必要的培训工具，使他们可以在项目国家培训受益者。该方案于2009年9月开始开展活动，计划在柬埔寨、印度尼西亚、菲律宾、斯里兰卡、东帝汶和越南运作4年。方案应对的问题包括，获得小额信贷服务的机会有限，以及补充和/或替代生计办法极其有限。项目旨在加强参与这一项目的小规模捕鱼社区及其依托机构的能力，以改善生计和可持续的渔业资源管理。",
"本组织为支持千年发展目标所采取的举措",
"2009年9月，联合会连同其成员组织发起了一场运动，通过采用信贷联盟的新型小额信贷方法，到2012年再让100万穷人受益，以庆祝国际合作社年。本组织协调和促进东南亚和南亚7个国家的扶贫和小额信贷计划。",
"关于信贷联盟新型小额信贷的教育方案推动普及金融知识，促进孕产妇保健、经营管理、技术技能、良好的举止和正确的行为，还宣传急救或为改善穷人的生活条件而视为必要的任何主题。方案可间接促进提高参加这一方案的穷人的教育水平。",
"妇女在信贷联盟成员中占50%，但妇女的成员身份与其参与决策的情况不相称。本组织提供了一个平台，可以让妇女领导人讨论妇女问题，并提出反馈意见，促进分配妇女在信贷联盟中的领导席位和设立妇女咨询委员会。",
"其他信息",
"无。",
"7. 发展团结协会",
"一般咨商地位；2007年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"2007年：类别更改为一般咨商地位",
"2008年：获得联合国气候变化框架公约的观察员地位",
"2009年：作为其2010-2015年战略框架的一部分，“国际合作促进发展和团结协会”成为发展团结协会",
"本组织对联合国的工作所作贡献",
"本组织在发展筹资、全球治理、企业和人权、气候正义、粮食安全、农业和贸易和千年发展目标问题等方面主张、倡导、编写政策性文件并从事媒体工作。本组织还从事题为“使援助发挥作用”(2007年)和“气候公正”(2009-2010年)的公众宣传运动。",
"参加联合国会议的情况",
"2007年",
"• 4月16日：出席了与布雷顿森林机构、世界贸易组织(世贸组织)和联合国贸易和发展会议(贸发会议)在纽约举行的特别高级别会议",
"• 10月23日和24日：在大会于纽约举行的关于发展筹资问题高级别对话上，做了题为“从蒙特雷到多哈”的发言，并且组织了“关于发展筹资选定的若干问题”的会外活动",
"2008年",
"• 4月14日：在与布雷顿森林机构、世贸组织和联合国贸发会议在纽约举行的特别高级别会议上，发表了为可持续发展筹资的创新性资金来源的讲话并举行了会外活动",
"• 4月20日至25日：出席在阿克拉举行的联合国贸发会议第十二届会议，并参加了一个关于生物燃料的讲习班",
"• 6月2日至18日：在人权理事会第八届会议上就企业与人权问题的秘书长特别代表的任务提出了口头和书面发言，并就企业与人权的人性化问题举行了一项会外活动",
"• 11月29日至12月2日：举行关于税收正义和发展筹资的会外活动，并参加了在多哈举行的审查《蒙特雷共识》执行情况的发展筹资问题后续国际会议第三次和第四次正式圆桌会议",
"2009年",
"• 9月22日：提交了一份关于气候公正的声明，并在参加在纽约举行的气候变化首脑会议适应技术的小组讨论",
"• 9月28日至10月9日：在曼谷举行的气候变化会议期间举办关于气候变化的会外活动",
"• 10月5日和6日：出席了人权高专办在日内瓦举行的关于企业与人权框架运作的磋商和向框架提交了约翰·鲁格编写的意见",
"• 11月2日至6日：在西班牙巴塞罗那举行的气候变化会议期间举办了关于气候变化和减少排放的会外活动",
"2010年",
"• 5月31日至6月18日：在人权理事会第十四届会议上就约翰·鲁格的工作做了讲话",
"• 10月11日和12日：在特别代表与民间团体利益攸关方的协商中提出了“保护、尊重和补救措施：执行任务和后续行动的关键”",
"2008-2010年",
"• 出席了在德国波恩举行的以下气候变化会议：2008年6月2日至12日；2009年3月29日至4月8日，2009年5月29日至6月3日(与马拉维举行网络转播会外活动和适应技术的小组讨论)；2009年8月10日至14日；2010年4月9日至11日，2010年5月31日至6月11日(推出直接取用做法的文件)；2010年8月2日至6日。",
"• 出席了联合国气候变化框架公约分别于2008年12月1日至12日(推出气候公正运动)在波兰的波兹南、2009年12月7日至19日(举行竞选活动)在哥本哈根，以及2010年11月29日至12月10日在墨西哥坎昆举行的第十四届、第十五届和第十六届缔约方会议。",
"与联合国机构的合作",
"本组织支持粮农组织世界粮食安全委员会在2010年开展的改革进程。",
"本组织为支持千年发展目标所采取的举措",
"在大会于2008年9月23日至25日在纽约举行的关于千年发展目标的高级别全体会议上，发展团结协会就“千年发展目标”、发展筹资和粮食价格危机，做了发言。本组织在2009年6月24日至26日于纽约举行的关于世界金融和经济危机及其对发展所造成影响的最高级别会议上，举办了关于千年发展目标和金融经济危机的会外活动。本组织还与布雷顿森林机构、世贸组织和贸发会议于2010年3月18日和19日在纽约举行了高级别特别会议。发展团结协会提出了主题为“面对全球金融危机实现千年发展目标”的讲话，并在2010年3月23日和24日在纽约举行的大会关于发展筹资的高级别对话期间，参加了关于支持有特殊需要的发展中国家的恢复和发展工作的正式圆桌会议。本组织向2010年5月的千年发展目标十周年峰会联合国与非政府组织联络处提供了投入。在2010年6月14日和15日于纽约举行的大会非正式互动听证会上，发展团结协会是第四次正式圆桌会议的答问方和联合国非政府组织联络处主题为“千年发展目标”的筹资改革问题研讨会的演讲人。在2010年6月29日于纽约举行的发展合作论坛上，本组织还举办了关于千年发展目标和发展合作中的人权等会外活动。在大会于2010年9月20日至22日在纽约举行的千年发展目标高级别全体会议，本组织举办了关于金融危机和千年发展目标的另一项会外活动。",
"其他信息",
"没有其他信息。",
"8. 城市网：地方人类住区管理当局区域网",
"特别咨商地位，1995年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重大变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"城市网一直在就地方政府和城市发展的各有关领域，与联合国各机构紧密合作，其中包括联合国训练和研究所(训研所)、联合国国际减少灾害战略、联合国人类住区规划署(联合国人居署)、亚洲及太平洋经济社会委员会(亚太经社会)、联合国区域发展中心和联合国千年运动。",
"参加联合国会议的情况",
"本组织参加了下列会议：",
"2007年",
"• 全球减少灾害风险平台(4月12日和13日,日本神户；6月5-7日,日内瓦)",
"• 联合国人居署关于城市发展的专家小组会议(5月3-5日，大韩民国江原道)",
"• 联合国人居署关于性别问题的专家小组会议(6月25日和26日,日本福冈)",
"• 亚洲及太平洋经济社会委员会(亚太经社会)关于基础设施问题的专家小组会议(6月11-13日，曼谷)",
"• 亚太经社会善政问题会议(11月15日菲律宾马卡蒂)",
"2008年",
"• 联合国训研所地方当局/行动者网络国际训练中心指导委员会(5月8日和9日，美利坚合众国佐治亚州亚特兰大)",
"• 联合国人居署关于城市发展问题专家小组会议(5月27日和28日，大韩民国江原道)",
"• 联合国人居署关于亚洲可持续发展城市问题专家小组会议(8月25-28日，菲律宾马尼拉)",
"• 联合国人居署2008-2013年中期计划(10月7-9日，内罗毕)",
"• 第四届世界城市论坛(11月3-6日，中国南京)",
"2009年",
"• 联合国千年运动全球务虚会(1月13-14日，曼谷)",
"• 减少灾害风险的国际减灾战略会议(2月23-25日，新德里)",
"• 全球减少灾害风险平台(6月16-19日，日内瓦)",
"• 亚太经社会城市防洪问题的专家小组会议(7月21-23日，曼谷)",
"• 亚太经社会环境与发展问题高级别小组(12月2-4日，曼谷)",
"2010年",
"• 国际减灾战略减少灾害风险区域工作队(1月13日和14日，日本神户)",
"• 亚太经社会北九洲干净环境倡议网络会议(2月10日和11日，北九州市)",
"• 减少灾害风险的国际减灾战略论坛(7月28-30日，中国上海)",
"• 联合国人居署关于气候变化影响的区域合作伙伴会议(9月15-17日，大韩民国昌原)",
"• 亚太经社会环境与发展问题部长级会议(9月27日，阿斯塔纳)",
"与联合国机构的合作",
"本组织在联合国机构的支持下协调了下列会议：",
"2007年",
"• 高级研究所与联合国大学举办的卫生问题研讨会(11月2日)",
"• 与训研所/联合国人居署提供的有关千年发展目标的技术咨询服务(11月18-21日，菲律宾马卡蒂)",
"2008年",
"与训研所举办的气候变化和城市湿地研讨会(9月10日和11日，首尔)",
"2009年",
"• 根据国际减灾战略的城市对城市项目发表沼气对城市构成风险的简介(2月18-20日，越南岘港)",
"每年",
"与训研所举办吉隆坡区域培训中心的培训课程",
"本组织为支持千年发展目标所采取的举措",
"• 本组织在2007至2008年之间于加德满都设立办事处,推动南亚地方政府实现千年发展目标。",
"• 本组织还于2007年发表了“南部的地方当局和南部地方当局和改变世界的八种方式”，并于2008年发表了“关于千年发展目标本地化指导原则和尼泊尔各城市的市政减贫战略文件”以及“在印尼城市实现千年发展目标的十大方法”。",
"• 在联合国人居署的支持之下，本组织于2006年至2008年，为千年发展目标的本地化，实行了一个城市到城市的项目，并通过2007年在加德满都的创新领导和社区能力活动，举办领导能力培训以及千年发展目标在亚洲城市本地化的研讨会。",
"• 城市网于2008年4月举办了一次日本论坛，主题为“没有任何借口的2015年：千年发展目标和我们”。城市网每年举行数次“挺起胸膛”运动的活动。在2009年，本组织就各城市实现千年发展目标的情况进行了一次调查，以期协助为余下几年时间制定各项活动。",
"• 在联合国人居署和亚太经社会的支持下，城市网于2010年在菲律宾马里基纳举办了将城市贫困人口的安全置于当地议程首位的区域研讨会。",
"其他信息",
"没有其他信息。",
"9. 地球正义",
"特别咨商地位，1991年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"地球正义致力于促进人权和保护环境，把人权和环境视为可持续发展的基本内容。本组织重视的问题还有气候变化、减少有毒物质的影响以及改善获得水和环境卫生的机会。",
"参加联合国会议的情况",
"人权理事会。地球正义的代表参加了人权理事会的所有届会，在会上与联合国官员以及政府组织和非政府组织的代表一道工作，促使把人权与环境联系起来。以下是地球正义在每届会议上所做工作的一些例子：",
"2007年",
"• 第四届会议。帮助负责境内流离失所者人权问题的秘书长代表作一次报告，主题是关于人权与自然灾害的操作准则(A/HRC/4/38/Add.1)。",
"• 第五届会议。与转移和倾弃有毒危险产品和废物对享受人权的不良影响问题特别报告员合作组织了一次会议，主题是“有毒废物和产品的贩运对人权构成的挑战”。",
"• 第六届会议。支持人权高专办编写关于获得安全饮水和环境卫生方面的人权义务的报告(A/HRC/6/3)。",
"2008年",
"• 第七届会议。为通过关于食物权的人权理事会第7/14号决议提供支持。",
"• 第八届会议。参加马尔代夫常驻联合国代表团组织的一次关于人权与气候变化的活动。",
"• 第九届会议。参加与科特迪瓦政府及其他理事会成员之间关于通过第9/1号决议的讨论。",
"2009年",
"• 第十届会议。为编写负责境内流离失所者人权问题的秘书长代表的报告(A/HRC/10/13)提供支助。在与理事会成员和观察员举行讨论，以通过关于人权与气候变化的第10/4号决议时发言。",
"• 第十一届会议。在以人权与气候变化为主题的互动小组讨论中发言。组织了关于以下问题的讨论：延长特别程序任务期限、通过普遍定期审查的成果文件和理事会中的小组讨论。",
"• 第十二届会议。分发了供小组讨论的提议并与科特迪瓦常驻联合国代表团参加了关于通过第12/18号决议的讨论，该决议的议题是转移和倾弃有毒危险产品和废物对享受人权的不良影响。",
"2010年",
"• 第十三届会议。与成员和观察员讨论任意拘留问题工作组第9/2009号意见的适用问题，该意见的议题是日本对环境倡导人士实施的拘留。",
"• 第十四届会议。在以有毒废物为主题的互助小组对话中发言。",
"• 第十五届会议。参加讨论以下报告：转移和倾弃有毒危险产品和废物对享受人权的不良影响问题特别报告员的报告(A/HRC/15/22)；获得安全饮水和环境卫生方面的人权义务问题独立专家的报告(A/HRC/15/31)。",
"联合国欧洲经济委员会",
"地球正义的代表参加了奥胡斯公约缔约方工作组和履约委员会的所有会议，并参加了奥胡斯公约司法救助、公共参与决策和公共参与国际论坛问题特别工作组的会议。代表们还参加了第三次缔约方会议(2008年6月11-13日)，在会议期间就履约委员会的工作发言，并参加了关于水与健康的伦敦议定书履约委员会的若干次会议(2008年3月12日和9月24-25日；2009年2月25-26日；2010年1月26-27日和6月22-23日)。",
"联合国气候变化框架公约",
"地球正义的代表参加了以下会议：第十三次缔约方会议(2007年12月3-15日，印度尼西亚，巴厘)、波恩气候变化问题会议(2009年6月2-13日)、巴塞罗那气候变化问题会议(2009年11月2-6日)、第十五次缔约方会议(2009年12月7-18日，哥本哈根)和第十六次缔约方会议(2010年11月29日-12月10日，墨西哥，坎昆)。",
"与联合国机构的合作",
"地球正义的代表参加了为宣传人权与非法转移有毒废物问题特别报告员的建议所举行的若干会议。代表们还与有害物质公约秘书处和人权高专办进行了合作。此外，代表们在联合国环境规划署(环境署)国家委员会的一些会议上发言。地球正义的代表参加了第四次斯德哥尔摩公约缔约方会议(2009年5月4-8日)和国际化学品管理会议的第二届会议(2009年5月11-15日)。",
"本组织为支持千年发展目标所采取的举措",
"地球正义的所有活动都是为了宣传确保环境可持续性与消除极端贫穷和饥饿之间的联系。",
"其他说明",
"无任何其他说明。",
"10. 欧洲妇女游说团",
"特别咨商地位，1995年",
"导言",
"欧洲妇女游说团成立于1990年，是欧洲联盟内最大的非政府妇女协会联盟。欧洲妇女游说团总共代表着2 500多个组织。",
"本组织的目标和宗旨",
"本组织的使命是努力实现男女平等，促进妇女在公共生活和私人生活所有领域的权利，为无论何种身份所有妇女争取经济和社会正义，消除所有形式的男子侵害妇女的暴力行为。游说团与其成员一道，通过民主进程开展工作，争取把性别平等和妇女权利视角纳入欧洲联盟各方面政策的主流，监测有关情况，并争取在各个层面和所有领域实现均等民主。",
"本组织内的重要变化",
"游说团在2007至2010年期间有所扩大，新纳入了30个全国性协调组织(分别来自塞浦路斯、波兰、罗马尼亚和斯洛文尼亚)，并增加了两个全欧洲范围的组织。游说团得以把根深蒂固、透明和民主的决策程序和协商程序以及其他参与性程序作为依靠。",
"本组织对联合国的工作所作贡献",
"本组织为推动建立妇女署的联合国性别平等活动体制全面改革宣传运动做出了贡献。致力于妇女权利和性别平等的非政府组织多年来一直在推动联合国改革其性别平等活动体制，终于在2010年导致成立妇女署。这一宣传运动于2008年3月在妇女地位委员会正式启动。游说团从这个宣传运动发起之日就参与其中，在宣传运动的欧洲工作组内特别活跃，于2009和2010年担任该工作组的协调人(见www.gearcampaign.org)。",
"游说团为北京+15进程作出贡献，参加了妇女地位委员会每年一度的会议，包括北京+5和北京+10特别会议。15年审查为本组织提供了一个机会，代表其在整个欧洲联盟内的成员提出建议和说明关切的问题。游说团编写了一份正式的北京+15报告，说明欧洲联盟在《北京行动纲要》的12个领域内所开展的活动(见www.womenlobby.org/spip.php?article124&lang=en)。",
"参加联合国会议的情况",
"本组织每年参加妇女地位委员会的会议并向其提交书面修正案，把这些修正案作为建议提交欧洲各国代表团，并广为散发给各非政府组织的代表。本组织每年与欧洲联盟当值主席联系，协调欧洲非政府组织核心小组的工作，并积极参加非政府组织联系核心小组和协调核心小组的活动。",
"游说团组织了关于以下主题的会议：",
"• “消除时代迷思和促进参与：女孩和妇女的需要真地如此不同？”(2007年2月2日)；",
"• “为争取妇女的权利筹资：欧洲视角”(2008年2月28日)；",
"• “从北京到布鲁塞尔，一个未竟历程”(2010年3月2日)。",
"游说团参加了关于以下主题的会议并在会上发言：",
"• “女孩塑造未来”，由芬兰妇女协会联合会和妇发基金共同组织(2007年3月1日)；",
"• 世界女童子军协会关于安全理事会第1325号决议的会议(2008年2月28日)；",
"• 钥匙组织关于妇女参加决策的会议(2009年3月2日)；",
"• “为平等和可持续发展改造经济体制”会议，瑞典绿色妇女协会组织(2010年3月7日)。",
"本组织参加了联合国欧洲经济委员会在日内瓦举行(2009年10月31日-11月3日)的北京+15区域审查会议及其非政府组织论坛。本组织：",
"• 在全体会议期间就审查《北京行动纲要》的执行进度问题提出建议；",
"• 提交了主席所做会议结论的书面修正案。",
"与联合国机构的合作",
"本组织与联合国机构和代表合作进行了以下工作：",
"• 与暴力侵害妇女行为及其因果问题特别报告员举行的欧洲协商(2007年1月11-13日，伦敦)；",
"• 联合国全球打击贩运人口活动倡议的打击贩运人口活动论坛(2008年2月13-15日，维也纳)；",
"• 与妇发基金和妇女参与发展网络共同组织一次活动，主题是“欧洲和独立国家联合体的妇女与移徙问题”(2009年9月4日，布鲁塞尔)并随后发表一篇报告；",
"• 人权高专办组织的一次会议，主题是：“从人权角度打击人口贩运：挑战与机会。执行关于人权和人口贩运问题的原则和准则”，(2010年5月27-28日，日内瓦)；",
"• 暴力侵害妇女问题专家组关于制止暴力侵害妇女国家行动计划良好做法的会议(2010年9月13-15日，西班牙港)。",
"本组织为支持千年发展目标所采取的举措",
"本组织经常与集中于发展议题，其任务是支持落实千年发展目标的组织进行合作，特别是从妇女权利的角度开展这种合作。",
"其他说明",
"无任何其他说明。",
"11. 安东尼奥·努涅斯·希门尼斯自然和人类基金会",
"特别咨商地位，2007年",
"导言",
"安东尼奥·努涅斯·希门尼斯自然和人类基金会是一个民间和非政府性质、自治和非营利的文化和科学组织。本组织集中于研究和实施关于环境保护及其与文化和社会之间关系的方案、项目和行动。本组织与古巴国内其他非政府组织合作，向人民宣传必须保护自然和传统价值观。本组织与本国和外国机构合作发展文化和科学，促进和支持除其他外，保护古巴国家特性的项目。本组织的主要方案是历史地理研究、地方一级的可持续发展、可持续消费、保护文化遗产、环境教育和保护生物多样性，所有这些方案都有一个编辑小组提供支助。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"本组织的项目是为了在社会各级实现可持续发展，但特别重视地方一级。本组织执行了旨在实现粮食主权，保证提供社区所需主食的项目。本组织的历史地理研究工作支持贯彻其文化价值观，以保护传统为目标，因此这项工作与教科文组织有很大关系。本组织在与青年一道工作时鼓励热爱科学和研究，并在其所有行动中实行性别平等，以保证适当的代表性和培训。本组织与开发署驻古巴各办事处并同诸如教科文组织、儿童基金会和粮农组织这样的组织保持强有力的关系。本组织参加了环境署、粮农组织和教科文组织协调的很多活动，并与开发署驻哈瓦那办事处进行了合作。本组织为联合国主办的不同活动进行了筹备工作和后续工作，并与古巴的其他非政府组织一道努力，为国家一级的项目和行动制订具体提案，其中一些组织已经在经济及社会理事会获得咨商地位。",
"参加联合国会议的情况",
"2008年",
"• 可持续发展委员会第十六届会议(5月5-16日，纽约)",
"• 环境署拉丁美洲和加勒比民间社会首脑会议，其目的是筹备第十次全球民间社会论坛(布宜诺斯艾利斯)",
"• 促进科学研究的全国讲习班，教科文组织主办(古巴)",
"• 拉丁美洲和加勒比关于城市农业的公共政策经验交流会，人居署主办(厄瓜多尔)",
"• 为八个脆弱社区的代表筹备和举办一个讲习班(厄瓜多尔，埃斯梅拉达)",
"• 以“古巴的气候变化挑战：建筑与飓风，2008年的经历”为主题的技术讲习班和圆桌会议，与人居署以及建筑设计学会的全国建筑设计师和工程师协会联合主办(12月，古巴)",
"2009年",
"• 推动古巴非政府组织之间为更好地执行国际项目而开展对话和建立联盟的讲习班，与开发署共同举办(2月23日，古巴)",
"• 人民论坛，第十五次缔约方会议(12月，哥本哈根)",
"2010年",
"• 提交环境署理事会咨商地位申请",
"• 环境署拉丁美洲和加勒比民间社会协商会(墨西哥，科苏梅尔)",
"• “气候变化与妇女”，与人居署联合主办(古巴)。",
"与联合国机构的合作",
"本组织一直在与环境署驻哈瓦那区域办事处密切合作，以执行以下项目：",
"• “安东尼奥·努涅斯·希门尼斯档案数字化”，教科文组织区域办事处和古巴国家委员会提供经费",
"• “古巴妇女开发的适应气候变化和管理风险的方法”，瑞士发展署提供经费，与人居署联合执行",
"• “城市风险管理，一个适应气候变化的战略”，由加拿大驻古巴大使馆地方举措基金提供资金，与人居署联合执行。",
"本组织为支持千年发展目标所采取的举措",
"本组织集中于环境教育工作，涉及两个侧重于保护环境和教育的千年发展目标，例如可持续消费、历史地理研究、维护传统和地方可持续发展。本组织的环境教育和生物多样性保护方案的总目标，是帮助在古巴社会中形成环境保护文化，使社会在可持续的基础上与环境保持协调，以便有利于保护生物多样性和脆弱的生态系统。",
"其他说明",
"无任何其他说明。",
"12. 日内瓦国际模拟联合国",
"特别咨商地位，2007年",
"导言",
"日内瓦国际模拟联合国设在日内瓦，是一个完全由学生管理的非政府组织。本组织通过在美国的分会在纽约也很活跃。",
"本组织的目标和宗旨",
"本组织的任务是通过组织各种教育活动，让学生们了解联合国，从而在青年人，特别是在学生中宣传联合国的价值观和各项原则。",
"本组织内的重要变化",
"对组织章程所作的重要修改包括，创建了咨询委员会，以便更好地传授知识。本组织于2010年获得了日内瓦大学的认可，并与日内瓦城和日内瓦州发展了关系，为今后开展合作和筹措资金奠定了基础。",
"本组织对联合国的工作所作贡献",
"日内瓦国际模拟联合国组织的所有活动都与联合国的议程有关，可分为以下几类：模拟活动、研讨会和教育参访活动。在年度会议中模拟活动中，学生们扮演外交官和联合国秘书处代表，从而了解了联合国的工作情况。引人注目的一系列会议对人道主义干预(2009年)、人类安全(2010年)及妇女发展(2011年)等主题起到了支持作用。本组织还为全球人道主义论坛青年论坛开幕式举办了《联合国气候变化框架公约》模拟活动和模拟联合国社会活动(2009年)，还举办了长达一个学期的大会和安全理事会会议模拟活动(2010-2011年)。本组织举办了各种研讨会，为学生们提供与同伴、联合国官员和学术界进行交流的机会。学生们可以借助这些研讨会就与联合国有关的问题发表意见。曾举办的活动包括，在联合国日举办的一年一度的《联合国宪章》生效纪念活动(2008、2009、2010年)和在国际青年年(2011年)举办的为期三天的以“青年视角：21世纪的教育”为主题的关于青年人的期望和理想的会议。本组织还安排了教育参访活动，让学生们观察和了解联合国在纽约和日内瓦的工作情况(2009、2010和2011年)及其在黎巴嫩(2009年)和肯尼亚(2011年)外地机构的工作情况。",
"参加联合国会议的情况",
"在国际青年年之际，日内瓦国际模拟联合国正在组织一场会边活动，介绍2011年7月在日内瓦举行的经济及社会理事会高级别部分的成果。活动的题目是“青年视角：21世纪的教育”。",
"与联合国机构的合作",
"本组织就其年度工作方案所列的几项活动和联合国主办的活动与联合国进行了合作。一年一度的《联合国宪章》生效纪念活动是与非政府组织联络处和联合国日内瓦办事处总干事共同组织的。其他合作包括，编写和推介安盟组织的“日内瓦系列讲座：人权是否具有普适性？”(2008年)。2009年，本组织为新闻部全球模拟联合国项目举办了社会性会边活动。本组织还于2009年与联合国救济和工程处和教科文组织协调并合作进行了赴黎巴嫩学习活动，并于2011年与人居署协调并合作进行了肯尼亚住房权利研究活动。",
"本组织为支持千年发展目标所采取的举措",
"本组织还通过一年一度的活动计划提高人们对千年发展目标的认识，鼓励就对青年有特别影响的各项目标交换看法。2009年联合国气候变化框架公约缔约国会议模拟活动讨论了环境可持续性问题，向与会者介绍了国家适应行动纲领项目。2010年纪念《联合国宪章》生效活动讨论了青年人就业、与性别有关的文盲和遏制艾滋病毒/艾滋病蔓延问题。2011年活动是为了支持“妇女与发展：推动从性别均衡角度出发处理发展伦理问题”；2011年青年视角会议讨论了关键的教育问题，尤其是教育普及、两性平等、公民权和融合等问题。",
"补充资料",
"无补充资料。",
"13. 生殖选择信息集团",
"特别咨商地位，2007年",
"导言",
"生殖选择信息集团是墨西哥的一个非营利非政府组织。",
"本组织的目标和宗旨",
"本组织的使命是，在人权框架内，促进对生殖权，尤其是堕胎权的承认、尊重和捍卫，维护妇女的自由选择。本组织的工作对象是三个政府分支的决策者和公职人员以及意见领袖和媒体。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"本组织参加了人权高专办最初在2003年制定的《墨西哥全国人权状况诊断》的更新工作。本组织还参加了全国人权委员会新的理事成员选举的监督工作，与参议院委员会一道共同制定了基本的透明度和公民参与标准，例如听证会。本组织是墨西哥城市人权方案监督评价机关的成员，还参加了卫生部服务提供者的研讨会，本组织的一位律师在研讨会上向400多名医疗保健专业人员介绍了人权和生殖权情况。本集团是唯一一个专门从事妇女权利工作的组织。",
"参加联合国会议的情况",
"2007年",
"妇女地位委员会第五十一届会议",
"2008年",
"妇女地位委员会第五十二届会议",
"2009年",
"• 人口与发展委员会第四十二届会议",
"• 合作伙伴在行动会议(9月2日至4日，柏林)",
"• 在落实《国际人口与发展会议行动纲领》方面的进展情况和重要行动(10月7日至8日，圣地亚哥)",
"2010年",
"• 人权事务委员会第九十八届会议(3月8日至9日，纽约)",
"• 妇女地位委员会第五十四届会议(3月1日至12日，纽约)",
"• 为推动关于改善产妇保健的千年发展目标第5项目标而召开的2010年妇女分娩问题会议(6月7日至9日，哥伦比亚特区华盛顿)",
"• 全球健康理事会关于全球健康、目标和计量年度会议(6月14日至18日，哥伦比亚特区华盛顿)",
"• 世界青年大会(8月23日至27日，墨西哥瓜纳华托)",
"与联合国机构的合作",
"在墨西哥2009年接受普遍定期审议的评价时，本组织向人权理事会发送了资料。本组织还在人人有权享有能达到的最高标准身心健康问题特别报告员与民间社会组织进行协商时向特别报告员提供了资料。本组织还要求特别报告员评论由于在国家级修改宪法而导致的墨西哥政府侵犯妇女人权的问题(2010年，危地马拉城)。",
"本组织为支持千年发展目标所采取的举措",
"本组织是2007年在墨西哥城进行的堕胎非刑罪化进程的重要行为体。本组织参与了安全堕胎服务的制度化工作和为提供高质量服务为重要人员提供的培训活动，这是对第5项目标的一大贡献。2008年，本组织参加了一项关于性权利和生殖权利的题为“妇女参与发展新时代新途径运动”的旨在建设倡导妇女健康能力的国际倡议(千年发展议程)，评估和监测了千年发展目标，重点是性权利和生殖健康权利政策的执行情况。",
"补充资料",
"无任何补充资料。",
"14. 香港社会服务联会",
"特别咨商地位，2003年",
"导言",
"香港社会服务联会是一个由370多个成员组成的伞形组织，在中国香港各地通过3 000个服务单位提供90%以上的社会福利服务。",
"本组织的目标和宗旨",
"本组织代表的是致力于维持和发展香港社会福利的非政府福利机构。联会的目标是与各成员机构一道共同推动社会服务的发展，加强社会福利服务机构的问责，推动社会福利服务的改善；推动各机构更好地为社区服务；倡导平等、公正、社会融合和富有爱心的社会；推动本地福利部门成为国际社会的优秀典范。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"本组织一直与联合国系统及其伙伴开展合作，在本区域宣传有关的国际公约，支持本地非政府组织满足香港社会对社会服务的需要。",
"参加联合国会议的情况",
"本组织代表参加了下列会议：",
"• 社会发展委员会第四十五届会议(2007年2月7日至16日，纽约)",
"• 第三次因特网治理论坛会议(2008年12月3日至6日，印度海得拉巴)",
"• 社会发展委员会第四十七届会议(2009年2月4日至13日，纽约)",
"• 第十二届联合国预防犯罪和刑事司法大会(2010年4月12日至19日，巴西萨尔瓦多)",
"与联合国机构的合作情况",
"• 与国际社会工作学校协会、国际社会福利理事会、国际社会工作者联合会和香港本地的七个组织共同主办了“2010年社会工作和社会发展问题：议程世界联合会议”。联合国艾滋病毒/艾滋病联合规划署应邀举办了一次关于促进《消除对妇女一切形式歧视公约》的讲习班。",
"• 协助编写了《经济、社会、文化权利国际公约》香港第三次报告，并提交给了经济、社会和文化权利委员会。",
"• 提交了公民报告，其中汇集了福利部门和服务使用者对香港履行各项人权公约情况的意见和关切。",
"本组织为支持千年发展目标所采取的举措",
"联会采取了下列主要行动：",
"目标1.",
"• 2008年10月16日，举办了以“减缓贫困的未来政策路径”主题的论坛，以此来纪念国际消除贫困日；2009年10月16日，举办了帮助低收入家庭的学生求学研讨会和新书发布仪式；2010年10月15日，举办了以“有关政策是否切实解决了贫困问题？”为主题的论坛。",
"• 在2007年至2010年向香港行政长官提交的年度呈件中就加强减贫工作进行了阐述。",
"• 就为支持弱势儿童的长期发育设立儿童发展基金问题向以前的贫困问题委员会提交了建议书和文件。",
"• 2007年至2010年就贫困问题进行了12项研究/咨询研究并举办了9次研讨会/论坛。",
"• 与公司合作，就为贫困家庭提供回收/返修计算机和宽带服务进行协调。",
"目标3.",
"就妇女和女孩状况基本统计资料举行了协商会(2010年10月7日，香港)。",
"目标4.",
"• 2007年6月和7月，举办了以“儿童死亡事故审查与儿童保护问题”专题小组和论坛",
"• 就施虐者辅导计划和儿童死亡事故审查呈递了文件",
"• 2007年7月13日，就儿童死亡事故审查试点项目举办了研讨会",
"目标8.",
"会同3个国际组织和7个本地组织举办了2010年6月10日至14日召开的2010年社会工作和社会发展问题世界联合会议。",
"补充资料",
"本组织为促进人权开展的活动包括，反种族歧视宣传和推动残疾人融入社会。",
"15. 国际自由妇女网",
"特别咨商地位，2003年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"国际自由妇女网的宗旨是，在全世界，特别是国家和国际两极推广民主思想。本组织认为，妇女和男子在所有决策进程中具有同等的代表性对这一发展至关重要。本组织还力求打击一切阻碍妇女作为完整公民进行参与的性别歧视作法，不论这些作法以何种形式出现，也不论其属于人身、公民、经济还是法律范畴。本组织大力支持联合国以及经济及社会理事会的目标，努力推动各国采行旨在世界各地保护和提高妇女地位的联合国各项公约。",
"本组织内的重要变化",
"本组织成员的地理分布有所扩展。",
"本组织对联合国的工作所作贡献",
"本组织的代表参加了下列活动：",
"2007年",
"• 妇女对社会的贡献研讨会(1月26日至27日，西班牙巴塞罗那)",
"• 欧洲妇女游说团大会(10月25日至29日，保加利亚博罗维茨和萨莫科夫)",
"• 贩运人口问题研讨会(11月16日，德国汉堡)",
"• 加强网络和打击人口贩运问题研讨会(12月8日，中国台湾省)",
"2008年",
"以“建设非暴力社会，解决冲突”为主题的会议和关于妇女在和平进程中的作用的圆桌会议(5月17日，北爱尔兰贝尔法斯特)。",
"2009年",
"• 人权和民主会议(1月25日，法国斯特拉斯堡)",
"• 21世纪妇女与教育问题圆桌会议(10月30日，开罗)",
"2010年",
"• 支持民主力量和促进人权会议(6月11日，柏林)",
"• 以“非洲的昨天、今天与明天”为主题的研讨会(11月13日，南非开普敦)",
"参加联合国会议的情况",
"本组织提交了下列书面和(或)口头声明：",
"2007年",
"在妇女地位委员会第五十一届会议上(2月26日至3月9日，纽约)：“消除一些形式对女童的歧视和暴力行为”和“被和平遗忘、被迫参战的女孩和男孩”。",
"2008年",
"在妇女地位委员会第五十二届会议上(2月25日至3月7日，纽约)：“妇女平等参与冲突预防、处理和冲突化解及重组后建设和平工作”和“为两性平等问题资助非政府组织”。",
"2009年",
"在妇女地位委员会第五十三届会议上(3月2日至13日，纽约)：“妇女和男子平等参与各级决策”。",
"2010年",
"在妇女地位委员会第五十四届会议上(3月1日至12日，纽约)：“《北京宣言和行动纲要》(1995年)执行情况15年审查和大会第二十三届特别会议的成果，尤其是武装冲突中的妇女、教育、健康、暴力、女童和参与决策情况的成果”和“民间社会对《北京宣言和行动纲要》和千年发展目标实际落实情况的认识”。",
"与联合国机构的合作",
"无任何资料。",
"本组织为支持千年发展目标所采取的举措",
"本组织所开展的活动主要集中在涉及下列方面的社会认识活动：妇女人权、两性平等、妇女参与决策、赋予妇女权利、普及教育(尤其是妇女和女孩)和适当的妇女健康计划。本组织的代表为荷兰教科文组织中心——西部非洲教育资源筹资中心提供了帮助。这些中心在农村地区向当地人介绍千年发展目标。本组织的代表在本国分别参加了妇女节(3月8日)活动、与安全理事会第1325(2000)号决议有关的方案及千年发展目标方案和举措。",
"补充资料",
"无任何补充资料。"
] | [
"Committee on Non-Governmental Organizations",
"2012 regular session",
"30 January-8 February 2012, and 17 February 2012",
"Quadrennial reports for the period 2007-2010 submitted by non-governmental organizations in consultative status with the Economic and Social Council through the Secretary-General pursuant to Council resolution 1996/31",
"Note by the Secretary-General",
"Contents",
"Page1.AIESEC 2 \nInternational 2.All 3 China Women’s \nFederation 3.All 5 India Women’s \nConference 4.Ankara 7 Foundation of Children with \nLeukemia 5.Armenian 9 Constitutional Right-Protective \nCentre 6.Association 11 of Asian Confederation of Credit \nUnions \n7. CIDSE 138.CITYNET: 15 Regional Network of Local Authorities for the Management of Human \nSettlements \n9.Earthjustice 1810.European 21 Women’s \nLobby 11. Fundación 23 Antonio Núñez Jiménez de la Naturaleza y el \nHombre 12. Geneva 25 International Model United \nNations 13. Grupo 27 de Información en Reproducción \nElegida 14.Hong 29 Kong Council of Social \nService 15. International 31 Network of Liberal \nWomen",
"1. AIESEC International",
"Special, 2007",
"Introduction",
"AIESEC International is the world’s largest student-run organization. Focused on providing a platform for youth leadership development, during the past four years it has expanded to 11 more countries. Statistics for the organization are as follows: 60,000 members; 15,000 leadership positions; 15,000 internships; 4,000 partners; 1,600 universities; 470 conferences; 110 countries and territories; and 60 years of experience.",
"Aims and purposes of the organization",
"The organization’s vision is about peace and fulfilment of humankind’s potential. Its scope remains a global, non-political, independent, not-for-profit organization run by students and recent graduates of institutions of higher education.",
"Significant changes in the organization",
"The organization recently created its mid-term ambition for the year 2015:",
"Our growing physical and virtual reach makes us the most credible and diverse youth voice. We are recognized across sectors as the first-choice partner for our ability to develop responsible and entrepreneurial leadership. Our collaborative environment empowers every member to live a high-quality AIESEC experience, creating a cross-generational positive impact on society.",
"Contribution of the organization to the work of the United Nations",
"The organization’s national office in the Republic of Korea sent a representative to attend the United Nations Global Compact event held there in November 2010. The organization was also present at the World Youth Summit held in Leon, Mexico, in July 2010. AIESEC International also disseminates information from the United Nations, such as notices of competitions, events and special news, through its weekly newsletter, which reaches 60,000 members in 110 countries and territories.",
"Participation in meetings of the United Nations",
"Unfortunately during the last couple of years the organization has reduced its collaboration with the United Nations and United Nations bodies.",
"Cooperation with United Nations bodies",
"The organization cooperates closely with the Department of Public Information; the Department of Economic and Social Affairs of the Secretary; the United Nations Children’s Fund (UNICEF); the United Nations Educational, Scientific and Cultural Organization (UNESCO); and the United Nations Human Settlements Programme (UN-Habitat).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"AIESEC in Jordan has become a regional hub for management internships, bringing international talent to key regional consulting firms. AIESEC in Bahrain has launched its first sustainability project in 2010, with the goal of presenting a well-researched thorough reduction method for carbon emissions. In 2007, 2008 and part of 2009, a total of 4,715 students participated in internships to develop social programmes, while in 2010 approximately 1,000 students in internships focused on corporate social responsibility and energy. Some 67 countries offered internships in sustainability and corporate social responsibility, while more than 200 non‑governmental organizations, 140 corporations, 90 educational institutions and 14 governmental institutions provided internships focusing on sustainability and corporate social responsibility.",
"In 2007 and 2008, a total of 1,200 young people participated in education internships with the organization; in 2009 and 2010, a total of 5,706 students in internships focused on cultural education. Some 1,918 internships in Central and Eastern Europe and Central Asia provided cultural education, and 1,137 recent graduates from those same areas participated in education internships. During 2007, the organization ran a project with the Standard Chartered Bank with the potential to reach 300,000 young adults — an age group significantly affected by HIV.",
"Additional information",
"During the 2010 AIESEC International Congress, celebrated in India, the organization managed the second Global Youth to Business Forum for more than 600 delegates from 110 countries and territories at the Indian School of Business in Hyderabad. The scope of the discussions at the forum focused on three key topics: harnessing youth innovation, labour mobility and diversity, and environmental and corporate sustainability. A compilation of ideas was published in a special edition of the Wall Street Journal Europe (see www.aiesec.org/cms/aiesec/AI/press.html#pr6). Also during 2010, two important publications revealed the results of a member poll on solutions for environmental issues (see www.aiesec.org/cms/aiesec/AI/ press.html#pr1). For the organization’s global annual reports, visit www.aiesec.org/ cms/aiesec/AI/partners/publications.html.",
"2. All China Women’s Federation",
"Special, 1995",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"The organization promotes the implementation of the Beijing Platform for Action and other outcome documents, and the sharing of international experiences. It held the International Forum on Women in Urban Development and Commemoration of the Fifteenth Anniversary of the Fourth World Conference on Women (Shanghai, China, 16-18 September 2010). Representatives attended the Asia Pacific NGO Forum on Beijing +15 (Quezon, Philippines, 22-25 October 2009) and the sixth regional round table on the Millennium Development Goals +10 and Beijing +15 (Danang, Viet Nam, 20-22 April 2010).",
"Participation in meetings of the United Nations",
"• Representatives attended the fifty-first to fifty-fourth sessions of the Commission on the Status of Women, held in New York, submitted written statements and made presentations at the Asia Pacific workshops. Representatives also held a parallel event on the theme of “Financial and economic crisis from a gender perspective”.",
"• Representatives attended the twenty-third general assembly of the Conference of Non-Governmental Organizations in Consultative Relationship with the United Nations (Geneva, 5-7 December 2007).",
"• Representatives attended the seventh session of the Human Rights Council (Geneva, 17-21 March 2008), and the Human Rights Council’s universal periodic review on the human rights situation in China (Geneva, 5-12 February 2009).",
"Cooperation with United Nations bodies",
"The Federation organized the International Conference on Gender and Disaster Risk Reduction with the United Nations International Strategy for Disaster Reduction in Beijing from 20 to 22 April 2009, and the High-level Meeting on Cooperation for Child Rights in the Asia Pacific Region with UNICEF in Beijing from 4 to 6 November 2010. The organization also conducted advocacy projects with the United Nations system office in China on human development reports in the Asia Pacific region (2010), women and HIV/AIDS (2010) and women and violence (2009, 2010). It worked with the United Nations Population Fund on gender equality, on violence against women and on men’s participation (2006-2010) and with the United Nations Development Fund for Women (UNIFEM), which is now the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), on eliminating discrimination against people living with HIV/AIDS (2007-2010). The Federation also worked with the United Nations Development Programme (UNDP) on disaster relief and reconstruction projects for poor and vulnerable women in earthquake-stricken areas (2008-2010), and with UNICEF on violence against children, child safety and trafficking prevention, gender equality and family education, and child protection in earthquake-stricken areas (2006-2010). The organization is also working with the International Labour Organization to prevent trafficking in young women and children for labour exploitation purposes (2000-2012), and with UN-Women on women empowerment through the raising of livestock (2009-2011).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"As at December 2010, the Federation’s microcredit project has issued RMB 23.7 billion to help 540,000 women start their own businesses. Its charity foundation has helped 10,355 children who were orphaned as a result of HIV/AIDS. The Spring Bud project has raised RMB 1 billion and built more than 1,000 Spring Bud schools, which have helped more than 2 million girls return to school and have trained 400,000 girls in vocational skills. Its mentoring project to help female graduates in China start businesses has provided 160,000 internship opportunities and helped 90,000 woman graduates start businesses. The organization has pushed the drafters of the newly amended Organic Law of the Villagers Committees to include concepts such as the promotion of gender equality. The Federation also operates women’s legal aid service hotlines in over 2,500 counties in China.",
"The Health Express for Mothers project has distributed 1,087 vehicles to 27 provinces, benefiting 26 million people, to support the Government’s efforts to lower the maternal mortality rate. The Foundation has also received an allocation from the Government of China to conduct free medical scans to detect cervical cancer and breast cancer among rural women; as at December 2010, more than 7 million women had been scanned for cervical cancer and 907,000 women had been scanned for breast cancer. The Federation’s charity foundation to help poor women with the two cancers has raised RMB 30 million.",
"The Water Cellar for Mothers project has spent RMB 600 million to build 125,000 water cellars and 1,400 small water-supply projects, resulting in 1.7 million beneficiaries in 24 provinces.",
"Additional information",
"The Foundation plans to hold an international forum on women and sustainable development in Beijing from 9 to 11 November 2011 to contribute to the upcoming Rio+20 Conference.",
"3. All India Women’s Conference",
"Special, 1999",
"Introduction",
"The All India Women’s Conference, one of the oldest voluntary organizations in the country, was founded in 1927 by Margaret Cousins. The organization’s initial main concern was women’s education, but it has gradually taken on various social and economic issues concerning women, including “purdha”, child marriage, divorce and women’s property rights. The Conference has worked over the years for the security of women and their social and economic rights and entitlements. At the international level, the organization is a member of UNICEF, the Conference of Non-Governmental Organizations in Consultative Relationship with the United Nations, International Networking for Sustainable Energy, the World Renewable Energy Network, the ENERGIA International Network on Gender and Energy and the Global Village Energy Partnership, and is affiliated with the International Alliance of Women, the Pan Pacific and Southeast Asia Women’s Association and the NIMROO Education Centre in Japan.",
"Aims and purposes of the organization",
"Aims and purposes include:",
"• To work for a society based on principles of social justice, integrity, equal rights and opportunity.",
"• To secure recognition for the inherent rights of every human being to work and to achieve the essentials of life, such as food, clothing, housing, education, social amenities and securities, on the belief that these should not be determined by accident of birth or sex but by planned social distribution.",
"• To support the claim of every citizen to the right to enjoy basic rights and liberties.",
"• To stand against all separatist tendencies and to promote greater national integration and unity.",
"• To work actively for the general progress and welfare of women and children and to help women to utilize to the fullest fundamental rights conferred on them by the Constitution of India.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"In the past three years the organization’s branches across India have trained nearly 4,000 women who are now running their own microenterprises, helping them generate income.",
"Participation in meetings of the United Nations",
"The organization’s representative in New York participated in the following meetings:",
"• Centre for Social Research (13-23 July 2008)",
"• World Renewable Energy Congress (19-25 July 2008)",
"• Microcredit Regional Summit (Bali, Indonesia, 28-30 July 2008)",
"• International Alliance of Women board meeting (Netherlands, 4-9 October 2008)",
"• The fourteenth Conference of the Parties to the Convention on Biological Diversity (Poznan, Poland, 1-12 December 2008)",
"• Global NGO Forum (27-28 February 2010)",
"• MASHAV (the Israel Agency for International Development Cooperation) international workshop on violence against women in cooperation with the UNESCO Division for Gender Equality (16-27 May 2010)",
"• All China Women’s Federation friendship visit (25-31 July 2010)",
"• World Renewable Energy Congress (Abu Dhabi, 25-30 September 2010)",
"• International Alliance of Women board and international meeting (Johannesburg, South Africa, 22-28 November 2010)",
"Cooperation with United Nations bodies",
"As a follow-up to the Bidi Workers Programme that was initiated with the assistance from the World Health Organization (WHO) and the Ministry of Health and Family Welfare of the Government of India, the organization conducted vocational training for women bidi workers to empower them with alternate vocations. Earlier, the Conference had organized a project on sensitization and alternate vocation for women bidi workers in seven states in India. The organization worked with the small grants programme developed by the United States Agency for International Development South Asia Regional Initiative for Energy to fund women self-help groups for livelihood and income generation that focused on solar electricity initiatives in communities in Dakshinpuri, Sangam Vihar, Delhi.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Goal 1. The Conference runs vocational training and skill upgrade centres and has trained some 8,650 women to create self-help groups, thereby providing them with the tools for microcredit projects and entrepreneurship.",
"Goal 2. Ten of the organization’s branches ran informal schools that conducted evening literacy classes for working women, in addition to teaching some 400 children.",
"Goal 5. The organization conducted camps for mother and child focusing on reproductive health, general health, hygiene and sanitation education.",
"Goal 7. The organization has partnered with some 100 schools throughout India to conduct 250 awareness programmes on environmental protection and waste and water sanitation, including the raising of herbal gardens.",
"Additional information",
"There is no additional information.",
"4. Ankara Foundation of Children with Leukemia",
"Special, 2007",
"Introduction",
"Ankara Foundation of Children with Leukemia is a non-governmental organization based in Ankara that serves at the national level.",
"Aims and purposes of the organization",
"The organization aims to provide educational and emotional support, financial assistance and health services for children who have leukaemia or chronic blood disorders in order to help them cope with these life-threatening illnesses. The Foundation also promotes knowledge and provides instruction on an international level regarding acquired and inherited blood diseases, and establishes and operates research institutions. In June 2010, the organization established the Village for Children with Leukemia in Ankara, which consists of laboratories conducting clinical research that may play a part in the prevention of cancer and improvement of the treatment of leukaemia. For families who are displaced due to the lack of treatment facilities in their hometowns, the organization owns 25 furnished houses where families may live during their child’s treatment. For children who come to Ankara for follow-up examinations, the Foundation has built a lodging facility that provides hotel service free of charge. The organization has opened offices in the Anatolian region of Istanbul and in Izmir in order to enable patients residing in those areas to access services easily. It also established the School for Children with Leukemia in November 2008. This private school, which follows the curriculum of the Ministry of Education of Turkey, provides nursery and primary education free of charge. The organization also works to increase awareness of cancer, as the disease is an obstacle for sustainable development. As a result, the organization started conducting seminars at nursery, elementary and secondary private and state schools in 2008 that promote a healthy diet and an active lifestyle.",
"Significant changes in the organization",
"The foundation changed its name from Ankara Foundation of Children with Leukemia to LOSEV Foundation for Children with Leukemia. “Ankara” was dropped to avoid the impression of a local organization. It also has recently added language to its constitution that expands its mission to include the support of adult cancer patients, and the organization will soon open its doors to adult cancer patients by organizing informative and psychosocial seminars and creating a social space where adult patients may carry out occupational therapy.",
"Contribution of the organization to the work of the United Nations",
"After receiving special consultative status in 2007, the organization started conducting short-term visits to equivalent organizations in nearby countries working on the same cause in order to share experience and knowledge. It is hoped that these visits will result in mutually fruitful concrete cooperation in the fields of research, social and health services and cancer prevention.",
"2010: Al Farabi Hospital in Almaty, Kazakhstan; Sofia Childrens Onco-Hematology Hospital in Sofia; German Leukemia Foundation in Bonn, Germany; La FE Hospital and ASPANION Asociación de padres de niños con cáncer de la Comunidad Valenciana in Valencia, Spain; Queen Fabiola University Children’s Hospital Oncology Department in Brussels.",
"2009: King Hussein Cancer Center and King Hussein Cancer Foundation in Amman.",
"2008: Together for Children with Tumours Foundation in Budapest; St. Anna’s Children Hospital in Vienna.",
"2007: Clic Sargent, University College London Hospital and Procancer Research Fund in London.",
"Participation in meetings of the United Nations",
"The organization wishes to collaborate with equivalent organizations and especially the United Nations so as to ensure concrete measures are taken and solutions are found for the prevention of the disease, and the disadvantaged receive equal access and equal rights in treatment, as in developed countries.",
"Cooperation with United Nations bodies",
"The organization is communicating with the UNICEF office and United Nations representatives in Turkey in its area of specialization.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization has been and will continue to support cancer patients who are economically deprived by assisting them financially to cover the monetary needs that come with the disease. Its work thus focuses on non-communicable diseases.",
"Additional information",
"There is no additional information.",
"5. Armenian Constitutional Right-Protective Centre",
"Special, 2007",
"Introduction",
"The Armenian Constitutional Right-Protective Centre is a non-profit, non-governmental organization founded in June 1988 in Vanadzor, Armenia. The Centre has been the leading human rights education non-governmental organization in Armenia since 1996, having implemented some 70 projects costing approximately $2 million total.",
"Aims and purposes of the organization",
"The strategic plan for 2011 to 2015 was developed from May to December 2010 during two workshops with the participation of organization members, partners, beneficiaries and volunteers. The Centre’s vision of “a world living with love and tolerance where law and justice given from above reign” and its strategic directions are intended ultimately to contribute to the rule of law, global justice and peace.",
"Significant changes in the organization",
"In 2008, the organization enrolled as a member in the National Assembly-NGO Network and was elected as a board member. In 2009, the Centre enrolled as a member in the Public Council and its Civil Society Commission’s subcommission on human rights. From February to November 2010, the new Conception of the Armenian Human Rights School was elaborated and approved. In 2010, the Centre enrolled as a member in the Armenian National Platform of the Eastern Partnership Civil Society Forum of the European Commission.",
"Contribution of the organization to the work of the United Nations",
"The Centre’s contributions include:",
"• The Armenian Human Rights School, which organized four one-year advanced human rights training courses for teachers of human rights, civic education, state and law and ethics in the secondary schools of Armenia.",
"• The Human Rights Library Network. All six human rights libraries have special United Nations-related sections and have served as resource centres for human rights education, thus contributing to the World Programme for Human Rights Education.",
"• Publication of more than 80 United Nations-related articles, statements and documents between 2007 and 2010 in the its periodicals Legal Culture and For the Sake of Justice with the aim of acquainting the society with the activities of the United Nations. Some 2,300 periodicals were published and delivered to educational institutions, libraries, state bodies and non-governmental organizations in all regions of Armenia.",
"Participation in meetings of the United Nations",
"Representatives worked at and attended the Department of Public Information/ Non‑Governmental Organizations Conference planning committees and the fifty-first to fifty-fourth sessions of the Commission on the Status of Women in New York. In 2009, the Centre, in collaboration with the United Nations Public Information Centre in Yerevan, organized a forum to coordinate human rights education actors to join efforts in developing suggestions for the second phase of the World Programme on Human Rights Education (2 July), and submitted a document to the Office of the United Nations High Commissioner for Human Rights (OHCHR) by the Minister for Foreign Affairs of Armenia.",
"Cooperation with United Nations bodies",
"The Centre cooperated in developing the Human Rights Library Network and supplementing it with books on the United Nations. It also cooperated in joint projects with OHCHR, and the UNDP and UNICEF offices in Armenia and conducted joint activities and presentations with the United Nations Public Information Centre in Yerevan. The organization also conducted human rights courses with UNESCO, UNDP, UNICEF, and United Nations Public Information Centre in Yerevan.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization undertook the following initiatives:",
"• In July 2010, representatives distributed health bars and vitamin supplements to those in need, approximately 500 units per country, during humanitarian outreach trips to the Democratic Republic of the Congo, Haiti, Kenya and Sierra Leone.",
"• The Centre’s Collaborative Secondary School taught 144 schoolchildren and its human rights educational youth clubs worked with 45 young people.",
"• In April 2010, the Centre’s main representative organized and took teams to Haiti.",
"• In Kunya, Kenya, a Centre representative conducted informative and healing sessions each day of the mission for approximately 20 victimized children in high schools, emphasizing methods of prevention and action.",
"• A representative worked to empower 100 women in the disadvantaged generation in Kenya and in Sierra Leone, predisposing them to give birth to healthier children with less risk to both mother and child.",
"• Educational sessions and workshops in the area of maternal health were conducted in Kenya and Sierra Leone in 2009, and in Haiti in 2010.",
"• Six humanitarian outreach missions were initiated in Haiti and Kenya, and in previous outreach locations. A humanitarian outreach was also developed to establish partnerships for training on solar cooking for two weeks in Kunya (August and September 2010).",
"• The Centre coordinated the national events of the global campaign for education Armenian coalition, in cooperation with the United Nations Public Information Centre and the UNESCO and UNICEF offices in Armenia.",
"Additional information",
"There is no additional information.",
"6. Association of Asian Confederation of Credit Unions",
"Special, 2007",
"Introduction",
"The Association of Asian Confederation of Credit Unions is the regional representative organization of credit unions and similar cooperative financial institutions in Asia. The Confederation has been instrumental in helping members address development issues faced by credit unions, such as poverty, gender equality, access to financial services and youth involvement.",
"Aims and purposes of the organization",
"The Confederation serves as both a trade association and a development organization. Its vision is the creation of a sustainable credit union system in Asia. Its mission is to promote and strengthen credit unions and similar cooperative financial organizations so they can fulfil their potential as effective instruments for the socioeconomic development of the people in the marketplace. In its role as a regional organization for credit unions, the organization performs representation, development, liaison and coordination functions on behalf of the Asian credit union movements. The Confederation ensures that credit unions are relevant in the communities they serve and continue to operate with their original goals.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"The organization is constantly examining whether Asian credit unions are adhering to their original mission to improve people’s well-being through the provision of affordable financial services, especially to those who do not have access to them. The credit union microfinance innovation, introduced by the organization in 1999, provides sustainable financial services to the poor market segment: a national partner federation can acquire the appropriate skills and operational framework of the product, making it possible to offer that product to its member credit unions. Member organizations in countries where both rural and urban poverty are found consider the program a priority and tool in alleviating poverty. More than 5 million low-income people have gained access to the affordable financial services of credit unions supported by the organization. The credit union microfinance innovation provides an effective means of alleviating poverty by raising incomes and encouraging poor households to enter the market economy. The Confederation is constantly motivating and increasing the capacity of its partner federations to increase their focus on sustainable strategies to reach more low-income people.",
"Participation in meetings of the United Nations",
"Not applicable.",
"Cooperation with United Nations bodies",
"The organization works with the Regional Fisheries Livelihood Program — a project of the Food and Agriculture Organization of the United Nations (FAO) — to introduce the necessary training tools to its microfinance national consultants, enabling them to train beneficiaries in project countries. The Programme began activities in September 2009 and plans to operate for four years in Cambodia, Indonesia, the Philippines, Sri Lanka, Timor-Leste and Viet Nam. Limited access to microfinance services and extremely limited supplementary and/or alternative livelihood options are among the issues being addressed by the Programme. The project aims to strengthen the capacity of participating small-scale fishing communities and their supporting institutions with the goal of improved livelihoods and sustainable fisheries resources management.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"In September 2009, the Confederation, along with its member organizations, launched a campaign to reach an additional 1 million poor by 2012 by using credit union microfinance innovation methodology, in line with the celebration of the International Year of Cooperatives. The organization coordinates and facilitates the program of poverty alleviation and microfinance in seven countries in South-east and South Asia.",
"Education programmes on credit union microfinance innovation promote financial literacy, maternal health, business management, technical skills, good manners and correct conduct, first aid or any topic deemed necessary to improve the living conditions of the poor. Indirectly, the programme helps to increase the educational level of the poor people who attend it.",
"Women make up 50 per cent of membership in credit unions, but their membership is not commensurate with their participation in decision-making. The organization provides a platform for women leaders to discuss women issues and put forward responses that has resulted in the allocation of women seats in the leadership of credit unions and the creation of an advisory committee for women.",
"Additional information",
"There is no additional information.",
"7. CIDSE",
"General, 2007",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"2007: Reclassification to general consultative status",
"2008: Granted observer status at the United Nations Framework Convention on Climate Change",
"2009: As part of its Strategic Framework 2010-2015, “International Cooperation for Development and Solidarity” becomes CIDSE",
"Contribution of the organization to the work of the United Nations",
"The organization advocates, lobbies, creates policy documents and performs media work on financing for development; global governance; business and human rights; climate justice; food security, agriculture and trade; and the Millennium Development Goals. It has also created public awareness campaigns entitled “Make Aid Work” (2007) and “Climate Justice” (2009-2010).",
"Participation in meetings of the United Nations",
"2007",
"• 16 April: attended the special high-level meeting with the Bretton Woods institutions, the World Trade Organization (WTO) and the United Nations Conference on Trade and Development (UNCTAD) held in New York",
"• 23 and 24 October: delivered a statement on the theme “From Monterrey to Doha” and held a side event on the theme “Selected issues on financing for development” at the High-level Dialogue of the General Assembly on Financing for Development held in New York",
"2008",
"• 14 April: delivered a statement on innovating sources for financing sustainable development and held a side event at the special high-level meeting with the Bretton Woods institutions, the WTO and UNCTAD held in New York",
"• 20 to 25 April: attended the twelfth conference of UNCTAD, held in Accra, and participated in a workshop on biofuels",
"• 2 to 18 June: presented oral and written statements on the mandate of the Special Representative of the Secretary-General on business and human rights and conducted a side event on the human face of human rights and business at the eighth session of the Human Rights Council",
"• 29 November to 2 December: held a side event on tax justice and financing for development and participated in official round tables 3 and 4 at the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, held in Doha",
"2009",
"• 22 September: presented a statement on climate justice and participated in panel discussion on adaptation technologies at the Summit on Climate Change held in New York",
"• 28 September to 9 October: held side events on climate change at the Climate Change Conference held in Bangkok",
"• 5 and 6 October 2009: attended the OHCHR consultation on operationalizing the framework for business and human rights held in Geneva and contributed a submission to the framework developed by John Ruggie",
"• 2 to 6 November: held side events on climate change and reducing emissions at the Climate Change Conference held in Barcelona, Spain",
"2010",
"• 31 May to 18 June: presented a statement on the work of John Ruggie at the fourteenth session of the Human Rights Council",
"• 11 and 12 October: submitted “Protect, respect and remedy: keys for implementation and follow-up of the mandate” at the Special Representative’s consultation with civil society stakeholders",
"2008-2010",
"• Attended the Climate Change Conferences held in Bonn, Germany, from 2 to 12 June 2008; 29 March to 8 April 2009; 29 May to 3 June 2009 (held side event web-cast with Malawi and panel discussion on adaptation technologies); 10 to 14 August 2009; 9 to 11 April 2010; 31 May to 11 June 2010 (launched paper on direct access); and 2 to 6 August 2010.",
"• Attended the fourteenth, fifteenth and sixteenth Conferences of the Parties to the United Nations Framework Convention on Climate Change, held, respectively, in Poznan, Poland, from 1 to 12 December 2008 (launched Climate Justice Campaign); Copenhagen from 7 to 19 December 2009 (held campaign events); and Cancun, Mexico, from 29 November to 10 December 2010.",
"Cooperation with United Nations bodies",
"The organization supported the reform process of the FAO Committee on World Food Security held in 2010.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"CIDSE submitted statements on the Millennium Development Goals, financing for development and the food price crisis at the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals, held in New York from 23 to 25 September 2008. The organization held a side event on the Millennium Development Goals and the financial economic crisis at the United Nations Conference at the highest level on the world financial and economic crisis and its impact on development, held in New York from 24 to 26 June 2009. The organization also attended the special high-level meeting with the Bretton Woods institutions, the WTO and UNCTAD, held in New York on 18 and 19 March 2010. CIDSE presented a statement on the theme “Achieving the Millennium Development Goals in the face of global crisis” and participated in the official round table on supporting recovery and development efforts of developing countries with special needs at the High-level Dialogue of the General Assembly on Financing for Development, held in New York on 23 and 24 March 2010. The organization provided input to the United Nations Non-Governmental Liaison Service for the MDG+10 Summit in May 2010. CIDSE was a respondent at official round table 4 and a speaker at the United Nations Non-Governmental Liaison Service seminar on the theme “Reforming finance for the Millennium Development Goals” at the informal interactive hearings of the General Assembly, held in New York on 14 and 15 June 2010. The organization also held a side event on the Millennium Development Goals and human rights in development cooperation at the Development Cooperation Forum, held in New York on 29 June 2010. The organization held another side event on the financial crisis and the Millennium Development Goals at the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals, held in New York from 20 to 22 September 2010.",
"Additional information",
"There is no additional information.",
"8. CITYNET: Regional Network of Local Authorities for the Management of Human Settlements",
"Special, 1995",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"CITYNET has been working closely with United Nations agencies, including the United Nations Institute for Training and Research (UNITAR), the United Nations International Strategy for Disaster Reduction (ISDR), the United Nations Human Settlements Programme (UN-Habitat), the Economic and Social Commission for Asia and the Pacific (ESCAP), the United Nations Centre for Regional Development and the United Nations Millennium Campaign on various fields related to local governments and urban development.",
"Participation in meetings of the United Nations",
"The organization participated in the following meetings:",
"2007",
"• Global Forum on Disaster Risk Reduction (Kobe, Japan, 12 and 13 April; Geneva, 5-7 June)",
"• UN-Habitat Expert Group Meeting on Urban Development (Gangwon, Republic of Korea, 3-5 May)",
"• UN-Habitat Expert Group Meeting on Gender (Fukuoka, Japan, 25 and 26 June)",
"• Economic and Social Commission for Asia and the Pacific (ESCAP) Expert Group Meeting on Infrastructure (Bangkok, 11-13 June)",
"• ESCAP meeting on good governance (Makati, Philippines, 15 November)",
"2008",
"• UNITAR Steering Committee of the International Training Centre for Local Authorities/Actors Network (Atlanta, Georgia, United States of America, 8 and 9 May)",
"• UN-Habitat expert group meeting on urban development (Gangwon, Republic of Korea, 27 and 28 May)",
"• UN-Habitat expert group meeting on sustainable cities in Asia (Manila, Philippines, 25-28 August)",
"• UN-Habitat mid-term plan 2008-2013 (Nairobi, 7-9 October)",
"• World Urban Forum IV (Nanjing, China, 3-6 November)",
"2009",
"• United Nations Millennium Campaign global retreat (Bangkok, 13-14 January)",
"• International Strategy for Disaster Reduction Conference on disaster risk reduction (New Delhi, 23-25 February)",
"• Global Platform for Disaster Risk Reduction (Geneva, 16-19 June)",
"• ESCAP expert group meeting on flood resilient cities (Bangkok, 21-23 July)",
"• ESCAP high-level panel on environment and development (Bangkok, 2‑4 December)",
"2010",
"• International Strategy for Disaster Reduction regional task force on disaster risk reduction (Kobe, Japan, 13 and 14 January)",
"• ESCAP meeting of the Kitakyushu Initiative Network (Kitakyushu, Japan, 10 and 11 February)",
"• International Strategy for Disaster Reduction forum on disaster risk reduction (Shanghai, China, 28-30 July)",
"• UN-Habitat regional partners meeting on climate change impacts (Changwon, Republic of Korea, 15-17 September)",
"• ESCAP ministerial conference on environment and development (Astana, 27 September)",
"Cooperation with United Nations bodies",
"The organization coordinated the following meetings with support from United Nations agencies:",
"2007",
"• Institute of Advanced Studies seminar on sanitation with the United Nations University (2 November)",
"• Technical advisory service on the Millennium Development Goals with UNITAR/UN-Habitat (Makati, Philippines 18-21 November)",
"2008",
"Seminar on climate change and urban wetlands with UNITAR (Seoul, 10 and 11 September)",
"2009",
"• Publication on urban risk profiling on biogas with the International Strategy for Disaster Reduction city-to-city project (Danang, Viet Nam, 18-20 February)",
"Annually",
"Kuala Lumpur regional training centre training course with UNITAR",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• The organization set up an office in Kathmandu from 2007 to 2008 and promoted local governments in South Asia that pursued the Millennium Development Goals.",
"• The organization also published “Local authorities in the south and 8 ways to change the world” in 2007 and “A guideline on localizing the Millennium Development Goals and municipal poverty reduction strategy papers for the municipalities of Nepal” and “Ten ways of achieving the Millennium Development Goals in cities in Indonesia” in 2008.",
"• With support from UN-Habitat, the organization pursued a city-to-city project from 2006 to 2008 that focused on localizing the Millennium Development Goals, and in 2007 organized leadership training and a workshop on localizing the Millennium Development Goals in Asian cities through innovative leadership and community empowerment in Kathmandu.",
"• CITYNET organized the Japan forum on the theme “No excuses 2015: the Millennium Development Goals and us” in April 2008. It organizes the events for the Stand Up campaign every year. In 2009, the organization conducted a survey on the status of the implementation at the city level of the Millennium Development Goals in order to subsequently help to develop activities for the remaining years.",
"• With support from UN-Habitat and ESCAP, CITYNET organized the regional workshop on putting safety first for the urban poor on the local agenda in 2010 in Marikina, Philippines.",
"Additional information",
"There is no additional information.",
"9. Earthjustice",
"Special, 1991",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"Earthjustice promotes human rights and the environment as fundamental aspects of sustainable development. It also focuses on climate change, reducing the impact of toxic materials and improving access to water and sanitation.",
"Participation in meetings of the United Nations",
"Human Rights Council. Earthjustice representatives attended all sessions of the Human Rights Council, where representatives worked with United Nations officials and delegates from governmental and non-governmental organizations to promote the link between human rights and the environment. Some examples of Earthjustice’s work at each session follow:",
"2007",
"• Fourth session. Supported a presentation by the Representative of the Secretary-General on the human rights of internally displaced persons, on the theme of operational guidelines on human rights and natural disasters (A/HRC/4/38/Add.1).",
"• Fifth session. Organized meeting with the Special Rapporteur on the adverse effects of the movement and dumping of toxic and dangerous products and wastes on the enjoyment of human rights on the theme “The human rights challenge of the traffic of toxic wastes and products”.",
"• Sixth session. Supported report of OHCHR on human rights obligations related to equitable access to safe drinking water and sanitation (A/HRC/6/3).",
"2008",
"• Seventh session. Supported adoption of Human Rights Council resolution 7/14 on the right to food.",
"• Eighth session. Participated in an event organized with the Permanent Mission of the Maldives to the United Nations on human rights and climate change.",
"• Ninth session. Participated in discussions with the Government of Côte d’Ivoire and other Council members on the adoption of resolution 9/1.",
"2009",
"• Tenth session. Supported report of the Representative of the Secretary-General on the human rights of internally displaced persons (A/HRC/10/13). Intervened in discussions with Council members and observers for adoption of resolution 10/4 on human rights and climate change.",
"• Eleventh session. Delivered a statement at interactive panel on the theme of human rights and climate change. Organized a discussion on renewal of special procedure mandates, adoption of universal periodic review outcomes, and panel discussions in the Council.",
"• Twelfth session/ Circulated proposal for panel discussion and participated with the Permanent Mission of Côte d’Ivoire to the United Nations in discussions on the adoption of resolution 12/18 on adverse effects of the movement and dumping of toxic products and wastes on human rights.",
"2010",
"• Thirteenth session. Discussed with members and observers the application of opinion 9/2009 of the Working Group on Arbitrary Detention regarding Japanese detention of environmental advocates.",
"• Fourteenth session. Made a statement at interactive panel dialogue on the theme of toxic waste.",
"• Fifteenth session. Participated in a discussion concerning report of the Special Rapporteur on the adverse effects of the movement and dumping of toxic and dangerous products and wastes on the enjoyment of human rights (A/HRC/15/22) and report of the Independent Expert on human rights obligations related to access to safe drinking water and sanitation (A/HRC/15/31).",
"The United Nations Economic Commission for Europe",
"Earthjustice representatives attended all meetings of the Aarhus Convention Working Group of the Parties and Compliance Committee as well as meetings of the Aarhus Convention task forces on access to justice, public participation in decision-making and public participation in international forums. Representatives also participated in and made a statement on the work of the Compliance Committee at the Third Meeting of the Parties (11-13 June 2008) and participated in meetings of the London Protocol on Water and Health Compliance Committee (12 March and 24-25 September 2008; 25-26 February 2009; 26-27 January and 22-23 June 2010).",
"The United Nations Framework Convention on Climate Change",
"Earthjustice representatives participated in the thirteenth Conference of the Parties (Bali, Indonesia, 3-15 December 2007); the Bonn Climate Change Conference (2-13 June 2009); the Barcelona Climate Change Conference (2-6 November 2009); the fifteenth Conference of the Parties (Copenhagen, 7-18 December 2009); and the sixteenth Conference of the Parties (Cancun, Mexico, 29 November-10 December 2010).",
"Cooperation with United Nations bodies",
"Earthjustice representatives participated in meetings to promote recommendations of the Special Rapporteur on human rights and the illicit movement of toxic wastes. Representatives also worked with the secretariat of the Convention on Hazardous Waste and OHCHR. Additionally, representatives made oral interventions at the United Nations Environment Programme (UNEP) national committee meetings. Earthjustice representatives also participated in the fourth Conference of the Parties to the Stockholm Convention (4-8 May 2009) and the second session of the International Conference on Chemicals Management (11-15 May 2009).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"All Earthjustice activities promote awareness of the links between ensuring environmental sustainability and eradicating extreme poverty and hunger.",
"Additional information",
"There is no additional information.",
"10. European Women’s Lobby",
"Special, 1995",
"Introduction",
"Founded in 1990, the European Women’s Lobby is the largest alliance of women’s non-governmental associations in the European Union. The European Women’s Lobby represents more than 2,500 organizations overall.",
"Aims and purposes of the organization",
"The mission of the organization is to work to achieve equality between women and men, to promote women’s rights in all spheres of public and private life, to work towards economic and social justice for all women in their diversity and to eliminate all forms of male violence against women. The Lobby works through democratic processes with its members for the mainstreaming and monitoring of gender equality and women’s rights perspective in all areas of European Union policy and for the achievement of parity democracy at all levels and in all areas.",
"Significant changes in the organization",
"From 2007 to 2010, the Lobby has expanded to include 30 national coordination organizations (in Cyprus, Poland, Romania and Slovenia), and added two more European-wide organizations. The Lobby can count on established, transparent and democratic decision-making and consultation processes and other participatory processes.",
"Contribution of the organization to the work of the United Nations",
"The organization contributed to the United Nations Global Gender Equality Architecture Reform Campaign in favour of the creation of UN-Women. Non‑governmental organizations committed to women’s rights and gender equality have been advocating for the United Nations to reform its gender equality architecture for many years, which led to the creation of UN-Women in 2010. The Campaign was officially launched in March 2008 at the Commission on the Status of Women. The Lobby had been involved in the Campaign since its creation and was particularly active in the European working group for the Campaign, which the organization coordinated in 2009 and 2010 (see www.gearcampaign.org).",
"The organization contributed to the Beijing+15 process as the Lobby participated in the yearly Commission on the Status of Women, including the Beijing+5 and the Beijing+10 special sessions. The 15-year review was an opportunity for the organization to voice its recommendations and concerns on behalf of its members across the European Union. The Lobby produced a full Beijing+15 Report on the activities of the European Union in the 12 areas of the Beijing Platform for Action (see www.womenlobby.org/spip.php?article124&lang=en).",
"Participation in meetings of the United Nations",
"Each year, the organization participated in and submitted written amendments to the Commission on the Status of Women, which were proposed to European delegations and widely distributed to delegates of non-governmental organizations. Each year, the organization connected with the current European Union presidency, coordinated the European non-governmental organization caucuses and actively participated in the Non-governmental Organization Linkage Caucus and Coordination Caucus.",
"The Lobby organized sessions on the themes:",
"• “Dispelling the generational myth and promoting participation: are the needs of girls and women so different?” (2 February 2007);",
"• “Financing for women’s rights, a european perspective” (28 February 2008);",
"• “Beijing to Brussels, an unfinished journey” (2 March 2010).",
"The Lobby attended and spoke at sessions on the themes:",
"• “Girls shaping the future”, organized by the Coalition of Finnish Women’s Associations and UNIFEM (1 March 2007);",
"• The World Association of Girl Guides and Girl Scouts on Security Council resolution 1325 (28 February 2008);",
"• La CLEF on women in decision-making (2 March 2009);",
"• “Transforming economic structures for equal and sustainable development”, organized by the Green Women of Sweden (7 March 2010).",
"The organization participated in the United Nations Economic Commission for Europe Beijing+15 Regional Review Meeting and its forum for non-governmental organizations, held in Geneva (31 October 2009-3 November 2009). The organization:",
"• Presented its recommendations during the general plenary session on the review of progress in the implementation of the Beijing Platform for Action;",
"• Submitted written amendments to the chairpersons’ conclusions of the meeting.",
"Cooperation with United Nations bodies",
"The organization cooperated with United Nations bodies and representatives to participate in the following:",
"• European consultation with the Special Rapporteur on violence against women, its causes and consequences (London, 11-13 January 2007)",
"• UN.GIFT Forum to fight human trafficking (Vienna, 13-15 February 2008)",
"• Co-organization with UNIFEM and the Women in Development (WIDE) Network of the event on the theme “Women and migration in Europe and the Commonwealth of Independent States” (Brussels, 4 September 2009) and the subsequent publication of a report",
"• A session on the theme “A human rights approach to combating human trafficking: challenges and opportunities. Implementing the recommended principles and guidelines on human rights and human trafficking”, organized by OHCHR (Geneva, 27-28 May 2010)",
"• Violence against Women Expert Group Meeting on good practices in national action plans on violence against women (Port of Spain, 13-15 September 2010)",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization regularly collaborates with organizations focusing on development issues whose mandate is to support the implementation of the Millennium Development Goals, in particular from a women’s rights perspective.",
"Additional information",
"There is no additional information.",
"11. Fundación Antonio Núñez Jiménez de la Naturaleza y el Hombre",
"Special, 2007",
"Introduction",
"The Fundación Antonio Núñez Jiménez de la Naturaleza y el Hombre is a cultural and scientific organization of civil and non-governmental character, autonomous and not for profit. It focuses on research and implementation of programs, projects and actions for environmental protection and its relationship with culture and society. The organization works with other non-governmental organizations in Cuba to educate people about the need to protect nature and heritage values. It collaborates with national and foreign institutions in the development of culture and science, promoting and supporting projects to preserve, among other things, the identity of the nation of Cuba. Its main programmes are geohistoric research, local sustainable development, sustainable consumption, heritage preservation, environmental education and biodiversity conservation, all supported by an editorial team.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"Projects are intended to achieve sustainable development at all levels of society but include a specific emphasis on the local level. The organization implements projects to achieve food sovereignty that guarantees the staple food needs of communities. The organization’s geo-historic research supports the implementation of its cultural values and aims to preserve heritage — work that is strongly linked to UNESCO. The organization encourages a passion for science and research when working with young people and practices gender equity in all its actions to ensure adequate representation and training. It keeps strong relations with UNDP offices in Cuba and with others such as UNESCO, UNICEF and FAO. The organization has participated in multiple activities coordinated by UNEP, FAO and UNESCO, and has collaborated with the UNDP office in Havana. It has done preparatory and follow-up work in reference to different events hosted by the United Nations and works with other non-governmental organizations in Cuba, some of which already have consultative status with the Economic and Social Council, to forge concrete proposals for projects and actions at the national level.",
"Participation in meetings of the United Nations",
"2008",
"• Sixteenth session of the Sustainable Development Commission (New York, 5-16 May)",
"• UNEP Latin America and the Caribbean civil society summit in preparation for the tenth Global Civil Society Forum (Buenos Aires)",
"• National workshop for the promotion of the sciences study, hosted by UNESCO (Cuba)",
"• Exchange of experiences about public policies in urban agriculture in Latin America and the Caribbean, hosted by UN-Habitat (Ecuador)",
"• Preparation and implementation of a workshop for representatives of eight vulnerable communities (Esmeralda, Ecuador)",
"• Technical workshop and round table on the theme “Challenges of climate change in Cuba: architecture and hurricanes, experiences of 2008”, co-hosted with UN-Habitat and the National Union of Architects and Engineers of Construction Architecture Society (Cuba, December)",
"2009",
"• Workshop to promote a dialogue and build alliances among non-governmental organizations in Cuba towards a better implementation of international projects, co-organized by the UNDP (Cuba, 23 February)",
"• The People’s Forum, fifteenth Conference of the Parties (Copenhagen, December)",
"2010",
"• Application sent to become member with consultative status in the UNEP Governing Council",
"• UNEP Latin America and the Caribbean civil society consultation (Cozumel, Mexico)",
"• “Climate change and women”, co-hosted with UN-Habitat (Cuba)",
"Cooperation with United Nations bodies",
"The organization has been working in close cooperation with the UNDP regional office in Havana on the following projects:",
"• “Digitalization of Antonio Núñez Jiménez archive”, funded by the UNESCO regional office and the Cuban national commission",
"• “Adaptation to climate change and risk management developed by Cuban women”, funded by COSUDE and implemented with UN-Habitat",
"• “Urban risk management, a strategy of adaptation to climate change”, funded by the Local Initiatives Fund of the Canadian Embassy in Cuba and implemented with UN-Habitat",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization focuses on the environmental education work that comprises two of the Millennium Development Goals focusing on care of the environment and education, such as sustainable consumption, geo-historic research, heritage preservation and local sustainable development. The general goal of the organization’s environmental education and biodiversity conservation programme is to contribute to the creation of an environmental culture in Cuban society, erected on sustainable bases and in harmony with the environment, with the purpose of favouring the conservation of biodiversity and fragile ecosystems.",
"Additional information",
"There is no additional information.",
"12. Geneva International Model United Nations",
"Special, 2007",
"Introduction",
"Geneva International Model United Nations is an entirely student-run non‑governmental organization based in Geneva. The organization is also active in New York via its chapter in the United States.",
"Aims and purposes of the organization",
"The organization’s mandate is to promote the values and principles of the United Nations amongst young people, especially students, by organizing various educational events that familiarize students with the United Nations.",
"Significant changes in the organization",
"Important amendments to the constitution include the creation of an advisory board, permitting a better transfer of knowledge. The organization was accredited with the University of Geneva in 2010 and has developed a relationship with the city and state of Geneva, thus allowing for future collaboration and funding opportunities.",
"Contribution of the organization to the work of the United Nations",
"All events organized by Geneva International Model United Nations relate to the agenda of the United Nations and may be grouped as follows: simulations, seminars and educational visits. During simulations, such as the annual conference, students learn about the workings of the United Nations by taking on the roles of diplomats and representatives of the United Nations Secretariat. Notable conferences have espoused the themes of humanitarian intervention (2009), human security (2010) and women and development (2011). The organization also held a simulation of the United Nations Framework Convention on Climate Change for the Global Humanitarian Forum’s inaugural Youth Forum and the Model United Nations Society (2009), and semester-long simulations of General Assembly and Security Council sessions (2010-2011). The organization holds a variety of seminars which offer students the possibility to interact with their peers, United Nations officials, and the academic community. They give students the opportunity to express their opinions on issues regarding the United Nations. Previous events have included the annual commemoration of the entry into force of the Charter of the United Nations on United Nations Day (2008, 2009, 2010), and a three-day conference on the expectations and propositions of young people on the occasion of the International Year of Youth (2011) on the theme “Youth perspectives: education in the twenty-first century”. The organization also arranges educational visits, where students observe and learn about the work of the United Nations in New York and Geneva (2009, 2010, 2011) and its agencies in the field in Lebanon (2009) and Kenya (2011).",
"Participation in meetings of the United Nations",
"On the occasion of the International Year of Youth, the Geneva International Model United Nations is currently organizing a side event to present the outcome of the high-level segment of the Economic and Social Council held in Geneva in July 2011. The event is entitled “Youth perspectives: education in the twenty-first century”.",
"Cooperation with United Nations bodies",
"The organization has cooperated with the United Nations on several events in its annual programme of work and on events hosted by the United Nations. The annual event commemorating the entry into force of the Charter of the United Nations is organized in collaboration with the Non-governmental Organization Liaison Office and the Director-General of the United Nations Office at Geneva. Other cooperative efforts include preparation and promotion of the second edition of the “Geneva lecture series: are human rights universal?” organized by UNITAR (2008). In 2009, the organization held a social side event for the Global Model United Nations project of the Department of Public Information. The organization also coordinated and collaborated with the United Nations Relief and Works Agency and UNESCO for its study trip to Lebanon in 2009 and with UN-Habitat for its study trip on housing rights in Kenya in 2011.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization has sought to raise awareness of the Millennium Development Goals through its annual programme of events and has encouraged the exchange of opinions on goals particularly affecting young people. The simulation of the 2009 Conference of the Parties to the United Nations Framework Convention on Climate Change discussed environmental sustainability by presenting participants with national adaptation programme of action projects. The 2010 event commemorating the entry into force of the United Nations Charter dealt with youth unemployment, gender-related illiteracy and halting the spread of HIV/AIDS. Its 2011 event espoused the theme “Women and development: promoting a gender-balanced approach to development ethics”; and the 2011 Youth Perspectives conference addressed key aspects of education, in particular universal access, gender equality, citizenship and integration.",
"Additional information",
"There is no additional information.",
"13. Grupo de Información en Reproducción Elegida",
"Special, 2007",
"Introduction",
"The Grupo de Información en Reproducción Elegida is a non-profit, non‑governmental organization working in Mexico.",
"Aims and purposes of the organization",
"The organization’s mission is to contribute to the recognition, respect and defence of reproductive rights, particularly abortion rights, within a human rights framework, upholding women’s free choice. The organization targets decision makers and public officials from the three branches of government as well as opinion leaders and the media.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"The organization participated in the update of the National Diagnostic of the Human Rights Situation in Mexico, originally developed by OHCHR in 2003. The organization also participated in monitoring the election of new council members for the National Human Rights Commission, working jointly with the Senate Commission to develop basic transparency and citizen participation criteria such as public hearings. The organization was a member of the monitoring and evaluation body of the Mexico City human rights programme, and also participated in a seminar for Ministry of Health service providers, where a staff lawyer presented information on human rights and reproductive rights before an audience of more than 400 health care professionals. The group was the only organization specializing in women’s rights.",
"Participation in meetings of the United Nations",
"2007",
"Fifty-first session of the Commission on the Status of Women",
"2008",
"Fifty-second session of the Commission on the Status of Women",
"2009",
"• Forty-second session of the Commission on Population and Development",
"• Partners in Action Conference (Berlin, 2-4 September)",
"• Advances and key actions for the implementation of the International Conference on Population and Development Programme (Santiago, 7 and 8 October)",
"2010",
"• Ninety-eighth session of the Human Rights Committee (New York, 8 and 9 March)",
"• Fifty-fourth session of the Commission on the Status of Women (New York, 1-12 March)",
"• 2010 Women Deliver conference to advance Goal 5 of the Millennium Development Goals on improving maternal health (Washington, D.C., 7-9 June)",
"• Global Health Council annual conference on global health, goals and metrics (Washington, D.C., 14-18 June)",
"• World Youth Conference (Guanajuato, Mexico, 23-27 August)",
"Cooperation with United Nations bodies",
"The organization sent information to the Human Rights Council when Mexico was evaluated under the universal periodic review in 2009. The organization also provided information to the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health during a consultation with civil society organizations. The organization requested that the Special Rapporteur comment on violations by the Government of Mexico of women’s human rights stemming from State-level constitutional amendments (Guatemala City, 2010).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization was a key actor in the process that led to the decriminalization of abortion in Mexico City in 2007. The organization has been involved in the institutionalization of safe abortion services and in training key personnel so that high-quality services are provided, representing a major contribution towards Goal 5. In 2008, the organization participated in an international initiative to build capacity for women’s health advocacy called the Development Alternatives with Women for a New Era regarding sexual and reproductive rights and health (in the millennium development agenda), which assesses and monitors the implementation of the Millennium Development Goals with a focus on sexual and reproductive health and rights policies.",
"Additional information",
"There is no additional information.",
"14. Hong Kong Council of Social Service",
"Special, 2003",
"Introduction",
"The Hong Kong Council of Social Service is an umbrella organization of more than 370 members that provide over 90 per cent of social welfare services through 3,000 service units throughout Hong Kong, China.",
"Aims and purposes of the organization",
"The organization represents non-governmental welfare agencies committed to sustaining and developing social welfare in Hong Kong. The Council aims to promote the development of social welfare together with its member agencies by enhancing accountability of social welfare service agencies; promoting improvement of social welfare services; facilitating agencies to better serve the community; advocating equality, justice, social integration and a caring society; and promoting the local welfare sector as a model of excellence in the international community.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"The organization has continuously worked with the United Nations system and its partners to promote international conventions in the region, supporting local non‑governmental organizations to meet social service needs in Hong Kong society.",
"Participation in meetings of the United Nations",
"Organization representatives attended:",
"• Forty-fifth session of the Commission on Social Development (New York, 7-16 February 2007)",
"• Third Internet Governance Forum (Hyderabad, India, 3-6 December 2008)",
"• Forty-seventh session of the Commission for Social Development (New York, 4-13 February 2009)",
"• Twelfth United Nations Congress on Crime Prevention and Criminal Justice (Salvador, Brazil, 12-19 April 2010)",
"Cooperation with United Nations bodies",
"• Co-hosted the “2010 Joint World Conference on Social Work and Social Development: The Agenda” with the International Association of Schools of Social Work, the International Council on Social Welfare, the International Federation of Social Workers and seven other local hosts in Hong Kong. The Joint United Nations Programme on HIV/AIDS was invited to conduct a workshop promoting the Convention on the Elimination of All Forms of Discrimination against Women.",
"• Contributed to the compilation of the third report of Hong Kong under the International Covenant on Economic, Social and Cultural Rights, which has been submitted to the Committee on Economic, Social and Cultural Rights.",
"• Submitted a civil report compiling the views and concerns collected from welfare sectors and service users on the implementation of human rights treaties in Hong Kong.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The Council has taken major actions regarding the following:",
"Goal 1.",
"• Commemorated the International Day for the Eradication of Poverty by holding a forum on the theme “From policy address to ways ahead for poverty alleviation” on 16 October 2008; a seminar on assisting students from low-income families in schools and a book launching ceremony on 16 October 2009; and a forum on the theme “Has policy effectively addressed the poverty problem?” on 15 October 2010.",
"• Performed advocacy work on enhancing poverty alleviation in its annual submissions to the Chief Executive of Hong Kong from 2007 to 2010.",
"• Submitted a proposal and paper to the former Commission on Poverty on establishment of the Child Development Fund in support of the long-term development of children from a disadvantaged background.",
"• Conducted 12 research/consultancy studies and 9 seminars/forums on poverty issues from 2007 to 2010.",
"• Partnered with corporations to coordinate the provision of recycled/refurbished computers and broadband service to poor families.",
"Goal 3.",
"Held a consultation meeting on the statistical profile on the situation of women and girls (Hong Kong, 7 October 2010).",
"Goal 4.",
"• Conducted a focus group and discussion forums on the theme “Child fatality review and child protection”, in June and July 2007",
"• Presented a paper concerning the Batterer Intervention Programme and the child fatality review",
"• Held a seminar on the pilot project of the child fatality review on 13 July 2007",
"Goal 8.",
"Organized, together with three international and seven local organizations, the 2010 Joint World Conference on Social Work and Social Development, held from 10 to 14 June 2010.",
"Additional information",
"The organization’s activities promoting human rights include promotion and advocacy work against racial discrimination and promotion on inclusion of persons with disabilities.",
"15. International Network of Liberal Women",
"Special, 2003",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"International Network of Liberal Women aims to promote the ideas of democracy worldwide, focusing on both national and international levels. It sees the equal representation of women and men in all decision-making processes as essential to this development. It further aims to attack all gender-discriminatory practices which impede women participating as full citizens in whatever form they appear, whether physical, civic, economic or legal. The organization strongly supports the aims of the United Nations and Economic and Social Council, and works to promote national adoption and implementation of the United Nations conventions designed to protect and advance women’s status worldwide.",
"Significant changes in the organization",
"The organization experienced an increase in the geographical distribution of its membership.",
"Contribution of the organization to the work of the United Nations",
"An organization representative attended:",
"2007",
"• Seminar on women’s contribution to society (Barcelona, Spain, 26-27 January)",
"• General Assembly of European Women’s Lobby (Borovets and Samokov, Bulgaria, 25-29 October)",
"• Seminar on trafficking in human beings (Hamburg, Germany, 16 November)",
"• Seminar on strengthening networks and combating human trafficking (Taiwan Province of China, 8 December)",
"2008",
"Meeting on the theme “A non-violent society, overcoming conflicts” and a round table on women in peace processes (Belfast, Northern Ireland, 17 May).",
"2009",
"• Meeting on human rights and democracy (Strasbourg, France, 25 January)",
"• Round table on women and education for the twenty-first century (Cairo, 30 October)",
"2010",
"• Meeting on supporting democratic forces and promoting human rights (Berlin, 11 June)",
"• Seminar on the theme “Africa yesterday, today and tomorrow” (Cape Town, South Africa, 13 November)",
"Participation in meetings of the United Nations",
"The organization submitted the following written and/or oral statements:",
"2007",
"At the fifty-first session of the Commission on the Status of Women (New York, 26 February-9 March: “The elimination of all forms of discrimination and violence against the girl-child” and “Girls and boys lost to peace and forced to make war”.",
"2008",
"At the fifty-second session of the Commission on the Status of Women (New York, 25 February-7 March): “Women’s equal participation in conflict prevention, management and conflict resolution and in post-conflict peace-building” and “NGOs for the financing of gender equality”.",
"2009",
"At the fifty-third session of the Commission on the Status of Women (New York, 2-13 March): “Equal participation of women and men in decision making processes at all levels”.",
"2010",
"At the fifty-fourth session of the Commission on the Status of Women (New York, 1-12 March): “15-year review of the implementation of the Beijing Declaration and Platform for Action (1995) and the outcomes of the twenty-third special session of the General Assembly, especially on women in armed conflicts, education, health, violence, girl-child and participation in decision-making processes” and “Perception of civil society on the actual accomplishment of the Beijing Declaration and Platform for Action and the Millennium Development Goals”.",
"Cooperation with United Nations bodies",
"No information.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The activities of the organization focus mainly on social awareness campaigns on women human rights, gender equality, women in decision making, empowerment of women, education for all — especially women and girls — and adequate women’s health programs. Representatives assisted UNESCO Centre Netherlands, a financing centre of educational resources in Western Africa. In these centres in rural areas the Millennium Development Goals are brought to the attention of local people. Representatives of the organization took part in their respective home countries in Women’s Day (8 March) activities, programmes related to Security Council resolution 1325 (2000) and Millennium Development Goal programmes and initiatives.",
"Additional information",
"There is no additional information."
] | E_C.2_2012_2_ADD.1 | [
"Committee on Non-Governmental Organizations",
"2012 regular session",
"30 January-8 February and 17 February 2012",
"Quadrennial reports for 2007-2010 submitted by non-governmental organizations in consultative status with the Economic and Social Council pursuant to Council resolution 1996/31",
"Note by the Secretariat",
"Contents",
"National Women's Federation 3 3. Regional Network for Local Human Settlements Management 159 Earth Justice 17",
"International Association of Professional Students of Business and Economics",
"(Special; 2007)",
"Introduction",
"The International Association of Professional Students of Business and Economics is the largest student organization in the world. The Organization has focused on providing a platform for youth leadership development, which has been extended to over 11 countries over the past four years. The Organization's statistics are as follows: 60,000 members; 15,000 leadership positions; 15,000 internships; 4,000 internships; 1,600 universities; 470 meetings; 110 countries and regions; and 60 years of experience.",
"Objectives and purposes of the organization",
"The Organization's vision is to achieve peace and the realization of human potential. Its scope remains a global, non-political, independent and non-profit organization administered by students of higher education institutions and graduates.",
"Important changes in the organization",
"The Organization has recently established the target for the medium term 2015:",
"Our practical and virtual linkages have been increasing, making us the most credible and diverse voice of young people. We have the capacity to develop responsible and entrepreneurship-based leadership capacities, which are endorsed by a wide range of constituencies. Our collaborative environment enables every member to gain the experience of the International Association of Professional Students of High-quality Business and Economics to have a positive cross-generation effect on society.",
"Contribution of the organization to the work of the Organization",
"The Country Office of the Republic of Korea sent a representative to the United Nations Global Compact event in the Republic of Korea in November 2010. The Organization also participated in the World Youth Summit held in Leon, Mexico, in July 2010. The International Association of Professional Students of Business and Economics also disseminates United Nations information through weekly newsletters, such as notices of competition, events and special information, which are distributed weekly to 600,000 members from 110 countries and regions.",
"Participation in United Nations meetings",
"Regrettably, the Organization has reduced its cooperation with the United Nations and United Nations agencies over the past few years.",
"Cooperation with United Nations bodies",
"The Organization works closely with the Department of Public Information of the Secretariat, the Department of Economic and Social Affairs, the United Nations Children's Fund (UNICEF), the United Nations Educational, Scientific and Cultural Organization (UNESCO) and the United Nations Human Settlements Programme (UN-Habitat).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The International Association of Professional Students of Business and Economics in Jordan has become a regional centre for the management industry internships and channels international talents to major regional consulting companies. The first sustainability project was launched at the International Association of Professional Students of Business and Economics in Bahrain in 2010, with the goal of proposing a comprehensive approach to carbon emission reductions that are carefully studied. In part, in 2007, 2008 and 2009, a total of 4,715 students participated in the development of social programmes, while in 2010, some 1,000 students in interns focused on corporate social responsibility and energy. Some 67 countries provided opportunities for interns in terms of sustainability and corporate social responsibility, while over 200 non-governmental organizations, 140 companies, 90 educational institutions and 14 government agencies provided opportunities for interns focusing on sustainability and corporate social responsibility.",
"In 2007 and 2008, a total of 1,200 young people participated in the Organization's educational interns; in 2009 and 2010, 5,706 students were internships focused on cultural education. Central, Eastern and Central Asia provided about 1,918 opportunities for interns in cultural education, with 1,137 graduates from the same region participating in educational interns. During 2007, the Organization, in conjunction with the standard saving banks, implemented a project that could benefit 300,000 young adults — the age group severely affected by HIV.",
"Other information",
"During the 2010 International Association of Professional Students of Business and Economics, held in India, the second Global Youth Business Forum was hosted by the Indian Academy of Commerce in Herata, with over 600 participants from 110 countries and regions. The scope of the discussions at the Forum was focused on three major topics: the use of innovative youth, labour mobility and diversity, and environmental and enterprise sustainable capacities. A compilation of the views of the discussions was published in the Official Journal of the Warsaw Street Day (see www.aiesec.org/cms/aiesec/AI/press.html#pr6). In addition, in 2010, two important publications show the results of the polling of members on environmental solutions (see www.aiesec.org/cms/aiesec/AI/press.html#pr1). For the Organization's global annual report, see www.aiesec.org/cms/aiesec/AI/partners/publications.html.",
"National Women's Union of China",
"(Special; 1995)",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"The Organization promotes the sharing of the implementation of the Beijing Platform for Action and other outcomes and international experience. It organized the International Forum on Women in Urban Development and celebrated the fifteenth anniversary of the Fourth World Conference on Women, held in Shanghai, China, from 16 to 18 September 2010. Delegates participated in the sixth meeting of the Non-Governmental Organizations Forum for the Asia-Pacific region, Beijing, 22-25 October 2009, and the sixth Millennium Development Goals plus 10 and Beijing 15 regional round tables, held in Port Yang, Viet Nam, from 20 to 22 April 2009.",
"Participation in United Nations meetings",
"Representatives attended the fifty-first to fifty-fourth sessions of the Commission on the Status of Women, held in New York, where written statements were made and made at the Asia-Pacific regional workshops. Delegates also organized parallel events on the theme “The financial and economic crisis from a gender perspective”.",
"• Delegates attended the twenty-third session of the Conference of Non-Governmental Organizations in Consultative Relationship with the United Nations, held in Geneva from 5 to 7 December 2007.",
"• Delegates attended the seventh session of the Human Rights Council (Geneva, 17-21 March 2008) and the meetings of the Human Rights Council on the universal periodic review of the human rights situation in China (Geneva, 5-12 February 2009).",
"Cooperation with United Nations bodies",
"In collaboration with the United Nations International Strategy for Disaster Reduction, the Federation organized an international conference on gender and disaster risk reduction in Beijing from 20 to 22 April 2009, in collaboration with the United Nations Children's Fund, and held a high-level meeting on cooperation for children in the Asia-Pacific region in Beijing from 4 to 6 November 2010. The organization has also collaborated with the United Nations Office in China to undertake the following outreach projects: (2010) Human Development Report for the Asia-Pacific region; (2010) Women and HIV/AIDS; (2009) and 2010) Women and violence. 2006-2010) worked with the United Nations Population Fund on gender equality, violence against women and men; (2007-2010) in collaboration with the United Nations Development Fund for Women (UNIFEM), now known as the United Nations Agency for the Promotion of Gender Equality and Women's Empowerment (ADB) to work to eliminate discrimination against persons infected with HIV/AIDS. In collaboration with the United Nations Development Programme (UNDP) for disaster relief and reconstruction projects for poor and vulnerable women in earthquake-affected areas; 2006-2010, in collaboration with UNICEF, worked on violence against children, child safety and the prevention of trafficking in children, gender equality and family education and child protection in earthquake-affected areas. The Organization also collaborated with the International Labour Organization to prevent the trafficking of young women and children for labour exploitation purposes (2009-2011) in collaboration with gangs to increase women's empowerment through feeding livestock.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"As of December 2010, the FAF microcredit project had issued a loan of 237 million yen currencies to help 540,000 women themselves to entrepreneurship. It has helped 10,355 children orphaned by HIV/AIDS. The spring project has funded a billion yen currency and has constructed more than 1,000 spring schools that have helped over 2 million women. Child re-entry and vocational skills training for 400,000 girls. The guidance project to help female graduates in China provided 160,000 interns and helped to entrepreneurship for 90,000 female graduates. The Organization promotes the new revision of the Village People's Commission's Organic Law, which incorporates the concept of promoting gender equality and others. The Federation also launched a women legal aid service hotline in over 2,500 districts in China.",
"In support of the Government's efforts to reduce maternal mortality, 1,087 vehicles have been distributed to 27 provinces, with 26 million beneficiaries. The Foundation also received funds from the Government of China for the free screening of cervical and breast cancers for rural women; as of December 2010, over 700 women had been screened for cervical cancers and 907,000 women had been screened for breast cancer. The philanthropic foundations that help poor women to cope with these two cancers have funded 3,000 yen.",
"The mother water line project has been used in 24 provinces for 6 billion yen currencies, with the construction of 1250,000 water units and 1,400 small water supply projects benefiting 1.7 million people.",
"Other information",
"The Foundation plans to hold the International Forum on Women and Sustainable Development in Beijing from 9 to 11 November 2011 to complement the upcoming Rio Dec.",
"All India Women's Congress",
"(Special; 1999)",
"Introduction",
"The All-India Women's Congress was one of the most old voluntary institutions in India and was established in 1927 by Margaret. At the beginning of the organization, women's education was a major concern, but the social and economic problems related to women were gradually addressed, including “veil”, child marriage, divorce, women's property rights. Over the years, the Women's Congress has been committed to women's security and their social and economic rights and treatment. At the international level, the Organization is a member of UNICEF, the United Nations Conference of Non-Governmental Organizations in Consultative Relationship, the International Sustainable Energy Network, the World Renewable Energy Network, the International Network on Gender and Energy in Nnajiya and the Global Village Energy Partnership, and is affiliated to the International Women's Union, the Pan Pacific and South-East Asia Women's Association and the Japan Nyimro (NIMROO) Education Centre.",
"Objectives and purposes of the organization",
"The objectives and purposes include:",
"• Efforts to build societies based on principles such as social justice, integrity, equal rights and opportunities.",
"• Ensuring that the inherent rights of everyone to work and to access essential goods such as food, clothing, housing, education, social welfare facilities and safeguards are recognized and that these rights should not be decided by an incident of birth or gender, and by the planned social distribution decision.",
"• Support each citizen's right to basic rights and freedoms.",
"• Opposition to all secession tendencies and promote greater national integration and solidarity.",
"• Active efforts to achieve the overall progress and well-being of women and children and to help women make the best use of their fundamental rights under the Constitution of India.",
"Significant changes in the Organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"Over the past three years, the organization's branches across India have trained almost 4,000 women who operate their own micro-enterprises to help them generate income.",
"Participation in United Nations meetings",
"Representatives of the organization in New York participated in the following meetings:",
"• Centre for Social Studies (13-23 July 2008)",
"• World Renewable Energy Congress (19-25 July 2008)",
"• Regional Summit on Microcredit (Bali, Indonesia, 28-30 July 2008)",
"• Board of Trustees of the International Women's Union (Netherlands, 4-9 October 2008)",
"• Fourteenth Meeting of the Parties to the Convention on Biological Diversity (from 1 to 12 December 2008, Poznan, Poland)",
"• Global NGO Forum (27 and 28 February 2010)",
"• International workshop on violence against women (16-27 May) in partnership with the UNESCO Gender Equality Division",
"• Live visit by the National Women's Union (25-31 July)",
"• World Renewable Energy Assembly (Abkhaza, 25-30 September)",
"• Board of Trustees and international conference of the International Women's Union (Johannesburg, South Africa, 22-28 November)",
"Cooperation with United Nations bodies",
"With the assistance of the World Health Organization (WHO) and the Ministry of Health and Family Welfare of the Government of India, the Organization launched the Billi Smoking Workers Programme, as a follow-up, which has conducted vocational training for women workers in Vieques to develop their capacity to convert into occupation. Early, the Women's Congress organized a project on awareness-raising and alternative occupation for women workers in Badi in seven states in India. In collaboration with the Small Grants Programme developed by the United States Agency for International Development Regional Energy Initiative in South Asia, the Organization has provided funding to women's livelihoods and income-generating self-help groups that focus on South Puri, Sghamvia and Delhi community solar power initiatives.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Goal 1.",
"Goal 2 10 branches of the organization, in addition to school attendance for about 400 children, have also started non-formal schools to provide literacy courses for working women.",
"Goal 5.",
"Goal 7. The organization, in partnership with approximately 100 schools across India, has implemented 250 awareness programmes on environmental protection and waste and water sanitation, including the cultivation of herbnine gardens.",
"Other information",
"There are no other information.",
"Ankara Blood UNICEF",
"Special consultative status, 2007",
"Introduction",
"Ankara Blood UNICEF is a non-governmental organization based in Ankara to provide services at the national level.",
"Objectives and purposes of the organization",
"The Organization aims to provide educational and emotional support and financial assistance and medical services to children suffering from blood or chronic blood diseases to help them cope with these life-threatening diseases. The Foundation also promotes knowledge and provides guidance notes on international access to and genetic blood diseases, as well as the establishment and management of research institutions. In June 2010, the Organization established a white bloody child village in Ankara, with laboratories carrying out clinical studies that could contribute to preventing cancer and improving the treatment of bloodshed. With regard to families who have been displaced because of their lack of treatment facilities in their homes, the Organization has 25-killed homes, which can live in their own children's treatment. For children interviewed in Ankara, the Foundation established accommodation facilities free of charge. The organization opened offices in the Annatoria region of Istanbul and Izmir to facilitate access to services for patients living in those areas. In November 2008, the Organization also launched a school for children who were albined. This is a private school, using the curriculum of the Turkish Ministry of Education, free of charge of kindergartens and primary education. The Organization is also committed to raising awareness of cancer, which hinders sustainable development. Thus, in 2008, the Organization started conducting research sessions in kindergartens, junior and secondary private schools and public schools to promote healthy diets and positive lifestyles.",
"Important changes in the organization",
"The Foundation has been redirected from Ankara's UNICEF, known as Lochov, to the words “Ankara” to avoid creating the impression of local organizations. Recently, the Organization has also added to the text of an expanded mission to include the provision of support to adult cancer patients. The organization will soon be open to adult cancer patients, organize knowledge and psychosocial lectures and create a social space that allows adult patients to carry out occupational treatment.",
"Contribution of the organization to the work of the Organization",
"After special consultative status in 2007, the Organization started to conduct short-term visits to counterpart organizations in neighbouring countries committed to the same cause to share experiences and knowledge. These visits are expected to result in tangible cooperation between the parties in the areas of research, social and health services and cancer prevention.",
"2010: Almaty, Kazakhstan, Al Farabi Hospital; Soya Sofia Childrens Onco-Hematology Hospital; Germany's Foundation for Blooll in Bonn, Germany; Barrencia La FE Hospital and ASPANION Asociación de padres de niños con cáncer de la Comunidad Valenciana; Child Hospital, University of Brussels.",
"2009: King Abdullah cancer Center in Amman and the King's Cancer Foundation.",
"2008: Budapest Together for Children with Tumours Foundation; San Anna Child Hospital, Vienna.",
"2007: London Hospital Clic Sargent and Procancer Research Fund.",
"Participation in United Nations meetings",
"The Organization wishes to work in collaboration with counterparts, in particular the United Nations, to ensure that concrete measures are taken to find solutions to prevent diseases that allow vulnerable groups to enjoy equal opportunities and equal rights in treatment, as in developed countries.",
"Cooperation with United Nations bodies",
"The organization is contacting UNICEF offices in Turkey and United Nations representatives in their specialized areas.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Organization has been supporting and will continue to support poor cancer patients, and financially assist them in paying financial needs arising from disease. Therefore, work focuses on non-communicable diseases.",
"Other information",
"No.",
"Centre for Constitutional Rights Protection of Armenia",
"Special consultative status, 2007",
"Introduction",
"The Armenian Constitutional Rights Protection Centre was established in June 1988 and was a non-profit non-governmental organization based in Ouanazoor, Armenia. The Centre has been the primary human rights education non-governmental organization in Armenia since 1996 and has implemented approximately 70 projects totalling about $2 million.",
"Objectives and purposes of the organization",
"The strategic plan for 2011-2015 was developed during two workshops from May to December 2010, with organizational members, partners, beneficiaries and volunteers. The vision of the Centre, “A world that prevails, is loved and tolerated” and its strategic direction ultimately promotes the rule of law, global justice and peace.",
"Important changes in the organization",
"In 2008, the Organization became a member of the National Assembly and NGO Network and was elected a member of the Council. In 2009, the Centre was registered as a member of the Public Council and its Commission on Civil Society Human Rights. From February to November 2010, a new vision for Armenian human rights schools was developed and ratified. In 2010, the Centre was registered as a member of the National Forum of Civil Society of the Eastern European Commission.",
"Contribution of the organization to the work of the Organization",
"The contribution of the Centre includes:",
"• The Armenian Human Rights School organized four one-year high-level human rights training courses for human rights, civic education, national and legal and ethical teachers in secondary schools in Armenia.",
"• Human Rights Library network. All six human rights libraries have specific parts of the United Nations and serve as a human rights education resource centre to promote the World Programme for Human Rights Education.",
"• During 2007 and 2010, over 80 articles, statements and documents related to the United Nations were published in their journal Legal Culture and For the Sake of Justice in order to familiarize society with the activities of the United Nations. Approximately 2,300 journals were published to educational institutions, libraries, national institutions and non-governmental organizations in all regions of Armenia.",
"Participation in United Nations meetings",
"Delegates participated in the work of the Department of Public Information/NGO Conference Planning Committee and the Commission on the Status of Women at its fifty-first to fifty-fourth sessions in New York. In 2009, the Centre, in cooperation with the United Nations Information Centre in Yerevan, organized a forum to coordinate the participation of human rights education actors in the formulation of recommendations for the second phase of the World Programme for Human Rights Education (2 July), and submitted a paper to the Office of the United Nations High Commissioner for Human Rights (OHCHR) of the Minister for Foreign Affairs of Armenia (AMIS).",
"Cooperation with United Nations bodies",
"The Centre collaborated in the development of a network of human rights libraries to supplement the books on the United Nations. The Centre also collaborated with OHCHR and UNDP and UNICEF offices in Armenia in joint activities and demonstrations with the United Nations Information Centre in Yerevan. The organization also organized human rights courses with UNESCO, UNDP, UNICEF and the United Nations Information Centre in Yerevan.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Organization has taken the following initiatives:",
"• In July 2010, during the humanitarian sensitization of the Democratic Republic of the Congo, Haiti, Kenya and Sierra Leone, representatives distributed health provisions and vitamin supplements to those in need, with about 500 units in each country.",
"144 schoolchildren were taught in this Centre's cooperation, and their youth clubs for human rights education work for 45 young people.",
"• In April 2010, the main representative of the Centre organized and brought to Haiti.",
"• In Kunya, Kenya, a representative of the Centre organized a knowledge and healing meeting for about 20 child victims in secondary schools on a daily basis, focusing on prevention methods and actions.",
"• One delegate was committed to empowering 100 vulnerable women in Kenya and Sierra Leone, making them more healthy children in the context of reducing their risk.",
"• Education courses and workshops on maternal health were held in Kenya and Sierra Leone in 2009 and in Haiti in 2010.",
"• Six humanitarian advocacy missions have been launched in Haiti and Kenya, as well as in previous advocacy sites. A two-week humanitarian campaign was also carried out in Kunya to build partnerships to train solar cooking (August and September).",
"• The Centre coordinates national activities of the Alliance of Armenia of the Global Education Movement, in cooperation with the United Nations Information Centre and UNESCO and UNICEF offices in Armenia.",
"Other information",
"No.",
"Association of Asian Association of Credit Unions",
"Special consultative status, 2007",
"Introduction",
"The Association of Asian Association of Credit Unions is a regional representative of the Credit Union and similar cooperative financial institutions in Asia. The Federation promotes the participation of members in addressing the development problems faced by the Credit Union, such as poverty, gender equality, access to financial services and youth.",
"Objectives and purposes of the organization",
"The Federation is both a trade association and a development organization, whose vision is to create a sustainable credit alliance system in Asia. The mission of the Federation is to promote and strengthen the credit alliance and similar cooperative financial organizations so that they can harness their potential and effectively promote the socio-economic development of the people in the market. The Organization is a regional organization of the Credit Union and performs representation, development, liaison and coordination functions on behalf of the Asian Credit Union movement. The Federation ensures that the credit union plays a significant role in the communities it serves and continues to be in line with previous targets.",
"Important changes in the organization",
"No.",
"Contribution of the organization to the work of the Organization",
"The Organization has regularly reviewed whether the Asian Credit Union adheres to its initial mission, in particular by providing affordable financial services to those who cannot access financial services to improve the well-being of the people. The new credit alliance launched in 1999 provided sustainable financial services to poor sub-markets: the National Partners' Union was able to have the corresponding skills and product operational framework to enable its members to provide the product. In countries where poverty and urban poverty are also poor in rural areas, member organizations believe that this programme is prioritized as a tool for poverty reduction. More than 5 million low-income people have received affordable financial services from the credit alliance supported by the Organization. A new form of microcredit from the Credit Union provides an effective means of poverty reduction that can increase income and encourage poor households to access the market economy. The Federation has continually stimulated and strengthened the capacity of its partners' associations to strengthen focus on sustainable strategies and to benefit more low-income people.",
"Participation in United Nations meetings",
"Not applicable.",
"Cooperation with United Nations bodies",
"The Organization, in cooperation with the United Nations Food and Agriculture Organization (FAO) project, the Regional Fisheries Livelihood Programme, introduced the necessary training tools for its microfinance national consultants to enable them to train beneficiaries in project countries. The programme started its activities in September 2009 and plans to operate for four years in Cambodia, Indonesia, the Philippines, Sri Lanka, Timor-Leste and Viet Nam. The issues to be addressed include limited access to microcredit services, as well as limited supplementary and/or alternative livelihood options. The project aims to strengthen the capacity of small-scale fishing communities involved in this project and their institutions to improve livelihoods and sustainable fisheries resource management.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"In September 2009, the Federation, together with its member organizations, launched a campaign to promote the benefit of a further 100,000 poor by 2012 through the introduction of a new form of microcredit methods for the Alliance of Credit. The organization coordinates and promotes pro-poor and microcredit schemes in seven countries in South-East and South Asia.",
"The education programme on new microcredits of the Credit Union promotes universal access to financial knowledge, promotes maternal health, management, technical skills, good behaviour and right behaviour, and promotes first aid or any theme necessary to improve the living conditions of the poor. The programme could indirectly contribute to raising the level of education for the poor participating in the programme.",
"Women account for 50 per cent of the membership of the credit union, but women's membership is not commensurate with their participation in decision-making. The organization provides a platform for women leaders to discuss women's issues and provide feedback to promote the allocation of women's leadership seats in the credit alliance and the establishment of the Women's Advisory Committee.",
"Other information",
"No.",
"Development Solidarity Association",
"General consultative status; 2007",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"2007: reclassification of general consultative status",
"2008: Observer status for the United Nations Framework Convention on Climate Change",
"2009: As part of its strategic framework for 2010-2015, the Association for International Cooperation for Development and Solidarity becomes the Association for Development Solidarity",
"Contribution of the organization to the work of the Organization",
"The Organization advocates, advocates, formulates policy documents and engages in media work in the areas of financing for development, global governance, enterprise and human rights, climate justice, food security, agriculture and trade and the Millennium Development Goals. The organization also engages in public information campaigns entitled “Making aid a role” (2007) and “Climate justice” (2009-2010).",
"Participation in United Nations meetings",
"2007",
"• 16 April: attended the special high-level meeting with the Bretton Woods institutions, the World Trade Organization (WTO) and the United Nations Conference on Trade and Development (UNCTAD) in New York",
"• 23 and 24 October: At the High-level Dialogue on Financing for Development, held in New York in the General Assembly, statements were made entitled “from Monterrey to Doha”, and side events on a number of issues selected for financing for development” were organized.",
"2008",
"• 14 April: At a special high-level meeting held in New York with the Bretton Woods institutions, WTO and United Nations UNCTAD, presentations were made on innovative sources of financing for sustainable development and held side events",
"• 20-25 April: At the twelfth session of UNCTAD, held in Accra, and participated in a workshop on biofuels",
"• 2-18 June: oral and written statements were made at the eighth session of the Human Rights Council on the mandate of the Special Representative of the Secretary-General on Enterprise and Human Rights, and a side event was held on the issue of the humanization of enterprises and human rights.",
"• 29 November-2 December: side event on tax justice and financing for development and participation in the third and fourth formal round tables of the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, held in Doha",
"2009",
"• 22 September: a statement on climate justice and a panel discussion on adaptation technologies at the Climate Change Summit in New York",
"• 28 September-9 October: side event on climate change held in Bangkok",
"• 5-6 October: OHCHR attended the consultations on the functioning of the enterprise and human rights framework in Geneva and presented the views prepared by John Rugug to the framework",
"• 2-6 November: side event on climate change and emission reduction during the Climate Change Conference held in Barcelona, Spain",
"2010",
"• 31 May to 18 June: Address by the Human Rights Council at its fourteenth session on the work of John Rugug",
"• 11 and 12 October: In the Special Representative's consultations with civil society stakeholders, “protection, respect and remedies: key to the implementation of mandates and follow-up” were presented",
"2008-2010",
"• Participation in the following climate change conference in Bonn, Germany: 2-12 June 2008; 29 March-8 April 2009, 29 May-3 June 2009 (a panel discussion with Malawi on side activities and adaptation technologies); 10-14 August 2009; 31 May-11 April 2010, 31 May-11 June 2010 (a paper on the introduction of direct use practices); 2-6 August 2010.",
"• Participation in the United Nations Framework Convention on Climate Change (1-12 December 2008) in Poznan, Poland, 7-19 December 2009 (a campaign) in Copenhagen, and the fourteenth, fifteenth and sixteenth sessions of the Conference of the Parties, held in Kyun, Mexico, from 29 November to 10 December 2010.",
"Cooperation with United Nations bodies",
"The Organization supports the reform process undertaken by the FAO World Food Security Committee in 2010.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"At the high-level plenary meeting of the General Assembly on the Millennium Development Goals, held in New York from 23 to 25 September 2008, IDA made a statement on the Millennium Development Goals, financing for development and food price crises. The organization held its side event on the Millennium Development Goals and the financial economic crisis in New York from 24 to 26 June 2009. The Organization also held a high-level special meeting with the Bretton Woods institutions, WTO and UNCTAD in New York on 18 and 19 March 2010. The Association for the Development of Solidarity made a presentation on the theme “Towards the Millennium Development Goals in the global financial crisis” and participated in a formal round table on supporting the recovery and development of developing countries with special needs during the High-level Dialogue of the General Assembly on Financing for Development, held in New York on 23 and 24 March 2010. The organization provided input to the United Nations and the NGO Liaison Office at the Millennium Development Goals Summit of May 2010. At the informal interactive hearings of the General Assembly, held in New York on 14 and 15 June 2010, the Association for the Development of Solidarity was the respondents to the fourth formal round table and the United Nations Non-Governmental Liaison Office, on the theme “The Millennium Development Goals” financing reform seminar. At the Development Cooperation Forum held in New York on 29 June 2010, the Organization also organized side events on the Millennium Development Goals and human rights in development cooperation. The Organization organized another side event on the financial crisis and the Millennium Development Goals in New York from 20 to 22 September 2010.",
"Other information",
"There are no other information.",
"Urban networks: regional networks of local human settlements management",
"Special consultative status, 1995",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Significant changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"Urban networks have been working closely with United Nations agencies on all relevant areas of local governments and urban development, including the United Nations Institute for Training and Research (UNITAR), the United Nations International Strategy for Disaster Reduction, the United Nations Human Settlements Programme (UN-Habitat), the Economic and Social Commission for Asia and the Pacific (ESCAP), the United Nations Regional Development Centre and the United Nations Millennium Campaign.",
"Participation in United Nations meetings",
"The Organization participated in the following meetings:",
"2007",
"• Global Platform for Disaster Risk Reduction (12 and 13 April, Japanese Aster, 5-7 June, Geneva)",
"• UN-Habitat expert panel meeting on urban development (3-5 May, Zangi)",
"• UN-Habitat expert panel meeting on gender (25 and 26 June, Japan)",
"• Economic and Social Commission for Asia and the Pacific (ESCAP) Panel of Experts on Infrastructure (Bangkok, 11-13 June)",
"• ESCAP Conference on Good Governance (Macati, Philippines, 15 November)",
"2008",
"• Steering Committee of the United Nations Institute for Local Authorities/Responsibility Network International Training Centre (8 and 9 May, Zordinan, United States of America)",
"• UN-Habitat expert panel meeting on urban development (27 and 28 May, Zangi)",
"• UN-Habitat expert panel meeting on cities for sustainable development in Asia (25-28 August, Manila, Philippines)",
"• UN-Habitat medium-term plan for 2008-2013 (Nairobi, 7-9 October)",
"• Fourth World Urban Forum (3-6 November, South Africa, China)",
"2009",
"• Global retreat of the United Nations Millennium Campaign (Bangkok, 13-14 January)",
"• International Strategy for Disaster Risk Reduction (New Delhi, 23-25 February 2007)",
"• Global Platform for Disaster Risk Reduction (Geneva, 16-19 June)",
"• ESCAP expert panel meeting on urban protection (Bangkok, 21-23 July)",
"• ESCAP High-level Panel on Environment and Development (Bangkok, 2-4 December)",
"2010",
"• Regional Task Force on Disaster Risk Reduction of the International Strategy for Disaster Reduction (13 and 14 January, Mayan, Japan)",
"• ESCAP Net Environmental Initiative Network Conference on North nine continents (10 and 11 February, North-9)",
"• International Strategy for Disaster Risk Reduction (28-30 July, Shanghai, China)",
"• UN-Habitat Regional Partners Meeting on the Impact of Climate Change (15-17 September, Chiang, Republic of Korea)",
"• ESCAP Ministerial Conference on Environment and Development (Astana, 27 September)",
"Cooperation with United Nations bodies",
"The Organization coordinated the following meetings with the support of United Nations agencies:",
"2007",
"• Seminar on health organized by the Institute of Higher Studies and the United Nations University (2 November)",
"• Technical advisory services provided by UNITAR/UN-Habitat on the Millennium Development Goals (MDGs) 18-21 November, Manila, Philippines",
"2008",
"Seminar on climate change and urban wetlands organized by UNITAR (10 and 11 September, Seoul)",
"2009",
"• Profile of the urban project as a risk to cities in accordance with the International Strategy for Disaster Reduction (Country of Viet Nam, 18-20 February)",
"Annual",
"Training courses for the UNITAR Regional Training Centre for Kuala Lumpur",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"• The organization established offices between 2007 and 2008 in Kathmandu to promote the achievement of the Millennium Development Goals in South Asian local governments.",
"• The organization also published in 2007 the eight ways of local authorities and local authorities in the South and changing the world, and in 2008 the “Guidelines on the localization of the Millennium Development Goals and the municipal poverty reduction strategy paper on cities in Nepal” and “10 ways to achieve the Millennium Development Goals in Indian cities”.",
"• With the support of UN-Habitat, the Organization's localization of the Millennium Development Goals, a city-to-urban project and organized leadership training and a seminar on the localization of the Millennium Development Goals in Asian cities through innovative leadership and community capacity activities in Kathmandu in 2007.",
"• In April 2008, the Urban Network organized a Japanese forum on the theme “Where there is no excuse for 2015: the Millennium Development Goals and us”. The Urban Network holds a number of activities each year of the “Towards” campaign. In 2009, the Organization conducted a survey on the achievement of the Millennium Development Goals in cities with a view to assisting in the development of activities for the remaining years.",
"• With support from UN-Habitat and ESCAP, the Urban Network organized a regional seminar on the first place of the urban poor in the local agenda in Maliana, Philippines, in 2010.",
"Other information",
"There are no other information.",
"Earth justice",
"Special consultative status, 1991",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"Earth justice is committed to the promotion of human rights and the protection of the environment, as a fundamental element of sustainable development. The Organization has also focused on climate change, reducing the impact of toxic substances and improving access to water and sanitation.",
"Participation in United Nations meetings",
"The Human Rights Council. The representative of Earth justice participated in all sessions of the Human Rights Council, working with United Nations officials and representatives of governmental and non-governmental organizations to link human rights and the environment. The following are some examples of the work done at each session by Earth justice:",
"2007",
"• Fourth session. The Representative of the Secretary-General on the human rights of internally displaced persons made a report on the operational guidelines on human rights and natural disasters (A/HRC/4/38/Add.1).",
"• Fifth session. A meeting was organized in cooperation with the Special Rapporteur on the transfer and dumping of toxic hazardous products and wastes on the adverse effects of the enjoyment of human rights, on the theme “The challenge of trafficking in toxic waste and products for human rights”.",
"• Sixth session. To support OHCHR in the preparation of a report on human rights obligations in access to safe drinking water and sanitation (A/HRC/6/3).",
"2008",
"• Seventh session. Support was provided for the adoption of Human Rights Council resolution 7/14 on the right to food.",
"• Eighth session. Participation in an event on human rights and climate change organized by the Permanent Mission of Maldives to the United Nations.",
"• Ninth session. Discussions with the Ivorian Government and other members of the Council on the adoption of resolution 9/1.",
"2009",
"• Tenth session. Support was provided for the preparation of the report of the Representative of the Secretary-General on the human rights of internally displaced persons (A/HRC/10/13). Discussions were held with members of the Council and observers to address the adoption of resolution 10/4 on human rights and climate change.",
"• Eleventh session. Statements were made in the interactive panel on the theme of human rights and climate change. Discussions were organized on the extension of the mandate of special procedures, the adoption of the outcome document of the universal periodic review and panel discussions in the Council.",
"• Twelfth session. The proposal for a panel discussion was circulated and the Permanent Mission of Côte d'Ivoire to the United Nations participated in the discussion on the adoption of resolution 12/18, which was based on the adverse effects of the diversion and dumping of toxic hazardous products and wastes on the enjoyment of human rights.",
"2010",
"• Thirteenth session. Discussions with members and observers on the application of Working Group on Arbitrary Detention No. 9/2009, the subject of which was the detention of environmental advocates in Japan.",
"• Fourteenth session. Statements were made in the dialogue of the Mutual Assistance Group on the theme of toxic waste.",
"• Fifteenth session. Discussions were held on the report of the Special Rapporteur on the transfer and dumping of toxic hazardous products and wastes on the adverse effects of the enjoyment of human rights (A/HRC/15/22); the report of the independent expert on the question of access to safe drinking water and sanitation (A/HRC/15/31).",
"United Nations Economic Commission for Europe",
"The representative of Earth justice participated in all meetings of the Working Group of High Contracting Parties to the Ohus Convention and the Compliance Committee, and participated in the meetings of the Special Working Group on Judicial Assistance, Public Participation in Decision-making and Public Participation in the International Forum. Delegates also participated in the Third Conference of the Parties (11-13 June 2008) during which statements were made on the work of the Compliance Committee and participated in several meetings of the Compliance Committee of the London Protocol on Water and Health (12 March and 24-25 September 2008; 25-26 February 2009; 26 January - 22 June-23 June 2010).",
"United Nations Framework Convention on Climate Change",
"The representative of Earth justice participated in the thirteenth Conference of the Parties (Ben, Indonesia, 3-15 December 2007), the Bonn Conference on Climate Change (2-13 June 2009), the Barcelona Climate Change Conference (2-6 November 2009), the fifteenth Conference of the Parties (Copenhagen, 7-18 December 2009) and the sixteenth Meeting of the Parties ( Bali, Indonesia, 29 November-10 December 2009, Cint, Mexico).",
"Cooperation with United Nations bodies",
"The representative of Earth justice participated in a number of meetings held on the recommendations of the Special Rapporteur on the promotion of human rights and the illicit transfer of toxic waste. Delegates also cooperated with the secretariat of the Convention on Hazardous Substances and OHCHR. In addition, representatives made statements at several meetings of the National Committee of the United Nations Environment Programme (UNEP). The representative of Earth justice participated in the second session of the fourth Conference of the Parties of the Stockholm Convention (4-8 May 2009) and the International Conference on Chemicals Management (11-15 May 2009).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"All activities on Earth justice are aimed at promoting linkages between ensuring environmental sustainability and eliminating extreme poverty and hunger.",
"Other notes",
"No other statement was made.",
"European Women's lobby",
"Special consultative status, 1995",
"Introduction",
"The European Women's Desk was established in 1990 as the largest coalition of non-governmental women associations within the European Union. A total of 2,500 organizations were represented by the European Women's Desk.",
"Objectives and purposes of the organization",
"The mission of the Organization is to strive for gender equality and to promote the rights of women in all spheres of public life and private life, and to eliminate all forms of violence against women by all women regardless of their status. Together with its members, the mission sought to mainstream a gender and women's rights perspective into all European Union policies, monitor the situation and seek democracy at all levels and in all areas.",
"Important changes in the organization",
"The mission was expanded between 2007 and 2010, with 30 new national coordinating organizations (from Cyprus, Poland, Romania and Slovenia, respectively), and two organizations across Europe. The mission was able to rely on deep-rooted, transparent and democratic decision-making procedures and consultation procedures and other participatory processes.",
"Contribution of the organization to the work of the Organization",
"The organization contributed to the promotion of a comprehensive reform of the United Nations system for gender equality activities. Over the years, non-governmental organizations working on women's rights and gender equality have been promoting United Nations reform of their gender equality activities, which culminated in the establishment of monks in 2010. This campaign was launched in March 2008 at the Commission on the Status of Women. The mission participated on the date of the launch of the campaign, in which it was particularly active within the European Working Group of the Campaign and served as the focal point for the Working Group in 2009 and 2010 (see www.gearcampaign.org).",
"The mission contributed to the Beijing+15 process and participated in the annual sessions of the Commission on the Status of Women, including the Beijing+5 and Beijing+10 special sessions. The 15-year review provided the Organization with an opportunity to make recommendations and raise concerns on behalf of its members throughout the European Union. The mission prepared a formal Beijing+15 report describing the activities undertaken by the European Union in 12 areas of the Beijing Platform for Action (see www.lobby.org/spip.php?article 124&lang=en).",
"Participation in United Nations meetings",
"The organization participates annually in the sessions of the Commission on the Status of Women and submits them with written amendments to submit these amendments to the European delegations as recommendations, and disseminates them widely to representatives of non-governmental organizations. The organization has been in contact with the current President of the European Union, coordinating the work of the European Non-Governmental Organizations Caucus and actively participating in the NGO Contact Core Group and coordinating the activities of the Core Group.",
"The mission organized meetings on the following themes:",
"• “Cessation of times and participation: the need for girls and women is so different?” (2 February 2007);",
"• “Financing for women's rights: European perspective” (28 February 2008);",
"• “Towards from Beijing to Brussels, there is no calendar” (2 March).",
"The mission participated in meetings on the following themes and made statements:",
"• “Women in shaping the future”, co-organized by the Women's Association of Finland and UNIFEM (1 March 2007);",
"• World Association of Girls' Association meetings on Security Council resolution 1325 (28 February 2008);",
"• Meeting of key organizations on women in decision-making (2 March 2009);",
"• “Establishment of economic institutions for equality and sustainable development”, organized by the Swedish Green Women Association (7 March 2008).",
"The Organization participated in the Beijing+15 Regional Review Conference and its NGO Forum, held in Geneva from 31 October to 3 November 2009. Organization:",
"• Recommendations on the review of progress in the implementation of the Beijing Platform for Action during plenary meetings;",
"• A written amendment to the conclusions of the meeting of the President was submitted.",
"Cooperation with United Nations bodies",
"The Organization cooperates with United Nations agencies and representatives on the following:",
"• European consultations held by the Special Rapporteur on violence against women, its causes and consequences London, 11-13 January 2007;",
"• United Nations Forum on Combating Trafficking in Human Beings (UNGICHD) Initiative (UNGIFT) 13-15 February 2008, Vienna;",
"• Organizing a joint event with UNIFEM and the Network for Women in Development on the theme “Women and migration issues in Europe and the Commonwealth of Independent States” On 4 September 2009, Brussels and subsequently issued a report;",
"• A meeting organized by OHCHR on the theme “Human rights-based responses to human trafficking: challenges and opportunities. Implementation of the Principles and Guidelines on Human Rights and Human Trafficking (Geneva, 27-28 May 2010);",
"• Meeting of the Group of Experts on Violence against Women on good practices in the National Plan of Action to End Violence against Women (NPA) Port of Spain, 13-15 September 2010.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Organization is often focused on development issues, with its mandate to cooperate with organizations supporting the implementation of the Millennium Development Goals, particularly in the context of women's rights.",
"Other notes",
"No other statement was made.",
"Antonio Núñez natural and Human Foundation",
"Special consultative status, 2007",
"Introduction",
"Antonio Núñez natural and human foundations are a civil and non-governmental, self-government and non-profit cultural and scientific organization. The Organization focuses on research and implementation of programmes, projects and actions on environmental protection and its relationship with culture and society. The Organization, in cooperation with other non-governmental organizations in Cuba, advocates the people of the importance of protecting natural and traditional values. The Organization cooperates with national and foreign institutions in the development of culture and science and promotes and supports, inter alia, projects to protect Cuba's national identity. The main programmes of the organization are historical geospatial studies, sustainable development at the local level, sustainable consumption, protection of cultural heritage, environmental education and biodiversity conservation, all of which are supported by a editorial group.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"The Organization's projects are aimed at achieving sustainable development at all levels of society, with particular emphasis on local level. The Organization has implemented projects aimed at achieving the sovereignty of food and guaranteeing the availability of the main food needed by the community. The Organization's historical geospatial studies support the implementation of its cultural values in order to protect traditional objectives, and this work has a great relationship with UNESCO. In working with young people, the Organization encourages science-friendly and research and gender equality in all its actions to ensure adequate representation and training. The organization maintains strong relations with UNDP offices in Cuba and with organizations such as UNESCO, UNICEF and FAO. The Organization participated in a number of activities coordinated by UNEP, FAO and UNESCO and collaborated with the UNDP Office in Havana. The Organization conducted preparatory work and follow-up to the various activities hosted by the United Nations and worked with other non-governmental organizations in Cuba to develop specific proposals for country-level projects and actions, some of which have been granted consultative status with the Economic and Social Council.",
"Participation in United Nations meetings",
"2008",
"• sixteenth session of the Commission on Sustainable Development (New York, 5-16 May)",
"• UNEP Regional Summit for Civil Society in Latin America and the Caribbean, which aims to prepare for the Tenth Global Civil Society Forum ( Buenos Aires)",
"• National workshops for scientific research, hosted by UNESCO (Cuba)",
"• Latin American and Caribbean public policy experience on urban agriculture, hosted by UN-Habitat (Ecuador)",
"• Preparation and organization of a workshop for representatives of eight vulnerable communities (Ecuador, Esmera)",
"• Technical workshops and round tables on the theme “Climate change challenges in Cuba: construction and hurricanes, 2008 experience”, co-sponsored with UN-Habitat and the National Institute of Architects and Engineers (December, Cuba)",
"2009",
"• To promote dialogue and alliances among Cuban non-governmental organizations for better implementation of international projects, co-organized with UNDP (Cuba, 23 February)",
"• People's Forum, Fifteenth Meeting of the Parties (Copenhagen, December)",
"2010",
"• Applications for consultative status with the UNEP Governing Council",
"• UNEP Latin American and Caribbean Civil Society Consultative Meeting (Mexico, Kosul)",
"• “Climate change and women”, co-sponsored with UN-Habitat (Cuba).",
"Cooperation with United Nations bodies",
"The Organization has been working closely with the UNEP Regional Office in Havana to implement the following projects:",
"• “Innovation of the archives of Antonio Núñez”, funded by the UNESCO Regional Office and the National Commission for Cuba",
"• “Means of adaptation to climate change and management risks developed by Cuban women”, funded by the Swiss Agency for Development and implemented jointly with UN-Habitat",
"• Urban risk management, a strategy for adaptation to climate change, funded by the Local Initiative Fund of the Embassy of Canada in Cuba, and implemented jointly with UN-Habitat.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Organization has focused on environmental education, covering two Millennium Development Goals focusing on the protection of the environment and education, such as sustainable consumption, historical geo research, preservation of traditional and local sustainable development. The overall objective of the Organization's environmental education and biodiversity conservation programmes is to help to create a culture of environmental protection in Cuba and to maintain social coordination on a sustainable basis and the environment in order to facilitate the protection of biodiversity and fragile ecosystems.",
"Other notes",
"No other statement was made.",
"Geneva International Model United Nations",
"Special consultative status, 2007",
"Introduction",
"The Geneva International simulation of the United Nations in Geneva is a non-governmental organization exclusively administered by students. The Organization is also active in New York through the United States sub-office.",
"Objectives and purposes of the organization",
"The Organization is mandated to promote United Nations values and principles in young people, particularly in students, through the organization of educational activities.",
"Important changes in the organization",
"Important changes to the organization's constitution include the creation of the Advisory Committee to better teach knowledge. In 2010, the Organization was accredited by the University of Geneva and developed its relationship with Geneva City and Geneva to lay the foundation for future cooperation and financing.",
"Contribution of the organization to the work of the Organization",
"All activities of the Geneva International Model Organization are relevant to the agenda of the United Nations and can be divided into the following categories: simulation activities, seminars and educational participation. At the annual session, students served as diplomats and representatives of the United Nations Secretariat to understand the work of the United Nations. A remarkable series of meetings has supported the themes of humanitarian intervention (2009), human security (2010) and women's development (2011). The organization also organized the simulation of the United Nations Framework Convention on Climate Change and the simulation of United Nations social activities (2009) for the opening of the Global Humanitarian Forum Youth Forum, as well as a simulation event for a preschool General Assembly and Security Council meetings (2010-2011). The organization organized seminars to provide students with opportunities to communicate with peers, United Nations officials and academia. Students can use these seminars to comment on issues related to the United Nations. The events that had been held included a three-day conference on the expectations and ideals of young people on the theme “Young perspectives: education for the twenty-first century”, organized by the United Nations Day in an annual commemorative event on the entry into force of the Charter of the United Nations (2008, 2009, 2010) and the International Year of Youth (2011). The Organization also arranges educational attendance to observe and understand the work of the United Nations in New York and Geneva (2009, 2010 and 2011) and its work in Lebanon (2009) and Kenya (2011) field agencies.",
"Participation in United Nations meetings",
"On the occasion of the International Year of Youth, the Geneva International Model United Nations is organizing a side event on the outcome of the high-level segment of the Economic and Social Council, held in Geneva in July 2011. The theme of the event was “Young perspectives: education in the twenty-first century”.",
"Cooperation with United Nations bodies",
"The organization cooperated with the United Nations on several of the activities listed in its annual programme of work and the activities sponsored by the United Nations. The annual commemoration of the entry into force of the Charter of the United Nations was organized jointly with the NGO Liaison Office and the Director-General of the United Nations Office at Geneva. Other cooperation included the preparation and promotion of the Geneva series organized by UNITA: whether human rights are universal? In 2009, the Organization organized social side events for the Department's global simulation United Nations project. The Organization also collaborated with the United Nations Relief and Works Agency for Palestine Refugees in Lebanon in 2009 and with UNESCO in the study on housing rights in Kenya in coordination with UN-Habitat in 2011.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Organization also promotes awareness of the Millennium Development Goals through an annual programme of activities and encourages the exchange of views on goals that are particularly affected by young people. In 2009, the Conference of the Parties to the United Nations Framework Convention on Climate Change discussed environmental sustainability issues and provided participants with information on national adaptation programmes of action. The 2010 commemoration of the entry into force of the Charter of the United Nations addressed the issue of youth employment, gender-related illiteracy and combating the spread of HIV/AIDS. Activities in 2011 were to support “Women and development: promoting gender-responsive approaches to development ethics”, and the youth perspective conference in 2011 addressed key education issues, in particular education, gender equality, citizenship and integration.",
"Additional information",
"No additional information was provided.",
"Reproductive choice of information groups",
"Special consultative status, 2007",
"Introduction",
"The reproductive selection of information groups is a non-profit non-governmental organization in Mexico.",
"Objectives and purposes of the organization",
"The Organization's mission is to promote recognition, respect and defence of reproductive rights, in particular abortion rights, within the framework of human rights, and to preserve women's free choice. The organization's work is directed at policymakers and public officials from three branches of government, as well as opinion leaders and the media.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"The Organization participated in the update of the National Digest on the Situation of Human Rights in Mexico, which was initially developed by OHCHR in 2003. The organization also participates in the oversight of the election of new members of the National Commission on Human Rights and, together with the Senate Committee, has developed basic transparency and civic participation standards, such as hearings. The organization was a member of the Mexican Urban Human Rights Programme Monitoring Evaluation Agency and participated in a seminar of the Ministry of Health service providers, and a lawyer of the organization presented human rights and reproductive rights to over 400 health professionals at the seminar. The group is the only organization dedicated to women's rights.",
"Participation in United Nations meetings",
"2007",
"Fifty-first session of the Commission on the Status of Women",
"2008",
"Fifty-second session of the Commission on the Status of Women",
"2009",
"• Forty-second session of the Commission on Population and Development",
"• Partners at the Action Conference (Blin, 2-4 September)",
"• Progress and important actions in the implementation of the Programme of Action of the International Conference on Population and Development (ICPD) 7-8 October, Santiago",
"2010",
"• Ninety-eighth session of the Human Rights Committee (New York, 8-9 March)",
"• Fifty-fourth session of the Commission on the Status of Women (New York, 1-12 March)",
"• The 2010 Women's Producation Conference (Washington, D.C., 7-9 June) to promote Goal 5 of the Millennium Development Goals on improving maternal health",
"• Annual session of the Global Health Council on global health, goals and measures (Washington, Colombia, 14-18 June)",
"• World Youth Congress (Groato, Mexico, 23-27 August)",
"Cooperation with United Nations bodies",
"In Mexico's 2009 evaluation of the universal periodic review, the Organization sent information to the Human Rights Council. The Organization also provided information to the Special Rapporteur when consultations with civil society organizations with the Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health. The Organization also requested the Special Rapporteur to comment on the violation of women's human rights by the Government of Mexico resulting from changes to the Constitution at the national level (para. In 2010, Guatemala City.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Organization was an important player in the process of decriminalizing abortion in Mexico City in 2007. The Organization's participation in the institutionalization of safe abortion services and training activities for the delivery of high-quality services are a major contribution to Goal 5. In 2008, the Organization participated in an international initiative on sexual and reproductive rights, entitled “Women in the New Age for Development” aimed at building women's health capacities (the Millennium Development Agenda) to assess and monitor the Millennium Development Goals, focusing on the implementation of sexual and reproductive health rights policies.",
"Additional information",
"No additional information was provided.",
"Hong Kong Federation of Social Services",
"Special consultative status, 2003",
"Introduction",
"The Hong Kong Social Service Association is an umbrella of more than 370 members to provide more than 90 per cent of social welfare services across Hong Kong, China, through 3,000 service units.",
"Objectives and purposes of the organization",
"The organization represents a non-governmental welfare institution committed to the maintenance and development of the Hong Kong Social Welfare. The objective of UNCT is to work with member agencies to promote the development of social services, to strengthen the accountability of social welfare services and to promote better social welfare services; to promote institutions to better serve the community; to advocate for equality, justice, social integration and well-being; and to promote local welfare services as a good example of the international community.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"The organization has been working with the United Nations system and its partners to promote relevant international conventions in the region and to support local non-governmental organizations in meeting the needs of Hong Kong society for social services.",
"Participation in United Nations meetings",
"Representatives of the organization participated in the following meetings:",
"• Forty-fifth session of the Commission for Social Development (New York, 7-16 February 2007)",
"• Third Conference of the Internet Governance Forum (3-6 December 2008, Hélaba, India)",
"• Forty-seventh session of the Commission for Social Development (New York, 4-13 February 2009)",
"• Twelfth United Nations Congress on Crime Prevention and Criminal Justice (December 12-19 April, Salvador, Brazil)",
"Cooperation with United Nations bodies",
"• Co-hosted with seven international community working schools associations, the International Council for Welfare, the International Federation of Social Workers and the Hong Kong local organizations “The 2010 Social Work and Social Development: World Joint Conference on the Agenda”. The Joint United Nations Programme on HIV/AIDS was invited to organize a workshop on the promotion of the Convention on the Elimination of All Forms of Discrimination against Women.",
"• To assist in the preparation of the Hong Kong Third Report of the International Covenant on Economic, Social and Cultural Rights and to submit it to the Committee on Economic, Social and Cultural Rights.",
"• Civic reports were submitted, bringing together the views and concerns of welfare services and service users on the implementation of human rights conventions in Hong Kong.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Board took the following key actions:",
"Goal 1.",
"• On 16 October 2008, a forum on the theme “The future policy path towards poverty alleviation” was held to commemorate the International Day for the Eradication of Poverty; on 16 October 2009, a student attendance seminar and a new book release ceremony for low-income households; and on 15 October 2010, a forum was held on the theme “The effectiveness of policies in addressing poverty?”.",
"• The strengthening of poverty reduction was described in the annual submission to the Hong Kong Administrator from 2007 to 2010.",
"• Recommendations and documents were submitted to previous committees on the establishment of a Child Development Fund to support the long-term development of vulnerable children.",
"• From 2007 to 2010, 12 studies/advisory studies on poverty were conducted and 9 workshops/Forums were held.",
"• Coordination with companies on the provision of recycling/return computers and broadband services for poor households.",
"Goal 3.",
"Consultations were held on basic statistical information on the situation of women and girls ( Hong Kong, 7 October).",
"Goal 4.",
"• In June and July 2007, Thematic Groups and Forums for the Review and Child Protection of Child Deaths were held.",
"• Submission of documents for the counselling scheme for abusers and the review of child deaths",
"• On 13 July 2007, a workshop was held on a pilot project for a review of child deaths.",
"Goal 8.",
"The Conference held a joint World Conference on Social Work and Social Development for 2010 with three international organizations and seven local organizations from 10 to 14 June 2010.",
"Additional information",
"Activities undertaken by the organization to promote human rights include anti-racism advocacy and the promotion of the integration of persons with disabilities.",
"International Network of Free Women",
"Special consultative status, 2003",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"The purpose of the International Network of Free Women is to promote democratic thinking throughout the world, in particular at the national and international levels. The Organization believes that equal representation of women and men in all decision-making processes is essential for this development. The Organization also strives to combat all discriminatory practices that impede women's participation as a full citizen, regardless of the form of such practices, or their physical, civil, economic or legal scope. The Organization strongly supports the goals of the United Nations and the Economic and Social Council in its efforts to promote the adoption of United Nations conventions aimed at protecting and promoting the advancement of women worldwide.",
"Important changes in the organization",
"The geographical distribution of members of the Organization has been expanded.",
"Contribution of the organization to the work of the Organization",
"Representatives of the organization participated in the following activities:",
"2007",
"• Women's contribution to society (26-27 January, Barcelona, Spain)",
"• European Women's Lobby Assembly (25-29 October, BoroVz and Samokov, Bulgaria)",
"• Seminar on trafficking in persons (16 November, Hamburg, Germany)",
"• Seminar on strengthening networks and combating trafficking in persons (8 December, Taiwan Province of China)",
"2008",
"Round table on the theme “Building a non-violent society, resolving conflicts” and on the role of women in peace processes (16 May, Belfast, Northern Ireland).",
"2009",
"• Human rights and democracy (Summit, France, 25 January)",
"• Round table on women and education in the twenty-first century (Cairo, 30 October)",
"2010",
"• Conference on Support of Democracy and Promotion of Human Rights (Blin, 11 June)",
"• Seminars on the theme “Africa Yesterday, today and tomorrow” (Parliament, South Africa, 13 November)",
"Participation in United Nations meetings",
"The organization submitted the following written and/or oral statements:",
"2007",
"At the fifty-first session of the Commission on the Status of Women (New York, 26 February-9 March): “Combating some forms of discrimination and violence against girls” and “forgotten girls and boys who are forced to commit war”.",
"2008",
"At the fifty-second session of the Commission on the Status of Women (New York, 25 February-7 March) “Women's equal participation in conflict prevention, treatment and post-conflict transformation and reorganizing peacebuilding” and “Financing non-governmental organizations for gender issues”.",
"2009",
"At the fifty-third session of the Commission on the Status of Women (New York, 2-13 March), “Women and men are equally involved in decision-making at all levels”.",
"2010",
"At the fifty-fourth session of the Commission on the Status of Women (New York, 1-12 March): “The implementation of the Beijing Declaration and Platform for Action (1995) reviews and outcomes of the twenty-third special session of the General Assembly, in particular women, education, health, violence, girls and participation in decision-making in armed conflict” and “Civil society's awareness of the practical implementation of the Beijing Declaration and Platform for Action and the Millennium Development Goals”.",
"Cooperation with United Nations bodies",
"No information is available.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The activities undertaken by the organization are focused mainly on social awareness activities related to women's human rights, gender equality, women's participation in decision-making, women's rights, universal education, especially women and girls, and appropriate women's health plans. The representative of the organization provided assistance to the Centre for UNESCO in the Netherlands, the Centre for Funding for Education Resources in West Africa. In rural areas, these centres present the Millennium Development Goals to local people. Representatives of the organization participated in the activities of women's festivals (8 March), programmes related to Security Council resolution 1325 (2000) and the Millennium Development Goals programmes and initiatives.",
"Additional information",
"No additional information was provided."
] |
[
"非政府组织委员会",
"2012年常会",
"2012年1月30日至2月8日和2月17日",
"具有经济及社会理事会咨商地位的非政府组织依照经济及社会理事会第1996/31号决议通过秘书长提交的2007-2010四年期报告",
"秘书长的说明",
"目录",
"页次\n1.援助行动组织 2\n2.联合协会 4\n3. L’auravetl’an土著人民信息和教育网 6\n4.法律事务联盟 8\n5.国际自由联盟 10\n6.生命伦理教育协会 12\n7.和平市长会议 14\n8.姆布图农业协会 16\n9.地中海妇女研究中心 18\n10. 黑人妇女全国理事会 19\n11. 撒哈拉生命信托基金 21\n12. 慈幼会 23\n13. 社会党国际妇女组织 25\n14. 国际特奥会 27\n15. 叙利亚全球联盟 28",
"1. 援助行动组织",
"特别咨商地位，1991年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"援助行动组织将发起一项新战略，在2012至2016年期间实施。为实现其使命和目标采用了两级治理结构。其中包括一个由大会负责的负责援助行动组织战略治理工作的附属和联系成员，以及一个由大会选举的由独立成员组成的国际理事会，负责持续和切实有效决策，监督秘书处工作。",
"本组织对联合国工作的贡献",
"2010年，本组织顺利完成参与“Women Won’t Wait Coalition”的工作。2010年7月18日至23日在维也纳召开的题为“Rights Here, Rights Now”的第十八届国际艾滋病会议上正式承认其领导能力。",
"参加联合国会议的情况",
"参加/出席的会议",
"• 多哈全球民间社会论坛，2008年11月26日和27日在多哈举行；和审查《蒙特雷共识》执行情况的发展筹资问题后续国际会议，2008年11月29日至12月2日举行",
"• 联合国世界金融和经济危机及其对发展的影响会议，2009年6月在纽约举行",
"• 联合国南南合作高级别会议，2009年12月1日至3日在内罗毕举行",
"• 联合国贸易和发展会议，2010年5月在日内瓦举行",
"• 妇女地位委员会第五十三届、第五十四届和第五十五届会议，纽约",
"• 经济及社会理事会高级别会议，2011年7月4日至8日在日内瓦举行，本组织国家教育小组和艾滋病毒/艾滋病小组代表提交了书面声明",
"举办的活动",
"本组织举办了三次平行会议：无薪护理工作、全面性教育和学校中暴力侵犯女孩子问题。",
"与联合国机构的合作",
"援助行动组织继续与联合国各机构和专门机构在教育、粮食安全和主权、紧急情况和冲突、妇女权利和艾滋病毒/艾滋病方面合作，编写和为研究论文和研究报告做贡献，联合主办会议。本组织还开展人道主义活动和捐助者资助的业务项目，与联合国独立机构合作，例如联合国妇女发展基金、联合国民主基金、联合国艾滋病毒/艾滋病联合规划署(艾滋病署)、联合国儿童基金、国际农业发展基金、联合国人口基金、联合国开发计划署、联合国粮食及农业组织和世界粮食计划署。",
"援助行动组织与联合国独立机构共同举办的活动包括：",
"• 联合国女孩教育倡议。援助行动组织与教育研究所、伦敦大学、协作，为联合国相关产品和材料提供援助和研究投入。",
"• 联合国人权事务高级专员办事处(人权高专办)。援助行动组织与Marie Stopes(塞拉利昂分部)协作，响应人权高专办的呼吁，为良好和有效实践行动提供投入，对消除孕产妇发病率和死亡率适用基于人权的做法。",
"• 艾滋病署。援助行动组织管理艾滋病署设置加德满都的南亚技术支持设施。",
"• 世界粮食安全委员会。援助行动组织与国际粮食主权计划委员会治理问题工作组和国际乐施会协作，在2010年10月11日至14日和16日在罗马举行的世界粮食安全会议第三十六届会议上提交了一个提案，并与人权理事会密切合作，与特别程序候选人互动。",
"• 教育权问题特别报告员。",
"• 食物权问题特别报告员。",
"• 人人有权享有最佳身心健康问题特别报告员。",
"本组织为支持千年发展目标所采取的举措",
"2007年9月大会会议期间，援助行动组织启动为期五年的宣传活动，名为“HungerFREE”，以千年发展目标的目标1为重点。自那时以来，援助行动组织已开发了各种资源，包括题为“Who’s really fighting hunger？”的报告。该报告于2010年9月14日在纽约召开大会关于千年发展目标高级别全体会议之前发布。",
"2010年9月20日至22日，行动援助组织参加了这次会议，并作为民间社会组织代表参与了圆桌会议一。",
"其他信息",
"没有额外的信息。",
"2. 联合协会",
"特别咨商地位，2007年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织对联合国工作的贡献",
"联合协会一直积极提供人道主义援助，承诺在世界上消除饥饿、疾病和文盲，并一直为朝鲜民主主义人民共和国、印度、印度尼西亚、菲律宾和斯里兰卡提供紧急救援。",
"参加联合国会议的情况",
"不幸的是，自2007年至2010年，协会一直无法参与联合国的任何会议。",
"与联合国机构的合作",
"2010年3月，协会与联合国粮食及农业组织合作，在联合国维持和平部队的协调下，为海地提供粮食援助。粮食援助总额达45吨大米、4.5吨豆类和7 570公升的食用油。",
"本组织为支持千年发展目标所采取的举措",
"消除赤贫和饥饿",
"朝鲜民主主义人民共和国(2007-2010年)。该组织为北Hamkyung和南平安省提供150吨玉米、100吨大米、3 290吨面粉、495吨面条和3.75吨土豆。",
"印度。自2009年以来，在“山羊银行”项目下，本组织向Dungeshwari提供了518只山羊。",
"斯里兰卡(2008-2010年)。本组织与Sewalanka基金会合作，在阿努拉德普勒省帮助修复了一个农业水库、28口饮用水井和农业井。协会还分发了种子、化肥、鸡和牛。",
"印度尼西亚(2009年)。本组织向西苏门答腊省遭受震灾的八个地区的1 371户提供了25 880公斤大米、300顶帐篷和308套厨房用具。",
"普及初等教育",
"朝鲜民主主义人民共和国(2009年)。该组织向12所学校提供学习用品(55 020个笔记本、107 136支笔和5 288个书包)。",
"印度。该协会在Dungeshwari开办Sujata学院。截至2010年12月，大约有869名儿童完成小学教育。",
"菲律宾。本组织在棉兰老岛修建13所学校，为6 491名学生提供学习用品。",
"柬埔寨(2009-2010年)。本协会建立了7所学校，为位于Kouk Krasang、Kouk Rovieng、Thmor Teuk Dach和Pachon Thum tun Krah Ta Veaeng Leu的1 034名学生提供学习用品。",
"印度尼西亚(2009年)。在西苏门答腊地震后，本组织为1 260名学生提供了519套校服、700个书包和1 307套学习用品。",
"海地(2010年)。本组织在被地震摧毁的Leogane的五个村庄修复了五所学校。",
"促进两性平等并增强妇女权能",
"印度。本组织成立了一所小学，截至2010年12月，为50 869名学生、486名男生(55.9%)、383名女生(44.1%)提供免费教育。",
"降低儿童死亡率",
"朝鲜民主主义人民共和国。本协会为孤儿院和残疾儿童院提供基本的营养食品(豆浆719 424吨、奶粉67吨、海带汤粉25吨、营养食品20吨)。",
"印度。Jivaka Dungeswari医院采用世界卫生组织的标准，对1 210名5岁以下儿童进行调查。调查发现，14.4%的儿童体重不足。协会还为764个体重不足儿童提供营养食品。Jivaka医院还为婴儿提供免费的肺结核、白喉、破伤风、百日咳、麻疹和甲型肝炎接种疫苗。",
"改善产妇保健",
"印度。自2007年以来，Jivaka医院已为Dungeswari提供了计划生育教育。作为该计划的一部分，2009年12月22日，25位居民接受了免费的计划生育手术。2009年以来，协会为母亲提供营养，为孕妇提供铁营养补充剂。",
"防治艾滋病毒/艾滋病，疟疾和其他疾病",
"印度。本组织2001年11月在Dungeswari第一次启动消除结核病项目。Javika医院于2008年6月通过了经修订的国家结核病防治计划。自那时以来，就医的平均时间从21个缩至6个月。",
"确保环境的可持续性",
"印度。本组织在Dungeswari修建了33口井和手动水泵。",
"菲律宾。本协会在整个棉兰老岛修建了12个饮用水井。",
"柬埔寨。本协会在Kouk Krasang和Kouk Vieng打了两口井。",
"其他信息",
"没有额外的信息。",
"3 L’auravetl’an土著人民信息和教育网",
"特别咨商地位，2007年",
"导言",
"L’auravetl’an土著人民信息和教育网是一个伞式国家组织，代表西伯利亚以及俄罗斯联邦北部和远东地区20多个土著社区。",
"本组织的目标和宗旨",
"本组织的主要目标是提高这些土著社区积极参与的能力，并建立一种机制，让土著社区与外部世界以及相互之间进行沟通。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国工作的贡献",
"本组织监测大会的所有常会和特别会议、经济及社会理事会及其附属机构的年会以及其他注重土著问题机构的年会。在联合国主办的会议期间，本组织代表做了18次书面和口头陈述，提出3个联合声明。",
"参加联合国会议的情况",
"2007年",
"• 第六十届新闻部/非政府组织会议",
"• 与民间社会代表就宗教间和文化间理解与合作促进和平进行非正式互动听证会(10月4日和5日，纽约)",
"• 关于讨论土著居民问题工作组继续开展工作最适当机制的非公开会议(12月6日和7日，日内瓦)",
"本组织还举行了一系列针对土著人民组织、学术界和联合国各机构代表的教育会议如下：",
"• 主题为“土著人民传统知识”的研讨会，其间举行了第六届联合国土著问题常设论坛",
"• 在第六十届新闻部/非政府组织会议期间举办的传统知识讲习班。",
"2008年",
"本组织参加消除种族歧视委员会第七十三届会议(7月27日至8月15日，日内瓦)。",
"2009年",
"本组织参加德班审查会议(4月20日至24日，日内瓦)。本组织与世界知识产权组织(知识产权组织)共同编写并在土著问题常设论坛第八届会议(5月27日，纽约)期间印发了一个题为《土著人民传统知识》的小册子。",
"2007年和2010年",
"本组织参加2007年10月和2010年11月在莫斯科、2007年11月和2010年11月至12月在日内瓦举行的土著人民奖学金计划中的俄罗斯语言部分。",
"2007年至2009年",
"本组织参加了在纽约举行的第六届、第七届和第八届联合国土著问题常设论坛会议。",
"2008年至2010年",
"本组织参加了在日内瓦举行的知识产权组织政府间知识产权、遗传资源、传统知识和民间文学艺术委员会第十三、第十四和第十七届会议。",
"2008年和2010年",
"本组织参加了在日内瓦举行的第一届和第三届土著人民权利专家机制会议。",
"与联合国机构的合作",
"2008年",
"本组织与知识产权组织协作，印发了题为《土著人民传统知识》的小册子(英语和俄语)。",
"2009年",
"本组织与人权高专办合作，着手启动一个项目，把《世界人权宣言》翻译成俄罗斯联邦10种土著语言(Veps、卡累利阿语、恩巴卡语、涅涅茨语、Shorian、埃文基语、阿尔泰语、雅库特语、Khakas和Tuvinian语)。该组织与知识产权组织合作，于10月22日和23日为来自西伯利亚和俄罗斯联邦北部和远东地区的土著社区代表，举办关于土著人民传统知识：保护和法律保护问题，国际和国家方面的国际研讨会。",
"组织在支持千年发展目标所采取的举措",
"本组织支持实现千年发展目标，开展法律宣传，为土著人民代表举办教育研讨会，向他们介绍获得土地和自然资源的权利。在2007-2010年期间，共召开16次为期三周的法律培训和32个研讨会，专门研究有关土著人民获得土地、水和森林资源权利问题。",
"其他信息",
"没有额外的信息。",
"4. 法律事务联盟",
"特别咨商地位，2007年",
"导言",
"法律事务联盟致力于通过用以下方式促进和保护人权：提高公众的敏感性；在地方、国家和国际一级进行宣传；以及加强本联盟的成员组织。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"本联盟为2010-2013年期间编制和通过了一个新的四年期战略计划。",
"本组织对联合国的工作所作贡献",
"过去四年来，本联盟及其成员组织的工作重点是促进和保护边缘化群体的人权，特别是流离失所者(难民、回返者、境内流离失所者)和属于少数民族的人。克罗地亚于2008年通过了一项关于免费法律援助的新法律；根据该项法律，本联盟现有的9个成员组织中有6个组织登记成为免费法律援助提供方。它们将继续向所有需要援助的人提供免费法律援助。",
"本联盟在过去四年内执行的大多数重要项目的重点包括：",
"• 现代技术在促进和保护人权方面的作用和责任",
"• 促进和保护人权",
"• 在地方和区域一级促进欧洲的反种族主义和反仇外心理的价值观",
"• 东南欧的少数人权利，包括克罗地亚2007-2008年期间的国家行动计划",
"参加联合国会议的情况",
"2008年",
"• 促进和保护人权联盟执行主任奥西耶克参加了9月3日至5日在巴黎举行的第六十一次新闻部/非政府组织会议。",
"• 本联盟参加了9月3日至5日在巴黎举行的以“重申所有人的人权：《世界人权宣言》发表60周年”为主题的会议；该会议的主办方是非政府组织执行委员会，协办方是新闻部、教科文组织、人权高专办和法国。",
"与联合国机构的合作",
"• 本组织与联合国难民事务高级专员办事处(难民署)驻克罗地亚代表处、克罗地亚司法部、人权中心及促进和保护人权联盟协作，于2010年7月26日在萨格勒布组办一次以“诉诸法律：应用关于免费法律援助的法律一年所得经验”为主题的国际会议。",
"• 2010年4月，本联盟成为参与普遍定期审议的民间社会组织组建的一个特设联盟的成员。该特设联盟举行了几次工作会议，以彻底审议克罗地亚的人权现况和保护情况，并提出报告；其目的是要强调最引人注目的侵犯人权行为，并就如何和应该如何改善当前的状况提出建议。",
"本组织为支持千年发展目标所采取的举措",
"• 在世界难民日、消除种族歧视国际日、禁止法西斯主义和反犹太主义国际日和人权日期间，本联盟在克罗地亚的一些城镇组办了许多活动",
"• 本联盟在其正式网站、以印刷品形式及在本地和国家电子媒体的广播中发表了有关声明",
"• 本联盟的代表参加了电视节目并就难民和少数民族面临的问题及克罗地亚人权的一般状况发表讲话",
"• 在2010年世界难民日之际，本联盟发起人道主义行动，以帮助克罗地亚两个地区的回返者和难民；但是，只有一个公司作出回应，向有幼小子女的回返者家庭提供巧克力和糖果包",
"补充资料",
"自2008年4月以来，本联盟一直是欧洲非政府救济和发展组织关于扩大、加入前和邻里问题工作组的成员。",
"5. 国际自由联盟",
"一般咨商地位，1995年",
"导言",
"国际自由联盟是一个由自由派政党组成的世界联合会，亦是一个供执政党和反对党面对面交流意见和促进对话、磋商和激发创造、加深和巩固(自由)民主制度的国际论坛。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"欧洲议会议员Hans Van Baleen取代Alderdice勋爵成为本组织的新任主席。",
"本组织对联合国的工作所作贡献",
"2007年",
"• 4月30日在墨西哥坎昆举办一个以“安全与人权”为主题的人权讲习班",
"• 9月26日至29日在中国台湾省台北市举行一次人权会议",
"• 12月7日至10日在台北市举行一次以“加强网络和打击贩运人口行为”为主题的人权会议",
"2008年",
"• 5月15日至17日在北爱尔兰的贝尔法斯特举行的国际自由联盟第五十六届大会上本组织的人权委员会提交了关于儿童兵的特别报告",
"• 5月15日至17日在北爱尔兰的贝尔法斯特举行的国际自由联盟第五十六届大会上就下列问题通过了决议：当前的全球局势和禁止基于性取向的迫害和歧视、言论自由、气候变化、粮食价格、克服冲突和全球人口危机",
"2009年",
"• 1月25日在法国斯特拉斯堡举行的以“全球经济危机对民主和人权的影响”为主题的本组织执行委员会会议上就加沙的人道主义危机、刚果民主共和国东部的暴力行为、结束世界上的性剥削和性虐待行为等问题通过了决议",
"• 5月1日至3日在加拿大温哥华举行的以“加强自由议程”为主题的本组织执行委员会会议上通过了关于阿富汗妇女权利和关于科索沃和摩尔多瓦共和国局势的决议",
"• 10月29日至31日在开罗举行的国际自由联盟第五十七届大会上通过了关于当前全球局势和其他国家及区域问题的决议",
"2010年",
"• 2月15日至17日访问基希纳乌，以考察该国的人权状况",
"• 3月8日和9日在日内瓦通过其青年组织——国际自由青年联合会——共同组办了日内瓦人力资源、宽容和民主问题高峰会议",
"• 6月11日至13日在柏林举行的本组织执行委员会的会议期间举办了一次以“人权与妇女的参与”为主题的小组讨论会",
"• 11月13日和14日在南非开普敦举行的本组织执行委员会会议上通过了一些决议并促进了非洲的权力下放",
"参加联合国会议的情况",
"2007年",
"人权理事会会议，日内瓦，3月27日至29日",
"2008年",
"第六十一次联合国新闻部/非政府组织会议，巴黎，9月3日至5日",
"2009年",
"• 普遍定期审议工作组第四届会议，日内瓦，2月2日至13日",
"• 人权理事会第十届会议，日内瓦，3月2日至27日",
"• 与人权高专办的会议，日内瓦，6月17日",
"• 人权理事会第十二届会议，日内瓦，9月14日至10月2日；向人权理事会提交一份书面发言",
"• 第六十二次联合国新闻部/非政府组织会议，墨西哥城，9月9日至11日",
"2010年",
"• 人权理事会第十三届会议，日内瓦，3月10日",
"• 经济及社会理事会非政府组织委员会常会，纽约，6月4日",
"• 大会第三委员会一般性辩论会议，纽约，10月28日",
"与联合国机构的合作",
"2008-2009年",
"本组织秘书长多次会见联合国大会主席斯尔詹·克里姆",
"2009-2010年",
"• 派驻纽约联合国总部的副主席得到认可",
"• 派驻联合国日内瓦办事处的人权委员会副主席得到认可",
"本组织为支持千年发展目标所采取的举措",
"• 每年向为促进自由和人权作出杰出贡献的个人颁发本组织的“促进自由奖”",
"• 本组织出版一本题为《给自由下定义：国际自由联盟促进自由奖前25年概况》的书(2009年)，其中载有1985-2009年期间“促进自由奖”获得者的讲话",
"• 本组织定期出版人权特别通讯，以提高对侵犯人权行为的意识和为所有人促进平等权利。2008年的一期刊物《自由问题》专门讨论民主过渡和人权问题，恰逢《世界人权宣言》发表六十周年之际",
"补充资料",
"成员党派在全世界各国议会和政府中都有代表，使本组织具备直接影响制定和执行重要国际政策及外交活动的潜力。",
"6. 生命伦理教育协会",
"特别咨商地位，1999年",
"导言",
"生命伦理教育协会是一个总部设在加拿大的非政府组织，致力于提高公众对“生命权”问题的意识，特别是对出生前和临终时的“生命权”的意识。",
"本组织的目标和宗旨",
"本组织力求为未出生的婴儿、残疾人、体弱者和老人代言，促进尊重从受精到自然死亡的所有人类生命，加强和推动公众对生命问题的理解和知识，包括但不限于胎儿发育、人工流产、新的生殖技术、领养、安宁看护、安乐死、医生协助自杀、人体实验、人工流产后综合征及贞节/禁欲教育。",
"本组织内的重要变化",
"本组织的主要代表被调派至纽约，从而极大地提高了本组织参加联合国会议和与被经济及社会理事会认可的其他非政府组织建立联系的能力。",
"本组织对联合国的工作所作贡献",
"除参加联合国的会议之外，本组织还与被经济及社会理事会认可的其他非政府组织合作，帮助为广泛的联合国社会组办活动。本组织的代表还在联合国会议(如妇女地位委员会)期间由其他组织主办的小组会和会外活动上发言。2010年9月15日，本组织与其他非政府组织(如关注家庭协会和产妇护理国际组织)及菲律宾和马拉维常驻联合国代表团合作，召开一次专家小组会，讨论千年发展目标的目标5和孕产妇保健问题。",
"参加联合国会议的情况",
"2007年",
"• 妇女地位委员会，2月26日至3月9日",
"• 人口与发展委员会，4月9日至13日",
"2008年",
"• 社会发展委员会，2月6日至15日",
"• 妇女地位委员会，2月25日至3月7日",
"• 人口与发展委员会，4月7日至11日",
"• 联合国艾滋病毒/艾滋病问题高级别会议，6月8日至10日",
"• 社会发展委员会，2月6日至15日",
"• 妇女分娩会议，2007年10月18日至20日",
"2009年",
"• 妇女地位委员会，3月2日至13日",
"• 人口与发展委员会，3月30日至4月3日",
"2010年",
"• 社会发展委员会，2月3日至12日",
"• 妇女地位委员会，3月1日至12日",
"• 人口与发展委员会，4月12日至16日",
"• 千年发展目标高级别会议，9月20日至22日",
"• 世界青年会议，2010年8月24日至27日",
"• 妇女分娩会议，2010年6月7日至9日",
"在筹办联合国青年年的过程中，本组织一直积极努力，通过对话和研讨会向年轻成员通报情况。",
"与联合国机构的合作",
"不适用。",
"本组织为支持千年发展目标所采取的举措",
"本组织是2010年9月一次有关目标5(孕产妇保健)的活动的东道方和主办方。本组织认为，必须通过为本组织的志愿人员在参加联合国会议之前组织培训班的方法，让年轻人了解联合国的工作，特别是有关目标2、3、4和5的工作，从而使他们能够与非政府组织的其他代表、联合国人员和各国的代表展开讨论和交流。自2007年到2010年，本组织培训了100多名年轻志愿人员，他们后来作为本组织的代表出席了联合国的会议。",
"7. 和平市长会议",
"特别谘商地位，1991年",
"导言",
"1945年8月，两颗原子弹分别摧毁了广岛市和长崎市，并夺去几十万人的生命。超过六十五年后的今天，许多幸存者的身体和心理仍在遭受核辐射的影响。为确保原子弹造成的悲剧永远不在地球上重演，广岛和长崎一直努力向世界发出忠告：核武器是非法和不道德的，必须彻底消除。1982年6月24日，在纽约联合国总部举行的第二届裁军特别联大上，当时的广岛市长荒木武宣布了城市团结一致促进彻底废除核武器方案——它是一项建立跨国城市间团结关系，以促进集体努力消除核武器的计划。广岛和长崎的市长联合呼吁世界各国城市支持该方案。和平市长会议是已正式明确表示支持上述方案的各国城市的大会。1990年3月，和平市长会议在新闻部登记为非政府组织。",
"本组织的目标和宗旨",
"和平市长会议提高国际公众对废除核武器问题的认识，此外还努力减轻饥饿和贫穷现象，协助逃离本地冲突的难民，支持人权和保护环境以使其为实现持久世界和平作出贡献。和平市长会议近来一直将消除核武器作为工作重点。这种非人道、非法的武器对人类的存在本身构成威胁。2003年以来，本组织一直在促进其2020年展望运动，这是一场到2020年禁止核武器的紧急运动。和平市长会议近来与世界各国城市、市民和非政府组织一道组织了多种活动，最近一次是开展要求迅速开始核武器公约谈判的请愿运动。",
"本组织内的重要变化",
"通过促进2020年展望运动和2020年裁军目标，本组织的成员数从2007年的1 500个城市壮大到2010年的将近4 400个城市。这个壮大过程需要加强组织的网络和改进成员城市间的通信方法。2010年5月举行的不扩散核武器条约(不扩散条约)缔约国2010年审议大会通过的最后文件在该大会历史上首次提及核武器公约。根据这一成果，本组织在广岛举行了到2020年彻底废除核武器会议，通过了《广岛呼吁》——一套新的运动准则，包括呼吁开始关于核武器公约的谈判。",
"本组织对联合国的工作所作贡献",
"联合国大会的第一项决议就是关于核裁军的决议。本组织正通过其成员、工作人员和非政府组织盟友，向全球各个角落传播核裁军讯息。",
"参加联合国会议的情况",
"由本组织成员市长和同盟伙伴组成的市长代表团参加了2007、2008和2009年举行的不扩散条约审议大会筹备委员会会议。本组织来自10个国家30个成员城市的89名代表还参加了在纽约举行的2010年不扩散条约审议大会。和平市长会议还出席了2009年在墨西哥城举行的第六十二届新闻部/非政府组织会议。本组织工作人员出席了联合国在纽约、日内瓦和维也纳的多次会议。",
"与联合国机构的合作",
"和平市长会议与联合国裁军事务厅和非政府组织裁军、和平与安全委员会保持密切联系，并尽最大努力与该厅协调其全部活动。2010年7月，本组织邀请裁军事务部一名高级政治事务干事前往广岛，在广岛会议上发言。本组织的100万份要求消除核武器请愿表自2011年3月以来一直在联合国总部展出。",
"本组织为支持千年发展目标所采取的举措",
"和平市长会议是全世界壮大速度最快的国际城市协会，可能也是规模最大的此类协会。本组织将各国城市组织起来的初衷是消除核武器，但本组织认为它最终将为实现全球伙伴合作这一目标作出重大贡献。",
"8. 姆布图农业协会",
"特别谘商地位，1999年",
"导言",
"姆布图农业协会是1993年1月成立的非政府、非政治和非宗教组织。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"本组织在联合国开发计划署(开发署)、世界粮食计划署、可持续发展教育和生态设计国际组织、联合王国AWARE项目、有机作物改良国际协会、美国国际开发署和阿尔迪大学和达累斯萨拉姆大学教育学院等本地大学的合作下，已扩大到全国和国际两级。",
"本组织对联合国的工作所作贡献",
"2009",
"• 本组织为普瓦尼省基巴哈县姆拉迪济区鲁伏河沿岸的园艺植物和水稻种植者开展了一个用地养护项目",
"• 本协会开展了一个控制土地退化项目，具体途径是使莫罗戈罗省基隆贝罗县伊法卡拉乡基隆贝罗河和鲁梅莫河流域的农民提高对该问题的认识(7月至10月)",
"• 本组织为普瓦尼省基巴哈县姆拉迪济区鲁伏河谷种植水稻的小农户开展了一个水生生物保护方法项目",
"2010年",
"本协会在坦桑尼亚联合共和国达累斯萨拉姆市沿尼雷尔路开展了一个植树项目。",
"参加联合国会议的情况",
"本组织出席了2007年12月10日至14日在坦桑尼亚联合共和国阿鲁沙举行的第五届非洲人口会议。",
"与联合国机构的合作",
"2008年，本协会首席执行干事获开发署坦桑尼亚联合共和国办事处的邀请和全额赞助，以出席2008年5月2日至6日在阿鲁沙举行的沙利文峰会。该峰会的与会者是非洲和美国基础设施、旅游及环境部门的创业者和投资人，目的是满足坦桑尼亚联合共和国和非洲的发展需要，并争取与亚洲建立战略合作伙伴关系和探索从亚洲获得投资的机会。",
"本组织为支持千年发展目标所采取的举措",
"目标6：防治艾滋病毒/艾滋病、疟疾和其他疾病",
"支持缀学青年接受对性别问题有敏感认识的性健康和生殖健康及艾滋病毒/艾滋病教育：",
"• 在鲁伍马省图安戈马和昌贡贝(滕梅基县)及姆巴姆巴贝(姆宾加县)的各种学校设立了120个健身俱乐部、8个剧社和15项竞赛",
"• 选拔和培训120名缀学青年为同学担任同侪教员",
"• 培训200名缀学青年担任谋生技能和艾滋病毒教育的同侪教员",
"本组织对38名性工作者进行了教育，向其传授协商使用避孕套等较安全性交方式的知识，并培训120名男子促进谋生技能以及在性关系和家庭关系中采取负责任的行为方式。本组织还募资购买了12纸箱的避孕套，并将其分发给社区内的群体。",
"本组织确定了36名毒品使用者/滥用者，并制定了解决其毒品滥用问题的战略。十一名毒品滥用者停止了滥用行为，并正在接受治疗和戒毒。",
"本组织与塔巴塔和基马拉的社区在周围地区开展环境卫生合作，以减少蚊子孳生地，受益家庭总数达200个。本组织编写了资料，说明使用驱虫蚊帐和前往卫生单位获得早期诊断及治疗的重要性。",
"附加信息",
"本组织在2008至2010年期间的所有活动中，均制定了有关透明度的最佳做法。本协会是拥有74个成员的注册农业协会信托机构。所有成员均参与项目的规划、设计和执行。",
"9. 地中海妇女研究中心",
"特别谘商地位，1987年",
"导言",
"地中海妇女研究中心的地域范围：希腊、地中海地区、欧洲、亚洲、非洲。",
"本组织的目标和宗旨",
"• 研究、分析和改善妇女在家庭和经济、社会与公共生活中的状况",
"• 提高认识和促进行动，以推进男女在所有生活领域中的平等",
"• 提高妇女对生态问题的敏感认识，动员妇女保护环境和使地中海盆地免遭污染",
"• 协助妇女保护其文化遗产和维护妇女的价值观",
"• 通过教育增强妇女能力，以在所有生活领域中行使其权利",
"• 为地中海地区解决冲突和促进和平制定方法和采取举措",
"• 发起促进民主与人权的活动",
"• 支助有关艾滋病毒/艾滋病、吸毒、酗酒、暴力、种族主义、仇外心理和青年犯罪等重大关切事项的国家、区域和国际运动及方案",
"为此目标，本组织设定了各种责任领域：",
"• 女权主义和面向行动的研究",
"• 社会性别研究方案",
"• 主要与妇女和青年相关的多种问题的研讨会、专题讨论会、讲习班和会议",
"• 促进和平与安全的女权主义方法方案",
"• 与保护环境相关的活动",
"• 面向发展中国家妇女的发展项目",
"本组织内的重要变化",
"2009年5月，本组织成为安娜·林德基金会网络的成员。该机构活跃于地中海国家，目标是促进地中海地区的不同文化间对话。",
"本组织对联合国的工作所作贡献",
"本组织与联合国人口基金共同举办两次促进执行安全理事会第1235(1999)号决议的讲习班。",
"参加联合国会议的情况",
"• 2007年4月30日至5月11日，一名董事会成员出席了在纽约举行的联合国可持续发展委员会第十五届政策会议。",
"• 2009年6月24日至26日，同一名董事会成员出席了在纽约举行的联合国世界金融和经济危机及其对发展的影响会议。11月9日至15日，本组织秘书长出席了在多哈举行的联合国反腐败公约缔约国会议第三届会议。",
"• 2010年5月3日至14日，同一名董事会成员出席了在纽约举行的可持续发展委员会第十八届会议。10月18日至22日，本组织主席和财务主任出席了在维也纳举行的联合国打击跨国有组织犯罪公约缔约方会议第五届会议。",
"与联合国机构的合作",
"2月19日至23日，本组织与联合国人口基金(人口基金)技术支助司合作，共同为来自印度尼西亚12个不同地区的女性和男性学员举办了为期五天的能力建设培训讲习班，主题是“领导、管理、交流技能与项目规划”。讲习班在印度尼西亚巴厘岛举办，由人口基金负责供资和组织工作，本中心则负责组织和实施培训。讲习班重点讲解了安全理事会第1235(1999)号决议。",
"6月10日至15日，本组织继续与人口基金合作，共同在土耳其伊斯坦布尔为伊拉克妇女举办为期五天的能力建设培训讲习班，主题是“解决冲突、交流技能和组织机构管理”。讲习班重点讲解了安全理事会第1235(1999)号决议。",
"本组织为支持千年发展目标所采取的举措",
"未采取任何举措。",
"10. 黑人妇女全国理事会",
"全面咨商地位,1995年",
"导言",
"黑人妇女全国理事会是一个全国非洲妇女组织和社区组织的理事会。该理事会成立于1935年，其任务是领导、发展并倡导非裔妇女支持她们的家庭和社区。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国工作的贡献",
"一名本组织代表协助组织了新闻部/非政府组织第六十次年度会议，会议主题为“气候变化：如何给我们所有人带来影响”。这名代表在规划委员会的网络委员会工作，争取让非政府组织结成伙伴关系参与气候变化问题的工作。此外，本组织的四名成员出席了这次会议，并随后在其当地社区会议上提交了关于各方案的报告，在4个不同场合共约150人与会。本组织国际部教育方案在华盛顿特区的国家广场举行黑人妇女全国理事会黑人家庭团聚庆祝活动，期间本组织一名代表分发了500多份《非洲复兴》杂志。500 000多人参加了这次活动。本组织一名代表在纽约非政府组织妇女地位委员会媒体外联委员会工作，以促进第五十二届联合国妇女地位委员会会议的会议和非政府组织协商日活动。此外，本组织的5名成员出席了这次会议。本组织一名代表向各成员提交了关于方案活动的报告，并提交了供本组织通讯用的文章。",
"参加联合国会议的情况",
"2007年，本组织成员出席了新闻部/非政府组织第六十一次年度会议(9月5日至7日，纽约)。",
"2008年",
"• 妇女地位委员会第五十一届会议，主题为“为两性平等和赋予妇女权力进行资金筹措”(2008年2月25日至3月7日，纽约)",
"• 美利坚合众国联合国协会(美国联合国协会)届会，主题为2008年总统选举期间妇女问题的机遇(2008年3月13日，纽约)",
"• 美国联合国协会会议，主题为《禁雷公约》十周年评估(2008年4月3日，纽约)",
"• 大会工作最新动态：大会主席SrdjanKerim向非政府组织通报情况(2008年7月10日，纽约)",
"与联合国机构的合作",
"2009年",
"• 本组织代表参加非政府组织协商日(3月1日，纽约)",
"• 本组织代表参加妇女地位委员会第五十三届会议(3月2日至13日，纽约)",
"• 本组织代表参加妇女地位委员会活动，主题为“护理艾滋病毒/艾滋病患者对女孩和年纪较长妇女的影响”(3月5日，纽约)",
"• 本组织代表参加美国联合国协会讲习班，主题为解决美国总统提出的艾滋病紧急救援计划中的护理负担和性别差距(3月12日，纽约)",
"• 本组织代表参加妇女地位委员会举办的《北京宣言和行动纲要》(1995年)执行情况十五年期审查活动和大会第二十三届特别会议成果(2000年)审查活动(3月1日至12日，纽约)",
"2010年",
"本组织代表参加纪念关于妇女与和平与安全的安全理事会第1325(1999)号决议十周年的活动(10月25日至29日，纽约)",
"本组织为支持千年发展目标所采取的举措",
"本组织与妇女参与法律和发展协会及其他妇女组织合作提供基础教育和技术接入方案，帮助妇女在贝宁设立扫盲与经济发展方案。",
"11. 撒哈拉生命信托基金",
"特别咨商地位，2007年",
"导言",
"撒哈拉生命信托基金是一个免税的慈善组织，享有经济及社会理事会咨商地位，获得巴基斯坦慈善中心认证，并获加拿大、大不列颠及北爱尔兰联合王国和美利坚合众国慈善委员会认可。巴基斯坦Narowal的SughraShafi医疗大楼是一个有250张病床的综合医院，每月接诊约10 000名门诊病人。本组织建立了先进的化验室，拥有全面计算机化、高度自动化的设备，包括全国各地的50个特许化验室。本组织在拉合尔Narowal公路上的休息站(HATCHER)提供24小时救护车服务。本组织正在建立一个医学院的过程中，目前已经在医疗大楼设立了一个土著疗法研究中心，并设立了医生和外科医生学院研究人员的服务。本组织在整个巴基斯坦开展活动，特别是在Narowal地区等偏远的农村地区。本组织在战争期间向黎巴嫩提供了支持，并在2010年海啸后向印尼提供了支持。",
"本组织的目标和宗旨",
"本组织希望通过提供保健服务帮助未获得帮助的人，通过教育实现分配公正，通过社会服务促进静悄悄的革命。",
"本组织的使命是通过提供保健和教育服务为巴基斯坦农村地区缺少服务的弱势贫穷人口提供服务和便利，并提供救济和复原服务以应对国家和国际自然灾害。其目标和宗旨是为巴基斯坦受压迫的弱势群体建立和维护医院、医疗中心、产科医院、急救中心和教育机构。",
"本组织内的重要变化",
"本组织在2010年和2011年管理了用于洪水灾区项目的6.5亿巴基斯坦卢比。本组织努力通过扩大工作范围及将覆盖地域扩展至该国所有地区，实现积极变化。因此，本组织成功改善了下列活动：",
"• 通过临床服务改善Narowal地区的健康指标",
"• 在TehsilPasrur通过职业培训改善减缓贫穷指标",
"• 改善在地震、水灾救济和恢复活动中的救济和恢复工作",
"• 改善正在进行的研究",
"本组织对联合国工作的贡献",
"2005年巴基斯坦地震后，本组织收集了3 000万巴基斯坦卢比捐款，并提供了3200个玻璃纤维棚屋。在巴基斯坦和美国军队的帮助下，本组织将棚屋、病人和救援物资运到雪封地区。本组织管理由外科医生、内科医生、骨科医生和妇科医生组成的巴拉过德和Chanari医疗队。本组织还提供了90辆满载食物、毛毯、保暖衣物和帐篷的卡车。",
"在2006年黎巴嫩战争期间，本组织与卫生部合作供应了价值2 000万巴基斯坦卢比的药品。",
"参加联合国会议的情况",
"本组织将参加定于2011年6月举行的一个联合国论坛。",
"与联合国机构的合作",
"在洪水赈灾活动期间，本组织一直与红十字会、联合国儿童基金会和联合国难民事务高级专员协调工作。",
"本组织为支持千年发展目标所采取的举措",
"本组织建立了职业培训中心并向约1 000人提供就业，为实现千年发展目标关于减缓贫穷的目标1作出了贡献。在扫盲和增强妇女权能(千年发展目标2和3)方面，本组织已在洪灾区Muzaffargarh设立了一个女子中学。本组织正在旁遮普省的Pakpattan地区开展艾滋病毒/艾滋病监测，这个项目得到加拿大和巴基斯坦的艾滋病毒/艾滋病监测项目的资助。SughraShafi医疗大楼已治疗约150万患者，并将重点放在妇幼保健、结核病和流行病(目标4、5和6)。",
"12. 慈幼会",
"特别咨商地位，2007年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国工作的贡献",
"本组织参加了一些非政府组织，其中包括社会发展非政府组织委员会及其关于消除贫穷、艾滋病毒/艾滋病、移徙和发展筹资的小组委员会。本组织还参加了新闻部/非政府组织会议的规划委员会，并曾任该会议提名小组委员会主席。",
"参加联合国会议的情况",
"本组织参加了下列会议和届会：",
"• 可持续发展委员会(2007年至2010年，纽约)",
"• 联合国土著问题常设论坛(2007年至2010年，纽约)",
"• 关于艾滋病毒/艾滋病的非政府组织委员会(2008年至2010年)",
"• 关于移徙的非政府组织委员会(2007年至2011年)",
"• 国际消除贫困日(2007年至2010年，纽约)",
"本组织发起和/或举办了以下会外活动：",
"• “教育与工作：合作伙伴关系”(2008年)",
"• 2008年在巴黎举行的新闻部/非政府组织会议上的“保护移徙者及其家属的人权”活动",
"• “艾滋病毒/艾滋病和社会排斥：宗教领袖面临的挑战”及“流动人口的社会融合”(2009年)",
"• “爱很重要：对南非男孩和女孩的艾滋病毒/艾滋病教育”和“对话中的男人和女人、男孩和女孩”(2009年)",
"• 2010年在澳大利亚墨尔本举行的第六十三次新闻部/非政府组织会议的会外活动",
"• 第五十四届妇女地位委员会的会外活动，主题为“北京行动纲要的差距：移徙者子女”(2010年)",
"• 2010年在墨尔本举行的第六十三次新闻部/非政府组织会议的会外活动，主题为“移徙：对暴力的回应”",
"与联合国机构的合作",
"• 一名慈幼会主教于2008年9月25日纽约大会会议期间在千年发展目标高级别会议中发言。",
"• 在2008年3月10日至14日在维也纳举行的第五十一届麻醉药品委员会会议上，一名来自印度孟买唐博斯科收容所的代表就南亚地区毒品问题状况及工作进展情况做了报告。在届会之前，唐博斯科收容所被要求作为区域牵头组织，选择并协调100多个应邀参加会议的非政府组织。",
"本组织为支持千年发展目标所采取的举措",
"消除贫穷",
"• 唐博斯科科技网络力图在2020年之前为200万印度青少年提供培训和职位安排",
"• 智利科皮亚波的慈幼会工业学校致力于就学生技术教育和制造就业机会开展合作",
"• 在泰国清迈，唐博斯科之家成为来自泰国山区部落和族裔群体的十几岁男孩的培训中心",
"• 亚的斯亚贝巴博斯科儿童中心的职业培训方案涉及90个农业学校，这些方案培训青年学习现代农业技术，以提高作物产量、实现粮食安全并创造收入",
"初等教育",
"• 柬埔寨AndaungCheng的唐博斯科扫盲学校是全国最贫穷儿童的中心",
"• 唐博斯科旅游巴士学校帮助印度Kurnool的游牧儿童",
"• 开始在安哥拉举办关于教师重新获得资格和接受教育的课程以及儿童扫盲方案",
"• 2008年，计划中的10个农村学校中的第一个在苏丹南方的Tonj附近开放",
"• 在卢布尔雅那，一个“快乐小巴”寻找失学青少年，为他们提供教育",
"• 扫盲方案为哥伦比亚乔科Condoto的人民服务",
"增强妇女权能",
"• 2010年，霍尼亚拉的唐博斯科技术学校开始为女孩开设木工课程",
"• 埃塞俄比亚Zway的妇女发展项目已设立刺绣合作社",
"• 在印度Pune，本组织提供小额金融服务举措和技能培训组",
"降低孕产妇死亡率",
"墨西哥城的Yolia方案向流落街头的女孩提供教育和住所以及产前和产后服务。",
"防治艾滋病毒/艾滋病",
"在安哥拉、莫桑比克和西部非洲法语国家以及巴西、印度、秘鲁和斯里兰卡都有此类方案。",
"环境可持续性",
"• 本组织向巴西的沙万特和博罗罗土著社区提供清洁饮水",
"• 在哥斯达黎加，唐博斯科技术学院的慈幼会学生将鸡脂肪和卵磷脂转化为生物燃料以取代柴油的项目获得了一个国家级奖项",
"• 在爱尔兰，慈幼会的ACRE项目培训具有特殊教育需求的青少年学习园艺",
"13. 社会党国际妇女组织",
"特别咨商地位，1991年",
"导言",
"社会党国际妇女组织是一个隶属于社会主义国际的由社会主义党派、社会民主党派和工党的妇女组织组成的国际组织。目前，在世界各地有149个会员组织。",
"本组织的目标和宗旨",
"本组织的目标是加强会员组织之间的关系；促进消除社会中所有歧视，包括男女之间的任何不平等的行动方案，并推动普遍意义上的人权；促进发展与和平；促进妇女对民主社会主义的目标和任务的了解；发展会员和其他希望进行合作的非会员社会主义妇女团体之间的关系。",
"本组织内的重要变化",
"无任何变化。",
"本组织对联合国的工作所作贡献",
"• 本组织通过了若干决议，呼吁召开第五次联合国妇女问题世界会议。",
"• 2007年3月，本组织与国际移徙组织合作召开了一个有关国际移徙的性别层面的会议。本组织努力说服成员国批准《消除对妇女一切形式歧视公约任择议定书》。",
"参加联合国会议的情况",
"• 本组织于2007年、2008年、2009年和2010年在纽约参加了妇女地位委员会会议。每次，本组织都与希腊常驻联合国代表团合作组织了并行活动。",
"• 本组织参加了在日内瓦召开的第九十六届和第九十八届国际劳工大会。",
"• 本组织参加了在维也纳召开的预防犯罪和刑事司法委员会第十六届、第十七届和第十八届会议。",
"与联合国机构的合作",
"• 本组织于2008年9月参加了在巴黎召开的新闻部/非政府组织第六十一届年会，通过此种方式与新闻部合作",
"• 社会党国际妇女组织还于2009年9月参加了在墨西哥城召开的新闻部/非政府组织第六十二届年会",
"• 本组织参加了在日内瓦举行的人权理事会第四届、第十届和第十一届会议，通过此种方式与其合作",
"• 2007年10月， 社会党国际妇女组织在以色列特拉维夫为以色列和巴勒斯坦妇女举办了一个会议，以支持安全理事会关于妇女、和平和安全的第1325(1999)号决议",
"本组织为支持千年发展目标所采取的举措",
"• 2009年3月，本组织为支持千年发展目标目标3(促进性别平等和增强妇女权能)，在布宜诺斯艾利斯举办了一个主题为“努力实现性别均衡的民主”的研讨会。",
"• 2010年6月，本组织为支持目标3，在安道尔举办了一个主题为“有关性别平等的政策——社会和经济发展的驱动力”。促进性别平等是社会党国际妇女组织的主要目标。",
"• 至于目标6，本组织在第十八届国际艾滋病会议(2010年7月18日至23日，维也纳)上发表了一份声明，呼吁各国政府、卫生部门和非政府组织优先重视以下有关妇女和艾滋病毒/艾滋病的需求： 妇女和女童可以获得生殖保健服务；获得测试、治疗、咨询、护理和支助的途径；获得男用和女用避孕套等预防方法。",
"14. 国际特奥会",
"特别咨商地位，1991年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"发展中世界运动员的参与大幅提高对本组织的愿景产生了很大的影响。这种影响有助于特奥会通过特奥会区域办公室和国家方案基础设施将额外投资、技术援助和伙伴关系发展传递到整个发展中世界。",
"本组织对联合国的工作所作贡献",
"通过特奥会健康运动员方案，向100多万具有智力残疾的儿童和成人提供了免费运动员健康检查。这些检查包括视力、牙科、听力、物理治疗、营养、运动医学、足病医学和健康教育等临床学科。还向来自110多个国家的运动员提供了免费卫生干预措施，包括免费配制眼镜，定制助听器、定制保护性运动护目镜、防护性护口器和骨密度、心脏检查等各种诊断检查。这一方案的现有工作直接支持与儿童健康有关的千年发展目标，对于具有智力残疾的人等边缘化人口尤其重要。",
"超过120万名参加特奥会的运动员为女性，这不仅为女孩和妇女提供了参与体育运动的机会，还通过体育促进发展模式，为女童和妇女提供了获得免费健康检查、家庭支助网络、幼儿发展活动、健康教育、领导能力发展技能等机会。",
"国际特奥会帮助数百万没有智力残疾的儿童创设对文化有敏感认识的教育，以促进人们更多了解智力残疾的性质、接受差异的重要性、包容性社区的社会福利和参与特奥运动的兴奋感。国际特奥会继续在不同地区和国家提供这一面向幼儿园到12年级儿童的题为“进入”的学术课程，强调包容性的学校环境对智力残疾儿童的重要性。",
"国际特奥会在促进千年发展目标的目标8方面取得了长足的进展。通过官方特奥会伙伴关系平台，本组织已经使各国政府、工业界、慈善界、体育和民间社会参与倡导改善政策，为具有智力残疾的儿童和成年人创造更美好的未来。",
"特奥会在各级倡导批准《残疾人权利公约》方面发挥了积极作用。这种宣传工作伴随着信息的传播，这些信息显示了特奥运动设立的促进全面实现千年发展目标的支助结构。",
"参加联合国会议的情况",
"在整个报告所述期间，国际特奥会荣幸地参加了联合国的正式活动，包括：",
"• 主管参加了《儿童权利公约》第二十周年纪念活动",
"• 主管参与了题为“2009年世界儿童状况：孕产妇和新生儿健康”的儿基会出版物的工作并为出版物供稿",
"• 官员在儿基会中东和北非区域办事处、中欧和东欧以及独立国家联合体区域管理小组会议上介绍情况",
"• 在儿基会中东和北非区域办事处的传播讲习班上作了主旨介绍",
"与联合国机构的合作",
"国际特奥会与包括儿基会、开发署、联合国体育促进发展与和平办公室、世界粮食计划署和世界各地众多国家和地区的联合国办事处在内的一些联合国机构合作。",
"本组织为支持千年发展目标所采取的举措",
"特奥会对联合国的工作做出了重大贡献，尤其是与实现千年发展目标有关的工作(见上文“对联合国的工作所作贡献”)。",
"15. 叙利亚全球联盟",
"特别咨商地位，1999年",
"导言",
"无任何变化。",
"本组织的目标和宗旨",
"无任何变化。",
"本组织内的重要变化",
"本组织在2008年年末举行了选举，产生了一名主席、副主席，并选举了其他人担任重要职务。",
"本组织对联合国的工作所作贡献",
"2007年",
"2007年，本组织在欧洲议会召开了有关叙利亚阿拉姆人种族灭绝的会议。",
"2008年",
"• 2月：本组织在瑞典南泰利耶做了讲座",
"• 8月至10月：一名人权顾问致力于与圣加布里埃尔修道院(世界上最古老的修道院之一)有关的土耳其财产权问题",
"• 10月11日至12日：选举Johny Messo担任本组织主席，选举Daniel Gabriel担任人权和联合国非政府组织主管职位",
"• 12月至1月：主席和Michel Sawma前往美利坚合众国和加拿大，会见叙利亚人，并讨论本组织今后在联合国和欧洲联盟中的地位",
"2009年",
"4月，主席和人权顾问前往土耳其南部，访问阿拉姆(叙利亚)村庄，并讨论财产权问题。他们还在迪亚巴克尔大学向土耳其学生做了有关本组织和叙利亚的讲座。",
"2010年",
"• 5月至11月：本组织在维也纳和比利时(5月)、瑞典哥德堡(8月)、新泽西、布鲁塞尔、瑞典和德国(6月至10月的会议)以及瑞士(11月)参加了多次讲座，并会见了阿拉姆人",
"• 10月25日：由于欧洲联盟委员会的进展报告，本组织在土耳其参加了欧洲议会有关人权的公开听证会",
"• 11月15日至17日：主席在布鲁塞尔召开的有关宗教自由的欧洲议会会议上发言",
"• 12月：本组织在华盛顿特区参加了与美国难民及移民委员会的有关叙利亚人在伊拉克的宗教自由的会议。",
"参加联合国会议的情况",
"2007年",
"• 11月27日和28日：在维也纳举行的麻醉药品委员会第五十届会议",
"• 11月29日和30日：在维也纳举行的第十六届联合国预防犯罪和刑事司法大会",
"• 12月10日至14日：联合国国际贸易法委员会第四十届会议",
"2008年至2009年",
"2008年5月和2009年5月：在纽约举行的联合国土著问题常设论坛第七次和第八次会议。",
"2009年",
"• 11月13日：本组织在日内瓦举行的少数群体问题论坛第二届会议上发言",
"• 11月：本组织在纽约举行的联合国有关叙利亚阿拉姆人问题(包括文化、人权和侨民问题)的非公开会议上发言",
"• 12月：本组织作为观察员参加了联合国毒品和犯罪问题办公室的主要决策机构会议",
"• 12月10日：本组织与秘书长潘基文一道在纽约联合国庆祝了人权日，参加了会议和题为“种族、贫穷和权力”的特别活动",
"2010年",
"• 3月8日：本组织在纽约参加了联合国国际妇女日",
"• 3月：叙利亚全球联盟参加了在日内瓦举行的人权理事会的第十三届会议，并在会议上提交了一个书面声明和两个口头声明",
"• 5月：联盟参加了在日内瓦进行的对土耳其的普遍定期审议",
"• 4月19日至30日：本组织在纽约举行的联合国土著问题常设论坛上做一个发言，并为相关议程项目提交了干预措施",
"• 7月16日：本组织在日内瓦举行的联合国土著人民权利专家机制第三届会议上发言",
"• 9月：联盟参加了在日内瓦举行的人权理事会第十五届会议，并在会议上做了两个口头发言",
"• 10月18日：本组织参加了在维也纳举行的《联合国打击跨国有组织犯罪公约》缔约方第五次会议",
"与联合国机构的合作",
"本联盟在纽约联合国土著问题常设论坛上与亚洲核心小组和青年核心小组合作。但是，这种合作是有限的，并且本组织现在正在寻找其他方法使论坛上的其他参与者听到本组织的声音。",
"本组织为支持千年发展目标所采取的举措",
"尚未采取任何举措。"
] | [
"Committee on Non-Governmental Organizations",
"2012 regular session",
"30 January-8 February, and 17 February 2012",
"Quadrennial reports for the period 2007-2010 submitted by non-governmental organizations in consultative status with the Economic and Social Council through the Secretary-General pursuant to Council resolution 1996/31",
"Note by the Secretary-General",
"Contents",
"Page\n1. ActionAid 22.Join 4 Together \nSociety 3. L’auravetl’an 6 Information and Education Network of Indigenous \nPeople 4. Legal 8 Service \nCoalition 5.Liberal 10 \nInternational 6.Life 13 Ethics Educational \nAssociation 7.Mayors 15 for \nPeace 8. Mbutu 16 Agriculture \nSociety 9. Mediterranean 18 Women’s Studies \nCentre 10.National 20 Council of Negro \nWomen 11. Sahara 22 for Life \nTrust 12.Salesian 24 \nMissions 13. Socialist 26 International \nWomen 14.Special 28 Olympics \nInternational 15. Syriac 30 Universal \nAlliance",
"1. ActionAid",
"Special, 1991",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"ActionAid will launch a new strategy to be implemented from 2012 to 2016. The two-tier governance structure adopted to implement its mission and objectives includes an assembly consisting of affiliate and associate members who are responsible for the strategic governance of ActionAid, and an international board consisting of independent members elected by the assembly and responsible for ongoing and effective decision-making and oversight of the secretariat.",
"Contribution of the organization to the work of the United Nations",
"In 2010, the organization successfully concluded involvement in the Women Won’t Wait coalition. Its leadership was formally recognized at the XVIII International AIDS Conference entitled “Rights Here, Right Now” hosted in Vienna from 18 to 23 July 2010.",
"Participation in meetings of the United Nations",
"Participated/attended",
"• Doha Global Civil Society Forum, held in Doha on 26 and 27 November 2008, and the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, held from 29 November to 2 December 2008",
"• United Nations Conference on the World Financial and Economic Crisis and Its Impact on Development in New York in June 2009",
"• United Nations High-level Conference on South-South Cooperation in Nairobi from 1 to 3 December 2009",
"• United Nations Conference on Trade and Development held in Geneva in May 2010",
"• Fifty-third, fifty-fourth and fifty-fifth sessions of the Commission on the Status of Women in New York",
"• Economic and Social Council high-level segment held in Geneva from 4 to 8 July 2011, where representatives of the organization’s international education team and HIV/AIDS team submitted a written statement",
"Organized",
"The organization held three parallel events on unpaid care work, comprehensive sexuality education and violence against girls in school.",
"Cooperation with United Nations bodies",
"ActionAid continues to cooperate with United Nations bodies and specialized agencies in the fields of education, food security and sovereignty, emergencies and conflict, women’s rights and HIV and AIDS by preparing and contributing to research papers and studies and jointly sponsoring meetings. It also conducts humanitarian activities and donor-funded operational projects by working with independent United Nations agencies such as the United Nations Development Fund for Women, the United Nations Democracy Fund, the Joint United Nations Programme on HIV/AIDS (UNAIDS), the United Nations Children’s Fund, the International Fund for Agricultural Development, the United Nations Population Fund, the United Nations Development Programme, the Food and Agriculture Organization of the United Nations and the World Food Programme.",
"ActionAid jointly hosted activities and events with independent United Nations agencies, including:",
"• United Nations Girls’ Education Initiative. In collaboration with the Institute of Education, University of London, ActionAid provided technical assistance and research input into United Nations-related products and materials.",
"• Office of the United Nations High Commissioner for Human Rights (OHCHR). In collaboration with Marie Stopes (Sierra Leone branch), ActionAid contributed to the call by OHCHR for input on good and effective practices in adopting a human rights-based approach to eliminating maternal mortality and morbidity.",
"• UNAIDS. ActionAid manages the UNAIDS technical support facility for South Asia based in Kathmandu.",
"• Committee on World Food Security. ActionAid, in collaboration with the Governance Working Group of the International Planning Committee for Food Sovereignty and Oxfam International, submitted a proposal at the thirty-sixth session of the Committee on World Food Security held in Rome from 11 to 14 and 16 October 2010, and worked closely with the Human Rights Council by engaging with special procedure candidates.",
"• Special Rapporteur on the right to education.",
"• Special Rapporteur on the right to food.",
"• Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"At the General Assembly session in September 2007, ActionAid launched a five-year campaign called HungerFREE that focuses on Goal 1 of the Millennium Development Goals. Since then ActionAid has developed various resources, including the report entitled “Who’s really fighting hunger?”, which was launched on 14 September 2010 in New York ahead of the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals.",
"From 20 to 22 September 2010, ActionAid participated in that meeting and participated as a representative of civil society at round table 1.",
"Additional information",
"There is no additional information.",
"2. Join Together Society",
"Special, 2007",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"Join Together Society has been actively providing humanitarian support in its commitment to ending world hunger, disease and illiteracy, and has been providing emergency relief in the Democratic People’s Republic of Korea, India, Indonesia, the Philippines and Sri Lanka.",
"Participation in meetings of the United Nations",
"Unfortunately, the Society was unable to participate in any meetings of the United Nations from 2007 to 2010.",
"Cooperation with United Nations bodies",
"In cooperation with the Food and Agriculture Organization of the United Nations, the Society provided food aid to Haiti under the coordination of United Nations peacekeeping forces in March 2010. The food aid totalled 45 tons of rice, 4.5 tons of beans and 7,570 litres of cooking oil.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Eradicate extreme poverty and hunger",
"The Democratic People’s Republic of Korea (2007-2010). The organization supplied foods to vulnerable people in North Hamkyung and South Pyongan provinces and provided 150 tons of corn, 100 tons of rice, 3,290 tons of flour, 495 tons of noodles and 3.75 tons of potatoes.",
"India. Under the “goat bank” project, the organization has supplied 518 goats to 256 households in Dungeshwari since 2009.",
"Sri Lanka (2008-2010). In collaboration with the Sewalanka Foundation, the organization restored an agricultural reservoir and 28 drinking and agricultural wells in Anuradhapura. The Society also distributed seeds, fertilizer, chickens and cows.",
"Indonesia (2009). The organization provided 25,880 kg of rice, 300 tents and 308 sets of kitchen appliances to 1,371 households in eight areas of West Sumatra that suffered from an earthquake.",
"Achieve universal primary education",
"The Democratic People’s Republic of Korea (2009). The organization provided school supplies to 12 schools (55,020 notepads, 107,136 pens and 5,288 school bags).",
"India. The Society has been running Sujata Academy in Dungeshwari. Some 869 children have completed elementary school education at the academy as at December 2010.",
"Philippines. The organization built 13 schools in Midanao and provided school supplies to 6,491 students.",
"Cambodia (2009-2010). The Society built seven schools and provided school supplies to 1,034 students in Kouk Krasang, Kouk Rovieng, Thmor Teuk Dach and Pachon Thum tun Krah Ta Veaeng Leu.",
"Indonesia (2009). The organization provided 1,260 students with 519 school uniforms, 700 school bags, and 1,307 sets of school supplies in West Sumatra after an earthquake.",
"Haiti (2010). The organization restored five schools in five villages in the area of Leogane, which had been destroyed by an earthquake.",
"Promote gender equality and empower women",
"India. The organization established an elementary school and provided free education to 50,869 students as at December 2010, including 486 boys (55.9 per cent) and 383 girls (44.1 per cent).",
"Reduce child mortality rates",
"The Democratic People’s Republic of Korea. The society provided 53 orphanages and institutions for disabled children with basic nutritional foods (soy milk, 719,424 litres; powdered milk, 67 tons; powdered seaweed soup, 25 tons; nourishing food, 20 tons).",
"India. Using standards set by the World Health Organization, Jivaka Hospital at Dungeswari conducted a survey of 1,210 children under age 5 and found that 14.4 per cent were underweight. The Society provided nutritious foods to 764 underweight children, and Jivaka Hospital has been providing free vaccinations against tuberculosis, diphtheria, tetanus, pertussis, measles and hepatitis A for infants.",
"Improve maternal health",
"India. Since 2007, Jivaka Hospital has provided the family planning education programme for Dungeswari. As part of the programme, 25 residents underwent a free family planning operation on 22 December 2009. Since 2009, the Society has been providing nutritional supplements to mothers and iron to pregnant women.",
"Combat HIV/AIDS, malaria and other diseases",
"India. The organization first started its tuberculosis elimination project in Dungeswari in November 2001, and Javika Hospital adopted the Revised National Tuberculosis Control Programme in June 2008. Since then, the average duration of medical treatment has been reduced from 21 months to 6 months.",
"Ensure environmental sustainability",
"India. The organization constructed 33 wells and hand-powered water pumps in Dungeswari.",
"Philippines. The Society constructed 12 drinking wells throughout Mindanao.",
"Cambodia. The Society constructed two wells in Kouk Krasang and Kouk Vieng.",
"Additional information",
"There is no additional information.",
"3. L’auravetl’an Information and Education Network of Indigenous People",
"Special, 2007",
"Introduction",
"L’auravetl’an Information and Education Network of Indigenous Peoples is a national umbrella organization that represents more than 20 indigenous communities of Siberia and the north and far east areas of the Russian Federation.",
"Aims and purposes of the organization and its main course of action",
"The main aims of the organization are to improve the abilities of these indigenous communities to participate more actively and to create a mechanism that lets indigenous communities communicate with the outer world and with each other.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"The organization monitored all regular and special sessions of the General Assembly, annual sessions of the Economic and Social Council and its subsidiary bodies, and other bodies that focused on indigenous issues. During United Nations-sponsored meetings, organization representatives made 18 written and oral statements, as well as 3 joint statements.",
"Participation in meetings of the United Nations",
"2007",
"• Sixtieth Department of Public Information/Non-Governmental Organizations Conference.",
"• Informal interactive hearing with representatives of civil society on interreligious and intercultural understanding and cooperation for peace (New York, 4 and 5 October)",
"• Informal meeting to discuss the most appropriate mechanisms to continue the work of the Working Group on Indigenous Populations (Geneva, 6 and 7 December)",
"The organization also held a series of educational conferences aimed at representatives of indigenous peoples’ organizations, academia and United Nations agencies, including the following:",
"• Seminar on the theme “Traditional knowledge of indigenous peoples”, which took place during the sixth session of the United Nations Permanent Forum on Indigenous Issues",
"• Workshop on traditional knowledge, which was organized during the sixtieth Department of Public Information/Non-Governmental Organizations Conference.",
"2008",
"The organization participated in the seventy-third session of the Committee on the Elimination of Racial Discrimination (Geneva, 27 July to 15 August).",
"2009",
"The organization participated in the Durban Review Conference (Geneva, 20 to 24 April). Together with the World Intellectual Property Organization (WIPO), the organization prepared and presented a booklet entitled “Traditional knowledge and indigenous peoples” at the eighth session of the Permanent Forum on Indigenous Issues (New York, 27 May).",
"2007 and 2010",
"The organization participated in the Russian linguistic component of the Indigenous Fellowship Programme held in Moscow in October 2007 and November 2010, and in Geneva in November 2007 and from November to December 2010.",
"2007 to 2009",
"The organization participated in the sixth, seventh and eighth sessions of the United Nations Permanent Forum on Indigenous Issues held in New York.",
"2008 to 2010",
"The organization participated in the thirteenth, fourteenth and seventeenth sessions of the WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore held in Geneva.",
"2008 and 2010",
"The organization participated in the first and third sessions of the Expert Mechanism on the Rights of Indigenous Peoples held in Geneva.",
"Cooperation with United Nations bodies",
"2008",
"The organization collaborated with WIPO to issue the booklet entitled “Traditional knowledge and indigenous peoples” in English and Russian.",
"2009",
"Together with OHCHR, the organization began implementation of a project on the translation of the Universal Declaration of Human Rights into 10 indigenous languages of the Russian Federation (Veps, Karelian, Nganasan, Nenets, Shorian, Evenk, Altaian, Yakut, Khakas and Tuvinian). The organization, in collaboration with WIPO, also held an international seminar on the theme “Traditional knowledge of indigenous peoples: issues of preservation and legal protection, international and national aspects” for representatives of indigenous communities of Siberia and the north and far east areas of the Russian Federation on 22 and 23 October.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization supports the Millennium Development Goals through legal campaigns and educational seminars for indigenous representatives on the provision of their rights to access land and natural resources. For the period 2007-2010, the organization held 16 three-week legal trainings and 32 seminars devoted to the issues of the provision of indigenous peoples’ rights to land, water and forest resources.",
"Additional information",
"There is no additional information.",
"4. Legal Service Coalition",
"Special, 2007",
"Introduction",
"Legal Service Coalition is dedicated to the promotion and protection of human rights by raising public sensitivity; by advocating at local, national, and international levels; and by strengthening the Coalition member organizations.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"The Coalition produced and adopted a new quadrennial strategic plan for the period 2010-2013.",
"Contribution of the organization to the work of the United Nations",
"Over the past four years, the Coalition and its member organizations focused on the promotion and protection of human rights of marginalized groups, especially displaced persons (refugees, returnees, internally displaced persons) and persons belonging to national minorities. A new law on free legal aid was adopted in Croatia in 2008, and six out of the current nine member organizations of the Coalition registered as free legal aid providers in accordance with the law. They continued providing free legal aid to all those in need.",
"The focus of the most important projects of the Coalition implemented in the past four years included:",
"• Role and possibilities of modern technology in promoting and protecting human rights",
"• Promotion and protection of human rights",
"• Promotion of European values against racism and xenophobia at the local and regional levels",
"• Minority rights in south-eastern Europe, including a national action plan for Croatia for the period from 2007-2008",
"Participation in meetings of the United Nations",
"2008",
"• The Executive Director of the Coalition for Promotion and Protection of Human Rights Osijek participated at the sixty-first Department of Public Information/Non-Governmental Organizations Conference, held in Paris from 3 to 5 September.",
"• The Coalition participated in a conference on the theme “Reaffirming human rights for all: the Universal Declaration at 60” held in Paris from 3 to 5 September, organized by the Executive Committee of Non-Governmental Organizations, associated with the Department of Public Information, UNESCO, OHCHR and France.",
"Cooperation with United Nations bodies",
"• The organization collaborated with the Representation Office in Croatia of the Office of the United Nations High Commissioner for Refugees (UNHCR), the Croatian Ministry of Justice, the Centre for Human Rights and the Coalition for the Promotion and Protection of Human Rights to organize an international conference on the theme “Access to justice: one year of experience in applying the law on free legal aid”, held in Zagreb on 26 July 2010.",
"• In April 2010, the Coalition was part of an ad hoc coalition of civil society organizations that participated in the universal periodic review. The ad hoc coalition held several working meetings in order to thoroughly review and report on the state and protection of human rights in Croatia. Its goal was to highlight the most striking human rights violations and provide recommendations as to how the present situation could and should be improved.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• The Coalition organized numerous events in several cities and towns in Croatia on the occasions of World Refugee Day, International Day for the Elimination of Racial Discrimination, International Day against Fascism and Anti-Semitism, and Human Rights Day",
"• The Coalition published relevant statements on its official website, in its printed media and in its broadcasts on local and national electronic media",
"• Coalition representatives participated in television shows and spoke about problems facing refugees and minorities, and about the general state of human rights in Croatia",
"• On the occasion of World Refugee Day 2010, the Coalition initiated humanitarian action to help returnees and refugees in two regions in Croatia; however, only one company responded and provided chocolate and candy packages for returnee families with small children",
"Additional information",
"Since April 2008, the Coalition has been a member of the European Non‑governmental Organization for Relief and Development working group on enlargement, pre-accession and neighbourhood issues.",
"5. Liberal International",
"General, 1995",
"Introduction",
"Liberal International is a world federation of liberal political parties that acts as an international forum where governing and opposition parties meet to exchange ideas and foster dialogue, consultation and inspiration for the creation, deepening and consolidation of (liberal) democracy.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"Hans Van Baleen, Member of European Parliament, succeeded Lord Alderdice as the new President of the organization.",
"Contribution of the organization to the work of the United Nations",
"2007",
"• Conducted a human rights workshop on the theme of “Security and human rights” in Cancun, Mexico, 30 April",
"• Held a human rights conference in Taipei, Taiwan Province of China, 26 to 29 September",
"• Held a human rights conference on the theme of “Strengthening Networks and Combating Human Trafficking” in Taipei, 7 to 10 December",
"2008",
"• Presented special reports on child soldiers in the context of the organization’s human rights committee at the fifty-sixth Liberal International Congress held in Belfast, Northern Ireland, 15 to 17 May",
"• Adopted resolutions on the current global situation and on the prohibition of persecution and discrimination on the basis of sexual orientation, freedom of speech, climate change, food prices, overcoming conflict and the global population crisis at the fifty-sixth Liberal International Congress held in Belfast, Northern Ireland, 15 to 17 May",
"2009",
"• Adopted resolutions on issues such as the humanitarian crisis in Gaza, the violence in the eastern part of the Democratic Republic of the Congo, ending sexual exploitation and abuse in the world and the importance of human rights to democracy at the organization’s Executive Committee meeting on the theme “The impact of the global economic crisis on democracy and human rights”, held in Strasbourg, France, on 25 January",
"• Adopted resolutions on the rights of women in Afghanistan and the situation in Kosovo and the Republic of Moldova at the organization’s Executive Committee meeting on the theme “Strengthening the liberal agenda” held in Vancouver, Canada, from 1 to 3 May",
"• Adopted resolutions on the current global situation and other national and regional issues at the fifty-seventh Liberal International Congress, held in Cairo from 29 to 31 October",
"2010",
"• Visited Chisinau to review the human rights situation in the country from 15 to 17 February",
"• Co-organized the Geneva Summit for Human Resources, Tolerance and Democracy, held in Geneva on 8 and 9 March, through its youth organization, the International Federation of Liberal Youth",
"• Held a panel discussion on the theme “Human rights and women’s participation” at the organization’s Executive Committee meeting held in Berlin from 11 to 13 June",
"• Adopted resolutions and promoted decentralization in Africa at the organization’s Executive Committee meeting held in Cape Town, South Africa, on 13 and 14 November",
"Participation in meetings of the United Nations",
"2007",
"Human Rights Council meeting, Geneva, 27 to 29 March",
"2008",
"Sixty-first United Nations Department of Public Information Conference for Non‑governmental Organizations, Paris, 3 to 5 September",
"2009",
"• Fourth session of the Working Group of the Universal Periodic Review, Geneva, 2 to 13 February",
"• Tenth session of the Human Rights Council, Geneva, 2 to 27 March",
"• Meeting with OHCHR, Geneva, 17 June",
"• Twelfth session of the UNHRC, Geneva, 14 September to 2 October; a written statement was submitted to UNHRC",
"• Sixty-second Department of Public Information/Non-Governmental Organizations Conference, Mexico City, 9 to 11 September",
"2010",
"• Thirteenth session of UNHRC, Geneva, 10 March",
"• Regular session of the Committee on Non-governmental Organizations of the Economic and Social Council, New York, 4 June",
"• General debate session of the Third Committee of the General Assembly, New York, 28 October",
"Cooperation with United Nations bodies",
"2008-2009",
"Meetings of the organization’s Secretary-General with United Nations General Assembly President Srdjan Kerim",
"2009-2010",
"• Accreditation of Deputy President to the United Nations in New York",
"• Accreditation of Human Rights Committee Deputy Chairman to the United Nations in Geneva",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• Awarding of the organization’s “Prize for Freedom”, presented every year to individuals who have made outstanding contributions to the promotion of freedom and human rights",
"• The organization published a book entitled Defining Liberty: A Look at the First 25 Years of the Liberal International Prize for Freedom (2009), which includes speeches by Prize for Freedom laureates from 1985-2009",
"• The organization issues a special human rights newsletter on a regular basis, raising awareness about human rights violations and promoting equal rights for all. One issue in 2008 of the magazine Liberal Matters was dedicated to democratic transition and human rights, coinciding with the sixtieth anniversary of the Universal Declaration of Human Rights",
"Additional information",
"Member parties are represented in parliaments and governments around the world, giving the organization the potential to directly impact the creation and implementation of important international policies, as well as diplomatic activities.",
"6. Life Ethics Educational Association",
"Special, 1999",
"Introduction",
"The Life Ethics Educational Association is a non-governmental organization based in Canada dedicated to raising public awareness of “right to life” issues, particularly before birth and at the end of life.",
"Aims and purposes of the organization",
"The organization seeks to advocate for the preborn, the disabled, the infirm and the elderly by promoting respect for all human life from fertilization to natural death by fostering and promoting public understanding in and knowledge of life issues, including, but not limited to, foetal development, abortion, new reproductive technologies, adoption, palliative care, euthanasia, physician-assisted suicide, human experimentation, post-abortion syndrome and chastity/abstinence education.",
"Significant changes in the organization",
"The organization’s main representative relocated to New York, which has greatly facilitated its ability to participate in United Nations meetings and make connections with other non-governmental organizations accredited by the Economic and Social Council.",
"Contribution of the organization to the work of the United Nations",
"In addition to participating at United Nations meetings, the organization has partnered with other non-governmental organizations accredited by the Economic and Social Council to help organize events for the broader United Nations community. The organization’s representatives have also spoken at panels and side events hosted by other organizations during conferences such as the Commission on the Status of Women. On 15 September 2010, the organization partnered with other non-governmental organizations, such as Focus on the Family and Matercare International, and the Permanent Missions of the Philippines and Malawi to the United Nations to convene a panel of experts to discuss Goal 5 of the Millennium Development Goals and maternal health.",
"Participation in meetings of the United Nations",
"2007",
"• Commission on the Status of Women, 26 February to 9 March",
"• Commission on Population and Development, 9 to 13 April",
"2008",
"• Commission for Social Development, 6 to 15 February",
"• Commission on the Status of Women, 25 February to 7 March",
"• Commission on Population and Development, 7 to 11 April",
"• United Nations High-level Meeting on HIV/AIDS, 8 to 10 June",
"• Commission for Social Development, 6 to 15 February",
"• Women Deliver Conference, 18 to 20 October 2007",
"2009",
"• Commission on the Status of Women, 2 to 13 March",
"• Commission on Population and Development, 30 March to 3 April",
"2010",
"• Commission on Social Development, 3 to 12 February",
"• Commission on the Status of Women, 1 to 12 March",
"• Commission on Population and Development, 12 to 16 April",
"• High-level Meeting on the Millennium Development Goals, 20 to 22 September",
"• World Youth Conference, 24 to 27 August 2010.",
"• Women Deliver Conference, 7 to 9 June 2010",
"In preparation for the United Nations Year of Youth, the organization has been actively working to inform its younger constituents through talks and seminars.",
"Cooperation with United Nations bodies",
"Not applicable.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The Association was a host and organizer of an event in September 2010 regarding Goal 5 on improving maternal health. The organization believes it is important to educate young people on the work of the United Nations, particularly in regard to Goals 2, 3, 4 and 5, by organizing training sessions for its volunteers prior to participation in United Nations meetings so that they can actively discuss and engage with other representatives of non-governmental organizations, United Nations personnel and country representatives. From 2007 to 2010, the organization trained more than 100 young volunteers who then attended United Nations conferences as its representatives.",
"7. Mayors for Peace",
"Special, 1991",
"Introduction",
"In August 1945, single atomic bombs destroyed the cities of Hiroshima and Nagasaki and took hundreds of thousands of lives. Many survivors still suffer today, more than sixty-five years later, from the physical and emotional after-effects of radiation. To ensure that the atomic tragedy is never repeated anywhere on Earth, Hiroshima and Nagasaki have consistently sought to persuade the world that nuclear weapons are illegal, immoral and must be completely eliminated. On 24 June 1982, at the second special session on disarmament held at United Nations Headquarters in New York, then-mayor of Hiroshima Takeshi Araki announced a programme to promote the solidarity of cities towards the total abolition of nuclear weapons — a plan to build transnational solidarity among cities to facilitate collective efforts toward the elimination of nuclear weapons. The mayors of Hiroshima and Nagasaki issued a joint call to cities everywhere to support this programme. Mayors for Peace is a conference of cities that have formally expressed support for the programme described above. In March 1990, Mayors for Peace was registered as a non‑governmental organization with the Department of Public Information.",
"Aims and purposes of the organization",
"Mayors for Peace raises international public awareness on the abolition of nuclear weapons, but also works to alleviate starvation and poverty, assist refugees fleeing local conflict, support human rights and protect the environment so that it can contribute to the realization of lasting world peace. Mayors for Peace has been focusing recently on the total elimination of nuclear weapons. These inhumane, illegal weapons threaten the very existence of human beings. Since 2003, the organization has been promoting its 2020 Vision, an emergency campaign to ban nuclear weapons by 2020. Together with cities, citizens and non-governmental organizations around the world, Mayors for Peace has developed numerous activities, most recently a petition drive calling for the prompt commencement of negotiations for a nuclear weapons convention.",
"Significant changes in the organization",
"By promoting the 2020 Vision Campaign and the disarmament goal of 2020, the organization has grown from 1,500 cities in 2007 to nearly 4,400 cities in 2010. This growth requires a strengthening of the network and the methods of communication among its member cities. The final document adopted at the 2010 Review Conference of the Parties to the Treaty on the Non-proliferation of Nuclear Weapons (NPT) held in May mentioned the nuclear weapons convention for the first time in the history of the conference. Based on this outcome, the organization held a conference in Hiroshima for the total abolition of nuclear weapons by 2020 and adopted the Hiroshima Appeal, a new set of campaign guidelines, including the appeal to start negotiations on the nuclear weapons convention.",
"Contribution of the organization to the work of the United Nations",
"The first resolution of the General Assembly of the United Nations was about nuclear disarmament. Through our members, our staff and our allies in non‑governmental organization, the organization is spreading the word about nuclear disarmament to all corners of the globe.",
"Participation in meetings of the United Nations",
"The organization participated in preparatory committee meetings, held in 2007, 2008 and 2009, for the NPT Review Conference with a mayoral delegation of member mayors and allied partners. The organization also participated in the 2010 NPT Review Conference in New York with 89 representatives from 30 member cities in 10 countries. Mayors for Peace also attended the sixty-second Department of Public Information/Non-Governmental Organizations Conference, held in Mexico City in 2009. The organization’s staff attends numerous meetings at the United Nations in New York, Geneva and Vienna.",
"Cooperation with United Nations bodies",
"Mayors for Peace maintains close communication with the United Nations Office for Disarmament Affairs and the Non-Governmental Committee on Disarmament, Peace and Security and does its best to coordinate all its activities with the Office. In July 2010, the organization brought a senior political affairs officer of the Office for Disarmament Affairs to Hiroshima to speak at the Hiroshima Conference. The organization’s 1 million petition forms with signatures calling for the elimination of nuclear weapons have been on display at United Nations Headquarters since March 2011.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Mayors for Peace is the fastest growing and possibly the largest international association of municipalities in the world. It is bringing cities together in partnership initially for the elimination of nuclear weapons, but ultimately the organization believes it is making a substantial contribution to the goal of global partnership.",
"8. Mbutu Agriculture Society",
"Special, 1999",
"Introduction",
"Mbutu Agricultural Society was founded in January 1993 as a non-governmental, non-political and non-religious organization.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"The organization has expanded to national and international levels with the cooperation of the United Nations Development Programme (UNDP), the World Food Programme, Sustainability Education and Ecological Design International, Project AWARE United Kingdom, the Organic Crop Improvement Association International, the United States Agency for International Development and local universities such as Ardhi University and Dar Es Salaam University College of Education.",
"Contribution of the organization to the work of the United Nations",
"2009",
"• The organization conducted a project targeting land-use conservation for horticulture and paddy growers along Ruvu River at Mlandizi Division, Kibaha District, Pwani Region",
"• The Society conducted a project on controlling land degradation by raising awareness of the problem to peasants living within the Kilombero and Rumemo river basins in Ifakara Ward, Kilombero District, Morogoro Region (July to October)",
"• The organization conducted a project that focused on aquatic conservation practices among small farmers cultivating paddy within the Ruvu river valley, Mlandizi Division, Kibaha District, Pwani Region",
"2010",
"The Society conducted a tree-planting project along Nyerere road in Dar Es Salaam, United Republic of Tanzania.",
"Participation in meetings of the United Nations",
"The organization attended the Fifth African Population Conference held in Arusha, United Republic of Tanzania, from 10 to 14 December 2007.",
"Cooperation with United Nations bodies",
"In 2008, the Chief Executive Officer of the Society received an invitation and full sponsorship from the UNDP United Republic of Tanzania office to attend the Sullivan Summit held in Arusha from 2 to 6 May 2008. The Summit brought together African and American entrepreneurs and investors in the infrastructure, tourism and environment sectors to meet the development needs of the United Republic of Tanzania and Africa, and reached out to Asia as a source of strategic partnerships and investment-generating opportunities.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Goal 6: Combat HIV/AIDS, malaria and other diseases",
"Supported out-of-school youth in gender-sensitive sexual reproductive health and HIV/AIDS education:",
"• Established 120 health clubs, 8 theatre groups and 15 competitions in different school settings at Tuangoma and Changombe (Temeke District) and Mbamba Bay Ward (Mbinga District) in Ruvuma Region",
"• Identified and trained 120 out-of-school youths to become peer educators for their fellow students and pupils",
"• Trained 200 out-of-school youths on life skills and HIV education using peer educators",
"The organization educated 38 sex workers and imparted knowledge to negotiate safer sex, such as using condoms, and trained 120 men to promote life skills and responsible behaviour in sexual and family relations. The organization also solicited funds to buy 12 cartons of condoms and distribute them to groups within the community.",
"The organization identified 36 drug users/abusers and developed a strategy on responding to the abuse. Eleven abusers have terminated their behaviour and are undergoing treatment therapy and rehabilitation.",
"The organization worked with the communities of Tabata and Kimara on environmental sanitation within their surroundings to decrease breeding sites for mosquitoes, reaching a total of 200 households. The organization created fact-sheets on the importance of using insecticide-treated mosquito nets and going to the health unit for early diagnosis and treatment.",
"Additional information",
"In all its activities between 2008 and 2010 the organization developed best practices regarding transparency. The Society is a registered Agricultural Society Trust with 74 members. All members are involved in the planning, design and implementation of projects.",
"9. Mediterranean Women’s Studies Centre",
"Special, 1987",
"Introduction",
"Mediterranean Women’s Studies Centre geographical coverage: Greece, the Mediterranean, Europe, Asia, Africa.",
"Aims and purposes of the organization",
"• To study, analyse and improve the position of women in the family and in economic, social and public life",
"• To increase awareness and stimulate action that will promote equality between women and men in all areas of life",
"• To sensitize women about ecological problems and mobilize them to protect the environment and save the Mediterranean basin from pollution",
"• To assist women in preserving their cultural heritage and their women’s values",
"• To empower women through education in order to exercise their rights in all areas of life",
"• To develop methods and take initiative for conflict resolution and the promotion of peace in the Mediterranean",
"• To initiate activities for the promotion of democracy and human rights",
"• To support national, regional and international campaigns and programmes about issues of major concern such as HIV/AIDS, drugs, alcoholism, violence, racism, xenophobia and youth criminality",
"To achieve its objectives the organization has developed various areas of responsibilities:",
"• Feminist and action-oriented research",
"• A gender studies programme",
"• Seminars, symposia, workshops, conferences and meetings on a wide number of issues related mainly to women and youth",
"• A programme of feminist alternatives for the promotion of peace and security",
"• Activities related to the protection of the environment",
"• Development projects for women in developing countries",
"Significant changes in the organization",
"In May 2009 the organization became a member of the Anna Lindh Foundation Network, which is active in Mediterranean countries and aims to facilitate intercultural dialogue in the Mediterranean.",
"Contribution of the organization to the work of the United Nations",
"The organization carried out two workshops in collaboration with the United Nations Population Fund to promote Security Council Resolution 1235 (1999).",
"Participation in meetings of the United Nations",
"• In 2007, a board member attended the fifteenth policy session of the United Nations Commission on Sustainable Development, held in New York from 30 April to 11 May.",
"• In 2009, the same board member attended the United Nations Conference on the World Financial and Economic Crisis and its Impact on Development held in New York from 24 to 26 June. The organization’s Secretary-General attended the third session of the Conference of the States Parties to the United Nations Convention against Corruption held in Doha from 9 to 15 November.",
"• In 2010, the same board member attended the eighteenth session of the Commission on Sustainable Development, held in New York from 3 to 14 May. The organization’s President and Treasurer attended as observers of the fifth session of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime, held in Vienna from 18 to 22 October.",
"Cooperation with United Nations bodies",
"From 19 to 23 February, the organization, in collaboration with the Technical Support Division of the United Nations Population Fund (UNFPA) carried out a five-day capacity-building training workshop on the theme “Leadership, management, communications skills and project planning” for women and men from 12 different regions of Indonesia. UNFPA funded and organized the workshop while the Centre organized and implemented the training, which was carried out in Bali, Indonesia. The workshop focused on Security Council resolution 1235 (1999).",
"From 10 to 15 June, the organization, continuing its cooperation with UNFPA, carried out a five-day capacity-building training workshop for Iraqi women on the theme Conflict resolution, communication skills and organizational management” in Istanbul, Turkey. The workshop focused on Security Council resolution 1235 (1999).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"No initiatives were taken.",
"10. National Council of Negro Women",
"General, 1995",
"Introduction",
"The National Council of Negro Women is a council of national African American women’s organizations and community-based sections. Founded in 1935, its mission is to lead, develop and advocate for women of African descent as they support their families and communities.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"A representative from the organization helped to organize the sixtieth Department of Public Information/Non-Governmental Organizations Conference on the theme “Climate change: how it impacts us all”. The representative worked on the Planning Committee’s networking committee to get non-governmental organizations to work in partnership on climate change issues. In addition, four of the organization’s members attended the conference and subsequently presented reports on the programmes at their local community meetings, reaching approximately 150 persons in four different settings. An organization representative distributed more than 500 copies of Africa Renewal Magazine at the National Council of Negro Women Black Family Reunion Celebration at the organization’s International Division educational programme held on the National Mall in Washington, D.C. More than 500,000 people attended this event. An organization representative worked on the media outreach committee of the New York NGO Committee on the Status of Women to promote conference and NGO Consultation Day activities for the fifty-second session of the United Nations Commission on the Status of Women. In addition, five members of the organization attended the session. An organization representative presented reports on programme activities to members and submitted articles for the organization’s newsletter.",
"Participation in meetings of the United Nations",
"In 2007, members of the organization attended the sixty-first Department of Public Information/Non-Governmental Organizations Conference (New York, 5 to 7 September).",
"2008",
"• Fifty-second session of the Commission on the Status of Women on the theme “Financing for gender equality and the empowerment of women” (New York, 25 February to 7 March 2008)",
"• United Nation Association of the United States of America (UNA-USA) session on the theme of opportunities in the 2008 presidential election for women’s issues (New York, 13 March 2008)",
"• UNA-USA meeting on the theme of assessing the Anti-Personnel Mine Ban Convention at its tenth anniversary (New York, 3 April 2008)",
"• Update on the work of the General Assembly: non-governmental organization briefing, by Srdjan Kerim, President of the General Assembly (New York, 10 July 2008)",
"Cooperation with United Nations bodies",
"2009",
"• Representative attended NGO Consultation Day (New York, 1 March)",
"• Representative attended the fifty-third session of the Commission on the Status of Women (New York, 2 to 13 March)",
"• Representative attended the Commission on the Status of Women event on the theme “The impact of HIV/AIDS caregiving on girls and older women” (New York, 5 March)",
"• Representative attended the UNA-USA workshop on the theme of addressing the caregiving burden and gender gaps in the emergency plan for AIDS relief put forth by the President of the United States (New York, 12 March)",
"• Representative attended the event held by the Commission on the Status of Women on the 15-year review of the implementation of the Beijing Declaration and Platform for Action (1995) and the outcomes of the twenty-third special session of the General Assembly (2000) (New York, 1 to 12 March)",
"2010",
"Representative participated in the event commemorating the tenth anniversary of Security Council resolution 1325 (1999) on women, peace and security (New York, 25 to 29 October)",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization, in collaboration with Women in Law and Development and other women’s organizations, provided basic education and technology access programmes to help women establish literacy and economic growth programmes in Benin.",
"11. Sahara for Life Trust",
"Special, 2007",
"Introduction",
"Sahara for Life Trust is a tax-exempt charitable organization enjoying consultative status with the Economic and Social Affairs Council and is certified by the Pakistan Centre for Philanthropy and accredited by charity commissions of Canada, the United Kingdom of Great Britain and Northern Ireland and the United States of America. Sughra Shafi Medical Complex in Narowal, Pakistan, is a 250-bed general hospital that serves about 10,000 out-patients per month. The organization established a state-of-the-art lab with fully computerized, highly automated equipment that includes 50 franchises throughout the country. The organization provides 24-hour ambulance services at “HATCHER” on the Lahore Narowal Highway. The organization is in the process of establishing a medical college, and has already established a research centre for indigenous therapies at the medical complex and put in place the services of Fellow of the College of Physicians and Surgeons doctors. The organization works throughout Pakistan, particularly in remote rural areas like District Narowal. The organization has provided support in Lebanon during war and in Indonesia after the tsunami in 2010.",
"Aims and purposes of the organization",
"Sahara envisions reaching the unreached by providing health-care services, realizing distributive justice through education, and promoting silent revolution through social services.",
"The organization’s mission is to serve and facilitate the underserved, underprivileged and deprived population of the rural areas of Pakistan through the provision of health and education services, and to provide relief and rehabilitation services in response to national and international natural calamities. Its aims and purpose are to establish and maintain hospitals, medical centres, maternity homes, first aid centres and educational institutions for underprivileged and downtrodden people in Pakistan.",
"Significant changes in the organization",
"The organization has managed about PRs.650 million in projects in flood-affected areas in 2010 and 2011. Sahara worked to bring a positive change through expansion in its scope of work and geographical extension in all areas of the country. Thus the organization succeeded in improving the following activities:",
"• Health indicators in District Narowal through clinical services",
"• Poverty alleviation indicators through vocational training in Tehsil Pasrur",
"• Relief and rehabilitation in earthquake, flood relief and rehabilitation activities",
"• Ongoing research",
"Contribution of the organization to the work of the United Nations",
"After the 2005 earthquake in Pakistan, the organization collected PRs.30 million in donations and provided 3,200 fibreglass huts. With the help of the army of Pakistan and the United States, the organization transported the huts, patients and relief goods to snowbound areas. The organization managed medical teams of surgeons, physicians, orthopaedic surgeons and gynaecologists in Balakot and Chanari. The organization also provided 90 trucks loaded with eatables, blankets, warm clothes and tents.",
"During the 2006 war in Lebanon, the organization worked with the health ministry to supply medicines valued at PRs.20 million.",
"Participation in meetings of the United Nations",
"The organization will participate in a United Nations forum to be held in June 2011.",
"Cooperation with United Nations bodies",
"The organization has been working in coordination with the Red Cross, the United Nations Children’s Fund and the United Nations High Commissioner for Refugees during flood-relief activities.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization has contributed to Goal 1 of the Millennium Development Goals on poverty alleviation by establishing vocational training centres and providing jobs to about 1,000 people. In literacy and women empowerment (Millennium Development Goals 2 and 3), the organization has established a girl’s middle school in District Muzaffargarh in the flood-affected area. The organization is in the process of conducting HIV/AIDS surveillance in District Pakpattan, Punjab — a project funded by the Canada-Pakistan HIV/AIDS surveillance project. Sughra Shafi Medical Complex has treated some 1.5 million patients, focusing on maternal and child health, tuberculosis and epidemiology (Goals 4, 5 and 6).",
"12. Salesian Missions",
"Special, 2007",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"The organization is a member of a number of non-governmental organizations, including the NGO Committee for Social Development and its subcommittees on the eradication of poverty, HIV/AIDS, migration and financing for development. The organization is also on the planning committee of the Department of Public Information/Non-Governmental Organizations Conference, and has served as Chair of the Conference’s Nominations Subcommittee.",
"Participation in meetings of the United Nations",
"The organization has participated in the following meetings and sessions:",
"• Commission on Sustainable Development (New York, 2007-2010)",
"• United Nations Permanent Forum on Indigenous Issues (New York, 2007‑2010)",
"• Non-Governmental Organizations Committee on HIV/AIDS (2008 to 2010)",
"• Non-Governmental Organizations Committee on Migration (2007 to 2011)",
"• International Day for the Eradication of Poverty (New York, 2007 to 2010)",
"The organization has sponsored and/or organized the following side events:",
"• “Education and work: a collaborative partnership” (2008)",
"• “Protecting the human rights of migrants and their families” for the Department of Public Information/Non-Governmental Organizations Conference, held in Paris in 2008",
"• “HIV/AIDS and social exclusion: challenges for religious leaders” and “Social integration of peoples on the move” (2009)",
"• “Love matters: HIV/AIDS education of boys and girls in South Africa” and “Men and women, boys and girls in Dialogue” (2009)",
"• Side event at the sixty-third Department of Public Information/Non‑Governmental Organizations Conference, held in Melbourne, Australia, in 2010",
"• Side event at the fifty-fourth Commission on the Status of Women on the theme “Gaps in the Beijing Platform: the children of migrants” (2010)",
"• Side event on the theme “Migration: a response to violence” at the sixty-third Department of Public Information/Non-Governmental Organizations Conference, held in Melbourne in 2010",
"Cooperation with United Nations bodies",
"• A Salesian Cardinal addressed the high-level event on the Millennium Development Goals during the meeting of the General Assembly in New York on 25 September 2008.",
"• A representative from Shelter Don Bosco in Mumbai, India, gave a report on the state of the drugs problem and work in progress in the South Asia region to the fifty-first session of the Commission on Narcotic Drugs, held in Vienna from 10 to 14 March 2008. Prior to the session, Shelter Don Bosco was asked to serve as a regional lead organization to choose and coordinate more than 100 non‑governmental organizations invited to the session.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Eradicate poverty",
"• Don Bosco Tech Network seeks to provide training and job placement for 2 million young people in India by 2020",
"• The Salesian Industrial School in Copiago, Chile, committed to collaborating in the technical education of students and the production of jobs",
"• Don Bosco Home in Chiang Mai, Thailand, serves as a training centre for teenage boys from hill tribes and ethnic groups in Thailand",
"• Vocational training programmes at Bosco Children Centre in Addis Ababa involve 90 agricultural schools, which train youth in modern farming technology to improve crop yields, achieve food security and generate income",
"Primary education",
"• Don Bosco Literacy School in Andaung Cheng, Cambodia, serves as a centre for the poorest children in the country",
"• Don Bosco Travelling Bus School helps nomadic children in Kurnool, India",
"• Courses for the re-qualification and education of teachers and literacy programmes for children were begun in Angola",
"• In 2008, the first of a projected ten rural schools was opened near Tonj in Southern Sudan",
"• In Ljubljana, a “Happy Minibus” seeks out youngsters not attending schools to provide an education for them",
"• Literacy programmes serve the people of Condoto, Chocó, Colombia",
"Empowerment of women",
"• In 2010, Don Bosco Technical School in Honiara began a course in carpentry for girls",
"• The Woman Development Project in Zway, Ethiopia, has opened an embroidery cooperative",
"• In Pune, India, the organization offers microfinancing initiatives and skills-training groups",
"Reduce maternal mortality ratio",
"The Yolia programme in Mexico City provides education and shelter for girls who have lived on the streets. Pre- and post-natal services are available.",
"Combat HIV/AIDS",
"Programmes exist in Angola, Mozambique, and French-speaking western Africa as well as in Brazil, India, Peru and Sri Lanka.",
"Environmental sustainability",
"• The organization provides clean water for the indigenous communities of the Xavantes and the Bororos in Brazil",
"• In Costa Rica, Salesian students at Don Bosco Technical Institute won a national prize for their project on transforming chicken fat and lecithin into a bio-combustible material to replace diesel fuel",
"• The Salesian ACRE Project in Ireland trains young people with special educational needs in horticulture and gardening",
"13. Socialist International Women",
"Special, 1991",
"Introduction",
"Socialist International Women is an international organization of the women’s organizations of the socialist, social democratic and labour parties affiliated with Socialist International. There are currently 149 member organizations in all parts of the world.",
"Aims and purposes of the organization",
"The aims and objectives of the organization are to strengthen relations between its member organizations; to promote action programmes to overcome any discrimination in society, including any inequality between men and women and to work for human rights in general; to promote development and peace; to promote a knowledge and understanding among women of the aims and tasks of democratic socialism; and to extend relations between its members and other socialist-oriented women’s groups not in membership that desire cooperation.",
"Significant changes in the organization",
"There have been no changes.",
"Contribution of the organization to the work of the United Nations",
"• The organization has adopted several resolutions calling for a fifth United Nations World Conference on Women.",
"• In March 2007, the organization held a conference on the gender dimensions of international migration in cooperation with the International Organization of Migration. The organization works very hard to persuade member states to ratify the Optional Protocol of the Convention on the Elimination of All Forms of Discrimination against Women.",
"Participation in meetings of the United Nations",
"• The organization attended the sessions of the Commission on the Status of Women in New York in 2007, 2008, 2009 and 2010. On each occasion it organized a parallel event in cooperation with the Permanent Mission of Greece to the United Nations.",
"• The organization attended the ninety-sixth and ninety-eighth sessions of the International Labour Conference in Geneva.",
"• The organization attended the sixteenth, seventeenth and eighteenth sessions of the Commission on Crime Prevention and Criminal Justice in Vienna.",
"Cooperation with United Nations bodies",
"• The organization cooperated with the Department for Information by attending the sixty-first Department of Public Information/Non-Governmental Organizations Conference, held in Paris in September 2008",
"• Socialist International Women also attended the sixty-second Department of Public Information/Non-Governmental Organizations Conference, held in Mexico City in September 2009",
"• The organization cooperated with the Human Rights Council in Geneva by attending its fourth, tenth and eleventh sessions",
"• In October 2007, Socialist International Women organized a conference for Israeli and Palestinian women in Tel Aviv, Israel, in support of Security Council resolution 1325 (1999) on women, peace and security",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• In March 2009 the organization held a seminar in Buenos Aires on the theme “Towards a gender-balanced democracy” in support of Goal 3 of the Millennium Development Goals (promote gender equality and empower women).",
"• In June 2010 the organization held a conference in Andorra on the theme “Policies on gender equality — the driving force for social and economic development”, again in support of Goal 3. Promoting gender equality is the main goal of Socialist International Women.",
"• With regard to Goal 6 the organization issued a statement on the occasion of the XVIII International AIDS Conference (Vienna, 18 to 23 July 2010) calling on governments, health services and non-governmental organizations to give high priority to the following demands concerning women and HIV/AIDS: accessible reproductive health services for women and girls; access to testing, treatment, counselling, care and support; and access to methods of prevention such as male and female condoms.",
"14. Special Olympics International",
"Special, 1991",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"The significant increase in athlete participation, namely from the developing world, has had a strong influence and impact on the organization’s vision. This impact has helped Special Olympics channel additional investment, technical assistance and partnership development across the developing world through the Special Olympics Regional Office and National Program infrastructure.",
"Contribution of the organization to the work of the United Nations",
"Through the Special Olympics Healthy Athletes programme, over 1 million athlete health screenings have been provided free of charge for children and adults with intellectual disabilities. These screenings include the clinical disciplines of vision, dentistry, hearing, physical therapy, nutrition, sports medicine, podiatric medicine and health education. Health interventions are also provided free of charge to athletes from more than 110 countries, including free prescription eyeglasses, customized hearing aids, customized protective sports goggles, protective mouth guards and a variety of diagnostic screenings such as bone density, cardiac screenings and more. This programme’s ongoing efforts directly support the Millennium Development Goals related to child health and is especially important for a population as marginalized as those with intellectual disabilities.",
"Over 1.2 million participating athletes of the Special Olympics are female, offering girls and women the opportunity to not only participate in sport but, through the Sport for Development model, offering girls and women access to free health screenings, family support networks, early childhood development activities, health education, leadership development skills and more.",
"Special Olympics International has helped to create culturally sensitive disability education for millions of children without intellectual disabilities, to foster increased understanding regarding the nature of intellectual disability, the importance of acceptance of differences, the social benefits of inclusive communities and the excitement of working with the Special Olympics movement. This academic curriculum for kindergarten through grade 12, entitled “Get into it” continues to be offered in a variety of regions and countries, emphasizing the importance of inclusive school environments for children with intellectual disabilities.",
"Special Olympics International made great strides in promoting Goal 8 of the Millennium Development Goals. Through the official Special Olympics partnership platform, the organization has engaged governments, industry, philanthropy, sports and civil society in advocating for improved policies and a better future for children and adults with intellectual disabilities.",
"Special Olympics at all levels took an active role in advocating for the ratification of the Convention on the Rights of Persons with Disabilities. This advocacy has come with the dissemination of information that demonstrates the support structures that the Special Olympics movement has put into place to contribute to the overall achievement of the Millennium Development Goals.",
"Participation in meetings of the United Nations",
"Special Olympics International has been honoured to participate in official United Nations activities throughout the reporting period, including:",
"• Executive participation in the twentieth anniversary celebration of the Convention on the Rights of the Child",
"• Executive participation and contribution to the UNICEF publication State of the World’s Children 2009: Maternal and Newborn Health",
"• Official presentations at the UNICEF Middle East and North Africa Regional Office (MENARO) and Central and Eastern Europe and the Commonwealth of Independent States Regional Management Team meetings",
"• Keynote presentation at the UNICEF MENARO communications workshop",
"Cooperation with United Nations bodies",
"Special Olympics International cooperated with a number of United Nations bodies, including UNICEF, UNDP, the United Nations Office on Sport for Development and Peace, the World Food Programme and a myriad of national and regional United Nations offices throughout the world.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Special Olympics made significant contributions to the work of the United Nations, particularly related to the achievement of the Millennium Development Goals (see “Contribution of the organization to the work of the United Nations” above).",
"15. Syriac Universal Alliance",
"Special, 1999",
"Introduction",
"There have been no changes.",
"Aims and purposes of the organization",
"There have been no changes.",
"Significant changes in the organization",
"The organization held elections in late 2008 which resulted in a new President, Vice-President and other individuals being elected into key roles.",
"Contribution of the organization to the work of the United Nations",
"2007",
"In 2007 the organization arranged a conference in the European Parliament regarding the issue of the genocide of Syriac Aramean people.",
"2008",
"• February: the organization presented a lecture in Sodertalje, Sweden",
"• August to October: a Human Rights Adviser worked on the Turkey property rights issue relating to the Saint Gabriel Monastery (one of the oldest monasteries in the world)",
"• 11 and 12 October: Election of Johny Messo to the Presidency of the organization and Daniel Gabriel to the Human Rights and United Nations Non‑Governmental Organizations Director position",
"• December to January: the President and Michel Sawma travelled to the United States of America and Canada to meet Syriac people and discuss the future position of the organization at the United Nations and European Union",
"2009",
"In April, the President and the Human Rights Adviser travelled to the south of Turkey to visit Aramean (Syriac) villages and discuss property rights issues. They also presented a lecture at Diyarbakir University to Turkish students about the organization and Syriacs.",
"2010",
"• May to November: the organization participated in several lectures and met Aramean people in Vienna and Belgium (May); Goteborg, Sweden (August); New Jersey, Brussels, Sweden and Germany (conferences from June to October); and Switzerland (November)",
"• 25 October: the organization participated in a European Parliament public hearing on human rights in Turkey in view of the progress report of the European Commission",
"• 15 to 17 November: the President spoke at the European Parliament conference on religious freedom held in Brussels",
"• December: the organization attended a meeting in Washington, D.C., with the United States Committee for Refugees and Immigrants regarding religious freedom in Iraq for Syriacs.",
"Participation in meetings of the United Nations",
"2007",
"• 27 and 28 November: Fiftieth session of the Commission on Narcotic Drugs, Vienna",
"• 29 and 30 November: Sixteenth session of the Commission on Crime Prevention and Criminal Justice, Vienna",
"• 10 to 14 December: Fortieth session of the United Nations Commission on International Trade Law",
"2008 to 2009",
"May 2008 and May 2009: seventh and eighth sessions of the United Nations Permanent Forum on Indigenous Issues, New York.",
"2009",
"• 13 November: the organization spoke at the second session of the Forum on Minority Issues, Geneva",
"• November: the organization spoke at a private session at the United Nations regarding Syriac Aramean issues, including culture, human rights and diaspora issues, New York",
"• December: the organization participated as observers during the meetings of the main policymaking organs of the United Nations Office on Drugs and Crime",
"• 10 December: the organization celebrated Human Rights Day at the United Nations in New York, attending the sessions and a special event on “race, poverty and power”, with Secretary-General Ban Ki-moon",
"2010",
"• 8 March: the organization attended International Women’s Day at the United Nations, New York",
"• March: Syriac Universal Alliance attended the thirteenth session of the Human Rights Council and delivered one written and two oral statements at the session, Geneva",
"• May: the Alliance attended the universal periodic review consideration of Turkey, Geneva",
"• 19 to 30 April: the organization delivered a speech at the ninth session of the United Nations Permanent Forum on Indigenous Issues and submitted interventions for relevant agenda items, New York",
"• 16 July: the organization spoke at the third session of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, Geneva",
"• September: the Alliance attended the fifteenth session of Human Rights Council and delivered two oral statements at the session, Geneva",
"• 18 October: the organization attended the fifth session of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime, Vienna",
"Cooperation with United Nations bodies",
"The Alliance has worked with the Asia Caucus and Youth Caucus at the United Nations Permanent Forum on Indigenous Issues in New York. That cooperation, however, was limited and the organization is now seeking other methods to get the its voice heard at the Forum.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"No initiatives have been taken."
] | E_C.2_2012_2_ADD.2 | [
"Committee on Non-Governmental Organizations",
"2012 regular session",
"30 January-8 February and 17 February 2012",
"Quadrennial reports for the period 2007-2010 submitted by non-governmental organizations in consultative status with the Economic and Social Council through the Secretary-General pursuant to Economic and Social Council resolution 1996/31",
"Note by the Secretariat",
"Contents",
"IIA 2 AC 3 LRUC 4",
"Aid Action Organization",
"Special consultative status, 1991",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"The Aid Action Organization will launch a new strategy for implementation between 2012 and 2016. The two-tier governance structure was adopted to achieve its mission and objectives. This includes a subsidiary and associate member responsible for assisting in the organization of strategic governance, and an international council composed of independent members elected by the General Assembly, responsible for continuing and effective decision-making and overseeing the work of the Secretariat.",
"Contribution of the organization to the work of the United Nations",
"In 2010, the Organization successfully completed its participation in the “Women Wontalt Wait Coalition”. The Eighteenth International AIDS Conference, entitled “Rightsey, Rights Now”, held in Vienna from 18 to 23 July 2010, formally recognized its leadership.",
"Participation in United Nations meetings",
"Meetings attended",
"• Doha Global Civil Society Forum, held in Doha on 26 and 27 November 2008; and Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus, held from 29 November to 2 December 2008",
"• United Nations Conference on the World Financial and Economic Crisis and Its Impact on Development, New York, June 2009",
"• High-level United Nations Conference on South-South Cooperation, held in Nairobi from 1 to 3 December 2009",
"• United Nations Conference on Trade and Development, Geneva, May 2010",
"• Fifty-third, fifty-fourth and fifty-fifth sessions of the Commission on the Status of Women, New York",
"• The high-level segment of the Economic and Social Council, held in Geneva from 4 to 8 July 2011, submitted written statements by representatives of the National Education Group of the Organization and the HIV/AIDS Group",
"Activities held",
"The organization held three parallel meetings: unpaid care, comprehensive sex education and violence against girls in schools.",
"Cooperation with United Nations bodies",
"IOM continued to work with United Nations agencies and specialized agencies in the areas of education, food security and sovereignty, emergency and conflict, women's rights and HIV/AIDS, to prepare and contribute to research papers and studies and to co-hosted meetings. The organization also carries out humanitarian activities and donor-funded business projects, in cooperation with independent United Nations agencies, such as the United Nations Development Fund for Women, the United Nations Democracy Fund, the Joint United Nations Programme on HIV/AIDS (UNAIDS), the United Nations Children's Fund, the International Fund for Agricultural Development, the United Nations Population Fund, the United Nations Development Programme, the Food and Agriculture Organization of the United Nations and the World Food Programme.",
"The activities organized by the Aid Action Organization jointly with the United Nations independent bodies include:",
"• United Nations Girls' Education Initiative. CARI works in collaboration with the Institute for Education, the University of London, to provide assistance and research inputs to relevant United Nations products and materials.",
"• Office of the United Nations High Commissioner for Human Rights (OHCHR). In collaboration with Marie Stopes (Sierra Leone Division), CARI has responded to OHCHR's call to provide inputs for good and effective practical action to apply a human rights-based approach to eliminating maternal morbidity and mortality.",
"• AIDS Agency. CARI has established technical support facilities in South Asia, Kathmandu.",
"• World Food Security Committee. In collaboration with the Working Group on Governance of the International Food Sovereign Plan Commission and the International Olympics, CARI submitted a proposal at the thirty-sixth session of the World Food Security Conference, held in Rome from 11 to 14 and 16 October 2010, and interacted with special procedures candidates in close cooperation with the Human Rights Council.",
"• Special Rapporteur on the right to education.",
"• Special Rapporteur on the right to food.",
"• The Special Rapporteur on the right of everyone to the enjoyment of the highest attainable standard of physical and mental health.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"During the September 2007 session of the General Assembly, IOM launched a five-year campaign entitled “Hunger FREE”, focusing on Goal 1 of the Millennium Development Goals. Since then, IARD has developed various resources, including the report entitled “Whoftstor hunger?”. The report was issued in New York on 14 September 2010 prior to the convening of the General Assembly's high-level plenary meeting on the Millennium Development Goals.",
"From 20 to 22 September 2010, IOM participated in this meeting and participated as representatives of civil society organizations in round table I.",
"Other information",
"No additional information was available.",
"Joint Association",
"Special consultative status, 2007",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Contribution of the organization to the work of the United Nations",
"The Association has been actively providing humanitarian assistance, committed to eradicating hunger, disease and illiteracy in the world and has been providing emergency relief to the Democratic People's Republic of Korea, India, Indonesia, the Philippines and Sri Lanka.",
"Participation in United Nations meetings",
"Unfortunately, from 2007 to 2010, the Association has been unable to participate in any United Nations conference.",
"Cooperation with United Nations bodies",
"In March 2010, the Association, in cooperation with the Food and Agriculture Organization of the United Nations, provided food aid to Haiti, in coordination with the United Nations peacekeeping forces. Total food aid amounted to 45 tons of rice, 4.5 tons of beans and 7,570 litres of food.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Elimination of extreme poverty and hunger",
"Democratic People's Republic of Korea (2007-2010). The organization provided 150 tons of maize, 100 tons of rice, 3,290 tons of flour, 495 tons and 3.75 tons of potato in North Hamkyung and South Phua.",
"India. Since 2009, under the Stolen Bank project, the Organization has provided 518 sheep to Dungeshwari.",
"Sri Lanka (2008-2010). The organization, in cooperation with the Sewalanka Foundation, helped to rehabilitate a agricultural water bank, 28 drinking water wells and agricultural wells in Anulad Pool. The Association also distributed seeds, fertilizers, chicken and cattle.",
"Indonesia (2009). The Organization provided 25,880 kg of rice, 300 tents and 308 kitchen kits to 1,371 households in eight districts in Sumatra.",
"Universal primary education",
"Democratic People's Republic of Korea (2009). The organization provides learning supplies to 12 schools (55,020 copies, 107,136 and 5,288 books kits).",
"India. The Association launched the Sujata College in Dungeshwari. As of December 2010, some 869 children had completed primary education.",
"Philippines. The Organization has constructed 13 schools on Mindana, providing learning supplies for 6,491 students.",
"Cambodia (2009-2010). The Association established seven schools to provide learning supplies for 1,034 students located in Kouk Krasang, Kouk Rovieng, Thmor Teuk Dach and Pachon Thum tun Krah Ta Veaeng Leu.",
"Indonesia (2009). Following the Western Sumatra earthquake, the Organization provided 519 school uniforms, 700 books and 1,307 learning supplies for 260 students.",
"Haiti (2010). The Organization rehabilitated five schools in five villages destroyed by the earthquake.",
"Promote gender equality and empower women",
"India. The organization established a primary school, which provided free education for 50,869 students, 486 boys (55.9 per cent), 383 girls (44.1 per cent) by December 2010.",
"Reducing child mortality",
"Democratic People's Republic of Korea. The Association provides basic nutritional foods for orphans' homes and children with disabilities (pap719,424 tons, 67 tons of milk powder, 25 tons of vegetation and 20 tons of nutrition).",
"India. Jivaka Dungeswari Hospital introduced World Health Organization standards to investigate 1,210 children under 5 years of age. The survey found that 14.4 per cent of children were underweight. The Association also provides nutritional food for 764 underweight children. The Jivaka Hospital also provides free tuberculosis, diphtheria, tetanus, cough, measles and hepatitis vaccinations for infants.",
"Improving maternal health",
"India. Since 2007, the Jaivaka hospital has provided family planning education for Dungeswari. As part of the plan, 25 residents received free family planning operations on 22 December 2009. Since 2009, the Association has provided nutrition for mothers and provided iron nutrition supplements for pregnant women.",
"Combating HIV/AIDS, malaria and other diseases",
"India. The Organization launched the first project on the elimination of tuberculosis in Dungeswari in November 2001. The National Tuberculosis Control Plan was adopted at Javika Hospital in June 2008. Since then, the average time for medical care has been reduced from 21 to 6 months.",
"Ensuring environmental sustainability",
"India. The organization constructed 33 wells and hand pumps in Dungeswari.",
"Philippines. The Association has built 12 drinking water wells throughout Khmer.",
"Cambodia. The Association has two wells in Kouk Krasang and Kouk Vieng.",
"Other information",
"No additional information was available.",
"3 LEAravetl Indigenous Peoples' Information and Education Network",
"Special consultative status, 2007",
"Introduction",
"LEAravetel Indigenous Peoples' Information and Education Network is an umbrella national organization representing more than 20 indigenous communities in the north and remote parts of the Russian Federation.",
"Objectives and purposes of the organization",
"The main objective of the organization is to increase the active participation of these indigenous communities and to establish a mechanism for communication between indigenous communities and the outside world and between them.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the United Nations",
"The Organization monitors all regular and special sessions of the General Assembly, annual meetings of the Economic and Social Council and its subsidiary bodies and other annual meetings of indigenous organizations. During the United Nations-sponsored conference, the representative of the Organization made 18 written and oral statements and made three joint statements.",
"Participation in United Nations meetings",
"2007",
"• sixtieth Department of Public Information/NGO Conference",
"• Informal interactive hearings with civil society representatives on inter-religious and intercultural understanding and cooperation for peace (New York, 4 and 5 October)",
"• Open meeting on the discussions on the continuing work of the Working Group on Indigenous Populations (Geneva, 6 and 7 December)",
"The organization also held a series of educational meetings targeting representatives of indigenous peoples' organizations, academia and United Nations agencies, as follows:",
"• Seminars on “Indigenous knowledge of indigenous peoples”, held the sixth United Nations Permanent Forum on Indigenous Issues",
"• Traditional knowledge workshops held during the sixty-first DPI/NGO Conference.",
"2008",
"The organization participated in the seventy-third session of the Committee on the Elimination of Racial Discrimination (Geneva, 27 July-15 August).",
"2009",
"The organization participated in the Durban Review Conference (Geneva, 20-24 April). The organization was prepared jointly with the World Intellectual Property Organization (WIPO) and at the eighth session of the Permanent Forum on Indigenous Issues (CSD) On 27 May, a booklet entitled “Final knowledge of indigenous peoples” was issued in New York.",
"2007 and 2010",
"The organization participated in the Russian language component of the Indigenous Peoples' Scholarship Plan, held in Moscow in October 2007 and November 2010, November 2007 and November-December 2010 in Geneva.",
"2007-2009",
"The Organization participated in the sixth, seventh and eighth sessions of the United Nations Permanent Forum on Indigenous Issues in New York.",
"2008-2010",
"The Organization participated in the thirteenth, fourteenth and seventeenth sessions of the WIPO Intergovernmental Committee on Intellectual Property, Genetic Resources, Traditional Knowledge and Civil Literary Arts, held in Geneva.",
"2008 and 2010",
"The Organization participated in the First and Third Expert Mechanism on the Rights of Indigenous Peoples, held in Geneva.",
"Cooperation with United Nations bodies",
"2008",
"In collaboration with WIPO, the organization issued a brochure entitled “Final knowledge of indigenous peoples” (English and Russian).",
"2009",
"The organization, in cooperation with OHCHR, initiated a project to translate the Universal Declaration of Human Rights into 10 indigenous languages of the Russian Federation (Veps, Kaélia, Nubaka, Nenetz, Shorian, Evanki, Alta, Yacuit, Khakas and Tuvinian). In cooperation with WIPO, the organization held international seminars on traditional knowledge of indigenous peoples: protection and legal protection and international and national aspects on 22 and 23 October for representatives of indigenous communities from the northern and remote regions of Siberia and the Russian Federation.",
"Initiatives undertaken by organizations in support of the Millennium Development Goals",
"The Organization supports the achievement of the Millennium Development Goals, conducts legal advocacy, organizes educational seminars for indigenous peoples' representatives and gives them the right to access to land and natural resources. During the period 2007-2010, 16 three weeks of legal training and 32 seminars were held to study the issue of indigenous peoples' rights to land, water and forest resources.",
"Other information",
"No additional information was available.",
"Union of Legal Affairs",
"Special consultative status, 2007",
"Introduction",
"The Union of Legal Affairs is committed to the promotion and protection of human rights through the following ways: raising public sensitivity; disseminating information at the local, national and international levels; and strengthening the membership organizations of the Alliance.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"The Alliance has prepared and adopted a new four-year strategic plan for the period 2010-2013.",
"Contribution of the organization to the work of the Organization",
"Over the past four years, the Alliance and its member organizations have focused on promoting and protecting the human rights of marginalized groups, in particular those of displaced persons (refugees, returnees, internally displaced persons) and ethnic minorities. In 2008, Croatia adopted a new law on free legal aid; according to that law, six of the nine existing member organizations of the Alliance were registered as free legal aid providers. They will continue to provide free legal assistance to all those who need assistance.",
"Most of the important projects implemented by the Alliance over the past four years include:",
"• The role and responsibilities of modern technologies in the promotion and protection of human rights",
"• Promotion and protection of human rights",
"• Promotion of the values of anti-racism and xenophobia in Europe at the local and regional levels",
"• Minority rights in South-Eastern Europe, including the national action plan for Croatia for the period 2007-2008",
"Participation in United Nations meetings",
"2008",
"• The Executive Director of the Alliance for the Promotion and Protection of Human Rights, Oseik, participated in the sixty-first Department/NGO Conference, held in Paris from 3 to 5 September.",
"• The Alliance participated in a conference held in Paris from 3 to 5 September on the theme “Reaffirming the human rights of all: the sixtieth anniversary of the Universal Declaration of Human Rights”, hosted by the non-governmental organization Executive Committee and co-sponsored by the Department of Public Information, UNESCO, OHCHR and France.",
"Cooperation with United Nations bodies",
"• The organization, in collaboration with the Office of the United Nations High Commissioner for Refugees (UNHCR) in Croatia, the Ministry of Justice, the Centre for Human Rights and the Alliance for the Promotion and Protection of Human Rights, organized an international conference on the theme “Legal recourse: experience gained from the application of the law on free legal aid” in Zagreb on 26 July 2010.",
"• In April 2010, the Alliance was a member of an ad hoc coalition of civil society organizations involved in the universal periodic review. The Ad Hoc Alliance held several working sessions to consider thoroughly the state and protection of human rights in Croatia and to report thereon, with the aim of highlighting the most visible human rights violations and making recommendations on how and how to improve the current situation.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"• During the World Refugee Day, the International Day for the Elimination of Racial Discrimination, the International Day against Fassiscism and the International Day of Anti-Semitism and Human Rights, the Alliance organized a number of activities in several towns in Croatia",
"• The Alliance issued statements on its official website, in print form and in local and national e-media broadcasts",
"• Representatives of the Alliance participated in television programmes and delivered statements on issues faced by refugees and ethnic minorities and the general situation of human rights in Croatia",
"• On the occasion of the World Refugee Day 2010, the Alliance launched humanitarian operations to help returnees and refugees in two parts of Croatia; however, only one company responded to the provision of cascacy and sugar or nut to returnees with young children.",
"Additional information",
"Since April 2008, the Alliance has been a member of the European Non-Governmental Relief and Development Organization Working Group on Expanding, acceding to and neighbouring countries.",
"International Free Alliance",
"General consultative status, 1995",
"Introduction",
"The International Free Alliance is a World Federation of Free Political Parties, which is also an international forum for political parties and opposition parties to exchange views and promote dialogue, consultations and stimulate the creation, deepening and consolidation of (free) democracy.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"The European Parliament, Hans Van Baleen, replaced Lord Alderdice as the new President of the Organization.",
"Contribution of the organization to the work of the Organization",
"2007",
"• A workshop on human rights on the theme “Security and human rights” was held in Kunc, Mexico, on 30 April",
"• A human rights conference in the north of Taiwan Province, China, 26-29 September",
"• A human rights conference on the theme “Strengthening networks and combating trafficking in persons” in North-North City from 7 to 10 December",
"2008",
"• The special report on child soldiers was submitted by the Commission on Human Rights at the fifty-sixth session of the International Free Alliance, held in Belfast, Northern Ireland, from 15 to 17 May",
"• At the fifty-sixth session of the International Free Alliance, held in Belfast, Northern Ireland, from 15 to 17 May, adopted a resolution on the following issues: The current global situation and the prohibition of persecution and discrimination based on sexual orientation, freedom of expression, climate change, food prices, overcoming conflicts and global population crises",
"2009",
"• At the Executive Committee meeting of the Organization, held in Strasbourg, France, on 25 January, on the theme “The impact of the global economic crisis on democracy and human rights”, a resolution was adopted on the humanitarian crisis in Gaza, violence in the eastern Democratic Republic of the Congo and ending sexual exploitation and abuse in the world",
"• A resolution on the rights of women in Afghanistan and on the situation in Kosovo and the Republic of Moldova was adopted at the Executive Committee of the Organization, held in Vancouver, Canada, from 1 to 3 May",
"• Resolution adopted at the fifty-seventh session of the International Free Alliance, held in Cairo from 29 to 31 October, on the current global situation and other States and regional issues",
"2010",
"• Visit to Kisanao from 15 to 17 February to study the human rights situation in the country",
"• On 8 and 9 March in Geneva, through its Youth Organization — International Confederation of Free Youth — co-organized the Geneva High-level Meeting on Human Resources, Tolerance and Democracy",
"• A panel discussion on the theme “Human rights and women's participation” was held during the Executive Committee of the Organization, held in Berlin from 11 to 13 June",
"• A number of resolutions adopted at the Executive Committee of the Organization, held in Cape Town, South Africa, on 13 and 14 November, and promoted the decentralization of Africa",
"Participation in United Nations meetings",
"2007",
"Human Rights Council Meeting, Geneva, 27-29 March",
"2008",
"Sixty-first United Nations Department of Public Information/NGO Conference, Paris, 3-5 September",
"2009",
"• Fourth session of the Working Group on the Universal Periodic Review, Geneva, 2-13 February",
"• Tenth session of the Human Rights Council, Geneva, 2-27 March",
"• Meetings with OHCHR, Geneva, 17 June",
"• Twelfth session of the Human Rights Council, Geneva, 14 September-2 October; submission of a written statement to the Human Rights Council",
"• Sixty-second United Nations Department of Public Information/NGO Conference, Mexico City, 9-11 September",
"2010",
"• thirteenth session of the Human Rights Council, Geneva, 10 March",
"• regular session of the Economic and Social Council Committee on Non-Governmental Organizations, New York, 4 June",
"• General debate of the Third Committee of the General Assembly, New York, 28 October",
"Cooperation with United Nations bodies",
"2008-2009",
"The Secretary-General of the Organization met on a number of occasions with the President of the General Assembly, Seljan Crem",
"2009-2010",
"• Accreditation of the Vice-Chairman at United Nations Headquarters in New York",
"• Accreditation of the Vice-Chairman of the Commission on Human Rights to the United Nations Office at Geneva",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"• The Organization's “Promoting Liberties” awards annually to individuals who make outstanding contributions to the promotion of liberty and human rights",
"• The organization publishes a book entitled “Definition of liberty: A Journal of 25 years prior to the International Free Alliance for Freedom of Liberties” (2009), which contains the statement of “Estrone Awards for Freedom” for the period 1985-2009”",
"• The organization regularly publishes special human rights newsletters to raise awareness of human rights violations and promote equal rights for all. The 2008 issue of liberty was devoted to democratic transition and human rights, which coincided with the sixtieth anniversary of the Universal Declaration of Human Rights.",
"Additional information",
"Members are represented in national parliaments and governments around the world so that the Organization has the potential to directly influence the development and implementation of important international policies and diplomatic activities.",
"Association of Life Ethics Education",
"Special consultative status, 1999",
"Introduction",
"The Association of Life Ethics Education is a non-governmental organization based in Canada and is committed to raising public awareness of the issue of the right to life, in particular the “right to life” before and at the end of birth.",
"Objectives and purposes of the organization",
"The Organization strives to promote respect for all human life from natural deaths, to strengthen and promote public understanding and knowledge on life issues, including, but not limited to, foet development, abortion, new reproductive technology, adoption, intern care, happiness, euphoria, medical assistance, human experimentation, post-abortion and paediatric/no education.",
"Important changes in the organization",
"The main representative of the organization was transferred to New York, thereby significantly enhancing the Organization's ability to participate in United Nations meetings and to establish links with other non-governmental organizations accredited by the Economic and Social Council.",
"Contribution of the organization to the work of the Organization",
"In addition to participating in United Nations meetings, the Organization has also worked with other non-governmental organizations accredited by the Economic and Social Council to help organize activities for a wide range of United Nations society. Representatives of the organization also made statements at panels and side events hosted by other organizations during United Nations meetings (such as the Commission on the Status of Women). On 15 September 2010, the Organization, in cooperation with other non-governmental organizations (such as the Family Association and the International Organization for Maternal Care) and the Permanent Missions of the Philippines and Malawi to the United Nations, convened a panel of experts to discuss Goal 5 of the Millennium Development Goals and maternal health.",
"Participation in United Nations meetings",
"2007",
"• Commission on the Status of Women, 26 February-9 March",
"• Commission on Population and Development, 9-13 April",
"2008",
"• Commission for Social Development, 6-15 February",
"• Commission on the Status of Women, 25 February-7 March",
"• Commission on Population and Development, 7-11 April",
"• United Nations High-level Meeting on HIV/AIDS, 8-10 June",
"• Commission for Social Development, 6-15 February",
"• Women's childbirth conference, 18-20 October 2007",
"2009",
"• Commission on the Status of Women, 2-13 March",
"• Commission on Population and Development, 30 March-3 April",
"2010",
"• Commission for Social Development, 3-12 February",
"• Commission on the Status of Women, 1-12 March",
"• Commission on Population and Development, 12-16 April",
"• High-level meeting on the Millennium Development Goals, 20-22 September",
"• World Youth Conference, 24-27 August 2010",
"• Women's childbirth conference, 7-9 June 2010",
"In the course of the United Nations Year of Youth, the Organization has been actively working to brief young members through dialogue and seminars.",
"Cooperation with United Nations bodies",
"Not applicable.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The organization was a host and host of activities related to Goal 5 (Health Health) in September 2010. The Organization believes that it is important to make young people aware of the work of the United Nations, in particular with regard to objectives 3, 4 and 5, by organizing training courses for the organization's volunteers prior to their participation in United Nations meetings, so as to enable them to discuss and share with other representatives of non-governmental organizations, United Nations personnel and States. Between 2007 and 2010, the Organization trained more than 100 young volunteers, who were later represented at the United Nations.",
"Conference of Mayors for Peace",
"Special consultative status, 1991",
"Introduction",
"In August 1945, two bullets destroyed the city of Hiroshima and Nagasaki respectively and claimed the lives of hundreds of thousands of people. More than 60 years ago, the physical and psychological conditions of many survivors are still affected by nuclear radiation. To ensure that the tragedy caused by thetomic bombs is never repeated on Earth, Hiroshima and Nagasaki have been working to send a message to the world. Nuclear weapons are illegal and unethical and must be completely eliminated. On 24 June 1982, at the Second Special Conference on Disarmament, held at United Nations Headquarters in New York, the then Hiroshima Favu announced that urban unity for the total elimination of nuclear weapons programmes — a plan to establish inter-country inter-urban solidarity to promote collective efforts to eliminate nuclear weapons. The Mayor of Hiroshima and Nagasaki jointly called on cities around the world to support the programme. The Conference of Mayors of Peace is an official and explicit endorsement of the above-mentioned programmes' cities. In March 1990, the Mayor of Peace registered as non-governmental organizations in the Department of Public Information.",
"Objectives and purposes of the organization",
"The Conference of Mayors of Peace raises awareness among the international public about the abolition of nuclear weapons, as well as efforts to alleviate hunger and poverty, assist refugees fleeing local conflicts, support human rights and environmental protection in their contribution to lasting world peace. The Conference of Mayors of Peace has recently focused on the elimination of nuclear weapons. Such inhumane and illegal weapons pose a threat to human existence. Since 2003, the Organization has been promoting its Vision 2020 campaign, an urgent campaign against nuclear weapons by 2020. The Conference of Mayors of Peace recently organized a number of events with cities, municipalities and non-governmental organizations in all countries of the world, most recently a petition campaign for the prompt commencement of negotiations on nuclear weapons conventions.",
"Important changes in the organization",
"By promoting the 2020 Prospects Campaign and the 2020 disarmament target, the membership of the Organization increased from 1,500 cities in 2007 to nearly 4,400 cities in 2010. This empowerment process needs to strengthen the network of organizations and improve communication methods among members of cities. The Final Document adopted at the 2010 Review Conference of the States Parties to the Treaty on the Non-Proliferation of Nuclear Weapons (NPT) held in May 2010 referred to nuclear weapons in the history of the General Assembly. Pursuant to that outcome, the Organization held a total elimination of nuclear weapons by 2020 and adopted the Hiroshima Call — a new set of guidelines, including calls for the commencement of negotiations on nuclear weapons conventions.",
"Contribution of the organization to the work of the Organization",
"The first resolution of the United Nations General Assembly is a resolution on nuclear disarmament. The Organization is disseminating information on nuclear disarmament to all corners of the globe through its members, staff and non-governmental organizations.",
"Participation in United Nations meetings",
"The Mayor delegation, composed of Mayors and partners of the Organization, participated in the Preparatory Committee for the Review Conference of the Parties to the Treaty, held in 2007, 2008 and 2009. 89 representatives from 30 countries of the Organization also participated in the 2010 NPT Review Conference in New York. The Conference of Mayors for Peace also attended the sixty-second DPI/NGO Conference, held in Mexico City in 2009. The Organization's staff attended the United Nations meetings in New York, Geneva and Vienna.",
"Cooperation with United Nations bodies",
"The Conference of Mayors of Peace maintains close contact with the United Nations Office for Disarmament Affairs and the NGO Committee on Disarmament, Peace and Security and makes every effort to coordinate its activities with the Office. In July 2010, the Organization invited a Senior Political Affairs Officer of the Department for Disarmament Affairs to travel to Hiroshima and to make a statement at the Conference. The Organization's hundreds of petitions for the elimination of nuclear weapons have been displayed at United Nations Headquarters since March 2011.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Conference of Mayors of Peace is the fastest growing international city associations around the world and may be the largest such associations. The Organization's initial commitment to organize cities is the elimination of nuclear weapons, but the Organization believes that it will ultimately make a significant contribution to the goal of global partnership.",
"Mbtu Agriculture Association",
"Special consultative status, 1999",
"Introduction",
"Mbtu Agriculture Association was established in January 1993 by non-governmental, non-political and non-religious organizations.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"The organization has been extended to the national and international levels, in cooperation with local universities such as the United Nations Development Programme (UNDP), the World Food Programme, the International Organization for Sustainable Development Education and Ecological Design, the United Kingdom AWARE project, the International Association for Organic Crop Improvement, the United States Agency for International Development and the University of Ald Salaam.",
"Contribution of the organization to the work of the Organization",
"2009",
"• The Organization has carried out a project on land conservation for horticulture and rice growers along the shores of the Mladvo River in Pavani Province",
"• The Association carried out a land degradation project, specifically by raising awareness of the problem among farmers in the Kolombo River and the Rumma River basin in Mologoo province (July-October)",
"• The organization carried out a project on bioprotecting methods for small farmers who plant rice in the Mladzouvo River in Pavani Province",
"2010",
"The Association launched a planting project along the Nyerererere route in Dar es Salaam, United Republic of Tanzania.",
"Participation in United Nations meetings",
"The Organization attended the fifth African Population Conference, held in Arusha, United Republic of Tanzania, from 10 to 14 December 2007.",
"Cooperation with United Nations bodies",
"In 2008, the Chief Executive Officer of the Association was invited and fully sponsored by the UNDP Office in the United Republic of Tanzania to attend the Shalivan Summit held in Arusha from 2 to 6 May 2008. Participants in the Summit were entrepreneurs and investors in the infrastructure, tourism and environmental sectors in Africa and the United States, aimed at meeting the development needs of the United Republic of Tanzania and Africa and seeking strategic partnerships with Asia and exploring opportunities for investment from Asia.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Goal 6: Combat HIV/AIDS, malaria and other diseases",
"Supporting the acceptance of gender-sensitive sexual and reproductive health and HIV/AIDS education for preschool young people:",
"• The establishment of 120 giene clubs, 8 theatres and 15 competitions in various schools in the Ruthwarma province, Tumooma and Kyungi (Kenmerki district) and Mbambabambashi (Mumbina district)",
"• Selection and training of 120 preschool youth as peer instructors",
"• Training of 200 preschool young people as subsistence skills and HIV education",
"The Organization educates 38 sex workers and teachs them about a more secure approach, such as the use of condoms, and trains 120 men to promote livelihood skills and take responsible behaviour in sexual relations and family relations. The Organization also raised the purchase of 12 paper boxes and distributed them to groups within the community.",
"The Organization has identified 36 drug users/busor abusers and developed strategies to address their drug abuse. Ten drug abusers stopped abuse and were receiving treatment and reciprocation.",
"The organization cooperates with the communities of Tabata and Kimara in the surrounding area in order to reduce the mosquito farms and to benefit 200 families. The Organization has prepared information on the importance of early diagnosis and treatment of insecticide-treated nets and access to health units.",
"Additional information",
"The Organization developed best practices on transparency in all its activities during the period 2008-2010. The Association is a fiduciary institution with 74 members. All members participated in the planning, design and implementation of the project.",
"Centre for Women of the Mediterranean",
"Special consultative status, 1987",
"Introduction",
"Geographical coverage of the Centre for Women in the Mediterranean: Greece, the Mediterranean region, Europe, Asia and Africa.",
"Objectives and purposes of the organization",
"• Study, analyse and improve the situation of women in the family and economic, social and public life",
"• Awareness-raising and action to promote equality between women and men in all spheres of life",
"• Raise women's sensitivity to ecological issues, mobilize women's environment and protect the Mediterranean basin from pollution",
"• Assist women in protecting their cultural heritage and upholding their values",
"• Promote women's empowerment through education to exercise their rights in all spheres of life",
"• Develop methodologies and initiatives for conflict resolution and promotion in the Mediterranean region",
"• Launching activities for democracy and human rights",
"• Support national, regional and international campaigns and programmes on major concerns such as HIV/AIDS, drug abuse, alcohol abuse, violence, racism, xenophobia and youth crime",
"To that end, the Organization has set various areas of responsibility:",
"• Femaleism and action-oriented research",
"• Gender research programmes",
"• Seminars, symposiums, workshops and meetings on a wide range of issues related to women and youth",
"• Programme for women's empowerment for peace and security",
"• Activities related to the protection of the environment",
"• Development projects for women in developing countries",
"Important changes in the organization",
"In May 2009, the Organization was a member of the Anna Led Foundation network. The institution is active in the Mediterranean country with the goal of promoting intercultural dialogue in the Mediterranean region.",
"Contribution of the organization to the work of the Organization",
"The organization organized two workshops with the United Nations Population Fund to promote the implementation of Security Council resolution 1235 (1999).",
"Participation in United Nations meetings",
"• From 30 April to 11 May 2007, a member of the Board attended the fifteenth session of the United Nations Commission on Sustainable Development in New York.",
"• From 24 to 26 June 2009, a Board member attended the United Nations Conference on the World Financial and Economic Crisis and Its Impact on Development in New York. From 9 to 15 November, the Secretary-General of the Organization attended the third session of the Conference of the States Parties to the United Nations Convention against Corruption, held in Doha.",
"• From 3 to 14 May 2010, a member of the Board attended the eighteenth session of the Commission on Sustainable Development in New York. From 18 to 22 October, the President of the Organization and the Controller attended the fifth session of the Conference of the Parties to the United Nations Convention against Transnational Organized Crime, held in Vienna.",
"Cooperation with United Nations bodies",
"From 19 to 23 February, the Organization, in cooperation with the Technical Support Division of the United Nations Population Fund (UNFPA), organized a five-day training workshop on capacity-building for female and male trainees from 12 different regions of Indonesia, on the theme “Final, management, sharing of skills and project planning”. The workshop was held on Bali, Indonesia, with UNFPA responsibility for funding and organization, and the Centre is responsible for organizing and implementing training. The workshop focused on Security Council resolution 1235 (1999).",
"From 10 to 15 June, the Organization continued to cooperate with UNFPA in organizing a five-day training workshop on capacity-building for Iraqi women in Istanbul, Turkey, on the theme “Solving conflicts, sharing skills and institutional management”. The workshop focused on Security Council resolution 1235 (1999).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"No initiative was taken.",
"National Council of Black Women",
"General consultative status, 1995",
"Introduction",
"The National Council of Black Women is a National Council of African Women's Organizations and Communities. The Council was established in 1935, with a mandate to lead, develop and advocate for the support of African women in their families and communities.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the United Nations",
"One representative of the Organization assisted in the organization of the sixtieth annual meeting of the Department of Public Information/NGO on the theme “Climate change: how to affect all of us”. The representative worked in the Planning Committee's Network Committee to engage non-governmental organizations in climate change. In addition, four members of the Organization attended the meeting and subsequently submitted reports on programmes at their local community meetings, with approximately 150 participants on four different occasions. In Washington, D.C., the organization's International Department of Education celebrated black women's national council for family reunification, during which a representative of the organization distributed over 500 magazines. More than 500,000 people participated in the event. One representative of the organization, in New York, of the NGO Committee on the Media Outreach of the Commission on the Status of Women, facilitated the fifty-second session of the United Nations Commission on the Status of Women and NGO consultations. In addition, five members of the Organization attended the meeting. One representative of the organization submitted reports to members on programme activities and submitted articles for the Organization's newsletter.",
"Participation in United Nations meetings",
"In 2007, members of the Organization attended the sixtieth annual meeting of the Department of Public Information/NGO (New York, 5-7 September).",
"2008",
"• Fifty-first session of the Commission on the Status of Women, entitled “Financing for gender equality and the empowerment of women” New York, 25 February-7 March 2008",
"• The United Nations Association of the United States of America (United States Association of United Nations Associations) session on the theme of opportunities for women during the presidential elections in 2008 (United States of America) New York, 13 March 2008",
"• United States Association Meeting of the United Nations on the theme of the assessment of the tenth anniversary of the Convention on the Prohibition of Landmines New York, 3 April 2008",
"• Updated developments in the work of the General Assembly: briefing to non-governmental organizations by the President of the General Assembly, Srdjan Kerim New York, 10 July 2008",
"Cooperation with United Nations bodies",
"2009",
"• Participation of the organization in the NGO Consultation Day (New York, 1 March)",
"• Participation of the organization in the fifty-third session of the Commission on the Status of Women (New York, 2-13 March)",
"• The organization participates in the activities of the Commission on the Status of Women on the theme “The impact of HIV/AIDS on girls and older women” (art. New York, 5 March",
"• The organization's participation in the United States Association Workshop on the theme of the care burden and gender gap in the United States President's Emergency Relief Plan (New York, 12 December)",
"• Participation of the organization in the 10-year review of the implementation of the Beijing Declaration and Platform for Action (1995) and the outcome of the twenty-third special session of the General Assembly (2000) (New York, 1-12 March)",
"2010",
"Organization's participation in the commemoration of the tenth anniversary of Security Council resolution 1325 (1999) on women and peace and security (see annex). New York, 25-29 October",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The organization works with the Association for Women in Law and Development and other women's organizations to provide basic education and technical access programmes to help women establish literacy and economic development programmes in Benin.",
"Saharan Life Trust Fund",
"Special consultative status, 2007",
"Introduction",
"The Saharan Life Trust Fund is a tax-free philanthropic organization that enjoys consultative status with the Economic and Social Council, has been certified by the Pakistani philanthropic centre and endorsed by the philanthropic commissions of Canada, the United Kingdom of Great Britain and Northern Ireland and the United States of America. The Sughra Shafi medical building in Narowal, Pakistan, is an integrated hospital with 250 beds, receiving about 10,000 patients per month. The Organization has established an advanced laboratory to have comprehensive computerization and highly automated equipment, including 50 licence laboratories throughout the country. The Organization provides 24 hours of ambulance services at the Lee Narowal Highway (HATCHER). The organization is in the process of setting up a medical facility, which has now been established in the medical building and has established the services of doctors and researchers from the Medical College. The organization operates throughout Pakistan, particularly in remote rural areas such as Narowal. The Organization provided support to Lebanon during the war and supported India after the tsunami in 2010.",
"Objectives and purposes of the organization",
"The Organization wishes to contribute to a quiet revolution through social services by providing health services to those who have not been able to help them, by achieving fair distribution through education.",
"The Organization's mission is to provide services and facilities for vulnerable poor people in rural areas of Pakistan with health and education services and to provide relief and rehabilitation services to meet national and international natural disasters. Its objectives and purposes are to establish and maintain hospitals, medical centres, obstetric hospitals, emergency centres and educational institutions for vulnerable groups oppressed by Pakistan.",
"Important changes in the organization",
"In 2010 and 2011, the organization managed $650 million in Pakistan for flood-prone projects. The Organization strives to achieve positive changes by expanding its scope of work and extending the coverage to all regions of the country. Therefore, the Organization has successfully improved the following activities:",
"• Improving health indicators in Narowal through clinical services",
"• Improvement of poverty reduction indicators through vocational training in Tehsil Pasrur",
"• Improving relief and recovery in earthquakes, floods relief and recovery activities",
"• Improving ongoing research",
"Contribution of the organization to the work of the United Nations",
"Following the 2005 earthquake in Pakistan, the Organization collected over 3,000 Pakistan's Lubi contributions and provided 3200 glass fibres. With the help of the Pakistani and United States military forces, the Organization has transported squatters, patients and relief supplies to the skirm areas. The organization is administered by the Medical Team of ElBared and Chanariari, consisting of physicians, physicians, gynaecologists and gynaecologists. The Organization also provided 90 trucks with food, blankets, heating and tents.",
"During the 2006 Lebanese war, the Organization, in cooperation with the Ministry of Health, supplied medicines worth 2,000 million Pakistani Lubis.",
"Participation in United Nations meetings",
"The organization will participate in a United Nations forum to be held in June 2011.",
"Cooperation with United Nations bodies",
"During the floods, the Organization has been working with ICRC, the United Nations Children's Fund and the United Nations High Commissioner for Refugees.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The organization established vocational training centres and offered employment to some 1,000 people, contributing to the Millennium Development Goals Goal 1 on poverty alleviation. In the area of literacy and empowerment of women (Goals 2 and 3), the Organization has established a female secondary school in Muzaffargarh in the flooding area. The Organization is monitoring HIV/AIDS in the Pakpattan region of Punjab province, funded by the HIV/AIDS monitoring project in Canada and Pakistan. The Sughra Shafi medical building has treated about 1.5 million patients and has focused on maternal and child health, tuberculosis and epidemics (Goals 4, 5 and 6).",
"Friends",
"Special consultative status, 2007",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the United Nations",
"The Organization participated in a number of non-governmental organizations, including the Committee on Social Development and its subcommittee on poverty eradication, HIV/AIDS, migration and financing for development. The Organization also participated in the Planning Committee of the Department of Public Information/NGO Conference and had nominated the Chairperson of the Subcommittee.",
"Participation in United Nations meetings",
"The Organization participated in the following meetings and sessions:",
"• Commission on Sustainable Development (New York, 2007)",
"• United Nations Permanent Forum on Indigenous Issues (New York, 2007)",
"• NGO Committee on HIV/AIDS (2008-2010)",
"• NGO Committee on Migration (2007-2011)",
"• International Day for the Eradication of Poverty (New York, 2007)",
"The organization initiated and/or organized the following side events:",
"• Education and work: partnerships (2008)",
"• Activities of the Department of Public Information/NGO Conference, held in Paris in 2008 to protect the human rights of migrants and their families",
"• “HIV/AIDS and social exclusion: challenges faced by religious leaders” and “Integration of mobile populations” 2009",
"• “The importance of: HIV/AIDS education for boys and girls in South Africa” and “Women, boys and girls in the dialogue” 2009",
"• side event of the sixty-third DPI/NGO Conference, held in Melbourne, Australia, in 2010",
"• The fifty-fourth session of the Commission on the Status of Women, on the theme “The gap in the Beijing Platform for Action: the children of migrants” (2010)",
"• The sixty-third DPI/NGO Conference, held in Melbourne in 2010, on the theme “Lemigration: response to violence”",
"Cooperation with United Nations bodies",
"• During the 25 September 2008 meeting of the General Assembly in New York, a Bishop of the Cycle made a statement at the high-level meeting on the Millennium Development Goals.",
"• At the fifty-first session of the Commission on Narcotic Drugs, held in Vienna from 10 to 14 March 2008, a representative from Mumbaiscoe, India, reported on the situation and progress of work on drug problems in South Asia. Prior to the session, Skopje was requested to serve as a regional lead organization for the selection and coordination of more than 100 non-governmental organizations invited to attend.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Eradication of poverty",
"• The Donald Skko Synthetic Network seeks to provide training and position arrangements for 2 million young people in India by 2020",
"• The Chilean Pyonga School is committed to cooperating on student technical education and employment creation",
"• In Chiang Mai, Thailand, the Donald Boscoe has become a training centre for ten-year-old boys from mountainous communities and ethnic groups in Thailand",
"• The vocational training programme at the Addis Ababa Centre for Children involves 90 agricultural schools, which train young people to learn modern agricultural technologies to increase crop yields, achieve food security and generate income",
"Primary education",
"• Andaung Cheng, Donko literacy school in Cambodia is the centre of the poorest children in the country",
"• Bachelor's School of Toscoko Tourism to assist pastoral children in Kurnool, India",
"• Starting the course on the re-election and education of teachers in Angola, as well as child literacy programmes",
"• In 2008, the first of the 10 rural schools planned was opened near Tonj, Southern Sudan",
"• In Lubjana, a “High” is finding out of school and providing them with education",
"• Literacy programme for the people of Joko Condoto, Colombia",
"Empowerment of women",
"• In 2010, the Tooka technical school started to train girls in the course of caring.",
"• The Women's Development project in Zaway, Ethiopia, has established a femicide cooperative",
"• In Pune, India, the Organization provides small financial services initiatives and skills training groups",
"Reducing maternal mortality",
"The Yolia programme in Mexico City provides education and shelter to girls living on the street and prenatal and post-natal services.",
"Combating HIV/AIDS",
"Such programmes are available in Angola, Mozambique and western Africa, as well as in Brazil, India, Peru and Sri Lanka.",
"Environmental sustainability",
"• The organization provides clean drinking water to Shavant and Boro indigenous communities in Brazil",
"• In Costa Rica, the Tangko Institute of Technology has converted chicken fat and eggs into biofuels to replace diesel projects with a national prize",
"• In Ireland, ACRE project training with special educational needs for adolescents",
"NC International Women's Organization",
"Special consultative status, 1991",
"Introduction",
"The International Women's Organisation of the Social Party is an international organization that belongs to the Socialist International, consisting of women's organizations of the Socialist Party, the Social Democratic Party and the party. Currently, there are 149 member organizations around the world.",
"Objectives and purposes of the organization",
"The Organization's objective is to strengthen the relationship between member organizations; to promote the elimination of all discrimination in society, including any unequal action programmes between women and men and to promote universal human rights; to promote peace and development; to promote women's understanding of the goals and mandates of democratic socialist societies; and to develop the relationship between members and other non-member women's groups that wish to cooperate.",
"Important changes in the organization",
"There is no change.",
"Contribution of the organization to the work of the Organization",
"• The Organization adopted several resolutions calling for the convening of the Fifth United Nations World Conference on Women.",
"• In March 2007, the Organization, in cooperation with the International Organization for Migration, held a conference on the gender dimensions of international migration. The Organization strives to persuade Member States to ratify the Optional Protocol to the Convention on the Elimination of All Forms of Discrimination against Women.",
"Participation in United Nations meetings",
"• The organization participated in the Commission on the Status of Women in New York in 2007, 2008, 2009 and 2010. Each time, the Organization has organized parallel activities in cooperation with the Permanent Mission of Greece to the United Nations.",
"• The Organization participated in the ninth and ninth International Labour Conference, held in Geneva.",
"• The organization participated in the sixteenth, seventeenth and eighteenth sessions of the Commission on Crime Prevention and Criminal Justice, held in Vienna.",
"Cooperation with United Nations bodies",
"• The Organization participated in the sixtieth annual meeting of the Department of Public Information/NGO, held in Paris in September 2008, through which it cooperated with the Department of Public Information.",
"• The PSIP International Women's Organisation also participated in the DPI/NGO 60th Annual Conference in Mexico City in September 2009",
"• The organization participated in the fourth, tenth and eleventh sessions of the Human Rights Council, held in Geneva, through which it cooperates with them.",
"• In October 2007, PIP International Women's Organisation organized a conference for Israeli and Palestinian women to support Security Council resolution 1325 (1999) on women, peace and security.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"• In March 2009, in support of Millennium Development Goal 3 (Promoting gender equality and empowering women), the Organization organized a seminar on “Towards democracy towards gender balance”.",
"• In June 2010, in support of Goal 3, the Organization organized a theme “Policy on gender equality — drivers of social and economic development”. Promoting gender equality is the main goal of the International Women's Organization of the Social Party.",
"• With regard to Goal 6, the Organization issued a statement at the Eighteenth International AIDS Conference (Vienna, 18-23 July 2010) calling on Governments, the health sector and non-governmental organizations to give priority to the need for women and HIV/AIDS: access to reproductive health services for women and girls; access to testing, treatment, counselling, care and support; and access to preventive methods such as male and female condoms.",
"International Olympics",
"Special consultative status, 1991",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"The involvement of the facilitators in the developing world has had a significant impact on the Organization's vision. This impact has helped to convey additional investment, technical assistance and partnership development to the developing world as a whole through the Regional Office and the country programme infrastructure.",
"Contribution of the organization to the work of the Organization",
"Through the PSH programme, more than 1 million children and adults with intellectual disabilities have provided free sportsmen's health check. These inspections include clinical disciplines such as visual, dental, hearing, physical treatment, nutrition, sports medicine, nutritious medicine and health education. Free health interventions were also provided to campaigners from more than 110 countries, including free distribution of eyescopes, targeted hearings, protective campaign watchscopes, protective escorts and creativity, heart inspections. The current work of the programme directly supports the Millennium Development Goals related to child health and is particularly important for marginalized populations, such as persons with mental disabilities.",
"More than 1.2 million participants in the Olympic Games were women, not only for girls and women to participate in sports, but also for girls and women through sports for development models, access to free health checks, family support networks, early childhood development activities, health education, leadership development skills.",
"The International Olympics will help millions of children without intellectual disabilities to create culturally sensitive education to promote greater awareness of the nature of intellectual disability, the importance of acceptance of differences, the social welfare of inclusive communities and the sense of participation in the Special Olympics movement. ICOS continued to provide this academic curriculum for children in various regions and countries, entitled “Access” to grade 12, highlighting the importance of an inclusive school environment for disabled children.",
"International Olympics has made considerable progress in promoting Goal 8 of the Millennium Development Goals. Through the official Olympics Partnership Platform, the Organization has engaged Governments, industry, philanthropic communities, sports and civil society in advocating for improved policies to create a better future for children with intellectual disabilities and adults.",
"UNOS plays a positive role in advocating for the ratification of the Convention on the Rights of Persons with Disabilities at all levels. This advocacy work is accompanied by the dissemination of information, which demonstrates the support structure established by the Olympic Games to promote the full achievement of the Millennium Development Goals.",
"Participation in United Nations meetings",
"Throughout the reporting period, the International Olympics has the honour to participate in the official activities of the United Nations, including:",
"• Competent participation in the commemoration of the twentieth anniversary of the Convention on the Rights of the Child",
"• Managers participated in the work of UNICEF publication entitled “World Children 2009: Maternal and Newborn Health” and contributed to the publication",
"• Presentation by officials at meetings of the UNICEF Regional Office for the Middle East and North Africa, Central and Eastern Europe and the Commonwealth of Independent States Regional Management Group",
"• Key presentations were made at the UNICEF Regional Office for the Middle East and North Africa dissemination workshops",
"Cooperation with United Nations bodies",
"ICOS cooperates with a number of United Nations agencies, including UNICEF, UNDP, the United Nations Office for Sports for Development and Peace, the World Food Programme and numerous national and regional offices around the world.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"UNOS has made a major contribution to the work of the United Nations, in particular in relation to the achievement of the Millennium Development Goals (see “Asss to the work of the United Nations”.",
"Syrian Global Alliance",
"Special consultative status, 1999",
"Introduction",
"There is no change.",
"Objectives and purposes of the organization",
"There is no change.",
"Important changes in the organization",
"The organization held elections at the end of 2008, resulting in a President, Vice-Chairperson and the election of others to serve as important positions.",
"Contribution of the organization to the work of the Organization",
"2007",
"In 2007, the Organization held a conference on the genocide of the Syrian Arab Alam.",
"2008",
"• February: The organization delivered lectures in South Tamiliya, Sweden",
"• August-October: a human rights adviser is committed to the issue of the property rights of Turkey in connection with the San Gabriel Institute (one of the world's most ancient monasteries)",
"• 11-12 October: election of Johny Messo as President of the Organization and election of Daniel Gabriel as Head of Human Rights and United Nations Non-Governmental Organizations",
"• December-January: President and Michel Sawma travelled to the United States of America and Canada to meet Syrians and discuss the future status of the Organization in the United Nations and the European Union",
"2009",
"In April, the President and the Human Rights Adviser travelled to southern Turkey to visit the villages of Aram (Syrian Arab Republic) and to discuss the issue of property rights. They also delivered lectures to Turkish students at the University of Diubak.",
"2010",
"• May-November: the Organization participated in several lectures in Vienna and Belgium (May), Sweden Cote d'Ivoirebourg (August), Newsey, Brussels, Sweden and Germany (June-October) and Switzerland (November) and met with Al-Alamians",
"• 25 October: As a result of the progress report of the European Commission, the Organization participated in public hearings on human rights in the European Parliament in Turkey",
"• 15-17 November: Statement by the President at the European Parliament on Freedom of Religion held in Brussels",
"• December: In Washington, D.C., the Organization participated in a conference with the United States Refugee and Immigration Commission on religious freedom of Syrians in Iraq.",
"Participation in United Nations meetings",
"2007",
"• 27 and 28 November: fiftieth session of the Commission on Narcotic Drugs, Vienna",
"• 29 and 30 November: sixteenth United Nations Congress on Crime Prevention and Criminal Justice, Vienna",
"• 10-14 December: fortieth session of the United Nations Commission on International Trade Law",
"2008-2009",
"May 2008 and May 2009: Seventh and Eighth Meeting of the United Nations Permanent Forum on Indigenous Issues in New York.",
"2009",
"• 13 November: Statement by the organization at the second session of the Forum on Minority Issues in Geneva",
"• November: statements made by the Organization at a private meeting on the question of the Syrian Arab Anam, including cultural, human rights and expatriation, held in New York",
"• December: The Organization participated as an observer in the main policymaking organs of the United Nations Office on Drugs and Crime",
"• 10 December: The Organization, together with the Secretary-General Ban Ki-moon, celebrated the Human Rights Day in New York and participated in the Conference and the special event entitled “Racial, Poverty and Power”",
"2010",
"• 8 March: The Organization participated in the United Nations Day of Women in New York",
"• March: The Syrian Global Alliance participated in the thirteenth session of the Human Rights Council in Geneva and submitted a written statement and two oral statements at the meeting.",
"• May: The Alliance participated in the universal periodic review of Turkey in Geneva",
"• 19-30 April: The Organization made a statement at the United Nations Permanent Forum on Indigenous Issues in New York and presented interventions for the relevant agenda items",
"• 16 July: Statement by the organization at the third session of the United Nations Expert Mechanism on the Rights of Indigenous Peoples in Geneva",
"• September: The Alliance participated in the fifteenth session of the Human Rights Council in Geneva and delivered two oral statements at the meeting",
"• 18 October: The Organization participated in the fifth meeting of Parties to the United Nations Convention against Transnational Organized Crime, held in Vienna",
"Cooperation with United Nations bodies",
"The Alliance cooperates with the Asia Core Group and the Youth Caucus at the United Nations Permanent Forum on Indigenous Issues in New York. However, such cooperation is limited and the Organization is now seeking other ways to make the voice of the Organization heard by other participants in the Forum.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"No initiatives have been taken."
] |
[
"非政府组织委员会",
"2012年常会",
"2012年1月30日至2月8日和2月17日",
"具有经济及社会理事会咨商地位的非政府组织依照经济及社会理事会第1996/31号决议通过秘书长提交的2007-2010四年期报告",
"秘书长的说明",
"目录",
"页次\n1.社会、生态和文化援助协会国际联合会 3\n2.哈里里基金会 4\n3.国际人道呼吁组织 6\n4.孟加拉国少数民族人权大会 8\n5.国际人权信息和文献系统 9\n6.世界互动组织 10\n7.国际犹太人律师和法学家协会 12\n8.国际社会工作学校协会 14\n9.国际律师协会 15\n10.国际天主教报业联合会 17\n11.国际贸易和可持续发展中心 19\n12. 国际欧亚新闻基金会 20\n13.国际社会工作者联合会 22\n14.国际和睦团契 23\n15. 国际老龄问题联合会 25",
"1. 社会、生态和文化援助协会国际联合会",
"特别咨商地位，2007年",
"导言",
"社会、生态和文化援助协会国际联合会是一家非政府组织，作为一个国际联合会建立，包括来自拉丁美洲、欧洲和北美14个国家的30个协会。",
"该组织的目标和宗旨",
"该组织在其准会员(联合协会)乃至全社会中促进和普及以下方面：培养团结、求实、灵性、宽容和统一的人类价值观；对穷人提供社会救助；生态和保护环境；以及文化。",
"该组织对联合国工作的贡献",
"参与和扩大由世界粮食计划署(粮食计划署)、联合国开发计划署(开发署)和多米尼加共和国总统国家计划共同资助的工作换收入草案；2008年，请联合国代表在多米尼加共和国举办登革热预防、饮用水、艾滋病毒和性传播疾病预防讲座；在《联合国气候变化框架公约》方面，大力支持哥本哈根首脑会议，庆祝2009年12月(见www.copmoving.org)联合国为讨论气候变化而举行的第十五次世界大会闭幕；2010年7月7日至14日在多米尼加共和国举办了主题为“和平文化”的第六届大会，来自14个国家的620名代表出席大会，积极推动了支持联合国目标的和平价值观教育。",
"参加联合国会议",
"代表们出席了2010年10月29日在纽约举行的题为“加大复合疫苗的普及”的会议和2010年10月21日在联合国总部举行的题为“公民行动能否拯救世界？”的会议。代表们还通过以下网络广播参加会议：2010年10月20日的“光靠排名是不够的：衡量大学”；2010年11月15日的“创业在千年发展目标的实现和可持续性中的作用”；2010年12月9日的“改革国际货币和金融架构”。",
"与联合国各机构的合作",
"参加了2007年在墨西哥蒙特雷举办的世界文化论坛。",
"该组织为支持千年发展目标采取的举措",
"(a) 2004-2010年，实施了名为“社会发展和援助中心”的专门方案，其中三个在多米尼加共和国实施；1993-2010年，建设和支助八个餐馆，并通过赞助和捐赠来维持，每年惠及2 000名儿童；1993-2010年，为赤贫者提供医疗、牙科、预防接种、食品和服装。",
"(b) 1977-2010年，防止滥用药物、酒精和烟草及暴力的教育宣传活动，每年为2 000名儿童提供学习用品和学习问题方面的特殊帮助，并为他们提供正式出生证明；1992-2010年，在美国、多米尼加共和国和多民族玻利维亚国开展扫盲运动；1992-2010年，为遭受暴力和武力的妇女和女孩提供心理和法律支助；对家长进行两性平等教育；2009年2月至7月，对预防暴力和两性不平等进行调查。",
"(c) 1992-2010年，应对儿童饥饿和营养不良问题；对家长进行采取预防措施预防和发现疾病的教育。",
"(d) 在发生灾害时提供特别援助，如2010年援助海地地震灾民，以及2007年11月在多米尼加共和国巴尼的圣罗莎帮助热带风暴诺埃尔的受害者；在多民族玻利维亚国、多米尼加共和国和秘鲁开展预防疾病运动：脑积水(1995-2010年)和糖尿病(2005-1010年)：捐赠胰岛素和脑积水阀门。",
"(e) 1995-2010年和2004-2010年分别在多民族玻利维亚国和多米尼加共和国针对妇女开展妇科运动，预防疾病和促进孕期的产前检查；1995-2010年在14个国家开展健康营养教育；1980-2010年在14个国家进行青少年和成人性教育；2006-2010年在多民族玻利维亚国和多米尼克共和国开展蚊蝇控制运动，预防登革热和疟疾。",
"2. 哈里里基金会",
"特别咨商地位，2003年",
"导言",
"可持续人类发展哈里里基金会是由黎巴嫩总理拉菲克·哈里里于1979年成立的一家黎巴嫩非政府组织。迄今为止，该组织已与90多个地方、区域和国际伙伴合作，依照千年发展目标实施了200多个项目。",
"该组织的目标和宗旨",
"该基金会致力于通过旨在实现可持续人类发展状态的、包容各方的伙伴关系和协作模式，调集资源(人力和财力)并汇集努力。",
"该组织的重大变化",
"按照对千年发展目标进展的审查，并根据千年发展目标首脑会议的建议，该基金会开始实施以下倡议：民间社会在监测千年发展目标实现方面的作用；地方政策和国家战略在发展进程中的作用；四重危机对发展援助委员会成员国履行其发展援助义务并为发展项目融资制定替代计划的能力的影响。",
"该组织对联合国工作的贡献",
"该基金会对联合国及其机构的各种形式和倡议的工作做出了贡献。",
"参加联合国会议",
"2007年9月8日在开罗举行的开发署咨询委员会会议；分别于2007年4月3日、2008年5月20日和2010年6月24日在巴黎教科文组织总部举行的联合国教育、科学及文化组织(教科文组织)亲善大使年会；2008年8月25日在巴黎举行的教科文组织全民优质教育区域会议；2008年7月21日和22日，由教科文组织与伊斯兰教育、科学和文化组织、海湾国家阿拉伯教育局和阿拉伯联盟教育、文化和科学组织合作主办、在贝鲁特举行的阿拉伯议员教育论坛。",
"与联合国各机构的合作",
"该基金会正在与西亚经济社会委员会、世界银行和开发署等主要的联合国机构实施一系列倡议。2008年，与世界银行合作实施了旨在编写赛达历史核心指南的项目；2004-2009年，与联合国联合国妇女发展基金合作实施了题为“保证黎巴嫩信息和通信技术市场的电子质量”的项目；2006-2008年，与世界银行和重建与发展理事会合作实施了旨在发展黎巴嫩南部橄榄油行业的项目。",
"该组织为支持千年发展目标采取的举措",
"发起一项题为“Khede Kasra ”的媒体运动，旨在提高全国各地和社会各阶层对两性不平等的认识。",
"根据“在贝鲁特及其郊区动员青年和发展”项目，该基金会与不同的伙伴一道，在贝鲁特两个城市贫民窟修复有形基础设施，同时寻求一些环境问题的解决方案，如非法屠宰和下水道堵塞产生的废弃物问题。",
"补充资料",
"该基金会在其2011年常会上向非政府组织委员会提交了更名申请。该组织的新名称为“哈里里可持续人类发展基金会”。由于本报告为2007-2010年间的报告，故该组织的名称仍保留为“哈里里基金会”。",
"3. 国际人道呼吁组织",
"特别咨商地位，1991年",
"该组织对联合国工作的贡献",
"该组织在以下领域发起了若干项目：",
"000多个家庭从中受益",
"参加联合国会议",
"代表们出席了以下会议：",
"与联合国各机构的合作",
"000头牲畜接种疫苗和提供治疗(2008年)。",
"该组织为支持千年发展目标采取的举措",
"662名农民耕种其农场，并为30位失业者提供财政支助。",
"4. 孟加拉国少数民族人权大会",
"特别咨商地位，2007年",
"导言",
"孟加拉国少数民族人权大会是一个为孟加拉国边缘化人群提供服务、倡导人权和提供人道主义服务的组织。",
"该组织的目标和宗旨",
"该组织旨在与各国政府、联合国和其他机构合作，结束仇外心理以及对孟加拉国国内少数民族和其他边缘化人群的社会政治和文化剥夺；提供援助以改善其生活条件，并保障其充分享受《世界人权宣言》所规定的各项权利。",
"该组织的重大变化",
"自2009年以来，该组织赞助了边缘化学生接受高等教育，并鼓励对孟加拉国少数民族和其他边缘化人群的社会政治和文化剥夺问题开展相关的学术研究。",
"自成立以来，该组织多次参与联合国活动，并支持其伙伴组织，如孟加拉国印度教徒、佛教徒和基督徒团结会在联合国发言。该组织还向联合国机构派驻代表，如联合国人权事务高级专员办事处(人权高专办)特别任务执行人。为了服务人权高专办之目的，该组织任命Monorama Biswas担任人权理事会的非洲人后裔问题特别任务执行人。",
"该组织对联合国工作的贡献",
"参加联合国会议",
"除了上述活动，该组织还积极参加妇女地位委员会的会议，并在委员会第五十三届会议期间举行了一次并行会议。在并行会议期间，该组织举办了关于暴力侵害少数民族妇女和女孩的小组讨论，小组成员在讨论中强调，必须制定国际立法，以帮助在国家一级维护正义。",
"与联合国各机构的合作",
"此外，该组织还通过其在其他全球非政府组织的成员身份参与了联合国的许多活动：",
"(a) 签署了《国际红十字会行为守则》，以促进包括但不限于救灾的人道主义服务(2009年，“一个世界”)；",
"(b) 作为儿童权利信息网的伙伴，努力制止对儿童的暴力行为，并制定法律补救办法(2011年)；",
"(c) 作为国际刑事法院非政府组织联盟成员，努力提高人们对国际刑事法院的认识，并获得缔约国孟加拉国的批准；",
"(d) 加入和平与正义国际和平局(2006年)。",
"该组织为支持千年发展目标采取的举措",
"该组织的核心活动和服务与联合国千年发展目标一致。该组织的许多活动包括但不限于针对妇女和女孩的宣传和复原服务，以及对穷人和边缘化人群的人道主义服务，直接服务于联合国千年发展目标的目的。",
"5. 国际人权信息和文献系统",
"特别咨商地位，2003年",
"导言",
"国际人权信息和文献系统是一家国际非政府组织，帮助人权组织应用信息和文献方法，最大限度地发挥其宣传工作的影响。该组织开发各种工具和技术，并为倡导者提供定制的培训和支持。它也是一个非正式、开放和分权的人权组织网络，希望汇集各人权组织的经验和创造力，为信息管理制定共同标准和工具。",
"该组织的目标和宗旨",
"我们的愿景：一个利用信息和通信技术为人权服务的世界。我们的使命：加强人权组织管理和交流信息的能力，增强其实效和公信力。目标：确保人权组织拥有工具、知识、技术和配套服务，对其信息资源加以有效利用。",
"我们的活动：(a) 开发监测、信息管理和通信的工具和技术；(b) 将这些工具和技术提供给人权组织和国家人权机构；(c) 通过培训和其他活动培养人权组织掌握和应用这些工具和技术以满足其特定需求的能力；(d) 支持人权组织建立并加强其信息系统；(e) 改进人权宣传和报告技术；(f) 扩大人权宣传和联网能力；以及(g) 提供关于人权方法和技术的英才中心。",
"该组织的重大变化",
"根据我们对人权组织在信息管理和文献、技术发展方面的潜力和需求的了解以及我们对自身成就的评价，近年来，该组织的目标和宗旨已经修改。",
"该组织对联合国工作的贡献",
"2009年2月，该组织举行了题为“人权理事会和国际刑事法院：人权传播的新挑战”的会议。此次会议的目的是思考非政府组织如何更有效地向这些机构传播人权信息。",
"参加联合国会议",
"该组织定期参加联合国在日内瓦举行的会议，特别是与人权有关的会议(人权理事会，普遍定期审议)。2009年3月，该组织在人权理事会会议期间组织了一次题为“人权信息管理的挑战”的会外活动。",
"与联合国各机构的合作",
"该组织与日内瓦的人权高专办工作人员以及人权高专办各个外地办事处的工作人员举行定期磋商，提供信息管理和文献问题方面的建议和支持。2007年2月，该组织与人权高专办和尼泊尔人权委员会合作，举办了两次同时进行的培训：一次是对10名尼泊尔人权委员会保护官员进行为期5天的监测和实况调查培训，另一次是为期5天的文献记录违规培训，学员来自10个尼泊尔人权非政府组织，并得到人权高专办和开发署的支持。2008年2月，应墨西哥人权事务高级专员办事处的要求，并在妇女人权项目背景下，该组织为非政府组织举办了一期违规文献记录讲习班。",
"该组织为支持千年发展目标采取的举措",
"该组织支持千年发展目标，并在人权领域采取了涉及能力建设和工具开发的各种举措。",
"6. 世界互动组织",
"特别咨商地位，2003年",
"导言",
"世界互动组织通过非洲、亚洲和拉丁美洲的地方民间社会伙伴，开展性健康和生殖健康及权利方面的工作。",
"该组织的目标和宗旨",
"世界互动组织是国际发展领域的一家非政府组织，总部设在联合王国，在支持世界上一些最贫穷社区的性健康和生殖健康及权利信息和服务方面拥有30多年的经验。世界互动组织的专长在于通过基于权利的方法与当地伙伴合作，使穷人和处边缘化人群能够作为一项“权利”要求获得使其有尊严地生活并实现其性健康和生殖健康及权利的基本条件。我们的工作专门侧重于最边缘化的社区和个人，那些经常遭受侮辱、歧视、虐待并被剥夺权利的人。我们的愿景是世界上所有人都能平等地享受性健康和生殖健康及福祉，并行使其性权利和生殖权利。我们的使命是改善边缘化人群的性健康和生殖健康，并落实其性权利和生殖权利。",
"该组织的重大变化",
"2009年10月1日，世界互动组织与“联合王国计划”合并，但仍然是一个自治组织，拥有自己的董事会，作为“联合王国家庭计划”的组成部分。通过这次合并，世界互动组织将其性健康和生殖健康及权利方案扩展至更多国家，并开发了新的商业模式，以确保更多的青年人和成年人能够更加健康地生活。它还确保该组织获得更大的金融稳定和组织支持。",
"该组织对联合国工作的贡献",
"该组织的方案促进了非洲、亚洲和拉丁美洲弱势群体的性健康和生殖健康及权利的进步，方法是通过培养我们的民间社会伙伴的能力，提供基于权利的性健康和生殖健康及权利方案，促进对性健康和生殖健康及权利和服务的需求和获取。我们的政策和宣传工作——与国内、联合王国、欧洲和全球伙伴合作——是围绕支持和促进实现与健康相关的千年发展目标展开的。我们通过“2015年欧洲倒计时”宣传网络开展具体的宣传工作，通过“全球健康行动”(也是一个跨欧洲的宣传网络)开展健康方面的工作。世界互动组织支持联合国人口基金(人口基金)继续将性健康和生殖健康及权利列为联合王国政府议程的重点。",
"参加联合国会议",
"2009年3月：世界互动组织向人口与发展委员会第四十二届会议提交了书面意见。",
"2009年夏/秋：一名代表参加了联合王国民间社会与政府关于“联合国-妇女”构成的讨论。",
"2010年6月至9月：代表们参加了2010年9月在纽约举行的大会千年发展目标问题高级别全体会议成果文件的讨论并为其提供资料；代表们还通过民间社会渠道为秘书长关于促进妇女儿童健康全球战略发表意见并做出贡献。",
"2010年9月：参加了在纽约举行的大会高级别全体会议，并在联合国基金会博客网站组织了一次专题介绍。",
"2010年9月至现在：一名代表为实施秘书长关于促进妇女儿童健康全球战略做出贡献，包括通过举行联合王国民间社会与联合王国政府的讨论，并对“每一位妇女，每一位儿童”的在线论坛发表意见。",
"与联合国各机构的合作",
"2007年5月，人口基金为世界互动组织的宣传方案“加强联系：性健康和生殖健康及权利以及艾滋病毒和艾滋病宣传新方向”提供了40 000美元的赠款。2011年初，世界互动组织还得到了另一笔赠款，以支持其对联合王国政府的政策和宣传工作。",
"该组织为支持千年发展目标采取的举措",
"世界互动组织在两个跨欧洲的宣传网络中发挥了关键作用：“全球健康行动”和“2015年欧洲倒计时”。作为这些网络的组成部分，世界互动组织与联合王国政府、捐助者和民间社会合作，以提高人们对实现千年发展目标以及解决未满足的计划生育需求的重要性的认识。",
"7. 国际犹太人律师和法学家协会",
"特别咨商地位，1995年",
"该组织的目标和宗旨",
"国际犹太人律师和法学家协会创立于1969年，努力在全球推进人权，并致力于推进犹太人民议程。该组织努力打击种族主义、仇外心理、反犹太主义、否认大屠杀和对以色列国的全球攻击。它派代表参加联合国主要的人权机构。该协会成立于1969年，作为犹太人律师和法学家的成员协会，其主要目的是促进对人权和平等的尊重。",
"该组织对联合国工作的贡献",
"该组织通过以下途径促进了对个人人权的维护：",
"(2007年3月)",
"参加联合国会议",
"该协会多次参加与联合国有关的活动，其中包括：",
"与联合国各机构的合作",
"该组织为支持千年发展目标采取的举措",
"该协会与其他犹太人协会合作，主办了以下活动：",
"8. 国际社会工作学校协会",
"特别咨商地位，1947年",
"导言",
"国际社会工作学校协会是一家社会工作学校、其他高等社会工作教育方案以及社会工作教育者的全球协会。",
"该组织的目标和宗旨",
"该协会成员的共同义务是不断追求社会正义和社会发展。在履行使命时，该协会促进其成员之间以及与其他组织之间的合作、互惠互利和相互依存。",
"该组织的重大变化",
"该协会在中国发展了许多成员。",
"该组织对联合国工作的贡献",
"我们继续按月组织并参加专题小组讨论。",
"参加联合国会议",
"作为非政府组织移徙问题委员会的共同主席，该协会组织了以下活动：与社会发展委员会的一项并行活动；全球移民与发展论坛2010年民间社会日最新情况介绍；贩运人口问题工作队在东欧举行关于移民的讲座和一次专题介绍；关于赋予移民妇女赋权的声明；在新闻部关于移民对世界各地家庭的影响的简要介绍一起实施了一项方案，以庆祝国际家庭日；以及一项纪念国际难民日的方案。",
"一名代表还参加了由国际移民组织和联合国训练研究所举办的研讨会和会议。今年4月，她做了关于国际收养儿童的专题介绍，作为国际移民组织和儿童基金会新设立的研究世界各地儿童和移民的跨领域问题项目的组成部分。5月，她帮助策划了新闻部的情况介绍会。",
"与联合国各机构的合作",
"第二十七个一年一度的社会工作日于3月29日在联合国举行。确定“社会工作和社会福利：承诺与联合国合作”为总主题，是为了与6月在中国香港举行的三方联席会议保持一致。相应地，三个分主题分别为“生命历程挑战”、“公平和社会包容”及“可持续环境”。 在我们之前在香港会议期间的磋商和讨论的基础上，我们建议将以下几个领域作为将在进一步磋商之后制定并发布《全球议程》初稿的框架：国家内部和区域之间的社会和经济不平等；以及最近持续的经济危机和世界领导人选择应对危机的模式(如，利用资源支持金融系统，同时削减用于社会支助和社会发展的资源)。",
"该组织为支持千年发展目标采取的举措",
"如果没有以下问题，该组织本可以更好地促进联合国方案的执行：有关国际会议的信息较少，获得时间也太晚，同时，缺乏资金和工作人员人数太少(都是志愿者)，使得参加国际会议变得十分困难。",
"9. 国际律师协会",
"特别咨商地位，1947年",
"该组织对联合国工作的贡献",
"2006年 多民族玻利维亚国——诉诸司法",
"冈比亚——法治和司法独立情况",
"2007年 哥伦比亚——负责为人权遭严重侵犯的受害者提供补救措施的机构的能力",
"委内瑞拉玻利瓦尔共和国——司法机构和法律界的独立",
"巴基斯坦——对试图取消首席法官的回应",
"马拉维——加强马拉维律师协会",
"乌干达——司法独立",
"伊朗伊斯兰共和国——法律界和诉诸司法的独立",
"津巴布韦——调查警察在司法中的作用",
"波兰——司法机构和法律界的独立",
"2008年 南非——司法独立",
"斐济——评估法治",
"喀麦隆——调查酷刑和拘留条件",
"斯里兰卡——司法机构和法律界的独立",
"刚果民主共和国——司法系统的需求",
"巴基斯坦——司法独立",
"肯尼亚——对司法系统需求的评估",
"巴西——对审前羁押的技术援助",
"阿富汗——建立并维持独立的律师协会",
"2009年 赞比亚——推进法律教育",
"阿拉伯利比亚民众国——人权、禁止和监测酷刑及对拘留者的监控",
"捷克共和国——关于伊拉克人的国际人权",
"2010年 刚果民主共和国——协助卢本巴希律师事务所继续推进法律教育",
"利比里亚——审查利比里亚全国律师协会",
"巴西——法治和刑事司法",
"哥伦比亚——法律界的独立和保障正当程序",
"参加联合国会议",
"与联合国各机构的合作",
"该组织为支持千年发展目标采取的举措",
"促进法治",
"10. 国际天主教报业联合会",
"特别咨商地位，1951年",
"导言",
"过去四年是该国际联合会历史上最有趣的时期之一。依据联合国目标并与联合国各机构合作组织了许多活动。每年，有来自世界不同地区的近1 000名记者参加这些活动。对这些类型方案的需求在日益增加。从这些方案的主题中可以看出，它们都符合联合国千年发展目标。",
"该组织的目标和宗旨",
"该联合会的目标和宗旨是：",
"该组织的重大变化",
"该组织对联合国工作的贡献",
"参加联合国会议",
"我们的一些记者参加了世界各地的会议，并报告联合国的政策和活动。",
"与联合国各机构的合作",
"我们定期与联合国各机构合作举办记者活动。",
"该组织为支持千年发展目标采取的举措",
"从该方案的主题中可以看出，这些倡议都与千年发展目标相一致。",
"补充资料",
"我们非常关切，联合国在过去十年正在丧失其政治作用，并越来越成为一个人道主义机构。因此，作为新闻记者和媒体专家的世界联盟，我们正竭尽全力召集政府领导人、宗教领袖和民间社会领导人参加我们的研讨会、会议和活动，以使他们更好地发挥其在促进全人类福祉方面的作用。",
"11. 国际贸易和可持续发展中心",
"特别咨商地位，2003年",
"该组织对联合国工作的贡献",
"参加联合国会议",
"该中心已获得《联合国防治荒漠化公约》的认可(2007年)以及政府间气候变化专门委员会的观察员地位(2010年)。它在一些会议上举行了会外活动。",
"与联合国各机构的合作",
"与联合国家各机构的共同出版物包括：",
"Correa，贸发会议-国际贸易和可持续发展中心联合工作文件，2007年。",
"该组织为支持千年发展目标采取的举措",
"鉴于该中心的任务是通过信息、对话和能力建设赋予利益攸关方权力，对国际贸易施加影响，以推动可持续发展的目标，其贸易援助工作为实现千年发展目标中的消除贫穷和饥饿目标做出了贡献，旨在寻求促进粮食安全、农业贸易平等和环境可持续性的农业方案也是如此。与贸发会议合作并在世卫组织支持下的药物和疫苗地方生产能力的技术转让项目支持千年发展目标中的防治艾滋病毒/艾滋病目标。环境可持续性目标现在是且一直是该中心一系列倡议、方案、会议和出版物的核心，包括其气候变化、贸易和可持续能源全球平台及其环境和自然资源方案的所有活动。",
"12. 国际欧亚新闻基金会",
"特别咨商地位，2007年",
"导言",
"国际欧亚新闻基金会始于苏维埃社会主义共和国联盟时代。当时，国家处于混乱状态，并正与亚美尼亚交战，结果是近100万阿塞拜疆人背井离乡，且政府的某些方面——包括信息传播——已经瓦解。在阿塞拜疆人取得独立共和国地位之前，标准的做法是，所有的信息都通过莫斯科克里姆林宫传播，因此，审查较为严格。该基金会于1992年9月在阿塞拜疆政府注册为非营利组织。",
"该组织的目标和宗旨",
"该基金会活动的目的是收集并传播武装冲突区域的客观信息，并在历史、政治和其他背景下研究和分析区域冲突，目的是和平解决这些冲突。和平解决纳戈尔诺-卡拉巴赫问题，是该基金会活动的优先重点。",
"该组织的重大变化",
"该基金会围绕千年发展目标制定了其行动战略。因此，该基金会是阿塞拜疆民间社会组织当中的千年发展目标倡导者。",
"该组织对联合国工作的贡献",
"该基金会的目的是更加积极地促进联合国在阿塞拜疆的任务，并与联合国共享阿塞拜疆的最佳做法。从全国来看，该基金会继续在地方非政府组织和民间社会组织当中宣传联合国。具体而言，该基金会把促进阿塞拜疆民主列为优先事项，且不一定带有政治性，也不隶属于任何政党。人权、两性平等和推动妇女权利、治理、经济和社会发展，是该基金会行动计划的重点。",
"出席联合国会议",
"2007年7月，该基金会参加了经济及社会理事会年度部长级审查。该基金会还参加了创新博览会。",
"与联合国各机构的合作",
"该基金会和阿塞拜疆新闻部办公室从2010年开始合作。重点是在阿塞拜疆各区域举行若干次会议。讨论的主题以千年发展目标为核心。为此目的，2010年4月，该基金会与新闻部一道，对鞑靼的Borsunlu村进行了访问，以开展地雷风险教育并庆祝国际提高地雷意识和协助地雷行动日。难民署和该基金会通过对阿塞拜疆难民和寻求庇护者生活条件及社会标准进行调查，分享了有用的信息；此类调查涉及伊拉克人(2008年)和车臣人(2010年)。",
"该组织为支持千年发展目标采取的举措",
"多年来，该基金会与总部设在欧洲和美国的各组织合作开展了若干项活动。它还参加了几次会议和大会，目的是分享关于千年发展目标的经验和加强阿塞拜疆的发展伙伴关系。",
"补充资料",
"作为国际新闻学会的成员，该基金会每年参加国际新闻学会世界大会和联合国大会；它还就阿塞拜疆发展独立的媒体提出建议和问题。",
"13. 国际社会工作者联合会",
"特别咨商地位，1959年",
"导言",
"国际社会工作者联合会是一个由国家社会工作者组织(工会或协会)组成的全球联合会。它致力于通过发展社会工作、最佳做法和社会工作者及其专业组织之间的国际合作，推动社会正义、人权和社会发展。",
"该组织的目标和宗旨",
"该组织对联合国工作的贡献",
"参加联合国会议",
"与联合国各机构的合作",
"该联合会通过向日内瓦、内罗毕(联合国人居署)、纽约和维也纳派遣代表与联合国合作。此外，该联合会还向世卫组织咨询小组派遣代表，参与了《疾病和有关保健问题国际统计分类》的第十次修订。",
"该组织为支持千年发展目标采取的举措",
"14. 国际和睦团契",
"特别咨商地位，1979年",
"导言",
"国际和睦团契是一项国际性多信仰运动，参加该组织的男女致力于将积极的非暴力作为一种生活方式，并作为一种政治、社会和经济转型的手段。",
"该组织的目标和宗旨",
"该组织致力于通过促进非暴力、对话与和解文化，在世界上建立更加和平、人道和公正的社会。其活动是在与成员网络、联合国代表和国际职员合作并得到其支持下进行的。",
"该组织对联合国工作的贡献",
"该组织通过其在纽约、日内瓦、维也纳的代表定期参加联合国大小会议并在其出版物中报告有关情况支持联合国。",
"参加联合国会议",
"2010年3月1至26日，日内瓦",
"与联合国各机构的合作",
"该组织为支持千年发展目标采取的举措",
"2009年9月9日至10日，巴黎",
"2010年11月，巴黎。",
"15. 国际老龄问题联合会",
"一般咨商地位，1995年",
"导言",
"国际老龄问题联合会是一家由老年人、非政府组织、政府、学术界和行业成员组成的国际非政府组织。该联合会致力于通过生成、收集、分析和传播关于有效的年龄政策和做法的信息，为全球老年人带来积极变化。",
"该组织的目标和宗旨",
"我们的主要目标是促进全球老年人的福祉，方法是通过建立全世界讨论、知识共享和转让的论坛；以及在利益攸关集团之间建立联系。采取的行动包括与制定政策的政府间机构合作；发布并传播与政策有关的信息；组织全球和区域会议；开展社会研究；以及促进在老年人协会当中交流关于联合国指定的优先事项和问题的信息和经验。",
"该组织的重大变化",
"2009年3月，该联合会的总部从加拿大蒙特利尔迁至多伦多。自2006年4月13日起，根据《加拿大所得税法》第149(1)(f)款向其追授了慈善地位。因此，专利特许证和附则略有改动。",
"该组织对联合国工作的贡献",
"召开了两次全球会议，内容涉及联合国指定的问题——《马德里国际老龄问题行动计划》第三优先事项，关于老龄化和设计(2008年9月4日至7日，蒙特利尔)，以及关于气候变化，重点是健康老龄、社会包容和资源变化(2010年5月3日至6日，墨尔本)。举行了两次关于以下主题的政府间闭门会议：“老龄化已成现实”(2008年9月3日，蒙特利尔)和“社会包容”(2010年5月2日，墨尔本)。该联合会与国际助老会亚太分会举行了一次区域会议(2010年5月1日和2日，墨尔本)，以推动老龄化区域议程。还在以下各地召开了民间社会和政府代表的区域会议，以传播信息、交流知识并加深了解：北京(2008年5月)；伊斯坦布尔(2010年12月)；印度海得拉巴(2007年11月)和日本秋田(2009年10月)。联合国官员在每次活动上均做了发言。召开了涉及具体内容的会议，以推动联合国议程，如认识虐待老年人问题世界日(2009年6月16日，多伦多)，重点是中学里的代际活动。",
"参加联合国会议",
"在社会发展委员会第四十五届至第四十八届会议上做口头和书面发言。该联合会与民间社会合作，促成了关于老年人权利主题的联合声明(2009年)。2009年和2010年举行了并行的会外会。国际老龄问题联合会参加了妇女地位委员会第五十二届至第五十四届会议以及人权理事会第十二届和第十三届会议(日内瓦)；参加了所有的国际老年人日活动并主持了2007年的活动。",
"与联合国各机构的合作",
"国际老龄问题联合会秘书长参加了人口基金关于确保一个有利环境的专家组会议并担任小组成员(2007年10月，伊斯坦布尔)；该联合会主席参加了老年人权利专家组会议(2009年5月，波恩)；该联合会的国际关系主任参加了重点医疗设备项目专家组会议(2007年10月，日内瓦)。该联合会为一名老年人争取到国际残疾人日的一个小组讨论名额(2009年)；该联合会秘书长正在与人口基金就2012年世界老年人状况项目进行合作(2010年至现在)。该联合会与经济和社会事务部老龄和残疾联络中心密切合作；并与残疾人权利公约秘书处密切合作。",
"该组织为支持千年发展目标采取的举措",
"代表们在联合国内外的各次会议上发表关于千年发展目标重要性，特别是关于老年人的作用的公开声明。该联合会在社会发展委员会上的发言强调了与联合国合作以实现千年发展目标的重要性。",
"补充资料",
"由于一年两次的高级政府官员会议，成员数量继续增加，各级政府的兴趣特别浓厚。"
] | [
"Committee on Non-Governmental Organizations",
"2012 regular session",
"30 January-8 February, and 17 February 2012",
"Quadrennial reports for the period 2007-2010 submitted by non-governmental organizations in consultative status with the Economic and Social Council through the Secretary‑General pursuant to Council resolution 1996/31",
"Note by the Secretary-General",
"Contents",
"Page1.FederaciónInternacionalde 2 AsociacionesdeAyudaSocialEcológicay \nCultural \n2.HaririFoundation 3\n3.HumanAppealInternational 54.HumanRights 7 Congress \nforBangladeshMinorities 5.HumanRights 8 Information andDocumentation \nSystemsInternational \n6.InteractWorldwide 107.International 11 AssociationofJewish Lawyers and \nJurists 8.International 13 Associationof SchoolsofSocial \n Work 9.International 14 Bar \nAssociation 10.International 16 CatholicUnionof \nthePress 11.InternationalCentre 18 forTrade and Sustainable \nDevelopment 12.International 19 EurasiaPress \n Fund 13.InternationalFederationofSocial 21 \nWorkers \n14.InternationalFellowshipofReconciliation 23\n15.InternationalFederationonAgeing 25",
"1. Federación Internacional de Asociaciones de Ayuda Social Ecológica y Cultural",
"Special, 2007",
"Introduction",
"The International Federation of Associations for Social, Ecological and Cultural Help is a non-governmental organization (NGO), incorporated as an international federation of 30 associations from 14 countries in Latin America, Europe and North America.",
"Aims and purposes of the organization",
"The organization promotes and spreads among its associated members (which are the federated associations), and among the whole community in general, the development of: human values of solidarity, truth, spirituality, tolerance and unity; social aid to the destitute; ecology and care for the environment; and culture in general.",
"Contribution of the organization to the work of the United Nations",
"Participated in and expanded the draft exchange of money for work; co-financed by the World Food Programme (WFP), the United Nations Development Programme (UNDP) and the National Plan of the Presidency of the Dominican Republic; invited United Nations representative to give lectures in the Dominican Republic in 2008 on dengue prevention, drinking water and HIV and sexually transmitted illness prevention; in relation to the United Nations Framework Convention on Climate Change, gave strong support to the Copenhagen Summit, to mark the completion of the Fifteenth World Conference organized by the United Nations to discuss climate change in December 2009 (see www.copmoving.org); organized the Sixth Congress on the theme “The Culture for Peace”, 7 to 14 July 2010 in the Dominican Republic, with the participation of 620 representatives from 14 countries, which actively promoted education in values for peace to support United Nations goals.",
"Participation in meetings of the United Nations",
"Representatives attended the meetings on the topics “Making combination vaccines more accessible”, New York, 29 October 2010, and “Can citizen action save the world?”, 21 October 2010, United Nations Headquarters. Representatives also attended the meetings through the following webcasts: “Ranking is not enough: measuring university”, 20 October 2010; “The role of entrepreneurship in the attainment and sustainability of the Millennium Development Goals”, 15 November 2010; “Reforming the international monetary and financial architecture”, 9 December 2010.",
"Cooperation with United Nations bodies",
"Participation in the Universal Forum of Cultures, Monterrey, Mexico, 2007.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"(a) Carried out specialized programmes known as centres for social development and assistance, three of them in the Dominican Republic, 2004-2010; construction and support of eight soup kitchens, maintained through sponsorships and donations, that annually benefit 2,000 children, 1993-2010; medical, dental, vaccination, food and clothing for people living in extreme poverty, 1993-2010.",
"(b) Education and awareness campaigns to prevent drug, alcohol and tobacco abuse and violence, 1977-2010, provided 2,000 children each year with school supplies and special help for learning problems and provided them with official birth certification; conduct literacy campaigns in the United States, the Dominican Republic and the Plurinational State of Bolivia, 1992-2010; psychological and legal support for woman and girls exposed to violence and force; education in gender equality for parents, 1992-2010; inquiry into the prevention of violence and gender inequality, February-July 2009.",
"(c) Fighting hunger and malnutrition among children; educating parents on precautionary measures to prevent and detect illness, 1992-2010.",
"(d) Special aid in disasters, such as aid for earthquake victims in Haiti, 2010, and Helping the victims of Tropical Storm Noel in the neighbourhood of Santa Rosa, Bani, Dominican Republic, November 2007; prevention campaigns: hydrocephalus (1995-2010) and diabetes, 2005-2010: insulin and hydrocephalus valve donation in the Plurinational State of Bolivia, the Dominican Republic and Peru.",
"(e) Gynaecological campaigns among women to prevent illness and promote prenatal monitoring during pregnancy in the Plurinational State of Bolivia, 1995-2010 and the Dominican Republic, 2004-2010; education in healthy nutrition in 14 countries, 1995-2010; sexual education for adolescents and adults in 14 countries, 1980-2010; mosquito control campaigns to prevent dengue fever and malaria in the Plurinational State of Bolivia and the Dominican Republic, 2006-2010.",
"2. Hariri Foundation",
"Special, 2003",
"Introduction",
"The Hariri Foundation for Sustainable Human Development is a Lebanese NGO that was established in 1979 by Premier Rafik Hariri. To date, the Foundation has implemented over 200 projects that are in line with the Millennium Development Goals, in partnership with more than 90 local, regional and international partners.",
"Aims and purposes of the organization",
"The Foundation is dedicated to mobilizing resources (human and capital) and aggregating efforts through an all-inclusive partnership and collaboration model that aims at achieving a sustainable state of human development.",
"Significant changes in the organization",
"In line with the review of the progress achieved on the Millennium Development Goals, and in the light of the recommendations of the Millennium Development Goals Summit, the Foundation has started a number of initiatives that account for the following: the role of civil society in monitoring the implementation of the Goals; the role of local policies and national strategies in the development process; the implications of the quadruple crisis on the ability of Development Assistance Committee member countries to meet their development assistance obligations and create alternative schemes for financing development projects.",
"Contribution of the organization to the work of the United Nations",
"The Foundation contributes to the work of the United Nations and its bodies in various forms and initiatives.",
"Participation in meetings of the United Nations",
"UNDP Advisory Board meetings, Cairo, 8 September 2007; United Nations Educational, Scientific and Cultural Organization (UNESCO) Goodwill Ambassadors’ Annual Meetings, 3 April 2007, 20 May 2008 and 24 June 2010 at UNESCO headquarters, Paris; UNESCO Regional Conference on Quality Education for All, 25 August 2008, Paris; Forum of Arab Parliamentarians for Education, 21 and 22 July 2008, Beirut, organized by UNESCO, in cooperation with the Islamic Educational, Scientific and Cultural Organization, the Arab Bureau of Education for the Gulf States and the Arab League Educational, Cultural and Scientific Organization.",
"Cooperation with United Nations bodies",
"The Foundation has a number of initiatives ongoing with leading United Nations bodies such as the Economic and Social Commission for Western Asia, the World Bank and UNDP. A project in collaboration with the World Bank aimed at developing a guidebook for the historic core of Saida, 2008; a project in collaboration with the United Nations Development Fund for Women entitled “Achieving e-quality in the Lebanese ICT market”, 2004-2009; a project in collaboration with the World Bank and the Council for Reconstruction and Development, aimed at developing the olive oil sector in southern Lebanon, 2006‑2008.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Launch of a media campaign, entitled “Khede Kasra” aimed at raising awareness on gender inequality around the country and across social classes.",
"Under “Youth mobilization and development in Beirut and its suburbs”, the Foundation worked with different partners on the rehabilitation of the physical infrastructure in two urban slums in Beirut, in conjunction with finding a solution for a number of environmental problems such as wastes coming out of the illegal butcheries and clogged sewers.",
"Additional information",
"The Foundation submitted a request for change of name to the Committee of NGOs at its 2011 regular session. The new name of the organization is Hariri Foundation for Sustainable Human Development. Since the present report is being presented for the period 2007-2010, the name of the organization is being maintained as Hariri Foundation.",
"3. Human Appeal International",
"Special, 1991",
"Contribution of the organization to the work of the United Nations",
"The organization launched several projects in the following areas:",
"• The advancement of women: empowerment of widows through microfinance projects and by setting up educational and vocational training centres",
"• Macroeconomics and finance: the organization established a special fund to provide microfinance services in Africa and Asia, and to date more than 2,000 families have benefited",
"• Social development: the organization allocated a special budget for habitation projects, building nutrition centres and education and vocational training centres to enhance the enjoyment by children, especially orphans, of their right to education.",
"Participation in the meetings of the United Nations",
"Representatives attended:",
"• The thirtieth session of the Governing Council of the International Fund for Agricultural Development (IFAD) (14 February 2007, Rome)",
"• The thirty-first and thirty-second sessions of the Governing Council of IFAD (13 and 14 February 2008 and 18 and 19 February 2009, respectively, Rome)",
"• The Office of the United Nations High Commissioner for Refugees (UNHCR) annual consultation with non-governmental organizations (25-27 June 2008, Geneva)",
"• The UNHCR annual consultation with non-governmental organizations (29 June-1 July 2009, Geneva)",
"• Hosted the Directors of the Office of Coordination for Humanitarian Affairs and the United Nations Children’s Fund (UNICEF) in the United Arab Emirates, participating in the workshop on partnership with United Nations agencies during the annual meeting of the organization’s field offices in the United Arab Emirates (27 February 2008).",
"Cooperation with United Nations bodies",
"• A project in collaboration with the World Food Programme (WFP) to provide nutrition to infants and pregnant women in the Niger, 2010; the project on blanket feeding for infants was implemented in collaboration with UNICEF and WFP in the Niger, 2010.",
"• The cash transfer project for infants aged 6-23 months was implemented in collaboration with WFP in the Niger (2010).",
"• Implemented an irrigation and agricultural project in Darfur, Sudan (2010), in collaboration with the Food and Agriculture Organization of the United Nations (FAO).",
"• Providing seeds for the Darfur agricultural project was implemented in collaboration with FAO, Darfur, Sudan (2008 and 2010).",
"• Agreement with WFP and UNHCR to provide nutrition to the refugees camps in Eastern Sudan (2010).",
"• Joint Project with FAO in support of implementing vaccination and treatment of 15,000 animals in Southern Darfur, Sudan (2008).",
"• Tripartite subproject agreements between Human Appeal International and UNHCR for Human Appeal International assistance in administering the refugees camps in Eastern Sudan (2007-2010).",
"• Water well drilling project, in cooperation with UNICEF in the Sudan (2008).",
"• Project in collaboration with WFP to provide nutrition to infants in the Niger (2007-2009).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• Provided cash assistance and household items to thousands of families and orphans.",
"• Housing project and distributed clothes to thousands of refugees in India, Indonesia, Iraq, Jordan, Lebanon, the Niger, the Occupied Palestinian Territory, Senegal, Somalia, Sri Lanka, the Sudan and Yemen.",
"• Assisted 1,264 people in setting up microfinance projects; supported 28,662 farmers to cultivate their farms and offered financial support to 30 unemployed people.",
"• Distributed foodstuffs and clean water sources to thousands of families and orphans.",
"• Built and equipped schools in Bosnia and Herzegovina, India, Iraq, Jordan, Kosovo, Kyrgyzstan, the Niger, the Occupied Palestinian Territory, Senegal, Somalia and the Sudan.",
"• Assisted 557 widows in Bosnia and Herzegovina, Iraq, Jordan, Kosovo, Kyrgyzstan, Lebanon, Senegal and the Sudan, by building training centres and setting up income-generating projects.",
"• Provided vaccinations against measles and established six nutrition centres in the Niger.",
"• Provided medical care during pregnancy and delivery to 83,587 women in Eastern Sudan.",
"• Conducted an HIV-awareness programme and vaccination against malaria campaigns, and donated equipment to disabled people in Bosnia and Herzegovina, India, Indonesia, Iraq, Jordan, Kosovo, Kyrgyzstan, Lebanon, the Niger, the Occupied Palestinian Territory, Senegal, Somalia, the Sudan and Yemen.",
"4. Human Rights Congress for Bangladesh Minorities",
"Special, 2007",
"Introduction",
"The Human Rights Congress for Bangladesh Minorities is a human rights advocacy and humanitarian services organization serving the marginalized people of Bangladesh.",
"Aims and purposes of the organization",
"The Congress aims to work with Governments, the United Nations and other agencies to end xenophobia, and the socio-political and cultural deprivation of minorities and other marginalized people in Bangladesh; provide assistance to improve their living conditions and safeguard the full enjoyment of their rights as enshrined in the Universal Declaration of Human Rights.",
"Significant changes in the organization",
"As from 2009, the Congress has been sponsoring students from marginalized populations to receive higher education and also encouraging academic research related to the socio-political and cultural deprivation issues of minorities and other marginalized people of Bangladesh.",
"Since its inception, the Congress has participated in many United Nations activities and supported its partner organizations, for example, the Bangladesh Hindu Buddha Christian Unity Council, in presenting statements at the United Nations. The organization has also provided representatives at United Nations bodies, for example, the special mandate holder of the Office of the United Nations High Commissioner of Human Rights (OHCHR). For the purpose of serving OHCHR, the Congress has nominated Monorama Biswas to work as special mandate holder for the people of African descent at the Human Rights Council.",
"Contribution of the organization to the work of the United Nations",
"Participation in meetings of the United Nations",
"In addition to the activities stated above, the Congress actively participated in the sessions of the Commission on the Status of Women and conducted a parallel session at the fifty-third session of the Commission. During the parallel session, the organization held panel discussions on violence against minority women and girls, in which panellists emphasized the need for international legislation to help to uphold justice at the national level.",
"Cooperation with United Nations bodies",
"In addition, the organization has participated in many activities of the United Nations through its membership in other global NGOs:",
"(a) A signatory of the International Red Cross Code of Conduct for humanitarian services, including but not limited to disaster relief (Oneworld, 2009);",
"(b) A partner of Children’s Rights Information Network to end violence against children and to enact legal remedies (2011);",
"(c) A member of the NGO coalition for the International Criminal Court to raise awareness about the Court and secure ratification from the Bangladesh State Party;",
"(d) Membership in International Peace Bureau for Peace and Justice (2006).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The core activities and services of the Congress are aligned with the Millennium Development Goals of the United Nations. Many activities of the organization, including but not limited to advocacy and rehabilitation services for women and girls and humanitarian services for the poor and marginalized, directly meet the objectives of the Millennium Development Goals.",
"5. Human Rights Information and Documentation Systems International",
"Special, 2003",
"Introduction",
"Human Rights Information and Documentation Systems International is an international NGO helping human rights organizations to use information technologies and documentation methods to maximize the impact of their advocacy work. It develops tools and techniques, and provides advocates with customized training and support. It is also an informal, open and decentralized network of human rights organizations that wish to bring together their experiences and creativity to develop common standards and tools for information management.",
"Aims and purposes of the organization",
"Our vision: a world where the power of information and communication is harnessed in the service of human rights. Our mission: to strengthen the capacity of human rights organizations to manage and communicate information, enhancing their effectiveness and credibility. Goal: to ensure that human rights organizations have the tools, knowledge, skills and supporting services to use their information resources effectively.",
"Our activities: (a) developing tools and techniques for monitoring, information management and communication; (b) providing these to human rights organizations and national human rights institutions; (c) building the capacity of the human rights community to master and adapt these tools and techniques to their specific needs through training and other activities; (d) supporting human rights organizations to set up and strengthen their information systems; (e) improving human rights advocacy and reporting techniques; (f) expanding human rights outreach and network capacity; and (g) providing a centre of excellence on methods and techniques for human rights.",
"Significant changes in the organization",
"The aims and purposes of the organization have been modified throughout the years, on the basis of our understanding of the potential and needs of human rights organizations with regard to information management and documentation, technological developments and our evaluation of our own achievements.",
"Contribution of the organization to the work of the United Nations",
"In February 2009, the organization held a conference entitled “Human Rights Council and International Criminal Court: the new challenges for human rights communications”. The purpose of the conference was to reflect upon how information about human rights can be communicated more effectively by NGOs to those institutions.",
"Participation in meetings of the United Nations",
"The organization regularly participates in United Nations meetings in Geneva, in particular those related to human rights (Human Rights Council, universal periodic review). In March 2009, it organized a side event during the Human Rights Council, on the theme “Challenges for managing information on human rights”.",
"Cooperation with United Nations bodies",
"The organization holds regular consultations with staff members of OHCHR in Geneva as well as with staff of various field offices of OHCHR, providing advice and support with regard to information management and documentation issues. In February 2007, in partnership with OHCHR and the Nepali Human Rights Commission, it delivered two simultaneous trainings: a five-day training on monitoring and fact-finding for 10 Nepali Human Rights Commission protection officers, and a five-day training on documenting violations, with participants from 10 Nepali human rights NGOs, supported by OHCHR and UNDP. In February 2008, at the request of the Office of the High Commissioner for Human Rights in Mexico, in the context of a project on the human rights of women, the organization provided a workshop on documentation of violations to NGOs.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The organization supports the Millennium Development Goals and has taken various initiatives in the field of human rights, concerning capacity-building and tools development.",
"6. Interact Worldwide",
"Special, 2003",
"Introduction",
"Interact Worldwide (Interact) has worked on sexual and reproductive health and rights through local civil society partners in Africa, Asia and Latin America.",
"Aims and purposes of the organization",
"Interact is an international development NGO based in the United Kingdom, with over 30 years of experience supporting sexual and reproductive health and rights information and services in some of the world’s poorest communities. Interact specializes in working with local partners through a rights-based approach that allows poor and marginalized people to demand as a “right” the basic conditions that allow them to live in dignity and realize their sexual and reproductive health and rights. Our work focuses specifically on the most marginalized communities and individuals, those who most commonly experience stigma, discrimination, abuse and denial of rights. Our vision is a world where all people are equally able to enjoy sexual and reproductive health and well-being and exercise their sexual and reproductive rights. Our mission is to improve the sexual and reproductive health of, and attainment of sexual and reproductive rights by, marginalized groups.",
"Significant changes in the organization",
"Interact merged with Plan UK on 1 October 2009 but remains an autonomous organization with its own Board of Trustees as part of the Plan UK family. The merger allows Interact to expand its sexual and reproductive health and rights programme to more countries and develop new business models to ensure that even more young people and adults can lead healthier lives. It also ensures greater financial stability and structural support for the organization.",
"Contribution of the organization to the work of the United Nations",
"Its programmes have contributed to the advancement of the sexual and reproductive health and rights of vulnerable groups in Africa, Asia and Latin America. This is achieved by developing the capacity of our civil society partners to deliver rights-based sexual and reproductive health and rights programmes that increase demand and facilitate access to sexual and reproductive health and rights and services. Our policy and advocacy work — with partners in-country, in the United Kingdom, Europe and globally — is structured around supporting and promoting the achievement of the health-related Millennium Development Goals. We work specifically on advocacy through the Countdown 2015 European advocacy network, and health through Action for Global Health, also a cross-European advocacy network. Interact supports the United Nations Population Fund (UNFPA) to keep sexual and reproductive health and rights high on the agenda of the United Kingdom Government.",
"Participation in meetings of the United Nations",
"March 2009: Interact made a written submission to the forty-second session of the Commission on Population and Development.",
"Summer/autumn 2009: a representative took part in United Kingdom civil society and Government discussions on the formation of UN-Women.",
"June-September 2010: representatives contributed to discussions and inputs on the outcome document of the High-level Plenary Meeting of the General Assembly summit on the Millennium Development Goals, New York, September 2010; representatives also commented and contributed through civil society channels to the Secretary-General’s Global Strategy for Women’s and Children’s Health.",
"September 2010: attended the High-level Plenary Meeting of the General Assembly in New York, and organized a presentation at the United Nations Foundation bloggers’ lounge.",
"September 2010-present: a representative has contributed to the implementation of the Secretary-General’s Global Strategy for Women’s and Children’s Health, including through convening the United Kingdom civil society discussions with the United Kingdom Government and comments made to the online forum of “Every Woman, Every Child”.",
"Cooperation with United Nations bodies",
"In May 2007, UNFPA awarded Interact a grant of $40,000 towards our advocacy programme, “Strengthening linkages: new directions in sexual and reproductive health and rights and HIV and AIDS advocacy”. Interact was awarded a further grant from UNFPA in early 2011 in order to support our policy and advocacy work towards the United Kingdom Government.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Interact plays a key role in two cross-European advocacy networks: Action for Global Health and Countdown 2015 Europe. As part of these networks, Interact has worked with the United Kingdom Government, donors and civil society to raise awareness of the importance of reaching the Millennium Development Goals as well as the importance of addressing the unmet need for family planning.",
"7. International Association of Jewish Lawyers and Jurists",
"Special, 1995",
"Aims and purposes of the organization",
"The International Association of Jewish Lawyers and Jurists was founded in 1969 and strives to advance human rights globally, and is committed to the agenda of the Jewish people. It works to combat racism, xenophobia, anti-semitism, Holocaust denial and worldwide attacks on the State of Israel. It is represented at the principal United Nations human rights organs. The Association was created in 1969 as a membership association of Jewish lawyers and jurists. Its principal purpose is to promote respect for human rights and equality.",
"Contribution of the organization to the work of the United Nations",
"The organization has contributed to upholding the human rights of individuals through avenues such as:",
"• The presentation of a counter-statement after the Human Rights Council presented the report of the Special Rapporteur on the situation of human rights in the Palestinian territories occupied since 1967 (A/HRC/4/17) (March 2007)",
"• Issued a statement that was submitted to the sixth special session of the United Nations Human Rights Council (January 2008)",
"• Submitted a statement on the appointment of a Commission of Inquiry by the Human Rights Council with regard to the events of the conflict in the Gaza Strip (April 2009).",
"Participation in meetings of the United Nations",
"The Association participated in numerous United Nations-related events, including:",
"• Meetings with the Deputy Director of the Outreach Division, Department of Public Information (September 2009)",
"• Subcommittee for the Elimination of Racism of the International NGO Committee on Human Rights (December 2009)",
"• Meetings with the Under-Secretary-General for Communications and Public Information (January 2010)",
"• Holocaust Remembrance Day events (27 January 2010)",
"• Drafted a letter to the Secretary-General on 19 September 2010 concerning a statement given in the General Assembly.",
"Cooperation with United Nations bodies",
"• Addressed the International Committee of the Red Cross regarding Gilad Shalit, the captive Israeli soldier in the hands of Hamas for over five years, and approached the Red Cross chapters in 10 different countries on his behalf (June 2010).",
"• Sent a letter and a report to Christian Tomuschat, Chair of the Committee appointed by the United Nations to investigate Operation “Cast Lead” (August 2010).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"The Association collaborated with other Jewish associations to host the following events:",
"• A conference in Washington, D.C., entitled: “Protecting human rights and democratic values in an age of terrorism” (March 2007)",
"• A conference in Buenos Aires on the theme “Responsible leadership, global challenges and local solutions” (May 2007)",
"• A civil law suit was filed on behalf of six individuals who lost their loved ones in the car bombing in Buenos Aires in 1994 (October 2007)",
"• A legal opinion on the declaration of acceptance of the jurisdiction of the International Criminal Court made by the Minister of Justice of the Palestinian Authority was sent to the Prosecutor of the Court (September 2009)",
"• Seminar entitled “Democracy fights terror” at the Hebrew University for a delegation of eight distinguished justices, prosecutors and Government officials from Madrid (November 2009).",
"8. International Association of Schools of Social Work",
"Special, 1947",
"Introduction",
"The International Association of Schools of Social Work is a worldwide association of schools of social work, other tertiary-level social work educational programmes, and social work educators.",
"Aims and purposes of the organization",
"Members of the Association are united in their obligation to the continued pursuit of social justice and social development. In carrying out its mission, the Association fosters cooperation, collegiality and interdependence among its members and with others.",
"Significant changes in the organization",
"The Association has developed a larger membership in China.",
"Contribution of the organization to the work of the United Nations",
"We have continued to organize and participate on panels on a monthly basis.",
"Participation in meetings of the United Nations",
"As co-chair of the NGO Committee on Migration, the Association organized: a parallel event with the Commission for Social Development; an update of the 2010 Civil Society Days of the Global Forum on Migration and Development; a lecture on migrants in Eastern Europe and a presentation by the Task Force on Human Trafficking; a statement on the empowerment of migrant women; a programme in conjunction with the Department of Public Information briefing on the impact of migration on families around the world, in observance of the International Day of Families; as well as a programme to mark International Refugee Day.",
"The representative also participated in seminars and conferences organized by the International Organization for Migration (IOM) and the United Nations Institute for Training and Research. In April, she gave a presentation on international adoptions of children, as part of a newly established project of IOM and UNICEF to study cross-cutting issues relating to children and migration around the world. In May, she contributed to the planning for the Department of Public Information briefing.",
"Cooperation with United Nations bodies",
"The twenty-seventh annual Social Work Day at the United Nations was held on 29 March. The overall theme, “Social work and social welfare: a commitment to partnership with the United Nations”, was planned to be consistent with the Tripartite Joint Meeting to be held in Hong Kong, China, in June. Accordingly, the three subthemes were “Life course challenges”, “equity and social inclusion”, and “sustainable environment”. On the basis of our previous consultations and the discussions during the Hong Kong conference, we propose the following areas as a framework for the first draft of the Global Agenda, to be developed and articulated following further consultation: social and economic inequalities within countries and between regions; and the recent and continuing economic crises and the modalities chosen by world leaders to deal with them (e.g., using resources to support the financial systems while cutting resources for social support and social development).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Our organization would have been able to contribute more to the implementation of United Nations programmes if not for the following problems: information about international meetings and conferences is scarce and arrives too late, while scarce funds and few representative staff (all volunteers) make attendance at international meetings very difficult.",
"9. International Bar Association",
"Special, 1947",
"Contribution of the organization to the work of the United Nations",
"2006 Plurinational State of Bolivia — access to justice",
"Gambia — status of rule of law and independence of judiciary",
"2007 Colombia — capacity of institutions responsible for delivering remedy for victims of grave human rights violations",
"Bolivarian Republic of Venezuela — independence of judiciary and legal profession",
"Pakistan — response to an attempt to remove the Chief Justice",
"Malawi — strengthened the Malawi Law Society",
"Uganda — a judicial independence",
"Islamic Republic of Iran — independence of legal profession and access to justice",
"Zimbabwe — investigation on the role of police in the administration of justice",
"Poland — independence of judiciary and legal profession",
"2008 South Africa — judicial independence",
"Fiji — assessment of rule of law",
"Cameroon — investigation on torture and conditions of detention",
"Sri Lanka — independence of the judiciary and the legal profession",
"Democratic Republic of the Congo — needs of justice system",
"Pakistan — judicial independence",
"Kenya — needs assessment of justice system",
"Brazil — technical assistance on pretrial detention",
"Afghanistan — establishing and maintaining an independent bar association",
"2009 Zambia — continuing legal education",
"Libyan Arab Jamahiriya — human rights, prohibition and monitoring of torture and of detainees",
"Czech Republic — on international human rights for Iraqis",
"2010 Democratic Republic of the Congo — assisted the Lubumbashi Bar on continuing legal education",
"Liberia — review of Liberian National Bar Association",
"Brazil — rule of law and criminal justice",
"Colombia — independence of the legal profession and due process guarantees",
"Participation in meetings of the United Nations",
"• Human Rights Council, fifteenth session — meeting with the Independent Expert on the situation of human rights in the Sudan",
"• Human Rights Council, sixteenth session — Human Rights Institute brought Darfur lawyers",
"• Human Rights Institute attended the tenth universal periodic review session",
"• Human Rights Council, eleventh session — Human Rights Institute participated in NGO side events",
"• International Bar Association Arbitration Committee: fifty-fourth session of the United Nations Commission on International Trade Law (UNCITRAL) Working Group II (Arbitration and Conciliation) New York, February 2011; fifty-third session of the UNCITRAL Working Group II (Arbitration and Conciliation) Vienna, October 2010, and forty-third session of UNCITRAL, New York, June-July 2010",
"• International Bar Association International Constructions Projects Committee: eighteenth session of the UNCITRAL Working Group I (Procurement), New York, April 2010",
"• International Bar Association Section on Insolvency, Restructuring and Creditors Rights: attended thirty-eighth session of the UNCITRAL Working Group V (Insolvency Law), New York, April 2010; thirty-ninth session of the UNCITRAL Working Group V (Insolvency Law), Vienna, December 2010, and forty-third session of UNCITRAL, New York, June 2010",
"• International Bar Association Technology Law Committee: UNCTAD meeting of the Commission on Science and Technology for Development, Geneva, May 2009; UNCTAD Multi-Year Expert Meeting on Enterprise Development Policies and Capacity-Building in Science, Technology and Innovation, Geneva, January 2010",
"• International Bar Association Trade and Customs Law: UNCTAD Multi-Year Expert Meeting on Services, Development and Trade: the Regulatory and Institutional Dimension, March 2010",
"• International Bar Association African Regional Forum: UNCTAD Investment Policy Review of Nigeria, Geneva, May 2009",
"• International Bar Association European Regional Forum: UNCTAD Investment Policy Review of Belarus, Geneva, 2010",
"Cooperation with United Nations bodies",
"• Anti-Corruption Strategy for Legal Profession: programme by the International Bar Association with the United Nations Office on Drugs and Crime and the Organization for Economic Cooperation and Development",
"• Business and Society Exploring Solutions: initiative under mandate of United Nations Special Representative on Business and Human Rights",
"• Lawyers as Leaders: video project with the United Nations Global Compact",
"• Collaboration with the United Nations Office on Drugs and Crime: organization of the first General Assembly of the Afghan Bar (2008)",
"• Afghanistan: participation in working groups on rule of law and access to justice — collaboration with the United Nations Assistance Mission in Afghanistan",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Promotion of the rule of law",
"10. International Catholic Union of the Press",
"Special, 1951",
"Introduction",
"The past four years have been one of the most interesting periods in the history of the world union. A great number of ongoing formation events could be organized in line with the goals of the United Nations and in cooperation with United Nations bodies. Some 1,000 journalists in different parts of the world attended these events annually. There is a growing demand for these types of programmes. As can be seen from the themes of the programmes, they are all in line with the Millennium Development Goals of the United Nations.",
"Aims and purposes of the organization",
"The aims and purposes of the Union are to:",
"• Favour ethical reflection and research",
"• Support and coordinate the activities of members, emphasizing fellowship and mutual exchange",
"• Represent high-level and high-standard journalism and media production among international institutions and organizations",
"• Organize congresses to stimulate collegiality, dialogue, study and reflection among members on timely themes, to witness to human values in journalism and in all the media and to foster the exchange of professional information and experience",
"• Encourage the presence and support the action of professionals in the sectors of information and communication in all its forms",
"• Promote the development of journalism and media production in all countries in a spirit of solidarity",
"• Take all possible initiatives for the human and Christian formation of media professionals, especially in the field of ethics",
"• Promote and defend the right to information and freedom of opinion, especially by supporting threatened journalists in the exercise of their profession.",
"Significant changes in the organization",
"• It is important that people at the grass-roots level have the power, otherwise the well-being of all can never be guaranteed.",
"• Those that are responsible for evils such as extreme poverty and malnutrition; injustices in trade, currency and services; and corruption and domination are the powerful.",
"Contribution of the organization to the work of the United Nations",
"• Organizes annually three or four programmes in line with the principles of the United Nations",
"• Makes peoples and nations aware of the real causes of events and policies with the help of journalists and other media experts",
"• Encourages, defends and sustains freedoms of the press, information, expression and life.",
"Participation in meetings of the United Nations",
"Several of our journalists attend the meetings worldwide and report on United Nations policies and events.",
"Cooperation with United Nations bodies",
"We regularly organize events for journalists, in cooperation with United Nations bodies.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"As can be seen from the themes of the programme, they are all in line with the Millennium Development Goals.",
"Additional information",
"We are quite concerned that the United Nations is losing its political role in the last decade and is becoming more and more a humanitarian agency. Therefore, we are trying our best with our prestigious position as a world union of journalists and media experts to bring together Government leaders, religious leaders and civil society leaders in our seminars, meetings and events so that they can better exercise their roles in promoting the well-being of the whole of humanity.",
"11. International Centre for Trade and Sustainable Development",
"Special, 2003",
"Contribution of the organization to the work of the United Nations",
"• Joint project on patents and clean energy with the United Nations Environment Programme (UNEP) and the European Patent Office",
"• Joint UNCTAD-International Centre for Trade and Sustainable Development project on intellectual property rights and sustainable development",
"• Project on technology transfer for local manufacturing capacity of drugs and vaccines, in collaboration with UNCTAD and the support of the World Health Organization (WHO)",
"• Project on food security and livelihoods in collaboration with FAO",
"• Initiative on least developed countries and work in preparation for the Fourth United Nations Conference on Least Developed Countries",
"• Project on genetic resources and access and benefit-sharing.",
"Participation in meetings of the United Nations",
"The Centre has gained accreditation to the United Nations Convention to Combat Desertification (2007) and observer status with the Intergovernmental Panel on Climate Change (2010). It has held side events to a number of these meetings.",
"Cooperation with United Nations bodies",
"• Meeting on trade, globalization and environment, organized in collaboration with UNEP, alongside the twenty-fourth session of the Governing Council of the Global Environment Ministerial Forum, 5-9 February 2007, Nairobi",
"• Fishing for sustainability: maintaining momentum for fisheries subsidies reform, co-organized with UNEP, the World Wildlife Fund and Ocean, alongside the International Union for the Conservation of Nature Fourth World Conservation Congress, 6 October 2008, in Barcelona, Spain",
"• Geneva Trade and Development Symposium 2009, organized by the International Centre for Trade and Sustainable Development and partners, including UNEP and FAO, alongside the World Trade Organization Ministerial Meeting, 30 November-2 December 2009, in Geneva",
"• Geneva Dialogue on Intellectual Property Offices and the Implementation of the World Intellectual Property Organization Development, 18 September 2009, Geneva",
"• Consultation with the private sector on climate change and intellectual property rights, co-organized with UNEP and the European Patent Office, 8 May 2009, Geneva",
"• Geneva Trade and Biodiversity Day, co-organized with UNEP and Rio+20, 22 April 2010, Geneva",
"Joint publications with United Nations bodies include:",
"• Indicators for the Selection of Agricultural Special Products: Some Empirical Evidence, Joint International Centre for Trade and Sustainable Development/FAO Information Note, 2007",
"• Promoting Sustainable Land Management through Trade: Examining the Linkages between Trade, Livelihoods and Sustainable Land Management in Degraded Areas, Joint Background Paper of the International Centre for Trade and Sustainable Development and the Global Mechanism of the United Nations Convention to Combat Desertification, 2007",
"• Guidelines for the Examination of Pharmaceutical Patents: Developing a Public Health Perspective, by Carlos Correa, a joint UNCTAD-International Centre for Trade and Sustainable Development working paper, 2007.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Given the Centre’s mission of empowering stakeholders in trade policy through information, dialogue and capacity-building, to influence the international trade system so that it advances the goal of sustainable development, its work on Aid for Trade contributes to meeting the Millennium Development Goal of ending poverty and hunger, as does the agriculture programme which seeks to promote food security, equity and environmental sustainability in agricultural trade. The project on technology transfer for local manufacturing capacity of drugs and vaccines, in collaboration with UNCTAD and with the support of WHO, is in support of the Millennium Development Goal of combating HIV/AIDS. The goal of environmental sustainability is and has been at the heart of a number of the Centre’s initiatives, programmes, meetings and publications, including all of the activities of its Global Platform on Climate Change, Trade and Sustainable Energy, and its Programme on Environment and Natural Resources.",
"12. International Eurasia Press Fund",
"Special, 2007",
"Introduction",
"The International Eurasia Press Fund started during the era of the Union of Soviet Socialist Republics. At that time, the country was in disarray and was at war with Armenia, with the consequence that close to a million Azerbaijanis were displaced from their homelands, and also some aspects of government collapsed — including the dissemination of information. Prior to Azerbaijan attaining the status of an independent republic, the standard practice was that all information passed through the Kremlin in Moscow, and thus there was high level of censorship. The Fund was registered with the Azerbaijani Government as a not-for-profit organization in September 1992.",
"Aims and purposes of the organization",
"The aim of the Fund’s activity is to collect objective information about regions of armed conflict and to distribute it as well as to study and analyse the regional conflicts in the historical, political and other contexts with the purpose of achieving their peaceful resolution. The peaceful solution of the Nagorno-Karabakh problem is a priority focus of the Fund’s activities.",
"Significant changes in the organization",
"The Fund has strategized its actions around the Millennium Development Goals. As a consequence, the Fund is a champion of the Goals in Azerbaijan among civil society organizations.",
"Contribution of the organization to the work of the United Nations",
"The Fund’s intention was to become more active in promoting United Nations mandates in Azerbaijan and also in sharing best practices from Azerbaijan with the United Nations. Nationally, the Fund has continued to promote the United Nations with local NGOs and civil society organizations. In particular, the Fund has made a priority the promotion of democracy in Azerbaijan, without necessarily being political or affiliating with any political party. Human rights, gender equality and the advancement of women’s rights, governance, economic and social development are the focus of the action plan of the Fund.",
"Participation in meetings of the United Nations",
"In July 2007, the Fund took part in the Economic and Social Council annual ministerial review. The Fund also participated in the Innovation Fair.",
"Cooperation with United Nations bodies",
"The Fund and the Department of Public Information office in Azerbaijan began to work together in 2010. The focal point was to conduct several meetings in the regions of Azerbaijan. The topic of discussion would centre on the Millennium Development Goals. To this effect, in April 2010, the Fund, together with the Department of Public Information, took a trip to Borsunlu village, Tartar, in order to conduct mine risk education and to mark the International Day for Mine Awareness and Assistance in Mine Action. UNHCR and the Fund have shared useful information through surveys of the living conditions and social standards of refugees and asylum-seekers in Azerbaijan; such surveys were on Iraqis (2008) and on Chechens (2010).",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Over the years, the Fund has undertaken several activities in partnership with various organizations based in Europe and the United States. It has also participated in several conferences and congresses for the purpose of sharing experiences on the Millennium Development Goals and of strengthening partnerships for development in Azerbaijan.",
"Additional information",
"As a member of the International Press Institute, the Fund participates annually in the International Press Institute World Congress and the General Assembly; it also makes proposals and raises issues related to the development of independent media in Azerbaijan.",
"13. International Federation of Social Workers",
"Special, 1959",
"Introduction",
"The International Federation of Social Workers is a global federation of national organizations of social workers (unions or associations). It is striving for social justice, human rights and social development through the development of social work, best practices and international cooperation between social workers and their professional organizations.",
"Aims and purposes of the Organization",
"• To promote social work as a profession through cooperation and action on an international basis, especially as regards professional standards, training, ethics and working conditions",
"• To support national associations in promoting the participation of social workers in social planning, and the formulation of social policies",
"• To encourage and facilitate contacts between social workers of all countries and to provide media for discussion and exchange of ideas, through meetings, study visits, research, exchange of publications and other means of communication",
"• To present the point of the profession on an international level by establishing relations with international organizations, governmental or voluntary, operating in, or interested in, the field of social welfare, and to assist in the carrying out of social planning, action and welfare programmes sponsored by such organizations.",
"Contribution of the organization to the work of the United Nations",
"• Information to its membership and others about United Nations activities and initiatives, on the website and through the newsletter",
"• Commitment to the protection and advancement of human rights strengthened by the work of its own Human Rights Commission in establishing a new interactive website for a broad discussion on human rights issues",
"• Representatives participated in important United Nations sessions on human rights issues, such as the sessions of the Human Rights Council in Geneva",
"• Organized Social Work Days in New York: twenty-sixth and twenty-seventh annual Social Work Days, attended by UNDP Administrators and a delegate from UNFPA; twenty-eighth annual Social Work Day, which featured a speech by the Senior Social Affairs Officer, Division of Social Policy and Development of the Department of Economic and Social Affairs.",
"Participation in meetings of the United Nations",
"• The Federation submitted an official statement (E/CN.6/2011/NGO/8) as a contribution to the work of the Commission on the Status of Women",
"• For the UNICEF reference group on Child Protection Mapping Plan, the Federation provided feedback on the conceptual clarity draft and on the mapping and assessment tool",
"• Ongoing work on a document on human rights and extreme poverty, with a view to finalizing its adoption by 2012",
"• At the United Nations Committee on the Rights of the Child, the Federation has submitted a paper and is pursuing this with members of the Committee",
"• As a member of the Vienna NGO Committee on Drugs, the Federation participated in several regular meetings, as well as in side events of the Commission on Narcotic Drugs meeting in March 2009 and 2010",
"• Contributed by means of web-based discussions to the United Nations Human Settlements Programme (UN-Habitat)",
"• World Urban Campaign quarterly meetings held at the United Nations Office at Nairobi",
"• Participated in the twenty-second session of the UN-Habitat Governing Council and issued a statement at the main plenary, April 2009.",
"Cooperation with United Nations bodies",
"The Federation has cooperated with the United Nations through a network of representatives, based in Geneva, Nairobi (at UN-Habitat), New York and Vienna. Additionally, the Federation is represented at the WHO Advisory Group for the tenth revision of the International Statistical Classification of Diseases and Related Health Problems.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• Publication and distribution of international policy papers to schools of social work, national associations, and so forth in policy-related topics such as cross-border reproductive services, globalization and the environment and international policy on ageing and older adults and displaced persons",
"• The organization of the Federation’s World Conferences for Social Work and Social Development, which focused on several topics related to United Nations initiatives",
"• Launching of the Global Agenda for Social Work and Social Development at the Joint World Conference in Hong Kong, China (organized in 2010 together with International Association of Schools of Social Work and International Council of Social Welfare). The agenda addresses the major challenges of our societies (see www.globalsocialagenda.org). The launch was attended by the Under-Secretary-General for Economic and Social Affairs.",
"14. International Fellowship of Reconciliation",
"Special, 1979",
"Introduction",
"International Fellowship of Reconciliation is an international, multi-faith movement of women and men committed to active non-violence as a way of life and as a means of political, social and economic transformation.",
"Aims and purposes of the organization",
"The Fellowship works for a more peaceful, humane and just society in the world by promoting a culture of non-violence, dialogue and reconciliation. Its activities are conducted in cooperation and support with its network of members, United Nations representatives and international staff.",
"Contribution of the organization to the work of the United Nations",
"The Fellowship supports the United Nations by participating regularly in conferences and meetings of the United Nations through its representatives in New York, Geneva and Vienna and reporting thereon in its publications.",
"Participation in meetings of the United Nations",
"• Annual session of the Commission on the Status of Women: New York, March 2007",
"• Attendance at public meetings of the Preparatory Committee for the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons and co-organization of a youth camp on nuclear issues: Vienna, April-May 2008",
"• Participated at the seventh session of the Human Rights Council: Geneva, March; and submitted a statement on the situation of conscientious objectors to military service",
"• Attended the ninth session of the Human Rights Council: Geneva, September 2008; and submitted a statement on arbitrary detention of conscientious objectors to military service in certain countries in contradiction to commentary 22 of the International Covenant on Civil and Political Rights",
"• Participated at the tenth session of the Human Rights Council: Geneva, March 2009; and submitted a statement in relation to the working group on arbitrary detention",
"• Attendance at the tenth session of the Human Rights Council and presentation of an oral statement on religious freedom: Geneva, 2-27 March 2009",
"• Participation in the meetings of the Preparatory Committee for the 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons: New York, 4-15 May 2009",
"• Presented a statement on the situation of conscientious objectors to military service at the thirteenth session of the Human Rights Council: Geneva, September",
"• Attendance at the United Nations observance of the International Day of Non‑Violence: New York, 2 October 2010",
"• Attended the Regional Seminar on the Arms Trade Treaty; February 2010",
"• Attended the thirteenth session of the Human Rights Council and submitted a written statement on religious freedom: Geneva, 1-26 March 2010",
"• Participation at the third session of the Working Group on indigenous people: Geneva, 10-14 July 2010",
"• Attendance at the fifth session of the Human Rights Council Advisory Committee: Geneva, August 2010; an appeal was made for a declaration on the right to peace",
"• Representation at a special meeting on the Convention on Cluster Munitions: New York, 19 October 2010.",
"Cooperation with United Nations bodies",
"• The International Fellowship of Reconciliation representative to UNESCO has been working as a member in the Joint Programmatic Commissions of the UNESCO-NGO Liaison Committee on Youth and Human Rights",
"• At the sixty-first United Nations Department of Public Information/NGO Conference on Human Rights, the International Fellowship of Reconciliation representative to UNESCO organized a workshop about community-based responses to genocide and mass violence: Paris, 3-5 September 2008.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"• Participation of the International Fellowship of Reconciliation representative to UNESCO in the 181st session of the Executive Board Committee on NGOs by evaluating the revitalization process of a stronger partnership for Africa, gender equality and intercultural dialogue: Paris, 9-10 September 2009",
"• In observance of the twentieth anniversary of the Convention on the Rights of the Child, the International Fellowship of Reconciliation representative to UNESCO worked in the steering committee of the Joint Programmatic Commissions of the UNESCO-NGO Liaison Committee: Paris, November 2010.",
"15. International Federation on Ageing",
"General, 1995",
"Introduction",
"The International Federation on Ageing is an international non-governmental membership-based organization of older persons, NGOs, government, academia and industry. The Federation works to generate positive change for older people globally by stimulating, collecting, analysing, and disseminating information on effective age-related policies and practices.",
"Aims and purposes of the organization",
"Our main aim is to advance the well-being of older people globally through creating worldwide forums for discussion, knowledge exchange and transfer; and building connections between stakeholder groups. Actions include working with intergovernmental bodies on policy development; publishing and distributing policy-related information; organizing meetings on a global and regional basis; conducting social research; and promoting the exchange of information and experiences among associations of older people on the United Nations-designated priorities and issues.",
"Significant changes in the organization",
"The Federation relocated its headquarters from Montreal, Canada, to Toronto in March 2009. Charitable status under paragraph 149 (1) (f) of the Canadian Income Tax Act was granted retrospectively from 13 April 2006. As a consequence, there were minor amendments to the Letters Patent and By-Laws.",
"Contribution of the organization to the work of the United Nations",
"Two global conferences were convened on United Nations-designated issues — Priority III of the Madrid International Plan of Action on Ageing, on ageing and design (4-7 September 2008, Montreal), and on climate for change, focusing on healthy ageing, social inclusion and resourcing change (3-6 May 2010, Melbourne). Two closed intergovernmental meetings were convened on the themes “Ageing in place” (3 September 2008, Montreal) and “Social inclusion” (2 May 2010, Melbourne). With HelpAge Asia Pacific, the Federation convened a regional conference (1 and 2 May 2010, Melbourne) to advance the regional agendas on ageing. Regional meetings of civil society and government representatives were convened to inform, exchange knowledge and strengthen understanding in Beijing, (May 2008); Istanbul (December 2010); Hyderabad, India (November 2007) and Akita, Japan (October 2009). United Nations officials made presentations at each event. Content-specific meetings were convened to advance the United Nations agenda, for example, World Elder Abuse Awareness Day (16 June 2009, Toronto) with the focus on intergenerational activities in secondary school settings.",
"Participation in the meetings of the United Nations",
"Oral and written statements were made at the forty-fifth to forty-eighth sessions of the Commission for Social Development. In collaboration with civil society, the Federation contributed to a joint statement on the theme of rights of older people (2009). Parallel side sessions were convened in 2009 and 2010. IFA was present at: the fifty-second to fifty-fourth sessions of the Commission on the Status of Women and the twelfth and thirteenth sessions of the Human Rights Council (Geneva); participated in all International Days of Older Persons and co-chaired the event in 2007.",
"Cooperation with United Nations bodies",
"The International Federation on Ageing Secretary-General was a participant in and panellist at the UNFPA expert group meeting on ensuring an enabling environment (Istanbul, October 2007); the President of the Federation was a participant in the expert group meeting on the rights of older persons (Bonn, May 2009); the Federation’s Director for International Relations was a participant in the expert group meeting on the priority medical devices project (Geneva, October 2007). The Federation secured the panel placement of an older person for the International Day of Persons with Disabilities (2009); the Secretary-General of the Federation is collaborating with the UNFPA project on the state of the world’s older persons 2012 (2010-present). The Federation works closely with Department for Economic and Social Affairs focal points on ageing and disability; and with the secretariat for the Convention on the Rights of Persons with Disabilities.",
"Initiatives taken by the organization in support of the Millennium Development Goals",
"Representatives made public statements on the importance of the Millennium Development Goals in various meetings within and outside the United Nations, particularly on the role of older persons. Federation statements to the Commission for Social Development stressed the importance of working in partnership with the United Nations towards the fulfilment of the Goals.",
"Additional information",
"Membership continues to grow with particular interest from all levels of Government as a direct result of the biannual Senior Government Officials meetings."
] | E_C.2_2012_2_ADD.3 | [
"Committee on Non-Governmental Organizations",
"2012 regular session",
"30 January-8 February and 17 February 2012",
"Quadrennial reports for 2007-2010 submitted by non-governmental organizations in consultative status with the Economic and Social Council through the Secretary-General pursuant to Economic and Social Council resolution 1996/31",
"Note by the Secretariat",
"Contents",
"International Federation of Social, Ecology and Cultural Assistance 3 2. Hariri Foundation 4 3. International Humanitarian Appeal Organization 6 4.4 Bangladesh National Congress on Human Rights 8 International Human Rights Information and Documentation 9 International Interactive Organization 10 7. International Association of Jewish Lawyers and Jurists 12 International Association of Work Schools 14 9. International Bar Association 15 International Federation of Catholic Journalists 17 International Centre for International Trade and Sustainable Development 1912 International Eurasian Press Foundation 21",
"International Federation of Social, Ecological and Cultural Assistance",
"Special consultative status, 2007",
"Introduction",
"The International Federation of Social, Ecological and Cultural Assistance Associations is a non-governmental organization established as an international federation, including 30 associations from 14 countries in Latin America, Europe and North America.",
"Objectives and purposes of the organization",
"In its associate membership (JA) and society at large, the organization promotes and universalize the following: the development of solidarity, realness, tolerance and unity of human values; social assistance to the poor; ecological and environmental protection; and culture.",
"Contribution of the organization to the work of the United Nations",
"Participation and expansion of the draft income for work jointly financed by the World Food Programme (WFP), the United Nations Development Programme (UNDP) and the President of the Dominican Republic; in 2008, United Nations representatives were invited to organize dengue prevention, drinking water, HIV and sexually transmitted diseases prevention lectures in the Dominican Republic; in the context of the United Nations Framework Convention on Climate Change, they strongly supported the Copenhagen Summit in December 2009 (see www.copmoving.org) at the close of the Fifteenth World Congress to discuss climate change; and in the sixth session of the Conference on the Culture of Peace, held in the Dominican Republic from 7 to 14 July 2010 to support the goals of the United Nations.",
"Participation in United Nations meetings",
"Delegates attended the conference entitled “Improving the Universalization of Coordinated Vaccines”, held in New York on 29 October 2010, and the conference entitled “Civility for civic action to save the world?” held at United Nations Headquarters on 21 October 2010. Delegates also attended the session through the following Webcasts: The “green-up” of 20 October 2010 is not enough: measuring universities”; “The role of entrepreneurship in the achievement and sustainability of the Millennium Development Goals” of 15 November 2010”; and “Reforming the international monetary and financial architecture” of 9 December 2010.",
"Cooperation with United Nations agencies",
"The World Cultural Forum, held in Monterrey, Mexico, in 2007.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"(a) In 2004-2010, specialized programmes entitled “Social Development and Aid Centre” were implemented in the Dominican Republic, three of which were implemented in the Dominican Republic; in 1993-2010, eight restaurants were constructed and supported and 2,000 children per year were maintained through sponsoring and donation; and in 1993-2010, medical, dental, vaccination, food and clothing were provided to people living in extreme poverty.",
"(b) Education campaigns to prevent drug abuse, alcohol and tobacco and violence from 1977-2010, provide special assistance to 2,000 children annually in terms of learning supplies and learning issues, and provide them with official birth certificates;",
"(c) The issue of child hunger and malnutrition, in 1992-2010; and education for parents in preventive measures to prevent and detect diseases.",
"(d) Special assistance in the event of disasters, such as assistance to the Haitian earthquake-affected people in 2010 and the victims of tropical storm Noel in November 2007 in Barcelona, Dominican Republic; and the campaign on disease prevention in the Plurinational State of Bolivia, the Dominican Republic and Peru: brainstorming (1995-2010) and diabetes 2005-10 years): donations to be made to the island and to the veterans.",
"(e) In the Plurinational State of Bolivia and the Dominican Republic, respectively, in the period 1995-2010 and 2004-2010, women's gynaecological campaigns aimed at preventing diseases and promoting pre-natal check-ups in pregnancy; health nutrition education in 14 countries in 1995-2010; juvenile and adult education in 14 countries in 1980-2010; and the launch of a mosquiof control campaign in the Plurinational State of Bolivia and the Republic of Dominica to prevent dengue fever and malaria.",
"Hariri Foundation",
"Special consultative status, 2003",
"Introduction",
"The Sustainable Human Development Hariri Foundation was established by Lebanese Prime Minister Rafiq Hariri in 1979 by a Lebanese non-governmental organization. To date, the organization has implemented over 200 projects in line with the Millennium Development Goals in partnership with over 90 local, regional and international partners.",
"Objectives and purposes of the organization",
"The Foundation is committed to mobilizing resources (human and financial) and bringing together efforts through an inclusive partnership and collaborative model aimed at achieving sustainable human development.",
"Significant changes in the organization",
"In line with the review of progress towards the Millennium Development Goals and in line with the recommendations of the Millennium Development Goals Summit, the Foundation launched the following initiatives: the role of civil society in monitoring the achievement of the Millennium Development Goals; the role of local policies and national strategies in the development process; and the impact of the four crises on the ability of member States of the Development Assistance Committee to meet their development assistance obligations and to develop alternative plans for financing development projects.",
"Contribution of the organization to the work of the United Nations",
"The Foundation contributed to the work of the United Nations and its agencies in various forms and initiatives.",
"Participation in United Nations meetings",
"The UNDP Advisory Committee meeting, held in Cairo on 8 September 2007; the annual meeting of Goodwill Ambassadors of the United Nations Educational, Scientific and Cultural Organization (UNESCO) held at UNESCO headquarters in Paris on 3 April 2007, 20 May 2008 and 24 June 2010; the UNESCO Regional Conference on Quality Education for All, held in Paris on 25 August 2008; and the Arab Forum on Education, Science and Culture organized by UNESCO and the Arab League Educational, Cultural and Scientific Organization, held in Beirut on 21 and 22 July 2008.",
"Cooperation with United Nations agencies",
"The Foundation is implementing a series of initiatives with key United Nations agencies, such as the Economic and Social Commission for Western Asia, the World Bank and UNDP. In 2008, in cooperation with the World Bank, the project aimed at preparing a core guide for the history of Saida was implemented, in 2004-2009, in cooperation with the United Nations Development Fund for Women, in the project entitled “Establishment of the electronic quality of the information and communications technology market in Lebanon”; and in 2006-2008, in cooperation with the World Bank and the Reconstruction and Development Council, a project aimed at developing the olive oil industry in southern Lebanon.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"A media campaign entitled “Khede Kasra” was launched to raise awareness of gender inequality throughout the country and at all levels of society.",
"In line with the project “Financing young people and development in Beirut and its suburbs”, the Foundation works with different partners to rehabilitate physical infrastructure in two urban slums in Beirut, while seeking solutions to some environmental problems, such as illegal smugglers and sewage congestion.",
"Additional information",
"The Foundation submitted more requests to the Committee on Non-Governmental Organizations at its regular session in 2011. The new name of the organization is “Financing for Sustainable Human Development in Hariri”. The name of the organization remained “Hariri Foundation” as a result of the report for the period 2007-2010.",
"International Humanitarian Appeal Organization",
"Special consultative status, 1991",
"Contribution of the organization to the work of the United Nations",
"The organization initiated a number of projects in the following areas:",
"More than 1,000 families have benefited from the benefits of these benefits",
"Participation in United Nations meetings",
"Representatives attended the following meetings:",
"Cooperation with United Nations agencies",
"1000 livestock vaccinations and treatment (2008).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"662 farmers cultivate their farms and provide financial support for 30 unemployed persons.",
"Bangladesh National Assembly on Human Rights",
"Special consultative status, 2007",
"Introduction",
"The Bangladeshi Congress on Human Rights is an organization that provides services for marginalized groups in Bangladesh, advocates for human rights and humanitarian services.",
"Objectives and purposes of the organization",
"The organization is aimed at working with Governments, the United Nations and other agencies to end xenophobia and the social political and cultural deprivation of ethnic minorities and other marginalized groups in Bangladesh; to provide assistance to improve their living conditions and to guarantee their full enjoyment of the rights enshrined in the Universal Declaration of Human Rights.",
"Significant changes in the organization",
"Since 2009, the organization has sponsored higher education for marginalized students and has encouraged relevant academic studies on the socio-political and cultural deprivation of the minority and other marginalized groups in Bangladesh.",
"Since its inception, the organization has participated on a number of occasions in United Nations activities and supported its partner organizations, such as Hindus, Buddddhists and Christian Solidarity in Bangladesh. The organization also represented United Nations agencies, such as the special mandate holders of the Office of the United Nations High Commissioner for Human Rights (OHCHR). To serve the purpose of OHCHR, the organization appointed Monorama Biswas as the special mandate of the Human Rights Council on Afro-descendants.",
"Contribution of the organization to the work of the United Nations",
"Participation in United Nations meetings",
"In addition to the above-mentioned activities, the organization actively participated in the meetings of the Commission on the Status of Women and held a parallel meeting during the fifty-third session of the Commission. During the parallel session, the organization held a panel discussion on violence against ethnic minority women and girls, in which the panellists stressed the importance of international legislation to help uphold justice at the national level.",
"Cooperation with United Nations agencies",
"In addition, the organization participated in numerous United Nations activities through its membership in other global non-governmental organizations:",
"(a) A Code of Conduct for the International Red Cross to promote humanitarian services, including but not limited to disaster relief (art. “One world” 2009;",
"(b) Efforts to end violence against children as partners of the Child Rights Information Network and to establish legal remedies (2011);",
"(c) To work as a member of the International Criminal Court Non-Governmental Organizations Alliance to raise awareness of the International Criminal Court and to obtain the approval of Bangladesh of the State party;",
"(d) Accession to the International Peace Bureau for Peace and Justice (2006).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The organization's core activities and services are consistent with the United Nations Millennium Development Goals. Many of the activities of the organization include, but are not limited to, advocacy and rehabilitation services for women and girls, as well as humanitarian services for the poor and marginalized, directly serve the purposes of the United Nations Millennium Development Goals.",
"International human rights information and documentation systems",
"Special consultative status, 2003",
"Introduction",
"The international human rights information and documentation system is an international non-governmental organization that helps human rights organizations to apply information and documentation methods to maximize the impact of their advocacy efforts. The organization develops tools and technologies and provides targeted training and support for advocates. It is also an informal, open and decentralized network of human rights organizations that wish to bring together experiences and creativity of human rights organizations to develop common standards and tools for information management.",
"Objectives and purposes of the organization",
"Our vision: a world that uses information and communications technologies to serve human rights. Our mission: strengthening the capacity of human rights organizations to manage and exchange information and to enhance their effectiveness and credibility. Goal: ensure that human rights organizations have tools, knowledge, technology and supporting services to effectively utilize their information resources.",
"Our activities: (a) the development of tools and technologies for monitoring, information management and communication; (b) the provision of these tools and technologies to human rights organizations and national human rights institutions; (c) the ability of human rights organizations to acquire and apply those tools and technologies to meet their specific needs through training and other activities; (d) support human rights organizations in the establishment and strengthening of their information systems; (e) improving human rights advocacy and reporting technologies; (f) expanding human rights advocacy and networking capacities; and (g) providing centres of excellence in human rights methods and technologies.",
"Significant changes in the organization",
"Based on the knowledge of human rights organizations' potential and needs in information management and documentation, technology development and our assessment of their achievements, the objectives and purposes of the organization have been revised in recent years.",
"Contribution of the organization to the work of the United Nations",
"In February 2009, the organization held a conference entitled “The Human Rights Council and the International Criminal Court: New Challenges for Human Rights Dissemination”. The purpose of the conference was to reflect how non-governmental organizations could more effectively disseminate human rights information to these bodies.",
"Participation in United Nations meetings",
"The organization regularly participates in United Nations meetings in Geneva, in particular those relating to human rights (the Universal Periodic Review). In March 2009, the organization organized a side event entitled “The Challenges of Human Rights Information Management” during the Human Rights Council session.",
"Cooperation with United Nations agencies",
"The organization held regular consultations with OHCHR staff in Geneva and with OHCHR field offices to advise and support on information management and documentation issues. In February 2007, the organization, in collaboration with OHCHR and the Nepal Human Rights Commission, organized two parallel trainings: one for 10 Protection Officers of the Nepal Human Rights Commission for five days of monitoring and fact-finding training, and one for five days of documentation violations, from 10 Nepal human rights non-governmental organizations and supported by OHCHR and UNDP. In February 2008, at the request of the Office of the United Nations High Commissioner for Human Rights of Mexico and in the context of the project on women's human rights, the organization organized a workshop on documentation of violations for non-governmental organizations.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The organization supports the Millennium Development Goals and has taken various initiatives in the field of human rights that involve capacity-building and the development of tools.",
"World Interactive Organization",
"Special consultative status, 2003",
"Introduction",
"The World Interactive Organization works on sexual and reproductive health and rights through local civil society partners in Africa, Asia and Latin America.",
"Objectives and purposes of the organization",
"The World Interactive Organization is a non-governmental organization in the field of international development, based in the United Kingdom, with more than 30 years of experience in supporting sexual and reproductive health and rights information and services in some of the world's poorest communities. The expertise of the World Interactive Organization lies in working with local partners through a rights-based approach that enables the poor and marginalized people to live in dignity and to realize their sexual and reproductive health and rights as a “right” requirement. Our work focuses on the most marginalized communities and individuals, who often suffer stigma, discrimination, abuse and deprivation of rights. Our vision is that all people in the world have equal access to sexual and reproductive health and well-being and exercise their sexual and reproductive rights. Our mission is to improve the sexual and reproductive health of marginalized people and to implement their sexual and reproductive rights.",
"Significant changes in the organization",
"On 1 October 2009, the World Interactive Organization merged with the United Kingdom Plan, but remains a self-government organization with its own board as part of the United Kingdom Family Plan. Through this merger, the World Interactive Organization has extended its sexual and reproductive health and rights programmes to more countries and developed new business models to ensure that more young people and adults are able to live more healthyly. It also ensures that the organization receives greater financial stability and organizational support.",
"Contribution of the organization to the work of the United Nations",
"The organization's programme promotes progress in the sexual and reproductive health and rights of vulnerable groups in Africa, Asia and Latin America by providing rights-based sexual and reproductive health and rights-based programmes through the development of our civil society partners. Our policy and advocacy work — in partnership with national, United Kingdom, Europe and the global — is around supporting and promoting the achievement of health-related Millennium Development Goals. We carry out specific advocacy efforts through the “Everaging Europe 2015” network, through the Global Health Action” (also an inter-European advocacy network). The World Interactive Organization supports the continued focus of the United Nations Population Fund (UNFPA) on sexual and reproductive health and rights as the Government agenda of the United Kingdom.",
"Participation in United Nations meetings",
"March 2009: The World Interactive Organization submitted written observations to the Commission on Population and Development at its forty-second session.",
"summer/n 2009: a representative participated in the discussion of the United Kingdom Civil Society and the Government on the composition of the United Nations-Women.",
"From June to September 2010: delegates participated in and provided information on the outcome of the high-level plenary meeting of the General Assembly on the Millennium Development Goals, held in New York in September 2010; representatives also expressed their views and contributed to the Secretary-General's global strategy for promoting the health of children through civil society channels.",
"September 2010: participated in the high-level plenary meeting of the General Assembly in New York and organized a thematic presentation on the United Nations Foundation's Boto website.",
"Between September 2010 and now: a representative contributed to the implementation of the Secretary-General's Global Strategy on the Promotion of Women's Children, including through the holding of discussions between the United Kingdom and the Government of the United Kingdom, and to the online forum “ever woman, each child”.",
"Cooperation with United Nations agencies",
"In May 2007, UNFPA provided a grant of $400,000 for the World Interactive Organization's Advocacy Programme, “Strengthening Linkages: sexual and reproductive health and rights and new directions for HIV and AIDS”. In early 2011, the World Interactive Organization also received another grant to support its policy and advocacy work with the Government of the United Kingdom.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The World Interactive Organization plays a key role in two cross-European advocacy networks: “Global Health Action” and “When Europe's collapse in 2015”. As part of these networks, the World Interactive Organization works with the Government of the United Kingdom, donors and civil society to raise awareness of the importance of achieving the Millennium Development Goals and addressing unmet family planning needs.",
"International Association of Jewish Lawyers and Jurists",
"Special consultative status, 1995",
"Objectives and purposes of the organization",
"The International Association of Jewish Lawyers and Jurists was created in 1969 to work towards the promotion of human rights globally and to advance the Jewish people's agenda. The organization strives to combat racism, xenophobia, anti-Semitism, denunciation of the Holocaust and global attacks on the State of Israel. It was represented at the main United Nations human rights bodies. The Association was established in 1969 as a member of Jewish lawyers and jurists, whose main purpose is to promote respect for human rights and equality.",
"Contribution of the organization to the work of the United Nations",
"The organization promotes the maintenance of the human rights of individuals through:",
"(March 2007)",
"Participation in United Nations meetings",
"The Association participated on a number of occasions with the United Nations, including:",
"Cooperation with United Nations agencies",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"The Association, in cooperation with other Jewish associations, hosted the following activities:",
"International Association of Work Schools",
"Special consultative status, 1947",
"Introduction",
"The International Association of Work Schools is a global association of social work schools, other higher social work education programmes and social work educators.",
"Objectives and purposes of the organization",
"The common obligation of members of the Association is to pursue social justice and social development. In carrying out its mission, the Association promotes cooperation, mutual benefit and interdependence among its members and with other organizations.",
"Significant changes in the organization",
"The Association has developed a number of members in China.",
"Contribution of the organization to the work of the United Nations",
"We continue to organize and participate in the panel discussions in a monthly manner.",
"Participation in United Nations meetings",
"As Co-Chairs of the NGO Committee on Migration, the Association organized the following activities: a parallel event with the Commission for Social Development; an update by the Global Forum on Migration and Development on the Civil Society Day 2010; a lecture and a presentation on migrants by the Task Force on Trafficking in Persons in Eastern Europe; a statement on the empowerment of migrant women; and a programme to celebrate the International Day of Families with a briefing by the Department of Public Information on the impact of migration on families around the world; and a programme to commemorate the International Day of Refugees.",
"One delegate also participated in seminars and meetings organized by the International Organization for Migration and the United Nations Institute for Training and Research. In April this year, she made a presentation on international adoption of children as part of a new project by the International Organization for Migration and UNICEF to study cross-cutting issues of children and migrants around the world. In May, she helped to plan the Department's briefing.",
"Cooperation with United Nations agencies",
"The twenty-seventh annual social work day was held at the United Nations on 29 March. The identification of “social work and social welfare: commitment to cooperation with the United Nations” is the overarching theme for consistency with the tripartite joint meeting held in Hong Kong, China, in June. In response, three sub-themes were “Energy challenges”, “A fair and social inclusion” and “sustainable environments”. Based on our consultations and discussions during the Hong Kong Conference, we propose that the following areas be used as a framework for the preparation and publication of the first draft of the Global Agenda following further consultations: social and economic inequalities within and across the country; and the recent ongoing economic crisis and world leaders' choices to respond to the crisis (e.g., the use of resources to support the financial system, while reducing resources for social support and social development).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"In the absence of the following questions, the organization could better contribute to the implementation of the United Nations Programme: less information on international conferences, too late, and the lack of funds and staff (both volunteers) has made it difficult to participate in international conferences.",
"International Bar Association",
"Special consultative status, 1947",
"Contribution of the organization to the work of the United Nations",
"2006 Multi-ethnic Bolivia - Access to justice",
"Gambia - Rule of law and judicial independence",
"2007 Colombia - capacity to provide remedies for victims of grave violations of human rights",
"Bolivarian Republic of Venezuela - Independence of the judiciary and the legal community",
"Pakistan - Response to trying to abolish the Chief Justice",
"Malawi - Strengthening Malawi Bar Association",
"Uganda: Independence of the Judiciary",
"Iran (Islamic Republic of) - Legal Community and Independence to Justice",
"Zimbabwe - Investigation of the role of police in the administration of justice",
"Poland - Independence of the judiciary and the legal community",
"South Africa 2008 - Independence of the Judiciary",
"Fiji - assessment of the rule of law",
"Cameroon - Investigation of torture and detention conditions",
"Sri Lanka - Independence of the judiciary and the legal community",
"Democratic Republic of the Congo - needs of the judiciary",
"Pakistan: Independence of the Judiciary",
"Kenya - assessment of the needs of the justice system",
"Brazil - Technical assistance in pretrial detention",
"Afghanistan: Establishment and maintenance of an independent Bar Association",
"2009 Zambia - Progress in Legal Education",
"Libyan Arab Jamahiriya - Human Rights, Prohibition and Monitoring of Torture and Monitoring of Detainees",
"Czech Republic - International Human Rights for Iraqis",
"2010 Democratic Republic of the Congo - assisting the Lubumbai lawyer to continue promoting legal education",
"Liberia - review of the Liberian National Bar Association",
"Brazil: Rule of law and criminal justice",
"Colombia - Independent and guaranteed due process by the legal community",
"Participation in United Nations meetings",
"Cooperation with United Nations agencies",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Promotion of the rule of law",
"International Federation of Catholic Students",
"Special consultative status, 1951",
"Introduction",
"The past four years have been one of the most interesting times in the history of the International Federation. Many activities have been organized in accordance with United Nations objectives and in cooperation with United Nations agencies. Each year, nearly 1,000 journalists from different parts of the world participated in these activities. The demand for these types of programmes is increasing. As can be seen from the themes of these programmes, they are in line with the United Nations Millennium Development Goals.",
"Objectives and purposes of the organization",
"The objectives and purposes of the Federation are:",
"Significant changes in the organization",
"Contribution of the organization to the work of the United Nations",
"Participation in United Nations meetings",
"Some of our journalists participated in meetings around the world and report on the policies and activities of the United Nations.",
"Cooperation with United Nations agencies",
"We regularly cooperate with United Nations agencies in organizing press activities.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"As can be seen from the themes of the programme, these initiatives are consistent with the Millennium Development Goals.",
"Additional information",
"We are very concerned that the United Nations is losing its political role over the past decade and becoming increasingly a humanitarian agency. Therefore, as a World Alliance of Journalists and Media Experts, we are making every effort to convene Government leaders, religious leaders and civil society leaders to participate in our seminars, conferences and events to better enable them to play their role in promoting the well-being of all humankind.",
"International Centre for Trade and Sustainable Development",
"Special consultative status, 2003",
"Contribution of the organization to the work of the United Nations",
"Participation in United Nations meetings",
"The Centre has been granted observer status with the United Nations Convention to Combat Desertification (2007) and the Intergovernmental Panel on Climate Change (2010). It held side events at several meetings.",
"Cooperation with United Nations agencies",
"Common publications with United Nations agencies include:",
"Correa, UNCTAD-International Trade and Sustainable Development Centre joint working paper, 2007.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"In view of the mandate of the Centre to empower stakeholders through information, dialogue and capacity-building, to influence international trade in order to promote sustainable development goals, its Aid for Trade contributes to the achievement of the Millennium Development Goals's goal of eradicating poverty and hunger, as is the agricultural programmes that seek to promote food security, agricultural trade equality and environmental sustainability. The technology transfer project, in cooperation with UNCTAD and with the support of WHO, for drug and local production capacities, supports the objectives of HIV/AIDS in the Millennium Development Goals. The goal of environmental sustainability is now and has been at the centre's core of a series of initiatives, programmes, conferences and publications, including all activities of its global platform on climate change, trade and sustainable energy and its environmental and natural resources programmes.",
"International Eurasian News Foundation",
"Special consultative status, 2007",
"Introduction",
"The International Eurasian News Foundation started the time of the Union of Soviet Socialist Republics. At that time, the State was confused and was fighting with Armenia, resulting in the displacement of nearly 1 million Azerbaijanis and some aspects of the Government, including information dissemination. Before Azerbaijanis have been granted the status of the independent Republic, the standard approach is that all information is disseminated through the Moscow Cremlin Palace, and therefore the review is more rigorous. The Foundation was registered as a non-profit organization in the Government of Azerbaijan in September 1992.",
"Objectives and purposes of the organization",
"Its activities are aimed at gathering and disseminating objective information in areas of armed conflict and researching and analysing regional conflicts in historical, political and other contexts, with the aim of peacefully resolving those conflicts. The peaceful resolution of the Nagorny Karabakh problem is a priority for the activities of the Foundation.",
"Significant changes in the organization",
"The Foundation has developed its action strategy around the Millennium Development Goals. Therefore, the Foundation is a MDG advocate among the civil society organizations in Azerbaijan.",
"Contribution of the organization to the work of the United Nations",
"The purpose of the Foundation is to contribute more actively to the mandate of the United Nations in Azerbaijan and to share best practices with the United Nations in Azerbaijan. In the national context, the Foundation continued to promote the United Nations among local non-governmental organizations and civil society organizations. In particular, the Foundation prioritizes the promotion of democracy in Azerbaijan and does not necessarily have political affiliation or belong to any political party. Human rights, gender equality and the promotion of women's rights, governance, economic and social development are the focus of the Fund's action plan.",
"Attendance at the United Nations Conference",
"In July 2007, the Foundation participated in the annual ministerial review of the Economic and Social Council. The Foundation also participated in the Innovation Fair.",
"Cooperation with United Nations agencies",
"The Foundation and the Office of the Ministry of Public Information of Azerbaijan started cooperation in 2010. The focus is on several meetings in various regions of Azerbaijan. The themes discussed were at the core of the Millennium Development Goals. To that end, in April 2010, the Foundation, together with the Department of Public Information, undertook a visit to the village of Borsunlu, Tartar, to carry out mine risk education and celebrate the International Day of Mine Awareness and Assistance in Mine Action. UNHCR and the Foundation shared useful information through surveys on the living conditions and social standards of refugees and asylum-seekers in Azerbaijan; such investigations involve Iraqis (2008) and Chechens (2010).",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Over the years, the Foundation has carried out several activities in cooperation with organizations based in Europe and the United States. It also participated in several meetings and conferences aimed at sharing experiences on the Millennium Development Goals and strengthening Azerbaijan's development partnerships.",
"Additional information",
"As a member of the International Institute of Information, the Foundation participates annually in the World Congress of the International Institute of Information and the United Nations General Assembly; it also makes recommendations and questions on the development of independent media in Azerbaijan.",
"International Federation of Workers",
"Special consultative status, 1959",
"Introduction",
"The International Federation of Social Workers is a global Federation of National Social Workers' Organisations (COFs or Associations). It is committed to promoting social justice, human rights and social development through the development of international cooperation among social work, best practices and social workers and their professional organizations.",
"Objectives and purposes of the organization",
"Contribution of the organization to the work of the United Nations",
"Participation in United Nations meetings",
"Cooperation with United Nations agencies",
"The Federation cooperates with the United Nations through the dispatch of representatives to Geneva, Nairobi (UN-Habitat), New York and Vienna. In addition, the Federation sent representatives to the WHO Advisory Group to participate in the tenth revision of the International Statistics Classification on Diseases and Related Health.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"International harmony",
"Special consultative status, 1979",
"Introduction",
"International harmony is an international multi-faith campaign that is committed by women and men participating in the organization to use active non-violence as a way of life and as a means of political, social and economic transformation.",
"Objectives and purposes of the organization",
"The organization is committed to building a more peaceful, humane and just society in the world through the promotion of a culture of non-violence, dialogue and reconciliation. Its activities were carried out in cooperation with members' networks, United Nations representatives and international staff, with their support.",
"Contribution of the organization to the work of the United Nations",
"Through its representatives in New York, Geneva and Vienna, the organization regularly participates in United Nations conferences and meetings and reports thereon in its publications in support of the United Nations.",
"Participation in United Nations meetings",
"Geneva, 1-26 March 2010",
"Cooperation with United Nations agencies",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Paris, 9-10 September 2009",
"Paris, November 2010.",
"International Federation on Ageing",
"General consultative status, 1995",
"Introduction",
"The International Federation on Ageing is an international non-governmental organization composed of older persons, non-governmental organizations, Governments, academia and industry members. The Federation is committed to making positive changes to the world's elderly by generating, collecting, analysing and disseminating information on effective age policies and practices.",
"Objectives and purposes of the organization",
"Our main objective is to promote the well-being of the world's elderly by creating a forum for discussion, knowledge sharing and transfer around the world; and networking among stakeholders. Actions included cooperation with intergovernmental bodies for policy formulation; dissemination and dissemination of policy-related information; organization of global and regional meetings; conduct of social studies; and promotion of the exchange of information and experience on the priorities and issues identified by the United Nations among the Association of Older Persons.",
"Significant changes in the organization",
"In March 2009, the headquarters of the Federation moved from Montreal, Canada, to Toronto. Since 13 April 2006, philanthropic status has been granted to them in accordance with section 149 (1) (f) of the Canada Income Tax Act. Therefore, a slight change in the patent licence and accompanying.",
"Contribution of the organization to the work of the United Nations",
"Two global meetings were held on issues designated by the United Nations — the third priority of the Madrid International Plan of Action on Ageing, on ageing and design (art. From 4 to 7 September 2008, Montreal, and on climate change, emphasis was placed on healthy ageing, social inclusion and resource changes (Montrealty). 3-6 May 2010, Melbourne. Two intergovernmental closed meetings were held on the following themes: “Aging has become a reality” (para. On 3 September 2008, Montreal and “social inclusion” (kurne, 2 May 2008). The Federation held a regional conference with the International HelpAge Asia-Pacific Group (JICA) on 1 and 2 May 2010 in Melbourne to promote the regional agenda for ageing. Regional meetings with civil society and government representatives were also held around the following areas to disseminate information, share knowledge and deepen understanding: Beijing (May 2008); Istanbul (December 2010); India Seadira (November 2007) and Japan's fall field (October 2009). United Nations officials made statements at each event. A meeting on specific elements was held to promote the United Nations agenda, such as the World Day for the Recognition of the Abuse of Older Persons (Toronto, 16 June 2009), focusing on intergenerational activities in secondary schools.",
"Participation in United Nations meetings",
"Oral and written statements were made at the forty-fifth to forty-eighth sessions of the Commission for Social Development. The Federation, in cooperation with civil society, contributed to the joint statement on the theme of the rights of older persons (2009). A parallel side event was held in 2009 and 2010. The International Federation on Ageing participated in the fifty-second to fifty-fourth sessions of the Commission on the Status of Women and at the twelfth and thirteenth sessions of the Human Rights Council (Geneva); participated in all international Days of Older Persons and chaired activities in 2007.",
"Cooperation with United Nations agencies",
"The Secretary-General of the International Federation on Ageing participated in the UNFPA expert group meeting on ensuring an enabling environment and served as a panellist (see annex). In October 2007, Istanbul; the President of the Federation participated in the Expert Group Meeting on the Rights of Older Persons (Bonn, May 2009); the Director of International Relations of the Federation participated in the expert group meeting on priority medical equipment projects (Geneva, October 2007). The Federation held a panel discussion on the occasion of the International Day of Disabled Persons (2009); the Secretary-General of the Federation was cooperating with UNFPA on the World Older Persons 2012 project (2010-present). The Federation works closely with the Department of Economic and Social Affairs focal point for ageing and disability; and works closely with the secretariat of the Convention on the Rights of Persons with Disabilities.",
"Initiatives undertaken by the organization in support of the Millennium Development Goals",
"Delegates made public statements on the importance of the Millennium Development Goals at various meetings within and outside the United Nations, in particular on the role of older persons. The statement made by the Federation at the Commission for Social Development highlighted the importance of cooperation with the United Nations to achieve the Millennium Development Goals.",
"Additional information",
"Because of the two high-ranking government officials meetings in one year, the number of members continues to increase, with the interest of all levels of government."
] |
[
"第六十六届会议",
"临时议程[1] 项目69(c)",
"促进和保护人权：人权状况及特别报告员 和代表的报告",
"缅甸人权状况",
"秘书长的报告",
"摘要",
"本报告是根据大会决议第65/241号决议第30段提交的，涵盖2010年8月26日至2011年8月4日。在报告所述期间内，由国家和平与发展委员会领导推行的政治路线图余下步骤均已实施，即于2010年11月7日举行大选；2011年1月召开新议会；2011年3月30日由委员会将权力移交新政府。在权力移交过程中，和发会正式解散。大选后一个星期，被软禁7年的昂山素季于2010年11月13日获释。",
"一. 导言",
"1. 本报告是根据大会第65/241号决议第30段提出的，其中大会请秘书长继续进行斡旋，并继续与缅甸政府和人民讨论人权状况、民主过渡和民族和解进程，并为此向缅甸政府提供技术援助；向大会第六十六届会议以及人权理事会报告该决议的执行进展。本报告涵盖2010年8月26日至2011年8月4日。特别报告员另外还就缅甸人权状况发表单独报告：2010年9月(A/65/368)和2011年3月(A/HRC/16/59)。",
"2. 在报告所述期间内，由国家和平与发展委员会领导推行的政治路线图其余步骤业已实施，即于2010年11月7日举行大选；2011年1月召开新议会；2011年3月30日由和发会将权力移交由吴登盛总统为首的新政府。在权力移交过程中，和发会正式解散。和发会主席丹瑞大将和副主席貌埃副大将正式辞退。大选后一个星期，被软禁7年的昂山素季于2010年11月13日获释。",
"3. 在同一期间内，2010年10月，我在河内参加第三次东盟——联合国首脑会议期间在会外会见了当时的总理吴登盛，并于2010年9月在纽约与前外交部长吴年温在大会第六十五届会议会外会晤。昂山素季获释后，我还立即直接与她交谈。我的特别顾问维贾伊·南比亚尔曾两次应邀访问了缅甸政府，第一次于2010年11月27日和28日，在选举结束和昂山素季获释后，第二次从2011年5月11日至13日，在新政府成立之后。",
"4. 在报告所述期间，我继续不断与有关会员国接触，在2010年9月和12月及2011年6月连续召开了三次缅甸问题秘书长之友小组会议。除了到各首都进行磋商外，我的特别顾问还向大会主席、秘书长之友小组和安理会简报他访问缅甸的情况。新政府成立后，我的斡旋工作继续进行，重新恢复了缅甸与主要国际利益攸关方之间的高级别双边接触。",
"二. 主要事态发展",
"选举",
"5. 截至2010年9月，有42个政党在联邦选举委员会注册，参加定于2010年11月7日举行的选举，其中包括10个曾于1990年参选的现有政党。2010年9月14日，委员会按照选举法宣布10个政党“无效”，包括全国民主联盟和其他四个现有的政党，不让它们重新注册。委员会向其余37个政党发出拉票准则。",
"6. 除了两大政党(以总理吴登盛为首的联邦巩固与发展党、民族团结党)和两个主要反对党(全国民主力量、民主党)外，多数政党都有民族背景，代表着地方和全国广泛的选区。在规定的时限内，各政党的组织和财务机构汇报其拉票策略。在3 300名候选人当中，联邦巩固与发展党和民族团结党派出的参选人数最多(分别为1 100人和990人，分布在所有选区)，而其他政党派出的人数少得多，而且只在若干选区竞选。",
"7. 11月7日，3个选举同时举行：联邦议会的人民院(下院)和民族院(上院)，以及14个邦和地区议会。与1990年一样，选举采取多数票当选办法。选举票数于 11月17日正式公布。12月7日，委员会宣布，缅甸有2 900万合格选民，投票率达77%。",
"8. 联邦巩固与发展党得到总投票数的58%，赢了所有议会总共1 154个民选议席的大约77%(883席)，包括民族院77%(129个座位)和人民院79%(259席)。连同每一个议会为军方(缅军)保留的25%议席，联邦巩固与发展党与军事集团一起占了压倒性的多数。全国各议会余下的席位分给了16个政党和独立人士，包括民族团结党、全国民主力量党、掸族民主党、若开民族进步党、全孟邦地区民主党和钦族进步党。",
"9. 在14个邦和地区议会，民族政党比全国反对党的表现相对较好。虽然联邦巩固与发展党赢得了大多数中部地区几乎所有的民选议席，但在民族地区，该党赢得了相当大的一块，但比不上民族政党，仅在克耶邦赢得多数，民族政党在钦邦和若开邦赢得最多，占30%的席位。",
"10. 根据独立报告，投票日总的来说是和平、有序的，尽管有违规事件发生。种种迹象表明，大多数选民都能够自由投票，投票站的点票工作大多数都在各党代表和市民大众面前进行。然而，也有报道指出，在整个过程中，侵害、恐吓和胁迫事件屡屡发生。此外，人们还关注到，限制性的选举框架有效地将关键利益攸关者排除于过程之外，基本的言论、集会和结社自由受到限制，还有利用国家资源的机会不平等，对媒体施加限制，缺乏选民教育，以及有各种重大制约因素让候选人和各政党无法公平竞选。",
"11. 最严重的关切是，提前投票过程被动了手脚，看来在点票时最后结果已从有利于反对党候选人的局面被扭转为联邦巩固与发展党胜出。提前投票票数估计占全国选票的10%。虽然官方人士声称，受影响的只有4个席位，但据独立消息来源报道，提前投票可能改变了多达64个席位的结果。",
"12. 11月8日，东盟主席发表声明，欢迎这次选举是执行缅甸民主路线图的重要一步，鼓励缅甸加快民族和解和民主化进程，并继续在这一进程中与东盟和联合国合作。",
"13. 同日，我发表声明指出，选举是在包容性不够、参与性不足、透明性有限的情况下进行的，并强调缅甸当局有责任将选举变成一个新的开始，推行可信的政治过渡，释放政治犯，解除对昂山素季的限制。我也敦促，成立新政府机构的过程要基础广泛，普惠包容，并呼吁所有利益攸关方在这方面彼此对话。我强调，国际社会希望得到更大的保证，确保正在进行的过程将是改变现状的真正开始。",
"14. 在2011年6月和7月，几个政党宣布打算派出候选人参加定于2011年11月举行的议会补选。民主党之友集团，包括全国民主力量党和掸族民主党宣布派候选人参加40个选区的选举，而联邦巩固与发展党则宣布将在所有45个选区参选。在同一时期，有新政党提交注册申请。7月20日，选举委员会允许人民民主党注册，使正式注册的政党总数达到38个。",
"释放昂山素季",
"15. 2010年11月13日，国家和平与发展委员会主席丹瑞大将发布行政命令，释放被软禁的昂山素季。我发表声明，对释放她表示欢迎，指出她面对不公正待遇时所表现的尊严与勇气是对世界各地许多人的一种鼓舞，同时对她被有效排除于选举之外，深表遗憾。我明确表示，不应对她施加任何进一步的限制，并再次敦促当局释放所有其余政治犯。",
"16. 11月22日，内比都最高法院驳回了全国民主联盟对选举委员会解散该联盟的公布提出的上诉。",
"政府成立",
"17. 1月31日，联邦议会召开第一届会议，2008年宪法从此生效。原排名第三的国家和平与发展委员会委员瑞曼获选为人民院议长，前文化部长钦昂敏当选为民族院议长，并兼任联邦议会议长。所有议长和副议长职位均由联邦巩固与发展党获得。",
"18. 2月4日，总统选举团(由联邦议会所有成员组成)选出前国家和平与发展委员会总理登盛为总统，前和发会第一秘书长丁昂敏乌为第一副总统，知名掸族人士赛茂康为第二副总统。所有三人都是联邦巩固与发展党的当选代表。我通过一份声明指出，召开议会和选举主席是缅甸摆脱现状的一个重要机遇。",
"19. 3月30日，国家和平与发展委员会将权力移交新政府后正式解散。丹瑞大将和貌埃副大将正式辞退。我通过一份声明表示，注意到权力已移交给新政府，并强调指出，缅甸当局有机会和有义务向本国人民证明，这一改变将标志着摆脱长达50年军人直接统治的真正实质性开始。我还敦促当局进行基础广泛的包容性对话，为创建可靠和有效的政府制度进行必要的改革。",
"20. 虽然名义上是民职政府，但新政府主要是由最近退役的军官组成。在30名部长中，有3名现役军官被总司令任命担任公安职位；有10名部长和5名副部长来自前内阁；有4名最近退役的高级军官获任命到管技术的各部；新任命8名技术官员，其中3名有军事背景，但对其部长职位有丰富经验，如外交部长温纳貌伦。",
"21. 在7个地区和七个邦都创建了新的立法和行政结构。在有关各邦，为某些民族群体划出了6个自治区。所有当地的首席部长均由总统任命，都来自联邦巩固与发展党，唯有克伦邦除外，该邦领导人为军方立法人员。在地方政府中，民族反对派政治人员被任命担任社会和其他职位。在6月和7月，地方政府改组，以重新调整中央和地方各级的部长职位。",
"22. 军事领导层的变化包括任命新的总司令敏昂莱上将。一些变化，如取消由军方控制的超部长级政策委员会，设置地方政府，反映了有可能按照《宪法》削减军队在执政方面的作用。军方在负责制订军事预算的财务委员会没有直接的代表，不过据报道，总司令控制着一个无需社会监督“特别基金”。",
"23. 在上下两院于1月31日至3月30日举行第一届会议期间，两院均审议关键行政和司法职位的提名，提出了实质性问题和建议。政府部长首次到议会回答问题。官方媒体报道了议会的辩论，包括之前没有公开讨论过的敏感话题，如土地保有权、检查制度、义务兵役制立法、录用少数民族担任公务员、少数民族语言教育、人口迁移、克伦邦的停火问题、掸族政治犯大赦问题、若开邦北部穆斯林居民身份证问题和私营部门垄断问题。",
"24. 按照《宪法》规定，议会成立各种委员会，如法案委员会、公共账户委员会，权利委员会和政府担保、保证和企业评审委员会。在所有委员会成员中，反对派占三分之一，包括担任一个委员会的主席，其余成员都来自联邦巩固与发展党，其中没有任何军方任命的人员。8月1日，一份官方公布表示，议会第二届会议将于2011年8月22日召开。",
"改革议程",
"25. 登盛总统在3月30日向议会、3月31日向政府成员、4月23日向边境地区和民族进步中央委员会发表的就职讲话中，扼要介绍了在他的五年任期内新政府在关键优先领域的政策方向初步指标。在近代史上，政府首次制订了公共政策议程，并对许多国家面临的问题进行了评估。",
"26. 与以前的官方说法不同，总统明确承认，国内外有许多个人和非法组织不接受路线图和《宪法》。总统强调，没有民族团结，这个有100多个民族共同生活一起的国家无法享受和平与稳定，对于建设一个发达的国家，和平与稳定是至关重要的。他一方面警告不要在宪法框架外采取任何行动，另方面又努力说服各民族团体相信政府的善意，并与“善良的政治力量”合作，争取和平、稳定和发展，包括继续打开“和平之门”，并欢迎持不同意见的人参选。",
"27. 总统承诺推行改革的其它关键政策主题和优先事项包括实行开放的市场经济，改善社会经济条件，缩减城乡差距；保护社会和经济权利；发展基础设施，提供基本服务，包括在民族地区；改善健康和教育标准；保护基本人权和自由；尊重法律和独立透明的司法；尊重媒体的作用；推行善政，对行政和立法机构进行社会监督；推动体制能力建设和人力资源开发；创建“干净”、负责、问责、包容的政府；和下放权力。",
"28. 具体来说，总统宣布10点立法改革议程，其目的是：确保现行法律符合《宪法》；保障基本权利；提高服役人员薪金和养老金；保障农民权利；创造就业机会，保障劳工权益；整顿公共医疗和社会保障制度；提高教育和保健标准；修改新闻法；促进保护环境；和加强自然灾害对策措施。",
"民族对话与和解",
"29. 昂山素季在1月28日向瑞士达沃斯世界经济论坛广播的一份声明中强调，必须实现民族和解、政治稳定和基于人力资源开发的经济增长，这是推行善政的基本要求。她呼吁在缅甸的投资要尊重法律，重视环境和社会因素、劳工权利和创造就业。她呼吁经济政策要与人类发展和能力建设挂钩；技术和基础设施的投资要创新和实行多样化；提供创业和小额信贷的机会，战胜贫困；实施保健预防措施；推动环境和社会负责任的发展；实行法律改革和法治。",
"30. 2月8日，全国民主联盟发出了关于制裁缅甸的审查报告，认为经济状况没有明显受到制裁的影响；取消制裁的最佳途径是有效地取缔侵犯人权和缺乏民主的做法；并指出。在此期间，如果外国投资尊重保护环境、保护劳工权利和促进民间社会的指导方针，人民的经济困境将得到改善。该党还呼吁与有关会员国讨论，达成一个协议，商讨何时、如何以及在什么情况下可以改变制裁，并指出由受尊重的专业人士研究制裁的影响或许有用。",
"31. 3月11日，由议会中十大民主政党和民族政党组成的民主党之友集团发表一封公开信，呼吁国际社会确认缅甸的政治发展，包括创建了新的政治空间，政权已过渡给新一代的领导人，进行了政党选举。该信指出，对缅甸的制裁，虽然不是造成贫困的首要原因，但也打击了劳动密集型产业，妨碍创造就业，让社会享受不到外国投资增加所带来的好处，该集团呼吁取消制裁，增加捐助者的资金与援助，通过在旅游、贸易和投资方面的咨询和合作，推动治理和社会经济改革。",
"32. 3月27日，全国民主联盟发表声明，敦促当局释放所有政治犯，立即进行有意义的政治对话，消除民主力量和缅军之间的误解，从而创造公正的政治条件。",
"33. 4月25日，全国民主联盟发表声明，欢迎总统承诺实行法治。谈到违反司法原则的个别情况，该声明呼吁颁布更多的指导方针，以建立法治，包括在司法中遵行适当程序和实行公平审判。",
"34. 5月16日，有关当局宣布，基于人道理由和对家属的同情，登盛总统已批准特赦囚犯，将死刑降为无期徒刑，并将其他刑期减刑一年。结果，在被拘留的大约2 000名政治犯当中，有超过100名政治犯，包括全国民主联盟的23名成员，据报已经获释。",
"35. 组成民主党之友集团的10个政党在5月20日发表一封公开信，对大赦表示欢迎，认为是一种善意的姿态，但指出这还不够，因为它不适用于服长刑期的政治犯，不足以对民族和解作出有意义的贡献。它指出，缅甸在民选政府下的过渡需要在各民主力量中间建立信任，这是推动民主变革的一个关键步骤。该集团呼吁释放政治犯，让流亡海外的持不同政见者的回国。",
"36. 6月28日，内政部警告昂山素季和全国民主联盟主席昂瑞，由于该组织已正式解散，其活动是非法的，应当停止，因为它们会损害和平、破坏稳定与法治，并会为民族和解创造更多的困难。内政部通报，要参与社会事务，就要提出申请，成立社会组织。国家媒体同样警告该党停止活动，以避免不必要的后果，并指出该组织的领导人有权成立一个政党，应设法以合法政党的地位参加选举。它还警告昂山素季在仰光以外的任何计划访问都会有安全方面的关切问题，但指出不会限制她旅行。",
"37. 6月29日，全国民主联盟公开答复说，它仍然是一个合法注册的政党，没有违反2008年《宪法》，因此，它既不能解散，也不能接受法院驳回它就此事提出的上诉。为了民族和解的共同利益，该党要求与内政部长会晤，讨论建立法治的问题。",
"38. 从7月4日至7日，昂山素季前往巴甘和周边地区，进行为期四天的私人旅行，平安无事。自2003年5月德巴因事件之后，这是她第一次在仰光以外旅行。",
"39. 有一个令人鼓舞的发展是，7月19日，昂山素季获政府邀请，出席了在仰光为“烈士节”举行的正式仪式，这是9年来的第一次。此外，她和全国民主联盟领导了2007年示威以来规模最大的公众游行。该党重申承诺通过政治手段解决政治问题，并呼吁当局通过有意义的对话，释放政治犯，创造公正的政治条件。",
"40. 7月25日，经政府邀请，社会福利部长昂基与昂山素季举行了一次会议，这是她获释后与政府之间的首次会谈。双方在联合声明中说，这次会议是积极的，对结果表示满意，并同意在适当的时候再次会晤。他们讨论了为人民利益进行合作的可能性，包括有关法治和消除误解的事项。我通过一份声明表示欢迎和鼓励通过真正对话建立相互谅解的努力。我再次重申吁请政府考虑及早采取行动，释放政治犯。",
"41. 在报告所述期间，与已停火和还未停火武装族裔群体的关系继续紧张，这包括克钦族、克伦族、掸族和佤族的部队。最严重的紧张局势涉及武装冲突，6月9日，缅军和克钦独立军在克钦邦和掸邦北部开始冲突，自1994年签署停火协议以来，首次出现大规模暴力升级，战火公然重开。据报冲突双方都有伤亡，都有侵犯人权的行为，造成平民流离失所，基础设施受到破坏。",
"42. 6月24日，人民院议长报告指出，缅军和克钦独立军之间的小规模冲突已经在当地和全国造成恐慌，不过，经过作出协调努力，局势已受到控制，因而该地区的和平与稳定已经几乎完全恢复。自战斗爆发以来，据报已举行几轮谈判，参加的有中央和地方当局，以及联邦巩固与发展党、克钦独立军和克钦独立组织的代表。昂山素季在7月28日发表公开信，呼吁为了民族团结，凡涉及武装族裔群体的任何紧张局势，都应通过政治谈判解决，并表示她支持为此目的正在进行的努力。",
"43. 自6月21日以来，联合国驻地协调员办公室与社会福利与救济安置部代表会晤，对克钦邦的人道主义局势表示关切，特别关注平民的境况，要求得到和分享关于据报有发生群众流离失所及其他关切问题的信息，要求前往当地执行人道主义评估和提供援助，并讨论了人道主义走廊和安全通行选项措施。",
"人权机制",
"44. 2011年1月27日，缅甸接受了人权委员会第一次普遍定期审查。在审查过程中提出的180项建议中，缅甸拒绝了70项，接受了64项，并同意进一步研究46项。",
"45. 3月7日，特别报告员向人权委员会提交了他的第四次报告(A/HRC/16/59)。3月25日，委员会通过了第16/24号决议，其中除其他外，对于自2010年2月以来，特别报告员一直未获准访问，委员会表示遗憾，同时把特别报告员的任期延长一年。委员会还表示大力支持斡旋特派团，并呼吁缅甸政府确保同我的特别顾问和特别报告员充分合作。7月22日，特别报告员获邀在8月访问缅甸。",
"46. 7月1日和2日，红十字国际委员会六年来首次获准恢复访问，以检查在三个不同地方的监狱条件。",
"社会经济发展",
"47. 6月27日，政府和亚洲及太平洋经济社会委员会(亚太经社会)在内比都联合举办第三次发展伙伴关系论坛。论坛由副总统赛茂康主持开幕，并由亚太经社会执行秘书和部长为国家计划与经济发展部长担任共同主席。这个基础广泛的会议有一个重点，就是提振缅甸大米经济政策，大米经济是为农业部门的最关键的部分，影响到人口的70%。政府决策者与民间社会的代表、私营部门以及当地和国际专家对话。会议提出建议，供纳入政府行动计划。这个论坛是在2009年第二次发展伙伴关系论坛和2010年5月国家减缓贫穷和农村发展研讨会的基础上举行的。在论坛结束时，亚太经社会执行秘书会见了昂山素季。",
"三. 讨论内容和成果",
"48. 9月24日在纽约举行的东盟外交部长会议上，我强调亟需进行自由、公正和包容性的选举，以推动缅甸的稳定和发展。我着重指出，不能满足这些期望就会破坏这一进程的公信力，而这一进程反映了东盟的集体价值观和原则。我呼吁东盟成员国鼓励缅甸更加紧密地配合我的斡旋。",
"49. 9月26日在纽约会见前外交部长吴年温时，我强调政府还来得及做出善意的姿态，以提高选举的公信力，包括让昂山素季有投票权，释放尽可能多的政治犯。部长提到，选举后的政治局势将完全改变。我强调，政府及其继任者需要继续积极配合我的斡旋和特别顾问的工作。",
"50. 在10月29日在河内举行的第三次东盟——联合国首脑会议，我向东盟国家领导人简报了我的斡旋任务，强调需要进行可信的民主过渡，需要达成民族和解，包括进行自由、公正和包容性的选举。在与登盛总理于10月30日举行双边会谈时，我指出联合国和国际社会对选举的安排感到不满，并重申在选举前释放政治拘留犯的呼吁，包括释放昂山素季。除了可信的投票外，我强调选举结果透明公开和通过包容性过程组建政府的重要性。总理证实，丹瑞大将和貌埃副大将不会挑战选举。他表示将继续给予大赦。他强调新政府将继续配合我的斡旋，呼吁国际社会更密切地参与缅甸在社会经济和政治领域的事务。",
"51. 11月18日，我打电话与昂山素季讨论，我们同意，需要优先做的事情是释放所有政治犯。我告诉昂山素季，她获释后的发言以及主张对话和妥协的呼吁都充满和解精神，我深受鼓舞，我会继续鼓励各方为了国家利益一起工作。昂山素季表示她对联合国在缅甸发挥的重要作用，对我为她不断作出的努力，表示赞赏。她表示支持我的特别顾问及早访问缅甸，同时她愿望密切参与。我重申我承诺继续维护缅甸人权、和平与民主事业。",
"52. 11月27日至28日，我的特别顾问应政府的邀请访问了缅甸。自我在2009年7月进行访问后，这是第一次到缅甸进行直接斡旋。在安排工作方案方面，联合国首次有更大的灵活性。我的特别顾问会见了前外交部部长吴年温、边境事务部高级官员、选举委员会、联邦巩固与发展党总书记吴泰乌。我的特别顾问在昂山素季的住所首次与她会面，并会见了全国民主联盟中央执行委员会的成员。他又在联合国房地会见了当选政党代表，也会见了民间社会的领导人。",
"53. 在回应经各政党和民间社会证实的有关选举的种种关注时，政府和选举委员会指出，没有接到正式提交的投诉，选举法规定了提出这类投诉的程序。他们强调，没有不让新政党注册的禁令。我的特别顾问强调，不管有没有正式投诉，未能快速和透明地处理选举方面的关注问题，无疑将损坏这一进程的公信力。他还强调，需要建立良好的选举实践，要从补选开始。",
"54. 关于更广大的政治进程，我的特别顾问强调，任何过渡，若要成功，即使是已决定不参加选举的政治力量，都不应排除于对话之外，并强调这些力量始终是政治格局中一个关键组成部分。选举结束后，他强调对话与和解比以前更加重要，当局应当能够更好地接触到他们的批评者。对话者都同意需要继续努力实现民族和解，但他们的期望和前进方向大不相同。",
"55. 政府对话者，以及联邦巩固与发展党和民族团结党，表示对继续实施路线图有信心，强调所有各方均有机会参与选举，民族和解应可在《宪法》确立的框架内继续开展。他们呼吁国际社会确认在这方面取得的进展，包括解除制裁。虽然当局仍然没有表态，但他们没有断然拒绝要求对话、通过包容性的进程组建政府、并释放政治犯的呼吁。",
"56. 昂山素季表示，她决心继续努力，通过对话谋求民族和解，并指出，拙劣的假民主比彻头彻尾的独裁更糟糕。她表示希望听取多方面的意见，以便对选举后的局势有更全面的了解。她清楚表示，如果当局作出有意义的努力，请她和全国民主联盟参与，她愿意响应。她没有详细说明关于制裁的立场，只说了需要详细评估制裁的影响。她转达了她的期望，希望我通过斡旋和特别顾问，充分参与促进政治对话、人权和法治。她还表示同联合国开发计划署和其他伙伴密切合作的兴趣。",
"57. 尽管他们对选举失望和沮丧，各民主政党和民族政党的代表认为，它们在这个过程有了立足点，是一个合法的平台，可以通过尽量扩大所谓的新宪法框架内的“新政治空间”，积累它们取得的成绩。虽然由于它们的代表性有限，它们意识到将会继续面临挑战，但他们寄望于彼此之间及与其他各方，包括与联邦巩固与发展党进行可能的合作与接触。",
"58. 所有对话者都强调需要设法解决国家的发展和人道主义需要，并强调他们期望联合国在这方面发挥更大的作用。根据当局和联邦巩固与发展党，缅甸需要发展经济，以确保稳定和民主的做法。前外交部长重申缅甸承诺在技术和政策层面与联合国合作，并呼吁提供更多捐助者的援助。他着重指出，由于开发计划署执行局施加的限制，缅甸是没有实施开发署正常国家方案的唯一国家，政府明确要求解除这种限制。它保证解决联合国各机构准入和及时发放签证的问题。",
"59. 昂山素季欢迎联合国驻地协调员与她保持联系和互动，并表示她承诺与联合国系统合作，包括商讨影响人道主义和发展活动的政策和业务制约。大多数政党按照它们的竞选纲领，确定了一些社会经济问题，作为它们的优先议程，以满足各选区的需求。民间社会的领导人强烈要求所有利益攸关方从政治对抗转向改善该国的政治经济。在他们看来，2008年气旋纳尔吉斯以来，民间社会的经验表明，通过在现有框架内进行建设性接触，往往会取得进展。他们强调，需要更加细致地了解现有的机遇，以解决国家的问题，作为更广泛的自由化议程的一部分。同样，独立专家看到了新的机遇，可解决任何民主过渡必须处理的经济管理问题，包括建立更加透明的立法和预算编制过程。",
"60. 返回缅甸之前，我的特别顾问5月10日在雅加达与印度尼西亚政府外交部长兼东盟主席马蒂·纳塔莱加瓦会晤，讨论7日和8日在那里举行的第18届东盟首脑会议的结果，其中审议了关于缅甸在2014年担任东盟主席的建议。我的特别顾问获悉，对这项建议的正式决定已推迟到定于2011年11月17日和18日举行的第19次东盟首脑会议，待东盟主席访问缅甸后作出。",
"61. 我的特别顾问应新政府之邀，在5月11日至13日访问了缅甸，这是新政府成立后的第一次。外交部吴温纳貌伦在内比都接见了他，他又会见了内政部长、社会福利部长、国家计划与发展部长，以及商业部、卫生部和教育部的高级官员。他会见了新任命的总统政治顾问、法律顾问和经济顾问。他还得到人民院副议长以及联邦巩固与发展党总书记接见。在仰光，他再次会见了昂山素季和全国民主联盟中央执行委员会成员，以及议会和民间社会反对派及民族政党的代表。他还访问了勃固省，会见了首席部长、前外交部长吴年温。",
"62. 我的特别顾问在他的所有会晤中都强调新政府积极主动采取具体步骤落实登盛总统宣布的改革的重要性。他着重指出，要发挥领导力和政策的作用，争取国内和国际的信心，让它们深信缅甸正在发生变化，这与不辜负人民的期望是一样的。他告诫说，实施承诺的改革要快，时间拖得越长，挫折越大。",
"63. 我的特别顾问强调，释放政治犯仍是最重要的一步，可对政府的努力产生更大的信心，并指出这是进程内外所有民主和民族政治力量的主要要求。虽然当局继续否认政治犯的存在，我的特别顾问得知，总统正在考虑大赦问题，这是总统有权决定的。访问之后，5月16日宣布大赦，证实了这一点。",
"64. 关于政治进程，我的特别顾问敦促政府尽可能广泛地联系所有利益攸关方，包括在议会没有代表的各方。他指出联合国在其他过渡局势的经验表明，任何改革的成功，在很大程度上取决于全社会的支持力度。他重申，“路线图”走完后，新政府应当能够直面它的批评者，包括通过一个专门体制，促进基础广泛的对话。对此，政府对话者承认需要与广大社会接触，表示开放接受不同的观点和想法。然而，他们的立场是，议会已提供了一个合法、公平的环境，民选代表之间可以进行透明的辩论和谈判。外交部长强调，对于所有希望通过选举参与政治进程的人，大门仍然是敞开的。当局也认识到需要与民族武装团体谈判达成和平解决方案。关于昂山素季，政府对话者指出，她的释放是无条件的，并提到他们正等着看她如何对总统的改革议程作出反应。",
"65. 关于选举过程，我的特别顾问敦促当局从2010年选举的缺点总结经验教训，以提高未来任何投票的公信力。他指出，补选提供了第一个机会，以确保选举过程更加包容，更鼓励参与，更加透明。当局指出，议会已任命了一个新的选举委员会。",
"66. 关于人权问题，我的特别顾问敦促政府积极与联合国人权机制合作，包括与特别报告员合作，以消除不断有报告提到发生侵犯人权行为的忧虑，同时加强执政能力，包括培训、机构改革和法治。外交部长和内政部长都指出，缅甸普遍定期审查所得国际反应令人鼓舞，并申明政府正在落实审查提出的建议。",
"67. 关于人道主义和发展援助，我的特别顾问强调缅甸需要回应捐助界主动作出的表姿，要在亚太经社会、开发计划署和其他合作伙伴所作努力的基础上再接再厉。当局同意与联合国系统更加紧密地合作，包括在卫生、教育和能力建设等领域密切合作。与此同时，他们强调需要解决 “不公平待遇”方面三个具体关注问题：(a) 解除对缅甸的单方面制裁；(b) 增加发展援助；(c) 解除开发计划署国家方案的限制。",
"68. 我的特别顾问进一步指出，政府承诺改革是一个机会，可以加强缅甸和国际社会之间的相互了解，在缅甸提出于2014年担任东盟主席的背景下，这特别具有现实意义。他鼓励当局多与国际社会交往，更加公开和经常配合我的斡旋。为此，他代表我邀请外交部长到纽约会见秘书长之友小组，并再次提出在缅甸设置一个不显眼的政治存在，以支持我的斡旋任务。",
"69. 政府和联邦巩固与发展党的对话者强调，缅甸只是在政治过渡的开始，新的权力下放框架仍然正在组建过程中。虽然对各项建议不置可否，但他们强调政府决心加快转型过渡，实施改革。他们明确指出，缅甸有条不紊地走完路线图，希望得到更多的国际上的认可，他们强调时机已到，国际社会应重新考虑其做法，用更加建设性的方式对待缅甸。与此同时，他们认识到联合国和国际社会期望看到所有关键未决的关切问题都有进展。",
"70. 昂山素季指出，她和全国民主联盟不想采取消极的态度，但他们仍然非常谨慎，直到有证据证明已发生有意义的变化。根据她的评估，情况并没有发生深刻变化，因为政府只是象征式地而不是用行动去谋求合法性。她指出政府的所有三个部门都由同一政党控制，担心政府有可能排除异己，霸占政治空间。她着重指出，没有理由进一步拖延释放政治犯或实施早已逾期的改革。她说任何积极的事态发展都应对比未决的关切问题加以衡量，包括尚未邀请特别报告员回到缅甸来。她重申，如果政府作出真诚的努力，要与她和全国民主联盟交往，她愿意响应。",
"71. 昂山素季和全国民主联盟中央执行委员会的成员指出，对于正式解散他们的党，他们已用尽了法律上诉手段，但他们将寻求通过人权委员会维持它的存在。他们已表示赞同人权委员会关于缅甸的最新决议。他们表示，该党目前不准备派人在现有框架内参与选举。然而，他们对该党的社会网络和活动在扩大表示满意，并呼吁当局在这方面给予合作。昂山素季再次欢迎她能同联合国系统不断进行联系和互动，包括商讨影响到人道主义和发展活动的限制因素。她重申她对我的斡旋表示赞赏，并期望我的特别顾问将全力参与。",
"72. 大多数政党和民间社会组织对政府落实改革的能力持谨慎的“观望”态度，但对总统的议程表示欢迎，并告诫不应过早对新政府下判断。对他们来说，政府开放听取不同的意见，包括委任独立顾问听取意见，最有重大意义。他们一致认为，以前的制度基本上只有一个权力中心，现在选举为各方面的行为人、政党、机构和议程开启了新的政治空间，可以影响执政过程。他们表示决心为改革作出贡献。",
"73. 虽然各政党对议会程序有各种不同的经验，他们表示有了增强参与政治活动权能的感觉。大多数要求大赦政治犯，有的还呼吁欢迎缅甸海外人士回国。有人建议政府举行“联邦大会”，作为一个基础广泛的平台，以解决国家的挑战。几个民族政党认为权力下放是结束武装冲突的关键，同时强调迫切需要解决边境地区仍然面临的挑战。大多数表示他们的立场，认为社会经济问题已成为选民的优先议程，同时呼应政府的要求，呼吁提供更多的发展援助，并取消制裁。",
"74. 民间社会领导人对所谓的“新治理结构”表示欢迎，当局为建国事业订立基准，“变革推动者”有一个框架和空间可以进行工作。他们注意到改革可以使更多利益攸关方参与和解，认为他们可以起促进族裔社区和政府之间的关系的作用。他们指出，最近出现的积极变化，包括撤销某些地区的军事检查站；放宽对媒体的限制和审查；将发放进出口许可证权交给文职当局；颁发新的投资和环保法律；取缔贸易垄断；制订减贫战略；政府同商界和民间社会协商。",
"75. 6月27日至30日，作为我的特别顾问访问缅甸的后续行动，在召开第三次发展伙伴关系论坛之际，我的特别顾问办公室第一次有机会在内比都和仰光同国内各方面对话者，包括总统顾问和民间社会的代表，在工作层面进行接触。",
"76. 7月29日，我曾打电话与外交部长吴温纳貌伦通话。7月27日，我的特别顾问与昂山素季通了电话。打电话的目的是传达联合国的期望，希望在最近事态发展的基础上，按照改革议程的公布目标，加紧努力解决悬而未决的问题，其中包括释放政治犯，进行民族对话与和解。",
"四. 意见",
"77. 经过近50年的军人统治，最近的选举过了20年之后，由国家和平与发展委员带头倡导的路线图已经走完，现在呈现出新的机遇，可以推动更具包容性的国家对话和政治发展。和发会将权力移交给新政府，丹瑞大将辞职，昂山素季获释，缅甸出现了新的前景，可以走上进步的道路，并提高其在区域和全球的地位。缅甸经过长达数十年的冲突和政治僵局才有了这些发展，联合国认识到这些发展的意义。",
"78. 登盛总统宣布，缅甸现在要追赶不断变化的世界，没有时间可以浪费。缅甸继续面对着它已面临太久的同样挑战：缅甸的人权、政治、社会、经济和人道主义问题仍然是严重的、深层次的、长期存在的。因此，我欢迎登盛总统确认缅甸须进行广泛的政治和经济改革，欢迎他承诺以加强民族团结的方式进行改革。",
"79. 政府所公布的承诺看来比以往与缅甸人民的需要和希望有更紧密的共鸣，比以往更能紧密对应国际社会的关注和期望。我相信，这可以为进行更有效的合作，执行大会赋予我的任务目标提供基础。如果缅甸要改变它是一个危机不断的国家这种看法，如果缅甸要恢复其应有的地位，成为国际社会一个受尊重和负责任的成员，这就更为重要了。然而，真正的考验是政府及时履行承诺。联合国希望看到缅甸在这方面的努力取得成功。",
"80. 选举的确有缺陷，受控制，如果采纳联合国的建议，本可提高公信力，不过各政党和选民通过参与选举，表明他们愿意利用20年来政治空间打开的第一个窗口。尽管许多人对选举过程及其结果表示失望和沮丧，可是它使已被禁止或限制了将近五十年的合法政治活动得以恢复。在任何过渡局势中，恢复政治生活是谋求基础广泛的社会和解的先决条件。选举中出现了多种声音，多种行为人，多种议程，在表示缅甸政治环境的复杂性。",
"81. 对于昂山素季的释放，人们期待已久，踊跃支持，说明她的吸引力持续不断，她所代表的理想仍然是政治现实。我感到鼓舞的是，她和她的追随者已获准从事公共活动，包括会见来访的外国代表团和到仰光以外地区旅行。我希望他们将能继续不受任何限制地行使这种自由。昂山素季作为缅甸国内外一位重要人物，她的幸福和安康是国际社会所关注的。如对她的行动施加任何限制，或对她的安全造成威胁，都会引起严重关切，发出错误的信号。",
"82. 联合国和国际社会仍然深切关注继续拘留政治犯的问题。这是与政府的承诺以及与谋求更开放和尊重基本自由和法治所作的初步努力不一致的。这种做法对于促进社会和平与对话也起了反作用。拘押所有余下的政治犯将继续使政府所作的努力蒙上阴影，削弱人们对它的信心。最终，这将是缅甸的损失，因为缅甸需要全体人民的才智去打造更美好的未来。",
"83. 与一些武装民族群体持续出现紧张局势和发生武装冲突，同样值得关注。多年来都在努力履行停火协议，登盛总统又承诺继续打开“和平之门”，既然如此，所有各方亟需努力避免紧张局势升级，并通过谈判为未决的政治和安全关切问题谋求持久解决办法。这是更广大的民族和解进程的一部分。如果不这样做，不仅会影响有关族裔社区，还会拖改革的后腿，包括破坏了在新的政治结构内合法解决民族愿望的机会。缅甸经不起妨碍和平与团结的折腾，缅甸要稳定与发展，就必须要和平与团结。",
"84. 虽然现在评估缅甸政治变化的性质和程度还是为时尚早，不过各种变化是显而易见的。经过二十年封闭决策，这种转变能够而且应该启动一个更明智、更基础广泛、更透明和更能问责的进程，以指导任何治理改革和民主过渡。在这样的过程中，如要真正摆脱现状，军事和民事当局搞好关系最为重要。",
"85. 所有利益攸关方现在面对的问题是如何在当前的管治体制内利用各种机会推动民族和解。最近的事态发展能否带来更大的开放性和包容性，将取决于所有各方选择如何彼此合作。所有各方谋求和解，接受和解，符合国家利益。尽量利用可用的有限空间是至关重要的。归根到底，政府有责任接触所有政治力量，包括联系那些在议会中没有代表的政治力量，确保改革获得尽可能广泛的支持。鉴于当前的环境，我期待着加大力度，持续进行斡旋。",
"86. 新政府是否有能力，是否意愿，是否获得人民支持，以实现其改革议程，还有待观察。改革取得成功，对于国际社会，特别是对于区域各国和东盟国家，都有好处。促使当前的进程产生有助于国家稳定与发展的可信的过渡，是一项集体挑战。改革的承诺提供了一个让缅甸和国际社会更好地相互了解的机会。我随时准备与缅甸和感兴趣的利益攸关者，包括捐助者和发展伙伴，探讨国际社会和联合国系统如何能够为缅甸人民的利益，鼓励和支持有效的改革。",
"[1] ^(*) A/66/150。"
] | [
"Sixty-sixth session",
"Item 69 (c) of the provisional agenda*",
"* A/66/150.",
"Promotion and protection of human rights: human rights situations and reports of special rapporteurs and representatives",
"Situation of human rights in Myanmar",
"Report of the Secretary-General",
"Summary",
"The present report is submitted pursuant to paragraph 30 of General Assembly resolution 65/241 and covers the period from 26 August 2010 to 4 August 2011. During the reporting period, the remaining steps of the political road map led by the State Peace and Development Council were implemented, namely, the holding of general elections on 7 November 2010; the convening of the new Parliament in January 2011; and the transfer of power from the Council to the new Government on 30 March 2011. In the process, the Council was officially dissolved. On 13 November 2010, one week after the election, Daw Aung San Suu Kyi was released after seven years of house arrest.",
"I. Introduction",
"1. The present report is submitted pursuant to paragraph 30 of General Assembly resolution 65/241, in which the Assembly requested the Secretary-General to continue to provide his good offices and pursue his discussions on the situation of human rights, the transition to democracy and the national reconciliation process with the Government and people of Myanmar; to offer technical assistance to the Government in that regard; and to report to the Assembly at its sixty-sixth session, as well as to the Human Rights Council, on the progress made in the implementation of the resolution. The report covers the period from 26 August 2010 to 4 August 2011. Separate reports by the Special Rapporteur on the situation of human rights in Myanmar were issued in September 2010 (A/65/368) and in March 2011 (A/HRC/16/59).",
"2. During the reporting period, the remaining steps of the political road map led by the State Peace and Development Council were implemented, namely, general elections were held on 7 November 2010; the new Parliament was convened in January 2011; and the Council transferred power to the new Government of Myanmar, headed by President Thein Sein, on 30 March 2011. In the process, the Council was officially dissolved and the Chair of the Council, Senior General Than Shwe, and Vice-Chair, Vice-Senior General Maung Aye, officially resigned from their formal positions of power. On 13 November 2010, one week after the election, Daw Aung San Suu Kyi was released after seven years of house arrest.",
"3. During the same period, I met with then-Prime Minister Thein Sein in Hanoi in October 2010, on the margins of the third ASEAN-United Nations summit, and with former Minister for Foreign Affairs Nyan Win in New York in September 2010, on the margins of the sixty-fifth session of the General Assembly. I also spoke directly with Daw Aung San Suu Kyi immediately following her release. My Special Adviser, Vijay Nambiar, visited Myanmar twice at the invitation of the Government, on 27 and 28 November 2010, following the election and release of Daw Aung San Suu Kyi, and from 11 to 13 May 2011, following the establishment of the new Government.",
"4. During the reporting period, I remained continuously engaged with interested Member States, including by convening three meetings of the Group of Friends of the Secretary-General on Myanmar, in September and December 2010 and in June 2011. In addition to consultations in capitals, my Special Adviser briefed the President of the General Assembly, the Group of Friends and the Security Council on each of his visits to Myanmar. With the establishment of the new Government, my good offices continued in the context of renewed high-level bilateral engagement between Myanmar and key international stakeholders.",
"II. Key developments",
"Elections",
"5. By September 2010, 42 political parties had been registered with the Union Election Commission to participate in the elections scheduled for 7 November 2010, including 5 out of 10 existing parties that contested the 1990 election. On 14 September 2010, the Commission declared 10 parties “null and void” in accordance with election laws, including the National League for Democracy and four other existing parties, for not renewing their registration. The Commission issued canvassing guidelines for the remaining 37 parties.",
"6. Besides two establishment parties — the Union Solidarity and Development Party, headed by Prime Minister Thein Sein, and the National Unity Party — and two main opposition parties — the National Democratic Force and the Democratic Party — the majority of the parties were ethnic-denominated and represented a wide range of constituencies locally and nationally. Within the prescribed time frame, the organizational and financial capacity of the parties informed their canvassing strategies. Out of some 3,300 candidates, the Union Solidarity and Development Party and the National Unity Party fielded the largest number (1,100 and 990, respectively, across all constituencies), whereas other parties fielded much smaller numbers and only in some constituencies.",
"7. On 7 November, three elections were held simultaneously: for the People’s Assembly (lower house) and the Nationalities Assembly (upper house) of the Union Assembly, and for 14 state and regional legislatures. As in 1990, the elections were organized on a first-past-the-post basis. By 17 November, the ballot count was officially published. By 7 December, the Commission announced that voter turnout was 77 per cent of Myanmar’s 29 million eligible voters.",
"8. With 58 per cent of the total votes cast, the Union Solidarity and Development Party gained nearly 77 per cent (883 seats) of the total 1,154 elected seats in all assemblies, including 77 per cent (129 seats) in the Nationalities Assembly and 79 per cent (259 seats) in the People’s Assembly. With 25 per cent of the seats in each assembly reserved for the military (Tatmadaw), the Union Solidarity and Development Party and the military bloc held an overwhelming majority. The remaining seats in the national legislatures were divided among 16 political parties and independents, including the National Unity Party, National Democratic Force, Shan Nationalities Democratic Party, Rakhine National Progressive Party, All Mon Region Democracy Party and Chin Progressive Party.",
"9. In the 14 state and regional legislatures, ethnic parties fared relatively better than national opposition parties. While the Union Solidarity and Development Party won almost all elected seats in most central regions, in ethnic areas the party won sizeable blocs but had a majority only in Kayah State, with ethnic parties winning up to 30 per cent of seats in Chin and Rakhine States.",
"10. According to independent reports, polling day was generally peaceful and orderly despite irregularities. Indications are that most voters were able to cast their ballot freely and the counting in polling stations was held in most cases in front of party representatives and members of the public. At the same time, however, there were numerous reports of infringements, intimidation and coercion throughout the process. That added to concerns about the restrictive electoral framework that effectively excluded key stakeholders from the process and limited fundamental freedoms of expression, assembly and association, in addition to unequal access to State resources, media restrictions, lack of voter education, and significant constraints on candidates and parties to contest on a level playing field.",
"11. Some of the most serious concerns revolved around abuse of the advance voting process that appears to have swung final results away from opposition candidates to the Union Solidarity and Development Party during the vote counting. As a result, advance ballots are estimated to have represented up to 10 per cent of votes nationwide. While official sources claim that only 4 seats were affected, independent sources reported that advance votes may have changed the outcome for as many as 64 seats.",
"12. On 8 November, the Chair of ASEAN issued a statement welcoming the elections as a significant step forward in the implementation of Myanmar’s road map towards democracy, encouraging Myanmar to accelerate the process of national reconciliation and democratization, and to continue to work with ASEAN and the United Nations in that process.",
"13. On the same day, I issued a statement noting that the election was held in conditions that were insufficiently inclusive, participatory and transparent, and stressed the responsibility of the Myanmar authorities to turn the election into a new start for a credible political transition by releasing political prisoners and lifting restrictions on Daw Aung San Suu Kyi. I also urged that the process of forming new institutions of government be broad-based and inclusive, and called for dialogue among all stakeholders in that regard. I stressed that the international community was looking for greater assurances that the process under way would mark a genuine departure from the status quo.",
"14. In June and July of 2011, several political parties announced their intention to field candidates for parliamentary by-elections scheduled for November 2011. The Group of Democratic Party Friends, including the National Democratic Force and Shan Nationalities Democratic Party, announced plans to field candidates for 40 constituencies, while the Union Solidarity and Development Party announced it would contest all 45 constituencies. During the same period, applications were submitted for the registration of new political parties. On 20 July, the Election Commission permitted the registration of the People’s Democratic Party, bringing the total number of officially registered political parties to 38.",
"Release of Daw Aung San Suu Kyi",
"15. On 13 November 2010, Daw Aung San Suu Kyi was released from house arrest by executive order of the Chair of the State Peace and Development Council, Senior General Than Shwe. In a statement, I welcomed the release, noting that her dignity and courage in the face of injustice was an inspiration to many people around the world, and expressed deep regret that she had effectively been excluded from participating in the elections. I made clear that no further restrictions should be placed on her, and again urged the authorities to release all remaining political prisoners.",
"16. On 22 November, the Supreme Court in Nay Pyi Taw rejected an appeal lodged by the National League for Democracy against its dissolution pursuant to the announcement by the Election Commission.",
"Government formation",
"17. On 31 January, the first session of the Union Assembly was convened, bringing the 2008 Constitution into force. Former third-ranking member of the State Peace and Development Council, Shwe Mann, was elected as Speaker of the People’s Assembly, and former Minister for Culture, Khin Aung Myint, as Speaker of the Nationalities Assembly, in which position he also serves as Speaker of the Union Assembly. All speaker and deputy speaker positions went to the Union Solidarity and Development Party.",
"18. On 4 February, the Presidential Electoral College (comprising all members of the Union Assembly) elected former State Peace and Development Council Prime Minister, Thein Sein, as President, with former Council Secretary-1, Tin Aung Myint Oo, as first Vice-President, and prominent ethnic Shan figure, Mauk Kham, as second Vice-President. All three are elected representatives of the Union Solidarity and Development Party. Through a statement, I noted that the convening of Parliament and election of the Presidency represented an important opportunity for Myanmar to move away from the status quo.",
"19. On 30 March, the State Peace and Development Council was officially dissolved upon transferring power to the new Government. Senior General Than Shwe and Vice-Senior General Maung Aye officially retired from their formal positions. Through a statement, I took note of the transfer of power to the new Government, and stressed that the Myanmar authorities had an opportunity and an obligation to their people to demonstrate that this change would mark the beginning of a substantive and genuine move away from almost 50 years of direct military rule. I also urged the authorities to engage in a broadly inclusive dialogue on the necessary reforms for a credible and effective system of government.",
"20. Although nominally civilian, the new Government is dominated by recently retired military officers. Out of 30 ministers, there are 3 serving military officers appointed by the Commander-in-Chief to security portfolios; 10 ministers and 5 deputy ministers from the previous cabinet; 4 recently-retired senior military officers appointed to technical ministries; and 8 newly appointed technocrats, including 3 with a military background but also extensive experience in their portfolio, such as the Minister for Foreign Affairs, Wunna Maung Lwin.",
"21. New legislative and executive structures were also introduced in each of the seven regions and seven states. Within the states concerned, six self-administered areas were delineated for certain ethnic groups. All local chief ministers, appointed by the President, were from the Union Solidarity and Development Party, except in Kayin State, which is headed by a military legislator. Within local governments, ethnic opposition politicians were appointed to social and other portfolios. In June and July, local governments were reshuffled to realign ministerial portfolios at the central and local levels.",
"22. Changes within the military leadership included the new Commander-in-Chief, General Min Aung Hlaing. The abolition of army-controlled supra-ministerial policy committees and the introduction of local governments were among the changes reflecting a potential curtailment of the military’s role in governance, consistent with the Constitution. The military is not directly represented on the Financial Commission, which sets the military budget, although the Commander-in-Chief reportedly controls a “special fund” without public oversight.",
"23. During their first session, held from 31 January to 30 March, both the upper and lower houses dealt with nominations to key executive and judicial posts and with substantive questions and proposals. For the first time, Government ministers appeared before Parliament to answer questions. Parliamentary debates were reported in the official media, including on sensitive topics not openly discussed before, such as land tenure rights, censorship, compulsory military service legislation, civil service recruitment of ethnic minorities, ethnic minority language education, population relocations, the question of a ceasefire in Kayin State, the question of amnesty for Shan political prisoners, identification cards for Muslim residents of Northern Rakhine State and private sector monopolies.",
"24. In accordance with the Constitution, Parliament formed various committees, such as the Bill Committee, the Public Accounts Committee, the Rights Committee and the Government Guarantees, Pledges and Undertakings Vetting Committee. Opposition members make up one third of the membership of all of the committees, including as Chair of one committee, while the rest are from the Union Solidarity and Development Party. No military appointees were included. On 1 August, an official announcement was made that the second regular session of Parliament would be convened on 22 August 2011.",
"Reform agenda",
"25. In his inaugural speeches to Parliament on 30 March, to members of Government on 31 March, and to the Central Committee for Progress of Border Areas and National Races on 23 April, President Thein Sein outlined initial indicators of the new Government’s policy direction in key priority areas during his five-year term. It was the first time in recent history that the Government had set out a public policy agenda and assessment of many of the problems facing the country.",
"26. In a departure from previous official discourse, the President explicitly recognized that there were many individuals and unlawful organizations inside and outside the nation that did not accept the road map and the Constitution. The President stressed that without national unity, the country where more than 100 national races lived together, could not enjoy peace and stability, which was essential for building a developed nation. While warning against any actions taken outside the constitutional framework, he undertook to convince ethnic groups of the Government’s goodwill and to work together with “good-hearted political forces” for peace, stability and development, including by keeping the “peace door” open and welcoming those who held different views to stand for elections.",
"27. Other key policy themes and priorities on which the President promised reforms included the adoption of an open market economy, improvement of socio-economic conditions and reduction of gaps between rural and urban areas; the protection of social and economic rights; the development of infrastructure and the delivery of basic services, including in ethnic areas; the improvement of health and education standards; the protection of fundamental human rights and freedoms; respect for the rule of law and an independent and transparent judiciary; respect for the role of the media; good governance and public scrutiny of executive and legislative bodies; institutional capacity-building and human resource development; “clean”, responsible, accountable and inclusive government; and decentralization.",
"28. Specifically, the President announced a 10-point legislative reform agenda aimed at: ensuring the conformity of existing laws with the Constitution; safeguarding fundamental rights; increasing salaries of service personnel and pensions; safeguarding the rights of farmers; creating jobs and safeguarding labour rights; overhauling public health care and social security; raising education and health standards; amending journalism laws; promoting environmental conservation; and enhancing natural disaster response.",
"National dialogue and reconciliation",
"29. In a statement broadcast to the World Economic Forum in Davos, Switzerland on 28 January, Daw Aung San Suu Kyi underscored the need for national reconciliation, political stability and economic growth grounded in human resource development, as basic requirements of good governance. She called for investments in Myanmar to put a premium on respect for the law, environmental and social factors, labour rights and job creation. She called for economic policies linked to human development and capacity-building; innovation and diversification of investments in technology and infrastructure; entrepreneurial and microcredit opportunities to fight poverty; health prevention measures; environmentally and socially responsible development; and legal reform and the rule of law.",
"30. On 8 February, the National League for Democracy issued a review of sanctions against Myanmar, which concluded that economic conditions were not affected by sanctions to any notable degree; that the best way to remove sanctions would be to deal effectively with violations of human rights and the lack of democratic practices; and that, meanwhile, the economic hardships of the people would be ameliorated if foreign investments observed guidelines aimed at conserving the environment, protecting labour rights and promoting civil society. The party also called for discussions with concerned Member States to reach an agreement on when, how and under what circumstances sanctions might be modified, noting that a study by respected professionals on the effects of sanctions would be useful.",
"31. On 11 March, the Group of Democratic Party Friends, formed by the 10 largest democratic and ethnic political parties in Parliament, issued an open letter calling on the international community to recognize Myanmar’s political developments, including the creation of new political space, the transition to a new generation of leaders and the election of political parties. Noting that sanctions against Myanmar, while not the prime cause of poverty, hit labour-intensive sectors, prevented job creation and denied society the benefits of increased foreign investment, the Group called for the lifting of sanctions and for increased donor funding and assistance for governance and socio-economic reform through advice and cooperation in tourism, trade and investment.",
"32. On 27 March, the National League for Democracy issued a statement urging the authorities to create fair political conditions by releasing all political prisoners and engaging immediately in politically meaningful dialogue to eliminate misunderstandings between democratic forces and the Tatmadaw.",
"33. On 25 April, the National League for Democracy issued a statement welcoming the President’s commitment to the rule of law. Referring to individual cases contravening judicial principles, the statement called for further guidelines to be issued in order to establish the rule of law, including through due process and fair trial in the administration of justice.",
"34. On 16 May, it was announced that President Thein Sein had granted an amnesty on humanitarian grounds and out of consideration for the families of the inmates by commuting death sentences to life sentences, and commuting other prison terms by one year. As a result, more than 100 political prisoners, including 23 members of the National League for Democracy, were reported to have been released out of an estimated 2,000 political prisoners in detention.",
"35. In an open letter dated 20 May, the 10 political parties forming the Group of Democratic Party Friends welcomed the amnesty as a goodwill gesture, but stated that it fell too short to contribute meaningfully to national reconciliation, as it did not apply to political prisoners serving lengthy sentences. Noting that Myanmar’s transition under an elected Government required the building of trust among political forces as a crucial step to install democratic change, the Group called for the release of political prisoners and the return of exiled dissidents.",
"36. On 28 June, the Ministry of Home Affairs warned Daw Aung San Suu Kyi and the Chair of the National League for Democracy, Aung Shwe, that since the party had been officially dissolved, its activities were illegal and should stop as they could harm peace, stability and the rule of law and could create more difficulties for national reconciliation. The Ministry informed that, in order to engage in social affairs, an application should be made to form a social organization. State media similarly warned the party to stop its activities in order to avert unnecessary consequences, noting that its leaders had the right to form a political party and should try to stand for elections as a legal party. It also warned of security concerns around any planned visits by Daw Aung San Suu Kyi outside Yangon, but noted that she would not be restricted from travelling.",
"37. On 29 June, the National League for Democracy publicly responded that it remained a legally registered political party that did not infringe the 2008 Constitution and that it therefore could neither dissolve nor accept court rejections of its appeals on the matter. Out of common interest in national reconciliation, the party requested a meeting with the Minister for Home Affairs to discuss the establishment of the rule of law.",
"38. From 4 to 7 July, Daw Aun San Suu Kyi travelled without incident to Bagan and surrounding areas on a four-day private trip in what was the first time she had travelled outside Yangon since the Depayin incident of May 2003.",
"39. In an encouraging development, on 19 July, at the Government’s invitation, Daw Aung San Suu Kyi attended for the first time in nine years official ceremonies on the occasion of “Martyrs Day” in Yangon. Separately, she and the National League for Democracy led the largest public march since the demonstrations that took place in 2007. The party reiterated its commitment to solving political problems through political means and called upon the authorities to create fair political conditions through meaningful dialogue and the release of political prisoners.",
"40. On 25 July, a meeting was held at the invitation of the Government between the Minister for Social Welfare, Aung Kyi, and Daw Aung San Suu Kyi, marking the first talks between her and the Government since her release. In a joint statement, both said that the meeting was positive, expressed satisfaction with the results and agreed to meet again at an appropriate time. They discussed possibilities for cooperation for the benefit of the people, including matters relating to the rule of law and the eradication of misunderstandings. Through a statement, I welcomed and encouraged the efforts to build mutual understanding through genuine dialogue. I further reiterated my call for the Government to consider early action for the release of political prisoners.",
"41. During the reporting period, tensions continued with both ceasefire and non‑ceasefire armed ethnic groups, including Kachin, Karen, Shan and Wa forces. The most serious tensions involved armed clashes starting on 9 June in Kachin and Northern Shan states between the Tatmadaw and the Kachin Independence Army, with the risk of an escalation into large-scale violence and open fighting for the first time since the signing of a ceasefire agreement in 1994. The conflict reportedly resulted in casualties on both sides, as well as human rights violations, displacement of civilian population and the destruction of infrastructure.",
"42. On 24 June, the Speaker of the People’s Assembly reported that skirmishes between the Tatmadaw and the Kachin Independence Army had caused panic locally and nationally, but that coordinated efforts had made it possible to bring the situation under control and, as a result, peace and stability in the region had been almost fully restored. Since the outbreak of fighting, several rounds of negotiations were reported to have been held, involving central and local authorities and representatives of the Union Solidarity and Development Party, the Kachin Independence Army and the Kachin Independence Organization. In an open letter dated 28 July, Daw Aung San Suu Kyi called for any tensions involving armed ethnic groups to be resolved through political negotiations in the interest of national unity and expressed her support for ongoing efforts to that end.",
"43. Since 21 June, the Office of the United Nations Resident Coordinator has met with representatives of the Ministry of Social Welfare, Relief and Resettlement to express concern about the humanitarian situation in Kachin State, especially for civilians, to request and share information on reported population displacements and other concerns, to request access to perform humanitarian assessments and deliver assistance, and to discuss humanitarian corridors and safe passage options.",
"Human rights mechanisms",
"44. On 27 January 2011, Myanmar underwent its first universal periodic review by the Human Rights Council. Out of 180 recommendations made during the course of the review, Myanmar rejected 70, accepted 64 and agreed to study a further 46.",
"45. On 7 March, the Special Rapporteur submitted his fourth report (A/HRC/16/59) to the Human Rights Council. On 25 March, the Council adopted resolution 16/24, in which, inter alia, the Council expressed regret that no visit of the Special Rapporteur had been allowed since February 2010 and extended his mandate by one year. The Council also expressed its strong support for the good offices mission, and called on the Government to ensure full cooperation with my Special Adviser and the Special Rapporteur. On 22 July, the Special Rapporteur was invited to visit Myanmar in August.",
"46. On 1 and 2 July, for the first time in six years, the International Committee of the Red Cross was permitted to resume visits to inspect prison conditions in three different localities.",
"Socio-economic development",
"47. On 27 June, the Government and the Economic and Social Commission for Asia and the Pacific (ESCAP) jointly organized the Third Development Partnership Forum in Nay Pyi Taw. Opened by Vice-President Mauk Kham and co-chaired by the Executive Secretary of ESCAP and the Minister for National Planning and Economic Development, the broad-based conference focused on policies for reviving Myanmar’s rice economy as the most critical part of the agricultural sector, affecting 70 per cent of the population. Government policymakers engaged in dialogue with representatives of civil society, the private sector and local and international experts. Proposals were recommended for consolidation by the Government as action plans. The Forum built on the Second Development Partnership Forum, held in 2009, and on a national workshop on poverty alleviation and rural development, held in May 2010. The Executive Secretary of ESCAP met with Daw Aung San Suu Kyi at the conclusion of the Forum.",
"III. Content and outcome of discussions",
"48. In a meeting with the Ministers for Foreign Affairs of ASEAN, held in New York on 24 September, I emphasized the critical need for free, fair and inclusive elections in order to advance stability and development in Myanmar. I stressed that failure to meet those expectations could undermine the credibility of the process, which could reflect on the collective values and principles of ASEAN. I called on ASEAN member States to encourage Myanmar to engage more closely with my good offices.",
"49. In my meeting with former Minister for Foreign Affairs Nyan Win in New York on 26 September, I stressed that it was not too late for the Government to make goodwill gestures to enhance the credibility of the elections, including by allowing Daw Aung San Suu Kyi the right to vote and by releasing as many political prisoners as possible. The Minister suggested that the political situation would be totally changed after the elections. I stressed the need for the Government and its successor to continue to engage actively with my good offices and Special Adviser.",
"50. At the third ASEAN-United Nations summit in Hanoi on 29 October, I briefed ASEAN leaders on my good offices, stressing the need for a credible democratic transition and national reconciliation, including free, fair and inclusive elections. In my bilateral meeting with Prime Minister Thein Sein on 30 October, I stated that the United Nations and the international community were not satisfied with arrangements for elections and reiterated my call for release of political detainees, including Daw Aung San Suu Kyi, prior to elections. In addition to a credible ballot, I stressed the importance of transparent election results and an inclusive process of government formation. The Prime Minister confirmed that Senior General Than Shwe and Vice-Senior General Maung Aye would not contest the elections. He indicated that amnesties would continue to be granted. Stressing that the new Government would continue to cooperate with my good offices, he called for closer international engagement with Myanmar in the socio-economic and political fields.",
"51. In my telephone discussion with Daw Aung San Suu Kyi on 18 November, we agreed on the need for all political prisoners to be released as a matter of priority. I told Daw Aung San Suu Kyi that I was encouraged by the spirit of reconciliation from her statements and appeals for dialogue and compromise following her release, and that I would continue to encourage all parties to work together in the national interest. Daw Aung San Suu Kyi expressed her appreciation for the important role of the United Nations in Myanmar, and for my continuous efforts on her behalf. She expressed support for an early visit by my Special Adviser and her desire to engage closely. I reiterated my commitment to continue to uphold the cause of human rights, peace and democracy in Myanmar.",
"52. From 27 to 28 November, my Special Adviser visited Myanmar at the invitation of the Government. This marked the first direct engagement in Myanmar with my good offices since my visit in July 2009. For the first time, the United Nations had more flexibility to organize its programme. My Special Adviser met with the former Minister for Foreign Affairs, Nyan Win, senior officials from the Ministries of Planning and Border Affairs, the Election Commission, and the Union Solidarity and Development Party Secretary General, Htay Oo. For the first time, my Special Adviser met Daw Aung San Suu Kyi and members of the Central Executive Committee of the National League for Democracy at her residence. He also met on United Nations premises with representatives of the political parties that had won seats in the elections and with civil society leaders.",
"53. In response to the concerns corroborated by the political parties and civil society regarding the elections, the Government and the Election Commission noted that no official complaints had been filed and that electoral laws had included procedures for filing such complaints. They stressed that there was no ban on the registration of new political parties. Irrespective of formal complaints, my Special Adviser underlined that failure to address electoral concerns quickly and transparently would leave the credibility of the process in doubt. He also stressed the need to establish good electoral practice, starting with by-elections.",
"54. With regard to the broader political process, my Special Adviser emphasized that the political forces that had decided not to participate in the election should not be excluded from dialogue if any transition were to succeed, stressing that they would continue to form a critical part of the political landscape. With the elections over, he emphasized that the case for dialogue and reconciliation was even stronger than before and that the authorities should be in a better position to reach out to their critics. Interlocutors all accepted the need for continued efforts at national reconciliation but differed in their expectations and on the way forward.",
"55. Government interlocutors, as well as the Union Solidarity and Development Party and the National Unity Party, expressed confidence in the continued implementation of the road map, stressing that all parties had the opportunity to participate in the elections and that national reconciliation should continue to unfold within the established framework of the Constitution. They called on the international community to recognize the progress made in that context, including through the removal of sanctions. Although the authorities remained non-committal, they did not reject outright calls for dialogue, an inclusive process of government formation, and the release of political prisoners.",
"56. Daw Aung San Suu Kyi expressed her determination to continue to work for national reconciliation based on dialogue, noting that a parody of democracy was worse than an outright dictatorship. She expressed her desire to listen to various views in order to form a more complete picture of the post-election situation. She made clear her readiness to respond to meaningful efforts by the authorities to engage with her and the National League for Democracy. She did not elaborate on her position regarding sanctions beyond stating the need for a detailed assessment of their impact. She conveyed her expectation that my good offices and the Special Adviser be fully engaged in promoting political dialogue, human rights and the rule of law. She also indicated her interest in engaging closely with the United Nations Development Programme (UNDP) and other partners.",
"57. Despite their disappointment and frustration with the election, representatives of democratic and ethnic political parties viewed their toehold in the process as a legitimate platform from which to build on the gains they had made by maximizing what they described as “new political space” within the new constitutional framework. While conscious of the challenges they would continue to face given their limited representation, they pointed to potential cooperation and engagement among themselves and with others, including the Union Solidarity and Development Party.",
"58. All interlocutors stressed the need to address the development and humanitarian needs of the country and their expectation of an increased role for the United Nations in that regard. According to the authorities and Union Solidarity and Development Party, Myanmar needed to develop economically in order to ensure stability and democratic practices. The former Minister for Foreign Affairs reiterated Myanmar’s commitment to cooperate with the United Nations at the technical and policy levels and called for greater donor assistance. Stressing that Myanmar was the only country where UNDP did not operate a normal country programme owing to restrictions imposed by its Executive Board, the Government explicitly called for the lifting of such restrictions. It gave assurances to resolve access and timely visa issuance for United Nations agencies.",
"59. Daw Aung San Suu Kyi welcomed her ongoing contact and interaction with the United Nations Resident Coordinator and expressed her commitment to work with the United Nations system, including on policy and operational constraints affecting humanitarian and developments activities. Consistent with their campaign platforms, most political parties identified socio-economic questions as priority agendas to address the needs of their constituencies. Civil society leaders made a strong case for all stakeholders to shift from political confrontation towards improving the country’s political economy. In their view, the experience of civil society since Cyclone Nargis in 2008 showed that progress often took place via constructive engagement within existing frameworks. They stressed the need for a more nuanced understanding of existing opportunities to address the country’s problems as part of a broader agenda of liberalization. Similarly, independent experts saw new opportunities for addressing issues of economic management as essential to any democratic transition, including a more transparent legislative and budgetary process.",
"60. Prior to returning to Myanmar, my Special Adviser met in Jakarta on 10 May with Minister for Foreign Affairs of the Government of Indonesia and Chair of ASEAN, Marty Natalegawa, to discuss the outcome of the 18th ASEAN summit, held there on 7 and 8 May, at which a proposal for Myanmar to assume the ASEAN Chair in 2014 had been considered. My Special Adviser was informed that a formal decision on the proposal had been deferred to the 19th ASEAN summit, scheduled to be held on 17 and 18 November 2011, pending a planned visit by the Chair of ASEAN to Myanmar.",
"61. From 11 to 13 May, my Special Adviser visited Myanmar again at the invitation of the new Government for the first time since its installation. In Nay Pyi Taw, he was received by the Minister for Foreign Affairs, Wunna Maung Lwin, and met the Ministers for Home Affairs, Social Welfare, and National Planning and Development, as well as senior officials from the Ministries of Commerce, Health and Education. He met with newly appointed presidential advisers for political, legal and economic affairs. He was also received by the Deputy Speaker of the People’s Assembly, and by the Secretary-General of the Union Solidarity and Development Party. In Yangon, he met again with Daw Aung San Suu Kyi and members of the Central Executive Committee of the National League for Democracy , as well as representatives of opposition and ethnic political parties in Parliament and civil society. He also visited Bago to meet with Chief Minister and former Minister for Foreign Affairs, Nyan Win.",
"62. In all of his meetings, my Special Adviser emphasized the importance for the new Government to be proactive in taking concrete steps to implement the reforms announced by President Thein Sein. He stressed that gaining domestic and international confidence that Myanmar was changing would be as much a factor of leadership and policies as delivering on people’s expectations. He cautioned that the longer it took to implement promised reforms, the greater the frustration.",
"63. My Special Adviser emphasized that the release of political prisoners remained the single most important step that could generate greater confidence in the Government’s efforts, noting that it was a key demand of all democratic and ethnic political forces inside and outside the process. Although the authorities continued to deny the existence of political prisoners, my Special Adviser received indications that the question of amnesty was under consideration as a matter falling within the powers of the President to decide. This was confirmed by the amnesty announced on 16 May following the visit.",
"64. With regard to the political process, my Special Adviser urged the Government to reach out as broadly as possible to all stakeholders, including those not represented in Parliament. He pointed to the experience of the United Nations in other transitional contexts, which showed that the success of any reform depended in large part on the degree of support across society. He reiterated that with the completion of the road map, the new Government should be in a position to engage with its critics, including through a dedicated capacity to promote broad-based dialogue. In response, Government interlocutors recognized the need for greater outreach with society at large, expressing openness to different viewpoints and ideas. Their position, however, was that Parliament offered a legitimate level playing field for transparent debate and negotiation among elected representatives. The Minister for Foreign Affairs stressed that the door remained open for all those wishing to participate in the political process through elections. The authorities also recognized the necessity to work out peaceful solutions with armed ethnic groups. With reference to Daw Aung San Suu Kyi, Government interlocutors pointed to the fact that her release was unconditional and suggested that they were waiting to see how she would respond to the President’s reform agenda.",
"65. With regard to the electoral process, my Special Adviser urged the authorities to learn lessons from the shortcomings of the 2010 elections in order to enhance the credibility of any future ballots. He noted that the by-elections presented a first opportunity to ensure a more inclusive, participatory and transparent process. The authorities pointed to the fact that Parliament had appointed a new Electoral Commission.",
"66. With regard to human rights, my Special Adviser urged the Government to cooperate actively with United Nations human rights mechanisms, including the Special Rapporteur, in order to address outstanding concerns about ongoing reports of human rights violations as well as to strengthen governance capacity, including training, institutional reform, and the rule of law. The Ministers for Foreign and Home Affairs both noted that the international response to Myanmar’s universal periodic review was encouraging, and gave assurances that the Government was in the process of implementing recommendations made as part of the review.",
"67. With regard to humanitarian and development assistance, my Special Adviser stressed the need for Myanmar to respond to overtures by the donor community and to build on the efforts of ESCAP, UNDP and other partners. The authorities agreed to collaborate more closely with the United Nations system, including in the areas of health, education and capacity-building. At the same time, they stressed the need to address three specific concerns regarding “unfair treatment” by: (a) lifting unilateral sanctions against Myanmar; (b) increasing development assistance; and (c) lifting restrictions on the UNDP country programme.",
"68. My Special Adviser further observed that the Government’s commitment to reform offered an opportunity for enhancing mutual understanding between Myanmar and the international community, which was particularly relevant in the context of Myanmar’s proposal to assume the Chair of ASEAN in 2014. He encouraged the authorities to reach out to the international community and to engage more openly and regularly with my good offices. To that end, he extended on my behalf an invitation to the Minister for Foreign Affairs to meet with the Group of Friends in New York and renewed an offer to have a discreet political presence in Myanmar in support of the good offices mission.",
"69. Interlocutors from the Government and the Union Solidarity and Development Party emphasized that Myanmar was only at the beginning of its political transition and that its new decentralized framework was still in the process of being organized. While non-committal to any suggestions, they stressed the Government’s determination to accelerate the transition and implement reforms. They made clear their expectation of greater international recognition for having completed the road map in an orderly manner, stressing that the time had come for the international community to reconsider its approach towards Myanmar in a more constructive way. At the same time, they recognized the expectations of the United Nations and the international community to see forward movement on key outstanding concerns.",
"70. Daw Aung San Suu Kyi stated that she and the National League for Democracy did not want to take a negative attitude, but that they remained extremely cautious until there was evidence of meaningful change. In her assessment, the situation had not changed profoundly because the Government was driving for legitimacy through symbols rather than actions. Noting that all three branches of the Government were controlled by the same political party, she expressed concern at the Government’s propensity to fill the political space to the exclusion of others. She stressed that there was no reason for further delaying the release of political prisoners or implementing overdue reforms. She observed that any positive developments should be measured against outstanding concerns, including the fact that the Special Rapporteur had not yet been invited back to Myanmar. She reiterated her readiness to respond to any genuine effort by the Government to engage with her and the National League for Democracy.",
"71. Daw Aung San Suu Kyi and members of the Central Executive Committee of the National League for Democracy noted that they had exhausted legal appeals against the official dissolution of their party, but that they would seek to maintain its existence through the Human Rights Council. They registered their endorsement of the latest resolution of the Human Rights Council on Myanmar. They indicated that the party was not currently prepared to endorse participation in elections within the existing framework. They expressed satisfaction, however, at the expansion of the party’s social network and activities, and called for cooperation from the authorities in that regard. Daw Aung San Suu Kyi again welcomed her ongoing contact and interaction with the United Nations system, including on the restrictions affecting humanitarian and development activities. She reiterated her appreciation for my good offices and her expectation that my Special Adviser would be fully engaged.",
"72. Most political parties and civil society organizations took a cautious “wait and see” attitude towards the Government’s capacity to deliver reforms, but welcomed the President’s agenda and cautioned that the new Government should not be judged too soon. Of greatest significance to them was the Government’s openness to hear different opinions, including through the appointment of independent advisers. They shared the view that, whereas the previous system essentially had one focal point of power, the elections had opened new political space for multiple actors, parties, institutions and agendas to influence governance. They expressed their determination to contribute to reforms.",
"73. While political parties shared mixed experiences of parliamentary procedures, they expressed a sense of empowerment to engage in political activity. Most called for amnesty for political prisoners, with some also calling for Myanmar’s expatriate community to be welcomed back. Some suggested that the Government organize a “union convention” as a broad-based platform for addressing national challenges. Several ethnic parties saw decentralization as key to ending armed conflict, while stressing the urgent need to tackle outstanding challenges in border areas. Most registered their position that socio-economic issues had become priority agendas for the electorate, echoing the Government’s calls for greater development assistance and the lifting of sanctions.",
"74. Civil society leaders welcomed what they described as “new governance”, whereby authorities set benchmarks for state-building, and “agents of change” had a framework and space to work in. Noting that reforms could enable more stakeholders to partake in reconciliation, they saw their role as facilitating relations between communities and the Government. They pointed to recent positive changes, including the lifting of military checkpoints in some areas; the relaxation of media restrictions and censorship; the transfer of import-export licensing to civilian authority; new investment and environmental laws; the abolition of trade monopolies; the development of a poverty-reduction strategy; and Government consultations with business and civil society.",
"75. From 27 to 30 June, as a follow-up to my Special Adviser’s visit and on the margins of the Third Development Partnership Forum, the Office of my Special Adviser for the first time had the opportunity to engage at the working level with a range of domestic interlocutors in Nay Pyi Taw and Yangon, including presidential advisers and civil society representatives.",
"76. On 29 July, I spoke by telephone with the Minister for Foreign Affairs, Wunna Maung Lwin. On 27 July, my Special Adviser spoke by telephone with Daw Aung San Suu Kyi. The calls were intended to convey the expectations of the United Nations that, in building on recent developments, efforts should be intensified in order to address outstanding issues, including the release of political prisoners, national dialogue and reconciliation, consistent with the stated objectives of the reform agenda.",
"IV. Observations",
"77. After almost 50 years of military rule, and 20 years after the most recent elections, the completion of the road map spearheaded by the State Peace and Development Council affords new opportunities for a more inclusive national discourse and political development. The transfer of power from the Council to the new Government, the resignation of Senior General Than Shwe and the release of Daw Aung San Suu Kyi offer new prospects for Myanmar to embark on the path of progress and improve its standing regionally and globally. Against the backdrop of a decades-long conflict and political deadlock, the United Nations recognizes the significance of such developments.",
"78. President Thein Sein declared that the time had come for Myanmar to catch up with the changing world and that there was no time to waste. Myanmar continues to face the same challenges it has faced for too long: the country’s human rights, political, social, economic and humanitarian problems remain serious, deep-seated and long-standing. I therefore welcome President Thein Sein’s recognition of the need for Myanmar to undertake wide-ranging political and economic reforms, and his commitment to do so in a way that would strengthen national unity.",
"79. The Government’s stated commitments appear to resonate more closely with the needs and hopes of the people of Myanmar and correspond more closely to the concerns and expectations of the international community than in the past. I believe that this can provide the basis for more effective cooperation in implementing the objectives of the mandate entrusted to me by the General Assembly. That is all the more important if Myanmar is to overcome perceptions of it as a country in perpetual crisis and to resume its rightful place as a respected and responsible member of the international community. The real test, however, lies in the timely implementation of the Government’s commitments. The United Nations would like to see Myanmar succeed in that endeavour.",
"80. Despite the flawed and controlled nature of the elections, the credibility of which could have been enhanced had the suggestions of the United Nations been taken, the participation of the political parties and voters signalled their readiness to take advantage of the first window of political space in 20 years. Notwithstanding the disappointment and frustration of many at the process and its outcome, it allowed for a resumption of legal political activity, which had been either banned or restricted for almost five decades. In any transitional context, the resumption of political life is a prerequisite for broad-based societal reconciliation. The multiplicity of voices and plurality of actors and agendas that have emerged are indicative of the complexity of the political environment in Myanmar.",
"81. As shown by the outpouring of support upon her long-awaited release, the enduring appeal of Daw Aung San Suu Kyi and the ideals she represents remain a political reality. I am encouraged that she and her followers have been allowed to engage in public activities, including meeting visiting foreign delegations and travel outside Yangon. I expect that they will continue to be able to exercise such freedoms without restrictions. Daw Aung San Suu Kyi stands as an important figure within and beyond Myanmar, and her welfare and well-being are the subject of international attention. Any restrictions on her movements or threats to her security would cause serious concern and send the wrong signal.",
"82. The continued detention of political prisoners remains of deepest concern to the United Nations and the international community. It is inconsistent with the Government’s commitments and initial efforts towards greater openness and respect for fundamental freedoms and the rule of law. It is also counterproductive to fostering social peace and dialogue. The detention of all remaining political prisoners will continue to overshadow and undermine any confidence in the Government’s efforts. Ultimately, it would be a loss for Myanmar, since the country needs the talent of all of its people to build a better future.",
"83. Of equal concern are ongoing tensions and armed conflict with some armed ethnic groups. In line with the efforts over the years to uphold ceasefire agreements and with President Thein Sein’s commitment to keep the “peace door” open, urgent efforts are needed by all sides to avoid the escalation of tensions and to negotiate durable solutions to outstanding political and security concerns as part of a broader national reconciliation process. Failure to do so would not only affect the communities concerned, but could also hold back the process of reform, including prospects for ethnic aspirations to be legitimately addressed within the new political structures. Myanmar cannot afford for there to be impediments to the peace and unity that are needed for its stability and development.",
"84. While it would be premature to assess the nature and extent of political change in Myanmar, various shifts are apparent. After two decades of closed policymaking, such shifts can and should allow for more informed, broad-based, transparent and accountable processes to guide any governance reform and democratic transition. In such processes, the relationship between military and civilian authorities will be central to any genuine departure from the status quo.",
"85. The question for all stakeholders is how to use opportunities within the current dispensation to advance national reconciliation. Whether recent developments can lead to greater openness and inclusiveness will depend on how all parties choose to work with each other. It is in the national interest that all extend and accept conciliatory engagement. Maximizing the limited space available is critical. Ultimately, the Government has a responsibility to ensure the broadest possible support for reforms by reaching out to all political forces, including those not represented in Parliament. In the light of the current environment, I look forward to intensifying the engagement of my good offices on an ongoing basis.",
"86. Whether the new Government has the capacity, willingness and support to deliver on its reform agenda remains to be seen. The international community, particularly regional and ASEAN countries, have a stake in the success of reform. The collective challenge is to enable the current process to result in a credible transition that can contribute to the country’s stability and development. The promise of reforms offers a chance for better mutual understanding between Myanmar and the international community. I stand ready to explore with Myanmar and interested stakeholders, including donors and development partners, how the international community and the United Nations system may be able to encourage and support effective reforms in the interest of the people of Myanmar."
] | A_66_267 | [
"Sixty-sixth session",
"Item 69 (c) of the provisional agenda",
"Promotion and protection of human rights: human rights situations and reports of special rapporteurs and representatives",
"Situation of human rights in Myanmar",
"Report of the Secretary-General",
"Summary",
"The present report is submitted pursuant to paragraph 30 of General Assembly resolution 63/241, covering the period from 26 August 2010 to 4 August 2011. During the reporting period, the remaining steps of the political road map led by the National Commission for Peace and Development had been implemented, namely, the holding of a general election on 7 November 2010; the convening of a new Parliament in January 2011; and the transfer of authority by the Commission to the new Government on 30 March 2011. In the process of transfer of authority, the Conference was formally disbanded. One week after the general elections, Aung San Suu Kyi, was released on 13 November 2010.",
"Introduction",
"The present report is submitted pursuant to paragraph 30 of General Assembly resolution 63/241, in which the Assembly requested the Secretary-General to continue his good offices and to continue to discuss the situation of human rights, democratic transition and national reconciliation processes with the Government and people of Myanmar and to provide technical assistance to the Government of Myanmar for that purpose; and to report to the Assembly at its sixty-sixth session and the Human Rights Council on progress made in the implementation of the resolution. The present report covers 26 August 2010 to 4 August 2011. The Special Rapporteur also issued a separate report on the situation of human rights in Myanmar: September 2010 (A/65/368) and March 2011 (A/HRC/16/59).",
"During the reporting period, the remainder of the political road map, led by the National Commission for Peace and Development, was implemented, namely, the holding of a general election on 7 November 2010; the convening of a new Parliament in January 2011; and the transfer of authority by the Conference on 30 March 2011 to a new Government headed by President Ndenin. In the process of transfer of authority, the Conference was formally disbanded. The President and the President of the Conference will be resigned in a formal manner and the Vice-President of Studio. One week after the general elections, Aung San Suu Kyi, was released on 13 November 2010.",
"During the same period, in October 2010, I met in Hanoi during the Third ASEAN-United Nations Summit, when I met with the then Prime Minister U.S., and in New York in September 2010, with former Foreign Minister Uwin, to meet outside the sixty-fifth session of the General Assembly. After the release of Aung San Suu Kyi, I also immediately talked directly to her. My Special Adviser, Vijay Southbiser, was invited to visit the Government of Myanmar twice and, for the first time, on 27 and 28 November 2010, after the end of the elections and the release of Aung San Suu Kyi, the second from 11 to 13 May 2011, following the establishment of the new Government.",
"During the reporting period, I continued to engage with interested Member States to hold three successive meetings of the Group of Friends of the Secretary-General on Myanmar in September and December 2010 and in June 2011. In addition to consultations with the capitals, my Special Adviser briefed the President of the General Assembly, the Group of Friends of the Secretary-General and the Council on his visit to Myanmar. Following the establishment of the new Government, my good offices continued and renewed high-level bilateral contacts between Myanmar and key international stakeholders.",
"Major developments",
"Elections",
"As of September 2010, 42 political parties were registered in the Federal Electoral Commission and participated in the elections scheduled for 7 November 2010, including 10 existing political parties that had been elected in 1990. On 14 September 2010, the Commission declared 10 political parties “effective” in accordance with the electoral law, including the National League for Democracy and four other existing political parties, without re-registration. The Committee issued guidelines for a number of the remaining 37 political parties.",
"In addition to the two major political parties, the Federal Party for Consolidation and Development, the National Solidarity Party, and the two main opposition parties (the National Forces for Democracy, the Democratic People's Republic of Korea), headed by the Prime Minister Uzhon, have national contexts and represent a wide range of local and national constituencies. In the prescribed time frame, the organizations and financial institutions of political parties reported on their tactics of vote. Among the 3,300 candidates, the Federal Party for Consolidation and Development and the National Solidarity Party have the largest number of candidates (1,100 and 990, respectively, distributed in all constituencies), while other political parties are much less represented and only contested in a number of constituencies.",
"On 7 November, three elections were held in parallel: the People's Council of the Federal Parliament (the House) and the National Council (the House), and 14 State and regional councils. As in 1990, the election took the majority of the votes elected. The vote was officially published on 17 November. On 7 December, the Committee announced that there were 229 million eligible voters in Myanmar and that the voting rate was 77%.",
"The Federal Party for Consolidation and Development has received 58 per cent of the total number of votes won about 7 per cent of the 1,154 elected seats in all parliaments (883 seats), including 77% (129 seats) and 79 per cent of the People's Council (259 seats). Together with 25 per cent of seats reserved by each Parliament for the military (Myanmar), the Federal Party for Consolidation and Development, together with the military group, constituted an overwhelming majority. The remaining seats in the National Assembly were allocated to 16 political parties and independent individuals, including the National Solidarity Party, the National Democratic Party, the Shan National Party for Democratic Institutions, the Johan National Progress Party, the Party for the Democratic Party of the State of Mumbai and the Party for Progress.",
"In 14 State and district councils, national political parties are relatively good than the national opposition parties. Although the Federal Party for Consolidation and Development won almost all the elected seats in most central areas, in the national area, the party won a considerable number of plots, which won a majority than non-national political parties in Kay State alone, the national political parties earned up to 30 per cent of seats in Chin State and in Rakhine.",
"According to independent reports, the polling day was generally peaceful and orderly, despite violations. There are indications that most voters are able to vote freely and that the majority of the polling stations are held before party representatives and the public. It was also reported, however, that violations, intimidation and coercion occurred throughout the process. In addition, it was also concerned that the restrictive electoral framework effectively excludes key stakeholders from the process and that basic freedom of expression, assembly and association is restricted, as well as unequal access to national resources, restrictions on the media, lack of voter education, and significant constraints prevent candidates and political parties from fair election.",
"The most serious concern is that the early voting process has been pushed into hand and appears that the final outcome at the time of the point of order has been reversed as a victory for the Federal Party for the consolidation and development of opposition candidates. The vote was estimated at 10 per cent of the national ballot. Although the official claims that only four seats are affected, according to reports from independent sources, early ballots may change the result of up to 64 seats.",
"On 8 November, the ASEAN President made a statement welcoming the election as an important step in the implementation of the Myanmar democratic road map and encouraging Myanmar to accelerate the process of national reconciliation and democratization and to continue to cooperate with ASEAN and the United Nations in that process.",
"On the same day, I made a statement stating that the elections took place in an inclusive, less participatory and transparent manner, and stressed the responsibility of the Myanmar authorities to transform the elections into a new beginning, to pursue a credible political transition, to release political prisoners and to lift restrictions on Aung San Suu Kyi. I also urge that the process of setting up a new government institution be based on broad and inclusiveness and call on all stakeholders to engage in dialogue in this regard. I emphasize that the international community wishes to receive greater assurances to ensure that the process is a real beginning to change the status quo.",
"In June and July 2011, several political parties announced their intention to send candidates for parliamentary elections scheduled for November 2011. The Friends of the Democratic Party, including the National Party for Democracy and the Shan National Party for Democracy, announced the election of candidates in 40 constituencies, while the Federal Party for consolidation and development announced that they would be elected in all 45 constituencies. During the same period, new political parties submitted registration requests. On 20 July, the Electoral Commission allowed the People's Democratic Party to register, bringing the total number of officially registered political parties to 38.",
"Release of Aung San Suu Kyi",
"On 13 November 2010, the President of the National Commission for Peace and Development, Dhwe, will issue administrative orders to release the housed Aung San Suu Kyi. I have made a statement welcoming her release, noting that her dignity and courage in the face of unfair treatment are a source of encouragement to many people around the world, while deeply regretting her being effectively excluded from elections. I make it clear that she should not impose any further restrictions and once again urge the authorities to release all the remaining political prisoners.",
"On 22 November, the Supreme Court of Nebis dismissed the appeal made by the National League for Democracy to the Electoral Commission to dissolve the Alliance.",
"Establishment of the Government",
"On 31 January, the Federal Parliament held its first session, which came into force in 2008. The former National Commission for Peace and Development, Herman, was elected President of the People's Council, former Minister of Culture, Chung, was elected President of the National Council and served as President of the Federal Parliament. All Presidents and Vice-Presidents are granted by the Federal Party for consolidation and development.",
"On 4 February, the Presidential Mission (compared with all members of the Federal Parliament) elected the former Prime Minister of the National Commission for Peace and Development, who was the first Vice-President of the former and the First Secretary of the Conference, Donensou, who was known as Vice-President II. All three were elected representatives of the Federal Party for Consolidation and Development. I adopted a statement that the convening of parliamentary and electoral chairpersons is an important opportunity for Myanmar to emerge from the status quo.",
"On 30 March, the National Commission for Peace and Development formally disbanded the authority of the new Government. Her country would resigned and the Vice-President of Studio. By a statement, I noted that authority had been transferred to the new Government and stressed that the Myanmar authorities had the opportunity and the obligation to prove to their people that this change would mark a real and substantive start from the direct rule of the 50-year military. I also urge the authorities to conduct a broad-based inclusive dialogue to undertake the necessary reforms to create a reliable and effective government system.",
"Although in the name of the Government, the new Government consists mainly of the recently retired military officers. Of the 30 ministers, three active officers were appointed as public security positions by the General Command; 10 ministers and five vice-ministers were from the previous Cabinet; four recently retired senior officers were appointed to the various ministries of the management technology; and the new appointment of eight technical officers, three of whom have military backgrounds, have considerable experience in their ministerial positions, such as the Minister for Foreign Affairs, Winnain.",
"New legislative and administrative structures were created in seven regions and seven states. In the states concerned, six self-governing areas have been allocated to certain ethnic groups. All local chief ministers were appointed by the President and came from the Federal Party for consolidation and development, with the exception of the Krone State, which was a military legislative officer. In local governments, political elements of the National Opposition were appointed as social and other positions. In June and July, local governments were restructured to restructure ministerial positions at the central and local levels.",
"Changes in the military leadership include the appointment of a new Commander-in-Chief. Some changes, such as the abolition of the supra-ministerial policy committee controlled by the military, the establishment of local governments, reflect the potential to reduce the role of the military in the administration in accordance with the Constitution. The military has no direct representation in the Financial Committee responsible for the development of military budgets, although it is reported that the General Command controls a “special fund” without social oversight.",
"During the first session of the last two chambers, held from 31 January to 30 March, both chambers considered nominations for key administrative and judicial positions and made substantive issues and recommendations. For the first time, the Minister of Government responded to questions by Parliament. The official media reported the Parliament's debate, including the question of the right to land tenure, the inspection system, the law on compulsory military service, the use of ethnic minorities to serve as civil servants, ethnic language education, population relocation, the ceasefire in Kayin State, the issue of the Shan ethnic prisoners' amnesty, the issue of Muslim identity cards in Northern Rakhine State and the monopoly of the private sector.",
"In accordance with the Constitution, Parliament has established committees such as the Bill Committee, the Public Accounts Committee, the Rights Committee and the Government Guarantee, Guarantee and Enterprise Evaluation Commission. Of all Committee members, the opposition constituted one third, including the Chairperson of a commission, with the remaining members from the Federal Party for consolidation and development, none of whom were appointed by the military. On 1 August, an official publication indicated that the second session of the Parliament would be held on 22 August 2011.",
"Agenda for reform",
"In his inauguration speech to Parliament on 30 March, 31 March, members of the Government, 23 April to the Central Committee for Progress in Borders and Nationalities, President Zinin provided an overview of the preliminary indicators of the policy direction of the new Government in key priority areas during his five-year term. In recent years, the Government had established the public policy agenda for the first time and assessed the problems faced by many countries.",
"Unlike previous official statements, the President clearly recognizes that many individuals and illegal organizations in the country and abroad do not accept the road map and the Constitution. The President stressed that without national unity, it was not possible for more than 100 nations to live together in peace and stability, which was crucial to building a developed country for peace and stability. On the one hand, he cautioned against any action outside the constitutional framework, and also sought to persuade national groups to believe in good faith and to work with the “good political forces” to achieve peace, stability and development, including the continued opening of “the door to peace” and to welcome the selection of different views.",
"Other key policy themes and priorities of the President's commitment to reform include the introduction of an open market economy, the improvement of socio-economic conditions, the reduction of rural and urban disparities; the protection of social and economic rights; the development of infrastructure, the provision of basic services, including in national areas; the improvement of health and education standards; the protection of fundamental human rights and freedoms; respect for legal and independent and transparent justice; respect for the role of the media; the promotion of good governance, social oversight of the executive and legislative bodies; the promotion of institutional capacity-building and human resources development; and the creation of “clear”, accountable, inclusive Governments; and the delegation of authority.",
"Specifically, the President declared 10 legislative reform agendas aimed at ensuring that the laws in force are in line with the Constitution; guaranteeing fundamental rights; improving the salaries and pensions of the staff serving; guaranteeing the rights of farmers; creating jobs, guaranteeing labour rights; rehabilitating public health and social security systems; improving education and health standards; revising the press law; promoting environmental protection; and strengthening natural disaster response measures.",
"National dialogue and reconciliation",
"Aung San Suu Kyi, in a statement delivered to the World Economic Forum in Davos, Switzerland, on 28 January, stressed the importance of national reconciliation, political stability and economic growth based on human resources development, which is a fundamental requirement for good governance. She called for investment in Myanmar to respect the law, pay attention to environmental and social factors, labour rights and employment creation. She called for economic policy to be linked to human development and capacity-building; investment in technology and infrastructure was innovative and diversified; opportunities for entrepreneurship and microcredit to fight poverty; preventive measures for health; environmental and social responsible development; and legal reform and the rule of law.",
"On 8 February, the National League for Democracy issued a review report on sanctions against Myanmar, which considered that the economic situation was not clearly affected by the sanctions; the best way for the lifting of sanctions was to effectively combat human rights violations and the lack of democracy; and noted that there was no clear impact on the economy. During that period, the economic hardship of the people will be improved if foreign investment respects the protection of the environment, protection of labour rights and promotion of civil society guidelines. It also calls for discussions with interested Member States to reach an agreement on when, how and where sanctions can be changed, noting that the impact of sanctions is likely to be useful by respected professionals.",
"On 11 March, the Friends of the Democratic Party, consisting of 10 democratic political parties and national political parties in Parliament, issued a public letter calling on the international community to recognize the political development of Myanmar, including the creation of a new political space, which had been transitioned to a new generation of leaders and the political parties. The letter noted that sanctions against Myanmar, although not the primary cause of poverty, had also been countering labour-intensive industries, impeding employment creation and affording society the benefits of foreign investment, which called for the lifting of sanctions, increased donor funding and assistance and the promotion of governance and socio-economic reform through advice and cooperation in tourism, trade and investment.",
"On 27 March, the National League for Democracy issued a statement urging the authorities to release all political prisoners and to immediately engage in a meaningful political dialogue to eliminate misunderstandings between the Forces démocratiques and the Lord's Army, thereby creating fair political conditions.",
"On 25 April, the National League for Democracy issued a statement welcoming the President's commitment to the rule of law. Turning to individual cases of violations of the principles of justice, the statement called for more guidelines to establish the rule of law, including due process and fair trial in the administration of justice.",
"On 16 May, the relevant authorities announced that, on the basis of humanitarian grounds and the sympathy of their families, President Zininin had approved amnesty prisoners, depriving the death penalty to life imprisonment and reducing other sentences for one year. As a result, more than 100 prisoners of conscience, including 23 members of the National League for Democracy, have been reported to have been released.",
"The 10 political parties that form the Friends of the Democratic People's Republic of Democratie issued a public letter on 20 May, welcoming the amnesty as a good-faith post, but pointing out that it was not sufficient because it did not apply to political prisoners serving long sentences and did not make a meaningful contribution to national reconciliation. It noted that Myanmar's transition under the elected Government requires confidence-building among democratic forces, which is a key step towards democracy change. The Group called for the release of prisoners of conscience and the return of dissidents abroad.",
"On 28 June, the Ministry of the Interior warned that Aung San Suu Kyi and the President of the National League for Democracy, Aung San Suu Kyi, whose activities were illegal because they would undermine peace, stability and the rule of law and would create additional difficulties for national reconciliation. The Ministry of the Interior informed that social affairs were to be involved and that social organizations were to be established if they were to apply. The national media also warn the party to cease its activities in order to avoid unnecessary consequences, noting that its leaders had the right to form a political party and that they should seek to participate in the elections in the status of legitimate political parties. It also warned that any planned visit outside Yangon would have security concerns, but noted that she would not limit her travel.",
"On 29 June, the National League for Democracy publicly replied that it remained a legally registered political party and that it was not in violation of the 2008 Constitution, and that it was not disbanded nor was the Court to reject its appeal on the matter. In order to achieve a shared interest in national reconciliation, the party requested a meeting with the Minister of the Interior to discuss the establishment of the rule of law.",
"From 4 to 7 July, Aung San Suu Kyi travelled to Bagan and the surrounding areas for a four-day private travel to be carried out. This was the first time that she was travelling outside Yangon after the May 2003 German Baba incident.",
"One encouraging development was the invitation of the Government of Aung San Suu Kyi on 19 July to participate in the formal ceremony held in Yangon as “Finals”, the first for nine years. In addition, she and the National League for Democracy led the largest public march since the 2007 demonstrations. The Party reiterates its commitment to address political issues through political means and calls upon the authorities to release political prisoners and to create fair political conditions through meaningful dialogue.",
"On 25 July, at the invitation of the Government, the Minister for Social Welfare, Aungaki and Aung San Suu Kyi, held a meeting, which was the first time that she had been released. In the joint statement, the parties stated that the meeting was positive, expressed satisfaction with the outcome and agreed to meet again when appropriate. They discussed the possibility of cooperation for the benefit of the people, including the rule of law and the elimination of misunderstandings. I welcome and encourage efforts to build mutual understanding through genuine dialogue. I reiterate once again my call on the Government to consider early action to release political prisoners.",
"During the reporting period, the relationship with the ceasefire and the armed ethnic groups that have not yet been ceasefire continued to be tense, including the forces of the Kchin, Crone, Shan and Wa communities. The most serious tension related to armed conflict, and on 9 June, the Myanmar Army and the Karin Independent Army began conflict in northern Kchin State and Shan State, with the first escalation of large-scale violence since the signing of the ceasefire agreement in 1994 and the resurgence of fighting. Both sides of the conflict were reported to have casualties and human rights violations, resulting in the displacement of civilians and the destruction of infrastructure.",
"On 24 June, the Speaker of the People's Council reported that the small-scale conflict between the Lord's Army and the Karin Independent Army had created panace on the ground and throughout the country, although, as a result of concerted efforts, the situation had been controlled and peace and stability in the region had been almost completely restored. Since the outbreak of fighting, several rounds of negotiations have been reported, with the participation of central and local authorities, as well as representatives of the Federal Party for the consolidation and development of development, the Kachin Independent Army and the Kchin Independent Organization. On 28 July, Aung San Suu Kyi issued a public letter calling for the resolution of any tension involving armed ethnic groups in the interests of national unity and expressing her support for the ongoing efforts to that end.",
"Since 21 June, the Office of the United Nations Resident Coordinator met with representatives of the Ministry of Social Welfare and Relief, expressed concern about the humanitarian situation in Kachin State, with particular attention to the situation of civilians, requesting information on reported mass displacement and other concerns, requesting access to humanitarian assessments and assistance on the ground, and discussed options for humanitarian corridors and safe passage.",
"Human rights mechanisms",
"On 27 January 2011, Myanmar accepted the first universal periodic review of the Commission on Human Rights. Of the 180 recommendations made during the review process, Myanmar rejected 70, accepted 64 and agreed to further study 46.",
"On 7 March, the Special Rapporteur submitted his fourth report to the Commission on Human Rights (A/HRC/16/59). On 25 March, the Committee adopted resolution 16/24, in which it regretted, inter alia, that the Special Rapporteur had not been allowed to visit since February 2010, while extending the mandate of the Special Rapporteur for one year. The Committee also expressed its strong support for the good offices mission and called on the Government to ensure full cooperation with my Special Adviser and the Special Rapporteur. On 22 July, the Special Rapporteur was invited to visit Myanmar in August.",
"On 1 and 2 July, the International Committee of the Red Cross, for the first time in six years, was granted a return to inspect prison conditions in three different locations.",
"Socio-economic development",
"On 27 June, the Government and the Economic and Social Commission for Asia and the Pacific (ESCAP) jointly organized the third Development Partnership Forum. The Forum was opened by Vice-President Saida and co-chaired by the Executive Secretary and Minister of ESCAP for National Planning and Economic Development. The broad-based conference had a focus on encouraging the country's rice economic policy, which was the most critical part of the agricultural sector, affecting 70 per cent of the population. Government policymakers engage in dialogue with representatives of civil society, the private sector and local and international experts. The meeting made recommendations for inclusion in Government action plans. The Forum was held on the basis of the Second Development Partnership Forum in 2009 and the National Seminar on Poverty Reduction and Rural Development in May 2010. At the end of the Forum, the Executive Secretary of ESCAP met Aung San Suu Kyi.",
"Discussions and outcomes",
"At the ASEAN Foreign Minister Conference, held in New York on 24 September, I stressed the urgent need for free, fair and inclusive elections to promote stability and development in Myanmar. I stress that failure to meet these expectations will undermine the credibility of the process, which reflects the collective values and principles of ASEAN. I appeal to ASEAN member States to encourage Myanmar to cooperate more closely with my good offices.",
"At the time of his meeting in New York on 26 September, the former Minister for Foreign Affairs, U.S., I stress that the Government has also made good faiths in order to increase the credibility of the elections, including the right to vote in Aung San Suu Kyi and to release as many political prisoners as possible. The Minister mentioned that the political situation after the elections would be completely changed. I stress the need for the Government and its successors to continue to cooperate actively with my good offices and the work of the Special Adviser.",
"At the Third ASEAN-United Nations Summit, held in Hanoi on 29 October, I briefed ASEAN leaders on my good offices mandate, emphasizing the need for a credible democratic transition and the need for national reconciliation, including free, fair and inclusive elections. At the bilateral talks with Prime Minister Zininin on 30 October, I noted that the United Nations and the international community were dissatisfaction with the electoral arrangements and reiterated the appeal to release political detainees before the elections, including the release of Aung San Suu Kyi. In addition to credible ballots, I stress the importance of transparent public elections and the formation of government through inclusive processes. The Prime Minister confirmed that Hiroshima would not challenge the elections. He indicated that amnesty would continue. He stressed that the new Government would continue to cooperate with my good offices and called on the international community to participate more closely in Myanmar's affairs in the social and economic spheres.",
"On 18 November, I opened a telephone discussion with Aung San Suu Kyi, agreeing that priority is to release all political prisoners. I am encouraged by the fact that I told Aung San Suu Kyi that her post-relead statements and the call for dialogue and compromise will continue to encourage all parties to work together in the interest of the country. Mr. Aung San Suu Kyi expressed her important role for the United Nations in Myanmar and appreciated the ongoing efforts of her. She expressed support for my Special Adviser's early visit to Myanmar, while she wished to be closely involved. I reiterate my commitment to continue to uphold the cause of human rights, peace and democracy in Myanmar.",
"From 27 to 28 November, my Special Adviser visited Myanmar at the invitation of the Government. After my visit in July 2009, this was the first time for direct good offices in Myanmar. With regard to the organization of work programmes, the United Nations had the first greater flexibility. My Special Adviser met with the former Minister of Foreign Affairs, U Winwin, Senior Representative of the Ministry of Border Affairs, the Electoral Commission, the Federal Party for Consolidation and Development, Utea U.S. My Special Adviser met for the first time with her residence in Aung San Suu Kyi and met with members of the Central Executive Committee of the National League for Democracy. He also met with elected representatives of political parties in United Nations premises and also with civil society leaders.",
"In response to the concerns expressed by political parties and civil society regarding the elections, the Government and the Electoral Commission noted that no formal complaints were received and that the electoral law provided procedures for the submission of such complaints. They stressed that there was no ban on registration by new political parties. My Special Adviser stresses that the credibility of the process will undoubtedly be undermined, irrespective of the absence of a formal complaint and the failure to address the concerns of the elections expeditiously and transparently. He also stressed the need to establish good electoral practices that would begin with the re-election.",
"With regard to the broader political process, my Special Adviser emphasizes that, if any transition is to succeed, even if political forces that have decided not to participate in the elections should not be excluded from the dialogue, and stresses that these forces are always a key component of the political landscape. After the election, he stressed that dialogue and reconciliation were more important than before and that the authorities should be better able to reach their critics. The interlocutors agreed that there was a need for continued efforts to achieve national reconciliation, but their expectations and the way forward were different.",
"The Government interlocutors and the Federal Party for Consolidation and Development and National Solidarity expressed confidence in the continued implementation of the road map and emphasized that all parties had the opportunity to participate in the elections and that national reconciliation should continue within the framework established by the Constitution. They called on the international community to recognize the progress made in this regard, including the lifting of sanctions. Although the authorities still have no tabled, they do not categorically reject the call for dialogue, the formation of government through inclusive processes and the release of political prisoners.",
"Aung San Suu Kyi said that she was committed to continuing her efforts to pursue national reconciliation through dialogue, noting that poor break-down democracy was worse than the dictatorship at a thorough end. She expressed the hope that the views would be heard in order to have a more comprehensive picture of the situation after the elections. She clearly stated that she would be willing to respond if the authorities made meaningful efforts. She did not elaborate on the position on sanctions, saying that there was a need for a detailed assessment of the impact of sanctions. She conveyed her expectations and hoped that I would participate fully in the promotion of political dialogue, human rights and the rule of law through good offices and special advisers. She also expressed interest in working closely with the United Nations Development Programme and other partners.",
"Despite their frustration and frustration in the elections, representatives of democratic political parties and national political parties argued that they were based on the process as a legitimate platform to build their achievements by maximizing the “new political space” within the so-called new constitutional framework. Although their representation is limited, they are aware of the challenges that will continue to be faced, they are sent to each other and to other parties, including the Federal Party for consolidation and development.",
"All interlocutors emphasized the need to address national development and humanitarian needs and emphasized their expectations that the United Nations will play a greater role in that regard. In line with the authorities and the Federal Party for Consolidation and Development, Myanmar needs to develop its economy to ensure stability and democracy. The former Minister for Foreign Affairs reiterated Myanmar's commitment to cooperate with the United Nations at the technical and policy levels and called for increased donor assistance. He highlighted that Myanmar was the only country that had not implemented the UNDP regular country programme because of the constraints imposed by the UNDP Executive Board, and that the Government had explicitly called for its lifting. It ensures that the issue of access by United Nations agencies and the timely issuance of visas is addressed.",
"Aung San Suu Kyi welcomed the contact and interaction of the United Nations Resident Coordinator with her and expressed her commitment to cooperating with the United Nations system, including by discussing policy and operational constraints affecting humanitarian and development activities. Most political parties have identified socio-economic issues as their priority agendas to meet the needs of the constituencies. Civil society leaders strongly demand that all stakeholders move from political confrontation to improving the country's political economy. In their view, since Cyclone Nargis in 2008, civil society experience has shown that progress is often made through constructive engagement within existing frameworks. They stressed the need for more detailed understanding of existing opportunities to address national issues as part of the broader liberalization agenda. Similarly, the independent expert has seen new opportunities to address the economic management issues that must be addressed in any democratic transition, including the establishment of more transparent legislation and budgeting processes.",
"Before returning to Myanmar, my Special Adviser met in Jakarta on 10 May with the Minister for Foreign Affairs of the Government of Indonesia and the ASEAN Chair, Mattialgawa, to discuss the outcome of the 18 ASEAN Summit held there on 7 and 8 August, which considered the recommendations of Myanmar as ASEAN President in 2014. My Special Adviser has been informed that the formal decision on this recommendation has been postponed until the 19 ASEAN Summit scheduled to be held on 17 and 18 November 2011, pending the visit of the ASEAN President to Myanmar.",
"My Special Adviser, at the invitation of the new Government, visited Myanmar from 11 to 13 May, the first time after the establishment of the new Government. The Ministry of Foreign Affairs, U Winnaun, was able to see him, and he met with the Minister of the Interior, the Minister of Social Welfare, the Minister for National Planning and Development, and senior officials from the Ministry of Commerce, the Ministry of Health and the Ministry of Education. He met with newly appointed political advisers, legal advisers and economic advisers. He was also received by the Deputy Speaker of the People's Council and by the Federal Party for Consolidation and Development. In Yangon, he again met with the members of the Central Executive Committee of Aung San Suu Kyi and the National League for Democracy, as well as representatives of Parliament and civil opposition and national political parties. He also visited Bangang Province, where he met with the Chief Minister, the former Minister for Foreign Affairs.",
"In all his meetings, my Special Adviser stressed the importance of the new Government taking proactive steps to implement the reforms announced by President Sin. He highlighted the role of leadership and policy towards national and international confidence and the conviction that Myanmar was changing, as was the expectations of the people. He cautioned that the implementation of the commitments had been slower and that the time had come to bear.",
"My Special Adviser stresses that the release of prisoners of conscience remains the most important step that can generate greater confidence in the Government's efforts, noting that this is the main requirement for all democratic and national political forces within and outside the process. While the authorities continue to deny the existence of political prisoners, my Special Adviser has learned that the President is considering the issue of amnesty, which is the President's right to decide. This was confirmed by the announcement of an amnesty on 16 May.",
"With regard to the political process, my Special Adviser urges the Government to communicate to all stakeholders as widely as possible, including those who are not represented in Parliament. He noted the experience of the United Nations in other transition situations that the success of any reform depended largely on the support of society. He reiterated that the road map had been completed and that the new Government should be able to face its critics, including through a specialized system, to promote broad-based dialogue. In this regard, the Government interlocutors recognized the need for contacts with the wider society and expressed their openness to different perspectives and ideas. However, their position is that Parliament has provided a legitimate and equitable environment and that transparent debates and negotiations can be held among elected representatives. The Minister for Foreign Affairs stressed that the door remains open for all those wishing to participate in the political process through elections. The authorities also recognize the need to negotiate a peaceful settlement programme with national armed groups. With regard to Aung San Suu Kyi, the Government interlocutors noted that her release was unconditional and referred to how she was responding to the President's reform agenda.",
"With regard to the electoral process, my Special Adviser urges the authorities to draw lessons learned from the shortcomings of the 2010 elections in order to enhance the credibility of any future voting. He noted that the election provided the first opportunity to ensure that the electoral process was more inclusive and more transparent. The authorities noted that the Parliament had appointed a new Electoral Commission.",
"With regard to human rights issues, my Special Adviser urges the Government to cooperate actively with United Nations human rights mechanisms, including the Special Rapporteur, in order to address the continuing concern of reporting on human rights violations and to strengthen the authority, including training, institutional reform and the rule of law. Both the Minister for Foreign Affairs and the Minister of the Interior noted that the international response to the universal periodic review of Myanmar was encouraging and affirmed that the Government was implementing the recommendations of the review.",
"With regard to humanitarian and development assistance, my Special Adviser underscores the need for Myanmar to respond to the donor community's initiative and to build on the efforts of ESCAP, UNDP and other partners. The authorities agree to cooperate more closely with the United Nations system, including in the areas of health, education and capacity-building. At the same time, they emphasized the need to address three specific concerns with regard to “equal treatment”. (a) Removal of unilateral sanctions against Myanmar; (b) increase development assistance; and (c) lift the UNDP country programme constraints.",
"My Special Adviser further points out that the Government's commitment to reform is an opportunity to strengthen mutual understanding between Myanmar and the international community, particularly relevant in the context of Myanmar's submission as ASEAN President in 2014. He encouraged the authorities to engage with the international community in a more open and regular manner with my good offices. To that end, on behalf of my delegation, I invited the Minister for Foreign Affairs to meet with the Group of Friends of the Secretary-General in New York, and again to propose an open political presence in Myanmar to support my good offices mandate.",
"The Government and the Federal Party for Consolidation and Development stressed that Myanmar was only beginning in the political transition and that the new decentralization framework was still being established. Although the recommendations were not possible, they stressed the Government's determination to expedite transition and to implement reforms. They made it clear that Myanmar has an orderly road map and hopes for more international recognition, and they stressed that the time has come for the international community to reconsider its practices and to treat Myanmar in a more constructive manner. At the same time, they recognize the progress that the United Nations and the international community expect to see all key outstanding concerns.",
"Aung San Suu Kyi pointed out that she and the National League for Democracy did not want to take a negative attitude, but they remained very careful until there was evidence that meaningful changes had taken place. According to her assessment, there was no profound change, since the Government was merely a symbolic rather than an action to seek legitimacy. She noted that all three branches of the Government were under the control of the same political party, fearing that the Government was likely to exclude it and that he was a political space. She highlighted that there was no reason for further delays in the release of prisoners of conscience or the implementation of earlier reforms. She said that any positive developments should be measured against the outstanding concerns, including that the Special Rapporteur had not been invited to return to Myanmar. She reiterated her willingness to respond to the Government's sincere efforts to engage her and the National League for Democracy.",
"Aung San Suu Kyi and members of the Central Executive Committee of the National League for Democracy indicated that they had exhausted legal appeal instruments for the formal dissolution of their parties, but they would seek to maintain their presence through the Commission on Human Rights. They have endorsed the latest Commission on Human Rights resolution on Myanmar. They indicated that the party was not ready to participate in the elections within existing frameworks. However, they expressed satisfaction at the expansion of the party's social networks and activities and called on the authorities to cooperate in that regard. Aung San Suu Kyi once again welcomed her continued engagement and interaction with the United Nations system, including by discussing constraints affecting humanitarian and development activities. She reiterated her appreciation for my good offices and looked forward to the full involvement of my Special Adviser.",
"Most political parties and civil society organizations were cautious about the Government's ability to implement reform, but welcomed the President's agenda and cautioned that the new Government should not be judged earlier. For them, the Government is open to hearing different views, including the appointment of independent consultants, which are of the greatest importance. They agreed that the previous system was largely only a centre of power, and that the election of all-inclusive actors, political parties, institutions and agendas opened new political space that could affect the process. They expressed their determination to contribute to the reform.",
"While political parties have different experiences with parliamentary procedures, they have expressed the sense of enhancing the participation in political activities. Most of the calls for amnesty for political prisoners and for the return of persons abroad in Myanmar. It was suggested that the Government hold the “Fundary Assembly” as a broad-based platform to address national challenges. Several national political parties argue that decentralization is key to ending armed conflict, while stressing the urgent need to address the remaining challenges in the border areas. Most indicated their position that socio-economic issues had become a priority agenda for voters, while calling for more development assistance and lifting sanctions, as requested by the Government.",
"Civil society leaders welcomed the so-called “new governance structure” and the authorities set benchmarks for the construction of the State, with a framework and space for transformers. They noted that reform could involve more stakeholders in reconciliation and that they could play a role in promoting relations between ethnic communities and Governments. They noted recent positive changes, including the withdrawal of military checkpoints in certain areas; the easing of restrictions and review of the media; the granting of export and import licences to civilian authorities; the issuance of new investment and environmental laws; the suppression of trade monopolies; the development of poverty reduction strategies; and the consultation of the Government with the business and civil society.",
"From 27 to 30 June, as my Special Adviser visited Myanmar, at the time of convening the Third Partnership for Development, my Special Adviser's Office had the first opportunity to reach out to all interlocutors, including the Presidential Adviser and representatives of civil society.",
"On 29 July, I made a message to the Minister for Foreign Affairs, U Winnagen. On 27 July, my Special Adviser met with Aung San Suu Kyi. The purpose of the telephone calls is to convey the expectations of the United Nations and, on the basis of recent developments, to intensify efforts to address outstanding issues, including the release of prisoners of conscience, national dialogue and reconciliation.",
"Observations",
"After almost 50 years of military rule, the road map, led by national peace and development commissioners, has been completed after 20 years of the recent elections, and new opportunities have been presented to promote more inclusive national dialogue and political development. The Conference handed over authority to the new Government, Hiroshima will resign, Aung San Suu Kyi's release, and Myanmar has emerging new prospects for progress and to increase its regional and global status. Myanmar's decades of conflict and political stalemate have made these developments and the United Nations recognizes the significance of these developments.",
"President Sin announced that Myanmar was now going to recover from a changing world and that there was no time to waste. Myanmar continues to face the same long-standing challenge: human rights, political, social, economic and humanitarian issues in Myanmar remain serious, profound and long-term. I therefore welcome the President's affirmation that Myanmar needs to undertake a wide range of political and economic reforms and his commitment to reform in ways that strengthen national unity.",
"The Government's stated commitment appears to be more closely aligned with the needs and hopes of the people of Myanmar than in the past. I am sure that this can provide the basis for more effective cooperation in implementing the mandates entrusted to me by the General Assembly. This is even more important if Myanmar is to change its perception as a constant country of crisis, and if Myanmar is to restore its rightful place, it is a respected and responsible member of the international community. However, the true test is the timely fulfilment by the Government of its commitments. The United Nations would like to see the success of Myanmar's efforts in that regard.",
"Elections are indeed flawed, and if the United Nations recommendations are adopted, credibility can be increased, although political parties and voters have demonstrated their willingness to take advantage of the first window that has been opened over 20 years of political space. Despite the frustration and frustration expressed by many people about the electoral process and its results, it can be a resumption of legitimate political activities that have been prohibited or limited for almost 50 years. In any transitional situation, restoring political life is a prerequisite for the pursuit of broad-based social reconciliation. There have been a number of voices in the elections, multiple perpetrators, multiple agendas and the complexity of the political environment in Myanmar.",
"For the release of Aung San Suu Kyi, there has been long-awaited support for her continued appeal, and her vision remains a political reality. I am encouraged that she and her followers have been allowed to engage in public activities, including visiting foreign delegations and travel outside Yangon. I hope that they will continue to exercise such freedom without any limitation. Aung San Suu Kyi, a key national and international figure in Myanmar, is a concern for the international community. Any limitations on her actions or threats to her security would cause serious concern and send wrong signals.",
"The United Nations and the international community remain deeply concerned about the continuing detention of prisoners of conscience. This is incompatible with the Government's commitment and the initial efforts to seek more openness and respect for fundamental freedoms and the rule of law. This approach has also been counterproductive in promoting social peace and dialogue. All remaining prisoners of conscience will continue to simulate the Government's efforts and undermine its confidence. Finally, this will be a loss in Myanmar, as Myanmar needs all people to think about a better future.",
"The continuing tension and armed conflict with some armed ethnic groups are also of concern. Over the years, the President has made a commitment to continuing the door to peace, which is why all parties urgently need to work to avoid escalation of tensions and to negotiate durable solutions for outstanding political and security concerns. This is part of a broader national reconciliation process. If not done, it would affect not only the ethnic communities concerned, but also the relegs of the reform, including the opportunity to undermine the legitimate resolution of national aspirations within the new political structure. Myanmar must be peace and solidarity without hindrance to peace and solidarity.",
"While it is too early to assess the nature and extent of the political changes in Myanmar, the changes are clear. After two decades of closed decision-making, this transformation can and should trigger a more wise, broader, transparent and accountable process to guide any governance reform and democratic transition. In such processes, military and civilian authorities are most important if they are to truly emerge from the status quo.",
"The question now faced by all stakeholders is how to take advantage of opportunities to promote national reconciliation within the current governance system. More openness and inclusiveness in recent developments will depend on the choice of cooperation among all parties. All parties seek reconciliation, accept reconciliation and meet national interests. It is essential to maximize the use of the limited space available. Ultimately, the Government has the responsibility to engage all political forces, including those that are not represented in Parliament, to ensure that reforms are supported as widely as possible. In the light of the current environment, I look forward to intensifying and continuing good offices.",
"Would the new Government be in a position to be able to support the people in order to achieve its reform agenda and to be observed. The success of the reform is beneficial to the international community, particularly for the countries of the region and ASEAN. The challenge of creating a credible transition that contributes to national stability and development is a collective challenge. The commitment to reform provides a better understanding of Myanmar and the international community. I stand ready to explore how the international community and the United Nations system can serve the interests of the people of Myanmar and interested stakeholders, including donors and development partners, and encourage and support effective reforms.",
"AD(*) A/63/250."
] |
[
"2011年第二届常会",
"2011年9月6日至9日，纽约",
"临时议程项目5",
"艾滋病署方案协调委员会会议的后续行动",
"联合国艾滋病毒/艾滋病联合规划署方案协调委员会各项决定和建议的执行情况报告",
"摘要",
"根据执行局2010年第二届常会的讨论，本报告侧重开发署和人口基金在防治艾滋病毒问题方面的某些结果，并报告联合国艾滋病毒/艾滋病联合规划署方案协调委员会2010年12月举行的第27次会议和2011年6月举行的第28次会议给人口基金和开发署的决定和建议的最新情况。",
"决定要点见本报告。",
"目录",
"页次\n1.背景 4\n2.开发署和人口基金的成果 4\n3.艾滋病署协委会为开发署和人口基金提出的重要决定和建议 13\n4.前进的道路 18\n5.决定要点 20 \n 附件 \n战略——一瞥 21",
"缩写表",
"维和部 维持和平行动部",
"南共体 南部非洲发展共同体",
"艾滋病署 联合国艾滋病毒/艾滋病联合规划署",
"女青年会 基督教女青年会",
"一. 背景",
"1. 在艾滋病毒流行病爆发三十年后，全球艾滋病防治工作处于交叉路口。自2001年和2006年联合国大会举行两届特别会议以来，艾滋病防治工作取得了重大进展，尤其是在以下方面：增加资源，加强国家政策框架，更广泛提供治疗和预防服务，以及就国家一级有效行动的原则达成广泛共识。对主要趋势的审查还强调存在重要的机会，包括改进衡量艾滋病毒发病率的工具、优质的战略信息，以及在制订艾滋病毒预防、治疗、护理和支助新战略方面的势头。与此同时，审查较长期的政治和经济趋势表明资源减少、应对措施支离破碎和普普通通，提供治疗方面存在严重差距，体制薄弱，社会不公持久存在。",
"2. 在2011年6月举行的艾滋病问题联合国大会高级别会议上，会员国通过了新的《关于艾滋病毒/艾滋病问题的政治宣言：加强努力消除艾滋病毒/艾滋病》，在防治艾滋病毒方面制订了大胆的新指标。这一宣言为艾滋病防治工作的未来制订了议程，并为消除这一流行病提供了路线图。安全理事会通过了关于艾滋病问题的新决议，即第1983(2011)号决议，在确保可能因艾滋病这一流行病受到损害的社会稳定和国家安全方面，该决议是另一个重要的步骤。它阐述了在冲突和冲突后环境中暴力侵害妇女行为与艾滋病毒之间的联系。",
"3. 2003年6月，开发署/人口基金、联合国儿童基金会(儿基会)和世界粮食计划署(粮食署)各执行局举行联席会议，讨论载于文件UNAIDS/PCB(13)/02.2中的艾滋病署第一个五年评价的建议。联席会议讨论了评价建议对开发署、人口基金、儿基会和粮食署的影响，并讨论了艾滋病署的业务和治理问题。因此，执行局成员商定，执行局的议程上应该有一个关于联合国艾滋病毒/艾滋病联合规划署(艾滋病署)方案协调委员会(协委会)决定和建议的后续行动的经常项目。",
"4. 本报告由开发署和人口基金联合编写，概述了在艾滋病毒防治方面取得的成果，还提供了2010年12月举行的协委会第27次会议和2011年6月举行的第28次会议的各项决定和建议的最新执行情况。这两次会议上讨论的与开发署和人口基金特别有关的重要问题包括：艾滋病署2011年至2015年战略；艾滋病署统一预算、成果和问责框架；第二次独立评价的执行进展情况。",
"二. 开发署和人口基金的成果",
"5. 协委会第27次会议正式通过了《艾滋病署2011年至2015年战略：实现三无》，该战略为全球防治工作提供了转型议程。艾滋病署的三个新战略方向是：(a) 在艾滋病毒预防方面实现革命性变革；(b) 促成下一阶段的治疗、护理和支助；和(c) 促进人权和性别平等。这些战略方向每一个都很重要，并相互关联。为实现艾滋病署的长期愿景，已经制订了10项中期目标。[1] 这些目标来自艾滋病署成果框架的优先领域，旨在需要的地方推动具体进展，使得联合方案有可能改进其战略侧重点。附件提供了艾滋病署新战略一览。该战略是2011年6月举行的艾滋病问题联合国大会高级别会议通过的艾滋病毒/艾滋病问题新政治宣言的基础。",
"6. 下文举例说明了在艾滋病署2011年至2015年战略的三个战略方向下，开发署和人口基金对发展作出的贡献所产生的成果，以及挑战和应对这些挑战的措施。",
"7. 自2008年以来，开发署的近70个国家办事处执行了与开发署战略计划的四个防治艾滋病毒成果挂钩的方案，估计另有30个国家把执行防治艾滋病毒活动作为其他专题方案或跨行业方案的一部分。对独立评估证据和各国家办事处报告进行的分析概述了在防治艾滋病毒方面的重大成果。证据尤其突出了在以下方面的成功做法：地方机构的能力建设、推动性别平等、促进多方利益攸关方的参与、南南合作和与联合国各机构协作。评价指出了值得注意的跨行业工作，表明在防治艾滋病毒方面的一些最有效成果是在与其他专题领域挂钩的情况下取得的。",
"8. 鉴于80%的艾滋病毒感染由性行为传播，或者与怀孕、生育和哺乳有关，人口基金执行的战略为其统一预算和工作规划的资源分配和使用制订了优先次序，以建设人口基金在国家和次区域两级防治艾滋病毒的专门能力。这一能力建设战略于2006年启动，目的是加强其对各国艾滋病毒防治工作的支持。2008年进行的一次审查断言，人口基金对艾滋病毒防治工作的贡献，其强度和质量经历了巨大的积极变化。2011年对这一战略进行了审查，以确保采取综合办法，更有效地加强人口基金与各国的合作，把艾滋病毒防治工作与更广泛的发展、人权和人道主义方案制订联系权利，并与性健康和生殖健康联系起来。",
"在预防艾滋病毒方面实现革命性变革",
"9. 开发署支助21个国家和两个区域将艾滋病毒防治工作纳入国家和部门发展规划和进程、减贫战略文件和千年发展目标规划的主流。南部非洲环境评价研究所编写了一份立法审查报告草案，有关将健康和社会问题(尤其是艾滋病毒和性别问题)纳入南部非洲和东部非洲地区的环境影响评价，开发署为此提供了支助。伙伴国包括：博茨瓦纳、莱索托、马拉维、莫桑比克、纳米比亚、南非、乌干达和赞比亚。环境影响评估是一个务实的平台，通过这个平台，可以更好地理解与基本建设项目有关的社会影响(艾滋病毒和性别)，并通过多部门方法持久地解决这个问题。启动本项目的结果是加强了各部的合作。所有的国家都正在查明和更好地了解性别、艾滋病毒与基本建设项目之间的联系。",
"10. 向37个国家提供了关于男男性行为者、变性者和性工作以及供资金和筹资支助方面的技术援助和政策指导。在2009年启动的工作的基础上，开发署继续就以下方面的战略信息，向在阿根廷、布基纳法索、多哥、莱索托、斐济、菲律宾和乌克兰的方案提供咨询支助：男男性行为者、变性者、人权保护、加强为男男性行为者、变性者提供服务的能力和伙伴关系。这些方案均导致加强国家满足这些明显缺少服务的人口需要的工作，例如在菲律宾，国家艾滋病毒防治方案中目前就有一个专门针对男男性行为者和变性者的部分。",
"11. 在满足男子和妇女的性健康和生殖健康需要方面，人口基金继续加强提供男用和女用避孕套并促进其正确和持久使用的工作。全球避孕套倡议从2008年的55个国家扩大到2010年的74个国家，并正在接近100个国家的目标。人口基金仍是低收入国家男用和女用避孕套的最大供应商(2009年分别为6 800万和1 400万)。在加勒比次区域测试了拓展避孕套需求框架，结果是在伯利兹、苏里南和圣卢西亚起草了拓展避孕套需求战略。还在南部非洲的四个高发病国家，即博茨瓦纳、莱索托、南非和斯威士兰，完成了拓展避孕套需求倡议。2011年，人口基金加紧努力，争取实现艾滋病署将青年中使用避孕套的人数增加50%的指标，它仍是方案优先事项。",
"12. 为了增加南非青年的艾滋病毒检测，人口基金与LoveLife和首尔市结成伙伴关系，支持为12至14岁青年提供国家艾滋病毒咨询和检测活动，已经8 445 000名青年参加。在巴巴多斯和哈萨克斯坦，对决策者开展宣传工作，以消除阻碍18岁以下青年在父母未同意情况下获取性健康和生殖健康服务的法律障碍。在伯利兹，人口基金支对基督教女青年会(女青年会)为少女设立对青年友好空间，这大大改善了获得咨询、性健康和生殖健康信息以及使用避孕套的情况。",
"13. 在全球范围，人口基金继续加强伙伴关系，建立实证基础，支持能力建设，并提供技术援助，以支持年轻人获得综合性的一揽子青少年性健康和生殖健康服务和性教育。就中学课程中列入对性别问题有敏感认识的、以谋生技能为基础的性健康和生殖健康和艾滋病毒防治问题的国家比例而言，2010年就已经超过了2011年的指标。人口基金支助成果的例子包括尼泊尔和越南。前者将青少年和青年性健康和生殖健康列入政府的卫生部门执行计划，后者为辍学青年制订了国家青少年性健康和生殖健康准则。在哥伦比亚和莫桑比克，人口基金支助的方案发生了重要转变，从捐助者支持转向政府拥有。在阿拉伯叙利亚共和国和埃及，人口基金通过对文化敏感的做法向性教育提供支助。",
"14. 目前，人口基金及其伙伴正在努力建立区域和国家专家网络，以应对在性教育方面的培训和援助需求。作为第一步，进行了情况分析，评估目前东部和南部非洲10个国家学校性教育方案的内容、质量和提供方法，以便对未来的课程修订给予。结果反馈到了人口基金、儿基会、教科文组织和KwaZulu-Natal大学共同主办的讲习班，该讲习班为来自10个南部非洲共同体(南共体)国家(博茨瓦纳、肯尼亚、莱索托、马拉维、纳米比亚、南非、斯威士兰、乌干达、赞比亚和津巴布韦)教育部的70个课程制订专家和负责青年问题的联合国工作人员提高能力，以为学校的年轻人设计和实施有效的性教育和艾滋病毒防治工作。因此，正在利用参与性培训方法，编写关于性教育的区域培训手册，并将用其来产生足够数量的合格性教育者。",
"15. 最近的证据表明，艾滋病毒是育龄妇女死亡的主要原因，这要求提高对千年发展目标3、4、5和6之间联系的认识，并一致努力支持将艾滋病毒防治工作与性健康和生殖健康结合起来。迄今为止，已支助25个国家制订和实施了列入性健康和生殖健康的国家计划，而且各国报告加强了艾滋病毒防治方案与预防性别暴力之间的联系。向61个国家提供了技术支助，以加强实施预防母婴传播和服务整合的方案。计划生育提供了坚实的切入点，人口基金各办事处报告说，70%的国家将计划生育列入情况分析，49%的国家在国家规划中为其分配了预算。",
"16. 重大的挑战依然存在，并将影响到艾滋病署战略目标的实现。2010年，有更多证据表明扩大治疗对预防产生的益处。这些发现不仅强调了需要加速扩大获得治疗的机会，而且亟须在战略规划、提供服务和影响评估几个层面将艾滋病毒的预防与治疗挂钩。这需要加强整个预防方面的衡量以及定性和定量数据的收集。在使用“预防性治疗”时，需要与预防艾滋病毒的其他选择相结合，因为“预防性治疗”是对艾滋病毒综合预防的加强而不是替代。",
"17. 关于整合问题，在许多国家，艾滋病毒与性健康和生殖健康之间的联系仍然具有挑战性。往往侧重服务层面的整合，却较少注意更广泛的结构和人权问题。后勤和供应系统效力低下也阻碍有效地提供服务。例如，关键商品(抗逆病毒药物、治疗机会性疾病的药物、艾滋病毒检测包、避孕套等)供应的中断阻碍有效防治，并强调了需要进一步加强国家和国家以下一级的采购和供应管理。至于消除艾滋病毒的母婴传播和普遍服务的目标，除非国家和社区覆盖到社会最边缘群体并满足他们的需要，否则这些目标是无法实现的。需要加强政治支持，注重技术资助和扩大综合服务，以确保在进展方面继续落后的国家扩大方案。在说服利益攸关方扩大方案方面，至关重要的是采取综合办法，有务实的标准标准化程序，并有实证说明整合的裨益。",
"18. 需要通过一系列适龄和因地制宜的方案来满足预防信息和方案制订方面的需要，方案的设计要有年轻人参与并听取他们的意见，包括把性教育作为改善青年健康的有益手段。消除妨碍提供有利于青年的服务的政策和法律障碍，以便不排斥青年，可以减少他们感染艾滋病毒的风险。在重点国家努力实现可衡量的指标(例如综合知识、艾滋病毒检验和年轻人使用避孕套)，将有助于加强问责和利用减少新感染方面的结果。",
"推动下一阶段的治疗、护理和支助",
"19. 开发署作为全球抗击艾滋病、结核病和疟疾基金的接收方，2010年在29个国家帮助发展国家有效实施大型抗击艾滋病、结核病和疟疾方案的能力。为国家利益攸关方提供能力发展支助一直是一个重要优先事项，开发署与国家伙伴协作，为开发署经管的所有新赠款编制了正式的能力发展计划。2003年至2010年，开发署共在37个国家担任主要接收方。在其中12个国家，已将主要接收方的角色移交给一个国家实体，体现出在能力发展方面取得了成就。尽管开发署经常在风险最高的国家担任主要接收方，但其赠款的业绩大大高于平均水平。自2003年以来，开发署促成为2 800万人提供预防艾滋病、结核病和疟疾方面的社区外联。为近480万人提供了艾滋病毒咨询和检验，还为213 000名艾滋病毒感染者提供了抗逆病毒治疗。[2] 这些方案的结果还包括查出和治疗了70万结核病病例，分发了1 100万床蚊帐，并治疗了2 600万疟疾病例。",
"20. 人口基金支助制订解决与青年和性工作者有关问题的具体指导，以用于编写全球基金第十轮防治艾滋病毒的提案。它为南非、斯威士兰和赞比亚将性健康和生殖健康与防治艾滋病毒相结合提供技术支助；并向20个国家提供预防艾滋病毒母婴传播的技术支助，包括协商和联合技术访问团。",
"21. 开发署支助17个国家和2个地区进行能力建设，以便通过有利的贸易和卫生政策和立法。例如在乌克兰，开发署支助政府将与贸易有关的知识产权的灵活性列入其国家立法。这些立法若获得通过，将大大降低抗逆病毒药物和其他药物的费用。同样在乌克兰，如果与贸易有关的知识产权的灵活性得以通过，可以利用更多的非专利药，而在某些情况下，这可以节省90%多的费用，因而使更多的人开始接受治疗。在坦桑尼亚联合共和国，开发署与民间社会和德国国际合作署合作，举办两次关于反仿冒立法在东部非洲共同体(东非共同体)激增的会议——包括布隆迪、肯尼亚、卢旺达、乌干达和坦桑尼亚联合共和国。来自所有东非共同体国家的政府代表、议员、学者和民间社会出席了会议。会议提高了对反仿冒立法在公共卫生方面影响的认识。其结果是东非共同体秘书处采用了开发署的建议，即以对公共卫生敏感的形式修订东非共同体反仿冒法草案。这将保障在东非共同体国家继续使用在该区域消费的所有药品中占90%的非专利药。",
"22. 在处理易受艾滋病感染方面，贫穷和排斥是关键问题。国际社会因此认识到，对于社会保护，我们需要采取的不是排斥艾滋病而是对艾滋病有敏感认识的方法。在印度，开发署支助在几个邦制订、扩大和改革对艾滋病毒敏感的多方社会保护方案，在2010年的6个月期间覆盖了77 000人。一项社会经济影响研究在2006年为这些方案奠定了分析性基础，它表明艾滋病毒对受影响家庭的就业、收入、储蓄和就学有相当大的负面影响。作为后续行动，开发署启动了一项多管齐下的宣传和技术支助战略，涉及到国家艾滋病控制组织、邦官员和包括艾滋病毒感染者网络在内的民间社会组织。因此，拉贾斯坦邦改革了寡妇养恤金制度，以便因艾滋病毒而寡居的妇女无论多大年龄都有资格接受每月的养恤金。印度的其他各邦正在仿效这一办法。2010年，在所有对养恤金进行了改革的州，约有23 000名妇女受益于这一变革。此外，各邦正在越来越多地支付治疗艾滋病毒所需的交通费。在2010年的六个月里，超过31 000人受益于这一方案。其他值得注意的改革包括有些邦现在向艾滋病毒感染者提供获得补贴的食物、住房和保健，所有这些以前都仅限于那些处于贫困线以下的人。劳动部还从非正式工人的特别健康保险中取消了将艾滋病毒排除在外的条款。",
"23. 许多国家没有全国性的社会保护方案，而拥有这些方案的那些国家则需要对如何使法律、政策和方案更敏感地注意到受艾滋病毒影响者和艾滋病毒感染者的需要进行全面审查。由于总体处于贫穷状态，加之受到侮辱和歧视，对许多人来说，获得服务是受到限制的。尽管在某些情况下，在艾滋病毒治疗场所与社区组织之间存在一系列护理，但事实上由于各种因素这是很难保证的，这些因素包括缺乏政治意愿和资源、社区团体缺乏能力、社区团体与保健工作者之间缺乏理解。",
"24. 尽管卫生部门必须是加强治疗、护理和支助的中心，但许多国家仍然没有利用相关的部委并与之进行战略协调。除了上述的贸易和社会保护政策的作用外，促进扩大护理和支助的其他关键因素可能还包括妇女部或者性别平等部(处理妇女作为照料者的不相称角色问题)和内政部(帮助促进向边缘群体提供服务)。",
"促进人权和性别平等",
"25. 开发署与艾滋病署秘书处和全球基金一起，发表了一份对艾滋病毒第六轮和第七轮提案和赠款中司法救助方案的分析报告，它成功地影响了将关于人权和平等的具体目标和业务计划列入全球基金新战略。",
"26. 2010年6月，开发署代表艾滋病署大家庭创立了全球艾滋病毒问题和法律委员会。该委员会的目的是制订有实证依据的、以人权为基础的建议，支持各国建立和维护对有效防治艾滋病有利的法律环境。通过2011年委员会在六个区域进行的区域对话查明的讨论和后续行动，将进一步向开发署在这一重要领域的工作提供资料并加强这一工作。区域对话的目的是进行战略对话，以期突出这一地区与艾滋病毒有关的重要人权和法律问题。区域对话通过提交有实证依据的意见和参与的决策者和立法者、执法部门和社区的意见，向委员会的审议提供资料。区域对话还将推动区域提高认识、参与和自主权，采取在人权和法律问题上实现真正变革的行动，支持人民生活和健康状况的改善。开发署的性别平等工作与艾滋病毒问题和法律委员会之间存在密切的联系。该委员会正在调查的三个主要领域之一涉及哪些法律维持或减轻妇女遭受的暴力和歧视。",
"27. 向协委会第27次会议提交了行动框架执行进展情况报告和《艾滋病署国家加速对妇女、女孩、男女平等和艾滋病毒问题采取行动的议程》。第28次会议进一步讨论了防治艾滋病工作的性别敏感性问题。2010年3月启动的这一倡议已经取得了重大成果：55个国家制订了妇女和女孩议程，45个国家已经报告就这一议程直接采取的活动。2010年为这一举措分配了610万美元，包括用于国家支助的450万美元。",
"28. 协委会成员对进展报告表示欢迎，把业务计划作为确保国家防治工作满足妇女和女孩需要的独特机会。协委会明确欢迎艾滋病署做出努力，将综合性教育政策和方案纳入其2011年至2015年战略，以及艾滋病署努力解决与男性有关的阻碍提供艾滋病毒和性健康和生殖健康服务的障碍。协委会敦促取得进一步进展，呼吁在妇女、女孩和防治艾滋病毒方面提供更广泛的领导，要用充足的资源来配合政治辞令。",
"29. 作为《艾滋病署国家加速对妇女、女孩、男女平等和艾滋病毒问题采取行动的议程》规定的开发署责任的后续行动，在六个地区23个国家为感染艾滋病毒的妇女开展了领导能力建设工作，其结果是艾滋病毒抗体阳性妇女组织/网络与其他重要的国家利益攸关方之间的伙伴关系增强。此外，14个国家的艾滋病毒抗体阳性妇女国家网络的能力加强，以便更有效地参与普遍服务/报告和千年发展目标报告/宣称工作。",
"30. 人口基金把联合国制止对妇女暴力联合运动的责任和妇女和女孩问题议程的责任整合起来，支助42个国家设计、实施或评估预防、治疗、护理和支助方案，以增强妇女和女孩的权能；支助26个国家制订和(或)实施与艾滋病毒防治有关的政策，具体处理性别暴力和促进性别平等的其他行动。牙买加在妇女事务局里设立了一个男子服务台，以管理必要的干预措施，动员更多的牙买加男子参加方案的宣传和实施，以减少性别暴力，改善男子参与确保妇女的平等和权利的情况。对近80个国家的艾滋病毒感染者网络提供支助，重点放在感染艾滋病毒的妇女身上。",
"31. 2010年底，人口基金领导性别平等和艾滋病毒问题机构间工作组在三个地区16个国家的能力建设工作，以便与男子和男孩共同制订和落实战略，以处理围绕性别、暴力和性关系的社会标准。人口基金支助“与男子共同努力预防和应对艾滋病毒/艾滋病”讲习班，来自30个国家的92人参加了这个讲习班，其结果是制订了与男子和男孩共同促进性别平等和生殖健康(包括艾滋病毒/艾滋病)的非洲区域框架。尽管让男子和男孩参与实现性别平等工作的重要性得到承认，但使他们为此目的并为自己的性健康和生殖健康作为伙伴参与，仍是一个挑战。",
"32. 开发署在10个国家领导了一个称为“现在就为妇女和女孩普及服务！”的机构间倡议，其中包括人口基金，目的是支助各国在艾滋病毒防治工作中处理性别平等问题。成功的事例包括在赞比亚国家艾滋病新战略框架(2011-2015年)中列入了明确的性别部分和解决性别暴力的承诺，以及在赞比亚国家理事会里设立了一个性别顾问职位，以确保不断将性别问题纳入国家艾滋病防治工作。",
"33. 对实施行动框架的主要挑战包括：需要对妇女、女孩和艾滋病毒防治工作有长期的政治和资金承诺；需要加强性健康和生殖健康服务，并将其与艾滋病毒防治工作联系起来；性别暴力的高发率；需要增加男子的参与。能力发展对这一议程的成功和持久至关重要。此外，迄今为止的经验强调需要改善实证和监测系统。",
"34. 注意到妇女署是加强联合国系统参与上述问题的一个潜在机会。在2011年3月的会议上，共同赞助组织委员会妇女署有兴趣加入联合国艾滋病毒/艾滋病联合规划署表示欢迎，并同意按照协委会2004年商定的标准和进程(UNAIDS/PCB (15)/04.8)启动妇女署的正式申请进程。与此同时，联合方案继续侧重妇女和女孩问题，并促进妇女的权利和性别平等。",
"35. 艾滋病署在制订统一预算、成果和问责框架期间，确保在与执行行动议程方面取得持续进展有关的重要行动、指标和预算分配得到体现，包括但不限于艾滋病毒防治与性健康和生殖健康服务的结合。会员国要求与它们协调，并在感染艾滋病毒妇女和民间社会的参与下，进一步进行监测，并要求通过统一预算、成果和问责框架向协委会报告。它们还要求在2012年12月对议程进行中期审查。",
"36. 请艾滋病署与国家利益攸关方结成伙伴，记录艾滋病防治工作与妇女运动协作满足妇女和女孩与艾滋病毒有关的需要方面的最佳做法。协委会还要求艾滋病署与关键的利益攸关方协作，促进和便利改进性健康和生殖健康、人权和艾滋病毒防治之间的联系，并鼓励进一步与在艾滋病毒防治和性别平等问题上与男子和男孩以及妇女和女孩一起工作的网络结成伙伴关系。",
"37. 2011年，人口基金和开发署支助50多个国家加强对性工作者及其客户、男男性行为者和变性者的人权保护及其获得服务的机会。这些努力加强了性工作者网络和组织之间的协调和统一，这些网络和组织侧重艾滋病毒防治、性传播感染的预防、性健康和生殖健康，以及性健康和生殖健康与性别暴力和人权之间的联系。人口基金、亚太性工作者网络与合作伙伴一起，举报了亚太区域第一个关于艾滋病毒防治和性工作的协商，这一协商由泰国皇家政府主持，柬埔寨、中国、斐济、印度尼西亚、缅甸、巴基斯坦、巴布亚新几内亚和泰国参加了协商。协商的结果是制订了八项国家一级关于艾滋病毒防治和性工作的行动计划草案，制订了在性工作者及其客户中防治艾滋病毒流行病的区域议程，供在2010至2013年期间执行；通过雇用一名全职主任和一名政策官员，加强亚太性工作者网络秘书处的技术能力；在政府之间进行区域一级的对话，并在政府与性工作者之间进行国家一级的对话。",
"38. 围绕关键人口的问题阻碍取得进展。数据表明，多数国家分配给关键人口方案的资金仍旧不足。污名化、歧视和仇视同性恋继续存在，同时没有足够的政治承诺。在某些国家，民间社会薄弱的影响阻碍了满足关键人口与艾滋病毒防治有关的需要的工作。缺乏定量和定性数据意味着关于性别、性行为和身份的理论框架薄弱，导致对需要和行为的了解肤浅，这反过来又导致方案的效力低下。此外，一系列情况可能阻碍对与关键人口合作做出有效应对和努力，例如强制性药物治疗，或者将性工作和同性关系定为刑事犯罪。最近政策上的变化与更有效的政治领导及更有针对性的资源分配相联，已有助于扩大为关键人口提供有实证依据的服务，并表明进展是可能的。必须创造有利的氛围，促进关键人口参与影响其生活的战略和方案的规划、提供和评价。切实注重关键人口的需求还要求采取全面的方法，包括反污名化工作，以及与执法机构和其他利益攸关方合作，解决宏观层面的问题。",
"39. 协委会第27次会议讨论了艾滋病、安全和人道主义应对工作。按照《艾滋病署分工》，人口基金和开发署一直与合作伙伴共同努力处理人道主义局势中的艾滋病毒/艾滋病防治问题。2011年6月安全理事会通过第1983(2011)号决议，[3] 确认必须加强这一工作，并加强处理冲突局势中艾滋病毒和性暴力问题的方案。",
"40. 按照安全理事会上述决议的框架，开发署和人口基金将与维持和平行动部(维和部)、艾滋病署秘书处及共同赞助者协作，在过去举措的基础上，继续加强正在进行的工作，例如：",
"• 将性别问题和艾滋病毒干预措施纳入解除武装、复员和重返社会方案。在科摩罗、科特迪瓦、刚果民主共和国、印度尼西亚、利比里亚、尼泊尔、苏丹、塞拉利昂和南苏丹，联合方案已经覆盖男女前战斗人员，以及与武装团体有关联的妇女和接纳社区。",
"• (根据人口基金与难民署之间的协定)向难民署每年在约25个国家经管的所有难民人口和营地提供基本生殖健康产品和用品。",
"• 在国家军警人员部署到维持和平特派团之前对其进行培训，并与维和部建立伙伴关系，就艾滋病毒和性暴力问题制订维和人员培训举措。",
"• 与各相关机构建立伙伴关系，为东道社区制订和(或)加强冲突中和冲突后预防性暴力和艾滋病毒的方案。",
"41. 安全理事会第1983(2011)号决议的通过表明会员国高层对在人道主义情况下防治艾滋病毒/艾滋病作出承诺，并为人口基金和开发署维持或扩大方案和伙伴关系提供了新机会。如安全理事会第1308(2000)号决议执行进展报告(“在前线：审查2005-2010年处理国际维和人员和军警人员中艾滋病毒问题的方案”)中所指出，“……对国际和平与安全的威胁不断变化，说明艾滋病与安全之间关系的实证也在变化，它们已经对进一步加强这些行动和促进联合国预防冲突和建设和平的工作提出了新的挑战和机遇”。重要的行为者(艾滋病署秘书处、维和部、开发署、人口基金、禁毒办)之间最近将进行讨论，确定明确的责任分工和时间表，以执行安全理事会第1983(2011)号决议。",
"三. 艾滋病署协委会为开发署和人口基金提出的重要决定和建议",
"艾滋病署的战略",
"42. 协委会第27次会议正式通过了为全球防治工作提供了转型性议程的新《艾滋病署2011年至2015年战略：实现三无》。该战略的目的是突出重点和提高效率，以便大幅度减少新感染的数目，扩大获得治疗的机会，并减少污名化和歧视。它计划促进战略伙伴关系，支持国家自主权，促进新兴经济体的参与，促进南南合作和三角合作，并为防治工作引进新的供资做法。这一战略强调防治工作中的相互问责，扩大自主权，加强社区制度，促进采取行动。它体现出从短期技术支助向发展持久能力和国家复原力转型，以及更加努力把艾滋病防治工作与更广泛的健康与发展工作联系起来。",
"43. 会员国强调指出，鼓励所有的共同赞助者把它们的战略与艾滋病署新战略挂钩。这项工作仍在进展中，世卫组织、粮食署、劳工组织和教科文组织已经修订了其艾滋病毒防治战略和政策，使其与艾滋病署的战略具体挂钩。人口基金即将修订其关于艾滋病毒问题的战略指导方针，并正在对其战略计划进行中期审查和修订所附发展成果框架的后续行动的范围内，考虑艾滋病署的统一预算、成果和问责框架。艾滋病署新战略还将为人口基金的下一个战略计划(2014-2017年)提供资料。开发署将更新其目前的艾滋病防治共同战略，为2012年和2013年体现出艾滋病署的新战略。此外，艾滋病署新战略将为把艾滋病毒和艾滋病防治工作纳入开发署2014年及其后的新战略计划提供资料。",
"44. 一个重要的挑战是国际上为艾滋病毒防治工作提供的支助减少，同时存在相互竞争的需要，而感染艾滋病毒的人有所增加，使艾滋病毒防治工作受到很大压力，并威胁到最近取得的成果是否可持续下去。此外，许多国家严重依赖外部支助，这有可能损害国家防治工作。 在2001年《关于艾滋病毒/艾滋病问题的承诺宣言》中有时限的指标通过十年后，在技术和管理领域存在人力资源和机构能力方面的限制，继续削弱更加防治工作。为艾滋病毒防治工作提供资金是一个分担的责任，需要国际捐助者继续给予支助，国内政府增加拨款和作出政治承诺，新兴经济体和私人部门提供更强大的领导 ，以及加强方案重点，以提高效率和扩大影响。",
"2012-2015年统一预算、成果和问责框架",
"45. 将通过各种机制，包括2012-2015年统一预算、成果和问责框架和订正的《艾滋病署分工》来执行艾滋病署战略。统一预算、成果和问责框架是取代了专题届会的协委会第28次会议议程上的主要项目。该框架的结构围绕艾滋病署战略、其10项战略目标和战略职能，旨在促进实现艾滋病署的长期愿景，即无新的艾滋病毒感染、无艾滋病导致的死亡和无歧视。",
"46. 统一预算、成果和问责框架说明了联合方案的成果、产出和交付品，针对这些的资源分配及地理参考，以及进展监测手段。它本身为联合方案提供了综合成果架构，纳入了明确界定的基线和成果，确定了每一联合赞助者的捐款，并具体侧重国家进展情况。",
"47. 统一预算、成果和问责框架由三部分组成：",
"(a) 业务计划：提供了说明联合方案贡献的框架，以支持落实艾滋病署2011-2015年战略。业务计划说明了联合方案的理由、目标和预期成果。共同赞助者和艾滋病署秘书处将为详细执行统一预算、成果和问责框架制订年度滚动工作计划，加强与共同赞助者规划工作和成果框架的联系。鉴于流行病变化的性质以及需要更有侧重点，艾滋病署的工作将更加集中，无论是在方案上，还是通过加强在艾滋病署战略中查明的20+ 国家中的工作(见图1)。",
"图1 20＋国家概览",
"• 将处理以下问题 \n 巴西 － 总体艾滋病毒新感染超过70% \n柬埔寨\t－合格成人接受抗逆转录病毒疗法的总体差距超过80%\n 喀麦隆 － 预防垂直传播方面的总体差距超过75% \n中国\t－与艾滋病毒有关联的结核病造成的总体负担超过95%\n刚果民主共和国\t－由注射吸毒驱动的艾滋病毒传染病严重(估计20个中低收入国家中有一半的注射吸毒人口超过10万，估计这些人中的艾滋病毒发病率超过10%\n埃塞俄比亚\t－影响艾滋病毒防治工作的法律，包括限制感染艾滋病毒者旅行的法律(这些国家中的14个国家有3个或3个以上这样的法律)\n 印度 \n 肯尼亚 \n 马拉维 \n 莫桑比克 \n 缅甸 \n 尼日利亚 • 将提高援助效力 \n俄罗斯联邦\t－加强来自全球抗击艾滋病、结核病和疟疾基金的51亿美元艾滋病毒防治赠款的实施工作\n南非\t－利用来自美国总统艾滋病紧急救援计划的资金(2007至2009年为74亿美元)\n 泰国 \n 乌干达 \n 乌克兰 \n坦桑尼亚联合共和国\t• 将使以下国家参与 赞比亚 － \n 所有金砖五国(巴西、俄罗斯联邦、印度、中国、南非)\n 津巴布韦 根据独立数据来源，三个国家符合以下五个标准：(1) \n新感染艾滋病毒的总人数高于1%；(2)成人接受抗逆转录病毒疗法的总差距大于80%(CD4大于350/ml)；(3)与艾滋病毒有关的结核病总负担大于1%；(4)估计注射吸毒的人数超过10万，估计这些人中的艾滋病毒发病率高于10%；(5)存在妨碍为边缘群体，包括性工作者、男男性行为者、变性者和注射吸毒者提供普遍服务的法律。",
"(b) 成果和问责框架：将衡量联合方案的成就，提供投资与结果之间的明确联系。这一成果问责框架将确保在方案结果以及物有所值方面的问责。协委会要求联合方案通过与所有赞助者的协商进程，进一步加强这一框架，并向协委会第29次会议报告其结果。对开发署和人口基金而言，影响包括审查和修正作为共同赞助者评价工作组和艾滋病署监测和评价参考组成员的指标。将每年向协委会报告框架的执行情况，包括关于民间社会资金来源和参与情况的资料，同时提供指标。",
"(c) 核心预算：以推动共同赞助者的捐款，并在2012-2013年为艾滋病署提供资金，以便将艾滋病署战略的各项目标转化为行动和成果。协委会核准了4.85亿美元的2012-2013年核心预算，这意味着与2010-2011年和2008-2009年的数额保持不变。这表示实际价值有所下降，突出了统一预算、成果和问责框架的继续推动和利用性质，以及努力确保物有所值。1.64亿美元分配给艾滋病署的10个共同赞助者，3.2亿美元分配给艾滋病署秘书处。给共同赞助者的核心预算拨款是为了推动共同赞助者为艾滋病相关工作募集的其他预算。在下两个两年期，目标是将用于区域和国家两级统一预算、成果和问责框架的核心资源提高70%，以最大限度地扩大所有共同赞助者和艾滋病署秘书处专用于艾滋病防治工作的资源的影响。",
"图2 统一预算、成果和问责框架核心资源的目前分配情况和指标分配情况",
"[]",
"48. 统一预算、成果和问责框架将业务计划、成果和问责框架以及预算的所有部分联系起来，以便产生一系列支持实现艾滋病署2011-2015年战略的结果。以下数字概述了业务计划、成果和问责框架和预算以及它们之间的联系。在根据统一预算、成果和问责框架调整开发署和人口基金各自的战略计划修订工作方面，开发署/人口基金/项目厅执行局提供支助和指导将减轻调整方面的挑战。",
"图3 统一预算、成果和问责框架各要素之间的联系",
"[]",
"第二次独立评价的执行情况进展报告",
"49. 联合国艾滋病毒/艾滋病联合规划署第二次独立评价要求为艾滋病署制订新的任务说明、愿景、战略和统一预算、成果和问责框架。[4] 此外，联合方案修订了《艾滋病署分工》，以提高效率和效力，利用各自的任务和资源，促进在全球、区域和国家各级相互问责。《分工》确定了艾滋病署10个共同赞助者每一个在召集和建立伙伴关系方面的作用和责任。艾滋病署秘书处部不负责召集15个分工领域中的任何一个，但将负责促进和推动在宣传、战略信息、伙伴关系、相互问责和调集核心资源领域的协调和统一，以实现所有领域的成果。",
"50. 按照订正的《分工》，开发署负责召集人权和法律环境这一优先领域，并与人口基金负责共同召集妇女和女孩以及最高风险人群这一领域。 此外，人口基金与世界银行负责共同召集艾滋病毒的性传播，与儿童基金会负责共同召集青年这一领域。指派给开发署的召集和伙伴角色非常符合其战略规划的成果领域，以及开发署在减贫、治理、性别平等和预防危机和复原方面的更广泛任务。同样，人口基金的共同召集角色完全符合其任务和其战略规划的侧重点，即普遍获得性健康和生殖健康、生殖权、妇女和性别平等、青年和覆盖边缘人群和被排斥人群。",
"51. 总体上说，由于订正《分工》的通过，艾滋病署的集体业绩和影响有机会得到大幅度改进。联合国联合小组和联合支助方案的数目增加，为在国家一级改善联合国工作的统筹、协调和效力提供了可能性。更努力执行第二次独立评价的建议还可使整个艾滋病署发生变化，尤其是在统一预算、成果和问责框架新的四年格式方面。由于假定妇女署将加入联合方案，有些捐助者询问分工可能出现的变化，预计格式将在适当时问世。然而，各机构已经与妇女署在各种问题上紧密合作，而且在妇女署有国家存在的地方，已经根据当地情况和需要，将妇女署列入关于在国家一级通过《分工》进程的讨论和决策中，同时考虑到所有伙伴的比较优势。",
"52. 技术支助战略的确定被推迟到协委会第27次会议。技术支助战略概述了联合方案扩大技术支助和加强总体技术支助市场的重要行动。更加强调技术支助的效力和通过统一的问责制具有成本效益地提供这种支持。艾滋病署的技术支助将尤其侧重国家和区域两级的长期技能转让和能力开发，并侧重统一联合方案中不同的技术支助架构和机制。",
"53. 协委会成员要求提供关于技术支助计划的更多细节。商定列入一个实质性议程项目，即审查和分析联合方案中可持续能力发展和技术支助的情况，还商定在协委会第29次会议上进一步讨论艾滋病署的技术支助战略。就能力开发而言，与技术支助战略相联的，是像第二次独立评价指出的那样，重申需要一项侧重民间社会和艾滋病感染者的明确伙伴战略。在今后的六个月，将与民间社会伙伴协作，继续编撰工作，并确定统一预算、成果和问责框架的各项指标。挑战包括确保清楚地了解每一潜在伙伴的期望和目标，将其作为有效伙伴关系的一项原则，并确保这些期望和目标与艾滋病署的战略目标和国家方案优先事项保持一致。此外，最近的经验突出表明，许多多国公司乐于在社会发展工作方面与非政府组织结成伙伴关系，以加强公司的社会责任方案，并探讨是否有机会就艾滋病毒防治与私营部门较小企业合作。",
"54. 最后，协委会获悉，经广泛协商并对相关的成本效益进行全面分析后，已经确定艾滋病署秘书处的最佳选择是转向世卫组织条例和细则框架内的单一行政系统。秘书处以前在总部和国家两级分别利用世卫组织和开发署两套行政系统。现在艾滋病署的所有工作人员将服从同一套工作人员细则，并与同一电子平台相联。与转向单一行政系统相关的费用将由统一预算和工作计划的秘书处部分匀支。预计艾滋病署秘书处将因采用单一行政系统而大大提高效率并避免重复。",
"四. 前进的道路",
"55. 有鉴于此，开发署正在调整艾滋病毒防治方案的制订工作，以应对挑战和扩大成功。首先，开发署认识到把艾滋病毒防治行动与更广大的发展工作相联系的重要性，将把执行跨专题方案作为优先事项，这些方案在处理艾滋病毒问题的同时，处理促进性别平等、司法救助和增强经济权能等重要优先事项。这将涉及制订跨业务领域的战略和联合工作计划，以及落实务实的方案制订指导方针。其次，在发展国家实体能力以接管全球抗击艾滋病、结核病和疟疾基金赠款的实施工作取得了重大进展的同时，开发署还将更加重视较长期的能力发展。在前进的过程中，与国家利益攸关方协作编写能力建设评估和计划将是开发署经管的所有全球基金新方案不可分割的组成部分。第三，千年发展目标评估突出了把艾滋病毒防治工作与卫生战略相联的裨益，开发署将在这一评估的基础上，通过利用现有成功的艾滋病毒防治方案，提高成本效益，促进实现卫生方面更广泛的千年发展目标。这将包括吸取在支助大规模实施、能力发展和治理方面的经验，以加快在实现千年发展目标方面的进展。最后，非常重要的是确保评估为方案制订方面的决定提供更一致的资料，并确保成功防治艾滋病毒的举措能够持久和扩大，或在开发署停止支助时移交合作伙伴。",
"56. 鉴于全球育龄妇女死亡的两大主要原因是与怀孕、生育和艾滋病毒/艾滋病有关的并发症，而且鉴于如果没有艾滋病毒，2008年全世界的孕产妇死亡率本来可以下降约6%，人口基金将继续努力降低孕产妇死亡率。这将包括加强积极把降低孕产妇死亡率的工作与防治艾滋病流行病的工作挂钩的机制；促进加强协作，采取综合做法，制订有实证依据和注重权利的方案，将孕产妇健康置于持续护理的范围内，持续护理纳入了影响孕产妇健康结果的一系列综合干预措施，包括与艾滋病毒防治有关的措施。人口基金将继续支持让妇女和女孩有意义地参与国家艾滋病毒防治工作每一阶段的努力，以确保适当地处理和监测她们的需要和权利；她们获得性健康和生殖健康方面优质的基本服务，受到有尊严的对待和尊重，免遭暴力、胁迫、侮辱和歧视。在哪些工作可有效预防青少年和青年感染艾滋病毒的实证基础上，人口基金将支助在艾滋病毒防治和性健康和生殖健康方面为青年制订的综合干预措施，包括推迟第一次性交、回避性行为、正确和持续使用男用和女用避孕套、包皮环切术、减少同时有多个性伴侣和有效交流，以实现社会变革和行为转变。",
"57. 人口基金将继续支助改善国家、区域和全球综合安全套规划，以增加获得男用和女用安全套的机会和需求。人口基金将支助政府根据流行病情况和国情制订专门针对男男性行为者、性工作者和变性者的性健康和生殖健康需要的战略。最后，人口基金认识到若不在育龄妇女中进行艾滋病毒的有效初级预防，不在感染艾滋病毒妇女中预防意外怀孕，在儿童中消灭新感染的目标就不可能实现，还认识到在孕妇中进行有效的初级预防，降低感染艾滋病毒妇女的意外怀孕以及限制这些妇女用母乳喂养，有可能将艾滋病毒母婴感染减少19%，因此将支助确保人权，包括所有妇女和女孩的生殖权，尤其是那些感染了艾滋病毒的妇女和女孩的生殖权得到保护，并将其作为所有艾滋病毒防治和全球保健方案不容谈判的一部分。",
"58. 尽管联合国系统内对支持国家艾滋病毒防治工作作出坚定承诺，强调本报告提出问题，特别是那些与提供财政资源有关的，而且对联合国而言更重要的是与在各级提供人力资源能力有关的问题，将继续对各机构的成果，以及国家在实现政治宣言、艾滋病署战略和统一预算、成果和问责框架中规定的指标方面取得的进展提出挑战。",
"五. 决定要点",
"59. 执行局不妨注意到本报告，并建议在开发署和人口基金各自的艾滋病毒防治战略和政策中，以及在开发署和人口基金将为2014-2017年制订的新战略规划中，与艾滋病署的战略具体挂钩。",
"附件",
"战略——一瞥",
"全球承诺",
"普及艾滋病毒预防、治疗、护理和支助工作 遏制并扭转艾滋病毒的蔓延，促进千年发展目标的实现 战略方向 愿景和目标 \n 在艾滋病毒预防方面实现革命性变革 愿景：实现无新的感染 \n每天有7000多人新感染艾滋病毒。亟需在预防的政治、政策和实践方面实现革命性变革。通过以下途径可实现这一点：为作出承诺制订政治激励措施，推动由艾滋病毒感染者、受影响社区、妇女和青年领导在性行为、吸毒和艾滋病毒教育方面的转型社会运动。同样至关重要的是把流行病高发区，尤其是特大城市里的高发区作为目标，并确保平等提供高质量、高成本效益的艾滋病毒预防方案，其中包括迅速采用科学突破。 2015年目标：将艾滋病毒的性传播减少一半，包括在青年、男男性行为者中的传播和性工作范围内的传播消灭艾滋病毒的垂直传播，将与艾滋病有关的孕产妇死亡率降低一半在吸毒者中预防所有新的艾滋病毒感染\n 促成下一阶段的治疗、护理和支助 愿景：实现无艾滋病导致的死亡\n2009年，共有180万人死于与艾滋病有关的原因。通过更简单、更支付得起和更有效的药物和支付系统，可以向所有需要者提供治疗。加强抗逆转录病毒疗法服务与初级保健、孕产妇和儿童保健、结核病和性健康和生殖健康服务之间的联系，将进一步降低费用，推动提高效率。加强快速注册的能力将增加获得药物的机会，以及国家利用与贸易有关的知识产权灵活性的能力。必需通过利用社会和现金转让以及扩大社会保险制度，为艾滋病毒感染者和受到艾滋病毒影响的人，包括孤儿和易受感染儿童加强营养支助和社会保护。 2015年目标：向有资格获得治疗的所有艾滋病毒感染者普遍提供抗逆转录病毒疗法将死于结核病的艾滋病毒感染者减少一半在所有国家社会保护战略中解决艾滋病毒感染者和受艾滋病毒影响家庭的问题，并向其提供基本护理和支持\n促进人权和性别平等，推动艾滋病毒防治工作 愿景：实现无歧视2015年目标：\n社会和法律环境若不能保护免遭污名化和歧视，或不能促进提供艾滋病毒防治方案，将继续妨碍普遍获取服务。各国必须作出更大努力，以实现和保护与艾滋病毒有关的人权，包括妇女和女孩的权利；为艾滋病毒感染者和感染艾滋病毒高危人群实施保护性环境；确保艾滋病毒防治工作覆盖最缺少服务和最弱势群体。艾滋病毒感染者和高危人群应了解自己与艾滋病毒有关的权利，并在为履行权利动员起来时得到支持。应做出更大投资，处理易感染艾滋病毒、性别不平等与暴力侵害妇女和女孩行为之间的内部联系。 将拥有阻碍有效防治工作的关于艾滋病毒传播、性工作、吸毒或同性恋的惩罚性法律和做法的国家减少一半将在入境、停留和居住方面实施与艾滋病毒有关限制的国家减少一半在至少一半国家的艾滋病毒防治工作中满足妇女和女孩防治艾滋病毒的具体需要对性别暴力采取零容忍政策。",
"核心专题 人民包容性防治工作覆盖多数最脆弱者，动员社区，保护人权 国家国家拥有可持续的防治工作，供资多样化，加强制度 协同作用统一运动，整合服务，确保所有千年发展目标的效率",
"[1] 这些目标为(1) 将艾滋病毒的性传播减少一半，包括在青年、男男性行为者中的传播和在性工作范围内的传播；(2) 消灭艾滋病毒的垂直传播，并将与艾滋病有关的孕产妇死亡率降低一半；(3) 在吸毒者中预防所有新的艾滋病毒感染；(4) 向有资格获得治疗的艾滋病毒感染者普遍提供抗逆转录治疗；(5) 将死于结核病的艾滋病毒感染者减少一半；(6) 在所有国家社会保护战略中解决艾滋病毒感染者和受到艾滋病毒影响家庭的问题，并向其提供基本的护理和支助；(7) 将拥有阻碍有效防治工作的关于艾滋病毒传播、性工作、吸毒或同性恋的惩罚性法律和做法的国家减少一半；(8) 将在入境、停留和居住方面实施与艾滋病毒有关限制的国家减少一半；(9) 在至少一半国家的艾滋病毒防治工作中满足妇女和女孩防治艾滋病毒的具体需要；(10) 对性别暴力采取零容忍政策。",
"[2] 艾滋病毒治疗数字为目前通过当前赠款接受抗逆病毒治疗的人数。",
"[3] 除其他规定外，该决议“鼓励在完成维持和平行动的规定任务过程中，酌情列入包括自愿保密咨询和检测方案在内的艾滋病毒的预防、治疗、护理和支助，包括向各国机构、安全部门改革和解除武装、复员和重返社会(复员方案)工作提供援助，并需要在联合国派驻人员过渡到其他组合期间和之后继续提供这种预防、治疗、护理和支助”。这一决议不仅确认“国际社会仍然需要紧迫采取协调一致的行动，控制艾滋病毒流行在冲突中和冲突后的影响”，而且为联合国和会员国的执行工作提供了指导。",
"[4] 开发署负责“废除惩罚性法律、政策和做法，消除污名化和歧视，为有效防治艾滋病清除障碍”方面的召集，并与人口基金共同负责“满足妇女和女孩防治艾滋病毒的需要并制止性暴力和性别暴力”和“增强男男性行为者、性工作者和变性者自我保护、避免感染艾滋病毒和充分获得抗逆转录病毒疗法的能力”方面的召集。"
] | [
"United Nations DP/2011/40-DP/FPA/2011/12",
"[]",
"Second regular session 2011",
"6 to 9 September 2011, New York",
"Item 5 of the provisional agenda",
"Follow-up to UNAIDS Programme Coordinating Board Meeting",
"Report on the implementation of the decisions and recommendations of the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS",
"Summary",
"As per discussions at the Executive Board’s second regular session 2010, the present report focuses on selected results of UNDP and UNFPA in addressing HIV and provides an update on the decisions and recommendationsrelevant to UNFPA and UNDP from the 27^(th) and 28^(th)meetings of the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS held in December 2010 and June 2011, respectively.",
"Elements for a decision are contained in the present report.",
"Contents",
"I. Context 4",
"II. UNDP and UNFPA results 4",
"III. UNAIDS PCB decisions and recommendations of note for UNDP and UNFPA 12",
"IV. The way forward 16",
"V. Elements for a decision 17",
"Annex 18",
"List of acronyms",
"APNSW Asia Pacific Network of Sex Workers",
"ASRH Adolescent sexual and reproductive health",
"CCO Committee of Cosponsoring Organizations",
"CEWG Cosponsor Evaluation Working Group",
"DPKO Department of Peacekeeping Operations",
"EAC East African Community",
"EIAs Environmental impact assessments",
"GBV Gender-based violence",
"GIZ German Agency for International Cooperation",
"(previously known as the German Agency for Technical Cooperation, GTZ)",
"HCT HIV Counselling and Testing Campaign",
"MDG Millennium Development Goal",
"MERG Monitoring and Evaluation Reference Group",
"MSM Men having sex with men",
"PCB Programme Coordinating Board",
"PMTCT Prevention of mother-to-child transmission",
"PRSPs Poverty Reduction Strategy Papers",
"SADC Southern African Development Community",
"SIE Second independent evaluation",
"SRH Sexual and reproductive health",
"TRIPS Trade-Related Aspects of Intellectual Property Rights",
"UBRAF Unified budget, resultsand accountability framework",
"UBW Unified budget and workplan",
"UNAIDS Joint United Nations Programme on HIV/AIDS",
"YWCA Young Women’s Christian Association",
"I. Context",
"1. Thirty years into the HIV epidemic, the global AIDS response stands at a crossroads. Important progress has been made in the fight against AIDS since the 2001 and 2006 United Nations General Assembly special sessions — particularly in terms of greater resources, stronger national policy frameworks, wider access to treatment and prevention services and broad consensus on the principles of effective country-level action. The review of major trends also highlights key opportunities, including improved tools to measure HIV incidence, superior strategic information, and momentum in the development of new strategies for HIV prevention, treatment, care and support. At the same time, a review of longer-term political and economic trends points towards flattening resources, fragmented and generic responses, severe gaps in treatment access, weak systemsand perpetuation of social injustices.",
"2. At the United Nations General Assembly high-level meeting on AIDS in June 2011, Member States adopted a new Political Declaration on HIV/AIDS: Intensifying our Efforts to Eliminate HIV/AIDS, which sets bold new targets in responding to HIV. This declaration sets the agenda for the future of the AIDS response and provides a roadmap for ending the epidemic. The adoption of a new Security Council resolution on AIDS,i.e., resolution 1983 (2011), which addresses the link between violence against women and HIV in conflict and post-conflict settings, is another significant step in ensuring social stability and national security which could be jeopardized by the AIDS epidemic.",
"3. In June 2003, the Executive Boards of UNDP/UNFPA, the United Nations Children’s Fund (UNICEF) and the World Food Programme (WFP) held a joint meeting to address the recommendations of the first five-year evaluation of UNAIDS, contained in document UNAIDS/PCB(13)/02.2. The joint meeting discussed the implications of the evaluation recommendations for UNDP, UNFPA, UNICEF and WFP, and addressed UNAIDS operational and governance issues. As a result, members of the Executive Boards agreed that a regular item should be placed on the agendas of the Executive Boards concerning follow-up to the decisions and recommendations of theProgramme Coordinating Board (PCB)of the Joint United Nations Programme on HIV/AIDS (UNAIDS).",
"4. The present report, prepared jointly by UNDP and UNFPA, provides an overview of results achieved in addressing HIV. It also provides an update on the decisions and recommendations from the 27^(th) and 28^(th) PCB meetings, held in December 2010 and June 2011, respectively. Key issues addressed during those meetings that were of particular relevance to UNDP and UNFPA included:the UNAIDS strategy 2011-2015; the UNAIDS unified budget, resultsand accountability framework (UBRAF); and progress on the implementation of the second independent evaluation (SIE).",
"II. UNDP and UNFPA results",
"5. The 27^(th) meeting of the PCB officially adopted the new UNAIDS 2011-2015 Strategy: Getting to Zero, which presents a transformative agenda for the global response. The three new strategic directions for UNAIDS are: (a) revolutionizing HIV prevention; (b) catalysing the next phase of treatment, care and support; and (c) advancing human rights and gender equality. Each of these strategic directions is critical, and all are interdependent. Ten medium-term goals[1] towards the long-term UNAIDS vision have been established. Evolved from the priority areas of the UNAIDS outcome framework, these goals aim to drive concrete progress where it is needed and enable the joint programme to improve its strategic focus. The annex provides the new UNAIDS strategy at a glance. The strategy formed the basis for the new political declaration on HIV/AIDS adopted at the United Nations General Assembly high-level meeting on AIDS in June 2011.",
"6. Below are some illustrative examples of the results generated by UNDP and UNFPA contributions to development, under each of the three strategic directions of the UNAIDS strategy 2011-2015, as well as challenges and steps to address them.",
"7. Since 2008, nearly 70 UNDP country offices have implemented programmes linked to the four HIV outcomes of the UNDP strategic plan, and an additional 30 countries are estimated to implement HIV activities as part of other thematic or cross-practice programmes. Analysis of independent evaluative evidence and reporting from country offices outlines significant results in addressing HIV. In particular, the evidence highlights successful approaches in building the capacity of local institutions, advancing gender equality, and promoting multi-stakeholder engagement, South-South cooperation and collaboration with United Nations agencies. The evaluations point to noteworthy cross-practice work, indicating that some of the strongest HIV results have been achieved where there are linkages to other thematic areas.",
"8. Given that about 80 percent of HIV infections are transmitted sexually or are associated with pregnancy, childbirth and breastfeeding, UNFPA has implemented a strategy that prioritized the allocation and use of its unified budget and workplan (UBW) resources towards building the Fund’s dedicated HIV capacity at country and subregional levels. This capacity-building strategy to enhance its support to countries’ HIV-prevention efforts was launched in 2006.A review in 2008 concluded that the scope, intensity and quality of the UNFPA contribution to HIV prevention have undergone a significant positive shift. In 2011, the strategy is under review to ensure an integrated approach to more efficiently intensify the Fund’s work with countries to link HIV responses to broader development, human rights and humanitarian programming and to sexual and reproductive health (SRH).",
"Revolutionizing HIV prevention",
"9. UNDP supported 21 countries and two regions for mainstreaming HIV into national and sector development plans and processes, Poverty Reduction Strategy Papers (PRSPs) and Millennium Development Goal (MDG) plans. A draft legislative review report on integrating health and social issues (particularly HIV and gender) into environmental impact assessments (EIAs) in the Southern and East Africa regions has been produced by the Southern Africa Institute for Environmental Assessment and supported by UNDP. Partnering countries include: Botswana, Lesotho, Malawi, Mozambique, Namibia, South Africa, Uganda and Zambia. EIAs are a practical platform through which the social impacts (HIV and gender) associated with capital projects can be better understood and addressed through a multisectoral approach in a sustainable manner. The initiation of this project has led to strengthened collaboration across ministries. In all countries, links between gender, HIV and capital projects are being identified and better understood.",
"10. Technical assistance and policy guidance on men having sex with men (MSM), transgender people and sex work, as well as funding and fund-raising support was provided to over 37 countries. Building on work initiated in 2009, UNDP continued to provide advisory support to programmes in Argentina, Burkina Faso, Togo, Lesotho, Fiji, Philippines and Ukraine on strategic information for MSM and transgender people, human rights protection and strengthening capacity and partnerships for scaling up services for MSM and transgender people. These programmes have resulted in scaling up national efforts to address the needs of these typically underserved populations – for example, in the Philippines there is now a specific component in the national HIV programme focusing on MSM and transgender people.",
"11. Addressing the SRH needs of men and women, UNFPA continues to intensify access to male and female condoms and promote their correct and consistent use. The Global Condom Initiative was expanded to 74 countries in 2010, up from 55 countries in 2008 and moving closer to its 100 country target. UNFPA continues to be one of the largest suppliers of male and female condoms to low-income countries (68 million and 14 million, respectively, in 2009). A condom demand-generation framework was field-tested in the Caribbeansubregion resulting in the drafting of condom demand-generation strategies in Belize, Suriname and St. Lucia. Condom demand-generation initiatives were also completed in four high-prevalence countries in Southern Africa, namely,Botswana, Lesotho, South Africa and Swaziland.In 2011, UNFPA intensified efforts towards achieving the UNAIDS targets of increasing condom use among young people by 50 per cent and this will continue to be a programmatic priority.",
"12. To scale up HIV testing for young people in South Africa, UNFPA forged a partnership with LoveLife and Soul City, to support a national HIV Counselling and Testing Campaign (HCT) for 12-14 year olds reaching 8,445,000 young people. In Barbados and Kazakhstan, advocacy with policymakers was undertaken to remove the legal barriers that prevent youth below the age of 18 from accessing SRH services without parental consent. In Belize, UNFPA support to the Young Women’s Christian Association (YWCA) to establish a youth-friendly space for young girls has significantly improved access to counselling, SRH information and condom use.",
"13. Globally, UNFPA continued to strengthen partnerships, build the evidence base, support capacity development and provide technical assistance to support young people’s access to the comprehensive package of adolescent SRH services and sexuality education. The 2011 target for proportion of countries with secondary school curricula including gender-sensitive life skills-based SRH and HIV prevention has already been surpassed in 2010. Examples of results from UNFPA support include Nepal where adolescent and youth SRH was included in the Government’s health-sector implementation plan; and Viet Nam where national adolescent sexual and reproductive health (ASRH) guidelines were developed for out-of-school youth. In Colombia and Mozambique, UNFPA-supported programmes made the important switch from being donor-supported to government-owned. In the Syrian Arab Republic and Egypt, UNFPA supported sexuality education through culturallysensitive approaches.",
"14. Currently, UNFPA and partners are working to establish a network of regional and national experts to respond to training and technical assistance requests in sexuality education. As a first step, a situational analysis was carried out to assess the content, quality and the method of delivery of the current school-based sexuality education programmes in 10 East and Southern African countries so as to guide future curriculum revisions. The results fed into a workshop co-organized by UNFPA, UNICEF, UNESCO, and the University of KwaZulu-Natal which built the capacity of 70 curriculum-development specialists from the Ministries of Education and United Nations staff responsible for youth from 10 Southern African Development Community(SADC) countries (Botswana, Kenya, Lesotho, Malawi, Namibia, South Africa, Swaziland, Uganda, Zambia and Zimbabwe) to design and implement effective sexuality education and HIV prevention among young people in the educational settings. As a result, a regional training manual on sexuality education, using participatory training methodology, is being developed and will be used to create a critical mass of competent sexuality educators.",
"15. Recent evidence showing HIV as the leading cause of death in women of reproductive age demands strengthened awareness of the interconnection of MDGs 3, 4, 5 and 6 and concerted efforts to support the integration of HIV and SRH. To date, 25 countries have been supported to develop and implement national plans to integrate SRH and countries have reported improved linkages between HIV programmes and efforts to prevent gender-based violence (GBV). Technical support was provided to 61 countries to scale up programmes to implement prevention of mother-to-child transmission (PMTCT) and service integration – family planning provides a solid entry point with UNFPA offices reporting that 70 per cent of the countries had included family planning in situation analyses, and 49 per cent had allocated a budget for it in their national plans.",
"16. Key challenges remain and will impact reaching the UNAIDS strategy goals. In 2010, more evidence emerged of the prevention benefits resulting from scaled-up treatment. These findings underscored not only the need to accelerate the expansion of treatment access, but also the critical need to link HIV prevention and treatment at the levels of strategic planning, service delivery, and impact evaluation. This will require stronger measurement and data gathering on prevention as a whole, both qualitative and quantitative. ‘Treatmentforprevention’ needs to be used in combination with other HIV-prevention options as it is an enhancement of the HIV-prevention package and not a replacement.",
"17. On the issue of integration, linkages between HIV and SRH continue to be challenging in many countries. Often the focus is on service-level integration with less attention paid to the wider structural and human rights issues. Ineffective logistical and supply systems are also obstacles to effective service delivery. For example, interruptions in the supplies of key commodities (antiretroviral medicines, regimens for opportunistic illnesses, HIV testing kits, condoms, etc.) impede effective responses and underscore the need for further strengthening of national and subnational systems for procurement and supply management. As regards elimination of mother-to-child transmission of HIV and universal access goals, these will not be attained unless countries and communities reach the most marginalized members of society and serve their needs. Greater political support, focused technical support and more integrated services are required to ensure programmes are scaledup in countries where progress continues to lag. A comprehensive approach, with practical standardized procedures supplemented with evidence on the benefits of integration, is critical in convincing stakeholders to scale up programmes.",
"18. Prevention information and programming need to be delivered through a continuum of age- and context-appropriate programmes, for which the design has seen young peoples’ participation and inputs, including sexuality education as a useful means of improving health outcomes for young people. Removing policy and legal barriers to youth-friendly services so that young people are not excluded reduces their risk of exposure to HIV. Working towards measurable targets (for example, on comprehensive knowledge, HIV testing and condom use in young people) in priority countries will help to build greater accountability and leverage for results in reducing new infections.",
"Catalysing the next phase of treatment, care and support",
"19. As a Global Fund to Fight AIDS, Tuberculosis and Malariaprincipal recipient, UNDP helped to develop country capacity to effectively implement large-scale HIV, tuberculosisand malaria programmes in 29 countries in 2010. Capacity development support for national stakeholders has been a key priority, with formal capacity development plans being prepared for all new grants managed by UNDP, in collaboration with country partners. UNDP has served as a principal recipient in a total of 37 countries between 2003 and 2010. In 12 of these countries, the principal recipient role was handed over to a national entity, reflecting achievements in capacity development. Despite often serving as principal recipient in country contexts with the highest levels of risk, UNDP grant performance is significantly above average. Since 2003, UNDP contributed to providing community outreach for HIV, tuberculosis and malaria prevention to 28 million people. HIV counselling and testing was provided for nearly 4.8 million people, in addition to antiretroviral treatment for 213,000 people living with HIV.[2]Programmes also resulted in detection and treatment of 700,000 cases of tuberculosis, distribution of 11 million bed nets, and treatment of 26 million malaria cases.",
"20. UNFPA supported the development of specific guidance for addressing issues relevant to youth and sex workers for use in preparing Round 10 Global Fund HIV proposals.It provided technical support to South Africa, Swaziland and Zambiato integrate SRH and HIV; and to 20 countries for PMTCT of HIV, including consultation and joint technical missions.",
"21. UNDP supported 17 countries and two regions to build capacity for adoption of enabling trade and health policies and legislation. In Ukraine, for example, the Government was supported by UNDP to incorporateTrade-Related Aspects of Intellectual Property Rights(TRIPS) flexibilities into their national legislation. If these are adopted, there could be a substantial reduction in the costs of antiretroviralsand other medicines. Also, in the case of Ukraine, if the TRIPS flexibilities are adopted, more generics could be used, which in some cases could account for over 90 per cent cost savings thereby allowing many more people to be put on treatment. In the United Republic of Tanzania, UNDP, in partnership with civil society and the German Agency for International Cooperation (GIZ) organized two meetings on the proliferation of anti-counterfeiting legislation in the East African Community (EAC) – covering Burundi, Kenya, Rwanda, Uganda and the United Republic of Tanzania. The meetings were attended by government representatives, Members of Parliament, scholars and civil society from all EAC countries and raised awareness on the public health implications of anti-counterfeit legislation. They resulted in the adoption by the EAC Secretariat of UNDP proposals to amend the draft EAC anti-counterfeiting bill in a public health-sensitive fashion. This will guarantee the continued use of generic medicines in the EAC countries which account for 90 per cent of all medicines consumed in the region.",
"22. Poverty and exclusion are key aspects to address when tackling vulnerability to AIDS. This has led the global community to recognize that we need not an AIDS-exclusive but an AIDS-sensitive approach to social protection. In India, UNDP supported the creation, expansion and reform of multiple HIV-sensitive social protection programmes in several states, reaching over 77,000 people in a six-month period in 2010. The analytical foundation for these programmes was laid out in 2006 with a socio-economic impact study, which showed considerable negative impacts of HIV on employment, income, savings and school attendance in affected households. In follow-up, UNDP launched a multipronged strategy of advocacy and technical support involving the National AIDS Control Organization, state offices and civil society organizations, including networks of people living with HIV. As a result, in the State of Rajasthan, the widow-pension scheme was reformed so that women widowed by HIV would be eligible to receive a monthly pension irrespective of age. Other states in India are now following suit. Across all states with modified pension schemes, approximately 23,000 women benefited from this change in 2010. Moreover, states have been increasingly covering transportation costs for HIV treatment. In six months in 2010, over 31,000 people benefited from the programme. Other notable reforms include states where people with HIV now have access to subsidized food, housing and health care – all of which were previously restricted to those below the poverty line. The Ministry of Labour has also removed an HIV-exclusion clause from special health insurance schemes for informal workers.",
"23. Many countries do not have national social protection programmes and for those that do there needs to be a thorough review of how to make laws, policies and programmes more sensitive to the needs of those affected by and living with HIV. Access to services is restricted for many due to general conditions of poverty, combined with stigma and discrimination. Although in some settings there exists a continuum of care between HIV-treatment sites and community-based organizations, in reality this is very difficult to ensure due to a variety of factors including lack of political will and resources, lack of capacity of community groups, and a lack of understanding between community groups and health-care workers.",
"24. While the health sector must be at the centre of treatment, care and support scale-up efforts, many countries are still not strategically leveraging and coordinating with the relevant ministries. In addition to the role of trade and social protection policies as described above, other key contributors to scalingup care and support can include ministries of women or gender, which address the disproportionate role of women as caregivers, and ministries of the interior or home affairs, which help to facilitate access to services for marginalized groups.",
"Advancing human rights and gender equality",
"25. UNDP, together with the UNAIDS Secretariat and the Global Fund, published an analysis of access to justice programming in Rounds 6 and 7 HIV proposals and grants, which successfully influenced inclusion of a specific objective and operational plan on human rights and equity in the new Global Fund strategy.",
"26. In June 2010, UNDP launched the Global Commission on HIV and the Law on behalf of the UNAIDS family. The Commission’s aim is to develop evidence-informed and human rights-based recommendations which will support countries to create and maintain enabling legal environments for effective HIV responses. The discussions and follow-up actions identified through the Commission’s regional dialogues across six regions, held in 2011, will further inform and strengthen UNDP work in this important area. The aim of the regional dialogues is to generate policy dialogue, with a view to giving voice to the critical HIV-related human rights and legal issues in the region. The regional dialogues will inform the deliberations of the commission through submissions and evidence-informed inputs and by engaging policy and lawmakers, law enforcement and community perspectives. The regional dialogues will also contribute to enhancing awareness, engagement and ownership within regions on the actions that are required to effect real change on issues of human rights and law that can support improvements in people's lives and health. There are close links between the gender work of UNDP and the Global Commission on HIV and the Law. One of the three main areas the Commission is investigating concerns laws which sustain or mitigate violence and discrimination lived by women.",
"27. A progress report on the implementation of the action framework and the UNAIDS Agenda for Accelerated Country Action for Women, Girls, Gender Equality and HIV was presented to the 27^(th) PCB. The 28^(th) PCB meeting further discussed gender sensitivity of AIDS responses. Launched in March 2010, the initiative has achieved considerable results: 55 countries have launched the agenda for women and girls, with 45 countries already reporting on activities directly related to the agenda. A total of $6.1 million has been allocated towards the initiative in 2010, including $4.5 million in country support.",
"28. PCB members welcomed the progress report and cited the operational plan as a unique opportunity to ensure that national responses meet the needs of women and girls. The PCB specifically welcomed efforts by UNAIDS to incorporate comprehensive sexuality education policies and programmes in its 2011-2015 strategy, as well as UNAIDS efforts to address male gender-related obstacles to HIV and SRH services. Further progress was urged, and calls were made for broader leadership on women, girls and HIV, with political rhetoric matched by sufficient resources.",
"29. Following up on UNDP responsibilities within the UNAIDSAgenda for Accelerated Country Action for Women, Girls, Gender Equality and HIV, leadership capacity development for women living with HIV was undertaken in 23 countries across six regions, resulting in increased partnerships between HIV-positive women’s organizations/networks and other key national stakeholders. In addition, the capacity of national networks of women living with HIV has been strengthened to more effectively engage in universal access processes/reporting and MDG reporting/advocacy in 14 countries.",
"30. Integrating responsibilities for the UNiTE Campaign and the Agenda for Women and Girls, UNFPA supported 42 countries to design, implement or evaluate prevention, treatment, care and support programmes specifically intended to empower women and girls; and 26 countries to develop and/or implement HIV-related policies that specifically address GBV and other actions promoting gender equality. In Jamaica, a Men’s Desk was created to manage requisite interventions at the Bureau of Women’s Affairs which has increased mobilization of Jamaican men in the advocacy and implementation of programmes to reduce GBV and improved male involvement in securing equality and rights of women. Networks of people living with HIV were supported in nearly 80 countries with an emphasis on women living with HIV.",
"31. At the end of 2010, UNFPA led the work of the inter-agency working group on gender equality and HIV to build the capacity of 16 countries across three regions to jointly develop and operationalize, with men and boys, strategies addressing social norms around gender, violence, and sexual relationships. UNFPA supported the “Working with men for HIV/AIDS prevention and response” workshop for 92 participants from 30 countries that resulted in the development of an Africa regional framework on working with men and boys for the promotion of gender and reproductive health (to include HIV/AIDS). Although the importance of engaging men and boys to move towards gender equality is recognized, the challenge remains to engage them as partners towards this end as well as for their own sexual and reproductive health.",
"32. UNDP has led an inter-agency initiative, which includes UNFPA, called ‘Universal Access for Women and Girls Now!’ in 10 countries to support countries to address gender equality in national HIV responses. An example of success includes the integration of a clear gender component and commitment to address GBV in Zambia’s new National AIDS Strategic Framework (2011-2015) andthe creation of a new gender adviser post in the Zambia National Council to ensure ongoing integration of gender into the national AIDS response.",
"33. Key challenges for implementation of the action framework include: the need for long-term political and financial commitments for women, girls and HIV; the need to strengthen SRH services and link them to HIV; high rates of GBV; and the need to increase the engagement of men. Capacity development is central to the success and sustainability of this agenda. Furthermore, experience to date underscores the need for better evidence and improved monitoring systems.",
"34. It was noted that UN-Women represents a potential opportunity to strengthen the United Nations system’s engagement on the above-mentioned issues. At its March 2011 meeting, the Committee of Cosponsoring Organizations (CCO) welcomed the interest of UN-Women to join the Joint United NationsProgramme on HIV/AIDS and agreed to the initiation of the formal application process for UN-Women in accordance with criteria and process agreed by the PCB in 2004 (UNAIDS/PCB(15)/04.8). In the meantime, the joint programme continues to focus on women and girls and to promote women’s rights and gender equality.",
"35. During the development of the UBRAF, UNAIDS ensured that key actions, indicators and budgetary allocations pertinent to continued progress in implementing the action agenda were reflected, including but not limited to the integration of HIV and SRH services. Member States requested that further monitoring be carried out in coordination with Member States, and with the participation of women living with HIV and civil society and that it be reported to the PCB through the UBRAF. They also requested a midterm review of the agenda in December 2012.",
"36. UNAIDS was asked to partner with national stakeholders to document models of best practice of collaboration between the AIDS and women’s movements in addressing the HIV-related needs of women and girls. The PCB also requested UNAIDS to collaborate with key stakeholders to promote and facilitate improved linkages between SRH, human rights and HIV and encouraged further partnership with networks that work on HIV and gender-equality issues with men and boys as well as women and girls.",
"37. In 2011, UNFPA and UNDP supported over 50 countries to enhance human-rights protection and service access for sex workers and their clients, MSM and transgender people. These efforts have increased coordination and harmonization among sex worker networks and organizations focused on HIV and sexually transmitted infection prevention, SRH and the links between SRH, GBV and human rights. UNFPA and the Asia Pacific Network of Sex Workers (APNSW), together with partners, organized the first Asia Pacific regional consultation on HIV and sex work, hosted by the Royal Thai Government, with participation from Cambodia, China, Fiji, Indonesia, Myanmar, Pakistan, Papua New Guinea and Thailand.The consultation resulted in the development of eight draft country-level action plans on HIV and sex work; the setting of a regional agenda for responding to the HIV epidemic among sex workers and their clients for implementation during2010-2013; strengthened technical capacity of the APNSW Secretariat through the employment of a full-time director and a policy officer; and the establishment of regional dialogue between the governments and national-level dialogue between the government and sex workers.",
"38. Issues surrounding key populations hamper progress. Data shows that most countries continue to allocate inadequate resources to programmes for key populations. Stigma, discrimination and homophobia continue to persist, coupled with inadequate political commitment. In some countries the effects of having weak civil societies impede efforts to address the HIV-related needs of key populations. A lack of both quantitative and qualitative data means theoretical frameworks around gender, sexuality and identity are weak, leading to superficial understandings of needs and behaviours which in turn result in ineffective programmes. Furthermore, effective responses and efforts to work in partnership with key populations can be hindered by a range of situations, for example, compulsory drug treatment, or the criminalization of sex work and same-sex relations. Recent policy changes linked to more effective political leadership and more targeted resource allocations have helped to expand access to evidence-informed services for key populations, and demonstrate that progress is possible. A supportive environment must be created for key populations to participate in the planning, delivery and evaluation of strategies and programmes that affect their lives. Effective attention to the needs of key populations also requires a holistic approach, including anti-stigma efforts and work with law enforcement agencies and other stakeholders to address macrolevel issues.",
"39. The 27^(th) PCB meeting discussed AIDS, security and humanitarian responses. Under the UNAIDS Division of Labour, UNFPA and UNDP have been working jointly with partners on addressing HIV/AIDS in humanitarian situations. The need to scale up this work and strengthen programmes that address HIV and sexual violence in conflict settings was recognized through the adoption in June 2011 ofSecurity Council resolution 1983 (2011)[3].",
"40. Under the framework of the above-mentioned Security Council resolution, UNDP and UNFPA, in collaboration with the Department of Peacekeeping Operations (DPKO), UNAIDS Secretariat and cosponsors, will build on past initiatives and continue to strengthen ongoing work such as:",
"demobilization and reintegration programmes. Joint programmes have reached male and female ex-combatants, as well as women associated with armed forces and receiving communities during reintegration processes in Comoros, Côte d'Ivoire, Democratic Republic of the Congo, Indonesia, Liberia, Nepal, Sudan, Sierra Leone and South Sudan.",
"to all refugee populations and camp settings managed by UNHCR in approximately 25 countries per year (as per an agreement between UNFPA and UNHCR).",
"peacekeeping missions and partnership with DPKO on training initiatives for peacekeepers on HIV and GBV.",
"programmes for host communities on prevention of sexual violence and HIV in conflict and post-conflict settings.",
"41. The adoption of Security Council resolution 1983 (2011) shows high-level commitment from Member States for combating HIV/AIDS in humanitarian contexts and presents new opportunities for UNFPA and UNDP to sustain/expand programmes and partnerships. As pointed out in the progress report on implementation of Security Council resolution 1308 (2000), On the Frontline: A review of programmes that address HIV among international peacekeepers and uniformed services 2005-2010“… the changing landscape of threats to international, peace and security and the evolving evidence on the relationship between AIDS and security have created new challenges and opportunities to further strengthen these actions and contribute to United Nationsefforts to prevent conflict and build peace”.Discussions between the key actors (UNAIDS Secretariat, DPKO, UNDP, UNFPA, UNODC) will soon take place to determine a clear division of responsibilities and timelines in order to implement Security Council resolution 1983 (2011).",
"III. UNAIDS PCB decisions and recommendations of note for UNDP and UNFPA",
"UNAIDS strategy",
"42. The 27^(th) meeting of the PCB officially adopted the new UNAIDS 2011-2015 Strategy: Getting to Zero, which presents a transformative agenda for the global response. The strategy aims to increase focus and improve efficiency in order to radically reduce the number of new infections, expand treatment access and reduce stigma and discrimination. It is intended to facilitate strategic partnerships, support country ownership, engage emerging economies, facilitate South-South and triangular cooperation, and usher in a new approach to financing the response. The strategy emphasizes mutual accountability in the response, improving broad ownership, strengthening community systems, and promoting activism. It reflects the transition from short-term technical support to the development of lasting capacity and resilient nations, as well as enhanced efforts to link the AIDS response with broader health and development efforts.",
"43. Member States emphasized that all cosponsors were encouraged to link their strategies to the new UNAIDS strategy. This continues as a work in progress with WHO, WFP, ILO and UNESCO having already revised their HIV strategies and policies to make specific links to the UNAIDS strategy. UNFPA is set to do this with an upcoming revision of its strategic guidance on HIV and is taking the UNAIDS UBRAF into consideration within the follow-up to the midterm review of its strategic plan and revision of the accompanying development results framework.The new UNAIDS strategy will also inform the next UNFPA strategic plan, 2014-2017. UNDP will update its current corporate strategy on AIDS to reflect the new UNAIDS strategy, for 2012 and 2013. In addition, the new UNAIDS strategy will inform the incorporation of HIV and AIDS work in the new UNDP strategic plan for 2014 and beyond.",
"44. One challenge of note is the flattening international support for HIV combined with competing needs and a growing population of people living with HIV placing significant pressure on the HIV response and threatening the sustainability of recent gains. In addition, the heavy dependence of many countries on external support potentially places national responses in jeopardy. Ten years after the adoption of the time-bound targets in the 2001 Declaration of Commitment on HIV/AIDS, human resource and institutional capacity constraints exist in technical and managerial areas, which continue to undermine national responses. Funding the response to HIV is a shared responsibilitythat demands continued support from international donors, greater allocations and political commitment from domestic governments, stronger leadership from emerging economies and the private sector, and intensified programmatic focus on improving efficiency and maximizing impact.",
"Unified budget, results and accountability framework 2012-2015",
"45. The UNAIDS strategy will be implemented through various mechanisms, including the 2012-2015 UBRAF and a revised UNAIDS Division of Labour. The UBRAF was the main item on the agenda of the 28^(th) meeting of the PCB replacing the thematic session. The UBRAF is structured around the UNAIDS strategy, its 10 strategic goals and strategic functions aim to contribute to achieving the UNAIDS long-term vision of zero new HIV infections, zero AIDS-related deaths, and zero discrimination.",
"46. The UBRAF describes outcomes, outputs and deliverables for the joint programme, the allocation of resources against these with geographical reference, and how progress will be monitored. As such, it presents the comprehensive results architecture for the joint programme, incorporating clearly defined baselines and outcomes, identifying each cosponsor’s contributions, and specifically focusing on country progress.",
"47. The UBRAF is composed of three components:",
"(a) A business plan that provides a framework to capture the contributions of the joint programme to support the operationalization of the UNAIDS strategy 2011-2015.The business plan describes the rationale, objectives and expected results of the joint programme. Cosponsors and the UNAIDS Secretariat will develop annual rolling workplans for the detailed implementation of the UBRAF, strengthening linkages to the planning processes and results frameworks of the cosponsors. Given the changing nature of the epidemic and the need for greater focus, UNAIDS will concentrate its efforts both programmaticallyand through intensifying efforts in 20+ countries identified in the UNAIDS strategy (see figure 1).",
"Figure 1: Overview of 20+ countries",
"[]",
"(b) A results and accountability framework that will measure the achievements of the joint programme and provide a clear link between investments and results.Theresults and accountability framework will ensure accountability in both programmatic results and in delivering value for money. The PCB requested the joint programme to further strengthen the framework through a consultative process with all constituencies, the results of which will be reported to the 29^(th) PCB meeting. Implications for UNDP and UNFPA include review and refinement of indicators as members of the Cosponsor Evaluation Working Group (CEWG) and the UNAIDS Monitoring and Evaluation Reference Group (MERG). Implementation of the framework will be reported to the PCB annually, including information, supported with indicators,on resourcing and engagement of civil society.",
"(c) A core budget to catalyse the contributions of the cosponsors and fund the UNAIDS Secretariat in 2012-2013 to translate the goals of UNAIDS strategy into action and results.The PCB approved the core budget of $485 million for 2012-2013, which means the budget remains at the same level as in 2010-2011 and 2008-2009. This represents a decline in real terms and highlights the continued catalytic and leveraging nature of the UBRAF and efforts to ensure value for money. An amount of $164 million goes towards the 10 UNAIDS cosponsors and $320 million to the UNAIDS Secretariat. Core budget allocations to cosponsors are intended to leverage other budgets to be raised by cosponsors for AIDS-related work. Over the next two bienniums, the aim is to increase the amount of core UBRAF resources spent at regional and country level to 70 per cent to maximize the impact of all cosponsor and UNAIDS Secretariat resources dedicated to the AIDS response.",
"Figure 2: Current and target allocation of core UBRAF resources",
"[]",
"48. The UBRAF links all elements of the business plan, the results and accountability framework and the budget to produce a chain of results to support the achievement of the UNAIDS strategy 2011-2015. The figure below summarizes the business plan, results and accountability framework, and budget, and the links between them. The support and guidance of the UNDP/UNFPA/UNOPS Executive Board in aligning the respective UNDP and UNFPA strategic plan revisions with the UBRAF will ease the alignment challenges.",
"Figure 3: Links between the different elements of the UBRAF",
"[]",
"Progress report on implementation of the second independent evaluation",
"49. The second independent evaluation of the Joint United Nations Programme on HIV/AIDS called for the development of a new UNAIDS mission, vision, strategy and unified budget, results and accountability framework. In addition, the joint programme revised the UNAIDS Division of Labour to enhance efficiency and effectiveness, leverage respective mandates and resources, and promote mutual accountability at global, regional and country levels. The Division of Labour identifies convening and partnership roles and responsibilities for each of the 10 UNAIDS cosponsors. The UNAIDS Secretariat is not convening any of the 15 Division of Labour areas, but will facilitate and promote coordination and cohesion in advocacy, strategic information, partnership, mutual accountability, and the mobilization of core resources to achieve results in all the areas.",
"50. Under the revised Division of Labour, UNDP is assigned as a convenoronthe priority area addressing human rights and the legal environment, and as a co-convenor with UNFPA on women and girls and most-at-risk populations.[4]Furthermore, UNFPA is co-convening with the World Bank on sexual transmissionof HIV and with UNICEF on young people. The convening and partnership roles designated to UNDP are well aligned to the outcome areas of its strategic plan, and the broader mandate of UNDP in poverty reduction, governance, gender equality and crisis prevention and recovery. Similarly, the co-convening roles for UNFPA are fully aligned with its mandate and its strategic plan focus on universal access to sexual and reproductive health, reproductive rights, women and gender equality, young people and the focus on reaching marginalized and excluded populations.",
"51. Overall, there are opportunities to significantly improve UNAIDS collective performance and impact as a result of the adoption of the revised Division of Labour. The increase in the number of joint United Nations teams and joint programmes of support offers the potential to improve the coherence, coordination and effectiveness of United Nations efforts at country level. The broader effort to implement recommendations of the SIE will also lead to changes across UNAIDS, not least in the new and four-year format of the UBRAF. While queries have been posed by some donors regarding potential changes to the Division of Labour under the assumption that UN-Women would be joining the joint programme,it is expected that formalities will take place in due course. However, agencies are already working closely with UN-Women on various issues and, where present at country level, UN-Women is included in the discussions and decisions on the process of adapting the Division of Labour at country level based on local circumstances and needs, taking into account the comparative advantages of all partners.",
"52. The finalization of the technical-support strategy had been deferred to the 27^(th) PCB meeting. The technical-support strategy outlines key actions by the joint programme for scaling up technical support and strengthening the overall technical support marketplace. Enhanced emphasis is placed on the effectiveness of technical support and on the cost-effective delivery of such support through harmonized and accountable systems. In particular, UNAIDS will focus its technicalsupport efforts on long-term skills transfer and capacity development at national and regional levels, and on aligning differing technicalsupport architectures and mechanisms within the joint programme.",
"53. PCB members requested additional details on plans for technical support. It was agreed to include a substantive agenda item reviewing and analysing the state of sustainable capacity development and technical support in the joint programme and to undertake further discussion of the UNAIDS technical-support strategy at the 29^(th) meeting of the PCB. Linked to the technical-support strategy in terms of capacity development was the reiteration of the need for a distinct partnership strategy focused on civil society and people living with HIV as noted in the SIE. Work will continue on its codification, along with identification of UBRAF indicators, over the next six months in collaboration with civil society partners. Challenges include ensuring a clear understanding of the expectations and objectives of each potential partner as a principle of effective partnership and ensuring that these expectations and objectives are aligned with UNAIDS strategic goals and national programme priorities. Furthermore, recent experience highlights the willingness of many multinational companies to partner on social development work with NGOs to strengthen corporate social responsibility programmes and explore opportunities to work with smaller private sector enterprises on HIV.",
"54. Finally, the PCB was informed that, following extensive consultation and a thorough review of pertinent benefits and costs, it had been determined that the best option for the UNAIDS Secretariat was to move to a single administrative system within the framework of WHO regulations and rules. Previously, the Secretariat used the WHO and UNDP administrative systems, respectively, at headquarters level and country level. All UNAIDS staff will now be subject to the same set of staff rules and connected to the same electronic platform. Costs associated with moving to a single administrative system will be absorbed within the Secretariat component of the unified budget and workplan. It is anticipated that a single administrative system will enable the UNAIDS Secretariat to achieve important efficiencies and avoid duplication.",
"IV. The way forward",
"55. In view of the context, UNDP is adjusting HIV programming to respond to the identified challenges and scale up successes. First, recognizing the value of linking action on HIV and broader development efforts, UNDP will prioritize implementation of cross-thematic programmes that address HIV together with key priorities such as advancing gender equality, access to justice, and economic empowerment. This will involve development of cross-practice strategies and joint workplans, as well as operationalization of practical programming guidance. Secondly, while good progress is being made in developing the capacity of national entities to take over implementation of Global Fund, HIV, tuberculosis and malaria grants, UNDP will significantly scale up attention to longer-term capacity development. Moving forward, capacity development assessments and plans prepared in collaboration with national stakeholders will be an integral component for all new Global Fund programmes managed by UNDP. Thirdly, building on the MDG assessment, which points to the benefits of linking HIV and health strategies, UNDP will look to promote cost-effectiveness by leveraging existing successful HIV programming for broader health MDGs. This will include drawing on experience in supporting large-scale implementation, capacity development and governance to accelerate MDG progress. Finally, it will be important to ensure that evaluations more consistently inform programming decisions, and that successful HIV initiatives are either sustained and scaledup, or handed over to partners in cases where UNDP terminates support.",
"56. In light of the reality that thetwotop causes of death in women of reproductive age globally are complications related to pregnancy and childbearing and HIV/AIDS, and given the fact that maternal mortality worldwide would have been lower by about 6 per cent in 2008 in the absence of HIV, UNFPA will continue its efforts to reduce maternal mortality. This will include strengthening mechanisms that actively link efforts to reduce maternal mortality with those that respond to the AIDS epidemic; fostering greater collaboration and integrated approaches and developing evidence-informed and rights-based programmes; and placing maternal health within a continuum of care that integrates a comprehensive range of interventions to impact maternal health outcomes, including those related to HIV. UNFPA will continue to support efforts for the meaningful engagement of women and girlsat every stage of national HIV responses to ensure that their needs and rights are well addressed and monitored; and that they have access to an essential package of quality SRH services and are treated with dignity and respect, free of violence, coercion, stigma and discrimination. Based on the evidence of what works to prevent HIV infections in adolescents and young people, UNFPA will support comprehensive HIV and SRH interventions for young people inclusive of: delaying sexual debut; abstaining from sex; correct and consistent use of male and female condoms; medical male circumcision; reduction of multiple concurrent sexual partners; and effective communication for social and behavioural change.",
"57. UNFPA will continue to support the improvement of national, regional and global comprehensive condom programming to increase access to and demand for male and female condoms. UNFPA will support governments to develop strategies that specifically address the sexual and reproductive health needs of MSM, sex workers and transgender people based on epidemiological and national contexts. Finally, recognizing that without effective primary prevention of HIV among women of reproductive age and prevention of unintended pregnancies among women living with HIV, the goal to eliminate new infections in children cannot be achieved, and that effective primary prevention in pregnant women, lowering rates of unintended pregnancies along with limited breastfeeding for women living with HIV would account for 19 per cent of potential reduction in mother-to-child transmission of HIV, UNFPA will support efforts to ensure that human rights, including the reproductive rights of all women and girls – in particular those living with HIV – are protected as a non-negotiable element of all HIV and global health programmes.",
"58. Notwithstanding the solid commitment within the United Nations system to support national responses to HIV, underlying issues already noted in the present report, especially those related to availability of financial and, more importantly for the United Nations, human resource capacities at all levels, will continue to challenge agency results and national progress towards targets set forth in the political declarations, the UNAIDS strategy and the UBRAF.",
"V. Elements for a decision",
"59. The Executive Board may wish to take note of the present report and recommend making specific links to the UNAIDS strategy in the respective UNDP and UNFPA HIV strategies and policies, as well as in the respective new UNDP and UNFPA strategic plans to be developed for 2014-2017.",
"[]Annex",
"[1] The goals are (1) sexual transmission of HIV reduced by half, including among young people, men who have sex with men and transmission in the context of sex work; (2) vertical transmission of HIV eliminated and AIDS-related maternal mortality reduced by half; (3) all new HIV infections prevented among people who use drugs; (4) universal access to antiretroviral therapy for people living with HIV who are eligible for treatment; (5) tuberculosis deaths among people living with HIV reduced by half; (6) people living with HIV and households affected by HIV are addressed in all national social protection strategies and have access to essential care and support; (7) countries with punitive laws and practices around HIV transmission, sex work, drug use or homosexuality that block effective responses reduced by half; (8) HIV-related restrictions on entry, stay and residence eliminated in half of the countries that have such restrictions; (9) HIV-specific needs of women and girls are addressed in at least half of all national HIV responses; (10) zero tolerance for gender-based violence.",
"[2] HIV treatment figure represents current number of people on antiretroviral treatment for active grants.",
"[3] The resolution, among other provisions, “Encourages the incorporation, as appropriate, of HIV prevention, treatment, care, and support, including voluntary and confidential counselling and testing programmes in the implementation of mandated tasks of peacekeeping operations, including assistance to national institutions, to security sector reform (SSR) and to disarmament, demobilization and reintegration (DDR) processes; and the need to ensure the continuation of such prevention, treatment, care and support during and after transitions to other configurations of United Nations presence”. This resolution not only recognizes that “coordinated international action continues to be required to curb the impact of the HIV epidemic in conflict and post-conflict situations” but also provides directives for the United Nations and Member States on implementation.",
"[4] UNDP convenes on “remove punitive laws, policies, practices, stigma and discrimination that block effective responses to AIDS”, and co-convenes with UNFPA on “meet the HIV needs of women and girls and stop sexual and gender-based violence” and “empower men who have sex with men, sex workers and transgender people to protect themselves from HIV infection and to fully access antiretroviral therapy”."
] | DP_2011_40 | [
"Second regular session 2011",
"6 to 9 September 2011, New York",
"Item 5 of the provisional agenda",
"Follow-up to UNAIDS Programme Coordinating Board meeting",
"Report on the implementation of the decisions and recommendations of the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS",
"Summary",
"In line with the discussions of the Executive Board at its second regular session 2010, the present report focuses on some of the findings of UNDP and UNFPA on HIV and provides an update on the decisions and recommendations made to UNFPA and UNDP by the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS at its 27th meeting, in December 2010, and at its 28th meeting, in June 2011.",
"Elements of a decision are contained in the present report.",
"Contents",
"Key decisions and recommendations of the UNAIDS PCB for UNDP and UNFPA",
"Abbreviations",
"DPKO Department of Peacekeeping Operations",
"SADC Southern African Development Community",
"UNAIDS Joint United Nations Programme on HIV/AIDS",
"YWCA Young Women ' s Christian Association",
"Background",
"1. Thirty years after the HIV epidemic, the global response to AIDS is at a crossroads. Since the two special sessions of the United Nations General Assembly in 2001 and 2006, significant progress has been made in the fight against AIDS, particularly in terms of increased resources, strengthening national policy frameworks, wider access to treatment and prevention services and broad consensus on principles for effective action at the national level. The review of major trends also highlighted important opportunities, including improved tools for measuring HIV prevalence, quality strategic messages and momentum in developing new strategies for HIV prevention, treatment, care and support. At the same time, a review of longer-term political and economic trends indicates a decline in resources, fragmented and universal responses, serious gaps in access to treatment, weak institutions and persistent social injustice.",
"2. At the high-level meeting of the General Assembly on AIDS held in June 2011, Member States adopted a new Political Declaration on HIV/AIDS: Intensifying Efforts to Eliminate HIV/AIDS, setting bold new targets in the fight against HIV. The Declaration sets an agenda for the future of the AIDS response and provides a road map to end the epidemic. The adoption by the Security Council of a new resolution on AIDS, resolution 1983 (2011), is another important step in ensuring social stability and national security that may be undermined by the AIDS epidemic. It addresses the link between violence against women and HIV in conflict and post-conflict settings.",
"3. In June 2003, the Executive Boards of UNDP/UNFPA, the United Nations Children ' s Fund (UNICEF) and the World Food Programme (WFP) held a joint meeting to discuss the recommendations of the first five-year evaluation of UNAIDS, as contained in document UNAIDS/PCB(13)/02.2. The joint meeting discussed the impact of evaluation recommendations on UNDP, UNFPA, UNICEF and WFP, and discussed UNAIDS operations and governance. Board members therefore agreed that there should be a regular item on the agenda of the Executive Board on follow-up to the decisions and recommendations of the Programme Coordinating Board of the Joint United Nations Programme on HIV/AIDS (UNAIDS).",
"4. The present report, prepared jointly by UNDP and UNFPA, summarizes the results achieved in the HIV response and provides an update on the implementation of the decisions and recommendations of the 27th PCB meeting in December 2010 and the 28th PCB meeting in June 2011. Key issues of particular relevance to UNDP and UNFPA discussed at these meetings included: UNAIDS Strategy 2011-2015; UNAIDS Unified Budget, Results and Accountability Framework; progress in the implementation of the second independent evaluation.",
"UNDP and UNFPA results",
"5. The 27th PCB meeting formally adopted the UNAIDS Strategy 2011-2015: Achieving Three, which provides a transformative agenda for the global response. The three new strategic directions of UNAIDS are: (a) to bring about revolutionary change in HIV prevention; (b) to enable the next phase of treatment, care and support; and (c) to promote human rights and gender equality. Each of these strategic directions is important and interrelated. Ten medium-term goals have been set to achieve the UNAIDS long-term vision. [1] These goals come from the priority areas of the UNAIDS results framework and are intended to drive concrete progress where needed, making it possible for joint programmes to improve their strategic focus. The annex provides an overview of the new UNAIDS strategy. The strategy was the basis for the new political declaration on HIV/AIDS adopted at the high-level meeting of the United Nations General Assembly on AIDS in June 2011.",
"6. Below are examples of the results of UNDP and UNFPA contributions to development under the three strategic directions of the UNAIDS strategy 2011-2015, as well as challenges and responses to those challenges.",
"Since 2008, nearly 70 UNDP country offices have implemented programmes linked to the four HIV outcomes of the UNDP strategic plan, with an estimated 30 additional countries implementing HIV activities as part of other thematic or cross-practice programmes. The analysis of independent evaluation evidence and country office reports outlines significant results in HIV. The evidence highlighted successful practices in capacity-building of local institutions, promoting gender equality, promoting multi-stakeholder participation, South-South cooperation and collaboration with United Nations agencies. The evaluation points to noteworthy cross-practice work and suggests that some of the most effective results in the fight against HIV have been achieved with linkages to other thematic areas.",
"8. Given that 80 per cent of HIV infections are sexually transmitted or related to pregnancy, childbirth and breastfeeding, the strategy implemented by UNFPA prioritizes the allocation and use of its unified budget and work planning to build the Fund ' s HIV-specific capacity at the national and subregional levels. This capacity-building strategy was launched in 2006 to strengthen its support to national HIV responses. A 2008 review concluded that the Fund ' s contribution to the HIV response has undergone significant positive changes in intensity and quality. The strategy was reviewed in 2011 to ensure an integrated approach to more effectively strengthen UNFPA collaboration with countries, linking HIV to broader development, human rights and humanitarian programming rights and to sexual and reproductive health.",
"Transformative change in HIV prevention",
"9. UNDP supported 21 countries and two regions in mainstreaming HIV into national and sectoral development planning and processes, poverty reduction strategy papers and Millennium Development Goal planning. UNDP supported the Southern African Environmental Assessment Institute in preparing a draft legislative review report on the integration of health and social issues, particularly HIV and gender, into environmental impact assessments in Southern and Eastern Africa. Partner countries include Botswana, Lesotho, Malawi, Mozambique, Namibia, South Africa, Uganda and Zambia. Environmental impact assessments are a practical platform for a better understanding of the social impacts associated with capital projects (HIV and gender) and for addressing the issue through a multisectoral approach. The launch of the project resulted in enhanced cooperation among the ministries. Linkages between gender, HIV and capital projects are being identified and better understood in all countries.",
"Technical assistance and policy guidance on men who have sex with men, transgender people and sex work, as well as on funding and fund-raising support, were provided to 37 countries. Building on the work initiated in 2009, UNDP continued to provide advisory support to programmes in Argentina, Burkina Faso, Togo, Lesotho, Fiji, the Philippines and Ukraine on strategic information on men who have sex with men, transgender people, human rights protection, strengthening capacity and partnerships for men who have sex with men and transgender people. These programmes have resulted in increased national efforts to meet the needs of those populations that are clearly underserved, such as in the Philippines, where national HIV programmes now have a specific component for men who have sex with men and transgender people.",
"11. In addressing the sexual and reproductive health needs of men and women, UNFPA continued to strengthen the provision of male and female condoms and to promote their correct and sustainable use. The Global Condom Initiative expanded from 55 countries in 2008 to 74 countries in 2010 and is approaching the target of 100 countries. UNFPA remains the largest supplier of male and female condoms in low-income countries (68 million and 14 million respectively in 2009). The expanded condom demand framework was tested in the Caribbean subregion, resulting in the drafting of condom demand expansion strategies in Belize, Suriname and Saint Lucia. Condom expansion initiatives were also completed in four high-prevalence countries in Southern Africa, namely Botswana, Lesotho, South Africa and Swaziland. In 2011, UNFPA intensified its efforts to meet the UNAIDS target of increasing condom use among youth by 50 per cent, which remains a programme priority.",
"12. To increase HIV testing among young people in South Africa, UNFPA, in partnership with LoveLife and Seoul, supported national HIV counselling and testing activities for young people aged 12 to 14, with the participation of 8,445,000 young people. In Barbados and Kazakhstan, awareness-raising efforts were undertaken for policymakers to remove legal barriers to sexual and reproductive health services for young people under 18 without parental consent. In Belize, UNFPA established youth-friendly spaces for adolescent girls for the Young Women ' s Christian Association (YWCA), which significantly improved access to counselling, sexual and reproductive health information and condom use.",
"13. Globally, UNFPA continues to strengthen partnerships, build evidence bases, support capacity-building and provide technical assistance to support young people ' s access to a comprehensive package of adolescent sexual and reproductive health services and sex education. In terms of the proportion of countries that have included gender-sensitive life-skills-based sexual and reproductive health and HIV issues in secondary school curricula, 2010 exceeded the 2011 target. Examples of UNFPA support results include Nepal and Viet Nam. The former included adolescent and youth sexual and reproductive health in the Government ' s health sector implementation plan, while the latter developed national adolescent sexual and reproductive health guidelines for out-of-school youth. In Colombia and Mozambique, there was an important shift in UNFPA-supported programmes from donor support to government ownership. In the Syrian Arab Republic and Egypt, UNFPA supported sex education through culturally sensitive approaches.",
"UNFPA and its partners are currently working to establish regional and national networks of experts to respond to training and assistance needs in sexual education. As a first step, a situational analysis was undertaken to assess the content, quality and delivery of school-based sexual education programmes in 10 countries in Eastern and Southern Africa at present, with a view to providing future curriculum revisions. The results were fed into a workshop co-sponsored by UNFPA, UNICEF, UNESCO and KwaZulu-Natal University, which built the capacity of 70 curriculum development specialists and United Nations staff working on youth issues from the ministries of education of 10 SADC countries (Botswana, Kenya, Lesotho, Malawi, Namibia, South Africa, Swaziland, Uganda, Zambia and Zimbabwe) to design and implement effective sex education and HIV prevention for young people in schools. Thus, a regional training manual on sex education is being developed using participatory training methods and will be used to produce a sufficient number of qualified sex educators.",
"15. Recent evidence that HIV is the leading cause of death among women of reproductive age requires increased awareness of the linkages between Millennium Development Goals 3, 4, 5 and 6 and concerted efforts to support the integration of HIV responses with sexual and reproductive health. To date, 25 countries have been supported in developing and implementing national plans that include sexual and reproductive health, and countries have reported strengthened linkages between HIV programmes and the prevention of gender-based violence. Technical support was provided to 61 countries to strengthen the implementation of PMTCT and service integration programmes. Family planning provides a solid entry point, and UNFPA offices report that 70 per cent of countries have included family planning in their situation analysis and 49 per cent have allocated a budget for it in their national planning.",
"16. Significant challenges remain and will affect the achievement of UNAIDS strategic objectives. In 2010, there was more evidence of the benefits of scaling up treatment for prevention. These findings not only highlight the need to accelerate access to treatment, but also the urgent need to link HIV prevention and treatment at the strategic planning, service delivery and impact assessment levels. This requires strengthening the measurement of prevention as a whole and the collection of qualitative and quantitative data. The use of “preventive treatment” needs to be combined with other options for HIV prevention, as “preventive treatment” is an enhancement of, not a substitute for, comprehensive HIV prevention.",
"17. With regard to integration, the link between HIV and sexual and reproductive health remains challenging in many countries. There is often a focus on service-level integration, with less attention paid to broader structural and human rights issues. Ineffective logistics and supply systems also hinder effective service delivery. For example, disruptions in the supply of key commodities (anti-retroviral drugs, drugs to treat opportunistic diseases, HIV test kits, condoms, etc.) hinder effective responses and stress the need to further strengthen procurement and supply management at the national and subnational levels. With regard to the goal of eliminating mother-to-child transmission of HIV and universal access, those goals cannot be achieved unless the countries and communities reach the most marginalized groups of society and meet their needs. There is a need to strengthen political support, focus on technical support and expand integrated services to ensure that programmes in countries continue to lag behind in their progress. In persuading stakeholders to expand their programmes, it is essential to adopt an integrated approach, with practical standardized procedures and evidence of the benefits of integration.",
"18. The need for prevention information and programming needs to be addressed through a range of age-appropriate and tailored programmes designed with the participation and input of young people, including sex education as a useful tool for improving youth health. Removing policy and legal barriers to youth-friendly services so that youth are not excluded can reduce their vulnerability to HIV infection. Efforts to achieve measurable indicators (e.g., comprehensive knowledge, HIV testing and condom use among young people) in priority countries will help to increase accountability and leverage results in reducing new infections.",
"Promoting the next phase of treatment, care and support",
"19. As a recipient of the Global Fund to Fight AIDS, Tuberculosis and Malaria, UNDP helped to develop national capacity to effectively implement large-scale programmes to combat AIDS, tuberculosis and malaria in 29 countries in 2010. Capacity development support to national stakeholders has been an important priority, and UNDP, in collaboration with national partners, has developed a formal capacity development plan for all new grants administered by UNDP. Between 2003 and 2010, UNDP served as the main recipient in 37 countries. In 12 of these countries, the role of the main recipient has been transferred to a national entity, reflecting achievements in capacity development. While UNDP often acts as the principal recipient in the most at-risk countries, its grant performance is much above average. Since 2003, UNDP has facilitated community outreach for the prevention of AIDS, tuberculosis and malaria for 28 million people. HIV counselling and testing were provided to nearly 4.8 million people and antiretroviral treatment was provided to 213,000 people living with HIV. These programmes also resulted in the detection and treatment of 700,000 cases of tuberculosis, the distribution of 11 million bed nets and the treatment of 26 million cases of malaria.",
"20. UNFPA supported the development of specific guidance to address issues related to youth and sex workers for the preparation of the Global Fund ' s tenth round of HIV proposals. It provided technical support to South Africa, Swaziland and Zambia in integrating sexual and reproductive health and HIV; and to 20 countries in the prevention of mother-to-child transmission of HIV, including consultations and joint technical missions.",
"21. UNDP supported capacity-building in 17 countries and 2 regions to adopt enabling trade and health policies and legislation. In Ukraine, for example, UNDP supported the Government in including TRIPS flexibilities in its national legislation. The adoption of such legislation would significantly reduce the cost of antiretroviral and other drugs. Similarly, in Ukraine, if the TRIPS flexibilities were adopted, more generic drugs could be used, which in some cases could save more than 90 per cent of the cost, thus allowing more people to start treatment. In the United Republic of Tanzania, UNDP, in partnership with civil society and the German Agency for International Cooperation, organized two meetings on the proliferation of anti-fouling legislation in the East African Community (EAC) — Burundi, Kenya, Rwanda, Uganda and the United Republic of Tanzania. Government representatives, parliamentarians, academics and civil society from all East African Community countries attended. The meeting raised awareness of the impact of anti-fiction legislation on public health. As a result, the EAC secretariat adopted the UNDP proposal to revise the draft EAC anti-fouling law in a public health-sensitive manner. This will guarantee the continued use of 90 per cent of all generic drugs consumed in the East African Community countries.",
"22. Poverty and exclusion are key issues in addressing vulnerability to AIDS. The international community has therefore recognized that, with regard to social protection, we need to adopt an AIDS-sensitive approach that does not exclude AIDS. In India, UNDP supported the development, expansion and reform of HIV-sensitive multi-country social protection programmes in several states, reaching 77,000 people over a six-month period in 2010. A socio-economic impact study in 2006 provided an analytical basis for these programmes, showing that HIV has a considerable negative impact on employment, income, savings and school attendance in affected households. As a follow-up, UNDP launched a multi-pronged advocacy and technical support strategy involving national AIDS control organizations, State officials and civil society organizations, including networks of people living with HIV. Accordingly, Rajasthan has reformed the widow ' s pension system so that women widowed by HIV are eligible for a monthly pension regardless of their age. Other states in India are following this approach. In 2010, about 23,000 women benefited from the pension reform in all cantons. In addition, States are increasingly paying for the transportation needed to treat HIV. In the six months of 2010, more than 31,000 people benefited from the programme. Other noteworthy reforms include the fact that some states now provide subsidized food, housing and health care for people living with HIV, all of which were previously limited to those below the poverty line. The Ministry of Labour also removed the exclusion of HIV from special health insurance for non-regular workers.",
"23. While many countries do not have national social protection programmes, those that do require a comprehensive review of how laws, policies and programmes can be made more sensitive to the needs of people affected by HIV and people living with HIV. Access to services is restricted for many because of general poverty and stigma and discrimination. While in some cases there is a continuum of care between HIV treatment settings and community-based organizations, this is in fact difficult to ensure due to a variety of factors, including lack of political will and resources, lack of capacity of community groups and lack of understanding between community groups and health workers.",
"24. While the health sector must be at the centre of strengthening treatment, care and support, many countries still do not use and strategically coordinate with relevant ministries. In addition to the role of the trade and social protection policy mentioned above, other key factors that may facilitate the expansion of care and support may include the Ministry of Women or the Ministry of Gender Equality (to address the disproportionate role of women as caregivers) and the Ministry of the Interior (to help facilitate the provision of services to marginalized groups).",
"Promotion of human rights and gender equality",
"25. Together with the UNAIDS secretariat and the Global Fund, UNDP published an analytical report on access to justice programmes in the sixth and seventh rounds of HIV proposals and grants, which successfully influenced the inclusion of specific goals and business plans on human rights and equality in the new Global Fund strategy.",
"26. In June 2010, UNDP created the Global HIV and Law Commission on behalf of the UNAIDS family. The aim of the Commission is to develop evidence-based, human rights-based recommendations to support countries in establishing and maintaining an enabling legal environment for an effective AIDS response. The discussions and follow-up actions identified through the Commission ' s 2011 regional dialogue in six regions will further inform and strengthen UNDP work in this important area. The aim of the regional dialogue is to engage in a strategic dialogue with a view to highlighting important HIV-related human rights and legal issues in the region. The regional dialogue provides input to the Committee ' s deliberations through the submission of evidence-based and participatory inputs from policymakers and legislators, law enforcement and communities. The regional dialogue will also promote regional awareness, participation and ownership and take action to bring about real change on human rights and legal issues in support of the improvement of people ' s lives and health. There is a close link between UNDP gender work and HIV and the Law Commission. One of the three main areas that the Commission is investigating concerns laws that perpetuate or mitigate violence and discrimination against women.",
"27. The progress report on the implementation of the Framework for Action and the UNAIDS Agenda for Accelerated Action on Women, Girls, Gender Equality and HIV were presented to the 27th PCB meeting. The gender sensitivity of the AIDS response was further discussed at the 28th meeting. The initiative, launched in March 2010, has achieved significant results: 55 countries have developed an agenda for women and girls and 45 have reported on activities undertaken directly on this agenda. For this initiative, $6.1 million was allocated in 2010, including $4.5 million for country support.",
"28. PCB members welcomed the progress report as a unique opportunity to ensure that national responses addressed the needs of women and girls. The PCB explicitly welcomed UNAIDS efforts to integrate comprehensive education policies and programmes into its 2011-2015 strategy, as well as UNAIDS efforts to address male-related barriers to access to HIV and sexual and reproductive health services. The PCB urged further progress and called for broader leadership on women, girls and HIV, with adequate resources to complement political rhetoric.",
"As a follow-up to UNDP responsibilities under the UNAIDS Agenda for Accelerated National Action on Women, Girls, Gender Equality and HIV, leadership capacity-building for women living with HIV was undertaken in 23 countries in six regions, resulting in strengthened partnerships between HIV-positive women's organizations/networks and other key national stakeholders. In addition, 14 countries have strengthened the capacity of national networks of HIV-positive women to participate more effectively in universal services/reports and MDG reports/declarations.",
"30. UNFPA integrated the responsibilities of the United Nations Campaign to End Violence against Women and the agenda for women and girls, supporting 42 countries in designing, implementing or assessing prevention, treatment, care and support programmes to empower women and girls, and 26 countries in developing and/or implementing HIV-related policies specifically addressing gender-based violence and other actions to promote gender equality. Jamaica has established a Men ' s Desk in the Bureau of Women ' s Affairs to manage the necessary interventions to mobilize more Jamaican men to participate in the advocacy and implementation of the programme to reduce gender-based violence and improve men ' s participation in ensuring women ' s equality and rights. Support was provided to networks of people living with HIV in nearly 80 countries, with a focus on women living with HIV.",
"31. At the end of 2010, UNFPA led the inter-agency working group on gender and HIV in capacity-building in 16 countries in three regions to develop and implement strategies with men and boys to address social standards around gender, violence and sexual relations. UNFPA supported the workshop “Working with men to prevent and respond to HIV/AIDS”, which was attended by 92 participants from 30 countries and resulted in the development of an African regional framework for gender equality and reproductive health, including HIV/AIDS, with men and boys. While the importance of involving men and boys in achieving gender equality is recognized, it remains a challenge to involve them as partners for this purpose and for their sexual and reproductive health.",
"UNDP led a project called “Achieving universal access for women and girls now!” in 10 countries. Inter-agency initiatives, including UNFPA, are aimed at supporting countries in addressing gender equality in HIV responses. Examples of success include the inclusion of a clear gender component and commitment to address gender-based violence in Zambia ' s new national AIDS strategic framework (2011-2015) and the establishment of a position of gender adviser in the Zambia National Council to ensure that gender issues are consistently integrated into the national AIDS response.",
"33. Key challenges to the implementation of the Framework for Action include the need for long-term political and financial commitment to women, girls and HIV; the need to strengthen and link sexual and reproductive health services to HIV; the high incidence of gender-based violence; and the need for increased involvement of men. Capacity development is critical to the success and sustainability of this agenda. In addition, experience to date has highlighted the need to improve evidence-based and monitoring systems.",
"34. It was noted that UN-Women represented a potential opportunity to strengthen the engagement of the United Nations system on the above-mentioned issues. At its March 2011 meeting, UN-Women, the Committee of Cosponsoring Organizations, welcomed its interest in joining the Joint United Nations Programme on HIV/AIDS and agreed to launch the formal application process for UN-Women in accordance with the criteria and process agreed upon by the PCB in 2004 (UNAIDS/PCB(15)/04.8). At the same time, joint programmes continue to focus on women and girls and promote women ' s rights and gender equality.",
"35. During the development of the unified budget, results and accountability framework, UNAIDS ensured that key actions, targets and budget allocations related to sustained progress in implementing the agenda for action were reflected, including, but not limited to, the integration of HIV and sexual and reproductive health services. Member States called for further monitoring, in coordination with them and with the participation of women living with HIV and civil society, and for reporting to the PCB through a unified budget, results and accountability framework. They also called for a midterm review of the agenda in December 2012.",
"36. UNAIDS is requested to partner with national stakeholders to document best practices in the response to AIDS in collaboration with the women ' s movement in addressing the HIV-related needs of women and girls. The PCB also requested UNAIDS, in collaboration with key stakeholders, to promote and facilitate improved linkages between sexual and reproductive health, human rights and HIV responses and encouraged further partnerships with networks working with men and boys and women and girls on HIV and gender equality.",
"37. In 2011, UNFPA and UNDP supported more than 50 countries to strengthen human rights protection and access to services for sex workers and their clients, men who have sex with men and transgender people. These efforts have strengthened coordination and harmonization among networks and organizations of sex workers, which focus on HIV prevention, prevention of sexually transmitted infections, sexual and reproductive health, and linkages between sexual and reproductive health and gender-based violence and human rights. UNFPA, the Asia-Pacific Network of Sex Workers and partners reported on the first consultation on HIV and sex work in the Asia-Pacific region, chaired by the Royal Government of Thailand and involving Cambodia, China, Fiji, Indonesia, Myanmar, Pakistan, Papua New Guinea and Thailand. The consultations resulted in the development of eight draft country-level action plans on HIV and sexual work and a regional agenda on HIV/AIDS among sex workers and their clients for implementation during the period 2010 to 2013; the strengthening of the technical capacity of the Asia-Pacific Network of Sex Workers secretariat through the hiring of a full-time director and a policy officer; and dialogue between Governments at the regional level and between Governments and sex workers at the national level.",
"38. Progress has been hampered by problems surrounding key populations. The data show that most countries continue to be under-funded for key population programmes. Stigma, discrimination and homophobia persist, with insufficient political commitment. In some countries, the weak impact of civil society hampers efforts to meet the needs of key populations related to HIV. The lack of quantitative and qualitative data means that the theoretical framework for gender, sexuality and identity is weak, leading to superficial understanding of needs and behaviours, which in turn leads to ineffective programmes. In addition, a range of situations may hinder effective responses and efforts to work with key populations, such as mandatory drug treatment or the criminalization of sex work and same-sex relationships. Recent policy changes, linked to more effective political leadership and more targeted resource allocation, have helped to expand evidence-based services for key populations and have shown that progress is possible. An enabling environment must be created for the participation of key populations in the planning, delivery and evaluation of strategies and programmes that affect their lives. Effective focus on the needs of key populations also requires a comprehensive approach, including anti-stigmatization efforts, and working with law enforcement agencies and other stakeholders to address macro-level issues.",
"39. The 27th PCB meeting discussed AIDS, security and humanitarian response. In line with the UNAIDS division of labour, UNFPA and UNDP have been working with partners to address HIV/AIDS in humanitarian situations. In June 2011, the Security Council adopted resolution 1983 (2011),[3] recognizing the need to strengthen this work and to strengthen programmes to address HIV and sexual violence in conflict situations.",
"40. Within the framework of the above-mentioned Security Council resolution, UNDP and UNFPA, in collaboration with the Department of Peacekeeping Operations (DPKO), the UNAIDS secretariat and the co-sponsors, will continue to build on past initiatives, for example:",
"• Integrating gender and HIV interventions into disarmament, demobilization and reintegration programmes. In the Comoros, Côte d ' Ivoire, the Democratic Republic of the Congo, Indonesia, Liberia, Nepal, the Sudan, Sierra Leone and South Sudan, joint programmes have covered both male and female ex-combatants, as well as women associated with armed groups and host communities.",
"• Provision of basic reproductive health products and supplies (under an agreement between UNFPA and UNHCR) to all refugee populations and camps operated by UNHCR in approximately 25 countries each year.",
"• Training national uniformed personnel prior to their deployment to peacekeeping missions and developing a peacekeeping training initiative on HIV and sexual violence in partnership with DPKO.",
"• Develop and/or strengthen programmes for the prevention of conflict and post-conflict violence and HIV in partnership with relevant agencies for host communities.",
"41. The adoption of Security Council resolution 1983 (2011) demonstrated the high-level commitment of Member States to combating HIV/AIDS in humanitarian settings and provided new opportunities for UNFPA and UNDP to maintain or expand programmes and partnerships. As noted in the progress report on the implementation of Security Council resolution 1308 (2000) (“on the front line: a review of the 2005-2010 programme to address HIV among international peacekeepers and uniformed personnel”), “... the changing threats to international peace and security and the evidence of the relationship between AIDS and security are also changing, and they have presented new challenges and opportunities for further strengthening these operations and for promoting United Nations conflict prevention and peacebuilding”. Discussions among key actors (the UNAIDS secretariat, DPKO, UNDP, UNFPA, UNODC) will be held recently to establish a clear division of responsibilities and a timetable for the implementation of Security Council resolution 1983 (2011).",
"III. Key decisions and recommendations of the UNAIDS PCB for UNDP and UNFPA",
"UNAIDS strategy",
"42. At its 27th meeting, the PCB formally adopted the new UNAIDS Strategy 2011-2015: Achieving Three. The strategy aims to focus and increase efficiency in order to significantly reduce the number of new infections, expand access to treatment and reduce stigma and discrimination. It plans to promote strategic partnerships, support national ownership, engage emerging economies, promote South-South and triangular cooperation and introduce new funding approaches to the response. The strategy emphasizes mutual accountability in the response, increasing ownership, strengthening community systems and promoting action. It reflects the transition from short-term technical support to the development of sustainable capacities and national resilience, as well as increased efforts to link the AIDS response to broader health and development efforts.",
"Member States stressed that all co-sponsors were encouraged to link their strategies to the new UNAIDS strategy. This work is still in progress, and WHO, WFP, ILO and UNESCO have revised their HIV strategies and policies to specifically link them to the UNAIDS strategy. UNFPA is in the process of revising its strategic guidelines on HIV and is considering the UNAIDS unified budget, results and accountability framework in the context of the midterm review of its strategic plan and the follow-up to the revision of the accompanying development results framework. The new UNAIDS strategy will also inform the next UNFPA strategic plan, 2014-2017. UNDP will update its current common AIDS strategy to reflect the new UNAIDS strategy for 2012 and 2013. In addition, the new UNAIDS strategy will inform the integration of HIV and AIDS into the new UNDP strategic plan for 2014 and beyond.",
"44. An important challenge is the reduction in international support for the HIV response, coupled with competing needs, and the increase in the number of people living with HIV, which places considerable strain on the HIV response and threatens the sustainability of recent gains. In addition, many countries rely heavily on external support, which has the potential to undermine national responses. Ten years after the adoption of the time-bound targets in the 2001 Declaration of Commitment on HIV/AIDS, human resource and institutional capacity constraints in the technical and managerial fields continue to undermine more responsive efforts. Funding for the HIV response is a shared responsibility that requires continued support from international donors, increased allocation and political commitment from domestic Governments, stronger leadership from emerging economies and the private sector, and enhanced programme focus to increase efficiency and impact.",
"Unified budget, results and accountability framework, 2012-2015",
"45. The UNAIDS strategy will be implemented through various mechanisms, including the 2012-2015 unified budget, the results and accountability framework and the revised UNAIDS division of labour. The Unified Budget, Results and Accountability Framework was the main item on the agenda of the 28th PCB meeting, which replaced the thematic session. The framework is structured around the UNAIDS strategy, its 10 strategic objectives and strategic functions and aims to contribute to the realization of the UNAIDS long-term vision of zero new HIV infections, zero AIDS-related deaths and non-discrimination.",
"46. The harmonized budget, results and accountability framework describes the results, outputs and deliverables of joint programmes, the allocation of resources and geographical references to these and the means of monitoring progress. It itself provides an integrated results architecture for joint programmes, incorporates clearly defined baselines and results, identifies contributions from each co-sponsor and focuses specifically on country progress.",
"47. The unified budget, results and accountability framework consists of three components:",
"(a) Business plan: A framework for describing joint programme contributions is provided to support the implementation of the UNAIDS strategy for 2011-2015. The business plan describes the rationale, objectives and expected results of the joint programme. The cosponsors and the UNAIDS secretariat will develop annual rolling workplans for the detailed implementation of the unified budget, results and accountability framework and strengthen linkages with the cosponsors ' planning process and results framework. Given the changing nature of the epidemic and the need for a more focused focus, UNAIDS will be more focused, both programmaticly and by strengthening work in the 20+ countries identified in the UNAIDS strategy (see figure 1).",
"Figure 1",
"• The following issues will be addressed: Brazil - More than 70 per cent of new HIV infections in general Cambodia - More than 80 per cent of the overall gap in access to antiretroviral therapy for eligible adults Cameroon - More than 75 per cent of the overall gap in the prevention of vertical transmission - China - More than 95 per cent of the total burden of HIV-related tuberculosis - Democratic Republic of the Congo - IDU-driven HIV infection is severe (estimated at more than 100,000 injecting drug users in half of 20 low- and middle-income countries, estimated at more than 10 per cent HIV prevalence among these people, Ethiopia - laws affecting HIV prevention and treatment, including laws restricting the travel of people living with HIV) Fourteen of these countries have three or more such laws. India, Malawi, Mozambique, Myanmar, Nigeria, will improve aid effectiveness. Russian Federation - strengthen the implementation of $5.1 billion of HIV grants from the Global Fund to Fight AIDS, Tuberculosis and Malaria. South Africa - with funding from the United States President ' s Emergency Plan for AIDS Relief (2007 - $7.4 billion in 2009) Thailand, Ukraine, United Republic of Tanzania • will involve the following countries. Zambia - all BRICS countries (Brazil, Russian Federation, India, China, South Africa) Zimbabwe meets the following five criteria, based on independent data sources: (1) the total number of new HIV infections is above 1 per cent; (2) the overall gap in adult access to antiretroviral therapy is greater than 80 per cent (CD4 > 350/ml); (3) the overall burden of HIV-related tuberculosis is greater than 1 per cent; (4) the estimated number of injecting drug users exceeds 100,000 and the estimated prevalence of HIV among these people is higher than 10 per cent; and (5) there are laws that impede the provision of universal services to marginalized groups, including sex workers, men who have sex actors, transgenderers and injecting drug users.",
"(b) Results and accountability framework: Joint programme achievements will be measured to provide a clear link between investment and results. This results-based accountability framework will ensure accountability for programme results and value for money. The PCB requested that the joint programme further strengthen this framework through a consultative process with all sponsors and report on its results to the 29th PCB meeting. For UNDP and UNFPA, the impact includes the review and revision of indicators as members of the Cosponsors ' Working Group on Evaluation and the UNAIDS Monitoring and Evaluation Reference Group. Implementation of the framework, including information on sources of funding and participation of civil society, with indicators, will be reported annually to the PCB.",
"(c) Core budget: Promote co-sponsors ' contributions and fund UNAIDS in 2012-2013 to translate the objectives of the UNAIDS strategy into action and results. The PCB approved a core budget of $485 million for 2012-2013, which means that it remains unchanged from 2010-2011 and 2008-2009. This represents a decline in real value and highlights the continuing catalytic and operational nature of the unified budget, results and accountability framework and efforts to ensure value for money. $164 million was allocated to the 10 UNAIDS cosponsors and $320 million to the UNAIDS secretariat. The core budget allocation for the Cosponsors is intended to facilitate other budgets raised by the Cosponsors for AIDS-related work. In the next two bienniums, the target is to increase core resources by 70 per cent for the harmonized budget, results and accountability framework at the regional and country levels to maximize the impact of resources dedicated to the AIDS response by all cosponsors and the UNAIDS secretariat.",
"Figure 2 Current and indicator distribution of core resources for the unified budget, results and accountability framework",
"[Chuckles]",
"48. The unified budget, results and accountability framework links the business plan, results and accountability framework and all components of the budget to produce a range of outcomes that support the achievement of the UNAIDS strategy for 2011-2015. The following figures provide an overview of business plans, results and accountability frameworks and budgets and the linkages between them. The support and guidance provided by the UNDP/UNFPA/UNOPS Executive Board in aligning the revision of the respective strategic plans of UNDP and UNFPA with the unified budget, results and accountability framework will mitigate the challenge of alignment.",
"Figure 3 Linkages between elements of the unified budget, results and accountability framework",
"[Chuckles]",
"Progress report on the implementation of the second independent evaluation",
"49. The second independent evaluation of the Joint United Nations Programme on HIV/AIDS called for a new mission statement, vision, strategy and unified budget, results and accountability framework for UNAIDS. In addition, the Joint Programme revised the UNAIDS Division of Labour to improve efficiency and effectiveness, using its respective mandates and resources and promoting mutual accountability at the global, regional and country levels. The Division of Labour defines the roles and responsibilities of each of the 10 UNAIDS cosponsors in convening and building partnerships. The UNAIDS secretariat is not responsible for convening any of the 15 division of labour areas, but will be responsible for promoting and facilitating coordination and coherence in the areas of advocacy, strategic information, partnerships, mutual accountability and mobilization of core resources to achieve results in all areas.",
"50. In line with the revised division of labour, UNDP is responsible for convening the priority area of human rights and the legal environment and, with UNFPA, for bringing together women and girls and the highest-risk groups. In addition, UNFPA and the World Bank are responsible for co-convening the sexual transmission of HIV, and UNICEF for co-convening youth in this area. The convening and partner roles assigned to UNDP are well aligned with the results areas of its strategic planning, as well as the broader mandate of UNDP in poverty reduction, governance, gender equality and crisis prevention and recovery. Similarly, the co-convening role of UNFPA is fully in line with its mandate and the focus of its strategic planning, namely universal access to sexual and reproductive health, reproductive rights, women and gender equality, youth and coverage of marginalized and excluded populations.",
"Overall, the adoption of the revised division of labour offers opportunities for significant improvement in the collective performance and impact of UNAIDS. The increase in the number of United Nations joint teams and joint support programmes offers the possibility of improving the coherence, coordination and effectiveness of United Nations efforts at the country level. Increased efforts to implement the recommendations of the second independent evaluation could also result in changes across UNAIDS, especially in the new four-year format of the unified budget, results and accountability framework. As it is assumed that UN-Women will join joint programmes, some donors have asked about possible changes in the division of labour, and the format is expected to be available in due course. However, agencies have worked closely with UN-Women on a variety of issues and where UN-Women has a country presence, UN-Women has been included in discussions and decision-making on the adoption of the division of labour process at the country level, taking into account the comparative advantages of all partners, in accordance with local conditions and needs.",
"52. The finalization of the technical support strategy was deferred to the 27th PCB meeting. The technical support strategy outlines key actions for joint programmes to expand technical support and strengthen the overall technical support market. Greater emphasis on the effectiveness of technical support and its cost-effective delivery through a unified accountability system. UNAIDS technical support will focus in particular on long-term skills transfer and capacity development at the country and regional levels, and on harmonizing different technical support structures and mechanisms in joint programmes.",
"53. PCB members requested more details on the technical support plan. Agreed to include a substantive agenda item on the review and analysis of sustainable capacity development and technical support in joint programmes, and further agreed to discuss the UNAIDS technical support strategy further at the 29th PCB meeting. In terms of capacity development, linked to the technical support strategy, as noted in the second independent evaluation, the need for a clear partnership strategy focused on civil society and people living with HIV/AIDS was reiterated. Over the next six months, in collaboration with civil society partners, work will continue on the compilation and identification of indicators for the unified budget, results and accountability framework. Challenges include ensuring that the expectations and objectives of each potential partner are clearly understood as a principle of effective partnership and that they are aligned with the strategic objectives and country programme priorities of UNAIDS. In addition, recent experience has highlighted the willingness of many multinational companies to partner with non-governmental organizations in social development efforts to strengthen corporate social responsibility programmes and to explore opportunities to work with smaller private sector enterprises on HIV prevention and treatment.",
"54. Finally, the PCB was informed that, following extensive consultations and a comprehensive cost-benefit analysis, it had been determined that the best option for the UNAIDS secretariat was to move to a single administrative system within the framework of WHO regulations and rules. The secretariat previously used two administrative systems, WHO and UNDP, at headquarters and country levels, respectively. All UNAIDS staff will now be subject to the same set of staff rules and linked to the same electronic platform. The costs associated with the move to a single administrative system will be absorbed by the Secretariat component of the unified budget and workplan. The UNAIDS secretariat is expected to significantly increase efficiency and avoid duplication through the introduction of a single administrative system.",
"IV. The way forward",
"55. With this in mind, UNDP is aligning HIV programming to meet challenges and scale up successes. First, recognizing the importance of linking HIV action to broader development efforts, UNDP will prioritize the implementation of cross-thematic programmes that address HIV while addressing the key priorities of gender equality, access to justice and economic empowerment. This will involve the development of strategies and joint workplans across operational areas and the implementation of practical programming guidelines. Second, while significant progress has been made in developing the capacity of national entities to take over the implementation of the Global Fund to Fight AIDS, Tuberculosis and Malaria grant, UNDP will also place greater emphasis on longer-term capacity development. In moving forward, the preparation of capacity-building assessments and plans in collaboration with national stakeholders will be an integral part of all new global fund programmes administered by UNDP. Thirdly, building on the Millennium Development Goals assessment, which highlighted the benefits of linking HIV to health strategies, UNDP will promote greater cost-effectiveness in achieving the broader health Millennium Development Goals by building on existing successful HIV programmes. This will include drawing on experience in supporting large-scale implementation, capacity development and governance to accelerate progress towards the Millennium Development Goals. Finally, it is very important to ensure that assessments provide more consistent information for programming decisions and that successful HIV initiatives are sustained and scaled up or handed over to partners when UNDP support ceases.",
"56. UNFPA will continue its efforts to reduce maternal mortality, given that the two main causes of death for women of reproductive age globally are complications related to pregnancy, childbirth and HIV/AIDS, and that, without HIV, maternal mortality could have declined by about 6 per cent worldwide in 2008. This will include strengthening mechanisms to actively link efforts to reduce maternal mortality with efforts to combat the AIDS epidemic; promoting greater collaboration and integrated approaches, developing evidence-based and rights-based programmes, placing maternal health in the context of continuous care, which incorporates a comprehensive range of interventions that affect maternal health outcomes, including those related to HIV. UNFPA will continue to support the meaningful participation of women and girls at every stage of the national HIV response to ensure that their needs and rights are properly addressed and monitored, and that they have access to quality basic services for sexual and reproductive health, are treated with dignity and respect and are free from violence, coercion, stigma and discrimination. Based on evidence of what can be effective in preventing HIV infection among adolescents and young people, UNFPA will support comprehensive interventions for young people in the context of HIV prevention and sexual and reproductive health, including delays in first sexual intercourse, sex avoidance, correct and sustained use of male and female condoms, circumcision, reduction of multiple sexual partners and effective communication to achieve social and behavioural change.",
"UNFPA will continue to support improved national, regional and global integrated condom planning to increase access to and demand for male and female condoms. UNFPA will support Governments in developing strategies that specifically address the sexual and reproductive health needs of men who have sex with men, sex workers and transgender people, in line with epidemiological and national contexts. Finally, recognizing that the goal of eliminating new infections in children cannot be achieved without effective primary HIV prevention among women of childbearing age and the prevention of unwanted pregnancies among women living with HIV, and recognizing that effective primary prevention among pregnant women, reducing unwanted pregnancies among women living with HIV and limiting breastfeeding to these women are likely to reduce mother-to-child HIV infections by 19 per cent, UNFPA will support the protection of human rights, including the reproductive rights of all women and girls, especially those living with HIV, as part of the non-negotiable nature of all HIV prevention and global health programmes.",
"58. Despite the strong commitment within the United Nations system to support national HIV responses, and stressing the issues raised in the present report, especially those related to the provision of financial resources and, more importantly, to the provision of human resources capacity at all levels, the United Nations will continue to challenge the results of agencies and national progress towards the targets set out in the political declaration, the UNAIDS strategy and the harmonized budget, results and accountability framework.",
"Elements of a decision",
"59. The Executive Board may wish to take note of the present report and recommend that it be specifically linked to the UNAIDS strategy in the respective HIV strategies and policies of UNDP and UNFPA, as well as in the new strategic plan to be developed by UNDP and UNFPA for 2014-2017.",
"Annex",
"Strategy — a glimpse",
"Global commitments",
"Universal access to HIV prevention, treatment, care and support Halting and reversing the spread of HIV and contributing to the achievement of the Millennium Development Goals Strategic direction Vision and goals A revolutionary change in HIV prevention Vision: no new infections More than 7,000 new infections per day. Revolutionary changes in the political, policy and practical aspects of prevention are urgently needed. This can be achieved through the development of political incentives for commitment to promote transformative social movements led by people living with HIV, affected communities, women and youth in sexual behaviour, drug use and HIV education. It is also crucial to target high-prevalence areas, especially in mega-cities, and to ensure equitable access to high-quality, cost-effective HIV prevention programmes, including the rapid use of scientific breakthroughs. Target 2015: Reduce by half the sexual transmission of HIV, including within youth, men who have sex with men, and in the context of sex work, eliminate the vertical transmission of HIV, reduce by half the AIDS-related maternal mortality rate and prevent all new HIV infections among drug users Treatment is available to all those who need it through simpler, more affordable and more efficient drug and payment systems. Strengthening linkages between antiretroviral treatment services and primary health care, maternal and child health, tuberculosis and sexual and reproductive health services will further reduce costs and promote efficiency. Enhanced capacity for rapid registration will increase access to medicines and the ability of countries to take advantage of TRIPS flexibilities. Nutritional support and social protection for people living with and affected by HIV, including orphans and vulnerable children, need to be strengthened through the use of social and cash transfers and the expansion of social insurance systems. Target 2015: Universal access to antiretroviral treatment for all people living with HIV who are eligible for treatment will halve the number of people living with HIV who die from tuberculosis in all national social protection strategies to address and provide basic care and support to people living with HIV and HIV-affected families Achieving the 2015 goal of non-discrimination: Universal access to services will continue to be hampered if the social and legal environment fails to protect against stigma and discrimination or to promote access to HIV programmes. States must do more to realize and protect HIV-related human rights, including the rights of women and girls; implement protective environments for people living with HIV and populations at high risk of HIV infection; and ensure that HIV responses reach the most underserved and vulnerable groups. People living with HIV and at high risk should be aware of their HIV-related rights and supported in mobilizing for their rights. Greater investment is needed to address the internal linkages between vulnerability to HIV, gender inequality and violence against women and girls. Half of countries with punitive laws and practices that impede effective responses to HIV transmission, sex work, drug use or homosexuality, and half of countries with HIV-related restrictions on entry, stay and residence, and at least half of countries with HIV-related specific HIV needs of women and girls, adopt a zero-tolerance policy on gender-based violence.",
"National ownership of sustainable responses, diversification of funding, strengthening of institutions, alignment of efforts, integration of services to ensure the effectiveness of all Millennium Development Goals",
"[1] These goals are to: (i) reduce by half the sexual transmission of HIV, including among young people, men who have sex with men, and within the context of sex work; (ii) eliminate vertical transmission of HIV and reduce by half the AIDS-related maternal mortality rate; (iii) prevent all new HIV infections among drug users; (iv) provide universal access to antiretroviral treatment for people living with HIV who are eligible for treatment; (v) reduce by half the number of people living with HIV who die of tuberculosis; (vi) address the problems of people living with HIV and families affected by HIV and provide them with basic care and support in all national social protection strategies; (vii) reduce by half the number of countries with punitive laws and practices that impede effective responses to HIV transmission, sex work, drug use or homosexuality; (viii) reduce by half the number of countries that implement HIV-related restrictions in the areas of entry, stay and residence; (ix) address the specific HIV needs of women and girls in the HIV response in at least half of countries; and (x) adopt a zero-tolerance policy on gender-based violence.",
"[2] The HIV treatment figure is the number of people currently receiving antiretroviral treatment through current grants.",
"[3] Among other provisions, the resolution “encourages the inclusion, as appropriate, of HIV prevention, treatment, care and support, including voluntary confidential counselling and testing programmes, in the fulfilment of the mandated tasks of peacekeeping operations, including assistance to national institutions, security sector reform and disarmament, demobilization and reintegration (DDR) efforts, and the need to continue such prevention, treatment, care and support during and after the transition from a United Nations presence to other configurations”. This resolution not only recognizes that “the international community still needs urgent and concerted action to control the impact of the HIV epidemic in conflict and post-conflict situations”, but also provides guidance for implementation by the United Nations and Member States.",
"[4] UNDP is responsible for convening `the repeal of punitive laws, policies and practices, the elimination of stigma and discrimination, and the removal of barriers to effective AIDS responses' and, together with UNFPA, for `Meeting the HIV needs of women and girls and ending sexual and gender-based violence' and `Enhanced capacity of men who have sex with men, sex workers and transgender people to protect themselves, avoid HIV infection and have full access to antiretroviral therapy'."
] |
[
"第六十六届会议",
"^(*) A/66/150。",
"临时议程^(*) 项目69(b)",
"促进和保护人权：人权问题， 包括增进人权和基本自由 切实享受的各种途径",
"酷刑和其他残忍、不人道及有辱人格的待遇和处罚",
"秘书长的说明",
"秘书长谨向大会转递人权理事会酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员胡安·门德斯根据大会第65/205号决议编写的临时报告。",
"人权理事会酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员的临时报告",
"摘要",
"特别报告员在按照大会第65/205号决议提交的本报告中根据其任务范围述及各项特别关注的问题和最近的发展情况。",
"特别报告员提请大会注意他的评估意见，即大多数国家都实行单独监禁的做法。他发现，物质条件和单独监禁这种监狱制度会造成严重的精神和身体痛苦或苦难，当把它作为一种惩罚手段在审前拘留期间无限期、长期施用于青少年或患有精神残疾的人时，就构成残忍、不人道或有辱人格的待遇或处罚，甚至是酷刑了。此外，单独监禁这一做法增加了酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为不被发现和不被质疑的风险。",
"报告强调了一些一般原则，以帮助指导各国重新评价和尽量减少使用单独监禁，并在某类案件中取消单独监禁的做法。这种做法只应作为最后手段用于非常特殊的情况，使用的时间越短越好。他还强调，需要有最低限度的内部和外部程序保障，以确保所有被剥夺自由的人都得到人道待遇及对人所固有的尊严的尊重。",
"目录",
"页次\n1.导言 4\n2.与任务有关的活动 4\n3.单独监禁 7\nA.对根据任务规定所开展工作的概述 7\nB.单独监禁的历史和当前的做法 7\nC.定义 8\nD.法律框架 9\nE.国家使用单独监禁的理由 11\nF.单独监禁的条件 13\nG.长期或无限期单独监禁 16\nH.单独监禁造成的心理和生理影响 17\nI.单独监禁的潜在影响 17\nJ.易受伤害的人 17\nK.当单独监禁构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时 18\n4.结论和建议 20\n附件单独监禁的影响 24",
"一. 导言",
"1. 本报告根据大会第65/205号决议第39段提交，是酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员向大会提交的第十三次报告，也是本项任务执行人提交的第一次报告。",
"2. 特别报告员提请注意他呈送人权理事会的报告(A/HRC/16/52)；在该报告中，他概述了自己在特别报告员任期内的愿景、工作方法和优先事项。",
"二. 与任务有关的活动",
"3. 以下是特别报告员自其向人权理事会提交报告(A/HRC/16/52和Add.1-6)以来根据任务规定所开展活动的小结。",
"关于侵犯人权行为的来文",
"4. 在2010年12月1日至2011年7月1日期间，他向18国政府发出20封酷刑指控函，并为可能遭受酷刑或其他形式虐待的个人向48国政府发出95份紧急呼吁。同期收到82份答复。",
"国别访问",
"5. 关于实况调查团，原计划于2011年5月对吉尔吉斯斯坦进行国别访问，但该国政府以正在发生的政治事态为由要求延期。吉尔吉斯共和国政府在2011年7月28日的信中提议，在2011年8月下旬进行国别访问。特别报告员对此邀请表示欢迎，但因是临时通知，因此在提交本报告时正与该国政府商量其他可能的日期。他接受了伊拉克政府请他于2011年10月访问该国的邀请。他还被邀请去访问巴林并正与该国政府商量日期。除了将要提出的国别访问要求外(见A/HRC/16/52，第6段)，特别报告员已要求就西撒哈拉问题访问摩洛哥。",
"6. 特别报告员于2011年5月15日至22日访问了突尼斯。他与临时政府分享了他的初步调查结果，并于5月22日发布新闻谈话稿，对该国政府向他提供全面合作表示感谢。他指出，该国政府已采取一系列积极步骤来确保问责制和长期改革。但他认为，在期待制宪大会选举时的那种“观望态度”可能会妨碍在清算过去和最近的侵权行为方面采取大胆和积极步骤的可能性。特别报告员强调，应确保对被控实施酷刑和虐待的人进行迅速、有效和独立的刑事调查，并应启动行政方案，以对过去和最近的侵权行为受害者提供补救和赔偿服务。有关访问突尼斯的报告将提交给定于2012年3月举行的人权理事会第十九届会议。",
"关键的新闻谈话稿",
"7. 特别报告员发布了下列新闻谈话稿(其中有许多是与其他任务执行人联合发表的声明)：",
"• 2010年12月31日——对在科特迪瓦总统选举期间可能发生的或可能仍在发生的强迫或非自愿失踪、任意拘留、法外处决、即审即决或任意处决事件及性暴力行为表示严重关切。",
"• 2011年1月14日——在官方确认至少有21人死亡之后，敦促突尼斯政府控制对和平示威使用武力。",
"• 2011年2月3日——关于在白俄罗斯、埃及和突尼斯的公众骚乱和在镇压和平示威时据称施加的酷刑或残忍、不人道或有辱人格的待遇。",
"• 2月17日——敦促埃及过渡政府设立独立调查组调查在该国革命期间发生的侵犯人权行为，并有权将人名和证据转递有关当局提起公诉。",
"• 2月18日——敦促巴林政府和阿拉伯利比亚民众国政府保障和平抗议的权利，并立即停止使用过度和致命武力。",
"• 2月22日——关于对阿拉伯利比亚民众国境内正在发生的严重侵犯人权行为表示严重关切的人权维护者的境况。",
"• 3月3日——谴责在也门发生的对抗议者的暴力镇压，并敦促该国政府停止把过度使用武力作为结束持续不断抗议的手段。",
"• 3月22日——对在巴林首都麦纳麦发生越来越多的严重侵犯人权事件表示关切。",
"• 4月1日——对科特迪瓦境内发生的严重侵犯人权行为表示关切，包括可能构成国际罪行的强迫失踪、法外杀戮、杀害和残害儿童及性暴力，并表示，特别报告员和其他任务执行人全力支持安全理事会第1975(2011)号决议。",
"• 4月11日和7月12日——尽管他一再要求探访一等兵布拉德利·曼宁，但是美利坚合众国政府仍未给予他不受监督地接触该被拘留者的机会，对此他表示沮丧。不受约束的接触问题不局限于该案例，还涉及特别报告员如果对美国进行国别访问时是否能与被拘留者进行私下和不受监督的面谈。",
"• 4月15日——谴责阿拉伯叙利亚共和国境内死亡人数不断增加和残酷镇压和平抗议者、记者和人权维护者，尽管该国政府保证进行改革和协商，以结束长达48年的紧急状态统治。",
"• 7月1日——敦促美国政府停止对德克萨斯州的Humberto Leal García 执行排定的处决。",
"关键演讲/协商/培训课程的要点",
"8. 特别报告员于2011年2月8日至9日参加了大赦国际在伦敦主办的一次会议，讨论“发展对酷刑进行询问和调查的国际最佳做法”。他还向特别引渡问题全党派议会小组作了讲话。",
"9. 2月22日，他在美洲法证科学学院第六十三届年会作了关于“记录拘留条件、酷刑和虐待的国际框架和机制”的发言。",
"10. 2月28日，他在华盛顿市会见了美利坚合众国国务院和国防部的高级官员，在4月22日再次拜访国防部，讨论共同关心的问题。",
"11. 3月6日至10日，特别报告员在日内瓦出席人权理事会第十六届会议，会见了伊拉克、吉尔吉斯斯坦、墨西哥、泰国和美国等国的大使。他还会见了人权理事会所有区域小组，但非洲小组除外，因为很遗憾无法与该小组排定会见日期。",
"12. 3月16日和17日，他在华盛顿市会见了禁止酷刑委员会主席、防范酷刑和其他残忍、不人道或有辱人格待遇或处罚小组委员会副主席、美洲人权委员会被剥夺自由人员的权利问题报告员、欧洲防止酷刑委员会的一名代表和非洲人权和人民权利委员会被拘留人员问题特别报告员。该次会见是美国大学华盛顿法律学院和防止酷刑协会联合组办的，以讨论如何加强这些机制之间的工作关系。",
"13. 3月18日至20日，特别报告员在旧金山大赦国际美国分部的年度大会和五十周年纪念会议上发表了两次讲话。",
"14. 2011年6月1日，他在由几个宗教团体在华盛顿市组办的一次活动中作了主旨发言，题目是：“今天的问责制：防止明天的酷刑”。",
"15. 6月15日至17日，特别报告员在荷兰政府支持下在智利圣地亚哥主持了一次关于酷刑的美洲国家区域协商会议。这次区域协商会议是在防止酷刑协会、法律和社会中心、人力公司、人权和性别公正区域中心、人权联系会的协助下组办的，为来自12个国家的政府、国家机构和民间社会组织提供了一个机会，以讨论在国别访问之后所提出建议的后续行动和加强防范酷刑和虐待的地方和区域保护机制。",
"16. 6月20日，他在圣地亚哥会见了智利外交部外交政策总干事。",
"17. 6月27日至7月1日，特别报告员在日内瓦参加了特别报告员第十八次年会。他还会见了伊拉克、吉尔吉斯斯坦、荷兰、俄罗斯联邦、突尼斯和美利坚合众国等国政府的代表。",
"18. 7月7日，他在巴西利亚会见了巴西政府人权部长。",
"三. 单独监禁",
"A. 对根据任务规定所开展工作的概述",
"19. 在他作为特别报告员提交的第一次报告中(A/HRC/16/52，第70段)，他认识到，“长期单独监禁是否……在本质上构成残忍、不人道或有辱人格的待遇或处罚的问题在人权理事会引起了很多争论和讨论”；他认为，“国际社会作为一个整体将从冷静和理性地讨论这一问题中受益”。",
"20. 特别报告员接到投诉，指称一些国家在以国家安全为由进行行政拘留时使用单独监禁或将单独监禁作为打击有组织犯罪的一种手段，以及在作移民拘留时使用单独监禁。他作此项研究是因为他发现，单独监禁的做法具有全球性，并易于被广泛滥用。特别是，一些国家所施行的社会隔离和感觉剥夺的做法在某种情况下构成残忍、不人道和有辱人格的待遇甚至是酷刑。",
"21. 特别报告员的前任已指出，长期单独监禁本身可能就构成受禁止的虐待或酷刑(E/CN.4/1999/61，第394段和E/CN.4/2003/68，第26(m)段)。",
"22. 《关于使用单独监禁及其影响的伊斯坦布尔声明》作为附件列入了前任特别报告员提交大会的2008年临时报告(A/63/175，附件)。该报告的结论是：“长期隔离被拘留者可能构成残忍、不人道或有辱人格的待遇或刑罚，在某些情况下，可能构成酷刑。……应将单独监禁的使用保持在最低限度；在非常特殊的情况下，在尽可能短暂的时间内使用，并仅作为最后手段。无论使用的具体情况如何，都必须努力提高囚犯社会接触的水平：囚犯与监狱工作人员接触，允许与其他囚犯一起搞社交活动，允许更多探访，并提供心理健康服务”(A/63/175，第77段和第83段)。",
"B. 单独监禁的历史和当前的做法",
"23. 有关对被拘留者使用单独监禁的历史有据可查。这种做法可追溯到1820年代的美利坚合众国，当时人们相信隔离囚犯的做法有助于实现改造。在这种模式下，囚犯整天独处一室，大多数情况下是在囚室内，即使工作时也如此，以反省自己的犯罪过程，从而规避外部的消极影响。从1830年代开始，欧洲和南美洲国家采用了这种做法(A/63/175，第81段)。必须认识到，200年前这个模式是在处罚方面的一种社会和道德上进步的方式，因为这种做法强调了改造，并试图以此取代死刑、切割四肢和当时流行的其他惩罚手段。",
"24. 世界各国继续广泛使用单独监禁(A/63/175，第78段)。在一些国家，超级最高安全监狱把对囚犯施用单独监禁视作正常而不是“例外”的做法，这被认为是有问题的。例如在美国，估计有2万至2.5万人被单独拘押。[1] 另一个例子是，在审前拘留中广泛使用单独监禁；许多年来这一直是斯堪的纳维亚监狱做法的一个有机组成部分。[2] 几乎所有地方都把与监狱其他囚犯相隔离的做法作为惩罚破坏监狱纪律的一种手段。现在许多国家更为经常地使用单独监禁，持续的时间也更长。例如在巴西，2003年第10792号法令修正了现行的“刑法执行法”，设想出一个可长达360天的单个囚室的“区别”纪律处分制度，同时不妨碍因新的犯罪而延长相似的持续时间，最高可达刑期的六分之一。阿根廷布宜诺斯艾利斯省于2010年启动了一个防止监狱暴力行为方案，其中包括至少9个月的隔离(最初3个月为全面隔离)，根据监狱监测员的说法，这个期限往往还会延长。",
"C. 定义",
"25. 现在尚未有对单独监禁的得到普遍商定的定义。《关于使用单独监禁及其影响的伊斯坦布尔声明》把单独监禁定义为：对个人的人身隔离，将其关在囚室中每天长达22至24小时。在许多司法管辖区中，允许被单独监禁的囚犯每天走出囚室单独放风一小时。与其他人有意义的接触通常被减少至最低程度。刺激的减少不仅是在数量上，而且还在质量上。仅有的刺激和偶尔的社会接触很少能由其自由选择，通常十分单调且不具移情作用。",
"26. 单独监禁也被称为“分隔”、“隔离”、[3] “分离”、“蜂窝”、[4] “锁定”、“超级最高级”、“牢洞”或“安全住房单位”，[5] 但所有这些名词都涉及不同的因素。为本报告的目的，特别报告员将单独监禁定义为：对个人的人身和社会隔离，将其关在囚室中每天长达22至24小时。让特别报告员特别感到关切的是长期单独监禁，他对此的定义为：任何超过15天的单独监禁。他知道，要确定一个早已有害的制度从何时转变为长期因而造成不可接受的痛苦的时间点是具有任意性的。他的结论是，15天是“单独监禁”和“长期单独监禁”之间的界限，因为根据所查看的文献资料，在这一个时间点上，隔离造成的某些有害的心理影响就可能变得不可逆转了。[6]",
"D. 法律框架",
"27. 国际和区域人权机构在解决造成被拘留者社会和人身隔离的基本条件方面及在确定这种做法是否构成酷刑或残忍、不人道或有辱人格的待遇或处罚方面采取了不同的方法。例如，虽然欧洲人权法院经常面对单独监禁问题，但最为广泛地处理与禁止与外界接触的拘押相关现象的机构则是联合国人权事务委员会和美洲人权法院。为本报告的目的，特别报告员将只重点介绍全球性和区域人权机构就单独监禁问题所开展的工作。",
"1. 国际一级",
"联合国大会",
"28. 1990年，大会通过了第45/111号决议，《囚犯待遇基本原则》。原则7规定，应努力废除或限制使用单独监禁作为惩罚的手段，并鼓励为此而作出的努力。",
"29. 同一年，大会通过第45/113号决议，《联合国保护被剥夺自由少年规则》。大会在第67段中主张：“应严格禁止任何构成残忍、不人道或有辱人格的待遇的惩戒措施，其中包括……单独监禁或任何其他有害有关少年身心健康的惩罚”。",
"联合国条约机构",
"30. 人权事务委员会在其第20号一般性意见第6段中指出，对被拘留者或囚犯的长期单独监禁可能构成《公民及政治权利国际公约》第7条所禁止的行为。[7] 在其对卢旺达的结论性意见中，人权事务委员会建议：“缔约国应结束判处单独监禁的做法……”(CCPR/C/RWA/CO/3，第14段)。",
"31. 禁止酷刑委员会认识到长期单独监禁对身心的有害影响，并对将长期单独监禁作为审前拘留期间的一项预防措施和纪律处分措施表示关切。委员会建议废除使用单独监禁，特别是在审前拘留期间，或至少由法律作出严格和具体规范(最长持续时间等)，在司法监督下实施，并只在特殊情况下使用，如涉及人员安全之时(A/63/175，第80段)。委员会建议，不应对18岁以下人员使用单独监禁(CAT/C/MAC/CO/4，第8段)。",
"32. 防范酷刑和其他残忍、不人道或有辱人格待遇或处罚小组委员会指出，长期单独监禁可能构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为，并建议在涉及未成年人或心智残障人员的案件中不使用单独监禁(CAT/OP/PRY/1，第185段)。小组委员会还建议，应由医官每天探访被单独监禁的囚犯，但有一项谅解，即这类探访应对该囚犯的健康有益。此外，被单独监禁超过12小时的囚犯应每天至少有1个小时可呼吸新鲜空气(CAT/OP/PRY/1，第 184段)。鉴于单独监禁的条件，小组委员会指出，应向所有囚犯提供床和合适的床垫，包括被单独监禁的囚犯(CAT/OP/HND/1，第227(a)段和CAT/OP/PRY/1，第280段)。",
"33. 儿童权利委员会在其第10号一般性意见(2001年)中强调，“必须严格禁止违反《儿童权利公约》第37条的纪律处分措施，包括……禁闭或单独监禁，或可能伤害有关儿童身体或精神健康或福祉的其他任何处罚”(CRC/C/GC/10，第89段)。此外，委员会敦促各缔约国禁止并废除对儿童使用单独监禁(CRC/C/15/Add.151，第41段；CRC/C/15/Add.220，第45(d)段；CRC/C/15/Add.232，第36(a)段)。",
"2. 区域一级",
"欧洲人权法院",
"34. 欧洲人权法院在评价单独监禁案件时审议了国家提出的施行社会和人身隔离的理由。法院裁定违反了《欧洲人权公约》第3条，因为国家没有为使用单独监禁提供以安全为基础的正当理由。[8] 至于长期单独监禁问题，法院认为，必须向个人解释使用单独监禁的理由，并随着时间的推移，这种理由“必须越来越详细和越来越紧迫”。[9]",
"35. 通过其判例法，欧洲人权法院强调，在施行单独监禁期间某些程序保障措施必须到位，例如监测囚犯的身体健康，⁹ 特别当这个人身体不好时更应如此，[10] 并有机会获得司法复核。[11]",
"36. 欧洲人权法院在评估人身和精神隔离个案是否构成酷刑或残忍、不人道或有辱人格的待遇或处罚时依据的一个关键因素就是对个人所施行的隔离的程度。长期绝对禁止监狱以外个人来访的做法造成的痛苦“明显超越拘留所固有的无可避免的程度”。[12] 但是，只要个人可以接待来访者和写信，[13] 可以看电视、看书和看报纸，以及与监狱工作人员经常接触[14] 或能定期探访神职人员或律师，[15] 这种隔离就是“局部”隔离，未到达严重程度的最低限度门槛，即未到达欧洲人权法院判定违反《欧洲人权公约》第3条所必需的最低限度门槛。但法院强调，即使施行的是局部隔离，也不能对囚犯无限期地施行单独监禁。[16]",
"美洲人权体系",
"37. 美洲人权体系有关单独监禁的判例比上面所讨论的机构更具结论性。自其最早的判决以来，美洲人权法院就判定，监狱制度的某些要素和监狱某些物质条件本身就构成残忍和不人道待遇，因此违反了《美洲人权公约》第5条，因为该条款承认人的完整性权利。例如法院主张，“长期隔离和剥夺交流机会的做法本身就是残忍和不人道的待遇，伤害了人的心理和道德完整性，违反了被拘留者尊重作为人所固有的尊严的权利”。[17] 法院还讨论了拘留的物质条件，强调“在狭小、无通风和无自然光的囚室内的隔离，……[以及]对探访权的限制……，构成残忍、不人道和有辱人格的待遇的形式”。[18]",
"38. 法院还认识到，单独监禁导致心理和身体上的痛苦，而这种痛苦可能会促成构成酷刑的待遇。法院至少在一个案件中确认了单独监禁的物质条件，包括“狭小、无通风或无自然光的囚室”，以及被拘留者“每天被关23个半小时……，[和]每月只允许见其亲属一次并不得与他们有身体接触”的监狱制度，当这些条件与其他形式的身体和心理侵害结合在一起时就有可能构成身体和心理酷刑。[19]",
"39. 法院在对单独监禁进行分析时指出，即使在特殊情况下使用时，程序保障措施仍必须到位。例如，“国家有义务确保被拘留者享受《[美洲]公约》所规定的最低限度和非减损保证，具体而言就是，有权质问拘留的合法性及保证被拘留者在被监禁期间的得到有效辩护”。[20] 同样，美洲人权委员会一贯主张，对被拘留者采取的所有形式的纪律处分行动都必须符合正当法律程序的准则并提供司法复核的机会。[21]",
"E. 国家使用单独监禁的理由",
"40. 国家为使用单独监禁提出的理由可分成五大类：",
"(a) 处罚人(作为司法判刑的一部分或作为纪律处分制度的一部分)；",
"(b) 保护易受伤害的人；",
"(c) 便利监狱对某些人的管理；",
"(d) 保护或促进国家安全；",
"(e) 便利起诉前或审前调查。",
"41. 作为对个人司法判刑的一部分而施行单独监禁的做法往往发生在犯下特别严重的罪行或对国家犯下罪行的情况下。[22] 例如在某些中欧国家，被判定犯下谋杀或强奸罪的人被判处在单独监禁的情况下服刑(A/64/215，第53段)。在其他国家，例如在蒙古国，死刑可改判为无期徒刑，以单独监禁的方式服刑(E/CN.4/2006/6/Add.4，第47段)。在监狱里将单独监禁作为纪律处分措施使用也是有案可查的，这也许是把单独监禁作为一种处罚形式加以使用的最普遍的理由。²² 纪律处分措施通常涉及违反监狱的规则。例如在尼日利亚，被拘留者会因违纪行为受到多至3天的单独监禁处罚(A/HRC/7/3/Add.4，附文一，第113段)。同样，在印度尼西亚的阿贝普拉监狱，作为纪律处分措施可对违反监狱规则的人处以多至8天的单独监禁(A/HRC/7/3/Add.7,附文一，第37段)。",
"42. 单独监禁还用于分离易受伤害的个人，包括青少年、残疾人，以及女同性恋、男同性恋、双性恋和变性者，以对他们提供保护。他们可能自己要求或经监狱官员的斟酌而被单独监禁。[23]",
"43. 国家官员还把单独监禁作为管理某些监狱人口的工具。被确认具有危险性的人，如帮派成员，或逃跑风险较大的人可能会被单独监禁。²³ 同样，被确认具有被伤害风险的人，如性犯罪者、告密者，以及前惩教或执法人员，往往被允许或鼓励选择自愿单独监禁，以保护他们不受同室囚犯的伤害。[24] 为监狱管理的需要，在将囚犯转换囚室和拘留所之前、期间或之后也可能将囚犯置于某种形式的单独监禁。[25] 虽然单独监禁作为管理工具使用时其持续时间差别很大，但应注意到，这种使用是出于实用而不是惩处的动机。",
"44. 被确认为恐怖嫌疑犯或具有国家安全风险的人也往往被置于单独监禁。例如在赤道几内亚，“黑海滩监狱”某个由单人囚室组成的部分专用于对高安全囚犯施行单独监禁(A/HRC/13/39/Add.4,附文一)。单独监禁也可用作强制性审讯手段，并往往是强迫失踪或禁止与外界接触的羁押的有机组成部分(A/63/175,附件)。正如在上文第40段a类中所指出的，国家安全也是司法判决后施行单独监禁的首要原因。例如在中国，一个因“向中国境外实体非法提供国家秘密或情报”而被判刑的人在她8年的刑期中据称有2年被置于单独监禁(E/CN.4/2006/6/Add.6,附文2，第26段)。",
"45. 国家还在起诉前或审前拘留期间利用单独监禁孤立个人。在一些国家，例如丹麦，把人置于单独监禁是审前拘留的常规做法(A/63/175,第78(i)段)。起诉前和审前拘留期间使用单独监禁的目的差异很大，包括防止被拘留者混杂，以避免发生道德败坏和勾结行为，以及对被拘留者施加压力以使其合作或坦白。[26]",
"F. 单独监禁的条件",
"46. 对监狱和对被关押囚犯的条件的管理受监狱条例和国家法律，以及国际人权法的制约。经济及社会理事会于1957年通过的《联合国囚犯待遇最低限度标准规则》补充并诠释了因以条约为基础或作为习惯国际法组成部分而具有约束力的基本准则。虽然《最低限度标准规则》并无直接的约束力，但已被广泛接受作为人道对待囚犯的普遍准则。",
"47. 被置于单独监禁下的拘留者所处的特定条件因机构和司法管辖区的不同而不同。但大多数有一些共同的物质条件和非物质条件(或监狱制度)。",
"1. 物质条件",
"48. 与单独监禁有关的主要物质条件是囚室的大小、是否有窗子和电灯，以及是否有用于个人卫生的固定卫生设备。实际上，单独监禁囚室通常都具有某些共同特征，包括：位于监狱的独立或偏远之处、窗子狭小或部分被遮盖、空气不流通、光秃秃的外观和沉闷的色彩、钉在地板上的增韧纸板或其他以防拨弄的家具，以及狭小无趣的健身笼或院子(E/CN.4/2006/6/Add.3,第47段)。在某些司法管辖区，被单独监禁的囚犯会戴脚镣和受其他身体限制(A/HRC/13/39/Add.4,第76(f)段)。",
"49. 目前没有一项普遍文书对可接受的最低限度面积的囚室作出了规定，虽然国内和区域司法管辖机构有时对此事项作出裁决。根据欧洲人权法院在“Ramirez 诉法国”一案中的裁决，一个6.84平方米的囚室“足以”供单人居住。[27] 法院没有详细说明为什么这样的面积可被认为已足够；特别报告员以恭敬的态度表示自己有不同意见，特别是如果单人囚室还应至少包括马桶和梳洗设备、床和一张桌子。",
"50. 就单独监禁的被拘留者是否得到适当待遇而言，窗子和电灯的存在同样具有关键重要性。《囚犯待遇最低限度标准规则》第11条规定，应有充分灯光使被拘留者能够工作或阅读，不管是否有人工通风设备都应开一个窗口使空气流通。但国家的做法显示，这一标准往往得不到满足。例如在格鲁吉亚，发现单独监禁囚室的窗子开口有钢板焊接在外面的铁条上，限制了采光和通风(E/CN.4/2006/6/ Add.3,第47段)。在以色列，单独监禁囚室的唯一光源往往就是荧光灯泡，而且没有新鲜空气。[28]",
"51. 《最低限度标准规则》第12和第13条规定，拘留设施应提供足够的固定卫生设备供被拘留者保持个人卫生之用。因此，用于单独监禁的囚室应在室内安置马桶和洗脸盆。[29] 欧洲防止酷刑和不人道或有辱人格的待遇或处罚委员会在其2006年关于希腊的报告中指出，科莫蒂尼监狱的隔离囚室未能满足卫生设备的必要最低限度标准，因为被拘留者被迫将马桶当作洗脸盆使用。[30] 单独监禁的设置中还涉及其他环境因素，如温度、噪音水平、隐私，以及用于囚室家具的软质材料。",
"2. 监狱制度",
"52. 在评估单独监禁的条件时要顾及的监狱制度的主要方面包括，是否有户外运动和健身计划、在监狱里是否有人与人之间有意义的接触，以及是否能与外界接触。根据《囚犯待遇最低限度标准规则》第21条，只要天气合适，不参加户外工作的每一个囚犯每天应至少有1个小时在露天做适当的运动。同样，欧洲防止酷刑委员会强调，所有囚犯无一例外都应有机会每天在露天运动1个小时。[31] 但国家的做法表明，这些标准并非总能得到遵守。例如在约旦，一个被拘留者只被允许每周在户外呆1个小时(A/HRC/4/33/Add.3，附文，第21段)。在“Poltrotsky诉乌克兰”案中，欧洲人权法院判定，缺乏户外运动的机会再加上缺乏接触自然光的机会构成违法《欧洲人权公约》第3条的行为。[32]",
"53. 在监狱内有机会进行人与人之间有意义的接触和与外界的接触对于单独监禁的被拘留者的心理健康也至关重要，特别是对那些被长期关押的人而言更是如此。在监狱内，这类接触可以是与保健专业人员、狱警或其他囚犯的接触。与外界的接触包括法律顾问、家庭和朋友的探访、邮件和打电话，以及有机会阅读材料、看电视或听收音机。《公民及政治权利国际公约》第17条赋予囚犯接触家人和收发信件的权利。此外，《囚犯待遇最低限度标准规则》对各种外部刺激作了规定(关于体操和运动的第21条、关于同外界的接触的第37至第39条、关于书籍的第40条、关于宗教的第41和第42条、关于工作的第71至第76条、关于教育和娱乐的第77和第78条及关于社会关系和善后照顾的第79至第81条)。",
"3. 社会隔离",
"54. 单独监禁将有意义的社会接触降低到绝对最低限度。由此导致的对个人的社会刺激水平不足以维持一种合理的精神健康状态。[33]",
"55. 研究结果表明，一旦被剥夺足够水平的社会刺激，人很快就会无法对其环境维持适当的警觉和注意状态。事实上，甚至只要几天的单独监禁就可使人的大脑活动趋于具有精神恍惚和神志失常特点的不正常状态。[34] 新技术方面的进步使人们可以做到，在几乎无需进行人与人之间互动的情况下就可间接监督人和保持对人的密切监视。欧洲人权法院认为，“彻底的感官隔离再加上完全的社会隔离可能会摧毁个性，并构成一种不能以安全或任何其他理由来辩解的不人道待遇的形式。”[35]",
"56. 根据欧洲人权法院的意见，各国还应采取步骤减少单独监禁的负面影响。[36] 只要知道了单独监禁对某一特定个人的伤害性影响，就不得继续执行这种制度。[37] 在这方面，监禁的条件也是有关系的，因为当条件无可厚非时，法院认为，就不太可能越过可判定违反第3条的最低限度严重性门槛。[38] 让医生进行常规检查可作为确定是否存在违反第3条情事的一个因素。[39]",
"G. 长期或无限期单独监禁",
"57. 各司法管辖区都增加了使用长期或无限期单独监禁的频率，特别是以“反恐战争”和“对国家安全的威胁”为由。受这两种做法惩处的人可说是身处“监狱中的监狱”，因此忍受极端形式的焦虑和被排斥状态的煎熬，很明显这种做法取代了正常监禁。由于他们与世隔绝，被长期或无限期单独监禁的囚犯很容易就会滑出正义的视线，因此要保障他们的权利往往很困难，即使在强力坚持法治的国家里也是如此。[40]",
"58. 当一国在单独监禁的一个稍短期间内未遵守《囚犯待遇最低限度标准规则》时，可能会引起对不利影响是否构成残忍、不人道或有辱人格的待遇或处罚或酷刑的某种辩论。但是，单独监禁持续的时间越长或对持续时间的不确定性越大，对囚犯造成严重和不可逆转伤害的风险也就越大，而这可能会构成残忍、不人道或有辱人格的待遇或处罚或甚至是酷刑。",
"59. 未被告知单独监禁的期限而产生的不确定感加剧了受刑人的痛苦和苦难。在某些情况下，有的人会在审前拘留期间被无限期扣押，从而增加了其他形式残忍、不人道或有辱人格的待遇或处罚的风险(CAT/C/DNK/CO/5，第14段)。",
"60. 大多数研究报告未具体说明，单独监禁要持续多久之后才成为长期单独监禁。虽然刑期是不确定的，但被拘留者可能被单独监禁几个星期直至许多年。例如在哈萨克斯坦，可将人单独监禁2个月以上(A/HRC/13/39/Add.3，第117段)。一些被拘留者未经任何起诉和审判在秘密拘留中心被单独监禁多年，而在那些地方与世隔绝是审讯做法的一个有机组成部分。[41] 专家们在一份关于关塔那摩湾被拘留者状况的联合报告中指出，虽然隔离30天是被许可的最长期限，但是一些被拘留者在经历超过18月的隔离后隔了很短时间就又重被隔离(E/CN.4/2006/ 120，第53段)。",
"61. 目前没有有关单独监禁可允许最高限度总持续时间的国际标准。在“A.B.诉俄罗斯”案中，欧洲人权法院认为，将一个人以单独监禁方式拘留3年构成违反《欧洲人权公约》第3条的行为。[42] 相比较，据报道在美利坚合众国，路易斯安那州一所监狱在2名囚犯试图对自己的监禁条件提出司法上诉未果之后将他们单独监禁了40年。[43] 正如本报告第26段所述，特别报告员认为，单独监禁超过15天即成为长期单独监禁。",
"H. 单独监禁造成的心理和生理影响",
"62. 单独监禁只要施行几天就会对健康产生负面影响，而单独监禁每延长一天，健康风险也会随之增加。对单独监禁的影响作过调查的专家们发现了单独监禁固有的3个共同要素：社会隔离、最小的环境刺激和“最少的社交机会”。[44] 研究结果进一步显示，单独监禁似乎会造成“精神错乱性不安”，这是一种被称为“监狱精神病”的综合征。[45] 症状可包括焦虑、忧郁、愤怒、认知障碍、知觉扭曲、偏执和精神病及自残(见附件所载的全面症状清单)。",
"63. 一些人经历无关联的症状，而另一些人则会经历“已存在的精神状态的严重恶化或出现以前从未见到过的精神疾病”。[46] 不管具体条件是什么，不管在何时何地，也不管曾有过何种个人因素，都会有为数不少的人经历严重的健康问题。",
"I. 单独监禁的潜在影响",
"64. 目前缺乏对单独监禁潜在影响的研究。虽然在单独监禁期结束后，单独监禁的急性效应一般会消退，但对健康的某些负面影响会长期存在。在单独监禁期间经历的最小刺激状态可在7天后导致人的大脑活动减少。一项研究发现，“多至7天，[大脑活动的]减少尚可逆转，但如果被剥夺的时间很长，那就不一定了”。[47]",
"65. 研究发现，在经历隔离而释放了很长时间之后仍有持续睡眠障碍、忧郁、焦虑、恐惧、情感依赖、精神错乱、记忆力和注意力减退等症状。此外，长久的个性改变往往会使那些曾被单独监禁的人社会生活贫乏、孤僻，对被迫进行社会交往感到不快和恐惧。[48] 在经过一段时间的单独监禁后就不愿意进行社会交往，这种障碍往往使人无法顺利调整生活以与监狱里的众人交往，并严重影响他们在刑满释放后重新融入社会的能力。[49]",
"J. 易受伤害的人",
"1. 青少年",
"66. 联合国各条约机构一致建议，不应对少年犯、儿童或未成年人施行单独监禁(CAT/C/MAC/CO/4,第8段；CAT/OP/PRY/1,第185段；CRC/C/15/Add.151,第41段；以及CRC/C/15/Add.232,第36(a)段)。对青少年施行单独监禁往往是作为纪律处分措施或为了把他们与成年囚犯隔离，因为国际人权法禁止让青少年和成年囚犯混居。[50] 令人遗憾的是，单独监禁作为对被拘留青少年的一种处罚形式在一些国家一直很普遍，如牙买加(A/HRC/16/52/Add.3,第211段)、巴拉圭(A/HRC/7/3/Add.3,附文一，第46段)和巴布亚新几内亚(A/HRC/16/52/Add.5,附文)。至于纪律处分措施，有一份报告指出，单独监禁并不能减少青年监狱内被拘留少年犯之间的暴力行为。[51]",
"2. 残疾人",
"67. 一些司法管辖区把对残疾人的单独监禁作为适当的医疗或精神病护理来用，或因为缺乏其他拘留设施。这些人不一定对其他人或对他们自己构成威胁，但他们易受虐待，并往往被视作是对其他囚犯和监狱工作人员的一种干扰。[52]",
"68. 研究表明，对精神残疾而言，单独监禁往往导致以前存在的精神状况严重加剧。[53] 具有精神健康问题的囚犯一被隔离病情就会急剧恶化。[54] 单独监禁的不利影响对具有严重精神健康问题的人造成的后果特别明显，其特点通常是精神病症状和/或明显的功能障碍。[55] 一些人会采取极端行动，如自残，甚至自杀。⁵⁴",
"3. 女同性恋、男同性恋、双性恋和变性者",
"69. 单独监禁作为一种“保护性羁押”形式经常施行于女同性恋、男同性恋、双性恋和变性者。[56] 虽然出于安全考虑，将女同性恋、男同性恋、双性恋和变性者进行隔离是必要的，但女同性恋、男同性恋、双性恋和变性者的地位并不能成为限制他们的社会行为(如接触娱乐活动、阅读材料、法律顾问或医生的机会)的理由。",
"K. 当单独监禁构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时",
"70. 由于缺乏证人，单独监禁增加了酷刑和其他残忍、不人道或有辱人格的待遇或处罚行为的风险。鉴于单独监禁会对健康造成严重不利影响，单独监禁的使用本身就可构成《公民及政治权利国际公约》第7条所禁止的行为、《禁止酷刑公约》第1条所定义的酷刑或该公约第16条所定义的残忍、不人道或有辱人格的处罚。",
"71. 在评估单独监禁是否构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚时应以个案为基础考虑所有相关情况。这些情况包括施行单独监禁的目的、条件、该待遇的持续时间和影响，当然还包括使每一个受害者多多少少更易于受这种影响伤害的主观条件。报告在本节中讨论单独监禁的使用构成酷刑和其他残忍、不人道或有辱人格的待遇或处罚的一些情况。",
"72. 在出于处罚的目的而使用单独监禁时，则不管提出什么样的理由都无法证明这种做法是正当的；这正因为单独监禁施加的严重精神痛苦和苦难超过了对犯罪行为的任何合理惩罚，因而构成了《禁止酷刑公约》第1条或第16条所定义的行为，违反了《公民及政治权利国际公约》第7条。这也适用于因违反监狱纪律而施行单独监禁时的情况，只要受害人经历的痛苦和苦难达到必要的严重性。",
"73. 虽然在刑事调查期间在某些情况下也许必须施行人身和社会隔离，但是在审前拘留期间施行单独监禁的做法造成了事实上的心理压力状况，可能对被拘留者产生影响，使之坦白或作出对别人不利的供述，破坏调查工作的完整性。在审前拘留期间为获取信息或促使坦白而蓄意将单独监禁作为一种手段加以使用的做法构成《禁止酷刑公约》第1条所定义的酷刑或第16条所定义的残忍、不人道或其他有辱人格的待遇或处罚，违反《公民及政治权利国际公约》第7条。",
"74. 当单独监禁的物质条件非常贫乏、制度非常严厉，导致对受刑人造成严重精神和身体痛苦或苦难时，单独监禁的条件就构成了《禁止酷刑公约》第1条和第16条所定义的酷刑或残忍和不人道的待遇，违反了《公民及政治权利国际公约》第7条。",
"75. 只有在特殊情况下才可接受使用单独监禁，其持续时间必须尽可能短，并以适当方式宣布和通报一个确定的期限。鉴于无限期单独监禁的有害影响，有可能在审前拘留期间被用来获取信息或促使坦白，以及不确定性使人们无法采用补救措施对其进行质疑，因此特别报告员判定，无限期施行单独监禁的做法侵犯了有关个人的正当法律程序权(《公民及政治权利国际公约》，第9条)，违反了《禁止酷刑公约》第1条和第16条及《公民及政治权利国际公约》第7条。",
"76. 特别报告员声明，社会隔离的做法违背《公民及政治权利国际公约》第10条第3款；该款规定“监狱制度应包括以争取囚犯改造和社会复员为基本目的的待遇”(大会第2200(XXI)号决议，附件)。长期隔离无助于使被拘留者复员或重新社会化(E/CN.4/2006/6/Add.4,第48段)。长期单独监禁的急性和潜在的心理和生理不利影响构成严重精神痛苦或苦难。特别报告员因此赞同禁止酷刑公约在第20号一般性意见中所采取的立场，即长期单独监禁构成《公民及政治权利国际公约》第7条所禁止的行为，因而构成《禁止酷刑公约》第1条或第16条所定义的行为。出于这些理由，特别报告员重申，他认为，根据有关情况，施行单独监禁超过15天即构成酷刑或残忍、不人道或有辱人格的待遇或处罚。他呼吁国际社会就这样一个标准达到一致意见，并严厉禁止施行连续15天以上的单独监禁。",
"77. 关于青少年，《儿童权利宣言》和《儿童权利公约》序言部分声明，鉴于青少年身心尚未成熟，他们需要特殊的保护和照料，包括法律上的适当保护。《儿童权利公约》(大会第44/25号决议)第19条要求缔约国“采取一切适当的立法、行政、社会和教育措施，保护儿童……不致受到任何形式的身心摧残……”。儿童权利委员会在其第8号一般性意见中表明，“不存在模棱两可的情况：‘任何形式的身心摧残’没有为对儿童任何程度的摧残的合法化提供任何空间”(CRC/C/GC/8，第18段)。1990年12月14日通过的大会题为“联合国保护被剥夺自由少年规则”的第45/113号决议第67段规定，“应严格禁止任何构成残忍、不人道或有辱人格的待遇的惩戒措施，包括……单独监禁或任何其他有害有关少年身心健康的惩罚”(又见CRC/C/GC/10，第89段)。特别报告员因此认为，对青少年施行单独监禁的做法，不管持续时间多寡，都是残忍、不人道或有辱人格的待遇，违反《公民及政治权利国际公约》第7条和《禁止酷刑公约》第16条。",
"78. 《公民及政治权利国际公约》第10条所保障的心智残障人享有的人道及尊重其固有的尊严的权利应根据大会于1991年12月17日通过的“保护精神病患者和改善精神保健的原则”(大会第46/119号决议，附件)加以诠释。鉴于他们智力受损，而单独监禁又往往严重恶化以前已存在的精神状态，特别报告员因此认为，不管持续时间多寡，对心智残障人施行单独监禁的做法是残忍、不人道或有辱人格的待遇，违反《公民及政治权利国际公约》第7条和《禁止酷刑公约》第16条。",
"四. 结论和建议",
"结论",
"79. 特别报告员强调，单独监禁是一种严酷的措施，不管其具体条件如何都可能对人造成严重的心理和生理不利影响。他判断，单独监禁违背监狱制度的一个基本目的，即改造罪犯和帮助他们重新融入社会。特别报告员将长期单独监禁定义为任何持续时间超过15天的单独监禁。",
"80. 根据施行的具体理由、条件、持续时间、影响和其他情况，单独监禁可构成违反《公民及政治权利国际公约》第7条，以及构成《禁止酷刑公约》第1条或第16条所定义的行为。此外，使用单独监禁会增加酷刑和其他残忍、不人道或有辱人格的待遇或处罚在不易被侦测和不受质疑的情况下大行其道的风险。",
"81. 考虑到在审前拘留期间将单独监禁作为一种惩罚手段无限期或长期施行于青少年或心智残障人可能造成的严重精神痛苦或苦难，这种做法可能构成酷刑或残忍、不人道或有辱人格的待遇或处罚。特别报告员认为，只要单独监禁的物质条件和监狱制度未达到尊重人的固有尊严的水平并造成严重精神和身体痛苦或苦难，就构成残忍、不人道或有辱人格的待遇或处罚。",
"建议",
"82. 特别报告员呼吁各国，在维持拘留场所的安全和秩序的同时要尊重和保护被剥夺自由的人的权利。他建议各国定期审查单独监禁制度。在这方面，特别报告员重申，各国应参照《关于使用单独监禁及其影响的伊斯坦布尔声明》，把它作为一个有用的工具，以努力促进尊重和保护被拘留者的权利。",
"83. 特别报告员呼吁各国确保以人道方式对待所有被剥夺自由的人，并尊重受《公民及政治权利国际公约》第10条第1款保护的人的固有尊严。特别报告员提及《囚犯待遇最低限度标准规则》，并建议各国提高被单独监禁的被拘留者有意义的心理社会接触水平。",
"84. 特别报告员敦促各国禁止将单独监禁作为惩罚手段加以施行，不管是作为司法判刑还是纪律处分措施的组成部分。他建议各国拟订和执行替代性纪律制裁措施，以避免使用单独监禁。",
"85. 各国应采取必要步骤，结束在审前拘留期间使用单独监禁的做法。在审前拘留期间将使用单独监禁作为逼供技术的做法应予废除。各国应在审前阶段采取有效措施，改善调查工作的效率，引入替代性控制措施，以分离个人、保护正在进行的调查工作及避免被拘留者串通。",
"86. 各国应取消对青少年和心智残障人使用单独监禁。关于对青少年的纪律处分措施，特别报告员建议各国采取不涉及使用单独监禁的其他措施。关于对心智残障人使用单独监禁的问题，特别报告员强调，在某些情况下，为了他们自身的安全人身隔离也许是必要的，但是仍应严格禁止单独监禁。",
"87. 应取消无限期单独监禁。",
"88. 很明显，短期单独监禁可能构成酷刑或残忍、不人道或有辱人格的待遇或处罚；但是，在其他情况下这种做法可能是合法的手段，条件是必须有足够的保障措施。特别报告员认为，应绝对禁止超过15天的长期单独监禁。",
"89. 特别报告员重申，单独监禁应只在非常特殊的情况下使用，仅作为最后手段，持续时间应尽可能短。他强调，在特殊情况下使用单独监禁时，必须遵循最低程序保障措施。这些保障措施会降低任意或过度使用单独监禁，例如在长期或无限期监禁的情况下。在正当程序保护有限的拘留情况下，例如行政移民拘留，这种保障措施就更为重要了。应以尽可能给被拘留者的权利以最大保护的方式来诠释最低限度程序保障措施。在这方面，特别报告员敦促各国应用下列指导原则和程序保障措施。",
"指导原则",
"90. 在整个拘留期间，单独监禁的物质条件和监狱制度，尤其是监禁的持续时间，必须与单独监禁所针对的犯罪或违纪行为的严重程度相当。",
"91. 必须在限制性较少的措施无法达到预期纪律处分目标的时候才可作为最后手段施行单独监禁的物质条件和监狱制度。",
"92. 绝不可施行或允许继续施行单独监禁，除非能肯定地确定，单独监禁不会造成身体或精神上的严重痛苦或苦难，不会导致产生《禁止酷刑公约》第1条或第16条所定义的行为。",
"93. 必须清楚地记载与施行单独监禁有关的所有评估和决定，并可随时提供给被拘留者和他们的法律顾问。这包括施行单独监禁的当权者的身份和头衔、其施行单独监禁的法律属性的来源、说明施行单独监禁的正当理由的声明、持续时间、说明根据被拘留者的精神和身体健康状况确定单独监禁是合适的理由、说明确定单独监禁对违规行为是相当的理由、有关定期审查单独监禁的理由的报告，以及对被拘留者精神和身体健康的医疗评估。",
"内部保障措施",
"94. 从施行单独监禁之时开始，在对单独监禁进行复核和作出延长或终止单独监禁决定的所有阶段中，都应记录单独监禁的理由和持续时间，并向被拘留者公布。此外，被拘留者应被告知，他们若想免除单独监禁必须做些什么。根据《囚犯待遇最低限度标准规则》第35条，被拘留者必须以其能理解的通俗易懂的语言得到此项信息。此外，这项信息必须提供给被拘留者的任何法定代表人。",
"95. 应有一个记录定期复核施行单独监禁的理由的系统。应以诚意并由一个独立机构进行复核。构成施行单独监禁理由的因素一发生变化就应立即触发对被拘留者的单独监禁的复核。必须记录所有复核流程。",
"96. 必须向被单独监禁者提供真实机会，以通过行政复核程序质疑单独监禁做法的性质及其基本理由。在开始施行单独监禁之时，必须告诉被拘留者他们因被指控犯下何种罪行或违纪行为而被施以单独监禁，并必须立即让他们有机会对其被拘留的理由提出质疑。在施行单独监禁之后，被拘留者必须有机会通过内部或行政投诉系统对监狱管理部门提出投诉。",
"97. 对请求或投诉不应施加任何限制，如请求得到精神或情绪上的受苦和身体上的受苦的证据。监狱官员有义务及时处理所有请求或投诉，并将结果通知被拘留者。所有内部行政结论都必须通过司法程序接受外部上诉。",
"外部保障措施",
"98. 被单独监禁的被拘留者必须得到真实的机会，以通过法院来质疑单独监禁做法的性质及其基本理由。这就要求有权利就监狱主管当局和行政机构的所有最终决定向有权复核单独监禁的性质的合法性及其基本理由的独立司法机构提出上诉。之后，被拘留者必须有机会就这些判决向国家最高权力机关提出上诉；在用尽国内补救措施之后，可寻求由区域或全球性人权机构进行复核。",
"99. 在整个被单独监禁期间，个人都必须能自由接触合格的法律顾问。在需要便利被拘留者与其法律顾问进行完全和开放式沟通时，必须提供获得口译员的机会。",
"100. 根据《囚犯待遇最低限度标准规则》第32条第3款的规定，应有一个记录由合格医务人员在开始施行单独监禁之时和被拘留者在被单独监禁的整个过程中每天对囚犯的身体和精神状态进行定期监测和审查的系统。负责监测被拘留者的医务人员应有心理评估方面的专门培训和/或得到心理学专家的支助。此外，医务人员必须是独立的，并对监狱管理当局以外的主管机构负责。他们最好属于国家的一般卫生结构。囚犯在精神或身体状况方面的任何恶化都应触发一种假设，即监禁的条件是过度的，应立即进行复核。",
"101. 此外，医务人员应根据《囚犯待遇最低限度标准规则》第26条视察囚犯监禁的物质条件。有关考虑因素包括监所和囚犯的卫生和清洁；囚室的暖气、灯光和通风；衣服和被褥是否适当；食物和水的供应是否充分，以及有关身体锻炼的规则的遵守情况。",
"Annex:",
"Effects of solitary confinement",
"^(a) Sharon Shalev, A Sourcebook on Solitary Confinement, Mannheim Centre for Criminology, (2008), pp.15-17; also Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature, crime and justice, vol. 34, (2006), p.441.",
"Many symptoms may present themselves in individuals held in solitary confinement, both concurrent with their solitary confinement and after the period of solitary confinement has terminated. The following list prepared by Dr. Sharon Shalev ^(a) demonstrates a range of possible symptoms.",
"Anxiety, ranging from feelings of tension to full-blown panic attacks",
"• Persistent low level of stress",
"• Irritability or anxiousness",
"• Fear of impending death",
"• Panic attacks",
"Depression, varying from low mood to clinical depression",
"• Emotional flatness/blunting – loss of ability to have any ‘feelings’",
"• Mood swings",
"• Hopelessness",
"• Social withdrawal; loss of initiation of activity or ideas; apathy; lethargy",
"• Major depression",
"Anger, ranging from irritability to full-blown rage",
"• Irritability and hostility",
"• Poor impulse control",
"• Outbursts of physical and verbal violence against others, self and objects",
"• Unprovoked anger, sometimes manifested as rage",
"Cognitive disturbances, ranging from lack of concentration to confused state",
"• Short attention span",
"• Poor concentration",
"• Poor memory",
"• Confused thought processes; disorientation",
"Perceptual distortions, ranging from hypersensitivity to hallucinations",
"• Hypersensitivity to noises and smells",
"• Distortions of sensation (e.g., walls closing in)",
"• Disorientation in time and space",
"• Depersonalization/derealization",
"• Hallucinations affecting all five senses (e.g., hallucinations of objects or people appearing in the cell, or hearing voices when no one is actually speaking)",
"Paranoia and psychosis, ranging from obsessional thoughts to full-blown psychosis",
"• Recurrent and persistent thoughts (ruminations), often of a violent and vengeful character (e.g., directed against prison staff)",
"• Paranoid ideas – often persecutory",
"• Psychotic episodes or states: psychotic depression, schizophrenia",
"Self-harm,self-directed aggression",
"• Self-mutilation and cutting",
"• Suicide attempts",
"[1] Alexandra Naday、Joshua D. Freilich和Jeff Mellow，“The Elusive Data on Supermax Confinement”，The Prison Journal，第88卷，第1期，第69页(2008年)。",
"[2] Peter Scharff Smith，“The effects of solitary confinement on prison inmates: a brief history and review of the literature”，Crime and Justice，第34卷，第441页(2006年)。",
"[3] Jeffrey L. Metzner医生和Jamie Fellner,“Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”，The Journal of the American Academy of Psychiatry and the Law,第38卷，第104至第108页(2010年)。",
"[4] Sharon Shalev, Sourcebook on Solitary Confinement,Mannheim Centre for Criminology, 2008年，第1页。",
"[5] Ken Strutin,“Solitary Confinement”，LLRX.com,2010年8月10日出版。",
"[6] Haney,“Mental Health Issues in Long-Term Solitary and‘Supermax’Confinement, Crime and Delinquency”第49卷，第1期，第124至第156页。",
"[7] 人权事务委员会(《公民及政治权利国际公约》)第20号一般性意见(A/47/40，附件六A)，第7条(禁止酷刑或其他残忍、不人道或有辱人格的待遇或处罚)，1992年3月10日。",
"[8] Iorgov诉保加利亚，第40653/98号申请，欧洲人权法院，第84段(2004年)；G.B.诉保加利亚，第42346/98号申请，欧洲法院，第85段(2004年)。",
"[9] A.B.诉俄罗斯，第1439/06号申请，欧洲人权法院，第108段(2010年)。",
"[10] Palushi诉奥地利，第27900/04号申请，欧洲人权法院，第72和第73段(2009年)。",
"[11] A.B.诉俄罗斯，第111段。",
"[12] Onoufriou诉塞浦路斯，第24407/04号申请，欧洲人权法院，第80段(2010年)。",
"[13] Ocalan诉土耳其，第46221/99号申请，欧洲人权法院，第196段(2005年)。",
"[14] Rohde诉丹麦，第69332/01号申请，欧洲人权法院，第97段(2005年)。",
"[15] Ramirez Sanchez诉法国，第59450/00号申请，欧洲人权法院，第105、第106和第135段(2006年)。",
"[16] 同上，第145段。",
"[17] Velázquez-Rodríguez诉洪都拉斯，美洲人权法院，C系列第4号，第156段(1988年)。",
"[18] Loayza-Tamayo诉秘鲁，美洲人权法院，C系列第33号，第58段(1997年)。",
"[19] Cantoral-Benavides诉秘鲁，美洲人权法院，C系列第69号，第62和第104段(2000年)。",
"[20] Suárez-Rosero诉厄瓜多尔，美洲人权法院，C系列第35号，第51至第56段(1997年)。",
"[21] 《墨西哥人权状况报告》，美洲人权委员会，OEA/Ser.L/V/II.100,第254段(2008年)。",
"[22] halev，同前，第25段。",
"[23] Shalev，同前，第25和第26段。",
"[24] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，Journal on Rehabilitation of Torture Victims and Prevention of Torture，第18卷，第56页(2008年)。",
"[25] Shalev，同前，第26页。",
"[26] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，第41段。",
"[27] Ramirez Sanchez诉法国，第59450/00申请，欧洲人权法院，第102段(2006年)。",
"[28] Solitary Confinement of Prisoners and Detainees in Israeli Prisons, Joint Project of Adalah, Al Mezan(Gaza)and Physicians for Human Rights(2011年6月，以色列)。",
"[29] Shalev，同前，第42段。",
"[30] 欧洲委员会防止酷刑委员会，向希腊政府提交的关于欧洲防止酷刑和不人道或有辱人格的待遇或处罚委员会访问希腊的报告，2006年12月20日(CPT/Inf(2006))，第41段。",
"[31] 欧洲委员会，“防止酷刑委员会标准”(CPT/Inf/E (2002) 1 - Rev. 2010)，第二节，第48段。",
"[32] Poltrotsky诉乌克兰,第146页(ECHR 2003-V)。",
"[33] Peter Scharff Smith,“The Effects of Solitary Confinement on Prison Inmates”，Crime and Justice(2006年),第34卷，第449页。",
"[34] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，Journal of Law and Policy(2006年),第22卷，第325页。",
"[35] Ilaşcu等人诉摩尔多瓦和俄罗斯，第48787/99号申请，欧洲人权法院(2004年)，第432段。",
"[36] Mathew诉荷兰，第24919/03号申请，第202段。",
"[37] G.B.诉保加利亚，第85段。",
"[38] Valasinas诉立陶宛，第44558/98号申请，欧洲人权法院(2001年)，第112页；Ocalan诉土耳其，第193段。",
"[39] Rohde诉丹麦，第97段。",
"[40] Peter Scharff Smith,“Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”，第1页。",
"[41] Shalev，同前，第2页。",
"[42] A.B.诉俄罗斯，第1439/06号申请，欧洲人权法院(2010年)，第135段。",
"[43] “USA：The Cruel and Inhumane Treatment of Albert Woodfox and Herman Wallace”，大赦国际(2001年)。",
"[44] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”(1993年)，第1页。",
"[45] 同上，第8页。",
"[46] 同上，第2页。",
"[47] 同上，第20页。",
"[48] Shalev，同前，第13和第22页。",
"[49] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，第332和第333页。",
"[50] 《儿童权利公约》，第37(c)条；《联合国囚犯待遇最低限度标准规则》，第8(d)条。",
"[51] Robert Wildeboer,“The Impact of Solitary Confinement in a Youth Prison”，Inside and Out,(2010年，芝加哥)。",
"[52] Shalev，同前，第26页。",
"[53] Stuart Grassian,“Psychiatric Effects of Solitary Confinement”，Shalev，同前，第10页。",
"[54] 美国公民自由联盟，“Abuse of the Human Rights of Prisoners in the United States:Solitary Confinement”(2011年)。",
"[55] Jeffrey L.Metyner医生和Jamie Fellner, Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics, The Journal of the American Academy of Psychiatry and the Law, 第38卷，第104至第108页，2010年。",
"[56] Heartland Alliance National Immigrant Justice Center,2011年6月16日给酷刑问题特别报告员的信。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Torture and other cruel, inhuman or degrading treatment or punishment",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the interim report prepared by the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment, Juan E. Méndez, in accordance with General Assembly resolution 65/205.",
"Interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment",
"Summary",
"In the present report, submitted pursuant to General Assembly resolution 65/205, the Special Rapporteur addresses issues of special concern and recent developments in the context of his mandate.",
"The Special Rapporteur draws the attention of the General Assembly to his assessment that solitary confinement is practised in a majority of States. He finds that where the physical conditions and the prison regime of solitary confinement cause severe mental and physical pain or suffering, when used as a punishment, during pre-trial detention, indefinitely, prolonged, on juveniles or persons with mental disabilities, it can amount to cruel, inhuman or degrading treatment or punishment and even torture. In addition, the use of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will go undetected and unchallenged.",
"The report highlights a number of general principles to help to guide States to re-evaluate and minimize its use and, in certain cases, abolish the practice of solitary confinement. The practice should be used only in very exceptional circumstances, as a last resort, for as short a time as possible. He further emphasizes the need for minimum procedural safeguards, internal and external, to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person.",
"Contents",
"Page\nI.Introduction 4II. Activities 4 related to the \nmandate III.Solitary 7 \nconfinement A.Overview 7 of work undertaken by the \nmandate B.History 7 and current practice of solitary \nconfinement \nC.Definition 8D. Legal 9 \nframework E.States’ 12 rationale for the use of solitary \nconfinement F.Conditions 14 of solitary \nconfinement G. Prolonged 16 or indefinite solitary \nconfinement H. Psychological 17 and physiological effects of solitary \nconfinement I.Latent 18 effects of solitary \nconfinement J.Vulnerable 18 \nindividuals K.When 19 solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or \npunishment IV.Conclusions 21 and \nrecommendations \nAnnex Effectsof 26 solitary \nconfinement",
"I. Introduction",
"1. The present report, submitted pursuant to paragraph 39 of General Assembly resolution 65/205, is the thirteenth submitted to the General Assembly by the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment. It is the first report submitted by the present mandate holder.",
"2. The Special Rapporteur wishes to draw attention to his report to the Human Rights Council (A/HRC/16/52), in which he outlined his vision, working methods and priorities for his tenure as Special Rapporteur.",
"II. Activities related to the mandate",
"3. Below is a summary of the activities carried out by the Special Rapporteur pursuant to the mandate since the submission of his report to the Human Rights Council (A/HRC/16/52 and Add.1-6).",
"Communications concerning human rights violations",
"4. During the period from 1 December 2010 to 1 July 2011, he sent 20 letters of allegations of torture to 18 Governments, and 95 urgent appeals on behalf of persons who might be at risk of torture or other forms of ill-treatment to 48 Governments. In the same period 82 responses were received.",
"Country visits",
"5. With respect to fact-finding missions, an anticipated country visit to Kyrgyzstan for May 2011 was postponed, at the request of the Government, owing to ongoing political developments. By letter dated 28 July 2011, the Government of the Kyrgyz Republic proposed a country visit for the second half of August 2011. The Special Rapporteur welcomes this invitation; however, because of the short notice, he is discussing potential dates with the Government at the time of submitting the present report. He has accepted an invitation from the Government of Iraq to visit the country in October 2011. He has also been invited to visit Bahrain and is discussing dates with the Government. In addition to the pending country visit requests (see A/HRC/16/52, para. 6) the Special Rapporteur has requested a visit to Morocco with respect to Western Sahara.",
"6. The Special Rapporteur conducted a visit to Tunisia from 15 to 22 May 2011. He shared his preliminary findings with the interim Government and issued a press statement on 22 May expressing his appreciation to the Government for the full cooperation extended to him. He noted that the Government had undertaken a series of positive steps towards ensuring accountability and long-term reforms. However, he is of the view that a “wait and see attitude” in anticipation of the Constituent Assembly election may be hampering the possibility of delivering bold and aggressive steps in restoring justice for past and recent abuses. The Special Rapporteur stressed that swift, effective and independent criminal investigations against alleged perpetrators of torture and ill-treatment should be ensured and administrative programmes should be launched offering redress and reparation services to victims of past and recent violations. The report of the mission to Tunisia will be presented to the Human Rights Council at its nineteenth session in March 2012.",
"Key press statements",
"7. The Special Rapporteur issued the following press statements (many were joint statements with other mandate holders):",
"• On 31 December 2010 — expressing serious concern that enforced or involuntary disappearances, arbitrary detentions, extrajudicial, summary or arbitrary executions, and acts of sexual violence may have occurred or may still be occurring in Côte d’Ivoire in relation to the presidential elections.",
"• On 14 January 2011 — urging the Government of Tunisia to control the use of force against peaceful demonstrations, after at least 21 deaths were officially confirmed.",
"• On 3 February 2011 — on public unrest in Belarus, Egypt and Tunisia and the alleged infliction of torture or cruel, inhuman or degrading treatment in connection with suppression of peaceful demonstrations.",
"• On 17 February — urging the transitional Government in Egypt to establish an independent inquiry to investigate human rights violations during the revolution in that country, with the powers to transmit names and evidence for prosecution to the relevant authorities.",
"• On 18 February — urging the Governments of Bahrain and the Libyan Arab Jamahiriya to guarantee the right to peaceful protest and immediately cease the use of excessive and lethal force.",
"• On 22 February — on the situation of human rights defenders expressing serious concerns about gross violations of human rights that were being committed in the Libyan Arab Jamahiriya.",
"• On 3 March 2011 — condemning the violent crackdown on protesters in Yemen, and urging the Government to stop the excessive use of force as a means to end ongoing protests.",
"• On 22 March — expressing concerns about increased incidents of serious human rights violations in the capital of Bahrain.",
"• On 1 April 2011 — expressing concerns about serious human rights violations in Côte d’Ivoire, including enforced disappearances, extrajudicial killings, killing and maiming of children, and sexual violence which may amount to international crimes, and expressed the full support of the Special Rapporteur and other mandate holders for Security Council resolution 1975 (2011).",
"• On 11 April and 12 July — expressing frustration that despite his repeated requests to visit Private First Class Bradley E. Manning, the Government of the United States of America has not granted him unmonitored access to the detainee. The question of unfettered access goes beyond this case and touches on whether the Special Rapporteur would be able to conduct private and unmonitored interviews with detainees if he were to conduct a country visit to the United States.",
"• On 15 April — denouncing the rising death toll and brutal crackdown on peaceful protesters, journalists and human rights defenders in the Syrian Arab Republic despite the Government’s promises of reforms and consultations to end the 48-year-old emergency rule.",
"• On 1 July 2011 — urging the Government of the United States to stop the scheduled execution of Humberto Leal García in Texas.",
"Highlights of key presentations/consultations/training courses",
"8. From 8 to 9 February 2011, the Special Rapporteur participated in a meeting sponsored by Amnesty International in London to discuss “Developing International Best Practice for Inquiries and Investigations into Torture”. He also spoke at the All Party Parliamentary Group on Extraordinary Rendition.",
"9. On 22 February, he delivered a statement to the American Academy of Forensic Sciences at its 63rd annual meeting on “International framework and mechanisms for documenting conditions of detention, torture and ill-treatment”.",
"10. On 28 February, he met with high-ranking officials from the Department of State and the Department of Defense of the United States of America in Washington, D.C., and again with the Department of Defense on 22 April to discuss issues of mutual concern.",
"11. From 6 to 10 March 2011, the Special Rapporteur was in Geneva for the sixteenth session of the Human Rights Council and met with the Ambassadors of Iraq, Kyrgyzstan, Mexico, Thailand and the United States. He also met with all the Human Rights Council regional groups except for the Africa Group, which unfortunately could not be scheduled.",
"12. On 16 and 17 March, in Washington, D.C., he participated in a meeting with the Chair of the Committee against Torture, the Vice-Chair of the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Rapporteur on the Rights of Persons Deprived of Liberty of the Inter-American Commission on Human Rights, a representative of the European Committee for the Prevention of Torture and the Special Rapporteur on Detained Persons of the African Commission on Human and Peoples’ Rights. The meeting was organized jointly by the Washington College of Law of American University and the Association for the Prevention of Torture to discuss ways to strengthen the working relations of those mechanisms.",
"13. From 18 to 20 March, the Special Rapporteur made two presentations to the annual General Meeting and the fiftieth anniversary commemoration of the United States Section of Amnesty International in San Francisco.",
"14. On 1 June 2011, he was the keynote speaker at an event in Washington, D.C., organized by several faith-based groups and entitled “Accountability Today: Preventing Torture Tomorrow”.",
"15. From 15 to 17 June, the Special Rapporteur chaired, with the support of the Government of the Netherlands, a regional consultation on torture for the Americas in Santiago, Chile. The regional consultation was organized in partnership with the Association for the Prevention of Torture, the Centro de Estudios Legales y Sociales, Corporación Humanas — Centro Regional de Derechos Humanos y Justicia de Género and Conectas Direitos Humanos, and was an opportunity for governments, national institutions and organizations of civil society from 12 countries to discuss follow-up to recommendations of country visits and to strengthen local and regional protection mechanisms against torture and ill-treatment.",
"16. On 20 June, he met with the Director General for Foreign Policy, Ministry of Foreign Affairs of Chile, in Santiago.",
"17. From 27 June to 1 July, the Special Rapporteur participated in the eighteenth annual meeting of Special Rapporteurs in Geneva. He also met with representatives of the Governments of Iraq, Kyrgyzstan, the Netherlands, the Russian Federation, Tunisia and the United States of America.",
"18. On 7 July 2011, he met in Brasilia with the Minister for Human Rights in the Government of Brazil.",
"III. Solitary confinement",
"A. Overview of work undertaken by the mandate",
"19. In his first report as Special Rapporteur (A/HRC/16/52, para. 70), he recognized that “the question as to whether ... prolonged solitary confinement” constituted “per se cruel, inhuman or degrading treatment or punishment has given rise to much debate and discussion in the Human Rights Council”, and believed that “the international community as a whole would greatly benefit from a dispassionate and rational discussion of the issues”.",
"20. The Special Rapporteur has received complaints that solitary confinement is used in some countries in the context of administrative detention for national security or as a method to fight organized crime, as well as in immigration detention. He undertook this study because he found the practice of solitary confinement to be global in nature and subject to widespread abuse. In particular, the social isolation and sensory deprivation that is imposed by some States does, in some circumstances, amount to cruel, inhuman and degrading treatment and even torture.",
"21. The Special Rapporteur’s predecessors have noted that prolonged solitary confinement may itself amount to prohibited ill-treatment or torture (E/CN.4/1999/61, para. 394, and E/CN.4/2003/68, para. 26 (m)).",
"22. The Istanbul Statement on the Use and Effects of Solitary Confinement was annexed to the former Special Rapporteur’s 2008 interim report to the General Assembly (A/63/175, annex). The report concluded that “prolonged isolation of detainees may amount to cruel, inhuman or degrading treatment or punishment and, in certain instances, may amount to torture. ... [T]he use of solitary confinement should be kept to a minimum, used in very exceptional cases, for as short a time as possible, and only as a last resort. Regardless of the specific circumstances of its use, effort is required to raise the level of social contacts for prisoners: prisoner-prison staff contact, allowing access to social activities with other prisoners, allowing more visits and providing access to mental health services” (A/63/175, paras. 77 and 83).",
"B. History and current practice of solitary confinement",
"23. The history of the use of solitary confinement on detainees has been well documented. The practice can be traced to the 1820s in the United States of America, where it was believed that isolation of prisoners would aid in their rehabilitation. Under this model prisoners spent their entire day alone, mostly within the confines of their cells, including for work, in order to reflect on their transgressions away from negative external influences. Beginning in the 1830s, European and South American countries adopted this practice (A/63/175, para. 81). It must be recognized that 200 years ago this model was a socially and morally progressive way to deal with punishment, as it emphasized rehabilitation and attempted to substitute for the death penalty, limb amputations and other penalties then prevalent.",
"24. States around the world continue to use solitary confinement extensively (see A/63/175, para. 78). In some countries, the use of Super Maximum Security Prisons to impose solitary confinement as a normal, rather than an “exceptional”, practice for inmates is considered problematic. In the United States, for example, it is estimated that between 20,000 and 25,000 individuals are being held in isolation.[1] Another example is the extensive use of solitary confinement in relation to pretrial detention, which for many years has been an integral part of the Scandinavian prison practice.[2] Some form of isolation from the general prison population is used almost everywhere as punishment for breaches of prison discipline. Many States now use solitary confinement more routinely and for longer durations. For example, in Brazil, Law 10792 of 2003, amending the existing “Law of Penal Execution”, contemplates a “differentiated” disciplinary regime in an individual cell for up to 360 days, without prejudice to extensions of similar length for new offences and up to one sixth of the prison term. In 2010, the Province of Buenos Aires in Argentina instituted a Programme of Prevention of Violent Behaviour in its prisons which consists of isolation for a minimum of nine months (the initial three months in full isolation), a term that — according to prison monitors — is frequently extended.",
"C. Definition",
"25. There is no universally agreed upon definition of solitary confinement. The Istanbul Statement on the Use and Effects of Solitary Confinement defines solitary confinement as the physical isolation of individuals who are confined to their cells for 22 to 24 hours a day. In many jurisdictions, prisoners held in solitary confinement are allowed out of their cells for one hour of solitary exercise a day. Meaningful contact with other people is typically reduced to a minimum. The reduction in stimuli is not only quantitative but also qualitative. The available stimuli and the occasional social contacts are seldom freely chosen, generally monotonous, and often not empathetic.",
"26. Solitary confinement is also known as “segregation”, “isolation”,[3] “separation”, “cellular”,[4] “lockdown”, “Supermax”, “the hole” or “Secure Housing Unit (SHU)”,[5] but all these terms can involve different factors. For the purposes of this report, the Special Rapporteur defines solitary confinement as the physical and social isolation of individuals who are confined to their cells for 22 to 24 hours a day. Of particular concern to the Special Rapporteur is prolonged solitary confinement, which he defines as any period of solitary confinement in excess of 15 days. He is aware of the arbitrary nature of the effort to establish a moment in time which an already harmful regime becomes prolonged and therefore unacceptably painful. He concludes that 15 days is the limit between “solitary confinement” and “prolonged solitary confinement” because at that point, according to the literature surveyed, some of the harmful psychological effects of isolation can become irreversible.[6]",
"D. Legal framework",
"27. International and regional human rights bodies have taken different approaches to address the underlying conditions of social and physical isolation of detainees, and whether such practices constitute torture or cruel, inhuman or degrading treatment or punishment. For example, while the European Court of Human Rights has confronted solitary confinement regimes with regularity, the United Nations Human Rights Committee and the Inter-American Court of Human Rights have most extensively addressed the related phenomenon of incommunicado detention. For the purposes of this report, the Special Rapporteur will highlight the work of universal and regional human rights bodies on solitary confinement only.",
"1. International level",
"General Assembly",
"28. In 1990, the General Assembly adopted resolution 45/111, the Basic Principles for the Treatment of Prisoners. Principle 7 states that efforts to abolish solitary confinement as a punishment, or to restrict its use, should be undertaken and encouraged.",
"29. In the same year, the General Assembly adopted resolution 45/113, the United Nations Rules for the Protection of Juveniles Deprived of their Liberty. In paragraph 67 the Assembly asserted that “All disciplinary measures constituting cruel, inhuman or degrading treatment shall be strictly prohibited, including ... solitary confinement or any other punishment that may compromise the physical or mental health of the juvenile concerned”.",
"United Nations treaty bodies",
"30. The Human Rights Committee, in paragraph 6 of its General Comment No. 20, noted that prolonged solitary confinement of the detained or imprisoned person might amount to acts prohibited by article 7 of the International Covenant on Civil and Political Rights.[7] In its concluding observations on Rwanda, the Human Rights Committee recommended that “The State party should put an end to the sentence of solitary confinement ...” (CCPR/C/RWA/CO/3, para. 14).",
"31. The Committee against Torture has recognized the harmful physical and mental effects of prolonged solitary confinement and has expressed concern about its use, including as a preventive measure during pretrial detention, as well as a disciplinary measure. The Committee has recommended that the use of solitary confinement be abolished, particularly during pretrial detention, or at least that it should be strictly and specifically regulated by law (maximum duration, etc.) and exercised under judicial supervision, and used only in exceptional circumstances, such as when the safety of persons or property is involved (A/63/175, para. 80). The Committee has recommended that persons under the age of 18 should not be subjected to solitary confinement (CAT/C/MAC/CO/4, para. 8).",
"32. The Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment has pointed out that prolonged solitary confinement may amount to an act of torture and other cruel, inhuman or degrading treatment or punishment and recommended that solitary confinement should not be used in the case of minors or the mentally disabled (CAT/OP/PRY/1, para. 185). The Subcommittee has also recommended that a medical officer should visit prisoners held in solitary confinement every day, on the understanding that such visits should be in the interests of the prisoners’ health. Furthermore, prisoners held in solitary confinement for more than 12 hours should have access to fresh air for at least one hour each day (CAT/OP/PRY/1, para. 184). In view of the condition of solitary confinement, the Subcommittee has pointed out that beds and proper mattresses should be made available to all inmates, including prisoners held in solitary confinement (CAT/OP/HND/1, para. 227 (a), and CAT/OP/PRY/1, para. 280).",
"33. The Committee on the Rights of the Child, in its General Comment No. 10 (2007), emphasized that “disciplinary measures in violation of article 37 [of the Convention on the Rights of the Child] must be strictly forbidden, including ... closed or solitary confinement, or any other punishment that may compromise the physical or mental health or well-being of the child concerned” (CRC/C/GC/10, para. 89). Moreover, the Committee has urged States parties to prohibit and abolish the use of solitary confinement against children (CRC/C/15/Add.151, para. 41; CRC/C/15/Add.220, para. 45 (d); and CRC/C/15/Add.232, para. 36 (a)).",
"2. Regional level",
"European Court of Human Rights",
"34. In its evaluation of cases of solitary confinement, the European Court of Human Rights considers the rationale given by the State for the imposition of social and physical isolation. The Court has found violations of article 3 of the European Convention on Human Rights where States do not provide a security-based justification for the use of solitary confinement.[8] In circumstances of prolonged solitary confinement, the Court has held that the justification for solitary confinement must be explained to the individual and the justification must be “increasingly detailed and compelling” as time goes on.[9]",
"35. Through its jurisprudence, the European Court of Human Rights emphasizes that certain procedural safeguards must be in place during the imposition of solitary confinement, for example, monitoring a prisoner’s physical well-being,⁹ particularly where the individual is not in good health[10] and having access to judicial review.[11]",
"36. The level of isolation imposed on an individual is essential to the European Court of Human Rights’ assessment of whether instances of physical and mental isolation constitute torture or cruel, inhuman or degrading treatment or punishment. A prolonged absolute prohibition of visits from individuals from outside the prison causes suffering “clearly exceeding the unavoidable level inherent in detention”.[12] However, where the individual can receive visitors and write letters,[13] have access to television, books and newspapers and regular contact with prison staff[14] or visit with clergy or lawyers on a regular basis,[15] isolation is “partial”, and the minimum threshold of severity — which the European Court of Human Rights considers necessary to find a violation of article 3 of the European Convention on Human Rights — is not met. Nevertheless, the Court has emphasized that solitary confinement, even where the isolation is only partial, cannot be imposed on a prisoner indefinitely.[16]",
"Inter-American System on Human Rights",
"37. The jurisprudence on solitary confinement within the Inter-American System on Human Rights is more conclusive than within the bodies discussed above. Since its earliest judgments, the Inter-American Court of Human Rights has found that certain elements of a prison regime and certain physical prison conditions in themselves constitute cruel and inhuman treatment, and therefore violate article 5 of the American Convention on Human Rights, which recognizes the right to the integrity of the person. For example, the Court held that “prolonged isolation and deprivation of communication are in themselves cruel and inhuman treatment, harmful to the psychological and moral integrity of the person and a violation of the right of any detainee to respect for his inherent dignity as a human being”.[17] The Court has additionally addressed physical conditions of detention, asserting that “isolation in a small cell, without ventilation or natural light, ... [and] restriction of visiting rights ..., constitute forms of cruel, inhuman and degrading treatment”.[18]",
"38. The Court has additionally recognized that solitary confinement results in psychological and physical suffering that may contribute to treatment that constitutes torture. In at least one case, the Court has identified the physical conditions of solitary confinement, including “a small cell with no ventilation or natural light”, and a prison regime where a detained individual “is held for 23 and a half hours a day ..., [and] permitted to see his relatives only once a month, but could have no physical contact with them”, when coupled with other forms of physical and psychological aggression, in sum may constitute physical and psychological torture.[19]",
"39. In its analysis of solitary confinement, the Court has noted that even when used in exceptional circumstances, procedural safeguards must be in place. For example, “the State is obliged to ensure that the detainee enjoys the minimum and non-derogable guarantees established in the [American] Convention and, specifically, the right to question the lawfulness of the detention and the guarantee of access to effective defense during his incarceration”.[20] Similarly, the Inter‑American Commission on Human Rights has consistently held that all forms of disciplinary action taken against detained persons must comport with the norms of due process and provide opportunity for judicial review.[21]",
"E. States’ rationale for the use of solitary confinement",
"40. The justifications provided by States for the use of solitary confinement fall into five general categories:",
"(a) To punish an individual (as part of the judicially imposed sentence or as part of a disciplinary regime);",
"(b) To protect vulnerable individuals;",
"(c) To facilitate prison management of certain individuals;",
"(d) To protect or promote national security;",
"(e) To facilitate pre-charge or pretrial investigations.",
"41. The imposition of solitary confinement as a part of an individual’s judicially imposed sentence often arises in circumstances of particularly egregious crimes or crimes against the State.[22] For instance, in some central European States, individuals convicted and sentenced to capital punishment and to life imprisonment serve their time in solitary confinement (A/64/215, para. 53). In other States, such as in Mongolia, death sentences may be commuted to life sentences spent in solitary confinement (E/CN.4/2006/6/Add.4, para. 47). The use of solitary confinement as a disciplinary measure within prisons is also well documented and is likely the most pervasive rationale for the use of solitary confinement as a form of punishment.²² Disciplinary measures usually involve the violation of a prison rule. For instance, in Nigeria detainees are punished with solitary confinement of up to three days for disciplinary offences (A/HRC/7/3/Add.4, appendix I, para. 113). Similarly, in the Abepura Prison in Indonesia, solitary confinement for up to eight days is used as a disciplinary measure for persons who violate prison rules (A/HRC/7/3/Add.7, appendix I, para. 37).",
"42. Solitary confinement is also used to separate vulnerable individuals, including juveniles, persons with disabilities, and lesbian, gay, bisexual and transgender persons, for their own protection. They may be placed in solitary confinement at their own request or at the discretion of prison officials.[23]",
"43. State officials also use solitary confinement as a tool to manage certain prison populations. Individuals determined to be dangerous, such as gang members, or at high risk of escape may be placed in solitary confinement.²³ Similarly, individuals determined to be at risk of injury, such as sex offenders, informants, and former correctional or law enforcement officers, are often allowed, or encouraged, to choose voluntary solitary confinement in order to protect themselves from fellow inmates.[24] Prisoners may also be placed in some form of solitary confinement in the interests of prison management before, during or after transportation to and from cells and detention facilities.[25] While the duration of solitary confinement when used as a management tool may vary considerably, it is notable that the motivation for its imposition is pragmatic rather than punitive.",
"44. Individuals determined to be terrorist suspects or national security risks are often subjected to solitary confinement as well. For instance, in Equatorial Guinea a section of the Black Beach Prison consisting of single cells is used for solitary confinement of high security prisoners (A/HRC/13/39/Add.4, appendix I). Solitary confinement can be also used as a coercive interrogation technique, and is often an integral part of enforced disappearance or incommunicado detention (A/63/175, annex). As noted within category (a) in paragraph 40 above, national security also serves as a primary reason for the imposition of solitary confinement as a result of a judicial sentence. For example, in China an individual sentenced for “unlawfully supplying State secrets or intelligence to entities outside China” was allegedly held in solitary confinement for two years of her eight-year sentence (E/CN.4/2006/6/ Add.6, appendix 2, para. 26).",
"45. States also use solitary confinement to isolate individuals during pre-charge or pretrial detention. In some States, such as Denmark, holding individuals in solitary confinement is a regular feature of pretrial detention (A/63/175, para. 78 (i)). The purposes for the use of solitary confinement in pre-charge and pretrial detention vary widely, and include preventing the intermingling of detainees to avoid demoralization and collusion, and to apply pressure on detainees to elicit cooperation or extract a confession.[26]",
"F. Conditions of solitary confinement",
"46. The administration of prisons and the conditions in which prisoners are held is governed by prison regulations and national laws, as well as by international human rights law. Fundamental norms that are binding by virtue of being treaty-based or part of customary international law are supplemented and interpreted through the United Nations Standard Minimum Rules for the Treatment of Prisoners, adopted by the Economic and Social Council in 1957. Although not directly binding, the Standard Minimum Rules are widely accepted as the universal norm for the humane treatment of prisoners.",
"47. The particular conditions in which detainees are held in solitary confinement vary between institutions and jurisdictions. Most, however, have a number of physical and non-physical conditions (or a prison regime) in common.",
"1. Physical conditions",
"48. The principal physical conditions relevant to solitary confinement are cell size, presence of windows and light, and access to sanitary fixtures for personal hygiene. In practice, solitary confinement cells typically share some common features, including: location in a separate or remote part of the prison; small, or partially covered windows; sealed air quality; stark appearance and dull colours; toughened cardboard or other tamperproof furniture bolted to the floor; and small and barren exercise cages or yards (E/CN.4/2006/6/Add.3, para. 47). In some jurisdictions, prisoners in solitary confinement are held in leg irons and subjected to other physical restraints (A/HRC/13/39/Add.4, para. 76 (f)).",
"49. There is no universal instrument that specifies a minimum acceptable cell size, although domestic and regional jurisdictions have sometimes ruled on the matter. According to the European Court of Human Rights in Ramírez Sanchez v. France, a cell measuring 6.84 square metres is “large enough” for single occupancy.[27] The Court did not elaborate on why such measures could be considered adequate; the Special Rapporteur respectfully begs to differ, especially if the single cell should also contain, at a minimum, toilet and washing facilities, bedding and a desk.",
"50. The presence of windows and light is also of critical importance to the adequate treatment of detainees in solitary confinement. Under rule 11 of the Standard Minimum Rules for the Treatment of Prisoners, there should be sufficient light to enable the detainee to work or read, and windows so constructed as to allow airflow whether or not artificial ventilation is provided. However, State practice reveals that this standard is often not met. For example, in Georgia, window-openings in solitary confinement cells were found to have steel sheets welded to the outside bars, which restricted light and ventilation (E/CN.4/2006/6/Add.3, para. 47). In Israel, solitary confinement cells are often lit with fluorescent bulbs as their only source of light, and they have no source of fresh air.[28]",
"51. Rules 12 and 13 of the Standard Minimum Rules stipulate that detention facilities should provide sufficient sanitary fixtures to allow for the personal hygiene of the detainee. Therefore, cells used for solitary confinement should contain a lavatory and wash-basin within the cell.[29] In its 2006 report on Greece, the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment observed that isolation cells in the Komotini Prison failed to meet the necessary minimum standard for sanitary fixtures because detainees were forced to use the toilet for a wash-basin as well.[30] Other environmental factors, such as temperature, noise level, privacy, and soft materials for cell furnishings may also be implicated in the solitary confinement setting.",
"2. Prison regime",
"52. The principal aspects of a prison regime relevant to an assessment of the conditions of solitary confinement include access to outdoor exercise and programming, access to meaningful human contact within the prison, and contact with the outside world. In accordance with rule 21 of the Standard Minimum Rules for the Treatment of Prisoners, every prisoner who is not employed in outdoor work shall have at least one hour of suitable exercise in the open air daily if the weather permits. Similarly, the European Committee for the Prevention of Torture emphasizes that all prisoners without exception should be afforded the opportunity to have one hour of open-air exercise per day.[31] However, State practice indicates that these standards are not always observed. In Jordan, for example, a detainee was allowed outside of his solitary confinement cell for only one hour per week (A/HRC/4/33/Add.3, appendix, para. 21). In Poltrotsky v. Ukraine, the European Court of Human Rights found that a lack of opportunity for outdoor exercise, coupled with a lack of access to natural light, constitutes a violation of article 3 of the European Convention on Human Rights.[32]",
"53. Access to meaningful human contact within the prison and contact with the outside world are also essential to the psychological health of detainees held in solitary confinement, especially those held for prolonged periods of time. Within prisons this contact could be with health professionals, prison guards or other prisoners. Contact with the outside world could include visits, mail, and phone calls from legal counsel, family and friends, and access to reading material, television or radio. Article 17 of the International Covenant on Civil and Political Rights grants prisoners the right to family and correspondence. Additionally, the Standard Minimum Rules for the Treatment of Prisoners provide for various external stimuli (articles 21 on exercise and sport; 37-39 on contact with the outside world; 40 on books; 41 and 42 on religion; 71-76 on work; 77 and 78 on education and recreation; and 79-81 on social relations and after-care).",
"3. Social isolation",
"54. Solitary confinement reduces meaningful social contact to an absolute minimum. The level of social stimulus that results is insufficient for the individual to remain in a reasonable state of mental health.[33]",
"55. Research shows that deprived of a sufficient level of social stimulation, individuals soon become incapable of maintaining an adequate state of alertness and attention to their environment. Indeed, even a few days of solitary confinement will shift an individual’s brain activity towards an abnormal pattern characteristic of stupor and delirium.[34] Advancements in new technologies have made it possible to achieve indirect supervision and keep individuals under close surveillance with almost no human interaction. The European Court of Human Rights has recognized that “complete sensory isolation, coupled with total social isolation, can destroy the personality and constitutes a form of inhuman treatment which cannot be justified by the requirements of security or any other reason”.[35]",
"56. According to the European Court of Human Rights, States should also take steps to reduce the negative impact of solitary confinement.[36] Where the damaging effects of solitary confinement on a particular individual are known, the regime cannot continue.[37] The conditions of confinement are relevant in this respect, because where conditions are beyond reproach, the Court considers it unlikely that the minimum threshold of severity to find a violation of article 3 will be reached.[38] Routine examination by doctors can be a factor in determining that there was no violation of article 3.[39]",
"G. Prolonged or indefinite solitary confinement",
"57. The use of prolonged or indefinite solitary confinement has increased in various jurisdictions, especially in the context of the “war on terror” and “a threat to national security”. Individuals subjected to either of these practices are in a sense in a prison within a prison and thus suffer an extreme form of anxiety and exclusion, which clearly supersede normal imprisonment. Owing to their isolation, prisoners held in prolonged or indefinite solitary confinement can easily slip out of sight of justice, and safeguarding their rights is therefore often difficult, even in States where there is a strong adherence to rule of law.[40]",
"58. When a State fails to uphold the Standard Minimum Rules for the Treatment of Prisoners during a short period of time of solitary confinement, there may be some debate on whether the adverse effects amount to cruel, inhuman or degrading treatment or punishment or torture. However, the longer the duration of solitary confinement or the greater the uncertainty regarding the length of time, the greater the risk of serious and irreparable harm to the inmate that may constitute cruel, inhuman or degrading treatment or punishment or even torture.",
"59. The feeling of uncertainty when not informed of the length of solitary confinement exacerbates the pain and suffering of the individuals who are subjected to it. In some instances, individuals may be held indefinitely during pretrial detention, increasing the risk of other forms of cruel, inhuman or degrading treatment or punishment or torture (CAT/C/DNK/CO/5, para. 14).",
"60. Most studies fail to specify the length of time after which solitary confinement becomes prolonged. While the term may be undefined, detainees can be held in solitary confinement from a few weeks to many years. For example, in Kazakhstan, individuals can be held in solitary confinement for more than two months (A/HRC/13/39/Add.3, para. 117). Some detainees have been held in solitary confinement facilities for years, without any charge and without trial, and in secret detention centres where isolation is used as an integral part of interrogation practices.[41] In a joint report on the situation of detainees at Guantánamo Bay, experts found that although 30 days of isolation was the maximum period permissible, some detainees were returned to isolation after very short breaks over a period of up to 18 months (E/CN.4/2006/120, para. 53).",
"61. There is no international standard for the permitted maximum overall duration of solitary confinement. In A.B. v. Russia, the European Court of Human Rights held that detaining an individual in solitary confinement for three years constituted a violation of article 3 of the European Convention on Human Rights.[42] By contrast, in the United States of America, it is reported that two prisoners have been held in solitary confinement in a Louisiana prison for 40 years after failed attempts at judicial appeal of the conditions of their confinement.[43] As explained in paragraph 26 above, the Special Rapporteur finds that solitary confinement exceeding 15 days is prolonged.",
"H. Psychological and physiological effects of solitary confinement",
"62. Negative health effects can occur after only a few days in solitary confinement, and the health risks rise with each additional day spent in such conditions. Experts who have examined the impact of solitary confinement have found three common elements that are inherently present in solitary confinement — social isolation, minimal environmental stimulation and “minimal opportunity for social interaction”.[44] Research further shows that solitary confinement appears to cause “psychotic disturbances,” a syndrome that has been described as “prison psychoses”.[45] Symptoms can include anxiety, depression, anger, cognitive disturbances, perceptual distortions, paranoia and psychosis and self-harm (see annex for a comprehensive list of symptoms).",
"63. Some individuals experience discrete symptoms while others experience a “severe exacerbation of a previously existing mental condition or the appearance of a mental illness where none had been observed before”.[46] Still, a significant number of individuals will experience serious health problems regardless of the specific conditions, regardless of time and place, and regardless of pre-existing personal factors.",
"I. Latent effects of solitary confinement",
"64. There is a lack of research into the latent effects of solitary confinement. While the acute effects of solitary confinement generally recede after the period of solitary confinement ends, some of the negative health effects are long term. The minimal stimulation experienced during solitary confinement can lead to a decline in brain activity in individuals after seven days. One study found that “up to seven days, the [brain activity] decline is reversible, but if deprived over a long period this may not be the case”.[47]",
"65. Studies have found continued sleep disturbances, depression, anxiety, phobias, emotional dependence, confusion, impaired memory and concentration long after the release from isolation. Additionally, lasting personality changes often leave individuals formerly held in solitary confinement socially impoverished and withdrawn, subtly angry and fearful when forced into social interaction.[48] Intolerance of social interaction after a period of solitary confinement is a handicap that often prevents individuals from successfully readjusting to life within the broader prison population and severely impairs their capacity to reintegrate into society when released from imprisonment.[49]",
"J. Vulnerable individuals",
"1. Juveniles",
"66. United Nations treaty bodies consistently recommend that juvenile offenders, children or minors should not be subjected to solitary confinement (CAT/C/MAC/CO/4, para. 8; CAT/OP/PRY/1, para. 185; CRC/C/15/Add.151, para. 41; and CRC/C/15/Add.232, para. 36 (a)). Juveniles are often held in solitary confinement either as a disciplinary measure, or to separate them from the adult inmate population, as international human rights law prohibits the intermingling of juvenile and adult prison populations.[50] Regrettably, solitary confinement as a form of punishment of juvenile detainees has been prevalent in States such as Jamaica (A/HRC/16/52/Add.3, para. 211), Paraguay (A/HRC/7/3/Add.3, appendix I, para. 46) and Papua New Guinea (A/HRC/16/52/Add.5, appendix). In regard to disciplinary measures, a report has indicated that solitary confinement does not reduce violence among juvenile offenders detained in the youth prison.[51]",
"2. Persons with disabilities",
"67. Persons with disabilities are held in solitary confinement in some jurisdictions as a substitute for proper medical or psychiatric care or owing to the lack of other institutional housing options. These individuals may not necessarily pose danger to others or to themselves, but they are vulnerable to abuse and often regarded as a disturbance to other prisoners and prison staff.[52]",
"68. Research has shown that with respect to mental disabilities, solitary confinement often results in severe exacerbation of a previously existing mental condition.[53] Prisoners with mental health issues deteriorate dramatically in isolation.[54] The adverse effects of solitary confinement are especially significant for persons with serious mental health problems which are usually characterized by psychotic symptoms and/or significant functional impairments.[55] Some engage in extreme acts of self-mutilation and even suicide.⁵⁴",
"3. Lesbian, gay, bisexual and transgender",
"69. Lesbian, gay, bisexual and transgender individuals are often subjected to solitary confinement as a form of “protective custody”.[56] Although segregation of such individuals may be necessary for their safety, lesbian, gay, bisexual and transgender status does not justify limitations on their social regime, e.g., access to recreation, reading materials, legal counsel or medical doctors.",
"K. When solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or punishment",
"70. Because of the absence of witnesses, solitary confinement increases the risk of acts of torture and other cruel, inhuman or degrading treatment or punishment. Given its severe adverse health effects, the use of solitary confinement itself can amount to acts prohibited by article 7 of the International Covenant on Civil and Political Rights, torture as defined in article 1 of the Convention against Torture or cruel, inhuman or degrading punishment as defined in article 16 of the Convention.",
"71. The assessment of whether solitary confinement amounts to torture and other cruel, inhuman or degrading treatment or punishment should take into consideration all relevant circumstances on a case-by-case basis. These circumstances include the purpose of the application of solitary confinement, the conditions, length and effects of the treatment and, of course, the subjective conditions of each victim that make him or her more or less vulnerable to those effects. In this section, the report discusses a few circumstances where the use of solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment.",
"72. Solitary confinement, when used for the purpose of punishment, cannot be justified for any reason, precisely because it imposes severe mental pain and suffering beyond any reasonable retribution for criminal behaviour and thus constitutes an act defined in article 1 or article 16 of the Convention against Torture, and a breach of article 7 of the International Covenant on Civil and Political Rights. This applies as well to situations in which solitary confinement is imposed as a result of a breach of prison discipline, as long as the pain and suffering experienced by the victim reaches the necessary severity.",
"73. While physical and social segregation may be necessary in some circumstances during criminal investigations, the practice of solitary confinement during pretrial detention creates a de facto situation of psychological pressure which can influence detainees to make confessions or statements against others and undermines the integrity of the investigation. When solitary confinement is used intentionally during pretrial detention as a technique for the purpose of obtaining information or a confession, it amounts to torture as defined in article 1 or to cruel, inhuman or degrading treatment or punishment under article 16 of the Convention against Torture, and to a breach of article 7 of the International Covenant on Civil and Political Rights.",
"74. Where the physical conditions of solitary confinement are so poor and the regime so strict that they lead to severe mental and physical pain or suffering of individuals who are subjected to the confinement, the conditions of solitary confinement amount to torture or to cruel and inhuman treatment as defined in articles 1 and 16 of the Convention, and constitute a breach of article 7 of the Covenant.",
"75. The use of solitary confinement can be accepted only in exceptional circumstances where its duration must be as short as possible and for a definite term that is properly announced and communicated. Given the harmful effects of indefinite solitary confinement, its potential use to extract information or confession during pretrial detention, and the fact that uncertainty prevents the use of remedies to challenge it, the Special Rapporteur finds that indefinite imposition of solitary confinement violates the right to due process of the concerned individual (article 9 of the Covenant, articles 1 or 16 of the Convention, and article 7 of the Covenant).",
"76. The Special Rapporteur asserts that social isolation is contrary to article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which states that “The penitentiary system shall comprise treatment of prisoners the essential aim of which shall be their reformation and social rehabilitation” (General Assembly resolution 2200 (XXI), annex). Long periods of isolation do not aid the rehabilitation or re-socialization of detainees (E/CN.4/2006/6/Add.4, para. 48). The adverse acute and latent psychological and physiological effects of prolonged solitary confinement constitute severe mental pain or suffering. Thus the Special Rapporteur concurs with the position taken by the Committee against Torture in its General Comment No. 20 that prolonged solitary confinement amounts to acts prohibited by article 7 of the Covenant, and consequently to an act as defined in article 1 or article 16 of the Convention. For these reasons, the Special Rapporteur reiterates that, in his view, any imposition of solitary confinement beyond 15 days constitutes torture or cruel, inhuman or degrading treatment or punishment, depending on the circumstances. He calls on the international community to agree to such a standard and to impose an absolute prohibition on solitary confinement exceeding 15 consecutive days.",
"77. With respect to juveniles, the Declaration of the Rights of the Child and the Preamble of the Convention on the Rights of the Child state that, given their physical and mental immaturity, juveniles need special safeguards and care, including appropriate legal protection. Article 19 of the Convention on the Rights of the Child (General Assembly resolution 44/25) requires States Parties to “take all appropriate legislative, administrative, social and educational measures to protect the child from all forms of physical or mental violence …” In its General Comment No. 8, the Committee on the Rights of the Child indicated that “There is no ambiguity: ‘all forms of physical or mental violence’ does not leave room for any level of legalized violence against children” (CRC/C/GC/8, para. 18). Paragraph 67 of the United Nations Rules for the Protection of Juveniles Deprived of their Liberty, adopted by the General Assembly in resolution 45/113 of 14 December 1990, states that “All disciplinary measures constituting cruel, inhuman or degrading treatment shall be strictly prohibited, including ... solitary confinement or any other punishment that may compromise the physical or mental health of the juvenile concerned” (see also CRC/C/GC/10, para. 89). Thus the Special Rapporteur holds the view that the imposition of solitary confinement, of any duration, on juveniles is cruel, inhuman or degrading treatment and violates article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.",
"78. The right of persons with mental disabilities to be treated with humanity and with respect for the inherent dignity guaranteed under article 10 of the Covenant should be interpreted in light of the Principles for the Protection of Persons with Mental Illness and for the Improvement of Mental Health Care, adopted by the General Assembly on 17 December 1991 (resolution 46/119, annex). Given their diminished mental capacity and that solitary confinement often results in severe exacerbation of a previously existing mental condition, the Special Rapporteur believes that its imposition, of any duration, on persons with mental disabilities is cruel, inhuman or degrading treatment and violates article 7 of the Covenant and article 16 of the Convention.",
"IV. Conclusions and recommendations",
"Conclusions",
"79. The Special Rapporteur stresses that solitary confinement is a harsh measure which may cause serious psychological and physiological adverse effects on individuals regardless of their specific conditions. He finds solitary confinement to be contrary to one of the essential aims of the penitentiary system, which is to rehabilitate offenders and facilitate their reintegration into society. The Special Rapporteur defines prolonged solitary confinement as any period of solitary confinement in excess of 15 days.",
"80. Depending on the specific reason for its application, conditions, length, effects and other circumstances, solitary confinement can amount to a breach of article 7 of the International Covenant on Civil and Political Rights, and to an act defined in article 1 or article 16 of the Convention against Torture. In addition, the use of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will go undetected and unchallenged.",
"81. Considering the severe mental pain or suffering solitary confinement may cause when used as a punishment, during pretrial detention, indefinitely or for a prolonged period, for juveniles or persons with mental disabilities, it can amount to torture or cruel, inhuman or degrading treatment or punishment. The Special Rapporteur is of the view that where the physical conditions and the prison regime of solitary confinement fail to respect the inherent dignity of the human person and cause severe mental and physical pain or suffering, it amounts to cruel, inhuman or degrading treatment or punishment.",
"Recommendations",
"82. The Special Rapporteur calls upon States to respect and protect the rights of persons deprived of liberty while maintaining security and order in places of detention. He recommends that States conduct regular reviews of the system of solitary confinement. In this context, the Special Rapporteur reiterates that States should refer to the Istanbul Statement on the Use and Effects of Solitary Confinement as a useful tool in efforts to promote the respect and protection of the rights of detainees.",
"83. The Special Rapporteur calls upon States to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person as protected by article 10, paragraph 1, of the International Covenant on Civil and Political Rights. The Special Rapporteur refers to the Standard Minimum Rules for the Treatment of Prisoners and recommends that States increase the level of psychological, meaningful social contact for detainees while in solitary confinement.",
"84. The Special Rapporteur urges States to prohibit the imposition of solitary confinement as punishment — either as a part of a judicially imposed sentence or a disciplinary measure. He recommends that States develop and implement alternative disciplinary sanctions to avoid the use of solitary confinement.",
"85. States should take necessary steps to put an end to the practice of solitary confinement in pretrial detention. The use of solitary confinement as an extortion technique during pretrial detention should be abolished. States should adopt effective measures at the pretrial stage to improve the efficiency of investigation and introduce alternative control measures in order to segregate individuals, protect ongoing investigations, and avoid detainee collusion.",
"86. States should abolish the use of solitary confinement for juveniles and persons with mental disabilities. Regarding disciplinary measures for juveniles, the Special Rapporteur recommends that States should take other measures that do not involve the use of solitary confinement. In regard to the use of solitary confinement for persons with mental disabilities, the Special Rapporteur emphasizes that physical segregation of such persons may be necessary in some cases for their own safety, but solitary confinement should be strictly prohibited.",
"87. Indefinite solitary confinement should be abolished.",
"88. It is clear that short-term solitary confinement can amount to torture or cruel, inhuman or degrading treatment or punishment; it can, however, be a legitimate device in other circumstances, provided that adequate safeguards are in place. In the opinion of the Special Rapporteur, prolonged solitary confinement, in excess of 15 days, should be subject to an absolute prohibition.",
"89. The Special Rapporteur reiterates that solitary confinement should be used only in very exceptional circumstances, as a last resort, for as short a time as possible. He emphasizes that when solitary confinement is used in exceptional circumstances, minimum procedural safeguards must be followed. These safeguards reduce the chances that the use of solitary confinement will be arbitrary or excessive, as in the case of prolonged or indefinite confinement. They are all the more important in circumstances of detention where due process protections are often limited, as in administrative immigration detention. Minimum procedural safeguards should be interpreted in a manner that provides the greatest possible protection of the rights of detained individuals. In this context, the Special Rapporteur urges States to apply the following guiding principles and procedural safeguards.",
"Guiding principles",
"90. Throughout the period of detention, the physical conditions and prison regime of the solitary confinement, and in particular the duration of confinement, must be proportional to the severity of the criminal or disciplinary infraction for which solitary confinement is imposed.",
"91. The physical conditions and prison regime of solitary confinement must be imposed only as a last resort where less restrictive measures could not achieve the intended disciplinary goals.",
"92. Solitary confinement must never be imposed or allowed to continue except where there is an affirmative determination that it will not result in severe pain or suffering, whether physical or mental, giving rise to acts as defined in article 1 or article 16 of the Convention against Torture.",
"93. All assessments and decisions taken with respect to the imposition of solitary confinement must be clearly documented and readily available to the detained persons and their legal counsel. This includes the identity and title of the authority imposing solitary confinement, the source of his or her legal attributes to impose it, a statement of underlying justification for its imposition, its duration, the reasons for which solitary confinement is determined to be appropriate in accordance with the detained person’s mental and physical health, the reasons for which solitary confinement is determined to be proportional to the infraction, reports from regular review of the justification for solitary confinement, and medical assessments of the detained person’s mental and physical health.",
"Internal safeguards",
"94. From the moment that solitary confinement is imposed, through all stages of its review and decisions of extension or termination, the justification and duration of the solitary confinement should be recorded and made known to the detained person. Additionally, the detained person should be informed of what he or she must do to be removed from solitary confinement. In accordance with rule 35 of the Standard Minimum Rules for the Treatment of Prisoners, the detained person must receive this information in plain language that he or she understands. This information must additionally be provided to any legal representative of the detained person.",
"95. A documented system of regular review of the justification for the imposition of solitary confinement should be in place. The review should be conducted in good faith and carried out by an independent body. Any change in the factors that justified the imposition of solitary confinement should immediately trigger a review of the detained person’s solitary confinement. All review processes must be documented.",
"96. Persons held in solitary confinement must be provided with a genuine opportunity to challenge both the nature of their confinement and its underlying justification through a process of administrative review. At the outset of the imposition of solitary confinement, detained persons must be informed of their alleged criminal or disciplinary infraction for which solitary confinement is being imposed and must immediately have an opportunity to challenge the reasons for their detention. Following the imposition of solitary confinement, detained persons must have the opportunity to file a complaint to prison management through an internal or administrative complaints system.",
"97. There shall be no limitations imposed on the request or complaint, such as requiring evidence of both mental or emotional suffering and physical suffering. Prison officials have an obligation to address all requests or complaints promptly, informing the detained person of the outcome. All internal administrative findings must be subject to external appeal through judicial processes.",
"External safeguards",
"98. Detained persons held in solitary confinement must be afforded genuine opportunities to challenge both the nature of their confinement and its underlying justification through the courts of law. This requires a right to appeal all final decisions by prison authorities and administrative bodies to an independent judicial body empowered to review both the legality of the nature of the confinement and its underlying justification. Thereafter, detained persons must have the opportunity to appeal these judgements to the highest authority in the State and, after exhaustion of domestic remedies, seek review by regional or universal human rights bodies.",
"99. Individuals must have free access to competent legal counsel throughout the period in which they are held in solitary confinement. Where necessary to facilitate complete and open communication between a detainee and his or her legal counsel, access to an interpreter must be provided.",
"100. There should be a documented system of regular monitoring and review of the inmate’s physical and mental condition by qualified medical personnel, both at the initiation of solitary confinement and on a daily basis throughout the period in which the detained person remains in solitary confinement, as required by rule 32, paragraph 3, of the Standard Minimum Rules for the Treatment of Prisoners. Medical personnel monitoring detained persons should have specialized training in psychological assessment and/or the support of specialists in psychology. Additionally, medical personnel must be independent and accountable to an authority outside of the prison administration. Preferably, they should belong to the general national health structure. Any deterioration of the inmate’s mental or physical condition should trigger a presumption that the conditions of confinement are excessive and activate an immediate review.",
"101. Medical personnel should additionally inspect the physical conditions of the inmate’s confinement in accordance with article 26 of the Standard Minimum Rules for the Treatment of Prisoners. Relevant considerations include the level of hygiene and cleanliness of the facility and the inmate, heating, lighting and ventilation of the cell, suitability of clothing and bedding, adequate supply of food and water and observance of the rules concerning physical exercise.",
"Annex",
"Effects of solitary confinement",
"^(a) Sharon Shalev, A Sourcebook on Solitary Confinement (London, Mannheim Centre for Criminology, 2008), pp. 15-17; also Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature”, Crime and Justice, vol. 34 (2006), p. 441.",
"Many symptoms may present themselves in individuals held in solitary confinement, both concurrent with their solitary confinement and after the period of solitary confinement has terminated. The following list prepared by Dr. Sharon Shalev^(a) demonstrates a range of possible symptoms.",
"Anxiety, ranging from feelings of tension to full-blown panic attacks",
"• Persistent low level of stress",
"• Irritability or anxiousness",
"• Fear of impending death",
"• Panic attacks",
"Depression, varying from low mood to clinical depression",
"• Emotional flatness/blunting — loss of ability to have any “feelings”",
"• Mood swings",
"• Hopelessness",
"• Social withdrawal; loss of initiation of activity or ideas; apathy; lethargy",
"• Major depression",
"Anger, ranging from irritability to full-blown rage",
"• Irritability and hostility",
"• Poor impulse control",
"• Outbursts of physical and verbal violence against others, self and objects",
"• Unprovoked anger, sometimes manifested as rage",
"Cognitive disturbances, ranging from lack of concentration to confused state",
"• Short attention span",
"• Poor concentration",
"• Poor memory",
"• Confused thought processes; disorientation",
"Perceptual distortions, ranging from hypersensitivity to hallucinations",
"• Hypersensitivity to noises and smells",
"• Distortions of sensation (e.g., walls closing in)",
"• Disorientation in time and space",
"• Depersonalization/derealization",
"• Hallucinations affecting all five senses (e.g., hallucinations of objects or people appearing in the cell, or hearing voices when no one is actually speaking)",
"Paranoia and psychosis, ranging from obsessional thoughts to full-blown psychosis",
"• Recurrent and persistent thoughts (ruminations), often of a violent and vengeful character (e.g., directed against prison staff)",
"• Paranoid ideas — often persecutory",
"• Psychotic episodes or states: psychotic depression, schizophrenia",
"Self-harm, self-directed aggression",
"• Self-mutilation and cutting",
"• Suicide attempts",
"[1] Alexandra Naday, Joshua D. Freilich and Jeff Mellow, “The Elusive Data on Supermax Confinement”, The Prison Journal, vol. 88, issue 1, p. 69 (2008).",
"[2] Peter Scharff Smith, “The effects of solitary confinement on prison inmates: a brief history and review of the literature”, Crime and Justice, vol. 34 (2006), p. 441.",
"[3] Jeffrey L. Metzner, M.D., and Jamie Fellner, “Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”, The Journal of the American Academy of Psychiatry and the Law, vol. 38, No. 1, pp. 104-108 (2010).",
"[4] Sharon Shalev, A Sourcebook on Solitary Confinement (London, Mannheim Centre for Criminology, 2008), p. 1.",
"[5] Ken Strutin, “Solitary Confinement”, LLRX.com, published on 10 August 2010.",
"[6] Craig Haney, “Mental Health Issues in Long-Term Solitary and ‘Supermax’ Confinement, Crime and Delinquency”, vol. 49, No. 1, pp. 124-156.",
"[7] Human Rights Committee, International Covenant on Civil and Political Rights, General Comment No. 20 (A/47/40, annex VI.A), article 7 (Prohibition of torture, or other cruel, inhuman or degrading treatment or punishment), 10 March 1992.",
"[8] Iorgov v. Bulgaria, Application No. 40653/98, European Court of Human Rights, para. 84 (2004); G.B. v. Bulgaria, Application No. 42346/98, European Court of Human Rights, para. 85 (2004).",
"[9] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 108 (2010).",
"[10] Palushi v. Austria, Application No. 27900/04, European Court of Human Rights, paras. 72 and 73 (2009).",
"[11] A.B. v. Russia, para. 111.",
"[12] Onoufriou v. Cyprus, Application No. 24407/04, European Court of Human Rights, para. 80 (2010).",
"[13] Ocalan v. Turkey, Application No. 46221/99, European Court of Human Rights, para. 196 (2005).",
"[14] Rohde v. Denmark, Application No. 69332/01, European Court of Human Rights, para. 97 (2005).",
"[15] Ramírez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, paras. 105, 106 and 135 (2006).",
"[16] Ibid., para. 145.",
"[17] Velázquez-Rodríguez v. Honduras, Inter-American Court of Human Rights, Series C, No. 4, para. 156 (1988).",
"[18] Loayza-Tamayo v. Peru, Inter-American Court of Human Rights, Series C, No. 33, para. 58 (1997).",
"[19] Cantoral-Benavides v. Peru, Inter-American Court of Human Rights, Series C, No. 69, paras. 62 and 104 (2000).",
"[20] Suárez-Rosero v. Ecuador, Inter-American Court of Human Rights, Series C, No. 35, paras. 51-56 (1997).",
"[21] Inter-American Commission on Human Rights, Report on the Situation of Human Rights in Mexico (OEA/Ser.L/V/II.100), para. 254 (2008).",
"[22] Shalev, op. cit., p. 25.",
"[23] Shalev, op. cit., pp. 25 and 26.",
"[24] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, Journal on Rehabilitation of Torture Victims and Prevention of Torture, vol. 18 (2008), p. 56.",
"[25] Shalev, op. cit., p. 26.",
"[26] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, p. 41.",
"[27] Ramírez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, para. 102 (2006).",
"[28] Solitary Confinement of Prisoners and Detainees in Israeli Prisons, Joint Project of Adalah, Al Mezan (Gaza) and Physicians for Human Rights (Israel, June 2011).",
"[29] Shalev, op. cit., p. 42.",
"[30] Council of Europe, Committee for the Prevention of Torture, Report to the Government of Greece on the visit to Greece carried out by the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment, 20 December 2006 (CPT/Inf (2006)), p. 41.",
"[31] Council of Europe, “CPT Standards” (CPT/Inf/E (2002) 1 — Rev. 2010), sect. II, para. 48.",
"[32] Poltrotsky v. Ukraine, p. 146 (European Court of Human Rights, 2006-V).",
"[33] Peter Scharff Smith, “The effects of solitary confinement on prison inmates”, Crime and Justice, vol. 34 (2006), p. 449.",
"[34] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”, Journal of Law and Policy, vol. 22 (2006), p. 325.",
"[35] Ilaşcu and others v. Moldova and Russia, Application No. 48787/99, European Court of Human Rights (2004), para. 432.",
"[36] Mathew v. Netherlands, Application No. 24919/03, para. 202.",
"[37] G.B. v. Bulgaria, para. 85.",
"[38] Valasinas v. Lithuania, Application No. 44558/98, European Court of Human Rights, para. 112 (2001); Ocalan v. Turkey, para. 193.",
"[39] Rohde v. Denmark, para. 97.",
"[40] Peter Scharff Smith, “Solitary Confinement: An introduction to the Istanbul Statement on the Use and Effects of Solitary Confinement”, p. 1.",
"[41] Shalev, op. cit., p. 2.",
"[42] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 135 (2010).",
"[43] “USA: The Cruel and Inhumane Treatment of Albert Woodfox and Herman Wallace”, Amnesty International (2001).",
"[44] Stuart Grassian, “Psychiatric Effects of Solitary Confinement” (1993), p. 1.",
"[45] Ibid., p. 8.",
"[46] Ibid., p. 2.",
"[47] Ibid., p. 20.",
"[48] Shalev, op. cit., pp. 13 and 22.",
"[49] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”, pp. 332 and 333.",
"[50] Article 37(c), Convention on the Rights of the Child; article 8(d), United Nations Standard Minimum Rules for the Treatment of Prisoners.",
"[51] Robert Wildeboer, “The Impact of Solitary Confinement in a Youth Prison”, Inside and Out (Chicago, 2010).",
"[52] Shalev, op. cit., p. 26.",
"[53] Stuart Grassian, “Psychiatric Effects of Solitary Confinement”; Shalev, op. cit., p. 10.",
"[54] American Civil Liberties Union, “Abuse of the Human Rights of Prisoners in the United States: Solitary Confinement” (2011).",
"[55] Jeffrey L. Metzner, M.D., and Jamie Fellner, “Solitary Confinement and Mental Illness in U.S. Prisons: A Challenge for Medical Ethics”, The Journal of the American Academy of Psychiatry and the Law, vol. 38, No. 1, pp. 104-108 (2010).",
"[56] Heartland Alliance National Immigrant Justice Center, letter to the Special Rapporteur on torture dated 16 June 2011."
] | A_66_268 | [
"Sixty-sixth session",
"A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Torture and other cruel, inhuman and degrading treatment or punishment",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment, Juan Méndez, prepared pursuant to General Assembly resolution 65/205.",
"Interim report of the Special Rapporteur of the Human Rights Council on torture and other cruel, inhuman or degrading treatment or punishment",
"Summary",
"In the present report, submitted pursuant to General Assembly resolution 65/205, the Special Rapporteur addresses issues of particular concern and recent developments in the context of his mandate.",
"The Special Rapporteur draws the attention of the General Assembly to his assessment that solitary confinement is practised in most countries. He has found that the prison system of material conditions and solitary confinement can cause severe mental and physical suffering or suffering, and that it constitutes cruel, inhuman or degrading treatment or punishment, even torture, when it is used as a punishment for an indefinite, prolonged period of pretrial detention for juveniles or persons with mental disabilities. Furthermore, the practice of solitary confinement increases the risk that acts of torture and other cruel, inhuman or degrading treatment or punishment will not be detected or challenged.",
"The report highlights a number of general principles to help guide States in re-evaluation and minimization of the use of solitary confinement and its elimination in certain categories of cases. This practice should be used only as a last resort in very specific cases and for as short a time as possible. He also stressed the need for minimum internal and external procedural safeguards to ensure that all persons deprived of their liberty were treated with humanity and with respect for the inherent dignity of the human person.",
"Contents",
"2. Mandate-related activities",
"Introduction",
"1. The present report, submitted pursuant to paragraph 39 of General Assembly resolution 65/205, is the thirteenth report of the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment to the General Assembly and the first submitted by this mandate holder.",
"2. The Special Rapporteur draws attention to his report to the Human Rights Council (A/HRC/16/52), in which he outlined his vision, working methods and priorities during his mandate.",
"II. Activities related to the mandate",
"3. The following is a summary of the activities undertaken by the Special Rapporteur under his mandate since his report to the Human Rights Council (A/HRC/16/52 and Add.1-6).",
"Communications concerning human rights violations",
"4. Between 1 December 2010 and 1 July 2011, he sent 20 letters of allegations of torture to 18 Governments and 95 urgent appeals to 48 Governments on behalf of individuals at risk of torture or other forms of ill-treatment. Eighty-two responses were received during the same period.",
"Country visits",
"5. With regard to the fact-finding mission, a country visit to Kyrgyzstan was planned for May 2011, but the Government requested an extension on the basis of ongoing political developments. In a letter dated 28 July 2011, the Government of the Kyrgyz Republic proposed a country visit in late August 2011. The Special Rapporteur welcomes this invitation, but as a temporary notification, other possible dates are being discussed with the Government at the time of submission of the present report. He accepted the invitation of the Government of Iraq to visit the country in October 2011. He was also invited to visit Bahrain and a date is being discussed with the Government. In addition to the forthcoming requests for country visits (see A/HRC/16/52, para. 6), the Special Rapporteur has requested a visit to Morocco on the question of Western Sahara.",
"6. The Special Rapporteur visited Tunisia from 15 to 22 May 2011. He shared his preliminary findings with the interim Government and issued a press statement on 22 May, expressing appreciation to the Government for its full cooperation with him. He noted that the Government had taken a number of positive steps to ensure accountability and long-term reform. However, he believes that the “wait-and-see attitude” in anticipation of the Constituent Assembly elections may hinder the possibility of taking bold and positive steps in settling past and recent violations. The Special Rapporteur emphasizes the need to ensure prompt, effective and independent criminal investigations into alleged perpetrators of torture and ill-treatment and to initiate administrative programmes to provide redress and compensation services to victims of past and recent violations. The report on the mission to Tunisia will be submitted to the Human Rights Council at its nineteenth session, to be held in March 2012.",
"Key press statements",
"7. The Special Rapporteur issued the following press statements (many of which were issued jointly with other mandate holders):",
"• 31 December 2010 — Expressing grave concern at possible or continuing enforced or involuntary disappearances, arbitrary detentions, extrajudicial, summary or arbitrary executions and acts of sexual violence during the presidential elections in Côte d'Ivoire.",
"• 14 January 2011 - Following official confirmation that at least 21 people had died, the Tunisian Government was urged to control the use of force against peaceful demonstrations.",
"• 3 February 2011 - The alleged acts of torture or cruel, inhuman or degrading treatment in connection with public disturbances in Belarus, Egypt and Tunisia and the suppression of peaceful demonstrations.",
"• 17 February — The Transitional Government of Egypt is urged to establish an independent investigation team to investigate human rights violations committed during the revolution in the country and to have the authority to transmit names and evidence to the relevant authorities for prosecution.",
"• 18 February — The Governments of Bahrain and the Libyan Arab Jamahiriya are urged to guarantee the right to peaceful protest and to cease immediately the use of excessive and lethal force.",
"• 22 February — On the situation of human rights defenders who are gravely concerned about the serious human rights violations that are taking place in the Libyan Arab Jamahiriya.",
"• 3 March — Condemning the violent repression of protesters in Yemen and urging the Government to end the excessive use of force as a means of ending the ongoing protests.",
"• 22 March — Expressing concern at the increasing number of serious human rights violations in the capital of Bahrain, Manama.",
"• 1 April — Expressing concern at serious human rights violations in Côte d'Ivoire, including enforced disappearances, extrajudicial killings, killing and maiming of children and sexual violence that may constitute international crimes, and expressing the full support of the Special Rapporteur and other mandate holders for Security Council resolution 1975 (2011).",
"• 11 April and 12 July — he expressed frustration that, despite his repeated requests to visit Private Bradley Manning, the Government of the United States of America had still not given him unsupervised access to the detainee. The issue of unfettered access is not limited to the case, but also relates to the ability of the Special Rapporteur to conduct private and unsupervised interviews with detainees during his country visit to the United States.",
"• 15 April — Condemning the increasing death toll and the brutal repression of peaceful protesters, journalists and human rights defenders in the Syrian Arab Republic, despite the Government's commitment to reform and consultations to end the 48-year state of emergency.",
"• 1 July — U.S. Government is urged to stop carrying out scheduled executions of Humberto Leal García, Texas.",
"Highlights of key presentations/consultations/training courses",
"The Special Rapporteur participated in a meeting organized by Amnesty International in London from 8 to 9 February 2011 to discuss “the development of international best practices in interrogation and investigation of torture”. He also addressed the All-Party Parliamentary Group on Special Extradition.",
"On 22 February, he gave a presentation at the sixty-third annual meeting of the Inter-American Faculty of Forensic Sciences on “International framework and mechanisms for documenting conditions of detention, torture and ill-treatment”.",
"10. On 28 February, he met with senior officials of the Department of State and the Department of Defense of the United States of America in Washington, D.C., and again visited the Department of Defence on 22 April to discuss issues of common concern.",
"11. From 6 to 10 March, the Special Rapporteur attended the sixteenth session of the Human Rights Council in Geneva and met with the ambassadors of Iraq, Kyrgyzstan, Mexico, Thailand and the United States. He also met with all the regional groups of the Human Rights Council, with the exception of the African group, which unfortunately could not be scheduled.",
"12. On 16 and 17 March, he met with the Chairman of the Committee against Torture, the Vice-Chairman of the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the Rapporteur on the rights of persons deprived of their liberty of the Inter-American Commission on Human Rights, a representative of the European Committee for the Prevention of Torture and the Special Rapporteur on detainees of the African Commission on Human and Peoples ' Rights in Washington, D.C. The meeting was organized jointly by the Washington School of Law of the American University and the Association for the Prevention of Torture to discuss how to strengthen the working relationship between these mechanisms.",
"13. From 18 to 20 March, the Special Rapporteur addressed the annual general meeting of Amnesty International America in San Francisco and the commemorative meeting of the fiftieth anniversary.",
"On 1 June 2011, he delivered a keynote address at an event organized by several religious groups in Washington, D.C., entitled “The accountability of today: preventing torture tomorrow”.",
"From 15 to 17 June, the Special Rapporteur, with the support of the Government of the Netherlands, hosted a regional consultation of the Americas on torture in Santiago, Chile. The regional consultation, organized with the assistance of the Association for the Prevention of Torture, the Legal and Social Centre, the Manpower Corporation, the Regional Centre for Human Rights and Gender Justice and Conectas Human Rights, provided an opportunity for Governments, national institutions and civil society organizations from 12 countries to discuss follow-up to recommendations made following country visits and to strengthen local and regional protection mechanisms against torture and ill-treatment.",
"16. On 20 June, he met in Santiago with the Director-General for Foreign Policy of the Ministry of Foreign Affairs of Chile.",
"17. From 27 June to 1 July, the Special Rapporteur participated in his eighteenth annual meeting in Geneva. He also met with representatives of the Governments of Iraq, Kyrgyzstan, the Netherlands, the Russian Federation, Tunisia and the United States of America.",
"18. On 7 July, he met with the Minister for Human Rights of the Government of Brazil in Brasilia.",
"III. Incommunicado detention",
"A. Overview of work undertaken under the mandate",
"In his first report as Special Rapporteur (A/HRC/16/52, para. 70), he recognized that “the question of whether prolonged solitary confinement ... inherently amounts to cruel, inhuman or degrading treatment or punishment has been the subject of much debate and discussion in the Human Rights Council”; in his view, “the international community as a whole will benefit from a calm and rational discussion of this issue”.",
"20. The Special Rapporteur has received complaints about the use of solitary confinement or solitary confinement as a means of combating organized crime in administrative detention on grounds of national security, as well as in immigration detention. He did this study because he found that the practice of solitary confinement was global and susceptible to widespread abuse. In particular, the practice of social segregation and sensory deprivation practised in some countries constitutes cruel, inhuman and degrading treatment or even torture in certain circumstances.",
"21. As noted by the Special Rapporteur ' s predecessor, prolonged solitary confinement may in itself constitute prohibited ill-treatment or torture (E/CN.4/1999/61, para. 394 and E/CN.4/2003/68, para. 26 (m)).",
"22. The Istanbul Statement on the Use and Effects of Incommunicado Detention was annexed to the 2008 interim report of the former Special Rapporteur to the General Assembly (A/63/175, annex). The report concludes: “The prolonged isolation of detainees may amount to cruel, inhuman or degrading treatment or punishment and, in some cases, to torture. ... the use of solitary confinement should be kept to a minimum; in very exceptional circumstances, it should be used for as short a time as possible and only as a last resort. Irrespective of the specific circumstances in which they are used, efforts must be made to increase the level of social contact between prisoners and prison staff, to allow socialization with other prisoners, to allow more visits and to provide mental health services” (A/63/175, paras. 77 and 83).",
"History and current practice of solitary confinement",
"23. The history of the use of solitary confinement against detainees is well documented. This practice dates back to the United States of America in the 1920s, when it was believed that the isolation of prisoners would contribute to rehabilitation. In this model, prisoners spend their whole day alone, in most cases in cells, even at work, in order to reflect on their own criminal process and thus avoid negative external effects. This practice has been used in European and South American countries since the 1830s (A/63/175, para. 81). It is important to recognize that the model 200 years ago was a way of social and moral progress in the area of punishment, as it emphasized rehabilitation and sought to replace the death penalty, mutilation and other forms of punishment that were then prevalent.",
"24. The use of solitary confinement continues to be widespread throughout the world (A/63/175, para. 78). In some countries, the use of solitary confinement as a normal rather than an “exceptional” practice in super maximum security prisons was considered problematic. In the United States, for example, an estimated 20,000 to 25,000 people are held in solitary confinement. Another example is the widespread use of solitary confinement in pretrial detention; this has been an integral part of the practice in Scandinavian prisons for many years. [2] Segregation from the rest of the prison population is used almost everywhere as a punishment to undermine prison discipline. In many countries, solitary confinement is now used more frequently and for longer periods. In Brazil, for example, Decree No. 10792 of 2003 amended the existing “Criminal Law Enforcement Act” to envisage a “differentiated” disciplinary regime for individual cells for up to 360 days, without prejudice to the extension of a similar duration for new offences, up to one sixth of the sentence. The Province of Buenos Aires, Argentina, launched a programme to prevent prison violence in 2010, which includes at least nine months of isolation (the first three months being total isolation), a period that, according to prison monitors, is often extended.",
"C. Definitions",
"25. There is no generally agreed definition of solitary confinement. The Istanbul Declaration on the Use and Effects of Isolation defines solitary confinement as the physical isolation of individuals who are held in cells for 22 to 24 hours a day. In many jurisdictions, prisoners in solitary confinement are allowed to walk out of their cells for one hour each day alone. Meaningful contact with others is usually minimized. The decline in stimulus is not only quantitative but also qualitative. The only incentives and occasional social contacts are rarely freely chosen by them, and are usually very monotonous and non-transmitted.",
"solitary confinement is also referred to as “separation”, “separation”, [3] “separation”, “beecom”, [4] “locking”, “super-highest”, “concrete” or “safe housing unit”,[5] but all these terms involve different factors. For the purposes of the present report, the Special Rapporteur defines solitary confinement as the physical and social isolation of individuals who are held in cells for 22 to 24 hours a day. The Special Rapporteur is particularly concerned about prolonged solitary confinement, which he defines as any solitary confinement for more than 15 days. He knew that it would be arbitrary to determine when an already harmful regime had been transformed into a time point of unacceptable suffering over time. He concludes that 15 days is the line between “incommunicado detention” and “long-term solitary confinement”, as, according to the literature examined, some of the harmful psychological effects of isolation may become irreversible at this point in time. [6]",
"D. Legal framework",
"27. International and regional human rights bodies have adopted different approaches in addressing the basic conditions that cause the social and physical isolation of detainees and in determining whether such practices amount to torture or cruel, inhuman or degrading treatment or punishment. For example, while the European Court of Human Rights has often faced the issue of solitary confinement, the United Nations Human Rights Committee and the Inter-American Court of Human Rights are the bodies most widely addressing the phenomenon related to incommunicado detention. For the purposes of the present report, the Special Rapporteur will focus only on the work of global and regional human rights bodies on the issue of solitary confinement.",
"1. International level",
"United Nations General Assembly",
"28. In 1990, the General Assembly adopted resolution 45/111, the Basic Principles for the Treatment of Prisoners. Principle 7 provides that efforts should be made to abolish or restrict the use of solitary confinement as a punishment and encourages efforts to that end.",
"29. In the same year, the General Assembly adopted resolution 45/113, the United Nations Rules for the Protection of Juveniles Deprived of their Liberty. In paragraph 67, the General Assembly asserted that “all disciplinary measures which constitute cruel, inhuman or degrading treatment, including ... solitary confinement or any other punishment prejudicial to the physical or mental health of the juvenile concerned, shall be strictly prohibited”.",
"United Nations treaty bodies",
"30. In paragraph 6 of its general comment No. 20, the Human Rights Committee noted that prolonged solitary confinement of detainees or prisoners may amount to acts prohibited under article 7 of the International Covenant on Civil and Political Rights. [7] In its concluding observations on Rwanda, the Human Rights Committee recommended that “the State party should end the practice of imposing solitary confinement ...”. (CCPR/C/RWA/CO/3, para.",
"31. CAT recognized the harmful physical and psychological effects of prolonged solitary confinement and expressed concern about the use of prolonged solitary confinement as a preventive and disciplinary measure during pretrial detention. The Committee recommends that the use of solitary confinement be abolished, in particular during pretrial detention, or at least by strict and specific legal norms (maximum duration, etc.), under judicial supervision and only in exceptional circumstances, such as when the safety of persons is concerned (A/63/175, para. 80). The Committee recommends that solitary confinement not be used against persons under 18 (CAT/C/MAC/CO/4, para. 8).",
"32. The Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment noted that prolonged solitary confinement may amount to torture and other cruel, inhuman or degrading treatment or punishment and recommended that it not be used in cases involving minors or persons with mental disabilities (CAT/OP/PRY/1, para. 185). The SPT also recommends that medical officers should visit the prisoner in solitary confinement on a daily basis, on the understanding that such visits would be beneficial to the prisoner ' s health. In addition, prisoners held in solitary confinement for more than 12 hours should have at least one hour a day to breathe fresh air (CAT/OP/PRY/1, para. 184). In view of the conditions of solitary confinement, the SPT notes that all prisoners should be provided with beds and suitable mattresses, including those held in solitary confinement (CAT/OP/HND/1, para. 227 (a) and CAT/OP/PRY/1, para. 280).",
"In its general comment No. 10 (2001), the Committee on the Rights of the Child stressed that “disciplinary measures contrary to article 37 of the Convention on the Rights of the Child must be strictly prohibited, including ... confinement or solitary confinement, or any other punishment that may harm the physical or mental health or well-being of the child” (CRC/C/GC/10, para. Furthermore, the Committee urges States parties to prohibit and abolish the use of solitary confinement of children (CRC/C/15/Add.151, para. 41; CRC/C/15/Add.220, para. 45 (d); CRC/C/15/Add.232, para. 36 (a)).",
"2. Regional level",
"European Court of Human Rights",
"34. In assessing cases of solitary confinement, the European Court of Human Rights considered the reasons given by States for social and physical segregation. The Court found a violation of article 3 of the European Convention on Human Rights, as the State did not provide security-based justification for the use of solitary confinement. [8] As for prolonged solitary confinement, the Court held that the reasons for its use must be explained to individuals and that, over time, such reasons “must be more detailed and urgent”. [9]",
"35. Through its case law, the European Court of Human Rights has emphasized that certain procedural safeguards must be in place during the imposition of solitary confinement, such as monitoring the physical health of the prisoner,9 especially when the person is ill,[10] and has access to judicial review. [11]",
"36. A key factor on which the European Court of Human Rights bases its assessment of whether a case of physical and mental isolation constitutes torture or cruel, inhuman or degrading treatment or punishment is the extent of the individual ' s isolation. The suffering caused by the long-standing absolute prohibition of visits by individuals outside prisons “is clearly beyond the inevitable levels inherent in detention facilities”. [12] However, as long as individuals can receive visitors and letters, view television, read books and read newspapers, and have regular contact with prison staff, or have regular access to clergy or lawyers,[15] this isolation is a “local” isolation that fails to reach the minimum threshold of gravity, i.e. the minimum threshold necessary for the European Court of Human Rights to find a violation of article 3 of the European Convention on Human Rights. The Court stressed, however, that even if partial isolation were to be imposed, solitary confinement could not be imposed indefinitely. [16]",
"Inter-American human rights system",
"37. The jurisprudence of the Inter-American human rights system on solitary confinement is more conclusive than that of the body discussed above. Since its earliest judgement, the Inter-American Court of Human Rights has found that certain elements of the prison system and certain material conditions in prisons constitute in themselves cruel and inhuman treatment, thus violating article 5 of the American Convention on Human Rights, which recognizes the right to human integrity. For example, the Court held that “the practice of prolonged isolation and denial of opportunities for communication is in itself cruel and inhuman treatment, harming the psychological and moral integrity of the human person and violating the right of detainees to respect the inherent dignity of the human person”. [17] The Court also discussed the material conditions of detention, emphasizing that “separation in small, unventilated and unnatural cells ... [and] restrictions on visiting rights ... constitute forms of cruel, inhuman and degrading treatment”. [18]",
"38. The Court also recognized that solitary confinement leads to psychological and physical suffering, which can lead to treatment that constitutes torture. In at least one case, the court confirmed the material conditions of solitary confinement, including “slim, unventilated or unnatural cells” and the prison system of detainees “for 23 hours and a half hours a day ..., [and] only once a month to see their relatives and without physical contact with them”, which may amount to physical and psychological torture when combined with other forms of physical and psychological abuse. [19]",
"39. In its analysis of solitary confinement, the Court noted that procedural safeguards must be in place even when they are used in exceptional circumstances. For example, “States have an obligation to ensure that detainees enjoy the minimum and non-derogable guarantees provided for in the [American] Convention, in particular the right to question the lawfulness of detention and to ensure that detainees are effectively defended while in custody”. Similarly, the Inter-American Commission on Human Rights has consistently maintained that all forms of disciplinary action taken against detainees must comply with due process of law norms and provide access to judicial review. [21]",
"E. Grounds for State use of solitary confinement",
"40. The reasons given by States for the use of solitary confinement can be divided into five broad categories:",
"(a) Perpetrators (as part of a judicial sentence or as part of a disciplinary system);",
"(b) Protecting vulnerable persons;",
"(c) Facilitate the management of certain persons in prisons;",
"(d) To protect or promote national security;",
"(e) Facilitating pre-indictment or pre-trial investigations.",
"41. The practice of solitary confinement as part of an individual ' s judicial sentence often occurs in the context of particularly serious crimes or crimes against the State. [22] In some Central European countries, for example, persons convicted of murder or rape were sentenced to imprisonment in solitary confinement (A/64/215, para. 53). In other countries, such as Mongolia, the death penalty may be commuted to life imprisonment and served in solitary confinement (E/CN.4/2006/6/Add.4, para. 47). The use of solitary confinement as a disciplinary measure in prisons is also well documented and is perhaps the most common reason for its use as a form of punishment. Disciplinary measures usually involve violations of prison rules. In Nigeria, for example, detainees are subject to up to three days of solitary confinement for disciplinary offences (A/HRC/7/3/Add.4, enclosure I, para. 113). Similarly, at Abepula prison in Indonesia, as a disciplinary measure, persons who violate prison rules may be held in solitary confinement for up to eight days (A/HRC/7/3/Add.7, enclosure I, para. 37).",
"42. Isolation is also used to separate vulnerable individuals, including adolescents, persons with disabilities and lesbian, gay, bisexual and transgender persons, in order to protect them. They may be held incommunicado at their request or at the discretion of prison officials. [23]",
"43. State officials also use solitary confinement as a tool for the management of certain prison populations. Persons identified as dangerous, such as gang members or those at greater risk of flight, may be held incommunicado. Similarly, persons identified as at risk of harm, such as sex offenders, whistleblowers and former correctional or law enforcement officials, are often allowed or encouraged to choose voluntary solitary confinement to protect them from fellow prisoners. For purposes of prison management, prisoners may also be placed in some form of solitary confinement before, during or after the transfer of their cells and places of detention. [25] While the duration of solitary confinement as a management tool varies widely, it should be noted that such use is motivated by practical rather than punitive motives.",
"44. Persons identified as terrorist suspects or as having national security risks are also often placed in solitary confinement. In Equatorial Guinea, for example, a section of the Black Beach Prison, made up of individual cells, is dedicated to solitary confinement of high-security prisoners (A/HRC/13/39/Add.4, enclosure I). Incommunicado detention may also be used as a means of compulsory interrogation and is often an integral part of enforced disappearance or incommunicado detention (A/63/175, annex). As noted in paragraph 40 (a) above, national security is also the primary reason for the imposition of solitary confinement after a judicial sentence. In China, for example, a person sentenced for “illegal provision of State secrets or information to entities outside China” was allegedly placed in solitary confinement for two of her eight years of imprisonment (E/CN.4/2006/6/Add.6, enclosure 2, para.",
"45. States also use solitary confinement to isolate individuals before prosecution or during pretrial detention. In some countries, such as Denmark, solitary confinement is a regular practice of pre-trial detention (A/63/175, para. 78 (i)). The use of solitary confinement before prosecution and during pre-trial detention varies considerably, including to prevent detainees from mixing in order to avoid acts of moral corruption and collusion, and to exert pressure on detainees to cooperate or confess. [26]",
"F. Conditions of solitary confinement",
"46. The management of prisons and the conditions of detainees is governed by prison regulations and national laws, as well as international human rights law. The United Nations Standard Minimum Rules for the Treatment of Prisoners, adopted by the Economic and Social Council in 1957, supplement and interpret the basic norms that are binding on the basis of treaties or as part of customary international law. While the Standard Minimum Rules are not directly binding, they are widely accepted as a universal norm for the humane treatment of prisoners.",
"47. The particular conditions in which detainees are placed in solitary confinement vary from institution to jurisdiction. Most, however, have common material and non-material conditions (or prison system).",
"1. Material conditions",
"48. The main material conditions associated with solitary confinement are the size of the cell, the availability of windows and electric lamps, and the availability of fixed sanitary equipment for personal hygiene. In practice, solitary confinement cells usually share certain common features, including: being located in an independent or remote location of the prison, narrow or partially covered windows, lack of circulation of the air, bald appearances and dreary colours, toughening cardboard or other furniture to prevent diversion on the floor, and small, boring gymnasium or yard (E/CN.4/2006/6/Add.3, para. 47). In some jurisdictions, prisoners in solitary confinement are shackled and subjected to other physical restrictions (A/HRC/13/39/Add.4, para. 76 (f)).",
"49. There is currently no universal instrument that provides for an acceptable minimum size of cells, although domestic and regional jurisdictions sometimes rule on the matter. According to the decision of the European Court of Human Rights in Ramírez v. France, a cell of 6.84 square metres is “sufficient” to house a single person. The Court did not elaborate on why such an area could be considered sufficient; the Special Rapporteur respectfully expressed his disagreement, especially if the individual cell should also include at least toilet and washing equipment, a bed and a table.",
"50. The existence of windows and lights is also of critical importance in terms of the proper treatment of detainees held in solitary confinement. Article 11 of the Standard Minimum Rules for the Treatment of Prisoners provides that there shall be sufficient light to enable detainees to work or read, and whether or not there is an artificial ventilation facility, a window shall be opened for air circulation. However, State practice shows that this standard is often not met. In Georgia, for example, the opening of windows in solitary confinement cells was found to have steel slabs welded to the outside iron bars, limiting light and ventilation (E/CN.4/2006/6/Add.3, para. 47). In Israel, the only source of light in solitary confinement cells is often fluorescent light bulbs, with no fresh air. [28]",
"51. Articles 12 and 13 of the Standard Minimum Rules provide that detention facilities should provide adequate fixed sanitation facilities for the personal hygiene of detainees. As a result, the cells used for solitary confinement should house toilets and washbasins. In its 2006 report on Greece, the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment (CPT) noted that the isolation cells in Komotini prison did not meet the necessary minimum standards of sanitation, as detainees were forced to use toilets as a washbasin. Other environmental factors, such as temperature, level of noise, privacy and soft materials for room furniture, are also involved in the placement of solitary confinement.",
"2. Prison system",
"52. The main aspects of the prison system to be taken into account in assessing the conditions of solitary confinement include the existence of outdoor exercise and fitness programmes, the availability of meaningful contact in the prison and the availability of contact with the outside world. In accordance with article 21 of the Standard Minimum Rules for the Treatment of Prisoners, every prisoner who does not take part in outdoor work shall have at least one hour per day in the open air for appropriate exercise, provided that the weather is suitable. Similarly, the European Committee for the Prevention of Torture (CPT) stressed that all prisoners, without exception, should have the opportunity to exercise one hour a day in the open air. However, State practice shows that these standards are not always complied with. In Jordan, for example, one detainee was allowed to spend only one hour per week outdoors (A/HRC/4/33/Add.3, enclosure, para. 21). In Poltrotsky v. Ukraine, the European Court of Human Rights found that the lack of opportunities for outdoor exercise, coupled with the lack of access to natural light, constituted a violation of article 3 of the European Convention on Human Rights. [32]",
"53. Access to meaningful personal and external contact within prisons is also critical to the mental health of detainees in solitary confinement, especially for those in prolonged detention. In prisons, such contact may be with health professionals, prison guards or other prisoners. Contacts with the outside world include visits by legal counsel, family and friends, mail and telephone calls, as well as access to reading materials, television or radio. Article 17 of the International Covenant on Civil and Political Rights gives prisoners the right to contact their families and to receive and send correspondence. In addition, the Standard Minimum Rules for the Treatment of Prisoners provide for various external incentives (articles 21 on gymnastics and sports, 37 to 39 on contact with the outside world, 40 on books, 41 and 42 on religion, 71 to 76 on work, 77 and 78 on education and recreation and 79 to 81 on social relations and aftercare).",
"3. Social segregation",
"54. Isolation reduces meaningful social contact to an absolute minimum. The resulting level of social incentives for individuals is not sufficient to maintain a reasonable state of mental health. [33]",
"55. Research has shown that people will soon be unable to maintain adequate vigilance and attention to their environment once they are deprived of an adequate level of social stimulus. Indeed, even solitary confinement for a few days can lead to an abnormal state of mind activity that is characterized by mental discomfort and dementia. [34] Advances in new technologies have made it possible to indirectly monitor and maintain close surveillance of people without much human interaction. According to the European Court of Human Rights, “complete sensory isolation, coupled with complete social isolation, may destroy personality and constitute a form of inhuman treatment that cannot be justified on security or any other grounds”. [35]",
"56. According to the European Court of Human Rights, States should also take steps to reduce the negative impact of solitary confinement. [36] This regime cannot continue as long as the harmful effects of solitary confinement on a particular individual are known. [37] The conditions of imprisonment are also relevant in this respect, as when they are not justified, the Court considers that it is unlikely that the minimum threshold of gravity at which a violation of article 3 can be found would be exceeded. [38] Regular medical examinations may be a factor in determining whether there has been a violation of article 3. [39]",
"G. Prolonged or indefinite solitary confinement",
"The use of prolonged or indefinite solitary confinement has increased in all jurisdictions, especially on the grounds of the “war on terror” and “threats to national security”. Those punished by these two practices can be described as being in “prisons” and thus suffering from extreme forms of anxiety and exclusion, which clearly replaces normal detention. Because of their isolation, prisoners held in prolonged or indefinite solitary confinement can easily slip away from justice and it is often difficult to guarantee their rights, even in countries where the rule of law is strongly upheld. [40]",
"58. When a State fails to comply with the Standard Minimum Rules for the Treatment of Prisoners for a short period of time in solitary confinement, some debate may arise as to whether the adverse effects constitute cruel, inhuman or degrading treatment or punishment or torture. However, the longer solitary confinement lasts or the greater uncertainty about its duration, the greater the risk of serious and irreversible harm to prisoners, which may amount to cruel, inhuman or degrading treatment or punishment or even torture.",
"59. The uncertainty resulting from the lack of information about the duration of solitary confinement exacerbates the pain and suffering of the inmates. In some cases, persons may be held indefinitely in pretrial detention, thereby increasing the risk of other forms of cruel, inhuman or degrading treatment or punishment (art. CAT/C/DNK/CO/5, para.",
"Most studies do not specify how long solitary confinement lasts before it becomes prolonged. Although the sentence is uncertain, detainees may be held in solitary confinement for several weeks to many years. In Kazakhstan, for example, persons may be held in solitary confinement for more than two months (A/HRC/13/39/Add.3, para. 117). Some detainees have been held incommunicado in secret detention centres for many years without charge or trial, where isolation is an integral part of interrogation practices. In a joint report on the situation of detainees at Guantánamo Bay, the experts noted that, while 30 days of isolation was the maximum period allowed, some detainees were re-insulated after a short period of time after more than 18 months of isolation (E/CN.4/2006/120, para. 53).",
"61. There are currently no international standards on the maximum permissible total duration of solitary confinement. In A.B. v. Russia, the European Court of Human Rights held that the detention of a person in solitary confinement for three years constituted a violation of article 3 of the European Convention on Human Rights. By comparison, in the United States of America, a Louisiana prison reportedly held two prisoners incommunicado for 40 years after they attempted to file a judicial appeal against their conditions of detention. As noted in paragraph 26 of the present report, the Special Rapporteur considers that solitary confinement for more than 15 days constitutes prolonged solitary confinement.",
"H. Psychological and physical effects of solitary confinement",
"62. While solitary confinement can have a negative impact on health as long as it lasts for a few days, it increases health risks every day it is prolonged. Experts who have investigated the effects of solitary confinement have identified three common elements inherent in solitary confinement: social isolation, minimal environmental stimulation and “minimum social opportunities”. The findings further suggest that solitary confinement appears to cause “mental disorders”, a syndrome known as “prisonal mental illness”. [45] Symptoms may include anxiety, depression, anger, cognitive impairment, sensory distortion, paranoia and mental illness, and self-harm (see annex for a comprehensive list of symptoms).",
"Some experience symptoms that are unrelated, while others experience “a serious deterioration in their existing mental state or a mental illness that they have never seen before”. [46] Whatever the specific conditions, whenever and wherever they may have been, a significant number of people experience serious health problems.",
"I. Potential impact of solitary confinement",
"64. There is a lack of research on the potential impact of solitary confinement. Although the acute effects of solitary confinement generally recede after the end of the period of solitary confinement, some negative effects on health persist. The smallest irritation experienced during solitary confinement can reduce human brain activity after seven days. One study found that “up to seven days, the reduction in [brain activity] is reversible but not necessarily if it takes too long”. [47]",
"65. The study found that, after a long period of isolation, persistent sleep disorders, depression, anxiety, fear, emotional dependence, mental disorders, memory and attention loss persisted. In addition, long-term personality changes often lead to poor, isolated social life for those who have been held incommunicado and to a sense of discomfort and fear of being forced into social interaction. [48] The lack of willingness to engage in social interaction after a period of solitary confinement often prevents people from successfully adjusting their lives in order to interact with the prison population and seriously affects their ability to reintegrate into society after serving their sentences. [49]",
"J. Vulnerable people",
"1. Adolescents",
"66. United Nations treaty bodies have unanimously recommended that solitary confinement of juvenile offenders, children or minors should not be imposed (CAT/C/MAC/CO/4, para. 8; CAT/OP/PRY/1, para. 185; CRC/C/15/Add.151, para. 41; and CRC/C/15/Add.232, para. 36 (a)). The use of solitary confinement of juveniles is often used as a disciplinary measure or in order to separate them from adult prisoners, as international human rights law prohibits the mixing of juveniles with adult prisoners. [50] Regrettably, solitary confinement as a form of punishment for detained juveniles has been widespread in some countries, such as Jamaica (A/HRC/16/52/Add.3, para. 211), Paraguay (A/HRC/7/3/Add.3, enclosure I, para. 46) and Papua New Guinea (A/HRC/16/52/Add.5, enclosure). With regard to disciplinary measures, one report indicated that solitary confinement did not reduce violence among juvenile detainees in youth prisons. [51]",
"Persons with disabilities",
"67. In some jurisdictions, solitary confinement of persons with disabilities is used as appropriate medical or psychiatric care, or because of the lack of alternative detention facilities. These persons do not necessarily pose a threat to others or to themselves, but they are vulnerable to abuse and are often seen as an interference with other prisoners and prison staff. [52]",
"68. Studies have shown that solitary confinement often results in a significant increase in pre-existing mental health conditions for persons with mental disabilities. [53] The isolation of prisoners with mental health problems is rapidly deteriorating. [54] The adverse effects of solitary confinement are particularly evident for persons with serious mental health problems, often characterized by psychiatric symptoms and/or apparent functional impairments. [55] Some would take extreme action, such as self-harm, or even suicide. 54",
"3. Lesbian, gay, bisexual and transgender persons",
"Incommunicado detention as a form of “protective custody” is frequently practised on LGBT persons. [56] While the segregation of lesbian, gay, bisexual and transgender persons is necessary for security reasons, the status of lesbian, gay, bisexual and transgender persons cannot justify limiting their social behaviour (e.g. access to recreational activities, reading materials, legal counsel or doctors).",
"K. When solitary confinement constitutes torture or other cruel, inhuman or degrading treatment or punishment",
"70. The lack of witnesses increases the risk of torture and other cruel, inhuman or degrading treatment or punishment. Given that solitary confinement can have a serious adverse impact on health, its use can in itself constitute an act prohibited by article 7 of the International Covenant on Civil and Political Rights, torture as defined in article 1 of the Convention against Torture or cruel, inhuman or degrading punishment as defined in article 16 of the Convention.",
"71. In assessing whether solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment, all relevant circumstances should be considered on a case-by-case basis. These situations include the purpose, conditions, duration and effects of the imposition of solitary confinement and, of course, subjective conditions that make each victim more or less vulnerable to such effects. The present section of the report discusses situations in which the use of solitary confinement constitutes torture and other cruel, inhuman or degrading treatment or punishment.",
"72. When solitary confinement is used for the purpose of punishment, it cannot be justified on any grounds given; this is precisely because the severe mental pain and suffering inflicted by solitary confinement exceeds any reasonable punishment for the offence, thus constituting an act as defined in articles 1 or 16 of the Convention against Torture, in violation of article 7 of the International Covenant on Civil and Political Rights. This also applies when solitary confinement is imposed for breach of prison discipline, provided that the suffering and suffering experienced by the victim is of the necessary gravity.",
"73. While physical and social isolation may be necessary in certain circumstances during criminal investigations, the practice of solitary confinement during pre-trial detention creates a de facto psychological stress situation that may have an impact on the detainee to confess or make statements to the detriment of others and undermines the integrity of the investigation. The deliberate use of solitary confinement as a means of obtaining information or of obtaining confessions during pretrial detention constitutes torture as defined in article 1 of the Convention against Torture or cruel, inhuman or other degrading treatment or punishment as defined in article 16, in violation of article 7 of the International Covenant on Civil and Political Rights.",
"74. The conditions of solitary confinement constitute torture or cruel and inhuman treatment, as defined in articles 1 and 16 of the Convention against Torture, in violation of article 7 of the International Covenant on Civil and Political Rights, when the material conditions of solitary confinement are very poor and the system is very harsh, resulting in severe mental and physical pain or suffering to the sentenced person.",
"75. The use of solitary confinement may be accepted only in exceptional circumstances and for the shortest possible period of time, and a fixed time limit must be declared and communicated in an appropriate manner. In view of the harmful effects of indefinite solitary confinement, the possibility that it may be used to obtain information or facilitate confessions during pre-trial detention, and the uncertainty that prevents the use of a remedy to challenge it, the Special Rapporteur concludes that the indefinite imposition of solitary confinement violates the right to due process of law of the individuals concerned (International Covenant on Civil and Political Rights, art. 9), articles 1 and 16 of the Convention against Torture and article 7 of the International Covenant on Civil and Political Rights.",
"The Special Rapporteur states that the practice of social segregation is contrary to article 10, paragraph 3, of the International Covenant on Civil and Political Rights, which provides that “the prison system shall include treatment for the basic purpose of the rehabilitation and social rehabilitation of prisoners” (General Assembly resolution 2200 (XXI), annex). The prolonged isolation does not facilitate the demobilization or social reintegration of detainees (E/CN.4/2006/6/Add.4, para. 48). The acute and potentially adverse psychological and physical effects of prolonged solitary confinement constitute severe mental pain or suffering. The Special Rapporteur therefore endorses the position taken by the Convention against Torture in its general comment No. 20 that prolonged incommunicado detention constitutes an act prohibited by article 7 of the International Covenant on Civil and Political Rights and thus an act defined by article 1 or article 16 of the Convention against Torture. For these reasons, the Special Rapporteur reiterates his view that under the circumstances, the imposition of solitary confinement for more than 15 days constitutes torture or cruel, inhuman or degrading treatment or punishment. He called on the international community to reach agreement on such a standard and to strictly prohibit solitary confinement for more than 15 consecutive days.",
"77. With regard to adolescents, the preamble to the Declaration on the Rights of the Child and the Convention on the Rights of the Child states that adolescents need special protection and care, including appropriate legal protection, given their lack of physical and mental maturity. Article 19 of the Convention on the Rights of the Child (General Assembly resolution 44/25) requires States parties “to take all appropriate legislative, administrative, social and educational measures to protect children from all forms of physical or mental violence ...”. In its general comment No. 8, the Committee on the Rights of the Child stated that “there is no ambiguity: `any form of physical or mental violence' does not provide any room for the legitimization of any degree of violence against children” (CRC/C/GC/8, para. General Assembly resolution 45/113 of 14 December 1990, entitled “United Nations Rules for the Protection of Juveniles Deprived of their Liberty”, provides in paragraph 67 that “any disciplinary measures which constitute cruel, inhuman or degrading treatment, including ... solitary confinement or any other punishment prejudicial to the physical or mental health of the juvenile concerned, shall be strictly prohibited” (see also CRC/C/GC/10, para. The Special Rapporteur therefore considers that the practice of solitary confinement of juveniles, however prolonged, constitutes cruel, inhuman or degrading treatment, in violation of article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.",
"78. The right to humanity and respect for the inherent dignity of persons with mental disabilities guaranteed by article 10 of the International Covenant on Civil and Political Rights shall As interpreted in accordance with the Principles for the Protection of Persons with Mental Illness and the Improvement of Mental Health Care adopted by the General Assembly on 17 December 1991 (General Assembly resolution 46/119, annex). Given their intellectual impairment and the fact that solitary confinement often seriously deteriorates the pre-existing mental state, the Special Rapporteur considers that solitary confinement of persons with mental disabilities, regardless of its duration, is cruel, inhuman or degrading treatment, in violation of article 7 of the International Covenant on Civil and Political Rights and article 16 of the Convention against Torture.",
"IV. Conclusions and recommendations",
"Conclusions",
"79. The Special Rapporteur emphasizes that solitary confinement is a harsh measure that, regardless of its specific conditions, can have serious adverse psychological and physical effects on persons. He concludes that solitary confinement is contrary to one of the fundamental purposes of the prison system, namely to rehabilitate offenders and reintegrate them into society. The Special Rapporteur defines prolonged solitary confinement as any solitary confinement lasting longer than 15 days.",
"80. On the basis of specific grounds, conditions, duration, effects and other circumstances, solitary confinement can constitute a violation of article 7 of the International Covenant on Civil and Political Rights, as well as an act defined in articles 1 or 16 of the Convention against Torture. Furthermore, the use of solitary confinement increases the risk of torture and other cruel, inhuman or degrading treatment or punishment being carried out in a manner that is not easily detectable and unchallenged.",
"81. The use of solitary confinement as a punishment during pretrial detention may amount to torture or cruel, inhuman or degrading treatment or punishment, taking into account the severe mental pain or suffering that may result from its indefinite or prolonged use as a punishment for juveniles or persons with mental disabilities. The Special Rapporteur considers that the material conditions of solitary confinement and the prison system do not meet the level of respect for the inherent dignity of the human person and cause severe mental and physical pain or suffering, amount to cruel, inhuman or degrading treatment or punishment.",
"Recommendations",
"82. The Special Rapporteur calls upon States to respect and protect the rights of persons deprived of their liberty while maintaining security and order in places of detention. He recommends that States regularly review the system of solitary confinement. In this regard, the Special Rapporteur reiterates that States should make use of the Istanbul Declaration on the Use and Effects of Incommunicado Detention as a useful tool in their efforts to promote respect for and protection of the rights of detainees.",
"83. The Special Rapporteur calls upon States to ensure that all persons deprived of their liberty are treated with humanity and respect for the inherent dignity of the human person protected by article 10, paragraph 1, of the International Covenant on Civil and Political Rights. The Special Rapporteur refers to the Standard Minimum Rules for the Treatment of Prisoners and recommends that States increase the level of meaningful psychosocial contact of detainees held incommunicado.",
"84. The Special Rapporteur urges States to prohibit the use of solitary confinement as a punishment, whether as part of judicial sentencing or disciplinary measures. He recommends that States design and implement alternative disciplinary measures to avoid the use of solitary confinement.",
"85. States should take the necessary steps to put an end to the use of solitary confinement during pretrial detention. The use of solitary confinement as a technique for extracting confessions during pretrial detention should be abolished. States should take effective measures at the pre-trial stage to improve the efficiency of investigations and introduce alternative control measures to separate individuals, protect ongoing investigations and avoid collusion among detainees.",
"86. States should abolish the use of solitary confinement for juveniles and persons with mental disabilities. With regard to disciplinary measures against juveniles, the Special Rapporteur recommends that States take other measures that do not involve the use of solitary confinement. With regard to the use of solitary confinement for persons with mental disabilities, the Special Rapporteur emphasizes that in certain circumstances it may be necessary for their own safe physical isolation, but that solitary confinement should still be strictly prohibited.",
"87. Indefinite solitary confinement should be abolished.",
"88. It is clear that short-term solitary confinement may amount to torture or cruel, inhuman or degrading treatment or punishment; however, in other cases it may be a legitimate means, provided that there are adequate safeguards. In the view of the Special Rapporteur, prolonged solitary confinement for more than 15 days should be absolutely prohibited.",
"89. The Special Rapporteur reiterates that solitary confinement should be used only in very exceptional circumstances and only as a last resort and for the shortest possible period of time. He stressed that minimum procedural safeguards must be followed when solitary confinement was used in exceptional circumstances. These safeguards reduce the arbitrary or excessive use of solitary confinement, for example in cases of prolonged or indefinite detention. This is all the more important in situations of detention where due process protection is limited, such as administrative immigration detention. Minimum procedural safeguards should be interpreted in the manner that affords the maximum protection to the rights of detainees. In this regard, the Special Rapporteur urges States to apply the following guiding principles and procedural safeguards.",
"Guiding principles",
"90. Throughout the period of detention, the material conditions of solitary confinement and the prison system, in particular the duration of detention, must be commensurate with the seriousness of the offence or disciplinary offence for which solitary confinement is directed.",
"91. The material conditions of solitary confinement and the prison system must be used as a last resort only when less restrictive measures fail to meet the expected objectives of disciplinary action.",
"92. Detention incommunicado must never be imposed or allowed to continue, unless it can be ascertained with certainty that it does not cause severe physical or mental pain or suffering and does not result in acts as defined in articles 1 or 16 of the Convention against Torture.",
"93. All assessments and decisions relating to the imposition of solitary confinement must be clearly documented and readily available to detainees and their legal counsel. These include the identity and title of the person in power who exercises solitary confinement, the source of the legal attributes of its imposition, the statement justifying the imposition of solitary confinement, the duration of the period, the reasons for determining that solitary confinement is appropriate in the light of the detainee ' s mental and physical state of health, the reasons for determining that solitary confinement is a violation, reports on the periodic review of the grounds for solitary confinement, and a medical assessment of the detainee ' s mental and physical health.",
"Internal safeguards",
"94. From the time of the imposition of solitary confinement, the grounds and duration of solitary confinement should be recorded and made public to the detainee at all stages of the review of solitary confinement and the decision to extend or terminate it. In addition, detainees should be informed of what they must do if they are to be released from solitary confinement. According to rule 35 of the Standard Minimum Rules for the Treatment of Prisoners, detainees must have access to this information in a language that they can understand. In addition, this information must be provided to any legal representative of the detainee.",
"95. There should be a system of regular review of the reasons for the imposition of solitary confinement. The review should be conducted in good faith and by an independent body. As soon as the factors justifying the imposition of solitary confinement change, a review of the solitary confinement of the detainee should be triggered immediately. All review processes must be documented.",
"96. Persons in solitary confinement must be provided with a real opportunity to challenge the nature of the practice and its underlying reasons through administrative review procedures. At the beginning of the practice of solitary confinement, detainees must be told what crimes or disciplinary acts they are alleged to have committed, and must be given an immediate opportunity to challenge the reasons for their detention. Following the imposition of solitary confinement, the detainee must have the opportunity to lodge a complaint with the prison administration through an internal or administrative complaints system.",
"97. No restrictions should be placed on requests or complaints, such as requests for evidence of mental or emotional suffering and physical suffering. Prison officials are obliged to process all requests or complaints in a timely manner and to inform the detainee of the outcome. All internal administrative findings are subject to external appeals through judicial proceedings.",
"External safeguards",
"98. Detainees held in solitary confinement must be given a real opportunity to challenge, through the courts, the nature of the practice and its underlying reasons. This requires the right to appeal all final decisions of prison authorities and administrative bodies to an independent judicial body competent to review the legality of the nature of solitary confinement and its underlying grounds. Thereafter, detainees must have the opportunity to appeal these judgements to the highest organs of State power; after exhaustion of domestic remedies, they may seek review by regional or global human rights bodies.",
"99. Individuals must have free access to qualified legal counsel throughout their incommunicado detention. Access to an interpreter must be provided when it is necessary to facilitate full and open communication between detainees and their legal counsel.",
"100. In accordance with article 32, paragraph 3, of the Standard Minimum Rules for the Treatment of Prisoners, there should be a system of regular monitoring and review of the physical and mental state of prisoners by qualified medical personnel at the beginning of solitary confinement and by detainees on a daily basis throughout the period of solitary confinement. Medical personnel responsible for monitoring detainees should receive specialized training in psychological assessment and/or support from psychologists. In addition, medical personnel must be independent and accountable to authorities outside the prison administration. They should preferably belong to the general health structure of the State. Any deterioration of the prisoner ' s mental or physical condition should trigger the assumption that the conditions of imprisonment are excessive and should be reviewed immediately.",
"101. In addition, medical personnel should inspect the material conditions of detention of prisoners in accordance with article 26 of the Standard Minimum Rules for the Treatment of Prisoners. Relevant considerations include the hygiene and cleaning of institutions and prisoners; the heating, lighting and ventilation of cells; the adequacy of clothing and bedding; the availability of food and water; and compliance with the rules on physical exercise.",
"Annex:",
"Effects of social coordination",
"(a) Sharon Shalev, A Solacebook on Solar Confinement, Manneim Centre for Criminology, (2008), pp. 15-17; also Peter Scharff Smith, “The effects of solitary confination on policies: a brilliant history and review of the relationship, crime and justice, vol. 34, p. 441.",
"Many solutions may be given themselves in individuals held in social relations, both concurent with their social situation and after the superadvantage of solitary confining has been replaced by Dr. Sharon Shalev.",
"Anxiety, rading from feelings of interpretation to full-blow panic aids",
"It's not like you're in trouble.",
"• Irritability or anxiomaticness",
"Fear of impinging death",
"Panic Attacks",
"Dépérsion, varying from low food to clinial depression",
"Emotional flatness/bling – loss of integrity to have any `feelings'",
"• Wood Swings",
"• Hopelessness",
"• Social intervention of activity or ideas;",
"Major depression",
"Ander, changing from naturality to full-blowing",
"• Irritability and hospitability",
"• Poor impulse control",
"• Outbursts of physical and verbal history against others, self and objects",
"Unprovoked angler, sometimes married as broad",
"Cognitions, rading from locking of communication to compromised state",
"Short attention",
"• Poor communication",
"Poor memory",
"Confused thought about issues;",
"Personal disputes, rading from hypersenticity to hallucations",
"• Hypersensity to noises and smells",
"(e.g., walking in)",
"Dissolvement in time and space",
"• Depersonation/dealization",
"Hallucing all five senses (e.g., hallucations of subjects or people seeing in the cell, or hearing voices when no one is actually speaking)",
"Paranoia and psychosis, rading from obsecular thoughts to full-blow psychosis",
"Recurrent and presidential thoughts, of a voluntary nature.",
"Paranoid ideas – often personal",
"Psychotics or states: psychotic depression, schizophrenia",
"Self-directed agreement",
"Self-mission and cutting",
"Suicide attempts",
"[1] Alexandra Naday, Joshua D. Freilich and Jeff Mellow, “The Elusive Data on Supermax Construction”, The Mason Journal, vol. 88, No. 1, p. 69 (2008).",
"[2] Peter Scharff Smith, “The effects of solitary communication on health issues: a brain history and review of the situation”, Crime and Justice, vol. 34, p. 441.",
"[3] Dr. Jeffrey L. Metzner and Jamie Fellner, “Solitary Confinement and Multilness in U.S. Prisions: A Challenge for Medical Studies”, The Journal of the American Society of Psychiatry and the Law, vol. 38, pp. 104-108 (2010).",
"[4] Sharon Shalev, Businessbook on Solar Confinement, Mannheim Centre for Criminology, 2008, p. 1.",
"[5] Ken Strutin, “Solitary Communication”, LLRX.com, published 10 August 2010.",
"[6] Haney, “Mental Health Issues in Long-Term Solidary and `Supermax'Confinement, Crime and Delinquency”, vol. 49, No. 1, pp. 124-156.",
"[7] Human Rights Committee (International Covenant on Civil and Political Rights), general comment No. 20 (A/47/40, annex VI.A), article 7 (Prohibition of torture or other cruel, inhuman or degrading treatment or punishment), 10 March 1992.",
"[8] Iorgov v. Bulgaria, Application No. 40653/98, European Court of Human Rights, para. 84 (2004); G.B. v. Bulgaria, Application No. 42346/98, European Court of Justice, para.",
"[9] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights, para. 108 (2010).",
"[10] Palushi v. Austria, Application No. 27900/04, European Court of Human Rights, paras. 72 and 73 (2009).",
"[11] A.B. v. Russia, para.",
"[12] Onoufriou v. Cyprus, Application No. 24407/04, European Court of Human Rights, para. 80 (2010).",
"[13] Ocalan v. Turkey, Application No. 462221/99, European Court of Human Rights, para. 196 (2005).",
"[14] Rohde v. Denmark, Application No. 69332/01, European Court of Human Rights, para. 97 (2005).",
"[15] Ramirez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, paras. 105, 106 and 135 (2006).",
"[16] Ibid., para.",
"[17] Velázquez-Rodríguez v. Honduras, Inter-American Court of Human Rights, Series C, No. 4, para. 156 (1988).",
"[18] Loayza-Tamayo v. Peru, Inter-American Court of Human Rights, Series C, No. 33, para. 58 (1997).",
"[19] Cantoral-Benavides v. Peru, Inter-American Court of Human Rights, Series C, No. 69, paras. 62 and 104 (2000).",
"[20] Suárez-Rosero v. Ecuador, Inter-American Court of Human Rights, Series C, No. 35, paras. 51-56 (1997).",
"[21] Report on the Human Rights Situation in Mexico, Inter-American Commission on Human Rights, OEA/Ser.L/V/II.100, para. 254 (2008).",
"[22] Halev, op. cit., para. 25.",
"[23] Shalev, op. cit., paras. 25 and 26.",
"[24] Peter Scharff Smith, “Solitary Conference: An introduction to the Islamic State on the Use and Effects of Somalia”, Journal on Rehabilitation of Torture Victims and Protection of Torture, vol. 18, p. 56 (2008).",
"[25] Shalev, op. cit., p. 26.",
"[26] Peter Scharff Smith, “Solitary Communication: An integration to the Istanbul State on the Use and Effects of Somalia”, para.",
"[27] Ramirez Sanchez v. France, Application No. 59450/00, European Court of Human Rights, para. 102 (2006).",
"[28] Solidary Desertification of Persons and Technologies in Israel Prisons, Joint Project of Adalah, Al Mezan (Gaza) and Physicians for Human Rights (Israel, June 2011).",
"[29] Shalev, op. cit., para.",
"[30] Council of Europe Committee for the Prevention of Torture, report to the Government of Greece on the visit of the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment to Greece, 20 December 2006 (CPT/Inf (2006), para.",
"[31] Council of Europe, “CPT Standards” (CPT/Inf/E (2002) 1 - Rev. 2010), sect. II, para.",
"[32] Poltrotsky v. Ukraine, p. 146 (ECHR 2003-V).",
"[33] Peter Scharff Smith, “The Effects of Somalia Confining on Mason Industries”, Crime and Justice (2006), vol. 34, p. 449.",
"[34] Stuart Grassian, “Psychiatric Effects of Somalia”, Journal of Law and Policy (2006), vol. 22, p. 325.",
"[35] Ilaşcu et al. v. Moldova and Russia, Application No. 48787/99, European Court of Human Rights (2004), para.",
"[36] Mathew v. The Netherlands, Application No. 24919/03, para.",
"[37] G.B. v. Bulgaria, para.",
"[38] Valasinas v. Lithuania, Application No. 44558/98, European Court of Human Rights (2001), p. 112; Ocalan v. Turkey, para.",
"[39] Rohde v. Denmark, para.",
"[40] Peter Scharff Smith, “Solitary Conference: An introduction to the Istanbul State on the Use and Effects of Somalia”, p. 1.",
"[41] Shalev, op. cit., p. 2.",
"[42] A.B. v. Russia, Application No. 1439/06, European Court of Human Rights (2010), para.",
"[43] “USA: The Cruel and Inhumane Treaty of Albert Woodfox and Herman Wallace”, Amnesty International (2001).",
"[44] Stuart Grassian, “Psychiatric Effects of Somalia” (1993), p. 1.",
"[45] Ibid., p. 8.",
"[46] Ibid., p. 2.",
"[47] Ibid., p. 20.",
"[48] Shalev, op. cit., pp. 13 and 22.",
"[49] Stuart Gassian, “Psychiatric Effects of Somalia”, pp. 332 and 333.",
"[50] Convention on the Rights of the Child, article 37 (c); United Nations Standard Minimum Rules for the Treatment of Prisoners, article 8 (d).",
"[51] Robert Wildeboer, “The Impact of Solidary Construction in a Youth Platform”, Inside and Out (Chicago, 2010).",
"[52] Shalev, op. cit., p. 26.",
"[53] Stuart Grassian, “Psychiatric Effects of Somalia”, Shalev, op. cit., p. 10.",
"[54] U.S. Civil Liberties Union, “Abuse of the Human Rights of Persons in the United States: Civil Defence” (2011).",
"[55] Dr. Jeffrey L. Metyner and Jamie Fellner, Solidary Confinement and Multilness in U.S. Prisions: A Challenge for Medical Ethics, The Journal of the American Society of Psychiatry and the Law, vol. 38, pp. 104-108, 2010.",
"[56] Healthland Alliance National Internet Justice Center, letter dated 16 June 2011 to the Special Rapporteur on torture."
] |
[
"第六十六届会议",
"^(*) A/66/150。",
"临时议程^(*) 项目133和134",
"2010-2011两年期方案预算",
"2012-2013两年期拟议方案预算",
"联合国合办工作人员养恤基金的管理费用和按照国际公共部门会计准则提交基金财务报告的过渡措施",
"联合国工作人员养恤金联合委员会的报告",
"目录",
"页次 \n1.概述 4 \n2.2010-2011两年期预算估计数：执行情况报告 4 \nA.行政费用 7 \nB.投资费用 12 \nC.审计费用 16 \nD.联委会费用 16 \nE.预算外费用 16 \n3.2012-2013两年期概算：成果预算框架和所需资源分析 16 \nA.导言 16 \nB.行政费用 25 \nC.投资费用 48 \nD.审计费用 64 \nE.联委会费用 65 \n4.紧急基金 66 \n5.为在2012年1月1日前执行国际公共部门会计准则所建议的临时措施 66 \n6.有待大会采取的行动 67 7.为执行审计委员会以及行政和预算问题咨询委员会的各项要求和建议而采取的 67 \n后续行动总表 \nA.行政和预算问题咨询委员会 67 \nB.审计委员会 69 \n 附件 \n1.联合国工作人员养恤金联合委员会关于2010-2011两年期订正预算估计数和2012-2013两年期预算估计数的讨论 76\t\n2.联合国合办工作人员养恤基金：2010-2011两年期核定组织结构图 90\t\n3.联合国合办工作人员养恤基金：2012-2013两年期拟议组织结构图 91\t4.联合国合办工作人员养恤基金：截至2010年12月31日按成员组织开列的参加 92 \n 人数",
"摘要 \n本报告载列联合国合办工作人员养恤基金2010-2011两年期订正预算，其中显示批款减少21772 800美元。减少的是以下支出数额：行政费用(11 830000美元)、投资费用(9 908 500美元)和审计费用(112100美元)。养恤金联委会费用增加77800美元，部分抵消了减少的支出。因此，2010-2011两年期订正批款为154 545700美元，用作行政费用(80 478 500美元)、投资费用(71 289000美元)、审计费用(2 532 900美元)和联委会费用(245300美元)。根据费用分摊安排，其中21 508 700美元应由联合国分担。\n本报告还载列2012年1月1日至2013年12月31日期间的预算估计数，数额为191620 600美元(重计费用前)，用作行政费用(96 873 100美元)、投资费用(91799 300美元)、审计费用(2 748 200美元)和养恤金联委会费用(200000美元)。本报告总共为227个连续性员额、17个临时员额、7个新设员额和1个员额的改叙提供费用。 所需资源 +---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------++---------------+------------+------------+---+----------+----------+\t类别行政^(a,b)投资审计养恤金联委会共计\t资源(千美元)2010-2011年92 308.581 197.52 645.0167.5176 318.5\t2012-2013年(重计费用前)96 873.191 799.32 748.2200.0191 620.6\t2010-2011年18858246\t员额\t2012-2013年18765252 ^(a) 由成员组织提供经费的1个预算外一般事务(其他职等)员额。 \n^(b)包括18个养恤金综合管理系统临时员额；2011年裁撤了1个P-4职等员额。",
"一. 概述",
"1. 联合国合办工作人员养恤基金是大会1949年为向联合国和被接纳为成员的其他组织的工作人员发放退休金、死亡抚恤金、残疾抚恤金和有关补助金而设，目前共有成员组织23个。截至2010年12月31日，在职参与人和养恤金领取人合计184 968人。",
"2. 根据大会通过的《条例》，基金由联合国工作人员养恤金联合委员会、每个成员组织的工作人员养恤金委员会、联委会秘书处和每个成员组织工作人员养恤金委员会的秘书处管理。养恤金联委会三分之一成员由大会和其他成员组织相应的理事机构遴选，三分之一由各行政首长遴选，三分之一由参与人遴选。联委会向大会报告基金的业务及资产投资情况。必要时，联委会建议修正《条例》，后者除其他外，规定参与人的缴款比例(目前为应计养恤金薪酬的7.9%)和各成员组织的缴款比例(目前为15.8%)、参与资格以及参与人及其受养人可能有权领取的养恤金。",
"二. 2010-2011两年期预算估计数：执行情况报告",
"3. 表1汇总了2010-2011两年期的支出估计数总额。为了使基金执行情况报告更有意义，本两年期支出由两个不同的部分组成：(a) 2010年1月1日至2011年5月31日17个月期间的实际支出；(b) 2011年6月1日至12月31日7个月期间的支出估计数。2011年1月1日至5月31日期间的实际支出是按权责发生制会计方法确定，意即交易和其他事项是于发生时在财务报表中予以确认，而不是于收到或支付现金或现金等价物时确认。",
"4. 大会在第64/245号决议中核准为2010-2011两年期批款共计176 318 500美元，包括行政费用(92 281 400美元)、投资费用(81 292 000美元)、审计费用(2 645 000美元)和联委会费用(100 000美元)。在这笔批款中，154 749 100美元直接由基金负担，21 569 400美元由联合国分担。此外，还核准作为预算外费用的资源158 200美元，由若干成员组织提供。大会在第65/249号决议核可为满足基金的需要而调拨批款。订正批款包括行政费用(92 308 500美元)、投资费用(81 197 500美元)、审计费用(2 645 000美元)和联委会费用(167 500美元)。直接由基金负担的数额和由联合国分担的份额保持不变，分别为154 749 100美元和21 569 400美元。",
"表1 按支出用途开列的2010-2011两年期订正估计数",
"(千美元)",
"核定批款 2010年1月1日至2011年 2011年6月1日至12月31日 2010-2011两年期的 2010-2011年 5月31日17个月期间的支出 7个月期间的支出估计数 增/(减) 拟议最后批款\n 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计 养恤金 联合国 共计",
"(a) (b) (c) (d)=(b)+(c)-(a) (e)=(a)+(d)",
"行政费用",
"员额 26 386.6 12 344.8 38 16 442.4 7 739.9 24 8 213.8 3 829.8 12 (1 730.4) (775.1) (2 505.5) 24 656.2 11 36 731.4 182.3 043.6 569.7 225.9",
"临时员额 2 870.3 — 2 870.3 807.1 — 807.1 258.0 — 258.0 (1 805.2) — (1 805.2) 1 065.1 — 1 065.1",
"其他工作人员费用 2 830.8 1 202.0 4 032.8 1 958.8 932.6 2 891.4 1 260.5 538.6 1 799.1 388.5 269.2 657.7 3 219.3 1 471.2 4 690.5",
"咨询人 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (199.1) 338.5 — 338.5",
"差旅 1 360.6 — 1 360.6 907.2 — 907.2 389.9 — 389.9 (63.5) — (63.5) 1 297.1 — 1 297.1",
"订约承办事务 21 908.3 3 851.7 25 12 144.7 3 163.6 15 2 651.8 521.5 3 173.3 (7 111.8) (166.6) (7 278.4) 14 796.5 3 685.1 18 760.0 308.3 481.6",
"招待费 4.0 — 4.0 4.3 — 4.3 1.0 — 1.0 1.3 — 1.3 5.3 — 5.3",
"一般业务费用 9 581.6 3 220.1 12 6 703.9 3 125.8 9 829.7 4 442.8 712.1 5 154.9 1 565.1 617.8 2 182.9 11 146.7 3 837.9 14 801.7 984.6",
"用品和材料 140.1 70.0 210.1 252.4 55.1 307.5 54.9 27.5 82.4 167.2 12.6 179.8 307.3 82.6 389.9",
"家具和设备 5 560.0 440.0 6 000.0 481.5 114.1 595.6 2 078.5 325.9 2 404.4 (3 000.0) (3 000.0) 2 560.0 440.0 3 000.0",
"共计 71 179.9 21 128.6 92 39 908.2 15 55 19 483.8 5 955.4 25 (11 787.9) (42.1) (11 59 392.0 21 80 308.5 131.1 039.3 439.2 830.0) 086.5 478.5",
"投资费用",
"员额 15 344.0 15 9 115.1 — 9 115.1 5 275.5 — 5 275.5 (953.4) — (953.4) 14 390.6 — 14 344.0 390.6",
"其他工作人员费用 2 361.8 2 361.8 753.4 — 753.4 1 738.7 — 1 738.7 130.3 — 130.3 2 492.1 — 2 492.1",
"咨询人 2 328.8 2 328.8 702.6 — 702.6 1 626.2 — 1 626.2 — 2 328.8 — 2 328.8",
"差旅 2 000.0 2 000.0 1 100.6 — 1 100.6 610.4 — 610.4 (289.0) — (289.0) 1 711.0 — 1 711.0",
"订约承办事务 52 878.9 52 32 839.7 — 32 11 594.0 — 11 (8 445.2) — (8 445.2) 44 433.7 — 44 878.9 839.7 594.0 433.7",
"招待费 22.0 22.0 20.4 — 20.4 3.0 — 3.0 1.4 — 1.4 23.4 — 23.4",
"一般业务费用 5 402.0 5 402.0 2 787.4 — 2 787.4 2 283.5 — 2 283.5 (331.1) — (331.1) 5 070.9 — 5 070.9",
"用品和材料 160.0 160.0 53.8 — 53.8 105.8 — 105.8 (0.4) — (0.4) 159.6 — 159.6",
"家具和设备 700.0 700.0 218.6 — 218.6 460.3 — 460.3 (21.1) — (21.1) 678.9 — 678.9",
"共计 81 197.5 81 47 591.6 47 23 697.4 23 (9 908.5) (9 908.5) 71 289.0 71 197.5 591.6 697.4 289.0",
"审计费用",
"外部审计 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 551.0 110.2 661.2",
"内部审计 1 653.2 330.6 1 983.8 821.4 164.3 985.7 738.3 147.7 886.0 (93.5) (18.6) (112.1) 1 559.7 312.0 1 871.7",
"共计 2 204.2 440.8 2 645.0 1 066.0 213.2 1 279.2 1 044.7 209.0 1 253.7 (93.5) (18.6) (112.1) 2 110.7 422.2 2 532.9",
"联委会费用 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3",
"资源共计 154 749.1 21 569.4 176 88 765.2 15 104 44 271.8 6 164.4 50 (21 712.1) (60.7) (21 133 037.0 21 154 318.5 344.3 109.5 436.2 772.8) 508.7 545.7",
"预算外费用(离职后医疗保险制度)",
"业务活动 158.2 — 158.2 90.0 — 90.0 54.3 — 54.3 (13.9) — (13.9) 144.3 — 144.3",
"5. 核准了以下用途的订正批款：",
"(a) 行政费用：一般临时人员支出增加94 600美元，用以支付一个与实施国际公共部门会计准则(公共部门会计准则)有关的P-4职等员额的费用；",
"(b) 投资费用：订约承办事务费用减少94 600美元。",
"6. 2010-2011两年期支出总额估计为154 545 700美元，其中包括行政费用(80 478 500美元)、投资费用(71 289 000美元)、审计费用(2 532 900美元)和联委会费用(245 300美元)，由此导致节余21 772 800美元，相当于批款总额的12.3%。此外，预算外费用预计支出144 300美元，导致节余13 900美元，相当于批款的8.8%。",
"A. 行政费用",
"7. 行政费用估计为80 478 500美元，由此导致支出节余11 830 000美元，即12.8%。造成净节余的主要资源差异首先来自养恤金综合管理系统，原因是如第13至17段所述，对该系统的项目计划进行了改进，增加了新的基本活动，并安装了新的信息技术基础设施。养恤金综合管理系统项目是养恤基金的一个重大基本建设项目，因此，表2把2010-2011两年期的养恤金综合管理系统项目支出估计数与无关该项目的支出估计数着重分开列报。",
"8. 与养恤金综合管理系统无关的主要资源差异包括：",
"1. 员额—支出节余2 505 500美元",
"9. 节余主要归因于两年期之初的平均空缺率较高。",
"2. 其他工作人员费用—超支657 700美元",
"10. 支出超过预期的主要原因是，参与人、退休人员和其他受益人增加，导致工作量增加，因此需要一般临时人员。",
"3. 一般业务费用—超支2 182 900美元",
"11. 支出超过预期的主要原因是估计为2 500 000美元的银行手续费。提交联委会的2010-2011年预算估计数报告在一般业务费用类别下列入了银行手续费估计数。联委会经过审议，在提交大会的预算报告中删除了这项费用(见A/64/291，附件七，第34段)。用于养恤金支付的2 500 000美元银行手续费是以2008-2009年执行期的实际手续费为依据。",
"4. 2010-2011两年期举办的项目",
"12. 以下摘要介绍了在2010-2011两年期举办的信息技术项目的详细情况。",
"表2 2010-2011两年期项目情况",
"(千美元)",
"项目\t预计/实际完成日期\t批款\t支出估计数\t超支或(支出节余) \n养恤金综合管理系统\t2014年5月\t14 361400\t2 299 906\t(12 061494)\n成员组织信息共享举措\t2011年12月\t1 749773\t1 749 773\t－\n客户服务举措\t2011年12月\t469 671\t469 671\t－\n网络系统举措\t2011年12月\t1 709342\t1 709 342\t－\n企业系统举措\t2011年12月\t1 063280\t1 063 280\t－\n企业业务举措\t2011年12月\t1 031400\t1 031 400\t－\n与投资管理处的信息技术合并举措\t2011年12月\t461 633\t461 633\t－\n共计 20 846499\t8 785 005\t(12 061494)",
"养恤金综合管理系统",
"13. 2010-2011两年期，养恤基金继续执行该项目的主要基本任务，包括：(a) 为现有系统(养恤金管理系统和Lawson系统)建造一个全面的数据字典；(b) 为现有系统编制一份详细的数据分析报告；(c) 利用专门的“大宗”程序，并通过养恤金综合管理系统项目小组工作人员有关养恤金管理系统和Lawson系统数据库的工作来清洗数据；(d) 更新程序文件(以补充在项目的规划和设计阶段编制的流程图)；(e) 编制第一套计算公式，用以校准养恤基金的复杂和详细的计算基础，并准备由内部和外部专家在执行阶段予以签字批准；(f) 更新详细阐明现有系统与其他实体之间数据交换办法(界面)的技术文件；(g) 建立第一组详细的测试库，它们的范围将包括界面和计算结果。",
"14. 这个项目开始了原计划没有考虑的两个附加举措。第一个举措是对项目第一阶段期间编制的需求说明进行一次广泛的自下而上的审查。在这一阶段对目标操作模型和项目范围进行了改进。扩大了新的功能要求和信息技术要求。最后的工作说明除了18项关键的高层面要求外，还考虑333项详细的功能规格和信息技术规格。",
"15. 第二个举措与探索新技术有关，因为通过建立更好的界面的手段，能够(在养恤金综合管理系统与成员组织的人力资源系统和财务系统之间)使发薪系统无缝衔接，并能够更好地利用现有的数据库来使对缴款计算结果的核查自动化，同时建立其他数据质量规程。鉴于很多成员组织最近采取了过渡到企业资源规划平台的战略，养恤基金正在研究使用较新的技术建立共同界面的可能性。在联合国完成SAP软件的启用后，据估计96%的养恤基金参与人的数据将在一个企业资源规划平台下维护。这项举措与养恤金综合管理系统的发展密切挂钩，因为经过修订的规格考虑到：(a) 需要实现发薪系统之间的无缝衔接；(b) 对共同企业资源规划界面进行高效率利用的工具；(c) (为那些没有企业资源规划平台的组织)开发一个网络入口系统。",
"16. 这两项附加举措产生了更详细的规格，它们将更准确和更有效地指导参数化和建立功能的过程。这将改进新系统，在启用之后进行改动时节省时间和资源。此外，养恤金综合管理系统项目将力求尽早使自己的数据要求与成员组织的企业资源规划系统所产生的数据相协调。很自然的是，综合管理系统的成功将与养恤基金成员组织所提供的人力资源数据和财务数据的质量、及时性和可取得性密切相关。",
"17. 虽然养恤金综合管理系统项目的22 660 300美元(重计费用前)总费用估计数保持不变，但项目计划中增加了新的活动，并(根据联合国采购司的建议)对采购程序进行了重大修改，以纳入一个分为两个阶段的评价内容。由于这些改动，延长了原来的时限，估计的支出时间也作了相应调整。表3着重显示了2010-2011两年期的支出估计数和项目总费用估计数。",
"表3 养恤金综合管理系统所需资源汇总",
"(千美元)",
"2010-2011两年期 2012-2013两年期 2014-2015两年期 项目共计\n 行政费用 核定批款 支出估计数 增加/(减少) 拟议最后批款 申请批款 估计批款 估计批款",
"临时员额 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6",
"差旅 84.8 84.8 — 84.8 — — 84.8",
"订约承办事务 8 406.3 1 150.0 (7 256.3) 1 150.0 11 966.3 3 765.6 16 881.9",
"家具和设备 3 000.0 — (3 000.0) — — — —",
"行政费用共计 14 361.4 2 299.9 (12 061.5) 2 299.9 15 637.1 4 723.3 22 660.3",
"家具和设备—支出节余3 000 000美元",
"18. 支出低于预期的原因是，由于在达格·哈马舍尔德广场1号的数据中心发现弱点，决定把项目所需信息技术硬件安装在养恤基金的新数据中心。项目原来的计划是购置12台新的服务器、15台储存区域网络模块和不间断供电系统的扩展装置，并将其安装在达格·哈马舍尔德广场1号四楼的数据中心，以提供所需要的更多能力来担任新的系统应用程序的主机。",
"19. 然而，由于在达格·哈马舍尔德广场1号的数据中心发现严重弱点，这个计划被视为不可行。于2009年进行了业务影响分析，于2010年把分析结果提交给了养恤金联委会，其中揭示，该数据中心虽然安装了不间断供电系统，但没有任何发电机来应付电力公司(或大楼电路系统)可能断电的情况。早先根据关于生产数据中心的行业惯例对该数据中心进行了一次评估，对该设施的评分是10分制的2分(10分是最高或最佳分数)。因此，如果在达格·哈马舍尔德广场1号数据中心安装新的硬件，将对养恤金综合管理系统项目构成严重风险。",
"20. 经过广泛寻找适当的替代办法，基金决定把位于达格·哈马舍尔德广场1号的信息和通信技术基础设施迁到新的北美数据中心，后者是一个新的和更可靠的数据中心，能够妥为确保其关键任务系统的可用性。北美数据中心根据电信业协会标准(TIA-942 DC)被定为第3级，即，保证99.9%的时间正常运转，可供使用。",
"订约承办事务—支出节余7 256 300美元",
"21. 支出低于预期的主要原因是，为新的系统应用程序提供主机服务的数据中心迁到另一地址。在把达格·哈马舍尔德广场1号的现有设备迁至新的北美数据中心时，购置了750 000美元的新设备，将其安装在该中心，以充分提供养恤金综合管理系统的全部预期所需能力。发出了400 000美元的招标书，以聘请一个专业咨询公司协助按照新的目标操作模型和新的范式重新设计数据中心的流程，并编制测试情景，作为确保新系统能够准确、安全和高效率地处理应领养恤金和付款的基础。",
"22. 上述举措使得养恤金综合管理系统项目能够更好地启动下个阶段的工作，但这改动了项目原来的时间表。项目的整个系统部署时间估计为30个月(在概念论证得到检验和批准之后起算)，并未改变。因此，预计将在2014年4月完成系统的建立工作，在2014年完成平行开展的测试和培训工作。但是，这个目标日期取决于剩余采购/订约承办活动的持续时间，这些活动预计将在9个月内完成。因此，在2010-2011年预算内审议的新应用程序开发、参数化和启用批款(7 256 300美元)在2012-2013 两年期之前将不会动用。补充财务资料的附件二载有详细的项目时间表和活动说明。",
"临时员额—支出节余1 805 200美元",
"23. 员额支出低于预期，主要原因是采用了交错征聘方法，从而最佳地利用项目资源，符合更新的项目时间表。",
"客户服务举措",
"24. 委托举办一个基于甲骨文公司Siebel客户关系管理系统的试点项目(iServ)，目标是精简向基金的网站技术主管报告事故的程序并使其自动化。这个项目证明比原来的估计复杂得多和艰巨得多，但有助于基金获得大量有关建立客户关系管理系统的知识，并提供了很多宝贵的经验教训。这个项目还有助于基金确定，如果马上在其核心业务活动中采用一个全面的客户关系管理方案，可能不是最实际可行、适宜或有成本效益的行动(特别是考虑到客户关系管理可以成为养恤金综合管理系统举措的一部分)，但是，如果设立较小的本地应用程序，以满足客户服务股在短期内的最迫切需要，将使其能够在最终把客户服务管理系统与业务过程结合起来的时候，更好地理解如何设计该系统。",
"25. 作为一个替代办法，开发了一个基于Lotus Notes的定制应用程序，用以跟踪与那些亲自访问或通过电话联系了基金的客户之间的互动。这个应用程序不仅记录宝贵的信息，例如请求提供的是什么方面的服务、提供服务的模式(面对面或电话)以及为一个客户提供服务所使用的时间，而且提供了易于使用的报告和分析工具(包括指示板)，这些工具可以用来查看统计数字和一段时期内的趋势。根据设想，随着时间的推移，这个应用程序将得到加强，纳入更多的性能，涵盖更多的客户服务活动。",
"网络系统举措",
"26. 网络系统举措采用基于网络的定制应用程序，使受益人和参与人可以随时直接查询个人化资料。关键应用程序，包括双轨养恤金估算系统、应享权利证书跟踪和年度报表，现已成为标准客户服务项目。无论何时，如果生活费指数和(或)季度汇率发生变化，都会编制生活费通知，经过登记的每月领取养恤金的受益人现在可以上网查看这些通知。可以通过年度报表应用程序进入的养恤金估算系统界面现已经过重新设计，自2009年的年度报表发表以来即可供客户使用。在基金当前为支持越来越多的访问者进行的努力中，对网站的部分基础设施和应用程序进行了升级，以提供一个更加稳定和安全的环境。增加了新的门户网站，用来为许多全基金网络应用程序提供基于角色和安全的单点登录界面。增加了更多的电子学习应用程序和入职讲习班软件，以满足培训需要，并将在2011年提供一些新的课程。为法律室开发了案件摘要，将在2011年放到网站上。",
"企业系统举措",
"27. 企业系统举措将确保关键任务业务系统(例如内容管理系统和Lawson系统)有供应商最新的更新、版本和升级，同时跟上基金业务模式的变化。所有必要的更新、版本和升级或是已经成功安装，或是将在2011年底之前成功安装。",
"企业业务举措",
"28. 作为企业业务规定的一部分，所有关键任务系统都已前往位于新泽西州Piscataway市的新址。新设施具备第三级数据中心出错容忍度，可用率达99.9%。 电信设备将继续安装在达格·哈马舍尔德广场1号的数据中心，日内瓦办事处以及业务连续性和灾难恢复环境的支持系统则安装在日内瓦数据中心。在数据中心迁址项目中对储存区域网络进行了升级，以增加容量和减少系统反应时间。建立了一个新的虚拟基础结构，使基金的70%的服务器能够在虚拟群组中运行，从而提高了业务效率和可用率，并使服务器基础结构更易于管理。对Lawson和数据库服务器进行了升级，并建立了故障切换群集，以优化恢复时间和对用户的反应。日内瓦数据中心的迁址正在进行当中。新设施由国际电子计算中心经管，将使基金能够把95%的服务器和网络环境的辅助冗余虚拟化。建立了一个新的数据备份系统，从而缩短了维护时间和文件恢复时间。在养恤基金实行了一个企业电子邮件存档解决方案，以高效率地管理电子邮件服务，并跟上不断变大的邮箱和无限制保存政策。在这个过程中，养恤基金的电子邮件服务器和客户端不断升级到最新版本。预计信息管理系统处将在2011年底之前完成不间断供电系统的升级。",
"与投资管理司的信息技术合并举措",
"29. 与投资管理司的信息技术合并正在按计划进行，定于本两年期完成。根据信息管理系统处与投资管理司之间的协议，成功和及时地在共享基础设施环境中执行了若干基础设施项目。这些项目包括交易订单管理系统、环球银行间金融电信协会(SWIFT)系统和文件管理系统。还在日内瓦为交易订单管理系统和SWIFT系统成功建立和测试了一个灾难恢复系统。在指定的38个合并领域中，最后5个领域中的工作正在进行，预计将在本两年期完成。这些领域包括：网络、求助服务台、名录服务、文件共用和电子邮件合并。",
"B. 投资费用",
"30. 投资费用估计为71 289 000美元，由此导致支出节余9 908 500美元，即12.2%。导致净节余的主要资源差异包括：",
"1. 员额——支出节余953 400美元",
"31. 节余主要归因于工作人员的征聘晚于预期。",
"2. 差旅——支出节余289 000美元",
"32. 节余主要归因于工作日程安排导致工作人员的征聘晚于预期和有工作人员可用。投资委员会成员的差旅费用有所上升，部分抵消了所需差旅的减少。",
"3. 一般业务费用——支出节余331 100美元",
"33. 节余归因于一些费用，例如冷却水、清洁服务和房舍管理费用，低于预期。",
"4. 订约承办事务——支出节余8 445 200美元",
"表4 订约承办事务：2010-2011年支出估计数",
"(千美元)",
"类别 2010-2011年批款 支出估计数 超支或 (支出节余)",
"外部法律咨询人 1 200.0 1 200.0 －",
"第三方服务提供者",
"(a) 全球保管人和顾问",
"全球保管人 6 952.0 3 743.8 (3 208.2)",
"顾问 16 976.4 14 994.0 (1 982.4)",
"(a) 部分小计 23 928.4 18 737.8 (5 190.6)",
"(b) 投资组合管理",
"小盘股 12 500.0 13 562.4 1 062.4",
"公开交易不动产 2 700.0 700.0 (2 000.0)",
"(b) 部分小计 15 200.0 14 252.4 (937.6)",
"(c) 市场数据服务 3 541.5 2 399.5 (1 142.0)",
"第三方服务提供者小计 42 669.9 35 399.7 (7 270.2)",
"SWIFT订约承办事务 590.0 345.0 (245.0)",
"其他订约承办事务 8 419.0 7 489.0 (930.0)",
"共计 52 878.9 44 433.7 (8 445.2)",
"34. 节余归因于若干因素，包括：为多个保管人和独立总账管理人进行的采购、聘用一个公开交易不动产管理人的工作以及聘用固定收入、实物资产和替代投资顾问的工作出现延迟；应用程序，例如灾难恢复解决办法、SWIFT系统和合规系统的采购费用低于预期。由于良好业绩导致收费上调，小盘股费用有所增加，部分抵消了所需资源的减少。",
"5. 2010-2011两年期实施的项目",
"35. 表5所示为2010-2011两年期供资和实施的信息技术项目的情况。",
"表5 2008-2009两年期项目情况",
"(美元)",
"项目\t预计/实际完成日期\t批款\t支出估计数\t超支或(支出节余) \n投资组合风险分析和业绩归因\t2011年6月\t1 390000\t1 280000\t110000\n电子订单管理和交易(CharlesRiver系统)\t2011年3月\t1 120000\t1 120000\t－\n交易前和交易后合规\t2011年3月\t970000\t870000\t100000\n投资组合会计核算和对账\t2011年12月\t2 790000\t2 390000\t400000\n数据中心系统\t2012年6月\t820000\t820000\t－\nOMEGEO、FXALL、交易网及其他将并入CharlesRiver系统的确认和交易平台\t2011年12月\t1 170000\t850000\t320000\nSWIFT，包括SWIFT升级至第7版\t2011年6月\t590000\t345000\t245000\n共计 8 850000\t7 6758000\t1 175000\n 业务费用 \n灾难恢复站点中的CharlesRiver系统(日内瓦国际电子计算中心)\t2011年12月\t200000\t143771\t56 229\n灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)\t2011年12月\t200000\t221805\t(21805)\nSunGard 200000\t－\t(200000)\n共计 600000\t365576\t(234424)\n 家具和设备 \nSun服务器\t2011年5月\t500000\t500000\t－\n台式计算机\t2011年6月\t100000\t100000\t－\n膝上型计算机\t2011年6月\t73 400\t70 000\t3 400\n共计 673400\t670000\t3 400",
"投资组合风险和业绩归因系统",
"36. 截至2011年2月，投资管理司正在对风险最大的分析情景进行用户接受度测试。制订了一些重要的风险报告。然而，该司仍在等待采购司和法律事务厅签订更多使用各种数据源的合同。这些市场数据的数据源对于完成风险计量工作必不可少。这项工作完成后，将保持当前的服务。如果最后签订了数据源合同，这个项目预计将在2011年10月完成和充分投入使用。",
"电子订单管理和交易系统",
"37. Charles River系统于2010年3月投入运行。当前的运行范围包括股票、外汇和固定收入交易。该系统还通过FIX规程与经纪商连通，通过SWIFT系统与保管银行连通。投资管理司正在安装适用于其他资产的电子平台。当前，99%的交叉资产结算是通过SWIFT系统进行。投资管理司继续支持和加强Charles River工作环境。",
"交易前和交易后合规系统",
"38. 交易前和交易后系统(Charles River系统)已经建成，自2010年3月开始运行。投资管理司继续视需要维护和更新合规规则。",
"投资组合会计核算和对账系统",
"39. 建立投资组合会计核算和对账系统的合同于2010年4月被授予Murex North America公司，法律合同于2011年2月签署。2011年2月16日举行了项目启动会议。投资管理司当前正在最后确定实施计划和做出资源承诺，目标是在2011年6月30日之前完成第一阶段的执行工作。据估计，项目将于2011年12月31日之前完成。必须指出，这个项目包括对投资活动改为适用公共部门会计准则。",
"数据中心系统",
"40. 到2011年2月，投资管理司已经完成了技术评价。将定于2011年下半年进行应有审查。预计在2012年开始数据中心的实施工作。",
"OMEGEO、FXALL、交易网及其他将并入Charles River系统的确认和交易平台",
"41. 为了加强Charles River交易订单管理系统，投资管理司计划增加以下平台：OMEGEO，一个股票交易电子确认和证实系统；FXALL、FXConnect和Bloomberg FX：都是外汇交易平台；交易网、Market Axess、Bond Vision和Bloomberg FI：都是固定收入交易平台。目前正在谈判每个产品的合同。投资管理司计划最迟在2011年12月并入所有这些平台。",
"灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)",
"42. Charles River灾难恢复系统于2011年3月安装完成。灾难恢复系统包括与FIX、Bloomberg数据授权、Bloomberg批量数据和Bloomberg API。该系统还提供与SWIFT系统的连通。",
"Bloomberg数据授权、Bloomberg批量数据和Bloomberg API",
"43. 于2010年3月安装了Bloomberg数据授权、Bloomberg批量数据和Bloomberg API，并将其并入Charles River系统。",
"灾难恢复站点中的SWIFT系统(日内瓦国际电子计算中心)",
"44. SWIFT灾难恢复站点于2010年1月投入使用。投资管理司当前正在将其与Charles River系统的灾难恢复架构一体化。",
"SWIFT升级至第7版",
"45. 把SWIFT升级至必需的第7版的工作定于2011年6月完成。",
"C. 审计费用",
"46. 审计费用支出的估计数将降低对批款的使用率，减少数额为112 100美元，主要归因于进行内部审计的一般临时人员。",
"D. 联委会费用",
"47. 所需资源增加77 800美元，原因是计划设计工作组的费用超过预期。",
"E. 预算外费用",
"48. 支出节余13 900美元，原因是预算外资金支付的一般事务类(其他职等)员额出缺三个月",
"三. 2012-2013两年期概算：成果预算框架和所需资源分析",
"A. 导言",
"1. 概述",
"49. 联合国合办工作人员养恤基金是足额供资的给付确定型养恤基金，为近64 000名退休人员和受益人提供退休金和其他养恤金。目前，约有120 000名在职参与人在累积基金规定的退休金权利。截至2010年年底，基金共有414亿美元的资产。养恤基金根据大会通过的《条例》自行管理。养恤金联委会负责管理基金并每年向大会提交报告。基金的日常业务由首席执行干事监管。基金有245名工作人员。本预算及其附件详细介绍了基金及其日常业务。",
"50. 基金的投资由秘书长决定。秘书长将此职责交给其代表，由后者管理基金的投资管理司。投资管理司负责基金资产的投资和会计工作，目的是确保根据基金的风险容忍度和负债所需资源，获得充分的投资收益。",
"51. 基金在过去十年里显著增长，因为有新的成员组织加入，而且受其服务的参与人、退休人员和其他受益人总人数不断增加。在此期间，在职参与人增加了63%，定期养恤金领取人数增加了33%。基金的管理章程确认了以下5类挑战：",
"(a) 基金的业务越来越复杂；",
"(b) 资产和负债越来越相互依赖；",
"(c) 信息系统老化和对服务的需求增长；",
"(d) 优质服务和业务高标准；",
"(e) 社会和环境责任。",
"52. 为了应付这些挑战，基金对风险评估、资产-负债管理、基金组织及其计划设计和养恤金管理系统的变化进行了全面研究。然后，基金制定了其战略框架中概述的以下中期目标：",
"(a) 加强基金的业务模式；",
"(b) 改善风险管理和内部控制；",
"(c) 强化信息系统；",
"(d) 提高服务质量和效率，包括通信和外联工作的质量和效率；",
"(e) 提倡对社会和环境负责。",
"53. 每个业务部门都制定了实现这些目标的具体行动计划，包括中期人力资源计划、业务影响分析和灾难恢复计划。在编写以下拟议预算时，采用了上述这些计划。",
"54. 总之，在2012-2013两年期期间，养恤基金打算为战略框架概述的以下主要举措分配财政资源和人力资源：",
"(a) 养恤金综合管理系统——养恤金综合管理系统的新业务模式；",
"(b) 公共部门会计准则——基金财务报表的新会计标准；",
"(c) 灵敏的客户服务；",
"(d) 为提高业务效率以及改善风险评估和管理、电子学习、培训和知识管理所需要的其他行动。",
"55. 预计基金能够实现其总体目标，前提是要有足够的人力资源和财政资源。鉴于目前的财政拮据状况，这一点将成为今后几年特别严重的挑战。但是，必须认识到基金发展过程正处于其无法控制的关键时刻。基金自成立以来一直稳步增长。过去十年里，基金的服务对象更是前所未有地增加。与此同时，基金的服务范围一直在扩大，不仅包括的人数增加，而且受理的特殊情况更为广泛，造成复杂性的增加。有关的工作量和复杂性的增加正好在机构记忆不断损失的情况下达到高峰，因为近年来有大量人员退休，还有其他人离职。此外，基金的客户群也同时因长寿而老龄化，往往需要提供更广泛的咨询，并满足客户服务方面的其他特殊需要。除了这些外部因素带来的重大挑战之外，这一需要非常专业和有长期专门知识的工作人员管理的基金还必须力求按照某些组织政策行事。这带来外部企业通常不会遇到的特殊困难。鉴于需要特殊和长期的专门知识，又鉴于其作为机构间实体的独立地位，基金目前正在审查其工作人员的征聘、流动和升级政策以及留住工作人员的政策。基金打算在经修订的谅解备忘录中讨论这些问题。",
"56. 基金秘书处进一步考虑了目前的经济环境带来的挑战，还审查了自己的人员配置需要，决定推迟请设若干工作人员职位。虽然这些职位对实现基金战略框架的中期目标十分重要，但秘书处认为，可以通过限制基金计划设计中的变动以及限制增加的新项目，同时继续努力提高效率和生产力来推迟雇用工作人员。但是，这些职位不可能无限期地推迟，除非改变基金的业务能力以及基金对客户有求必应的能力和(或)实现其目标的时间表。",
"57. 为此，必须认识到，在基金不得不致力于应对关于限制预算的要求之时，联合国有可能在经常预算之外核准新的维和特派团。这给基金带来重大挑战，甚至是风险，因为基金仍必须为这些特派团增加的雇员提供充分和及时的服务。",
"成果预算编制、方法和术语",
"58. 本预算报告采用基金在2008-2009两年期预算报告中采用的成果预算编制列报格式。所请求的资源是根据基金的各项方案计算，所有理由说明和支持性信息载于拟议预算的补充财务信息。",
"59. 在计算资源时使用了下列因数：",
"(a) 对2012年和2013年纽约和日内瓦两地采用了以下延迟征聘因数：续设专业类员额90.4%，新设专业类员额50.0%，续设一般事务类员额96.5%，新设一般事务类员额65.0%。这些因数也是纽约和日内瓦2012-2013年标准薪金表版本1中使用的；",
"(b) 2012年和2013年采用的年平均通货膨胀率：纽约分别为1.90%和2.50%，日内瓦分别为1.00%和1.30%；",
"(c) 2012年和2013年对日内瓦采用的汇率为1.046；",
"(d) 在联合国与基金分摊费用安排的框架内，除了信息管理系统处和行政办公室员额的费用以外，具体的管理费将继续分别按照三分之一和三分之二的比例分担。根据秘书处(170)对投资管理司(58)的核定员额比率，加上具体项目员额(17)，信息管理系统处和执行办公室员额费用的69.4%将通过分摊费用安排解决。",
"2. 请批的总体资源",
"60. 整个基金请批的人力资源和财政资源以及预算外资源估计数和新增员额所需资源细目如下。",
"表6 按构成部分开列的资源分配百分比：养恤基金",
"构成部分 经常预算 预算外",
"A. 行政领导和管理 7.0",
"B. 工作方案",
"1. 行政 17.7 100.0",
"2. 投资 33.0",
"B部分小计 50.7 100.0",
"C. 支助",
"1. 信息技术 31.8",
"2. 法律室 0.7",
"3. 行政支助 8.3",
"C部分小计 40.8",
"D. 审计 1.4",
"E. 养恤金联委会 0.1",
"共计 100.0 100.0",
"表7 按构成部分开列的所需资源：养恤基金",
"(千美元)",
"资源增长 分摊数\n 构成部分 2010-2011年 数额 百分比 重计费用前共计 重计费用 联合国 养恤基金 2012-2013年估计数",
"1. 经常预算",
"A. 行政领导和管理 16 141.1 (2 672.3) (16.6) 13 468.8 61.9 1 197.8 12 332.9 13 530.7",
"B. 工作方案",
"1. 业务，财务 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1",
"2. 投资 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6",
"B部分小计 86 148.4 10 950.1 12.7 97 098.5 1 725.2 9 527.5 89 296.2 98 823.7",
"C. 支助",
"1. 信息技术 53 018.1 7 878.6 14.9 60 896.7 815.6 5 704.7 56 007.6 61 712.3",
"2. 法律室 — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2",
"3. 行政支助 18 198.4 (2 348.4) (12.9) 15 850.0 86.9 3 590.6 12 346.3 15 936.9",
"C部分小计 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4",
"D. 审计 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8",
"E. 养恤金联委会 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4",
"共计 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0",
"61. 如下表8所示，请批资源总体增加15 302 100美元(重计费用前)，增幅8.7%，原因是行政费用(4 564 600美元)、投资费用(10 601 800美元)、审计费用(103 200美元)和联委会开支(32 500美元)增加。",
"62. 行政费用资源增加4 564 600美元，是拟议增加的常设员额(739 400美元)和临时员额(800 500美元)——其中680 100美元和800 500美元分别归因于常设员额和临时员额的延迟征聘因数——以及3 024 700美元非员额费用的净结果。非员额费用增加主要是由于订约承办事务(6 087 900美元)和一般业务费用(1 446 300美元)增加，但因家具和设备(3 989 000美元)、其他工作人员费用(122 500美元)、咨询人(237 600美元)和差旅(136 100美元)减少而部分抵消。",
"63. 投资费用资源增加10 601 800美元，是拟议增加的员额(2 486 900美元)和非员额费用(8 114 900美元)的净结果，其中1 222 700美元是由于延迟征聘因数。非员额费用增加主要是由于订约承办事务(9 653 200美元)和其他工作人员费用(530 400美元)增加，但因咨询人资源(1 151 800美元)和一般业务费用(916 900美元)减少而抵消。",
"64. 审计费用资源增加103 200美元，其中基金应分摊的审计委员会费用增加(113 500美元)，还包括拟议减少内部审计费用所产生的净结果(10 300美元)。减少内部审计费用的主要原因是通信(9 800美元)以及用品和材料(5 000美元)略有减少，而家具和设备的所需资源增加(5 800美元)。此外，咨询人和订约承办事务分别减少和增加80 000美元，互为抵消。",
"65. 表6和表7分别汇总了养恤基金按构成部分开列的资源分配百分比和请批资源估计数。",
"表8 2012-2013两年期所需财政资源",
"(千美元)",
"资源增长 批款\n 类别 2008-2009 2010-2011 数额 百分比 重计费用前 重计费用 联合国 养恤基金 2012-2013年估计数 2012年 2013年 年支出 年批款 共计 估计数 估计数",
"行政费用",
"员额 34 524.8 38 731.4 739.4 1.9 39 470.8 591.4 12 440.4 27 621.8 40 062.2 19 883.6 20 178.6",
"临时员额 — 2 870.3 800.5 27.9 3 670.8 (103.4) — 3 567.4 3 567.4 1 581.3 1 986.1",
"其他工作人员费用 3 033.8 4 032.8 (122.5) (3.0) 3 910.3 94.5 803.3 3 201.5 4 004.8 2 005.4 1 999.4",
"咨询人 106.4 537.6 (237.6) (44.2) 300.0 6.7 — 306.7 306.7 152.9 153.8",
"差旅 997.7 1 360.6 (136.1) (10.0) 1 224.5 27.0 — 1 251.5 1 251.5 623.9 627.6",
"订约承办事务 16 690.8 25 760.0 6 087.9 23.6 31 847.9 700.7 3 465.9 29 082.7 32 548.6 16 250.2 16 298.4",
"招待费 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1",
"一般业务费用 11 641.1 12 801.7 1 446.3 11.3 14 248.0 169.0 3 175.9 11 241.1 14 417.0 7 031.8 7 385.2",
"用品和材料 263.3 210.1 (24.3) (11.6) 185.8 4.1 54.5 135.4 189.9 90.1 99.8",
"家具和设备 3 815.3 6 000 (3 989.0) (66.5) 2 011.0 44.4 528.0 1 527.4 2 055.4 1 024.6 1 030.8",
"共计 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8",
"投资费用",
"员额 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) — 17 406.0 17 406.0 8 644.2 8 761.8",
"其他工作人员费用 534.0 2 361.8 530.4 22.5 2 892.2 61.0 — 2 953.2 2 953.2 1 500.3 1 452.9",
"咨询人 299.5 2 328.8 (1 151.8) (49.5) 1 177.0 24.7 — 1 201.7 1 201.7 822.4 379.3",
"差旅 1 018.0 2 000.0 — — 2 000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0",
"订约承办事务 27 491.4 52 878.9 9 653.2 18.3 62 532.1 1 387.1 — 63 919.2 63 919.2 29 924.0 33 995.2",
"招待费 16.4 22.0 — — 22.0 0.5 — 22.5 22.5 11.2 11.3",
"一般业务费用 5 157.5 5 402.0 (916.9) (17.0) 4 485.1 27.5 — 4 512.6 4 512.6 2 254.1 2 258.5",
"用品和材料 91.0 160.0 — — 160.0 3.5 — 163.5 163.5 81.5 82.0",
"家具和设备 246.6 700.0 — — 700.0 15.5 — 751.6 715.5 356.7 358.8",
"共计 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2 44 613.4 48 324.8",
"审计费用",
"外部审计 682.1 661.2 113.5 17.2 774.7 17.1 132.0 659.8 791.8 394.7 397.1",
"内部审计 1 612.6 1 983.8 (10.3) (0.5) 1 973.5 (151 5) 303.4 1 518.6 1 822.0 906.2 915.8",
"共计 2 294.7 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9",
"联委会开支 127.4 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4 101.9 102.5",
"请批资源共计 118 969.3 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0 94 662.0 99 502.0",
"预算外费用(离职后医疗保险制度)",
"业务活动 132.3 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 77.3 79.5",
"表9 所需人力资源",
"常设员额 临时员额 预算外员额 共计\n 类别 2010- 2012- 2010- 2012- 2010- 2012- 2010- 2012- 2011年 2013年 2011年 2013年 2011年 2013年 2011年 2013年",
"行政",
"专业及以上",
"助理秘书长 1 1 — — — — 1 1",
"D-2 1 1 — — — — 1 1",
"D-1 4 4 — — — — 4 4",
"P-5 9 9 1 1 — — 10 10",
"P-4 19 20 8 7 — — 27 27",
"P-3 25 24 4 4 — — 29 28",
"P-2/1 1 1 — — — — 1 1",
"小计 60 60 13 12 — — 73 72",
"一般事务人员",
"特等 10 10 — — — — 10 10",
"其他职等 99 99 5 5 1 1 105 105",
"小计 109 109 5 5 1 1 115 115",
"行政共计 169 169 18 17 1 1 188 187",
"投资",
"专业及以上",
"D-2 1 1 — — — — 1 1",
"D-1 2 2 — — — — 2 2",
"P-5 10 10 — — — — 10 10",
"P-4 13 18 — — — — 13 18",
"P-3 7 9 — — — — 7 9",
"P-2 — — — —",
"小计 33 40 — — — — 33 40",
"一般事务人员",
"特等 10 10 — — — — 10 10",
"其他职等 15 15 — — — — 15 15",
"小计 25 25 — — — — 25 25",
"投资共计 58 65 — — — — 58 65",
"养恤基金共计 227 234 18^(c) 17^(b、c) 1^(a) 1^(a) 246 252",
"^(a) 一个预算外一般事务(其他职等)员额由会员国供资。",
"^(b) 包括17个养恤金综合管理系统临时员额。",
"^(c) 2010-2011两年期核可的18个临时员额中，一个P-4职等的员额只核可12个月。该员额于2011年被裁撤。",
"66. 如表9所示，本预算报告编列了增设7个员额和改叙1个员额的经费，具体如下：",
"(a) 编列了改叙秘书处1个员额的经费(从P-3改到P-4)，并且编列了续设1个预算外员额(1个一般事务(其他职等))的经费，由成员组织供资；",
"(b) 编列了为投资管理司增设7个常设员额(5个P-4，2个P-3)的经费。",
"67. 表10汇总了请求增设的员额。",
"表10 所需员额汇总",
"款次\t行动\t员额\t员额数目\t职类 \n 行政 \n 方案支助 \n执行办公室\t改叙\t财务和预算干事\t1\tP-3到P-4\n 投资 \n 工作方案 \n投资科\t新员额\t投资干事——另类投资\t1\tP-4\n\t新员额\t投资干事——全球新兴市场\t1\tP-4\n\t新员额\t投资干事——交易干事\t1\tP-4\n\t新员额\t投资干事——北美股票\t1\tP-3\n风险和合规科\t新员额\t尽责调查和定量战略风险经理\t1\tP-4\n业务科\t新员额\t财务干事，对账\t1\tP-3\n 方案支助 \n信息系统科\t新员额\t数据管理干事\t1\tP-4",
"B. 行政费用",
"1. 概述",
"68. 秘书处负责在养恤金联委会的领导下管理联合国合办工作人员养恤基金。秘书处的目标是在最佳安全、业绩、责任和问责制条件下，完全遵循效率、能力和廉正方面的最高标准，向参与人提供相关服务，并为退休人员和受益人提供养恤金和相关津贴。在提供这些服务的过程中，基金必须面对日益复杂的一套条例。这些条例涉及过去作为节约措施或针对关于增加新的受益人类别的强烈社会需要而作出的决定。秘书处还必须根据不断变化的银行业环境和监管环境，继续调整其流程和程序。",
"69. 行政费用总资源在重计费用前为96 873 100美元，比2010-2011两年期订正批款净增4 564 600美元，增幅4.9%。表12所示净增加额概述如下：",
"(a) 行政领导和管理：减少1 104 400美元与所需员额经费(810 200美元)有关，主要是由于向法律室调了3个员额(2个P-5、1个一般事务(其他职等))。非员额费用减少与其他工作人员费用(50 100美元)、咨询人(337 600美元)和差旅(114 500美元)有关。订约承办事务(112 000美元)和一般业务费用(96 000美元)有所增加。",
"(b) 工作方案：增加3 498 400美元是因为所需员额资源(751 500美元)和非员额资源增加2 746 900美元的结果。所需员额资源中有147 400美元归因于延迟征聘因数和1个P-4职等员额调往法律室的净结果，另有604 100美元是由于养恤金综合管理系统12个临时员额的延迟征聘因数。非员额资源增加是因为一般业务费用(2 846 300美元)和咨询人费用(100 000美元)增加，而其他工作人员费用减少(199 400美元)。",
"(c) 方案支助。资源增加2 170 600美元是由于信息管理系统处资源增加(2 084 100美元)、法律室调出行政领导和管理(1 358 400美元)和执行办公室资源减少(1 271 900美元)。就信息管理系统处而言，临时员额资源增加(196 400美元)是延迟征聘因数所致。非员额资源(1 903 200美元)增加主要是由于订约承办事务增加(5 975 600美元)，但因家具和设备(3 976 400美元)、一般业务费用(177 400美元)和工作人员差旅(21 600美元)所需经费减少而部分抵销。法律室员额资源增加是因为将3个员额(2个P-5和1个一般事务(其他职等))调出首席执行干事办公室和从日内瓦办事处调来1个P-4职等的员额专门从事监管工作。执行办公室的资源减少(1 318 600美元)归因于一般业务费用的所需非员额经费，特别是房地的租用和维修。",
"70. 表11列示资源分配估计数，表12为按构成部分开列的所需资源。",
"表11 按构成部分开列的资源分配百分比：行政费用",
"构成部分 经常预算 预算外",
"A. 行政领导和管理 6.6",
"B. 工作方案(业务，财务) 35.1 100.0",
"C. 方案支助",
"1. 信息管理系统处 44.7",
"2. 法律室 1.4",
"3. 执行办公室 12.2",
"C部分小计 58.3",
"共计 100.0 100.0",
"表12 按构成部分开列的所需资源：行政费用",
"(千美元)",
"资源增长 分摊数\n 构成部分 2010-2011年 数额 百分比 重计费用前共计 重计费用 联合国 养恤基金 2012-2013年估计数 批款",
"1. 经常预算",
"A. 行政领导和管理 7 486.9 (1 104.4) (14.8) 6 382.5 9.6 1 197.8 5 194.3 6 392.1",
"B. 30 470.0 3 498.4 11.5 33 968.4 908.7 6 527.5 25 349.6 34 877.1 工作方案(业务，财务)",
"C. 支助",
"1. 信息管理系统处 41 240.8 2 084.1 5.1 43 324.9 562.4 5 704.7 38 182.6 43 887.3",
"2. 法律室 — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2",
"3. 执行办公室 13 110.8 (1 271.9) (9.7) 11 838.9 70.0 3 590.6 8 318.3 11 908.9",
"C部分小计 54 351.9 2 170.6 4.0 56 522.2 616.2 9 742.7 47 395.7 57 138.4",
"共计 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6",
"2. 预算外 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8",
"2. 行政领导和管理",
"所需资源(重计费用前)：6 382 500美元",
"71. 首席执行干事根据养恤金联委会的授权负责基金的管理，为成员组织、参与人、退休人员和受益人提供相关服务。在提供这类服务的过程中，首席执行干事必须确保制定一个框架，以便基金的运作在安全、业绩、责任和问责制方面达到最佳，并完全符合效率、能力和廉正方面的最高标准。基金为履行在这一框架中的责任，必须按照其条例、细则及其独特而复杂的养恤金调整制度的规定，应对日益复杂和不断变化的计划设计。首席执行干事必须确保能够持续、准确地权衡其精算成本，以评估和管理风险，调整其计划设计，根据受到长期社会变化(包括寿命延长)的显著影响，因而不断变化的人员情况调整其程序，同时在一个不断变化的银行、会计和监管环境中履行其职责。",
"72. 在基金60年的历史中，其成员组织、参与人、退休人员和受益人的数目、其业务运营的金融环境及其所管理的资产和负债的价值均大幅增长。基金所服务的个人总数已经超过185 000，预计在中长期内还将继续稳步增加。基金的国际和多组织性质以及多层养恤金结构将继续带来新的日益复杂和严峻的挑战。基金所承担的责任和面临的要求一直在稳步大幅增加，这一情况未来仍将继续。基金按照联委会关于对所需人力资源采取更为战略性的办法的要求，为确定其中期需要，进行了一次高级别审查，其中考虑到了基金所面临的情况和紧迫挑战，审查结果已提交2010年届会。",
"表13 两年期目标、预期成绩和绩效指标",
"本组织目标：确保遵照《基金条例和细则》以及养恤金联委会和大会下发的决定和准则，全面执行基金的工作方案 \n 预期成绩 绩效指标 \n(1) 有效管理基金工作方案 (1.1)所有详细的行动计划、项目和研究得到成功的监测和实施 业绩计量 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (2)为联委会和委员会提供有效支助/服务/管理 (2.1)养恤金联委会、常设委员会、精算师委员会、审计工作委员会和各工作组对提供的支助没有投诉 业绩计量(投诉数目) 2008-2009年：对提供的支助没有投诉 2010-2011年估计：对提供的支助没有投诉 \n 2012-2013年目标：没有投诉 (3)对全基金范围内人力资源、风险管理、业务连续性/恢复、信息技术新会计准则以及资产负债管理方面的治理机制进行有效管理 (3.1)成功监测和实施各工作组和指导委员会决定的活动业绩计量 2008-2009年：不适用 2010-2011年估计：绩效指标的100% \n 2012-2013年目标：绩效指标的100% (4) 基金的有效战略规划 (4.1) 战略规划工作每两年进行一次 业绩计量 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100%",
"外部因素",
"73. 行政领导和管理预计能实现目标和预期成绩，前提是要为其提供充足的人力资源和资金。",
"其他产出",
"74. 本两年期内将交付下列产出：",
"(a) 为服务政府间机构和专家机构提供服务：2次养恤金联委会届会；3次精算师委员会会议，4次工作组会议，1次精算师委员会和投资委员会联席会议，6次审计工作委员会会议和4次联合国工作人员养恤金委员会会议；",
"(b) 草拟文件；大约100份提交养恤金联委会、精算师委员会和工作组的文件；除为审计工作委员会的届会提供技术性和行政服务以外，还向该委员会提交15份说明；",
"(c) 其他实务活动：",
"㈠ 高效的退休工作人员接任规划；进行预先规划，以避免由于工作人员退休产生空缺，并填补由于工作人员更替所产生的其他空缺职位，在空缺宣布后五个月内完成填补；",
"㈡ 对下列事项的高效管理和控制：",
"• 养恤金综合管理系统项目",
"• 业务连续性和灾难恢复规划",
"• 全企业风险管理",
"• 人力资源政策和人力资源中期计划",
"• 信息技术整合",
"• 资产负债管理研究",
"• 业务影响分析",
"• 数据库",
"• 采购咨询委员会；",
"表14 所需资源",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 3 641.0 2 830.8 11 8",
"非员额 3 845.9 3 551.7 — —",
"共计 7 486.9 6 382.5 11 8",
"75. 所列经费6 382 500美元将用于续设8个现有员额(1个助理秘书长、1个D-2、1个P-5、2个P-4、1个P-3、1个一般事务(特等)和1个一般事务(其他职等))以及与总体行政有关的非员额资源。员额资源减少810 200美元是因为从法律室调动了3个核定员额(2个P-5和1个一般事务(其他职等))到方案支助。非员额资源减少的主要原因是其他工作人员费用(50 100美元)、差旅费(114 500美元)和咨询人费用(337 600美元)减少，而另一方面，因使用顾问精算师而导致订约承办事务费用有所增加(112 000美元)，而且基金为分担联合国上诉法庭案件费用也产生了一般业务费用(美元96 000)。",
"3. 工作方案",
"所需资源(重计费用前)：33 968 400美元",
"76. 该工作方案包括纽约和日内瓦办事处的业务和财务处，负责基金的核心功能，包括但不限于对新参与人的参加资格及其与基金隶属关系的认定、个人和财务历史数据的记录、基金缴款的征收和记录、应领养恤金的计算和备付、后续养恤金的支付和所有相关的会计活动。此方案也负责对基金185 000名在职参与人、退休人员和其他受益人提供客户服务的功能。",
"77. 应该回顾指出，按照2008年举行的全基金审查的建议，首席执行干事决定将基金的业务部门与财务部门分开。首席执行干事决定，尽管应享权利的计算和处理(业务)与由此产生的养恤金的给付和核算(财务)之间有重要的联系，但是这两项职能必须明确分隔开来。业务部门的重点是计算的正确性，计算一旦成立，将适用于退休人员和任何符合条件的遗属的一生。财务部门的重点是支付的正确性。将这两项职能分开，设立独立于业务部门之外的单独财务部门，能够在基金这两项核心职能(此两项职能即构成了本工作方案)之间确立明确的责任分工，并加强问责制。",
"业务部门",
"78. 业务部门包括纽约和日内瓦办事处的养恤金权利科和客户服务、记录管理和分发股。业务主任负责按照基金管理章程规定的目标管理和领导该部门。业务主任必须确保遵守基金的条例、细则和养恤金调整制度，同时严格遵守具体的质量管理、内部控制和信息交流政策。在2012-2013两年期内，业务部门预计将办理超过55 000项新参与人加入手续、离职手续以及进出基金账目手续。[1] 预计该部门还将办理约6 000人的最初离职后养恤金福利手续，这是最复杂因而也是最耗时的手续之一，这些手续包括离职后死亡、遗属恤金(有时涉及居住在不同地点的多个配偶)、剩余偿金、递延养恤金支付，双轨制(有时出现向美元轨道回归)、应付给未亡已离婚配偶的恤金、未亡配偶年金、特殊措施的情况等。除了通过基金的网站提供了约225 000项养恤金估算外(即2010年期间)，业务部门预计在下一个两年期内将提供约5 500项个人养恤金估算，其中往往还要进行个人咨询。在2012-2013两年期，该部门预计还将发送、跟踪并在收到时记录超过10万份应享权利证书，并将超过120万份文件扫描到基金的内容管理系统之中。",
"表15 两年期目标、预期成绩和绩效指标",
"本组织目标：确保根据养恤基金条例、细则和养恤金调整制度，为所有符合条件的参与人、退休人员和其他受益人提供服务，同时充分遵守基金《管理章程》所制定的沟通、质量管理和内部控制政策 \n 预期成绩 绩效指标 \n(1)有效办理养恤基金的应领养恤金手续 (1.1)在15个工作日内完成的离职偿金、退休金及其他养恤金手续所占百分比增加 离职偿金、定期退休金和整笔折付养恤金手续业绩计量(基准：15个工作日) \n 2004-2005年：72%的个案在15个工作日内完成 2006-2007年：79%的个案在15个工作日内完成 \n 2008-2009年：80%的个案在15个工作日内完成 2010-2011年估计：77%的个案在15个工作日内完成 \n 2012-2013年目标：80%的个案在15个工作日内完成(2)以更高质量为养恤基金客户提供以客户为本的服务 (2.1)在15个工作日内答复的邮件和电子邮件所占百分比增加 业绩计量(基准：15个工作日)： 2004-2005年：31%的查询在15个工作日内得到答复 2006-2007年：55%的查询在15个工作日内得到答复 2008-2009年：75%的查询在15个工作日内得到答复 2010-2011年估计：82%的查询在15个工作日内得到答复 \n 2012-2013年目标：82%的查询在15个工作日内得到答复\n(3) 加强沟通 (3.1)为参与人、受益人、工作人员养恤金委员会以及参与组织的对口财务和人力资源工作人员举办的简报会和研讨会数目增加 业绩计量 2008-2009年：不适用 2010-2011年估计：65 \n 2012-2013年目标：75",
"外部因素",
"79. 业务部门预计能实现其目标，前提是为其提供充足的人力资源和资金。因此必须承认，基金的演变正处于其无法控制的关键时刻。基金的服务对象正在快速增长。同时，因寿命的增长，基金客户出现了老龄化，而这又往往需要提供更广泛的咨询以及满足其他特殊的客户服务需求。",
"产出",
"80. 在2012-2013两年期将交付以下产出：",
"(a) 在两年期内办理约18 000项离职偿金和退休金手续；[2]",
"(b) 办理约6 000项最初退休金后的其他养恤金手续(即遗属、子女、双轨制养恤金等)；",
"(c) 确定基金约30 000名新参与人的加入资格和隶属关系；",
"(d) 发送、跟踪和在收到时记录约10万份应享权利证书；",
"(e) 答复约15 000份查询邮件和电子邮件；",
"(f) 接待约11 000名上门客户并提供服务；",
"(g) 诸如数据清洗和质量管理、流程记录、算法和随后过渡到养恤金综合管理系统平台等实施前任务；",
"(h) 客户界面控制的有效记录、监测和加强；",
"(i) 审查、评估、开发和实施一个客户关系管理系统；",
"(j) 审查和编写供讲习班和研讨会使用的强化培训材料，拟提供给(纽约和日内瓦的)基金工作人员、参与人、退休人员和其他受益人以及工作人员养恤金委员会秘书处和成员组织的其他人力资源工作人员；",
"(k) 开发并实施一个安全的签名系统，以便在基金所服务的每个个人的电子档案中添加图形签字，以供核对比较；",
"(l) 加强控制并重新设计应享权利证书，并进一步努力，争取简化整个程序；",
"(m) 强化并持续发展业绩数据以满足内部要求并供各监督机构参考；",
"(n) 为参与人、退休人员和其他受益人、工作人员养恤金委员会秘书处、各小组委员会(包括咨询组和工作组)和联委会成员举办研讨会和培训，从而增强外联能力。",
"财务部门",
"81. 财务科通过其付款、账户和出纳股/现金管理股提供全面服务，并负责基金所有财务、会计和付款操作。基金每年的财务交易总额约为38亿美元(考虑到养恤金给付和缴款的征收)。基金每月办理15种货币的62 000笔定期退休金付款(依据基金2009年已审计财务报表)，并向居住在190多个国家的退休人员和其他受益人付款。该科还负责编制包括投资管理司在内的及时、准确的全基金财务报表，并负责就养恤基金的财务问题与内部和外聘审计人进行联络和协调。",
"表16 两年期目标、预期成绩和绩效指标",
"本组织目标：确保及时、准确、可靠地支付养恤金并对基金的财务、会计和支付业务全面负责，包括出具准确、及时的财务报表，并就财务事项与内部审计人和外聘审计人联络 \n 预期成绩 绩效指标 \n (1) 有效管理定期养恤金支付 (1.1) 按时发出养恤基金工资单资料 业绩计量 2008-2009年：1 200 000 2010-2011年估计：1 300 000 \n 2012-2013年目标：1 400 000 (1.2)及时、准确、可靠地支付养恤基金定期给付 业绩计量 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (1.3)及时、准确、可靠地支付养恤基金非定期给付(与恢复发放养恤金有关的付款在收到有关文件后15日内支付；所有其他付款在收到后30日内支付) 业绩计量 (与恢复发放养恤金有关的付款在收到有关文件后15日内支付；所有其他付款在收到后30日内支付) 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (2)提供高质量和一致的缴款记录，包括及时核对年终程序所产生的参与人对账异常情况 (2.1)得到解决的参与人对账异常情况数目业绩计量 2008-2009年：9 000 2010-2011年估计：10 000 \n 2012-2013年目标：11 000 (2.2)在收到年终附表后六个星期内为所有参与人核定记录 业绩计量 (在收到年终附表后六个星期内为所有参与人核定记录) 2008-2009年：100% 2010-2011年估计：100% \n 2012-2013年目标：100% (3)提供高质量和一致的财务报表，制定实施适用的国际公共部门会计准则/国际会计准则的政策和程序 (3.1)及时提供财务报表(在下一年4月15日前出具报表草稿)业绩计量 (在下一年4月15日前出具报表草稿) 2008-2009年：在到期日前 2010-2011年估计：在到期日前 2012-2013年目标：在到期日前 (3.2)采用的国际公共部门会计准则和披露要求百分比增加 业绩计量 2008-2009年：不适用 2010-2011年估计：开始采用某些国际公共部门会计准则和披露要求 \n 2012-2013年目标：2012年财务将全面采用国际公共部门会计准则。预期将进行年度审计。",
"外部因素",
"82. 本次级方案预计将实现其目标，除非受如下事件影响：(a) 世界各地的政治冲突和自然灾害造成养恤金领取者的银行服务中断；(b) 系统实施方面出现意外延误，导致公共部门会计准则的财务报表信息延迟；及(c) 基金的增长导致人力资源不足，因而无法妥善向养恤金领取者提供服务。",
"产出",
"83. 在2012-2013两年期将交付以下产出：",
"(a) 编制3套财务报表和相关文件；根据自联合国系统会计准则转向完全采用公共部门会计准则第26条所带来的变化，编写2012年更新的财务报表；",
"(b) 在前后报告之间减少关于监督下领域和会计技术问题的未执行审计意见的数目(同时计入其间所产生的新的审计意见)；",
"(c) 在规定的提交年终附表后六个月的期限内为所有汇款实体进行全面对账；",
"(d) 在年度和两年期决算时，在离职主卷宗记录中的数据与给付历史记录之间进行全面核对；",
"(e) 在纽约、日内瓦和较大的报告实体举办关于缴款方面参与人对账异常情形问题的专题介绍和讲习班；",
"(f) 每个月及时完成所有账户的银行对账；",
"(g) 及时落实任何关于向养恤金领取人付款的最新银行规定；",
"(h) 在向养恤金领取者付款方面：",
"㈠ 确保养恤金领取者及时收到款项；",
"㈡ 减少银行向基金的收费；",
"㈢ 尽可能减少或消除银行对养恤金领取者的收费。",
"表17 所需资源",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 27 874.7 28 626.2 137 136",
"非员额 2 595.3 5 342.2 — —",
"小计 30 470.0 33 968.4 137 136",
"预算外 158.2 152.9 1 1",
"共计 30 628.2 34 121.3 138 137",
"84. 所列经费34 121 300美元，将用于续设137个员额；124个常设员额(3个D-1，3个P-5，9个 P-4，13个P-3，1个P-2，8个一般事务(特等)和87个一般事务(其他职等))；1个由预算外资源供资的一般事务(其他职等)员额；12个临时员额(6个P-4，2个P-3，4个一般事务(其他职等))及在日内瓦办事处调动的1个法律室控制下的P-4职等法律事务干事员额，以及用于非员额所需资源。非员额资源增加的原因是，下列方面的所需资源增加：咨询人(100 000美元)和一般业务费用(2 846 300美元)，但增加的数额因一般临时助理所需资源增加而部分抵消(199 400美元)。一般业务费用大幅增加完全是由于养恤金联委会从2010-2011年拟议预算中扣除了银行收费。",
"85. 常设委员会在其第186次会议上审查了关于基金实施的离职后健康保险保费削减方案的一份说明，批准了上述预算外资源，由参加的成员组织出资，基金不承担任何费用。",
"4. 方案支助",
"信息管理系统处",
"所需资源(重计费用前)：43 324 900美元",
"86. 在养恤基金信息和通信技术管理模式的指导下，信息管理系统处负责以下工作：基金的信息系统服务；维护信息和通信技术；协调执行信息技术执行委员会通过的战略决定；为信息和通信技术工作人员制定培训计划及提供必要工具，以支助知识的交流和合作性工作。",
"87. 该处负责提供全方位的电算办公室自动化；软件/系统设计、开发和启用；硬件支持；电信；共用基础设施服务(包括投资管理司)；基金日内瓦办事处信息技术工作的监督和技术领导；资源管理、基础设施和会议室支持。",
"表18 两年期目标、预期成绩和绩效指标",
"本组织目标：通过高效和有效地利用信息和通信技术协助实现基金的业务和战略目标 \n 预期成绩 绩效指标 \n(1)在基金的信息系统平台现代化方面取得进展 (1.1)支持经过重新设计的业务程序的企业信息技术架构 业绩计量 2008-2009年：不适用 2010-2011年目标：每阶段按期完成项目交付 \n 2012-2013年目标：每阶段按期完成项目交付(2)提高向客户提供服务的效率和成效 (2.1)向客户提供信息技术服务的时间的百分比 业绩计量 2008-2009年：99% 2010-2011年估计：99 % \n 2012-2013年目标：99 % (3) 改善信息技术服务 (3.1)支助工作达到令人满意(或以上)水平的信息技术系统百分比 业绩计量 2008-2009年：95% 2010-2011年估计：95 % \n 2012-2013年目标：95 % (4)更多使用电子存储进行信息共享 (4.1)知识管理系统中提供的信息管理系统处文件的百分比 业绩计量 2008-2009年：80% 2010-2011年估计：95 % \n 2012-2013年目标：95 % (5) 增加信息安全 (5.1)每年按照国际标准化组织17799号安全标准衡量的既定交付成果合规率上升百分比 业绩计量 2008-2009年：78% 2010-2011年估计：90% \n 2012-2013年目标：90% (6)更好地与参与人、受益人和其他客户分享电子信息 (6.1)通过电子方式分享人力资源信息的参与人所占百分比 业绩计量 2008-2009年：75% 2010-2011年估计：80 % \n 2012-2013年目标：80 % (6.2)通过电子方式分享财务信息的参与人所占百分比 业绩计量 2008-2009年：10% 2010-2011年估计：20 % \n 2012-2013年目标：30 %",
"外部因素",
"88. 本次级方案预计能实现目标和预期成绩，前提是：(a) 技术发展符合预期； (b) 可获得用以实现重要目标的内部和外包资源；(c) 各利益攸关方履行责任和义务，并为实现信息和通信技术战略的各项目标提供全面合作，尤其是在工作的流程审查和重新设计阶段。",
"产出",
"89. 2012-2013两年期内将交付下列产出：",
"企业业务服务",
"(a) 根据本组织的职能和业务需求，有成效和高效率地获取和实施服务于拟议的养恤金综合管理系统举措的信息和通信技术架构，重点是改善信息管理和提高基金业务的效率；",
"(b) 政策。确保信息管理系统处提供的所有信息和通信技术服务尽可能符合基金信息技术执行委员会的预期和相关行业标准(例如信息技术基础设施库)；按照国际标准化组织安全标准ISO-20002，对基金的信息和通信技术基础设施执行网络安全措施；",
"(c) 通信。提供主干通信服务，包括用于连接基金各办事处(包括基金秘书处、日内瓦办事处、投资管理司和同国际电子计算中心新达成的信息技术基础设施托管安排)的因特网、私人租赁线路、通信装置和设备及必要的通信线路；对纽约的中枢网络基础设施进行升级，扩充其容量，以支持在把高速关键任务数据、语音和视频等信息传送到桌上电脑方面有着多种需求的用户；",
"(d) 信息和通信技术基础设施服务。为支持基金的业务，对信息和通信技术基础设施服务实施多班操作、管理和维护，如在纽约、新泽西和日内瓦进行的服务器管理、中件管理和数据备份。 监督指挥中心的应用程序、设备、网络负载和信息传输，以防止服务中断。它们还将确保尽可能使用最新版本软件，并在必要情况下利用软件开发生命周期办法进行系统升级；",
"(e) 基础设施构架服务。在强调整合、互操作性、模块性和可扩缩性，并定期进行技术更新的最佳技术标准和做法基础上，开发和落实信息和通信技术基础设施；为信息技术决策者提供指导、通过减少支助费用和规模经济来降低信息技术费用；",
"(f) 用户支助/服务台。为连接养恤基金网络的应用程序、服务器、个人电脑和移动设施提供技术性、操作和服务台支持；为核准的软件应用程序，如生产力系统、电子邮件、知识管理系统和定制应用程序提供基础设施支持；操作和支持会议室设施和设备，包括视频/音频设备及投影功能；",
"(g) 短信通讯。提供和维护电子短信通讯服务，包括电子邮件、视频会议服务和统一报文传送；提供和维护用于手提式设备和服务的移动短信通讯和通信。",
"企业应用程序服务",
"(a) 开发。采用能够减少养恤金人工处理的系统，以维护提高生产力和效率的系统；改进参与人和受益人的手续办理并与银行、会计系统和工作流程界面连接；",
"(b) 企业系统维护。维护及改进核心业务应用企业系统，包括养恤金管理、会计和内容管理等系统；",
"(c) 维护成员组织的信息共享。在人力资源信息和财政信息数据的收集中实施和维护成员组织的信息共享；利用各组织使用的若干企业资源规划界面加强人力资源和财政数据的收集；维护电子档案输出界面，以安全的方式支持信息分享和转换。",
"企业数据服务",
"(a) 数据库管理。在各种信息技术平台上实施和维护养恤基金数据库并提高其可用性；进行数据库升级；监测使用情况和解决问题；编制新表格和视图；发现数据完整性问题；根据业务需求支持与数据库连接有关的系统开发工作；",
"(b) 系统软件编程。实施和维护数据库系统，在需要时为计算机操作系统和程序提供主机服务，以便向各种应用程序和界面提供关键任务数据；",
"(c) 数据仓支持。实施和维护数据仓系统并提高其可用性；在各种平台上进行数据清洗和数据联合；",
"(d) 管理方报告。利用商业情报工具实施、维护和改进管理方报告。",
"企业安全服务",
"(a) 信息安全。定期对养恤基金纽约和日内瓦办事处技术架构和运作进行安全风险评估，并用各种安保工具，包括防火墙、反垃圾邮件和防毒软件来保护网络安全；",
"(b) 身份管理。提供集中管理身份储存和删除的能力，整合不断扩大的身份储存库；",
"(c) 灾难恢复。拟订、采取和实施一个多年期灾难恢复战略，以支持养恤基金的业务延续性需求。",
"企业项目管理服务",
"(a) 治理。利用信息管理系统处各理事机构建立的模式来强化和运行具有强大治理能力的方案管理基础设施；",
"(b) 项目管理方法。以高效、连贯和标准化方式提供项目管理程序及方法方面的指导；",
"(c) 项目管理支持。根据项目管理方法更新、监督和维护项目组合；提供辅导和训练指导，以努力提高本组织的项目管理成熟度；",
"(d) 审计管理。管理和遵守与信息和技术服务有关的内部和外部审计意见。",
"企业质量和生产控制服务",
"(a) 质量标准化。查明和记录对信息管理系统处内执行工作的各种质量标准要求；",
"(b) 变化管理。确定和实施列有适当责任分工的完整的变化管理框架；",
"(c) 服务级协议和服务提供协议。编制统计资料及管理信息管理系统处所有服务级协议和服务提供协议；",
"(d) 生产控制。监督质量保障功能，以确保所有系统都是在进行了全面评估和用户接受程度测试之后才投入使用。",
"合同管理服务",
"监测和管理信息管理系统处预算的各个构成部分；向各项信息和通信技术服务提供行政支助，包括确定可用资源、登录预留款和处理请购单、定购单及相关发票；说明该处资产用途；管理与供应商包括技术伙伴、承包商和承包公司的关系。在拟订技术采购的一般性规格说明方面提供专家级知识；直接与联合国采购处合作，确保以尽可能低的费用提供带来增值的解决办法。",
"表19 所需资源",
"资源 (千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 8,426.7 8 607.6 32 31",
"非员额 32 814.1 34 717.3 — —",
"共计 41 240.8 43 324.9 32 31",
"90. 所列经费 43 324 900美元，用于续设31个员额：26个常设员额(1个D-1、2个P-5、6个P-4、10个P-3、1个一般事务(特等)和6个一般事务(其他职等))和5个临时员额(1个P-5、1个P-4、2个P-3和1个一般事务(其他职等))，并包括非员额资源。核定的1个P-4职等临时员额的任用期只有12个月，该员额已于2011年裁撤。非员额资源增加(1 903 200美元)主要是用于其他工作人员费用(127 000美元)和订约承办事务(5 975 900美元)，但由于家具和设备(3 976 400美元)、工作人员差旅费(21 600美元)和一般业务费用(177 400美元)所需资源减少而部分抵消。养恤金综合管理系统项目所需资源总计12 661 400美元，用作订约承办事务(11 466 300美元)和临时员额(1 195 100美元)费用。",
"法律室",
"所需资源(重计费用前)：1 358 400美元",
"91. 法律室继续负责向基金纽约和日内瓦办事处的管理层和业务部门提供统一的法律服务，向养恤金联委会审计工作委员会和常设委员会(关于上诉案件)以及联合国工作人员养恤金委员会(关于伤残案件)提供实质性、程序性和行政支助。法律室负责确保基金业务活动遵守《基金条例和细则》，并对《条例》作前后一致的解释。除基金秘书处各科室外，还就个案中实施《基金条例和细则》问题向参与者和退休人员和/或其法律代表提供法律服务和支助。法律室侧重以新的方式记载和传播判例、裁决和政策决定。通过这种方式促进知识分享有助于有效利用法律室积累的法律信息和经验，更多利用最佳做法，并使主管人员和工作人员能够在其日常决策中考虑到法律风险。",
"表20 两年期目标、预期成绩和绩效指标",
"本组织目标：保护基金的法律利益，就养恤基金事项向首席执行干事、养恤金联委会和常设委员会以及养恤基金其他管理机构提供专家法律意见 \n 预期成绩 绩效指标 (1)实施《养恤基金条例和细则》和养恤金调整制度的统一性和连贯性得到加强 (1.1)基金立场未得到常设委员会或上诉法庭支持的复审请求/申诉数目减少业绩计量 2008-2009年：90%的案例维持原判 2010-2011年估计：100%的案例维持原判 \n 2012-2013年目标：100%的案例维持原判(2)有关法律事项的交流和知识分享实现了现代化和得到改善 (2.1) 利用养恤基金《案例摘要》和其他知识管理工具记载和传播的法律决定和判例的数目 业绩计量 2008-2009年：不适用 2010-2011年估计：100%的常设委员会和法庭案例，10%已汇编的法律裁决 \n 2012-2013年目标：100%的常设委员会和法庭案例，30%已汇编的法律裁决(3)会议服务的组织和程序事项得到改善，向各委员会成员提供的实质性服务得到加强 (3.1) 养恤金联委会、常设委员会、审计工作委员会和联合国工作人员养恤金委员会成员对秘书处实质性服务的水平和质量的满意程度 业绩计量 2008-2009年：对提供的服务没有提出投诉 2010-2011年估计：对提供的服务没有提出投诉 \n 2012-2013年目标：对提供的服务没有提出投诉",
"外部因素",
"92. 法律室预计能实现目标和预期成绩，前提是：(a) 基金各委员会、养恤金联委会、成员组织、业务人员和管理层在其活动和业务影响到基金的法律利益和法律责任时，寻求法律咨询；(b) 及时征求法律意见，客户提供充分信息，以供进行法律分析，并将遵循所提供的意见；(c) 可获得所需人力和财政资源。",
"产出",
"93. 2012-2013两年期内，将交付下列产出：",
"(a) 就与《基金条例》、《管理细则》和养恤金调整制度的解释和实施有关的问题提供咨询，为实施管理政策和程序提供业务支持；",
"(b) 就与成员组织以及其他国际和政府间组织之间的协定和其他法律文书的审查、谈判和起草工作提供咨询，并酌情进行督查和监督；",
"(c) 就体制模式和业务模式、法律呈件和其他法律文件提供咨询和编制文件；就有关养恤金事项的案件编写提交联合国上诉法庭的被告方答辞(10)；",
"(d) 编写法律出版物和送交基金参与者/受益人、各养恤金秘书处和各成员组织行政当局的信函，包括在基金网站上发布的有关资料；",
"(e) 为联合国工作人员养恤金委员会、常设委员会、审计工作委员会提供会议服务，包括通过网上“Quick Places”和其他知识管理工具，以电子方式传送文件来简化信息分享和实现信息分享现代化；",
"㈠ 就程序规则、各项决议和养恤金联委会/委员会各项决定的解释和执行提供咨询；",
"㈡ 为常设委员会会议提供实质性、技术性和行政服务(2次),包括编写约12份复审请求和申诉；分析法律问题、编写报告和文件：",
"㈢ 为联合国工作人员养恤金委员会会议提供实质性、技术性和行政服务(4次)；编写残疾津贴申请(大约140项新的成人申请案、40项子女申请案、大约190份复核申请和2项上诉申请)；编写报告和文件；",
"㈣ 为审计工作委员会会议提供实质性、技术性和行政支助(6次)，包括协调文件和报告的编写工作；",
"(f) 编纂和系统地传播常设委员会和行政法庭案件判例以及其他法律参考档案、意见、政策决定和准则；",
"(g) 就养恤金办法的法律方面有关问题，与基金各成员组织及其工作人员养恤金委员会以及其他国际组织联络；",
"(h) 代表基金出席国际或区域会议、机构间会议和成员组织法律顾问会议，并于必要时参加各种常设理事会、委员会、特设工作组和工作队。",
"表21 所需资源",
"资源 (千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 — 1 358.4 — 4",
"非员额 — —",
"共计 — 1 358.4 — 4",
"94. 为了更为明确地分析方案支助，已将法律室从首席行政干事办公室分离出来，将其改为一个方案支助次级方案。1 358 400美元的经费将用于续设4个员额，其中3个员额调自首席执行干事办公室(2个P-5和1个一般事务(其他职等))，1个员额调自日内瓦办事处(1个P-4，法律干事)。其中最后一个员额将设在日内瓦。",
"执行办公室",
"所需资源 (重计费用前): 11 838 900美元",
"95. 执行办公室为基金开展活动提供必要的行政和方案支持。它协助首席执行干事和投资管理司司长编制两年期预算报告，并为有效利用人力和财政资源提供相关的支助服务。它还提供一般行政管理和设施管理服务。",
"表22 两年期目标、预期成绩和绩效指标",
"本组织目标：通过高效和有效的管理和方案支助，协助实现基金的业务和战略目标 \n 预期成绩 绩效指标 (1) 及时征聘和安置工作人员 (1.1) 员额平均空缺天数减少 业绩计量 2008-2009年：200天 2010-2011年估计：180天 \n 2012-2013目标：150天 \n (1.2)妇女在任期一年或一年以上的专业及以上职等员额中所占百分比增加 业绩计量 2008-2009年：32% 2010-2011年估计：39% \n 2012-2013年目标：45% (2)通过内部和外部培训，工作人员的多面能力得到加强 (2.1) 可提供的专门学习课程产出增加业绩计量 2008-2009年：30 2010-2011年估计：38 \n 2012-2013年目标：48 (2.2) 参加和成功完成学习和职业发展方案的工作人员数目增加 业绩计量 2008-2009年：618 2010-2011年估计：700 \n 2012-2013年目标：700 (3)对基金行政预算的管理和监督得到改善 (3.1) 降低未清债务和上期债务核销额相当于最后批款的百分比业绩计量 2008-2009年：不适用 2010-2011年估计：9% \n 2012-2013年目标：8% (4)设施和财产服务的质量和及时性得到加强 (4.1) 因房舍设施维修停工而损失的工作日减少业绩计量 2008-2009年：零 2010-2011年估计：零 \n 2012-2013年目标：零",
"外部因素",
"96. 执行办公室预计能实现目标和预期成绩，前提是能够得到所需人力和财政资源。",
"产出",
"97. 2012-2013两年期内将交付下列产出：",
"(a) 人力资源管理：",
"㈠ 就与人力资源管理有关的一切问题向所有工作人员提供政策建议；",
"㈡ 管理招聘主管所需的职位空缺跟踪数据，以支持征聘目标；",
"㈢ 向各位主任报告电子考绩制度合规数据；",
"㈣ 为通过Inspira和临时空缺通知征聘的所有人员安排面试；",
"㈤ 处理与工作人员-管理当局之间关系有关的问题 (听取抗辩小组等)；",
"(b) 工作人员培训和职业发展：",
"㈠ 为基金制定专门课程，并与信息管理系统处协调促进知识转让，以建立一个学习管理系统平台；",
"㈡ 安排在基金房舍举办培训课程；",
"㈢ 监督和跟踪所有工作人员都须完成的必修课程；",
"㈣ 向每个新工作人员介绍基金情况；",
"㈤ 提供职业发展方面的咨询意见。",
"(c) 行政：",
"㈠ 向基金工作人员提供日常行政支助；",
"㈡ 维护人员配置表;",
"㈢ 处理一般事务职等和专业职等人事行动，以按月发薪；",
"㈣ 以提醒主管提出推荐的方式，在工作人员合同到期的两个月前续延合同；",
"㈤ 根据联合国的政策和个人养恤金和应享权利的任何变更和最新情况，对工作人员养恤金和应享权利个案进行分析；",
"㈥ 为基金工作人员和有关人员提供经过确认的商务旅行;",
"㈦ 安排养恤金联委会联合国成员、审计工作委员会和精算师委员会成员和基金工作人员的旅行；",
"㈧ 维护工作时间和出勤记录；",
"㈨ 维护“Quickplace”网站，供审计工作委员会成员获取与会议有关的文件。",
"(d) 财务和预算管理：",
"㈠ 就基金的两年期预算和订正预算向方案主管提供指导并完成预算编制工作；",
"㈡ 发放拨款和订正拨款；",
"㈢ 为所有支出提供证明；",
"㈣ 监督支出，并每月向方案主管报告支出情况；",
"㈤ 就《财务条例和细则》的实施向方案主管提供咨询和指导；",
"㈥ 控制行政预算，包括核查发票后再付款；",
"㈦ 完成基金年度财务报表附表一(批款状况与行政费用之比较)；",
"㈧ 核对基金和联合国秘书处之间的行政费用。",
"(e) 设施和财产管理：",
"㈠ 确保设施得到维护和处于正常运行状况；",
"㈡ 与房舍管理部门和供应商协调进行任何必要的维修；",
"㈢ 管理与办公场所有关的合同；",
"㈣ 协助规划和配置新的和现有的办公空间；",
"㈤ 维护和支持基金固定资产的资产/库存管理系统；",
"㈥ 协调处置陈旧设备和家具；",
"㈦ 维护和支持基金的紧急情况通报系统；",
"㈧ 维护紧急情况联络资料，供基金工作人员在安全/紧急行动中使用。",
"表23 所需资源",
"资源 (千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 1 659.3 1 718.6 7 7",
"非员额 11 451.5 10 120.3 — —",
"共计 13 110.8 11 838.9 7 7",
"98. 所列经费11 838 900美元，减少了1 271 900美元，用于续设7个员额(1个P-5、1个P-4、1个P-3和4个一般事务(其他职等))和将1个P-3员额改叙为P-4员额，并包括整个行政方面的非员额资源。非员额资源减少1 331 200美元的主要原因是，在作出更准确的估算后，房地租金和维修费减少。",
"C． 投资费用",
"1. 概述",
"99. 投资管理司根据秘书长代表依照《联合国合办工作人员养恤基金条例》第19条所给予的授权，协助秘书长管理基金资产的投资。该司负责这些资产的日常管理，执行核准的投资策略，并确保投资组合符合基金核准的资产分配、政策、条例和细则。其任务是创造满足负债需求的总体投资组合收益，同时不超出基金的风险限度。投资管理司确保执行情况报告和投资组合风险分析报告的准确性和及时更新，并安排对基金的投资予以适当和准确的记账。该司的主要科室有司长办公室、投资科、风险与合规科、业务科和信息系统科。",
"100. 投资管理司总体所需资源总额在重计费用前为91 799 300美元，比2010-2011两年期订正批款净增加了10 601 800美元，增幅13.1%。下表25所示净增加额概述如下：",
"(a) 行政领导和管理：减少1 567 900美元是由于非员额费用的减少，主要包括差旅(1 382 200美元)、咨询人(2 028 800美元)、其他工作人员费用(1 665 100美元)方面的减少，这些款项均在有关方案项下提出请批，从风险与合规科调入1名P-4职等法律干事和从业务科调入1个一般事务(其他职等)员额所增加的员额经费(508 200美元)和订约承办事务经费(3 000 000美元)的增加与之部分相抵；",
"(b) 工作方案：增加7 451 700美元是由于新增6个员额，调入司长办公室的2个员额(1 115 100美元)和与订约承办事务(2 772 200美元)有关的非员额资源6 336 600美元与之相抵；此外，过去提交的文件中在行政领导和管理项下请批的其他工作人员费用(1 416 200美元)、工作人员差旅费(1 271 200美元)和咨询人费用(877 000美元)现均在工作方案项下提出请求；",
"(c) 方案支助：信息系统科所需资源(5 794 500美元)净增4 718 000美元的原因是新增1个员额(863 600美元)以及订约承办事务费用(4 040 000美元)、其他工作人员费用(779 300美元)和差旅费(111 000美元)的增长(过去提交的文件中在行政领导和管理项下请批其中最后两项经费)，行政支助项下房地租金和维修费减少1 076 500美元，与之部分相抵，减少原因是该司位于达格·哈马舍尔德广场1号30层的办公室已装修完毕。",
"101. 下文表24和25所示为资源分配估计数和按构成部分开列的所需资源。",
"表24 按构成部分开列的资源分配百分比",
"构成部分 经常预算",
"A. 行政领导和管理 7.7",
"B. 工作方案",
"1. 投资 53.9",
"2. 风险与合规 2.9",
"3. 业务活动 12.0",
"工作方案小计 68.8",
"C. 支助",
"1. 信息系统科 19.1",
"2. 行政支助 4.4",
"方案支助小计 23.5",
"共计 100.0",
"表25 按构成部分开列的所需资源",
"(千美元)",
"资源增长 分摊数",
"构成部分 2010-2011年 数额 百分比 重计费用前 重计费用 联合国 养恤基金 2012-2013年 批款 共计 估计数",
"A. 8 654.2 (1 (18 1) 7 086.3 52.33 — 7 138.6 7 138.6 行政领导和管理 567.9)",
"B. 工作方案",
"1. 投资 51 568.3 (2 (4.1) 49 476.6 655.8 — 50 132.4 50 132.4 091.7)",
"2. 风险与合规 1 931.6 680.1 35.2 2 611.7 (19.2) — 2 592.5 2 592.5",
"3. 业务活动 2 178.5 8 863.3 406.9 11 041.8 179.9 — 11 221.7 11 221.7",
"B小计 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6",
"C. 支助",
"1. 信息系统科 11 777.3 5 794.5 49.2 17 571.8 253.2 — 17 825.0 17 825.0",
"2. 行政支助 5 087.6 (1 (21.2) 4 011.1 16.9 — 4 028.0 4 028.0 076.5)",
"C小计 16 864.9 4 718.0 28.0 21 582.9 270.1 — 21 853.0 21 853.0",
"共计 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2",
"2. 行政领导和管理",
"所需资源(重计费用前)：7 086 300美元",
"102. 投资管理司司长为该司各科制定各自的战略和优先事项设立框架，以确保该司在履行其任务规定，同时保证达到安全、业绩、责任和问责制方面的最佳状况，并确保充分遵守效率、能力和廉正的最高标准。司长通过反映出该司和整个基金的长期目标和优先事项的工作计划，促进对基金资产的有效控制和管理。司长领导投资管理司与基金的审计工作委员会、联合国审计委员会和内部监督事务厅(监督厅)开展合作。",
"103. 司长办公室负责提供至关重要的法律、合同管理和请购服务及行政支助，包括针对投资管理司日益增长的需求作出人力资源战略预测。该办公室还为投资委员会提供服务和支持。",
"104. 我们的目标是把司长办公室发展成为协助投资管理司监测和协调其工作计划的及时实施的一个单位。随着基金在投资类型、工作人员和科室数目方面持续增长并日趋多元化，司长办公室的范围和职责也在扩大。因此，倘若所需系统和人员配置充足的话，我们计划强化和扩充该办公室的职能，办法是设立任务和责任明确的专门部门来处理以下事项：法律和合同管理；请购服务、预算编制和发票处理；投资委员会和立法机构；行政相关事项。",
"表26 两年期目标、预期成绩和绩效指标",
"本组织目标：确保全面执行法定任务并遵守养恤基金条例和细则，同时考虑到在投资和工作人员及财政资源方面涉及到养恤基金工作方案管理的投资委员会建议和秘书长代表的决定\n 预期成绩 绩效指标",
"⑴ 与秘书长代表协商决定：关于资产分配幅度、货币持有、市场加权、战略和战术性短期分配的指导方针；投资机会；信息系统和操作基础设施 (1.1) 基金的投资业绩优于市场",
"⑵ 对投资管理司的采购需求进行有效的规划和协调 (2.1) 在6个月之内完成的招标书百分比",
"⑶ 就各种类型的投资和合同提供范围广泛的法律咨询 (3.1) 成功完成新的投资交易并执行合同",
"⑷ 向投资委员会和其他立法机构提供有效服务 (4.1) 没有收到投资委员会和其他参与者提出的任何投诉",
"⑸ 工作人员得到及时征聘和安置 (5.1) 员额持续空缺的平均天数减少",
"(5.2) 空缺率降低",
"外部因素",
"105. 目标和预期成绩应能稳定实现，前提是：(a) 所有利益攸关方对投资管理司的工作都给予支持和全力配合；(b) 在执行大会和养恤金联委会确立的任务时没有重大的资金缺口。行政领导方案的实现取决于联合国有关厅/司的全力合作。",
"产出",
"106. 2012-2013两年期期间将交付以下产出：",
"(a) 定期更新和执行投资政策，以确保按照投资委员会接到的指令有力实施投资战略；",
"(b) 就投资管理司的采购需求与采购司进行有效和定期的协调，制定一份中期采购计划，编写高品质的招标文件，加速招标进程；让高品质的企业参与约10次采购行动的投标过程；",
"(c) 与法律事务厅的法律专家和法律顾问定期协调和接触，谈判和执行约160份合同；",
"(d) 每年举办4次投资委员会会议。向联委会、行政和预算问题咨询委员会、第五委员会和其他有关各方提供有关投资的准确报告；",
"(e) 贯彻落实投资管理司工作人员的差旅和培训计划。在180天之内填补职位空缺。",
"表27 所需资源",
"资源(千美元) 员额",
"类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 1 941.6 2 449.8 7 9",
"非员额 6 712.6 4 636.5 — —",
"共计 8 654.2 7 086.3 7 9",
"107. 所需资源总额为7 086 300美元，减少1 567 900美元，用于续设7个员额(1个D-2、1个P-5、1个P-4、1个一般事务人员(特等)和3个一般事务人员(其他职等))、分别从风险与合规科(1个P-4)和业务科(1个一般事务人员(其他职等))调入的2个员额以及全司在代表差旅费和招待费项下的非员额资源。非员额资源减少的主要原因是其他工作人员费用(1 665 100美元)、工作人员差旅费(1 382 200美元)和咨询人费用(2 028 800美元)经费分摊，增加的订约承办事务费用(3 000 000美元)与之部分相抵。",
"3. 工作方案",
"投资科",
"所需资源(重计费用前)：49 476 600美元",
"108. 投资科负责为基金实现最佳投资收益，同时避免不当风险。该科由7个组织实体组成，即北美股票、欧洲股票、亚太股票、全球新兴市场股票、债券、房地产和另类投资。投资科的主要职能是监测当前的投资组合，及时了解和追踪各金融市场的动态，作出并执行投资决定。履行这些职能的工作包括编写金融分析报告，出席大小会议，前往各国会晤一些分析员和公司管理人员。一个次要职能是协助编写给所有理事机构的报告。",
"109. 投资科2012-2013年的任务包括：(a) 实现基金投资的长期目标，即按美国消费物价指数调整后，实际年收益率达3.5%；(b) 实现基金的投资业绩稳定地超过政策基准；(c) 保持与投资收益目标相匹配的风险程度；(d) 通过合理多样化减少货币风险和国家风险。",
"表28 两年期目标、预期成绩和绩效指标",
"本组织目标：长期目标是：(a)在避免不当风险的情况下为基金实现最佳实际投资收益；(b)在资产形式、货币和地域方面令投资组合多样化 \n 预期成绩 绩效指标 (1)养恤基金投资的长期实际年收益率按美国消费物价指数调整后达3.5% (1.1) 10年期内基金总收益与基金目标的比较业绩计量 2008-2009年：由于在2008年和2009年初经历了全球金融危机，基金在2009年12月终了的10年期内业绩比目标低1.7% 2010-2011年估计：根据初步数据，按实际价值计算，基金在2010年12月终了的10年期内业绩为3.5%，与基金的收益目标保持一致 \n 2012-2013年目标：业绩优于实际年收益率达3.5%的长期目标\n(2)基金的投资业绩稳定地超过政策基准，其构成是：60%为股票、31%为债券、6%为房地产和3%为现金 (2.1) 5年期内基金的总收益率与政策基准的比较\n 业绩计量 2008-2009年：在2009年12月终了的5年期内业绩超过基准0.9% 2010-2011年估计：根据初步数据，按名义价值计算，基金在2010年的业绩为10.2%，略低于10.6%的60/31基准收益率 \n 2012-2013年目标：业绩超过政策基准(3)通过合理的多样化减少货币风险和国家风险 (3.1) 投资的币种数目业绩计量 2008-2009年：截至2009年12月，投资于27种货币 2010-2011年估计：截至2010年12月，投资于35种货币 \n 2012-2013年目标：进一步酌情优化基金资产在币种方面的配置 (3.2) 投资的国家数目 2008-2009年：截至2009年12月，投资于包括新兴市场国家在内的41个国家、国际/区域机构和投资信托公司 2010-2011年估计：截至2010年12月，投资于包括新兴市场国家在内的47个国家、国际/区域机构和投资信托公司 \n 2012-2013年目标：进一步酌情优化基金资产在国家间的分配 (4) 将投资分散到另类资产类别 (4.1) 另类资产类别投资战略数目 业绩计量 2008-2009年：不适用 \n 2010-2011年估计：2010年6月，另类投资高级投资干事加入基金。2010年6月至2011年12月期间的目标是敲定另类投资顾问的人选，并向5-10名经理作出承诺。2009年6月，实物资产顾问的人选敲定，并将于2011年初制定详细的战略。基金将向基础设施和木材/农业用地领域的几个基金投资\n 2012-2013年目标：截至2013年底，基金预计将向15-20家私募基金和对冲基金投资。私募基金的长期表现将用美元加权收益率和内部收益率计算法来衡量；而对冲基金投资组合则将用时间加权收益率计算法来衡量。将与养恤基金的私募基金和对冲基金顾问一道讨论基金的基准设定问题，并将在后面的阶段中详细列报(5)工作人员处理投资和投资组合管理问题的能力提高 (5.1) 至少参加一次相关会议或研讨会的工作人员比例业绩计量 2008-2009年：不适用 2010-2011年估计：不适用 \n 2012-2013年目标：每个工作人员至少参加一次相关会议或研讨会",
"外部因素",
"110. 目标和预期成绩应能稳定实现，前提是(a) 所有利益攸关方对投资管理司的工作都给予支持和全力配合；(b) 在执行大会和养恤金联委会确立的任务时没有重大的资金缺口；(c) 诸如全球股票、全球债券、房地产和外汇等金融市场的变动方向与长期假设一致。",
"产出",
"111. 2012-2013两年期期间将交付以下产出：",
"(a) 总收益率优于基金目标，即，长期实际年收益率按美国消费物价指数调整后达3.5%；",
"(b) 基金总收益率超过政策基准，其构成是：证券为60%，债券为31%，房地产为6%，现金为3%；",
"(c) 在货币和国家方面保持较好的多样化投资组合，以期降低货币风险和国家风险；",
"(d) 在市场条件有利于基金的情况下成功采用适合基金目标的另类资产类别，以赚取比投资于上市股票更高的收益率；",
"(e) 通过参加与投资和投资组合管理直接相关的会议和研讨会，提高工作人员的专业素质和知识深度，将有助于提高基金的业绩。",
"表29 所需资源",
"资源(千美元) 员额",
"类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 7 698.4 8 974.3 27 31",
"非员额 43 869.9 40 502.3 — —",
"共计 51 568.3 49 476.6 27 31",
"112. 所需资源总额为49 476 600美元，减少2 091 700美元，用于续设27个员额(1个D-1、7个P-5、6个P-4、4个P-3、4个一般事务人员(特等)和5个一般事务人员(其他职等))、新设4个员额(3个P-4和1个P-3)及非员额资源。非员额资源减少的原因是订约承办事务费用减少(5 090 300美元)以及纳入了原来在行政领导和管理项下请批的其他工作人员费用(197 500美元)、工作人员差旅费(1 025 200美元)和咨询人费用(500 000美元)。",
"风险与合规",
"所需资源(重计费用前)：2 611 700美元",
"113. 风险与合规科是一个新设机构，负责识别、计量和管理基金所面临风险的各方面问题。此外，在合规方面，该科负责实施对基金投资的有效的监测和控制程序。其职能包括两个分项职能：风险管理与合规。",
"表30 两年期目标、预期成绩和绩效指标",
"本组织目标：规定控制措施，监测在投资管理司资金所涉各类风险(即市场风险、操作风险、信用风险、法律和名誉风险)方面的合规情况。这一职能还负责在资产和主管一级制定风险预算，监测对风险预算的遵守情况，根据既定风险承受度帮助投资部门将经风险调整的收益最大化 \n 预期成绩 绩效指标 (1)有效监督养恤基金投资业务所包含的风险 (1.1)监测活动有效覆盖所有投资交易业绩计量(交易数) 2010-2011年：100% \n 2012-2013年目标：100% (2) 制定风险管理框架 (2.1)全面实施风险分析系统，并培训所有投资组合管理人员将风险分析纳入投资组合构建过程 \n 2012-2013年目标：100% (2.2)执行《风险管理手册》中列出的风险管理控制措施；风险控制措施的落实比例 业绩计量 成功落实所有既定的风险指导原则和控制措施 根据投资环境的变化或新确认的风险，监测控制措施，开展趋势分析，修正指导原则和控制措施 2010-2011年：75% \n 2012-2013年目标：99% (3)遵守投资管理司既定的政策和程序 (3.1)符合各项政策和标准操作程序的投资交易比例 业绩计量(交易的百分比) \n 2012-2013年目标：95% (3.2)保证工作人员在履行其作为国际公务员的职责和责任的过程中具有较高的道德标准 业绩计量(工作人员数) \n 2012-2013年目标：100% (3.3)成功协调和帮助遵守审计建议 业绩计量(已完成的审计比例) \n 2012-2013年目标：100% (4)落实多保管人和独立的总账管理人做法 (4.1)全面落实多保管人和独立的总账管理人制度，与风险管理、会计和交易订单管理等投资管理司的其他系统实现一体化 \n 2012-2013年目标：100%",
"外部因素",
"114. 风险与合规科应能实现目标和预期成绩，前提是外部所有各方都对该科的工作给予支持和全力配合。其他外部因素包括：",
"(a) 更加不稳定的股市；",
"(b) 更加不稳定、大幅波动的货币市场，需要开展大量定量分析的能力，以利用与指数挂钩的工具来抵消风险；",
"(c) 主权国家的信用风险增大；",
"(d) 在不同地域同时出现通胀和/或通缩的环境下开展运作；",
"(e) 国际贸易壁垒增多；",
"(f) 宏观经济走势变化时的基准变化；",
"(g) 因基准货币(美元)贬值而产生突发性资金不足的风险，致使资金达到历史高点，但由于对双轨制功能的使用增多以及用其他货币计价的负债增多，同时存在资金不足的潜在风险；",
"(h) 商品价格大涨；",
"(i) 失业率高企，成为发展中经济体持续存在的“新常态”；",
"(j) 主权国家贷款违约。",
"产出",
"115. 2012-2013两年期期间将交付以下产出：",
"(a) 维护政策和标准作业程序，即标准投资作业政策和程序、《风险管理手册》、合规政策和手册、道德规范和关于个人证券、礼物和招待的政策；",
"(b) 完成对基金投资业务的季度合规审查，以确保有效控制基金的合规风险；",
"(c) 管理回执核证、交易订单预先核准、个人证券报告、招待费记录和强制休假；",
"(d) 组织有关投资合规和道德守则的培训方案(共2项全司参与的现场培训方案)；",
"(e) 为全面遵守联合国年度财务披露方案开展协调；",
"(f) 编制养恤金联委会审计工作委员会的定期报告(共8次列报)；",
"(g) 为审计委员会和内部监督事务厅计划开展的内部和外部审计充当协调中心；充当处理道德操守办公室质询的协调中心。",
"表31 所需资源",
"资源(千美元) 员额",
"类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 1 931.6 1 919.7 6 7",
"非员额 — 692.0 — —",
"共计 1 931.6 2 611.7 6 7",
"116. 所需资源总额为2 611 700美元，增加680 100美元，用于续设5个员额(1个D-1、2个P-4和2个一般事务人员(特等))、从业务活动科调动1名P-4和1名一般事务人员(其他职等)员额到司长办公室以及新设1个员额(1个P-4)的费用。非员额资源增加的主要原因是纳入了原先在行政领导和管理项下请批的其他工作人员费用(321 600美元)、工作人员差旅费(193 400美元)、咨询人费用(127 000美元)和订约承办事务费用(50 000美元)。",
"业务活动",
"所需资源(重计费用前)：11 041 800美元",
"117. 投资管理司业务科负责基金一切投资交易与相关活动的后台投资业务、会计、对账和财务报告工作。该科还负责及时和准确地结算一切投资交易和外汇交易，运用行业标准解决办法进行直通处理和例外情况处理。此外，该科还确保按照养恤基金采用的国际公共部门会计准则妥善记录所有投资活动，例如交易、外汇交易、收入核收、债务期限、税收和企业行动，以便编写具有足够的内部控制和审计跟踪的财务报表。另外，该科还负责编写每日现金预测，以便投资科能够管理投资管理司投资时使用的所有币种现金。从2012年1月1日起，业务科还将在养恤基金财务主任全面指导下，负责对所有应在全养恤基金的财务报表中报告和反映的投资活动适用国际公共部门会计准则。该科与托管人密切合作，以处理交易和外汇结算、未成功交易的利息索赔调查、收入核收、债务期限、税收和企业行动。该科还与总账管理人密切合作，每天核对现金和所持资产、基金投资的公平市场估值以及总分类账入账情况。该科与信息系统科密切合作，协助执行更高效的程序，确保内部控制，同时加强投资管理司的各种计算机化投资活动，以尽量减少人工干预。",
"表32 两年期目标、预期成绩和绩效指标",
"本组织目标：确保基金投资的安全和提高投资财务报告的透明度",
"预期成绩 绩效指标",
"(1) (1.1) 在市场结算时限内结算的适当授权的投资交易所占百分比增加 自动化后台交易结算与核对进程，具备处理增加了的投资交易量的能力",
"业绩计量",
"2008-2009年：96.25%",
"2010-2011年估计：98%",
"2012年目标：99%",
"2013年目标：99%",
"(1.2) 为解决头寸/所持资产和现金差异所需天数减少",
"2008-2009年：不适用",
"2010-2011年估计：执行和测试阶段",
"2012年目标：3天之内解决差异问题",
"2013年目标：2天之内解决差异问题",
"(2) 与理事机构协调，成功实行养恤基金所通过的国际公共部门会计准则 (2.1) 及时向基金财务主任上报该司编制的符合国际公共部门会计准则的财务报表(来年3月15日之前)",
"业绩计量",
"2008-2009年：2010年4月1日",
"2010-2011年估计：2011年3月15日",
"2012年目标：2012年3月15日",
"2013年目标：2013年3月15日",
"(2.2) 审计委员会就财务报表提出无保留的审计意见",
"业绩计量",
"2008年：无保留的审计意见",
"2009年：经修改的审计意见",
"2010-2011年估计：无保留的审计意见",
"2012年目标：无保留的审计意见",
"2013年目标：无保留的审计意见",
"(3) 在新的双重托管人和独立总账管理人模式中业务功能进入全面运作 (3.1) 在新的托管人和总账管理人选定后所有业务系统进入全面运作",
"外部因素",
"118. 业务科预计能够实现其目标，前提如下：",
"(a) 内部关键任务系统(Charles River交易订单管理系统、Murex MX.3、SWIFT和OMGEO)和独立总账管理人的总账入账系统及时提供全面的直通处理以及例外情况处理与对账；OMGEO、独立总账管理人和总账会计系统的落实都有赖于合同谈判取得成功；",
"(b) 两位托管人及独立总账管理人在保管和总账管理服务方面的业绩令人满意。",
"产出",
"119. 2012-2013两年期期间，将交付以下产出：",
"(a) 所有证券、房地产、另类资产和货币兑换交易在结算日或定值日的结算；",
"(b) 每天针对例外情况进行证券/头寸/所持资产和现金，包括收入(股息、利息和现金分派)、期限以及企业行动的自动核对；",
"(c) 2012年6月30日财务报表的成功检验或测试，并得到外聘审计人对遵守国际公共部门会计准则的情况予以的好评；",
"(d) 在2013年3月15日之前，编制符合国际公共部门会计准则的财务报表和披露(仅投资部分)；",
"(e) 将所有资产转至新的保管人，由其入账并重新登记；",
"(f) 由新的总账管理人和保管人编制所有标准报告。",
"表33 所需资源",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 2 178.5 2 029.6 11 10",
"非员额 — 9 012.2 — —",
"共计 2 178.5 11 041.8 11 10",
"120. 编列经费11 041 800美元，增加了8 863 300美元，用于续设9个员额(1个P-5、1个P-3、2个一般事务人员(特等)和5个一般服务(其他职等))，调出2名一般事务(其他职等)员额，分别调往司长办公室以及风险和合规科，设立1个新员额(1个P-3)。非员额资源的增加主要是用于订约承办事务(7 812 500美元)以及行政指导和管理项下先前请批的资源，包括其他工作人员费用(897 100美元)、工作人员差旅费(52 600美元)和咨询人(250 000美元)。",
"4. 方案支助",
"信息系统科",
"所需资源(重计费用前)：17 571 800美元",
"121. 信息系统科负责技术、数据管理、应用程序、政策、程序和项目管理，以帮助投资流程和维护可靠的投资数据。该科将继续执行有关解决方案，以提高投资数据质量和便利性，对投资程序加以精简和标准化，并提供切实可行的技术，以执行安全政策，确保业务连续性，并执行符合投资管理司投资准则的控制措施，从而减少操作风险和业务风险。更为重要的是，该科将提供良好的投资数据，并使其成为解决方案的一部分，为养恤基金增值，并使明智的风险管理成为可能。",
"表34 两年期目标、预期成绩和绩效指标",
"本组织目标：提供信息技术解决方案和技术支持，以促进前后台投资流程",
"预期成绩 绩效指标",
"(1) (1.1) 能够对投资交易进行例外处理 执行投资管理司的信息和通信技术战略，包括实施与合并新的和现有系统，以便利投资活动",
"业绩计量",
"直通处理的交易所占百分比",
"2008-2009年：不适用",
"2010-2011年：90%(交易订单管理、SWIFT、保管人银行)",
"2012-2013年目标：95%",
"(1.2) 支持投资流程的标准化和现代化",
"业绩计量",
"标准化的业务流程所占百分比",
"2008-2009年：不适用",
"2010-2011年：85%",
"2012-2013年目标：95%",
"(1.3) 使风险与合规管理成为可能",
"业绩计量",
"所提供的风险与合规工具的数目",
"2008-2009年：不适用",
"2010-2011年：2",
"2012-2013年目标：2",
"(2) 提高投资管理司投资数据的质量、安全性和可获得性 (2.1) 投资数据得到及时核实与对账",
"业绩计量",
"编制的可靠投资报告所占百分比",
"2008-2009年：50%",
"2010-2011年：75%",
"2012-2013年目标：90%",
"(2.2) 信息技术服务的可获得性高",
"业绩计量",
"信息技术潜在操作风险所占百分比",
"2008-2009年：25%",
"2010-2011年：小于5%",
"2012-2013年目标：小于1%",
"外部因素",
"122. 本次级方案预计能实现目标和预期成绩，前提是：(a) 联合国秘书处代表投资管理司进行的采购和法律程序在预计期限内完成；(b) 各利益攸关方履行自己的职责，对实现该司的信息和技术战略目标给予充分合作，便利该司的业务；(c) 信息管理系统处及时支持经过整合的信息和通信技术基础设施。",
"产出",
"123. 在2012-2013两年期将交付以下产出：",
"(a) 交易订单管理(Charles River)、后台任务、对账、会计(Murex)以及银行间短信系统(SWIFT)得到成功和充分的执行和支持；",
"(b) 数据中心、外汇和固定收益投资执行系统得到落实；",
"(c) 投资流程得到妥善记载；",
"(d) 投资交易实现例外情况处理；",
"(e) 为业务流程的标准化和简化提供便利；",
"(f) 为合规情况监测工作和系统提供支持和便利；",
"(g) 执行数据自动输入，支持数据核查；",
"(h) 支持数据对账；",
"(i) 加强投资管理司基础设施；",
"(j) 执行和支持安保政策和灾难恢复；",
"(k) 使业务连续性成为可能。",
"表35 所需资源",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"员额 1 593.9 2 457.5 7 8",
"非员额 10 183.4 15 114.3 — —",
"共计 11 777.3 17 571.8 7 8",
"124. 编列经费17 571 800美元，增加了5 794 500美元，用于续设7个员额(1个P-5、3个P-4、2个P-3和1个一般事务人员(特等))，并设立1个新员额(1个P-4)。非员额资源的增加主要原因是订约承办事务所需资源增加(498 500美元)、把市场数据订约承办事务从投资科转至信息系统科(3 541 500美元)以及以前在行政领导和管理项下请批的资源，包括其他工作人员费用(779 300美元)和工作人员差旅费(111 000美元)。",
"行政支助",
"所需资源(重计费用前)：4 011 100美元",
"表36 所需财政资源",
"(千美元)",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"非员额 5 087.6 4 011.1 — —",
"共计 5 087.6 4 011.1 — —",
"125. 所列经费4 011 100美元，减少了1 076 500美元，用于全司的非员额资源。减少的主要原因是，由于装修哈马舍尔德广场1号新增办公空间，在2010-2011年订正预算中一次性请批房地租金和维持费(916 900美元)。",
"D. 审计费用",
"所需资源(重计费用前)：2 748 200美元",
"126. 资源的分配情况见表37。",
"表37 所需财政资源",
"(千美元)",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"外部审计 661.2 774.7 — —",
"内部审计 1 983.8 1 973.5 — —",
"共计 2 645.0 2 748.2 — —",
"127. 所列经费2 748 200美元，用于审计委员会请批的外部审计所需资源估计数(774 700美元)，以及内部监督事务厅请批的内部审计所需资源估计数(1 973 500美元)。",
"1. 外部审计",
"所需经费(重计费用前)：774 700美元",
"128. 所列经费774 700美元，用于支付与审计委员会相关费用，这笔款项由审计委员会秘书处向养恤基金分摊。",
"2. 内部审计",
"所需经费(重计费用前)：1 973 500美元",
"129. 所列经费1 973 500美元，用于续设5个一般临时助理人员员额(1个P-5、2个P-4、1个P-3和1个一般事务人员(其他职等))、培训和非员额资源(包括咨询人、工作人员差旅费、订约承办事务、通信、业务费用、用品和材料以及家具和设备。费用减少的主要原因是，由于标准薪金费用的减少而仅需要一般临时人员以及对其他非员额请批资源做出少许改动所产生的净影响。",
"E. 联委会费用",
"所需资源(重计费用前)：200 000美元",
"表38 所需财政资源",
"(千美元)",
"资源(千美元) 员额\n 类别 2010-2011年 2012-2013年 2010-2011年 2012-2013年 (重计费用前)",
"联委会费用 167.5 200.0 — —",
"130. 大会在第61/240号决议第四节中，批准将联委会费用，包括联委会会议的行政费用、主席的差旅费和工作组的差旅费等，列入基金预算并计入行政费用账目。",
"131. 所列经费200 000美元，用于支付联委会开支所需估计数，包括主席出席联委会第五十九届和第六十届会议以及行政和预算问题咨询委员会会议和第五委员会会议的差旅费、首席执行干事人选物色小组的差旅费以及将于2012年7月和2013年7月举行的第五十九届和第六十届会议的行政费用(120 000美元)。",
"四. 紧急基金",
"132. 大会在第62/241号决议第三节中授权养恤基金补充2008-2009两年期紧急基金自愿捐款，数额不超过200 000美元。",
"133. 提议由养恤基金联委会建议大会授权联委会补充2012-2013两年期紧急基金自愿捐款，数额不超过200 000美元。",
"五. 为在2012年1月1日前执行国际公共部门会计准则所建议的临时措施",
"134. 联委会在其2010年7月第五十七届会议上核准从2012年1月1日起执行国际公共部门会计准则，根据要求，秘书处和投资管理司在2011年7月向联委会提交了执行新会计准则的现况报告。",
"135. 目前，养恤基金是根据《联合国财务条例和细则》提交报告的。据指出，联合国原本计划于2014年执行国际公共部门会计准则，在这方面，联委会获悉联合国计划向2012年大会第六十七届会议建议修改《财务条例和细则》。",
"136. 鉴于修改《财务条例和细则》的时间安排，在养恤基金审计工作委员会的支持下，完全是为了养恤基金能够及时执行国际公共部门会计准则之目的，要求联委会向2011年大会第六十六届会议建议核准以下关于养恤基金财务报告的过渡性措施：",
"“作为一项过渡性措施，联委会授权养恤基金在其会计核算流程和财务报告中继续适用经必要修改的《联合国财务条例和细则》，其方式应使养恤基金的做法符合国际公共部门会计准则。联委会谨此建议，按照《联合国合办工作人员养恤基金条例》第19条b款，秘书长以符合国际公共部门会计准则的方式，维持养恤基金所有投资和其他交易的详细账目。”",
"137. 联委会获悉，一旦核准过渡性措施，养恤基金全面执行国际公共部门会计准则将兑现联委会关于在2012年采用国际公共部门会计准则的决定，但条件是养恤基金接下来要使其《财务条例和细则》正式化。养恤基金2012年的财务报表将根据公共部门会计准则提交并进行审计，后者将提供规管架构。",
"138. 联委会在讨论后，认可了关于养恤基金财务报告的过渡性措施，建议2011年大会第六十六届会议核准这一措施。",
"六. 有待大会采取的行动",
"139. 养恤金联委会向大会提出如下建议：",
"(a) 核准2010-2011年批款减少21 772 800美元。因此，2010-2011两年期订正批款为154 545 700美元，分为行政费用(80 478 500美元)、投资费用(71 289 000美元)、审计费用(2 532 900美元)和联委会费用(245 300美元)。其中，133 037 000美元将摊派给养恤基金，21 508 700美元将根据费用分摊安排，直接向联合国收取；",
"(b) 核准2010-2011两年期预算外资源的订正预算估计数共计144 300美元；",
"(c) 核准养恤基金2012-2013两年期预算估计数共计194 164 000美元，包括行政费用(98 407 600美元)、投资费用(92 938 200美元)，审计费用(2 613 800美元)和养恤金联委会费用(204 400美元)。其中，173 260 600美元将分摊给养恤基金，20 903 400美元将根据费用分摊安排，分摊给联合国；",
"(d) 核准2012-2013两年期预算外费用的资源共计156 800美元，由若干成员组织出资；",
"(e) 核准不超过200 000美元的一笔款项，以补充紧急基金所得捐款；",
"(f) 核准为在2012年1月1日开始执行公共部门会计准则所采取的临时过渡财务措施。",
"七． 为执行审计委员会以及行政和预算问题咨询委员会的各项要求和建议而采取的后续行动总表",
"表39",
"A. 行政和预算问题咨询委员会",
"(A/65/567)",
"要求/建议 为执行要求/建议而采取的行动\n (a) 行预咨委会赞同审计委员会提出的与经修订的风险管理政策有关的建议和关于该司应继续执行新拟定的风险管理手册的建议(第7段)。 已执行了大部分控制措施，现正作出努力以执行其余的控制措施。《风险管理手册》是一分活文件，每季度都会更新。执行工作是一个持续过程，目标是执行所有控制措施。《风险管理手册》规定的某些控制措施是人工措施，需等待资源分配；其他的是自动化措施，需等待基础设施的现代化。等到达这些里程碑时，这些控制措施就将得到执行。",
"(b) 行预咨委会赞同审计委员会的建议。行预咨委会感到关切的是，养恤基金收到包括一个强调事项段的无保留审计意见，该强调事项段涉及2009年12月31日终了两年期财务报表所示投资的实现的和未实现的亏损。行预咨委会敦促养恤基金执行审计委员会的建议(第9段)。 在投资管理司2011年3月11日提交养恤基金秘书处的2010年财务报表附注中已做了这项工作。该司将继续就这些披露与公共部门会计准则咨询师进行协商。",
"(c) 行预咨委会重申其建议，即联委会继续探索在发展中国家和经济转型国家进行投资的机会(第10段)。 基金在继续研究各种机会；投资管理司司长和工作人员最近去了非洲和中东，以扩大我们在非洲投资中的获奖投资组合。司长将定期与世界银行和货币基金组织会晤，以审查新兴和前沿市场里新出现的机会。",
"(d) 基金已最后确定公共部门会计准则的执行计划和时限，并已提交审计工作委员会和2011年7月举行的养恤金联委会第五十八届会议。招聘新的财务主任的工作也在进行中。 行预咨委会赞同审计委员会的意见，即养恤基金应及时最后确定并批准公共部门会计准则的执行计划。行预咨委会期待尽快招聘新的财务主任，与此同时，开始有关准备工作，以确保于2012年1月1日执行公共部门会计准则。此外，行预咨委会鼓励审计委员会密切监测养恤基金公共部门会计准则的执行进展情况，并重申其建议，即审计委员会应每年向大会报告这方面的进展情况(见A/65/498，第19段)(第13段)。",
"(e) 行预咨委会强调应利用现有资源提供足够支助，以确保及时执行公共部门会计准则并对执行情况进行妥善管理(第15段)。 为执行公共部门会计准则而对现有资源进行重新分配的方案获得2010年7月举行的养恤金联委会第五十七届会议核准，并在2010年12月获得大会核准。现正为2012-2013年度申请追加资源。",
"(f) 行预咨委会赞同养恤金联委会的要求，即医疗顾问应考虑是否有可能确立一项体检标准，专门用于根据《基金条例》第41条的规定参与基金目的(第18段)。 医疗顾问将根据要求就此事项向联委会2012年7月的届会提交说明。",
"(g) 行预咨委会赞同审计委员会的意见，即有必要以具有透明度的方式披露联合国大学捐赠基金的投资，并注意到养恤金联委会已同意在今后提供这样的披露(第20段)。 在投资管理司2011年3月11日提交养恤基金秘书处的2010年财务报表附注中已做了这项工作。该司将继续就这类披露问题与公共部门会计准则咨询人进行协商。",
"B. 审计委员会",
"(A/65/9，附件十)",
"要求/建议 为执行要求/建议而采取的行动\n 审计委员会的主要建议是：",
"(a) 基金应最后确定并批准《公共部门会计准则》的执行计划，确定执行公共部门会计准则项目的其他利益攸关方并促其参与该项目，以及详细说明《财务条例和细则》哪些方面需要修订(第27段)； 基金最后确定了执行计划和时限，并已提交审计工作委员会。成立了一个由来自投资管理司和秘书处的公共部门会计准则利益攸关方组成的指导委员会。在采用公共部门会计准则之前，基金目前仍将遵循以联合国系统会计标准为基础的《联合国财务条例和细则》。投资管理司正等待其《公共部门会计准则》咨询人就细则104.12、104.13、104.14、104.15和104.16的建议措辞提出建议，以确保符合公共部门会计准则的规定。将于2011年6月提交给审计工作委员会，于2011年7月提交给养恤金联委会第五十八届会议。",
"(b) 基金将拖欠基金的款项记为应收账款和收入(第30段)； 已计算了成员组织拖欠的款项。在审查之后就予以公布。",
"(c) 基金应在实际支付时，对前期所有未清债务和应计项目进行转回分录，并解决导致把已支付项目记为应计项目的控制措施的纰漏(第33段)； 基金已就Lawson账户的行政部分起草了关闭指示。执行办公室提出了第三稿征求财务科的审查和同意。根据这些指示，将对2006年1月1日至2009年12月31日期间的行政账户作调整，以得出结转至2010年1月1日的正确结余。将根据这些指示以2010年12月31日作为截止日关闭这些账户。",
"(d) 基金执行经过改进的控制措施，确保及时收回未清款项，并制订关于不可收回的长期未清款项的会计处理政策(第43段)； 已执行了针对长期未清应收款的政策和程序。正在作出收款努力。",
"(e) 基金考虑在其财务记录中为可疑债务提取备抵，以反映截至报告日期的可收回款项(第44段)； 基金2010年财务报表将为账龄超过2年的所有应收款列出备低。此外，从2010年开始注销无法收回的应收款项。",
"(f) 基金用报告日现行业务汇率，对所有以外币标价的余额进行重新估值(第48段)； 同意。2010年财务报表将使用年末汇率把外币银行账户余额换算成美元。",
"(g) 基金立即采取步骤，收回尚未退还的国外税款(第51段)； 正在进行。投资管理司继续作出广泛努力，防止各管辖区对其投资收入征税并收回被扣缴的税款。特别是，投资管理司的代表于2010年1月在北京会见了中国国家税务总局的代表，以解决正式承认并落实基金在该国的免税地位问题。该司代表还主动与巴西政府代表进行讨论，从而使巴西税务局于2010年4月发布一个措辞广泛的文告，正式承认基金在该国的免税地位。此外，该司最近发出了一个有关全球税务咨询服务的招标书。全球税务顾问将协助该司开展在全球的申请退税工作等事项。",
"(h) 基金应把联合国偿还行政费用产生的应收款及相关收入记录在正确的会计时期(第54段)； 已考虑到这一点并在账户关闭程序中加以纠正。",
"(i) 基金继续与联合国一起调节余额，确保差额完全对账(第57段)； 有一段时间基金使用基金间余额与联合国进行调节。联合国也使用这一余额数。基金现在在与联合国进行调节时恢复使用实际支出数。",
"(j) 基金把正确的应计数额从应付账款模块上传至Lawson系统，同时对发现的差异账目进行调整(第63段)； 正在进行中。确定了错误的项目。将为2010年作出适当登录，以纠正这些余额数。",
"(k) 基金每月定期核对应付账款模块和总分类账(第64段)； 财务科正等待COGNOS“方块”，以支助Lawson数据生成一份新报告。",
"(l) 基金将应付账款借方余额重新调整为应收账款，完成数据清洗工作，以确保应付账款中包括的所有款项都是有效的应付款(第67段)； 这是个持续进行的流程。于2010年开始展开工作，将在2011年全年持续进行，以纠正这些账户。",
"(m) 基金开发分析应付养恤金账龄的工具(第70段)； 财务科正等待COGNOS“方块”，以支助Lawson数据生成一份新报告。",
"(n) 基金适用《养恤基金条例和细则》第46条，调整与所有应丧失数额有关的应付养恤金(第75段)； 这是一项持续进行的工作，是2011年底前要完成的数据清洗工作的一部分。",
"(o) 基金按照联合国《财务条例和细则》的要求，遵守提交财务报表日期的规定(第79段)； 正如在提交审计委员会的报告(见A/65/9)中所指出的，由于需要对基金成员组织的付款实行调节程序，基金无法遵守3月31日这个完工期限。投资管理司于2011年3月11日向基金秘书处提交了财务报表中该司负责提供的部分。今后，该司将确保在下一年的3月15日之前向秘书处提交财务报表。",
"(p) 基金制订并执行明确规定交易如何在养恤基金会计记录中入账的会计政策，并确保所有会计政策在财务报表中得到明确界定和披露(第84段)； 作为公共部门会计准则执行工作的一部分，将继续加强脚注。这项工作将继续是2010年和2011年财务报表的组成部分，在2012年将全面采用公共部门会计准则。",
"(q) 基金编制财务报表所有细列项目的调节表或工作底稿，并编制与账本一致的有关计算或调整的附表(第89段)； 基金的报告撰写人把总分类账账户并入财务报表的细列项目，如此财务报表上的所有数字都可追溯到源文件。",
"(r) 投资管理司在财务报表中完全披露其为联合国大学捐赠基金管理的投资(第92段)； 已执行。在投资管理司于2011年3月11日提交给基金秘书处的2010年财务报表的附注中已这样做了，具体在“管理的基金”项下。该司将进一步就这类披露问题与公共部门会计准则咨询师进行协商。",
"(s) 投资管理司重新考虑其为第三方提供资金管理服务的正式安排(第93段)； 投资管理司将提供全面披露。该司将全面披露根据审计建议在1990年代为联合国大学捐赠基金设立的独立安排。这些安排包括一个单独的托管账户和一个独立的外部基金经理。从未将这些基金与养恤基金混合过。",
"(t) 投资管理司继续执行其新拟订的《风险管理手册》(第111段)； 正在进行。已执行了大部分控制措施，现正作出努力以执行其余的控制措施。《风险管理手册》是一分活文件，每季度都会更新。执行工作是一个持续过程，目标是执行所有控制措施。《风险管理手册》规定的某些控制措施是人工措施，需等待资源分配；其他的是自动化措施，需等待基础设施的现代化。等到达这些里程碑时，这些控制措施就将得到执行。",
"(u) 投资管理司进行一次逐案审查，以查明与2008-2009 年所有已实现投资亏损以及当前仍在持续的未实现亏损的头寸有关的可汲取的经验教训(第112段)； 投资管理司回顾了2008年的灾难性事件，并注意到长期过度宽松货币政策构成的风险。投资管理司已对超过25%的未实现收益和亏损执行了每周和每季度的正式合规和投资审查。",
"(v) 投资管理司用表格分别列出出售投资的收益和亏损，并披露截至资产债务表日期的所有未实现收益和亏损，以在财务报表中对投资作出清楚说明和披露(第113段)； 已执行。在投资管理司于2011年3月11日提交给基金秘书处的2010年财务报表附注中已这样做了。该司将进一步就这类披露问题与公共部门会计准则咨询师进行协商。",
"(w) 鉴于监督厅的审计结果反映出投资合规方面存在重大缺陷，投资管理司要处理好余留的待执行或执行中的建议(第117段)； 已执行。投资管理司于2009年10月雇用了一名合规事务干事，从而在合规方案方面取得了重要进展。执行了新的政策，包括有关个人交易、礼品和招待，以及强制性休假的政策。其他政策尚在等待审查和验收。该司的风险和合规事务科使用风险和合规手册及各种自动系统，监测基金投资，以确保该司的政策和标准得到充分监督和强制性执行。处理和落实了监督厅的多项建议。现在有一个正式的程序，用于及时监测和处理监督厅的建议。开设了对该司工作人员的培训班，其中一个班与道德操守办公室合办。风险和合规事务科已确认，目前不存在蓄意或经常违反该司政策或程序从而可能给养恤基金、其声誉、参与人或受益人造成财务损害的情况。",
"(x) 基金在财务报表附注中更好地披露主要精算假设和与服务终了负债估值有关的变动情况(第124段)； 就2009年而言，基金列入2009年精算估值作为财务报表的组成部分。此外，基金第一次在财务报表正文里记录了离职后健康保险和与服务终了有关的负债。",
"(y) 基金应当为与服务终了有关的负债制订一项筹资计划，供其理事机构审议(第131段)； 暂缓执行。任何筹资计划都将要求联合国为具体部分提供三分之一的资金。暂缓执行该建议，以等待联合国秘书处提出这样一个计划。",
"(z) 基金在执行公共部门会计准则时考虑修订其年假负债估值政策(第139段)； 基金正在与联合国和公共部门会计准则工作队讨论，以决定是将年假作为当前债务还是作为精算估值处理。",
"(aa) 基金采取措施确保及时和定期进行库存实物盘点并将盘点结果与资产登记册核对(第144段)； 每12个月就进行一次100%的库存检查。因为将从2012年开始执行公共部门会计准则，因此从2011年开始，这些检查将从每一年的第四个季度展开。此外，以后将保留有关这类检查的签字证明。",
"(bb) 基金从联合国财产管理和库存管理股取得库存报告，并取得对ProcurePlus 系统的充分行政访问权，目的是更新所有资产和取得库存报告(第145段)； 每月都收到财产管理和库存管理股的库存报告。基金在2010年9月30日的备忘录和2010年10月15日的后续备忘录中向中央支助事务厅要求Procure Plus的访问权，现仍在等待答复。",
"(cc) 基金秘书处制订一份人力资源计划(第149段)； 基金起草了一份人力资源计划并于2010年7月提交养恤金联委会第五十七届会议。",
"(dd) 基金秘书处考虑采取办法，加强以留用退休人员情况作为衡量依据的更替规划(第153段)； 在与方案经理的协商下正不断发展和更新基金的培训和发展平台，包括在线学习。利用退休工作人员的专门知识来协助这一进程。又请见首席执行干事于2010年4月15日提交审计委员会的备忘录第8段。",
"(ee) 鉴于监督厅的建议反映出在人力资源管理方面存在重大缺陷，基金应处理好监督厅的建议(第158段)； (a) 基金坚持执行工作人员条例5.1所规定的年假政策：“应允许所有工作人员享受适当的年假”和《工作人员细则》第105条。基金管理部门鼓励担负财务责任的人员每年不间断地休两星期年假。对投资管理司的工作人员而言，这是强制性的。",
"(b) 执行办公室以人工方式每月编制人员配置表，并与综合管理信息系统(综管系统)进行核对。",
"(c) 已建立了一个追踪系统，以监测工作人员的征聘情况，并将用于为征聘流程的每一个阶段制定基准。在基金拥有足够数据以计算自己的基准之前，将使用联合国的120天基准。鼓励负责征聘的经理仔细审查申请人，以实现性别均等。",
"(d) 必须由主管为工作人员提出综管系统的功能包，并由执行办公室审查及作出相应授权。未经首席执行干事批准，执行办公室之外的工作人员无权使用综管系统的人力资源功能。",
"(e) 在新的合同框架内，超过退休年龄的在职工作人员现在置于“临时”类别之下。2009年1月发布的总程序为临时工作人员的工作计划及之后对他们的考绩工作提供了一个附件，由主管和经理负责完成。",
"(f) 主管与部门负责人和工作人员协商，在电子考绩报告里明确确定并记录每一个工作人员的培训需求。各部门将监测或继续监测执行情况。",
"(g) 将继续进行合规监测，并向各部门负责人提供统计反馈和个人反馈，重点放在是否及时完成电子考绩报告上。",
"(ff) 基金秘书处应核对成员组织的月度缴款并及时跟进未能调节的项目(第162段)； 在目前条件下，进行月度调节是不可行的。但刚展开一个试验性计划，以对一个可做月度调节的系统进行测试。",
"(gg) 基金秘书处建立系统，以核实成员组织在年终结算前所提供信息的精确性，确保在财务报表定稿之前进行对账并核实对账结果(第167段)； 在2009财政年度展开了一个试验项目，并在2010年加以扩大，取得了积极成果。年底文档的自动文档转移和编辑检查功能提高了报告的精确性，减少了基金的手工工作量。",
"(hh) (a) 将基金与其参与人和受益人的所有正式函件系统性地上载和扫描至内容管理系统的适当文档之内的做法是标准做法。这包括发送出去以澄清签名不一致问题的后续信函。如果在文档中找不到这类文件，那就是例外，是疏忽造成的。 基金秘书处在应享权利证明表中的签名与原有签名不同的情况下，将与受益人进行后续核实的证据上载到内容管理系统中；遵守第2001-68号总程序的要求，即所有能够取得的受益人签名数字图像均应输入内容管理系统(第174段)；",
"(b) 正如上文所解释的，标准做法是，将与基金受益人和参与方的文档相关的所有文件上载至内容管理系统。文件遗失是疏忽造成的，是例外。",
"(ii) 基金秘书处改进转移个案的总体处理时间，以达到六个月的处理时间目标(第180段)； 基金已处理了以前积压的转移个案，当年造成积压的原因是基金精算咨询人遇到长时间延误，以及事关某些个案的政策问题，在最后完成转移之前必须厘清这些政策问题。目前长期未决的个案很少，没有一个个案超过50天。因此，所有这些个案都达到了个案处理基准。",
"(jj) 基金秘书处实施程序，定期在养恤金管理系统薪资单和Lawson系统(总分类账)之间进行调节(第184段)； 财务科正考虑在2011年为这类调节拟订一份COGNOS报告。",
"(kk) 基金秘书处制定并核准全面的用户账户管理程序，以确保适当管理用户账户；实施定期监测用户账户有效性的程序(第188段)； 进行中。信息管理系统处引入了一项“访问、系统和数据权限”政策，以落实账户管理程序。在系统中引入了以群体为基础的角色，在主管提出要求时可通过这类角色限定访问权限。通过使用“积极通讯录政策”和“单点登录”程序在这些系统中执行了密码重置和安全参数设置。由于养恤金管理系统的限制，在这些老化的系统中引入“定期记录和系统活动审查”功能被认为是不可行的；因此，对即将用来更换的综合养恤金管理系统而言，这些功能是必须要具备的。",
"(ll) 基金秘书处审查更改请求和服务请求程序，以考虑到审计委员会指出的需要改进的方面(第193段)； 建议结案。信息管理系统处审查了更改请求和服务请求程序，更新了更改请求工具，以列入一个字段，显示在要求测试和批准执行时是否要求同时提供文件。",
"(mm) 基金秘书处监测遵守更改控制程序的情况，并保持适当的更改控制管理文件记录(第195段)； 建议结案。信息管理系统处已执行了更改管理政策并建立了一个用于批准和追踪的全面自动系统。各项流程已经到位。该处和主管们目前正每日监测遵守更改控制程序的情况，并强制执行一项有关记录在执行前进行的任何和所有更改的政策。",
"(nn) 基金秘书处执行信息技术质量保证职能，确保建立和保持一定程度的信任；执行控制措施，防止程序分析员使用数据库管理员的用户名和密码(第202段)； 建议结案。信息管理系统处尽管拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过修改请求流程记录每一个步骤(例如，分析师、开发人员、迁移等)，从而确认和监测了该处责任分离政策的适当执行情况；修改请求流程需经两个人审查：第一核签人和第二核签人。已作出更改，如此数据库管理员的用户名和密码只提供给数据库管理员。",
"(oo) 基金秘书处审查程序分析员的使用权是否适当，特别注意生产环境的进出，并制定程序，对需要进出生产环境的情况进行管理(第204段)； 建议结案。尽管信息管理系统处拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过确保将与分析/开发和移动到生产有关的任务分派给两个不同的人的做法维持责任分离。此外，系统修改计划已经到位，以管理和监测这个流程。",
"(pp) 基金秘书处确保在经测试及核准的更改从开发环境转入测试环境以及从测试环境转入生产环境的过程中，各种责任分离得当(第206段)。 建议结案。尽管信息管理系统处拒绝 设立“质量保证职位”，但精简了这个职能的要求，为此起草了一项责任分离政策。通过确保将与开发、测试和移动到生产有关的任务分派给不同的人的做法维持责任分离。此外，系统修改计划已经到位，以管理和监测这个流程。",
"附件一",
"联合国工作人员养恤金联合委员会关于2010-2011两年期订正预算估计数和2012-2013两年期预算估计数的讨论",
"基金的行政事项",
"(a) 2010-2011两年期订正预算估计数",
"1. 联合国合办工作人员养恤基金秘书处提请，相对于订正批款176 318 500美元，将2010-2011两年期预算估计数减少21 772 800美元。因此，2010-2011两年期最后订正批款为154 545 700美元，其中21 508 700美元由联合国按照费用分摊安排支付。",
"(b) 2012-2013两年期预算估计数",
"2. 2012-2013两年期拟议预算估计数编列了215 999 100美元用作核定支出 (重计费用前)，而2010-2011两年期的核定支出总额为176 318 500美元。预算报告列报了行政费用101 768 500美元、投资费用111 282 400美元、审计费用2 748 200美元、联委会费用200 000美元。此外，该估计数还为一个离职后健康保险预算外员额编列了152 900美元的费用，并为紧急基金编列了不超过200 000美元的费用。",
"行政费用",
"3. 行政费用项下拟议预算重计费用前总额为101 768 500美元，比2010-2011两年期批款增长10.2%，比2010-2011两年期订正预算估计数增长26.5%。",
"4. 关于行政费用，秘书处强调说，尽管养恤金综合管理系统项目费用估计数总额保持未变，但由于执行战略的改变，原先的时间表发生了变化，因此该项目2010-2011两年期支出出现节余，继而在2012-2013两年期预算中请批这项资金。此外，按照秘书处的中期人力资源战略计划，拟请增设16个常设员额，改叙3个员额，列示如下：",
"新员额",
"数目 职类/职等 职衔 \n 数目 职类/职等 职衔 \n 1 D-1 技术评价和风险管理主任 \n 1 P-5 客户服务、记录管理和分发股股长 \n 1 P-3 记录管理和分发组组长 \n2\t一般事务(其他职等)\t福利助理\n 1 P-4 会计，公共部门会计准则专家 \n 1 一般事务(特等) 高级会计助理 \n 1 P-4 会计 \n 1 P-5 安保主任 \n 1 P-5 企业架构主管 \n1\t一般事务(其他职等)\t法律助理\n 1 P-4 财务和预算干事 \n 1 P-3 人力资源/训练干事 \n 1 一般事务(特等) 人力资源助理 \n1\t一般事务(其他职等)\t差旅助理\n 1 一般事务(特等) 高级设施管理助理 \n 改叙 \n 1 P-4至P-5 支付股股长 \n 1 P-4至P-5 出纳员 \n 1 P-5至D-1 首席法律干事",
"投资费用",
"5. 投资费用项下拟议预算重计费用前总额为111 282 400美元，比2010-2011两年期批款(81 197 500美元)增长37.1%，比2010-2011两年期订正预算估计数(71 289 000美元)增长56.1%。",
"6. 在投资费用项下，秘书长代表请批的资源包括下表列示的20个增设员额和以下各项所需追加资源：为落实领导基金所涉投资组合管理领域的订约承办事务；小盘股增加；总账管理人；信息技术项目。",
"新员额",
"数目 职类/职等 职衔 \n 1 P-5 高级法律干事 \n 1 P-4 投资委员会秘书 \n 1 P-5 高级投资干事——外部管理 \n 1 P-4 投资干事——固定收入和外币 \n 1 P-4 投资干事——另类投资 \n 1 P-4 投资干事——全球新兴市场 \n 1 P-4 投资干事——交易执行干事 \n 1 P-3 投资干事——北美股票 \n 1 P-3 投资干事/分析员——房地产 \n1\t一般事务(其他职等)\t交易执行助理\n 1 P-4 尽责和定量战略风险管理人 \n 1 P-3 合规分析员兼业务风险管理人 \n1\t一般事务(其他职等)\t风险与合规主任助理\n 1 P-4 会计和报告主管 \n 1 P-3 财务干事，调节 \n 1 D-1 首席信息技术干事 \n 1 P-4 数据管理干事 \n 1 P-3 信息安全干事 \n 1 P-3 调节管理员 \n1\t一般事务(其他职等)\t行政助理",
"审计费用",
"7. 基金请批外部审计费用74 700美元，内部审计费用1 973 500美元，共计2 748 200美元，净增长103 200美元。其中113 500美元为外聘审计人费用。",
"养恤金联委会费用",
"8. 请批费用共计200 000美元，用于两届联委会会议的费用以及主席和遴选委员会征聘下一任首席执行干事所需差旅费。",
"预算外资金",
"9. 请批预算外资源152 900美元，用于1个一般事务(其他职等)员额，该员额由参与离职后健康保险计划的成员组织供资。",
"紧急基金",
"10. 为紧急基金请批不超过200 000美元的补充数额。",
"预算工作组",
"11. 预算工作组提出并经联委会核可的评论意见和建议列述如下。",
"12. 按照联委会第五十七届会议所作决定，预算工作组于2011年7月6日开始工作。",
"13. 工作组原先经联委会同意的组成有所改变，更换了一名行政首长组代表和一名参与人组代表。工作组的最后组成如下：",
"J. Forest(国际电信联盟)女士，代表理事机构",
"G. Kuentzle先生(联合国)，代表理事机构",
"Y. Mortlock女士^(*) (国际移徙组织)，代表行政首长",
"S. Van Buerle女士(联合国)，代表行政首长 (当选为主席)",
"H. Baritt先生^(*) (世界卫生组织)，代表参与人",
"C. Santos-Tejada先生(联合国)，代表参与人",
"A. Castellanos del Corral先生(退职国际公务员协会联合会)，代表养恤金领取人",
"T. Teshome先生(退职国际公务员协会联合会)，代表养恤金领取人",
"^(*) 新成员。",
"14. 工作组面前有下列文件：养恤基金实施国际公共部门会计准则(公共部门会计准则)的情况；2010-2011两年期订正预算估计数；基金2012-2013年期间战略框架；2012-2013两年期预算估计数。工作组与秘书处和投资管理司进行了有意义的互动，从中获得了助益。",
"2010-2011两年期执行情况报告",
"15. 如联委会第五十五届会议报告(A/63/9)第195段及其第五十七届会议报告(A/65/9)第137段所述，联委会决定，养恤基金秘书处应每年在方案预算执行情况报告中向联委会提供关于核定预算与实际支出之间的预算差异的详细分析。工作组注意到部分信息已经提供，但认为未来的执行情况报告应按各类支出的主要用途提供更详尽的差异细目。工作组还指出，公共部门会计准则要求对预算与实际支出之间的差异作出说明，这样做可以改善联委会对未来预算报告的审议。而且，如果项目或举措的实施方法、战略等方面的改变对这一时期的工作方案有较大影响并因此影响到支出数额，也应对这一点作出充分的说明。特别指出的是，某些预期的两年期间支出节余实际上是将所需资源改为划入了下一个预算期，这种情况应在新的预算报告中列明，以便审查请批的数额，特别是为养恤金综合管理系统项目请批的数额。",
"16. 在这方面，工作组认为，为特定两年期拟定的资源原则上应该用于该两年期间的核定用途。工作组还注意到，投资管理司的“订约承办事务”一再出现支出节余。工作组表示赞赏该司努力以注意成本的方式行事，并鼓励继续如此行事，以便使预算估计数更符合实际执行情况。",
"2012-2013年期间战略框架",
"17. 工作组确认，为改进基于成果的列报做法进行了持续努力，特别是列报了更突出重点的目标、预期成绩和绩效指标。工作组建议，基金后勤框架的拟定应该符合SMART原则——具体、可计量、可实现、切实可行、有时限，以便联委会有效评价基金在实现预期成果方面的执行情况。工作组指出，战略框架需要根据即将对2012-2013两年期预算作出的决定进行修改。",
"18. 此外，工作组还指出，按照联合国的既定预算流程，战略框架本应在非编制预算年提交联委会，以便联委会就优先事项和工作方案为基金提供相关指导，作为拟定下一个财政期预算的基础。由于这是联委会作出要求提交战略框架的决定之后第一个提交战略框架的年份，因此确认，规定的周期将从2012年开始实行，届时应向联委会第五十九届会议提交2014-2015 年期间战略框架。",
"2012-2013两年期预算估计数",
"19. 在审查拟议预算以及基金各利益攸关群体提出的关切问题时，工作组所遵循的原则是，必须确保基金任务的执行工作达到最高的效率、最大的效益和最强的成本意识，特别侧重于通过各种举措增加收益、减少风险和(或)为各利益攸关群体提供更好的服务。最重要的是，工作组审查了为寻求更多资源所提出的理由。对于其中几种情况，工作组认识到，公共部门会计准则、养恤金综合管理系统以及其他举措的影响和意义尚未得到全面了解。此外，工作组认为，在首席财务干事(尚待征聘)能够表达他或她对人员配置结构的看法之前，寻求增加资源还为时过早，这些追加资源会锁定人员配置结构。工作组还认为，通过加强纽约与日内瓦之间的业务整合，可以实现进一步的协同作用。首席执行官向工作组报告说，正在考查各种外包机会。工作组建议，为了实现更高的行政成本效益，应该更仔细地审查各种离岸化和外包选择，特别是在当期租约即将到期的情况下这样做。",
"20. 另外，工作组充分认识到各参与组织和会员国面临的财政状况，特别指出它们需要实现效率更高、效益更大的方法来交付工作成果。就养恤基金而言，工作组注意到拟议预算具有扩张性，而且在很大程度上取决于养恤金综合管理系统(尚在进展中的项目)的未来预期效益，因此要求进一步说明基金已经采取或者可以采取哪些行动，以改善工作、提高效率并节省费用，包括该项目将会带来的人员配置结构变化。",
"21. 预算工作组认识到，参与人人数不断增长，过去10年来增加了4.2%。同一时期，管理参与人的复杂性也大大提高，主要是因为基金的养恤金调整系统相关条款的数目增加。",
"22. 过去几年来，基金的预算也出现前所未有的增长。2012-2013年2.16亿美元的拟议预算比2010-2011年预算(核定1.763亿美元)增加了23%，比2008-2009年1.282亿美元的预算增加了68%。",
"23. 为了更有效地评价总体行政预算，工作组审查了“每个参与人”费用(总费用除以参与人人数)。计算包括了通货膨胀调整，结果表明，过去10年来，每个参与人的年均管理费用为197美元。2.16亿美元的拟议预算等于每个参与人248美元，增加了26%。",
"经通货膨胀调整后的每个参与人费用",
"(美元)",
"[]",
"24. 首席执行干事向工作组确认，行政部门使用了若干主要业绩指标，以跟踪基金的效益和效率。工作组建议，基金应努力将未来的拟议预算同这些指标联系起来。",
"预算列报和方法",
"25. 联委会第五十七届会议决定，未来的拟议预算文件应在联委员届会90天以前提交，决定工作组赞赏地注意到该决定完全得到了遵守。这为预算工作组及早审查提供了便利。工作组注意到，已经尽力使所提交文件中的列报内容与联合国使用的方法相一致。",
"26. 然而，工作组普遍认为，基金需要修改其预算文件中的列报内容，应该更清楚、更简要地说明各项变化的理由，以便联委会作出决定。对文件进行质量审查也会有助于去除前后不一之处，并确保以汇总方式列报交叉性举措，适当使用图表，以便于对各项举措的理解。此外，如联委会先前建议的那样，基金应继续确保与联合国的预算列报方法更为一致，特别是区分增长造成的变化和费用计算参数变更造成的变化，费用计算参数系指货币、通货膨胀或标准薪资费用。",
"27. 工作组关切地注意到，某些职能和服务的整合与合并很少取得或没有取得进展，这些职能和服务仍然倾向于使用各自为政的业务方法；同样，在后台任务方面，为实行节省成本的举措做了哪些工作，这一点也不清楚。联委会不妨考虑请首席执行干事和秘书长代表共同研究可选办法，并提交未来的联委会届会。",
"信息技术",
"28. 工作组注意到，基金为信息系统科和信息管理系统处请批6 600万美元经费，用于信息技术相关活动。这一经费数额也许最后会证明是合理的，但是，鉴于提交联委会的拟议预算越来越复杂，不妨结合预算编写一份简明、全面、综合的信息技术战略并提交联委会第五十九届会议，该战略应包括基金有关业务领域的独立信息技术专家所作的鉴定。",
"29. 在这方面，工作组注意到，基金在很大程度上依赖国际电子计算中心。特别是，在提及该中心的预算时，工作组了解到，养恤基金是该中心服务的第二大用户，仅次于外勤支助部。工作组获悉，由于该中心的性质，它的服务没有进行竞价投标，因此令人疑虑这是不是满足基金的需要而不损害数据安全或保密性的最具成本效益、最经济合算的办法。同时，工作组在同基金代表进行访谈时注意到，基金通过该中心分开配备工作人员，有大约13名通过订约承办事务聘用的工作人员，其职等从一般事务(其他职等)到P-5不等，有些人员自2004年以来一直受聘。",
"公共部门会计准则",
"30. 工作组高兴地听到首席执行干事报告说，公共部门会计准则项目已取得良好进展，基金很有可能按期完成任务。其余有关固定资产和雇员福利的问题看来已得到妥善处理。秘书处和投资管理司现有财务人员熟知公共部门会计准则的各项标准。工作组认为，长期而言，公共部门会计准则将被纳入各级财务管理职责，与联合国系统会计准则的实施方式大体相同。",
"31. 工作组认为，没有必要设立两个专门负责公共部门会计准则的新员额，更适当的是提供一些短期咨询资金，用于协助处理财务报表、减值测试和政策文件。",
"养恤金综合管理系统",
"32. 就养恤金综合管理系统而言，工作组欢迎首席执行干事确认将养恤金综合管理系统项目作为最高优先事项。工作组指出，养恤金综合管理系统将从根本上把组织办法从个案驱动变为程序驱动。工作组回顾说，该系统的目的是提高效率并更好地提供服务。在这方面，工作组认为，对所有现行相关程序的审查和适当改进必须成为整个养恤金综合管理系统改革管理过程的固有组成部分。工作组还鼓励基金确保该项目并不主要由信息技术驱动，因为实质性领域的全面自主是不可或缺的。",
"33. 工作组建议，联委会应该要求提交一份报告，说明基金在实施养恤金综合管理系统之后的预期组织结构，供联委会第六十届会议结合下一次预算报告进行审议。该报告还应包括对所有因实施该系统而受影响的员额的战略评价。",
"34. 2010年，基金扫描了639 499份文件，共1 120 602页。养恤金综合管理系统意在取代应享权利、会计和文件管理系统。工作组注意到，在该项目中，看来已为会计和应享权利分配人员配置资源，但没有专为文件管理分配具体资源。工作组鼓励基金监测该项目所需的各种技能，确保资源分配到位，解决文件管理问题。",
"35. 目前的预算包括支持遗留系统所需要的额外订约承办事务和其他费用，而遗留系统将被养恤金综合管理系统取代。首席执行干事保证，新系统将按项目时间表和预算完成，也可能会低于预算。",
"36. 养恤金综合管理系统项目将对提供服务产生重大影响。因此工作组建议，在下一次预算报告中应提供一份订正组织结构图。",
"拟议资源",
"员额",
"37. 按照上文第19段所述原则和标准，并经过有行政和管理人员参与的一系列协商，工作组着手对员额进行了如下审查。基金总共请设3个改叙员额(3个秘书处员额)和36个新员额(16个行政部门员额和20个投资管理司员额)。经过审查每个员额并同秘书处和投资管理司对话，工作组提出以下意见：",
"(a) 不支持拟议的改叙；",
"(b) 支持在投资管理司设立7个新员额，如表1所列；",
"(c) 支持设立表2所列一般临时职位(并非原先请设的员额)；时间和目的如该表所示；",
"(d) 不支持在基金执行办公室设立新的P-4财务和预算干事员额。根据所提供的说明，现有P-3财务和预算干事员额的职能复杂程度有所增加，因此工作组支持将该员额改为P-4职等。",
"表1",
"款次 员额 员额数目 职类 \n B. 投资 \n 工作方案 \n 投资 投资干事——另类投资 1 P-4 \n\t投资干事——全球新兴市场\t1\tP-4\n 投资干事——交易执行 1 P-4 \n 投资干事——北美股票 1 P-3 \n风险与合规\t尽责和定量战略风险管理人\t1\tP-4\n 业务 财务干事，对账 1 P-3 \n 方案支持 \n 信息系统 数据管理干事 1 P-4",
"表2",
"款次\t一般临时人员职位\t数目\t职类\t备注 \n A. 行政 \n 工作方案 \n业务\t记录管理和分发主管(信息管理干事)\t1\tP-3\t24个月非经常职位\n\t客户服务福利助理(纽约)\t1\t一般事务(其他职等)\t24个月非经常职位\n B. 投资 \n司长办公室\t法律干事/法律室^(a)\t1\tP-4\t12个月非经常职位\n 工作方案 \n业务\t会计和报告主管\t1\tP-4\t仍在一般临时人员项下，不改为员额\n 方案支助 \n信息系统\t静态数据管理员\t1\tP-3",
"^(a) 提供服务所需资源将从法律室调拨。",
"行政",
"38. 在信息管理系统处项下，经过与基金讨论在持续需要用专职能力实施养恤金综合管理系统的情况下如何排定信息技术项目的优先次序问题，工作组不支持“综合管理举措”，并建议将预算减少2 543 300美元(重计费用前)。这将使行政预算有必要地减少订约承办事务(1 133 300美元)以及家具和设备(1 410 000美元)的费用。",
"临时员额",
"39. 工作组支持为养恤金综合管理系统项目续设17个临时员额，其职等如下：1个P-5，7个P-4，4个P-3，5个一般事务(其他职等)。",
"其他工作人员费用",
"40. 工作组同意其他工作人员费用项下请批的数额，该数额因业务/行政项下核准的2个一般临时人员职位所需追加资源而作了调整，如表2所列。",
"咨询人",
"41. 工作组支持请批的数额，共计300 000美元(重计费用前)。",
"差旅",
"42. 工作组建议订正批款数额减少10%。",
"订约承办事务",
"43. 工作组支持请批的数额，该数额因综合管理举措项目请批资源未获核准而作了调整。",
"招待费",
"44. 维持订正批款数额。",
"一般业务费用",
"45. 工作组同意行政项下请批的数额。工作组注意到一般业务费用有所增加，原因是300万美元的银行手续费。这项费用比上一个两年期增加了约50万美元。工作组请基金审查银行业务机制，力求减少这些费用。下一次提交预算时应提供一份简要报告。",
"用品和材料",
"46. 工作组支持请批的数额。",
"家具和设备",
"47. 工作组支持请批的数额，该数额因综合管理举措项目请批资源未获核准而作了调整。",
"48. 表3汇总列示上述关于行政部门非员额项目的建议。",
"表3 (千美元)",
"其他工作人员费用 3 910.3\n 咨询人 300.0",
"差旅 1 224.5",
"订约承办事务 31 847.9",
"招待费 4.0",
"一般业务费用 14 248.0",
"用品和材料 185.8",
"家具和设备 2 011.0",
"非员额资源共计 53 731.5",
"投资管理司",
"其他工作人员费用",
"49. 工作组建议按订正批款数额批拨资源，该数额因增设2个一般临时人员职位所需追加资源(非经常资源，为1个P-4法律室法律干事供资12个月，为1个P-4会计和报告主管供资24个月)而作了调整，如表2所列。",
"50. 此外，工作组同意投资管理司设立一个P-2风险与合规执行情况分析员和一个P-3静态数据管理员，在其他工作人员费用项下核定总资源范围内安排(如表3所列)。",
"咨询人",
"51. 根据对公共部门会计标准所需总资源的审查，工作组建议将所需资源估计数500 000美元减少到250 000美元。因此，咨询人项下经费为1 177 000美元(重计费用前)。",
"差旅",
"52. 工作组建议维持订正批款数额。",
"订约承办事务",
"53. 在订约承办事务项下，工作组目前不支持为领导基金请批的11 250 000美元数额。工作组认为，批拨这一数额等于改变投资战略，但这种改变应在联委会届会上讨论并得到投资委员会的明确支持。",
"54. 此外，工作组获悉，最近的保管人/总账管理人服务合同谈定费用低于预期数额，因此建议将该项支出减少4 138 300美元。",
"招待费",
"55. 工作组建议维持订正批款数额。",
"一般业务费用",
"56. 工作组同意请批的数额。",
"用品和材料",
"57. 工作组建议维持订正批款数额。",
"家具和设备",
"58. 工作组建议维持订正批款数额。",
"59. 表4汇总列示上述关于投资管理司非员额项目的建议。",
"表4",
"(千美元)",
"其他工作人员费用 2 892.2\n 咨询人 1 177.0",
"差旅 2 000.0",
"订约承办事务 62 532.1",
"招待费 22.0",
"一般业务费用 4 485.1",
"用品和材料 160.0",
"家具和设备 700.0",
"非员额资源共计 73 968.4",
"养恤金联委会费用",
"60. 工作组完全支持请批的作为联委会费用的经费。",
"预算外资金",
"61. 工作组支持由参加计划的各成员组织出资的一名一般事务(其他职等)工作人员的经费。",
"联委会的讨论情况",
"62. 联委会赞赏地注意到按照要求在大会开始前90天提交了预算文件，使得预算工作组可以对文件进行详细审查。",
"63. 行政首长支持工作组的工作成果并欣见列报的预算符合国际公共部门会计准则第24条，而且是在联委会要求的时间范围内编制完成。行政首长关注的一点是，拟议预算中提供的信息有不准确之处，使得工作组进行的分析和联委会的审议工作变得更加复杂。行政首长建议应酌情彻底利用比率进行分析。行政首长还指出以往期间核准的预算未全部支出。",
"64. 各理事机构核准了工作组的建议。理事机构建议在今后的会议上，应更早提交文件，同时附上主要官员的前言说明，以便为工作组的审议提供更全面信息。",
"65. 参与人小组支持工作组提出的建议并注意到各项资产负债管理研究建议基金资产实现多样化并寻求投资于另类资产。参与人小组忆及以往大会会上提出的尽可能审慎行事的建议。参与人小组还忆及预算制约不应阻碍专业进展。",
"66. 退职国际公务员协会联合会支持工作组的结论并向工作组表示感谢。",
"67. 该联合会进一步指出，应在必要时根据通货膨胀和货币影响调整参照基数，在厉行节俭的大环境下，应在诸如差旅和信息技术等项目方面视可能寻求减少费用，而且请批的预算应与战略目标密切相关。应尽早事先说明养恤金综合管理系统的任何系统变化可能对成员组织产生的影响。",
"68. 联委会成员还指出：",
"(a) 基金在为订约承办事务编制预算时应审视采用的方法和所做的假设；",
"(b) 预算工作组报告中所载表格列出了每个参与人的费用趋势，这一做法很有用，可以作为基金进行进一步分析的一个模式。",
"69. 秘书长的代表向联委会提交了一份说明，其中警告说，因在投资管理方面节省开支，失去了投资回报，由此造成的机会成本可能远超表面的节省。作为基金的受托人，秘书长的代表正式提出他的忧虑和关切，即投资管理司的资金结构性不足，导致一个无法接受的风险，即今后无法带来适当回报，无法支持现有和预期负债。",
"70. 首席执行干事感谢工作组并对工作组支持包括养恤金综管系统和公共部门会计准则在内的主要项目表示感谢。首席执行干事还提及工作组报告中列出了每名参与人费用的示意图，进一步澄清说，每次每名参与人费用增加，都是由于举办了某个项目，项目结束后每名参与人费用又会下降。他举例说，2004年费用突然上涨是由于养恤基金从联合国秘书处大楼搬迁到了达格·哈马舍尔德广场1号,2012-2013年费用猛涨是由于建立养恤金综合管理系统，其中包括项目结束后就将取消的17个临时员额。",
"71. 副首席执行干事确认，与养恤金综合管理系统项目相关的目标操作模式的目的和效益不变。出现变化的是新泽西北美数据中心项目所需新信息技术基础结构的地点。发现达格·哈马舍尔德广场1号数据中心存在严重弱点后，决定在北美数据中心安装项目的信息技术基础结构。副首席执行干事还指出，基金内的所有实务小组都参与了该项目，而且还成立了养恤金综合管理系统指导委员会。他确认，预计将按计划在预算内完成该项目。",
"联委会的建议",
"72. 根据工作组的建议，养恤金联委会核准拟议预算估计数194 164 000美元，其中包括行政费用(98 407 600美元)、投资费用(92 938 200美元)、审计费用(2 613 800美元)和联委会费用(204 400美元)，供提交大会。根据费用分摊安排，这笔款项中的173 260 600美元将分摊给养恤基金，20 903 400美元将分摊给联合国。",
"73. 此外，联委会核准使用156 800美元预算外资金用于根据一些成员组织的要求处理离职后健康保险费的付款。",
"附件二",
"联合国合办工作人员养恤基金：2010-2011两年期核定组织结构图",
"[]",
"缩写：ASG：助理秘书长；GS：一般事务；OL：其他职等；PL：特等。",
"^(a) 一个预算外一般事务(其他职等)员额由成员组织提供经费。",
"^(b) 授权参与养恤金综管系统项目的临时员额。",
"^(c) 授权2010-2011两年期参与信管系统处的2个P-4员额中的1人授权仅为12个月。2011年裁撤了这一员额，将信管系统处的临时P-4员额减为1人。",
"附件三",
"联合国合办工作人员养恤基金：2012-2013两年期拟议组织结构图",
"[]",
"缩写：ASG：助理秘书长；OL：其他职等；PL：特等。",
"^(a) 一个预算外一般事务(其他职等)由成员组织提供经费。",
"^(b) 授权参与养恤金综管系统项目的临时员额。",
"附件四",
"联合国合办工作人员养恤基金：截至2010年12月31日按成员组织开列的参加人数",
"[TABLE]",
"^(a) 2006年联合国的参加人数调降2人，从68 855人减至68 853人。",
"^(b) 《关税及贸易总协定》于1998年12月31日退出联合国合办工作人员养恤基金。",
"^(c) 国际刑事法院自2004年1月1日起成为基金的第20个成员组织。",
"^(d) 各国议会联盟自2005年1月1日起成为基金的第21个成员组织。",
"^(e) 国际移徙组织自2007年1月1日起成为基金的第22个成员组织。",
"^(f) 黎巴嫩问题特别法庭自2009年1月1日起成为基金的第23个成员组织。",
"[1] 据估计，在2012-2013两年期期间，预计将办理超过55 400项新参与人加入手续、离职手续以及进出基金账目手续；这涉及该部门开展的具体和可衡量的工作任务，比1998-1999两年期增加80%。",
"[2] 在约30年期间，共要支付的额外定期养恤金的总年金价值以及业务处每年计算、验证和备付的现金结算额估计近10亿美元。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Items 133 and 134 of the provisional agenda*",
"Programme budget for the biennium 2010-2011",
"Proposed programme budget for the biennium 2012-2013",
"Administrative expenses of the United Nations Joint Staff Pension Fund and transitional measures concerning the Fund’s financial reporting under the International Public Sector Accounting Standards",
"Report of the United Nations Joint Staff Pension Board",
"Contents",
"Page\nI.Overview 4II. Budget 4 estimates for the biennium 2010-2011: performance \nreport A.Administrative 7 \ncosts B.Investment 13 \ncosts C. Audit 16 \ncosts D. Board 16 \ncosts E.Extrabudgetary 16 \ncosts III. Budget 17 estimates for the biennium 2012-2013: results-based frameworks and analysis of resource \nrequirements \nA.Introduction 17B.Administrative 25 \ncosts C.Investment 49 \ncosts D. Audit 66 \ncosts E. Board 67 \nexpenses IV. Emergency 67 \n Fund V.Recommendation 67 for ad hoc measures regarding implementation of the International Public Sector Accounting Standards by 1 January \n 2012 VI. Action 68 to be taken by the General \nAssembly VII.Summary 69 of follow-up action taken to implement requests and recommendations of the Board of Auditors and Advisory Committee on Administrative and Budgetary \nQuestions \nAnnexes I.Discussionsin 79 theUnited NationsJointStaff PensionBoardon the revisedbudgetestimates for the biennium2010-2011 andon thebudgetestimates for the \nbiennium2012-2013 II.United 94 NationsJointStaff PensionFund: approved organizationchart for the \nbiennium2010-2011 III.United 95 NationsJointStaff PensionFund: proposed organizationchart for the \nbiennium2012-2013 IV.United 96 NationsJointStaff PensionFund:numberof participantsbymember organizationasat31 December \n 2010",
"Summary \nThe present report contains the revised budget for the United NationsJoint Staff Pension Fund for the biennium 2010-2011, which indicatesa reduction in appropriations amounting to $21,772,800. Thisreduction comprises amounts under expenditures of administrativecosts ($11,830,000), investment costs ($9,908,500) and audit costs($112,100), partly offset by an increase of $77,800 for Boardexpenses. The revised appropriations for the biennium 2010-2011 wouldthen amount to $154,545,700, divided into: administrative costs($80,478,500), investment costs ($71,289,000), audit costs($2,532,900) and Board expenses ($245,300). Of this amount,$21,508,700 is chargeable to the United Nations under thecost-sharing arrangement.\nThe report also contains budget estimates for the period from 1January 2012 to 31 December 2013, which amount to $191,620,600(before recosting) for administrative costs ($96,873,100), investmentcosts ($91,799,300), audit costs ($2,748,200) and Pension Boardexpenses ($200,000). The report provides for a total of 227continuing established posts, 17 temporary posts, 7 new establishedposts and the reclassification of 1 post.\n Resource requirements -----------------------------------------------------------------------------Resources Posts(thousands ofUnited Statesdollars)---------------------- ------------- ------------- -- ----------- -----------Category 2010-2011 2012-2013 2010-2011 2012-2013(beforerecosting) Administrative^(a,b) 92 308.5 96 873.1 188 187 Investment 81 197.5 91 799.3 58 65 Audit 2 645.0 2 748.2 — — Pension Board 167.5 200.0 — — Total 176 318.5 191 620.6 246 252----------------------------------------------------------------------------- ^(a) One extrabudgetary General Service (Other level) post fundedby member organizations. \n^(b) Includes 18 Integrated Pension Administration System temporaryposts; 1 post at the P-4 level was abolished in 2011.",
"I. Overview",
"1. The United Nations Joint Staff Pension Fund was established in 1949 by the General Assembly to provide retirement, death, disability and related benefits for the staff of the United Nations and such other organizations as might be admitted to membership. There are currently 23 member organizations; the combined number of active participants and benefits in payment as of 31 December 2010 amounted to 184,968.",
"2. In accordance with the Regulations adopted by the General Assembly, the Fund is administered by the United Nations Joint Staff Pension Board, a staff pension committee for each member organization and a secretariat to the Board and to each such committee. One third of the Board members are chosen by the General Assembly and the corresponding governing bodies of the other member organizations, one third by the executive heads and one third by the participants. The Pension Board reports to the General Assembly on the operations of the Fund and on the investment of its assets. When necessary, it recommends amendments to the Regulations, which govern, inter alia, the rates of contribution by the participants (currently 7.9 per cent of their pensionable remuneration) and by the organizations (currently 15.8 per cent), eligibility for participation, and the benefits to which participants and their dependants may become entitled.",
"II. Budget estimates for the biennium 2010-2011: performance report",
"3. Table 1 summarizes the total estimated expenditures for the biennium 2010-2011. In order to make the performance report of the Fund more meaningful, the expenditures for the biennium comprise two distinct elements: (a) actual expenditures for the 17-month period from 1 January 2010 through 31 May 2011; and (b) estimated expenditures for the 7-month period from 1 June through 31 December 2011. The actual expenditures for the period from 1 January through 31 May 2011 have been calculated on the accrual basis of accounting, meaning that the effects of transactions and other events are recognized in financial statements when they occur and not when cash and cash equivalents are received or paid.",
"4. In resolution 64/245, the General Assembly approved appropriations for the biennium 2010-2011 totalling $176,318,500, comprising administrative costs ($92,281,400), investment costs ($81,292,100), audit costs ($2,645,000) and Board expenses ($100,000). Of this amount, $154,749,100 is chargeable directly to the Fund and $21,569,400 being the share of costs borne by the United Nations. In addition, resources amounting to $158,200 were authorized for extrabudgetary costs and funded by a number of member organizations. In its resolution 65/249, the General Assembly approved the redeployment of appropriations to meet the requirements of the Fund. The revised appropriation comprises administrative costs ($92,308,500), investment costs ($81,197,500), audit costs ($2,645,000) and Board expenses ($167,500). The amount chargeable directly to the Fund and the share of costs borne by the United Nations remain unchanged at $154,749,100 and $21,569,400, respectively.",
"Table 1 Revised estimates for the biennium 2010-2011 by object of expenditure",
"(Thousands of United States dollars)",
"Approved Expenditures Estimated Increase or Proposed final appropriations for the expenditures (decrease) 2010-2011 17-month for the for the appropriations period 7-month period biennium 1 January 1 June-31 2010-2011 2010-31 May December 2011 2011\n Pension United Total Pension United Total Pension United Total Pension United Total Pension United Total Fund Nations Fund Nations Fund Nations Fund Nations Fund Nations",
"(a) (b) (c) (d) = (b) + (e) = (a) + (d) (c) - (a)",
"Administrative costs",
"Posts 26 386.6 12 344.8 38 731.4 16 442.4 7 739.9 24 8 213.8 3 829.8 12 (1 730.4) (775.1) (2 505.5) 24 656.2 11 36 182.3 043.6 569.7 225.9",
"Temporary posts 2 870.3 — 2 870.3 807.1 — 807.1 258.0 — 258.0 (1 805.2) — (1 805.2) 1 065.1 — 1 065.1",
"Other staff 2 830.8 1 202.0 4 032.8 1 958.8 932.6 2 891.4 1 260.5 538.6 1 799.1 388.5 269.2 657.7 3 219.3 1 471.2 4 690.5 costs",
"Consultants 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (199.1) 338.5 — 338.5",
"Travel 1 360.6 — 1 360.6 907.2 — 907.2 389.9 — 389.9 (63.5) — (63.5) 1 297.1 — 1 297.1",
"Contractual 21 908.3 3 851.7 25 760.0 12 144.7 3 163.6 15 2 651.8 521.5 3 173.3 (7 111.8) (166.6) (7 278.4) 14 796.5 3 685.1 18 services 308.3 481.6",
"Hospitality 4.0 — 4.0 4.3 — 4.3 1.0 — 1.0 1.3 — 1.3 5.3 — 5.3",
"General 9 581.6 3 220.1 12 801.7 6 703.9 3 125.8 9 829.7 4 442.8 712.1 5 154.9 1 565.1 617.8 2 182.9 11 146.7 3 837.9 14 operating 984.6 expenses",
"Supplies and 140.1 70.0 210.1 252.4 55.1 307.5 54.9 27.5 82.4 167.2 12.6 179.8 307.3 82.6 389.9 materials",
"Furniture and 5 560.0 440.0 6 000.0 481.5 114.1 595.6 2 078.5 325.9 2 404.4 (3 000.0) — (3 000.0) 2 560.0 440.0 3 000.0 equipment",
"Total 71 179.9 21 128.6 92,308.5 39 908.2 15 55 19 483.8 5 955.4 25 (11 (42.1) (11 59 392.0 21 80 131.1 039.3 439.2 787.9) 830.0) 086.5 478.5",
"Investment costs",
"Posts 15 344.0 — 15 344.0 9 115.1 — 9 115.1 5 275.5 — 5 275.5 (953.4) — (953.4) 14 390.6 — 14 390.6",
"Other staff 2 361.8 — 2 361.8 753.4 — 753.4 1 738.7 — 1 738.7 130.3 — 130.3 2 492.1 — 2 492.1 costs",
"Consultants 2 328.8 — 2 328.8 702.6 — 702.6 1 626.2 — 1 626.2 — — — 2 328.8 — 2 328.8",
"Travel 2 000.0 — 2 000.0 1 100.6 — 1 100.6 610.4 — 610.4 (289.0) — (289.0) 1 711.0 — 1 711.0",
"Contractual 52 878.9 — 52 878.9 32 839.7 — 32 11 594.0 — 11 (8 445.2) — (8 445.2) 44 433.7 — 44 services 839.7 594.0 433.7",
"Hospitality 22.0 — 22.0 20.4 — 20.4 3.0 — 3.0 1.4 — 1.4 23.4 — 23.4",
"General 5 402.0 — 5 402.0 2 787.4 — 2 787.4 2 283.5 — 2 283.5 (331.1) — (331.1) 5 070.9 — 5 070.9 operating expenses",
"Supplies and 160.0 — 160.0 53.8 — 53.8 105.8 — 105.8 (0.4) — (0.4) 159.6 — 159.6 materials",
"Furniture and 700.0 — 700.0 218.6 — 218.6 460.3 — 460.3 (21.1) — (21.1) 678.9 — 678.9 equipment",
"Total 81 197.5 81 197.5 47 591.6 47 23 697.4 23 (9 908.5) (9 908.5) 71 289.0 71 591.6 697.4 289.0",
"Audit costs",
"External audit 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 — — — 551.0 110.2 661.2",
"Internal audit 1 653.2 330.6 1 983.8 821.4 164.3 985.7 738.3 147.7 886.0 (93.5) (18.6) (112.1) 1 559.7 312.0 1 871.7",
"Total 2 204.2 440.8 2 645.0 1 066.0 213.2 1 279.2 1 044.7 209.0 1 253.7 (93.5) (18.6) (112.1) 2 110.7 422.2 2 532.9",
"Board expenses 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3",
"Total resources 154 749.1 21 569.4 176 318.5 88 765.2 15 104 44 271.8 6 164.4 50 (21 (60.7) (21 133 037.0 21 154 344.3 109.5 436.2 712.1) 772.8) 508.7 545.7",
"Extrabudgetary costs (after-service health insurance system)",
"Operational 158.2 — 158.2 90.0 — 90.0 54.3 — 54.3 (13.9) — (13.9) 144.3 — 144.3 activities",
"5. The revised appropriations were approved for:",
"(a) Administrative costs: an increase of $94,600 in general temporary assistance expenditure to cover the cost of one post at the P-4 level related to the implementation of the International Public Sector Accounting Standards (IPSAS);",
"(b) Investment costs: a decrease in contractual services of $94,600.",
"6. Total expenditure for the biennium 2010-2011 is estimated at $154,545,700, comprised of administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300), resulting in an underexpenditure of $21,772,800, or 12.3 per cent of the total appropriation. In addition, the projected expenditure of $144,300 for extrabudgetary costs will result in an underexpenditure of $13,900, or 8.8 per cent of the appropriation.",
"A. Administrative costs",
"7. The $80,478,500 estimated administrative costs will result in an underexpenditure of $11,830,000, or 12.8 per cent. The main resource variances that contribute to the net underexpenditure are due primarily to the Integrated Pension Administration System project as a result of a refinement in the project plan and the addition of new foundational activities as well as the installation of the new information technology infrastructure as explained in paragraphs 13 to 17 below. The Integrated Pension Administration System project is a major capital project for the Pension Fund and, as such, table 2 highlights the split between the estimated expenditure of the Integrated Pension Administration System project and non-Integrated Pension Administration System projects for the biennium 2010-2011.",
"8. The major resource variances not related to the Integrated Pension Administration System include:",
"1. Posts — underexpenditure of $2,505,500",
"9. The underexpenditure is mainly due to a higher average vacancy rate early in the biennium.",
"2. Other staff costs — overexpenditure of $657,700",
"10. The higher than expected expenditure is owing mainly to the need for general temporary assistance as a result of increased workload owing to the increase in the number of participants, retirees and other beneficiaries.",
"3. General operating expenses — overexpenditure of $2,182,900",
"11. The higher than expected expenditure is owing mainly to bank charges, which are estimated to be $2,500,000. Estimates for bank charges were included in the 2010-2011 budget estimates report presented to the Board, under the general operating expenses category, which, after consideration by the Board, was eliminated in the budget report to the General Assembly (see A/64/291, annex VII, para. 34). The amount of $2,500,000 for bank charges for benefit payments is based on actual charges incurred in the 2008-2009 performance period.",
"4. Projects undertaken in the biennium 2010-2011",
"12. Brief details of the status of information technology projects undertaken in the biennium 2010-2011 are given below.",
"Table 2 Status of projects, 2010-2011",
"(United States dollars)",
"Project Projected/actual Appropriation Estimated Overexpenditure or completion date expenditure (underexpenditure)",
"Integrated Pension May 2014 14 361 400 2 299 906 (12 061 494) Administration System",
"Member organization December 2011 1 749 773 1 749 773 — information-sharing initiatives",
"Client services initiatives December 2011 469 671 469 671 —",
"Web system initiatives December 2011 1 709 342 1 709 342 —",
"Enterprise system December 2011 1 063 280 1 063 280 — initiatives",
"Enterprise operations December 2011 1 031 400 1 031 400 — initiatives",
"Information technology December 2011 461 633 461 633 — consolidation with Investment Management Service",
"Total 20 846 499 8 785 005 (12 061 494)",
"Integrated Pension Administration System initiative",
"13. During the biennium 2010-2011, the Fund continued with the project’s major foundational tasks including: (a) constructing a comprehensive data dictionary of the current systems (PENSYS and Lawson); (b) producing a detailed data analysis of the current systems; (c) cleaning data, utilizing specialized “bulk” programmes, and through the work of the Integrated Pension Administration System project team staff with the PENSYS and Lawson databases; (d) updating procedural documentation (to complement the process maps produced under the planning and design phase of the project); (e) producing the first set of calculation formulas to set out the complex and detailed calculation basis of the Pension Fund and be ready for the sign-off of these from in-house and external experts during the implementation phase; (f) updating of technical documentation which sets out the detailed data exchanges (interfaces) that exist between the current systems and other entities; and (g) creating the first set of detailed test libraries covering the interfaces and calculations.",
"14. The project started two additional initiatives not considered in the original plan. The first initiative refers to an extensive bottom-up review of the statement of requirements produced during the first phase of the project. During this phase, the target operating model and project scope were refined. New functional and information technology requirements were expanded. The final statement of work considers 333 detailed functional and information technology specifications in addition to 18 key high-level requirements.",
"15. The second initiative relates to the exploration of new technologies as the means to develop better interfaces that would allow a seamless payroll connection (between the Integrated Pension Administration System and member organizations’ human resources and finance systems) and that would enable a better use of existing databases to automate verification of contribution calculations and establish other data quality protocols. In the light of the recent strategy adopted by many member organizations to migrate to enterprise resource planning platforms, the Fund is studying the possibility of establishing common interfaces using newer technologies. At the completion of the implementation of the SAP software by the United Nations, it is estimated that 96 per cent of the Pension Fund participants’ data will be maintained under an enterprise resource planning platform. This initiative is closely connected with the development of Integrated Pension Administration System since the amended specifications consider: (a) the need for a seamless payroll connection; (b) the tools for an efficient utilization of the common enterprise resource planning interfaces; and (c) the development of a web-entry system (for those organizations lacking enterprise resource planning platforms).",
"16. The two additional initiatives yielded more detailed specifications that will guide the parameterization and functionality building process in a more precise and effective manner. This will improve the new system and save time and resources in post-implementation changes. In addition, the Integrated Pension Administration System project will try to harmonize as early as possible its data requirements with the data generated by the enterprise resource planning systems of member organizations. Naturally, the success of the System is closely linked to the quality, timeliness and availability of the human resources and financial data supplied by the Fund’s member organizations.",
"17. While the Integrated Pension Administration System project’s overall estimated cost of $22,660,300 (before recosting) remains unchanged, additional activities have been incorporated into the project plan, and the procurement process has been significantly modified to incorporate a two-stage evaluation (as suggested by the United Nations Procurement Division). These changes resulted in an extension of the original timeline and a corresponding shift in the estimated timing of the expenditures. Table 3 highlights the estimated expenditure for the biennium 2010-2011 as well as the overall estimated project cost.",
"Table 3 Summary of resource requirements for the Integrated Pension Administration System",
"(Thousands of United States dollars)",
"Administrative Biennium Biennium Biennium Total project costs 2010-2011 2012-2013 2014-2015\n Approved Estimated Increase/ Proposed final Requested Estimated Estimated appropriations expenditure (decrease) appropriations appropriations appropriations appropriations",
"Temporary posts 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6",
"Travel 84.8 84.8 — 84.8 — — 84.8",
"Contractual 8 406.3 1 150.0 (7 256.3) 1 150.0 11 966.3 3 765.6 16 881.9 services",
"Furniture and 3 000.0 — (3 000.0) — — — — equipment",
"Total 14 361.4 2 299.9 (12 061.5) 2 299.9 15 637.1 4 723.3 22 660.3",
"Furniture and equipment — underexpenditure of $3,000,000",
"18. The lower than expected expenditure is the result of a decision to install the information technology hardware required by the project in the Fund’s new data centre owing to vulnerabilities identified in the data centre at 1 Dag Hammarskjöld Plaza. The project’s original strategy was to acquire 12 new servers and 15 storage area network modules as well as uninterruptible power supply expansions and install them in the data centre located on the fourth floor of 1 Dag Hammarskjöld Plaza to provide the required additional capacity to host the new system applications.",
"19. However, owing to serious vulnerabilities identified in the data centre at 1 Dag Hammarskjöld Plaza, this strategy was not considered viable. The Business Impact Analysis conducted in 2009 and presented to the Pension Board in 2010 revealed that while the data centre had installed a UPS system, there was no power generator to deal with possible power failures from the utility company (or building electrical system). An earlier assessment of the data centre against industry practices for a production data centre gave the facility an availability rating of 2 out of 10 (10 being the highest or best possible score). Therefore, installing new hardware in the data centre at 1 Dag Hammarskjöld Plaza would represent serious risks to the Integrated Pension Administration System project.",
"20. After an extensive search for a suitable alternative, the Fund decided to migrate the information and communications technology infrastructure located at 1 Dag Hammarskjöld Plaza to the new North American data centre, which is a new and more robust data centre that would be able to properly ensure operational availability of its mission critical systems. The North American data centre is classified as tier 3 according to the Telecommunications Industry Association standards (TIA-942 DC), which guarantees 99.9 per cent uptime and availability.",
"Contractual services — underexpenditure of $7,256,300",
"21. The lower than expected expenditure is owing mainly to the change in location of the data centre to host the new system applications. When the existing equipment at 1 Dag Hammarskjöld Plaza was moved to the new North American data centre, additional new equipment in the amount of $750,000 was acquired and installed in the North American data centre to adequately cover all of the expected capacity needs of the Integrated Pension Administration System. A request for proposal has been issued for $400,000 to retain a specialized consulting firm to assist in the re-engineering of its processes as per the new target operating model and new operational paradigm as well as to develop test scenarios to serve as the basis for ensuring that the new system is able to process entitlements and payments accurately, safely and efficiently.",
"22. The above-mentioned initiatives enable the Integrated Pension Administration System project to be in a better position to start its next phase, but this represents a shift in the original timeline. The project’s 30-month estimate for full system deployment (after the proof of concept has been tested and approved) has not changed. Therefore, the completion of system implementation is expected by April 2014 and parallel testing and training by November 2014. However, this target date is dependent on the duration of the remaining procurement/contractual activities which are expected to be completed in nine months. Consequently, the appropriations for the development, parameterization and implementation of the new software applications considered in the budget for 2010-2011 ($7,256,300) will not be exercised until the biennium 2012-2013. The project’s detailed timeline and description of activities is included in annex II of the supplementary financial information.",
"Temporary posts — underexpenditure of $1,805,200",
"23. The lower than expected expenditure in posts is owing primarily to a staggered recruitment approach which was adopted to make the best use of the project’s resources and which responds to the updating of the project’s timeline.",
"Client services initiatives",
"24. A pilot project (iServ), based on Oracle’s Siebel customer relationship management, was commissioned with the goal of streamlining and automating incidents reported to the Fund’s webmaster. The exercise proved to be much more complex and challenging than initially estimated but helped the Fund gain substantial knowledge about implementing a customer relationship management system and provided many valuable lessons. It also helped the Fund determine that introducing a comprehensive customer relationship management solution right away into its core business activities might not be the most practical, advisable or cost-effective action (especially so considering that customer relationship management could be a part of the Integrated Pension Administration System initiative), whereas addressing the most critical needs of the Client Services Unit in the short term by building smaller localized applications would prepare it better in understanding how to shape the customer relationship management system when it is eventually integrated with the business processes.",
"25. As an alternative, a Lotus Notes-based custom application has been developed to track interactions with clients who visit the Fund in person or phone. Not only does the application record valuable information, such as the area of service requested, mode the service was provided in (walk in or phone) and the time taken to service a client, it provides an easy-to-use reporting and analytics tool (including dashboards) that can be used to view statistics and trends over a period of time. It is envisioned that as time goes by, this application will be enhanced to incorporate additional features covering a broader spectrum of client services activities.",
"Web systems initiatives",
"26. The web systems initiatives keep providing beneficiaries and participants with direct access to personalized information through the use of custom web-based applications. Critical applications, including the two-track and benefit estimate systems, certificate of entitlement tracking and annual statements, have now become a standard service for clients. The cost-of-living notification, produced whenever there is a change in the cost-of-living index and/or the quarterly exchange rate, is now available on the Web for registered beneficiaries in receipt of a monthly benefit. The interface for the benefit estimator available through the annual statement application has been redesigned and is now available to clients since the release of the 2009 annual statement. As part of the Fund’s ongoing efforts to support the increasing number of visitors, parts of the website infrastructure and applications were upgraded to provide a more stable and secure environment. New web-based portals were added to provide role-based and secure single-point interfaces for many Fund-wide web applications. Additional e-learning applications and onboarding workshops have been added to accommodate training requirements, and several new courses will be made available in 2011. A case digest for the Legal Office has been developed and will also be available on the website in 2011.",
"Enterprise systems initiatives",
"27. The enterprise systems initiatives will ensure that mission-critical business systems (for example, Content Manager and Lawson) are current with vendor updates, releases and upgrades, while keeping pace with changes to the business model of the Fund. All necessary updates, releases and upgrades have been or are expected to be successfully installed by the end of 2011.",
"Enterprise operations initiatives",
"28. As part of the enterprise operations mandate, all mission critical systems have been transferred to a new site in Piscataway, New Jersey. The new facility is a Tier III data centre fault tolerant providing 99.9 per cent availability. Telecommunication equipment will continue to be hosted by the data centre at 1 Dag Hammarskjöld Plaza, while the Geneva data centre hosts the support systems for the Geneva office and the business continuity and disaster recovery environment. As part of the data centre relocation project, the storage area network has been upgraded, increasing the capacity and reducing the systems response time. A new virtual infrastructure was built enabling 70 per cent of the Fund’s servers to run on virtual farms, thereby increasing operational efficiency and availability and improving manageability of the server infrastructure. The Lawson and database servers have been upgraded, and a fail-over cluster was implemented to optimize the recovery time and response to users. The relocation of the Geneva Data Centre is in progress. The new facilities are managed by the International Computing Centre and will allow the Fund to virtualize 95 per cent of the servers and support redundancy for the web environment. A new data backup system has been implemented reducing the maintenance window and the file recovery time. An enterprise e-mail archiving solution has been implemented in the Pension Fund in order to manage the e-mail service efficiently and to keep up with the growing mailboxes and unlimited retention policy of the organization. In the process, Pension Fund e-mail servers and clients have been constantly upgraded to the most current releases. It is anticipated that by the end of 2011, the Information Management Systems Service will complete an upgrade of the UPS system.",
"Information technology consolidation with the Investment Management Division initiative",
"29. Information technology consolidation with the Investment Management Division is progressing as planned and is scheduled to finish during the current biennium. Based on the signed service delivery agreements between the Information Management Systems Service and the Investment Management Division, several infrastructure projects were executed successfully and in a timely manner within the shared infrastructure environment. These include the trade order management system, Society for Worldwide Interbank Financial Telecommunication (SWIFT), and document management system. A disaster recovery environment for the trade order management system and SWIFT was also successfully built and tested in Geneva. Work is in progress for the final 5 out of the 38 areas identified for consolidation and is anticipated to be completed during the current biennium. These include network, help desk, provision of directory services, file sharing and e-mail consolidations.",
"B. Investment costs",
"30. The $71,289,000 estimated administrative costs will result in an underexpenditure of $9,908,500, or 12.2 per cent. The main resource variances that contribute to the net underexpenditure include:",
"1. Posts — underexpenditure of $953,400",
"31. The underexpenditure is due mainly to the later than expected recruitment of staff.",
"2. Travel — underexpenditure of $289,000",
"32. The underexpenditure is owing mainly to the later than expected recruitment of staff and the availability of staff as a result of work schedules. The lower requirement was offset by higher travel costs for the members of the Investment Committee.",
"3. General operating expenses — underexpenditure of $331,100",
"33. The underexpenditure is attributable to lower than anticipated costs for charges such as chilled water, cleaning services and building operating expenses.",
"4. Contractual services — underexpenditure of $8,445,200",
"Table 4 Contractual services: estimated expenditures 2010-2011",
"(Thousands of United States dollars)",
"Category Appropriations Estimated Overexpenditure or 2010-2011 expenditures (underexpenditure)",
"External legal consultant 1 200.0 1 200.0 —",
"Third-party service providers",
"(a) Global custodian and advisers",
"Global custodian 6 952.0 3 743.8 (3 208.2)",
"Advisers 16 976.4 14 994.0 (1 982.4)",
"Subtotal (a) 23 928.4 18 737.8 (5 190.6)",
"(b) Portfolio management",
"Small capitalization 12 500.0 13 562.4 1 062.4",
"Publicly traded real 2 700.0 700.0 (2 000.0) estate",
"Subtotal (b) 15 200.0 14 252.4 (937.6)",
"(c) Market data services 3 541.5 2 399.5 (1 142.0)",
"Subtotal third-party 42 669.9 35 399.7 (7 270.2) service providers",
"SWIFT contractual 590.0 345.0 (245.0) services",
"Other contractual 8 419.0 7 489.0 (930.0) services",
"Total 52 878.9 44 433.7 (8 445.2)",
"34. The underexpenditure is attributable to several factors including: delay in the procurement processes for the multiple custodians and independent master record keeper, and the hiring of a manager of publicly traded real estate as well as advisers on fixed income, real assets and alternative investment; and the lower than anticipated cost of procuring applications, such as the disaster recovery solution, SWIFT and the compliance system. The reduced requirements were partly offset by the increase in the cost of small capitalization as a result of the increase in fees, based on good performance.",
"5. Projects undertaken in the biennium 2010-2011",
"35. Table 5 shows the status of information technology projects funded and undertaken in the biennium 2010-2011.",
"Table 5 Status of projects, biennium 2010-2011",
"(United States dollars)",
"Project Projected/actual Appropriation Estimated Overexpenditure or completion date expenditure (underexpenditure)",
"Portfolio risk analysis and June 2011 1 390 000 1 280 000 110 000 performance attribution",
"Electronic order management and March 2011 1 120 000 1 120 000 — trading (Charles River System)",
"Compliance pre-trading and March 2011 970 000 870 000 100 000 post-trading",
"Portfolio accounting and December 2011 2 790 000 2 390 000 400 000 reconciliation",
"Data hub system June 2012 820 000 820 000 —",
"OMEGEO, FXALL, Tradeweb and December 2011 1 170 000 850 000 320 000 other confirmation and trading platforms are being integrated into the Charles River System",
"SWIFT, including upgrade of June 2011 590 000 345 000 245 000 SWIFT to version 7",
"Total 8 850 000 7 675 000 1 175 000",
"Operating expenses",
"Charles River in disaster December 2011 200 000 143 771 56 229 recovery site (International Computing Centre Geneva)",
"SWIFT in disaster recovery site December 2011 200 000 221 805 (21 805) (International Computing Centre Geneva)",
"SunGard 200 000 — (200 000)",
"Total 600 000 365 576 (234 424)",
"Furniture and equipment",
"Sun servers May 2011 500 000 500 000 —",
"Desktops June 2011 100 000 100 000 —",
"Laptops June 2011 73 400 70 000 3 400",
"Total 673 400 670 000 3 400",
"Portfolio risk analysis and performance attribution system",
"36. As of February 2011, the Investment Management Division is performing user acceptance tests for most risk analysis scenarios. Some important risk reports have been designed. However, the Division is still waiting for further contracts with various data feeds to be completed by the Procurement Division and the Office of Legal Affairs. These data feeds of market data are essential for the completion of Risk Metrics implementation. After the implementation is completed, an ongoing service will be maintained. This project is expected to be finalized and fully in production by October 2011, provided that data feeds contracts are finalized.",
"Electronic order management and trading system",
"37. The Charles River System is in production as of March 2010. The current production implementation encompasses equity, foreign exchange and fixed income transactions. It also includes the connectivity with brokers via the protocol FIX, and the connectivity with custodian bank via SWIFT. The Investment Management Division has been trading electronically all equity assets. The Division is working on installing electronic platforms for the other assets. Currently, 99 per cent of the cross asset settlements are completed through SWIFT. The Investment Management Division continues to support and enhance the Charles River working environment.",
"Compliance pre-trading and post-trading system",
"38. The pre-trading and post-trading system (Charles River) has been implemented and in production since March 2010. The Investment Management Division continues to maintain and update the compliance rules as required.",
"Portfolio accounting and reconciliation system",
"39. The portfolio accounting and reconciliation system was awarded to Murex North America in April 2010, and the legal contract was signed in February 2011. The project kick-off meeting took place on 16 February 2011. The Investment Management Division is currently finalizing the implementation plan and committing resources with a target to deliver a first phase implementation by 30 June 2011. It is estimated that the project will be completed by 31 December 2011. It is important to note that this project encompasses the conversion to IPSAS for investment activities.",
"Data hub system",
"40. As of February 2011, the Investment Management Division had completed the technical evaluation. The due diligence will be scheduled for the second semester of 2011. It is expected to start the implementation of the data hub in February 2012.",
"OMEGEO, FXALL, Tradeweb and other confirmation and trading platforms are being integrated to Charles River",
"41. The Investment Management Division planned to add OMEGEO, an electronic confirmation and affirmation of equity trades, FXALL, FXConnect and Bloomberg FX: foreign exchange trading platforms, and Tradeweb, market Axess, Bond Vision and Bloomberg FI: fixed income trading platforms to strengthen the Charles River trade order management system. Contracts for the respective products are in negotiation. The Investment Management Division is planning to have all these platforms integrated by December 2011.",
"Charles River System in the disaster recovery site (International Computing Centre Geneva)",
"42. Charles River disaster recovery was completed in March 2011. The disaster recovery includes the connectivity to FIX, Bloomberg data licence, Bloomberg data bulk and Bloomberg API. It also provides the connectivity to SWIFT.",
"Bloomberg data licence, Bloomberg data bulk and Bloomberg API",
"43. The Bloomberg data licence, Bloomberg data bulk and API were installed and integrated with the Charles River System in March 2010.",
"SWIFT in the disaster recovery site (International Computing Centre Geneva)",
"44. The SWIFT disaster recovery site has been operational since January 2010. The Investment Management Division is currently working on integrating it with the Charles River System disaster recovery infrastructure.",
"Upgrade of SWIFT to version 7",
"45. SWIFT upgrade to the mandatory version 7 is scheduled to be completed in June 2011.",
"C. Audit costs",
"46. The estimated expenditure of audit costs will result in lower utilization of the appropriations in the amount of $112,100, primarily for general temporary assistance for internal audit.",
"D. Board expenses",
"47. The increased requirement of $77,800 is the result of the higher than anticipated expenses for the Working Group on Plan Design.",
"E. Extrabudgetary costs",
"48. The underexpenditure of $13,900 is the result of the General Service (Other level) post, which is covered by extrabudgetary funds, being vacant for a period of three months.",
"III. Budget estimates for the biennium 2012-2013: results-based frameworks and analysis of resource requirements",
"A. Introduction",
"1. Overview",
"49. The United Nations Joint Staff Pension Fund is a fully funded defined benefit pension fund providing retirement and other benefits to nearly 64,000 retirees and beneficiaries. Currently, some 120,000 active participants are accumulating pension rights under the Fund. The assets of the Fund stood at $41.4 billion at the end of 2010. The Pension Fund is self-administered in accordance with Regulations adopted by the General Assembly. The Pension Board is responsible for managing the Fund and reports annually to the General Assembly. The day-to-day operations of the Fund are overseen by the Chief Executive Officer. The Fund has 245 staff. A detailed description of the Fund and its day-to-day operations are included in this budget and the accompanying annexes.",
"50. Fund investments are decided by the Secretary-General, who has delegated this responsibility to his representative, who in turn manages the Fund’s Investment Management Division. The Division is responsible for the investment and accounting of the Fund assets with the objective to ensure an adequate level of investment return in line with the Fund’s risk tolerance philosophy and the requirements posed by its liabilities.",
"51. The Fund has grown significantly during the past 10 years, as new member organizations have joined and the overall number of participants, retirees and other beneficiaries being serviced has continued to increase. During this period, the number of active participants has increased by 63 per cent and the number of periodic benefits in payment has grown by 33 per cent. The Management Charter of the Fund identified five categories of challenges, as follows:",
"(a) Growing complexity of the Fund’s operations;",
"(b) Growing interdependency of assets and liabilities;",
"(c) Aging of information systems and growing demand for services;",
"(d) Quality service and high operational standards;",
"(e) Social and environmental responsibility.",
"52. To address these challenges, the Fund carried out comprehensive studies on risk assessment, asset-liability management, the organization of the Fund and its plan design and changes in its pension administration system; it then developed medium-term objectives which are outlined in the Fund’s strategic framework, as follows:",
"(a) Strengthening the Fund’s operating model;",
"(b) Improving the management of risks and internal controls;",
"(c) Enhancing information systems;",
"(d) Increasing the quality and efficiency of service provided including communications and outreach efforts;",
"(e) Promoting social and environmental responsibility.",
"53. Each area of operation developed specific action plans to meet these objectives, including a medium-term human resources plan, business impact analysis and disaster recovery plan, which have been used to prepare the following budget proposal.",
"54. In summary, during the biennium 2012-2013, the Pension Fund intends to allocate financial and human resources towards the following key initiatives as outlined in the strategic framework:",
"(a) Integrated Pension Administration System — new operating model for an integrated pension administration system;",
"(b) IPSAS — new accounting standards for the Fund’s financial statements;",
"(c) Responsive client services;",
"(d) Other actions required to improve operational efficiency, risk evaluation and management, e-learning, training and knowledge management.",
"55. The Fund is expected to achieve its overall objectives on the assumption that adequate human and financial resources are available. This will pose particular challenges in coming years, given the current financial constraints. Recognition must be given, however, to the critical juncture in the evolution of the Fund that is outside its control. The Fund has experienced steady growth since its inception and unprecedented growth during the past 10 years in the population it services. At the same time, the Fund has been expanding its provisions not only to cover a greater number of individuals, but also to address a wider scope of unique circumstances, thus resulting in increasing complexities. The growth in the volume of the related work and the increasing complexities are culminating at the same time with a steady loss in institutional memory owing to a high number of retirements and other separations over recent years. Moreover, and at the same time, improvements in longevity are resulting in an ageing of the Fund’s clientele, which in turn often requires more extensive consultations and other special client servicing needs. The significant challenges emanating from these external factors are further compounded by the fact that the Fund, which requires staff with very specific and long-term expertise, must aim to function according to certain organizational policies that pose particular difficulties not normally encountered in outside enterprises. Given its need for unique and long-term expertise, and in the light of its independent status as an inter-agency entity, the Fund is undertaking a review of the policies governing the recruitment, mobility, promotion and retention of its staff. It intends to address these issues in a revised memorandum of understanding.",
"56. Giving further consideration to the challenges posed by the current economic environment, the Fund secretariat also reviewed its staffing needs and decided to defer its request for a number of staffing positions. While these positions are key to meeting the medium-term goals of its strategic framework, the secretariat believes that deferral of the hiring of staff can be accomplished by limiting changes in the plan design of the Fund as well as the addition of new projects, while continuing its efforts towards efficiencies and productivity improvements. However, these positions cannot be deferred indefinitely without altering the Fund’s operational capacity, its responsiveness to its clients and/or the timing of reaching its goals.",
"57. With this in mind, recognition must also be given to the fact that new peacekeeping missions may be approved outside the regular budget of the United Nations at times when the Fund must aim to address calls for budgetary restraint. This results in significant challenges, and indeed risks, to the Fund, which must nevertheless provide full and timely services to the elevated numbers of staff employed by such missions.",
"Results-based budgeting, methodology and terminology",
"58. The current budget submission follows the results-based budgeting format adopted by the Fund in its submission for the biennium 2008-2009. Resources have been requested in line with the Fund’s programmes, and all justification and supporting information is contained in the supplementary financial information to the proposed budget.",
"59. The following factors have been used in the calculation of resources:",
"(a) Delayed recruitment factors for both New York and Geneva for 2012 and 2013 have been applied to continuing Professional posts (90.4 per cent), Professional new posts (50.0 per cent), continuing General Service posts (96.5 per cent) and new General Service posts (65.0 per cent); these factors have been applied to the version 1 of the New York and Geneva 2012-2013 standard salary tables;",
"(b) The average annual rate of inflation applied for 2012 and 2013 for New York are 1.90 and 2.50 per cent, respectively, and for Geneva are 1.00 and 1.30 per cent, respectively;",
"(c) The exchange rate applied for 2012 and 2013 for Geneva is 1.046;",
"(d) Within the framework of the cost-sharing arrangement between the United Nations and the Fund, the ratios of one third and two thirds, respectively, will continue to be applied to the specific elements of administration, with the exception of the cost for posts in the Information Management Systems Service and the Executive Office. On the basis of the ratio of approved posts for the secretariat (170) to those for the Investment Management Division (58), plus specific project posts (17), 69.4 per cent of the cost of the posts in the Information Management Systems Service and the Executive Office will be subjected to the cost-sharing arrangement.",
"2. Overall resources requested",
"60. Human and financial resources requested for the Fund as a whole are given below, along with estimated extrabudgetary resources and details of additional post requirements.",
"Table 6 Percentage distribution of resources by component: Fund",
"Component Regular Extrabudgetary budget",
"A. Executive direction and management 7.0",
"B. Programme of work",
"1. Administration 17.7 100.0",
"2. Investments 33.0",
"Subtotal B 50.7 100.0",
"C. Support",
"1. Information technology 31.8",
"2. Legal Office 0.7",
"3. Administrative support 8.3",
"Subtotal C 40.8",
"D. Audit 1.4",
"E. Pension Board 0.1",
"Total 100.0 100.0",
"Table 7 Resource requirements by component: Fund",
"(Thousands of United States dollars)",
"Component 2010-2011 Resource Total Recosting Apportionment 2012-2013 growth before estimate recosting\n Amount Percentage United Pension Nations Fund",
"1. Regular budget",
"A. Executive 16 141.1 (2 672.3) (16.6) 13 468.8 61.9 1 197.8 12 332.9 13 530.7 direction and management",
"B. Programme of work",
"1. Operations, 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1 financial services",
"2. Investments 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6",
"Subtotal B 86 148.4 10 950.1 12.7 97 098.5 1 725.2 9 527.5 89 296.2 98 823.7",
"C. Support",
"1. Information 53 018.1 7 878.6 14.9 60 896.7 815.6 5 704.7 56 007.6 61 712.3 technology",
"2. Legal Office — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2",
"3. 18 198.4 (2 348.4) (12.9) 15 850.0 86.9 3 590.6 12 346.3 15 936.9 Administrative support",
"Subtotal C 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4",
"D. Audit 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8",
"E. Pension Board 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4",
"Total 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0",
"2. 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 Extrabudgetary",
"61. As indicated in table 8, the overall increase in resources requested amount to $15,302,100 (before recosting), or 8.7 per cent, attributable to administrative costs ($4,564,600), investment costs ($10,601,800), audit costs ($103,200) and board expenses ($32,500).",
"62. The increase in resources of $4,564,600 in administrative costs comprises the net effect of the proposed increase in established posts ($739,400) and temporary posts ($800,500), of which $680,100 and $800,500, respectively, are attributable to delayed recruitment factor, and non-post costs of $3,024,700. Increases in non-post costs are attributable primarily to the growth in the need for contractual services ($6,087,900) and higher general operating expenses ($1,446,300), partially offset by reduced requirements for furniture and equipment ($3,989,000), other staff costs ($122,500), consultants ($237,600) and travel ($136,100).",
"63. The increase in resources of $10,601,800 in investment costs comprises the net effect of the proposed increase in posts ($2,486,900), of which $1,222,700 is attributable to a delayed recruitment factor, and non-post costs of $8,114.900. Increases in non-post costs are caused primarily by growth in the need for contractual services ($9,653,200) and increases for other staff costs ($530,400), offset by a reduction in resources for consultants ($1,151,800) and general operating expenses ($916,900).",
"64. The increase of resources for audit costs, amounting to $103,200, comprises an increase in the apportioned cost applicable to the Fund for the Board of Auditors ($113,500), and, in relation to Internal Audit, the net effect is a proposed decrease ($10,300). This decrease is primarily the result of minor reductions in communications ($9,800) and supplies and materials ($5,000) and an increase in resource requirements for furniture and equipment ($5,800). In addition, there is a compensating decrease and increase of $80,000 between consultants and contractual services, respectively.",
"65. The estimated percentage distribution of resources and resources requested by component for the Fund are summarized in tables 6 and 7, respectively.",
"Table 8 Financial resource requirements for the biennium 2012-2013",
"(Thousands of United States dollars)",
"Resource Apportionment growth\n Category 2008-2009 2010-2011 Amount Percentage Total Recosting United Pension 2012-2013 2012 2013 expenditure appropriation before Nations Fund Estimate Estimate Estimate recosting",
"Administrative costs",
"Posts 34 524.8 38 731.4 739.4 1.9 39 470.8 591.4 12 440.4 27 621.8 40 062.2 19 883.6 20 178.6",
"Temporary posts — 2 870.3 800.5 27.9 3 670.8 (103.4) — 3 567.4 3 567.4 1 581.3 1 986.1",
"Other staff 3 033.8 4 032.8 (122.5) (3.0) 3 910.3 94.5 803.3 3 201.5 4 004.8 2 005.4 1 999.4 costs",
"Consultants 106.4 537.6 (237.6) (44.2) 300.0 6.7 — 306.7 306.7 152.9 153.8",
"Travel 997.7 1 360.6 (136.1) (10.0) 1 224.5 27.0 — 1 251.5 1 251.5 623.9 627.6",
"Contractual 16 690.8 25 760.0 6 087.9 23.6 31 847.9 700.7 3 465.9 29 082.7 32 548.6 16 250.2 16 298.4 services",
"Hospitality 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1",
"General 11 641.1 12 801.7 1 446.3 11.3 14 248.0 169.0 3 175.9 11 241.1 14 417.0 7 031.8 7 385.2 operating expenses",
"Supplies and 263.3 210.1 (24.3) (11.6) 185.8 4.1 54.5 135.4 189.9 90.1 99.8 materials",
"Furniture and 3 815.3 6 000 (3 989.0) (66.5) 2 011.0 44.4 528.0 1 527.4 2 055.4 1 024.6 1 030.8 equipment",
"Total 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8",
"Investment costs",
"Posts 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) — 17 406.0 17 406.0 8 644.2 8 761.8",
"Other staff 534.0 2 361.8 530.4 22.5 2 892.2 61.0 — 2 953.2 2 953.2 1 500.3 1 452.9 costs",
"Consultants 299.5 2 328.8 (1 151.8) (49.5) 1 177.0 24.7 — 1 201.7 1 201.7 822.4 379.3",
"Travel 1 018.0 2 000.0 — — 2 000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0",
"Contractual 27 491.4 52 878.9 9 653.2 18.3 62 532.1 1 387.1 — 63 919.2 63 919.2 29 924.0 33 995.2 services",
"Hospitality 16.4 22.0 — — 22.0 0.5 — 22.5 22.5 11.2 11.3",
"General 5 157.5 5 402.0 (916.9) (17.0) 4 485.1 27.5 — 4 512.6 4 512.6 2 254.1 2 258.5 operating expenses",
"Supplies and 91.0 160.0 — — 160.0 3.5 — 163.5 163.5 81.5 82.0 materials",
"Furniture and 246.6 700.0 — — 700.0 15.5 — 751.6 715.5 356.7 358.8 equipment",
"Total 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2 44 613.4 48 324.8",
"Audit costs",
"External audit 682.1 661.2 113.5 17.2 774.7 17.1 132.0 659.8 791.8 394.7 397.1",
"Internal audit 1 612.6 1 983.8 (10.3) (0.5) 1 973.5 (151.5) 303.4 1 518.6 1 822.0 906.2 915.8",
"Total 2 294.7 2 645.0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9",
"Board expenses 127.4 167.5 32.5 19.4 200.0 4.4 — 204.4 204.4 101.9 102.5",
"Total resources 118 969.3 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194 164.0 94 662.0 99 502.0 required",
"Extrabudgetary costs (after-service health insurance system)",
"Operational 132.3 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 77.3 79.5 activities",
"Table 9 Human resources requirements",
"Established Temporary Extrabudgetary Total posts posts posts\n Category 2010- 2012- 2010- 2012- 2010- 2012- 2010- 2012- 2011 2013 2011 2013 2011 2013 2011 2013",
"Administrative",
"Professional and above",
"ASG 1 1 — — — — 1 1",
"D-2 1 1 — — — — 1 1",
"D-1 4 4 — — — — 4 4",
"P-5 9 9 1 1 — — 10 10",
"P-4 19 20 8 7 — — 27 27",
"P-3 25 24 4 4 — — 29 28",
"P-2/1 1 1 — — — — 1 1",
"Subtotal 60 60 13 12 — — 73 72",
"General Service",
"Principal level 10 10 — — — — 10 10",
"Other level 99 99 5 5 1 1 105 105",
"Subtotal 109 109 5 5 1 1 115 115",
"Total administrative 169 169 18 17 1 1 188 187",
"Investment",
"Professional and above",
"D-2 1 1 — — — — 1 1",
"D-1 2 2 — — — — 2 2",
"P-5 10 10 — — — — 10 10",
"P-4 13 18 — — — — 13 18",
"P-3 7 9 — — — — 7 9",
"P-2 — — — —",
"Subtotal 33 40 — — — — 33 40",
"General Service",
"Principal level 10 10 — — — — 10 10",
"Other level 15 15 — — — — 15 15",
"Subtotal 25 25 — — — — 25 25",
"Total investment 58 65 — — — — 58 65",
"Total Pension Fund 227 234 18^(c) 17^(b,c) 1^(a) 1^(a) 246 252",
"^(a) One extrabudgetary General Service (Other level) post funded by member organizations.",
"^(b) Includes 17 Integrated Pension Administration System temporary posts.",
"^(c) Of the 18 temporary posts authorized for the 2010-2011 biennium, one post at the P-4 level was authorized for 12 months only. This post was abolished in 2011.",
"66. As indicated in table 9, this submission provides for the establishment of seven additional posts and the reclassification of one post, as follows:",
"(a) Provision is made for the secretariat for the reclassification of one post (from the P-3 to the P-4 level). Provision is also made for the continuation of one extrabudgetary post (1 General Service (Other level)) funded by member organizations;",
"(b) Provision is made for the Investment Management Division for seven additional established posts (5 P-4, 2 P-3).",
"67. The requested additional posts are summarized in table 10.",
"Table 10 Summary of post requirements",
"Section\tAction\tPost\tNumberofposts\tCategory \n Administration \n Programme support \nExecutive Office\tReclassification\tFinance andBudget Officer\t1\tP-3toP-4\n Investments \n Programme of work \nInvestmentsSection\tNewpost\tInvestmentOfficer —AlternativeInvestments\t1\tP-4\n\tNewpost\tInvestmentOfficer — GlobalEmerging Markets\t1\tP-4\n\tNewpost\tInvestmentOfficer — TradeExecution Officer\t1\tP-4\n\tNewpost\tInvestmentOfficer — NorthAmerican Equities\t1\tP-3\nRisk andCompliance Section\tNewpost\tDue Diligence andQuantitativeStrategic RiskManager\t1\tP-4\nOperations Section\tNewpost\tFinance Officer,Reconciliations\t1\tP-3\n Programme support \nInformationSystems Section\tNewpost\tData ManagementOfficer\t1\tP-4",
"B. Administrative costs",
"1. Overview",
"68. The secretariat is responsible for managing the United Nations Joint Staff Pension Fund under the authority of the Pension Board. It aims to provide services to participants, as well as pension revenues and related benefits to retirees and beneficiaries in the best conditions of security, performance, responsibility and accountability and in full compliance with the highest standards of efficiency, competence and integrity. In order to deliver such services, the Fund must deal with an increasingly complex set of regulations, linked to past decisions taken either on the grounds of economy measures or in response to strong social demand for new categories of beneficiaries. It must also continue to adapt its processes and procedures to an ever changing banking and regulatory environment.",
"69. The overall level of resources for administrative costs amounts to $96,873,100 before recosting, reflecting a net increase of $4,564,600, or 4.9 per cent, from the revised appropriations for the biennium 2010-2011. The net increase, as shown in table 12, can be summarized as follows:",
"(a) Executive direction and management: the decrease of $1,104,400 relates to post requirements ($810,200), owing primarily to the redeployment of three posts (2 P-5, 1 General Service (Other level)) to the Legal Office. The decrease in non‑post costs is attributed to other staff costs ($50,100), consultants ($337,600) and travel ($114,500), with increases in contractual services ($112,000) and general operating expenses ($96,000).",
"(b) Programme of work: the increase of $3,498,400 is the result of post requirements ($751,500), of which $147,400 is attributable to the net effect of the delayed recruitment factor and the redeployment of one post at the P-4 level to the Legal Office and $604,100 for the delayed recruitment factor for the 12 Integrated Pension Administration System temporary posts; and additional non-post resources of $2,746,900 in the form of an increase in general operating expenses ($2,846,300) and consultants ($100,000), and decreases in other staff costs ($199,400).",
"(c) Programme support: the increase of $2,170,600 is attributable to increases in Information Management Systems Service resources ($2,084,100), the redeployment of the Legal Office from executive direction and management ($1,358,400) and a decrease for the Executive Office ($1,271,900). For the Information Management Systems Service, the increase in resources for temporary posts ($196,400) is the result of the delayed recruitment factor. With regard to non-post resources ($1,903,200), this is primarily the result of an increase in contractual services ($5,975,600), partially offset by decreases in requirements for furniture and equipment ($3,976,400), general operating expenses ($177,400) and travel of staff ($21,600). For the Legal Office, the increase in resources for posts is the result of the redeployment of three posts (2 P-5 and 1 General Service (Other level)) from the Office of the Chief Executive Officer and the redeployment, for supervisory purposes only, of one post at the P-4 level from the Geneva office. With regard to the Executive Office, the decrease in resources ($1,318,600) is attributable to non-post requirements for general operating expenses, specifically for the rental and maintenance of premises.",
"70. The estimated distribution of resources is shown in table 11 and resource requirements by component in table 12.",
"Table 11 Percentage distribution of resources by component: administrative costs",
"Component Regular budget Extrabudgetary",
"A. Executive direction and management 6.6",
"B. Programme of work (operations, 35.1 100.0 financial services)",
"C. Programme support",
"1. Information Management Systems 44.7 Service",
"2. Legal Office 1.4",
"3. Executive Office 12.2",
"Subtotal C 58.3",
"Total 100.0 100.0",
"Table 12 Resource requirements by component: administrative costs (Thousands of United States dollars)",
"Component 2010/2011 Resource Total Recosting Apportionment 2012-2013 appropriation growth before estimate recosting\n Amount Percentage United Pension Nations Fund",
"1. Regular budget",
"A. Executive 7 486.9 (1 104.4) (14.8) 6 382.5 9.6 1 197.8 5 194.3 6 392.1 direction and management",
"B. Programme of 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1 work (operations, financial services)",
"C. Support",
"1. Information 41 240.8 2 084.1 5.1 43 324.9 562.4 5 704.7 38 182.6 43 887.3 Management Systems Service",
"2. Legal Office — 1 358.4 — 1 358.4 (16.2) 447.4 894.8 1 342.2",
"3. Executive 13 110.8 (1 271.9) (9.7) 11 838.9 70.0 3 590.6 8 318.3 11 908.9 Office",
"Subtotal C 54 351.9 2 170.6 4.0 56 522.2 616.2 9 742.7 47 395.7 57 138.4",
"Total 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6",
"2. 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8 Extrabudgetary",
"2. Executive direction and management",
"Resource requirements (before recosting): $6,382,500",
"71. The Chief Executive Officer is responsible for managing the Fund, under the authority of the Pension Board, to provide related services to the member organizations and to the participants, retirees and beneficiaries. In providing such services, the Chief Executive Officer must ensure that a framework is in place so that the Fund can operate in the best conditions of security, performance, responsibility and accountability and in full compliance with the highest standards of efficiency, competence and integrity. As part of its responsibility within such a framework, the Fund must deal with an increasingly complex and continuously evolving plan design, as set out in its Regulations and Rules and in its very unique and complex pension adjustment system. The Chief Executive Officer must ensure that the Fund is in position to continuously and accurately weigh its actuarial costs to assess and manage risk, to adapt its plan design and to adjust its processes and procedures to accommodate an ever changing workforce that is clearly affected by long-term societal changes, including increased longevity, while at the same time carrying out its responsibilities in an evolving banking, accounting and regulatory environment.",
"72. The Fund’s member organizations, the number of its participants, retirees and beneficiaries, the financial environment in which it operates and the value of the assets and liabilities under its management have all grown dramatically over the Fund’s 60 year history. The overall number of individuals serviced by the Fund, which amounts to 185,000, is expected to increase steadily in the medium-term and beyond. The international and multiorganizational nature, and the multitiered benefit structure of the Fund will all continue to present new and increasingly intricate and demanding challenges. There has been, and will continue to be, a steady and dramatic increase in the responsibilities and demands being placed on the Fund. In response to the Board’s request for a more strategic approach to the Fund’s human resource requirements and with a view towards identifying its needs in the medium term, the Fund carried out a high-level review that took into account the circumstances and pressing challenges facing the Fund, which was presented to the Pension Board at its 2010 session.",
"Table 13 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure the fullimplementation of the Fund’sprogramme of work in compliancewith Regulations and Rules ofthe Fund and with decisions andguidelines issued by thePension Board and GeneralAssembly\t(1) Effective management of theFund’s programme of work\t(1.1) All detailed action plans,projects and studiessuccessfully monitored andimplemented Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent (2) Effectivebackstopping/servicing/managementof the Pension Board andCommittees\t(2.1) No complaints receivedfrom the Pension Board, StandingCommittee, Committee ofActuaries, Audit Committee andWorking Groups about supportprovided Performance measures (number ofcomplaints) 2008-2009: no complaints aboutsupport provided Estimate 2010-2011: nocomplaints about supportprovided \n Target 2012-2013: no complaints (3) Effective management ofFund-wide governance mechanismsfor human resources, riskmanagement, businesscontinuity/recovery,information technology, newaccounting standards andasset-liability management\t(3.1) Successful monitoring andimplementation of activitiesdecided by the Working Groupsand Steering CommitteesPerformance measures2008-2009: not applicable Estimate 2010-2011:100 per centof performance indicators \n\t2012-2013: 100 per cent ofperformance indicators(4) Effective strategicplanning for the Fund\t(4.1) Strategic planningexercise conducted every twoyears Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent",
"External factors",
"73. Executive Direction and Management is expected to achieve its objective and expected accomplishments on the assumption that adequate human and financial resources are provided.",
"Other outputs",
"74. During the biennium, the following outputs will be delivered:",
"(a) Servicing of intergovernmental and expert bodies: two Pension Board sessions; three meetings of the Committee of Actuaries, and approximately four Working Groups; one joint session of the Committee of Actuaries and the Investments Committee; six meetings of the Audit Committee; four meetings of the United Nations Staff Pension Committee;",
"(b) Drafting of documents: approximately 100 papers for submission to the Pension Board, Committee of Actuaries and Working Groups and 15 notes to the Audit Committee in addition to the technical and administrative servicing of its sessions;",
"(c) Other substantive activities:",
"(i) Efficient succession planning for retiring staff; advance planning to avoid vacancies arising from the retirement of staff and to encumber other vacant posts, owing to staff turnover, within five months of the vacancy being announced;",
"(ii) Efficient administration and control of the following:",
"• Integrated Pension Administration System project",
"• Business continuity and disaster recovery planning",
"• Enterprise-wide risk management",
"• Human resources policy and human resources medium-term plan",
"• Information technology consolidation",
"• Asset liability management study",
"• Business impact analysis",
"• Data warehouse",
"• Procurement Advisory Committee.",
"Table 14 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 3 641.0 2 830.8 11 8",
"Non-post 3 845.9 3 551.7 — —",
"Total 7 486.9 6 382.5 11 8",
"75. The amount of $6,382,500 will provide for the continuation of eight existing posts (1 ASG, 1 D-2, 1 P-5, 2 P-4, 1 P-3, 1 General Service (Principal level) and 1 General Service (Other level)), and non-post resources relate to the Administration as a whole. The reduction of $810,200 in post resources is the result of the redeployment of the three authorized posts (2 P-5 and 1 General Service (Other level)) from the Legal Office to programme support. Non-post resources have decreased owing primarily to reductions in other staff costs ($50,100), travel ($114,500) and consultants ($337,600) and increases in contractual services, attributable to the consulting actuary ($112,000), and general operating expenses for the Fund’s cost-sharing of the cases in the United Nations Appeals Tribunal ($96,000).",
"3. Programme of work",
"Resource requirements (before recosting): $33,968,400",
"76. The programme of work, which includes operations and the financial services of both the New York and Geneva offices, is responsible for the core functions of the Fund, including, but not limited to, the determination of eligibility to participate and the affiliation of new participants into the Fund, along with the recordkeeping of historical personal and financial data, collection and recording of contributions into the Fund, calculation and set up for payment of all pension entitlements, the payment of subsequent pension benefits and all related accounting activities. This programme is also responsible for the client servicing functions in respect to the Fund’s 185,000 active participants, retirees and other beneficiaries.",
"77. It should be recalled that following a recommendation made on the basis of the Whole Office Review that was carried out in 2008, the Chief Executive Officer decided to segregate Operations and the Fund’s Financial Services. It was decided that although there was an important link between the calculation and processing of entitlements as carried out by Operations, and the payment of and accounting for the ensuing benefits as carried out by the Financial Services, there should nevertheless be a distinct and separate segregation of the functions. Operations focuses on the integrity of the calculation, which, once established, remains valid for the lifetime of the retiree and any eligible survivor. Financial Services focuses on the integrity of the payment. By separating these functions and establishing Financial Services as separate and distinct from Operations, clear responsibility was established and greater accountability was institutionalized between these two core functions of the Fund that make up the programme of work.",
"Operations",
"78. Operations comprises the Pension Entitlements Sections and the Client Services, Records Management and Distribution work units in both the New York and Geneva offices. The Chief of Operations is responsible for the management and direction of the service in accordance with the goals set out in the Fund’s Management Charter and for ensuring adherence to the Fund’s Regulations, Rules and Pension Adjustment System, while duly operating within specific quality management, internal control and communications policies. Operations expects to process in excess of 55,000 new participants, separations and transfers in and out of the Fund during the biennium 2012-2013.[1] It also expects to process some 6,000 pension benefits after initial separation from service, which are among the most complex, and thus time-consuming, benefits to process (i.e., death after service, survivor benefits that sometimes involve multiple spouses residing in various locations, residual settlements, deferred benefits into payment, two-track cases that sometimes involve reversion to the United States dollar track, benefits payable to surviving divorced spouses, surviving spouse annuities, special measure cases, etc.). In addition to some 225,000 benefit estimates provided through the Fund’s website (i.e., during 2010), Operations also expects to provide during the next biennium some 5,500 individual benefit estimates that often involve personal consultations. During the biennium 2012-2013, the service also expects to dispatch, track and record upon receipt over 100,000 certificates of entitlement and to scan over 1,200,000 documents into the Fund’s content management system.",
"Table 15 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure that all eligibleparticipants, retirees andother beneficiaries areserviced in accordance with theRegulations, Rules and PensionAdjustment System of the Fund,while fully adhering to thecommunications, qualitymanagement and internal controlpolicies as outlined in theFund’s management charter\t(1) Effective processing ofPension Fund benefitentitlements\t(1.1) Increased percentage ofwithdrawal settlements,retirement benefits and otherbenefits processed within15 business days Performance measures forprocessing full withdrawalsettlements, periodic retirementbenefits and lump-sumcommutation benefits (Benchmark: 15 business days) 2004-2005: 72 per cent of casescompleted within 15 days 2006-2007: 79 per cent of casescompleted within 15 days 2008-2009: 80 per cent of casescompleted within 15 days Estimate 2010-2011: 77 per centof cases completed within 15days \n\tTarget 2012-2013: 80 per cent ofcases completed within 15 days(2) Enhanced quality ofclient-oriented services to thePension Fund clientele\t(2.1) Increased percentage ofincoming correspondence throughmail and e-mail responded towithin 15 business days Performance measures (Benchmark: 15 business days) 2004-2005: 31 per cent ofqueries responded to within15 business days 2006-2007: 55 per cent ofqueries responded to within15 business days 2008-2009: 75 per cent ofqueries responded to within15 business days Estimate 2010-2011: 82 per centof queries responded to within15 business days \n\tTarget 2012-2013: 82 per cent ofqueries responded to within 15business days(3) Improved communication\t(3.1) Increased number ofbriefings and seminars forparticipants, beneficiaries,staff pension committees andcounterparts among finance andhuman resources staff ofparticipating organizations Performance measures 2008-2009: not applicable Estimate 2010-2011: 65 \n Target 2012-2013: 75",
"External factors",
"79. Operations is expected to achieve its objectives on the assumption that adequate human and financial resources are available. Recognition must therefore be given to the critical juncture in the evolution of the Fund that is outside its control. The Fund is experiencing rapid growth in the population it services. At the same time, improvements in longevity are resulting in the ageing of the Fund’s clientele, which in turn often requires more extensive consultations and other special client servicing needs.",
"Outputs",
"80. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Process during the biennium an estimated 18,000 withdrawal settlements and retirement benefits;[2]",
"(b) Process an estimated 6,000 other benefits after initial retirement benefit (i.e., survivor, child, two-track benefits, etc.);",
"(c) Determine eligibility and affiliation into the Fund of some 30,000 new participants;",
"(d) Dispatch, track and record upon receipt some 100,000 certificates of entitlement;",
"(e) Respond to an estimated 15,000 inquiries by mail and e-mail;",
"(f) Receive and provide services to an estimated 11,000 walk-in clients;",
"(g) Pre-implementation tasks, such as data cleansing and quality management, documentation of procedures, algorithms and subsequent transition to the Integrated Pension Administration System platform;",
"(h) Efficient recording, monitoring and enhancement of the controls of its client interfaces;",
"(i) Review, assessment, development and implementation of a client relationship management system;",
"(j) Review and development of enhanced training materials for workshops and seminars that are to be provided to Fund staff (in both the New York and Geneva offices), participants, retirees and other beneficiaries, as well as to the Staff Pension Committee secretariats and other human resources staff of member organizations;",
"(k) Development and implementation of a secure signature system to add graphical signatures for comparison purposes to the electronic folders of each individual being serviced by the Fund;",
"(l) Enhancement of the controls and a redesign of the certificate of entitlement form, with further efforts to streamline the overall certification process;",
"(m) Enhancement and continued development of performance data for both internal requirements and the various oversight bodies;",
"(n) Enhancement of outreach capabilities through seminars and training to be provided to participants, retirees and other beneficiaries, Staff Pension Committee secretariats, various subcommittees (including both advisory and working groups) and members of the Board.",
"Financial services",
"81. The Financial Services Section provides comprehensive services through its Payments, Accounts and Cashier/Cash Management Units, and is accountable for all financial, accounting and disbursement operations of the Fund. The Fund’s annual financial transactions amount to some $3.8 billion (considering both benefit payments and contribution collections). Every month, the Fund processes approximately 62,000 (as of the 2009 audited financial statements of the Fund) periodic benefit payments in 15 currencies and effects payments to retirees and other beneficiaries residing in over 190 countries. The Section is also responsible for producing accurate and timely financial statements for the Fund as a whole, including the Investment Management Division, and for liaising and coordinating with both internal and external auditors with regard to the financial aspects of the Fund.",
"Table 16 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure the timely, accurateand secure payment of benefitsand full accountability forall financial, accounting, anddisbursement operations of theFund, including the issuanceof accurate and timelyfinancial statements andliaison with both internal andexternal auditors regardingfinancial matters\t\n(1) Effective management ofbenefit payments\t(1.1) Timely issuance of thePension Fund payroll Performance measures 2008-2009: 1,200,000 Estimate 2010-2011: 1,300,000 \n Target 2012-2013: 1,400,000 \n\t(1.2) Timely, accurate and securepayment of Pension Fund periodicbenefit payments Performance measures 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent \n\t(1.3) Timely, accurate and securepayment of Pension Fundnon-periodic benefit payments (15days of receipt of appropriatedocuments for payments related tobenefit reinstatements and 30days for all other payments) Performance measures (Payments related to benefitreinstatements made within 15days of receipt of theappropriate documents; all otherpayments within 30 days ofreceipt) 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent \n(2) Enhanced quality andconsistency of contributionrecording, including timelyreconciliation of participantreconciliation exception casesthat arise from the year-endprocess\t(2.1) Number of resolvedparticipant reconciliationexceptions Performance measures 2008-2009: 9,000 Estimate 2010-2011: 10,000 \n Target 2012-2013: 11,000 \n\t(2.2) All participant recordsverified within six weeks ofreceipt of year-end schedule Performance measures (Verify records for allparticipants within six weeks ofreceipt of year-end schedule) 2008-2009: 100 per cent Estimate 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent \n(3) Provision of quality andconsistent financialstatements and establishmentof policies and procedures toimplement appropriateIPSAS/International AccountingStandards\t(3.1) Timely provision offinancial statements (draftstatement issued by 15 April ofthe following year) Performance measures (draft statement issued by 15April of the following year) 2008-2009: by the due date Estimate 2010-2011: by the duedate \n Target 2012-2013: by the due date\n\t(3.2) Increased percentage ofIPSAS/ International AccountingStandards and disclosurerequirements adopted Performance measures 2008-2009: not applicable Estimate 2010-2011: beginadoption of certain IPSAS/International AccountingStandards and disclosurerequirements \n\tTarget 2012-2013: Full adoptionof IPSAS/ InternationalAccounting standards for 2012financials. Annual auditsanticipated.",
"External factors",
"82. This subprogramme is expected to achieve its objectives unless affected by events such as: (a) political conflicts and natural disasters around the world causing interruption of banking services available to pensioners; (b) unanticipated system implementation delays causing IPSAS financial statement information to be delayed; and (c) growth of the Fund, leading to inadequate staffing resources to properly serve the pensioners.",
"Outputs",
"83. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Production of three sets of financial statements and associated documents; preparation of updated financial statements in the light of the change from United Nations system accounting standards to full adoption of IPSAS and International Accounting Standard 26 for the 2012 financial statements;",
"(b) Reduction in the number of outstanding audit observations between reports (allowing for additional observations arising in the interim) on the areas under supervision and technical accounting issues;",
"(c) Full reconciliation for all remitting entities to be produced in the specified timeframe of six months following the submission of the year-end schedules;",
"(d) Full reconciliation of the data held in the master separation file records to payroll history records for the annual and biennial close;",
"(e) Conduct presentations and training on contribution related participant reconciliation exceptions issues in New York and Geneva and with large reporting entities;",
"(f) Bank reconciliations for all accounts to be completed on a monthly basis in a timely manner;",
"(g) Comply, on a timely basis, to any updated banking requirements regarding payments to pensioners;",
"(h) With regard to payments to pensioners:",
"(i) Ensure timely receipt of pensioner payments;",
"(ii) Reduce banking fees to the Fund;",
"(iii) Reduce or eliminate bank charges to pensioners wherever possible.",
"Table 17 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2012 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 27 874.7 28 626.2 137 136",
"Non-post 2 595.3 5 342.2 — —",
"Subtotal 30 470.0 33 968.4 137 136",
"Extrabudgetary 158.2 152.9 1 1",
"Total 30 628.2 34 121.3 138 137",
"84. The amount of $34,121,300 will provide for the continuation of 137 posts; 124 established posts (3 D-1, 3 P-5, 9 P-4, 13 P-3, 1 P-2, 8 General Service (Principal level) and 87 General Service (Other level)); one General Service (Other level) post funded from extrabudgetary resources; 12 temporary posts (6 P-4, 2 P-3, 4 General Service (Other level)) and the redeployment of one Legal Officer post at the P-4 level in the Geneva office under the control of the Legal Office, and for non‑post requirements. The increase in non-post resources relates to higher requirements for consultants ($100,000) and general operating expenses ($2,846,300), partially offset by a decrease in general temporary assistance ($199,400). The large increase in general operating expenses is owing entirely to bank charges that were deducted from the proposed budget for 2010-2011 by the Pension Board.",
"85. At its 186th meeting, the Standing Committee reviewed a note on the after-service health insurance premium deduction programme undertaken by the Fund. As a result, extrabudgetary resources referred to above were approved and funded by participating member organizations at no cost to the Fund.",
"4. Programme support",
"Information Management Systems Service",
"Resource requirements (before recosting): $43,324,900",
"86. Under the guidance of the Pension Fund governance model for information and communications technology, the Information Management Systems Service is responsible for the Fund’s information system services, maintaining information and communications technologies, coordinating the implementation of strategic decisions taken by the Information Technology Executive Committee, establishing training plans for information and communications technology staff and providing the necessary tools for supporting knowledge exchange and cooperative work.",
"87. The Service is responsible for the provision of overall computing office automation; software/systems design, development and implementation; hardware support; telecommunications; shared infrastructure services, including the Investment Management Division; supervision and technical leadership of information technology operations in the Geneva office of the Fund; and management of resources, infrastructure and conference support.",
"Table 18 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To facilitate the achievementof the operational andstrategic goals of the Fundthrough the efficient andeffective use of informationand communications technology\t(1) Progress in modernizing theFund’s information systemsplatform\t(1.1) The enterprise informationtechnology architecture thatsupports the redesigned businessprocesses Performance measures 2008-2009: not applicable Target 2010-2011: projectdeliverables completed accordingto milestone dates \n\tTarget 2012-2013: projectdeliverables completed accordingto milestone dates\n(2) Increased efficiency andeffectiveness in serviceprovided to clients\t(2.1) Percentage of time wheninformation technology servicesare available to clients Performance measures 2008-2009: 99 per cent Estimate 2010-2011: 99 per cent \n Target 2012-2013: 99 per cent \n(3) Improved informationtechnology services\t(3.1) Percentage of informationtechnology systems atsatisfactory level (or above) ofsupport Performance measures 2008-2009: 95 per cent Estimate 2010-2011: 95 per cent \n Target 2012-2013: 95 per cent \n(4) Increased use of electronicrepositories for sharinginformation\t(4.1) Percentage of InformationManagement Systems Servicedocumentation available withinthe knowledge management system Performance measures 2008-2009: 80 per cent Estimate 2010-2011: 95 per cent \n Target 2012-2013: 95 per cent \n(5) Increased informationsecurity\t(5.1) Percentage increase incompliance, for the defineddeliverables as per theInternational Organization forStandardization 17799 securitystandards, measured annually Performance measures 2008-2009: 78 per cent Estimate 2010-2011: 90 per cent \n Target 2012-2013: 90 per cent \n(6) Improved sharing ofelectronic information withparticipants, beneficiaries andother clients\t(6.1) Percentage of participantssharing human resourcesinformation electronically Performance measures 2008-2009: 75 per cent Estimate 2010-2011: 80 per cent \n Target 2012-2013: 80 per cent \n\t(6.2) Percentage of participantssharing financial informationelectronically Performance measures 2008-2009: 10 per cent Estimate 2010-2011: 20 per cent \n Target 2012-2013: 30 per cent",
"External factors",
"88. This subprogramme is expected to achieve its objectives and accomplishments on the assumption that: (a) the evolution of technology is in line with expectations; (b) resources both internal and outsourced are made available to meet critical targets; and (c) stakeholders fulfil their responsibilities and obligations and extend their full cooperation in attaining the objectives of the information and communications technology strategy, most importantly during the process review and redesign stages of activity.",
"Outputs",
"89. During the biennium 2012-2013, the following outputs will be delivered:",
"Enterprise operations services",
"(a) Translating the organization’s functional and operational requirements into the effective and efficient acquisition and implementation of information and communications technology architecture for the proposed Integrated Pension Administration System initiative with a focus on improving the management of information and the efficiency of the Fund’s operations;",
"(b) Policies. Ensuring that all information and communications technology services delivered by the Information Management Systems Service meet the expectations of the Fund’s Information Technology Executive Committee and relevant industry standards to the extent possible (e.g., Information Technology Infrastructure Library); enforcing network security in line with International Organization for Standardization security standard ISO-20002 for the Fund’s information and communications technology infrastructure;",
"(c) Communications. Provision of backbone communications services, including Internet, private leased lines, telecommunication devices and equipment, and the required communication lines that are used for connecting the various offices of the Fund, including the Fund secretariat, the Geneva office, the Investment Management Division and the newly established information technology infrastructure hosting arrangement with the International Computing Centre; upgrading the New York backbone network infrastructure with robust capabilities to support users with diverse requirements for high-speed mission-critical data, voice and video traffic to the desktop;",
"(d) Information and communications technology infrastructure services. Multishift operations, management and maintenance of Information and Communications Technology Infrastructure Services, such as server management, middleware management, and data backup in New York, New Jersey, and Geneva to support the operations of the Fund. Monitoring applications, equipment, network loads and traffic from the command centre to prevent failure of services. They will also ensure that software versions are at current levels where practical and, if necessary, perform systems upgrades using software development life-cycle methodologies;",
"(e) Infrastructure architecture services. Developing and implementing information and communications technology infrastructure based on best technology standards and practices that will emphasize integration, interoperability, modularity and scalability with a periodic technology refresh; provide a guide to information technology decision makers, lower costs of information technology through reduced support costs and economies of scale;",
"(f) User support/help desk. Provide technical, operational and help desk support for applications, servers, personal computers and mobile devices connected to the Pension Fund networks; provide infrastructure support for approved software applications, such as productivity systems, e-mail, knowledge management systems and custom applications; operation of and the provision of support to conference room facilities and equipment, including video/audio and projection functions;",
"(g) Messaging. Provision and maintenance of electronic messaging services, including e-mail, videoconferencing services and unified messaging; provision and maintenance of mobile messaging and communications for handheld devices and services.",
"Enterprise applications services",
"(a) Development. Maintain systems that enhance productivity and efficiency by incorporating those that reduce manual processing of benefits; enhance participant and beneficiary processing and relate to banking, accounting system and workflow interfaces;",
"(b) Enterprise systems maintenance. Maintain and enhance enterprise systems for core business applications, including pension administration, accounting and content management;",
"(c) Maintenance of member organization information-sharing. Provision and maintenance of member organization information-sharing for the data collection of human resources and financial information, maintenance of custom interfaces and systems programmes to enhance human resources and financial data collection with the various enterprise resource planning interfaces used by organizations, and maintenance of electronic file transfer interface to securely support the sharing and translation of information.",
"Enterprise data services",
"(a) Database administration. Implement, maintain and enhance the availability of Pension Fund databases across various information technology platforms; perform database upgrades; monitor usage and resolve problems; create new tables and views; identify data integrity issues; and support system development activities as they relate to database access in line with business requirements;",
"(b) System programming. Implement and maintain database systems and host computer operating systems and programmes to the extent necessary to provide mission-critical data to various applications and interfaces;",
"(c) Data warehouse support. Implement, maintain and enhance the availability of the data warehouse system; provide data cleansing and federation across various platforms;",
"(d) Management reporting. Implement, maintain and enhance management reporting using business intelligence tools.",
"Enterprise Security Services",
"(a) Information security. Periodic security risk assessments of technological structures and operations of the Pension Fund offices in New York and Geneva and securing the network using various security tools, including firewalls, anti-spam and anti-virus solutions;",
"(b) Identity management. Provide the ability to centrally manage the provisioning and deprovisioning of identities, and consolidate the proliferation of identity repositories;",
"(c) Disaster recovery. Formulate, adopt and implement a multi-year disaster recovery strategy to support Pension Fund business continuity requirements.",
"Enterprise project management services",
"(a) Governance. Enhance and implement the programme management infrastructure with strong governance utilizing the model established by the governing bodies of the Information Management Systems Service;",
"(b) Project management methodology. Provide guidance in project management processes and methodologies in a manner that is efficient, consistent and standardized;",
"(c) Project management support. Update, monitor and maintain the project portfolio in accordance with project management methodologies; provide mentoring and coaching in an effort to raise the project management maturity level of the organization;",
"(d) Audit governance. Manage and comply with internal and external audit observations as they relate to information and technology services.",
"Enterprise quality and production control services",
"(a) Quality standardization. Identify and document the requirements for various quality standards for implementation within the Information Management Systems Service;",
"(b) Change management. Identify and implement a complete change management framework with proper segregation of duties;",
"(c) Service level and delivery agreements. Compile statistics and manage all service level and delivery agreements of the Information Management Systems Service;",
"(d) Production control. Oversee the quality assurance function to ensure that all systems are placed into the production environment only after undergoing a comprehensive evaluation and user acceptance test.",
"Contract management services",
"Monitor and manage the various components of the budget of the Information Management System Service; provide administrative support to information and communications technology services, including the identification of available resources, the entry of pre-encumbrances and the processing of requisitions, purchase orders and related invoices; account for the assets of the Service; manage vendor relationships, including those with technology partners, contractors and outsourcers; provide expert level knowledge in the development of generic specifications for technology procurement; work directly with the United Nations Procurement Service to ensure that value-added solutions are provided at the lowest possible cost.",
"Table 19",
"Resource requirements",
"Category Resources Posts (thousands of United States dollars)\n 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 8 426.7 8 607.6 32 31",
"Non-post 32 814.1 34 717.3 — —",
"Total 41 240.8 43 324.9 32 31",
"90. The amount of $43,324,900 will provide for the continuation of 31 posts; 26 established posts (1 D-1, 2 P-5, 6 P-4, 10 P-3, 1 General Service (Principal level) and 6 General Service (Other level)); 5 temporary posts (1 P-5, 1 P-4, 2 P-3 and 1 General Service (Other level)) and non-post resources. One temporary post at the P-4 level was authorized for 12 months only, and this post was abolished in 2011. The increase in non-post resources ($1,903,200) is attributable primarily to other staff costs ($127,000) and contractual services ($5,975,900), partially offset by decreases in requirements for furniture and equipment ($3,976,400), travel of staff ($21,600) and general operating expenses ($177,400). The total resources requested for the Integrated Pension Administration System project in the amount of $12,661,400 is attributable to contractual services ($11,466,300) and temporary posts ($1,195,100).",
"Legal Office",
"Resource requirements (before recosting): $1,358,400",
"91. The Legal Office continues to provide unified legal service for the Fund’s management and operations in the New York and Geneva offices. It will provide substantive, procedural and administrative support to the Audit Committee and the Standing Committee (appeals) of the Pension Board as well as to the United Nations Staff Pension Committee (disability cases). The Office will ensure that the Fund’s operations comply with the Regulations and Rules of the Fund and that the Regulations are consistently interpreted. In addition to all sections and offices in the secretariat of the Fund, legal services and support are provided to participants and retirees and/or their legal representatives in regard to the application of the Fund’s Regulations and Rules in individual cases. The Office has focused on a new approach to the documentation and dissemination of legal precedents, rulings and policy decisions. Such promotion of knowledge-sharing facilitates the efficient use of legal information and experience accumulated by the Legal Office, enhances the use of best practices, and enables managers and staff to take into account legal risks in their daily decision-making.",
"Table 20",
"Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To protect the legal interestsof the Fund and to provideexpert legal advice on PensionFund matters to the ChiefExecutive Officer, the PensionBoard and Standing Committeeand other governance bodies ofthe Pension Fund\t\n(1) Improved uniformity andconsistency in the applicationof the Regulations, Rules andPension Adjustment System ofthe Pension Fund\t(1.1) Reduced number of requestsfor review and appeals where theFund’s position is not upheld byeither the Standing Committee orthe Appeals Tribunal Performance measures 2008-2009: 90 per cent of casesupheld Estimate 2010-2011: 100 per centof cases upheld \n\tTarget 2012-2013: 100 per centof cases upheld\n(2) Modernized and improvedcommunication andknowledge-sharing in respect oflegal matters\t(2.1) The number of legaldecisions and jurisprudencedocumented and disseminatedusing the Pension Fund CaseDigest and other knowledgemanagement tools Performance measures 2008-2009: not applicable Estimate 2010-2011: 100 per centof Standing Committee andTribunal cases, 10 per cent oflegal rulings codified \n\tTarget 2012-2013: 100 per centof Standing Committee andTribunal cases, 30 per cent oflegal rulings codified(3) Improved organizational andprocedural aspects of meetingservicing, as well as enhancedsubstantive support to themembers of the Committees\t(3.1) The satisfaction of themembers of the Pension Board,Standing Committee, AuditCommittee and the United NationsStaff Pension Committeeconcerning the level and qualityof substantive secretariatservices Performance measures 2008-2009: no complaints aboutsupport Estimate 2010-2011: nocomplaints about support \n\tTarget 2012-2013: no complaintsabout support",
"External factors",
"92. The Legal Office is expected to achieve its objective and expected accomplishments on the assumption that: (a) the Fund’s committees, Pension Board, member organizations, operational staff and management will seek legal advice when the legal interests or liabilities of the Fund are affected by their activities and operations; (b) legal advice is sought in a timely manner and clients provide sufficient information for legal analysis and will be guided by the advice rendered; and (c) the required human and financial resources will be made available.",
"Outputs",
"93. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Provision of advice on questions relating to interpretation and application of the Fund’s Regulations, Administrative Rules and Pension Adjustment System, provision of operational support in respect of administrative polices and procedures;",
"(b) Provision of advice on and, as appropriate, supervision and oversight of the review, negotiation and drafting of agreements and other legal instruments with member organizations, as well as other international and intergovernmental organizations;",
"(c) Provision of advice and preparation of documentation regarding institutional and operational modalities, legal submissions and other legal documents; preparation of respondent’s answers to the United Nations Appeals Tribunal in cases concerning pension matters (10 instances);",
"(d) Preparation of legal publications or communications to Fund participants/beneficiaries, pension secretariats and administrations of member organizations, including the relevant material for the Fund’s website;",
"(e) Servicing of the meetings of the United Nations Staff Pension Committee, Standing Committee and Audit Committee, including streamlining and modernizing information-sharing, by electronic dissemination of documents through web-based Quick Places and the other knowledge management tools of the Fund:",
"(i) Provision of advice on rules of procedure, interpretation and implementation of resolutions and Pension Board/Committee decisions;",
"(ii) Substantive, technical and administrative servicing of the meetings of the Standing Committee (2 instances), including the preparation of approximately 12 requests for review and appeals; analysis of legal issues and the preparation of reports and documentation;",
"(iii) Substantive, technical and administrative servicing of the meetings of the United Nations Staff Pension Committee (4 instances); preparation of applications for disability benefits (approximately 140 new adult cases, 40 child cases and approximately 190 review cases and 2 appeals cases); preparation of reports and documentation;",
"(iv) Substantive, technical and administrative servicing of the meetings of the Audit Committee (6 instances), including the coordination of preparation of documentation and reports;",
"(f) Codification and systematic dissemination of the jurisprudence of the Standing Committee and Administrative Tribunal cases as well as other legal reference files, opinions, policy decisions and guidelines;",
"(g) Liaison with member organizations of the Fund, their Staff Pension Committees and other international organizations on issues related to legal questions in pension schemes;",
"(h) Representation of the Fund at international or regional meetings, inter-agency meetings and meetings of legal advisers of member organizations, and participation in various standing boards, committees, ad hoc working groups and task forces, as required.",
"Table 21",
"Resource requirements",
"Category Resources Posts (thousands of United States dollars)\n 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post — 1 358.4 — 4",
"Non-post — —",
"Total — 1 358.4 — 4",
"94. In order to more clearly analyse programme support, the Legal Office has been segregated from the Office of the Chief Executive Officer and redesignated as a subprogramme of programme support. The amount of $1,358,400 provides for the continuation of four posts, three redeployed from the Office of the Chief Executive Officer (2 P-5 and 1 General Service (Other level)) and one from the Geneva Office (1 P-4, Legal Officer). The latter will be located in Geneva.",
"Executive Office",
"Resource requirements (before recosting): $11,838,900",
"95. The Executive Office provides the administrative and programme support necessary for the implementation of the activities of the Fund. It assists the Chief Executive Officer and the Director of the Investment Management Division in the preparation of the biennial budget submission and provides the relevant support services for the efficient utilization of human and financial resources. It also provides a general administration and facilities management service.",
"Table 22",
"Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To facilitate the achievementof the operational andstrategic goals of the Fundthrough efficient andeffective administrative andprogramme support\t\n(1) Timely recruitment andplacement of staff\t(1.1) Reduction in the averagenumber of working days a postremains vacant Performance measures 2008-2009: 200 days Estimate 2010-2011: 180 days \n Target 2012-2013: 150 days \n\t(1.2) Increased percentage ofwomen in posts at theProfessional level and above forappointments of one year or more Performance measures 2008-2009: 32 per cent Estimate 2010-2011: 39 per cent \n Target 2012-2013: 45 per cent \n(2) Improved versatility ofstaff by internal and externaltraining\t(2.1) Increased production ofbespoke learning coursesavailable Performance measures 2008-2009: 30 Estimate 2010-2011: 38 \n Target 2012-2013: 48 \n\t(2.2) Increased staffparticipation in and successfulcompletion of learning and careerdevelopment programmes Performance measures 2008-2009: 618 Estimate 2010-2011: 700 \n Target 2012-2013: 700 \n(3) Improved management andmonitoring of the Fund’sadministrative budget\t(3.1) Reduce unliquidatedobligations and cancellation ofprior-period obligations as apercentage of finalappropriations Performance measures 2008-2009: not applicable Estimate 2010-2011: 9 per cent \n Target 2012-2013: 8 per cent \n(4) Enhanced quality andtimeliness of facilities andproperty services\t(4.1) Decreased working days lostdue to downtime of buildingfacilities Performance measures 2008-2009: zero Estimate 2010-2011: zero \n Target 2012-2013: zero",
"External factors",
"96. The Executive Office is expected to achieve its objective and expected accomplishments on the assumption that the required human and financial resources are made available.",
"Outputs",
"97. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Human resources management:",
"(i) Provision of policy advice to all staff on all issues relating to human resources management;",
"(ii) Manage tracking data of job openings for hiring managers to support recruitment targets;",
"(iii) Report on electronic Performance Appraisal System compliance data to directors;",
"(iv) Schedule interviews for all INSPIRA and temporary vacancy announcement recruitment;",
"(v) Deal with issues related to staff-management relations (rebuttal panels, etc.);",
"(b) Staff training and career development:",
"(i) Develop Fund-specific courses and facilitate knowledge transfer for a learning management system platform in coordination with the Information Management Systems Service;",
"(ii) Arrange training courses on Fund premises;",
"(iii) Monitor and track mandatory courses for all staff;",
"(iv) Induct all new staff into the Fund;",
"(v) Provide career development advice;",
"(c) Administration:",
"(i) Provide day-to-day administrative support to the staff of the Fund;",
"(ii) Maintain the staffing table;",
"(iii) Process General Service and Professional personnel actions to meet payroll each month;",
"(iv) Renew staff contracts two months prior to expiration by alerting supervisors for recommendations;",
"(v) Analyse individual staff cases of benefits and entitlements in accordance with United Nations policy and action any change or update to individual benefits and entitlements;",
"(vi) Provision of certified business travel to the Fund staff and associated personnel;",
"(vii) Arranging travel for United Nations members of the Pension Board and members of the Audit Committee and Committee of Actuaries and the staff of the Fund;",
"(viii) Maintain time and attendance records;",
"(ix) Maintenance of Quick Place website for Audit Committee members to access documentation related to meetings;",
"(d) Finance and Budgetary Control:",
"(i) Provide guidance to programme managers on, and completion of the Fund’s biennial and revised budgets;",
"(ii) Issuance and revision of allotments;",
"(iii) Certification of all expenditures;",
"(iv) Monitoring and reporting expenditure to programme managers on a monthly basis;",
"(v) Provision of advice and guidance on the application of the Financial Regulations and Rules to programme managers;",
"(vi) Control of the administrative budget, including verification of invoices prior to payment;",
"(vii) Completion of schedule I (Status of appropriations in relation to administrative expenses) of the Fund’s annual financial statement;",
"(viii) Reconciliation of administrative expenses between the Fund and United Nations Secretariat;",
"(e) Facilities and property management:",
"(i) Ensure that facilities are maintained and are in operational condition;",
"(ii) Coordinate with building management and vendors for any required repairs;",
"(iii) Manage contracts relating to the office space;",
"(iv) Provide support in the planning and configuration of new and existing office space;",
"(v) Maintain and support the asset/inventory management system for fixed assets of the Fund;",
"(vi) Coordinate disposal of obsolete equipment and furniture;",
"(vii) Maintain and support the Fund emergency notification system;",
"(viii) Maintain emergency contact information for staff of the Fund for security/emergency action purposes.",
"Table 23 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 1 659.3 1 718.6 7 7",
"Non-post 11 451.5 10 120.3 — —",
"Total 13 110.8 11 838.9 7 7",
"98. The amount of $11,838,900, representing a decrease of $1,271,900, provides for the continuation of seven posts (1 P-5, 1 P-4, 1 P-3 and 4 General Service (Other level)) and the reclassification of one P-3 post as a P-4 post, and for non-post requirements for the Administration as a whole. The decrease in non-post resources of $1,331,200 is due primarily to a decrease in the rental and maintenance of premises as a result of the use of more accurate estimates.",
"C. Investment costs",
"1. Overview",
"99. The Investment Management Division assists the Secretary-General, under the authority delegated by the Representative of the Secretary-General in accordance with article 19 of the Regulations of the United Nations Joint Staff Pension Fund, in the management of the investment of the Fund’s assets. It is responsible for the day-to-day management of those assets, implementing the approved investment strategy and ensuring that the portfolio conforms to the approved asset allocation, policies and Regulations and Rules of the Fund. Its mandate is to generate the total amount of portfolio returns required to meet the liability demands of the Fund while staying under the Fund’s risk threshold. The Division ensures that performance and portfolio risk analysis reports are accurate and up to date, and arranges for the maintenance of appropriate and accurate accounts on the Fund’s investments. The main sections of the Division are: the Office of the Director, the Investment Section, the Risk and Compliance Section, the Operations Section and the Information Systems Section.",
"100. The overall level of resources for the Investment Management Division amounts to $91,799,300 before recosting, reflecting a net increase of $10,601,800, or 13.1 per cent, compared with the revised appropriations for the 2010-2011 biennium. The net increase, as shown in table 25, can be summarized as follows:",
"(a) Executive direction and management: the decrease of $1,567,900 relates to the decrease in non-post costs, comprising primarily decreases in travel ($1,382,200), consultants ($2,028,800) and other staff costs ($1,665,100), which have been requested under the relevant programme, offset by an increase in posts ($508,200) due to the redeployment of one P-4 Legal Officer from the Risk and Compliance Section and one General Service (Other level) post from the Operations Section and contractual services ($3,000,000);",
"(b) Programme of work: the increase of $7,451,700 is attributable to six additional posts offset by the redeployment of two posts to the Office of the Director ($1,115,100) and non-post resources of $6,336,600, attributable to contractual services ($2,772,200); in addition, other staff costs ($1,416,200), travel of staff ($1,271,200) and consultants ($877,000), all of which were requested under executive direction and management in previous submissions, have been requested under programme of work;",
"(c) Programme support: the net increase of $4,718,000 for the Information Systems Section ($5,794,500) is attributable to one additional post ($863,600), an increase in contractual services ($4,040,000), other staff costs ($779,300) and travel ($111,000), the latter two of which were requested under executive direction and management in prior submissions, which is offset in part by a decrease in administrative support of $1,076,500 under rental and maintenance of premises due to the completion of the renovation of the thirtieth floor of 1 Dag Hammarskjöld Plaza for the Division.",
"101. The estimated distribution of resources is shown in table 24, and resource requirements by component are shown in table 25.",
"Table 24 Percentage distribution of resources by component",
"Component Regular budget",
"A. Executive direction and management 7.7",
"B. Programme of work",
"1. Investments 53.9",
"2. Risk and compliance 2.9",
"3. Operations 12.0",
"Subtotal, programme of work 68.8",
"C. Support",
"1. Information Systems Section 19.1",
"2. Administrative support 4.4",
"Subtotal, programme support 23.5",
"Total 100.0",
"Table 25 Resource requirements by component",
"(Thousands of United States dollars)",
"Component 2010-2011 Resource Total Recosting Apportionment 2012-2013 appropriation growth before estimate recosting\n Amount Percentage United Pension Nations Fund",
"A. Executive 8 654.2 (1 567.9) (18.1) 7 086.3 52.33 — 7 138.6 7 138.6 direction and management",
"B. Programme of work",
"1. Investments 51 568.3 (2 091.7) (4.1) 49 476.6 655.8 — 50 132.4 50 132.4",
"2. Risk and 1 931.6 680.1 35.2 2 611.7 (19.2) — 2 592.5 2 592.5 compliance",
"3. Operations 2 178.5 8 863.3 406.9 11 041.8 179.9 — 11 221.7 11 221.7",
"Subtotal, B 55 678.4 7 451.7 13.4 63 130.1 816.5 — 63 946.6 63 946.6",
"C. Support",
"1. Information 11 777.3 5 794.5 49.2 17 571.8 253.2 — 17 825.0 17 825.0",
"2. 5 087.6 (1 076.5) (21.2) 4 011.1 16.9 — 4 028.0 4 028.0 Administrative",
"Subtotal, C 16 864.9 4 718.0 28.0 21 582.9 270.1 — 21 853.0 21 853.0",
"Total 81 197.5 10 601.8 13.1 91 799.3 1 138.9 — 92 938.2 92 938.2",
"2. Executive direction and management",
"Resource requirements (before recosting): $7,086,300",
"102. The Director of the Investment Management Division sets forth the framework under which the sections of the Division establish their strategies and priorities to ensure that the Division carries out its mandate, while guaranteeing the best possible conditions of security, performance, responsibility and accountability and ensuring full compliance with the highest standards of efficiency, competence and integrity. The Director promotes the controlled, efficient and effective management of the assets of the Fund through a workplan designed to reflect the long-term goals and priorities of the Division and of the Fund as a whole. The Director leads the Division’s cooperation with the Fund’s Audit Committee, the United Nations Board of Auditors and the Office of Internal Oversight Services (OIOS).",
"103. The Office of the Director is responsible for providing critical legal, contract management and requisitioning services as well as administrative support, including making strategic human resources projections in response to the growing needs of the Division. The Office also provides services for and supports the Investments Committee.",
"104. The objective is to develop the Office of the Director into a unit that would assist the Division in monitoring and coordinating the timely implementation of its workplan. The scope and responsibilities of the Office have increased and diversified as the Fund has grown in terms of both types of investments and number of staff and sections. Thus, provided that sufficient systems and staffing are available, the plan is to strengthen and expand the functioning of the Office by establishing specialized units with clear mandates and responsibilities to deal with legal and contract management; requisitioning, budget preparation and invoice processing; the Investments Committee and legislative bodies; and administration-related issues.",
"Table 26 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:To ensure the fullimplementation of legislativemandates and compliance with theRegulations and Rules of theFund, taking into account therecommendations of theInvestments Committee and thedecisions of the Representativeof the Secretary-General withrespect to the management of theFund’s programme of work inrelation to investments and ofstaff and financial resources\t\n(1) Determining, in consultationwith the Representative of theSecretary-General, guidelines onasset allocation ranges,currency holdings, marketweightings, strategic andtactical short-term allocations;investment opportunities; andinformation systems andoperational infrastructure\t(1.1) Outperformance of Fund’sinvestments\n(2) Timely and effectiveplanning and coordination ofInvestment Management Divisionprocurement needs\t(2.1) Percentage of requestsfor proposal completed within 6months\n(3) Provision of a wide range oflegal advice on various types ofinvestments and contracts\t(3.1) Successful completion ofnew investment transactions andexecution of contracts\n(4) Effective servicing ofInvestments Committee and otherlegislative bodies\t(4.1) No complaints receivedfrom Investments Committeemembers and other participants\n(5) Timely recruitment andplacement of staff\t(5.1) Reduction in the averagenumber of days for which a postremains vacant\n\t(5.2) Reduction in the vacancyrate",
"External factors",
"105. The objective and accomplishments are expected to be achieved consistently on the assumption that (a) all stakeholders will be supportive of the efforts of and will extend their full cooperation to the Investment Management Division; and (b) there are no significant shortfalls in funding for the implementation of the mandates established by the General Assembly and the Pension Board. The accomplishment of the executive direction programme depends on the full cooperation of the relevant United Nations departments and divisions.",
"Outputs",
"106. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) A regularly updated and implemented investment policy that ensures forcefully implemented investment strategy in accordance with the guidance received by the Investments Committee;",
"(b) A medium-term procurement plan, resulting from the effective and regular coordination of Investment Management Division procurement needs with the Procurement Division, that produces high-quality solicitation documents and results in faster solicitation and participation of high-quality firms in the bidding process in approximately 10 procurement exercises;",
"(c) Approximately 160 contracts, negotiated and executed with regular coordination and contacts with legal experts in the Office of Legal Affairs and the Legal Counsel;",
"(d) Four Investments Committee meetings are organized annually. The Pension Board, the Advisory Committee on Administrative and Budgetary Questions, the Fifth Committee and other relevant parties are provided with accurate reports on investments;",
"(e) Investment Management Division staff travel and training plans are implemented. Vacancies are filled within 180 days.",
"Table 27 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 1 941.6 2 449.8 7 9",
"Non-post 6 712.6 4 636.5 — —",
"Total 8 654.2 7 086.3 7 9",
"107. The amount of $7,086,300, representing a $1,567,900 decrease, provides for the continuation of seven posts (1 D-2, 1 P-5, 1 P-4, 1 General Service (Principal level) and 3 General Service (Other level)), the redeployment of two posts, one each from the Risk and Compliance Section (1 P-4) and the Operations Section (1 General Service (Other level)), and non-post resources for the Division as a whole for the travel of representatives and hospitality. The decrease in non-post resources is attributable primarily to the apportionment of resources for other staff costs ($1,665,100), travel of staff ($1,382,200) and consultants ($2,028,800), offset in part by an increase in contractual services ($3,000,000).",
"3. Programme of work",
"Investment Section",
"Resource requirements (before recosting): $49,476,600",
"108. The Investment Section is responsible for achieving optimal investment returns for the Fund while avoiding undue risks. The Section consists of seven organizational entities, namely, North American equity, European equity, Asia-Pacific equity, global emerging markets equity, fixed income, real estate and alternative investments. The primary functions involve monitoring current portfolios, keeping abreast of and tracking developments in the financial markets, and making and carrying out investment decisions. The fulfilment of these functions involves the preparation of financial analyses, attendance at meetings and conferences and travel to various countries to meet analysts and companies’ management. A secondary function is contributing to the formulation of reports to all the governing bodies.",
"109. The tasks of the Investment Section for 2012-2013 include (a) to meet the long-term objective of an annualized real rate of return on the investments of the Fund of 3.5 per cent, as adjusted by the United States consumer price index; (b) to achieve consistent outperformance of the policy benchmark by the Fund’s investments; (c) to maintain a risk level commensurate with target investment returns; and (d) to reduce currency risks and country risks through sound diversification.",
"Table 28 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Expected accomplishments Indicators of achievement \nObjective of the Organization:The long-term objectives are:(a) to achieve optimal returnfor the Fund in real termswithout undue risk; and (b) todiversify the portfolio withrespect to asset type,currency and geography\t(1) A long-term annualizedreal rate of return on theinvestments of the Fund of 3.5per cent, as adjusted by theUnited States consumer priceindex\t(1.1) Total Fund return againstthe Fund’s objective over a10-year periodPerformance measures2008-2009: underperformed theobjective by 1.7 per cent over a10-year period ended December2009, while the Fund experiencedthe global financial crisis in2008 and early in 2009 Estimate 2010-2011: according topreliminary numbers, the Fundperformed 3.5 per cent in realterms over a 10‑year period endedDecember 2010, in line with theFund’s return target \n\tTarget 2012-2013: outperform thelong-term target of an annualizedreal rate of return of 3.5 percent(2) Consistent outperformanceof the Fund’s investmentsrelative to the policybenchmark, which is 60 percent in equity, 31 per cent infixed income, 6 per cent inreal estate and 3 per cent incash\t(2.1) Total return against thepolicy benchmark over a 5-yearperiodPerformance measures2008-2009: outperformed thebenchmark by 0.9 per cent over a5-year period ended December 2009 Estimate 2010-2011: according topreliminary numbers, the Fundperformed 10.2 per cent innominal terms in 2010, marginallyunderperforming the 60/31benchmark return of 10.6 per cent \n\tTarget 2012-2013: outperform thepolicy benchmark(3) Reduction of currency riskand country risk through sounddiversification\t(3.1) Number of currenciesinvested inPerformance measures 2008-2009: invested in 27currencies as of December 2009 Estimate 2010-2011: invested in35 currencies as of December 2010 \n\tTarget 2012-2013: further refinethe allocation of the Fund’sassets by currency as appropriate\t(3.2) Number of countriesinvested in 2008-2009: invested in more than41 countries, including emergingmarkets, ininternational/regionalinstitutions and in investmenttrusts as of December 2009 Estimate 2010-2011: invested inmore than 47 countries, includingemerging markets, ininternational/regionalinstitutions and in investmenttrusts as of December 2010 \n\tTarget 2012-2013: further refinethe allocation of the Fund’sassets by country as appropriate(4) Diversification ofinvestments in alternativeasset classes\t(4.1) Number of strategies ofalternative asset classesinvested in Performance measures 2008-2009: not applicable Estimate 2010-2011: SeniorInvestment Officer forAlternative Investments joinedthe Fund in June 2010. The targetfor the period from June 2010 toDecember 2011 is to finalizeAlternative Investments adviserselection and make commitments to5-10 managers. The Real AssetsAdviser was selected in June2009, and a detailed strategy forreal assets will be set early in2011. The Fund will makecommitments in several funds ininfrastructure andtimber/agricultural lands \n\tTarget 2012-2013: By the end of2013, the Fund expects to becommitted to up to 15 to 20private equity funds and hedgefunds of funds. Private equityperformance over time will bemeasured using dollar-weightedreturn and internal rate ofreturn calculations, while thehedge fund portfolio will bemeasured using time-weightedreturn calculations. Benchmarkingfor the Fund will be discussedwith the Fund’s private equityand hedge fund Advisers and willbe presented in detail at a laterstage(5) Enhanced capacity of staffto address issues related toinvestments and portfoliomanagement\t(5.1) Percentage of staff whoattend at least 1 relevantconference or seminarPerformance measures 2008-2009: not applicable Estimate 2010-2011: notapplicable \n\tTarget 2012-2013: each staffmember attends at least 1 seminaror conference",
"External factors",
"110. The objective and accomplishments are expected to be achieved consistently on the assumption that (a) all stakeholders will be supportive of the efforts of and will extend their full cooperation to the Investment Management Division; (b) there are no significant shortfalls in funding for the implementation of the mandates established by the General Assembly and the Pension Board; and (c) the financial markets such as global equity, global fixed income, real estate and foreign exchange will move in the direction of the long-term assumptions.",
"Outputs",
"111. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) A positive total return exceeding the Fund’s objective, which is a long-term annualized real rate of return on investment of 3.5 per cent, as adjusted by the United States consumer price index;",
"(b) A positive total Fund return exceeding the policy benchmark, which is 60 per cent in equity, 31 per cent in fixed income, 6 per cent in real estate and 3 per cent in cash;",
"(c) The maintenance of a well-diversified portfolio, in terms of both currencies and countries, in order to reduce currency risk and country risk;",
"(d) Successful implementation of the alternative asset class suited to the Fund objective when market conditions are favourable for the Fund to earn a return premium exceeding what could be earned from investments in publicly listed equities;",
"(e) The enhancement of the professionalism and in-depth knowledge of staff, who will help to improve the performance of the Fund through participation in conferences and seminars directly related to investments and portfolio management.",
"Table 29 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 7 698.4 8 974.3 27 31",
"Non-post 43 869.9 40 502.3 — —",
"Total 51 568.3 49 476.6 27 31",
"112. The amount of $49,476,600, representing a $2,091,700 decrease, provides for the continuation of 27 posts (1 D-1, 7 P-5, 6 P-4, 4 P-3, 4 General Service (Principal level) and 5 General Service (Other level)) and the establishment of 4 new posts (3 P-4 and 1 P-3) and for non-post resources. The decrease in non-post resources is attributable to contractual services ($5,090,300) and the inclusion of resources for other staff costs ($197,500), travel of staff ($1,025,200) and consultants ($500,000) previously requested under executive direction and management.",
"Risk and compliance",
"Resource requirements (before recosting): $2,611,700",
"113. The Risk and Compliance Section is a newly established entity responsible for identifying, measuring and managing all aspects of risks to which the Fund is exposed. In addition, in terms of compliance, it is mandated to implement adequate monitoring and control processes covering the Fund’s investments. Its function comprises two sub-functions: risk management and compliance.",
"Table 30 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization:To establish controls andmonitor compliance for variousrisks to which the Fund isexposed, namely, market risk,operational risk, credit risk,and legal and reputationalrisk. The function is alsoresponsible for establishingthe risk budget at the assetand manager levels, monitoringcompliance with the riskbudget and helping theinvestment function tomaximize risk-adjusted returnsbased on established riskappetite\t\n Expected accomplishments Indicators of achievement (1) Effective oversight of therisks involved in the Fund’sinvestment operations\t(1.1) All investment tradeseffectively covered by monitoringactivities Performance measures (percentage number of cases) 2010-2011: 100 per cent \n Target 2012-2013: 100 per cent (2) Risk management frameworkestablished\t(2.1) Fully implement the riskanalytics system and train allportfolio managers to integraterisk analytics into portfolioconstruction Performance measures \n Target 2012-2013: 100 per cent (2.2) Implementation of riskmanagement controls as outlinedin the Risk Management Manual;percentage of implemented riskcontrols Performance measures Successful implementation of allestablished risk guidelines andcontrols Monitor controls, conduct trendanalysis and modify guidelinesand controls in accordance withchanges in investment environmentor as new risks are identified 2010-2011: 75 per cent \n Target 2012-2013: 99 per cent (3) Compliance withestablished policies andprocedures of InvestmentManagement Division\t(3.1) Percentage of investmenttransactions in compliance withpolicies and standard operatingprocedures Performance measures (percentage of transactions) \n Target 2012-2013: 95 per cent (3.2) Assurance of higher ethicalstandards on the part of staffmembers in relation to thedischarge of their duties andresponsibilities as internationalcivil servants Performance measures (percentage number of staffmembers) \n Target 2012-2013: 100 per cent (3.3) Successfully coordinatesand facilitates compliance withaudit recommendations Performance measures (percentage of completed audits) \n Target 2012-2013: 100 per cent (4) Implementation of multiplecustodians and independentmaster record-keeper\t(4.1) Independent masterrecord-keeper and multiplecustodians fully implemented andoperational, integrated withother Investment ManagementDivision systems such as thosefor risk management, accountingand trade order management Performance measures \n Target 2012-2013: 100 per cent",
"External factors",
"114. The Risk and Compliance Section is expected to achieve its objective and accomplishments on the assumption that all external parties will be supportive of the efforts of and will extend full cooperation to the Section. Other external factors include:",
"(a) More volatile equities markets;",
"(b) More volatile currencies market with large swings, requiring extensive quantitative analysis capacity for the use of index-linked tools for offsetting risks;",
"(c) More credit risk from sovereign countries;",
"(d) Operating in inflationary and/or deflationary environments simultaneously in various geographies;",
"(e) More international trade barriers;",
"(f) Changes in benchmarks if there are shifts in macroeconomic trends;",
"(g) Sudden underfunding of risks due to depreciation in base currency (United States dollar), causing funds to reach historical highs, while being potentially underfunded as use of the two-track feature increases and as liabilities increase in other currencies;",
"(h) Run on commodities;",
"(i) High unemployment becomes the “new normal” on a sustained basis in developing economies;",
"(j) Sovereign countries default on their loans.",
"Outputs",
"115. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) The maintenance of policies and standard operating procedures, namely, standard operating investment policies and procedures, the Risk Management Manual, the compliance policy and manual, the code of ethics and the personal securities, gift and hospitality policies;",
"(b) The completion of quarterly compliance reviews of the Fund’s investment operations to ensure the effective management of the Fund’s compliance risks;",
"(c) The administration of certification of acknowledgement, trade order pre‑clearances, report of personal securities, hospitality log and mandatory leave;",
"(d) The organization of training programmes pertaining to investment compliance, code of ethics (total of two on-site division-wide programmes);",
"(e) Coordination for full compliance with the annual United Nations financial disclosure programme;",
"(f) The preparation of periodic reports to the Audit Committee of the Pension Board (total of eight presentations);",
"(g) Acting as a focal point for planned internal and external audits of the Board of Auditors and the Office of Internal Oversight Services, and for queries from the Ethics Office.",
"Table 31 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 1 931.6 1 919.7 6 7",
"Non-post — 692.0 — —",
"Total 1 931.6 2 611.7 6 7",
"116. The amount of $2,611,700, representing a $680,100 increase, provides for the continuation of five posts (1 D-1, 2 P-4 and 2 General Service (Principal level)), the redeployment of one P-4 post to the Office of the Director and one General Service (Other level) post from the Operations Section and the establishment of one new post (1 P‑4). The increase in non-post resources is attributable primarily to the inclusion of resources for other staff costs ($321,600), travel of staff ($193,400), consultants ($127,000) and contractual services ($50,000) previously requested under executive direction and management.",
"Operations",
"Resource requirements (before recosting): $11,041,800",
"117. The Operations Section of the Investment Management Division is responsible for back-office investment operations, accounting and reconciliation and the financial reporting of all investment transactions and related activities of the Fund. It is also responsible for settling all investment trades and foreign-exchange transactions in a timely and accurate fashion, employing industry-standard solutions for straight-through and exception processing. In addition, it ensures that all investment activities, such as trades, foreign-exchange transactions, income collection, maturities, tax collection and corporate actions, are properly recorded in accordance with IPSAS, adopted by the Fund for the preparation of financial statements, with adequate internal controls and audit trail. Furthermore, the Section is responsible for the production of daily cash projections enabling the Investment Section to manage cash for all of the currencies utilized by the Division for investment purposes. The Operations Section is also responsible for the implementation of IPSAS with regard to all the Fund’s investment activities to be reported and reflected in the Fund-wide financial statements commencing on 1 January 2012, under the general guidance and direction of the Fund’s Chief Financial Officer. The Section works closely with the custodians for trade and foreign-exchange settlements, the investigation of interest claims on failed trades, income collection, maturities, tax collection and corporate actions. It also works closely with the master record-keeper for the daily reconciliation of cash and holdings, the fair market valuation of the Fund’s investments and the general ledger feed. The Section works closely with the Information Systems Section to assist in the implementation of more efficient processes, ensuring internal controls, while enhancing the various computerized investment activities of the Division and minimizing manual intervention.",
"Table 32 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of theOrganization: To ensure thesecurity of the Fund’sinvestments and increasetransparency in the financialreporting thereof\t\n Expected accomplishments Indicators of achievement (1) Automated back-officetrade settlement andreconciliation processes withthe capacity to handle anincreased volume ofinvestment transactions\t(1.1) Increased percentage ofproperly authorized investmenttrades settled withinmarket-prescribed settlement timeframesPerformance measures 2008-2009: 96.25 per cent Estimate 2010-2011: 98 per cent Target 2012: 99 per cent \n Target 2013: 99 per cent (1.2) Reduced number of daysneeded for the resolution ofdiscrepancies inpositions/holdings and cash Performance measures 2008-2009: not applicable Estimate 2010-2011: implementationand testing stage Target 2012: resolve discrepancieswithin 3 days \n\tTarget 2013: resolve discrepancieswithin 2 days(2) Successful implementationof IPSAS, adopted by thePension Fund in coordinationwith governing bodies\t(2.1) Timely submission of theDivision’s IPSAS-compliantfinancial statements to the Fund’sChief Financial Officer (by 15March of the following year) Performance measures 2008-2009: 1 April 2010 Estimate 2010-2011: 15 March 2011 Target 2012: 15 March 2012 \n Target 2013: 15 March 2013 (2.2) Unqualified audit opinionfrom the Board of Auditors onfinancial statements Performance measures 2008: unqualified audit opinion 2009: modified audit opinion Estimate 2010-2011: unqualifiedaudit opinion Target 2012: unqualified auditopinion \n\tTarget 2013: unqualified auditopinion\n(3) Fully functionaloperations with the new dualcustodians and independentmaster record-keeper model\t(3.1) All operational systemsfully functional when newcustodians and masterrecord-keeper providers areselected",
"External factors",
"118. The Operations Section is expected to achieve its objectives on the following assumptions:",
"(a) The internal mission-critical systems (the Charles River trade order management system, Murex MX.3, SWIFT and Omgeo) and the independent master record-keeper’s general ledger feed system will provide full straight-through processing and exception-based processing and reconciliation on a timely basis; the implementation of Omgeo, the independent master record-keeper and the general ledger accounting systems are all dependent on the successful negotiation of contracts;",
"(b) The satisfactory performance of the two custodians and the independent master record-keeper in the delivery of custodial and master record-keeping services.",
"Outputs",
"119. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) The settlement of all securities trading, real estate, alternative assets and currency-exchange transactions on the settlement or value date;",
"(b) The automated reconciliation of securities/positions/holdings and cash, including income (dividends, interest and cash distributions), maturities and corporate actions on a daily exception basis;",
"(c) Successful test or dry run of 30 June 2012 financial statements, with favourable review/comments by external auditors on IPSAS compliance;",
"(d) The production of IPSAS-compliant financial statements and disclosures (investments portion only) by 15 March 2013;",
"(e) All assets are transferred and accounted for and re-registered with the new custodians;",
"(f) All standard reports are produced by the new master record-keeper and custodians.",
"Table 33 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 2 178.5 2 029.6 11 10",
"Non-post — 9 012.2 — —",
"Total 2 178.5 11 041.8 11 10",
"120. The amount of $11,041,800, representing a $8,863,300 increase, provides for the continuation of nine posts (1 P-5, 1 P-3, 2 General Service (Principal level) and 5 General Service (Other level)), the redeployment of two General Service (Other level) posts, one each to the Office of the Director and the Risk and Compliance Section, and the establishment of one new post (1 P-3). The increase in non-post resources is attributable primarily to contractual services ($7,812,500) and resources that were previously requested under executive direction and management, comprising other staff costs ($897,100), travel of staff ($52,600) and consultants ($250,000).",
"4. Programme support",
"Information Systems Section",
"Resource requirements (before recosting): $17,571,800",
"121. The Information Systems Section is responsible for the technology, data management, applications, policies, procedures and management of projects facilitating the investment processes and reliable investment data. The Section will continue implementing solutions to enhance investment data quality and convenience, streamline and standardize investment processes, provide viable technology-enforcing security policies, enable business continuity and implement controls that are in line with Investment Management Division investment guidelines in order to mitigate operations and business risks. More important, the Section will provide good investment data that will be part of the solution to generate value for the Fund and enable smart risk management.",
"Table 34 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization:To provide informationtechnology solutions andtechnological support tofacilitate front-to-backinvestment processes \n Expected accomplishments Indicators of achievement (1) Implementation ofInvestment Management Divisioninformation and communicationstechnology strategy, includingimplementation and integrationof new and existing systemsfacilitating investmentactivities\t(1.1) Exception-based processingof investment transactionsenabledPerformance measuresPercentage of transactionsprocessed straight through 2008-2009: not available 2010-2011: 90 per cent (tradeorder management, SWIFT,custodian bank) \n Target 2012-2013: 95 per cent (1.2) Standardization andmodernization of investmentprocesses supported Performance measures Percentage of business processesstandardized 2008-2009: not available 2010-2011: 85 per cent \n Target 2012-2013: 95 per cent (1.3) Risk and compliancemanagement enabled Performance measures Number of risk and compliancetools offered 2008-2009: not available 2010-2011: 2 \n Target 2012-2013: 2 (2) Increased quality, securityand availability of InvestmentManagement Division investmentdata\t(2.1) Investment data validatedand reconciled in a timelymannerPerformance measures Percentage of dependableinvestment reports produced 2008-2009: 50 per cent 2010-2011: 75 per cent \n Target 2012-2013: 90 per cent (2.2) High availability ofinformation technology services Performance measures Percentage of potentialinformation technology operationrisk 2008-2009: 20 per cent 2010-2011: less than 5 per cent \n\tTarget 2012-2013: less than 1per cent",
"External factors",
"122. The subprogramme is expected to achieve its objective and expected accomplishments on the assumption that (a) the procurement and legal processes undertaken by the United Nations Secretariat on behalf of the Investment Management Division are completed within the expected time frame; (b) stakeholders fulfil their responsibilities and extend their full cooperation in attaining the objectives of the Division’s information and technology strategy, facilitating Division business; and (c) the Information Management Systems Service supports the consolidated information and communications technology infrastructure in a timely manner.",
"Outputs",
"123. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Trade order management (Charles River), back-office tasks, reconciliation, accounting (Murex) and the interbank messaging system (SWIFT) are successfully and fully implemented and supported;",
"(b) Data hub, foreign exchange and fixed income investment execution systems are implemented;",
"(c) Investment processes are properly documented;",
"(d) Exception-based processing of investment transactions is achieved;",
"(e) Standardization and streamlining of business processes are facilitated;",
"(f) Compliance monitoring and system are supported and facilitated;",
"(g) Automatic data feed is implemented and data validation is supported;",
"(h) Data reconciliation is supported;",
"(i) The Division’s information and communications technology infrastructure is strengthened;",
"(j) Security policies and disaster recovery are implemented and supported;",
"(k) Business continuity is enabled.",
"Table 35 Resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Post 1 593.9 2 457.5 7 8",
"Non-post 10 183.4 15 114.3 — —",
"Total 11 777.3 17 571.8 7 8",
"124. The amount of $17,571,800, representing a $5,794,500 increase, provides for the continuation of seven posts (1 P-5, 3 P-4, 2 P-3 and 1 General Service (Principal level)) and the establishment of one new post (1 P-4). The increase in non-post resources is attributable primarily to increased requirements for contractual services ($498,500) and the moving of market data contractual services from the Investment Section to the Information Systems Section ($3,541,500) and to resources that were previously requested under executive direction and management, comprising other staff costs ($779,300) and travel of staff ($111,000).",
"Administrative support",
"Resource requirements (before recosting): $4,011,100",
"Table 36 Financial resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Non-post 5 087.6 4 011.1 — —",
"Total 5 087.6 4 011.1 — —",
"125. The amount of $4,011,100, representing a $1,076,500 decrease, provides for non-post resources for the Division as a whole. The decrease is attributable primarily to the rental and maintenance of premises ($916,900) due to the one-time request in the revised budget for 2010-2011 for the renovation of additional office space at 1 Dag Hammarskjöld Plaza.",
"D. Audit costs",
"Resources requested (before recosting): $2,748,200",
"126. The distribution of resources is shown in table 37.",
"Table 37 Financial resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"External audit 661.2 774.7 — —",
"Internal audit 1 983.8 1 973.5 — —",
"Total 2 645.0 2 748.2 — —",
"127. The amount of $2,748,200 covers the estimated requirements for external audit ($774,700) as requested by the Board of Auditors and for internal audit ($1,973,500) as requested by the Office of Internal Oversight Services.",
"1. External audit",
"Resource requirements (before recosting): $774,700",
"128. Provision is made in the amount of $774,700 for the costs associated with the Board of Auditors and apportioned to the Fund by the secretariat of the Board of Auditors.",
"2. Internal audit",
"Resource requirements (before recosting): $1,973,500",
"129. The amount of $1,973,500 provides for the continuation of five general temporary assistance posts (1 P-5, 2 P-4, 1 P-3 and 1 General Service (Other level)), training and non-post resources comprising consultants, travel of staff, contractual services, communications, operating expenses, supplies and materials, and furniture and equipment. The reduction in costs is due primarily to general temporary assistance required as a result of a reduction in the standard salary tables and the net effect of minor changes to the resources requested for other non-post resources.",
"E. Board expenses",
"Resources requested (before recosting): $200,000",
"Table 38 Financial resource requirements",
"Resources Posts (thousands of United States dollars)\n Category 2010-2011 2012-2013 2010-2011 2012-2013 (before recosting)",
"Board expenses 167.5 200.0 — —",
"130. The General Assembly, in section IV of its resolution 61/240, authorized Board expenses, comprising the administrative costs of Board sessions, the Chair’s travel expenses and the travel expenses of working groups, to be included in the Fund’s budget and charged against administrative expenses.",
"131. The amount of $200,000 covers the estimated requirements for Board expenses and comprises travel costs for the Chair to attend the fifty-ninth and sixtieth sessions of the Board and meetings of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee, travel costs of members of the Chief Executive Officer Search Group and administrative expenses of the fifty-ninth and sixtieth sessions ($120,000), to be held in July 2012 and July 2013.",
"IV. Emergency Fund",
"132. The General Assembly, in section III of its resolution 62/241, authorized the Pension Fund to supplement the voluntary contributions to the Emergency Fund for the biennium 2008-2009 by an amount not exceeding $200,000.",
"133. It is proposed that the Pension Board recommend to the General Assembly that it authorize the Board to supplement contributions to the Emergency Fund for the biennium 2012-2013 by an amount not exceeding $200,000.",
"V. Recommendation for ad hoc measures regarding implementation of the International Public Sector Accounting Standards by 1 January 2012",
"134. At its fifty-seventh session, in July 2010, the Board had approved the implementation of IPSAS as of 1 January 2012. As requested, a report on the status of the implementation of the new accounting standards was presented to the Board by the secretariat and the Investment Management Division in July 2011.",
"135. Currently, the Fund reports under the Financial Regulations and Rules of the United Nations. It was noted that the United Nations was planning to implement IPSAS in 2014, and, in this regard, the Board was informed that the United Nations was planning to present to the General Assembly at its sixty-seventh session, in 2012, proposed changes to the Financial Regulations and Rules.",
"136. In the light of the timeline for revising the Financial Regulations and Rules of the United Nations, and with the support of the Pension Fund Audit Committee, the Board was requested, for the sole purpose of the Fund’s timely implementation of IPSAS, to recommend for the approval of the General Assembly, at its sixty-sixth session in 2011, the following transitional measure concerning the Fund’s financial reporting:",
"“As a transitional measure, the Board authorizes the Fund to continue to apply the Financial Regulations and Rules of the United Nations mutatis mutandis to their accounting processes and financial reporting, and in a manner that allows the Fund to be IPSAS-compliant. The Board hereby recommends that in accordance with article 19 (b) of the Regulations of the United Nations Joint Staff Pension Fund, the Secretary-General maintain detailed accounts of all investments and other transactions relating to the Fund in a manner that is IPSAS-compliant.”",
"137. The Board was informed that, with the approval of the transitional measure, the Fund’s full implementation of IPSAS would fulfil the Board’s decision to adopt IPSAS in 2012, subject to the subsequent formalization of the Fund’s financial regulations and rules. The Fund’s financial statements for 2012 would be presented and audited on the basis of IPSAS, which would provide the regulatory framework.",
"138. After discussion, the Board endorsed the transitional measure concerning the Fund’s financial reporting and recommended this measure for the approval of the General Assembly at its sixty-sixth session, in 2011.",
"VI. Action to be taken by the General Assembly",
"139. The Pension Board recommends the following to the General Assembly:",
"(a) The approval of a reduction in appropriations for 2010-2011 amounting to $21,772,800. The revised appropriations for the 2010-2011 biennium would then amount to $154,545,700, divided into administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Of this amount, $133,037,000 would be apportioned to the Fund and $21,508,700 would be directly chargeable to the United Nations under the cost-sharing arrangement;",
"(b) The approval of a revised estimate for the biennium 2010-2011 amounting to $144,300 for extrabudgetary resources;",
"(c) The approval of the Pension Fund estimate for the 2012-2013 biennium amounting to $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Pension Board expenses ($204,400). Of this amount, $173,260,600 would be apportioned to the Fund and $20,903,400 to the United Nations under the cost-sharing arrangement;",
"(d) The approval of resources for the biennium 2012-2013 amounting to $156,800 for extrabudgetary costs and funded by a number of member organizations;",
"(e) The approval of an amount not exceeding $200,000 to supplement contributions to the Emergency Fund;",
"(f) The approval of the ad hoc and transitional financial measures regarding IPSAS implementation by 1 January 2012.",
"VII. Summary of follow-up action taken to implement requests and recommendations of the Board of Auditors and the Advisory Committee on Administrative and Budgetary Questions",
"Table 39",
"A. Advisory Committee on Administrative and Budgetary Questions",
"(A/65/567)",
"Request/recommendation\tAction taken to implementrequest/recommendation \n(a) The Advisory Committeeconcurs with the Board’srecommendations regarding therevised risk management policyand that the Division continueto implement its newlydeveloped risk managementmanual (para. 7)\tThe majority of the controlshave already been implemented,and efforts are under way toimplement those that have not.The Risk Management Manual is aliving document that is updatedevery quarter. Implementation isongoing, and the target is toimplement all controls. Some ofthe controls set out in the RiskManagement Manual are manual,pending resource allocation;others are automated, pendinginfrastructure modernization. Asthese milestones are reached,these controls will beimplemented.\n(b) The Advisory Committeeconcurs with therecommendations of the Board ofAuditors. The Committee isconcerned at the fact that thePension Fund received anunqualified audit opinion withone emphasis of matter on therealized and unrealized losseson the investments of the Fundon the financial statements forthe biennium ended 31 December2009. The Advisory Committeeurges the Pension Fund toimplement the Board’srecommendations (para. 9)\tThis has been done in the notesto the 2010 financial statementsthat the Investment ManagementDivision submitted to thePension Fund secretariat on 11March 2011. The Division willconsult further with the IPSASconsultants on thesedisclosures.\n(c) The Advisory Committeereiterates its recommendationthat the Board continue toexplore opportunities forinvestment in developingcountries and countries witheconomies in transition (para.10)\tThe Fund is continuouslyresearching opportunities, andthe Director and staff of theInvestment Management Divisionrecently travelled to Africa andthe Middle East to broaden ouraward-winning portfolio inAfrican investments. TheDirector will meet with theWorld Bank and the InternationalMonetary Fund to review on aregular basis additionalopportunities in emerging andfrontier markets.\n(d) The Advisory Committeeconcurs with the Board ofAuditors that the Pension Fundshould finalize and approve itsIPSAS implementation plan in atimely manner. The Committeeexpects that the new ChiefFinancial Officer will be hiredas soon as possible and that,in the interim, preparation forIPSAS will proceed to ensureits implementation on 1 January2012. Furthermore, theCommittee encourages the Boardof Auditors to closely monitorthe Pension Fund’s IPSASimplementation progress andreiterates its recommendationthat the Board report to theGeneral Assembly on an annualbasis on progress made (seeA/65/498, para. 19) (para. 13)\tThe Fund has finalized its IPSASimplementation plan andtimeline, as presented to theAudit Committee and presented tothe Pension Board at its 58thsession, in July 2011. Therecruitment of the new ChiefFinancial Officer is under way.\n(e) The Advisory Committeeemphasizes that sufficientsupport, drawn from existingresources, should be madeavailable to ensure the timelyand well-managed implementationof IPSAS (para. 15)\tThe reallocation of existingresources required for IPSASimplementation was approved bythe Pension Board at its 57thmeeting, in July 2010, and bythe General Assembly in December2010. Additional resources arebeing requested for 2012-2013.\n(f) The Advisory Committeeconcurs with the PensionBoard’s request that themedical consultant look intothe possibility of establishinga standard for medicalexaminations for purposes ofparticipation in the Fundpursuant to article 41 of theFund Regulations (para. 18)\tAs requested, the MedicalConsultant will present a noteon this matter to the Board atits July 2012 session.\n Regulations (para. 18). \n(g) The Advisory Committeeconcurs with the Board ofAuditors on the need fortransparent disclosure of theinvestments of the UnitedNations University EndowmentFund and notes that the PensionBoard has agreed that suchdisclosure would be provided infuture (para. 20).\tThis has been done in the notesto the 2010 financial statementsthat the Investment ManagementDivision submitted to thePension Fund Secretariat on11 March 2011. The Division willconsult further with the IPSASconsultants on thesedisclosures.",
"B. Board of Auditors",
"(A/65/9, annex X)",
"Request/recommendation Action taken to implement request/recommendation",
"The Board’s main recommendations are that:",
"(a) The Fund finalize and approve The Fund has finalized an its IPSAS implementation plan; implementation plan and timeline, as identify and involve other presented to the Audit Committee. A stakeholders in the IPSAS steering committee has been implementation project; and established, comprising IPSAS provide details on what aspects of stakeholders from both the the Financial Regulations and Investment Management Division and Rules would need to be revised the secretariat. At present, the (para. 27); Fund follows the Financial Regulations and Rules of the United Nations, pending the adoption of IPSAS. The Investment Management Division is waiting for its IPSAS consultants to recommend suggested language for rules 104.12, 104.13, 104.14, 104.15 and 104.16 to ensure IPSAS compliance. This will be presented to the Audit Committee in June 2011 and to the Pension Board at its fifty-eighth session, in July 2011.",
"(b) The Fund raise a receivable Amounts owed by member organizations and income for amounts owing to have been calculated. Once reviewed, the Fund (para. 30); they will be issued.",
"(c) The Fund reverse all The Fund has drafted closing prior-period unliquidated instructions for the administrative obligations and accruals as they element of the Lawson accounts. The are paid, and address the weakness Executive Office has produced a in controls that resulted in third draft for review and agreement accruals for items that have by the Financial Services Section. already been paid (para. 33); In accordance with these instructions, the administrative accounts for the period 1 January 2006 through 31 December 2009 will be adjusted to give the correct balances, brought forward for 1 January 2010. The accounts will be closed as at 31 December 2010 using these instructions.",
"(d) The Fund implement improved Policy and procedure for long controls to ensure that amounts outstanding receivables have been outstanding are recovered in a implemented. Ongoing collection timely manner and establish a efforts are in place. policy on the accounting treatment of long outstanding amounts that are not recoverable (para. 43);",
"(e) The Fund consider raising a A provision for all receivables provision for doubtful debts in older than two years will be its financial records to reflect included in the Fund’s 2010 the recoverable amounts at the financial statements. In addition, reporting date (para. 44); the write-off of uncollectable receivables amounts began in 2010.",
"(f) The Fund revalue all balances Agreed. The year-end exchange rate denominated in foreign currencies will be used to translate at the operational rate of foreign-currency bank-account exchange prevailing at the balances to United States dollars reporting date (para. 48); for 2010 financial statements.",
"(g) The Fund take urgent steps to Ongoing. The Investment Management recover outstanding amounts of Division continued to make extensive foreign taxes (para. 51); efforts to prevent the imposition of taxes and to recover taxes withheld on its investment income in various jurisdictions. In particular, in January 2010 representatives of the Division met with representatives of the State Administration of Taxation of China, in Beijing, to address the formal recognition and implementation of the Fund’s tax-exempt status in that country. Representatives of the Division also initiated discussions with representatives of the Government of Brazil, which led to the issuance in April 2010 by the Brazilian Revenue Service of a broadly worded formal recognition of the Fund’s tax-exempt status in that country. In addition, the Division recently launched a request for proposal for global tax advisory services. The global tax adviser will assist the Division, among others, with its tax reclaim efforts around the world.",
"(h) The Fund record the receivable This has been taken into account and and related income from the United the situation rectified as part of Nations for the reimbursement of the account closure procedures. administrative expenses in the correct accounting period (para. 54);",
"(i) The Fund continue reconciling For a period of time, the Fund used the balance with the United the interfund balance to reconcile Nations to ensure that differences with the United Nations. The United are fully reconciled (para. 57); Nations also used this balance. The Fund has now reverted to using actual expenditures when reconciling with the United Nations.",
"(j) The Fund upload the correct Ongoing process. Erroneous items accrual amounts from the accounts have been identified. Proper entries payable module into the Lawson will be made for 2010 to correct system and adjust its accounts for these balances. differences noted (para. 63);",
"(k) The Fund perform regular The Financial Services Section is monthly reconciliations between awaiting a Cognos “cube” to support the accounts payable module and Lawson data for the generation of a the general ledger (para. 64); new report.",
"(l) The Fund reallocate debit This is an ongoing process. Efforts balances in accounts payable to began in 2010 and will continue accounts receivable, and complete throughout 2011 to correct these the data cleansing exercise to accounts. ensure that all amounts included in accounts payable were valid payables (para. 67);",
"(m) The Fund develop an ageing The Financial Services Section is tool to analyse benefits payable awaiting a Cognos “cube” to support (para. 70); Lawson data for the generation of a new report.",
"(n) The Fund apply article 46 of This is an ongoing exercise and is the Regulations and Rules of the part of the data cleansing to be Fund by adjusting benefit payables completed by the end of 2011. related to all amounts that are due for forfeiture (para. 75);",
"(o) The Fund comply with the As reported to the Board (see submission dates for financial A/65/9), the Fund is unable to statements as required by the comply with the 31 March completion Financial Regulations and Rules of date, owing to the reconciliation the United Nations (para. 79); procedures for payments from the organizations members of the Fund. The Investment Management Division submitted its part of the financial statements to the Fund secretariat on 11 March 2011. Going forward, the Division will ensure the submission of the financial statements to the secretariat by 15 March of the following year.",
"(p) The Fund develop and implement The footnotes will continue to be accounting policies that have a enhanced as part of IPSAS clear basis for how transactions implementation. This process will are accounted for in the continue as part of the 2010 and accounting records of the Fund, 2011 financial statements, with full and ensure that all accounting adoption of IPSAS for 2012. policies are clearly defined and disclosed in the financial statements (para. 84);",
"(q) The Fund compile The Fund report writer consolidates reconciliations or working papers general ledger accounts into line for all line items on the items for financial statements so financial statements and prepare that all financial statement numbers supporting schedules of can be traced to source documents. calculations or adjustments that are in agreement with the book of entries (para. 89);",
"(r) The Investment Management Implemented. This has been done in Division make a complete the notes to the 2010 financial disclosure in its financial statements that the Investment statements of the investments it Management Division submitted to the manages for the United Nations Fund secretariat on 11 March 2011, University Endowment Fund (para. specifically under funds under 92); management. The Division will consult further with the IPSAS consultants on these disclosures.",
"(s) The Investment Management The Investment Management Division Division reconsider its formal will provide full disclosure. It arrangements for providing a fund will fully disclose the independent management service to third arrangements established for the parties (para. 93); United Nations University Endowment Fund in the 1990s on the basis of audit recommendations. Those arrangements include a separate custody account and an independent outside fund manager. There has never been any commingling of funds with the Pension Fund.",
"(t) The Investment Management Ongoing. The majority of the Division continue to implement its controls have already been newly developed Risk Management implemented and efforts are under Manual (para. 111); way to implement the rest. The Risk Management Manual is a living document that is updated every quarter. Implementation is ongoing, and the target is to implement all controls. Some of the controls specified in the Risk Management Manual are manual, pending resource allocation; others are automated, pending infrastructure modernization. As these milestones are reached, these controls will be implemented.",
"(u) The Investment Management The Investment Management Division Division undertake a case-by-case has reviewed the catastrophic events review to identify lessons to be of 2008 and has taken note of the learned in respect of all realized risks posed by excessively loose investment losses for 2008-2009, monetary policy in place for and current ongoing unrealized extended periods of time. The loss positions (para. 112); Division has implemented a formal weekly and quarterly compliance and investment review of unrealized gains and losses exceeding 25 per cent.",
"(v) The Investment Management Implemented. This was done in the Division provide a clear notes to the 2010 financial description and disclosure of statements that the Investment investments in the financial Management Division submitted to the statements, by tabulating Fund secretariat on 11 March 2011. separately gains and losses on the The Division will consult further sale of investments, as well as with the IPSAS consultants on these disclosing all unrealized gains disclosures. and losses as at the balance sheet date (para. 113);",
"(w) The Investment Management Implemented. With the hiring of a Division address the remaining Compliance Officer in October 2009, open or in-process the Investment Management Division recommendations, given that the made important advances in its findings of OIOS reflected compliance programme. New policies significant shortcomings in have been implemented, including in investment compliance (para. 117); relation to personal trading, gifts and hospitality, and mandatory leave; other policies are pending review and acceptance. The Division’s Risk and Compliance Section, using its risk and compliance manuals and various automated systems, is monitoring Fund investments on a continuous basis to ensure that there is adequate oversight and enforcement of Division policies and standards. Multiple OIOS recommendations have been addressed and closed. There is a formal procedure in place for monitoring and addressing OIOS recommendations in a timely manner. Division staff training sessions have been conducted, including one with the Ethics Office. The Risk and Compliance Section has determined that at this time there are no wilful or recurring violations of Division policies or procedures that risk financial harm to the Pension Fund, or to its reputation, participants or beneficiaries.",
"(x) The Fund enhance its For 2009, the Fund included the 2009 disclosure of the major actuarial actuarial valuation as part of the assumptions and changes in financial statements. In addition, relation to the valuation of the for the first time the Fund recorded end-of-service liabilities in the the after-service health insurance notes to the financial statements and end-of-service liabilities on (para. 124); the face of the financial statements.",
"(y) The Fund develop a funding On hold. Any funding plan will plan for end-of-service require the United Nations to fund liabilities for consideration by one third of specific elements. its governing body (para. 131); Implementation of this recommendation has been placed on hold pending such a plan by the United Nations Secretariat.",
"(z) The Fund consider a revision The Fund is having continuing of its policy for the valuation of discussions with the United Nations annual leave liability in its and the IPSAS task force on whether implementation of IPSAS (para. annual leave should be valued as a 139); current liability or as an actuarial valuation.",
"(aa) The Fund implement measures 100 per cent inventory checks are to ensure that physical inventory carried out every 12 months. counts are conducted and Commencing in 2011, these checks reconciled to the asset register will be carried out in the fourth in a timely manner and on a quarter of each year owing to IPSAS regular basis (para. 144); implementation in 2012. Furthermore, in future signed proof of such checks will be maintained.",
"(bb) The Fund obtain the inventory Inventory reports are received from reports from the Property the Property Management and Management and Inventory Control Inventory Control Unit monthly. The Unit of the United Nations, and Fund requested access to ProcurePlus obtain full administrative access from the Office of Central Support to the ProcurePlus system for the Services by a memorandum dated purpose of updating all assets and 30 September 2010 with a follow-up obtaining inventory reports (para. dated 15 October 2010, and is 145); awaiting a response.",
"(cc) The Fund secretariat develop The Fund drafted a human resources a human resources plan (para. plan and presented it to the Pension 149); Board at its fifty-seventh session, in July 2010.",
"(dd) The Fund secretariat consider The Fund’s training and development ways to strengthen succession platform, which includes e-learning, planning as measured by the is constantly being developed and retention of retired staff (para. updated in consultation with 153); programme managers. The expertise of retired staff is utilized to assist in this process. See also paragraph 8 of the Chief Executive Officer’s memo to the Board of Auditors dated 15 April 2010.",
"(ee) The Fund address the (a) The Fund adheres to the annual recommendations of OIOS, given leave policy as provided by staff that they reflected significant regulation 5.1, “Staff members shall shortcomings in human resources be allowed appropriate annual management (para. 158); leave”, and article 105 of the Staff Rules. Fund management will encourage personnel in positions involving financial responsibilities to take an uninterrupted period of two weeks of annual leave each year. This is mandatory for Investment Management Division staff.",
"(b) The Executive Office manually prepared a staffing table, which is reconciled with the Integrated Management Information System (IMIS) on a monthly basis.",
"(c) A tracking system has been developed to monitor the recruitment of staff and will be used to develop benchmarks for each stage of the recruitment process. Until the Fund has sufficient data to calculate its own benchmark, the United Nations benchmark of 120 days will be used. Hiring managers are encouraged to carefully review applicants with a view to gender parity.",
"(d) Functional packages in IMIS must be proposed by the supervisor for the staff member, and will be reviewed and then authorized accordingly by the Executive Office. No staff members outside the Executive Office will be provided with the IMIS human resources functions without the approval of the Chief Executive Officer.",
"(e) Staff members working beyond the age of retirement are now under the category of “temporary” within the new contractual framework. The general procedures issued in January 2009 provide an annex for the workplan for and subsequent evaluation of temporary staff, to be completed by supervisors and managers.",
"(f) Supervisors, in consultation with department heads and staff members, clearly identify and document training needs in each staff member’s e-PAS. Departments will monitor or continue to monitor implementation.",
"(g) Compliance monitoring will be continued with the provision of statistical and individual feedback to department heads, with a focus on the timely completion of e-PAS.",
"(ff) The Fund secretariat Under current conditions, monthly reconcile monthly contributions reconciliations are unfeasible. from member organizations and However, a pilot plan has just begun follow up on unreconciled items in in order to test a system that would a timely manner (para. 162); permit monthly reconciliations.",
"(gg) The Fund secretariat A pilot that was started for the establish systems to verify the 2009 fiscal year was expanded in accuracy of the information 2010, with positive results. The provided by the member auto file transfer and edit check of organizations prior to year-end year-end files will increase the closing, and ensure that accuracy of reporting and decrease reconciliations are performed and the manual workload of the Fund. verified before the financial statements are finalized (para. 167);",
"(hh) The Fund secretariat upload (a) It is standard practice to evidence of follow-up with systematically upload, and scan to beneficiaries on the content the appropriate file in the content manager system where the manager system, evidence of all signatures on certificate of official correspondence of the Fund entitlement forms were different with its participants and from original signatures, and beneficiaries. This includes comply with procedure general follow-up letters sent out to 2001-68, which requires that all clarify signature discrepancies. available digital images of a Should such a document be missing beneficiary’s signature be from a file, it would be an uploaded on the content manager exception and due to an oversight. system (para. 174);",
"(b) As explained above, it is standard procedure to upload to the content manager system all documents pertaining to the files of the Fund’s beneficiaries and participants. An omission would be the result of an oversight and would be an exception.",
"(ii) The Fund secretariat improve The Fund has caught up with the its overall processing times for former backlog in transfer cases, transfer cases to be in compliance which had been due in part to long with the six-month processing delays experienced by the Fund’s target (para. 180); Actuarial Consultant and in part to policy issues that had to be clarified for certain cases before transfers could be finalized. Today, few cases are long outstanding and none is older than 50 days. The processing benchmark for these cases is therefore met in all cases.",
"(jj) The Fund secretariat The Financial Services Section is implement procedures to reconcile looking into the development of a the PENSYS payroll with the Lawson Cognos report in 2011 for such system (general ledger) on a reconciliation. regular basis (para. 184);",
"(kk) The Fund secretariat develop In progress. The Information and approve comprehensive user Management Systems Service account management procedures to introduced an “access, systems and ensure adequate user account data privileges” policy to address management, and implement the account management procedures. procedures to monitor the validity Role-based groups have been of user accounts on a regular introduced in the system, and access basis (para. 188); is defined through these roles when requested by the supervisor. Password resetting and security parameter setting have been implemented within these systems through the use of “active directory policy” and “single sign-on” scripts. Owing to the limitations within PENSYS, it was not considered feasible to introduce “regular logging and review of system activity” within these ageing systems, and thus those functions have been introduced as a requirement for the upcoming replacement with the Integrated Pension Administration System.",
"(ll) The Fund secretariat review Recommended for closure. The the request for change and request Information Management Systems for service procedures to take Service has reviewed the into account the areas requiring request-for-change and improvement as noted by the Board request-for-service procedures and (para. 193); has updated the request-for-change tool to include a field indicating whether the documentation is required along with the required testing and approvals for implementation.",
"(mm) The Fund secretariat monitor Recommended for closure. The adherence to change control Information Management Systems procedures and maintain adequate Service has implemented a change change control management management policy and has developed documentation (para. 195); a comprehensive and automated system for approvals and tracking. Processes have been put in place. The Service and supervisors currently monitor adherence to the change control procedures on a daily basis and enforce the policy of documenting any and all changes before implementation.",
"(nn) The Fund secretariat Recommended for closure. Despite the implement an information rejection of a “quality assurance technology quality assurance position”, the Information function to ensure that a level of Management Systems Service has confidence can be established and streamlined the requirements of this maintained, and implement controls function by writing a to prevent the use of the database segregation-of-duties policy. In administrator’s username and addition, the proper execution of password by the program analysts the Service’s segregation-of-duties (para. 202); policy is confirmed and monitored by documenting each step (e.g., analyst, developer, migratory) through the modification request process, which requires review by two individuals: the First Approving Officer and the Second Approving Officer. Changes have been put in place whereby the database administrator’s username and password are available only to the database administrator.",
"(oo) The Fund secretariat review Recommended for closure. Despite the the appropriateness of the access rejection of a “quality assurance rights of the program analysts position”, the Information with a specific focus on access to Management Systems Service has the production environment, and to streamlined the requirements of this set procedures to manage instances function by writing a where such access to the segregation-of-duties policy. production environment was Segregation of duties is maintained required (para. 204); by ensuring that tasks associated with analysis/ development and move-to-production are assigned to two individuals. Furthermore, a system modification plan has been put in place to manage and monitor this process.",
"(pp) The Fund secretariat ensure Recommended for closure. Despite the the existence of adequate rejection of a “quality assurance segregation of responsibilities in position”, the Information the process of migration of tested Management Systems Service has and approved changes from the streamlined the requirements of this development environment to the function by writing a test environment and from the test segregation-of-duties policy. environment to the production Segregation of duties is maintained, environment (para. 206). by ensuring that tasks associated with development, testing and move-to-production are assigned to different individuals. Furthermore, a System Modification Plan has been put in place to manage and monitor this process.",
"Annex I",
"Discussions in the United Nations Joint Staff Pension Board on the revised budget estimates for the biennium 2010-2011 and on the budget estimates for the biennium 2012-2013",
"Administrative matters of the Fund",
"(a) Revised budget estimates for the biennium 2010-2011",
"1. The secretariat of the United Nations Joint Staff Pension Fund requested a reduction in the budget estimates for the biennium 2010-2011 amounting to $21,772,800, compared with the revised appropriations of $176,318,500. The final revised appropriations for the 2010-2011 biennium would then amount to $154,545,700, of which $21,508,700 is chargeable to the United Nations under the cost-sharing arrangement.",
"(b) Budget estimates for the biennium 2012-2013",
"2. The proposed budget estimates for the biennium 2012-2013 provide for approved expenditures of $215,999,100 (before recosting), as compared with the total of $176,318,500 for the biennium 2010-2011. The budget submission presented covers administrative costs of $101,768,500, investment costs of $111,282,400, audit costs of $2,748,200 and Board expenses of $200,000. In addition, the estimates provide for one extrabudgetary post for after-service health insurance in the amount of $152,900 and an amount not to exceed $200,000 for the Emergency Fund.",
"Administrative costs",
"3. The proposed budget under administrative costs totals $101,768,500 before recosting, representing resource growth of 10.2 per cent compared with the appropriation for the 2010-2011 biennium, and 26.5 per cent compared with the revised budget estimates for the 2010-2011 biennium.",
"4. With regard to administrative costs, the secretariat emphasized that while the overall estimated cost of the Integrated Pension Administration System project remained unchanged, there had been a shift in the original timeline, owing to changes in the implementation strategy. This had resulted in underexpenditure on the project in the 2010-2011 biennium and a request for those funds in the 2012-2013 biennium. In addition, and in line with the secretariat’s medium-term human resources strategic plan, a request for 16 additional established posts and 3 reclassifications was proposed, as set out below:",
"New posts",
"Number\tCategory/level\tPost title \n1\tD-1\tChief, Technical Evaluation and RiskManagement\n1\tP-5\tChief, Client Service, RecordsManagement and Distribution\n1\tP-3\tChief, Records Management andDistribution\n2\tGeneral Service(Other level)\tBenefits Assistant\n 1 P-4 Accountant, IPSAS Specialist \n1\tGeneral Service(Principal level)\tSenior Accounting Assistant\n 1 P-4 Accountant \n 1 P-5 Chief, Security Officer \n 1 P-5 Chief, Enterprise Architecture \n1\tGeneral Service(Other level)\tLegal Assistant\n 1 P-4 Finance and Budget Officer \n 1 P-3 Human Resources/Training Officer \n1\tGeneral Service(Principal level)\tHuman Resources Assistant\n1\tGeneral Service(Other level)\tTravel Assistant\n1\tGeneral Service(Principal level)\tSenior Facilities Management Assistant",
"Reclassifications",
"Number\tCategory/level\tReclassifications \n 1 P-4 to P-5 Chief, Payments Unit \n 1 P-4 to P-5 Cashier \n 1 P-5 to D-1 Chief, Legal Officer",
"Investment costs",
"5. The proposed budget under investment costs totals $111,282,400 before recosting, representing resource growth of 37.1 per cent compared with the appropriation for the 2010-2011 biennium ($81,197,500), and 56.1 per cent compared with the revised budget estimate for the 2010-2011 biennium ($71,289,000).",
"6. Under investment costs, resources requested by the Representative of the Secretary-General included 20 additional posts, as indicated below, and additional resources for contractual services in the area of portfolio management for the implementation of the Leadership Fund, an increase in small capitalization, the master record-keeper and information technology projects.",
"New posts",
"Number\tCategory/level\tPost title \n 1 P-5 Senior Legal Officer \n 1 P-4 Investment Committee Secretary \n1\tP-5\tSenior Investment Officer — ExternalManagement\n1\tP-4\tInvestment Officer — Fixed Income andForeign Currency\n1\tP-4\tInvestment Officer — AlternativeInvestments\n1\tP-4\tInvestment Officer — Global EmergingMarkets\n1\tP-4\tInvestment Officer — Trade ExecutionOfficer\n1\tP-3\tInvestment Officer — North AmericanEquities\n1\tP-3\tInvestment Officer/Analyst — RealEstate\n1\tGeneral Service(Other level)\tTrade Execution Assistant\n1\tP-4\tDue Diligence and QuantitiesStrategies Risk Manager\n1\tP-3\tCompliance Analyst and OperationalRisk Manager\n1\tGeneral Service(Other level)\tAssistant to the Director, Risk andCompliance\n 1 P-4 Chief, Accounting and Reporting \n 1 P-3 Finance Officer, Reconciliations \n 1 D-1 Chief, Information Technology Officer \n 1 P-4 Data Management Officer \n 1 P-3 Information Security Officer \n 1 P-3 Reconciliation Administrator \n1\tGeneral Service(Other level)\tAdministrative Assistant",
"Audit costs",
"7. The Fund requested a total of $2,748,200 for external ($774,700) and internal ($1,973,500) audit costs, representing net growth of $103,200, of which $113,500 is attributable to the external auditors.",
"Pension Board expenses",
"8. A total of $200,000 was requested to cover the costs of two Board sessions and travel expenses of the Chair and the Search Committee for the appointment of the next Chief Executive Officer.",
"Extrabudgetary funding",
"9. Extrabudgetary resources amounting to $152,900 were requested for the one General Service (Other level) post to be funded by member organizations participating in the after-service health insurance scheme.",
"Emergency Fund",
"10. An amount not to exceed $200,000 was requested to supplement the Emergency Fund.",
"Budget working group",
"11. Comments and recommendations made by the budget working group and endorsed by the Board are set out below.",
"12. In accordance with the decision taken by the Board at its fifty-seventh session, the budget working group began its work on 6 July 2011.",
"13. The original composition of the working group as agreed by the Board was changed with the replacement of one representative of the executive heads group and one representative of the participants group. The final composition of the working group was as follows:",
"Ms. J. Forrest (International Telecommunication Union), representing governing bodies",
"Mr. G. Kuentzle (United Nations), representing governing bodies",
"Ms. Y. Mortlock* (International Organization for Migration), representing executive heads",
"Ms. S. Van Buerle (United Nations), representing executive heads (elected as Chair)",
"Mr. H. Baritt* (World Health Organization), representing participants",
"Mr. C. Santos-Tejada (United Nations), representing participants",
"Mr. A. Castellanos del Corral (Federation of Associations of Former International Civil Servants), representing pensioners",
"Mr. T. Teshome (Federation of Associations of Former International Civil Servants), representing pensioners",
"* New member.",
"14. The working group had before it documents relating to: the status of Pension Fund implementation of the International Public Sector Accounting Standards (IPSAS), revised budget estimates for the biennium 2010-2011, the Fund’s strategic framework for the period 2012-2013, and budget estimates for the biennium 2012-2013. The working group benefited from valuable interactions with members of the secretariat and the Investment Management Division.",
"Performance report for the biennium 2010-2011",
"15. As indicated in paragraph 195 of the report on its fifty-fifth session (A/63/9) and paragraph 137 of the report on its fifty-seventh session (A/65/9), the Board decided that the Pension Fund secretariat should provide to the Board on an annual basis, in the context of the programme budget performance report, a detailed analysis of the budgetary variances between the approved budget and actual expenditures. While noting that some information had been provided, the working group was of the view that a more detailed breakdown of the variances in the main object of expenditure groups should be provided in future performance reports. It was also noted that IPSAS required an explanation of variances between the budget and actual expenditure, which would improve the Board’s consideration of future budget submissions. Furthermore, where changes in approach, strategy of implementation, etc., of projects or initiatives had a significant impact on the programme of work and hence on the level of expenditures in the period, this should be more fully explained. It was of particular note that some of the anticipated underexpenditure for the biennium was in fact a rephasing of requirements into the subsequent budget period, a condition that should be reflected in a new submission to facilitate the review of the requests, especially in the context of the Integrated Pension Administration System project.",
"16. In this context, the working group was of the view that resources programmed for a given biennium should, as a matter of principle, be spent for the purposes approved, during that biennium. The working group also noted recurring underexpenditure for “contractual services” in the Investment Management Division. It expressed appreciation for the Division’s efforts to act in a cost-conscious manner and encouraged the continuation of such actions to bring budget estimates further into line with actual performance.",
"Strategic framework for the period 2012-2013",
"17. The working group acknowledged the continuing efforts made to improve on the results-based presentation, notably through more focused objectives, expected accomplishments and indicators of achievement. It recommended that the Fund align the formulation of its logistical frameworks with the SMART principles —specific, measurable, achievable, realistic and time-bound — which would enable the Board to effectively evaluate the performance of the Fund in delivering the results expected. The working group noted that the strategic framework would require changes in line with decisions to be taken on the budget for the biennium 2012-2013.",
"18. In addition, the working group noted that, according to the established budgetary process of the United Nations, the strategic framework would have been submitted to the Board in an off-budget year to enable it to provide the Fund with relevant guidance on priorities and the programme of work on which the budget for the subsequent financial period would be formulated. As this was the first year in which the framework had been provided since the Board’s decision requiring the submission of a strategic framework, it was recognized that the established cycle would be followed as of 2012, when the strategic framework for the period 2014-2015 would be submitted to the Board at its fifty-ninth session.",
"Budget estimates for the biennium 2012-2013",
"19. The guiding principle followed by the working group in reviewing the budget proposals and the concerns of its various constituent groups was that the highest level of efficiency, effectiveness and cost-consciousness must be ensured in delivering on the mandate of the Fund, with a particular focus on initiatives to increase returns, reduce risks and/or provide better services to those constituents. Overall, the working group reviewed the justifications provided for the resource increases sought. In a number of cases, the group was cognizant of the fact that the impacts and implications of IPSAS, the Integrated Pension Administration System and other initiatives were not yet fully known. Furthermore, in the view of the working group, it was premature to seek additional resources that would lock a staffing structure in place before the Chief Financial Officer, who had yet to be recruited, could express his or her views on the matter. The working group also believed that further synergies could be achieved through greater integration of the New York and Geneva operations. The Chief Executive Officer reported to the group that the opportunities for outsourcing were being examined. The working group recommended a closer review of offshoring and outsourcing options, particularly in view of the upcoming expiration of current leases, to achieve efficiencies in administrative costs.",
"20. Moreover, the working group was fully aware of the financial situation faced by both the participating organizations and Member States, notably the need to achieve efficiencies and effective ways of delivering their work. In the case of the Pension Fund, the working group noted the expansionary nature of the proposals and the heavy reliance on the future anticipated benefits of the Integrated Pension Administration System (a project still in progress), requiring further explanation regarding what actions had been or could now be taken by the Fund to improve its work and the efficiencies and cost savings, including staffing structure changes, that such a project would bring.",
"21. The budget working group recognized the consistent growth in the number of participants, which had increased 4.2 per cent over the past 10 years. During the same period, there had been a substantial increase in the complexity of administering participants, which was due largely to the increase in the number of provisions of the Fund’s pension adjustment system.",
"22. Over the past few years, the Fund has also seen unprecedented growth in the budget. The proposed 2012-2013 budget of $216 million represented a 23 per cent increase compared with the 2010-2011 budget, which had been set at $176.3 million, and a 68 per cent increase compared with the 2008-2009 budget of $128.2 million.",
"23. In order to make a more meaningful evaluation of the overall Administration budget, the working group reviewed “per-participant” costs (total costs divided by number of participants). The calculations, which included adjustments for inflation, showed that the cost of administering a participant had averaged $197 per year over the past 10 years. The proposed budget of $216 million, however, equated to $248 per participant, representing a 26 per cent increase.",
"Cost per participant, adjusted for inflation",
"(United States dollars)",
"[]",
"24. The Chief Executive Officer confirmed to the working group that the Administration used a number of key performance indicators to track the effectiveness and efficiency of the Fund. The working group would recommend that the Fund make efforts to link future budget proposals to those indicators.",
"Budget presentation and methodology",
"25. The working group noted with appreciation that the decision taken by the Board at its fifty-seventh session regarding the submission of future proposed budget documents to Board members 90 days prior to the Board session had been fully respected. This facilitated early review by the budget working group. It was noted that attempts had been made to align the presentation of the submission as closely as possible with the methodology used by the United Nations.",
"26. However, the working group made the general observation that the Fund needed to revise the presentation of its budget documentation, with clearer and more concise justifications for changes, to facilitate decision-making by the Board. A quality review of the documentation would also assist in eliminating inconsistencies and ensure that cross-cutting initiatives were presented in an aggregated manner, using tables/graphs where appropriate, to facilitate an understanding of the initiatives. Furthermore, as previously recommended by the Board, the Fund should continue to ensure greater alignment with the budget presentation of the United Nations, in particular as to the differentiation between growth and changes resulting from costing parameter changes, namely, currency, inflation or standard salary costs.",
"27. The working group noted with concern that little or no progress had been made with regard to the integration and consolidation of certain functions and services, which had favoured the continuation of a silo approach to operations; similarly, it was not clear what work had been done to implement cost-savings initiatives regarding back-office tasks. The Board might wish to consider requesting the Chief Executive Officer and the Representative of the Secretary-General to jointly study options for submission at a future Board session.",
"Information technology",
"28. The working group noted that the Fund had sought approximately $66 million under the Information Systems Section and the Information Management Systems Service for activities related to information technology. While that level of resources might ultimately prove to be appropriate, it would be opportune, given the growing complexity of the proposals presented to the Board, to prepare and present to the Board, at its fifty-ninth session, a concise, comprehensive and integrated information technology strategy linked to the budget and incorporating validations by independent information technology specialists in the relevant fields of operation of the Fund.",
"29. In this regard, the working group noted the Fund’s heavy reliance on the International Computing Centre. Notably, when reference was made to the Centre’s budget, the working group was made aware that the Pension Fund was the second largest user of the Centre’s services, after the Department of Field Support. The working group was advised that, owing to the nature of the Centre, no competitive bidding was undertaken for its services, which raised concern as to whether this was the most cost-effective and economical means of meeting the needs of the Fund without compromising data security or confidentiality. At the same time, in interviews with representatives of the Fund, it had been noted that a separate staffing capacity had been engaged by the Fund through the Centre, with approximately 13 staff at varying levels, ranging from General Service (Other level) to P-5, engaged through contractual services, with some having been on board since 2004.",
"International Public Sector Accounting Standards",
"30. The working group was pleased to hear the report from the Chief Executive Officer that good progress had been made on the IPSAS project and that there was a high degree of confidence that the Fund would meet the implementation deadlines. The remaining issues relating to fixed assets and employee benefits seemed to been well addressed. The existing finance staffs in both the secretariat and the Investment Management Division were well versed in the Standards. The working group believed that in the long term, IPSAS would be incorporated into the duties of the finance line management, much in the same way as the implementation of the United Nations system accounting standards had been coordinated.",
"31. The working group did not believe that the establishment of two new posts dedicated to IPSAS was necessary; some funding for short-term consultancies to assist with the financial statements, impairment testing and policy documentation was deemed to be more appropriate.",
"Integrated Pension Administration System",
"32. With regard to the Integrated Pension Administration System, the working group welcomed the Chief Executive Officer’s assertions that he regarded the project as a top priority. It was noted that the Integrated Pension Administration System would fundamentally change the organizational approach from one that was case-driven to one that was process-driven. It was recalled that the System was aimed at improving both efficiency and service delivery. In this context, the working group considered it imperative that the review and improvement, as appropriate, of all relevant existing processes be an integral part of the entire Integrated Pension Administration System change management process. The working group would also encourage the Fund to ensure that the project was not driven primarily by information technology, as full ownership by the substantive areas was indispensable.",
"33. The working group recommended that the Board request a report on the expected organizational structure of the Fund after the implementation of the Integrated Pension Administration System, to be considered in the context of the next budget submission, at its sixtieth session. The report should also contain a strategic evaluation of all posts affected by the implementation of the System.",
"34. The Fund had scanned 639,499 documents in 2010, comprising 1,120,602 pages. The Integrated Pension Administration System was intended to replace the entitlement, accounting and document management systems. The working group noted that in the project, staffing resources seemed to have been allocated to both accounting and entitlements, but no specific resources were dedicated to document management. The working group would encourage the Fund to monitor the project skill sets and to ensure that resources were aligned to address document management.",
"35. The current budget covered additional contractual services and other costs that were required in order to support legacy systems that would be replaced by the Integrated Pension Administration System. The Chief Executive Officer had provided assurances that the System would be delivered according to the project schedule and on or possibly below budget.",
"36. The Integrated Pension Administration System project would have a major impact on the delivery of services. Therefore, the working group would recommend that a revised organization chart be provided with the next budget submissions.",
"Resource proposals",
"Posts",
"37. In line with the guiding principle and criteria outlined in paragraph 19 above, and following a series of consultations with the executives and managers involved, the working group proceeded with the review of posts as follows. The Fund sought a total of three reclassifications (3 secretariat posts) and 36 new posts (16 Administration posts and 20 Investment Management Division posts). Having reviewed each post, and following dialogue with representatives of the secretariat and the Division, the working group proposed the following:",
"(a) Not to support the reclassifications as proposed;",
"(b) To support seven new posts in the Investment Management Division, as reflected in table 1;",
"(c) To support the positions set out in table 2 as general temporary assistance positions (not posts, as originally requested) for the duration and purpose indicated;",
"(d) Not to support the new P-4 Finance and Budget Officer post in the Executive Office of the Fund. On the basis of the explanation that the functions of the post had increased in complexity, the working group supported the reclassification of the existing P-3 Finance and Budget Officer post to the P-4 level.",
"Table 1",
"Section\tPost\tNumberofposts\tCategory \n B. Investments \nProgramme ofwork \nInvestments\tInvestment Officer — AlternativeInvestments\t1\tP-4\n\tInvestment Officer — GlobalEmerging Markets\t1\tP-4\n\tInvestment Officer — TradeExecution\t1\tP-4\n\tInvestment Officer — NorthAmerican Equities\t1\tP-3\nRisk andCompliance\tDue Diligence and QuantitativeStrategies Risk Manager\t1\tP-4\nOperations\tFinance Officer, Reconciliations\t1\tP-3\nProgrammesupport \nInformationSystems\tData Management Officer\t1\tP-4",
"Table 2",
"Section\tGeneral temporaryassistancepositions\tNumber\tCategory\tRemarks \nA.Administration \nProgramme ofwork \nOperations\tChief, RecordsManagement andDistribution(InformationManagementOfficer)\t1\tP-3\tNon-recurrent,24months\n\tBenefitsAssistant forclient services(New York)\t1\tGeneralService(Otherlevel)\tNon-recurrent,24months\n B. Investments \nOffice of theDirector\tLegalOfficer/Office ofLegal Affairs^(a)\t1\tP-4\tNon-recurrent,12months\nProgramme ofwork Operations\tChief, Accountingand Reporting\t1\tP-4\tToremainundergeneral temporaryassistance;not \n convertedto apost\nProgrammesupport \nInformationSystems\tStatic DataAdministrator\t1\tP-3",
"^(a) Resources provided for services to be obtained from the Office of Legal Affairs.",
"Administration",
"38. Under the Information Management System Service, following a discussion with the Fund on the prioritization of its information technology projects in the light of ongoing dedicated capacity required for Integrated Pension Administration System implementation, the working group did not support the Integrated Management Initiative and proposed a reduction in the budget by an amount of $2,543,300 (before recosting). This would result in the necessary reduction, under contractual services ($1,133,300) and furniture and equipment ($1,410,000), of the Administration budget.",
"Temporary posts",
"39. The working group supported the continuation of the 17 temporary posts for the Integrated Pension Administration System project at the following levels: 1 P-5, 7 P-4, 4 P-3 and 5 General Service (Other level).",
"Other staff costs",
"40. The working group agreed to the amount sought under other staff costs, adjusted for the additional requirements for the two general temporary assistance positions approved in operations/administration, as reflected in table 2.",
"Consultants",
"41. The working group supported the amount sought amounting to $300,000 (before recosting).",
"Travel",
"42. The working group proposed a reduction of 10 per cent in the revised appropriation level.",
"Contractual services",
"43. The working group supported the amount sought, as adjusted for the non‑approval of resources for the Integrated Management Initiative project.",
"Hospitality",
"44. To remain at the revised appropriation level.",
"General operating expenses",
"45. The working group agreed to the amount sought under administration. The working group noted an increase in general operating expenses due to bank charges of $3 million. This represented an increase of approximately $500,000 compared with the previous biennium. The working group requested that the Fund review the banking mechanisms in an effort to reduce these fees. A summary report should be provided with the next budget submission.",
"Supplies and materials",
"46. The working group supported the amount sought.",
"Furniture and equipment",
"47. The working group supported the amount sought, as adjusted for the non‑approval of resources for the Integrated Management Initiative project.",
"48. Table 3 summarizes the recommendations on non-post items, as explained above, for administration.",
"Table 3",
"(Thousands of United States dollars)",
"Other staff costs 3 910.3",
"Consultants 300.0",
"Travel 1 224.5",
"Contractual services 31 847.9",
"Hospitality 4.0",
"General operating expenses 14 248.0",
"Supplies and materials 185.8",
"Furniture and equipment 2 011.0",
"Total non-post resources 53 731.5",
"Investment Management Division",
"Other staff costs",
"49. The working group proposed resources at the revised appropriation level, adjusted for additional requirements for the two general temporary assistance positions (non-recurrent resources for one P-4 Legal Officer in the Office of Legal Affairs for 12 months and one P-4 Chief, Accounting and Reporting, for 24 months) as reflected in table 2.",
"50. In addition, the working group agreed to the establishment by the Investment Management Division of one P-2 Risk and Compliance Implementation Analyst and one 1 P-3 Static Data Administrator, to be accommodated within the overall resources approved for other staff costs (as reflected in table 3).",
"Consultants",
"51. On the basis of a review of the total resources for IPSAS, the working group proposed that the requirements estimated at $500,000 be reduced to $250,000. Accordingly, the provision under consultants would amount to $1,177,000 (before recosting).",
"Travel",
"52. The working group proposed maintenance at the revised appropriation level.",
"Contractual services",
"53. Under contractual services, an amount of $11,250,000, requested for the Leadership Fund, was not supported by the working group at this time. The working group was of the view that a move in this direction was tantamount to a change in the investment strategy that should be discussed at the Board session and supported by unambiguous views on the part of the Investments Committee.",
"54. Furthermore, as the working group had been advised that the recent contract for the custodian/master record-keeper services had been negotiated at an amount less than anticipated, it was proposed that this line of expenditure be reduced by an amount of $4,138,300.",
"Hospitality",
"55. The working group proposed maintenance at the revised appropriation level.",
"General operating expenses",
"56. The working group agreed to the amount sought.",
"Supplies and materials",
"57. The working group proposed maintenance at the revised appropriation level.",
"Furniture and equipment",
"58. The working group proposed maintenance at the revised appropriation level.",
"59. Table 4 summarizes the recommendations on non-post items, as explained above, for the Investment Management Division.",
"Table 4",
"(Thousands of United States dollars)",
"Other staff costs 2 892.2",
"Consultants 1 177.0",
"Travel 2 000.0",
"Contractual services 62 532.1",
"Hospitality 22.0",
"General operating expenses 4 485.1",
"Supplies and materials 160.0",
"Furniture and equipment 700.0",
"Total non-post resources 73 968.4",
"Pension Board expenses",
"60. The working group fully supported the resources requested to cover the Board expenses.",
"Extrabudgetary funding",
"61. The working group supported the resources for one General Service (Other level) staff to be funded by member organizations participating in the scheme.",
"Discussion in the Board",
"62. The Board noted with appreciation that the budget document had been provided as requested, 90 days prior to the opening of the session, allowing for a thorough review of the document by the budget working group.",
"63. The executive heads supported the outcome of the working group and were pleased that the budget presentation had been carried out in compliance with International Public Sector Accounting Standard No. 24 and had been prepared within the time frame requested by the Board. The executive heads were concerned that inaccuracies in the information presented in the proposal had complicated the analysis conducted by the working group and the consideration by the Board. They recommended that analysis be carried out thoroughly, making use of ratios as appropriate. They also commented that budgets approved in prior periods had been underspent.",
"64. Governing bodies endorsed the recommendations of the working group. They recommended that at future meetings, the document be introduced earlier, together with opening statements by key officials, so as to inform the considerations of the working group more fully.",
"65. The participants group supported the recommendations of the working group, noting that the asset-liability management studies had recommended a diversification of the Fund’s assets towards alternative assets. The group recalled the recommendation, made at the previous session of the General Assembly, to proceed with the greatest of prudence. It also recalled that professional advancement should not be impeded by budgetary constraints.",
"66. The Federation of Associations of Former International Civil Servants supported the working group’s conclusion and expressed its thanks to the working group.",
"67. It was also commented that comparator bases should be modified to allow for inflation and currency effect as necessary, that in an overall context of austerity possible cost reductions should be sought in items such as travel and information technology, and that budget requests should be closely linked to strategic goals. With regard to the International Public Sector Accounting Standards, any system changes likely to have an impact on member organizations should be flagged well in advance.",
"68. Members of the Board also stated that:",
"(a) The Fund should take a critical look at the methodology and assumptions made when budgeting for contractual services;",
"(b) The table contained in the report of the budget working group reflecting the trend in cost per participant was useful and could serve as a model for the Fund in carrying out further analysis.",
"69. The Representative of the Secretary-General made a statement to the Board in which he cautioned that the opportunity costs of foregone investment returns, as a result of savings achieved on investment management, could far exceed those apparent savings. As the fiduciary of the Fund, the Representative of the Secretary-General placed on record his worries and concerns that the structural underfunding of the Investment Management Division would represent an unacceptable risk for the generation of adequate returns in future to support existing and projected liabilities.",
"70. The Chief Executive Officer thanked the working group and expressed appreciation for the group’s support of key projects including the Integrated Pension Administration System and the International Public Sector Accounting Standards. He referred to the chart contained in the report of the working group reflecting cost per participant, providing further clarification that whenever an increase in cost per participant occurred, it was due to a project, and the cost per participant would again decrease after the completion of the project. As examples, he referred to the spike in 2004 relating to the relocation of the Pension Fund offices from the Secretariat Building to 1 Dag Hammarskjöld Plaza, and to the spike in 2012-2013 corresponding to the Integrated Pension Administration System project, which included 17 temporary posts that would be eliminated after the completion of the project.",
"71. The Deputy Chief Executive Officer confirmed that the target operating model related to the Integrated Pension Administration System project remained unchanged, with the same objectives and benefits. The change that had occurred related to the location of the new information technology infrastructure needed for the project at the North American data centre in New Jersey. The decision to install the project’s information technology infrastructure at the Centre had followed the identification of serious vulnerabilities at 1 Dag Hammarskjöld Plaza data centre. The Deputy Chief Executive Officer also indicated that all substantive groups within the Fund were involved with the project and that an Integrated Pension Administration System steering committee was in place. He confirmed that the project was expected to be completed as presented and within budget.",
"Recommendations of the Board",
"72. On the basis of the recommendations of the working group, the Pension Board approved, for submission to the General Assembly, the proposed budget estimates amounting to $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Board expenses ($204,400). This amount would be apportioned $173,260,600 to the Pension Fund and $20,903,400 to the United Nations under the cost-sharing agreement.",
"73. In addition, the Board approved resources amounting to $156,800 from extrabudgetary funding for the processing of after-service health insurance premium payments for a number of member organizations upon their request.",
"Annex II",
"United Nations Joint Staff Pension Fund: approved organization chart for the biennium 2010-2011",
"Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.",
"^(a) One extrabudgetary General Service (Other level) post is funded by member organizations.",
"^(b) Temporary posts authorized for the Integrated Pension Administration System project.",
"^(c) One of the two P-4 temporary posts authorized for the Information Management Systems Service for the biennium 2010-2011 was authorized for 12 months only. It was abolished in 2011, reducing the number of temporary P-4 posts in the Service to one.",
"Annex III",
"United Nations Joint Staff Pension Fund: proposed organization chart for the biennium 2012-2013",
"[]",
"Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.",
"^(a) One extrabudgetary General Service (Other level) post is funded by member organizations.",
"^(b) Temporary posts authorized for the Integrated Pension Administration System project.",
"Annex IV",
"United Nations Joint Staff Pension Fund: number of participants by member organization as at 31 December 2010",
"Member organization Number of participants\n 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010",
"United Nations^(a) 44 059 43 869 43 864 43 751 44 958 50 126 54 953 56 287 57 541 59 542 64 092 68 853 74 575 79 933 82 576 85 617",
"International Labour 2 823 2 632 2 599 2 620 2 612 2 650 2 747 2 863 3 044 3 221 3 330 3 261 3 366 3 572 3 642 3 741 Organization",
"Food and Agriculture 5 735 5 540 5 435 5 387 5 340 5 315 5 344 5 447 5 648 5 822 5 918 5 774 5 735 5 722 6 011 6 145 Organization of the United Nations",
"United Nations 2 561 2 667 2 588 2 650 2 629 2 452 2 414 2 437 2 517 2 528 2 508 2 469 2 526 2 553 2 602 2 632 Educational, Scientific and Cultural Organization",
"World Health 6 125 5 965 5 935 6 180 6 409 6 817 7 375 8 181 8 966 9 498 9 932 10 072 10 157 10 435 11 029 10 986 Organization",
"International Civil 820 826 852 852 841 867 873 883 863 863 826 806 795 775 784 791 Aviation Organization",
"World Meteorological 333 316 312 314 327 329 322 310 303 287 302 334 332 319 315 309 Organization",
"General Agreement on 476 538 529 542 7 4 3 1 — — — — — — — — Tariffs and Trade^(b)",
"International Atomic 2 146 2 057 2 053 2 075 2 068 2 076 2 125 2 168 2 207 2 217 2 261 2 278 2 273 2 229 2 245 2 307 Energy Agency",
"International 315 324 323 310 315 325 330 340 344 351 343 338 337 320 323 313 Maritime Organization",
"International 908 885 905 921 965 953 967 1 006 971 875 871 854 843 823 831 830 Telecommunication Union",
"World Intellectual 611 672 712 807 955 1 033 1 106 1 189 1 240 1 206 1 166 1 130 1 134 1 139 1 154 1 156 Property Organization",
"International Fund 302 295 298 332 338 344 383 435 462 488 506 502 519 526 534 540 for Agricultural Development",
"International Centre 29 31 29 32 35 37 33 36 34 39 39 40 38 37 36 34 for the Study of the Preservation and Restoration of Cultural Property",
"European and 10 11 11 12 12 12 12 11 11 11 11 12 12 13 13 13 Mediterranean Plant Protection Organization",
"United Nations 1 455 1 163 1 064 921 851 810 813 821 786 791 783 753 759 779 825 826 Industrial Development Organization",
"International Centre — 136 138 141 142 145 145 150 152 162 171 173 177 191 194 190 for Genetic Engineering and Biotechnology",
"World Tourism — 70 72 74 78 79 79 83 88 95 90 99 100 95 95 95 Organization",
"International — — 18 20 25 27 30 33 34 34 36 36 36 38 34 34 Tribunal for the Law of the Sea",
"International Seabed — — 3 30 28 31 28 34 34 28 30 29 29 32 31 32 Authority",
"International — — — — — — — — — 298 431 578 719 809 865 908 Criminal Court^(c)",
"Inter-Parliamentary — — — — — — — — — — 37 40 45 45 48 49 Union^(d)",
"International — — — — — — — — — — — — 2 059 2 419 3 134 3 261 Organization for Migration^(e)",
"Special Tribunal for — — — — — — — — — — — — — — 259 329 Lebanon^(f)",
"Total number of 68 708 67 997 67 740 67 971 68 935 74 432 80 082 82 715 85 245 88 356 93 683 98 431 106 112 117 121 participants 566 804 580 138",
"Total number of 16 18 20 20 19 19 19 19 19 20 21 21 22 22 23 23 member organizations",
"^(a) The number of United Nations participants for 2006 was revised downward by 2, from 68,855 to 68,853.",
"^(b) The General Agreement on Tariffs and Trade withdrew from the United Nations Joint Staff Pension Fund as from 31 December 1998.",
"^(c) The International Criminal Court became the twentieth organization member of the Fund as at 1 January 2004.",
"^(d) The Inter-Parliamentary Union became the twenty-first member as at 1 January 2005.",
"^(e) The International Organization for Migration became the twenty-second member as at 1 January 2007.",
"^(f) Special Tribunal for Lebanon became the twenty-third member as at 1 January 2009.",
"[1] It is estimated that Operations will process some 55,400 affiliations of new participants, transfers in and out and separations during the biennium 2012-2013; this relates to specific and measurable work tasks carried out by Operations, representing an 80 per cent increase over the biennium 1998-1999.",
"[2] The total annuity value of the additional periodic benefits to be paid out over some 30 years and the cash settlements calculated, verified and set up in Operations for payment each year is estimated to represent nearly $1 billion."
] | A_66_266 | [
"Sixty-sixth session",
"A/66/150.",
"Items 133 and 134 of the provisional agenda*",
"Programme budget for the biennium 2010-2011",
"Proposed programme budget for the biennium 2012-2013",
"Administrative expenses of the United Nations Joint Staff Pension Fund and transitional measures for financial reporting under the International Public Sector Accounting Standards",
"United Nations Joint Staff Pension Board",
"Contents",
"2. Budget estimates for the biennium 2010 - 2011: performance report 4A. Administrative costs 7B. Investment costs 12C. Audit costs 16D. Extrabudgetary costs 16E. Board costs 16E. Proposed budget for the biennium 2012 - 2013 16A. Introduction 16B. Administrative costs 25C. Investment costs 48D. Audit costs 64E. Board costs 654. Emergency Fund 666.",
"The present report contains the revised budget for the biennium 2010-2011 for the United Nations Joint Staff Pension Fund, which shows a decrease of $21172,800 in appropriations. The decrease relates to the level of expenditure for administrative costs ($11,830,000). Investment costs ($9,908,500) and audit costs ($112,100). The reduced expenditure was offset in part by an increase of $77,800 for the Pension Board. Accordingly, the revised appropriation for the biennium 2010-2011 amounts to $154,545,700 for administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Under the cost-sharing arrangement, of that amount, $21,508,700 would be shared by the United Nations. The report also contains budget estimates for the period from 1 January 2012 to 31 December 2013, amounting to $1916,200 (before recosting) for administrative costs ($96,873,100), investment costs ($9179,300), audit costs ($2,748,200) and Pension Board expenses ($200). The present report provides for a total of 227 continuing posts, 17 temporary posts, 7 new posts and 1 reclassification. Resource requirements ++ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ^ (b) Includes 18 temporary posts for the Integrated Pension Administration System; one post at the P-4 level was abolished in 2011.",
"Overview",
"1. The United Nations Joint Staff Pension Fund, which was established by the General Assembly in 1949 to provide retirement, death, disability and related benefits to staff members of the United Nations and other organizations admitted to membership, currently has 23 member organizations. As at 31 December 2010, there were 184,968 active participants and pensioners.",
"2. In accordance with the Regulations adopted by the General Assembly, the Fund is administered by the United Nations Joint Staff Pension Board, the Staff Pension Committee of each member organization, the secretariat of the Board and the secretariat of the Staff Pension Committee of each member organization. One third of the Pension Board members are selected by the General Assembly and the corresponding governing bodies of the other member organizations, one third by the executive heads and one third by the participants. The Board reports to the General Assembly on the operations of the Fund and on the investment of its assets. If necessary, the Board recommends that the Regulations be amended to provide, inter alia, for the proportion of participants ' contributions (currently 7.9 per cent of pensionable remuneration) and the proportion of contributions of member organizations. Examples (currently 15.8 per cent), eligibility for participation and the benefits that participants and their dependants may be entitled to.",
"II. Budget estimates for the biennium 2010-2011: performance report",
"3. Table 1 summarizes the total estimated expenditures for the biennium 2010-2011. In order to make the Fund ' s performance report more meaningful, the expenditure for the biennium consists of two distinct components: (a) Actual expenditures for the 17-month period from 1 January 2010 to 31 May 2011; and (b) estimated expenditures for the seven-month period from 1 June to 31 December 2011. Actual expenditures for the period from 1 January to 31 May 2011 were determined on the accrual basis of accounting, meaning that transactions and other matters were recognized in the financial statements when they occurred and not when cash or cash equivalents were received or paid.",
"4. In its resolution 64/245, the General Assembly approved appropriations totalling $176,318,500 for the biennium 2010-2011, comprising administrative costs ($92,281,400), investment costs ($81,292,000), audit costs ($2,645,000) and Board expenses ($100,000). Of that amount, $154,749,100 is charged directly to the Fund and $21,569,400 is shared by the United Nations. In addition, resources amounting to $158,200 were approved for extrabudgetary costs, to be provided by a number of member organizations. In its resolution 65/249, the Assembly approved the redeployment of appropriations to meet the needs of the Fund. The revised appropriation includes administrative costs ($92,308,500), investment costs ($81,197,500), audit costs ($2,645,000) and Board costs ($167,500). The amounts charged directly to the Fund and the United Nations share remain unchanged at $154,749,100 and $21,569,400, respectively.",
"Table 1 Revised estimates for the biennium 2010-2011 by object of expenditure",
"(Thousands of United States dollars)",
"Estimated expenditures for the seven-month period from 1 January 2010 to 31 December 2011",
"(a) (b) (d) = (b) + (c)-(a) = (a) + (d)",
"Administrative costs",
"Posts",
"Temporary posts",
"Other staff costs",
"Consultants 537.6 — 537.6 205.9 — 205.9 132.6 — 132.6 (199.1) — (1991) — 338.5 — 338.5",
"Travel 1,360.6 – 1 360.6 907.2 – 907.2 389.9 – 389.9 (63.5) – (63.5) 1 297.1 – 1 297.1",
"Contractual services",
"Hospitality 4.0 - 4.0 4.3 - 4.3 1.0 - 1.0 1.3 - 1.3 5.3 - 5.3",
"General operating expenses",
"Supplies and materials",
"Furniture and equipment",
"Total",
"Investment costs",
"Posts",
"Other staff costs",
"Consultants 2,328.8 2 328.8 702.6 — 702.6 1 626.2 — 1,626.2 — 2 328.8 — 2 328.8",
"Travel 2 000.0 2 000.0 1 100.6 – 1 100.6 610.4 – 610.4 (289.0) – (289.0) 1 711.0 – 1 711.0",
"Contractual services",
"Hospitality 22.0 20.4 - 20.4 3.0 - 3.0 1.4 - 1.4 23.4 - 23.4",
"General operating expenses",
"Supplies and materials 160.010.053.8 – 53.8 105.8 (0.4) (0.4) 159.6 – 159.6",
"Furniture and equipment",
"Total",
"Audit costs",
"External audit 551.0 110.2 661.2 244.6 48.9 293.5 306.4 61.3 367.7 551.0 110.2 661.2",
"Internal audit",
"Total",
"Board expenses 167.5 — 167.5 199.4 — 199.4 45.9 — 45.9 77.8 — 77.8 245.3 — 245.3",
"Total resources",
"Extrabudgetary costs (after-service health insurance system)",
"Operational activities 158.2 - 158.2 90.0 - 90.0 54.3 - 54.3 (13.9) - (13.9) 144.3 - 144.3",
"5. Approved revised appropriations for the following purposes:",
"(a) Administrative costs: an increase of $94,600 under general temporary assistance to cover the cost of one post at the P-4 level related to the implementation of the International Public Sector Accounting Standards (IPSAS);",
"(b) Investment costs: a decrease of $94,600 under contractual services.",
"6. Total expenditure for the biennium 2010-2011 is estimated at $154,545,700, comprising administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board costs ($245,300), resulting in savings of $21,772,800, or 12.3 per cent of the total appropriation. In addition, projected extrabudgetary expenditures of $144,300 resulted in savings of $13,900, equivalent to 8.8 per cent of the appropriation.",
"A. Administrative costs",
"7. Administrative costs are estimated at $80,478,500, resulting in underexpenditure of $11,830,000, or 12.8 per cent. The main resource variance resulting from the net savings is attributable first and foremost to the Integrated Pension Administration System, as explained in paragraphs 13 to 17, which resulted from the improvement of the project plan of the system, the addition of new basic activities and the installation of new information technology infrastructure. As the Integrated Pension Administration System project is a major capital project of the Pension Fund, the estimated expenditures for the Integrated Pension Administration System project for the biennium 2010-2011 are highlighted in table 2 separately from the non-project-related estimates.",
"8. Key resource variances not related to the Integrated Pension Administration System include:",
"Posts underexpenditure of $2,505,500",
"9. The savings were attributable mainly to the higher average vacancy rate at the beginning of the biennium.",
"Other staff costs — overexpenditure of $657,700",
"10. The overexpenditures were attributable mainly to the increased workload resulting from the increase in the number of participants, retirees and other beneficiaries, which required general temporary assistance.",
"General operating expenses — overexpenditure of $2,182,900",
"11. The overexpenditure was due mainly to bank charges estimated at $2,500,000. The 2010-2011 budget estimates submitted to the Board included estimates for bank charges under the general operating expenses category. As a result of the Board ' s deliberations, this cost was deleted from the budget submission to the General Assembly (see A/64/291, annex VII, para. 34). Bank charges of $2,500,000 for benefit payments are based on actual charges for the 2008-2009 performance period.",
"4. Projects held in the biennium 2010-2011",
"12. Details of information technology projects undertaken during the biennium 2010-2011 are summarized below.",
"Table 2 Status of projects for the biennium 2010-2011",
"(Thousands of United States dollars)",
"Integrated Pension Administration System (PENSYS) 14 361,400 2 299 906 (12 061494) December 2011",
"Integrated Pension Administration System",
"During the biennium 2010-2011, the Fund continued to implement the main basic tasks of the project, including: (a) the construction of a comprehensive data dictionary for the existing systems (PENSYS and Lawson); (b) the preparation of a detailed data analysis for the existing system; (c) the use of a dedicated “large volume” process and the cleansing of data through the work of the staff of the Integrated Pension Administration System project team on the PENSYS and Lawson databases; (d) the updating of the process document (to complement the flowchart developed during the planning and design phases of the project); (e) the preparation of the first set of calculation formulas to calibrate the Fund's complex and detailed basis of calculation and to prepare for signature and approval at the implementation stage by internal and external experts; (f) the updating of the technical documents detailing the data exchange approach (interface) between the existing system and other entities; and (g) the establishment of a first set of detailed testing banks, the scope of which would include interfaces and computational results.",
"14. The project began with two additional initiatives not considered in the original plan. The first was an extensive bottom-up review of the statement of needs prepared during the first phase of the project. The target operating model and project scope were improved during this phase. New functional and information technology requirements have been expanded. The final statement of work considered 333 detailed functional and information technology specifications in addition to 18 key high-level requirements.",
"15. The second initiative relates to the exploration of new technologies, as a means of creating better interfaces allows for a seamless interface between the payroll system (between the Integrated Pension Administration System and the human resources and financial systems of member organizations) and better access to existing databases to automate the verification of contribution calculations, along with other data quality protocols. In view of the recent strategy of many member organizations to transition to an enterprise resource planning platform, the Fund is exploring the possibility of a common interface using newer technologies. Following the completion of the implementation of SAP software by the United Nations, it is estimated that 96 per cent of Fund participants will maintain data under an enterprise resource planning platform. This initiative is closely linked to the development of the Integrated Pension Administration System, as the revised specifications take into account: (a) the need for seamless connectivity between payroll systems; (b) the tool for efficient use of the common ERP interface; and (c) the development of a web-based access system (for organizations without an ERP platform).",
"16. The two additional initiatives have produced more detailed specifications that will guide the process of parameterization and functionalization more accurately and more effectively. This will improve the new system and save time and resources when changes are made after commission. In addition, the Integrated Pension Administration System project will seek to harmonize its data requirements as early as possible with the data generated by member organizations ' enterprise resource planning systems. Naturally, the success of the integrated management system will be closely linked to the quality, timeliness and accessibility of human resources and financial data provided by the Fund ' s member organizations.",
"17. While the overall cost estimate of $22,660,300 (before recosting) for the Integrated Pension Administration System project remains unchanged, new activities have been added to the project plan and significant changes have been made to the procurement process (on the recommendation of the United Nations Procurement Division) to include a two-phase evaluation. As a result of these changes, the original time frame was extended and the estimated expenditure time adjusted accordingly. Table 3 highlights the estimated expenditures for the biennium 2010-2011 and the estimated total project costs.",
"Table 3 Summary of requirements for the Integrated Pension Administration System",
"(Thousands of United States dollars)",
"Proposed final appropriation Proposed appropriation Appropriation Estimated appropriation Estimated appropriation Estimated appropriation",
"Temporary posts 2 870.3 1 065.1 (1 805.2) 1 065.1 3 670.8 957.7 5 693.6",
"Travel 84.8 84.8 – 84.8 – – 84.8",
"Contractual services",
"Furniture and equipment 3.0 — (3,000.0) —",
"Total administrative costs",
"Furniture and equipment underexpenditure of $3,000,000",
"18. The underexpenditure was attributable to the decision to install the project ' s information technology hardware at the Fund ' s new data centre owing to weaknesses identified in the data centre at 1 Dag Hammarskjöld Plaza. The project was originally planned to acquire 12 new servers, 15 storage area network modules and an extension of the uninterruptible power supply system and to install it in the data centre on the fourth floor of Dag Hammarskjöld Plaza, to provide the additional capacity required to host the new system application.",
"19. However, the plan was not considered feasible because of the serious weaknesses identified in the data centre at 1 Dag Hammarskjöld Plaza. A business impact analysis was conducted in 2009 and presented to the Pension Board in 2010, which revealed that, although the data centre had installed an uninterruptible power supply system, there were no generators to cope with a possible power outage by the power company (or the building circuit system). An earlier assessment of the data centre was conducted in accordance with industry practice regarding the production data centre, and the rating for the facility was two points on a 10-point scale (the top 10 points or the best). Therefore, the installation of new hardware at data centre 1 Dag Hammarskjöld Plaza would pose a serious risk to the Integrated Pension Administration System project.",
"20. Following an extensive search for appropriate alternatives, the Fund decided to relocate the information and communications technology infrastructure located at 1 Dag Hammarskjöld Plaza to the new North American data centre, a new and more reliable data centre that would properly ensure the availability of its mission-critical systems. The North American Data Centre was classified as level 3, i.e., 99.9 per cent of its time is fully operational and available, in accordance with the TTIA-942 DC standard.",
"Contractual services underexpenditure of $7,256,300",
"21. The underexpenditure was attributable mainly to the relocation of the data centre, which provided mainframe services for new system applications, to another address. In the context of the relocation of the existing equipment at 1 Dag Hammarskjöld Plaza to the new North American data centre, a new equipment of $750,000 was acquired and installed at the centre to fully provide the full capacity expected from the Integrated Pension Administration System. An invitation to bid in the amount of $400,000 was issued to hire a professional consulting firm to assist in redesigning the data centre process in line with the new target operating model and the new paradigm and to develop test scenarios as a basis for ensuring that the new system is able to process entitlements and payments accurately, safely and efficiently.",
"22. The above initiatives have enabled the Integrated Pension Administration System project to better initiate the next phase, but this has changed the original project schedule. The entire system deployment time of the project is estimated at 30 months (after the conceptual justification has been tested and approved) and has not changed. It is therefore expected that the development of the system will be completed by April 2014 and that parallel testing and training will be completed in 2014. However, this target date depends on the duration of the remaining procurement/contracting activities, which are expected to be completed within nine months. Accordingly, the appropriation for the development, parameterization and implementation of new applications considered in the 2010-2011 budget ($7,256,300) will not be utilized until the biennium 2012-2013. Annex II to the supplementary financial information contains detailed project schedules and descriptions of activities.",
"Temporary posts underexpenditure of $1,805,200",
"23. The underexpenditure for posts was due mainly to the use of staggered recruitment methods, which resulted in the optimal utilization of project resources and compliance with the updated project schedule.",
"Client services initiatives",
"24. A pilot project (iServ) based on the Oracle Siebel customer relationship management system was commissioned with the objective of streamlining and automating the procedures for reporting incidents to the Fund ' s webmaster. The project has proved to be much more complex and demanding than originally estimated, but it has helped the Fund to acquire a wealth of knowledge and valuable lessons learned on the establishment of a customer relationship management system. This project also helps the Fund to determine that a comprehensive customer relationship management programme may not be the most practical, appropriate or cost-effective course of action to be adopted immediately in its core business activities. In particular, considering that CRM could be part of the Integrated Pension Administration System initiative), but the establishment of smaller local applications to meet the most urgent needs of the Client Services Unit in the short term would enable it to better understand how the system was designed when it eventually integrated with business processes.",
"25. As an alternative, a Lotus Notes-based customized application has been developed to track interactions with clients who have visited the Fund in person or contacted the Fund by telephone. This application not only records valuable information, such as what services are requested, the mode of service provision (face-to-face or telephone) and the time used to service a client, but also provides easy-to-use reporting and analysis tools (including guidance boards) that can be used to view statistics and trends over time. It is envisaged that, over time, the application will be strengthened to include more performance and to cover more client service activities.",
"Network system initiatives",
"26. The web-based system initiative uses web-based customized applications that allow beneficiaries and participants to have direct access to personalized data at all times. Key applications, including the two-track benefit estimation system, certificate of entitlement tracking and annual statements, have now become standard client service items. At any time, if the cost-of-living index and/or quarterly exchange rate changes, cost-of-living circulars are prepared, which are now available online for registered monthly beneficiaries. The pension estimate interface, which can be accessed through the annual statement application, has now been redesigned and is available to clients since the 2009 annual statement. In the Fund ' s ongoing efforts to support an increasing number of visitors, some of the infrastructure and applications of the website have been upgraded to provide a more stable and secure environment. A new portal has been added to provide a role- and security-based single-point access interface for many Fund-wide web applications. Additional e-learning applications and induction workshop software were added to meet training needs and new courses will be offered in 2011. A digest of cases was developed for the Legal Office and will be posted on the website in 2011.",
"Enterprise systems initiatives",
"27. The enterprise systems initiative will ensure that mission-critical business systems (e.g., the Content Management System and Lawson) have up-to-date updates, versions and upgrades of vendors while keeping abreast of changes in the Fund ' s business model. All necessary updates, versions and upgrades have either been successfully installed or will be successfully installed by the end of 2011.",
"Enterprise business initiatives",
"28. As part of the business requirements of the enterprise, all critical mission systems have travelled to a new site in Piscataway, New Jersey. The new facility has a level III data centre error tolerance, with 99.9 per cent availability. Telecommunications equipment will continue to be installed in the data centre at 1 Dag Hammarskjöld Plaza, while the Geneva office and the support system for the business continuity and disaster recovery environment will be installed at the Geneva data centre. The storage area network was upgraded in the data centre relocation project to increase capacity and reduce system response time. A new virtual infrastructure was established, which enabled 70 per cent of the Fund ' s servers to operate in virtual clusters, thereby increasing operational efficiency and availability and making the server infrastructure more manageable. Lawson and database servers have been upgraded and a failover cluster has been established to optimize recovery time and responsiveness to users. The relocation of the Geneva data centre is under way. The new facility, which is operated by the International Computing Centre, will enable the Fund to virtualize the supporting redundancy of 95 per cent of servers and the network environment. A new data backup system was established, which reduced maintenance and document recovery times. An enterprise e-mail archiving solution was implemented at the Fund to efficiently manage the e-mail service and to keep up with the growing mailbox and unrestricted preservation policy. In the process, the Fund ' s e-mail server and client were continuously upgraded to the latest version. It is expected that the Information Management Systems Service will complete the upgrade of the uninterrupted power supply system by the end of 2011.",
"Information technology consolidation initiatives with the Investment Management Division",
"29. The information technology consolidation with the Investment Management Division is proceeding as planned and is scheduled to be completed during the current biennium. A number of infrastructure projects were implemented successfully and in a timely manner in a shared infrastructure environment, as agreed between IMSS and the Investment Management Division. These include the trade order management system, the SWIFT system and the document management system. A disaster recovery system was also successfully established and tested in Geneva for the trade order management system and the SWIFT system. Work in the last five of the 38 areas identified for consolidation is under way and is expected to be completed during the biennium. These areas include: networks, help desks, list services, document sharing and e-mail consolidation.",
"B. Investment costs",
"30. Investment costs are estimated at $71,289,000, resulting in underexpenditure of $9,908,500, or 12.2 per cent. Major resource variances resulting in net savings include:",
"Posts underexpenditure of $953,400",
"31. The savings were mainly attributable to the later than anticipated recruitment of staff.",
"Travel — underexpenditure of $289,000",
"32. The savings were attributable mainly to the later-than-anticipated recruitment and availability of staff as a result of the scheduling of work. The reduced travel requirements were offset in part by increased requirements for travel of members of the Investments Committee.",
"General operating expenses — underexpenditure of $331,100",
"33. The savings were attributable to lower-than-anticipated costs, such as cooling water, cleaning services and buildings management.",
"Contractual services underexpenditure of $8,445,200",
"Table 4 Contractual services: estimated expenditure for 2010-2011",
"(Thousands of United States dollars)",
"Estimated expenditure Overexpenditure or (underexpenditure)",
"External legal consultant 1 200.0 1 200.0 -",
"Third-party service providers",
"(a) Global custodians and advisers",
"Global custodian 6 952.0 3 743.8 (3 208.2)",
"Consultants 16 976.4 14 994.0 (1 982.4)",
"Subtotal (a) Component 23 928.4 18 737.8 (5190.6)",
"(b) Portfolio management",
"Small capitalization 12 500.0 13 562.4 1 062.4",
"Publicly traded real estate 2 700.0 700.0 (2 000.0)",
"(b) Subtotal, part 15 200.0 14 252.4 (937.6)",
"(c) Market data services",
"Subtotal, third-party service providers",
"SWIFT contractual services 590.0 345.0 (245.0)",
"Other contractual services 8 419.0 7 489.0 (930.0)",
"Total 52 878.9 44 433.7 (8 445.2)",
"34. The savings were attributable to a number of factors, including delays in the procurement of multiple custodians and independent master record keepers, the hiring of a publicly traded real estate administrator and the hiring of fixed income, physical assets and replacement investment consultants, and lower-than-anticipated procurement costs for applications such as disaster recovery solutions, SWIFT and compliance systems. The reduced requirements were offset in part by an increase in the cost of small capitalization owing to the increase in fees as a result of good performance.",
"5. Projects implemented in the biennium 2010-2011",
"35. Table 5 shows the status of information technology projects funded and implemented during the biennium 2010-2011.",
"Table 5 Status of projects for the biennium 2008-2009",
"(United States dollars)",
"Project projection/actual completion date Estimated expenditure",
"Portfolio risk and performance attribution system",
"36. As of February 2011, the Investment Management Division was conducting a user acceptance test for the most risky analysis scenarios. Some important risk reports have been developed. However, the Division is still awaiting more contracts between the Procurement Division and the Office of Legal Affairs for the use of various data sources. These market data sources are essential for completing risk measurement. Upon completion of this work, current services will be maintained. If the data source contract is finalized, the project is expected to be completed and fully operational by October 2011.",
"Electronic order management and trading system",
"37. Charles River came into operation in March 2010. Current operations cover equities, foreign exchange and fixed-income transactions. The system is also linked to brokers through FIX protocols and to custodian banks through SWIFT. The Investment Management Division is in the process of installing an electronic platform for other assets. Currently, 99 per cent of cross-assets are settled through SWIFT. The Investment Management Division continued to support and strengthen the Charles River working environment.",
"Pre- and post-trading compliance system",
"38. The pre-trading and post-trading system (Charles River) has been completed and has been operational since March 2010. The Investment Management Division continues to maintain and update compliance rules as required.",
"Portfolio accounting and reconciliation system",
"39. The contract for the establishment of a portfolio accounting and reconciliation system was awarded to Murex North America in April 2010 and the legal contract was signed in February 2011. A project launch meeting was held on 16 February 2011. The Investment Management Division is currently finalizing the implementation plan and making resource commitments, with the goal of completing the first phase of implementation by 30 June 2011. It is estimated that the project will be completed by 31 December 2011. It is important to note that this project includes the conversion of investment activities to IPSAS.",
"Data centre system",
"40. By February 2011, the Investment Management Division had completed its technical evaluation. The due review will be scheduled for the second half of 2011. Implementation of the data centre is expected to begin in 2012.",
"OMEGEO, FXALL, TradeNet and other identification and trading platforms to be incorporated into Charles River",
"41. In order to strengthen the Charles River trade order management system, the Investment Management Division plans to add the following platforms: OMEGEO, an electronic recognition and certification system for stock transactions; FXALL, FXConnect and Bloomberg FX: all foreign exchange trading platforms; and trading networks, Market Express, Bond Vision and Bloomberg FI: all fixed-income trading platforms. Contracts for each product are currently being negotiated. The Investment Management Division plans to integrate all these platforms by December 2011.",
"SWIFT in disaster recovery site (Geneva International Computing Centre)",
"42. The Charles River disaster recovery system was completed in March 2011. The disaster recovery system includes FIX, Bloomberg data authorization, Bloomberg volume data and Bloomberg API. The system also provides connectivity to SWIFT.",
"Bloomberg data authorization, Bloomberg volume data and Bloomberg API",
"43. Bloomberg data authorization, Bloomberg volume data and Bloomberg API were installed in March 2010 and integrated into Charles River.",
"SWIFT in disaster recovery site (Geneva International Computing Centre)",
"44. The SWIFT disaster recovery site became operational in January 2010. The Investment Management Division is currently integrating it with the Charles River disaster recovery architecture.",
"SWIFT Upgrade to Version 7",
"45. Upgrading SWIFT to the required version 7 is scheduled to be completed in June 2011.",
"C. Audit costs",
"46. The estimated expenditure for audit costs would reduce the utilization of the appropriation by $112,100, attributable mainly to general temporary assistance for internal audit.",
"D. Board expenses",
"47. The additional requirements of $77,800 are attributable to the higher than anticipated cost of the planned design working group.",
"E. Extrabudgetary costs",
"48. The underexpenditure of $13,900 was attributable to the three-month vacancy of General Service (Other level) posts financed from extrabudgetary funds",
"III. Proposed budget for the biennium 2012-2013: results-based-budgeting frameworks and analysis of resource requirements",
"Introduction",
"General",
"49. The United Nations Joint Staff Pension Fund is a fully funded defined pension fund that provides retirement and other benefits to nearly 64,000 retirees and beneficiaries. Currently, some 120,000 active participants are accumulating their pension rights under the Fund. At the end of 2010, the Fund had total assets of $41.4 billion. The Fund is administered in accordance with the Regulations adopted by the General Assembly. The Pension Board administers the Fund and reports annually to the General Assembly. The day-to-day operations of the Fund are supervised by the Chief Executive Officer. The Fund has 245 staff members. The present budget and its annexes provide details of the Fund and its day-to-day operations.",
"50. Investments of the Fund are determined by the Secretary-General. The Secretary-General has delegated this responsibility to his representative, who manages the Investment Management Division of the Fund. The Investment Management Division is responsible for the investment and accounting of the assets of the Fund, with a view to ensuring that the investment returns are adequate in accordance with the risk tolerance of the Fund and the requirements of the liabilities.",
"51. The Fund has grown significantly over the past decade as new member organizations join and the total number of participants, retirees and other beneficiaries it serves continues to grow. During this period, the number of active participants increased by 63 per cent and the number of periodic benefits increased by 33 per cent. The Fund ' s management charter identifies the following five types of challenges:",
"(a) The increasing complexity of the operations of the Fund;",
"(b) The increasing interdependence of assets and liabilities;",
"(c) Ageing of information systems and increased demand for services;",
"(d) High standards of quality services and operations;",
"(e) Social and environmental responsibility.",
"52. To meet these challenges, the Fund undertook a comprehensive study of changes in risk assessment, asset-liability management, IMF and its plan design and PENSYS. The Fund then formulated the following medium-term objectives outlined in its strategic framework:",
"(a) Strengthening the Fund ' s business model;",
"(b) Improved risk management and internal controls;",
"(c) Strengthening information systems;",
"(d) Improving the quality and efficiency of services, including communications and outreach;",
"(e) Promoting social and environmental responsibility.",
"53. Each operational unit has a specific action plan to achieve these objectives, including a medium-term human resources plan, business impact analysis and disaster recovery plan. These plans have been used in the preparation of the following budget proposals.",
"54. In summary, during the biennium 2012-2013, the Fund intends to allocate financial and human resources to the following key initiatives outlined in the strategic framework:",
"(a) Integrated Pension Administration System — new operating model for the Integrated Pension Administration System;",
"(b) IPSAS -- new accounting standards for the financial statements of the Fund;",
"(c) Sensitive client services;",
"(d) Other actions needed to improve operational efficiency and to improve risk assessment and management, e-learning, training and knowledge management.",
"55. The Fund is expected to achieve its overall objective on the assumption that sufficient human and financial resources are available. This will be a particularly serious challenge in the coming years, given the current financial constraints. However, it was important to recognize that the Fund was developing at a critical time beyond its control. Since its inception, the Fund has grown steadily. Over the past decade, the Fund has seen an unprecedented increase in its client base. At the same time, the scope of the Fund ' s services has been expanding, not only to include an increase in the number of people, but also to accommodate a broader range of special cases, resulting in increased complexity. The related increase in workload and complexity was at its peak in the face of the continued loss of institutional memory, as a large number of retirements and other separations had taken place in recent years. In addition, the Fund ' s client base is also ageing as a result of longevity, often requiring more extensive advice and other special needs for client services. In addition to the major challenges posed by these external factors, this fund, which requires very professional and long-standing expertise, must also seek to be consistent with certain organizational policies. This creates special difficulties that external firms usually do not face. In view of the need for special and long-term expertise and its independent status as an inter-agency entity, the Fund is currently reviewing its staff recruitment, mobility and promotion policies and retention policies. The Fund intends to address these issues in a revised memorandum of understanding.",
"56. The Fund secretariat further considered the challenges posed by the current economic environment and reviewed its staffing needs and decided to defer the request for a number of staff positions. While these positions are important for achieving the medium-term objectives of the Fund ' s strategic framework, the secretariat believes that the hiring of staff could be delayed by limiting changes in the design of the Fund ' s plan and limiting the number of new projects that have been added, while continuing efforts to increase efficiency and productivity. However, these positions cannot be postponed indefinitely unless there is a change in the operational capacity of the Fund and its ability to respond to clients and/or a timetable for achieving its objectives.",
"57. To that end, it must be recognized that, at a time when the Fund had to work to meet its budgetary constraints, it was possible for the United Nations to approve new peacekeeping missions outside the regular budget. This poses significant challenges and even risks to the Fund, which must continue to provide adequate and timely services to the additional employees of these missions.",
"Results-based budgeting, methodology and terminology",
"58. The present budget report follows the results-based-budgeting presentation used by the Fund in its budget submission for the biennium 2008-2009. The resources requested are calculated on the basis of the Fund ' s programmes and all justifications and supporting information are provided in supplementary financial information in the proposed budget.",
"59. The following factors have been used in the calculation of resources:",
"(a) The following delayed recruitment factors were applied to New York and Geneva for 2012 and 2013: the continuation of 90.4 per cent of Professional posts, 50.0 per cent of new Professional posts, 96.5 per cent of continuing General Service posts and 65.0 per cent of new General Service posts. These factors are also used in version 1 of the standard salary scales for 2012-2013 in New York and Geneva;",
"(b) Average annual rates of inflation for 2012 and 2013: 1.90 per cent and 2.50 per cent for New York and 1.0 per cent and 1.30 per cent for Geneva, respectively;",
"(c) The exchange rate for Geneva of 1.046 for 2012 and 2013;",
"(d) Within the framework of the cost-sharing arrangements between the United Nations and the Fund, in addition to the cost of posts in the Information Management Systems Service and the Administrative Office, specific management costs will continue to be shared at a rate of one third and two thirds, respectively. Based on the approved post ratio of the Secretariat (170) to the Investment Management Division (58), plus project-specific posts (17), 69.4 per cent of the cost of posts in the Information Management Systems Service and the Executive Office would be met through cost-sharing arrangements.",
"2. Overall resources requested",
"60. Human and financial resources requested for the Fund as a whole, as well as estimates of extrabudgetary resources and a breakdown of additional post requirements, are provided below.",
"Table 6 Percentage distribution of resources by component: UNJSPF",
"Regular budget",
"A. Executive direction and management 7.0",
"Programme of work",
"1. Administration 17.7 100.0",
"2. Investments 33.0",
"Subtotal B",
"C. Support",
"1. Information technology 31.8",
"2. Legal Office 0.7",
"3. Administrative support 8.3",
"Subtotal C 40.8",
"D. Audit",
"E. Pension Board 0.1",
"Total",
"Table 7 Resource requirements by component: UNJSPF",
"(Thousands of United States dollars)",
"Total recosting United Nations Joint Staff Pension Fund estimates for 2012-2013",
"1. Regular budget",
"Executive direction and management",
"Programme of work",
"1. Operations 30 470.0 3 498.4 11.5 33 968.4 908.7 9 527.5 25 349.6 34 877.1",
"2. Investments 55 678.4 7 451.7 13.4 63 130.1 816.5 - 63 946.6 63 946.6",
"Subtotal B",
"C. Support",
"1. Information technology",
"Legal Office - 1 358.4 – 1 358.4 (16.2) 447.4 894.8 1 342.2",
"3. Administrative support",
"Subtotal C 71 216.5 6 888.6 9.7 78 105.1 886.3 9 742.7 69 248.7 78 991.4",
"D. Audit",
"Pension Board",
"Total 176 318.5 15 302.1 8.7 191 620.6 2 543.4 20 903.4 173 260.6 194164.0",
"61. As shown in table 8 below, the overall increase of $15,302,100 (before recosting), or 8.7 per cent, is attributable to an increase in administrative costs ($4,564,600), investment costs ($10,601,800), audit costs ($103,200) and Board expenses ($32,500).",
"The increase of $4,564,600 under administrative costs reflects the net effect of the proposed increase in established posts ($739,400) and temporary posts ($800,500), of which $680,100 and $800,500 are attributable to delayed recruitment factors for established and temporary posts, respectively, and $3,024,700 under non-post costs. The increase in non-post costs is due mainly to increases under contractual services ($6,087,900) and general operating expenses ($1,446,300), offset in part by decreases under furniture and equipment ($3,989,000), other staff costs ($122,500), consultants ($237,600) and travel ($136,100).",
"63. The increase of $10,601,800 under investment costs reflects the net effect of the proposed increase in posts ($2,486,900) and non-post costs ($8,114,900), of which $1,222,700 is attributable to delayed recruitment factors. The increase in non-post costs is mainly attributable to an increase in contractual services ($9,653,200) and other staff costs ($530,400), offset by a decrease in resources for consultants ($1,151,800) and general operating expenses ($916,900).",
"64. The increase of $103,200 in resources for audit costs reflects the Fund ' s share of the increase in the costs of the Board of Auditors ($113,500) and includes the net effect of the proposed reduction in internal audit costs ($10,300). The decrease in internal audit costs is due mainly to a slight decrease in communications ($9,800) and supplies and materials ($5,000) and increased requirements for furniture and equipment ($5,800). In addition, decreases and increases of $80,000 are offset by decreases and increases in contractual services, respectively.",
"65. The percentage distribution of resources by component for the Fund and the estimated resources requested are summarized in tables 6 and 7, respectively.",
"Table 8 Financial resource requirements for the biennium 2012-2013",
"(Thousands of United States dollars)",
"United Nations Joint Staff Pension Fund estimates for 2012-2013",
"Administrative costs",
"Posts",
"Temporary posts – 2 870.3 800.5 27.9 3 670.8 (103.4) – 3 567.4 3 567.4 1 581.3 1 986.1",
"Other staff costs",
"106.4 537.6 (237.6) (44.2)",
"Travel",
"Contractual services",
"Hospitality 2.6 4.0 — — 4.0 0.1 — 4.1 4.1 2.0 2.1",
"General operating expenses",
"Supplies and materials",
"Furniture and equipment",
"Total 71 075.8 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6 48 645.8 49 761.8",
"Investment costs",
"Posts 10 617.0 15 344.0 2 486.9 16.2 17 830.9 (424.9) - 17 406.0 17 406.0 8 644.2 8 761.8",
"Other staff costs",
"Consultants",
"Travel 1,018.0 2,000.0 — 2,000.0 44.0 — 2 044.0 2 044.0 1 019.0 1 025.0",
"Contractual services 27 491.4 52 878.9 653.2 18.3 62 532.1 1 387.1 - 63 919.2 63 919.2 29 924.0 33 995.2",
"Hospitality",
"General operating expenses",
"Supplies and materials",
"Furniture and equipment 246.6 700.0 – – 700.0 15.5 – 751.6 715.5 356.7 358.8",
"Total 45 471.4 81 197.5 10 601.8 13.1 91 799.3 1 138.9 – 92 938.2 92 938.2 44 613.4 48 324.8",
"Audit costs",
"External audit",
"Internal audit",
"Total 2 294.7 2 645 0 103.2 3.9 2 748.2 (134.4) 435.4 2 178.4 2 613.8 1 300.9 1 312.9",
"Board expenses",
"Total resources requested",
"Extrabudgetary costs (after-service health insurance system)",
"Operating activities",
"Table 9 Human resource requirements",
"Extrabudgetary posts",
"Administration",
"Professional and above",
"Assistant Secretary-General 1 1 – – – – 1 1",
"D-2 1 – – – – 1 1",
"D-1 4 – – – 4 4",
"P-5 9 1 – – 10 10",
"P-4 19 20 8 7 – – 27 27",
"P-3 25 24 4 – – 29 28",
"P-2/1 1 – – – – 1 1",
"Subtotal 60 60 13 12 – – 73 72",
"General Service",
"Principal level 10 10 – – 10 10",
"Other level 99 99 5 5 1 105 105",
"Subtotal 109 109 5 1 115 115",
"Total administration 169 169 18 17 1 188 187",
"Investments",
"Professional and above",
"D-2 1 – – – – 1 1",
"D-1 2 – – – 2 2",
"P-5 10 – – 10 10",
"P-4 13 18 – – 13 18",
"P-3 7 9 – – – 7 9",
"P-2 – –",
"Subtotal 33 40 – – – – 33 40",
"General Service",
"Principal level 10 10 – – 10 10",
"Other level 15 15 – – 15 15",
"Subtotal 25 25 – – 25 25",
"Total investments 58 65 – – – 58 65",
"Total UNJSPF 227 234 18^ (c) 17^ (b), (c) 1^ (a) 1^ (a) 246 252",
"(a) One extrabudgetary General Service (Other level) post funded by Member States.",
"(b) Includes 17 temporary posts for the Integrated Pension Administration System.",
"(c) Of the 18 temporary posts approved for the biennium 2010-2011, one post at the P-4 level is approved for 12 months only. The post was abolished in 2011.",
"66. As shown in table 9, the present budget report provides for the establishment of seven additional posts and the reclassification of one post, as follows:",
"(a) Provision is made for the reclassification of one post (from P-3 to P-4) in the Secretariat and the continuation of one extrabudgetary post (1 General Service (Other level)) funded by member organizations;",
"(b) Provision is made for seven additional established posts (5 P-4, 2 P-3) for the Investment Management Division.",
"Table 10 summarizes the additional posts requested.",
"Table 10 Summary of post requirements",
"Reclassification of Finance and Budget Officer 1 P-3 to P-4",
"B. Administrative costs",
"General",
"68. The secretariat is responsible for the administration of the United Nations Joint Staff Pension Fund under the authority of the Pension Board. The objective of the Secretariat is to provide related services to participants and benefits and related allowances to retirees and beneficiaries under the best conditions of safety, performance, responsibility and accountability, in full compliance with the highest standards of efficiency, competence and integrity. In providing these services, the Fund must face an increasingly complex set of regulations. These regulations relate to decisions taken in the past as economy measures or in response to strong social needs for new categories of beneficiaries. The Secretariat must also continue to adapt its processes and procedures to the changing banking and regulatory environment.",
"69. Total resources for administrative costs amount to $96,873,100 before recosting, reflecting a net increase of $4,564,600, or 4.9 per cent, compared with the revised appropriation for the biennium 2010-2011. The net increase shown in table 12 is summarized as follows:",
"(a) Executive direction and management: the decrease of $1,104,400 relates to post requirements ($810,200), due mainly to the redeployment of three posts (2 P-5, 1 General Service (Other level)) to the Legal Office. The decrease in non-post requirements relates to other staff costs ($50,100), consultants ($337,600) and travel ($114,500). Increases in contractual services ($112,000) and general operating expenses ($96,000).",
"(b) Programme of work: the increase of $3,498,400 relates to post requirements ($751,500) and an increase of $2,746,900 in non-post resources. Of the post requirements, $147,400 is attributable to the net effect of the delayed recruitment factor and the redeployment of one post at the P-4 level to the Legal Office, and $604,100 is attributable to the delayed recruitment factor for 12 temporary posts in the Integrated Pension Administration System. The increase in non-post resources is due to increases in general operating expenses ($2,846,300) and consultants ($100,000) and a decrease in other staff costs ($199,400).",
"(c) Programme support. The increase of $2,170,600 relates to an increase in resources for the Information Management Systems Service ($2,084,100), the outward redeployment of the Legal Office from executive direction and management ($1,358,400) and a decrease in resources for the Executive Office ($1,271,900). For the Information Management Systems Service, the increase in resources for temporary posts ($196,400) is due to delayed recruitment factors. The increase in non-post resources ($1,903,200) is due mainly to an increase in contractual services ($5,975,600), offset in part by reduced requirements for furniture and equipment ($3,976,400), general operating expenses ($177,400) and travel of staff ($21,600). The increase in post resources for the Legal Office reflects the outward redeployment of three posts (2 P-5 and 1 General Service (Other level)) from the Office of the Chief Executive Officer and the outward redeployment of one post at the P-4 level from the United Nations Office at Geneva for supervisory purposes. The decrease in resources for the Executive Office ($1,318,600) is attributable to non-post requirements for general operating expenses, in particular rental and maintenance of premises.",
"70. The estimated distribution of resources is shown in table 11 and the resource requirements by component in table 12.",
"Table 11 Percentage distribution of resources by component: administrative costs",
"Regular budget",
"Executive direction and management",
"B. Programme of work (operations, finance) 35.1 100.0",
"C. Programme support",
"1. Information Management Systems Service 44.7",
"2. Legal Office 1.4",
"3. Executive Office 12.2",
"Subtotal C 58.3",
"Total",
"Table 12 Resource requirements by component: administrative costs",
"(Thousands of United States dollars)",
"Total recosting United Nations Joint Staff Pension Fund estimates for 2012-2013",
"1. Regular budget",
"Executive direction and management",
"B. 30 470.0 3 498.4 11.5 33 968.4 908.7 6 527.5 25 349.6 34 877.1 Programme of work (operations, finance)",
"C. Support",
"1. Information Management Systems Service",
"Legal Office - 1 358.4 – 1 358.4 (16.2) 447.4 894.8 1 342.2",
"3. Executive Office",
"Subtotal, part C",
"Total 92 308.5 4 564.6 4.9 96 873.1 1 534.5 20 468.0 77 939.6 98 407.6",
"2. Extrabudgetary 158.2 (5.3) (3.4) 152.9 3.9 — 156.8 156.8",
"Executive direction and management",
"Resource requirements (before recosting): $6,382,500",
"71. Under the authority of the Pension Board, the Chief Executive Officer is responsible for the administration of the Fund and the provision of related services to member organizations, participants, retirees and beneficiaries. In providing such services, the Chief Executive Officer must ensure that a framework is in place to optimize the Fund ' s operations in terms of security, performance, responsibility and accountability and that it fully meets the highest standards of efficiency, competence and integrity. In order for the Fund to fulfil its responsibilities within this framework, it must respond to the increasingly complex and changing design of the plan, in accordance with its regulations, rules and its unique and complex pension adjustment system. The CEO must ensure that its actuarial costs can be weighed consistently and accurately to assess and manage risks, adjust its plan design, adjust its procedures to the changing human circumstances as a result of the significant impact of long-term social changes, including increased longevity, and fulfil its responsibilities in a changing banking, accounting and regulatory environment.",
"72. In the 60-year history of the Fund, the number of member organizations, participants, retirees and beneficiaries, the financial environment in which they operate and the value of the assets and liabilities they manage have increased significantly. The total number of individuals served by the Fund has exceeded 185,000 and is expected to continue to increase steadily over the medium to long term. The international and multi-organizational nature of the Fund and its multi-layered pension structure will continue to pose new and increasingly complex and daunting challenges. The responsibilities and requirements of the Fund have been steadily and significantly increased, and this will continue in the future. In response to the Board ' s request for a more strategic approach to human resource requirements, the Fund undertook a high-level review to determine its medium-term needs, taking into account the circumstances and pressing challenges facing the Fund, which was presented to the 2010 session.",
"Table 13 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To ensure full implementation of the Fund's programme of work in compliance with the Regulations and Rules of the Fund and the decisions and guidelines issued by the Pension Board and the General Assembly",
"External factors",
"73. Executive direction and management is expected to achieve its objectives and expected accomplishments on the assumption that they are provided with adequate human and financial resources.",
"Other outputs",
"74. During the biennium, the following outputs will be delivered:",
"(a) Servicing of intergovernmental and expert bodies: two sessions of the Pension Board; three meetings of the Committee of Actuaries, four working group meetings, one joint meeting of the Committee of Actuaries and the Investments Committee, six meetings of the Audit Committee and four meetings of the United Nations Staff Pension Committee;",
"(b) Drafting of documents; approximately 100 documents submitted to the Pension Board, the Committee of Actuaries and the Working Group; 15 notes to the Audit Committee, in addition to the technical and administrative servicing of its sessions;",
"(c) Other substantive activities:",
"(i) Efficient succession planning for retired staff; advance planning to avoid vacancies arising from staff retirement and to fill other vacant posts arising from staff turnover, to be filled within five months of the announcement of the vacancy;",
"(ii) Efficient management and control of:",
"• Integrated Pension Administration System project",
"• Business continuity and disaster recovery planning",
"• Enterprise-wide risk management",
"• Human resources policy and human resources medium-term plan",
"• Information technology integration",
"• Asset liability management study",
"• Business impact analysis",
"• Database",
"• Advisory Committee on Procurement;",
"Table 14 Resource requirements",
"(Thousands of United States dollars)",
"Posts",
"Non-post 3 845.9 3 551.7 —",
"Total 7 486.9 6 382.5 11 8",
"75. The amount of $6,382,500 would provide for the continuation of eight existing posts (1 Assistant Secretary-General, 1 D-2, 1 P-5, 2 P-4, 1 P-3, 1 General Service (Principal level) and 1 General Service (Other level)) and non-post resources related to overall administration. The decrease of $810,200 in post resources relates to the redeployment of three approved posts (2 P-5 and 1 General Service (Other level)) from the Legal Office to programme support. The decrease in non-post resources is mainly attributable to lower requirements for other staff costs ($50,100), travel ($114,500) and consultants ($337,600), while the use of the consulting actuary resulted in an increase in contractual services ($112,000) and the general operating expenses of the Fund to share the costs of the United Nations Appeals Tribunal cases ($96,000).",
"Programme of work",
"Resource requirements (before recosting): $33,968,400",
"76. The work programme, which includes the operations and finance services of the New York and Geneva offices, is responsible for the core functions of the Fund, including, but not limited to, the designation of new participants and their affiliation to the Fund, the recording of personal and financial historical data, the collection and recording of contributions to the Fund, the calculation and provision of entitlements, the payment of subsequent benefits and all related accounting activities. The programme is also responsible for providing client services to 185,000 active participants, retirees and other beneficiaries of the Fund.",
"77. It should be recalled that, in line with the recommendations of the Fund-wide review conducted in 2008, the Chief Executive Officer decided to separate the operational and financial components of the Fund. The CEO decided that, while there was an important link between the calculation and processing of entitlements (operations) and the payment and accounting of resulting benefits (financial), the two functions must be clearly separated. Operations focus on the correctness of calculations, which, once established, will apply to the lifetime of retirees and any eligible survivors. The focus of the Treasury is on the correctness of payments. The separation of the two functions and the establishment of a separate financial unit, independent of the operations, would allow for a clear division of responsibilities and enhanced accountability between the two core functions of the Fund, which constitute the present programme of work.",
"Operations",
"78. The operations include the Pension Entitlements Section and the Client Services, Records Management and Distribution Unit in New York and Geneva. The Director of Operations is responsible for the management and direction of the unit in accordance with the objectives set out in the Fund ' s management charter. The Director of Operations must ensure compliance with the Fund ' s regulations, rules and pension adjustment system, while strictly adhering to specific quality management, internal controls and information exchange policies. During the biennium 2012-2013, operations are expected to process more than 55,000 new participant entry, separation and entry and exit procedures. [1] It is anticipated that the Department will also process some 6,000 initial post-employment pension benefits, one of the most complex and therefore time-consuming procedures, including post-employment death, survivors ' benefits (sometimes involving multiple spouses residing in different locations), residual settlements, deferred pension payments, two-track systems (sometimes returning to the United States dollar track), benefits payable to surviving divorced spouses, surviving spouses ' pensions, special measures, etc. In addition to providing some 225,000 pension estimates through the Fund ' s website (i.e., during 2010), operational departments are expected to provide some 5,500 individual pension estimates over the next biennium, often involving individual counselling. During the biennium 2012-2013, the Department expects to send, track and record more than 100,000 certificates of entitlement upon receipt, and scanned more than 1.2 million documents into the Fund ' s content management system.",
"Table 15 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To ensure that services are provided to all eligible participants, retirees and other beneficiaries in accordance with the Regulations, Rules and Pension Adjustment System of the Fund and in full compliance with the communication, quality management and internal control policies established in the Fund's Management Charter",
"External factors",
"79. Operations are expected to achieve their objectives on the assumption that they are provided with adequate human and financial resources. It must therefore be recognized that the evolution of the Fund is at a critical juncture beyond its control. The Fund ' s constituency is growing rapidly. At the same time, the Fund ' s clients are ageing as a result of increased longevity, which in turn often requires more extensive counselling and other special client service needs.",
"Outputs",
"80. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Processing of approximately 18,000 withdrawal settlements and retirement benefits during the biennium [2]",
"(b) Processing of approximately 6,000 other benefits after the initial retirement benefit (i.e. survivors, children, two-track pensions, etc.);",
"(c) Determination of the eligibility and affiliation of approximately 30,000 new Fund participants;",
"(d) Issuance, tracking and recording of approximately 100,000 certificates of entitlement upon receipt;",
"(e) Responding to approximately 15,000 queries and e-mails;",
"(f) Hosting and servicing approximately 11,000 visitors;",
"(g) Pre-implementation tasks such as data cleansing and quality management, process records, algorithms and subsequent transition to the Integrated Pension Administration System platform;",
"(h) Effective recording, monitoring and strengthening of client interface controls;",
"(i) Review, assess, develop and implement a customer relationship management system;",
"(j) Review and develop enhanced training materials for workshops and seminars to be made available to Fund staff (in New York and Geneva), participants, retirees and other beneficiaries, as well as other human resources staff of the secretariat of the Staff Pension Committee and member organizations;",
"(k) Develop and implement a secure signature system to include graphic signatures in the electronic files of each individual served by the Fund for comparison purposes;",
"(l) Strengthen controls and redesign certificates of entitlement and make further efforts to streamline the entire process;",
"(m) Enhanced and sustained development of performance data to meet internal requirements and to inform oversight bodies;",
"(n) Enhancing outreach capacity through seminars and training for participants, retirees and other beneficiaries, the secretariat of the Staff Pension Committee, subcommittees (including advisory groups and working groups) and members of the Board.",
"Finance",
"81. The Finance Section, through its Disbursement, Accounts and Cashier Unit/Cash Management Unit, provides comprehensive services and is responsible for all financial, accounting and disbursement operations of the Fund. The total annual financial transactions of the Fund are approximately $3.8 billion (taking into account benefit payments and the collection of contributions). The Fund processes 62,000 periodic benefit payments per month in 15 currencies (based on the Fund ' s 2009 audited financial statements) and payments to retirees and other beneficiaries residing in more than 190 countries. The Section is also responsible for the preparation of timely and accurate Fund-wide financial statements, including those of the Investment Management Division, and for liaising and coordinating with the internal and external auditors on the financial aspects of the Fund.",
"Table 16 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To ensure timely, accurate and reliable benefit payments and full accountability for the financial, accounting and payment operations of the Fund, including the issuance of accurate and timely financial statements and liaison with internal and external auditors on financial matters Annual audits are expected.",
"External factors",
"82. The subprogramme is expected to achieve its objectives unless affected by: (a) disruptions in the banking services of pensioners as a result of political conflicts and natural disasters around the world; (b) unforeseen delays in the implementation of the system, resulting in delays in IPSAS financial statement information; and (c) inadequate human resources to properly service pensioners as a result of the growth of the Fund.",
"Outputs",
"83. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Preparation of three sets of financial statements and related documentation; preparation of updated financial statements for 2012 in line with changes resulting from the move from the United Nations system accounting standards to full adoption of IPSAS 26;",
"(b) Reduction in the number of outstanding audit observations between successive reports on areas under supervision and on technical accounting issues (taking into account new audit observations arising during the period);",
"(c) Comprehensive reconciliation of all remittance entities within a specified six-month period after the submission of the year-end schedules;",
"(d) At the time of the annual and biennial accounts, a full reconciliation between the data in the main separation file records and the historical record of payment;",
"(e) Presentations and workshops in New York, Geneva and the larger reporting entities on the issue of participant reconciliation irregularities in contributions;",
"(f) The timely completion of bank reconciliations for all accounts on a monthly basis;",
"(g) The timely implementation of any updated banking requirements for the payment of benefits to pensioners;",
"(h) With regard to payments to pensioners:",
"(i) Ensure that pensioners receive money in a timely manner;",
"(ii) Reduction of bank charges to the Fund;",
"(iii) To minimize or eliminate bank charges to pensioners.",
"Table 17 Resource requirements",
"(Thousands of United States dollars)",
"Posts 27 874.7 28 626.2 137 136",
"Non-post 2 595.3 5 342.2 —",
"Subtotal 30 470.0 33 968.4 137 136",
"Extrabudgetary",
"Total",
"84. The amount of $34,121,300 would provide for the continuation of 137 posts; 124 established posts (3 D-1, 3 P-5, 9 P-4, 13 P-3, 1 P-2, 8 General Service (Principal level) and 87 General Service (Other level)) Other level); 1 General Service (Other level) post funded from extrabudgetary resources; 12 temporary posts (6 P-4, 2 P-3, 4 General Service (Other level)) Other level) and redeployment of one P-4 Legal Affairs Officer post under the control of the Legal Office at the United Nations Office at Geneva, as well as non-post requirements. The increase in non-post resources is attributable to increased requirements for consultants ($100,000) and general operating expenses ($2,846,300), offset in part by increased requirements for general temporary assistance ($199,400). The significant increase in general operating expenses is due entirely to the deduction of bank charges by the Pension Board from the proposed budget for 2010-2011.",
"85. At its 186th meeting, the Standing Committee reviewed a note on the after-service health insurance premium reduction programme implemented by the Fund and approved the above-mentioned extrabudgetary resources to be funded by participating member organizations at no cost to the Fund.",
"4. Programme support",
"Information Management Systems Service",
"Resource requirements (before recosting): $43,324,900",
"86. Guided by the Fund ' s information and communications technology management model, the Information Management Systems Service is responsible for: the Fund ' s information systems services; the maintenance of information and communications technology; the coordinated implementation of strategic decisions adopted by the Information Technology Executive Committee; and the development of training plans and the necessary tools for information and communications technology staff to support knowledge-sharing and collaborative work.",
"87. The Service is responsible for providing the full range of computer office automation; software/system design, development and commissioning; hardware support; telecommunications; shared infrastructure services (including the Investment Management Division); oversight and technical leadership of information technology work at the Fund ' s Geneva office; and resource management, infrastructure and conference room support.",
"Table 18 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To contribute to the operational and strategic objectives of the Fund through the efficient and effective use of information and communications technology",
"External factors",
"88. The subprogramme is expected to achieve its objectives and expected accomplishments on the assumption that: (a) technological developments are in line with expectations; (b) in-house and outsourced resources are available to achieve key objectives; and (c) stakeholders fulfil their responsibilities and obligations and cooperate fully in achieving the objectives of the information and communications technology strategy, in particular during the process review and redesign phases of work.",
"Outputs",
"89. During the biennium 2012-2013, the following outputs will be delivered:",
"Business operations services",
"(a) Effective and efficient access to and implementation of the information and communications technology architecture for the proposed Integrated Pension Administration System initiative, based on the functional and operational needs of the Organization, with a focus on improving information management and improving the efficiency of the Fund ' s operations;",
"Policy. Ensure that all information and communications technology services provided by the Information Management Systems Service conform to the expectations of the Fund ' s Information Technology Executive Committee and relevant industry standards (e.g., the Information Technology Infrastructure Library); implement network security measures for the Fund ' s information and communications technology infrastructure in accordance with the International Organization for Standardization security standards ISO-20002;",
"(c) Communications. Provision of backbone communications services, including Internet, private leased lines, communication devices and equipment and the necessary communication lines to connect the Fund ' s offices (including the Fund secretariat, the United Nations Office at Geneva, the Investment Management Division and the new information technology infrastructure hosting arrangement with the International Computing Centre); upgrading of the hub network infrastructure in New York to expand its capacity to support users with multiple needs for the transmission of high-speed mission critical data, voice and video to desktop computers;",
"(d) Information and communications technology infrastructure services. To support the operations of the Fund, multi-shift operations, management and maintenance of information and communications technology infrastructure services, such as server management, medium management and data backup in New York, New Jersey and Geneva. Overseeing the Centre ' s applications, equipment, network loads and transmission of information to prevent service interruptions. They will also ensure that the most up-to-date version of the software is used as far as possible and, where necessary, will use software to develop a life-cycle approach to system upgrading;",
"(e) Infrastructure architecture services. Develop and implement an information and communications technology infrastructure based on an emphasis on integration, interoperability, modularity and scalability and on best technical standards and practices for periodic technological updates; provide guidance to information technology decision makers and reduce information technology costs by reducing support costs and economies of scale;",
"(f) User support/help desk. Provision of technical, operational and help desk support for applications, servers, personal computers and mobile facilities connected to the Fund ' s network; provision of infrastructure support for approved software applications, such as productivity systems, e-mail, knowledge management systems and customized applications; and operation and support of conference room facilities and equipment, including video/audio equipment and projection functions;",
"(g) SMS. Provision and maintenance of electronic SMS communications services, including e-mail, videoconferencing services and unified messaging; provision and maintenance of mobile SMS and communications for hand-held equipment and services.",
"Enterprise application services",
"(a) Development. Implementation of systems that reduce manual benefit processing to maintain systems that increase productivity and efficiency; improvement of participant and beneficiary processing and connectivity to banks, accounting systems and workflow interfaces;",
"(b) Enterprise system maintenance. Maintenance and improvement of enterprise systems for core business applications, including pension administration, accounting and content management;",
"(c) Maintaining information-sharing among member organizations. Implementation and maintenance of information-sharing among member organizations in the collection of human resources information and financial information; use of a number of enterprise resource planning interfaces used by organizations to enhance the collection of human resources and financial data; and maintenance of an electronic archive output interface to support information-sharing and conversion in a secure manner.",
"Enterprise data services",
"(a) Database management. Implementation and maintenance of the Fund ' s database and enhancement of its availability on various information technology platforms; database upgrades; monitoring of usage and problem-solving; preparation of new tables and views; identification of data integrity issues; and support for system development related to database connectivity based on business needs;",
"(b) Systems software programming. Implementation and maintenance of the database system and hosting of computer operating systems and processes as required to provide mission-critical data to applications and interfaces;",
"(c) Data warehouse support. Implementation and maintenance of data warehouse systems and enhancement of their availability; data cleansing and data integration on various platforms;",
"(d) Management reporting. Implementation, maintenance and improvement of management reports using business intelligence tools.",
"Enterprise security services",
"(a) Information security. Regular security risk assessments of the technical structures and operations of the Fund ' s New York and Geneva offices and the use of various security tools, including firewalls, anti-spam and anti-virus software, to protect network security;",
"(b) Identity management. Provide the capacity to centrally manage identity storage and removal and consolidate the ever-expanding identity repository;",
"(c) Disaster recovery. Develop, adopt and implement a multi-year disaster recovery strategy to support the Fund ' s business continuity requirements.",
"Enterprise project management services",
"(a) Governance. Strengthening and operating the programme management infrastructure with a strong governance capacity using the model established by the governing bodies of the Information Management Systems Service;",
"(b) Project management methodology. Provide guidance on project management procedures and methods in an efficient, consistent and standardized manner;",
"(c) Project management support. Update, monitor and maintain the project portfolio in line with the project management methodology; provide coaching and training guidance in an effort to improve the Organization ' s project management maturity;",
"(d) Audit management. Manage and comply with internal and external audit opinions related to information and technology services.",
"Enterprise quality and production control services",
"(a) Standardization of quality. Identify and document quality standards requirements for implementation within IMSS;",
"(b) Change management. Identify and implement a complete change management framework with an appropriate division of responsibilities;",
"(c) Service level agreements and service delivery agreements. Development of statistical information and management of all service-level agreements and service delivery agreements of the Information Management Systems Service;",
"(d) Production control. The quality assurance function is monitored to ensure that all systems are operational only after a comprehensive assessment and user acceptance test has been conducted.",
"Contract management services",
"Monitoring and management of the various components of the budget of the Information Management Systems Service; provision of administrative support to information and communications technology services, including the identification of available resources, recording of provisions and processing of requisitions, purchase orders and related invoices; description of the use of the assets of the Service; and management of relationships with vendors, including technical partners, contractors and contractors. Provide expert-level knowledge in developing generic specifications for technical procurement; work directly with the United Nations Procurement Service to ensure that value-added solutions are provided at the lowest possible cost.",
"Table 19 Resource requirements",
"(Thousands of United States dollars)",
"Posts 8,426.7 8 607.6 32 31",
"Non-post 32 814.1 34 717.3 —",
"Total 41 240.8 43 324.9 32 31",
"90. The amount of $43,324,900 provides for the continuation of 31 posts: 26 established posts (1 D-1, 2 P-5, 6 P-4, 10 P-3, 1 General Service (Principal level) and 6 General Service (Other level)) and 5 temporary posts (1 P-5, 1 P-4, 2 P-3 and 1 General Service (Other level)) and includes non-post resources. An approved temporary post at the P-4 level had been on appointment for only 12 months and had been abolished in 2011. The increase in non-post resources ($1,903,200) relates mainly to other staff costs ($127,000) and contractual services ($5,975,900), offset in part by reduced requirements for furniture and equipment ($3,976,400), travel of staff ($21,600) and general operating expenses ($177,400). The total requirements for the Integrated Pension Administration System project of $12,661,400 provide for contractual services ($11,466,300) and temporary posts ($1,195,100).",
"Legal Office",
"Resource requirements (before recosting): $1,358,400",
"91. The Office of Legal Affairs continued to be responsible for the provision of unified legal services to the management and operations of the Fund ' s offices in New York and Geneva and provided substantive, procedural and administrative support to the Audit Committee and Standing Committee of the Pension Board (on appeals cases) and to the United Nations Staff Pension Committee (on disability cases). The Legal Office is responsible for ensuring that the Fund ' s operations are in compliance with the Regulations and Rules of the Fund and that the Regulations are interpreted consistently. In addition to the sections of the Fund secretariat, legal services and support are provided to participants and retirees and/or their legal representatives on the application of the Regulations and Rules of the Fund in individual cases. The Office focuses on new ways of documenting and disseminating jurisprudence, decisions and policy decisions. The promotion of knowledge-sharing in this way contributes to the effective use of the legal information and experience accumulated by the Office, the increased use of best practices and the ability of managers and staff to take into account legal risks in their daily decision-making.",
"Table 20 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To protect the legal interests of the Fund by providing expert legal advice on Pension Fund matters to the Chief Executive Officer, the Pension Board and the Standing Committee and other governing bodies of the Pension Fund Expected accomplishment (1) Enhanced harmonization and coherence in the implementation of the Regulations and Rules of the Fund and the pension adjustment system",
"External factors",
"92. The Legal Office is expected to achieve its objectives and expected accomplishments on the assumption that: (a) the Fund ' s committees, Pension Board, member organizations, operational staff and management will seek legal advice when their activities and operations affect the legal interests and responsibilities of the Fund; (b) legal advice will be sought in a timely manner and clients will provide adequate information for legal analysis and will follow the advice provided; and (c) the required human and financial resources will be available.",
"Outputs",
"93. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Providing advice on issues related to the interpretation and implementation of the Regulations, Administrative Rules and Pension Adjustment System of the Fund and providing operational support for the implementation of management policies and procedures;",
"(b) Advice on the review, negotiation and drafting of agreements and other legal instruments with member organizations and other international and intergovernmental organizations, as appropriate, and supervision and supervision;",
"(c) Provision of advice and documentation on institutional and operational modalities, legal submissions and other legal documents; preparation of defence responses to the United Nations Appeals Tribunal in cases related to pension matters (10);",
"(d) Preparation of legal publications and letters to Fund participants/beneficiaries, pension secretariats and administrations of member organizations, including relevant information posted on the Fund ' s website;",
"(e) Conference services to the United Nations Staff Pension Committee, the Standing Committee, the Audit Committee, including the electronic transmission of documents to simplify and modernize information-sharing through the online Quick Places and other knowledge management tools;",
"(i) Advice on the interpretation and implementation of the rules of procedure, resolutions and decisions of the Pension Board/Committee;",
"(ii) Substantive, technical and administrative servicing of meetings of the Standing Committee (2), including preparation of approximately 12 requests for review and appeals; analysis of legal issues, preparation of reports and documentation:",
"(iii) Substantive, technical and administrative servicing of meetings of the United Nations Staff Pension Committee (4); preparation of disability benefit applications (approximately 140 new adult applications, 40 child applications, approximately 190 requests for review and 2 appeals); preparation of reports and documentation;",
"(iv) Substantive, technical and administrative support to the meetings of the Audit Committee (6), including coordination of the preparation of documentation and reports;",
"(f) Compile and systematically disseminate case law and other legal reference files, opinions, policy decisions and guidelines of the Standing Committee and the Administrative Tribunal;",
"(g) Liaise with the member organizations of the Fund and its staff pension committee and other international organizations on issues related to the legal aspects of the pension scheme;",
"(h) Representation of the Fund at international or regional meetings, inter-agency meetings and meetings of legal advisers of member organizations and, as necessary, participation in standing councils, committees, ad hoc working groups and task forces.",
"Table 21 Resource requirements",
"(Thousands of United States dollars)",
"Posts – 1,358.4 – 4",
"Non-post —",
"Total - 1 358.4 – 4",
"94. In order to analyse programme support more clearly, the Legal Office has been separated from the Office of the Chief Administrative Officer and converted into a programme support subprogramme. The amount of $1,358,400 would provide for the continuation of four posts, three from the Office of the Chief Executive Officer (2 P-5 and 1 General Service (Other level)) and one from the Geneva Office (1 P-4, Legal Officer). The last of these posts will be located in Geneva.",
"Executive Office",
"Resource requirements (before recosting): $11,838,900",
"95. The Executive Office provides the necessary administrative and programme support for the activities of the Fund. It assists the Chief Executive Officer and the Director of the Investment Management Division in the preparation of biennial budget reports and provides related support services for the effective use of human and financial resources. It also provides general administration and facilities management services.",
"Table 22 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To contribute to the operational and strategic objectives of the Fund through efficient and effective management and programme support",
"External factors",
"96. The Executive Office is expected to achieve its objectives and expected accomplishments on the assumption that the required human and financial resources are available.",
"Outputs",
"97. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Human resources management:",
"(i) Providing policy advice to all staff on all issues related to human resources management;",
"(ii) Management of vacancy tracking data required by recruitment managers to support recruitment objectives;",
"(iii) Reporting to directors of e-PAS compliance data;",
"(iv) Organization of interviews for all personnel recruited through Inspira and temporary vacancy announcements;",
"(v) Addressing issues related to staff-management relations (teams, etc.);",
"(b) Staff training and career development:",
"(i) Develop specialized courses for the Fund and facilitate knowledge transfer in coordination with the Information Management Systems Service to establish a learning management system platform;",
"(ii) Organization of training courses at the premises of the Fund;",
"(iii) Monitoring and follow-up of mandatory courses for all staff;",
"(iv) Presentation of the Fund to each new staff member;",
"(v) Providing career development advice.",
"(c) Administration:",
"(i) Providing day-to-day administrative support to Fund staff;",
"(ii) Maintenance of the staffing table;",
"(iii) Processing of personnel actions at the General Service and Professional levels for monthly payroll;",
"(iv) Renew the staff member ' s contract two months before its expiration by reminding the supervisor of the recommendation;",
"(v) Analysis of staff pension and entitlement cases in accordance with United Nations policies and any changes and updates to personal benefits and entitlements;",
"(vi) Providing certified business travel for Fund staff and associated personnel;",
"(vii) Arrange for travel of United Nations members of the Pension Board, members of the Audit Committee and the Committee of Actuaries and Fund staff;",
"(viii) Maintenance of working hours and attendance records;",
"(ix) Maintenance of the “Quickplace” website to provide audit committee members with access to meeting-related documents.",
"(d) Financial and budgetary management:",
"(i) Providing guidance to programme managers on the biennial budget and revised budget of the Fund and completing the budget preparation process;",
"(ii) Issuance of allotments and revised appropriations;",
"(iii) Proof of all expenditures;",
"(iv) Monitoring of expenditures and reporting on a monthly basis to programme managers;",
"(v) Provision of advice and guidance to programme managers on the implementation of the Financial Regulations and Rules;",
"(vi) Control of the administrative budget, including the verification of invoices before payment;",
"(vii) Completion of schedule I of the annual financial statements of the Fund (status of appropriations versus administrative costs);",
"(viii) Reconciliation of administrative costs between the Fund and the United Nations Secretariat.",
"(e) Facilities and property management:",
"(i) To ensure that the facility is maintained and in operational condition;",
"(ii) Coordinating with BMS and suppliers for any necessary maintenance;",
"(iii) Administration of office-related contracts;",
"(iv) Assistance in the planning and configuration of new and existing office space;",
"(v) Maintenance and support of the Fund ' s asset/inventory management system for fixed assets;",
"(vi) Coordinated disposal of obsolete equipment and furniture;",
"(vii) Maintenance and support of the Fund ' s emergency notification system;",
"(viii) Maintenance of emergency contact information for use by Fund staff in security/emergency operations.",
"Table 23 Resource requirements",
"(Thousands of United States dollars)",
"Posts",
"Non-post 11 451.5 10 120.3 —",
"Total",
"98. The amount of $11,838,900, reflecting a decrease of $1,271,900, provides for the continuation of seven posts (1 P-5, 1 P-4, 1 P-3 and 4 General Service (Other level)) and the reclassification of one P-3 post to the P-4 level, as well as non-post resources for administration as a whole. The decrease of $1,331,200 in non-post resources is due mainly to lower requirements for rental and maintenance of premises following more accurate estimates.",
"C. Investment costs",
"General",
"99. The Investment Management Division assists the Secretary-General in the management of the investments of the assets of the United Nations Joint Staff Pension Fund in accordance with the delegation of authority given by the Representative of the Secretary-General pursuant to article 19 of the Regulations of the Fund. The Division is responsible for the day-to-day management of these assets, implementing the approved investment strategy and ensuring that the portfolio is in line with the Fund ' s approved asset allocation, policies, regulations and rules. Its mission is to generate overall portfolio returns to meet the liabilities, while remaining within the Fund ' s risk limits. The Investment Management Division ensures that performance reports and portfolio risk analysis reports are accurate and up-to-date and that arrangements are made to properly and accurately account for the investments of the Fund. The main sections of the Division are the Office of the Director, the Investment Section, the Risk and Compliance Section, the Operations Section and the Information Systems Section.",
"100. The overall resource requirements for the Investment Management Division amount to $91,799,300 before recosting, reflecting a net increase of $10,601,800, or 13.1 per cent, compared with the revised appropriation for the biennium 2010-2011. The net increase shown in table 25 below is summarized below:",
"(a) Executive direction and management: the decrease of $1,567,900 relates to decreases under non-post costs, mainly travel ($1,382,200), consultants ($2,028,800) and other staff costs ($1,665,100), which are requested under the related programme, partially offset by increases under posts ($508,200) and contractual services ($3,000,000) resulting from the inward redeployment of one P-4 Legal Officer from the Risk and Compliance Section and one General Service (Other level) post from the Operations Section;",
"(b) Programme of work: the increase of $7,451,700 relates to the establishment of six new posts, the inward redeployment of two posts in the Office of the Director ($1,115,100) and non-post resources of $6,336,600 related to contractual services ($2,772,200); in addition, other staff costs requested under executive direction and management ($1,416,200), travel of staff ($1,271,200) and consultants ($877,000) from previous submissions are now requested under programme of work;",
"(c) Programme support: the net increase of $4,718,000 in requirements for the Information Systems Section ($5,794,500) is attributable to the addition of one post ($863,600) and increases in contractual services ($4,040,000), other staff costs ($779,300) and travel ($111,000), the last two of which were requested under executive direction and management in previous submissions, offset in part by a decrease of $1,076,500 under administrative support for the rental and maintenance of premises, offset in part by the completion of the renovation of the Division ' s office on the 30th floor of Dag Hammarskjöld Plaza.",
"101. The estimated distribution of resources and resource requirements by component are shown in tables 24 and 25 below.",
"Table 24 Percentage distribution of resources by component",
"Regular budget",
"A. Executive direction and management",
"Programme of work",
"1. Investments 53.9",
"2. Risk and compliance 2.9",
"Operational activities 12.0",
"Subtotal programme of work 68.8",
"C. Support",
"1. Information Systems Section 19.1",
"2. Administrative support 4.4",
"Subtotal, programme support 23.5",
"Total 100.0",
"Table 25 Resource requirements by component",
"(Thousands of United States dollars)",
"Resource growth",
"United Nations Joint Staff Pension Fund",
"A. 8 654.2 (1 (18.1) 7 086.3 52.33 – 7 138.6 7 138.6 Executive direction and management 567.9)",
"Programme of work",
"1. Investments 51 568.3 (2 (4.1) 49 476.6 655.8 – 50 132.4 50 132.4 091.7)",
"2. Risk and compliance 1 931.6 680.1 35.2 2 611.7 (19.2) - 2 592.5 2 592.5",
"3. Operational activities",
"Subtotal B",
"C. Support",
"1. Information Systems Section",
"2. Administrative support",
"Subtotal C 16 864.9 4 718.0 28.0 21 582.9 270.1 - 21 853.0 21 853.0",
"Total",
"Executive direction and management",
"Resource requirements (before recosting): $7,086,300",
"102. The Director of the Investment Management Division establishes a framework for the Division ' s respective strategies and priorities to ensure that the Division fulfils its mandate while ensuring that it is in the best position in terms of security, performance, responsibility and accountability and that it fully complies with the highest standards of efficiency, competence and integrity. The Director promotes effective control and management of the assets of the Fund through a work plan that reflects the long-term objectives and priorities of the Division and the Fund as a whole. The Director leads the Investment Management Division ' s cooperation with the Fund ' s Audit Committee, the United Nations Board of Auditors and the Office of Internal Oversight Services (OIOS).",
"103. The Office of the Director is responsible for providing critical legal, contract management and requisitioning services and administrative support, including strategic projections of human resources in response to the increasing demands of the Investment Management Division. The Office also provides services and support to the Investments Committee.",
"104. Our objective is to develop the Office of the Director as a unit to assist the Investment Management Division in monitoring and coordinating the timely implementation of its workplan. The scope and responsibilities of the Office of the Director are also expanding as the Fund continues to grow and diversify in terms of investment type, staff and number of sections. We therefore plan to strengthen and expand the functions of the Office, if the required systems and staffing are adequate, by establishing dedicated units with clear mandates and responsibilities to deal with legal and contract management; requisition services, budgeting and invoice processing; the Investments Committee and legislative bodies; and administrative-related matters.",
"Table 26 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To ensure full implementation of legislative mandates and compliance with the regulations and rules of the Fund, taking into account the recommendations of the Investments Committee and the decisions of the Representative of the Secretary-General relating to the management of the programme of work of the Fund in respect of investments and staff and financial resources",
"(1) Decision, in consultation with the Representative of the Secretary-General: guidelines on the distribution of assets, currency holdings, market weights, strategic and tactical short-term allocations; investment opportunities; information systems and operating infrastructure (1.1) Fund investment performance is better than market",
"(2) Effective planning and coordination of the Investment Management Division procurement requirements (2.1) Percentage of requests for proposals completed within 6 months",
"(3) Provision of extensive legal advice on various types of investments and contracts (3.1) Successful completion of new investment transactions and enforcement of contracts",
"(4) Effective servicing of the Investments Committee and other legislative bodies (4.1) No complaints were received from the Investments Committee and other participants",
"(5) Timely recruitment and placement of staff (5.1) Reduction in the average number of days a post remains vacant",
"(5.2) Lower vacancy rate",
"External factors",
"105. The objective and expected accomplishments would be achieved on a stable basis, provided that: (a) all stakeholders are supportive of and fully cooperate with the work of the Investment Management Division; and (b) there are no significant funding gaps in the implementation of the mandates established by the General Assembly and the Pension Board. The realization of the executive direction programme depends on the full cooperation of the relevant United Nations offices/divisions.",
"Outputs",
"106. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Regularly updating and implementing investment policies to ensure robust implementation of investment strategies in accordance with the directives received by the Investments Committee;",
"(b) Effective and regular coordination with the Procurement Division on the procurement requirements of the Investment Management Division through the development of a medium-term procurement plan, the preparation of high-quality solicitation documents and the acceleration of the solicitation process; and the involvement of high-quality enterprises in the bidding process for approximately 10 procurement actions;",
"(c) Regular coordination and contacts with legal experts and legal advisers of the Office of Legal Affairs to negotiate and implement approximately 160 contracts;",
"(d) Four Investment Committee meetings per year. Provide accurate reports on investments to the Board, the Advisory Committee on Administrative and Budgetary Questions, the Fifth Committee and other interested parties;",
"(e) Implement the travel and training plan for the staff of the Investment Management Division. Filling of vacancies within 180 days.",
"Table 27 Resource requirements",
"Resources (thousands of United States dollars)",
"(before recosting)",
"Posts 1 941.6 2 449.8 7 9",
"Non-post",
"Total 8 654.2 7 086.3 7 9",
"107. The overall resource requirements of $7,086,300, reflecting a decrease of $1,567,900, would provide for the continuation of seven posts (1 D-2, 1 P-5, 1 P-4, 1 General Service (Principal level) and 3 General Service (Other level)), the inward redeployment of two posts from the Risk and Compliance Section (1 P-4) and the Operations Section (1 General Service (Other level)) and non-post resources for the Division as a whole under travel of representatives and hospitality. The decrease in non-post resources is mainly attributable to the apportionment of other staff costs ($1,665,100), travel of staff ($1,382,200) and consultants ($2,028,800), partially offset by increased requirements for contractual services ($3,000,000).",
"Programme of work",
"Investment Section",
"Resource requirements (before recosting): $49,476,600",
"108. The Investment Section is responsible for achieving optimal investment returns for the Fund while avoiding undue risk. The Section comprises seven organizational entities, namely, North American equities, European equities, Asia-Pacific equities, global emerging market equities, bonds, real estate and alternative investments. The main functions of the Investment Section are to monitor the current portfolio, to keep abreast of and track developments in financial markets and to make and implement investment decisions. These functions include the preparation of financial analysis, attendance at conferences and meetings and travel to countries to meet with analysts and company managers. A secondary function is to assist in the preparation of reports to all governing bodies.",
"109. The mandate of the Investment Section for 2012-2013 includes: (a) achieving the long-term objective of the Fund ' s investments, namely, to achieve a real annual rate of return of 3.5 per cent, adjusted by the United States consumer price index; (b) achieving a stable improvement in the Fund ' s investment performance over policy benchmarks; (c) maintaining the level of risk commensurate with investment return targets; and (d) reducing currency and country risk through reasonable diversification.",
"Table 28 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To achieve, in the long term: (a) optimum real return on investments for the Fund, without undue risk; and (b) diversification of the investment portfolio in terms of asset form, currency and geography As a result of the global financial crisis in 2008 and early 2009, the Fund ' s performance over the 10-year period ending December 2009 was 1.7 per cent below the target for 2010-2011: based on preliminary data, the Fund performed 3.5 per cent in real terms during the 10-year period ending December 2010 and in line with the Fund ' s revenue target for 2012-2013: performance was better than the Fund ' s long-term target of 3.5 per cent in real annual return (2) The Fund ' s investment performance was steadily above the policy benchmark, consisting of 60 per cent equities, 31 per cent bonds, 6 per cent real estate and 3 per cent cash (2.1) Comparison of the Fund ' s total return over a five-year period against the policy benchmark Estimate 2010-2011: as of December 2010, investments in 35 currencies: further optimization of the Fund ' s asset allocation in currencies (3.2) As of December 2009, investments in 41 countries, including emerging market countries, international/regional institutions and investment trusts are estimated: as of December 2010, investments in 47 countries, including emerging market countries, international/regional institutions and investment trusts are targeted for 2012-2013: further optimize, as appropriate, the distribution of the Fund ' s assets among countries (4) Diversification of investments into alternative asset classes (4.1) Number of alternative asset classes investment strategies In June 2010, the Senior Investment Officer for Alternative Investments joined the Fund. The target for the period from June 2010 to December 2011 is to finalize the selection of alternative investment advisers and to commit 5 to 10 managers. The selection of a physical asset consultant was finalized in June 2009 and a detailed strategy will be developed in early 2011. The Fund will invest in several funds in the areas of infrastructure and timber/agriculture land. By the end of 2013, the Fund was expected to invest in 15-20 private fund-raising and hedge funds. The long-term performance of private funds will be measured by the weighted rate of return in United States dollars and the internal rate of return; for the hedge fund portfolio, by the time-weighted rate of return. Discussions with the Fund ' s Private Fund and hedge fund consultants on the benchmarking of the Fund will take place and will be detailed at a later stage on (5) increased staff capacity to address investment and portfolio management issues (5.1)",
"External factors",
"110. The objective and expected accomplishments would be achieved on a stable basis, provided that (a) all stakeholders are supportive of and fully cooperate with the work of the Investment Management Division; (b) there are no significant funding gaps in the implementation of the mandates established by the General Assembly and the Pension Board; and (c) changes in financial markets, such as global equities, global bonds, real estate and foreign exchange, are in line with long-term assumptions.",
"Outputs",
"111. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) The overall rate of return was higher than the Fund ' s target of 3.5 per cent after a long-term real annual rate of return adjusted for the United States consumer price index;",
"(b) The Fund ' s total return exceeded the policy benchmark, comprising 60 per cent securities, 31 per cent bonds, 6 per cent real estate and 3 per cent cash;",
"(c) Maintaining a better diversified portfolio at the monetary and national levels, with a view to reducing currency and country risks;",
"(d) The successful introduction of alternative asset classes appropriate to the objectives of the Fund where market conditions favour the Fund in order to earn a higher rate of return than investment in listed shares;",
"(e) Improved professionalism and knowledge of staff through participation in conferences and seminars directly related to investment and portfolio management will help to improve the performance of the Fund.",
"Table 29 Resource requirements",
"Resources (thousands of United States dollars)",
"(before recosting)",
"Posts 7 698.4 8 974.3 27 31",
"Non-post 43 869.9 40 502.3 –",
"Total 51 568.3 49 476.6 27 31",
"112. The overall requirements of $49,476,600, reflecting a decrease of $2,091,700, would provide for the continuation of 27 posts (1 D-1, 7 P-5, 6 P-4, 4 P-3, 4 General Service (Principal level) and 5 General Service (Other level)), the establishment of 4 new posts (3 P-4 and 1 P-3) and non-post resources. The decrease in non-post resources is due to the reduction in contractual services ($5,090,300) and the inclusion of other staff costs ($197,500), travel of staff ($1,025,200) and consultants ($500,000) previously requested under executive direction and management.",
"Risk and compliance",
"Resource requirements (before recosting): $2,611,700",
"113. The Risk and Compliance Section is a new body responsible for identifying, measuring and managing all aspects of the risks faced by the Fund. In addition, with regard to compliance, the Section is responsible for implementing effective monitoring and control procedures for the investments of the Fund. Its functions include two sub-functions: risk management and compliance.",
"Table 30 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To provide for controls to monitor compliance with the various risks associated with the Investment Management Division funds (i.e., market risk, operational risk, credit risk, legal and reputational risk). This function is also responsible for the development of risk budgets at the asset and supervisor levels, monitoring compliance with risk budgets and helping investment departments to maximize the benefits of risk adjustments in line with established risk tolerance Expected accomplishment (1) Effective monitoring of risks included in the Fund's investment operations (1.1) Effective coverage of all investment transaction performance measures (transactions)",
"External factors",
"114. The Risk and Compliance Section should be able to achieve its objectives and expected accomplishments on the assumption that all external parties support and cooperate fully with the work of the Section. Other external factors include:",
"(a) More volatile stock markets;",
"(b) A more volatile and volatile currency market, requiring the capacity to carry out substantial quantitative analysis to offset risks by using index-linked tools;",
"(c) Enhanced credit risk for sovereign States;",
"(d) Operating in an environment of simultaneous inflation and/or deflation in different geographical areas;",
"(e) Increased international trade barriers;",
"(f) Benchmark changes in macroeconomic trends;",
"(g) The risk of sudden underfunding due to the depreciation of the base currency (in United States dollars), which has led to an all-time high, but also the potential risk of underfunding due to the increased use of the two-track feature and increased liabilities in other currencies;",
"(h) The commodity price boom;",
"(i) High unemployment, which is a “new normal” that persists in developing economies;",
"(j) Debt default by sovereign States.",
"Outputs",
"115. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) Maintenance of policies and standard operating procedures, namely, standard investment operating policies and procedures, risk management manuals, compliance policies and manuals, ethics and policies on personal securities, gifts and hospitality;",
"(b) Complete the quarterly compliance review of the Fund ' s investment operations to ensure that the Fund ' s compliance risks are effectively controlled;",
"(c) Managing letterback certification, pre-approval of trade orders, personal securities reports, hospitality records and mandatory leave;",
"(d) Organization of training programmes on investment compliance and code of ethics (two on-site training programmes involving the Division as a whole);",
"(e) Coordination for full compliance with the United Nations annual financial disclosure programme;",
"(f) Preparation of periodic reports of the Audit Committee of the Pension Board (8 presentations);",
"(g) Serving as a focal point for internal and external audits planned by the Board of Auditors and the Office of Internal Oversight Services; and as a focal point for handling queries from the Ethics Office.",
"Table 31 Resource requirements",
"Resources (thousands of United States dollars)",
"(before recosting)",
"Posts 1 931.6 1 919.7 6 7",
"Non-post — 692.0 —",
"Total 1 931.6 2 611.7 6 7",
"116. The overall resource requirements of $2,611,700, reflecting an increase of $680,100, would provide for the continuation of five posts (1 D-1, 2 P-4 and 2 General Service (Principal level)), the redeployment of one P-4 and one General Service (Other level) posts from the Operational Activities Section to the Office of the Director and the establishment of one new post (1 P-4). The increase in non-post resources is due mainly to the inclusion of other staff costs ($321,600), travel of staff ($193,400), consultants ($127,000) and contractual services ($50,000).",
"Operational activities",
"Resource requirements (before recosting): $11,041,800",
"117. The Operations Section of the Investment Management Division is responsible for the back-office investment operations, accounting, reconciliation and financial reporting of all investment transactions and related activities of the Fund. The Section is also responsible for the timely and accurate settlement of all investment and foreign exchange transactions, using industry standard solutions for straight-through and exceptional cases. In addition, the Section ensures that all investment activities, such as transactions, foreign exchange transactions, revenue collection, maturity of obligations, taxation and corporate actions, are properly recorded in accordance with the International Public Sector Accounting Standards adopted by the Fund in order to prepare financial statements with adequate internal controls and audit trails. In addition, the Section is responsible for preparing daily cash projections to enable the Investment Section to manage all cash in currency used by the Investment Management Division in its investments. Effective 1 January 2012, the Operations Section will also be responsible for the application of IPSAS to all investment activities that should be reported and reflected in the Fund-wide financial statements under the overall guidance of the Chief Finance Officer of the Fund. The Section works closely with the custodians to process transactions and foreign exchange settlements, interest claim investigations for unsuccessful transactions, revenue collection, maturity of obligations, taxation and business operations. The Section also works closely with the master record keeper to reconcile cash and assets held, fair market valuation of the Fund ' s investments and general ledger entries on a daily basis. The Section works closely with the Information Systems Section to assist in the implementation of more efficient procedures to ensure internal controls, while strengthening the Investment Management Division ' s various computerized investment activities to minimize manual interventions.",
"Table 32 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To ensure the security of the Fund ' s investments and to enhance transparency in its financial reporting",
"Expected accomplishments Indicators of achievement",
"(1.1) Increased percentage of properly authorized investment transactions settled within the market settlement time frame",
"Performance measures",
"2008-2009: 96.25 per cent",
"Estimate 2010-2011: 98 per cent",
"Target 2012: 99 per cent",
"Target 2013: 99 per cent",
"(1.2) Reduction in the number of days required to resolve differences in position/held assets and cash",
"2008-2009: not applicable",
"Estimate 2010-2011: implementation and testing phases",
"Target 2012: variances resolved within 3 days",
"Target 2013: variances resolved within 2 days",
"(2) Successful implementation of the International Public Sector Accounting Standards (IPSAS) adopted by the Fund in coordination with governing bodies (2.1) Timely reporting of IPSAS-compliant financial statements prepared by the Division to the Chief Finance Officer of the Fund (by 15 March of the following year)",
"Performance measures",
"2008-2009: 1 April 2010",
"Estimate 2010-2011: 15 March 2011",
"Target 2012: 15 March 2012",
"Target 2013: 15 March 2013",
"(2.2) Unqualified audit opinion of the Board of Auditors on financial statements",
"Performance measures",
"2008: Unqualified audit opinion",
"2009: modified audit opinion",
"Estimate 2010-2011: unqualified audit opinion",
"Target 2012: unqualified audit opinion",
"Target 2013: unqualified audit opinion",
"(3) Operational functionality fully functional in the new dual custodian and independent master record keeper model (3.1) All business systems fully functional after selection of new custodian and master record keeper",
"External factors",
"118. The Operations Section is expected to achieve its objectives on the assumption that:",
"(a) The internal mission-critical system (Charles River trade order management system, Murex MX.3, SWIFT and OMGEO) and the master record-keeping system of the independent master record-keeper provide a comprehensive and timely straight-through and exception-processing and reconciliation; the implementation of OMGEO, the independent master record-keeper and the master record-keeping system is dependent on successful contract negotiations;",
"(b) The performance of the two custodians and the independent master record keeper in terms of custody and master record management services was satisfactory.",
"Outputs",
"119. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) The settlement of all securities, real estate, alternative assets and currency exchange transactions on the date of settlement or fixed value;",
"(b) Automatic reconciliation of securities/positions/held assets and cash, including income (equity, interest and cash allocations), duration and business actions, on a daily basis for exceptional cases;",
"(c) Successful testing or testing of the financial statements as at 30 June 2012 and favourable feedback from the external auditors on IPSAS compliance;",
"(d) Preparation of IPSAS-compliant financial statements and disclosures (investment only) by 15 March 2013;",
"(e) Transfer all assets to a new custodian for recording and re-registration;",
"(f) Preparation of all standard reports by the new master record keeper and custodian.",
"Table 33 Resource requirements",
"(Thousands of United States dollars)",
"Posts",
"Non-post — 9 012.2 —",
"Total",
"120. The amount of $11,041,800, reflecting an increase of $8,863,300, provides for the continuation of nine posts (1 P-5, 1 P-3, 2 General Service (Principal level) and 5 General Service (Other level)) and the outward redeployment of two General Service (Other level) posts to the Office of the Director and the Risk and Compliance Section and the establishment of one new post (1 P-3). The increase in non-post resources relates mainly to contractual services ($7,812,500) and resources previously requested under executive direction and management, including other staff costs ($897,100), travel of staff ($52,600) and consultants ($250,000).",
"4. Programme support",
"Information Systems Section",
"Resource requirements (before recosting): $17,571,800",
"121. The Information Systems Section is responsible for technology, data management, applications, policies, procedures and project management to support investment processes and maintain reliable investment data. The Section will continue to implement solutions to improve the quality and accessibility of investment data, streamline and standardize investment procedures and provide practical technology to implement security policies, ensure business continuity and implement controls in line with the Investment Management Division investment guidelines, thereby reducing operational and operational risks. More importantly, the Section will provide good investment data as part of the solution, add value to the Fund and make it possible to manage risks wisely.",
"Table 34 Objectives for the biennium, expected accomplishments and indicators of achievement",
"Objective of the Organization: To provide information technology solutions and technical support to facilitate back-to-back investment processes",
"Expected accomplishments Indicators of achievement",
"(1) (1.1) The ability to make exceptions to investment transactions",
"Performance measures",
"Percentage of transactions processed directly",
"2008-2009: not applicable",
"2010-2011: 90 per cent (trade order management, SWIFT, custodian bank)",
"Target 2012-2013: 95 per cent",
"(1.2) Support standardization and modernization of investment processes",
"Performance measures",
"Percentage of business processes standardized",
"2008-2009: not applicable",
"2010-2011: 85 per cent",
"Target 2012-2013: 95 per cent",
"(1.3) Risk and compliance management made possible",
"Performance measures",
"Number of risk and compliance tools provided",
"2008-2009: not applicable",
"2010-2011: 2",
"Target 2012-2013: 2",
"(2) Improved quality, security and accessibility of Investment Management Division investment data (2.1) Timely verification and reconciliation of investment data",
"Performance measures",
"Percentage of reliable investment reports produced",
"2008-2009: 50 per cent",
"2010-2011: 75 per cent",
"Target 2012-2013: 90 per cent",
"(2.2) High accessibility of information technology services",
"Performance measures",
"Percentage of potential information technology operational risks",
"2008-2009: 25 per cent",
"2010-2011: less than 5 per cent",
"Target 2012-2013: less than 1 per cent",
"External factors",
"122. The subprogramme is expected to achieve its objectives and expected accomplishments on the assumption that: (a) procurement and legal procedures conducted by the United Nations Secretariat on behalf of the Investment Management Division are completed within the projected time frame; (b) stakeholders fulfil their responsibilities and cooperate fully in achieving the information and technology strategic objectives of the Division and facilitating its operations; and (c) the Information Management Systems Service supports the integrated information and communications technology infrastructure in a timely manner.",
"Outputs",
"123. During the biennium 2012-2013, the following outputs will be delivered:",
"(a) The management of trading orders (Charles River), back-office assignments, reconciliations, accounting (Murex) and the inter-bank SWIFT system were successfully and adequately implemented and supported;",
"(b) Implementation of the data centre, foreign exchange and fixed-income investment implementation system;",
"(c) Investment processes are properly documented;",
"(d) An exception to investment transactions;",
"(e) Facilitating the standardization and simplification of business processes;",
"(f) Supporting and facilitating compliance monitoring and systems;",
"(g) Implement automatic data entry to support data verification;",
"(h) Support data reconciliation;",
"(i) Strengthening the Investment Management Division infrastructure;",
"(j) Implementing and supporting security policies and disaster recovery;",
"(k) Making business continuity possible.",
"Table 35 Resource requirements",
"(Thousands of United States dollars)",
"Posts 1 593.9 2 457.5 7 8",
"Non-post",
"Total 11 777.3 17 571.8 7 8",
"124. The amount of $17,571,800, reflecting an increase of $5,794,500, provides for the continuation of seven posts (1 P-5, 3 P-4, 2 P-3 and 1 General Service (Principal level)) and the establishment of one new post (1 P-4). The increase in non-post resources is mainly attributable to increased requirements for contractual services ($498,500), the transfer of contractual services for market data from the Investment Section to the Information Systems Section ($3,541,500) and resources previously requested under executive direction and management, including other staff costs ($779,300) and travel of staff ($111,000).",
"Administrative support",
"Resource requirements (before recosting): $4,011,100",
"Table 36 Financial resource requirements",
"(Thousands of United States dollars)",
"(Thousands of United States dollars)",
"Non-post 5 087.6 4 011.1 —",
"Total 5 087.6 4 011.1 —",
"125. The amount of $4,011,100, reflecting a decrease of $1,076,500, provides for non-post resources for the Division as a whole. The decrease is due mainly to the one-time request for rental and maintenance of premises ($916,900) in the context of the revised budget for 2010-2011, resulting from the renovation of additional office space at 1 Hammarskjöld Plaza.",
"D. Audit costs",
"Resource requirements (before recosting): $2,748,200",
"126. The distribution of resources is shown in table 37.",
"Table 37 Financial resource requirements",
"(Thousands of United States dollars)",
"(Thousands of United States dollars)",
"External audit 661.2 774.7 —",
"Internal audit 1 983.8 1 973.5 —",
"Total 2 645.0 2 748.2 —",
"127. The amount of $2,748,200 provides for the estimated requirements requested by the Board of Auditors for external audit ($774,700) and for internal audit ($1,973,500).",
"1. External audit",
"Resource requirements (before recosting): $774,700",
"128. The amount of $774,700 provides for the costs associated with the Board of Auditors, to be shared by the secretariat of the Board of Auditors with the Fund.",
"2. Internal audit",
"Resource requirements (before recosting): $1,973,500",
"129. The amount of $1,973,500 provides for the continuation of five general temporary assistance posts (1 P-5, 2 P-4, 1 P-3 and 1 General Service (Other level)), training and non-post resources (including consultants, travel of staff, contractual services, communications, operational costs, supplies and materials and furniture and equipment). The decrease is mainly due to the net effect of the requirement for general temporary assistance only as a result of the reduction in standard salary costs and to minor changes in other non-post resources requested.",
"E. Board expenses",
"Resource requirements (before recosting): $200,000",
"Table 38 Financial resource requirements",
"(Thousands of United States dollars)",
"(Thousands of United States dollars)",
"Board expenses",
"130. In section IV of its resolution 61/240, the General Assembly approved the inclusion of Board expenses, including administrative costs for Board sessions, travel of the Chairman and travel of working groups, in the budget of the Fund and in the accounts for administrative costs.",
"131. The provision of $200,000 would cover the estimated requirements for the Board ' s expenses, including travel of the Chair to the fifty-ninth and sixtieth sessions of the Board and the meetings of the Advisory Committee on Administrative and Budgetary Questions and the Fifth Committee, travel of the Chief Executive Officer to identify the panel and administrative costs for the fifty-ninth and sixtieth sessions to be held in July 2012 and July 2013 ($120,000).",
"IV. Emergency Fund",
"132. In section III of its resolution 62/241, the General Assembly authorized the Fund to supplement its voluntary contributions to the Emergency Fund for the biennium 2008-2009 by an amount not exceeding $200,000.",
"133. It is proposed that the Pension Board recommend to the General Assembly that it authorize the Board to supplement voluntary contributions to the Emergency Fund for the biennium 2012-2013 by an amount not exceeding $200,000.",
"V. Interim measures recommended to implement the International Public Sector Accounting Standards by 1 January 2012",
"134. At its fifty-seventh session, in July 2010, the Board approved the implementation of the International Public Sector Accounting Standards, effective 1 January 2012, and, as requested, the Secretariat and the Investment Management Division submitted to the Board a status report on the implementation of the new accounting standards in July 2011.",
"135. At present, the Fund reports under the Financial Regulations and Rules of the United Nations. It was noted that the United Nations had planned to implement the International Public Sector Accounting Standards in 2014 and, in that connection, the Board was informed that the United Nations planned to propose changes to the Financial Regulations and Rules to the General Assembly at its sixty-seventh session, in 2012.",
"136. In view of the timing of the revision of the Financial Regulations and Rules, and with the support of the Audit Committee of the Fund and for the sole purpose of enabling the Fund to implement IPSAS in a timely manner, the Board was requested to recommend to the General Assembly at its sixty-sixth session, in 2011, the approval of the following transitional measures for the financial reporting of the Fund:",
"“As a transitional measure, the Board authorizes the Fund to continue to apply, mutatis mutandis, the Financial Regulations and Rules of the United Nations in its accounting processes and financial reports in a manner that brings the practices of the Fund into line with the International Public Sector Accounting Standards. The Board hereby recommends that, in accordance with article 19 (b) of the Regulations of the United Nations Joint Staff Pension Fund, the Secretary-General maintain detailed accounts of all investments and other transactions of the Fund in a manner consistent with the International Public Sector Accounting Standards.”",
"137. The Board was informed that, once the transitional measures were approved, the full implementation of IPSAS by the Fund would be in line with the Board ' s decision to adopt IPSAS in 2012, provided that the Fund subsequently formalizes its Financial Regulations and Rules. The Fund ' s 2012 financial statements will be submitted and audited in accordance with IPSAS, which will provide the regulatory framework.",
"138. After discussion, the Board endorsed the transitional measure on the financial reporting of the Fund and recommended that it be approved by the General Assembly at its sixty-sixth session, in 2011.",
"Actions to be taken by the General Assembly",
"139. The Pension Board recommends the following to the General Assembly:",
"(a) Approve a decrease of $21,772,800 in the appropriation for 2010-2011. Accordingly, the revised appropriation for the biennium 2010-2011 amounts to $154,545,700, divided into administrative costs ($80,478,500), investment costs ($71,289,000), audit costs ($2,532,900) and Board expenses ($245,300). Of that amount, $133,037,000 would be apportioned to the Pension Fund and $21,508,700 would be charged directly to the United Nations under the cost-sharing arrangement;",
"(b) Approve the revised budget estimates for extrabudgetary resources totalling $144,300 for the biennium 2010-2011;",
"(c) Approve the budget estimates for the biennium 2012-2013 for the Fund in the amount of $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Pension Board costs ($204,400). Of that amount, $173,260,600 would be apportioned to the Pension Fund and $20,903,400 would be apportioned to the United Nations under the cost-sharing arrangement;",
"(d) Approve resources totalling $156,800 for extrabudgetary costs for the biennium 2012-2013 to be funded by a number of member organizations;",
"(e) Approve an amount not exceeding 200,000 dollars to supplement contributions to the Emergency Fund;",
"(f) Approve interim transitional financial measures to implement IPSAS effective 1 January 2012.",
"VII. Summary of follow-up action taken to implement requests and recommendations of the Board of Auditors and the Advisory Committee on Administrative and Budgetary Questions",
"Table 39",
"A. Advisory Committee on Administrative and Budgetary Questions",
"(A/65/567)",
"(a) The Advisory Committee concurs with the recommendations of the Board of Auditors related to the revised risk management policy and the recommendation that the Division continue to implement the newly developed risk management manual (para. 7). Most control measures have been implemented and efforts are under way to implement the remaining controls. The Risk Management Manual is a living document that is updated on a quarterly basis. Implementation is an ongoing process with the goal of implementing all control measures. Some of the controls set out in the Risk Management Manual are manual and await resource allocation; others are automated and await modernization of infrastructure. When these milestones are reached, these controls will be implemented.",
"(b) The Advisory Committee concurs with the recommendations of the Board of Auditors. The Advisory Committee is concerned that the Fund has received an unqualified audit opinion that includes an emphasis of matter paragraph on realized and unrealized losses on investments as reflected in the financial statements for the biennium ended 31 December 2009. The Committee urges the Fund to implement the recommendations of the Board of Auditors (para. 9). This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will continue to consult with the IPSAS consultant on these disclosures.",
"(c) The Advisory Committee reiterates its recommendation that the Board continue to explore opportunities for investment in developing countries and countries with economies in transition (para. 10). The Fund continues to study opportunities; the Director and staff of the Investment Management Division have recently travelled to Africa and the Middle East to expand our award-winning portfolio of investments in Africa. The Director will meet regularly with the World Bank and IMF to review emerging opportunities in emerging and frontier markets.",
"(d) The Fund has finalized its IPSAS implementation plan and time frame, which was submitted to the Audit Committee and to the Pension Board at its fifty-eighth session in July 2011. The recruitment of a new Treasurer is also under way. The Advisory Committee concurs with the Board that the Fund should finalize and approve the IPSAS implementation plan in a timely manner. The Committee looks forward to the recruitment of the new Chief Finance Officer as soon as possible, while at the same time initiating preparations to ensure the implementation of IPSAS on 1 January 2012. Furthermore, the Committee encourages the Board of Auditors to monitor closely the progress of the Fund ' s IPSAS implementation and reiterates its recommendation that the Board report annually to the General Assembly on progress made in this regard (see A/65/498, para. 19) (para. 13).",
"(e) The Advisory Committee emphasizes that adequate support should be provided from within existing resources to ensure the timely implementation of IPSAS and its proper management (para. 15). The programme to reallocate existing resources for IPSAS implementation was approved by the Pension Board at its fifty-seventh session, held in July 2010, and approved by the General Assembly in December 2010. Additional resources are being requested for 2012-2013.",
"(f) The Advisory Committee concurs with the Pension Board ' s request that the medical consultant consider the possibility of establishing a medical examination standard specifically for participation in the Fund for the purposes provided for in article 41 of its Regulations (para. 18). Upon request, the medical consultant will submit a note on the matter to the Board at its July 2012 session.",
"(g) The Advisory Committee concurs with the Board of Auditors on the need for transparent disclosure of the investments of the UNU Endowment Fund and notes that the Pension Board has agreed to provide such disclosure in the future (para. 20). This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will continue to consult with IPSAS consultants on such disclosures.",
"B. Board of Auditors",
"(A/65/9, annex X)",
"The Board ' s main recommendations are:",
"(a) The Fund should finalize and approve the IPSAS implementation plan, identify and involve other stakeholders in the implementation of the IPSAS project, and elaborate on which aspects of the Financial Regulations and Rules require revision (para. 27); A steering committee comprising IPSAS stakeholders from the Investment Management Division and the Secretariat was established. Pending the adoption of IPSAS, the Fund will remain in compliance with the Financial Regulations and Rules of the United Nations, which are based on United Nations system accounting standards. The Investment Management Division is awaiting advice from its IPSAS consultants on the proposed wording of rules 104.12, 104.13, 104.14, 104.15 and 104.16 to ensure IPSAS compliance. To be submitted to the Audit Committee in June 2011 and to the Pension Board at its fifty-eighth session in July 2011.",
"(b) The Fund record the amounts owed to the Fund as receivables and income (para. 30); It will be made public after the review.",
"(c) The Fund should, when actual payments are made, make a roll-back of all prior-period unliquidated obligations and accruals and address the deficiencies in controls that led to the recording of projects paid as accruals (para. 33); The Executive Office submitted a third draft for review and approval by the Finance Section. In accordance with these instructions, the administrative accounts for the period from 1 January 2006 to 31 December 2009 will be adjusted to arrive at the correct balance carried forward to 1 January 2010. These accounts will be closed on 31 December 2010 in accordance with these instructions.",
"(d) The Fund implement improved controls to ensure the timely recovery of outstanding amounts and develop an accounting treatment policy for long-outstanding amounts that are not recoverable (para. 43); Collection efforts are under way.",
"(e) The Fund consider making provision in its financial records for doubtful obligations to reflect recoverable amounts as at the reporting date (para. 44); In addition, the write-off of uncollectible receivables commenced in 2010.",
"(f) The Fund revalue all foreign currency price balances using the operational rates of exchange in effect at the reporting date (para. 48); The 2010 financial statements convert foreign currency bank account balances into United States dollars using year-end exchange rates.",
"(g) The Fund take immediate steps to recover outstanding foreign taxes (para. 51); The Investment Management Division continued to make extensive efforts to prevent jurisdictions from taxing their investment income and recovering taxes withheld. In particular, representatives of the Investment Management Division met with representatives of the Chinese National Tax Administration in Beijing in January 2010 to resolve the formal recognition and implementation of the Fund ' s tax-exempt status in the country. Representatives of the Division also initiated discussions with representatives of the Government of Brazil, which led to the release in April 2010 by the Brazilian Revenue Authority of an extensive message formally recognizing the tax-exempt status of the Fund in that country. In addition, the Division recently issued a request for proposals for a global tax advisory service. The global tax adviser will assist the Division in such matters as the global application for reimbursement.",
"(h) The Fund should record the receivables and related income arising from the reimbursement by the United Nations of administrative costs in the correct accounting period (para. 54);",
"(i) The Fund continue to reconcile the balances with the United Nations to ensure that the differences are fully reconciled (para. 57); The United Nations also uses this balance. The Fund now reverts to actual expenditure in its reconciliation with the United Nations.",
"(j) The Fund upload the correct accruals from the accounts payable module to the Lawson system, while adjusting the discrepancies identified (para. 63); Wrong items were identified. Appropriate entries will be made for 2010 to correct these balances.",
"(k) The Fund regularly reconciles the accounts payable module with the general ledger on a monthly basis (para. 64);",
"(l) The Fund revises the debit balances of accounts payable to accounts receivable and completes the data cleansing exercise to ensure that all amounts included in accounts payable are valid payables (para. 67); this is an ongoing process. Work began in 2010 and will continue throughout 2011 to correct these accounts.",
"(m) The Fund develop an ageing tool for the analysis of benefits payable (para. 70); and the Finance Section is awaiting the “boxes” of COGNOS to support Lawson data in generating a new report.",
"(n) The Fund apply regulation 46 of the Regulations and Rules of the Fund to adjust benefits payable in respect of all amounts due (para. 75); this is an ongoing work that is part of the data cleansing exercise to be completed by the end of 2011.",
"(o) As noted in its report to the Board of Auditors (see A/65/9), the Fund was unable to comply with the completion date of 31 March owing to the need to implement procedures for the reconciliation of payments made by member organizations of the Fund, as required by the Financial Regulations and Rules of the United Nations (para. 79). The Investment Management Division submitted to the Fund secretariat on 11 March 2011 the portion of the financial statements for which it was responsible. In the future, the Division will ensure that financial statements are submitted to the Secretariat by 15 March of the following year.",
"(p) The Fund develop and implement accounting policies that specify how transactions are accounted for in the accounting records of the Fund and ensure that all accounting policies are clearly defined and disclosed in the financial statements (para. 84); This will continue to be an integral part of the financial statements for 2010 and 2011, with full adoption of IPSAS in 2012.",
"(q) The Fund prepare reconciliations or working drafts for all line items in the financial statements and prepare schedules for related calculations or adjustments consistent with the books (para. 89);",
"(r) The Investment Management Division fully disclose in its financial statements the investments it manages for the UNU Endowment Fund (para. 92); This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011, specifically under “administered funds”. The Division will further consult with the IPSAS consultant on such disclosures.",
"(s) The Investment Management Division reconsider its formal arrangements for funding management services to third parties (para. 93); the Investment Management Division will provide full disclosure. The Division will fully disclose the independent arrangements established for the UNU Endowment Fund in the 1990s in accordance with the audit recommendations. These arrangements include a separate escrow account and an independent external fund manager. These funds have never been commingled with the Pension Fund.",
"(t) The Investment Management Division continue to implement its newly developed Risk Management Manual (para. 111); Most control measures have been implemented and efforts are under way to implement the remaining controls. The Risk Management Manual is a living document that is updated on a quarterly basis. Implementation is an ongoing process with the goal of implementing all control measures. Some of the controls set out in the Risk Management Manual are manual and await resource allocation; others are automated and await modernization of infrastructure. When these milestones are reached, these controls will be implemented.",
"(u) The Investment Management Division conduct a case-by-case review to identify lessons learned in relation to the positions of all realized investment losses in 2008-2009 and the continuing unrealized losses (para. 112); The Investment Management Division has implemented a formal weekly and quarterly compliance and investment review of over 25 per cent of unrealized gains and losses.",
"(v) The Investment Management Division use a tabular presentation of the proceeds and losses from the sale of investments and disclose all unrealized gains and losses as at the date of the statement of assets and liabilities in order to provide a clear description and disclosure of investments in the financial statements (para. 113); This was done in the notes to the 2010 financial statements submitted by the Investment Management Division to the Fund secretariat on 11 March 2011. The Division will further consult with the IPSAS consultant on such disclosures.",
"(w) The Investment Management Division address the remaining outstanding or ongoing recommendations (para. 117); The Investment Management Division made significant progress on the compliance programme by hiring a Compliance Officer in October 2009. New policies have been implemented, including those relating to personal transactions, gifts and hospitality, and compulsory leave. Other policies are still awaiting review and acceptance. The Risk and Compliance Section of the Division uses risk and compliance manuals and automated systems to monitor the investments of the Fund to ensure that its policies and standards are fully monitored and enforced. Many OIOS recommendations were addressed and implemented. There is now a formal process for the timely monitoring and processing of OIOS recommendations. Training sessions for staff of the Division were conducted, one of which was organized in conjunction with the Ethics Office. The Risk and Compliance Section has confirmed that there are currently no instances of deliberate or frequent violations of the policies or procedures of the Division that could result in financial damage to the Fund, its reputation, participants or beneficiaries.",
"(x) The Fund better disclose in the notes to the financial statements the major actuarial assumptions and changes related to the valuation of end-of-service liabilities (para. 124); for 2009, the Fund was included in the 2009 actuarial valuation as an integral part of the financial statements. In addition, for the first time, the Fund recorded after-service health insurance and end-of-service liabilities on the face of its financial statements.",
"(y) The Fund should develop a funding plan for end-of-service liabilities for consideration by its governing body (para. 131); Any funding plan would require the United Nations to provide one third of the funding for a specific component. The implementation of this recommendation is suspended pending the submission of such a plan by the United Nations Secretariat.",
"(z) In implementing IPSAS, the Fund considers revising its policy for the valuation of annual leave liability (para. 139);",
"(aa) The Fund take measures to ensure that physical inventory counts are carried out in a timely and regular manner and that the results are reconciled with the asset register (para. 144); As IPSAS implementation will begin in 2012, these inspections will commence in the fourth quarter of each year in 2011. In addition, signature certificates relating to such inspections will be retained at a later stage.",
"(bb) The Fund obtains inventory reports from the United Nations Property Management and Inventory Management Unit and full administrative access to the ProcurePlus system, with the aim of updating all assets and acquiring inventory reports (para. 145); The Fund ' s request to the Office of Central Support Services for access to Procure Plus in a memorandum dated 30 September 2010 and a follow-up memorandum dated 15 October 2010 is still pending.",
"(cc) The Fund secretariat develop a human resources plan (para. 149);",
"(dd) The secretariat of the Fund consider ways to strengthen succession planning based on the retention of retirees (para. 153); Use the expertise of retired staff to assist in this process. See also paragraph 8 of the memorandum submitted by the CEO to the Board of Auditors on 15 April 2010.",
"(ee) Given that the recommendations of OIOS reflect significant deficiencies in human resources management, the Fund should address the recommendations of OIOS (para. 158); and (a) the Fund should adhere to the annual leave policy set out in staff regulation 5.1: “All staff should be allowed appropriate annual leave” and rule 105 of the Staff Rules. Fund management encourages those with financial responsibilities to take two weeks of uninterrupted annual leave each year. This is mandatory for the staff of the Investment Management Division.",
"(b) The Executive Office prepares monthly staffing tables manually and reconciles them with the Integrated Management Information System (IMIS).",
"(c) A tracking system has been established to monitor the recruitment of staff and will be used to benchmark each stage of the recruitment process. The 120-day United Nations benchmark will be used until the Fund has sufficient data to calculate its own benchmark. Managers responsible for recruitment are encouraged to scrutinize applicants in order to achieve gender parity.",
"(d) The IMIS functional package must be presented to the staff by the supervisor and reviewed and delegated by the Executive Office accordingly. Staff outside the Executive Office were not authorized to use the human resources functionality of IMIS without the approval of the Chief Executive Officer.",
"(e) Within the new contractual framework, active staff beyond retirement age are now placed under the “temporary” category. The master procedure, issued in January 2009, provides an annex to the work plan for temporary staff and their subsequent performance appraisals, to be completed by supervisors and managers.",
"(f) Managers, in consultation with heads of department and staff, clearly identify and document the training needs of each staff member in the e-PAS. Departments will monitor or continue to monitor implementation.",
"(g) Compliance monitoring will continue and statistical and individual feedback will be provided to heads of departments, with emphasis on the timely completion of e-PAS.",
"(ff) The Fund secretariat should reconcile monthly contributions from member organizations and follow up on outstanding projects in a timely manner (para. 162); However, a pilot scheme has just been launched to test a system that allows monthly reconciliation.",
"(gg) The Fund secretariat establish a system to verify the accuracy of information provided by member organizations prior to year-end closing and to ensure that reconciliations are performed and verified prior to the finalization of financial statements (para. 167); The automated document transfer and editorial inspection of documents at the end of the year improved the accuracy of the reports and reduced the Fund ' s manual workload.",
"(hh) (a) It is standard practice to systematically upload and scan all official correspondence of the Fund with its participants and beneficiaries into appropriate CMS files. This includes sending follow-up letters to clarify inconsistencies in signatures. If such documents cannot be found in the document, the exception is an oversight. The Fund secretariat, where the signatures on the certificate of entitlement form are different from the original signatures, upload to the content management system the evidence for the follow-up verification of the beneficiaries; and comply with the general procedure 2001-68, which requires that all digital images of beneficiary signatures that are available be entered into the content management system (para. 174);",
"(b) As explained above, the standard practice is to upload all documents related to the Fund ' s beneficiaries and participants ' files to the content management system. The loss of documents was an oversight and an exception.",
"(ii) The Fund secretariat improve the overall processing time of transfer cases to meet the six-month processing time target (para. 180); The number of long-outstanding cases is low, and none has exceeded 50 days. As a result, all these cases met the benchmarks for case processing.",
"(jj) The Fund secretariat implement procedures for regular reconciliations between the PENSYS payroll and Lawson systems (general ledger) (para. 184); the Finance Section is considering the preparation of a COGNOS report for such reconciliations in 2011.",
"(kk) The Fund secretariat develop and approve comprehensive user account management procedures to ensure that user accounts are properly managed; implement procedures to monitor the validity of user accounts on a regular basis (para. 188); The Information Management Systems Service has introduced a “access, systems and data access” policy to implement account management procedures. Group-based roles have been introduced in the system, and access rights can be limited by such roles when requested by managers. Password replacement and security parameter setting were implemented in these systems using the Active Mailing Policy and the Single Point Login programme. Due to PENSYS restrictions, the introduction of “periodic records and system activity review” features in these ageing systems was not considered feasible; therefore, for the Integrated Pension Administration System to be replaced, they were required.",
"(ll) The Fund secretariat review the procedures for requests for change and requests for services to take into account areas for improvement identified by the Board of Auditors (para. 193); The Information Management Systems Service reviewed the change request and service request procedures and updated the change request tool to include a field showing whether documents were required for testing and approval of implementation.",
"(mm) The Fund secretariat monitor compliance with change control procedures and maintain proper change control management documentation records (para. 195); The Information Management Systems Service has implemented change management policies and established a comprehensive automated system for approval and tracking. Processes are in place. The Service and managers are currently monitoring compliance with change control procedures on a daily basis and enforcing a policy on recording any and all changes made prior to implementation.",
"(nn) The Fund secretariat perform information technology quality assurance functions to ensure that a certain level of trust is established and maintained; implement controls to prevent programme analysts from using the user name and password of the database administrator (para. 202); The Information Management Systems Service, while rejecting the establishment of a “quality assurance position”, streamlined the requirement for this function by drafting a segregation of duties policy. The proper implementation of the division of responsibilities policy of the Service has been identified and monitored through the recording of each step (e.g., analyst, developer, migration, etc.) through the revision of the request process, which is subject to review by two individuals: the first approving officer and the second approving officer. Changes have been made so that user names and passwords for database administrators are provided only to database administrators.",
"(oo) The Fund secretariat review the adequacy of the access rights of the programme analysts, with particular attention to access to the production environment, and develop procedures to manage the need for access to the production environment (para. 204); Although the Information Management Systems Service refused to establish a “quality assurance position”, the requirement for this function was streamlined by drafting a policy on segregation of duties. The separation of responsibilities is maintained by ensuring that tasks related to analysis/development and movement to production are assigned to two different persons. In addition, a system modification plan is in place to manage and monitor the process.",
"(pp) The Fund secretariat ensure that responsibilities are properly separated during the transition of tested and approved changes from the development environment to the testing environment and from the testing environment to the production environment (para. 206). It is recommended that the case be closed. Although the Information Management Systems Service refused to establish a “quality assurance position”, the requirement for this function was streamlined by drafting a policy on segregation of duties. The separation of responsibilities is maintained by ensuring that tasks related to development, testing and movement to production are assigned to different people. In addition, a system modification plan is in place to manage and monitor the process.",
"Annex I",
"Discussion by the United Nations Joint Staff Pension Board on the revised budget estimates for the biennium 2010-2011 and the budget estimates for the biennium 2012-2013",
"Administrative matters of the Fund",
"(a) Revised budget estimates for the biennium 2010-2011",
"1. The secretariat of the United Nations Joint Staff Pension Fund has requested a reduction of $21,772,800 in the budget estimates for the biennium 2010-2011 in relation to the revised appropriation of $176,318,500. The final revised appropriation for the biennium 2010-2011 would therefore amount to $154,545,700, of which $21,508,700 would be met by the United Nations under the cost-sharing arrangement.",
"Budget estimates for the biennium 2012-2013",
"2. The proposed budget estimates for the biennium 2012-2013 provide for $215,999,100 for approved expenditures (before recosting), compared with the approved expenditure of $176,318,500 for the biennium 2010-2011. The budget report presented administrative costs of $101,768,500, investment costs of $111,282,400, audit costs of $2,748,200 and Board costs of $200,000. In addition, the estimate provides for one extrabudgetary post for after-service health insurance in the amount of $152,900 and for an emergency fund of up to $200,000.",
"Administrative costs",
"3. The proposed budget under administrative costs amounts to $101,768,500 before recosting, an increase of 10.2 per cent over the appropriation for the biennium 2010-2011 and 26.5 per cent over the revised budget estimates for the biennium 2010-2011.",
"4. With regard to administrative costs, the Secretariat emphasized that, although the total cost estimates for the Integrated Pension Administration System project remained unchanged, the change in the original schedule as a result of the change in the implementation strategy had resulted in underexpenditures in the project for the biennium 2010-2011 and the subsequent request for funding in the budget for the biennium 2012-2013. In addition, in line with the medium-term human resources strategic plan of the Secretariat, 16 additional established posts and 3 reclassifications are proposed, as follows:",
"New posts",
"1 P-3 Chief, Client Services, Records Management and Distribution Unit",
"Investment costs",
"5. The proposed budget under investment costs amounts to $111,282,400 before recosting, an increase of 37.1 per cent over the appropriation for the biennium 2010-2011 ($81,197,500), and 56.1 per cent over the revised budget estimates for the biennium 2010-2011 ($71,289,000).",
"6. Under investment costs, the resources requested by the Representative of the Secretary-General include 20 additional posts and additional requirements for contractual services in the areas of portfolio management to implement the Fund ' s leadership; the increase in small capitalization; the master record keeper; and information technology projects, as shown in the table below.",
"New posts",
"1 P-4 Senior Investment Officer - Fixed Income and Foreign Currency 1 P-4 Investment Officer - Alternative Investments 1 P-4 Investment Officer - Global Emerging Markets 1 P-4 Investment Officer - Trading Executive Officer 1 P-3 Investment Officer - North American equities 1 P-3 Investment Officer/Analyst - Real estate 1 General Service (Other level) Trade Implementation Assistant 1 P-4 Due Diligence and Quantification Strategic Risk Management Officer 1 P-3 Compliance Analyst and Operations Risk Management Officer 1 General Service (Other level) Chief Risk and Compliance Officer 1 P-4 Accounting and Reporting Officer 1 P-3 Finance Officer, Reconciliation 1 D-1 Chief Information Technology Officer 1 P-3 Information Security Officer 1 P-3 Reconciliation Manager 1 General Service (Other level) Administrative Assistant",
"Audit costs",
"7. An amount of $74,700 is requested for external audit and $1,973,500 for internal audit, for a total amount of $2,748,200, reflecting a net increase of $103,200. Of this amount, $113,500 relates to the costs of the external auditor.",
"Pension Board costs",
"8. A total of $200,000 is requested for the costs of two Board sessions and for the travel of the Chairman and the selection committee to recruit the next Chief Executive Officer.",
"Extrabudgetary funds",
"9. Extrabudgetary resources in the amount of $152,900 are requested for one General Service (Other level) post funded by member organizations involved in the after-service health insurance plan.",
"Emergency Fund",
"10. Supplementary amounts not exceeding $200,000 are requested for the Emergency Fund.",
"Working Group on the Budget",
"11. The comments and recommendations made by the budget working group and endorsed by the Board are set out below.",
"12. In accordance with the decision taken by the Board at its fifty-seventh session, the Working Group on the Budget began its work on 6 July 2011.",
"13. The composition of the Working Group, which had previously been agreed upon by the Board, was changed by the replacement of a representative of the executive head group and a representative of the participant group. The final composition of the Working Group is as follows:",
"Ms. J. Forest (International Telecommunication Union), representing the governing body",
"Mr. G. Kuentzle (United Nations), representing governing bodies",
"Ms. Y. Mortlock (*) (International Organization for Migration), on behalf of the Executive Head",
"Ms. S. Van Buerle (United Nations), on behalf of the Chief Executive (elected Chairperson)",
"Mr. H. Baritt (*) (World Health Organization), representing participants",
"Mr. C. Santos-Tejada (United Nations), representing participants",
"Mr. A. Castellanos del Corral (Federation of Associations of Former International Civil Servants), representing pensioners",
"Mr. T. Teshome (Federation of Associations of Former International Civil Servants), representing pensioners",
"(*) New members.",
"14. The Working Group had before it the following documents: the implementation of the International Public Sector Accounting Standards (IPSAS) by the Fund; the revised budget estimates for the biennium 2010-2011; the strategic framework of the Fund for the period 2012-2013; and the budget estimates for the biennium 2012-2013. The Working Group benefited from meaningful interaction with the secretariat and the Investment Management Division.",
"Performance report for the biennium 2010-2011",
"15. As indicated in paragraph 195 of the report of the Board on its fifty-fifth session (A/63/9) and in paragraph 137 of its report on its fifty-seventh session (A/65/9), the Board decided that the Fund secretariat should provide to the Board on an annual basis, in the context of the programme budget performance report, a detailed analysis of budget variances between approved budgets and actual expenditures. While the Working Group noted that some of the information had been provided, it was of the view that future performance reports should provide a more detailed breakdown of variances by the main purpose of the various categories of expenditure. The Working Group also noted that IPSAS required clarification of the difference between budget and actual expenditure, which could improve the Board ' s consideration of future budget reports. Moreover, this should be fully explained if changes in the implementation methods, strategies, etc. of projects or initiatives have a greater impact on the programme of work for the period and therefore on the level of expenditure. In particular, it was noted that underexpenditures for some of the anticipated two-year periods were in effect a change in resource requirements to the next budget period, which should be indicated in the new budget submission in order to review the amounts requested, in particular for the Integrated Pension Administration System project.",
"16. In this connection, the Working Group was of the view that the resources proposed for a given biennium should, in principle, be used for the purposes approved for that biennium. The Working Group also noted recurrent underexpenditures in the Investment Management Division for “contractual services”. The Working Group expressed its appreciation for the Division ' s efforts to proceed in a cost-effective manner and encouraged it to continue to do so in order to bring budget estimates more in line with actual performance.",
"Strategic framework for the period 2012-2013",
"17. The Working Group acknowledged the continuing efforts to improve results-based presentation, in particular the presentation of more focused objectives, expected accomplishments and indicators of achievement. The Working Group recommended that the Fund's logistical framework should be developed in line with the SMART principles — specific, measurable, attainable, realistic and time-bound — so that the Board could effectively evaluate the Fund's performance in achieving expected results. The Working Group noted that the strategic framework would need to be revised in the light of the forthcoming decisions on the budget for the biennium 2012-2013.",
"18. In addition, the Working Group noted that, in accordance with the established budgetary process of the United Nations, the strategic framework should have been presented to the Board in off-budget years in order for the Board to provide the Fund with relevant guidance on priorities and programme of work as a basis for the preparation of the budget for the next financial period. As this was the first year of submission of the strategic framework following the Board ' s decision to request it, it was confirmed that the established cycle would begin in 2012 and that the strategic framework for the period 2014-2015 should be submitted to the Board at its fifty-ninth session.",
"Budget estimates for the biennium 2012-2013",
"19. In reviewing the proposed budget and the concerns raised by the various stakeholder groups of the Fund, the Working Group was guided by the principle of the need to ensure that the implementation of the mandate of the Fund was carried out with maximum efficiency, maximum effectiveness and maximum cost awareness, with a particular focus on initiatives to increase benefits, reduce risks and/or provide better services to various stakeholder groups. Most importantly, the Working Group reviewed the reasons put forward for seeking additional resources. In several of these cases, the Working Group recognized that the implications and implications of IPSAS, the Integrated Pension Administration System and other initiatives were not fully understood. In addition, the Working Group considered that it would be premature to seek additional resources before the Chief Finance Officer (subject to recruitment) could express his or her views on the staffing structure, which would lock in the staffing structure. The Working Group also believes that further synergies could be achieved through enhanced operational integration between New York and Geneva. The CEO reported to the Working Group that outsourcing opportunities were being examined. The Working Group recommended that, in order to achieve greater administrative cost-effectiveness, the options for offshoring and outsourcing should be examined more closely, especially in the event that the current lease was about to expire.",
"20. In addition, the Working Group was fully aware of the financial situation faced by participating organizations and Member States, noting in particular their need for more efficient and effective ways of delivering results. In the case of the Pension Fund, the Working Group noted the expansionary nature of the proposed budget and the great extent to which the expected future benefits of the Integrated Pension Administration System (the project in progress) would depend on it, and requested further information on the actions that the Fund had taken or could take to improve performance, improve efficiency and save costs, including the changes in the staffing structure that the project would entail.",
"21. The budget working group recognized that the number of participants had increased by 4.2 per cent over the past 10 years. During the same period, the complexity of managing participants also increased significantly, mainly as a result of the increase in the number of relevant provisions of the Fund ' s pension adjustment system.",
"22. The Fund ' s budget has also experienced unprecedented growth over the past few years. The proposed budget of $216 million for 2012-2013 represents a 23 per cent increase over the 2010-2011 budget of $176.3 million approved, and a 68 per cent increase over the 2008-2009 budget of $128.2 million.",
"In order to evaluate the overall administrative budget more effectively, the Working Group reviewed the “per participant” costs (total cost divided by number of participants). The calculation, which included an inflation adjustment, showed that the average annual administrative cost per participant had been $197. The proposed budget of $216 million was equivalent to $248 per participant, an increase of 26 per cent.",
"Inflation-adjusted cost per participant",
"(United States dollars)",
"[Chuckles]",
"24. The CEO confirmed to the Working Group that the Administration had used a number of key performance indicators to track the effectiveness and efficiency of the Fund. The Working Group recommended that the Fund should endeavour to link future budget proposals to those indicators.",
"Budget presentation and methodology",
"25. At its fifty-seventh session, the Board decided that future budget proposals should be submitted 90 days before the session of the Committee and decided that the Working Group noted with appreciation that the decision had been fully complied with. This facilitated early review by the budget working group. The Working Group noted that every effort had been made to align the presentation of the documents submitted with the methodology used by the United Nations.",
"26. However, there was general agreement in the Working Group that the Fund needed to revise the presentation in its budget document and that the reasons for the changes should be more clear and concise in order for the Board to take a decision. A quality review of documentation would also help to remove inconsistencies and ensure that cross-cutting initiatives are presented in an aggregated manner, with the appropriate use of graphs to facilitate understanding of the initiatives. In addition, as previously recommended by the Board, the Fund should continue to ensure greater consistency with the United Nations budget presentation, in particular by distinguishing between changes resulting from growth and changes resulting from changes in costing parameters, which refer to currency, inflation or standard salary costs.",
"27. The Working Group noted with concern that little or no progress had been made on the integration and consolidation of certain functions and services, which continued to favour a fragmented approach to operations, and that it was also unclear what was being done to implement cost-saving initiatives in the context of back-office tasks. The Board may wish to consider requesting the CEO and the Representative of the Secretary-General to study the options jointly and to present them to a future Board session.",
"Information technology",
"28. The Working Group noted that the Fund had requested $66 million for the Information Systems Section and the Information Management Systems Service for information technology-related activities. This level of funding may prove to be justified in the end, but in view of the increasing complexity of the budget proposals submitted to the Board, it may be useful to prepare a concise, comprehensive and integrated information technology strategy in conjunction with the budget and to present it to the Board at its fifty-ninth session, which should include an assessment by independent information technology experts in the relevant areas of the operations of the Fund.",
"In this regard, the Working Group noted that the Fund relied heavily on the International Computing Centre. In particular, with reference to the Centre ' s budget, the Working Group was informed that the Fund was the second largest user of the Centre ' s services, after the Department of Field Support. The Working Group was informed that, owing to the nature of the Centre, its services were not subject to competitive bidding, which raised doubts as to whether it was the most cost-effective and cost-effective way of meeting the needs of the Fund without compromising data security or confidentiality. At the same time, in interviews with representatives of the Fund, the Working Group noted that the Fund was staffed separately through the Centre, with approximately 13 staff members recruited through contractual services, ranging from General Service (Other level) to P-5, some of whom had been recruited since 2004.",
"IPSAS International Public Sector Accounting Standards",
"30. The Working Group was pleased to hear the CEO report that the IPSAS project had made good progress and that the Fund was likely to meet its deadline. The remaining issues relating to fixed assets and employee benefits appear to have been adequately addressed. The current finance staff of the Secretariat and the Investment Management Division are familiar with IPSAS standards. The Working Group was of the view that, in the long term, IPSAS would be integrated into all levels of financial management responsibilities, broadly the same as the United Nations system accounting standards.",
"31. The Working Group was of the view that there was no need for two new posts dedicated to IPSAS and that it would be more appropriate to provide short-term consultancy funds to assist with financial statements, impairment tests and policy documents.",
"Integrated Pension Administration System",
"32. With regard to the Integrated Pension Administration System, the Working Group welcomed the confirmation by the CEO that the Integrated Pension Administration System project was a top priority. The Working Group noted that the Integrated Pension Administration System would fundamentally shift the organizational approach from a case-by-case to a process-driven one. The Working Group recalled that the purpose of the system was to improve efficiency and service delivery. In that regard, the Working Group was of the view that the review and appropriate improvement of all relevant existing procedures must be an integral part of the entire reform management process of the Integrated Pension Administration System. The Working Group also encouraged the Fund to ensure that the project was not driven primarily by information technology, as full ownership of substantive areas was indispensable.",
"33. The Working Group recommended that the Board should request a report on the expected organizational structure of the Fund following the implementation of the Integrated Pension Administration System for consideration at its sixtieth session in the context of the next budget report. The report should also include a strategic evaluation of all posts affected by the implementation of the system.",
"34. In 2010, the Fund scanned 639,499 documents totalling 1,120,602 pages. The Integrated Pension Administration System is intended to replace the Entitlements, Accounting and Document Management System. The Working Group noted that, in the project, staffing resources appeared to have been allocated to accounting and entitlements, but no specific resources had been earmarked for document management. The Working Group encouraged the Fund to monitor the skills required for the project to ensure that resources were allocated to address document management issues.",
"35. The current budget includes additional contractual services and other costs required to support the legacy system, which will be replaced by the Integrated Pension Administration System. The Chief Executive Officer assured that the new system would be completed in accordance with the project schedule and budget and might also be lower than the budget.",
"36. The Integrated Pension Administration System project will have a significant impact on service delivery. The Working Group therefore recommended that a revised organizational chart be provided in the next budget submission.",
"Proposed resources",
"Posts",
"37. In accordance with the principles and criteria referred to in paragraph 19 above, and following a series of consultations involving administrative and management staff, the Working Group undertook the following review of posts. A total of 3 reclassified posts (3 Secretariat posts) and 36 new posts (16 administrative and 20 Investment Management Division posts) are requested for the Fund. Following a review of each post and dialogue with the secretariat and the Investment Management Division, the Working Group made the following observations:",
"(a) Not to support the proposed reclassification;",
"(b) Support the establishment of seven new posts in the Investment Management Division, as shown in table 1;",
"(c) Support the establishment of general temporary assistance positions (not posts previously requested) as shown in table 2; the timing and purpose are indicated in the table;",
"(d) The establishment of a new P-4 Finance and Budget Officer post in the Fund ' s Executive Office is not supported. The Working Group supported the reclassification of the existing P-3 post of Finance and Budget Officer to the P-4 level, in view of the increased complexity of the functions.",
"Table 1",
"1 P-4 Investment Officer for Global Emerging Markets",
"Table 2",
"1 P-3 24 months Non-recurrent positions 1 GS (OL) 24 months",
"(a) Resource requirements for the provision of services will be redeployed from the Legal Office.",
"Administration",
"Under the Information Management Systems Service, the Working Group did not support “integrated management initiatives” and recommended a budget reduction of $2,543,300 (before recosting), following discussions with the Fund on how to prioritize information technology projects in the light of the continuing need for dedicated capacity to implement the Integrated Pension Administration System. This would entail a necessary reduction in the administrative budget for contractual services ($1,133,300) and furniture and equipment ($1,410,000).",
"Temporary posts",
"39. The Working Group supported the continuation of 17 temporary posts for the Integrated Pension Administration System project at the following level: 1 P-5, 7 P-4, 4 P-3, 5 General Service (Other level).",
"Other staff costs",
"40. The Working Group agreed with the amount requested under other staff costs, adjusted for the additional requirements for two general temporary assistance positions approved under operational/administrative costs, as shown in table 2.",
"Consultants",
"41. The Working Group supported the requested amount of $300,000 (before recosting).",
"Travel",
"The Working Group recommended a 10 per cent reduction in the level of the revised appropriation.",
"Contractual services",
"43. The Working Group supported the amount requested, which had been adjusted because the resources requested for the Integrated Management Initiative project had not been approved.",
"Hospitality",
"44. Maintenance of the revised appropriation level.",
"General operating expenses",
"45. The Working Group agreed with the amount requested under administration. The Working Group noted the increase in general operating expenses due to bank charges of $3 million. This represents an increase of approximately $500,000 over the previous biennium. The Working Group requested the Fund to review its banking mechanisms with a view to reducing those costs. A summary report should be provided in the next budget submission.",
"Supplies and materials",
"The Working Group supported the amount requested.",
"Furniture and equipment",
"47. The Working Group supported the amount requested, which had been adjusted because the resources requested for the Integrated Management Initiative project had not been approved.",
"48. The above recommendations on non-post items for administration are summarized in table 3.",
"Table 3 (Thousands of United States dollars)",
"Other staff costs",
"Travel 1,224.5",
"Contractual services",
"Hospitality 4.0",
"General operating expenses",
"Supplies and materials",
"Furniture and equipment 2 011.0",
"Total non-post resources 53 731.5",
"Investment Management Division",
"Other staff costs",
"49. The Working Group recommended that the resources be appropriated at the revised appropriation level, adjusted as shown in table 2 for the additional requirements for two additional general temporary assistance positions (non-regular resources, 12 months for a P-4 Legal Officer and 24 months for a P-4 Accounting and Reporting Supervisor).",
"50. In addition, the Working Group agreed with the Investment Management Division to establish a P-2 Risk and Compliance Implementation Analyst and a P-3 Static Data Manager within the overall resources approved under other staff costs (as shown in table 3).",
"Consultants",
"51. On the basis of a review of the total resources required for IPSAS, the Working Group recommended that the estimated requirements of $500,000 be reduced to $250,000. Accordingly, a provision of $1,177,000 (before recosting) is made under consultants.",
"Travel",
"52. The Working Group recommended that the revised appropriation be maintained.",
"Contractual services",
"53. Under contractual services, the Working Group does not currently support the amount of $11,250,000 requested to lead the Fund. The Working Group was of the view that allocating that amount would amount to a change in the investment strategy, but that such a change should be discussed at the Board session and clearly supported by the Investments Committee.",
"54. In addition, the Working Group was informed that the recent contract for the services of the custodian/master record keeper had been negotiated at a lower than anticipated cost and therefore recommended a reduction of $4,138,300 in this expenditure.",
"Hospitality",
"55. The Working Group recommended that the revised appropriation be maintained.",
"General operating expenses",
"The Working Group agreed with the amount requested.",
"Supplies and materials",
"57. The Working Group recommended that the revised appropriation be maintained.",
"Furniture and equipment",
"58. The Working Group recommended that the revised appropriation be maintained.",
"59. The above recommendations on non-post items for the Investment Management Division are summarized in table 4.",
"Table 4",
"(Thousands of United States dollars)",
"Other staff costs",
"Travel",
"Contractual services",
"Hospitality 22.0",
"General operating expenses",
"Supplies and materials 160.0",
"Furniture and equipment 700.0",
"Total non-post resources",
"Pension Board costs",
"60. The Working Group fully supported the requested funding for the expenses of the Board.",
"Extrabudgetary funds",
"61. The Working Group supported the funding of one General Service (Other level) staff member funded by participating organizations.",
"Discussions in the Board",
"62. The Board noted with appreciation that the budget document had been submitted 90 days before the start of the General Assembly, as requested, allowing for a detailed review of the document by the Budget Working Group.",
"63. The executive heads supported the outcome of the Working Group ' s work and welcomed the fact that the budget presentation was in compliance with International Public Sector Accounting Standard 24 and had been prepared within the time frame requested by the Board. The executive heads were concerned that the information provided in the proposed budget was inaccurate and complicated the analysis conducted by the Working Group and the Board ' s deliberations. The executive heads recommended that, where appropriate, the analysis should be thoroughly used. The executive heads also noted that the budgets approved for prior periods had not been fully spent.",
"64. The governing bodies endorsed the recommendations of the Working Group. The governing bodies recommended that, at future sessions, documents should be submitted earlier, accompanied by an introductory statement by the principal official, in order to provide more comprehensive information for the deliberations of the Working Group.",
"65. The participants ' group supported the recommendations made by the Working Group and noted that the asset-liability management studies recommended diversification of the assets of the Fund and sought investment in alternative assets. The participants group recalled the recommendations made at previous meetings of the General Assembly to exercise the utmost care. The participants group also recalled that budgetary constraints should not impede professional progress.",
"66. The Federation of Associations of Former International Civil Servants supported the conclusions of the Working Group and expressed its appreciation to the Working Group.",
"67. The Federation further noted that the reference base should be adjusted, where necessary, to take into account inflation and currency effects, and that, in a more economical environment, possible cost reductions should be sought in projects such as travel and information technology, and that the budget requested should be closely linked to strategic objectives. The potential impact of any change in the Integrated Pension Administration System on member organizations should be explained in advance as soon as possible.",
"68. Board members also noted that:",
"(a) The Fund should review the methodology used and assumptions made when preparing its budget for contractual services;",
"(b) The table contained in the report of the budget working group showing the cost trends for each participant was useful as a model for further analysis by the Fund.",
"69. The representative of the Secretary-General had submitted a note to the Board warning that the opportunity costs resulting from the loss of return on investment as a result of savings in investment management might go well beyond the apparent savings. As trustee for the Fund, the representative of the Secretary-General formally raised his concerns and concerns that the structural weaknesses of the Investment Management Division had led to an unacceptable risk that it would not be able to provide adequate returns in the future to support existing and anticipated liabilities.",
"70. The CEO thanked the Working Group for its support of major projects, including IPAS and IPSAS. The Chief Executive Officer also referred to the diagram of the cost per participant set out in the report of the Working Group, further clarifying that each participant ' s cost increase was due to the fact that a project had been undertaken and that the cost per participant had decreased after the completion of the project. He cited, for example, the sudden increase in costs in 2004 as a result of the relocation of the Fund from the United Nations Secretariat building to 1 Dag Hammarskjöld Plaza, and the surge in 2012-2013 as a result of the establishment of the Integrated Pension Administration System, which included 17 temporary posts that would be abolished after the completion of the project.",
"71. The Deputy Chief Executive Officer confirmed that the purpose and effectiveness of the target operating model related to the Integrated Pension Administration System project remained unchanged. The change is the location of the new information technology infrastructure required for the North American Data Centre project in New Jersey. Following the discovery of serious weaknesses in data centre 1 Dag Hammarskjöld Plaza, it was decided to install the information technology infrastructure of the project at the North American data centre. The Deputy Chief Executive Officer also noted that all the substantive teams within the Fund were involved in the project and that an Integrated Pension Administration System Steering Committee had been established. He confirmed that the project was expected to be completed within the budget as planned.",
"Recommendations of the Board",
"72. On the recommendation of the Working Group, the Pension Board approved for submission to the General Assembly the proposed budget estimates of $194,164,000, comprising administrative costs ($98,407,600), investment costs ($92,938,200), audit costs ($2,613,800) and Board costs ($204,400). Under the cost-sharing arrangement, $173,260,600 of that amount would be apportioned to the Pension Fund and $20,903,400 to the United Nations.",
"73. In addition, the Board approved the use of $156,800 in extrabudgetary funds to process after-service health insurance payments at the request of some member organizations.",
"Annex II",
"United Nations Joint Staff Pension Fund: organization chart approved for the biennium 2010-2011",
"[Chuckles]",
"Abbreviations: ASG, Assistant Secretary-General; GS, General Service; OL, Other level; PL, Principal level.",
"(a) One extrabudgetary General Service (Other level) post is funded by member organizations.",
"(b) Temporary posts authorized to participate in the IPAS project.",
"^ (c) One of the two P-4 posts authorized for the biennium 2010-2011 for IMSS is authorized for only 12 months. This post was abolished in 2011 and the temporary P-4 post in IMSS was reduced to one.",
"Annex III",
"United Nations Joint Staff Pension Fund: proposed organization chart for the biennium 2012-2013",
"[Chuckles]",
"Abbreviations: ASG, Assistant Secretary-General; OL, Other level; PL, Principal level.",
"(a) One extrabudgetary General Service (Other level) funded by member organizations.",
"(b) Temporary posts authorized to participate in the IPAS project.",
"Annex IV",
"United Nations Joint Staff Pension Fund: number of participants by member organization as at 31 December 2010",
"[TABLE]",
"(a) The number of United Nations participants decreased by two in 2006, from 68,855 to 68,853.",
"(b) The General Agreement on Tariffs and Trade withdrew from the United Nations Joint Staff Pension Fund on 31 December 1998.",
"(c) The International Criminal Court has been the twentieth member organization of the Fund since 1 January 2004.",
"(d) The Inter-Parliamentary Union became the twenty-first member organization of the Fund as from 1 January 2005.",
"(e) The International Organization for Migration has been the twenty-second member organization of the Fund since 1 January 2007.",
"(f) The Special Tribunal for Lebanon became the twenty-third member organization of the Fund as from 1 January 2009.",
"[1] It is estimated that during the biennium 2012-2013, more than 55,400 new participants are expected to be processed for entry, separation and access to the accounts of the Fund; this relates to specific and measurable tasks undertaken by the Department, an 80 per cent increase over the biennium 1998-1999.",
"[2] The total annuity value of additional periodic benefits to be paid and the annual cash settlement calculated, validated and paid by the Operations Branch are estimated to be close to $1 billion over a period of approximately 30 years."
] |
[
"大 会 安全理事会",
"第六十五届会议 第六十六年",
"议程项目43",
"塞浦路斯问题",
"2011年8月4日塞浦路斯常驻联合国代表给秘书长的信",
"奉我国政府指示并继我2011年7月7日给你的信(A/65/901-S/2011/424)之后，谨提请你注意2011年6月1日至7月28日期间记录的土耳其空军军用飞机连续违反国际空中交通管制条例并侵犯塞浦路斯共和国领空的行为，情况如下：",
"2011年6月1日，土耳其6架F-16、两架CN-235、1架美洲狮和1架C-160型军用飞机七次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。",
"2011年6月2日，土耳其1架美洲狮型军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。",
"2011年6月3日和4日，土耳其两架美洲狮型军用飞机、1架CN-235型军用飞机和1架C-160型军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。",
"2011年6月6日，土耳其两架F-16、4架F-4和4架美洲狮型军用飞机八次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。",
"2011年6月7日，土耳其4架F-4和两架CN-235型军用飞机三次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。",
"2011年6月8日，土耳其1架B-200、1架C-160、1架C-130型和1架美洲狮型军用飞机七次违反国际空中交通管制条例和七次侵犯塞浦路斯共和国领空。",
"2011年6月9日，土耳其8架美洲狮型军用飞机组成两个编队四次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。",
"2011年6月11日和13日，土耳其3架美洲狮、1架CN-235和1架B-200型军用飞机六次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。",
"2011年6月14日，土耳其4架美洲狮和1架CN-235型军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。",
"2011年6月15日，土耳其1架C-160、1架CN-235、6架美洲狮型以及1架机型不明的军用飞机十次违反国际空中交通管制条例并九次侵犯塞浦路斯共和国领空。",
"2011年6月16日，土耳其两架F-16、两架C-160、两架CN-235和1架美洲狮型军用飞机八次违反国际空中交通管制条例并六次侵犯塞浦路斯共和国领空。",
"2011年6月17日、18日和19日，土耳其两架美洲狮、两架C-130和1架CN-235型军用飞机八次违反国际空中交通管制条例并八次侵犯塞浦路斯共和国领空。",
"2011年6月21日，土耳其1架CN-235、1架美洲狮和一架型号不明的军用飞机五次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。",
"2011年6月22日，土耳其1架美洲狮军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年6月23日，土耳其两架美洲狮和两架CN-235型军用飞机五次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。",
"2011年6月25日，土耳其1架CN-235军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年6月28日，土耳其1架CN-235和两架F-16军用飞机两次违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。",
"2011年6月29日，土耳其1架美洲狮军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。",
"2011年6月30日，土耳其1架CN-235和两架F-16军用飞机两次违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。",
"2011年7月1日，土耳其1架美洲狮和1架CN-235军用飞机三次违反国际空中交通管制条例并三次侵犯塞浦路斯共和国领空。",
"2011年7月6日，土耳其1架CN-235军用飞机两次违反国际交通法规并两次侵犯塞浦路斯共和国领空。",
"2011年7月7日，土耳其1架CN-235和两架F-4军用飞机三次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年7月8日和9日，土耳其1架美洲狮、1架CN-235和两架C-130军用飞机六次违反国际空中交通管制条例并五次侵犯塞浦路斯共和国领空。",
"2011年7月12日，土耳其两架F-16和两架KC-135军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。",
"2011年7月13日，土耳其两架B-200和1架CN-235型美洲狮军用飞机三次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年7月15日，土耳其两架美洲狮军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年7月18日，土耳其10架NF-5、两架C-160和1架CN-235型军用飞机七次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。",
"2011年7月19日，土耳其1架C-650、1架C-208、两架美洲狮、1架CN-235、两架F-16和8架NF-5型军用飞机九次违反国际空中交通管制条例并九次侵犯塞浦路斯共和国领空。",
"2011年7月20日，土耳其1架C-208、两架美洲狮、1架CN-235和11架NF-5型军用飞机七次违反国际空中交通管制条例，并七次侵犯塞浦路斯共和国领空。",
"2011年7月21日，土耳其3架F-16、两架KC-135、1架C-650和1架CN-235型飞机四次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年7月22日，土耳其10架NF-5、两架C-160和1架CN-235型军用飞机七次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。",
"2011年7月25日，土耳其1架CN-235型军用飞机两次违反国际空中交通管制条例并两次侵犯塞浦路斯共和国领空。",
"2011年7月26日，土耳其两架F-16、两架美洲狮和两架CN-235型军用飞机六次违反国际空中交通管制条例并四次侵犯塞浦路斯共和国领空。",
"2011年7月27和28日，土耳其1架C-160、1架CN-235、1架B-200和3架美洲狮型军用飞机八次违反国际空中交通管制条例并七次侵犯塞浦路斯共和国领空。",
"2011年7月28日，土耳其1架美洲狮军用飞机违反国际空中交通管制条例并侵犯塞浦路斯共和国领空。",
"我谨代表塞浦路斯政府，强烈抗议土耳其持续违反国际空中交通管制条例以及侵犯塞浦路斯共和国领空的行为，并要求立即停止这种行为。",
"土耳其持续不断地侵犯塞浦路斯共和国主权和领土完整，明显违反了国际法和国际空中交通管制条例，严重威胁了地中海中部地区的国际航空安全。我呼吁土耳其政府遵守《联合国宪章》及其国际义务，并尊重塞浦路斯共和国的主权、独立和领土完整。",
"令人遗憾的是，虽然旨在寻求公正、持久与和平解决塞浦路斯问题的谈判正在进行，但土耳其的挑衅行为却有增无减。土耳其总理埃尔多安在最近对塞浦路斯被占领地区进行非法访问期间发表的最新言论，让我们丝毫不会怀疑土耳其对塞浦路斯的真正意图，而目前正值谈判的关键时刻，其讲话特别令人沮丧。我们再次呼吁土耳其，根据经安全理事会多项决议认可的这类解决方案的商定基础，顺应国际社会的呼吁，并本着建设性精神行事，以便切实可行地解决塞浦路斯问题。",
"请将本函作为大会议程项目43下的文件和安全理事会的文件分发为荷。",
"常驻代表",
"米纳斯·哈吉迈克尔(签名)"
] | [
"General Assembly Security Council Sixty-fifth session Sixty-sixth year Agenda item 43 \n Question of Cyprus",
"Letter dated 4 August 2011 from the Permanent Representative of Cyprus to the United Nations addressed to the Secretary-General",
"Upon instructions from my Government and further to my letter dated 7 July 2011 addressed to you (A/65/901-S/2011/424), I have the honour to draw your attention to ongoing violations of the international air traffic regulations and the national airspace of the Republic of Cyprus by military aircraft of the Turkish Air Force, recorded from 1 June to 28 July 2011, as follows.",
"On 1 June 2011, six F-16, two CN-235, one Cougar and one C-160 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus three times.",
"On 2 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On 3 and 4 June 2011, two Cougar, one CN-235 and one C-160 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.",
"On 6 June 2011, two F-16, four F-4 and four Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.",
"On 7 June 2011, two F-4 and two CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.",
"On 8 June 2011, one B-200, one C-160, one C-130 and one Cougar Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 9 June 2011, eight Cougar Turkish military aircraft coming in two formations violated international air traffic regulations four times and the national airspace of the Republic of Cyprus four times.",
"On 11 and 13 June 2011, three Cougar, one CN-235 and one B-200 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus six times.",
"On 14 June 2011, four Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.",
"On 15 June 2011, one C-160, one CN-235, six Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations ten times and the national airspace of the Republic of Cyprus nine times.",
"On 16 June 2011, two F-16, two C-160, two CN-235 and one Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.",
"On 17, 18 and 19 June 2011, two Cougar, two C-130 and one CN-235 Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus eight times.",
"On 21 June 2011, one CN-235, one Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.",
"On 22 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 23 June 2011, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus four times.",
"On 25 June 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 28 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.",
"On 29 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On 30 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.",
"On 1 July 2011, one Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.",
"On 6 July 2011, one CN-235 Turkish military aircraft violated international traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 7 July 2011, one CN-235 and two F-4 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.",
"On 8 and 9 July 2011, one Cougar, one CN-235 and two C-130 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus five times.",
"On 12 July 2011, two F-16 and two KC-135 Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On 13 July 2011, two B-200 and one CN-235 Cougar Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.",
"On 15 July 2011, two Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 18 July 2011, ten NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 19 July 2011, one C-650, one C-208, two Cougar, one CN-235, two F-16 and eight NF-5 Turkish military aircraft violated international air traffic regulations nine times and the national airspace of the Republic of Cyprus nine times.",
"On 20 July 2011, one C-208, two Cougar, one CN-235 and eleven NF-5 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 21 July 2011, three F-16, two KC-135, one C-650 and one CN-235 violated international air traffic regulations four times and the national airspace of the Republic of Cyprus twice.",
"On 22 July 2011, ten NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 25 July 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 26 July 2011, two F-16, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus four times.",
"On 27 and 28 July 2011, one C-160, one CN-235, one B-200 and three Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus seven times.",
"On 28 July 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On behalf of my Government, I strongly protest the continuing violations by Turkey of international air traffic regulations and the national airspace of the Republic of Cyprus and call for their immediate cessation.",
"This relentless abuse by Turkey of the sovereignty and territorial integrity of the Republic of Cyprus clearly violates international law and air traffic regulations and puts the safety of international aviation in the Eastern Mediterranean at serious risk. I call upon the Turkish Government to abide by the Charter of the United Nations and its international obligations and respect the sovereignty, independence and territorial integrity of the Republic of Cyprus.",
"Regrettably, while negotiations aimed at finding a just, lasting and peaceful solution to the Cyprus problem are ongoing, Turkey’s provocative behaviour continues unabated. Turkish Prime Minister Erdoğan’s latest remarks, while on an illegal visit to the occupied areas of Cyprus, leave no room for doubt as to Turkey’s real intentions and are particularly disheartening at the current juncture in the negotiations. We call on Turkey, once again, to heed the call of the international community and engage constructively towards reaching a viable solution to the Cyprus problem, in accordance with the agreed basis for such a solution, endorsed by numerous Security Council resolutions.",
"I should be grateful if you would have the present letter circulated as a document of the General Assembly, under agenda item 43, and of the Security Council.",
"(Signed) Minas A. Hadjimichael"
] | A_65_923 | [
"General Assembly Security Council",
"Sixty-fifth session Sixty-sixth year",
"Agenda item 43",
"Question of Cyprus",
"Letter dated 4 August 2011 from the Permanent Representative of Cyprus to the United Nations addressed to the Secretary-General",
"Upon instructions from my Government and further to my letter dated 7 July 2011 addressed to you (A/65/901-S/2011/424), I have the honour to draw your attention to continuing violations of international air traffic regulations and the national airspace of the Republic of Cyprus by military aircraft of the Turkish Air Force, recorded for the period from 1 June to 28 July 2011, as follows:",
"On 1 June 2011, six F-16, two CN-235, one Cougar and one C-160 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus three times.",
"On 2 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On 3 and 4 June 2011, two Cougar Turkish military aircraft, one CN-235 and one C-160 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.",
"On 6 June 2011, two F-16, four F-4 and four Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.",
"On 7 June 2011, four F-4 and two CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.",
"On 8 June 2011, one B-200, one C-160, one C-130 and one Cougar Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 9 June 2011, eight Cougar Turkish military aircraft in two formations violated international air traffic regulations four times and the national airspace of the Republic of Cyprus four times.",
"On 11 and 13 June 2011, three Cougar, one CN-235 and one B-200 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus six times.",
"On 14 June 2011, four Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.",
"On 15 June 2011, one C-160, one CN-235, six Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations ten times and the national airspace of the Republic of Cyprus nine times.",
"On 16 June 2011, two F-16, two C-160, two CN-235 and one Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus six times.",
"On 17, 18 and 19 June 2011, two Cougar, two C-130 and one CN-235 Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus eight times.",
"On 21 June 2011, one CN-235, one Cougar and one Turkish military aircraft of unknown type violated international air traffic regulations five times and the national airspace of the Republic of Cyprus five times.",
"On 22 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 23 June 2011, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations five times and the national airspace of the Republic of Cyprus four times.",
"On 25 June 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 28 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.",
"On 29 June 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On 30 June 2011, one CN-235 and two F-16 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus.",
"On 1 July 2011, one Cougar and one CN-235 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus three times.",
"On 6 July 2011, one CN-235 Turkish military aircraft violated international traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 7 July 2011, one CN-235 and two F-4 Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.",
"On 8 and 9 July 2011, one Cougar, one CN-235 and two C-130 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus five times.",
"On 12 July 2011, two F-16 and two KC-135 Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On 13 July 2011, two B-200 and one CN-235 Cougar Turkish military aircraft violated international air traffic regulations three times and the national airspace of the Republic of Cyprus twice.",
"On 15 July 2011, two Cougar Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 18 July 2011, 10 NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 19 July 2011, one C-650, one C-208, two Cougar, one CN-235, two F-16 and eight NF-5 Turkish military aircraft violated international air traffic regulations nine times and the national airspace of the Republic of Cyprus nine times.",
"On 20 July 2011, one C-208, two Cougar, one CN-235 and 11 NF-5 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 21 July 2011, three F-16, two KC-135, one C-650 and one CN-235 Turkish aircraft violated international air traffic regulations four times and the national airspace of the Republic of Cyprus twice.",
"On 22 July 2011, 10 NF-5, two C-160 and one CN-235 Turkish military aircraft violated international air traffic regulations seven times and the national airspace of the Republic of Cyprus seven times.",
"On 25 July 2011, one CN-235 Turkish military aircraft violated international air traffic regulations twice and the national airspace of the Republic of Cyprus twice.",
"On 26 July 2011, two F-16, two Cougar and two CN-235 Turkish military aircraft violated international air traffic regulations six times and the national airspace of the Republic of Cyprus four times.",
"On 27 and 28 July 2011, one C-160, one CN-235, one B-200 and three Cougar Turkish military aircraft violated international air traffic regulations eight times and the national airspace of the Republic of Cyprus seven times.",
"On 28 July 2011, one Cougar Turkish military aircraft violated international air traffic regulations and the national airspace of the Republic of Cyprus.",
"On behalf of the Government of Cyprus, I strongly protest the continuing violations of international air traffic regulations and the national airspace of the Republic of Cyprus by Turkey and call for their immediate cessation.",
"The continuing violation by Turkey of the sovereignty and territorial integrity of the Republic of Cyprus is a clear violation of international law and international air traffic regulations and a serious threat to international aviation security in the central Mediterranean region. I call on the Government of Turkey to abide by the Charter of the United Nations and its international obligations and to respect the sovereignty, independence and territorial integrity of the Republic of Cyprus.",
"Regrettably, while negotiations aimed at finding a just, lasting and peaceful solution to the Cyprus problem are under way, Turkey ' s provocative actions have continued unabated. The latest statement made by Turkish Prime Minister Erdoğan during his recent illegal visit to the occupied part of Cyprus leaves us with no doubt as to the true intentions of Turkey towards Cyprus, which is particularly discouraging at this critical juncture in the negotiations. We reiterate our call on Turkey to respond to the call of the international community and to act in a constructive spirit on the agreed basis for such a settlement, as endorsed by numerous Security Council resolutions, in order to achieve a viable solution to the Cyprus problem.",
"I should be grateful if you would have the present letter circulated as a document of the General Assembly, under agenda item 43, and of the Security Council.",
"Permanent Representative",
"(Signed) Minas A. Hadjimichael"
] |
[
"第六十六届会议",
"临时议程[1] 项目69(b)",
"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径",
"受教育的权利",
"秘书长的说明",
"秘书长谨根据人权理事会第8/4和第17/3号决议向大会转交受教育权利特别报告员基肖·辛格的中期报告。",
"受教育权利特别报告员的中期报告",
"摘要",
"这份报告是根据人权理事会第8/4和第17/3号决议提交的，专门介绍国内资助基础教育问题。报告详细介绍了教育筹资的人权义务和国家法律框架的实际范例，以确保国内筹资。报告还根据大会第64/290号决议，补充介绍紧急情况下教育的情况。特别报告员强调，紧急情况下对教育的关注和筹资仍然不足，不当，呼吁更多地投资于预防工作，更好地保护武装冲突期间的教育。",
"目录",
"页次\n1.导言 4\n2.基础教育筹资 4\nA.资助教育的人权义务 5\nB.资助基础教育的国家法律框架 8\nC.需要进一步考虑的关切点 10\nD.结论和建议 11\n3.关于紧急情况中的受教育权利的最新情况 12\nA.确保为紧急状况中的教育提供政治和财政支助 13\nB.保护教育免受攻击 15\nC.使教育系统作好准备应对自然灾害 16\nD.确保关注女童和边缘化群体 17\nE.在所有级别确保高质教育 18\nF.收集有关紧急状况下教育的信息 19\nG.结论和建议 20",
"一. 导言",
"1. 这份报告是根据人权理事会第8/4和第17/3号决议提交的。报告介绍国家关于公共资助基础教育的义务，确保国内资助公共教育的法律框架的重要性。报告还根据大会第64/290号决议，补充介绍紧急情况下教育的情况。",
"2. 继由人权理事会任命后，基肖·辛格在2010年8月担任特别报告员。此后，2011年6月他向人权理事会第十七届会议报告工作。在其第一次报告中，他概述了任务期间考虑的优先领域，详细介绍确保教育机会平等方面的国家义务。还报告了2011年1月我访问第一个国家——塞内加尔——的情况。[2]",
"3. 在其工作第一年，特别报告员参加若干公共教育活动，致力于建立与各国、国际组织和非政府组织的合作。特别报告员最近参加了经济及社会理事会两次区域筹备会议，一次是3月在泰国举行，一次是4月在多哥举行。7月，特别报告员参加了侧重教育方面国际商定目标和承诺的经社理事会实质性会议上高级别会议期间举行的年度部长级审查。",
"二. 基础教育筹资",
"4. 受教育权利是国际公认的权利，提供充足财政资源是落实权利所必不可少的。《世界人权宣言》第26条承认受教育权利，表明其应当免费，至少在初级和基础阶段。自《世界人权宣言》通过以来，各国通过各种人权文书[3] 承诺履行受教育权利的国际法律义务，并承担责任，提供实现这一目标所需的资源。",
"5. 然而，资源约束仍然是实现受教育权利的一个主要障碍。实现千年发展目标2(确保到2015年，世界各地儿童，不论男女，都能完成小学全部课程)和3(不迟于2015年，消除各级教育中的性别差距)的前景因资源匮乏而暗淡。2010年大会关于千年发展目标的高级别全体会议强调，需要扩大预算，提供更多资源，加速实现教育目标。[4] 近年来的《全民教育全球监测报告》一直指出教育经费不足现象。最近，全球金融危机后，削减公共开支，可能减少对教育部门的支持，危及最新进展。[5] 例如，18个低收入国家中的7个，在2009年减少了教育支出，仅这些国家的学校，就有370万儿童失学。[6]",
"6. 为克服资源限制，实现受教育权利，实现国际商定目标，如千年发展目标和全民教育，报告回顾了关于国内资助基础教育的国家义务。列举了国家采用法律文书，确保足够的教育财政资源的范例。",
"A. 资助教育的人权义务",
"7. 按照国际人权条约，国家负责提供资源，确保享受人权。为享有受教育权利提供必要资源，则更为重要，因为享受受教育权利是行使所有其他人权的关键。这在公共投资中给予高度重视，无论个人，还是社会，均可受益。",
"8. 国家有义务确保提供充分的资源，克服制约因素，实现受教育权利，这在联合国人权条约机构通过的结论性意见中一直有所体现。经济、社会和文化权利委员会及儿童权利委员会经常表示关注，由于国家教育投资不足，导致教育水准下降，建议增加教育部门的资源分配。消除对妇女歧视委员会还系统地敦促各国作为一项基本人权和赋予妇女权力，增加基础教育投资。人权理事会普遍定期审议建议增加教育投资，这进一步证实了人们广泛承认，资助教育是履行人权义务的中心。[7]",
"9. 承诺资助教育，也是国际劳工组织(劳工组织)/联合国教育、科学及文化组织(教科文组织)关于教师地位的建议(1966年)的内容，其中承认所有国家需要高度重视在国家预算中，为国家教育事业发展拨出足够比例的国民收入。[8] 事实上，受教育权利是教科文组织机构使命的组成部分，成员国有义务为实现这一目标提供必要的资源。",
"1. 确保逐步实现，避免出现倒退",
"10. 逐步实现经济、社会和文化权利(包括受教育权利)的概念承认，实现这些权利，往往需要时间。这也意味着，须采取措施，促进履行权利，以确保在全国持续普及这项权利。提到逐步实现受教育权利时，经济、社会和文化权利委员会强调，《经济、社会化文化国际公约》缔约国有特定、持续的义务，“为尽快和尽可能有效地”充分实现这一权利。公约还强调，“不允许有任何倒退措施”。[9] 从这个意义上，支持教育的同时，必须考虑到要确保教育部门逐步扩大。",
"11. 联合国各人权条约机构对经济危机可能给享受人权方面产生影响表示关切。经济和社会权利委员会具体表示，“即使在因调整过程，因经济衰退，或因其他因素引起的严重资源制约之时，社会上弱势成员也可以，而且必须得到相对低成本、具有针对性的方案的保护。”[10] 最近，人权理事会通过一项决议，呼吁会员国，强调全球经济和金融危机不应减少国家主管部门实现人权的责任。[11]",
"2. 履行核心义务",
"12. 国家有义务优先满足《经济、社会和文化权利国际公约》确认的、“每项权利最低限度的基本水平”，也称“最低限度的核心义务”，这有立竿见影的效果。有关受教育权利的核心义务包括，除其他外，根据第13.2(a)条，为所有学生提供免费小学教育的义务，采取和执行国家教育战略、包括拨款提供中等教育、高等教育和基础教育的核心义务。[12] “公约”第14条进一步强调到核心权利是：采纳行动计划，争取在合理时间内逐步实施接受免费初等义务教育的权利。",
"3. 确保提供尽可能多的资源",
"13. 《经济、社会和文化权利国际公约》、[13] 《儿童权利公约》[14] 和《残疾人权利公约》[15] 都明确表示，缔约国有义务提供尽可能多的资源，确保享受人权。",
"14. 经济、社会和文化权利委员会在其关于缔约国义务的一般性意见中强调，即使在现有的资源不足以实现经济和社会权利情况下，缔约国仍有义务努力确保在当时情况下，尽可能广泛地享有这些权利，监督其实现程度，制定推广战略和方案。[16] 此处的资源是指财政资源，但不专指财政资源。",
"4. 提供国际援助和合作",
"15. 根据《经济、社会和文化权利国际公约》，各国有义务单独和通过国际援助和合作采取措施，尽可能利用现有资源，逐步实现这些权利。经济、社会和文化权利委员会强调了国际社会对资助受教育权利的具体义务。[17] 同时，需要国际援助的国家必须根据人权规范和标准寻求和管理援助。",
"16. 凭借国际团结原则，最不发达国家面临着严重的财政困难，值得优先得到国际援助。发展伙伴必须向这些国家提供“财政和技术支持”，“实现国家教育计划和方案，包括在农村和偏远地区普及教育”。最不发达国家需要加强国民教育体系。[18]",
"17. 关于国际援助的若干政治宣言强调，受援国必须妥当管理国内现有资源，增强发展努力的可持续性。例如，通过巴黎援助效益宣言(2005)，伙伴国家承诺“加紧调动国内资源，加强财政的可持续性，为公共和私人投资创造有利环境。”[19] 同样，国际发展筹资会议上秘书长发起的《全球契约》(2002年)规定，如果发展中国家改善治理，取得成果，捐助者将拿出必要的资金，实现千年发展目标。[20] “全民教育快车道倡议”是国际教育援助的最重要的机制，旨在协助各国实现千年发展目标2和全民教育目标，并尤其注重受援国妥当管理国内资源。",
"18. 最近，2006年，参与发展援助的国家和国际组织建立了创新融资发展领导小组，制定更多的国际融资机制，促进全球发展。作为该倡议的一部分，设立了创新教育筹资国际工作队，正在讨论若干替代方法，增加教育经费，[21] 包括调动国内资源，以及国际援助。[22]",
"5. 相关的全球政治承诺",
"19. 许多国际宣言写有资助小学教育的承诺，这也是重大的全球运动的核心。在世界教育论坛(2000年)上，各国政府以及其他利益相关者承诺拟定战略，特别是“调集强大的国家和国际上的全民教育政治承诺，制定国家行动计划，大幅度增加基础教育的投资。[23] 这些承诺包括，“政治意愿必须有资源来支撑”这一承诺。因此各国政府有责任提供国内资源，实现全民教育。普及教育是一项基本人权，被认为是“战略发展投资。”[24]",
"20. 千年发展目标也应用来重申人权条约中所表达的义务，因此，各国政府有责任提供财政资源用于教育。千年发展目标2反映了确保普及小学教育的义务，包括确保不得用直接或间接学费来剥夺儿童接受教育权利的义务。千年发展目标3反映了确保各级教育两性均等的义务，包括为此提供财政资源的义务。",
"B. 资助基础教育的国家法律框架",
"21. 各国有义务把资助教育的国际义务纳入国内法。国家宪法、立法和教育政策规定用于教育的公共资金，是履行义务，实现受教育权利的关键。特别报告员认为，通过国家教育经费的法律框架，能够表示对受教育权利的重视和优先考虑。",
"22. 在全民教育进程中通过法律改革，可以目睹国家法律框架内受基础教育的权利与受初级教育的权利一并出现。因此，各国承认有义务保证基础教育的普及。例如，2009年英联邦政府首脑会议呼吁所有英联邦国家为基础教育投入更多资源。[25]",
"1. 宪法规定",
"23. 宪法规定教育经费，这为制定国家立法和教育政策奠定了坚实基础。一些国家对确定最低限度教育投资定有不同的标准，但都有宪法规定。",
"24. 一些国家的宪法规定了必须拿出税收收入的一定比例，用作最低水平的教育资源。巴西宪法第212条规定，“联邦每年使用不低于18%的税收，各州、联邦区、县至少使用25%的税收，包括汇款收入，用于维护和发展教育。”",
"25. 其他国家的宪法确定整个国家预算中教育所占的最低份额。2002年修订的印度尼西亚宪法第31条⑷规定，“国家预算和地区预算至少20%应优先用于教育，以满足国民教育的需求”。",
"26. 其他国家宪法使用国内生产总值来计算教育所需的最低限度的支持。厄瓜多尔2008年宪法规定，公共教育开支应占国内生产总值的6%。哥斯达黎加1997年宪法载有类似的规定。",
"27. 最后，其他国家宪法规定优先投资教育的义务。埃塞俄比亚宪法规定，“国家有义务分配越来越多的资源，用于公共健康、教育和其他社会服务。”(第41条⑷)。同样，菲律宾和越南宪法规定，国家应优先投资教育。",
"2. 国家立法和预算拨款用于基础教育",
"28. 经济、社会和文化权利委员会强调，以国家立法履行国家义务的重要性。[26] 许多国家的立法往往是在全民教育进程中拟定的，包含资助基础教育，制定最低限度财政支持和责任的重要规定。最近的事态发展可作为实际的例子，介绍如下。",
"29. 在南非，基础教育是一项宪法权利。1996年南非学校法规定，“根据宪法和本法，部长须与金融和财政委员会和财政部部长协商，确定资助公立学校的准则和最低标准”(第35条)。",
"30. 尼日利亚2004年《免费义务基础教育法》规定9年义务基础教育，建立普及基础教育委员会，负责实施受基础教育权利，并提供资源。普及基础教育方案经费来自2%的综合收入基金。",
"31. 阿根廷2007年《国民教育法》第26.206号规定，2010年教育资源增加额为国内生产总值的6%。该法规定了从五岁起享有义务教育的权利，直至完成中学教育(第16条)。",
"32. 墨西哥2003年《教育总法》规定，国民生产总值的8%分配给公共教育和教育服务(第25条)。据悉，这有助于增加对教育的支持。",
"33. 在印度，为基础教育提供资金的政策源自国家立法，例如正在采取措施，实施2009年《儿童免费义务教育法》。制定这一框架后，国家五年计划中的教育开支大量增加。",
"34. 塞内加尔1991年关于国家教育政策的第91-22号法得到2004年第2004-37号法修订，规定6至16岁所有儿童享受义务教育，所有公立学校免费。据报道，承认提供教育的义务后，国家教育投资增至占近40%的国家预算。",
"35. 肯尼亚通过了2001年《儿童法》和21世纪教育战略，强调普及小学教育的核心承诺。据报道，做出承诺后，教育资源分配显著增加。",
"36. 中国2006年修订了《义务教育法》，规定了9年基础教育。该法保证，基础教育由国务院和地方人民政府资助。中国的中期和长期教育改革和发展国家计划(2010-2020年)承认，“筹资教育是一个基础性、战略性的投资。”计划到2012年，公共教育开支将占国内生产总值的4%。",
"37. 一些法律框架把资助责任下放给地方实体。冰岛2008年第19号义务教育法规定，市政府负责义务教育的资本投资费用。泰国1999年《国民教育法》授权邦和地方机构酌情征收教育税。一些联邦制国家具体安排了联邦和各州当局的供资职权和责任。[27]",
"3. 为教育筹集补充资金",
"38. 法律文书能够为教育筹集补充资金。印度对所有中央税征收2%的教育税，为初等教育部门开拓了重要的资金来源。同样，上文提及的中国国家行动计划也拟议征收教育附加税，占增值税的3%，专门用于教育事业。通过此类特别征税计划筹集补充资金，对于增强预算供资至关重要。[28]",
"39. 通过对政府资助作出补充的制度性机制，地方机构、私人捐助者和社区可以用捐款来筹集补充资金，从而加强对基础教育的公共投资。例如，根据2001年教育基金法，坦桑尼亚教育署可以“代表该基金接受馈赠、捐赠、赠款或其他款项”。此外还存在其他的类似机制，例如印度的Bharatiya Shiksa Kosh(教育基金)和尼日利亚的教育税基金。必须确保所有这些制度性机制的工作方式充分尊重透明度和问责制。",
"40. 本报告仅限于集中讨论通过公共资源为教育融资的问题。然而，私营部门显然可以通过结成与政府公平分担责任的伙伴关系，在提供教育方面对国家的教育举措构成补充。[29] 但是，应确保这种伙伴关系在全面遵守人权规范的法律框架之内开展运作，并与高质量教育的标准保持一致。",
"C. 需要进一步考虑的关切点",
"41. 如前所述，人权文书明确规定了国家资助教育的义务。将这些义务付诸实践要求采取一系列的法律和政策手段，以确保对教育的投资是可预见和可持续的，并确保可以随时使用和及时、适当地利用各种财政资源，以保证尽可能广泛地享有受教育的权利。采用为教育筹资的法律框架为促进问责制提供了一项重要工具，因为影响公共教育投资的行动可能会招致国内法律诉讼。[30]",
"42. 特别报告员在下文中列出了一些核心的关切点，在执行为基础教育筹资的法律文书的过程中值得进一步重视这些问题。",
"1. 为基础教育获取充足的财政资源",
"43. 为了克服全民教育议程所面临的资源限制，全民教育问题高级别小组主张应确保国家预算中用于教育的最低比例达到15%至20%，或占国内生产总值的4%至6%。[31] 如上所述，规定总公共开支中的一定比例或具体税种的收入必须专门用于教育的机制业已成功地增加了多个国家的教育供资。很显然，是否对这些机制的有效性逐步开展一次评估取决于特定国家的财政和预算政策机制的整体运作情况。",
"2. 确保充分利用教育资源",
"44. 尽管为教育分配尽可能多的国内资源至关重要，同样重要的是必须确保这些资源的有效和最佳利用。[32] 除了确保教育经费之外，保护受教育权的法律文书也可以进一步引导国家采取行动，履行人权义务，利用好划拨给教育的资源。",
"45. 考虑到确保普及小学教育的义务以及致力于千年发展目标和全民教育议程的承诺，应确保将初等教育和基础教育的公共资金投入当作优先事项。",
"46. 对教育财务管理的有效性进行评价，必须重视平等和不歧视的核心原则。向一个地区内的不同教育层次和区域分配资金时，必须考虑到现有的社会经济差距及其对于教育界的影响。此外，在通过次国家预算为教育供资的情况下，还要确保本地征收的财税收入的差异不会导致不同区域之间出现不平等状况。",
"47. 必须保证投入专门资金解决女孩、贫困人口、残疾人、种族和语言上的少数群体、移民及其他边缘群体和弱势群体被排斥于教育之外这一问题的根源。必须考虑采取克服重大教育障碍的具体措施，包括取消学费、为其他费用(如课本、校服和交通)提供补贴等。[33] 通过平等权利行动向这些群体提供财政支持的临时特别措施，可以在国际人权条约中找到规范的依据。[34] 必须特别注意在教育预算管理中体现透明度和问责制的原则。",
"3. 对教育质量作出回应",
"48. 最后，调整教育经费支出的框架必须首先考虑提高优质教育，认识到教育在人民生活中的中心地位以及优质教育的赋权作用。教育预算往往全部用于经常性开支(主要是教师的薪金)。不幸的是，教师的薪酬往往非常低，难以吸引合格的专业人员。[35] 对重要环节的投资(如开发教学材料、培训教员和改善工作条件)仍然受到忽视。特别报告员打算在有关优质教育的另一份专题报告中考察这个问题。",
"D. 结论和建议",
"49. 只有国家为教育提供必要的资源，并在一贯和可预见的基础上使其可用，各国才能履行保证受教育权的国际义务。为此，确保教育投入的国家法律和政策框架起到了至关重要的作用。这对于加速实现千年发展目标的可持续发展进程和推动全民教育议程向前发展也十分重要。教育确实是一个国家所能做出的最佳投资，值得在资源配置中享受最高的优先级。作为一项至关重要的全球公共商品，教育应享有全球领导人坚定的投资承诺。[36]",
"50. 本着这一精神，特别报告员提供了以下建议：",
"(a) 通过国内法律框架确保教育投资",
"51. 制订一部国家法律，并规定至少要保证不可或缺的最低水平的优质教育投入，实属十分必要。针对全民教育问题高级别小组一直强调的建议开展后续行动，并设立一项国际公认的准则(即至少为教育分配国民生产总值的4-6%或国家预算的15-20%)，对于为制定国家法律和政策框架奠定基础可能是有价值的。",
"(b) 制订增加资源分配的战略",
"52. 开拓资源分配和利用的新途径，对于各国而言至关重要。为加强教育投入作为国家优先事项的地位，与社会发展有关的各部委(社会福利部、儿童和妇女发展部、劳动部、卫生部等)都可以规定教育预算项目。与此同时，拓宽税基对于创造更多的预算资源也很重要。",
"(c) 提倡公开辩论和交流经验",
"53. 在预算分配方面，教育往往无法享有在国家一级应有的优先地位。为了确保教育得到优先关注，必须推动教育部长与财政部长和规划部长之间就确保教育投入最大化的必要步骤开展公共对话。各国之间就筹集教育经费的法律和政策框架交流思想和办法，将有助于国家主管部门通过比较来借鉴现有的经验和实际的范例，同时也有助于增进有关教育投入新途径的认识。",
"(d) 在为各国政府制订国家法律框架提供技术援助的过程中，要特别重视为基础教育筹措经费",
"54. 根据人权理事会第17/3号决议，应鼓励教科文组织和儿基会继续向会员国提供技术援助，协助各国制订国家立法并实现其现代化。在这一过程中，应强调为基础教育筹措经费的规定的重要性。",
"(e) 对教育质量作出回应",
"55. 用于优质教育的预算准备金非常稀缺，因为分配给教育的资源几乎全部用于经常性开支。在对教育质量作出回应方面需要一种范式的转变，而这依然是一项艰巨的挑战。",
"三. 关于紧急情况中的受教育权利的最新情况",
"56. 大会第64/290号决议请特别报告员在其提交大会第六十六届会议的下次临时报告中列入有关上任特别报告员2008年提交的紧急情况中教育权利报告(A/HRC/8/10)的最新资料，以便明确紧急情况中受教育权利方面的差距和余留挑战。",
"57. 2008年的报告将紧急情况定义为任何由自然灾害或武装冲突引发的危机，根据国际人道主义法的定义，这些紧急情况可能是国际性的(包括军事占领)，也可能是内部的，或者是冲突后局势。报告指出，确保适当的教育不仅是各国广泛承认的国家义务，而且对于防止突发事件、确保在建设和平与恢复工作中取得成功也是必不可少的。但是，报告强调指出，在紧急情况和重建进程中，教育往往被中断、被延迟甚至被剥夺。报告向各个国家、政府间组织和非政府组织提出了若干建议，应更好地保护教育，并确保将其纳入针对冲突和自然灾害开展的人道主义应急活动。",
"58. 这份最新情况说明分为六个部分，反映了第64/290号决议的内容和核心建议。每个部分都列出了在促进紧急情况中的受教育权利方面所面临的余留挑战，并列举了在过去三年中所取得的进展。第一部分集中讨论为紧急情况下的教育增加政治和财政支助的建议。第二部分涉及更好地保护学校免受攻击和确保问责制的建议。第三部分涉及让教育系统对自然灾害状况作出更佳准备的建议。第四部分涉及关注女孩和其他边缘群体的特定需求的建议。第五部分集中讨论确保紧急情况中的优质教育的建议。第六部分集中讨论改进在紧急情况下的教育数据的收集工作的必要性。",
"59. 由一批在紧急情况下的教育问题领域具有知识专长的国际组织和非政府组织牵头、通过合作协商进程拟订的一份详尽报告，[37] 为这份最新情况说明作出了贡献。特别报告员向所有为编制这份最新情况说明而共享资料或付出编撰努力的人们表示感谢。",
"A. 确保为紧急状况中的教育提供政治和财政支助",
"60. 仍有千百万人被剥夺了在紧急情况下受教育的权利。为保障这一基本权利，必须增强政治关注和可持续的财政支持。对紧急情况下受教育的权利缺乏足够的重视，仍在影响着实现千年发展目标和全民教育目标的前景。《2011年全民教育全球监测报告》强调指出，在受冲突影响的国家中，估计约有2 800万的小学适龄儿童目前失学，占全球失学儿童总数的42%。[38] 自然和人为灾害也威胁到教育：估计有8.75亿的学龄儿童生活在地震高风险区，还有数亿儿童面临着经常发生的洪涝灾害、山体滑坡、大风和火灾危害以及发生速度较缓的灾害。[39]",
"61. 大会第64/290号决议反映出，各国已经认识到，将确保实现受教育的权利作为人道主义援助和应急的一个不可或缺的组成部分具有十分的紧迫性。联合国系统内部的辩论和研究工作有助于揭示出《全民教育全球监测报告》所称的“隐藏的危机”。儿童权利委员会和大会分别于2008年和2009年举办了集中讨论这一主题的专题讨论日。",
"62. 提供人道主义援助的各个利益攸关方对于教育的更大重视和相互协调仍然是一个关键的问题。环球项目和机构间紧急教育网之间最近结成了合作伙伴关系，共同拟订一份伙伴协定，指导如何将优质教育纳入人道主义应急之中，这朝着推动人道主义界内部更加一致地专注于教育迈出了重要一步。传统上，恢复受教育的机会被排除在人道主义优先事项之外，但受紧急状况影响的家庭和年轻人仍将其视为一项优先事项。[40] 对受影响社区提出的需求作出回应是人道主义应急的重要组成部分之一，也是实施受教育的权利的关键。",
"63. 尽管国际社会和受紧急状况影响的社区越来越多地认识到紧急情况中的教育的重要性，但为此筹集的资金仍然十分有限。仅有少数捐助机构已将教育明确列入其人道主义政策的一部分。[41] 2011年《全民教育全球监测报告》强调指出，2009年，致力于在与冲突相关的紧急情况下提供教育的人道主义援助只占人道主义援助总额的2%。[42] 报告得出的结论是：",
"教育是人道主义援助制度的穷邻居，这方面不仅资金投入不足、完全不可预测，而且还受到短期行为的制约。教育面临着双重劣势：它占人道主义呼吁的比例很小，在得到资助的人道主义呼吁中所占的比例就更小了。[43]",
"64. 评价表明，一些需要教育经费的特别脆弱的国家被许多捐助方弃之不顾，因为捐助国显然更优先照顾那些与本国的安全优先事项挂钩的国家：向脆弱国家提供的官方发展援助高度集中，2008年向43个脆弱国家提供的官方发展援助中，51%的援助流向了六个受惠国，仅占脆弱国家人口总数的23%。[44]",
"65. 支持的变动是另一个值得关注的问题。正如上文指出的那样，财政支持的可持续性对于确保教育系统充分发挥作用是至关重要的。只能通过持续的金融支持让教育方案不间断地实施下去，才能实现这一点。由于在从人道主义应急到发展框架过渡的过程中缺乏可持续的支持和资助，在紧急情况发生后会错过许多重要的机会。在此背景下，值得强调的是还必须进一步投资于受援国的国家规划和信息系统。[45]",
"66. 全民教育快车道倡议正在努力增加对脆弱国家的支持，但迄今为止，该倡议还不具备在特别紧急的情况下提供融资的能力。[46] 除双边支持外，还有许多为紧急情况下的教育提供资金的补充融资方式，但这些方式仍明显不足。",
"67. 特别报告员强调，紧急情况并不能免除国家采取一切适当措施确保本国领土上的所有人(包括非国民、境内流离失所者群体的难民)都能实现受教育权的义务。确保为初等教育提供财政支持以保证在紧急情况下仍可获得初等教育、以非歧视的方式提供中学教育、促成在能力的基础上接受高等教育的机会都不过是履行人权义务而已。",
"68. 考虑到受紧急状况影响的一些国家的脆弱性以及国际援助和合作在这种状况下的核心作用，必须铭记人权法确立了提供国际援助的义务。[47] 同样的承诺也反映在许多国际宣言中，包括世界教育论坛2000年通过的《达喀尔全民教育行动框架》。此外，如上所述，要求援助的国家也有义务根据人权原则寻求和管理外部援助。",
"B. 保护教育免受攻击",
"69. 对学校和高等教育机构的袭击违反人权和人道主义法。[48] 然而，秘书长最近报告说，对学校的袭击构成了严重的关切，并有增多的趋势。[49] 位于冲突区的许多教育机构仍然面临着不安全状况，对教育制度和学生造成了长期后果。",
"70. 研究表明，在过去三年中，在冲突局势下对教育机构发动袭击的数量持续增加，暴力行为十分广泛。[50] 这些事件包括伤害或杀害学生和学校工作人员，损坏或毁坏教育设施，最终造成成千上万的学生因学校或大学关闭而无法上学。国际教育学会的学者救援基金[51] 报告说，受到威胁的学者在2008-2011年期间提交的申请比上一个时期增加了一倍。在某些情况下，武装分子对学校的利用破坏了学校的民用性质，将学生和教师置于危险之中。[52]",
"71. 尽管监测机制仍存在缺陷，但人们注意到，国际社会越来越重视在紧急情况下袭击教育机构的状况。2010年，国际组织和非政府组织成立了一个保护教育机构免遭袭击全球联盟，推动共同努力，防止、应对和监控对教育机构的袭击。秘书长在他关于在武装冲突中的儿童的最新报告中介绍了这些情况。[53] 同样，负责儿童与武装冲突问题的秘书长特别代表重申了保护学校免受攻击的重要性，并强调“加强对此类罪行问责的机制是确保学校保持安全避风港与和平区地位的关键”。[54]",
"72. 特别报告员认为，必须加强监测机制的能力，监控那些卷入武装冲突的人针对教育系统发起袭击的状况，这对于防止不可见性和结束有罪不罚现象是必不可少的。在这方面，他表示欣见安理会最近通过的第1998(2011)号决议，该决议对学校受袭事件深表关切，并要求秘书长在其关于儿童和武装冲突问题的报告附件中列入相关资料，介绍对学校的经常性袭击以及对受保护的学校相关人员的袭击或袭击威胁。安全理事会的监察和报告机制在确定武装冲突中严重侵害儿童的行为方面业已发挥重要作用，持续重视和更多关注对学校的袭击对于保护受教育的权利而言至关重要。为进一步确保问责制，还必须进一步加强国内和国际司法系统的能力，以便起诉犯罪人，包括非国家行为者。",
"73. 除了确保追究袭击学校的责任之外，还必须作出有针对性的努力，以防止发生袭击学校和其他教育机构的事件，并使其对不安全状况作出防备，以便将武装冲突可能造成的损失降至最低。最后，还需要开展不懈的努力，协助受害者康复，并确保为这些与教育有关的侵犯行为支付适当的个人和集体赔偿。",
"C. 使教育系统作好准备应对自然灾害",
"74. 教育系统负责人一定不能忽视越来越多的自然灾害。学校不仅在帮助社区提高抗灾能力方面发挥至关重要的作用，还需要作好充分准备，尽可能减少自然灾害最终可能对其自身运作造成的危害。因此，需要在编制减少灾害风险整体战略时特别关注教育部门。与此同时，学校必须制定和采取适应其所面临的具体情况的系统安全和安保措施。",
"75. 学校的建造或维护工作往往不是为提高抗灾能力进行的。在世界各地与儿童进行的广泛磋商的结果是，最近编制了《减少灾害风险儿童宪章》，该宪章强调了学校安全和教育不被打断的需要。[55] 机构间紧急情况中教育网络为编制确保建造更安全学校和改造现有学校的必要步骤的指导说明进行了协调。[56] 需要作出重大努力，为更安全的教育基础设施标准建立技术能力，并确保其得到采纳，以避免地震或其他灾害夺走在不安全学校就学的大批儿童生命的悲剧。",
"76. 还注意利用学校作为增加学习者和教育工作人员为灾害及其后果开展的准备工作的平台。一些国家已将减少灾害风险的组成部分纳入他们的学校课程，[57] 其他国家考虑将减少灾害风险和适应气候变化作为国家的教育优先事项。[58]",
"77. 特别报告员强调，通过教育进行的在预防工作方面的投入对于保护他们援助的学校和社区免受自然灾害的影响至关重要。因此，教育系统必须积极参与风险管理战略的编制和实施。学校还必须通过其经常性的活动，促进在学生、工作人员及其所属社区中形成一种预防和备灾的文化。考虑到即使在同一地区的各个社区的风险和需求都大相径庭，需要确保通过一个学校所在社区参与的有意义的参与过程编制风险管理策略。",
"D. 确保关注女童和边缘化群体",
"78. 政府不能解决基于收入、性别、地点、族裔和语言的持续不平等问题是在实现全民教育目标[59] 以及千年发展目标方面进展有限的原因之一。在正常时期已经存在的上学的障碍，在紧急情况下其影响显然更大。上学的成本可能大大增加，并且学校和家庭之间的通勤往往变得非常困难和不安全，将那些贫困或更容易受到暴力侵害的儿童进一步排除在外。在这个意义上，确定边缘化群体并解决他们的具体需要的有针对性的措施对于避免扩大在教育方面的不平等是必要的。",
"79. 确保教育中的性别均等的工作在这方面尤其重要。已提请注意在冲突中普遍存在的性暴力伤害直接和间接影响女教师和女学生。[60] 前往学校、从学校离开的路上或在学校内的不安全状况似乎是将女童排除在教育系统之外的一个核心因素。在紧急学校缺乏独立的卫生设施也构成了女童教育的主要障碍。",
"80. 尽管在紧急情况下存在明显的资源限制，在这种情况下规划、实施和评估教育政策时忽视教育中的歧视和结构不平等的影响可能导致进一步的边缘化，并在某些情况下导致冲突的再次发生。",
"81. 难民和境内流离失所者在原籍社区之外寻求教育方面继续面临很大的障碍。联合国难民事务高级专员办事处在联合国正式难民营内收集到的数据显示，各个营地受教育的机会是有限和不均衡的——难民儿童的整体小学入学率是69%，而中学阶段的入学率只有30%。[61] 尽管各国有不加任何歧视地向居住在其领土上的所有儿童提供教育的人权义务，并且《公约》有与难民地位有关的规定，[62] 多个国家维持对难民和境内流离失所儿童入学的行政障碍。[63] 为长期流离失所状况下的项目提供短期资助威胁数千名难民和流离失所儿童的教育和进步。[64] 必须将在这些情况下的教育供资方面的差距作为优先事项加以处理，因为拒绝向这些人口提供教育会产生持久的影响。",
"82. 特别报告员在其向人权理事会提交的第一次报告(A/HRC/17/29)中已经强调，大多数人权条约都涉及到平等教育机会问题。人权条约规定国家有责任确保在公立教育机构和课程就读的权利不受歧视，并向所有人提供初等教育。",
"E. 在所有级别确保高质教育",
"83. 仅仅入学并不能保证受教育权利的行使，例如，在所提供的教育质量不符合适当的标准的情况下。在紧急时期所面临的资源限制并不是忽略确保高质量教育的基本要求的正当理由，这些要求包括合格教师的存在、适当教学材料的提供、充分的真实教学时间和经改善的课堂教学环境。",
"84. 各国、国际组织和民间社会继续通过机构间紧急情况中教育网络编制的材料，为改善在紧急情况下的高质教育提供指导。一个世界各地的紧急教育所涉利益攸关方参与的协商进程的结果是编制了《机构间紧急情况中教育网络教育工作最低标准：备灾、回应和复原》的更新版本，该标准提供有关确保高质量教育的必要步骤的重要政策指导。最近发布的机构间紧急情况中教育网络关于教与学的指导说明根据在紧急情况下工作的教育工作者积累的经验，提供了更具体的教学指导。",
"85. 如上所述，紧急教育和过渡方案资金的不足和短期性质大大影响消除严重缺陷的可能性，这导致教育质量十分低下。此外，仅仅侧重于小学教育的人道主义工作总体趋势限制了对早期儿童护理和发展以及中等教育和高等教育的投资。这种偏见极大地限制了学生进步的前景，并增加了培训教师方面面临的挑战。",
"86. 2011年全民教育全球监测报告介绍了确保受冲突影响或面临冲突风险的学生得到高质量教育方面的一些关键问题。这些问题包括，确保儿童可以学习自己的母语，尤其是在早期阶段；重新考虑历史和宗教的教学，使其展示对冲突敏感问题的不同视角；并促进非暴力的学校环境。",
"87. 识字、算术和生活技能(如疾病预防和冲突解决)的有效教学对于提高突发事件期间的应变能力至关重要。必须给予学校工作人员足够的激励并加强他们的能力，以使他们对学生的心理需求给予适当关注，为娱乐和表演活动使用资源和做出日程安排，并使受到严重影响的学生求助于额外的支持。",
"88. 提供学习成绩认证是在紧急情况下与教育质量有关的另一个值得关注的问题，特别是对于难民学校的学生。需要编制具体的战略，以确保即使在发生危机的时候，学生的成绩记录也能得到充分地监测、记录和确认。",
"F. 收集有关紧急状况下教育的信息",
"89. 在紧急情况下收集数据方面的限制继续影响整个人道主义工作。准确评估教育需求的能力不足限制了在紧急情况下准确制定和评估教育举措的可能性。如上所述，监测欠佳进一步导致在学校直接受到暴力威胁情况下缺乏能见度和随之而来的有罪不罚现象。",
"90. 2011年全民教育全球监测报告指出，冲突局势中的数据收集存在严重的局限性：“对陷入冲突的社区的需求评估是没有计划性的，即使考虑到与在受冲突影响地区进行调查有关的不可避免的限制也是如此。[65] 该报告还强调，捐助方评估往往低估教育部门的需求，因为他们的建议往往是为满足对捐助资金的较低期望提出的。[66] 对教科书供应、学时、在职教师培训等教育质量方面的需求评估的关注有限。中学教育对人力资源和基础设施的要求往往也被完全忽略。",
"91. 在紧急情况下收集信息需要具体的策略，以克服在这种情况下所面临的各种障碍。这些障碍可能包括艰难的后勤工作、人身的不安全性、在瞬息万变的环境中各种活动所涉及的政治和伦理问题，以及与流动人口和具有不寻常人口构成的群体合作的技术挑战。[67]",
"92. 全球教育专题工作组在2010年编制了联合教育需求评估工具包以及快速需求评估简要指南，以在紧急状况下提供有关数据收集的指导。工作组强调，需要通过界定一套核心指标进一步提高监测能力，包括指导融资要求估计所需的即将接触的儿童和青年的估计数字、年龄和性别概况、流离失所的模式、教育材料、教师和基础设施要求。[68]",
"G. 结论和建议",
"93. 如关于紧急状况下的教育的上次报告(A/HRC/8/10)中所述，对于受紧急状况影响的大多数社区，极为有限的接受教育的途径仍然是一个现实情况。尽管国际社会增加了关注，关键问题仍然存在：对人道主义活动的供资仍然忽视确保教育的需求；学校继续成为直接和间接暴力的受害者；面对自然灾害的更大影响，预防工作仍然不够积极。为了扭转目前的趋势，提供和输送人道主义和过渡援助的国家和其他实体在紧急情况下一定要更加重视教育。在紧急情况期间提供教育和确保教育受到保护不是一种选择，而是一种义务。",
"94. 在此方面，特别报告员提出了以下建议：",
"(a) 确保在紧急状况下为教育提供充分资金",
"95. 作为人道主义和过渡响应工作的支柱，各国必须紧急增加对教育的国家、双边和多边供资承诺。必须作出明确的政策承诺，以确保在紧急状况以及脆弱和持久危机的情况下对教育提供充足和可持续的国内和国际支持。这种承诺所涉的期间必须直至恢复的最后阶段，包括在发展框架中。受援国必须在寻求和管理国际援助的同时遵循有关人权的规定。",
"(b) 加强对学校的保护，使其免受袭击",
"96. 各国必须确保系统监测、记录和报告对教育界人员和教育机构和场地进行的侵犯国际人权和人道主义法的行为。必须遵循安全理事会最近通过的第1998(2011)号决议，在今后监测武装冲突中侵犯儿童权利情况的工作中更加关注教育情况。应充分了解国内、区域和国际问责机制(包括军事问责机制)，并系统落实国家和非国家行为体在教育权和其他保证向教育界人员和机构提供的法律保护方面的义务。需要开展具体工作，加强教育提供者预防和回应袭击的能力。",
"(c) 加强安全和减少灾害风险",
"97. 各国必须确保，在规划、设计、建造和重建教育设施时考虑到灾害风险和安全因素。应将减少灾害风险和备灾概念纳入教育政策和课程中。必须使用有学生和社区参加的参与性进程，以确保对当地的危险进行评估和备灾。",
"(d) 注意将女童和边缘化群体排除在外的情况",
"98. 各国必须采取具体措施，在紧急状况中保障女童和边缘化群体受到教育。需要开展具体工作，消除持续或新出现的歧视模式，并消除在紧急情况期间使不平等程度加深的实体、财政、文化和语言障碍。",
"(e) 确保高质量的教育",
"99. 那些负责在紧急状况中提供教育的机构必须考虑满足高质量教育标准的要求。必须特别注意改进学校的课程，促进人权教育并满足学生和教师的心理社会需求。",
"(f) 制定评估紧急状况中教育需求的共同框架",
"100. 需要进一步投资，以确保系统收集有关在紧急状况下教育状况的数据。在紧急状况下对教育提供支持的国家、国际组织和非政府组织应努力编制一个评估和报告紧急状况中得到满足和未得到满足的教育需求的共同框架。这种框架必须考虑到与受教育权有关的人权义务。",
"[1] ^(*) A/66/150。",
"[2] A/HRC/17/29/Add.2。",
"[3] 《经济、社会和文化权利国际公约》第13条和第14条和教科文组织《取缔教育歧视公约》广泛规定了这项权利，并且也得到《儿童权利公约》第28和第29条、《消除一切形式种族歧视国际公约》第5条、《国际消除对妇女一切形式歧视公约》第10、第11和第13条、《保护所有移徙工人及其家人权利的国际公约》第30、第43和第45条，以及《残疾人权利公约》第24条的保障。",
"[4] A/64/665，第71(b)段。",
"[5] 教科文组织教育规划资助教育国际研究所 一些出版物也探讨此一问题。",
"[6] 教科文组织2011年《全民教育全球报告》，“隐形危机：武装冲突与教育”，第12页。",
"[7] 例如，2009年和2010年给玻利维亚、柬埔寨、智利、刚果民主共和国、多米尼加共和国、埃塞俄比亚和西班牙的建议。",
"[8] 劳工组织/教科文组织关于教师地位的建议，第10(e)段。",
"[9] 经济、社会和文化权利委员会，一般性意见第13号第5段，第44号和第45号。",
"[10] 经济、社会和文化权利委员会，一般性意见第3号第12段。",
"[11] 人权理事会2009年2月23日S-10/1号决议。",
"[12] 经济、社会和文化权利委员会，一般性意见第13号第52段。",
"[13] 第2.1条。",
"[14] 第4条。",
"[15] 第4.2条。",
"[16] 经济、社会和文化权利委员会，一般性意见第3号第11段。",
"[17] 经济、社会和文化权利委员会，一般性意见第11号(1999)第9段，和一般性意见第3号(1990)第14段。",
"[18] 2011年5月9日至13日在伊斯坦布尔召开的年联合国最不发达国家问题会议通过的最不发达国家2011-2020十年行动纲领(A/CONF.219/3/REV.1)第74.2(a)和1(c)段和第72.1(c)段。",
"[19] 《关于援助有效性巴黎宣言》第一部分：表示决心，第25段，这反映出承诺加强伙伴国家的全国发展战略及有关业务框架(如规划、预算、业绩评估框架)，以及“定性措施和业绩标准”。",
"[20] 教育方面债务转换的基本概念是，取消外债，换取债权国政府承诺调动国内资源，用于教育。",
"[21] 创新教育筹资领导小组，“2+3=8；创新教育筹资：编写委员会给创新教育筹资工作队的报告”，2010年。",
"[22] 创新筹资领导小组国际教育工作队第二届会议讨论，巴黎，2010年6月17日。",
"[23] 《达喀尔行动框架》，世界教育论坛通过，2000年，第8㈠段。",
"[24] 世界银行教育战略小组，2020年，人人学习：投资于人的知识和技能，促进发展。执行摘要，第1页。",
"[25] 英联邦共同体政府首脑会议公报，2009年11月27日至29日，特立尼达和多巴哥。第89段。",
"[26] 经济、社会和文化权利委员会，一般性意见第3号第3段：“履行国家义务，采取步骤应采用的手段，见第2⑴条，即，‘所有适当手段，尤其包括采用立法措施。’”",
"[27] 如在印度，在2009年《儿童免费义务教育权利法》框架内，联邦政府将担负教育公共资金的65%，各邦担负35%。",
"[28] 在此背景下，值得一提的是，就教育创新筹资展开的讨论中包含设立新机制的若干建议，旨在弥补教育领域的投资缺口，确保长期可持续供资。",
"[29] 印度尼西亚常驻教科文组织代表团。关于作为基本人权的接受基础教育权及其资金筹措的法律框架的国际会议通过的《雅加达宣言》，2005年12月。",
"[30] 例如，印度尼西亚宪法法院于2008年通过了一项决议，提醒立法机构履行宪法规定的义务，为2009财政年度提供至少占国家预算20%的教育预算。印度尼西亚政府相应地增加了教育预算。",
"[31] 自其2005年第五次会议以来，关于全民教育问题的高级别小组就一直向各国政府建议采取此类措施。在2011年3月于宗甸-芭堤雅举行的第十次会议上，高级别小组呼吁各国政府“至少为教育分配国民生产总值的6%和/或公共开支的20%，以确保资源利用的成本效益”",
"[32] 儿童权利委员会，关于“保护儿童权利的资源——国家的责任”的一般性讨论日，2007年9月21日。",
"[33] A/64/665,第71(b)段。",
"[34] 《经济、社会、文化权利国际公约》关于全面实现受教育的权利的条款规定，“应设立适当的奖助金制度”(第13条)。同样，教科文组织《取缔教育歧视公约》规定，“向学生颁发奖学金或其他形式的援助”应根据“成绩或需要”的标准(第3(C)条)。",
"[35] 依照厄瓜多尔的2011年《跨文化教育法》，教师的薪酬已经翻番。",
"[36] 教育创新筹资国际工作队第四次会议，巴黎，教科文组织总部，2011年2月4日。",
"[37] 教育高于一切”、机构间紧急教育网、受教育的权利项目/国际援助行动组织、拯救儿童国际联盟和联合国儿童基金会联署了这份文件。",
"[38] 教科文组织：《全民教育全球监测报告》，2011年，第15页。",
"[39] 国际减少灾害战略、机构间紧急教育网和世界银行：《提高学校建设安全的指导说明》(纽约：机构间紧急教育网；华盛顿：世界银行全球减灾和灾后恢复基金，2009年)。",
"[40] 机构间紧急教育网：《机构间紧急教育网关于教育外部筹资的参考指南》(纽约，2010年)。",
"[41] 截至2010年，加拿大、丹麦、日本、挪威和瑞典已将教育纳入其人道主义援助政策。2011年，澳大利亚的捐助机构(澳援署)和美利坚合众国的捐助机构(美援署)分别将紧急情况下的教育问题和受冲突影响国家的教育问题列入其教育战略。参见拯救儿童基金：《办到它：为受冲突和紧急情况影响的国家提供教育资金》，2011年。",
"[42] 教科文组织：《全民教育全球监测报告》，2011年，第204页。",
"[43] 同上，第19页。",
"[44] 经济合作与发展组织(经合组织)发展合作司概况介绍：《确保脆弱国家不被弃之不顾》，巴黎，2010年。",
"[45] 教科文组织：《全民教育全球监测报告》，2011年，第227页。",
"[46] 《全民教育快车道倡议》，理事会会议，2011年。",
"[47] 参见《联合国宪章》第55条和第56条、《经济、社会、文化权利国际公约》第2.1条和第11条、《儿童权利公约》第4条和《残疾人权利公约》第32条。",
"[48] 1949年8月12日《关于战时保护平民之日内瓦公约》保护冲突期间受教育的权利。根据国际人道主义法，学校和教育机构属于民用目标，除非被敌方用于军事目的，否则不得对其进行蓄意袭击。参见《国际刑事法院罗马规约》第8条。",
"[49] A/65/820-S/2011/250，第211段。",
"[50] N.Boothby；A.Ager；R.Quinn；“Feasibility Study for a Global Monitoring System for Attacks on Education：Definitions and Typology”,CPC Learning Network，Doha；Education Above All，New York，2011。",
"[51] 国际教育学会是一家独立的非营利组织，自1919年成立以来，该学会一直参与救援遭受迫害的学者。2002年，国际教育学会启动了学者救援基金，作为对这一持续的国际困境的正式回应。学者救援基金与面临风险学者网络、协助学术难民理事会和其他类似组织开展紧密合作。",
"[52] A/65/820-S/2011/250，第211段。",
"[53] 同上。",
"[54] A/64/254，第25段。",
"[55] Children’s Charter–an action plan for disaster risk reduction by children for children，available from www.childreninachangingclimate.org。",
"[56] 全球减灾和灾后恢复基金，《安全学校建造准则》，2009年。",
"[57] 减少灾害风险全球平台，“统一区域和全球减少灾害风险议程；关键区域政治承诺和减少灾害风险优先事项摘要”，2011年，第20页。",
"[58] 同上，第25页。",
"[59] 教科文组织，“克服不平等：治理为何重要”，全民教育全球监测报告，摘要，2009年，第4页、第7页和第39页。",
"[60] 教科文组织，全民教育全球监测报告，2011年，第190页。",
"[61] Dryden-Peterson，S.，“Conflict，education and displacement”，in Conflict & Education：An Interdisciplinary Journal，Toronto，2011。",
"[62] 缔约各国应给予难民凡本国国民在初等教育方面所享有的同样待遇(第22条，第1款)。缔约各国就初等教育以外的教育，应对难民给以不得低于一般外国人所享有的待遇(第22条，第2款)。",
"[63] 《儿童权利公约》，第2条和第28条。",
"[64] 教科文组织，2011年全民教育全球监测报告，摘要，第31页。",
"[65] 同上，第216页。",
"[66] 同上，第206页。",
"[67] Jennifer Schlecht and Sara Casey，“Challenges of collecting baseline data in emergency settings”，Reproductive Health Access，Information and Services in Emergencies，2008。",
"[68] 教科文组织，2011年全民教育全球监测报告，摘要，第31页，第217页。"
] | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"* A/66/150.",
"The right to education",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the interim report of the Special Rapporteur on the right to education, Kishore Singh, submitted in accordance with Human Rights Council resolutions 8/4 and 17/3.",
"Interim report of the Special Rapporteur on the right to education",
"Summary",
"The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. It is devoted to the issue of domestic financing of basic education. It details human rights obligations for financing education and provides practical examples of national legal frameworks that ensure domestic financing. The report also contains an update on the situation of education in emergencies, pursuant to General Assembly resolution 64/290. The Special Rapporteur underlines that the attention and funding dedicated to education in emergencies continue to be insufficient and inadequate, and calls for more investment in preventive efforts and for a better protection of education during armed conflict.",
"Contents",
"Page\nI.Introduction 3II. Financing 3 basic \neducation A. Human 4 rights obligations for financing \neducation B.National 8 legal framework for financing basic \neducation C.Concerns 10 requiring further \nconsideration D.Conclusion 12 and \nrecommendations III. Update 13 on education in \nemergencies A.Ensuring 14 political and financial support to education in \nemergencies B.Protecting 17 education from \nattack C. Preparing 18 education systems to cope with natural \ndisasters D.Ensuring 19 attention to girls and marginalized \ngroups E.Ensuring 20 quality education at all \nlevels F.Collecting 21 information on education in \nemergencies G.Conclusion 22 and \nrecommendations",
"I. Introduction",
"1. The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. It addresses State obligations regarding public financing of basic education and the importance of legal frameworks ensuring domestic financing of such education. It also contains an update on the situation of education in emergencies, in accordance with General Assembly resolution 64/290.",
"2. Following his appointment by the Human Rights Council, Kishore Singh assumed his functions as Special Rapporteur in August 2010. Since then, he reported to the Human Rights Council at its seventeenth session, in June 2011. In his first report[1] he outlined priority areas to be examined in the course of his mandate and addressed in more detail State obligations to ensure equality of opportunity in education. He also reported on his first country mission to Senegal,[2] which was conducted in January 2011.",
"3. During his first year of work, the Special Rapporteur participated in a number of public events on education and worked to establish collaboration with States, international organizations and non-governmental organizations. The Special Rapporteur recently participated in two regional preparatory meetings of the Economic and Social Council, in Thailand in March and in Togo in April. In July, the Special Rapporteur participated in the annual ministerial review held during the High-Level Segment of the substantive session of the Council, which focused on internationally agreed goals and commitments with regard to education.",
"II. Financing basic education",
"4. The right to education is an internationally recognized right and the provision of adequate financial resources is essential to its realization. Article 26 of the Universal Declaration of Human Rights recognizes the right of everyone to education, which shall be free, at least in the elementary and fundamental stages. Since the adoption of the Universal Declaration of Human Rights, States have undertaken international legal obligations for the fulfilment of the right to education through various human rights instruments[3] and assumed the responsibility of providing the resources required for its realization.",
"5. Resource constraints, however, remain a major barrier to the realization of the right to education. Prospects for achieving the targets of millennium development goals 2 (Ensuring that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling) and 3 (Eliminating gender disparity in all levels of education no later than 2015) are bleak on account of a dearth of resources. The assessment prepared for the 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals underlined the need for scaling up budgets and providing enhanced resources to accelerate progress in meeting those targets.[4] The Education for All Global Monitoring Reports in recent years have consistently pointed to insufficient funding for education. More recently, public expenditure cuts as a consequence of the global financial crisis have threatened to decrease support to the education sector, possibly jeopardizing recent advances.[5] For instance, 7 of 18 low-income countries reduced spending on education in 2009; those countries alone had 3.7 million children out of school.[6]",
"6. In view of the critical need to overcome resource constraints for the realization of the right to education and for the achievement of internationally agreed goals such as the millennium development goals and Education for All, in the present report the Special Rapporteur recalls States’ obligations regarding the provision of domestic resources for basic education and presents examples of national legal instruments adopted to secure adequate financial resources for education.",
"A. Human rights obligations for financing education",
"7. In accordance with international human rights treaties, States are responsible for providing resources to ensure the enjoyment of human rights. Providing the necessary resources for the enjoyment of the right to education is all the more important, given that the enjoyment of this right is essential for the exercise of all other human rights. It deserves high priority in public investment, as both the individual and society are its beneficiaries.",
"8. States’ obligations to ensure the provision of full resources to overcome constraints to the realization of the right to education consistently figure in the concluding observations adopted by the United Nations human rights treaty bodies. The Committee on Economic, Social and Cultural Rights and the Committee on the Rights of the Child have often expressed concern about declining educational standards due to lack of State investment in education and have recommended that the resources allocated to the education sector should be increased. The Committee on the Elimination of Discrimination against Women has also systematically urged States to increase investment in education as a fundamental human right and as a basis for the empowerment of women. Recommendations resulting from the Universal Periodic Review process of the Human Rights Council for the provision of increased resources to education further confirm the wide recognition of the central relevance of financing education for the fulfilment of human rights obligations.[7]",
"9. Commitments to finance education are also present in the International Labour Organization (ILO)/United Nations Educational, Scientific and Cultural Organization (UNESCO) Recommendation concerning the Status of Teachers (1966), which recognizes the need for high priority to be given in all countries to setting aside, within the national budget, an adequate proportion of national income for the development of education.[8] In fact, the right to education is an integral part of the institutional mission of UNESCO, and Member States have the obligation of providing the necessary resources for its realization.",
"1. Ensuring progressive realization and avoiding retrogression",
"10. The concept of the progressive realization of economic, social and cultural rights, including the right to education, recognizes that their realization often extends over time. It also implies that measures to promote the fulfilment of a right must be adopted with a view to ensuring a sustainable expansion of its enjoyment across the country. When referring to the progressive realization of the right to education, the Committee on Economic, Social and Cultural Rights emphasized that States parties to the International Covenant on Economic, Social and Cultural Rights have a specific and continuing obligation “to move as expeditiously and effectively as possible” towards the full realization of that right. It also underlined: “there is a strong presumption of impermissibility of any retrogressive measures”.[9] In that sense, support to education must be driven by consideration of the need to ensure the gradual expansion of the education sector.",
"11. Various United Nations human rights treaty bodies have expressed concern regarding the possible impact of economic crises on the enjoyment of human rights. The Committee on Economic and Social Rights specified that “even in times of severe resources constraints, whether caused by a process of adjustment, of economic recession or by other factors, the vulnerable members of society can and indeed must be protected by the adoption of relatively low-cost targeted programmes”.[10] More recently, the Human Rights Council adopted a resolution in which it called upon States to note that the global economic and financial crises did not diminish the responsibility of national authorities in the realization of human rights.[11]",
"2. Fulfilling core obligations",
"12. States’ obligations to satisfy, as a matter of priority, “minimum essential levels of each of the rights” recognized in the International Covenant on Economic, Social and Cultural Rights, also referred to as “minimum core obligations”, have immediate effect. Core obligations relating to the right to education include the obligation to provide primary education free of charge for all in accordance with article 13.2 (a) and the obligation to adopt and implement a national educational strategy that includes the provision of secondary, higher and fundamental education.[12] Article 14 of the Covenant further underlines the core obligation to adopt a plan of action aimed at securing the progressive implementation of the right to compulsory primary education, free of charge, within a reasonable time frame.",
"3. Ensuring the provision of maximum available resources",
"13. The International Covenant on Economic, Social and Cultural Rights,[13] the Convention on the Rights of the Child[14] and the Convention on the Rights of Persons with Disabilities[15] are all explicit about States parties’ obligations to provide maximum available resources to ensure the enjoyment of human rights.",
"14. In its general comment on the nature of States parties’ obligations, the Committee on Economic, Social and Cultural Rights underlined that even where the available resources are inadequate for the realization of economic and social rights, the obligation remains for a State party to strive to ensure the widest possible enjoyment of those rights under the prevailing circumstances, to monitor the extent of their realization, and to devise strategies and programmes for their promotion.[16] Mentions of resources refer to financing, but not exclusively.",
"4. Providing international assistance and cooperation",
"15. Under the International Covenant on Economic, Social and Cultural Rights, States have an obligation to take steps individually and through international assistance and cooperation, to the maximum extent of their available resources, with a view to achieving the progressive realization of rights. The specific obligations of the international community towards financing the right to education have been underlined by the Committee on Economic, Social and Cultural Rights.[17] At the same time, States requiring international assistance must seek and manage aid in accordance with human rights norms and standards.",
"16. By virtue of the principle of international solidarity, least developed countries, faced with serious financial constraints, deserve such assistance, a priori. Development partners must provide “financial and technical support” to those countries “to implement their national education plans and programmes, including increased accessibility in rural and remote areas”. For their part, the least developed countries need to strengthen their national education systems.[18]",
"17. A number of political declarations on international aid underline the need for the adequate management of domestically available resources by recipient countries, which must contribute to the enhanced sustainability of development efforts. For example, through the 2005 Paris Declaration on Aid Effectiveness, partner countries commit themselves to “intensify efforts to mobilize domestic resources, strengthen fiscal sustainability and create an enabling environment for public and private investment”.[19] Similarly, the United Nations Global Compact launched by the Secretary-General at the International Conference on Financing for Development, held in Monterrey, Mexico in 2002, provides that if developing countries improve governance and achieved results, the donors would come up with the necessary funding to reach the millennium development goals.[20] The Education for All Fast Track Initiative, the most important mechanism of international assistance for education, was designed to assist countries to achieve millennium development goal 2 and the Education for All goals, and pays particular attention to the adequate management of domestic resources by recipient countries.",
"18. In 2006, States and international organizations involved in development aid established the Leading Group on Innovative Financing for Development to devise additional international financing mechanisms to promote global development. The International Task Force on Innovative Financing for Education, established as part of that initiative, is currently discussing a number of alternatives to enhance funding for education,[21] including the mobilization of domestic resources as well as international aid.[22]",
"5. Relevant global political commitments",
"19. Commitments to finance primary education are expressed in numerous international declarations and are at the heart of major global campaigns. At the World Education Forum in 2000, Governments, along with other stakeholders, pledged themselves to a strategy, inter alia, to “mobilize strong national and international political commitment for education for all, develop national action plans and enhance significantly investment in basic education”.[23] Those pledges include the commitment that “political will must be underpinned by resources”. It is thus incumbent upon Governments to provide domestic resources for achieving Education for All. Access to education, as a basic human right, is considered a “strategic development investment”.[24]",
"20. The Millennium Development Goals should also be construed as a reaffirmation of obligations expressed in human rights treaties and, therefore, of the responsibility of Governments to provide financial resources for education. Millennium development goal 2 reflects the obligation to ensure universal primary education, including the obligation to ensure that no direct or indirect costs deprive children of their right to education. Millennium development goal 3 reflects the obligation to ensure gender parity at all levels of education, including the duty to provide financial resources for that purpose.",
"B. National legal framework for financing basic education",
"21. It is incumbent upon States to incorporate in domestic law their international obligations to finance education. Provisions for public funding of education in a country’s constitution, national legislation and educational policies are crucial to give effect to obligations relating to the realization of the right to education. The Special Rapporteur considers that the adoption of a national legal framework for financing education indicates the importance and priority given to the right to education.",
"22. Through law reforms promoted in the context of the Education for All process, one can witness the emergence of the right to basic education in continuum with the right to primary education in national legal frameworks. As a result, States recognize their duty to guarantee universal access to basic education. The 2009 Commonwealth Heads of Government Meeting, for example, called on all Commonwealth countries to commit further resources to basic education.[25]",
"1. Constitutional provisions",
"23. Constitutional provisions on financing education provide a firm basis for developing national legislation and education policies. Such provisions exist in several countries that have different criteria for determining minimum levels of investment in education.",
"24. Some constitutions establish a minimum level of resources that must be committed to education as a proportion of tax revenues. The Constitution of Brazil provides in article 212 that “the Union shall apply annually not less than 18 per cent of its tax revenues, and the States, the Federal District, and Counties at least 25 per cent of the tax revenues, including revenues resulting from transfers, for the maintenance and development of education”.",
"25. Other constitutions establish a minimal share for education in the overall national budget. The Constitution of Indonesia, as revised in 2002, establishes in article 31 (4) that the State shall prioritize the budget for education to a minimum of 20 per cent of the State budget and of the regional budgets to fulfil the needs of implementation of national education.",
"26. Other constitutions use the national gross domestic product (GDP) to calculate the minimum support required for education. The 2008 Constitution of Ecuador provides that public expenditure for education shall be 6 per cent of GDP. The 1997 Constitution of Costa Rica contains similar provisions.",
"27. Finally, other constitutions lay down the obligation to prioritize investment in education. The Constitution of Ethiopia provides that “the State has the obligation to allocate ever increasing resources to provide to the public health, education and other social services” (art. 41 (4)). Similarly, the Constitutions of the Philippines and of Viet Nam provide that the State shall give priority investment to education.",
"2. National legislation and budgetary allocation for basic education",
"28. The Committee on Economic, Social and Cultural Rights has underlined the importance of national legislation for giving effect to State obligations.[26] National legislation developed in many countries, often in the context of the Education for All process, contains important provisions for financing basic education, establishing minimal levels of financial support and responsibilities in that regard. Recent developments that can be cited as practical examples are described below.",
"29. In South Africa, basic education is a constitutional right. The South African Schools Act, 1996 provides that “subject to the Constitution and this Act, the Minister must determine norms and minimum standards for the funding of public schools after consultation with the Council of Education Ministers, the Financial and Fiscal Commission and the Minister of Finance” (para. 35).",
"30. In Nigeria, the Act on Compulsory Free Universal Basic Education, 2004, which provides for nine years of compulsory basic education, establishes the Universal Basic Education Commission, entrusted with the task of implementing the right to basic education and with the provision of resources. The universal basic education programme is financed by 2 per cent of the Consolidated Revenue Fund.",
"31. In Argentina, the National Education Law No. 26.206 of 2007 provides that the resources for education shall be increased to 6 per cent of GDP in 2010. The Law lays down a right to compulsory schooling from the age of 5 until the completion of secondary education (art. 16).",
"32. In Mexico, the General Law on Education, revised in 2003, provides for 8 per cent of GDP to be allocated to public education and education services (art. 25). It is reported that this contributed to an increase in support to education.",
"33. In India, policies for financing basic education have emanated from national legislation, as exemplified by measures being taken for the implementation of the Right of Children to Free and Compulsory Education Act, 2009. An exponential increase in expenditure on education in the country’s five-year plan is reported as a consequence of this framework.",
"34. In Senegal, Law 91-22 of 1991 on the orientation of national education, modified in 2004 by Law 2004-37, institutes compulsory schooling for all children aged between 6 and 16, which is free in all public schools. The recognition of the duty to provide education was reportedly followed by an increase in national investment to nearly 40 per cent of the national budget.",
"35. In Kenya, the adoption of the Children’s Act of 2001 and of education strategies for the 21st century underlined the core commitment to universalize primary education. It is reported that resource allocations to education have increased significantly as a result of that commitment.",
"36. In China, the Compulsory Education Law, as amended in 2006, provides for nine years of basic education. It guarantees that basic education will be financed by the State Council and local people’s governments. The National Plan for Medium and Long-term Education Reform and Development (2010-2020) recognizes that funding of education is a basic and strategic investment. Under the plan, it is proposed to raise public expenditure on education to 4 per cent of GDP by 2012.",
"37. Some legal frameworks devolve financing responsibilities to subnational entities. In Iceland, the Compulsory School Act No. 19 of 2008, provides that the municipalities shall finance the capital investment costs of compulsory education. In Thailand, the National Education Act, 1999 authorizes the State and local bodies to levy educational taxes as appropriate. Some countries having a federal system make specific financing arrangements in terms of the competence and responsibility of federal and provincial (state) authorities.[27]",
"3. Mobilization of additional resources for education",
"38. Legal instruments can enable the mobilization of additional resources for education. A 2 per cent education cess on all central taxes levied in India has resulted in an important expansion of funding for the elementary education sector. Similarly, the National Plan of China, mentioned above, proposes an education surtax accounting for 3 per cent of the value-added tax, to be spent specifically on educational undertakings. Mobilizing additional resources through such special taxation schemes is crucial in reinforcing budgetary provisions.[28]",
"39. Public investment in basic education can be enhanced by mobilizing additional resources from contributions of local bodies, private donors and communities through institutional mechanisms that supplement Government funding. For example, the Tanzania Education Authority, under the Education Fund Act, 2001 can “receive gifts, donations, grants or other moneys on behalf of the Fund”. Similar mechanisms exist, for instance, in India with the Bharatiya Shiksa Kosh (education fund) and in Nigeria with the Education Tax Fund. It must be ensured that the modus operandi of all such institutional mechanisms is fully respectful of transparency and accountability.",
"40. The present report focuses only on financing education through public resources. However, it is clear that the private sector can complement State initiatives in providing education by entering into partnerships with Governments for equitably sharing responsibilities.[29] It should, however, be ensured that such partnerships operate within a legal framework that requires full compliance with human rights norms and with standards of quality education.",
"C. Concerns requiring further consideration",
"41. As described above, human rights instruments clearly establish State obligations to finance education. Translating these obligations into practice requires a number of legal and policy instruments to ensure that investment in education is predictable and sustainable and that financial resources are made available and properly utilized in a timely manner to ensure the broadest possible enjoyment of the right to education. Adopting a legal framework for financing education offers an important tool for fostering accountability, as action affecting public investment in education can become the subject of domestic legal action.[30]",
"42. Below, the Special Rapporteur mentions some core concerns that deserve further attention in the implementation of legal instruments for financing basic education.",
"1. Securing adequate financial resources for basic education",
"43. In order to overcome resource constraints on the Education for All agenda, the High-level Group on Education for All has advocated for ensuring that a minimum proportion of national budgets (15 to 20 per cent) or share of GDP (4 to 6 per cent) is dedicated to education.[31] As described above, mechanisms establishing that a proportion of overall public expenditure or the revenue from specific taxes is earmarked to education have already accomplished results in the expansion of funding for education in various countries. It is clear that an evaluation of the effectiveness of those mechanisms over time will depend on the overall functioning of fiscal and budgetary policy mechanisms in place in a given State.",
"2. Ensuring adequate utilization of resources for education",
"44. While allocating the maximum amount of domestic resources to education is crucial, it is of equally critical importance to ensure their effective and optimal utilization.[32] Beyond securing funds for education, legal instruments protecting the right to education can further guide State action for the utilization of resources assigned to education in accordance with human rights obligations.",
"45. Bearing in mind the obligation to ensure universal primary education and commitments to meet the Millennium Development Goals and the Education for All agenda, public funding for primary and basic education should be ensured as a matter of priority.",
"46. Evaluation of the effectiveness of financial management in the area of education requires attention to the core principles of equality and non-discrimination. In the allocation of funds to the various education levels and regions within a territory, prevailing socio-economic disparities and their implications for the education sector must be taken into consideration. In situations where schools are funded through subnational budgets, it is also necessary to ensure that differences in revenues collected locally do not result in inequalities between regions.",
"47. Specific resources must be ensured to address the root causes of the exclusion from education of girls, those living in poverty or with disabilities, ethnic and linguistic minorities, migrants, and other marginalized and disadvantaged groups. Specific measures targeting important obstacles to education must be considered, including the abolition of school fees and the provision of subsidies for other costs, such as textbooks, uniforms and transportation.[33] Temporary special measures to provide financial support to such groups through affirmative action have a normative basis in international human rights treaties.[34] Particular attention must be paid to the principles of transparency and accountability in the management of education budgets.",
"3. Responding to quality imperatives",
"48. Finally, frameworks regulating education expenditure must give foremost consideration to the improvement of quality education, recognizing the centrality of education in people’s lives and the empowering role of quality education. Often education budgets are fully consumed by recurring expenditure, mostly teachers’ salaries, which, unfortunately are often very low and result in difficulties in attracting qualified professionals.[35] Investment in essential areas such as the development of pedagogic materials, the training of teaching personnel and improving working conditions remains neglected. The Special Rapporteur intends to examine this question in another thematic report, on quality education.",
"D. Conclusion and recommendations",
"49. States cannot fulfil their international obligations concerning the realization of the right to education unless they provide the necessary resources for education and make them available on a consistent and predictable basis. For this purpose, national legal and policy frameworks ensuring investment in education play a crucial role. They are also essential in accelerating sustainable progress towards achieving the Millennium Development Goals and moving the Education for All agenda forward. Education is indeed the best investment a country can make and deserves the highest priority in resource allocation. As a global public good of paramount importance, education should receive strong commitments from global leaders for its funding.[36]",
"50. In that spirit, the Special Rapporteur provides the following recommendations:",
"(a) Securing investment in education through domestic legal frameworks",
"51. A national law whereby at least a minimum level of investment is indispensably assured for quality education is highly necessary. Following up on the recommendations made consistently by the High-level Group on Education for All, the establishment of an internationally accepted norm, whereby a certain minimum percentage of GNP (4-6 per cent) or of the national budget (15-20 per cent) is allocated to education may be valuable in providing the basis for developing a national legal and policy framework.",
"(b) Devising strategies to increase resource allocation",
"52. It is of crucial importance for countries to devise new approaches to resource allocation and its utilization. To enhance investment in education as a national priority, budget lines for education can be provided for in various ministries concerned with social development (ministries of social welfare, child and women’s development, labour, health, etc.). At the same time, broadening the tax base is important for creating more budgetary resources.",
"(c) Promoting public debate and exchange of experiences",
"53. Education does not often receive the priority it deserves at the national level in terms of budget allocations. To ensure that education receives priority attention, it would be expedient to promote public dialogue among ministers of education and ministers of finance and planning on the necessary steps to secure maximum funding for education. An exchange of ideas and approaches among countries regarding legal and policy frameworks for financing education would enable national authorities to draw upon available experiences and practical examples from a comparative perspective and could provide insight into new avenues for investment in education.",
"(d) Giving particular attention to the financing of basic education in providing technical assistance to Governments for the development of national legal frameworks",
"54. Pursuant to Human Rights Council resolution 17/3, UNESCO and UNICEF should be encouraged to continue to provide technical assistance to Member States for modernizing/developing national legislation. In this process, the importance of provisions for the financing of basic education should be emphasized.",
"(e) Responding to quality imperatives",
"55. Budgetary provision for quality education is scarce as almost the totality of resources assigned for education go to recurring expenditure. A paradigm shift is required to respond to quality imperatives, which remains a daunting challenge.",
"III. Update on education in emergencies",
"56. The General Assembly, in its resolution 64/290, requested the Special Rapporteur to include in his next interim report to the General Assembly at its sixty-sixth session an update to the report on the right to education in emergencies submitted in 2008 by his predecessor (A/HRC/8/10) in order to identify gaps and remaining challenges in ensuring the right to education in emergency situations.",
"57. In the 2008 report, emergencies were defined as any crisis situations due to natural disasters, or to armed conflict, which may be international (including military occupation) or internal, as defined in international humanitarian law, or post-conflict situations. It was pointed out in the report that, besides being a widely recognized State obligation, ensuring adequate education was indispensable for preventing emergencies and ensuring success in peacebuilding and recovery efforts. It was underlined, however, that education was frequently found to be interrupted, delayed or even denied during emergencies and in the reconstruction process. In the report a number of recommendations were presented to States and intergovernmental and non-governmental organizations for better protecting education and ensuring its inclusion as an integral part of the humanitarian response to conflicts and natural disasters.",
"58. The current update is divided into six sections reflecting the content and core recommendations of resolution 64/290. Each section provides an indication of remaining challenges in the promotion of education in emergencies, and progress made in the past three years. The first section focuses on the recommendation for increasing political and financial support to education in emergencies. The second section addresses the recommendation to better protect schools from attacks and to ensure accountability. The third section addresses the recommendation to better prepare education systems for situations of natural disaster. The fourth section addresses the recommendation that attention be given to the specific needs of girls and other marginalized groups. The fifth section focuses on the recommendation to ensure quality education in emergencies. The sixth section is dedicated to the need for improving the collection of data on education in emergencies.",
"59. The preparation of the present update benefited from an extensive submission prepared through a collaborative consultative process led by a group of international and non-governmental organizations with expertise on education in emergencies.[37] The Special Rapporteur expresses his gratitude to all those who compiled or shared information for the preparation of the update.",
"A. Ensuring political and financial support to education in emergencies",
"60. Millions of persons continue to be deprived of their right to education in emergencies. Enhanced political attention and sustainable financial support are essential to safeguard this fundamental right. Lack of sufficient attention to education in emergencies continues to affect prospects for achieving both the Millennium Development Goals and the Education for All (EFA) goals. The EFA Global Monitoring Report, 2011 underlines that around 28 million children of primary school age in conflict-affected countries are estimated to be currently out of school. This represents 42 per cent of the total number of children in the world who are out of school.[38] Education is also at risk from natural and man-made disasters: an estimated 875 million schoolchildren live in high seismic risk zones and hundreds of millions more face regular flood, landslide, extreme wind and fire hazards, as well as slow onset disasters.[39]",
"61. General Assembly resolution 64/290 reflects States’ recognition of the urgency of ensuring the realization of the right to education as an integral element of humanitarian assistance and response. Debate and research efforts within the United Nations system are helping to unveil what has been called a “hidden crisis” by the EFA Global Monitoring Report. Thematic days of discussion focused on the topic were conducted by the Committee on the Rights of the Child in 2008 and the General Assembly in 2009.",
"62. Increased and more coordinated attention to education among the stakeholders providing humanitarian assistance remains a key concern. The recent partnership between The Sphere Project and the Inter-Agency Network for Education in Emergencies (INEE) in preparing the companionship agreement guiding the integration of quality education in humanitarian response represents an important step in the promotion of more coherent and dedicated attention to education within the humanitarian community. Traditionally excluded from humanitarian priorities, the restoration of access to education continues to be cited as a priority by families and young people affected by emergencies.[40] Responding to the needs identified by communities affected is an essential component of humanitarian responses, and central to the implementation of the right to education.",
"63. Despite the increased recognition of the importance of education in emergencies by the international community and by communities affected by emergencies, funding remains extremely limited. Only a few donor agencies have explicitly included education as part of their humanitarian policies.[41] The EFA Global Monitoring Report, 2011 underlined that in 2009, the share of humanitarian aid dedicated to education in conflict-related emergencies represented merely 2 per cent of total humanitarian aid.[42] It concluded:",
"Education is the poor neighbour of a humanitarian aid system that is underfinanced, unpredictable and governed by short-termism. It suffers from a double disadvantage: education accounts for a small share of humanitarian appeals, and an even smaller share of the appeals that get funded.[43]",
"64. Evaluations indicate that some particularly fragile countries requiring education funding are left behind, with donors clearly prioritizing countries linked with their security priorities: official development assistance to fragile States is highly concentrated, with 51 per cent of 2008 official development assistance for 43 fragile States benefiting just six countries, which account for only 23 per cent of the population of the total number of fragile States.[44]",
"65. The volatility of support is another cause of concern. As already indicated, the sustainability of financial support is crucial for the adequate functioning of education systems. It can only be ensured through continued financial support enabling programmes to continue their course uninterrupted. Important opportunities are missed in post-emergency situations because of the lack of sustainable support and funding in the transition from a humanitarian response to a development framework. The need for further investment in national planning and information systems in recipient countries is also underlined in those contexts.[45]",
"66. The Education For All — Fast Track Initiative is working to increase its support to fragile States, but so far has lacked the capacity to deliver financing in acute emergency settings.[46] In addition to bilateral support, a number of additional financing modalities exist to finance education in emergencies, but these are still clearly insufficient.",
"67. The Special Rapporteur underlines that emergencies do not relieve States from their obligation to take all appropriate measures to ensure the realization of the right to education of all persons in their territories, including non-nationals, refugees or internally displaced groups. Ensuring financial support for primary education in order to guarantee that it continues to be available during emergencies, making secondary education available without discrimination and promoting access to higher education on the basis of capacity are nothing more than the fulfilment of a human rights obligation.",
"68. Given the fragility of some States affected by emergencies, and the central role of international assistance and cooperation in that context, it is important to recall that the obligation to provide international assistance is established in human rights law.[47] It is also reflected in numerous international declarations, including the Dakar Framework of Action on Education for All, adopted by the World Education Forum in 2000. Moreover, as noted above, States requiring assistance are also obliged to seek and manage external assistance in accordance with human rights principles.",
"B. Protecting education from attack",
"69. Attacks against schools and institutions of higher education violate human rights and humanitarian law.[48] Nonetheless, as recently reported by the Secretary‑General, attacks against schools are a significant concern and a growing trend.[49] Insecurity still prevails in many education institutions located in conflict zones, with long-lasting consequences for education systems and students.",
"70. Studies indicate a continued increase in the reported number of attacks on education in situations of conflict and widespread violence over the past three years.[50] Such episodes include harming or killing students and school personnel, damaging or destroying education facilities and ultimately preventing thousands of students from attending school or university owing to closures. The Institute of International Education’s Scholar Rescue Fund[51] reports that applications from threatened scholars doubled during the period 2008-2011 as compared to the previous period. In certain situations, the use of schools by armed elements has compromised the civilian nature of schools and put students and teachers at risk.[52]",
"71. Despite deficiencies in monitoring mechanisms, increased attention on the part of the international community to situations of attack against education in emergencies can be noted. In 2010, the Global Coalition to Protect Education from Attack was established by international and non-governmental organizations to jointly promote efforts to prevent, respond to and monitor attacks against education. The Secretary-General included information on such situations in his most recent report on children in armed conflict.[53] The same was done by the Special Representative of the Secretary-General for Children and Armed Conflict, who recalled the importance of protecting schools against attacks and underlined that “enhancing accountability mechanisms for such crimes is key to ensuring that schools remain safe havens and zones of peace”.[54]",
"72. The Special Rapporteur considers that enhancing the capacity of mechanisms monitoring situations where education systems are targeted by those involved in armed conflict is essential to end invisibility and impunity. In that regard, he welcomes the recent adoption by the Security Council of resolution 1998 (2011), in which, expressing deep concern about attacks against schools, the Council requested the Secretary-General to include in the annexes to his reports on children and armed conflict information about recurrent attacks on schools and recurrent attacks or threats of attacks against protected persons in relation to schools. The Security Council’s monitoring and reporting mechanism has already played an important role in the identification of grave violations committed against children in armed conflict, and continuing and growing attention to attacks against schools will be vital to enhance protection of the right to education. To further ensure accountability, the capacity of domestic and international justice systems must also be enhanced, allowing for the prosecution of perpetrators, including non-State actors.",
"73. Beyond ensuring accountability for attacks against schools, targeted efforts are also required to prevent the occurrence of attacks against schools and other education institutions and to prepare them for situations of insecurity in order to minimize the damage armed conflict may cause. Finally, dedicated efforts are required to assist victims in their recovery and to ensure appropriate individual and collective reparation for these education-related violations.",
"C. Preparing education systems to cope with natural disasters",
"74. The increasing number of natural disasters must not be ignored by those in charge of education systems. Schools not only play a crucial role in preparing communities to be more resilient in such situations, but also need to be adequately prepared to minimize the harm that natural disasters may eventually cause to their own functioning. Thus, specific attention to the education sector is required in the development of overall disaster risk reduction strategies. At the same time, schools must develop and adopt systematic safety and security measures adapted to the specific circumstances they face.",
"75. Schools are often not constructed or maintained to be disaster resilient. An extensive consultation with children around the globe resulted in the recent preparation of a children’s charter for disaster risk reduction,[55] which highlights the need for schools to be safe and education not to be interrupted. INEE coordinated the preparation of guidance notes on the necessary steps to ensure the construction of safer schools and the adaptation of existing ones.[56] A major effort is needed to build technical capacity for, and ensure the adoption of, safer standards for education infrastructure to avoid tragedies where seismic or other hazards take the lives of large numbers of children in unsafe schools.",
"76. Attention is being paid also to the use of schools as a platform to increase the preparation of learners and education staff for disasters and their aftermath. Several countries have included disaster risk reduction elements in their school curriculum,[57] others have considered making disaster risk reduction and climate change adaptation a national education priority.[58]",
"77. The Special Rapporteur underlines that investing in preventive efforts through education is crucial to protect schools and the communities they serve from the impact of natural disasters. Therefore, education systems must be actively engaged in the development and implementation of risk management strategies. Through their regular activities, schools must also contribute to establishing a culture of prevention and preparedness among students, staff and the communities to which they belong. Considering that the risks and needs of communities vary greatly, even within the same region, it is important to ensure that risk management strategies are prepared through meaningful participatory processes involving the communities where schools are located.",
"D. Ensuring attention to girls and marginalized groups",
"78. The failure of Governments to tackle persistent inequalities based on income, gender, location, ethnicity and language is one of the reasons for the limited progress in the realization of the Education for All goals[59] as well as the Millennium Development Goals. Obstacles to schooling that are already present during periods of normality have their impact obviously magnified in emergency contexts. The costs of schooling can greatly increase and commuting between school and home often becomes very difficult and insecure, further excluding those living in poverty or more vulnerable to violence. In this sense, targeted initiatives identifying marginalized groups and addressing their specific needs are necessary to avoid widening inequalities in education.",
"79. Efforts to ensure gender parity in education are particularly relevant in this context. Attention has been drawn to the pervasive harm of sexual violence during conflict, which directly and indirectly affects female teachers and students.[60] Insecurity on the way to and from and within schools or colleges appears as a central element in the exclusion of girls from the education system. The lack of separate sanitary facilities in emergency schools can also constitute a major barrier to girls’ education.",
"80. Despite the obvious resource constraints experienced in emergencies, neglecting the impact of discrimination and structural inequalities in education while planning, implementing and evaluating education policies in these situations can lead to further marginalization and in some cases contribute to a recurrence of conflict.",
"81. Refugees and internally displaced persons continue to face great obstacles when seeking education outside their communities of origin. Data collected by the Office of the United Nations High Commissioner for Refugees within official camps indicated limited and uneven access to education across camps; the overall primary school participation rate of refugee children in camps was 69 per cent and at the secondary level only 30 per cent.[61] Several countries maintain administrative barriers to the enrolment of both refugee and internally displaced children, despite human rights obligations to provide education without discrimination of any kind to all children living in their territories[62] and the relevant provisions of the Convention relating to the Status of Refugees.[63] Short-term financing of projects in situations of prolonged displacement threatens the education, and progression, of many thousands of refugee and internally displaced children;[64] gaps in the financing of education in such situations must be addressed as a matter of priority because of the long-lasting impact of the denial of education to these populations.",
"82. The Special Rapporteur already underlined in his first report to the Human Rights Council (A/HRC/17/29) that equality of opportunity in education permeates most human rights treaties. Human rights treaties establish the duty to ensure the right of access to public educational institutions and programmes on a non‑discriminatory basis, and to provide primary education for all.",
"E. Ensuring quality education at all levels",
"83. Enrolment in school does not alone ensure the fulfilment of the right to education if, for example, the quality of the education provided does not correspond to adequate standards. Resource constraints faced in periods of emergency do not justify overlooking basic requirements to ensure quality education, such as the presence of qualified teachers, the availability of adequate educational materials, adequate real teaching time and improved classroom environments.",
"84. States, international organizations and civil society continue to contribute guidance to improve quality education in emergencies through materials prepared by INEE. A consultative process involving stakeholders concerned with education in emergencies all over the world led to an updated version of the INEE Minimum Standards for Education: Preparedness, Response, Recovery providing important policy guidance on the necessary steps to ensure quality education. The recently released INEE Guidance Notes on Teaching and Learning provide more specific pedagogical guidance based on the accumulated experience of educators working in emergency situations.",
"85. As discussed above, the inadequate and short-term funding of emergency and transitional education programmes deeply affect the possibilities of addressing serious deficiencies that result in very low levels of quality in education. Moreover, the overall tendency of humanitarian work to focus solely on primary education limits investment in early childhood care and development, and in secondary and higher education. This bias greatly limits prospects of progression for students and increases the challenges for training teachers.",
"86. The EFA Global Monitoring Report 2011 describes a number of issues critical to ensuring quality education for students affected by or at risk of conflict. They include ensuring that children can learn in their mother tongue, particularly at the early stages, rethinking the teaching of history and religion so it illustrates different perspectives on conflict-sensitive issues, and promoting non-violent school environments.",
"87. The effective teaching of literacy, numeracy and life skills, such as health preparedness and conflict resolution, is crucial to enhancing resilience during periods of emergency. School staff must be given adequate incentives, and have their capacity enhanced, to give appropriate attention to the psychosocial needs of students, using resources and making schedule arrangements that allow for recreational and expressive activities, as well as referring severely affected students for additional support.",
"88. The provision of learning achievement certification is another concern related to the quality of education in emergency contexts, in particular for students in refugee schools. Specific strategies are required to ensure that, even in times of crisis, students have their achievements adequately monitored, documented and recognized.",
"F. Collecting information on education in emergencies",
"89. Limitations in data collection in emergency situations continue to affect humanitarian efforts as a whole. Lack of capacity to accurately assess education needs limits the possibilities for accurately designing and evaluating education initiatives in emergency contexts. As already mentioned, poor monitoring further results in invisibility and consequent impunity in situations where schools are directly targeted by violence.",
"90. The EFA Global Monitoring Report 2011 pointed to serious limitations in data collection in conflict situations: “assessments of need for communities caught up in conflict are at best haphazard, even taking into account the inevitable constraints associated with conducting surveys in conflict affected areas”.[65] It also underlined that donors’ assessments tend to underestimate needs in the education sector as their proposals are often tailored to meet low expectations of donor funding.[66] Limited attention is paid to needs assessment for qualitative aspects of education, such as textbook supply, hours of study and in-service teacher training. Human resources and infrastructure requirements for secondary education tend also to be completely ignored.",
"91. Collecting information during emergencies requires specific strategies to overcome the various obstacles faced in such circumstances. These obstacles may include difficult logistics, physical insecurity, the political and ethical implications of activities in rapidly changing environments, and the technical challenges of working with mobile populations and populations with unusual demographic compositions.[67]",
"92. The Global Education Cluster developed a Joint Education Needs Assessment Toolkit in 2010, as well as a Short Guide for Rapid Needs Assessments to provide guidance on data collection in emergency situations. The need for further improving monitoring capacities through the definition of a core set of indicators, including estimated numbers of children and youth to be reached, age and gender profiles, patterns of displacement, education materials, teacher and infrastructure requirements needed to guide the estimation of financing requirements has been underlined.[68]",
"G. Conclusion and recommendations",
"93. As discussed in the previous report on education in emergency situations (A/HRC/8/10), severely limited access to education continues to be a reality for most of the communities affected by emergencies. Despite increased attention by the international community, crucial problems persist: funding for humanitarian activities continues to ignore requirements to ensure education; schools continue to be victimized by direct and indirect violence; and preventive efforts are still timid vis-à-vis an increased impact of natural disasters. To reverse the current trend, States and other entities providing and channelling humanitarian and transitional assistance must pay enhanced attention to education in emergencies. Providing education and ensuring that education is protected during periods of emergency is not a choice, but an obligation.",
"94. In this context, the Special Rapporteur submits the following recommendations:",
"(a) Ensuring adequate funding for education in situations of emergency",
"95. States must urgently increase their national, bilateral and multilateral funding commitments for education as a pillar of humanitarian and transitional response. Explicit policy commitments must be made to ensure adequate and sustainable domestic and international support for education in situations of emergency, as well as in situations of fragility and protracted crisis. Such commitments must follow through to the final stages of recovery, including in development frameworks. Recipient countries must comply with human rights while seeking and managing international assistance.",
"(b) Enhancing the protection of schools from attacks",
"96. States must ensure systematic monitoring, documenting and reporting of violations of international human rights and humanitarian law committed against members of education communities and education institutions and settings. The recent adoption by the Security Council of resolution 1998 (2011) must be followed by enhanced attention to the situation of education in future efforts for monitoring violations of child rights during armed conflict. Domestic, regional and international accountability mechanisms, including those of the military, should be fully cognizant of, as well as systematically address, the obligations of State and non-State actors with respect to the right to education and other legal protections guaranteed to members of education communities and institutions. Specific efforts are required to strengthen the capacity of education providers to prevent and respond to attacks.",
"(c) Strengthening safety and disaster risk reduction",
"97. States must ensure that disaster risk and safety considerations are factored into the planning, design, construction and reconstruction of educational facilities. Disaster risk reduction and preparedness notions should be embedded in education policies and curricula. Participatory processes involving students and their communities must be used to ensure local hazard assessments and preparedness.",
"(d) Paying attention to the exclusion of girls and marginalized groups",
"98. States must take specific measure to guarantee the education of girls and marginalized groups in situations of emergency. Specific efforts are required to eliminate persistent or emerging patterns of discrimination and to remove physical, financial, cultural and linguistic barriers that contribute to furthering inequalities during periods of emergency.",
"(e) Ensuring quality education",
"99. Those in charge of the provision of education in emergencies must consider the requirements for meeting quality educational standards. Dedicated attention must be paid to improving school curricula, promoting human rights education and addressing the psychosocial needs of students and teachers.",
"(f) Developing a common framework for the assessment of education needs in emergencies",
"100. Further investments are required to ensure systematic data collection on the situation of education in emergencies. States and international and non‑governmental organizations providing support to education in emergencies should work on the development of a common framework for the assessment and reporting of met and unmet education needs in contexts of emergency. Such a framework must take into consideration human rights obligations regarding the right to education.",
"[1] A/HRC/17/29 and Corr.1.",
"[2] A/HRC/17/29/Add.2.",
"[3] International Covenant on Economic, Social and Cultural Rights, articles 13 and 14, and the UNESCO Convention against Discrimination in Education comprehensively provide this right, which is also guaranteed by articles 28 and 29 of the Convention on the Rights of the Child, article 5 of the International Convention on the Elimination of All Forms of Racial Discrimination, articles 10, 11 and 13 of the Convention on the Elimination of All Forms of Discrimination against Women, articles 30, 43 and 45 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and article 24 of the Convention on the Rights of Persons with Disabilities.",
"[4] A/64/665, para. 71 (b).",
"[5] Several publications of the UNESCO International Institute for Educational Planning on the financing of education have also addressed this issue.",
"[6] UNESCO, Education for All Global Monitoring Report 2011, The Hidden Crisis: Armed Conflict and Education, p. 12.",
"[7] For example, recommendations addressed in 2009 and 2010 to Bolivia, Cambodia, Chile, the Democratic Republic of the Congo, the Dominican Republic, Ethiopia and Spain.",
"[8] ILO/UNESCO Recommendation concerning the Status of Teachers, para. 10 (l).",
"[9] Committee on Economic, Social and Cultural Rights, General Comment No. 13, paras. 44 and 45.",
"[10] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 12.",
"[11] Human Rights Council resolution S-10/1 of 23 February 2009.",
"[12] See Committee on Economic, Social and Cultural Rights, General Comment No. 13, para. 52.",
"[13] Article 2.1.",
"[14] Article 4.",
"[15] Article 4.2.",
"[16] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 11.",
"[17] Committee on Economic, Social and Cultural Rights, General Comment No. 11 (1999), para. 9, and General Comment No. 3 (1990), para. 14.",
"[18] Programme of Action for the Least Developed Countries for the Decade 2011-2020, adopted by the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011 (A/CONF.219/3/Rev.1), para. 74.2 (a) and 1 (c), and para. 72.1 (c).",
"[19] Paris Declaration on Aid Effectiveness, Part I: Statement of Resolve, para. 25. The Statement of Resolve reflects commitment to strengthening partner countries’ national development strategies and associated operational frameworks (e.g. planning, budget, and performance assessment frameworks) and “defining measures and standards of performance”.",
"[20] The underlying idea of debt swaps in education is the cancellation of external debt in exchange for the debtor Government’s commitment to mobilize domestic resources for spending on education, for example.",
"[21] See Leading Group on Innovative Financing for Development, “2+3=8; Innovating in financing education; Report of the Writing Committee to the Task Force on Innovative Financing for Education”, 2010.",
"[22] Discussed at the second meeting of the Education International Task Force of the Leading Group on Innovative Financing, Paris, 17 June 2010.",
"[23] Dakar Framework for Action, adopted at the World Education Forum, 2000, para. 8 (i).",
"[24] World Bank Group Education Strategy 2020, Learning for All: Investing in People’s Knowledge and Skills to Promote Development, Executive summary, p. 1.",
"[25] Communiqué of the Commonwealth Heads of Government Meeting, held in Trinidad and Tobago from 27 to 29 November 2009, para. 89.",
"[26] Committee on Economic, Social and Cultural Rights, General Comment No. 3, para. 3: “The means which should be used in order to satisfy the State obligation to take steps are stated in article 2 (1) to be ‘all appropriate means, including particularly the adoption of legislative measures.’”",
"[27] For instance, in India, within the framework of the Right of Children to Free and Compulsory Education Act, 2009, the Federal Government will contribute 65 per cent of the public funding of education as against the 35 per cent contribution of States.",
"[28] In this context, it is important to note that reflections on innovative financing in education include several proposals for new mechanisms intended to offset the investment deficit in education and sustain funding over the long term.",
"[29] Jakarta Declaration, adopted at the International Conference on the Right to Basic Education as Fundamental Human Right and Legal Framework for its Financing, December 2005.",
"[30] For example, the Constitutional Court of Indonesia passed a resolution in 2008 reminding the lawmaker to meet the constitutional obligation to provide at least 20 per cent of the national budget to education in the fiscal year 2009. The Government accordingly was obliged to increase the budget for education.",
"[31] The High-level Group on Education for All, since its Fifth Meeting, in 2005, has consistently been recommending such measures to Governments. At its Tenth Meeting, held in March 2011, the High-level Group called upon national Governments to allocate at least 6 per cent of gross national product (GNP) and/or 20 per cent of public expenditure to education and to ensure the cost-effective use of resources.",
"[32] Committee on the Rights of the Child, Day of General Discussion on “Resources for the rights of the child — responsibility of States”, 21 September 2007.",
"[33] A/64/665, para. 71 (b).",
"[34] Article 13 of the International Covenant on Economic, Social and Cultural Rights provides for “an adequate fellowship system”, inter alia, with respect to achieving full realization of the right to education. Similarly, the UNESCO Convention against Discrimination in Education lays down the criterion of “merit or need” with respect to “the grant of scholarships or other forms of assistance to pupils” (art. 3 (c)).",
"[35] Teachers’ salaries have been doubled in Ecuador under the Law on Intercultural Education, 2011.",
"[36] Fourth meeting of the International Task Force on Innovative Financing for Education, UNESCO Headquarters, Paris, 4 February 2011.",
"[37] Education Above All, the Inter-Agency Network for Education in Emergencies, the Right to Education Project/ActionAid International, Save the Children International and the United Nations Children’s Fund co-signed the submission.",
"[38] UNESCO, EFA Global Monitoring Report, 2011, p. 15.",
"[39] International Strategy for Disaster Reduction, Inter-Agency Network for Education in Emergencies and World Bank, Guidance Notes on Safer School Construction (New York, INEE; Washington, World Bank Global Facility for Disaster Reduction and Recovery, 2009).",
"[40] INEE, INEE Reference Guide on External Education Financing (New York, 2010).",
"[41] Until 2010, Canada, Denmark, Japan, Norway and Sweden included education in their humanitarian aid policies. In 2011, donor agencies in Australia (AusAID) and the United States of America (USAID) reflected education in emergency situations and conflict-affected countries, respectively, in their education strategies. See Save the Children, “Making it happen: financing education in countries affected by conflict and emergencies”, 2011.",
"[42] UNESCO, EFA Global Monitoring Report, 2011, p. 204.",
"[43] Ibid., p. 19.",
"[44] Organization for Economic Cooperation and Development (OECD)-Development Cooperation Directorate (DAC) factsheet, “Ensuring fragile States are not left behind”, Paris, December 2010.",
"[45] UNESCO, EFA Global Monitoring Report, 2011, p. 227.",
"[46] Meeting of the Education for All Fast Track Initiative Board of Directors, 2011.",
"[47] See Articles 55 and 56 of the Charter of the United Nations, articles 2.1 and 11 of the International Covenant on Economic, Social and Cultural Rights, article 4 of the Convention on the Rights of the Child and article 32 of the Convention on the Rights of Persons with Disabilities.",
"[48] The right to education during conflict is protected by the Geneva Convention relative to the Protection of Civilian Persons in Time of War, of 12 August 1949. Under international humanitarian law, schools and educational institutions are civilian objects that are protected from deliberate attack unless and only for such time as they are being used by belligerent forces for a military purpose. See article 8 of the Rome Statute of the International Criminal Court.",
"[49] A/65/820-S/2011/250, para. 211.",
"[50] N. Boothby, A. Ager and R. Quinn, “Feasibility study for a global monitoring system for attacks on education: definitions and typology”, CPC Learning Network, Doha; Education Above All, New York, 2011.",
"[51] The Institute of International Education (IIE), an independent non-profit organization, has participated in the rescue of persecuted scholars since its founding in 1919. In 2002, IIE launched the Scholar Rescue Fund (SRF) as a formalized response to this ongoing international dilemma. SRF cooperates closely with the Scholars at Risk Network, the Council for Assisting Refugee Academics and similar organizations.",
"[52] A/65/820-S/2011/250, para. 211.",
"[53] Ibid.",
"[54] A/64/254, para. 25.",
"[55] Children’s Charter — an action plan for disaster risk reduction by children for children, available from www.childreninachangingclimate.org.",
"[56] Global Facility for Disaster Reduction and Recovery, Guidance Notes on Safer School Construction, 2009.",
"[57] Global Platform for Disaster Risk Reduction, “Aligning regional and global disaster risk reduction agendas; Summary of key regional political commitments & disaster risk reduction priorities”, 2011, p. 20.",
"[58] Ibid., p. 25.",
"[59] UNESCO, EFA Global Monitoring Report 2009, Summary, Overcoming Inequality: Why Governance Matters, pp. 4, 7 and 39.",
"[60] UNESCO, EFA Global Monitoring Report 2011, p. 190.",
"[61] Dryden-Peterson, S., “Conflict, education and displacement”, in Conflict & Education: An Interdisciplinary Journal, Toronto, 2011.",
"[62] Convention on the Rights of the Child, articles 2 and 28.",
"[63] Refugee children should be accorded the same treatment as is accorded to nationals with respect to elementary education (art. 22, para. 1) and treatment no less favourable than that accorded to foreigners with respect to education other than elementary education (art. 22, para. 2).",
"[64] UNESCO, EFA Global Monitoring Report 2011, Summary, p. 31.",
"[65] Ibid., p. 216.",
"[66] Ibid., p. 206.",
"[67] Jennifer Schlecht and Sara Casey, “Challenges of collecting baseline data in emergency settings”, Reproductive Health Access, Information and Services in Emergencies, 2008.",
"[68] UNESCO, EFA Global Monitoring Report 2011, p. 217."
] | A_66_269 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda [1]",
"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Right to education",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly, in accordance with Human Rights Council resolutions 8/4 and 17/3, the interim report of the Special Rapporteur on the right to education, Kishore Singh.",
"Interim report of the Special Rapporteur on the right to education",
"Summary",
"The report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3 and is devoted to the issue of domestic financing of basic education. The report details the human rights obligations for financing education and practical examples of national legal frameworks to ensure domestic financing. In accordance with General Assembly resolution 64/290, the report also provides additional information on education in emergencies. The Special Rapporteur emphasizes that attention and funding for education in emergency situations remain inadequate and inadequate and calls for more investment in prevention and better protection of education during armed conflict.",
"Contents",
"1. Introduction 4 2. Financing basic education 5B. National legal framework for financing basic education 10D. Conclusions and recommendations 11D. Update on the right to education in emergency situations 13A. Ensuring political and financial support for education in emergency situations 13B. Protecting education from attacks 15C. Preparing the education system for natural disasters 17D. Ensuring attention to girls and marginalized groups 17E. Ensuring quality education at all levels 18F. Collecting information on education in emergency situations 19G. Conclusions and recommendations",
"Introduction",
"1. The present report is submitted pursuant to Human Rights Council resolutions 8/4 and 17/3. The report describes the importance of the State ' s obligation to provide public funding for basic education and the legal framework for ensuring domestic funding of public education. In accordance with General Assembly resolution 64/290, the report also provides additional information on education in emergencies.",
"2. Following his appointment by the Human Rights Council, Kishore Singh served as Special Rapporteur in August 2010. He then reported on his work to the Human Rights Council at its seventeenth session in June 2011. In his first report, he outlined the priority areas to be considered during the mandate and detailed the State obligation to ensure equal opportunities in education. I also reported on my first country visit, Senegal, in January 2011. [2]",
"3. During his first year of work, the Special Rapporteur participated in a number of public education activities and worked to establish cooperation with States, international organizations and non-governmental organizations. The Special Rapporteur recently participated in two regional preparatory meetings of the Economic and Social Council, one in Thailand in March and the other in Togo in April. In July, the Special Rapporteur participated in the annual ministerial review during the high-level segment of the substantive session of the Council, which focused on the internationally agreed goals and commitments in regard to education.",
"Financing basic education",
"4. The right to education is an internationally recognized right and the provision of adequate financial resources is essential for its implementation. Article 26 of the Universal Declaration of Human Rights recognizes the right to education, stating that it should be free of charge, at least at the primary and basic levels. Since the adoption of the Universal Declaration of Human Rights, States have committed themselves, through various human rights instruments, to fulfil their international legal obligations with regard to the right to education and have assumed responsibility for providing the resources necessary to achieve that goal.",
"5. However, resource constraints remain a major obstacle to the realization of the right to education. Prospects for achieving Millennium Development Goals 2 (to ensure that by 2015 children everywhere, boys and girls alike, will be able to complete a full course of primary schooling) and 3 (to eliminate gender disparity at all levels of education by 2015) are bleak due to lack of resources. At the 2010 High-level Plenary Meeting of the General Assembly on the Millennium Development Goals, the need to scale up budgets and provide more resources to accelerate the achievement of education goals was emphasized. [4] The Education for All Global Monitoring Report of recent years has consistently pointed to underfunding of education. Recent reductions in public spending in the wake of the global financial crisis could reduce support for the education sector and jeopardize recent progress. For example, 7 out of 18 low-income countries reduced education spending in 2009, with 3.7 million children out of school in those countries alone. [6]",
"6. In order to overcome resource constraints to realize the right to education and achieve internationally agreed goals, such as the Millennium Development Goals and education for all, the report recalls the State obligation to finance basic education domestically. Examples were given of countries using legal instruments to ensure adequate financial resources for education.",
"A. Human rights obligations to finance education",
"7. Under international human rights treaties, States are responsible for providing resources to ensure the enjoyment of human rights. It is all the more important to provide the necessary resources for the enjoyment of the right to education, which is essential for the exercise of all other human rights. This is given high priority in public investment, which benefits both individuals and society.",
"8. The obligation of States to ensure adequate resources to overcome constraints and realize the right to education has been reflected in the concluding observations adopted by United Nations human rights treaty bodies. CESCR and CRC have frequently expressed concern at the declining level of education as a result of insufficient State investment in education and recommended increasing the allocation of resources to the education sector. The Committee on the Elimination of Discrimination against Women has also systematically urged States to increase investment in basic education as a fundamental human right and the empowerment of women. The recommendation of the universal periodic review of the Human Rights Council to increase investment in education further confirms the widespread recognition that funding education is central to the fulfilment of human rights obligations. [7]",
"9. The commitment to financing education is also part of the International Labour Organization (ILO)/United Nations Educational, Scientific and Cultural Organization (UNESCO) Recommendation on the Status of Teachers (1966), which recognizes the need for all countries to accord high priority to the allocation of an adequate proportion of national income to national education development in national budgets. [8] Indeed, the right to education is an integral part of the institutional mission of UNESCO and member States have an obligation to provide the necessary resources to achieve this goal.",
"1. Ensuring progressive realization and avoiding regression",
"10. The concept of progressive realization of economic, social and cultural rights, including the right to education, recognizes that the realization of these rights often takes time. This also means that measures must be taken to promote the fulfilment of rights to ensure their continued universalization throughout the country. Referring to the progressive realization of the right to education, the Committee on Economic, Social and Cultural Rights stressed that States parties to the International Covenant on Economic, Social and Cultural Rights have a specific and continuing obligation “to achieve the full realization of this right as soon as possible and as effectively as possible”. The Convention also emphasizes that “no retrogressive measures are permitted”. [9] In this sense, support for education must be accompanied by the need to ensure a gradual expansion of the education sector.",
"11. The United Nations human rights treaty bodies have expressed concern about the possible impact of the economic crisis on the enjoyment of human rights. The Committee on Economic and Social Rights specified that “even in times of severe resource constraints caused by the adjustment process, economic recession or other factors, vulnerable members of society can and must be protected by relatively low-cost, targeted programmes”. [10] Recently, the Human Rights Council adopted a resolution calling on Member States to stress that the global economic and financial crisis should not diminish the responsibility of national authorities for the realization of human rights. [11]",
"Implementation of core obligations",
"The obligation of States to give priority to “minimum essential levels of each right” recognized in the International Covenant on Economic, Social and Cultural Rights, also known as “minimum core obligations”, has immediate effect. The core obligations relating to the right to education include, inter alia, the obligation to provide free primary education for all students, in accordance with article 13.2 (a), and the adoption and implementation of national education strategies, including the core obligation to allocate funds for the provision of secondary, higher and basic education. [12] Article 14 of the Covenant further emphasizes the core right to adopt a plan of action for the progressive implementation of the right to free and compulsory primary education within a reasonable time.",
"3. Ensuring that maximum resources are made available",
"13. The International Covenant on Economic, Social and Cultural Rights, [13] the Convention on the Rights of the Child [and] Both the Convention on the Rights of Persons with Disabilities and the Convention on the Rights of Persons with Disabilities [15] clearly state the obligation of States parties to provide as many resources as possible to ensure the enjoyment of human rights.",
"14. In its general comment on the obligations of States parties, the Committee on Economic, Social and Cultural Rights emphasized that, even where existing resources are insufficient for the realization of economic and social rights, States parties have an obligation to strive to ensure the widest possible enjoyment of those rights in the circumstances, to monitor their realization and to develop outreach strategies and programmes. [16] Resources here refer to financial resources, but not exclusively to financial resources.",
"4. International assistance and cooperation",
"15. Under the International Covenant on Economic, Social and Cultural Rights, States are obliged to take measures, individually and through international assistance and cooperation, to the maximum of their available resources, for the progressive realization of these rights. The Committee on Economic, Social and Cultural Rights emphasized the specific obligations of the international community to finance the right to education. At the same time, States requiring international assistance must seek and manage it in accordance with human rights norms and standards.",
"16. By virtue of the principle of international solidarity, the least developed countries faced serious financial difficulties and deserved priority international assistance. Development partners must provide “financial and technical support” to these countries “to achieve national education plans and programmes, including universal education in rural and remote areas”. LDCs need to strengthen their national education systems. [18]",
"17. A number of political declarations on international assistance have emphasized the need for recipient countries to properly manage available domestic resources to enhance the sustainability of development efforts. For example, through the Paris Declaration on Aid Effectiveness (2005), partner countries committed themselves “to intensify domestic resource mobilization, enhance fiscal sustainability and create an enabling environment for public and private investment”. Similarly, the Global Compact (2002), launched by the Secretary-General at the International Conference on Financing for Development, provides that if developing countries improve governance and achieve results, donors will provide the necessary funding to achieve the Millennium Development Goals. [20] The Education for All Fast Track Initiative is the most important mechanism for international assistance in education, aimed at assisting countries to achieve Millennium Development Goal 2 and the Education for All goals, with particular emphasis on the proper management of domestic resources in recipient countries.",
"18. More recently, in 2006, national and international organizations involved in development assistance established the Leading Group on Innovative Financing for Development to develop additional international financing mechanisms for global development. As part of this initiative, the International Task Force on Innovative Financing for Education has been established and several alternatives are being discussed to increase funding for education, including domestic resource mobilization, as well as international assistance. [22]",
"5. Related global political commitments",
"19. Many international declarations contain commitments to finance primary education, which is also at the heart of major global campaigns. At the World Education Forum (2000), Governments and other stakeholders committed themselves to developing strategies, in particular “mobilizing strong national and international EFA political commitments, developing national action plans and significantly increasing investment in basic education. These commitments include the commitment that “political will must be supported by resources”. It is therefore the responsibility of Governments to provide domestic resources to achieve education for all. Education for all is a fundamental human right and is considered a “strategic development investment”. [24]",
"20. The Millennium Development Goals should also be used to reaffirm the obligations expressed in human rights treaties, and it was therefore the responsibility of Governments to provide financial resources for education. Millennium Development Goal 2 reflects the obligation to ensure universal primary education, including the obligation not to deprive children of their right to education by direct or indirect school fees. Millennium Development Goal 3 reflects the obligation to ensure gender parity at all levels of education, including through the provision of financial resources.",
"B. National legal framework for financing basic education",
"21. States have an obligation to incorporate international obligations to finance education into domestic law. The State ' s Constitution, legislation and education policy provide for public funding for education and are key to fulfilling obligations to realize the right to education. In the view of the Special Rapporteur, the adoption of a legal framework for State funding for education can indicate the importance and priority given to the right to education.",
"22. Legal reforms in the Education for All process can witness the emergence of the right to basic education together with the right to primary education within the national legal framework. States therefore recognize the obligation to guarantee universal access to basic education. For example, the 2009 Commonwealth Heads of Government Summit called on all Commonwealth countries to invest more resources in basic education. [25]",
"1. Constitutional provisions",
"23. The constitutional provision for education provides a solid basis for the development of national legislation and education policies. Some countries have different criteria for determining minimum investment in education, but all have constitutional provisions.",
"24. Some States have constitutional provisions requiring a certain proportion of tax revenues to be used as a minimum level of educational resources. Article 212 of the Brazilian Constitution provides that “the federal State uses no less than 18 per cent of the tax annually and the states, the Federal District and the cantons use at least 25 per cent of the tax, including remittance income, for the maintenance and development of education”.",
"The constitutions of other countries set a minimum share of education in the overall national budget. Article 31 (4) of the Constitution of Indonesia, as amended in 2002, provides that “at least 20 per cent of the national and regional budgets shall be allocated as a priority to education to meet the needs of national education”.",
"26. Other constitutions use GDP to calculate the minimum support required for education. The 2008 Constitution of Ecuador stipulates that public expenditure on education should be 6 per cent of GDP. The 1997 Constitution of Costa Rica contains similar provisions.",
"27. Finally, other national constitutions impose an obligation to prioritize investment in education. The Constitution of Ethiopia states that “the State is obliged to allocate increasing resources to public health, education and other social services.” (Article 41 (4)). Similarly, the Constitution of the Philippines and Viet Nam stipulates that the State should give priority to investment in education.",
"2. National legislation and budgetary allocations for basic education",
"28. The Committee on Economic, Social and Cultural Rights (CESCR) stressed the importance of national legislation to implement State obligations. [26] Legislation in many countries is often developed in the context of the Education for All process and includes important provisions for funding basic education, with minimum financial support and responsibilities. Recent developments can serve as practical examples, as described below.",
"29. In South Africa, basic education is a constitutional right. The South African Schools Act 1996 provides that “in accordance with the Constitution and this Act, the Minister, in consultation with the Finance and Finance Committee and the Minister of Finance, shall determine the criteria and minimum standards for funding public schools” (art.",
"30. Nigeria ' s Free Compulsory Basic Education Act of 2004 provided for nine years of compulsory basic education and established the Universal Basic Education Commission, which was responsible for implementing the right to basic education and providing resources. The Universal Basic Education Programme is funded from the 2 per cent Consolidated Income Fund.",
"31. Argentina ' s National Education Act, No. 26.206 of 2007, provides for an increase in education resources of 6 per cent of GDP in 2010. The Act provides for the right to compulsory education from the age of five until the completion of secondary education (art. 16).",
"Mexico's General Education Act of 2003 provides that 8 per cent of gross national product is allocated to public education and education services (art. It is known that this has helped to increase support for education.",
"33. In India, the policy of funding basic education derives from national legislation, such as measures being taken to implement the 2009 Free and Compulsory Education for Children Act. As a result of the development of this framework, there has been a significant increase in education expenditures in the five-year national plan.",
"34. Senegal ' s Education Policy Act No. 91-22 of 1991 was amended by Act No. 2004-37 of 2004 to provide for compulsory education for all children between the ages of 6 and 16 years, free of charge in all public schools. The recognition of the obligation to provide education has reportedly led to an increase in State investment in education to nearly 40 per cent of the national budget.",
"35. Kenya had adopted the Children ' s Act 2001 and the Education Strategy for the Twenty-first Century, which emphasized the core commitment to universal primary education. The commitment has reportedly resulted in a significant increase in the allocation of resources for education.",
"China amended its Compulsory Education Law in 2006 to provide for nine years of basic education. The Act guarantees that basic education is funded by the State Council and local people ' s governments. China's national plan for medium- and long-term education reform and development (2010-2020) recognizes that “financing education is a basic, strategic investment”. It is planned that public expenditure on education will be 4 per cent of GDP by 2012.",
"37. Some legal frameworks devolve responsibility for funding to local entities. Iceland ' s Compulsory Education Act No. 19 of 2008 provides that municipalities are responsible for capital investment costs for compulsory education. Thailand ' s National Education Act 1999 empowers state and local agencies to levy education taxes where appropriate. A number of federal States have specific funding mandates and responsibilities for federal and state authorities. [27]",
"3. Mobilization of supplementary funds for education",
"38. Legal instruments can generate additional funds for education. In India, a 2 per cent education tax on all central taxes has opened up important sources of funding for the primary education sector. Similarly, China ' s national plan of action, mentioned above, also proposes to introduce an additional education tax, 3 per cent of the value added tax, devoted to education. The mobilization of supplementary funds through such special tax schemes is essential to enhance budgetary funding. [28]",
"39. Through institutional mechanisms that complement government funding, local institutions, private donors and communities can use contributions to raise supplementary funds to strengthen public investment in basic education. For example, under the Education Fund Act 2001, the Tanzania Education Authority may “receive gifts, donations, grants or other payments on behalf of the Fund”. Other similar mechanisms exist, such as the Bharatiya Shiksa Kosh (Education Fund) in India and the Nigerian Education Tax Fund. It is important to ensure that all these institutional mechanisms operate in a manner that fully respects transparency and accountability.",
"40. The present report is limited to a focus on financing education through public resources. However, it is clear that the private sector can complement national education initiatives in the provision of education through partnerships with Governments in which responsibility is shared equitably. However, it should be ensured that such partnerships operate within a legal framework that fully complies with human rights norms and is consistent with standards of quality education.",
"C. Concerns requiring further consideration",
"41. As mentioned earlier, human rights instruments clearly state the obligation of the State to fund education. Putting these obligations into practice requires a range of legal and policy instruments to ensure that investments in education are predictable and sustainable and that financial resources are readily available and used in a timely and appropriate manner to guarantee the widest possible enjoyment of the right to education. The adoption of a legal framework for the financing of education provides an important tool for promoting accountability, as actions affecting public education investments may lead to domestic legal litigation. [30]",
"42. Some of the core concerns identified below by the Special Rapporteur deserve further attention in the implementation of the legal instruments on financing basic education.",
"1. Access to adequate financial resources for basic education",
"43. In order to overcome the resource constraints on the Education for All agenda, the High-level Panel on Education for All advocated the need to ensure that the minimum proportion of the national budget devoted to education is 15 to 20 per cent, or 4 to 6 per cent of GDP. As noted above, mechanisms that require a certain proportion of total public expenditure or specific tax revenues to be earmarked for education have successfully increased funding for education in several countries. It is clear that a gradual assessment of the effectiveness of these mechanisms depends on the overall functioning of the financial and budgetary policy mechanisms of a given country.",
"2. Ensuring the full use of educational resources",
"44. While it is essential to allocate as much domestic resources as possible for education, it is equally important to ensure that these resources are used effectively and optimally. In addition to ensuring funding for education, legal instruments that protect the right to education can further guide States in their actions to fulfil their human rights obligations and to utilize the resources allocated to education.",
"45. Given the obligation to ensure universal primary education and the commitment to the Millennium Development Goals and the Education for All agenda, public funding for primary and basic education should be ensured as a priority.",
"46. Evaluation of the effectiveness of financial management of education must focus on the core principles of equality and non-discrimination. The allocation of funds to different levels and regions of education within an area must take into account existing socio-economic disparities and their impact on the education community. In addition, where education is financed through the sub-national budget, it is important to ensure that local disparities in tax revenues do not lead to inequalities between regions.",
"47. Special funds must be secured to address the root causes of the exclusion of girls, the poor, the disabled, ethnic and linguistic minorities, migrants and other marginalized and vulnerable groups from education. Specific measures to overcome major barriers to education must be considered, including the abolition of school fees and subsidies for other costs, such as textbooks, uniforms and transport. Temporary special measures to provide financial support to these groups through affirmative action can find a normative basis in international human rights treaties. [34] Particular attention must be paid to the principles of transparency and accountability in the management of education budgets.",
"3. Responding to the quality of education",
"48. Finally, the framework for adjusting expenditure on education must first consider improving quality education, recognizing the centrality of education in people ' s lives and the empowering role of quality education. The education budget tends to be spent entirely on recurrent expenditures (mainly on teachers ' salaries). Unfortunately, teachers are often poorly paid to attract qualified professionals. [35] Investment in important components, such as the development of teaching materials, the training of trainers and the improvement of working conditions, continues to be neglected. The Special Rapporteur intends to examine this issue in another thematic report on quality education.",
"D. Conclusions and recommendations",
"49. States can fulfil their international obligations to guarantee the right to education only if they provide the necessary resources for education and make it available on a consistent and predictable basis. To that end, the national legal and policy framework for ensuring educational inputs plays a crucial role. It is also important to accelerate the process of sustainable development to achieve the Millennium Development Goals and to move the Education for All agenda forward. Education was indeed the best investment a country could make and deserved the highest priority in the allocation of resources. As a vital global public good, education deserves a strong investment commitment from global leaders. [36]",
"50. In this spirit, the Special Rapporteur provides the following recommendations:",
"(a) Ensuring investment in education through domestic legal frameworks",
"51. It is essential to have a national law that provides for at least the minimum essential level of quality education inputs. Follow-up to the recommendations that have been highlighted by the High-level Panel on Education for All and the establishment of an internationally accepted norm (i.e. at least 4-6 per cent of gross national product (GNP) for education or 15-20 per cent of the national budget) could be valuable in laying the foundation for the development of national legal and policy frameworks.",
"(b) Development of strategies to increase resource allocation",
"52. The development of new avenues for resource allocation and utilization is crucial for countries. In order to strengthen the status of education as a national priority, the ministries concerned with social development (the Ministry of Social Welfare, the Ministry of Children and Women Development, the Ministry of Labour, the Ministry of Health, etc.) can set education budget lines. At the same time, broadening the tax base is also important for generating additional budgetary resources.",
"(c) Promotion of open debate and exchange of experiences",
"53. In terms of budgetary allocations, education often does not enjoy the priority it deserves at the national level. In order to ensure that education receives priority attention, it is necessary to promote public dialogue between the Minister of Education and the Minister of Finance and the Minister of Planning on the necessary steps to ensure maximum investment in education. The exchange of ideas and approaches among countries on the legal and policy framework for financing education will help national authorities to draw on existing experiences and practical examples through comparisons, as well as to raise awareness of new ways of investing in education.",
"(d) Special attention should be paid to financing basic education in the provision of technical assistance to Governments in the development of national legal frameworks",
"54. In accordance with Human Rights Council resolution 17/3, UNESCO and UNICEF should be encouraged to continue to provide technical assistance to Member States in the development and modernization of national legislation. In this process, the importance of provisions for financing basic education should be emphasized.",
"(e) Responding to the quality of education",
"55. Budgetary reserves for quality education are scarce, as almost all resources allocated to education are spent on recurrent expenditures. A paradigm shift in responding to the quality of education remains a daunting challenge.",
"III. Update on the right to education in emergency situations",
"56. In its resolution 64/290, the General Assembly requested the Special Rapporteur to include in his next interim report to the Assembly at its sixty-sixth session updated information on the report on the right to education in emergency situations (A/HRC/8/10), submitted by the previous Special Rapporteur in 2008, in order to identify gaps and remaining challenges to the right to education in emergency situations.",
"57. The 2008 report defined emergencies as any crisis arising from natural disasters or armed conflict, which, as defined in international humanitarian law, could be international (including military occupation), internal or post-conflict. The report notes that ensuring appropriate education is not only a widely recognized State obligation, but is also essential to prevent emergencies and ensure success in peacebuilding and recovery efforts. However, the report emphasizes that in emergency and reconstruction processes, education is often interrupted, delayed or even deprived of. The report made a number of recommendations to States, intergovernmental organizations and non-governmental organizations to better protect education and ensure its integration into humanitarian response to conflicts and natural disasters.",
"58. The update, which is divided into six parts, reflects the content and core recommendations of resolution 64/290. Each section identifies the remaining challenges to the promotion of the right to education in emergency situations and outlines the progress made over the past three years. The first part focuses on proposals for increased political and financial support for education in emergencies. The second part deals with recommendations to better protect schools from attacks and ensure accountability. Part III deals with recommendations for better preparation of the education system for natural disaster situations. Part IV addresses recommendations that address the specific needs of girls and other marginalized groups. Part V focuses on recommendations to ensure quality education in emergencies. Part VI focuses on the need to improve the collection of education data in emergency situations.",
"59. A detailed report led by a group of international and non-governmental organizations with expertise in the field of education in emergency situations and developed through a collaborative consultative process has contributed to this update.[37] The Special Rapporteur is grateful to all those who shared information or made efforts to prepare this update.",
"A. Ensuring political and financial support for education in emergencies",
"60. Millions of people remain deprived of their right to education in emergency situations. In order to guarantee this fundamental right, political attention and sustainable financial support must be increased. The lack of adequate attention to the right to education in emergency situations continues to affect prospects for achieving the Millennium Development Goals and the Education for All goals. The Education for All Global Monitoring Report 2011 highlighted that in conflict-affected countries, an estimated 28 million children of primary school age are currently out of school, accounting for 42 per cent of all out-of-school children globally. [38] Natural and man-made disasters also threaten education: an estimated 875 million school-age children live in high-risk areas of earthquakes, and hundreds of millions more face recurrent floods, landslides, wind and fire hazards and slow-onset disasters. [39]",
"61. As reflected in General Assembly resolution 64/290, States have recognized the urgency of ensuring the realization of the right to education as an integral part of humanitarian assistance and emergency response. Debates and research within the United Nations system have helped to shed light on what the Education for All Global Monitoring Report calls a “hidden crisis”. The Committee on the Rights of the Child and the General Assembly organized thematic discussion days focusing on this theme in 2008 and 2009, respectively.",
"62. Greater attention to and coordination of education among the various stakeholders providing humanitarian assistance remains a key issue. The recent partnership between the Sphere Project and the Inter-Agency Network for Education in Emergencies to develop a partnership agreement to guide the integration of quality education into humanitarian response is an important step towards a more coherent focus on education within the humanitarian community. Traditionally, access to education has been excluded from humanitarian priorities, but families and young people affected by emergencies continue to be considered a priority. [40] Responding to the needs expressed by affected communities is an important component of humanitarian response and key to the implementation of the right to education.",
"63. Although the importance of education in emergencies is increasingly recognized by the international community and communities affected by emergencies, funding for this remains limited. Only a few donor agencies have explicitly included education as part of their humanitarian policy. [41] The Education for All Global Monitoring Report 2011 highlighted that in 2009, only 2 per cent of total humanitarian assistance was committed to education in conflict-related emergencies. [42] The report concludes:",
"Education, a poor neighbour of the humanitarian aid system, is not only underfunded and totally unpredictable, but is also constrained by short-term behaviour. Education faces a double disadvantage: it accounts for a small proportion of humanitarian appeals, and even less of those that receive funding. [43]",
"64. The evaluation found that some particularly vulnerable countries requiring funding for education were left out by many donors, as donors clearly gave higher priority to countries linked to their own security priorities: Official development assistance (ODA) to fragile States is highly concentrated, with 51 per cent of ODA to 43 fragile States in 2008 going to six beneficiary countries, representing only 23 per cent of the total population of fragile States. [44]",
"65. The change in support was another matter of concern. As noted above, the sustainability of financial support is essential to ensure that the education system is fully operational. This can only be achieved through sustained financial support for the uninterrupted implementation of education programmes. In the absence of sustainable support and funding for the transition from humanitarian response to development frameworks, many important opportunities are missed in the aftermath of emergencies. In this context, it is worth emphasizing the need for further investment in national planning and information systems in recipient countries. [45]",
"66. The Education for All Fast Track Initiative is working to increase support to vulnerable countries, but to date it does not have the capacity to provide financing in particularly urgent situations. [46] In addition to bilateral support, there are many complementary ways of financing education in emergencies, but these are still clearly inadequate.",
"67. The Special Rapporteur emphasizes that emergency situations do not absolve States from the obligation to take all appropriate measures to ensure the realization of the right to education for all persons on their territory, including refugees from non-nationals and internally displaced persons groups. Ensuring financial support for primary education to ensure that primary education remains available in emergency situations, providing secondary education in a non-discriminatory manner and facilitating access to higher education on the basis of capacity is no more than fulfilling human rights obligations.",
"68. Considering the vulnerability of some States affected by emergencies and the central role of international assistance and cooperation in such situations, it is important to bear in mind that human rights law establishes an obligation to provide international assistance. The same commitment is reflected in many international declarations, including the Dakar Framework for Action on Education for All, adopted at the World Education Forum in 2000. Furthermore, as noted above, States requesting assistance are also obliged to seek and manage external assistance in accordance with human rights principles.",
"B. Protecting education from attacks",
"Attacks on schools and institutions of higher education violate human rights and humanitarian law. The Secretary-General has recently reported, however, that attacks on schools pose serious concerns and an increasing trend. [49] Many educational institutions in conflict zones continue to face insecurity, with long-term consequences for the education system and students.",
"70. Studies have shown that attacks on educational institutions in conflict situations have continued to increase over the past three years, with widespread violence. [50] These incidents included the injury or killing of students and school staff, damage to or destruction of educational facilities, which ultimately prevented thousands of students from attending school because of the closure of schools or universities. The Academic Relief Foundation of the International Institute of Education [51] reported that the number of applications submitted by threatened scholars in the period 2008-2011 had doubled over the previous period. In some cases, the use of schools by armed elements undermines their civilian character and puts students and teachers at risk. [52]",
"71. Despite the continuing shortcomings of the monitoring mechanism, it has been noted that the international community has increasingly focused on attacks on educational institutions in emergency situations. In 2010, international organizations and non-governmental organizations established a global alliance to protect educational institutions from attacks, promoting joint efforts to prevent, respond to and monitor attacks on educational institutions. The Secretary-General has described these developments in his latest report on children in armed conflict. Similarly, the Special Representative of the Secretary-General for Children and Armed Conflict reiterated the importance of protecting schools from attacks and stressed that “enhanced accountability mechanisms for such crimes are key to ensuring that schools remain safe havens and zones of peace”. [54]",
"72. The Special Rapporteur believes that it is essential to strengthen the capacity of monitoring mechanisms to monitor the situation of those involved in armed conflict who launch attacks against the education system, which is essential to prevent invisibility and end impunity. In that regard, he welcomed the Council ' s recent adoption of resolution 1998 (2011), which expressed deep concern about attacks on schools and requested the Secretary-General to include in the annex to his report on children and armed conflict information on recurrent attacks on schools and attacks or threats of attacks against protected school-related personnel. The Security Council ' s monitoring and reporting mechanism has already played an important role in identifying grave violations against children in armed conflict, and continued and increased attention to attacks on schools is essential to the protection of the right to education. To further ensure accountability, it is also necessary to further strengthen the capacity of national and international justice systems to prosecute perpetrators, including non-State actors.",
"73. In addition to ensuring accountability for attacks on schools, targeted efforts must be made to prevent attacks on schools and other educational institutions and to protect them against insecurity in order to minimize the damage that armed conflict can cause. Finally, tireless efforts are required to assist in the rehabilitation of victims and to ensure that appropriate individual and collective compensation is paid for these education-related violations.",
"C. Preparing education systems for natural disasters",
"74. The leaders of the education system must not ignore the increasing number of natural disasters. Schools not only play a crucial role in helping communities to become more resilient, but also need to be well prepared to minimize the eventual harm that natural disasters can cause to their own operations. Therefore, the education sector needs to be given special attention in the development of a holistic strategy for disaster risk reduction. At the same time, schools must develop and adopt systematic safety and security measures adapted to the specific circumstances they face.",
"75. The construction or maintenance of schools is often not done to enhance resilience. Extensive consultations with children around the world have resulted in the recently produced Children ' s Charter for Disaster Risk Reduction, which emphasizes the need for school safety and education to be uninterrupted. [55] The Inter-Agency Network for Education in Emergencies coordinated the development of guidance notes on the steps necessary to ensure the construction of safer schools and the rehabilitation of existing ones. A major effort is needed to build technical capacity for and ensure the adoption of safer standards of educational infrastructure in order to avoid the tragedy of earthquakes or other disasters that claim the lives of large numbers of children in unsafe schools.",
"76. Attention is also being paid to the use of schools as a platform for increasing the number of learners and education workers preparing for disasters and their consequences. Some countries have incorporated disaster risk reduction components into their school curricula, and others consider disaster risk reduction and climate change adaptation as national education priorities. [58]",
"77. The Special Rapporteur emphasizes that investment in prevention through education is essential to protect schools and communities they assist from the effects of natural disasters. Therefore, education systems must be actively involved in the development and implementation of risk management strategies. Schools must also promote, through their regular activities, a culture of prevention and preparedness among students, staff and their communities. Considering that the risks and needs of communities in the same region vary widely, there is a need to ensure that risk management strategies are developed through a meaningful participatory process involving the communities in which schools are located.",
"D. Ensuring attention to girls and marginalized groups",
"78. The failure of Governments to address persistent inequalities based on income, gender, location, ethnicity and language is one of the reasons for the limited progress made towards the Education for All goals and the Millennium Development Goals. Barriers to schooling that already exist during normal times are clearly more significant in emergency situations. The cost of schooling may increase significantly, and commuting between schools and families often becomes very difficult and unsafe, further excluding children who are poor or more vulnerable to violence. In this sense, targeted measures to identify marginalized groups and address their specific needs are necessary to avoid widening inequalities in education.",
"79. Ensuring gender parity in education is particularly important in this regard. Attention has been drawn to the direct and indirect impact of sexual violence, which is prevalent in conflict, on female teachers and students. [60] Insecurity on the way to, from or within schools appears to be a central factor in the exclusion of girls from the education system. The lack of independent sanitation facilities in emergency schools also constitutes a major obstacle to girls ' education.",
"80. Despite apparent resource constraints in emergency situations, neglecting the impact of discrimination and structural inequalities in education when planning, implementing and evaluating education policies in such situations can lead to further marginalization and, in some cases, to the recurrence of conflict.",
"81. Refugees and internally displaced persons continue to face significant obstacles in seeking education outside their communities of origin. Data collected by the Office of the United Nations High Commissioner for Refugees in official United Nations refugee camps show that access to education in the camps is limited and uneven — the overall primary school enrolment rate for refugee children is 69 per cent, compared with 30 per cent at the secondary level. While States have a human rights obligation to provide education to all children residing in their territory without discrimination of any kind and the Convention has provisions relating to refugee status, [62] several States maintain administrative barriers to the enrolment of refugee and internally displaced children in schools. [63] Short-term funding for projects in protracted situations threatens the education and progress of thousands of refugee and displaced children. The gap in funding for education in these situations must be addressed as a matter of priority, as denial of education to these populations has a lasting impact.",
"82. In his first report to the Human Rights Council (A/HRC/17/29), the Special Rapporteur has emphasized that most human rights treaties address the issue of equal access to education. Human rights treaties place a duty on States to ensure that the right to attend public educational institutions and curricula is not discriminated against and that primary education is provided for all.",
"E. Ensuring quality education at all levels",
"83. Access alone does not guarantee the exercise of the right to education, for example, where the quality of education provided does not meet appropriate standards. The resource constraints faced in times of emergency do not justify neglecting the basic requirements for ensuring quality education, including the presence of qualified teachers, the availability of appropriate teaching materials, sufficient real teaching time and an improved classroom environment.",
"84. States, international organizations and civil society continue to provide guidance on improving quality education in emergencies through materials developed by the Inter-Agency Network on Education in Emergencies. A consultative process involving stakeholders involved in emergency education around the world resulted in the preparation of an updated version of the Minimum Standards for Education in Inter-Agency Networks for Education in Emergencies: Preparedness, Response and Recovery, which provides important policy guidance on the necessary steps to ensure quality education. The recently released Inter-Agency Network for Education in Emergencies guidance note on teaching and learning provides more specific teaching guidance based on the experience of educators working in emergencies.",
"85. As noted above, the inadequate and short-term nature of funding for emergency education and transition programmes significantly hampers the possibility of eliminating serious deficiencies, which leads to very low quality education. In addition, the overall trend towards humanitarian work focusing only on primary education limits investment in early childhood care and development, as well as in secondary and tertiary education. This bias significantly limits the prospects for student advancement and increases the challenges faced in training teachers.",
"86. The Education for All Global Monitoring Report 2011 presents key issues in ensuring quality education for students affected by or at risk of conflict. These issues include ensuring that children can learn their mother tongue, especially at an early stage; rethinking history and religious teaching so that they can present different perspectives on conflict-sensitive issues; and promoting non-violent school environments.",
"87. Effective teaching of literacy, numeracy and life skills, such as disease prevention and conflict resolution, is critical to improving resilience during emergencies. School staff must be given sufficient incentives and strengthened capacity to give due attention to the psychological needs of students, to use resources and schedule for recreational and performance activities, and to turn heavily affected students to additional support.",
"88. The provision of certification of learning achievement is another concern related to the quality of education in emergency situations, particularly for students in refugee schools. Specific strategies need to be developed to ensure that the student record is adequately monitored, documented and validated even in times of crisis.",
"F. Collecting information on education in emergencies",
"89. Restrictions on data collection in emergency situations continue to affect the overall humanitarian effort. Inadequate capacity to accurately assess educational needs limits the possibility of accurately developing and assessing educational initiatives in emergency situations. As noted above, poor monitoring has further contributed to a lack of visibility and consequent impunity in situations where schools are directly threatened by violence.",
"90. The EFA Global Monitoring Report 2011 noted that data collection in conflict situations has serious limitations: “Assessment needs assessments for communities in conflict are not systematic, even if they take into account the inevitable limitations associated with investigations in conflict-affected areas. [65] The report also emphasizes that donor assessments tend to underestimate the needs of the education sector, as their recommendations are often made to meet lower expectations of donor funding. [66] Limited attention has been paid to needs assessments regarding the quality of education, such as the supply of textbooks, school hours and in-service teacher training. The human resource and infrastructure requirements of secondary education are often completely ignored.",
"91. Information-gathering in emergency situations requires specific strategies to overcome the obstacles faced in such situations. These may include difficult logistics, personal insecurity, the political and ethical implications of activities in a rapidly changing environment, and the technical challenges of working with mobile populations and groups of unusual populations. [67]",
"92. The Global Thematic Working Group on Education developed a joint education needs assessment toolkit and a summary guide to rapid needs assessments in 2010 to provide guidance on data collection in emergency situations. The Working Group stressed the need to further enhance monitoring capacity by defining a core set of indicators, including the estimated number of children and young people to be reached, age and gender profiles, patterns of displacement, educational materials, teachers and infrastructure requirements to guide financing requirements. [68]",
"G. Conclusions and recommendations",
"93. As noted in the previous report on education in emergencies (A/HRC/8/10), access to education remains a reality for most communities affected by emergencies. Despite the increased attention of the international community, key issues remained: funding for humanitarian activities continued to ignore the need to ensure education; schools continued to be victims of direct and indirect violence; and prevention remained insufficiently active in the face of the increased impact of natural disasters. In order to reverse the current trend, States and other entities that provide and channel humanitarian and transitional assistance must pay greater attention to education in emergency situations. Providing education during emergencies and ensuring its protection is not an option but an obligation.",
"In this regard, the Special Rapporteur makes the following recommendations:",
"(a) Ensure adequate funding for education in emergency situations",
"95. As pillars of humanitarian and transitional response, countries must urgently increase national, bilateral and multilateral funding commitments for education. There must be a clear policy commitment to ensure adequate and sustainable national and international support for education in emergency situations and fragile and protracted crises. The period covered by such commitments must extend to the final stages of recovery, including in the development framework. Recipient States must follow human rights requirements while seeking and managing international assistance.",
"(b) Enhanced protection of schools from attacks",
"96. States must ensure that violations of international human rights and humanitarian law committed against members of the educational community and educational institutions and sites are systematically monitored, documented and reported. Greater attention must be paid to education in future monitoring of violations of children ' s rights in armed conflict, in line with Security Council resolution 1998 (2011). Domestic, regional and international accountability mechanisms, including military accountability mechanisms, should be fully understood and the obligations of State and non-State actors in relation to the right to education and other guarantees of legal protection for educational personnel and institutions should be systematically implemented. Specific efforts are needed to strengthen the capacity of education providers to prevent and respond to attacks.",
"(c) Enhanced security and disaster risk reduction",
"97. States must ensure that disaster risk and safety considerations are taken into account in the planning, design, construction and reconstruction of educational facilities. The concepts of disaster risk reduction and preparedness should be integrated into educational policies and curricula. Participatory processes involving students and communities must be used to ensure local risk assessment and preparedness.",
"(d) Attention to the exclusion of girls and marginalized groups",
"98. States must take concrete measures to guarantee education for girls and marginalized groups in emergency situations. Specific work is needed to eliminate persistent or emerging patterns of discrimination and physical, financial, cultural and linguistic barriers that deepen inequality during emergencies.",
"(e) Ensuring quality education",
"99. Those responsible for providing education in emergencies must consider meeting the requirements of quality education standards. Special attention must be paid to improving school curricula, promoting human rights education and addressing the psychosocial needs of students and teachers.",
"(f) Develop a common framework for assessing education needs in emergencies",
"100. Further investment is needed to ensure that data on the situation of education in emergencies is systematically collected. States, international organizations and non-governmental organizations supporting education in emergency situations should endeavour to develop a common framework for assessing and reporting on education needs that are met and unmet in emergency situations. Such a framework must take into account human rights obligations relating to the right to education.",
"[1] ^ (*) A/66/150.",
"[2] A/HRC/17/29/Add.2.",
"[3] Articles 13 and 14 of the International Covenant on Economic, Social and Cultural Rights and the UNESCO Convention against Discrimination in Education broadly provide for this right and are also guaranteed by articles 28 and 29 of the Convention on the Rights of the Child, article 5 of the International Convention on the Elimination of All Forms of Racial Discrimination, articles 10, 11 and 13 of the International Convention on the Elimination of All Forms of Discrimination against Women, articles 30, 43 and 45 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families, and article 24 of the Convention on the Rights of Persons with Disabilities.",
"[4] A/64/665, paragraph 71 (b).",
"[5] This issue has also been addressed in a number of publications of the UNESCO International Institute for Planning of Education.",
"[6] UNESCO Global Report on Education for All 2011, Invisible Crisis: Armed Conflict and Education, p. 12.",
"[7] For example, recommendations for Bolivia, Cambodia, Chile, the Democratic Republic of the Congo, the Dominican Republic, Ethiopia and Spain in 2009 and 2010.",
"[8] ILO/UNESCO Recommendation on the Status of Teachers, para. 10 (e).",
"[9] Committee on Economic, Social and Cultural Rights, general comment No. 13, para. 5, Nos. 44 and 45.",
"[10] Committee on Economic, Social and Cultural Rights, general comment No. 3, para.",
"[11] Human Rights Council resolution S-10/1 of 23 February 2009.",
"[12] Committee on Economic, Social and Cultural Rights, general comment No. 13, para.",
"[13] Article 2.1.",
"[14] Article 4.",
"[15] Article 4.2.",
"[16] Committee on Economic, Social and Cultural Rights, general comment No. 3, para. 11.",
"[17] Committee on Economic, Social and Cultural Rights, General Comment No. 11 (1999), para. 9, and General Comment No. 3 (1990), para.",
"[18] Paragraphs 74.2 (a) and 1 (c) and 72.1 (c) of the Programme of Action for the Least Developed Countries for the Decade 2011-2020 (A/CONF.219/3/REV.1), adopted by the United Nations Conference on the Least Developed Countries, held in Istanbul from 9 to 13 May 2011.",
"[19] Part I of the Paris Declaration on Aid Effectiveness: Expressing determination, paragraph 25, which reflects the commitment to strengthen national development strategies and related operational frameworks (e.g., planning, budgeting, performance assessment frameworks) in partner countries, as well as “qualitative measures and performance criteria”.",
"[20] The basic concept of debt swaps in education is to cancel external debt in exchange for a commitment by creditor Governments to mobilize domestic resources for education.",
"[21] Leading Group on Innovative Education Financing, “2+3 = 8; Innovative Education Financing: Preparing the Committee's Report to the Task Force on Innovative Education Financing”, 2010.",
"[22] Discussion at the second session of the International Education Task Force of the Leading Group on Innovative Financing, Paris, 17 June 2010.",
"[23] Dakar Framework for Action, adopted at the World Education Forum, 2000, para. 8 (i).",
"[24] World Bank Education Strategy Group, 2020, Learning for All: investing in human knowledge and skills for development. Executive Summary, p. 1.",
"[25] Commonwealth Community Heads of Government Communiqué, Trinidad and Tobago, 27-29 November 2009. Paragraph 89.",
"[26] Committee on Economic, Social and Cultural Rights, general comment No. 3, para. 3: “The means by which steps should be taken to fulfil States' obligations, see article 2 (1), “all appropriate means, including, in particular, the adoption of legislative measures. * I don't know.",
"[27] In India, for example, within the framework of the Right of Children to Free and Compulsory Education Act 2009, the federal Government will cover 65 per cent of public funding for education and 35 per cent for each state.",
"In this context, it is worth mentioning that the discussions on innovative financing for education included a number of proposals for new mechanisms aimed at closing investment gaps in education and ensuring long-term sustainable financing.",
"[29] Permanent Mission of Indonesia to UNESCO. Jakarta Declaration adopted at the International Conference on the Legal Framework for the Right to Basic Education as a Fundamental Human Right and its Financing, December 2005.",
"[30] For example, the Indonesian Constitutional Court adopted a resolution in 2008 reminding the legislature of its constitutional obligation to provide at least 20 per cent of the national budget for education for fiscal year 2009. The Government of Indonesia has accordingly increased its education budget.",
"Since its fifth meeting in 2005, the High-level Panel on Education for All has recommended such measures to Governments. At its tenth meeting, held in Jomtien-Patya in March 2011, the High-level Panel called upon Governments “to allocate at least 6 per cent of gross national product and/or 20 per cent of public expenditure to education to ensure cost-effectiveness in the use of resources”.",
"[32] Committee on the Rights of the Child, day of general discussion on “Resources for the protection of children's rights — State responsibility”, 21 September 2007.",
"[33] A/64/665, para. 71 (b).",
"[34] The article of the International Covenant on Economic, Social and Cultural Rights on the full realization of the right to education provides that “an appropriate system of fellowships shall be established” (art. Similarly, the UNESCO Convention against Discrimination in Education provides that “students shall be granted scholarships or other forms of assistance” on the basis of “achievement or need” (art.",
"[35] Under Ecuador ' s 2011 Intercultural Education Act, teachers ' salaries have doubled.",
"[36] Fourth meeting of the International Task Force on Innovative Financing for Education, Paris, UNESCO headquarters, 4 February 2011.",
"[37] Education above all”, Inter-Agency Network for Emergency Education, Right to Education Project/International Aid Action, Save the Children International Alliance and UNICEF co-sponsored this document.",
"[38] UNESCO, Education for All Global Monitoring Report 2011, p. 15.",
"[39] The International Strategy for Disaster Reduction, the Inter-Agency Network for Emergency Education and the World Bank: Guidance Note for Improving School Safety (New York: Inter-Agency Network for Emergency Education; Washington: World Bank Global Facility for Disaster Reduction and Recovery, 2009).",
"[40] Inter-Agency Network on Emergency Education: Reference Guide to the Inter-Agency Network on Emergency Education on External Financing for Education (New York, 2010).",
"[41] As of 2010, Canada, Denmark, Japan, Norway and Sweden have included education in their humanitarian assistance policies. In 2011, Australian donor agencies (AusAID) and the United States of America (USAID) included education in emergencies and in conflict-affected countries in their education strategies. See Save the Children Fund, Reaching it: Financing Education for Countries Affected by Conflict and Emergencies, 2011.",
"[42] UNESCO, Education for All Global Monitoring Report 2011, p. 204.",
"[43] Ibid., p. 19.",
"[44] Organization for Economic Cooperation and Development (OECD) Development Cooperation Division fact sheet: Ensuring that fragile States are not abandoned, Paris, 2010.",
"[45] UNESCO, Education for All Global Monitoring Report 2011, p. 227.",
"[46] Education for All Fast Track Initiative, Board Meeting, 2011.",
"[47] See Articles 55 and 56 of the Charter of the United Nations, articles 2.1 and 11 of the International Covenant on Economic, Social and Cultural Rights, article 4 of the Convention on the Rights of the Child and article 32 of the Convention on the Rights of Persons with Disabilities.",
"[48] The Geneva Convention relative to the Protection of Civilian Persons in Time of War, of 12 August 1949, protects the right to education during conflicts. According to international humanitarian law, schools and educational institutions are civilian objects and they cannot be deliberately attacked unless they are used by the enemy for military purposes. See article 8 of the Rome Statute of the International Criminal Court.",
"[49] A/65/820-S/2011/250, para. 211.",
"[50] N. Boothby; A. Ager; R. Quinn; “Feasilability Studiy for a Global Monitoring System for Operations on Education: Definitions and Typology”, CPC Learning Network, Doha; Education Abo All, New York, 2011.",
"[51] The International Institute of Education is an independent non-profit organization that has been involved in the rescue of persecuted scholars since its establishment in 1919. In 2002, the Society for International Education launched the Academic Relief Fund as a formal response to this ongoing international dilemma. The Academic Relief Fund works closely with the Academics at Risk Network, the Council for Assistance to Academic Refugees and other similar organizations.",
"[52] A/65/820-S/2011/250, para. 211.",
"[53] Ibid.",
"[54] A/64/254, para. 25.",
"[55] Children's Charter-an action plan for disaster risk review by children, available from www.childreninachingclimate.org.",
"[56] Global Disaster Reduction and Recovery Fund, Guidelines for Safe School Construction, 2009.",
"[57] Global Platform for Disaster Risk Reduction, “Harmonizing regional and global agendas for disaster risk reduction; summary of key regional political commitments and disaster risk reduction priorities”, 2011, p. 20.",
"[58] Ibid., p. 25.",
"[59] UNESCO, Overcoming Inequality: Why Governance is Important, EFA Global Monitoring Report, Summary, 2009, pp. 4, 7 and 39.",
"[60] UNESCO, Education for All Global Monitoring Report 2011, p. 190.",
"[61] Dryden-Peterson, S., “Conflict, education and education”, in Conflict & Education: An Interdisciplinary Journal, Toronto, 2011.",
"[62] States Parties shall accord to refugees the same treatment in respect of primary education to their nationals (art. 22, para. 1). With regard to education other than primary education, States Parties shall accord refugees no less favourable treatment than that accorded to foreigners in general (art. 22, para. 2).",
"[63] Convention on the Rights of the Child, articles 2 and 28.",
"[64] UNESCO, Education for All Global Monitoring Report 2011, Summary, p. 31.",
"[65] Ibid., p. 216.",
"[66] Ibid., p. 206.",
"[67] Jennifer Schlecht and Sara Casey, “Callenges of collecting base data in emergency settings”, Recruitive Health Access, Information and Services in Enterprises, 2008.",
"[68] UNESCO, Education for All Global Monitoring Report 2011, Summary, p. 31, p. 217."
] |
[
"2011年8月4日厄立特里亚常驻联合国代表给安全理事会主席的信",
"谨奉我国政府之命，随函附上厄立特里亚对2011年7月18日索马里和厄立特里亚问题监察组报告(S/2011/433)的初步意见(见附件)。厄立特里亚目前正在准备对索厄问题监察组于2011年7月28日所公布报告作出全面答复，请将本函及其附件作为安全理事会的文件印发为荷。",
"大使兼常驻代表",
"阿拉亚·德斯塔(签名)",
"2011年8月4日厄立特里亚常驻联合国代表给安全理事会主席的信的附件",
"厄立特里亚国总统政治顾问Yemane Ghebreab先生就索马里和厄立特里亚问题监察组报告提出的初步意见",
"2011年7月22日，纽约",
"借此机会，我要向你作为安全理事会第751(1992)号和第1907(2009)号决议所设委员会主席安排非正式磋商表示本代表团的感激之情。",
"必须承认，尽管厄立特里亚对于整个事项持有强烈保留意见，但还是对索马里和厄立特里亚问题监察组履行其职责予以充分合作。",
"监察组曾两次前往厄立特里亚，并在欧洲举行了第三次非正式讨论。厄立特里亚还答复了监察组提出的书面询问。厄立特里亚认为，监察组报告的实质和基调没有反映出这些讨论，并感到十分失望。与较之下，埃塞俄比亚对监察组则赞誉有加，该国正在拼命要求延长监察组的任期，并加强对厄立特里亚的制裁措施。",
"厄立特里亚还感到不安的是监察组的报告是由一位高级别国际公务员提交给在亚的斯亚贝巴举行的政府间发展管理局首脑会议的。这里不恰当地采用有选择地提交方式，以左右政府间发展管理局领导人的意见，进一步制裁厄立特里亚的措施是随后才提出的。",
"由于厄立特里亚在提出书面正式要求之后仍然未能得到监察组的报告副本，厄立特里亚代表团此时此刻只能作出一个初步的切合实际的答复。厄立特里亚代表团得到了关于报告介绍，以及报告部分内容，但由于时间有限并且无法与厄立特里亚有关当局取得联系以就监察组报告中各项指控提出意见和论证，代表团目前无法作出充分答复。",
"因此，厄立特里亚再次请制裁委员会提供报告副本，并给予充分时间，以便厄立特里亚在辅助文件的基础上作出明确答复。这样才是公正合理的，因为不能根据厄立特里亚没有得到的一个文件并且没有机会为自己作出澄清的情况下就下定论。",
"厄立特里亚关于索厄问题监察组报告的总体看法",
"这一报告可以分为三个部分：背景资料和分析；包含具体指控的报告主体部分；以及建议。",
"厄立特里亚关于监察组报告的总体看法可以分为以下几点：",
"• 报告的背景部分充斥着关于厄立特里亚政府各项政策、做法和机制的笼统陈述，以及与实际情况和报告主体内容所不相符的肆意指控。如果粗略浏览报告，很容易得出错误的印象和结论，而认真阅读之后，就会发现报告提出了许多指控，却没有切实依据。",
"• 报告主体内容之中关于厄立特里亚的指控大致分为两类：详细描述指控给人以错误的印象，不过随后索厄问题监察组承认这些指控并没有任何确凿证据；以及关于2009年12月23日以前则发生事件和行动的指控，这是确定厄立特里亚是否遵守了第1907(2009)号决议的截止日期。",
"• 报告中没有确凿证据表明，厄立特里亚对索马里和吉布提的任何侵犯行动，对于厄立特里亚的武器禁运也是如此。这几点意义十分重大，因为关于厄立特里亚对索马里(尤其是支持青年党)以及对吉布提的错误行径是对厄立特里亚进行制裁的依据。公正的做法是承认这一事实，并作出决定取消对厄立特里亚的制裁。",
"• 对于厄立特里亚的最大指控，即要求进一步制裁的依据，就是2011年1月非洲联邦首脑会议期间在亚的斯亚贝巴制造爆炸事件的耸人听闻的指控。这里应当指出的是，对于厄立特里亚的指控规则已经从索马里和吉布提转到埃塞俄比亚，而埃塞俄比亚恰恰是罪魁祸首、指控者和所有“证据”的来源。此外厄立特里亚刚刚重新建立了在亚的斯亚贝巴的使团，并且在长期缺席之后第一次参加首脑会议，厄立特里亚实在没有道理要破坏非洲联邦的这次首脑会议。而且厄立特里亚要考虑进行这样一次恶毒袭击就是无理和糊涂了。更为重要的是，厄立特里亚可以明确和令人信服地表明，其没有参与策划和指挥这样一个阴谋(我们在下面提出对这一指控的初步答复)。",
"厄立特里亚关于索厄问题监察组的背景分析的意见",
"厄立特里亚的国内形势",
"该报告缺乏一种平衡观念，竟提出了与事实不符的关于厄立特里亚极为消极的描述。正如厄立特里亚于2011年7月19日在非正式互动对话期间向安全理事会所表述的，厄立特里亚致力于发展，并将发展作为该国的头等大事。",
"厄立特里亚与埃塞俄比亚的关系",
"虽然监察组认识到这一问题也对厄立特里亚具有重大意义并且发挥着至关重要的作用，却未能给予应有重视。",
"监察组承认埃塞俄比亚正在积极努力造成厄立特里亚的不稳定，并提到“厄立特里亚对反政府武装集团的支持”，但却再一次未能给予充分重视。",
"事实上，埃塞俄比亚一再针对厄立特里亚进行武装入侵、破坏和其他恐怖主义行动，尤其针对的是开采业的目标。在过去两年间就出现过30多起行动，其中包括针对一家中国开采公司总部的一次行动。埃塞俄比亚还在将近11年期间收留了各式各样16个“厄立特里亚”颠覆性恐怖主义集团，其中包括厄立特里亚伊斯兰圣战运动，目的就是要实现其肆意扰乱厄立特里亚的意图。",
"监察组的报告忽略了上述事实以及埃塞俄比亚曾多次公开作出的威胁。事实上，埃塞俄比亚对前去访问的安全理事会成员表示，埃塞俄比亚的官方政策就是要推翻厄立特里亚政府。",
"两国关系业的重大结果是：",
"• 两场战争：第一场为期30年的战争造成65 000名死难者；第二场战争的死亡人数为20 000人。这种人员伤亡对于一个人口不多的小国可谓十分惨重；",
"• 埃塞俄比亚继续占领着几大块十分敏感的厄立特里亚主权领土；",
"• 埃塞俄比亚还明确表示要采取军事措施推翻厄立特里亚政府。",
"今天，埃塞俄比亚在力图通过经济制裁和外交孤立手段，干扰和破坏厄立特里亚为与外界取得联系并推动区域持久稳定与和谐所作极大努力。",
"厄立特里亚的区域作用",
"监察组再次选择忽略厄立特里亚的建设性区域作用，包括其在苏丹和平问题上政策作出得到广泛承认的贡献，无意间显示出监察组的偏见。",
"厄立特里亚对索厄问题监察组所作指控的初步答复",
"1. 支持参与暴力、颠覆和恐怖主义的武装集团",
"监察组刚开始涉及到这一问题便提出了监察组认为在指挥和进行厄立特里亚对外情报行动发挥着关键作用的军官。监察组点了七个人的名字，其中大多数人是武装部队的军官，与对外情报部门没有关系。",
"例如，监察组提到Gemachew Ayana上校，他甚至不是厄立特里亚人。Gemachew Ayana上校是埃塞俄比亚公民，并且曾经是埃塞俄比亚武装部队的成员。他担任过埃塞俄比亚军队一个机械化师的指挥官，而到2003年则被指控与其他十几名奥罗莫解放阵线的军官一同秘密参与了反政府的奥罗莫解放阵线，并被解职。大约三年之后，他参加了奥罗莫解放阵线。鉴于这些都是十分容易查证的事实，所以也令人诧异的是监察组为什么依然要在报告中声称此人是对外情报领域的厄立特里亚军官。我们将可以看到，Gemachew被指控在所谓亚的斯亚贝巴的爆炸阴谋中发挥了关键作用。Gemachew上校的一份讲话附后(见附文)。",
"2. 培训设施",
"厄立特里亚的军事设施及其地点都不是秘密。与监察组报告所述恰恰相反，厄立特里亚国家安全局没有进行任何军事训练。十分重要的是，监察组报告中所载大部分信息都是第1907(2009)号决议之前的事，因此毫无关联。",
"3. 据称违反第1907(2009)号决议对武装集团的援助",
"吉布提",
"虽然报告提出两项所谓“厄立特里亚规模有限的支持”的指控，但其消息来源却至少令人质疑。很难想象一位被吉布提政府扣押的“团结民主阵线前指挥官”会成为可信的消息来源。虽然此人声称厄立特里亚“为受伤士兵提供食品、医药和治疗”，他否认收到过任何武器或军事装备。他说，团结民主阵线从也门购买制服、武器和弹药。这一说法不同于吉布提当局所称此人承认厄立特里亚曾提供武器。此外，监察组的这一指控涉及到2009年12月以前的时期，而关于厄立特里亚参与的最新说法则是2009年10月。",
"报告中只提出另外一项指控，声称2011年2月，吉布提军方在一个山洞中缴获隐藏的50公斤炸药。监察组指出，这些炸药是苏联时期的产品，而且“已无法追溯其产地和保管链”。既然这里没有关于厄立特里亚参与的指控，为何将其列在厄立特里亚违规行为的章节呢？",
"显然没有任何证据显示厄立特里亚针对吉布提违反第1907(2009)号决议。",
"埃塞俄比亚",
"如上所述，监察组(和埃塞俄比亚)对于厄立特里亚从事恐怖主义阴谋和破坏区域稳定行动的核心是2011年1月在非洲联盟首脑会议期间在亚的斯亚贝巴制造所谓爆炸事件的阴谋。监察组声称，“虽然这表面上是奥罗莫解放阵线的行动”,但确实有厄立特里亚国家安全局所构想、策划和指挥的。监察组得出的结论是，“这一行动实际上是厄利特里亚情报部门的行动，却被错误地冠之以奥罗莫解放阵线的举措。”",
"关于这次行动的描述生动离奇，洋洋洒洒数页纸，扑朔迷离，自相矛盾，漏洞百出。如果有机会，厄立特里亚将提出一份详细说明，切实证明监察组对厄立特里亚的指控完全没有根据。至于奥罗莫解放阵线所扮演的角色，该组织自己可以澄清。",
"在这份初步答复中，厄立特里亚提出以下事实和证据，以表明监察组的指控并不是以确凿证据为基础的。",
"指控背后的消息来源和“依据”都令人质疑，并不可信。索厄问题监察组承认，其仅有的消息来源是埃塞俄比亚保安部门和埃塞俄比亚保安人员扣留的所谓犯罪人。显然，对厄利特里亚持敌对态度并积极推动进一步制裁的埃塞俄比亚政府拥有摆布、掩饰、歪曲甚至捏造证据的意愿和手段。同样明显的是，对于一个众所周知借助酷刑对待犯人的政府而言，任何一个落在其手中扣押犯的证词都不会与埃塞俄比亚政府的官方说法相左，因为这将给在押人带来严重的后果。",
"另一个事实使人对在押人的证词提出严肃质疑，如上所述，他们声称发挥核心作用之人Gemachew Ayana上校是厄立特里亚情报官员，而不是奥罗莫解放阵线官员。如果提供情报者在所谓阴谋中扮演了他们所描述的角色，他们就不会不知道，Gemachew实际上是一名奥罗莫解放阵线的官员。如果他们知情却有意误导(在证据不足时权且相信监察组)，让监察组以为这是一名厄立特里亚情报官员，那这些人一定是受到了扣押者指使，其明确意图就是要抹黑厄立特里亚。",
"监察组声称厄立特里亚官员在爆炸案中扮演重要角色，这显然是错误的并且与其自身说法相矛盾。为证实其关于亚的斯亚贝巴爆炸计划是厄立特里亚的一次行动的说法，索厄问题监察组表示，只有一名奥罗莫解放阵线被拘留者“小组领导人Omar Idris Mahamed似乎与奥罗莫解放阵线领导层保持经常联系……而其他小组成员则招募之时起与奥罗莫解放阵线组织结构没有联系并且由厄立特里亚官员直接培训和指挥”。",
"监察组还补充指出，按照Omar(小组领导人)的说法“只有奥罗莫解放阵线主席Dawud Ibsa了解行动的存在及其目标，但似乎没有指挥行动，也不具备控制能力。”",
"然而，按照报告的说法，我们还是没有办法相信这些指控，即奥罗莫解放阵线的官员发挥了重要作用。",
"报告中是这样说的。早在2008年，奥罗莫解放阵线在肯尼亚的一位同伙人介绍第一小组领导人Fekadu与名叫Gemachew Ayana的厄立特里亚上校取得联系。(如前所述，Gemachew实际上是奥罗莫解放阵线官员，而不是厄立特里亚人。)Gemachew Ayana也接触过整个小组领导人Omar Idris Mahamed，后者说“奥罗莫解放阵线主席于2009年8-9月与他取得联系，并说将交给他一项秘密任务。2010年3月，Gemachew 指示Fekadu和他的小组返回亚的斯亚贝巴”。Fekada“一直与Gemachew Ayana保持联系，电话记录显示至少有27次通话”。Gemachew 还作出安排向亚的斯亚贝巴的小组成员汇款。按照Omar的说法，是Gemachew向小组成员提供了行动中所使用的设备和炸药。“同样是Gemachew提供了最后指令和炸药”。一月初，Omar“要求Gemachew 提供更多经费……”。在一月最后一个星期，“随着时间的迫近……Omar认为有必要与Gemachew进行磋商……，电话记录显示，他们通话39次……大多是由Gemachew拨打的。”",
"报告在论述中涉及到厄立特里亚人，但都是有局限的次要角色，而且还是根据在押者令人怀疑的证词。",
"即使我们就算这种说法属实——厄立特里亚认为这种说法不属实——十分显而易见的是，所谓企图由始至终都是奥罗莫解放阵线做的事。",
"报告中存在其他重大问题。",
"报告明确指出，这一行动中针对的不是非洲联盟领导人，然后却又声称袭击目标之一是喜来登饭店，这正是大多数领导人下榻之处。",
"报告指出，经罗马尼亚政府证实，罗马尼亚向厄立特里亚出售一支狙击步枪，这支枪据说最后落入小组一名成员之手。我们将力图将此事真相提供给制裁委员会。但即使我们假定这支枪来自厄立特里亚人，这依然而不能说明步枪如何以及何时间落入埃塞俄比亚政府之手。另一方面，报告没有提供一点点证据说明，在所谓爆炸案中要使用的最重要装备炸药是由厄立特里亚提供的。",
"监察组提出的各种说法大多以奥罗莫解放阵线在阿斯马拉的联络名单为依据，但监察组随后又承认这一关键证据实际上是2009年的陈旧证据。在认识到这一证据缺乏说服力之后，小组、监察组只是试图为自己辩解，声称未透露姓名的前奥罗莫解放阵线成员“叛逃者”向监察组表示这一名单目前有效，整个小组忽略了一点，现在与埃塞俄比亚政府合作的叛逃者的证词不能视为可信证词。",
"这一情况推翻了关于所谓的斯亚贝巴行动是厄立特里亚制定、策划和指挥的说法。而且还表明，目前没有任何确凿证据说明厄立特里亚的参与，如果我们考虑到所谓主要人士的说法，甚至不能确定厄立特里亚发挥了有限的作用，那些据称拥有指挥权和控制权的人都不是厄立特里亚人。如果时间更为充裕，厄立特里亚愿意就这一耸人听闻的指控提供更确切的进一步信息，目前的指控使人想起早先监察组曾指责厄立特里亚向索马里派遣2 000名士兵，甚至还包括他们在何时以及如何抵达，还有多少人部署在何处。这是早先一份报告中的一段重头戏，当时被用来作为游说对厄立特里亚进行制裁的理由，现在却显得毫无根据。",
"索马里",
"由于所谓厄立特里亚对青年党的军事支持一直是安理会主要关注的问题，而且是根据第1907(2009)号决议进行制裁的主要原因，监察组的报告竟然证实了向青年党或索马里其他武装集团提供军事援助方面厄立特里亚并没有违反第1907(2009)号决议。报告提到了若干未知名的消息来源称厄立特里亚向Kismayo运送武器(其实埃塞俄比亚则公开作出这些指控)，但又明确表示，“无法从其他渠道证实这些报告。”",
"关于财务支持，监察组表示，已经掌握了厄立特里亚向与青年党有联系的个人付款的书面证据，还承认这些文件只涉及到1998年。监察组坚持说这种资助仍在继续，有一个消息来源称每月达到80 000美元，但却没有提出丝毫的证据。",
"苏丹",
"监察组报告承认没有可能得出结论说,厄立特里亚违反第1907(2009)号决议向破坏南苏丹稳定的集团直接提供军事援助。",
"4. 违反武器禁运",
"监察组谈到关于厄立特里亚购买武器的报导和间接证据，但就没有表示监察组掌握有比较确凿的证据。监察组还说，就厄立特里亚而言，目前没有能够确定是否有任何政府直接参与了蓄谋违反武器禁运的行动。",
"监察组报告谈到其收到的指控是厄立特里亚的一名军官参与了厄立特里亚向苏丹走私武器的行动。监察组们没有就这方面指控提出任何证据，而且无论怎样，这些指控仅涉及到了第1907(2009)号决议之前的时间。",
"5. 为违反第1907(2009)号决议的行动筹措资金",
"报告占用大量篇幅提出指控，可能有协助违反武器禁运的秘密筹资活动。报告还详细提出可能向厄立特里亚政府提供资金的来源，并特别注重谈到厄立特里亚侨民和采矿部门的贡献。令人遗憾的是，报告重复着指控(不可靠消息人士，包括带有个人目的的个别人)却没有提供任何证据来表明厄立特里亚社区成员和商界人士参与了非法活动。这些指控就是要诋毁和玷污社区人士的声誉，这些人也是驻在国的国民，这对其家人和生意都是一种诋毁。",
"这一报告也踏入法律雷区，认为厄立特里亚侨民的捐款是非法的，并且违反了维也纳公约。监察组并没有提出明确结论说违反了武器禁运，可能消息来源对于自助活动的讨论只能是一种假设。看来整个做法都是要粉饰其关于经济制裁厄立特里亚的要求。",
"厄立特里亚对监察组建议的答复",
"监察组关于对厄立特里亚进行进一步制裁的建议违反了其自身报告主体中的内容和证据。我们已经看到，厄立特里亚在索马里、吉布提和武器禁运问题上遵守了第1907(2009)号决议。我们还表明，关于厄立特里亚策划和企图制造亚的斯亚贝巴的爆炸案的指控并没有任何确凿证据。在这种情况下，公正的做法是要求立即取消对厄立特里亚的制裁，更不要说进一步制裁。公正的做法还要对埃塞俄比亚政府采取措施，因为监察组已明确指出，埃塞俄比亚“违反了对索马里的全面彻底武器禁运”。意义重大的是监察组未能就埃塞俄比亚违反安全理事会相关决议，包括第1907(2009)号决议，提出任何建议。",
"结论",
"厄立特里亚在初步意见中最后提出，要求在得到和看过监察组报告后再有一次机会提出全面和明确答复。显然不能以任何紧急情况为借口，在仅仅18个月内第二次针对厄立特里亚匆忙作出不公正和危险的决定。",
"附文",
"Statement by Brigadier General Hailu Gonfa and Colonel Gemechu Avana",
"14 September 2006",
"Until a few days ago, we were officers in the Ethiopian army sworn to protect the country’s laws and diverse people from any threats. To our deepest dismay, we have come to the conclusion that the greatest threat to Ethiopia and the people emanates not from elsewhere but from the regime on power. Over the last years, the armed forces have been systematically reduced to protecting the narrow interest of a small clique determined to cling to power at all costs. Under the circumstances the choices confronting us are: Either to remain with the same oppressive machinery or wait and see hoping against hope that things would improve on their own or through a miracle. We have waited too long; we cannot wait any longer.",
"Despite the calls by opposition groups to peacefully deal with the dire situation, EPRDF is showing no inclination whatsoever to address the country’s mounting social, economic and political problems. Instead, it is intensifying repression. Even though this repressive machinery did not spare any people in the country, the magnitude and scale of repression, harassment and intimidation committed against Oromo people has no comparison. Moreover, it is considering new military adventures in the region that would not serve the legitimate interest of all affected — and could plunge the region into chaos.",
"Throughout the years we served this regime, we serve hoping things would improve over time and expected the regime would also resolve political conflicts peacefully and truly democratize the country where political power emanates from the will of the people not from force. Now we have found this to be an empty promise. We are particularly elated the Alliance for Freedom and Democracy (AFD) has offered a hope not only to eliminate the spectre of more mayhem but also chart a better future through a process of dialogue involving all stakeholders in the search for comprehensive solutions.",
"We regret that the regime has flagrantly, and without serious consideration, rejected this offer of goodwill and continued on its path of destruction. We cannot therefore continue to defend a minority and overwhelmingly rejected regime, sadly, that is committing untold atrocities against or own people.",
"It is time for us to take side in the fight between tyranny and liberty. Accordingly, we have dissociated ourselves from TPLF/EPRDF and joined the liberation struggle of our people gripped by the claws of tyranny. We have therefore joined the Oromo Liberation Front that is a member of the Alliance for Freedom and Democracy (AFD) to realize the age-old dream of all peoples for freedom and democracy.",
"To the Ethiopian Armed Forces",
"The incumbent regime has been fooling us all by falsely extolling its commitment to freedom, democracy and speedy economic development. This commitment has been put to test over the last 15 years. The tyrannical behaviour of the regime demonstrates that this pledge runs skin deep and does not show any sign of change, which makes all our efforts and sacrifices in vain. We believe as long as the regime continues to defy the will of the people, our problems would multiply. This is why it has to be compelled to desist from its destructive path or be removed. We therefore call on you to follow our example and join the just and popular struggle.",
"To the international community",
"The minority Ethiopian regime does not have the capacity or the legitimacy to continue to rule the country. The regime, whose dismal 15 year tenure is more than enough to gauge its goodwill, needs to be pressed rather than appeased to submit to the call for dialogue. We strongly urge you to reconsider your support for it as it does not any more serve our common strategic interests."
] | [
"Letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council",
"Upon instruction from my Government I hereby attach Eritrea’s preliminary remarks on the report of the Monitoring Group on Somalia and Eritrea (S/2011/433) of 18 July 2011 (see annex). While Eritrea is in the process of preparing a comprehensive response to the report, which has been made public since 28 July 2011, I would be most grateful if the present letter and its annex could be issued as a document of the Security Council.",
"(Signed) Araya Desta Ambassador and Permanent Representative",
"Annex to the letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council",
"Preliminary remarks by Yemane Ghebreab, Political Adviser to the President of the State of Eritrea, on the report of the Monitoring Group on Somalia and Eritrea",
"New York, 22 July 2011",
"Let me take this opportunity to express my delegation’s appreciation to you as Chairman of the Security Council Committee, pursuant to resolutions 751 (1992) and 1907 (2009), and through you to the members of the Committee, for arranging the informal consultations.",
"It must be acknowledged that despite its strong reservations on the whole affair, Eritrea has fully cooperated with the Monitoring Group on Somalia and Eritrea in the discharge of its mandate.",
"The Monitoring Group visited Eritrea twice and there was also a third informal discussion held in Europe. Eritrea also responded to the Group’s written queries. Eritrea finds that the substance and tenor of the Group’s report do not reflect those discussions and is hugely disappointed. In contrast, the Monitoring Group has received a ringing endorsement from Ethiopia, which is vociferously calling for an extension of the Group’s mandate and tightening of the sanctions regime against Eritrea.",
"Eritrea is also dismayed by the fact that the contents of the report were presented by a high-level international civil servant to the Intergovernmental Authority on Development (IGAD) Summit held in Addis Ababa. The selective presentation was used inappropriately to sway the opinions of the IGAD leaders, who subsequently called for additional sanctions against Eritrea.",
"At this time, the Eritrean delegation can only register a preliminary, but factual, response since Eritrea was not given a copy of the report, despite a written formal request. The Eritrean delegation has been briefed and allowed some access to the report, but due to the limited time allotted and the inability to contact relevant authorities in Eritrea for comments and verifications on the various allegations contained in the report, the delegation is unable to give a full response.",
"Eritrea, therefore, once again requests from the Sanctions Committee a copy of the report and adequate time to present a definitive reply with supporting documents. This is only fair since Eritrea cannot be judged on the basis of a document that is not in its possession and without the opportunity to properly defend itself.",
"Eritrea’s overview of the report of the Monitoring Group on Somalia and Eritrea",
"The report can be divided into three parts: background information and analysis; main body of the report with specific accusations; and recommendations.",
"Eritrea’s overview of the report can be distilled into the following points:",
"• The background (contextual) section of the report is replete with sweeping statements about the policies, practices and institutions of the Eritrean Government as well as gross accusations that are not borne out by either the reality on the ground or the main body of the report. A casual reading of the report can easily lead to misleading perceptions and erroneous conclusions, while a careful reading reveals that the report is tall on accusations and short on tangible evidence.",
"• The accusations against Eritrea in the main body of the report generally fall into two categories: allegations that are narrated in great detail creating wrong impressions, but with the Monitoring Group on Somalia and Eritrea then admitting that the allegations are not backed by conclusive evidence; and allegations of events and actions that took place prior to 23 December 2009, the cutoff date for any determination of Eritrea’s compliance with resolution 1907 (2009).",
"• There is no conclusive evidence in the report of any Eritrean violations in regard to Somalia and Djibouti, as well as the arms embargo on Eritrea. These are highly significant as they were accusations of Eritrean wrongdoings in regard to Somalia (particularly support to Al-Shabaab) and Djibouti that were the basis for the imposition of sanctions on Eritrea. Fairness would require an acknowledgement of this fact and a decision to lift the sanctions against Eritrea.",
"• The centrepiece accusation against Eritrea, the basis for calls for additional sanctions, is the sensationalized allegation of a plot to bomb Addis Ababa during the African Union Summit in January 2011. Here it is pertinent to point out that the goalpost in accusations against Eritrea has shifted from Somalia and Djibouti to Ethiopia, which is the culprit, accuser and source of all “evidence” at the same time. Additionally, Eritrea would have no interest in disrupting a Summit of the African Union, when it had just reopened its mission in Addis Ababa and was participating in the Summit for the first time after a long absence. It would be reckless or stupid to contemplate such a hideous attack. More crucially, Eritrea can prove definitively and conclusively that it is not guilty of masterminding and directing the said plot. (We present our preliminary response to this allegation below.)",
"Eritrea’s remarks on the contextual analysis of the Monitoring Group on Somalia and Eritrea",
"Domestic Eritrean situation",
"The report lacks any sense of balance and projects an extremely negative portrait of Eritrea, which is at variance with reality. As Eritrea informed the Security Council during the informal interactive dialogue on 19 July 2011, Eritrea is focused on development, making it the country’s paramount priority.",
"Eritrea-Ethiopia relations",
"While the Monitoring Group on Somalia and Eritrea recognizes the vital relevance and crucial role of this issue in regard to Eritrea, it does not give it the consideration that it deserves.",
"It acknowledges that Ethiopia is actively working to destabilize Eritrea and mentions “Ethiopia’s support of armed opposition groups”, but it again fails to give it due weight.",
"In fact, Ethiopia has repeatedly carried out armed incursions, sabotage and other terrorist operations against Eritrea, targeting the mining sector in particular. There have been over 30 operations in the past two years alone, including one against the headquarters of a Chinese mining company. Ethiopia has also been hosting for almost 11 years now — and with audacity — an assortment of 16 subversive and terrorist “Eritrean” groups, including the Eritrean Islamic Jihad Movement, to promote its publicly pronounced agenda of destabilizing Eritrea.",
"The Monitoring Group report glosses over these facts as well as the repeated public threats made by Ethiopia on so many occasions. Indeed, Ethiopia has informed visiting Security Council members that Ethiopia’s official policy is the removal of the Eritrean Government.",
"Significant ramifications of the relationship between the two countries:",
"• Two wars: a 30-year one, which claimed the lives of 65,000 martyrs; a second one, which exacted a human toll of 20,000 lives. These human losses are huge for a small country with a small population;",
"• Ethiopia continues to occupy huge and sensitive chunks of sovereign Eritrean territories;",
"• Ethiopia has made clear its intention to take military measures to overthrow the Eritrean Government.",
"Today, Ethiopia is seeking economic sanctions and diplomatic isolation to hamstring and pre-empt Eritrea’s serious efforts to reach out and contribute to enduring regional stability and harmony.",
"Eritrea’s regional role",
"Once again the Monitoring Group on Somalia and Eritrea chooses to ignore Eritrea’s constructive regional role, including its widely acknowledged contribution to peace in the Sudan, unwittingly revealing its biases.",
"Eritrea’s preliminary reply to accusations of the Monitoring Group on Somalia and Eritrea",
"1. Support to armed groups involved in violence, destabilization and terrorism",
"The Monitoring Group begins treatment of the subject by identifying officers it considers essential in the direction and conduct of Eritrea’s external intelligence operations. It names seven persons, most of whom are officers of the defence forces, with no links to external intelligence.",
"For instance, the Monitoring Group mentions Colonel Gemachew Ayana, who is not even Eritrean. Colonel Gemachew Ayana is an Ethiopian citizen and was a member of the Ethiopian Defence Forces. He was commander of a Mechanized Division of the Ethiopian army until 2003 when he was accused, like dozens of other Oromo military officers, of clandestine involvement with the opposition Oromo Liberation Front and relieved of his post. Some three years later, he joined the Oromo Liberation Front. Given that these are easily verifiable facts, it is puzzling why the Monitoring Group claimed in its report that he is an Eritrean officer in external intelligence. As we shall see, Gemachew is accused of playing a key role in the alleged plot to bomb Addis Ababa. A statement by Colonel Gemachew is attached (see enclosure).",
"2. Training facilities",
"Eritrea’s military facilities and their locations are not a secret. Contrary to what the Monitoring Group report states, Eritrea’s National Security Agency does not undertake military training. Most importantly, much of the information contained in the report predates resolution 1907 (2009) and is therefore irrelevant.",
"3. Assistance to armed groups alleged to be in violation of resolution 1970 (2009)",
"Djibouti",
"Although the report presents two allegations of what it calls “Eritrean support of limited scale”, its sources are dubious to say the least. A former FRUD commander, detained by the Djibouti Government, can hardly be expected to be a credible source. Although the detainee claimed that Eritrea provided “food, medicines and treatment for wounded fighters”, he denied receiving any weaponry or military equipment. He said that FRUD uniforms, arms and ammunition were purchased from Yemen. This contradicts claims by Djibouti authorities that the detainee had admitted that Eritrea provided arms. In addition, this Monitoring Group allegation relates to the period prior to December 2009, as the latest claim of any Eritrean involvement was October 2009.",
"There is only one other allegation in the report, which claims that in February 2011 the Djibouti military seized 50 kgs of explosives hidden in a cave. The Monitoring Group said that the explosives were of Soviet era manufacture and that it “has been unable to trace their place of origin or chain of custody”. Since there was no allegation of any Eritrean involvement, why mention this under Eritrea’s alleged violations?",
"It is clear that there is no evidence of Eritrean violation of resolution 1907 (2009) in regard to Djibouti.",
"Ethiopia",
"As mentioned above, the centrepiece of the Monitoring Group’s (and Ethiopia’s) accusations that Eritrea is engaged in terrorist plots and acts of regional destabilization is the alleged plot to bomb Addis Ababa during the African Union Summit in January 2011. The Monitoring Group claims that “although ostensibly an OLF (Oromo Liberation Front) operation”, it was conceived, planned and directed by the Eritrean National Security Agency. It concludes that the “operation was effectively an Eritrean intelligence activity falsely flagged as an OLF initiative”.",
"The operation is described in a dramatic thriller fashion over several pages of confusing and contradictory narrative, one full of holes. If it is given the opportunity, Eritrea will present a detailed exposé that will prove conclusively that the Monitoring Group accusation of Eritrea is utterly unfounded. As to the alleged role of OLF, the organization can speak for itself.",
"In this preliminary response, Eritrea presents the following facts and pieces of evidence that underscore that the Monitoring Group’s accusations are not based on solid and conclusive evidence.",
"The source for the information and “evidence” that underpin the accusation are highly suspicious and not credible. The Monitoring Group admits that its only sources for its allegations are Ethiopian security authorities and alleged perpetrators detained by Ethiopian security. It is obvious that an Ethiopian Government that is hostile to Eritrea and actively campaigning for additional sanctions has the desire and the means to tamper with, embellish, distort, even fabricate pieces of evidence. It is also clear that any testimony by detainees in the hands of a Government that is well known for routinely resorting to torture cannot contradict the official Ethiopian Government version as this would lead to severe consequences for the detainees.",
"An additional fact that severely tests the credibility of the testimony of the detainees is their claim that the person who allegedly played the central role, Colonel Gemachew Ayana, is an official in Eritrean intelligence and not an OLF official, as we have seen above. If the informants actually played the roles ascribed to them in the narrative of the alleged plot, there is no conceivable reason why they would not know that Gemachew was in fact an OLF official. If they knew and deliberately misled the Monitoring Group (to give the benefit of the doubt to the Monitoring Group) into thinking that he was an officer in Eritrean intelligence, then they must have been coached by their handlers with the express purpose of implicating Eritrea.",
"The Monitoring Group’s claim that Eritrean officers played the central role in the plot is plain wrong and contradicted by its own narrative. To justify its premise that the attempted bombing of Addis Ababa was an Eritrean operation, the Monitoring Group states that only one OLF detainee, the “team leader Omar Idriss Mohamed appears to have been in regular contact with the OLF leadership ... All other teams members were isolated from OLF structures from the moment of recruitment and received all training and orders directly from Eritrean officers.”",
"It adds that according to Omar (the team leader) only OLF Chairman Dawud Ibsa “was aware of the existence of this special operation and its objectives, but he does not appear to have exercised any command or control over its actions”.",
"According to the narrative in the report, however, and again we are by no means lending any credence to the allegations, it is OLF officials who allegedly played the key role.",
"This is what the narrative says. Back in 2008, an OLF associate in Kenya had put the leader of team 1, Fekadu, in contact with an Eritrean Colonel named Gemachew Ayana. (As previously stated, Gemachew is in fact an OLF official and not an Eritrean.) Gemachew also approached Omar Idriss Mohamed, the overall team leader, who says that he was contacted in August/September 2009 by OLF Chairman Dawud Ibsa and informed that he would be given a secret assignment. In March 2010, Gemachew “instructed Fekadu and his team to return to Addis Ababa”. Fekadu “remained in contact with Gemachew with phone records indicating at least 27 conversations”. Gemachew also arranged for money transfers to team members in Addis Ababa. According to Omar, it was Gemachew who gave team members the equipment and explosives that would be used in the operation. Again, Gemachew “provided final instructions and explosives”. In early January, Omar “requested additional funds from Gemachew”. In the last week of January, “with time running out ... Omar felt the need to consult with Gemachew ... Phone records appear to indicate that they made contact 39 times ... mainly initiated by Gemachew.”",
"There is some mention of Eritreans in the narrative, but in a limited and secondary role, again based on suspicious testimony from detainees.",
"Even if we allow that the narrative is in fact true — and Eritrea believes it isn’t — it is abundantly clear that the alleged attempt was from start to finish an OLF effort.",
"There are other major problems with the narrative.",
"It states categorically that the operation did not target the African Union leaders, but then claims that one of the targets was the Sheraton Hotel where most of the leaders were staying.",
"The report states that a sniper rifle, which was allegedly in the possession of one member of the team, was sold to Eritrea by Romania as corroborated by the Romanian Government. We will seek to get back to the Sanctions Committee with information on the veracity of this claim. But even if we assume that it is of Eritrean source, this till does not show conclusively when and how the rifle ended up in the hands of the Ethiopian Government. On the other hand, the report does not provide any evidence at all that the essential equipment and the explosives that were going to be used in the alleged plot were sourced from Eritrea.",
"The Monitoring Group bases much of its claims on an OLF contact list in Asmara but it then admits that this key piece of evidence is an outdated one from 2006. Realizing it is on untenable grounds, it flimsily tries to justify itself by claiming that unnamed former OLF members (defectors) had told it that the list is currently valid, forgetting that the testimony of defectors, now collaborating with the Ethiopian Government, cannot be regarded as credible sources.",
"This account belies the claim that the alleged Addis Ababa operation was conceived, planned and directed by Eritrea. It also shows that there is no incontrovertible evidence of Eritrean involvement, even the limited role that remains once we take into account the alleged key actors, those who allegedly had the command and control, were non-Eritreans. If given the time, Eritrea wishes to provide crucial extra information pertaining to this sensationalized accusation, which reminds of an earlier accusation by the Monitoring Group that Eritrea had 2,000 soldiers in Somalia, with detailed information on when and how they arrived and where and in what numbers they were deployed. This showpiece of an earlier report, which proved to have been totally groundless, was used at the time to build a case for sanctions against Eritrea.",
"Somalia",
"Given that the allegations of Eritrea’s military support to Al-Shabaab has been the central concern of the Security Council and the main impetus behind the imposition of sanctions under resolution 1907 (2009), it is remarkable that the Monitoring Group report confirms that Eritrea is not in violation of resolution 1907 (2009) in regards to military support to Al-Shabaab or any armed group in Somalia. It mentions claims from unidentified sources of Eritrean arms shipments to Kismaayo (in fact, Ethiopia had publicly made those accusations), but states categorically that it “could not independently verify the reports”.",
"Regarding financial support, the Monitoring Group states that it has documentary evidence of Eritrean payments to individuals linked to Al-Shabaab, but admits that these relate only to 1998. It mentions allegations that financing continues, one source claiming to the tune of $80,000 per month, but does not present a shred of evidence.",
"Sudan",
"The report acknowledges that it is not possible to conclude that Eritrea has provided direct military assistance to groups engaged in the destabilization of South Sudan in violation of resolution 1907 (2009).",
"4. Violation of the arms embargo",
"The Monitoring Group speaks about reports and circumstantial evidence of Eritrean arms procurement, but does not claim that it has evidence beyond a reasonable doubt. It also states that it has not been able to determine whether any Government is directly involved in any deliberate violation of the arms embargo in regard to Eritrea.",
"The report mentions allegations received that an Eritrean military officer is involved in arms smuggling from Eritrea to the Sudan. It does not provide any proof of the allegations and in any case they relate to the pre-resolution 1907 (2009) period.",
"5. Financing in support of violations of resolution 1907 (2009)",
"The report devotes a lot of space to allegations that there may be covert financial activities in support of arms embargo violations. It goes into detail into what it considers are sources of revenue for the Eritrean Government, with particular emphasis to contributions from the Eritrean diaspora as well as the mining sector. It is sad that it repeats accusations (from suspicious sources, including individuals with personal agendas) without providing any evidence that insinuates that Eritrean community members and business people are involved in illegal activities. These allegations are simply defamatory and tarnish the reputations of these individuals, who are also citizens of the countries they reside in, as well as their families and businesses.",
"The report also steps on a legal minefield by suggesting that contributions by the Eritrean diaspora are illegal and violate the Vienna Conventions. Since the Monitoring Group did not conclusively establish violations of the arms embargo, the discussion of the possible source of its financing can only be hypothetical. It seems the whole exercise is meant to give a fig leaf to calls for economic sanctions to Eritrea.",
"Eritrea’s response to the recommendations of the Monitoring Group",
"The recommendations of the Monitoring Group on Somalia and Eritrea to impose additional sanctions against Eritrea fly against the content and evidence presented in the main body of its own report. As we have seen, Eritrea is in compliance with resolution 1907 (2009) in regards to Somalia, Djibouti and the arms embargo. We have also shown that the accusation that Eritrea masterminded and attempted the bombing plot on Addis Ababa is not supported by solid evidence. This being the case, fairness and justice demand that the sanctions on Eritrea be lifted immediately, not to speak of additional sanctions. Justice and fairness would also require that measures be taken against the Ethiopian Government as the Monitoring Group has stated categorically that Ethiopia is “in violation of the general and complete arms embargo” on Somalia. It is highly significant that the Monitoring Group inexplicably fails to make any recommendations in regard to Ethiopia’s violations of relevant Security Council resolutions, including 1907 (2009).",
"Conclusion",
"Eritrea concludes its preliminary submission by requesting once again the opportunity to present a comprehensive and definitive response after receiving and reviewing the report of the Monitoring Group on Somalia and Eritrea. Clearly there is no emergency that would justify a hasty, unfair and dangerous decision against Eritrea, for the second time in only 18 months.",
"Enclosure",
"Statement by Brigadier General Hailu Gonfa and Colonel Gemechu Ayana",
"14 September 2006",
"Until a few days ago, we were officers in the Ethiopian army sworn to protect the country’s laws and diverse people from any threats. To our deepest dismay, we have come to the conclusion that the greatest threat to Ethiopia and the people emanates not from elsewhere but from the regime on power. Over the last years, the armed forces have been systematically reduced to protecting the narrow interest of a small clique determined to cling to power at all costs. Under the circumstances the choices confronting us are: Either to remain with the same oppressive machinery or wait and see hoping against hope that things would improve on their own or through a miracle. We have waited too long; we cannot wait any longer.",
"Despite the calls by opposition groups to peacefully deal with the dire situation, EPRDF is showing no inclination whatsoever to address the country’s mounting social, economic and political problems. Instead, it is intensifying repression. Even though this repressive machinery did not spare any people in the country, the magnitude and scale of repression, harassment and intimidation committed against Oromo people has no comparison. Moreover, it is considering new military adventures in the region that would not serve the legitimate interest of all affected — and could plunge the region into chaos.",
"Throughout the years we served this regime, we serve hoping things would improve over time and expected the regime would also resolve political conflicts peacefully and truly democratize the country where political power emanates from the will of the people not from force. Now we have found this to be an empty promise. We are particularly elated that the Alliance for Freedom and Democracy (AFD) has offered a hope not only to eliminate the spectre of more mayhem but also chart a better future through a process of dialogue involving all stakeholders in the search for comprehensive solutions.",
"We regret that the regime has flagrantly, and without serious consideration, rejected this offer of goodwill and continued on its path of destruction. We cannot therefore continue to defend a minority and overwhelmingly rejected regime, sadly, that is committing untold atrocities against our own people.",
"It is time for us to take side in the fight between tyranny and liberty. Accordingly, we have dissociated ourselves from TPLF/EPRDF and joined the liberation struggle of our people gripped by the claws of tyranny. We have therefore joined the Oromo Liberation Front that is a member of the Alliance for Freedom and Democracy (AFD) to realize the age-old dream of all peoples for freedom and democracy.",
"To the Ethiopian Armed Forces",
"The incumbent regime has been fooling us all by falsely extolling its commitment to freedom, democracy and speedy economic development. This commitment has been put to test over the last 15 years. The tyrannical behaviour of the regime demonstrates that this pledge runs skin deep and does not show any sign of change, which makes all our efforts and sacrifices in vain. We believe as long as the regime continues to defy the will of the people, our problems would multiply. That is why it has to be compelled to desist from its destructive path or be removed. We therefore call on you to follow our example and join the just and popular struggle.",
"To the international community",
"The minority Ethiopian regime does not have the capacity or the legitimacy to continue to rule the country. The regime, whose dismal 15-year tenure is more than enough to gauge its goodwill, needs to be pressed rather than appeased to submit to the call for dialogue. We strongly urge you to reconsider your support for it as it does not any more serve our common strategic interests."
] | S_2011_494 | [
"Letter dated 4 August 2011 from the Permanent Representative of Eritrea to the United Nations addressed to the President of the Security Council",
"On instructions from my Government, I have the honour to enclose herewith Eritrea ' s preliminary observations on the report of the Monitoring Group on Somalia and Eritrea dated 18 July 2011 (S/2011/433) (see annex). I should be grateful if you would have this letter and its annex circulated as a document of the Security Council.",
"Ambassador and Permanent Representative",
"(Signed) Araya Desta Ambassador Permanent Representative",
"Permanent Representative",
"Preliminary observations by Mr. Yemane Ghebreab, Political Adviser to the President of the State of Eritrea, on the report of the Monitoring Group on Somalia and Eritrea",
"New York, 22 July 2011",
"I would like to take this opportunity to express my delegation ' s gratitude to you for arranging informal consultations as Chair of the Security Council Committee pursuant to resolutions 751 (1992) and 1907 (2009).",
"It must be acknowledged that, despite Eritrea ' s strong reservations on the matter as a whole, the Monitoring Group on Somalia and Eritrea has fully cooperated in the discharge of its mandate.",
"The Monitoring Group travelled to Eritrea twice and held a third informal discussion in Europe. Eritrea also responded to written queries from the Monitoring Group. Eritrea believes that the substance and tone of the Monitoring Group report do not reflect these discussions and is very disappointed. In contrast, Ethiopia commends the Monitoring Group, which is struggling to request an extension of its mandate and to strengthen sanctions against Eritrea.",
"Eritrea is also disturbed that the report of the Monitoring Group was submitted by a high-level international civil servant to the IGAD summit in Addis Ababa. It is inappropriate to resort to selective submissions in order to influence the views of the IGAD leadership that further sanctions against Eritrea were subsequently introduced.",
"Since Eritrea has not been able to obtain a copy of the Monitoring Group's report, following a formal written request, the Eritrean delegation can only provide an initial and realistic response at this point in time. The delegation of Eritrea was presented with information on the report, as well as parts of the report, but was not in a position to provide a full response at this time owing to time constraints and lack of access to the relevant Eritrean authorities to comment on and substantiate allegations contained in the Monitoring Group report.",
"Eritrea therefore reiterates its request to the sanctions Committee to provide a copy of the report and to allow sufficient time for Eritrea to provide a definitive response on the basis of the supporting documentation. That would be fair and reasonable, because it could not be based on a document that Eritrea had not received and had no opportunity to clarify for itself.",
"Eritrea ' s general observations on the report of the Monitoring Group on Somalia",
"This report can be divided into three parts: background information and analysis; the main body of the report, which contains specific allegations; and recommendations.",
"Eritrea ' s general observations on the Monitoring Group report can be divided into the following points:",
"• The background section of the report is full of general statements on the policies, practices and mechanisms of the Government of Eritrea, as well as arbitrary allegations that are not consistent with the actual situation and the subject matter of the report. A rough review of the report would easily give the wrong impressions and conclusions and, after careful reading, would reveal that the report contained many allegations without a solid basis.",
"• The allegations concerning Eritrea contained in the main body of the report are broadly divided into two categories: a detailed description of the allegations giving the wrong impression, although the Monitoring Group on Somalia subsequently admitted that there was no conclusive evidence of these allegations; and allegations of incidents and actions that occurred prior to 23 December 2009, which constituted a deadline to determine Eritrea's compliance with resolution 1907 (2009).",
"• There is no conclusive evidence in the report that Eritrea has committed any violations against Somalia and Djibouti, as has the arms embargo against Eritrea. These points are of great significance, as the wrongs of Eritrea with regard to Somalia, in particular its support for Al-Shabaab, and Djibouti are the basis for sanctions against Eritrea. It is fair to recognize that fact and to decide to lift the sanctions against Eritrea.",
"• The biggest allegation against Eritrea, that is, the call for further sanctions, was based on the sensational allegations of bombings in Addis Ababa during the January 2011 African Federal Summit. It should be noted here that the rules of accusation against Eritrea have been transferred from Somalia and Djibouti to Ethiopia, which is precisely the culprit, the accuser and the source of all “evidence”. Moreover, Eritrea, which had just re-established its mission in Addis Ababa and had participated in the summit for the first time after a long absence, had no reason to undermine the summit of the African Union. Moreover, it would be unreasonable and confusing for Eritrea to consider such a vicious attack. More importantly, Eritrea can clearly and convincingly state that it has not been involved in the planning and commanding of such a conspiracy (a preliminary response to this allegation is set out below).",
"Eritrea ' s observations on the background analysis of the Monitoring Group on Somalia",
"Internal situation in Eritrea",
"The report lacks a balanced vision and presents an extremely negative description of Eritrea that is not in keeping with the facts. As Eritrea stated to the Security Council during the informal interactive dialogue on 19 July 2011, Eritrea is committed to development and has made it its top priority.",
"Relations between Eritrea and Ethiopia",
"While the Monitoring Group recognizes that this issue is also of great importance to Eritrea and plays a crucial role, it has failed to pay due attention.",
"The Monitoring Group acknowledges Ethiopia's positive efforts to destabilize Eritrea and refers to “Eritrea's support for anti-Government armed groups”, but once again fails to give it sufficient attention.",
"In fact, Ethiopia has repeatedly carried out armed incursions, destruction and other terrorist acts against Eritrea, especially against the targets of the extractive industry. Over 30 operations have taken place in the past two years, including one against the headquarters of a Chinese mining company. Ethiopia has also hosted, over a period of nearly 11 years, a wide variety of 16 “Eritrea” subversive terrorist groups, including the Eritrean Islamic Jihad Movement, with the aim of achieving its will to disrupt Eritrea.",
"The report of the Monitoring Group ignores the above-mentioned facts and Ethiopia ' s repeated public threats. Indeed, Ethiopia stated to the members of the Security Council who had gone to visit it that Ethiopia ' s official policy was to overthrow the Government of Eritrea.",
"The major results of the relations between the two countries are:",
"• Two wars: the first 30-year war resulted in 65,000 deaths; the second war killed 20,000. This loss of life can be a terrible loss for a small, small country;",
"• Ethiopia continues to occupy several large and sensitive sovereign Eritrean territories;",
"• Ethiopia has also made clear its intention to take military measures to overthrow the Government of Eritrea.",
"Today, Ethiopia is seeking to disrupt and undermine Eritrea ' s enormous efforts to reach out to the outside world and to promote lasting stability and harmony in the region through economic sanctions and diplomatic isolation.",
"Regional role of Eritrea",
"Once again, the Monitoring Group chose to ignore Eritrea ' s constructive regional role, including its widely recognized contribution to its policy on peace in the Sudan, unwittingly displaying its bias.",
"Eritrea ' s preliminary response to allegations made by the Monitoring Group on Somalia",
"1. Support for armed groups involved in violence, subversion and terrorism",
"The Monitoring Group has just begun to address this issue by identifying officers whom it believes play a key role in directing and conducting Eritrea ' s foreign intelligence operations. The Monitoring Group named seven individuals, most of whom were officers of the armed forces and had no connection with external intelligence services.",
"For example, the Monitoring Group referred to Colonel Gemachew Ayana, who was not even Eritrean. Colonel Gemachew Ayana is an Ethiopian citizen and a former member of the Ethiopian armed forces. He had been the commander of a mechanized division of the Ethiopian army, while in 2003 he was accused of secretly participating in and being dismissed from the Oromo Liberation Front, along with dozens of other Oromo Liberation Front officers. About three years later, he joined the Oromo Liberation Front. Given that these are very easy facts to verify, it is also surprising why the Monitoring Group continues to claim in its report that this individual is an Eritrean officer in the field of external intelligence. As we can see, Gemachew was accused of playing a key role in the so-called bombing plot in Addis Ababa. A statement by Colonel Gemachew is attached (see enclosure).",
"2. Training facilities",
"Eritrea ' s military installations and their locations are not secret. Contrary to the Monitoring Group report, the National Security Agency of Eritrea did not conduct any military training. It is important that most of the information contained in the Monitoring Group ' s report predates resolution 1907 (2009) and is therefore irrelevant.",
"3. Alleged assistance to armed groups in violation of resolution 1907 (2009)",
"Djibouti",
"Although the report contains two allegations of so-called “limited Eritrean support”, its sources are at least questionable. It is difficult to imagine a “former commander of the Front pour la démocratie unifié” held by the Government of Djibouti as a credible source of information. Although the individual claims that Eritrea “provides food, medicine and medical treatment to wounded soldiers”, he denies having received any weapons or military equipment. He said that FRUD had purchased uniforms, weapons and ammunition from Yemen. This claim is different from the Djiboutian authorities ' claim that this person admitted that Eritrea had supplied weapons. In addition, this allegation by the Monitoring Group relates to the period prior to December 2009, while the latest version of Eritrean involvement is in October 2009.",
"Only one other allegation was made in the report, alleging that in February 2011 Djibouti military seized 50 kilograms of hidden explosives in a cave. According to the Monitoring Group, these explosives are Soviet-era products and “can no longer trace their origin and chain of custody”. Since there are no allegations of Eritrean involvement, why are they included in the chapter on Eritrean violations?",
"There is clearly no evidence that Eritrea has violated resolution 1907 (2009) against Djibouti.",
"Ethiopia",
"At the heart of the Monitoring Group ' s (and Ethiopia ' s) terrorist conspiracy against Eritrea and its destabilization of the region, as noted above, was the alleged bombing plot in Addis Ababa during the African Union summit in January 2011. The Monitoring Group claims that “although this appears to be an Oromo Liberation Front operation”, there is indeed an Eritrean National Security Agency concept, plan and command. The Monitoring Group concluded that “the operation was in fact an Eritrean intelligence operation, but was mistakenly crowned as an Oromo Liberation Front initiative”.",
"The description of the operation was vivid, with several pages of paper spilled over, obfuscated, contradictory and porous. If given the opportunity, Eritrea will present a detailed statement that will prove to be totally unfounded the Monitoring Group ' s allegations against Eritrea. As for the role played by the Oromo Liberation Front, the organization itself could clarify.",
"In this preliminary response, Eritrea submits the following facts and evidence to demonstrate that the Monitoring Group ' s allegations are not based on conclusive evidence.",
"The sources and the “basis” behind the allegations are questionable and not credible. The Monitoring Group on Somalia acknowledges that its only sources are alleged perpetrators detained by Ethiopian security services and Ethiopian security personnel. It is clear that the Ethiopian Government, which is hostile to Eritrea and actively promotes further sanctions, has the will and means to manipulate, disguise, distort and even fabricate evidence. It is also clear that, for a Government that is known to have resorted to torture, the testimony of any person detained in his or her hands will not contradict the official version of the Ethiopian Government, as this would have serious consequences for the detainee.",
"Another fact raises serious questions about the testimony of the detainees, who claimed that Colonel Gemachew Ayana, who played a central role, was an Eritrean intelligence officer, not an Oromo Liberation Front official, as described above. If the informants had played the role they described in the so-called conspiracy, they would have known that Gemachew was in fact an Oromo Liberation Front official. If they knowingly misled (in the absence of sufficient evidence and trusting the Monitoring Group) that the Monitoring Group believed that it was an Eritrean intelligence officer, those persons must have been led by their captors with the clear intention of discrediting Eritrea.",
"The Monitoring Group ' s claim that Eritrean officials played an important role in the bombing is clearly false and contradicts its own claim. In support of its assertion that the Addis Ababa bombing plan was an Eritrean operation, the Monitoring Group on Somalia stated that there was only one Oromo Liberation Front detainee “it appears that Omar Idris Mahamed, the leader of the Oromo Liberation Front, maintained regular contact with the Oromo Liberation Front leadership ... while other Panel members were not linked to the Oromo Liberation Front organizational structure from the time of recruitment and were directly trained and directed by Eritrean officials”.",
"The Monitoring Group added that, according to Omar (the Panel leader), “only the Chairman of the Oromo Liberation Front, Dawud Ibsa, is aware of the existence of the operation and its objectives, but does not appear to command or control it”.",
"However, according to the report, there is still no way to believe that the officials of the Oromo Liberation Front played an important role.",
"That is what the report says. As early as 2008, an Oromo Liberation Front associate in Kenya introduced Team 1 leader Fekadu to contact Colonel Gemachew Ayana of Eritrea. (As previously mentioned, Gemachew is in fact an Oromo Liberation Front official, not an Eritrean. Gemachew Ayana also contacted Omar Idris Mahamed, the leader of the entire group, who said that “the Chairman of the Oromo Liberation Front contacted him in August-September 2009 and that he would be given a secret mission. In March 2010, Gemachew instructed Fekadu and his team to return to Addis Ababa”. Fekada “has been in contact with Gemachew Ayana and telephone records indicate at least 27 calls”. Gemachew also made arrangements for remittances to Panel members in Addis Ababa. According to Omar, Gemachew provided the Panel members with the equipment and explosives used in the operation. “It was also Gemachew who provided final instructions and explosives”. In early January, Omar “requested Gemachew to provide additional funds ...”. During the last week of January, “As time approached Omar deemed it necessary to consult Gemachew ... The telephone records show that they spoke 39 times ... Mostly by Gemachew.”",
"The report covers Eritreans, but it is limited in its secondary role and is based on questionable testimony from detainees.",
"Even if we were to say so — and Eritrea does not think so — It is quite obvious that the so-called attempts have been carried out by the Oromo Liberation Front throughout.",
"There are other significant issues in the report.",
"The report made it clear that the operation was not aimed at the leaders of the African Union and then claimed that one of the targets of the attack was the Sheraton Hotel, where most leaders were staying.",
"The report states that, as confirmed by the Government of Romania, Romania sold a sniper rifle to Eritrea, which reportedly ended up in the hands of a member of the Panel. We will try to make this matter available to the sanctions committees. But even if we assume that the gun came from the Eritreans, that does not explain how and when the rifle fell into the hands of the Ethiopian Government. On the other hand, the report does not provide any evidence that the most important equipment to be used in the so-called bombing was supplied by Eritrea.",
"Much of the Monitoring Group ' s statements are based on the Oromo Liberation Front ' s contact list in Asmara, but the Monitoring Group subsequently admitted that this key evidence was in fact obsolete in 2009. Recognizing that this evidence is not persuasive, the Panel, the Monitoring Group, is merely trying to justify itself by claiming that the unnamed “renegade” of former members of the Oromo Liberation Front (OLF) have indicated to the Monitoring Group that the list is currently valid and that the Panel as a whole has overlooked that the testimony of defectors who now cooperate with the Government of Ethiopia cannot be regarded as credible testimony.",
"This contradicts the assertion that the so-called operation Syababa was designed, planned and directed by Eritrea. It also shows that there is currently no conclusive evidence of Eritrea's involvement, and if we take into account what the so-called leading figures say, it is not even certain that Eritrea has played a limited role, and those who allegedly have command and control are not Eritreans. If more time is available, Eritrea would like to provide more precise further information on this sensational allegation, which reminds us of earlier allegations by the Monitoring Group that Eritrea has sent 2,000 soldiers to Somalia, including even when and how they arrived, and how many people are deployed. This was the crux of an earlier report, which was used as a reason to lobby for sanctions against Eritrea and is now unfounded.",
"Somalia",
"Since the so-called Eritrean military support for Al-Shabaab has been a major concern of the Council and is the main reason for the sanctions imposed under resolution 1907 (2009), the Monitoring Group report should have confirmed that Eritrea has not violated resolution 1907 (2009) with regard to military assistance to Al-Shabaab or other armed groups in Somalia. The report refers to a number of unknown sources that claim that Eritrea has delivered weapons to Kismaayo (in fact Ethiopia has publicly made these allegations), but makes it clear that “the reports cannot be corroborated from other sources”.",
"With regard to financial support, the Monitoring Group states that it has documentary evidence of payments by Eritrea to individuals associated with Al-Shabaab and acknowledges that these documents relate only to 1998. The Monitoring Group maintains that such funding continues, with one source claiming to amount to $80,000 per month without providing any evidence.",
"Sudan",
"The Monitoring Group report acknowledges that it is impossible to conclude that Eritrea has provided direct military assistance to groups destabilizing South Sudan in violation of resolution 1907 (2009).",
"Violations of the arms embargo",
"The Monitoring Group spoke of reports and circumstantial evidence of arms purchases by Eritrea, but did not indicate that the Monitoring Group had more conclusive evidence. The Monitoring Group added that, in the case of Eritrea, it had not been possible to determine whether any Government had been directly involved in the attempted violations of the arms embargo.",
"The Monitoring Group report refers to allegations it has received of the involvement of an Eritrean military officer in an Eritrean arms smuggling operation into the Sudan. The Monitoring Group has not produced any evidence in this regard and, in any event, these allegations relate only to the period prior to resolution 1907 (2009).",
"5. Financing of violations of resolution 1907 (2009)",
"The report is heavily spaced to make allegations that there may be covert fund-raising activities to assist arms embargo violations. The report also details possible sources of funding to the Government of Eritrea, with particular attention to the contribution of the Eritrean diaspora and the mining sector. Unfortunately, the report repeats allegations (unreliable sources, including individuals with personal aims) that no evidence has been provided to suggest that members of the Eritrean community and the business community are involved in illegal activities. These allegations are aimed at denigrating and tarnishing the reputation of members of the community who are also nationals of the host country, which is a form of defamation of their families and businesses.",
"The report also entered the legal minefield and found that the contributions of Eritrean nationals were illegal and contrary to the Vienna Convention. The Monitoring Group has not come to a clear conclusion that the arms embargo has been violated, and it is possible that the discussion of self-help activities by sources can only be hypothetical. It seems that the whole approach is to embellish its demands for economic sanctions against Eritrea.",
"Eritrea ' s response to the Monitoring Group ' s recommendations",
"The Monitoring Group ' s recommendations for further sanctions against Eritrea violate the content and evidence of its own reporting body. We have seen Eritrea comply with resolution 1907 (2009) on Somalia, Djibouti and the arms embargo. We have also made it clear that there is no conclusive evidence of the allegations that Eritrea planned and attempted to create the bombing in Addis Ababa. In these circumstances, it is fair to call for the immediate lifting of the sanctions imposed on Eritrea, let alone further sanctions. A just approach would also entail measures against the Ethiopian Government, as the Monitoring Group has made clear that Ethiopia is “in violation of the general and complete arms embargo on Somalia”. Significantly, the Monitoring Group was unable to make any recommendations regarding Ethiopia ' s violations of relevant Security Council resolutions, including resolution 1907 (2009).",
"Conclusions",
"In its preliminary observations, Eritrea concluded by requesting an opportunity to provide a comprehensive and clear response once the Monitoring Group report is available and has been read. It is clear that no exigency can be invoked as a pretext for taking a hasty and dangerous decision against Eritrea for the second time in just 18 months.",
"Enclosure",
"State by Brigadier General Hailu Gonfa and Colonel Gemechu Avana",
"14 Sepember 2006",
"We were in office a few days ago, and we have come to the conclution of the country from any country, to the greatest number to Ethropia and the people not from elsewhere but from the first time, the last years, the early years of the country, and instead of being able to do so, we'd be able to do so.",
"Even though this response may not have any chance of any people in the country, the Republic and the Republic of Korea would not be responsible for any of the consequences of terrorism.",
"Through the years we served this regime, we served doing things over time and excepted the registrable laws would also deliver and develop laws from the country where people power will be of the people not from Force.",
"We regent that the regime has fairly, and without serious consideration, subjected this offer of goodwill and continued on its path of translation.",
"It is time for us to take side in the fight between Tyranny and Liberty.",
"To the Egyptian Armed Forces",
"This decision has been taken over the last 15 years. The third time that this programme runs around the world, and does not show any sign of change, which makes all our economies and just makes sense in life.",
"To the international community",
"The community of Egyptians does not have the capacity or the capacity to contribute to the country."
] |
[
"第六十六届会议",
"临时议程[1] 项目69(b)",
"促进和保护人权：人权问题,包括增进 人权和基本自由切实享受的各种途径",
"适足住房权利",
"秘书长的说明",
"秘书长谨向大会转呈适足生活水准权所含适足住房问题和在这方面不受歧视权问题特别报告员拉克尔·罗尔尼克女士根据人权理事会第15/8号决议第2(h)段提交的报告。",
"适足生活水准权所含适足住房问题特别报告员的报告",
"摘要",
"本报告着重论述在灾后环境下实现适足住房权。本报告评价人权标准 和准则，这些标准和准则与一种以适足住房权为根据的救灾方法有关；并讨论现有的某些局限因素。本报告详细阐述在救灾活动中保障和实现适足住房权的关键挑战：不关注或者歧视脆弱和弱势群体；过分强调个人财产权，以及与在财产归还和恢复计划中平等地承认和解决错综复杂的土地权形式有关的困难；将灾后重建主要作为让少数人受益的商业或者开发计划的风险；以及现有重建和恢复框架的局限之处。本报告最后扼要介绍了一种救灾方法的基本情况，这种方法有针对性地全面纳入了适足住房权。",
"目录",
"页 次",
"一、导言 4",
"二、对应对自然灾害的法律和政策框架的评估 4",
"三、歧视和脆弱性：灾害的影响及救灾措施中的复合因素 6",
"A. 受灾害影响最严重的弱势群体 7",
"B. 灾害所暴露出来的忽视和歧视现象 8",
"C. 忽视或者歧视最脆弱群体的恢复对策 8",
"四、一视同仁地承认和保护各种形式的土地权，从归还到持久解决方案 10",
"A. 全面看待住房和财产归还问题 11",
"B. 为实施持久解决方案而承认实际存在的土地权利 13",
"五、灾害成为机会——谁的机会？ 15",
"A. 从沿海地带和城市重新开发到重建工作外包 15",
"B. 尽职尽责地保障适足住房权 17",
"六、恢复与持久解决方案：解决适足住房权的方方面面 18",
"A. 对住房和财产的不当关注 18",
"B. 解决救济和恢复努力中更广泛的问题 19",
"C. 应急阶段与长期恢复之间缺乏联系 20",
"七、结论 21",
"八、建议 21",
"A. 一般框架：以适足住房权为根据的救灾工作 22",
"B. 后续行动建议 24",
"一、导言",
"1. 本报告着重论述在灾后环境下实现适足住房权。应当结合提交给人权理事会的报告(A/HRC/16/42)阅读本报告，其中，特别报告员探讨了冲突后环境与灾后环境共同面临的问题。",
"2. 尽管冲突后环境与灾后环境存在许多共同之处，但是灾后环境面临着某些挑战，需要采取不同的对策。考虑到世界范围内灾害的发生越来越普遍，产生了前所未有的破坏性后果，[2] 这种趋势有可能随着气候变化、快速城市化和人口增长而持续下去，与冲突后环境相比，能够解决灾后适足住房权问题的经验和准则相对较少，因此特别报告员决定关注灾害问题。[3] 特别报告员还借机对海地进行了视察(2011年6月8日至11日)，以评价2010年1月地震之后的重建和救济工作，这次视察活动极大地充实了她对本报告的见解，突出了关注灾害问题的必要性。[4]",
"3. 在适足住房权方面进行灾后重建和恢复工作，这种方法具有重大意义。特别报告员担心，到目前为止，除了若干明显的例外情况，救灾和恢复工作仍然以狭隘的眼光看待适足住房权的内容，在某些情况下导致这项权利受到侵犯。本报告的第一部分评估相关的准则。第二至五部分详细阐述重大挑战。本报告最后扼要介绍了一种救灾方法的基本情况，这种方法有针对性地全面纳入了适足住房权，本报告还提出了采取后续措施的建议。",
"二、对应对自然灾害的法律和政策框架的评估",
"4. 尽管存在一些确保灾后环境下适足住房权的标准和准则，但是对这些标准和准则的理解和运用往往是不全面的。[5] 就像下文将要讨论的那样，还有其他更具体的限制因素。",
"5. 《经济、社会、文化权利国际公约》(第11条)极其明确地确认适足住房权。经济、社会和文化权利委员会强调对这项权利作广义解释的重要性，确定了各国必须逐步实现适足住房权的七个方面：保有权保障；服务、物资、设施和基础设施的提供；价格适中；适宜居住；进出方便；地点以及适当的文化环境。[6] 这七个方面以及源于适足住房权的应对驱逐和重新安置问题的保障措施[7] 与救灾存在联系，也是参与、不歧视和平等的人权原则的体现。[8]",
"6. 但是，应对灾情的现有指导原则对适足住房权不够重视。提到适足住房权的时候，这项权利局限于提供庇护所、住房或者提供保护的需要。[9] 更加全面地探讨适足住房权问题的努力为数不多，这些努力停留在各个组织的指导意见层面，没有采用普遍适用的权威政策形式。[10] 联合国人权机制——除了若干明显的例外情形——同样没有着手解决灾情的特殊问题及其对享受适足住房权或者其他人权的影响，仍然是笼统的机制。[11]",
"7. 大多数从人权角度着眼处理灾害问题的措施反而关注特定群体，尤其是国内流离失所者和难民。《国内流离失所问题指导原则》在这方面非常重要，已被公认为是在冲突后和灾后环境下保护国内流离失所者的一个重要国际框架。[12] 尽管起初注意力集中于保护冲突和冲突后局面下国内流离失所者，近些年来也制定了应对自然灾害的政策和行动准则，其适用范围扩大到所有遭受灾害影响的人，包括但不限于国内流离失所者。在这方面，《机构间常设委员会关于在发生自然灾害时保护人员的行动准则》(《机构间常委会准则》)是一份重要文件。[13] 这些准则和上述指导原则承认由于冲突或者灾害而流离失所者有权享受持久解决方法，即返回他们的家园或常住地(而且，作为持久回归的关键条件，应当向流离失所者归还住房或者土地)、异地安置或者融入当地社会。[14]",
"8. 《2005年归还难民和流离失所者住房和财产原则》[15] (《皮涅罗原则》)进一步承认难民和流离失所者可享有单独的“得到复原的权利”(涵盖住房、土地及/或其他财产)。[16] 一个重要的问题是《皮涅罗原则》是否适用于灾后情形。这个问题的意图似乎是《皮涅罗原则》应当适用，而第1.2项原则所蕴含的中心思想是不论由于何种原因而流离失所，流离失所者的处境是类似的，他们有权返回常驻地，因而有权得到复原。有人以此为根据将《皮涅罗原则》解释为适用于所有自然灾害情形。[17] 但是，其他人指出《皮涅罗原则》明确限于“肆意或非法剥夺”流离失所者从前的家园、土地或者常驻地。[18]",
"9. 这并不意味着《皮涅罗原则》与自然灾害情形无关。首先，灾害发生后，实际出现肆意或非法剥夺或毁坏住房或者土地的事件时，包括可以说是剥夺流离失所者享有返回家园的权利(见下文第四部分)，以及发生国家在防灾、减灾或者预警系统方面无故有过失的事件时，《皮涅罗原则》是完全适用的。[19] 第二，《皮涅罗原则》指明了与流离失所者和难民返回家园的权利有关的现有准则，就如何最好地处理与住房、土地和财产归还有关的技术和法律问题提供了相关指导意见，这些指导意见在此后的政策和实践中均有不同程度的体现。",
"10. 因此，充分考虑适足住房权的救灾方法将会综合上述各种准则和原则，适足住房权的各种要素成为这种方法的核心。本报告最后一节建议将上述准则纳入一个统一的概念性行动框架之内。",
"三、歧视和脆弱性：灾害的影响及救灾措施中的复合因素",
"11. 人们普遍认为，脆弱性是减少和管理灾害风险的一个重要因素。[20] 最脆弱的群体，如贫困群体或者土地权没有保障的群体，更有可能居住在容易发生灾害的地方；倘若发生灾害，他们还面临着流离失所和丧失生计的更大危险；要从灾害的影响下恢复原状，他们将会遭遇更大的困难。",
"12. 在许多时候，直接或间接的歧视现象加剧了脆弱性，从而影响到个人和群体免遭灾害影响和从灾害影响下恢复的能力。歧视现象与灾害和救灾的关系也许不是一目了然的。实际上，“自然灾害”这个用语可以被看作排除责任，这又意味着不可能存在歧视。然而，人们确信，对于自然危险造成的损失，其影响之大，分布之广，在很大程度上是人为的(见A/60/227)。备灾、减灾和救灾全都受制于或者取决于国家的作为或者不作为，因此可能具有歧视性。",
"13. 平等和不歧视原则是国际人权法的坚定原则。对不歧视和平等的关注要求各国政府和援助组织格外关注灾害发生之前的脆弱性和不平等现象；在灾害发生之后，各国政府和援助组织应当着手解决各种不平等现象，保护最脆弱的群体。联合国条约机构已经指出，即便在严峻的资源匮乏时期——就像灾害发生以后往往出现的情形——各国仍然担负着保护社会脆弱成员的特定义务。[21] 各国还应当采取特别措施，以确保弱势群体能够充分和平等地享有人权。[22] 在灾后情形下，这类措施可能转化成支助最脆弱群体回归家园或者为没有土地或者无家可归的家庭找到土地/住房的特殊援助。",
"A. 受灾害影响最严重的弱势群体",
"14. 2005年，卡特里娜飓风袭击新奥尔良市，非裔美国人和穷人(这两类人的区别在很大程度上是模糊不清的[23])首当其冲，这是因为他们中的大多数人通常居住在这座城市地势低洼、更容易发生洪灾的区域。此外，都市地带的大量居民(他们普遍贫困)缺乏摆脱洪灾的办法。[24] 因此，卡特里娜飓风的特定影响和代价与先前存在的社会、经济和土地利用模式密不可分，与住房和城市规划政策有直接关系。",
"15. 在洪都拉斯，1998年的米奇飓风发生之后，遭受风灾严重影响的群体包括贫困妇女、农民和土著群体，他们当中的许多人生活在土地权利没有保障和容易发生强风、洪水和滑坡的脆弱地区(见A/HRC/16/42，第32段)。在哥伦比亚，从2010年持续到2011年的洪灾据说已经严重影响到由于冲突而流离失所的人，特别是土著人和非裔哥伦比亚人——他们往往居住在容易遭受武装团体暴力侵袭的偏远地带。[25]",
"16. 2010年的巴基斯坦洪灾发生后，贫穷和弱势的群体由于没有资产或者福利保障，在这场灾害中首当其冲。那些由于洪水而流离失所并且丧失财产和生计的人大多是居住不固定/半永久性住房内的无地租户和劳工。[26]",
"B. 灾害所暴露出来的忽视和歧视现象",
"17. 海地地震加剧和暴露了一个到目前为止相对不为人知的问题，那就是大多数太子港居民所居住的非正规房屋的状况很差。[27] 这些房屋与其他地方的许多其他房屋一样，都是自发修建的，从未得到当局的正式承认。这些房屋没有或者几乎没有基本的基础设施和服务。由于发生地震，许多居民迁入帐篷，他们这样做或者是由于他们居住的房屋或者社区已经被毁或者损坏，或者是为了能够得到食物或者医疗援助，参与“以现金支付工资”方案，节省房租(对于租户而言)或者有望得到住房。",
"18. 地震发生之后十六个月，仍有634 000人居住在1 000多顶帐篷内。观察人士指出，与2010年相比，居住在帐篷内的人数下降更慢，这表明人们无法迁徙到其他地方或者人们已经决定不论在帐篷内生活的境况多么危险，这种生活仍然胜过在出生地的境况。[28] 海地地震因此突出了根深蒂固的歧视和忽视的情形。其他地方的灾害也产生了类似的影响。[29]",
"C. 忽视或者歧视最脆弱群体的恢复对策",
"19. 恢复工作由于忽视或者直接歧视某些群体，可能使某些先前存在的脆弱和弱势形式长期存在下去，甚至加重这种形式。妇女常常遭遇这种情况。2004年印度洋海啸发生之后，有报道称国际社会的应对措施在许多情况下巩固了“那些更富裕者和/或更加能言善辩者的地位……那些没有多少资产的人，尤其是妇女，反而被边缘化了。”[30] 比方说，救济工作和政策导致妇女无法获得生计援助，有时直接损害了妇女先前享有的权利，例如她们在母系社区内享有的获得住房或者土地的权利。[31] 妇女的土地权恰好又没有保障——她们通常处于这种境地，因为她们能否获得住房和土地常常取决于与男子的关系，或者由于她们作为家庭的唯一家长，面临着更大的困难，因此她们的处境格外脆弱。[32]",
"20. 根据救灾工作是解决经过正式登记的个别财产所有人的境遇，还是解决所有拥有其他类型土地权安排的人的境遇，救灾工作的差别似乎很大。已经指出，在大多数住房重建方案中，土地权文书和法定权利证明是成为方案受益人的先决条件，结果是最贫困和最脆弱的群体，包括在非正规房屋内居住，只有临时或者非正式土地权的人被排斥在外。[33] 在一些国家，流离失所的租户和擅自占地者往往发现自己无缘享受旨在替换房主资产的永久住房计划。[34]",
"21. 灾后需求评估中也发现了类似的局限之处。尽管可以讨论土地权和土地所有权的条件并且承认这些条件具有原则性的重要意义，但是在具体的政策、策略和各部门实际优先办理的事务中，这些条件并非总是得到落实。例如，国际金融机构和巴基斯坦政府在洪灾之后进行的灾后需求评估中，所提出的住房和重建战略没有谈及土地所有权或者土地权问题，只是关注住房重建的技术和费用。此外，其他部门优先制定的与土地有关的政策，例如农业政策，据称使土地所有者受 惠。[35]",
"22. 多种脆弱性和歧视因素往往交互作用，相互产生影响。在卡特里娜飓风之后，普遍发现美国联邦政府和州政府的救灾措施不能支助低收入租户(主要是非裔美国人)，而且不能解决妨碍他们获得廉价住房的种种障碍。[36] 尽管制定了一项联邦住房券计划，但是实际上持有租金券的家庭难以找到出租房。原因是公共房屋和出租房屋短缺(不仅由于风灾受损而且由于后来作出的大规模削减公共房屋的决定)、房租上涨、土地所有者的歧视[37]、出租房屋建设缓慢以及墨西哥湾沿岸各州决定大部分联邦资金用于修缮房主的房屋而不是修缮出租住房。[38] 由于可供选择的出租房屋非常有限，相当数量的家庭事实上被禁止返回他们的城市和从前的家园；[39] 这导致无家可归者人数上升。[40]",
"23. 上述事例表明歧视以及脆弱性如何成为与灾害影响和救灾措施有关的一个关键因素。以土地权状况为基础的歧视凸显了一个更广泛的问题，即政府、国际组织和国内组织都不愿意或者不能够一视同仁地充分承认和保护各种土地权。",
"四、一视同仁地承认和保护各种形式的土地权，从归还到持久解决方案",
"24. 特别报告员指出土地权保障在适足住房权利中的核心地位。土地权保障不等于私人所有权，[41] 也不局限于赋予正式的法定产权。除了私人所有权以外，还有多种多样的合法土地权安排，[42] 例如公共或者私人出租房屋、合作住房、租赁、占有/租赁土地或者非正规房产，以及通过习惯上的或者传统上的安排实现的其他用益权或者占有权——这些土地权利均须办理不同程度的手续。[43] 有理由认为只有少数自然灾害的受害者可能对其房屋或者土地实际上享有经过正式登记的个人所有权。",
"25. 尽管如此，特别报告员担心，就像上文第三部分证明的那样，灾后的政策和做法偏向个人私人所有权。第四部分将着重探讨与归还有关的——以及在更广泛意义上与持久解决方案有关的——政策和做法，借以说明个人财产所有权与其他形式的土地权实际存在的紧张关系。",
"A. 全面看待住房和财产归还问题",
"26. 《皮涅罗原则》对于“住房和财产”归还权利作了最为具体的阐述。通过《皮涅罗原则》的时候，明显需要对于财产归还所必需的程序和机制加以指导，《皮涅罗原则》对这种需要作出了回应。如今，由于回返和归还的方案已经适用于更加多样化的背景和情势，是根据这种实践仔细考虑并且重新阐释《皮涅罗原则》的时候了。",
"27. 在具体制定《皮涅罗原则》时，以及《皮涅罗原则》提出的确定财产或者土地权利请求的机制，并没有相当清楚地确认各种形式的土地权利，[44] 其他人已经批评《皮涅罗原则》过分关注个人财产所有权以及正式的和经过登记的权利请求情形。《皮涅罗原则》在一项单独的条文中(原则16)提及“土地保有人和其他非所有人的权利”，可以认为《皮涅罗原则》质疑这些权利是否与个人财产所有权处于平等的地位。同样，在同一项原则里要求财产归还机制“在最大程度上”承认拥有正式所有权以外的房屋和土地权利的人需要澄清权利性质，不过这项原则可以理解为提出一项切合实际的建议，而不是意味非所有人的法定权利存在局限。[45]",
"28. 必须根据制定《皮涅罗原则》的特定背景对该原则加以理解。虽然制定《皮涅罗原则》的资料来源多种多样，但形成《皮涅罗原则》的是当时施行的正式归还机制(尤其是在波斯尼亚和黑塞哥维那施行的机制)的实践经验——其背景主要是正式登记的私人财产和南斯拉夫法律所称的“社会所有”公寓。[46] 波斯尼亚和黑塞哥维那的归还机制与其他地方的机制一样受到批评，被认为几乎没有照顾那些没有财产或者不具有得到承认的正式产权的人，无法依据形形色色的习惯法、国家法或者宗教法处置错综复杂的非正规土地权制度。[47]",
"29. 特别报告员建议必须将住房和财产归还理解为归还与灾害发生前的住房或者土地有关的任何土地权利，不论土地权利状况如何抑或住房或者土地是否经过正式登记。在《南非土地权利归还法》以及近来关于持久解决方案的工作指导意见中可以找到这种方法的事例。[48] 在没有首先对《皮涅罗原则》的条文深入讨论和阐述的情况下，应当系统地将《皮涅罗原则》理解为包含多种多样的情形和土地权利。《皮涅罗原则》的一些要素表明归还概念具有适当的宽泛性，例如系统地使用“住房、土地和财产”而不是仅仅使用“财产”这个表述。[49]",
"30. 《皮涅罗原则》对归还持有这种更全面的看法，其依据是国家承担与适足住房权有关的义务，尊重和确保全体人民的土地权保障，不论土地权体现为何种形式。这种方法承认那些不属于正式登记财产个人所有人的人也是享有权利的人。尽管由于背景不同，灾后和冲突后的需求也会有所不同，人权责任的类型却是相同的。应当以此为根据看待和贯彻财产归还制度。",
"31. 应当进一步审视这种将归还制度视为救济权组成部分的全面见解的实际意义，以便清楚有力地指导各种情况。[50] 但是，就本报告而言，应当铭记《皮涅罗原则》对灾情作出了合格的评估(见上文第二部分)，财产归还制度往往是回返及其他持久解决方案的一项条件，而不是一种法律救济。明白各种形式的土地权具有平等的合法地位，这不仅与归还制度有关，甚至与确保持久解决方案和恢复的努力有关。在此等情况下，倘若人们不能够或者不愿意回返，国家以及国际组织不论是在他们从前的居住地还是在其他地方，都必须评估所有受灾者的土地权利，并且采取措施保证和确保灾后的土地权保障。[51] 再者，不歧视和平等原则要求各国和国际组织优先援助那些土地权最缺乏保障的人，对于那些土地权薄弱、不明确或者脆弱的人，加强他们的土地权保障，这项义务在救济和恢复工作中常常遭到忽视。",
"B. 为实施持久解决方案而承认实际存在的土地权利",
"32. 在土地保有不够明确，有关住房或者土地的权利请求所依据的法律和习惯安排纷繁复杂，有时相互矛盾的情况下，国际机构不大愿意对这样的回返地或者重新安置地进行投资。在这方面，城市地区的重建活动可能格外艰巨，因为这些地区的土地所有权和地产保有问题往往错综复杂。",
"33. 在海地开展工作的许多组织明显地表现出这种心态。一项评估明确表示：",
"土地市场的状况混乱不堪，基本上无法可依。土地所有权记录荡然无存或者含糊不清。土地缺乏清晰的产权或者没有经过核实的所有人出具的书面同意，以致难以向潜在的受益人提供新住房或者支持他重新占有先前的住房。[52]",
"显然，这已经成为海地重建和回返迟延的原因之一。同样，在印度洋海啸发生之后，各级政府颁布了若干相互矛盾的土地利用政策和限制措施，由此发生的争端据称给国际恢复工作造成了种种障碍，严重损害了为实现灾害风险管理所付出的努力。[53]",
"34. 在这种背景下，必须区分两项任务：长期来说，可能需要通过法律改革及其他机制，例如标明土地产权，正式登记并巩固所有权或者地产保有，由此明确解决许多人发觉的含糊不清或者无法确定的情形。不过就短期而言，上述措施可能不是满足重建和恢复需求而又不加重不平等现象的最适宜的办法。[54] 经验还表明试图在灾害或者冲突发生后立即解决所有的所有权/地产保有和土地改革问题将会遇到艰巨的挑战。巴基斯坦政府指出：“充分理解土地保有问题在社会、政治、技术和法律方面的复杂性，明白这些复杂之处不限于受灾地区，这是极其重要的。”[55] 短期来说，通过迅速的方法评估灾害发生前的地产保有权利，以便更有效地实现重建和恢复，确保人人得到最低程度的土地权保障，并且解决解决某些最重要的不平等和不安全现象，这种做法仍然是必要而且适宜的。",
"35. 为重建和回返确定住房或者土地权利请求的最适宜办法取决于地产保有或者财产安排、正式手续和登记以及资源等方面的特定环境。正如已经讨论的那样，正式的行政或者司法财产归还机制在一些情形下，尤其是以多种多样的地产保有安排为特征的情形下，可能并不适用或者适合。[56]大湖区问题国际会议的《回返者财产权议定书》在这方面提供了比《皮涅罗原则》更全面的方法，规定行政当局和传统当局都应当解决财产纠纷，由此承认传统上和习惯上的土地体系的重要性。[57] 《议定书》还设想出在社区解决纠纷的替代性和非正规机制，将以证人证言为根据的所有权证明作为要件。[58] 实际上，支助难民或者流离失所者回返的组织经常借助习惯法和传统冲突解决机制化解土地纠纷。[59] 但是必须小心谨慎，以免妇女或者其他特别容易遭受歧视的人在上述纠纷解决过程中不会遭到排斥或者处于不利境地。",
"36. 更进一步的是“社区”或者“参与式”查点做法。此类参与式程序已经在不同国家用于不同目的，例如用于确定和加强非正规房屋的地产保有权利，或者用于土地裁决。[60] 在没有土地簿记的情况下，在灾害发生后土地簿记被毁的情况下，或者在多种地产保有安排的背景下，社区查点可以提供有希望而且灵活的替代办法，以确定灾害发生前或者冲突发生前的占有和地产保有状况，由此确保地产保有具有一定程度的确定性和安全性，为持久解决方案提供资料。社区查点项目在印度洋海啸发生后得以实施，[61] 这些项目已开始在海地实施。应当从确定(适用于灾后情形的)成功的社区测绘程序的关键因素和先决条件的经验中吸取教训，包括此类程序与更正规的或者政府领导的鉴定或者土地管理程序之间的关系，以及需要利用冲突解决机制辅助这些程序。[62]",
"37. 尽管由于背景不同，评估、尊重和加强土地权保障的机制也有所区别，但是不论在何种情况下这些机制都必须受人权原则指引，例如受灾社区参与和两性平等原则。",
"五、灾害成为机会——谁的机会？",
"38. 通常认为灾害创造了“白板”，从而为开展大规模的改革和艰巨的重新开发提供了重大机遇。灾害不仅为保护和促进人权带来了种种机遇，也带来了重大的风险。特别报告员担心，在某些情况下，重大的重新开发活动尽管使某些人受益，却由于作为或者不作为而忽视了最脆弱的群体，事实上违背了适足住房权的关键因素。",
"A. 从沿海地带和城市重新开发到重建工作外包",
"39. 许多人认为2004年印度洋海啸为重新开发提供了重大机遇，而重新开发活动有时候是以公共安全和减少灾害风险的名义进行的。海啸发生后，一些遭受海啸侵袭的国家确实在沿海设立了禁止重建房屋的地带(缓冲区)；这些地带宽约100到500米，在某些情况下，如果充分落实有关缓冲区的规定，将会需要重新安置超过100 000座房屋。[63] 缓冲区据说是使居民今后免遭灾害侵袭，可是缓冲区也对居民尤其是那些靠海洋为生的人们的生计产生了重大影响。",
"40. 同时，包括基于安全理由对居民封闭的沿海地带的雄心勃勃的“重新开发”计划和豪华旅游出现了。一个旅游委员会当时曾经宣布海啸使本国有机会成为一个“世界级旅游胜地”。[64] 据报道，尽管禁止流离失所者返回他们的家园，酒店却不受这项禁令约束。在某些地方，土地开发商不过借机攫取土地，尤其是从脆弱的社区攫取土地。豪华酒店在许多沿海地带拔地而起。社区和平民社团组织抱怨道，设立缓冲区是为了蛮横地驱逐穷苦的沿海居民和土著社区，使企业和新的旅游设施获利。[65]",
"41. 在卡特里娜飓风之后，新奥尔良市原有的许多公共住房被毁，在人们看来，这是从根本上改变这座城市的住房和城市特征的机会。特别是，新奥尔良市以非裔居民为主的四个最大的公共住房区(“四大区”)被拆除，以便按照规划重新开发各种收入者居住的社区以及实现其他用途。虽然在有些情况下由于公共住房损毁严重，也许没有切实可行的替代办法，拆除公共住房的主要理由是，这对城市恢复而言极其必要，对于保证健康和安全而言亦不可或缺。[66]问题是，与发生卡特里娜飓风之前可供居住的公共住房总数相比，规划的开发区只包括少量公共住房。[67] 拆除公共住房成为导致低收入居民无法返回新奥尔良的另一个障碍(见上文第三部分)。[68]",
"42. 人们对所谓“重建行业”——重建活动的规划、筹资和实施被外包给私人公司——也表达了忧虑。在某些情况下，将重建工作外包而又不制定健全的保障措施，不可避免地对重建工作的适足性和可承受性以及人们参与重建活动并从中受益的能力产生不良影响。在智利，在地震和随后于2010年2月发生的海啸之后，据称私营部门在城市中心和沿海地带的重建活动中起了主要作用。按照《国家重建计划》的一项主要原则，家庭可以选择决定是在倒塌建筑物的原址重建他们的房屋还是获得一所先前存在的或者新近修建的房屋。但是，由于住房重建活动主要得到与个人财产挂钩的补贴的资助，私营建造商宁愿在城镇郊区的新地带而不是在许多人被迫离开的中心区重新修建住房，因为在中心区土地和房屋的价格要高得多。[69] 据说，房地产公司还趁这些家庭非常脆弱的时候迫使他们以极低的价格出售土地和房屋——以便进行私人重新开发。[70] 这表明，如果把重建活动仅仅交给市场，那么最穷困的人的新住房将很有可能位于城市外围。",
"43. 在建筑市场也发现了类似的反常现象。在一起案件中，据报告某些城市的少数公司被授予垄断建筑材料的权力，给当地的小型企业造成了危害；在另一起案件中，重建进程导致供货商和建筑公司提高价格，阻挠了个人重建的努力。[71]同样，人道主义机构将过渡性住房的修建外包给国际承包商，这种做法可能分散支助流离失所者(可以利用这些资金支持他们修建自己的住房)的潜在资金。后一种情况的结果在文化方面也不可能是适宜的。[72]",
"B. 尽职尽责地保障适足住房权",
"44. 在上文讨论的事例中，灾后重建活动对最贫困者具有不良影响。在最恶劣的案例中，灾害为有权势的人毁坏房屋或者攫取土地提供了清白的记录和理由，而在灾害发生前这种情况是不可能发生的，因为当时必须遵循法律程序，必须征求受灾家庭的意见，向他们提供救济。充其量，国家没有充分监督灾后住房和重建市场的运营和管理，也没有采取措施确保人们得到能够承受的住房而且实际上不会被迫离开他们的出生地。虽然没有什么可以阻止国家要求私营企业支持重建活动——私营部门确实可以对恢复工作作出关键的贡献——但是政府必须留意自己的职责，那就是监督私营部门兑现承诺，确保重建活动不会让少数特权者受益，损害其他人的权益。",
"45. 上述事例可被视为“推定强制驱逐”。[73] 在此类案例中，可适用与强制驱逐或者任意造成流离失所问题有关的国际准则。当证实存在强制驱逐现象时，受害人应当有权获得救济，包括公允的听证、获得法律咨询，取得赔偿，例如按照他们的选择，归还住房或者土地、给予适足赔偿或者替代性的住房/土地。[74]",
"46. 在对公共安全的关注是合法而且必要的情况下，关于土地利用的决定或者住房法规仍须遵守人权准则——特别是与进行驱逐、得到补救和救济以及司法审查机会的权利、以及受影响社区的经济、社会和文化权利有关的严格程序要求。驱逐不应造成个人无家可归的结果。在受灾者无法养活自己的情况下，国家必须采取措施确保他们能够得到替代性住房、重新安置或者肥沃的土地。[75]",
"47. 限制措施也必须符合相称性原则。[76] 这需要在受灾者的权利与国家减少损害和确保公共安全的利益之间保持平衡。[77] 就防止海啸而言，必须证明阻止居民返回海滨地带的法规是为实现公共安全目标而采取的限制性最小的办法。国家必须证明警示系统或者堤堰等其他安全措施无法实施或者没有效果。[78]",
"48. 最后，土地利用限制措施的经验促使人们考虑多种因素，包括重新安置居民需要在基础设施和服务方面投入大量资金，还可能严重扰乱人们的生计和社区的生活。[79] 定居点和住宅建设的模式不是任意的，而是反映出难以在其他地方照搬的特定经济和社会结构。因此，不论人权准则，还是对于流离失所现象的社会经济成本的评估，都要求采取限制性更强的方法实施有关土地/住房建设用途的限制措施。",
"六、恢复与持久解决方案：解决适足住房权的方方面面",
"49. 除了上文讨论的更加明显的保护问题，还必须从对适足住房的更开阔的看法出发解决重建问题——包括将住房看作一种社会资产——力求逐步实现适足住房权。据此来看，确保恢复和持久解决方案意味着重建社区和住宅区，确保适足生活水准，修建住房只是这其中的一部分，有时甚至不是最重要或者最迫切的部分。[80] 灾害不是在真空环境下发生的：必须评估和解决发生灾害的更广泛的住房背景。",
"A. 对住房和财产的不当关注",
"50. 灾后情形的特点不仅有可能是房屋大规模受损，还有可能是居民大批流离失所，社交网络和关系陷入混乱，基本服务受到破坏或者无法获得，丧失生计、工作、资产或者土地——这一切都是影响到享受适足住房权的关键因素。因此，重建工作和确保持久解决方案的努力往往过于关注房屋最确实的方面(有形构筑物)。国际组织和各国/地区政府容易认为对受灾者而言当务之急是重建住房而不是生计或者社区基础设施。[81] 对房屋进行评估时，房屋被当作一个技术或者经济行业而不是一项人权，受到关注的是建筑物和建造标准及材料，还有应急和过渡住房的质量。在某些情况下，对于财产归还的关注还对伤害到重新建立并改善支持可持续回返的更广泛社会、政治或者经济状况——工作、基本服务和基础设施、安全保障。一位评论者指出，“‘房屋’，而不是流离失所者的实际幸福，成了衡量回返进程成功与否的标准。”[82]",
"51. 众所周知的口号“重建更美好家园”似乎——而且肯定应当—— 立志解决受灾社区更广泛的生活状况。秘书长印度洋海啸问题特使指出：“财政资源、国际关注以及进行政治和政策改革的意愿，通常是危机发生后时期的特征，它们应当使我们能够重建得更美好并且持久地摆脱不公平的开发模式。”[83] 人们也提出了类似的呼吁，将巴基斯坦洪灾看作“一次重建更美好的生活和加紧给生活在社会边缘的数百万人带来尊严。”[84] 然而，落实这种令人振奋的想法往往具有技术性最强的含义，例如，修建防洪和抗震标准的房屋。[85]",
"52. 相比之下，世界范围内的一些重建项目已经尝试将重建进程看作“促进当地开发进程的一次机遇”，而不是局限于恢复灾害发生前的状况——社区的参与在这方面起着关键作用。[86]",
"B. 解决救济和恢复努力中更广泛的问题",
"53. 上文曾经提到，海地地震凸显住房条件在很大程度上不充足、非正规房屋充满危险而且土地权缺乏保障的问题。国际社会关心在帐篷内栖身的流离失所者，向他们提供的条件比许多海地人享有的条件还要优越，从而意外地使帐篷成为令人向往的栖身地。由于没有进行伴有向回返社区提供服务的系统重建，贫困家庭没有什么理由离开他们所栖身的帐篷——在这里住房和服务是免费提供的。狭隘地关注境内流离失所者的困境和临时性解决方案，尽管从应急的角度来看是可以理解的，但是在困难的社会经济和地产保有背景下，这种狭隘的观念却成为长期恢复的障碍，在某些情况下导致进一步的发展问题。[87] 随着城市化程度的提高，许多城市化活动的发生出人意料，此类情况必定更加频繁(见A/64/255，第13至21段)。",
"54. 海地的情形也可作为一个实例说明重建和财产规还制度的理论基础面临的挑战：问题在于，在以普遍贫困和生活及住房条件严重不足为特征的背景下，重建的最终目标是否应当是为那些在灾害中丧失居所的人提供高质量的住房？特别报告员认为干预措施必须力求逐步实现全体人民的适足住房权。在海地，重建和恢复工作与为那些直接遭受灾害影响的人修建新住宅没有多大关系，更重要的是要改善遭受灾害影响、未经规划而且未经维护的定居点的总体生活和住房条件。因此这种方法应当以定居点和社区，而不是个人房屋，作为关注对象，并且专注于营造人们能够享受适足生活水准的地方。",
"55. 灾后土地利用规划可以作为一种有力的工具，既为重建工作提供参考，又为灾害发生后即刻采取的应对行动提供法律依据。灾后区域规划可以承认事实上的定居点，为基础设施投资和升级到目前为止未经维修和未经规划的定居点提供依据，从而为回返和重建工作创造便利。",
"56. 从人权的角度来看，应当铭记不歧视和关注最脆弱者的义务，因此，作为救灾工作的组成部分，投资改造生活条件非常差的定居点，不仅是正当的，也是必需的。而且，出于原则性和务实的理由，从长远来看，在一些情况下也需要处理这种情形：就海地的情况而言，这意味着专注于改善那些虽然未受灾害影响但是与受灾定居点具有同样城市化和脆弱性特征的定居点(只要这些定居点不在容易受灾的地区)的状况。",
"C. 应急阶段与长期恢复之间缺乏联系",
"57. 上述实例还证明应急阶段与长期恢复之间目前缺乏联系，而且在许多情况下，国际社会对于从一个阶段向另一个阶段过渡进行管理时遭遇种种困难。[88]",
"58. 将个体受益者和“可达到的目标”——食物、住房、健康用品——本身作为关注的目的，可能背离尊重、保护和实现权利(例如住房权、用水权、健康权)的基本责任和长久考虑的要求。在海地，有报告说直接需求成为国际社会应对措施的主题，因此，扶持永久住房需求的特殊承诺变得无关紧要。[89] 机构间常委会的Hach住房小组在报告中确认了对帐篷区习以为常，以牺牲更持久的永久性方案来让应急措施消耗紧缺资源等风险。",
"59. 同样，大规模建造过渡性住房也许并不总是必要或者适宜的，某些情况下可能给持久解决方案造成妨碍，例如，在拥挤的城市地区，由于缺乏空间，人们可能无法逐步修建永久性住房。在随着时间推移，人们的关注和援助量不断减少的情况下，修建过渡性住房可能无意中分散用于重建永久性住房和住宅区的资 源。[90] 因此，令人遗憾的是，灾害结束后多年，人们仍旧栖身于过渡性住房，这种现象并不少见(见A/HRC/13/20/Add.4，第31段)。 国家和国际组织在没有考虑能否支持替代性解决方案的情况下，不应想当然地假定人们需要过渡性住房。",
"60. 许多人呼吁采取一种综合方法确保在救济阶段和恢复阶段之间援助能够源源不断。特别报告员在提交人权理事会的上一次报告(A/HRC/16/42)中曾经讨论了与这个问题有关的某些资金筹措事宜。特别报告员谨此鼓励捐助者尽早支持持久解决方案和恢复工作，并且帮助确保源源不断地提供援助，包括能够不拘一格地提供资金帮助。",
"七、结论",
"一种有针对性地全面纳入适足住房权的救灾方法",
"61. 将适足住房权纳入灾害对策具有广泛的意义。然而，在实践中，对适足住房权的理解和运用这种权利进行救灾却被局限于这项权利的某些方面，最为显著的就是与有形构筑物和个人财产所有权有联系的方面。在某些情况下，重建和恢复工作由于疏忽大意或者有意作为而对受灾者及受灾者享有适足住房权产生了有害影响。",
"62. 在特别报告员看来，在重建工作中付出全方位的努力以求实现适足住房权不仅是一项义务也是一种机遇。尽管救灾工作不会也不应当取代开发活动，但是可以借助救灾工作纠正要么加剧自然灾害影响要么被自然灾害暴露出来的不平等现象，促进尤其是通过改善土地权保障逐步实现人人享有适足住房权的努力。",
"63. 下面的建议概述一种充分立足于适足住房权的救灾方法的基本要素。这些建议的本意是，在涉及确保适足住房权得到保障和实现时，它们对现有的指导意见能够加以补充。除非另行说明，这些建议的对象既包括政府也包括国际捐助者和组织。最后，本报告就后续行动提出了建议，应当铭记，这种框架仅仅扼要说明需要进一步完善和实施的一般性原则。",
"八、建议",
"64. 特别报告员提出的建议如下：",
"A. 一般框架：以适足住房权为根据的救灾工作",
"首要原则",
"1. 适足住房权",
"在灾害应对的各个阶段，都应当尊重和保护适足住房权。应当将适足住房权理解为安全无虞地生活，在根据以下因素而被视为适足的环境下生活的权利：保有权保障；可提供服务、物资、便利和基础设施；价格低廉；适合居住；进出方便；地点；以及适当的文化环境。",
"2. 保有权保障",
"一视同仁地承认多种多样的地产保有形式，确保灾后人人的土地权能够得到保障。",
"3. 参与",
"4. 不歧视和脆弱性",
"行动原则",
"1. 平等的避难和住房权利",
"2. 切勿损害权利",
"尊重和保护适足住房权，包括土地权保障时，不得由此造成损害，也不得损害这种权利：",
"3. “非正式所有人”的土地保有权",
"应尊重“非正式所有人”——即那些不具有经过正式登记的个人财产所有权的人——的土地保有权利：",
"4. 救灾和恢复方案的背景",
"应当在(一个地区/城市/国家)总体住房环境下实施救济和恢复方案：",
"5. 社会重建",
"应重新修建或者重新安置社区和住区，而不仅仅是房舍：",
"6. 遵守国际标准",
"如果由于土地已经灭失或者存在阻止回返的客观安全理由，或者如果受灾的个人或者群体不想回返，以致不能实现回返，那么重新安置和融入当地的条件必须符合与适足住房、驱逐和流离失所问题有关的国际人权标准和准则。",
"7. 减少灾害风险的法律",
"各国必须通过减少灾害风险的法律，此类法律应当尊重适足住房权。必须特别关照可能遭受歧视和排斥的人，包括由于土地权状况而遭受歧视和排斥的人，并应制定措施保护他们。",
"B. 后续行动建议",
"1. 联合国各机构和机制、机构间常设委员会或者该委员会的组织成员或合作机构应当考虑进一步研究将适足住房权切实纳入救灾措施之中，以此作为特别报告员所提议的框架的出发点。",
"2. 应当在以下方面进一步开展工作：",
"3. 联合国人权机制在审查国家报告和进行国别视察时，应当评估在自然灾害环境下享有具体人权的情况以及防灾、救灾和恢复工作在何种程度上促进享有人权，并就此提出建议。",
"[1] ^(*) A/66/150。",
"[2] 国际灾害数据库，http：//www.emdat.be。",
"[3] 当灾后环境缺乏有案可查的事例，而冲突后环境的某些事例又与灾后环境有关而且适合灾后环境时，本报告仍将借鉴冲突后环境下的事例。",
"[4] 特别报告员谨向为她的视察活动提供便利的联合国海地稳定特派团、人权事务高级专员办事处和联合国人居署重申谢意。",
"[5] 与灾后相比，在冲突和冲突后环境下的人权挑战受到更多关注，相关准则也得到进一步阐述。除了本报告讨论的准则以外，冲突后应对措施还要受到国际人道主义法、难民法以及与救济和赔偿有关的准则指引。",
"[6] 见经济、社会和文化权利委员会，第4号一般性意见：适足住房权。",
"[7] 见经济、社会和文化权利委员会，第7号一般性意见：强行驱逐；另见《关于出于发展目的的搬迁和迁离问题的基本原则和准则》(A/HRC/4/18，附件1)。",
"[8] 在提交人权理事会的上一份报告中对参与问题进行了讨论。本报告第三部分讨论不歧视问题。",
"[9] 例如，在《机构间常设委员会关于在发生自然灾害时保护人员的行动准则》中，第C.2.1节提及适足住房权，但是其他可能相关的条款却没有提到这项权利。",
"[10] 见Erica Harper,《适用于自然灾害的国际法和准则》(罗马，国际发展法组织，2009年)。",
"[11] 负责境内流离失所者人权问题的秘书长代表属于例外情形。见联合国条约机构和特别程序所作的评论意见，《世界人权索引》，http：//www.universalhumanrightsindex.org/en/index.html。",
"[12] 《指导原则法律数据库》证明它们得到广泛认可。见http：//www.idpguidingprinciples.org/。",
"[13] 最初于2006年发布，修订本于2011年公布。",
"[14] 《国内流离失所问题指导原则》，第28项原则；机构间常设委员会准则，D.2.2，D.2.3。",
"[15] 促进和保护人权小组委员会，第2005/21号决议。",
"[16] 第2.2项原则。另见关于根据国际法是否存在某种独立的财产归还权利的似乎尚无定论的辩论：Malcolm Langford和Khvlekani Moyo，“权利、救济还是夸夸其谈？国际法上的土地归还问题”，《北欧人权杂志》第28卷，第2号(2010年)。但就本报告而言，特别报告员确信财产归还权是获得救济和赔偿的权利，以及难民和流离失所者返回出生地和常住地的权利的必要部分。",
"[17] Harper, 《国际法》，第4章(见上文脚注9)。",
"[18] 第1项原则。除其他外见Charles Gould，“自然灾害发生后重建住宅的权利”，《哈佛人权杂志》，第22卷(2009年)；Rebecca Barber，“自然灾害发生后保障住房权利：国际人权法准则”，《国际难民法杂志》第20卷，第3期(2008年)。",
"[19] 欧洲人权法院，“Budayeva及其他人诉俄罗斯”，2008年9月29日；巴基斯坦最高法院，“防洪委员会案”，2011年6月7日，见http：//www.supremecourt.gov.pk/web/page. asp?id=735(访问时间为2011年7月24日)。",
"[20] 见大会第64/200号决议。",
"[21] 经济、社会和文化权利委员会，第3号一般性意见，缔约国义务的性质，《公约》第2条第(1)款。另见儿童权利委员会对于灾害问题的结论性意见，例如CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4。",
"[22] 《消除一切形式种族歧视国际公约》，第1条第(4)款；《消除对妇女一切形式歧视公约》，第4条。",
"[23] 这座城市84%的贫困人口是非裔美国人。布鲁金斯学会，《风灾过后的新奥尔良：汲取以往的教训，未来的计划》(2005年)，第6页。",
"[24] 同上，第13页。",
"[25] Elizabeth Ferris 和Daniel Petz, 《朝不保夕的一年：对2010年自然灾害的回顾》(伦敦，布鲁金斯学会——伦敦政治经济学院，2011年)，第19页。特别报告员欢迎哥伦比亚政府提供信息，介绍该国为应对“拉尼娜”效应而采取的行动，例如设立“Fondo de Adaptación”，负责确定和管理旨在找到持久解决办法的项目，包括减灾和防灾策略。",
"[26] 巴基斯坦政府、亚洲开发银行、世界银行，《2010年巴基斯坦洪水：破坏和需求初步评估》第68页；乐施会，《土地权与印度河洪水，2010-2011年：快速评估和政策审查》(牛津，大不列颠牛津救济会，2011年)。特别报告员承认巴基斯坦政府所面临的挑战的规模以及该国政府为处理救济和恢复工作所付出的种种努力，特别是一视同仁地向土地所有者和没有土地的人发放瓦坦卡，借以鼓励所有的难民返回家园。",
"[27] 据估计，在地震发生之前，80%的太子港居民生活在仅占城市面积20%的非正规房屋中。",
"[28] 国际移民组织，流离失所现象追踪矩阵，2011年5月。",
"[29] 见乐施会，《土地权与印度河洪水》，第3页(见上文脚注25)。",
"[30] John Telford和John Cosgrover，《关于国际社会应对印度洋海啸的联合评价——综合报告》(伦敦，海啸评估联盟，2006年)，第104页。",
"[31] Michael Lyons和Thco Shilderman等人。《重建更美好家园：以人为本的按比例住宅重建》，(伦敦，务实行动， 2010年)，(关于斯里兰卡的社区)；援助行动组织，《海啸应对措施：人权评估》(2006年)，第43至47页。",
"[32] 在卡特里娜飓风发生之前，大多数享受公共住房和房券补贴的家庭的户主是妇女。在飓风发生之后，她们由于缺乏可以承受的住房/公共住房，因此受灾尤其严重。见Ferris 和Pelz， (见上文脚注24)。",
"[33] 见《世界重建大会：自然灾害发生后的恢复工作和减少风险：会议记录》(日内瓦，2011年5月)，第31页。",
"[34] 见联合国海啸灾后恢复事务特使William J. Clinton的报告，《重建更美好家园的重要提议》(2006年)；Hakan Arslan和Cassidy Johnson，“土耳其：小规模行动者能够克服缺乏国家意志的困局吗？”，摘自《重建更美好家园：建设以人为本的住房》，Lyons和Shilderman等人(见上文脚注30)。",
"[35] 乐施会，《土地权与印度河洪水》，第24至25页(见上文脚注25)；巴基斯坦政府等，《2010年巴基斯坦洪灾》，关于住房、农业和金融部门的附件。(见上文脚注25)。另见本报告第三部分关于土地权/土地评估的讨论。",
"[36] 强制驱逐问题咨询小组，《新奥尔良任务报告》，2009年7月26日至31日以及A/HRC/13/20/Add.4，第30段。在以公共住房为主的90%的社区，居民是非裔美国人，而其中80%的居民又是租户。见Ferris和Petz，《朝不保夕的一年》，第74页(见上文脚注24)。",
"[37] 特别报告员对美利坚合众国政府收到的信息表示欢迎，这些信息说明联邦政府，包括住房和城市开发署采取了哪些措施制止私人和公共主体在住房方面的歧视，除了其他措施以外，联邦政府采取了哪些措施制止由限制性区域规划或者歧视非裔美国人的租金条例(例如圣贝尔纳教区在卡特里娜飓风之后通过的条例)造成的系统性歧视现象。",
"[38] 美国政府问责局，《灾后住房：联邦应急管理局需要更细致的指导和救灾措施，以确保在大灾之后有效开展救援》，2009年，第11至13页；“卡特里娜飓风之后4年：住房危机仍未结束，低收入租户遭遇歧视”，《直面南方》，2009年8月21日。",
"[39] Ferris和Petz，《朝不保夕的一年》，第74页(见上文脚注24)。",
"[40] 强制驱逐问题咨询小组，“任务报告”，第5页(见上文脚注35)。",
"[41] 在某些情况下，私人所有权事实上不是确保土地权的最适宜方式。见A/HRC/10/7。",
"[42] 见代表团就特别报告员的报告(A/HRC/16/42/2010)发表的支持这种看法的评论意见，人权理事会，第十六届会议。",
"[43] 特别报告员特别指出人道主义机构对“六种土地权方案”的划分等于承认也需要解决其他形式的土地权。联合国与避难中心，《灾后避难所》(2010年)，第107页。",
"[44] Langford和Moyo，“权利、救济还是夸夸其谈？”第148至149页(见上文脚注15)。",
"[45] 另见原则15.3规定的承认传统社区和土著社区的占有权(独立于原则16)。",
"[46] 见http：//www.ohr.int/plip； Norbert Wühler和Heike Niebergall编辑，《财产归还与赔偿：索赔方案的实践与经验》(日内瓦，国际移民组织，2008年)。",
"[47] Rhodri Williams，“波斯尼亚的冲突后财产归还：在发生流离失所现象后权衡赔偿与持久解决方案”，在土耳其经济和社会研究基金会关于土耳其及其他国家境内流离失所问题的国际研讨会上提交，伊斯坦布尔，2006年12月；Conor Foley，Ingunn Sofie Aursnes，“冲突后的土地、住房和财产归还问题：原则与实践”，《人道主义交流杂志》(2005年)，第2页。挪威难民委员会，《阿富汗的特别财产归还法院》，2005年。",
"[48] 总统办公室，1994年第22期，《土地权归还法》，第I (1)xi章；机构间常设委员会，《关于境内流离失所者持久解决方案的框架》，(哥伦比亚特区华盛顿，布鲁金斯研究所，2010年)，第35页。",
"[49] 另见原则8和原则15.2；E/CN.4/Sub.2/2005/17/Add.1，第62段；Langford和Moyo，“权利、救济还是夸夸其谈？”(见上文脚注15)。",
"[50] 包括土地权仅仅以使用为基础的情形，或者实质上无法实现归还的情形，例如土地保有者无法返回他们的居住地，或者原来的居住地已经灭失或者在灾害发生后被宣布为“不宜居住”。",
"[51] 重要的是，有人的地产保有权利并不取决于实际重新占有从前的经常居住地。",
"[52] 国际住房联盟，《海地住房部门评估：震后一年》(2011年4月)，第12页。",
"[53] Telford和Cosgrove，《综合报告》，第102页(见上文脚注29)；以及Ian Christoplos，《海啸应对措施中救灾、恢复与开发之间的联系：初始结果综合》(伦敦，海啸评估联盟，2006年)，第71页。",
"[54] 关于海地，评论意见是“严格的提供住房的资产替换办法和过于急切地确认财产权利……并不适合满足身为租户和擅自占地者(而不是所有人)的大多数灾民的住房需求。”一项主张快速推行土地簿记的提议被认为不适宜，有可能“加剧对于能够出具文献的地位最稳固、最有势力的正式所有人的偏向。”Kate Crawford等人，“协调与海地地产保有难题”， 《人道主义交流杂志》第48期(2010年)，第8页。",
"[55] 就先前的一份草案收到的评论意见。同样，东帝汶政府选择了一个长期框架来解决土地问题。东帝汶就特别报告员的报告(A/HRC/16/42)发表的评论意见，2011年3月8日。",
"[56] 正式的特别机制也耗费资源和时间。见科索沃不动产管理局2010年年度报告。",
"[57] 大湖区问题国际会议，《回返者财产权议定书》(《大湖区议定书》)，2006年，第4条。",
"[58] 《大湖区议定书》，第4(3)条。",
"[59] 见A/HRC/16/42，第44至45段(关于东帝汶)；以及Foley和Aursnes，“土地、住房和财产”(见上文脚注46)。",
"[60] 联合国人居署，《请把我算在内：地产权保障和城市土地管理调查》(内罗毕，2010年)。",
"[61] 同上，印度尼西亚亚齐省，第79至83页，以及Harper，国际法，第209页(见上文脚注9)。",
"[62] 见《世界重建问题大会：恢复和减少风险》，第33至34页(见上文脚注32)。",
"[63] Oli Brown和Alec Crawford，“在自然灾害发生后解决土地所有权问题：一项机构调查”，2006年，第6页；以及《人权观察》，“大灾过后：2004年海啸结束后印度的重建工作”，第41页。某些最重要的限制性措施最终被放弃了。",
"[64] 旅游业关注组织，“海啸后重建与旅游：又一场灾难？”，2005年。",
"[65] 援助行动组织，“海啸应对措施”第17至18页(见上文脚注30)；Malicolm Langford和Jean Plessis，“尊严扫地？强制驱逐与人权法”；以及Brown和Crawford，“解决土地所有权问题”(见上文脚注62)。",
"[66] Jolia Cass和Peter Whoriskey，“新奥尔良将要铲除公共住房”，《华盛顿邮报》，2006年12月8日。",
"[67] 大赦国际，“违反常理的灾难：海湾沿岸的人权”，2010年，第6页；强制驱逐问题咨询小组，《任务报告》，第28至32页(见上文脚注35)。",
"[68] A/HRC/13/20/Add.4，第30页。特别报告员对美国政府提供的信息表示欢迎，并高兴地注意到，由于实行各种住房政策，与发生卡特里娜飓风之前相比，现在有更多的人享受住房补贴。",
"[69] 国际生境联盟、国际人类栖身地组织、建筑学与城市化系住房研究所和重建问题观测站， “Sur Maule”、“行动起来搞建设”和“观测站与住房”网络为适足住房权问题特别报告员编写的2011年关于2010年2月27日地震海啸以及智利重建进程的报告。",
"[70] 同上。",
"[71] 同上；另见A/HRC/13/20/Add.3，第25段。",
"[72] 见：相比之下“所有人带动的”重建方法取得的成功。世界重建问题大会：恢复工作和减少风险。第25至27页(见上文脚注32)。",
"[73] Malcolm Langford，“在海啸灾害结束后回返和重新定居的权利”，《灾情简报》第2(2)期(2005年7月至9月)。有些国家利用“推定驱逐”这个术语描述出租人的某些作为或者不作为导致出租地产不适宜居住或者不适合租赁的目的。",
"[74] 经济、社会和文化权利委员会，第7号一般性意见，大会第60/147号决议，Cuhtled；《严重违反国际人权法和严重违反国际人道主义法行为受害人获得补救和赔偿的权利基本原则和准则》；以及《皮涅罗原则》。",
"[75] 第7号一般性意见，第16段。机构间常设委员会准则，C.2.4，C.2.5。",
"[76] 人权委员会，第27项一般性意见：行动自由。",
"[77] “保护自然灾害中的境内流离失所者：秘书长境内流离失所者人权问题代表对亚洲的工作视察”，Walter Kälin, 2005年，第22页。",
"[78] Langford，“回返和重新安置权”(见上文脚注72)。",
"[79] 世界银行，《自然界的危险，开发活动的风险：独立评估小组对世界银行自然灾害救援行动的评价》(哥伦比亚特区华盛顿，2006年)；人道主义行动问责和绩效动态学习网络，“应对地震灾害，2008年：从地震救灾和恢复中汲取教训”。",
"[80] 机构间常设委员会，《持久解决方案框架》(见上文脚注47)。可以从良好的重新安置开发实践中汲取教益，例如：Michael Cernea和Christopher McDowell等人，《风险与重建：重新定居者和难民的经历》(哥伦比亚特区华盛顿，世界银行，2000年)。",
"[81] 例如见，关于印度尼西亚住房建设，Lyons和Shilderman等人，《重建更美好家园》，第157页(见上文脚注30)。",
"[82] Megar Ballard，“冲突后财产归还：有漏洞的法律和理论根据”，《伯克利国际法杂志》第462期(2010年)，(关于波斯尼亚和黑塞哥维那)。",
"[83] 联合国负责海啸灾后恢复事务的特使，“重建更美好家园的主要立场”(见上文脚注33)。",
"[84] 巴基斯坦政府、亚洲开发银行和世界银行，《巴基斯坦洪灾》，第7页(见上文脚注25)。",
"[85] 同上，第22页和第94页。",
"[86] 例如见秘鲁的项目：Lyons和Shilderman等，《重建更美好家园》，第307至344页(见上文脚注30)。",
"[87] 太子港郊区的“考雷尔帐篷区”案例是这些困难的典型表现。“考雷尔帐篷区”原本被当作一个临时性帐篷区，收容在最危险区域居住的流离失所者，不过它吸引着全国各地的人，短短数月就变成一个新的非正规定居点，截至2011年5月已经容纳至少50 000至60 000名居民。",
"[88] John Holmes，“汲取海地的教训”，《人道主义交流杂志》第48期(2010年10月)，第3页。",
"[89] 题为“地震后美国政府海地策略：谋求复兴和经济机遇”的美国战略(2011年)。",
"[90] 在海地，一座T型住房的费用平均为2 500美元，而对永久性住房的最廉价估价约为每座房屋3 500美元。",
"[91] 见第1项首要原则。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Right to adequate housing",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living and on the right to non-discrimination in this context, Ms. Raquel Rolnik, submitted in accordance with Human Rights Council resolution 15/8, paragraph 2 (h).",
"Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living",
"Summary",
"The present report focuses on the realization of the right to adequate housing in post-disaster settings. The report assesses human rights standards and guidelines relevant to an approach to disaster response based on the right to adequate housing and discusses some existing limitations. It elaborates upon key challenges relating to the protection and realization of the right in disaster response: inattention to or discrimination against vulnerable and disadvantaged groups; the overemphasis on individual property ownership and the associated difficulty to recognize and address the multiplicity of tenure forms equally in restitution and recovery programmes; the risks of approaching post-disaster reconstruction predominantly as a business or development opportunity that benefits only a few; and limitations in existing frameworks for reconstruction and recovery. The report concludes by outlining the fundamentals of an approach to disaster response that deliberately and comprehensively integrates the right to adequate housing.",
"Contents",
"Page\nI.Introduction 4II. Assessment 4 of the legal and policy framework applicable to natural \ndisasters III. Discrimination 7 and vulnerability: compounding factors in the impacts on and responses to \ndisasters A. Disadvantaged 7 groups most affected by \ndisasters B.Neglect 8 and discrimination made visible by \ndisasters C.Recovery 9 responses overlooking or discriminating against the most \nvulnerable IV.Recognizing 10 and protecting all forms of tenure equally, from restitution to durable solutions \nprogrammes A.Towards 11 an expansive notion of housing and property \nrestitution B.Recognizing 13 tenure rights in practice, for the purpose of durable \nsolutions V. Disasters 15 as opportunities — for \nwhom? A.From 15 the redevelopment of coastal areas and cities to outsourcing \nreconstruction B.Acting 17 with due diligence to protect the right to adequate \nhousing VI.Recovery 18 and durable solutions: addressing all aspects of the right to adequate \nhousing A. Undue 19 focus on houses and \nproperty B.Addressing 20 the wider context in relief and recovery \nefforts C.Disconnect 21 between emergency and long-term \nrecovery \nVII. Conclusion 21\nVIII.Recommendations 22A.General 22 framework: disaster response based on the right to adequate \nhousing B.Recommendations 25 for \nfollow-up",
"I. Introduction",
"1. The present report focuses on the realization of the right to adequate housing in post-disaster settings. It should be read in conjunction with the report submitted to the Human Rights Council (A/HRC/16/42), in which the Special Rapporteur discusses common issues relevant to both post-conflict and post-disaster settings.",
"2. While many commonalities exist across post-conflict and post-disaster situations, some challenges are specific to the latter and require different responses. The Special Rapporteur chose to focus on disasters, in the light of the increasing prevalence of disasters worldwide that have more devastating effects than ever before,[1] the likelihood that this trend will continue as a result of climate change, rapid urbanization and population growth, and the comparatively fewer experiences and guidelines available to address issues related to the right to adequate housing in the wake of disasters, compared to post-conflict settings.[2] The Special Rapporteur also had the opportunity to conduct a working visit to Haiti (8-11 June 2011) to assess reconstruction and relief efforts in the wake of the earthquake of January 2010, which greatly informed her thinking for the present report and highlighted the need to focus on disasters.[3]",
"3. Taking an approach to post-disaster and recovery-based reconstruction on the right to adequate housing has significant implications. The Special Rapporteur is concerned that disaster relief and recovery efforts have so far, with notable exceptions, taken a narrow view of what constitutes the right to adequate housing, on some occasions leading to violations of the right. Section I of the present report assesses relevant standards. Sections II to V elaborate upon key challenges. The report concludes by outlining the fundamentals of an approach to disaster response that deliberately and comprehensively integrates the right to adequate housing and provides recommendations for follow-up measures.",
"II. Assessment of the legal and policy framework applicable to natural disasters",
"4. While there are a number of standards and guidelines relevant to ensuring the right to adequate housing in post-disaster situations, they are often understood and applied in a fragmented manner.[4] There are other more specific limitations too, as will be discussed.",
"5. The right to adequate housing is most clearly recognized by the International Covenant on Economic, Social and Cultural Rights (article 11). The Committee on Economic, Social and Cultural Rights underlined the importance of interpreting the right in broad terms, identifying seven aspects of the right that States must progressively realize: security of tenure; availability of services, materials, facilities and infrastructure; affordability; habitability; accessibility; location; and cultural adequacy.[5] All the aspects and safeguards pertaining to eviction and resettlement derived from the right[6] are relevant to disaster response, as are the human rights principles of participation and non-discrimination and equality.[7]",
"6. However, existing guidance with respect to disaster situations has given little attention to the right to adequate housing. When reference to the right is made it is limited, with the right narrowed down to the need to provide shelter, housing or to aspects related to protection.[8] The few attempts to discuss the right in a more comprehensive manner have remained at the level of an individual organization’s guidance and not in the form of authoritative policies of broad application.[9] Equally, United Nations human rights mechanisms have, with notable exceptions, not addressed the specificities of disaster situations and their impacts on the enjoyment of the right to adequate housing or other human rights, remaining at the level of generalities.[10]",
"7. Instead, most initiatives to address disasters from a human rights perspective have taken place with respect to specific groups, notably internally displaced persons and refugees. The Guiding Principles on Internal Displacement are essential in this regard. They have been recognized as a significant international framework for the protection of internally displaced persons in both post-conflict and post-disaster situations.[11] While attention was at first geared to the protection of internally displaced persons in conflict and post-conflict situations, in recent years policy and operational guidelines have also been developed with respect to natural disasters, expanding the scope of application to all persons affected by disasters, including but not limited to internally displaced persons. The Inter-Agency Standing Committee Operational Guidelines on the Protection of Persons in Situations of Natural Disasters (Inter-Agency Standing Committee Guidelines) is an important document in this regard.[12] The Guidelines and the above-mentioned Guiding Principles recognize the right of persons displaced by conflict or disaster to durable solutions, namely, a return to their homes or places of habitual residence (and, as key condition for durable return, to have housing or land restored to them), relocation elsewhere or local integration.[13]",
"8. The 2005 Principles on Housing and Property Restitution for Refugees and Displaced Persons[14] (“Pinheiro Principles”) go one step further by recognizing a distinct “right to restitution” (covering housing, land and/or other property) for refugees and displaced persons.[15] An important question is whether the Pinheiro Principles apply to post-disaster situations. The intention seemed to have been that they should apply, the central idea behind principle 1.2 being that people who are displaced — regardless of the reason for their displacement — are similarly situated and have a right to return to their places of habitual residence and thereby to restitution. On that basis, some interpret the Principles as applicable to all situations of natural disaster.[16] However, others point out that the Principles are explicitly limited to the “arbitrary or unlawful deprivation” of people’s former homes, land or places of habitual residence following displacement.[17]",
"9. This is not to say that the Pinheiro Principles are irrelevant to natural disaster situations. First, they fully apply in actual cases of arbitrary or unlawful deprivation or destruction of housing or land occurring in post-disaster situations, including, arguably, when displaced persons are denied their right to return to their homes (see section IV below), and in cases of unreasonable State failings with respect to disaster preparedness, mitigation or early warning systems.[18] Second, taken as a specification of existing standards pertaining to the rights of displaced persons and refugees to return to their homes, the Principles provide relevant guidance on how best to manage the technical and legal issues associated with housing, land and property restitution, guidance which has since been reflected to varying degrees in policy and practice.",
"10. Thus, an approach to disaster response that fully integrates the right to adequate housing would combine all the above sets of standards and principles and have at its core the various elements of the right to adequate housing. The recommendations in the final section of the present report propose the integration of those standards within a consolidated, conceptual and operational framework.",
"III. Discrimination and vulnerability: compounding factors in the impacts on and responses to disasters",
"11. Vulnerability is widely recognized as an important element in disaster risk reduction and management.[19] The most vulnerable, such as those living in poverty or with insecure tenure, are more likely to live in disaster-prone land; they are also at greater risks of displacement and loss of livelihood in the event of a disaster; and they will recover with more difficulty from the disaster.",
"12. On many occasions, vulnerability is compounded by direct or indirect discrimination, impacting on the ability of individuals and communities to protect themselves from disasters and to recover. The relevance of discrimination to disasters and disaster response may not be immediately apparent. Indeed, the term “natural disaster” could be taken as precluding responsibility, which may imply, in turn, the impossibility of discrimination. However, it is well accepted that the magnitude of impacts and distribution of losses from natural hazards are to a large extent man-made (see A/60/227). Disaster preparedness, mitigation and response are all subject to or conditioned by State action or omission, and may therefore be discriminatory.",
"13. The principles of equality and non-discrimination are firmly rooted in international human rights law. Attention to non-discrimination and equality requires Governments and aid organizations to pay particular attention to vulnerabilities and inequalities in pre-disaster contexts, and, in the aftermath of disasters, to address inequalities and protect the most vulnerable. United Nations treaty bodies have noted that even in times of severe resource constraints — as is typically the case in the wake of a disaster — States have a particular obligation to protect vulnerable members of society.[20] States should also take special measures to secure for disadvantaged groups the full and equal enjoyment of their human rights.[21] In post-disaster situations, such measures might translate into special assistance to support return of the most vulnerable groups or find land/housing for landless or homeless families.",
"A. Disadvantaged groups most affected by disasters",
"14. When Hurricane Katrina struck New Orleans in 2005, African Americans and poor people (with the two categories to a large extent blurred)[22] bore the brunt of the devastation because, for the most part, they lived most often in the lower-lying, more flood-prone sections of the city. In addition large numbers of the metropolitan area’s population (being generally poor) lacked the means to escape the flood.[23] The particular impacts and costs of the hurricane were therefore intimately linked to pre‑existing social, economic and land use patterns, directly related to housing and urban planning policies.",
"15. In Honduras, in the wake of Hurricane Mitch in 1998, the groups disproportionately affected included poor women, peasants and indigenous groups, many of whom had been living under insecure tenure conditions and in vulnerable areas exposed to strong winds, flooding and landslides (see A/HRC/16/42, para. 32). In Colombia, the floods throughout 2010 and into 2011 were said to have disproportionately affected those already displaced by conflict, particularly indigenous and Afro-Colombians, who tended to live in remote areas subject to violence from armed groups.[24]",
"16. In the aftermath of the Pakistan floods of 2010, it was acknowledged that the poor and vulnerable bore the brunt of the catastrophe, having no assets or safety nets. Those who were displaced by the floods and lost their assets and means of livelihood consisted disproportionately of landless tenants and labourers, living in non-/semi-permanent housing.[25]",
"B. Neglect and discrimination made visible by disasters",
"17. The earthquake in Haiti exacerbated and made visible a hitherto relatively invisible problem, namely, the dire conditions characterizing informal settlements in which the majority of the Port-au-Prince population lived.[26] The settlements, as many others elsewhere, had been created spontaneously and had never been recognized formally by the authorities. They had no or little access to basic infrastructure and services. With the earthquake, many of the residents moved to camps, either because their homes or neighbourhoods had been destroyed or damaged, or in order to be able to receive food or medical assistance, to take part in cash-for-work programmes, to save on rent (in the case of renters) or in the hope of receiving a house.",
"18. Sixteen months after the earthquake, there were still 634,000 people in over 1,000 camps. Observers noted that the camp populations were declining more slowly than in 2010, suggesting that people had nowhere else to go or had decided that however precarious their situation in the camps, it was still better than their situation of origin.[27] The earthquake thus highlighted long-entrenched patterns of discrimination and neglect. Disasters elsewhere have had similar effects.[28]",
"C. Recovery responses overlooking or discriminating against the most vulnerable",
"19. Recovery efforts, by overlooking or directly discriminating against some groups, can perpetuate and even reinforce pre-existing patterns of vulnerability and disadvantage. This is often the case with women. In the wake of the 2004 Indian Ocean tsunami, it was reported that the international response on many occasions strengthened “those who were better off and/or more articulate … while marginalizing those who had few assets, notably women”.[29] Relief efforts and policies, for instance, excluded women from livelihoods assistance and on occasion directly undermined women’s pre-existing rights, such as their rights to housing or land in matrilineal communities.[30] When women also happen to have insecure tenure — as they often do because their access to housing and land frequently hinges on a relationship with a man, or because they face additional hurdles as sole head of a household, they are particularly vulnerable.[31]",
"20. Disaster response appears to differ greatly according to whether it addresses the situation of individual, formally registered, property owners or that of all those with other types of tenure arrangements. It has been noted that in most housing reconstruction programmes, tenure documentation and legal proof of rights are prerequisites for establishing beneficiary eligibility, with the consequence of excluding the poorest and most vulnerable, including those residing in informal settlements with temporary or informal rights of tenure.[32] In a number of countries, displaced renters and squatters often find themselves excluded from permanent housing schemes designed to replace the assets of homeowners.[33]",
"21. Similar limitations have been seen in post-disaster needs assessments. While conditions pertaining to tenure and land ownership may be discussed and recognized as important at the level of principle, they are not always addressed in policies, strategies and sectoral priorities in practice. For instance, in the disaster needs assessment carried out by international financial institutions and the Government of Pakistan following the floods, the proposed housing and reconstruction strategy made no mention of land ownership or tenure issues, but only focused on the techniques and costs of housing reconstruction. In addition, policy priorities for other sectors relevant to land, such as agriculture, were said to favour landowners.[34]",
"22. Often, multiple factors of vulnerability and discrimination have a compounding effect. Post-Katrina responses by the federal and state governments in the United States generally were found lacking when it came to supporting lower-income renters — predominantly African American — and addressing the range of obstacles that prevented them from accessing affordable housing.[35] Despite a federal programme of housing vouchers, in practice, families with rent vouchers had difficulties finding rental units. Reasons included public and rental housing shortages (due to storm damage but also to subsequent decisions to massively cut down public housing), rent increases, discrimination by landowners,[36] the slow pace of rental housing construction and the decision by states in the Gulf coast to direct the bulk of federal funds towards repairing homeowner units rather than rental ones.[37] With a very limited option to rent, an important number of families were de facto denied return to their city and former homes;[38] which resulted in a rise in homelessness.[39]",
"23. The above examples show how discrimination, as much as vulnerability, is a key factor bearing upon disaster impact and response. Discrimination based on tenure status highlights a broader problem, namely the reluctance or inability of Governments, international and national organizations alike to adequately recognize and protect all forms of tenure equally.",
"IV. Recognizing and protecting all forms of tenure equally, from restitution to durable solutions programmes",
"24. The Special Rapporteur notes the centrality of tenure security in the right to adequate housing. Tenure security does not equate to a right to private ownership,[40] nor is it limited to the conferral of formal legal titles. There is a multiplicity of legitimate tenure arrangements besides private ownership,[41] such as public or private rental accommodation, cooperative housing, lease, occupation/rent of land or property in informal settlements, and other user or occupancy rights through customary or traditional arrangements all with varying degrees of formality.[42] It follows that only a minority of victims of natural disasters may in effect have individual, formally registered, ownership rights to their housing or land.",
"25. Nevertheless, the Special Rapporteur is concerned that policy and practice in post-disaster settings are skewed towards individual private ownership, as already shown in section III above. Section IV will focus on policy and practices pertaining to restitution and more broadly to durable solutions and reconstruction, as illustrations of the tensions between individual property ownership and other forms of tenure in practice.",
"A. Towards an expansive notion of housing and property restitution",
"26. The right to housing and property restitution has found its most specific elaboration in the Pinheiro Principles. At the time of their adoption, the Principles responded to an obvious need for guidance on the procedures and mechanisms necessary to facilitate property restitution. Today, as programmes for return and restitution have been applied in more diverse contexts and circumstances, it is time to reflect on the Principles and reinterpret them in the light of such practices.",
"27. The Principles, in their specific formulation and the mechanisms suggested to determine claims over property or land, are not entirely clear on the recognition of all forms of tenure rights. While some take an expansive view of the Principles,[43] others have criticized them as being overly focused on individual property ownership and contexts of formal and registered claims. By referring “the rights of tenants and other non-owners” in a separate provision (principle 16), the Principles may be seen to question whether these are on an equal footing with individual property owners. Equally, the call in the same principle for mechanisms of property restitution to recognize, “to the maximum extent possible”, those with rights to housing and land other than formal ownership needs clarification, although it could be seen as a practical suggestion rather than implying limitations to the entitlements of non-owners.[44]",
"28. The Principles must also be read against the particular context in which they were developed. While drawing on a number of sources, they were shaped by the experience of formal restitution mechanisms operating at the time, in particular in Bosnia and Herzegovina — a context of largely formal registration of private property and of what Yugoslav law called “socially-owned” apartments.[45] The restitution mechanism in Bosnia and Herzegovina, like others, has been criticized for doing little for those who did not own property or did not have recognized formal titles to them, and for being unable to deal with complex, informal systems of tenure with a plurality of customary, state or religious laws.[46]",
"29. The Special Rapporteur suggests that housing and property restitution must be understood as the restitution of any right to tenure related to housing or land prior to disaster, irrespective of tenure status or whether the land or housing is formally registered. An example of such an approach can be found in the South Africa Restitution of Land Rights Act, and in recent operational guidance on durable solutions.[47] Without pre-empting deeper discussion and clarification of their provisions, the Pinheiro Principles should be systematically viewed to embrace a wide ambit of situations and tenure rights. A number of elements in the Principles already point to an appropriately expansive conception of restitution, such as the systematic use of the term “housing, land and property” rather than only property.[48]",
"30. This more expansive view of restitution is grounded in the State obligations associated with the right to adequate housing to respect and ensure tenure security for all, irrespective of the form of tenure. The approach recognizes all those who are not individual owners of formally registered property as rights-holders. While post-disaster and post-conflict needs will vary with the context, the typology of human rights duties remains the same. Property restitution should be viewed and implemented in this light.",
"31. The practical implications of this expansive view of restitution as part of the right to remedy should be further examined with a view to articulating guidance on various scenarios.[49] For the purpose of the present report, however, and bearing in mind the qualified assessment of the Pinheiro Principles with respect to disaster situations (see section II above), property restitution will more often than not be a condition for return and other durable solutions, not a legal remedy. Understanding the equal legitimacy of all forms of tenure is thus not only relevant to restitution but even more so to efforts to ensure durable solutions and recovery. In such cases, States, with international organizations, must assess the tenure rights of all people affected by disasters and take measures to protect and ensure secure tenure post-disaster, whether at a former place of residence or elsewhere, should people be unable or unwilling to return.[50] Furthermore, the principle of non-discrimination and equality requires States and international organizations to prioritize assistance to those with most insecure tenure and strengthen tenure security for those with weak, ambiguous or vulnerable tenure, a responsibility often overlooked in relief and recovery efforts.",
"B. Recognizing tenure rights in practice, for the purpose of durable solutions",
"32. International agencies have shown reluctance to invest in places of return or relocation where land tenure is unclear and where legal and customary arrangements under which claims regarding housing or land may fall are diverse and at times conflicting. In that respect, reconstruction in urban areas might be particularly challenging since the areas they are often characterized by complicated land ownership and tenure issues.",
"33. This mindset is evident among many organizations operating in Haiti. As evident in one assessment:",
"The condition of land markets is chaotic and essentially lawless. Land ownership records are non-existent or ambiguous. Lack of clear title to a plot of land or written approval from a verified owner makes it difficult to supply a potential beneficiary with a new house or to support re-occupancy of prior homes.[51]",
"Clearly, this has been one of the reasons for the delay in reconstruction and return in Haiti. Similarly, in the aftermath of the Indian Ocean tsunami, the promulgation of contradictory policies and restrictions on land use at various levels of government and the contention surrounding these were said to have created obstacles to international recovery work and severely undermined efforts to pursue disaster risk management.[52]",
"34. Against this backdrop it is important to differentiate between two tasks. In the long term, there might be a need to formally record and strengthen ownership or tenure through legal reforms and other mechanisms such as land titling, thereby definitively resolving the ambiguous and uncertain situation in which many find themselves. In the short term, however, these means may not be the most appropriate to address reconstruction and recovery needs and to do so without reinforcing inequalities.[53] Experience also suggests the enormous challenge of attempting to deal with the full spectrum of ownership/tenure and land reform issues right after disaster or conflict. The Government of Pakistan noted that an appreciation of the social, political, technical and legal complexities of land tenure issues and the fact that those were not confined to the disaster-affected areas was essential.[54] In the short term, it remains nonetheless essential and opportune to assess pre-disaster tenure rights, through swift methods, in order to move effectively towards reconstruction and recovery in a way that ensures a minimum of tenure security to everyone and addresses some of the worse forms of inequality and insecurity.",
"35. The optimal means for determining housing or land claims for the purpose of reconstruction and return will depend on the particular context, in terms of tenure or property arrangements, formality and registration, and resources. As discussed, formal administrative or judicial property restitution mechanisms might not be applicable or appropriate in a number of situations, in particular those characterized by multiple tenure arrangements.[55] The Protocol on the Property Rights of Returning Persons of the International Conference on the Great Lakes Region offers a more comprehensive approach than the Pinheiro Principles in this regard, by providing that both administrative and traditional authorities should address property disputes, thereby acknowledging the importance of traditional and customary systems with regard to land.[56] The Protocol also envisages alternative and informal community-based mechanisms for resolving disputes, using requirements of proof of ownership based upon testimony.[57] In practice, organizations supporting return of refugees or displaced persons have often relied on customary law and traditional conflict resolution mechanisms to solve land disputes.[58] Caution must however be exercised so that women or others particularly vulnerable to discrimination are not excluded or disadvantaged in these processes.",
"36. One step further are “community” or “participatory” enumeration practices. Such participatory processes have been implemented in various countries for various aims, for instance to determine and strengthen tenure rights in informal settlements or for land adjudication.[59] In the absence of land records, in case of their destruction following disaster, or in context of multiple tenure arrangements, community enumerations offer promising and flexible alternatives to identify the state of occupancy and tenure pre-disaster or pre-conflict, thus ensuring a certain level of certainty and security of tenure in informdurable solutions. Community enumeration projects were implemented in the wake of the Indian Ocean tsunami,[60] and have been started in Haiti. Lessons should be drawn from experience in defining key elements and prerequisites of successful community mapping processes, applied to post-disaster situations, including their relationship with more formal or Government-led validation or land management processes, and the need to complement them with conflict resolution mechanisms.[61]",
"37. While mechanisms to assess, respect and strengthen tenure security post-disaster will differ depending on the context, they must in any event be guided by human rights principles, such as participation of affected communities and gender equality.",
"V. Disasters as opportunities — for whom?",
"38. It is often said that disasters, by creating a “clean slate”, offer major opportunities to launch into wide scale reforms and ambitious redevelopment. Disasters offer opportunities, but also serious risks, for the protection and promotion of human rights. The Special Rapporteur is concerned that in some cases, major redevelopment efforts, while benefiting some, have, by commission or omission, overlooked the most vulnerable and in fact violated key elements of the right to adequate housing.",
"A. From the redevelopment of coastal areas and cities to outsourcing reconstruction",
"39. The 2004 Indian Ocean tsunami was seen by many as providing major opportunities for redevelopment, sometimes under the guise of public safety and disaster risk mitigation. In the tsunami’s aftermath, zones prohibiting housing reconstruction along the coast (buffer zones) were in fact introduced in a number of countries affected by the tsunami; they ranged from 100 to 500 metres and, in some cases, if implemented fully, would have required the relocation of over 100,000 houses.[62] The zones were purportedly declared to protect residents from future disasters. They also had major impacts on the livelihoods of residents, especially those who relied on the sea for a living.",
"40. At the same time, ambitious plans for “redevelopment” and luxury tourism emerged, including for those coastal areas closed off to residents for safety reasons. One tourism board announced at the time that the tsunami offered an opportunity to make of its country a “world class tourism destination”.[63] It was reported that while displaced persons were prohibited from returning to their homes, the same prohibition did not apply to hotel complexes. In some places, land developers simply used the opportunity to grab land, especially from the most vulnerable communities. Luxury hotels sprang up in many coastal areas. Communities and civil society organizations complained that the creation of zones was used to arbitrarily evict poor coastal dwellers and indigenous communities to the benefit of businesses and new tourism facilities.[64]",
"41. The destruction of much of the housing stock in New Orleans after Hurricane Katrina was also seen as an opportunity to fundamentally change the housing and urban characteristics of the city. Notably, the four largest public housing complexes in New Orleans (the “big 4”), mostly inhabited by African Americans, were demolished to give way to planned redevelopment of mixed-income communities and other uses. Although in some cases there may have been no feasible alternatives because of the severity of the damages, the demolitions were mainly justified as essential to the city’s recovery and necessary for health and safety reasons.[65] Problematically, the planned developments were to include a small number of public housing units compared to the total available before Hurricane Katrina.[66] Their demolition was another obstacle preventing lower income residents from returning to New Orleans (see sect. III above).[67]",
"42. Concerns have also been expressed over what has been called “the business of reconstruction”, whereby the planning, financing and implementation of reconstruction are outsourced to private companies. In some cases, outsourcing reconstruction without putting adequate safeguards in place has been associated with negative impacts on the adequacy and affordability of reconstruction as well as on people’s ability to participate in and benefit from reconstruction efforts. In Chile, following the earthquake and subsequent tsunami of February 2010, the private sector reportedly played a central role in the reconstruction of urban centres and coastal areas. Following one of the main principles of the national reconstruction plan, families have the choice to decide whether to rebuild their homes on the same sites of the collapsed buildings or to acquire a previously existing or a newly built house. However, as housing reconstruction was supported mainly by subsidies attached to individual property, private constructors preferred to rebuild housing in new areas on the outskirts of towns, rather than the central areas from which many people had been displaced, where land and housing prices were much higher.[68] Real estate companies were also said to pressure families to sell land and housing at very low prices in a moment where they were very vulnerable, in order to make way for private redevelopment.[69] This shows that if left only to the market, new housing for the poorest will likely be in the peripheries.",
"43. Similar distortions were seen with respect to the construction market. In one case, it has been reported that in some cities a few companies were given a monopoly over construction materials, to the detriment of local small businesses, and in another, the reconstruction process led to increased prices by suppliers and construction companies, stymying individual reconstruction efforts.[70] Likewise, the outsourcing of transitional shelters by humanitarian agencies to international contractors might divert potential financial resources for displaced persons who could be supported to build their own shelter. The results in the latter instances are also less likely to be culturally appropriate.[71]",
"B. Acting with due diligence to protect the right to adequate housing",
"44. In the examples discussed above, post-disaster reconstruction has had negative impacts on the poorest. In the worst cases, disasters provided a clean slate and excuse for powerful actors to destroy housing or grab land, which would not have been possible in the pre-disaster context, where legal procedures would have had to be followed and affected households consulted and given access to remedies. At best, States did not adequately monitor the operation and regulation of the post-disaster housing and reconstruction markets, nor did they take measures to ensure that people retained access to affordable housing and were not in effect forced to leave their places of origin. While nothing prevents States from asking for the support of private companies in reconstruction efforts — and indeed private sector contributions can be essential to recovery — Governments must be mindful of their role to monitor private sector delivery and ensure that reconstruction does not benefit only a privileged few to the detriment of others.",
"45. Such examples could be seen as “constructive forced evictions”.[72] In such cases, international standards pertaining to forced eviction or arbitrary displacement apply. When forced eviction has been proved, people should have access to remedies, including to a fair hearing, access to legal counsel and to receiving reparation, such as housing or land restitution, adequate compensation, or alternative housing/land if they so choose.[73]",
"46. In cases where public security and safety concerns are legitimate and compelling, decisions over land use or housing regulations must nonetheless be subject to human rights standards — in particular the strict procedural requirements relating to the conduct of evictions, the right to redress and remedy and an opportunity for judicial review, and the economic, social and cultural rights of affected communities. Evictions should not result in individuals being rendered homeless. Where those affected are unable to provide for themselves, the State must take measures to ensure that alternative housing, resettlement or access to productive land is available.[74]",
"47. Restrictive measures must also conform to the principle of proportionality.[75] This calls for a balancing act between the rights of those affected with the interests of the State in mitigating the damage and ensuring public safety.[76] With respect to tsunami prevention for instance, any regulation preventing residents from returning to beachfront areas must be shown to be the least restrictive means of achieving public safety objectives. A State would have to show that other safety measures such as warning systems or dykes are not available or effective.[77]",
"48. Finally, experience with respect to land use restrictions compels consideration of a range of factors, including that resettling people involves large costs in terms of infrastructure and services and may also severely disrupt people’s livelihoods and community lives.[78] Settlement and housing patterns are not random but reflect a specific economic and social fabric that may be difficult to replicate elsewhere. Thus, both human rights standards and an assessment of the social and economic costs of displacement call for a more restrictive approach to the application of land/housing use restrictions.",
"VI. Recovery and durable solutions: addressing all aspects of the right to adequate housing",
"49. Beyond the more obvious protection aspects discussed above, it is important to address reconstruction from a broader view of adequate housing — including seeing housing as a social asset — and with the aim to progressively realize the right. Ensuring recovery and durable solutions, seen in this light, means rebuilding communities and neighbourhoods and ensuring an adequate standard of living, of which housing unit construction is only one part, sometimes not the most important or urgent.[79] Disasters do not take place in a vacuum: it is important to assess and address the wider housing context in which disasters take place.",
"A. Undue focus on houses and property",
"50. Post-disaster situations are likely to be characterized not only by massive damage to housing but also by mass displacement, disruption of social networks and relationships, damage or lack of access to basic services and loss of livelihoods, employment, assets, or land, which are all key factors that have an impact on enjoyment of the right to adequate housing. However, reconstruction and efforts to ensure durable solutions have too often focused on the most tangible aspects of housing (the physical structures). International organizations and Governments are prone to assume that housing reconstruction is the main priority for affected persons, rather than livelihoods or neighbourhood infrastructure.[80] When housing is assessed it is assessed as a technical or economic sector rather than as a human right, and the focus is on building and construction standards and materials, and on the quality of emergency and transitional shelters. In some cases the focus on property restitution has also been to the detriment of rebuilding and improving the broader social, political or economic conditions required to support sustainable return — jobs, basic services and infrastructure, and security. A commentator stated that, the “house” had become the measure of success of the return process rather than the actual welfare of the people displaced from their homes.[81]",
"51. The well-known slogan, “Build Back Better”, seems to, and certainly should, aspire to address the broader living conditions of affected communities. The special envoy of the Secretary-General to the Indian Ocean tsunami noted that the financial resources, international focus and openness to political and policy reform that often characterized a post-crisis period should allow for “build back better” and break out of inequitable development patterns in a sustained way.[82] Similar calls were made to consider the Pakistan floods as “an opportunity to build back better lives and to step up to the task of bringing dignity to the millions who live on the margins of society”.[83] However, implementing this inspiring idea is often reduced to its most technical meaning, for instance building houses using flood- and seismic-resistant standards.[84]",
"52. By contrast, a number of reconstruction projects worldwide have attempted to see the reconstruction process “as an opportunity to promote a local development process” rather than being limited to restoring pre-disaster conditions — the participation of communities being essential in that regard.[85]",
"B. Addressing the wider context in relief and recovery efforts",
"53. As mentioned above, the earthquake in Haiti highlighted the largely inadequate housing conditions and the precariousness and insecure tenure of informal settlements. The international community, by focusing on people displaced in camps, and by offering conditions superior to those enjoyed by many Haitians, inadvertently made camps attractive places. While systematic reconstruction accompanied by the provision of services in neighbourhoods of return is not forthcoming, there is thus little reason for poor families to leave the camps where housing and services are provided free of charge. Although understandable from an emergency perspective, a narrow focus on the plight of internally displaced persons and temporary solutions becomes, amidst a difficult socio-economic and tenure context, an obstacle to long-term recovery, and in some cases may result in further development problems.[86] Such situations are bound to become more frequent, with increased urbanization, much of which occurs in an unplanned manner (see A/64/255, paras. 13-21).",
"54. The situation in Haiti also serves as an example of the challenges facing the basic rationale for reconstruction and property restitution: in contexts characterized by massive poverty and grossly inadequate living and housing conditions, the question remains as to whether the final goal of reconstruction should be to provide high-quality houses for those who lost their dwellings in the disaster. The Special Rapporteur believes that interventions must instead aim to progressively realize the right to adequate housing for all. In Haiti, reconstruction and recovery have less to do with the construction of new houses for individuals directly affected by the disaster than with the improvement of the overall living and housing conditions in the unplanned and unserviced settlements affected by the disaster. The approach should thus focus on settlements and communities, not individual constructions, and the aim to create places where people can have an adequate standard of living.",
"55. Land use planning post-disaster can be a powerful instrument to provide both a reference for reconstruction and a legal basis for action in the immediate aftermath of a disaster. Post-disaster zoning can recognize de facto settlements, opening ground for investment in infrastructure and upgrading of hitherto unserviced and unplanned settlements in order to facilitate return and reconstruction.",
"56. From a human rights perspective, investment in upgrading settlements characterized by grossly inadequate living conditions as part of disaster response is not only legitimate but also indispensable, bearing in mind the obligation of non‑discrimination and attention to the most vulnerable. Moreover, for principled and pragmatic reasons, in a number of contexts it would be important to address the situation from a longer-term perspective: in the context of Haiti, this means a focus on improving conditions in settlements not damaged by the disaster (provided they are not in disaster-prone areas) but with the same urbanistic and vulnerability characteristics as those affected by it.",
"C. Disconnect between emergency and long-term recovery",
"57. The above examples also illustrate the existing disconnect between the emergency phase and longer-term recovery, as well as the difficulties of the international community, in many contexts, to manage the transition from one to the other.[87]",
"58. A focus on individual beneficiaries and on “deliverables” — food, shelters, health kits — as ends in themselves might divert from the fundamental responsibility to respect, protect and fulfil rights (to housing, water, health, for instance), and the requirement to think of the long term. In Haiti, it was reported that immediate needs had dominated the international community’s response and that specific pledges to support permanent housing requirements had therefore been less significant.[88] The Haiti Shelter Cluster of the Inter-Agency Standing Committee reported on the risks of institutionalizing camps and of consuming scarce resources in emergency measures at the expense of more durable permanent solutions were recognized.",
"59. Similarly, the massive construction of transitional shelters might not always be required or appropriate and in some cases might impede durable solutions, such as in dense, urban settings where people might be prevented from incrementally building permanent housing due to lack of space. The production of these shelters might unintentionally divert resources from the reconstruction of permanent housing and neighbourhoods, in a context of diminishing attention and aid flows over time.[89] It is thus not uncommon, regrettably, for people to live in transitional shelters many years following a disaster (see A/HRC/13/20/Add.4, para. 31). States and international organizations should not automatically assume the need for transitional shelters without considering whether alternative solutions can be supported.",
"60. Many have made the call for an integrated approach to ensure a continuum of aid between relief and recovery. In the previous report (A/HRC/16/42) to the Human Rights Council, the Special Rapporteur discussed some of the funding issues associated with the issue. The Special Rapporteur would like to encourage donors to support durable solutions and recovery at the earliest time possible and to help to ensure a continuum of aid, including by funding that can be flexible enough to do so.",
"VII. Conclusion",
"An approach to disaster response deliberately and comprehensively integrating the right to adequate housing",
"61. Integrating the right to adequate housing into disaster response has broad implications. In practice, however, comprehension of the right to adequate housing and its application to disaster response has been limited to only some aspects of the right, most notably linked to physical structures and individual property ownership. In some cases, reconstruction and recovery efforts — by omission or commission — have had a detrimental impact on victims of disasters and their enjoyment of the right to adequate housing.",
"62. In the view of the Special Rapporteur, making comprehensive efforts to realize the right to adequate housing in reconstruction efforts is not only an obligation but also an opportunity. While disaster response will not — and should not — replace development efforts, it provides an occasion to redress the inequalities that either exacerbated the natural disaster’s impacts or were made visible by it, and to contribute to efforts to progressively realize the right to adequate housing for all, notably by improving tenure security.",
"63. The recommendations below outline the fundamental elements of an approach to disaster response that is fully based on the right to adequate housing. They are meant to complement existing guidance when it comes to ensuring protection and realization of the right to adequate housing. Unless stated otherwise the recommendations are addressed to Governments, and international donors and organizations. Finally, recommendations for follow-up are provided, bearing in mind that the framework only outlines general principles that will need to be further refined and operationalized.",
"VIII. Recommendations",
"64. The Special Rapporteur makes the following recommendations:",
"A. General framework: disaster response based on the right to adequate housing",
"Overarching principles",
"1. Right to adequate housing",
"In all phases of disaster response the right to adequate housing should be respected and protected. It should be understood as the right to live in safety and security, in conditions deemed adequate on grounds of security of tenure; availability of services, materials, facilities and infrastructure; affordability; habitability; accessibility; location; and cultural adequacy.",
"2. Security of tenure",
"The multiplicity of forms of tenure should be recognized equally and Security of tenure should be ensured for everyone post-disaster.",
"3. Participation",
"• All affected persons and groups should have access to information and be able to participate meaningfully in the planning and implementation of the various stages of the disaster response.",
"• In particular, all affected persons and groups should have the opportunity to participate in the identification and determination of tenure rights; the choice over, planning and implementation of transitional shelter and permanent housing programmes, and of durable solutions (return, local integration, resettlement); and in decisions over land use planning and restrictions.",
"• Women’s participation must be ensured.",
"4. Non-discrimination and vulnerability",
"• In post-disaster needs assessments (for both emergency and recovery), pre-disaster inequalities and vulnerabilities should be identified, whether based on race, socio-economic status, tenure, gender or any other relevant grounds.",
"• In recovery plans, programmes should be devised to specifically address inequalities identified.",
"• Special measures should be taken to redress discrimination and ensure the realization of the right to adequate housing for the most disadvantaged groups, including through measures to strengthen tenure security for those with insecure status and/or through the prioritization of housing reconstruction and the provision of alternate housing, such as social or public housing, for the most vulnerable.",
"Operational principles",
"1. Equal rights to shelter and housing",
"• All affected persons, irrespective of their tenure status pre-disaster, should have equal rights to shelter in the emergency and transitional phases.",
"• Shelter and housing must fulfil the requirements of adequacy in international human rights law.[90]",
"2. Do no harm",
"No harm should be caused by or to others in respecting and protecting the right to adequate housing, including tenure security:",
"• Existing land, housing and identity records should be protected.",
"• Housing, land and property should be protected from further damage or destruction.",
"• States must prohibit and sanction forced evictions by Government and private actors alike.",
"• Health and safety regulations as well as disaster risk reduction measures, which may call for land use or housing restrictions, must be subject to human rights standards: their impacts on the human rights of individuals and communities must be assessed, and due process rights, and the rights to information and participation, must be upheld in all circumstances.",
"• Efforts must be made to ensure that humanitarian and shelter assistance, as well as the restitution laws, mechanisms and institutions that may emerge in post-disaster situations, do not intentionally or by default discriminate on the basis of tenure status.",
"3. Tenure of “non-formal owners”",
"The tenure rights of “non-formal owners”, namely those without individual, formally registered, property ownership, should be honoured:",
"• All pre-disaster tenure rights, including in disaster damage and needs assessments, should be assessed and recorded.",
"• In contexts where property and ownership are not formally registered, fast-track mechanisms to determine tenure rights, notably community-led processes (community enumeration), should be considered an essential element of and prerequisite to the implementation of restitution, reconstruction and recovery programmes.",
"• Housing and property restitution must be understood as the recognition and restitution of all tenure rights to housing or land.",
"• For those with insecure tenure, measures should aim at strengthening their security of tenure, for instance by granting rights to housing or land at places of origin, either immediately or in incremental stages. When restitution or return is not desirable for the affected persons or is not possible owing to land having disappeared or to compelling safety reasons that prevent the return, alternative housing or land should be granted at another location.",
"• Measures must be taken to support the repossession of or alternative access to adequate housing or land for all non-formal owners, with a particular focus on the most vulnerable.",
"4. Context of relief and recovery programmes",
"Relief and recovery programmes should be addressed within the overall housing context (of an area/city/country):",
"• In post-disaster needs assessments, major pre-disaster impediments to the realization of the right to adequate housing should be identified, as should the impact of pre-disaster situations on durable solutions and the recovery process.",
"• The broader housing situation, including unplanned and unserviced settlements, should be addressed through targeted programmes in conjunction with programmes for disaster response and with a focus on the most vulnerable populations.",
"5. Rebuilding communities",
"Communities and settlements, not just houses, should be rebuilt or resettled:",
"• Reconstruction should not only apply to physical structures but should also include or prioritize, as appropriate and according to the needs and requests of affected persons, the rebuilding or setting up of basic infrastructure and services and the upgrading of settlements.",
"• Community structures and networks, to the extent that they respect international human rights standards including on gender equality, should be deliberately preserved and supported.",
"6. Compliance with international standards",
"If return is impossible because the land has disappeared or there are objective safety grounds preventing return, of if it is not desired by the affected individuals or groups, resettlement and local integration conditions must comply with international human rights standards and guidelines pertaining to adequate housing, evictions and displacement.",
"7. Disaster risk reduction legislation",
"States must adopt disaster risk reduction legislation that respects the right to adequate housing. Special attention must be given to those who may face discrimination and exclusion, including on the grounds of tenure status, and measures must be devised to protect them.",
"B. Recommendations for follow-up",
"1. United Nations agencies and mechanisms, the Inter-Agency Standing Committee or organizations that are members of or cooperating with it, should consider undertaking further research on the practical integration of the right to adequate housing in disaster response, taking as a starting point the framework proposed by the Special Rapporteur.",
"2. Further work should be conducted on:",
"• The mechanisms to support the fast-track determination of tenure rights, including community mapping and enumeration, drawing lessons from existing practices to advise on their essential features and application in post-disaster situations.",
"• The legal and practical measures needed to support, in post-disaster situations, all those who are not individual owners of formally registered property.",
"• Territorial planning and land use instruments and tools and their potential to provide a technical and legal foundation for return and reconstruction programmes.",
"• The access to use and control over land in situations of natural disasters, including conditions for land requisition and acquisition for shelter/ settlement.",
"3. In their examination of State reports and country visits, United Nations human rights mechanisms should assess and make recommendations on the enjoyment of specific human rights in natural disaster situations, as well as the extent to which disaster prevention, relief and recovery efforts contribute to their enjoyment.",
"[1] International Disaster Database, http://www.emdat.be.",
"[2] The present report will nonetheless draw from examples in post-conflict settings, when relevant and applicable to post-disaster situations, and in the absence of documented examples in disaster situations.",
"[3] The Special Rapporteur would like to reiterate her thanks to the United Nations Stabilization Mission in Haiti, the Office of the High Commissioner for Human Rights and the United Nations Human Settlements Programme, which facilitated her visit.",
"[4] Human rights challenges in conflict and post-conflict settings have received more attention and the relevant standards have been further elaborated upon than in post-disaster situations. In addition to the standards discussed here, post-conflict responses would also be guided by international humanitarian law, refugee law and standards pertaining to remedies and reparation.",
"[5] See Committee on Economic, Social and Cultural Rights, General Comment No. 4, on the right to adequate housing.",
"[6] See Committee on Economic, Social and Cultural Rights, General Comment No. 7, on forced evictions; see also “Basic principles and guidelines on development-based eviction and displacement” (A/HRC/4/18, annex 1).",
"[7] Participation was discussed in the previous report to the Human Rights Council. Section III of the present report discusses non-discrimination.",
"[8] For example, in the Inter-Agency Standing Committee Operational Guidelines on the Protection of Persons in Situations of Natural Disaster, reference to adequate housing is made under C.2.1 but not in other potentially relevant provisions.",
"[9] See Erica Harper, International Law and Standards Applicable in Natural Disaster Situations (Rome, International Development Law Organization, 2009).",
"[10] The Representative of the Secretary-General on the human rights of internally displaced persons is among the exceptions. See observations by United Nations treaty bodies and special procedures, Universal Human Rights Index, http://www.universalhumanrightsindex.org/ en/index.html.",
"[11] The legal database on the Guiding Principles attests to their wide recognition. See http://www.idpguidingprinciples.org/.",
"[12] First issued in 2006, a revised version was published in 2011.",
"[13] Guiding Principles on Internal Displacement, principle 28; Inter-Agency Standing Committee Guidelines, D.2.2, D.2.3.",
"[14] Sub-Commission on the Promotion and Protection of Human Rights, resolution 2005/21.",
"[15] Principle 2.2. See also the seemingly unsettled debate as to whether there is a self-standing right to property restitution under international law: Malcolm Langford and Khulekani Moyo, “Right, remedy or rhetoric? Land Restitution in International Law”, Nordic Journal of Human Rights, vol. 28, No. 2 (2010). For the purposes of the present report, however, the Special Rapporteur is satisfied that the right to property restitution is an essential element of the right to remedy and reparation and to the right of refugees and internally displaced persons to return to their places of origin and habitual residence.",
"[16] Harper, International Law, chapter 4 (see footnote 9 above).",
"[17] Principle 1. See, among others, Charles Gould, “The Right to housing recovery after natural disasters”, Harvard Human Rights Journal, vol. 22 (2009); Rebecca Barber, “Protecting the right to housing in the aftermath of natural disaster: standards in international human rights law”, International Journal of Refugee Law, vol. 20, Issue 3 (2008).",
"[18] European Court of Human Rights, Budayeva and others v. Russia, 29 September 2008; Supreme Court of Pakistan, Floods Commission case, 7 June 2011, available from http://www.supremecourt.gov.pk/web/page.asp?id=735 (accessed 24 July 2011).",
"[19] See General Assembly resolution 64/200.",
"[20] Committee on Economic, Social and Cultural Rights, General Comment No. 3 on the nature of States parties obligations, article 2 (1) of the Covenant. See also concluding observations by the Committee on the Rights of the Child with respect to disasters, for instance, CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4.",
"[21] International Convention on the Elimination of All Forms of Racial Discrimination, article 1 (4); Convention on the Elimination of All Forms of Discrimination against Women, article 4.",
"[22] No less than 84 per cent of the city’s poor population was African-American. The Brookings Institution, “New Orleans after the storm: lessons from the past, a plan for the future” (2005), p. 6.",
"[23] Ibid., p. 13.",
"[24] Elizabeth Ferris and Daniel Petz, A Year of Living Dangerously: A Review of Natural Disasters in 2010 (London, The Brookings Institution — London School of Economics, 2011), p. 19. The Special Rapporteur welcomes information received from the Government of Colombia on the range of actions taken to address the effects of La Niña, such as the establishment of the “Fondo de Adaptación” charged to identify and manage projects aimed at finding durable solutions, including mitigation and preventing strategies.",
"[25] Government of Pakistan, Asian Development Bank and World Bank, Pakistan Floods 2010: Preliminary Damage and Needs Assessment, p. 68; Oxfam, Land Rights and the Indus Flood, 2010-2011: Rapid Assessment and Policy Review (Oxford, OxfamGB, 2011). The Special Rapporteur acknowledges the scale of the challenge faced by the Government and its efforts in handling relief and recovery, particularly the initiation of the Watan Card, which being non‑discriminatory between landowners and the landless, encouraged all to return home.",
"[26] It is estimated that before the earthquake 80 per cent of the Port-au-Prince population lived in informal settlements, on only 20 per cent of the land.",
"[27] International Organization for Migration, displacement tracking matrix, May 2011.",
"[28] Oxfam, Land Rights and the Indus Flood, p. 3 (see footnote 25 above).",
"[29] John Telford and John Cosgrove, Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report (London, Tsunami Evaluation Coalition, 2006), p. 104.",
"[30] Michael Lyons and Theo Shilderman, eds. Building Back Better: Delivering People-Centred Housing Reconstruction at Scale (London, Practical Action, 2010) (with respect to communities in Sri Lanka); ActionAid, “Tsunami response: a human rights assessment” (2006), pp. 43-47.",
"[31] Following Hurricane Katrina, women were particularly affected by the lack of affordable/public housing since prior to the storm they had headed the majority of public housing and voucher-subsidized households. See Ferris and Petz, A Year of Living Dangerously (see footnote 24 above).",
"[32] See World Reconstruction Conference: Recovering and Reducing Risks after Natural Disasters: Proceedings (Geneva, May 2011), p. 31.",
"[33] See report of the United Nations Special Envoy for Tsunami Recovery, William J. Clinton, “Key propositions for building back better” (2006); (Hakan Arslan and Cassidy Johnson, “Turkey: can small actors overcome the absence of state will?”, in Building Back Better: Delivering People-Centred Housing, Lyons and Shilderman, eds. (see footnote 30 above).",
"[34] Oxfam, Land Rights and the Indus flood, pp. 24 and 25 (see footnote 25 above); Government of Pakistan and others, Pakistan Floods 2010, annexes on housing, agriculture and the financial sector (see footnote 25 above). See also part III of the present report for a discussion on tenure/land assessments.",
"[35] See Advisory Group on Forced Evictions, “Mission report to New Orleans”, 26-31 July 2009, and A/HRC/13/20/Add.4, para. 30. A total of 90 per cent of neighbourhoods dominated by public housing were populated by African-Americans, of which 80 per cent were renters in those areas. See Ferris and Petz, A Year of Living Dangerously, p. 74 (see footnote 24 above).",
"[36] The Special Rapporteur welcomes the information received by the Government of the United States of America and concerning the measures undertaken by the Government, including by the Department of Housing and Urban Development, to combat housing discrimination by private and public actors and, inter alia, its measures to combat systematic discrimination caused by restrictive zoning or rental ordinances that discriminate against African-Americans, such as ordinances passed by St. Bernard’s Parish after the hurricane.",
"[37] United States Government Accountability Office, Disaster Housing: FEMA needs more detailed guidance and performance measures to help ensure effective assistance after major disasters, 2009, pp. 11-13; “4 Years After Katrina: Housing crisis continues, low-income renters face discrimination”, Facing South, 21 August 2009.",
"[38] Ferris and Petz, A Year of Living Dangerously, p. 74 (see footnote 24 above).",
"[39] Advisory Group on Forced Evictions, “Mission report”, p. 5 (see footnote 35 above).",
"[40] In some circumstances, private ownership may in fact not be the most appropriate way to ensure tenure. See A/HRC/10/7.",
"[41] See comments on the report of the Special Rapporteur (A/HRC/16/42/2010) by delegations supporting this view, Human Rights Council, sixteenth session.",
"[42] The Special Rapporteur notes the categorization used among humanitarian agencies of “six tenure options”, an acknowledgment of the need to also address other forms of tenure. United Nations and Shelter Centre, Shelter after Disaster (2010), p. 107.",
"[43] Langford and Moyo, “Right, remedy or rhetoric?”, pp. 148 and 149 (see footnote 15 above).",
"[44] See also recognition of the possessory rights of traditional and indigenous communities, principle 15.3, separate from principle 16.",
"[45] See http://www.ohr.int/plip; Norbert Wühler and Heike Niebergall), eds., Property Restitution and Compensation: Practices and Experiences of Claims Programmes (Geneva, International Organization for Migration, 2008).",
"[46] Rhodri Williams, “Post-conflict property restitution in Bosnia: balancing reparations and durable solutions in the aftermath of displacement”, presented at TESEV International Symposium on internal displacement in Turkey and abroad, Istanbul, December 2006; Conor Foley, Ingunn Sofie Aursnes, “Land, housing and property restitution after conflict: principles and practice”, Humanitarian Exchange Magazine (2005), p. 2. Norwegian Refugee Council, on Afghanistan’s special property restitution court, 2005.",
"[47] Office of the President, No. 22 of 1994, Restitution of Land Rights Act, chapter I (1) xi; Inter‑Agency Standing Committee, Framework on durable solutions for internally displaced persons (Washington D.C., The Brookings Institution, 2010), p. 35.",
"[48] See also principles 8 and 15.2; E/CN.4/Sub.2/2005/17/Add.1, para. 62; Langford and Moyo, “Right, remedy or rhetoric?” (see footnote 15 above).",
"[49] Including situations whereby tenure rights are solely based on use, or whereby restitution is materially impossible, such as in cases where tenants are unable to return to their places of residence, or the original sites have disappeared or been declared non-aedificandi after the disaster.",
"[50] Importantly, someone’s right to tenure is not dependent on the actual reoccupancy of a former place of habitual residence.",
"[51] International Housing Coalition, “Haiti shelter sector assessment: one year after the earthquake” (April 2011), p. 12.",
"[52] Telford and Cosgrove, Synthesis report, p. 102 (see footnote 29 above); and Ian Christoplos, Links between Relief, Rehabilitation and Development in the Tsunami Response: a Synthesis of Initial Findings (London, Tsunami Evaluation Coalition, 2006), p. 71.",
"[53] With respect to Haiti, it was commented that “a strict asset-replacement approach to housing provision and a rush to confirm property rights … will not be appropriate to meet the housing needs of the majority of the affected population who are tenants and squatters rather than owners”. A proposal to move quickly with the implementation of a cadastre was considered inappropriate, with the potential to “reinforce biases towards the most established and powerful formal owners able to produce documentation”. Kate Crawford and others, “Coordination and the tenure puzzle in Haiti”, Humanitarian Exchange Magazine No. 48 (2010), p. 8.",
"[54] Comments received on an earlier draft. Similarly, the Government of Timor-Leste chose a long time frame to address land issues. Comments by Timor-Leste on the report of the Special Rapporteur (A/HRC/16/42), 8 March 2011.",
"[55] Formal special mechanisms are also resource- and time-consuming. See Kosovo property agency annual report, 2010.",
"[56] International Conference on the Great Lakes Region, Protocol on the Property Rights of Returning Persons (Great Lakes Protocol), 2006, article 4.",
"[57] Great Lakes Protocol, article 4 (3).",
"[58] See A/HRC/16/42, paras. 44 and 45 (on Timor-Leste); and Foley and Aursnes, “Land, housing and property” (see footnote 46 above).",
"[59] United Nations Human Settlements Programme, Count Me In: Surveying for Tenure Security and Urban Land Management (Nairobi, 2010).",
"[60] Ibid. (on Aceh, Indonesia), pp. 79-83; and Harper International Law, p. 209 (see footnote 9 above).",
"[61] See World Reconstruction Conference: Recovering and Reducing Risks, pp. 33 and 34 (see footnote 32 above).",
"[62] Oli Brown and Alec Crawford, “Addressing land ownership after natural disasters: an agency survey”, 2006, p. 6; and Human Rights Watch, “After the deluge: India’s reconstruction following the 2004 tsunami”, p. 41. Some of the most important restrictions were ultimately abandoned.",
"[63] Tourism Concern, “Post-tsunami reconstruction and tourism: a second disaster?”, 2005.",
"[64] Action Aid, “Tsunami response”, pp. 17 and 18 (see footnote 30 above); Malcolm Langford and Jean du Plessis, “Dignity in the rubble? Forced evictions and human rights law”; and Brown and Crawford, “Addressing land ownership” (see footnote 62 above).",
"[65] Julia Cass and Peter Whoriskey, “New Orleans to raze public housing”, Washington Post, 8 December 2006.",
"[66] Amnesty International, “UN-Natural disaster: human rights in the Gulf coast”, 2010, p. 6; and Advisory Group on Forced Evictions, Mission report, pp. 5, 28-32 (see footnote 35 above).",
"[67] A/HRC/13/20/Add.4, para. 30. The Special Rapporteur welcomes the information received from the Government, as well as the fact that, owing to a combination of housing policies, there are now more housing subsidies beneficiaries in New Orleans than prior to Hurricane Katrina.",
"[68] 2011 report on the earthquake-tsunami of 27 February 2010 and the reconstruction process in Chile, prepared for the Special Rapporteur on the right to adequate housing by Habitat International Coalition, Habitat for Humanity, the Housing Institute of the Faculty of Architecture and Urbanism, the Observatory of Reconstruction, “Sur Maule”, “Let’s build” and “Observatory and Housing” networks.",
"[69] Ibid.",
"[70] Ibid; see also A/HRC/13/20/Add.3, para. 25.",
"[71] See by contrast the success of “owner-driven approaches” to reconstruction. World Reconstruction Conference: Recovering and Reducing Risks, pp. 25-27 (see footnote 32 above).",
"[72] Malcolm Langford, “The right to return and resettlement after the tsunami disaster”, Disaster Brief, vol. 2 (2) (July-September 2005). The term “constructive eviction” is used in some countries to describe actions or omissions by a landlord that make the premises unhabitable or unsuitable for the purposes for which they were leased.",
"[73] Committee on Economic, Social and Cultural Rights, General Comment No. 7, General Assembly resolution 60/147, entitled “Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law; and the Pinheiro Principles.",
"[74] General Comment No. 7, para. 16. Inter-Agency Standing Committee Guidelines, C.2.4, C.2.5.",
"[75] Human Rights Committee, General Comment No. 27, on freedom of movement.",
"[76] “Protection of internally displaced persons in natural disasters: a working visit to Asia by the Representative of the Secretary-General on the human rights of internally displaced persons”, Walter Kälin, 2005, p. 22.",
"[77] Langford, “The right to return and resettlement” (see footnote 72 above).",
"[78] World Bank, Hazards of Nature, Risks to Development: an IEG Evaluation of World Bank Assistance for Natural Disasters (Washington, D.C., 2006); Active Learning Network for Accountability and Performance in Humanitarian Action, “Responding to earthquakes, 2008: learning from earthquake relief and recovery”.",
"[79] Inter-Agency Standing Committee, Framework on Durable Solutions (see footnote 47 above). Lessons could be drawn from good development practices on resettlement, for instance: Michael Cernea and Christopher McDowell, eds., Risks and Reconstruction: Experiences of Resettlers and Refugees (Washington, D.C., World Bank, 2000).",
"[80] See for instance, with reference to housing construction in Indonesia, Lyons and Shilderman, eds., Building Back Better, p. 157 (see footnote 30 above).",
"[81] Megan Ballard, “Post-conflict property restitution: flawed legal and theoretical foundations, Berkeley Journal of International Law 462 (2010) (with respect to Bosnia and Herzegovina).",
"[82] United Nations Special Envoy for Tsunami Recovery, “Key positions for building back better” (see footnote 33 above).",
"[83] Government of Pakistan, Asian Development Bank and World Bank, Pakistan Floods, p. 7 (see footnote 25 above).",
"[84] Ibid., pp. 22 and 94.",
"[85] See for instance projects in Peru: Lyons and Shilderman, eds., Building Back Better, pp. 307-344 (see footnote 30 above).",
"[86] The case of “Camp Corail” at the outskirts of Port-au-Prince epitomizes such difficulties. Intended as a temporary camp for the displaced living in areas most at risk, it has attracted people from everywhere and has been transformed within a few months into a new informal settlement, with at least 50,000-60,000 residents as of May 2011.",
"[87] John Holmes, “Learning the lessons of Haiti”, Humanitarian Exchange No. 48 (October 2010), p. 3.",
"[88] United States of America strategy entitled “Post-earthquake United States Government Haiti strategy: towards renewal and economic opportunity” (2011).",
"[89] In Haiti, a T-shelter costs $2,500 on average, while the cheapest estimates for permanent housing are around $3,500 per house.",
"[90] See overarching principle No. 1."
] | A_66_270 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda [1]",
"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"The right to adequate housing",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the General Assembly the report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non-discrimination in this context, Ms. Raquel Rolnik, submitted in accordance with paragraph 2 (h) of Human Rights Council resolution 15/8.",
"Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living",
"Summary",
"The present report focuses on the realization of the right to adequate housing in post-disaster settings. The present report evaluates human rights standards and norms that are relevant to a disaster response approach based on the right to adequate housing; and discusses some existing constraints. The report elaborates on the key challenges to the guarantee and realization of the right to adequate housing in disaster relief operations: lack of attention to or discrimination against vulnerable and vulnerable groups; excessive emphasis on individual property rights and the difficulties associated with the equal recognition and resolution of complex forms of land rights in property restitution and rehabilitation plans; the risk of post-disaster reconstruction being primarily a business or development plan that benefits minorities; and the limitations of existing reconstruction and rehabilitation frameworks. The report concludes with a brief overview of the basics of a disaster response approach, which integrates the right to adequate housing in a targeted and comprehensive manner.",
"Contents",
"Page",
"Introduction",
"Assessment of the legal and policy framework for responding to natural disasters 4",
"III. Discrimination and vulnerability: impacts of disasters and compounding factors in disaster response 6",
"A. Vulnerable groups most affected by disasters 7",
"B. Neglect and discrimination revealed by disasters 8",
"C. Recovery responses that neglect or discriminate against the most vulnerable 8",
"IV. Recognition and protection of all forms of land rights, from restitution to durable solutions, without discrimination",
"A. Comprehensive approach to housing and property restitution 11",
"B. Recognition of de facto land rights for durable solutions 13",
"Disasters become opportunities — for whom? 15",
"A. Outsourcing from coastal and urban redevelopment to reconstruction 14",
"B. Due diligence to guarantee the right to adequate housing 17",
"VI. Recovery and durable solutions: addressing all aspects of the right to adequate housing 17",
"A. Inadequate attention to housing and property 18",
"B. Addressing broader issues in relief and recovery efforts 19",
"C. Lack of linkages between the emergency phase and long-term recovery 20",
"Conclusions",
"VIII. Recommendations 21",
"A. General framework: disaster relief based on the right to adequate housing 21",
"Follow-up recommendations",
"Introduction",
"1. The present report focuses on the realization of the right to adequate housing in post-disaster settings. The present report should be read in conjunction with the report submitted to the Human Rights Council (A/HRC/16/42), in which the Special Rapporteur explores the problems common to post-conflict and post-disaster settings.",
"2. Despite the many similarities between post-conflict and post-disaster environments, post-disaster environments face certain challenges that require different responses. Taking into account the increasing prevalence of disasters worldwide, with unprecedented devastating consequences,[2] the Special Rapporteur has decided to focus on disasters in view of the fact that this trend is likely to continue with climate change, rapid urbanization and population growth and that there are relatively few experiences and guidelines that can address the right to adequate housing in post-disaster situations as compared to post-conflict settings. [3] The Special Rapporteur also took the opportunity to undertake a mission to Haiti (8-11 June 2011) to assess the reconstruction and relief efforts following the January 2010 earthquake, which greatly enriched her insights into the present report and highlighted the need for attention to the disaster. [4]",
"3. Post-disaster reconstruction and rehabilitation in the context of the right to adequate housing is of great importance. The Special Rapporteur is concerned that, with a few notable exceptions, disaster relief and recovery efforts have so far continued to take a narrow view of the content of the right to adequate housing, leading in some cases to violations of this right. The first part of this report assesses the relevant guidelines. Parts II to V elaborate on major challenges. The report concludes with a brief overview of the basics of a disaster response approach, which includes the right to adequate housing in a targeted and comprehensive manner, as well as recommendations for follow-up measures.",
"Assessment of the legal and policy framework for responding to natural disasters",
"Despite the existence of a number of standards and guidelines to ensure the right to adequate housing in post-disaster settings, their understanding and application are often incomplete. [5] As discussed below, there are other more specific constraints.",
"5. The International Covenant on Economic, Social and Cultural Rights (art. 11) recognizes very clearly the right to adequate housing. The Committee on Economic, Social and Cultural Rights has emphasized the importance of a broad interpretation of this right, identifying seven areas in which States must progressively realize the right to adequate housing: security of tenure; provision of services, goods, facilities and infrastructure; affordable; habitability; accessibility; location; and an appropriate cultural environment. [6] These seven dimensions, as well as safeguards to address evictions and resettlement arising from the right to adequate housing [7], are linked to disaster relief and are also an expression of the human rights principles of participation, non-discrimination and equality. [8]",
"6. However, the existing guiding principles for dealing with disaster situations do not give sufficient attention to the right to adequate housing. When referring to the right to adequate housing, this right is limited to the need to provide shelter, housing or protection. [9] Few efforts have been made to address the right to adequate housing in a more comprehensive manner, at the level of guidance from various organizations and in the form of authoritative policies of universal application. [10] The United Nations human rights mechanisms — with some notable exceptions — have likewise failed to address the particular problems of disaster situations and their impact on the enjoyment of the right to adequate housing or other human rights, and remain general mechanisms. [11]",
"Most of the measures that address disasters from a human rights perspective focus on specific groups, in particular internally displaced persons and refugees. The Guiding Principles on Internal Displacement are important in this regard and are recognized as an important international framework for the protection of internally displaced persons in post-conflict and post-disaster settings. [12] Although initially focused on the protection of internally displaced persons in conflict and post-conflict situations, policy and operational guidelines for responding to natural disasters have been developed in recent years, and their application has been extended to all those affected by disasters, including but not limited to internally displaced persons. In this regard, the Inter-Agency Standing Committee Guidelines for Action on the Protection of Persons in the Event of Natural Disasters (IASC Guidelines) are an important document. [13] These guidelines and the above-mentioned guiding principles recognize the right of persons displaced as a result of conflict or disaster to a durable solution, that is, to return to their homes or places of habitual residence (and, as a key condition for sustainable return, to housing or land, relocation or local integration). [14]",
"8. The 2005 Principles on Housing and Property Restitution for Refugees and Displaced Persons [F] 15] (The Pinheiro Principles) further recognize that refugees and displaced persons have a separate “right to rehabilitation” (covering housing, land and/or other property). [16] An important question is whether the Pinheiro Principles apply in post-disaster situations. The intention seemed to be that the Pinheiro Principles should be applied, while the central idea underlying principle 1.2 was that displaced persons were in a similar situation, regardless of the cause, and that they had the right to return to their place of residence and, therefore, to rehabilitation. It was thus interpreted as applying to all natural disaster situations. However, others pointed out that the Pinheiro Principles were explicitly limited to “a wanton or unlawful deprivation” of former homes, lands or places of residence of displaced persons. [18]",
"This does not mean that the Pinheiro Principles are not relevant to situations of natural disasters. First, the Pinheiro Principles are fully applicable when, after a disaster, there are actual instances of wanton or unlawful deprivation or destruction of housing or land, including what can be said to be the denial of the right of displaced persons to return to their homes (see section IV below), and when there is a State ' s unwarranted negligence in disaster prevention, mitigation or early warning systems. Second, the Pinheiro Principles identify existing norms relating to the right of displaced persons and refugees to return to their homes and provide guidance on how best to address technical and legal issues related to housing, land and property restitution, which have been reflected to varying degrees in subsequent policies and practices.",
"10. Thus, a disaster response approach that takes full account of the right to adequate housing will integrate the above-mentioned norms and principles, and the various elements of the right to adequate housing are at the heart of such an approach. The last section of the report recommends that the guidelines be integrated into a single conceptual framework for action.",
"III. Discrimination and vulnerability: impacts of disasters and compounding factors in disaster response",
"11. Vulnerability is widely recognized as an important factor in disaster risk reduction and management. [20] The most vulnerable groups, such as the poor or insecure, are more likely to live in disaster-prone areas; in the event of disasters, they are also at greater risk of displacement and loss of livelihood; and they will face greater difficulties in recovering from the effects of disasters.",
"12. In many cases, direct or indirect discrimination increases vulnerability, thereby affecting the ability of individuals and groups to be protected from and recover from the effects of disasters. The relationship between discrimination and disasters and disaster relief may not be obvious. Indeed, the term “natural disaster” could be regarded as excluding responsibility, which in turn meant that there could be no discrimination. However, it is certain that the impact of the damage caused by natural hazards is largely man-made (see A/60/227). Disaster preparedness, mitigation and response are all subject to or dependent on the actions or omissions of the State and may therefore be discriminatory.",
"13. The principles of equality and non-discrimination are firm principles of international human rights law. Attention to non-discrimination and equality requires that Governments and aid organizations pay special attention to vulnerability and inequality before disasters occur; in the aftermath of disasters, Governments and aid organizations should address inequalities and protect the most vulnerable. United Nations treaty bodies have pointed out that even in times of severe resource constraints — as often happens after disasters — States still have specific obligations to protect vulnerable members of society. States should also take special measures to ensure the full and equal enjoyment of human rights by vulnerable groups. [22] In post-disaster situations, such measures may translate into special assistance to support the return of the most vulnerable groups or to find land/housing for landless or homeless families.",
"A. Vulnerable groups most affected by disasters",
"14. In 2005, Hurricane Katrina struck New Orleans, with African-Americans and the poor (the distinction between the two categories being largely blurred [23]) bearing the brunt because most of them usually live in a low-lying, flood-prone area of the city. In addition, large numbers of urban dwellers, who are generally poor, lack the means to escape the floods. The specific effects and costs of Hurricane Katrina are therefore inextricably linked to pre-existing social, economic and land-use patterns and are directly related to housing and urban planning policies.",
"15. In Honduras, following Hurricane Mitch in 1998, the groups severely affected by the storm included poor women, farmers and indigenous groups, many of whom lived in vulnerable areas where land rights were insecure and vulnerable to strong winds, floods and landslides (see A/HRC/16/42, para. 32). In Colombia, flooding from 2010 to 2011 is said to have severely affected persons displaced by the conflict, in particular indigenous and Afro-Colombian peoples. They often live in remote areas vulnerable to violence by armed groups. [25]",
"16. After the 2010 floods in Pakistan, poor and vulnerable groups bore the brunt of the disaster owing to the lack of assets or welfare security. Those displaced by the floods and deprived of their property and livelihoods are mostly landless tenants and labourers living in irregular/semi-permanent housing. [26]",
"B. Neglect and discrimination revealed by disasters",
"17. The earthquake in Haiti has exacerbated and exposed a problem that has so far been relatively unknown, namely the poor condition of informal housing, where most people live in Port-au-Prince. These houses, like many others elsewhere, were built spontaneously and never officially recognized by the authorities. These houses lack or have little or no basic infrastructure and services. As a result of the earthquake, many residents moved into tents, either because their homes or communities had been destroyed or damaged, or in order to obtain food or medical assistance, to participate in the “cash-for-work” programme, to save rent (for tenants) or to expect to receive housing.",
"18. Twelve months after the earthquake, 634,000 people still lived in over 1,000 tents. Observers pointed out that the decline in the number of people living in tents compared to 2010 was slower, indicating that people were unable to move to other places or that people had decided that life in tents, however dangerous it was, was still better than where they were born. [28] The earthquake in Haiti has thus highlighted deeply rooted patterns of discrimination and neglect. Disasters elsewhere have had similar effects. [29]",
"C. Recovery responses that neglect or discriminate against the most vulnerable",
"19. Rehabilitation efforts may perpetuate or even exacerbate pre-existing forms of vulnerability and vulnerability by neglecting or directly discriminating against certain groups. This is often the case for women. After the Indian Ocean tsunami of 2004, there were reports that the international community's response has in many cases consolidated “the position of those who are richer and/or better represented ... Those with few assets, especially women, have been marginalized.” [30] Relief efforts and policies, for example, result in women ' s lack of access to livelihood assistance, sometimes directly undermining women ' s prior rights, such as their right to access to housing or land within matrilineal communities. [31] Women's land rights happen to be insecure — a situation in which they often find themselves, because their access to housing and land often depends on their relationship with men or because they are particularly vulnerable because of the greater difficulties they face as sole heads of household. [32]",
"20. Depending on whether relief efforts address the situation of individual duly registered property owners or all those with other types of land rights arrangements, there appears to be a significant difference in response efforts. It has been pointed out that in most housing reconstruction programmes, land rights instruments and legal rights are prerequisites for programme beneficiaries, with the result that the poorest and most vulnerable groups, including those living in informal housing, are excluded from temporary or informal land rights. [33] In some countries, displaced tenants and squatters often find themselves without access to a permanent housing scheme designed to replace the owner ' s assets. [34]",
"21. Similar limitations were identified in post-disaster needs assessments. While land and land tenure conditions can be discussed and recognized as being of principled importance, they are not always implemented in specific policies, strategies and the actual priorities of the various sectors. For example, in a post-disaster needs assessment conducted by international financial institutions and the Government of Pakistan in the aftermath of the floods, the proposed housing and reconstruction strategy does not address land ownership or land rights, but focuses only on the technology and cost of housing reconstruction. In addition, land-related policies, such as agricultural policies, that are prioritized in other sectors, are said to benefit landowners. [35]",
"22. Multiple factors of vulnerability and discrimination often interact and affect each other. In the aftermath of Hurricane Katrina, it was generally found that United States federal and state government relief measures did not support low-income tenants (mainly African-Americans) and did not address the barriers that prevented them from accessing affordable housing. [36] Despite a federal voucher scheme, in practice it is difficult for families with rental vouchers to find rental housing. This is due to the shortage of public and rental housing (not only as a result of the damage caused by the wind, but also as a result of subsequent decisions to reduce public housing on a large scale), rent increases, and discrimination by landowners. 37], the slow construction of rental housing and the decision of the states along the Gulf of Mexico to allocate most of the federal funds for the repair of the owner ' s house instead of the rental house. [38] Because of the very limited options available for rental housing, a considerable number of families are in fact prohibited from returning to their cities and former homes;[39] This has led to an increase in the number of homeless persons. [40]",
"23. The examples cited above illustrate how discrimination and vulnerability have become a key factor related to disaster impact and response measures. Discrimination based on the status of land rights highlights a broader problem where Governments, international organizations and domestic organizations are unwilling or unable to fully recognize and protect land rights without discrimination.",
"IV. Recognition and protection of all forms of land rights, from restitution to durable solutions, without discrimination",
"24. The Special Rapporteur notes the centrality of security of tenure in the right to adequate housing. Security of tenure does not amount to private ownership, nor is it limited to the granting of formal legal title. In addition to private ownership, there are a variety of legal land rights arrangements, such as public or private rental housing, cooperative housing, lease, occupation/lease of land or informal property, as well as other usufruct or tenure rights through customary or traditional arrangements - These land rights are subject to different degrees of formalities. [43] There is reason to believe that only a small number of victims of natural disasters may in fact enjoy duly registered individual ownership of their homes or land.",
"25. Nevertheless, the Special Rapporteur is concerned that post-disaster policies and practices favour individual private ownership, as evidenced in section III above. Part IV will focus on policies and practices related to restitution — and more generally to durable solutions — to illustrate the actual tensions between individual property ownership and other forms of land rights.",
"A. Comprehensive approach to housing and property restitution",
"The right to “housing and property” restitution is most specifically addressed in the Pinheiro Principles. When the Pinheiro Principles were adopted, there was a clear need for guidance on the procedures and mechanisms necessary for property restitution, and the Pinheiro Principles responded to that need. Now, since return and restitution programmes are already applied to more diverse contexts and situations, it is time to carefully consider and reinterpret the Pinheiro Principles in the light of this practice.",
"27. In the context of the specific development of the Pinheiro Principles, as well as the mechanisms for determining claims to property or land set out in the Pinheiro Principles, land rights in all their forms are not sufficiently well recognized, and others have criticized the Pinheiro Principles for disproportionate attention to individual property ownership and formal and registered claims. In a separate article (principle 16), the Pinheiro Principles refer to “the rights of landholders and other non-owners” and may be considered to call into question whether these rights are on an equal footing with individual property ownership rights. Similarly, the requirement in the same principle that property restitution mechanisms “to the maximum extent” recognize the right to housing and land in addition to formal ownership requires clarification of the nature of the right, although this principle can be understood as a practical recommendation rather than a limitation on the legal rights of non-owners. [45]",
"28. The Principles must be understood in the specific context in which they were developed. Although the sources of information for the development of the Pinheiro Principles are diverse, what formed the Pinheiro Principles is the practical experience of the formal restitution mechanisms then in force, particularly in Bosnia and Herzegovina - The background is mainly the duly registered private property and the “socially owned” apartments referred to in Yugoslav law. The restitution mechanisms in Bosnia and Herzegovina, like those elsewhere, have been criticized for little care for those without property or with recognized formal property rights, and for not being able to deal with complex informal land rights systems under a variety of customary, State or religious laws. [47]",
"29. The Special Rapporteur recommends that housing and property restitution must be understood as the restitution of any land rights relating to housing or land prior to the disaster, regardless of the status of the land rights or whether the housing or land is officially registered. Examples of this approach can be found in the South African Land Rights Restitution Act and in recent work guidance on durable solutions. [48] In the absence of a first in-depth discussion and elaboration of the provisions of the Pinheiro Principles, the Pinheiro Principles should be systematically understood as encompassing a wide variety of situations and land rights. Some elements of the Pinheiro Principles indicate that the concept of restitution is appropriately broad, such as the systematic use of the expression “housing, land and property” rather than merely “property”. [49]",
"30. The Pinheiro Principles hold this more comprehensive view of restitution on the basis of the State ' s obligations in relation to the right to adequate housing to respect and ensure security of tenure for the entire population, regardless of the form the right may take. This approach recognizes that those who do not belong to the individual owners of officially registered property are also entitled persons. While post-disaster and post-conflict needs may vary depending on the context, the types of human rights responsibilities are the same. Property restitution systems should be seen and implemented on this basis.",
"31. The relevance of this comprehensive view of the restitution system as an integral part of the right to relief should be further examined in order to provide a clear and strong guide to situations. For the purposes of the present report, however, it should be borne in mind that the Pinheiro Principles provide a qualified assessment of the disaster situation (see part II above), and that property restitution systems are often a condition for return and other durable solutions rather than a legal remedy. Understanding that all forms of land rights have equal legal status relates not only to restitution systems but even to efforts to ensure durable solutions and recovery. In such cases, if people are unable or unwilling to return, States and international organizations must assess the land rights of all affected persons, whether in their former place of residence or elsewhere, and take measures to guarantee and ensure security of tenure in post-disaster situations. Furthermore, the principle of non-discrimination and equality requires States and international organizations to give priority to assisting those who are most insecure and to strengthening security of tenure for those whose land rights are weak, unclear or vulnerable, an obligation that is often overlooked in relief and rehabilitation efforts.",
"Recognition of de facto land rights for durable solutions",
"32. International agencies are reluctant to invest in areas of return or resettlement where land tenure is unclear and where the legal and customary arrangements underlying claims for housing or land are complex and sometimes contradictory. In this regard, reconstruction activities in urban areas may be particularly difficult, as land ownership and tenure issues in these areas are often complex.",
"33. This mentality is evident in many organizations working in Haiti. One assessment made it clear that:",
"Land markets are in a state of disarray and are largely inaccessible. Land ownership records are missing or unclear. The lack of a clear title to the land or the absence of a written consent from the verified owner makes it difficult to provide new housing to the potential beneficiary or to support his reoccupancy of the previous house. [52]",
"Clearly, this has become one of the reasons for the delay in the reconstruction and return of Haiti. Similarly, in the aftermath of the Indian Ocean tsunami, a number of contradictory land-use policies and restrictions were enacted at all levels of government, resulting in disputes that allegedly created obstacles to international recovery efforts and severely undermined efforts to achieve disaster risk management. [53]",
"Against this background, it is important to distinguish between two tasks: in the long run, legal reforms and other mechanisms, such as the designation of land title, formal registration and consolidation of ownership or property tenure, may be required, which will clearly address the ambiguities or uncertainties that many perceive. In the short term, however, these measures may not be the most appropriate way to meet reconstruction and rehabilitation needs without exacerbating inequalities. The experience has also shown that trying to resolve all ownership/property tenure and land reform issues in the immediate aftermath of a disaster or conflict will face daunting challenges. The Government of Pakistan stated that “a full understanding of the social, political, technical and legal complexities of land tenure issues, as well as the fact that these are not limited to the affected areas, is essential”. [55] In the short term, it remains necessary and appropriate to assess, through a rapid approach, pre-disaster tenure rights in order to achieve more effective reconstruction and rehabilitation, ensure a minimum level of security of tenure for all and address some of the most important inequalities and insecurity.",
"35. The most appropriate way to determine housing or land claims for reconstruction and return depends on a particular environment, such as tenure or property arrangements, formalities and registration, and resources. As has been discussed, formal administrative or judicial property restitution mechanisms may not be applicable or appropriate in a number of cases, in particular those characterized by a variety of property tenure arrangements. The International Conference on the Great Lakes Region ' s Protocol on the Property Rights of Returnees provides a more comprehensive approach in this regard than the Pinheiro Principles, which requires both administrative and traditional authorities to resolve property disputes, thereby recognizing the importance of traditional and customary land systems. The Protocol also envisages alternative and informal mechanisms for the resolution of disputes in the community, requiring proof of ownership based on witness testimony. In practice, organizations supporting the return of refugees or displaced persons often resort to customary law and traditional conflict resolution mechanisms to resolve land disputes. However, care must be taken not to exclude or disadvantage women or other persons who are particularly vulnerable to discrimination in the settlement of such disputes.",
"What goes further is the “community” or “participatory” measurement approach. Such participatory processes have been used in different countries for different purposes, such as identifying and strengthening property tenure rights in informal housing or for land adjudication. [60] In the absence of land records, in the event of the destruction of land records following a disaster or in the context of multiple property tenure arrangements, community inventories can provide promising and flexible alternatives to determine pre-disaster or pre-conflict occupation and tenure, thus ensuring a degree of certainty and security of tenure and providing information for durable solutions. Community mapping projects were implemented in the aftermath of the Indian Ocean tsunami,[61] and have begun to be implemented in Haiti. Lessons should be drawn from experience in identifying key elements and prerequisites for successful community mapping processes (as applied in post-disaster situations), including the relationship between such processes and more formal or government-led identification or land management processes, and the need to use conflict resolution mechanisms to complement them. [62]",
"37. While mechanisms for assessing, respecting and strengthening security of tenure vary from one context to another, in all cases they must be guided by human rights principles, such as the participation of affected communities and gender equality.",
"Disasters become opportunities — for whom?",
"Disasters are generally considered to have created “whiteboards”, which offer significant opportunities for large-scale reform and arduous redevelopment. Disasters present not only opportunities but also significant risks to the protection and promotion of human rights. The Special Rapporteur is concerned that, in some cases, major redevelopment activities, while benefiting some people, neglect the most vulnerable groups by acting or failing to do so, in fact violating key elements of the right to adequate housing.",
"A. Outsourcing from coastal zone and urban redevelopment to reconstruction",
"39. The 2004 Indian Ocean tsunami was seen by many as a major opportunity for redevelopment, sometimes in the name of public safety and disaster risk reduction. Following the tsunami, a number of tsunami-affected countries did establish coastal zones (buffer zones) that prohibited the reconstruction of houses; they were approximately 100 to 500 metres wide and, in some cases, would require the relocation of over 100,000 houses if the provisions of the buffer zone were fully implemented. [63] While the buffer zone is said to be intended to protect the population from future disasters, it has also had a significant impact on the livelihood of the population, particularly those living on the sea.",
"At the same time, ambitious “redevelopment” programmes and luxurious tourism have emerged, including in the coastal zone, where populations are closed for security reasons. A tourism commission had declared that the tsunami had given the country the opportunity to become a world-class tourist destination. It is reported that, despite the prohibition on displaced persons from returning to their homes, hotels are not subject to this prohibition. In some places, land developers have taken the opportunity to seize land, especially from vulnerable communities. Luxury hotels rise up in many coastal areas. Communities and civil society organizations complained that the buffer zone had been set up to arbitrarily expel poor coastal residents and indigenous communities and to benefit businesses and new tourist facilities. [65]",
"41. The destruction of many public housing in New Orleans following Hurricane Katrina is seen as an opportunity to fundamentally change the city ' s housing and urban identity. In particular, the four largest public housing districts in the city of New Orleans (“the four regions”), mainly inhabited by people of African descent, have been demolished in order to redevelop the communities where the various income earners live, as planned, and for other purposes. While in some cases there may be no viable alternative to the destruction of public housing, the main reason for the demolition of public housing is that it is necessary for urban rehabilitation and essential for health and safety. The problem is that the planned development areas include only a small number of public housing compared to the total number of public housing available before Hurricane Katrina. The demolition of public housing constitutes another obstacle preventing low-income residents from returning to New Orleans (see section III above). [68]",
"Concerns have also been expressed about the so-called “reconstruction industry” — the outsourcing of the planning, financing and implementation of reconstruction activities to private companies. In some cases, outsourcing reconstruction without sound safeguards inevitably has a negative impact on the adequacy and affordability of reconstruction efforts and the ability of people to participate in and benefit from reconstruction activities. In Chile, following the earthquake and the subsequent tsunami in February 2010, the private sector is said to have played a major role in the reconstruction of urban centres and coastal zones. In accordance with one of the main principles of the National Reconstruction Plan, families have the option of deciding whether to rebuild their house at the site of the collapse or to acquire a previous or newly constructed house. However, since housing reconstruction activities are funded mainly by subsidies linked to personal property, private builders prefer to re-build in new areas on the outskirts of towns rather than in the centres from which many have been forced to leave, where land and housing are much higher. [69] Real estate companies are said to take advantage of the vulnerability of these families to force them to sell land and houses at very low prices — for private redevelopment. [70] This suggests that if reconstruction activities are simply handed over to the market, new housing for the poorest would most likely be located on the outskirts of the city.",
"Similar anomalies have been observed in the construction market. In one case, it was reported that a small number of companies in some cities had been granted the power to monopolize construction materials, to the detriment of local small enterprises, and in another case, the reconstruction process had led to higher prices for suppliers and construction companies, impeding individual reconstruction efforts. Similarly, humanitarian agencies have outsourced the construction of transitional housing to international contractors, which may divert potential funding to support displaced persons, who can be supported in building their own housing. The outcome of the latter is also not culturally appropriate. [72]",
"B. Due diligence to guarantee the right to adequate housing",
"44. In the examples discussed above, post-disaster reconstruction activities have a negative impact on the poorest. In the worst cases, disasters provided a clean record and justification for powerful people to destroy homes or seize land, which would not have happened before the disaster had occurred, as legal procedures had to be followed and affected families had to be consulted and provided with relief. At best, the State does not adequately monitor the operation and management of the post-disaster housing and reconstruction market, nor does it take measures to ensure that people have affordable housing and are not forced to leave their place of birth. While there is nothing to prevent the State from requiring private enterprise to support reconstruction activities — and the private sector can indeed make a crucial contribution to recovery efforts — Governments must be mindful of their responsibility to monitor the private sector's fulfilment of its commitments to ensure that reconstruction activities do not benefit a few privileged people at the expense of others.",
"These examples can be considered “presumption of forced expulsion”. In such cases, international norms relating to forced evictions or arbitrary displacement may apply. When forced evictions are established, victims should have the right to redress, including a fair hearing, access to legal counsel and compensation, such as restitution of housing or land, adequate compensation or alternative housing/land, at their choice. [74]",
"Where public security concerns are legitimate and necessary, decisions on land use or housing legislation continue to be subject to human rights norms, in particular strict procedural requirements relating to the right to eviction, access to remedies and remedies and to judicial review, as well as the economic, social and cultural rights of affected communities. Expulsion should not result in individuals being rendered homeless. In cases where the affected persons are unable to feed themselves, States must take measures to ensure that they have access to alternative housing, resettlement or fertile land. [75]",
"47. Restrictive measures must also conform to the principle of proportionality. [76] This requires a balance between the rights of persons affected by disasters and the interests of States in reducing damage and ensuring public safety. In the case of tsunami prevention, it is necessary to prove that the regulations preventing the return of the population to the coastal areas are the least restrictive means of achieving public security objectives. The State must prove that other security measures, such as warning systems or embankments, cannot be implemented or are ineffective. [78]",
"48. Finally, experience with land-use restrictions has led to the consideration of a number of factors, including the need for substantial investment in infrastructure and services for the relocation of residents and the potential for serious disruption of livelihoods and community life. The pattern of settlement and housing construction is not arbitrary, but rather reflects specific economic and social structures that are difficult to replicate elsewhere. Thus, both human rights norms and an assessment of the socio-economic costs of displacement require a more restrictive approach to the imposition of restrictions on land/housing construction use.",
"VI. RESTRUCTION AND DURBAN SOLUTIONS: REFERENCE TO ALL ASPECTS OF THE RIGHT TO ADEQUARTABLE ADEQUARTMENT",
"In addition to the more explicit protection issues discussed above, reconstruction needs to be addressed from a broader perspective of adequate housing — including housing as a social asset — towards the progressive realization of the right to adequate housing. In this light, ensuring recovery and durable solutions means rebuilding communities and residential areas to ensure an adequate standard of living, of which the construction of housing is only part, sometimes not the most important or urgent. [80] Disasters do not occur in a vacuum: the broader housing context in which disasters occur must be assessed and addressed.",
"A. Inadequate attention to housing and property",
"Post-disaster situations may be characterized not only by large-scale damage to homes, but also by large-scale displacement of populations, disruption of social networks and relationships, destruction of basic services or lack of access to them, and loss of livelihoods, jobs, assets or land — All of this is a key factor affecting the enjoyment of the right to adequate housing. As a result, reconstruction efforts and efforts to ensure durable solutions tend to focus too much on the most tangible aspects of housing (physical construction). It is easy for international organizations and national/regional governments to see the reconstruction of housing rather than livelihoods or community infrastructure as a top priority for those affected. When housing is assessed, it is treated as a technical or economic business rather than as a human right, and attention is paid to building and building standards and materials, as well as to the quality of emergency and transitional housing. In some cases, concerns about property restitution also undermine the re-establishment and improvement of broader social, political or economic conditions — jobs, basic services and infrastructure, security and safety — that support sustainable returns. One commentator noted that “the `house', rather than the actual well-being of displaced persons, has become a measure of the success of the return process”. [82]",
"The well-known slogan “Rebuilding a better home” seems — and certainly should — to be determined to address the broader living conditions of affected communities. The Special Envoy of the Secretary-General for the Indian Ocean Tsunami stated: “Financial resources, international attention and the will to undertake political and policy reforms, which are often characteristic of the post-crisis period, should enable us to rebuild better and to move away from inequitable development models in a lasting manner”. A similar call was made to view the floods in Pakistan as “a reconstruction of a better life and an intensification of the dignity of millions of people living on the margins of society”. However, the implementation of this exciting idea often has the most technical meaning, such as the construction of flood and earthquake-resistant houses. [85]",
"By contrast, a number of reconstruction projects around the world have attempted to view the reconstruction process as “an opportunity to promote the local development process” rather than being limited to restoring pre-disaster conditions — where community participation plays a key role. [86]",
"B. Addressing broader issues in relief and recovery efforts",
"53. As mentioned above, the earthquake in Haiti highlighted the largely inadequate housing conditions, the precarious nature of informal housing and the lack of security of tenure. The international community is concerned with displaced persons living in tents and provides them with the same conditions The conditions enjoyed by many Haitians were even better, thus inadvertently making the tents attractive. There is little reason for poor families to leave their tents — where housing and services are provided free of charge — because of the lack of a system to rebuild services to returning communities. A narrow focus on the plight of internally displaced persons and on temporary solutions, while understandable from an emergency perspective, in a difficult socio-economic and property tenure context, constitutes an obstacle to long-term recovery and, in some cases, leads to further development problems. [87] As urbanization increases, many urbanization activities are expected to occur, and such situations must become more frequent (see A/64/255, paras. 13-21).",
"54. The case of Haiti can also serve as an example of the challenges facing the theoretical foundations of the reconstruction and property restitution system: the question is whether the ultimate goal of reconstruction should be to provide quality housing for those who have lost their homes in disasters, in a context characterized by widespread poverty and severe living and housing conditions. The Special Rapporteur considers that interventions must aim at the progressive realization of the right to adequate housing for all. In Haiti, reconstruction and rehabilitation have little to do with the construction of new homes for those directly affected by disasters and, more importantly, with the improvement of the overall living and housing conditions of settlements affected by disasters, which are unplanned and unmaintained. The approach should therefore focus on settlements and communities, rather than individual houses, and focus on creating places where people can enjoy an adequate standard of living.",
"55. Post-disaster land-use planning can serve as a powerful tool both to inform reconstruction efforts and to provide a legal basis for immediate response action in the aftermath of a disaster. Post-disaster regional planning can facilitate return and reconstruction by recognizing de facto settlements and providing a basis for infrastructure investment and upgrading of hitherto unmaintained and unplanned settlements.",
"56. From a human rights perspective, the obligation of non-discrimination and concern for the most vulnerable should be borne in mind, and it is therefore not only legitimate but also necessary to invest in the rehabilitation of settlements with very poor living conditions as part of the relief effort. Moreover, for reasons of principle and pragmatism, this situation also needs to be addressed in some cases in the long run: in the case of Haiti, this means focusing on the improvement of the situation of settlements that, while not affected by disasters, have the same urbanization and vulnerability characteristics as affected settlements, as long as they are not in vulnerable areas.",
"C. Lack of linkages between the emergency phase and long-term recovery",
"57. The above examples also illustrate the current lack of linkages between the emergency phase and long-term recovery, and in many cases the difficulties faced by the international community in managing the transition from one phase to another. [88]",
"Using individual beneficiaries and “achievable goals” — food, housing, health supplies — as their own purposes of concern may depart from the basic responsibility and long-term consideration to respect, protect and fulfil rights (e.g. the right to housing, the right to water, the right to health). In Haiti, there are reports that direct needs have been the subject of a response by the international community and, as a result, special commitments to support permanent housing needs have become irrelevant. [89] In its report, the Inter-Agency Standing Committee ' s Hach Housing Group identified risks such as the normality of tented areas, with emergency measures consuming scarce resources at the expense of more permanent programmes.",
"59. Similarly, the large-scale construction of transitional housing may not always be necessary or appropriate and may in some cases create obstacles to durable solutions, for example, in crowded urban areas where the lack of space may prevent people from building permanent housing over time. Over time, with declining attention and assistance, the construction of transitional housing may inadvertently divert resources from the reconstruction of permanent housing and residential areas. [90] It is therefore regrettable that, many years after the end of the disaster, people continue to live in transitional housing, a phenomenon that is not uncommon (see A/HRC/13/20/Add.4, para. 31). States and international organizations should not assume ipso facto the need for transitional housing without considering the possibility of supporting alternative solutions.",
"60. Many have called for an integrated approach to ensure that assistance can be sustained between relief and recovery phases. In his last report to the Human Rights Council (A/HRC/16/42), the Special Rapporteur discussed certain funding issues related to this issue. The Special Rapporteur would like to encourage donors to support durable solutions and recovery efforts as early as possible and to help ensure that assistance is sustained, including through the provision of financial assistance that is readily available.",
"Conclusion",
"A disaster response approach that fully integrates the right to adequate housing in a targeted manner",
"61. The inclusion of the right to adequate housing in disaster response has broad implications. In practice, however, the understanding and application of the right to adequate housing in disaster relief is limited to certain aspects of that right, most notably those linked to physical construction and individual property ownership. In some cases, reconstruction and rehabilitation efforts have had a detrimental impact on the enjoyment of the right to adequate housing by affected persons and those affected by disasters, either through negligence or by deliberate action.",
"62. In the Special Rapporteur ' s view, a holistic effort in reconstruction efforts to realize the right to adequate housing is not only an obligation but also an opportunity. While relief efforts do not and should not replace development activities, they can be used to redress inequalities that either exacerbate the impact of natural disasters or are exposed to them, and to promote efforts towards the progressive realization of the right to adequate housing for all, particularly through improved security of tenure.",
"63. The following recommendations outline the basic elements of a disaster response approach that is fully grounded in the right to adequate housing. These recommendations are intended to complement existing guidance when it comes to ensuring that the right to adequate housing is guaranteed and realized. Unless otherwise indicated, these recommendations are addressed to both Governments and international donors and organizations. Finally, the present report makes recommendations for follow-up, bearing in mind that such a framework simply outlines general principles that need to be further refined and implemented.",
"Recommendations",
"64. The Special Rapporteur makes the following recommendations:",
"A. General framework: disaster response based on the right to adequate housing",
"First principles",
"1. Right to adequate housing",
"The right to adequate housing should be respected and protected at all stages of disaster response. The right to adequate housing should be understood as a right to live in safety and security, in an environment that is considered adequate on the basis of: security of tenure; availability of services, goods, facilities and infrastructure; affordability; habitability; accessibility; location; and an appropriate cultural environment.",
"2. Security of tenure",
"Recognition of the diversity of forms of property tenure, without discrimination, ensures that everyone ' s land rights are secure in the aftermath of a disaster.",
"Participation",
"4. Non-discrimination and vulnerability",
"Principles for action",
"Equal rights to asylum and housing",
"2. Do not prejudice rights",
"(a) Respect for and protection of the right to adequate housing, including security of tenure, without prejudice to such rights:",
"Land tenure of “informal owners”",
"Land tenure rights of “informal owners”, i.e. those who do not have the ownership of duly registered personal property, should be respected:",
"Background of the relief and recovery programme",
"Relief and rehabilitation programmes should be implemented in the overall housing environment (one region/city/country):",
"Social reconstruction",
"Communities and settlements should be rebuilt or resettled, not just premises:",
"6. Compliance with international standards",
"Resettlement and local integration conditions must be consistent with international human rights standards and norms relating to adequate housing, evictions and displacement if return is not possible because of the loss of land or the existence of objective security grounds preventing return or if the affected individuals or groups do not wish to return.",
"7. Legislation for disaster risk reduction",
"States must adopt disaster risk reduction laws that respect the right to adequate housing. Particular attention must be given to those who may suffer discrimination and exclusion, including as a result of land rights status, and measures should be put in place to protect them.",
"Follow-up recommendations",
"1. United Nations agencies and mechanisms, the Inter-Agency Standing Committee or its organizational members or cooperating agencies should consider further studies on the effective integration of the right to adequate housing in disaster relief measures as a starting point for the framework proposed by the Special Rapporteur.",
"Further work should be undertaken on:",
"3. When reviewing national reports and undertaking country visits, United Nations human rights mechanisms should assess and make recommendations on the enjoyment of specific human rights in natural disaster settings and the extent to which disaster prevention, response and recovery contribute to the enjoyment of human rights.",
"[1] ^ (*) A/66/150.",
"[2] International Disaster Database, http://www.emdat.be.",
"[3] The present report will continue to draw on post-conflict situations where there are no documented cases of post-disaster settings, and where some of the examples of post-conflict settings are relevant and appropriate to post-disaster settings.",
"[4] The Special Rapporteur wishes to reiterate his appreciation to the United Nations Stabilization Mission in Haiti, the Office of the High Commissioner for Human Rights and UN-Habitat, which facilitated her mission.",
"[5] Human rights challenges in conflict and post-conflict settings receive more attention and guidelines are further elaborated than in post-disaster situations. In addition to the guidelines discussed in the present report, post-conflict responses are guided by international humanitarian law, refugee law and norms relating to relief and reparation.",
"[6] See Committee on Economic, Social and Cultural Rights, general comment No. 4: The right to adequate housing.",
"[7] See Committee on Economic, Social and Cultural Rights, general comment No. 7: Forced evictions; see also the Basic Principles and Guidelines on Development-based Evictions and Evictions (A/HRC/4/18, annex 1).",
"[8] Participation was discussed in the last report to the Human Rights Council. Part III of this report deals with non-discrimination.",
"[9] For example, in the Inter-Agency Standing Committee Guidelines for Action on the Protection of Persons in the Event of Natural Disasters, section C.2.1 refers to the right to adequate housing, but it is not mentioned in other potentially relevant articles.",
"[10] See Erica Harper, International Law and Norms Applicable to Natural Disasters (Rome, International Development Law Organization, 2009).",
"[11] The representative of the Secretary-General on the human rights of internally displaced persons made an exception. See comments made by United Nations treaty bodies and special procedures, World Human Rights Index, http://www.universalhumanrightsindex.org/en/index.html.",
"[12] The Legal Database of the Guiding Principles demonstrates their widespread recognition. See http://www.idpguidingprinciples.org/.",
"[13] Originally published in 2006 and revised in 2011.",
"[14] Guiding Principles on Internal Displacement, Principle 28; IASC Guidelines, D.2.2, D.2.3.",
"[15] Subcommission on the Promotion and Protection of Human Rights, resolution 2005/21.",
"[16] Principle 2.2. See also the seemingly inconclusive debate as to whether there is an independent right to restitution under international law: Malcolm Langford and Khvlekani Moyo, “Rights, remedies or rhetoric? Land restitution in international law, No. 2 (2010). For the purposes of the present report, however, the Special Rapporteur is convinced that the right to restitution of property is an essential part of the right to relief and compensation, as well as the right of refugees and displaced persons to return to their places of birth and habitual residence.",
"[17] Harper, International Law, chap. 4 (see footnote 9 above).",
"[18] Principle 1. See, inter alia, Charles Gould, “The right to rebuild a home after a natural disaster”, Harvard Journal of Human Rights, vol. 22 (2009); Rebecca Barber, “Safeguarding housing rights after a natural disaster: norms of international human rights law”, Journal of International Refugee Law, vol. 20, No. 3 (2008).",
"[19] European Court of Human Rights, “Budayeva et al. v. Russia”, 29 September 2008; Supreme Court of Pakistan, “Hunning Commission Case”, 7 June 2011, available at http://www.supremecourt.gov.pk/web/page.asp?id=735 (visit date 24 July 2011).",
"[20] See General Assembly resolution 64/200.",
"[21] Committee on Economic, Social and Cultural Rights, general comment No. 3, The nature of States parties ' obligations, article 2 (1) of the Covenant. See also the concluding observations of the Committee on the Rights of the Child on disasters, such as CRC/C/MOZ/CO/2, CRC/C/PHL/CO/3-4.",
"[22] International Convention on the Elimination of All Forms of Racial Discrimination, article 1(4); Convention on the Elimination of All Forms of Discrimination against Women, article 4.",
"[23] Eighty-four per cent of the poor in this city are African-Americans. Brookings Institution, New Orleans after the Wind: Lessons from the Past, Plans for the Future (2005), p. 6.",
"[24] Ibid., p. 13.",
"[25] Elizabeth Ferris and Daniel Petz, “A year of uncertainty: a review of natural disasters 2010” (London, Brookings Institution — London School of Political Economy, 2011), p. 19. The Special Rapporteur would welcome information from the Government of Colombia on actions taken in response to the La Niña effect, such as the establishment of the “Fondo de Adaptación” to identify and manage projects aimed at finding durable solutions, including mitigation and prevention strategies.",
"[26] Government of Pakistan, Asian Development Bank, World Bank, Pakistan Flood 2010: A Preliminary Assessment of Damage and Needs, p. 68; Oxfam, Land Rights and Indus Floods, 2010-2011: Rapid Assessment and Policy Review (Oxford, Oxfam Great Britain, 2011). The Special Rapporteur acknowledges the scale of the challenges faced by the Government of Pakistan and the efforts made by the Government to address the relief and rehabilitation efforts, in particular the granting of Vatanga to landowners and landless people on an equal basis, as a means of encouraging all refugees to return home.",
"[27] Prior to the earthquake, it was estimated that 80 per cent of the population of Port-au-Prince lived in informal housing, which represented only 20 per cent of the urban area.",
"[28] International Organization for Migration, Displacement Tracking Matrix, May 2011.",
"[29] See Oxfam, Land Rights and Indus floods, p. 3 (see footnote 25 above).",
"[30] John Telford and John Cosgrover, Joint Evaluation of the International Response to the Indian Ocean Tsunami — Synthesis Report (London, Tsunami Assessment Coalition, 2006), p. 104.",
"[31] Michael Lyons and Thco Shelderman et al. Building Better Homes: People-Centered Proportional Housing Reconstruction (London, Practical Action, 2010), (on Sri Lankan Communities); Action Aid, Tsunami Response: Human Rights Assessment (2006), pp. 43-47.",
"Prior to Hurricane Katrina, the majority of households receiving public housing and voucher subsidies were headed by women. They were particularly affected by the lack of affordable housing/public housing in the aftermath of the hurricane. See Ferris and Pelz (see footnote 24 above).",
"[33] See World Reconstruction Conference: Recovery and Risk Reduction from Natural Disasters: Proceedings of the Conference (Geneva, May 2011), p. 31.",
"[34] See the report of William J. Clinton, United Nations Special Envoy for Tsunami Recovery, Key Proposals for Better Homes (2006); Hakan Arslan and Cassidy Johnson, “Turkey: Can small actors overcome a lack of national will?” From Building Better Homes: Building People-Centered Housing, Lyons and Siderman and others (see footnote 30 above).",
"[35] Oxfam, Land Rights and Indus River Floods, pp. 24-25 (see footnote 25 above); Government of Pakistan et al., Pakistan Floods 2010, annex on housing, agriculture and the financial sector. (See footnote 25 above. See also the discussion of land rights/land assessments in part III of this report.",
"[36] Advisory Group on Forced Evictions, New Orleans Mandate Report, 26-31 July 2009 and A/HRC/13/20/Add.4, para. In 90 per cent of communities, where public housing is dominated, the inhabitants are African-Americans, 80 per cent of whom are tenants. See Ferris and Petz, “A year of uncertainty”, p. 74 (see footnote 24 above).",
"[37] The Special Rapporteur welcomes the information received by the Government of the United States of America on measures taken by the federal Government, including the Housing and Urban Development Agency, to combat discrimination in housing by private and public actors and, inter alia, measures taken by the federal Government to combat systemic discrimination caused by restrictive regional planning or rent regulations that discriminate against African Americans, such as those adopted by the diocese of Saint Bernard following Hurricane Katrina.",
"[38] United States Government Accountability Office, Post-Disaster Housing: The Federal Emergency Management Agency needs more detailed guidance and relief measures to ensure effective relief in the aftermath of the disaster, 2009, pp. 11-13; “Four years after Hurricane Katrina: the housing crisis is not over and low-income tenants are discriminated against”, Face to the South, 21 August 2009.",
"[39] Ferris and Petz, “A year of uncertainty”, p. 74 (see footnote 24 above).",
"[40] Advisory Group on Forced Evictions, Mandate Report, p. 5 (see footnote 35 above).",
"[41] In some cases, private ownership is not in fact the most appropriate way to secure land rights. See A/HRC/10/7.",
"[42] See the comments made by the delegation in support of this view on the report of the Special Rapporteur (A/HRC/16/42/2010), Human Rights Council, sixteenth session.",
"The Special Rapporteur notes in particular that the classification of “six land rights programmes” by humanitarian agencies amounts to an acknowledgement that other forms of land rights also need to be addressed. United Nations and Asylum Centre, Shelters after Disasters (2010), p. 107.",
"[44] Langford and Moyo, “Rights, remedies or rhetoric?” Pages 148 to 149 (see footnote 15 above).",
"[45] See also the recognition of the possession of traditional and indigenous communities as provided for in principle 15.3 (independent from principle 16).",
"[46] See http://www.ohr.int/plip; Norbert Wühler and Heike Niebergall, eds., Property Restitution and Compensation: Practice and Experience in Claims Programme (Geneva, International Organization for Migration, 2008).",
"[47] Rhodri Williams, “Post-conflict property restitution in Bosnia: weighing compensation and durable solutions after displacement”, presented at the International Seminar of the Turkish Foundation for Economic and Social Research on Internal Displacement in Turkey and Other Countries, Istanbul, December 2006; Conor Foley, Ingunn Sofie Aursnes, “Land, housing and property restitution in the aftermath of conflict: principles and practice”, Humanitarian Exchange Journal (2005), p. 2. Norwegian Refugee Council, Special Property Restitution Court for Afghanistan, 2005.",
"[48] Office of the President, No. 22 of 1994, Land Rights Restitution Act, Chapter I (1)xi; Inter-Agency Standing Committee, Framework for Durable Solutions for Internally Displaced Persons (Washington, D.C., Brookings Institution, 2010), p. 35.",
"[49] See also principles 8 and 15.2; E/CN.4/Sub.2/2005/17/Add.1, para. 62; Langford and Moyo, “Rights, remedies or rhetoric?” (See footnote 15 above.",
"[50] This includes situations where the right to land is based solely on use, or where restitution cannot be achieved in substance, such as the inability of landowners to return to their place of residence, or where the original place of residence has been lost or declared “uninhabitable” after a disaster.",
"It is important that the real estate tenure rights of a person do not depend on the actual repossession of the former regular place of residence.",
"[52] International Housing Union, Housing Sector Assessment in Haiti: A Year after the Earthquake (April 2011), p. 12.",
"[53] Telford and Cosgrove, Consolidated Report, p. 102 (see footnote 29 above); and Ian Christophers, Linking Relief, Recovery and Development in Tsunami Response: Synthesis of Initial Results (London, Tsunami Assessment Coalition, 2006), p. 71.",
"[54] With regard to Haiti, the comment was that “the strict substitution of assets for the provision of housing and the overzealous recognition of property rights ... are not appropriate to meet the housing needs of the majority of disaster victims who are tenants and squatters (rather than owners)”. A proposal for a rapid roll-out of land bookkeeping was considered inappropriate and risked “increased bias towards the most secure and powerful formal owners who could produce the documentation”. Kate Crawford et al., “Coordination with Haitian tenure challenges”, Humanitarian Exchange Journal, No. 48 (2010), p. 8.",
"[55] Comments received on an earlier draft. Similarly, the Government of Timor-Leste has chosen a long-term framework to address land issues. Comments by Timor-Leste on the report of the Special Rapporteur (A/HRC/16/42), 8 March 2011.",
"The formal special mechanisms are also resource- and time-consuming. See the 2010 annual report of the Kosovo Real Property Authority.",
"[57] International Conference on the Great Lakes Region, Protocol on the Property Rights of Returnees (Great Lakes Protocol), 2006, article 4.",
"[58] Great Lakes Protocol, article 4(3).",
"[59] See A/HRC/16/42, paras. 44-45 (on East Timor); and Foley and Aursnes, “Land, Housing and Property” (see footnote 46 above).",
"[60] UN-Habitat, Count me in: Land tenure security and urban land management surveys (Nairobi, 2010).",
"[61] Ibid., Aceh, Indonesia, pp. 79-83, and Harper, International Law, p. 209 (see footnote 9 above).",
"[62] See World Assembly on Reconstruction: Recovery and Risk Reduction, pp. 33-34 (see footnote 32 above).",
"[63] Oli Brown and Alec Crawford, “Resolving land ownership issues in the aftermath of natural disasters: an institutional survey”, 2006, p. 6; and Human Rights Watch, “Post disaster: reconstruction in India after the 2004 tsunami”, p. 41. Some of the most important restrictive measures were eventually abandoned.",
"[64] Tourism Concern, “Tsunami Reconstruction and Tourism: Another Disaster?”, 2005.",
"[65] ActionAid, “Tsunami response”, pp. 17-18 (see footnote 30 above); Malcolm Langford and Jean Plessis, “Dignity? Forced evictions and human rights law; and Brown and Crawford, “Resolving land ownership issues” (see footnote 62 above).",
"[66] Julia Cass and Peter Horiskey, “New Orleans is about to eliminate public housing”, Washington Post, 8 December 2006.",
"[67] Amnesty International, “A catastrophe against common sense: human rights on the Gulf coast”, 2010, p. 6; Advisory Group on Forced Evictions, Mission Report, pp. 28-32 (see footnote 35 above).",
"[68] A/HRC/13/20/Add.4, p. 30. The Special Rapporteur welcomes the information provided by the United States Government and is pleased to note that, as a result of various housing policies, more people now receive housing subsidies than before Hurricane Katrina.",
"[69] Report of the Habitat International Coalition, Habitat International, the Institute of Housing in Architecture and Urbanization and the Reconstruction Observatory, Sur Maule, Action to Build and the Observatory and Housing Network for the Special Rapporteur on the right to adequate housing, 2011 on the tsunami earthquake of 27 February 2010 and the reconstruction process in Chile.",
"[70] Ibid.",
"[71] Ibid.; see also A/HRC/13/20/Add.3, para. 25.",
"[72] See: This compares with the success of the “people-led” approach to reconstruction. World Assembly on Reconstruction: Recovery and risk reduction. Pages 25 to 27 (see footnote 32 above).",
"[73] Malcolm Langford, “Right to return and resettlement in the aftermath of the tsunami disaster”, Disaster Bulletin No. 2 (2) (July-September 2005). Some States use the term “presumption of expulsion” to describe certain acts or omissions of the lessor that render the leased property uninhabitable or inappropriate for the purpose of the lease.",
"[74] Committee on Economic, Social and Cultural Rights, general comment No. 7, General Assembly resolution 60/147, Cuhtled; Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law; and the Pinheiro Principles.",
"[75] General comment No. 7, para. IASC Guidelines, C.2.4, C.2.5.",
"[76] Human Rights Committee, general comment No. 27: Freedom of movement.",
"[77] Protection of internally displaced persons in natural disasters: working visit to Asia by the Representative of the Secretary-General on the human rights of internally displaced persons, Walter Kälin, 2005, p. 22.",
"[78] Langford, “Right to return and resettlement” (see footnote 72 above).",
"[79] World Bank, Risks in Nature, Risks in Development Activities: Evaluation of the World Bank ' s Natural Disaster Relief Operations by the Independent Assessment Panel (A/AC.254/5/Add.1). Washington, D.C., 2006; Dynamic Learning Network on Accountability and Performance in Humanitarian Action, “Responding to Earthquake Disasters, 2008: Lessons from Earthquake Relief and Recovery”.",
"[80] Inter-Agency Standing Committee, Framework for Durable Solutions (see footnote 47 above). Lessons can be drawn from good resettlement development practices, such as Michael Cernea and Christopher McDowell and others, Risks and Reconstruction: The Experience of Resettlement and Refugees. Washington, D.C., World Bank, 2000.",
"[81] See, for example, on housing construction in Indonesia, Lyons and Shilderman et al., Building Better Homes, p. 157 (see footnote 30 above).",
"[82] Megar Ballard, “Post-conflict property restitution: flawed legal and theoretical foundations”, Berkeley Journal of International Law, No. 462 (2010), (on Bosnia and Herzegovina).",
"[83] United Nations Special Envoy for Tsunami Recovery, “Major position on rebuilding a better home” (see footnote 33 above).",
"[84] Government of Pakistan, Asian Development Bank and World Bank, Floods in Pakistan, p. 7 (see footnote 25 above).",
"[85] Ibid., pp. 22 and 94.",
"[86] See, for example, projects in Peru: Lyons and Shilderman, etc., Rebuilding Better Homes, pp. 307-344 (see footnote 30 above).",
"[87] The case of the “Correl tent district” on the outskirts of Port-au-Prince is a typical manifestation of these difficulties. The “Korrell tent area”, originally used as a temporary tent area for displaced persons living in the most dangerous areas, attracted people throughout the country, but in a few months it became a new informal settlement with at least 50,000 to 60,000 inhabitants as of May 2011.",
"[88] John Holmes, “Lessons from Haiti”, Humanitarian Exchange Journal No. 48 (October 2010), p. 3.",
"[89] United States strategy entitled “United States Government strategy for Haiti after the earthquake: seeking recovery and economic opportunity” (2011).",
"[90] In Haiti, the cost of a T-type housing unit averages $2,500, while the cheapest estimate for permanent housing is approximately $3,500 per house.",
"[91] See first principle."
] |
[
"第六十六届会议",
"临时议程[1] 项目69(b)",
"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径",
"国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响",
"秘书长的说明",
"秘书长谨向大会成员转递国家的外债和其他有关国际金融义务对充分享受所有人权，特别是经济、社会和文化权利的影响问题独立专家西法斯·卢米纳根据人权理事会第7/4和16/4号决议提交的报告。",
"国家的外债和其他有关国际金融义务对充分享受所有人权，尤其是经济、社会、文化权利的影响问题独立专家的报告",
"摘要",
"出口信贷和投资保险机构通常称为出口信贷机构。这些机构作为一个整体，是为外国企业参与发展中国家和新兴经济体大规模工业和基础设施项目提供公共融资的主要来源。近年来，出口信贷机构在全球经济中，尤其在全球金融危机背景下，发挥了日益重要的作用。",
"然而，出口信贷机构支助的许多项目在环境、社会和人权方面产生了有害后果，而且在经济上无法维持。许多报告记录了出口信贷机构所支助的项目引起的或与其相关的侵犯人权行为，包括迫使当地人口流离失所、侵犯土著居民权利、剥夺获得基本服务的机会和破坏环境。此外，出口信贷机构一般行事作风诡秘，在融资决策和业务操作上往往缺乏透明度。",
"本报告系根据人权理事会第7/4和16/4号决议提交，旨在探讨出口信贷机构所支持的活动对进行此类活动的国家、尤其是发展中国家的可持续性发展和人权实现情况的不利影响。报告还论述了出口信贷在增加这些国家债务负担方面所起的作用。",
"本报告吁请各国减少出口信贷机构所支助项目的负面影响，并提出一些措施建议，以切实避免出口信贷机构的活动妨碍机构母国及东道国履行国际人权义务和其他义务，并切实避免该活动助长侵犯人权行为。",
"一. 导言",
"1. 出口信贷和投资保险机构一般称为出口信贷机构。这些机构作为一个整体，是为外国企业参与发展中国家大规模工业和基础设施项目、尤其是采掘业部门项目提供公共融资的主要来源。[2] 2005年，经济合作与发展组织(经合组织)成员国的出口信贷机构提供了1 250亿美元的信贷、保险、担保和利息补助。[3] 2007年，出口信贷机构集体支助了1.4万亿美元的贸易和投资，相当于世界出口贸易总额的约10%。[4] 据估计，出口信贷机构开展的活动超过所有多边开发银行和海外开发署的活动，其直接融资的贸易额占世界贸易总额的八分之一。[5]",
"2. 近年来，出口信贷机构在全球经济中，尤其是在全球金融危机背景下，发挥了日益重要的作用。2009年4月，20国集团和经合组织国家举行伦敦峰会，承诺为出口信贷提供更多支助，以增加国际贸易流量。[6]",
"3. 然而，出口信贷机构支助的许多项目，包括大型水坝、输油管、排放温室气体的火力发电厂和原子能发电厂、化工设施、采矿项目以及林业和种植园项目，在环境、社会和人权方面产生了严重后果。[7] 许多报告记录了出口信贷机构所支助的项目对人权的不利影响，包括迫使当地人口流离失所、导致政府镇压、侵犯土著居民权利、剥夺获得基本服务的机会和破坏环境。[8] 此外，出口信贷机构往往没有足够的保障监督和尽责措施，缺乏透明度，并卷入腐败。",
"4. 本报告系根据人权理事会第7/4号和第16/4号决议提交，旨在重点阐述出口信贷机构所支持的活动对执行此类项目所在国的可持续性发展和人权实现情况的不利影响。本报告还探讨了出口信贷在增加发展中国家债务负担方面所起的作用。",
"二. 出口信贷机构概述",
"A. 什么是出口信贷？",
"5. “出口信贷”一词系指一种保险、担保或融资安排，它使出口资本货物和/或服务的购买人能推迟一段时间付款(包括通常为两年以下的短期信贷，通常为两至五年的中期信贷，以及通常为五年以上的长期信贷)。[9] 出口信贷是出口信贷机构提供的主要贷款。",
"B. 什么是出口信贷机构？",
"6. 出口信贷机构是公共实体，向母国的私营公司提供政府担保或补贴的贷款、担保、信贷和保险，以支助出口和对外投资，尤其是对发展中国家和新兴经济体的出口和投资。大多数发达国家至少有一个出口信贷机构，通常是其政府的官方或准官方机构。[10]",
"7. 虽然出口信贷机构的组织形式多种多样，但通常由政府支持并根据政府赋予的任务开展活动。出口信贷机构可以是：(a) 一个政府部门，例如大不列颠及北爱尔兰联合王国的出口信贷担保部和美利坚合众国的进出口银行；(b) 一家政府拥有但独立经营的自主公司，例如澳大利亚的出口融资和保险公司、比利时的Office National du Ducroire/Nationale Delcrederediennst和加拿大的加拿大出口发展公司；或(c) 一家作为政府代理机构或公私合伙机构的私人公司(由政府作出关键决策并承担关键风险，由公司提供服务并进行初期风险分析)，例如法国的Compagnie Francaise d’Assurance pour le Commerce Exterieur、德国的Euler Hermes Kreditversicherungs以及荷兰的Atradius。[11] 这些形式反映于融资安排的资金来源：国家预算；政府专项资金；政府贷款和资本；股份或债券。",
"8. 出口信贷机构以不同方式向国内公司提供支助。这些机构向外国购买人(直接或通过商业银行)提供贷款，用于购买源自该机构母国的货物和服务，从而提升本国公司的出口能力。出口信贷机构提供的金融服务还包括商业贷款担保和出口信贷保险。为获取信贷担保，出口人向出口信贷机构投保，由该机构保证在进口人拖欠款项时向出口人支付的款项。出口信贷机构的保险还承保政治风险造成的损失，此类风险包括：无偿国有化或征用、没收投资、限制兑换股息和转移利润、货币不稳定、经济危机或战争。通过提供担保和保险，出口信贷机构支助在私人市场上因相关经济或政治风险而通常无人问津的交易。",
"9. 出口信贷机构以低于私人市场的利率、保险费和手续费提供融资，且这些机构对提供支助提出的经济条件很低，只需有限度地遵守(或根本不用遵守)环境、社会和透明度标准，使金融交易得以更容易、更快捷地进行，但其风险也更高。然而，对发展中国家的借款人而言，出口信贷机构担保的贷款的利率仍高于开发银行或机构等其他官方来源提供的许多贷款的利率。[12]",
"10. 最后，世界银行、国际货币基金组织和其他发展机构等大多数官方贷款机构显然以促进当地经济增长、发展和/或减贫为目标，而大多数出口信贷机构则完全没有促进发展的任务。这些机构的唯一目标就是促进本国的出口或对外投资。",
"三. 出口信贷机构与主权债务",
"11. 与出口信贷机构相关的债务是发展中国家债务的最大组成部分。据世界银行估计，截至2000年底，出口信贷机构对发展中国家长期外债的总敞口已达5000亿美元，占这些国家长期外债总额的四分之一。[13] 一些国家债务总额的50%以上为欠出口信贷机构的债务。例如，根据2001年经合组织提供的数字，尼日利亚约64%的债务和刚果民主共和国约42%的债务为欠出口信贷机构的债务。",
"12. 出口信贷通过各种途径造成一个国家主权债务的增加。出口信贷机构可能直接加重主权债务负担，其途径是这些机构直接向政府或外国公共实体提供贷款，或者为提供给政府或公共实体的商业信贷提供担保或保险。如果债务人(公共实体)对出口信贷机构或其提供保险的债权人拖欠付款，该公共实体所欠的债务就会成为该国主权债务的一部分。",
"13. 出口信贷还可能通过主权反担保间接导致主权债务。此类担保的目的是降低私人出口商通常为发达国家的服务出口商或提供商)与外国私人接受方(通常为发展中国家的进口商或投资或项目的接受方)之间交易的风险。出口商为有较大经济或政治风险的交易或项目向母国的出口信贷机构投保。然后，出口信贷机构要求接受方所在国家政府提供反担保。如果项目违约或破产，出口信贷机构会支付私营公司的损失，并根据发展中国家政府的反担保追回付出的款项。如果该政府无力按反担保付款，则所欠款额计入该国的主权债务。这样一来，该交易所包含的金融或政治风险就从私人投资者转到私人接受方所在国的纳税人身上。",
"14. 另一种情况是，即便政府不借款或提供贷款担保，出口信贷机构项目也会给政府带来大量或有负债。发展中国家政府为吸引私人投资如发电项目投资，往往提供“特别慷慨的”条件。该政府可能不得不签订电力购买协议，保证按美元高价购买电力。这种购买协议并非贷款，因此不计为债务，但可能使该政府带来严重的预算问题。",
"15. 不可避免的是，由于有出口信贷机构的支持，投资人为评估项目违约或破产风险而进行尽职调查的压力就会降低。因此，不负责任的投资行为和出口信贷机构的支持可能导致发展中国家债务增加。",
"16. 无力履行偿债义务的政府往往需要在巴黎俱乐部等国际场合重新安排偿债期限。对最不发达国家而言，与出口信贷相关的债务往往不属于减免和取消债务谈判的一部分。目前，在巴黎俱乐部签订重新安排偿债期限协议后取消的所有出口信贷债务均可记为官方发展援助。因此，用于取消出口信贷机构债务的资金往往来自官方援助预算。但是，导致出口信贷债务的交易并不一定用于发展目的。出口信贷往往用于支助对环境和社会有害的项目。",
"17. 民间社会组织已表示担心，出口信贷机构与发展中国家的交易所导致的某些债务可能是恶债或非法债务(见A/64/289)，因此应予以取消。独立专家也有这种担心，并促请债务国对所有出口信贷机构债务进行透明的公共审计以确定其性质。《国际发展筹资会议蒙特雷共识》强调了债权国与债务国对防止和解决不可持续的债务问题共同承担责任的原则。根据这项原则，他还呼吁出口信贷机构母国对这些机构的借贷组合进行透明的共同审计。",
"四. 出口信贷机构与人权",
"A. 出口信贷机构的人权义务",
"18. 国家对实现人权负有首要责任。在这方面，国家肩负三项基本义务，即尊重、保护和实现国家领土或管辖范围内个人与群体的人权。保护义务意味着，应采取措施确保人权在任何时候都不受第三方侵犯。为此，国家必须采取适当步骤，通过有效政策、法律、条例和裁定，防止、调查、惩治和补救第三方的侵犯人权行为(见A/HRC/17/31，附件，原则1)。",
"19. 日益获得确认的是，国家的人权义务在某些情况下可以超出国界。例如，经济、社会和文化权利委员会特别指出，国家在法律上有义务尊重其管辖范围以外的经济、社会和文化权利，并有义务避免其行动导致这些权利受到侵犯。该委员会在其第14号一般性意见中指出，缔约国为遵守国际义务，必须尊重在其他国家境内享有健康权，并根据《联合国宪章》和适用国际法，在能够通过法律或政治手段影响第三方时，阻止第三方在其他国家违反这项权利(E/C.12/2000/4，第39段)。[14] 同样，人权委员会还在其第31号一般性意见中指出，缔约国必须尊重和确保该缔约国权力或有效控制范围内任何人、即使是位于缔约国领土以外者的《公约》所规定权利(CCPR/C/21/Rev.1/Add.13，第10段)。[15]",
"20. 所以，一国的行动在国外损害人权，或因一国不监管本国行为方而在其他国家导致侵犯人权行为，则该国对此类侵犯行为负有责任。[16] 此外，根据《经济、社会、文化权利国际公约》第2.1条，国家有义务提供国际援助及合作以逐渐达到《公约》所述权利的实现。",
"21. 虽然出口信贷机构所支助项目的实施国对保护本地居民的人权负有首要责任，但此类机构的母国有责任监管和监督本国此类机构(不论是政府拥有、政府赋予任务还是政府监管的机构)所进行的、对东道国居民享有人权造成不利影响的活动。正如人权与跨国公司和其他工商企业问题秘书长特别代表所指出，国家应采取措施避免人权受到国家拥有或控制的工商企业侵犯，或受到获得出口信贷机构和官方投资保险或担保机构等国家机构大量支持和服务的企业侵犯，包括在适当时要求采取人权尽责措施(A/HRC/17/31，附件，原则4)。",
"22. 然而，政府很少对本国出口信贷机构的行动采取尽责措施。事实上，这些机构的业务政策和国家关于建立此类机构的法律大都不提人权标准。出口信贷机构不论在防止侵犯人权行为方面，还是在采取尽责措施查明项目对人权可能造成的有害影响和减轻此种影响方面，都缺乏明确政策。许多出口信贷机构的母国还缺乏有效机制，无以对这些机构支助项目所导致的侵犯人权的指控作出裁决。[17] 此外，很少评估出口信贷机构所支助的活动侵犯人权情况的影响。再者，出口信贷机构支助的所有交易和项目往往都受保密规定的保护，无法对居民和潜在受影响社区公开，因此有损于透明和参与等人权原则。",
"23. 如以上所解释，出口信贷机构支助的活动可能对一国的债务负担和可持续发展带来严重后果，因而给人民生活带来严重后果。所以，各国应切实避免其通过出口信贷机构支助的项目导致或助长侵犯人权行为。直接行事或通过其出口信贷机构行事的政府，如果未采取尽责措施和未避免非国家行为方的潜在有害行为侵犯人权，就等于违反国际人权法律所规定的义务。",
"24. 出口信贷机构要在业务活动中履行尽责义务，就应在与潜在的受影响居民磋商的前提下，进行人权影响评估并公布评估结果，然后才决定支助任何项目。这些机构还应在整个项目过程中继续进行独立监测并重新评估人权风险。为确保潜在受害人获得充分注意和补救，出口信贷机构应建立独立、公平的非歧视性投诉机制。国家关于设立出口信贷机构的法律和出口信贷机构的业务政策也应提及人权标准。出口信贷机构应根据人权标准评估所有项目，并在其政策及合同中明确设定尽责措施规则。",
"25. 由出口信贷机构提供资金支持的私营公司也对自身活动的人权影响承担责任。这方面值得注意的是，人权理事会第8/7号决议特别指出，跨国公司和其他工商企业有责任尊重所有人权(另见人权理事会第17/4号决议)。还值得注意的是，经济、社会和文化权利委员会强调，国家和跨国私人行为者应按照有利于尊重这些权利的行为准则展开其活动(E/C.12/1999/5，第20段)。",
"26. 私营公司对社区负有下述责任，即：切实避免其活动侵犯人权，包括直接侵犯或与他人共谋侵犯，并努力避免或减少对人权产生不利影响(A/HRC/17/31，附件，原则13)。值得注意的是，人权与跨国公司和其他工商企业问题秘书长特别代表强调，公司除遵守国家法律外，还承担尊重人权的基本责任，因为这是社会对工商企业的基本期望(见A/HRC/11/13)。",
"27. 该项责任要求在政策上承诺遵守国际核心人权文书所载的人权标准，采取具体的人权尽责措施，并向人权受侵犯者提供投诉机制。公司的尽责措施应包括公司必须采取一些步骤了解、防止、减少和处理对人权的不利影响。公司要在业务活动中履行尽责义务，就必须考虑到：公司开展业务的环境；其活动的影响；进行人权影响评估；以及与这些活动相关的各种关系的动态，以避免共谋侵犯人权(A/HRC/17/31，附件，原则17)。公司还应通过持续开展磋商和提供信息，与可能受影响的社区进行接触互动。",
"28. 在人权已遭到侵犯的情况下，应向受害人提供投诉机制。特别代表强调，受害者获得补救是公司尊重人权责任的重要方面。公司应建立各种投诉机制，例如申诉热线电话、受害人咨询服务和调解专家。",
"B. 出口信贷机构活动对人权的影响",
"29. 大多数出口信贷机构以秘密方式操作，因此难以获得关于这些机构所支助项目的准确信息。尽管如此，许多报告记录了这些项目对人权的有害影响。根据此类报告，出口信贷机构所支助的公司的活动造成了许多侵犯人权情况，例如骚扰少数族裔，占用土著人土地、强制驱逐和重新安置、缺乏赔偿、损害农村生计、侵犯劳工权利、威胁生命和人身安全、加重军事化、国家镇压、不让妇女参与磋商、限制言论和结社自由、受项目影响的居民的参与以及与这些居民的协商不够、诉诸司法的机会受到限制。[18]",
"C. 其他关切事项",
"30. 出口信贷机构所支助的活动引起了对缺乏透明度和问责制的关切。大多数出口信贷机构抵制民间社会组织关于公布信息的呼吁，声称自己的活动具有商业和国际敏感性，而且受到保密规则的保护，因此可免于遵守透明度规则。",
"31. 虽然各国在提供出口信贷机构信息的程度互有差别，但这些机构在透明度和问责制方面落后于其他公共机构。此种情况不利于确保这些机构提供负责任的信贷，在行动中履行尽责义务，以及尊重人权和环境标准的努力。事实上，大多数出口信贷机构无义务披露其所支助的项目可能产生的不利社会和环境影响。一些出口信贷机构仅在交易获得批准后等待客户核准时才公布有关信息。",
"32. 出口信贷机构的业务活动缺乏透明度和问责制，使东道国政府并间接使其纳税人承担下述风险：共谋支助可能导致侵犯人权情况的项目、纵容腐败行为、参与无问责政权的活动以及破坏环境。出口信贷机构作为半公共实体，有责任向纳税人通报任何此类风险。",
"33. 民间社会组织的报告表明，出口信贷机构所支助的项目确知涉足腐败案件。据透明国际报告，贿赂外国官员以获得其出口合同已成为工业化国家的普遍做法。[19] 贿赂被当作佣金，包含于担保的合同金额，在有保险情况下则包含于出口人的赔偿金额。¹⁸",
"34. 确知出口信贷机构所支助的项目曾支助无问责政权的活动。例如，在费迪南德•马科斯当权期间的菲律宾，美国进出口银行曾为巴丹核发电厂项目提供贷款和担保。苏哈托当权期间，德国的出口信贷机构曾通过提供保险支助一项与印度尼西亚的交易，即购买德国舰只并使之现代化，这些舰只最终用于印度尼西亚国内的武装冲突。[20] 同样，苏哈托当权的1993至1996年期间，(大不列颠及北爱尔兰联合王国)出口信贷担保部曾为向印度尼西亚空军出售隼式战斗机提供担保。据报告，1999年印度尼西亚军方曾用这些战斗机攻击东帝汶村庄。[21]",
"35. 出口信贷机构为伐木、采矿、天然气或石油等采掘业项目提供的贷款和担保给实施项目地区的环境及当地社区居民的生活造成巨大损害。这些项目的风险包括：环境退化；土地、空气和水污染；生境破坏；温室气体排放、毁林、荒漠化和土壤退化；长期依赖化石燃料；以至最终发生全球气候变化。然后，这些环境变化可能影响当地居民的健康，增大罹患癌症、皮肤病、肺部疾病和发生其他与健康相关问题的风险。这些变化还可能影响人们的生计来源，有损其粮食安全，并导致当地社区居民流离失所，尤其是导致土著居民离开其传统家园。",
"36. 如上所述，出口信贷机构在全球经济中发挥重要作用。这种作用使支助发展中国家项目的此类机构承担额外的责任，在业务活动中必须具有透明度，实施问责，采取尽责措施，并严格遵守关于人权和环境问题的国际商定标准。遗憾的是，作为支助发展中国家项目的公共融资机构，大多数出口信贷机构并不承担促进发展的任务，且其唯一使命是促进私营公司的投资和出口，而这些活动往往有损于此类机构支助项目所在国的人权和可持续发展。[22]",
"37. 如独立专家关于其澳大利亚之行的报告所述(A/HRC/17/37/Add.1)，独立专家完全支持的一个看法是：缺乏透明度规则，使人严重怀疑出口信贷机构接受母国纳税人和机构支持的项目所在发展中国家国民问责的问题。出口信贷机构母国政府提供的贷款或出口信贷机构所支助项目执行国政府所担保的贷款是关乎公众的事项，因此有理由要求这样的公共机构或公共供资机构遵守透明度规则并根据明确问责机制开展业务。",
"38. 独立专家认为，应规定出口信贷机构必须公布其活动信息，包括项目评估、决策和执行情况，并评估其融资决策的人权影响(另外还要评估环境和社会影响)。如果对信息披露有限制，应加以明确从严界定。这样出口信贷机构就可以对其所支助的项目作出负责任和知情的决策。",
"39. 除作为出口信贷机构政策和程序的一部分采用透明度和问责机制外，国家立法机构或国家审计局等国家实体也有责任不断监测这些机构的活动，切实避免其活动有损于本国对外援助和发展政策以及国际人权义务。这些人权事项需要加以进一步研究。",
"五. 出口信贷机构活动的国际监管",
"40. 经合组织内部通过“官方支助出口信贷安排”管理出口信贷机构。该安排就提供出口信贷规定法律和金融框架，用以约束出口信贷业务并使其具有透明度。该安排解决的主要问题包括：最低利率和首付、标准化偿还时间表、通用报告程序、信贷最长期限、对使用附带条件的援助的约束和透明度规则。",
"41. 此外，经合组织出口信贷和信贷担保工作组(出口信贷工作组)提供一个论坛，用以讨论非财政问题(例如腐败、环境和竞争问题)，谈判达成非约束性通用指导原则，以及增进竞争者之间的合作。",
"42. 国际信用和投资保险人联盟(简称伯尔尼联盟)也开展出口信贷政策方面的国际合作，但该联盟的作用仅限于交换有关外国购买人的信息以降低商业风险。参加伯尔尼联盟的不仅有经合组织国家的出口信贷机构，也有新兴经济体的此类机构。该联盟还包含非按政府所赋任务提供出口信贷和投资保险的私营实体。伯尔尼联盟指导原则适用于所有成员，其中含糊地提及环境敏感性、反腐和提高透明度等问题。",
"43. 经合组织的大多数出口信贷机构已就其活动的环境和社会影响制定相关政策。此类政策通常要求经合组织的所有出口信贷机构进行环境影响评估。",
"44. 2003年，经合组织通过了出口信贷工作小组关于制定环境与官方支助出口信贷问题共同办法(简称共同办法)的建议。共同办法要求政府和出口信贷机构审查项目的潜在环境影响，并根据国际标准加以评估。2007年6月经合组织进行审查后，更新了关于共同办法的建议，呼吁公开披露更多信息和增强信息交流，以使各机构的竞争环境更公平。这套办法还要求遵守东道国的环境标准，审查潜在环境影响并加以分类，对有潜在重大不利环境影响的项目开展环境影响评估，并根据世界银行保障政策或在适当时根据国际金融公司绩效标准，对项目进行筛选。",
"45. 然而，共同办法也有几个缺点。首先，共同办法是非约束性建议。第二，共同办法包含一个例外条款(第13条)，规定成员出口信贷机构如果决定完全不采用任何标准，则可不采用，前提是该成员向出口信贷工作小组报告此事并提出理由。[23] 第三，共同办法目前仅适用于官方支助的偿还期至少为两年的出口信贷。",
"46. 值得注意的是，共同办法根本未提到人权，因此人权与跨国公司和其他工商企业问题秘书长特别代表建议，共同办法应明确指出人权是企业和市场的社会可持续性方面的一个关键因素，并应明确承认出口信贷机构可为增强企业尊重人权责任发挥作用。[24] 特别代表进一步建议经合组织考虑建立一个人权工作组，编制供出口信贷机构在采取人权尽责措施时可以采用的合适工具并协助建设人权知识库和人权能力，以增强出口信贷机构维护人权的能力。²³ 此外，大赦国际也建议，应根据国际人权标准评估出口信贷机构支助的项目，以防止项目导致或助长侵犯人权行为。[25] 独立专家完全支持这些建议。",
"47. 关于腐败问题，2000年出口信贷工作小组发布了贿赂与官方支助出口信贷问题行动声明。该声明于2006年修订，后成为经合组织建议。此建议确认出口信贷机构在反腐方面的作用，并提出在国际业务中防止腐败的一些适当措施，包括向申请信贷的出口商说明贿赂的法律后果，要求出口商宣布未进行贿赂，要求提供以往腐败指控的信息，要求披露代理费和佣金信息，检查列入国际金融机构取消资格名单的潜在客户的记录，以及暂时取消有贿赂证据的项目的资格。[26]",
"48. 尽管作出了这些有限努力，但在全球范围，对出口信贷机构的业务活动大体上仍没有监管，且透明度以及环境和人权影响方面的标准及监管普遍不足。",
"六. 国家对出口信贷机构不法行为的责任",
"49. 出口信贷机构作为官方支助的机构，有别于纯粹的私营金融公司。不论是政府拥有还是政府赋予任务的出口信贷机构，都根据规定其任务的国家法律或规章行使职能。所有出口信贷机构均代表政府、在政府支助和控制下从事某些交易。这一点确立了国家与出口信贷机构的法律关系。[27] 公私合营财团形式的出口信贷机构也因国家对其业务活动的核准、供资和监管而受国家控制。由于存在这种法律关系，可以说，某一出口信贷机构违反国际法，则其母国需要承担责任，此种机构所犯不法行为将归于该国家。",
"50. 作为此观点的论据，值得回顾的是，根据国际法委员会的国家对国际不法行为的责任条款草案第4和第5条，任何国家机关(不论行使何种职能或具有何种地位)以及任何经该国法律授权而行使某种政府权力并在特定情况下以此种资格行事的非国家机构，其行为按国际法应归于国家。此外，就国际责任而言，根据国家统一性原则，任何国家单位的作为或不作为均可视为国家作为(A/56/10)。这意味着作为国家机关的出口信贷机构，其不法作为和不作为按关于国家责任的国际法均归于国家。作为国家机构或政府部门设立的出口信贷机构显然是公共权力机构，因此国家对其行动负有责任。这些机构由国家独家所有并在其控制下开展业务。同样，作为国家拥有的自主公司设立的出口信贷机构，虽然可能独立经营，但其活动最终受诸如贸易部或财政部等政府部门管辖。因此，这第二类出口信贷机构也可视为受国家控制。属于第三类的私营公司或公私合营财团虽然自治程度较高，但国家仍通过监管、供资、批准大笔付款、监督或制定标准和程序而对其业务活动保持一定控制。在许多情况下，私营或公私合营公司业务的最终决策需要获得某个部或部级委员会批准。总之，国家对出口信贷机构活动的影响是一个常见因素，不可等闲视之。",
"51. 根据国家责任的法律，政府必须切实避免本国出口信贷机构违反国际法律义务，包括违反国际人权法律。如出口信贷机构不考虑其所支助私营公司项目对人权的影响或采取步骤减少此种影响，当侵犯人权行为发生时，就可能导致国家对违反国际法义务承担责任(A/HRC/17/31，附件，原则4)。国际法规定的国家义务还要求各国切实避免其行动或包括出口信贷机构在内的其机关的行动对另一国造成伤害。",
"52. 一国如事先了解另一国的不法行为的情形，则对此种不法行为承担国际共谋责任(A/56/10，第16条)。因此，如出口信贷机构在一个允许某一公司以违反国际人权法律的方式开展业务的外国支助该公司的项目，则母国可能对协助东道国的不法行为承担责任。[28]",
"53. 关于条款草案第二章第一部分的评注强调，国家如不采取必要措施防止私人当事方的行为，则可能对该行为的影响承担责任(A/56/10)。如上所述，按照国际人权法，国家有责任监管第三方的活动，防止发生侵犯人权行为。同样，就跨国公司活动的责任而言，国家有义务防止本国公司在外国侵犯人权。[29]",
"七. 结论和建议",
"54. 出口信贷机构支助的项目可能对实施项目国家的可持续发展和人权造成不利影响。出口信贷机构往往缺乏透明度，而且在融资决策中不充分考虑环境、社会和人权因素。根据关于国家责任的国际法，官方支助的出口信贷机构是母国的机关或代理人，其不法作为或不作为可归于国家。因此，母国有义务监管其活动。此外，出口信贷机构也有责任尊重人权。",
"55. 为确保出口信贷机构所支助的活动不损害国际人权义务，助长侵犯人权行为，阻碍开展该活动国家的可持续发展，或加重发展中国家的债务负担，独立专家建议：",
"(a) 各国采取措施确保其出口信贷机构制定和执行更有力的、符合国际人权标准的环境和社会保障措施；",
"(b) 各国确保其出口信贷机构执行信息披露政策，尤其是要求公开披露此类机构所支助交易的环境、社会、人权和发展影响的所有信息，以提高透明度和问责度，并确保将此类信息提供给受影响社区；",
"(c) 各国采取措施，包括通过法律，确保其出口信贷机构不支助导致或助长侵犯人权行为的项目，并为此确保其出口信贷机构制定人权尽责措施框架，以便其评估对人权的实际和潜在不利影响并有效防范风险，从而履行其尊重人权的义务；",
"(d) 各国确保受出口信贷机构所支助的项目和出口影响者，包括出口信贷机构所支助活动导致的侵犯人权行为的受害人，能获得有效的国家法律补救；",
"(e) 把经合组织共同办法强制纳入出口信贷机构的环境、社会和人权审查政策；",
"(f) 国际社会规定最穷国暂缓偿还现有的出口信贷机构债务，其中很大一部分用于无经济价值的目的，同时债务国根据恶债原则对出口信贷机构的全部索偿要求进行透明的公共审计以确定其合法性，并无条件取消所有被认定有违恶债原则的债务。",
"[1] ^(*) A/66/150。",
"[2] 见Doug Norlen,Rory Cox, Miho Kim and Catriona Glazebrook编辑，Unusual Suspects: Unearthing the Shadowy World of Export Credit Agencies (Oakland, California, Pacific Environment, 2002)第1页；Bruce Rich, “Exporting destruction”, The Environmental Forum, September/October 2000；Malcolm Stephens, The Changing Role of Export Credit Agencies (Washington, D.C., International Monetary Fund, 1999)第63页；Andrew M.Moravcsik, “Disciplining trade finance: the OECD export credit arrangement”, International Organization, vol. 43, No. 1 (Winter 1989)，第176页；OECD，“Review of official export credit commitments to IDA-only countries(2001-2009)”P.6，available from www.oecd.org/dataoecd/42/59/36945707.pdf。",
"[3] 见www.oecd.org/dataoecd/30/35/37931024.pdf。另见 Karyn Keenan,“export credit agencies and the international law of human rights”(Halifax Initiative, 2008)，第1页。",
"[4] 见Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance (Environmental Defense Fund, 2009)，第5页，可查阅www.edf.org/documents/9593_coal-plants-report.pdf。另见Richard Wainwright, 编辑，Exporting Destruction: Export Credits, Illegal Logging and Deforestation (FERN, 2008)，第7段。",
"[5] Delio E. Gianturco, Export Credit Agencies: The Unsung Giants of International Trade and Finance (Westport, Connecticut, Quorum Books, 2001)，第1页。",
"[6] 20国集团关于《全球复苏与改革计划》的最后公报说，该集团各国领导人将确保今后两年至少提供2 500亿美元，以支助该集团各出口信贷和投资机构以及各多边开发银行提供贸易融资。见2009年4月2日20国集团领导人通过的《全球复苏与改革计划》。可查阅www.g20.org/ Documents/final-communique.pdf。另见2009年4月22日经合组织关于全球金融危机与出口信贷的声明。可查阅www.oecd.org/dataoecd/51/22/42624233.pdf。",
"[7] Norlen等人，Unusual Suspects(见脚注1)，第1页。",
"[8] 见Gabrielle Watson,编辑，Race to the Bottom, Take II: An Assessment of Sustainable Development Achievements of ECA-Supported Projects Two Years After OECD Common Approaches Rev. 6 (ECA-Watch, 2003)；Stephanie Fried and Titi Soentoro,编辑，A Brief Overview of Export Credit Agencies in the Asia-Pacific Region (Mumbai, World Social Forum, 2004)；Nicholas Hildyard,“Snouts in the trough: export credit agencies, corporate welfare and policy incoherence”,Corner House Briefing Paper No. 14 (Corner House,1999)，可在www.thecornerhouse.org.uk/resource/snouts-trough查阅；Keenan, “export credit agencies and the international law of human rights”，第1页。另见2010年3月大赦国际关于审查环境与官方支助出口信贷问题共同方式修订建议的呈文(POL 30/002/2010)，第1页。",
"[9] 见OECD，Export Credit Financing Systems in OECD Member Countries and Non-member Economies：Introduction(2008)。可查阅www.oecd-ilibrary.org。",
"[10] 关于经合组织成员和非成员国家出口信贷融资制度的信息,见www.oecd-ilibrary.org/trade/ export-credit-financing-systems-in-oecd-member-countries-and-non-member-economies_17273870。",
"[11] Keenan,“Export credit agencies and the international law of human rights,”(见脚注2)，第2页。",
"[12] Aaron Goldzimer,“Worse than the World Bank? Export credit agencies-the secret engine of globalization”，Backgrounder, vol. 9, No.1(Winter 2003)，第2页。",
"[13] 世界银行，《全球发展融资：向最穷国提供资金》，(华盛顿特区，2002年)，第107页。",
"[14] 另见关于适当食物权的第12号一般性意见，第36-37段；以及关于水权的第15号一般性意见，第31-34段。",
"[15] 另见 Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports, 2004，第136页。",
"[16] 一些条约机构促请各国采取步骤防止其管辖范围内的公司在国外犯下侵犯行为。可参见经济、社会和文化权利委员会关于社会保障权利的第19号一般性意见(E/C.12/GC/19)，第54段，以及消除种族歧视委员会关于美国第四次、第五次和第六次报告的结论性意见(CERD/C/USA/ CO/6)。",
"[17] 在美国，作为出口信贷机构开展业务的海外私人投资公司设立了问责办公室，以评估和审查关于其所支助项目的投诉。该办公室向可能受项目重大、直接或不利影响的当地社区以及项目主办人提供投诉的途径，此途径独立于该公司的业务。见www.opic.gov/doing-business/ accountability。",
"[18] 可参见Watson,编辑，Race to the Bottom, Take II(见脚注7)和Norlen等人，Unusual Suspects(见脚注1)。",
"[19] Dieter Frisch,“Export Credit Insurance and the fight against international corruption,”Transparency International Working Paper (Transparency International, 1999)，可查阅www.odiousdebts.org/odiousdebts/index.cfm?DSP=content&ContentID=2366。关于在解决公司参与贿赂和腐败问题方面进展不足的情况，另见Transparency International, Transparency in Reporting on Anti-Corruption: A Report on Corporate Practices (2009)。",
"[20] 见欧洲债务和发展网络，“Skeletons in the cupboard: illegitimate debt claims of the G7” (2007)。",
"[21] Hildyard,“Snouts in the trough”(见脚注7)。",
"[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia’s Export Credit Agency (Sydney, Australia, 2009)，第10段。",
"[23] Wainwright,编辑，Exporting Destruction(见脚注3)，第12页。另见http://www.oekb.at/en/ export-services/transparency-compliance/environment/oecd-common-approaches/pages/default.aspx。",
"[24] 人权与跨国公司和其他工商企业问题秘书长特别代表，“与出口信贷机构在尊重人权方面进行接触互动”，在经合组织出口信贷工作小组共同办法会议上的发言，巴黎，2010年6月23日。",
"[25] 见大赦国际关于共同办法修订建议审查的呈文(见脚注7)，第4页。",
"[26] Wainwright, 编辑，Exporting Destruction(见脚注3)，第15页。",
"[27] 见Özgür Can和Sara L. Seck,“The legal obligations with respect to human rights and export credit agencies”，为ECA-Watch、Halifax Initiative和ESCR-Net编写的论文，2006年7月。可查阅www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf。",
"[28] 见Keenan, “Export credit agencies and the international law of human rights”(见脚注2)，第3-7页。另见Can and Seck,“The legal obligations with respect to human rights and export credit agencies”，第4-8页。",
"[29] 见Keenan,“Export credit agencies and the international law of human rights”，第10页；Can and Seck,“The legal obligations with respect to human rights and export credit agencies”，第12页。"
] | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda[1]",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the Members of the General Assembly the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights, Cephas Lumina, submitted pursuant to Human Rights Council resolutions 7/4 and 16/14.",
"Report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights",
"Summary",
"Export credit and investment insurance agencies, commonly known as export credit agencies, are collectively the principal source of public financing for foreign corporate involvement in large-scale industrial and infrastructure projects in developing countries and emerging economies. In recent years, export credit agencies have assumed an increasingly important role in the global economy, particularly in the context of the global financial crisis.",
"Nevertheless, many projects supported by export credit agencies have harmful environmental, social and human rights consequences and are not financially viable. Numerous reports have documented human rights violations arising from or associated with projects supported by export credit agencies, including forced displacement of local populations, violation of the rights of indigenous peoples, denial of access to basic services and environmental damage. In addition, export credit agencies tend to be secretive and often lack transparency and accountability in their funding decisions and operations.",
"The present report, submitted in accordance with Human Rights Council resolutions 7/4 and 16/14, aims to focus attention on the adverse impact of export credit agency-supported activities on sustainable development and the realization of human rights in the countries where such activities are undertaken. It also examines the contribution of export credits to the debt burdens of those countries.",
"The report calls upon States to address the negative impact of export credit agency-supported projects and makes some recommendations on measures to ensure that the activities of export credit agencies do not undermine the international human rights and other obligations of their home and host States and do not contribute to human rights violations.",
"I. Introduction",
"1. Export credit and investment insurance agencies, generally known as export credit agencies, are collectively the largest source of public financing for foreign corporate involvement in large-scale industrial and infrastructure projects, particularly in the extractive industries sector, in developing countries.[2] In 2005, export credit agencies from the member countries of the Organization for Economic Cooperation and Development (OECD) provided $125 billion in credit, insurance, guarantee and interest support.[3] In 2007, export credit agencies collectively supported $1.4 trillion in trade and investment, equivalent to around 10 per cent of the world’s total export trade.[4] It is estimated that the activities undertaken by export credit agencies exceed those of all multilateral development banks and overseas development agencies and that they directly finance one in every eight dollars of world trade.[5]",
"2. In recent years, export credit agencies have assumed an increasingly important role in the global economy, particularly in the context of the global financial crisis. In April 2009, the Group of 20, at its summit meeting in London, and OECD member countries pledged to provide extra support for export credits to help increase international trade flows.[6]",
"3. Nevertheless, a significant number of the projects supported by export credit agencies, particularly large dams, oil pipelines, greenhouse gas-emitting coal and nuclear power plants, chemical facilities, mining projects and forestry and plantation schemes, have severe environmental, social and human rights impacts.[7] Numerous reports have documented the adverse human rights impact of projects supported by export credit agencies, including forced displacement of local populations, State repression, violations of the rights of indigenous peoples, denial of access to basic services and environmental damage.[8] In addition, export credit agencies often do not have adequate safeguards and due diligence, lack transparency and have been implicated in corruption.",
"4. The present report, submitted in accordance with Human Rights Council resolutions 7/4 and 16/14, seeks to focus attention on the adverse impact of export credit agency-supported projects on sustainable development and the realization of human rights in the countries in which such projects are implemented. It also examines the contribution of export credits to the debt burden of developing countries.",
"II. Overview of export credit agencies",
"A. What is export credit?",
"5. The term “export credit” refers to an insurance, guarantee or financing arrangement that enables a foreign buyer of exported capital goods and/or services to defer payment over a period of time (short term, usually under two years; medium term, usually from two to five years; and long term, usually over five years).[9] Export credit is the main type of facility provided by an export credit agency.",
"B. What are export credit agencies?",
"6. Export credit agencies are public entities that provide Government-backed or subsidized loans, guarantees, credits and insurance to private corporations from their home country to support exports and foreign investments, particularly in developing countries and emerging markets. Most developed countries have at least one export credit agency, which is usually an official or quasi-official agency of their Government.[10]",
"7. Although export credit agencies take various organizational forms, they are usually backed by a Government and operate in accordance with a Government mandate. An export credit agency can be: (a) a Government department, as is the case in the United Kingdom of Great Britain and Northern Ireland (Export Credits Guarantee Department) and the United States of America (Export-Import Bank); (b) an autonomous corporation, owned by the Government and independently managed, as in Australia (Export Finance and Insurance Corporation), Belgium (Office national du ducroire/Nationale Delcrederedienst) and Canada (Export Development Canada); or (c) a private company acting as a Government agent or a private-public partnership (where key decisions and risks are taken by the Government, while the company provides the services and undertakes the initial risk analysis), such as those in France (Compagnie française d’assurance pour le commerce extérieur), Germany (Euler Hermes Kreditversicherungs) and the Netherlands (Atradius).[11] These forms are reflected in the funding arrangements: from the national budget, from special Government funds, from loans and capital from the Government or from shares or bonds.",
"8. Export credit agencies provide support to domestic companies in different ways. They provide loans (directly or through a commercial bank) to foreign buyers to purchase goods and services originating in the agency’s home country, thus facilitating the export capacity of local corporations. Financial services offered by export credit agencies also take the form of guarantees for commercial loans and export credit insurance. To obtain a credit guarantee, exporters take out insurance with an export credit agency, which undertakes to pay the exporter should the importer default on payment. Export credit agencies’ insurance also cover the losses emanating from political risks, such as nationalization or expropriation without compensation, confiscation of investments, restrictions on conversion of dividends and transfer of profits, currency instability, economic crisis or war. Through the provision of guarantees and insurance, export credit agencies back transactions that would normally be refused in the private market owing to the economic or political risk associated with them.",
"9. Export credit agencies offer financing at lower interest rates, premiums and fees than those offered by the private markets, and their support entails minor economic requirements and limited (or no) compliance with environmental, social and transparency standards, thus facilitating easier, riskier and faster financial transactions. Nevertheless, for borrowers in developing countries, export credit agency-backed loans still have higher interest rates than many provided by other official sources, such as development banks or agencies.[12]",
"10. Finally, most official lenders, such as the World Bank, the International Monetary Fund and other development agencies, ostensibly aim to promote local economic growth, development and/or poverty reduction, but most export credit agencies do not have a development mandate at all. Their singular purpose is to promote their own countries’ exports or foreign investments.",
"III. Export credit agencies and sovereign debt",
"11. Export credit agency-related debt constitutes the largest component of developing country debt. According to the World Bank, export credit agencies’ total exposure to developing countries had reached an estimated $500 billion by the end of 2000, one quarter of those countries’ total long-term external debt.[13] A number of countries owe more than 50 per cent of their total debt to export credit agencies. According to 2001 figures from OECD, for example, around 64 per cent of the debt of Nigeria and 42 per cent of the debt of the Democratic Republic of Congo were owed to export credit agencies.",
"12. There are various ways in which export credits can contribute to a country’s sovereign debt. Export credit agencies can directly contribute to the sovereign debt burden when they lend to a Government or foreign public entity, or when they guarantee or insure commercial credits made available to a Government or public entity. If the debtor (the public entity) defaults on its payments to the export credit agency or to the creditor insured by the agency, the debt owed by the public entity becomes part of the country’s sovereign debt.",
"13. Export credits may also generate sovereign debt indirectly through sovereign counterguarantees. These guarantees seek to reduce the risks of transactions between a private investor (an exporter or provider of services, often from a developed country) and a foreign private recipient (an importer or recipient of an investment or project, often from a developing country). The exporter takes up insurance with its home country’s export credit agency for a transaction or project with considerable economic or political risk. In turn, the export credit agency requires a counterguarantee from the recipient’s Government. In the event of default or failure of the project, the export credit agency pays the private company for its loss and seeks reimbursement for its costs from the developing country Government against its counterguarantee. If the Government is unable to pay the counterguarantee, the amount owed is added to the country’s sovereign debt. The inherent financial or political risk of the transaction is thus transferred from the private investor to the taxpayers of the country of the private recipient.",
"14. Another way is when export credit agency projects involve Governments in large contingent liabilities even in circumstances where they do not borrow or guarantee a loan. Developing country Governments often have to offer extraordinarily generous terms to attract certain private investments such as those for power projects. The Government may have to sign a power purchase agreement guaranteeing the purchase of power at high dollar-denominated prices. Since such a purchase agreement is not a loan, it is not counted as debt, although it may have massive budgetary implications for the Government concerned.",
"15. Inevitably, export credit agency backing reduces the pressure on investors to exercise due diligence in assessing the risk of default or failure of a project. Irresponsible investing and export credit agency backing can therefore contribute to an increase in the debt of developing countries.",
"16. Governments that are unable to meet their debt obligations often need to reschedule their debt repayments in international forums, such as the Paris Club. For the least developed countries, export credit-related debt is often not included in negotiations on debt relief or cancellation. Currently, all export credit debt that is cancelled after debt rescheduling agreements in the Paris Club may be reported as official development assistance. Thus, the cancellation of export credit agency debts is often funded by official aid budgets. However, transactions that result in export credit debt do not necessarily serve development purposes; export credits typically support environmentally and socially harmful projects.",
"17. Civil society organizations have expressed concern that some of the debt emanating from export credit agency transactions with developing countries may be odious or illegitimate (see A/64/289) and should therefore be cancelled. The independent expert shares this concern and urges debtor countries to conduct transparent public audits of all export credit agency debt in order to ascertain its nature. In keeping with the principle of shared responsibility of creditors and debtors for preventing and resolving unsustainable debt situations, as underscored in the Monterrey Consensus of the International Conference on Financing for Development, he also calls upon the home States of export credit agencies to undertake transparent public audits of the lending portfolios of their agencies.",
"IV. Export credit agencies and human rights",
"A. Human rights obligations of export credit agencies",
"18. States bear primary responsibility for the realization of human rights. In this regard, they have three essential duties: to respect, protect and fulfil the human rights of individuals or groups within their territory or jurisdiction. The duty to protect entails taking measures to ensure at all times that third parties do not violate human rights. Thus, States must take appropriate steps to prevent, investigate, punish and redress human rights abuses by third parties through effective policies, legislation, regulation and adjudication (see A/HRC/17/31, annex, principle 1).",
"19. It is increasingly recognized that States’ human rights obligations can extend beyond borders in certain circumstances. For example, the Committee on Economic, Social and Cultural Rights has underscored the legal obligations of States to respect economic, social and cultural rights beyond their jurisdiction and to avoid actions that have the effect of undermining them. In its general comment No. 14, the Committee has stated that to comply with their international obligations, States parties have to respect the enjoyment of the right to health in other countries and to prevent third parties from violating that right in other countries, if they are able to influence these third parties by way of legal or political means, in accordance with the Charter of the United Nations and applicable international law (E/C.12/2000/4, para. 39).[14] In a similar vein, the Human Rights Committee, in its general comment No. 31, has stated that a State party must respect and ensure the rights laid down in the Covenant to anyone within the power or effective control of that State party, even if not situated within its territory (CCPR/C/21/Rev.1/Add.13, para. 10).[15]",
"20. Thus, a State whose actions undermine human rights abroad or whose failure to regulate national actors results in violations in other countries is liable in respect of those violations.[16] In addition, under article 2.1 of the International Covenant on Economic, Social and Cultural Rights, States have an obligation to provide international assistance and cooperation with a view to achieving progressively the realization of the rights elaborated in the Covenant.",
"21. While the State where an export credit agency-backed project is implemented bears primary responsibility for the protection of human rights of the local population, the agencies’ home States are responsible for the regulation and supervision of the activities carried out by their national export credit agencies (whether owned, mandated or regulated by Government) that had an adverse effect on the enjoyment of human rights of the population of the host State. As stated by the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, States should take steps to protect against human rights abuses by business enterprises that are owned or controlled by the State or that receive substantial support and services from State agencies such as export credit agencies and official investment insurance or guarantee agencies, including, where appropriate, by requiring human rights due diligence (A/HRC/17/31, annex, principle 4).",
"22. However, Governments rarely exercise due diligence concerning the actions of their national export credit agencies. Indeed, the agencies’ operational policies and the national laws establishing them typically never include references to human rights standards. Neither do export credit agencies have in place a clear policy on the prevention of human rights abuses or on due diligence to identify potential harmful effects of projects on human rights and to mitigate them. Many export credit agencies’ home States also lack effective mechanisms to adjudicate claims of human rights abuses resulting from projects backed by such agencies.[17] Moreover, impact assessments of human rights violations of export credit agency-backed operations are rarely undertaken. In addition, all transactions and projects supported by export credit agencies are often protected by confidentiality provisions that prevent their publication among the population and the potentially affected communities, thus undermining the human rights principles of transparency and participation.",
"23. As explained above, export credit agency-supported activities can have serious consequences on a country’s debt burden and sustainable development and, consequently, on the lives of people. States should therefore ensure that the projects that they support through their export credit agencies do not result in or contribute to human rights abuses. When a Government, directly or through its export credit agency, fails to exercise due diligence to protect human rights from the potentially harmful behaviour of non-State actors, it is in breach of its obligations under international human rights law.",
"24. For export credit agencies to operate with due diligence, they should carry out and publicize human rights impact assessments, in consultation with the potentially affected population, before deciding to support any project. They should also continue to conduct independent monitoring throughout the life of the project and reassess the human rights risks. To ensure that potential victims receive adequate attention and redress, export credit agencies should put in place an independent, fair and non-discriminatory grievance mechanism. National legislation establishing export credit agencies and their operational policies should also refer to human rights standards. Export credit agencies should assess all projects against human rights standards and establish clear due diligence requirements in their policies and contracts with clients.",
"25. Private corporations that are financially supported by export credit agencies also bear responsibility for the human rights impact of their activities. It is noteworthy in this regard that the Human Rights Council, in its resolution 8/7, underscores the responsibility of transnational corporations and other business enterprises to respect all human rights (see also Human Rights Council resolution 17/4). It is also notable that the Committee on Economic, Social and Cultural Rights has stressed that national and transnational private actors should pursue their activities within the framework of a code of conduct conducive to the respect of those rights (E/C.12/1999/5, para. 20).",
"26. Private corporations have a responsibility to the community to ensure that their activities do not violate human rights, either directly or through complicit association with abusers, and to seek to prevent or mitigate adverse human rights impacts (A/HRC/17/31, annex, principle 13). It is notable that the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises has stressed that, in addition to compliance with national laws, corporations have a basic responsibility to respect human rights, as this is the basic expectation that society has of business (see A/HRC/11/13).",
"27. Such responsibility requires a policy commitment to comply with human rights standards grounded in core international human rights instruments, specific human rights due diligence and the provision of grievance mechanisms to victims of human rights abuses. Corporate due diligence should entail a number of steps that companies must take to become aware of, prevent, mitigate and address adverse human rights impacts. To conduct their businesses with due diligence, companies must consider the context in which they operate; the impact of their activities, by conducting human rights impact assessments; and the behaviour of the relationships connected to those activities, to avoid complicity in human rights abuses (A/HRC/17/31, annex, principle 17). They should also engage with potentially affected communities through continuous consultation and the provision of information.",
"28. When abuses have already taken place, grievance mechanisms should be provided to the victims. The Special Representative has emphasized that access to remedies plays an important role in corporate responsibility to respect human rights. Corporations should establish grievance mechanisms such as hotlines for raising complaints, advisory services for victims and expert mediators.",
"B. Impact of export credit agency activities on human rights",
"29. Although it is difficult to obtain accurate information on export credit agency-backed projects owing to the secretive manner in which most of the agencies operate, numerous reports have documented the harmful impact of those projects on human rights. According to the reports, corporate activities supported by export credit agencies have on numerous occasions resulted in human rights violations, such as harassment of ethnic minorities, occupation of indigenous land, forced evictions and resettlement, lack of compensation, destruction of rural livelihoods, violations of labour rights, threats to life and bodily integrity, increased militarization, State repression, exclusion of women from consultation, restrictions on freedom of expression and association, insufficient participation of and consultation with people affected by the project and restrictions on access to justice.[18]",
"C. Other concerns",
"30. The activities supported by export credit agencies have also given rise to concerns about the lack of transparency and accountability. Most such agencies have resisted calls by civil society organizations to publish information, claiming that they are exempt from transparency requirements owing to the commercial and international sensitivity of their activities and the confidentiality rule that protects them.",
"31. Although the availability of information on their operations varies from country to country, export credit agencies lag behind the transparency and accountability mechanisms of other public agencies. This undermines any attempts to ensure that the agencies provide responsible credit, behave with due diligence and respect human rights and environmental standards. Indeed, most of them are not obliged to disclose information about the potential adverse social and environmental impact of the projects that they support. Some agencies release the relevant information only after the transaction has been approved and subject to authorization from the client.",
"32. The lack of transparency and accountability of export credit agency operations puts home Governments and, indirectly, their taxpayers, at risk of complicity in supporting projects that may result in human rights violations, connivance with corrupt practices, involvement in the activities of unaccountable regimes and environmental degradation. As public or semi-public entities, export credit agencies have a responsibility to inform taxpayers of any such risks.",
"33. Reports by civil society organizations indicate that projects supported by export credit agencies are known to have been implicated in corruption cases. According to Transparency International, bribing foreign officials in order to secure contracts for their exports has become a widespread practice in industrialized countries.[19] The bribes are treated as commissions and are included in the contract value covered by the guarantee or in the indemnification of the exporter where insurances come into play.¹⁸",
"34. Export credit agency-backed projects are also known to have supported the activities of unaccountable regimes. For example, loans and guarantees were provided by the Export-Import Bank of the United States for the Bataan Nuclear Power Plant project during the Ferdinand Marcos regime in the Philippines. The German export credit agency provided insurance to support a deal with Indonesia, during the Suharto regime, to purchase and modernize German vessels, which were eventually used in internal armed conflict in Indonesia.[20] Similarly, the Export Credits Guarantee Department of the United Kingdom of Great Britain and Northern Ireland agreed to underwrite a guarantee on the sale of Hawk fighter jets to the Indonesian Air Force during the Suharto regime in 1993 and 1996. The jets were reported to have been used by the Indonesian military against villages in East Timor in 1999.[21]",
"35. The provision of export credit agency loans and guarantees for extractive industry projects such as logging, mining, gas or oil can take an enormous toll on the environment of the region where the project is implemented and on the lives of their communities. They risk creating environmental degradation; land, air and water pollution; destruction of habitats; greenhouse gas emissions, deforestation, desertification and soil degradation; long-term fossil fuel dependence; and ultimately, global climate change. In turn, these environmental changes may affect the health of the local population, increasing the risk of cancer, skin and pulmonary disease and other health-related problems. They may also affect people’s access to sources of livelihood, reducing their food security, and result in the displacement of local communities, particularly of indigenous peoples, from their traditional homelands.",
"36. As stated above, export credit agencies play an important role in the global economy. This role entails an additional responsibility for agencies supporting projects in developing countries to conduct their businesses with transparency, accountability and due diligence and in strict compliance with internationally agreed standards on human rights and environmental issues. It is regrettable that as public finance bodies supporting projects in developing countries, most export credit agencies have no development mandate and their sole mission is to promote investments and exports of private corporations, often to the detriment of human rights and sustainable development in the countries where they support projects.[22]",
"37. As intimated in his report on his mission to Australia (A/HRC/17/37/Add.1), the independent expert fully supports the view that the absence of transparency requirements raises serious questions about the accountability of export credit agencies to the taxpayers of their home States and to citizens of the developing countries where they support projects. Loans underwritten by an export credit agency’s home Government or guaranteed by the Governments of the countries where export credit agency-supported projects are being implemented are matters of public concern. It is therefore reasonable to expect a public body or a publicly funded body to abide by transparency requirements and operate with clear accountability mechanisms.",
"38. The independent expert is of the view that export credit agencies should be required to publicly disclose information concerning their activities, including project assessment, decision-making and implementation, and to undertake assessments of the human rights impact of their financing decisions, in addition to environmental and social impact assessments. Any limitations to the disclosure of information should be clearly and narrowly defined. This would allow export credit agencies to make responsible and informed decisions about the projects they support.",
"39. Besides the adoption of transparency and accountability mechanisms as part of agencies’ policies and procedures, State entities such as national legislatures or national audit offices have a responsibility to undertake ongoing monitoring of the activities of export credit agencies to ensure that their activities do not undermine their country’s foreign aid and development policies or their international human rights obligations. These human rights concerns require further investigation.",
"V. International regulation of export credit agency activities",
"40. Within OECD, export credit agencies are governed through the Arrangement on Officially Supported Export Credits. The Arrangement establishes a legal and financial framework for export credit provision, with the aim of bringing discipline and transparency to export credit operations. The Arrangement focuses mainly on such issues as minimum interest rates and down payments, standardized repayment schedules, common reporting procedures, maximum duration of credits and discipline and transparency in the use of tied aid.",
"41. In addition, the OECD Working Party on Export Credits and Credit Guarantees (Export Credit Group) provides a forum for the discussion of non-fiscal issues, such as corruption, environment and competition, the negotiation of non-binding common guiding principles and improved cooperation among competitors.",
"42. International cooperation on export credit policy is also undertaken by the International Union of Credit and Investment Insurers, known as the Berne Union. However, its role is limited to exchanging information on foreign buyers to reduce commercial risk. The Berne Union gathers together export credit agencies not only from OECD countries but also from some emerging economies. It also includes private entities providing export credits and investment insurance without a public mandate. The guiding principles of the Berne Union, which apply to all members, contain vague references to such issues as environmental sensitivity, combating of corruption and promotion of transparency.",
"43. Most OECD export credit agencies have adopted policies regarding the environmental and social impact of their activities. Such policies typically require environmental impact assessments.",
"44. In 2003, OECD adopted the Export Credit Group’s recommendation on common approaches on environment and officially supported export credits, known as the Common Approaches. The Common Approaches require Governments and export credit agencies to review projects for their potential environmental impact and to evaluate them against international standards. After a review in June 2007, OECD updated the recommendation on the Common Approaches, calling for more public disclosure of information and increased exchange of information to promote a level playing field among agencies. The rules also require compliance with environmental standards in the host country, the screening and classification of potential environmental impact and the carrying out of environmental impact assessments for projects with potential significant adverse environmental impact, as well as the screening of projects against the World Bank safeguard policies or, where appropriate, the International Finance Corporation performance standards.",
"45. However, the Common Approaches have a number of drawbacks. First, they are a non-binding recommendation. Second, they contain a derogation clause (article 13) that allows member export credit agencies, should they so decide, to opt out of applying any standards at all, provided they report and justify this to the Export Credit Group.[23] Third, the Common Approaches currently apply only to officially supported export credits with a repayment term of two years or more.",
"46. It is notable that the Common Approaches make no reference to human rights, which has prompted the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises to recommend that the Common Approaches clearly acknowledge that human rights are a critical element in the social sustainability of enterprises and markets and explicitly recognize the export credit agencies’ role in fostering corporate responsibility to respect human rights.[24] The Special Representative has further suggested that OECD consider building export credit agency capacity on human rights by establishing a human rights working group to develop tools suitable for export credit agencies in undertaking human rights due diligence and help build in knowledge base and competency.²³ In addition, Amnesty International has recommended that export credit agency-supported projects be assessed against international human rights standards in order to prevent projects from causing or contributing to human rights violations.[25] The independent expert fully supports these recommendations.",
"47. With regard to corruption, in 2000, the Export Credit Group issued an action statement on bribery and officially supported export credits, which was revised in 2006 and later converted into an OECD recommendation. The recommendation recognizes the role of export credit agencies in combating corruption and recommends appropriate measures to deter bribery in their international operations, including informing exporters requesting credit about the legal consequences of bribery, requesting a declaration that the exporters have not been engaged in bribery, requesting information on past corruption charges, requiring the disclosure of information on agents’ fees and commissions, checking the record of potential clients on the debarment lists of international financial institutions and suspending a project where there is evidence of bribery.[26]",
"48. Despite these limited efforts, the operations of export credit agencies continue to be largely unregulated at the global level, and standards on and regulation of transparency and environmental and human rights effects are largely insufficient.",
"VI. State responsibility for the wrongful acts of export credit agencies",
"49. As officially supported agencies, export credit agencies can be distinguished from purely private financial corporations. Whether Government-owned or Government-mandated, they perform their functions under national laws or regulations that prescribe their mandates. All export credit agencies carry out some transactions on their Government’s behalf, with its support and under its control. This establishes a legal nexus between the State and the agency.[27] Private-public consortia of export credit agencies are also controlled by the State through the authorization, funding and regulation of their operations. As a consequence of this legal nexus, it can be argued that any violation of international law committed by an export credit agency triggers the responsibility of its home State and the wrongful act committed by the export credit agency will be attributable to that State.",
"50. To support this view, it is worth recalling that according to articles 4 and 5 of the International Law Commission’s draft articles on Responsibility of States for internationally wrongful acts, the conduct of any organ of the State, whatever functions or position it holds, and of any non-State organ empowered by the law of that State to exercise certain Governmental authority and acting in that capacity in the particular instance will be attributable to that State under international law. Moreover, for the purposes of international responsibility and in line with the principle of unity of the State, the acts or omissions of any unit of the State can be regarded as an act of the State (A/56/10). This means that the wrongful actions and omissions of export credit agencies that are organs of the State are attributable to the State under the international law of State responsibility. Export credit agencies established as State agencies or Government departments are clearly public authorities, and as such the State bears responsibility for their actions. They are wholly owned by the State and operate under its control. Similarly, export credit agencies established as autonomous corporations owned by the State may be independently managed, but their activities are ultimately overseen by a Government department such as the ministry of trade or finance. Accordingly, this second category of export credit agencies may also be considered as being under State control. Although private companies or private-public consortia belonging to the third category possess more autonomy, the State retains some control over their operations through regulation, funding, approval of large disbursements, oversight or the establishment of standards and procedures. In many cases, ultimate decisions regarding the operations of private or public-private corporations require the approval of a ministry or ministerial committee. Overall, the implication of the State in the activities of export credit agencies is a common factor and cannot be taken too lightly.",
"51. In line with the law of State responsibility, Governments must ensure that national export credit agencies do not violate international legal obligations, including international human rights law. Where an export credit agency does not consider or take steps to mitigate the human rights impact of the projects of private companies they support, they risk triggering the responsibility of the State for violating international law obligations should abuses occur (A/HRC/17/31, annex, principle 4). States’ duty under international law also requires them to ensure that their actions or those of their organs, including export credit agencies, do not cause harm to another State.",
"52. A State also bears international responsibility for complicity in the wrongful acts of another State if it had knowledge of the circumstances of the wrongful act (A/56/10, article 16). Accordingly, if an export credit agency supports the project of a corporation in a country that allows the corporation to operate in violation of international human rights law, the home State could be responsible for assisting the wrongful act of the host State.[28]",
"53. The commentary on part one, chapter II, of the draft articles stresses that a State may be responsible for the effects of the conduct of private parties if it failed to take necessary measures to prevent those effects (A/56/10). As mentioned above, under international human rights law, States have a duty to regulate the activities of third parties to protect against human rights abuses. Similarly, in the context of the responsibility of transnational corporate activities, States are under the obligation to protect against human rights abuses of home corporations in foreign countries.[29]",
"VII. Conclusions and recommendations",
"54. Projects supported by export credit agencies can have an adverse impact on sustainable development and human rights in the countries in which they are implemented. Often, export credit agencies lack transparency and do not adequately incorporate environmental, social and human rights considerations into their funding decisions. Under the international law of State responsibility, officially supported export credit agencies are organs or agents of the home State, and their wrongful acts or omissions may be attributable to that State. As such, home States are under an obligation to regulate their activities. In addition, export credit agencies have a responsibility to respect human rights.",
"55. In order to ensure that export credit agency-supported activities do not undermine international human rights obligations, contribute to violations of human rights, hamper sustainable development in the countries in which they are being undertaken or contribute to the debt burdens of developing countries, the independent expert recommends that:",
"(a) States adopt measures to ensure that their export credit agencies adopt and implement stronger environmental and social safeguards that are consistent with international human rights standards;",
"(b) States ensure that their export credit agencies improve transparency and accountability by implementing disclosure policies that require, inter alia, public disclosure of all information on the environmental, social, human rights and development impact of agency-supported transactions and that such information is made accessible to the affected communities;",
"(c) States take measures, including adopting legislation, to ensure that their export credit agencies do not support projects that cause or contribute to human rights violations, and in this regard, that they ensure that their export credit agencies discharge their obligation to respect human rights by adopting a human rights due diligence framework through which they can assess the actual and potential negative human rights impact and address risks effectively;",
"(d) States ensure access to effective national legal remedies for those affected by export credit agency-supported projects and exports, including the victims of human rights violations arising from export credit agency-supported activities;",
"(e) The implementation of the OECD Common Approaches in environmental, social and human rights screening policies of export credit agencies become mandatory;",
"(f) The international community adopt a moratorium on the repayment of current export credit agency debt for the poorest countries, much of which has been incurred for economically unproductive purposes, debtor countries conduct transparent public audits of all export credit agency claims to determine their legitimacy in conformity with the odious debts doctrine, and all debt found to be contrary to the doctrine be unconditionally cancelled.",
"[1] * A/66/150.",
"[2] See Doug Norlen, Rory Cox, Miho Kim and Catriona Glazebrook, eds., Unusual Suspects: Unearthing the Shadowy World of Export Credit Agencies (Oakland, California, Pacific Environment, 2002), p. 1; Bruce Rich, “Exporting destruction”, The Environmental Forum, September/October 2000; Malcolm Stephens, The Changing Role of Export Credit Agencies (Washington, D.C., International Monetary Fund, 1999), p. 63; Andrew M. Moravcsik, “Disciplining trade finance: the OECD export credit arrangement”, International Organization, vol. 43, No. 1 (Winter 1989), p. 176; OECD, “Review of official export credit commitments to IDA-only countries (2001-2009)”, p. 6, available from www.oecd.org/dataoecd/42/59/ 36945707.pdf.",
"[3] See www.oecd.org/dataoecd/30/35/37931024.pdf. See also Karyn Keenan, “Export credit agencies and the international law of human rights” (Halifax Initiative, 2008), p. 1.",
"[4] See Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance (Environmental Defense Fund, 2009), p. 5, available from www.edf.org/documents/9593_coal-plants-report.pdf. See also Richard Wainwright, ed., Exporting Destruction: Export Credits, Illegal Logging and Deforestation (FERN, 2008), p. 7.",
"[5] Delio E. Gianturco, Export Credit Agencies: The Unsung Giants of International Trade and Finance (Westport, Connecticut, Quorum Books, 2001), p. 1.",
"[6] The final communiqué of the Group of 20 on the Global Plan for Recovery and Reform states that its leaders will ensure the availability of at least $250 billion over the next two years to support trade finance through the Group’s export credit and investment agencies and through the multilateral development banks. See the Global Plan for Recovery and Reform, adopted by the leaders of the Group of 20 on 2 April 2009. Available from www.g20.org/Documents/ final-communique.pdf. See also the statement of OECD on the global financial crisis and export credits dated 22 April 2009. Available from www.oecd.org/dataoecd/51/22/42624233.pdf.",
"[7] Norlen et al., Unusual Suspects (see footnote 1), p. 1.",
"[8] See Gabrielle Watson, ed., Race to the Bottom, Take II: An Assessment of Sustainable Development Achievements of ECA-Supported Projects Two Years After OECD Common Approaches Rev. 6 (ECA Watch, 2003); Stephanie Fried and Titi Soentoro, eds., A Brief Overview of Export Credit Agencies in the Asia-Pacific Region (Mumbai, World Social Forum, 2004); Nicholas Hildyard, “Snouts in the trough: export credit agencies, corporate welfare and policy incoherence”, Corner House Briefing Paper No. 14 (Corner House, 1999), available from www.thecornerhouse.org.uk/resource/snouts-trough; Keenan, “Export credit agencies and the international law of human rights”, p. 1. See also the submission of Amnesty International on the review of the revised recommendation on common approaches on the environment and officially supported export credits in March 2010 (POL 30/002/2010), p. 1.",
"[9] See OECD, Export Credit Financing Systems in OECD Member Countries and Non-member Economies: Introduction (2008). Available from www.oecd-ilibrary.org.",
"[10] For information on export credit financing systems in OECD member and non-member countries, see www.oecd-ilibrary.org/trade/export-credit-financing-systems-in-oecd-member-countries-and-non-member-economies_17273870.",
"[11] Keenan, “Export credit agencies and the international law of human rights” (see footnote 2), p. 2.",
"[12] Aaron Goldzimer, “Worse than the World Bank? Export credit agencies — the secret engine of globalization”, Backgrounder, vol. 9, No. 1 (Winter 2003), p. 2.",
"[13] World Bank, Global Development Finance: Financing the Poorest Countries (Washington, D.C., 2002), p. 107.",
"[14] See also general comment No. 12 on the right to adequate food, paras. 36 and 37; and general comment No. 15 on the right to water, paras. 31-34.",
"[15] See also Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports 2004, p. 136.",
"[16] Some treaty bodies have urged States parties to take steps to prevent companies under their jurisdiction from committing abuses abroad. See, for example, general comment No. 19 of the Committee on Economic, Social and Cultural Rights on the right to social security (E/C.12/GC/19), para. 54, and the Concluding Observations of the Committee on the Elimination of Racial Discrimination on the fourth, fifth and sixth periodic reports of the United States (CERD/C/USA/CO/6).",
"[17] In the United States, the Overseas Private Investment Corporation, which operates as an export credit agency, has established an Office of Accountability to assess and review complaints about the projects that it supports. The Office offers local communities, which may be materially, directly or adversely affected by a project, and project sponsors, a means of raising complaints, independently from the Corporation’s operations. See www.opic.gov/doing-business/ accountability.",
"[18] See, for instance, Watson, ed., Race to the Bottom, Take 11 (see footnote 7) and Norlen et al., Unusual Suspects (see footnote 1).",
"[19] Dieter Frisch, “Export credit insurance and the fight against international corruption”, Transparency International Working Paper (Transparency International, 1999). Available from www.odiousdebts.org/odiousdebts/index.cfm?DSP=content&ContentID=2366. On insufficient progress in tackling corporate involvement in bribery and corruption, see also Transparency International, Transparency in Reporting on Anti-Corruption: A Report on Corporate Practices (2009).",
"[20] See European Network on Debt and Development, “Skeletons in the cupboard: illegitimate debt claims of the G7” (2007).",
"[21] Hildyard, “Snouts in the trough” (see footnote 7).",
"[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia’s Export Credit Agency (Sydney, Australia, 2009), p. 10.",
"[23] Wainwright, ed., Exporting Destruction (see footnote 3), p. 12. See also http://www.oekb.at/ en/export-services/transparency-compliance/environment/oecd-common-approaches/pages/ default.aspx.",
"[24] Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, John Ruggie, “Engaging export credit agencies in respecting human rights”, statement at the OECD Export Credit Group Common Approaches Meeting, Paris, 23 June 2010.",
"[25] See the submission of Amnesty International on the review of the revised recommendation on the common approaches (see footnote 7), p. 4.",
"[26] Wainwright, ed., Exporting Destruction (see footnote 3), p. 15.",
"[27] See Özgür Can and Sara L. Seck, “The legal obligations with respect to human rights and export credit agencies”, paper prepared for ECA Watch, Halifax Initiative and ESCR-Net, July 2006. Available from www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf.",
"[28] See Keenan, “Export credit agencies and the international law of human rights” (see footnote 2), pp. 3-7. See also Can and Seck, “The legal obligations with respect to human rights and export credit agencies”, pp. 4-8.",
"[29] See Keenan, “Export credit agencies and the international law of human rights”, p. 10; Can and Seck, “The legal obligations with respect to human rights and export credit agencies”, p. 12."
] | A_66_271 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda [1]",
"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights",
"Note by the Secretary-General",
"The Secretary-General has the honour to transmit to the members of the General Assembly the report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights, Cephas Lumina, submitted pursuant to Human Rights Council resolutions 7/4 and 16/4.",
"Report of the independent expert on the effects of foreign debt and other related international financial obligations of States on the full enjoyment of all human rights, particularly economic, social and cultural rights",
"Summary",
"Export credit and investment insurance agencies are commonly referred to as export credit agencies. These institutions as a whole are the main sources of public financing for the participation of foreign enterprises in large-scale industrial and infrastructure projects in developing countries and emerging economies. In recent years, export credit agencies have played an increasingly important role in the global economy, particularly in the context of the global financial crisis.",
"However, many of the projects supported by export credit agencies have had harmful environmental, social and human rights consequences and are economically unsustainable. Many reports document human rights violations resulting from or associated with projects supported by export credit agencies, including forced displacement of local populations, violations of indigenous peoples ' rights, denial of access to basic services and environmental damage. In addition, export credit agencies generally operate in a subtle manner and often lack transparency in financing decisions and operations.",
"The present report is submitted pursuant to Human Rights Council resolutions 7/4 and 16/4 and is intended to explore the negative impact of activities supported by export credit agencies on sustainable development and the realization of human rights in countries where such activities take place, particularly in developing countries. It also addressed the role of export credits in increasing the debt burden of those countries.",
"The present report calls upon States to reduce the negative impact of projects supported by export credit agencies and proposes measures to ensure that the activities of export credit agencies do not impede the implementation of international human rights and other obligations of their home and host countries, and that they contribute to human rights violations.",
"Introduction",
"Export credit and investment insurance agencies are generally referred to as export credit agencies. These institutions as a whole are the main source of public financing for the participation of foreign enterprises in large-scale industrial and infrastructure projects in developing countries, particularly in the extractive industries sector. [2] In 2005, export credit agencies of member countries of the Organization for Economic Cooperation and Development (OECD) provided $125 billion in credit, insurance, guarantees and interest subsidies. [3] In 2007, export credit agencies collectively supported trade and investment of $1.4 trillion, equivalent to about 10 per cent of total world export trade. [4] It is estimated that the activities of export credit agencies exceed those of all multilateral development banks and overseas development agencies, with direct financing of one eighth of world trade. [5]",
"In recent years, export credit agencies have played an increasingly important role in the global economy, particularly in the context of the global financial crisis. In April 2009, the Group of 20 and OECD countries held a London summit in which they committed themselves to providing increased support for export credits to increase international trade flows. [6]",
"However, many projects supported by export credit agencies, including large dams, pipelines, greenhouse gas-emitting fire and atomic power plants, chemical facilities, mining projects and forestry and plantation projects, have serious environmental, social and human rights consequences. [7] Numerous reports document the negative impact on human rights of projects supported by export credit agencies, including forced displacement of local populations, resulting in government repression, violations of indigenous peoples ' rights, denial of access to basic services and environmental damage. In addition, export credit agencies often lack adequate safeguards and due diligence, lack transparency and become involved in corruption.",
"4. The present report, submitted pursuant to Human Rights Council resolutions 7/4 and 16/4, focuses on the negative impact of activities supported by export credit agencies on the sustainable development and realization of human rights in countries where such projects are implemented. The report also examines the role of export credits in increasing the debt burden of developing countries.",
"II. Overview of export credit agencies",
"What are export credits?",
"The term “export credit” refers to an insurance, guarantee or financing arrangement that enables purchasers of exported capital goods and/or services to defer payments for a period of time (including short-term credit, normally less than two years, medium-term credit, usually two to five years, and long-term credit, usually more than five years). [9] Export credits are the main loans provided by export credit agencies.",
"What is an export credit agency?",
"Export credit agencies are public entities that provide publicly guaranteed or subsidized loans, guarantees, credits and insurance to private companies in their home countries to support export and outward investment, particularly in developing countries and emerging economies. Most developed countries have at least one export credit agency, usually an official or quasi-official body of their Government. [10]",
"7. Although export credit agencies are organized in a variety of forms, they are usually supported by the Government and operate in accordance with the Government ' s mandate. Export credit agencies may be: (a) a government department, such as the Export Credit Guarantee Department of the United Kingdom of Great Britain and Northern Ireland and the Export and Import Bank of the United States of America; (b) an autonomous government-owned but independently operated company, such as the Australian Export Finance and Insurance Corporation, Office National du Ducroire/Nationale Delcredeedienst of Belgium and the Canadian Export Development Corporation of Canada; or (c) a private company acting as a government agent or a public-private partnership (the Government makes key decisions and takes key risks, the company provides services and conducts initial risk analyses), such as Compagnie France d'Assurance pour le Commerce Exterieur of France, Euler Hermes Kreditverscherungs of Germany and Atradius of the Netherlands. [11] These forms are reflected in the sources of financing arrangements: the State budget; government-specific funds; government loans and capital; and shares or bonds.",
"Export credit agencies provide support to domestic firms in different ways. These institutions provide loans to foreign purchasers (directly or through commercial banks) for the purchase of goods and services originating in their home countries, thereby enhancing the export capacity of domestic companies. Financial services provided by export credit agencies also include commercial loan guarantees and export credit insurance. In order to obtain credit guarantees, the exporter is insured with the Export Credit Agency, which guarantees payment to the exporter in the event of arrears by the importer. The insurance of export credit agencies covers losses resulting from political risks such as pro bono nationalization or expropriation, confiscation of investments, restrictions on exchange dividends and transfer of profits, currency instability, economic crisis or war. Through the provision of guarantees and insurance, export credit agencies support transactions in private markets that are often unsupported by related economic or political risks.",
"9. Export credit agencies provide financing at interest rates, insurance premiums and fees lower than those in private markets, and the economic conditions they offer for providing support are very low, requiring limited (or no) compliance with environmental, social and transparency standards to make financial transactions easier and faster, but they are also more risky. For borrowers from developing countries, however, the interest rate on loans guaranteed by export credit agencies remains higher than that on many loans from other official sources, such as development banks or institutions. [12]",
"Finally, most official lending institutions, such as the World Bank, the International Monetary Fund and other development agencies, clearly aim to promote local economic growth, development and/or poverty reduction, while most export credit institutions have no mandate to promote development at all. The only objective of these institutions is to promote domestic exports or outward investment.",
"Export credit agencies and sovereign debt",
"11. Debt related to export credit agencies is the largest component of the debt of developing countries. According to World Bank estimates, the total exposure of export credit agencies to the long-term external debt of developing countries reached $500 billion by the end of 2000, accounting for one quarter of the total long-term external debt of those countries. [13] More than 50 per cent of the total debt of some countries is owed to export credit agencies. For example, according to 2001 OECD figures, about 64 per cent of Nigeria's debt and about 42 per cent of the Democratic Republic of the Congo's debt was owed to export credit agencies.",
"12. Export credits have led to an increase in the sovereign debt of a State through various means. Export credit agencies may directly increase the sovereign debt burden by providing loans directly to Governments or foreign public entities, or by providing guarantees or insurance for commercial credit to Governments or public entities. If the debtor (a public entity) defaults on payments to the export credit agency or its insurers, the debt owed by that public entity becomes part of the sovereign debt of that State.",
"13. Export credits may also indirectly lead to sovereign debt through sovereign counter-guarantees. The purpose of such guarantees is to reduce the risk of transactions between private exporters, who are usually service exporters or providers in developed countries, and foreign private recipients (usually importers or recipients of investments or projects in developing countries). Exporters are insured with export credit agencies in their home countries for transactions or projects with greater economic or political risks. Export credit agencies then require counter-guarantees from the recipient ' s Government. In the event of project default or bankruptcy, the export credit agency pays the losses of private companies and recovers the payments made on the basis of counter-guarantees from developing country Governments. If the Government is unable to pay the counter-guarantee, the amount owed is credited to the sovereign debt of that State. Thus, the financial or political risks involved in the transaction are transferred from private investors to taxpayers in the country where the private recipient is located.",
"14. In another case, even if the Government does not borrow or provide loan guarantees, export credit agency projects may have significant contingent liabilities for the Government. Governments in developing countries often provide “specially generous” conditions for attracting private investment, such as in power generation projects. The Government may have to enter into an agreement on the purchase of electricity, which will be guaranteed at high United States dollar prices. This purchase agreement is not a loan and is therefore not counted as a debt but may have serious budgetary implications for the Government.",
"15. Inevitably, due to the support of export credit agencies, there is less pressure on investors to exercise due diligence to assess the risk of default or insolvency of the project. Thus, irresponsible investment behaviour and support from export credit agencies could lead to an increase in the debt of developing countries.",
"16. Governments that are unable to honour their debt obligations often need to reschedule their debt in international forums such as the Paris Club. For LDCs, debt related to export credits is often not part of debt relief and cancellation negotiations. Currently, all export credit debt cancelled after the Paris Club entered into a rescheduling agreement could be recorded as ODA. As a result, funds for debt cancellation for export credit agencies often come from official aid budgets. However, transactions leading to debt on export credits are not necessarily used for development purposes. Export credits are often used to support environmentally and socially harmful projects.",
"17. Civil society organizations have expressed concern that some of the debt caused by transactions between export credit agencies and developing countries may be odious or illegitimate (see A/64/289) and should therefore be cancelled. The independent expert shares this concern and urges debtor countries to conduct transparent public audits of the debt of all export credit agencies to determine its nature. The Monterrey Consensus of the International Conference on Financing for Development emphasized the principle of shared responsibility between creditor and debtor countries for preventing and resolving unsustainable debt problems. In line with this principle, he also called for a transparent common audit of the lending portfolios of export credit agencies in their home countries.",
"Export credit agencies and human rights",
"A. Human rights obligations of export credit agencies",
"18. States have the primary responsibility for the realization of human rights. In this regard, States have three fundamental obligations to respect, protect and fulfil the human rights of individuals and groups within their territory or jurisdiction. The obligation to protect implies that measures should be taken to ensure that human rights are not violated at all times by third parties. To this end, States must take appropriate steps to prevent, investigate, punish and remedy human rights violations by third parties through effective policies, laws, regulations and rulings (see A/HRC/17/31, annex, principle 1).",
"19. It is increasingly recognized that States ' human rights obligations may, in certain circumstances, extend beyond national borders. For example, the Committee on Economic, Social and Cultural Rights has noted, inter alia, that States have a legal obligation to respect economic, social and cultural rights beyond their jurisdiction and to refrain from actions that lead to violations of those rights. In its general comment No. 14, the Committee stated that, in order to comply with their international obligations, States parties must respect the enjoyment of the right to health in other countries and, in accordance with the Charter of the United Nations and applicable international law, prevent third parties from violating this right in other countries when they are able to influence third parties by legal or political means (E/C.12/2000/4, para. 39). Similarly, in its general comment No. 31, the Human Rights Committee stated that States parties must respect and ensure the rights set forth in the Covenant of any person within the power or effective control of that State party, even if located outside its territory (CCPR/C/21/Rev.1/Add.13, para. 10). [15]",
"20. Thus, a State is responsible for human rights violations committed abroad by its actions, or in other countries by its failure to regulate its own actors. In addition, under article 2.1 of the International Covenant on Economic, Social and Cultural Rights, States are obliged to provide international assistance and cooperation for the progressive realization of the rights set forth in the Covenant.",
"21. While the primary responsibility for the protection of the human rights of local residents lies with the implementing countries of the projects supported by export credit agencies, the home countries of such institutions have the responsibility to regulate and monitor the activities of such institutions in their home countries, whether they are government-owned, government-mandated or government-supervised, that adversely affect the enjoyment of human rights by the host population. As noted by the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, States should take measures to avoid human rights violations by business enterprises owned or controlled by the State, or by enterprises that have access to substantial support and services from State institutions, such as export credit agencies and official investment insurance or guarantee agencies, including, where appropriate, human rights due diligence measures (A/HRC/17/31, annex, principle 4).",
"22. However, Governments rarely take due diligence measures with regard to the actions of their export credit agencies. Indeed, human rights standards are largely absent from the operational policies of these institutions and from national laws establishing them. Export credit agencies lack clear policies to prevent human rights violations and to take due diligence measures to identify and mitigate the possible adverse effects of projects on human rights. The home countries of many export credit agencies also lack effective mechanisms to rule on allegations of human rights violations resulting from projects supported by these institutions. In addition, the impact of human rights violations in the activities supported by export credit agencies is rarely assessed. Furthermore, all transactions and projects supported by export credit agencies are often protected by confidentiality provisions that are not open to residents and potentially affected communities, thus undermining human rights principles such as transparency and participation.",
"23. As explained above, activities supported by export credit agencies may have serious consequences for a country ' s debt burden and sustainable development, and therefore for the lives of people. States should therefore ensure that they refrain from causing or facilitating human rights violations through projects supported by export credit agencies. Governments acting either directly or through their export credit agencies are in breach of their obligations under international human rights law if they fail to take due diligence measures and avoid potentially harmful acts by non-State actors that violate human rights.",
"In order for export credit agencies to fulfil their due diligence obligations in their operations, they should conduct and publish human rights impact assessments in consultation with potential affected populations before deciding to support any project. They should also continue to monitor independently and reassess human rights risks throughout the project. To ensure that potential victims receive adequate attention and redress, export credit agencies should establish independent, fair and non-discriminatory complaints mechanisms. National laws and operational policies for the establishment of export credit agencies should also refer to human rights standards. Export credit agencies should assess all projects in the light of human rights standards and clearly establish due diligence rules in their policies and contracts.",
"25. Private companies financed by export credit agencies are also responsible for the human rights impact of their activities. In this regard, it is noteworthy that Human Rights Council resolution 8/7, inter alia, states that transnational corporations and other business enterprises have a responsibility to respect all human rights (see also Human Rights Council resolution 17/4). It is also noteworthy that the Committee on Economic, Social and Cultural Rights has emphasized that private actors, both State and transnational, should conduct their activities in accordance with codes of conduct conducive to respect for these rights (E/C.12/1999/5, para. 20).",
"26. Private companies have a responsibility to communities to effectively avoid human rights violations through their activities, including direct violations or complicity with others, and to endeavour to avoid or reduce adverse impacts on human rights (A/HRC/17/31, annex, principle 13). It is noteworthy that the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises emphasized that, in addition to complying with national laws, corporations have a fundamental responsibility to respect human rights, as this is the basic expectation of society for business enterprises (see A/HRC/11/13).",
"27. This responsibility requires a policy commitment to human rights standards contained in the core international human rights instruments, specific human rights due diligence measures and a complaint mechanism for victims of human rights violations. Company due diligence measures should include steps that companies must take to understand, prevent, reduce and address adverse impacts on human rights. In order for companies to fulfil their due diligence obligations in their operations, they must take into account: the circumstances in which they operate; the impact of their activities; the conduct of human rights impact assessments; and the dynamics of the relationships associated with those activities in order to avoid complicity in human rights violations (A/HRC/17/31, annex, principle 17). Companies should also engage with potentially affected communities through ongoing consultations and the provision of information.",
"28. Where human rights have been violated, complaint mechanisms should be made available to victims. The Special Representative emphasizes that access to remedies for victims is an important aspect of corporate responsibility to respect human rights. Companies should establish complaints mechanisms such as hotlines, victim counselling services and mediation specialists.",
"B. Human rights implications of the activities of export credit agencies",
"Most export credit agencies operate clandestinely, making it difficult to obtain accurate information on the projects they support. Nevertheless, many reports document the harmful effects of these projects on human rights. According to such reports, the activities of companies supported by export credit agencies have resulted in many human rights violations, such as harassment of ethnic minorities, occupation of indigenous lands, forced evictions and resettlement, lack of compensation, damage to rural livelihoods, violations of labour rights, threats to life and physical integrity, increased militarization, State repression, exclusion of women from consultations, restrictions on freedom of expression and association, inadequate participation of and consultation with project-affected populations, and limited access to justice. [18]",
"C. Other concerns",
"The activities supported by export credit agencies raise concerns about the lack of transparency and accountability. Most export credit agencies have resisted calls from civil society organizations to publish information, claiming that their activities are commercially and internationally sensitive and protected by confidentiality rules and thus exempt from transparency rules.",
"31. Although the level of information provided by countries to export credit agencies varies, these institutions lag behind other public institutions in terms of transparency and accountability. This situation is not conducive to efforts to ensure that these institutions provide responsible credit, fulfil due diligence obligations in their actions, and respect human rights and environmental standards. In fact, most export credit agencies have no obligation to disclose the possible adverse social and environmental impacts of the projects they support. Some export credit agencies publish the information only when the transaction is approved and the client ' s approval is awaited.",
"32. The lack of transparency and accountability in the operations of export credit agencies exposes host Governments and, indirectly, their taxpayers to the risks of conspiracy to support projects that may lead to human rights violations, condoning corrupt practices, engaging in activities without an accountable regime and undermining the environment. Export credit agencies, as semi-public entities, are obliged to inform taxpayers of any such risks.",
"Reports from civil society organizations indicate that projects supported by export credit agencies are known to be involved in corruption cases. According to Transparency International, bribery of foreign officials for their export contracts has become a common practice in industrialized countries. [19] Bribery is used as a commission and is included in the contractual amount of the guarantee and, if insured, in the amount of the exporter’s compensation. 18",
"34. It is known that projects supported by export credit agencies have supported activities of the non-accountable regime. In the Philippines, for example, during Ferdinand Marcos's tenure, the United States Export-Import Bank provided loans and guarantees for the Badan Nuclear Power Plant project. During the Suharto period of power, the German export credit agency supported a transaction with Indonesia by providing insurance, i.e. the purchase and modernization of German vessels, which were ultimately used only in the internal Indonesian armed conflict. Similarly, between 1993 and 1996, when Suharto was in power, the Department of Export Credit Guarantee (United Kingdom of Great Britain and Northern Ireland) had provided guarantees for the sale of falcon fighters to the Indonesian Air Force. The Indonesian military reportedly attacked East Timorese villages with these fighter jets in 1999. [21]",
"35. Loans and guarantees provided by export credit agencies for extractive industry projects, such as logging, mining, gas or oil, have caused significant damage to the environment and the lives of local community residents in the project area. The risks of these projects include environmental degradation; land, air and water pollution; habitat destruction; greenhouse gas emissions, deforestation, desertification and soil degradation; long-term dependence on fossil fuels; and, ultimately, global climate change. These environmental changes may then affect the health of the local population and increase the risk of cancer, skin diseases, lung diseases and other health-related problems. These changes may also affect people ' s sources of livelihood, undermine their food security and lead to the displacement of local community residents, in particular indigenous peoples, from their traditional homes.",
"As noted above, export credit agencies play an important role in the global economy. This role places additional responsibilities on such institutions in support of projects in developing countries, with transparency, accountability, due diligence and strict adherence to internationally agreed standards on human rights and the environment in their operational activities. Unfortunately, as public financing institutions supporting projects in developing countries, most export credit agencies do not have the task of promoting development and their sole mission is to promote investment and exports by private companies, activities that often undermine the human rights and sustainable development of the countries where such institutions support projects. [22]",
"37. As stated in the report of the independent expert on his mission to Australia (A/HRC/17/37/Add.1), the independent expert fully supports the view that the lack of rules on transparency raises serious doubts about the accountability of export credit agencies to nationals of developing countries for projects supported by taxpayers and institutions in their home countries. Loans provided by the home Governments of export credit agencies or secured by the implementing Governments of projects supported by export credit agencies are a matter of public interest and there is reason to require such public institutions or public funding institutions to comply with the rules on transparency and operate under clear accountability mechanisms.",
"38. The independent expert believes that export credit agencies should be required to publish information on their activities, including project assessment, decision-making and implementation, and to assess the human rights implications of their financing decisions (as well as environmental and social impacts). Where there are restrictions on the disclosure of information, they should be clearly and narrowly defined. This allows export credit agencies to make responsible and informed decisions on projects they support.",
"In addition to the use of transparency and accountability mechanisms as part of the policies and procedures of export credit agencies, it is also the responsibility of national entities, such as national legislatures or national audit bureaux, to monitor the activities of these institutions on an ongoing basis and to ensure that their activities do not undermine their foreign assistance and development policies and international human rights obligations. These human rights matters require further study.",
"International regulation of the activities of export credit agencies",
"Export credit agencies are managed within OECD through the Official Support for Export Credit Arrangement. The arrangement provides for a legal and financial framework for the provision of export credits to regulate and make transparent export credit operations. The main issues addressed by the arrangement included: minimum interest rates and down payment, standardized repayment schedules, common reporting procedures, maximum credit duration, constraints on the use of tied aid and transparency rules.",
"41. In addition, the OECD Working Group on Export Credits and Credit Guarantees provides a forum for discussion of non-financial issues (e.g., corruption, environment and competition), negotiation of non-binding general guidelines and enhanced cooperation among competitors.",
"42. International cooperation on export credit policies is also carried out by the International Union of Credit and Investment Insurers, known as the Berne Union, whose role is limited to the exchange of information on foreign buyers in order to reduce business risks. The Berne Union is joined not only by export credit agencies from OECD countries, but also from emerging economies. It also includes private entities that do not provide export credits and investment insurance in accordance with government mandates. The Berne Alliance guidelines apply to all members, with vague references to issues such as environmental sensitivity, anti-corruption and transparency.",
"Most OECD export credit agencies have developed policies on the environmental and social impact of their activities. Such policies usually require environmental impact assessments by all OECD export credit agencies.",
"44. In 2003, OECD adopted the recommendations of the Working Group on Export Credits on the development of a common approach to environment and official support for export credit (the common approach). The common approach requires Governments and export credit agencies to review the potential environmental impact of the project and assess it in accordance with international standards. Following an OECD review in June 2007, the proposal for a common approach was updated, calling for more information to be publicly disclosed and for an enhanced exchange of information in order to make the competitive environment of institutions more equitable. It also requires compliance with host country environmental standards, a review and classification of potential environmental impacts, an environmental impact assessment of projects with potentially significant adverse environmental impacts, and screening of projects in accordance with World Bank safeguard policies or, where appropriate, International Finance Corporation performance standards.",
"45. However, the common approach also has several shortcomings. First, the common approach is non-binding recommendations. Secondly, the common approach includes an exception clause (article 13), which provides that a member ' s export credit agency may not apply any criteria if it decides not to do so at all, provided that the member reports the matter to the Working Group on Export Credits and provides reasons. Third, the common approach currently applies only to export credits with an official support repayment period of at least two years.",
"46. It is worth noting that human rights are not mentioned in the common approach at all, and the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises has therefore recommended that the common approach should make clear that human rights are a key factor in the social sustainability of enterprises and markets and that the role of export credit agencies in enhancing corporate responsibility to respect human rights should be explicitly recognized. The Special Representative further recommends that OECD consider establishing a human rights working group to develop appropriate tools for export credit agencies to use in human rights due diligence measures and to assist in building human rights knowledge base and human rights capacity to enhance the capacity of export credit agencies to uphold human rights. In addition, AI recommended that projects supported by export credit agencies should be assessed in the light of international human rights standards in order to prevent projects from causing or contributing to human rights violations. [25] The independent expert fully supports these recommendations.",
"47. With regard to corruption, the Export Credit Working Group issued a statement of action on bribery and official support for export credits in 2000. The statement was revised in 2006 and became an OECD recommendation. The recommendation recognizes the role of export credit agencies in the fight against corruption and suggests some appropriate measures to prevent corruption in international operations, including clarifying the legal consequences of bribery to exporters applying for credit, requiring exporters to declare that they have failed to pay bribes, requiring information on past allegations of corruption, requiring disclosure of agency fees and commissions, checking the records of potential customers included in the disqualification lists of international financial institutions, and suspending eligibility for projects with evidence of bribery. [26]",
"48. Despite these limited efforts, the operations of export credit agencies remain largely unregulated at the global level, and standards and regulations on transparency and environmental and human rights impacts are generally inadequate.",
"VI. Responsibility of States for wrongful acts of export credit agencies",
"Export credit agencies, as officially supported institutions, are distinct from purely private financial companies. Export credit agencies, whether owned or mandated by the Government, function in accordance with national laws or regulations that define their mandates. All export credit agencies carry out certain transactions on behalf of the Government, with the support and control of the Government. This establishes the legal relationship between the State and export credit agencies. [27] Export credit agencies, in the form of public-private consortia, are also subject to State control because of State approval, funding and regulation of their operations. Because of this legal relationship, it can be said that the home State of an export credit agency is responsible for breaches of international law and that the wrongful act committed by such an agency is attributable to the State.",
"50. As an argument for this view, it is worth recalling that, in accordance with articles 4 and 5 of the Commission ' s draft articles on responsibility of States for internationally wrongful acts, the conduct of any State organ, whatever its function or status, and any non-State organ authorized by the law of that State to exercise certain governmental powers and to act in that capacity in certain circumstances, is attributable to the State under international law. Moreover, in the case of international responsibility, the act or omission of any State unit may be considered as the State, in accordance with the principle of the unity of States (A/56/10). This means that, as an export credit agency of State organs, its wrongful acts and omissions are attributed to the State under international law on State responsibility. The export credit agencies established as State agencies or government departments are clearly public authorities and the State is therefore responsible for their actions. These institutions are owned and operated by the State alone. Similarly, export credit agencies established as autonomous State-owned companies may operate independently, but their activities are ultimately regulated by government departments such as the Ministry of Trade or the Ministry of Finance. Thus, this second category of export credit agencies can also be considered State-controlled. Although there is a high degree of autonomy for private companies or public-private consortia belonging to category III, the State retains some control over their operations through regulation, funding, approval of large payments, supervision or the establishment of standards and procedures. In many cases, final decision-making on the operations of private or public-private companies requires the approval of a ministry or ministerial committee. In sum, the impact of the State on the activities of export credit agencies is a common factor that cannot be left to rest.",
"51. Under the law of State responsibility, Governments must ensure that their export credit agencies did not violate international legal obligations, including international human rights law. Where export credit agencies do not consider or take steps to mitigate the human rights impact of projects of private companies they support, when human rights violations occur, they may lead States to assume responsibility for breaches of international law obligations (A/HRC/17/31, annex, principle 4). State obligations under international law also require States to ensure that their actions or those of their organs, including export credit agencies, do not cause harm to another State.",
"52. A State is responsible for international complicity in the wrongful act of another State if it knows in advance the circumstances of the wrongful act of that State (A/56/10, article 16). Thus, if an export credit agency supports a company's project in a foreign country that allows it to operate in a manner contrary to international human rights law, the home country may be liable for assisting the host country in its wrongful conduct. [28]",
"The commentary to Part One of chapter II of the draft articles emphasizes that a State may be responsible for the effects of acts of private parties if it does not take the necessary measures to prevent such acts (A/56/10). As noted above, under international human rights law, States have the responsibility to regulate the activities of third parties to prevent human rights violations. Similarly, as far as responsibility for the activities of transnational corporations is concerned, States have an obligation to prevent human rights violations by their own companies abroad. [29]",
"VII. Conclusions and recommendations",
"54. Projects supported by export credit agencies may have a negative impact on sustainable development and human rights in the countries where they are implemented. Export credit agencies often lack transparency and do not adequately consider environmental, social and human rights considerations in financing decisions. Under international law on State responsibility, officially supported export credit agencies were organs or agents of the home State and their wrongful acts or omissions could be attributed to the State. It is therefore incumbent upon the home State to regulate its activities. In addition, export credit agencies have a responsibility to respect human rights.",
"55. In order to ensure that the activities supported by export credit agencies do not undermine international human rights obligations, contribute to human rights violations, impede the sustainable development of the country in which they are carried out or increase the debt burden of developing countries, the independent expert recommends that:",
"(a) States take measures to ensure that their export credit agencies develop and implement stronger environmental and social safeguards consistent with international human rights standards;",
"(b) States ensure that their export credit agencies implement information disclosure policies, in particular by requiring public disclosure of all information on the environmental, social, human rights and development implications of transactions supported by such agencies, in order to increase transparency and accountability and to ensure that such information is made available to affected communities;",
"(c) States to take measures, including through legislation, to ensure that their export credit agencies do not support projects that lead to or contribute to human rights violations and, to that end, to ensure that their export credit agencies develop a framework of human rights due diligence measures to enable them to assess the actual and potential negative impact on human rights and to effectively protect against risks, thereby fulfilling their obligation to respect human rights;",
"(d) States ensure that effective national legal remedies are available to those affected by projects supported by export credit agencies and by exports, including victims of human rights violations resulting from activities supported by export credit agencies;",
"(e) Forced integration of the OECD common approach into the environmental, social and human rights review policies of export credit agencies;",
"(f) The international community has imposed a moratorium on the debt of existing export credit institutions in the poorest countries, a significant part of which is used for purposes that are of no economic value, while debtor countries conduct transparent public audits of all claims of export credit agencies in accordance with the odious debt principle to determine their legitimacy and unconditionally cancel all debts that are found to be contrary to the odious debt principle.",
"[1] ^ (*) A/66/150.",
"[2] See Doug Norlen, Rory Cox, Miho Kim and Catriona Glazebrook, eds., Unusual Systems: Unearthing the Shadow World of Export Credit Activities (Oakland, California, Pacific Environmental, 2002), p. 1; Bruce Rich, “Exporting regulation”, The Environmental Forum, September/October 2000; Malcolm Stephens, The Changement of Export Capitals (Washington, California, Pacific Environmental, 2002), p. 1; Andrew M. Moravcsik, “Discuring progress: The OECD Economic Cooperation, The Change of Energy”, Report, vol. 6, www.org.",
"[3] See www.oecd.org/dataoecd/30/35/37931024.pdf. See also Karin Keenan, “export credit treaties and the international law of human rights” (Halifax Initiative, 2008), p. 1.",
"[4] See Bruce Rich, Foreclosing the Future: Coal, Climate and Public International Finance, 2009, p. 5, available at www.edf.org/documents/9593_coal-plans-report.pdf. See also Richard Wainwright, eds., Reporting: Export Credits, International Logging and Development (FERN, 2008), para.",
"[5] Delio E. Gianturco, Export Credit Treaties: The Unsung Gians of International Trade and Finance (Westport, Contractor, Quorum Books, 2001), p. 1.",
"[6] The final communiqué of the Group of 20 on the Global Recovery and Reform Plan states that the leaders of the Group will ensure a minimum of $250 billion over the next two years to support the Group ' s export credit and investment institutions and multilateral development banks in providing trade finance. See the Global Recovery and Change Plan adopted by the G-20 leaders on 2 April 2009. Available at www.g20.org/Documents/final-communique.pdf. See also OECD statement on the global financial crisis and export credits, 22 April 2009. Available at www.oecd.org/dataoecd/51/22/426243.pdf.",
"[7] Norlen et al., Unusual Suspects (see footnote 1), p. 1.",
"[8] See Gabrielle Watson, eds., Race to the Bottom, Take II: An Agreement of Sustainable Development Achievements of ECA-Suppled Projects Two Years Africa Optroaches Rev. 6 (ECA-Watson, 2003); Stephanie Fried and Titi Soentoro, ed., ABreef Overseas of Export Credit Activities in the Asia-Pacific Region (Mumbai, World Health Organization, 2004); Nicholas Hildyard, “Snouts in the trade: finance institutions, finance and policy in Europe”, Corser Brewer Brewers. See also Amnesty International ' s March 2010 submission (POL 30/002/2010), p. 1.",
"[9] See OECD, Export Credit Financing Systems in OECD Member Countries and Non-Member Economics (2008). Available at www.oecd-ilibrary.org.",
"[10] For information on export credit financing systems in OECD member and non-member countries, see www.oecd-ilibrary.org/trade/export-credit-finance-systems-in-oecd-member-country-and-non-member-economies_17273870.",
"[11] Keenan, “Export credit treaties and the international law of human rights”, p. 2.",
"[12] Aaron Goldzimer, “Worse than the World Bank?",
"[13] World Bank, Global Development Finance: Financing the Poorest (Washington, D.C., 2002), p. 107.",
"[14] See also general comment No. 12 on the right to adequate food, paras. 36-37; and general comment No. 15 on the right to water, paras. 31-34.",
"[15] See also Legal Consequences of the Construction of a Wall in the Occupied Palestinian Technology, Australia Open, I.C.J. Reports 2004, p. 136.",
"[16] Some treaty bodies urge States to take steps to prevent violations committed abroad by companies within their jurisdiction. See also general comment No. 19 of the Committee on Economic, Social and Cultural Rights on the right to social security (E/C.12/GC/19), para. 54, and the concluding observations of the Committee on the Elimination of Racial Discrimination on the fourth, fifth and sixth reports of the United States (CERD/C/USA/CO/6).",
"[17] In the United States, the Overseas Private Investment Corporation, which operates as an export credit agency, has established an Accountability Office to assess and review complaints about projects it supports. The Office provides access to complaints to local communities that may be significantly, directly or adversely affected by the project, as well as to project sponsors, independently of the company ' s operations. See www.opic.gov/doing-business/accountability.",
"[18] See, for example, Watson, Editor, Race to the Bottom, Take II (see footnote 7) and Norlen et al., Unusual Suspects (see footnote 1).",
"[19] Dieter Frisch, “Export Credit Insurance and the fight against international cooperation”, Transparency International Working Paper (Transparency International, 1999), available at www.odiousdebts/index.cfm?DSP=content&ContentID=2366. For information on the lack of progress in addressing corporate involvement in bribery and corruption, see also Transparency International, Transparency in Reporting on Anti-Corrition: A Report on Corporation Practices (2009).",
"[20] See European Network on Debt and Development, “Skelets in the cupboard: llegitimate debt class of the G7” (2007).",
"[21] Hildyard, “Snouts in the process” (see footnote 7).",
"[22] Jubilee Australia, Risky Business: Shining a Spotlight on Australia's Export Credit Agency (Sydney, Australia, 2009), para.",
"[23] Wainwright, ed., Exporting Development (see footnote 3), p. 12. See also http://www.oekb.at/en/export-services/transparency-compliance/environment/oecd-common-approaches/pages/default.aspx.",
"[24] Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, “Involving with export credit agencies on respect for human rights”, presentation at the OECD Working Group on Export Credit Common Approach meeting, Paris, 23 June 2010.",
"[25] See Amnesty International ' s submission on the review of the proposed amendments to the common approach (see footnote 7), p. 4.",
"[26] Wainwright, ed., Exporting Development (see footnote 3), p. 15.",
"[27] See Özgür Can and Sara L. Seck, “The legal obligations with respect to human rights and export credit treaties”, paper prepared for ECA-watch, Halifax Initiative and ESCR-Net, July 2006. Available at www.halifaxinitiative.org/updir/ECAHRlegalFINAL.pdf.",
"[28] See Keenan, “Export credit treaties and the international law of human rights” (see footnote 2), pp. 3-7. See also Can and Seck, “The legal obligations with respect to human rights and export credit treaties”, pp. 4-8.",
"[29] See Keenan, “Export credit treaties and the international law of human rights”, p. 10; Can and Seck, “The legal obligations with respect to human rights and export credit treaties”, p. 12."
] |
[
"消除对妇女歧视委员会 会前工作组",
"第五十一届会议",
"2011年8月1日至5日",
"审议缔约国根据《消除对妇女一切形式歧视公约》第18条提交的报告",
"会前工作组的报告",
"1. 消除对妇女歧视委员会的惯例是，召集一个为期五天的会前工作组会议，拟订与委员会未来一届会议将审议的初次报告和定期报告有关的议题和问题清单。",
"2. 委员会决定，委员会第五十一届会议会前工作组将于2011年8月1至5日在委员会第四十九届会议结束之后立即召开会议，以便缔约国有足够的时间对议题和问题清单提出书面答复，并确保这些答复能得到及时的翻译。",
"3. 下列专家被指定为会前工作组成员：",
"Ayse Feride Acar女士",
"Violet Awori女士",
"Barbara Bailey 女士",
"Ismat Jahan 女士",
"Victoria Popescu 女士",
"4. 会前工作组选出Popescu女士为主席。",
"5. 会前工作组编写了关于巴西、刚果、格林纳达、挪威和津巴布韦的议题和问题清单。在此方面，会前工作组遵从委员会在第四十九届会议上通过的决定,将议题清单限于20个问题，每个问题最多包含3个议题。会前工作组还审议了先前通过的关于阿尔及利亚的议题清单(CEDAW/C/DZA/Q/4)，并决定不在本次会议上通过补充议题清单。会前工作组还注意到，在会前工作组会议结束时,科摩罗向秘书处提交了报告。原定于在第五十一届会议上在没有报告的情况下审议科摩罗的情况，现决定在第五十三届会议上审议，以便根据该缔约国提交的报告起草补充议题清单。先前在没有报告的情况下已通过了关于科摩罗的议题清单(CEDAW/C/COM/Q/4)。",
"6. 为协助拟订这些议题和问题清单，会前工作组收到了上述缔约国的报告以及缔约国提交的核心文件(如果有的话)；委员会通过的一般性建议；秘书处根据对缔约国当前报告的分析比较结果以及委员会就先前报告的讨论拟订的背景资料、议题和问题清单草稿；其他有关资料，包括委员会和其他条约机构的结论意见(如相关)。在拟订定期报告的议题和问题清单时，会前工作组特别注意缔约国对委员会关于先前文件的结论意见采取的后续行动。",
"7. 会前工作组还得益于联合国各实体和专门机构、非政府组织和一个国家人权机构提供的书面和口头资料。",
"8. 会前工作组拟订的议题和问题清单已送交有关缔约国，这些清单载于下列文件：",
"(a) 与巴西第七次定期报告有关的议题和问题清单(CEDAW/C/BRA/Q/7)；",
"(b) 与刚果第六次定期报告有关的议题和问题清单(CEDAW/C/COG/Q/6)；[1]",
"(c) 与格林纳达第五次合并定期报告有关的议题和问题清单(CEDAW/C/ GRD/Q/1-5)；",
"(d) 与约旦第五次定期报告有关的议题和问题清单(CEDAW/C/JOR/Q/5)；",
"(e) 与挪威第八次定期报告有关的议题和问题清单(CEDAW/C/NOR/Q/8)；",
"(f) 与津巴布韦第五次合并定期报告有关的议题和问题清单(CEDAW/C/ ZWE/Q/2-5)。",
"9. 根据委员会第22/V号、第25/II号和第31/III号决定，议题和问题清单都以《公约》所涉主题为重点。这些主题包括有关提高妇女地位的宪法及立法框架和国家机构；性别陈规定型观念；贫穷和就业；暴力侵害妇女行为，包括家庭暴力；贩运妇女和利用妇女卖淫营利；妇女参与决策；教育和培训；就业；保健；社会和经济福利；老龄妇女、农村妇女、残疾妇女、少数族裔妇女、难民妇女和移徙妇女等弱势妇女群体的状况；妇女在法律面前的平等地位；婚姻和家庭关系。",
"[1] 会前工作组审查了刚果共和国提交的第六次定期报告。委员会在其以往的结论性意见中请缔约国提供第六次和第七次合并定期报告；因此，关于缔约国执行《公约》的建设性对话将涵盖与第六次和第七次定期报告涵盖的时段。将提请缔约国注意这一情况。"
] | [
"Committee on the Elimination of Discrimination against Women",
"Pre-session working group",
"Fifty-first session",
"1-5 August 2011",
"Consideration of reports submitted by States parties under article 18 of the Convention on the Elimination of All Forms of Discrimination against Women",
"Report of the pre-session working group",
"1. It is the practice of the Committee on the Elimination of Discrimination against Women to convene a pre-session working group for five days to prepare lists of issues and questions relating to the initial and periodic reports that would be considered by the Committee at one of its future sessions.",
"2. The Committee decided that the pre-session working group for the Committee’s fifty-first session would meet from 1 to 5 August 2011, immediately after its forty-ninth session, in order to ensure that sufficient time would be available to States parties to submit their written replies to the lists of issues and questions, as well as to ensure their timely translation.",
"3. The following experts were designated as members of the pre-session working group:",
"Ms. Ayse Feride Acar",
"Ms. Violet Awori",
"Ms. Barbara Bailey",
"Ms. Ismat Jahan",
"Ms. Victoria Popescu",
"4. The pre-session working group elected Ms. Popescu as its Chair.",
"5. The pre-session working group prepared lists of issues and questions with respect to the reports of Brazil, Congo, Grenada, Jordan, Norway and Zimbabwe. In this regard, the pre-session working group was guided by the decision of the Committee, adopted at its forty-ninth session, to limit the lists of issues to 20 questions, with each question containing no more than three issues. The pre-session working group also considered the list of issues previously adopted for Algeria (CEDAW/C/DZA/Q/4) and decided not to adopt a supplemental list of issues at the meeting. It is further noted that at the end of the meeting of the pre-session working group, Comoros submitted its report to the Secretariat. Comoros, which was scheduled to be considered in the absence of a report at the fifty-first session, will be considered at the fifty-third session to allow for supplemental list of issues to be drawn up based upon the report submitted by the State party. The list of issues for Comoros had been adopted previously in the absence of a report (CEDAW/C/COM/Q/4).",
"6. To assist in the preparation of the lists of issues and questions, the pre-session working group had before it the reports of the States parties listed above, as well as the States parties’ core documents, if available; the general recommendations adopted by the Committee; background information and draft lists of issues and questions prepared by the Secretariat, based on an analytical comparison of current States parties’ reports, and the Committee’s discussion on earlier reports; and other pertinent information, including concluding observations of the Committee and other treaty bodies, if relevant. In preparing the lists of issues and questions for periodic reports, the pre-session working group paid particular attention to the States parties’ follow-up to the Committee’s concluding observations on previous reports.",
"7. The pre-session working group benefited from written and oral information submitted by United Nations entities and specialized agencies, non-governmental organizations and a national human rights institution.",
"8. Lists of issues and questions adopted by the pre-session working group were transmitted to the States parties concerned and are contained in the following documents:",
"(a) List of issues and questions with regard to the seventh periodic report of Brazil (CEDAW/C/BRA/Q/7);",
"(b) List of issues and questions with regard to the sixth periodic report of Congo (CEDAW/C/COG/Q/6);[1]",
"(c) List of issues and questions with regard to the initial to fifth combined periodic report of Grenada (CEDAW/C/GRD/Q/1-5);",
"(d) List of issues and questions with regard to the fifth periodic report of Jordan (CEDAW/C/JOR/Q/5);",
"(e) List of issues and questions with regard to the eighth periodic report of Norway (CEDAW/C/NOR/Q/8);",
"(f) List of issues and questions with regard to the second to fifth combined periodic report of Zimbabwe (CEDAW/C/ZWE/Q/2-5).",
"9. In accordance with the Committee decisions 22/V, 25/II and 31/III, the lists of issues and questions focused on themes addressed by the Convention. These themes include, inter alia, the Constitutional and legislative framework and national machinery for the advancement of women; gender stereotypes; poverty and employment; violence against women, including domestic violence; trafficking in women and exploitation of prostitution; participation of women in decision-making; education and training; employment; health; social and economic benefits; the situation of disadvantaged groups of women, such as older women, rural women, women with disabilities, women belonging to ethnic minorities, refugee and migrant women; equality before the law; and marriage and family relations.",
"[1] The pre-session working group examined the sixth periodic report of the Republic of Congo submitted by the State party. The Committee in its previous concluding observations had requested the State party to provide a combined sixth and seventh period report; therefore, the constructive dialogue on the implementation of the Convention by the State party will cover the period corresponding to the sixth and seventh periodic report. This information will be brought to the attention of the State party."
] | CEDAW_C_PSWG_51 | [
"Committee on the Elimination of Discrimination against Women",
"Fifty-first session",
"1-5 August 2011",
"Consideration of reports submitted by States parties under article 18 of the Convention on the Elimination of All Forms of Discrimination against Women",
"Report of the pre-session working group",
"1. It is the practice of the Committee on the Elimination of Discrimination against Women to convene a pre-sessional working group for five days to prepare lists of issues and questions relating to the initial and periodic reports to be considered by the Committee at a future session.",
"2. The Committee decided that the pre-session working group for the fifty-first session of the Committee would meet from 1 to 5 August 2011, immediately following the closure of the Committee ' s forty-ninth session, to allow sufficient time for States parties to submit their written replies to the list of issues and questions and to ensure that those replies were translated in a timely manner.",
"3. The following experts were designated as members of the pre-sessional working group:",
"Ms. Ayse Feride Acar",
"Ms. Violet Awori",
"Ms. Barbara Bailey",
"Ms. Ismat Jahan",
"Ms. Victoria Popescu",
"The pre-session working group elected Ms. Popescu as its Chairperson.",
"5. The pre-session working group prepared lists of issues and questions with regard to Brazil, the Congo, Grenada, Norway and Zimbabwe. In this regard, the pre-session working group followed the decision adopted by the Committee at its forty-ninth session to limit the list of issues to 20 questions, each of which would contain up to three issues. The pre-session working group also considered the list of issues previously adopted on Algeria (see annex). CEDAW/C/DZA/Q/4) and decided not to adopt a supplementary list of issues at the current meeting. The pre-session working group also noted that, at the end of the pre-session working group meeting, the Comoros had submitted its report to the Secretariat. The consideration of the situation in the Comoros in the absence of a report was scheduled for the fifty-first session, and it was decided to consider it at its fifty-third session with a view to drawing up a supplementary list of issues based on the report submitted by that State party. The list of issues relating to the Comoros (CEDAW/C/COM/Q/4) had previously been adopted in the absence of a report.",
"6. In order to assist in the preparation of the lists of issues and questions, the pre-session working group had before it the reports of the above-mentioned States parties and the core documents submitted by them, if any; general recommendations adopted by the Committee; background information, draft lists of issues and questions prepared by the Secretariat on the basis of a comparative analysis of the current reports of States parties and the Committee ' s discussion of previous reports; and other relevant information, including concluding observations of the Committee and other treaty bodies, where relevant. In preparing the lists of issues and questions for periodic reports, the pre-session working group paid particular attention to the follow-up by States parties to the Committee ' s concluding observations on previous documents.",
"7. The pre-session working group also benefited from written and oral information provided by United Nations entities and specialized agencies, non-governmental organizations and a national human rights institution.",
"8. The lists of issues and questions prepared by the pre-session working group were transmitted to the States parties concerned and are contained in the following documents:",
"(a) List of issues and questions with regard to the seventh periodic report of Brazil (CEDAW/C/BRA/Q/7);",
"(b) List of issues and questions with regard to the sixth periodic report of the Congo (CEDAW/C/COG/Q/6); [1]",
"(c) List of issues and questions with regard to the combined fifth periodic report of Grenada (CEDAW/C/GRD/Q/1-5);",
"(d) List of issues and questions with regard to the fifth periodic report of Jordan (CEDAW/C/JOR/Q/5);",
"(e) List of issues and questions with regard to the eighth periodic report of Norway (CEDAW/C/NOR/Q/8);",
"(f) List of issues and questions with regard to the combined fifth periodic report of Zimbabwe (CEDAW/C/ZWE/Q/2-5).",
"In accordance with Committee decisions 22/V, 25/II and 31/III, the lists of issues and questions focused on themes covered by the Convention. These themes include the constitutional and legislative framework and national machinery for the advancement of women; gender stereotypes; poverty and employment; violence against women, including domestic violence; trafficking in women and exploitation of prostitution; participation of women in decision-making; education and training; employment; health; social and economic benefits; the situation of vulnerable groups of women, such as older women, rural women, women with disabilities, women belonging to ethnic minorities, refugee women and migrant women; equality of women before the law; and marriage and family relations.",
"The pre-session working group examined the sixth periodic report of the Republic of the Congo. In its previous concluding observations, the Committee requested the State party to provide its combined sixth and seventh periodic reports; therefore, the constructive dialogue on the implementation of the Convention in the State party would cover the period covered by the sixth and seventh periodic reports. This will be brought to the attention of the State party."
] |
[
"第六十六届会议",
"临时议程^(*) 项目69 (b)",
"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径",
"人权与单方面胁迫性措施",
"秘书长的报告",
"摘要 \n本报告根据大会第65/217号决议提交。大会在该决议中请秘书长提请所有会员国注意该决议，继续收集它们关于单方面胁迫性措施对其人民产生的影响和不良后果的意见及资料，并就此向大会第六十六届会议提交一份分析报告。联合国人权事务高级专员办事处已收到阿根廷、白俄罗斯、波斯尼亚和黑塞哥维那、布基纳法索、古巴、多米尼加共和国、厄瓜多尔、危地马拉、圭亚那、伊拉克和科威特等国政府对该办事处发出的一份普通照会的答复。本报告载有收到的所有答复的摘要并分析了其内容。",
"目录",
"页次\n 1. 导言 3\n 2. 从会员国收到的资料 3\n 阿根廷 3\n 白俄罗斯 4\n 波斯尼亚和黑塞哥维那 5\n 布基纳法索 5\n 古巴 6\n 多米尼加共和国 9\n厄瓜多尔\t10\n危地马拉\t10\n圭亚那\t10\n伊拉克\t12\n科威特\t12\n3. 分析和结论\t13",
"一. 导言",
"1. 在第65/217号决议第15段中，大会请秘书长提请所有会员国注意该决议，继续收集它们关于单方面胁迫性措施对其人民产生的影响和不良后果的意见及资料，并就此向大会第六十六届会议提交一份分析报告，同时再次重申有必要着重说明这方面的切实预防措施。",
"2. 2011年5月5日，根据第65/217号决议第15段，联合国人权事务高级专员办事处向所有常驻联合国日内瓦办事处代表团发出提供资料的请求。截至2011年7月25日，该办事处已收到来自阿根廷、白俄罗斯、波斯尼亚和黑塞哥维那、布基纳法索、古巴、多米尼加共和国、厄瓜多尔、危地马拉、圭亚那、伊拉克和科威特等国政府的答复。",
"二. 从会员国收到的资料",
"阿根廷",
"[原文：西班牙语]",
"[2011年7月1日]",
"阿根廷共和国一贯支持大会和人权理事会关于人权和单方面胁迫性措施的各项决议。还支持大会关于消除使用单方面措施作为政治和经济胁迫手段的第55/6号决议。",
"阿根廷的立场是基于所有国家都有义务避免采用或适用有悖国际法或《联合国宪章》的单边措施。也是基于大会第2625(XXV)号决议附件和大会第3281(XXIX)号决议所载的《各国经济权利和义务宪章》。使用单方面治外胁迫性措施严重影响贸易和合作，并对资本自由流动和贸易自由产生了不利影响。阿根廷认为，采取胁迫性措施剥夺了人民获得基本医疗保健和食物的机会，妨碍享有基本人权，不能基于国家安全利益的理由而侵犯这些权利。",
"阿根廷《第24.871号法案》规定，任何直接或间接限制或妨碍自由贸易、限制或妨碍资本、货物或人员自由流动，对任何国家或国家群体造成不利影响的外国法律，在阿根廷境内不适用，亦不具有任何法律效力。法案第1条规定，旨在以实施经济制裁，或限制到另一国投资，目的是改变其政府等方式施加治外法律效力的外国法律，在阿根廷共和国境内均不具有任何法律效力。阿根廷重申所有人权的不可分割性、普遍性和相互依赖性。",
"白俄罗斯",
"[原文：俄语]",
"[2011年6月23日]",
"白俄罗斯共和国的答复提到了欧盟和美国继续对白俄罗斯实施政治和经济方面的限制性措施。2011年，欧洲委员会对白俄罗斯共和国的几名官员实施签证和经济制裁，理由是2010年12月19日的总统选举弄虚作假且随后大肆迫害民主反对派、民间社会和独立大众传媒的成员。截止2011年6月20日，受到欧盟成员国领土旅行限制的白俄罗斯公民人数达到了190人。此外，欧盟还对三家白俄罗斯企业，即“Beltekexporta”、“BT-Telekommunikazi”和“Sport-pari”实施经济制裁。阿尔巴尼亚、波斯尼亚和黑塞哥维那、克罗地亚、冰岛、列支敦士登、前南斯拉夫马的其顿共和国、黑山、挪威和塞尔维亚也与欧盟一道对白俄罗斯实施制裁。",
"2006年6月以来，美国对白俄罗斯官员实施的制裁影响到这些官员在美国境内的财产利益。2007年8月以来，美国已对几类官员实施签证限制。2004-2011年，美国对白俄罗斯大型企业，包括“Belneftexim”、“BelTekExport”、“Belorusneft”和“Integral”实施经济性质的单边限制性措施。欧盟、美国以及支持以制裁形式实施单方面胁迫性措施的各国的决定直接影响普通白俄罗斯公民的各项利益，影响他们享有经济、社会和其他各项权利，包括发展权。这类措施还影响白俄罗斯民间社会，包括新闻记者的各项活动。法院面临制裁造成的压力，从维护司法独立性和各项权利的立场出发，制裁行为是不可接受的。",
"白俄罗斯有义务提醒大会和人权理事会注意欧盟、美国和其他国家实施的单方面胁迫性措施违反了大会第65/217号决议和人权理事会关于“人权与单方面胁迫性措施”的第15/24号决议。该决议回顾称，根据《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》和大会在1974年12月12日第3281 (XXIX)号决议中公布的《各国经济权利和义务宪章》的相关原则和条款，尤其是第32条，任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益。",
"白俄罗斯共和国欢迎大会和人权理事会继续关注在单方面胁迫性措施背景下实现各项人权这个问题，并认为有必要在理事会内建立一个关于单方面胁迫性措施及其对人权影响的特别程序。白俄罗斯支持人权理事会第15/24号决议中提出的请求，即请联合国人权事务高级专员办事处编写一份关于单方面胁迫性措施对人权享有的影响的专题研究，包括旨在结束这类措施的行动建议。",
"波斯尼亚和黑塞哥维那",
"[原文：英语]",
"[2011年6月29日]",
"作为一个国际公认的独立主权国家，波斯尼亚和黑塞哥维那坚信，任何国家不得使用或鼓励使用经济、政治或任何其他措施，来强迫另一个国家，使其在主权权利的行使方面屈从一国或大国。波斯尼亚和黑塞哥维那采取这个立场，因为单方面胁迫性措施直接违背公共国际法和人道主义法的标准，因而公然违反了国际公认实体、联合国欧洲委员会和欧洲联盟等国际组织大家庭的会员国签署并通过的国际文书。",
"人权彼此相连、相互依存，这意味着人权中包括通过支持自由贸易和人员、货物、资本和服务流动等推进作为基本人权的发展权。法国革命时代设想的自由通过或“通行证”原则已成为欧洲联盟的基础。波斯尼亚和黑塞哥维那认为，通过使用单方面胁迫性措施限制发展权首先极大地损害了《欧洲人权和基本自由公约》、《世界人权宣言》和业已签署和批准的许多国际文书所载的各项人权。",
"干涉自由贸易损害发展中国家弱势群体，包括儿童、青少年、妇女和老人的利益。遗憾的是，立法、经济和政治单方面胁迫性措施仍在全世界盛行，严重影响发展中国家的社会状况和全面行使人权。有鉴于上述几点，波斯尼亚和黑塞哥维那认为，有必要增强公众对以下两点的认识，一是单方面胁迫性措施的消极影响，而是遵守公共和私立国际法的标准和原则的重要性，从而建立国与国之间的友好关系，并促进和保护人权。",
"波斯尼亚和黑塞哥维那坚决支持执行《发展权利宣言》，践行《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》规定的原则，即不得剥夺任何人的生存手段。单方面胁迫性措施是一种片面的政治力量手段，直接违反了民主国家的意愿。",
"布基纳法索",
"[原文：法语]",
"[2011年7月20日]",
"布基纳法索支持大会关于“人权与单方面胁迫性措施”的第65/217号决议以及在其他国际机构框架内通过的禁止各国采取单方面胁迫性措施的其他文件。这包括人权理事会第15/24号决议和大会与人权理事会之前关于“人权和单方面胁迫性措施”的各项决议；2006年9月在哈瓦那举行的第十四次不结盟运动国家元首和政府首脑会议所通过的《最后文件》，以及1993年在维也纳举行的世界人权会议通过的各项建议，都要求各国不得使用不符合国际法和《联合国宪章》的单边措施。",
"布基纳法索仍然坚信，要维和和平与安全，各国必须在各国平等、自决权的原则上通过友好合作的关系推进和平与安全。这类关系的发展要求各国不得采用或实施违背国际法的单方面胁迫性措施，包括通过诉诸战争、军事主义和单方面实施的消极经济和贸易措施。这些单方面胁迫性措施违反了《联合国宪章》、《非洲联盟宪章》和许多其他国际法律文书的基本原则。",
"遵守国际法，包括人道主义法确立的规则和原则，是建立和平并尊重人权的国际关系的唯一途径。国家主权和不干预其他国家内部事务是《联合国宪章》奉行的根本原则，应用其指导各国之间的关系。布基纳法索认为，在当前各国利益分歧，同时发展各国多边对话框架的国际背景下，必须在这些框架内解决国际关系方面的诸多挑战。在联合国，包括安全理事会和其他国际和区域多边组织下建立的各种机制，是决定适当措施以维护安全和鼓励各国遵守国际标准的唯一合法机构。一国对另一国采取的所有胁迫性措施，不论其目的如何，都违反了国际法，故而应予以禁止。",
"一国对另一国发动直接或间接战争或诉诸武力往往对各国的人权和发展造成灾难性后果。所有国家应力求尽最大努力通过国际法公认的和平解决争端机制来解决彼此之间的分歧。作为一个爱好和平的国家，布基纳法索一贯努力推进与其他国家的健康和友好的关系。正是这种和平精神促使布基纳法索国家元首积极参与次区域的冲突解决，包括科特迪瓦和多哥的冲突解决。",
"布基纳法索是联合国、非洲联盟和许多其他国际和区域组织的成员国，高度重视国际关系方面的多边机制，布基纳法索积极参与各种区域和国际框架就是明证。布基纳法索还是人权理事会的成员。多边框架是解决国与国关系遇到的挑战以及可能威胁国际和平与安全的问题的恰当合法框架。布基纳法索坚持法治，在国家和国际层面奉行平等原则。根据国际法的标准和原则，布基纳法索未对其他任何国家采取过单方面胁迫性措施。",
"布基纳法索认为，国际标准优先于国内立法和行政措施。根据布基纳法索《宪法》第151条，其国际义务，尤其是在正式通过协定的背景下，优先于国内法律。因此，法律禁止采取违反《联合国宪章》以及布基纳法索赞同的国际标准和原则的措施。布基纳法索当局致力于指导国际关系的核心价值观，愿意与其他国家和国际机构合作，推动在世界发展友好关系并加强合作。",
"古巴",
"[原文：西班牙语]",
"[2011年5月26日]",
"古巴指出，大会、人权理事会、和前人权委员会的诸多决议以及主要国际首脑会议和联合国会议上批准的政治宣言都裁定采用单方面胁迫性经济措施违反了《联合国宪章》和国际法。实施单方面胁迫性措施作为政治和经济胁迫手段威胁享有所有人权，首当其冲的是生命权以及民族的独立、主权和自决权。这些措施的主要受害者是承受国的人民，特别是弱势群体——儿童、妇女、老人和残疾人。",
"古巴回顾称，1970年大会决定任何国家不得使用或鼓励使用经济、政治或任何其他措施，来强迫另一个国家，使其在主权权利的行使方面屈从，以及从该国获得任何好处。这一点得到了《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》的支持。",
"古巴表示，古巴是长达50多年单方面胁迫性措施的受害者，因此尤其重视人权理事会和大会审议这个问题。古巴认为，采取这类措施是美国对古巴实施的敌对政策和侵略的一种根本手段，试图破坏由古巴人民的主权意愿所建立的政治、经济和社会制度。古巴认为，美国对古巴实施的经济、商业和金融封锁是“人类历史上或对任何国家所采用的最漫长、最残忍的单边制裁制度。”经济、商业和金融封锁的目的是破坏1960年4月6日落下帷幕的古巴革命。",
"古巴坚持认为，禁运是美国几任当局以系统、旷日持久、不人道的方式对古巴实施的国家恐怖主义政策的基本组成部分，影响到所有古巴人民，不论其年龄、性别、种族、宗教或社会地位如何。古巴的呈件断言，这一政策足以够得上1948年12月9日《防止和惩治灭绝种族罪行的日内瓦公约》第二条(c)款规定的灭绝种族行动。",
"古巴提及所谓的1992年《托里切利法案》和1996年《赫尔姆斯－伯顿法》，其中载有违反《联合国宪章》、国际法和世界贸易组织协定的条款。通过这些明显带有治外性质的法律，美国政府加强了封锁，并将其扩大到第三国，其企业和公民，对古巴实施了长达50年的经济、商业和金融封锁。",
"古巴认为，在竭力为封锁古巴及其人民寻找理由的同时，美国国务院还在没有任何理由的情况下将古巴列入指控侵犯人权、贩运人口、色情旅游、恐怖主义行为和宗教不容忍等行为者的单边详细名单中。",
"除了实行攻击性的媒体和外交措施以及一些粉饰太平的措施之外，美国政府当前仍维持禁运，并继续严格实施，还加强了政治、行政和强迫性机制来强制实施。对于构成封锁的法律基础的法律和行政条例/要求网络，美国没有采取任何行动予以撤销。2009年9月11日，美国延长了对古巴实施禁运的时间，依据是“美国的国家利益”和1917年《与敌国贸易法》，而后者仅适用于战争状况，并且仅对古巴具有法律效力。制裁适用于与古巴有商业往来的北美和欧洲公司。这项政策阻碍科学、文化或旅游性质的交流，促使商标盗窃行为，导致古巴在美国的数百万美元资金遭到冻结。对与古巴有附属关系者施加更多压力，目的是“政权变革”并为旨在推翻古巴宪法秩序的行动提供财政支持。",
"古巴注意到，实施禁运并非仅是古巴与美国之间的一个双边问题。重复地在境外适用美国法律以及侵害第三国企业和公民的合法权益的行为还严重影响了其他许多国家的主权。治外性质的单方面胁迫性措施造成的损害由于美国及其企业大力参与贸易和跨国投资而更趋严重。第三国公司和境外北美公司在美国的投资主要以兼并、部分或全部收购公司的形式进行，这加剧了这些措施的治外影响，缩小了古巴的外部经济空间，使古巴更难、有时甚至不可能找到伙伴和供应商来规避美国实施的严格封锁。",
"古巴的呈件表示，根据保守估计，截止2009年12月，由于封锁给古巴造成的直接损失超过数十亿美元。尽管2010年10月28日，占绝对多数的成员国通过了大会批准的最新决议，呼吁解除对古巴的经济、商业和金融封锁，尽管之前的18项决议，包括本决议都要求解除封锁，但美国政府仍继续对古巴实施封锁。",
"古巴的呈件还表示，美国政府招募雇佣兵对古巴开展行动。2009年，外国资产管制处对违反古巴封锁禁令的7家实体处以315 503美元的罚款。对个人和实体处以的罚款总额为340 678美元。2010年上半年，对公司处以的罚款金额为2 221 671美元。外国资产管制处不仅对与古巴有贸易往来关系者处以其他百万美元罚款，还根据单方面胁迫性措施对与其他国家贸易往来者处以罚款。遭到罚款的第三国实体包括瑞士信贷银行、澳大利亚和新西兰银行集团有限公司以及位于德拉华的化学公司 Innospec Inc.在瑞典的子公司。2009年5月，外国资产管制处回绝了Banco Popular Español关于对一笔被封锁107 770.95欧元的资金解禁的请求，该笔资金是2008年12月古巴航空公司采取从马德里向墨西哥转账的方式操作的。",
"呈件继而表示，自美资以色列跨国公司梯瓦制药工业有限公司收购墨西哥Lemery公司以来，古巴不能再购买治疗肉瘤(恶性肿瘤)最常用的药物细胞抑制剂更生霉素。使用这个产品将使所有病例中患者的生存率增加70%以上。敏感领域如食品、医疗、教育和文化是这项政策的主要目标，这项政策影响了生活质量。以下是2009年5月至2010年4月的例子：古巴得不到药物替莫唑胺(一种抗肿瘤药)，这是具体用于治疗中央神经系统肿瘤(神经胶质瘤和星细胞瘤)的细胞抑制剂。这种疾病每年影响约250名患者，其中大约有30名儿童。儿科心脏病中心“William Soler”不能再购买导尿管、盘管、导架和支架等利用治疗性导管术诊断和治疗患有复杂先天性心脏病的患儿。美国公司被禁止出售这些产品给古巴。古巴儿童不能使用特殊材料制成的美国Amplatzer设备来避免有机排斥。这种设备用于心脏直视手术，手术是介入措施，除了危险外，还要求重症监护并恢复三周。治疗视网膜肿瘤(长在视网膜上的先天性肿瘤)时必须使用放射性碘图板，但这些图板只在美国出售，古巴肿瘤学和放射生物学研究所买不到。缺少这项基本针对儿童的技术，唯一的办法是摘除眼睛，有时要摘除双眼，这个医疗办法的后果是寿命严重缩短。",
"在食品工业，进口公司古巴粮食进口公司2009年5月至2010年4月因“风险国”概念受到的影响约为102 900 000美元，表现为银行和金融成本以及支付工具方式方面的成本。如果古巴自行处置这些资金，以2008年平均价格计算，古巴本可购买337 000吨小麦，451 000吨玉米以及109 000吨鸡肉。在教育领域，古巴不能购买60个肢体残疾儿童诊室所必需的设备，因为古巴不能进入美国市场，不得不求助于更远、更昂贵的市场。在欧洲市场上配备这些诊室的价格约为14 000 欧元，而在美国则不超过8 000美元。",
"根据呈件，2008年5月至2010年5月，古巴在该领域的进口总额下降到18 200 000美元，其中10%花在了运费上。如果古巴进入美国市场，则仅需支付3.7%的运费，就能够购买胶版纸，用于打印教育(中小学等)所需的所有教材，小学和特殊教育教学法的所有跟踪工具，以及全国一个学年用于教育目的的150 000套丙烯酸马克笔。",
"古巴指出，在文化领域，2002年与美国国家研究委员会签署了协定，该协定支持保护海明威室内博物馆的项目，并提供资料，从而浏览海明威收藏中的通信和文件。不过，财政部并未授权向古巴转入必要的资金以执行该项目。这些都是支持禁运的法律、法规和做法的实例，并且仍然有效，为了有效、切实地予以执行，美国加强了政治、行政和压制机制。",
"对遵守国际法的要求平等适用于所有人。古巴表示，美国政府继续维持禁运是不可接受的，这使古巴人民的生活条件恶化，并且罔顾国际社会以联合国大会连续通过决议的方式一直呼吁结束对古巴长达19年的禁运，同时大会和若干附属机构谴责采取单方面胁迫性措施这一事实。",
"美国奉行封锁政策仍是古巴经济和社会发展的主要障碍，它大规模、系统地侵犯了人权并践踏主权国家的和平、发展和安全权。国际社会一如既往的支持以及大力谴责采取这类措施是古巴人民的一个重要斗争工具。根据古巴呈件，国际社会有必要加大对美国政府的压力，呼吁其结束这个不人道、不合时宜的政策。",
"多米尼加共和国",
"[原文：西班牙语]",
"[2011年6月27日]",
"大会第65/217号决议力求重申《联合国宪章》所载的原则和规定、人权理事会和人权委员会过去的决议以及国际人道主义法的规范，该决议证实一个国家适用的单方面胁迫性措施和法律会造成负面影响，包括对社会和人道主义活动以及发展中国家的经济和社会发展造成的治外效果。该决议是对联合国会员国就一些国家对其他国家实施单方面胁迫性措施造成严重损害，特别是对拉丁美洲地区的儿童、妇女、老年人和残疾人造成的损害做出的多边呼吁的回应。古巴、墨西哥和委内瑞拉提交的报告特别具有相关性。",
"自1945年10月24日生效的《联合国宪章》，特别是第10条，规定“大会可以讨论目前《宪章》范围内或与目前《宪章》规定的机构的职权相关的任何问题或任何事项，而且除第12条规定外，可以就任何此类问题或事项，向联合国会员国或安全理事会或二者提出建议。”多米尼加共和国作为联合国的一个会员国，并未低估联合国在国际法的形成和发展全过程中所起的作用。",
"多米尼加共和国向国际社会所做的承诺载于其2010年1月26日《宪法》的第26条第3款和第4款，即：“肯定和促进国家价值观和利益以及尊重人权和国际法是多米尼加共和国国际关系的基石和指导。”“在与其他国家保持平等地位的基础上，多米尼加共和国接受确保尊重实现和平、正义以及各国政治、社会、经济和文化发展的基本权利的国际合法秩序。多米尼加共和国致力于在国际、区域和国家一级，根据国家利益，实现各民族间的和平共处，并履行团结所有国家的职责。”",
"厄瓜多尔",
"[原文：西班牙语]",
"[2011年7月6日]",
"作为一个主权国家，厄瓜多尔不会采取单方面胁迫性措施，因为这些措施违反国际法、《联合国宪章》以及影响国家间和平关系并阻碍全面实现人民的经济和社会发展，特别是儿童和妇女的发展的规则和原则。",
"厄瓜多尔不实行损害其人民福祉并阻碍其享受人权的措施。相反，厄瓜多尔希望按照厄瓜多尔国家发展计划——国家福利计划的原则和目标采取措施提高人民的生活和安全水平。厄瓜多尔政府特别关注人人享受提供保健和教育的生活标准以及获取食物、保健、教育和社会服务的权利。获取食物和药物不应被用作政治工具。",
"危地马拉",
"[原文：西班牙语]",
"[2011年6月8日]",
"危地马拉人权领域协调执行政策总统委员会在回应中强调，危地马拉适当地遵守了第65/217号决议，并未采取任何单方面胁迫性措施，因为这违反国际人权法和《联合国宪章》以及危地马拉力求促进民主和尊重人权的原则。",
"圭亚那",
"[原文：英语]",
"[2011年6月14日]",
"圭亚那注意到并认同第65/217号决议所列一般审议，特别是大会在其1974年第3281(XXIX)号决议中宣布的《各国经济权利和义务宪章》第32条所载的规定，即任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益。圭亚那与大会持相同立场，认为这些单方面胁迫性措施和立法违反了国际法、国际人道主义法和《联合国宪章》，它们是一般国际习惯法以及管理国家间和平关系的标准和原则的一部分。圭亚那没有鼓励使用经济或政治压制的立法或其他形式的胁迫性措施。圭亚那也谴责诉诸这些措施的国家并敦促它们有效逆转这种行动。",
"圭亚那重申致力于做出善意努力，以便根据其加入的国际文书履行其国际义务，包括《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》。在1992年10月进行第一次自由和公平的选举之后，经过为实现民主复兴的长期斗争，圭亚那一直注重改善其人民的福祉和生活质量，圭亚那议会制定了一系列明确促进和保护个人以及弱势群体人权的法规。圭亚那的行政、立法和司法机构开展合作以期促进人权条约的执行，并认识到所有人权都具有普遍、不可分割、相互依存和相互关联的特点。",
"关于决议提及的“重申发展权作为所有人权不可分割的一部分”，《圭亚那宪法》第2部分的标题1“保护个人的基本权利和自由”和第149C条规定，“不得阻碍任何人通过合作社、工会、国有性质的公民或社会经济组织参与国家管理和国家决策。”《宪法》第14条规定，“经济发展的目标包括在全球竞争的环境下创造、促进和鼓励能实现和维护可持续竞争优势的经济体系，方法是培养创业精神、个人和团队创新性和创造性以及与国内和全球的商业合作伙伴建立战略联盟。”圭亚那同样担心单方面胁迫性措施对国际关系、贸易、投资于合作的负面影响。",
"作为加勒比共同体的成员，圭亚那支持区域一体化，并因此支持建立加勒比单一市场和经济体。作为南美国家同盟和美洲国家组织的成员，圭亚那认真履行它对这些机构的义务和承诺。有两个邻国声称拥有圭亚那领土——苏里南和委内瑞拉。圭亚那选择通过利用《国际海洋法》和国际仲裁法庭的现有补救办法，而非通过胁迫性措施来解决同苏里南的海上边界问题。圭亚那同这两个国家保持着良好关系，并委托联合国就其同委内瑞拉的争议问题进行斡旋。尽管圭亚那是一个发展中小国，但它勇于向面临自然灾害的国家，如格林纳达、海地、日本、圣文森特、圣卢西亚和委内瑞拉伸出援手。",
"圭亚那严重关切儿童的状况，因为他们是单方面胁迫性措施的主要受害者。圭亚那认识到，所有儿童都有权健康、平安和有尊严地长大成人，为此，它做出努力以便确保儿童享受健康、营养、教育以及社会和情感发展的权利。同样地，圭亚那在遵守《消除对妇女一切形式歧视公约》及其他国际标准方面，制定了全面的宪法和法律规定和政策，以便促进和保护妇女的权利。这些改革对防止持续实施单方面胁迫性措施至关重要，因为这些措施会对社会和人道主义行为以及圭亚那等发展中国家的经济和社会发展造成负面影响。圭亚那仍致力于消除一切形式的单方面胁迫性措施，因为这些措施会造成发展和人权方面的障碍。",
"根据关于获得“食物、医疗保健和教育”权利的决议第2段，圭亚那强调获得食物的权利，并采取积极举措来消除饥饿，并促进粮食安全。圭亚那确保在公平和问责制的基础上提供医疗保健服务。圭亚那的教育政策确保，所有公民，无论种族、年龄、信仰如何，是否存在身体或精神残疾，都有机会在可用资源范围内，平等地获得优质教育，充分发挥潜力。提供食物、医疗保健、教育和社会安全网络等必要的社会服务“不能作为施加政治压力的工具”。",
"圭亚那认识到并认同第65/217号决议第4段和第7段所载的自决原则，根据该原则，各国都有权在不受外来强迫或干涉的情况下自由选择其主权和国际政治地位。因此，圭亚那也谴责和反对任何国家、多边或国际发展机构采取单方面胁迫性措施。圭亚那重申，单方面胁迫性措施是阻碍全面实现人权、社会发展、安全以及在区域和国际一级和平解决冲突的主要障碍。",
"伊拉克",
"[原文：阿拉伯语]",
"[2011年7月22日]",
"伊拉克共和国充分支持大会第65/217号决议，并重申所有国家有必要遏制单方面胁迫性措施的实施。尽管若干决议述及该问题，但各国仍诉诸于使用此类任意措施。伊拉克谴责为向其他国家施加政治压力而使用任意、治外和单方面措施的行为。这些措施对人权，包括获得食物、健康和发展的基本权利造成了负面影响。伊拉克强调，面对单方面胁迫性措施，切实和预防性的措施至关重要。",
"科威特",
"[原文：阿拉伯语]",
"[2011年6月24日]",
"《世界人权宣言》和其他若干国际文书对人权做了规定，绝大多数国家宪法也涉及这一问题。人权适用于国家和个人之间的关系，也对国家间的关系至关重要。必须毫无例外或选择地维护一切人权。科威特支持联合国人权事务高级专员办事处为抑制和消除单方面胁迫性措施所做的一切努力。这些措施用于施加政治压力以及制造国际关系和贸易方面的障碍。科威特支持执行大会第65/217号决议，并在这方面提供支助并开展合作。务必不能将执行决议所涉的法律问题政治化。有必要研究人权问题和单方面胁迫性措施，以及就此问题对联合国决议做出综合和全面的评估，包括实现这些决议的目标所面临的障碍。",
"科威特拒绝采取任何带有胁迫性质的立法、行政或经济措施或阻碍其他国家的经济和文化发展以强迫这些国家采取特定政策的措施。单方面胁迫性措施对发展中国家的人口和《发展权利宣言》述及的发展产生了负面影响。这些措施阻碍全面享有一切人权，包括获得食物和医疗保健的最基本权利。科威特支持大会就发展权所做的决定，并反对实施阻碍这项权利的单方面胁迫性措施。",
"科威特继续向100多个发展中国家和最不发达国家提供国际发展援助和支助，例如通过科威特发展基金以及科威特为实现国家一级的可持续发展所做的工作。科威特认为发展以及发展同人权的关系至关重要，并视发展为连接个人和社会的领域。",
"三. 分析和结论",
"关于大会第65/217号决议，共有11个会员国提交了其对人权和单方面胁迫性措施的看法。总体来讲，做出回应的国家都明确反对使用单方面胁迫性措施。",
"回应国反对任何国家、多边或国际发展机构使用单方面胁迫性措施。这些措施被视为对人权的违反和全面实现人权、社会发展、和平与安全以及解决争端和冲突的障碍。若干国家还声明，它们不采取这些措施，因为这是一个原则问题。",
"多数回应国述及国际法原则，其中包括各国负有不采取或不适用违反《联合国宪章》和国际公法的单方面胁迫性措施的义务。据称，这些措施违反民主国家的理念以及国家主权、独立、主权平等、自决和不干涉内政的基本原则。单方面胁迫性措施涉及包括国际人道主义法在内的国际私法和公法，并因此违反了若干国际和区域文书。各国引述的相关文书包括《关于各国依联合国宪章建立友好关系和合作的国际法原则宣言》和《各国经济权利和义务宪章》，(据此，任何国家不得使用或鼓励使用经济、政治或任何其他措施来胁迫另一国家，使其在行使主权权利时有所屈从，并自该国取得任何利益)。",
"各国回顾道，根据《公民及政治权利国际公约》和《经济、社会、文化权利国际公约》，不能剥夺任何人的生存手段。若干国家还重申，它们支持执行《发展权利宣言》。有人指出，使用造成治外效果的单方面胁迫性措施对资本的自由流动和贸易自由产生了负面影响，因而影响了受害国家的人民实现发展权。",
"回应国述及带有经济、商业和金融性质的不同形式的制裁。这些制裁包括贸易禁运；财务和资金、财产、知识产权、签证和旅行方面的限制；以及干涉带有科学、文化或旅游性质的交流。法律的域外适用以及妨碍第三国企业和公民的利益也包括在内，特别是在贸易和投资领域。",
"各国注意到，立法、经济和政治的单方面胁迫性措施仍是重大的国际问题，对这些措施的目标国家产生了深远的负面影响，更加广泛而言是对发展中国家的人权和发展的影响。有人指出，被施加这些措施的国家的人民是主要受害者，特别是最弱势人群——儿童、妇女、老年人和残疾人。受害国家的实际情况包括极端困苦、救生药物、特别是儿科药物、基本食品、教育设施和文化设施遭到剥夺。这些胁迫性措施的实施直接影响了基本人权的享有。",
"若干国家重申了一切人权不可分割、普遍、相互关联和相互依存的本质，以及认识到这一点同维护各国之间的和平关系的密切联系。各国重申，其认为发展同人权以及和平相互关联。为保持国际和平与安全，各国必须根据各国平等及其具备自决权利的原则，通过友好与合作关系促进以上联系。鉴于各国在目前的国际环境中存在利益分歧，以及多边框架和国家间多边主义对话的发展，所以必须在多边背景下应对国际关系中的挑战。有人指出，联合国，包括安全理事会以及其他国际和区域多边组织建立的机制是决定维护安全和鼓励某国遵守国际标准的适当措施的唯一合法机构。",
"根据面对单方面胁迫性措施所制定的实际和预防措施，一些国家认为，有必要使公众更好地认识到单方面胁迫性措施的负面影响以及尊重国际公法和私法的标准和原则重要性，从而建立国家间的友好关系，以期促进和保护人权。各国援引国家宪法和法律的规定，包括维护各民族间和平共处的价值观和团结所有国家的职责的规定。",
"一些国家颁布了立法，规定任何直接或间接限制或妨碍自由贸易以及资本、货物或人口自由流动，对任何国家或国家集团产生负面影响的外国法律都将不能适用，并在其领土内不具法律效力。各国还举例说明这些法律规定，规定旨在通过对另一国实施经济制裁或限制在其投资，以更换其政府为目的造成治外法律效果的外国法律在其领土内不具法律效力。",
"有人述及为维护人权以及促进领土内外的社会和经济发展所采取的内部措施，并再次说明，其认为应使所有人获得基本必需品，并且在任何情况下都不应将获取食物、保健和教育作为政治工具，无论是在国家内部或是在更为广泛的国际社会中。各国举例说明了为促进其人民的人权和发展所采取的政策和行动，以及特别是为了发展中国家人民的惠益，参与国际援助与合作的情况。",
"一个国家建议就单方面胁迫性措施及其对人权的影响建立人权事务委员会特别程序，并明确支持人权事务委员会第15/24号决议所载的要求，即要求联合国人权事务高级专员办事处编制一份关于人权和单方面胁迫性措施的专题研究，包括旨在终止这些措施的行动建议。一些国家欢迎大会和人权事务委员会不断关注人权问题和单方面胁迫性措施。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Human rights and unilateral coercive measures",
"Annual report of the Secretary-General",
"Summary",
"The present report is submitted in accordance with General Assembly resolution 65/217, in which the Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session. The Office of the United Nations High Commissioner for Human Rights has received replies from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait in response to a note verbale sent out by the Office. The present report comprises a summary of all responses received and an analysis of their contents.",
"Contents",
"Page\nI.Introduction 3II.Information 3 received from Member \nStates \nArgentina 3\nBelarus 4Bosnia 5 and \nHerzegovina Burkina 6 \n Faso \nCuba 7Dominican 11 \nRepublic \nEcuador 11\nGuatemala 12\nGuyana 12\nIraq 14\nKuwait 14III.Analysis 15 and \nconclusions",
"I. Introduction",
"1. In paragraph 15 of its resolution 65/217, the General Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session, while reiterating the need to highlight the practical and preventive measures in this regard.",
"2. On 5 May 2011, in accordance with paragraph 15 of resolution 65/217, the Office of the United Nations High Commissioner for Human Rights sent a request for information to all permanent missions to the United Nations Office at Geneva. As at 25 July 2011, the Office had received responses from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait.",
"II. Information received from Member States",
"Argentina",
"[Original: Spanish]",
"[1 July 2011]",
"The Republic of Argentina has consistently supported the resolutions on human rights and unilateral coercive measures in the General Assembly and the Human Rights Council. It also voted for General Assembly resolution 55/6 on the suppression of the use of unilateral measures as coercive political and economic instruments.",
"The Argentine position is based on the obligation of all States to refrain from adopting or applying unilateral measures that oppose international law or the Charter of the United Nations. It is also based on the annex to General Assembly resolution 2625 (XXV) and the Charter of Economic Rights and Duties of States contained in General Assembly resolution 3281 (XXIX). The use of unilateral coercive measures with extraterritorial effects seriously affects trade and economic cooperation and has a negative impact on the free movement of capital and the freedom of trade. Argentina believes that the adoption of coercive measures that deny people access to basic health care and food prevents the enjoyment of fundamental human rights, which cannot be violated on the rationale of national security interests.",
"Argentine Act 24.871 states that any foreign law that limits or prevents free trade and free movement of capital, goods or people, directly or indirectly, adversely affecting any country or group of countries, will not be applicable and will not have any legal effect within the territory of Argentina. Article I of this Act states that foreign laws intended to generate extraterritorial legal effects by imposing economic sanctions, or by limiting investments in another country, with the objective of changing its government will not have any legal effect within the territory of the Republic. Argentina reaffirms the indivisible, universal and interdependent nature of all human rights.",
"Belarus",
"[Original: Russian]",
"[23 June 2011]",
"The response of the Republic of Belarus refers to the continued restrictive measures of a political and economic nature by the European Union and the United States of America in relation to Belarus. In 2011, the European Council imposed visa and financial sanctions against several officials of the Republic on the grounds of falsification of the Presidential elections of 19 December 2010 and subsequent violent persecution of the democratic opposition, civil society and members of the independent mass media. As at 20 June 2011, the number of Belorussian citizens subject to sanctions on travel to the territory of the States members of the European Union reached 190. In addition, the European Union imposed economic sanctions against three Belorussian enterprises, namely, Beltekexporta, BT-Telekommunikazi and Sport-pari. Albania, Bosnia and Herzegovina, Croatia, Iceland, Liechtenstein, the former Yugoslav Republic of Macedonia, Montenegro, Norway and Serbia also joined the European Union sanctions against Belarus.",
"Since June 2006, the United States has imposed sanctions against officials of Belorussia affecting their property interests in United States territory. Since August 2007, United States visa restrictions have been applied against several categories of officials. During the period 2004-2011, a number of unilateral restrictive measures of an economic nature were applied by the United States of America against major Belorussian enterprises, including Belneftexim, BelTekExport, Belorusneft and Integral. The decisions of the European Union and the United States of America as well as the countries supporting their unilateral coercive measures in the form of sanctions directly affect the interests of ordinary Belorussian citizens and their enjoyment of economic, social and other rights, including the right to development. Such measures also affect the activities of Belorussian civil society, including journalists. Courts are under pressure from sanctions, which is not acceptable from the standpoint of preserving the independence of the judiciary and upholding rights.",
"Belarus is obliged to draw the attention of the General Assembly and the Human Rights Council to the unilateral coercive measures applied by the European Union, the United States of America and other countries, in violation of, inter alia, General Assembly resolution 65/217 and Human Rights Council resolution 15/24 on “Human rights and unilateral coercive measures”. It recalls that according to the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations, and the relevant principles and provisions contained in the Charter of Economic Rights and Duties of States, proclaimed by the General Assembly in its resolution 3281 (XXIX) of 12 December 1974, in particular article 32 thereof, no State may use or encourage the use of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it, advantages of any kind.",
"The Republic of Belarus welcomes the continued attention of the General Assembly and the Human Rights Council to the question of the realization of human rights in the context of unilateral coercive measures and is convinced of the need to set up in the Council a special procedure on unilateral coercive measures and their impact on human rights. Belarus supports the request contained in Human Rights Council resolution 15/24 that the Office of the United Nations High Commissioner for Human Rights prepare a thematic study on the impact of unilateral coercive measures on the enjoyment of human rights, including recommendations on actions aimed at ending such measures.",
"Bosnia and Herzegovina",
"[Original: English]",
"[29 June 2011]",
"Bosnia and Herzegovina, as a sovereign, independent and internationally recognized country, is deeply convinced that no State should use or encourage other international actors to use economic, political or any other type of measures to coerce other States in order to make them subordinate to the State or to great power. Bosnia and Herzegovina takes this position because unilateral coercive measures are in direct contradiction to the standards of public international law and humanitarian law and therefore constitute a flagrant violation of international instruments signed and ratified by internationally recognized entities/member States of families of international organizations of the United Nations, the Council of Europe, the European Union and the like.",
"Human rights are interrelated and interdependent, and this means that they include as a fundamental human right the right to development through the support of free trade and the movement of people, goods, capital and services. The principle of free passage, or “laissez passer”, was conceived in the times of the French revolution and is built into the foundations of the European Union. Bosnia and Herzegovina believes that restricting the right to development through the use of unilateral coercive measures greatly jeopardizes the human rights enshrined, in the first place, in the European Convention on Human Rights and Fundamental Freedoms, the Universal Declaration of Human Rights and numerous international instruments that it has signed and ratified.",
"Interference with free trade takes place at the expense of vulnerable populations in developing countries, including children, adolescents, women and the elderly. Unfortunately, legislative, economic and political unilateral coercive measures continue to prevail worldwide, significantly influencing the social situation in developing countries and the full exercise of human rights. In the light of the above, Bosnia and Herzegovina is of the view that it is necessary to raise public awareness of the negative impact of unilateral coercive measures and the importance of respecting the standards and principles of both public and private international law in order to create friendly relations between countries and promote and protect human rights.",
"Bosnia and Herzegovina strongly supports the implementation of the Declaration on the Right to Development and invokes the principle under the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights that no person shall be deprived of their own means of subsistence. Unilateral coercive measures are one-sided means of political force that directly conflict with the ideals of democratic States.",
"Burkina Faso",
"[Original: French]",
"[20 July 2011]",
"Burkina Faso supports General Assembly resolution 65/217 on “Human rights and unilateral coercive measures” and other documents adopted within the framework of other international bodies to prohibit the adoption of unilateral coercive measures by States. This includes Human Rights Council resolution 15/24 and previous resolutions of the General Assembly and the Human Rights Council on “Human rights and unilateral coercive measures”; the Final Document of the Fourteenth Conference of Heads of State and Government of the Non-Aligned Movement held in Havana in September 2006 and the recommendations of the World Conference on Human Rights held in Vienna in 1993, which all require that States refrain from the use of unilateral measures inconsistent with international law and the Charter of the United Nations.",
"Burkina Faso remains convinced that to preserve peace and security, States must necessarily seek to promote them through friendly and cooperative relations, based on the principle of equality among nations and their right to self-determination. The development of such relations requires that States refrain from adopting or executing unilateral coercive measures contrary to international law, including through recourse to war, militarism and negative economic and trade measures imposed unilaterally. These unilateral coercive measures are contrary to the fundamental principles of the Charter of the United Nations, the Charter of the African Union, and many other international legal instruments.",
"Compliance with the rules and principles established by international law, including humanitarian law, are the only means to establish international relations that are peaceful and respectful of human rights. State sovereignty and non‑intervention in the internal affairs of other States are fundamental principles embodied in the Charter of the United Nations which should guide relations among States. In the view of Burkina Faso, in the current international context marked by divergence of State interests, but also by the development of multilateral frameworks for dialogue between States, the challenges in international relations must necessarily be addressed within these frameworks. The mechanisms established under the United Nations, including the Security Council, and other international and regional multilateral organizations are the only legitimate authorities to decide on appropriate measures to safeguard security and to encourage a State to comply with international standards. All coercive measures adopted unilaterally by one State against another, regardless of the purpose, are contrary to international law and should therefore be prohibited.",
"The resort to direct or indirect war or armed force by one State against another always causes disastrous effects, for both human rights and the development of nations. All States should seek at all costs to resolve their differences through the mechanisms of peaceful resolution of disputes recognized by international law. As a peace-loving country, Burkina Faso has always tried to promote healthy relationships and friendships with other States. It is this spirit of peace that led to the active involvement of the Head of State of Burkina Faso in conflict resolution in the subregion, including in Côte d’Ivoire and Togo.",
"Burkina Faso, as a Member State of the United Nations, the African Union and many other international and regional organizations, attaches great importance to multilateralism in international relations, as is evidenced by its active participation in various regional and international frameworks. Burkina Faso is a member of the Human Rights Council. The multilateral frameworks are appropriate and legitimate for the resolution of challenges encountered in inter-State relations and issues that may threaten international peace and security. Burkina Faso upholds the rule of law and is committed to the principle of equality, both nationally and internationally. In accordance with the standards and principles of international law, Burkina Faso has not adopted unilateral coercive measures against any other State.",
"From the perspective of the law in Burkina Faso, international standards have primacy over internal legislative and administrative measures. Under Article 151 of the Constitution of Burkina Faso, its international obligations, particularly in the context of agreements duly ratified, supersede national laws. Therefore, measures that are contrary to the Charter of the United Nations and the international standards and principles to which Burkina Faso has agreed are prohibited by law. The authorities of Burkina Faso, committed to the core values that guide international relations, are willing to cooperate with other States and international bodies for the development of friendly relations and cooperation in the world.",
"Cuba",
"[Original: Spanish]",
"[26 May 2011]",
"Cuba points out that numerous resolutions of the General Assembly, the Human Rights Council and the former Commission on Human Rights, as well as political declarations approved at major international summits and conferences of the United Nations, have ruled that the application of unilateral coercive economic measures is a violation of the Charter of the United Nations and of international law. The implementation of unilateral coercive measures as an instrument of political and economic coercion threatens the enjoyment of all human rights, beginning with the right to life, as well as the independence, sovereignty and right to self-determination of peoples. The main victims of those measures are the people of the countries against which they are applied, especially the most vulnerable groups — children, women, the elderly and persons with disabilities.",
"Cuba recalls that the General Assembly decided in 1970 that no State may use or encourage the use of economic, political or any other measures to coerce another State in order to obtain the subordination of the exercise of its sovereign rights or to obtain from it advantages of any kind. This was endorsed by the Declaration on the Principles of International Law concerning Friendly Relations and Cooperation between States.",
"Cuba indicates that it has been a victim for over 50 years of the application of unilateral coercive measures and that it therefore attaches particular importance to the consideration of this matter by the Human Rights Council and the General Assembly. Cuba believes that the application of such measures has been a fundamental instrument of a policy of hostility and aggression of the United States of America against Cuba, seeking to destroy the political, economic and social system established by the sovereign will of the Cuban people. Cuba believes that the economic, commercial and financial embargo imposed by the United States against Cuba is the “longest and most cruel system of unilateral sanctions which has been applied against any country or witnessed by the history of humankind”. The purpose of the economic, commercial and financial embargo was the destruction of the Cuban revolution, as laid down on 6 April 1960.",
"Cuba maintains that the embargo constitutes an essential component of a policy of State terrorism deployed against Cuba by successive American administrations which, in a systematic, cumulative and inhumane way, has affected all Cuban people, regardless of age, sex, race, religion or social status. The Cuban submission asserts that this policy qualifies as an act of genocide under subsection (c) of Article II of the Geneva Convention on the Prevention and Punishment of the Crime of Genocide of 9 December 1948.",
"Cuba refers to the so-called Torricelli Act of 1992 and the Helms-Burton Act of 1996, which, it says, contain provisions that are contrary to the Charter of the United Nations, in violation of international law and World Trade Organization agreements. Through these laws of markedly extraterritorial nature, the United States Government has strengthened and extended to third countries, their companies and citizens, the application of the economic, commercial and financial embargo imposed against Cuba for 50 years.",
"Cuba has observed that, in an effort to justify the blockade against Cuba and its people, the United States Department of State has included Cuba, without any grounds, in a list elaborated unilaterally of perpetrators of alleged violations of human rights, human trafficking, sex tourism, practices of terrorism, religious intolerance, etc.",
"Despite a media and diplomatic offensive by the United States Government and the adoption by it of some cosmetic measures, the embargo remains intact today and continues to be applied rigorously, with the political, administrative and repressive mechanisms for its implementation having been strengthened. There has been no action to dismantle the web of laws and administrative regulations/requirements that form the legal basis and regulations of the embargo. On 11 September 2009, the implementation of the embargo against Cuba was extended, based on “the national interest of the United States” and the 1917 Act of Trade with the Enemy, which applies only to situations of war and is valid only for Cuba. Sanctions apply to North American and European companies doing business with Cuba. This policy impedes exchanges of a scientific, cultural or touristic nature and promotes theft of trademarks and the freezing of millions of dollars of Cuban funds in the United States. More pressure is applied to subordinate relations with Cuba for the purposes of “regime change” and financial support is offered for actions aimed at overthrowing the constitutional order in Cuba.",
"Cuba notes that the application of the embargo is not a bilateral issue only between Cuba and the United States. Repeated extraterritorial application of United States laws and the persecution against the legitimate interests of businesses and citizens of third countries significantly affect the sovereignty of many other States as well. The damages caused by the extraterritorial nature of unilateral coercive measures are multiplied by the important participation of the United States and its enterprises in trade and transnational investment. The investments of both third-country companies in the United States and of North American companies abroad, mainly in the form of mergers and partial or full acquisitions of companies, exacerbate the extraterritorial effects of these measures, by reducing the external economic space of Cuba and make it more difficult, sometimes impossible, to find partners and suppliers to avoid the strict blockade imposed by the United States.",
"The Cuban submission states that, according to conservative estimates, the direct damage to Cuba resulting from the blockade until December 2009 exceeds tens of billions of dollars. Despite the approval of the most recent resolution of the General Assembly calling for the lifting of the economic, commercial and financial embargo against Cuba, adopted by an overwhelming majority of Member States on 28 October 2010, and notwithstanding the existence of 18 previous resolutions that include this just demand, the United States Government has continued to pursue this action against Cuba.",
"The Cuban submission also states that the United States Government has recruited mercenaries to carry out acts against Cuba. In 2009, the Office of Foreign Assets Control fined seven entities for violating the blockade against Cuba in the amount of $315,503. The sum of fines on individuals and entities amounted to $340,678. In the first half of 2010, fines imposed on companies amounted to $2,221,671. The Office of Foreign Assets Control applied other million dollar fines for trade not only with Cuba, but also with other countries under/by virtue of unilateral coercive measures. The entities of third countries subjected to fines included Credit Suisse Bank of Switzerland, Australia and New Zealand Bank Group Ltd. and the subsidiary in Sweden of the chemical company Innospec Inc. based in Delaware. In May 2009, the Office of Foreign Assets Control refused the request of the Banco Popular Español to release funds amounting to €107,770.95 blocked via a transfer from Madrid to Moscow, realized by Cubana de Aviación in December 2008.",
"The submission continues that, since the acquisition of the Lemery Company of Mexico by the Israeli transnational company Teva with United States capital, Cuba can no longer buy the cytostatic dactinomycin, the most useful drug in the treatment of sarcomas (malignant neoplasm). The use of this product would allow an increase in the survival rate of patients to over 70 per cent of all cases. Sensitive sectors, such as food, health, education and culture, have been among the main targets of this policy, which affects quality of life. The following are examples between May 2009 and April 2010. Cuba has no access to the medicine temozolamide (Temodar), specific cytostatic for use in central nervous system tumours (gliomas and astrocytomas). This affects approximately 250 patients annually, of which about 30 are children. The Pediatric Cardiology Centre “William Soler” is prevented from acquiring devices, such as catheters, coils, guides and stents, used for diagnosis and treatment by interventional catheterization for children with complex congenital heart disease. American companies are prohibited from selling these products to Cuba. Cuban children are denied the use of the American device Amplatzer made of special materials in order to avoid organic rejection/refusal. This device is used in open heart surgery, an intervention, in addition to being risky, that requires intensive care and recovery for three weeks. The Institute of Oncology and Radiobiology of Cuba is prevented from using plates of radioactive iodine in the treatment of retinoblastoma tumour (congenital tumour that grows on the retina) through inability to acquire these plates, which can be purchased only in the United States. In the absence of this technology, which is basically intended for children, the only alternative is the removal of the eye and, in some cases, the removal of both eyes, a medical method entailing serious limitations for life.",
"In the food industry, the import company Alimport was affected between May 2009 and April 2010 in the approximate amount of $102,900,000 by the concept of “risk country” in the form of banking and financial costs and costs for the modality of payment instruments. If Cuba had these funds at its disposal, it could have purchased 337,000 tons of wheat, 451,000 tons of maize and 109,000 tons of chicken at 2008 average prices. In the field of education, Cuba has been prevented from acquiring the necessary equipment for 60 therapeutic classrooms for children with motor disabilities since it does not have access to the United States market and has to resort to markets that are more distant and more expensive. The cost of these classrooms is around €14,000 on the European market, but in the United States does not exceed $8,000 dollars.",
"According to the submission, from May 2008 to May 2010, the total amount of Cuban imports in this sector fell to $18,200,000, of which 10 per cent was spent on freight. If Cuba had access to the United States market, it would have had to devote only 3.7 per cent to pay the freight, so it would have been able to buy offset paper for the printing of all textbooks needed for education (primary, secondary, etc.), all tracing toolkits for teaching mathematics in elementary schools and special education, and 150,000 sets of acrylic board markers for educational purposes around the country in the school year.",
"Cuba notes that, in the cultural arena, a bilateral agreement was signed in 2002 with the National Social Sciences Research Council of the United States of America, which would support the project for conservation of the house-museum of Ernest Hemingway and supply materials for the scanning of correspondence and documents from the Hemingway collection. However, the Treasury Department did not authorize the transfer to Cuba of the funding necessary to implement this project. These are illustrative examples of laws, regulations and practices that support the embargo and that have remained in force, reinforcing the political, administrative and repressive mechanisms for its effective and deliberate implementation.",
"The requirement to respect international law applies equally to everyone. Cuba states that it is unacceptable that the Government of the United States of America continues to maintain the embargo, which worsens the living conditions of the Cuban people, and ignores the fact that the international community has been calling for an end to the blockade against Cuba for 19 years in successive resolutions of the General Assembly, while it simultaneously condemns the application of unilateral coercive measures in the Assembly and several of its subsidiary organs.",
"The application of this policy of blockade continues to be the main obstacle to the economic and social development of Cuba and constitutes a flagrant, massive and systematic violation of human rights and a transgression of the right to peace, and the development and the security of a sovereign State. The continued support of the international community and its strong pronouncement against the application of such measures has been an important tool in the struggle of the Cuban people. It is important that the international community increase the political pressure on the United States Government, calling for an end to this inhumane and obsolete policy, according to the Cuban submission.",
"Dominican Republic",
"[Original: Spanish] [27 June 2011]",
"General Assembly resolution 65/217 seeks to reaffirm the principles and provisions enshrined in the Charter of the United Nations, previous resolutions of the Human Rights Council and the Commission on Human Rights, as well as norms of international humanitarian law, which establish that unilateral coercive measures and laws applied by a State generate negative consequences, including extraterritorial effects for social and humanitarian activities, as well as for the economic and social development of developing countries. This resolution is a response to multiple calls from Member States of the United Nations with regard to the serious damage that unilateral coercive measures applied by States on other States generate on populations, particularly children, women, the elderly and persons with disabilities, in the Latin American region. The reports presented by Cuba, Mexico and Venezuela are particularly relevant.",
"The Charter of the United Nations, in force since 24 October 1945, in particular, Article 10, states that “the General Assembly may discuss any questions or any matters within the scope of the present Charter or relating to the powers and functions of any organs provided for in the present Charter and, except as provided in Article 12, may make recommendations to the Members of the United Nations or to the Security Council or to both on any such questions or matters”. The Dominican Republic, as a Member State of the United Nations, does not underestimate the role of the said institution in the overall process of the formation and development of international law.",
"The commitment of the Dominican Republic to the international community is enshrined in the Constitution of 26 January 2010, in its Article 26, paragraphs 3 and 4, which state: “the international relations of the Dominican Republic are founded and governed by the affirmation and promotion of its national values and interests, the respect for human rights and international law”. “On an equal footing with other States, the Dominican Republic accepts an international legal order that ensures respect for fundamental rights to peace, justice, and the political, social, economic and cultural development of nations. It commits to act at the international, regional and national levels in a manner consistent with national interests, peaceful coexistence among peoples and the duty of solidarity with all nations.”",
"Ecuador",
"[Original: Spanish] [6 July 2011]",
"As a sovereign State, Ecuador does not apply unilateral coercive measures which are contrary to international law, the United Nations Charter and the rules and principles that govern peaceful relations between countries and which could prevent the full achievement of the economic and social development of the population, in particular the development of children and women.",
"Ecuador does not adopt measures that could harm the well-being of its population and prevent it from enjoying human rights. On the contrary, Ecuador wants to implement measures to improve the living standards and the security level of the population, based on the principles and objectives established in the National Development Plan of Ecuador-National Plan for Well-being. The Government of Ecuador pays special attention to the right of each person to enjoy living standards that provide health and education and the right to food, health care, education and social services. Access to food and medication should not be used as a political tool.",
"Guatemala",
"[Original: Spanish] [8 June 2011]",
"The response of the Presidential Commission for Coordinating Executive Policy in the Field of Human Rights in Guatemala underlines that the State of Guatemala has duly complied with resolution 65/217 and has not adopted any unilateral coercive measures which would be contrary to international human rights law and the Charter of the United Nations, as well as the principles of a State struggling for the strengthening of democracy and for respect for human rights.",
"Guyana",
"[Original: English] [14 June 2011]",
"Guyana is both mindful of and agrees with the general considerations outlined in resolution 65/217, particularly article 32 of the Charter of Economic Rights and Duties of States, proclaimed by the General Assembly in its resolution 3281 (XXIX) of 1974, insofar as it condemns use by a State of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights. It shares in the position of the General Assembly that such unilateral coercive measures and legislation are contrary to international law, international humanitarian law and the Charter of the United Nations, which form part of general customary international law and the norms and principles governing peaceful relations among States. Guyana has no legislation or other forms of coercive measures which encourage the use of economic or political coercion. It joins in the condemnation of States which resort to such measures and urges them to effectively reverse such actions.",
"Guyana reaffirms its commitment to make good-faith efforts to fulfil its international obligations under international instruments to which it has acceded, including the Covenants on Civil and Political Rights and on Economic, Social and Cultural Rights. After the first free and fair elections in October 1992, following a long struggle for the restoration of democracy, Guyana has focused on the improved well-being and quality of life of its people, and its Parliament has enacted a series of statutes that specifically promote and protect the human rights of individuals as well as vulnerable groups of persons. Guyana, through its Executive, Legislature and Judiciary, collaborates to enhance the implementation of human rights treaties and recognizes the universal, indivisible, interdependent and interrelated character of all human rights.",
"With regard to the reference in the resolution to “reaffirming the right to development as an integral part of all human rights”, Guyana’s Constitution, Part 2, Title 1, “Protection of Fundamental Rights and Freedoms of the Individual”, Article 149C, states that “no person shall be hindered in the enjoyment of participating through cooperatives, trade unions, civic or socio-economic organizations of a national character, in the management and decision-making processes of the State”. Article 14 of the Constitution states that “the goal of economic development includes the objective of creating, promoting and encouraging an economic system capable of achieving and maintaining sustainable competitive advantage in the context of a global competitive environment, by fostering entrepreneurship, individual and group initiative and creativity, and strategic alliances with domestic and global business partners”. Guyana shares in the concern about the negative impact of unilateral coercive measures on international relations, trade, investment and cooperation.",
"As a member of the Caribbean Community (CARICOM), Guyana supports regional integration and consequently the establishment of a Caribbean Single Market and Economy. As a member of the Union of South American Nations (UNASUR) and the Organization of American States, Guyana takes seriously its obligations and commitments to these bodies. There exist claims on Guyana’s territory by two neighbouring countries — Suriname and Venezuela. Guyana chose to resolve the issue of its maritime boundaries with Suriname by utilizing the available remedies in the International Law of the Sea and the International Arbitral Tribunal, rather than through coercive measures. Guyana maintains good relations with both these countries and is committed to the United Nations good offices process with regard to the controversy with Venezuela. Guyana, although a small developing country, has reached out to assist States that have faced natural disasters, like Grenada, Haiti, Japan, Saint Vincent, Saint Lucia and Venezuela.",
"Guyana is gravely concerned about the situation of children who are the main victims of unilateral coercive measures. It recognizes that every child has a right to grow to adulthood in health, peace and dignity and, to this end, has undertaken efforts to ensure the rights of children to health, nutrition, education, and social and emotional development. Similarly, in keeping with the Convention on the Elimination of All Forms of Discrimination against Women and other international standards, Guyana has developed comprehensive constitutional and legislative provisions and policies to promote and protect women’s rights. These reforms are important to prohibit the persistence of unilateral coercive measures which have negative implications for social and humanitarian activities and economic and social development of developing countries like Guyana. Guyana remains committed to eradicating all forms of unilateral coercive measures which create obstacles to both development and human rights.",
"With reference to paragraph 2 of the resolution concerning the right to “food, medical care and education”, Guyana places emphasis on the right to food and has taken positive measures to eliminate hunger and promote food security. Guyana ensures that health-care delivery is based on equity and accountability. Its education policy ensures that all citizens, regardless of race, age, creed, physical or mental disability, have opportunities to achieve their full potential through equal access to quality education within available resources. The provision of necessary social services, such as food, medical care, education and social safety nets, “are not used as tools for political pressure”.",
"Guyana is both mindful of and agrees with the principle of self-determination alluded to in paragraphs 4 and 7 of resolution 65/217, under which nations have the right to freely choose their sovereignty and international political status with no external compulsion or interference. Consequently, it shares in the condemnation and rejection of unilateral coercive measures adopted by any State, multilateral or international developmental agency. Guyana reiterates that unilateral coercive measures constitute a major obstacle to the full realization of human rights, development of societies, security and peaceful resolution of conflicts at the regional and global levels.",
"Iraq",
"[Original: Arabic] [22 July 2011]",
"The Republic of Iraq fully supports General Assembly resolution 65/217 and reiterates the need for all States to refrain from unilateral coercive measures. Despite several resolutions on this issue, States still resort to the use of such arbitrary measures. Iraq condemns the use of arbitrary, extraterritorial, unilateral measures used to exert political pressure on other States. Such measures have a negative impact on human rights, including the basic right to food, health and development. Iraq stresses the importance of practical and preventive measures in the face of unilateral coercive measures.",
"Kuwait",
"[Original: Arabic] [24 June 2011]",
"Human rights are enshrined in the Universal Declaration of Human Rights and several other international instruments and are also contained in the majority of national constitutions. They apply to relations between States and individuals and are also of importance to relations between States. All human rights must be upheld without exception or selection. Kuwait supports all efforts by the Office of the United Nations High Commissioner for Human Rights towards the rejection and elimination of unilateral coercive measures. Such measures are used to exert political pressure and pose obstacles to international relations and trade. Kuwait supports the implementation of General Assembly resolution 65/217 and extends its support and cooperation in this regard. It is important not to politicize the legal issues involved in its implementation. It is necessary to study the issue of human rights and unilateral coercive measures and to do a comprehensive and complete assessment of United Nations resolutions on this subject, including obstacles facing the achievement of the objectives of these resolutions.",
"Kuwait refuses to adopt any legislative, administrative or economic measures of a coercive nature or measures that obstruct the economic and cultural development of other States in order to force them to adopt certain policies. Unilateral coercive measures have negative effects on the populations of developing countries and development as laid out in the Declaration on the Right to Development. They impede the full enjoyment of all human rights, including the most elementary rights to food and medical care. Kuwait supports the decisions of the General Assembly in relation to the Right to Development and rejects the imposition of unilateral coercive measures which impede this right.",
"Kuwait continues in its approach to international development assistance and support to more than 100 developing countries and least developed countries, for instance through the Kuwait Development Fund, and also through its work for sustainable development at the national level. Kuwait believes in the importance of development and its relationship to human rights and finds this to be an area to connect individuals and communities.",
"III. Analysis and conclusions",
"3. With regard to General Assembly resolution 65/217, a total of 11 Member States submitted their views on human rights and unilateral coercive measures. Collectively, all States which responded were unequivocal in their objection to the use of unilateral coercive measures.",
"4. Respondent States rejected the use of unilateral coercive measures by any State, multilateral or international development agency. Such measures were viewed as violations of human rights and as obstacles to the full realization of human rights, development of societies, peace and security, and resolution of disputes and conflicts. Several States also stated that they do not resort to such measures as a matter of principle.",
"5. Most respondents referred to the principles of international law which include the obligation of States to refrain from adopting or applying unilateral measures that are contrary to the Charter of the United Nations and public international law. Such measures were said to contravene the ideals of democratic States and the basic principles of State sovereignty, independence, sovereign equality, self-determination and non-intervention in internal affairs. Unilateral coercive measures involve both private and public international law, including international humanitarian law, and therefore constitute a violation of several international as well as regional instruments. Relevant instruments cited by States include the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations, and the Charter of Economic Rights and Duties of States (under which no State may use or encourage the use of economic, political or any other type of measure to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind).",
"6. States recalled that under the International Covenants on Civil and Political Rights and Economic, Social and Cultural Rights, no person can be deprived of his/her own means of subsistence. Several States also reaffirmed their support for the implementation of the Declaration on the Right to Development. It was noted that the use of unilateral coercive measures with extraterritorial effects seriously affects trade and economic cooperation and has a negative impact on the free movement of capital and the freedom of trade, which in turn constitute obstacles to realization of the right to development of persons living in affected countries.",
"7. Respondents referred to different forms of sanctions of an economic, commercial and financial nature. They include: trade embargoes; restrictions on finance and funding, property, intellectual property, visas and travel; and interference with exchanges of a scientific, cultural or touristic nature. Extraterritorial application of laws and interference with interests of businesses and citizens of third countries are also involved, especially in the areas of trade and investment.",
"8. States observed that unilateral legislative, economic and political unilateral coercive measures continue to prevail worldwide, with far-reaching negative implications for countries against which such measures are adopted, and more broadly, on human rights and development in developing countries. The main victims are said to be the people of the countries against which these measures apply, especially the most vulnerable — children, women, the elderly and persons with disabilities. Realities on the ground in affected countries included extreme hardships, denial of access to life-saving medication, especially paediatric medicines, basic food products, educational facilities and cultural amenities. The adoption of such coercive measures has a direct impact on the enjoyment of fundamental human rights.",
"9. Several States reaffirmed the indivisible, universal, interrelated and interdependent nature of all human rights and the close relationship of this recognition to the maintenance of peaceful relations between States. States reiterated their belief in the relationship between development and human rights, as well as peace. To preserve international peace and security, all States must promote them through friendly and cooperative relations based on the principle of equality between nations and their right to self-determination. In view of the current international context marked by divergence of State interests, and also by the development of multilateral frameworks and multilateralism for dialogue between States, challenges in international relations must be addressed within the multilateral setting. It was stated that the mechanisms established under the United Nations, including the Security Council, and other international and regional multilateral organizations are the only legitimate authorities to decide on appropriate measures to safeguard security and to encourage a State to comply with international standards.",
"10. By way of practical and preventive steps in the face of unilateral coercive measures, some States expressed the view that it is necessary to raise public awareness of the negative impact of unilateral coercive measures and the importance of respecting standards and principles of both public and private international law in order to create friendly relations between countries, and to promote and protect human rights. States cited national constitutional and legislative provisions, including those which upheld the values of peaceful coexistence among peoples and the duty of solidarity with all nations.",
"11. Some States have enacted legislation providing that any foreign law that limits or prevents free trade and free movement of capital, goods or people, directly or indirectly, adversely affecting any country or group of countries, will not be applicable and will not have any legal effect within their territories. States also gave examples of legal provisions stating that foreign laws intended to generate extraterritorial legal effects by imposing economic sanctions, or by limiting investments in another country, with the objective of changing its government will not have any legal effect within their territories.",
"12. References were made to internal measures adopted to uphold human rights and advance social and economic development both within territories and beyond, also restating the belief that access to basic necessities should be open to all, and that access to food, health care and education should under no circumstances be used as political tools, whether within States or in the broader international community. States provided illustrative examples of policies and actions adopted to promote human rights and development, both for their own populations and by way of international assistance and cooperation, especially for the benefit of people in developing countries.",
"13. One State suggested the establishment of a Human Rights Council special procedure on unilateral coercive measures and their impact on human rights, and explicitly supported the request contained in Human Rights Council resolution 15/24 that the Office of the United Nations High Commissioner for Human Rights prepare a thematic study on human rights and unilateral coercive measures, including recommendations on actions aimed at ending such measures. Some States welcomed the continued attention of the General Assembly and the Human Rights Council to the issue of human rights and unilateral coercive measures."
] | A_66_272 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda*",
"Human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"Human rights and unilateral coercive measures",
"Report of the Secretary-General",
"The present report is submitted pursuant to General Assembly resolution 65/217. In that resolution, the Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session. The Office of the United Nations High Commissioner for Human Rights has received replies to a note verbale sent by the Office from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, the Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait. The present report contains a summary of all replies received and analyses their content.",
"Contents",
"2. Information received from Member States",
"Introduction",
"1. In paragraph 15 of its resolution 65/217, the General Assembly requested the Secretary-General to bring the resolution to the attention of all Member States, to continue to collect their views and information on the implications and negative effects of unilateral coercive measures on their populations and to submit an analytical report thereon to the Assembly at its sixty-sixth session, while reiterating once again the need to highlight the practical and preventive measures in that regard.",
"2. On 5 May 2011, pursuant to paragraph 15 of resolution 65/217, the Office of the United Nations High Commissioner for Human Rights sent a request for information to all permanent missions to the United Nations Office at Geneva. As at 25 July 2011, the Office had received replies from the Governments of Argentina, Belarus, Bosnia and Herzegovina, Burkina Faso, Cuba, the Dominican Republic, Ecuador, Guatemala, Guyana, Iraq and Kuwait.",
"II. Information received from Member States",
"Argentina",
"[Original: Spanish]",
"[1 July 2011]",
"The Argentine Republic has consistently supported the resolutions of the General Assembly and the Human Rights Council on human rights and unilateral coercive measures. Support was also expressed for General Assembly resolution 55/6 on the elimination of the use of unilateral measures as a means of political and economic coercion.",
"Argentina ' s position is based on the obligation of all States to refrain from the use or application of unilateral measures contrary to international law or the Charter of the United Nations. It is also based on the Charter of Economic Rights and Duties of States contained in the annex to General Assembly resolution 2625 (XXV) and General Assembly resolution 3281 (XXIX). The use of unilateral extraterritorial coercive measures seriously affected trade and cooperation and had a negative impact on the free movement of capital and the freedom of trade. Argentina considers that the use of coercive measures deprives people of access to basic health care and food, impedes the enjoyment of fundamental human rights and cannot be violated on grounds of national security interests.",
"Argentine Act No. 24,871 provides that any foreign law that directly or indirectly restricts or impedes free trade, restricts or impedes the free movement of capital, goods or persons and adversely affects any country or group of countries shall not apply in Argentina and shall have no legal effect. Article 1 of the Act provides that foreign laws, which are designed to impose extraterritorial legal effects by means of economic sanctions or restrictions on investment in another country, such as changes of government, shall have no legal effect in the territory of the Argentine Republic. Argentina reaffirms the indivisibility, universality and interdependence of all human rights.",
"Belarus",
"[Original: Russian]",
"[23 June 2011]",
"The reply of the Republic of Belarus refers to the continued application of political and economic restrictive measures by the EU and the United States against Belarus. In 2011, the Council of Europe imposed visa and economic sanctions on several officials of the Republic of Belarus on the grounds that the presidential elections of 19 December 2010 had been false and had subsequently resulted in widespread persecution of members of the democratic opposition, civil society and independent mass media. As at 20 June 2011, the number of Belarusian citizens subject to travel restrictions on the territory of member States of the European Union had reached 190. In addition, the European Union has imposed economic sanctions on three Belarusian enterprises, Beltekexporta, BT-Telekommunikazi and Sport-pari. Albania, Bosnia and Herzegovina, Croatia, Iceland, Liechtenstein, the former Yugoslav Republic of Macedonia, Montenegro, Norway and Serbia also joined the European Union in imposing sanctions on Belarus.",
"Since June 2006, United States sanctions against Belarusian officials have affected their property interests in the United States. Since August 2007, the United States has imposed visa restrictions on several categories of officials. In 2004-2011, the United States imposed unilateral restrictive economic measures on large Belarusian enterprises, including “Belneftexim”, “BelTekExport”, “Belorusneft” and “Integral”. The decisions of the European Union, the United States and the countries that supported the imposition of unilateral coercive measures in the form of sanctions directly affected the interests of ordinary Belarusian citizens and their enjoyment of economic, social and other rights, including the right to development. Such measures also affected the activities of Belarusian civil society, including journalists. The Court was under pressure by sanctions, which were unacceptable from the standpoint of upholding judicial independence and rights.",
"Belarus is under an obligation to remind the General Assembly and the Human Rights Council that the unilateral coercive measures imposed by the European Union, the United States and other States violate General Assembly resolution 65/217 and Human Rights Council resolution 15/24 on “Human rights and unilateral coercive measures”. The resolution recalled that, according to the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations and the relevant principles and provisions of the Charter of Economic Rights and Duties of States proclaimed by the General Assembly in its resolution 3281 (XXIX) of 12 December 1974, in particular article 32, no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind.",
"The Republic of Belarus welcomes the continued attention paid by the General Assembly and the Human Rights Council to the question of the realization of all human rights in the context of unilateral coercive measures and considers it necessary to establish within the Council a special procedure on unilateral coercive measures and their impact on human rights. Belarus supported the request made by the Human Rights Council in its resolution 15/24 to the Office of the United Nations High Commissioner for Human Rights to prepare a thematic study on the impact of unilateral coercive measures on the enjoyment of human rights, including recommendations for action aimed at ending such measures.",
"Bosnia and Herzegovina",
"[Original: English]",
"[29 June 2011]",
"As an internationally recognized, independent and sovereign State, Bosnia and Herzegovina firmly believes that no State may use or encourage the use of economic, political or any other type of measures to coerce another State into subjugating it to one or more States in the exercise of its sovereign rights. Bosnia and Herzegovina takes this position because unilateral coercive measures are in direct contravention of the standards of public international law and humanitarian law and thus constitute a flagrant violation of the international instruments signed and adopted by the States members of the family of internationally recognized entities, the United Nations Council of Europe and the European Union.",
"Human rights are interlinked and interdependent, which means that they include the promotion of the right to development as a fundamental human right, including through support for free trade and the movement of people, goods, capital and services. The principle of free passage or “passport” envisaged in the era of the French revolution has become the foundation of the European Union. Bosnia and Herzegovina believes that the limitation of the right to development through the use of unilateral coercive measures is, first and foremost, a significant impairment of the human rights enshrined in the European Convention on Human Rights and Fundamental Freedoms, the Universal Declaration of Human Rights and the many international instruments signed and ratified.",
"Interference in free trade harms vulnerable groups in developing countries, including children, adolescents, women and the elderly. It was regrettable that unilateral legislative, economic and political coercive measures continued to prevail throughout the world, seriously affecting the social situation of developing countries and the full exercise of human rights. In view of the above, Bosnia and Herzegovina believes that there is a need to increase public awareness of the negative impact of unilateral coercive measures and the importance of adhering to the standards and principles of public and private international law in order to establish friendly relations among States and to promote and protect human rights.",
"Bosnia and Herzegovina strongly supports the implementation of the Declaration on the Right to Development and the principle enshrined in the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights that no one shall be deprived of his or her means of subsistence. Unilateral coercive measures are a one-sided means of political power that directly contradict the will of democratic States.",
"Burkina Faso",
"[Original: French]",
"[20 July 2011]",
"Burkina Faso supports General Assembly resolution 65/217 on human rights and unilateral coercive measures and other documents adopted within the framework of other international bodies that prohibit the use of unilateral coercive measures by States. These include Human Rights Council resolution 15/24 and previous resolutions of the General Assembly and the Human Rights Council on “Human rights and unilateral coercive measures”, the Final Document of the Fourteenth Conference of Heads of State or Government of the Non-Aligned Movement, held in Havana in September 2006, and the recommendations adopted by the World Conference on Human Rights, held in Vienna in 1993, which call upon States not to use unilateral measures not in accordance with international law and the Charter of the United Nations.",
"Burkina Faso remains convinced that, in order to maintain peace and security, States must promote peace and security through friendly and cooperative relations, in accordance with the principle of equality and self-determination of States. The development of such relations requires States not to adopt or implement unilateral coercive measures contrary to international law, including through resort to war, militarism and the unilateral application of negative economic and trade measures. These unilateral coercive measures violate the fundamental principles of the Charter of the United Nations, the Charter of the African Union and many other international legal instruments.",
"Respect for the rules and principles established by international law, including humanitarian law, is the only way to establish peace and respect for human rights in international relations. State sovereignty and non-interference in the internal affairs of other States are fundamental principles enshrined in the Charter of the United Nations, which govern relations among States. Burkina Faso believes that the many challenges to international relations must be addressed in the current international context of divergent interests of States and the development of multilateral frameworks for dialogue among States. Mechanisms established under the United Nations, including the Security Council and other international and regional multilateral organizations, are the only legitimate body to decide on appropriate measures to maintain security and encourage States to comply with international standards. All coercive measures taken by one State against another, regardless of their purpose, are contrary to international law and should therefore be prohibited.",
"The direct or indirect war or resort to force by a State against another State often has disastrous consequences for the human rights and development of States. All States should strive to do their utmost to resolve their differences through the mechanisms for the peaceful settlement of disputes recognized by international law. As a peace-loving country, Burkina Faso has always endeavoured to promote healthy and friendly relations with other countries. It is this spirit of peace that has prompted the head of State of Burkina Faso to participate actively in conflict resolution in the subregion, including in Côte d'Ivoire and Togo.",
"Burkina Faso, a member of the United Nations, the African Union and many other international and regional organizations, attaches great importance to multilateral mechanisms in international relations, as evidenced by its active participation in various regional and international frameworks. Burkina Faso is also a member of the Human Rights Council. The multilateral framework is the appropriate and legitimate framework for addressing challenges to State-to-State relations and issues that may threaten international peace and security. Burkina Faso adheres to the rule of law and to the principle of equality at the national and international levels. In accordance with the standards and principles of international law, Burkina Faso has not applied unilateral coercive measures against any other State.",
"Burkina Faso considered that international standards took precedence over domestic legislation and administrative measures. In accordance with article 151 of the Constitution of Burkina Faso, its international obligations take precedence over domestic law, particularly in the context of the formal adoption of agreements. The law therefore prohibits the adoption of measures that are contrary to the Charter of the United Nations and to the international standards and principles endorsed by Burkina Faso. The authorities of Burkina Faso are committed to the core values that guide international relations and are ready to cooperate with other national and international bodies in order to promote friendly relations and strengthen cooperation in the world.",
"Cuba",
"[Original: Spanish]",
"[26 May 2011]",
"Cuba noted that numerous resolutions of the General Assembly, the Human Rights Council and the former Commission on Human Rights, as well as political declarations approved at major international summits and United Nations conferences, had ruled that the use of unilateral coercive economic measures violated the Charter of the United Nations and international law. The implementation of unilateral coercive measures as a means of political and economic coercion threatens the enjoyment of all human rights, first and foremost the right to life and the right of peoples to independence, sovereignty and self-determination. The main victims of these measures are the people of the receiving countries, especially the vulnerable — children, women, the elderly and the disabled.",
"Cuba recalled that in 1970 the General Assembly decided that no State should use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to obtain from it any advantages. This is supported by the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations.",
"Cuba stated that it had been a victim of unilateral coercive measures for more than 50 years and attached particular importance to the consideration of the issue by the Human Rights Council and the General Assembly. Cuba considers that the adoption of such measures is a fundamental means of the hostile policy and aggression of the United States against Cuba and seeks to undermine the political, economic and social system established by the sovereign will of the Cuban people. Cuba believes that the economic, commercial and financial embargo imposed by the United States against Cuba is “the longest and most brutal unilateral sanctions regime ever imposed by humanity or against any country”. The purpose of the economic, commercial and financial embargo is to undermine the Cuban revolution that fell on 6 April 1960.",
"Cuba maintains that the embargo is an essential part of the policy of State terrorism imposed on Cuba by the United States authorities in a systematic, prolonged and inhumane manner, affecting all Cubans, regardless of age, sex, race, religion or social status. Cuba ' s submission asserts that this policy is sufficient to cover acts of genocide under article 2 (c) of the Geneva Convention on the Prevention and Punishment of the Crime of Genocide of 9 December 1948.",
"Cuba referred to the so-called Torricelli Act of 1992 and the Helms-Burton Act of 1996, which contained provisions that violated the Charter of the United Nations, international law and World Trade Organization agreements. Through these clearly extraterritorial laws, the United States Government has tightened the embargo and extended it to third countries, their enterprises and their citizens, imposing an economic, commercial and financial embargo on Cuba for 50 years.",
"Cuba believes that, while trying to justify the embargo against Cuba and its people, the United States Department of State has included Cuba, without any reason whatsoever, in a single detailed list of alleged perpetrators of human rights violations, human trafficking, sex tourism, terrorist acts and religious intolerance.",
"In addition to aggressive media and diplomatic measures and some decorative measures, the Government of the United States currently maintains the embargo and continues to enforce it strictly, and has strengthened political, administrative and coercive mechanisms to enforce it. No action has been taken by the United States to remove the legal and administrative regulations/requirements networks that form the legal basis of the embargo. On 11 September 2009, the United States renewed the embargo against Cuba on the basis of “the national interest of the United States” and the Trading with the Enemy Act of 1917, which applies only to war situations and has legal force only against Cuba. The sanctions apply to North American and European companies that trade with Cuba. This policy hinders exchanges of a scientific, cultural or tourist nature and promotes the theft of trademarks, resulting in the freezing of millions of dollars of Cuban funds in the United States. Increased pressure is being exerted on those who are affiliated with Cuba with the aim of “regime change” and financial support for actions aimed at overthrowing the constitutional order of Cuba.",
"Cuba notes that the imposition of the embargo is not just a bilateral issue between Cuba and the United States. The repeated extraterritorial application of United States law and the violation of the legitimate rights and interests of third-country enterprises and citizens also seriously affected the sovereignty of many other States. The damage caused by unilateral extraterritorial coercive measures is exacerbated by the strong involvement of the United States and its enterprises in trade and transnational investment. Investments in the United States by third-country and offshore North American companies are mainly in the form of mergers, partial or total acquisitions, which exacerbates the extraterritorial effects of these measures and reduces the external economic space of Cuba, making it more difficult and sometimes impossible for Cuba to find partners and suppliers to circumvent the strict embargo imposed by the United States.",
"According to Cuba ' s submission, according to conservative estimates, the direct losses to Cuba as a result of the embargo exceeded billions of dollars by December 2009. Despite the adoption by an overwhelming majority of Member States on 28 October 2010 of the most recent resolution approved by the General Assembly calling for the lifting of the economic, commercial and financial embargo against Cuba, and despite the 18 previous resolutions, including this resolution, which called for its lifting, the United States Government continues to impose the embargo against Cuba.",
"Cuba's submission also indicates that the United States Government has recruited mercenaries to carry out operations against Cuba. In 2009, OFAC imposed a fine of $315,503 on seven entities violating the embargo on Cuba. The total fine imposed on individuals and entities was $340,678. In the first half of 2010, fines imposed on companies amounted to $2,221,671. OFAC not only imposes other millions of dollars in fines on those who trade with Cuba, but also on those who trade with other countries under unilateral coercive measures. Third country entities that have been fined include the Swiss Credit Bank, Bank Australia and New Zealand Group Ltd. and the Swedish subsidiary of Innospec Inc. in Delaware. In May 2009, OFAC rejected a request by Banco Popular Español for the release of an amount of Euro107,770.95 from the blockade, which was operated by Cubana de Aviación in December 2008 by means of a transfer from Madrid to Mexico.",
"The submission goes on to state that, since the acquisition of Lemery, Mexico, by the United States-funded Israeli multinational company Tiva Pharmaceutical Industries Ltd., Cuba could no longer purchase the more common drug cytostatics used to treat tumours (negative tumours) and to treat them. The use of this product will increase the survival rate of patients in all cases by more than 70 per cent. Sensitive areas such as food, health, education and culture are the main objectives of this policy, which affects the quality of life. The following is an example of the period from May 2009 to April 2010: Cuba does not have access to a drug for methamine (an anti-cancer drug), which is a cytostatic agent specifically designed to treat tumours in the central nervous system (neogel and star cell tumors). The disease affects approximately 250 patients annually, of whom about 30 are children. William Soler, a paediatric heart centre, is no longer able to purchase catheters, catheters, catheters and slabs for the diagnosis and treatment of children suffering from complex congenital heart disease using therapeutic catheters. United States companies are prohibited from selling these products to Cuba. Cuban children cannot avoid organic exclusion by using United States Aplatzer equipment made of special materials. This equipment is used for a heart-to-heart surgery, which is an intervention measure requiring, in addition to danger, intensive care and recovery for three weeks. Radio-iodine panels must be used for the treatment of retina tumours (preborn tumours on the retina), which are sold only in the United States and are not available to the Cuban Institute of Oncology and Radiobiology. The lack of this technology, which is essentially for children, is the only way to remove the eyes, sometimes with the result that life expectancy is significantly reduced.",
"In the food industry, the import company, the Cuban Food Import Company, was affected by the concept of “risk country” between May 2009 and April 2010 by an estimated $102,900,000, reflected in the cost of banking and financial costs and the means of payment. Cuba could have purchased 337,000 tons of wheat, 451,000 tons of maize and 109,000 tons of chicken if it had disposed of those funds on its own and at average prices in 2008. In the field of education, Cuba was unable to purchase the necessary equipment for 60 dispensaries for physically disabled children because it was unable to access the United States market and had to resort to more distant and expensive markets. The cost of these rooms on the European market is approximately Euro14,000, compared to $8,000 in the United States.",
"According to the submission, between May 2008 and May 2010, Cuba ' s total imports in this area fell to $18.2 million, of which 10 per cent was spent on freight. If Cuba enters the United States market, it will be able to purchase only 3.7 per cent of the freight cost, which will allow it to print all the teaching materials needed for education (primary and secondary schools, etc.), all the tracking tools for primary school and special education teaching methods, and 150,000 sets of acrylic acrylate pens for educational purposes throughout the country for a school year.",
"Cuba noted that, in the area of culture, an agreement was signed in 2002 with the National Research Council of the United States, which supports the project for the protection of the Hemingway Inn Museum and provides information to view communications and documents in the Hemingway Collection. However, the Ministry of Finance has not authorized the transfer to Cuba of the necessary funds to implement the project. These are examples of laws, regulations and practices that support the embargo and remain in force, and the United States has strengthened its political, administrative and repressive mechanisms for its effective and effective implementation.",
"The requirement of compliance with international law applies equally to all. Cuba expresses the view that the continued maintenance of the embargo by the United States Government is unacceptable, which aggravates the living conditions of the Cuban people and disregards the fact that the international community, through successive resolutions adopted by the General Assembly of the United Nations, has consistently called for an end to the 19-year-old embargo against Cuba, while the Assembly and several of its subsidiary bodies have condemned the unilateral coercive measures.",
"The pursuit by the United States of its policy of embargo remains the main obstacle to the economic and social development of Cuba, which constitutes a massive and systematic violation of human rights and a violation of the right to peace, development and security of sovereign States. The continued support of the international community and its strong condemnation of the adoption of such measures are an important tool for the struggle of the Cuban people. According to Cuba ' s submission, there is a need for the international community to increase its pressure on the United States Government to put an end to this inhuman and anachronistic policy.",
"Dominican Republic",
"[Original: Spanish]",
"[27 June 2011]",
"The General Assembly, in its resolution 65/217, sought to reaffirm the principles and provisions enshrined in the Charter of the United Nations, previous resolutions of the Human Rights Council and the Commission on Human Rights and the norms of international humanitarian law, which confirmed that unilateral coercive measures and laws applied by a State could have a negative impact, including extraterritorial effects on social and humanitarian activities and on the economic and social development of developing countries. The resolution is a response to the multilateral appeal of States Members of the United Nations for serious damage caused by the application of unilateral coercive measures by some States against other States, in particular children, women, the elderly and persons with disabilities in the Latin American region. The reports submitted by Cuba, Mexico and Venezuela are of particular relevance.",
"The Charter of the United Nations, which entered into force on 24 October 1945, in particular Article 10, provides that “the General Assembly may discuss any question or any matter within the scope of or relating to the functions and powers of the organs provided for in the present Charter and may make recommendations to the Members of the United Nations or the Security Council or both, except as provided in Article 12, on any such question or matter”. As a Member of the United Nations, the Dominican Republic does not underestimate the role of the United Nations in the entire process of the formation and development of international law.",
"The Dominican Republic's commitment to the international community is contained in article 26, paragraphs 3 and 4, of its Constitution of 26 January 2010, which states: “The affirmation and promotion of the values and interests of the State and respect for human rights and international law are the cornerstone and guide of international relations in the Dominican Republic”. “The Dominican Republic accepts, on an equal footing with other countries, an international legal order that ensures respect for the fundamental rights to peace, justice and the political, social, economic and cultural development of nations. The Dominican Republic is committed to achieving peaceful coexistence among peoples at the international, regional and national levels, in accordance with national interests, and to fulfilling its duty to unite all nations.”",
"Ecuador",
"[Original: Spanish]",
"[6 July 2011]",
"As a sovereign State, Ecuador will not resort to unilateral coercive measures because they violate international law, the Charter of the United Nations and the rules and principles that affect peaceful relations among States and impede the full realization of the economic and social development of peoples, in particular children and women.",
"Ecuador does not apply measures that undermine the well-being of its people and impede their enjoyment of their human rights. On the contrary, Ecuador would like to see measures taken to improve the standard of living and security of the population, in accordance with the principles and objectives of Ecuador's national development plan, the National Welfare Plan. His Government paid particular attention to the right of everyone to a standard of living that provided health care and education and to food, health, education and social services. Access to food and medicines should not be used as a political tool.",
"Guatemala",
"[Original: Spanish]",
"[8 June 2011]",
"In its response, the Presidential Commission for the Coordinated Implementation of Policy in the Field of Human Rights of Guatemala emphasized that Guatemala had duly complied with resolution 65/217 and had not taken any unilateral coercive measures, which were contrary to international human rights law and the Charter of the United Nations and to the principles on which Guatemala sought to promote democracy and respect for human rights.",
"Guyana",
"[Original: English]",
"[14 June 2011]",
"Guyana notes and shares the general considerations set out in resolution 65/217, in particular the provision contained in article 32 of the Charter of Economic Rights and Duties of States proclaimed by the General Assembly in its resolution 3281 (XXIX) of 1974, that no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind. Guyana shares the position of the General Assembly that these unilateral coercive measures and legislation violate international law, international humanitarian law and the Charter of the United Nations as part of general customary international law and the standards and principles governing peaceful relations among States. Guyana does not have legislation or other forms of coercive measures that encourage the use of economic or political repression. Guyana also condemns those States that have resorted to such measures and urges them to effectively reverse such actions.",
"Guyana reiterates its commitment to work in good faith to meet its international obligations under the international instruments to which it is a party, including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights. Following the first free and fair elections in October 1992, and after a long struggle for democratic renewal, Guyana had focused on improving the well-being and quality of life of its people, and its Parliament had enacted a series of laws that explicitly promoted and protected the human rights of individuals and vulnerable groups. Guyana ' s executive, legislative and judicial bodies cooperate to promote the implementation of human rights treaties, recognizing that all human rights are universal, indivisible, interdependent and interrelated.",
"With regard to the reference in the resolution to “reaffirming the right to development as an integral part of all human rights”, title 1 of Part 2 of the Constitution of Guyana, “Protection of the fundamental rights and freedoms of the individual”, and article 149C, states that “no one shall be prevented from participating in the administration and decision-making of the State through cooperatives, trade unions, citizens of a state nature or socio-economic organizations”. Article 14 of the Constitution states that “the objectives of economic development include the creation, promotion and encouragement, in a global competitive environment, of an economic system capable of achieving and maintaining sustainable competitive advantages by fostering entrepreneurship, personal and team innovation and creativity, as well as strategic alliances with domestic and global business partners”. Guyana shares the concern about the negative impact of unilateral coercive measures on international relations, trade and investment in cooperation.",
"As a member of the Caribbean Community, Guyana supported regional integration and, therefore, the establishment of the Caribbean Single Market and Economy. As a member of the Union of South American Nations (UNASUR) and the Organization of American States (OAS), Guyana takes its obligations and commitments to these institutions seriously. Two neighbouring countries claim to own the territory of Guyana — Suriname and Venezuela. Guyana has chosen to resolve the maritime boundary with Suriname through the use of existing remedies under the International Law of the Sea and the International Arbitral Tribunal, rather than through coercive measures. Guyana enjoys good relations with both countries and has entrusted the United Nations with good offices on its contentious issues with Venezuela. Although a small developing country, Guyana had the courage to reach out to countries facing natural disasters, such as Grenada, Haiti, Japan, Saint Vincent, Saint Lucia and Venezuela.",
"Guyana is gravely concerned about the situation of children, who are the main victims of unilateral coercive measures. Guyana recognizes the right of all children to grow up in health, safety and dignity and, to that end, strives to ensure the right of children to health, nutrition, education and social and emotional development. Similarly, Guyana has in place comprehensive constitutional and legal provisions and policies to promote and protect women ' s rights in compliance with CEDAW and other international standards. These reforms are essential to prevent the continued application of unilateral coercive measures, which have a negative impact on social and humanitarian behaviour and on the economic and social development of developing countries such as Guyana. Guyana remained committed to the elimination of all forms of unilateral coercive measures, which could create obstacles to development and human rights.",
"In accordance with paragraph 2 of the resolution on the right to “food, health care and education”, Guyana emphasizes the right to food and takes positive initiatives to combat hunger and promote food security. Guyana ensures that health care is provided on the basis of equity and accountability. Guyana ' s education policy ensures that all citizens, regardless of race, age, creed, physical or mental disability, have equal access to quality education and reach their full potential within available resources. The provision of necessary social services such as food, health care, education and social safety nets “cannot be used as tools for political pressure”.",
"Guyana recognizes and subscribes to the principle of self-determination contained in paragraphs 4 and 7 of resolution 65/217, according to which States have the right freely to choose their sovereignty and international political status without coercion or interference from outside. Guyana therefore also condemns and rejects the use of unilateral coercive measures by any State, multilateral or international development agency. Guyana reiterates that unilateral coercive measures are the main obstacle to the full realization of human rights, social development, security and the peaceful resolution of conflicts at the regional and international levels.",
"Iraq",
"[Original: Arabic]",
"[22 July 2011]",
"The Republic of Iraq fully supports General Assembly resolution 65/217 and reaffirms the need for all States to curb the application of unilateral coercive measures. Despite several resolutions addressing this issue, States have resorted to the use of such arbitrary measures. Iraq condemns the use of arbitrary, extraterritorial and unilateral measures to exert political pressure on other States. These measures have had a negative impact on human rights, including the fundamental rights to food, health and development. Iraq stresses the importance of practical and preventive measures in the face of unilateral coercive measures.",
"Kuwait",
"[Original: Arabic]",
"[24 June 2011]",
"Human rights are enshrined in the Universal Declaration of Human Rights and several other international instruments, and this issue is also addressed in the constitutions of most countries. Human rights apply to relations between States and individuals and are also essential to relations between States. All human rights must be upheld without exception or choice. Kuwait supports all efforts by the Office of the United Nations High Commissioner for Human Rights to suppress and eliminate unilateral coercive measures. These measures are used to exert political pressure and create obstacles to international relations and trade. Kuwait supported the implementation of General Assembly resolution 65/217 and provided support and cooperation in that regard. It was important not to politicize the legal aspects of the implementation of the resolution. There was a need to study the question of human rights and unilateral coercive measures, as well as to provide a comprehensive and comprehensive assessment of United Nations resolutions on the issue, including obstacles to the achievement of their objectives.",
"Kuwait rejects any legislative, administrative or economic measures of a coercive nature or measures that impede the economic and cultural development of other countries in order to force them to adopt specific policies. Unilateral coercive measures had a negative impact on the population of developing countries and on the development referred to in the Declaration on the Right to Development. These measures impede the full enjoyment of all human rights, including the most basic rights to food and health care. Kuwait supported the decisions taken by the General Assembly on the right to development and opposed the application of unilateral coercive measures that impeded that right.",
"Kuwait continued to provide international development assistance and support to more than 100 developing and least developed countries, for example through the Kuwait Development Fund and Kuwait ' s efforts to achieve sustainable development at the national level. Kuwait considers development and the development of a relationship with human rights to be essential and considers development as an area linking individuals and societies.",
"III. Analysis and conclusions",
"With regard to General Assembly resolution 65/217, a total of 11 Member States submitted their views on human rights and unilateral coercive measures. In general, the responding States were clearly opposed to the use of unilateral coercive measures.",
"Respondents rejected the use of unilateral coercive measures by any State, multilateral or international development agency. These measures are seen as violations of human rights and obstacles to the full realization of human rights, social development, peace and security and the resolution of disputes and conflicts. Several States also stated that they would not take such measures, as this was a matter of principle.",
"Most of the responding States referred to the principles of international law, which included the obligation of States not to adopt or apply unilateral coercive measures contrary to the Charter of the United Nations and public international law. These measures are said to run counter to the ideals of democratic States and to the fundamental principles of national sovereignty, independence, sovereign equality, self-determination and non-interference in internal affairs. Unilateral coercive measures involve private and public international law, including international humanitarian law, and thus violate a number of international and regional instruments. Relevant instruments cited by States include the Declaration on Principles of International Law concerning Friendly Relations and Cooperation among States in accordance with the Charter of the United Nations and the Charter of Economic Rights and Duties of States, according to which no State may use or encourage the use of economic, political or any other type of measures to coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind.",
"States recalled that, under the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights, no one can be deprived of his or her means of subsistence. Several States also reiterated their support for the implementation of the Declaration on the Right to Development. It was pointed out that the use of unilateral coercive measures with extraterritorial effects had a negative impact on the free movement of capital and the freedom of trade, thus affecting the realization of the right to development of the peoples of the affected countries.",
"Respondent States referred to different forms of sanctions of an economic, commercial and financial nature. These include trade embargoes; financial and financial, property, intellectual property, visa and travel restrictions; and interference with exchanges of a scientific, cultural or tourist nature. The extraterritorial application of the law and the obstruction of the interests of third-country enterprises and citizens are also included, particularly in the area of trade and investment.",
"States noted that unilateral legislative, economic and political coercive measures remained a major international problem, with far-reaching negative effects on the target States and, more generally, on the human rights and development of developing countries. It was noted that people in countries where such measures were imposed were the main victims, especially the most vulnerable — children, women, the elderly and persons with disabilities. The actual situation in the affected countries included extreme hardship, deprivation of life-saving drugs, especially paediatric drugs, basic foodstuffs, educational facilities and cultural facilities. The implementation of these coercive measures directly affects the enjoyment of fundamental human rights.",
"Several States reaffirmed the indivisibility, universality, interrelatedness and interdependence of all human rights and recognized that this was closely linked to the maintenance of peaceful relations among States. States reaffirmed their belief that development was interlinked with human rights and peace. In order to maintain international peace and security, States must promote those links through friendly and cooperative relations, in accordance with the principle of equality of States and their right to self-determination. The challenges in international relations must be addressed in a multilateral context, given the divergence of interests among States in the current international environment and the development of a multilateral framework and a multilateral dialogue among States. It was pointed out that the mechanisms established by the United Nations, including the Security Council, and other international and regional multilateral organizations were the only legitimate bodies that decided on appropriate measures to maintain security and encourage a State to comply with international standards.",
"On the basis of practical and preventive measures in the face of unilateral coercive measures, some States considered it necessary to create friendly relations among States with a view to promoting and protecting human rights by raising public awareness of the negative impact of unilateral coercive measures and of the importance of respecting the standards and principles of public and private international law. States invoked the provisions of their national constitutions and laws, including those that uphold the values of peaceful coexistence among peoples and the duty to unite all nations.",
"Some States have enacted legislation that provides that any foreign law that directly or indirectly restricts or impedes free trade and the free movement of capital, goods or people will not be applicable and will have no legal effect within the territory of any State or group of States. States also provided examples of legal provisions providing that foreign laws aimed at replacing Governments with extraterritorial legal effects through the imposition of economic sanctions on another State or the restriction of investment therein had no legal effect in its territory.",
"Reference was made to internal measures taken to uphold human rights and promote social and economic development, both within and outside the territory, and it was reiterated that it believed that basic necessities should be available to all and that access to food, health care and education should under no circumstances be used as a political tool, either within States or in the wider international community. States provided examples of policies and actions taken to promote the human rights and development of their peoples and of their participation in international assistance and cooperation, especially for the benefit of people in developing countries.",
"One State proposed the establishment of special procedures of the Human Rights Committee on unilateral coercive measures and their impact on human rights and explicitly supported the request contained in Human Rights Committee resolution 15/24 to the Office of the United Nations High Commissioner for Human Rights to prepare a thematic study on human rights and unilateral coercive measures, including recommendations for action aimed at ending them. Some States welcomed the continued attention paid by the General Assembly and the Human Rights Committee to human rights issues and unilateral coercive measures."
] |
[
"联合国儿童基金会",
"执行局",
"2011年第二届常会",
"2011年9月12日至15日",
"临时议程[1] 项目8",
"联合国儿童基金会",
"儿基会2012-2013年拟议机构预算",
"行政和预算问题咨询委员会的报告",
"一. 导言",
"1. 行政和预算问题咨询委员会审议了联合国儿童基金会(儿基会)执行局2012-2013两年期拟议机构预算报告的预发版本(E/ICEF/2011/AB/L.2)。行预咨委会审议报告时会晤了副执行主任和其他代表，他们进一步提供了资料并作了说明。",
"格式与列报",
"2. 行预咨委会回顾，2010年儿基会、联合国开发计划署(开发署)和联合国人口基金会(人口基金)的执行局核准其题为“综合预算路线图：费用分类和成果预算编制”的联合报告中的各项建议。在审查选定的联合国组织和双边捐助者的现有费用定义、活动分类和相关费用及成果预算编制模式和方法之后编写了本报告，以便确定最佳做法。这三个组织同意共同努力加强协调，改进2012-2013两年期支助预算列报，并从2004年开始努力为每个组织编制单一的综合预算。行预咨委会注意到，根据儿基会执行局第2011/6号决定，2012-2013年机构预算按照成果制方法编制，并按照儿基会、开发署和人口基金商定的新费用分类格式列报。因此，该预算是2014年执行完全连成一体的预算路线图上的重要里程碑。",
"预计资源",
"3. 根据本文件附件一总结的资源计划，2012-2013两年期预计经常资源、其他资源和信托基金资源总额为117亿美元，其中包括期初余额28.16亿美元，与2010-2011年计划资源总额104.19亿美元相比，增加12.81亿美元或12.3%。2012-2013年预计经常资源总额为27.09亿美元，与2010-2011年26.04亿美元相比，增加1.05亿美元或4%。预计其他资源额为61.5亿美元，与2010-2011年57.69亿美元相比，增加3.81亿美元或6.6%。预计信托基金总额为28.41亿美元，与2010-2011年20.46亿美元相比，增加7.95亿美元或38.9%。",
"4. 2012-2013两年期经常资源收入(主要是捐款)估计为21.29亿美元，与2010-2011两年期19.91亿美元相比，增加1.38亿美元或6.9%。其他资源收入估计为43.62亿美元，与2010-2011年40.29亿美元相比，增加3.33亿美元或8.3%。预计信托基金收入为23.93亿美元，比2010-2011年增加5.948亿美元或34%。关于资源的使用，2012-2013两年期拟议资源总额为94.07亿美元，其中84.41亿美元将用于各方案，9.66亿美元用于机构预算(另见下文第24段至26段)。",
"二. 2012-2013年拟议机构预算",
"5. 行预咨委会指出，根据新的费用分类，机构预算指用于发展效益及联合国发展协调活动、管理活动和特殊用途活动的预算。该预算按照成果制方法编制，并按照上文第2段所述的新费用分类格式列报。上述费用分类术语的定义见机构预算报告附件8。",
"6. 2012-2013两年期拟议机构预算为9.66亿美元，与2010-2011年两年期支助预算和安保预算10.201亿美元相比，减少5 410万美元或5.3%。减少4 340万美元，被增加的3 310万美元及工作人员费用、汇率和通货膨胀调整数700万美元部分抵消。数额减少的原因是2012-2013年不会有2010-2011年的一次性投资项目费用3 690万美元和一次性安保费用1 390万美元。",
"7. 减少4 340万美元，主要原因包括：由于审查业务费用，特别是国际差旅和各种会议费用，采取了业务增效、减少费用和资金效益措施；推迟购买交通设备；减少使用咨询人。此外，预期更多地使用共同房地和共同事务也会节省费用。儿基会期望上述举措将导致在总部减少2 880万美元，在外地办事处减少500万美元(同上，第46段至47段)。此外，行预咨委会得知，目前正鼓励儿基会各区域办事处研究是否有可能设立或扩大多国服务中心，以实现规模经济、降低交易费用并确保向各国家办事处提供持续的业务支持(另见下文第20段)。行预咨委会欢迎儿基会在全组织努力通过再次审查现有业务活动和尽量使用新技术减少费用。委员会还鼓励使用共同房地和共同事务，因为这将会提高效率和节省经费。",
"8. 行预咨委会得知，在编制2012-2013年预算时，特别关注费用的正确划归——确定其他资金来源供资的活动费用——而且预期将会减少510万美元(同上，第51段)；为评估新兴人才倡议的效果，减少了其征聘活动，预期将节省450万美元(同上，第52段)。",
"9. 减少额被增加额(3 310万美元)部分抵消，主要在全球组群协调领域(300万美元)；加强儿基会在新独立的南苏丹共和国的存在(250万美元)；通过在内部审计办公室增设2个员额加强机构监督和保障活动(60万美元)；加强人力资源管理(350万美元)；加强机构监督保障活动(60万美元)；通过《国际公共部门会计准则》(公共部门会计准则)(320万美元)；支持人才管理倡议(100万美元)。预期执行VISION(信息虚拟集成系统)企业资源规划系统将会增加费用，进一步解释见下文第11段(1 020万美元)；为本组织开发单一的组织技术平台费用(910万美元)。",
"10. 总体而言，行预咨委会欢迎儿基会在改进预算列报方面取得的进展，包括成果预算框架及纳入新的费用分类。在与开发署和人口基金进行协调的情况下，委员会鼓励进一步努力改进列报。委员会特别赞赏使用表格和其他列报方式使预算更加简洁，认为应在陈述部分提供补充资料。委员会要求在今后拟议预算中提供此类细目。委员会支持执行主任的大部分提议，并在以下段落中就一些具体倡议作出进一步评论。",
"三. 具体评论和意见",
"VISION企业资源规划系统与业绩管理系统",
"11. 行预咨委会得知，2012年1月1日儿基会在其所有地点执行VISION系统。执行主任的一些代表称，VISION是以SAP为基础的全球企业资源规划系统，预期将对儿基会所有办事处的运作方式产生重大影响。该系统主要部分是一个以SAP为基础的中央应用系统和一个业绩管理平台。这些系统将在四个成果领域支持和协助改进儿基会工作：已改进的问责制和有效风险管理；卓越方案；业务绩效；有效的资源规划和实施。这些系统将取代总部现有的SAP企业资源规划系统和外地的方案主管系统，并将提供网络业绩管理信息系统，用于在全球实时监测和报告儿基会全世界运作的核心财政和成果信息。",
"12. 委员会得知，已进行大量投资，为各区域和国家办事处必要的系统功能做准备，并在少数国家办事处开始试行。准备工作包括设计、指导和培训、通信和监测及改进宽带和通信能力。委员会还得知，从2008-2009两年期至2010-2011年终了时费用估计为3 710万美元。据称，在2012年1月执行该系统之后，预期会出现许多挑战，因为新用户使用该系统和已改进的业务流程。因此，该系统需要技术和咨询支持，在2012-2013年机构预算中为执行VISION系统编列1 020万美元。",
"13. 行预咨委会赞扬儿基会为执行性能管理能力更强、完全连成一体的全球资源管理系统取得的进展。委员会相信儿基会将与其他组织交流执行该系统的经验。",
"实行公共部门会计准则后的战略",
"14. 行预咨委会回顾，大会第60/283(2006)号决议和儿基会执行局第2007/10号决定核准通过《公共部门会计准则》，以实现提高透明度和改进问责制的利益。委员会还回顾，为加强与联合国其他基金和方案的协调，与其他机构协商进行广泛审查，最终修正儿基会《财务条例和细则》，以适应《公共部门会计准则》所要求的完全权责发生制会计。行预咨委会关于各项拟议修正的评论和建议载于其另一份报告，执行局下届会议将会收到该报告。",
"15. 行预咨委会在审议2012-2013年预算期间得知，儿基会准备于2012年1月执行《公共部门会计标准》。委员会还得知，儿基会计划在财务和行政管理司(财行司)内保留一个小型部门，提供咨询和协助，特别是在培训和能力建设领域，这是儿基会执行后战略的一部分。执行主任的代表们解释说，儿基会认为不必建立更多支助机构，因为大多数国家办事处有足够的业务能力处理执行事宜，而且区域办事处会在执行方面向较小办事处提供支持。他们还解释说，现有能力将会通过培训得到进一步加强，因此在2012-2013年机构预算中分配320万美元，用于支付专门进行《公共部门会计准则》方面能力建设活动的工作人员和咨询人费用。委员会还得知，在执行《公共部门会计准则》一段时间之后，以及在外部审计员审查儿基会将于2013年中提交的2012年财务报表并就其发表意见之后，《公共部门会计准则》的好处将会更加明显。此外，执行后战略将借鉴从执行该准则中吸取的经验教训，并将反映在2014-2015年预算中。行预咨委会重申其意见，即应尽量与联合国其他组织协调执行《公共部门会计准则》，并应记录和分享儿基会的经验教训。在此方面，委员会提请注意开发署正在考虑的《公共部门会计准则》全球共享服务中心办法，如果儿基会考虑改变当前战略，应铭记这一办法。",
"全球组群协调",
"16. 在审议拟议预算期间，委员会得知已制定全球组群办法，以确保在所有主要部门或人道主义反应领域中可以预测的领导责任和问责制，加强全系统筹备工作和应对人道主义紧急情况的技术能力。在此方面，已为所有关键的人道主义反应部门指定分组牵头机构，儿基会被指定为饮水、环卫和讲卫生组和营养组的全球牵头机构；与国际拯救儿童联盟共同作为教育组的全球牵头机构；在全球保护组，作为儿童保护责任领域的牵头机构；与人口基金共同作为性别暴力责任领域的牵头机构。",
"17. 行预咨委会注意到，2010-2011年在儿基会内部对儿基会组群责任的资助和管理进行了分配。为确保加强协调和领导作用，已在机构预算中分配350万美元，用于在日内瓦设立一个全球组群协调股，与其他人道主义伙伴和机构间常设委员会秘书处距离很近。这项拨款将用于支付设立5个员额(4个高级协调员和1个信息管理员额)及其他组群协调活动的费用。",
"18. 行预咨委会欢迎儿基会作出承诺，为进行组群协调分配资源，包括设立一个组群协调股。委员会认为，如果可行，各参加组织应公平分担经济责任。",
"拟议人员配置变动",
"19. 委员会注意到，在2012-2013年机构预算中分配给员额的经费估计为7.297亿美元(同上，附件5)。该两年期拟议员额共2 919个，比2010-2011两年期(2 957个)净减38个(同上，附件6)。这些变动包括：净减4个D-1级员额；净增14个国际专业人员员额和3个本国干事员额；净减51个一般事务员额。行预咨委会欢迎详细的组织系统表一目了然，有助于更好地了解组织结构和拟议人员配置变动。委员会要求在今后预算报告中列入组织系统表。",
"20. 行预咨委会指出，上述人员配置变动将导致在国家办事处一级总共裁减65个员额(1个D-1、2个国际专业人员和62个其他职等)。委员会还指出，拟裁减东非和南非区域国家办事处42个其他职类的员额。大幅裁减支助类员额的部分原因是战略转向加强各区域办事处的监督和能力，这有助于简化业务流程，提高国家办事处业务效率。正如上文第11段所述，计划推行VISION系统及通过培训加强工作人员能力是执行这一战略的关键因素。该战略还将包括在西非和中非及拉丁美洲和加勒比区域建立和扩大多国业务服务中心，以便通过合并业务提高效率。行预咨委会欢迎儿基会努力利用现有信息技术的好处，以提高资源管理效率，加强对各外地办事处的支持。虽然委员会不反对拟议员额变动，但认为已注意确保裁减员额不会对国家办事处交付方案造成不利影响。",
"21. 行预咨委会注意到，拟在内部审计办公室增设2个员额，以加强审计和调查职能，确保达到核准的审计章程的要求(见上文第9段)。委员会认为，设立员额有助于加强问责制和提高透明度。",
"22. 行预咨委会经询得知，儿基会计划在2012-2013年机构预算中分配100万美元，用于支持人才管理倡议，如完成向电子业绩管理的过渡及使用2010-2011年开发的电子考绩系统和电子征聘工具进行征聘。委员会得知，将扩大目前仅为国际工作人员服务的电子考绩系统，以便涵盖所有工作人员。委员会还得知，儿基会未建立自己的系统，一直使用人口基金建立的系统并分担维持费用。有人指出，扩大该系统以涵盖所有工作人员需要从上述拨款中另为儿基会支付一次性费用。",
"23. 委员会还得知，人才管理倡议包括拟订新的国际专业人员轮调政策，根据该政策，副代表和卫生干事等职能群体将进行有管理的轮调。委员会得知，当前有管理的轮调只适用于办公室负责人。委员会还得知，目前正在审查2010年开始的试行轮调工作，并将为新的轮调政策提供相关信息。预算中的拟议资源将用于支付最后制定和执行该政策的费用，以及儿基会职业发展和人才管理系统费用，这是协调一致的人力资源管理系统的组成部分。行预咨委会注意到，儿基会已经采取多项举措扩大现有工作人员轮调政策的范围，这是开发更协调一致的人力资源管理系统的要素。委员会相信将与其他机构分享儿基会在此方面的经验。",
"费用回收",
"24. 行预咨委会注意到，2008-2009两年期实际费用回收总额为3.203亿美元，以其他资源供资的方案援助费用总额计算，平均回收率为6.7%。同期，委员会注意到机构总预算的36%来自回收费用，这确保了经常资源不被用于补贴其他资源供资的方案援助支助费用。如本报告附件二所述，预计2012-2013两年期机构总预算的35%将通过费用回收筹措资金，比2010-2011年增加24%。",
"25. 委员会还注意到，儿基会、开发署和人口基金响应儿基会执行局第2011/6号决定共同进行审查，确认订正后的费用定义和活动分类对费用回收没有影响，因此2012-2013两年期无需改变费用回收办法。有人指出，2013年将再次与开发署和人口基金共同审查现时费率和方法，并在2004年新的综合预算框架内进行，届时可能视需要进行修改。",
"26. 委员会欢迎目前机构预算中由费用回收供资的比例不断增加这一积极趋势。委员会鼓励儿基会、开发署和人口基金共同努力确定今后费用回收办法和费率，并期望得到进一步有关信息。",
"附件一",
"资源计划",
"(百万美元)",
"[TABLE]",
"^(a) 包括利息、杂项收入和充抵机构预算的款项。",
"^(b) 2010-2011年：执行局2008年核准的安保拨款。",
"^(c) 预计资源结余是在计入基金储备金之前(用于离职后医疗保险、固定资产、离职金和采购事务)中期财务计划订正现金余额总数。",
"^(d) 2010-2011年资源结余已更新，计入了实际和预计的收支变动。",
"附件二",
"1998年至2011年支助预算趋势和比率分析",
"(百万美元)",
"计划 98-99 00-01 02-03 04-05 06-07 08-09 10-11¹ 12-13",
"两年期支助预算 527.5 545.5 574.2 701.9 757.4 912.8 1 020.1 966.0",
"由经常资源供资的两年期支助预算 493.6 477.7 485.9 545.5 567.4 689.8 773.5 628.0 94% 88% 85% 78% 75% 76% 76% 65%",
"由其他资源和其他回收供资的两年期支助预算 33.9 67.8 88.3 156.4 190.0 223.0 246.6 338.0 6% 12% 15% 22% 25% 24% 24% 35%",
"经常资源共计 1 122.5 1 247.7 1 147.9 1 424.5 1 658.6 2 355.4 2 403.9 2 222.0",
"用于方案的经常资源总额所占百分比 56% 62% 58% 62% 66% 71% 68% 72%",
"用于两年期支助预算的经常资源总额所占百分比 44% 38% 42% 38% 34% 29% 32% 28%",
"¹ 订正后包括执行局2008年核准的2010-2011年安保拨款。",
"实际 98-99 00-01 02-03 04-05 06-07 08-09",
"两年期支助预算实际支出 507.5 521.9 568.9 682.2 739.0 892.5",
"由经常资源供资的实际两年期支助预算 465.0 437.6 466.1 481.3 468.3 572.2 92% 84% 82% 71% 62% 64%",
"由其他资源和其他回收供资的两年期支助预算 42.5 84.3 102.7 200.9 270.7 320.3 8% 16% 18% 29% 38% 36%",
"经常资源共计 1 065.1 1 178.0 1 206.0 1 365.0 1 745.0 2 087.8",
"用于方案的经常资源总额所占百分比 56% 63% 61% 65% 73% 73%",
"用于两年期支助预算的经常资源总额所占百分比 44% 37% 39% 35% 27% 27%",
"[1] ^(*) E/ICEF/2005/10。"
] | [
"United Nations Children’s Fund",
"Executive Board",
"Second regular session 2011",
"12-15 September 2011",
"Item 8 of the provisional agenda[1]",
"United Nations Children’s Fund",
"UNICEF institutional budget for 2012-2013",
"Report of the Advisory Committee on Administrative and Budgetary Questions",
"I. Introduction",
"1. The Advisory Committee on Administrative and Budgetary Questions has considered an advance version of the report of the Executive Director of the United Nations Children’s Fund (UNICEF) on the proposed institutional budget for the 2012-2013 biennium (E/ICEF/2011/AB/L.2). During its consideration of the report, the Advisory Committee met with the Deputy Executive Director and other representatives, who provided additional information and clarifications.",
"Format and presentation",
"2. The Advisory Committee recalls that in 2010 the Executive Boards of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) approved the proposals that were presented in a joint report of the three organizations entitled, “Road map to an integrated budget: cost classification and results-based budgeting”. The report was the culmination of a review of existing cost definitions and classification of activities and associated costs, as well as results-based budgeting models and methodologies of selected United Nations organizations and bilateral donors, in order to identify best practices. The three organizations agreed to work together for greater harmonization and improvement in the presentation of the biennial support budget for 2012-2013, and also work towards the presentation of a single, integrated budget for each organization beginning in 2014. The Advisory Committee notes that in accordance with decision 2011/6 of the UNICEF Executive Board, the 2012-2013 institutional budget has been prepared following the results-based approach and is presented in the new cost classification format agreed upon by UNICEF, UNDP and UNFPA. The budget therefore represents an important milestone on the roadmap to the implementation of the fully integrated budget in 2014.",
"Projected resources",
"3. According to the resource plan summarized in annex I of the present document, the total projected resources from regular resources, other resources and trust funds for the biennium 2012-2013, including an opening balance of $2,816 million, amount to $11,700 million, reflecting an increase of $1,281 million, or 12.3 per cent, compared with the total planned resources of $10,419 million for 2010-2011. For 2012-2013, total regular resources are projected at $2,709 million, reflecting an increase of $105 million, or 4 per cent, compared with $2,604 million in 2010-2011. Other resources are projected at $6,150 million, reflecting an increase of $381 million, or 6.6 per cent, compared with $5,769 million in 2010-2011, and total trust funds are projected at $2,841 million, reflecting an increase of $795 million, or 38.9 per cent, compared with the total of $2,046 million for 2010-2011.",
"4. Income from regular resources, mostly contributions, is estimated at $2,129 million for the biennium 2012-2013, reflecting an increase of $138 million, or 6.9 per cent compared with $1,991 million for the biennium 2010-2011. Income from other resources is estimated at $4,362 million, reflecting an increase of $333 million, or 8.3 per cent compared with $4,029 million in 2010-2011. Trust fund receipts are projected at $2,393 million, reflecting an increase of $594.8 million, or 34 per cent compared with 2010-2011. As regards the use of resources, the total resources proposed for the 2012-2013 biennium is $9,407 million, of which $8,441 million will be used for programmes and $966 million for the institutional budget (see also paragraphs 24-26 below).",
"II. Proposed institutional budget for 2012-2013",
"5. The Advisory Committee notes that according to the new cost classification, the budget for development effectiveness, United Nations development coordination activities, management activities, and special purpose activities is now referred to as the institutional budget. It is based on the results-based budgeting approach and is presented in the new cost classification format as indicated in paragraph 2 above. The definitions for the terminology of the above cost categories are provided in annex 8 of the institutional budget report.",
"6. The proposed institutional budget for the 2012-2013 biennium amounts to $966 million, which represents a decrease of $54.1 million, or 5.3 per cent, compared with the combined biennial support budget and security budget of $1,020.1 million for 2010-2011. The volume decreases amount to $43.4 million, which is partially offset by volume increases amounting to $33.1 million and an amount of $7 million due to adjustments for staff costs, exchange rates and inflation. The decrease is also due to one time costs for investment projects amounting to $36.9 million and one time security costs in the amount of $13.9 million, which were undertaken in 2010-2011 and will not be undertaken in 2012-2013.",
"7. The volume decreases of $43.4 million mainly comprised the operational efficiencies, cost reductions and value-for-money measures resulting from a review of operational costs, particularly international travel, conferences and meetings, as well as the deferral of the purchase of transport equipment and a reduction in the use of consultants. Savings are also expected from the increased use of common premises and common administrative services. UNICEF expects that the above-mentioned initiatives will translate into decreases of $28.8 million at headquarters and $5 million in the field offices (ibid., paragraphs 46-47). Furthermore, the Advisory Committee was informed that UNICEF regional offices were being encouraged to look into the possibility of establishing or expanding multi-country service centres to generate economies of scale, reduce transactional costs and ensure consistent operations support to country offices (see also paragraph 20 below). The Advisory Committee welcomes the organization-wide efforts made by UNICEF to achieve cost reductions by re-examining existing operational activities and maximizing the use of new technologies. The Committee also encourages the use of common premises and common services, which should yield efficiencies and savings.",
"8. The Advisory Committee was also informed that, in the preparation of the 2012-2013 budget, particular attention had been paid to the correct attribution of costs — the identification of costs for activities funded from other sources — and that was expected to generate decreases of $5.1 million (ibid., paragraph 51); while the scaling back on recruitment activities of the New and Emerging Talent Initiative, so as to assess its effectiveness, was expected to generate savings of $4.5 million (ibid., paragraph 52).",
"9. The volume decreases are partially offset by increases of $33.1 million, mainly in the areas of global cluster coordination ($3 million); strengthening the presence of UNICEF in the newly independent Republic of South Sudan ($2.5 million); strengthening corporate oversight and assurance activities through the establishment of two additional posts in the Office of Internal Audit ($0.6 million); strengthening human resources management ($3.5 million); strengthening corporate and oversight assurance activities ($0.6 million); the adoption of the International Public Sector Accounting Standards (IPSAS) ($3.2 million); and supporting talent management initiatives ($1 million). Additional increases are expected from the implementation of the VISION (Virtual Integrated System of Information) enterprise resource planning (ERP) system — further explained in paragraph 11 below ($10.2 million); and the cost of development of a single organizational technology platform for the organization ($9.1 million).",
"10. Overall, the Advisory Committee welcomes the progress made by UNICEF to improve its budget presentation, including the results-based budgeting framework and incorporation of the new cost classifications. Within the context of the harmonized approach with UNDP and UNFPA, the Committee encourages further efforts to improve the presentation. In particular, while the Advisory Committee appreciates that the utilization of tables and other means of presentation renders the budget more succinct, it is of the opinion that additional information is required in the narrative. The Committee requests that future budget proposals should provide such detail. While supporting the overall proposals made by the Executive Director, in the paragraphs below, the Committee provides further comments on some specific initiatives.",
"III. Specific comments and observations",
"VISION enterprise resource planning (ERP) and performance management system",
"11. The Advisory Committee was informed that UNICEF was on course to implement VISION at all its locations on 1 January 2012. According to the representatives of the Executive Director, VISION, which is a global SAP-based ERP system, is expected to have a major impact in the way UNICEF operates in all of its offices. Its main components are an SAP-based central application system and a performance management platform. These systems will support and facilitate implementation of organizational improvements in four results areas: improved accountability and effective risk management; programme excellence; operations performance; and effective resource planning and implementation. The systems — which will replace the existing headquarters-based SAP ERP system and the field-based Programme Manager System (ProMS) — will also deliver a web-based performance management information system for monitoring and reporting on core financial and results-based information across the worldwide operations of UNICEF both globally and in real-time.",
"12. The Committee was also informed that significant investment had already gone into the preparation of the required system functionality for regional and country offices in addition to pilot phases being implemented in a small number of country offices. The preparations included design; guidance and training; communication and monitoring; as well as the improvement of bandwidth and communication capabilities. The Committee was further informed that the estimated cost from the biennium 2008-2009 to the end of 2010-2011 was $37.1 million. It was also explained that, after the implementation of the system in January 2012, significant challenges were anticipated as new users were introduced to the system and to the improved business processes. The system would therefore require technical and advisory support, hence the provision of $10.2 million for VISION implementation in the institutional budget for 2012-2013.",
"13. The Advisory Committee commends UNICEF for the progress made towards the implementation of a fully integrated global resource management system with enhanced performance management capabilities. The Committee trusts that UNICEF’s experience in the implementation of this system will be shared with other organizations.",
"IPSAS post-implementation strategy",
"14. The Advisory Committee recalls that the adoption of IPSAS was approved by the General Assembly in its resolution 60/283 (2006) and by the UNICEF Executive Board in its decision 2007/10 in order to achieve the benefits of improved transparency and accountability. The Committee further recalls that, in order to achieve greater harmonization with other United Nations funds and programmes, an extensive review was undertaken in consultation with other agencies leading to the amendment of the Financial Regulations and Rules of UNICEF to accommodate full accrual based accounting as required by IPSAS. The Advisory Committee’s comments and recommendations on the proposed amendments are contained in its separate report, which will be before the Executive Board at its next session.",
"15. During its consideration of the 2012-2013 budget, the Advisory Committee was informed that UNICEF was on track for the implementation of IPSAS in January 2012. The Committee was further informed that, as part of its post-implementation strategy, UNICEF planned to maintain a small unit in the Division of Financial Management and Administration (DFAM) to provide advice and assistance, particularly in the areas of training and capacity-building. The representatives of the Executive Director explained that UNICEF did not consider it necessary to set up additional support structures because there was sufficient operational capacity to handle the implementation in the majority of its country offices, and that the implementation in the smaller offices would be supported from the regional offices. It was further explained that the existing capacity would be further strengthened through training, hence the allocation of $3.2 million in the 2012-2013 institutional budget to cover the cost of staff and consultants dedicated to IPSAS capacity-building activities. The Committee was also informed that the benefits of IPSAS would be more discernible after the initial period of implementation, as well as following the external auditors’ review and opinion on UNICEF’s 2012 financial statements to be provided in mid-2013. In addition, the lessons learned from the implementation exercise would inform the post-implementation strategy to be reflected in the 2014-2015 budget. The Advisory Committee reiterates its opinion that the implementation of IPSAS should, to the extent possible, be harmonized with that of the other United Nations organizations and that the lessons learned by UNICEF should be documented and similarly shared. In this regard, the Committee draws attention to the IPSAS global shared service centre approach being considered by UNDP, which UNICEF should bear in mind if it considers changing its present strategy.",
"Global cluster coordination",
"16. During its consideration of the proposed budget, the Advisory Committee was informed that, a global cluster approach had been put in place to ensure predictable leadership and accountability in all the main sectors or areas of humanitarian response and to strengthen system-wide preparedness and technical capacity to respond to humanitarian emergencies. In that regard, cluster lead agencies had been designated for all key humanitarian response sectors, with UNICEF being assigned the global leadership role for the water, sanitation and hygiene (WASH) and nutrition clusters; the global co-leadership role for the education cluster, with the International Save the Children Alliance; within the global protection cluster, the leadership role for the child protection area of responsibility, and, jointly with UNFPA, the co-leadership role for the gender-based violence area of responsibility.",
"17. The Advisory Committee notes that, in 2010-2011, the funding and management of the cluster responsibilities of UNICEF was dispersed within UNICEF. In order to ensure better coordination and leadership, resources amounting to $3.5 million have now been allocated in the 2012-2013 institutional budget for the establishment of a global cluster coordination unit in Geneva, which is in close proximity to other humanitarian partners and the Inter-Agency Standing Committee secretariat. The allocation will cover the establishment of five posts (four Senior Coordinators and one Information Management post), in addition to other cluster coordination activities.",
"18. The Advisory Committee welcomes the demonstrated commitment of UNICEF by allocating resources to cluster coordination, including the establishment of a cluster coordination unit. The Committee is of the view that, where feasible, the financial responsibilities should be shared equitably among the participating organizations.",
"Proposed staffing changes",
"19. The Advisory Committee notes that resources amounting to an estimated $729.7 million in the 2012-2013 institutional budget have been allocated to posts (ibid., annex 5). A total of 2,919 posts are proposed for the biennium, reflecting a net decrease of 38 posts compared with 2,957 in the 2010-2011 biennium (ibid., annex 6). The changes comprise a net decrease of 4 posts at D-1 level; net increases of 14 international Professional posts and 3 National Officer posts; and a net decrease of 51 General Service posts. The Advisory Committee welcomes the clarity provided by the detailed organigramme, which facilitates a better understanding of the organizational structure and the proposed staffing changes. The Committee requests that it be included in future budget submissions.",
"20. The Advisory Committee notes that the above staffing changes will entail an overall reduction of 65 posts (1 D-1, 2 international Professional, and 62 other levels) at country office level. In addition, the Committee notes that 42 of the proposed post reductions in the other levels category are in the country offices of the Eastern and Southern Africa region. The significant decrease in posts in the support category is due in part to the strategic shift to strengthen the oversight and capacity of the regional offices, which has facilitated the simplification of business processes and the achievement of operational efficiencies in the country offices. As earlier explained in paragraph 11 above, the planned roll-out of VISION, as well as the enhancement of staff capacity through training, are key factors in the implementation of this strategy. The strategy will also include the establishment and expansion of multi-country operations service centres in the West and Central Africa region; and in the Latin America and the Caribbean region in order to achieve further efficiencies through the consolidation of operations. The Advisory Committee welcomes the efforts made by UNICEF to harness the benefits of available information technology to achieve greater efficiencies in the management of its resources and strengthen the support to its field offices. While the Committee does not object to the proposed post changes, it trusts that care has been taken to ensure that the reduction in posts will not adversely impact programme delivery at country office level.",
"21. The Advisory Committee notes the proposed establishment of 2 additional posts in the Office of Internal Audit to strengthen the audit and investigation function and to ensure that the requirements of the approved audit charter are met (see paragraph 9, above). It is the Committee’s view that the establishment of the posts should contribute to greater accountability and transparency.",
"22. Upon enquiry, the Advisory Committee was informed about the plans of UNICEF to allocate $1 million in the 2012-2013 institutional budget to support talent management initiatives, such as completing the transition to electronic performance management and recruitment through the use of e-PAS and e‑recruitment tools that were developed in 2010-2011. The Committee was informed that e-PAS, which currently serves only international staff, would be expanded to cover all staff. The Committee was further informed that UNICEF, rather than building its own system, has been using a system built by UNFPA for which it is contributing to the maintenance costs. It was indicated that the expansion of the system to cover all staff would entail an additional one-time cost for UNICEF to be met from within the above-mentioned allocation.",
"23. The Committee was also informed that the talent management initiatives included the development of a new rotation policy for international Professional staff, according to which certain functional groups such as deputy representatives and health officers would be subject to a managed rotation. The Committee was informed that presently, managed rotation was being applied only to heads of office. The Committee was further informed that a pilot rotation exercise, which had been launched in 2010, was currently under review and would inform the new rotation policy. The resources proposed in the budget would cover its final design and implementation, along with the career development and talent management system of UNICEF, as part of a coherent human resources management system. The Advisory Committee notes the initiative taken by UNICEF to expand the scope of its existing staff rotation policy as an element in the development of a more coherent human resources management system. The Committee trusts that the experience of UNICEF in this regard will be shared with other agencies.",
"Cost Recovery",
"24. The Advisory Committee notes that actual cost recoveries in the 2008-2009 period amounted to $320.3 million, representing an average recovery rate of 6.7 per cent on total programme assistance funded by other resources. For the same period, the Committee notes that 36 per cent of the total institutional budget was funded from cost recoveries, which ensured that regular resources were not used to subsidize support costs for programme assistance funded by other resources. As indicated in annex II of the present report, $338 million, or 35 per cent of the total institutional budget for the 2012-2013 biennium, is projected to be funded through cost recoveries, an increase from the 24 per cent budgeted for 2010-2011.",
"25. The Committee further notes that a review undertaken jointly by UNICEF, UNDP and UNFPA in response to the UNICEF Executive Board decision 2011/6 has confirmed that the revised cost definitions and classification of activities have no impact on cost recovery and thus necessitated no changes in the cost recovery methodology to be applied for the 2012-2013 biennium. It is indicated that the current rates and methodology will again be reviewed jointly with UNDP and UNFPA in 2013, within the context of the new integrated budget for 2014, at which time any changes, if necessary, would likely be made.",
"26. The Advisory Committee welcomes the positive trend by which an increasing percentage of the institutional budget is being funded from cost recovery. The Committee encourages the joint efforts by UNICEF, UNDP and UNFPA to determine future cost recovery methodology and rates. It looks forward to receiving further information in this regard.",
"Annex I",
"Resource plan (In millions of United States dollars)",
"2010-2011 2012-2013\n Regular Other Trust Total % Regular Other Trust Total % resources resources funds resources resources resources funds resources",
"1. Resources available",
"Opening balance 613.0 1 740.0 303.0 2 656.0 — 580.0 1 788.0 448.0 2 816.0 —",
"Income",
"Contributions 1 833.8 4 008.8 — 5 842.6 — 2 011.0 4 343.0 — 6 354.0 —",
"Other income and 157.2 20.2 — 177.4 — 118.0 19.0 55.2 192.2 — reimbursements^(a)",
"Total Income 1 991.0 4 029.0 6 020.0 — 2 129.0 4 362.0 55.2 6 546.2 —",
"Trust funds — — 1 743.0 1 743.0 — 2 337.8 2 337.8 —",
"Total available 2 604.0 5 769.0 2 046.0 10 419.0 — 2 709.0 6 150.0 2 841.0 11 700.0 —",
"2. Use of resources",
"A. Development activities",
"A.1 Programmes 1 630.4 3 875.4 1 956.0 7 461.8 88.0 1 594.0 4 469.0 2 378.0 8 441.0 89.8",
"A.2 Development 188.5 77.2 — 265.7 3.1 159.6 91.8 5.0 256.4 2.7 effectiveness",
"Subtotal development 1 818.9 3 952.6 1 956.0 7 727.5 91.1 1 753.6 4 560.8 2 383.0 8 697.4 92.5 activities",
"B. United Nations 0.6 — — 0.6 0.0 3.5 — — 3.5 0.0 development coordination activities",
"C. Management activities",
"C.1 Recurring costs 533.6 169.4 — 703.0 8.3 444.6 238.0 — 682.6 7.3",
"C.2 Non-recurring costs 13.9 — — 13.9 0.2 1.0 3.2 — 4.2 0.0 b/",
"Subtotal management 547.5 169.4 — 716.9 8.5 445.6 241.2 — 686.8 7.3 activities",
"Total institutional 773.5 246.6 - 1 020.1 12.0 628.0 333.0 5.0 966.0 10.3 budget (A.2 + B + C + D)",
"Total use of resources (A 2 403.9 4 122.0 1 956.0 8 481.9 100.0 2 222.0 4 802.0 2 383.0 9 407.0 100.0 + B + C + D)",
"3. Projected balance of 200.1 1647.0 90.0 1937.1 - 487.0 1 348.0 458.0 2 293.0 - resources^(c)",
"4. Updated balances of 580.0 1 788.0 448.0 2 816.0 — resources^(d)",
"^(a) Includes interest, miscellaneous income and offset to the institutional budget.",
"^(b) 2010-2011: Security allocation approved by the Executive Board in 2008.",
"^(c) Projected balance of resources represents revised medium-term financial plan total cash balance before the funded reserves (for after-service health insurance, capital assets, separation fund and procurement services).",
"^(d) Balance of resources for 2010-2011 has been updated to include actual and projected changes in income and expenditure.",
"Annex II",
"Analysis of Trends and Ratios of Support budget — 1998 to 2011",
"(In millions of United States dollars)",
"PLANNED 98-99 00-01 02-03 04-05 06-07 08-09 10-11 1/ 12-13",
"Biennial Support Budget 527.5 545.5 574.2 701.9 757.4 912.8 1,020.1 966.0 (BSB)",
"BSB From Regular 493.6 477.7 485.9 545.5 567.4 689.8 773.5 628.0 resources",
"94% 88% 85% 78% 75% 76% 76% 65%",
"BSB From OR and other 33.9 67.8 88.3 156.4 190.0 223.0 246.6 338.0 Recoveries",
"6% 12% 15% 22% 25% 24% 24% 35%",
"Total Regular Resources 1122.5 1247.7 1147.9 1424.5 1658.6 2355.4 2403.9 2222.0",
"% of total RR used for 56% 62% 58% 62% 66% 71% 68% 72% Programmes",
"% of total RR used for 44% 38% 42% 38% 34% 29% 32% 28% BSB",
"1/ Revised to include 2010-2011 Security allocation approved by the Executive Board approved in 2008.",
"ACTUAL 98-99 00-01 02-03 04-05 06-07 08-09",
"Actual BSB Expenditures 507.5 521.9 568.9 682.2 739.0 892.5",
"Actual BSB From Regular 465.0 437.6 466.1 481.3 468.3 572.2 resources",
"92% 84% 82% 71% 62% 64%",
"BSB From OR and other 42.5 84.3 102.7 200.9 270.7 320.3 Recoveries",
"8% 16% 18% 29% 38% 36%",
"Total Regular Resources 1065.1 1178.0 1206.0 1365.0 1745.0 2087.8",
"% of total RR used for 56% 63% 61% 65% 73% 73% Programmes",
"% of total RR used for 44% 37% 39% 35% 27% 27% BSB",
"[1] * E/ICEF/2011/13."
] | E_ICEF_2011_AB_L.3 | [
"United Nations Children's Fund",
"The Executive Board",
"Second regular session 2009",
"12-15 September 2011",
"Item 8 of the provisional agenda",
"United Nations Children's Fund",
"Proposed institutional budget for the period 2012-2013",
"Report of the Advisory Committee on Administrative and Budgetary Questions",
"Introduction",
"The Advisory Committee on Administrative and Budgetary Questions considered the advance version of the proposed budget for the United Nations Children's Fund (UNICEF) Executive Board for the biennium 2012-2013 (E/ICEF/2009/AB/L.2). In its consideration of the report, the Advisory Committee met with the Deputy Executive Director and other representatives who provided further information and clarification.",
"Form and presentation",
"The Advisory Committee recalls that, in 2010, the Executive Board of UNICEF, the United Nations Development Programme (UNDP) and the United Nations Population Fund (UNFPA) approved its recommendations in the joint report entitled “Integrated Budget Road Map: Cost classification and results-based budgeting”. The present report has been prepared following a review of existing cost definitions, activities classification and associated costs and results-based budgeting patterns and methodologies for selected United Nations organizations and bilateral donors in order to identify best practices. The three organizations agreed to work together to strengthen coordination and improve the presentation of the biennial support budget for 2012-2013 and to work towards the development of a single integrated budget for each organization in 2004. The Advisory Committee notes that, in accordance with decision 2011/6 of the UNICEF Executive Board, the organizational budget for the period 2012-2013 is based on results-based approaches and is presented in the new cost classification format agreed upon by UNICEF, UNDP and UNFPA. The budget therefore represents an important milestone in the implementation of a fully integrated budget road map in 2014.",
"Resource projections",
"In accordance with the resource plan summarized in annex I to this document, resources for regular resources, other resources and trust funds are projected to amount to $117 million for the biennium 2012-2013, including an increase of $1,81 million or 12.3 per cent, compared to the total planned resources for 2010-2011 of $41.19 million. The total regular resources of $37.9 million in 2007 are projected to increase by $105 million or 4 per cent compared to $26.4 million in 2010-2011. Other resources are projected to amount to $615 million, reflecting an increase of $381 million or 6.6 per cent compared to $569 million in 2010-2011. The total trust fund is projected at $2841 million, an increase of $795 million or 38.9 per cent compared to $2046 million in 2010-2011.",
"The income of regular resources for the biennium 2012-2013 (mainly contributions) is estimated at $221.29 million, an increase of $138 million or 6.9 per cent compared to $191 million for the biennium 2010-2011. Other resources income is estimated at $436.2 million, reflecting an increase of $33.3 million or 8.3 per cent compared to $429 million in 2010-2011. Trust fund income is projected at $2393 million, an increase of $5948 million or 34 per cent over 2010-2011. With regard to the use of resources, the total proposed resources for the biennium 2012-2013 amounted to $987 million, of which $841 million would be used for programmes and $966 million for the institutional budget (see also paras. 24-26 below).",
"Proposed institutional budget for 2012-2013",
"The Advisory Committee notes that, according to the new cost classification, the institutional budget refers to the budget used for development effectiveness and United Nations development coordination activities, management activities and special-purpose activities. The budget is based on results-based approaches and is presented in the new cost classification format referred to in paragraph 2 above. The definition of the terms of reference for the above-mentioned cost classification is set out in annex 8 to the report on the budget of the institution.",
"The proposed institutional budget for the biennium 2012-2013 amounted to $966 million, representing a decrease of $54.1 million or 5.3 per cent compared to the biennial support budget and security budget of $120.1 million for 2010-2011. The decrease of $43.4 million was offset in part by an increase of $33.1 million and staff costs, exchange rates and inflation adjustments of $7 million. The decrease is due to the fact that the one-time investment project cost of $36.9 million in 2010-2011 and a one-time security cost of $13.9 million in 2012-2013.",
"The decrease of $43.4 million relates mainly to operational efficiency, cost reduction and financial effectiveness measures due to the review of operational costs, in particular international travel and conference costs; delays in the acquisition of transport equipment; and reduced use of consultants. In addition, increased use of common premises and common services is expected to cost savings. UNICEF expects that the above-mentioned initiatives will result in a decrease of $28.8 million at Headquarters and a decrease of $5 million in field offices (ibid., paras. In addition, the Committee was informed that it was encouraging the UNICEF regional offices to study the possibility of establishing or expanding multinational service centres to achieve economies of scale, reduce transaction costs and ensure sustained operational support to country offices (see also paragraph 20 below). The Advisory Committee welcomes the efforts of UNICEF to reduce costs through the review of existing operational activities and the use of new technologies to the extent possible. The Committee also encourages the use of common premises and common services, which will enhance efficiency and savings.",
"The Advisory Committee was informed that, in the preparation of the 2012-2013 budget, special attention was given to the correctness of costs — to determine the cost of activities funded from other sources of funding — and that a decrease of $5.1 million was expected (ibid., para. 51); and to reduce its recruitment activities to assess the impact of emerging talent initiatives, with a projected savings of $4.5 million (ibid., para.",
"The decrease was offset in part by an increase of $33.1 million, mainly in the area of coordination among the global cluster ($3 million); strengthening the presence of UNICEF in the newly independent Republic of South Sudan ($2.5 million); strengthening institutional oversight and security activities through the establishment of two posts in the Office of Internal Audit ($6 million); strengthening human resources management ($3.5 million); strengthening institutional oversight activities ($6.6 million); adoption of the International Public Sector Accounting Standards (IPSAS) ($3.2 million); support for talent management initiatives ($1 million). It is expected that the implementation of the VISION (Information virtual system) enterprise resource planning system will increase costs, further explaining paragraph 11 below ($10.2 million); and to develop a single organizational technical platform for the Organization ($9.1 million).",
"Overall, the Advisory Committee welcomes the progress made by UNICEF in improving the budget presentation, including the results-based budget framework and the inclusion of new cost classifications. In coordination with UNDP and UNFPA, the Committee encourages further efforts to improve the presentation. In particular, the Committee commends the use of tables and other presentation methods to make the budget more concise and considers that additional information should be provided in the presentation. The Committee requests that such a breakdown be provided in future budget proposals. The Committee supported most of the proposals of the Executive Director and made further comments on specific initiatives in the paragraphs below.",
"Specific comments and observations",
"VISION ERP system",
"The Advisory Committee was informed that on 1 January 2012 UNICEF implemented the VISION system at all locations. Some representatives of the Executive Director stated that VISION was based on a global enterprise resource planning system based on SAP and was expected to have a significant impact on the functioning of all UNICEF offices. The main part of the system is a central application system based on SAP and a performance management platform. These systems will support and assist in improving UNICEF work in four results areas: improved accountability and effective risk management; excellence programmes; operational performance; effective resource planning and implementation. These systems will replace the existing SAP enterprise resource planning system at Headquarters and programme managers in the field, and will provide web performance management information systems for monitoring and reporting on core financial and results information on the operation of UNICEF worldwide in real time.",
"The Committee was informed that significant investments had been made to prepare the necessary system functions for regional and country offices and to initiate pilots in a few country offices. Preparations include design, guidance and training, communication and monitoring and improved broadband and communication capacities. The Committee was also informed that costs for the period 2008-2009 to end 2010-2011 were estimated at $37.1 million. It was reported that, following the implementation of the system in January 2012, many challenges were expected, as new users used the system and improved business processes. Therefore, the system needs technical and advisory support to provide $10.2 million in the 2008-2009 institutional budget for the implementation of the VISION system.",
"The Advisory Committee commends the progress made by UNICEF in the implementation of a more robust and fully integrated global resource management system. The Committee trusts that UNICEF will share experiences with other organizations in the implementation of the system.",
"Post-implementation strategy",
"The Advisory Committee recalls that the adoption of IPSAS by the General Assembly in its resolution 60/283 (2006) and the UNICEF Executive Board in its decision 2007/10 was approved in order to achieve transparency and improve the benefits of accountability. The Committee also recalls that, in order to enhance coordination with other funds and programmes of the United Nations, a broad review was conducted in consultation with other agencies, with the ultimate revision of the UNICEF Financial Regulations and Rules to adapt to the full accountability required by IPSAS. The comments and recommendations of the Advisory Committee on the proposed amendments are contained in another report, which will be received by the Executive Board at its next session.",
"During its consideration of the 2012-2013 budget, the Advisory Committee was informed that UNICEF was ready to implement the Public Sector Accounting Standards in January 2012. The Committee was also informed that UNICEF planned to retain a small sector within the Finance and Administration Division (the Treasury Division) to provide advice and assistance, particularly in the area of training and capacity-building, as part of the UNICEF post-implementation strategy. The representatives of the Executive Director explained that UNICEF believed that there was no need for more support institutions, as most country offices had sufficient operational capacity to deal with implementation and that regional offices would support smaller offices in their implementation. They also explained that existing capacities would be further strengthened through training, and that a $3.2 million would be allocated in the 2008-2009 institutional budget to cover staff and consultants for capacity-building activities dedicated to IPSAS implementation. The Committee was also informed that the benefits of the IPSAS would be more pronounced after the implementation of IPSAS and the review by external auditors of the financial statements for 2012 to be submitted by UNICEF in mid-2013. In addition, the post-implementation strategy will draw on lessons learned from the implementation of the guidelines and will be reflected in the budget for 2009. The Advisory Committee reiterates its view that the implementation of IPSAS should be coordinated with other United Nations organizations as possible and that lessons learned should be recorded and shared with UNICEF. In this regard, the Committee draws attention to the approach of the Global Shared Services Centre under consideration by UNDP, which should be borne in mind if UNICEF considers changing the current strategy.",
"Global cluster coordination",
"During its consideration of the proposed budget, the Committee was informed that a global cluster approach had been developed to ensure predictable leadership and accountability in all key sectors or humanitarian response areas, and to strengthen system-wide preparations and technical capacity to respond to humanitarian emergencies. In this regard, a cluster-led body has been designated for all key humanitarian response sectors, and UNICEF has been designated as the global lead agency for the Water, Sanitation and Sanitation Cluster and the Nutrition Group; the International Save the Children Alliance as a global lead agency for the Education Group; the Global Protection Group as the lead agency in the area of child protection responsibility; and as a lead agency in the area of gender-based violence.",
"The Advisory Committee notes that funding and management of the responsibilities of UNICEF groups were allocated within UNICEF in 2010-2011. To ensure enhanced coordination and leadership, $3.5 million has been allocated in the institutional budget for the establishment of a global cluster coordination unit in Geneva, close to other humanitarian partners and the Inter-Agency Standing Committee secretariat. The allocation would cover the establishment of five posts (4 senior coordinators and one information management post) and other cluster coordination activities.",
"The Advisory Committee welcomes the commitment of UNICEF to allocate resources for cluster coordination, including the establishment of a Cluster Coordination Unit. In the Committee's view, if feasible, the participating organizations should share their economic responsibilities equitably.",
"Proposed staffing changes",
"The Committee notes that the amount allocated to posts in the 2008-2009 institutional budget is estimated at $729.7 million (ibid., annex 5). The proposed posts for the biennium total 2,919, representing a net decrease of 38 posts (ibid., annex 6). These changes include a net decrease of 4 D-1 posts; a net increase of 14 international Professional posts and three National Officers posts; and a net decrease of 51 General Service posts. The Advisory Committee welcomes the fact that the detailed organizational system table I would help to better understand organizational structure and proposed staffing changes. The Committee calls for the inclusion of the organizational chart in future budget reports.",
"The Advisory Committee notes that the above staffing changes would result in a total reduction of 65 posts at the country office level (1 D-1, 2 international Professional and 62 other level). The Committee also notes that 42 other categories of posts are proposed for the regional offices in East and South Africa. The significant reduction in support category posts is partly due to the shift in the strategy to strengthening the oversight and capacity of regional offices, which can help to streamline business processes and increase the operational efficiency of country offices. As noted in paragraph 11 above, the planned implementation of the VISION system and the strengthening of staff capacity through training are key elements for the implementation of this strategy. The strategy will also include the establishment and expansion of multinational operational services centres in West and Central Africa and Latin America and the Caribbean in order to enhance efficiency through merger operations. The Advisory Committee welcomes the efforts made by UNICEF to utilize the benefits of existing information technology to increase efficiency in resource management and enhance support for field offices. While the Committee did not object to the proposed changes in posts, it was considered that it was noted that ensuring that the reduction of posts would not negatively affect the country office delivery programme.",
"The Advisory Committee notes that two additional posts are proposed in the Office of Internal Audit to strengthen audit and investigation functions and to ensure compliance with the approved audit charter requirements (see para. In the Committee's view, the establishment of posts would enhance accountability and transparency.",
"Upon enquiry, the Advisory Committee was informed that UNICEF planned to allocate $1 million in the 2010-2011 institutional budget to support the talent management initiative, such as the completion of the transition to e performance management and the recruitment of electronic performance appraisal systems and electronic recruitment tools developed in 2010-2011. The Committee was informed that an electronic performance appraisal system currently serving international staff would be expanded to cover all staff. The Committee was also informed that UNICEF had not established its own system and had been using the system established by UNFPA and shared maintenance costs. It was noted that the expansion of the system to cover the one-time costs for all staff members from the above-mentioned allocation.",
"The Committee was also informed that the talent management initiative included the development of a new international professional rotation policy, whereby functional groups, such as deputy representatives and health officers, would be managed. The Committee was informed that the current management rotation applied only to the head of the Office. The Committee was also informed that the pilot rotation process initiated in 2010 was currently under review and that information would be provided for new rotation policies. The proposed resources in the budget will cover costs for the finalization and implementation of the policy and the cost of UNICEF career development and talent management systems, which are part of a coordinated human resources management system. The Advisory Committee notes that UNICEF has taken a number of initiatives to expand the scope of the existing staff rotation policy, which is an element of the development of a more coherent human resources management system. The Committee trusts that the experience of UNICEF will be shared with other agencies in this regard.",
"Cost recovery",
"The Advisory Committee notes that the actual cost recovery for the biennium 2008-2009 amounted to $303 million, representing an average recovery rate of 6.7 per cent in total programme assistance costs funded from other resources. In the same period, the Committee noted that 36 per cent of the overall budget of the institution had come from recovery costs, ensuring that regular resources were not used to subsidize programme support costs for other resources. As indicated in annex II to the present report, 35 per cent of the total budget of the institutions for the biennium 2012-2013 will be financed through cost recovery, an increase of 24 per cent over 2010-2011.",
"The Committee also notes that UNICEF, UNDP and UNFPA, in response to the joint review by the UNICEF Executive Board in its decision 2011/6, confirm that the revised cost definitions and activities are not affected by cost recovery and therefore that no change in cost recovery is required in the biennium 2012-2013. It was noted that the current rate and methodology would be reviewed again in 2013 in conjunction with UNDP and UNFPA, and in the context of the new integrated budget for 2004, at which time changes might be required.",
"The Committee welcomes the growing trend in the current institutional budget of funding for cost recovery. The Committee encourages UNICEF, UNDP and UNFPA to work together to identify future cost recovery options and rates, and looks forward to further information.",
"Annex I",
"Resource plans",
"(In millions of United States dollars)",
"[TABLE]",
"AD(a) includes interest, miscellaneous income and contributions to the institutional budget.",
"AD(b) 2010-2011: security allocations approved by the Executive Board in 2008.",
"lob (c) The total amount of the revised cash balances for the medium-term financial plan (for post-service health insurance, fixed assets, separation payments and procurement services) is expected to be recorded before the Fund's reserve.",
"AD(d) The resource balance for 2010-2011 has been updated to include actual and projected income and expenditure changes.",
"Annex II",
"Budget trends and ratio analysis, 1998-2011",
"(In millions of United States dollars)",
"Plan 98-99 00-01 02-03 04-05 06-07 08-09 10-111 12-13",
"The Executive Board",
"The Executive Board",
"The Executive Board",
"Total regular resources 1",
"Total regular resources for programmes account for 56 per cent, 52 per cent, 62 per cent 64 per cent, 76 per cent 61 per cent",
"Total regular resources for the biennial support budget of 44%,38 per cent, 32 per cent 32 per cent",
"The revised budget includes the 2010-2011 security allocation approved by the Executive Board in 2008.",
"Real 98-99 00-01 02-03 04-05 06-07 08-09",
"Actual expenditures for the biennial support budget 507.521.9 568.9 682.2 739.0892.5",
"The actual biennial support budget, 465.0 437.6 466.1 481.3 468.3,462,72 per cent 82 per cent, 71 per cent, 62 per cent",
"Subprogramme 3",
"Total regular resources 1,065.1",
"Percentage of total regular resources for programmes 56 per cent,63 per cent 61 per cent",
"Total regular resources for the biennial support budget",
"E/ICEF/2005/10."
] |
[
"第六十六届会议",
"临时议程^(*) 项目15",
"和平文化",
"《和平文化宣言》和《和平文化行动纲领》的执行情况",
"秘书长的说明",
"秘书长谨转递联合国教育、科学及文化组织总干事根据大会第65/11号决议提交的报告。",
"^(*) A/66/150。",
"联合国教育、科学及文化组织总干事的报告",
"摘要",
"本报告由联合国教育、科学及文化组织(教科文组织)编写，简要总结了教科文组织和其他有关联合国实体在过去一年按照大会第65/11号决议的要求，为执行《和平文化宣言》和《和平文化行动纲领》所开展的活动。本报告列入了从以下方面收到的资料：国际劳工组织、联合国粮食及农业组织、联合国近东巴勒斯坦难民救济和工程处、联合国人类住区规划署、国际电信联盟、联合国儿童基金会、和平大学、联合国难民事务高级专员办事处、联合国毒品和犯罪问题办公室、联合国促进性别平等和增强妇女权能署和世界银行。本报告还专门在一节中提出了关于将来行动的建议。",
"一. 《和平文化行动纲领》的执行情况",
"1. 本报告是根据第65/11号决议提交，说明了为执行该决议所采取的行动和联合国系统为执行《行动纲领》并促进和平与非暴力文化所开展的活动。促进和平文化表达了联合国教育、科学及文化组织(教科文组织)的根本使命。本报告说明，在开展了“为世界儿童建设非暴力与和平文化国际十年”(2001-2010年)的活动后，教科文组织是如何在国家、区域和国际范围内促进全球和平文化运动。报告还概要介绍了以下方面为落实关于执行《和平文化宣言》和《和平文化行动纲领》的第65/11号决议所开展的活动：国际劳工组织(劳工组织)、联合国粮食及农业组织(粮农组织)、联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)、联合国人类住区规划署(人居署)、国际电信联盟(电信联盟)、联合国儿童基金会(儿基会)、和平大学、联合国难民事务高级专员办事处(难民署)、联合国毒品和犯罪问题办公室、联合国促进性别平等和增强妇女权能署(妇女署)和世界银行。报告按照《和平文化行动纲领》所规定的八项行动，分八节介绍了这些活动。",
"A. 通过教育促进和平文化的行动",
"2. 在1974年《关于教育促进国际谅解、合作与和平及有关人权和基本自由教育的建议》的框架内，教科文组织继续通过教育促进和平文化，为此支持其成员国提供高质量和包容性的宣扬和平、人权、宽容、文化间相互理解、民主、非暴力和尊重价值观的教育。",
"3. 教科文组织与有关伙伴合作，为其成员国制定实际可行的与人权、和平、宽容和教育促进可持续发展等核心价值观有关的资格准则，并传播良好做法，从而加强了会员国把基于人权的方法纳入整个教育系统的能力。这项工作包括为提倡文化上适宜和使用适当语言编制的学习材料提供支持和政策咨询。教科文组织还就相关主题，如学习如何共存、人权和儿童权利、和平与民主、性别平等和防止校园暴力等，编制了教学和学习参考材料、手册和准则。",
"4. 教科文组织通过高级别国际和区域政策论坛，并利用其联系网络和机构，包括教科文组织联系学校网、教科文组织教席、大学结对和网络计划以及设在首尔的亚太促进文化间相互理解教育中心，继续倡导和平、人权、文化间相互理解和记住对犹太人的大屠杀。还对那些动员国家和人民支持和平的活动当中的优秀范例给予了奖励。2010年费利克斯·乌弗埃-博瓦尼和平奖颁发给了阿根廷的非政府组织——五月广场祖母协会，表彰该协会30多年来为争取人权、正义与和平进行不懈的斗争。教科文组织还为2011年的五井和平基金会国际青少年作文比赛提供了支助。",
"5. 通过全教科文组织的文化间对话与和平文化跨部门平台这个创新模式，取得了若干具体成果。主要的成就包括把现已完成的通史和区域史数字化，以及由来自46个非洲国家的代表通过共同商定的非洲通史教学内容。进行了一次跨区域和跨信仰的研究，以分析当代全世界青年进行宗教间对话的做法，并用英文、法文、阿拉伯文和西班牙文广为散发题为“制止校园暴力：教师指南”的出版物。和平力量网络支助了不同国家和区域的一系列项目，例如青年广播举措“连接不同文化”、巴勒斯坦/大不列颠及北爱尔兰联合王国联合制作的视频“我们的日常生活”、赞比亚的在线辩论节目和比赛“我是这样生活的……”。和平力量网络还为编制关于在报道中注意冲突的课程提供了支助，并与南非的罗得大学合作举办了与此相关的系列培训班。",
"6. 利用纪念国际青年年(2010年)的机会，在使人们更多地认识到青年成长问题，并更多认识到青年为支持国家发展、支持和平与非暴力文化所发挥的作用方面取得了进展。教科文组织作为机构间青年成长问题网络的共同主席之一，在以下方面提供了支持：采用和实施一项纪念国际青年年的联合国框架方法；联合国各实体首长关于国际青年年的联合声明；联合国对世界青年会议(2010年8月，墨西哥城)的联合投入。教科文组织通过与体育组织结成伙伴关系，还提高了关于体育在青年成长、社区行动以及建设和平与非暴力文化方面的重要性的认识。这包括与国际奥林匹克委员会一道组织第七次关于体育、教育与文化的世界会议，其主题是“给予青年发言权”(2010年12月，南非，德班)。为拉丁美洲和加勒比以及独立国家联合体的研究工作提供了支持，以便向会员国提供信息，供其制定青年政策和方案，包括防止青年暴力的政策和方案。还向太平洋的小岛屿发展中国家提供了政策咨询，供其制定现实和可以实现的注重行动的青年问题政策文件。",
"7. 为了克服青年面临的具体挑战，粮农组织继续在若干非洲国家、亚洲和中东支持建立青少年农民耕作和生活技能学校的方法。这个方法既为职业教育培训机会提供支持，又促进就业，将二者结合起来。青年们把农历作为一种生活模式，学习农业技能，同时培养相应的生活经验，例如确定目标、重视个人成长空间和团队精神。这个方法还有一个以就业为导向的组成部分，鼓励和协助学校毕业生加入农民联合会和农会，以便得到资源并在市场上投放自己的产品。",
"8. 人居署与包括教科文组织在内的其他联合国机构一道，通过其加强城市安全方案在城市发展中增强对最弱势青年的侧重，利用这些青年的社会资本来增加弱势社区和居民区内的机会，包括加强学校和积极的公民参与。正在通过这个方案建立全球加强城市安全网络，以增强全球和平文化运动。",
"9. 难民署继续通过其“900万”运动向难民青年提供教育和体育服务，服务人数在2010年达到460 000人，在20个国家促进了和平和非暴力文化。所有项目均加强了难民与收容社区的共存，一些项目还减少了刚从学校毕业的青年被招募入伍的风险。方案报告显示，体育在克服破坏性行为、艾滋病毒、滥用毒品、性暴力和性别暴力等问题方面发挥了重大影响。75%的项目特别以刚从学校毕业的青年和女孩为对象，因为他们如果得到机会，可以在国家的和平、重建和繁荣方面发挥关键作用。",
"10. 难民署在若干国家开展工作，执行通过促进对包括难民在内的外国人的宽容和尊重来抵制仇外心理的方案。该机构最近在拉丁美洲发起了一个主题为“设身处地为难民和流离失所者着想，并为理解其处境迈出第一步”的宣传运动，以促进对难民和流离失所者的宽容，帮助其融入本地社会。",
"11. 和平大学于1960年由大会授权提供促进人类和平的教育，为通过其教育和能力建设方案建设和平文化进行了积极努力。该大学通过安排与其他大学之间的伙伴关系和交流方案，并举办在线远程学习方案，包括举办一个独特和完备的在线和平研究硕士方案，对更广泛的受众进行了宣传。",
"12. 儿基会建立了一个基于权利、呵护儿童的教育系统和被形容为“包容所有儿童，使其享有健康和保护”的学校。这种呵护儿童的办学方针为若干国家所采用，以制止对儿童的暴力和促进和平教育。学校作为照顾和支持中心，向最弱势的儿童，特别是孤儿，以及那些遭受暴力侵害的儿童提供迫切必要的服务。这些服务包括供水、环境卫生和个人卫生、儿童热线、学校伙食和学校保健，并与父母、警察和儿童自己在学校治理方面的参与相结合。儿基会与国际儿童帮助热线之间的各项协议于2010年得到批准，使东非和南部非洲区域的11个国家受益。这些协议带来的成果包括设立免费儿童热线号码、在线咨询以及正在开展的儿童保护情况调查。",
"13. 最边缘化、贫穷和弱势的人也是那些使用毒品成瘾的风险最高的人，因此，联合国毒品和犯罪问题办公室通过其减少需求项目帮助这些人，以帮助形成一种和平与非暴力文化。这些项目侧重于促进对使用毒品成瘾的理解，将其视为一种可以在保健体系内有效治愈的健康失调，同时使用基于证据的方法来防止滥用毒品、进行治疗和提供照顾。预防方案，例如生活技能培训、家庭技能培训和工作场所方案，将帮助建立更为健康和更为安全的社区，为和平社会作出贡献。全面的赌瘾治疗和照顾服务是非常有效的工具，可使那些滥用毒品成瘾的人恢复健康和重返社会，以便能够为建设和维护和平作出贡献。",
"B. 促进可持续的经济和社会发展的行动",
"14. 教科文组织作为2005-2014年联合国教育促进可持续发展十年的牵头机构，正在支持会员国把可持续发展的原则、价值观和做法纳入包容性的教育政策和计划的设计和制定工作，包括纳入气候变化教育、教师培养政策、教科书和课程修订以及教学方法的更新。教科文组织还倡导对文化多样性作出坚定承诺。自上个报告期间以来，与伊斯兰教育、科学和文化组织合作制定了一个教育促进可持续发展方面的多视角学习工具，其中把水资源作为重点，不久将进行实地测试。此外，教科文组织还在若干会员国(特别是马尔代夫和越南)开展了关于气候变化教育的能力建设，并为在墨西哥坎昆举行的联合国气候变化问题会议(第十六次缔约国会议)提供了投入。国际生物多样性年和第十次生物多样性公约缔约方会议(2010年10月27日至29日，日本名古屋)为促进与联系学校网、教科文组织教育促进可持续发展教席网络、世界生物圈保护区网络和人与生物圈方案之间的合作提供了很多机会。教科文组织还支持最不发达国家实现其可持续发展目标，并为2011年5月9日至13日在土耳其伊斯坦布尔举行的第四次联合国最不发达国家问题会议通过的行动纲领提供了投入。",
"15. 联合国毒品和犯罪问题办公室通过农场上和农场外的活动努力减贫，将此作为其替代性发展活动以及减少非法作物方案的一部分，这些减贫活动向农民提倡合法创收机会，是以市场驱动的需求为基础。联合国毒品和犯罪问题办公室努力促进粮食安全，为此提供技术援助，以帮助提高粮食生产率，特别是提供高产、抗病的种子以及协助建立和管理粮食银行。",
"16. 粮农组织通过其“农村人口教育”这一龙头伙伴关系帮助增强农村穷人的权能，将他们充分纳入发展进程，从而使他们不那么易于卷入冲突。这个伙伴关系有400个成员(来自政府、政府间组织、民间社会和学术界)，粮农组织通过它帮助把农村人民教育纳入国家发展计划，并制作了一些出版物和工具包。",
"17. 粮农组织在非洲、亚洲和拉丁美洲的28个国家开展实地活动，对农村地区900多万人的生活产生影响。欧洲联盟粮食融资机制提供了3.15亿美元，用于资助这些项目。",
"18. 近东救济工程处继续执行一项大规模的扶贫方案以及一项为穷人当中的最贫穷者紧急提供食物的方案。近东救济工程处的社会安全网方案每季度向整个区域的近300 000难民提供小额现金补贴和食品包，以便为赤贫家庭提供一定的支持。此外，工程处以食品、现金和紧急就业机会的形式向那些受冲突和自然灾害影响的人提供了紧急支助。目前正在加沙、西岸和黎巴嫩采取这些紧急干预措施，整个区域有数十万需要帮助的人受益，从一项或多项干预措施中得到帮助。",
"19. 人居署继续确保穷人能够得到支付得起和适当的住房，并帮助系统地改善贫民窟和防止其形成。为此采取的行动是执行人居署理事会的一项决议，制定一项新的全球住房战略，在其中考虑到提供适当的可持续住房和基本的基础设施的挑战，并考虑到需要把住房政策纳入更广泛的城市规划战略和政府行动，使其与其他社会、经济和环境政策相一致。",
"C. 促使尊重所有人权的行动",
"20. 教科文组织继续通过执行联合国大会于2004年通过的世界人权教育方案(见大会第59/113 A号决议)，积极促进受教育权利。编制了一系列材料，以协助会员国把促进和平与人权的教育纳入学校系统，包括发表题为《当代人权教育问题》的出版物。还与10个国家的教科文组织国家委员会和教科文组织联系学校项目网络的国家协调人合作，制作了一部短片，题为《青年谈人权教育》。这部影片从人权教育角度出发，展现了当今学校中的青少年在性别平等、暴力、和平与文化多样性方面关注的问题和面对的挑战。",
"21. 为了加强人权领域的宣传倡导、能力建设和以政策为导向的行动，教科文组织以联合国发展集团新的人权主流化机制为框架，为收集和设计培训材料提供了帮助。该机制的目标是使联合国更有效地运用基于人权的方案规划方法，特别是在国家一级运用这个方法，来制定联合国发展援助框架。",
"22. 本报告所述期间编制的其他人权培训材料包括题为《通过人权诉讼增强穷人权能》的范本手册，以及教科文组织试点收集的四卷关于把免于贫穷作为一项人权的资料，这些资料从多个方面分析了贫穷问题。",
"23. 作为教科文组织的提高人权意识工作的一部分，总干事在人权日(12月10日)向巴基斯坦的阿斯玛·贾汉吉尔颁发了教科文组织/毕尔巴鄂促进人权文化奖，以表彰她为促进宗教间和文化间对话、宽容、相互理解与争取和平的合作所作出的承诺和贡献。",
"24. 联合国毒品和犯罪问题办公室通过其艾滋病毒预防、治疗、护理和支持方案来处理与人权和性别平等有关的问题。2010年，联合国毒品和犯罪问题办公室帮助大约40个国家对有关艾滋病毒和监狱环境、艾滋病毒与注射毒品者以及易受人口贩运之害的人的法律和政策进行了审查。联合国毒品和犯罪问题办公室在至少49个国家提供了技术支持，以按照人权条约和相关国际标准制定针对监狱环境、注射毒品者以及易受人口贩运之害的人的基于人权、注重性别平等问题和公平的艾滋病政策和方案。",
"25. 近东工程处通过在教育、保健和社会服务、改善基础设施和难民营以及小额融资方面举办的各种方案，为实现巴勒斯坦难民的各项社会经济权利作出贡献。教育方面的服务最为引人注目。几乎500 000个儿童在遍布该区域各地的几乎700所近东救济工程处学校中继续受教育，近东救济工程处为他们提供了将近20 000名教学人员。",
"D. 保证男女平等的行动",
"26. 教科文组织努力确保男女平等，把在其所有负责领域采取行动以争取性别平等作为优先事项，并将此定为2008-2013年中期战略的两个全球优先事项之一。教科文组织执行局批准的2008-2013年基于成果的两性平等优先事项行动计划阐明，该组织各方案领域将采取何种行动来增强妇女权能和实现性别平等。",
"27. 为了加强教科文组织在通过优质教育增强女孩和妇女权能方面的努力，总干事于2011年5月26日在一个高级别论坛上发起了促进女孩和妇女教育的新全球伙伴关系，联合国秘书长潘基文、孟加拉国和马里的总理、美国国务卿、非政府组织的代表以及企业界领袖出席了该论坛。在高级别小组的支持下，教科文组织的“生活更美好，未来更美好”全球伙伴关系侧重于通过与企业，例如与诺基亚、宝洁、环球教育集团、微软、苹果和帕卡德基金会建成伙伴关系，帮助文盲或半文盲少女并扩大妇女扫盲方案。已经在非洲和亚洲发起一些项目。",
"28. 教科文组织制定了各种倡议，以支持妇女参与解决冲突、建设和平和重建工作并解决性别暴力问题，特别是通过设在拉马拉的巴勒斯坦妇女问题研究和文献中心、设在金沙萨的大湖区妇女、性别平等和建设和平问题第二类区域研究和文献中心以及教科文组织的女哲学家国际网络开展这些工作。",
"29. 为了支持和鼓励所有文化背景的青年妇女从事科学领域的工作，教科文组织为妇女提供了科学能力建设和培训机会，办法包括：利用设在荷兰代尔夫特的教科文组织国际水教育学院；通过教科文组织/莱莉雅公司伙伴关系为青年女科学家提供研究金；建立和加强新的女科学家协会和网络。",
"30. 还通过保护和管理文化、自然和非物质遗产方面的教育和培训方案推动增强妇女的政治和社会权能。这项工作还把女手工艺者摆在优先地位，帮助她们建立自己的小企业，以增加社会经济效益。此外，结合“一体行动”原则，在国家一级制定了艾滋病毒/艾滋病预防和护理以及孕产妇保健方面的注重文化特点和性别平等的政策和行动。",
"31. 教科文组织通过其基于社区的信息扫盲运动，加强妇女为发展和终生学习，特别是为实现可持续生计而获得和使用信息和通信技术的能力。这方面的例子之一，是教科文组织与布尼亚德基金会和移动电话公司Mobilink共同发起的作为试点的流动扫盲方案，通过这个方案建立了50个社区学习中心，1 250个文盲妇女在这些中心获得基本的识字技能。",
"32. 粮农组织继续把性别平等方面的关注问题纳入农业和农村发展方案的主流，为此组织针对政策制定者、决策者和技术工作人员的性别平等培训和宣传活动，以支持他们制定和执行注重性别问题的方案和项目，来消除农业和粮食安全方面有关性别平等的缺陷，特别强调获得和控制生产资源以及体制建设。",
"33. 近东救济工程处为促进性别平等所采用的办法是：确保女孩和妇女可以平等地获得其所有服务，支持妇女职业培训中心，以及制定有针对性的方案来促进妇女的权利和机会。在该区域各地的难民营内建立了一些妇女方案中心，用以向妇女提供服务。还通过加沙的行动平等方案向妇女提供机会，并通过小额金融和微型企业方案举办面向女企业家的特别贷款计划。",
"34. 妇女署为会员国和联合国系统各实体实现性别平等和增强妇女权能提供了支持，为此开展的活动有以下五个专题领域，载于2011-2013年战略计划：(a) 扩大妇女的领导作用和参与；(b) 制止侵害妇女的暴力；(c) 加强妇女与和平与安全议程的执行工作；(d) 增强妇女的经济权能；(e) 使性别平等优先事项成为国家各级规划和预算编制工作的核心。",
"35. 劳工组织通过就工作场所性别平等问题提供咨询服务、开展培训、制定方式方法、进行宣传以及支持收集、制作和分发良好做法来促进性别平等。在国家一级，劳工组织监督专门针对性别平等问题举办的技术合作方案，以解决妇女和男子在工作场所关注的问题，并促使开展努力，把性别平等问题纳入劳工组织工作的技术性领域。劳工组织在其成员之间试点进行了一次参与性的性别平等情况检查。",
"E. 支持民主参与的行动",
"36. 教科文组织通过一系列举措来支持民主参与，这些举措包括：阿拉伯与亚洲关于民主和社会正义的哲学对话；阿拉伯世界与非洲之间关于民主和人权的对话；在黎巴嫩比布鲁斯的国际人类科学中心进行研究。此外，教科文组织还支持了以下工作：制定有利于媒体自由和独立的立法；对新闻记者和媒体专业人员进行关于中立和独立的报道技巧，特别是在冲突和冲突后地区进行这种报道的培训；协助媒体报道选举活动。",
"37. 为了配合阿拉伯世界若干国家向民主的过渡，教科文组织最近的举措集中于以下方面：支持埃及青年进行公民参与；在埃及和突尼斯培训新闻记者，并向媒体专业人员提供选举前支持，包括与法国电视台和欧洲广播联盟联合组织了一次支持突尼斯和埃及广播媒体国际会议；在贝鲁特组织了一次关于设计、监测和评价阿拉伯世界社会保护工作的区域能力建设讲习班。此外，举行了一次国际圆桌会议，主题是“阿拉伯世界的民主与复兴”，来自阿拉伯世界的知识分子和专家参加了这次会议，讨论如何向民主过渡。根据这个重要的圆桌会议的讨论结果，教科文组织制定了一份配合阿拉伯世界向民主过渡的路线图。",
"F. 促进理解、宽容和团结的行动",
"38. 在领导2010年国际文化和睦年活动时，教科文组织利用其超过60年的经验促进“人民相互了解和理解”。该国际年的主要目标是帮助消除造成紧张、不安全、暴力和冲突的无知、偏见和排斥所产生的任何混乱。任务是要通过确认不同文化间交流和建立关系的重要性，说明文化多样性的好处。目的是把对话原则纳入各级政策，以促成一个有利于文化和睦的环境，从而加强各国人民之间的和谐关系。",
"39. 启动该国际年的进程得到了一些相得益彰举措的促进。对数个国际年(国际生物多样性年、国际青年年和非洲裔人国际年)和世界日(例如世界哲学日和世界文化多样性促进对话和发展日)的平行庆祝使处理的这些主题得以深化和交融。",
"40. 为促进会员国、政府间组织和非政府组织对国际年的认同，行动计划包括四大主题：(a) 促进对文化、种族、语言和宗教多样性的相互了解；(b) 为共同价值观建立一个框架；(c) 加强优质教育和文化间能力建设；(d) 促进有利于可持续发展的对话。这些主题的基础是文化平等尊严、相互尊重和加强国际合作促进持久和平的原则。",
"41. 会员国以及不同文明联盟和民间社会相关利益攸关方等合作伙伴为庆祝国际年而组织的具体活动(总共近1 000项)，可在教科文组织的网站上查阅(http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures/)。",
"42. 国际年为在一个广泛、多样和以年轻人为主的受众中建立对文化多样性财富及其必然结果——即文化间对话——的认识，将其作为和睦相处一部分，起到了推动作用。一个新出现的核心观点是：在新的国际格局中，必须更多地考虑到文化多样性、对话、发展、安全与和平之间的关联。这些相互依存的概念应成为建设一种和平与非暴力文化的新方法的内涵。若要对话产生效力，就必须满足一些基本前提，那就是：平等、公正、减贫和尊重人权。",
"43. 为了促进对二十一世纪和平新层面的反思，教科文组织总干事设立了一个文化间和平与对话高级别小组。高级别小组由世界各区域的决策者、知识分子和艺术家组成，他们在一起共同规划通向和平的新途径。其主要使命是对教科文组织在这方面的工作进行补充，并使不同区域和范围广泛的利益攸关方的多种多样观点发挥影响。高级小组于2010年2月18日在巴黎举行了第一次会议，以启动2010年国际文化和睦年(见A/65/299，附件)。高级小组于2011年3月11日在纽约再次开会，讨论了“建设和平：通过教育、科学、文化和沟通的力量促进和解”这一专题。这次会议的报告可到教科文组织网站查阅(http://www.unesco. org/en/2010-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/)。",
"44. 教科文组织还按照大会2001年通过的“不同文明对话全球议程”(大会第56/6号决议)以及由教科文组织自身理事机构做出的指示推动不同文明和文化之间的对话，从而为加强和平、相互理解和社会凝聚作出了贡献。",
"45. 在与不同文明联盟签署的谅解备忘录(2010年5月，里约)的框架内，教科文组织实施了由西班牙供资的文化间简报方案。该方案的重点是旨在加强阿拉伯-穆斯林与欧洲社会之间联系以增进相互了解的五个项目。这些项目是：",
"(a) 一部穆斯林/阿拉伯文明及其为欧洲哲学和文化复兴所作贡献的科学、哲学、文学和艺术文集。文集是为教师、学生和普通公众设计的一个工具，目的是提供一种团结穆斯林/阿拉伯世界和西方的跨文化历史视野；",
"(b) 从哲学角度看穆斯林/阿拉伯文明：关于路线、遭遇、桥梁和对话的故事。这需要制作一些面向中学教师的教育工具，以期说明穆斯林/阿拉伯文明内部和通过穆斯林/阿拉伯文明进行对话和交流的实例；",
"(c) 说明相互关系和开展对话：博物馆作为开发跨文化技能的一种公民空间。该项目的核心是开发博物馆学方面的办法，以传播历史性文化间交流的信息；",
"(d) 年轻艺术家促进阿拉伯世界和西方世界之间的跨文化对话。该项目旨在表彰年轻艺术家有利于阿拉伯/西方对话的创造性成就；",
"(e) 和平力量网络：报道促进和平。该网络是一个互动平台，寻求通过媒体及信息和通信技术，利用创新机制促进和平。",
"46. 此外，联合国教科文组织/姐妹学校方案与不同文明联盟密切合作，设立了一个网络，把巴西、中国、埃及、美利坚合众国、西班牙和加勒比区域6所大学中的媒体和信息教育与文化间对话相结合。活动将包括推动与媒体和信息教育有关的国际和文化间研究、会议、出版、培训活动和内容制作，并将其应用于跨文化、宗教间对话和全球合作。",
"47. 为促进非洲之角民间社会对话，教科文组织与大非洲之角地平线论坛这一独立的研究政策论坛合作，在该区域研究人员和散居国外研究人员的参与下，组织了一次青年事务部长会议(2010年12月，吉布提)。会议审查了每一个成员国现有的研究并为其确定了政策建议。",
"48. 此外，教科文组织还支持了2011年4月非洲与美洲之间关于“非洲及其散居国外人口”的区域间哲学对话会议。在非洲裔人国际年(2011年)框架之中组织的这次会议召集了非洲、散居国外群体和美洲的哲学家一道讨论当代各种挑战。对话推动设立了一个非洲、拉丁美洲、加勒比和北美哲学家组成的网络，以期通过学生交流方案等办法加强学术合作和能力建设。",
"49. 在中亚，通过设立一个门户网站作为与欧洲开展艺术和文化合作及对话的工具，并通过中亚国际研究所和国际游牧文明研究所开发的各种活动(考察、会议、科研和出版)，文化间对话得到了推动。",
"50. 在东南欧，国家元首之间的跨文化对话通过组织一系列区域会议得到了支持，举办这些会议的地点是：前南斯拉夫的马其顿共和国奥赫里德(2003年)、地拉那(2004年)、保加利亚瓦尔纳(2005年)、克罗地亚奥帕蒂亚(2006年)、布加勒斯特(2007年6月)、雅典(2008年6月)、黑山采蒂涅(2009年)和土耳其伊斯坦布尔(2010年)，会议目标是为未来确立一个基于国际合作的共同愿景。2011年的首脑会议将在塞尔维亚举行。",
"51. 在以色列和巴勒斯坦领土方面，已设立了一个男女人数平衡的联合(以色列-巴勒斯坦)学术委员会，由来自以色列和巴勒斯坦各大学、科研院所和智囊团的成员组成。该委员会将共同开展工作推动和争取实现以色列人和巴勒斯坦人内部和之间的对话与学术合作。",
"52. 在中东，通过与罗马大学合作启动的第三版大学合作方案，即2010-2011年“社会科学与人道主义事务大师”，建设和平及文化间理解也得到了促进。该方案将推动以色列和巴勒斯坦大学的教师和学生之间的学术交流与合作。",
"53. 教科文组织推动有利于和平与非暴力的科学，将其视为文化间对话与合作的一个媒介，以帮助预防潜在的争夺淡水和可耕地等自然资源的冲突，并解决复杂的全球环境与发展挑战。为此，它对以色列、巴勒斯坦科学组织予以了技术支持，该组织为巴勒斯坦和以色列科学家就联合科学项目开展合作提供了机会。教科文组织还为马耳他会议系列提供了支持，这些会议召集中东及邻近区域的科学家一道讨论与该区域化学研究和教育有关的问题并共同寻求令各方都满意的解决方案。这一系列中的第五次会议在教科文组织总部召开(2011年12月)，主题是“化学科学前沿：研究和教育在中东：通向和平及国际发展的桥梁”。",
"54. 教科文组织通过其人与生物圈方案支持各国建立跨境生物圈保护区，以在与适应气候变化、生物多样性丧失、可持续发展和生态旅游有关的问题上促进和解、文化间对话、和平与合作。现有10个这种保护区分布在拉丁美洲、欧洲和非洲的15个国家。在国际协调理事会2011年6月的最近一次会议上，该方案核准了萨尔瓦多/危地马拉/洪都拉斯的特里芬尼奥兄弟友好(Trifinio Fraternidad)生物圈保护区，这是中美洲第一个三国生物圈保护区。",
"55. 教科文组织通过其“从潜在冲突到合作潜力”方案为多层次、跨学科对话提供了便利，以促进与共有跨界水资源管理有关的和平、合作与发展。该方案力图强化各利益攸关方在共有跨界水资源管理方面预测、预防和解决水冲突的能力，从而加强用水保障。",
"56. 通过支持每年11月10日庆祝争取和平与发展世界科学日的活动，也提高了对推动科学促进和平的重要性的认识。",
"G. 支持参与式沟通和信息自由流动的行动",
"57. 教科文组织继续开展关键的能力建设行动，重点是强调媒体在促进对话、民主和发展进程以及在保护人权方面的有益作用。媒体专业人员在新闻安全、冲突敏感报道和报道选举方面的能力得到了加强。",
"58. 通过2010年的几项活动提高了对言论自由和获取信息的权利的认识。2010年世界新闻自由日的重点是“新闻自由：知情权”这一主题。在澳大利亚举行的世界新闻自由日国际会议上，与会者通过了《布里斯班宣言》，呼吁各国政府通过信息自由法，并强调了独立和多元化媒体的重要性，指出这是良政和以人权为基础的发展的基本要素。至少在100个国家中庆祝了世界新闻自由日。教科文组织/吉列尔莫•卡诺奖颁发给了 Mónica González Mujica，以表彰她在智利独裁期间进行的深入调查的新闻报道。",
"59. 为在言论自由领域开展工作的政府间组织和非政府组织提供了支持，特别是在结束有罪不罚现象和暴力侵害记者问题方面。教科文组织继续支持国际言论自由交流网，特别是支持发展中国家和转型期国家的团体推动更好地保护新闻自由和新闻工作者的权利。2010年，媒体专业人员的安全特别令人关切，教科文组织总干事谴责了62名新闻工作者遭到杀害的事件。国际通信发展方案理事会通过了关于新闻工作者安全和有罪不罚问题的决定，呼吁各国向教科文组织报告它们调查杀害新闻工作者案件的情况。",
"60. 通过国际通信发展方案为在61个发展中国家启动83个项目提供的支持，协助会员国发展免费、独立和多元化的媒体。墨西哥的“农民之声”社区无线电台和埃及记者Amr Mamdouh Ellissy共同获得2010年联合国教科文组织-国际通信发展方案农村通讯奖。",
"61. 教科文组织继续推广社区电台和社区多媒体中心，在19个国家推出了社区电台项目。在管理、可持续性、节目编排和社区参与方面确定了总共50项社区电台最佳做法，并为世界社区广播协会提供了支持，以制订社区电台业者共同业务守则。由教科文组织支持的印度社区电台政策审查产生了一项建议，即创建一个国家公共基金，以支持社区媒体的发展。",
"62. 媒体培训和新闻教育机构的能力也根据教科文组织的新闻培训优良标准得到加强，有51个国家的63个新闻培训机构采用了教科文组织的新闻教育示范课程。",
"63. 教科文组织还为制订国家信息政策框架提供了协助，尤其是在全民信息方案的框架中提供了协助，从而推动了信息的普及。",
"64. 粮农组织为利用农村广播、参与式视频、打印和视听工具等媒体提供了支持，以增强农村民众对发展举措的参与和拥有。粮农组织通过其“弥合农村数字鸿沟以减少贫穷和粮食不安全状况”方案开展工作，加强在农村地区利用和交流信息的人员和机构能力，同时利用各种媒体减少贫穷和确保粮食安全。",
"65. 国际电联于2008年提出了儿童在线保护举措，以提高对儿童在线保护重要性的认识、对包括儿童自己在内的公众进行教育并为他们制订指导方针。这一举措还在制订可交互操作的技术标准以对在线儿童进行保护，并帮助各国建立国家热线和制订国家战略及开展立法进程。国际电联在2011年世界青年和平高峰会期间举行了一个关于“技术之声：聚焦于青年和上网”的专题小组讨论会，并在联合国青年问题高级别会议期间举办了一次以“信息技术作为和平、人权与发展的催化剂”为主题的大型活动，以推动信息和通信技术为促进和平发挥作用。",
"H. 促进国际和平与安全的行动",
"66. 教科文组织通过一个专门的跨部门平台为处于冲突后和灾害后局势的国家提供了支持，以协助这些国家：重建其教育体系以实现全民教育的目标；提供政策咨询和知识专长以化解可能出现的争夺自然资源冲突；振兴国内研究设施；将防灾和减灾工作、特别是早期预警系统纳入冲突后和灾害后对策；保护和修复受到破坏的文化和自然遗产。",
"67. 在本报告所述期间，向遭受自然灾害影响的国家提供了支持，这些自然灾害是：海地地震、贝宁和巴基斯坦洪水、印度尼西亚海啸和火山爆发以及日本地震和海啸。它还支持了一批处于冲突后环境的国家，例如阿富汗、刚果民主共和国、伊拉克、巴勒斯坦被占领土以及数个西非国家。",
"68. 教科文组织参加了由联合国人道主义事务协调厅发起的26次呼吁中的16次，特别是为应对海地地震和巴基斯坦洪灾发出的呼吁。它还开始执行联合国国家工作队10项联合方案中的8项，预计将在西班牙实现千年发展目标基金“解决冲突与建设和平”这一专题窗口下拨款830万美元(巴西、智利、哥斯达黎加、刚果民主共和国、危地马拉、海地、前南斯拉夫的马其顿共和国、墨西哥、黎巴嫩和巴拿马)。",
"69. 应危机后非洲国家的请求，向在它们境内与联合国合作伙伴、尤其是与难民署和非洲区域组织开展的联合活动提供了支持，特别是通过教科文组织的紧急状况和重建教育方案提供了支持。教科文组织在其主管领域为科特迪瓦制订的一个冲突后全面支持方案于2008年启动，并为有特殊需要的国家(吉布提、利比里亚、塞拉利昂和苏丹)架设了天线。在区域和次区域这两级，作为联合国区域协调机制的一部分，教科文组织还在非洲联盟冲突后重建与发展行动框架中向非洲联盟和向一批区域组织举措提供了支持。",
"70. 教科文组织还推出了关于“隐藏的危机：教育中的武装冲突”的2011年《全民教育全球监测报告》，报告检讨了冲突对实现全民教育目标的破坏性后果。它制订了一项议程，以保护在冲突中受教育的权利，加强为受冲突影响的儿童、青年和成人提供的援助，以及在刚刚摆脱冲突的国家重建教育系统。它借鉴一系列国家的经验，找出了一批问题并提出了解决方案，以使教育可以成为促进和平、社会凝聚及人类尊严的力量。",
"71. 为通过进一步努力争取多个利益攸关方参与不同文化的对话以促进国际和平与安全，教科文组织与范围广泛的合作伙伴和组织进行了协商，以确定联合行动和建立伙伴关系的可能。",
"72. 教科文组织还参加了联合国机构间的反恐工作队，并于最近提交了供资提案，以制订和执行一批方案，在尼日利亚支持预防冲突、推动和平教育并协助抗御暴力极端主义的吸引力。",
"73. 难民署通过其德国(艾伯特·爱因斯坦)难民学者倡议(难民学者倡议)奖学金方案推动教育促进重建、建设和平及国家建设。2010年，37个国家的1 900名学生通过这一方案推进了他们的大学学业。通过加强自力更生能力和开发人力资本，难民学者倡议树立了难民榜样、促进了持久解决办法并使学生具备有利于重建、建设和平及国家建设的重要技能。",
"74. 粮农组织协调了冲突后国家中的一批行动计划以支持冲突后局势中的农业发展和粮食安全，并参加编写了冲突后需求评估中的农业各部分。这一评估工作由联合国发展业务协调办公室协调。",
"75. 儿基会支持了儿童友好空间方案，在阿富汗、阿尔巴尼亚、安哥拉、哥伦比亚、萨尔瓦多、海地、科索沃、利比里亚、东帝汶和土耳其把寓教于乐、同伴交往和表达活动都结合到一个保护性空间中进行。儿童基金会还支持在尼泊尔发展一种全部门办法，以帮助建立一个更公平的制度和增进凝聚力。紧急情况中和危机后过渡期间教育方案自2006年运作以来，在39个国家和领土支持了儿基会的教育方案拟订工作。冲突是该方案供资的许多国家的一个特点。儿基会与负责儿童与武装冲突问题的秘书长特别代表办公室合作，通过2005年安全理事会第1612(2005)号决议所设关于在武装冲突中严重侵犯儿童问题的监察和报告机制，记录了在22个国家各种局势中犯下的严重侵犯儿童的行为。这些资料载于开列了犯有严重侵犯行为者名单的秘书长年度报告中。",
"76. 人居署支持总共48个国家执行政策以增进使用土地和获得住房的机会，包括危机后重建方面的政策。其中15个国家已获得危机后重建支持，其中6个在非洲和阿拉伯国家区域、8个在亚洲和太平洋区域、1个在东欧和中欧区域。",
"77. 国际劳工组织向处于冲突后局势中的国家提供了技术援助，展示以就业为重点应对建设和平挑战的效力。它还为政府、雇主组织和工人组织(即劳工组织所代表的三方)提供了促进体面劳动和社会正义方面的能力建设，执行方式是开展培训、提供咨询(包括劳工资料和统计数据、劳动法规和重建方面)和传播相关出版物。这也包括向捐助方和伙伴机构以及在媒体上倡导把就业置于建设和平工作的核心地位。",
"78. 世界银行最近发布了《2011年世界发展报告：冲突、安全与发展》，其中强调了体制合法性在支持国家-社会契约方面的重要性以及为减少暴力而投资于公民安全、司法和就业的必要性。它致力于落实《2011年世界发展报告》所传递的关键信息，包括加强与在脆弱局势中开展工作的关键行为体的伙伴关系，特别是同联合国各基金、方案和机构的关系。",
"二. 促进和平与非暴力文化的今后行动",
"79. 教科文组织在为世界儿童建设非暴力与和平文化国际十年(2001-2010年)和2010国际文化和睦年所总结经验教训的基础上再接再厉，正在同会员国协商制订一个综合的、跨部门和跨学科的和平与非暴力文化行动纲领。这一行动纲领的目标是进一步加强在国家、区域和国际各级促进和平与非暴力文化的全球运动。",
"80. 根据2011年5月教科文组织执行局关于编制其2012-2013年方案和预算草案的决定，在编制该预算时，将规定在以下方面开展数目现实的定向行动：",
"(a) 加强促进和平与非暴力文化的教育，以实现文化间团结和代际对话以及有利于和解及建设和平的相互理解；",
"(b) 宣扬自然科学，将其作为一种通用语言及文化间对话和交流以及促进和平的媒介；",
"(c) 强调社会和人文科学在促进普世价值、民主和人权方面的作用；",
"(d) 突出文化多样性、文化间对话和以及各种形式的遗产在促进相互理解与和解方面的重要作用；",
"(e) 通过强调年轻人对新媒体的使用，探索作为和解、宽容和文化间理解的中介的媒体所提供的机会。",
"81. 教科文组织将致力于在全球、区域、次区域和国家各级调动所有相关的利益攸关方。它还将利用其在教育、科学、文化、通信和信息方面的多学科知识专长，制订具有创意的方案，以在促进和平与非暴力文化方面取得影响力较大的成果。",
"82. 行动纲领将由一个专门的和平与非暴力文化跨部门平台执行和管理。该平台还将负责执行沙特阿拉伯王国提出的一项举措，即“阿卜杜拉·本·阿卜杜勒·阿齐兹和平与对话文化国际方案”，该国为此已捐款500万美元。",
"三. 建议",
"83. 大会不妨考虑以下行动：",
"(a) 为加强政策一致性，探讨是否可能就涉及以下方面的问题统一向大会作出报告：和平文化、文化多样性、宽容、相互理解、和睦、非暴力以及文化间对话，包括宗教间的对话；",
"(b) 呼吁联合国发展集团，包括其区域团队和联合国所有国家工作队，把重点在于促进和平与非暴力文化的方案单元纳入共同国家方案拟订的工作和文件，主要是纳入联合国发展援助框架，包括酌情把以预防和化解冲突以及冲突后和解为重点的方案单元纳入其中；",
"(c) 邀请联合国系统职员学院制订这方面的培训单元和学习材料，并为联合国国家工作队提供培训讲习班，以建立联合优势，加强一致性和协调，使这些工作队能更好地回应具体的国家需要；",
"(d) 设立一个和平与非暴力文化问题机构间工作组，以讨论共同举措和考虑制订一个规定了目标和可衡量的预期成果的路线图，并监测这方面工作的落实情况；",
"(e) 欢迎教科文组织努力建立国家和区域机制，例如文化间论坛，从基于人权的角度突出文化间对话和文化多样性的好处，以在日常生活中打击暴力和建设和平，并邀请会员国在它们为和平文化所作承诺的背景中维持这方面的努力；",
"(f) 鼓励会员国在积极推动文化间对话和致力于促进可持续发展及和平的各组织之间建立联系，以期为和平相处创造新的动力。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 15 of the provisional agenda*",
"Culture of Peace",
"Implementation of the Declaration and Programme of Action on a Culture of Peace",
"Note by the Secretary-General",
"The Secretary-General hereby transmits the report of the Director-General of the United Nations Educational, Scientific and Cultural Organization submitted pursuant to General Assembly resolution 65/11.",
"Report of the Director-General of the United Nations Educational, Scientific and Cultural Organization",
"Summary",
"The present report, prepared by the United Nations Educational, Scientific and Cultural Organization (UNESCO), presents a succinct summary of the activities carried out over the past year by UNESCO and other relevant United Nations entities to implement the Declaration and Programme of Action on a Culture of Peace, as requested by the General Assembly in resolution 65/11. The report includes contributions received from the International Labour Organization, the Food and Agriculture Organization of the United Nations, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, the United Nations Human Settlements Programme, the International Telecommunication Union, the United Nations Children’s Fund, the University for Peace, the Office of the United Nations High Commissioner for Refugees, the United Nations Office on Drugs and Crime, the United Nations Entity for Gender Equality and the Empowerment of Women and the World Bank. It also includes a section on recommendations for future action.",
"I. Implementation of the Programme of Action on a Culture of Peace",
"1. The present report is submitted in accordance with resolution 65/11 and provides information on actions undertaken to implement the resolution and on activities undertaken by the United Nations system to implement the Programme of Action and to promote a culture of peace and non-violence. It provides information on how the United Nations Educational, Scientific and Cultural Organization (UNESCO), for which the promotion of a culture of peace is the expression of its fundamental mandate, is strengthening further the global movement for a culture of peace following the observance of the International Decade for a Culture of Peace and Non-violence for the Children of the World (2001-2010), at the national, regional and international levels. It also provides an overview of the activities carried out by the International Labour Organization (ILO), the Food and Agriculture Organization of the United Nations (FAO), the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), the United Nations Human Settlements Programme (UN-Habitat), the International Telecommunication Union (ITU), the United Nations Children’s Fund (UNICEF), the University for Peace, the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Office on Drugs and Crime, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) and the World Bank to implement resolution 65/11 on the Implementation of the Declaration and Programme of Action on a Culture of Peace. These activities are presented in eight sections, corresponding to the eight actions defined in the Programme of Action on a Culture of Peace.",
"A. Actions to foster a culture of peace through education",
"2. Within the framework of the 1974 Recommendation concerning Education for International Understanding, Cooperation, Peace and Education relating to Human Rights and Fundamental Freedoms, UNESCO continued to foster a culture of peace through education by supporting its member States in providing quality, inclusive education that promotes the values of peace, human rights, tolerance, intercultural understanding, democracy, non-violence and respect.",
"3. In collaboration with relevant partners, UNESCO strengthened Member States’ capacities to integrate the human rights-based approach throughout their educational systems by developing practical guidelines on competencies related to core values, such as human rights, peace and tolerance, and education for sustainable development for its member States and disseminating good practices. This included the provision of support and policy advice for the promotion of culturally and linguistically appropriate learning materials. The organization also developed teaching and learning resources, manuals and guidelines on relevant topics, such as learning to live together, human rights and the rights of the child, peace and democracy, gender equality, and the prevention of violence in schools.",
"4. UNESCO continued to advocate for peace, human rights, intercultural understanding and Holocaust remembrance education through high-level international and regional policy forums, building on its affiliated networks and institutes, including the UNESCO Associated Schools Network, UNESCO Chairs and University Twinning and Networking programme, and the Asia-Pacific Centre of Education for Intercultural Understanding in Seoul. Outstanding examples of activities designed to mobilize countries and peoples in favour of peace were also rewarded. The 2010 Félix Houphouët-Boigny Peace Prize was awarded to The Grandmothers of the Plaza de Mayo, a non-governmental organization in Argentina, in recognition of its tireless battle for over 30 years in pursuit of human rights, justice and peace. Support was also provided for the 2011 Goi Peace Foundation International Essay Contest for Young People.",
"5. A number of concrete results were delivered through the innovative modality of an organization-wide intersectoral platform on intercultural dialogue and a culture of peace. Important achievements included the digitization of the now completed general and regional histories and the adoption by representatives from 46 African countries of jointly agreed pedagogical content drawn from the general history of Africa. An interregional and interfaith study was undertaken with a view to analysing contemporary interreligious dialogue practices among youth worldwide, and the publication Stopping Violence in School — A Guide for Teachers was widely distributed in Arabic, English, French and Spanish. The Power of Peace Network provided support to a number of projects in different countries and regions, such as the youth broadcasting initiative “Connecting cultures”, the joint Palestine/United Kingdom of Great Britain and Northern Ireland video production “Our everyday lives”, and the online debate programme and contest in Zambia, “This is my life …”. The Power of Peace Network also contributed to the curriculum on conflict-sensitive reporting and the related training workshop series in cooperation with Rhodes University in South Africa.",
"6. Building on the opportunity of the observance of the International Year of Youth (2010), progress was made in raising awareness on youth development issues and on the role of youth in supporting national development and a culture of peace and non-violence. As the co-Chair of the Inter-Agency Network on Youth Development, UNESCO supported the adoption and implementation of a United Nations framework approach for the celebration of the International Year of Youth, the joint statement of the heads of United Nations entities on the International Year of Youth and the joint United Nations input to the World Youth Conference (Mexico City, August 2010). Through partnerships with the sports movement, UNESCO also raised awareness of the importance of sports in youth development and community action, as well as in building a culture of peace and non-violence. This included the organization with the International Olympic Committee of the 7th World Conference on Sport, Education and Culture: “Giving a Voice to Youth” (Durban, South Africa, December 2010). Research was supported in Latin American and the Caribbean and in the Commonwealth of Independent States to provide Member States with information to elaborate policies and programmes on youth, including on the prevention of youth violence. Policy advice for the development of realistic and achievable action-oriented policy documents on youth was also provided to small island developing States in the Pacific.",
"7. To address the specific challenges faced by youth, FAO continued to support the Junior Farmer Field and Life Schools approach in several African countries, Asia and Middle East. The approach combines the provision of support for vocational educational training opportunities with the promotion of employment. Using the agricultural calendar as a model for life, youth learn agricultural skills while developing corresponding life lessons, such as setting goals, the importance of personal space for growth, and teamwork. There is also an employment-oriented component, which encourages and facilitates graduates’ inclusion in farmers’ federations and unions in order for them to access resources and place their produce in the markets.",
"8. Together with other United Nations agencies, including UNESCO, UN‑Habitat, through its Safer Cities Programme, strengthened the focus of city development on the most vulnerable categories of young people, building on their social capital to enhance opportunities within disadvantaged communities and neighbourhoods, including schools and active citizenship. Through this programme, a global network on safer cities is being developed to strengthen the global movement for a culture of peace.",
"9. UNHCR continued to deliver education and sport for refugee youth through its Nine million campaign, which reached 460,000 people in 2010, promoting a culture of peace and non-violence in 20 countries. All projects enhanced the coexistence between refugees and the host community, and several reduced the risk of military recruitment of out-of-school youth. Programme reports show that sport had a significant impact in combating, among other issues, destructive behaviour, HIV, drug abuse and sexual and gender-based violence. Seventy-five per cent of the projects particularly targeted out-of-school youth and girls, who could play key roles in a country’s peace, reconstruction and prosperity if given the opportunity.",
"10. UNHCR worked in a number of countries to implement programmes that aim to roll back xenophobia by promoting tolerance towards and respect for foreigners, including refugees. It recently launched a campaign in Latin America on the theme “Let’s put ourselves in the shoes of refugees and displaced persons and take the first step to understand their situation” to promote tolerance and local integration of refugees and displaced persons.",
"11. The University for Peace, mandated by the General Assembly in 1980 to offer education for peace to humanity, worked actively to build a culture of peace through its educational and capacity-building programmes. It reached out to a wider audience by arranging partnerships and exchange programmes with other universities and initiating online, distance-learning instruction programmes, including a unique, complete online MA programme in peace studies.",
"12. UNICEF developed a framework for rights-based, child-friendly educational systems and schools that are characterized as “inclusive, healthy and protective for all children”. This child-friendly schooling approach was used by several countries to address violence against children and promote peace education. Schools as centres of care and support provide much-needed services for the most disadvantaged children, particularly orphans, and those who have suffered from violence. These services include water, sanitation and hygiene (WASH), ChildLine, school feeding and school health, and are combined with the participation of parents, police and the children themselves in school governance. Agreements between UNICEF and Child Helpline International, approved in 2010, benefited 11 countries in the Eastern and Southern Africa regions. Results associated with these agreements include the setting up of toll-free ChildLine numbers, short messaging service/online counselling, and ongoing child protection mapping exercise.",
"13. As the most marginalized, poor and disadvantaged people are also those at increased risk for drug use and dependence, the United Nations Office on Drugs and Crime helped to build a culture of peace and non-violence by reaching out to them through its demand reduction projects. These projects focused on promoting the understanding of drug use and dependence as a health disorder that can be addressed effectively within the health system, using evidence-based approaches to drug abuse prevention, treatment and care. Prevention programmes, such as life skill training, family skills training and workplace-related programmes, help to build healthier and safer communities that contribute to peaceful societies. Comprehensive drug dependence treatment and care services are powerful tools for the rehabilitation and reintegration into their societies of those affected by the use of and dependency on drugs so that they can contribute to building and sustaining peace.",
"B. Actions to promote sustainable economic and social development",
"14. As the lead agency for the 2005-2014 United Nations Decade of Education for Sustainable Development, UNESCO is supporting Member States in integrating the principles, values and practices of sustainable development into the design and development of inclusive education policies and plans, including climate change education, teacher development policies, textbook and curriculum revision and renewal of pedagogical approaches. It is also advocating for a strong commitment to cultural diversity. Since the last reporting period, a multiperspective learning tool in Education for Sustainable Development with a focus on water, was prepared in cooperation with the Islamic Educational, Scientific, and Cultural Organization, and will soon be tested in the field. In addition, UNESCO also developed capacities on climate change education in several Member States (in particular the Maldives and Viet Nam), and contributed to the United Nations Climate Change Conference in Cancun, Mexico (COP 16). The International Year of Biodiversity and the Tenth Conference of the Parties to the Convention on Biological Diversity (COP X) (Nagoya, Japan, 27-29 October 2010) provided many opportunities for further cooperation with the Associated Schools Network, the UNESCO Education for Sustainable Development Chairs network, the World Network of Biosphere Reserves and the Man and the Biosphere programme. UNESCO also supported the least developed countries in achieving their sustainable development goals and contributed to the Programme of Action adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May 2011.",
"15. The United Nations Office on Drugs and Crime worked to reduce poverty as part of its alternative development activities and illicit crop reduction programmes through farm and off-farm activities that promote legitimate income-generating opportunities to farmers and is based on market-driven demand. The Office strove to promote food security by delivering technical assistance to help increase food productivity, in particular through the provision of high-yield, disease-resistant seeds as well as assistance in creating and managing food banks.",
"16. FAO helped to empower the rural poor to become fully integrated in the development process and, consequently, less susceptible to be involved in conflicts through its Education for Rural People flagship partnership. Through this partnership, which includes 400 members (governments, intergovernmental organizations, civil society and academia), FAO helped mainstream Education for Rural People in national development plans and produced several publications and toolkits.",
"17. FAO fielded operations in 28 countries in Africa, Asia and Latin America, touching the lives of more than 9 million people in rural areas. Projects were supported with funding of over $315 million that was received from the European Union Food Facility.",
"18. UNRWA continued to implement a large-scale poverty relief programme, as well as emergency feeding programmes for the poorest of the poor. The Agency’s Social Safety Net Programme provided a measure of support to abject poor families through a small cash subsidy and food package distributed quarterly to nearly 300,000 refugees throughout the region. In addition, the Agency provided emergency support in the form of food, cash and emergency employment opportunities to those who were affected by conflict and natural disaster. These emergency interventions are ongoing in the Gaza Strip, the West Bank and Lebanon, with hundreds of thousands of needy beneficiaries throughout the region receiving one or more of these interventions.",
"19. UN-Habitat continued to ensure access to affordable and adequate housing for the poor and to help improve slums and prevent their formation in a systemic manner. Action taken was in implementation of a resolution by its Governing Council to formulate a new global housing strategy, which took into account the challenges of providing adequate and sustainable housing and basic infrastructure and the need to integrate housing policies into broader urban planning strategies and governmental actions, aligning them with other social, economic and environmental policies.",
"C. Actions to promote respect for all human rights",
"20. UNESCO continued to actively promote the right to education through its work to implement the World Programme for Human Rights Education, adopted by the General Assembly in 2004 (see General Assembly resolution 59/113 A). A series of materials was developed to assist Member States in integrating education for peace and human rights into school systems, including the publication Contemporary Issues in Human Rights Education. A short film entitled Education for human rights young people talking was also produced in cooperation with the national commissions for UNESCO and national coordinators of the UNESCO Associated Schools Project Network from 10 countries. The film showcases the concerns of and challenges facing young people in schools today related to gender equality, violence, peace and cultural diversity from a human rights education perspective.",
"21. To reinforce advocacy, capacity-building and policy-oriented action in the area of human rights, UNESCO contributed to the collection and design of training materials in the framework of the new human rights mainstreaming mechanism of the United Nations Development Group. This mechanism aims to increase the effectiveness of the United Nations in applying a human rights-based approach to programming, especially at the country level, in the formulation of United Nations Development Assistance Frameworks.",
"22. Other human rights training materials that were developed during the reporting period include the master of the manual entitled Empowering the Poor through human rights litigation, and the four volumes of the UNESCO pioneer collection on freedom from poverty as a human right, which offers a multidimensional analysis of poverty.",
"23. As part of the efforts of UNESCO to raise awareness of human rights, the Director-General awarded on Human Rights Day (10 December) the UNESCO/ Bilbao Prize for the Promotion of a Culture of Human Rights to Asma Jahangir of Pakistan in recognition of her commitment and contribution to fostering interreligious and intercultural dialogue, tolerance, mutual understanding and cooperation for peace.",
"24. The United Nations Office on Drugs and Crime addressed issues relating to human rights and gender equality through its HIV prevention, treatment, care and support programmes. In 2010, it provided support to some 40 countries to conduct legal and policy reviews as they relate to HIV and prison settings, HIV and injecting drug users, and people vulnerable to human trafficking. In at least 49 countries, the Office has provided technical support to develop human rights-based, gender-responsive and equitable AIDS policies and programmes for prison settings, injecting drug users and people vulnerable to human trafficking in line with human rights treaties and related international standards.",
"25. Through UNRWA programmes in education, health and social services, and infrastructure and refugee camp improvement as well as microfinance, the Agency contributed to the realization of various socio-economic rights of Palestine refugees. Education services were the most prominent. Nearly 500,000 children continued their education in almost 700 UNRWA schools throughout the region, taught by nearly 20,000 teaching staff of the Agency.",
"D. Action to ensure equality between women and men",
"26. UNESCO worked to ensure equality between men and women by giving priority to the pursuit of gender equality through action in all its fields, having been designated as one of two global priorities in the medium-term strategy for 2008-2013. A results-based Priority Gender Equality Action Plan for 2008-2013, endorsed by its Executive Board, describes the actions that UNESCO programme sectors are to pursue for the empowerment of women and gender equality.",
"27. To strengthen the efforts of UNESCO in empowering girls and women through quality education, the Director-General launched a new global partnership for girls’ and women’s education at a high-level forum on 26 May 2011, in the presence of United Nations Secretary-General Ban Ki-moon, the Prime Ministers of Bangladesh and Mali and the United States Secretary of State, as well as representatives of non‑governmental organizations and business leaders. The UNESCO Global Partnership for Girls’ and Women’s Education, “Better life, better future”, supported by a high-level panel, focuses on reaching illiterate or semi-literate adolescent girls and scaling up women’s literacy programmes through partnerships with corporations such as Nokia, Procter and Gamble, GEMS education, Microsoft, Apple (Macintosh) and the Packard Foundation. Some of the projects have already been initiated in Africa and Asia.",
"28. UNESCO developed initiatives to foster the participation of women in conflict resolution, peacebuilding and reconstruction, and to address gender-based violence, notably through the Palestinian Women’s Research and Documentation Centre in Ramallah, the category 2 Regional Research and Documentation Centre for Women, Gender and Peacebuilding for the Great Lakes Region in Kinshasa, and through its International Network of Women Philosophers.",
"29. To support and encourage young women from all cultural backgrounds to go into jobs in scientific fields, the Organization provided capacity development and training opportunities in the sciences for women, namely through its UNESCO-IHE Institute for Water Education in Delft, the Netherlands, by providing fellowships for young women scientists through the UNESCO L’Oréal partnership and by establishing and reinforcing new associations and networks of women scientists.",
"30. The political and social empowerment of women was also promoted through education and training programmes in the conservation and management of cultural, natural and intangible heritage. Priority was also given to women craft workers to assist them in developing their small enterprises so as to heighten the socio-economic benefits. In addition, culturally sensitive and gender-responsive policies and actions at the country level in HIV/AIDS prevention and care as well as in maternal health were developed at the country level in the context of “delivering as one”.",
"31. Through its community-based information literacy campaigns, the Organization reinforced the capacities of women to access and use information and communications technologies for development and lifelong learning, in particular for sustainable livelihoods. An example is the pilot mobile literacy programme that UNESCO launched with the Bunyad Foundation and the mobile phone company Mobilink, through which 50 community-based learning centres were established in which 1,250 illiterate women acquired basic literacy skills.",
"32. FAO continued to mainstream gender concerns in agriculture and rural development programmes by organizing gender training and awareness-raising events for policy- and decision makers and technical staff in order to support them with the formulation and implementation of gender-sensitive programmes and projects to address gender gaps in agriculture and food security, with special emphasis on access and control of productive resources and for institutional strengthening.",
"33. UNRWA promoted gender equality by ensuring that girls and women have equal access to all of its services, by supporting vocational training centres for women, and by developing targeted programmes to further the rights of and opportunities for women. A number of women’s programme centres were established in camps throughout the region to provide services to women. Opportunities were also offered to women through the Equality in Action programme in Gaza, and specific loan schemes targeting female entrepreneurs were also developed through its Microfinance and Microenterprise Programme.",
"34. UN-Women supported Member States and United Nations system entities in achieving gender equality and women’s empowerment through its activities in five thematic priorities, as reflected in its strategic plan, 2011-2013: (a) expanding women’s leadership and participation; (b) ending violence against women; (c) strengthening the implementation of the women and peace and security agenda; (d) enhancing women’s economic empowerment; and (e) making gender equality priorities central to national planning and budgeting at all levels.",
"35. ILO promoted gender equality through the provision of advisory services, training, tools development, advocacy and support for the collection, production and dissemination of good practices on gender equality issues in the world of work. At the country level, it supervised gender-specific technical cooperation programmes to address the concerns of women and men in the world of work and promoted efforts to mainstream gender into technical areas of the work of ILO. It also piloted participatory gender audits among ILO constituents.",
"E. Actions to foster democratic participation",
"36. UNESCO fostered democratic participation through a number of initiatives, including the Arab and Asian philosophical dialogue on democracy and social justice, the dialogue on democracy and human rights between the Arab world and Africa, as well as through the research of the International Centre for Human Sciences in Byblos, Lebanon. In addition, it provided support for the establishment of media legislation conducive to free and independent media, the training of journalists and media professionals in non-partisan and independent reporting techniques, especially in conflict and post-conflict areas, and by assisting the media in covering elections.",
"37. To accompany the transition to democracy in several countries of the Arab world, recent initiatives of UNESCO focused on fostering the civic engagement of youth in Egypt; strengthening freedom of the press, and training journalists and providing media professionals with pre-electoral assistance in Egypt and Tunisia, including an International Conference in support of Tunisian and Egyptian Broadcast Media co-organized with France télévisions and the European Broadcasting Union; and organizing capacity-building regional workshops in Beirut on designing, monitoring and evaluating social protection in the Arab world. In addition, an international round table was held on the theme “Democracy and renewal in the Arab world”, which brought together intellectuals and experts from the Arab world, to discuss how to make the transition to democracy. Based on the findings of this important round table, UNESCO developed a road map designed to accompany the transition to democracy in the Arab world.",
"F. Actions to advance understanding, tolerance and solidarity",
"38. In leading the 2010 International Year for the Rapprochement of Cultures, UNESCO capitalized on its experience of over 60 years to advance “the mutual knowledge and understanding of people”. The main objective of the Year was to help dissipate any confusion stemming from ignorance, prejudice and exclusion that create tension, insecurity, violence and conflict. The task was to demonstrate the benefits of cultural diversity by acknowledging the importance of exchanges between cultures and the ties forged between them. Its aim was to integrate the principles of dialogue into policies at all levels so as to foster an environment conducive to the rapprochement of cultures, thus enhancing harmonious relations among peoples.",
"39. The process to launch the Year was facilitated by a number of complementary initiatives. The parallel celebrations of several international years (International Year of Biodiversity, International Year of Youth and International Year for People of African Descent) and of World Days (such as World Philosophy Day and World Day of Cultural Diversity for Dialogue and Development) enabled a deepening and convergence of the themes addressed.",
"40. The action plan included four main themes, to facilitate the ownership of the Year by Member States, intergovernmental and non-governmental organizations: (a) promoting reciprocal knowledge of cultural, ethnic, linguistic and religious diversity; (b) building a framework for commonly shared values; (c) strengthening quality education and the building of intercultural competence; and (d) fostering dialogue for sustainable development. These themes were based on the principles of the equal dignity of cultures, mutual respect, and the strengthening of international cooperation for lasting peace.",
"41. The specific activities (almost 1,000 in all) organized by Member States and partners, including the Alliance of Civilizations and relevant stakeholders from civil society, to celebrate the Year can be found on the UNESCO website (http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures).",
"42. The Year was instrumental in building awareness within a wide, diverse and largely young audience of the wealth of cultural diversity and its corollary, intercultural dialogue, as part of rapprochement. One central idea emerged: in the new international landscape, greater account must be taken of the linkages among cultural diversity, dialogue, development, security and peace. These interdependent notions should inform a new approach to building a culture of peace and non‑violence. Dialogue can be effective only if the basic prerequisites, namely, equality, justice, poverty reduction and respect for human rights, are met.",
"43. In order to foster a reflection on the new dimensions of peace in the twenty-first century, the Director-General of UNESCO established a High Panel on Peace and Dialogue among Cultures. The High Panel, comprised of decision makers, intellectuals and artists from all regions of the world, convenes to chart new avenues leading to peace. Its principal mission is to complement the work of UNESCO in this area and to bring to bear a diversity of perspectives from various regions and a wide range of stakeholders. The first meeting of the High Panel was held on 18 February 2010 in Paris to launch the International Year for the Rapprochement of Cultures, 2010 (see A/65/299, annex). The High Panel met again in New York on 11 March 2011 and addressed the theme “Building peace: reconciliation through the power of education, the sciences, culture and communication”. The report on that meeting is available on the UNESCO website (http://www.unesco.org/ en/2011-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/).",
"44. UNESCO also contributed to peace, mutual understanding and social cohesion through the promotion of a dialogue among civilizations and cultures in accordance with the Global Agenda for Dialogue among Civilizations and its Programme of Action adopted by the General Assembly in 2001 (resolution 56/6), as well as with directions set by the governing organs of UNESCO.",
"45. In the framework of the Memorandum of Understanding signed with the Alliance of Civilizations (Rio, May 2010), UNESCO implemented the Intercultural Vademecum Programme with funding from Spain. This programme focuses on five projects which aim to reinforce the links between Arab-Muslim and European societies in order to foster mutual understanding. These projects are:",
"(a) A scientific, philosophical, literary and artistic anthology of Muslim/Arab civilization and its contribution to the revival of Western philosophy and culture. The anthology is designed as a tool for teachers, students and the general public to present an intercultural vision of history that unites the Muslim/Arab world and the West;",
"(b) A philosophical look at Muslim/Arab civilization: accounts of routes, encounters, bridges and dialogues. This entails the production of educational tools that aim to illustrate instances of dialogue and exchanges within and through the Muslim/Arab civilization and are geared towards secondary schoolteachers;",
"(c) Illuminating Interrelations and Engaging Dialogues: Museums as a Civic Space for Developing Intercultural Skills. This project is centred on developing museological approaches for communicating historical intercultural exchange;",
"(d) Young artists for intercultural dialogue between the Arab and Western worlds. This project aims to give recognition to young artists for their creative achievements in favour of Arab/Western dialogue;",
"(e) The Power of Peace Network: reporting for peace. The Network is an interactive platform that seeks to harness innovative mechanisms to promote peace through the media and information and communications technologies.",
"46. Furthermore, in close cooperation with the Alliance of Civilizations, the UNESCO/University Twinning and Networking Programme established a network linking media and information literacy to intercultural dialogue at six universities in Brazil, China, Egypt, Spain, the United States of America and the Caribbean region. Activities will include the promotion of international and intercultural research, meetings, publications, training activities and content production relating to media and information literacy and its application to cross-cultural, interreligious dialogue and global cooperation.",
"47. To promote the Dialogue in Civil Societies in the Horn of Africa, UNESCO collaborated with the Greater Horn Horizon Forum, an independent research policy forum with the participation of researchers from the region and from the diaspora, to organize a Conference of Youth Ministers (December 2010, Djibouti). The Conference examined available research and identified policy recommendations for each Member State.",
"48. In addition, UNESCO also supported an Interregional Philosophical Dialogue between Africa and the Americas on “Africa and its Diaspora” in April 2011. The Conference, organized within the framework of the International Year for People of African Descent (2011), brought together philosophers from Africa, its Diaspora, and the Americas to address contemporary challenges. The Dialogue facilitated the creation of a network of philosophers from Africa, Latin America, the Caribbean and North America with the aim of enhancing academic cooperation and capacity-building, including through student exchange programmes.",
"49. In Central Asia, intercultural dialogue was promoted through the creation of a Cultural Portal as a tool for cooperation and dialogue in the arts and culture with Europe, and through different activities (expeditions, conferences, scientific research and publications) that have been developed by the International Institute for Central Asian Studies and the International Institute for Nomadic Civilizations.",
"50. In South-Eastern Europe, intercultural dialogue among heads of State was supported through the organization of a series of regional meetings in Ohrid, the former Yugoslav Republic of Macedonia (2003), Tirana (2004), Varna, Bulgaria (2005), Opatija, Croatia (2006), Bucharest (June 2007), Athens (June 2008), Cetinje, Montenegro (2009), and Istanbul, Turkey (2010), which aimed to create a common vision of the future that is based on international cooperation. The 2011 Summit will be held in Serbia.",
"51. For Israel and the Palestinian Territories, a gender-balanced Joint (Israeli-Palestinian) Academic Committee was set up, composed of members from different universities, research institutes and think tanks in Israel and Palestine. The Committee will work together towards the attainment and the promotion of dialogue and academic cooperation within and between Israelis and Palestinians.",
"52. Peacebuilding and intercultural understanding in the Middle East was also promoted through the third edition of the Programme of University Cooperation “Masters on Social Sciences and Humanitarian Affairs” 2010-2011, launched in cooperation with the University of Rome. This Programme promotes academic exchanges and cooperation among faculty and students from Israeli and Palestinian universities.",
"53. UNESCO promoted science for peace and non-violence as a vehicle for intercultural dialogue and cooperation to help prevent potential conflicts over natural resources, such as freshwater and arable land, and to address complex global environmental and development challenges. To that end, it provided technical support to the Israeli Palestinian Science Organization, which offers opportunities for Palestinian and Israeli scientists to work together on joint scientific projects. It has also provided support for the Malta Conferences series, which bring together scientists from the Middle East and neighbouring regions to discuss problems relating to chemical research and education in the region, and to jointly seek solutions that are satisfactory to all. The fifth conference in this series was organized at UNESCO headquarters (December 2011) on the theme “Frontiers of chemical sciences: research and education in the Middle East: a bridge to peace and international development.”",
"54. Through its Man and the Biosphere Programme, UNESCO supported countries in establishing transboundary biosphere reserves to promote reconciliation, intercultural dialogue, peace and cooperation on issues related to adaptation to climate change, loss of biodiversity, sustainable development and ecotourism. There are 10 such reserves in 15 countries of Latin America, Europe and Africa. At its last International Coordinating Council meeting in June 2011, the programme approved the Trifinio Fraternidad Biosphere Reserve in El Salvador/Guatemala/Honduras, the first trinational biosphere reserve in Central America.",
"55. Through its programme “From potential conflict to cooperation potential”, UNESCO facilitated multilevel and interdisciplinary dialogues to foster peace, cooperation and development related to the management of shared, transboundary water resources. The programme attempts to enhance water security by strengthening the capacity of stakeholders in the management of transboundary water resources to anticipate, prevent and resolve water conflicts.",
"56. Awareness was also raised about the importance of promoting science for peace through activities that have been supported during the annual observance of World Science Day for Peace and Development on 10 November.",
"G. Action to support participatory communication and the free flow of information",
"57. UNESCO continued key capacity-building actions that underline the instrumental role that the media play in dialogue, democracy and development processes and for the protection of human rights. The capacities of media professionals were strengthened in journalism safety, conflict-sensitive reporting and reporting on elections.",
"58. Awareness of freedom of expression and access to information was increased through several activities in 2010. World Press Freedom Day 2010 focused on the theme “Freedom of information: the right to know”. Participants at the World Press Freedom Day 2010 international conference in Australia adopted the Brisbane Declaration, calling on governments to adopt freedom of information laws and highlighting the importance of independent and pluralistic media as fundamental elements of good governance and development based on human rights. The World Press Freedom Day 2010 was celebrated in at least 100 countries. The UNESCO/Guillermo Cano Prize was presented to Mónica González Mujica in recognition of her investigative journalism during the dictatorship in Chile.",
"59. Support was given to IGOs and NGOs working in the field of freedom of expression, in particular with regard to combating the impunity of crimes and violence against journalists. UNESCO continued to support the International Freedom of Expression Exchange network, in particular for groups in developing countries and countries in transition, to promote better protection of freedom of the press and the rights of journalists. The safety of media professionals was a critical concern in 2010, with the UNESCO Director-General condemning the killings of 62 journalists. The International Programme for the Development of Communication Council adopted a decision on the safety of journalists and the issue of impunity, calling on governments to report to UNESCO on their investigations into the killings of journalists.",
"60. Member States were assisted in the development of free, independent and pluralistic media through support from the International Programme for the Development of Communication for the launch of 83 projects in 61 developing countries. The Mexican community radio station, La voz de los campesinos, and the Egyptian journalist, Amr Mamdouh Ellissy, were the joint laureates of the UNESCO-International Programme for the Development of Communication Prize for Rural Communication in 2010.",
"61. UNESCO continued to promote community radio and community multimedia centres with the introduction of community radio projects in 19 countries. A total of 50 best community radio practices were identified in the areas of management, sustainability, programming and community involvement, and support was provided to the World Association of Community Broadcasters to develop a common code of practice for community radio operators. The community radio policy review in India, supported by UNESCO, resulted in a recommendation to create a national public fund to support community media development.",
"62. The capacities of media training and journalism education institutions were strengthened according to the UNESCO criteria of excellence in journalism training, with 63 journalism training institutions in 51 countries adapting the UNESCO model curricula for journalism education.",
"63. UNESCO also fostered universal access to information by assisting in the formulation of national information policy frameworks, in particular within the framework of the Information for All Programme.",
"64. FAO supported the use of media such as rural radio, participatory video, print and audiovisual tools to increase the participation and ownership of rural people of development initiatives. Through its programme “Bridging the rural digital divide to reduce poverty and food insecurity”, FAO worked to strengthen human and institutional capacities in rural areas to harness and exchange information using a variety of media so as reduce poverty and ensure food security.",
"65. ITU launched the Child Online Protection initiative in 2008 to raise awareness about the importance of protecting children online, educate the general public and develop guidelines, including for children themselves. The initiative is also developing interoperable technical standards to protect children online, helping countries to establish national hotlines and developing national strategy and legislative processes. ITU also promoted the role of information and communications technologies as catalysts for peace through a panel on the theme “Voices of technology: a focus on youth and access to the Internet” during the 2011 World Youth Peace Summit and the holding of an event on the theme “Information technology as a catalyst for peace, human rights and development” during the United Nations High-level Meeting on Youth.",
"H. Actions to promote international peace and security",
"66. UNESCO provided support to countries in post-conflict and post-disaster situations through a dedicated Intersectoral Platform. This Platform provided assistance to countries in reconstructing their educational systems with the goal of realizing education for all; providing policy advice and expertise on resolving conflicts that may arise over natural resources; revitalizing in-country research facilities; integrating disaster prevention and mitigation efforts, in particular early warning systems, into post-conflict and post-disaster responses; and protecting and rehabilitating damaged cultural and natural heritage.",
"67. During the reporting period, support was provided to Member States affected by natural disasters, namely, the earthquake in Haiti, the floods in Benin and Pakistan, the tsunami and volcanic eruption in Indonesia, and the earthquake and tsunami in Japan. It also supported countries in post-conflict environments, such as Afghanistan, the Democratic Republic of the Congo, Iraq, the Occupied Palestinian Territory and several countries in West Africa.",
"68. The Organization participated in 16 of the 26 appeals launched by the Office for the Coordination of Humanitarian Affairs, notably for the responses to the earthquake in Haiti and the floods in Pakistan. It also began implementation of 8 of 10 joint United Nations country team programmes with an expected allocation of $8.3 million, under the “Conflict resolution and peacebuilding” thematic window of the Spanish Millennium Development Goal Achievement Fund (Brazil, Chile, Costa Rica, Democratic Republic of the Congo, Guatemala, Haiti, the former Yugoslav Republic of Macedonia, Mexico, Lebanon and Panama).",
"69. Support was provided for joint activities with United Nations partners, notably UNHCR and African regional organizations, in all post-crisis African countries at their request, in particular through its Programme of Education for Emergencies and Reconstruction. A post-conflict overall support programme in UNESCO fields of competence for Côte d’Ivoire was launched in 2008, and antennas have been established in countries with specific needs (Djibouti, Liberia, Sierra Leone and Sudan). At the regional and subregional levels, UNESCO also provided support to the African Union and to regional organizations’ initiatives in line with the African Union framework of action for post-conflict reconstruction and development and as part of the United Nations Regional Coordination Mechanism.",
"70. UNESCO also launched the Education for All Global Monitoring Report in 2011 on “The hidden crisis: armed conflict in education”, which examined the damaging consequences of conflict for the Education for All goals. It sets out an agenda to protect the right to education during conflict, strengthen the provision of assistance to children, youth and adults affected by conflict, and rebuild educational systems in countries emerging from conflict. Drawing on experiences from a range of countries, it identified problems and set forth solutions that can help make education a force for peace, social cohesion and human dignity.",
"71. To promote international peace and security by furthering efforts to engage multi-stakeholders in the dialogue among cultures, UNESCO consulted with a broad range of partners and organizations to identify possibilities for joint action and partnerships.",
"72. UNESCO also participated in the inter-agency United Nations Counter-Terrorism Task Force and recently submitted a funding proposal to develop and implement programmes to support conflict prevention, promote peace education and contribute to countering the appeal of violent extremism in Nigeria.",
"73. UNHCR promoted education for reconstruction, peacebuilding and nation building through its Albert Einstein German Academic Refugee Initiative (DAFI) scholarship programme, through which 1,900 students in 37 countries advanced their university studies in 2010. By enhancing self-reliance and developing human capital, DAFI provided refugee role models, facilitated durable solutions and equipped students with skills important to reconstruction, and peacebuilding and nation building.",
"74. FAO coordinated a number of plans of action in post-conflict countries to support agricultural development and food security in post-conflict situations, and it also participated in developing the agricultural aspects of the post-conflict needs assessments, coordinated through the United Nations Development Operations Coordination Office.",
"75. UNICEF supported child friendly spaces, which combine learning with play, peer-to-peer socialization and expressive activities all within a protective space for children in Afghanistan, Albania, Angola, Colombia, El Salvador, Haiti, Kosovo, Liberia, Timor-Leste and Turkey. UNICEF also supported the development of a sector-wide approach in Nepal to contribute towards a more equitable system and foster cohesion. The Education in Emergencies and Post-Crisis Transition programme, in operation since 2006, supports UNICEF education programming in 39 countries and territories. Conflict represents a characteristic in many of the countries that are funded by Education in Emergencies and Post-Crisis Transition Interventions. It worked together with the Office of the Special Representative of the Secretary-General for Children and Armed Conflict to document grave violations committed against children in 22 country situations through the monitoring and reporting mechanism on grave violations against children in armed conflicts, established in 2005 pursuant to Security Council resolution 1612 (2005). The information is included in an annual report of the Secretary-General that lists parties that have committed severe violations.",
"76. UN-Habitat supported a total of 48 countries in implementing policies to improve access to land and housing, including in the area of post-crisis reconstruction. Of these, 15 countries have received support for post-crisis reconstruction, six in Africa and the Arab States region, eight in Asia and the Pacific, and one in Eastern and Central Europe.",
"77. ILO provided technical assistance to countries in post-conflict situations with the aim of demonstrating the effectiveness of employment-focused responses to peacebuilding challenges. It also provided capacity-building for governments, employers’ organizations and workers’ organizations — the tripartite constituency of ILO — to promote decent work and social justice. It conducts capacity-building through training, the provision of advice (including labour data and statistics, labour codes and reconstruction), and the dissemination of relevant publications. This also includes advocating for the centrality of employment in peacebuilding with donors and partner agencies, and in the media.",
"78. The World Bank recently released the World Development Report 2011: Conflict, Security and Development, which emphasized the importance of institutional legitimacy to support the State-society compact and the need to invest in citizen security, justice and jobs in order to reduce violence. It is committed to the operationalization of key messages within the 2011 World Development Report, including strengthening its partnerships with key actors working in fragile situations, and in particular with the funds, programmes and agencies of the United Nations.",
"II. Future action to promote a culture of peace and non‑violence",
"79. Building on the lessons learned from the International Decade for a Culture of Peace and Non-Violence for the Children of the World, 2001-2010, and the International Year for the Rapprochement of Cultures (2010), UNESCO is developing, in consultation with its Member States, a consolidated intersectoral and interdisciplinary Programme of Action for a Culture of Peace and Non-Violence. This Programme of Action aims to strengthen further the global movement to promote a culture of peace and non-violence at national, regional and international levels.",
"80. As per the May 2011 decision of the UNESCO Executive Board concerning the preparation of the Organization’s draft programme and budget for 2012-2013, it will be developed with a realistic number of targeted actions that will address the following areas:",
"(a) Strengthening education for a culture of peace and non-violence to achieve intercultural solidarity and intergenerational dialogue and mutual understanding in favour of reconciliation and peacebuilding;",
"(b) Promoting natural sciences as a universal language and a vehicle for intercultural dialogue and exchange as well as peace;",
"(c) Underlining the role of social and human science in promoting universal values, democracy and human rights;",
"(d) Highlighting the crucial roles of cultural diversity, intercultural dialogue and heritage in all their forms for mutual understanding and reconciliation;",
"(e) Exploring opportunities offered by the media as a vehicle for reconciliation, tolerance and intercultural understanding by highlighting the use of new media by youth.",
"81. It will seek to mobilize all relevant stakeholders at the global, regional, subregional and national levels. It will also harness the multidisciplinary expertise of UNESCO in education, the sciences, culture and communications and information to develop innovative programmes that achieve high-impact results in promoting a culture of peace and non-violence.",
"82. The Programme of Action will be implemented and managed by a dedicated Intersectoral Platform on a Culture of Peace and Non-Violence. This Platform will also be responsible for implementing the “Abdullah bin Abdul Aziz International Programme for a Culture of Peace and Dialogue,” an initiative of the Kingdom of Saudi Arabia, which has contributed $5 million.",
"III. Recommendations",
"83. The General Assembly may wish to consider the following actions:",
"(a) Explore the possibilities for harmonizing reporting to the General Assembly on all issues that deal with a culture of peace, cultural diversity, tolerance, mutual understanding, rapprochement and non-violence as well as intercultural dialogue, including interreligious dialogue, so as to strengthen policy coherence;",
"(b) Call on the United Nations Development Group, including its regional teams and all United Nations country teams, to include in common country programming exercises and documents, mainly United Nations Development Assistance Frameworks, programme components focused on the promotion of a culture of peace and non-violence, including, as appropriate, on conflict prevention and resolution as well as post-conflict reconciliation;",
"(c) Invite the United Nations System Staff College to develop in that area training modules and learning materials and offer training workshops for United Nations country teams in order to build synergies, coherence and coordination, enabling the teams to better respond to country-specific needs;",
"(d) Establish an inter-agency working group on a culture of peace and non‑violence to discuss common initiatives and to consider developing a road map with goals and measurable expected results and to monitor the implementation of such efforts;",
"(e) Welcome the efforts of UNESCO to establish national and regional mechanisms, such as intercultural forums to highlight the benefits of intercultural dialogue and cultural diversity from a human rights-based perspective in order to fight violence and build peace in everyday life, and invite Member States to sustain those efforts in the context of their commitment to a culture of peace;",
"(f) Encourage Member States to create links among organizations that are active in promoting intercultural dialogue and that are committed to fostering sustainable development and peace in order to create a new dynamic for living peacefully together."
] | A_66_273 | [
"Sixty-sixth session",
"Item 15 of the provisional agenda*",
"Culture of peace",
"Implementation of the Declaration on the Culture of Peace and the Programme of Action for the Culture of Peace",
"Note by the Secretariat",
"The Secretary-General has the honour to transmit the report of the Director-General of the United Nations Educational, Scientific and Cultural Organization pursuant to General Assembly resolution 1701 (2006).",
"∗ A/63/250.",
"Report of the Director-General of the United Nations Educational, Scientific and Cultural Organization",
"Summary",
"The present report, prepared by the United Nations Educational, Scientific and Cultural Organization (UNESCO), summarizes briefly the activities undertaken by UNESCO and other relevant United Nations entities to implement the Declaration on the Culture of Peace and the Programme of Action for a Culture of Peace in the past year, as requested by the General Assembly in its resolution 63/21. The present report includes information received from the International Labour Organization, the Food and Agriculture Organization of the United Nations, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, the United Nations Human Settlements Programme, the International Telecommunication Union, the United Nations Children's Fund, the University for Peace, the Office of the United Nations High Commissioner for Refugees, the United Nations Office on Drugs and Crime, the United Nations Agency for Gender Equality and Empowerment of Women and the World Bank. The present report also contains recommendations on future action, specifically in the section.",
"Implementation of the Programme of Action for a Culture of Peace",
"The present report is submitted pursuant to resolution 63/21, describing the actions taken to implement the resolution and the activities undertaken by the United Nations system to implement the Programme of Action and promote a culture of peace and non-violence. The promotion of a culture of peace expresses the fundamental mission of the United Nations Educational, Scientific and Cultural Organization (UNESCO). The present report describes how UNESCO promotes a global culture of peace at the national, regional and international levels, following the activities of the International Decade for a Culture of Peace and Non-Violence for Children in the World (2001-2010). The report also provides an overview of the activities undertaken in the implementation of resolution 63/21 on the implementation of the Declaration on the Culture of Peace and the Programme of Action for the Culture of Peace: International Labour Organization (ILO), Food and Agriculture Organization of the United Nations (FAO), United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), United Nations Human Settlements Programme (UN-Habitat), International Telecommunication Union (ITU), United Nations Children's Fund (UNICEF), University of Peace, Office of the United Nations High Commissioner for Refugees (UNHCR), United Nations Office on Drugs and Crime, United Nations Office on Drugs and Crime, United Nations Office for the Promotion of Gender Equality and Empowerment of Women (ODA) and World Bank. These activities are described in eight sections in accordance with eight actions set out in the Programme of Action for a Culture of Peace.",
"Actions to promote a culture of peace through education",
"Within the framework of the 1974 Recommendations on Education for International Understanding, Cooperation and Peace and Related Human Rights and Fundamental Freedoms Education, UNESCO continued to promote a culture of peace through education, thereby supporting member States in providing quality and inclusive education for peace, human rights, tolerance, intercultural understanding, democracy, non-violence and respect for values.",
"In partnership with relevant partners, UNESCO has developed eligibility guidelines for its member States in relation to the core values of human rights, peace, tolerance and education for sustainable development and disseminate good practices, thereby strengthening the capacity of Member States to incorporate a human rights-based approach into the education system as a whole. This includes supporting and policy advice on the promotion of culturally appropriate and appropriate language-based learning materials. UNESCO has also developed teaching and learning reference materials, manuals and guidelines on subjects such as learning how to coexist, human rights and the rights of the child, peace and democracy, gender equality and preventing school violence.",
"Through the High-level International and Regional Policy Forum, UNESCO continued to advocate for peace, human rights, intercultural understanding and remembering the Holocaust against Jews through its network of contacts and institutions, including UNESCO's network of schools, UNESCO's teachings, university stereotypes and networking plans and the Asia-Pacific Centre for Intercultural Understanding. Good examples of activities that mobilize countries and people to support peace were also rewarded. The 2010 Felix Urbé-Bowani Peace Prize awarded to Argentine non-governmental organizations — the Zangan Association, which was held over 30 years to struggle for human rights, justice and peace. UNESCO also supported the International Youth Digest competition of the five Peace Foundation in 2011.",
"Several concrete results have been achieved through the innovative model of the cross-sectoral platform for intercultural dialogue and a culture of peace across UNESCO. The main achievements include the digitization of the history and regional history that has been completed, as well as the teaching content of the history of the 46 African countries, jointly agreed upon. A cross-regional and interfaith study was carried out to analyse the practice of inter-religious dialogue among young people around the world and to disseminate widely the publication entitled “Combating the violence in school parks: teacher guidance” in English, French, Arabic and Spanish. The Peace Forces Network supports a range of projects at different national and regional levels, such as the Youth Broadcast Initiative “to connect different cultures”, video “Sy daily lives”, produced jointly by Palestine/United Kingdom of Great Britain and Northern Ireland, Zambia's online debates and competition “I am living”. The Network also provided support for the preparation of courses on conflict attention in the coverage and organized relevant training courses in collaboration with Rodh University in South Africa.",
"Taking advantage of the opportunity to commemorate the International Year of Youth (2010) to raise awareness of youth growth and to increase awareness of the role of youth in supporting national development, supporting peace and non-violence. As one of the Co-Chairs of the Inter-Agency Network on Youth Growth, UNESCO has supported the adoption and implementation of a United Nations framework approach to commemorating the International Year of Youth; the joint statement of heads of United Nations entities on the Year of Youth; and the joint input of the United Nations World Youth Conference (Mexico City, August 2007). UNESCO has also raised awareness of the importance of sports in youth growth, community action and peacebuilding and non-violent culture through partnerships with sports organizations. This includes the organization of the Seventh World Conference on Sports, Education and Culture, together with the International Olympic Committee, on the theme “The right to speak for young people” (art. South Africa, Durban, December 2010. Support was provided for research work in Latin America and the Caribbean and in the Commonwealth of Independent States to provide information to Member States for the development of youth policies and programmes, including policies and programmes to prevent youth violence. Policy advice was also provided to small island developing States in the Pacific for the development of practical and achievable action-oriented youth policy documents.",
"In order to overcome the specific challenges faced by young people, FAO continued to support the establishment of youth farmers' farming and life skills schools in a number of African countries, Asia and the Middle East. This approach combines both the provision of support for vocational training opportunities and the promotion of employment. Youth teach agricultural skills as a living model and develop corresponding life experience, such as setting targets, focusing on individual growth spaces and team spirits. This approach is also part of a employment-oriented approach that encourages and assists school graduates to join the Farmers' Federation and the Farmers' Association in order to be resourced and to relocate their products on the market.",
"UN-Habitat, together with other United Nations agencies, including UNESCO, has strengthened its focus on the most vulnerable youth in urban development by strengthening urban safety programmes, using the social capital of young people to increase opportunities in vulnerable communities and residential areas, including through strengthening schools and active civic participation. A global network of urban security is being established through this programme to strengthen the global campaign on culture of peace.",
"UNHCR continued to provide education and sports services to refugee youth through its “9 million” campaign, with the number of people serving 4,000 people in 2010, promoting a culture of peace and non-violence in 20 countries. All projects have strengthened the coexistence of refugees and host communities, and a number of projects have also reduced the risk of recruiting young people who have graduated from schools. Programme reports show that sports plays a significant role in overcoming problems of destructive behaviour, HIV, drug abuse, sexual violence and gender-based violence. 75 per cent of the projects are particularly targeted by young people and girls who have just graduated from schools, since they can play a key role in peace, reconstruction and prosperity in the country if they have access.",
"UNHCR works in several countries to implement programmes to combat xenophobia through the promotion of tolerance and respect for foreigners, including refugees. In Latin America, the institution recently launched a campaign on the theme “A vision for refugees and displaced persons and a first step towards understanding their situation” to promote tolerance for refugees and displaced persons and help them integrate into local societies.",
"The University for Peace, which was mandated by the General Assembly in 1960 to provide education for human peace, has made a positive effort to build a culture of peace through its education and capacity-building programmes. The University promotes a wider audience through the organization of partnerships and communication programmes with other universities and the organization of an online distance learning programme, including the organization of a unique and well-established master's programme for online peace studies.",
"UNICEF has established a school based on rights, child-friendly education system and integrative as “inclusive and accessible to all children”. Such a child-friendly approach was adopted by several States to combat violence and promote education for children. As a centre for care and support, schools provide the most vulnerable children, in particular orphaned children, and those who suffer violence, with the necessary services. These services include water supply, sanitation and hygiene, child hotlines, school meals and school health, and their participation in school governance. Agreements between UNICEF and the International Child Helpline were approved in 2010 to benefit 11 countries in East and Southern Africa. The outcomes of these agreements include the establishment of free child hotline numbers, online counselling and ongoing child protection surveys.",
"The most marginalized, poor and vulnerable are those most at risk of drug addiction, and the United Nations Office on Drugs and Crime, through its demand reduction projects, helps them to form a culture of peace and non-violence. These projects focus on promoting understanding of the use of drug addiction as a health gap that can be effectively addressed within the health system, while using evidence-based methods to prevent drug abuse, treatment and care. Prevention programmes, such as life skills training, family skills training and workplace programmes, will help to build more healthy and secure communities and contribute to peace societies. A comprehensive treatment and care services are very effective tools that enable those who abuse drug addiction to health and reintegration to contribute to building and maintaining peace.",
"Actions to promote sustainable economic and social development",
"As the lead agency for the United Nations Decade for Sustainable Development in 2005-2014, UNESCO is supporting Member States in integrating the principles, values and practices of sustainable development into the design and development of inclusive education policies and plans, including in the areas of climate change education, teacher development policies, the revision of textbooks and curricula and the updating of teaching methods. UNESCO also advocates a strong commitment to cultural diversity. Since the last reporting period, a multi-stakeholder learning tool for education for sustainable development has been developed in cooperation with Islamic Educational, Scientific and Cultural Organization, which focuses on water resources and will soon be tested on the ground. In addition, UNESCO has undertaken capacity-building on climate change education in a number of Member States, in particular Maldives and Viet Nam, and has provided inputs to the United Nations Conference on Climate Change (16th Conference of the States Parties) held in Kyin, Mexico. The International Year of Biodiversity and the Tenth Conference of the Parties to the Convention on Biological Diversity (COP) held from 27 to 29 October 2010 in Japan's Guangkok housing) provided a number of opportunities to promote cooperation with the network of schools, the UNESCO Education for Sustainable Development, the World Biosphere Protection Network and People and the Biosphere Programme. UNESCO also supported the least developed countries in achieving their sustainable development goals and provided input to the Programme of Action adopted at the Fourth United Nations Conference on the Least Developed Countries, held in Istanbul, Turkey, from 9 to 13 May 2011.",
"The United Nations Office on Drugs and Crime strives to reduce poverty through activities on farms and outside farms as part of its alternative development activities and the reduction of illicit crop programmes, which promote legitimate income-generating opportunities for farmers, based on market-driven needs. The United Nations Office on Drugs and Crime strives to promote food security by providing technical assistance to help increase the rate of food production, in particular the provision of high-natal, anti-communicable seeds and assistance in the establishment and management of food banks.",
"FAO, through its “Rural population education” initiative, has helped to strengthen the empowerment of the rural poor by fully integrating them into the development process so that they are less vulnerable to conflict. The partnership comprised 400 members (from Governments, intergovernmental organizations, civil society and academia), FAO, through which it helped to integrate rural people into national development plans and produced publications and tools kits.",
"FAO field activities in 28 countries in Africa, Asia and Latin America have an impact on the lives of more than 9 million people in rural areas. The European Union Food Finance Facility provided $315 million for financing these projects.",
"UNRWA continued to implement a large-scale poverty reduction programme and a programme to urgently provide food for the poorest of the poor. The UNRWA Social Security Network programme provided small cash subsidies and food kits to nearly 30,000 refugees throughout the region every quarter to provide some support to families living in extreme poverty. In addition, the Agency provides emergency support to those affected by conflicts and natural disasters in the form of food, cash and emergency employment opportunities. These urgent interventions are being taken in Gaza, the West Bank and Lebanon, with hundreds of thousands of people in need throughout the region benefiting from one or more interventions.",
"UN-Habitat continues to ensure that the poor receive affordable and adequate housing and help to systematically improve slums and prevent their formation. Actions taken to this end are the implementation of a resolution of the UN-Habitat Governing Council to develop a new global housing strategy, taking into account the challenges of adequate sustainable housing and basic infrastructure, and taking into account the need to integrate housing policies into broader urban planning strategies and government actions to align them with other social, economic and environmental policies.",
"C. Actions to promote respect for all human rights",
"UNESCO continues to actively promote the right to education through the implementation of the World Programme for Human Rights Education adopted by the General Assembly in 2004 (see General Assembly resolution 59/113 A). A series of materials have been developed to assist Member States in integrating education for peace and human rights into school systems, including publication entitled “Information on contemporary human rights education”. A short film entitled “Young talk about human rights education”, was also produced in collaboration with the National Commission for UNESCO in 10 countries and the national focal point for the UNESCO network of schools. From a human rights education perspective, the film shows the concerns and challenges faced by young people in today's schools in terms of gender equality, violence, peace and cultural diversity.",
"In order to strengthen advocacy, capacity-building and policy-oriented actions in the field of human rights, UNESCO, in line with the United Nations Development Group's new human rights mainstreaming mechanism, has helped to collect and design training materials. The objective of the mechanism is to make the United Nations more effective in using a human rights-based approach to programming, especially at the country level, to develop the United Nations Development Assistance Framework.",
"Other human rights training materials prepared during the reporting period included a model manual entitled “The empowerment of the poor through human rights litigation”, as well as four volumes collected by UNESCO pilotly, which analysed poverty in a number of ways.",
"As part of the work of UNESCO to raise awareness of human rights, the Director-General, on the occasion of the Human Rights Day (10 December), issued a UNESCO/Burbao Cultural Prize for the promotion of human rights in Asma Jahangir, Pakistan, in recognition of her commitment and contribution to promoting inter- and intercultural dialogue, tolerance, mutual understanding and cooperation for peace.",
"The United Nations Office on Drugs and Crime addresses issues related to human rights and gender equality through its HIV prevention, treatment, care and support programmes. In 2010, the United Nations Office on Drugs and Crime helped some 40 countries to review laws and policies related to the HIV and prison environment, the HIV and injecting drug users and those vulnerable to trafficking in persons. In at least 49 countries, the United Nations Office on Drugs and Crime provided technical support for the development of human rights-based, gender-based and equitable AIDS policies and programmes targeting the prison environment, injecting drug users and those vulnerable to trafficking in persons, in accordance with human rights treaties and relevant international standards.",
"The Near East Agency contributes to the socio-economic rights of Palestine refugees through various programmes in education, health and social services, improvement of infrastructure and refugee camps and microfinance. Education services are most prominent. Nearly 500,000 children continue to be educated in almost 700 UNRWA schools throughout the region, and UNRWA provided nearly 20,000 teaching staff.",
"Actions to ensure equality between men and women",
"UNESCO strives to ensure gender equality by taking action in all areas responsible for gender equality as a priority and as one of the two global priorities of the medium-term strategy for 2008-2013. The results-based action plan on gender priorities for 2008-2013, approved by the Executive Board of UNESCO, states that the various programmatic areas of the organization will take action to empower women and achieve gender equality.",
"In order to strengthen the efforts of UNESCO to strengthen the empowerment of girls and women through quality education, the Director-General launched a new global partnership for girls and women's education at a high-level forum on 26 May 2011, attended by the Prime Minister of the United Nations Secretary-General, Ban Ki-moon, Bangladesh and Mali, the United States Secretary of State, representatives of non-governmental organizations and business leaders. With the support of the High-level Panel, the UNESCO Global Partnership for a Better Living and a Future Better” focuses on helping illiterate or semi-arid girls and expanding women's literacy programmes through partnerships with businesses, such as the Notrekia, the Harmony, the Cycle Education Group, Microsoft, apples and the Pakad Foundation. A number of projects have been initiated in Africa and Asia.",
"UNESCO has developed initiatives to support women's participation in conflict resolution, peacebuilding and reconstruction efforts and address gender-based violence, in particular through the Palestinian Research and Documentation Centre for Women in Ramallah, the second regional research and documentation centre on women, gender equality and peacebuilding in the Great Lakes region, based in Kinshasa, and the UNESCO International Network of Female Philosophicalists.",
"In order to support and encourage young women in all cultural backgrounds to work in the scientific sphere, UNESCO provided women with scientific capacity-building and training opportunities, including through the use of the UNESCO International Water Education Academy in Seoulf, Netherlands; fellowships for young scientists through the UNESCO/Leliya Partnership; the establishment and strengthening of new women scientists associations and networks.",
"The political and social empowerment of women is also promoted through education and training programmes for the protection and management of cultural, natural and non-physical heritage. This work also prioritizes female handcrafts and helps them to build their own small businesses to increase socio-economic benefits. In addition, in the context of the “Delivering as One” principle, policies and actions have been developed at the national level to focus on cultural characteristics and gender equality in HIV/AIDS prevention and care and maternal health.",
"Through its community-based information literacy campaign, UNESCO has strengthened women's ability to access and use information and communications technology for development and lifelong learning, especially for sustainable livelihoods. One example is the pilot mobile literacy programme launched by UNESCO in partnership with the Banjad Foundation and mobile phone company Mobilink, through which 50 community learning centres have been established and 1,250 illiterate women have basic literacy skills at these centres.",
"FAO continued to mainstream gender concerns in agricultural and rural development programmes, and organized gender training and awareness-raising activities for policymakers, policymakers and technical staff to support their development and implementation of gender-focused programmes and projects to address gender gaps in agriculture and food security, with particular emphasis on access to and control of productive resources and institution-building.",
"UNRWA's approach to promoting gender equality is to ensure that girls and women have equal access to all services, support women's vocational training centres and develop targeted programmes to promote women's rights and opportunities. A number of women's programme centres have been established in refugee camps across the region to provide services to women. Women were also provided with opportunities through the Action Equality Programme in Gaza and special lending schemes for women entrepreneurs through the Small Finance and Microenterprise Programme.",
"Support was provided to Member States and entities of the United Nations system for achieving gender equality and empowerment of women, with five thematic areas included in the strategic plan for 2011-2013: (a) expanding the leadership and participation of women; (b) combating violence against women; (c) strengthening the implementation of the agenda for women and peace and security; (d) empowering women; and (e) making gender priorities central to national planning and budgeting.",
"ILO promotes gender equality by providing advisory services on gender equality in the workplace, training, methodological approaches, advocacy and supporting the collection, production and dissemination of good practices. At the national level, ILO oversees technical cooperation programmes devoted to gender equality to address the concerns of women and men in the workplace and promotes efforts to integrate gender issues into the technical areas of ILO work. ILO conducted a participatory gender review among its members.",
"E. Actions to support democratic participation",
"Through a series of initiatives, UNESCO supports democratic participation, including the Arab-Asian philosophical dialogue on democracy and social justice, the Arab world and Africa's dialogue on democracy and human rights, and studies at the International Centre for Human Sciences in Birz, Lebanon. In addition, UNESCO has supported the development of legislation conducive to freedom and independence of the media; training of journalists and media professionals on impartial and independent coverage techniques, particularly in conflict and post-conflict areas; and assistance in media coverage of electoral activities.",
"In order to complement the transition to democracy in several countries of the Arab world, the recent initiative of UNESCO focused on supporting the civic participation of Egyptian youth; training of journalists in Egypt and Tunisia and providing media professionals with pre-election support, including the joint organization of an international conference in support of the media in Tunisia and Egypt; and the organization of a regional capacity-building workshop on the design, monitoring and evaluation of social protection in the Arab world in Beirut. In addition, an international round table was held on the theme “Democracy and recovery in the Arab world”, which was attended by knowledge elements and experts from the Arab world to discuss how to transition to democracy. In accordance with the outcome of this important round table, UNESCO developed a road map for the transition to democracy in the Arab world.",
"Actions to promote understanding, tolerance and solidarity",
"In leading the 2010 International Year of Culture and Good Governance, UNESCO uses its experience over 60 years to promote “people mutual understanding and understanding”. The main objective of the Year is to help eliminate any confusion arising from tensions, insecurity, violence and conflict. The task is to clarify the benefits of cultural diversity by recognizing the importance of intercultural communication and relations. The aim is to incorporate the principles of dialogue into policies at all levels in order to promote a culture-friendly environment that enhances harmony among peoples.",
"The launch of the International Year was facilitated by a number of complementary initiatives. These themes were addressed in parallel celebrations of several international years (International Year of Biodiversity, International Year of Youth and Afro-descendants) and World Day (e.g. World Philosophical and World Cultural Diversity for Dialogue and Development).",
"To promote the recognition of the Year by Member States, intergovernmental and non-governmental organizations, the action plan includes four main themes: (a) promoting mutual understanding of cultural, racial, linguistic and religious diversity; (b) establishing a framework for common values; (c) strengthening quality education and intercultural capacity-building; and (d) promoting dialogue for sustainable development. These themes are based on the principles of cultural equality, mutual respect and international cooperation for the promotion of durable peace.",
"Specific activities organized by Member States and partners such as the Alliance of Civilizations and relevant stakeholders in civil society for the celebration of the Year (totalling almost 1,000) are available on the UNESCO website (http://www.unesco.org/en/2010-international-for-the-rapproche-of-cultures/).",
"International awareness-raising on cultural diversity and its corollary — the intercultural dialogue — is a part of harmony. An emerging core view is that, in the new international landscape, greater consideration must be given to the linkages between cultural diversity, dialogue, development, security and peace. These interdependent concepts should be part of a new approach to building a culture of peace and non-violence. For dialogue to be effective, a number of basic prerequisites must be met: equality, justice, poverty reduction and respect for human rights.",
"To promote reflection on the new dimensions of peace in the twenty-first century, the Director-General of UNESCO established a high-level panel on intercultural peace and dialogue. The High-level Panel consists of decision makers, intellectuals and artists in all regions of the world, who together plan new ways of peace. Its main mission is to complement the work of UNESCO in this regard and to influence the diverse views of different regional and wide-ranging stakeholders. The High-level Panel held its first meeting in Paris on 18 February 2010 to launch the International Year of Culture and Harmony in 2010 (see A/65/299, annex). The High-level Panel met again in New York on 11 March 2011 to discuss the theme “Peace-building: promoting reconciliation through the power of education, science, culture and communication”. The report of the meeting is available on the UNESCO website (http://www.unesco.org/en/2010-international-year-for-the-rapprochement-of-cultures/high-panel-on-peace-and-dialogue-among-cultures/second-meeting-of-the-high-panel-11-march-2011/).",
"UNESCO also contributed to strengthening peace, mutual understanding and social cohesion, in accordance with the Global Agenda for Dialogue among Civilizations, adopted by the General Assembly in 2001 (General Assembly resolution 56/6) and the instruction made by UNESCO's own governing bodies.",
"In the framework of the memorandum of understanding signed with the Alliance of Civilizations (Rio, May 2010), UNESCO implemented the intercultural briefing programme funded by Spain. The programme focuses on five projects aimed at strengthening links between Arab-Muslim and European societies to promote mutual understanding. These projects are:",
"(a) A scientific, philosophical, literary and artistic catalogue of Muslim/Arab civilization and its contribution to European philosophical and cultural recovery. It is a tool designed for teachers, students and the general public to provide a cross-cultural historical vision for the Muslim/Arab world and Western;",
"(b) Muslim/Arab civilization from a philosophical perspective: stories on routes, encounters, bridges and dialogue. This will require the development of educational tools for secondary school teachers to clarify examples of dialogue and communication within Muslim/Arab civilization and through Muslim/Arab civilization;",
"(c) Interrelationship and dialogue: museums serve as a civil space for the development of cross-cultural skills. The core of the project is the development of a museum in order to disseminate information on historical intercultural exchanges;",
"(d) Young artists promote intercultural dialogue between the Arab world and the Western world. The project aims to recognize the creative achievements of young artists in favour of Arab/West dialogue;",
"(e) Network of Peace Forces: coverage of peace. The network is an interactive platform seeking to promote peace through the media and information and communications technology.",
"In addition, the United Nations Educational, Scientific and Cultural Organization/Sisters School Programme, in close cooperation with the Alliance of Civilizations, has established a network of media and information education in the six universities in Brazil, China, Egypt, the United States of America, Spain and the Caribbean region, in conjunction with intercultural dialogue. Activities will include the promotion of international and intercultural research, conferences, publications, training activities and content related to media and information education, and should be used for cross-cultural, inter-religious dialogue and global cooperation.",
"In order to promote civil society dialogue in the Horn of Africa, UNESCO, in cooperation with the Independent Research Policy Forum of the Great Horn of Africa Horizon Forum, organized a conference of youth ministers with the participation of researchers and diaspora researchers in the region (Djibouti, December 2008). The meeting reviewed existing studies and identified policy recommendations for each Member State.",
"In addition, UNESCO supported the Inter-American Conference on Regional Philosophical Dialogue on Africa and its diaspora populations in April 2011. The conference organized in the framework of the International Year of Afro-descendants (2011) brought together philosophicalists in Africa, diaspora groups and the Americas to discuss contemporary challenges. The dialogue facilitated the establishment of a network of African, Latin American, Caribbean and North American philosophicalists with a view to strengthening academic cooperation and capacity-building through, inter alia, student exchange programmes.",
"In Central Asia, intercultural dialogue has been promoted through the establishment of a portal as a tool for artistic and cultural cooperation and dialogue with Europe and through various activities developed by the International Institute of Central Asia and the International Institute of Toriad Civilization.",
"In South-East Europe, the inter-cultural dialogue between the Head of State was supported through the organization of a series of regional meetings, where the former Yugoslav Republic of Macedonia Ohrid (2003), Tirana (2004), Bulgaria Warna (2005), Croatia Opata (2006), Bucharest (2007), Athens (2008), Montenegro (June 2008) and Istanbul Turkey (2010), the objective of which was to establish a shared vision for future international cooperation. The 2011 summit will be held in Serbia.",
"In the area of Israel and the Palestinian territories, a joint academic committee on the balance of women and men (Israel-Palestinian) has been established, consisting of members from Israeli and Palestinian universities, scientific institutions and think tanks. The Commission will work together to promote and pursue dialogue and academic cooperation between Israelis and Palestinians.",
"In the Middle East, peacebuilding and intercultural understanding have also been promoted through the third university cooperation programme, launched in cooperation with the University of Rome, the Social Science and Humanitarian Affairs Drivers, 2010-2011. The programme will promote academic exchange and cooperation among teachers and students at Israeli and Palestinian universities.",
"UNESCO promotes peaceful and non-violent sciences as a medium of intercultural dialogue and cooperation to help prevent potential conflicts of natural resources such as freshwater and arable land and address complex global environmental and development challenges. To that end, it provided technical support to Israel, the Palestinian scientific organization, which provided opportunities for Palestinian and Israeli scientists to cooperate on joint scientific projects. UNESCO also provided support to the Maltese Conference Series, which brought together scientists from the Middle East and neighbouring regions to discuss issues related to chemical research and education in the region and to seek a mutually satisfactory solution. The fifth meeting in this series was held at UNESCO headquarters (December 2011), on the theme “Spacific science front: research and education in the Middle East: bridging peace and international development”.",
"Through its biosphere programme, UNESCO supports national efforts to establish cross-border biosphere protected areas to promote reconciliation, intercultural dialogue, peace and cooperation on issues related to adaptation to climate change, biodiversity loss, sustainable development and ecotourism. Ten existing protected areas are distributed among 15 countries in Latin America, Europe and Africa. At the most recent meeting of the International Coordinating Council in June 2011, the Programme approved the Biosphere protected area of Trihane, El Salvador/Guatemala/ Honduras (Trifinio Fraternidad), the first three biosphere protected areas in Central America.",
"Through its programme “from potential conflicts to the potential of cooperation”, UNESCO facilitated multi-level and interdisciplinary dialogues to promote peace, cooperation and development related to shared transboundary water resource management. The programme seeks to strengthen the capacity of stakeholders to predict, prevent and resolve water conflicts in the context of shared transboundary water resources management, thereby enhancing water security.",
"The importance of promoting science for peace was also raised by supporting the celebration on 10 November of the World Science Day for Peace and Development.",
"Actions to support the free flow of communication and information",
"UNESCO continued to undertake key capacity-building actions, with emphasis on the useful role of the media in promoting dialogue, democracy and development processes and in protecting human rights. The capacity of media professionals in the area of information security, conflict-sensitive coverage and electoral coverage has been strengthened.",
"The right to freedom of expression and access to information was raised through several activities in 2010. The theme “Final freedom of the press: the right to information” was focused on the World Press Freedom Day in 2010. At the International Conference on World Press Freedom Day held in Australia, participants adopted the Brasband Declaration, calling on Governments to adopt the Freedom of Information Act and highlighting the importance of independent and pluralistic media, noting that this is a fundamental element of good governance and human rights-based development. The World Press Freedom Day was celebrated at least 100 countries. The UNESCO/Guelmo Carno Prize was awarded to Mónica González Mujica to recognize the news coverage of her in-depth investigation during the Chilean dictatorship.",
"Support was provided to intergovernmental and non-governmental organizations working in the area of freedom of expression, in particular with regard to ending impunity and violence against journalists. UNESCO continues to support the International Freedom of Expression Exchange Network, in particular by supporting groups in developing countries and countries in transition to promote better protection of the rights of journalists and journalists. In 2010, the safety of media professionals was of particular concern and the Director-General of UNESCO condemned the killing of 62 journalists. The International Council for Communication Development adopted a decision on the safety and impunity of journalists and called upon States to report to UNESCO on their investigations into cases of killings of journalists.",
"The development of international communications development programmes provides support for the launch of 83 projects in 61 developing countries to assist Member States in the development of free, independent and pluralistic media. The “Voice of Farmers” community radio station in Mexico and the Egyptian journalist Amr Mamdouh Ellissy received the United Nations Educational, Scientific and Cultural Organization-International Communication Development Programme Rural Communication Award in 2010.",
"UNESCO continued to promote community radio and community multimedia centres and community radio projects were launched in 19 countries. A total of 50 community radio best practices have been identified for management, sustainability, programming and community participation, and support has been provided to the World Association for Community Broadcasts to develop common operational codes for community radio practitioners. The Indian Community Radio Policy Review, supported by UNESCO, resulted in a proposal to create a national public fund to support community media development.",
"The capacity of media training and press education institutions has also been strengthened in accordance with the UNESCO good standards of public information training, and 63 public information training institutions in 51 countries have adopted the UNESCO model curriculum on information education.",
"UNESCO has also contributed to the development of a national information policy framework, particularly in the framework of the National Information Programme, which has contributed to the universal access to information.",
"FAO has supported the use of the media such as rural radio, participatory video, print and audio-visual tools to increase the participation and ownership of development initiatives by the rural population. FAO works through its programme “Charting the rural digital divide to reduce poverty and food insecurity”, to strengthen the human and institutional capacity to use and exchange information in rural areas, while also using various media to reduce poverty and ensure food security.",
"In 2008, ITU launched the Child Online Protection Initiative to raise awareness of the importance of child online protection, to educate and develop guidelines for the public, including children themselves. The initiative also develops technical standards that can be operational in order to protect online children and help countries build national hotlines and develop national strategies and implement legislative processes. ITU held a panel discussion on “Technical Voices: Focus on Youth and Access” during the World Summit on Youth in 2011 and organized a large event on the theme “Information technology as a catalyst for peace, human rights and development” during the United Nations High-level Meeting on Youth to promote the role of information and communications technology in promoting peace.",
"H. Actions to promote international peace and security",
"UNESCO has supported countries in post-conflict and post-disaster situations through a dedicated cross-sectoral platform to help them: re-establish their education systems to achieve the goal of education for all; provide policy advice and expertise to detract from potential conflicts of natural resources; revitalize domestic research facilities; integrate disaster prevention and mitigation efforts, in particular early warning systems into post-conflict and post-disaster responses; and protect and rehabilitate damaged cultural and natural heritage.",
"During the reporting period, support was provided to countries affected by natural disasters, such as the earthquake in Haiti, the floods in Benin and Pakistan, the tsunami and volcanic eruption in Indonesia and the earthquake and tsunami in Japan. It also supported a number of countries in post-conflict environments, such as Afghanistan, the Democratic Republic of the Congo, Iraq, the Occupied Palestinian Territory and several West African countries.",
"UNESCO participated in 16 of the 26 appeals launched by the United Nations Office for the Coordination of Humanitarian Affairs, in particular in response to the earthquake in Haiti and the floods in Pakistan. It also started implementing eight of the 10 joint programmes of the United Nations country team and is expected to allocate $8.3 million under the thematic window of the Millennium Development Goals Fund of Spain (Brazil, Chile, Costa Rica, Democratic Republic of the Congo, Guatemala, Haiti, the former Yugoslav Republic of Macedonia, Mexico, Lebanon and Panama).",
"At the request of African countries following the crisis, support was provided to joint activities with United Nations partners, in particular UNHCR and regional organizations in Africa, in particular through the UNESCO Emergency and Reconstruction Education Programme. UNESCO launched a post-conflict comprehensive support programme for Côte d'Ivoire in its area of competence in 2008 and established a space line for countries with special needs (Djibouti, Liberia, Sierra Leone and the Sudan). At the regional and subregional levels, as part of the United Nations regional coordination mechanism, UNESCO has also supported the African Union and a number of regional organizations initiatives in the context of the African Union's post-conflict reconstruction and development action framework.",
"UNESCO also launched the Global Monitoring Report on Education for All, 2011 on “Chiding Crisis: Armed Conflict in Education”, which examines the devastating consequences of the conflict for achieving the goals of education for all. It has developed an agenda to protect the right to education in conflict, to strengthen assistance to children, young people and adults affected by conflict, and to re-establish the education system in countries emerging from conflict. Based on the experience of a number of countries, it identified a number of issues and proposed solutions to enable education to become a force for peace, social cohesion and human dignity.",
"In order to promote international peace and security through further efforts to engage multiple stakeholders in different cultural dialogues, UNESCO has held consultations with a wide range of partners and organizations to identify possible joint actions and partnerships.",
"UNESCO also participated in the Counter-Terrorism Task Force among United Nations agencies and recently submitted funding proposals to develop and implement a number of programmes to support conflict prevention, promote peace education and assist in the attractiveness of violent extremism in Nigeria.",
"UNHCR promotes education for reconstruction, peacebuilding and nation-building through the German Refugee Scholarship Initiative (Abert Evantanstan). In 2010, 1,900 students from 37 countries advanced their university education through the programme. Through the strengthening of self-reliance and the development of human capital, the refugee scholarship initiative has set the refugee example, facilitated durable solutions and provided students with important skills for reconstruction, peacebuilding and nation-building.",
"FAO coordinated a number of action plans in post-conflict countries to support agricultural development and food security in post-conflict situations and participated in the preparation of various components of agriculture in post-conflict needs assessments. This assessment is coordinated by the United Nations Development Operations Coordination Office.",
"UNICEF supported the child-friendly space programme, in Afghanistan, Albania, Angola, Colombia, El Salvador, Haiti, Kosovo, Liberia, Timor-Leste and Turkey, in which they were taught in a protective space. UNICEF also supports the development of a sector-wide approach in Nepal to help create a more equitable system and promote cohesion. Education programmes in emergencies and post-crisis transitions have supported UNICEF education programming in 39 countries and territories since their operation in 2006. Conflict is a feature of many countries funded by the programme. UNICEF, in cooperation with the Office of the Special Representative of the Secretary-General for Children and Armed Conflict, recorded grave violations of children in 22 countries through the monitoring and reporting mechanism established pursuant to Security Council resolution 1612 (2005) on grave violations of children in armed conflict. This information is contained in the Secretary-General's annual report on the list of grave violations committed against perpetrators.",
"UN-Habitat supports a total of 48 countries in implementing policies to enhance access to land and access to housing, including in post-crisis reconstruction. Fifteen of these countries have received post-crisis reconstruction support, six of which are in Africa and in the Arab States region, eight in Asia and the Pacific region, one in Eastern Europe and Central Europe.",
"The International Labour Organization provided technical assistance to countries in post-conflict situations to demonstrate the effectiveness of employment-focused responses to peacebuilding challenges. It also provides capacity-building for decent work and social justice for the Government, employers' organizations and workers' organizations (i.e., the ILO-sponsored Tripartite) through training, counselling (including labour information and statistics, labour legislation and reconstruction) and dissemination of relevant publications. This also includes advocating for employment at the core of peacebuilding efforts to donors and partner institutions and in the media.",
"The World Bank recently issued the World Development Report 2011: Conflict, security and development, which highlights the importance of institutional legitimacy in supporting national-social contracts and the need to invest in civil security, justice and employment in order to reduce violence. It is committed to the implementation of key messages presented in the World Development Report 2011, including strengthening partnerships with key actors working in vulnerable situations, in particular with United Nations funds, programmes and agencies.",
"Future actions to promote a culture of peace and non-violence",
"UNESCO builds on lessons learned from the International Decade for a Culture of Peace and Non-Violence for Children in the World (2001-2010) and the International Year of Culture and Good Governance in 2010, and is developing an integrated, cross-sectoral and interdisciplinary programme of action for peace and non-violence, in consultation with Member States. The objective of the programme of action is to further strengthen the global movement for a culture of peace and non-violence at the national, regional and international levels.",
"In accordance with the decision of the UNESCO Executive Board in May 2011 to prepare its draft programme and budget for the period 2012-2013, the budget will provide for a number of realistic actions in the following areas:",
"(a) Strengthen education for a culture of peace and non-violence in order to achieve intercultural solidarity and intergenerational dialogue and mutual understanding for reconciliation and peacebuilding;",
"(b) Promotion of natural science as a medium of common language and intercultural dialogue and communication and for peace;",
"(c) Emphasize the role of social and human science in promoting universal values, democracy and human rights;",
"(d) To highlight the important role of cultural diversity, intercultural dialogue and various forms of heritage in promoting mutual understanding and reconciliation;",
"(e) Explore the opportunities offered by the media as intermediaries for reconciliation, tolerance and intercultural understanding by highlighting the use of young people for new media.",
"UNESCO will be committed to mobilizing all relevant stakeholders at the global, regional, subregional and national levels. It will also draw on its multidisciplinary expertise in education, science, culture, communication and information and develop innovative programmes to achieve greater results in promoting a culture of peace and non-violence.",
"The Programme of Action will be implemented and managed by a dedicated cross-sectoral platform for peace and non-violence. The platform will also be responsible for the implementation of an initiative by the Kingdom of Saudi Arabia, namely the International Programme for Peace and Dialogue of Abdullah bin Abdulaziz, which has contributed $5 million.",
"Recommendations",
"The General Assembly may wish to consider the following actions:",
"(a) To strengthen policy coherence and to explore the possibility of harmonizing reporting to the General Assembly on issues related to culture of peace, cultural diversity, tolerance, mutual understanding, harmony, non-violence and intercultural dialogue, including inter-religious dialogue;",
"(b) Call upon the United Nations Development Group, including its regional teams and all United Nations country teams, to integrate programmatic modules that focus on promoting a culture of peace and non-violence into common national programming processes and documents, notably in the United Nations Development Assistance Framework, including, where appropriate, the inclusion of programme modules that focus on conflict prevention and resolution and post-conflict reconciliation;",
"(c) To invite the United Nations System Staff College to develop training modules and learning materials in this regard and to provide training workshops for United Nations country teams to build joint strengths, enhance coherence and coordination so that they can better respond to specific national needs;",
"(d) To establish an inter-agency working group on a culture of peace and non-violence to discuss common initiatives and consider the development of a road map that sets goals and measurable expected outcomes, and to monitor the implementation of this work;",
"(e) Welcome the efforts of UNESCO to establish national and regional mechanisms, such as the Intercultural Forum, to highlight the benefits of intercultural dialogue and cultural diversity from a human rights-based perspective in order to combat violence and peacebuilding in everyday life, and invite Member States to sustain such efforts in the context of their commitment to a culture of peace;",
"(f) Encourage Member States to establish linkages among organizations that actively promote intercultural dialogue and work towards sustainable development and peace with a view to creating new impetus for peace."
] |
[
"2011年8月5日印度常驻联合国代表给秘书长的信",
"谨荣幸地告知你，在印度轮值主席的主持下，安全理事会定于2011年8月26日星期五进行主题为“联合国维持和平行动”的公开辩论。为了有助于引导关于这个主题的辩论，印度编写了随函所附概念说明，题为“联合国维持和平行动：总结过去，准备未来”(见附件)。",
"请将此函及其附件作为安全理事会文件分发为荷。",
"常驻代表",
"哈迪普·辛格·普里(签名)",
"2011年8月5日印度常驻联合国代表给秘书长的信的附件",
"安全理事会印度轮值主席",
"2011年8月",
"维持和平：总结过去，准备未来",
"概念说明",
"维持和平行动这个词组在《联合国宪章》中并不存在，但已成为联合国的一项中心任务。维和行动消耗的资源、雇用的人员以及占用的安全理事会的时间，超过任何一个其他问题。与此同时，维和行动对国际法和国际人道主义法的普及和适用的影响也超过安理会任何其他手段。维和行动比任何其他集体努力都更有力地体现了会员国共同合作维护国际和平与安全这一理念。",
"过去二十年来，维和预算增加了大约27倍；维和人员数目增加大约10倍，维和行动数目之多前所未有。尽管存在严重缺欠和各种不足，维和行动和维和人员取得的成果是显而易见的。表明维和行动成功的另一个指标是，其他国际及区域安全组织也用维和行动这个词来形容他们在联合国维和任务区外的部署。",
"维和行动可分为几代。前五十年，联合国维和特派团的任务主要是监督停火或者将军事维和人员部署在交战双方之间。后来，维和特派团的规模、任务范围和性质发生了很大变化。经常为了应对国内冲突(而不是国家之间冲突)而部署维和特派团。任务范围扩大了，将强制执行某些规范或者承担通常由国家当局履行的若干职能(例如选举、司法和执法)也包括在内。安理会还开始拟订一些同时援引宪章第六章和第七章的任务。这意味着可使用武力或需要使用武力的情况大大增加。在这个过程中，过去二十年来发起的复杂的或多层面的维和行动开始形成了一个新增层面，这就是“建设和平”。还出现了更新的一代特派团，专门执行“建设和平”任务。现在人们认识到，维和人员实际上一直是“早期建设和平人员”。",
"维持和平行动从而迈入一个更新的领域。维和行动的性质和范围方面的变化涉及重要的国际法问题，特别是国家主权、国际人道主义法和国际人权法问题。至于可在多大程度上利用维和特派团促进具有新意地适用国际法和规范，尚需会员国之间就此达成进一步共识。为了保持联合国维和行动的公信力和普遍可接受性，需澄清各种具有新意的适用与维和行动指导原则之间的关系，包括征得各方同意；除自卫或任务规定所需情况下，不得使用武力；保持中立。维和特派团还经常被要求在法律规定不明确的情况下，作出艰难的道德抉择。为了开展有效的维和行动，必须使维和人员能够在具有法律确定性的环境中执行任务。",
"对征得同意的问题，必须格外注意，因为这个问题涉及作为《联合国宪章》基础的国家主权概念。",
"维和特派团现在面临的最大挑战是资源缺口。目前维和行动每年支出不足80亿美元。通过比较关切地注意到联合国维和特派团人员的数目与部署在阿富汗的国际安全援助部队士兵人数大致相同，而据报告联合国维和行动过去二十年的支出总额(不足500亿美元)赶不上国际安全援助部队一年的支出。",
"维和行动的资源与任务极不匹配。1961年，联合国在刚果部署了由20 000名维和人员组成的联合国刚果行动(联刚行动)，联合国网站上关于其任务的描述不足300字。大约四十年后，联合国再次在刚果部署大约20 000名维和人员，组成联合国组织刚果民主共和国特派团(联刚特派团)，联合国网站上关于其任务的描述用了近3 000字。",
"资源短缺表现在各个方面。例如，联合国组织刚果民主共和国稳定特派团(联刚稳定团)的任务区几乎遍及整个非洲大陆，却只能按照每数百平方公里一名维和人员的比例在责任区进行部署。缺乏足够的有助于维和人员充分利用资源的有利条件。",
"这种情况差强人意，需就资源问题进行认真的讨论。如果安理会不能解决这个问题，将导致联合国维和特派团无法圆满完成任务，而这可能会削弱安理会的合法性。",
"维持和平是一种合作，是代表国际社会意愿的安全理事会以及核准预算的大会与同意实施维和行动的东道国之间的合作。部队及警察派遣国是这种合作关系的必然组成部分，为合作提供便利。派遣国的维和人员在实地代表着安理会，将安理会的承诺变为实际行动。部队及警察派遣国实际上在这一进程中起到重要的中间人的作用。",
"要求安全理事会与派遣国协商，不仅因为《宪章》第四十四条的有关明确规定，而且因为协商有利于提高运作的效率和有效性。安全理事会在决策时必须考虑到部队及警察派遣国关于现场实际情况的第一手材料以及他们在维和需要方面的丰富经验。另外，安理会职能范围大为扩展，显然需要更方便地获得有关信息。部队及警察派遣国具备提供可信的相关信息的得天独厚的条件，因为许多派遣国在实地不仅派有部队，还有外交官，并开展技术及经济合作活动，有时还派民间社会组织或商务机构到实地。",
"在改进协商进程方面有所进展，但是还需要继续改进，以充分开发上述合作关系的潜力。应为协商会议确立结构合理且可预测的时间表和议程。这将有助于部队及警察派遣国优化实质性贡献。",
"任务与资源不相匹配的原因之一是，在拟订任务进程中未与部队及警察派遣国进行充分协商。卜拉希米报告曾建议拟订任务进程分两个阶段进行，安全理事会可允许一项决议维持草案形式，直至秘书处确认派遣国能否提供所需部队以及重要的辅助要素。这项建议尚未实施，现在或许是将其付诸实施的良机。",
"随着全球权力、资源和能力日趋分散，更有必要进行协商，协商带来的好处也将会越来越多。",
"伙伴关系还意味着各种创新做法，例如联合国维和人员和区域组织及安全组织联合部署。大约四分之三的联合国维和人员和预算部署在非洲大陆。加强非洲联盟的维和能力是改善非洲动乱地区安全状况的一个重要条件。",
"伙伴关系并不意味着放弃权利。卷入冲突的行为体数目不断增加，国际社会必须促成这些行为体之间的协同增效作用，同时防止重复和浪费。维持和平是联合国的核心能力。危机还会发生，鉴于联合国维和行动特有的合法性和公信力，对维持和平行动部和部队派遣国的能力的需求可能会持续不断。因此，必须保护这方面的专门知识。",
"需要相关警务和法治能力，以巩固联合国的维和能力。会员国需要通过讨论确定所需能力的类型、不同能力的混合以及能力的来源。必须根据国家当局的需要和东道国具体情况进行这项工作。必须促进在维持和平问题上采取能力驱动的办法，这种方法应基于需求，并符合国家优先事项。"
] | [
"Letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General",
"I have the honour to inform you that, under the presidency of India, the Security Council is scheduled to hold an open debate on the subject of United Nations peacekeeping operations on Friday, 26 August 2011. In order to help steer the discussions on the subject, India has prepared the attached concept note, entitled “Peacekeeping: taking stock and preparing for the future” (see annex).",
"I would be grateful if the present letter and its annex could be circulated as a document of the Security Council.",
"(Signed) H. S. Puri Permanent Representative",
"Annex to the letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General",
"Indian presidency of the Security Council August 2011",
"Peacekeeping: taking stock and preparing for the future A concept note",
"Peacekeeping, a term that does not exist in the Charter of the United Nations, has become a central enterprise of the United Nations. It consumes more resources, employs more people and occupies a greater share of the Security Council’s time than any single other issue. No other Council instrument has had a greater impact on the provenance and application of international law and international humanitarian law as its peacekeeping mandates. Peacekeeping represents, better than any other collective endeavour, the concept of Member States cooperating in the maintenance of international peace and security.",
"In the last two decades, peacekeeping budgets have increased approximately 27 times; the number of peacekeepers has grown about tenfold and the number of peacekeeping operations is at an all-time high. Despite serious shortcomings and abundant imperfections, it is evident that peacekeeping and peacekeepers have delivered results. The adoption of the mantle of peacekeeping by other international and regional security organizations, to describe out-of-area deployments, is another indicator of its success.",
"There have been several generations of peacekeeping operations. In the first five decades of their existence, United Nations peacekeeping missions were largely truce supervision operations or involved the interposition of military peacekeepers between combatants. Thereafter, peacekeeping missions changed dramatically in size, scope and nature. They were often deployed in the context of conflict within States (as opposed to conflict between States). Mandates expanded to include enforcement of certain norms and the assumption of certain functions usually undertaken by State authorities (e.g. elections, administration of justice, law enforcement). The Council also began to generate mandates that invoked Chapter VI and Chapter VII of the Charter jointly. This meant that the number of situations where force could be used, or was required to be used, by peacekeepers grew significantly. In the process, these complex or multidimensional peacekeeping operations, launched over the last two decades, proceeded to acquire an added dimension of peacebuilding. A still newer generation of missions that have exclusive peacebuilding mandates has also appeared. It is now recognized that peacekeepers have been and are “early peacebuilders”.",
"Peacekeeping operations have thus moved into newer territory. The change in the nature and scope of their mandates has involved important questions of international law in general, and issues of State sovereignty, international humanitarian law and international human rights law in particular. The extent to which peacekeeping missions can be used as instruments of innovation in the application of international law and norms is an area where a greater degree of common understanding is required among Member States. The relationship of these innovations to the guiding principles of peacekeeping, including consent of the parties, non-use of force except in self-defence or defence of the mandate and impartiality, will require clarification for United Nations peacekeeping to retain its credibility and universal acceptability. Peacekeepers are often asked to make life-and-death decisions in situations of legal ambiguity. They are also frequently asked to make tough moral choices. Effective peacekeeping requires that the men and women operate in an environment of legal certitude.",
"The issue of consent, which has implications for the concept of State sovereignty that is the basis of the Charter, needs particular attention.",
"The central challenge that peacekeeping missions now face is the resource gap. The current annual outlay for peacekeeping is under $8 billion. For purposes of comparison, it is interesting to note that while the number of United Nations peacekeepers is roughly the same as the number of soldiers in the International Security Assistance Force (ISAF) deployed in Afghanistan, the total expenditure for United Nations peacekeeping in the last two decades (under $50 billion) is reportedly less than the annual expenditure on ISAF.",
"There is a severe mismatch between the resources and the mandates of peacekeeping operations. The United Nations deployed just under 20,000 peacekeepers in the Congo in 1961 under the United Nations Operation in the Congo (ONUC). Its mandate on the United Nations website is detailed in less than 300 words. About four decades later, the United Nations again deployed about 20,000 peacekeepers in the same country under the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC). The United Nations website takes about 3,000 words to describe their mandate.",
"The paucity of resources is made evident in a number of ways. The United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO), for example, operates in an area that is almost continental in scale, but has to make do with a ratio of one peacekeeper for several hundred square kilometres in its area of responsibility. Enablers that would allow them to leverage their resources are not present in adequate quantity.",
"This is an unsatisfactory situation and a serious discussion is required on the issue of resources. The inability of the Council to address this will lead to a performance deficit on the part of United Nations peacekeeping missions, which in turn could erode the legitimacy of this Council.",
"Peacekeeping is partnership. It is a partnership between the Security Council, which represents the will of the international community, the General Assembly, which approves the budgets and the host country, which consents to a peacekeeping operation. Troop- and police-contributing countries are an integral part of this partnership and facilitate this cooperation. Their peacekeepers represent the Council on the ground and convert its word into deed. Troop- and police-contributing countries, in effect, are the vital intermediaries in this process.",
"The requirement that the Security Council consult them is based not only in the explicit provisions of Article 44 of the Charter but is also in the interest of efficient and effective functioning. The direct knowledge that troop- and police-contributing countries obtain of ground realities and their considerable experience in peacekeeping needs to be factored into the decision-making process of the Security Council. It is also evident that the Council requires greater access to information in its vastly increased scope of functioning. Troop- and police-contributing countries, many of whom have not just troops but diplomatic presence, technical and economic cooperation activities and sometimes a civil society or commercial presence in the field, are uniquely suited to provide credible and relevant information.",
"There has been progress in improving the consultations process but there is scope for forward movement in order to fully exploit the potential of this relationship. Consultative meetings should be structured and predictable, in terms of timing and agenda. This will enable troop- and police-contributing countries to optimize their substantive contributions.",
"One of the reasons for which mandates are not aligned with resources is owing to insufficient consultations with troop- and police-contributing countries during the mandate generation process. The Brahimi report had recommended a two-stage mandate generation process wherein the Security Council can leave a resolution in draft form until such time as the Secretariat is able to confirm or deny that the required troops and critical support elements are available from contributing Member States. This has not so far been implemented, and it might be an opportune time to do so.",
"As global power, resources and capabilities are becoming more dispersed, the need to consult, and benefits arising therefrom, will increase.",
"Partnership has also meant innovations, such as the joint deployment of United Nations peacekeepers with regional and security organizations. About three-quarters of United Nations peacekeeping personnel and budgets are deployed in the African continent. The strengthening of African Union capacities in peacekeeping is a key requirement in improving security conditions in troubled parts of Africa.",
"Partnership does not mean ceding ground. The number of actors in conflict situations is increasing and the international community needs to develop synergies between these actors while guarding against duplication and waste. Peacekeeping is a core competence of the United Nations. Crises will occur again and the unique legitimacy and credibility of United Nations peacekeeping means that there is likely to be a continued demand for the capacities of the Department of Peacekeeping Operations and troop- and police-contributing countries. This expertise needs to be protected.",
"Policing and rule of law capabilities are required to consolidate the peacekeeping capabilities of the United Nations. Member States need to deliberate on the types of capacities that are required, the mix of capacities and their sourcing. This exercise needs to be undertaken in accordance with the needs of national authorities and relevance to conditions of the host countries. A capability-driven approach to peacekeeping that is demand-driven and responsive to national priorities needs to be fostered."
] | S_2011_496 | [
"Letter dated 5 August 2011.",
"I have the honour to inform you that, under the presidency of India, the Security Council will hold an open debate on the theme “United Nations peacekeeping operations” on Friday, 26 August 2011. In order to help guide the debate on this subject, India prepared a concept note attached to the letter entitled “United Nations peacekeeping operations: summary of the past, preparation for the future” (see annex).",
"I should be grateful if you would have this letter and its annex circulated as a document of the Security Council.",
"Permanent Representative",
"Permanent Representative",
"Annex to the letter dated 5 August 2011 from the Permanent Representative of India to the United Nations addressed to the Secretary-General",
"Chairman-in-Office of the Security Council",
"2011",
"Peacekeeping: summary of past, preparation for the future",
"Conceptual note",
"The reference group for peacekeeping operations does not exist in the Charter of the United Nations but has become a central task of the United Nations. The resources allocated for peacekeeping operations, those employed and the time spent by the Security Council exceed any other issue. At the same time, the impact of peacekeeping operations on the universalisation and application of international law and international humanitarian law has also surpassed any other means of the Council. Peacekeeping operations are more powerful than any other collective effort to reflect the idea of joint cooperation among Member States in the maintenance of international peace and security.",
"Over the past two decades, peacekeeping budgets have increased by about 27 times; the number of peacekeepers has increased by about 10 times, and the number of peacekeeping operations has not been. Despite serious shortcomings and shortcomings, the results of peacekeeping operations and peacekeepers are clear. Another indicator showing the success of peacekeeping operations is that other international and regional security organizations are also using the terms of peacekeeping operations to reflect their deployment outside the United Nations peacekeeping mission area.",
"Peacekeeping operations can be divided into several generations. In the previous fifty years, the mandate of United Nations peacekeeping missions is primarily to monitor the ceasefire or to deploy military peacekeepers between the warring parties. The size, scope and nature of peacekeeping missions later changed considerably. Peacekeeping missions are often deployed in response to internal conflicts, not inter-State conflicts. The scope of the mandate extends to include the enforcement of certain norms or the assumption of a number of functions normally performed by national authorities (e.g. elections, justice and law enforcement). The Council has also begun to develop a number of parallel references to Chapters VI and VII of the Charter. This means a significant increase in the use of force or the need for the use of force. In that process, complex or multidimensional peacekeeping operations that have been launched over the past two decades have started to create a new dimension that is “building”. An updated generation of missions has also emerged to specifically implement the peacebuilding mandate. It is now recognized that peacekeepers have in fact been “preventive peacebuilding personnel”.",
"Peacekeeping operations thus move into an updated area. Changes in the nature and scope of peacekeeping operations relate to important international law issues, in particular sovereignty, international humanitarian law and international human rights law. With regard to the extent to which peacekeeping missions can be used to promote the innovative application of international law and norms, further consensus is needed among Member States in this regard. In order to maintain the credibility and universal acceptance of United Nations peacekeeping operations, there is a need to clarify the relationship between the novel application and the guiding principles of peacekeeping operations, including the consent of the parties; the non-use of force, in addition to self-defence or mandate requirements; and to maintain neutrality. Peacekeeping missions are also often required to make difficult ethical choices without the legal provisions. In order to carry out effective peacekeeping operations, peacekeepers must be able to carry out their tasks in a legally defined environment.",
"The question of consent must be given greater attention, as it relates to the concept of sovereignty as the basis of the Charter of the United Nations.",
"The biggest challenge now facing peacekeeping missions is resource gaps. Peacekeeping operations are currently spending less than $8 billion per year. While noting with concern that the number of United Nations peacekeeping personnel is roughly the same as the number of troops deployed to the International Security Assistance Force in Afghanistan, the total expenditure of United Nations peacekeeping operations over the past two decades (inadequate to $500 million) has reportedly not been charged with the International Security Assistance Force for one year.",
"The resources and mandates of peacekeeping operations are extremely poor. In 1961, the United Nations deployed the United Nations Operation in the Congo, consisting of 200,000 peacekeepers (ONUCA), with less than 300 words on its mandate on the United Nations website. About 40 years later, the United Nations once again deployed approximately 20,000 peacekeepers in the Congo, which form the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC), and the United Nations website described nearly 3,000 words on its mandate.",
"Resource shortfalls are reflected in all aspects. For example, the United Nations Stabilization Mission in the Democratic Republic of the Congo (MINUR), which is almost all on the continent as a whole, can only be deployed in the area of responsibility according to the proportion of one peacekeepers per hundreds of square kilometres. Lack of adequate conditions conducive to the full use of resources by peacekeepers.",
"This situation is quite strong and requires careful discussion on resource issues. If the Council cannot address this issue, it will lead to a failure of the United Nations peacekeeping mission to fulfil its mandate successfully, which may undermine the legitimacy of the Council.",
"Peacekeeping is a cooperation between the Security Council, on behalf of the will of the international community, and the General Assembly, which approves the budget, and the host country that agrees to implement peacekeeping operations. troop- and police-contributing countries are an essential component of such cooperation and facilitate cooperation. The peacekeepers of the contributing countries represent the Council on the ground and translate the Council's commitment into practical action. troop- and police-contributing countries have in fact played an important intermediate role in this process.",
"The Security Council, in consultation with the contributing State, is required not only because of the relevant provisions of Article 44 of the Charter, but also because it facilitates efficiency and effectiveness of functioning. In decision-making, the Security Council must take into account the first-hand material of troop- and police-contributing countries on the ground and their rich experience in peacekeeping needs. Moreover, the scope of the Council's functions is largely extended, and it is clear that information is more accessible. Troop- and police-contributing countries have unique conditions for providing credible information, since many contributing countries have not only troops but also diplomats on the ground, but also technical and economic cooperation activities, sometimes by civil society organizations or business agencies on the ground.",
"Progress has been made in improving the consultation process, but there is also a need for continued improvement to fully develop the potential of the above-mentioned collaborative relationships. A reasonable and predictable timetable and agenda should be established for the consultation. This will help troop- and police-contributing countries to optimize their substantive contributions.",
"One of the reasons for the incompatibility of mandates and resources is the lack of adequate consultations with troop- and police-contributing countries in the formulation of mandates. The Brahimi report had recommended that the task process be developed at two stages, and the Security Council could allow a draft resolution to maintain its form until the Secretariat had confirmed that the contributing State could provide the necessary troops and important supporting elements. This recommendation has not yet been implemented, and it may now be a good opportunity for its implementation.",
"As global power, resources and capacities are increasingly fragmented, there is a need for consultation and the benefits of the consultation will also be increasing.",
"Partnerships also imply innovative approaches, such as joint deployment of United Nations peacekeepers and regional organizations and security organizations. About three quarters of United Nations peacekeepers and budgets are deployed on the African continent. Strengthening the African Union's peacekeeping capacity is an important condition for improving security in the troubled areas of Africa.",
"Partnerships do not imply a waiver of rights. The growing number of actors involved in conflict must lead to synergies among those actors, while preventing duplication and waste. Peacekeeping is the core capacity of the United Nations. The crisis will also occur, given the legitimacy and credibility specific to United Nations peacekeeping operations, the need for the capacity of the Department of Peacekeeping Operations and troop-contributing countries may continue. Therefore, expertise in this regard must be protected.",
"Relevant police and rule of law capacities are needed to consolidate United Nations peacekeeping capacities. Member States need to address the types of capacities required, the mix of different capacities and sources of capacity. This must be done in accordance with the needs of national authorities and the circumstances of the host country. It is important to promote a capacity-driven approach to peacekeeping, which should be based on demand and in line with national priorities."
] |
[
"国际法委员会",
"第六十三届会议",
"2011年4月26日至6月3日 和7月4日至8月12日，日内瓦",
"国际组织的责任",
"从各国政府收到的评论和意见",
"增编",
"目录",
"页次\n1.导言 3\n2.从各国政府收到的评论和意见 3\nA.一般评论 3 \n 智利 \nB.对条款草案的具体评论 3\n1.第1条草案——本条款草案的范围 3 \n 智利 \n2.第4条草案——一国际组织的国际不法行为的要素 4 \n 智利 \n3.第8条草案——被一国际组织承认并当作自身行为的行为 4 \n 智利 \n4.第21条草案——反措施 4 \n 智利 \n5.一般评论 5 \n 智利 \n6.第50条草案——反措施的目的和限制 5 \n 智利 \n7.第51条草案——国际组织成员采取的反措施 5 \n 智利",
"一. 导言",
"从智利收到了另外1份书面答复，内载关于国际法委员会在2009年第六十一届会议上一读通过的关于国际组织责任的条款草案(A/64/10，第50段)的评论和意见(2011年5月9日)。",
"二. 从各国政府收到的评论和意见",
"A. 一般评论",
"智利",
"[原件：西班牙文]",
"国际组织是现行国际法体系的一个重要组成部分，这体现在他们积极帮助维护国际和平与安全，并在开展活动的不同领域产生积极影响。出于这个原因，制定一套规范来适当、连贯一致地调节其国际责任，看起来既必要，也不可避免。",
"条款草案在结构和内容方面应该依据有关国家对国际不法行为的责任的条款。智利赞同委员会的决定，即根据国际组织的特殊性质，有必要起草一套具体针对他们的单独规范。",
"B. 对条款草案的具体评论",
"第一部分 导言",
"1. 第1条草案 本条款草案的范围",
"智利",
"[原件：西班牙文]",
"智利同意评注第(5)段表达的一般概念，即责任同违反一项国际责任挂钩。",
"第二部分 一国际组织的国际不法行为",
"第一章 一般原则",
"2. 第4条草案",
"一国际组织的国际不法行为的要素",
"智利",
"[原件：西班牙文]",
"智利政府认为，国际组织在一个由某个国家管辖的领土内的行动，根据该领土的法律可能视为合法。因此，列入一个同关于国家责任的条款第3条类似的条款依然是有用的。",
"第二章 将行为归于一国际组织",
"3. 第8条草案 被一国际组织承认并当作自身行为的行为",
"智利",
"[原件：西班牙文]",
"评注第(5)段指出，一个组织的规则决定哪个机关有权作出承认或将行为当作自身行为这一事项。不过，该组织的规则不会在所有情况下都有帮助。该组织的规则很可能将确定每个机关的职能以及哪些机关有权在国际文书中使本组织承担法律义务，但该组织的组成文书很可能不会明确规定哪些机关将对第三方的行为承担责任。关于不同机关缔结协定或者以其它方式使本组织承担法律义务的权力的规则，不能通过类比适用于涉及对第三方的行为承担责任的情形。承认此类行为的机关在该组织的结构中可能属于中层，因此需要做出决定，表明此类机关的声明是否能够使本组织承担法律义务，或者是否只有其管理机关才能够这样做。",
"第五章 解除行为不法性的情况",
"4. 第21条草案 反措施",
"智利",
"[原件：西班牙文]",
"[见下文第51条项下的评论]。",
"第四部分 国际组织的国际责任的履行",
"第二章 反措施",
"5. 一般评论",
"智利",
"[原件：西班牙文]",
"智利赞成列入一个关于反措施的章节，因为没有理由证明违反一项国际义务的国际组织应该免受受害国或受害的国际组织为促使其履行义务而对该国际组织采取的反措施。",
"6. 第50条草案 反措施的目的和限制",
"智利",
"[原件：西班牙文]",
"需要对反措施加以限制，以便不影响国际组织行使其职能权力。第50条第4款似乎已解决这一问题。不过，根据这类宽泛、不精确的措辞界定对反措施的限制可能会证明非常困难，从而导致反措施在实践中无法实行。",
"7. 第51条草案 国际组织成员采取的反措施",
"智利",
"[原件：西班牙文]",
"关于一个责任国际组织的受害成员可对该组织采取反措施的问题，智利认为，这在原则上应该是可能的，同时不影响该组织的规则作为特别法实行。因此，智利同意这一条款以及第51条草案确立的规定。",
"如果一个国际组织的规则没有对本组织同其成员关系中的反措施问题做出明示或默示规定，一般规则应该是允许实施此类措施。因此，应该明确起草第51条草案，以便更清楚地说明在组织规则没有就反措施的实行做出明确决定的情况下可适用的一般规则。同样的评论适用于第21条。"
] | [
"International Law Commission",
"Sixty-third session",
"Geneva, 26 April-3 June and 4 July-12 August 2011",
"Responsibility of international organizations",
"Comments and observations received from Governments",
"Addendum",
"Contents",
"Page\nI.Introduction 3II.Comments 3 and observations received from \nGovernments A.General 3 \ncomments \nChile B. 3 Specific commentson thedraft \narticles 1. Draft 3 article 1 — Scope of the present draft \narticles \nChile 2.Draft 4 article4— Elementsofan internationally wrongful actofaninternational \norganization \nChile 3.Draft 4 article8— Conduct acknowledged and adoptedbyaninternational organizationas its \n own \nChile 4.Draft 5 article21— \nCountermeasures \nChile 5. 5 General comments(part four— chapter \n II) \nChile 6.Draft 5 article50—Object andlimitsof \ncountermeasures \nChile 7.Draft 6 article51— Countermeasuresby membersofaninternational \norganization \nChile",
"I. Introduction",
"An additional written reply, containing comments and observations on the draft articles on the responsibility of international organizations, adopted on first reading by the International Law Commission at its sixty-first session, in 2009 (A/64/10, para. 50), was received from Chile (9 May 2011).",
"II. Comments and observations received from Governments",
"A. General comments",
"Chile",
"[Original: Spanish]",
"International organizations are a key component of the current system of international law, in that they contribute actively to the preservation of international peace and security and have a positive impact in the different spheres in which they operate. For this reason, a body of norms that suitably and coherently regulates their international responsibility seems both necessary and unavoidable.",
"It is appropriate that the draft articles are based, in terms of structure and content, on the articles on the responsibility of States for internationally wrongful acts, and Chile concurs with the decision of the Commission that the distinctive nature of international organizations necessitates the drafting of a separate body of norms that is specific to them.",
"B. Specific comments on the draft articles",
"Part one",
"Introduction",
"1. Draft article 1",
"Scope of the present draft articles",
"Chile",
"[Original: Spanish]",
"Chile agrees with the general concept expressed in paragraph (5) of the commentary, to the effect that responsibility is linked with a breach of an international obligation.",
"Part two",
"The internationally wrongful act of an international organization",
"Chapter I",
"General principles",
"2. Draft article 4",
"Elements of an internationally wrongful act of an international organization",
"Chile",
"[Original: Spanish]",
"The Government of Chile believes that the actions of international organizations in a territory subject to the jurisdiction of a given State might be characterized as lawful under the law of that territory. As a result, it is still useful to include a provision similar to article 3 of the articles on State responsibility.",
"Chapter II",
"Attribution of conduct to an international organization",
"3. Draft article 8",
"Conduct acknowledged and adopted by an international organization as its own",
"Chile",
"[Original: Spanish]",
"Paragraph (5) of the commentary states that the rules of the organization govern the issue of which organ would be competent to acknowledge and adopt a conduct as its own. It is very possible, however, that the rules of the organization will not help in all cases. The rules of the organization will probably identify the functions of each organ and which organs have the power to bind the organization in international instruments, but the organization’s constituent instrument probably will not specify which organ is to take responsibility for the conduct of third parties. The rules on the powers of the various organs to conclude agreements or otherwise bind the organization could not be applied by analogy to cases involving the assumption of responsibility for the conduct of third parties. The organ acknowledging such conduct may occupy a middle rank in the organization’s hierarchy, and a decision needs to be taken as to whether statements by such organs can bind the organization’s responsibility or whether only its management organs can do so.",
"Chapter V",
"Circumstances precluding wrongfulness",
"4. Draft article 21",
"Countermeasures",
"Chile",
"[Original: Spanish]",
"[See the comment under article 51, below].",
"Part four",
"The implementation of the international responsibility of an international organization",
"Chapter II",
"Countermeasures",
"5. General comments",
"Chile",
"[Original: Spanish]",
"Chile is in favour of the inclusion of a chapter on countermeasures, since there is no reason why an international organization which breaches an international obligation should be exempted from the adoption of countermeasures by an injured State or international organization to induce it to comply with its obligations.",
"6. Draft article 50",
"Object and limits of countermeasures",
"Chile",
"[Original: Spanish]",
"Countermeasures need to be restricted so as not to prejudice the exercise by international organizations of their functional competence. This issue appears to be resolved by draft article 50, paragraph 4. However, defining the restrictions on countermeasures on the basis of such broad, imprecise wording may prove very difficult, rendering the application of countermeasures unworkable in practice.",
"7. Draft article 51",
"Countermeasures by members of an international organization",
"Chile",
"[Original: Spanish]",
"As to whether an injured member of a responsible international organization may take countermeasures against that organization, Chile believes that this should, in principle, be possible, without prejudice to the application of the rules of the organization as lex specialis. Accordingly, it is in agreement with this provision and with the requirements established in draft article 51.",
"When the rules of the organization do not, explicitly or implicitly, regulate the question of countermeasures in relations between an international organization and its members, the general rule should be to permit the imposition of such measures. Accordingly, draft article 51 should be drafted positively in order to state more clearly the general rule applicable in cases where there are no rules of the organization that expressly decide the application of countermeasures. The same comment applies to article 21."
] | A_CN.4_636_ADD.2 | [
"International Law Commission",
"Sixty-third session",
"Geneva, 26 April-3 June and 4 July-12 August 2011",
"Responsibility of international organizations",
"Comments and observations received from Governments",
"Addendum",
"Contents",
"Introduction 3 2. Comments and observations received from Governments 3A. General comments 3 Chile B. Specific comments on the draft articles 3 1.1 - scope of the draft articles 3 Chile 2. draft article 4 - Elements of an internationally wrongful act of an international organization 4 Chile 3. Draft article 8 - recognized and used by an international organization 4 - Draft article 4 - general comment on countermeasures 4 - general comment of Chile on draft article 50 - Purposes and limitations of countermeasures 5",
"Introduction",
"An additional written response was received from Chile to include comments and observations on the draft articles on the responsibility of international organizations adopted by the International Law Commission at its first reading in 2009 (A/64/10, para.",
"Comments and observations received from Governments",
"General comments",
"Chile",
"[Original: Spanish]",
"International organizations are an important component of the existing international law system, which is reflected in their active contribution to the maintenance of international peace and security and has a positive impact in different areas of activity. For that reason, the development of a set of norms to properly and consistently regulate their international responsibilities appears to be both necessary and inevitable.",
"The draft articles should be based on provisions relating to the responsibility of States for internationally wrongful acts in terms of structure and content. Chile aligns itself with the Commission's decision that, in accordance with the special nature of international organizations, a single set of norms specific to them is necessary.",
"Specific comments on the draft articles",
"Introduction",
"Scope of draft article 1",
"Chile",
"[Original: Spanish]",
"Chile agrees with the general concept expressed in paragraph (5) of the commentary that responsibility is linked to a breach of an international responsibility.",
"internationally wrongful acts of an international organization",
"Chapter I",
"Draft article 4",
"Elements of an internationally wrongful act of an international organization",
"Chile",
"[Original: Spanish]",
"The Government of Chile believes that the actions of an international organization in a territory governed by a State may be considered lawful under the law of the Territory. Thus, the inclusion of a similar article with article 3 on State responsibility remains useful.",
"Chapter II Naturalization of conduct by an international organization",
"Draft article 8",
"Chile",
"[Original: Spanish]",
"Paragraph (5) of the commentary points out that the rules of an organization determine which organ is entitled to make recognition or act as a matter of its own conduct. However, the rules of the organization would not be helpful in all cases. The rules of the organization are likely to determine the functions of each organ and the authority of the organs to impose legal obligations on the Organization in international instruments, but the constituent instrument of the organization would probably not specify which bodies would assume responsibility for third parties. Rules relating to the conclusion of agreements by different organs or other means of giving the Organization the authority to assume legal obligations cannot be applied by analogy to cases involving the responsibility of third parties. Recognizing that the organs of such conduct may fall within the structure of the organization, it is therefore necessary to decide whether the statements of such organs would enable the Organization to assume its legal obligations or whether it would be possible for its management to do so.",
"Chapter V Emission of wrongfulness",
"Draft article 21 countermeasures",
"Chile",
"[Original: Spanish]",
"[See comments under article 51 below].",
"Implementation of international responsibility of international organizations",
"Chapter II Countermeasures",
"General comments",
"Chile",
"[Original: Spanish]",
"Chile favours the inclusion of a chapter on countermeasures, since there is no reason to prove that an international organization that violates an international obligation should be free from countermeasures taken by an injured State or an international organization to induce it to fulfil its obligations.",
"Purpose and limitations of countermeasures",
"Chile",
"[Original: Spanish]",
"Constraints of countermeasures are needed in order not to affect the exercise by international organizations of their functions. Article 50, paragraph 4, appears to have addressed this issue. However, the definition of limitations on countermeasures in the light of such broad and unambiguous terms may prove very difficult, leading to the inefficiency of countermeasures in practice.",
"Draft article 51",
"Chile",
"[Original: Spanish]",
"With regard to the question that a victim of an international organization could take countermeasures against the organization, Chile considered that this should be possible in principle, without prejudice to the application of the rules of the organization as a special law. Chile therefore agreed with that provision and the provisions established in draft article 51.",
"If the rules of an international organization do not expressly or implicitly provide for countermeasures in the Organization's relations with its members, the general rule should allow for such measures. Draft article 51 should therefore be clearly drafted in order to make a clearer indication of the general rules applicable in the absence of a clear decision on countermeasures in the rules of the organization. The same comments apply to article 21."
] |
[
"第六十六届会议",
"临时议程[1] 项目69(b)",
"促进和保护人权：人权问题，包括增进 人权和基本自由切实享受的各种途径",
"促进和保护人权国家机构",
"秘书长的报告",
"摘要 本报告涵盖2010年9月至2011年9月期间，内载联合国人权事务高级专员办事处为设立和加强国家人权机构所开展活动的资料；政府和国家人权机构在此方面采取的措施；向国家人权机构的国际和区域活动提供的支持；与联合国系统其他机构、基金和方案一道提供的与国家人权机构相关的技术援助；国家人权机构与国际机制之间促进和保护人权方面的合作。本报告还载有国家人权机构在特定专题方面所从事工作的相关资料。 \n本报告补充秘书长2011年2月7日向人权理事会提交的涵盖2010年1月至12月期间活动的报告(A/HRC/16/76)。",
"一. 导言",
"1. 本报告根据大会第64/161号决议提交，大会在该决议中请秘书长向大会第六十六届会议报告该决议执行情况。本报告涵盖2010年9月至2011年9月期间的活动，并补充秘书长2011年2月7日向人权理事会提交的涵盖2010年1月至12月期间活动的报告(A/HRC/16/76)。",
"2. 大会第64/161号决议确认，有众多行为方参与设立和加强国家人权机构。大会鼓励国家人权机构与各类行为方开展合作，这些行为方包括联合国，尤其包括人权事务高级专员办事处(人权高专办)、促进和保护人权国家机构国际协调委员会(国际协调委员会)、区域国家人权机构网络[2] 以及区域和国际监察员协会。大会在同一决议中还欢迎高级专员努力发展伙伴关系以支持国家机构，并鼓励联合国所有人权机制以及各机构、基金和方案，在各自任务授权范围内与会员国和国家机构合作。在这众多行为方中，会员国在设立和加强国家人权机构方面应发挥突出作用。在这方面，大会第64/161号决议还鼓励会员国设立有效、独立和多元化的国家机构。",
"3. 本报告旨在概述上列行为方在设立和加强独立的国家人权机构方面所发挥的作用。本报告还说明国家、区域和国际三级迄今为止已建立的伙伴关系和其他合作安排。",
"二. 联合国人权事务高级专员办事处与国家人权机构",
"4. 向国家人权机构提供支助并与其开展外联是人权高专办任务的组成部分。高级专员在国际协调委员会第二十四届年会(2011年5月17日,日内瓦)上的介绍性发言中重申，国家人权机构是人权高专办至关重要的伙伴，因为这些机构在国家人权保护系统中，尤其是在解决国家一级最紧迫人权问题方面，处于中心位置。",
"5. 人权高专办通过国家机构和区域机制科继续为设立和加强国家人权机构提供法律和技术支助。人权高专办通过向国际协调委员会本身及其资格认证小组委员会提供秘书处服务，继续发展与该委员会的长期关系。",
"6. 大会曾指出，人权高专办在国家人权机构方面的作用仍是一项进行中的工作。因此，大会鼓励高级专员进一步扩大支助这些机构的活动(第64/161号决议，第13段）。2011年，除人权高专办在支助国家人权机构方面的长期任务外，大会还请该办事处发展和支助与监察员和调解员这两个具体机构类别相关的活动(见第65/207号决议，第5段)。",
"A. 人权高专办提供的有关国家人权机构的咨询服务",
"7. 人权高专办主要通过国家机构和区域机制科在国家、区域和国际三级发挥加强国家人权机构的作用。该科协同包括实地人员在内的人权高专办其他部门开展工作。人权高专办继续在设立和加强机构方面提供咨询意见和援助，其途径包括其国家和区域办事处、人权咨询顾问和联合国和平特派团的人权部门，也包括与联合国开发计划署(开发署)和国家人权机构区域协调机构等其他联合国伙伴开展协作。人权高专办还与政府间组织、学术机构和民间社会组织密切合作。",
"8. 人权高专办向国家人权机构和其他国家利益攸关方提供法律和技术援助。提供的咨询意见涉及国家人权机构及其性质、职能、权利和责任方面的宪法和法律规定。此外还派遣比较分析、技术合作需求评估、方案制定和评价等方面的工作团，协助机构遵守关于促进和保护人权国家机构的地位的原则(《巴黎原则》)(见大会第48/134号决议，附件)。",
"9. 人权高专办继续举办“A级”国家人权机构工作人员助研金方案。在本报告所述期间，下列各国的机构工作人员参加了该方案：埃及、印度、卡塔尔、尼加拉瓜、秘鲁、乌干达和大不列颠及北爱尔兰联合王国。助研金方案的目标是使世界各国的国家人权机构工作人员更好地了解和领会国际人权系统。通过这种经历，研究员增加了有关联合国人权系统，包括条约机构系统、人权理事会、普遍定期审议和特别程序的知识和实际工作经验。他们还熟悉人权高专办与国家人权机构开展的和为这些机构开展的工作，并熟悉与国家人权机构相关的技术和实务问题。人权高专办和国家机构双方都从助研金方案中受益，包括获得实务知识以及在国家人权机构内工作的经验。",
"1. 美洲和加勒比",
"10. 人权高专办南美洲办事处举办了两次讲习班，以进一步建设智利国家人权研究所的能力。讲习班的主要内容是人权指标(2011年4月11日至12日)和如何向人权条约机构报告(2011年5月20日)。",
"11. 2011年4月18日和19日，人权高专办通过其南美洲区域办事处为秘鲁的国家人权机构(人民监察员)组织了关于人权指标的培训活动。该培训活动的对象包括30多名国家人权机构工作人员，具体重点是经济、社会和文化权利。讲习班的目标是更好地将人权指标纳入国家人权机构的分析和报告。",
"12. 2011年4月20日，人权高专办南美区域办事处与秘鲁的国家人权机构共同组织了一次土著居民培训活动。培训的目标是增加关于《联合国土著人民权利宣言》和国际人权机制的知识和认识，包括深入认知土著居民和民间社会如何才能成功运用联合国机制。这次培训活动的对象包括30个秘鲁土著和民间社会组织。",
"13. 在厄瓜多尔任命国家人权机构(人民监察员机构)负责人的过程中，人权高专办为提高对国际标准的认识提供支助。人权高专办的支助包括2011年6月举办一次培训活动，对象是共同参与和社会控制理事会这个负责遴选监察员的机构的成员。",
"14. 联合国人权事务高级专员在访问墨西哥期间(2011年7月3日至9日)会晤了国家人权委员会主席，以商讨人权指标、人权维护者、迁徙工人权利和最近的宪法改革等领域的进一步合作。访问期间，高级专员还与包含32个国家以下各级人权委员会的墨西哥人权公共机构联合会举行了会议。",
"15. 2011年9月，人权高专办南美洲区域办事处与阿根廷的国家人权机构(国家人民监察员机构)共同举办了一次民间社会和土著组织成员培训活动。此活动在该国两个地区进行，重点是介绍土著人民权利和国际人权机制。",
"16. 在本报告所述期间，人权高专办南美洲区域办事处与乌拉圭国会议员和政府官员就该国设立国家人权机构一事举行了会谈。人权高专办重点指出了确保机构独立性与自主性、充分供资和专员遴选过程的重要性。",
"17. 在本报告所述期间，人权高专办继续支助智利努力设立符合《巴黎原则》的国家人权机构。人权高专办南美洲区域办事处为参议院代表举行了信息介绍会，散发了关于国家人权机构和《巴黎原则》的概况资料。人权高专办向议会全体成员发去一封信，提请其注意普遍定期审议关于设立国家人权机构的建议。",
"18. 在本报告所述期间，人权高专办南美洲区域办事处与委内瑞拉玻利瓦尔共和国的国家人权机构进行联络活动，以使该机构更多参与保护权利和被剥夺自由的人士，并使其更多参与向普遍定期审议呈交报告。人权高专办为监察员机构工作人员提供了有关普遍定期审议的培训(A/HRC/16/76，第14段)。",
"19. 人权高专办、开发署、法语国家国际组织和公民保护署(保护署)制订了加强保护署的三年联合全球战略。该战略将于2011年至2013年期间实施。作为该项目的一部分，为协助保护署执行其任务征聘了一名咨询顾问。",
"2. 非洲",
"20. 2011年1月5日布隆迪通过设立独立国家人权委员会的法案。此后，联合国布隆迪办事处于2011年3月在鲁塔纳、基特加和布琼布拉举行了磋商活动。该活动旨在提高民间社会组织对新法律的认识，并确保遴选和任命委员会成员的过程具有透明度。2011年5月19日，国民议会任命了七名委员会成员和主席团成员。",
"21. 人权高专办与联合国国家工作队在尼日尔共同举行磋商活动，以提高对设立新国家人权机构一事的认识。2011年7月6日至8日，与政府各部举行了一次磋商活动。7月4日至6日，在塔瓦举办了一次民间社会组织讲习班。",
"22. 2011年1月，利比里亚独立国家人权委员会获得新办公室。该委员会正式成立于2010年10月。联合国驻利比里亚特派团人权和保护科与该委员会领导层开展互动，就委员会2011年工作计划以及议事棚项目提供咨询意见。该工作计划包含提交给总统的全国和解路线图。委员会与人权和保护科商定了两名国家咨询顾问的工作任务，请他们编制一项战略计划和内部议事规则。2011年5月20日，人权和保护科与该国家委员会以半天时间举办一次讲习班，讨论了两个实体的任务、组织结构图和行动计划，并讨论了委员会与该科间的合作。",
"23. 在本报告所述期间，人权高专办东非区域办事处向坦桑尼亚联合共和国人权和善治委员会提供支助，包括进行培训和论证活动，以向普遍定期审议提交利益攸关方呈件。人权高专办还参与坦桑尼亚联合共和国制定全国人权行动计划的工作。人权和善治委员会是该项工作的领导者之一。",
"24. 2011年6月22日至24日，人权高专办支助纳米比亚、南非、赞比亚和津巴布韦的国家人权机构出席了人权高专办在比勒陀利亚举办的消除种族歧视委员会结论性意见后续行动次区域讨论会。",
"25. 津巴布韦人权委员会于2010年任命其成员，目前尚未正式运作。人权高专办就设立津巴布韦人权委员会的法律提案提供了实质性意见。人权高专办和开发署征聘一名任期六个月的咨询顾问，负责向该委员会成员提供技术和能力支助。人权高专办和开发署还与国家各种利益攸关方举行建设能力和提高认识会议，以根据《巴黎原则》推动津巴布韦人权委员会的设立和运作。该委员会副主席应邀出席了人权高专办在比勒陀利亚举办的上述区域讨论会。",
"26. 人权高专办就任命津巴布韦未来国家人权机构中民间社会成员规则的各种草案提供了意见。人权高专办与联合国国家工作队密切合作，向谋求设立国家人权机构的该国政府和民间社会提供了技术和咨询服务。",
"27. 2011年8月，人权高专办支助在南苏丹征聘一名咨询顾问，负责向人权委员会提供技术知识和增强委员会工作人员的能力。",
"28. 人权高专办继续通过反歧视举措与南非人权委员会密切合作。该举措于2010年11月启动，由人权高专办提供资金。人权高专办定期与南非人权委员会举行磋商，以监督该项目的执行情况。该项目旨在增强委员会处理非国民的人权问题和反对仇外心理及歧视的能力。",
"29. 人权高专办南部非洲区域办事处与该区域的联合国国家工作队密切合作，推进设立和加强科摩罗和塞舌尔的国家人权机构。",
"30. 在本报告所述期间，人权高专办支助埃塞俄比亚人权委员会编制了国家人权行动计划。人权高专办东非区域办事处向该委员会提供了咨询意见，以促进与联合国条约机构的互动，即人权事务委员会和消除对妇女歧视委员会即将对埃塞俄比亚进行的审查。2011年8月，人权高专办、开发署和非洲国家人权机构网络对埃塞俄比亚人权委员会进行差距分析以评估其能力。人权高专办还就国际协调委员会的资格认证程序提供咨询意见，并向工作人员和委员会成员提供关于《巴黎原则》的培训。",
"31. 在本报告所述期间，人权高专办东非区域办事处向吉布提国家人权委员会提供支助，确保其参加消除对妇女歧视委员会对吉布提执行普遍定期审议建议三年联合方案的审查活动。",
"32. 2010年最后三个月，人权高专办就中非共和国设立国家人权机构开展了能力建设活动(见A/HRC/16/76，第26段)。",
"3. 亚洲和太平洋",
"33. 2010年最后三个月，人权高专办与开发署和国家人权机构亚太论坛共同对约旦和泰国的国家人权机构进行了能力评估(同上，第31段)。",
"4. 欧洲和中亚",
"34. 人权高专办应挪威人权中心的邀请，参加了2011年1月11日在奥斯陆举行的一次讨论，题为“挪威国家人权机构：我们前进的方向?”，该会议是关于改组挪威人权中心的全国协商过程的组成部分，民间社会团体的代表和挪威外交部的工作人员出席了会议。人权高专办就挪威国家人权机构的改组，以及重新获取国际协调委员会资格认证的问题提供了技术援助和咨询。",
"35. 在访问俄罗斯联邦期间，联合国人权事务高级专员于2011年2月18日在圣彼得堡举行的俄罗斯联邦国家以下各级监察员协调理事会年会上发言。她指出，人权高专办将高度优先重视按照有关的国际标准建立和支助国家人权机构和监察员办公室。特别是，人权高专办可以分享关于监察机构在法治、拘留条件和安全部门改革方面作用的专业知识。高级专员鼓励与会者加强与联合国条约机构和人权理事会特别程序机制的联络。高级专员呼吁联邦监察员为国家以下各级机构创建与人权理事会互动的空间。她还呼吁它们参与通过国际协调委员会进行的国际协调和交流，并从中受益。",
"36． 2011年3月，人权高专办提供了关于塞尔维亚《国民议会议事规则》的评论意见。这些意见集中于规范监察员与议会之间关系的条款，尤其是关于国家人权机构向国民议会提交报告的监督和审议机制。国民议会在修订上述《议事规则》时，审议了人权高专办的意见。人权高专办和国家工作队继续与国民议会和塞尔维亚监察员密切合作，以加强这两个国家机构之间的关系。",
"37． 2011年6月，在正式启动了加强塔吉克斯坦国家人权机构能力的联合国联合技术援助方案。除了监察机构之外，以下机构计划也参与了该方案：人权高专办、开发署、联合国促进性别平等和增强妇女权能署(妇女署)、联合国难民事务高级专员办事处、联合国儿童基金会、国际移民组织、联合国人口基金、国际劳工组织和联合国艾滋病规划署。该方案旨在加强塔吉克斯坦国家人权机构的能力，以便处理投诉，开展教育和公众宣传活动，并改善其与主要国家行为者和民间社会组织的伙伴关系，从而促进人权政策和法规的改革。",
"38． 2011年7月，根据立陶宛司法部和共和国议会监察员的请求，人权高专办提供了关于《立陶宛议会监察员法》的意见。另外，2011年7月12日，人权高专办参加了在维尔纽斯由立陶宛总统和司法部组织的关于建立一个国家人权机构的协商会议。",
"39． 人权高专办与摩尔多瓦共和国政府官员合作，讨论摩尔多瓦共和国B 级国家人权机构现行立法的修正提案，重点放在有关监察员的聘任程序和甄选等方面。人权高专办驻摩尔多瓦共和国的人权顾问和人权高专办的欧洲区域代表就该问题与一系列官员接触，包括司法部官员和主要议员。此外，联合国人权事务高级专员致函该国政府，敦促迅速采取行动，改善国家人权机构，以便申请国际协调委员会的资格再认证。",
"40． 人权高专办驻摩尔多瓦共和国的人权顾问通过各种方式向国家人权机构提供支助，包括关于普遍定期审议和弱智人士的监督机构的训练，加强该机构的图书馆，制订国家人权机构的战略规划。人权高专办的人权顾问参加了一个由开发署与欧盟委员会组成的关于加强国家人权机构项目的理事会。",
"41． 人权事务高级专员办事处协助加强克罗地亚、荷兰、挪威、匈牙利、立陶宛和斯洛伐克的国家人权基础设施。人权高专办提供了咨询意见，包括对立法的意见，并提请各国政府、国家人权机构和其他参与这些过程的利益攸关方注意确保通过多元和参与性协商开展真正对话的重要性。",
"42． 人权高专办驻塞尔维亚的人权顾问与塞尔维亚监察员办公室密切合作，加强该机构在保护和促进人权方面的工作。人权高专办的支助包括编写一份全面报告，说明罗姆人的人权状况，以及该国为罗姆人融入社会采取的措施的有效性。该报告及其向塞尔维亚政府提出的建议预计将在2012年初提交国民议会。",
"43． 人权高专办驻前南斯拉夫的马其顿共和国的人权顾问协助监察员办公室申请国际协调委员会的资格认证。",
"44． 人权高专办在2010年的最后三个月，协助塞尔维亚和荷兰的国家人权机构加强它们的能力(同上，第39和40段)。",
"5． 中东和北非",
"45． 人权高专办、开发署和国家人权机构亚太论坛向巴勒斯坦国家人权机构(2011年2月6日至8日和2011年4月3日至15日)和阿富汗国家人权机构(2011年5月13日至26日)的能力评估提供了支助。能力评估包括采访机构的工作人员以及其他利益攸关方。",
"46． 在报告所述期间，人权高专办就在突尼斯和沙特阿拉伯设立国家人权机构的立法草案问题提供了法律意见。",
"47． 人权高专办在阿曼组织了一个关于《巴黎原则》的研讨会(见A/HRC/16/76，第30段)。",
"B. 支持与国家人权机构有关的区域举措",
"1． 美洲和加勒比",
"48． 人权高专办与英联邦秘书处合作，举办了关于如何按照《巴黎原则》为加勒比地区建立国家人权机构问题的一个区域讲习班。讲习班于2011年3月21日至23日在西班牙港举行。本次讲习班旨在根据最近在加勒比地区的人权发展情况，包括通过人权理事会的普遍定期审议过程，建立和加强加勒比国家的国家人权保护制度，以便在中短期内建立国家人权机构。来自12个加勒比英语国家的国会议员、监察机构和政府官员包括总检察长出席了研讨会。巴巴多斯的联合国国家工作队和东加勒比国家组织的代表也参加了这项活动。该讲习班通过了《西班牙港宣言》(见附件)。",
"49． 在国际协调委员会第二十四届年度会议的间隙，美洲促进和保护人权国家机构网络举行了一次会议，讨论其2011年至2012年的工作计划。与会者讨论了为该区域国家人权机构的工作人员制订一个永久的能力建设方案，并成立一个美洲网络咨询委员会。与会者同意建立一个美洲网络的网站，并商定在危地马拉举行下一届2011年区域年度会议。",
"2． 非洲",
"50． 联合国开发计划署、人权高专办和非洲国家人权机构网络于2011年5月21日在日内瓦举行会议，讨论合作和支助问题，其中包括确定差距分析的方法，以及协助制订和验证该网络的战略计划。",
"51． 人权高专办作为协助单位参加非洲国家人权机构的培训方案(2011年5月30日至6月8日，阿克拉)，该研讨会是由拉乌尔·沃伦贝格人权和人道主义法研究所、隆德大学和非洲国家人权机构网络举办。培训的主要目的是加强国家人权机构工作人员关于《巴黎原则》的能力和知识。参与者是来自大约26个国家人权机构的工作人员，包括调查人员、培训人员、法律人员、行政人员和管理人员，来自埃塞俄比亚、加纳、肯尼亚、马拉维、纳米比亚、尼日利亚、卢旺达、塞拉利昂、南非、乌干达、坦桑尼亚联合共和国和赞比亚。",
"3． 亚洲和太平洋",
"52． 2011年3月28日至30日，国家人权机构亚太论坛、开发署和人权高专办在曼谷举办关于亚太地区国家人权机构的能力评估的培训讲习班。人权高专办支助设在肯尼亚的非洲国家人权机构网络秘书处的一名代表参加这次讲习班，以促进在亚太区域和非洲的两个国家人权机构网络有效交流能力评估的经验和良好做法。",
"4． 欧洲和中亚",
"53． 人权高专办协助国家人权机构欧洲集团建立其常设秘书处。人权高专办支持2011年2月21日在日内瓦举行一次会议，旨在确定设立常设秘书处的具体步骤。会议聚集了来自13个欧洲国家人权机构的代表，以及国家人权机构亚太论坛和非洲国家人权机构网络常设秘书处的代表。出席这次会议的还有常驻日内瓦代表团和区域机制，如基本权利机构、欧洲安全与合作组织(欧安组织)、民主制度和人权办事处，以及欧洲委员会的代表。该会议的主要成果之一是与会者一致表示支持这项举措。",
"54. 人权高专办参加了2011年3月28日和29日在布拉格举行的一次研讨会，讨论国家人权机构在促进和保护妇女权利和性别平等方面的作用。这次研讨会是由欧安组织和民主制度和人权办事处为来自东欧国家的国家人权机构举办的。",
"55. 人权高专办参加了2011年4月5日在维也纳举行的欧盟基本权利机构与国家人权机构的第四次年度会议。人权高专办在发言中重点谈到国家人权机构在欧洲的各种不同状况，以及人权机构与平等机构合并，或强调各类平等机构、人权机构与监察机构之间合作的趋势。它还强调建立一个国家人权机构欧洲集团常设秘书处的重要性。",
"56． 人权高专办出席于4月14日和15日在维也纳举行的欧安组织人的方面问题补充会议。人权高专办根据最近对人权理事会工作方法的审查，包括发言权利、书面发言的分发和参与普遍定期审议等情况，分享了协助国家人权机构加强它们在人权理事会的作用的经验。",
"57． 2011年5月17日，在国际协调委员会第二十四届年度会议的间隙，国家人权机构欧洲集团的成员举行了一次会议，讨论以下问题：欧洲集团设立常设秘书处；与欧洲基本权利机构、因特拉肯进程和欧安组织的协作；欧洲集团残疾人权利公约工作组；以及国家人权机构与平等机构(欧洲平等机构网络)。会上，欧洲集团选举苏格兰人权委员会为欧洲集团主席。法国、卢森堡和丹麦的国家人权机构代表被选为欧洲协调委员会成员。德国国家人权机构当选为国际协调委员会资格认证小组委员会的欧洲成员。",
"58． 人权高专办参加了2011年7月13日和14日在维尔纽斯举行的欧安组织地区国家人权机构会议。这次会议是由欧安组织/民主制度和人权办事处和欧安组织当值主席(欧安组织主席)共同举办的。本次会议旨在促进监察机构、人权委员会、研究机构和其他与行政机关、司法机关、议会和民间社会合作的机制之间交流经验。",
"59． 人权高专办于2010年10月4日和5日参加了在华沙举行的一次与欧洲委员会和民主制度和人权办事处的非正式机构间会议。人权高专办分享了在协助国家人权机构建立自己的立法框架和能力方面的经验。",
"60． 2010年10月20日和21日，人权高专办参加了在萨格勒布举行的一次关于根据《禁止酷刑公约任择议定书》建立的国家预防机制的区域圆桌会议，这次会议是由开发署和克罗地亚监察员举办的。圆桌会议的重点是预防酷刑和国家人权机构的作用。",
"5． 中东和北非",
"61． 2011年4月27日和28日，联合国人权事务高级专员参加了在努瓦克肖特举行的阿拉伯国家的国家人权机构第七届年会，讨论国家人权机构在执行联合国条约机构的建议方面的作用。该会议由毛里塔尼亚的国家人权委员会主办，来自阿尔及利亚、埃及、约旦、毛里塔尼亚、卡塔尔和突尼斯的国家人权机构代表出席了该会议。与会者通过了《努瓦克肖特宣言》。",
"C. 人权事务高级专员办事处为与国家人权机构有关的国际举措提供的支持",
"1． 促进和保护人权国家机构国际协调委员会",
"62. 人权高专办协助国际协调委员会开发和管理其网站(http://nhri.ohchr. org)，该网站于2011年开始运作，取代www.nhri.net。",
"63. 2011年8月7日，人权高专办收到现任和即将上任的国际协调委员会主席的一封信，呼吁联合国在2013年举办纪念通过《巴黎原则》二十周年的活动。国际协调委员会认为，该活动的筹备工作应在2012年开始，而且，这个问题应列入大会第六十六届会议议程。根据这封信所载的提议，建议大会第六十八届会议在2013年举行一次特别全体会议，纪念通过 《巴黎原则》二十周年，并建议大会在其关于促进和保护人权国家机构的两年度决议中包括这方面的规定。",
"(a) 第二十四届年度会议",
"64. 国际协调委员会第二十四届年度会议于2011年5月17日至19日在日内瓦举行。会议议程包括国家人权机构执行普遍定期审议的建议的最佳做法；国家人权机构与条约机构的协作；国家人权机构与土著人民的权利；国家人权机构在保护妇女权利方面的作用；德班审查会议的后续行动；人权教育；以及工商业与人权。出席会议的有来自80多个国家的国家人权机构的成员，以及政府官员、民间社会组织、学者和政府间组织。",
"(b) 主席团会议",
"65. 2011年5月16日,国际协调委员会主席团会议在日内瓦举行。主席团成员讨论了国际协调委员会在人权理事会第十七届会议上关于通过《儿童权利公约任择议定书草案》的发言稿，以及在残疾人权利公约缔约国会议上的发言稿。主席团还核可关于国际协调委员会下一次两年度会议应重点关心性别平等及妇女和女童的建议。",
"66. 主席团成员决定设立一个工作组，由四个区域的代表组成，讨论国家人权机构参与联合国机构的工作问题。此外，主席团成员同意支持通过一项强调 《巴黎原则》以及国家人权机构参与联合国机构工作的大会决议，并支持在人权理事会第十七届会议上通过一项关于国家人权机构的决议。",
"2． 资格认证小组委员会",
"67. 人权高专办向2011年5月23日至27日在日内瓦举行的资格认证小组委员会会议提供秘书处支助。小组委员会审议了下列20个国家人权机构的新的资格认证：孟加拉国、匈牙利、塞拉利昂和瑞典； 重新认证：澳大利亚、奥地利、加拿大、萨尔瓦多、印度、毛里塔尼亚、纳米比亚、新西兰、尼加拉瓜、挪威、塞内加尔、罗马尼亚和大不列颠及北爱尔兰联合王国；延后：阿塞拜疆、尼日利亚和斯洛伐克。",
"三. 联合国人权机制与国家人权机构之间的合作",
"68． 国家人权机构与国际和区域人权机制合作是《巴黎原则》的一个关键要求。人权高专办继续协助国家人权机构与条约机构和人权理事会进行互动，包括普遍定期审议和特别程序。人权高专办在这方面的工作是与国际协调委员会主席和驻日内瓦代表协调开展的。",
"69． 在报告所述期间，人权高专办继续支持和促进国际协调委员会参与旨在加强国际人权机制的具有里程碑意义的过程，如人权理事会审查和条约机构改革等。",
"A. 人权理事会",
"70. 国际协调委员会积极参与人权理事会审查，使得A级国家人权机构有更多机会参与人权理事会的工作。2011年3月25日，人权理事会通过关于人权理事会的工作和运作的审查结果(第16/21号决议，附件)，该结果包括A级国家人权机构参与普遍定期审议和特别程序的机制并与它们互动的规定(见下文各节)。",
"71. 2011年，人权高专办与国际协调委员会驻日内瓦代表合作，继续支持国家人权机构参与人权理事会工作。在人权理事会第十六届会议期间(2011年2月28日至 3月25日)，提交了8份书面发言：6份来自A级国家人权机构(波斯尼亚和黑塞哥维那、格鲁吉亚、马来西亚、摩洛哥、尼加拉瓜和乌克兰)，两份来自国家人权机构区域网络(非洲伙伴关系论坛和非洲国家人权机构网络)。在理事会第十七届会议(2011年5月30日 至 6月17日)上，提交了3份书面发言：1份来自国际协调委员会，1份来自联合王国国家人权机构，1份来自大韩民国国家人权机构。",
"72. 2011年3月9日，在第十六届人权理事会会议的间隙，人权高专办与摩洛哥国家人权理事会合作，组织了一次会外活动，讨论真相与和解委员会的建议的执行情况(2011年3月9日，日内瓦)。",
"73． 2011年6月16日，人权理事会协商一致通过关于促进和保护人权国家机构的第17/9号决议。",
"1． 普遍定期审议",
"74. 人权高专办继续协助国家人权机构与普遍定期审议机制进行互动。2011年，在普遍定期审议第10次(2月)、第11次(5月)和第12次(10月)会议期间，以下19个国家的国家人权机构向普遍定期审议机制的利益攸关方报告提供了资料：第10次会议：奥地利、澳大利亚(A级)、格鲁吉亚(A级)、纳米比亚(A级)、尼泊尔(A级)、尼日尔和巴拉圭(A级)；第11次会议：丹麦(A级)、希腊(A级)、塞拉利昂、索马里/索马里兰；第12次会议：海地、爱尔兰(A级)、摩尔多瓦共和国、斯威士兰、泰国(A级)、多哥(A级)、乌干达(A级)和坦桑尼亚联合共和国(A级)。",
"75. 2011年3月，人权理事会规定了以下A级国家人权机构的参与权：(a) 受审议国的国家人权机构提交的资料应作为单独一节列入利益攸关方的报告；(b) 受审议国的国家人权机构有权在理事会全体会议通过审议结果时在受审议国发言之后立即发言(见第16/21号决议，附件，第9和第13段)。",
"2． 特别程序",
"76. 2011年3月，人权理事会规定A级国家人权机构有权提名特别程序任务执行人的候选人，并在互动对话期间有权在特别程序任务执行人介绍某个国别任务报告之后紧接着有关国家发言(同上，附件，第22(a)和第28段)。",
"B. 条约机构",
"77. 在报告所述期间，人权高专办继续协助国家人权机构通过提供资料和参加会议参与条约机构会议的工作。2011年7月11日，国际协调委员会主席和丹麦、埃塞俄比亚、法国以及德国的国家人权机构参加了由人权事务委员会举办的一次会议，讨论如何改善与国家人权机构的合作问题。",
"78. 人权高专办编写了一份情况说明，向希望接触条约机构系统的国家人权机构提供实用资料，包括国家人权机构与条约机构互动的各种机会，以及各条约机构与国家人权机构的参与有关的工作方法和议事规则。",
"四. 联合国人权事务高级专员办事处、联合国系统各机构、基金和方案以及国家人权机构国际和区域组织之间的合作",
"79. 国家人权机构与联合国和联合国系统各机构、基金和方案的合作是《巴黎原则》的一个关键要求。2008年，大会鼓励联合国所有人权机制以及各机构、基金和方案在各自任务授权范围内与会员国和国家机构合作促进和保护人权。在这方面，大会欢迎人权高专办为发展支持国家机构的伙伴关系作出的努力。",
"80. 在报告所述期间，人权高专办侧重于发展联合国的援助，包括通过2011年3月的换文，使国际协调委员会、人权高专办和开发署之间的三方协作正规化。三方协作的合作领域除其他外，包括加强国家人权机构和区域网络的作用，以及便利和支持联合国各机构、基金和方案与国家人权机构接触。",
"81. 联合国开发计划署、人权高专办和国际协调委员会于2011年2月在纽约举行了一次会议。它们在会上决定通过换文进入三方伙伴关系。这个伙伴关系的关键要素包括：就国家人权机构的建立、发展与效力建立开发署-人权高专办-国际协调委员会年度战略审查；与联合国各人权机制接触；国家人权机构联合能力评估和差距分析联合项目；就专题问题进行接触；信息和知识管理。首次战略审查年会将于2011年8月底举行。",
"A. 阿拉伯-欧洲酷刑与法治问题人权对话",
"82. 高专办参加了2011年5月11日至13日在柏林举行的第六届阿拉伯-欧洲酷刑与法治问题人权对话。",
"B. 地中海监察员协会",
"83. 高专办作为观察员出席了2011年5月30日和31日在马耳他圣朱利安举行的主题为“监察员加强善政和民主的作用”的地中海监察员协会第五届会议。在发言中，人权高专办向与会者介绍了大会关于监察员、调解员和其他国家人权机构在促进和保护人权方面的作用的第65/207号决议。大会在决议中欢迎高专办积极出席监察员，调解员和其他国家人权机构的所有国际和区域会议，并请国际协调委员会与人权高专办合作，给予他们资格认证，以便能够与联合国系统的相关人权机构有效互动。",
"C. 伊比利亚-美洲监察员联合会",
"84. 高专办参加了伊比利亚-美洲监察员联合会年会。来自拉丁美洲、葡萄牙和西班牙的国家人权机构和监察员机构出席了2011年6月1日至3日在西班牙阿尔卡拉德艾那雷斯举行的这次会议。与会者除其他外，讨论了监察员(Defensorias del Pueblo)在促进和保护人权、千年发展目标与国家人权机构方面的当前和未来挑战；促进人权与国家人权机构的报告；国家人权机构在实施经济、社会和文化权利中的作用；国家人权机构与国际人权机制；以及国家人权机构与弱势群体的保护。",
"五. 与非政府组织和学术机构的合作",
"85. 高专办努力促进非政府组织参与国际协调委员会及其各资格认证小组委员会的活动。2010年10月7日，在第十届国家人权机构国际会议(联合王国爱丁堡)之前举办了一个非政府组织论坛(见A/HRC/16/76，第70段)。2011年5月，来自世界各地民间社会组织的50名成员出席了国际协调委员会年会(日内瓦)。年会后举行的资格认证小组委员会会议得益于来自奥地利、印度和毛里塔尼亚的非政府组织收到的意见。",
"六. 专题问题",
"A. 土著人民",
"86. 高专办和亚洲-太平洋国家人权机构论坛正在编制一本题为“联合国土著人民权利宣言：国家人权机构的业务指南”的联合出版物，旨在支持和加强国家人权机构保护和促进土著人民权利的工作。",
"87. 2011年7月11日，与联合国土著人民权利专家机制第四次会议一道，在日内瓦举办了一次国家人权机构协商。这次协商的主要目的是交流可纳入指南的促进土著人民权利的良好做法。",
"B. 国家人权机构的历史、原则、作用和职责",
"88. 在报告所述期间，高专办推出题为“国家人权机构的历史、原则、作用和职责”的第4号人权高专办专业培训系列的最新版本。在1995年版本的基础上，这个出版物概述了与建立和加强独立的国家人权机构有关的当前主要议题，包括这些机构在国家促进和保护人权制度中扮演的角色及其与国际人权体系的互动。这个出版物还涵盖了这一领域的最新国际发展，如最近的大会决议和国际协调委员会提供的材料。",
"C. 联邦国家内的国家人权机构",
"89. 在国际协调委员会第二十四届年会的间隙，人权高专办举办了一次关于联邦国家内国家人权机构的会外活动。与会者讨论了这类国家的特殊性(包括权力下放和地方自治)以及联邦治理制度国家内国家人权机构的优势和挑战。",
"七. 结论",
"90. 遵守《巴黎原则》是确保国家人权机构的有效性、独立、自主性和多元化的一个关键要求。国家机构以及各国政府、议会及其他相关利益攸关方应采取一切必要措施，确保国家人权机构按照《巴黎原则》持续运作。还鼓励监察员机构和调解员按照这些原则行事，并争取国际协调委员会给予资格认证。",
"91. 欢迎在没有这种机构的国家设立遵守《巴黎原则》国家人权机构。在成立前阶段遵守《巴黎原则》，是确保新机构的独立性和合法性的关键。建议在起草国家人权机构的授权立法时，与民间社会组织开展广泛和参与性的协商进程。",
"92. 强烈建议在任命国家人权机构成员时特别注意《巴黎原则》。鼓励会员国和国家人权机构促进透明的任命过程，并确保参与促进和保护人权的民间社会组织的多元代表性。",
"93. 作为国家人权系统的关键部分，鼓励国家人权机构与该系统其他部门，即行政部门、司法部门、议会、民间社会、媒体和学术界合作。",
"94. 鼓励联合国国家工作队的机构间联合方案支持国家人权机构，并鼓励国家、区域和国际合作伙伴参加这些方案。欢迎建立开发署-人权高专办-国际协调委员会国家人权机构相关活动年度战略审查。",
"95. 建议国家以下各级人权机构与联邦国家人权机构合作，以确保在全国各地平等保护所有人权。大力鼓励国家以下各级人权机构与国际人权体系，包括普遍定期审查、各条约机构和特别程序开展互动。",
"96. 通过关于审查人权理事会的工作和运作的第16/21号决议，理事会加强了A级国家人权机构在普遍定期审议和特别程序中的作用。",
"97. 鼓励国家人权机构在人权理事会普遍定期审查第二个周期中(2012-2016年)发挥积极的作用。 鼓励A级国家人权机构利用人权理事会第16/21号决议所阐明的参与权。",
"98. 欢迎通过关于按照《巴黎原则》在加勒比设立国家人权机构的《西班牙港宣言》。鼓励其他次区域采取类似举措。",
"99. 欢迎欧洲国家人权机构集团决定成立一个常设秘书处。该秘书处将合并区域构架，预计会对在欧洲各地按照《巴黎原则》设立和加强国家人权机构产生积极的影响。",
"附件",
"按照《巴黎原则》在加勒比设立国家人权机构区域讲习班",
"2011年3月21日至23日，特立尼达和多巴哥西班牙港",
"西班牙港宣言",
"按照《联合国宪章》和《世界人权宣言》，联合国人权事务高级专员办事处和英联邦秘书处在联合国特立尼达和多巴哥国家工作队的支持下，于2011年3月21日至23日在特立尼达和多巴哥西班牙港举办了为期三天的按照《巴黎原则》在加勒比设立国家人权机构区域讲习班。",
"与会者来自加勒比英语国家安提瓜和巴布达、巴哈马、巴巴多斯、伯利兹、百慕大、多米尼克、格林纳达、牙买加、圣基茨和尼维斯、圣卢西亚、苏里南、特里尼达和多巴哥。联合国巴巴多斯国家工作队和特立尼达和多巴哥国家工作队的代表出席了讲习班：",
"• 表示赞赏特立尼达和多巴哥政府主办按照《巴黎原则》在加勒比设立国家人权机构区域讲习班，特别赞赏总检察长Anand Ramlogan阁下正式主持讲习班开幕仪式。",
"• 表示赞赏联合国人权事务高级专员办事处和英联邦秘书处共同举办这次区域讲习班。",
"• 确认联合国特立尼达和多巴哥代理驻地协调员办公室以及来自菲律宾和加拿大的国家人权机构代表作为专家参加讲习班。",
"• 强调必须使各国政府、议会和其他相关国家利益攸关方敏锐认识到设立国家人权机构的价值和好处。",
"• 认识到必须在现有人权框架的基础上，按照《巴黎原则》创建加勒比的国家人权机构模式。",
"• 强调国家人权机构包括监察机构必须使人权价值观成为日常生活和语言的一部分。",
"• 强调国家人权机构包括监察机构作为加强促进和保护人权的关键行为体的相关性。",
"• 认识到民间社会行为体对保护和促进人权的作用和领导。",
"• 认识到国家人权机构，包括监察员机构在使人人都了解和行使其人权方面的作用。",
"• 确认对设立和加强国家人权机构、其历史和法律背景、国家人权机构必须遵守的最低标准以及国家人权机构的核心功能、主要特点和运作方法的全面概述和讨论。",
"• 认识到必须采取必要的措施，以便按照《巴黎原则》设立国家人权机构，并争取促进和保护人权国家机构国际协调委员会给予资格认证。",
"• 确认遵守《巴黎原则》的国家人权机构可以通过与包括人权理事会，条约机构和特别程序在内的国际人权机制开展互动，在国际上发挥重大作用。",
"• 欢迎讲习班切实注重与设立符合《巴黎原则》的国家人权机构相关的专长和经验分享。",
"• 认识到，虽然加勒比国家在设立国家人权机构方面有独特的挑战，但联合国人权事务高级专员办事处、联合国开发计划署、联合国其他机构、国际协调委员会以及英联邦秘书处可以应会员国的请求，在设立国家人权机构方面提供援助和支持。",
"2011年3月23日，特立尼达和多巴哥西班牙港",
"[1] ^(*) A/66/150。",
"[2] 欧洲国家人权机构小组、美洲促进和保护人权国家机构网络、亚洲太平洋国家人权机构论坛和非洲国家人权机构网络。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (b) of the provisional agenda*",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"National institutions for the promotion and protection of human rights",
"Report by the Secretary-General",
"Summary",
"The present report, covering the period from September 2010 to September 2011, contains information on the activities undertaken by the Office of the United Nations High Commissioner for Human Rights to assist in establishing and strengthening national human rights institutions; measures taken by Governments and national human rights institutions in this regard; support provided to international and regional activities of national human rights institutions; technical assistance provided with regard to national human rights institutions, together with other United Nations system agencies, funds and programmes; and cooperation between national human rights institutions and international mechanisms to promote and protect human rights. Information regarding the work of national human rights institutions in respect of specific thematic issues is also included.",
"The present report complements the report of the Secretary-General to the Human Rights Council of 7 February 2011 (A/HRC/16/76), which covers activities for the period from January to December 2010.",
"I. Introduction",
"1. The present report is submitted pursuant to General Assembly resolution 64/161, in which the Assembly requested the Secretary-General to report to it at its sixty-sixth session on the implementation of the resolution. The report covers activities for the period from September 2010 to September 2011 and complements the report of the Secretary-General to the Human Rights Council of 7 February 2010 (A/HRC/16/76), which covers activities for the period from January to December 2010.",
"2. By its resolution 64/161, the General Assembly recognized the multiplicity of actors engaged in the establishment and strengthening of national human rights institutions. It encouraged cooperation among national human rights institutions and the whole spectrum of actors, among which the United Nations, in particular the Office of the United Nations High Commissioner for Human Rights (OHCHR), the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (International Coordinating Committee), the regional networks of national human rights institutions,[1] as well as the regional and international associations of Ombudsman. In the same resolution, the Assembly also welcomed the efforts made by the High Commissioner to develop partnerships in support to national institutions and it encouraged all United Nations human rights mechanisms as well as agencies, funds and programmes to work within their respective mandates with Member States and national institutions. Among this multiplicity of actors, Member States have a prominent role to play when it comes to the establishment and strengthening of national human rights institutions. In that regard, also in its resolution 64/161, the Assembly encouraged Member States to establish effective, independent and pluralistic national institutions.",
"3. The present report is aimed at providing a summary of the roles that the above-mentioned actors play in the establishment and strengthening of independent national human rights institutions. It also looks at the partnerships and other cooperation arrangements that have been developed so far at the national, regional and international levels.",
"II. The Office of the United Nations High Commissioner for Human Rights and national human rights institutions",
"4. Support and outreach to national human rights institutions is an integral part of the mandate of OHCHR. In her introductory statement at the twenty-fourth annual session of the International Coordinating Committee (Geneva, 17 May 2011), the High Commissioner reiterated that national human rights institutions are critical partners for OHCHR due to the central place they have in the national human rights protection system, particularly in addressing the most critical human rights issues at the national level.",
"5. The Office of the United Nations High Commissioner for Human Rights, through the National Institutions and Regional Mechanisms Section, continued to provide legal and technical support for the establishment and strengthening of national human rights institutions. It has continued to develop its long-standing relationship with the International Coordinating Committee by means of providing secretariat support to both the Committee itself and its Subcommittee on Accreditation.",
"6. The General Assembly has referred to the role of OHCHR in national human rights institutions as a work in progress. Consequently, it encouraged the High Commissioner to further extend activities in support of those institutions (see resolution 64/161, para. 13). In addition to the long-standing mandate of OHCHR to support national human rights institutions, in 2011 the Assembly requested OHCHR to develop and support activities related to two specific categories of institutions: Ombudsman institutions and mediators (see resolution 65/207, para. 5).",
"A. Advisory services provided by the Office relating to national human rights institutions",
"7. The activities of OHCHR to strengthen the role of national human rights institutions at the country, regional and international levels are carried out mainly through the National Institutions and Regional Mechanisms Section, which works in consultation with other parts of OHCHR, including field presences. The Office has continued to provide advice and assistance in the establishment and strengthening of institutions through its country and regional offices, human rights advisers and human rights components of United Nations peace missions, as well as through collaboration with other United Nations partners, including the United Nations Development Programme (UNDP), and regional coordinating bodies of national human rights institutions. OHCHR also works closely with intergovernmental organizations, academic institutions and civil society organizations.",
"8. The Office provides legal and technical assistance to national human rights institutions and other national stakeholders. Advice is provided on constitutional and legislative provisions regarding national human rights institutions, as well as on their nature, functions, powers and responsibilities. Comparative analysis, technical cooperation needs assessments, project formulation and evaluation missions are also undertaken to assist the institutions’ compliance with the Principles relating to the status of national institutions (Paris Principles) (see General Assembly resolution 48/134, annex).",
"9. The Office continued to host the fellowship programme for staff of A-status national human rights institutions. In the reporting period, staff from institutions in the following countries participated in the programme: Egypt, India, Qatar, Nicaragua, Peru, Uganda and the United Kingdom of Great Britain and Northern Ireland. The aim of the fellowship programme is to give staff members of national human rights institutions from all over the world a better understanding and appreciation of the international human rights system. Through this experience, the fellows gain knowledge and working level experience with the United Nations human rights system, including the treaty body system, the Human Rights Council, the universal periodic review and the special procedures. They are also familiarized with OHCHR work with and for national human rights institutions, and technical and substantive issues relating to national human rights institutions. Both OHCHR and the national institutions stand to gain from the fellowship programme, in terms of both substantive expertise and experience working within a national human rights institution.",
"1. The Americas and the Caribbean",
"10. The OHCHR Office for South America organized two workshops to further develop the capacities of the Instituto Nacional de Derechos Humanos of Chile. The workshops focused on human rights indicators (11-12 April 2011) and on reporting to human rights treaty bodies (20 May 2011).",
"11. On 18 and 19 April 2011, OHCHR, through its Regional Office for South America, organized trainings on human rights indicators for the national human rights institution of Peru (Defensoría del Pueblo). The training targeted more than 30 staff of the national human rights institution, and it focused particularly on economic, social and cultural rights. The workshop aimed at better integrating human rights indicators into the analysis and reports of the national human rights institution.",
"12. On 20 April 2011, the OHCHR Regional Office for South America co‑organized with the national human rights institution of Peru a training session for indigenous peoples. The training aimed at increasing knowledge and awareness of the United Nations Declaration on the Rights of Indigenous Peoples and the international human rights machinery, including how indigenous peoples and civil society can successfully use United Nations mechanisms. The training session targeted members of 30 Peruvian indigenous and civil society organizations.",
"13. In the context of the appointment process of the head of the national human rights institution of Ecuador (Defensor del Pueblo), OHCHR has provided support with a view to raising awareness on international standards. OHCHR support included a training session in June 2011 for members of the Council for Public Participation and Social Control, the body responsible for the selection of the Defensor.",
"14. In the context of her visit to Mexico (3-9 July 2011), the United Nations High Commissioner for Human Rights held a meeting with the President of the National Human Rights Commission aimed at discussing further cooperation in areas such as human rights indicators, human rights defenders, migrant worker’s rights and the recent constitutional reform. During her visit, the High Commissioner also met with the Mexican Federation of Human Rights Public Institutions that encompasses 32 subnational human rights commissions.",
"15. In September 2011, the OHCHR Regional Office for South America organized, jointly with the national human rights institution of Argentina (Defensoría del Pueblo de la Nación) a training session for members of civil society and indigenous organizations. It took place in two regions of the country and focused on presenting the rights of indigenous peoples and the international human rights mechanisms.",
"16. During the reporting period, the OHCHR Regional Office for South America held meetings with parliamentarians and Government officials regarding the establishment of a national human rights institution in Uruguay. OHCHR highlighted the importance of ensuring the institution’s independence and autonomy, adequate funding and the commissioners’ selection process.",
"17. During the reporting period, OHCHR continued to support the efforts aimed at establishing a Paris Principles-compliant national human rights institution in Chile. The OHCHR Regional Office for South America organized informational meetings with representatives of the Senate Chamber and distributed fact sheets on national human rights institutions and the Paris Principles. OHCHR addressed a letter to all members of the Parliament to draw their attention on the universal periodic review recommendation related to the establishment of a national human rights institution.",
"18. During the reporting period, the OHCHR Regional Office for South America liaised with the national human rights institution of the Bolivarian Republic of Venezuela in order to increase its engagement on the protection of the rights of persons deprived of liberty and on the submission to the universal periodic review. OHCHR delivered training to staff of the Defensoría on the universal periodic review (see A/HRC/16/76, para. 14).",
"19. The Office, UNDP, the Organisation International de la Francophonie and the Office de la Protection du Citoyen et de la Citoyenne developed a three-year joint global strategy for the strengthening of the Office de la Protection, which will be implemented from 2011 to 2013. As part of that project, a consultant was recruited to assist the Office de la Protection in discharging its mandate.",
"2. Africa",
"20. In March 2011, further to the adoption of the Act for the establishment of the Independent National Human Rights Commission in Burundi, on 5 January 2011, the United Nations Office in Burundi organized consultations in Rutana, Gitega and Bujumbura. Those consultations aimed at raising awareness of civil society organizations on the new law, as well as at ensuring the transparency of the selection and appointment process of the Commissioners. On 19 May 2011, the National Assembly appointed the seven commissioners, as well as the members of the Bureau.",
"21. OHCHR, in cooperation with the United Nations country team, organized consultations to raise awareness of the establishment of a new national human rights institution in Niger. A consultation took place with various ministries, from 6 to 8 July 2011. A workshop addressed to civil society organizations was held in Tahoua from 4 to 6 July.",
"22. In January 2011, the Independent National Commission on Human Rights of Liberia, which was formally established in October 2010, acquired its new office. The United Nations Mission in Liberia Human Rights and Protection Section engaged with the leadership of the Commission to advise on the 2011 workplan of the Commission, including a road map on national reconciliation that was submitted to the President, and the Palava Hut project. The Independent National Commission on Human Rights and the Human Rights and Protection Section agreed on the terms of reference for two national consultants to develop a strategic plan and internal rules of procedure. On 20 May 2011, the Human Rights and Protection Section convened a half-day workshop with the National Commission to discuss the mandates, the organizational charts and the action plans of both entities, and to discuss cooperation between the Commission and the Section.",
"23. During the reporting period, the OHCHR Regional Office for East Africa supported the Commission on Human Rights and Good Governance of the United Republic of Tanzania in making a stakeholder submission to the universal period review, including through trainings and a validation exercise. OHCHR is also engaged in the process of developing a national human rights action plan for the United Republic of Tanzania, a process led, inter alia, by the Commission on Human Rights and Good Governance.",
"24. OHCHR supported the attendance of the national human rights institutions from Namibia, South Africa, Zambia and Zimbabwe to the subregional seminar organized by OHCHR on the follow-up of the concluding observations of the Committee on the Elimination of Racial Discrimination, held in Pretoria, from 22 to 24 June 2011.",
"25. The Zimbabwe Human Rights Commission, which is not yet fully operational, appointed its members in 2010. OHCHR provided substantive comments to the draft bill establishing the Human Rights Commission in Zimbabwe. A consultant was recruited for a period of six months by OHCHR and UNDP in order to provide technical and capacity support to the commissioners. OHCHR and UNDP also undertook capacity-building and awareness-raising meetings with various national stakeholders to promote the establishment and operationalization of the Commission in accordance with Paris Principles. The Deputy Chair of the Commission was invited to the above-mentioned regional seminar held in Pretoria.",
"26. The Office of the United Nations High Commissioner for Human Rights provided comments to various drafts of a regulation on the appointment of civil society members of the future national human rights institution in Mozambique. OHCHR has been working closely with the United Nations country team in extending technical and advisory services to the Government and the civil society in seeking to establish the national human rights institution in the country.",
"27. In August 2011, OHCHR supported the recruitment of a consultant in South Sudan to provide technical expertise to the Human Rights Commission and build the capacities of the Commission’s staff.",
"28. The Office continued to work closely with the South African Human Rights Commission through the Anti-Discrimination Initiative, a year-long project funded by OHCHR that started in November 2010. OHCHR held periodic consultations with the officials of the Commission in monitoring the implementation of the project, which is aimed at building the capacity of the Commission in addressing human rights concerns of non-nationals and in countering xenophobia and discrimination.",
"29. The OHCHR Regional Office for Southern Africa worked closely with United Nations country teams in the region to promote the establishment and strengthening of national human rights institutions in the Comoros and Seychelles.",
"30. During the reporting period, OHCHR supported the Ethiopian Human Rights Commission to prepare a national human rights action plan. The OHCHR Regional Office for East Africa provided advice to the Commission in order to promote interaction with the United Nations treaty bodies, namely, upcoming reviews of Ethiopia by the Human Rights Committee and Committee on the Elimination of Discrimination against Women. In August 2011, OHCHR, UNDP and the Network of African National Human Rights Institutions carried out a gap analysis of the Ethiopian Human Rights Commission to assess its capacities. OHCHR also provided advice on the process of accreditation before the International Coordinating Committee, and provided training to staff and commissioners on the Paris Principles.",
"31. During the reporting period, the OHCHR Regional Office for East Africa supported the National Human Rights Commission of Djibouti in ensuring its attendance of the review of the country by the Committee on the Elimination of Discrimination against Women within the context of a three-year joint programme to implement the universal periodic review recommendations to Djibouti.",
"32. In the last trimester of 2010, OHCHR carried out capacity-building activities on the establishment of national human rights institutions in the Central African Republic (see A/HRC/16/76, para. 26).",
"3. Asia and the Pacific",
"33. In the last trimester of 2010, OHCHR carried out, in cooperation with UNDP and Asia-Pacific Forum of National Human Rights Institutions, capacity assessments of the national human rights institutions of Jordan and Thailand (ibid., para. 31).",
"4. Europe and Central Asia",
"34. Upon invitation from the Norwegian Centre for Human Rights, OHCHR participated in a discussion entitled “The National Institution for Human Rights in Norway: Quo vadis?”, held in Oslo on 11 January 2011. The meeting was part of the national consultation process on the restructuring of the Centre and was attended by a number of representatives of civil society and staff members of the Ministry of Foreign Affairs of Norway. OHCHR delivered technical assistance and advice with regard to the restructuring of the Norwegian national human rights institution and its reaccreditation before the International Coordinating Committee.",
"35. During her visit to the Russian Federation, the United Nations High Commissioner for Human Rights addressed the Annual Meeting of the Coordination Council of Subnational Ombudsmen of the Russian Federation, held in St. Petersburg on 18 February 2011. She stated that OHCHR regarded the establishment and support of national human rights institutions and Ombudsman offices in compliance with the relevant international standards as a high priority. In particular, OHCHR could share expertise regarding the role of Ombudsman institutions in the rule of law, conditions of detention and security sector reform. The High Commissioner encouraged the participants to enhance their engagement with the United Nations treaty bodies and the special procedures mechanisms of the Human Rights Council. The High Commissioner appealed to the Federal Ombudsman to create space for the subnational institutions to interact with the Human Rights Council. She also called on them to get access to, and benefit from, the coordination and exchanges which took place at the international level through the International Coordinating Committee.",
"36. In March 2011, OHCHR provided comments to the rules of procedure of the National Assembly of Serbia. The comments focused on provisions regulating the relationship between the Ombudsman and the Parliament, specifically on mechanisms of oversight and consideration of reports submitted by the national human rights institution to the National Assembly. The comments of OHCHR were considered by the National Assembly while amending the above-mentioned rules of procedure. OHCHR and the United Nations country team continue to work closely with the National Assembly and the Serbian Ombudsman in order to strengthen the relationship between these two national bodies.",
"37. In June 2011, the United Nations joint technical assistance programme to strengthen the capacity of the national human rights institution in Tajikistan was officially launched. In addition to the Ombudsman institution, the following agencies are part of the programme: OHCHR, UNDP, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), the Office of the United Nations High Commissioner for Refugees, the United Nations Children’s Fund, the International Organization for Migration, the United Nations Population Fund, the International Labour Organization, and the Joint United Nations Programme on HIV/AIDS. The programme aims at strengthening the capacity of the national human rights institution of Tajikistan to handle complaints, to carry out education and public outreach activities and to improve its partnership with key State actors and civil society organizations with a view to promoting changes in human rights policies and legislation.",
"38. In July 2011, upon request from the Ministry of Justice and the Seimas Ombudsman of Lithuania, OHCHR provided comments on the Law of the Seimas Ombudsman. Likewise, on 12 July 2011, OHCHR participated in Vilnius in a consultative meeting organized by the President of Lithuania and the Ministry of Justice on the establishment of a national human rights institution.",
"39. OHCHR worked with Government officials of the Republic of Moldova on proposed amendments to the existing legislation of the Republic of Moldova’s B‑status national human rights institution, focusing, among other things, on the appointment procedures and the selection of the Ombudsman. The OHCHR Human Rights Adviser in the Republic of Moldova and the OHCHR Regional Representative for Europe engaged a range of officials, including officials in the Ministry of Justice and key parliamentarians. In addition, the United Nations High Commissioner for Human Rights sent a communication to the Government urging swift action to improve the national human rights institution, with a view to an application for reaccreditation before the International Coordinating Committee.",
"40. The OHCHR Human Rights Adviser in the Republic of Moldova provided support to the national human rights institution in a variety of ways, including a training on the universal periodic review and on monitoring institutions for the mentally disabled, strengthening the institution’s library and the development of strategic planning for the national human rights institution. The OHCHR Human Rights Adviser participated in the board of a UNDP-European Commission project focused on strengthening the national human rights institution.",
"41. The Office of the United Nations High Commissioner for Human Rights assisted in the strengthening of the national human rights infrastructures in Croatia, the Netherlands, Norway, Hungary, Lithuania and Slovakia. OHCHR provided advice, including comments on legislation, and drew the attention of Governments, national human rights institutions and other stakeholders involved in these processes to the importance of ensuring genuine dialogue through pluralistic and participatory consultation.",
"42. The OHCHR Human Rights Adviser in Serbia worked closely with the Office of the Serbian Ombudsman with a view to strengthen the institution’s work in human rights protection and promotion. OHCHR support included the development of a comprehensive report on the human rights of Roma people and on effectiveness of the Roma inclusion measures applied in the country. The report, along with the recommendations to the Government of Serbia, is expected to be submitted to the National Parliament in early 2012.",
"43. The OHCHR Human Rights Adviser in the former Yugoslav Republic of Macedonia provided support to the Ombudsman’s Office in applying for accreditation to the International Coordinating Committee.",
"44. During the last trimester of 2010, OHCHR supported the national human rights institutions of Serbia and the Netherlands in strengthening their capacities (ibid., paras. 39 and 40).",
"5. Middle East and North Africa",
"45. The Office, UNDP and the Asia-Pacific Forum of National Human Rights Institutions provided support to the capacity assessments of the national human rights institution of Palestine (6-8 February 2011 and 3-15 April 2011) and the national human rights institution of Afghanistan (13-26 May 2011). The capacity assessment included interviews with the staff of the institutions, as well with other stakeholders.",
"46. During the reporting period, OHCHR provided legal advice on draft legislation on the establishment of national human rights institutions in Tunisia and Saudi Arabia.",
"47. The Office organized a workshop on the Paris Principles in Oman (see A/HRC/16/76, para. 30).",
"B. Support to regional initiatives related to national human rights institutions",
"1. The Americas and the Caribbean",
"48. The Office, in cooperation with the Commonwealth Secretariat, organized a regional workshop on the establishment of national human rights institutions in accordance with the Paris Principles for the Caribbean region. The workshop took place in Port of Spain from 21 to 23 March 2011. Building on recent developments relating to human rights in the Caribbean, including through the Human Rights Council universal periodic review process, the main objective of the workshop was to develop and strengthen the national human rights protection system in the Caribbean States with the short- and medium-term goal of developing the establishment of national human rights institutions. Parliamentarians, Ombudsman institutions and Government officials, including attorneys general, from 12 English-speaking Caribbean States, attended the workshop. Representatives from the United Nations country team in Barbados and from the Organization of Eastern Caribbean States also participated in this activity. The Port of Spain Declaration was adopted (see annex).",
"49. At the margins of the twenty-fourth annual meeting of the International Coordinating Committee, the Network of National Institutions for the Promotion and Protection of Human Rights in the Americas held a meeting in order to discuss its work plan for 2011-2012. Participants discussed the creation of a permanent capacity-building programme for national human rights institution staff in the region, and setting up an advisory council to the Americas Network. Participants agreed to develop a website for the Americas Network and to hold their upcoming 2011 annual regional meeting in Guatemala.",
"2. Africa",
"50. The United Nations Development Programme, OHCHR and the Network of African National Human Rights Institutions held a meeting in Geneva on 21 May 2011, in order to discuss cooperation and support, including, inter alia, defining the methodology to carry out gaps analyses and the provision of assistance to develop and validate the Network’s strategic plan.",
"51. The Office participated as a facilitator in a training programme for national human rights institutions in Africa (Accra, 30 May-8 June 2011). The workshop was organized by the Raoul Wallenberg Institute, the University of Lund and the Network of African National Human Rights Institutions. The main purpose of the training was to enhance the capacity and knowledge of national human rights institution staff on the Paris Principles. Participants, approximately 26 staff of national human rights institutions, included investigators, trainers, legal officers, administrators and managers from Ethiopia, Ghana, Kenya, Malawi, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Uganda, the United Republic of Tanzania and Zambia.",
"3. Asia and the Pacific",
"52. From 28 to 30 March 2011, a training workshop on capacity assessments of national human rights institutions in the Asia-Pacific region was held in Bangkok by the Asia-Pacific Forum of National Human Rights Institutions, UNDP and OHCHR. The OHCHR workshop supported the participation of one representative from the Network of African National Human Rights Institutions secretariat based in Kenya, in order to promote an effective exchange of experiences and good practices regarding national human rights institution capacity-assessment between the two national human rights institution networks in the Asia-Pacific region and Africa.",
"4. Europe and Central Asia",
"53. The Office provided support to the European Group of National Human Rights Institutions in its efforts to establish its permanent secretariat. OHCHR supported the organization of a meeting, held in Geneva on 21 February 2011, aimed at identifying concrete steps towards the establishment of the permanent secretariat. The meeting gathered together representatives from 13 European national human rights institutions, and the permanent secretariats of the Asia-Pacific Forum of National Human Rights Institutions and of the Network of African National Human Rights Institutions. The meeting was also attended by delegates from Permanent Missions in Geneva and from regional mechanisms such as the Fundamental Rights Agency, the Organization for Security and Cooperation in Europe (OSCE), Office for Democratic Institutions and Human Rights and the Council of Europe. One of the main outcomes of the meeting was the unanimous support expressed by the participants for this initiative.",
"54. The Office participated in the Workshop on the Role of National Human Rights Institutions in the Promotion and Protection of Women’s Rights and Gender Equality, held in Prague on 28 and 29 March 2011. The workshop was organized by OSCE and the Office for Democratic Institutions and Human Rights for national human rights institutions from Eastern European countries.",
"55. The Office attended the fourth annual meeting of the European Union Fundamental Rights Agency with national human rights institutions, held on 5 April 2011 in Vienna. OHCHR focused in its statement on the diverse national human rights institution landscape in Europe and the trend to merge human rights and equality institutions or to emphasize cooperation among various types of equality, human rights or Ombudsman institutions. It also underlined the importance of the establishment of a permanent secretariat of the European Group of National Human Rights Institutions.",
"56. The Office attended the OSCE Supplementary Human Dimension Meeting on 14 and 15 April in Vienna. The Office shared its experience in assisting national human rights institutions to strengthen their role in the Human Rights Council, as a result of the recent review of its working methods, including speaking rights, distribution of written statements and participation in the universal periodic review.",
"57. On 17 May 2011, at the margins of the twenty-fourth annual meeting of the International Coordinating Committee, the members of the European Group of National Human Rights Institutions held a meeting in order to discuss the following topics: establishment of a permanent secretariat within the European Group; engagement with the European Fundamental Rights Agency, with the Interlaken Process and with OSCE; the European Group Working Group on the Convention on the Rights of Persons with Disabilities; and the National Human Rights Institutions and Equality Bodies (Equinet). During the meeting, the European Group elected the Scottish Human Rights Commission as the Chair of the European Group. The national human rights institutions of France, Luxembourg and Denmark were elected as members of the European Coordinating Committee. The national human rights institution of Germany was elected as the European member of the Subcommittee on Accreditation of the International Coordinating Committee.",
"58. OHCHR attended a conference on national human rights institutions in the OSCE area, held on 13 and 14 July 2011, in Vilnius. The conference was co‑organized by the OSCE/Office for Democratic Institutions and Human Rights and the OSCE Chairmanship-in-Office (OSCE Chair). The conference aimed at facilitating the exchange of experiences by Ombudsman institutions, human rights commissions, institutes and other mechanisms working with the executive, the judiciary, parliaments and civil society.",
"59. OHCHR attended an informal inter-institutional meeting with the Council of Europe and the Office for Democratic Institutions and Human Rights on 4 and 5 October 2010 in Warsaw. The Office shared experiences in assisting national human rights institutions to build their legislative frameworks and capacity.",
"60. On 20 and 21 October 2010, OHCHR participated in a Regional Round Table on National Preventive Mechanism under the Optional Protocol to the Convention against Torture in Zagreb, which was organized by UNDP and the Ombudsman of Croatia. The Round Table focused on the prevention of torture and the role of national human rights institutions.",
"5. Middle East and North Africa",
"61. On 27 and 28 April 2011, in Nouakchott, the United Nations High Commissioner for Human Rights participated in the seventh Annual Meeting of National Human Rights Institutions in the Arab States on the theme of the role of national human rights institutions in following up on the recommendations of the United Nations treaty bodies. The meeting, hosted by the National Human Rights Commission of Mauritania, gathered together representatives from the national human rights institutions of Algeria, Egypt, Jordan, Mauritania, Qatar and Tunisia. Participants adopted the Declaration of Nouakchott.",
"C. Office of the United Nations High Commissioner for Human Rights support to international initiatives related to national human rights institutions",
"1. International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights",
"62. The Office provided support to the International Coordinating Committee in developing and administering its website (http://nhri.ohchr.org), which became operational in 2011 and replaced www.nhri.net.",
"63. On 7 August 2011, OHCHR received a letter from the current and incoming Chairs of the International Coordinating Committee, calling upon the United Nations to hold an event in 2013 to mark the twentieth anniversary of the adoption of the Paris Principles. The International Coordinating Committee expressed its belief that preparations for the event should begin in 2012, and that this issue should be placed on the agenda of the sixty-sixth session of the General Assembly. Following the proposal contained in the letter, it is recommended that the General Assembly hold a special plenary meeting at its sixty-eighth regular session in 2013 to mark the twentieth anniversary of the adoption of the Paris Principles and that the General Assembly include a provision to that effect in its regular biennial resolution on national institutions for the promotion and protection of human rights.",
"(a) Twenty-fourth annual meeting",
"64. The twenty-fourth annual meeting of the International Coordinating Committee was held in Geneva from 17 to 19 May 2011. The agenda included best practices of national human rights institutions in following up on the recommendations of the universal periodic review; engagement of national human rights institutions with treaty bodies; national human rights institutions and the rights of indigenous peoples; the role of national human rights institutions in the protection of women’s rights; follow-up to the Durban Review Conference; human rights education; and business and human rights. The meeting was attended by members of national human rights institutions from more than 80 countries, as well as government officials, civil society organizations, scholars and intergovernmental organizations.",
"(b) Bureau meeting",
"65. The meeting of the Bureau of the International Coordinating Committee was held on 16 May 2011 in Geneva. The members of the Bureau discussed the statements of the International Coordinating Committee to the seventeenth session of the Human Rights Council on the adoption of the draft Optional Protocol to the Convention on the Rights of the Child and to the Conference of States Parties to the Convention on the Rights of Persons with Disabilities. The Bureau also endorsed the proposal that the next biennial conference of the International Coordinating Committee should focus on gender equality and women and girls.",
"66. The Bureau members decided to establish a Working Group, comprised of representatives from the four regions, to work on the participation of national human rights institutions in United Nations bodies. In addition, the Bureau members agreed to support the adoption of a General Assembly resolution with an emphasis on the Paris Principles and the participation of national human rights institutions in United Nations bodies, as well as to support the adoption of a resolution on national human rights institutions at the seventeenth session of the Human Rights Council.",
"2. Subcommittee on Accreditation",
"67. The Office provided secretariat support to the session of the Subcommittee on Accreditation, which took place from 23 to 27 May 2011 in Geneva. The Subcommittee reviewed the following 20 national human rights institutions: new accreditation for Bangladesh, Hungary, Sierra Leone and Sweden; reaccreditation for Australia, Austria, Canada, El Salvador, India, Mauritania, Namibia, New Zealand, Nicaragua, Norway, Romania, Senegal and United Kingdom (Northern Ireland); deferral for Azerbaijan, Nigeria and Slovakia.",
"III. Cooperation between United Nations human rights mechanisms and national human rights institutions",
"68. The cooperation of national human rights institutions with the international and regional human rights mechanisms is a key requirement of the Paris Principles. OHCHR continued to assist national human rights institutions to interact with the treaty bodies and the Human Rights Council, including the universal periodic review and the special procedures. The work of OHCHR in this regard is carried out in a coordinated fashion with the International Coordinating Committee Chair and the Geneva representative.",
"69. During the reporting period, OHCHR continued to support and facilitate the engagement of the International Coordinating Committee in landmark processes aimed at strengthening the international human rights mechanisms, such as the Human Rights Council review and the treaty body reform.",
"A. Human Rights Council",
"70. The active engagement of the International Coordinating Committee in the Human Rights Council review resulted in greater participatory opportunities for A‑status national human rights institutions in the Council. On 25 March 2011, the Council adopted the outcome of the review of the work and functioning of the Human Rights Council (resolution 16/21, annex). The outcome includes provisions regarding the participation and interaction of A-status national human rights institutions with the universal periodic review and the special procedures (see respective sections below).",
"71. In 2011, OHCHR, in cooperation with the Geneva representative of the International Coordinating Committee, continued to support the participation of national human rights institutions in the Human Rights Council. During the sixteenth session of the Human Rights Council (28 February-25 March 2011), eight written contributions were submitted: six from A-status national human rights institutions (Bosnia and Herzegovina, Georgia, Malaysia, Morocco, Nicaragua and Ukraine) and two from regional networks of national human rights institutions (Asia-Pacific Forum and Network of Africa National Human Rights Institutions). During the seventeenth session of the Council (30 May-17 June 2011), three written contributions were submitted: one from the International Coordinating Committee; one from the national human rights institution of the United Kingdom and one from the national human rights institution of the Republic of Korea.",
"72. On 9 March 2011, at the margins of the sixteenth session of the Council, OHCHR organized, in cooperation with the National Human Rights Council of Morocco, a side event on the implementation of the recommendations of the Truth and Reconciliation Commission (Geneva, 9 March 2011).",
"73. On 16 June 2011, the Human Rights Council adopted by consensus resolution 17/9 on national institutions for the promotion and protection of human rights.",
"1. Universal periodic review",
"74. The Office continued to provide support to national human rights institutions to interact with the universal periodic review mechanism. In 2011, during the tenth (February), eleventh (May) and twelfth (October) sessions of the universal periodic review, the following 19 national human rights institutions submitted contributions to the universal periodic review stakeholders’ reports: tenth session: Australia, Austria (A status), Georgia (A status), Namibia (A status), Nepal (A status), Niger and Paraguay (A status); eleventh session: Denmark (A status), Greece (A status), Sierra Leone, Somalia/Somaliland; and twelfth session: Haiti, Ireland (A status), the Republic of Moldova, Swaziland, Thailand (A status), Togo (A status), Uganda (A status) and United Republic of Tanzania (A status).",
"75. In March 2011, the Human Rights Council stipulated the following participatory rights to A-status national human rights institutions: (a) a separate section with national human rights institution contributions from the State under review shall be included in the stakeholders’ report; and (b) the national human rights institution of the State under review shall be entitled to intervene immediately after the State under review during the adoption of the outcome of the review by the Council plenary (see resolution 16/21, annex, paras. 9 and 13).",
"2. Special procedures",
"76. In March 2011, the Human Rights Council granted to A-status national human rights institutions the right to nominate candidates as special procedures mandate holders and to intervene immediately after the country concerned during the interactive dialogue, following the presentation of a country mission report by a special procedure mandate holder (ibid., annex, paras. 22 (a) and 28).",
"B. Treaty bodies",
"77. The Office of the United Nations High Commissioner for Human Rights has continued to support the participation of national human rights institutions in treaty body sessions during the reporting period, by providing information and attending sessions. On 11 July 2011, the Chair of the International Coordinating Committee and the national human rights institutions of Denmark, Ethiopia, France and Germany participated in a session organized by the Human Rights Committee on improving cooperation with national human rights institutions.",
"78. The Office has developed an information note, to provide practical information to national human rights institutions wishing to access the treaty body system, including various opportunities for national human rights institutions’ interaction with the treaty bodies and the working methods and rules of procedure of treaty bodies that are relevant to the participation of national human rights institutions.",
"IV. Cooperation between the Office of the United Nations High Commissioner for Human Rights, United Nations system agencies, funds and programmes and international and regional organizations on national human rights institutions",
"79. The cooperation of national human rights institutions with the United Nations and United Nations system agencies, funds and programmes is a key requirement of the Paris Principles. In 2008, the General Assembly encouraged all United Nations human rights mechanisms as well as agencies, funds and programmes, to work within their respective mandates with Member States and national institutions in the promotion and protection of human rights. In this regard, the General Assembly welcomed the efforts made by OHCHR to develop partnerships in support of national institutions.",
"80. During the reporting period, OHCHR has focused in developing United Nations assistance, including the formalization, by an exchange of letter in March 2011, of a tripartite collaboration between the International Coordinating Committee, OHCHR and UNDP. The areas of cooperation of this tripartite collaboration include, inter alia, strengthening the role of national human rights institutions and regional networks, as well as facilitating and supporting engagement of United Nations agencies, funds and programmes with national human rights institutions.",
"81. The United Nations Development Programme, OHCHR and the International Coordinating Committee held a meeting in New York in February 2011, at which they decided to enter into a tripartite partnership through exchange of letters. Key elements of the partnership include: establishing an annual UNDP-OHCHR-International Coordinating Committee strategic review of the establishment, development and effectiveness of national human rights institutions; engagement with the United Nations human rights mechanisms; joint national human rights institution capacity-assessment and gap analysis projects; engagement on thematic issues; information and knowledge management. The first annual meeting of the strategic review is to take place at the end of August 2011.",
"A. Arab-European Human Rights Dialogue on Torture and Rule of Law",
"82. The Office participated in the sixth Arab-European Human Rights Dialogue on Torture and Rule of Law, held in Berlin from 11 to 13 May 2011.",
"B. Association of Mediterranean Ombudsmen",
"83. The Office attended the fifth meeting of the Association of Mediterranean Ombudsmen on the theme “The role of the Ombudsman in reinforcing good governance and democracy” in St. Julian, Malta, on 30 and 31 May 2011, as an observer. In its statement, OHCHR familiarized the participants with General Assembly resolution 65/207 on the role of the Ombudsman, mediator and other national human rights institutions in the promotion and protection of human rights, in which the Assembly welcomed the active participation of the Office in all international and regional meetings of the Ombudsman, mediator and other national human rights institutions and requested, in cooperation with OHCHR, their accreditation by the International Coordinating Committee, in order to enable them to interact effectively with the relevant United Nations human rights bodies.",
"C. Ibero American Federation of the Ombudsman",
"84. The Office participated in the annual meeting of the Ibero American Federation of the Ombudsman. National human rights institutions and Ombudsman institutions from Latin America, Portugal and Spain attended the meeting, held from 1 to 3 June 2011 in Alcala de Henares, Spain. Participants discussed, among other things, the current and future challenges for the Defensorias del Pueblo in promoting and protecting human rights, the Millennium Development Goals and national human rights institutions; the promotion of human rights and reports of national institutions; the role of national human rights institutions in the implementation of economic, social and cultural rights; national human rights institutions and international human rights mechanisms; and national human rights institutions and the protection of vulnerable groups.",
"V. Cooperation with non-governmental organizations and academic institutions",
"85. The Office worked in promoting the participation of non-governmental organizations (NGOs) in the activities of the International Coordinating Committee and its Subcommittee on Accreditation. On 7 October 2010, a Forum of Non‑Governmental Organizations preceded the tenth International Conference of National Human Rights Institutions (Edinburgh, United Kingdom) (see A/HRC/16/76, para. 70). In May 2011, the annual meeting of the International Coordinating Committee (Geneva) was attended by 50 members of civil society organizations from around the world. The session of the Subcommittee on Accreditation held after the annual meeting, benefited from the inputs received by NGOs from Austria, India and Mauritania.",
"VI. Thematic issues",
"A. Indigenous peoples",
"86. The Office of the United Nations High Commissioner for Human Rights and the Asia-Pacific Forum of National Human Rights Institutions are developing a joint publication entitled “The United Nations Declaration on the Rights of Indigenous Peoples: an operational guide for national human rights institutions”, aimed at supporting and strengthening the work of national human rights institutions in the protection and promotion of indigenous peoples’ rights.",
"87. On 11 July 2011, in conjunction with the fourth session of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, a national human rights institutions consultation took place in Geneva. The main objective of the consultation was to exchange good practices in advancing the rights of indigenous peoples which could be reflected in the guide.",
"B. History, principles, roles and responsibilities of national human rights institutions",
"88. During the reporting period, the Office launched an updated version of the OHCHR Professional Training Series No. 4 entitled National Human Rights Institutions: History, Principles, Roles and Responsibilities.[2] Based on the 1995 version, the publication provides an overview of the current key topics related to the establishment and strengthening of independent national human rights institutions, including the roles those institutions play within the national systems of promotion and protection of human rights as well as their interaction with the international human rights system. The publication also encompasses the latest international developments in this area, such as the most recent General Assembly resolutions and materials from the International Coordinating Committee.",
"C. National human rights institutions in federal States",
"89. At the margins of the twenty-fourth annual meeting of the International Coordinating Committee, OHCHR organized a side event on national human rights institutions in federal States. Participants discussed the particularities of those States (including decentralization and local self-governance), as well as the strengths and challenges of national human rights institutions in countries with federal systems of governance.",
"VII. Conclusions",
"90. Compliance with the Paris Principles is a key requirement for ensuring the effectiveness, independence, autonomy and pluralism of national human rights institutions. National institutions, as well as Governments, parliaments and other relevant stakeholders, shall take all the necessary measures to ensure the continuing operation of national human rights institutions, in accordance with the Paris Principles. Ombudsman institutions and mediators are also encouraged to act in accordance with these principles, and to seek accreditation before the International Coordinating Committee.",
"91. The establishment of a Paris Principles-compliant national human rights institution in countries where it does not exist is welcomed. Observance of the Paris Principles in the pre-establishment phase is key to ensuring the independence and legitimacy of the new institution. It is recommended to carry out broad and participatory consultation processes with civil society organizations while drafting the enabling legislation for national human rights institutions.",
"92. It is strongly recommended to pay particular attention to the Paris Principles while appointing the members of national human rights institutions. Members States and national human rights institutions are encouraged to promote a transparent appointment process and ensure the pluralistic representation of civil society organizations involved in the promotion and protection of human rights.",
"93. As key parts of the national human rights system, national human rights institutions are encouraged to work cooperatively with other components of this system, namely, the executive, the judiciary, the parliament, civil society, the media and academia.",
"94. United Nations country teams’ inter-agency joint programmes to support national human rights institutions and the engagement of national, regional and international partners in these programmes are encouraged. The establishment of the annual UNDP-OHCHR-International Coordinating Committee strategic review of activities related to national human rights institutions is welcomed.",
"95. It is recommended that subnational human rights institutions work together with the federal national human rights institution to ensure that all human rights are equally protected across the country. Interaction by subnational human rights institutions with the international human rights system, including the universal periodic review, the treaty bodies and the special procedures, is strongly encouraged.",
"96. By its resolution 16/21 on the review of the work and functioning of the Human Rights Council, the Council strengthens the role of A-status national human rights institutions in the universal periodic review and the special procedures.",
"97. National human rights institutions are encouraged to play an active role during the second cycle of the universal periodic review of the Human Rights Council (2012-2016). A-status national human rights institutions are encouraged to make use of their participatory rights as spelled out in Human Rights Council resolution 16/21.",
"98. The adoption of the Port of Spain Declaration on the establishment of national human rights institutions in accordance with the Paris Principles in the Caribbean is welcome. Similar initiatives in other subregions are encouraged.",
"99. The decision of the European Group of National Human Rights Institutions to establish a permanent secretariat is welcome. This secretariat will consolidate the regional architecture and it is expected to have a positive impact in the establishment and strengthening of national human rights institutions in accordance with the Paris Principles across Europe.",
"Annex",
"Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean",
"Port of Spain, Trinidad and Tobago, 21-23 March 2011",
"Port of Spain Declaration",
"In accordance with the Charter of the United Nations and the Universal Declaration of Human Rights, the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat, with the support of the United Nations country team in Trinidad and Tobago, organized a three-day Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean, held in Port of Spain, Trinidad and Tobago from 21 to 23 March 2011.",
"The Workshop participants from the English Caribbean States of Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, Dominica, Grenada, Jamaica, Saint Kitts and Nevis, Saint Lucia, Suriname, Trinidad and Tobago, and representatives of the United Nations country teams from Barbados and Trinidad and Tobago:",
"• Express appreciation to the Government of Trinidad and Tobago for hosting this Regional Workshop on the Establishment of National Human Rights Institutions in compliance with the Paris Principles in the Caribbean and, in particular, to the Attorney General, the Hon. Anand Ramlogan, for officially opening the Workshop.",
"• Express appreciation to the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat for co-organizing this Regional Workshop.",
"• Acknowledge the participation of the Acting United Nations Resident Coordinator’s Office in Trinidad and Tobago and, as resource persons, the representatives of the National Human Rights Institutions from the Philippines and Canada.",
"• Emphasize the importance of sensitizing Governments, Parliaments, and other relevant national stakeholders on the values and benefits of establishing national human rights institutions.",
"• Recognize the importance of building on existing human rights frameworks to create Caribbean models of national human rights institutions in compliance with the Paris Principles.",
"• Emphasize the importance of national human rights institutions, including Ombudsman institutions, to making human rights values part of everyday life and language.",
"• Emphasize the relevance of national human rights institutions, including Ombudsman institutions, as key actors in strengthening human rights promotion and protection.",
"• Recognize the role and leadership that civil society actors bring to human rights protection and promotion.",
"• Recognize the role of national human rights institutions, including Ombudsman institutions, in empowering all people to understand and exercise their human rights.",
"• Acknowledge the comprehensive overview given and discussions held on the establishment and strengthening of national human rights institutions, their historical and legal background, the minimum standards national human rights institutions have to comply with, as well as the core functions, main features and methods of operation of national human rights institutions.",
"• Recognize the importance of taking necessary measures in order to establish national human rights institutions in compliance with the Paris Principles and to seek accreditation to the International Coordinating Committee of national institutions for the promotion and protection of human rights.",
"• Acknowledge the significant role that national human rights institutions in compliance with the Paris Principles can play at the international level by interacting with the international human rights mechanisms, including the Human Rights Council, treaty bodies and special procedures.",
"• Welcome the practical focus of the Workshop in facilitating the sharing of expertise and experiences in connection with the establishment of Paris Principles-compliant national human rights institutions.",
"• Recognize that, while Caribbean countries have unique challenges concerning the establishment of national human rights institutions, assistance and support from the Office of the United Nations High Commissioner for Human Rights, the United Nations Development Programme, other United Nations agencies, the International Coordinating Committee, as well as the Commonwealth Secretariat, in establishing national human rights institutions may be made available at the request of Members States.",
"Port of Spain, Trinidad and Tobago, 23 March 2011",
"[1] The European Group of National Human Rights Institutions, the Network of National Institutions for the Promotion and Protection of Human Rights in the Americas, the Asia-Pacific Forum of National Human Rights Institutions and the Network of African National Human Rights Institutions.",
"[2] United Nations publication, Sales No. E.09.XIV.4."
] | A_66_274 | [
"Sixty-sixth session",
"Item 69 (b) of the provisional agenda",
"Promotion and protection of human rights: human rights questions, including alternative approaches for improving the effective enjoyment of human rights and fundamental freedoms",
"National institutions for the promotion and protection of human rights",
"Report of the Secretary-General",
"The present report covers information on the activities of the Office of the United Nations High Commissioner for Human Rights to establish and strengthen national human rights institutions between September 2010 and September 2011; measures taken by the Government and national human rights institutions in this regard; support for international and regional activities of national human rights institutions; technical assistance related to national human rights institutions in conjunction with other United Nations agencies, funds and programmes; and cooperation between national human rights institutions and international mechanisms for the promotion and protection of human rights. The present report also contains information on the work of national human rights institutions in specific thematic areas. The present report supplements the report of the Secretary-General to the Human Rights Council, submitted on 7 February 2011, covering the period from January to December 2010 (A/HRC/16/76).",
"Introduction",
"The present report is submitted pursuant to General Assembly resolution 64/161, in which the Assembly requested the Secretary-General to report to the Assembly at its sixty-sixth session on the implementation of the resolution. The present report covers activities for the period from September 2010 to September 2011 and supplements the report of the Secretary-General to the Human Rights Council on 7 February 2011 covering the period from January to December 2010 (A/HRC/16/76).",
"In its resolution 64/161, the General Assembly recognized the involvement of a wide range of actors in the establishment and strengthening of national human rights institutions. The General Assembly encouraged national human rights institutions to cooperate with various actors, including the United Nations, including the Office of the United Nations High Commissioner for Human Rights (OHCHR), the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (ICC), the Network of Regional National Human Rights Institutions [2] and the Association of Regional and International Ombudsmans. In the same resolution, the General Assembly also welcomed the efforts of the High Commissioner to develop partnerships to support national institutions and encouraged all United Nations human rights mechanisms and agencies, funds and programmes to cooperate with Member States and States within their respective mandates. Among these many actors, Member States should play a prominent role in the establishment and strengthening of national human rights institutions. In that regard, the General Assembly, in its resolution 64/161, also encouraged Member States to establish effective, independent and pluralistic national institutions.",
"The present report aims to provide an overview of the role played by the parties in the establishment and strengthening of independent national human rights institutions. The present report also provides information on partnerships and other cooperation arrangements established to date at the national, regional and international levels.",
"Office of the United Nations High Commissioner for Human Rights and national human rights institutions",
"Support and outreach to national human rights institutions are part of the mandate of OHCHR. In her introductory statement at the twenty-fourth annual meeting of the International Coordinating Committee (Geneva, 17 May 2011), the High Commissioner reiterated that national human rights institutions were key partners of OHCHR, since they were at the centre of national human rights protection systems, particularly in addressing the most urgent human rights issues at the country level.",
"OHCHR continued to provide legal and technical support for the establishment and strengthening of national human rights institutions through the National Institutions and Regional Mechanisms Section. OHCHR continued to develop its long-term relationship with the Committee through the provision of secretariat services to the International Coordinating Committee itself and the Subcommittee on Accreditation.",
"The General Assembly had noted that the role of OHCHR in national human rights institutions remained a ongoing process. The General Assembly therefore encouraged the High Commissioner to further expand its activities in support of those bodies (resolution 64/161, para. In 2011, in addition to the long-term mandate of OHCHR in support of national human rights institutions, the General Assembly requested the Office to develop and support activities related to the two specific institutional categories of ombudsman and mediators (see resolution 3907, para.",
"Advisory services provided by OHCHR on national human rights institutions",
"OHCHR plays a role in strengthening national human rights institutions at the national, regional and international levels through national institutions and regional mechanisms sections. The Section works in collaboration with other OHCHR departments, including field personnel. OHCHR continued to provide advice and assistance in the establishment and strengthening of institutions, including through its national and regional offices, human rights counselling advisers and the human rights components of United Nations peace missions, as well as collaboration with other United Nations partners, such as the United Nations Development Programme (UNDP) and the regional coordinating bodies of national human rights institutions. OHCHR also works closely with intergovernmental organizations, academic institutions and civil society organizations.",
"OHCHR provides legal and technical assistance to national human rights institutions and other national stakeholders. The advice provided relates to the constitutional and legal provisions of national human rights institutions and their nature, functions, rights and responsibilities. In addition, missions in such areas as comparative analysis, technical cooperation needs assessment, programming and evaluation are dispatched to assist institutions in compliance with the principles on the status of national institutions for the promotion and protection of human rights (art. Paris Principles (see General Assembly resolution 48/134, annex).",
"OHCHR continued to organize the “A” national human rights institution staff fellowship programme. During the reporting period, the following national institutional staff participated in the programme: Egypt, India, Qatar, Nicaragua, Peru, Uganda and the United Kingdom of Great Britain and Northern Ireland. The objective of the CIP is to better understand and lead the international human rights system for national human rights institutions worldwide. Through this experience, researchers have increased their knowledge and practical experience on the United Nations human rights system, including treaty body systems, the Human Rights Council, the Universal Periodic Review and special procedures. They were also familiar with the work carried out by OHCHR with national human rights institutions and with technical and substantive issues related to national human rights institutions. Both OHCHR and national institutions benefit from the fellowship programme, including access to substantive knowledge and experience in the work of national human rights institutions.",
"Americas and the Caribbean",
"The OHCHR South American Office organized two workshops to further build the capacity of the National Institute for Human Rights of Chile. The main elements of the workshop were human rights indicators (11-12 April 2011) and how to report to the human rights treaty bodies (20 May 2011.",
"On 18 and 19 April 2011, OHCHR organized training activities on human rights indicators for national human rights institutions in Peru (the People's Ombudsman) through its Regional Office for South America. The training activities target over 30 national human rights institutions, with a specific focus on economic, social and cultural rights. The objective of the workshop was to better incorporate human rights indicators into the analysis and reporting of national human rights institutions.",
"On 20 April 2011, the OHCHR Regional Office for South America organized a training event for indigenous peoples in collaboration with national human rights institutions in Peru. The objective of the training is to increase knowledge and awareness of the United Nations Declaration on the Rights of Indigenous Peoples and international human rights mechanisms, including in-depth recognition of how indigenous peoples and civil society can successfully use United Nations mechanisms. The training activities target 30 indigenous and civil society organizations in Peru.",
"In Ecuador's appointment of the heads of national human rights institutions (the people's ombudsperson body), OHCHR supported awareness-raising on international standards. The support of OHCHR included the organization of a training event in June 2011, with the aim of participating in the Social Control Council, a member of the body responsible for the selection of the Ombudsman.",
"During her visit to Mexico (3-9 July 2011), the United Nations High Commissioner for Human Rights met with the Chairperson of the National Human Rights Commission to discuss further cooperation in the areas of human rights indicators, human rights defenders, migrant workers' rights and recent constitutional reforms. During her visit, the High Commissioner also held meetings with the Mexican Federation of Human Rights Public Institutions containing the following 32 States.",
"In September 2011, OHCHR Regional Office for South America co-organized a training event with national human rights institutions in Argentina (the National People's Ombudsman Agency). The event took place in two parts of the country with a focus on the rights of indigenous peoples and international human rights mechanisms.",
"During the reporting period, the OHCHR Regional Office for South America held talks with parliamentarians and Government officials of Uruguay on the establishment of a national human rights institution in the country. OHCHR highlighted the importance of ensuring institutional independence and autonomy, adequate funding and the selection process of the Commissioner.",
"During the reporting period, OHCHR continued to support Chile in its efforts to establish a national human rights institution in line with the Paris Principles. The OHCHR Regional Office for South America held an information briefing for the Senate representatives to disseminate information on national human rights institutions and the Paris Principles. OHCHR sent a letter to all members of Parliament drawing its attention to the recommendations of the UPR on the establishment of a national human rights institution.",
"During the reporting period, the OHCHR Regional Office for South America liaised with the national human rights institutions of the Bolivarian Republic of Venezuela in order to increase the involvement of the institution in the protection of rights and persons deprived of their liberty and to increase its participation in reporting to the UPR. OHCHR provided training for ombudsperson staff on the universal periodic review (A/HRC/16/76, para.",
"OHCHR, UNDP, the International Organization of la Francophonie and the Civil Protection Agency (IPU) have developed a three-year joint global strategy for strengthening the Protection Agency. The strategy will be implemented between 2011 and 2013. As part of this project, a consultant was recruited to assist the Protection Agency in implementing its mandate.",
"Africa",
"On 5 January 2011, Burundi adopted a bill establishing an independent national human rights commission. Since then, the United Nations Office in Burundi held consultations in Rutana, Kitanga and Bujumbura in March 2011. The event was aimed at raising awareness among civil society organizations of new laws and ensuring transparency in the selection and appointment of Committee members. On 19 May 2011, the National Assembly appointed seven members and officers.",
"OHCHR, in collaboration with the United Nations country team in Niger, held consultations to raise awareness of the establishment of new national human rights institutions. From 6 to 8 July 2011, consultations were held with Government ministries. A workshop for civil society organizations was held in Tarawa from 4 to 6 July.",
"In January 2011, the Independent National Human Rights Commission of Liberia was granted a new office. The Commission was officially established in October 2010. The Human Rights and Protection Section of the United Nations Mission in Liberia interacts with the leadership of the Commission to advise on the Commission's work plan for 2011 and the proceedings of the squatter projects. The workplan contains a national road map for reconciliation to the President. The Commission and the Human Rights and Protection Section agreed on two national advisory missions to prepare a strategic plan and internal rules of procedure. On 20 May 2011, the Human Rights and Protection Section organized a workshop with the National Commission for a half-day period to discuss the mandates, organizational charts and action plans of the two entities and discuss cooperation between the Commission and the Section.",
"During the reporting period, the OHCHR Regional Office for East Africa provided support to the Human Rights and Good Governance Commission of the United Republic of Tanzania, including training and demonstration activities to submit submissions to the UPR stakeholders. OHCHR is also involved in the development of a national human rights action plan in the United Republic of Tanzania. The Commission on Human Rights and Good Governance is one of the leaders of the work.",
"From 22 to 24 June 2011, OHCHR supported national human rights institutions in Namibia, South Africa, Zambia and Zimbabwe to attend a subregional seminar on follow-up to the concluding observations of the Committee on the Elimination of Racial Discrimination organized by OHCHR in Pretoria.",
"The Zimbabwe Human Rights Commission appointed its members in 2010 and has not yet been formally operational. OHCHR provided substantive advice on legal proposals for the establishment of the Zimbabwe Human Rights Commission. OHCHR and UNDP recruited a consultant for a six-month term to provide technical and capacity support to the Committee members. OHCHR and UNDP also hold capacity-building and awareness-raising meetings with national stakeholders to promote the establishment and operation of the Zimbabwe Human Rights Commission in accordance with the Paris Principles. The Vice-Chairperson of the Committee was invited to attend the above-mentioned regional seminar organized by OHCHR in Pretoria.",
"OHCHR provided comments on the draft rules for the appointment of members of civil society in the future national human rights institution in Zimbabwe. In close cooperation with the United Nations country team, OHCHR provided technical and advisory services to Governments and civil society seeking to establish a national human rights institution.",
"In August 2011, OHCHR supported the recruitment of a consultant in South Sudan to provide technical knowledge to the Commission on Human Rights and enhance the capacity of its staff.",
"OHCHR continued to work closely with the South African Human Rights Commission through anti-discrimination initiatives. The initiative was launched in November 2010, with funding from OHCHR. OHCHR held regular consultations with the South African Human Rights Commission to monitor the implementation of the project. The project aims to strengthen the Commission's ability to address human rights issues and combat xenophobia and discrimination against non-nationals.",
"The OHCHR Regional Office for Southern Africa, in close cooperation with the United Nations country team in the region, promotes the establishment and strengthening of national human rights institutions in the Comoros and Seychelles.",
"During the reporting period, OHCHR supported the development of a national human rights action plan by the Ethiopian Human Rights Commission. The OHCHR Regional Office for East Africa provided advice to the Commission to promote interaction with United Nations treaty bodies, namely the forthcoming review of Ethiopia by the Human Rights Committee and the Committee on the Elimination of Discrimination against Women. In August 2011, OHCHR, UNDP and the Network of African National Human Rights Institutions conducted a gap analysis of the Ethiopian Human Rights Commission to assess its capacity. OHCHR also advises on the accreditation process of the International Coordinating Committee and provides training to staff and Committee members on the Paris Principles.",
"During the reporting period, the OHCHR East Africa Regional Office provided support to the National Human Rights Commission in Djibouti to ensure its participation in the review of the Committee on the Elimination of Discrimination against Women's implementation of the recommendations of the three-year joint programme on the Universal Periodic Review in Djibouti.",
"In the last three months of 2010, OHCHR conducted capacity-building activities on the establishment of a national human rights institution in the Central African Republic (see A/HRC/16/76, para.",
"Asia and the Pacific",
"In the last three months of 2010, OHCHR, together with UNDP and the Asia-Pacific Forum of National Human Rights Institutions, undertook a capacity assessment of national human rights institutions in Jordan and Thailand (ibid., para.",
"Europe and Central Asia",
"At the invitation of the Norwegian Centre for Human Rights, OHCHR participated in a discussion held in Oslo on 11 January 2011 entitled “National Human Rights Institutions in Norway: Our way forward?”, which was part of the national consultation process on the restructuring of the Norwegian Centre for Human Rights, with representatives of civil society groups and staff from the Ministry of Foreign Affairs of Norway. OHCHR provided technical assistance and advice on the restructuring of national human rights institutions in Norway and the re-availability of the International Coordinating Committee.",
"During her visit to the Russian Federation, the United Nations High Commissioner for Human Rights made a statement at the annual meeting of the Coordinating Council of ombudsmen of the Russian Federation, held in Saint Petersburg on 18 February 2011. She noted that OHCHR would give high priority to the establishment and support of national human rights institutions and the Office of the Ombudsman in accordance with relevant international standards. In particular, OHCHR could share expertise on the role of inspection bodies in the rule of law, detention conditions and security sector reform. The High Commissioner encouraged participants to strengthen their contacts with United Nations treaty bodies and special procedures mechanisms of the Human Rights Council. The High Commissioner called on the Federal Ombudsman to create a space for interaction with the Human Rights Council at the subnational level. She also called on them to participate in international coordination and communication through the International Coordinating Committee and benefit from them.",
"In March 2011, OHCHR provided comments on the rules of procedure of the National Assembly of Serbia. These observations focus on the provisions governing the relationship between the Ombudsman and the Parliament, in particular the monitoring and review mechanism for national human rights institutions reporting to the National Assembly. The National Assembly considered the views of OHCHR when revising the above rules of procedure. OHCHR and the United Nations country team continued to work closely with the National Assembly and the Serbian Ombudsman to strengthen the relationship between the two national institutions.",
"In June 2011, a joint United Nations technical assistance programme to strengthen the capacity of national human rights institutions in Tajikistan was officially launched. In addition to the inspection body, the following institutions plan to participate in the programme: OHCHR, UNDP, the United Nations Agency for Gender Equality and Empowerment of Women (RUC), the Office of the United Nations High Commissioner for Refugees, the United Nations Children's Fund, the International Organization for Migration, the United Nations Population Fund, the International Labour Organization and UNAIDS. The programme is aimed at strengthening the capacity of national human rights institutions in Tajikistan to address complaints, undertake education and public awareness campaigns and improve their partnerships with key national actors and civil society organizations, thereby promoting human rights policy and legislative reform.",
"In July 2011, OHCHR provided comments on the Lithuanian Parliament Ombudsman Act, at the request of the Ministry of Justice and the Ombudsman of the Republic. In addition, on 12 July 2011, OHCHR participated in the consultation on the establishment of a national human rights institution organized by the President of Lithuania and the Ministry of Justice in Vilnes.",
"OHCHR, in cooperation with Government officials of the Republic of Moldova, discussed amendments to existing legislation of the National Human Rights Institutions of the Republic of Moldova, with a focus on the recruitment procedures and selection of the Ombudsman. OHCHR human rights advisers in the Republic of Moldova and OHCHR regional representatives in Europe have contacted a range of officials on this issue, including officials of the Ministry of Justice and key parliamentarians. In addition, the United Nations High Commissioner for Human Rights wrote to the Government urging swift action to improve national human rights institutions in order to apply for the International Coordinating Committee for accreditation.",
"The OHCHR human rights advisers in the Republic of Moldova provide support to national human rights institutions in various ways, including training for the universal periodic review and the oversight bodies of the weak, strengthening the institutions' libraries and developing strategic plans for national human rights institutions. OHCHR human rights advisers participated in a board composed of UNDP and the European Commission on strengthening national human rights institutions projects.",
"The Office of the United Nations High Commissioner for Human Rights assisted in strengthening national human rights infrastructure in Croatia, the Netherlands, Norway, Hungary, Lithuania and Slovakia. OHCHR provided advice, including on legislation, and drew the attention of Governments, national human rights institutions and other stakeholders involved in those processes to ensure the importance of genuine dialogue through pluralistic and participatory consultations.",
"OHCHR human rights advisers in Serbia work closely with the Office of the Ombudsman of Serbia to strengthen the institution's work in the promotion and protection of human rights. OHCHR support includes the preparation of a comprehensive report on the human rights situation of the Roma and the effectiveness of measures taken to integrate Roma into society. The report and its recommendations to the Government of Serbia are expected to be submitted to the National Assembly in early 2012.",
"The Human Rights Adviser of OHCHR in the former Yugoslav Republic of Macedonia assisted the Office of the Ombudsman in applying for accreditation by the International Coordinating Committee.",
"In the last three months of 2010, OHCHR assisted national human rights institutions in Serbia and the Netherlands in strengthening their capacities (ibid., paras. 39 and 40.).",
"Middle East and North Africa",
"OHCHR, UNDP and the Asia-Pacific Forum of National Human Rights Institutions have provided support to the capacity assessment of Palestinian national human rights institutions (6-8 February 2011 and 3-15 April 2011) and national human rights institutions in Afghanistan (13-26 May 2011. The capacity assessment includes staff from the interview bodies and other stakeholders.",
"During the reporting period, OHCHR provided legal advice on the draft legislation establishing a national human rights institution in Tunisia and Saudi Arabia.",
"OHCHR organized a seminar on the Paris Principles in Oman (see A/HRC/16/76, para.",
"Support for regional initiatives relating to national human rights institutions",
"Americas and the Caribbean",
"OHCHR, in cooperation with the Commonwealth Secretariat, organized a regional workshop on how to establish a national human rights institution for the Caribbean region in accordance with the Paris Principles. The workshop was held in Port Spain from 21 to 23 March 2011. The workshop was aimed at establishing and strengthening national human rights protection systems in the Caribbean, based on recent human rights developments in the Caribbean, including through the universal periodic review process of the Human Rights Council, in order to establish a national human rights institution in the short term. Members of Parliament, inspection agencies and government officials from 12 Caribbean English-speaking countries attended the seminar. Representatives of the United Nations country team in Barbados and the Organization of Eastern Caribbean States also participated. The workshop adopted the Declaration on Port of Spain (see annex).",
"The Inter-American Network of National Institutions for the Promotion and Protection of Human Rights held a meeting to discuss its workplan for the period 2011 to 2012. Participants discussed the establishment of a permanent capacity-building programme for staff from national human rights institutions in the region and the establishment of an Inter-American Network Advisory Committee. Participants agreed to establish a website of the Inter-American Network and agreed to hold the next annual session of 2011 in Guatemala.",
"Africa",
"The United Nations Development Programme, OHCHR and the Network of National Human Rights Institutions in Africa met in Geneva on 21 May 2011 to discuss cooperation and support issues, including ways to identify gap analyses and to assist in developing and validating the strategic plan of the network.",
"OHCHR participates in training programmes for national human rights institutions in Africa as a assistance unit (Associación nationales de l'homme). Between 30 May and 8 June 2011, Accra, the seminar was organized by the Institute of Human Rights and Humanitarian Law, La Urbourbenberg University and the Network of African National Human Rights Institutions. The main purpose of the training is to strengthen the capacity and knowledge of national human rights institution staff on the Paris Principles. Participants were staff from about 26 national human rights institutions, including investigators, trainers, legal personnel, administrative personnel and managers, from Ethiopia, Ghana, Kenya, Malawi, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Uganda, United Republic of Tanzania and Zambia.",
"Asia and the Pacific",
"From 28 to 30 March 2011, the Asia-Pacific Forum of National Human Rights Institutions, UNDP and OHCHR organized a training workshop on the capacity assessment of national human rights institutions in the Asia-Pacific region. OHCHR supported the participation of a representative of the Network of African National Human Rights Institutions in Kenya in order to facilitate the effective exchange of experiences and good practices among two national human rights institutions networks in Asia and the Pacific and Africa.",
"Europe and Central Asia",
"OHCHR assists the European Group of National Human Rights Institutions in establishing its permanent secretariat. OHCHR supported a conference held in Geneva on 21 February 2011 to identify concrete steps to establish a permanent secretariat. The meeting brought together representatives of 13 European national human rights institutions, as well as representatives of the Asia-Pacific Forum of National Human Rights Institutions and the Permanent Secretariat of the Network of African National Human Rights Institutions. The meeting was also attended by Permanent Missions and regional mechanisms in Geneva, such as fundamental rights institutions, the Organization for Security and Cooperation in Europe (OSCE), the Office for Democratic Institutions and Human Rights, and representatives of the Council of Europe. One of the main outcomes of the Conference was unanimous support for that initiative.",
"OHCHR participated in a seminar held in Prague on 28 and 29 March 2011 to discuss the role of national human rights institutions in promoting and protecting women's rights and gender equality. The seminar was organized by OSCE and the Office for Democratic Institutions and Human Rights for national human rights institutions from Eastern European States.",
"OHCHR participated in the fourth annual meeting of EU fundamental rights institutions and national human rights institutions, held in Vienna on 5 April 2011. In her statement, OHCHR focused on the different situation of national human rights institutions in Europe, as well as the consolidation of human rights institutions and equality institutions, or on trends in cooperation among various equal institutions, human rights institutions and monitoring bodies. It also stressed the importance of establishing a permanent secretariat of the European Group of National Human Rights Institutions.",
"OHCHR attended a supplementary meeting on the human dimension of the OSCE held in Vienna on 14 and 15 April. In accordance with the recent review of the working methods of the Human Rights Council, including the right to speak, the distribution of written statements and participation in the universal periodic review, OHCHR shared the experience of assisting national human rights institutions in strengthening their role in the Human Rights Council.",
"On 17 May 2011, in the margins of the twenty-fourth annual meeting of the International Coordinating Committee, members of the European Group of National Human Rights Institutions held a meeting on the following issues: the establishment of a permanent secretariat by the European Group; collaboration with the European Agency for Fundamental Rights, the Traken Process and OSCE; the Working Group on the Rights of Persons with Disabilities of the European Group; and national human rights institutions and equal institutions (European Network of Equality Institutions). At that meeting, the European Group elected the Scottish Human Rights Commission as the Chairperson of the European Group. Representatives of national human rights institutions in France, Luxembourg and Denmark were elected as members of the European Coordination Committee. The national human rights institution of Germany was elected a member of Europe of the Subcommittee on Accreditation of the International Coordinating Committee.",
"OHCHR participated in the OSCE Regional National Human Rights Institutions Conference held in Vilnes on 13 and 14 July 2011. The meeting was co-organized by the OSCE/Office for Democratic Institutions and Human Rights and the OSCE current Chairman (OSCE Chair). The meeting facilitated the exchange of experiences among monitoring bodies, the Commission on Human Rights, research institutions and other mechanisms in cooperation with administrative bodies, the judiciary, the Parliament and civil society.",
"OHCHR participated in an informal inter-agency meeting with the Council of Europe and the Office for Democratic Institutions and Human Rights, held in Warsaw on 4 and 5 October 2010. OHCHR shared its experience in assisting national human rights institutions in building their legislative frameworks and capacities.",
"On 20 and 21 October 2010, OHCHR participated in a regional round table on national preventive mechanisms established under the Optional Protocol to the Convention against Torture, organized by UNDP and the Croatian Ombudsman. The focus of the round table was on the prevention of torture and the role of national human rights institutions.",
"Middle East and North Africa",
"On 27 and 28 April 2011, the United Nations High Commissioner for Human Rights participated in the 7th Annual Meeting of National Human Rights Institutions of the Arab States, held in Nouashkt, to discuss the role of national human rights institutions in implementing the recommendations of United Nations treaty bodies. The conference was hosted by the National Human Rights Commission of Mauritania, with representatives of national human rights institutions from Algeria, Egypt, Jordan, Mauritania, Qatar and Tunisia. Participants adopted the Nawak Short Declaration.",
"C. Support provided by the Office of the United Nations High Commissioner for Human Rights for international initiatives related to national human rights institutions",
"International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights",
"OHCHR assisted the International Coordinating Committee in developing and managing its website (http://nhri.ohchr.org), which started operating in 2011 to replace www.nhri.net.",
"On 7 August 2011, OHCHR received a letter from the current and upcoming Chairman of the International Coordinating Committee calling on the United Nations to commemorate the twentieth anniversary of the adoption of the Paris Principles in 2013. The International Coordinating Committee is of the view that preparations for the event should commence in 2012, and that this issue should be included in the agenda of the sixty-sixth session of the General Assembly. In accordance with the proposal contained in that letter, it was recommended that the General Assembly, at its sixty-eighth session, convene a special plenary meeting in 2013 to commemorate the twentieth anniversary of the adoption of the Paris Principles, and that the Assembly include provisions in the two annual resolutions on national institutions for the promotion and protection of human rights.",
"(a) Twenty-fourth Annual Meeting",
"The twenty-fourth annual meeting of the International Coordinating Committee was held in Geneva from 17 to 19 May 2011. The agenda included best practices in the implementation of the recommendations of the universal periodic review; collaboration between national human rights institutions and treaty bodies; the rights of indigenous peoples; the role of national human rights institutions in the protection of women's rights; follow-up to the Durban Review Conference; human rights education; and business and human rights. The meeting was attended by members of national human rights institutions from over 80 countries, as well as government officials, civil society organizations, academics and intergovernmental organizations.",
"(b) Bureau meetings",
"The Bureau of the International Coordinating Committee was held in Geneva on 16 May 2011. Members of the Bureau discussed the statements made by the International Coordinating Committee at its seventeenth session on the adoption of the draft Optional Protocol to the Convention on the Rights of the Child and the statements made by the Conference of States Parties to the Convention on the Rights of Persons with Disabilities. The Bureau also endorsed the recommendation that the next two annual meetings of the International Coordinating Committee focus on gender equality and women and girls.",
"The officers decided to establish a working group composed of representatives from four regions to discuss the participation of national human rights institutions in the work of United Nations bodies. In addition, the officers agreed to support the adoption of a General Assembly resolution highlighting the Paris Principles and the participation of national human rights institutions in the work of United Nations bodies, and supported the adoption of a resolution on national human rights institutions at the seventeenth session of the Human Rights Council.",
"Subcommittee on Accreditation",
"OHCHR provided secretariat support to the meeting of the Subcommittee on Accreditation, held in Geneva from 23 to 27 May 2011. The Subcommittee considered the new accreditation of 20 national human rights institutions: Bangladesh, Hungary, Sierra Leone and Sweden; re-creditation: Australia, Austria, Canada, El Salvador, India, Mauritania, Namibia, New Zealand, Nicaragua, Norway, Senegal, Romania and the United Kingdom of Great Britain and Northern Ireland; and extension: Azerbaijan, Nigeria and Slovakia.",
"Cooperation between United Nations human rights mechanisms and national human rights institutions",
"National human rights institutions cooperate with international and regional human rights mechanisms as a key requirement of the Paris Principles. OHCHR continued to assist national human rights institutions in interacting with treaty bodies and the Human Rights Council, including the universal periodic review and special procedures. The work of OHCHR in this regard was carried out in coordination with the Chairman of the International Coordinating Committee and representatives in Geneva.",
"During the reporting period, OHCHR continued to support and facilitate the participation of the International Coordinating Committee in the landmark process aimed at strengthening international human rights mechanisms, such as the Human Rights Council review and treaty body reform.",
"Human Rights Council",
"The International Coordinating Committee was actively involved in the review of the Human Rights Council, making it more opportunity for a national human rights institution to participate in the work of the Human Rights Council. On 25 March 2011, the Human Rights Council adopted a review of the work and functioning of the Human Rights Council (resolution 16/21, annex), which included provisions on the participation of national human rights institutions in the universal periodic review and special procedures mechanisms and their interaction (see sections below).",
"In 2011, OHCHR, in cooperation with representatives of the International Coordinating Committee in Geneva, continued to support the participation of national human rights institutions in the work of the Human Rights Council. During the sixteenth session of the Human Rights Council (28 February-25 March 2011), eight written statements were submitted: 6 national human rights institutions (Bosnia and Herzegovina, Georgia, Malaysia, Morocco, Nicaragua and Ukraine), two regional networks of national human rights institutions (the African Partnership Forum and the Network of African National Human Rights Institutions). At the seventeenth session of the Council (30 May to 17 June 2011), three written statements were submitted: one from the International Coordinating Committee and one from the United Kingdom national human rights institution and one from the national human rights institutions of the Republic of Korea.",
"On 9 March 2011, in the margins of the sixteenth session of the Human Rights Council, OHCHR, in cooperation with the National Human Rights Council of Morocco, organized a side event to discuss the implementation of the recommendations of the Truth and Reconciliation Commission ( Truth and Reconciliation Commission). Geneva, 9 March 2011.",
"On 16 June 2011, the Human Rights Council unanimously adopted resolution 17/9 on national institutions for the promotion and protection of human rights.",
"Universal periodic review",
"OHCHR continued to assist national human rights institutions in interacting with the universal periodic review mechanism. In 2011, during the 10th (January), 11th (May) and 12th (October), the following 19 national human rights institutions provided information on the reports of stakeholders of the universal periodic review mechanism: 10th meeting: Austria, Australia (A level), Georgia (A), Namibia (A level), Nepal (A level), Niger and Paraguay (A level); 11th meeting: Denmark (A level), Greece (A), Sierra Leone, Somalia/Somaliland; 12th meeting: Haiti, Ireland (A level), Togo (United Republic of Tanzania), Uganda and United Republic of Tanzania).",
"In March 2011, the Human Rights Council provided for the participation of the following A national human rights institution: (a) The information submitted by the national human rights institutions of the State under review should be included as a separate section in the reports of stakeholders; (b) the national human rights institutions of the State under review have the right to make immediate statements after the consideration of the outcome by the plenary of the Council (see resolution 16/21, annex, paras. 9 and 13).",
"Special procedures",
"In March 2011, the Human Rights Council established that A-level National Human Rights Institutions had the right to nominate candidates for special procedures mandate holders and, during the interactive dialogue, had the right to follow the statements made by the special procedures mandate holders after presenting a country-specific report (ibid., annex, paras. 22 (a) and 28).",
"Treaty bodies",
"During the reporting period, OHCHR continued to assist national human rights institutions in their participation in the work of treaty bodies through information and participation. On 11 July 2011, the President of the International Coordinating Committee and the national human rights institutions of Denmark, Ethiopia, France and Germany participated in a meeting organized by the Human Rights Committee to discuss ways to improve cooperation with national human rights institutions.",
"OHCHR prepared a statement of practical information to national human rights institutions wishing to reach the treaty body system, including opportunities for interaction between national human rights institutions and treaty bodies, as well as working methods and rules of procedure relating to the participation of treaty bodies with national human rights institutions.",
"Cooperation between the Office of the United Nations High Commissioner for Human Rights, agencies, funds and programmes of the United Nations system and international and regional organizations of national human rights institutions",
"Cooperation between national human rights institutions and United Nations system agencies, funds and programmes is a key requirement of the Paris Principles. In 2008, the General Assembly encouraged all United Nations human rights mechanisms and agencies, funds and programmes to cooperate with Member States and States in the promotion and protection of human rights within their respective mandates. In that regard, the General Assembly welcomed the efforts of OHCHR to develop partnerships in support of national institutions.",
"During the reporting period, OHCHR focused on the development of United Nations assistance, including through the exchange of letters in March 2011, formalizing tripartite collaboration between the International Coordinating Committee, OHCHR and UNDP. The areas of triangular collaboration include, inter alia, strengthening the role of national human rights institutions and regional networks, as well as facilitating and supporting the engagement of United Nations agencies, funds and programmes with national human rights institutions.",
"The United Nations Development Programme, OHCHR and the International Coordinating Committee held a meeting in New York in February 2011. At that meeting, they decided to enter the Tripartite Partnership through the exchange of letters. Key elements of this partnership include the establishment of the UNDP-OHCHR-International Coordinating Committee annual strategic review on the establishment, development and effectiveness of national human rights institutions; engagement with United Nations human rights mechanisms; joint capacity assessment and gap analysis projects of national human rights institutions; contacts on thematic issues; information and knowledge management. The first Strategic Review Conference will be held at the end of August 2011.",
"Arab-European dialogue on torture and the rule of law",
"OHCHR participated in the sixth Arab-European dialogue on torture and the rule of law, held in Berlin from 11 to 13 May 2011.",
"Association of the Mediterranean Ombudsman",
"As an observer, OHCHR attended the fifth session of the Association of Mediterranean ombudsmen on the theme “The role of the Ombudsman in enhancing good governance and democracy”, held in San José, Malta, on 30 and 31 May 2011. In his statement, OHCHR provided participants with information on General Assembly resolution 3807 on the role of the Ombudsman, mediators and other national human rights institutions in the promotion and protection of human rights. In that resolution, the General Assembly welcomed the active participation of OHCHR in all international and regional meetings of the Ombudsman, mediators and other national human rights institutions, and invited the International Coordinating Committee, in cooperation with OHCHR, to certify them so that they can effectively interact with relevant human rights bodies of the United Nations system.",
"C. Ibero-American Federation of Ombudsman",
"OHCHR participated in the annual meeting of the Ibero-American Federation of Ombudsman. National human rights institutions and ombudsmen from Latin America, Portugal and Spain attended the meeting held in Arkaraedia, Spain, from 1 to 3 June 2011. Participants discussed, inter alia, the current and future challenges of the Ombudsman (Defensorias del Pueblo) in the promotion and protection of human rights, the Millennium Development Goals and national human rights institutions; reports on the promotion of human rights and national human rights institutions; the role of national human rights institutions in the implementation of economic, social and cultural rights; national human rights institutions and international human rights mechanisms; and the protection of national human rights institutions and vulnerable groups.",
"Cooperation with non-governmental organizations and academic institutions",
"OHCHR strives to promote the participation of non-governmental organizations in the activities of the International Coordinating Committee and its subcommittees on accreditation. On 7 October 2010, a non-governmental organization forum was held before the Tenth International Conference of National Human Rights Institutions (A/HRC/16/76, para. In May 2011, 50 members from civil society organizations around the world attended the annual International Coordinating Committee (Geneva). The session of the Subcommittee on Accreditation, which took place after the annual session, benefited from the views received from non-governmental organizations from Austria, India and Mauritania.",
"Thematic issues",
"Indigenous peoples",
"OHCHR and the Asia-Pacific Forum of National Human Rights Institutions are preparing a joint publication entitled “United Nations Declaration on the Rights of Indigenous Peoples: Operational Guide for National Human Rights Institutions”, aimed at supporting and strengthening the work of national human rights institutions in the promotion and protection of the rights of indigenous peoples.",
"On 11 July 2011, together with the fourth meeting of the United Nations Expert Mechanism on the Rights of Indigenous Peoples, a national human rights institution was held in Geneva. The main purpose of the consultation was to share good practices that could be incorporated in the Guide to promote the rights of indigenous peoples.",
"History, principles, roles and responsibilities of national human rights institutions",
"During the reporting period, OHCHR launched an updated version of the OHCHR Professional Training Series, No. 4 entitled “The history, principles, roles and responsibilities of national human rights institutions”. On the basis of the 1995 version, the publication outlines current key issues related to the establishment and strengthening of independent national human rights institutions, including their role in the national promotion and protection of human rights system and their interaction with the international human rights system. The publication also covers recent international developments in this field, such as recent General Assembly resolutions and materials provided by the International Coordinating Committee.",
"C. National human rights institutions in the Federal State",
"During the twenty-fourth annual meeting of the International Coordinating Committee, OHCHR organized a side event on national human rights institutions in the Federal State. Participants discussed the speciality of such States (including decentralization and local self-government) and the strengths and challenges of national human rights institutions in the countries of the federal governance system.",
"Conclusion",
"Compliance with the Paris Principles is a key requirement to ensure the effectiveness, independence, autonomy and pluralism of national human rights institutions. National institutions and Governments, parliaments and other relevant stakeholders should take all necessary measures to ensure that national human rights institutions operate in accordance with the Paris Principles. The Ombudsman's institutions and mediators are also encouraged to act in accordance with these principles and to seek accreditation by the International Coordinating Committee.",
"The establishment of a national human rights institution in compliance with the Paris Principles in countries that do not exist. Compliance with the Paris Principles at the pre-establishment stage is key to ensuring the independence and legitimacy of new institutions. It is recommended that a broad and participatory consultation process be undertaken with civil society organizations when drafting a national human rights institution mandate legislation.",
"It was strongly recommended that special attention be paid to the Paris Principles in the appointment of members of national human rights institutions. Member States and national human rights institutions are encouraged to promote a transparent appointment process and to ensure the plurality of civil society organizations involved in the promotion and protection of human rights.",
"As a key component of the national human rights system, national human rights institutions are encouraged to cooperate with other parts of the system, namely the executive branch, the judiciary, the Parliament, civil society, the media and academia.",
"Encourage joint inter-agency programmes of the United Nations country team to support national human rights institutions and encourage national, regional and international partners to participate in these programmes. Annual strategic review of activities related to the establishment of the UNDP-OHCHR-International Coordinating Committee of National Human Rights Institutions is welcomed.",
"It is recommended that human rights institutions at the subnational level cooperate with the Federal National Human Rights Institutions to ensure the equal protection of all human rights throughout the country. The following national human rights institutions are strongly encouraged to interact with the international human rights system, including the universal periodic review, treaty bodies and special procedures.",
"By resolution 16/21 on the review of the work and functioning of the Human Rights Council, the Council strengthened the role of A-level national human rights institution in the universal periodic review and special procedures.",
"National human rights institutions are encouraged to play an active role in the second cycle of the universal periodic review of the Human Rights Council (2012-2016). National human rights institutions are encouraged to take advantage of the right to participate as set out in Human Rights Council resolution 16/21.",
"The Spanish Port Declaration on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles was welcomed. Other subregions are encouraged to take similar initiatives.",
"Welcomes the decision of the European Group of National Human Rights Institutions to establish a permanent secretariat. The secretariat will consolidate the regional architecture, which is expected to have a positive impact on the establishment and strengthening of national human rights institutions across Europe, in accordance with the Paris Principles.",
"Annex",
"Regional workshop on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles",
"Spain, Trinidad and Tobago",
"Declaration of the Port of Spain",
"In accordance with the Charter of the United Nations and the Universal Declaration of Human Rights, the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat, with the support of the United Nations country team in Trinidad and Tobago, organized a three-day regional workshop on the establishment of a national human rights institution in the Caribbean in accordance with the Paris Principles.",
"Participants from the English-speaking countries of the Caribbean, Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, Dominica, Grenada, Jamaica, Saint Kitts and Nevis, Saint Lucia, Suriname, Trinidad and Tobago. Representatives of the United Nations country team in Barbados and the country team in Trinidad and Tobago attended the workshop:",
"• Expresses its appreciation to the Government of Trinidad and Tobago for hosting a regional workshop on the establishment of a national human rights institution in the Caribbean, in accordance with the Paris Principles, and in particular for the official opening ceremony of the workshop chaired by the Attorney-General, H.E. Anand Ramlogan.",
"• Expresses its appreciation to the Office of the United Nations High Commissioner for Human Rights and the Commonwealth Secretariat for organizing this regional workshop.",
"• Confirmation of the participation of the United Nations Office of the Resident Coordinator in Trinidad and Tobago and representatives of national human rights institutions from the Philippines and Canada in the workshop as experts.",
"• The need to sensitize Governments, parliaments and other relevant national stakeholders to the value and benefits of the establishment of national human rights institutions.",
"• Recognition of the need to create a model of national human rights institutions in the Caribbean, based on existing human rights frameworks.",
"• Emphasis was placed on the need for national human rights institutions to make human rights values part of everyday and linguistic life.",
"• The relevance of national human rights institutions, including monitoring bodies, as key actors in strengthening the promotion and protection of human rights.",
"• Recognize the role and leadership of civil society actors in the protection and promotion of human rights.",
"• Recognize the role of national human rights institutions, including the Ombudsman's institutions, in raising awareness and exercising human rights for all.",
"• Confirm a comprehensive overview and discussion of the establishment and strengthening of national human rights institutions, their historical and legal contexts, the minimum standards to be adhered to by national human rights institutions and the core functions, main features and methods of operation of national human rights institutions.",
"• Recognize the importance of taking the necessary measures to establish a national human rights institution in accordance with the Paris Principles and to seek accreditation by the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights.",
"• Recognize that national human rights institutions in compliance with the Paris Principles can play an important role internationally through interaction with international human rights mechanisms, including the Human Rights Council, treaty bodies and special procedures.",
"• Welcome the practical focus of the workshop on the sharing of expertise and experience related to the establishment of a national human rights institution in line with the Paris Principles.",
"• Recognize that while the Caribbean countries have unique challenges in the establishment of a national human rights institution, the Office of the United Nations High Commissioner for Human Rights, the United Nations Development Programme, other United Nations agencies, the International Coordinating Committee and the Commonwealth Secretariat can provide assistance and support in the establishment of a national human rights institution at the request of Member States.",
"Spain, Trinidad and Tobago",
"AD(*) A/63/250.",
"[2] European National Human Rights Institutions Group, Network of National Institutions for the Promotion and Protection of Human Rights in the Americas, Asia Pacific Forum of National Human Rights Institutions and Network of African National Human Rights Institutions."
] |
[
"第六十六届会议",
"^(*) A/66/150。",
"临时议程^(*) 项目114(b)",
"选举各附属机构成员以补空缺， 并进行其他选举",
"选举国际法委员会成员",
"秘书长的说明",
"增编",
"目录",
"页次\n1.导言 2\t\n2.候选人卡洛斯·奥斯瓦尔多·萨尔加多·埃斯皮诺萨简历 2",
"一. 导言",
"厄瓜多尔按照国际法委员会规程第5条，提出候选人简历，替代马塞洛·巴斯克斯-贝穆德斯先生的提名。候选人简历载于下文第二节。",
"二. 候选人简历",
"卡洛斯·奥斯瓦尔多·萨尔加多·埃斯皮诺萨",
"[原件：西班牙文]",
"国籍：厄瓜多尔。",
"国家、省、市：厄瓜多尔-皮钦查-基多。",
"培训：",
"政治社会科学学士。",
"厄瓜多尔共和国法院律师。",
"商业管理工程师。",
"阿苏艾生产协会调解员。",
"阿苏艾生产协会仲裁员。",
"环境管理高级文凭，副修科目：自然环境保护。",
"公证注册法文凭。",
"工业产权文凭。",
"行政法硕士。",
"法学博士。",
"安迪纳·西蒙·玻利瓦尔大学法律博士候选人，博士论文：“南美洲国家联盟可适用的司法机关”。",
"其他研究院研究：",
"法律：",
"行政法，阿苏艾大学；公证注册法，阿根廷，贝尔格拉诺大学；古巴，哈瓦那大学；工业产权，阿根廷，布宜诺斯艾利斯大学；国际法与外交和国际关系，西班牙，欧洲研究所特雅校区。",
"企业管理：",
"国家理工学院企业管理硕士。",
"经济：",
"昆卡大学经济硕士。",
"环境：",
"阿苏艾大学和阿利坎特大学环境管理文凭。",
"计划项目：",
"美洲开发银行和国家理工学院，项目拟订、评价和管理国际证书；国家理工学院，专家证书。",
"教育：",
"西班牙，马德里理工大学，项目管理和研习硕士。",
"专业和学术简历：",
"拉丁美洲司法学校创始成员，2011年4月15日。",
"科塞合伙公司经理，萨尔加多·埃斯皮诺萨合伙顾问公司，国家和国际顾问公司，2011年1月15日以来。",
"安第斯共同体法院法官，2005年至2011年1月14日。",
"安第斯共同体法院院长，2008年1月至2009年1月。",
"玻利维亚国家法学科学院荣誉院士。",
"阿苏艾生产协会调查员及仲裁员，2002年至2005年。",
"拉丁美洲司法委员会成员。",
"伊比利亚美洲知识产权协会总协调员。",
"拉丁美洲法官网络咨询和财务理事会成员。",
"21世纪拉丁美洲社会调查中心总干事。",
"大学一体化法教授(大学和研究院)：",
"• 洛哈特殊技术大学，远程教育(2008年至2011年3月)；",
"• 美洲大学(2009年至2011年3月)。",
"昆卡大学以下科目正教授(1989年以来)：",
"• 劳工法；",
"• 税法；",
"• 公司法；",
"• 商法；",
"• 财政管理和控制组织法；",
"• 厄瓜多尔公共部门经理和会计管理条例；",
"• 经济法。",
"环境团结项目回收团结方案成员，此一项目在建筑师费尔南多·科尔德罗·奎瓦任市长期间酝酿。",
"昆卡大学理事会成员(代表经济学院)；学术规划理事会成员，代表社会领域(经济、哲学、法学学院)。",
"科塞合伙公司经理、法律顾问、会计、行政人员、财务人员、经济人员，自1989年至2005年。",
"昆卡和阿苏艾专业协会理事：土木工程师，企业经理，经济学家。",
"阿苏艾社区多间企业法律顾问。",
"昆卡都市清洁公司首任经理，在厄瓜多尔首次垃圾填埋中执行ISO 14000和OHSAS 18000，获得环境部发给环境执照，这是拉丁美洲唯一的ISO 14001执照，从1999年至2005年。",
"道路建筑公司总经理。",
"昆卡下列学校数学和物理教师：萨莱斯阿诺技术学校，罗萨·德赫苏斯·科尔德罗(卡塔利纳斯)学校和曼努埃拉·卡尔德龙·加赖科亚学校。",
"著作：24本出版物和论文",
"• “财政管理和控制组织法的责任”，昆卡大学，1995年。",
"• “厄瓜多尔公共部门经理和会计管理条例”，昆卡大学，1995年。",
"• “司法管辖权乒乓球”，公共行政当局1994年至2000年，2003年颁布的关于昆卡行政诉讼法院管辖权的某些行政法规不起作用。",
"• “安第斯共同体法院、司法机关”，2007年9月在亚松森举行第一次国际法会议。",
"• “一体化法：关于其执行和监测的一些思考”，2007年10月4日和5日在尼加拉瓜、马那瓜举行第一次世界国际和区域法院会议。",
"• “关于南方共同市场和联系国最高法院第5次会议的一些思考”，会议于2007年11月8日和9日在巴西利亚举行。",
"• “安第斯共同体法院的经验”，南美洲国家联盟司法系统高级当局会议(2007年11月26日在智利圣地亚哥举行)。",
"• “安第斯共同体工业产权制度众所周知的商标”，2008年2月26日至29日在墨西哥坎昆举行第一次国际知识产权会议。",
"• “安第斯共同体司法”，安第斯共同体与厄瓜多尔企业部门联系(2008年3月6日和7日在瓜亚基尔举行密集培训课程)。",
"• “安第斯共同体解决争端，作为法律安全和保护公民的机制”，2008年3月13日和14日在秘鲁利马举行使用环境司法以改进使用拉丁美洲环境司法的条件次区域工作会议。",
"• “安第斯法院，迈向共同体有效司法：管理和执行指标”，2008年3月25日在哥伦比亚波哥大举行安第斯共同体年度活动汇报会议。",
"• “南方共同市场和安第斯共同体宪法框架——当前挑战”，2008年5月5日和6日，乌拉圭，蒙得维的亚。",
"• “国家法官在执行共同体法律方面的作用”，安第斯共同体法学院校会议——建立安第斯共同体法律研究课程(2008年6月9日和10日在利马举行)。",
"• “一体化法”，公司法硕士研究指南，洛哈特殊技术大学出版，2008年。",
"• “南美洲国家联盟解决争端制度未来展望，安第斯共同体与南方共同市场一体化选择”，拉丁美洲法官网络在“合作与数字司法”范围内邀请伊比利亚美洲法官参加视频会议(2008年12月12日)。",
"• “共同体法律和安第斯解决争端制度密集培训课程”，为政府官员、经理、司法促进者和法官举办(2009年2月9日，基多)。",
"• “安第斯法律与边界一体化和运输”，2009年4月13日和14日在图尔坎举行两国论坛。",
"• “知识社会与人权：拉丁美洲一体化进程未来展望”，2009年11月23日至28日在巴西福塔莱萨举行伊比利亚美洲司法合作第三次会议。",
"• “一体化法和共同体法的基础”，美洲大学，大学本科生指南读本，2009年。",
"• “一体化法”，美洲大学知识产权研究生指南读本，2010年。",
"• “安第斯和拉丁美洲一体化概念范围内服务业的进口与出口”，国家税务主管和秘鲁关税管理研究所在秘鲁、利马SUNAT总部举办国际研讨会(2010年9月1日)。",
"• “安第斯一体化-服务业的进口和出口”，国家法务局、关税管理研究所和秘鲁关税管理署-SUNAT举办第七次国家法律会议(2010年9月2日在秘鲁利马Hotal Sol de Oro举行)。.",
"• “拉丁美洲一体化未来展望”，2010年9月6日至8日在哥伦比亚卡塔赫纳德印第亚斯举行安第斯共同体和南方共同市场法官第二次会议。",
"• 文集“21世纪南美洲路线”第1卷“一体化法入门，新一体化轨迹”，2010年。",
"荣誉与重要成就：",
"• 小学第二名毕业，获全额奖学金入读萨勒斯技术高中。",
"• 可领昆卡萨勒斯技术高中优异学生奖学金，但将奖学金留给其他家境清贫同学。",
"• 高中毕业(成绩优异)。",
"• 12岁担任数学教师，18岁任下列高中数学和物理教师：圣托马斯教士(里奥班巴)，罗萨·德赫苏斯·科尔德罗(昆卡，卡塔利纳斯)，萨莱斯阿诺技术学校(昆卡)，曼努埃拉·加赖科亚·卡尔德龙(昆卡)。",
"• 18岁参加萨勒斯志愿工作团(贡献一年青春给社会)，同其他梦想者一道(例如已逝的安东尼奥·阿马多尔神父，他当时是很有前途的神父)，促进现在的基多，巴勃罗·波诺尔理事会等等，以及在里奥班巴创办唐博斯科剧社(青年中心，帮助家境清贫儿童，提供周末健康的娱乐活动)。",
"• 昆卡大学企业管理学院协会主席(不属任何政党或团体)。",
"• 昆卡大学经济学院理事会成员，连任三届(不属任何政党或团体)。",
"• 昆卡大学经济学院参加大学理事会成员(不属任何政党或团体)。",
"• 政治和社会科学学士(毕业成绩优异)。",
"• 大学议会建议将论文出版。",
"• 经济学院正教授考试及格，可任教昆卡大学法学院科目(财政管理和控制组织法、劳工法、公司法、商法和税法)。",
"• 商业管理工程师毕业(成绩优异)。",
"• 阿夫达拉·布卡拉姆下台后，经阿苏艾人民大会推荐参加最高选举法院。",
"• 行政法硕士(毕业成绩优异)。",
"• 建造厄瓜多尔最佳垃圾填埋地公司经理，公司赢得国家和国际赞誉(环境与财政可持续性)，并获第一个执行ISO 14000和OSHAS 18000垃圾填埋地环境执照，这在拉丁美洲是唯一的。",
"• 在2004年3月21日至28日在哥斯达黎加、圣何塞举行的国际公共机构和私营机构交流处理和处置固体废料和回收项目成功经验会议上，被推选讲述厄瓜多尔-昆卡的成功经验。",
"• 国家理工学院企业管理硕士学生会主席。",
"• 昆卡大学经济硕士学生会主席，并代表学生参加学术理事会为成员。",
"• 促进和建立“回收团结”方案，帮助厄瓜多尔穷人。",
"• 2005年8月31日获安第斯共同体成员国(玻利维亚、哥伦比亚、厄瓜多尔、秘鲁和委内瑞拉)全权代表一致任命为安第斯共同体法院厄瓜多尔首席法官。",
"• 获一致推选担任安第斯共同体法院院长(2008年1月至2009年1月)。",
"• 获提名玻利维亚国家法学科学院荣誉院士，该项荣誉是例外给予在法学某些领域卓有声誉的外国人，承认在国际法、共同体法和一体化法领域的学识。",
"• 获选为伊比利亚美洲知识产权协会总协调员，协会包括伊比利亚美洲15个国家。",
"• 获指派任拉丁美洲法官网络咨询和财务理事会成员，即便并非网络创始成员之一。",
"• 凭个人成绩获任大学一体化法研究院教授：洛哈特殊技术大学，远程教育。",
"• 安迪纳·西蒙·玻利瓦尔大学法学博士(毕业成绩优异，10分满分中得9.55分)。"
] | [
"Sixty-sixth session",
"Item 114 (b) of the provisional agenda*",
"* A/66/150.",
"Elections to fill vacancies in subsidiary organs and other elections",
"Election of the members of the International Law Commission",
"Note by the Secretary-General",
"Addendum",
"Contents",
"Page\nI.Introduction 2II. Curricula 2 vitae of \ncandidates Carlos 2 Oswaldo Salgado \nEspinoza(Ecuador)",
"I. Introduction",
"The curriculum vitae of the candidate submitted by Ecuador, in accordance with article 5 of the statute of the International Law Commission, in substitution of its nomination of Mr. Marcelo Vázquez-Bermúdez (see document A/66/88/Add.3), is contained in section II below.",
"II. Curricula vitae of candidates",
"Carlos Oswaldo Salgado Espinoza (Ecuador)",
"[Original: Spanish]",
"Nationality: Ecuadorian",
"City, province, state: Quito — Pichincha — Ecuador",
"Background:",
"Bachelor’s degree in political and social sciences.",
"Attorney for the courts of justice of the Republic of Ecuador.",
"Commercial engineer.",
"Mediator for the Azuay Chamber of Commerce.",
"Arbitrator for the Azuay Chamber of Commerce.",
"Diploma in environmental management, with a minor in protection of the physical environment.",
"Diploma in notary and public records law.",
"Diploma in industrial property law.",
"Master’s Degree in Administrative Law.",
"Juris Doctor.",
"Doctoral candidate (PhD) in law at the Simón Bolívar Andean University; doctoral thesis on “The jurisdictional organ applicable to the Union of South American Nations (UNASUR)”.",
"Other graduate studies in:",
"Law:",
"Administrative law at the University of Azuay;",
"Notary and public records law at the University of Belgrano, Argentina and the University of Havana, Cuba;",
"Industrial property law at the University of Buenos Aires, Argentina;",
"International law and foreign and international relations, Campus Stellae European Institute, Spain.",
"Business administration:",
"Master of Business Administration (MBA), National Polytechnic School.",
"Economy:",
"Master of Economics, University of Cuenca.",
"Environment:",
"Diploma in environmental management, University of Azuay and University of Alicante.",
"Projects:",
"International certificate in project development, evaluation and management, Inter‑American Development Bank and National Polytechnic School.",
"Specialist, National Polytechnic School.",
"Education:",
"Master’s degree in eLearning Project Management (MDPeL), Polytechnic University of Madrid, Spain.",
"Summary of professional and academic experience:",
"Founding member of the Latin American Judicial Academy (EJAL), 15 April 2011.",
"Director-General of COSE & Associates, Salgado Espinoza & Associates, National and International Consulting Firm, since 15 January 2011.",
"Judge for the Court of Justice of the Andean Community, from 2005 to 14 January 2011.",
"President of the Court of Justice of the Andean Community, January 2008 to January 2009.",
"Honorary Academician at the National Academy of Legal Sciences of Bolivia.",
"Mediator and arbitrator for the Azuay Chamber of Commerce, from 2002 to 2005.",
"Member of the Latin American e-Justice Commission.",
"General Coordinator of the Ibero-American Intellectual Property Association (AIPI).",
"Member of the Advisory and Budget Council of the Latin American Network of Judges (REDLAJ).",
"Director General of the Latin American Centre for Social Research for the 21st Century (CELDIS 21).",
"Professor of undergraduate and graduate studies in regional integration law at the following universities:",
"• Private Technical University of Loja (UTPL), distance learning programme, 2008-March 2011; and",
"• University of the Americas (UDLA), 2009-March 2011.",
"Senior Lecturer at the University of Cuenca since 1989 in the areas of:",
"• Labour law",
"• Tax law",
"• Corporate law",
"• Trade law",
"• Organic Law on Financial Administration and Control",
"• Ecuadorian public sector regulations for managers and accountants",
"• Economic law",
"Member of “Reciclando Solidaridad, Proyecto Ambiental y Solidario” (“Recycling Solidarity, Project for the Environment and Solidarity”), which was developed by the administration of Mayor Fernando Cordero Cueva (also an architect).",
"Member of the University Council, representing the Department of Economics, and of the Academic Planning Council, representing the Division of Social Science (Departments of Economics, Philosophy and Jurisprudence), of the University of Cuenca.",
"Director-General of COSE & Associates, a legal, accounting, administrative, financial and economic consulting and advisory firm, 1989-2005.",
"Trustee for the professional associations of civil engineers, business managers and economists of Cuenca and Azuay.",
"Legal adviser to several businesses and communities in Azuay.",
"First Manager of the Cuenca Municipal Waste Company (EMAC), which successfully implemented ISO 14000 and OHSAS 18000 regulations at the First Landfill of Ecuador. The Landfill was issued an environmental licence by the Ministry of the Environment, and is the only landfill in Latin America with ISO 14001 certification. From 1999 to 2005.",
"General Manager of Constructora de Caminos S.A.",
"Mathematics and physics teacher at the following high schools in Cuenca: Salesian Technical, Rosa de Jesús Cordero (Catalinas) and Manuela Garaicoa de Calderón.",
"Author of 24 publications and conference papers:",
"• “La responsabilidad en la Ley Orgánica de Administración Financiera y Control”, University of Cuenca, 1989.",
"• “Normatividad del sector público ecuatoriano para el administrador y contador”, University of Cuenca, 1995.",
"• “Ping-pong de una competencia jurisdiccional: la indefensión de ciertos actos administrativos emanados por la Administración Pública, de competencia del Tribunal Contencioso Administrativo de Cuenca, en el periodo 1994-2000”, 2003.",
"• “El Tribunal de Justicia, órgano jurisdiccional de la Comunidad Andina”, First International Law Conference, held in Asunción, September 2007.",
"• “El derecho de integración: reflexiones en torno a su aplicación y seguimiento”, presented at the First World Conference of International and Regional Courts, held in Managua, Nicaragua, from 4 to 5 October 2007.",
"• “Reflexiones en torno al 5° Encuentro de Cortes Supremas del MERCOSUR y Asociados”, Brasilia, 8 and 9 November 2007.",
"• “Experiencia del Tribunal de Justicia de la Comunidad Andina”, presented at the High-Level Summit of Judicial Authorities of the Union of South American Nations (UNASUR), Santiago, 26 November 2007.",
"• “La marca notoriamente conocida en el régimen de propiedad industrial de la Comunidad Andina”, presented at the First International Forum on Intellectual Property, held in Cancun, Mexico, from 26 to 29 February 2008.",
"• “La justicia comunitaria andina: socialización de la Comunidad Andina a los sectores empresariales del Ecuador”, intensive training course, Guayaquil, 6 and 7 March 2008.",
"• “La solución de controversias de la Comunidad Andina, como mecanismo de seguridad jurídica y tutela ciudadana”, presented at the Subregional Workshop on Access to Environmental Justice in Latin America, 13 and 14 March 2008, Lima, Peru.",
"• “El Tribunal Andino, hacia una justicia efectiva comunitaria: gestión e indicadores de desempeño”, for the Annual Report on Activities of the Court of Justice of the Andean Community, 25 March 2008, Bogotá, Colombia.",
"• “El marco jurídico constitucional del MERCOSUR y de la Comunidad Andina — desafíos actuales”, 5 and 6 May 2008, Montevideo, Uruguay.",
"• “El rol de los jueces nacionales en la aplicación del derecho comunitario”, Summit of Law Schools and Faculties from the Andean Community — Drafting of a Curriculum on Andean Community Law, held in Lima, 9 and 10 June 2008.",
"• “Derecho de integración”, course material for the Master of Business Law, published by the Private Technical University of Loja (UTPL), 2008.",
"• “Visión de futuro de los sistemas de solución de controversias de la UNASUR, en una opción integradora de la Comunidad Andina y el MERCOSUR”, paper delivered via videoconference using the FlashMeeting system, by invitation from the Latin American Network of Judges (REDLAJ) for a conference for Ibero-American judges and magistrates, 12 December 2008.",
"• Intensive training course on the Community legal system and Andean system for dispute settlement for public officials, managers and facilitators in the justice system, judges and magistrates, 9 February 2009, Quito.",
"• “El derecho andino y la integración fronteriza y transporte”, presented at the Binational Forum, held in Tulcán, 13 and 14 April 2009.",
"• “La sociedad del conocimiento y los derechos humanos: visión de futuro en los procesos de integración latinoamericana”, presented at the Third Ibero‑American Conference on Judicial Cooperation, 23 to 26 November 2009, Fortaleza, Brazil.",
"• “Bases del derecho para la integración y comunitario”, undergraduate course material for the University of the Americas (UDLA), 2009.",
"• Course material on regional integration law for the Master’s Programme in Intellectual Property at the University of the Americas (UDLA), 2010.",
"• “La importación y exportación de servicios dentro del concepto de la integración andina y latinoamericana”, presented at the international seminar organized by the National Superintendency of Tax Administration (SUNAT) and the Institute for Tax and Customs Administration of Peru, held on 1 September 2010, at SUNAT Headquarters, Lima, Peru.",
"• “Integración andina — importación y exportación de servicios”, presented at the Seventh National Juridical Conference, organized by the National Juridical Administration and the Institute for Tax and Customs and Administration and the National Superintendency of Tax Administration (SUNAT) of Peru, held at the Hotel Sol de Oro on 2 September in Lima, Peru.",
"• “Visión de futuro de la integración latinoamericana”, presented at the Second Conference of Magistrates from the Andean Community and the Southern Common Market (MERCOSUR), held in Cartagena de Indias, Colombia, from 6 to 8 September 2010.",
"• Volume 1 of the series “Sendero suramericano del siglo 21”, “El ABC del derecho para la integración, el surco de la neo-integración”, 2010.",
"Distinctions and important achievements",
"• Graduated second in the class from primary school and received a full scholarship to study at the Salesian Technical High School.",
"• Awarded scholarships for outstanding low-income students at the Cuenca Salesian Technical High School.",
"• Graduated with a high school degree, with distinction.",
"• At age 12, was selected to be a mathematics teacher, and starting at age 18, was a mathematics and physics teacher at the following high schools: Santo Tomás Apóstol (Riobamba), Rosa de Jesús Cordero (Catalinas-Cuenca), Salesian Technical (Cuenca) and Manuela Garaicoa de Calderón (Cuenca).",
"• At age 18, spent a year as a Salesian Volunteer to build, along with other dreamers, like the late Father Antonio Amador (at the time an aspiring priest) and Pablo Ponce, the current councillor of Quito, among others, the Don Bosco Oratory in Riobamba, a youth help centre for low-income children, to provide a healthy weekend recreation facility. (In the Salesian Volunteer programme, young people devote a year of their lives to serving society.)",
"• President of the Association of the School of Business Administration, University of Cuenca (without being affiliated with any political party or group).",
"• Member of the Honourable Board of Directors of the Department of Economics of the University of Cuenca, for three sessions (without being affiliated with any political party or group).",
"• Member of the Honourable University Council of the University of Cuenca, representing the Department of Economics (without being affiliated with any political party or group).",
"• Graduated with a bachelor’s degree in political and social sciences, with distinction.",
"• Undergraduate thesis recommended for publication by the University panel.",
"• Passed the competitive examination for Senior Lecturer in the Department of Economics at the University of Cuenca, for all law courses offered by the Department (Organic Law on Financial Administration and Control and labour, corporate, trade and tax law).",
"• Graduated with distinction as a commercial engineer.",
"• Nominated by the People’s Assembly of Azuay to the Supreme Electoral Court after the fall of Abdalá Bucaram.",
"• Graduation with distinction; earned a Master’s Degree in Administrative Law.",
"• Managed the company that built the best landfill in Ecuador, which earned it international and national recognition for its environmental and financial sustainability. The company was awarded the first environmental licence and implemented ISO 14000 and OSHAS 18000 regulations at the landfill, the only one of its kind in Latin America.",
"• Selected as a presenter and speaker on the successful experience of Cuenca for the International Conference of Public and Private Institutions for the exchange of best practices in solid waste treatment and disposal and recycling projects, San José, Costa Rica, 21 to 28 March 2004.",
"• President of student candidates for the Masters of Business Administration (MBA) programme at the National Polytechnic School (EPN).",
"• President of student candidates for the Master of Economics programme and student representative of the programme on the Academic Council of the University of Cuenca.",
"• Promoter and founder of the “Recycling Solidarity Programme”, dedicated to helping the country’s neediest people.",
"• On 31 August 2005, by unanimous decision of the member countries of the Andean Community (Bolivia, Colombia, Ecuador, Peru and Venezuela), appointed Chief Justice for Ecuador to the Court of Justice of the Andean Community.",
"• Unanimously elected President of the Court of Justice of the Andean Community (January 2008 to January 2009).",
"• Named Honorary Academician of the National Academy of Legal Sciences of Bolivia, a title granted on an exceptional basis to foreigners who have distinguished themselves in certain branches of law, in recognition of expertise in the field of international law, Community law and regional integration law.",
"• Unanimously elected General Coordinator of the Ibero-American Intellectual Property Association (AIPI), which is made up of 15 Ibero-American countries.",
"• Appointed to serve on the Advisory and Budget Council of the Latin American Network of Judges (REDLAJ) (though not one of the founding members).",
"• Merits-based appointment as Professor of Graduate Studies in Regional Integration Law for the Distance Learning Programme of the Private Technical University of Loja (UTPL).",
"• Graduated with distinction (9.55/10) from Simón Bolivar Andean University doctoral programme in law (PhD)."
] | A_66_90_ADD.2 | [
"Sixty-sixth session",
"∗ A/63/250.",
"Item 114 (b) of the provisional agenda",
"Elections to fill vacancies in subsidiary organs and other elections",
"Election of members of the International Law Commission",
"Note by the Secretariat",
"Addendum",
"Contents",
"Introduction 2",
"Introduction",
"In accordance with article 5 of the statute of the International Law Commission, Ecuador submitted a curriculum vitae of the candidate and replaced the nomination of Mr. Marsilo Bázquez-Bemén. The curricula vitae of candidates are set out in section II below.",
"Biographical information on candidates",
"Carlos Osvaldo Salgato Espinosa",
"[Original: Spanish]",
"Nationality: Ecuador.",
"National, provincial and municipal: Ecuador - Psychia-Kordo.",
"Training:",
"Political Science.",
"Lawyers of the Republic of Ecuador.",
"Business management engineers.",
"ASA mediator.",
"Arbitral arbitrators of ASAMU.",
"High diplomas in environmental management, sub-phase subjects: natural environmental protection.",
"The press is registered in French vouchers.",
"Industrial property vouchers.",
"Master of Administrative Law.",
"Doctor of Law.",
"Dr. Andiana Simón Bolivarian University of Law, doctoral paper: “The National Union of South American States may apply to the judiciary”.",
"Other research institutes study:",
"Laws:",
"Administrative law, University of Ausai; Public Registration Act, Argentina, Ber Grano University; Cuba, Havana University; Industrial Property, Argentina, Buenos Aires; International Law and Diplomatic and International Relations, Spain, School of the European Institute for Europe.",
"Enterprise management:",
"Master of Business Management at the National Institute of Science and Technology.",
"Economics:",
"Master of Economy at the University of Kukka.",
"Environment:",
"Environmental management diplomas at the University of Assoai and at the University of Alictro.",
"Project:",
"Inter-American Development Bank and the National Institute of Science and Technology, project development, evaluation and management of international certificates; National Institute of Science and Technology, expert certificates.",
"Education:",
"Spain, University of Madrid, Master of Project Management and Research.",
"Professional and academic curricula vitae:",
"founding members of the Latin American Judicial School, 15 April 2011.",
"CSCO Manager, Sargato Espinosa Partnership Adviser, National and International Advisers, 15 January 2011.",
"Judges of the Andean Community Court, 2005-14 January 2011.",
"President of the Andean Community, January 2008 to January 2009.",
"Honours of the National Institute of Law of Bolivia.",
"AusAID investigators and arbitrators, 2002-2005.",
"Members of the Judicial Committee of Latin America.",
"General Coordinator of the Ibero-American Association of Intellectual Property.",
"Member of the Latin American Council of Judges' Network Advisory and Finance.",
"Director-General, Latin American Centre for Social Investigation, 21st Century.",
"Professor of the University Integration Act (universal and research institutes):",
"• Loha Special University of Technology, distance education (2008-March 2011);",
"• University of the Americas (2009-March 2011.",
"The following subjects are taught at the University of Kinca (since 1989):",
"• Labour law;",
"• Tax law;",
"• Companies law;",
"• Trade law;",
"• Financial management and control of the Organic Law;",
"• Ecuador's public sector manager and accounting regulations;",
"• Economic law.",
"The project was recycled by members of the Programme of Solidarity for Environmental Solidarity, which was conceived during the Mayor of the Architects Fernando Coldro Quwa.",
"Members of the Board of Trustees of the University of Kukka (on behalf of the Economic Academy); members of the Council for Academic Planning, representing the social sphere (Economic, philosophical, Law School).",
"CSCO Corporate Manager, Legal Counsel, accounting, administrative staff, financial personnel and economic personnel, from 1989 to 2005.",
"Curca and ASai Professional Association Council: Civil Engineer, Business Manager, Economist.",
"Multi-commercial Legal Adviser in the Assoai Community.",
"The first manager of the Kca Metropolitan Corporation, implementing ISO 14000 and OHSAS 18000 in Ecuador's first garbage, was granted environmental licences by the Ministry of the Environment, which was the only ISO 14001 licence in Latin America from 1999 to 2005.",
"General Manager of the Road Construction Corporation.",
"Mathematic and physical teachers in the following schools: Salales Ano Technical School, Rosa de Herss Cordro (Katanias) School and Manuela Kardron Garaiia School.",
"Publications: 24 publications and papers",
"• “The responsibility for financial management and control of the Organic Law”, University of Kca, 1995.",
"• “The Public Sector Manager and the Accounting Management Regulations of Ecuador”, University of Kka, 1995.",
"• “Judicial Jurisprication Bill”, Public Administration, 1994-2000, has no effect on certain administrative regulations enacted in 2003 on the jurisdiction of the Court of Ankara Administrative Procedure.",
"• “The Andean Community Court, the judiciary”, the first International Conference on International Law, held in Yaounción in September 2007.",
"• “Integrate law: some reflections on its implementation and monitoring”, the first World Conference of International and Regional Courts, held in Nicaragua on 4 and 5 October 2007.",
"• “Several reflections at the 5th Meeting of the Supreme Court of the South Common Market and Associated Countries”, held in Brasilia on 8 and 9 November 2007.",
"• “The experience of the Andean Community Court”, Meeting of High-level Authorities of the National Union of South America (held in Santiago, Chile, 26 November 2007).",
"• “The industrial property rights system of the Andean Community is well known as trademarks”, the first International Conference on Intellectual Property, held in Cancerra, Mexico, from 26 to 29 February 2008.",
"• “Option of the Andean Community”, in connection with the enterprise sector of Ecuador (a intensive training course in Guayaquil on 6 and 7 March 2008).",
"• “The settlement of disputes by the Andean Community as a mechanism for legal security and protection of citizens”, held a subregional working meeting on the use of environmental justice in Lima, Peru, on 13 and 14 March 2008 to improve the use of environmental justice in Latin America.",
"• “The Andean Court of Justice, Maiward to the Community: Management and Implementation Indicators”, held an annual event report of the Andean Community in Bogotá, Colombia, on 25 March 2008.",
"• “The Common Market of the South and the Constitutional Framework of the Andean Community — current challenges”, 5-6 May 2008, Montevideo, Uruguay.",
"• “The role of national judges in the implementation of the law of the Community”, meeting of the Academy of Law of the Andean Community, a course of legal research for the Andean Community (held in Lima, 9 and 10 June 2008).",
"• “Integration Law”, Corporate Law Master's Studies Guide, published by the Lha Special University of Technology, 2008.",
"• “The future prospects for the dispute settlement system of the South American National Union, the Andean Community's Common Market Integration option”, and the Network of Latin American Judges invited Ibero-American judges to participate in the videoconferencing (12 December 2008), within the framework of “Cooperation and digital justice”.",
"• “Central intensive training course on the law of the Community and the Andean dispute resolution regime”, organized for government officials, managers, judicial promoters and judges (Kordo, 9 February 2009).",
"• “The Andean law and border integration and transport”, held in Tourc on 13 and 14 April 2009.",
"• “The knowledge society and human rights: future prospects for the Latin American Integration Process”, Third Meeting of Ibero-American Judicial Cooperation, held in Favalai, Brazil, from 23 to 28 November 2009.",
"• “The basis of the Act on Integration and Community Law”, University of the Americas, Benchin Guide, 2009.",
"• “Integrated Law”, A Guide to Postgraduates in Intellectual Property, University of the Americas, 2010.",
"• “The import and export of services within the context of the Andean and Latin American Integration concept”, the National Tax Manager and the Peruvian Institute for Customs Management held an international seminar at the headquarters of Peru, LimaSUNAT (1 September 2010).",
"• “The import and export of the Andean Integration-Commercial Services”, Seventh National Legal Conference of the National Bureau of Law, the Customs Management Institute and the Peruvian Customs Administration-SUNAT (held in Lima Hotal Sol de Oro, Peru, on 2 September). Contents",
"• “The future prospects for integration in Latin America”, the second meeting of the Andean Community and Common Market Judges in Cartagena, Colombia, from 6 to 8 September 2010.",
"• Volume 1 of the “Integration Law”, “The South American Routes 21st Century”, “Integration”, 2010”.",
"Honours and important achievements:",
"• The second primary school graduate, with full scholarships available at the Salz technical high level.",
"• Scholarships are available at the Scholarship of Queensals technology, but scholarships are reserved for other families.",
"• Secondary graduation (excellence of performance).",
"• The 12-year-old Mathematical and Physical Teaching at the following high-level high-level and physical teachers: St. Thomas (Li Obanbba), Rosa de Hes Sulz Kedro (Kinca, Cartalines), Saales Ano Technical School (Kinca), Manuela Gaai Cardron (Kinca).",
"• The 18-year-olds participated in the Sales voluntary mission (to contribute to a year-long spring to society), together with other dreams (e.g., the late Antonio Amaor, who then was a promising paternity), to promote the current Quito, Bbravro Ponoel Council and others, and to establish the Boscoe Centre (Youth Centre, to help children living in poverty and to provide recreational activities on weekend health).",
"• The President of the Association of Business Management College at the University of Kukka (no political party or group).",
"• Members of the Economic Academy of the University of Kukka for a three-year term (without any political party or group).",
"• The School of Economics at the University of Kukka participates in the Board of Governors of the University (without any political party or group).",
"• Political and socio-economic science cadets (prevalence of performance).",
"• The University Parliament recommended that the paper be published.",
"• The Economic Academy is teaching the examination and depth and can serve as the subject of the Faculty of Law at the University of Kukka (Financial Management and Control Organization Act, Labour Code, Corporate Law, Commercial Law and Tax Law).",
"• The graduate of commercial management engineers (performance).",
"• After the Al-Afdra Bukaam, the ASPA recommended participation in the Supreme Electoral Court.",
"• Master of Administrative Law (LM).",
"• The construction of Ecuador's best garbage manager, which has earned national and international expressions (environment and financial sustainability), and has been licensed for the first implementation of ISO 14000 and OSHAS 18000 landfills, which is only in Latin America.",
"• The successful experience of the Ecuador-Kinkka was chosen at the successful experience of the International Public Institutions and private institutions held in Costa Rica, San José, from 21 to 28 March 2004.",
"• President of the National Institute of Science and Technology for Business Management.",
"• The President of the Faculty of Economics at the University of Kukka and represent students in the academic council.",
"• Promote and build “recovery” programmes to help the poor in Ecuador.",
"• On 31 August 2005, the full-time representatives of the Andean Community (Bolivia, Colombia, Ecuador, Peru and Venezuela) unanimously appointed as the Chief Justice of the Andean Community Court of Ecuador.",
"• A unanimously elected President of the Andean Community (January 2008).",
"• The Honours of the National Institute of Law of Bolivia were nominated, an honour granted, on an exceptional basis, to foreigners who had a reputation in certain areas of law, and to recognize academic knowledge in the field of international law, the Community Act and the Integration Act.",
"• Elected as the General Coordinator of the Ibero-American Association of Intellectual Property, including 15 States of the Ibero-American States.",
"• The appointment of a member of the Latin American Council for Training and Finance, even one of the founding members of the Network.",
"• Individual performance is taught by the University's Institute of Integration Law: Loha Special University of Technology, distance education.",
"• Dr. Andina Simón Bolivarian University of Legal Sciences (Leal performance was high and 9.55 per cent)."
] |
[
"第六十六届会议",
"临时议程[1] 项目134和143",
"2012-2013两年期拟议方案预算",
"联合国内部司法",
"联合国内部司法",
"秘书长的报告",
"摘要",
"大会第61/261号、62/228号和63/253号决议决定建立一个独立、透明、专业化、资源充足、权力分散的联合国司法系统，该系统于2009年7月1日开始运作。",
"秘书长对大会在第65/251号决议中积极肯定新系统的落实感到满意；大会在决议中注意到新系统自建立以来取得的成绩，包括处理新旧案件方面的改善，并赞扬所有参与管理先前的系统向新系统过渡或落实新系统的人的工作。",
"大会还确认新的内部司法系统将不断演变，指出有必要认真监测其进展以确保该系统一直符合设立新内部司法系统的决议中规定的指导原则，即该系统必须独立、透明、专业化、资源充足、权力分散；确保该系统符合国际法有关规则及法治原则和正当程序，以便确保工作人员的权利和义务得到尊重，对管理人员和工作人员都实行问责制。",
"秘书长在本报告中介绍了2010年7月1日至2011年5月31日本报告所述期间新内部司法系统取得的成绩。该正式系统各阶段的案件处理情况继续显示效率显著提高。2010年7月1日至2011年5月31日期间，管理评价股收到390起要求进行审查的申请，已了结或解决281起。同期，工作人员法律援助办公室负责的850多个案件中，将近三分之一得到解决。2010年7月1日至2011年5月31日，在联合国争议法庭代表秘书长的各办公室处理的案件中，195个案件已有判决；法律事务厅处理的案件中，90个案件已由联合国上诉法庭做出判决。",
"但该系统的成功和服务于该系统的各办公室的效率导致这些办公室和部门的财务及人力资源极其紧张。正如秘书长在提交给大会第六十五届会议的关于内部司法的报告(A/65/373 和Corr.1)中指出，必须大力加强一些关键领域，以保持目前的工作节奏，继续落实大会赋予新司法系统的所有任务。",
"大会第65/251号决议请秘书长提供关于新系统运作和相关事项的数据和信息。本报告对这些要求一并作出回应。",
"此外，考虑到迄今取得的经验，本报告请求在2012-2013两年期拟议方案预算第1、8、19、29A、29C、29D、29E、29G和37款下增拨资源8 657 900美元(重计费用前)。",
"目录",
"页次\n1.概览 4\n2.正式内部司法系统回顾 4\nA.管理评价股 4\nB.联合国争议法庭 7\nC.联合国上诉法庭 13\nD.工作人员法律援助办公室 15\nE.执行主任办公室 18\nF.代表秘书长担任答辩人的法律办公室 20\n3.对与内部司法有关问题的回复 34\nA.概览 34\nB.回复 34\n4.与大会审查两法庭规约有关的问题 43\nA.导言 43\nB.两法庭的程序规则 43\nC.联合国争议法庭对独立实体与履行其任务有关的行为和不行为的管辖权 46\n5.所需资源 51\n6.结论以及有待大会采取的行动 53 \n 附件 \n1.为工作人员法律援助办公室供资的工作人员出资机制建议 54\n2.关于编外人员申诉机制的提案 59\n3.管理评价股、联合国争议法庭和联合国上诉法庭裁定的赔偿 67",
"一. 概览",
"1. 大会通过第61/261、62/228和63/253号决议设立了新的内部司法系统。该系统有两个法庭，即联合国争议法庭和联合国上诉法庭，配备专业法官，由日内瓦、内罗毕和纽约的书记官处提供支持。大会认为，应向工作人员提供法律援助。据此，新系统还包括工作人员法律援助办公室，在亚的斯亚贝巴、贝鲁特、日内瓦、内罗毕和纽约配备专业法律干事。为了确保该系统保持独立，由内部司法办公室负责管理正式系统的各部门，向两法庭、书记官处和工作人员法律援助办公室以及内部司法理事会提供行政、业务和技术支持。",
"2. 管理评价是正式内部司法系统中强制性的第一步，由管理事务部和单独经管的基金和方案进行。管理事务部的管理评价股配备专业法律干事，首先对有争议的决定进行审查。设立该股，是为了给管理层一个纠正不当决定的机会，或者对于所做决定存在缺陷的情况采取可接受的补救办法，以减少进入正式诉讼的案件数目。各基金和方案也有类似机制。",
"3. 除案件数目增加外，由于该系统的加强和专业化，代表答辩方秘书长的各办公室和各部门需要大大提高速度，大大增加服务。",
"4. 新系统在处理旧系统各部门移交的大量案件方面继续取得进展。为防止积压的案件给新系统造成过大的压力，大会为联合国争议法庭任命了三位审案法官，并任命司法人员支持法官的工作。",
"二. 正式内部司法系统回顾",
"A. 管理评价股[2]",
"5. 管理评价股设在主管管理事务副秘书长办公室内，是正式内部司法系统的第一步。该股的核心职能是：(a) 对与雇用合同或任用条件相关的有争议的行政决定快速进行管理评价；(b) 协助主管管理事务副秘书长就评价结果向请求进行管理评价的工作人员提供迅速、合理的答复；(c) 协助副秘书长通过确保管理人员履行管理本组织人力和财政资源的职责，确保管理人员的问责制。",
"6. 管理评价股自2009年7月1日成立到2011年5月31日为止，受理了823个案件，其中2009年184个，2010年427个，2011年212个。在受理的823个案件中，该股完成并了结665个。截至2011年5月31日，该股在18个案件中提出赔偿建议，赔偿总金额为183 339.44美元。本报告附件三载有该项金额的细目。",
"7. 管理评价程序使行政当局有机会防止在争议法庭进行不必要的诉讼，给本组织节省了大量费用。该股2010年受理并了结的案件中，约36%通过该股、监察员办公室以非正式方式解决或通过行政当局与工作人员之间的双边谈判解决。",
"8. 在管理评价股确定所作决定符合本组织规则和判例后，秘书长在提交给该股但未以非正式方式解决的大约84%的案件中维持了有争议的决定。",
"9. 遵照大会关于设立具有透明度等特点的司法系统(第61/261号决议第4段)的决定，在建议维持有争议的行政决定的情况下，管理评价股要向有关工作人员发出合理的书面答复，说明管理评价的依据，包括案件事实、决策者的案件评论摘要、适用的规则和本组织判例，并说明为什么该股认为有争议的决定符合适用的规则和判例以及秘书长的最终决定。各基金和方案在其管理评价程序中遵循类似的方法。",
"10. 管理评价程序结束后，工作人员有将案件提交争议法庭审理的法定权利(大会第62/228号决议第51段)。管理评价股认为，如果工作人员发现管理评价程序公正、客观且准确，那些因认为行政决策程序缺乏透明度而诉诸正式系统的工作人员则更有可能决定不在争议法庭行使其法定申诉权。该股还认为，完成管理评价程序后给工作人员提供合理书面答复是建立新内部司法系统公信力，尤其是管理评价程序公信力的重要手段。各基金和方案也认同这一观点。",
"11. 为确定收到维持有争议的行政决定的管理评价后有多少工作人员向争议法庭提起申诉，管理评价股正在与内部司法办公室合作，落实一个跟踪机制。",
"12. 截至2010年12月31日，在管理评价程序后交由争议法庭审理的案件中，83%的案件的判决与管理评价股所提建议一致。一些有待上诉法庭裁决的关键法律问题尚存，而且管理评价股的实况调查能力有限。尽管如此，两者意见的相似度具有启发意义，可认为显示该股的公正性、客观性和准确性。",
"13. 在协助主管管理事务副秘书长确保管理问责制的过程中，管理评价股定期审查案件数目以识别案件趋势和系统性问题，在其报告中予以说明。该股还在汇编分发给各办公室和部门负责人的《管理人员经验教训指南》和《指导说明》的工作中，为副秘书长提供文秘支持。《管理人员经验教训指南》回顾争议法庭和上诉法庭判例，审视两个法庭解释及适用本组织内部规则的方式。2010年，副秘书长分发了两卷《管理人员经验教训指南》。2011年4月，副秘书长分发了《指导说明》，预计2011年下半年将再分发一卷《管理人员经验教训指南》。",
"法定时限",
"14. 管理评价的请求提出后，总部的管理评价必须在30个历日内完成，总部以外办事处在45个历日内完成(大会第62/228 号决议，第54段)。依照秘书长所定条件，提交给监察员办公室的案件可延长截止日期。",
"15. 行政和预算问题咨询委员会报告(A/65/557,第16段)指出，应该在工作人员诉诸司法程序前尽全力解决这些案件；管理评价职能是处理错误行政决定、避免诉诸司法的一个重要机会。",
"16. 按照行政和预算问题咨询委员会的指示，如果管理评价股断定有争议的决定不符合本组织内部规则，而且主管管理事务副秘书长批准进行非正式解决，管理评价股将帮助双方之间直接解决。该股的经验是，非正式解决需要双方进行大量协商，所需时间通常比为管理评价规定的法定时限长。但是，规章中没有规定允许秘书长在案件所涉各方同意的情况下中止管理评价程序。各基金和方案认同这一观点，但指出它们已在双方同意的情况下成功做到这一点。",
"17. 同样，有时工作人员提交要求进行管理评价的申请后，又主动或应管理评价股要求提交了补充材料。在这样的案件中，规章中也没有规定可延长管理评价完成时限。",
"18. 管理评价股认为，严格遵守法定时限可使工作人员收到不全面或不准确的管理评价，从而导致不必要地诉诸争议法庭。为避免出现这种结果，该股的现行做法是：为促进案件的非正式解决，或在为妥善完成管理评价程序而需要工作人员和(或)行政当局提交补充资料的情况下，请工作人员同意延长时限。该股认为，在相关法定时限内了结案件或在工作人员同意的时限内了结案件都是及时审结案件；工作人员同意延长时限的目的是促进案件的非正式解决或获取必要的额外资料以确保管理评价全面。各基金和方案赞同这一观点，指出它们迄今为止成功地遵守了所有案件的法定期限。",
"19. 管理评价股的人员编制中有1名对主管管理事务副秘书长办公室主任负责的股长(P-5)、2名法律干事(P-4)、1名法律干事(P-4)(一般临时人员)和3名法律助理(一般事务(其他职等))。但是，该股目前的人力资源不足以应付该股的任务，该股自2010年2月以来，不得不动用可酌情支配的有限预算资金来临时增补一个法律干事员额。",
"20. 管理评价股认为，近两年运作期间受理的案件量证明有必要增加第三个P-3职等法律干事员额。这些数字表明新内部司法系统的用户量已超过先前系统。此外，依据案件量收集的数据，该股预计2011年受理的案件量至少等于2010年的数字(约427件)。",
"21. 管理评价股注意到，在2009年受理的184个案件中，第四季度提交的案件数与第三季度相比下降了23%。该股注意到，在2010年提交的427个案件中，前两个季度提交的案件稳步增加，之后，第三和第四季度提交的案件都减少。该股注意到2010年提交的案件中，57%是2010年1月1日至6月30日期间提交的，43%是7月1日至12月31日提交的，2010年10月1日至12月31日期间的提交的案件大幅减少。最后，该股指出，与2010年7月1日至12月31日提交的案件数相比，2011年1月1日至5月31日期间提交的案件数增加。该股在2010年下半年受理了183个案件而2011年前五个月已受理212个案件，等于2010年前五个月受理的案件数。",
"22. 管理评价股认为，2009年和2010年最后一个季度提交的案件数减少以及2010年和2011年前两个季度的案件数上升可能表明一种新的周期性变化。但预计2009年7月1日至2010年6月30日受理的案件总数等于2010年7月1日至2011年6月30日受理的案件数(约427件)。",
"23. 如上所述，及时、理由充分的管理评价对圆满完成管理评价股的任务至关重要。由于2010年2月以来利用可酌情支配的经费增加了一个临时法律干事员额，该股完成了其任务。此外，以上数字表明，该股之所以能够利用现有人员配置完成任务是因为工作人员一直在超时工作，推迟休年假或未休年假。",
"24. 因此，管理评价股认为此种情况下增设一个法律干事(P-3)员额的请求是保守的，因为新增一个法律干事无法完全弥补完成该股任务每年所需人/时(1 828)与秘书处工作人员每年通常需要工作的人/时(1 463)之间的差距。",
"25. 鉴于上述原因，秘书长建议增设一个P-3职等法律干事，以加强管理评价股。",
"B. 联合国争议法庭",
"1. 联合国争议法庭的组成",
"26. 2009年3月2日，大会选出争议法庭的三名专职法官和两名半职法官。随后大会选出三名审案法官，任期一年，以协助处理旧系统移交的积压案件。编写本报告时，争议法庭的组成如下：",
"(a) 维诺德·布莱尔法官(毛里求斯)，内罗毕专职法官；",
"(b) 梅姆达·易卜拉欣-卡斯滕斯法官(博茨瓦纳)，纽约专职法官；",
"(c) 托马斯·拉克法官(德国)，日内瓦专职法官；",
"(d) 古拉姆·胡森·卡迪尔·米兰法官(大不列颠及北爱尔兰联合王国)，半职法官；",
"(e) 科拉尔·肖法官(新西兰)，半职法官；",
"(f) 让-弗朗索瓦·库桑法官(法国)，日内瓦审案法官；",
"(g) 恩肯迪利姆·阿梅莉亚·伊祖阿科法官(尼日利亚)，内罗毕审案法官；",
"(h) 玛里琳·卡曼法官(美利坚合众国)，纽约审案法官。[3]",
"27. 大会第六十五届会议决定3名审案法官和其辅助人员的任期再延长6个月，直至2011年12月31日为止(见第 65/251号决议)。",
"2. 选举庭长",
"28. 2010年6月28日至7月2日在内罗毕举行的全会上，托马斯·拉克法官当选为庭长，2010年7月1日至2011年6月30日任期一年。",
"3. 全体会议",
"29. 自2010年7月1日起，法庭法官举行了两次全体会议(2010年12月13日至17日于日内瓦以及2011年6月27日至7月1日于纽约)。",
"4. 联合国争议法庭的一般活动",
"30. 2010年7月1日至2011年5月31日期间，争议法庭共受理了170个新案件。截至2011年5月31日，254个案件待决。",
"31. 本报告所述期间受理的170个案件中，108个案件来自秘书处(维持和平特派团和政治特派团除外)，包括区域委员会、总部以外办事处、卢旺达问题国际刑事法庭、前南斯拉夫问题国际法庭和各部及办公室；19个案件来自维持和平特派团和政治特派团；43个案件来自联合国难民事务高级专员办事处(难民署)、联合国开发计划署(开发署)、联合国儿童基金会(儿基会)等机构。",
"5. 先前系统移交给联合国争议法庭的案件",
"32. 2009年7月1日，日内瓦、内罗毕、纽约和维也纳的联合申诉委员会和联合纪律委员会撤消后，这些实体待处理的169个案件移交给争议法庭：61个案件移交给日内瓦书记官处；55个案件移交给内罗毕书记官处；53个案件移交给纽约书记官处。2010年7月1日至2011年5月31日，其中29个案件已予处理。",
"33. 2010年1月1日，联合国行政法庭将143个案件移交给争议法庭。这些案件在争议法庭书记官处的分配情况如下：日内瓦51个、内罗毕40个，纽约52个。2010年7月1日至2011年5月31日，其中76个案件已予处理。",
"34. 截至2011年5月31日，65个从先前系统移交的案件待决：联合申诉委员会和联合纪律委员会的案件10个，联合国行政法庭案件55个。",
"6. 判决、命令和听讯数目",
"35. 2010年7月1日至2011年5月31日期间，争议法庭发布了195项判决、638项命令，举行了229次听讯。",
"7. 提交调解司的案件",
"36. 在2010年7月1日至2011年5月31日期间，争议法庭确定13个案件适合调解，将其提交监察员办公室调解司处理。编写本报告时，其中的6个案件已成功进行调解。",
"8. 争议法庭所受理案件的标的物",
"37. 本报告所述期间，争议法庭受理的案件的性质可分为六大类：(a) 与任用有关的事项；(b) 福利和应享权利；(c) 叙级；(d) 纪律事项；(e) 离职；(f) 其他。",
"38. 在本报告所述期间受理的170个案件中，56个与任用有关；19个与福利和应享权利有关；2个与叙级有关；33个与纪律事项有关；28个与离职有关；32个与其他事项有关。",
"9. 与争议法庭及其书记官处人员配置有关的问题",
"39. 如上文详述，争议法庭的工作量很大，迅速完成工作的需要给法庭法官和工作人员造成极大负担。任命三名审案法官并延长其任期，使争议法庭在处理先前系统遗留的积压案件方面取得显著进展。但是，从提出的新案件情况看，如果到2011年底取消审案法官的职位，使司法能力接近减半，案件显然很快就会又积压起来。这将使先前系统中饱受批评的缺陷——延误，成为新系统每天要面对的事实。",
"40. 法庭设置特意分散，确保申请人更易于利用司法手段。为维持这种便利性，争议法庭的每个地点都依旧保持两名专职法官至关重要。如果某地仅有一名法官，而该法官因休假、生病或辞职等缺席，导致该地点不得不停止运作，那么设置分散的法庭就完全失去了意义。同样，在某地法官须回避的情况下，案件自然需要被移交至远离申请人的另一地点。只有每一法庭地点至少有两名法官，才能有效设立法官三人合议庭。此外，规章中规定，暂停执行的申请须在5天内处理，而仅由一名法官来处理几乎是不可能的，这样做势必影响对实质性申请的处理工作。最后，指导法庭和书记官处工作的争议法庭庭长在其任职期间要依靠工作地点的其他法官及其支持来维持案件的审理速度。",
"41. 争议法庭法官的工作不仅限于作出判决。本节中提及的其他必要职能表明每一工作地点的第二名专职法官是绝对必要的。争议法庭法官密切监察所有案件从接到申请到最终判决的进展情况。此种监察可包括：(a) 举行案件管理听讯会；(b) 就预审请求作出裁决；(c) 发布听讯前命令。此外，法官必须在5天的法定时限内审理暂停执行申请。为方便行政工作，每个地点(日内瓦、内罗毕和纽约)的法官定期与书记官处工作人员举行会议，以确保定期、及时地处理案件。他们还通过视频会议的方式举行双周会议，使法官之间可更好地沟通，并就统一三个书记官处的做法作出重要决定。法官还负责起草《程序规则》；法庭已向大会提交修正《程序规则》的建议。此外，法官还负责发布《程序指引》，以便案件当事方了解法庭希望其遵守的程序。鉴于迄今为止争议法庭日历中还没有司法休庭，法庭除履行裁定案情实质并发布判决等核心司法职能外还要额外履行上述所有职责。",
"42. 在运转两年后，法庭仍处于“起步”阶段。鉴于法官的法律背景不同，为确保法庭成为一个有利于本组织及其工作人员的统一的司法机构，确保其判例连贯一致，法庭需有保持法官和辅助人员的连续性。",
"43. 因此，建议大会为联合国争议法庭各地点任命第二名专职法官。这些法官还必须得到法律干事和行政人员的必要支持。所以，秘书长建议将P-3 级法律干事(日内瓦、内罗毕和纽约各1名)和法律助理(日内瓦1名，一般事务(其他职等)、纽约1名，一般事务(其他职等)和内罗毕1名，一般事务(当地雇员))员额正规化。",
"44. 此外，纽约书记官处的人员配置不合常规。日内瓦和内罗毕书记官处的人员配置分别是一名书记官长(P-5)以及P-4和P-3职等法律干事，而纽约书记官处的人员配置是一名书记官长(P-5)以及P-4和P-2职等的法律干事。这种差异没有任何业务依据；事实上，如果纽约书记官处的第二名法律干事为更高的P-3级，纽约书记官处将大大受益。因此，建议将纽约的P-2职等法律干事员额改叙为P-3级员额。",
"10. 人员配置以外的问题",
"a. 审判室",
"45. 由于新系统必须具备专业性，而且鉴于规定法庭的听讯一般来说将对公众开放，法庭在各地点必须具有专业法庭应有的设施，规模应足以容纳公众旁听。",
"46. 法庭三个地点的房地已予提供，但建造永久性审判室方面的问题仍有待解决。",
"47. 在纽约，由于实施基本建设总计划，临时审判室设在内部司法办公室的临时房地。该审判室已可使用，但作为特设的临时场地，无法进行同声传译。在规划阶段已适当考虑确保基本建设总计划完成后尽量拆除临时场地的设备和家具，将其安装在法庭的永久性房地。但基本建设总规划完成后为纽约争议法庭设一个永久性审判室的安排尚未作出。在日内瓦，审判室已有一个永久场地，但如不增建，无法在此提供口译服务。内罗毕正在建造一个专门的永久性审判室。但是，内部司法办公室2010-2011年的预算未安排审判室建造和配置的经费。审判室建造和配置的经费被列入2012-2013年预算第34款。",
"b. 差旅和通信",
"48. 大会第65/251号决议重申，新系统的另一重要任务是权力分散。争议法庭及其书记官处位于日内瓦、内罗毕和纽约。法庭为世界各地工作地点的工作人员服务，每个地点覆盖的地域很广。法庭这种分散化运作的方式能否成功，很大程度上取决于法庭及其各书记官处是否有能力彼此沟通并与法庭所审理案件的当事方和证人沟通。",
"49. 争议法庭举行听讯时，参加者能够充分参与诉讼程序，法官能够评估出庭证人的举止十分重要。而为这两个目的经常旅行，费用会极为昂贵，因此设想这些活动主要将通过视频会议进行。但是，视频会议的相关费用也很高。目前为通信编列的经费不足，法庭无法有效利用视频会议。此外，必须确保以如实反映各方和司法机构意见的方式记录口头听讯，使诉讼程序得到准确记录，以便记录可被誊写，用于随后可能提起的上诉程序。因此，秘书长建议在通信这一细列项目下增加内部司法办公室经费25 000美元，用于支付利用视频举行口头听讯和情况会商以及联合国争议法庭法官和书记官长双周会议的费用，以便确保口头听讯的记录质量和可靠性，必要时可予誊写，用于随后对判决的上诉程序。",
"50. 依照《规约》，争议法庭如认为当事方或证人的亲自出席对诉讼至关重要，可命令其亲自出庭。此外，有时由于视频连接质量不佳或不可靠以及口译员无法凭借电话连接有效进行口译，在内罗毕无法举行听讯。在非洲的工作地点发生的案件中这种情况尤其多。虽然预计此类情况不经常发生，但争议法庭运作的头两年出现了这种情况，而且预计仍将继续出现。",
"51. 而且，法官和书记官长必须不时见面讨论共同的问题并对这些问题采取统一对策。此外，维持一个专业化系统一个至关重要的方面是，向法官和法律工作人员提供培训机会，以强化其法律技能并使其参加司法界同行间的学术讨论。目前的预算没有考虑到争议法庭法官和书记官长举行全体会议的问题。另外，法官和书记官处法律工作人员经常接到参加法律研讨会的邀请，但由于公务旅行方面的预算严重短缺而无法参加。这严重影响其强化技能、与同行互动和交流知识的能力。因此，秘书长建议内部司法办公室的差旅预算增加155 000美元。",
"c. 处理对法官投诉的机制",
"52. 与争议法庭运行有关的一个问题也会影响到上诉法庭，那就是缺少一个处理对两法庭法官提出投诉的机制。对法官的有效投诉将直接影响到新的内部司法系统的独立性、专业性和问责制。但是，目前没有任何一个实体或机构被授权进行必要的事实调查、就投诉的有效性作出裁定、施加处罚或向大会提出处罚建议。",
"53. 内部司法理事会在向大会第六十五届会议提交的报告中对于没有处理对法官的投诉的任何机制表示关切，并表明它认为这是一个需要迫切关注的问题(见A/65/304，第40段)。",
"54. 秘书长了解到，内部司法理事会打算在其向大会第六十六届会议提交的报告中提出一项关于处理对两法庭法官投诉的建议。由于目前没有实行任何机制，作为在就一个常设机制作出决定前的一项临时措施，大会不妨授权该理事会调查对法官提出的投诉，包括已提出的投诉，并就这些投诉向大会提出报告和建议，供大会采取它可能认为适当的任何行动。",
"55. 关于一个可能的常设机制，秘书长在他先前报告(A/63/314，第73至第79段)就此问题所提初步意见的基础上，进一步就一个处理对两法庭法官投诉的机制提出了下述建议。",
"56. 当关于一名法官行为失检或无能的指控被提出时，这种指控将报告给当事法庭庭长。该庭长随后将对指控进行妥善调查，首先确定一个适当的调查程序，然后任命一专家小组进行调查。调查将对被指控法官运用所有必要的适当程序，例如给予对指控作出回应和提出相关证据的机会。如果所提指控针对的是相关法庭的庭长，就争议法庭而言，指控提交该法庭其他法官中最资深者。如果被指控的是上诉法庭庭长，则指控提交该法庭第一副庭长。",
"57. 一旦进行了调查，调查结果将由有关法庭全体复核，但被调查法官不得参加。如全体法官一致认为关于行为失检或无能的指控证据充分，且问题的严重程度足以说明应当将当事法官解职，则该法庭庭长或代理庭长将向大会报告此事并请求将该法官解职。",
"58. 如被指控行为即使被认定证据充分，但却未达到应当解职的程度，则庭长或代理庭长将有权根据案情采取其认为适当的纠正措施(例如予以警告或申斥)。关于投诉的处置情况的报告每年向大会提交一次。除这一建议外，另一种办法就是修正内部司法理事会的职权范围，由该理事会负责就两法庭法官受到的任何投诉进行调查并提出建议。当一名法官受到行为失检或无能的指控时，指控将送交该理事会主席。理事会此后将对指控进行妥善调查，首先确定一个适当的调查程序，对被指控法官运用所有必要的适当程序，例如给予对指控作出回应和提出相关证据的机会。",
"59. 一旦进行了调查，调查结果将由内部司法理事会复核。如果该理事会认定关于行为失检或无能的指控证据充分，主席就将向大会报告此事并就适当处罚提出建议。",
"60. 对于上述两种可选办法而言，需要处罚法官的行为失检的类别将是违反由内部司法理事会根据第62/228号决议拟订并在A/65/86号文件中提交大会审议的法官行为守则的行为，或是违反ST/SGB/2002/9号秘书长公报规定的《关于非秘书处官员和特派专家的地位、基本权利和义务的条例》的行为。",
"C. 联合国上诉法庭",
"1. 联合国上诉法庭的组成",
"61. 2009年3月2日，大会选出下列七名法官：",
"(a) 伊内斯·温伯格·德罗加法官(阿根廷)；",
"(b) 让·库蒂亚尔法官(法国)；",
"(c) 索菲娅·阿丁伊拉法官(加纳)；",
"(d) 马克·佩因特法官(美利坚合众国)；",
"(e) 卡马尔吉特·辛格·加里瓦尔法官(印度)；",
"(f) 罗丝·博伊科法官(加拿大)；",
"(g) 路易斯·马里亚·西蒙法官(乌拉圭)。",
"62. 2010年10月11日，罗丝·博伊科法官出于个人原因递交辞呈，辞去她在上诉法庭担任的职务，2011年1月15日生效。2011年1月28日，大会经选举程序任命玛丽·法赫蒂法官(爱尔兰)接替罗丝·博伊科法官。",
"2. 选举庭长和副庭长",
"63. 2010年6月30日，上诉法庭选出库蒂亚尔法官为庭长，阿丁伊拉法官和加里瓦尔法官分别为第一和第二副庭长，任期为2010年7月1日至2011年6月30日。",
"64. 上诉法庭法官在五届开庭期每次开始和结束时都举行了处理行政和业务问题的全体会议。",
"3. 司法统计数据",
"65. 从2010年7月1日至2011年5月31日，上诉法庭共收到105项新提出的上诉：7项上诉针对联合国工作人员养恤金联合委员会(养恤金联委会)，5项针对联合国近东巴勒斯坦难民救济和工程处(近东救济工程处)，1项针对国际民用航空组织，还有92项针对争议法庭的判决和命令提出上诉(65项由工作人员提出，27项上诉是代表秘书长针对争议法庭的判决和命令提出)。",
"66. 2010年，上诉法庭分别于6月21日至7月2日和10月18日至29日在纽约开庭两期，2011年第一期也在纽约，从2月28日至3月11日。在本报告所述期间，该法庭作出了96项判决。2011年第二次庭期开在日内瓦，从6月27日至7月8日，审理了34宗案件。",
"4. 案件处置结果",
"67. 在本报告所述期间，上诉法庭作出了96项判决。[4] 其中1项判决涉及针对养恤金联委会的上诉，上诉法庭在该案中维持了常设委员会的决定。有4项判决维持了近东救济工程处主任专员作出的决定。",
"68. 就针对争议法庭判决的上诉作出了83项判决。这些判决就工作人员提出的54项上诉和就代表秘书长提出的29项上诉作出了决定。上诉法庭驳回了工作人员所提54项上诉中的46项，接受了3项，并将5项发回争议法庭重审。在代表秘书长提出的29项上诉中，9项被驳回，19项被全部或部分接受，1项被发回争议法庭重审。在12宗案件中，上诉法庭推翻或修改了争议法庭的赔偿裁决。",
"69. 在本报告所述期间，上诉法庭收到了提出的2项解释请求、2项复议请求、2项改正请求、3项改判请求和1项搁置判决请求，并驳回了所有这10项请求。",
"70. 截至2011年5月31日，上诉法庭有95项申请/上诉待决。",
"5. 与联合国上诉法庭及其书记官处运作有关的问题",
"71. 上诉法庭法官根据审案工作量的需要在庭期开会讨论和作出判决，一般是每年3次。书记官处法律和行政人员大量的案件准备工作对于这一进程至关重要。虽然上诉法庭的供资结构和运行方法以法官人数相同的国际劳工组织(劳工组织)行政法庭为模本，[5] 但劳工组织行政法庭的运行有6名全职专业法律人员和3名一般事务人员，并视需要使用其他工作人员。相比之下，上诉法庭书记官处只有2名专业人员和3名一般事务人员为该法庭提供协助。",
"72. 上诉法庭是一个复核庭，要审议来自工作人员和管理当局两方面的上诉。依照《上诉法庭规约》第二条第十款，秘书长还与7个机构签订了协定，使它们能将该法庭用作一个行政法庭。由于这是一个新系统，来自工作人员和管理当局两方面的上诉量都很大。去年向上诉法庭提出的案件数目与劳工组织行政法庭的工作量相仿，该法庭每年审理约110宗案件且未出现案件积压。",
"73. 书记官处目前的人员配置不足以充分支持该法庭的运转，无法使其及时处理案件。2名法律干事不足以每年准备100多宗案件。这种情况必将导致案件积压并不断增加拖延，而这正是以前的内部司法系统受到批评最多的方面之一。允许这种情况再次发生将使改革受到严重破坏。争议法庭作出判决与最终上诉决定之间存在漫长拖延的情况特别不可取，因为一宗上诉案的结果有可能解决某一特定方面的法律问题，从而减少今后的案件数目。",
"74. 现在需要增设一个P-4法律干事，以保证书记官处有效运作的能力。鉴于许多案件的复杂性以及处理这些案件所必需的速度，书记官处需要更多有经验的人员。一个P-4职等法律干事可以督导现有工作人员处理书记官处工作中法律方面的问题，从而使书记官长得以腾出手来，专心进行全面监督、与法官和其他利益攸关方沟通以及为法庭提供技术和行政支持。",
"75. 此外，一个较资深的法律干事将能为法官提供更实质的法律协助并独立回应查询，从而提高效率和反应能力。这样一名法律干事将同书记官长一道分担行政职能，并在书记官长缺席时担任代理主管。考虑到审案工作量，考虑到必须使上诉法庭得到足够法律协助，使其以最佳状态运作，秘书长建议大会增设一个P-4 职等法律干事加强联合国上诉法庭书记官处。",
"76. 大会第65/251号决议核准增设1个一般事务(其他职等)职位一年，以支持上诉法庭工作。秘书长指出，这一职位所提供的支持是有益的。但现在迫切需要增设1个具适当资历的法律干事以支持上诉法庭法官的工作。考虑到这一情况，并注意到目前的预算限制，秘书长建议不续设这一职位。",
"77. 根据《规约》第四条第二款，上诉法庭“应于其程序规则中规定的日期例行开庭，但以庭长认为有足够数目的案件可开庭审理为限”。根据该法庭最初几年运行获得的经验，并考虑到向该法庭提出上诉的案件数目，预计上诉法庭将有足够的案件可以每年开庭3次。不过，秘书长指出，该法庭目前的差旅费预算不足以支付第3个开庭期的费用。因此，秘书长建议在2012-2013年预算中为内部司法办公室追加资金230 000美元，使联合国上诉法庭能在需要时第3次开庭。",
"78. 秘书长在其前次报告(A/65/373)第155至第164段中，就上诉法庭法官的地位及其应享权利的问题作了报告。在该报告中，秘书长建议上诉法庭法官亦应享受以往提供给原联合国行政法庭法官的旅行待遇和每日生活津贴额。大会在其第65/251号决议第50段决定，在2012-2013年预算中再次审议上诉法庭法官旅行待遇和每日生活津贴额的问题。秘书长仍然认为此举将是适当的，并因此建议将内部司法办公室的差旅费预算增加50 200美元，以反映这一情况。",
"D. 工作人员法律援助办公室",
"79. 工作人员法律援助办公室仍然面临着诸多挑战。该办公室由7名通过经常预算供资的法律干事(纽约3名，亚的斯亚贝巴、贝鲁特、日内瓦和内罗毕的4个卫星办公室各1名)和3名一般事务人员(都在纽约)组成。截至2011年1月1日，工作人员法律援助办公室获得在内罗毕增设1名P-3 职等专业工作人员，为涉及外地特派团人员的案件提供协助。这一职位通过维持和平行动支助账户供资一年。",
"80. 尽管有限的人员分散在多个工作地点，工作人员法律援助办公室在其运行的头两年中还是取得了可观的成绩。该办公室继续以人数不多的法律干事和有限的行政协助成功地处理着世界各地工作人员提出的大量援助请求。",
"81. 截至2010年7月1日，工作人员法律援助办公室尚待处理的案件有432宗。[6] 2010年7月1日至2011年5月31日，该办公室收到了新提出的425宗案件。加上截至2010年7月1日尚待处理案件的数目，该办公室参与处理的事项为857宗。其中，该办公室能结案或找到其他解决办法的案件为265宗。截至2011年5月31日，该办公室还有近600宗在办案件。在该办公室运行的第二年中，工作人员提交该办公室处理事项的数目，特别是争议法庭3个分庭所在地以外地点工作人员提出请求的数目，对其有限的资源构成了巨大压力。",
"82. 工作人员法律援助办公室为工作人员提供形式多样的法律援助，援助范围包括提供简要法律咨询和代表工作人员在两法庭出庭。循非正式途径解决问题或帮助工作人员理解其正式申诉不大可能胜诉，都可能需要花费大量时间。",
"83. 以有限的工作人员回应大量的援助请求，仍是该办公室的最大挑战。在纽约以外地点独立工作的法律干事这方面的情况特别困难而且没有本地的行政支持。这些法律干事因而必须独力应对沉重的工作量和处理办事处的大部分行政事务。",
"84. 工作人员法律援助办公室得到了相关志愿律师、法律实习生和外部公益律师的协助。遗憾的是，他们的人数不足以解决该办公室人力资源短缺的问题。总部以外办事处现在很难找到合格的志愿人员、实习生和公益援助，从而令人担心该办公室的存在主要限制在纽约。",
"85. 大会再次请秘书长同工作人员协会合作制订激励措施鼓励工作人员，使他们能继续参加工作人员法律援助办公室的工作。2011年6月，这一事项在工作人员和管理当局协调委员会届会上得到了审议。有关方面注意到，管理当局和工作人员代表在应当采取何种办法的问题上仍然意见分歧。因此，工作人员方面和管理当局决定应继续就此问题进行协商。",
"86. 内部司法办公室于2010年1月设立的工作人员法律援助信托基金没有提供足够资源有效帮助工作人员法律援助办公室增加其人力资源，即便临时增加都没有。",
"87. 根据工作人员法律援助办公室头两年运行取得的经验，秘书长认为该办公室目前的人员配置必须加强，以使它能够完成任务。正如秘书长在给大会第六十五届会议的报告中说明的那样，该办公室特别缺乏较高职等的法律干事，因为目前专业工作人员中仅有一人高于P-3职等。由于这一原因，秘书长建议增设2个P-4员额(设于内罗毕和纽约)，加强工作人员法律援助办公室。",
"88. 工作人员法律援助办公室高效运作的能力还由于纽约以外行政支持的缺乏而受损。由于所有行政支持都由总部提供，工作人员无论在什么工作地点，都必须通过与在纽约的办公室联系启动他们的案件。这就向工作人员发出了一个明确的信息，即尽管承诺要实行权力下放制度，但核心业务仍在总部办理。由于这一原因，秘书长建议增设2个一般事务(其他职等)员额在日内瓦和内罗毕提供行政支持，加强工作人员法律援助办公室。",
"89. 大会第六十五届会议同意秘书长的意见，即应当加强工作人员法律援助办公室为外地特派团服务的能力。因此，大会核准临时增设1个P-3职位，设在内罗毕，为外地特派团的工作人员提供协助。这一职位通过维持和平行动支助账户供资一年，从2011年1月1日起至12月31日止。鉴于大批案件涉及外地特派团工作人员的趋势还在继续，从而显示了持续的需求，并进一步考虑到外勤支助部和维持和平行动部按照分摊费用的办法参加了为正式系统的持续供资，秘书长建议内罗毕专门负责为外地特派团工作人员提供协助的1个P-3职位续设一年，由维持和平行动支助账户供资。",
"90. 分配给工作人员法律援助办公室的非员额资源也不足以允许其正常运作。由于该办公室工作分散，所有公务协调和一大部分客户协商事实上都必须通过电子邮件、电话和视频连接进行。尽管如此，该办公室的通信预算却不足以允许它进行哪怕是少量的电话和视频连接通信。此外，这一工作分散的办公室的位于全球各地的工作人员也必须能在办公室以外和正常上班时间以外相互沟通。虽然使用黑莓设施等智能电话设备有助于通信，但目前的预算不足以支付使用这些设备的费用。由于这一原因，秘书长建议在2012-2013年预算通信细列项目中增加11 200美元。",
"91. 虽然人员出差并不常见，但有时也无法避免。在总部以外办事处工作的法律干事要服务大范围的地理区域，其中包括许多外地特派团。如果要让工作人员能切实利用工作人员法律援助办公室的服务，特别是在外地，法律干事就必须定期访问工作人员所在的工作地点，会见客户和与当地行政部门进行面谈，以促进循非正式渠道解决纠纷。该办公室在亚的斯亚贝巴和贝鲁特的法律干事可能需要根据争议法庭的命令代表客户出席该法庭的听讯。目前，工作人员法律援助办公室没有差旅费预算满足任何这种至关重要的需求。因此，秘书长建议在2012-2013年预算中将该办公室的差旅费细列项目增加15 000美元。",
"92. 最后，该办公室目前的预算，尤其是位于纽约以外办事处的预算，不足以满足基本的办公室需求，例如租用或购买一台影印及扫描机，以及购买纸张、装订文件夹、回形针和写字笔等必要的办公用品。在总部以外只有一人的办事处里缺少这些基本的办公必备品，使在那里孤立工作的法律干事所面临的困难变得更加复杂。由于这一原因，秘书长建议在2012-2013年预算中将用品和材料细列项目增加9 000美元。",
"E. 执行主任办公室",
"1. 对执行主任办公室的审查",
"93. 除了代表秘书长进行答辩之外，执行主任办公室还负责监督正式系统所有要素的执行情况。该办公室由执行主任、特别助理、2名信息技术专家和1名行政辅助人员构成，负责为两法庭、书记官处和工作人员法律援助办公室提供行政、业务和技术支持。这种业务支持包括与其他相关办公室协调以促进在纽约设立一个临时的审判室设施，并开展类似努力以求在基本建设总计划完成之际，为内部司法办公室提供常设办公室和审判室设施。",
"94. 除了为上述单位提供日常支持外，执行主任办公室还负责协调根据大会相关决议编写秘书长报告的工作。该办公室还在联合国内部和对外部机构以及在需要部门间协调和协商的所有事项中代表正式系统。",
"95. 该办公室的成绩之一是设立了内部司法办公室网站，于2010年6月28日启用，使用了所有6种正式语文。该网站(www.un.org/en/oaj)易于浏览，并就正式系统的所有方面提供了实用的循序渐进信息。2011年5月，该网站的访问量为7 690人次，比前一个月的访问量增加了13%。自该网站启用以来，月均访问量为约7 000人次。总体而言，对该网站的使用呈增加趋势。内部司法办公室继续对该网站加以改进，包括根据使用者的要求设立搜索两法庭命令和判决的功能。",
"96. 另一个重要的里程碑是在2011年7月6日启用了基于网络的案件管理电子系统，使工作人员能够从任何工作地点以电子方式提出和监测他们的案件。该系统预计将提高效率，减少拖延，改进两个书记官处的运作。此外，案件管理系统的实施为世界各地工作人员使用正式系统的各个要素打开了方便之门。",
"97. 该办公室还依照《上诉法庭规约》第二条第十款通过谈判成功地与在先前系统中使用联合国行政法庭的所有实体达成了协定。[7] 由秘书长签署的这些协定使这些实体可将上诉法庭用作一个行政法庭。",
"98. 除了在编写和协调给大会的关于内部司法问题的报告中发挥作用之外，执行主任办公室还在必要时为组织两法庭法官的选举提供实质性协助。",
"99. 执行主任办公室的另一项重要职能是为内部司法理事会的工作提供支持，包括根据第62/228 号和第65/251号决议的要求编写给大会的报告，并就新的内部司法系统的实施情况传递其意见。",
"100. 该办公室还为负责协助大会确定司法空缺职位候选人的内部司法理事会提供大量行政和技术支持。2012年6月30日，当争议法庭法官和上诉法庭法官的三年任期届满时，这些职位就会出现空缺。",
"2. 与执行主任办公室运作有关的问题",
"101. 执行主任办公室是内部司法办公室内每一个实务单位所有技术、预算和后勤方面工作安排的协调中心。执行主任的作用很大，职能很多。执行主任在保持正式系统的独立方面发挥着举足轻重的作用，并要负责协调正式系统的各个独立要素，包括监督和协调各个书记官处及工作人员法律援助办公室的工作。执行主任还在联合国内部和对外部机构代表正式系统并与联合国各部门首长联络，这些部门包括监察员和调解事务办公室。",
"102. 大会第65/251号决议第34段请秘书长就内部司法办公室执行主任员额的适当员额职等提出建议。秘书长认为，这个问题不应与一个必然问题分开考虑，那就是争议和上诉两法庭法官的薪酬水平及薪酬机制。两法庭法官为非工作人员官员。就争议法庭法官而言，他们全职工作，比照D-2职等第四职档领取薪酬。上诉法庭法官不是全职工作，而是每年开庭数次就案件作出决定。他们的薪酬不比照任何具体的员额职等，而是按作出的每项判决领取酬金。一项判决的主要起草人领取2 400美元，其他签署人每项判决领取600美元。两年来获得的经验显示，这种薪酬机制引起了一些与上诉法庭必要的休庭期间职能有关的问题。因此，秘书长建议大会请内部司法理事会酌情审查两法庭法官薪酬水平及薪酬机制的问题，并就此向大会第六十七届会议提出报告，届时大会将结合内部司法办公室执行主任适当员额职等的问题一并审议该理事会关于这一事项的报告。",
"103. 如上所述，该办公室的任务非常广泛，需要增设1名法律干事协助开展大量工作。执行主任办公室的专业工作人员均为法律和信息技术专家，在关键的行政领域中经验有限，在联合国预算编制方面尤其如此。",
"104. 增设1名具有行政和预算经验的法律干事和1个行政辅助职位显然有利于该办公室。不过，考虑到财政拮据，这方面目前不要求追加资源。",
"105. 内部司法办公室负责促进内部司法理事会的工作。这一由资深法学家组成的独立机构在新系统中要发挥关键的监督职能并获得了很大授权。大会第65/251号决议第52段强调指出，该理事会可以帮助确保内部司法系统的独立性、专业性和问责制，鼓励该理事会继续就内部司法系统的落实情况提出意见，并就如何加强其贡献向大会第六十六届会议提出报告。",
"106. 尽管如此，内部司法办公室当前或以往的预算中都没有为该理事会外部成员在执行其重要职能时的薪酬明确划拨任何经费。内部司法办公室预算也不含有应付工作人员产假或长期病假的一般临时人员经费。此外，也没有为以项目为基础雇用临时人员或支付工作量高峰期的费用而划拨经费。因此，秘书长建议在2012-2013年预算中列入一般临时人员经费130 000美元。",
"107. 执行主任及其工作人员必须定期出差参加会议，包括内部司法办公室的内部会议(例如，争议法庭和上诉法庭的全体会议)和更广泛组织范围内的会议，例如工作人员-管理当局协调委员会年会。执行主任及其工作人员也继续需要对位于总部以外的工作人员和管理人员开展外联活动，从而需要出差。内部司法办公室的差旅费预算必须支付执行主任及其工作人员的所有差旅费，以及支付与两法庭全体会议有关的工作人员差旅费、工作人员法律援助办公室工作人员或按照两法庭要求参加听讯的其他人员以及内部司法办公室任何其他工作人员的差旅费。由于与两法庭司法职能有关的差旅费必须优先保证，执行主任及其工作人员实际上并没有可用的差旅费预算。该办公室的差旅费预算也不足以允许内部司法理事会中不在同一地点办公的成员每年出差碰头或为执行他们评价该系统在全球的运行情况并向大会提出报告的基本任务而进行任何其他旅行。由于这些原因，秘书长建议在2012-2013年预算中将内部司法办公室的差旅费预算增加30 000美元。",
"108. 内部司法办公室因工作分散而需要大量依靠技术解决方案。该办公室过去一年在这方面的两项成绩是设立了一个使用所有正式语文的综合网站和落实了一个使所有工作人员无论在什么地点都可向两法庭提出案件并对所提案件进行监测的案件管理系统。这些重要成绩尽管能够节省时间、资源和金钱，但必须得到维持和改进以与需求保持同步。此外，由于采用了现成解决方案以避免昂贵的定制系统，这些产品涉及每年延续许可证和维持合同的问题。此外，还有与数据存放、系统更新和根据经验教训进行调整的运行费用。内部司法办公室的预算目前未涵盖与已实施系统的所有许可证、维护和升级有关的费用。由于这些原因，秘书长建议在内部司法办公室2012-2013年预算中把订约承办事务和购置软件包方面的经费增加75 000美元。",
"F. 代表秘书长担任答辩人的法律办公室",
"109. 有几个法律办公室代表秘书长对工作人员提出的案件进行答辩。由于工作人员提出的案件仍然很多，而且许多案件的案情复杂，代表秘书长担任答辩人的办公室和单位因现有人员和资源有限，均满负荷和超负荷运作。",
"1. 代表秘书长在联合国争议法庭出庭的法律办公室",
"110. 总部和总部之外的日内瓦、内罗毕和维也纳办事处的工作人员代表秘书长，在争议法庭发挥答辩人的作用。",
"111. 为满足新司法系统的需求，管理人员重新部署了本组织内的工作人员并征聘了具有专门技能的工作人员，为司法系统服务。因此，本组织对在整个组织内实施的新系统的需求作出了反应。",
"112. 2010年争议法庭发布了218份判决书。这些判决书分析了争议的背景、相关工作人员条例和细则的应用的理由以及对争议法庭审理的事实问题和法律问题的结论。这些判决书反映了当事方在诉讼程序中对事实和法律问题提出的广泛意见。",
"113. 为了达到新司法系统规定的标准，对在争议法庭代表秘书长答辩的办公室的要求很高。本节详述各办公室的作用、专用于司法系统的资源、秘书长代表处理的案件统计数据、诉讼程序的结果和行政当局对判决的回应。",
"114. 新的司法系统给行政部门带来了新的需求。在对司法系统作结构调整外的同时，行政部门还需要迅速而果断地应对所面临的资源和管理方面的挑战。为了保持秘书长代表的力量和增强秘书长应对持续需求的能力，管理部门必须保留和巩固已采取的举措。此外，全球秘书处必须继续以全面综合的方式管理秘书长在各法庭的代表事务，包括代表秘书长的各办公室工作人员之间定期协商和通报情况。",
"人力资源管理厅行政法科",
"115. 人力资源管理厅下属行政法科由上诉股和纪律股组成。争议法庭审理全球秘书处现职工作人员提出的案件以及卢旺达问题国际刑事法庭和前南斯拉夫问题国际法庭的工作人员提出的案件时，该科负责代表秘书长发挥答辩人的作用。联合国日内瓦、内罗毕和维也纳办事处、联合国环境规划署(环境署)和联合国人类住区规划署(人居署)的工作人员提出的案件由所在工作地点的官员处理。该科还处理提交人力资源管理厅的全秘书处和国际法庭工作人员的纪律问题并向管理人员提供关于一般司法制度以及个人上诉和纪律案件各个方面的咨询意见。",
"上诉",
"116. 收到争议法庭转发的上诉申请书后，行政法科负责收集管理人员对申请书的意见并起草答复材料。提交答复的时限为30天，这需要管理人员和行政法科迅速采取行动。",
"117. 在诉讼过程中，行政法科法律干事参加定向听讯和案情实质听讯，按照法庭的命令进一步提供书面材料。参加听讯需要大量时间准备，其中包括：酌情与有关办公室和法律事务厅协商；与答辩人将传唤的证人会面；准备对申请人或其律师传唤的证人和(或)法庭传唤的证人进行交叉询问。",
"118. 行政法科还负责向行政部门提供咨询意见，说明应努力采用非正式解决办法，还是继续诉讼程序。该科的建议分析案件的事实和法律问题并提出以最具成本效益的方式解决争议的咨询意见。如果寻求非正式解决的建议得到接受，行政法科负责获得有关方面必要的核准，在与申请人和(或)其律师谈判的过程中提供咨询意见，与监察员办公室协作完成和解协议，并跟踪其执行情况。谈判经常需要很长时间，而且往往很艰巨；但是，非正式解决争议的潜在惠益很大。",
"119. 在法庭发出最后判决后，行政法科与法律事务厅联系，由法律事务厅决定是否向上诉法庭对判决提起上诉。行政法科还负责解释争议法庭的最终判决，获得执行判决所需的信息，把判决书转交有关官员执行。",
"120. 在一当事方请求紧急中止执行行政决定时，行政法科还在中止执行程序中代表秘书长视事。这些申请必须毫不拖延地加以处理，在提出请求的5天内要作出答复并举行口头听讯。法庭在听讯后数天内发出接受或不接受请求的命令。对这些听讯，行政法科需要予以紧急关注和精心准备。如果有关办公室和可能的证人不在总部，时差成了问题，那就特别难以在最后期限内做好准备。",
"121. 在本报告所述期间，行政法科处理了318宗上诉案件；在任何一刻，行政法科都需处理在争议法庭待决的约200宗案件。这些案件中有大约50%涉及任用问题；20%涉及纪律惩戒方面上诉；15%涉及福利和应享待遇；5%涉及离职；1%涉及叙级；9%涉及其他事项。",
"122. 在2010年7月1日至2011年6月30日期间，争议法庭对行政法科处理的114宗案件作出了判决。法庭根据案情实质对64份申请作出裁定；有17份以不可受理为由被驳回；有14份获得非正式解决，被撤回；有5份由工作人员撤回；有5份仅涉及赔偿问题；有9份被申请人放弃。此外，争议法庭裁定了12项中止诉讼行动的请求，同意中止其中3项，驳回4项，5项获解决或被放弃。",
"123. 在根据案情实质裁决的案件中，有38宗案件秘书长胜诉，21宗案件工作人员胜诉，行政部门5次对工作人员的主诉进行了成功辩护，但工作人员的次要诉求取胜。在根据案情实质判决申请人完全或部分胜诉的20宗案件中，均裁定了赔偿金。",
"124. 由于采用新的工作方法，要处理的上诉案很多，答辩人提交答复答辩的时间缩短(从两个月缩短到30天)以及纽约与用户部门/办事处、证人和法庭分部所在的其他工作地点存在时差，行政法科工作人员工作量繁重，压力增大。",
"纪律问题",
"125. 行政法科还负责处理提交人力资源管理厅采取行动的纪律问题。在本报告所述期间，行政法科负责处理了391个纪律问题，包括在本报告所述期间收到的121个新案件。秘书长在另一份关于处理纪律问题和可能犯罪行为的做法的报告(见A/66/135)中说明了行政法科在处理纪律案件中的作用。",
"126. 有人指出，随着新司法系统的设立和联合纪律委员会的撤销，对案件进行事实和法律分析的责任已转交给人力资源管理厅。在原司法系统下，秘书长将纪律问题提交联合纪律委员会，由该委员会确定事实并提出采取何种纪律措施的咨询意见。在联合纪律委员会撤销后，人力资源管理厅必须对收到的案件进行越来越详细的分析。因此，该厅花大量时间仔细审查采取纪律行动的各方面问题，包括要求调查单位或者有关工作人员澄清事实和提供补充证据。根据问题的复杂程度，纪律处分程序对于相对简单的案件可能持续3个月，对于较复杂的问题可能持续两年。",
"咨询",
"127. 最后，行政法科向整个秘书处各个办公室提供专案咨询意见。一般来说，1项咨询意见需要1个工作日。行政法科每年提供约600项咨询意见。",
"行政法科的资源",
"128. 向新司法系统的过渡大量增加了对行政法科的需求。有关上诉和纪律惩处工作的程序要复杂得多，要求要高得多，从而造成工作量大幅度增加。一个根本的变化是，原司法系统的程序一般仅需文件传送，而在新司法系统下，需举行口头听讯，需要大量书面呈件。处理一宗上诉案所需的工作日平均增加了两倍，从原系统的5天增加到新系统的15天。根据原司法系统，答辩人对每宗案件平均提出两份书面文件，对上诉案件很少或根本不举行听讯。在新系统下，法庭往往要求大量书面呈件。从行政法科处理的许多案件来看，每宗案件要举行两到三次口头听讯，有些案件甚至更多。听讯要花大量时间准备，需要与有关办公室协商，而案情实质听讯的准备工作需要找到证人并与他们交谈，让他们熟悉听证过程，并获取证词。",
"129. 截至2009年6月30日，行政法科有四个员额：1个由经常预算供资的P-5员额(科长)；1个也由经常预算供资的P-4员额；2个由维持和平支助账户供资的P-4员额。此外，还有维持和平支助账户提供的一般临时人员资金。由于来自外地的工作量大和新司法制度对行政法科的要求高，2009年7月1日大会授权增设由维持和平支助账户供资的3个法律干事员额(2个P-3，1个P-2)和两个临时职位(1个P-3，1个P-2)。2010年1月行政法科分为上诉股和纪律股。从人力资源政策处另一个科调入1个P-5员额领导上诉股。鉴于来自外地特派团的工作量持高不下，2010年7月大会核准在内罗毕增设2个由维持和平支助账户供资的法律干事员额(1个P-4，1个P-3)。2010年7月秘书长还动用有限的酌处权，增设3个临时职位(1个P-4，2个P-3)，处理非外地组织单位的上诉和纪律案件。",
"130. 行政法科的人员编制为15名法律干事。目前，行政法科下设上诉股和纪律股。上诉股在纽约有1个P-5(股长)、3个P-4和2个P-3工作人员，在内罗毕有1个P-4和1个P-3工作人员；纪律股有1个P-5(股长)、1个P-4、3个P-3和2个P-2工作人员。在这些职位中，3个由经常预算供资(1个在人力资源政策处内调动)、9个由维持和平支助账户供资，3个由秘书长动用有限的预算酌处权提供截至2011年12月31日为止的临时资源供资。",
"131. 对行政法科案件量的分析表明该科需要增加员额。关于上诉案，去年上诉股收到和处理了向争议法庭提交的约115宗上诉案。提交争议法庭的每宗案件平均要花15个工作日处理，每年需要1 725个工作日。此外，上诉股每年提供约400项咨询意见，每年需要400个工作日。上诉股每年共需要约2 125个工作日。按照每月27个工作日计算，每年需要78.7个工作月，即7个员额的工作日。上诉股目前只有5个员额，其中一个是股长员额。股长监督和指导该股的工作，4名法律干事处理案件。因此，需要增设3个法律干事员额。",
"132. 鉴于大约35%的上诉案来自维持和平特派团，65%来自非维持和平办公室，6个员额应由经常预算供资，3个员额由维持和平支助账户供资。不过，目前该股只有1个法律干事员额由经常预算供资。要确保上诉股的优化运作，上诉股就需要增设3个经常预算员额。但是考虑到会员国目前财政拮据的情况，建议上诉股此时增设2个员额(1个P-4，1个P-3)。",
"133. 根据自2009年7月1日以来收到的纪律案件数目，预计行政法科每年收到约150宗要采取行动的案件。由于处理纪律案卷平均需要20个工作日，这些工作量每年需要3 000个工作日。此外，纪律股每年提供约200项咨询意见，需要200个工作日。纪律股每年共需要工作3 200天左右。按每月工作27天计算，这等于118.5个工作月，相当于10个员额的工作量。纪律股目前只有6个法律干事员额，即4个常设法律干事员额和2个临时职位。此外，该股有1名监督和指导工作的股长(P-5)。因此，该股短缺4个法律干事员额。",
"134. 考虑到处理的纪律案件中有大约60%来自维持和平特派团，40%来自非维持和平办公室，4个员额应由经常预算供资，6个员额由维持和平支助账户供资。然而，纪律股目前没有1个法律干事员额由经常预算供资。建议保持由维持和平支助账户供资的4个常设员额。拟议在2012-2013年维持和平支助账户预算中把另外2个所需员额从一般临时人员改划为常设员额。为了处理非维持和平办公室的工作量，纪律股需要增设4个经常预算法律干事员额。但是，考虑到会员国目前财政拮据的情况，建议纪律股此时增设3个员额(1个P-4，2个P-3)。",
"135. 秘书长设法为行政法科共增设5个法律干事员额。值得注意的是，在评估行政法科所需的资源时，采用每月27个工作日，而不是标准的21.5个工作日。这进一步表明了行政法科工作量繁重，需要可持续的资源基础。",
"联合国维也纳办事处",
"136. 联合国维也纳办事处和联合国毒品和犯罪问题办公室已经把在上诉和纪律问题上代表秘书长视事的全部职责下放给管理事务司司长。在纪律案件转交人力资源管理厅前处理这些案件和管理评价请求以及在争议法庭代表秘书长出庭的日常职责分配给人力资源管理处，由该处的人力资源政策干事进行协调。",
"137. 联合国维也纳办事处和联合国毒品和犯罪问题办公室继续注意到，管理人员请求提供法律咨询意见和请求确认适用法律得到遵守的数量增多，为争议法庭每个案件作准备所需的时间也增加。为了让工作人员和管理人员都了解新司法制度的特色，联合国维也纳办事处和联合国毒品和犯罪问题办公室继续举行情况通报会、午餐论坛和公开会议，向维也纳和外地的广大工作人员发送电子信息，所有这些都要增加人力资源团队的工作时间。",
"138. 上诉案件越来越多，加上新的司法系统答复期限很短，继续过度分散了向联合国维也纳办事处和联合国毒品和犯罪问题办公室管理部门提供法律支持的能力。联合国维也纳办事处已在人力资源管理处配备了1名全职人力资源政策干事，以应对新系统增加的需求。然而，这不是长期可行的办法，因为人力资源团队得凑合使用有限的资源，才能替这名干事履行其经常职能。因此，联合国维也纳办事处需要1名专门的P-4职等法律干事员额和1名一般事务(其他职等)的法律助理员额，以确保司法系统的持续需求得到充分满足。然而，由于财政拮据的情况，建议由联合国日内瓦办事处的工作人员向联合国维也纳办事处提供支持。",
"联合国日内瓦办事处",
"139. 在联合国日内瓦办事处，由具有法律背景的一名人力资源干事代表本组织在争议法庭处理日内瓦办事处及其用户组织(联合国人权事务高级专员办事处(人权高专办)、联合国贸易和发展会议(贸发会议)、人道主义事务协调厅、欧洲经济委员会(欧洲经委会)和其他较小实体)的工作人员提出的案件。除了临时的P-4资源外，有必要增设1个由用户组织(人权高专办、贸发会议和人道协调厅)以分担费用方式供资的P-3法律干事员额，以应付工作量的增加,特别是用户组织工作量的增加。然而，这种安排只能到2011年年底才能作出。",
"140. 如上所述，由于新司法系统的建立，工作人员呈交的文件更加详细，需要更多的分析工作和法律研究,口头听讯比原系统更多，而口头听讯十分耗时。此外，争议法庭的法官往往要求答辩人提供案件要素的详细信息，从而增加了工作量,需要与有关管理人员进行更多的协商。总体结果是，工作人员处理每宗案件的时间都比原系统下要花费的时间更多。",
"141. 管理人员还请法律干事就管理评价请求或决定的编写工作提供法律咨询意见。此外，联合国日内瓦办事处继续为管理人员举办关于司法系统的培训并向管理人员通报管理评价决定和法庭判例。最后，法律干事向法律事务厅提供支持和意见，帮助该厅代表本组织处理向上诉法庭提出的上诉案件。",
"142. 尽管工作量大增，但是联合国日内瓦办事处并没有获得向新司法系统过渡的额外资源。联合国日内瓦办事处专门安排了临时工作人员负责处理时间紧迫的额外工作，以便向办事处提供重要法律专门知识，不过，这样做是以放弃充分满足人力资源其他领域的大量需求为代价的。因此，这些安排被认为将来无法持续。",
"143. 为了在争议法庭有效、适当地代表秘书长，联合国日内瓦办事处必须就增拨专用法律资源的问题征求总部的意见。具体来说，鉴于目前的工作量，联合国日内瓦办事处需要1名具有诉讼经验的P-4法律干事员额和1名一般事务(其它职等)法律助理员额。如上文第138段所述，这名P-4法律干事还需要向联合国维也纳办事处和联合国毒品和犯罪问题办公室提供服务。由用户组织(人权高专办、贸发会议和人道协调厅)以分担费用方式供资的P-3法律干事员额需予保留。",
"联合国内罗毕办事处",
"144. 在本报告所述期间，联合国内罗毕办事处填补了总干事的高级法律干事职位。在该期间下半期，高级法律干事代表联合国内罗毕办事处在争议法庭出庭。在本报告所述期间初期，由具有法律背景的人力资源干事在行政法科同事协助下，代表内罗毕办事处在争议法庭出庭。此外，鉴于人力资源科的诉讼经验有限，内罗毕办事处和环境署通过顾问合同使用外部的法律人才在争议法庭协助处理诉讼事项。",
"145. 在联合国内罗毕办事处，涉及用户办事处的案件由具有法律背景的环境署或人居署工作人员或内罗毕办事处高级法律干事处理。",
"146. 在司法事项方面对高级法律干事的依赖，意味着她无法履行作为总干事法律顾问的核心职能。因此，内罗毕办事处请求增拨资源。具体来说，内罗毕办事处需要增设1名具有诉讼经验的P-4法律干事员额和1名一般事务(其它职等)法律助理员额。这些员额还向对新司法系统的需求量特别大的非洲经济委员会(非洲经委会)提供服务。",
"区域委员会和国际法庭",
"147. 在新系统下，各区域委员会(欧洲经委会、亚洲及太平洋经济社会委员会(亚太经社会)、拉丁美洲和加勒比经济委员会(拉加经委会)、非洲经委会和西亚经济社会委员会(西亚经社会)和国际法庭(前南斯拉夫问题国际法庭和卢旺达问题国际刑事法庭)的人力资源管理处都需要履行额外职能，提供额外服务。",
"148. 把纪律案件转交人力资源管理厅前，人力资源管理处负责日常处理这些案件和管理评价请求。人力资源管理处还需要向管理人员提供关于争议法庭新判例的咨询和指导。此外，人力资源管理处需要就正在审理的案件与行政法科联系，对争议法庭关于提供补充信息的要求作出回应，与证人联系，并提供执行判决所需的信息。争议法庭法官往往要求当事方提供案件要素的详细信息，从而增加了工作量和与有关管理人员协商的次数。总体结果是，工作人员处理每宗案件的时间都比原系统下花费的时间多得多。",
"149. 原先为实施新司法系统增拨资源的请求中没有列出区域委员会需要的额外经费。然而，随着新系统的实施，显然需要增拨资源。",
"150. 亚太经社会和西亚经社会需要1名具有法律背景的P-4人力资源政策干事，负责向管理部门和人力资源处提供内部咨询意见。这名干事将在亚太经社会，同时向亚太经社会和西亚经社会提供支持。另需要1名一般事务(其它职等)员额支持该干事的工作。",
"151. 联合国日内瓦办事处的法律干事将支持欧洲经委会的工作，而总部的法律干事负责向拉加经委会提供咨询。",
"152. 如上文第146段所述，拟议在联合国内罗毕办事处增设的法律干事员额将支持非洲经委会的工作。",
"外联",
"153. 需要与各区域委员会进行联系。培训管理人员和人力资源干事，向他们传播相关信息，对于维护整个组织的统一标准和处理目前系统性问题至关重要。管理人员需要听取造成上诉的关键问题的情况通报和如何能够尽量减少潜在争议的咨询意见。人力资源干事需要接受培训，了解如何编写和提出对管理评价请求的答复，如何在诉讼程序中向行政法科提供信息和援助。最后，管理人员和人力资源干事需要了解整个系统，重点了解非正式解决争议的可能性。他们也需要关于开展谈判和在调解中有效代表秘书长的培训。",
"154. 卢旺达问题国际刑事法庭和前南斯拉夫问题国际法庭目前正在实施《完成工作战略》。经验表明，特派团缩编时工作量都要增加。因此，预计未来三年国际法庭工作人员提出的案件数将增加。在这种情况下，必须促进与国际法庭的联系，确保管理人员和人力资源干事有机会获得对具体案件的援助和关于影响《完成工作战略》实施的判例的最新情况通报。",
"155. 外联任务拟予执行。执行这些任务所需的资金共为30 000美元。具体来说，内罗毕的1名法律干事拟前往非洲经委会和卢旺达问题国际法庭(内罗毕办事处供资12 500美元)，日内瓦的1名法律干事拟前往西亚经社会、亚太经社会和前南斯拉夫问题国际法庭(日内瓦办事处供资17 500美元)。因此，秘书长请求为外联任务增拨30 000美元。",
"156. 此外，争议法庭有时在特派团和其他工作地点举行听讯。代表秘书长的法律干事必须前往举行听讯的地点。但到目前为止，预算中没有为这些差旅费编列具体经费。因此，秘书长请求拨款30 000美元，用作前往特派团所在地参加法庭听讯的差旅费。",
"现有资源和所需资源汇总表",
"157. 下表载列行政法科、总部以外办事处和区域委员会的现有资源和所需资源。",
"现有资源和所需资源",
"办公室\t经常预算现有资源\t请求增拨的经常预算资源 \n 行政法科 2个P-5 2个P-4 1个P-4 3个P-3 3个一般事务 维持和平支助账户 3个P-4 3个P-3 1个P-2 1个P-3(一般临时人员)^(a) 1个P-2(一般临时人员)^(a) 1个一般事务 秘书长有限的预算酌处权^(b) 1个P-4 \n 2个P-3 联合国日内瓦办事处 P-4人力资源政策干事 1个P-4 \n 1个一般事务(其它职等)\n联合国维也纳办事处\t无资源(P-4人力资源政策干事已调任)\t利用联合国日内瓦办事处的P-4法律干事的服务联合国内罗毕办事处\t无资源(P-5高级法律干事已部署)\t1个P-4 \n 1个一般事务(其它职等)\n非洲经济委员会\t无资源\t利用联合国内罗毕办事处的P-4法律干事的服务亚洲及太平洋经济社会委员会\t无资源\t1个P-4 \n 1个一般事务(其它职等)\n西亚经济社会委员会\t无资源\t利用亚洲及太平洋经济社会委员会的P-4法律干事的服务",
"^(a) 拟议在2012-2013年支助账户预算中将其改划为常设员额。",
"^(b) 到2011年12月31日为止。",
"联合国开发署",
"158. 联合国开发署法律支援办公室是开发署及其附属基金的综合法律办公室，其法律工作涉及公司法、机构法和行政法的各个方面，同时注重政策和培训工作。考虑到新的司法系统的要求，随着对法律磋商和咨询的需求的增加，法律支援办公室不得不调整其人员配置。该办公室行政法实践小组目前已满员运作，其中有1名实践小组组长(P-5)(有自己的工作量)、1个P-5、2个P-4和2个P-3法律干事，共有6名法律干事，由2名一般事务辅助人员协助工作。实践小组负责处理所有的管理评价请求、提交争议法庭的所有案件、所有纪律案件、政策工作法律咨询、法律培训以及从个人法律义务到税收和养恤金问题的各种法律询问。",
"159. 法律支援办公室参与以非正式和正式方式解决工作人员的申诉问题的所有阶段的工作。在非正式阶段，法律支援办公室向包括人力资源办公室、国家办事处和区域局人员在内的管理人员提供关于正式投诉前消除分歧的咨询和指导意见。该办公室也可以寻求各基金和方案监察员的干预。自2009年7月1日以来，该办公室这类预防性工作大幅度增加，因为有更多的管理人员寻求法律指导，以确保他们的决定符合开发署的法律框架规定，从而增加了时间和资源的支出。",
"160. 如果问题没有在非正式阶段解决，法律支援办公室向助理署长兼管理局局长提出处理管理评价请求的建议，在争议法庭代表开发署出庭，参与调解程序，与法律事务厅协调，在上诉法庭代表秘书长处理与开发署有关的案件。如有正当理由，法律支援办公室还建议从问责角度采取行动。2010年8月1日开发署启用了处理管理评价请求的新程序。虽然该办公室继续审查这些请求并向助理署长兼管理局局长提出处理建议，但是由署长任命、从名册中挑选的另两名高级管理人员需要从管理角度直接向助理署长兼管理局局长提出自己的独立见解。这项制度一直运作良好，不过，2011年需要任命更多的管理人员来应付管理评价请求数量增加的局面。预计目前给予长期任用的一次性审查将产生更多的案件。",
"161. 法律支援办公室通过现有各种媒体定期开设培训班，举行简报会，开展外联活动，以提高开发署工作人员和管理人员对新系统的认识。例如，该办公室推出所有管理人员必修的在线法律课程，其中有几个章节涉及内部司法制度的法律问题。此外，该办公室不得不作出调整，以适应管理评价期限和争议法庭时限缩短以及法庭要求的听讯次数和书面呈件增加的情况。这一切都造成了其工作人员的工作量全面增加。此外，鉴于争议法庭日益注重口头听讯和正式审判，律师需要接受辩护和诉讼的专门培训。",
"联合国儿童基金会",
"162. 隶属执行主任办公室的执行主任首席顾问办公室全面负责儿童基金会的法律支援和咨询工作。人力资源司处理管理评价的请求，并代表儿童基金会在争议法庭出庭。为适应新系统启用后造成工作量增加的情况，儿童基金会调整了人员配置、能力和标准业务程序并特别注意管理评价的请求和调解的机会。",
"联合国难民事务高级专员办事处",
"163. 在内部司法系统改革前，由秘书处行政法股对有关难民署工作人员的决定进行行政复议。现在难民署自己进行管理评价，已把评价权力下放给副高级专员。直接向副高级专员报告工作的法律事务处为所有的管理评价提供咨询意见。",
"164. 难民署对管理评价过程拥有非常积极的经验，这就使管理人员能够认真检讨其决定，在案件升级到争议法庭之前采取补救行动并审查及改善其工作程序。在许多情况下，管理评价过程也重新启动了难民署与工作人员的对话。",
"165. 人力资源管理司司长代表难民署在争议法庭出庭。法律事务处就所有未决案件向司长提供咨询意见。",
"166. 难民署非常注重早期非正式处理冤情，难民署监察员参与非正式地了结了许多案件。不过，自从采用新司法系统以来，工作人员试图通过正式系统处理冤情的情况明显增加。",
"167. 难民署继续支持工作人员法律援助办公室的工作，向该办公室设在日内瓦的办事处无偿借调了1名法律干事。",
"联合国项目事务厅",
"168. 联合国项目事务厅(项目厅)规模较小，没有收到很多案件。项目厅虽然没有专门处理这类案件的法律部门，但是在总部有1名负责监察司法系统发展情况(包括争议法庭和上诉法庭的判例和实践)等事务的法律干事。每宗提交争议法庭的案件以及可能成为案件的任何问题，包括管理评价的请求，均由案件或问题所在区域办事处的项目厅法律干事处理，由上文提及的总部法律干事提供支持。这项工作在项目厅总法律顾问的全面监督下进行。根据ST/SGB/2008/13号秘书长公报，法律事务厅管理向上诉法庭提出的与项目厅有关的所有上诉案件。",
"169. 到目前为止，新的司法系统似乎比原系统正规得多，专业得多。在新系统中，审理案件的方式与许多国家法院采用的方式相类似，口头听讯次数的增加只是其中一个例子。",
"170. 因此，律师和非律师处理案件所需要的时间大幅度增加。此外，工作人员可能请求出示许多文件。争议法庭一般倾向于准许这些请求，而满足这些请求需要本组织进行大量的工作。",
"联合国人口基金",
"171. 联合国人口基金(人口基金)聘用了两名法律干事，他们向人口基金提供一系列法律支持和咨询服务，包括代表人口基金在争议法庭出庭。人口基金继续特别关注管理评价问题，特别关注解决争议的替代选择办法，包括调解。",
"2. 代表秘书长在联合国上诉法庭出庭的法律部门",
"法律事务厅",
"172. 作为本组织的中央法律服务部门，法律事务厅在包括新的内部司法系统领域在内的若干领域向秘书长、秘书处各部厅和联合国各机构提供法律咨询。在法律事务厅内部，承担这一职责的组织单位是一般法律事务司行政和管理组。下文列述该司在这一领域的职责。",
"173. 一般法律事务司在内部司法系统方面的责任涉及争端解决的非正式和正式这两个阶段。该司在工作人员提出申诉的最初阶段，即远未在申诉发展成为诉讼之前，向秘书处各部厅、各基金和方案提供咨询意见。例如，曾要求该司在管理评价阶段和解决的谈判期间提供意见。",
"174. 一旦申诉发展到正式阶段，且工作人员向争议法庭提出申请，一般法律事务司就经常在司法进程的第一级向代表秘书长的实体提供咨询意见。这些实体包括行政法科以及日内瓦、维也纳和内罗毕的对应部门。在新的行政司法系统下，各基金和方案(开发署、项目厅、儿基会、人口基金和难民署)内的实体代表秘书长在争议法庭出庭；该司可应要求向各基金和方案提供咨询意见。此外，该司由于对新系统判例不断演变有着全面的了解，因此向代表秘书长在争议法庭出庭的所有实体介绍新系统的法律发展情况，分享法律论点，以便就在出庭时面临的各种问题提供指导，并供其使用。此类咨询意见确保秘书长就政策和原则问题提出的法律战略和论点协调一致。在这一背景下，该司提请各相关单位注意争议法庭作出的对本组织具有重大影响的判决。",
"175. 一般法律事务司还代表秘书长在上诉法庭出庭。这项责任既包括对争议法庭的判决提出上诉，也包括对工作人员提出的上诉作出答辩。该司为秘书处各部厅以及各基金和方案履行这一职能。为了确定对某一判决提出上诉是否符合本组织利益，该司必须审查和分析争议法庭的每一项判决，并与代表秘书长在法庭出庭的实体协商。因此，在处理上诉的过程中需要研究和分析争议法庭提出的所有必要的事实和法律问题，并酌情起草书面上诉或答辩。",
"176. 除了就与内部司法系统有关的事项提供咨询意见外，一般法律事务司还在秘书处各部厅以及各基金和方案作出行政决定之前，比如针对开除工作人员的建议作出决定之前，就《工作人员条例和细则》或其他人事政策和惯例的解释和执行向它们提供咨询意见。这类咨询请求大多来自管理事务部(包括人力资源管理厅、索偿事项咨询委员会、医务司或保险科等组织实体)，但也有一些请求来自各基金和方案、难民署以及总部以外各办事处。最后，该司还负责在颁布每一项与人力资源管理政策有关的行政通知之前对其进行审查、提供咨询意见并确认其合法性。",
"177. 一般法律事务司在新的司法系统方面承担的责任大大超出了预估，造成该司工作量出现了未曾预期的大量增加。在新系统开始运作之前，秘书长曾提出该系统所需资源的报告，当时行政和预算问题咨询委员会没有核准为法律事务厅请批的任何员额，认为“通过非正式途径尽早解决争端，可能会使诉诸法庭的案件减少”(见A/62/7/Add.7，第50段)。出于这一考虑，咨询委员会认为，要求增加工作人员的理由尚不充分，因此建议在可以对实际需求进行评估之前不核准这些员额。咨询委员会推定，绝大多数案件在诉诸争议法庭之前就会得到解决。但与这一推定相反的是，如下文所述，由于新系统的实际需求，一般法律事务司需要就日益复杂的问题向更广泛的客户提供法律咨询，这些问题在财务、法律和业务上对本组织有重大影响，对咨询意见的需求也更为迫切。",
"178. 在原系统下，只有一级司法审查，也就是联合国行政法庭。目前则有两级审查。在原系统下，行政法庭非全时运作，每年有两个开庭期，而在新系统下，争议法庭一年到头全时运作，上诉法庭则每年有三个开庭期。",
"179. 由于系统中的这些重大的体制变化，一般法律事务司必须审查并提供有关咨询意见的判决数大大增加。在原系统下，联合国行政法庭于2009年作出了65项判决。与此相对比，在新系统下，争议法庭在2010年作出了218项判决，上诉法庭作出了100项判决。因此，新系统下的判决总数约为原系统下判决数的五倍。",
"180. 在新系统下，一般法律事务司的呈件也大量增加。在原系统下，该司每年平均向联合国行政法庭呈件63份。与此相对比，该司2010年在新系统下呈件150份 (114份为源自秘书处、包括维持和平特派团的案件中的呈件，36份为源自各基金和方案及难民署的案件中的呈件)。因此，在新系统下呈件数目比在原系统下呈件数目增加了约140%。",
"181. 新系统对一般法律事务司的影响不只是向上诉法庭提出上诉的数目增多；该司在这方面开展的工作性质也发生了重大变化。在原系统下，该司起草给联合国行政法庭的答辩的时间框架(六个月)比较宽松。这些答辩通常参照行政法庭既定判例，因此该司的工作较为简单，也易于管理。但是，在新系统下，提出上诉和对上诉作出答辩的时限缩短为45天。而且，尽管上诉法庭规约规定了45天的时限，上诉法庭又将提交中间上诉的时限缩短为15天。此外，新的内部司法系统的实行，意味着本组织以往的做法和行政法庭的判例正得到新法庭的重新审查。随之在管理人员应适用哪些法律规范和原则方面产生的不确定性，意味着该司现更经常地被要求向其他部门提供咨询意见，包括在争议法庭正常的听讯之前向代表本组织在争议法庭出庭的实体提供咨询意见。这与原系统形成对比，在原系统下，给联合申诉委员会和联合纪律委员会的呈件基于行政法庭既定判例，要求该司就这些程序提出咨询意见的情况很少。",
"182. 所有这些因素因诸如合同改革、服务条件的统一等人力资源管理许多领域、最近的改革而更为复杂。这些改革工作也对一般法律事务司提出了更多要求，要求它审查行政通知，确认其合法性，并就《工作人员条例和细则》的解释和施行提供咨询意见。",
"183. 目前，一般法律事务司由经常预算供资来负责内部司法和管理问题的员额有2个专业员额(1个P-5和1个P-3)和1个一般事务员额。截至2010年7月1日，秘书长已利用其有限的预算酌处权，为2011年12月31日截止的有限期提供了6个P-3/P-4员额和2个一般事务(其他职等)员额的临时资源。该司另外还有1个由维持和平支助账户供资的P-4员额。此外，该司最近获悉，大会于2011年7月1日批准了由维持和平支助账户供资的1个P-4和1个P-3临时人员员额。总之，除非核准下文请批的额外资源，该司将总共只有5个专业员额和1个一般事务员额负责处理内部司法和管理问题。",
"184. 最后，由于对该司服务的需求超出预料，使该司承受了压力，这将削弱该司不仅在内部司法领域、而且在其他问题上及时全面地提供法律咨询的能力。",
"185. 确保该司拥有在行政和管理领域提供法律咨询的能力，将会避免对本组织整体上产生长期不利的财务、法律和业务影响，在法庭判例发展的至关重要阶段尤其如此。例如，2010年该司代表本组织在上诉法庭出庭，有助于赔款裁决参数的确定，有助于澄清审查秘书长酌处权的原则。这些上诉为本组织节省了大量费用，而且基本原则的发展将使本组织长期大大受益。",
"186. 为了满足新系统下对法律事务厅大量增加的服务需求，一般法律事务司需要增设8个经常预算员额(6个P-3/P-4，2个一般事务(其他职等))来处理内部司法和管理问题。不过，秘书长考虑到会员国当前的财政限制，因此目前只请大会核准一般法律事务司增设3个经常预算员额(2个P-4，1个P-3)。在这方面应当指出，该司是与上次报告相比请设员额减少了约三分之二(从8个员额减至3个员额)的唯一单位，同时它也是唯一没有因建立新系统而得到长期资源的单位(核准自2011年7月1日起设立由维持和平支助账户供资的2个一般临时人员员额除外)。",
"三. 对与内部司法有关问题的回复",
"A. 概览",
"187. 本节对大会第65/251号决议所列问题作了回复。",
"B. 回复",
"1. 工作人员出资的工作人员法律援助办公室支持机制",
"188. 第65/251号决议第40和第41段中请求就工作人员出资的工作人员法律援助办公室支持机制提出提议，秘书长对这项请求的回复列于本报告附件一。",
"189. 在2011年6月举行的工作人员和管理当局协调委员会会议上就这些提议与工作人员进行了协商。在这次会议上，工作人员重申，由工作人员出资设立一个机制的各种选择没有一项能够接受，因为代表工作人员的费用应由雇主承担。工作人员指出，大会设立工作人员法律援助办公室是将其作为本组织内的内部司法系统的一部分，与该办公室的运作相关的费用构成为本组织的费用。他们吁请大会提供所需的资源，确保双方(工作人员和管理层)得到“平等的武装”。",
"2. 编外人员的申诉机制",
"190. 大会在第65/251号决议第55段中要求就有关编外人员申诉机制提出提议，秘书长对这项要求的回复列于本报告附件二。",
"3. 纪律措施权力的下放",
"191. 大会第65/251号决议第51段中要求就下放采取纪律措施的权力提出详细提议，秘书长在下文对这项要求作了回复。",
"背景情况",
"192. 将采取纪律措施的权力下放给特派团团长和总部以外办事处主管的可能性最初是秘书长在大会第六十二届会议上提出来的。这样做是基于重新设计小组报告的建议以及工作人员和管理当局协调委员会第二十八届会议的结果。该届会议对这一问题进行了讨论，并提出了一项提议。大会原则上同意将采取纪律措施的权力下放给特派团团长和总部以外办事处主管，并请秘书长就此提出一份报告，其中载述各种可能的备选方案。",
"193. 秘书长考虑到协调委员会的建议，提出了将采取纪律措施权力有限下放。据此，如具备所需的有关能力，特派团团长和总部以外办事处主管就被赋予实施较轻微处罚(警告和罚款)的权力。大会请秘书长就此在第六十五届会议上提出新的提议。",
"194. 鉴于若干前提条件尚未得到满足，秘书长提议在进一步分析之前暂不执行以前提出的有限权力下放的建议。不过大会再次请秘书长在大会第六十六届会议上提出一份报告，载列下放采取纪律措施的权力的各种可能备选方案。本文摘述的提议就是应这项要求编制的。",
"纪律案件的处理现状",
"195. 自秘书长提交关于内部司法的上次报告以来没有出现任何重大发展，但也有若干新的情况。人力资源管理厅着手对关于经订正的纪律措施和程序的行政指示(ST/AI/2007/1/Amend.1)进行修订。法庭的新判例表明，与以前的行政法庭判例相比，法庭正从一个新的角度来分析和解释《联合国工作人员条例和细则》。具体而言，两个法庭在采取纪律措施之前的阶段和纪律处分阶段的整个期间，都在对本组织要求的程序性和实质性标准进行解释；这些标准包括对指控和投诉的评估、调查报告的质量、工作人员在程序期间应享有的适当程序权利、以及所采取措施的相称性。但是必须指出，向法庭提出上诉的纪律案件涉及人力资源管理厅根据行政法庭的判例和标准审查的案子。因此，2009年7月1日后在新系统下收到并结案的案子有多少将遭到上诉以及将如何对其处置还有待观察。",
"196. 从2009年7月1日到本报告所述期间结束，人力资源管理厅行政法科将357个案子结案，其中216个案子为特派团的案子。在当中的71个案子中采取了纪律措施，情况如下：19个案子中采取了开除措施，17个案子中采取了离职措施，4个案子中采取了降职措施，5个案子中采取了训斥并降低职档/职等或推迟提高职档/职等措施，14个案子中采取了训斥并罚款措施，1个案子中采取了训斥和心理咨询措施，11个案子中采取了训斥措施。",
"197. 行政法科自2009年7月1日处理的涉及在外地特派团服务的工作人员的纪律案件占2009/10年案件数的70%，占2011年案件数的近60%。",
"198. 行政法科处理一个纪律案子大约所需的时间从交给它处理时算起，视案情和复杂程度而定，为3至11个月不等。不过，这一约略的时间是在最佳条件下所需的时间，没有计及目前积压的旧的案子，包括在采用新的司法系统前没有结案的案子，即：(a) 在采用新的司法系统之前人力资源管理厅待处理的170个案子；(b) 30个于2009年7月1日发还行政法科的在联合纪律委员会待处理或等常务副秘书长根据委员会的报告作出决定的案子。预期这些案子将在2011年底之前结案。",
"199. 在2006年至2008年间，一个纪律案子结案平均要花17个月。在这一期间处理的案子，除了建议开除的案子外，均由联合纪律委员会设立的一个小组审议。行政法科把案子提交该委员会审理平均要花8个月时间。自采用新系统后，该科平均需要11个月时间将2009年7月1日以后提交给它的案子结案。",
"200. 联合纪律委员会的撤消，切实增加了行政法科根据《工作人员条例》关于纪律措施的第十章审查每个案子的实情并对这些案子加以分析的责任，而这些任务以前大部分是由委员会承担的。鉴于争议法庭加大了审查力度，该科同样进行更为详尽的分析，并在程序的每一阶段与调查实体开展相应的后续工作。",
"对各种备选方案的审查",
"201. 2009年7月1日采用新的司法系统，大大改变了处理纪律案件的程序。除其他外，联合纪律委员会的撤消将案子的实情评估责任转给了人力资源管理厅。",
"202. 当前的多步骤程序存在着三个重大瓶颈，其中每一个都涉及确保对实情进行仔细分析和尊重工作人员的适当程序权利：(a) 调查进程的长短和参与调查的实体数目、以及实情调查和非专业的调查人员进行的其他调查的质量；(b) 让被控行为失当的工作人员作出评论所需的时间；(c) 从调查实体获得其他资料花费的时间。",
"203. 简单地下放权力不会消除现有的瓶颈，因为处理纪律事项的现有程序和法庭的新判例将继续需要予以非常仔细的审视。此外，将权力下放给外地可能使工作更加重复，使作出的决定更不一致。",
"部分下放权力",
"204. 部分下放权力是指将采取不太严厉的纪律措施(如罚款和训斥)的权力下放给特派团团长和总部以外办事处主管。",
"205. 不过，由于只有在数目有限的案子中采取了罚款和训斥，这一选择办法不会大大缩短纪律程序的时间。因此，现有的瓶颈将依旧没有得到处理，而由此在外地和人力资源管理厅之间造成的工作重复将导致低效。鉴于部分下放权力造成费用增加，包括管理事务部要外派法律干事协助从事纪律进程的程序工作，行政当局在现阶段认为这不是一个可行的选择办法。",
"完全下放权力",
"206. 如果完全下放权力，各特派团团长和总部以外办事处主管可依循目前总部采用的纪律程序，采取任何纪律措施。完全下放权力可增加外地的权力，减少外地与总部间的通信联系，但主要的不利之处是本组织不同单位的工作人员得到不一致、不平等待遇的可能性增加。不一致的决定又会使向争议法庭提出上诉的数目增多，造成费用增加。因此，行政当局认为，不宜采取完全下放权力的办法。",
"不下放权力",
"207. 如果采取纪律措施的权力仍完全归主管管理事务副秘书长所有，则现行的中央化系统将继续下去。在这种情况下，管理事务部将继续全盘看待纪律案件，而且最适于确保以最高效率、最一致的方式分析和处理此类案件。",
"拟议的短期措施",
"208. 部分下放权力或完全下放权力目前都不是最佳办法，但显然也需要采取行动来解决纪律案件处理拖延的问题。为此，现提出下列措施，以求加快纪律案件的调查和处理：",
"(a) 通过设立一个涵盖一组特派团的服务基地，办一个试点项目，测试将内部司法至关重要的部分下放的可行性。有关资源将包括法律干事、行为和纪律干事以及可利用在服务基地或所在区已有的资源，如调查人员、监察员和工作人员法律援助办公室。每项职能均订有明确的任务规定和报告关系，以维护调查的独立性、面临纪律程序的工作人员的适当程序权利以及纪律程序的完整性。虽然采取纪律措施的权力仍归主管管理事务副秘书长所有，预期使调查和纪律程序的要素更接近案发地将有助于缩短处理案件所需的时间。这一试点项目将涵盖在非洲的一些实地特派团(待确定)，拟将服务基地设在内罗毕。这样如果从试点项目取得的经验支持进一步下放权力，包括向设在内罗毕的总部以外办事处(以及其他总部以外办事处)下放权力，则便于建立一个今后可以利用的基础设施；",
"(b) 高度优先案件将通过“快车道”方式处理，据此由所有相关单位(外勤支助部、人力资源管理厅和内部监督事务厅(监督厅))将案件列为优先事项。考虑到各特派团团长的请求以及适当理由，列为高度优先的案件将得到加快处理，处理时将遵照待拟订的准则，其中确认监督厅及其案件接收委员会等现有程序的业务独立性，但除此之外将沿用处理纪律事项的适用程序；",
"(c) 让工作人员休带薪行政假的权力将由主管人力资源管理助理秘书长转给主管外勤支助事务副秘书长。这将缩短让工作人员休带薪行政假的进程。而让工作人员休无薪行政假的权力仍归管理事务部所有；",
"(d) 设立一个就纪律事项下放权力问题部门间工作组。",
"209. 秘书长将就此向大会第六十八届会议提交一份全面报告。",
"210. 工作人员和管理当局协调委员会第三十二届会议对拟议措施进行了讨论。会议商定管理当局将与工作人员分享进展情况报告，并将设立一个机制，定期向工作人员代表通报这一项目的进展情况。",
"建议",
"211. 请大会核准秘书长在上文第208段所详述的提议。",
"4. 新的内部司法系统对工作人员-管理层关系的影响",
"212. 关于大会第65/251号决议第54段的要求，秘书处、开发署和儿基会都认为，就新系统对工作人员/管理层关系以及对工作人员和管理人员业绩的影响提出报告为时过早，并认为需要更多时间才能恰当地评定是否有系统性影响。三个机构均指出工作人员-管理当局的关系出现了变化。具体而言，管理人员日益明确认识到其决定的影响，希望确保这些决定符合相关规则和政策。其结果是，方案管理人员在做决定之前向法律干事提出更多问询，更多地请他们提供咨询意见和指导。管理人员还明显地希望更多地了解这一系统，而且总的来说能在案件中作出正确决定。",
"213. 因此，人们可以初步认为，新的司法系统正造成强调预防发生争端的风气，而在无法避免发生争端时，方案管理人员更常与律师咨商，以确保他们的决定符合法律和政策规定。在避免争端或非正式地解决争端过程中，有时与有关的工作人员代表以及联合国监察员或基金和方案监察员进行广泛的共同协商。",
"214. 虽然已确定了这些新出现的做法，但并非所有管理人员都清楚地了解新系统的要求，这一点也是很明显的。因此，从业绩的角度来说，需要更多的时间才能确定这些新出现的做法是否正在合成一种趋势。",
"215. 预期管理人员将非常认真地对待工作人员的业绩评估，并就此定期向下属提供反馈意见，这样确保根据评估报告作出的决定有适当的纪录。不过，要评论这是否已成为趋势尚为时过早。而同样难以预测的是，工作人员和管理人员在新系统下是否将积极地提高业绩。",
"5. 分担费用安排",
"216. 关于大会第65/251号决议第57段中的要求，秘书长作了下列回复。",
"217. 自大会在第62/228号决议中决定设立新系统以来，秘书处一直持续与各基金和方案(开发署、联合国项目事务厅、儿基会、人口基金和难民署)的代表进行正式和非正式讨论，以订立按人头分担费用的安排。在按人头分担费用时，费用是依据工作人员的人数分配的。基于上述讨论，秘书处编制了一份初步的谅解备忘录草稿，并将之分发给了各基金和方案，供其评论。其后，各方举行了一次联席会议，讨论各基金和方案提出的问题。与秘书处的主要利益攸关者进行讨论之后，秘书处向各基金和方案分发了一份经修订的备忘录草稿，供各基金和方案提出进一步评论意见。经修订的备忘录草稿还作为安排的一部分，包含联合国新的性别平等与增强妇女权能实体(联合国妇女署)。2011年3月初，与有关方面又举行了一次会议，讨论经修订的备忘录草稿，而各基金和方案据此于5月提出了一份正式的协调文函，其中列有各项待解决的问题。6月，秘书处针对各项待解决的问题提出了一份正式回复，各方由此于7月举行了进一步磋商。迄今为止，各方已解决了待决问题中的大部分问题，但仍需要对包括调解事务在内的下放权力的监察员综合职能的某些方面(因各基金和方案为综合办公室中的各自监察员提供经费，而且这些监察员向各自的行政首长报告工作)作出一定澄清。例如，针对各基金和方案监察员与区域监察员之间的结构问题(包括问责和移案机制)提出了问题，并针对各基金和方案工作人员所涉案件方面的调解事务提出了问题。各方商定，调解事务和区域监察员与各基金和方案监察员之间的联系线一旦得到澄清，就可以结束关于剩下的这些特别方面的费用分担讨论。各方认识到缔结一项费用分担安排非常紧迫并承诺尽快加以缔结。",
"6. 对系统中行为方的培训",
"218. 关于大会在第65/251号决议第61段中提出的要求，秘书处作了下列回复。",
"219. 2009年6月，法庭的新任法官参加了内部司法办公室举办的就职培训，培训课程简要介绍了本组织的机构和管理框架。书记官处的工作人员参加了关于前南斯拉夫问题国际刑事法庭、卢旺达问题国际刑事法庭和欧洲联盟公务员法庭法庭管理的培训课程。工作人员法律援助办公室工作人员参加了前南斯拉夫问题国际刑事法庭工作人员和海牙辩护律师界从业人员举办的争端解决培训课程。",
"220. 管理事务部聘任了一名法律咨询人，这名咨询人为行政法科的法律干事进行了起草技巧的辅导。法律干事还参加了由国家法律培训机构组织的为期一周的密集辩护培训课程。此外，他们还参加了开发署和监察员举办的争端解决培训课程。",
"221. 开发署为在两个法庭出庭的法律干事举办了一次辩护培训课程，课程由前南斯拉夫问题国际法庭经验丰富的工作人员和英国律师界的资深律师主持。鉴于这种培训对新的专业化的正规系统中的法律干事具有重大意义，设想在2011年后期再举办一次类似的培训课程。开发署及联合国监察员和调解事务办公室联合组织了一次工作场所争端解决培训课程，包括一些高级官员在内的100多名工作人员参加了这一课程。",
"222. 系统中包括法官、其工作人员和代表工作人员和管理当局的法律干事在内的所有参与者都需要经常参加旨在加强法律教育的培训。法律干事须定期参加口头和书面辩护方面的培训，以维持和增强其技能。在法庭管理做法方面加强培训，包括与其他国际法庭工作人员进行教育交流，将使争议法庭和上诉法庭书记官处的工作人员受益。此外，对系统中各行为方的联合培训也会产生种种益处，不仅可节省费用，而且还有机会交流意见和最佳做法。",
"223. 法官参加法律会议和法律讨论会，同其他国际法庭法官、高级学者和其他参加者参与讨论与其专业活动有关的法律和司法做法，也是有裨益的。目前，内部司法办公室的预算不足，难以让法官参加。",
"224. 在每个法庭所在地建立一个收藏参考书籍的司法图书馆将有助于法官和工作人员水平的提高。此外，通过举行年度全体教育会议而持续开展司法教育也有益处，这包括酌情由外部演讲人和主持人提出见解。有待探讨的专题包括跨文化交流技巧、有关国际公务员制度法的最新发展情况、国际规范的适用、劳工组织各项公约对国际公务员制度法的适用以及对法律问题采取的比较方法。",
"225. 最后，也许拟考虑在工作人员可以利用联合国内部司法系统的联合国各机构和机关的法律框架方面，对法官进行进一步的司法培训。为确保不同国际法庭的司法人员之间的对话，或许应举办一次联合国联合司法研讨会，出席者包括争议法庭和上诉法庭的法官、其他法庭的法官、以及在可能情况下的法律学者，重点探讨国际行政法问题。此外，所有参加者都需培训，以便使不同法庭在适用标准时更加统一和一致。",
"226. 现系统在运作两年之后，仍需要向工作人员开展宣传工作，向他们说明争端解决的非正式和正式办法，尤其是说明两者之间的关系。为协助工作人员，内部司法办公室用联合国所有正式语文编制了一份便于用户使用的手册。该办公室还设立了一个有所有正式语文版本的内容全面的网站，其中介绍了正规系统各个要素，包括专门为工作人员法律援助办公室编写的网页内容，以及关于两个法庭判例的最新数据库。",
"227. 与非正式争端解决和调解具体相关的所需培训资源将列于联合国监察员关于非正式司法系统的报告。",
"7. 处理纪律案件的及时性",
"228. 大会在第65/251号决议中批准了行政和预算问题咨询委员会在其关于联合国内部司法的报告(A/65/557)中提出的建议，其中包括要求秘书长将关于处理纪律案件的及时性资料列入拟提交大会第六十六届会议的关于内部司法的报告。",
"229. 对这一要求的回复已经与对关于下放纪律权力提议的要求的回复合在一起，载于上文第191至210段。",
"8. 大会第65/251号决议第53段要求提供的资料",
"230. 大会在第65/251号决议第53段中请秘书长在向大会第六十六届会议提交的关于内部司法的报告中列入以下资料：",
"(a) 关于两法庭在该期间所收到和已处理案件的明确统计资料，包括提供分类资料，说明判决中申诉人或被告人何者胜诉，以及所涉及的行政问题；",
"(b) 对若干个报告所述期间的趋势进行分析，以便查明哪些系统性的问题导致动用内部司法系统，并监测这些问题已否有效解决；",
"(c) 关于所提供的补偿金的详细资料，以及上诉相关间接费用(如工作人员工时)，包括查明人事管理中那些方面的问题导致产生大量上诉的情况；",
"(d) 关于向工作人员赔付相当于6个月薪金甚至更多赔偿的详细资料，同时列明所涉部厅、这些部厅的所在地以及案情细节。",
"231. 就大会第65/251号决议第53段(a)而言，秘书长在上文第30至41段和第65至72段中提供了有关争议法庭和上诉法庭的资料。本报告附件三载有更多资料。",
"232. 就大会第65/251号决议第53段(b)而言，秘书处作出以下回应。",
"233. 统计数据显示，整个组织最常引起争议的决定涉及与遴选和任用有关的问题。这种决定相关索赔占所有提出索赔的40%左右。这种情况有各种原因。第一，以往关于遴选工作人员的行政指示在内部候选人优先权上含糊不清。第二，根据行政通知，填补一个职位时须遵循若干项程序；针对遴选和任用过程，有人可能会提出程序错误的指控。第三，未被选用的工作人员常常指称，未选用是因为外来因素。第四，工作人员指称，其电子考绩制度评估与其空缺候选资格评价相矛盾，因此对其候选资格的评估不公正。最后，争议法庭关于行政部门在遴选工作中的酌处权范围以及质疑遴选工作的举证责任和标准方面的判例不一致。",
"234. 行政部门已经处理了以下问题：",
"(a) 2009年9月，主管人力资源管理事务助理秘书长一查明关于优先考虑的规定含糊不清，便向所有办公室发出一项通知，澄清了审议内部候选人的程序；",
"(b) 2010年4月废除了关于工作人员遴选制度的行政指示，由一项新的行政指示(ST/AI/2010/3)取代。关于优先考虑的规定不再是政策的一部分；",
"(c) 2010年10月，主管管理事务副秘书长发布了“经验教训指南”，提供工作人员甄选程序指导；",
"(d) 行政部门对争议法庭不一致的裁决提出了上诉。上诉法庭2010年3月的判例进一步澄清了秘书长在甄选决定上的酌处权范围以及举证的责任和标准；",
"(e) 上诉法庭的判例将有助于回应工作人员就感知的考绩评价与候选资格评价不一致提出的事实论据，也将有助于处理偏见指控。上诉法庭认定，当工作人员提出这种指控时，他们有责任出具清楚、令人信服的证据来支持其主张。",
"235. 至于其他类别案件，大家认识到不续约决定常常由于没有遵守考绩管理制度规定的程序而受到指责。主管管理事务副秘书长在给管理部门的通知中谈到这个问题，详述了争议法庭的判例，并让管理人员明白必须遵守电子考绩制度程序。",
"236. 重点涉及定期任用不续约问题的“经验教训指南”于2010年8月发布。指南指示管理人员严格遵守规则和程序，记录决策过程，并遵守考绩管理程序。",
"237. 此外，2010年4月30日发布了题为“考绩管理和发展制度”的行政指示(ST/AI/2010/5)。该指示更新了考绩评价政策和程序，并处理了导致延误完成电子考绩制度评估的问题。",
"238. 纪律措施也常常导致上诉。这是争议法庭产生的判例继续演变的另一个领域。具体地说，争议法庭多次重新审议了秘书长行使斟处权的问题。行政部门对这些裁决提起过上诉。2011年年初，上诉法庭作出一项判决，强调争议法庭不是决策者，其作用仅限于对秘书长行使其广泛的行政管理酌处权进行有限的司法审查。",
"239. 作为几项判决的议题的一项措施，是在调查不当行为指控的过程中让工作人员休全薪特别假。争议法庭裁定，在纪律程序未结束的情况下采取这样的措施不适合。结果，行政部门修订了规则，颁布了工作人员细则10.4。该条特别规定，在调查结束前让工作人员休行政假。以前的工作人员细则要求，对工作人员停职前须提出指控。而新的工作人员细则规定，在调查直至纪律程序结束期间的任何时候，可让工作人员休行政假。",
"240. 对上诉法庭判决提起上诉的一个重要议题是给予补偿的问题。上诉法庭推翻了一些大数额赔偿的裁决，争议法庭应采用的原则已得到阐明。具体地说，上诉法庭认定，成功的索赔人有权获得补偿金——只要金钱可以办到——使之处于其任用条件得到遵守的情况下本应处于的状况。",
"241. 就大会第65/251号决议第53段(c)而言，关于已给予补偿金的详细资料载于本报告附件三。至于与上诉有关的间接费用，如工作人员时间，包括查明引起大量上诉的工作人员行政管理的各方面问题，秘书长作出如下回应。",
"242. 为了计算这种间接费用，内部司法系统的所有利益攸关方都同意，工作人员在2010年花费的与争议法庭和上诉法庭的判决有关的小时总数应予相加。他们还同意，一名P-4法律干事每周40个小时、每年45周工作的费用可用作平均数。此外再加上20%，以反映管理层和高级管理层审查案件和行政支持的额外工作时数。",
"243. 争议法庭书记官处、法律事务厅、人力资源管理厅、开发署、儿童基金会、联合国项目事务厅、人口基金、管理评价股和工作人员法律援助办公室提交的计算花费在争议法庭作出判决的案件所用时间的文件已收到。上诉法庭书记官处、法律事务厅和工作人员法律援助办公室提供了计算上诉法庭案件所用时间的文件。下面分别列出争议法庭和上诉法庭案件用时平均数。得出这些数字的方法说明可应要求提供。",
"244. 应指出，各个案件所用时数可能相差很大。此外，工作人员法律援助办公室提供的数字不反映志愿人员在案件上花费的时间，也不反映该办公室为提供简要咨询意见或处理不导致正式上诉的案件而花费的大量时间。",
"245. 考虑到每个单位和实体提供的资料，争议法庭一起案件所用平均工作人员时间是400.3个小时，上诉法庭一起案件是230.5个小时(按一名P-4工作人员每周40个小时、每年45周工作计算)。",
"246. 就大会第65/251号决议关于赔付六个月或以上薪金的第53段(d)而言，秘书长在本报告附件三中提供了这类赔付的资料。",
"四. 与大会审查两法庭规约有关的问题",
"A. 导言",
"247. 大会在第65/251号决议第46段中决定，“推延到大会第六十六届会议再参照所获得的经验审查法庭规约，包括法庭总体运转效率”。为了协助大会审查两法庭的规约，秘书长提出了以下问题供大会考虑。在提出这些问题时，秘书长强调，这些问题的讨论不应妨碍司法独立原则。由于大会是设立两法庭、通过其规约、批准其程序规则的机构，应由大会断定对这些问题采取什么行动，或是否采取行动。",
"B. 两法庭的程序规则",
"248. 争议法庭规约第7条规定，争议法庭应自订程序规则，但须得到大会核准。同样，上诉法庭规约第6条规定，上诉法庭应自订程序规则，但须得到大会核准。由于大会将审议关于争议法庭和上诉法庭程序规则修正案的报告(A/66/86)，秘书长向大会提出了以下有关程序规则的意见供其审议。",
"1. 程序规则修正案协商",
"249. 两法庭的规约目前没有规定由各当事方就争议法庭和上诉法庭程序规则修正案提出建议，或参与协商。由于各出庭当事方会对拟议修正案的影响提出重要看法，事先与他们协商有利于修正两法庭程序规则的过程。两法庭规约或程序规则中没有明确规定，并不妨碍两法庭在修正程序规则之前，与当事方进行协商。值得注意的是，虽然前南斯拉夫问题国际法庭规约和程序规则没有为修正程序规则规定协商进程，但在实践中，书记官处、检察官办公室和辩护律师的代表参加一个“规则委员会”的工作，而设立该委员会是为了在法官通过法庭程序规则拟议修正案之前审议这些修正案。",
"250. 秘书长建议大会鼓励两法庭在对程序规则进行修正之前，与出庭当事方协商。",
"2. 驳回明显不可受理或毫无根据的案件",
"251. 争议法庭程序规则第9条指出，“在对案件的重大事实没有争议的情况下，当事方如依法有权得到判决，可正式请求当即判决”。根据这一规定，只要对重大事实存在争议，则无法驳回非实质性申诉。相比之下，其他政府间组织的行政法庭规定了处理非实质性申诉的机制。[8] 例如，欧洲联盟公务员法庭程序规则第76条指出，“若一诉讼全部或部分明显不可受理或明显缺乏任何法律依据，则法庭可不进一步进行诉讼，通过附有理由的命令做出决定”。2010年，在欧洲联盟公务员法庭审理的129个案件中，有10个案件是依照这一规定处理的。",
"252. 此外，秘书长指出，上诉法庭的程序规则没有规定快速处理非实质性上诉的机制。在其他政府间组织的行政法庭中，只有欧洲联盟规定了上诉审查。针对欧盟公务员法庭的判决，可上诉到普通法院。普通法院程序规则第111条规定，如果一项诉讼“明显不可受理或者明显缺乏任何法律依据”，普通法院可以就一项诉讼做出“在诉讼中不采取进一步措施”的决定。",
"253. 至于何种案件可以明显不可受理或毫无根据为由驳回，秘书长回顾说，上诉法庭早在2010年7月便裁定，争议法庭无权审查或修改前联合国行政法庭的判决。[9] 尽管如此，上诉法庭迄今接到至少五项上诉，谋求修改行政法庭的判决。虽然这些上诉可被视为“明显缺乏任何法律依据”，但上诉法庭没有机制快速驳回这些案件。因此，本组织除了准备回应这类上诉发生的费用外，还承担为每个这类案件作出全面判决的费用(每项判决3 600美元)。",
"254. 为了确保无聊案件可以快速驳回，以便以更效率使用内部司法系统的资源，大会不妨考虑修正争议法庭规约第七条第二款第㈧项，使其程序规则包含一项关于“即决驳回案件，包括明显不可受理或明显缺乏任何法律依据的案件的程序”的规定。大会还不妨修正上诉法庭规约第六条，使其程序规则包括一项类似的规定。",
"255. 秘书长建议大会修正联合国争议法庭规约第七条第二款第㈧项和联合国上诉法庭规约第六条，规定在程序规则中要有一个机制快速驳回显然不可受理或显然缺乏任何法律依据的案件。",
"3. 口头听讯录音",
"256. 如上文第49段所述，秘书长已请拨预算资源，用于保留口头听讯录音。虽然上诉法庭在一个案件中裁定，一当事方“有权获得争议法庭有关书记官处在诉讼程序中的证词录音，”[10] 但这些纪录并非总是应当事方的要求提供。201年6月，当事方获悉，“规约和程序规则不要求争议法庭书记官处制作口诉程序的录音”。",
"257. 秘书长指出，在争议法庭的事实评估广泛或完全依据诉讼中的口头证据，争议法庭没有向当事方提供这种口头证据纪录的案件中，当事方不能以任何有意义的方式行使上诉权利。虽然各当事方可依靠自己的口头证据笔记，但如果没有客观的证据纪录，上诉法庭将无法评估争议法庭的口头证据说明或当事方的说明是否准确。",
"258. 为了确保保留口头听讯录音，并应当事方的要求提供这些录音，大会不妨考虑修正争议法庭规约第七条第二款第㈤项，使程序规则包含一项关于“口头听讯，包括应当事方要求提供的口头听讯录音的规定”。",
"259. 秘书长建议大会修订联合国争议法庭规约第七条第二款第㈤项，规定保留该法庭口头听讯录音，并应当事方的要求提供这些录音。",
"4. 工作人员姓名编辑",
"260. 争议法庭规约第十一条第六款规定，“争议法庭书记官处应在注意保护个人资料的同时公布法庭判决，供公众查阅”。",
"261. 秘书长指出，在若干案件中，争议法庭在判决书中列出有争议决定直接或间接涉及的工作人员的姓名。在一些争议法庭判定有争议决定无效的案件中，法庭以无节制的措辞形容工作人员的行为和品性。列出工作人员的姓名，以无节制的措辞形容工作人员的行为和性格，已经导致一些工作人员对法官提出申诉，并引起有关诽谤的关切。",
"262. 考虑到争议法庭规约第十一条第六款的规定，并考虑到有必要确保工作人员的姓名和品性不在争议法庭判决书中受到不公正的指责，大会不妨考虑修正该法庭规约第七条第二款第㈥项，使其程序规则包含一项关于“公布判决，包括应有关个人的要求编辑判决书中姓名的程序”的规定。",
"263. 秘书长建议大会修正联合国争议法庭规约第七条第二款第㈥项，使其程序规则包含一项关于“公布判决，包括应有关个人的要求编辑判决书中姓名的程序”的规定。",
"5. 对中间命令提出上诉的暂缓执行效力",
"264. 依照争议法庭规约第十一条第三款，“在规定的上诉时限到期后，判决应予执行。”此外，上诉法庭规约第七条第五款规定，“提起上诉具有暂停执行有争议判决的效力”。虽然两法庭的规约只提到判决上诉，但上诉法庭认识到，在有限的情况下，对中间命令提出上诉也是允许的。因此，争议法庭规约第十一条第三款和上诉法庭规约第七条第五款适用于对中间命令的上诉，看来是合适的。",
"265. 由于不清楚上诉是否暂停执行有争议的中间命令的义务，争议法庭禁止上诉当事方在争议法庭出庭。后来上诉法庭宣布这一结论无效。[11] 目前经修正的争议法庭程序规则第19条对实行这种禁止的权力作出了规定，允许该法庭在一当事方未遵守一项中间命令的情况下，下达其认为适当的任何命令，包括，“驳回申诉或答辩的裁决”。秘书长认为，争议法庭强制遵守中间命令的权利必须与各当事方本着诚意对中间命令提出上诉的权利相平衡，在秘书长否则必须执行争议法庭下达的、与上诉法庭既定判例相矛盾的中间命令的情况下特别如此。大会不妨考虑修正争议法庭规约第十一条第五款和上诉法庭规约第七条第五款，以确认这些规定同样适用于争议法庭的所有裁决，无论其形式是判决还是命令。",
"266. 秘书长建议大会修正联合国争议法庭规约第十一条第三款，说明可对争议法庭下达的中间命令提出上诉。秘书长还建议大会修正联合国上诉法庭规约第七条第五款，说明对争议法庭下达的中间命令提起上诉具有暂停执行有争议的命令的效力。两法庭程序规则的相关规定也需要修正。",
"6. 在上诉法庭提起上诉的时限",
"267. 上诉法庭规约第七条第一款第㈢项规定了45天提起上诉的时限。[12] 目前规约没有为对中间命令的上诉设定时限，虽然在实践中，上诉法庭实行了15天的时限。[13]",
"268. 鉴于当事方资源有限以及工作地点之间转交相关档案遇到的延误，秘书长认为，把提起上诉的时限再延长15天，有助于更充分地介绍上诉法庭应审查的法律问题。时限延长15天造成的推迟极其有限，而允许更彻底审查上诉中提出的法律问题的收益重大，两者应予权衡，在上诉法庭初始阶段第一次审查许多根本性问题时特别如此。",
"269. 秘书长建议大会修正联合国上诉法庭规约第七条第一款第㈢项，把对联合国争议法庭判决提起上诉的时限从45天延长到60天，并为对中间命令的上诉设定30天的时限。上诉法庭程序规则的相关规定也需要修正。",
"C. 联合国争议法庭对独立实体与履行其任务有关的行为和不行为的 管辖权",
"270. 争议法庭规约第二条第一款第㈠项确定该法庭对“被指称为不遵守任用条件或雇用合同的行政决定”具有管辖权。在解释“行政决定”一词时，联合国行政法庭认定，“行政决定的特点是，由行政部门作出，单方面的，针对具体情况”，对工作人员雇用条件和待遇“产生直接法律后果”。[14] 在说明第一项标准(行政决定必须由行政部门作出)时，行政法庭在其第1359号判决(Perez-Soto案(2007年))中裁定，监察员所作的不调查骚扰投诉的决定不构成行政决定，因为鉴于监察员的独立身份，其所有行为或不行为不属于行政当局的决定。",
"271. 其他国际组织的行政法庭也确认以下基本原则：当一实体独立于管理部门行事时，该组织对此实体没有有效控制，因此不能为其行为或不行为负责。例如，在两个不同的案件中，国际货币基金组织(货币基金组织)和世界银行的工作人员指控其组织的职工会对发表个人保密资料负有责任，并对这些组织提出申诉。[15] 货币基金组织行政法庭和世界银行行政法庭都驳回了这些申诉，裁定这些组织不能对职工会的行动负责任，因为职工会没有“按照管理层的指示或在管理层的有效控制下”行事。[16]",
"272. 秘书长指出，若干具有独立地位的实体是依照大会决议建立的。这些实体包括监察员、监督厅、道德操守办公室和内部司法办公室。这些实体都享有业务独立性。[17] 争议法庭是否有权管辖这些独立实体的行为或不行为的问题引发了难题，秘书长因其无有效控制的实体的行为和不行而被追究责任的可能性也提出了难题。",
"273. 迄今为止，行为和不行为在争议法庭上受到质疑的独立实体包括：(a) 监督厅；(b) 道德操守办公室；(c) 工作人员法律援助办公室：",
"(a) 在上诉法庭最近审理的一个案件中，一名工作人员对一份监督厅报告的内容以及监督厅的审计程序提出异议。截至2011年8月15日，上诉法庭尚未发布该案件的判决书。不过，正如判决提要所示(判决提要是上诉法庭书记官处为发布新闻而不是作为正式文件分发的)，上诉法庭似乎承认，由于秘书长无权影响或干涉监督厅，联合国争议法庭也没有管辖权这样做，因为它只审查秘书长的行政决定；",
"(b) 在至少三个案件中，工作人员向争议法庭提出申诉，质疑道德操守办公室断定他们没有受到报复的意见。他们称，大会请秘书长设立一个具有“独立地位”的道德操守办公室，便要求秘书长遵守这种地位。争议法庭在反驳这一论点时认为“大会的建议必须得到认真考虑”，但不对评估道德操守办公室是否享有独立地位具有决定性作用。[18] 由于争议法庭尚未发布一项处理道德操守办公室有关报复的裁断是否构成行政决定的问题的最后判决书，上诉法庭尚未就此问题发表意见；",
"(c) 在上诉法庭最近审查的一个案件中，一名工作人员对工作人员法律援助办公室据称未披露利益冲突提出异议。秘书长认为，该办公室的行为和不行为不构成行政部门的决定，因此，不属于争议法庭的管辖范围。争议法庭仅限于审查“行政决定”。在这方面，秘书长指出，货币基金行政法庭和世界银行行政法庭都拒绝接受这两个国际组织可因其职工会有争议的行动而被追究责任的论点，因为职工会的主要目的是为工作人员利益代言，“表达独立于、有时对立于……管理层的看法”。[19] 这种推理甚至更适用于工作人员法律援助办公室，因为诉讼的对抗性质意味着该办公室常常表达与管理层相反的看法。截至2011年8月15日，上诉法庭尚未发布此案件判决书。不过，正如判决摘要所示，上诉法庭似乎裁定，工作人员法律援助办公室的行为和不行为属于争议法庭的管辖范围，因为该办公室提供的服务以及实施代理的方式可对任用条件产生影响。因工作人员法律援助办公室行为和不行为而追究秘书长的法律和财务责任的含义是，工作人员如果不能成功挑战秘书长的行政决定，只要能够确定该办公室提供的法律咨询有某些缺陷，就仍可对本组织提出赔偿要求。",
"274. 上诉法庭新出现的案例似乎表明，虽然诸如监督厅等某些独立实体的行为和不行为可能不属于争议法庭的管辖范围，但诸如工作人员法律援助办公室等其他独立实体的行为和不行为可以由争议法庭审查。此外，秘书长指出，上诉法庭有关这些问题的指导不一定是决定性的，因为争议法庭强调，只有在上诉法庭确立的规则“符合一般法律原则”时，争议法庭才会认为这些规则是适用的。[20]",
"275. 因此，秘书长认为，大会澄清其在争议法庭管辖范围上的意向可能是有益的。在这方面，秘书长强调，将独立实体的行为和不行为排除在争议法庭管辖之外，并不意味着工作人员在认为其权利遭到这类实体侵犯的情况下被剥夺申诉权。",
"276. 第一，在秘书长根据独立实体受指责行为或不行为作出行政决定的情况下，可以在争议法庭对该决定本身提出异议。例如，道德操守办公室断定，一名工作人员实施了报复，秘书长根据道德操守办公室这一裁断决定对该工作人员采取纪律措施，该工作人员可以向争议法庭提出申诉，对秘书长采取的纪律措施以及他对道德操守办公室据称错误的裁断的依赖提出异议。不过，道德操守办公室有关报复的裁断不应在争议法庭受到质疑。由于道德操守办公室的独立地位不允许秘书长指示该办公室如何作出报复裁断，不能因该办公室作出的裁断而追究秘书长的责任，即使后来这些裁断被证明是错误的。",
"277. 第二，如果工作人员质疑独立实体与履行管理职能有关的行为或不行为，争议法庭管辖范围扩大到这些事项不会在该实体的独立地位方面引起任何问题。例如，质疑监督厅内甄选方式的申诉显然属于争议法庭的管辖范围。",
"278. 只有在一工作人员的申诉涉及独立实体履行其业务职责的方式时，争议法庭对独立实体的行为和不行为行事行使管辖权才有问题。秘书长认为，由于各独立实体履行其业务职责的方式不在秘书长的有效控制之下，这些实体与执行业务任务有关的任何行为和不行为也不能归于秘书长，不应追究秘书长的法律或财务责任。的确，在这种情况下追究责任，不会推进加强问责制的目标，因为秘书长没有权力影响或纠正工作人员所质疑的独立实体的行为和不行为。大会不妨考虑在没有确定秘书长有错的情况下，追究财务责任和花费本组织的公共资金的做法是否合适。",
"279. 如果大会要说明争议法庭对行政决定的管辖范围仅限于那些秘书长作出或以秘书长名义作出的决定，大会不妨考虑修正争议法庭规约第二条第一款第㈠项，提及“秘书长单方面作出或以秘书长名义作出的据称不遵守任用条件或雇佣合同的行政决定”。",
"280. 秘书长建议大会修正联合国争议法庭规约第二条第一款第㈠项，提及“秘书长单方面作出或以秘书长名义作出的据称不遵守任用条件或雇佣合同的行政决定”。",
"281. 另一个新出现的问题是争议法庭是否对秘书长执行大会或其附属机构等理事机构作出的决定具有管辖权。迄今为止，工作人员向争议法庭提出了申诉，质疑秘书长为执行大会决议和国际公务员制度委员会(公务员制度委员会)的决定而采取的行动。",
"1. 大会",
"282. 《联合国宪章》第一百零一条规定，“办事人员由秘书长依大会所定章程委派之”。根据该规定，大会颁布《工作人员条例》并可修改《工作人员细则》。大会以决议形式核准本组织关于人力资源管理的政策。",
"283. 2010年，大会第65/248号决议核准国际公务员制度委员会关于统一联合国共同制度各组织不带家属工作地点工作人员服务条件的建议。该决定的后果是取消了一项称为“个人过渡津贴”的福利。大会同一决议还请秘书长促进“立即执行委员会关于统一不带家属工作地点服务条件的建议”。因此，外勤支助部告诉外勤工作人员，大会核准的更改将于2011年7月1日生效。2011年6月，首次有人向争议法庭提出对取消个人过渡津贴一事的申诉。该申诉指称，取消个人过渡津贴对单身女性造成不利影响，提出此举是基于性别或个人状况的歧视。",
"284. 《宪章》要求秘书长执行大会确立的工作人员管理条例，其结果是还要求秘书长执行大会决议所制定的人力资源管理政策。联合国行政法庭以前曾认为，该法庭“既非大会也非秘书长，因此没有资格以其判决代替关于人事问题的政策决定”。[21] 第65/251号决议重申了大会决议的法律权威，强调指出“新的内部司法系统的所有部分都必须符合《联合国宪章》以及大会核准的法律和规章框架”。",
"285. 然而，争议法庭认为，如果不采取某行动将导致违反人权准则如同工同酬原则，不能以秘书长有义务遵守大会决议为由而拒绝采取该行动。该裁决已获得上诉法庭确认。[22] 简言之，当争议法庭确定执行大会决议将导致不符合人权准则的结果时，则可因秘书长执行该决议而追究其法律和经济责任。",
"2. 国际公务员制度委员会",
"286. 国际公务员制度委员会是大会的附属机构，其章程由大会第3357(XXIX)号决议核准。委员会章程第6条明文禁止委员会接受参与共同制度的任何组织的指令，因此委员会独立于秘书长。该章程第25(3)条规定，委员会的决定“应由各组织从委员会确定的日期起执行”。",
"287. 2009年12月，国际公务员制度委员会决定将内罗毕的工作地点分类从“C”类改为“B”类。亚的斯亚贝巴的工作地点分类也从“C”类改为“B”类。这两项更改均于2011年1月1日生效。委员会的工作地点分类分“A”类到“E”类，表示生活和工作条件的困难度，其中“E”类为条件最困难的工作地点。由于内罗毕和亚的斯亚贝巴工作地点的重新分类，在两地工作的人员获得的艰苦条件津贴随之减少，而且每隔24个月而非每隔12个月才有权享受一次回籍假。这两个工作地点的工作人员均对秘书长执行委员会的决定提出异议。",
"288. 秘书长有义务落实委员会对内罗毕工作地点的重新分类，因为委员会章程第25(3)条和工作人员条例3.14要求秘书长“参考根据国家公务员制度委员会确立的工作地点分类确定的每个工作地点生活或工作的困难度”制定艰苦条件津贴数额。此外，联合国行政法庭还强调，委员会决定对秘书长有约束力。行政法庭第421号判决(Chatwani)裁定，“联合国秘书长或共同制度内其他组织的总干事均无权修订、更改或撤消委员会根据其章程通过的决定”。[23]",
"3. 联合国争议法庭管辖范围的说明",
"289. 争议法庭仍在审查对秘书长执行包括大会决议和国际公务员制度委员会决定在内的理事机构决定所提出的异议。值得注意的是，上诉法庭已驳回秘书长在一个案件中提出的采取工作人员所要求行动会违反大会一项关于预算问题的决议这一论点，认为预算因素“不能压倒公平待遇的要求”。[24]",
"290. 即使在争议法庭和上诉法庭裁决质疑秘书长执行大会决议和委员会决定的具体案件后，此类判决仍不一定能用于其他情况，因为这些理事机构的决定涵盖范围广大的、与人力资源管理相关的问题。此外争议法庭还强调，它认为上诉法庭所定规则仅在“符合普遍法律原则”时才适用。[25]",
"291. 因此，秘书长认为大会澄清其有关争议法庭管辖范围的意图也许是有益的。在秘书长采取行动执行大会和国际公务员制度委员会等理事机构决定的情况下，大会不妨审议强加财政责任和消耗本组织公共资金的做法是否合适。",
"292. 如果大会说明争议法庭的管辖范围不包括秘书长执行大会和委员会等理事机构的决定一事，则大会可考虑修正争议法庭规约第2.1(a)条，将提法改为“秘书长单方面作出或代表秘书长作出的、据称不符合任用条件或雇用合同的行政决定”。秘书长采取行动执行理事机构决定并非秘书长单方面作出的行政决定，因为他无权以违反理事机构决定的方式行事。",
"293. 秘书长建议大会修正联合国争议法庭规约第2.1(a)条，将提法改为“秘书长单方面作出或代表秘书长作出的、据称不符合任用条件或雇用合同的行政决定”。",
"五. 所需资源",
"294. 秘书长确定了为建立一个“独立、透明、专业化、资源充足和权力分散的”新系统在正式司法系统内需要加强的一些领域。非正式系统所需资源在联合国监察员的报告中另行说明。鉴于上述所有原因，除2012-2013两年期拟议方案预算(A/66/6)中请求的资源外，秘书长建议大会考虑以下列员额和非员额资源来加强正式司法系统：",
"(a) 关于管理评价股，鉴于上文第19和20段所述原因，秘书长建议大会再设立一个法律干事(P-3)员额以协助该股工作；",
"(b) 关于争议法庭及其书记官处，鉴于上文第42至44段所述原因，秘书长建议大会为该法庭再任命三名专职法官(日内瓦、内罗毕和纽约各一名)，将纽约书记官处的一个P-2法律干事员额改叙为P-3，并设立六个新员额(3个P-3、2个一般事务和1个一般事务(当地雇员))来协助新增专职法官的工作，自2012年1月1日起生效。上述职位最初由大会第63/253号决议批准，任期为自2009年7月1日起一年，然后由大会第65/251号决议延长至2011年12月31日，经费系运用由大会第60/283号决议授予秘书长并由第64/260号决议延长的有限预算酌处权提供。此项提议是为了使上述争议法庭现有的临时职位正规化；",
"(c) 关于争议法庭的非员额资源，鉴于上文第49至51段所述原因，秘书长建议大会核准通信费(25 000美元)和差旅费(155 000美元)；",
"(d) 关于上诉法庭书记官处，鉴于上文第71至78段所述原因，秘书长建议设立一个法律干事(P-4)以增强书记官处，自2012年1月1日起生效，并增加差旅费280 200美元，以利于该法庭每年可第三次开庭，并用于提高该法庭法官的差旅待遇；",
"(e) 关于工作人员法律援助办公室，鉴于上文第83至92段所述原因，秘书长建议设立四个员额(内罗毕一个P-4和一个一般事务、纽约一个P-4、日内瓦一个一般事务)以增强该办公室，自2012年1月1日起生效。秘书长还建议把第65/251号决议自2011年1月1日设立的、目前由维持和平行动支助账户提供经费至2011年1月1日的P-3职位续设至2012年12月31日。此外，秘书长还请求提供通信费(11 200美元)、差旅费(15 000美元)和用品费(9 000美元)；",
"(f) 关于内部司法办公室执行主任办公室，鉴于上文第101至108段所述原因，秘书长建议大会授权提供一般临时人员经费(130 000美元)，用作内部司法理事会外部人员的报酬，并用作替补请长期病假和产假工作人员的费用。此外，秘书长还建议大会核准差旅费(30 000美元)、订约承办事务费(37 500美元)和成套软件购买费(37 500美元)；",
"(g) 关于在争议法庭代表秘书长的秘书处部门，鉴于上文第115和116段所述原因，秘书长建议大会核准11个新员额(5个P-4、3个P-3、1个一般事务和2个一般事务(当地雇员))，自2012年1月1日起生效。这其中包括人力资源管理办公室五个员额(2个P-4和3个P-3)、联合国日内瓦办事处两个员额(1个P-4和1个一般事务)、联合国内罗毕办事处两个员额(1个P-4和1个一般事务(当地雇员))以及亚洲及太平洋经济社会委员会两个员额(1个P-4和1个一般事务(当地雇员))。鉴于上文第157至161段所述原因，秘书长建议大会核准差旅费(60 000美元)，用于执行外联任务和前往其他工作地点参加法庭听讯；",
"(h) 关于法律事务厅，鉴于上文第172至186段所述原因，秘书长建议在一般法律事务司设立三个员额(2个P-4和1个P-3)，自2012年1月1日起生效。",
"295. 因此，如果大会同意上述提议，则将按照根据大会第41/213和42/211号决议设立的应急基金的规定，考虑提供所需追加资源8 657 900美元(重计费用前)。在这方面，应记得大会第65/262号决议核准2012-2013两年期应急基金数额为4 050万美元。",
"296. 本报告所列的全部新员额拟于2012年1月1日起设立。行政和预算问题咨询委员会在关于2008-2009两年期拟议方案预算第一次报告(A/62/7)第20段中建议，凡是提出新的提议，均应说明员额的滞后影响。有鉴于此，大会不妨注意到，拟议的26个新员额在2014-2015两年期按全额费用计算的所需增加经费目前估计为3 356 400美元，包括第1款(通盘决策、领导和协调)下1 072 200美元、第8款(法律事务)下432 200美元、第19款(亚洲及太平洋经济和社会发展)下173 500美元、第29A款(主管管理事务副秘书长)下126 200美元、第29C款(人力资源管理办公室)下684 600美元、第29E款(行政，日内瓦)下234 500美元、第29G款(行政，内罗毕)下168 300美元以及第37款(工作人员薪金税)下464 900美元，最后一笔由收入第1款(工作人员薪金税收入)下的同等数额抵销。",
"六. 结论以及有待大会采取的行动",
"297. 秘书长认为，报告所载建议将为已经赢得工作人员和管理当局信任的新内部司法系统提供所需的额外力量。他请大会给予这些提议适当的考虑，并核准确保其落实工作所需的资源。",
"298. 因此，请大会：",
"(a) 核准在2012-2013年两年期方案预算内从2012年1月1日起设立26个新员额(10个P-4、8个P-3、4个一般事务(其他职等)和4个当地雇员)；",
"(b) 核准在2012-2013年两年期方案预算内从2012年1月1日起将1个P-2员额改叙为P-3员额；",
"(c) 在2012-2013年两年期方案预算内共批款8 657 900美元(重计费用前)，包括下列增加批款：第1款(通盘决策、领导和协调)下3 889 700美元；第8款(法律事务)下559 700美元；第19款(亚洲及太平洋经济和社会发展)下388 400美元；第29A款(主管管理事务副秘书长)下164 300美元；第29C款(人力资源管理办公室)下948 300美元；第29D款(中央支助事务厅)下832 700美元；第29E款(行政，日内瓦)下636 600美元；第29G款(行政，内罗毕)下577 200美元以及第37款(工作人员薪金税)下增加661 000美元，最后一笔由收入第1款(工作人员薪金税收入)下相应数额抵销。这些经费将从应急基金列支；",
"(d) 核准自2012年1月1日起将内罗毕一个P-3员额再续设一年，由维持和平行动支助账户预算供资，相关费用将在与2011年7月1日至2012年6月30日维持和平行动支助账户有关的执行情况报告中报告，并反映于2012年7月1日至2013年6月30日的拟议预算中。",
"附件一",
"为工作人员法律援助办公室供资的工作人员出资机制建议",
"工作人员法律援助办公室的工作人员出资机制：概念文件",
"一. 导言",
"1. 本概念文件根据大会第65/251号决议第40和41段的要求，介绍了由工作人员出资的各种机制，用以支持内部司法办公室的工作人员法律援助办公室的工作。大会要求提交基于法定缴款和自愿缴款两种模式的建议，本概念文件对此要求作了回应。",
"2. 本文件列出了法定缴款和自愿缴款方案的共同点。具体而言，大会将继续在考虑到秘书长拟议预算的基础上，确定工作人员法律援助办公室的工作人员配置表和其他财务需要。此外，秘书长还注意到，任何关于该办公室人员配置需求的决定都必须考虑到大会就办公室任务和职能所作的任何决定。根据第63/253号决议设立的办公室员额将继续由经常预算供资。拟议的工作人员出资机制将抵销根据秘书长的提议增强办公室目前工作人员配置的部分费用。最后一个共同点是，拟议的工作人员缴款，不论法定缴款还是自愿缴款，均将从每月工资中扣除。",
"3. 具体而言，关于法定缴款方案，值得注意的是，大会设立工作人员法律援助办公室是将其作为本组织内部司法系统的一部分，与其业务活动相关的费用构成本组织的费用。根据《联合国宪章》第十七条第二项，“本组织之经费应由会员国依照大会分配限额担负之”。该项的意图是要求会员国承担本组织的费用，这一点是该项规定的立法历史所明确显示的。[26]",
"4. 因此，要求工作人员部分承担《宪章》规定会员国承担的本组织经费会引起法律上的问题。如果引入以工作人员出资机制协助大会授权本组织进行的活动这种做法，将产生一种可能性，即未来本组织的其他“费用”可能被视为有利于工作人员，将通过向工作人员征税来全额承担或部分承担。",
"二. 为工作人员法律援助办公室供资的工作人员法定缴款机制",
"5. 工作人员为工作人员法律援助办公室供资机制有三种可能的法定缴款模式：(a) 普遍模式，即所有工作人员缴纳工资的一定百分比；(b) 仅向实际使用该办公室服务的工作人员收费的模式；(c) 用工作人员工会和协会所收会费的一定百分比为办公室活动供资的模式。以下论述这三种模式。",
"6. 截至2010年6月30日，秘书处和各基金及方案的工作人员包含约45 000名一般事务工作人员、约30 000名专业和外勤工作人员以及约1 525名司级及司级以上工作人员。这些人可使用内部司法系统(见A/65/350和CEB/2010/HLCM/ HR/24)。",
"A. 普遍法定缴款模式",
"7. 根据普遍法定缴款模式，将对每位工作人员收费。对工作人员的任何收费都有一项重要考虑，即各工作地点的薪金表，尤其是本地薪金表，有很大差异。因此，任何收费都需要反映薪金表的差异，以确保收费公平并与每位工作人员的实际工资比例相称。一种可能是收取每位可使用内部司法系统的工作人员工资的某个百分比(例如，001%)。另一种可能是收费额固定，但以确定的工作人员的职等、职级和工作地点为准。收费将从每月工资中扣除。",
"8. 收取的工作人员缴款将用以抵销根据大会第63/253号决议确立的工作人员法律援助办公室目前人员配置表(1个P-5、5个P-3、1个P-2和3个一般事务员额)以外员额的部分费用。",
"9. 此模式有几个好处。主要的好处是，由于工作人员人数众多，即便个人缴款数额很少，仍可收取很大一笔资金来为办公室供资。同样，普遍法定缴款机制将是最始终如一和稳定的收入来源。",
"10. 然而，法定缴款机制也有一些值得担心的问题。第一个问题是，一般而言，使用办公室服务的工作人员预计会占很小的百分比。目前，正在向正式系统投诉的工作人员不到1%。因此，约99%的工作人员将为不到1%工作人员所使用的服务支付部分费用。这种情况令人担心以普遍法定缴款机制广泛收费的做法是否公平。",
"11. 另一个担心的问题是，按照争议法庭判例，[27] 办公室如确定某案件在法律上站不住脚或在法庭胜诉的机会小到一定程度，则可拒绝提供援助。此判例符合普遍接受的原则，即法院人员不得在法庭上提出其真诚认为在法律上站不住脚的案件。此外，组织的资源不应浪费在几乎不可能或完全不可能取得有利结果的事项上。然而，如果对所有工作人员实行法定收费，则不论案件在法律上是否站得住脚或有无合理的成功把握，工作人员个人均可能感到有权让工作人员法律援助办公室代表其提出案件。因此会有一种风险：工作人员如果尽管付了费，却得不到服务，则可能提出申诉，甚至正式对该决定提出上诉，从而给本组织带来更多、可能重大的费用问题。",
"12. 此情况在法定缴款和自愿缴款机制下都可能出现，因为在理论上，不论法定缴款还是自愿缴款的工作人员，均可能辩称缴款使其有权获得服务。",
"13. 最后，如果规定工作人员要为大会设立的办公室所提供的服务缴款，工作人员可能认为此规定违反任用条件和服务条件，并对此提出上诉。如工作人员申诉成功，则本组织在后期阶段将被迫退还所有工作人员的缴款加利息，还可能要支付其他补偿金。",
"B. 对使用工作人员法律援助办公室服务者实行法定收费",
"14. 第二个可能的法定工作人员出资方案是，规定只有使用工作人员法律援助办公室服务的工作人员才须缴款。此模式可解决不使用办公室服务的工作人员被要求承担办公室供资费用的问题。",
"15. 如果同意此方案，则需要确定要求缴多少款。固定缴款等于为使用办公室的服务收费。也可考虑其他模式，例如要求申诉成功者捐出任何判定赔偿金的某个百分比。",
"16. 然而，由于使用办公室服务的工作人员数在工作人员总数中占很小的百分比(每年约有1 000名工作人员寻求办公室的服务)，对使用者个人的收费必然多于普遍法定缴款模式下设想的小额缴款。例如，日内瓦P-4员额的年费用为227 300美元。因此，为提供日内瓦工作人员法律援助办公室一个P-4员额的全部经费，对每名办公室使用者的平均收费将为227.30美元。如确定此机制仅应抵消办公室其他员额相关费用的某个百分比，则依员额数和应抵销百分比而定，固定收费可能更多，也可能更少。",
"17. 值得注意的是，以上说明普遍缴款模式时谈到的一种令人担心的情况也适用于此模式，即：如果办公室拒绝代表已支付法定缴款的工作人员，该工作人员可能要求继续对其提供法律服务并提出投诉，甚至提出上诉。不过减轻这种担心的一个方法是，视办公室向该工作人员提供服务的范围大小，向其收取的费用可多可少。例如，如办公室协助工作人员谈判与和解其案件，可向其收费300美元，但如办公室向其提供电话咨询服务，则仅收费50美元。",
"C. 对工作人员工会和协会所收会费实行法定收费",
"18. 第三个可能的法定缴款模式是，要求工作人员协会和工作人员工会捐出一部分向其缴纳的会费，用于支持工作人员法律援助办公室的工作。",
"19. 工作人员工会和协会会费的用途是增进和保障工作人员的权利和利益。因此，要求将所收的一部分会费捐给办公室相当于规定工作人员工会和协会自费为其所代表的工作人员提供某种形式的法律保险。",
"20. 对工会财政资源实行法定扣费这一做法所引起的担心，类似于对工作人员个人实行法定扣费的做法所引起的担心。",
"21. 目前，联合国工作人员工会和协会不得对所代表的工作人员实行法定会费收费。因此，各工会和协会在财政资源方面存在巨大差异。确定收费的可能方式有几种。一种是对每个工作人员工会或协会所收会费收取某个百分比。另一种是按工会所代表工作人员数收费。第三种是对所有工会和协会收取固定数额。前两种模式下，可收取和用于抵消办公室费用的资金数取决于几个因素(第一种模式下为所收会费数，第二个模式下为所代表工作人员数和向每人收取的会费数)。在第三种模式下，举例而言，如向每个工作人员工会/协会收费20 000美元(有14个工会)，则每年将净得280 000美元。然而担心的是，各个工会和协会，尤其是资金不足的工会和协会，可能抱怨实行收费会削弱其向会员提供基本服务的能力。",
"三. 为工作人员法律援助办公室供资的工作人员自愿缴款机制",
"22. 有两种可能的模式可用以设立基于自愿缴款的工作人员供资机制。一种制度是，自动扣减工作人员工资的固定百分比以协助工作人员法律援助办公室提供服务，但工作人员可选择退出该制度。第二种是允许工作人员选择缴纳工资的固定百分比这一方式。",
"23. 两种自愿缴款模式都有一个好处：缴款是经参加的工作人员同意(明示同意或默示同意)而作出的。但是，自愿缴款模式收取的资金数将取决于有多少工作人员决定缴款，因此如没有几个年度缴款周期的实际情况可作评估基准，就难以估计缴款数。",
"24. 在这两种模式下，均需为工作人员参加机制实行某种激励措施。一种鼓励参加的可能方式是办公室优先处理选择参加机制的工作人员的案件。如办公室在某一时间案件太多而无法一一有效处理，可拒绝向退出自愿出资机制的工作人员提供援助。",
"25. 另一个鼓励参加的方式是将工作人员法律援助办公室的服务设为两个级别。参加自愿工作人员出资机制的工作人员将可使用办公室的所有服务。不提供自愿缴款的工作人员只能使用该办公室的基本服务，即提供关于现行法律的简要法律指导/咨询，以及对工作人员为自己案件起草的任何文件或诉状给予有限审阅。在这方面，另一个鼓励参加自愿缴款机制的激励措施是在法定缴款机制下增加使用者付费概念，即：不选择加入或选择退出自愿机制的工作人员需为使用办公室的服务付费。",
"26. 如在法定缴款模式下一样，若办公室认为缴费工作人员的案件几乎无可能或完全无可能胜诉而拒绝接受该案件，可能会发生申诉和上诉。不过，减轻此类担心的一个方法是向工作人员明确宣布，办公室在决定是否提供法律援助时会考虑到其投诉理由是否站得住脚。",
"27. 此外，自愿机制的另一问题是，达到何种最低缴费限度才会提供增强型服务。例如，若工作人员可在希望获得办公室服务前一刻选择参加固定缴款模式，并可在获得这些服务后立即退出，则缴款收入会非常少。解决此问题的一个办法是限制工作人员改变参加/退出状态，例如限制为一年一次。",
"四. 结论",
"28. 上述所有模式均需进一步审议后才能实施。如上所述，实行法定缴款模式涉及到法律问题。",
"29. 此外，公平性和获得缴款收入两者间的利弊冲突也必须加以解决。法定缴款模式如被确定为可接受，更有可能获得较多缴款收入以抵消更多办公室资源的费用。然而，获得的缴款收入数也将取决于有多少个人或实体缴款，并取决于收取的数额或百分比，即使在法定缴款模式下也是如此。",
"30. “使用者付费”和自愿模式可能被视为比较公平，因为这些方式不会对不使用办公室服务或不认为值得为将来可能使用服务而缴款的人收取费用，哪怕是收取极少费用。这个问题之所以尤其突出，是因为99%的工作人员未曾使用且预计不会使用办公室服务。但是，比较难以预测任何自愿机制会获得多少缴款收入。在“使用者付费”模式下，可能产生的问题是如何确保缴款公平而充足，同时避免导致办公室服务的使用量过度减少。因此需要进一步审议，以在广泛提供办公室服务与获得缴款收入两者间达至恰当平衡。",
"五. 建议",
"31. 秘书长建议大会注意到本文说明的法定出资和混合出资机制建议，并建议大会指出其认为是否有一个模式以及哪一个模式适于作为秘书处拟定更详细建议以提交大会审议的基础。",
"附件二",
"关于编外人员申诉机制的提案",
"联合国与咨询人和个体订约人的合同快速仲裁程序规则概要：概念文件",
"一. 导言",
"1. 本概念文件[28] 提出通过在联合国贸易法委员会(贸易法委员会)《仲裁规则》中加入一些简化内容来制订快速仲裁程序的可能办法，用于解决联合国与某些类别的编外人员(即咨询人和个体订约人)之间的争议。秘书长关于联合国内部司法的报告(A/65/373和Corr.1，第171段)概括地提到了这种办法。本概念文件无意讨论大会第64/233号决议第9段提及的解决联合国与编外人员争议的可能办法，也无意针对不适用本概念文件所讨论程序的某些类别的编外人员，就其与联合国之间的争议提出解决方式(见大会第65/251号决议，第55段)。",
"2. 秘书长报告第171段提到的办法，针对的是在地方、国家或区域仲裁协会主持下处理数额在25 000美元以下诉求的仲裁。但是，该报告又做出结论，认为“对于数额在25 000美元或以下的诉求启动正式仲裁，即便是根据特别程序进行仲裁，对本组织而言不一定有效率和实效”(A/65/373和Corr.1，第172段)。因此，下文概述的快速程序未将财政上的限制作为先决条件。",
"3. 本概念文件中的程序既可用于专项仲裁，也可用于仲裁协会主持下的仲裁，只要相关协会同意按照这些程序来进行仲裁。",
"4. 在简化仲裁程序时，必须铭记，根据《联合国特权和豁免公约》第八条第二十九节的规定，联合国应规定适当办法，解决其订立的合同所发生的纠纷。因此，本概念文件载列的程序力图保留正当程序的基本特点。",
"5. 本概念文件载列的程序具有下列基本特点：",
"• 是一个两阶段进程，由一个非正式的争议解决阶段以及在非正式争议解决不成功时的快速仲裁程序组成",
"• 提交仲裁申请的时限不能被放弃",
"• 独任仲裁员",
"• 仲裁员选自本组织与个体订约人/咨询人同意的仲裁员名单(见下文第8段(d)项)",
"• 限定仲裁员的收费",
"• 消指定机构，由一个中立的实体行使指定机构的某些职能，例如选择/任命仲裁员以及就一方当事人对仲裁员提出的异议做出决定",
"中立实体可以是一个国际争议解决机构(在此情况下，本组织和申请人需要按各自的份额分担该机构的管理费)",
"• 只要有可能，均使用电子方式发送仲裁通知和其他函件",
"• 各方当事人提交文件时使用标准样板",
"• 简化书状和提交的其他文件并限制其数量",
"• 限制对书状和提交的文件的修正",
"• 证人以书面宣誓书的方式作证，除非仲裁员决定证人应口头作证(例如为了让对方当事人能对证人进行交叉质证)",
"• 仲裁员与各方当事人之间关于初步行政事宜和其他事项的会议和协商采用电话会议或视频会议方式进行",
"• 作为特例，一方当事人可以请求举行听讯，以便交叉质证，或者仲裁员在必要时也可以下令举行听讯，以解决事实或法律方面的实质性问题；此类听讯通常通过电话会议或视频会议进行，须限制范围，时间不得超过两天",
"• 多数情况下，仲裁员根据各方当事人的书面诉答状和提交的文件做出裁决(完全的书面审理程序)",
"• 仲裁员在规定的时限内，例如30天内，做出裁决",
"• 裁决支付的任何补偿仅限于弥补经济损失，并且设定上限",
"• 取决于针对本组织提起的按照拟议简化仲裁程序进行仲裁的数量，可能需要更多资源来为本组织辩护并尽可能降低其法律责任。",
"二. 框架",
"6. 一套新规则，称为《联合国咨询合同快速仲裁程序规则》(以下称为“《快速规则》”)，将以《贸易法委员会仲裁规则》为框架编制。《快速规则》将以《贸易法委员会仲裁规则》为基础，对其做出必要修改，以纳入上文提到的快速程序。本概念文件将介绍这些修改的内容，但不一定确定措辞或位置。本概念文件还将指明《贸易法委员会仲裁规则》中有哪些条款与拟议程序有关或受其影响。应注意到，除了本概念文件中载列的各要点之外，还需要对《贸易法委员会仲裁规则》做许多其他的相应修改(例如，为适应仅有一名仲裁员所需的修改)。",
"争议解决程序概要",
"7. 《快速规则》规定一个两阶段进程，由一个非正式争议解决阶段和一个快速仲裁程序组成。在非正式争议解决阶段不成功的情况下，各方当事人将进入正式的争议解决阶段，即快速仲裁程序，其特点将在以下各节中讨论。",
"三． 《快速规则》的范围(《贸易法委员会仲裁规则》所涉条款：第1条)",
"8. 《快速规则》适用于联合国使用咨询人和个体订约人服务合同雇用咨询人和其他人(见ST/AI/1999/7/Amend.1，附件)或者联合国各基金和方案使用类似合同格式与咨询人和个体订约人签订合同(例如，见A/62/748和Corr.1，第13段；以及A/65/373和Corr.1，附件四，第3段)的情形。上述类别的人员在本概念文件中合称为“个体订约人”。",
"评论",
"(a) 按这种办法，《快速规则》适用于依照咨询人和个体订约人服务合同或类似合同雇用的所有人。例如，这包括持有此类合同的特派专家和工人(见A/62/748和Corr.1，第33和40段；以及A/62/782，第31-35和37-39段)，但不包括联合国志愿人员(见A/62/748和Corr.1，第23和24段；以及A/62/782，第22和23段)、秘书处官员以外的其他官员(见A/62/748和Corr.1，第29-31段；以及A/62/782，第27-29段)和未持有此类合同的其他人。",
"(b) 与个体订约人签订的合同中的争议解决条款将予更改，规定未能在非正式争议解决阶段友好解决的争议应按照《快速规则》提交仲裁。",
"(c) 《快速规则》将规定其所适用的具体类型的合同诉求，例如声称对方违约或不当终止合同的诉求。此外，《快速规则》还明确地将某些类别的争议排除在属事管辖范围之外，例如由应具有工作人员地位的订约人提出的诉求等。就《工作人员细则》附录D的规定而言，仲裁员的职责仅限于核实供申请人确定其是否有权获得相同赔偿的程序就是《联合国工作人员细则》附录D规定的程序。此外，《快速规则》还确定提出仲裁申请的时限，并规定该时限不得被放弃。",
"(d) 与《贸易法委员会仲裁规则》不同，个体订约人或咨询人不一定熟悉或能即时查阅《快速规则》，因此，应当在每份合同后面附上《快速规则》(包括个体订约人或咨询人可以索要现有仲裁员名单的实体的名称)，或者应当在签署合同之前将该规则提供给每位个体订约人或咨询人。个体订约人或咨询人必须签署一份确认函，表明㈠ 本组织已向其提供了《快速规则》，㈡ 《快速规则》构成合同不可分割的组成部分，㈢ 其接受仲裁员名单。",
"四. 通知和其他函件(《贸易法委员会仲裁规则》所涉条款：第2条)",
"9. 各方当事人和仲裁员应通过电子方式按《快速规则》发送通知、函件或提议，除非这种发送方式因技术原因而不可获得或不可能实现。[评论：例如，这可能包括电子传送方式无法获得或出现故障，书状或提交的文件过于庞大等。]",
"五. 书状和提交的其他文件(《贸易法委员会仲裁规则》所涉条款：第3、4、20、21、22、23⑵、24和25条)",
"初步评论",
"根据以下规定，被申请人在仲裁员得到指定之前无须提交答辩书。这样规定的理由是：被申请人可能希望提出对仲裁员管辖权的抗辩(例如，相关争议不能根据申请人申明的仲裁条款提交仲裁，或者由于其他某种原因，仲裁员没有管辖权)；或可能希望以仲裁申请明显缺乏法律依据为由，请求提前驳回该申请。在仲裁员就管辖权问题或被申请人针对实质依据提出的质疑进行裁决之前，被申请人无须提交完整的答辩书及附带文件。",
"10. 申请人通过提交仲裁请求和仲裁申请书的方式启动仲裁程序。该书状载列的信息应类似于《贸易法委员会仲裁规则》所规定的仲裁通知和仲裁申请书的内容。申请人应在其中说明其诉求并概述诉求的依据和支持性论点。",
"11. 收到申请人的仲裁请求和仲裁申请书之后的60日内，被申请人必须发出对仲裁请求的答复。答复应包含对管辖权的抗辩并说明其他事项，例如每位被申请人的身份以及对申请人仲裁请求中所载信息的答复。各方当事人提交文件时均应使用标准样板。",
"12. 被申请人如果提出对管辖权的抗辩，则应在对仲裁请求的答复中载明其希望为支持该抗辩而陈述的全部事实和辩论，并尽可能在答复中附带作为依据的全部文件或注明这些文件的出处。",
"13. 被申请人如果以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则应在对仲裁请求的答复中载明其希望为支持该答辩而陈述的全部事实和辩论，并尽可能在答复中附带作为依据的全部文件或注明这些文件的出处。",
"14. 在指定仲裁员之后：",
"(a) 如果被申请人提出对管辖权的抗辩，则仲裁员应在与各方当事人协商之后，设定申请人针对该抗辩作出答复的时限。然后，仲裁员就被申请人对管辖权的抗辩进行裁决[评论：不举行听讯，见下文第十三节]，仲裁员如果裁定有管辖权，则应设定被申请人提交答辩书的时限；",
"(b) 如果被申请人以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则仲裁员应在与各方当事人协商之后，设定申请人针对该答辩作出答复的时限。然后，仲裁员就被申请人以仲裁申请明显缺乏法律依据为由提出的提前驳回该申请的答辩进行裁决[评论：不举行听讯，见下文第十三节]，仲裁员如果仍然维持仲裁申请，则应设定被申请人提交答辩书的时限；",
"(c) 如果被申请人没有提出对管辖权的抗辩，也没有以仲裁申请明显缺乏法律依据为由提出提前驳回该申请的答辩，则仲裁员应设定被申请人提交答辩书的时限。",
"15. 答辩书载列的信息应类似于《贸易法委员会仲裁规则》为答辩书规定的内容。被申请人应在答辩书中回应仲裁申请书中的具体内容，可以提出反诉或抵销请求，并且还可以提出对管辖权的抗辩，除非之前已经提出过。答辩书应当尽可能附带被申请人作为依据的全部文件或其他证据，或者注明这些文件的出处。",
"六. 延长或缩短时限(《贸易法委员会仲裁规则》所涉条款：第17⑵条)",
"16. 如果各方当事人同意或仲裁员在请各方当事人发表意见之后做出决定，《快速规则》确立的或各方当事人商定的时限可在任何时候予以延长或缩短。",
"七. 书状的修正(《贸易法委员会仲裁规则》所涉条款：第22条)",
"17. 仲裁员被选定并接受任命之后，一方当事人不得修正其书状，除非取得对方当事人的同意或者仲裁员的允许。向仲裁员提交的修正书状的请求应附带拟修正的文本，并说明修正的原因和理由。为决定是否允许修正书状，仲裁员应考虑因允许修正而造成的仲裁程序的延迟、给对方当事人造成的不利以及其他情形是否大于其带来的益处。如允许修正书状，仲裁员应设定对方当事人就修正做出答复的截止时间。如果书状被修正，对方当事人可以仅针对修正的内容做出答复。",
"八. 补充提交的文件(《贸易法委员会仲裁规则》所涉条款：第24条)",
"18. 与各方当事人协商之后，仲裁员应设定每一方当事人可以提交其他事实、法律辩论或文件的截止时间。上述材料应以书面形式提交。截止时间过后，不得再允许进一步提交任何材料。尽管有上述规定，不得允许一方当事人在补充提交文件时陈述其在提交书状或补充提交文件时已经或应当知道或者能够获得的事实或文件。",
"九. 披露(《贸易法委员会仲裁规则》所涉条款：第27⑶条)",
"19. 仲裁员可以应一方当事人的请求或自己主动下令任何一方当事人在任何时候出示证据或要求任何人披露或提供仲裁员认为公平、快速了结仲裁程序所需的文件或信息。但是，仲裁员不得命令任何人出示或披露保密或受特权保护的证据、文件或信息。",
"20. 一方当事人如果希望提交由对方当事人或任何其他实体持有的非特权或不保密证据，可以请求仲裁员命令持有人出示证据。",
"21. 如果出于安全或其他特殊情况的需要，仲裁员可应任何一方当事人的请求，采取措施为证据保密。",
"评论",
"这些规定根据《联合国争议法庭程序规则》第18条做出。",
"十. 证人证词(《贸易法委员会仲裁规则》所涉条款：第27⑵条)",
"22. 任何证人(包括作为申请人或被申请人的任何个人)的陈述或证词均应由证人以书面宣誓书的形式做出，应予公证或以其他方式予以法律认证，除非仲裁员决定出于公正的需要，应在听讯时作证。",
"评论",
"见下文第十三节关于听讯的规定。除某些例外情况之外，听讯将采取电话会议或视频会议方式。证人的书面陈述应作为一方当事人的书状或补充文件提交(见上文第八节)。",
"十一. 指定机构(《贸易法委员会仲裁规则》所涉条款：第6条)",
"23. 不设指定机构。",
"24. 但是，仍有必要保留指定机构的某些职能，例如选择或指定仲裁员、对仲裁员提出异议等相关职能。这些职能可以由一个中立的实体履行。",
"25. 中立实体可以是一个国际争议解决机构，通过竞争性征聘方式选定。",
"26. 由一个国际争议解决机构担任中立实体的好处如下：(a) 这样的机构能提供管理仲裁程序各方面的现有专长；(b) 通过竞争性征聘方式选择这样的机构，能体现存在争议的合同的商业性质；(c) 由一个外部机构来管理仲裁可以确保中立实体与本组织无关，避免产生偏袒的看法。但是，申请人和被申请人需要按各自的份额承担该机构收取的管理费。",
"十二. 仲裁员(《贸易法委员会仲裁规则》所涉条款：第7至15条)",
"27. 仲裁员人数和指定(《贸易法委员会仲裁规则》所涉条款：第7至第10条)：",
"(a) 只有一名独任仲裁员；",
"(b) 上文第十一节提到的中立实体将编制并维持一份可能担任仲裁员的人员名单；",
"(c) 列入名单的一项条件是，要求仲裁员签署文件确认其同意，如被指定担任一个案件的仲裁员，则依照《快速规则》进行仲裁，并且接受对仲裁员费所设的上限(见下文第十七节)；",
"(d) 仲裁员的指定：上文第十一节提到的中立实体将从上述可能担任仲裁员的人员名单中选择一名仲裁员。为了让这个过程更具有可预测性，将采用一个清单程序，即各方当事人将从一个载有几名候选人的清单中挑选其最优先人选，由中立实体保密地分别通知每位人选。",
"28. 对仲裁员的异议(《贸易法委员会仲裁规则》所涉条款：第11至15条)：《快速规则》将保留《贸易法委员会仲裁规则》关于对仲裁员的异议的条款，但会规定，如果各方当事人不能就此异议达成一致，或者仲裁员不自愿辞职，则上文第十一节所述的中立实体将就此异议做出决定。各方当事人就某项异议达成一致意见或仲裁员决定辞职，都具有决定性作用，将自动启动新的仲裁员遴选程序。",
"十三. 仲裁程序(《贸易法委员会仲裁规则》所涉条款：第17、27⑵、28、29和31条)",
"29. 程序应以各方当事人的书状和提交的文件为基础展开，但下文规定的情况除外。",
"30. 在审理案情实质之前，仲裁员与各方当事人之间关于行政和其他事项的所有会议和协商一般都通过电子邮件或电话会议方式进行。",
"31. 关于对管辖权的抗辩或以仲裁申请明显缺乏法律依据为由提出的提前驳回申请的抗辩，将不举行听讯。仲裁员应根据各方当事人提交的书面文件就这些抗辩做出决定。",
"32. 关于案情实质，将不以听讯方式呈递证据、证词或口头辩论，除非：(a) 一方当事人请求举行听讯，以便对证人进行交叉质证，或者(b) 仲裁员决定，有些实质性的事实或法律问题只能通过听讯才能得到公平公正的解决。听讯仅限于对证人进行交叉质证或审理事实或法律问题。听讯应采用电话会议或视频会议的方式，除非仲裁员在特殊情况下决定，某一事实问题只能通过亲自出席听讯才能解决。任何此类听讯均不得超过两天。",
"33. 《贸易法委员会仲裁规则》第29条(规定仲裁庭可以指定自己的独立专家)将予删除。",
"十四. 适用法律(《贸易法委员会仲裁规则》所涉条款：第35⑴条)",
"34. 《快速规则》将规定，除非各方当事人另行商定，否则仲裁员将根据包括合同述及的一般性条款和条件在内的明示的合同条款做出决定。联合国工作人员条例和细则以及国内法均不适用于相关争议。",
"十五. 裁决(《贸易法委员会仲裁规则》所涉条款：第33和34条)",
"35. 仲裁员无权裁决支付惩罚性赔偿，也无权作为友好调解人或根据公正和善良的原则做出决定。此外，除非合同中另有明确约定，仲裁员无权裁决支付高于当时实行的伦敦银行同业拆放利率的利息，并且任何此种利息应只是单利。各方当事人应受此种仲裁所做裁决的约束，将其作为对任何此等争议、纠纷或诉求的终局裁决。",
"评论",
"这些规定来自《联合国合同总则》中的仲裁条款。",
"36. 仲裁员应在仲裁程序结束后的30日内做出裁决。仅应针对经济损失裁决给予补偿，并且设定上限[待定]。",
"十六. 费用(《贸易法委员会仲裁规则》所涉条款：第40、41和43条)",
"37. 仲裁员费：《快速规则》将限定仲裁员费。对仲裁员费的限定应载于《快速规则》以及作为将仲裁员列入名单的前提条件而由其签署的文件中(见上文第十二节，第27(c)段)。",
"38. 费用的确定和分配：无论案件结果如何，每一方当事人都应承担其自身的费用，各方当事人应平均分担仲裁员的费用。 但是，在特殊情况下，仲裁员也可以决定，出于公正和公平的需要，采取与此不同的方式来分摊各方当事人的费用以及仲裁员的成本和费用。",
"十七. 保密(《贸易法委员会仲裁规则》所涉条款：第28(3)和34(5)条)",
"39. 整个仲裁程序，包括所有的通知、函件、书状、文件、提交的材料、听讯和裁决，均应保密，除非各方当事人以书面方式另行商定。但是，联合国或其基金或方案可以按其理事机构的要求，将仲裁程序的相关信息告知其理事机构。",
"其他事项",
"特权和豁免",
"40. 与《贸易法委员会仲裁规则》不同，《快速规则》是专门针对联合国仲裁案件制订的，因此，在该规则中载列特权和豁免条款是可取的：",
"“[使用《规则》的全名]所载列或与之有关的任何内容，均不得以不符合联合国(包括其附属机构)的特权和豁免的方式加以解释或适用，也不得被视为对此等特权和豁免的放弃。为避免产生疑问，根据[使用《规则》的全名]进行的仲裁不应遵从任何当地法律，凡提及‘仲裁地点’之处，均不得被视为或被解释为放弃此等特权和豁免或联合国同意接受任何国家的管辖。”",
"附件三",
"管理评价股、联合国争议法庭和联合国上诉法庭裁定的赔偿",
"A. 管理评价股裁定支付的赔偿金(2009年7月1日至2011年5月31日)",
"已支付的赔偿金明细表",
"(2009年7月1日至2011年5月31日)",
"决策人所属部门\t赔偿金额\t工作人员职等\t赔偿原因 \n联合国日内瓦办事处\t500.00美元\tP-4\t未将甄选进程的结果通知工作人员\n联合国日内瓦办事处\t3个月净基薪\tP-3\t违反15天规则\n联合国日内瓦办事处\t1个月净基薪(7040.50瑞士法郎)\tG-5\t违反15天规则\n人道主义事务协调厅——日内瓦\t2 127.00美元\tP-4\t偿还被收回的回籍假(包干费用)\n人道主义事务协调厅——日内瓦\t3个月净基薪(17 680美元)\tP-4\t违反15天规则\n 外勤支助部 3个月净基薪 FS-4 征聘工作处理不当\n外勤支助部——联合国科索沃特派团\t7个月净基薪\tG-5\t裁撤员额\n外勤支助部——联合国科索沃特派团\t5 154.76美元\tFS-6\t偿还被收回的回籍假(包干费用)\n外勤支助部——联合国格鲁吉亚观察团\t3个月净基薪\tFS-4\t不公平待遇\n外勤支助部——联合国科索沃特派团\t2个月净基薪\tP-3\t缺乏正当程序\n联合国内罗毕办事处\t3个月净基薪\tG-4\t对续签合同的合理预期\n联合国环境规划署\t3个月净基薪\tD-1\t过度拖延\n联合国环境规划署\t3个月净基薪\tG-7\t过度拖延\n联合国环境规划署\t3个月净基薪\tP-5\t过度拖延\n管理事务部\t3个月净基薪\tP-3\t收回已被接受的任命\n大会和会议管理部\t5 473.09美元\tG-7\t甄选进程处理不当\n大会和会议管理部\t12891.00美元\tG-5\t甄选进程处理不当\n内部监督事务厅(维也纳)\t1 044.89美元\tP-3\t未支付特别职位津贴",
"B. 联合国争议法庭和联合国上诉法庭裁定支付的赔偿金 (2009年7月1日至2011年5月31日)",
"[TABLE]",
"注：“不适用”指在联合国争议法庭判决后没有采取行动，或指对判决仍在上诉中。",
"联合国上诉法庭判决书编号^(a)\t申请人姓\t实体\t上诉方\t赔偿\t付款净额(美元)\t日期 \n2010-UNAT-021\tAsaad\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t赔偿相当于自2003年7月1日至2004年1月20日期间8级和14级之间的薪金差额，赔偿相当于14级的1个月薪金。此外，或者复职，或者支付6个月净基薪\t9000.00美元\t不适用\n2010-UNAT-022\tAbuHamda\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t返还申请人因降职造成的薪金损失\t7600.00美元\t不适用\n2010-UNAT-025\tDoleh\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t复职或支付2年净基薪\t19000.00美元\t不适用\n2010-UNAT-030\tTabari\t联合国近东巴勒斯坦难民救济和工程处\t联合国近东巴勒斯坦难民救济和工程处\t追加支付特别职业津贴\t22000.00美元\t不适用\n2010-UNAT-087\tLiyanarachchige\t联合国科特迪瓦行动/维持和平行动部\t推翻第UNDT/2010/041号判决\t12个月离职时净基薪\t47440.00美元\t2011年3月7日",
"^(a) 联合国上诉法庭就联合国争议法庭未审理或未裁定支付赔偿金的案件所作的裁定支付赔偿金的判决。",
"C. 联合国争议法庭裁定支付赔偿金等于或高于六个月净基薪的判决 (2009年7月1日至2011年5月31日)",
"判决书编号\t申请人\t书记官处\t摘要简述\t实体\t撤销行政决定或具体履行的命令\t赔偿的命令\t以美元支付的总金额\t截至2011年5月31日，在上诉程序中维持或推翻原判 \nUNDT/2010/070\tFarraj\t日内瓦\t争议法庭认定，终止申请人限期任用的争议决定不符合任用条件\t联合国开发计划署\t撤销有争议的决定(作为替代办法，支付45000美元)\t不适用\t45000美元\t不适用\nUNDT/2010/106\tEid\t日内瓦\t争议法庭认定，行政当局应当从申请人的解雇生效之日开始，向申请人支付解雇偿金\t联合国秘书处(联合国驻黎巴嫩临时部队)\t不适用\t29991.23美元和9552660黎巴嫩镑(解雇偿金和相关的应享待遇)\t不适用\t不适用\nUNDT/2010/120\tOstensson\t日内瓦\t争议法庭认定，甄选过程存在严重的程序违规行为，侵犯了申请人为竞聘D-1职位而得到全面和公平考虑的权利\t联合国贸易和发展会议\t撤销有争议的决定(作为替代办法，支付4900美元)\t48000美元(精神痛苦，对专业声誉的损害)\t52900美元\t不适用UNDT/2010/122\tZerezghi\t日内瓦\t争议法庭认定，采取开除的纪律处分措施与已认定的不当行为不匹配\t联合国秘书处(科索沃特派团)\t(1)追溯性地复职(作为替代办法，支付8个月净基薪)；(2)\t60000美元(精神损害)\t99936.18美元\t不适用 \n 书面诉斥申请人；(3)从申请人档案中取出与开除有关的材料 \nUNDT/2010/128\tIkpa\t日内瓦\t争议法庭认定，离职不是合法的纪律处分措施\t联合国日内瓦办事处\t以支付6周净基薪代替通知，减去已经得到通知的1周\t1年净基薪，减去已经支付的金额\t59592美元\t不适用\nUNDT/2010/129\tValleFischer\t日内瓦\t争议法庭认定，离职不是合法的纪律处分措施\t联合国日内瓦办事处\t以支付6周净基薪代替通知，减去已经得到通知的1周\t1年净基薪，减去已经支付的金额\t54697美元\t不适用UNDT/2010/130\t申请人\t日内瓦\t争议法庭认定，终止任用申请人并予以斥责的决定侵犯了申请人的权利\t前南斯拉夫问题国际刑事法庭\t撤销斥责\t(1)在之前已经支付的8个月净基薪之外，额外支付3个月净基薪(非法解雇造成的损害)；(2)\t50263.50美元\t不适用 \n 3个月净基薪(非法斥责) UNDT/2010/133\tEldam\t日内瓦\t争议法庭认定，因为业绩不佳而不续签合同并予以斥责的决定有瑕疵且不适当\t联合国秘书处(联合国格鲁吉亚观察团)\t(1)撤销不继续任用的决定(作为替代办法，支付3个月净基薪)；(2)\t3个月净基薪(精神损害)\t26204.40美元\t不适用 \n 收回斥责 \nUNDT/2009/088\tNogueira\t内罗毕\t争议法庭认定，以业绩为由不予继续任用的决定在程序上有缺陷，不能成立\t联合国内罗毕办事处/联合国环境规划署\t不适用\t24个月的净基薪\t210794美元\t不适用\nUNDT/2010/002\tXu\t内罗毕\t争议法庭认为，不选择申请人担任P-4职等职位的决定不合法\t联合国秘书处\t不适用\t6个月净基薪(申请人遭受的伤害)\t不适用\t上诉法庭在Xu案2010-UNAT-053号判决中撤销原判并发回争议法庭重审UNDT/2010/053\tMmata\t内罗毕\t争议法庭认定，严重不当行为的指控没有充分依据，离职的处分过重\t联合国儿童基金会\t撤销有争议的决定并予以复职\t(1)从离职之日起损失的收入；(2)2年净基薪\t222453.57美元\t按基本利率计算赔偿金利息(见Mmata案2010- \n UNAT-092号判决书)\nUNDT/2010/056\tMasri\t内罗毕\t争议法庭认定，立即开除的纪律处分措施过重\t联合国秘书处(联合国组织刚果民主共和国特派团)\t(1)复职，并支付损失的收入(作为替代办法，支付2年净基薪)；(2)降职4级\t不适用\t不适用\t上诉法庭在Masri案2010-UNAT-098号判决书中推翻原判UNDT/2010/057\tIanelli\t内罗毕\t争议法庭认定，申请人有权取得给予国际征聘工作人员的派任津贴和其他应享待遇\t联合国项目事务厅\t不适用\t支付适用的派任和搬迁津贴，加上适当利息\t51395.35美元\t上诉法庭修改了关于支付利息的命令(见2010- \n UNAT-093号判决书)\nUNDT/2010/061\tSanwidi\t内罗毕\t在Sanwidi案UNDT/2010/036号判决之后，争议法庭做出关于赔偿金的判决，认为立即开除的决定过重\t联合国秘书处(联合国组织刚果民主共和国特派团)\t(1)复职(作为替代办法，支付2年净基薪)；(2)书面斥责\t支付从立即开除之日到复职之日损失的收入，减去每月2600美元\t不适用\t上诉法庭在Sanwidi案2011-UNAT-104号判决书中撤销争议法庭的判决 \nUNDT/2010/097\tLutta\t内罗毕\t在Lutta案UNDT/2010/052号判决之后，争议法庭做出关于赔偿金的判决。法庭认定，除其他外，对申请人进行的调查和采取的其他行动在程序上有瑕疵，并且不适当\t联合国秘书处(联合国科特迪瓦行动)\t不适用\t(1)3个月净基薪(丧失职业提示机会)；(2)4760美元(旅行费用)；(3)6个月净基薪(精神损害)\t46339.86美元\t上诉法庭在Lutta案2011-UNAT-117号判决书中维持原判\nUNDT/2010/118\tCohen\t内罗毕\t申请人对立即开除的决定提出异议。争议法庭认定，申请人的行为不构成不当行为，其正当程序权受到侵犯\t联合国秘书处(联合国组织刚果民主共和国特派团)\t撤销有争议的决定，申请人复职(作为替代办法，支付2年净基薪)\t(1)支付自开除之日至判决之日的薪金和应享待遇；(2)2个月净基薪(侵害正当程序权)\t101624美元\t不适用\nUNDT/2010/119\tGaskins\t内罗毕\t申请人对终止其任用的决定提出异议。争议法庭认定，申请人的雇用合同遭到违约，导致其自身形象和名誉受损\t联合国开发计划署\t不适用\t6个月净基薪(侵犯正当程序权，侮辱、痛苦和名誉损害)\t40420.98美元\t不适用\nUNDT/2010/124\tFrechon\t内罗毕\t争议法庭认定，申请人因为医疗原因被不当解雇\t卢旺达问题国际刑事法庭\t撤销有争议的解雇申请人的决定，复职(作为替代办法，支付2年净基薪)\t(1)支付从解雇之日至复职之日损失的收入；(2)支付2007年3月至2007年7月期间的应享待遇\t不适用\t不适用\nUNDT/2010/153\tVerschuur\t内罗毕\t争议法庭认定，有人不当干预甄选过程，没有对申请人竞聘P-5职位给予充分、公平的考虑\t联合国人类住区规划署\t不适用\t6个月净基薪(不利于职业发展)\t不适用\t不适用\nUNDT/2010/154\tContreras\t内罗毕\t争议法庭认定，有人不当干预甄选过程，没有对申请人竞聘有关职位给予充分、公平的考虑\t联合国人类住区规划署\t不适用\t(1)6个月净基薪(不利于职业发展)；(2)1美元的象征性数额(精神伤害)\t不适用\t不适用\nUNDT/2010/173\tParkes\t内罗毕\t争议法庭认定，立即开除的有争议决定过重\t联合国秘书处(联合国组织刚果民主共和国特派团)\t撤销该决定(作为替代办法，支付相当于解雇补助金的赔偿金)\t不适用\t57503.39美元\t不适用UNDT/2010/175\tBekele\t内罗毕\t申请人对要求其离职的决定以及几项相关决定提出异议。争议法庭认定，申请人的权利受到侵犯。\t非洲经济委员会\t不适用\t(1)支付从2007年11月至2009年3月的薪金；(2)\t不适用\t不适用 \n 6个月净基薪(侵害正当程序权) \nUNDT/2010/185\tM'Bra\t内罗毕\t争议法庭认定，立即开除的决定不合法\t联合国秘书处(联合国组织刚果民主共和国特派团)\t复职(作为替代办法，支付2年净基薪)\t(1)支付自立即开除之日至判决之日的薪金和应享待遇；(2)2个月净基薪(侵害正当程序权)\t377257.92美元\t不适用\nUNDT/2010/197\tBowen\t内罗毕\t争议法庭认定，因业绩欠佳而解雇的决定不合法\t联合国开发计划署\t撤销有争议的决定\t(1)3个月净基薪和福利，减去为代替通知而支付的金额；(2)2年净基薪\t不适用\t不适用\nUNDT/2010/214\tKamunyi\t内罗毕\t争议法庭认定，让申请人暂时离职，安排其休全薪特别假，以及对申请人作出斥责，这些有争议的决定不合法\t联合国内罗毕办事处\t撤销3项非法决定(非法中止职务、安排一年八个月的全薪特别假以及斥责)\t2年6个月的净基薪(精神和身体伤害，名誉损害)\t不适用\t不适用\nUNDT/2011/017\tHarding\t内罗毕\t申请人对立即开除的决定提出异议。鉴于答辩人承认负有责任，该案仅涉及支付2年净基薪的赔偿金额是否适当的问题\t联合国难民事务高级专员办事处\t撤销立即开除的决定(作为替代办法，支付2年净基薪)\t(1)6个月净基薪(侵害正当程序权)；(2)4个月的特别职位津贴；(3)6个月净基薪(精神痛苦和侮辱)；(4)支付自2005年6月至2010年12月的G-6职等薪金和应享待遇\t不适用\t已支付特别职位津贴以及利息。其他各项有待上诉。\nUNDT/2011/060\tFinniss\t内罗毕\t争议法庭认定，在P-5甄选工作中，申请人的权利受到侵犯。\t联合国秘书处(内部监督事务厅)\t不适用\t(1)18个月净基薪(在为第一个职位进行甄选时，没有适当考虑申请人)；(2)6个月净基薪(在为第二个职位进行甄选时，没有适当考虑申请人)\t不适用\t不适用\nUNDT/2011/067\tBorhom\t内罗毕\t争议法庭认定，立即开除的决定不合法\t联合国难民事务高级专员办事处\t撤销立即开除的决定，复职(作为替代办法，支付2年净基薪)\t(1)6个月净基薪(精神损害)；(2)6个月净基薪(侵犯正当程序权)\t27660美元\t不适用\nUNDT/2011/092\tXu\t内罗毕\t争议法庭认定，甄选程序存在程序违规行为，并且，没有对申请人竞聘P-4职位给予充分、公平的考虑\t联合国秘书处(大会和会议管理部)\t不适用\t(1)2个月净基薪(违反程序)；(2)4个月净基薪(未给予充分、公平考虑)；(3)500美元(未将不予选用的结果通知申请人)\t不适用\t不适用UNDT/2010/026\tKasyanov\t纽约\t争议法庭认定，没有依照适用规则审议申请人竞聘P-4空缺的申请\t联合国秘书处(大会和会议管理部)\t根据记录，已经进行平行调动(作为替代办法，支付20000美元)\t59932美元(实际经济损失，侵害权利，晋升的可能性推迟、精神痛苦)\t13969.83美元(已经实际支付2个月薪金)\t将裁定的赔偿金修改为2个月净基薪(Kasyanov案2010- \n UNAT-076号判决书)\nUNDT/2010/040及第57号令(纽约/2010)\tKoh\t纽约\t在Koh案UNDT/2009/078号判决之后，争议法庭做出关于赔偿的判决和命令。争议法庭认定，本组织没有协助申请人找到合适的工作，从而违反了与申请人的雇用合同\t联合国开发计划署\t不适用\t(1)2000美元(丧失候选权)；(2)107107.60美元(经济赔偿)\t2000美元和107107.60美元\t不适用\nUNDT/2010/055\tAbbasi\t纽约\t争议法庭认定，甄选程序存在歧视，侵害了申请人的权利\t联合国儿童基金会\t不适用\t(1)12个月净基薪(失去得到任命的机会，职业发展损失)；(2)3000美元(精神痛苦)\t不适用\t上诉法庭在Abbasi案2011-UNAT-112号判决书中推翻原判\nUNDT/2010/068\tChen\t纽约\t争议法庭认定，不将申请人的职位从P-3职等改叙为P-4职等的决定违反了《工作人员条例》和同值工作同等报酬的原则。\t联合国秘书处(大会和会议管理部)\t不适用\t(1)6个月净基薪(非物质损害：挫折、侮辱和拖延)；(2)从2006年8月至退休之日P-3职等与P-4职等之间的薪金差额\t36256.94美元\t上诉法庭在Chen案2011-UNAT-107号判决书中维持原判\nUNDT/2010/117\tBertucci\t纽约\t在Bertucci案UNDT/2010/080号判决之后，争议法庭做出关于赔偿的判决。法庭认定，不任命申请人担任助理秘书长的决定侵害了其权利\t联合国秘书处(经济和社会事务部)\t不适用\t655000美元(经济和非经济损害)\t不适用\t上诉法庭在Bertucci案2011-UNAT-121号判决中撤销原判并发回争议法庭重审\nUNDT/2010/146\tBeaudry\t纽约\t在Beaudry案UNDT/2010/039号判决之后，争议法庭做出关于赔偿的判决。法庭认定，对申请人的雇用合同不予续期的决定不合法\t联合国秘书处(联合国海地稳定特派团)\t不适用\t112082美元(实际经济损失、痛苦和违反程序)\t不适用\t上诉法庭在Beaudry案2010-UNAT-085号判决中予以取消\nUNDT/2010/156\tShkurtaj\t纽约\t除其他外，申请人还针对关于不执行道德操守办公室所建议的为侵犯申请人权利而向其支付赔偿金的决定提出异议。争议法庭在部分事项上支持申请人，认定在申请人申诉的某些事项上，其权利受到侵犯。\t联合国开发计划署\t不适用\t(1)14个月净基薪(违反正当程序，职业和名誉遭受损害，精神痛苦)；(2)5000美元(在对待道德操守办公室的建议方面存在程序性延误)\t不适用\t不适用\nUNDT/2010/200\tAlauddin\t纽约\t在Alauddin案UNDT/2010/114号判决之后，争议法庭做出关于赔偿的判决。法庭认定，本组织对申请人的雇用合同不予续期，侵害了申请人的权利\t联合国开发计划署\t不适用\t(1)11个月净基薪，包括应享待遇，减去申请人在同一期间内的收入(实际经济损失)；(2)30000美元(精神伤害)\t不适用\t不适用\nUNDT/2011/012\tTolstopiatov\t纽约\t在Tolstopiatov案UNDT/2010/147号判决之后，争议法庭做出关于赔偿的判决，认定联合国儿童基金会取消员额是违反了对申请人的义务\t联合国儿童基金会\t不适用\t97324.04美元(损失的收入和应享待遇)\t97324美元\t不适用\nUNDT/2011/032\tObdeijn\t纽约\t答辩人拒绝披露做出不予续期的有争议决定的原因。争议法庭因此认定，有争议的决定不合法\t联合国人口基金\t不适用\t(1)6个月净基薪和应享待遇(实际经济损失)；(2)8000美元(精神痛苦)\t不适用\t不适用UNDT/2011/068\tGarcia\t纽约\t争议法庭认定，联合国开发计划署未能执行雇用关系，违反了其与申请人之间的合同\t联合国开发计划署\t从申请人的个人档案中取出不利材料\t(1)89128.48美元(损失的薪金和应享待遇)；(2)\t109619.26美元\t不适用 \n 241美元(体格检查补偿款)；(3)50000美元(非金钱损失) \nUNDT/2011/081\tCabrera\t纽约\t争议法庭认定，安排申请人休全薪特别假的决定不合法\t联合国秘书处(管理事务部)\t不适用\t2年净基薪(违反正当程序、侮辱和精神痛苦)\t不适用\t不适用",
"说明：“不适用”表示或者在联合国争议法庭作出判决之后未采取行动，或者该判决仍在上诉阶段。",
"[1] ^(*) A/66/150。",
"[2] 单独经管的基金和方案独立处理管理评价问题。",
"[3] 玛里琳·卡曼法官提出自2011年6月30日起从争议法庭辞职。",
"[4] 提出申请/上诉的数目不一定对应于作出判决的数目。有时候可能在一项判决中处置了数项上诉，也可能有不作判决而结案的情况。",
"[5] 一项判决的主要起草人酬金为2 400美元。其他签署人每项判决获600美元。",
"[6] “案件”是指下面任何一种情况：提供援助或在正式系统的机构(管理评价股、争议法庭、上诉法庭)中担任正式指定律师；提供法律指导和简要法律咨询，协助工作人员循非正式途径解决纠纷，其间可能涉及到与工作人员协商、同第三方讨论和谈判或转介给系统中的其他行为体，包括转介给监察员办公室或工作人员工会。",
"[7] 这些实体是：国际海洋法法庭、联合国合办工作人员养恤基金、国际民用航空组织、国际海事组织、联合国近东巴勒斯坦难民救济和工程处、国际海底管理局和国际法院。",
"[8] 见世界银行行政法庭程序规则第7(11)条(规定即时驳回被认为“明显无法接受或没有理由”的案件)和美洲国家间组织行政法庭规约第八条(允许驳回“基于没有管辖权……未达到可受理性要求，或未提出可给予补救的申诉”的主张)。",
"[9] 联合国上诉法庭第2010-UNAT-57号判决(Fagundes)。",
"[10] 联合国上诉法庭第49(2011)号命令(Finniss)。",
"[11] 联合国上诉法庭第2011-UNAT-121号判决(Bertucci)。",
"[12] 秘书长指出，欧洲联盟公务员法庭判决的上诉时限是两个月(见《欧洲联盟法院规约》，附件一)。",
"[13] 联合国上诉法庭第2010-UNAT-62号判决(Bertucci)。",
"[14] 联合国行政法庭第1157号判决，Andronov(2003),第五段。",
"[15] 货币基金组织行政法庭第1999-2号判决(“V”先生诉货币基金组织，第104-114段)。",
"[16] 世界银行行政法庭第384号判决(AA诉IBRD)(2008年)，第49-50段。",
"[17] 大会关于监督厅的第48/218 B号决议、关于道德操守办公室的第60/1号决议和关于工作人员法律援助办公室的第62/228号决议。",
"[18] 联合国争议法庭第19(NY/2010)号命令，第23段。",
"[19] 世界银行行政法庭第384号裁决(AA诉世界银行)（2008），第49-50段。",
"[20] 联合国争议法庭第010(I/2011)号命令，(Abosedra),第60段。",
"[21] 联合国行政法庭第1396号判决(2008)，Wielechowski，第八段。",
"[22] 联合国争议法庭第2010/68号判决(Chen)和联合国上诉法庭第2011号判决-上诉法庭-107 (Chen)。",
"[23] 联合国行政法庭第421号判决(Chatwani)，第八段。",
"[24] 联合国上诉法庭第2011号判决-上诉法庭-107(Chen)，第1段。",
"[25] 联合国争议法庭第010号指令(NBI/2011)(Abosedra)，第60段。",
"[26] 旧金山会议的记录指出，“《宪章》应明确规定会员国有责任担负本组织之费用”。联合国国际组织会议，文件，第八卷，第487页。",
"[27] 例见UNDT/2010/025(Kita)。",
"[28] 本概念文件由法律事务厅一般法律事务司与联合国各基金和方案协商后编写。应注意，联合国儿童基金会保留其选择退出拟议简化仲裁程序的权利。"
] | [
"Sixty-sixth session",
"Items 134 and 143 of the provisional agenda[1]",
"Proposed programme budget for the biennium 2012-2013",
"Administration of justice at the United Nations",
"Administration of justice at the United Nations",
"Report of the Secretary-General",
"Summary",
"The General Assembly, by its resolutions 61/261, 62/228 and 63/253, decided to establish an independent, transparent, professionalized, adequately resourced and decentralized system of administration of justice for the United Nations, which entered into operation on 1 July 2009.",
"The Secretary-General is gratified by the General Assembly’s positive recognition of the implementation of the new system in its resolution 65/251, in which the Assembly noted the achievements of the new system since its inception, including improved disposition of old and new cases, and commended all those involved in managing the transition from the prior system or in the implementation of the present one.",
"The General Assembly also acknowledged the evolving nature of the new system and indicated that its progress would need to be carefully monitored to ensure that the system remained consistent with the governing principles set down in the establishing resolutions, namely that the system must be independent, transparent, professionalized, adequately resourced and decentralized, and with the relevant rules of international law and the principles of the rule of law and due process to ensure respect for the rights and obligations of staff members and the accountability of managers and staff members alike.",
"In the present report, the Secretary-General describes the accomplishments of the new system of administration of justice during the reporting period from 1 July 2010 to 31 May 2011. The processing of cases through all phases of the formal system continues to demonstrate a marked improvement in efficiency. During the period from 1 July 2010 to 31 May 2011, the Management Evaluation Unit received 390 requests for review and closed or resolved 281 matters. The Office of Staff Legal Assistance resolved approximately one third of the more than 850 cases for which it was responsible during the same period. From 1 July 2010 to 31 May 2011, the offices representing the Secretary-General before the United Nations Dispute Tribunal handled cases that resulted in 195 judgements, and the Office of Legal Affairs handled cases that resulted in 90 judgements of the United Nations Appeals Tribunal.",
"However, the success of the system and the productivity of the offices that service it have resulted in serious strains upon the financial and human resources of those offices and units. As the Secretary-General indicated in his report on the administration of justice to the General Assembly at its sixty-fifth session (A/65/373 and Corr.1), there is a need for significant strengthening in a number of key areas in order to maintain the current pace of work and continue to implement all of the Assembly’s mandates for the new system.",
"In its resolution 65/251, the General Assembly requested the Secretary-General to provide data and information on the functioning of the new system and related matters. The present report provides a consolidated response to those requests.",
"In addition, the present report contains a request for additional resources amounting to $8,657,900 (before recosting) under sections 1, 8, 19, 29A, 29C, 29D, 29E, 29G and 37 of the proposed programme budget for the biennium 2012-2013 in the light of the experience to date.",
"Contents",
"Page\nI.Overview 4II. Review 4 of the formal system of \njustice A.Management 4 Evaluation \n Unit B.United 8 Nations Dispute \nTribunal C.United 14 Nations Appeals \nTribunal D.Office 17 of Staff Legal \nAssistance E.Office 20 of the Executive \nDirector F. Legal 23 offices representing the Secretary-General as \nrespondent III. Responses 39 to questions relating to administration of \njustice \nA.Overview 39\nB. Responses 39IV. Issues 49 relevant to the review by the General Assembly of the statutes of the \nTribunals \nA.Introduction 49B. Rules 50 of Procedure of the \nTribunals C.Jurisdiction 54 of the United Nations Dispute Tribunal over acts and omissions by independent entities in connection with the performance of their operational \nmandates V.Resource 60 \nrequirements VI.Conclusions 62 and actions to be taken by the General \nAssembly \nAnnexes I. Proposals 63 for staff-funded mechanisms to fund the Office of Staff Legal \nAssistance II.Proposal 69 for recourse mechanisms for non-staff \npersonnel III.Compensation 79 awarded by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals \nTribunal",
"I. Overview",
"1. The General Assembly, by its resolutions 61/261, 62/228 and 63/253, established a new system of administration of justice. The system has two Tribunals, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, which are staffed by professional judges and supported by Registries in Geneva, Nairobi and New York. In accordance with the General Assembly’s view that legal assistance should be provided to staff, the new system also includes the Office of Staff Legal Assistance, staffed by professional legal officers in Addis Ababa, Beirut, Geneva, Nairobi and New York. In order to ensure that the system is independent, the Office of Administration of Justice administers the elements of the formal system, providing administrative, operational and technical support to the Tribunals, the Registries and the Office of Staff Legal Assistance, as well as to the Internal Justice Council.",
"2. Management evaluation, which constitutes the mandatory first step of the formal system of administration of justice, is conducted within the Department of Management and the separately administered funds and programmes. The Management Evaluation Unit of the Department of Management, staffed by professional legal officers, conducts the first review of a contested decision. The Unit is designed to give management a chance to correct an improper decision or provide acceptable remedies in cases where the decision has been flawed, thereby reducing the number of cases that proceed to formal litigation. Similar mechanisms also exist in the funds and programmes.",
"3. The enhancement and professionalization of the system, in addition to the increased number of cases, have required that the offices and units representing the Secretary-General as respondent provide significantly more services at a greatly increased pace.",
"4. The system continues to make progress on processing the considerable number of cases that were transferred from the various organs of the old system. In order to prevent the backlog of cases from overwhelming the new system, the General Assembly appointed three ad litem judges for the United Nations Dispute Tribunal and judicial staff to support them.",
"II. Review of the formal system of justice",
"A. Management Evaluation Unit[2]",
"5. The Management Evaluation Unit is located in the Office of the Under-Secretary-General for Management and is the first step in the formal system of administration of justice. The core functions of the Unit are: (a) to conduct prompt management evaluations of contested administrative decisions relating to contracts of employment or terms and conditions of appointment; (b) to assist the Under-Secretary-General for Management in providing staff members requesting management evaluation with a prompt and reasoned response regarding the outcome of the evaluation; and (c) to assist the Under-Secretary-General in ensuring managerial accountability by ensuring the compliance of managers with their responsibilities in the management of the human and financial resources of the Organization.",
"6. From the time of its inception on 1 July 2009 to 31 May 2011, the Management Evaluation Unit received a total of 823 cases, including 184 cases in 2009, 427 cases in 2010 and 212 in 2011. Of the 823 cases received, the Unit completed and closed 665 cases. As at 31 May 2011, it had recommended compensation in 18 cases, which amounted to $183,339.44. A breakdown of this figure is contained in annex III to the present report.",
"7. The management evaluation process provides the Administration with the opportunity to prevent unnecessary litigation before the Dispute Tribunal, resulting in significant cost savings to the Organization. Approximately 36 per cent of cases received and closed by the Unit in 2010 were settled through informal resolution efforts either by the Unit itself, by the Office of the Ombudsman or through bilateral negotiations between the Administration and the staff members.",
"8. In approximately 84 per cent of the cases submitted to the Management Evaluation Unit that were not resolved informally, the contested decision was upheld by the Secretary-General following a determination by the Unit that the decision was consistent with the Organization’s rules and jurisprudence.",
"9. In conformity with the decision of the General Assembly to establish, inter alia, a transparent system of administration of justice (resolution 61/261, para. 4), where the Management Evaluation Unit has recommended that a contested administrative decision be upheld, a written reasoned response is sent to the staff member concerned setting out the basis for the management evaluation, including the facts of the case, a summary of the comments on the case provided by the decision maker, the applicable rules and jurisprudence of the Organization, an explanation of the reasons why the Unit considered that the contested decision comported with the applicable rules and jurisprudence, and the final decision of the Secretary-General. The funds and programmes follow a similar methodology in their management evaluation process.",
"10. Staff members have the statutory right to take their cases to the Dispute Tribunal for a trial of the matter following the conclusion of the management evaluation process (General Assembly resolution 62/228, para. 51). The Management Evaluation Unit considers that staff members who have sought recourse to the formal system owing to a perceived lack of transparency in the administrative decision-making process are more likely to decide not to pursue their statutory recourse to the Dispute Tribunal when they perceive the management evaluation process to be impartial, objective and accurate. The Unit also considers the written reasoned response provided to staff members at the conclusion of the management evaluation process to be an important means of establishing the credibility of the management evaluation process, in particular, and the new system of administration of justice in general. The funds and programmes share this view.",
"11. In order to determine the number of staff members who seek recourse to the Dispute Tribunal following the receipt of a management evaluation upholding a contested administrative decision, the Management Evaluation Unit is working with the Office of Administration of Justice to implement a tracking mechanism.",
"12. As at 31 December 2010, in 83 per cent of the cases considered by the Dispute Tribunal following management evaluation, the Tribunal’s disposition of the case was the same as that recommended by the Management Evaluation Unit. Although there are key issues of law that have yet to be determined by the Appeals Tribunal, and the Unit has limited fact-finding capability, this degree of similitude is instructive and can be construed as indicative of the impartiality, objectivity and accuracy of the Unit.",
"13. In providing assistance to the Under-Secretary-General for Management to ensure managerial accountability, the Management Evaluation Unit regularly reviews its caseload to identify trends and systemic issues, which are set out in its reports. The Unit also provides secretariat support to the Under-Secretary-General in the compilation of the lessons-learned guide for managers and guidance notes that are circulated to all heads of offices and departments. The lessons-learned guide for managers includes a review of the jurisprudence of the Dispute and Appeals Tribunals and examines how they interpret and apply the internal rules of the Organization. In 2010, the Under-Secretary-General circulated two volumes of the lessons-learned guide for managers. In April 2011, he circulated a guidance note and is expected to circulate another volume of the lessons-learned guide in the latter part of 2011.",
"Statutory time limits",
"14. Management evaluations are required to be completed within a limit of 30 calendar days for Headquarters and 45 calendar days for offices away from Headquarters after the submission of such a request (General Assembly resolution 62/228, para. 54). Deadlines may be extended in cases where the matters have been referred to the Office of the Ombudsman under conditions specified by the Secretary-General.",
"15. In the report of the Advisory Committee on Administrative and Budgetary Questions (A/65/557, para. 16), it was stated that every effort should be made to resolve cases before staff members resort to litigation and that the management evaluation function was an important opportunity to do so by allowing for faulty administrative decisions to be addressed.",
"16. In conformity with the direction of the Advisory Committee on Administrative and Budgetary Questions, in cases where the Management Evaluation Unit has concluded that the contested decision does not comport with the internal rules of the Organization, and the Under-Secretary-General for Management has endorsed an informal resolution, the Management Evaluation Unit will seek to facilitate the resolution directly between the parties. It has been the experience of the Unit that informal resolution involves extensive consultations between the parties and is often a lengthier process than is permitted by the statutory time frames provided for management evaluations. However, there are no statutory provisions that allow the Secretary-General to place the management evaluation process in abeyance with the consent of the parties involved in cases where the Management Evaluation Unit facilitates an informal resolution. The funds and programmes agree with this view but note that they have been successful in achieving this outcome with the consent of both parties.",
"17. Similarly, there are no statutory provisions for extending the deadlines for completing management evaluations in cases where staff members make supplementary submissions after they file their requests for management evaluation, either on their own initiative or at the request of the Management Evaluation Unit.",
"18. The Management Evaluation Unit considers that stringent adherence to statutory time frames could cause staff members to receive incomplete or inaccurate management evaluations and, as a result, to unnecessarily seek recourse to the Dispute Tribunal. To avoid this result, the current practice of the Unit is to seek an extension of the deadline from the staff member in order to facilitate informal resolution or where additional submissions from the staff member and/or the Administration are required to properly conclude the management evaluation process. The Unit considers cases to be concluded in a timely manner either when they have been concluded within the relevant statutory time frame or when they have been concluded within a time frame to which the staff member has consented for the purpose of facilitating informal resolution or obtaining additional information necessary to ensure a comprehensive management evaluation. The funds and programmes share this view and note that they have been successful in meeting the statutory deadline in all cases to date.",
"19. The staffing complement of the Management Evaluation Unit comprises a Chief (P-5), who reports to the Director of the Office of the Under-Secretary-General for Management, two Legal Officers (P-4), one Legal Officer (P-4) (general temporary assistance) and three Legal Assistants (General Service (Other level)). However, the current staffing resources of the Unit are inadequate to meet its mandate, and it has been obliged to temporarily fill an additional legal officer post by way of limited budgetary discretionary funding since February 2010.",
"20. The Management Evaluation Unit considers that the addition of a third legal officer post at the P-3 level is warranted based on the volume of cases received during the nearly two years of its operations. The figures demonstrate that the number of users of the new system of administration of justice is already greater than that of the previous system. Furthermore, on the basis of data gleaned from its caseload, the Unit expects to receive at least the same number of cases in 2011 as it did in 2010 (approximately 427).",
"21. With regard to the 184 cases received in 2009, the Management Evaluation Unit observed that there was a 23 per cent decrease in the number of cases submitted in the fourth quarter of 2009 compared with the number of cases submitted in the third quarter of that year. With respect to the 427 cases submitted in 2010, the Unit observed a steady increase in the number of cases submitted in the first two quarters of 2010, followed by a decrease in cases submitted in the third and fourth quarters of 2010, respectively. In this regard, the Unit observed that 57 per cent of the cases submitted in 2010 were submitted between 1 January and 30 June 2010 and 43 per cent between 1 July and 31 December 2010, with the most significant decrease in cases submitted between 1 October and 31 December 2010. Finally, the Unit has noted an upswing in the number of cases submitted between 1 January and 31 May 2011 compared with the number of cases submitted between 1 July and 31 December 2010. While the Unit received 183 cases in the latter period of 2010, it had already received 212 cases in the first five months of 2011, which is the same number of cases received in the first five months of 2010.",
"22. The Management Evaluation Unit considers that the decrease in the number of cases submitted in the final quarters of 2009 and 2010 and the increase in the number in the first two quarters in 2010 and 2011 could be indicative of an emerging cyclical pattern. However, the total number of cases received between 1 July 2009 and 30 June 2010 is expected to be the same as the number received between 1 July 2010 and 30 June 2011 (approximately 427).",
"23. As noted above, timely, well-reasoned management evaluations are essential to the successful fulfilment of the Management Evaluation Unit’s mandate. The Unit has met its mandate as a result of the addition of a temporary Legal Officer post, funded through discretionary funds since February 2010. Furthermore, the figures show that the Unit has been able to meet its mandate with its current staffing arrangements because its staff members have consistently worked overtime and have deferred or have not taken annual leave.",
"24. The Management Evaluation Unit considers that a request for one additional Legal Officer (P-3) post is therefore conservative in the circumstances, since an additional Legal Officer will not fully cover the shortfall between the number of person-hours required per year to fulfil the Unit’s mandate (1,828) and the number of person-hours per year that staff members working in the Secretariat are normally required to work (1,463).",
"25. For the reasons set forth above, the Secretary-General recommends that the Management Evaluation Unit be strengthened with an additional Legal Officer at the P-3 level.",
"B. United Nations Dispute Tribunal",
"1. Composition of the United Nations Dispute Tribunal",
"26. On 2 March 2009, the General Assembly elected three full-time judges and two half-time judges. Subsequently, the Assembly elected three ad litem judges for a period of one year to assist in handling the backlog of cases transferred from the old system. At the time of the preparation of the present report, the composition of the Tribunal was as follows:",
"(a) Judge Vinod Boolell (Mauritius), full-time judge based in Nairobi;",
"(b) Judge Memooda Ebrahim-Carstens (Botswana), full-time judge based in New York;",
"(c) Judge Thomas Laker (Germany), full-time judge based in Geneva;",
"(d) Judge Goolam Hoosen Kader Meeran (United Kingdom of Great Britain and Northern Ireland), half-time judge;",
"(e) Judge Coral Shaw (New Zealand), half-time judge;",
"(f) Judge Jean-François Cousin (France), ad litem judge based in Geneva;",
"(g) Judge Nkemdilim Amelia Izuako (Nigeria), ad litem judge based in Nairobi;",
"(h) Judge Marilyn Kaman (United States of America), ad litem judge based in New York.[3]",
"27. At its sixty-fifth session, the General Assembly decided to extend the tenure of the three ad litem judges and their support staff for an additional six months until 31 December 2011 (see resolution 65/251).",
"2. Election of the President",
"28. At the plenary meeting held in Nairobi from 28 June to 2 July 2010, Judge Thomas Laker was elected President for one year, from 1 July 2010 to 30 June 2011.",
"3. Plenary meetings",
"29. Since 1 July 2010, the judges of the Tribunal have held two plenary meetings (from 13 to 17 December 2010 in Geneva and from 27 June to 1 July 2011 in New York).",
"4. General activity of the United Nations Dispute Tribunal",
"30. During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal received 170 new cases. As at 31 May 2011, the Tribunal had 254 pending cases.",
"31. Of the 170 cases received during the reporting period, 108 originated from the Secretariat (excluding peacekeeping and political missions), including the regional commissions, offices away from Headquarters, the International Criminal Tribunal for Rwanda, the International Tribunal for the Former Yugoslavia, and various departments and offices; 19 originated from peacekeeping and political missions; and 43 originated from agencies, including the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Development Programme (UNDP) and the United Nations Children’s Fund (UNICEF).",
"5. Cases transferred to the United Nations Dispute Tribunal from the former system",
"32. On 1 July 2009, following the abolition of the Joint Appeals Board and the Joint Disciplinary Committee in Geneva, Nairobi, New York and Vienna, 169 cases pending before those entities were transferred to the Dispute Tribunal. Sixty-one cases were transferred to the Registry in Geneva, 55 to the Registry in Nairobi and 53 to the Registry in New York. From 1 July 2010 to 31 May 2011, 29 of these cases were disposed of.",
"33. On 1 January 2010, 143 cases were transferred from the United Nations Administrative Tribunal to the Dispute Tribunal. They were distributed among the branches of the Dispute Tribunal as follows: 51 cases to Geneva, 40 to Nairobi and 52 to New York. From 1 July 2010 to 31 May 2011, 76 of these cases were disposed of.",
"34. As at 31 May 2011, 65 cases transferred from the former system were pending: 10 cases from the Joint Appeals Board or the Joint Disciplinary Committee and 55 from the United Nations Administrative Tribunal.",
"6. Number of judgements, orders and hearings",
"35. During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal issued 195 judgements and 638 orders, and held 229 hearings.",
"7. Cases referred to the Mediation Division",
"36. From 1 July 2010 to 31 May 2011, the Dispute Tribunal identified 13 cases suitable for mediation and referred them to the Mediation Division of the Office of the Ombudsman. Of these, six cases were successfully mediated at the time of the preparation of the present report.",
"8. Subject matter of cases before the United Nations Dispute Tribunal",
"37. The nature of the cases before the Dispute Tribunal that were received during the reporting period may be divided into six main categories: (a) appointment-related matters; (b) benefits and entitlements; (c) classification; (d) disciplinary matters; (e) separation from service; and (g) other.",
"38. Of the 170 cases received during the reporting period, 56 related to appointment; 19 to benefits and entitlements; 2 to classification; 33 to disciplinary matters; 28 to separation from service; and 32 to other matters.",
"9. Issues relating to staffing of the United Nations Dispute Tribunal and its Registries",
"39. As detailed above, the volume of cases before the Dispute Tribunal is very heavy, and the requirement to work expeditiously has placed an enormous burden on the judges and staff of the Tribunal. The appointment and subsequent extension of three ad litem judges have allowed the Dispute Tribunal to make significant progress in addressing the backlog of cases inherited from the former system. However, in the light of the trend of new cases filed, it is apparent that if the judicial capacity of the Dispute Tribunal is almost halved by the elimination of the ad litem judge positions at the end of 2011, a new backlog will immediately start to emerge. This would result in one of the most strongly criticized shortcomings of the former system, delay, becoming a daily reality in the new one.",
"40. The Tribunal is deliberately decentralized to ensure easier access to justice for the applicants. To maintain this access, it is essential that there continue to be two full-time judges at each location of the Dispute Tribunal. The whole point of having a decentralized Tribunal would be defeated if one location had to stop functioning owing to the absence of its sole judge, for example in cases of leave, sickness or resignation. Similarly, the recusal of a judge at one location would automatically entail the transfer of the case to another location farther away from the applicant. Three-judge panels can be established in an effective way only when at least two judges are present in each Tribunal location. Furthermore, there is a statutory requirement for applications for suspension of action to be disposed of in five days, which would be almost impossible for a single judge to achieve without compromising the disposal of substantive applications. Finally, the President of the Dispute Tribunal, who has to direct the work of the Tribunal and the Registries, is reliant on the presence and support of the other judge at his or her location during his or her term of office in order to maintain the flow of cases.",
"41. The work of the judges of the Dispute Tribunal is not restricted to rendering judgements. The additional required functions, mentioned in the present section, mean that a second full-time judge per duty station is absolutely essential. Judges of the Dispute Tribunal closely monitor the progress of all cases from the receipt of an application to final judgement. This monitoring may include: (a) holding case management hearings; (b) ruling on pre-hearing motions; and (c) issuing pre‑hearing orders. In addition, judges are required to consider applications for suspension of action within a statutory five-day time limit. From an administrative standpoint, judges at each location (Geneva, Nairobi and New York) meet regularly with Registry staff to ensure the regular and timely processing of cases. They also hold biweekly meetings by means of videoconference in order to improve the communication among the judges and make important decisions with respect to the harmonization of practices among the three Registries. The judges are also responsible for drafting rules of procedure; the Tribunal has submitted proposals to the General Assembly for the amendment of the rules of procedure. Furthermore, the judges are committed to issuing practice directions so that the parties to a case are aware of the procedures expected by the Tribunal. As a judicial recess has not been implemented on the calendar of the Dispute Tribunal to date, all of the responsibilities above are in addition to the core judicial function of deciding the merits of a case and issuing a judgement.",
"42. After two years, the Tribunal is still in its “start-up” phase. Given the different legal backgrounds of the judges, the Tribunal requires continuity of judges and supporting staff to ensure that it becomes a coherent judicial body with a consistent jurisprudence to the benefit of the Organization and its staff members.",
"43. For that reason, it is recommended that the General Assembly appoint a second full-time judge to each of the United Nations Dispute Tribunal locations. It is also imperative that the judges receive the necessary support from legal officers and administrative staff. Therefore, the Secretary-General recommends that the P-3 Legal Officers (1 each in Geneva, Nairobi and New York) and the Legal Assistants (1 General Service (Other level) in Geneva, 1 General Service (Other level) in New York and 1 General Service (Local level) in Nairobi) be regularized.",
"44. In addition, there is an anomaly in the staffing of the Registry in New York. While the Registries located in Geneva and Nairobi are staffed with a Registrar (P‑5) and Legal Officers at the P-4 and P-3 levels, the Registry in New York is staffed with a Registrar (P-5) and Legal Officers at the P-4 and P-2 levels. There is no operational basis for this discrepancy, and in fact, the Registry in New York would greatly benefit from having a second legal officer at the more senior level of P-3. For this reason, it is recommended that the P-2 Legal Officer post in New York be reclassified as a P-3 post.",
"10. Non-staffing-related issues",
"a. Courtrooms",
"45. As the new system must be professional in nature, and given the mandate that the hearings of the Dispute Tribunal, in general, be open to the public, the Tribunal must have facilities adequate for a professional court, of sufficient size to permit public access, at each of its locations.",
"46. Premises have been made available in all three locations of the Tribunal; however, issues relating to the construction of permanent courtrooms remain to be addressed.",
"47. In New York, because of the capital master plan, a temporary courtroom space has been provided in the temporary premises of the Office of Administration of Justice. The courtroom is operational, but as a temporary space, it is ad hoc in nature and has no capacity for simultaneous interpretation. Due consideration in the planning phase was given to ensuring that as much of the equipment and furnishings of the temporary space would be able to be removed and installed in the Tribunal’s permanent premises upon completion of the capital master plan. No provision has been made, however, for the creation of a permanent courtroom for the Dispute Tribunal in New York after the capital master plan is completed. In Geneva, a permanent space has been provided, but the space does not permit interpretation without additional construction. In Nairobi, the construction of a permanent, dedicated courtroom is under way. However, the 2010-2011 budget of the Office of Administration of Justice provided for no resources for courtroom construction and outfitting. Accordingly, provisions for construction and outfitting have been included in section 34 of the 2012-2013 budget.",
"b. Travel and communications",
"48. Another critical mandate for the new system, reiterated by the General Assembly in its resolution 65/251, is that it be decentralized. The Dispute Tribunal and its Registries are located in Geneva, Nairobi and New York. The Tribunal serves staff located in duty stations around the world, with each location serving a substantial geographic region. The success of the Tribunal’s decentralization relies heavily on the ability of the Tribunal and its Registries to communicate among themselves and with the parties and witnesses in cases before the Tribunal.",
"49. When the Dispute Tribunal holds hearings, it is critical that participants be able to fully engage in the proceedings and that the judges be able to assess the demeanour of witnesses appearing before them. Regular travel for either of those purposes would be prohibitively expensive; thus, it was envisaged that those activities would be accomplished primarily by means of videoconference. However, there are significant costs associated with videoconferencing. The current budget for costs associated with communications is inadequate to allow for the Tribunal’s effective use of videoconferencing. In addition, it is essential that oral hearings be recorded in a manner that reliably captures all of the input of all parties and the judiciary so that there is an accurate record of the proceedings that can be transcribed if there is a subsequent appeal. Therefore, the Secretary-General recommends increasing the budget of the Office of Administration of Justice by $25,000 under the line item for communications to cover the costs of videoconferencing for oral hearings and status conferences and biweekly meetings of the judges and registrars of the United Nations Dispute Tribunal and to permit recording of oral hearings of sufficient quality and reliability to be transcribed if required for a subsequent appeal of the judgement.",
"50. Under the statute, the Tribunal may order the physical presence of a party or witness when it deems his or her personal appearance to be essential to the proceedings. In addition, there are instances, particularly in cases arising in duty stations in Africa, where it is impossible to hold hearings in Nairobi because of the poor quality or unreliability of the videoconference connection and the fact that interpreters are not able to successfully interpret through telephonic connection. While such situations are expected to be limited in number, they have occurred in the first two years of operation and are expected to continue.",
"51. Moreover, the judges and the registrars must meet in person periodically to discuss common problems and develop uniform responses to these problems. In addition, one critical aspect of maintaining a professional system is providing the judges and legal staff with training opportunities to enhance their legal skills and enable them to take part in intellectual discourse among their juristic peers. The present budget does not contemplate the Dispute Tribunal judges and registrars holding any plenary sessions. Furthermore, the judges and legal staff of the Registries are routinely invited to legal symposiums but are unable to attend them owing to severe budgetary restrictions on official travel. This greatly impedes their ability to enhance their skills, interact with their peers and exchange knowledge. For these reasons, the Secretary-General recommends an increase in the travel budget of the Office of Administration of Justice in the amount of $155,000.",
"c. Mechanism for addressing complaints against judges",
"52. An issue relating to the functioning of the Dispute Tribunal, which also has an impact on the United Nations Appeals Tribunal, is the absence of a mechanism for handling complaints made against judges of the Tribunals. Valid complaints against judges would directly affect the independence, professionalism and accountability of the new system of justice. However, at present, no entity or office has a mandate to engage in the requisite fact-finding, make a determination as to the validity of a claim, impose a sanction or propose one to the General Assembly.",
"53. The Internal Justice Council reported its concerns regarding the absence of any mechanism for dealing with complaints against judges in its report to the General Assembly at its sixty-fifth session, indicating that it believed this to be a matter requiring urgent attention (see A/65/304, para. 40).",
"54. The Secretary-General understands that the Internal Justice Council intends to present a proposal for handling complaints against judges of the Tribunals in its report to the General Assembly at its sixty-sixth session. As there is currently no mechanism in place, the Assembly may wish, as an interim measure pending its decision on a permanent mechanism, to authorize the Council to investigate complaints that arise against judges, including any complaints that have already arisen, and to provide its report and recommendations on those complaints to the Assembly for any action that it may deem appropriate.",
"55. As for a possible permanent mechanism, building upon the preliminary observations on the subject made in his earlier report (A/63/314, paras. 73-79), the Secretary-General offers the following proposals for a mechanism to handle complaints against judges of the Tribunals.",
"56. When an allegation regarding misconduct or incapacity of a judge is made, the allegation would be reported to the President of the Tribunal in question. The President would then undertake an appropriate investigation of the claim, first determining an appropriate investigative process and subsequently appointing a panel of specialists to conduct the investigation. The investigation would afford the judge against whom the allegations were made all requisite due process, for example, the opportunity to respond to the allegation and submit relevant evidence. If the allegation is made against the President of the relevant Tribunal, in the case of the Dispute Tribunal, the allegation would be directed to the most senior of the other judges of the Tribunal. In the case of an allegation against the President of the Appeals Tribunal, the allegation would be directed to its First Vice-President.",
"57. Once an investigation has been conducted, the findings would be reviewed by the entire relevant Tribunal, with the exception of the judge under investigation. In cases where it is the unanimous opinion of the judges that the allegation of misconduct or incapacity is well founded, and where the matter is of sufficient severity to suggest that the removal of the judge would be warranted, the President of the Tribunal or his or her alternate would report the matter to the General Assembly and request the removal of the judge.",
"58. In cases where the alleged conduct, even if determined to be well founded, does not rise to a level that would warrant the removal of the judge, the President or his or her alternate would be given the authority to take appropriate corrective action (for example, issuing a warning or reprimand) that he or she deems appropriate under the circumstances of the case. A report on the disposition of complaints would be submitted annually to the General Assembly. An alternative to this proposal would be that the terms of reference of the Internal Justice Council be amended to provide the Council with the responsibility to investigate and make recommendations regarding any complaint against a judge of the Tribunals. When an allegation regarding misconduct or incapacity of a judge is made, the allegation would be forwarded to the Chair of the Council. The Council would then undertake an appropriate investigation of the claim, first determining an appropriate investigative process that would afford the judge against whom the allegations were made all requisite due process, for example, the opportunity to respond to the allegation and submit relevant evidence.",
"59. Once an investigation has been conducted, the findings would be reviewed by the Internal Justice Council. When the Council has determined that the allegations of misconduct or incapacity are well founded, the Chair would report the matter to the General Assembly and make a recommendation as to the appropriate sanction.",
"60. For both options above, the types of misconduct that would warrant the sanctioning of a judge would be violations of the code of conduct for the judges, prepared by the Internal Justice Council and submitted in document A/65/86 for the General Assembly’s consideration, in accordance with resolution 62/228, or violations of the Regulations Governing the Status, Basic Rights and Duties of Officials other than Secretariat Officials, and Experts on Mission, as set out in Secretary-General’s bulletin ST/SGB/2002/9.",
"C. United Nations Appeals Tribunal",
"1. Composition of the United Nations Appeals Tribunal",
"61. On 2 March 2009, the General Assembly elected the following seven judges:",
"(a) Judge Inés Weinberg de Roca (Argentina);",
"(b) Judge Jean Courtial (France);",
"(c) Judge Sophia Adinyira (Ghana);",
"(d) Judge Mark P. Painter (United States of America);",
"(e) Judge Kamaljit Singh Garewal (India);",
"(f) Judge Rose Boyko (Canada);",
"(g) Judge Luis María Simón (Uruguay).",
"62. On 11 October 2010, Judge Rose Boyko tendered her resignation from the Appeals Tribunal, for personal reasons, effective 15 January 2011. On 28 January 2011, the General Assembly appointed Judge Mary Faherty (Ireland) to replace Judge Boyko following an election process.",
"2. Election of the President and Vice-Presidents",
"63. On 30 June 2010, the Appeals Tribunal elected Judge Courtial as President and Judge Adinyira and Judge Garewal as First and Second Vice-Presidents, respectively, for the period from 1 July 2010 to 30 June 2011.",
"64. The judges of the Appeals Tribunal have held plenary meetings to deal with administrative and operational questions at the beginning and at the end of each of its five sessions.",
"3. Judicial statistics",
"65. From 1 July 2010 to 31 May 2011, a total of 105 new appeals were filed with the Appeals Tribunal: 7 appeals against the United Nations Joint Staff Pension Board, 5 against the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), 1 against the International Civil Aviation Organization and 92 cases appealing judgements and orders of the Dispute Tribunal (65 by staff members and 27 appeals on behalf of the Secretary-General against judgments and orders of the Dispute Tribunal).",
"66. The Appeals Tribunal held two sessions in New York in 2010, from 21 June to 2 July and from 18 to 29 October, and its first session in 2011, also in New York, from 28 February to 11 March. During the reporting period, the Tribunal rendered 96 judgements. It held its second session in 2011 in Geneva, from 27 June to 8 July, at which it considered 34 cases.",
"4. Outcome of disposed cases",
"67. During the period covered by the present report, the Appeals Tribunal issued 96 judgements.[4] Of these, one related to an appeal against the Pension Board, in which the Tribunal upheld the Standing Committee’s decision. Four judgements upheld decisions taken by the Commissioner-General of UNRWA.",
"68. Eighty-three judgements were rendered in appeals against Dispute Tribunal judgements. These judgements decided on 54 appeals filed by staff members and 29 appeals filed on behalf of the Secretary-General. The Appeals Tribunal rejected 46 of the 54 appeals filed by staff members, accepted 3 and remanded 5 to the Dispute Tribunal. Of the 29 appeals filed by the Secretary-General, 9 were dismissed, 19 were accepted, either in full or in part, and 1 was remanded to the Dispute Tribunal. In 12 cases, the Appeals Tribunal overturned or modified the Dispute Tribunal’s award of compensation.",
"69. During the reporting period, 2 requests for interpretation, 2 requests for reconsideration, 2 requests for correction, 3 requests for revision and 1 request to set aside a judgement were filed with the Appeals Tribunal which rejected all 10 requests.",
"70. As at 31 May 2011, 95 applications/appeals were pending before the Appeals Tribunal.",
"5. Issues relating to the functioning of the United Nations Appeals Tribunal and its Registry",
"71. The judges of the Appeals Tribunal meet in sessions, as required by its caseload, generally three times annually, to deliberate and render judgements. Critical to this process is substantial preparation of the cases by the legal and administrative staff of the Registry. While the funding structure and operating methods of the Appeals Tribunal are patterned after those of the Administrative Tribunal of the International Labour Organization (ILO),[5] the ILO Administrative Tribunal has the same number of judges but functions with six full-time Professional legal staff, three General Service staff and other staff on an as-needed basis. In contrast, the Appeals Tribunal Registry has only two Professionals and three General Service staff to support the Tribunal.",
"72. The Appeals Tribunal is a court of review that considers appeals from both staff and management. Pursuant to article 2.10 of the statute of the Appeals Tribunal, the Secretary-General has also concluded agreements with seven agencies providing them with access to the Tribunal as an administrative tribunal. As the system is new, there has been a high volume of appeals from both staff members and the Secretary-General. The number of cases filed with the Tribunal during the past year is comparable to the workload of the ILO Administrative Tribunal, which considers approximately 110 cases annually and does not accumulate a backlog.",
"73. The Registry’s current staffing is inadequate to fully support the Tribunal and allow it to process cases in a timely way. Two legal officers are insufficient to prepare more than 100 cases annually. This situation will lead inevitably to the accumulation of a backlog and to ever-increasing delay, one of the most highly criticized aspects of the former system. To allow this to occur again would crucially undermine the reform of the system of administration of justice. It is particularly undesirable for lengthy delays to exist between the rendering of a judgement by the dispute tribunal and the final appellate decision, as the outcome of an appealed case may settle the law in a particular area, reducing the number of future cases.",
"74. There is a need for an additional P-4 Legal Officer to guarantee the Registry’s ability to function effectively. There is a need for greater experience in the office, given the complexity of many of the cases and the speed with which they must be processed. A Legal Officer at the P-4 level could supervise the current staff on legal aspects of the work of the Registry, freeing the Registrar to focus on overall supervision, communications with the judges and other stakeholders, and the provision of technical and administrative support to the Tribunal.",
"75. In addition, a more senior Legal Officer would be capable of providing more substantive legal support to the judges and responding to queries independently, which would increase efficiency and responsiveness. Such a Legal Officer would share administrative functions with the Registrar and act as Officer-in-Charge in his or her absence. In the light of the volume of cases and the importance of providing the United Nations Appeals Tribunal with sufficient legal support to permit it to function optimally, the Secretary-General recommends that the General Assembly strengthen the Registry of the United Nations Appeals Tribunal with an additional Legal Officer at the P-4 level.",
"76. In its resolution 65/251, the General Assembly approved, for one year, an additional General Service (Other level) position to support the Appeals Tribunal. The Secretary-General notes that the support provided by this position has been useful. However, there is an urgent need for an additional Legal Officer with adequate seniority to support the judges in their work. In the light of this fact and mindful of the prevailing budgetary constraints, the Secretary-General recommends that this position not be continued.",
"77. Under article 4.2 of its statute, the Appeals Tribunal “shall hold ordinary sessions at dates to be fixed by its rules of procedure, subject to the determination of its President that there is a sufficient number of cases to justify holding the session.” Given the experience gained during the Tribunal’s first year of operations, and taking into account the number of cases filed with the Tribunal, it is envisioned that the Appeals Tribunal will have sufficient cases to justify meeting in three sessions annually. The Secretary-General notes, however, that the current budget for travel of the Tribunal is insufficient to accommodate a third session. Therefore, the Secretary-General recommends that additional funding in the amount of $230,000 be made available in the 2012-2013 budget for the Office of Administration of Justice to permit the United Nations Appeals Tribunal to hold a third session if required.",
"78. In paragraphs 155 to 164 of his previous report (A/65/373), the Secretary-General reported on the status of the judges of the Appeals Tribunal and their entitlements. In that report, the Secretary-General recommended that the travel privileges and the level of daily subsistence allowance previously provided to the judges of the former United Nations Administrative Tribunal should also be accorded to the judges of the Appeals Tribunal. In paragraph 50 of its resolution 65/251, the General Assembly decided to revert to the issue of travel privileges and the level of daily subsistence allowance of the judges of the Appeals Tribunal in the context of the 2012‑2013 budget. The Secretary-General continues to believe that this course of action would be appropriate and therefore recommends that the travel budget of the Office of Administration of Justice be increased by $50,200 to reflect this.",
"D. Office of Staff Legal Assistance",
"79. The Office of Staff Legal Assistance continues to face many challenges. The Office consists of seven Legal Officers funded through the regular budget (three located in New York and one at each of four satellite offices, in Addis Ababa, Beirut, Geneva and Nairobi) and three General Service staff (all located in New York). As of 1 January 2011, the Office of Staff Legal Assistance was provided with an additional Professional staff member at the P-3 level in Nairobi to support cases involving staff in field missions. This position has been funded for one year through the peacekeeping support account.",
"80. Despite the limited staffing spread over multiple duty stations, the Office of Staff Legal Assistance has made considerable accomplishments in its first two years of operation. It continues to successfully handle a high volume of requests for assistance from staff around the world with a small number of legal officers and limited administrative support.",
"81. As at 1 July 2010, the Office of Staff Legal Assistance had 432 pending cases.[6] Between 1 July 2010 and 31 May 2011, 425 new cases were filed with the Office. Taking into account the number of cases pending with the office as at 1 July 2010, it was involved in 857 matters. The Office has been able to close or otherwise find solutions for 265 of these cases. As at 31 May 2011, the Office had close to 600 active cases. In the second year of its operation, the volume of matters brought to the Office by staff, especially requests from staff located away from the three branches of the Dispute Tribunal, increased, placing significant strains on its limited resources.",
"82. The Office of Staff Legal Assistance provides many forms of legal assistance to staff, ranging from the provision of summary legal advice to the representation of the staff member before the Tribunals. Significant time may be expended in resolving a matter informally or helping the staff member understand that he or she is unlikely to succeed in a formal claim.",
"83. The greatest challenge for the Office continues to be responding to the high volume of requests for assistance with a limited number of staff. This is particularly difficult for the legal officers away from New York who work in isolation and without local administrative support. Thus, these legal officers must manage a heavy caseload and the majority of the administration of the office alone.",
"84. The Office of Staff Legal Assistance is assisted by affiliated volunteer counsel, legal interns and external pro bono counsel. Unfortunately, their numbers are insufficient to resolve the human resources deficit of the Office. It is difficult to identify qualified volunteer, intern and pro bono assistance in offices away from Headquarters, which contributes to the concern that its presence is substantially limited to New York.",
"85. The General Assembly has reiterated its request to the Secretary-General to work with staff associations in developing incentives to enable and encourage staff to continue to participate in the work of the Office of Staff Legal Assistance. This matter was considered at the session of the Staff-Management Coordination Committee in June 2011, and it was noted that there continue to be differences in opinion between management and staff representatives as to the approach to be taken. Accordingly, staff and management decided that consultations on the issue should continue.",
"86. The Trust Fund for Staff Legal Assistance, established by the Office of Administration of Justice in January 2010, has not provided sufficient resources to meaningfully assist the Office in augmenting its human resources, even on a temporary basis.",
"87. In the light of the experience gained during its first two years of operation, the Secretary-General believes that the present staffing of the Office of Staff Legal Assistance must be strengthened in order for it to fulfil its mandate. As the Secretary-General indicated in his report to the General Assembly at its sixty-fifth session, the Office suffers in particular from a lack of legal officers at a more senior level, as only one of its Professional staff members is above the P-3 level. For this reason, the Secretary-General recommends strengthening the Office of Staff Legal Assistance through the addition of two P-4 posts, to be located in Nairobi and New York.",
"88. The ability of the Office of Staff Legal Assistance to function efficiently is impaired by the absence of administrative support outside New York. As all administrative support is located at Headquarters, staff members, regardless of their duty station, must initiate their cases through communication with the Office in New York. The clear message to staff is that despite the promise of a decentralized system, core business takes place at Headquarters. For this reason, the Secretary-General recommends strengthening the Office of Staff Legal Assistance through the addition of two General Service (Other level) posts to provide administrative support in Geneva and Nairobi.",
"89. At its sixty-fifth session, the General Assembly agreed with the Secretary-General that the capacity of the Office of Staff Legal Assistance to serve field missions should be strengthened. Accordingly, the Assembly approved, on a temporary basis, an additional P-3 position located in Nairobi to support staff in field missions. This position, funded through the peacekeeping support account for one year, runs from 1 January to 31 December 2011. In the light of the continuing trend of a large number of cases involving staff from field missions, which demonstrates ongoing need, and further considering that the Department of Field Support and the Department of Peacekeeping Operations participate in the ongoing funding of the formal system on a cost-shared basis, the Secretary-General recommends that the P-3 position in Nairobi dedicated to supporting staff in field missions be continued for a period of one year and funded through the peacekeeping support account.",
"90. The non-post resources allocated to the Office of Staff Legal Assistance are also insufficient to permit it to function properly. Despite the fact that, because it is a decentralized office, all its office coordination and a significant portion of client consultation must be conducted by e-mail, telephone and video link, the Office has a communications budget that is insufficient to permit even modest amounts of telephone and video-link communication. In addition, the staff of this decentralized office, which has locations around the globe, must be able to communicate with one another outside the office and outside normal business hours. While the use of smartphone devices such as BlackBerries facilitates this, the current budget is insufficient to fund their use. For this reason, the Secretary-General recommends that there be an increase of $11,200 in the communications line item in the 2012-2013 budget.",
"91. Although they are rare, there are times when physical travel cannot be avoided. The legal officers serving in offices away from Headquarters serve a wide geographic area, including many field missions. If staff are to have meaningful access to the Office of Staff Legal Assistance, particularly in the field, its legal officers must periodically visit the duty stations that they serve in order to meet with clients and engage in face-to-face negotiations with local administration, facilitating informal dispute resolution. Legal officers of the Office in Addis Ababa and Beirut may be required to physically attend hearings of the Dispute Tribunal on behalf of clients, as ordered by the Tribunal. At present, there is no travel budget for the Office of Staff Legal Assistance to meet any of these critical requirements. Accordingly, the Secretary-General recommends that the Office’s travel line item be increased by $15,000 in the 2012-2013 budget.",
"92. Finally, the current budget of the Office, particularly for those offices located away from New York, is insufficient to provide for basic office requirements, such as the rental or purchase of a photocopier and scanner, and the purchase of key office supplies such as paper, binders, paper clips and pens. The lack of these basic office necessities in the one-person offices away from Headquarters compounds the difficulties faced by these isolated legal officers. For this reason, the Secretary-General recommends that the line item for supplies and materials be increased by $9,000 in the 2012-2013 budget.",
"E. Office of the Executive Director",
"1. Review of the Office of the Executive Director",
"93. The Office of the Executive Director is responsible for overseeing the administration of all of the elements of the formal system other than the representation of the Secretary-General as respondent. The Office, consisting of the Executive Director, the Special Assistant, two information technology specialists and one administrative support staff member, provides administrative, operational and technical support to the Tribunals, Registries and the Office of Staff Legal Assistance. This operational support has included coordinating with other relevant offices to facilitate the creation of a temporary courtroom facility in New York and similar coordinating efforts to provide for permanent office and courtroom facilities for the Office of Administration of Justice upon the completion of the capital master plan.",
"94. In addition to providing daily support to the above-mentioned units, the Office of the Executive Director is responsible for coordinating the preparation of the reports of the Secretary-General pursuant to relevant General Assembly resolutions. The Office also represents the formal system both within the United Nations and before external bodies, and in all matters requiring interdepartmental coordination and consultation.",
"95. Among the other accomplishments of the Office is the establishment of the website of the Office of Administration of Justice, which was launched on 28 June 2010 and is available in all six official languages. The website (www.un.org/en/oaj) is easy to navigate and provides practical step-by-step information on all aspects of the formal system. In May 2011, there were 7,690 visits to the website, which represents a 13 per cent increase in visits compared with the previous month. Since the website was launched, the average number of visits per month has been approximately 7,000. Overall, there is a trend of increasing use of the website. The Office of Administration of Justice continues to improve the website, including by creating functionality for searching orders and judgements of the Tribunals, which has been requested by users.",
"96. Another major milestone was the launching, on 6 July 2011, of the web-based electronic case management system, which includes the capacity to enable staff members from any duty station to file and monitor their cases electronically. The system is expected to increase efficiency, reduce delays and improve the functioning of the Registries. In addition, the implementation of the case management system provides an easy-to-access gateway to the elements of the formal system for staff members around the world.",
"97. The Office has successfully negotiated agreements with all of the entities that had access to the United Nations Administrative Tribunal in the prior system, pursuant to article 2.10 of the statute of the Appeals Tribunal.[7] Those agreements, signed by the Secretary-General, provide those entities with access to the Appeals Tribunal as an administrative tribunal.",
"98. In addition to its role in preparing and coordinating reports to the General Assembly on the administration of justice, the Office of the Executive Director provides substantial assistance in organizing the election of judges to the Tribunals when necessary.",
"99. Another important function of the Office of the Executive Director is to provide support to the Internal Justice Council in its work, including in preparing its reports to the General Assembly, as requested in resolutions 62/228 and 65/251, and in transmitting its views on the implementation of the new system of administration of justice.",
"100. The Office also provides significant administrative and technical support to the Internal Justice Council as it undertakes to assist the General Assembly in identifying candidates for judicial vacancies that will occur at the expiration of the three-year terms of judges in the Dispute and Appeals Tribunals on 30 June 2012.",
"2. Issues relating to the functioning of the Office of the Executive Director",
"101. The Office of the Executive Director is the focal point for organizing all of the technical, budgetary and logistical aspects of each of the substantive units within the Office of Administration of Justice. The role and functions of the Executive Director are substantial. The Executive Director plays a pivotal role in maintaining the independence of the formal system and is responsible for the coordination of the independent elements of the formal system, including oversight and coordination of the Registries and of the Office of Staff Legal Assistance. The Executive Director also represents the formal system both within the United Nations and before external bodies, and liaises with the heads of other United Nations offices, including the Office of the Ombudsman and Mediation Services.",
"102. In paragraph 34 of its resolution 65/251, the General Assembly requested the Secretary-General to submit proposals on the appropriate post level for the Executive Director of the Office of Administration of Justice. The Secretary-General considers that this issue should not be viewed in isolation from a corollary issue, which is the level of judges of the Dispute and Appeals Tribunals and the mechanisms for remunerating them. The judges of the Tribunals are non-staff officials. In the case of the judges of the Dispute Tribunal, they work on a full-time basis and are remunerated at the equivalent of the D-2, step IV, level. The judges of the Appeals Tribunal do not work full time, but meet in sessions every year to decide cases. Their remuneration does not reflect any specific post level, and they receive an honorarium per judgement rendered. The principal drafter of a judgement receives $2,400 and additional signatories $600 per judgement. It is apparent, after two years of experience gained, that this mechanism for remuneration raises some issues with respect to necessary intersessional functions of the Appeals Tribunal. Accordingly, the Secretary-General recommends that the General Assembly request the Internal Justice Council to examine the issue of the level of remuneration and remuneration mechanisms with respect to the judges of both Tribunals, as appropriate, and to report thereon to the Assembly at its sixty-seventh session, when the Assembly will consider the report of the Council on this matter, in conjunction with the issue of the appropriate post level for the Executive Director of the Office of Administration of Justice.",
"103. As described above, the tasks of the Office are very extensive. There is a need for an additional legal officer to assist with the high volume of work. The Professional staff of the Office of the Executive Director are legal, and information technology specialists and have only limited experience in key administrative areas, in particular United Nations budgeting.",
"104. It is clear that the Office would benefit from the addition of a legal officer with experience in administration and budget and of an administrative support position. However, in the light of financial constraints, no additional resources are currently requested in this area.",
"105. The Office of Administration of Justice facilitates the work of the Internal Justice Council. This independent body of senior jurists has a critical oversight function in the new system and has a substantial mandate. In paragraph 52 of its resolution 65/251, the General Assembly stressed that the Council could help to ensure independence, professionalism and accountability in the system of administration of justice and encouraged the Council to continue to provide its views on the implementation of the system of administration of justice and to report to the Assembly at its sixty-sixth session on ways in which its contributions might be enhanced.",
"106. Despite this, no express provision has been made in the current or prior budgets of the Office of Administration of Justice for remuneration of the external members of the Council when they carry out their considerable functions. Nor does the budget of the Office of Administration of Justice contain funds for general temporary assistance to accommodate maternity leave or long-term sick leave of staff members. Furthermore, there are no funds to hire temporary staff on a project basis or to cover periods of peak workload. Accordingly, the Secretary-General recommends that funds for general temporary assistance in the amount of $130,000 be included in the 2012-2013 budget.",
"107. The Executive Director and members of his staff must travel periodically to participate in meetings, both within the Office of Administration of Justice (for example, to the plenary sessions of the Dispute and Appeals Tribunals) and in the wider organizational context, such as the annual meeting of the Staff-Management Coordination Committee. There also continues to be a need for outreach to staff and managers located away from Headquarters, which necessitates travel by the Executive Director and his staff. The travel budget of the Office of Administration of Justice must accommodate all travel by the Executive Director and his staff and also accommodate the travel of staff relating to the plenary sessions of both Tribunals, the travel of staff of the Office of Staff Legal Assistance or other participants in the hearings when required by the Tribunals, and any other travel of staff of the Office of Administration of Justice. Because travel related to the judicial functions of the Tribunals must be prioritized, there is no meaningful travel budget for the Executive Director and his staff. The Office’s travel budget is also insufficient to permit the members of the Internal Justice Council, who are not co‑located, to travel to meet on an annual basis or to undertake any other travel to perform their essential task of evaluating the functioning of the system globally and reporting back to the General Assembly. For these reasons, the Secretary-General recommends that the travel budget of the Office of Administration of Justice be increased by $30,000 in the 2012-2013 budget.",
"108. The mandate of the Office of Administration of Justice to be a decentralized office requires substantial dependence on technological solutions. Two of the Office’s accomplishments in this area over the past year have been the establishment of a comprehensive website in all official languages and the implementation of a case management system with the capacity to allow all staff members, regardless of location, to file cases with the Tribunals and monitor them. While these important accomplishments save time, resources and money, they must be maintained and improved to keep pace with requirements. In addition, as off-the-shelf solutions were utilized to avoid costly bespoke systems, these products involve the renewal of annual licences and maintenance contracts. Furthermore, there are operating costs associated with data storage, system updates and adjustments based on lessons learned. The budget of the Office of Administration of Justice does not currently cover all of the licence, maintenance and upgrade costs associated with the systems that have been put in place. For these reasons, the Secretary-General recommends an increase of $75,000 in the 2012-2013 budget of the Office of Administration of Justice in the areas of contractual services and acquisition of software packages.",
"F. Legal offices representing the Secretary-General as respondent",
"109. Several offices represent the Secretary-General as the respondent in cases brought by staff members. Owing to the continued high volume of cases filed by staff members and the complexity of many of them, the offices and units representing the Secretary-General as respondent are functioning at or beyond capacity, given their existing staff and resources.",
"1. Legal offices representing the Secretary-General before the United Nations Dispute Tribunal",
"110. In his role as respondent before the Dispute Tribunal, the Secretary-General is represented by staff located at Headquarters and in offices away from Headquarters located in Geneva, Nairobi and Vienna.",
"111. In response to the needs of the new justice system, managers have redeployed staff within the Organization and recruited staff with the requisite skills to serve the system. As a result, the Organization has responded to the demands of the new system, which is being implemented throughout the Organization.",
"112. In 2010, 218 judgements were issued. The judgements provide an analysis of the background of the dispute, a reasoned application of the relevant staff regulations and rules, and findings on the factual and legal issues before the Dispute Tribunal. The judgements reflect the extensive submissions on the facts and the law presented by the parties during the course of the proceedings.",
"113. In order to fulfil the standards set by the new system, acute demands are placed on the offices representing the Secretary-General before the Dispute Tribunal. This section details the roles of the respective offices, the resources dedicated to the system, the statistics reflecting the volume of cases handled by the representatives of the Secretary-General, information on the outcome of the proceedings, and the Administration’s response to the jurisprudence.",
"114. The new justice system has brought with it new demands on the Administration. Together with the structural changes to the system, the Administration has been required to respond quickly and decisively to the resource and management challenges that it faces. In order to maintain the strength of the representation of the Secretary-General and enhance the capacity of the Secretary-General to respond to ongoing demands, it is important that the initiatives taken by management be preserved and consolidated. Furthermore, it is important that the global Secretariat continue to develop a fully integrated approach to the management of the representation of the Secretary-General before the Tribunals, which includes regular consultation and briefings among the staff of the offices representing the Secretary-General.",
"Administrative Law Section, Office of Human Resources Management",
"115. The Administrative Law Section, located in the Office of Human Resources Management, comprises an Appeals Unit and a Disciplinary Unit. The Section is responsible for representing the Secretary-General in his role as respondent before the Dispute Tribunal with respect to cases filed by staff serving across the global Secretariat, as well as cases from staff of the International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia. Cases brought by staff of the United Nations Offices at Geneva, Nairobi and Vienna, the United Nations Environment Programme (UNEP) and the United Nations Human Settlements Programme (UN-Habitat) are handled by officials at those duty stations. The Section also handles disciplinary matters referred to the Office of Human Resources Management relating to all Secretariat staff and staff of the International Tribunals, and provides advice to managers on the justice system in general, as well as on aspects of individual appeals and disciplinary cases.",
"Appeals",
"116. Upon the receipt of an application from the Dispute Tribunal, the Administrative Law Section is responsible for obtaining comments on the application from managers involved and for drafting a reply. The time limit for submitting a reply is 30 days, requiring prompt action from both the managers involved and the Section.",
"117. During the course of the proceedings, the legal officers of the Administrative Law Section participate in directions hearings and hearings on the merits, and make further written submissions as ordered by the Tribunal. Attendance at hearings requires substantial time for preparation, which includes consulting with the offices concerned and with the Office of Legal Affairs, where appropriate; meeting with witnesses to be called by the respondent; and preparing for the cross-examination of witnesses called by the applicant or his or her counsel and/or by the Tribunal.",
"118. The Administrative Law Section is also responsible for advising the Administration as to whether efforts towards informal resolution should be pursued or whether the litigation should be continued. The recommendations provide an analysis of the factual and legal issues arising in the case, and advice as to the most cost-effective way of resolving the dispute. If the recommendation to seek informal resolution is accepted, the Section is responsible for obtaining the necessary approvals, providing advice in the course of the negotiations with the applicant and/or his or her counsel, working with the Office of the Ombudsman to finalize the settlement agreement and following up on its implementation. The negotiations are frequently protracted and demanding; however, the potential benefit of resolving the dispute informally is substantial.",
"119. When a final judgement is issued, the Administrative Law Section liaises with the Office of Legal Affairs, which determines whether to appeal the judgement to the Appeals Tribunal. The Section is also responsible for interpreting the final judgements of the Dispute Tribunal, obtaining information necessary for the implementation of the judgements and conveying the judgements to the relevant officials for implementation.",
"120. The Section also represents the Secretary-General in suspension-of-action proceedings, in which a party seeks the urgent suspension of the implementation of an administrative decision. These applications must be resolved without delay. Within five days of the request, a response is filed, and an oral hearing is conducted. The Tribunal issues an order either accepting or rejecting the request within days of the hearing. These hearings require urgent attention and intensive preparation. It is particularly difficult to meet the deadlines when the office concerned and potential witnesses are located away from Headquarters and time differences are at issue.",
"121. During the reporting period, the Administrative Law Section handled 318 appeals cases; at any given time, it has approximately 200 files pending before the Dispute Tribunal. Approximately 50 per cent of the files concern appointment-related issues; 20 per cent are disciplinary appeals; 15 per cent relate to benefits and entitlements; 5 per cent relate to separation from service; 1 per cent relate to classification; and 9 per cent relate to other matters.",
"122. During the period from 1 July 2010 to 30 June 2011, the Dispute Tribunal issued judgements in 114 cases handled by the Section. Sixty-four applications were decided on the merits; 17 were dismissed on grounds of receivability; 14 were informally settled and withdrawn; 5 were withdrawn by the staff member; 5 related solely to compensation; and 9 were abandoned by the applicant. In addition, 12 requests for suspension of action were determined by the Tribunal. Three were granted, four were dismissed and five were either settled or abandoned.",
"123. Of the cases decided on the merits, 38 were decided in favour of the Secretary-General and 21 in favour of the staff member, and on 5 occasions the Administration successfully defended the staff member’s principal claim; however, a minor claim succeeded. Where the Applicant succeeded on the merits either fully or partially, compensation was awarded in 20 cases.",
"124. The new working methods, the high number of appeals to be addressed, the shortened deadlines for the submission of the respondent’s replies (from two months to 30 days) and the time differences between New York and the other duty stations where client departments/offices, witnesses and the Tribunal branches are located have resulted in a heavy workload and increased pressure for staff of the Section.",
"Disciplinary matters",
"125. The Administrative Law Section is also responsible for handling disciplinary matters referred to the Office of Human Resources Management for action. During the reporting period, the Section was responsible for 391 disciplinary matters, including 121 new cases received during the reporting period. The Section’s role in processing disciplinary cases is set out in a separate report of the Secretary-General on his practice in disciplinary matters and possible criminal behaviour (see A/66/135).",
"126. It is noted that the new justice system and the concomitant abolition of the Joint Disciplinary Committee have shifted the responsibility for conducting the factual and legal analysis of a case to the Office of Human Resources Management. In the former system, the Secretary-General referred disciplinary matters to the Joint Disciplinary Committee for the establishment of the facts and for advice as to what disciplinary measures, if any, should be imposed. With the abolition of the Joint Disciplinary Committee, the Office of Human Resources Management is required to perform increasingly detailed analyses of the cases before it. Consequently, substantial time is spent scrutinizing every aspect of a referral for disciplinary action, including obtaining clarifications and additional evidence from the investigating entity or the staff member concerned. Depending on the complexity of the matter, the disciplinary process can last from three months in a relatively straightforward case to up to two years in a more complex matter.",
"Advice",
"127. Finally, the Administrative Law Section provides ad hoc advice to offices throughout the Secretariat. Generally, one piece of advice requires one working day. Each year, the Section provides approximately 600 pieces of advice.",
"Resources of the Administrative Law Section",
"128. The transition to the new system has placed substantial additional demands on the Administrative Law Section. The procedures for both the appeals and disciplinary work are considerably more complex and demanding, resulting in a substantial increase in the volume of work. One fundamental change is the shift from document-based proceedings under the former system to oral hearings and the demand for numerous written submissions under the new system. The average number of working days required to process an appeal has tripled, from 5 days under the former system to 15 days under the new one. Under the former system, the respondent made, on average, two written submissions in each case. Hearings in appeals cases were held rarely, if at all. Under the new system, the Tribunal often requires numerous written submissions. In a significant number of the cases handled by the Section, between two and three oral hearings were held, in some cases even more. Preparation time for hearings can be substantial, requiring consultation with the offices concerned, and for merits hearings, preparation requires locating and speaking with witnesses in order to familiarize them with the process and to obtain statements.",
"129. As at 30 June 2009, the Administrative Law Section comprised four posts: one P-5 (Chief) post funded from the regular budget; one P-4 post also funded from the regular budget; and two P-4 posts funded from the peacekeeping support account. In addition, there were ad hoc funds from the peacekeeping support account for general temporary assistance. Owing to the volume of work coming from the field and the demands placed on the Section by the new system, on 1 July 2009 the General Assembly authorized an additional three legal officer posts (2 P-3 and 1 P-2) and two temporary positions (1 P-3 and 1 P-2) financed from the peacekeeping support account. In January 2010, the Section was divided into an Appeals Unit and a Disciplinary Unit. A P-5 post was redeployed from another section within the Human Resources Policy Service to head the Appeals Unit. In view of the sustained workload from the field missions, in July 2010 two additional legal officer posts (1 P-4 and 1 P-3) located in Nairobi were approved by the General Assembly and financed from the peacekeeping support account. Also in July 2010, three additional temporary positions (1 P-4 and 2 P-3) were made available by the Secretary-General under his limited discretionary authority, for handling appeals and disciplinary cases from non-field-related organizational units.",
"130. The Administrative Law Section has a staffing complement of 15 legal officers. At present, the Section comprises an Appeals Unit with one P-5 (Chief), three P-4 and two P-3 staff in New York and one P-4 and one P-3 in Nairobi; and a Disciplinary Unit with one P-5 (Chief), one P-4, three P-3 and two P-2 staff. Of those positions, three are financed from the regular budget (one of which was redeployed from within the Human Resources Policy Service), nine are financed from the peacekeeping support account and three are financed until 31 December 2011 by temporary resources provided by the Secretary-General under his limited budgetary discretion.",
"131. An analysis of the Section’s caseload demonstrates the need for additional posts. With regard to appeals, over the past year approximately 115 appeals filed with the Dispute Tribunal were received and handled by the Appeals Unit. Each case before the Dispute Tribunal takes on average 15 working days to process. This requires 1,725 working days per year. In addition, the Appeals Unit provides approximately 400 pieces of advice per year, requiring 400 working days per year. In total, the Appeals Unit performs approximately 2,125 days of work per year. Based on 27 working days per month, that is, 78.7 work months per year, this translates to seven posts. The Appeals Unit currently has only five posts, one of which is the post of the Chief. The Chief oversees and directs the work of the Unit, and the four legal officers handle the caseload. Three additional legal officer posts are therefore required.",
"132. Given that approximately 35 per cent of appeals are from peacekeeping missions and 65 per cent are from non-peacekeeping offices, six posts should be allocated from the regular budget and three from the peacekeeping support account. However, only one legal officer post in the Unit is currently funded from the regular budget. In order to ensure optimal functioning, three additional regular budget posts would need to be established in the Appeals Unit. However, in the light of the current financial constraints of Member States, it is proposed that two additional posts (1 P-4 and 1 P-3) be established in the Appeals Unit at this time.",
"133. On the basis of the number of disciplinary cases received since 1 July 2009, it is expected that approximately 150 cases will be received by the Administrative Law Section for action each year. As a disciplinary file takes an average of 20 working days to process, the caseload requires 3,000 working days per year. In addition, the Disciplinary Unit provides approximately 200 pieces of advice per year, requiring 200 working days. In total, the Disciplinary Unit must perform approximately 3,200 days of work per year. Based on 27 working days per month, this translates to 118.5 work months, which is equivalent to 10 posts. The Disciplinary Unit currently has only six legal officer posts, comprising four established legal officer posts and two temporary positions. In addition, the Unit has a Chief (P-5) who oversees and directs the work. Therefore, there is a shortfall of four legal officer posts.",
"134. Given that approximately 60 per cent of disciplinary cases handled are from peacekeeping missions and 40 per cent are from non-peacekeeping offices, four posts should be allocated from the regular budget and six from the peacekeeping support account. Currently, however, no legal officer post in the Disciplinary Unit is funded by the regular budget. It is proposed that the four established posts be maintained under the peacekeeping support account. The conversion of the two additional required posts from general temporary assistance to established posts will be proposed in the 2012-2013 budget of the peacekeeping support account. In order to handle the workload from non-peacekeeping offices, the Disciplinary Unit requires four regular budget legal officer posts. However, in the light of the current financial constraints of Member States, it is proposed that three additional posts (1 P-4 and 2 P-3) be established in the Disciplinary Unit at this time.",
"135. In total, the Secretary-General seeks an additional five legal officer posts for the Administrative Law Section. Notably, in the assessment of the resources required for the Section, 27 working days per month were allowed for, rather than the standard 21.5 days. This further demonstrates the heavy workload that the Section is carrying and the need for a sustainable resource base.",
"United Nations Office at Vienna",
"136. At the United Nations Office at Vienna and the United Nations Office on Drugs and Crime, overall responsibility for acting as representative of the Secretary-General in appeal and disciplinary matters has been delegated to the Director of the Division for Management. Day-to-day responsibility for handling disciplinary cases prior to their referral to the Office of Human Resources Management and requests for management evaluation, as well as for representing the Secretary-General before the Dispute Tribunal, is assigned to the Human Resources Management Service and coordinated by the Human Resources Policy Officer within the Service.",
"137. The United Nations Office at Vienna/United Nations Office on Drugs and Crime continues to observe an increase in requests for legal advice and for confirmation of compliance with the applicable law from managers, as well as an increase in the time required to prepare for each case before the Dispute Tribunal. To keep staff and management informed of the features of the new justice system, the United Nations Office at Vienna/United Nations Office on Drugs and Crime continues to hold briefings, lunchtime forums and town hall meetings and sends electronic messages to staff at large in Vienna and in the field, all of which requires additional time from the human resources team.",
"138. The increasing number of appeals, coupled with the very short deadlines in the new system, continues to overstretch the legal support capacity available for United Nations Office at Vienna/United Nations Office on Drugs and Crime management. The United Nations Office at Vienna has deployed one Human Resources Policy Officer in the Human Resources Management Service on a full-time basis to respond to the increased demands of the new system. However, this is not viable in the long term, since the human resources team is stretching its limited resources to cover for the regular functions of this officer. Accordingly, the United Nations Office at Vienna requires the dedicated posts of a legal officer at the P-4 level and a General Service (Other level) legal assistant to ensure adequate coverage of the continuing demands of the system. Given the financial constraints, however, it is proposed that the United Nations Office at Vienna be supported by staff at the United Nations Office at Geneva.",
"United Nations Office at Geneva",
"139. At the United Nations Office at Geneva, a Human Resources Officer with a legal background acts as the representative of the Organization before the Dispute Tribunal in cases filed by staff members at the Office and in its client organizations (the Office of the United Nations High Commissioner for Human Rights (OHCHR), the United Nations Conference on Trade and Development (UNCTAD), the Office for the Coordination of Humanitarian Affairs, the Economic Commission for Europe (ECE) and other, smaller entities). In addition to the temporary P-4 resource, it became necessary to add a P-3 Legal Officer post, funded on a cost-shared basis by client organizations (OHCHR, UNCTAD and the Office for the Coordination of Humanitarian Affairs) in order to cope with the increase in the workload, in particular from the client organizations. However, this arrangement will be in place only until the end of 2011.",
"140. As noted above, owing to the establishment of the new justice system, staff members’ submissions are more detailed and require more analytical work and legal research, and there are more oral hearings than in the prior system, which are time-consuming. In addition, the Dispute Tribunal judges often request the respondent to provide detailed information on elements of a case, thus creating additional work and more consultation with managers involved. The overall result is that each case requires more staff time than a case would have taken in the former system.",
"141. The legal officers are also requested to provide legal advice to managers regarding management evaluation requests or the preparation of decisions. Furthermore, the United Nations Office at Geneva continues to organize training for managers on the justice system and holds briefings for managers on management evaluation decisions and Tribunal jurisprudence. Finally, the legal officers provide support/input to the Office of Legal Affairs, which handles appeals for the Organization before the Appeals Tribunal.",
"142. Despite the significant increase in work, no additional resources were allocated to the United Nations Office at Geneva in conjunction with the transition to the new system. While temporary staffing arrangements were made on an ad hoc basis to address the time-critical extra workload relating to the rendering of essential legal expertise to the Office, this was done at the expense of adequately managing the significant demands placed on other areas of human resources. Those arrangements were therefore determined to be unsustainable for the future.",
"143. In order to effectively provide proper representation of the Secretary-General before the Dispute Tribunal, it has become crucial to seek advice from Headquarters on the provision of additional dedicated legal resources. Specifically, given the current caseload, the United Nations Office at Geneva requires a P-4 post for a Legal Officer with litigation experience and a General Service (Other level) post for a Legal Assistant. The P-4 Legal Officer would also be required to provide services to the United Nations Office at Vienna/United Nations Office on Drugs and Crime as indicated in paragraph 138 above. The P-3 Legal Officer post, funded on a cost-shared basis by client organizations (OHCHR, UNCTAD and the Office for the Coordination of Humanitarian Affairs), would need to be retained.",
"United Nations Office at Nairobi",
"144. During the reporting period, the position of Senior Legal Officer to the Director-General was filled, and for the latter half of the period the Senior Legal Officer represented the United Nations Office at Nairobi before the Dispute Tribunal. Early in the reporting period, the Office had been represented before the Dispute Tribunal by a Human Resources Officer with a legal background, assisted by colleagues from the Administrative Law Section. Furthermore, in the light of the limited experience in litigation of the Human Resources Section, the Office and UNEP engaged outside legal expertise on a consultant contract to assist with litigation matters before the Dispute Tribunal.",
"145. Cases concerning the client offices of the United Nations Office at Nairobi were handled either by staff of UNEP or UN-Habitat who had a legal background or by the Office’s Senior Legal Officer.",
"146. The reliance placed on the Senior Legal Officer before the justice system means that she is unable to attend to the core functions of her post as legal adviser to the Director-General. Accordingly, additional resources are requested. Specifically, the United Nations Office at Nairobi seeks a P-4 post for a Legal Officer with litigation experience and a post for a General Service (Other level) staff member to serve as a Legal Assistant. These posts would also serve the Economic Commission for Africa (ECA), where the demands of the new system have been particularly acute.",
"Regional commissions and the Tribunals",
"147. The respective Human Resources Management Services of the regional commissions (ECE, the Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic Commission for Latin America and the Caribbean (ECLAC), ECA and the Economic and Social Commission for Western Asia (ESCWA)) and the Tribunals (the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda) are called upon to perform additional functions and provide additional services under the new system.",
"148. The Human Resources Management Services are responsible for the day-to-day handling of disciplinary cases prior to their referral to the Office of Human Resources Management and requests for management evaluations. Furthermore, they are called on to give advice and guidance to managers on the jurisprudence emerging from the Dispute Tribunal. In addition, they liaise with the Administrative Law Section regarding ongoing cases; respond to requests for additional information sought by the Dispute Tribunal; establish contact with witnesses; and provide information required for the implementation of judgements. The judges of the Dispute Tribunal often request the parties to provide detailed information on elements of a case, thus creating additional work and more consultation with the managers involved. The overall result is that each case requires substantially more staff time than a case would have required in the former system.",
"149. The original requests for resources to implement the new system did not include any provision for additional resources in the regional commissions. However, following the implementation of the system, it has become apparent that resources are needed.",
"150. There is a need for a P-4 Human Resources Policy Officer with a legal background to give internal advice to management and Human Resources Services at ESCAP and ESCWA. The Officer would be based in ESCAP and would support both ESCAP and ESCWA. A General Service (Other level) post is also required in order to support the Officer.",
"151. The legal officers at the United Nations Office at Geneva will support the work of ECE, while the legal officers based at Headquarters will be responsible for advising ECLAC.",
"152. As indicated in paragraph 146 above, the proposed Legal Officer post in the United Nations Office at Nairobi would support the work of ECA.",
"Outreach",
"153. There is a need for outreach to the regional commissions. Training and the dissemination of relevant information to managers and human resource officers are crucial components in maintaining uniform standards across the Organization and addressing ongoing systemic issues. Managers require briefings on the key issues giving rise to appeals and advice on how they may minimize potential disputes. Human resources officers require training on the preparation and presentation of responses to requests for management evaluation and the provision of information and assistance to the Administrative Law Section during the course of proceedings. Finally, managers and human resources officers need to be aware of the overall system, with an emphasis on the possibility of pursuing the informal resolution of disputes. Training on the conduct of negotiations and on effective representation of the Secretary-General in mediations is required.",
"154. The International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia are currently implementing their completion strategies. Experience demonstrates that the caseload increases when missions are downsizing. Accordingly, it is expected that there will be an increase in the number of cases brought by staff from the Tribunals over the next three years. In this context, it is important that outreach to the Tribunals be facilitated to ensure that managers and human resources officers have the opportunity to receive assistance with specific cases and briefings on the latest developments in the jurisprudence affecting the implementation of their completion strategies.",
"155. It is proposed that outreach missions be conducted. The sum required to conduct these missions is $30,000. Specifically, it is proposed that a legal officer from Nairobi travel to ECA and the International Criminal Tribunal for Rwanda ($12,500 to the United Nations Office at Nairobi); a legal officer from Geneva travel to ESCWA, ESCAP and the International Tribunal for the Former Yugoslavia ($17,500 to the United Nations Office at Geneva). Accordingly, the Secretary-General requests $30,000 for outreach missions.",
"156. In addition, at times, the Dispute Tribunal conducts hearings in missions and other duty stations. The legal officer representing the Secretary-General is required to travel to the locations where the hearing is conducted. To date, there has been no specific allowance made for these travel costs. Accordingly, the Secretary-General requests $30,000 for travel to Tribunal hearings in mission locations.",
"Summary of current resources and resource requirements",
"157. The current resources and the resource requirements of the Administrative Law Section, offices away from headquarters and the regional commissions are set out in the table below.",
"Current resources and resource requirements",
"Office\tCurrent resources\tAdditional resourcessought \nAdministrativeLaw Section\tRegular budget2 P-51 P-42 General Service\tRegular budget2 P-43 P-3 Peacekeeping supportaccount3 P-43 P-31 P-21 P-3 (general temporaryassistance)^(a)1 P-2 (general temporaryassistance)^(a)1 General Service \n\tLimited budgetaryauthority^(b)1 P-42 P-3\t\nUnitedNationsOffice atGeneva\tP-4 Human ResourcesPolicy Officer\t1 P-41 General Service(Other level)\nUnitedNationsOffice atVienna\tNo resources(P-4 Human ResourcesPolicy Officerreassigned)\tUtilize services ofP-4 Legal Officerbased in UnitedNations Office atGeneva\nUnitedNationsOffice atNairobi\tNo resources(P-5 Senior LegalOfficer deployed)\t1 P-41 General Service(Other level)\nECA\tNo resources\tUtilize services ofP-4 Legal Officerbased in UnitedNations Office atNairobi\nESCAP\tNo resources\t1 P-41 General Service(Other level)\nESCWA\tNo resources\tUtilize services ofP-4 Legal Officerbased in ESCAP",
"^(a) Conversion to established posts will be proposed in the support account budget for 2012-2013.",
"^(b) Until 31 December 2011.",
"United Nations Development Programme",
"158. The UNDP Legal Support Office is an integrated legal office for UNDP and its affiliated funds whose legal work spans all aspects of corporate, institutional and administrative law, with an added focus on policy and training. In the light of the new system of justice, along with an increased demand for legal consultation and advice, the Office has had to adjust its staffing. The Administrative Law Practice Group of the Office is currently operating at full staffing capacity, with one Head of Practice (P-5) who carries her own workload and one P-5, two P-4 and two P-3 Legal Officers, totalling six Legal Officers, who are assisted by two General Service support staff. The Practice Group is responsible for handling all management evaluation requests, all cases before the Dispute Tribunal, all disciplinary cases, legal advice relating to policy work, legal training and all legal queries, on issues ranging from private legal obligations to advice on tax and pension matters.",
"159. The Legal Support Office is engaged in all stages of both informal and formal resolution of staff grievances. At the informal stage, the Office provides advice and guidance to managers, including the Office of Human Resources, country offices and regional bureaux, on the resolution of differences prior to their maturing into a formal complaint. The Office may also seek the intervention of the Ombudsman for funds and programmes. This preventive work by the Office has increased significantly since 1 July 2009 as more managers seek legal guidance to ensure that their decisions are taken in compliance with the UNDP legal framework, resulting in greater expenditure of time and resources.",
"160. Where issues are not resolved at the informal stage, the Legal Support Office makes recommendations to the Assistant Administrator and Director of the Bureau of Management on the disposition of requests for management evaluation; represents UNDP before the Dispute Tribunal; participates in mediation proceedings; and coordinates with the Office of Legal Affairs in respect of its representation of the Secretary-General concerning UNDP cases before the Appeals Tribunal. The Office also recommends action from an accountability perspective where warranted. On 1 August 2010, UNDP introduced a new procedure for handling requests for management evaluation. While the Office continues to review such requests and to make recommendations to the Assistant Administrator and Director of the Bureau of Management regarding their disposition, two additional senior managers, appointed by the Administrator and selected from a roster, are requested in order to provide their independent views from a management perspective directly to the Assistant Administrator and Director of the Bureau of Management. This system has worked well, although more managers need to be appointed in 2011 to cope with the increased number of requests for management evaluation. It is anticipated that the ongoing implementation of the one-time review linked to the granting of permanent appointments will generate more cases.",
"161. The Legal Support Office has provided training courses, briefings and outreach activities on a regular basis and through all available media to raise awareness among UNDP staff members and managers of the new system. For example, the Office launched an online legal course, compulsory for all managers, which contains several chapters on legal issues related to the internal justice system. In addition, the Office has had to adjust to shorter deadlines for management evaluations and from the Dispute Tribunal, as well as to the increased number of hearings and written submissions required by the Tribunal. This has resulted in an overall increase in the workload of its staff. Moreover, in view of the increased focus on oral hearings and full trials at the Dispute Tribunal, specialized training for lawyers in the area of advocacy and litigation has been required.",
"United Nations Children’s Fund",
"162. The Office of the Principal Adviser to the Executive Director, within the Office of the Executive Director, has overall responsibility for legal support and advice within UNICEF. The Division of Human Resources handles requests for management evaluation and represents UNICEF before the Dispute Tribunal. UNICEF has adjusted staffing levels, competencies and standard operating procedures to accommodate the increased workload resulting from the new system, and special attention is paid to management evaluation requests and to mediation opportunities.",
"Office of the United Nations High Commissioner for Refugees",
"163. Prior to the reform of the system of administration of justice, the administrative review of decisions concerning the staff of UNHCR was carried out by the Administrative Law Unit of the Secretariat. At present, UNHCR conducts its own management evaluation, which is delegated to the Deputy High Commissioner. The Legal Affairs Service, reporting directly to the Deputy High Commissioner, provides advice on all management evaluations.",
"164. UNHCR has had a very positive experience with the management evaluation process, which has enabled management to critically review its decisions, take remedial action before cases escalate to the Dispute Tribunal and review and improve its procedures. In many cases, the process has also re-established dialogue between UNHCR and the staff member.",
"165. At the Dispute Tribunal, UNHCR is represented by the Director of the Division of Human Resources Management. The Legal Affairs Service advises the Director on all pending cases.",
"166. At UNHCR, significant emphasis has been placed on the informal resolution of grievances at an early stage, and a number of cases have been resolved informally through the involvement of the UNHCR Ombudsman. Nevertheless, since the introduction of the new system, there has been a noticeable increase in the number of grievances that staff members seek to address through the formal system.",
"167. UNHCR continues to support the work of the Office of Staff Legal Assistance with the non-reimbursable loan of a Legal Officer to its Geneva office.",
"United Nations Office for Project Services",
"168. The United Nations Office for Project Services (UNOPS), being relatively small, has not received many cases. Although it has no legal unit working solely on such cases, it has a legal officer at its headquarters who is responsible, inter alia, for monitoring developments in the justice system (including the jurisprudence and practices of the Dispute and Appeals Tribunals). Each case filed with the Dispute Tribunal, as well as any issue that may lead to a case, including requests for management evaluations, is managed by the UNOPS legal officer in whose regional office the case or issue arose, supported by the above-mentioned legal officer at headquarters. This work is conducted under the overall supervision of the UNOPS General Counsel. In line with Secretary-General’s bulletin ST/SGB/2008/13, the Office of Legal Affairs manages all appeals concerning UNOPS to the Appeals Tribunal.",
"169. Thus far, the new system seems to be much more formal and professional than the previous system. In the new system, cases are conducted in a manner similar to that employed by many national courts, the increased number of oral hearings being just one example of this.",
"170. The time required of both lawyers and non-lawyers involved in a case has, accordingly, increased significantly. Furthermore, staff may make requests for the production of a large number of documents. The Dispute Tribunal has generally been inclined to grant such requests, the fulfilment of which requires considerable work on the part of the Organization.",
"United Nations Population Fund",
"171. The United Nations Population Fund (UNFPA) employs two legal officers, who provide a range of legal support and advisory services to the Fund, including the representation of UNFPA before the Dispute Tribunal. UNFPA continues to pay special attention to management evaluation, as well as to options involving alternative dispute resolution, including mediation.",
"2. Legal office representing the Secretary-General before the United Nations Appeals Tribunal",
"Office of Legal Affairs",
"172. As the central legal service of the Organization, the Office of Legal Affairs provides legal advice to the Secretary-General, Secretariat departments and offices and United Nations organs in a number of areas, including the new system of administration of justice. Within the Office of Legal Affairs, the organizational unit entrusted with this responsibility is the administration and management cluster in the General Legal Division. The functional responsibilities of the Division in this area are described below.",
"173. The responsibilities of the General Legal Division in relation to the system of administration of justice pertain to both the informal and the formal stages of dispute resolution. The Division provides advice to offices and departments of the Secretariat and the funds and programmes during the early stages of a claim advanced by a staff member, well before such a claim has progressed to litigation. For example, the Division has been requested to provide input during the management evaluation stage and during settlement negotiations.",
"174. Once a claim has advanced to the formal stage and a staff member has filed an application with the Dispute Tribunal, the General Legal Division regularly provides advice to the entity representing the Secretary-General at the first level of the judicial process. Such entities include the Administrative Law Section and its counterparts in Geneva, Vienna and Nairobi. Under the new system of administration of justice, entities within the funds and programmes (UNDP, UNOPS, UNICEF, UNFPA and UNHCR) represent the Secretary-General before the Dispute Tribunal; the Division is available to advise the funds and programmes as requested. In addition, since the Division has a comprehensive view of the evolving jurisprudence of the new system, it briefs all entities representing the Secretary-General before the Dispute Tribunal on legal developments in the new system and shares legal arguments for their guidance and use in relation to issues that arise before the Tribunal. Such advice ensures coordination and consistency in the legal strategies and arguments advanced by the Secretary-General on issues of policy and principle. In that context, the Division brings judgements of the Dispute Tribunal that have significant implications for the Organization to the attention of all the relevant offices.",
"175. The General Legal Division also represents the Secretary-General before the Appeals Tribunal. This responsibility encompasses both the filing of appeals against judgements of the Dispute Tribunal and responding to appeals filed by staff members. The Division performs this function with respect to all offices and departments of the Secretariat, as well as the funds and programmes. In order to determine whether appealing a given judgement is in the interest of the Organization, the Division must review and analyse each and every Dispute Tribunal judgement and consult with the entities that represented the Secretary-General before the Tribunal. The process of handling an appeal requires research into and analysis of all necessary factual and legal issues raised by the Dispute Tribunal and the preparation of a written appeal or answer, as appropriate.",
"176. In addition to providing advice on matters related to the system of administration of justice, the General Legal Division provides advice to offices and departments of the Secretariat and the funds and programmes concerning the interpretation or implementation of the Staff Regulations and Rules or other personnel policies and practices before an administrative decision is taken, such as in relation to recommendations for the dismissal of staff members. Although the majority of such requests originate from the Department of Management (including organizational entities such as the Office of Human Resources Management, the Advisory Board on Compensation Claims, the Medical Services Division or the Insurance Section), requests also come to the Division from the funds and programmes, UNHCR and offices away from Headquarters. Finally, the Division is responsible for reviewing, providing advice on and legally clearing every administrative issuance relating to human resources management policy prior to its promulgation.",
"177. The responsibilities of the General Legal Division in connection with the new system of justice have greatly exceeded expectations and have resulted in an unexpected and substantial increase in the Division’s workload. When the Secretary-General submitted his report on the resource requirements for the new system before it became operational, the Advisory Committee on Administrative and Budgetary Questions declined to approve any of the posts that were requested for the Office of Legal Affairs on the assumption that the efforts for the early resolution of disputes through informal means might result in fewer cases being brought to the Tribunals (see A/62/7/Add.7, para. 50). In the light of that consideration, the Advisory Committee found that there was insufficient information to support the requested additional staff at that time, recommending against the approval of those posts until the real needs could be assessed. The Advisory Committee assumed that the substantial majority of cases would be resolved before they reached the Dispute Tribunal. Contrary to those assumptions, as discussed below, the real needs of the new system have required the provision of legal advice by the General Legal Division to a broader range of clients, on increasingly complex issues, that entail significant financial, legal and operational implications for the Organization, and on an even more urgent basis.",
"178. Under the previous system, there was one tier of judicial review, the United Nations Administrative Tribunal. At present, there are two tiers of review. Under the previous system, the Administrative Tribunal operated on a part-time basis and met in two sessions per year, while under the new system, the Dispute Tribunal operates on a full-time, year-round basis and the Appeals Tribunal meets in three sessions per year.",
"179. As a consequence of the fundamental institutional changes in the system, there has been a significant increase in the number of judgements that the General Legal Division must review and provide advice on. Under the previous system, the United Nations Administrative Tribunal issued 65 judgements in 2009. By contrast, under the new system, the Dispute Tribunal issued 218 judgements and the Appeals Tribunal issued 100 judgements in 2010. Thus, the total number of judgements under the new system is approximately five times the number under the previous system.",
"180. There has also been a significant increase in the number of submissions filed by the General Legal Division under the new system. Under the previous system, the Division filed an average of 63 submissions with the United Nations Administrative Tribunal per year. By contrast, under the new system, it filed 150 submissions with the Appeals Tribunal in 2010 (114 in cases arising from the Secretariat, including peacekeeping missions, and 36 in cases arising from the funds and programmes and UNHCR). Thus, the number of submissions filed under the new system is approximately 140 per cent higher than the number filed under the previous system.",
"181. The impact of the new system on the General Legal Division is not related solely to the number of appeals filed with the Appeals Tribunal; the nature of the work undertaken by the Division in this area has also substantially changed. Under the previous system, the Division had a generous time frame (six months) for drafting responses to the United Nations Administrative Tribunal. Generally, those responses were based on the well-established jurisprudence of that Tribunal, and the Division’s work was thus simpler and more manageable. However, under the new system, the deadlines for filing and responding to appeals have been shortened to 45 days. Moreover, notwithstanding the 45-day deadline established in the statute of the Appeals Tribunal, the Tribunal has shortened the deadline for filing an interlocutory appeal to 15 days. In addition, the introduction of the new system of administration of justice has meant that past practices of the Organization and jurisprudence of the Administrative Tribunal are being re-examined by the new Tribunals. The resulting uncertainty regarding which legal norms and principles should be applied by managers has meant that the Division is now being requested on a more frequent basis to provide advice to other departments, including those entities representing the Organization before the Dispute Tribunal in advance of its regular hearings. This is in contrast to the previous system, in which submissions to the Joint Appeals Board and the Joint Disciplinary Committee were based on the well-established jurisprudence of the Administrative Tribunal, and it was only rarely that the Division was requested to provide advice in connection with those proceedings.",
"182. All of these factors are compounded by the recent reforms in many areas of human resources management, such as contractual reform and the harmonization of conditions of service. These reform initiatives have also resulted in greater demands on the General Legal Division with respect to reviewing and providing legal clearance for administrative issuances and providing advice on the interpretation and implementation of the Staff Regulations and Rules.",
"183. At present, the General Legal Division has two Professional posts (1 P-5 and 1 P‑3) and one General Service post funded under the regular budget for administration of justice and management issues. As at 1 July 2010, the Secretary-General had also provided, under his limited budgetary discretion, temporary resources in the form of six P-3/P-4 and two General Service (Other level) posts for a limited period that ends on 31 December 2011. The Division also has one P-4 post funded under the peacekeeping support account. In addition, the Division was recently informed that the General Assembly had approved, as at 1 July 2011, general temporary assistance in the form of one P-4 post and one P-3 post under the peacekeeping support account. In sum, unless additional resources are approved, as requested below, the Division will have a total of only five Professional posts and one General Service post to deal with administration of justice and management issues.",
"184. Ultimately, the strains placed on the Division as a result of the unforeseen extent of the demand for its services will undermine its overall ability to provide legal advice on a timely basis and in a comprehensive manner not only in the area of administration of justice but also regarding other matters.",
"185. Ensuring that the Division has the capacity to provide legal advice in the area of administration and management will ensure that there are no adverse long-term financial, legal and operational implications for the Organization as a whole. This is particularly the case during this critical stage of the development of the Tribunals’ jurisprudence. For example, the Division’s representation of the Organization before the Appeals Tribunal in 2010 contributed to the establishment of parameters for awarding compensation and clarifying the principles for reviewing the Secretary-General’s discretionary authority. Not only have those appeals resulted in substantial cost savings for the Organization, but the development of fundamental principles will have significant long-term benefits for the Organization.",
"186. In order to meet the substantially increased demand for the services of the Office of Legal Affairs in the new system, the General Legal Division requires eight additional regular budget posts (6 P-3/P-4 and 2 General Service (Other level)) for administration of justice and management issues. However, the Secretary-General is mindful of the current financial constraints of Member States and is therefore seeking the General Assembly’s approval at this time of only three additional regular budget posts (2 P-4 and 1 P-3) for the General Legal Division. In this regard, it should be noted that the Division is the only office with a request that reflects a reduction of approximately two thirds compared with the previous report (from eight posts to three), while at the same time, it is the only office that has not received any long-term resources as a consequence of the establishment of the new system (other than the two posts under general temporary assistance approved as of 1 July 2011 under the peacekeeping support account).",
"III. Responses to questions relating to administration of justice",
"A. Overview",
"187. The following section responds to the queries set out by the General Assembly in its resolution 65/251.",
"B. Responses",
"1. Staff-funded mechanism to support the Office of Staff Legal Assistance",
"188. The Secretary-General’s response to paragraphs 40 and 41 of resolution 65/251, setting out proposals for staff funding mechanisms to support the Office of Staff Legal Assistance, is set out in annex I to the present report.",
"189. These proposals were the object of consultations with staff at a meeting of the Staff-Management Coordination Committee held in June 2011. At the meeting, staff reiterated their view that none of the options for the staff-funded scheme was acceptable, as the cost of the representation of staff rested with the employer. Staff noted that, as the General Assembly had established the Office of Staff Legal Assistance as part of the Organization’s internal system of administration of justice, expenses associated with the operation of the Office constituted an expense of the Organization, and called upon the General Assembly to provide the resources necessary to ensure that both sides (staff and management) were equally armed.",
"2. Recourse mechanisms for non-staff personnel",
"190. The Secretary-General’s response to the request, made by the General Assembly in paragraph 55 of resolution 65/251, for proposals for resource mechanisms for non-staff personnel is set out in annex II to the present report.",
"3. Delegation of authority for disciplinary measures",
"191. The Secretary-General responds below to the request, made by the General Assembly in paragraph 51 of resolution 65/251, for a detailed proposal for the delegation of authority for disciplinary measures.",
"Background",
"192. The possibility of delegating the authority to impose disciplinary measures to heads of missions and offices away from Headquarters was initially raised by the Secretary-General at the sixty-second session of the General Assembly. It was based on the recommendations contained in the report of the Redesign Panel, as well as on the results of the twenty-eighth session of the Staff-Management Coordination Committee, at which the issue was discussed and a proposal developed. The Assembly endorsed, in principle, the delegation of authority for disciplinary measures to heads of missions and offices away from Headquarters and requested the Secretary-General to submit a report containing possible options.",
"193. Taking into account the recommendations of the Committee, the Secretary-General proposed a limited delegation of authority for disciplinary measures, whereby heads of missions and offices away from Headquarters would be given the authority to impose minor sanctions (i.e., censures and fines) once the capacity necessary to do so was in place. The General Assembly requested the Secretary-General to submit a new proposal in that regard at its sixty-fifth session.",
"194. Given that a number of prerequisites remained unfulfilled, the Secretary-General proposed to put on hold the previous recommendation for limited delegation of authority, pending further analysis. The General Assembly, however, reiterated its request to the Secretary-General to submit, at its sixty-sixth session, a report setting out possible options for the delegation of authority for disciplinary measures. The proposal summarized herein was prepared in connection with that request.",
"Current status of the handling of disciplinary cases",
"195. While no significant developments have occurred since the Secretary-General’s previous report on administration of justice, a number of observations may be made. The revision of the administrative instruction on revised disciplinary measures and procedures (ST/AI/371/Amend.1) has been initiated by the Office of Human Resources Management. The jurisprudence emerging from the Tribunals indicates that the Staff Regulations and Rules of the United Nations are being analysed and interpreted from a new perspective compared with the jurisprudence from the former United Nations Administrative Tribunal. In particular, the Tribunals are interpreting the procedural and substantive standards required by the Organization throughout the pre-disciplinary and disciplinary phases, for example, the assessment of the allegations and complaints, the quality of the investigation reports, the due-process rights of staff members during the process and the proportionality of measures imposed. It must be noted, however, that the disciplinary cases appealed to the Tribunals relate to cases reviewed by the Office of Human Resources Management on the basis of the jurisprudence and criteria set by the Administrative Tribunal. It therefore remains to be seen how many of the cases received and completed after 1 July 2009, under the new system, will be appealed and how they will be disposed of.",
"196. From 1 July 2009 to the end of the reporting period, the Administrative Law Section of the Office of Human Resources Management closed 357 cases, of which 216 were mission cases. Of these, 71 were closed with disciplinary measures, as follows: 19 dismissals, 17 separations, 4 demotions, 5 censures with loss of step/grade or deferment, 14 censures with fines, 1 censure with counselling, and 11 censures.",
"197. The disciplinary cases handled by the Administrative Law Section since 1 July 2009 involving staff members serving in field missions constituted 70 per cent of its caseload in 2009/10 and close to 60 per cent in 2011.",
"198. The estimated time required by the Administrative Law Section to handle a disciplinary case, from the time of its referral, ranges from 3 to 11 months, depending on the facts and complexity of the case. However, this time estimate reflects optimum conditions and does not take into account the current backlog of older cases, including those that were not completed prior to the introduction of the new justice system, namely (a) 170 cases that were pending with the Office of Human Resources Management prior to the introduction of the new justice system and (b) 30 cases, referred back to the Section, on 1 July 2009, that were pending before the Joint Disciplinary Committee or pending a decision by the Deputy Secretary-General on a Committee report. It is anticipated that those cases will be completed by the end of 2011.",
"199. Between 2006 and 2008, it took an average of 17 months to close a disciplinary case. The cases, handled during that period, with the exception of those in which dismissals were recommended, were considered by a Joint Disciplinary Committee panel. The Administrative Law Section took an average of eight months to refer cases to the Committee. Since the introduction of the new system, it has taken the Section an average of 11 months to close cases referred after 1 July 2009.",
"200. The abolition of the Joint Disciplinary Committee effectively increased the responsibility of the Administrative Law Section for reviewing of the facts of and analysing each case in the light of chapter X of the Staff Rules, on disciplinary measures, which tasks had been formerly carried out in large part by the Committee. In view of the increased scrutiny by the Dispute Tribunal, the Section likewise increased the level of the detail of its analyses, as well as the related follow-up work with investigative entities at every stage of the process.",
"Review of the range of options",
"201. The introduction of the new justice system on 1 July 2009 significantly changed the procedures for handling disciplinary cases. Among other things, the abolition of the Joint Disciplinary Committee shifted the responsibility for conducting the factual assessment of a case to the Office of Human Resources Management.",
"202. There are three critical bottlenecks in the current multistep process, each of which is related to ensuring that the factual analysis is robust and respects the due-process rights of staff members: (a) the length of the investigation process and the number of entities involved in investigations, as well as the quality of fact-finding and other inquiries conducted by non-professional investigators; (b) the time required to obtain comments from staff members charged with misconduct; and (c) the time taken to obtain additional information from the investigating entity.",
"203. Simply delegating authority would not eliminate existing bottlenecks, as current procedures for handling disciplinary matters and the jurisprudence emerging from the Tribunals would continue to require high levels of scrutiny. Moreover, decentralization to the field might increase duplication of effort and the inconsistency of decisions.",
"Partial delegation of authority",
"204. Partial delegation of authority would involve the delegation of authority to impose less serious disciplinary measures (such as fines and censures) to heads of missions and offices away from Headquarters.",
"205. However, only a limited number of cases result in fines and censures, so this option would not significantly reduce the timeline of the disciplinary process. Therefore, existing bottlenecks would remain unaddressed, while the resulting duplication of effort between the field and the Office of Human Resources Management would introduce inefficiencies. Given the cost increases resulting from the partial delegation of authority, including outposting of Department of Management legal officers to assist in the procedural aspects of the disciplinary process, the Administration does not consider it to be a viable option at this stage.",
"Full delegation of authority",
"206. With full delegation of authority, heads of missions and offices away from Headquarters could impose any disciplinary measure, following the disciplinary process currently employed at Headquarters. While full delegation would increase authority at the field level and reduce communication between the field and Headquarters, the major disadvantage would be the increased likelihood of inconsistent and unequal treatment of staff members across the Organization. Inconsistent decisions would, in turn, increase the number of appeals to the Dispute Tribunal and increase costs. Consequently, the Administration is of the view that it would not be advisable to implement full delegation of authority.",
"No delegation of authority",
"207. If the authority to impose disciplinary measures continues to rest exclusively with the Under-Secretary-General for Management, the current, centralized system would continue. Under this scenario, the Department of Management would continue to have a global view of disciplinary cases and would be optimally placed to ensure the most efficient and consistent analysis and disposition thereof.",
"Proposed short-term measures",
"208. While neither partial nor full delegation of authority would be optimal at present, it is clear that action is required to address the delays in handling disciplinary cases. Accordingly, the following measures are being proposed in order to expedite the investigation and processing of disciplinary cases:",
"(a) A pilot project to test the feasibility of decentralizing critical elements of the administration of justice would be implemented, through the establishment of a service base that would cover a cluster of missions. Resources would include legal officers, conduct and discipline officers and access to resources available either at the service base or in the region, such as investigators, the Ombudsman and the Office of Staff Legal Assistance. Each function would have clear terms of reference and reporting lines in order to preserve the independence of investigations, due process for staff members subject to disciplinary procedures and the integrity of the disciplinary process. While the authority to impose disciplinary measures would remain with the Under-Secretary-General for Management, it is expected that placing critical elements of the investigations and disciplinary process closer to the locations where the cases occur would help to shorten the time required to handle them. The pilot would cover certain field missions in Africa (to be identified), and it is proposed that the service base be located in Nairobi. That would allow for the building of an infrastructure that could be used in the future should the experience gained from the pilot support further decentralization, including with respect to offices away from Headquarters located in Nairobi (as well as other offices away from Headquarters);",
"(b) High-priority cases would be handled through a “fast-track” approach that would involve the prioritization of the case by all offices involved (the Department of Field Support, the Office of Human Resources Management and the Office of Internal Oversight Services (OIOS)). Taking into account requests from heads of mission and proper justifications, cases identified as high-priority would be processed on an expedited basis, according to guidelines to be developed acknowledging the operational independence of OIOS and its existing procedures, such as the Case Intake Committee, but would otherwise follow applicable procedures for the handling of disciplinary matters;",
"(c) The authority to place staff on administrative leave with pay would be transferred from the Assistant Secretary-General for Human Resources Management to the Under-Secretary-General for Field Support. This would shorten the process of placing staff on administrative leave with pay. The placement of staff on administrative leave without pay would remain within the authority of the Department of Management;",
"(d) The establishment of an interdepartmental working group on the delegation of authority with regard to disciplinary matters.",
"209. The Secretary-General will submit a comprehensive report in this regard to the General Assembly at its sixty-eighth session.",
"210. The proposed measures were discussed at the thirty-second session of the Staff-Management Coordination Committee. It was agreed that management would share progress reports with staff and would develop a mechanism whereby staff representatives could be briefed periodically on the progress of the project.",
"Recommendation",
"211. The General Assembly is requested to endorse the proposals of the Secretary-General detailed in paragraph 208 above.",
"4. Impact of the new system of administration of justice on staff-management relations",
"212. With regard to the request made by the General Assembly in paragraph 54 of resolution 65/251, the Secretariat, UNDP and UNICEF believe that it is too early to report on the impact that the new system is having on staff/management relations and on the performance of both staff and managers, and believe that more time is required in order to properly determine if there is any systemic impact. All have noted an evolution in the area of staff-management relations. In particular, managers are becoming increasingly aware of the consequences of their decisions and want to ensure that these are made in accordance with the applicable rules and policies. This has resulted in more queries, requests for advice and guidance from programme managers for the relevant legal offices prior to the taking of decisions. There is also a notable desire on the part of managers to learn more about the system and to generally be able to make the correct decisions in cases.",
"213. Thus, on a preliminary basis, one may state that the new system of justice is creating an emphasis on the prevention of disputes and, where these cannot be avoided, programme managers are more routinely consulting with the lawyers in order to ensure that their decisions are well informed from a legal and policy standpoint. In the process of either avoiding or informally resolving disputes, extensive and collegial consultations sometimes take place with the representatives of the staff concerned, as well as with the United Nations Ombudsman or the Ombudsman for funds and programmes.",
"214. While these emerging practices have been identified, it is also clear that not all managers have developed an acute awareness of the requirements of the new system. Thus, from a performance standpoint, more time is required in order to determine whether these emerging practices are coalescing into a trend.",
"215. It is expected that managers will take staff performance assessment very seriously and provide regular feedback to supervisees in that context, thus ensuring that any decision flowing from an appraisal report is properly documented. However, it is too early to comment on whether this constitutes a trend. It is equally difficult to predict whether staff and managers will positively increase their own performance in the light of the new system.",
"5. Cost-sharing arrangements",
"216. With regard to the request made by the General Assembly in paragraph 57 of resolution 65/251, the Secretary-General responds as follows.",
"217. Since the General Assembly decided, in its resolution 62/228, to establish the new system, the Secretariat has engaged in ongoing formal and informal discussions with representatives of the funds and programmes (UNDP, the United Nations Office for Project Services, UNICEF, UNFPA and UNHCR), with a view to concluding a cost-sharing arrangement based on headcount. Where costs are shared on a headcount basis, they are apportioned according to the number of staff members. On the basis of those discussions, an initial draft memorandum of understanding, prepared by the Secretariat, was circulated to the funds and programmes for their comments. Subsequently, a joint meeting was held among the parties to discuss the issues raised by the funds and programmes. Further to internal deliberations with key stakeholders in the Secretariat, a revised draft memorandum was circulated by the Secretariat to the funds and programmes for additional comments. The revised draft memorandum also included the new United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women) as part of the arrangement. In early March 2011, an additional meeting with the parties was held to discuss the revised draft memorandum, pursuant to which, in May, the funds and programmes provided a formal coordinated communication containing a list of pending issues. In June, the Secretariat provided a formal response on all the pending issues, which led to further negotiation among the parties in July. To date, the parties have resolved most of the pending issues, although certain clarifications are still required regarding some elements of the integrated and decentralized Ombudsman function (given that the funds and programmes fund their own Ombudsmen in the integrated office, who report to their executive heads), including mediation services. For example, there are questions concerning structural issues (including accountability and referral mechanisms) between the Ombudsman for funds and programmes and the Regional Ombudsmen as well as the mediation services with regard to cases emanating from staff of the funds and programmes. The parties agreed that once communication lines between the mediation services and the Regional Ombudsmen, on the one hand, and the Ombudsman for funds and programmes, on the other, have been clarified, the discussion on cost-sharing with respect to these remaining, specific aspects can be concluded. The parties are cognizant of the urgency of concluding the cost-sharing arrangement and are committed to doing so as soon as possible.",
"6. Training of actors in the system",
"218. With respect to the request made by the General Assembly in paragraph 61 of resolution 65/251, the Secretary-General responds as follows.",
"219. In June 2009, the incoming judges of the Tribunals participated in an induction course, organized by the Office of Administration of Justice, which provided them with an overview of the structures and regulatory framework of the Organization. Staff of the Registries participated in training courses on court management at the International Tribunal for the Former Yugoslavia, the International Criminal Tribunal for Rwanda and the European Union Civil Service Tribunal. Staff of the Office of Staff Legal Assistance participated in advocacy training courses conducted by staff of the International Tribunal for the Former Yugoslavia and practitioners of the defence bar in The Hague.",
"220. The Department of Management engaged a legal consultant who coached legal officers of the Administrative Law Section on drafting techniques. The legal officers also participated in an intensive week-long advocacy training course organized by a national legal training institute. In addition, they participated in a dispute resolution training course organized by UNDP and the Ombudsman.",
"221. UNDP organized an advocacy training programme for its legal officers appearing before the Tribunals, conducted by very experienced staff of the International Tribunal for the Former Yugoslavia and senior members of the United Kingdom bar. Because such training is of paramount importance for legal officers in the new, professionalized formal system, a similar training course is envisaged for later in 2011. UNDP and the Office of the United Nations Ombudsman and Mediation Services jointly organized a workplace dispute resolution training programme, which was attended by more than 100 staff members, including senior officials.",
"222. Regular participation in training programmes aimed at the enhancement of legal education is required for all participants in the system, including judges, their staff and the legal officers representing staff and management. Legal officers require periodic training in oral and written advocacy to maintain and enhance their skills. Staff of the Registries of the Dispute Tribunal and the Appeals Tribunal would benefit from enhanced training on court management practices, including educational exchanges with staff of other international tribunals. Additionally, benefits are to be gained from joint training of the various actors in the system, both in terms of cost savings and because of the opportunity to share views and best practices.",
"223. It would be beneficial for judges to attend legal conferences and colloquia at which the judges of other international tribunals, high-level scholars and other participants engage in discussions on law and judicial practice related to their professional activities. Currently, the budget of the Office of Administration of Justice is insufficient to permit this.",
"224. The creation of a judicial library of reference books at each Tribunal location would enhance the education of judges and staff. Furthermore, it would be beneficial to provide for ongoing judicial education through an annual plenary education conference, which would include inputs from outside presenters and facilitators as appropriate. Topics to be explored could include cross-cultural communication skills, updates on the development of the law of the international civil service, the application of international norms, the application of ILO Conventions to the law of the international civil service, and comparative approaches to legal issues.",
"225. Finally, it may be appropriate to consider additional judicial training for judges in the legal frameworks of the various United Nations agencies and bodies whose staff have access to the United Nations system of administration of justice. Furthermore, in order to ensure that there is dialogue among the judiciaries of international tribunals, it may be advisable to organize a United Nations joint judicial seminar for the judges of both the Dispute Tribunal and the Appeals Tribunal, as well as judges of other tribunals and, perhaps, legal academics, focusing on issues of international administrative law. In addition, the training of all participants is required in order to promote greater uniformity and consistency across the Tribunals in terms of the standards applied.",
"226. After two years of operation of the current system, there continues to be a need to provide outreach to staff on the informal and formal means of dispute resolution and, in particular, on the interrelationship between the two. The Office of Administration of Justice has produced a user-friendly handbook, in all official United Nations languages, to assist staff. It has also set up a comprehensive website in all official languages that includes descriptions of all the elements of the formal system, including a dedicated web presence for the Office of Staff Legal Assistance and an up-to-date database of the jurisprudence of the Tribunals.",
"227. Training requirements relating specifically to informal dispute resolution and mediation will be presented in the context of the report of the United Nations Ombudsman on the informal system of justice.",
"7. The timeliness of the handling of disciplinary cases",
"228. In resolution 65/251, the General Assembly endorsed the recommendations made by the Advisory Committee on Administrative and Budgetary Questions in its report on the administration of justice at the United Nations (A/65/557), which included a request that the Secretary-General include information on the timeliness of the handling of disciplinary cases in his report on the administration of justice to be submitted to the Assembly at its sixty-sixth session.",
"229. The response to that request has been agglomerated with the response to the request for proposals on the delegation of disciplinary authority contained in paragraphs 191 to 210 above.",
"8. Information requested by the General Assembly in paragraph 53 of resolution 65/251",
"230. In paragraph 53 of resolution 65/251, the General Assembly requested the Secretary-General to include, in his report on the administration of justice to be submitted to the Assembly at its sixty-sixth session, the following information:",
"(a) Clear statistics on the cases received and disposed of during the period by both Tribunals, including information, by category, on whether the judgements rendered found for the applicant or for the respondent and on the administrative issues involved;",
"(b) Analysis of trends over a number of reporting periods in order to identify systemic issues leading to usage of the system of justice and to monitor whether they are being effectively addressed over time;",
"(c) Detailed information on monetary compensation awarded and indirect costs associated with an appeal, for example, in staff time, including identification of those aspects of staff administration that give rise to large numbers of appeals;",
"(d) Detailed information on payments of compensation to staff equal to six months of salary or more, with an indication of the offices or departments concerned, the location of these offices or departments and some details of the facts of the case.",
"231. With respect to paragraph 53 (a) of resolution 65/251, the Secretary-General has provided this information in paragraphs 30-41 and 65-72 above, relating to the work of the Dispute Tribunal and the Appeals Tribunal. Additional information is provided in annex III to the present report.",
"232. With respect to paragraph 53 (b) of resolution 65/251, the Secretary-General provides the following response.",
"233. The statistics reveal that across the Organization, the most frequently disputed decisions are those on issues related to selections and appointments. Claims related to such decisions constitute around 40 per cent of all claims submitted. There are various reasons for this. First, there was ambiguity in the former administrative instruction on the staff selection system with regard to priority rights for internal candidates. Second, there are a number of procedures that, in accordance with the administrative issuances, need to be followed when a position is being filled: the recruitment/selection process provides scope for allegations of procedural error. Third, staff members who are not selected for positions frequently allege that this is due to extraneous considerations. Fourth, staff members have alleged that there is a conflict between their e‑PAS assessments and the evaluation of their candidacies for vacancies, and thus that the assessment of their candidacy was unfair. Finally, there is inconsistent jurisprudence from the Dispute Tribunal with regard to the breadth of the discretion vested in the Administration in selection exercises as well as the burden and standard of proof in challenges to such exercises.",
"234. These issues have been addressed by the Administration as follows:",
"(a) In September 2009, as soon as the ambiguity in the provisions regarding priority consideration had been identified, the Assistant Secretary-General for Human Resources Management sent a circular to all offices clarifying the procedure for the consideration of internal candidates;",
"(b) In April 2010, the administrative instruction on the staff selection system was abolished and was replaced with a new administrative instruction (ST/AI/2010/3). The provisions on priority consideration are no longer part of the policy;",
"(c) In October 2010, a “lessons-learned guide”, providing guidance on the staff selection process, was issued by the Under-Secretary-General for Management;",
"(d) Inconsistent decisions of the Dispute Tribunal have been appealed by the Administration. Jurisprudence from the Appeals Tribunal handed down in March 2011 provides greater clarity with regard to the breadth of the discretion of the Secretary-General in selection decisions and the burden and standards of proof;",
"(e) The jurisprudence of the Appeals Tribunal will assist in responding to factual arguments made by staff members concerning any perceived inconsistency between performance evaluations and candidacy evaluations; it will also assist in addressing allegations of bias. The Appeals Tribunal has found that when staff members make such allegations, the onus is on them to produce clear and convincing evidence to support their claims.",
"235. As regards the other categories of cases, it has been recognized that non‑renewal decisions are frequently impugned on the basis that the procedures mandated under the performance management system have not been followed. The Under-Secretary-General for Management has addressed this issue in circulars to management detailing the jurisprudence of the Dispute Tribunal and impressing on managers the need to follow e-PAS procedures.",
"236. A “lessons-learned guide” focusing on the non-renewal of fixed-term appointments was issued in August 2010. The guide instructs managers on strictly adhering to rules and procedures, documenting the decision-making process and adhering to performance management procedures.",
"237. In addition, on 30 April 2010, an administrative instruction entitled “Performance Management and Development System” (ST/AI/2010/5) was issued. This issuance updates the policies and procedures for performance evaluation and addresses issues that have led to delay in the completion of e-PAS appraisals.",
"238. Disciplinary measures are also frequently appealed. This is another area in which the jurisprudence arising from the Dispute Tribunal continues to evolve. Specifically, on a number of occasions the Dispute Tribunal has reconsidered the exercise of the Secretary-General’s discretion. The Administration has appealed those decisions. In early 2011, the Appeals Tribunal issued a judgement emphasizing that the Dispute Tribunal was not the decision maker and that its role was limited to the judicial review of the exercise by the Secretary-General of his broad administrative discretion.",
"239. One measure that has been the subject of a number of judgements is the placement of staff members on special leave with full pay in the context of an ongoing investigation into allegations of misconduct. The Dispute Tribunal ruled that this measure was not suitable where disciplinary proceedings were pending. As a result, the Administration has revised the rule, enacting staff rule 10.4, which specifically provides for the placement of a staff member on administrative leave pending an investigation. Whereas the former staff rule required that a staff member be charged prior to being suspended from duty, the new staff rule provides that a staff member may be placed on administrative leave at any time pending an investigation until the completion of the disciplinary process.",
"240. A significant subject matter of appeals of judgements to the Appeals Tribunal has been the awarding of compensation. A number of substantial awards have been overturned by the Appeals Tribunal, and principles to be applied by the Dispute Tribunal have been enunciated. Specifically, the Appeals Tribunal has found that successful claimants are entitled to be compensated in a sum that, as far as money can do so, places them in the same position as they would have been in had their terms of appointment been observed.",
"241. With respect to paragraph 53 (c) of resolution 65/251, detailed information on monetary compensation awarded is provided in annex III to the present report. As regards the indirect costs associated with an appeal, such as staff time, including the identification of those aspects of staff administration that give rise to large numbers of appeals, the Secretary-General responds as follows.",
"242. In order to calculate such indirect costs, it was agreed by all stakeholders of the system of administration of justice that the total number of hours spent by staff in relation to judgements rendered in 2010 by the Dispute Tribunal and the Appeals Tribunal would be added up. It was also agreed that the cost of a P-4 legal officer working 40 hours a week, 45 weeks per year, would be used as an average. An additional 20 per cent would be added to reflect the additional staff hours spent by management and senior management in reviewing cases, as well as administrative support.",
"243. Submissions calculating the time spent on cases in which the Dispute Tribunal had rendered judgements were received from the Dispute Tribunal Registries, the Office of Legal Affairs, the Office of Human Resources Management, UNDP, UNICEF, the United Nations Office for Project Services, UNFPA, the Management Evaluation Unit and the Office of Staff Legal Assistance. Submissions calculating the time spent on the Appeals Tribunal cases were provided by the Appeals Tribunal Registry, the Office of Legal Affairs and the Office of Staff Legal Assistance. Averages for Dispute Tribunal and Appeals Tribunal cases are provided separately below. The methodology by which these figures were obtained can be made available upon request.",
"244. It should be noted that the number of hours spent on individual cases may vary widely. In addition, the numbers provided by the Office of Staff Legal Assistance do not reflect time spent on cases by volunteers, nor do they reflect the large amount of time spent by the Office providing summary advice or working on cases that do not result in a formal appeal.",
"245. Taking into account the information provided by each of the various offices and entities, the average staff time spent on a Dispute Tribunal case is 400.3 hours, and on an Appeals Tribunal case, 230.5 hours (calculated on the basis of a P-4 staff member working 40 hours a week, 45 weeks per year).",
"246. With respect to paragraph 53 (d) of resolution 65/251, relating to payments of compensation of six months or more, the Secretary-General provides information on such payments in annex III to the present report.",
"IV. Issues relevant to the review by the General Assembly of the statutes of the Tribunals",
"A. Introduction",
"247. In paragraph 46 of its resolution 65/251, the General Assembly decided to “defer until its sixty-sixth session a review of the statutes of the Tribunals, in the light of experience gained, including on the efficiency of the overall functioning of the Tribunals”. In order to assist the Assembly with its review of the statutes of the Tribunals, the Secretary-General raises the following issues for the consideration of the Assembly. In raising these issues, the Secretary-General emphasizes that the discussion of them is without prejudice to the principle of judicial independence. As the Assembly is the body that established the Tribunals, adopted their statutes and approved their rules of procedure, it is for the Assembly to determine what action, if any, should be taken in relation to these issues.",
"B. Rules of procedure of the Tribunals",
"248. Article 7 of the statute of the Dispute Tribunal provides that the Dispute Tribunal shall establish its own rules of procedure, which are subject to approval by the General Assembly. Similarly, article 6 of the statute of the Appeals Tribunal provides that the Appeals Tribunal shall establish its own rules of procedure, which are subject to approval by the Assembly. As the Assembly will be considering the report on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal (A/66/86), the Secretary-General submits to the Assembly for its consideration the following observations related to the rules of procedure.",
"1. Consultation for the amendment of the rules of procedure",
"249. The statutes of the Tribunals do not currently provide for the parties to recommend or to be consulted on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal. As the parties that appear before the Tribunals would provide an important perspective regarding the impact of the proposed amendments, prior consultation with the parties would benefit the process of amending the rules of procedure of the Tribunals. The absence of an express provision in their statutes or in the rules of procedure does not prevent the Tribunals from undertaking consultation with the parties prior to amending their rules of procedure. Notably, while the statute and the rules of procedure of the International Tribunal for the Former Yugoslavia do not provide for a consultative process for the amendment of the rules of procedure, in practice, representatives of the Registry, the Office of the Prosecutor and defence counsel participate in a “rules committee” that has been established to consider proposed amendments of the Tribunal’s rules of procedure before those amendments are adopted by the judges.",
"250. The Secretary-General recommends that the General Assembly encourage the Tribunals to consult with the parties appearing before them when making amendments to their rules of procedure.",
"2. Dismissal of manifestly inadmissible or unfounded cases",
"251. Article 9 of the rules of procedure of the Dispute Tribunal states, “A party may move for summary judgement when there is no dispute as to the material facts of the case and a party is entitled to judgement as a matter of law”. Under this provision, a non‑meritorious claim cannot be dismissed so long as there is a dispute as to the material facts. By contrast, the administrative tribunals of other intergovernmental organizations provide for mechanisms to address non-meritorious claims.[8] For example, article 76 of the rules of procedure of the European Union Civil Service Tribunal states that “where the action is, in whole or in part, manifestly inadmissible or manifestly lacking any foundation in law, the Tribunal may, without taking further steps in the proceedings, give a decision by way of reasoned order”. In 2010, 10 of the 129 cases before the European Union Civil Service Tribunal were resolved on the basis of that provision.",
"252. Furthermore, the Secretary-General notes that the rules of procedure of the Appeals Tribunal do not provide for any mechanism to address non-meritorious appeals expeditiously. Of the other intergovernmental organizations with administrative tribunals, only the European Union provides for appellate review. Judgements of the European Union Civil Service Tribunal may be appealed to the General Court. Article 111 of the rules of procedure of the General Court states that where an action is “manifestly inadmissible or manifestly lacking any foundation in law”, the General Court may decide on an action “without taking further steps in the proceedings”.",
"253. Regarding the types of cases that may be dismissed on the grounds that they are manifestly inadmissible or unfounded, the Secretary-General recalls that the Appeals Tribunal ruled as early as in July 2010 that the Dispute Tribunal did not have the authority to review or revise judgements of the former United Nations Administrative Tribunal.[9] Nevertheless, to date, the Appeals Tribunal has received at least five appeals seeking revision of judgements by the Administrative Tribunal. Although these submissions may be appropriately considered to be “manifestly lacking any foundation in law”, the Appeals Tribunal has no mechanism to dismiss such cases expeditiously. Consequently, the Organization bears the costs of issuing a full judgement for each of these cases ($3,600 per judgement), in addition to the costs incurred by the Organization in preparing the responses to such appeals.",
"254. In order to ensure that frivolous cases can be dismissed expeditiously so that the resources of the system of administration of justice can be used more efficiently, the General Assembly may consider amending article 7.2 (h) of the statute of the Dispute Tribunal so that its rules of procedure will include a provision concerning “procedures for the summary dismissal of cases, including cases that are manifestly inadmissible or manifestly lacking any foundation in law”. The Assembly may also consider amending article 6 of the statute of the Appeals Tribunal so that its rules of procedure will include a similar provision.",
"255. The Secretary-General recommends that the General Assembly amend article 7.2 (h) of the statute of the United Nations Dispute Tribunal and article 6 of the statute of the United Nations Appeals Tribunal to provide for a mechanism in their rules of procedure to dismiss expeditiously cases that are manifestly inadmissible or manifestly lacking any foundation in law.",
"3. Audio recording of oral hearings",
"256. As indicated in paragraph 49 above, the Secretary-General has requested budgetary resources to permit the audio recordings of oral hearings to be maintained. While the Appeals Tribunal has ruled in one case that a party is “entitled to the record of the testimonies made at those proceedings from the relevant Dispute Tribunal Registry”,[10] such records have not always been made available to the parties upon request. In June 2011, the parties were informed that the “Registries of the Dispute Tribunal are not required under the statute and rules of procedure to make audio recordings of oral proceedings”.",
"257. The Secretary-General notes that, in cases where the Dispute Tribunal’s assessment of the facts is based extensively or exclusively on the oral evidence presented during the proceedings, and the Dispute Tribunal fails to provide the parties with a record of such oral evidence, the parties are unable to exercise their right to appeal in any meaningful manner. While the parties may rely on their own notes of the oral evidence, the Appeals Tribunal will be unable to make an assessment as to whether the Dispute Tribunal’s account of the oral evidence or the parties’ account is accurate if there is no objective record of that evidence.",
"258. In order to ensure that audio recordings of oral hearings are maintained and made available to the parties upon request, the General Assembly may consider amending article 7.2 (e) of the statute of the Dispute Tribunal so that its rules of procedure will include a provision concerning “oral hearings, including the audio recordings of oral hearings, which shall be made available to the parties upon request”.",
"259. The Secretary-General recommends that the General Assembly revise article 7.2 (e) of the statute of the United Nations Dispute Tribunal to provide that audio recordings of oral hearings before the Tribunal are to be maintained and made available to the parties upon request.",
"4. Redaction of names of staff members",
"260. Article 11.6 of the statute of the Dispute Tribunal provides that the “judgements of the Dispute Tribunal shall be published, while protecting personal data, and made generally available by the Registry of the Tribunal”.",
"261. The Secretary-General notes that in a number of cases, staff members either directly or indirectly involved in a contested decision have been identified by name by the Dispute Tribunal in the judgements. In some cases, in which the contested decision has been determined by the Dispute Tribunal to be vitiated, the actions and character of such staff members have been described by the Tribunal in intemperate terms. The identification of staff members by name and the description of their actions and characters in intemperate terms in Dispute Tribunal judgements have led some staff members to file complaints against the judges and raise concerns about defamation.",
"262. In view of article 11.6 of the statute of the Dispute Tribunal and the need to ensure that the names and character of staff members are not unfairly impugned in Dispute Tribunal judgements, the General Assembly may consider amending article 7.2 (f) of the statute of the Tribunal so that its rules of procedure will include a provision concerning “publication of judgements, including a procedure for the redaction of names from judgements upon the request of the individuals concerned”.",
"263. The Secretary-General recommends that the General Assembly amend article 7.2 (f) of the statute of the United Nations Dispute Tribunal so that its rules of procedure will include a provision concerning “publication of judgements, including a procedure for the redaction of names from judgements upon the request of the individuals concerned”.",
"5. Suspensory effect of appeals of interlocutory orders",
"264. Pursuant to article 11.3 of the statute of the Dispute Tribunal, judgements are “executable following the expiry of the time provided for appeal”. Moreover, article 7.5 of the statute of the Appeals Tribunal provides that the “filing of appeals shall have the effect of suspending the execution of the judgement contested”. Although the statutes of the two Tribunals refer only to the appeal of judgements, the Appeals Tribunal has recognized that in limited circumstances, appeals of interlocutory orders are also permissible. Therefore, it would seem appropriate for article 11.3 of the Dispute Tribunal statute and article 7.5 of the Appeals Tribunal statute to apply to appeals of interlocutory orders.",
"265. A lack of clarity regarding whether an appeal suspends the obligation to execute a contested interlocutory order has led the Dispute Tribunal to prohibit the appealing party from appearing before it, an outcome that was subsequently nullified by the Appeals Tribunal.[11] The authority to impose such a prohibition is now codified in the amended article 19 of the Dispute Tribunal’s rules of procedure, which allows the Tribunal to issue any order that it considers appropriate, “including a decision dismissing the application or response”, where a party fails to comply with an interlocutory order. The Secretary-General believes that the right of the Dispute Tribunal to enforce compliance with interlocutory orders must be balanced against the right of the parties to appeal interlocutory orders in good faith, particularly in cases in which the Secretary-General would otherwise be required to execute an interlocutory order issued by the Dispute Tribunal that contradicts the established jurisprudence of the Appeals Tribunal. The General Assembly may consider amending article 11.5 of the Dispute Tribunal statute and article 7.5 of the Appeals Tribunal statute to confirm that these provisions apply equally to all decisions issued by the Dispute Tribunal, whether in the form of judgements or orders.",
"266. The Secretary-General recommends that the General Assembly amend article 11.3 of the statute of the United Nations Dispute Tribunal to clarify that the interlocutory orders issued by the Tribunal may be subject to appeal. The Secretary-General also recommends that the Assembly amend article 7.5 of the statute of the United Nations Appeals Tribunal to clarify that appealing an interlocutory order issued by the Dispute Tribunal shall have the effect of suspending the execution of the contested order. The related provisions of the rules of procedure of the Tribunals would also need to be amended.",
"6. Deadlines for filing appeals with the Appeals Tribunal",
"267. Article 7.1 (c) of the statute of the Appeals Tribunal establishes a 45-day deadline for filing appeals.[12] There are currently no deadlines set out in the statute for appealing interlocutory orders, although in practice the Appeals Tribunal has imposed a 15-day deadline.[13]",
"268. In view of the limited resources of the parties and the delays encountered in transferring relevant files between duty stations, the Secretary-General considers that extending the deadline for filing appeals by an additional 15 days would facilitate a fuller briefing on the legal issues to be examined by the Appeals Tribunal. The minimal delay occasioned by extending the deadline by an additional 15 days should be weighed against the significant gains that would result from allowing for a more thorough examination of the legal issues raised in the appeals, particularly during this initial period of the Appeals Tribunal, when many fundamental issues are being examined for the first time.",
"269. The Secretary-General recommends that the General Assembly amend article 7.1 (c) of the statute of the United Nations Appeals Tribunal to extend the deadline for filing appeals of United Nations Dispute Tribunal judgements from 45 days to 60 days and to establish a 30-day deadline for filing appeals of interlocutory orders. The related provisions of the rules of procedure of the Appeals Tribunal would also need to be amended.",
"C. Jurisdiction of the United Nations Dispute Tribunal over acts and omissions by independent entities in connection with the performance of their operational mandates",
"270. Article 2.1 (a) of the statute of the Dispute Tribunal establishes the Tribunal’s jurisdiction over an “administrative decision that is alleged to be in non-compliance with the terms of appointment or the contract of employment”. In interpreting the term “administrative decision”, the United Nations Administrative Tribunal held that “administrative decisions are characterized by the fact that they are taken by the Administration, they are unilateral and of individual application, and they carry direct legal consequences” for the terms and conditions of employment of the staff member.[14] Elaborating on the first criterion (that administrative decisions must be taken by the Administration), the Administrative Tribunal held, in its judgement No. 1359, Perez-Soto (2007), that a decision made by the Ombudsman not to investigate a harassment complaint did not constitute an administrative decision, since any acts or omissions on the part of the Ombudsman could not be attributed to the Administration in view of the Ombudsman’s independent status.",
"271. The administrative tribunals of other international organizations have also recognized the basic principle that when an entity acts independently from management, the organization does not have effective control over the entity and therefore cannot be held liable for its acts or omissions. For example, there have been two separate cases in which staff members of the International Monetary Fund (IMF) and the World Bank have alleged that the staff associations of their organizations were responsible for publishing confidential personnel information and filed claims against those organizations.[15] Both the IMF Administrative Tribunal and the World Bank Administrative Tribunal dismissed those claims, ruling that the organizations could not be held liable for actions of the staff associations, which did not act “at the instruction of management or under the effective control of management”.[16]",
"272. The Secretary-General notes that a number of entities with an independent status have been established pursuant to General Assembly resolutions. These entities include the Ombudsman, OIOS, the Ethics Office and the Office of Administration of Justice, all of which enjoy operational independence.[17] The issue of the competence of the Dispute Tribunal over acts or omissions by these independent entities raises difficult questions, as does the possibility of holding the Secretary-General liable for acts and omissions by entities over which he has no effective control.",
"273. To date, the independent entities whose acts and omissions have been challenged before the Dispute Tribunal include: (a) OIOS; (b) the Ethics Office; and (c) the Office of Staff Legal Assistance:",
"(a) In a recent case examined by the Appeals Tribunal, a staff member challenged the content of an OIOS report and the procedures employed by the Office in conducting its audit. As at 15 August 2011, the judgement of the Appeals Tribunal in that case had not been issued. However, as indicated in a synopsis of the judgement (which was issued by the Appeals Tribunal Registry not as an official document, but for public information purposes), the Tribunal appears to recognize that, as the Secretary-General has no power to influence or interfere with OIOS, the United Nations Dispute Tribunal also has no jurisdiction to do so, as it can only review the Secretary-General’s administrative decisions;",
"(b) In at least three cases, staff members have filed applications with the Dispute Tribunal challenging a determination made by the Ethics Office that they were not subject to retaliation. In rejecting the argument that the General Assembly’s request that the Secretary-General create an Ethics Office with an “independent status” required the Secretary-General to respect that status, the Dispute Tribunal opined that “recommendations of the General Assembly must be given serious consideration” but are not dispositive for assessing whether the Ethics Office enjoys an independent status.[18] As the Dispute Tribunal has not yet issued a final judgement addressing the issue of whether a determination made by the Ethics Office regarding retaliation constitutes an administrative decision, the Appeals Tribunal has not yet pronounced itself on that issue;",
"(c) In a recent case examined by the Appeals Tribunal, a staff member challenged the alleged failure of the Office of Staff Legal Assistance to disclose a conflict of interest. The Secretary-General maintained that acts and omissions of the Office did not constitute decisions by the Administration and, as such, fell outside the scope of the jurisdiction of the Dispute Tribunal, which was limited to reviewing “administrative decisions”. In that connection, the Secretary-General noted that the IMF Administrative Tribunal and the World Bank Administrative Tribunal had rejected the argument that the respective international organizations could be held liable for the contested acts by the staff associations, since the primary purpose of staff associations was to advocate on behalf of staff interests and to “express viewpoints independent from, and sometimes in opposition to … management”.[19] This reasoning would apply with even greater force to the Office of Staff Legal Assistance, given that the adversarial nature of litigation means that the Office often expresses viewpoints in opposition to management. As at 15 August 2011, the judgement of the Appeals Tribunal in that case had not been issued. However, as indicated in a synopsis of the judgement, the Appeals Tribunal appears to have ruled that acts and omissions of the Office of Staff Legal Assistance fall within the jurisdiction of the Dispute Tribunal, as the services provided by the Office and the manner in which the representation is implemented can have an impact on the terms of appointment. The implication of holding the Secretary-General legally and financially liable for acts and omissions of the Office of Staff Legal Assistance would be that if staff members are unable to prevail in their challenges of administrative decisions taken by the Secretary-General, they may nevertheless claim compensation from the Organization if they are able to establish that the legal advice provided by the Office was somehow deficient.",
"274. The jurisprudence emerging from the Appeals Tribunal appears to indicate that, while the acts and omissions of certain independent entities such as OIOS may fall outside the scope of the jurisdiction of the Dispute Tribunal, the acts and omissions of other independent entities such as the Office of Staff Legal Assistance may be reviewed by the Dispute Tribunal. Furthermore, the Secretary-General notes that any guidance of the Appeals Tribunal on these issues may not necessarily be dispositive, as the Dispute Tribunal has emphasized that it will consider rules established by the Appeals Tribunal to be applicable only where they are “in conformity with general principles of law”.[20]",
"275. Accordingly, the Secretary-General considers that it may be helpful for the General Assembly to clarify its intent regarding the scope of the jurisdiction of the Dispute Tribunal. In that connection, the Secretary-General emphasizes that excluding the acts and omissions of independent entities from the jurisdiction of the Dispute Tribunal would not mean that staff members would be deprived of recourse where they believed that their rights had been violated by such entities.",
"276. First, in a situation in which the Secretary-General takes an administrative decision based on an impugned act or omission by an independent entity, the decision itself can be challenged before the Dispute Tribunal. For example, if the Ethics Office determines that a staff member engaged in retaliation and the Secretary-General decides to impose a disciplinary measure against the staff member on the basis of the determination made by the Ethics Office, the staff member could then file an application with the Dispute Tribunal challenging the Secretary-General’s imposition of the disciplinary measure and his reliance on an allegedly faulty determination by the Ethics Office. However, a determination by the Ethics Office regarding retaliation should not be subject to challenge before the Dispute Tribunal. As the independent status of the Ethics Office prevents the Secretary-General from instructing the Office how to make its determination of retaliation, the Secretary-General cannot be held liable for determinations made by the Office, even if they subsequently prove to be flawed.",
"277. Secondly, where a staff member challenges an act or omission by an independent entity related to the performance of its managerial functions, the extension of the jurisdiction of the Dispute Tribunal over such matters would not raise any problems in terms of the entity’s independent status. For example, an application challenging the manner in which a selection process in OIOS had been conducted would clearly fall within the Dispute Tribunal’s jurisdiction.",
"278. The exercise of the jurisdiction of the Dispute Tribunal over acts and omissions of independent entities is problematic only where a staff member’s claims relate to the manner in which such entities carry out their operational responsibilities. As the manner in which independent entities carry out their operational responsibilities lies outside the effective control of the Secretary-General, the Secretary-General is of the view that any acts and omissions by the independent entities in relation to their operational mandates cannot be attributed to him, and that he should not be held legally or financially liable for them. Indeed, the imposition of liability under these circumstances will not advance the goal of strengthening accountability, as the Secretary-General has no authority to influence or correct the acts and omissions by the independent entities challenged by the staff members. The General Assembly may wish to consider the appropriateness of imposing financial liability and expending the public funds of the Organization where no fault on the part of the Secretary-General has been established.",
"279. Should the General Assembly wish to clarify that the scope of the jurisdiction of the Dispute Tribunal over administrative decisions is limited to those decisions that have been taken by or on behalf of the Secretary-General, it may consider amending article 2.1 (a) of the Dispute Tribunal’s statute to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.",
"280. The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.",
"281. Another emerging issue is whether the Dispute Tribunal has jurisdiction over the implementation by the Secretary-General of decisions taken by governing bodies, such as the General Assembly or its subsidiary bodies. To date, staff members have filed applications with the Dispute Tribunal challenging actions taken by the Secretary-General to implement Assembly resolutions and decisions of the International Civil Service Commission (ICSC).",
"1. General Assembly",
"282. Under Article 101 of the Charter of the United Nations, “staff shall be appointed by the Secretary-General under regulations established by the General Assembly”. Pursuant to that provision, the Assembly promulgates the Staff Regulations and may modify the Staff Rules. Through its resolutions, the Assembly approves the Organization’s policies relating to human resources management.",
"283. In 2010, the General Assembly, in its resolution 65/248, approved the recommendations of the International Civil Service Commission on the harmonization of the conditions of service of staff of the organizations of the United Nations common system serving in non-family duty stations. The consequence of that decision was that a particular benefit, called the “personal transitional allowance”, would be discontinued. In the same resolution, the Assembly requested the Secretary-General to facilitate the immediate implementation of the recommendations of the Commission concerning the harmonization of the conditions of service in non-family duty stations. Accordingly, the Department of Field Support informed staff members serving in the field that the changes approved by the Assembly would become effective on 1 July 2011. In June 2011, the first application challenging the discontinuation of the personal transitional allowance was filed with the Dispute Tribunal. The application alleged that the discontinuation of the personal transitional allowance had an adverse impact on single women, suggesting that it constituted discrimination on the basis of gender or personal status.",
"284. The Charter requires the Secretary-General to implement the regulations established by the General Assembly on the administration of staff, and, as a consequence, the Secretary-General is also required to implement policies on human resources management as set out in Assembly resolutions. The United Nations Administrative Tribunal had previously held that “the Tribunal is neither the General Assembly nor the Secretary-General, and therefore it is not in a position to substitute its judgement for policy decisions on personnel matters”.[21] The legal authority of the resolutions of the General Assembly was reaffirmed in paragraph 9 of resolution 65/251, in which the Assembly stressed that “all elements of the new system of administration of justice must work in accordance with the Charter of the United Nations and the legal and regulatory framework approved by the General Assembly”.",
"285. However, the Dispute Tribunal has held that the Secretary-General’s obligation to comply with General Assembly resolutions cannot be invoked as a reason for declining to take a particular action when inaction would lead to a violation of human rights norms, such as the principle of equal pay for equal work. Such a ruling has been confirmed by the Appeals Tribunal.[22] In short, in cases where the Dispute Tribunal determines that the implementation of an Assembly resolution will lead to outcomes inconsistent with human rights norms, then the Secretary-General may be held legally and financially liable for complying with that resolution.",
"2. International Civil Service Commission",
"286. The International Civil Service Commission is a subsidiary body of the General Assembly, and its statute was approved by the Assembly in its resolution 3357 (XXIX). Article 6 of its statute expressly prohibits the Commission from taking any instructions from an organization that is participating in the common system and is therefore independent of the Secretary-General. Article 25 (3) of the statute provides that the decisions of the Commission “shall be applied by each organization with effect from a date to be determined by the Commission”.",
"287. In December 2009, the Commission decided to change the duty-station classification of Nairobi from category “C” to category “B”. The duty-station classification of Addis Ababa was also changed from category “C” to category “B”. Both of these changes took effect on 1 January 2011. The Commission’s classifications of duty stations, ranging from category “A” to category “E”, reflect the difficulty of conditions of life and work, with category “E” reserved for the most difficult duty stations. As a consequence of the reclassification of the duty stations, in Nairobi and Addis Ababa, staff members serving there receive a lower amount of hardship allowance and are entitled to home leave only once every 24 months, as opposed to once every 12 months. Staff members at both duty stations have contested the Secretary-General’s implementation of the Commission’s decision.",
"288. The Secretary-General is obliged to implement the Commission’s reclassification of Nairobi, in view of article 25 (3) of the Commission’s statute and staff rule 3.14, which requires the Secretary-General to determine the amount of the hardship allowance “taking into account the degree of difficulty of life and work at each duty station as per the classification of duty stations established by the International Civil Service Commission”. Moreover, the United Nations Administrative Tribunal emphasized that Commission decisions were binding on the Secretary-General. In Administrative Tribunal judgement No. 421 (Chatwani), the Tribunal ruled that “it is not for the United Nations Secretary-General or for the Secretaries-General or Directors-General of the other organizations in the common system to revise, modify or rescind a decision adopted by the Commission in accordance with its statute”.[23]",
"3. Clarification of the scope of the jurisdiction of the United Nations Dispute Tribunal",
"289. Challenges to the implementation by the Secretary-General of decisions by governing bodies, including General Assembly resolutions and decisions by the International Civil Service Commission, are still being reviewed by the Dispute Tribunal. Notably, the Appeals Tribunal has already rejected the argument, made by the Secretary-General in one case, that taking the action requested by the staff member would be contrary to a General Assembly resolution on a budgetary matter, holding that budgetary considerations “may not trump the requirement of equal treatment”.[24]",
"290. Even after the Dispute Tribunal and the Appeals Tribunal rule on particular cases in which the Secretary-General’s implementation of General Assembly resolutions and International Civil Service Commission decisions has been challenged, such judgements will not necessarily be dispositive for other situations, as the decisions of those governing bodies cover a broad range of issues relating to human resources management. Moreover, the Dispute Tribunal has emphasized that it will consider rules established by the Appeals Tribunal to be applicable only where they are “in conformity with general principles of law”.[25]",
"291. Accordingly, the Secretary-General considers that it may be helpful for the General Assembly to clarify its intent regarding the scope of the Dispute Tribunal’s jurisdiction. The Assembly may wish to consider the appropriateness of imposing financial liability and expending the public funds of the Organization where the Secretary-General has taken action to implement the decisions of governing bodies such as the Assembly and the International Civil Service Commission.",
"292. Should the General Assembly wish to clarify that the scope of the Dispute Tribunal’s jurisdiction would not extend to the implementation by the Secretary-General of decisions of governing bodies such as the Assembly and the Commission, it may consider amending article 2.1 (a) of the Dispute Tribunal’s Statute to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”. An action taken by the Secretary-General to implement decisions of governing bodies would not constitute an administrative decision unilaterally taken by the Secretary-General, since he does not have the latitude to act in a manner contrary to decisions by those governing bodies.",
"293. The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal to refer to “an administrative decision unilaterally taken by or on behalf of the Secretary-General that is alleged to be in non-compliance with the terms of appointment or the contract of employment”.",
"V. Resource requirements",
"294. The Secretary-General has identified various areas in the formal justice system requiring strengthening in order to fulfil the mandate that the new system be “independent, transparent, professionalized, adequately resourced and decentralized”. The requirements for the informal system are presented separately in the report of the United Nations Ombudsman. For all of the reasons set out above, the Secretary-General recommends that the General Assembly consider enhancing the formal justice system with the following post and non-post resources, besides those requested in the proposed programme budget for the biennium 2012-2013 (A/66/6):",
"(a) With respect to the Management Evaluation Unit, for the reasons set out in paragraphs 19 and 20 above, the Secretary-General recommends that the Assembly establish an additional post of Legal Officer (P-3) to support the work of the Unit;",
"(b) With respect to the Dispute Tribunal and its Registries, for the reasons set out in paragraphs 42-44 above, the Secretary-General recommends that the Assembly appoint three additional full-time judges (one each in Geneva, Nairobi and New York) to the Tribunal, reclassify one P-2 Legal Officer post in the Registry in New York as a P-3 post and establish six new posts (3 P-3, 2 General Service (Other level) and 1 General Service (Local level)) to support the additional full-time judges, effective 1 January 2012. The aforementioned capacity was initially approved by the Assembly in its resolution 63/253 for a period of one year effective 1 July 2009 and extended until 31 December 2011 by resolution 65/251, and funded through the use of the limited budgetary discretion granted to the Secretary-General in resolution 60/283 and extended in resolution 64/260. The present proposal is aimed at regularizing the temporary capacity available to the Dispute Tribunal, as set out above;",
"(c) With respect to non-post resources for the Dispute Tribunal, for the reasons set out in paragraphs 49-51 above, the Secretary-General recommends that the Assembly approve the resources for communications ($25,000) and travel ($155,000);",
"(d) With respect to the Registry of the Appeals Tribunal, the Secretary-General recommends, for the reasons set out in paragraphs 71-78 above, that it be strengthened with one Legal Officer (P-4), effective 1 January 2012, as well as additional resources for travel ($280,200) to facilitate a third annual session of the Tribunal and for increased travel privileges of the Tribunal’s judges;",
"(e) With respect to the Office of Staff Legal Assistance, for the reasons set out in paragraphs 83-92 above, the Secretary-General recommends that it be strengthened with four posts (1 P-4 and 1 General Service (Local level) in Nairobi, 1 P-4 in New York and 1 General Service (Other level) in Geneva), effective 1 January 2012. The Secretary-General also recommends that the P-3 position established by resolution 65/251, effective 1 January 2011, currently funded from the support account for peacekeeping operations until 31 December 2011, be continued until 31 December 2012. In addition, the Secretary-General requests resources for communications ($11,200), travel ($15,000) and supplies ($9,000);",
"(f) With respect to the Office of the Executive Director of the Office of Administration of Justice, for the reasons set out in paragraphs 101-108 above, the Secretary-General recommends that the Assembly authorize general temporary assistance ($130,000) for remuneration for the external members of the Internal Justice Council and to provide for the replacement of staff during extended sick and maternity leave. In addition, the Secretary-General recommends that the Assembly approve the resources for travel ($30,000), contractual services ($37,500) and the acquisition of software packages ($37,500);",
"(g) With respect to Secretariat offices representing the Secretary-General before the Dispute Tribunal, for the reasons set out in paragraphs 115-156 above, the Secretary-General recommends that the Assembly approve 11 new posts (5 P-4, 3 P‑3, 1 General Service (Other level) and 2 General Service (Local Level)), effective 1 January 2012. These include five posts (2 P-4 and 3 P-3) in the Office of Human Resources Management, two posts (1 P-4 and 1 General Service (Other level)) in the United Nations Office at Geneva, two posts (1 P-4 and 1 General Service (Local level)) in the United Nations Office at Nairobi and two posts (1 P-4 and 1 General Service (Local level)) in the Economic and Social Commission for Asia and the Pacific. The Secretary-General, for the reasons set out in paragraphs 153-156 above, recommends that the Assembly approve the resources ($60,000) for travel to conduct outreach missions and for travel to Tribunal hearings at other duty stations;",
"(h) With respect to the Office of Legal Affairs, for the reasons set out in paragraphs 172-186 above, the Secretary-General recommends that the Assembly establish three posts (2 P-4 and 1 P-3) in the General Legal Division, effective 1 January 2012.",
"295. Accordingly, should the General Assembly agree with the above proposals, additional resource requirements in the amount of $8,657,900 (before recosting) would be considered in accordance with the provisions governing the contingency fund in accordance with the terms of Assembly resolutions 41/213 and 42/211. In this regard, it is recalled that the Assembly, in its resolution 65/262, approved a contingency fund for the biennium 2012-2013 in the amount of $40.5 million.",
"296. All new posts reflected in the present report are proposed to be established as from 1 January 2012. Given that the Advisory Committee on Administrative and Budgetary Questions, in paragraph 20 of its first report on the proposed programme budget for the biennium 2008-2009 (A/62/7) recommended that information on the delayed impact of posts be reflected in any new proposals, the Assembly may wish to note that the additional requirements for the full costing of the proposed 26 new posts in the biennium 2014-2015 are currently estimated at $3,356,400 under section 1, Overall policymaking, direction and coordination, $1,072,200; section 8, Legal affairs, $432,200; section 19, Economic and social development in Asia and the Pacific, $173,500; section 29A, Office of the Under-Secretary-General for Management, $126,200; section 29C, Office of Human Resources Management, $684,600; section 29E, Administration, Geneva, $234,500; section 29G, Administration, Nairobi, $168,300; and section 37, Staff assessment, $464,900, to be offset by an equivalent amount under income section 1, Income from staff assessment.",
"VI. Conclusions and actions to be taken by the General Assembly",
"297. The Secretary-General considers that the recommendations contained in the present report will provide necessary additional strength to the new internal justice system, which already enjoys the confidence of both staff and management. He requests the General Assembly to give due consideration to these proposals and to approve the resources necessary to strengthen its implementation.",
"298. Accordingly, the General Assembly is requested to:",
"(a) Approve the establishment of 26 new posts (10 P-4, 8 P-3, 4 General Service (Other level) and 4 General Service (Local level)), effective 1 January 2012, under the proposed programme budget for the biennium 2012-2013;",
"(b) Approve the reclassification of one P-2 post as a P-3 post, effective 1 January 2012, under the proposed programme budget for the biennium 2012-2013;",
"(c) Appropriate a total amount of $8,657,900 (before recosting) under the programme budget for the biennium 2012-2013, comprising increases under section 1, Overall policymaking, direction and coordination ($3,889,700); section 8, Legal affairs ($559,700); section 19, Economic and social development in Asia and the Pacific ($388,400); section 29A, Office of the Under-Secretary-General for Management ($164,300); section 29C, Office of Human Resources Management ($948,300); section 29D, Office of Central Support Services ($832,700); section 29E, Administration, Geneva ($636,600); and section 29G, Administration, Nairobi ($577,200), and an increase under section 37, Staff assessment ($661,000), to be offset by a corresponding amount under income section 1, Income from staff assessment. The provision would represent a charge against the contingency fund;",
"(d) Approve the continuation of a P-3 position in Nairobi, effective 1 January 2012, for an additional one year, to be funded from the budget for the support account for peacekeeping operations, and the related costs to be reported in the context of the performance report relating to the support account for peacekeeping operations for the period from 1 July 2011 to 30 June 2012 and reflected in the budget proposals for the period from 1 July 2012 to 30 June 2013.",
"Annex I",
"Proposals for staff-funded mechanisms to fund the Office of Staff Legal Assistance",
"Staff funding mechanism for the Office of Staff Legal Assistance: concept paper",
"I. Introduction",
"1. The present concept paper presents various staff funded mechanisms for supporting the Office of Staff Legal Assistance (OSLA) of the Office of Administration of Justice (OAJ), as requested by the General Assembly in paragraphs 40 and 41 of its resolution 65/251. The concept paper addresses the Assembly’s request for the submission of proposals based on both mandatory and voluntary contribution models.",
"2. There are elements common to both the mandatory and the voluntary options presented in the present paper. Specifically, the General Assembly would continue to determine the staffing table of the Office of Staff Legal Assistance and its other financial needs upon the consideration of budgetary proposals by the Secretary-General. In addition, the Secretary-General notes that any decisions regarding the staffing requirements of the Office must take into account any decision taken by the Assembly regarding the mandate and functioning of the Office. The Office posts created pursuant to resolution 63/253 would continue to be funded through the regular budget. The staff funding mechanisms proposed would serve to offset some of the costs of enhancements to the Office’s current staffing table as proposed by the Secretary-General. The final common element is that the proposed contributions from staff, either mandatory or voluntary, would be deducted monthly through payroll.",
"3. Specifically, regarding the mandatory option, it bears noting that, as the General Assembly established the Office of Staff Legal Assistance as part of the Organization’s internal system of administration of justice, the expenses associated with its operation constitute expenses of the Organization. Pursuant to Article 17, paragraph 2, of the Charter of the United Nations, “expenses of the Organization shall be borne by the Members as apportioned by the General Assembly”. The intention of this paragraph, to require the Member States to bear the expenses of the Organization, is clear from the legislative history of this provision.[26]",
"4. Accordingly, requiring staff members to bear part of the costs of an “expense” of the Organization, which, under the Charter is to be borne by the Member States, raises legal concerns. Introducing staff-funded schemes for activities of the Organization mandated by the Assembly raises the possibility that in future, other “expenses” of the Organization that might be seen to benefit staff would be underwritten in whole or in part through a levy on staff members.",
"II. Mandatory mechanisms for staff funding of the Office of Staff Legal Assistance",
"5. There are three possible mandatory models for a staff funding mechanism for the Office of Staff Legal Assistance: (a) a universal model under which all staff members would contribute a percentage of salary; (b) a model under which only the staff actually using services of the Office would be charged a fee for their use; and (c) a model under which a percentage of dues collected by staff unions and associations would be used to fund activities of the Office. All three models are discussed below.",
"6. As at 30 June 2010, the population of staff members of the Secretariat and the funds and programmes comprised approximately 45,000 General Service staff members, approximately 30,000 Professional and Field Service staff members, and approximately 1,525 staff members at the Director level and above who have access to the system of administration of justice (see A/65/350 and CEB/2010/HLCM/HR/24).",
"A. Universal mandatory model",
"7. Under a universal mandatory model, a fee would be assessed against each staff member. An important consideration for assessing any fee against staff is that salary scales, in particular local salary scales, differ greatly from duty station to duty station. Thus, any fee assessed would need to reflect the various salary scales to ensure that it was equitable and proportionate to the actual salary of each staff member. One possibility would be to assess a percentage of the salary of each staff member having access to the system of administration of justice (for example, .001 per cent). Alternatively, the amount of the fee could be fixed, but dependent upon a determination of the level, grade and duty station of the staff member. The fee would be deducted monthly by payroll.",
"8. Staff contributions collected would be used to offset some of the expenses of posts other than those currently reflected in the Office of Staff Legal Assistance staffing table established pursuant to General Assembly resolution 63/253 (1 P-5, 5 P-3, 1 P-2 and 3 General Service posts).",
"9. There are several benefits associated with this model. Principally, with a large staff population, even de minimus individual contributions would result in a significant amount of money to fund the Office. Equally, a universal and mandatory scheme would be the most consistent and stable source of revenue.",
"10. However, there are also concerns with respect to a mandatory scheme. The first is that, generally, a very small percentage of staff members are expected to avail themselves of the services of the Office. Currently, the percentage of staff who are filing complaints in the formal system is less than 1 per cent. Therefore, approximately 99 per cent of staff would help to pay for services used by less than 1 per cent. This raises concerns as to the fairness of imposing a general levy in the form of a universal mandatory scheme.",
"11. Another concern relates to the fact that, pursuant to jurisprudence of the United Nations Dispute Tribunal,[27] the Office may decline to provide assistance in a case when it determines that the case lacks legal merit or has sufficiently little possibility of success before the Tribunals. This jurisprudence accords with the generally accepted principle that an officer of the court may not bring before a court a case that he or she does not believe in good faith to have legal merit. Additionally, organizational resources should not be squandered on matters with little or no likelihood of having a positive outcome. However, if a mandatory levy is imposed on all staff, individual staff members may feel that they have a right to representation by the Office of Staff Legal Assistance, irrespective of whether their cases have legal merit or a reasonable likelihood of success. There is a risk, therefore, that if a staff member is denied services despite having paid a levy, he or she might make a complaint or even formally appeal the decision, with additional and possibly significant cost implications for the Organization.",
"12. This scenario might occur under either a mandatory or a voluntary scheme, as, theoretically, any staff member making a contribution, either mandatory or voluntary, might argue that the payment creates an entitlement to services.",
"13. Finally, staff members mandated to contribute to the services of an Office established by the General Assembly may consider this a violation of their terms of appointment and conditions of service and appeal it. If a staff member succeeds with such a claim, the Organization will be obliged to reimburse the staff contributions, possibly with additional compensatory payments, at a later stage, to all staff members, with interest.",
"B. Mandatory assessment for users of services of the Office of Staff Legal Assistance",
"14. A second possible mandatory staff-funding option would be to mandate that only those staff members who avail themselves of the services of the Office of Staff Legal Assistance would be required to make a contribution. This model would address the concern that staff members who do not avail themselves of the services of the Office would not be required to bear the costs of its funding.",
"15. If this option is accepted, the required contribution would need to be determined. A fixed contribution would be, essentially, the assessment of a fee for the use of the Office. Other modalities could be contemplated, such as requiring successful applicants to donate a percentage of any compensation awarded.",
"16. However, because the number of staff members making use of the services of the Office constitutes a very small percentage of the total staff population (approximately 1,000 staff members per year seek the services of the Office), the fee assessed against individual users would need to be higher than the de minimus contribution considered under the universal mandatory model. For example, the annual cost of a P-4 post in Geneva is $227,300. Thus, in order to fully fund a single P-4 post for the Office of Staff Legal Assistance in Geneva, the fee assessed against users of the Office would have to be $227.30 per user. If it were determined that the scheme should only offset a percentage of the costs associated with additional Office posts, the fixed fee would be larger or smaller, depending on the number of posts and the percentage to be offset.",
"17. Notably, the concern that staff members who have made a mandatory contribution would demand continued legal services and complain or even appeal if the Office declined to represent them, as mentioned above in relation to the universal contribution model, would also apply to this model. However, it could be mitigated if the fee charged to the staff member varied according to the range of services provided to the staff member by the Office. For example, staff members could be charged a fee of $300 for the negotiation and settlement of their case by the Office, but incur a fee of only $50 for telephone advice from the Office.",
"C. Mandatory assessment against dues collected by staff unions and associations",
"18. A third possible mandatory model would be one under which staff associations and staff unions would be required to contribute a portion of the staff dues remitted to them to support the Office of Staff Legal Assistance.",
"19. The remit of staff unions and associations is to promote and safeguard the rights and interests of staff. Thus, requiring a portion of the dues collected to be contributed to the Office would be analogous to imposing a mandate that staff unions and associations provide, at their expense, some form of legal insurance for the staff whom they represent.",
"20. Concerns regarding the imposition of a mandatory deduction from unions’ financial resources would be similar to those regarding the imposition of a mandatory deduction on individual staff members.",
"21. Currently, United Nations staff unions and associations may not impose a mandatory dues levy on the staff whom they represent. Accordingly, there are great disparities among individual unions and associations in terms of their financial resources. Several possibilities exist for determining the fee to be paid. One would be to assess a percentage of assessed dues against each staff union or association. Another would be to base the fee on the number of staff represented. A third option would be to assess a fixed amount against all unions and associations. The amount of funds that could be generated under the first two models to offset Office costs would depend on a number of factors (the amount of dues collected under the first model, and the number of staff represented and the amount assessed per person under the second). Under the third model, for example, an assessed contribution of $20,000 per staff union/association (there are 14 unions) would net $280,000 annually. There is a concern, however, that individual unions and associations, in particular those who are not well funded, might complain that the imposition of a levy would impede their ability to provide basic services to their members.",
"III. Voluntary mechanisms for staff funding of the Office of Staff Legal Assistance",
"22. There are two possible models for establishing a staff funding mechanism based on voluntary contributions. One would be a system under which a fixed percentage of a staff member’s salary would be automatically deducted to support the services provided by the Office of Staff Legal Assistance, but the staff member could elect to opt out of the system. The second would permit staff members to choose the option of contributing a fixed percentage of their salary.",
"23. Both voluntary models offer the advantage that contributions are made at the consent (express or implied) of participating staff members. However, the amount of revenue that a voluntary model would generate would depend on the number of staff deciding to make contributions, and is therefore difficult to estimate without the actual experience of several annual cycles of contributions that can be assessed as a benchmark.",
"24. Under both models, it would be necessary to provide staff members with some form of incentive to participate in the scheme. One possible means of encouraging participation would be for the Office to prioritize the cases of staff opting into the scheme and, should it have too many cases to handle effectively at any given time, to decline to provide assistance to a staff member opting out of the voluntary funding scheme.",
"25. Another way to encourage participation would be to create two levels of Office of Staff Legal Assistance services. Staff participating in the voluntary staff funding mechanism would have access to all Office services. Staff not making voluntary contributions would have access to only basic Office services, namely, summary legal guidance/advice on the operative law and limited review of any document or pleading that the staff member has drafted in support of his or her case. In this connection, an additional incentive for participation in the voluntary scheme could be the addition of the user-pays concept under the mandatory scheme: staff members who did not opt into or have opted out of the voluntary scheme may be obliged to pay for the use of the Office.",
"26. As with the mandatory model, there is a possibility that complaints and appeals could arise should the Office decline to take the case of a contributing staff member when it concludes that there is little or no chance of a successful outcome. However, these concerns can be mitigated by making it clear to staff members that the Office’s decision to provide legal assistance would take into account the merits of their claim.",
"27. Furthermore, voluntary schemes raise additional questions about contribution thresholds required for the provision of enhanced services. For example, if staff members could opt into the payment of the fixed contribution immediately before they desired the services of the Office and could then opt out as soon as they had received those services, the revenues would be minimal. One solution to this problem would be to allow changes to a staff member’s opt-in/opt-out status only, for example, once a year.",
"IV. Conclusions",
"28. All models presented above require further consideration before implementation. As discussed above, there are legal concerns relating to the imposition of mandatory models.",
"29. In addition, there are competing interests of fairness and revenue generation that must be addressed. Mandatory models, if determined to be acceptable, offer a greater likelihood of producing appreciable revenue with which to offset the costs of additional Office resources. However, the amount of revenue that would be generated, even under mandatory models, would depend on the number of paying individuals or entities and the amount or percentage assessed.",
"30. “User-pays” and voluntary models are likely to be viewed as more fair, as they do not impose costs, even nominal ones, on those who do not use the services of the Office or see no value in contributing in the event that they might use them in the future. This concern is particularly salient, given that 99 per cent of staff members have not been making use, and are not expected to make use, of the Office’s services. However, it is more difficult to predict the amount of revenue that would be generated by any voluntary mechanism. Under a “user-pays” model, the issue would arise as to how to ensure that a contribution would be equitable yet sufficient without excessively decreasing the use of the Office. Therefore, further consideration would be required in order to strike an appropriate balance between making the services of the Office generally available and generating revenue.",
"V. Recommendation",
"31. The Secretary-General recommends that the General Assembly take note of this presentation of proposals for mandatory or mixed-funding schemes, and indicate which specific model, if any, it considers to be suitable to serve as the basis for a more detailed proposal from the Secretariat to be submitted for its consideration.",
"Annex II",
"Proposal for recourse mechanisms for non-staff personnel",
"Outline of Rules for Expedited Arbitration Procedures under United Nations contracts with consultants and individual contractors: concept paper",
"I. Introduction",
"1. The present concept paper[28] presents possible means of establishing expedited arbitration procedures for the resolution of disputes between the United Nations and certain categories of non-staff personnel, i.e., consultants and individual contractors, by incorporating streamlined elements into the Arbitration Rules of the United Nations Commission on International Trade Law (UNCITRAL). This approach was generally alluded to in the report of the Secretary-General on administration of justice at the United Nations (A/65/373 and Corr.1, para. 171). The concept paper does not purport to address the other possible approaches to the resolution of disputes with non-staff personnel referred to in paragraph 9 of General Assembly resolution 64/233, or suggest means of resolving disputes with categories of non-staff personnel not covered by the procedures discussed herein (see General Assembly resolution 65/251, para. 55).",
"2. The approach set out in paragraph 171 of the Secretary-General’s report was raised in the context of arbitrations under the auspices of local, national or regional arbitration associations for claims amounting to less than $25,000. However, the report concluded that “initiating a formal arbitration even under special procedures, for claims valued at $25,000 or less, would not necessarily be efficient or effective for the Organization” (A/65/373 and Corr.1, para. 172). Thus, the expedited procedures outlined below do not presuppose a financial limitation.",
"3. The procedures set out in the present concept paper could be used for ad hoc arbitrations and for arbitrations under the auspices of an arbitration association, if the association agreed to administer arbitrations under the procedures.",
"4. In simplifying arbitration procedures, it must be borne in mind that, pursuant to article VIII, section 29, of the Convention on the Privileges and Immunities of the United Nations, the United Nations must provide an appropriate mode of settlement of disputes arising out of its contracts. Thus, procedures set out in the present concept paper seek to preserve essential features of due process.",
"5. The following are the essential features of the procedures set out in the present concept paper:",
"• A two-stage process, consisting of an informal dispute resolution phase and an expedited arbitral proceeding in case the informal dispute resolution phase fails",
"• Non-waivable time limits for filing arbitration claims",
"• Sole arbitrator",
"• Arbitrator to be chosen from a roster of arbitrators agreed upon by the Organization and the individual contractors/consultants (see para. 7 (d) below)",
"• Limitation of arbitrator’s fees",
"• Elimination of an appointing authority, but exercise of certain functions of an appointing authority (e.g., selecting/appointing the arbitrator, deciding on a party’s challenge to an arbitrator) by a neutral entity",
"– The neutral entity could be an international dispute settlement institution (in which case both the Organization and the claimants would have to bear their respective share of the institution’s administrative fees)",
"• Transmittal of arbitration notices and other communications by electronic means, whenever feasible",
"• Use of standard templates for the parties’ submissions",
"• Simplification and limitation of the number of pleadings and other submissions",
"• Restrictions on the amendment of pleadings and submissions",
"• Testimony of witnesses to be by written affidavit, unless the arbitrator decides that the testimony of a witness should be given orally (e.g., to enable the opposing party to cross-examine the witness)",
"• Conferences and consultations among the arbitrator and parties on preliminary administrative and other matters to be by teleconference or videoconference",
"• Exceptionally, a party may request a hearing to cross-examine a witness, or the arbitrator may order a hearing if necessary to resolve a substantial issue of fact or law; such hearings normally to be by teleconference or videoconference, to be restricted in scope, and not to exceed two days",
"• In most cases, arbitrator’s award to be based on the parties’ written pleadings and submissions (documents-only process)",
"• Arbitrator to issue the award within a specified time frame, e.g., 30 days",
"• Any compensation awarded to be limited to economic loss and subject to a cap",
"• Depending on the number of arbitrations that will be initiated against the Organization under the proposed simplified arbitration procedures, additional resources may be required to defend the Organization and minimize its legal liability.",
"II. Framework",
"6. A new set of rules, called the Rules for Expedited Arbitration Procedures under United Nations Consultancy Contracts (hereinafter the “Expedited Rules”), would be prepared, using the UNCITRAL Arbitration Rules as a framework. The Expedited Rules would be based on the provisions of the UNCITRAL Arbitration Rules, modified as necessary to incorporate the expedited procedures discussed herein. The present concept paper indicates the substance (although not necessarily the wording or placement) of such modifications. It also indicates the provisions of the UNCITRAL Arbitration Rules that are relevant to or would be affected by the proposed procedures. It should be noted that, in addition to the points contained in this concept paper, various other consequential changes to the UNCITRAL Arbitration Rules would be needed (for example, to account for the fact that there would be only one arbitrator).",
"Overview of the dispute resolution process",
"7. The Expedited Rules contemplate a two-stage process, consisting of an informal dispute resolution phase and an expedited arbitration proceeding. In the event that the informal dispute resolution phase fails, the parties could proceed to the formal dispute resolution phase, i.e., an expedited arbitration proceeding whose key features are discussed in the following sections.",
"III. Scope of Expedited Rules (affected article of the UNCITRAL Arbitration Rules: article 1)",
"8. The Expedited Rules would apply to consultants and other individuals engaged by the United Nations under a contract for the services of a consultant or individual contractor (see ST/AI/1999/7/Amend.1, annex), or under analogous contract forms used by United Nations funds and programmes to contract with consultants and individual contractors (see, e.g., A/62/748 and Corr.1, para. 13 and A/65/373 and Corr.1, annex IV, para. 3). These categories of personnel are collectively referred to in the present concept paper as “individual contractors”.",
"Comments",
"(a) Under this approach, the Expedited Rules would apply to all individuals engaged pursuant to contracts for the services of a consultant or individual contractor, or analogous contracts. This includes, for example, those experts on mission and workers who are issued such contracts (see A/62/748 and Corr.1, paras. 33 and 40, and A/62/782, paras. 31-35 and 37-39), but not United Nations Volunteers (see A/62/748 and Corr.1, paras. 23 and 24, and A/62/782, paras. 22 and 23), officials other than Secretariat officials (see A/62/748 and Corr.1, paras. 29-31, and A/62/782, paras. 27-29) or other individuals who do not hold such contracts.",
"(b) The dispute settlement clause in contracts with individual contractors would be changed to provide that disputes not resolved amicably at the informal dispute resolution phase shall be submitted to arbitration in accordance with the Expedited Rules.",
"(c) The Expedited Rules would set out the specific types of contractual claims to which they would apply, e.g., claims alleging a breach of contract or the improper termination thereof. In addition, the Rules would expressly exclude certain categories of disputes from the scope of the subject-matter jurisdiction, such as claims that a contractor should be accorded the status of a staff member. With respect to the appendix D provision, the arbitrator’s role would be limited to verifying that the process accorded the claimant for determining his or her right to equivalent compensation was the one provided for under appendix D to the Staff Rules of the United Nations. In addition, the Expedited Rules would establish non-waivable time limits for filing claims.",
"(d) Since, in contrast to the UNCITRAL Arbitration Rules, the Expedited Rules would not necessarily be familiar or readily available to individual contractors or consultants, the Expedited Rules should either be attached to each contract (including the name of the entity from which individual contractors or consultants can obtain the current list of arbitrators) or provided to each individual contractor or consultant prior to contract signature. The individual contractor or consultant must sign an acknowledgement that (i) he or she has been provided with the Expedited Rules, (ii) the Expedited Rules form an integral part of the contract and (iii) the list of arbitrators is acceptable to him or her.",
"IV. Notices and other communications (affected article of the UNCITRAL Arbitration Rules: article 2)",
"9. The parties and the arbitrator shall transmit any notice, communication or proposal under the Expedited Rules by electronic means, unless such a mode of transmission is not available or possible for technical reasons. [Comment: These might include, for example, the non-availability or malfunctioning of electronic means of transmission, the bulkiness of a pleading or submission, etc.]",
"V. Pleadings and other submissions (affected articles of the UNCITRAL Arbitration Rules: articles 3, 4, 20, 21, 22, 23 (2), 24 and 25)",
"Preliminary comment",
"Under the following provisions, the respondent would not be required to submit its statement of defence until after the arbitrator had been appointed. The reason for this is that the respondent might wish to raise a plea as to the jurisdiction of the arbitrator (e.g., that the dispute is not arbitrable under the arbitration clause asserted by the claimant or that for some other reason the arbitrator lacks jurisdiction) or request an early dismissal of the claim because the claim is manifestly without legal merit. The respondent should not have to present its full statement of defence and accompanying documents until an arbitrator rules on the issue of jurisdiction or on the respondent’s challenge on the merits.",
"10. The claimant initiates arbitration proceedings by issuing a request for arbitration and statement of claim. This pleading would contain information analogous to that provided under the UNCITRAL Arbitration Rules for the notice of arbitration and the statement of claim. In it, the claimant would describe the claim and summarize the grounds and arguments supporting it.",
"11. Within 60 days after receiving the claimant’s request for arbitration and statement of claim, the respondent must issue a response to the request for arbitration. The response should include a plea as to jurisdiction and should address other matters, such as the identification of each respondent and a response to information set out in the claimant’s request for arbitration. Standard templates should be used for the parties’ submissions.",
"12. If the respondent raises a plea as to jurisdiction, it shall include in its response to the request for arbitration all facts and arguments that it wishes to present in support of the plea and, as far as possible, attach to its response all documents relied upon or provide references to them.",
"13. If the respondent raises a plea for early dismissal of the claim because the claim is manifestly without legal merit, it shall include in its response to the request for arbitration all facts and arguments that it wishes to present in support of the plea and, as far as possible, attach to its response all documents relied upon or provide references to them.",
"14. After the appointment of the arbitrator:",
"(a) If the respondent has raised a plea as to jurisdiction, the arbitrator shall, after consulting with the parties, establish a time limit within which the claimant must submit any response to the plea. The arbitrator then rules on the respondent’s plea as to jurisdiction [comment: there would be no hearing — see section XIII below] and, if the arbitrator rules that jurisdiction exists, establishes the time limit within which the respondent must issue a statement of defence;",
"(b) If the respondent has raised a plea for early dismissal of the claim because the claim is manifestly without legal merit, the arbitrator shall, after consulting the parties, establish a time limit within which the claimant must submit any response to the plea. The arbitrator then rules on the respondent’s plea to dismiss the claim because it is manifestly without legal merit [comment: there would be no hearing — see section XIII below] and, if the arbitrator nevertheless upholds the claim, establishes the time limit within which the respondent must issue a statement of defence;",
"(c) If the respondent has not raised a plea as to jurisdiction or for early dismissal of the claim because the claim is manifestly without legal merit, the arbitrator establishes the time limit within which the respondent must issue a statement of defence.",
"15. The statement of defence would contain information analogous to that provided under the UNCITRAL Arbitration Rules for the statement of defence. In it, the respondent would reply to the particulars set out in the statement of claim, and may include a counterclaim or set-off and raise a plea as to jurisdiction, unless such a plea has previously been raised. The statement of defence should, as far as possible, be accompanied by all documents or other evidence relied upon by the respondent, or contain references to them.",
"VI. Extensions or abridgements of time limits (affected article of the UNCITRAL Arbitration Rules: article 17 (2))",
"16. Any time limits established by the Expedited Rules or agreed by the parties may, at any time, be extended or abridged if the parties so agree, or if the arbitrator so decides after inviting the parties to express their views.",
"VII. Amendment of a pleading (affected article of the UNCITRAL Arbitration Rules: article 22)",
"17. After an arbitrator has been selected and accepts appointment, a party may not amend its pleading unless the opposing party agrees or the arbitrator allows the party to amend its pleading. A request to the arbitrator to amend a pleading shall be accompanied by the text of the proposed amendment, and the reasons and justification for the amendment. In deciding whether to allow an amendment, the arbitrator shall consider whether the interests served by allowing it are outweighed by any delay in the proceedings, prejudice to the opposing party or any other circumstance. In allowing an amendment to a pleading, the arbitrator shall establish a deadline within which the opposing party may respond to the amendment. If a pleading is amended, the opposing party may respond solely to the amendment.",
"VIII. Additional submissions (affected article of the UNCITRAL Arbitration Rules: article 24)",
"18. After consulting with the parties, the arbitrator shall establish a deadline within which each party may make one additional submission of facts, legal arguments or documents. Such submissions shall be in writing. After this deadline, no further submissions shall be permitted. Notwithstanding the foregoing, a party shall not be allowed to present in its additional submission a fact or document that was or should have been known to, or that was available to, the party seeking to submit it at the time of submission of its pleading or additional submission.",
"IX. Discovery (affected article of the UNCITRAL Arbitration Rules: article 27 (3))",
"19. At the request of a party or upon the arbitrator’s own initiative, the arbitrator may order the production of evidence for either party at any time and may require any person to disclose any document or provide any information that appears to the arbitrator to be necessary for a fair and expeditious disposal of the proceedings. However, the arbitrator shall not order the production or disclosure of any evidence, document or information that is confidential or protected by privilege.",
"20. A party wishing to submit non-privileged or non-confidential evidence that is in the possession of the opposing party or of any other entity may request the arbitrator to order the production of the evidence.",
"21. The arbitrator may, at the request of either party, impose measures to preserve the confidentiality of evidence, where warranted by security interests or other exceptional circumstances.",
"Comment",
"These provisions are based on article 18 of the rules of procedure of the United Nations Dispute Tribunal.",
"X. Witness testimony (affected article of the UNCITRAL Arbitration Rules: article 27 (2))",
"22. The statement or testimony of any witnesses, including any individual claimant or respondent, shall be made by the witness in a written and sworn affidavit, which shall be notarized or otherwise legally authenticated, unless the arbitrator decides that the interests of justice necessitate that the testimony be given at a hearing.",
"Comment",
"See section XIII below, regarding hearings. Subject to certain exceptions, the hearing would be by teleconference or videoconference. The written witness statement would have to be submitted as part of the party’s pleading or additional submission (see section VIII above).",
"XI. Appointing authority (affected article of the UNCITRAL Arbitration Rules: article 6)",
"23. There would be no appointing authority.",
"24. However, certain functions of the appointing authority would remain necessary, e.g., with regard to the selection or appointment of arbitrators, challenges of arbitrators, etc. These could be performed by a neutral entity.",
"25. The neutral entity could be an international dispute settlement institution to be selected through a competitive procurement exercise.",
"26. The benefits of having an international dispute settlement institution as the neutral entity are the following: (a) such an institution would provide access to existing expertise in administering all aspects of arbitration proceedings; (b) such an institution, selected through a competitive procurement exercise, would reflect the commercial nature of the underlying contract; and (c) having an outside institution administer the arbitration would de-link the neutral entity from the Organization and eliminate any perception of partiality. However, both the claimants and the respondent would have to bear their respective share of the institution’s administrative fees.",
"XII. Arbitrator (affected articles of the UNCITRAL Arbitration Rules: articles 7-15)",
"27. Number and appointment (affected articles of the UNCITRAL Arbitration Rules: articles 7-10):",
"(a) There would be a sole arbitrator;",
"(b) The neutral entity discussed in section XI above would establish and maintain a roster of potential arbitrators;",
"(c) As a condition for being included in the roster, the arbitrator would be required to sign a document confirming that it agrees, if appointed as arbitrator in a case, to conduct the arbitration in accordance with the Expedited Rules, and agrees also to the limitation of the arbitrator’s fees (see section XVI below);",
"(d) Appointment of the arbitrator: the neutral entity discussed in section XI above would select an arbitrator from the aforementioned roster of potential arbitrators. To make the process more predictable, a list procedure could be used, whereby the parties would pick their top choices from a list of several candidates, which would be communicated to each of them separately and in confidence by the neutral entity.",
"28. Challenge to the arbitrator (affected articles of the UNCITRAL Arbitration Rules: articles 11-15): the Expedited Rules would retain provisions in the UNCITRAL Arbitration Rules regarding challenge of the arbitrator, but provide that, if the parties do not agree on the challenge or if the arbitrator does not withdraw voluntarily, a decision on the challenge shall be made by the neutral entity referred to in section XI above. The parties’ agreement on a challenge or the arbitrator’s decision to step down would be dispositive and would automatically trigger a new selection process.",
"XIII. Arbitral proceedings (affected articles of the UNCITRAL Arbitration Rules: articles 17, 27 (2), 28, 29 and 31)",
"29. The proceedings shall be conducted on the basis of the written pleadings and submissions of the parties, except as provided below.",
"30. All conferences and consultations among the arbitrator and parties on administrative and other matters preliminary to the proceedings on the merits of the case shall be generally conducted by e-mail or teleconference.",
"31. There shall be no hearings on a plea as to jurisdiction or on a plea for early dismissal of a claim because the claim is manifestly without legal merit. The arbitrator shall decide such pleas on the basis of the written submissions of the parties.",
"32. There shall be no hearings on the merits of the case for the presentation of evidence, testimony or oral argument, unless (a) a party requests a hearing in order to cross-examine a witness, or (b) the arbitrator decides that there is a substantial issue of fact or law that can be fairly and justly resolved only with a hearing. Any hearing shall be limited to the cross-examination of the witness or such issue of fact or law. Such hearings shall be by teleconference or videoconference, except where the arbitrator decides, in exceptional circumstances, that an issue of fact can be resolved only with an in-person hearing. Any such hearing(s) should not exceed two days.",
"33. Article 29 of the UNCITRAL Arbitration Rules (which provides for the arbitral tribunal to appoint its own independent experts) would be deleted.",
"XIV. Applicable law (affected article of the UNCITRAL Arbitration Rules: article 35 (1))",
"34. The Expedited Rules would provide that, unless otherwise agreed by the parties, the decisions of the arbitral tribunal shall be based on the express contractual terms, including any general terms and conditions referred to therein. Neither the Staff Regulations and Rules of the United Nations nor national laws will apply to the dispute.",
"XV. The award (affected articles of the UNCITRAL Arbitration Rules: articles 33 and 34)",
"35. The arbitrator shall have no authority to award punitive damages, or to decide as amiable compositeur or ex aequo et bono. In addition, unless otherwise expressly provided in the contract, the arbitrator shall have no authority to award interest in excess of the London Inter-Bank Offered Rate (“LIBOR”) then prevailing, and any such interest shall be simple interest only. The parties shall be bound by any arbitration award rendered as a result of such arbitration as the final adjudication of any such dispute, controversy or claim.",
"Comment",
"These provisions have been taken from the arbitration clause in the United Nations General Conditions of Contract.",
"36. The arbitrator shall issue the award within 30 days after the closure of the proceedings. Any compensation to be awarded shall be limited to economic loss and shall be subject to a cap [to be determined].",
"XVI. Costs and fees (affected articles of the UNCITRAL Arbitration Rules: articles 40, 41 and 43)",
"37. Arbitrator’s fee: the Expedited Rules would limit the fee of the arbitrator. The limitation on arbitrator’s fees should be set forth in both the Expedited Rules and the document to be signed by an arbitrator as a condition to being placed on the roster (see section XII above, para. 27 (c)).",
"38. Determination and allocation of fees and costs: regardless of the outcome of the case, each party shall bear its own costs and fees, and the parties shall share the costs and fees of the arbitrator equally. However, in exceptional circumstances, the arbitrator may decide that a different allocation of the parties’ costs and fees or the costs and fees of the arbitrator would be just and equitable.",
"XVII. Confidentiality (affected articles of the UNCITRAL Arbitration Rules: articles 28 (3) and 34 (5))",
"39. The entire arbitration proceedings, including all notices, communications, pleadings, documents, submissions, hearings and awards, shall be kept confidential, unless the parties otherwise agree in writing. However, the United Nations, or its fund or programme, may communicate to its governing bodies such information concerning the proceedings as the governing body may require.",
"Other matters",
"Privileges and immunities",
"40. Since, unlike the UNCITRAL Arbitration Rules, these Expedited Rules would be established specifically for United Nations arbitration cases, it would be desirable for the Rules to contain a privileges and immunities clause:",
"“Nothing in or related to these [use full name of Rules] shall be interpreted or applied in a manner inconsistent with the privileges and immunities of the United Nations, including its subsidiary organs, or be deemed a waiver of such privileges and immunities. For the avoidance of doubt, any arbitration conducted under these [use full name of Rules] shall not be subject to any local laws, and any reference to a ‘place of arbitration’ shall not be deemed or construed as a waiver of such privileges and immunities or an agreement of the United Nations to subject itself to any national jurisdiction.”",
"Annex III",
"Compensation awarded by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal",
"A. Monetary compensation awarded by the Management Evaluation Unit (1 July 2009-31 May 2011)",
"Breakdown ofcompensation paid(from 1 July 2009to 31 May 2011) \nDepartment ofdecision maker\tAmount ofcompensation\tLevelofstaffmember\tReason forcompensation \nUnited Nations Officeat Geneva\t$500.00\tP-4\tFailure to notifystaff member ofoutcome ofselection process\nUnited Nations Officeat Geneva\t3 months’ netbase salary\tP-3\tBreach of 15-dayrule\nUnited Nations Officeat Geneva\t1 month’s netbase salary(SwF 7,040.50)\tG-5\tBreach of 15-dayrule\nOffice for theCoordination ofHumanitarian Affairs(Geneva)\t$2,127.00\tP-4\tReimbursement ofrecovered homeleave (lump-sumpayment)\nOffice of the UnitedNations HighCommissioner forHuman Rights (Geneva)\t3 months’ netbase salary($17,680)\tP-4\tBreach of 15-dayrule\nDepartment of FieldSupport\t3 months’ netbase salary\tFS-4\tMishandling ofrecruitment\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\t7 months’ netbase salary\tG-5\tAbolition of post\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\t$5,154.76\tFS-6\tReimbursement forrecovery oflump-sum payment\nDepartment of FieldSupport-UnitedNations ObserverMission in Georgia\t3 months’ netbase salary\tFS-4\tUnfair treatment\nDepartment of FieldSupport-UnitedNations InterimAdministrationMission in Kosovo\t2 months’ netbase salary\tP-3\tLack of due process\nUnited Nations Officeat Nairobi\t3 months’ netbase salary\tG-4\tLegitimateexpectation ofrenewal\nUnited NationsEnvironment Programme\t3 months’ netbase salary\tD-1\tInordinate delay\nUnited NationsEnvironment Programme\t3 months’ netbase salary\tG-7\tInordinate delay\nUnited NationsEnvironment Programme\t3 months’ netbase salary\tP-5\tInordinate delay\nDepartment ofManagement\t3 months’ netbase salary\tP-3\tWithdrawal ofaccepted offer ofappointment\nDepartment forGeneral Assembly andConference Management\t$5,473.09\tG-7\tMishandling ofselection process\nDepartment forGeneral Assembly andConference Management\t$12,891.00\tG-5\tMishandling ofselection process\nOffice of InternalOversight Services(Vienna)\t$1,044.89\tP-3\tNon-payment ofspecial postallowance",
"B. Monetary compensation awarded by the United Nations Dispute Tribunal and United Nations Appeals Tribunal (1 July 2009-31 May 2011)",
"[TABLE]",
"Note: “N/A” indicates either that no action was taken following the United Nations Dispute Tribunal judgement or that the judgement is still under appeal.",
"UnitedNationsAppealsTribunaljudgementNo.^(a)\tApplicant’slastname\tEntity\tAppealfrom\tCompensation\tNetamountpaid(UnitedStates\tDate \n dollars) \n2010-UNAT-021\tAsaad\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tCompensationequivalentto thedifferencebetweensalariesat grades8 and 14(periodfrom 1July 2003to20 January2004) andcompensationequivalentto onemonth’ssalary atgrade 14;inaddition,reinstatementor paymentof sixmonths’net basepay\t9000.00\tN/A\n2010-UNAT-022\tAbuHamda\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tRefund ofloss ofsalarysufferedas aresult ofdemotion\t7600.00\tN/A\n2010-UNAT-025\tDoleh\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tReinstatementor paymentof twoyears’ netbase pay\t19000.00\tN/A\n2010-UNAT-030\tTabari\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tUnitedNationsRelief andWorksAgency forPalestineRefugeesin theNear East\tRetroactivepayment ofspecialoccupationallowance\t22000.00\tN/A\n2010-UNAT-087\tLiyanarachchige\tUnitedNationsOperationin Côted’Ivoire/DepartmentofPeacekeepingOperations\tReversingjudgementNo. UNDT/2010/041\t12 months’net basesalary asat thedate ofseparation\t47440.00\t07/03/2011",
"^(a) United Nations Appeals Tribunal judgements awarding compensation in cases not considered by the United Nations Dispute Tribunal or where the Dispute Tribunal made no award for compensation.",
"C. United Nations Dispute Tribunal judgements with compensation equal to or more than six months’ net base salary (1 July 2009-31 May 2011)",
"JudgementNo.\tApplicant\tRegistry\tBriefsynopsis\tEntity\tRescissionorspecificperformanceordered\tCompensationordered\tTotalamountpaidinUnitedStatesdollars\tAffirmedoroverturnedonappealasat31May2011 \nUNDT/2010/070\tFarraj\tGeneva\tTheDisputeTribunalfoundthatthecontesteddecisiontoterminateappointmentoflimited\tUnitedNationsDevelopmentProgramme\tRescissionofthecontesteddecision(alternatively,$45,000)\tN/A\t45,000\tN/A \n durationhad notbeen incompliancewithtermsofappointment UNDT/2010/106\tEid\tGeneva\tTheDisputeTribunalfoundthattheAdministrationshouldhavepaidtheapplicantterminationindemnitiesas fromthedatethathisterminationbecame\tUnitedNationsSecretariat(UnitedNationsInterimForceinLebanon)\tN/A\t$29,991.23andLL9,552.660(terminationindemnityandrelatedentitlements)\tN/A\tN/A \n effective \nUNDT/2010/120\tOstensson\tGeneva\tTheDisputeTribunalfoundthattheselectionprocesshadbeentaintedbyseriousproceduralirregularity,violatingtheapplicant’srightto fullandfairconsiderationfor aD-1post\tUnitedNationsConferenceonTradeandDevelopment\tRescissionofthecontesteddecision(alternatively,$4,900)\t$48,000(emotionaldistress,harmtoprofessionalreputation)\t52,900\tN/A\nUNDT/2010/122\tZerezghi\tGeneva\tTheDisputeTribunalfoundthattheimposeddisciplinarymeasureofdismissalhadbeendisproportionateto theestablishedmisconduct\tUnitedNationsSecretariat(UnitedNationsInterimAdministrationMissioninKosovo)\t(1)Retroactivereinstatement(alternatively,eightmonths’netbasesalary);(2)writtencensure;(3)removalofmaterialrelatingtodismissalfromhisfile\t$60,000(moraldamage)\t99,936.18\tN/A\nUNDT/2010/128\tIkpa\tGeneva\tTheDisputeTribunalfoundthatthedecisionofseparationfromservicehadbeen anunlawfuldisciplinarymeasure\tUnitedNationsOfficeatGeneva\tSixweeks’netbasesalaryinlieuofnotice(lessoneweekalreadypaid)\tOneyear’snetbasesalary(lessanymoneyalreadypaid)\t59,592\tN/A\nUNDT/2010/129\tValleFischer\tGeneva\tTheDisputeTribunalfoundthatthedecisionofseparationfromservicehadbeen anunlawfuldisciplinarymeasure\tUnitedNationsOfficeatGeneva\tSixweeks’netbasesalaryinlieuofnotice(lessoneweekalreadypaid)\tOneyear’snetbasesalary(lesstwomonthsalreadypaid)\t54,697\tN/AUNDT/2010/130\tApplicant\tGeneva\tTheDisputeTribunalfoundthatthedecisionstoterminatetheapplicant’sappointmentand toissue a\tInternationalCriminalTribunalfortheFormerYugoslavia\tRescissionofreprimand\t(1)Threemonths’netbasesalary(prejudiceresulting\t50,263.50\tN/A reprimandhadbeen inbreachof hisrights fromtheunlawful termination) (in additiontoeightmonthspreviouslypaid); (2)three months’ net \n basesalary(unlawfulreprimand) UNDT/2010/133\tEldam\tGeneva\tTheDisputeTribunalfoundthatthedecisionsofnon-renewalofcontractforunsatisfactoryperformanceand toissue areprimandhadbeenflawedand\tUnitedNationsSecretariat(UnitedNationsObserverMissioninGeorgia)\t(1)Rescissionofnon-renewalofappointment(alternatively,three months’netbasesalary);(2) withdrawalofreprimand\tThreemonths’netbasesalary(moraldamage)\t26,204.40\tN/A \n improper UNDT/2009/088\tNogueira\tNairobi\tTheDisputeTribunalfound thatthedecisionnot torenewappointmentongroundsofperformancehadbeenprocedurally\tUnitedNationsOfficeatNairobi/UnitedNationsEnvironmentProgramme\tN/A\t24months’netbasesalary\t210,794\tN/A defectiveandcouldnot be \n sustained UNDT/2010/002\tXu\tNairobi\tTheDisputeTribunalfoundthatthedecisionnot toselecttheapplicantfor aP-4levelposthadbeenunlawful\tUnitedNationsSecretariat\tN/A\tSixmonths’netbasesalary(injurysuffered)\tN/A\tSetasidebyAppealsTribunalinXu2010-UNAT-053andremandedto Dispute \n Tribunal\nUNDT/2010/053\tMmata\tNairobi\tTheDisputeTribunalfoundthatthechargeofseriousmisconductwas notwellfoundedandthatseparationfromservicehadbeendisproportionate\tUnitedNationsChildren’sFund\tRescissionofthecontesteddecisionandreinstatement\t(1)Lostearningsfromthedateofseparation;(2)2 years’netbasesalary\t222,453.57\tPrimerateinterestontheawardedcompensation(seeMmata2010-UNAT-092)\nUNDT/2010/056\tMasri\tNairobi\tTheDisputeTribunalfoundthatthedisciplinarymeasureofsummarydismissalhadbeendisproportionate\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\t(1)Reinstatementwithpaymentoflost earnings(alternatively,twoyears’netbasesalary);(2)demotionbyfoursteps\tN/A\tN/A\tOverturnedbyAppealsTribunalinMasri2010-UNAT-098\nUNDT/2010/057\tIanelli\tNairobi\tTheDisputeTribunalfoundthattheapplicantwasentitledtoassignmentgrantandotherentitlementsaffordedtointernationallyrecruitedstaff\tUnitedNationsOfficeforProject Services\tN/A\tPaymentofapplicableassignmentandrelocationgrantswithappropriateinterest\t51,395.35\tAppealsTribunalamendedtheordersonthepaymentofinterest(see2010-UNAT-093)UNDT/2010/061\tSanwidi\tNairobi\tJudgementoncompensationfollowingSanwidiUNDT/2010/036,inwhichtheDisputeTribunalfoundthatthedecisionofsummarydismissalhadbeendisproportionate\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\t(1)Reinstatement(alternatively,twoyears’netbasesalary);(2)writtenreprimand\tLostearningsfromthedateofsummarydismissaltothedateofreinstatement,less$2,600\tN/A\tDisputeTribunaljudgementisvacatedinSanwidi2011-UNAT-104 \n permonth UNDT/2010/097\tLutta\tNairobi\tJudgementoncompensationfollowingLuttaUNDT/2010/052,in whichtheDisputeTribunalfound,interalia,thattheinvestigationof theapplicantand theactionstakenagainsthim hadbeenprocedurallyflawedandimproper\tUnitedNationsSecretariat(UnitedNationsOperationinCôted’Ivoire)\tN/A\t(1)Threemonths’netbasesalary(lossofcareeradvancementopportunities);(2)$4,760(travelcosts);(3)\t46,339.86\tAffirmedbyAppealsTribunalinLutta2011-UNAT-117 six months’ net basesalary(moral \n damages) UNDT/2010/118\tCohen\tNairobi\tTheapplicantcontestedthesummarydismissal.TheDisputeTribunalfoundthatheractionshad notamountedtomisconductandthatherdue-processrightshadbeenviolated\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\tRescissionofthecontesteddecisionandreinstatementoftheapplicant(alternatively,twoyears’netbasesalary)\t(1)Paymentofsalariesandentitlementsfromthedateofdismissaltothedateofjudgement;\t101,624\tN/A (2)two months’ net basesalary (breachof due-process \n rights) UNDT/2010/119\tGaskins\tNairobi\tTheapplicantcontestedthedecisiontoterminatehisappointment.TheDisputeTribunalfoundthattheapplicant’scontractofemploymenthadbeenbreached,whichhad\tUnitedNationsDevelopmentProgramme\tN/A\tSixmonths’netbasesalary(violationofdue-processrights,humiliation,distressanddamageto\t40,420.98\tN/A \n resultedindamageto hisself-imageandreputation reputation) UNDT/2010/124\tFrechon\tNairobi\tTheDisputeTribunalfoundthattheapplicant’semploymenthadbeenimproperlyterminatedformedicalreasons\tInternationalCriminalTribunalforRwanda\tRescissionofthedecisiontoterminatetheapplicant’semployment,reinstatement(alternatively,two\t(1)Paymentoflostearningsfromthedateofterminationto\tN/A\tN/A years’netbasesalary)\tthedateofreinstatement; (2) paymentof entitlements for theperiod fromMarch 2007to July \n 2007 \nUNDT/2010/153\tVerschuur\tNairobi\tTheDisputeTribunalfoundthattheselectionprocesshadbeenimproperlyinterferedwithandthattheapplicanthadbeendeniedfullandfairconsiderationfor aP-5post\tUnitedNationsHumanSettlementsProgramme\tN/A\tSixmonths’netbasesalary(detrimenttocareerprogression)\tN/A\tN/AUNDT/2010/154\tContreras\tNairobi\tTheDisputeTribunalfoundthattheselectionprocesshadbeenimproperlyinterferedwithandthattheapplicanthadbeendeniedfullandfairconsiderationfor thepost\tUnitedNationsHumanSettlementsProgramme\tN/A\t(1)Sixmonths’netbasesalary(detrimenttocareerprogression);(2) tokensumof$1(moral\tN/A\tN/A \n injury). \nUNDT/2010/173\tParkes\tNairobi\tTheDisputeTribunalfoundthatthecontestedsummarydismissalhadbeendisproportionate\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\tRescissionofthedecision(alternatively,compensationequivalentterminationbenefits)\tN/A\t57,503.39\tN/AUNDT/2010/175\tBekele\tNairobi\tTheapplicantcontestedthedecisionto\tEconomicCommissionforAfrica\tN/A\t(1)SalaryfromNovember\tN/A\tN/A separatehimfromservice,as wellasseveralrelateddecisions.TheDispute 2007toMarch2009;(2)sixmonths’ Tribunalfoundthattheapplicant’srightshadbeen netbasesalary(breachof violated. due-process \n rights) UNDT/2010/185\tM’Bra\tNairobi\tTheDisputeTribunalfoundthatthedecisionofsummarydismissalhadbeenunlawful\tUnitedNationsSecretariat(UnitedNationsOrganizationMissionintheDemocraticRepublicoftheCongo)\tReinstatement(alternatively,paymentoftwoyears’netbasesalary)\t(1)Salaryandentitlementsfromthedateofhissummarydismissaltothe\t377,257.92\tN/A dateofjudgement; (2)two months’ net basesalary (breachof due-process \n rights) UNDT/2010/197\tBowen\tNairobi\tTheDisputeTribunalfoundthattheterminationbasedonunsatisfactoryperformancehadbeenunlawful\tUnitedNationsDevelopmentProgramme\tRescissionofthecontesteddecision\t(1)Threemonths’netbasesalaryandbenefits(less\tN/A\tN/A any payments madein lieuof notice); (2) twoyears’ net \n basesalary \nUNDT/2010/214\tKamunyi\tNairobi\tTheDisputeTribunalfoundthatthecontesteddecisionstosuspendtheapplicantfromservice,toplacehim onspecialleavewithfullpay andtoissue areprimandhadbeenunlawful\tUnitedNationsOfficeatNairobi\tRescissionofthreeunlawfuldecisions(unlawfulsuspension,placementonspecialleavewithfullpayforoneyear andeightmonths,andreprimand)\tTwoyearsandsixmonths’netbasesalary(emotionalandphysicalharmanddamagetoreputation)\tN/A\tN/AUNDT/2011/017\tHarding\tNairobi\tTheapplicantcontestedsummarydismissal.Liabilitybeingadmittedby therespondent,thiscaseconcernedonlywhethertheamountof twoyears’netbasesalarypaidwasadequate\tOfficeoftheUnitedNationsHighCommissionerfor Refugees\tRescissionofsummarydismissal(alternatively,twoyears’netbasesalary)\t(1)Sixmonths’netbasesalary(breachofdue-processrights);(2)specialpostallowance\tN/A\tSpecialpostallowancewithinteresthasbeenpaid;otheritemsarependingonappeal for four months; (3)six months’ net basesalary(emotional distress andhumiliation); (4)salaries and entitlementsat the G-6level from June 2005to December \n 2010 UNDT/2011/060\tFinniss\tNairobi\tTheDisputeTribunalfoundthattheapplicant’srightshadbeen\tUnitedNationsSecretariat(OfficeofInternal\tN/A\t(1)18months’netbasesalary\tN/A\tN/A violatedwithrespectto twoP-5selectionexercises\tOversightServices) (failuretoaffordproperconsiderationinselection for thefirstpost); (2)six months’ net basesalary (failuretoaffordproperconsiderationinselection for \n thesecondpost) UNDT/2011/067\tBorhom\tNairobi\tTheDisputeTribunalfoundthatthedecisiontosummarilydismisshadbeenunlawful\tOfficeoftheUnitedNationsHighCommissionerforRefugees\tRescissionofsummarydismissalandreinstatement(alternatively,twoyears’netbasesalary)\t(1)Sixmonths’netbasesalary(moraldamage);(2)six\t27,660\tN/A months’ net basesalary(violationof due-process \n rights) UNDT/2011/092\tXu\tNairobi\tTheDisputeTribunalfoundthattheselectionexercisehadbeentaintedwithproceduralirregularitiesandthattheapplicanthadbeendeniedfullandfairconsiderationfor aP-4post\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\tN/A\t(1)Twomonths’netbasesalary(proceduralviolations);(2)fourmonths’netbasesalary(failureto\tN/A\tN/A give full and fair consideration); (3) $500 \n (failuretoinformofnon-selection) \nUNDT/2010/026\tKasyanov\tNewYork\tTheDisputeTribunalfoundthattheapplicanthad notbeenconsideredfor aP-4vacancyinaccordancewiththeapplicablerules\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\tLateralmoverecordedashavingtakenplace(alternatively,$20,000)\t$59,932(actualeconomicloss,breachofrights,delayedprospectofpromotion,emotionaldistress)\t13,969.83(twomonths’salaryactuallypaid)\tAwardedcompensationwasamendedtotwomonths’netbasesalary(Kasyanov2010-UNAT-076)UNDT/2010/040andOrderNo.57(NY/2010)\tKoh\tNewYork\tJudgementandorderoncompensationfollowingKohUNDT/2009/078,inwhichtheDispute\tUnitedNationsDevelopmentProgramme\tN/A\t(1)$2,000(lossoftherighttocandidacy);\t2,000and107,107.60\tN/A TribunalfoundthattheOrganizationhadbreachedtheapplicant’s (2)$107,107.60(economiccompensation) contractofemploymentby not assistinghim infinding \n suitableemployment UNDT/2010/055\tAbbasi\tNewYork\tTheDisputeTribunalfoundthattheselectionprocesshadbeendiscriminatoryand inbreachof theapplicant’srights\tUnitedNationsChildren’sFund\tN/A\t(1)12months’netbasesalary(lossofopportunityofbeingappointed,\tN/A\tOverturnedbyAppealsTribunalinAbbasi2011-UNAT-112 lossofcareerdevelopment); (2) \n $30,000(emotionaldistress) UNDT/2010/068\tChen\tNewYork\tTheDisputeTribunalfoundthatthedecisionnot toreclassifytheapplicant’spostfromthe P-3to theP-4levelhadbeen inbreachofStaffRegulationsand theprincipleofequalpay forwork ofequalvalue\tUnitedNationsSecretariat(DepartmentforGeneralAssemblyandConferenceManagement)\tN/A\t(1)Sixmonths’netbasesalary(non-materialdamages:frustration,humiliationanddelay);(2) differenceinsalary\t36,256.94\tUpheldbyAppealsTribunalinChen2011-UNAT-107 between the P-3 and the P-4levels fromAugust 2006untilretirement (actual \n economicloss) UNDT/2010/117\tBertucci\tNewYork\tJudgementoncompensationfollowingBertucciUNDT/2010/080,inwhichtheDisputeTribunalfoundthatthedecisionnot toappointthe\tUnitedNationsSecretariat(DepartmentofEconomicandSocialAffairs)\tN/A\t$655,000(economicandnon-economicdamages)\tN/A\tSetasidebyAppealsTribunalinBertucci2011-UNAT-121andremandedto applicantto thepost ofAssistant DisputeTribunal \n Secretary-Generalhadbeen inbreachof hisrights UNDT/2010/146\tBeaudry\tNewYork\tJudgementoncompensationfollowingBeaudryUNDT/2010/039,inwhichtheDisputeTribunalfoundthatthedecisionnot torenewtheapplicant’s\tUnitedNationsSecretariat(UnitedNationsStabilizationMissioninHaiti)\tN/A\t$112,082(actualeconomicloss,distressandproceduralviolations)\tN/A\tVacatedbyAppealsTribunalasaresultofBeaudry2010-UNAT-085 contracthadbeen \n unlawful UNDT/2010/156\tShkurtaj\tNewYork\tTheapplicantcontested,interalia,thedecisionnot toimplementtherecommendationof theEthicsOfficeto payhimcompensationfor theviolationof hisrights.TheDisputeTribunalheldfor theapplicantinpart,findingthat,inrelationto someof hisclaims,hisrightshadbeenviolated\tUnitedNationsDevelopmentProgramme\tN/A\t(1)14months’netbasesalary(due-processviolations,damagetocareerandreputation,andemotionaldistress);(2) $5,000(proceduraldelayinaddressing\tN/A\tN/A theEthics Office’s \n recommendation) UNDT/2010/200\tAlauddin\tNewYork\tJudgementoncompensationfollowingAlauddinUNDT/2010/114,inwhichtheDispute\tUnitedNationsDevelopmentProgramme\tN/A\t(1)netbasepay,includingentitlements,\tN/A\tN/A Tribunalfoundthattheapplicant’srightshadbeen for11months,lessthe breachedwhentheOrganizationhadfailedtorenewhiscontract applicant’sincomeforthesameperiod (actual economicloss); (2) \n $30,000(emotionalharm) UNDT/2011/012\tTolstopiatov\tNewYork\tJudgementoncompensationfollowingTolstopiatovUNDT/2010/147,inwhichtheDispute\tUnitedNationsChildren’sFund\tN/A\t$97,324.04(lostincomeandentitlements)\t97,324\tN/A TribunaldeterminedthattheUnitedNationsChildren’sFundhad breacheditsobligationsto the applicant \n followingtheabolishmentof post UNDT/2011/032\tObdeijn\tNewYork\tRespondentrefusedtodisclosethereasonsfor thecontestednon-renewal.TheDispute\tUnitedNationsPopulationFund\tN/A\t(1)Sixmonths’netbasesalaryand\tN/A\tN/A Tribunalthereforefoundthatthe entitlements(actual \n contesteddecisionhadbeenunlawful economicloss);(2)$8,000(emotionaldistress) UNDT/2011/068\tGarcia\tNewYork\tTheDisputeTribunalfoundthattheUnitedNationsDevelopmentProgrammehadbreachedits\tUnitedNationsDevelopmentProgramme\tRemovalofadversematerialfromtheapplicant’spersonnelfile\t(1)$89,128.48(lostsalaryandentitlements);(2)\t109,619.26\tN/A contractwiththeapplicantbyfailingtoexecutetheemploymentrelationship $241(compensationformedicalexamination); (3) \n $50,000(non-pecuniaryloss) UNDT/2011/081\tCabrera\tNewYork\tTheDisputeTribunalfoundthatthedecisiontoplacetheapplicantonspecialleavewithfullpay hadbeenunlawful\tUnitedNationsSecretariat(DepartmentofManagement)\tN/A\tTwoyears’netbasesalaryfordue-processviolations,humiliation\tN/A\tN/A andemotional \n distress",
"Note: “N/A” indicates either that no action was taken following the United Nations Dispute Tribunal judgement or that the judgement is still under appeal.",
"[1] * A/66/150.",
"[2] The separately administered funds and programmes handle management evaluations independently.",
"[3] Judge Marilyn Kaman tendered her resignation from the Dispute Tribunal effective 30 June 2011.",
"[4] The number of applications/appeals filed does not necessarily correspond to the number of judgements rendered. There may be occasions where several appeals are disposed of in one judgement or where a case is closed without the issuance of a judgement.",
"[5] The honorarium for the principal drafter of a judgement is $2,400. Additional signatories receive $600 per judgement.",
"[6] “Case” refers to any of the following: providing assistance or acting as counsel of record before bodies of the formal system (Management Evaluation Unit, Dispute Tribunal, Appeals Tribunal), providing legal guidance and summary legal advice, assisting a staff member in achieving the informal resolution of a dispute, which may involve consultations with the staff member and discussions and negotiations with third parties, or referral to other actors in the system, including the Office of the Ombudsman or staff unions.",
"[7] These entities are: the International Tribunal for the Law of the Sea; the United Nations Joint Staff Pension Fund; the International Civil Aviation Organization; the International Maritime Organization; the United Nations Relief and Works Agency for Palestine Refugees in the Near East; the International Seabed Authority; and the International Court of Justice.",
"[8] See rule 7 (11) of the rules of procedure of the Administrative Tribunal of the World Bank (providing for the summary dismissal of cases that are considered to be “clearly irreceivable or devoid of merit”) and article VIII of the statute of the Administrative Tribunal of the Organization of American States (allowing the dismissal of a claim “based on lack of jurisdiction …, failure to satisfy the requirements of admissibility, or failure to make a claim upon which relief can be granted”).",
"[9] United Nations Appeals Tribunal judgement No. 2010-UNAT-57 (Fagundes).",
"[10] United Nations Appeals Tribunal order No. 49 (2011) (Finniss).",
"[11] United Nations Appeals Tribunal judgement No. 2011-UNAT-121 (Bertucci).",
"[12] The Secretary-General notes that the deadline for appealing judgements of the European Union Civil Service Tribunal is two months (see statute of the Court of Justice of the European Union, annex I).",
"[13] United Nations Appeals Tribunal judgement No. 2010-UNAT-62 (Bertucci).",
"[14] United Nations Administrative Tribunal judgement No. 1157, Andronov (2003), para. V.",
"[15] International Monetary Fund Administrative Tribunal judgement No. 1999-2 (Mr. “V” v. International Monetary Fund), paras. 104-114.",
"[16] World Bank Administrative Tribunal decision No. 384, (AA v. IBRD) (2008), paras. 49-50.",
"[17] General Assembly resolutions 48/218 B (on OIOS), 60/1 (on the Ethics Office) and 62/228 (on the Office of Staff Legal Assistance).",
"[18] United Nations Dispute Tribunal order No. 19 (NY/2010), para. 23.",
"[19] World Bank Administrative Tribunal decision No. 384 (AA v. IBRD) (2008), paras. 49-50.",
"[20] United Nations Dispute Tribunal order No. 010 (NBI/2011) (Abosedra), para. 60.",
"[21] United Nations Administrative Tribunal judgement No. 1396 (2008) (Wielechowski), para. VIII.",
"[22] United Nations Dispute Tribunal judgement No. 2010/68 (Chen) and United Nations Appeals Tribunal judgment No. 2011-UNAT-107 (Chen).",
"[23] United Nations Administrative Tribunal judgement No. 421 (Chatwani), para. VIII.",
"[24] United Nations Appeals Tribunal judgement No. 2011-UNAT-107 (Chen), para. 1.",
"[25] United Nations Dispute Tribunal Order No. 010 (NBI/2011) (Abosedra), para. 60.",
"[26] The records of the San Francisco Conference indicate that “a clear statement of the obligation of Members to meet the expenses of the Organization should be found in the Charter”. United Nations Conference on International Organization, Documents, Vol. VIII, p. 487.",
"[27] See, for example, UNDT/2010/025 (Kita).",
"[28] The present concept paper was prepared by the General Legal Division of the Office of Legal Affairs, in consultation with the United Nations funds and programmes. It should be noted that the United Nations Children’s Fund has reserved its right to opt out of the proposed simplified arbitration procedures."
] | A_66_275 | [
"Sixty-sixth session",
"Items 134 and 143 of the provisional agenda",
"Proposed programme budget for the biennium 2010-2011",
"Administration of justice at the United Nations",
"Administration of justice at the United Nations",
"Report of the Secretary-General",
"Summary",
"In its resolutions 61/261, 62/228 and 63/253, the General Assembly decided to establish an independent, transparent, professionalized, resourced and decentralized United Nations justice system, which was operational on 1 July 2009.",
"The Secretary-General is satisfied with the active recognition by the General Assembly in its resolution 851 of the implementation of the new system, in which the Assembly took note of the achievements of the new system since its establishment, including improvements in the handling of new cases, and commended all those involved in the management of previous systems to transition or implement the new system.",
"The General Assembly also recognized that the new system of administration of justice would evolve and noted the need for careful monitoring of its progress to ensure that the system was consistent with the guiding principles set out in the resolution establishing a new system of administration of justice, namely, that the system must be independent, transparent, professional, resourced and decentralized; that the system conforms to the relevant rules of international law and the rule of law principles and due process in order to ensure respect for the rights and obligations of staff and accountability for managers and staff.",
"In the present report, the Secretary-General presented the achievements of the new system of administration of justice during the period from 1 July 2010 to 31 May 2011. The treatment of cases at all stages of the formal system continues to show significant improvements in efficiency. During the period from 1 July 2010 to 31 May 2011, the Management Evaluation Unit received 390 requests for review, which were closed or resolved 281. In the same period, almost one third of the 850 cases responsible for the Office of Staff Legal Assistance were resolved. Between 1 July 2010 and 31 May 2011, 195 cases had been handed down in the various offices of the United Nations Dispute Tribunal on behalf of the Secretary-General; 90 cases had been handed down by the United Nations Appeals Tribunal in the cases handled by the Office of Legal Affairs.",
"However, the success of the system and the efficiency of the offices of the system have led to significant financial and human resources in these offices and sectors. As noted by the Secretary-General in his report on the administration of justice to the General Assembly at its sixty-fifth session (A/65/373 and Corr.1), a number of key areas must be strengthened with a view to maintaining the current pace of work and continuing to implement all mandates entrusted to the new justice system by the Assembly.",
"In its resolution 9851, the General Assembly requested the Secretary-General to provide data and information on the operation and related matters of the new system. The present report responds to these requests.",
"In addition, taking into account the experience gained so far, the present report requests additional resources of $8,677,900 (before recosting) under sections 1, 8, 19, 29A, 29C, 29D, 29E, 29G and 37 of the proposed programme budget for the biennium 2012-2013.",
"Contents",
"The Executive Board",
"Overview",
"The General Assembly established a new system of administration of justice through resolutions 61/261, 62/228 and 63/253. The system has two tribunals, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal, with professional judges, supported by the Registry in Geneva, Nairobi and New York. The General Assembly considered that legal assistance should be provided to staff. Accordingly, the new system also includes the Office of Staff Legal Assistance, with specialized legal officers in Addis Ababa, Beirut, Geneva, Nairobi and New York. In order to ensure the independence of the system, the Office of the Administration of Justice is responsible for the management of all sectors of the formal system, providing administrative, operational and technical support to the Tribunals, the Registry and the Staff Legal Aid Office and the Internal Justice Council.",
"The management evaluation is a mandatory first step in the formal administration of justice system and is carried out by the Department of Management and the funds and programmes administered separately. The Management Evaluation Unit of the Department of Management is composed of professional legal officers, first reviewing contested decisions. The Unit was established to provide management with an opportunity to correct inappropriate decisions or to take acceptable remedies for the deficiencies in the decisions taken to reduce the number of cases entering formal proceedings. Similar mechanisms exist for funds and programmes.",
"In addition to the increase in the number of cases, as the system is strengthened and professionalized, the various offices and departments representing the respondent Secretary-General require a significant increase in service.",
"The new system continues to make progress in dealing with a large number of cases transferred by the various departments of the old system. In order to prevent the backlog, the General Assembly appointed three ad litem judges to the United Nations Dispute Tribunal and appointed judicial personnel to support the work of judges.",
"Review of the formal administration of justice system",
"Management Evaluation Unit [2]",
"The Management Evaluation Unit, located in the Office of the Under-Secretary-General for Management, is the first step in the formal system of administration of justice. The core functions of the Unit are: (a) rapid management evaluation of contested administrative decisions relating to hiring contracts or terms of appointment; (b) assistance to the Under-Secretary-General for Management in providing prompt and reasonable responses to staff requesting management evaluations on evaluation findings; and (c) assistance to the Under-Secretary-General in ensuring the accountability of managers through ensuring that managers fulfil their responsibilities to manage the Organization's human and financial resources.",
"The Management Evaluation Unit received 823 cases from 1 July 2009 to 31 May 2011, of which 184 were in 2009, 427 in 2010 and 212 in 2011. In eight23 cases before it, the Unit completed and closed 665. As at 31 May 2011, the Unit made a recommendation for compensation in 18 cases with a total amount of $183,339.44. A breakdown of that amount is contained in annex III to the present report.",
"The management evaluation process has provided the Administration with the opportunity to prevent unnecessary proceedings before the Dispute Tribunal and to save the Organization. In the cases before and closed by the Unit in 2010, about 36 per cent were resolved informally through the Unit, the Office of the Ombudsman or through bilateral negotiations between the Administration and staff.",
"Following the determination by the Management Evaluation Unit that the decisions taken are in accordance with the rules and jurisprudence of the Organization, the Secretary-General has maintained a controversial decision in approximately 84 per cent of the cases submitted to the Unit but not resolved informally.",
"In accordance with the decision of the General Assembly to establish a judicial system, such as transparency (para. 4 of resolution 61/261), the Management Evaluation Unit shall, subject to the recommendation to maintain a disputed administrative decision, send a reasonable written response to the staff concerned on the basis of the management evaluation, including the fact of cases, the summary of cases of decision makers, the applicable rules and the jurisprudence of the Organization, and explain why the Unit considers that the disputed decisions are in compliance with applicable rules and jurisprudence and the final decision of the Secretary-General. The funds and programmes follow similar approaches in their management evaluation processes.",
"After the management evaluation process, staff members have the statutory right to submit cases to the Dispute Tribunal (General Assembly resolution 62/228, para. The Management Evaluation Unit is of the view that staff members are more likely to decide not to exercise their statutory right to appeal if they find fair, objective and accurate management evaluation procedures. The Unit also believes that the provision of reasonable written replies to staff after the completion of the management evaluation process is an important means of building credibility in the new system of administration of justice, in particular the credibility of the management evaluation process. The funds and programmes also share this view.",
"In order to determine how many staff members have made complaints to the Dispute Tribunal following the management evaluation of the disputed administrative decisions, the Management Evaluation Unit is implementing a follow-up mechanism in cooperation with the Office of Internal Justice.",
"As at 31 December 2010, 83 per cent of cases had been brought before the Dispute Tribunal after the management evaluation process, consistent with the recommendations of the Management Evaluation Unit. A number of key legal issues to be decided by the Court of Appeal remain in place and the limited capacity of the management evaluation unit is limited. Nevertheless, the similarity of the two opinions is instructive and can be seen as showing the impartiality, objectivity and accuracy of the Unit.",
"In assisting the Under-Secretary-General for Management in ensuring accountability, the Management Evaluation Unit regularly reviews the number of cases to identify trends and systemic issues, as described in its report. The Unit also provides secret support to the Under-Secretary-General in the compilation of the Guidance on Lessons Learned for Managers distributed to heads of offices and departments. The Guide to Lessons Learned by Managers recalls the jurisprudence of the Dispute Tribunal and the Appeals Tribunal and examines the manner in which the Tribunals interpret and apply the internal rules of the Organization. In 2010, the Under-Secretary-General circulated two volumes of the Guidance on Lessons Learned by Managers. In April 2011, the Under-Secretary-General issued the Guidance Notes, which is expected to circulate a further volume of the Management Lessons Learned Guidelines in the second half of 2011.",
"Legislative time frames",
"Following a request for management evaluation, management evaluations at Headquarters must be completed within 30 calendar days, with offices away from Headquarters completed within 45 calendar days (General Assembly resolution 62/228, para. In accordance with the conditions established by the Secretary-General, cases submitted to the Office of the Ombudsman may extend the deadline.",
"In the report of the Advisory Committee on Administrative and Budgetary Questions (A/65/557, para. 16), it was noted that these cases should be addressed in the best way by the staff members before the justice process; management evaluation functions were an important opportunity to deal with wrong administrative decisions and to avoid access to justice.",
"In accordance with the instructions of the Advisory Committee on Administrative and Budgetary Questions, if the Management Evaluation Unit determines that the disputed decision is not in accordance with the internal rules of the Organization, and the Under-Secretary-General for Management approved informal settlement, the Management Evaluation Unit will help to resolve directly between the parties. The experience of the Unit is that informal solutions require extensive consultations between the parties, which are usually more than the statutory time frame for the management evaluation. However, there is no provision in the regulations allowing the Secretary-General to suspend the management evaluation process with the consent of the parties involved in the case. The funds and programmes share this view, but point out that they have succeeded in doing so with the consent of the parties.",
"Similarly, staff members sometimes submitted requests for management evaluation and, on their own initiative or on the management evaluation unit, requested additional material. In such cases, there is no provision in the regulations to extend the time frame for the evaluation.",
"The Management Evaluation Unit is of the view that strict compliance with the statutory time frame allows staff to receive unfull or inaccurate management evaluations, leading to unnecessary recourse to the Dispute Tribunal. In order to avoid such results, the current approach of the Unit is to request staff to agree on an extension time frame for informal settlement of cases or, where additional information is required to properly complete the management evaluation process. The Unit is of the view that no cases have been completed within the relevant statutory time frame or that no cases have been closed in a timely manner within the time frame agreed by the staff; staff agreed that the extension period was intended to facilitate informal settlement of the case or obtain the necessary additional information to ensure that the evaluation is comprehensive. The funds and programmes share this view and point to their successful compliance with the statutory deadlines for all cases to date.",
"One of the staffing establishment of the Management Evaluation Unit is the Chief of Unit (P-5), two Legal Officers (P-4), one Legal Officer (P-4) (General temporary assistance) and three Legal Assistants (General Service (Other level)). However, the current human resources of the Unit are not sufficient to meet the mandate of the Unit, which has had to use, as appropriate, a limited budget funding that could be disposed of to temporarily supplement a legal post.",
"The Management Evaluation Unit is of the view that the number of cases processed during the operation of the last two years has proved necessary to increase the number of legal posts at the third P-3 level. These figures indicate that users of the new system of administration of justice have surpassed the previous system. In addition, based on data collected in the caseload, the Unit anticipates that the number of cases processed in 2011 is at least the figure for 2010 (approximately 427).",
"The Management Evaluation Unit notes that, in 184 cases received in 2009, the number of cases submitted in the fourth quarter fell by 23 per cent compared to the third quarter. The Unit notes that, in 427 cases submitted in 2010, there has been a steady increase in the cases submitted in the previous two quarters, followed by a decrease in the cases submitted in the third and fourth quarters. The Unit notes that 57 per cent of the cases submitted in 2010 were submitted for the period from 1 January to 30 June 2010, 43 per cent for the period from 1 July to 31 December 2010 and a significant decrease in the number of cases submitted for the period from 1 October to 31 December 2010. Finally, the Unit notes that the number of cases submitted for the period from 1 January to 31 May 2011 increased compared to the number of cases submitted from 1 July to 31 December 2010. The Unit received 183 cases in the second half of 2010, while 212 cases were received in five months prior to 2011, equal to the number of cases before May 2010.",
"The Management Evaluation Unit considers that the decrease in the number of cases submitted in the last quarters of 2009 and 2010 and the rise in the number of cases in the two quarters of 2010 and 2011 may indicate a new cycle change. However, the total number of cases before 1 July 2009 to 30 June 2010 is projected to be equal to the number of cases before 1 July 2010 to 30 June 2011 (approximately 427).",
"As noted above, timely and justified management evaluation is essential to the successful conclusion of the management evaluation unit's mandate. Since February 2010, the Unit has completed its mandate by increasing the availability of funds at the discretion of a temporary legal post. In addition, the above figures indicate that the Unit can make use of existing staffing tasks because of the fact that the staff have been working over time, delaying annual leave or no annual leave.",
"Therefore, the Management Evaluation Unit considers that the request for an additional Legal Officer (P-3) post in such cases is conservative, as a new legal officer cannot fully fill the gap between the number of persons ortimes required to complete the Unit's mandate each year (828) and the staff member/time (463) who normally require work each year.",
"For the above reasons, the Secretary-General recommends that a Legal Officer at the P-3 level be added to strengthen the Management Evaluation Unit.",
"United Nations Dispute Tribunal",
"Composition of the United Nations Dispute Tribunal",
"On 2 March 2009, the General Assembly elected three full-time judges and two half-time judges of the Dispute Tribunal. The General Assembly then elected three ad litem judges for a term of one year to assist in dealing with the backlog of cases transferred by the old system. At the time of writing, the composition of the Dispute Tribunal was as follows:",
"(a) Judge Vinod Blair (Mauritius), a dedicated judge in Nairobi;",
"(b) Judge Mhamed Ibrahim-Kastens (Botswana), full-time judges in New York;",
"(c) Judge Thomas Lak (Germany), Special Judge in Geneva;",
"(d) Judge Guam Huson Kadir Milan (United Kingdom of Great Britain and Northern Ireland), half-time judges;",
"(e) Judge Coral Short (New Zealand), half-time judges;",
"(f) Judge Jean-François Cosan (France), ad litem judges in Geneva;",
"(g) Judge N Kendim Amelia Izuako (Nigeria), ad litem judges in Nairobi;",
"(h) Judge Mayine Karmann (United States of America), ad litem judges in New York. [3]",
"At its sixty-fifth session, the General Assembly decided to extend the mandate of three ad litem judges and their associates for a further period of six months until 31 December 2011 (see resolution 39/51).",
"Election of the President",
"At the plenary meeting held in Nairobi from 28 June to 2 July 2010, Judge Thomas Lak was elected President and for a term of one year from 1 July 2010 to 30 June 2011.",
"Plenary meetings",
"Since 1 July 2010, the judges of the Tribunal held two plenary meetings (Geneva, 13-17 December 2010 and New York, 27 June-1 July 2011.",
"General activities of the United Nations Dispute Tribunal",
"During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal received 170 new cases. As at 31 May 2011, 254 cases were pending.",
"Of the 170 cases before the reporting period, 108 cases were received from the Secretariat (other than peacekeeping and political missions), including regional commissions, offices away from Headquarters, the International Criminal Tribunal for Rwanda, the International Tribunal for the Former Yugoslavia and departments and offices; 19 cases from peacekeeping missions and political missions; 43 cases from the Office of the United Nations High Commissioner for Refugees (UNHCR), the United Nations Development Programme (UNDP), the United Nations Children's Fund (UNICEF)).",
"Cases previously transferred to the United Nations Dispute Tribunal",
"On 1 July 2009, after the cancellation of the Joint Appeals Boards and Joint Disciplinary Committees in Geneva, Nairobi, New York and Vienna, 169 cases to be processed were transferred to the Dispute Tribunal: 61 cases were transferred to the Geneva Registry; 55 cases were transferred to the Nairobi Registry; 53 cases were transferred to the New York Registry. From 1 July 2010 to 31 May 2011, 29 of these cases were processed.",
"On 1 January 2010, the United Nations Administrative Tribunal transferred 143 cases to the Dispute Tribunal. These cases are distributed in the Registry of the Dispute Tribunal as follows: 51 in Geneva, 40 in Nairobi, 52 in New York. Between 1 July 2010 and 31 May 2011, 76 of these cases have been processed.",
"As at 31 May 2011, 65 cases transferred from previous systems were pending: 10 cases of the Joint Appeals Board and the Joint Disciplinary Committee and 55 United Nations Administrative Tribunal cases.",
"Number of judgements, orders and hearings",
"Between 1 July 2010 and 31 May 2011, the Dispute Tribunal issued 195 judgements, 638 orders and 229 hearings.",
"Cases before the Mediation Division",
"During the period from 1 July 2010 to 31 May 2011, the Dispute Tribunal identified 13 cases suitable for mediation and referred them to the Mediation Division of the Office of the Ombudsman. At the time of writing this report, six of these cases have been successful in mediation.",
"Purposes of cases before the Dispute Tribunal",
"During the reporting period, the nature of cases before the Dispute Tribunal could be divided into six main categories: (a) matters relating to appointment; (b) benefits and entitlements; (c) classification; (d) disciplinary matters; (e) separation; and (f) other.",
"Of the 170 cases considered during the reporting period, 56 were related to appointments; 19 were related to welfare and entitlements; 2 were related to classification; 33 were related to disciplinary matters; 28 were related to separation; 32 related to other matters.",
"Issues relating to the staffing of the Dispute Tribunal and its Registry",
"As detailed above, the workload of the Dispute Tribunal has been high and the need for expeditious completion has placed great burden on the judges and staff of the Tribunal. The appointment of three ad litem judges and the extension of their term of office resulted in significant progress in the Dispute Tribunal in dealing with the backlog of cases left by the previous system. However, from the new cases raised, it is clear that the case will soon be a backlog if the positions of ad litem judges were cancelled by the end of 2011. This would result in criticized shortcomings in the previous system — delays and the fact that the new system would face every day.",
"The courts have created dispersion and ensured that the applicant is more vulnerable to the use of judicial means. In order to maintain that facilitation, it is essential that each location of the Dispute Tribunal maintain two full-time judges. If there is only one judge on a given ground, and the judge is in the absence of leave, illness or resignation, which has caused the location to stop its operation, then the establishment of a dispersal court would be completely ineffective. Similarly, in cases where a judge is to avoid, the case naturally needs to be transferred to another location away from the applicant. Only at least two judges at each court location will it be effective to establish three judges' chambers. In addition, the provisions in the regulations stipulate that the application for suspension must be dealt with within five days, while only one judge is almost impossible to deal with substantive requests, which must affect the processing of substantive applications. Finally, the President of the Dispute Tribunal guiding the work of the Court and the Registry will depend on the other judges at the duty station and their support to maintain the pace of the trial of the case.",
"The work of the judges of the Dispute Tribunal is not limited to the judgement. Other necessary functions mentioned in this section indicate that the second full-time judge at each duty station is absolutely necessary. The judges of the Dispute Tribunal closely monitor progress in all cases from the application to the final judgement. Such inspections may include: (a) the holding of case management hearings; (b) the decision on pretrial requests; and (c) the issuance of pre-trial orders. In addition, the judge must hear a suspension of the application within five days' statutory time frame. In order to facilitate administrative work, judges at each location (Geneva, Nairobi and New York) meet regularly with Registry staff to ensure regular and timely processing of cases. They also hold biweek meetings in a videoconference manner that allows better communication among judges and make important decisions on the harmonization of the practices of the three Registrys. Judges are also responsible for drafting the Rules of Procedure; the Tribunal has submitted to the General Assembly recommendations for amendments to the Rules of Procedure. In addition, the judges are responsible for the publication of the Rules of Procedure so that the parties in the case are aware of the procedures that the Court wishes to comply. In the light of the fact that there is no judicial recuperation in the calendar of the Dispute Tribunal to date, the Tribunal will perform all of the above-mentioned functions in addition to the fulfilment of its core judicial functions, such as the determination of the merits and the issuance of the judgement.",
"After two years of operation, the Tribunal is still in the “push” phase. Given the different legal context of judges, in order to ensure that the Court is a unified judiciary that is conducive to the Organization and its staff and that it ensures consistency in its jurisprudence, the Court needs to maintain continuity among judges and supporting personnel.",
"The General Assembly therefore recommends to the General Assembly the appointment of a second full-time judge for all locations of the United Nations Dispute Tribunal. These judges must also receive the necessary support from legal officers and administrative staff. The Secretary-General therefore recommends that P-3 Legal Officers (one in Geneva, Nairobi and New York) and legal assistants (one in Geneva, 1 in General Service (Other level), 1 in New York, 1 in General Service (Other level) and 1 in Nairobi, 1 in General Service (Local level) posts be regularized.",
"In addition, the staffing of the New York Registry is not common. The staffing of the Geneva and Nairobi Registry is one of the Registrars (P-5) and Legal Officers at the P-4 and P-3 levels, while the staffing of the New York Registry is one of the Registrars (P-5) and Legal Officers at the P-4 and P-2 levels. There is no operational basis for such differences; in fact, the New York Registry will benefit greatly if the second legal officer of the New York Registry is higher at the P-3 level. It is therefore proposed that the post of Legal Officer at the P-2 level in New York be reclassified to the P-3 post.",
"Issues other than staffing",
"Trial room",
"Since the new system must be professional, and given that the court hearings will generally be open to the public, the Court must have the facilities that are required by the professional courts at all locations and should be sufficient to accommodate public hearings.",
"The premises in the three locations of the Tribunal have been provided, but the construction of permanent courtrooms remains pending.",
"In New York, as a result of the implementation of the capital master plan, the temporary courtroom is located in the Office of the Administration of Justice. The courtroom has been available but, as an ad hoc temporary site, it is not possible to proceed with the simultaneous interpretation. At the planning stage, due consideration has been given to ensuring that equipment and furniture for temporary sites are removed to the extent possible after the completion of the capital master plan and that they are installed in the permanent premises of the Tribunal. However, arrangements for the establishment of a permanent courtroom for the Dispute Tribunal in New York after the completion of the capital master plan have not yet been made. In Geneva, there has been a permanent space for the trial room, but without further construction, interpretation is not available here. A dedicated permanent trial room is being constructed in Nairobi. However, the budget for the Office of Internal Justice for 2010-2011 did not provide for the construction and configuration of the courtroom. The requirements for the construction and staffing of the courtroom are included in section 34 of the budget for the biennium 2012-2013.",
"b. Travel and communications",
"In its resolution 9851, the General Assembly reaffirmed that another important task of the new system was decentralized. The Dispute Tribunal and its Registry are located in Geneva, Nairobi and New York. The Tribunal serves staff at all duty stations around the world, with a wide geographical coverage at each location. The Tribunal's success in such a decentralized operation depends to a great extent on the ability of the Tribunal and its Registry to communicate with each other and to communicate with the parties and witnesses of the cases before the Tribunal.",
"At the time of the hearing of the Dispute Tribunal, participants were able to participate fully in the proceedings and the judges would be very important to assess the conduct of witnesses. For both purposes, the cost would be extremely costly, and it was therefore envisaged that those activities would be carried out mainly through videoconferencing. However, the costs associated with videoconferencing are also high. The current lack of provision for communications makes it impossible for the Tribunal to make effective use of videoconferences. In addition, it is important to ensure that oral hearings are recorded in a manner that reflects the views of the parties and the judiciary so that the proceedings are accurately recorded so that the transcripts can be recorded for possible subsequent appeal proceedings. The Secretary-General therefore recommends that an additional amount of $25,000 for the Office of the Administration of Justice be added under the subsection of communications to cover the costs of using video holding oral hearings and case chambers as well as biweek meetings of judges and Registrars of the United Nations Dispute Tribunal in order to ensure the quality and reliability of the record of the oral hearings and, if necessary, a transcript for subsequent appeal proceedings.",
"In accordance with the Statute, the Dispute Tribunal may order itself to appear before the Court if it considers that the person of the parties or witnesses is essential to the proceedings. In addition, hearings cannot be held in Nairobi because of the poor or unreliable quality of the video link and the inability of interpreters to communicate effectively with telephone links. This is particularly true in cases at African duty stations. Although such circumstances are not frequent, this has occurred in the first two years of operation of the Dispute Tribunal and is still expected to continue.",
"Moreover, judges and the Registrar must not be able to discuss common issues and respond to them in a uniform manner. In addition, the maintenance of a specialised system is a crucial aspect of providing training opportunities to judges and legal staff to strengthen their legal skills and participate in academic discussions among judicial peers. The current budget does not take into account the question of holding plenary meetings between the judges and the Registrar of the Dispute Tribunal. Moreover, judges and legal staff of the Registry are often invited to participate in legal seminars, but they cannot participate because of a serious shortage of budgets in official travel. This seriously affects their ability to strengthen skills, interact with peers and share knowledge. The Secretary-General therefore recommends an increase of $15,000 in the travel budget of the Office of the Administration of Justice.",
"c. Mechanisms for handling complaints against judges",
"A question relating to the operation of the Dispute Tribunal would also affect the Appeals Tribunal, namely the lack of a mechanism to deal with complaints against judges of the Tribunals. Effective complaints against judges will directly affect the independence, professionalism and accountability of the new system of administration of justice. However, no entity or body has been authorized to carry out the necessary factual investigation, to make decisions, impose sanctions or make recommendations to the General Assembly on the effectiveness of the complaint.",
"In its report to the General Assembly at its sixty-fifth session, the Internal Justice Council expressed concern about the absence of any mechanism to deal with complaints against judges and indicated that it considered it a matter of urgency (see A/65/304, para.",
"The Secretary-General understands that the Internal Justice Council intends to present a recommendation to address complaints against judges of the Tribunals in his report to the General Assembly at its sixty-sixth session. As no mechanism is being put in place, as an interim measure prior to a decision on a standing mechanism, the General Assembly may wish to authorize the Council to investigate complaints against judges, including those already submitted, and to report and make recommendations to the General Assembly for any action it may consider appropriate.",
"With regard to a possible standing mechanism, the Secretary-General, on the basis of his previous report (A/63/314, paras.",
"This allegation will be reported to the President of the Tribunal when the allegation of misconduct or incapacity of a judge is raised. The President will then conduct a proper investigation of the allegations, first of all by identifying an appropriate investigation procedure before the appointment of a panel of experts to investigate them. The investigation will apply all necessary appropriate procedures to the accused judge, such as the opportunity to respond to the allegations and to present the relevant evidence. If the allegations were directed against the President of the relevant court, the most senior of the other judges of the Tribunal was charged to the Dispute Tribunal. If charged with the President of the Appeal Court, the charges were brought before the first Vice-President of the Tribunal.",
"Once an investigation has been conducted, the results of the investigation will be reviewed by all the courts concerned, but the investigating judge shall not participate. The President or the Acting President will report this matter to the General Assembly and request that the judge be dismissed if all judges agree that the evidence of the misconduct or incapacity of the act is sufficient and the gravity of the problem is sufficient.",
"The President or the Acting President will be entitled to take appropriate corrective measures in the light of the circumstances, even if the act is found to be sufficient, without reaching the extent to which it should be removed. Reports on the disposition of complaints are submitted annually to the General Assembly. In addition to this recommendation, another approach is to amend the terms of reference of the Internal Justice Council, which is responsible for investigating and making recommendations on any complaints received by the judges of the Tribunals. When a judge is charged with misconduct or incapacity, the charge will be sent to the President of the Council. The Council will then conduct a proper investigation of the allegations, first of all by identifying an appropriate investigation procedure to apply all the necessary appropriate procedures for the alleged judge, such as the opportunity to respond to the allegations and to present the relevant evidence.",
"Once an investigation has been conducted, the results will be reviewed by the Internal Justice Council. If the Council determines that the evidence of misconduct is sufficient, the President will report the matter to the General Assembly and make recommendations on appropriate penalties.",
"For the two options mentioned above, the category of misconduct of judges requiring penalties would be a violation of the Code of Conduct of Judges prepared by the Internal Justice Council in accordance with resolution 62/228 and submitted to the General Assembly in document A/65/86 or a violation of the Regulations on the Status, Basic Rights and Duties of non-secretariat officials and experts, as set out in the Secretary-General's bulletin ST/SGB/2002/9.",
"C. United Nations Appeals Tribunal",
"Composition of the United Nations Appeals Tribunal",
"On 2 March 2009, the General Assembly elected the following seven judges:",
"(a) Judge İlz Winterg Deroga (Argentina);",
"(b) Judge Jean Kitaya (France);",
"(c) Judge Sofia Adenyira (Ghana);",
"(d) Judge Marc Pert (United States of America);",
"(e) Judge Kamaljte Singh (India);",
"(f) Judge Roberto Boyko (Canada);",
"(g) Judge Luis Maria Simón (Uruguay).",
"On 11 October 2010, Judge Rose Boyko delivered a statement for personal reasons, resigned her position in the Appeals Tribunal and entered into force on 15 January 2011. On 28 January 2011, the General Assembly appointed Judge Marie Fahti (Ireland) in the electoral process to replace Judge Rose Boyko.",
"Election of the President and Vice-President",
"On 30 June 2010, the Court of Appeal elected Judge Kityael as President, Judge Adinajira and Judge Garriba, respectively, for a term of office of 1 July 2010 to 30 June 2011.",
"The judges of the Appeals Tribunal held a plenary meeting on administrative and operational issues at the beginning and conclusion of each of the five sessions.",
"Judicial statistics",
"From 1 July 2010 to 31 May 2011, the Appeals Tribunal received 105 new appeals: 7 appeals against the United Nations Joint Staff Pension Board (UNJS), 5 against the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), 1 against the International Civil Aviation Organization and 92 judgements and orders against the Dispute Tribunal (65 by staff and 27 appeals were made on behalf of the Secretary-General in response to the judgements and orders of the Dispute Tribunal).",
"In 2010, the Appeals Tribunal held two sessions in New York from 21 June to 2 July and from 18 to 29 October, and in New York from 28 February to 11 March 2011. During the reporting period, the Court rendered 96 judgements. The Second Court of 2011 was held in Geneva from 27 June to 8 July to hear 34 cases.",
"Outcomes of case disposal",
"During the reporting period, the Appeals Tribunal rendered 96 judgements. [4] One of these judgements relates to appeals against the Pension Board, in which the Appeals Tribunal upheld the decisions of the Standing Committee. Four sentences were upheld by the Commissioner-General of UNRWA.",
"83 judgements were rendered in respect of appeals against judgements of the Dispute Tribunal. These judgements have taken decisions on 54 appeals by staff and 29 appeals on behalf of the Secretary-General. The Appeals Tribunal dismissed 46 of the 54 appeals made by the staff and accepted 3 and returned five to the Dispute Tribunal. Of the 29 appeals made on behalf of the Secretary-General, 9 were dismissed, 19 were accepted in whole or in part, and one was returned to the Dispute Tribunal. In 12 cases, the Appeals Tribunal reversed or modified the award of compensation to the Dispute Tribunal.",
"During the reporting period, the Appeals Tribunal had before it two requests for interpretation, two requests for review, two requests for corrections, three requests for corrections and one request for suspension of the judgement and rejected all 10 requests.",
"As at 31 May 2011, 95 applications/requests were pending before the Appeals Tribunal.",
"Issues relating to the operation of the United Nations Appeals Tribunal and its Registry",
"The judges of the Appeals Tribunal meet during the court period to discuss and make judgements in accordance with the requirements of the trial workload, in general, three times a year. The large number of cases prepared by the Registry's legal and administrative staff is crucial to this process. Although the funding structure and operation methods of the Appeals Tribunal are modelled by the same number of judges as the International Labour Organization (ILO) Administrative Tribunal, [5], the operation of the ILO Administrative Tribunal has six full-time professional legal personnel and three General Service staff, as required. In contrast, only two Professionals and three General Service staff members of the Registry of the Appeals Tribunal assisted the Court.",
"The Appeals Tribunal is a review chamber to consider appeals from both staff and management. In accordance with article 2, paragraph 10, of the statute of the Appeals Tribunal, the Secretary-General has also signed agreements with seven bodies to enable them to use the Tribunal as an administrative tribunal. Since this is a new system, appeals from both staff and management are large. The number of cases brought before the Court of Appeal last year was replicated with the workload of the ILO Administrative Tribunal, which dealt with approximately 110 cases each year and had not resulted in a backlog of cases.",
"The current staffing of the Registry is not sufficient to fully support the functioning of the Tribunal and to enable it to deal with cases in a timely manner. Two legal officers were not sufficient to prepare more than 100 cases each year. This would inevitably result in a backlog of cases and increased delays, which is one of the most critical aspects of the former system of administration of justice. This would once again result in serious disruptions to the reform. The prolonged delays between the judgement of the Dispute Tribunal and the final appeal decision are particularly undesirable, as the result of a case may address a particular legal issue, thereby reducing the number of future cases.",
"An additional P-4 Legal Officer is required to ensure the ability of the Registry to function effectively. Given the complexity of many cases and the speed necessary to deal with them, the Registry needs more experienced personnel. A Legal Officer at the P-4 level could be instructed to follow up on the legal aspects of the work of the Registry by the existing staff, thereby enabling the Registrar to free the hands and focus on comprehensive oversight, communication with judges and other stakeholders and technical and administrative support for the Tribunal.",
"In addition, a more senior legal officer will be able to provide judges with more substantive legal assistance and independent responses, thereby enhancing efficiency and responsiveness. Such a legal officer would share administrative functions with the Registrar and would act as an agent in the absence of the Registrar. Taking into account the workload in the case, and taking into account the need for adequate legal assistance from the Appeals Tribunal to make it operational in the best situation, the Secretary-General recommends that the General Assembly establish an additional Legal Officer at the P-4 level to strengthen the United Nations Appeals Tribunal Registry.",
"In its resolution 9851, the General Assembly approved the establishment of one additional General Service (Other level) position to support the work of the Appeals Tribunal. The Secretary-General notes that the support provided by this position is useful. However, there is an urgent need for an additional legal officer with appropriate qualifications to support the work of the judges of the Appeals Tribunal. Taking into account this situation, and noting the current budgetary constraints, the Secretary-General recommends that this post be not continued.",
"In accordance with article 4, paragraph 2, of the Statute, the Appeals Tribunal shall “shall be held on a regular basis in accordance with the date specified in its rules of procedure, subject to a hearing by the President of a sufficient number of cases. Based on the experience gained during the initial years of operation of the Tribunal and taking into account the number of appeals to the Tribunal, it is expected that the Appeals Tribunal will have sufficient cases to hold three times a year. However, the Secretary-General points out that the current budget for travel of the Tribunal is not sufficient to cover the costs of the three sessions. The Secretary-General therefore recommends that an additional $230,000 be made available for the Office of the Administration of Justice in the context of the budget for 2012-2013 to enable the United Nations Appeals Tribunal to hold its first three sessions when required.",
"In paragraphs 155 to 164 of his previous report (A/65/373), the Secretary-General reported on the status of judges and their entitlements. In that report, the Secretary-General recommended that the judges of the Appeals Tribunal also enjoy the amount of travel and daily subsistence allowance previously provided to former United Nations Administrative Tribunal judges. In paragraph 50 of its resolution 9851, the General Assembly decided to consider again in the budget for the period 2012-2013 the question of the treatment and daily subsistence allowance of judges of the Appeals Tribunal. The Secretary-General remains of the view that this will be appropriate and therefore recommends an increase of $5,200 in the travel budget of the Office of the Administration of Justice to reflect this.",
"Staff Legal Aid Office",
"The Staff Legal Aid Office still faces many challenges. The Office comprises seven Legal Officers funded through the regular budget (3 in New York, 1 in each of the four Satellite Offices in Addis Ababa, Beirut, Geneva and Nairobi) and 3 General Service (in New York). As at 1 January 2011, the Staff Legal Aid Office was provided with one additional Professional staff at the P-3 level in Nairobi to assist cases involving field mission personnel. This position is funded for one year through the support account for peacekeeping operations.",
"Despite the decentralization of a limited number of duty stations, the Office of Staff Legal Assistance has achieved considerable achievements in its first two years of operation. The Office continued to successfully address a large number of requests for assistance from staff around the world with limited administrative assistance.",
"As at 1 July 2010, there were 432 cases pending before the Staff Legal Assistance Office. [6] From 1 July 2010 to 31 May 2011, the Office received 425 new cases. In addition to the number of pending cases as at 1 July 2010, the Office was involved in 857 matters. Of these, the Office was able to close or find other solutions cases of 265. As at 31 May 2011, the Office also had nearly 600 cases. In the second year of the operation of the Office, the number of requests submitted by staff to the Office for the processing of matters, in particular the number of locations outside the seat of the three chambers of the Dispute Tribunal, constitutes a great strain on their limited resources.",
"The Office of Staff Legal Assistance provides staff with a wide variety of legal assistance, including the provision of brief legal advice and the appearance of staff on the Tribunals. An informal solution or help staff understand that their official complaints are less likely to be successful may require considerable time.",
"A limited staff response to a large number of requests for assistance remains the biggest challenge for the Office. Legal officers working independently outside New York are particularly difficult and have no local administrative support. These legal officers must therefore be alone in responding to the heavy workload and to most of the administrative services of the Office.",
"The Staff Legal Aid Office was assisted by relevant voluntary lawyers, legal interns and external public good lawyers. Regrettably, their numbers were not sufficient to address the shortage of human resources in the Office. Offices away from Headquarters are now difficult to find qualified volunteers, internships and public interest assistance, raising fears that the Office's presence is largely limited in New York.",
"The General Assembly reiterated its request to the Secretary-General, in cooperation with the Staff Association, to develop incentives to encourage staff to continue their participation in the work of the Staff Legal Assistance Office. In June 2011, this matter was considered at the sessions of the Staff and Management Coordination Committee. It was noted that management and staff representatives remained divergent on what should be done. Therefore, staff and management decisions should continue to be consulted on this issue.",
"The Staff Legal Aid Trust Fund established by the Office of the Administration of Justice in January 2010 did not provide sufficient resources to effectively assist the Office of Staff Legal Assistance to increase its human resources, even if there was no temporary increase.",
"Based on the experience of the first two years of operation of the Staff Legal Assistance Office, the Secretary-General believes that the current staffing of the Office must be strengthened so that it can complete its mandate. As indicated in the Secretary-General's report to the General Assembly at its sixty-fifth session, the Office is particularly lacking in legal officers at the higher level, since only one of the current Professional staff is above the P-3 level. For that reason, the Secretary-General recommends the addition of two additional P-4 posts (in Nairobi and New York) to strengthen the Office of Staff Legal Assistance.",
"The ability of the Office of Staff Legal Assistance to operate efficiently is also undermined by the lack of administrative support outside New York. Because all administrative support is provided by Headquarters, staff members must initiate their cases through contact with the offices in New York. This sends a clear message to staff that, despite the commitment to a decentralized system, the core operations are still under way at Headquarters. For that reason, the Secretary-General recommends that two additional General Service (Other level) posts be provided with administrative support in Geneva and Nairobi to strengthen the Office of Staff Legal Assistance.",
"At its sixty-fifth session, the General Assembly agreed with the Secretary-General that the capacity of the Office of Staff Legal Assistance to serve field missions should be strengthened. Accordingly, the General Assembly approved the temporary establishment of one P-3 position, based in Nairobi, to assist staff in field missions. The position was funded for one year through the support account for peacekeeping operations, from 1 January to 31 December 2011. In view of the continuing trend in a large number of cases involving staff in field missions, thus demonstrating the continuing need and taking into account the participation of the Department of Field Support and the Department of Peacekeeping Operations in continuing funding for the formal system in accordance with the cost-sharing approach, the Secretary-General recommends that a one-year post dedicated to the provision of assistance to field mission staff be established in Nairobi and funded by the support account for peacekeeping operations.",
"Non-post resources allocated to the Staff Legal Assistance Office are not sufficient to allow their regular functioning. Because of the decentralized work of the Office, all public service coordination and consultations with a large majority of clients must be conducted through e-mail, telephone and video links. Nevertheless, the Office's communications budget was not sufficient to allow it to carry out a small number of telephone and video-linked communications. In addition, staff members from the decentralized offices in all parts of the globe must also be able to communicate with each other outside the office and outside the normal course. Although the use of thinkable telephone equipment, such as Black facilities, contributes to communications, the current budget is not sufficient to cover the cost of using those equipment. For that reason, the Secretary-General recommends an increase of $11,200 in the 2008-2009 budget communications project.",
"While the travel of personnel is not common, it is sometimes impossible to avoid. Legal officers working at offices away from Headquarters will serve a wide range of geographical areas, including many field missions. If staff members are to be able to effectively utilize the services of the Staff Legal Assistance Office, particularly in the field, legal officers will have to visit their duty stations where staff are present, meet with clients and local administrations to facilitate the resolution of disputes on an informal basis. The Legal Officers of the Office in Addis Ababa and Beirut may need to represent their clients at the Court's hearings in accordance with the orders of the Dispute Tribunal. Currently, the Office of Staff Legal Assistance does not have the travel budget to meet any such critical needs. The Secretary-General therefore recommends an increase of $15,000 in the travel details of the Office in the context of the budget for 2012-2013.",
"Finally, the current budget of the Office, in particular the budget of offices outside New York, is not sufficient to meet basic office needs, such as renting or buying a photocopy and scanning, as well as the purchase of necessary office supplies, such as paper, document folding, releasing and writing. The lack of such basic accommodations in only one office away from Headquarters makes the difficulties faced by legal officers who are isolated. For that reason, the Secretary-General recommends an increase of $9,000 in the provision of supplies and materials in the budget for 2012-2013.",
"E. Office of the Executive Director",
"Review of the Office of the Executive Director",
"In addition to the reply of the Secretary-General, the Office of the Executive Director also oversees the implementation of all elements of the formal system. The Office consists of the Executive Director, the Special Assistant, two information technology experts and one administrative assistant responsible for providing administrative, operational and technical support to the Tribunals, the Registry and the Staff Legal Aid Office. Such operational support includes coordination with other relevant offices to facilitate the establishment of a temporary courtroom facility in New York and similar efforts aimed at providing permanent offices and courtroom facilities for the Office of the Administration of Justice at the completion of the capital master plan.",
"In addition to providing day-to-day support for the above-mentioned units, the Office of the Executive Director is responsible for coordinating the preparation of the report of the Secretary-General in accordance with the relevant resolutions of the General Assembly. The Office also represents a formal system within the United Nations and in all matters requiring intersectoral coordination and consultation.",
"One of the achievements of the Office was the establishment of the Office of Internal Justice website, which was launched on 28 June 2010, using all six official languages. The website (www.un.org/en/oaj) is accessible and provides practical and progressive information on all aspects of the formal system. In May 2011, the number of visits to the site was 7,690, an increase of 13 per cent over the previous month. Since the launch of the website, the number of visits was approximately 7,000. Overall, the use of the website has increased. The Office of the Administration of Justice continued to improve the website, including the establishment of the functionality of search orders and judgements of the Tribunals, as requested by users.",
"Another important milestone was the launch on 6 July 2011 of an electronic system for web-based case management to enable staff to submit and monitor their cases electronically from any duty station. The system is expected to improve efficiency, reduce delays and improve the functioning of the two Registrys. In addition, the implementation of the case management system opens the door to the various elements of a formal system for staff worldwide.",
"The Office has also successfully negotiated agreements with all entities using the United Nations Administrative Tribunal in the previous system, in accordance with article 2, paragraph 10, of the statute of the Appeals Tribunal. [7] These agreements signed by the Secretary-General enable these entities to use the Appeals Tribunal as an administrative court.",
"In addition to the role played in the preparation and coordination of the report on the administration of justice to the General Assembly, the Office of the Executive Director provides substantive assistance, if necessary, for the organization of the elections of the judges of the Tribunals.",
"Another important function of the Office of the Executive Director is to support the work of the Internal Justice Council, including the preparation of reports to the General Assembly pursuant to resolution 62/228, and the dissemination of their views on the implementation of the new system of administration of justice.",
"The Office also provides substantial administrative and technical support to the Internal Justice Council, which assists the General Assembly in identifying candidates for judicial vacancies. On 30 June 2012, those positions would be vacant when the three-year term of office of judges of the Dispute Tribunal and the Appeals Tribunal expired.",
"Issues relating to the functioning of the Office of the Executive Director",
"The Office of the Executive Director is the focal point for the organization of work for all substantive units within the Office of the Administration of Justice. The Executive Director has a great role and function. The Executive Director plays a significant role in maintaining the independence of the formal system and is to coordinate the various independent elements of the formal system, including oversight and coordination of the work of the Registry and the Staff Legal Aid Office. The Executive Director also has a formal system within the United Nations and liaison with heads of United Nations departments, including the Ombudsman and the Mediation Service.",
"In paragraph 34 of its resolution 9851, the General Assembly requested the Secretary-General to make recommendations at the appropriate level of post of the Executive Director of the Office of the Administration of Justice. In the opinion of the Secretary-General, this issue should not be considered separately from a conclusive issue, namely, the level of remuneration and the compensation mechanism of the judges of the two Tribunals. The judges of the Tribunals are non-staff officers. For judges of the Dispute Tribunal, their full-time work is paid in the fourth position at the D-2 level. The judges of the Appeals Tribunal are not part-time, but the number of annual sessions takes decisions on the case. Their remuneration is not subject to any specific post level, but is paid at each judgement. The main drafters of a judgement received $2,400 and each other signatory received $600. The experience gained over the past two years shows that such a pay mechanism raises a number of issues related to the functions of the Court of Appeal. The Secretary-General therefore recommends that the General Assembly request the Internal Justice Council to review, as appropriate, the issue of the level of remuneration and the compensation mechanism of the judges of the Tribunals and to report thereon to the Assembly at its sixty-seventh session, at which time the Assembly will consider the report of the Council on this matter in conjunction with the appropriate post levels of the Executive Director of the Office of Internal Justice.",
"As noted above, the mandate of the Office is very broad and one additional legal officer is required to assist in the conduct of a large number of work. Professional staff in the Office of the Executive Director are legal and information technology experts, with limited experience in key administrative areas, especially in United Nations budgeting.",
"The addition of one Legal Officer with administrative and budgetary experience and one administrative support position is clearly beneficial to the Office. However, given the financial constraints, no additional resources are required in this regard.",
"The Office of the Administration of Justice is responsible for promoting the work of the Internal Justice Council. This independent body, consisting of a senior jurists, is required to play a key oversight function in the new system and has received considerable authorization. In paragraph 52 of its resolution 9851, the General Assembly stressed that the Council could help to ensure the independence, professionalism and accountability of the system of administration of justice, encouraged the Council to continue to make observations on the implementation of the system of administration of justice and to report to the Assembly at its sixty-sixth session on ways to strengthen its contribution.",
"Nevertheless, the current or previous budgets of the Office of the Administration of Justice do not explicitly allocate any funds for the remuneration of external members of the Council in the implementation of its important functions. The budget of the Office of the Administration of Justice does not contain general temporary assistance funds to meet maternity or long-term sick leave for staff. In addition, no provision was made for the cost of hiring temporary personnel on the basis of the project or paying peak periods. The Secretary-General therefore recommends that a provision of $130,000 for general temporary assistance be included in the 2012-2013 budget.",
"The Executive Director and its staff must travel on a regular basis to participate in meetings, including internal meetings of the Office of the Administration of Justice (e.g., plenary meetings of the Dispute Tribunal and the Appeals Tribunal) and meetings within wider organizations, such as the annual meetings of the Staff-Management Coordination Committee. The Executive Director and its staff also continue to require outreach activities for staff and managers located away from Headquarters, thereby requiring travel. The travel budget of the Office of the Administration of Justice must cover all travel expenses of the Executive Director and its staff, as well as travel of staff associated with the plenary meetings of the Tribunals, staff of the Staff Legal Aid Office or other personnel required to participate in the hearings, as well as any other staff of the Office of Internal Justice. As travel costs related to the judicial functions of the Tribunals must be given priority, the Executive Director and its staff are in fact not available for the travel budget. The Office's travel budget is not sufficient to allow members of the Internal Justice Council not serving in the same location to travel on an annual basis or to carry out any other travel to carry out their evaluation of the operation of the system globally and to report to the General Assembly. For these reasons, the Secretary-General recommends an increase of $30,000 in the travel budget of the Office of the Administration of Justice in the budget for the period 2012-2013.",
"The Office of the Administration of Justice needs to rely heavily on technical solutions because of its dispersion. Two of the achievements of the Office in this regard over the past year have been the establishment of a comprehensive website using all official languages and the implementation of a case management system that allows all staff to submit cases to the Tribunals and to monitor the cases. These important achievements, despite time-saving, resources and money, must be maintained and improved to keep pace with demand. In addition, as a result of the introduction of existing solutions to avoid costly customization systems, these products relate to the issue of the continuation of licences and maintenance contracts annually. In addition, operational costs associated with data storage, system updating and adaptation based on lessons learned are also incurred. The budget of the Office of the Administration of Justice currently does not cover the costs associated with all licences, maintenance and upgrading of the system. For these reasons, the Secretary-General recommends an increase of $75,000 in the provision for contractual services and the acquisition of software packages in the budget of the Office of Internal Justice for the period 2012-2013.",
"Legal Office of the Secretary-General acting as respondent",
"Several legal offices responded on behalf of the Secretary-General to cases raised by staff. Due to the continuing high number of cases submitted by staff and the complexity of many cases, the Office and unit representing the Secretary-General as the respondent have been fully loaded and overloaded due to the limited availability of staff and resources.",
"Legal Office of the Secretary-General on behalf of the United Nations Dispute Tribunal",
"The staff of the Geneva, Nairobi and Vienna offices away from Headquarters represent the Secretary-General in the role of the respondent in the Dispute Tribunal.",
"To meet the demands of the new justice system, managers have redeployed staff within the Organization and recruited staff with specialized skills to serve the justice system. Therefore, the Organization responded to the need for new systems implemented throughout the organization.",
"In 2010, the Dispute Tribunal issued 218 judgements. These judgements analysed the context of the controversy, the rationale for the application of the relevant staff regulations and rules and the conclusions of the facts and legal questions before the Dispute Tribunal. These judgements reflect the wide range of views of the parties on the facts and legal issues in the proceedings.",
"In order to meet the criteria set forth in the new justice system, the requirement for the office of the Secretary-General in response to the Dispute Tribunal was high. This section elaborates on the roles of offices, resources dedicated to the justice system, case statistics processed by the Representative of the Secretary-General, the results of the proceedings and the responses of the Administration to judgements.",
"The new justice system brings new demands to the executive branch. In addition to the restructuring of the justice system, the administration needs to respond quickly and decisively to the resource and management challenges faced. In order to maintain the capacity of the Representative of the Secretary-General and to enhance the ability of the Secretary-General to respond to continuing needs, management must retain and consolidate the initiatives taken. In addition, the global secretariat must continue to manage in a comprehensive and integrated manner the Secretary-General's representation in the various tribunals, including regular consultations and briefings on behalf of the Office staff of the Secretary-General.",
"Administrative Law Section, Office of Human Resources Management",
"The Administrative Law Section of the Office of Human Resources Management comprises the Appeals Unit and the Disciplinary Unit. When the Dispute Tribunal hears cases submitted by current staff members of the Global Secretariat and cases submitted by staff of the International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia, the Section is responsible for acting on behalf of the Secretary-General. The cases raised by staff at the United Nations Offices in Geneva, Nairobi and Vienna, the United Nations Environment Programme (UNEP) and the United Nations Human Settlements Programme (UN-Habitat) are handled by officials at the duty station. The Section also addresses disciplinary issues for the entire Secretariat and staff of the International Tribunal, which are submitted to the Office of Human Resources Management, and advises managers on the general justice system and the various aspects of individual appeals and disciplinary cases.",
"Appeal",
"Upon receipt of the application for appeal transmitted by the Dispute Tribunal, the Administrative Law Section is responsible for collecting the views of managers on the application and drafting responses. The time frame for submitting responses is 30 days, which requires prompt action by the Management and Administrative Law Section.",
"In the course of the proceedings, the Legal Officer of the Administrative Law Section participated in the targeted hearings and the substantive hearings, providing further written material in accordance with court orders. The hearings will require a large number of time preparations, including, where appropriate, consultations with the relevant offices and the Office of Legal Affairs; meetings with the respondent witnesses to be summoned; cross-exquising witnesses and/or witnesses summoned by the applicant or his counsel.",
"The Administrative Law Section is also responsible for providing advice to the executive branch on efforts to adopt informal solutions or continuing proceedings. The recommendation of the Section analyses the facts and legal issues of the case and provides advice on the most cost-effective way of resolving disputes. If the recommendations seeking informal solutions are accepted, the Administrative Law Section is responsible for obtaining the necessary approval, advising on the process of negotiation with the applicant and/or his counsel, completing the reconciliation agreement with the Office of the Ombudsman and tracking its implementation. Negotiations often require a long period of time and are often daunting; however, the potential benefits of informal settlement of disputes are considerable.",
"Following the Court's final judgement, the Administrative Law Section was in contact with the Office of Legal Affairs and was decided by the Office of Legal Affairs to appeal the judgement to the Appeals Tribunal. The Administrative Law Section is also responsible for interpreting the final judgement of the Dispute Tribunal, obtaining the information required for the enforcement of the judgement and transmitting the judgement to the relevant officials.",
"In requesting an urgent suspension of administrative decisions by a party, the Administrative Law Section also represents the Secretary-General in the process of suspension. These requests must be addressed without delay and, within five days of the request, to respond and hold oral hearings. The Court issued an order of acceptance or non-acceptance of requests within several days of the hearing. For these hearings, the Administrative Law Section needs to be given urgent attention and good preparedness. If the relevant offices and potential witnesses are not present at Headquarters, they are particularly difficult to prepare within the deadlines.",
"During the reporting period, the Administrative Law Section processed 318 appeals cases; at any time, the Administrative Law Section had to deal with approximately 200 cases pending before the Dispute Tribunal. About 50 per cent of these cases relate to appointments; 20 per cent related to disciplinary appeals; 15 per cent related to welfare and entitlements; 5 per cent related to separation; 1 per cent related to classification; and 9 per cent related to other matters.",
"During the period from 1 July 2010 to 30 June 2011, the Dispute Tribunal ruled on 114 cases handled by the Administrative Law Section. The Court ruled on 64 applications on the merits; 17 were dismissed on the basis of inadmissibility; 14 were informally settled; 5 were withdrawn by staff; 5 were covered only by compensation; 9 were abandoned by the applicant. In addition, the Dispute Tribunal ruled on 12 requests for suspension of proceedings and agreed to suspend three of them, reject four, five of which had been resolved or abandoned.",
"In cases of substantive decisions on the merits, 38 cases were won by the Secretary-General, 21 cases were won by the executive branch and 5 were successfully defended, but the staff member's second claim was won. In 20 cases where the applicant was fully or partially successful, according to the merits, the award was awarded.",
"As a result of the introduction of new methods of work, the number of appeals cases to be processed, the length of time for the respondent to respond (from two months to 30 days) and other duty stations in New York with the user departments/offices, witnesses and court sections, increased pressure on the staff of the Administrative Law Section.",
"Disciplinary issues",
"The Administrative Law Section also deals with disciplinary matters for action to be taken by the Office of Human Resources Management. During the reporting period, the Administrative Law Section deals with 391 disciplinary issues, including 121 new cases received during the reporting period. In a separate report of the Secretary-General on the handling of disciplinary issues and possible criminal acts (see A/63/235), the role of the Administrative Law Section in dealing with disciplinary cases is described.",
"It was noted that the responsibility for factual and legal analysis of cases had been transferred to the Office of Human Resources Management with the establishment of the new judiciary and the withdrawal of the Joint Disciplinary Committee. Under the former judicial system, the Secretary-General submits the issue of discipline to the Joint Disciplinary Committee, which identifies facts and advises on the disciplinary measures. Following the withdrawal of the Joint Disciplinary Committee, the Office of Human Resources Management must conduct an increasingly detailed analysis of the cases received. Therefore, the Office has spent a great deal of time to carefully review all aspects of disciplinary action, including the requirement for investigation units or staff to clarify facts and provide additional evidence. In the light of the complexity of the problem, the disciplinary proceedings may last for a relatively simple case for a period of three months and may continue for more complex issues for two years.",
"Advisory",
"Finally, the Administrative Law Section provides specific advice to all offices of the Secretariat as a whole. Generally, one advisory opinion needs one working day. The Administrative Law Section provides about 600 advice annually.",
"Resources in the Administrative Law Section",
"The transition to the new justice system has increased the demand for the Administrative Law Section. The procedures for appeals and disciplinary proceedings are much more complex and require a much higher level of demand, resulting in a significant increase in workload. One fundamental change is that the procedures of the former justice system generally require the delivery of documents, and that, under the new justice system, oral hearings are required and a large number of written submissions are required. The average length of work required to deal with one appeal case increased from five days to 15 days in the new system. According to the original judicial system, the respondent submitted two written documents on average for each case, with little or no hearing on appeal cases. Under the new system, the Court often requires a large number of written submissions. In many cases handled by the Administrative Law Section, two to three oral hearings are held in each case, with some cases even more. The hearings will take a lot of time to prepare for consultations with the relevant offices, while preparations for the substantive hearings will require witness identification and interviews with them, familiarizing them with the hearings process and obtaining testimony.",
"As at 30 June 2009, the Administrative Law Section had four posts: one P-5 post funded from the regular budget (the Chief of Section); one P-4 post funded from the regular budget; and two P-4 posts funded from the peacekeeping support account. In addition, general temporary assistance funds from the peacekeeping support account are available. Because of the large workload from the field and the high requirement for the Administrative Law Section, on 1 July 2009, the General Assembly authorized the establishment of three additional Legal Officer posts (two P-3, 1 P-2) and two temporary positions (1 P-3, 1 P-2) funded from the peacekeeping support account. The Administrative Law Section was divided into the Appeals Unit and the Disciplinary Unit in January 2010. One P-5 post was redeployed from another section of the Human Resources Policy Service. In view of the high workload from field missions, in July 2010, the General Assembly approved the establishment of two additional Legal Officer posts funded by the peacekeeping support account in Nairobi (1 P-4, 1 P-3). In July 2010, the Secretary-General also used a limited discretion to establish three additional temporary positions (1 P-4, 2 P-3) to deal with appeals and disciplinary cases of non-governmental organizations.",
"The staffing of the Administrative Law Section is 15 legal officers. Currently, the Appeals Unit and the Disciplinary Unit are established under the Administrative Law Section. The Appeals Unit has one P-5 (Chief of Unit), three P-4 and two P-3 staff in New York, one P-4 and one P-3 staff in Nairobi; one P-5 (Chief of Unit), one P-4, three P-3 and two P-2 staff in the Disciplinary Unit. Of these positions, three are funded from the regular budget (1 within the Human Resources Policy Service), 9 by the Peacekeeping Support Account, and 3 by the Secretary-General, using a limited budgetary discretion to fund temporary resources as at 31 December 2011.",
"An analysis of the volume of administrative law sections indicates that the Section would need to increase the number of posts. On appeal cases, the Appeals Unit received and processed approximately 115 appeals cases submitted to the Dispute Tribunal last year. Each case before the Dispute Tribunal is processed on average by 15 working days, requiring 1,725 working days per year. In addition, the Appeals Unit provides about 400 advice annually, requiring 400 working days each year. The Appeals Unit needs approximately 2,125 working days per year. Based on 27 working days per month, 78.7 work-months are required each year, or 7 posts. The Appeals Unit currently has only five posts, one of which is the Chief of the Unit. The Chief of Unit oversees and guides the work of the Unit and four legal officers deal with cases. Accordingly, three additional Legal Officer posts are required.",
"Given that approximately 35 per cent of appeals were from peacekeeping missions, 65 per cent from non-peacekeeping offices, six posts should be funded from the regular budget and three posts funded from the peacekeeping support account. However, only one Legal Officer post for the Unit is currently funded from the regular budget. In order to ensure the optimization of the functioning of the Appeals Unit, three additional regular budget posts are required. However, taking into account the current financial constraints faced by Member States, it is recommended that the Appeals Unit should establish two additional posts (1 P-4, 1 P-3) at that time.",
"Based on the number of disciplinary cases received since 1 July 2009, the Administrative Law Section is expected to receive approximately 150 cases of action each year. These workloads require 3,000 working days each year, owing to the average requirement of 20 working days for the handling of disciplinary cases. In addition, the Disciplinary Unit provides about 200 advice annually, requiring 200 working days. The Disciplinary Unit will need to work for about 3,200 days a year. Based on 27 days of work per month, that amounted to 1185,000 work months, representing the workload of 10 posts. The Disciplinary Unit currently has only six Legal Officer posts, namely four permanent Legal Officer posts and two temporary positions. In addition, the Unit has one Chief of Oversight and Guidance (P-5). Accordingly, the Unit had a shortage of four Legal Officer posts.",
"Taking into account that about 60 per cent of the disciplinary cases processed were from peacekeeping missions, 40 per cent from non-peacekeeping offices, 4 posts should be funded from the regular budget and 6 posts funded by the peacekeeping support account. However, the Disciplinary Unit currently has no Legal Officer post funded from the regular budget. It is recommended that four permanent posts funded by the peacekeeping support account be maintained. Two additional posts are proposed for conversion from general temporary assistance to established posts in the context of the peacekeeping support account budget for 2012-2013. In order to deal with the workload of the non-peacekeeping office, the Disciplinary Unit will require four additional regular budget legal posts. However, taking into account the current financial constraints of Member States, three additional posts (1 P-4, 2 P-3) are proposed for the Disciplinary Unit at this time.",
"The Secretary-General sought to add five additional legal posts to the Administrative Law Section. It is noteworthy that, in assessing the resources required by the Administrative Law Section, 27 working days per month, rather than 21.5 working days of the standard. This further demonstrates the heavy workload of the Administrative Law Section and the need for a sustainable resource base.",
"United Nations Office at Vienna",
"The United Nations Office at Vienna and the United Nations Office on Drugs and Crime have delegated the full responsibility of the Secretary-General on appeal and disciplinary matters to the Director of the Management Service. These cases and management evaluation requests were dealt with prior to the transfer of disciplinary cases to the Office of Human Resources Management and the daily functions of the Dispute Tribunal on behalf of the Secretary-General were allocated to the Human Resources Management Service, coordinated by the Human Resources Policy Officer of the Branch.",
"The United Nations Office at Vienna and the United Nations Office on Drugs and Crime continued to note the increase in the number of requests by management to provide legal advice and requests for confirmation of compliance with applicable law, as well as the additional time required to prepare each case for the Dispute Tribunal. In order to familiarize staff and managers with the features of the new justice system, the United Nations Office at Vienna and the United Nations Office on Drugs and Crime continued to hold briefings, luncheon forums and public meetings to send electronic information to the general staff in Vienna and the field, all of which increased the working hours of the human resources team.",
"The increasing number of appeals cases, coupled with the short duration of the new justice system response, continued to diffuse the capacity to provide legal support to the management of the United Nations Office at Vienna and the United Nations Office on Drugs and Crime. The United Nations Office at Vienna has equipped a full-time human resources policy officer to respond to the increased demands of the new system. However, this is not a long-term viable option, as the human resources team is able to use a limited resources to carry out its regular functions. Accordingly, the United Nations Office at Vienna will require a dedicated Legal Officer at the P-4 level and a Legal Assistant post at the General Service (Other level) to ensure that the continuing needs of the judiciary are fully met. However, as a result of financial constraints, it is recommended that the staff of the United Nations Office at Geneva provide support to the United Nations Office at Vienna.",
"United Nations Office at Geneva",
"At the United Nations Office at Geneva, a human resources officer with a legal background reported on behalf of the Organization on behalf of the staff of the Geneva Conventions and their user organizations (Office of the United Nations High Commissioner for Human Rights (OHCHR), the United Nations Conference on Trade and Development (UNCTAD), the Office for the Coordination of Humanitarian Affairs, the Economic Commission for Europe (ECE) and other smaller entities). In addition to temporary P-4 resources, one additional P-3 Legal Officer post funded by user organizations (OHCHR, UNCTAD and OCHA) is required to meet the increase in workload, in particular the increased workload of user organizations. However, such arrangements can be made only by the end of 2011.",
"As noted above, as a result of the establishment of the new judiciary, the staff submissions are more detailed and require more analytical work and legal studies, oral hearings are more than the original system, while oral hearings are time-consuming. In addition, judges of the Dispute Tribunal often require the respondent to provide detailed information on the elements of the case, thus increasing the workload and requiring additional consultations with the relevant management. The overall result is that the time taken by staff to handle each case is higher than the time spent under the original system.",
"Managers also request legal advice from legal officers on the preparation of management evaluation requests or decisions. In addition, the United Nations Office at Geneva continued to train managers on the justice system and to inform management of evaluation decisions and court jurisprudence. Finally, legal officers provide support and advice to the Office of Legal Affairs to assist the Office on behalf of the Organization in dealing with appeals cases to the Appeals Tribunal.",
"Despite the increased workload, the United Nations Office at Geneva did not receive additional resources for the transition to the new justice system. The United Nations Office at Geneva specifically arranged temporary staff to deal with additional time-critical work in order to provide important legal expertise to the Office, although that was at the expense of renunciating the substantial needs of other areas of human resources. These arrangements are therefore considered to be unsustainable in the future.",
"In order to effectively and properly represent the Secretary-General in the Dispute Tribunal, the United Nations Office at Geneva must seek the views of Headquarters on the issue of additional earmarked legal resources. Specifically, in view of the current workload, the United Nations Office at Geneva will require one P-4 Legal Officer post with litigation experience and one General Service (Other level) Legal Assistant post. As indicated in paragraph 138 above, the P-4 Legal Officer would also need to provide services to the United Nations Office at Vienna and the United Nations Office on Drugs and Crime. The P-3 Legal Officer posts funded by user organizations (OHCHR, UNCTAD and OCHA) in a cost-sharing manner are required to be retained.",
"United Nations Office at Nairobi",
"During the reporting period, the United Nations Office at Nairobi filled the Senior Legal Officer position of the Director-General. During the second half of the period, the Senior Legal Officer, on behalf of the United Nations Office at Nairobi, appeared before the Dispute Tribunal. During the reporting period, the human resources officer with legal background, with the assistance of his colleagues in the Administrative Law Section, appeared before the Dispute Tribunal on behalf of the Office in Nairobi. In addition, in view of the limited legal experience of the Human Resources Section, the United Nations Office in Nairobi and UNEP use external legal talents through consultants contracts to assist in the handling of litigation matters in the Dispute Tribunal.",
"At the United Nations Office at Nairobi, cases involving user offices are dealt with by UNEP or UN-Habitat staff or senior legal officers at the Nairobi Office in a legal context.",
"The reliance on senior legal officers in the area of justice means that she cannot perform the core functions of the Legal Counsel of the Director-General. Therefore, the Office requested additional resources. Specifically, the United Nations Office in Nairobi will require one additional P-4 Legal Officer post with experience in litigation and one General Service (Other level) Legal Assistant post. These posts also provide services to the Economic Commission for Africa (ECA) with a special high demand for the new justice system.",
"Regional commissions and international tribunals",
"Under the new system, the human resources management offices of the regional commissions (ECE, the Economic and Social Commission for Asia and the Pacific (ESCAP), the Economic Commission for Latin America and the Caribbean (ECLAC), ECA and the Economic and Social Commission for Western Asia (ESCWA) and the International Tribunal for the Former Yugoslavia and the International Criminal Tribunal for Rwanda) require additional functions and additional services.",
"Prior to the transfer of disciplinary cases to the Office of Human Resources Management, the Human Resources Management Service is responsible for regular processing of these cases and management evaluation requests. The Human Resources Management Service also needs to provide managers with advice and guidance on the new jurisprudence of the Dispute Tribunal. In addition, the Human Resources Management Service will need to communicate with the Administrative Law Section on the cases under review, to respond to the requirements of the Dispute Tribunal for the provision of additional information, to communicate with witnesses and to provide the information required to implement the judgement. The judges of the Dispute Tribunal often require the parties to provide detailed information on the elements of the case, thus increasing the workload and the number of consultations with the relevant management. The overall result is that the time taken by staff to handle each case is much higher than the time spent by the original system.",
"Additional requirements for the regional commissions were not indicated in the previous request for additional resources for the implementation of the new justice system. However, with the implementation of the new system, there is a clear need for additional resources.",
"ESCAP and ESCWA require one P-4 Human Resources Policy Officer with a legal background to provide internal advice to management and human resources offices. The officer will provide support to ESCAP and ESCWA at the same time. One General Service (Other level) post is also required to support the work of the Officer.",
"The Legal Officer at the United Nations Office at Geneva will support the work of ECE, while the Legal Officers at Headquarters are responsible for advising ECLAC.",
"As indicated in paragraph 146 above, the proposed additional Legal Officer post at the United Nations Office at Nairobi will support the work of ECA.",
"Outreach",
"Contacts are needed with the regional commissions. The training of managers and human resources officers to disseminate information to them is crucial to maintaining the uniform standards of the organization as a whole and to addressing current systemic issues. Managers need to hear briefings on key issues leading to appeal and how to minimize potential disputes. Human resources officers need training to understand how to prepare and submit responses to management evaluation requests and how information and assistance are provided to the Administrative Law Section in the proceedings. Finally, managers and human resources officers need to be aware of the entire system and focus on the possibility of informal settlement of disputes. They also need training on negotiating and effectively representing the Secretary-General in mediation.",
"The International Criminal Tribunal for Rwanda and the International Tribunal for the Former Yugoslavia are currently implementing the completion strategy. Experience has shown that the workload of the Mission has increased. As a result, the number of cases proposed by staff of the International Tribunal for the next three years will increase. In this context, it is important to facilitate contacts with the International Tribunal to ensure that managers and human resources officers have access to updates on specific cases and on cases affecting implementation of the Completion Strategy.",
"Outreach tasks are to be implemented. The funds required for the implementation of these tasks amount to $30,000. In particular, one Legal Officer in Nairobi is proposed to travel to ECA and the International Criminal Tribunal for Rwanda ($112,500), and one Legal Officer in Geneva is to travel to ESCWA, ESCAP and the International Tribunal for the Former Yugoslavia ($17,500). Accordingly, the Secretary-General requested an additional $300,000 for outreach missions.",
"In addition, the Dispute Tribunal sometimes held hearings at missions and other duty stations. Legal officers representing the Secretary-General must travel to the venue for the hearing. However, no specific provision has been made in the budget to date for such travel. Accordingly, the Secretary-General requested $30,000 for travel to the Mission's seat at the Tribunal's hearings.",
"Summary of available resources and resource requirements",
"The resources and resource requirements of the Administrative Law Section, offices away from Headquarters and regional commissions are presented in the table below.",
"Resource requirements and requirements",
"Office regular budget resources (Other level) One P-4 General Service (Other level) at the United Nations Office at Vienna without resources (P-4 human resources policy officers have been redeployed) to the Office of the United Nations High Commissioner for Human Rights at the P-4 level and the Economic and Social Commission for Western Asia without resources to utilize the services of the P-4 Legal Officer at the United Nations Office at Nairobi to the Economic and Social Commission for Western Asia without resources.",
"AD(a) It is proposed to convert it into a permanent post in the support account budget for 2012-2013.",
"AD(b) until 31 December 2011.",
"United Nations Development Programme",
"The United Nations Development Programme Legal Support Office is the comprehensive legal office of UNDP and its subsidiary funds, and its legal work involves all aspects of corporate law, institutional and administrative law, with a focus on policy and training. Taking into account the demands of the new justice system, the Legal Support Office had to adjust its staffing, as the demand for legal consultations and consultations increased. The Office's Administrative Law Practice Team is currently in operation with one team leader (P-5) (with its own workload), one P-5, two P-4 and two P-3 Legal Officers, with a total of six Legal Officers, assisted by two General Service support staff. The Panel is responsible for dealing with all management evaluation requests, all cases before the Dispute Tribunal, all disciplinary cases, legal advice on policy work, legal training and various legal queries from individual legal obligations to tax and pension issues.",
"The Legal Support Office is involved in all stages of the informal and formal settlement of the staff's complaints. In the informal phase, the Legal Support Office provided advice and guidance to managers, including human resources offices, country offices and regional bureaux, on the elimination of differences before formal complaints were made. The Office may also seek the intervention of the Ombudsman of the funds and programmes. Since 1 July 2009, the Office has made a significant increase in such preventive work, as more managers have sought legal guidance to ensure that their decisions are in line with the UNDP legal framework, thereby increasing spending on time and resources.",
"If the issue is not resolved at an informal stage, the Office of Legal Support submits to the Assistant Administrator and the Director of Management a proposal to deal with the management evaluation request, on behalf of UNDP, participate in the mediation process and, in coordination with the Office of Legal Affairs, address cases related to UNDP on behalf of the Secretary-General of the Appeals Tribunal. If justified, the Legal Support Office also recommends that action be taken from a accountability perspective. On 1 August 2010, UNDP launched a new process to deal with management evaluation requests. While the Office continued to review these requests and make recommendations to the Assistant Administrator and the Director of Management, two other senior managers appointed by the Administrator and selected from the roster would need to submit their independent opinions directly to the Assistant Administrator and the Director of Management from a management perspective. This system has been functioning well, although more managers are required to respond to the increased number of management evaluation requests in 2011. A one-time review of granting permanent appointments is expected to result in additional cases.",
"The Legal Support Office conducts regular training sessions through various existing media to conduct outreach activities to raise awareness among UNDP staff and managers of the new system. For example, the Office launched an online legal course for all managers, with several chapters dealing with the legal aspects of the system of administration of justice. In addition, the Office had to adapt to the time frame for the management evaluation and the reduced time frame for the Dispute Tribunal and the increase in the number of hearings and written submissions requested by the Tribunal. All this has resulted in an overall increase in the workload of its staff. In addition, in view of the increasing focus of the Dispute Tribunal on oral hearings and formal trials, lawyers need specialized training in defence and litigation.",
"United Nations Children's Fund",
"The Office of the Chief Adviser to the Office of the Executive Director is fully responsible for UNICEF legal support and advice. The Human Resources Division handles requests for management evaluation and represents UNICEF in the Dispute Tribunal. In order to adapt to the increased workload resulting from the start-up of the new system, UNICEF has adapted its staffing, capacity and standard operating procedures, with particular attention to requests for management evaluation and opportunities for mediation.",
"Office of the United Nations High Commissioner for Refugees",
"Prior to the reform of the system of administration of justice, the Administrative Law Unit of the Secretariat conducts administrative review of the decisions of UNHCR staff. UNHCR is now conducting its own management evaluation and has delegated the evaluation to the Deputy High Commissioner. The Legal Affairs reporting directly to the Deputy High Commissioner provides advice on all management evaluations.",
"UNHCR has very positive experience in the management evaluation process, which enables managers to carefully review their decisions and to take remedial action and review and improve their work procedures before cases are upgraded to the Dispute Tribunal. In many cases, the management evaluation process has also renewed the dialogue between UNHCR and staff.",
"The Director of the Human Resources Management Division, representing UNHCR, appeared before the Dispute Tribunal. The Legal Affairs advises the Director on all outstanding cases.",
"UNHCR was very focused on early informal treatment of grievances, and the UNHCR Ombudsman participated in many cases informally. However, since the introduction of the new justice system, staff have attempted to deal with grievances through the formal system.",
"UNHCR continued to support the work of the Staff Legal Assistance Office, which had seconded one Legal Officer without compensation to the Office in Geneva.",
"United Nations Office for Project Services",
"The United Nations Office for Project Services (UNOPS) is small and has not received many cases. While there is no legal department specifically dealing with such cases, UNOPS has at Headquarters one Legal Officer responsible for monitoring developments in the justice system, including the jurisprudence and practice of the Dispute Tribunal and the Appeals Tribunal. Each case before the Dispute Tribunal and any question that may become a case, including a request for management evaluation, are dealt with by the UNOPS Legal Officer at the regional office in which case or issue is concerned, with the support of the Headquarters Legal Officer referred to above. This work was carried out under the overall supervision of the overall UNOPS legal adviser. In accordance with Secretary-General's bulletin ST/SGB/2008/13, the Office of Legal Affairs administers all appeals cases to the Appeals Tribunal relating to UNOPS.",
"To date, the new justice system appears to be much more formal than the original system. In the new system, the manner in which the case is dealt with is similar to those used by many national courts, and the number of oral hearings is only one example.",
"Thus, the time required to deal with cases by lawyers and non- lawyers has increased significantly. In addition, staff may request many documents. The Dispute Tribunal generally favoured the granting of such requests, which would require considerable work by the Organization.",
"United Nations Population Fund",
"The United Nations Population Fund (UNFPA) employs two legal officers who provide UNFPA with a range of legal support and advisory services, including on behalf of UNFPA in the Dispute Tribunal. UNFPA continues to pay special attention to management evaluation issues, with particular attention to alternative options for resolving disputes, including mediation.",
"Legal Department on behalf of the Secretary-General at the United Nations Appeals Tribunal",
"Office of Legal Affairs",
"As the central legal services of the Organization, the Office of Legal Affairs provides legal advice to the Secretary-General, departments and offices of the Secretariat and United Nations agencies in a number of areas, including the new areas of the administration of justice system. Within the Office of Legal Affairs, the organizational unit responsible for this responsibility is the administrative and management team of the General Legal Affairs Division. The functions of the Division in this area are outlined below.",
"The responsibilities of the General Legal Affairs Division in the administration of justice system relate to informal and formal phases of dispute resolution. The Division provides advice to departments and offices of the Secretariat, funds and programmes at the initial stages of the staff complaint, that is far from being brought into the proceedings before the development of the complaint is made. For example, the Division was requested to provide input during the management evaluation phase and during the negotiations.",
"Upon the development of the complaint to the formal stage and the application of staff to the Dispute Tribunal, the Department of General Legal Affairs advises entities representing the Secretary-General on a regular basis at the first level of the judicial process. These entities include the Administrative Law Section and the counterparts in Geneva, Vienna and Nairobi. Under the new administrative justice system, entities within the funds and programmes (UNDP, UNOPS, UNICEF, UNFPA and UNHCR) appear before the Secretary-General in the Dispute Tribunal; the Division may request advice to the funds and programmes. In addition, as a result of a comprehensive understanding of the evolving jurisprudence of the new system, the Division provided information on the legal developments of the new system to all entities represented in the Dispute Tribunal, shared legal arguments in order to provide guidance on the various issues that were before the Court and for its use. Such advice ensures coherence in the legal strategy and arguments put forward by the Secretary-General on policy and principles. In this context, the Division draws the attention of the relevant units to the judgement of the Dispute Tribunal that has a significant impact on the Organization.",
"The General Legal Affairs Division also appeared on behalf of the Secretary-General in the Appeals Tribunal. This responsibility includes both appeals against the judgement of the Dispute Tribunal and a reply to the appeal made by the staff. The Division performs this function for departments and offices of the Secretariat and funds and programmes. In order to determine whether an appeal against a judgement is in the interest of the Organization, the Division must review and analyse each judgement of the Dispute Tribunal and consult with entities representing the Secretary-General before the Court. It is therefore necessary to study and analyse all the necessary facts and legal issues raised by the Dispute Tribunal and, where appropriate, draft written appeals or responses.",
"In addition to providing advice on matters relating to the administration of justice system, the General Legal Affairs Division also advises them on the interpretation and implementation of the Staff Regulations and Rules or other personnel policies and practices before administrative decisions are taken by departments and funds and programmes of the Secretariat, such as those for dismissal. Most of the requests for such advice were from the Department of Management (including the Office of Human Resources Management, the Advisory Committee on Claims, the Medical Division or the Insurance Section), but there were requests from funds and programmes, UNHCR and offices away from Headquarters. Finally, the Division is also responsible for reviewing, advising and confirming its legitimacy before each administrative notice related to human resources management policy is issued.",
"The responsibilities assumed by the General Legal Affairs Division in relation to the new justice system go far beyond the forecast, resulting in a significant increase in the Division's workload. Prior to the commencement of the new system, the Secretary-General had submitted a report on the resource requirements of the system, at which the Advisory Committee on Administrative and Budgetary Questions had not approved any post requested by the Office of Legal Affairs, which considered that “the resolution of disputes by informal means might lead to a reduction in the cases of recourse to the Tribunal” (see A/62/7/Add.7, para. For that reason, the Advisory Committee was of the view that the reasons for the increase in staff were not sufficient and therefore recommended that those posts should not be approved prior to the assessment of actual needs. The Advisory Committee assumes that the vast majority of cases will be resolved before recourse to the Dispute Tribunal. However, contrary to this presumption, the General Legal Affairs Division needs to provide legal advice to a wider client on the increasingly complex issues, which have a significant financial, legal and operational impact on the Organization and the need for advice is more urgent.",
"Under the original system, only a judicial review, i.e. the United Nations Administrative Tribunal. There are now two-tier reviews. Under the original system, the Administrative Tribunal is functioning on a part-time basis, with two sessions per year, and under the new system, the Dispute Tribunal operates one year to the first time, and the Appeals Tribunal has three annual sessions.",
"Because of these significant institutional changes in the system, the General Legal Affairs Division needs to review and provide an increase in the number of judgements that provide advice. Under the original system, the United Nations Administrative Tribunal rendered 65 judgements in 2009. In contrast, under the new system, the Dispute Tribunal rendered 218 judgements in 2010 and 100 judgements by the Appeals Tribunal. Thus, the total number of judgements under the new system is approximately five times the number of judgements under the original system.",
"Under the new system, the submission of the General Legal Affairs Division has also increased significantly. Under the original system, the Division presented an average of 63 submissions annually to the United Nations Administrative Tribunal. In contrast, the Division presented 150 copies in the new system in 2010 (114 submissions in cases originating from the Secretariat, including peacekeeping missions and 36 submissions from funds and programmes and UNHCR). As a result, the number of submissions under the new system increased by about 40 per cent compared to the number of submissions under the original system.",
"The impact of the new system on the General Legal Affairs Division is not only an increase in the number of appeals to the Appeals Tribunal; the nature of the Division's work in this regard has also changed significantly. Under the original system, the Division drafted a time frame for the reply to the United Nations Administrative Tribunal (6 months). These responses are usually based on the established jurisprudence of the Administrative Tribunal, and therefore the Division's work is simple and manageable. However, under the new system, the time frame for appeal and appeals was reduced to 45 days. Moreover, while the statute of the Appeals Tribunal provides for a period of 45 days, the Appeals Tribunal will also shorten the time frame for the submission of interlocutory appeals to 15 days. In addition, the introduction of the new system of administration of justice means that the past practice of the Organization and the jurisprudence of the Tribunal are being reviewed by the new courts. The ensuing uncertainty with regard to the legal norms and principles to which managers should apply means that the Division is now more frequently requested to provide advice to other departments, including by providing advice to entities representing the Organization before the regular hearings of the Dispute Tribunal. This contrasts with the original system and, under the original system, a submission to the Joint Appeals Board and the Joint Disciplinary Committee is based on the established jurisprudence of the Administrative Tribunal requesting the Division to provide advice on these procedures.",
"All of these factors are more complex in many areas of human resources management, such as contractual reform, harmonization of conditions of service. These reforms have also made additional requests to the General Legal Affairs Division to review administrative notices, confirm their legitimacy and provide advice on the interpretation and implementation of the Staff Regulations and Rules.",
"Currently, the General Legal Affairs Division, funded by the regular budget, has two Professional posts (1 P-5 and 1 P-3) and one General Service post. As at 1 July 2010, the Secretary-General had taken advantage of his limited budgetary discretion to provide six P-3/P-4 posts and two General Service (Other level) posts for a limited period ending 31 December 2011. The Division also includes one P-4 post funded by the peacekeeping support account. In addition, the Division was recently informed that on 1 July 2011, the General Assembly approved one P-4 and one P-3 temporary post funded by the peacekeeping support account. In summary, unless additional resources are approved below, the Division will have a total of five Professional posts and one General Service post to deal with internal justice and management issues.",
"Finally, as the demand for the services of the Division goes beyond expectations, it will put the Division under pressure, which will weaken the Division's ability to provide legal advice not only in the area of administration of justice, but also on other issues in a timely and comprehensive manner.",
"Ensuring that the Division has the capacity to provide legal advice in the area of administration and management will avoid creating long-term adverse financial, legal and operational impacts on the Organization as a whole, particularly in the critical stages of the development of court jurisprudence. For example, in 2010, the Division, on behalf of the Organization in the Court of Appeal, contributed to the determination of the parameters of the award, helping to clarify the principles of the review of the Secretary-General's discretion. These appeals have resulted in significant cost savings for the Organization and the development of basic principles will benefit the Organization in the long term.",
"In order to meet the significant increase in the services requirements of the Office of Legal Affairs under the new system, the General Legal Affairs Division will require eight additional regular budget posts (6 P-3/P-4, 2 General Service (Other level)) to address the administration of justice and management issues. However, the Secretary-General, taking into account the current financial constraints of Member States, has requested only three additional regular budget posts (2 P-4, 1 P-3) for the General Legal Affairs Division. In this regard, it should be noted that the Division is the only unit in which some two thirds of the posts requested (from 8 posts to 3 posts) have been reduced compared to the previous report, while it is the only unit that has not been provided with long-term resources owing to the establishment of a new system. Approves the establishment of two general temporary assistance posts funded by the peacekeeping support account effective 1 July 2011.",
"Replies to questions relating to the administration of justice",
"Overview",
"The present section responds to the issues set out in General Assembly resolution 3951.",
"Responses",
"Staff Legal Aid Office support mechanisms",
"The Secretary-General's response to this request is set out in annex I to the present report, in paragraphs 40 and 41 of resolution 40 and 41 requesting proposals for the support mechanism for the Office of Staff Legal Assistance.",
"These proposals were consulted with staff at the meetings of the Staff and Management Coordination Committee held in June 2011. At that meeting, staff reiterated that the options for establishing a mechanism funded by staff were not acceptable, as the cost of representing staff should be borne by the employer. Staff noted that the establishment of the Office of Staff Legal Assistance by the General Assembly was part of the system of administration of justice within the Organization and that the costs associated with the operation of the Office constituted a cost for the Organization. They called upon the General Assembly to provide the necessary resources to ensure that both parties (staff and management) receive “equal armed”.",
"Complaints mechanisms for outsiders",
"In paragraph 55 of its resolution 63/251, the General Assembly requested that a proposal be made with respect to the mechanism for the compilation of complaints by outsiders, as set out in annex II to the present report.",
"Decentralization of the powers of disciplinary measures",
"In paragraph 51 of its resolution 63/251, the General Assembly requested detailed proposals on the delegation of authority to take disciplinary measures, which the Secretary-General responded to.",
"Background",
"The possibility of decentralization of disciplinary measures to heads of missions and heads of offices away from Headquarters was initially raised by the Secretary-General at its sixty-second session. This is based on the recommendations of the redesign of the Panel's report and the results of the twenty-eighth session of the Staff and Management Coordination Committee. The issue was discussed at that session and a proposal was made. In principle, the General Assembly agreed to decentralization of disciplinary measures to heads of missions and heads of offices away from Headquarters, and requested the Secretary-General to submit a report thereon containing possible options.",
"The Secretary-General, taking into account the recommendations of the Coordinating Committee, has proposed the limited delegation of authority for disciplinary measures. Accordingly, the heads of missions and heads of offices away from Headquarters are given the authority to impose minor penalties (warnings and fines) if required. The General Assembly requested the Secretary-General to make new proposals at its sixty-fifth session.",
"In the light of the fact that a number of prerequisites have not been met, the Secretary-General proposes that the recommendations of the limited delegation of authority previously submitted prior to further analysis should not be implemented. However, the General Assembly once again requested the Secretary-General to submit a report at the sixty-sixth session of the General Assembly containing possible options for the delegation of authority for disciplinary measures. The proposal contained in the present digest was prepared in response to that request.",
"Status of handling of disciplinary cases",
"There have been no significant developments since the Secretary-General's previous report on the administration of justice, but there have been a number of new developments. The Office of Human Resources Management initiated the revision of the administrative instruction on revised disciplinary measures and procedures (ST/AI/2007/1/Amend.1). The Court's new jurisprudence indicates that, compared with previous administrative court jurisprudence, the Tribunal is analysing and interpreting the United Nations Staff Regulations and Rules in a new sense. In particular, both Tribunals were interpreting the procedural and substantive standards required by the Organization throughout the period leading to disciplinary measures, including the assessment of allegations and complaints, the quality of investigations reports, the appropriate procedural rights to be enjoyed by staff during the process, and the proportionality of measures taken. It must be noted, however, that disciplinary cases brought before the Court relate to cases reviewed by the Office of Human Resources Management in accordance with the jurisprudence and standards of the Administrative Tribunal. As a result, the number of cases received and closed under the new system after 1 July 2009 will be subject to appeal and will remain to be observed.",
"From 1 July 2009 to the end of the reporting period, the Administrative Law Section of the Office of Human Resources Management closed 357 cases, of which 216 were missions. In 71 of the 71 cases, disciplinary measures were taken, as follows: 19 cases had been dismissed, 17 cases had taken measures of separation, 4 cases had been taken in pre-vocational measures, 5 cases had been repressed and reduced or delayed the upgrading of functional/level measures, 14 cases had taken corrective and fine-tuning measures, and one in one case had taken corrective and psychological counselling measures.",
"Since 1 July 2009, the Administrative Law Section handles disciplinary cases involving staff serving in field missions accounting for 70 per cent of the number of cases in 2009/10, accounting for nearly 60 per cent of the 2011 cases.",
"The Administrative Law Section handles some of the required time to deal with a disciplinary case from time to time when it was transferred to it, depending on the merits and the complexity, ranging from 3 to 11 months. However, this slightly time was the time required under the best conditions and did not count on the current backlog of cases, including cases that had not been closed before the introduction of the new judicial system, namely: (a) 170 cases to be handled by the Office of Human Resources Management prior to the introduction of the new justice system; (b) 30 cases that had been sent to the Administrative Law Section on 1 July 2009 in cases where the Joint Disciplinary Committee was pending or decided by the Deputy Secretary-General in accordance with the report of the Committee. These cases are expected to be closed by the end of 2011.",
"During the period 2006-2008, a disciplinary case was closed on average for 17 months. The cases dealt with during this period were considered by a group established by the Joint Disciplinary Committee in addition to the cases recommended for dismissal. The Administrative Law Section brings the case to the Commission for an average of eight months. Since the introduction of the new system, the Section will have an average of 11 months to complete its case after 1 July 2009.",
"The dismissal of the Joint Disciplinary Committee has effectively increased the responsibility of the Administrative Law Section to review the merits of each case in accordance with chapter X of the Staff Regulations on disciplinary measures and to analyse them, most of which were previously assumed by the Committee. In view of the increased review by the Dispute Tribunal, the Section also conducts a more detailed analysis and undertakes follow-up with the investigative entity at every stage of the process.",
"Review of options",
"The introduction of a new justice system on 1 July 2009 significantly changed the procedures for dealing with disciplinary cases. The dismissal of the Joint Disciplinary Committee, inter alia, transferred the real assessment responsibility of the case to the Office of Human Resources Management.",
"There are three major bottlenecks in the current multi-step process, each of which involves ensuring careful analysis and respect for the appropriate procedural rights of the staff: (a) the shortness of the investigation process and the quality of other investigations carried out by impartial investigation and non-special investigators; (b) the time required to comment on the part of staff accused of misconduct; and (c) the time spent on other information from the investigative entity.",
"The simple delegation of authority does not eliminate existing bottlenecks, as existing procedures and new jurisprudence of the courts dealing with disciplinary matters will continue to require a very careful review. In addition, decentralization to the field may lead to more duplication of effort, making decisions less consistent.",
"Partial delegation of authority",
"Part of the delegation of authority means that the delegation of authority to heads of missions and offices away from Headquarters will take less rigorous disciplinary measures (e.g. fines and censure).",
"However, since only a limited number of cases have been fined and reprimed, this option would not significantly reduce the time of disciplinary proceedings. Thus, the existing bottlenecks will not be processed, resulting in duplication of work between the field and the Office of Human Resources Management. In the light of the increase in costs caused by some delegation of authority, including the fact that the Department of Management has delegated legal officers to assist in the process of disciplinary proceedings, the Administration considers that this is not a viable option at this stage.",
"Full delegation of authority",
"If the delegation of authority is fully delegated, heads of missions and heads of offices away from Headquarters may take any disciplinary measures in accordance with the disciplinary procedures currently applied at Headquarters. The full delegation of authority could increase the authority of the field and reduce communication links between the field and Headquarters, but the main disadvantage was the possibility for staff from different parts of the Organization to be inconsistent and non-equal. The inconsistency decision would also increase the number of appeals to the Dispute Tribunal, resulting in an increase in costs. Therefore, the Administration considers it inappropriate to take a fully decentralized approach.",
"Decentralization",
"The current centralization system will continue if the authority to take disciplinary measures is still fully owned by the Under-Secretary-General for Management. In this context, the Department of Management will continue to consider disciplinary cases in a holistic manner and, most appropriately, to ensure that such cases are analysed and processed in the most efficient and coherent manner.",
"Proposed short-term measures",
"Some delegation of authority or full delegation of authority are not currently the best option, but there is a clear need for action to address delays in disciplinary cases. To this end, the following measures have been proposed to expedite the investigation and treatment of disciplinary cases:",
"(a) To test the feasibility of decentralizing a portion of the critical part of the administration of justice through the establishment of a service base covering a group of missions. Resources will include legal officers, conduct and discipline officers and resources available at the service base or area, such as investigators, ombudspersons and the Staff Legal Aid Office. Each function has a clear mandate and reporting relationship to preserve the independence of the investigation, the appropriate procedural rights of staff facing disciplinary proceedings and the integrity of disciplinary procedures. While the authority to adopt disciplinary measures is still owned by the Under-Secretary-General for Management, it is expected that the elements of the investigation and disciplinary proceedings will be closer to the case, which will help to reduce the time required to handle cases. The pilot project will cover a number of field missions in Africa (to be identified) and will be based in Nairobi. This would facilitate the establishment of a future infrastructure if the experience gained from the pilot project supported further delegation of authority, including delegation of authority to offices away from Nairobi (and other offices away from Headquarters);",
"(b) High priority cases will be addressed through the “fast vehicle” approach, whereby cases are prioritized by all relevant units (the Department of Field Support, the Office of Human Resources Management and the Office of Internal Oversight Services (OIOS). Taking into account the request of the heads of missions and the appropriate reasons, the high priority cases will be expedited and will be processed in accordance with the guidelines to be elaborated, in which it recognizes the operational independence of existing procedures, such as OIOS and its case, but, in addition, the procedures applicable to the handling of disciplinary matters;",
"(c) The authority to grant paid administrative leave to staff will be transferred by the Assistant Secretary-General for Human Resources Management to the Under-Secretary-General for Field Support. This would reduce the process of granting staff paid administrative leave. The authority to leave the staff without pay for administrative leave remains all of the Department of Management;",
"(d) Establish an interdepartmental working group on delegation of authority in disciplinary matters.",
"The Secretary-General will submit a comprehensive report on this matter to the General Assembly at its sixty-eighth session.",
"The proposed measures were discussed by the Staff and Management Coordination Committee at its thirty-second session. The Meeting agreed that management would share progress reports with staff and would establish a mechanism for regular briefings to staff representatives on the progress of the project.",
"Recommendations",
"Requests the General Assembly to approve the proposals detailed in paragraph 208 above.",
"Impact of the new system of administration of justice on staff-management relations",
"With regard to the request in paragraph 54 of General Assembly resolution 3951, the Secretariat, UNDP and UNICEF were of the view that reporting on the impact of the new system on staff/management relations and on the performance of staff and managers was premature and that more time was needed to properly assess whether there was a systematic impact. The relationship between staff-management has changed in three agencies. In particular, managers are increasingly aware of the impact of their decisions and wish to ensure that they are in line with the relevant rules and policies. As a result, programme managers were asked to provide additional queries to legal officers prior to the decision. Managers also clearly wish to gain greater knowledge of the system and, in general, to make the right decision in the case.",
"Therefore, it is possible to conclude that the new judicial system is leading to a climate that emphasizes the prevention of disputes and that programme managers are more frequently consulted with lawyers when it is not possible to avoid a dispute to ensure that their decisions are consistent with legal and policy provisions. In the course of avoiding disputes or informal settlement of disputes, a wide range of common consultations were held with staff representatives concerned and the United Nations Ombudsman or funds and programmes.",
"Although these emerging practices have been identified, it is also evident that not all managers are well aware of the requirements of the new system. Thus, in terms of performance, more time is needed to determine whether these emerging practices are becoming a trend.",
"Staff performance assessments are expected to be treated very seriously by managers and feedback is provided regularly to their subordinates so as to ensure that the decisions taken in the assessment report are properly documented. However, it is too early to comment on whether this has become a trend. It is equally difficult to predict whether staff and managers will actively increase performance under the new system.",
"Cost-sharing arrangements",
"With regard to the request contained in paragraph 57 of General Assembly resolution 3951, the Secretary-General responded to the following questions.",
"Since the General Assembly, in its resolution 62/228, decided to establish a new system, the Secretariat has been engaged in formal and informal discussions with representatives of the funds and programmes (UNDP, the United Nations Office for Project Services, UNICEF, UNFPA and UNHCR) in order to establish arrangements for cost-sharing at the head level. In terms of cost-sharing at the head of the person, the costs are based on the number of staff members. Based on the above discussion, the Secretariat prepared a preliminary draft memorandum of understanding and distributed it to funds and programmes for comments. Subsequently, a joint meeting was held to discuss issues raised by the funds and programmes. Following discussions with the main stakeholders of the Secretariat, the Secretariat circulated a revised draft memorandum to the funds and programmes for further comments from the funds and programmes. The revised draft memorandum also includes a new United Nations gender equality and the empowerment of women as part of the arrangement. In early March 2011, a meeting was held with the parties concerned to discuss the draft revised memorandum, with funds and programmes having submitted a formal letter of coordination in May, including issues to be addressed. In June, the Secretariat presented a formal response to the issues to be addressed, which resulted in further consultations in July. To date, most of the outstanding issues have been addressed by the parties, but some aspects of the integrated functions of the decentralization of the Ombudsman, including mediation services, are still required (as a result of funding from the funds and programmes for their respective ombudspersons in the Integrated Office and some clarifications are provided to their respective executive heads. For example, questions were raised with regard to the structural problems between the funds and programmes Ombudsman and regional ombudspersons, including accountability and referral mechanisms, and questions were raised regarding mediation services in cases involving staff members of the funds and programmes. It was agreed that the link line between mediation and regional ombudsmen and the funds and programmes ombudspersons would bring to an end the cost-sharing discussion on the remaining special aspects. The parties recognized that a cost-sharing arrangement was very urgent and committed to concluding it as soon as possible.",
"Training of actors in the system",
"With regard to the request made by the General Assembly in paragraph 61 of resolution 3951, the Secretariat responded to the following.",
"In June 2009, the new judges of the Tribunal participated in the inauguration training organized by the Office of the Administration of Justice, which provided a brief overview of the Organization's institutional and management framework. The staff of the Registry participated in training courses on the management of the International Criminal Tribunal for the Former Yugoslavia, the International Criminal Tribunal for Rwanda and the Court of Civil Servants of the European Union. Staff Legal Aid Office staff participated in dispute resolution training courses organized by the International Criminal Tribunal for the Former Yugoslavia staff and practitioners of the Defence Counsel in The Hague.",
"The Department of Management has employed a legal counsellor, which is the legal officer of the Administrative Law Section. Legal officers also participated in a one-week intensive defence training course organized by national legal training institutions. In addition, they participated in conflict resolution training courses organized by UNDP and the Ombudsman.",
"UNDP organized a defence training course for legal officers appearing in the Tribunals, chaired by the experienced staff of the International Tribunal for the Former Yugoslavia and senior lawyers from the British legal community. Given the importance of such training for the legal officers of the new professionalized formal system, it is envisaged that a similar training course will be held later in 2011. UNDP and the United Nations Ombudsman and the Mediation Office jointly organized a workplace dispute resolution training course, involving over 100 staff, including some senior officials.",
"All participants in the system, including judges, their staff and legal officers representing staff and management, need to be regularly involved in training aimed at strengthening legal education. Legal officers are required to participate on a regular basis in oral and written defence training to maintain and enhance their skills. Enhanced training in court management practices, including education exchanges with other International Tribunal staff, will benefit staff of the Dispute Tribunal and the Appeals Tribunal Registry. In addition, joint training of actors in the system also yields benefits, not only for cost savings but also for exchange of views and best practices.",
"The participation of judges in legal meetings and legal seminars is also beneficial to engage with other international tribunals, senior scholars and other participants in the discussion of legal and judicial practices related to their professional activities. At present, the budget of the Office of the Administration of Justice is inadequate and it is difficult to involve judges.",
"The establishment of a judicial library for collection books at each court location will help to increase the level of judges and staff. In addition, sustained judicial education through the holding of annual meetings of all education, including, where appropriate, external lecturers and facilitators. The topics to be explored included cross-cultural communication techniques, the latest developments relating to international civil service law, the application of international norms, the application of ILO conventions to international civil service law and the comparative approach to legal issues.",
"Finally, it may be useful to consider further judicial training for judges in the context of the legal framework of United Nations agencies and bodies that have access to the United Nations system of administration of justice. In order to ensure dialogue among the judicial personnel of different international tribunals, a joint United Nations judicial seminar may be organized to focus on international administrative law issues, including judges of the Dispute Tribunal and the Appeals Tribunal, judges of other tribunals, and legal scholars where possible. In addition, all participants need training to make the courts more uniform and consistent when applying the standards.",
"The current system, after two years of operation, still needs to be disseminated to staff to describe informal and formal approaches to dispute settlement, in particular the relationship between them. To assist staff, the Office of the Administration of Justice prepared a user-friendly manual in all official languages of the United Nations. The Office has also established a comprehensive website with all official languages on the various elements of the regular system, including the web page prepared for the Office of Staff Legal Assistance and the updated database on the jurisprudence of the two Tribunals.",
"Training resources specifically related to informal dispute resolution and mediation will be included in the report of the United Nations Ombudsman on the informal justice system.",
"Timelines for dealing with disciplinary cases",
"In its resolution 63/251, the General Assembly approved the recommendations of the Advisory Committee on Administrative and Budgetary Questions in its report on the administration of justice at the United Nations (A/65/557), including the request for the Secretary-General to include in his report on the administration of justice to be submitted to the General Assembly at its sixty-sixth session.",
"The response to this request has been combined with the response to the request for a proposal for decentralization of disciplinary power, as reflected in paragraphs 191 to 210 above.",
"Information requested by the General Assembly in paragraph 53 of its resolution 63/251",
"In paragraph 53 of its resolution 63/251, the General Assembly requested the Secretary-General to include in his report on the administration of justice to the General Assembly at its sixty-sixth session the following information:",
"(a) Clear statistical information on the cases received and processed by the Tribunals during that period, including the provision of disaggregated information on the complainant's or the accused's winning v. and the administrative issues involved;",
"(b) An analysis of trends over a number of reporting periods in order to identify systemic issues leading to the use of the system of administration of justice and to monitor whether these issues have been effectively addressed;",
"(c) Details on the compensation provided, as well as the related indirect costs of appeal (e.g., staff working hours), including the identification of those aspects in personnel management resulting in significant appeals;",
"(d) Details on the payment of compensation to staff amounting to six months of salary or even greater compensation, indicating the departments and offices involved, the location of those offices and the merits details.",
"In the case of paragraph 53 (a) of General Assembly resolution 63/251, the Secretary-General provided information on the Dispute Tribunal and the Appeals Tribunal in paragraphs 30 to 41 and 65 to 72 above. More information is contained in annex III to the present report.",
"For paragraph 53 (b) of General Assembly resolution 63/251, the Secretariat responded to the following.",
"Statistics show that the most controversial decision of the organization as a whole relates to issues related to selection and appointment. The decision-related claims account for about 40 per cent of all claims. This is why. First, previous administrative instructions on the selection of staff are vague in the priority of internal candidates. Secondly, according to administrative notice, the filling of a position would be subject to a number of procedures; there was a risk that allegations of procedural error might be made against the selection and appointment process. Thirdly, unselected staff often alleged that they were not chosen because of external factors. Fourthly, staff alleged that their e-PAA assessment was inconsistent with its vacancy selection evaluation and was therefore unfair to assess their qualifications. Finally, the jurisprudence of the Dispute Tribunal concerning the scope of the discretion of the executive in the selection process and the question of the burden of proof and criteria for the selection process is inconsistent.",
"The executive branch has addressed the following issues:",
"(a) In September 2009, the Assistant Secretary-General for Human Resources Management identified the vagueness of the provision on priorities and sent a notice to all offices to clarify the procedures for considering internal candidates;",
"(b) In April 2010, an administrative instruction on the staff selection system was abolished and replaced by a new administrative instruction (ST/AIPD3). The priority provisions are no longer part of the policy;",
"(c) In October 2010, the Under-Secretary-General for Management issued a “Guidelines on Lessons learned” to provide guidance on the selection process for staff;",
"(d) The executive appeal against the decision of the Dispute Tribunal incompatible. The Court of Appeal's jurisprudence of March 2010 further clarified the scope of the Secretary-General's discretion in the selection decision and the responsibility and criteria for the proof;",
"(e) The jurisprudence of the Appeals Tribunal will help to respond to the factual argument that staff are aware that the performance appraisal and the pre-election evaluation are inconsistent and will also help to address the allegations of prejudice. The Court of Appeal found that when the staff had made such allegations, they had the responsibility to provide clear and convincing evidence to support their claims.",
"With regard to other types of cases, it was recognized that the decision not to continue was often blamed for failure to comply with the procedures set out in the performance appraisal system. The Under-Secretary-General for Management addressed this issue in a circular to management, detailing the jurisprudence of the Dispute Tribunal and making managers aware of the need for compliance with the electronic performance appraisal system process.",
"The “Guide for Lessons learned” focusing on the non-renewable issue of fixed-term appointments was issued in August 2010. The guide directs managers to adhere strictly to rules and procedures, document the decision-making process and adhere to the performance appraisal process.",
"In addition, an administrative instruction entitled “A Performance Approval Management and Development System” was issued on 30 April 2010. The instruction updated the performance evaluation policies and procedures and addressed delays in completing the EPA assessment.",
"Disciplinary measures often result in appeals. This is another area in which the jurisprudence arising from the Dispute Tribunal continues to evolve. Specifically, the question of the exercise of the discretion of the Secretary-General has been revisited by the Dispute Tribunal on several occasions. The Administration appealed these decisions. At the beginning of 2011, the Appeals Tribunal rendered a judgement emphasizing that the Dispute Tribunal was not a decision-makers and that its role was limited to a limited judicial review of the Secretary-General's exercise of his extensive administrative discretion.",
"As a measure of the subject of several judgements, staff members were given special leave in the course of investigating allegations of misconduct. The Dispute Tribunal ruled that such measures would not be appropriate if the disciplinary proceedings were not concluded. As a result, the Administration revised the rules and promulgated staff rule 10.4. This article specifically stipulates that staff members will be given administrative leave before the end of the investigation. Previous staff rules require charges against staff members prior to their suspension. The new Staff Rules provide that staff members may be granted administrative leave at any time during the investigation until the completion of the disciplinary process.",
"An important topic for appealing the judgement of the Appeals Tribunal was the question of compensation. The Court of Appeal has reversed a number of awards of compensation, and the principles that should be applied by the Dispute Tribunal have been clarified. Specifically, the Court of Appeal has found that successful claimants have the right to compensation - if money is available — to bring them into compliance with their terms of appointment.",
"For the purposes of paragraph 53 (c) of General Assembly resolution 63/251, detailed information on the compensation paid is provided in annex III to the present report. The Secretary-General responded to the indirect costs associated with appeals, such as the time of staff, including the identification of all aspects of the administration of staff that gave rise to significant appeals.",
"In order to calculate such indirect costs, all stakeholders in the system of administration of justice agreed that the total number of hours spent by staff in 2010 related to the judgements of the Dispute Tribunal and the Appeals Tribunal should be added. They also agreed that a P-4 Legal Officer could be used as an average of 40 hours per week and 45 weeks per year. In addition, 20 per cent reflects additional work time hours for management and senior management to review cases and administrative support.",
"The documents submitted by the Registry of the Dispute Tribunal, the Office of Legal Affairs, the Office of Human Resources Management, UNDP, UNICEF, the United Nations Office for Project Services, UNFPA, the Management Evaluation Unit and the Staff Legal Aid Office for the calculation of time used in cases where the judgement was delivered by the Dispute Tribunal. The Registry of the Appeals Tribunal, the Office of Legal Affairs and the Staff Legal Aid Office provided documentation for the calculation of the time used in the case of the Appeals Tribunal. The average of the cases of the Dispute Tribunal and the Appeals Tribunal are presented below. The methodological description of these figures may be requested.",
"It should be noted that the number of cases used may vary considerably. In addition, the figures provided by the Staff Legal Aid Office do not reflect the time spent by volunteers in cases, nor do the Office spend considerable time in providing brief advice or dealing with cases that do not result in formal appeals.",
"Taking into account the information provided by each unit and entity, the average staff time used by the Dispute Tribunal in one case was 400.3 hours, with the Appeals Tribunal having a case of 2.30.5 hours per month (at 40 hours per week for a P-4 staff member and 45 weeks per year).",
"For the purposes of paragraph 53 (d) of General Assembly resolution 63/251 on compensation for six months or above, the Secretary-General provides information on such compensation in annex III to the present report.",
"Issues relating to the review by the General Assembly of the statutes of the Tribunals",
"Introduction",
"In paragraph 46 of its resolution 9851, the General Assembly decided that “to extend to the sixty-sixth session of the General Assembly the experience gained to review the statute of the Tribunal, including the overall efficiency of its functioning”. In order to assist the General Assembly in reviewing the statutes of the Tribunals, the Secretary-General raised the following questions for consideration by the General Assembly. In raising those issues, the Secretary-General stressed that the discussions on those issues should not impede the principle of judicial independence. Since the General Assembly is the body to establish two tribunals, adopt their statutes, approve their rules of procedure, it shall determine what action has been taken on these issues or whether it is acted.",
"Rules of procedure of the Tribunals",
"Article 7 of the statute of the Dispute Tribunal stipulates that the Dispute Tribunal shall be subject to the approval of the General Assembly. Similarly, article 6 of the statute of the Appeals Tribunal stipulates that the Appeals Tribunal shall be subject to the approval of the General Assembly. As the General Assembly will consider the report on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal (A/66/86), the Secretary-General submits to the Assembly the views of the following relevant procedural rules for its consideration.",
"Consultations on amendments to procedural rules",
"The statutes of the Tribunals do not currently provide for proposals by the parties on amendments to the rules of procedure of the Dispute Tribunal and the Appeals Tribunal or for participation in consultations. Since the parties appearing before the Court have made important views on the implications of the proposed amendments, prior consultations with them facilitate the process of revising the rules of procedure of the Tribunals. The statutes or rules of procedure of the two Tribunals do not specify, without prejudice to consultations with the parties prior to amendments to the rules of procedure. It is noteworthy that, while the statute and procedural rules of the International Tribunal for the Former Yugoslavia do not provide for the consultation process for amendments to the rules of procedure, in practice, the participation of the Registry, the Prosecutor's Office and the defence counsel in a “Rules Committee”, the Commission was established to consider these amendments before judges adopt the proposed amendments to the rules of procedure of the Tribunal.",
"The Secretary-General recommends that the General Assembly encourage the two Tribunals to consult with the parties appearing before amendments to the rules of procedure.",
"Disclosure of cases that are manifestly inadmissible or unfounded",
"Article 9 of the rules of procedure of the Dispute Tribunal states that “in cases where the facts of the case are not contested, the parties are entitled to a judgement in accordance with the law and may formally request the judgement”. Under this provision, the non-substantive complaints cannot be dismissed as long as there is a controversy about the major facts. By contrast, the administrative tribunals of other intergovernmental organizations established mechanisms for dealing with non-substantive complaints. [8] For example, article 76 of the rules of procedure of the Court of Civil Servants of the European Union states that “When a suit is manifestly inadmissible or manifestly lacking any legal basis, the Court may not conduct further proceedings and adopt a decision with justification”. In 2010, 10 cases were handled in 129 cases before the European Union Civil Service Court.",
"In addition, the Secretary-General notes that the rules of procedure of the Appeals Tribunal do not provide for a mechanism to deal expeditiously with non-substantive appeals. In other intergovernmental organizations, only the European Union provided for an appeal review. The judgement of the EU Civil Service Court may be appealed to the ordinary courts. Article 111 of the rules of procedure of the ordinary courts provides that, if a suit “recognized inadmissibility or manifestly lack of any legal basis”, the ordinary courts may make a decision “without further measures in the proceedings”.",
"As to what cases may be manifestly inadmissible or groundlessly dismissed, the Secretary-General recalled that the Appeals Tribunal had ruled in July 2010 that the Dispute Tribunal was not competent to review or modify the judgement of the former United Nations Administrative Tribunal. [9] Notwithstanding this, the Appeals Tribunal has so far received at least five appeals seeking to amend the judgement of the Administrative Court. Although these appeals may be considered “a clear lack of any legal basis”, the Appeals Tribunal has no mechanism to quickly reject these cases. Therefore, the Organization, in addition to its readiness to respond to the costs incurred by such appeals, also assumes the cost of making a comprehensive judgement for each such case (in the amount of $3,600 per judgement).",
"In order to ensure that no cases may be promptly dismissed in order to make more efficient use of the resources of the system of administration of justice, the General Assembly may wish to consider the amendment to article 7, paragraph 2 (viii), of the statute of the Dispute Tribunal, which contains a provision on “the procedure for rejecting cases, including cases that are manifestly inadmissible or clearly lacking any legal basis”. The Assembly may also wish to amend article 6 of the statute of the Appeals Tribunal to include a similar provision.",
"The Secretary-General recommends to the General Assembly the amendment to article 7, paragraph 2 (viii) of the statute of the United Nations Dispute Tribunal and article VI of the statute of the United Nations Appeals Tribunal, which stipulates that in the rules of procedure there is a mechanism to rapidly reject cases that are clearly inadmissible or clearly lacking any legal basis.",
"Recorded oral hearings",
"As indicated in paragraph 49 above, the Secretary-General has requested budgetary resources for the maintenance of oral hearings. Although the Appeals Tribunal ruled in one case that a party “rights to have the testimony of the Registrar of the Dispute Tribunal in the proceedings” [10], these records are not always required by the parties. In June 201, the parties were informed that “the rules of statute and procedure do not require the Registrar of the Dispute Tribunal to produce a photograph of the proceedings”.",
"The Secretary-General points out that in the fact-finding assessment of the Dispute Tribunal, there is no meaningful exercise by the parties of the right to appeal in cases where the Dispute Tribunal does not provide such oral evidence to the parties. Although the parties may rely on their oral evidence notes, without objective evidence, the Appeals Tribunal will not be able to assess whether the oral evidence statement of the Dispute Tribunal or the parties' statements are accurate.",
"In order to ensure the retention of oral hearings and the request of the parties for such recordings, the General Assembly may wish to consider amendments to article 7, paragraph 2 (e), of the statute of the Dispute Tribunal, to include a rule on the rules of procedure “the oral hearings, including the provision for the recording of oral hearings requested by the parties”.",
"The Secretary-General recommends to the General Assembly the revision of article 7, paragraph 2 (e), of the statute of the United Nations Dispute Tribunal, which provides for the retention of the oral hearings of the Tribunal and shall request such recordings.",
"Staff name editorial",
"Article 11, paragraph 6, of the statute of the Dispute Tribunal stipulates that “The Registry of the Dispute Tribunal shall, with attention to the protection of personal information, make public access to court judgements”.",
"The Secretary-General points out that in a number of cases the Dispute Tribunal listed the names of staff directly or indirectly involved in the disputed decision. In a number of cases where a disputed decision is invalid, the Tribunal takes the conduct and character of the staff in a non-controlled manner. The names of the staff members, in a non-sectional manner, of the behaviour and sexuality of the staff, have resulted in a number of staff submitting complaints to judges and raising concerns about defamation.",
"Bearing in mind the provisions of article 11, paragraph 6, of the statute of the Dispute Tribunal and taking into account the need to ensure that the names and the character of the staff are not unjustified in the judgement of the Dispute Tribunal, the General Assembly may wish to consider amendments to article 7, paragraph 2 (vi), of the statute of the Tribunal, to include a provision on “Proclamation of judgements, including procedures for the names of the persons concerned”.",
"The Secretary-General recommends that the General Assembly amend article 7, paragraph 2 (vi), of the statute of the United Nations Dispute Tribunal to include a provision on the rules of procedure for “the publication of judgements, including the procedure for editoring the names of the judgements at the request of the individual concerned”.",
"Suspensive effect of appealing an intermediate order",
"In accordance with article 11, paragraph 3, of the statute of the Dispute Tribunal, “the judgement shall be executed after the expiry of the prescribed time limit.” In addition, article 7, paragraph 5, of the statute of the Appeals Tribunal stipulates that “the appeal shall have the effect of suspending the execution of the disputed judgement”. Although the statutes of the two Tribunals refer only to the judgement, the Court of Appeal recognizes that, in a limited number of cases, the appeal against an interlocutory order is also permitted. Thus, article 11, paragraph 3, of the statute of the Dispute Tribunal and article 7, paragraph 5, of the statute of the Court of Appeal apply to appeal against an interlocutory order, it seems appropriate.",
"Because it is unclear whether the appeal will suspend the obligation to enforce the disputed intermediate order, the Dispute Tribunal prohibits the appearance of the appellant in the Dispute Tribunal. That conclusion was later declared null and void by the Appeals Tribunal. [11] Article 19 of the rules of procedure of the Dispute Tribunal, as amended, provides for the exercise of this prohibition and allows the Court to order any order it deems appropriate, including the decision to reject the complaint or the respondent, where a party fails to comply with an intermediate order. In the opinion of the Secretary-General, the right of the Dispute Tribunal to impose an intermediate order must be balanced with the parties' right to appeal in good faith, particularly in cases where the Secretary-General would otherwise have to implement the intermediary orders issued by the Dispute Tribunal and contradictory to the established jurisprudence of the Appeals Tribunal. The General Assembly may wish to consider amendments to article 11, paragraph 5, of the statute of the Dispute Tribunal and article 7, paragraph 5, of the statute of the Appeals Tribunal, in order to confirm that those provisions are equally applicable to all decisions of the Dispute Tribunal, regardless of their form or order.",
"The Secretary-General recommends to the General Assembly the amendment to article 11, paragraph 3, of the statute of the United Nations Dispute Tribunal, indicating that an appeal may be made to an intermediate order issued by the Dispute Tribunal. The Secretary-General also recommends that the General Assembly amend article 7, paragraph 5, of the statute of the United Nations Appeals Tribunal to clarify the effectiveness of the appeal against an intermediate order ordered by the Dispute Tribunal to suspend the execution of the disputed order. The relevant provisions of the Rules of Procedure of the Tribunals also require amendments.",
"Time frame for appeal at the Appeals Tribunal",
"Article 7, paragraph 1 (c), of the statute of the Appeals Tribunal provides for a period of time to appeal for 45 days. [12] The present statute does not set a time frame for appeals against intermediate orders, although in practice, the Appeals Tribunal has a 15-day time frame. [13]",
"In the light of the limited resources of the parties and the delays encountered in the transfer of the relevant archives between duty stations, the Secretary-General is of the view that the extension of the time frame for appeals for 15 days will help to provide more full information on the legal issues to be reviewed by the Appeals Tribunal. The delay caused by the extension of 15 days has been extremely limited, allowing for a more thorough review of the significant proceeds of legal issues raised in the appeal, which should be weighed against, particularly in reviewing many fundamental issues at the first stage of the Appeals Tribunal.",
"The Secretary-General recommends that the General Assembly amend article 7, paragraph 1, subparagraph (c), of the statute of the United Nations Appeals Tribunal by extending the time limit for appeals against judgements of the United Nations Dispute Tribunal from 45 days to 60 days and establishing a 30-day time frame for appeals against intermediate orders. The relevant provisions of the rules of procedure of the Court of Appeal also require amendments.",
"C. Jurisdiction of the United Nations Dispute Tribunal relating to acts and omissions of independent entities relating to the fulfilment of their mandates",
"Article 2, paragraph 1 (i), of the statute of the Dispute Tribunal determines the jurisdiction of the Tribunal with regard to “administrative decisions alleged to be non-compliance with the terms of appointment or the employment contract”. In interpreting the term “administrative decisions”, the United Nations Administrative Tribunal found that “the characteristics of administrative decisions are made by the executive branch, unilateral, specific circumstances”, and that the conditions and treatment of staff are “a direct legal consequence”. [14] In describing the first criterion (the administrative decision must be taken by the executive branch), the Administrative Tribunal ruled in its judgement No. 1359 (Perez-Soto (2007)) that the Ombudsman's decision not to investigate complaints of harassment did not constitute administrative decisions, since, in view of the independent status of the Ombudsman, all acts or omissions were outside the decision of the Administration.",
"The executive courts of other international organizations also recognize the following basic principles: When an entity is independent of the management, the organization does not effectively control the entity and therefore cannot be responsible for its acts or omissions. For example, in two different cases, the staff of the International Monetary Fund (IMF) and the World Bank alleged that their organizations would be responsible for the publication of personal confidential information and that they were brought to justice. [15] Both the IMF Administrative Tribunal and the Administrative Court of the World Bank dismissed these complaints and ruled that these organizations could not be responsible for the actions of the Staff Union, as they did not act “in accordance with management directives or under effective management control”. [16]",
"The Secretary-General notes that a number of entities with independent status have been established pursuant to General Assembly resolutions. These entities include the Ombudsman, OIOS, the Ethics Office and the Office of Internal Justice. These entities enjoy operational independence. [17] The question of the competence of the Dispute Tribunal to govern the acts or omissions of these independent entities raises a challenge, and the possibility for the Secretary-General to be held accountable for the conduct and inaction of entities without effective control.",
"To date, an independent entity that has been challenged by conduct and omission in the Dispute Tribunal includes (a) OIOS; (b) the Ethics Office; and (c) the Staff Legal Aid Office:",
"(a) In one of the recent cases before the Appeals Tribunal, a staff member challenged the contents of a OIOS report and the OIOS audit process. As at 15 August 2011, the Appeals Tribunal had not issued the judgement in the case. However, as indicated by the judgement (the judgement is to be delivered by the Registry of the Appeals Tribunal for the publication of the press rather than as an official document), the Appeals Tribunal seems to recognize that, since the Secretary-General has no authority to influence or interfere with OIOS, the United Nations Dispute Tribunal does not have jurisdiction to do so because it reviews only the administrative decisions of the Secretary-General;",
"(b) In at least three cases, staff complained to the Dispute Tribunal and questioned the opinion of the Ethics Office that they had not been subjected to reprisals. They stated that the General Assembly requested the Secretary-General to establish an Ethics Office with “independent status”, which would require the Secretary-General to respect. In rejecting that argument, the Dispute Tribunal considered that “the recommendations of the General Assembly must be carefully considered”, but did not decisively play a role in assessing whether the Ethics Office was independent. [18] Since the Dispute Tribunal has not yet issued a final judgement dealing with the question of whether the discretion of the Ethics Office concerning retaliation constituted administrative decisions, the Appeals Tribunal has not yet commented on this issue;",
"(c) In a recent review by the Appeals Tribunal, a staff member challenged the alleged non-disclosure of conflicts of interest by the Staff Legal Aid Office. In the opinion of the Secretary-General, the acts and omissions of the Office do not constitute a decision of the executive branch and therefore do not fall within the jurisdiction of the Dispute Tribunal. The Dispute Tribunal is limited to the review of “administrative decisions”. In this regard, the Secretary-General notes that both the Administrative Tribunal of the Monetary Fund and the Administrative Tribunal of the World Bank have refused to accept the argument that these two international organizations could be held accountable for their actions in disputed by the Staff Union, since the main purpose of the Staff Union is to speak in the interests of the staff, “representative independence and sometimes the perception of the management”. [19] This reasoning is even more applicable to the Office of Staff Legal Assistance, since the nature of the proceedings means that the Office often expresses the opposite view with management. As at 15 August 2011, the Appeals Tribunal had not issued the judgement in the case. However, as shown in the summary of the judgement, the Court of Appeal seems to determine that the conduct and omission of the Office of Staff Legal Assistance fall within the jurisdiction of the Dispute Tribunal, since the services provided by the Office and the manner in which the agent is responsible can have an impact on the conditions of appointment. The legal and financial responsibilities of the Secretary-General for the conduct and inaction of the Office of Staff Legal Assistance are meaning that staff members may make claims for compensation to the Organization if they are unable to successfully challenge the administrative decisions of the Secretary-General.",
"The emerging case of the Appeals Tribunal appears to indicate that, although acts and omissions of certain independent entities, such as OIOS, may not fall within the jurisdiction of the Dispute Tribunal, acts and omissions of other independent entities such as the Office of Staff Legal Assistance may be reviewed by the Dispute Tribunal. In addition, the Secretary-General points out that the guidance of the Court of Appeal on these issues is not necessarily decisive, since the Dispute Tribunal stresses that those rules are applicable only when the rules established by the Appeals Tribunal are “compliant with the general principles of law”. [20]",
"Therefore, the Secretary-General believes that clarification by the General Assembly of its intention in the jurisdiction of the Dispute Tribunal may be useful. In this regard, the Secretary-General emphasizes that the exclusion of acts and omissions of independent entities from the jurisdiction of the Dispute Tribunal does not imply that staff are deprived of the right to appeal in cases where they believe that their rights are violated by such entities.",
"First, the Secretary-General may object to that decision in the Dispute Tribunal itself, subject to an administrative decision based on the alleged acts or omissions of an independent entity. For example, the Ethics Office concluded that a staff member had committed reprisals and that the Secretary-General, in accordance with the discretion of the Ethics Office, had decided to impose disciplinary measures on the staff, which could lodge a complaint to the Dispute Tribunal, object to the disciplinary measures taken by the Secretary-General and his reliance on the Ethics Office's alleged error. However, the discretion of the Ethics Office with regard to reprisals should not be questioned by the Dispute Tribunal. Since the independent status of the Ethics Office does not allow the Secretary-General to direct the Office to make a retaliatory decision, it cannot be held accountable for the Secretary-General's responsibilities, even if they were later proved wrong.",
"Secondly, if staff questioned the conduct or omissions of independent entities relating to the performance of their management functions, the scope of the jurisdiction of the Dispute Tribunal would not raise any question with respect to the independent status of the entity. For example, the question of the manner in which OIOS selects is clearly within the jurisdiction of the Dispute Tribunal.",
"The exercise of jurisdiction by the Dispute Tribunal for acts and omissions of independent entities is problematic only when a staff member's complaint concerns the manner in which the independent entity performs its functions. In the Secretary-General's view, as independent entities carry out their operational responsibilities in a manner that does not fall under the effective control of the Secretary-General, any acts and omissions relating to the implementation of operational mandates cannot be attributed to the Secretary-General and should not be held accountable for the legal or financial responsibilities of the Secretary-General. Indeed, accountability in such cases does not advance the objective of strengthening accountability, since the Secretary-General has no authority to influence or correct the behaviour and omissions of the independent entity questioned by the staff. The General Assembly may wish to consider the suitability of accountability and the cost of the Organization's public funds in cases where the Secretary-General has not been identified.",
"If the General Assembly wishes to clarify that the jurisdiction of the Dispute Tribunal with respect to administrative decisions is limited to those taken by the Secretary-General or taken on behalf of the Secretary-General, the Assembly may wish to consider amendments to article 2, paragraph 1 (i), of the statute of the Dispute Tribunal, referring to “administrative decisions of the Secretary-General that have unilaterally taken or on behalf of the Secretary-General on alleged non-compliance with the terms of appointment or employment contracts”.",
"The Secretary-General recommends to the General Assembly the amendment to article 2, paragraph 1 (i), of the statute of the United Nations Dispute Tribunal, referring to “administrative decisions of the Secretary-General that have been made unilaterally or on behalf of the Secretary-General on alleged non-compliance with terms of appointment or employment contracts”.",
"Another emerging issue is whether the Dispute Tribunal has jurisdiction over decisions taken by the governing bodies, such as the Executive Assembly or its subsidiary bodies. To date, staff have submitted complaints to the Dispute Tribunal calling into question the actions taken by the Secretary-General to implement General Assembly resolutions and the decisions of the International Civil Service Commission (ICSC).",
"General Assembly",
"Article 101 of the Charter of the United Nations provides that “the conductr shall be assigned by the Secretary-General in accordance with the statutes established by the General Assembly”. In accordance with that provision, the General Assembly has promulgated the Staff Regulations and may modify the Staff Rules. In its resolution, the General Assembly approved the Organization's policy on human resources management.",
"In 2010, the General Assembly, in its resolution 848, approved the recommendation of the International Civil Service Commission to harmonize the conditions of service of staff at the non-family duty stations in the organizations of the United Nations common system. The consequences of that decision were the removal of a “personal transition allowance”. In the same resolution, the General Assembly also requested the Secretary-General to promote “the immediate Executive Committee's recommendations on the harmonization of conditions of service at non-family duty stations”. The Department of Field Support therefore informed field staff that the changes approved by the General Assembly would enter into force on 1 July 2011. In June 2011, for the first time, a complaint was submitted to the Dispute Tribunal for the cancellation of the personal transition allowance. The complaint alleged that the elimination of personal transitional benefits had a negative impact on single women and raised discrimination based on gender or individual status.",
"The Charter requires the Secretary-General to implement the staff management regulations established by the General Assembly, with the result that the Secretary-General is also requested to implement the human resources management policies set out in General Assembly resolutions. The United Nations Administrative Tribunal had previously considered that the Court “shall not be a General Assembly nor the Secretary-General, and therefore did not qualify for a policy decision on personnel issues to be replaced by its judgement”. [21] Resolution 8051 reaffirmed the legal authority of General Assembly resolutions and stressed that “all parts of the new system of administration of justice must be in compliance with the Charter of the United Nations and the legal and regulatory framework approved by the General Assembly”.",
"However, the Dispute Tribunal is of the view that, if any action would result in a violation of human rights norms, such as the principle of equal pay for work of equal value, it could not be denied by the Secretary-General on the basis of his obligation to comply with General Assembly resolutions. The decision was confirmed by the Appeals Tribunal. [22] In short, when the Dispute Tribunal determines that the implementation of General Assembly resolutions will result in non-compliance with human rights norms, its legal and economic responsibilities can be held by the Secretary-General in implementing the resolution.",
"International Civil Service Commission",
"The International Civil Service Commission is a subsidiary body of the General Assembly and its statute is approved by the General Assembly in its resolution 3357 (XXIX). Article 6 of the statute of the Commission explicitly prohibits the Committee from accepting instructions from any organization participating in the common system, which is independent of the Secretary-General. Article 25 (3) of the Constitution states that the Commission's decision “shall be implemented by the organizations from the dates determined by the Commission”.",
"In December 2009, the International Civil Service Commission decided to classify duty stations in Nairobi from the category “C” to the category “B”. The classification of duty stations in Addis Ababa has also been changed from “C” to “B”. Both changes entered into force on 1 January 2011. The Commission's duty stations are categorized in the category “A” to “E” and indicate the difficulties in living and working conditions, which are the most difficult duty stations. As a result of the reclassification at the Nairobi and Addis Ababa duty stations, the hardship allowance received by persons working in the two places was reduced and the right to a home leave was granted every 24 months, not every 12 months. Staff at both duty stations object to the decisions of the Executive Committee of the Secretary-General.",
"The Secretary-General is obliged to implement the Commission's reclassification at the Nairobi duty station, as article 25 (3) of the Commission's statute and staff regulation 3.14 require the Secretary-General to “take into the amount of hardships for the life or work of each duty station established by national ICSC”. In addition, the United Nations Administrative Tribunal also emphasized that the Commission had binding on the Secretary-General. Judgement No. 421 of the Administrative Tribunal (Chatwani) ruled that “the Director-General of the United Nations or other organizations within the common system shall not be competent to revise, modify or withdraw the decisions adopted by the Commission in accordance with its statute”. [23]",
"Note by the United Nations Dispute Tribunal",
"The Dispute Tribunal is still reviewing the objections raised by the Secretary-General in the implementation of the decisions of the governing bodies, including resolutions of the General Assembly and decisions of the International Civil Service Commission. It is noteworthy that the Appeals Tribunal has dismissed the Secretary-General's argument in one case that the action requested by the staff would violate the General Assembly's resolution on budgetary issues, and that the budgetary factor “shall not override the requirement for fair treatment”. [24]",
"Even when the decisions of the Dispute Tribunal and the Appeals Tribunal question specific cases in which the Secretary-General implements General Assembly resolutions and decisions of the Commission, such sentences are not necessarily used in other cases, as the decisions of the governing bodies cover a wide range of issues related to human resources management. In addition, the Dispute Tribunal also stressed that it considered that the rules established by the Court of Appeal were applicable only when “consistent to the general principles of law”. [25]",
"The Secretary-General therefore considers that it might be useful for the General Assembly to clarify its intention to clarify the scope of the Dispute Tribunal. In the event of action by the Secretary-General to implement the decisions of the governing bodies, such as the General Assembly and the International Civil Service Commission, the General Assembly may wish to consider the appropriateness of imposing financial responsibility and consuming the Organization's public funds.",
"If the General Assembly stated that the jurisdiction of the Dispute Tribunal does not include the decision of the Secretary-General to implement the decisions of the governing bodies, such as the General Assembly and the Commission, the Assembly may consider the amendment to article 2.1 (a) of the statute of the Dispute Tribunal and the replacement of the reference to “administered administrative decisions of the Secretary-General, allegedly not in accordance with the terms of appointment or the employment contract”. The Secretary-General took action to implement the decisions of the governing bodies that were not a unilateral administrative decision of the Secretary-General, since he was not entitled to act in a manner contrary to the decisions of the governing bodies.",
"The Secretary-General recommends that the General Assembly amend article 2.1 (a) of the statute of the United Nations Dispute Tribunal by replacing the reference to “administrative decisions taken by the Secretary-General on behalf of the Secretary-General, allegedly incompatible with the terms of appointment or the employment contract”.",
"Resource requirements",
"The Secretary-General identified areas that need to be strengthened in the formal justice system for the establishment of a new system “independence, transparency, specialization, adequate resources and decentralized”. The resource requirements for the informal system are described in the report of the United Nations Ombudsman. For all of these reasons, in addition to the resources requested in the proposed programme budget for the biennium 2012-2013 (A/64/2), the Secretary-General recommends that the General Assembly consider strengthening the formal justice system with the following posts and non-post resources:",
"(a) With regard to the Management Evaluation Unit, in view of the reasons set out in paragraphs 19 and 20 above, the Secretary-General recommends to the General Assembly that a further Legal Officer (P-3) post be established to assist the Unit in its work;",
"(b) With regard to the Dispute Tribunal and its Registry, and in view of the reasons set out in paragraphs 42 to 44 above, the Secretary-General recommends to the General Assembly the reappointment of three full-time judges (Geneva, Nairobi and New York), the reclassification of one P-2 Legal Officer post in the New York Registry to P-3 and the establishment of six new posts (3 P-3, 2 General Service and 1 General Service ( Local level) to assist the work of the new dedicated judges, effective 1 January 2012. The above-mentioned positions were initially approved by the General Assembly in its resolution 63/253 for a term of one year beginning on 1 July 2009 and then extended by the General Assembly in its resolution 63/251 until 31 December 2011, and the funding system provided with the limited budgetary discretion granted by the Secretary-General in its resolution 60/283 and extended by resolution 64/260. The proposal was intended to formalize the existing temporary positions of the Dispute Tribunal;",
"(c) With regard to non-post resources for the Dispute Tribunal, and in view of the reasons set out in paragraphs 49 to 51 above, the Secretary-General recommends that the General Assembly approve communications costs ($25,000) and travel ($15,000);",
"(d) With regard to the Registry of the Appeals Tribunal, in view of the reasons set out in paragraphs 71 to 78 above, the Secretary-General recommends the establishment of a Legal Officer (P-4) to strengthen the Registry, effective 1 January 2012, and an increase of $280,200 to facilitate the third annual session of the Tribunal and to improve the treatment of the travel of its judges;",
"(e) With regard to the Office of Staff Legal Assistance, in view of the reasons outlined in paragraphs 83 to 92 above, the Secretary-General recommends the establishment of four posts (one P-4 and one General Service in Nairobi, one P-4 in New York and one General Service in Geneva) to strengthen the Office, effective 1 January 2012. The Secretary-General also recommends that resolution King51 be established on 1 January 2011 and currently funded by the support account for peacekeeping operations to the P-3 position as at 1 January 2011 until 31 December 2012. In addition, the Secretary-General requests for communications ($11,200), travel ($15,000) and supplies ($9,000);",
"(f) With regard to the Office of the Executive Director of the Office of the Administration of Justice, in view of the reasons set out in paragraphs 101 to 108 above, the Secretary-General recommends that the General Assembly authorize the provision of general temporary assistance ($130,000) for the compensation of external personnel of the Internal Justice Council and for the replacement of staff on long-term sick leave and maternity leave. In addition, the Secretary-General recommends that the General Assembly approve travel costs ($30,000), contractual services ($37,500) and software purchase fees ($37,500);",
"(g) With regard to the representative of the secretariat of the Secretary-General of the Dispute Tribunal, and in view of the reasons set out in paragraphs 115 and 116 above, the Secretary-General recommends that the General Assembly approve 11 new posts (5 P-4, 3 P-3, 1 General Service and 2 General Service (Local level)), effective 1 January 2012. This includes five posts in the Human Resources Management Office (2 P-4 and 3 P-3), two posts at the United Nations Office at Geneva (1 P-4 and 1 General Service), two posts at the United Nations Office at Nairobi (1 P-4 and 1 General Service ( Local level) and two posts in the Economic and Social Commission for Asia and the Pacific (1 P-4 and 1 General Service ( Local level)). In the light of the reasons set out in paragraphs 157 to 161 above, the Secretary-General recommends that the General Assembly approve travel ($60,000) for the implementation of the outreach mandate and for participation in court hearings at other duty stations;",
"(h) With regard to the Office of Legal Affairs, in view of the reasons set out in paragraphs 172 to 186 above, the Secretary-General recommends that three posts be established in the General Legal Affairs Division (2 P-4 and 1 P-3) effective 1 January 2012.",
"Therefore, if the General Assembly agrees to the above proposal, additional requirements of $8,677,900 would be considered in accordance with the provisions of the contingency fund established pursuant to General Assembly resolutions 41/213 and 42/211 (before recosting). In that regard, it should be recalled that the General Assembly, in its resolution 3862, approved the amount of $450 million for the Fund for the biennium 2012-2013.",
"The full new posts listed in the present report are to be established effective 1 January 2012. In paragraph 20 of its first report on the proposed programme budget for the biennium 2008-2009 (A/62/7), the Advisory Committee on Administrative and Budgetary Questions recommended that, if any, new proposals should be made, the delayed impact of posts should be described. In this context, the General Assembly may wish to note that the proposed 26 new posts are currently estimated at $3,356,400 under full cost for the biennium 2009/10, including $1,072,200 under section 1, Overall policymaking, direction and coordination, $442,200 under section 8, Legal affairs, $173,500 under section 19, Economic and social development in Asia and the Pacific, $126,200 under section 29A (Under-Secretary-General for Management), $668,600 under section 29C, Human resources management, section E, section 29, Administration of the United States dollars, and staff assessment under section 29, paragraph 4, Administration, of the United Nations Office for the biennium.",
"Conclusions and actions to be taken by the General Assembly",
"In the opinion of the Secretary-General, the recommendations contained in the report would provide the necessary additional strength for the new system of administration of justice that has earned the trust of staff and management. He invited the General Assembly to give these proposals appropriate consideration and to approve the resources needed to ensure their implementation.",
"Therefore, the General Assembly is invited to:",
"(a) Approves the establishment of 26 new posts (10 P-4, 8 P-3, 4 General Service (Other level) and 4 Local level) within the programme budget for the biennium 2012-2013;",
"(b) Approves the reclassification of one P-2 post to the P-3 post, effective 1 January 2012, within the programme budget for the biennium 2012-2013;",
"(c) A total of $8,657,900 (before recosting) in the programme budget for the biennium 2012-2013, comprising an additional appropriation of $3,889,700 under section 1, Overall policymaking, direction and coordination; $559,700 under section 8, Legal affairs; $388,400 under section 19, Economic and social development in Asia and the Pacific; $164,300 under section 29A, Under the Under-Secretary-General for Management; $948,300 under section 29C, Human resources management, Office of Central Support Services; and an increase of $36,600 under section 29, Administration of the United Nations Office for Project Services; These funds will be charged against the contingency fund;",
"(d) Approves the continuation of one year of the P-3 post in Nairobi effective 1 January 2012, funded by the budget for the support account for peacekeeping operations, to be reported in the performance report relating to the support account for peacekeeping operations for the period from 1 July 2011 to 30 June 2012 and reflected in the proposed budget for the period from 1 July 2012 to 30 June 2013.",
"Annex I",
"Recommendations for funding mechanisms for staff funded by the Staff Legal Aid Office",
"Staff Legal Aid Office",
"Introduction",
"The present concept paper provides information on mechanisms funded by staff to support the work of the Office of Staff Legal Assistance, as requested by the General Assembly in paragraphs 40 and 41 of resolution 9851. The General Assembly requested proposals based on both statutory contributions and voluntary contributions, which were responsive.",
"The present document presents a common point for statutory contributions and voluntary contributions programmes. In particular, the General Assembly will continue to define the staffing table and other financial needs of the Office of Staff Legal Assistance, taking into account the Secretary-General's proposed budget. In addition, the Secretary-General notes that any decision on the staffing needs of the Office must take into account any decision of the General Assembly on the mandate and functions of the Office. The Office post established pursuant to resolution 63/253 will continue to be funded from the regular budget. The proposed staff funding mechanism would offset part of the increase in the current staffing costs of the Office, as proposed by the Secretary-General. The last common point is that the proposed staff contribution, whether statutory or voluntary, will be deducted from the monthly salary.",
"In particular, with regard to the statutory contribution programme, it is noteworthy that the establishment of the Office of Staff Legal Assistance as part of the Organization's system of administration of justice constitutes the Organization's costs associated with its operational activities. In accordance with Article 17, paragraph 2, of the Charter of the United Nations, “The Organization's funds shall be borne by Member States in accordance with the limits allocated by the General Assembly”. This intention is to require Member States to bear the expenses of the Organization, which is clearly reflected in the legislative history of the provision. [26]",
"Therefore, the requirement for staff members to assume part of the Organization's funding under the Charter for Member States raises legal issues. If the introduction of an approach that would assist the General Assembly in its mandated activities, it would create a possibility that the other “cost” of the Organization in the future could be considered to be beneficial to staff members and would be fully or partly assumed through taxation of staff.",
"Staff statutory payment mechanisms funded by the Legal Aid Office",
"The staff funding mechanism for the Office of Staff Legal Assistance has three possible statutory modalities of contributions: (a) a general pattern of wage payments for all staff; (b) a model for the actual use of the office's services; and (c) a percentage of contributions received by staff unions and associations to fund the activities of the Office. The three models are discussed below.",
"As at 30 June 2010, staff from the Secretariat and funds and programmes comprised approximately 45,000 General Service staff, about 30,000 Professional and field staff and approximately 1,525 Division and above staff. They can use the system of administration of justice (see A/65/350 and CEBLCM/HR/24).",
"Universal statutory pattern of payments",
"In accordance with the general statutory pattern of payments, each staff member will be charged. Any fees for staff members have a significant consideration of the salary scales for each duty station, in particular local salary scales. Therefore, any fees would need to reflect the difference in the salary scales in order to ensure that fees are fair and commensurate with the actual salary ratios of each staff member. One may be to collect a percentage of the staff salary available for each system of administration of justice (e.g., 001 per cent). Another may be fixed for the amount of fees, but the level, grade and duty station of staff are determined. The fees will be deducted from the monthly salary.",
"The contributions of staff charged will be used to offset part of the current staffing table for the Office of Staff Legal Assistance established pursuant to General Assembly resolution 63/253 (1 P-5, 5 P-3, 1 P-2 and 3 General Service posts).",
"The model has several benefits. The main advantage is that, as a result of the large number of staff members, a large amount of money can be charged to fund the Office even if the amount of individual contributions is small. Similarly, the universal statutory payment mechanism will be the most consistent and stable source of income.",
"However, there are some concerns about the statutory payment mechanism. The first issue is that, in general, staff using office services are expected to account for a small percentage. Currently, less than 1 per cent of the staff who are making complaints to the formal system are being complained. As a result, about 99 per cent of staff will pay some of the costs for services used by less than 1 per cent of staff. This raises concern about the fairness of the practice of extensive charges with universal statutory payment mechanisms.",
"Another concern is that, in accordance with the jurisprudence of the Dispute Tribunal, the Office [27] may refuse to provide assistance if it determines that a case is not legally suffrage or where the court wins. This jurisprudence is in line with the universally accepted principle that court personnel may not submit cases in which they are in good faith considered to be incompatible with the law. In addition, the resources of the organization should not be wasted on matters that are virtually impossible or entirely impossible to achieve results. However, if all staff members are subject to a statutory fee, the individual of the staff may feel entitled to make a case on behalf of the Office of Staff Legal Assistance, irrespective of whether the case is legally justified or unreasonably successful. There is therefore a risk that staff members may lodge complaints, even formally appealing the decision, despite the payment of fees, and thus raise additional and potentially significant costs to the Organization.",
"This situation may arise under the statutory payment and voluntary payment mechanism, since in theory, whether statutory or voluntary contributions are made, contributions may be argued that they are entitled to services.",
"Finally, if staff members are required to contribute to the services provided by the Office established by the General Assembly, the staff may consider that this provision violates the terms of appointment and conditions of service and appeal against them. If the staff complaint is successful, the Organization will be forced to return all staff members to pay interest at the later stage and may also pay other compensation payments.",
"Flexibility for those using the Office of Legal Assistance",
"The second possible statutory staff funding programme is that only staff members who use the Office of Legal Assistance are required to pay. This model could address the issue of staff members who do not use office services being requested to bear the funding costs of the Office.",
"If the programme is agreed, it will be necessary to determine the amount requested. Fixed contributions are equal to service charges for the use of office. Other models may also be considered, for example, by requiring successful claimants to contribute a percentage of any award.",
"However, as the number of staff serving in the office is small percentage of the total number of staff (approximately 1,000 staff members each year seek office services), the fees for users are more than the small contributions envisaged under the universal statutory payment model. For example, the annual costs of P-4 posts in Geneva amount to $277,300. As a result, the average fees for each office user would amount to $277.30 for the full provision of a P-4 post for the Geneva Staff Legal Aid Office. If such a mechanism should only offset a percentage of the costs associated with other posts in the Office, fixed charges may be more or less, depending on the number of posts and the percentage to be offset.",
"It is noteworthy that one of the worrying circumstances that have been referred to in the general pattern of contributions also apply to this model, i.e., if the Office refuses to represent the staff who have paid legal contributions, the staff may request continuing to provide legal services to them and even appeal them. However, one way to mitigate this concern is that the costs charged to the staff are limited, depending on the size of the Office's service. For example, if the Office assists staff in the negotiation and reconciliation of their cases, it could be charged to them at $30 million, with the exception of the Office to provide telephone advisory services, only $50.",
"C. statutory fees for the receipt of contributions by staff unions and associations",
"The third possible statutory contribution model is that staff associations and staff unions are required to contribute a part of their contributions to support the work of the Staff Legal Aid Office.",
"Staff unions and associations are used to promote and guarantee the rights and interests of staff. As a result, a portion of the contributions received is required to provide the Office with a form of legal insurance for the staff members represented by the Staff Union and the Association.",
"Concerns arising from the introduction of statutory deductions for trade union financial resources, similar to those that impose statutory deductions on individual staff members.",
"At present, the United Nations Staff Union and Association shall not impose a statutory fee on the staff represented. As a result, trade unions and associations have significant differences in financial resources. There are several possibilities for determining fees. One is a percentage of contributions received by each worker's trade union or association. Another is the amount charged to staff represented by trade unions. The third is a fixed amount for all trade unions and associations. Under the previous two models, the number of funds that can be charged and used to offset office costs depends on a number of factors (in the first mode, the number of contributions received and the second model is the number of staff members represented and the contributions paid to each individual). Under the third model, for example, $200,000 (14 trade unions) is charged to each worker's trade union/Associate, and $280,000 per year will be net. However, it is feared that trade unions and associations, in particular underfunded trade unions and associations, may complain that the imposition of fees would weaken their ability to provide basic services to members.",
"Voluntary contribution mechanisms for staff funded by the Office of Legal Assistance",
"There are two possible models for the establishment of funding mechanisms for staff based on voluntary contributions. One system is the automatic deduction of fixed percentages of staff salaries to assist the Staff Legal Aid Office in the delivery of services, but staff may choose to withdraw from the system. The second option is to allow staff to choose a fixed percentage of the salary.",
"The two voluntary contributions model has one advantage: contributions are made with the consent of the participating staff (expressed consent or tacit consent). However, the number of funds collected from voluntary contributions patterns will depend on how many staff members decide to pay, and therefore it is difficult to estimate the number of contributions if there is no real situation in several annual payment cycles.",
"Under both models, there is a need for incentives for staff to participate in the mechanisms. One possible way to encourage participation is the priority given by the Office to handle cases involving staff selected for the mechanism. If the Office is too long to deal effectively with a particular case, it may refuse to provide assistance to staff who have withdrawn from the voluntary funding mechanism.",
"Another way to encourage participation is to establish the services of the Staff Legal Aid Office at two levels. Staff participating in voluntary staff funding mechanisms will be able to use all services of the Office. Staff members who do not provide voluntary contributions can only use the Office's basic services, i.e. providing brief legal guidance/consultations on existing laws, and providing limited access to any documents or petitions drafted by staff for their own cases. In this regard, another incentive to participate in voluntary contributions mechanisms is the concept of user pay payments under the statutory payment mechanism, i.e., staff members who do not choose to join or choose to withdraw from voluntary mechanisms are required to pay their services.",
"As is the case under the statutory pattern of payments, a complaint and appeal may arise if the office considers that the case of the contributory staff is almost possible or entirely successful. However, one way to mitigate such concerns is to make it clear to staff that the Office will take into account the grounds for its complaints when deciding whether to provide legal assistance.",
"In addition, another issue of the voluntary mechanism is how the minimum payment threshold would provide enhanced services. For example, if staff members may choose to participate in a fixed-term payment model before they wish to receive office services, they may be withdrawn immediately after the receipt of such services. One way to address this problem is to limit the participation/removal status of staff, such as a limitation of one year.",
"Conclusion",
"All the models mentioned above will be implemented further. As noted above, the introduction of a statutory payment model involves legal issues.",
"Moreover, the conflict between equity and access to payment incomes must also be resolved. The statutory pattern of contributions, if identified as acceptable, is more likely to receive more contributions to offset the cost of additional office resources. However, the number of contributions received will also depend on how many individuals or entities are paid, depending on the amount or percentage charged, even under the statutory pattern of payments.",
"The “user pay” and voluntary models may be considered fairer, since they do not collect fees for those who do not use office services or do not consider to be worthwhile to use services in the future. This was particularly highlighted because 99 per cent of staff had not been used and were not expected to use office services. However, it is more difficult to predict how many of the contributions will be earned by any voluntary mechanism. Under the user pay rate model, the question arises as to how to ensure fair and adequate payment, while avoiding excessive reductions in the use of office services. Further consideration is therefore needed to achieve a proper balance between the wide provision of office services and the receipt of contributions.",
"Recommendations",
"The Secretary-General recommends that the General Assembly take note of the statutory funding and the recommendations of the Mixed Funding Mechanism as described in the present note, and recommends that the General Assembly indicate whether it considers a model and which model would be appropriate for the Secretariat to prepare a more detailed proposal for the consideration of the Assembly.",
"Annex II",
"Proposal for a mechanism for the preparation of complaints by outsiders",
"Summary of the rules of expedited arbitration for contracts with consultants and individual contractors: concept paper",
"Introduction",
"The present concept document [28] proposes that a possible solution to the problem between the United Nations and certain categories of subsidiaries (i.e. consultants and individual contractors) should be addressed through the inclusion of a number of simplified elements in the UNCITRAL Arbitration Rules. The Secretary-General's report on the administration of justice at the United Nations (A/65/373 and Corr.1, para. The present concept paper does not intend to discuss possible solutions to the dispute between the United Nations and the constituents referred to in paragraph 9 of General Assembly resolution 64/233, nor does it address certain categories of persons not applicable to the process discussed in this concept paper (see General Assembly resolution 63/251, para.",
"The approach referred to in paragraph 171 of the Secretary-General's report relates to arbitrations that deal with the amount of $25,000 under the auspices of local, national or regional arbitration associations. However, the report concluded that “initiation of formal arbitration in claims amounting to $25,000 or below may not be efficient and effective for the Organization even in accordance with special procedures for arbitration” (A/65/373 and Corr.1, para. Therefore, the rapid process outlined below does not precede financial constraints.",
"The procedures contained in this concept paper can be used both for specialized arbitration and for arbitration under the auspices of the Association of Arbitration, provided that the relevant associations agree to conduct arbitration in accordance with these procedures.",
"In simplifying arbitration proceedings, it must be borne in mind that, in accordance with article 8, paragraph 29, of the Convention on the Privileges and Immunities of the United Nations, the United Nations should provide for appropriate solutions to disputes arising from its contracts. Thus, the procedures contained in this concept paper seek to preserve the basic characteristics of the due process.",
"The procedures contained in this concept paper have the following basic characteristics:",
"• A two-phase process consisting of a informal dispute resolution phase and of a rapid arbitration process when informal dispute resolution is not successful",
"• The time frame for submitting arbitration requests cannot be abandoned",
"• Single arbitrators",
"• List of arbitrators selected from the Organization's agreement with individual contractors/consultants (see para. 8 (d) below)",
"• Limitation of arbitrators",
"• A designated body to exercise certain functions of a designated body by a neutral entity, such as the selection/appointing of arbitrators and the decision on the party's objection to arbitrators",
"A neutral entity may be an international dispute resolution body (in this case, the Organization and the applicant need to share the agency's management costs in their respective share)",
"• As long as possible, electronic transmission of arbitration notices and other communications",
"• Standard templates used by parties in submitting documents",
"• Streamlining and submitting other documents and limiting their number",
"• Limitation of amendments to pleadings and submissions",
"• The witness testifies in writing unless the arbitrator decides that the witness shall be given oral testimony (e.g., in order to allow the parties to carry out cross-exclusive testimony)",
"• Meetings and consultations between arbitrators and parties on initial administrative matters and other matters",
"• As an exceptional case, a party may request a hearing in order to cross-quality evidence or, if necessary, an arbitrator may order a hearing to address the substantive issues of fact or law; such hearings are usually carried out through teleconferences or videoconferences, with a limitation not exceeding two days.",
"• In most cases, arbitrators make decisions based on written pleas by parties and submissions (full written proceedings)",
"• Arbitral award within a specified time frame, for example, 30 days",
"• Any compensation paid by the decision is limited to filling economic losses and setting a ceiling",
"• Depending on the number of arbitrations initiated against the Organization in accordance with the proposed simplification of arbitration proceedings, additional resources may be required to defend the Organization and minimize its legal responsibility.",
"Framework",
"A set of new rules, known as the United Nations Rules for the Rapid Arbitration of Counsel contracts (hereinafter referred to as “the Quick Rules”), will be prepared in the framework of the UNCITRAL Arbitration Rules. The Quick Rules will be based on the UNCITRAL Arbitration Rules and make necessary changes to them to incorporate the expedited procedures referred to above. The present concept paper will describe the content of these changes, but it does not necessarily define the terms or place. This concept paper will also indicate what provisions of the UNCITRAL Arbitration Rules are relevant to or affected by the proposed process. It should be noted that, in addition to the points contained in the present concept paper, there are many other consequential changes to the UNCITRAL Arbitration Rules (e.g., changes required to adapt to only one arbitrator).",
"Summary of dispute resolution procedures",
"The Quick Rules provide for a two-phase process consisting of an informal dispute resolution phase and a rapid arbitration process. In the absence of success in the informal dispute settlement phase, the parties will enter the formal dispute settlement phase, namely, the rapid arbitration process, which will be discussed in the following sections.",
"Scope of the Quick Rules (the provisions of the UNCITRAL Arbitration Rules): Article 1",
"The Quick Rules apply to consultants and others employed in United Nations service contracts for consultants and individual contractors (see ST/AI/1999/7/Amend.1, annex) or to contracts with consultants and individual contractors using similar contractual formats for United Nations funds and programmes (see, for example, A/62/748 and Corr.1, para. 13; and A/65/373 and Corr.1, annex IV, para. These categories of personnel are referred to as “personal contractors” in this concept document.",
"Comments",
"(a) By this approach, the Quick Rules apply to all persons employed under consultants and individual contractors' service contracts or similar contracts. This includes, for example, special experts and workers holding such contracts (see A/62/748 and Corr.1, paras. 33 and 40; and A/62/782, paras. 31-35 and 37-39), but not United Nations Volunteers (see A/62/748 and Corr.1, paras. 23 and 24; and A/62/782, paras. 22 and 23), officials other than Secretariat officials (see A/62/748 and Corr.1, paras. 29-31; and A/62/782, paras. 27-29) and others holding contracts.",
"(b) The dispute resolution provisions in contracts with individual contractors will be altered, providing that disputes that have not been resolved in a friendly manner during the informal dispute settlement phase should be submitted to arbitration in accordance with the Quick Rules.",
"(c) The Quick Rules would provide for specific types of contractual claims applicable to them, such as claims that the parties have breached or otherwise terminated the contract. In addition, the Quick Rules explicitly exclude certain categories of disputes from ratione materiae, such as claims made by a contractor with a staff status. For the purposes of the provisions of Appendix D to the Staff Rules, the duties of arbitrators are limited to verification of whether the applicant is entitled to the same compensation procedure as set out in Appendix D to the United Nations Staff Rules. In addition, the Quick Rules also determine the time frame for the submission of an arbitration application and stipulate that the time limit shall not be abandoned.",
"(d) Unlike the UNCITRAL Arbitration Rules, individual contractors or consultants are not necessarily familiar with or accessible to the Quick Rules, and, therefore, the Quick Rules (including the names of entities where individual contractors or consultants may be required to present the lists of arbitrators) or should be made available to each individual contractor or consultant prior to signing the contract. Individual contractors or consultants must sign a letter of confirmation indicating that (i) the organization has provided the Quick Rules, (ii) the Quick Rules form an integral part of the contract and (iii) their acceptance of the list of arbitrators.",
"Announcements and other correspondence (the provisions of the UNCITRAL Arbitration Rules): Article 2",
"The parties and arbitrators shall communicate their notices, correspondence or proposals through electronic means in accordance with the Quick Rules unless such means of delivery are not available or impossible for technical reasons. [Reviews: This may include, for example, the lack or failure of electronic means of transmission, the excessive number of written or submissions. ]",
"Reports and other submissions (articles covered by the UNCITRAL Arbitration Rules: articles 3, 4, 20, 21, 22, 23 (2), 24 and 25)",
"Preliminary comments",
"According to the following provisions, the applicant was not required to submit a letter of reply before the arbitrator was appointed. The reason for this provision is that the applicant may wish to raise the defence of the arbitrator's jurisdiction (e.g., the relevant controversy cannot be submitted to arbitration in accordance with the arbitration clause affirmed by the applicant or, for some other reasons, the arbitrator has no jurisdiction); or may wish to reject the application in advance on the basis of a manifest lack of legal basis for the arbitration application. The applicant was not required to submit a full letter of reply and accompanying documents before the arbitrator had ruled on the issue of jurisdiction or the question posed by the applicant against the merits.",
"The applicant initiated the arbitration process by submitting an application for arbitration and arbitration. The information contained in the book should be similar to those provided for in the UNCITRAL Arbitration Rules. The applicant shall describe his claims and outline the grounds and supportive arguments.",
"Over 60 days after the receipt of the applicant's request for arbitration and arbitration, the applicant must issue a response to the arbitration request. The responses should include the defence of jurisdiction and other matters, such as the identity of each applicant and the responses to the information contained in the request for arbitration. The parties should use standard templates when submitting documents.",
"If the applicant raises a defence of the jurisdiction, the applicant shall, in his response to the request for arbitration, set out the facts and debates it wishes to make in support of the defence and, to the extent possible, be accompanied by all documents or documents that are based on them.",
"The applicant shall, in his reply to the request for arbitration, indicate the facts and arguments it wishes to make in support of the reply and, to the extent possible, the full document or the grounds indicated therein.",
"After the designation of arbitrators:",
"(a) If the applicant raises a defence of jurisdiction, the arbitrator shall, after consultation with the parties, set the time frame for the applicant to respond to the defence. The arbitrator then ruled on the defence of jurisdiction by the applicant [reviews: no hearings are held, see section 13] below, and the arbitrators shall set the time frame for the submission of the respondent's submission if there is jurisdiction;",
"(b) If the applicant's response to the request for arbitration is made in advance on the basis of a manifest lack of legal basis, the arbitrator shall, after consultation with the parties, set the time frame for the applicant's response to the respondent. The arbitrator then ruled that the applicant's reply to reject the application in advance on the basis of a manifest lack of legal grounds for the arbitration application [review: Without a hearing, see section 13 below] below, where an arbitrator is still maintaining an arbitration request, the time limit for the submission of the respondent by the applicant shall be set;",
"(c) If the applicant has not raised a defence of the jurisdiction or has not submitted a reply to the request for arbitration based on the apparent lack of legal basis, the arbitrator shall set the time frame for the submission of the respondent.",
"The information contained in the letter of reply should be similar to those provided for in the UNCITRAL Arbitration Rules. The applicant shall, in his letter of reply, respond to the specific elements of an arbitration application, may submit a counterclaim or a request for damages to the jurisdiction, unless it has been raised before. The letter of reply should be accompanied, to the extent possible, by the applicant as the basis of all documents or other evidence, or by the indication of the place of the documents.",
"Extension or shortening of time limits (the provisions of the UNCITRAL Arbitration Rules): Article 17 (2)",
"The time frame established or agreed by the parties in the Quick Rules may be extended or shortened at any time if the parties agree or the arbitrators so decide upon.",
"Amendments to the written statement (in the context of the UNCITRAL Arbitration Rules): Article 22",
"After the selection and acceptance of the appointment of an arbitrator, a party may not amend its submission unless the consent of the party or the arbitrator is obtained. A request for amendments to be submitted to an arbitrator shall be subject to the text of the proposed amendment and shall indicate the reasons and reasons for the amendment. In order to decide whether to permit the amendment, the arbitrator should consider whether the delay in the arbitral proceedings resulting from the granting of amendments, the disadvantages caused to the parties and other circumstances would be greater than their benefits. If a letter of amendment is permitted, the arbitrator shall set the deadline for the party to respond to the amendment. If the written statement was amended, the party could respond only to the amendment.",
"Supplementary submissions (the provisions of the UNCITRAL Arbitration Rules): Article 24",
"After consultations with the parties, the arbitrator shall set the deadline for each party to submit other facts, legal debates or documents. The materials should be submitted in writing. No further submission of any material shall be permitted after the time has elapsed. Notwithstanding the above-mentioned provisions, a party may not be permitted to make a presentation of the facts or documents it has or should be known or accessible when the submission of the submission is supplemented.",
"Disclosure (the provisions of the UNCITRAL Arbitration Rules): Article 27 (3)",
"An arbitrator may, at the request of a party or at his own initiative, order any party to present, at any time, evidence or request any person to disclose or provide the documents or information required by the arbitrator as fair and expeditious arbitration proceedings. However, an arbitrator may not order any person to present or disclose evidence, documents or information that is confidential or privileged.",
"If a party wishes to submit a non-exclusive or non-confidential evidence held by the party or any other entity, it may request the arbitrator to order the holder to present the evidence.",
"If required by security or other special circumstances, an arbitrator may, at the request of any party, take measures to be confidential.",
"Comments",
"These provisions are made in accordance with article 18 of the Rules of Procedure of the United Nations Dispute Tribunal.",
"Witness testimony (articles covered by the UNCITRAL Arbitration Rules): Article 27 (2)",
"The statements or testimony of any witness, including any person acting as the applicant or the applicant, shall be made by a witness in the form of a written declaration, shall be made public or otherwise certified by law unless the arbitrator decides that, for fair reasons, the testimony shall be given at the hearing.",
"Comments",
"See section XIII below on the provisions of the hearings. In addition to certain exceptions, the hearings will take the form of teleconferences or videoconferences. A written statement by a witness shall be submitted as a party's written or supplementary document (see section VIII above).",
"The terms of reference of the designated body (the UNCITRAL Arbitration Rules): Article 6",
"There is no designation of institutions.",
"However, it is still necessary to retain certain functions of the designated body, such as the selection or designation of arbitrators, the objection of arbitrators. These functions can be performed by a neutral entity.",
"A neutral entity may be an international dispute resolution body selected through competitive recruitment.",
"The benefits of a neutral entity by an international dispute resolution body are as follows: (a) Such an institution could provide existing expertise in all aspects of the management of arbitration proceedings; (b) select such institutions through competitive recruitment to reflect the commercial nature of the disputed contract; and (c) manage arbitration by an external body to ensure that the impartial entity is not relevant to the Organization and avoid giving preferences. However, the applicant and the applicant are required to assume the management fees charged by the institution in their respective shares.",
"Article of the Arbitration Rules of UNCITRAL: Articles 7 to 15",
"Number and designation of arbitrators (articles covered by the UNCITRAL Arbitration Rules: articles 7 to 10):",
"(a) Only a single arbitrator;",
"(b) The neutral entity referred to in section XI above will prepare and maintain a list of persons who may serve as arbitrators;",
"(c) A condition on the inclusion of a list whereby an arbitrator is required to sign a document that confirms its consent and, if designated as an arbitrator in a case, to arbitration in accordance with the Quick Rules and to accept the maximum limit established for the arbitrator's fees (see section 17 below);",
"(d) Designation of arbitrators: the neutral entity referred to in section XI above will select an arbitrator from the list of persons who may serve as an arbitrator. In order to make this process more predictable, a checklist process will be used by the parties to select their most priority candidates from a list containing several candidates, which will be communicated by the neutral entity in a confidential manner to each candidate.",
"Objections to arbitrators (articles 11-15 of the UNCITRAL Arbitration Rules): The Quick Rules would retain the terms of the UNCITRAL Arbitration Rules concerning objections to arbitrators, but would provide that the neutral entity referred to in section XI above would make a decision on the objection if the parties were unable to agree on the objection in question or if the arbitrator was not resigned voluntarily. The parties agreed on an objection or the decision of the arbitrators to resign would be decisive and would automatically initiate the selection process for new arbitrators.",
"Arbitration proceedings (articles covered by the UNCITRAL Arbitration Rules: articles 17, 27 (2), 28, 29 and 31)",
"The process shall be based on the submissions of the parties and submissions, except as provided in the following circumstances.",
"All meetings and consultations between arbitrators and parties on administrative and other matters are generally conducted through e-mail or teleconferences prior to the merits.",
"There will be no hearing on the defence of jurisdiction or on the defence against which the application is manifestly lacking in legal grounds. The arbitrators shall make decisions on these defences in accordance with the written documents submitted by the parties.",
"With regard to the merits, there will be no evidence, testimony or oral debate to be presented in the form of a hearing unless: (a) a party requests a hearing in order to cross-excise witnesses or (b) an arbitrator decides that some substantive facts or legal issues can only be resolved fairly and impartially through a hearing. The hearing is limited to the conduct of cross-exclusive evidence or to the fact or legal issue of witnesses. The hearing shall be used in a telephone conference or videoconferencing manner unless the arbitrator decides, in exceptional circumstances, that a question of fact can be resolved only through personal attendance at the hearings. Any such hearing shall not exceed two days.",
"Article 29 of the UNCITRAL Arbitration Rules (which stipulates that the arbitral tribunal may designate its own independent expert) will be deleted.",
"Application of the provisions of the UNCITRAL Arbitration Rules: Article 35 (1)",
"The Quick Rules will provide that, unless otherwise agreed by the parties, arbitrators will decide on the basis of express contractual provisions, including general terms and conditions covered by the contract. The United Nations Staff Regulations and Rules and domestic laws do not apply to the relevant disputes.",
"Decisions (articles covered by the UNCITRAL Arbitration Rules: articles 33 and 34)",
"The arbitrator does not have the right to decide on payment of punitive damages, nor shall it be authorized to make decisions as a friendly mediator or in accordance with the principles of justice and goodness. In addition, unless otherwise expressly agreed in the contract, the arbitrator was not entitled to decide on the payment of interest earned by the London Bank, which was then introduced, and any such interest should be simply profitable. The parties shall be bound by such arbitration decisions as a final decision on any dispute, dispute or claim.",
"Comments",
"These provisions came from arbitration provisions in the United Nations General Conditions of Contract.",
"The arbitrator shall rule within 30 days of the conclusion of the arbitration proceedings. The award for economic losses should be compensated only and a maximum [shall be determined].",
"Costs (articles covered by the UNCITRAL Arbitration Rules: articles 40, 41 and 43)",
"Arbitral award fees: The Quick Rules will limit arbitrator fees. The limitation on arbitrators' fees shall be contained in the Quick Rules and in the documents signed by them as a precondition for listing arbitrators (see section XII, paragraph 27 (c) above).",
"Cost determination and distribution: each party should assume its own costs irrespective of the outcome of the case, and the parties should share the costs of arbitrators on average. In exceptional cases, however, arbitrators may decide that, in a fair and equitable manner, the costs and costs of the parties and arbitrators may be apportioned.",
"Confidentiality (articles covered by the UNCITRAL Arbitration Rules: articles 28 (3) and 34 (5))",
"All arbitration proceedings, including all notices, correspondence, writings, documents, submissions, hearings and decisions, shall be confidential unless the parties agree otherwise in writing. However, the United Nations or its funds or programmes may inform their governing bodies, at the request of their governing bodies, of the information on the arbitration proceedings.",
"Other matters",
"Privileges and immunities",
"Unlike the UNCITRAL Arbitration Rules, the Quick Rules are designed specifically for United Nations arbitration cases, and therefore the provisions on privileges and immunities are desirable in that rule:",
"“[Un]ny elements contained or relevant in the Rules shall not be interpreted or applied in a manner that is incompatible with the privileges and immunities of the United Nations, including its subsidiary bodies, or shall not be deemed to have waived such privileges and immunities. In order to avoid questioning, arbitration under [the full name of the Rules] shall not be subject to any local law, any reference to the location of arbitration shall not be considered or interpreted as relinquishing such privileges and immunities or the consent of the United Nations to the jurisdiction of any State.”",
"Annex III",
"Compensation awards by the Management Evaluation Unit, the United Nations Dispute Tribunal and the United Nations Appeals Tribunal",
"Compensation awards awarded by the Management Evaluation Unit (1 July 2009 to 31 May 2011)",
"Summary of awards paid",
"(1 July 2009 to 31 May 2011)",
"The Executive Board",
"B. Compensation awards awarded by the United Nations Dispute Tribunal and the United Nations Appeals Tribunal (1 July 2009 to 31 May 2011)",
"[TABLE]",
"Note: “No applicable” means that no action has been taken after the judgement of the United Nations Dispute Tribunal or that the judgement is still under appeal.",
"The United Nations Appeals Tribunal Judgement No. AD(a) applicant's claim for compensation for the net payment (United States dollars) for the United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) for the period from 1 July 2003 to 20 January 2004 amounted to a salary difference between grades 8 and 14 of the United States dollars. In addition, the net base of the United Nations Relief and Works Agency for Palestine Refugees in the Near East for Palestine Refugees in the Near East for the period 2010-UNAMIT-022 Abu Hamda was not applicable or the payment of a net base of $119000.00 for the United Nations Relief and Works Agency for Palestine Refugees in the Near East for the return of the applicant to the United Nations Relief and Works Agency for Palestine Refugees in the Near East for the United Nations Relief and Works Agency for Palestine Refugees in the Near East in the amount of $7600.002,00 million for the period 2010-2011 and 31 July 2009 for the net departure of the United Nations Operation in Côte d'Ivoire.",
"lob (a) Judgement of the United Nations Appeals Tribunal on the award of compensation in cases where the United Nations Dispute Tribunal has not been tried or ruled for payment of compensation.",
"C. Judgement of the United Nations Dispute Tribunal for awarding compensation equal to or above the net base for six months (from 1 July 2009 to 31 May 2011)",
"(a) The decision of the United Nations Office on Drugs and Crime (UNMIK) to repay the United Nations Environment Programme (UNRWA) in the event of a decision of the United Nations High Commissioner for Refugees (UNCL) No. 212, which is not applicable to the United Nations Trust Fund; The Court found that, inter alia, investigations and other actions taken by the applicant were procedurally flawed and that it was not appropriate for the United Nations Secretariat (United Nations Operation in Côte d'Ivoire) to maintain a three-month net base (a loss of employment demonstration opportunities); (2) $4760 (exploitation costs); (3) a net base of 46339.86 for the six-month period, in the Lutta case 2011-UNAT-117 judgement, the Appeals Tribunal upheld the decision of the former UNTrice Cohen, Nairobi applicants to challenge immediately. The Dispute Tribunal found that the applicant's conduct did not constitute a misconduct, and that his due process rights were violated by the United Nations Secretariat (United Nations Organization Mission in the Democratic Republic of the Congo) and that the applicant's revocation (as an alternative, payment of the net base salary for two years) (1) payment of salary and entitlements from the date of departure and the date of the judgement; (2) the net base base for two months (intrusion of due process rights) 101624 did not apply UNDT Viet Nam119 Gaskins to the decision of the applicant to terminate his appointment. The United Nations Dispute Tribunal found that the applicant's employment contract had been defaulted, resulting in his own image and reputational damage, the United Nations Development Programme did not apply the six-month net base (a violation of due process rights, insult, pain and reputational damage) $440420.98, which did not apply to the UN DTechon Frechon, the Nairobi Dispute Tribunal found that the applicant had been dismissed for medical reasons and the decision of the International Criminal Tribunal for Rwanda to remove the contested dismissal applicant's decision, re-making (as an alternative, payment of the net base salary) for the period 154 to be fully applicable to the United Nations Human Settlements Programme for the period [...]. The Dispute Tribunal found that the applicant's rights were violated. The Economic Commission for Africa does not apply to the payment of salaries from November 2007 to March 2009; (2) the non-applicability of the six-month net base salary (respective of due process) UNDT 6, Edward M'Bra. The United Nations Dispute Tribunal has found that the immediate dismissal decision does not apply to the United Nations Secretariat (the United Nations Organization Mission in the Democratic Republic of the Congo) and the decision of the United Nations High Commissioner for Refugees (UNCWA) to pay a net base salary of 2 years from the date of the immediate departure; and (ii) the net liability of the United Nations Interim basement for the period 372. In the light of the recognition of the responsibility of the respondent, the case concerned only whether the amount of compensation paid for the net base for the period 2 years was appropriate, and the decision of the Office of the United Nations High Commissioner for Refugees to remove the immediate dismissal (as an alternative, payment of the net base salary for the period 2 years) (1) a net base for six months (a violation of due process rights); (2) a special post allowance for four months; (3) a net base for six months (psychia mental suffering and insult); (4) payment of salaries and entitlements at the G-6 level from June 2005 to December 2010 did not apply the special allowance and interest. Other appeals are pending. UNDTender060 Finniss United Nations Dispute Tribunal found that the applicant's rights were violated during the selection process at the P-5 level. The United Nations Secretariat (Office of Internal Oversight Services) does not apply (1) a net base of 18 months (in the selection of the first position, no due consideration is given to the applicant); (2) a six-month net base (in the selection of the second position, no due consideration has been given to the applicant) in the absence of a net application of UNDT 6, Borhom, the United Nations Dispute Tribunal concluded that the decision of the immediate dismissal is not lawful, the decision of the Office of the United Nations High Commissioner for Refugees to withdraw from the decision of the immediate departure, re-election (as an alternative, payment of a net base base salary) for 6 months; and (b) a net violation of the United Nations Inviolability process for the United Nations system for the United Nations Secretariat (UNVi. The award has actually been paid for two months to amend the award to a net base salary of two months (Kasyanov judgement No. 2010-UNAT-076) UNDTamp040 and No. 57 (New York/2010) Koh New York, after judgement No. Koh UND/2009/078, the Dispute Tribunal handed down awards and orders on compensation. The Dispute Tribunal found that the Organization did not assist the applicant in finding the appropriate work, thereby violating the employment contract with the applicant, the United Nations Development Programme, which did not apply to the United Nations Development Programme (UNDP) in the amount of $1107.60 (economic compensation) in 2000 and $10.60 in the amount not applicable to UNDTDD055 Abbasi in New York, and found that the selection process was discriminatory and violated the rights of the applicant, the United Nations Children's Fund (UNICEF) did not apply to a net base of 12 months (a loss of appointment, career development); and (b) in the case of the Appeals Tribunal in the case of Judgement No. The United Nations Secretariat (Department for General Assembly and Conference Management) does not apply to (1) a net base of six months (non-physical damage: setbacks, insults and delays); (2) the salary difference between the P-3 and the P-4 level, from August 2006 to retirement, $336256.94, which was maintained by the Appeals Tribunal in Judge Chen case 2011-UNAT-107, New York, Judgement No. 117 Bertucci, Judgement of the Dispute Tribunal after Judge Bertucci UNDTut080. The Court found that the decision not to appoint the applicant to serve as Assistant Secretary-General infringed its rights and that the United Nations Secretariat (Department of Economic and Social Affairs) did not apply to the amount of $655,000 (economic and non-economic damage) and that the Appeals Tribunal dismissed the judgement in Judgement No. 2011-UNAT-121 of the Bertucci case and returned to the Dispute Tribunal to retrial UNDTender 146 Beaudry, New York, after Judgement No. 039 of the Beaudry UNTup. The Court found that the decision not to extend for the applicant's employment contract was not lawful and that the United Nations Secretariat (United Nations Stabilization Mission in Haiti) did not apply to the amount of $1112082 (the actual economic loss, suffering and violation of the procedure) and that the Appeal Tribunal had cancelled UNDTamp 156 Shkurtaj, New York, in its judgement No. 2010-UNAT-085, and that the applicant had, inter alia, challenged the decision not to implement the award of compensation to the applicant for violations of his rights recommended by the Ethics Office. In part, the Dispute Tribunal supported the applicant and found that his rights were violated in certain matters of the applicant's complaint. The United Nations Development Programme does not apply to a net base of 14 months (in violation of due process, occupational and reputational damage, mental suffering); and $25,000 (in violation of due process); Procedural delays in the treatment of the recommendations of the Ethics Office are not applicable to UN DTamp200 Alauddin, New York, after Judgement No. 114 of the Alauddin case. The Court found that the Organization's employment contract for the applicant was not extended and violated the applicant's rights, and that the United Nations Development Programme did not apply (1) a net base of 11 months, including entitlements, less the applicant's income during the same period (the actual economic loss); (2) $300,000 ( mental injury) did not apply to UNDTlus 12 Tolstopiatov, New York, and that the United Nations Children's Fund was not applicable to the United Nations Children's Fund (UNICEF) and the United Nations Children's Fund (UNV) was decided that the United Nations Children's Fund (UNV) would not apply to the United Nations Children's Fund (UNV) in New York. The Dispute Tribunal therefore found that the disputed decision was not lawful and that the United Nations Population Fund did not apply (1) a net base base and entitlements for six months (removal economic losses); (2) $8000 (psychiatry suffering) did not apply to UNDT 6, Garcia, in New York, where the United Nations Development Programme had not been able to carry out employment relations, in violation of its contract with the applicant; the United Nations Development Programme had received adverse material from the individual files of the applicant (1),128.48 (wage and entitlements); (2) $101926,243 (UNV) was not applicable to the United Nations Secretariat (UNV), and the United Nations Office of the United Nations Secretariat (UNV) was granted a net voucher voucher's.",
"Note: “No applicable” indicates that no action has been taken after the judgement of the United Nations Dispute Tribunal or that the judgement is still at the appeal stage.",
"AD(*) A/63/250.",
"[2] Individually administered funds and programmes address management evaluation independently.",
"[3] Judge Mayine Karmann has resigned from the Dispute Tribunal effective 30 June 2011.",
"[4] The number of applications or appeals is not necessarily the number of judgements due. Several appeals may sometimes be disposed of in a judgement or closed without judgement.",
"[5] The principal drafters of a judgement paid $2,400. Each judgement of other signatories was received by $600.",
"[6] “The case” means any formal appointment of a lawyer in the formal system (Management Evaluation Unit, the Dispute Tribunal and the Appeals Tribunal); legal guidance and a brief legal advisory opinion to assist staff in resolving disputes informally and may involve consultations with staff, discussions and negotiations with third parties or referrals to other actors in the system, including referrals to the Office of the Ombudsman or staff trade unions.",
"[7] These entities are: International Tribunal for the Law of the Sea, United Nations Joint Staff Pension Fund, International Civil Aviation Organization, International Maritime Organization, United Nations Relief and Works Agency for Palestine Refugees in the Near East, International Seabed Authority and International Court of Justice.",
"[8] See article 7 (11) of the rules of procedure of the Court of the World Bank (which stipulates that cases considered to be “acceptably unacceptable or unjustifiable”) and article 8 of the statute of the Inter-American Organization of Administrative Tribunal (which allows for the rejection of the claim “on the basis that there is no jurisdiction ... that the admissibility requirement is not met or that a remedy is not submitted”.",
"[9] United Nations Appeals Tribunal judgement No. 2010-UNAT-57 (Fagundes).",
"[10] Order 49 (2011) of the United Nations Appeals Tribunal (Finniss).",
"[11] Judgement 2011-UNAT-121 of the United Nations Appeals Tribunal (Bertucci).",
"[12] The Secretary-General points out that the time limit for appeal by the Court of Civil Servants of the European Union is two months (see the Statute of the Court of the European Union, annex I).",
"[13] Judgement No. 2010-UNAT-62 of the United Nations Appeals Tribunal (Bertucci).",
"[14] Judgement No. 1157 of the United Nations Administrative Tribunal, Adronov (2003), para.",
"[15] Judgement No. 1999-2 of the IMF Administrative Tribunal (Mr. V) v. IMF, paras.",
"[16] Judgement No. 384 of the World Bank Administrative Tribunal (AA v. IRD) (2008), paras.",
"[17] General Assembly resolutions 48/218 B, 60/1 on the Ethics Office and 62/228 on the Office of Staff Legal Assistance.",
"[18] Order No. 19 (NY/2010), United Nations Dispute Tribunal, para.",
"[19] Decision No. 384 (AA v. World Bank) (2008), paras.",
"[20] Order No. 010 (I/2011) of the United Nations Dispute Tribunal (Abosedra), para.",
"[21] United Nations Administrative Tribunal judgement No. 1396 (2008), Wielechow, para.",
"[22] Judgement No. 2010/68 of the United Nations Dispute Tribunal (Chen) and Judgement No. 2011-Chen, United Nations Appeals Tribunal.",
"[23] Judgement No. 421 of the United Nations Administrative Tribunal (Chatwani), para.",
"[24] Judgement No. 2011- Appeal Tribunal-107 (Chen), para.",
"[25] United Nations Dispute Tribunal directive No. 010 (NBI/2011) (Abosedra), para.",
"[26] The records of the San Francisco Conference point out that “The Charter shall specify the responsibility of Member States to bear the expenses of the Organization”. United Nations Conference of International Organizations, Documents, vol. VIII, p. 487.",
"[27] For example, UNDTarts025 (Kita).",
"[28] This concept paper was prepared by the General Legal Affairs Division of the Office of Legal Affairs, in consultation with the United Nations funds and programmes. It should be noted that the United Nations Children's Fund retains its right to choose to withdraw from the proposed simplified arbitration process."
] |
[
"第六十六届会议",
"暂定项目表^(*) 项目114(b)",
"选举各附属机构成员以补空缺， 并进行其他选举",
"选举国际法委员会成员",
"秘书长的说明",
"增编",
"1. 2011年7月29日，厄瓜多尔常驻联合国代表团通知秘书长，由于特殊情况，厄瓜多尔常驻团决定按照国际法委员会章程第5条的规定，以Carlos Oswaldo Salgado Espinoza的提名替代Marcelo Vázquez-Bermúdez的提名。",
"2. 关于Carlos Oswaldo Salgado Espinoza先生资格的说明，见A/66/90/Add.2号文件。",
"^(*) A/66/150。"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 114 (b) of the provisional agenda*",
"Elections to fill vacancies in subsidiary organs and other elections",
"Election of the members of the International Law Commission",
"Note by the Secretary-General",
"Addendum",
"1. In a note verbale dated 29 July 2011, the Permanent Mission of Ecuador to the United Nations informed the Secretary-General that, owing to exceptional circumstances, it has decided, in accordance with article 5 of the statute of the International Law Commission, to substitute its nomination of Marcelo Vázquez-Bermúdez with that of Carlos Oswaldo Salgado Espinoza.",
"2. The statement of qualifications of Mr. Salgado Espinoza is to be found in document A/66/90/Add.2."
] | A_66_88_ADD.3 | [
"Sixty-sixth session",
"Item 114 (b) of the provisional agenda*",
"Elections to fill vacancies in subsidiary organs and other elections",
"Election of members of the International Law Commission",
"Note by the Secretariat",
"Addendum",
"On 29 July 2011, the Permanent Mission of Ecuador to the United Nations informed the Secretary-General that, owing to exceptional circumstances, the Permanent Mission of Ecuador had decided to replace the nomination of Marclo Vázquez-Bermúdez in accordance with article 5 of the statute of the International Law Commission.",
"For a note on Mr. Carlos Oswaldo Salgado Espinoza, see document A/66/90/Add.2.",
"∗ A/63/250."
] |
[
"秘书长关于塞浦路斯问题谈判现状的评估报告",
"一. 导言",
"1. 本报告对我于2011年3月4日提出上一次报告(S/2011/112)之后的塞浦路斯问题谈判现状作出最新评估。",
"2. 这是我自2010年11月在纽约与希族塞人和土族塞人领导人会晤以来向安全理事会提交的第三次评估报告。在上次会晤中，希族塞人和土族塞人领导人承诺将加快谈判步伐，集中努力确定核心问题并就此达成共识。本报告亦是我最近于7月7日在日内瓦与双方领导人举行会晤后提交的。",
"3. 我对会谈开始偏离既定轨道、没有取得什么切实可见的进展感到关切。4月，我们决定推迟后续会晤，直至取得更多的进展。7月7日，我在日内瓦举行的会晤中再次对进展迟缓表示关切，并与双方领导人讨论了化解这一局面的办法。双方领导人同意加快谈判步伐，改善会谈方法，并推动尽快结束会谈。他们还同意10月份在纽约与我再次会晤，我希望届时他们能够就所有核心问题达成一致。",
"4. 这些会谈花费的时间超出了我们的期望。自2008年9月开始全面谈判以来，已经过去将近三年时间了。在此期间，双方领导人会晤不下100次，但仍有许多核心问题没有得到解决。我2010年11月会见了双方领导人，此后，双方开始集中关注核心问题并取得成效，就经济问题和欧盟相关内容达成一致。双方多次就谈判中的若干问题提出折中方案。近几个月来，他们还加大了会谈的频率。但不幸的是，成果十分有限，进展仍然过于缓慢。以目前的速度，可能很长一段时间都无法达成协议。谈判双方显然都知道建立塞浦路斯两区两族联邦的所有内涵，但迄今为止，同过去几十年一样，双方仍未找到全面的解决办法。",
"5. 显然，我们的会谈已经到了决定性时刻，必须全力保持这一进程的可行性，使之能够提出一个互惠互利的解决办法。我期望双方领导人尽快达成这样一项解决办法。",
"二. 背景情况",
"6. 本评估报告是在我与希族塞人和土族塞人领导人第四次会晤后撰写的。当我2010年1月访问塞浦路斯岛时，希族塞人领导人季米特里斯·赫里斯托菲亚斯和当时的土族塞人领导人麦赫麦特·阿里·塔拉特发表了一项联合声明，表示他们有信心在尽可能短时间内达成一项解决方案。在土族塞人领导层更迭和谈判中断几周后，我于2010年5月宣布，谈判将在同样基础上从双方中断点继续进行。赫里斯托菲亚斯先生和新上任的土族塞人领导人德尔维什·埃罗格卢当时也发表声明，承认解决问题的时间十分紧迫，并承诺继续谈判达成互惠解决办法。6个月后，也就是2010年11月，我在纽约与双方领导人会晤，并要求他们集中努力处理核心问题。随后又于2011年1月26日在日内瓦举行会晤，再次着重探讨如何实现就核心问题达成共识的目标，双方领导人还同意将加大谈判力度。在1月份的会晤后，我表示将在不久后召集下一次会议，审查最新进展。4月份，我与双方领导人通话，告诉他们我决定应在取得更多进展之后再举行会晤。我强调指出，必须加快谈判进程。5月份，我邀请双方领导人于7月在日内瓦会晤，以找出阻碍达成全面协定的困难，并商讨采用何种战略大大加快谈判进程。",
"7. 当我7月7日与赫里斯托菲亚斯先生和埃罗格卢先生在日内瓦举行会晤时，我向他们重申，我始终认为，如果抱有足够的政治意愿就能达成协议。我指出，双方的前任和我的前任花了几十年时间探索塞浦路斯岛实现统一的办法，双方都知道要在哪些方面作出妥协。",
"8. 如上次报告一样，我反复向双方领导人指出，联合国希望双方为推动谈判进程承担主要责任。由塞浦路斯人领导和自我掌控的进程得到了联合国的充分支持，但双方领导人必须采取必要的行动，以调和两族之间的分歧。",
"9. 为支持这一进程，我利用上次报告以来的这段时间，坚持把解决塞浦路斯问题置于联合国议程以及重点区域和国际领导人议程的重要位置。随着该区域其他一些紧迫问题显得更为紧迫，做到这一点尤显重要。我继续与多位国家元首和高级官员讨论了塞浦路斯问题，包括土耳其总统阿卜杜拉·居尔、大不列颠及北爱尔兰联合王国首相大卫·卡梅伦和副首相尼克·克莱格；以及欧洲联盟委员会主席若泽·曼努埃尔·巴罗佐。我的特别顾问继续与在这一进程中发挥关键作用的高级官员(特别是保证国希腊、土耳其和联合王国的高级官员)保持接触。",
"三. 进程现况",
"10. 在我提交上一次报告之后的5个月中，尽管双方领导人及其代表定期举行会晤，但会谈进展速度有所放缓。在此期间，双方领导人共举行了17次会晤，领导人的代表共举行28次会晤。双方继续努力提出折中方案，但实现妥协的办法并不总是富有成效，也不总是能够取得成果。双方花了大量时间澄清立场，而不是设法达成共识。",
"11. 3月底，双方开始讨论内部安全问题。讨论的重点是统一后的塞浦路斯在联邦一级和联邦单元即组成国一级的警察和执法安排。双方就这一问题的细节接近达成一致，但仍有几个重要的悬而未决问题有待解决。",
"12. 在财产问题上，我很高兴双方聘请了国际技术专家，我1月份曾在日内瓦与双方领导人会晤时提出利用他们的服务。这使得双方均得以探讨一系列技术问题，并进一步制订这一领域的各项提案。但是，有关财产问题的正式谈判一直没有恢复。在恢复原状的条件和交换模式等问题上仍然存在根本分歧。还应启动关于领土事项的谈判，因为这个问题迄今一直是探讨最少的谈判内容之一。双方同意，只有在多边会议前的谈判进程最后阶段才应讨论与该部分相关的地图和数字问题。关于领土事项的谈判可以在不妨碍这一事实的前提下启动。",
"13. 自我提出上一次报告以来，关于治理问题的讨论集中探讨了缔结国际条约的能力及其程序以及联邦一级外交事务决策程序等问题，就境外代表权原则达成了一致。重要的是，双方就对统一后对塞浦路斯具有约束力的国际条约达成协议。因此，国际条约问题小组委员会已恢复工作，举行了2次会议。",
"14. 我上次报告印发前就经济问题达成的重要协议仍然有效。在此期间，双方没有就欧洲联盟问题展开进一步的讨论。剩余的分歧主要是如何将解决塞浦路斯问题的协议纳入欧洲联盟法律，以确保法律上的可靠性。自我1月份与双方领导人会晤以来，公民身份问题一直没有得到实质性讨论。为回应希族塞人关于进行人口普查的呼吁，我提供了联合国在这一领域的知识专长。然而，普查进程只是一个相关事项。在实施普查进程的同时，双方必须解决一个核心问题：即应当将哪些人视为统一后的塞浦路斯公民。",
"15. 成立于2008年的技术委员会继续开会商讨旨在改善塞浦路斯人日常生活的建立信任措施的实施情况。2008年7月以来暂停活动的7个技术委员会中，已有3个委员会恢复工作。",
"16. 根据最新的民意调查，两族对于塞浦路斯统一的可能性正在失去信心，但他们谋求解决问题的愿望没有动摇。驻塞浦路斯的联合国各机构和方案正与当地合作伙伴密切合作，以支持和平进程。在“塞浦路斯2015”和“参与”项目等由联合国开发计划署支持的一组塞浦路斯非政府组织的合作下举办了各种活动，以推动就有关会谈的问题开展公开对话。历史对话和研究协会在缓冲区开设“合作之家”是一个具有里程碑意义的事件；该设施将为两族教育、对话和研究提供空间。在“经济相互依存”项目中，塞浦路斯工商会和土族塞人商会推出了第一份关于两族当前经济相互依存水平的联合报告。他们的研究结果证实，解决塞浦路斯问题在经济上对两族都有利。性别平等问题咨询小组除上次提出治理问题的报告外，又向双方领导人提出了财产和公民身份方面的性别平等问题。双方各有两个主要政党的青年团体向我发出一封联名信，要求我鼓励双方领导人尽快达成一项解决办法。我再次呼吁赫里斯托菲亚斯先生和埃罗格卢先生让民间社会参与旨在全面解决问题的工作，并考虑到这些努力以及民间社会为推动和平进程作出的其他重要努力。",
"17. 我曾在前几次报告中宣布对联合国在塞浦路斯的存在进行更广泛的评估，对评估工作可能涉及的范围和时间安排，仍在开展内部讨论。",
"四. 7月7日的会议",
"18. 7月7日，我在联合国日内瓦办事处会见了双方领导人。我表示对会谈缺乏进展感到失望。我指出，虽然自我们1月份会晤以来双方都在稳步开展工作，但双方都没有在谈判中触及重要领域——尽管以前曾商定集中解决核心问题。我指出，谈判的步伐过于缓慢。我强调双方领导人必须集中精力达成广泛协议，而不是拘泥于个别问题的微小细节，并表示谈判的方法需要改进。我要求双方领导人在谈判中搁置所有其他事项，集中设法解决困难的核心问题。",
"19. 尽管我作出冷静的评估，但会晤是在建设性和积极的气氛中举行的。双方都承认这些困难。双方检查了各自对所有谈判问题的立场，并在一系列领域提出了折中方案。这次会议有助于进一步解释(并在某些情况下澄清)双方在所有谈判问题上的立场。极为重要的是，本次会议为指明前进道路作出重大贡献，因而取得了成功，而非仅仅对这一进程进行“现状评估”。",
"20. 我与双方领导人一道，找出了迄今阻碍达成全面解决的某些障碍。我们一致认为，必须大大加速谈判步伐，着手开展密集谈判，着重处理核心问题。在这方面，双方领导人接受了我的建议，即每周进行两个整天的谈判。我们还商定，在不影响“该进程由塞浦路斯人掌控和塞浦路斯人领导”这一核心原则的前提下，应加大联合国的参与力度。",
"21. 双方领导人还接受了我提出的10月份在纽约再次会晤的邀请，届时我希望他们能够就所有核心议题达成一致。这将使得塞浦路斯谈判更接近于结束，也使我得以就此向安全理事会提交一份积极的报告。这还将为我与各方合作举行最后一次国际会议铺平道路。双方领导人明确表示，他们将争取尽快达成一项全面的解决方案。",
"22. 双方领导人还确认，为了重新唤起人民对解决该岛问题的希望和热情，必须着手加大对达成全面协定支持力度。其中一项关键任务是，促使两族各自做好准备，为解决问题和实现在统一的塞浦路斯境内共同生活的前景作出必要的妥协。",
"五. 意见",
"23. 我高兴地看到，双方领导人已同意加大谈判力度，改进谈判方法，并加倍努力就所有核心问题达成一致。这将提高达成协议的可能性。为加快步伐和取得显著成效，双方必须在一个更有活力的谈判中相互接触，果断进入下一阶段的谈判。这一新阶段需要有一种全面的办法，用以处理所有核心问题，并在各项目内和项目之间切实权衡利弊。",
"24. 一个重新焕发活力的谈判进程要完全扎根并获得成功，还必须具备其他条件。双方必须明确根据解决问题的商定要素开展工作，并且在这些要素的框架内努力实现共同目标。双方领导人必须停止“指责游戏”，每一方都要着重考虑还可以做些什么，为解决问题铺平道路。正如我多次重申、最近安全理事会第1986(2011)号决议有阐明的那样，双方应避免对这一进程横加指责或彼此恶言相向，而应努力加大对解决塞浦路斯问题协议的支持力度。最后，双方迫切需要停止泄露谈判立场和其他敏感信息，以此保障会谈的完整性和保密性。",
"六. 结论",
"25. 解决塞浦路斯问题的关键，是双方抱有政治意愿并下定决心，共同努力实现同样的明确共同目标，最终实现塞浦路斯的统一。为实现塞浦路斯的统一，必须根据安全理事会相关决议的规定，建立一个由两个平等部分组成的、拥有单一主权和单一国际人格的两区两族联邦。",
"26. 令我高兴的是，双方在日内瓦作出了明确承诺，双方领导人也承诺通过我们10月份的下一次会晤努力就所有核心问题达成一致。我希望，我可以随后向安全理事会报告他们取得的成就，届时如果取得必要的进展，我们就可以开始讨论是否召开一次多边会议，以敲定该协定的各方面国际内容。",
"27. 截至2011年10月，目前的谈判已经进行三年了。大家都知道，解决问题的时间十分紧迫，历次塞浦路斯民意调查结果都非常明确地证实了这一点。应在尽可能短的时间内向希族塞人和土族塞人提出一份可行和互惠的解决提案。双方领导人必须充分把握机会。"
] | [
"Assessment report of the Secretary-General on the status of the negotiations in Cyprus",
"I. Introduction",
"1. This report provides an updated assessment of the state of the negotiations in Cyprus since my last report of 4 March 2011 (S/2011/112).",
"2. This is my third assessment report to the Security Council since I met with the leaders of the Greek Cypriot community and the Turkish Cypriot community in New York in November 2010, when they committed themselves to increase the tempo of negotiations and to focus their efforts on identifying and reaching convergence on the core issues. This report also comes after my latest meeting with the two leaders in Geneva on 7 July.",
"3. I have been concerned that the talks were beginning to drift and that little tangible progress was being made. In April, it was decided to postpone our follow‑up meeting until more progress could be achieved. At the meeting on 7 July in Geneva, I reiterated my concern that progress was sluggish and discussed with the two leaders ways in which the situation could be addressed. The leaders agreed to intensify the pace of negotiations, improve the methodology of the talks, and push for a conclusion as soon as possible. They also agreed to meet me again in October in New York, by which time I expect that they will be able to report convergence on all core issues.",
"4. These talks are taking longer than we had hoped. Almost three years have elapsed since the start of the full-fledged negotiations in September 2008. Since then, the leaders have met well over 100 times and, still, many of the core issues remain unresolved. After I met with the leaders in November 2010, the sides initially gave focused and productive attention to the core issues, which resulted in convergences on the economy and European Union-related chapters. Both sides have presented bridging proposals on various occasions on a number of issues under negotiation. They have also increased the frequency of their meetings in recent months, but unfortunately with limited results. Progress continues to be far too slow. At the current pace, it is not likely that an agreement can be reached for quite some time. It is clear that all the elements of a bi-zonal, bi-communal federation in Cyprus are known to the sides in this negotiation, yet a comprehensive solution has so far eluded the parties, as it has for decades.",
"5. We have clearly reached a defining moment in the talks, when all efforts must be employed to keep the process viable and capable of delivering a mutually beneficial solution. I expect the two leaders to reach such a solution as soon as possible.",
"II. Background",
"6. This assessment report follows my fourth meeting with the Greek Cypriot and Turkish Cypriot leaders. When I visited the island in January 2010, Dimitris Christofias, the Greek Cypriot leader, and the then Turkish Cypriot leader, Mehmet Ali Talat, issued a joint statement expressing confidence that they could achieve a solution in the shortest possible time. Following the change of leadership on the Turkish Cypriot side and a several-week hiatus in negotiations, I was able to announce in May 2010 that the talks would continue on the same basis and from where they had left off. Mr. Christofias and the new Turkish Cypriot leader, Dervis Eroglu, also made statements at that juncture, recognizing that time was not on the side of a settlement and committing themselves to the process of negotiating a mutually beneficial settlement. Six months later, in November 2010, I met with the two leaders in New York and asked them to concentrate their efforts on the core issues. Our next meeting was held on 26 January 2011 in Geneva, where we again focused on the goal of reaching convergence on the core issues, and the leaders agreed to intensify the negotiations. After the January meeting, I indicated that I would call another meeting soon to review developments. In April, I spoke with both the leaders and informed them of my decision that more progress should be made before we met again. I stressed the need to accelerate the process. In May, I invited the leaders to meet with me in Geneva in July to identify the difficulties standing in the way of reaching a comprehensive agreement and to discuss strategies for significantly picking up the pace of the negotiations.",
"7. When I met Mr. Christofias and Mr. Eroglu in Geneva on 7 July, I reiterated to them my continuing belief that, with enough political will, a deal should be possible. I pointed out that several decades had been spent by their predecessors and mine exploring ways of uniting the island, and that both sides knew where the compromises needed to be made.",
"8. I have repeatedly pointed out to the leaders, as I did in my last report, that the United Nations expects the two sides to assume primary responsibility for driving the process forward. The Cypriot-led and Cypriot-owned process has the full support of the United Nations, but it is the two leaders who must take the necessary actions to reconcile the differences between their two communities.",
"9. In support of the process, I have used the period since my last report to keep the solution of the Cyprus question high on the agenda of the United Nations, as well as on the agenda of key regional and international leaders. This has become particularly important as a number of other pressing issues in the region have taken on greater immediacy. I continued to discuss the Cyprus question with various Heads of State and senior officials, including the President of Turkey, Abdullah Gül; the Prime Minister of the United Kingdom of Great Britain and Northern Ireland, David Cameron, and the Deputy Prime Minister, Nick Clegg; as well as the President of the European Commission, José Manuel Barroso. My Special Adviser continued to engage with senior officials who are pivotal to the process, particularly those of the three guarantor Powers, namely Greece, Turkey and the United Kingdom.",
"III. Status of the process",
"10. In the five months since my last report, the rate of progress in the talks has slowed, despite the regularity of the meetings between the leaders and their representatives. The leaders met 17 times and their representatives met 28 times during this period. Both sides continue to make efforts at putting forward bridging proposals, but the approach to achieving compromise has not always been productive or yielded results. A considerable amount of time has been spent in clarifying positions instead of moving towards convergences.",
"11. Late in March, the sides began discussing the internal aspects of security. The discussions focused on policing and law enforcement arrangements in a united Cyprus at both the federal level and that of the federated units or constituent States. The sides have come close to agreement on the details of this issue, although several important outstanding aspects remain to be resolved.",
"12. On property, I am pleased that both sides made use of the international technical experts whose services I offered when I met with the leaders in Geneva in January. This has enabled each side to explore a range of technical issues and to further develop proposals in this area. However, the return to formal negotiations on property is long overdue. There remains fundamental disagreement on the issue of conditions for restitution and the mode for exchange. Negotiations on the matter of territory should also be initiated as it remains one of the chapters least explored to date. This can be done without prejudice to the fact that both sides have agreed that the issue of maps and figures related to this chapter should be discussed only during the last phase of the process prior to a multilateral meeting.",
"13. Since my last report, the discussions on governance have focused on the capacity to conclude international treaties and the procedure for doing so, and the federal-level decision-making procedure with regard to foreign affairs, and have led to convergence on the principle of representation abroad. Importantly, the sides reached agreement on international treaties binding on the united Cyprus. As a result, the Subcommittee on International Treaties has resumed its work and has met twice.",
"14. The important agreements on the economy that were reached before the issuance of my last report remain in place. Nothing further was discussed in relation to the European Union in this period. The primary remaining divergence concerns how the settlement agreement will be incorporated into European Union law in order to ensure its legal certainty. The issue of citizenship has not been discussed substantively since I met with the leaders in January. In response to the Greek Cypriot call for a demographic census, I made available the expertise of the United Nations in this area. The census process is only a related matter, however. While the census process is being carried out, the sides must resolve the core issue of who should be considered citizens of the united Cyprus.",
"15. The technical committees, established in 2008, continued to meet on the implementation of confidence-building measures intended to improve the daily lives of Cypriots. Three of the seven technical committees, which were dormant since July 2008, have now resumed their work.",
"16. According to the latest polls, while both communities are losing confidence in the possibility of a united Cyprus, their desire for a solution has not faltered. United Nations agencies and programmes in Cyprus are working closely with local partners in support of the peace process. With the collaboration of Cyprus 2015 and ENGAGE, a group of Cypriot non-governmental organizations supported by the United Nations Development Programme, various events were organized to facilitate public dialogue on issues related to the talks. The opening in the buffer zone of the “Home for Cooperation” by the Association for Historical Dialogue and Research was a landmark event; the facility will provide a space for inter-communal education, dialogue and research. Under the Economic Interdependence project, the Cyprus Chamber of Commerce and Industry and the Turkish Cypriot Chamber of Commerce launched the first joint report on current levels of economic interdependence between the two communities. Their findings confirmed that a settlement would be economically beneficial to both communities. The Gender Advisory Team provided the leaders with recommendations on gender issues relating to property and citizenship, in addition to a previous submission on governance. The youth groups of the two leading political parties on either side sent me a joint letter, asking me to encourage the leaders to reach a solution now. I reiterate my call to Mr. Christofias and Mr. Eroglu to engage civil society in the task of reaching a comprehensive settlement and to take into account these and other important civil society efforts to contribute to the peace process.",
"17. Regarding the broader assessment of the United Nations presence in Cyprus, which I have announced in previous reports, internal discussions continue as to the potential scope and timing of such an exercise.",
"IV. Meeting of 7 July",
"18. On 7 July, I met with both leaders at the United Nations Office at Geneva. I explained that I was disappointed in the lack of progress. I noted that although both sides had worked steadily since our meeting in January, they had not touched important areas in the negotiations despite the prior agreement to concentrate on resolving core issues. I pointed out that the pace of the negotiations had become far too slow. I stressed the importance of the two leaders focusing their energies on reaching broad agreements rather than dwelling on individual problems in minute detail, and said that the methodology of the negotiations needed to be improved. I asked the leaders to put aside all other matters in the negotiations and to concentrate on finding a way through the difficult core issues.",
"19. Despite my sobering assessment, the meeting was held in a constructive and positive atmosphere. Both sides acknowledged the difficulties. They both canvassed their positions across all chapters in the negotiations and put forward bridging proposals in a range of areas. This exercise helped to further explain, and in some cases clarify, the positions of the sides across the various negotiating chapters. Most importantly, the meeting contributed significantly to tracing a way forward, and thus succeeded in becoming more than a “stock-taking exercise” of the process.",
"20. With the two leaders, I was able to identify some of the stumbling blocks that have stood in the way of reaching a comprehensive settlement thus far. We agreed on the need to significantly accelerate the pace of the talks and move into intensive negotiations and to focus on the core issues. In that regard, the leaders accepted my recommendation to engage in negotiations for two full days each week. We also agreed that, without prejudice to the central principle of a Cypriot-owned and Cypriot-led process, there would be enhanced United Nations involvement.",
"21. The leaders also accepted my invitation to meet again in October in New York, by which time I expect they will be able to report convergence on all core issues. This would take the Cyprus negotiations closer to their conclusion and would allow me to give a positive report to the Security Council on the matter. It would also pave the way for me to work with the parties towards convening a final, international conference. Both leaders made it clear that they will strive to reach a comprehensive solution as soon as possible.",
"22. The leaders also acknowledged the need to begin building support for a comprehensive agreement in order to renew hope and enthusiasm for a solution across the island. This includes the critical task of preparing their respective communities for the compromises required for a settlement and the prospect of living together in a united Cyprus.",
"V. Observations",
"23. I am pleased that the two leaders have agreed to intensify the negotiations, improve the methodology of the talks and redouble their efforts to reach convergence on all core issues. This will increase the prospects of reaching an agreement. In order to increase the tempo and achieve significant results, the sides must engage in a more dynamic negotiating process and enter unequivocally into the next phase of the negotiations. This new phase would entail a comprehensive approach on all core issues and substantive trade-offs within and across chapters.",
"24. In order for a reinvigorated process to fully take root and be successful, other elements must also be present. The sides must work clearly within the agreed parameters of a solution, and work to reach a common, shared objective within those parameters. The leaders must desist from playing the “blame game” and each focus on what more they can do to pave the way for a solution. As I have reiterated on various occasions, and as the Security Council recently stated in its resolution 1986 (2011), the sides should refrain from negative rhetoric about the process and about each other and work to build support for a settlement deal. Finally, the sides urgently need to safeguard the integrity and confidentiality of the talks by stopping leaks on positions and other sensitive information.",
"VI. Conclusions",
"25. The key to solving the Cyprus issue is the two sides working with political will and determination towards the same clear and common objectives, with a united Cyprus as the end result. To reunite Cyprus, there must be a bi-zonal, bi-communal federation with two equal constituent parts, with a single sovereignty and single international personality, as laid out in relevant Security Council resolutions.",
"26. I was pleased with the demonstrated commitment of both sides in Geneva and that the leaders committed themselves to the endeavour of reaching convergence on all core issues by our next meeting in October. It is my hope that I can subsequently report their achievements to the Security Council and that, provided the necessary progress has been made by that time, we could then begin discussing the convening of a multilateral conference to conclude the international aspects of the agreement.",
"27. By October 2011, the current negotiations will have been going on for more than three years. It is well understood that time is definitely not on the side of a solution, and successive polling on citizens’ views in Cyprus has confirmed this all too clearly. The Greek Cypriot and Turkish Cypriot communities deserve to be presented with a viable, mutually beneficial settlement proposal in the shortest time possible. The leaders must rise to the occasion."
] | S_2011_498 | [
"Report of the Secretary-General on the status of negotiations on Cyprus",
"Introduction",
"The present report provides an update on the status of negotiations on Cyprus following my last report (Suff 112) dated 4 March 2011.",
"This is my third assessment report to the Security Council since my meeting with the Greek Cypriot and Turkish Cypriot leaders in New York in November 2010. During the last meeting, the Greek Cypriot and Turkish Cypriot leaders committed themselves to accelerating the pace of negotiations, focusing on efforts to identify core issues and reach consensus. The present report is also submitted recently after my meeting with the leaders of both sides in Geneva on 7 July.",
"I am concerned about the beginning of the talks away from the established orbit and what tangible progress has been made. In April, we decided to postpone the follow-up meeting until further progress was made. On 7 July, during my meeting in Geneva, I again expressed concern about the slow pace of progress and discussed with the leaders of both sides ways to defuse the situation. Both leaders agreed to accelerate the pace of negotiations, to improve the way forward and to facilitate the conclusion of the talks as soon as possible. They also agreed to meet again in New York in October, and I hope that they will reach agreement on all core issues at that time.",
"The time spent on these talks goes beyond our expectations. Since the start of full negotiations in September 2008, nearly three years have passed. During that period, the leaders of both sides met less than 100 times, but there were still many core issues that were not resolved. I met with the leaders of the two sides in November 2010, and since then the parties started to focus on core issues and achieve effectiveness, agreeing on economic issues and relevant EU elements. The parties have repeatedly proposed a compromise on a number of issues in the negotiations. In recent months, they have also increased the frequency of talks. Unfortunately, however, results are very limited and progress remains too slow. At the current rate, it may be too long to reach agreement. The parties to the negotiations are clearly aware of all elements of the establishment of the bizonal federation of Cyprus, but so far, as in the past few decades, the parties have yet to find a comprehensive solution.",
"It is clear that our talks have come to a decisive moment and that the feasibility of this process must be fully maintained so that they can propose a mutually beneficial solution. I expect the leaders of both sides to reach such a solution as soon as possible.",
"Background",
"The present assessment report was prepared after my fourth meeting with the Greek Cypriot and Turkish Cypriot leaders. When I visited Cyprus in January 2010, the Greek Cypriot leader, Miliris Christofias and then Turkish Cypriot leader, Mehmet Ali Talat, issued a joint statement expressing their confidence in reaching a solution as short as possible. After a few weeks of departure from Turkish leadership, I announced in May 2010 that the negotiations would continue on the same basis from the parties' point of disruption. Mr. Herryfiya and the new Turkish Cypriot leader, Delvinš Eroglu, also made statements at the time to recognize the urgency of resolving the problem and to commit to continuing negotiations on mutually beneficial solutions. Six months later, in November 2010, I met with the leaders of both sides in New York and requested them to concentrate on core issues. The meeting was then held in Geneva on 26 January 2011, with a renewed focus on how to achieve the goal of reaching consensus on core issues, and the leaders of both sides agreed to intensify negotiations. Following the January meeting, I indicated that the next meeting will be convened shortly to review the latest progress. In April, I spoke with the leaders of both sides and told them that I decided that they should meet again after further progress was made. I stress the importance of accelerating the process of negotiations. In May, I invited the leaders of both sides to meet in Geneva in July to identify difficulties impeding the conclusion of a comprehensive agreement and to discuss strategies that would significantly expedite the negotiation process.",
"When I met in Geneva on 7 July with Mr. Herryfiya and Mr. Eroglu, I reiterate to them that I always believe that an agreement can be reached if there is sufficient political will. I note that the previous and my predecessors of both sides have spent several decades to explore ways of achieving unity on the island of Cyprus, and that both sides know what is to be compromised.",
"As in my previous report, I have repeatedly pointed out to the leaders of both sides that the United Nations wishes to assume the primary responsibility for advancing the negotiation process. The process of leadership and self-ownership in Cyprus has been fully supported by the United Nations, but the leaders of both sides must take the necessary action to reconcile the differences between the two communities.",
"In support of this process, I take advantage of this time since my previous report to insist on placing the issue of Cyprus on the United Nations agenda and focusing on regional and international leadership agendas. This is particularly important as other pressing issues in the region are more urgent. I continue to discuss the question of Cyprus with a number of heads of State and senior officials, including the President of Turkey, Abdullah Gül, the Prime Minister of the United Kingdom of Great Britain and Northern Ireland, Major-General David Carmeren and Deputy Prime Minister, Nyuk Kleg, and the Chairman of the European Union Committee, José Manuel Rozo. My Special Adviser continues to maintain contacts with high-level officials who play a key role in this process, in particular those of Greece, Turkey and the United Kingdom.",
"Status of the process",
"In five months after my last report, the pace of progress has slowed, despite regular meetings between the leaders and their representatives. During that period, the leaders of both sides held 17 meetings, with the participation of 28 leaders. While the parties continue to work towards a compromise programme, the way to achieve compromise is not always productive or always able to achieve results. The parties spent a great deal of time to clarify their positions rather than to seek consensus.",
"At the end of March, the parties began discussions on internal security. The focus of the discussion was on the harmonization of the police and law enforcement arrangements at the federal and federal levels, namely, the constituent State. The parties have reached agreement on the details of this issue, but several important outstanding issues remain to be addressed.",
"On the issue of property, I am pleased that the parties have hired international technical experts and I presented their services in Geneva in January when I met with the leaders of both sides. This allowed both parties to explore a range of technical issues and to further develop proposals in this area. However, formal negotiations on property have not been resumed. There remain fundamental differences on issues such as the conditions for restitution and the mode of exchange. Negotiations on territorial matters should also be initiated, as this has so far been one of the least negotiated elements. The parties agreed that the issue of maps and figures related to this part should be addressed only at the final stage of the negotiation process before the multilateral conference. Negotiations on territorial matters may be initiated without prejudice to this fact.",
"Since my last report, the discussion on governance focused on issues such as the ability to conclude international treaties and their procedures, as well as the decision-making process at the federal level, on the principle of representation outside the country. It is important that the parties reach agreement on international treaties binding on Cyprus after reunification. Accordingly, the Subcommittee on International Treaties has resumed its work and held two meetings.",
"Important agreements on economic issues before my last report have been issued. During that period, there was no further discussion on the European Union. The remaining differences are largely how to incorporate the agreement on the settlement of the Cyprus problem into European Union law to ensure legal reliability. The issue of citizenship has not been discussed substantively since my meeting with the leaders of both sides in January. In response to the Greek appeal for a census, I provided the expertise of the United Nations in this field. However, the census process is only a related matter. In parallel with the implementation of the census process, both sides must address a core issue: what should be seen as a unified citizen of Cyprus.",
"The Technical Committee established in 2008 continued to meet to discuss the implementation of confidence-building measures aimed at improving the daily lives of the Cypriots. Three of the seven technical committees suspended since July 2008 have resumed their work.",
"According to the latest public opinion survey, the possibility of reunification between the two communities is losing confidence, but their desire to resolve the problem has not been reversed. United Nations agencies and programmes in Cyprus are working closely with local partners to support the peace process. Activities were organized in cooperation with a group of Cyprus non-governmental organizations supported by the United Nations Development Programme to facilitate open dialogue on issues related to the talks. The historic dialogue and research associations opened the “Cooperation House” in the buffer zone as a landmark event, which will provide space for bicommunal education, dialogue and research. In the project “Economic interdependence”, the Chamber of Commerce and Industry of Cyprus and the Turkish Cypriot Chamber launched the first joint report on the current level of economic interdependence of the two communities. Their findings confirmed that the solution of the Cyprus problem was economically beneficial to both communities. In addition to the previous report on governance, the Advisory Group on Gender Equality raised the issue of gender equality in property and citizenship to both leaders. The young groups of two major political parties have sent me a joint letter requesting me to encourage the leaders of both sides to reach a solution as soon as possible. I reiterate my call to Mr. Hilstofa and Mr. Eroglu to engage civil society in efforts aimed at addressing the problem in a comprehensive manner, taking into account those efforts and other important efforts of civil society to advance the peace process.",
"In my previous reports, I announced that a broader assessment of the United Nations presence in Cyprus could involve the scope and timing of the assessment process and that internal discussions continue.",
"Meeting on 7 July",
"On 7 July, I met with both leaders at the United Nations Office at Geneva. I am disappointed at the lack of progress in the talks. I note that, despite the steady work of both parties since our January meeting, neither sides have touched on important areas in the negotiations — although previously agreed to concentrate on core issues. I note that the pace of negotiations is too slow. I stress the need for the leaders of both sides to focus on achieving a broad agreement rather than on the small details of individual issues, and express the need for improved methods of negotiations. I call on the leaders of both sides to put aside all other matters in the negotiations and to focus on addressing the core issues of difficulty.",
"Despite my quiet assessment, the meeting took place in a constructive and positive atmosphere. Both sides recognize these difficulties. Both parties reviewed their respective positions on all the issues of negotiations and presented compromise programmes in a number of areas. The meeting helped to further explain (and, in some cases, clarify) the positions of both parties on all issues of negotiations. It is extremely important that this meeting make a significant contribution to identifying the way forward and thus success, rather than simply “status assessment” of the process.",
"I, together with the leaders of both sides, have identified some of the obstacles that have been impeding a comprehensive settlement to date. We agree that there is a need to accelerate the pace of negotiations and embark on intensive negotiations focusing on core issues. In this regard, the leaders of both sides have accepted my recommendation that two full-day negotiations be held weekly. We also agree that, without prejudice to the core principle of “the process is controlled by the Cypriots and led by the Cypriots”, the United Nations should be strengthened.",
"Both leaders also received an invitation to meet again in New York in October, when I hope that they will agree on all core issues. This will bring the Cyprus negotiations closer to the conclusion and allow me to submit a positive report to the Security Council in that regard. This will also pave the way for my last international conference in cooperation with the parties. Both leaders made it clear that they will seek a comprehensive solution as soon as possible.",
"The leaders also confirmed that, in order to re-energize the people's hopes and enthusiasm for the settlement of the island, there must be an increased support for the conclusion of a comprehensive agreement. One of the key tasks is to enable the two communities to prepare themselves for the necessary compromises to resolve problems and to achieve the prospects for common life in a unified Cyprus territory.",
"Observations",
"I am pleased to see that the leaders of both sides have agreed to intensify negotiations to improve the negotiating methodology and redouble their efforts to reach agreement on all core issues. This would increase the likelihood of an agreement. In order to accelerate progress and achieve tangible results, both sides must engage each other in a more vibrant negotiation to enter into negotiations at the next stage. This new phase requires a comprehensive approach to address all core issues and to effectively weigh the disadvantages among projects and projects.",
"A renewed and vibrant negotiating process must be fully rooted and successful and must also have other conditions. Both parties must clearly work on the basis of agreed elements of a problem and work towards common goals within the framework of those elements. Both leaders must put an end to “critical game”, and each party should focus on what can be done and pave the way for resolving the problem. As I have reiterated on a number of occasions and as elaborated in Security Council resolution 1986 (2011), both sides should refrain from placing accusations or mutual misheets on this process, and should strive to increase their support for the resolution of the Cyprus Agreement. Finally, the parties urgently need to put an end to the disclosure of negotiating positions and other sensitive information to guarantee the integrity and confidentiality of the talks.",
"Conclusion",
"The key to resolving the Cyprus problem is the political will and determination of the parties to work together to achieve the same clear shared goals and ultimately to achieve the unity of Cyprus. In order to achieve the unity of Cyprus, it is important to establish a bicommunal federation consisting of two equal components, with single sovereignty and a single international personality, in accordance with the relevant resolutions of the Security Council.",
"I am pleased that the parties have made a clear commitment in Geneva, and the leaders of both sides have also pledged to reach agreement on all core issues through our next meeting in October. I hope that I can then report to the Security Council on their achievements, when we can begin discussing the possibility of convening a multilateral conference to finalize all aspects of the agreement.",
"As of October 2011, the current negotiations had taken place for three years. All know that the time for resolving the problem is very urgent and that the findings of the various Cypriots are very clearly confirmed. A viable and mutually reinforcing solution proposal should be submitted to the Greek Cypriot and Turkish Cypriots in the shortest period. Both leaders must fully seize the opportunity."
] |
[
"第六十六届会议",
"临时议程^(*) 项目69(a)",
"促进和保护人权：人权文书的执行情况",
"联合国援助酷刑受害者自愿基金",
"秘书长的报告",
"摘要",
"本报告根据大会第36/151号和第65/205号决议提交，叙述了联合国援助酷刑受害者自愿基金董事会第三十三届和第三十四届会议通过的向受益组织提供赠款建议。报告还介绍了董事会落实内部监督事务厅的建议为进一步增强基金活动而通过的政策决定。",
"^(*) A/66/150。",
"一. 导言",
"A. 提交报告",
"1. 本报告是根据关于设立联合国援助酷刑受害者自愿基金的大会第36/151号决议核准的安排编写的。报告叙述了基金董事会分别于2010年10月18日至22日和2011年1月31日至2月4日在日内瓦举行的第三十三届和第三十四届会议通过的建议。联合国人权事务高级专员代表秘书长核准了这些建议。本报告是对提交2011年3月人权理事会第十六届会议的基金活动报告(A/HRC/16/31)的补充。",
"B. 基金的任务规定",
"2. 基金接受各国政府、非政府组织和个人的自愿捐款。按照董事会1982年确立的做法，基金向那些提出涉及向酷刑受害者及其家属提供医疗、心理、社会、资金、法律和人道主义或其他形式援助的项目的非政府组织提供赠款。",
"C. 董事会",
"3. 秘书长通过联合国人权事务高级专员办事处管理这个基金并听取董事会的意见。董事会由五名成员组成，他们以个人身份任职，由秘书长在充分顾及公平地域分配并同其政府协商后任命。2008年10月，秘书长再次任命了下列成员，任期三年，系最后一个任期：克拉希米尔·卡内夫(保加利亚)、萨韦特里·谷内塞科雷(斯里兰卡)、约瑟夫·奥洛卡-奥尼扬戈(乌干达)和德里克·庞德尔(大不列颠及北爱尔兰联合王国)，并任命梅赛德斯·多雷蒂(阿根廷)，任期三年，可连任一次。",
"4. 董事会于2010年10月18日至22日在日内瓦举行第三十三届会议，审查了资助申请并就2011年1月至12月期间向受益组织分配赠款提出建议。在2011年1月31日至2月4日举行的第三十四届会议上，董事会主要讨论了政策问题。在这次会议上，董事会还向在第三十三届会议上因没有足够资料而未能决定的优先区域项目以及闭会期间提出申请的优先区域项目提供了赠款。",
"D. 受理标准",
"5. 基金准则中概述的项目受理标准规定，项目必须由非政府组织提出。受益人必须是酷刑的直接受害者和(或)其直系亲属。优先受理向酷刑受害者提供直接援助的项目。这些项目可包括医疗或心理援助；通过职业培训帮助受害者重新融入社会或获得收入；向受害者或家属提供各种形式的法律援助，包括帮助寻求补偿或申请庇护。根据现有供资情况，基金可资助项目，以举办让专业医务人员或其他服务提供者能够交流最佳做法的培训方案、讨论会或会议。但是，基金不受理涉及调查、研究、出版物或类似活动的项目的赠款请求。",
"6. 在没有项目从基金获得支助的国家，基金可对个人提供紧急援助。此类请求应根据基金准则中规定的一项特定程序进行审查。关于通过基金资助的项目提供的各类援助及其对受益者影响的详细资料，可参阅秘书长提交给大会第五十八届会议的报告(A/58/284，第27至34段)。",
"二. 基金的财务状况",
"7. 2006年至2010年期间，董事会逐年增加了对世界各地项目的赠款金额。之所以能够这么做，是因为该期间所使用的收入包括了每年的自愿捐款和从前几年结转的未拨数额。这些数额是基金提高管理效率举措的结果，这些举措包括周期的变动、更密切监测受赠方情况和更严格的汇报要求。董事会决定利用结转的资金增加对项目的供资金额，特别是对优先区域项目的供资金额。",
"8. 但是，对于2011年，董事会若要继续按2010年水平满足受赠方的请求，将会面临200多万美元的资金缺口。因此，董事会决定对2011年赠款周期实行战略性削减。如果2011年收不到额外捐款，董事会在2012年仍将面临重大资金短缺，可能不得不维持或增加对2012年赠款周期的战略性削减，并对为新项目提供的资助加以更多限制。",
"9. 根据所收到的2011年申请，预计2012年各组织申请赠款数额将达2 200万美元左右。",
"收到的捐款和认捐",
"10. 下表显示自秘书长上次向大会提交基金活动报告(A/65/265)以来收到的捐款和认捐。这些捐款将使董事会能在2011年10月17日至21日举行的第三十五届会议上提出赠款建议。董事会在下届会议上建议提供的赠款将于2012年1月拨付，用于2012年1月1日至12月31日期间。",
"2010年8月5日至2011年7月22日收到的捐款和认捐",
"捐助国\t金额(美元)\t收到日期 \n 安道尔 28 550 2010年12月21日 \n 阿根廷 3 405 2011年1月31日 \n 加拿大 61 170 2011年3月24日 \n 捷克共和国 10 272 2010年12月27日 \n 芬兰 180 025 2010年9月3日 \n 德国 498 218 2010年8月19日 \n 德国 407 407 2011年5月11日 \n 希腊 39 422 2011年1月3日 \n 爱尔兰 111 402 2010年8月25日 \n 爱尔兰 119 718 2011年4月20日 \n 科威特 10 000 2011年4月7日 \n 列支敦士登 27 115 2011年4月20日 \n 卢森堡 34 722 2010年11月19日 \n 摩洛哥 3 000 2011年3月23日 \n 挪威 164 826 2010年8月24日 \n 挪威 183 688 2011年6月27日 \n 卡塔尔 10 000 2011年2月18日 \n 大韩民国 95 000 2010年11月21日 \n 大韩民国 95 000 2011年4月25日 \n 南非 15 015 2011年1月24日 \n 西班牙 334 672 2010年12月29日 \n 土耳其 10 000 2010年8月23日 \n 阿拉伯联合酋长国 9 982 2011年5月9日 \n 美利坚合众国 7 100 000 2010年9月13日 \n 捐款共计 9 552 609 \n 2011年认捐 \n 阿富汗 500 \n 比利时 284 900 \n 丹麦 383 656 \n 认捐共计 669 056",
"三. 基金董事会第三十三届和第三十四届会议",
"11. 董事会于2010年10月18日至22日在日内瓦举行第三十三届会议。在该会议期间，董事会审议了其秘书处就327个项目(包括2011年的新申请)编写的资料，以及对前几年所拨赠款使用情况的陈述、财务和审计报告的分析。董事会审议了为300多个项目提出的20 688 284美元新赠款请求，这些项目是2011年直接援助酷刑受害者及其家属的项目，并审议了为举办援助受害者的专业人员培训和研讨会以交流关于经验和最佳做法信息的25个项目提出的数额为858 754美元的请求。",
"12. 如2010年2月第三十二届会议所预计，由于2010年收到的捐款数额减少，而且没有任何认捐，董事会无法维持2010年的资助水平，不得不决定对2011年的赠款周期作出战略性削减。给予西欧和其他国家集团所属国家内项目的赠款一律削减20%，给予其他区域内项目的赠款一律削减10%。作为一项规则，给予新的受赠方的资助上限为20 000美元，而不是通常的50 000美元。此外，资助为援助受害者的专业人员举办的培训和研讨会的问题，被推迟到2011年2月第三十四届会议审议，并需视可用资源的情况而定。",
"13. 董事会建议在2011年1月至12月期间为70多个国家中直接援助受害者的280多个进行中项目和23个新项目提供赠款，总额为9 525 050美元，将于2011年1月支付。高级专员于2010年11月22日代表秘书长批准了这些建议。",
"14. 董事会建议为第三十三届会议未能审议的项目预留1 116 950美元，未审议这些项目是因为有待申请人提供资料或需要联合国工作人员赴实地了解情况。董事会将在第三十四届会议审议这些项目。",
"15. 董事会于2011年1月31日至2月4日召开的第三十四届会议主要讨论政策问题并进行经验总结，以便向秘书长将于2011年8月指定的董事会新成员进行交接。董事会还审议了2011年为优先区域项目提出的额外赠款请求，并提供906 300美元给27个直接援助项目，包括15个进行中项目、7个新项目、5个在闭会期间收到申请的新项目以及9个培训和研讨会项目。此外，董事会与会员国、酷刑受害者援助领域的机构捐助者以及非政府组织代表举行了会议。",
"16. 2010年2月至2011年8月期间，基金秘书处成员、董事会成员和联合国实地派驻机构在以下国家对已获得基金供资的组织或潜在受赠方进行了评价和监测访问：阿尔巴尼亚、安哥拉、阿根廷、澳大利亚、阿塞拜疆、孟加拉国、比利时、布隆迪、加拿大、智利、哥伦比亚、刚果民主共和国、厄瓜多尔、埃及、法国、德国、几内亚、匈牙利、印度、爱尔兰、意大利、哈萨克斯坦、莫桑比克、尼泊尔、巴基斯坦、巴拉圭、秘鲁、卢旺达、大韩民国、塞内加尔、南非、西班牙、泰国、土耳其、乌干达、联合王国、坦桑尼亚联合共和国、美利坚合众国和津巴布韦。",
"A. 董事会通过的建议",
"17. 基金董事会第三十三届和第三十四届会议建议在2011年1月至12月期间为70多个国家的330多个项目提供总额为10 431 350美元的赠款。董事会还建议，预留270 000美元，用作2011年闭会期间和(或)紧急情况下的赠款。下图显示按区域分列的赠款分配。",
"2011年按区域分列的赠款",
"(美元)",
"[]",
"B. 政策决定",
"董事会第三十四届会议",
"18. 董事会第三十四届会议讨论了关于与其他机构捐助方共享信息、监测和评价团以及外联问题。",
"19. 董事会决定建立一个机制，定期向其他机构捐助方正式和非正式地提供信息和调查结果，说明有关项目遇到的严重管理和(或)财务问题，包括管理不善和可能的欺诈行为。",
"20. 董事会同意基金秘书处参加与欧洲联盟委员会工作人员结成的联合监测和评价团。",
"21. 董事会讨论了在2011年6月26日前后庆祝基金三十周年的活动日程，并向秘书处提出了建议。董事会希望抓住这一难得机会宣传基金的工作。在此方面创建了一个关于基金30年工作的特别网站。",
"C. 与援助酷刑受害者领域的相关行为体举行会议",
"董事会第三十四届会议",
"22. 董事会在第三十四届会议期间，继续与援助酷刑受害者领域的其他机构捐助方举行会议这一做法，尤其是与欧洲联盟委员会欧洲民主与人权工具的代表举行会议的做法，以共享关于供资政策、评价和监测机制和结果以及建设受赠方能力举措的信息。",
"23. 此外，董事会与会员国召开会议，有大约12个代表团出席了会议。在该会议上，董事会邀请了两个受赠方向董事会和会员国简要汇报在基金的支助下向受害者提供的援助。董事会提供详尽信息，说明了基金最近的发展，包括基金目前财务状况的挑战和对捐款数额在资金需求不断增长的情况下大幅减少的关切。",
"四. 尚未执行的内部监督事务厅建议",
"24. 内部监督事务厅认为，由于报告所述期间开展的工作，只有一项建议(关于加强管理制度的建议9)仍在执行中。",
"建议9：加强管理制度",
"25. 2012年的赠款申请以及对2011年赠款预算的修订继续通过基金的在线赠款系统提交。此外，新的受赠方外部报告模块已经完成并且投入使用，使受赠方可以在线提交关于2010年赠款使用情况的报告。秘书处继续通过电子邮件向使用该系统的所有组织提供直接技术援助服务，并回答来自新的和执行中的项目以及潜在受赠方的多次查询。",
"26. 在报告所述期间，秘书处继续致力于进一步开发基金在线赠款系统的内部行政模块。因此，正在用多次查询功能完善和测试该模块，从而可以查询数据和生成内部报告。内部行政模块最后确定后，基金电子管理系统的引进即告完成，从而使内部监督事务厅报告(E/CN.4/2005/55)中的最后一个剩余建议得到了充分执行。",
"五. 支持酷刑受害者国际日",
"27. 2011年6月26日，禁止酷刑委员会、防范酷刑小组委员会、酷刑和其他残忍、不人道或有辱人格的待遇或处罚问题特别报告员以及联合国援助酷刑受害者自愿基金董事会为纪念支持酷刑受害者国际日和援助酷刑受害者自愿基金成立三十周年，发表声明如下:",
"各国必须确保所有酷刑受害者获得赔偿，包括通过联合国自愿基金得到人道主义支持",
"在最近世界很多国家举行的公共示威中，我们看到酷刑和虐待行为仍然普遍存在。必须重申，各国有责任防范、禁止、调查和惩处一切酷刑行为及其他形式的残忍、不人道或有辱人格的待遇。各国有责任尊重所有人的身心健全，为受害者和整个社会确保正义和问责，并将实施侵害者绳之以法。",
"此外，各国必须确保酷刑或其他残忍、不人道或有辱人格的待遇或处罚受害者获得赔偿，包括补救，并获得公正和充足的补偿和得到适当和全面的康复服务。在此方面，我们感到关切的是，尽管国际法律和实践要求实行与补救和赔偿酷刑受害者有关的某些最低标准和原则，但一些国家仅赋予往往是不太大的而且在司法系统中居次要地位的正式权利。",
"我们同样感到不满的是，使旨在为受害者补救和赔偿提供最低标准的基本原则和准则制度化的工作缺少进展。我们认为，受害者必须在追究实施酷刑者对其行为的责任方面发挥核心作用。我们想要强调，为酷刑受害者提供补救和赔偿的预防性功能是防止酷刑和其他残忍、不人道或有辱人格的待遇或处罚的法律义务的一部分。因此，我们继续支持那些致力于消除酷刑和确保所有酷刑受害者获得补救的国家、组织和其他民间社会机构。",
"今年，联合国支持酷刑受害者国际日恰逢联合国援助酷刑受害者自愿基金成立三十周年。在过去的30年中，该基金为向酷刑受害者及其家属提供医疗、心理、法律、社会和财政援助的项目分发了1.2亿多美元，使受害者能够获得补救，并行使他们的可执行权利，以获得公平和充足的补偿，包括尽可能完全的康复。在该基金的支持下，医生、心理学家、法证专家、社会工作者、律师和其他有关个人或团体采取了以受害者为本的办法，常年协助他们的客户踏上重新开始生活的漫长道路，并与此同时记录酷刑的使用和影响。",
"我们向联合国援助酷刑受害者自愿基金的所有捐助方表示感谢，该基金目前支持70多个国家中的300多个组织的工作，我们希望对基金的捐助会继续增加，从而使酷刑受害者及其家属得以获得他们所需要的援助。我们吁请所有国家，作为对酷刑受害者及其家属的康复所做的普遍承诺的一部分，向自愿基金提供慷慨捐助，使该基金能够继续为各组织提供资金，用于心理、医疗、社会、法律和经济援助。我们还呼吁各国通过财政和其他途径支持国内组织的工作，并为这些组织向酷刑受害者提供补救和康复援助创造一个有利的环境。",
"我们还促请各国成为《禁止酷刑公约》的缔约国，根据《公约》第21条和第22条规定，做出关于国家间和个人申诉的声明，并成为《禁止酷刑公约任择议定书》的缔约国，以便最大限度地加强在反对酷刑斗争中的透明度和问责制。",
"28. 为在2011年6月26日庆祝基金成立三十周年，董事会决定举办一个酷刑受害者制作的艺术作品和手工制品展览。该展览于2011年6月21日至30日在日内瓦万国宫举行，展出了受害者作为其康复进程的一部分所创作的绘画、雕塑及其他艺术表现形式。2011年6月27日，联合国日内瓦办事处总干事卡西姆-若马尔特·托卡耶夫、联合国人权事务高级专员纳瓦尼特姆·皮莱和董事会主席梅赛德斯·多雷蒂为该展览揭幕。",
"六. 向基金捐款的方式",
"29. 提供给基金的捐款应写明：“收款人：United Nations Voluntary Fund for Victims of Torture，account CH”。支付捐款可通过银行转账：(a) 美元：“United Nations Geneva General Fund”，account No. 485001802，J.P. Morgan Chase Bank，International Agencies Banking，1166，Avenue. of the Americas，17th floor，New York，N.Y. 10036-2708，United States of America (Swift code：CHAS US 33；ABA code：021000021)；(b) 欧元：“United Nations Office at Geneva”，account No. 23961901，J.P. Morgan Chase Bank，125 London Wall，London EC2Y 5AJ，United Kingdom (Swift code：CHAS GB 2L；sort code：60-92-42；IBAN：GB25 CHAS 6092 4223 9619 01)；(c) 英镑：“United Nations Office at Geneva”，account No.23961903，J.P. Morgan Chase Bank，125 London Wall，London EC2Y 5AJ，United Kingdom (Swift code：CHAS GB 2L；sort code：60-92-42；IBAN：GB25 CHAS 6092 4223 9619 03)；(d) 瑞士法郎：“United Nations Geneva General Fund”，account No.240-C0590160.0，UBS，rue du Rhône 8，Geneva 2，Switzerland (Swift code：UBSW CH ZH 12A；IBAN：CH65 0024 0240 CO59 0160 0)；(e) 任何其他货币：“United Nations Geneva General Fund”，account No.240-C0590160.1，UBS，rue du Rhône 8，Geneva 2，Switzerland (Swift code：UBSW CH ZH 12A；IBAN：CH65 0024 0240 CO59 0160 1)；或通过支票支付给“United Nations”，地址为：Trésorerie，Nations Unies，Palais des Nations，CH-1211 Geneva 10，Switzerland。请所有捐助方在付款后通知基金秘书处和联合国人权事务高级专员办事处资源调动股(最好附上一份银行转账通知复印件或支票复印件)，以便有效跟踪正式记录程序和编写秘书长的报告。",
"七. 结论和建议",
"30. 按照大会第65/205号决议的呼吁和秘书长的上一次报告(A/65/265)所载基金董事会的呼吁，请捐助方在董事会第三十五届会议(将于2011年10月17日至21日举行)开幕前向基金支付捐款，以便在该届会议上将这些捐款考虑在内。",
"31. 鉴于2011年面临的困难财务状况，大会和董事会还再次呼吁经常捐助方尽可能增加对基金的捐助，以向董事会提供必要的资源，用来满足世界各地酷刑受害者及其亲属日益增长的需要。",
"32. 董事会大力鼓励尚未向基金捐款的国家政府作出第一次捐款，最好能在2011年9月前这样做。",
"––––––––––––––"
] | [
"Sixty-sixth session",
"* A/66/150.",
"Item 69 (a) of the provisional agenda*",
"Promotion and protection of human rights: implementation of human rights instruments",
"United Nations Voluntary Fund for Victims of Torture",
"Report of the Secretary-General",
"Summary",
"The present report is submitted in accordance with General Assembly resolutions 36/151 and 65/205. It describes the recommendations for grants to beneficiary organizations that were adopted by the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture at its thirty-third and thirty-fourth sessions. The report also provides information on policy decisions adopted by the Board in implementation of the recommendations made by the Office of Internal Oversight Services with a view to further enhancing the activities of the Fund.",
"I. Introduction",
"A. Submission of the report",
"1. The present report was prepared in accordance with the arrangements approved by the General Assembly in its resolution 36/151, by which it established the United Nations Voluntary Fund for Victims of Torture. It presents the recommendations adopted by the Board of Trustees of the Fund at its thirty-third and thirty-fourth sessions, which were held in Geneva from 18 to 22 October 2010 and from 31 January to 4 February 2011, respectively. The United Nations High Commissioner for Human Rights approved the recommendations on behalf of the Secretary-General. The present report complements the report on the activities of the Fund submitted to the Human Rights Council at its sixteenth session (A/HRC/16/31) in March 2011.",
"B. Mandate of the Fund",
"2. The Fund receives voluntary contributions from Governments, non‑governmental organizations and individuals. In accordance with the practice established by its Board of Trustees in 1982, the Fund provides grants to non‑governmental organizations that submit projects involving medical, psychological, social, financial, legal, and humanitarian or other forms of assistance to victims of torture and members of their families.",
"C. Board of Trustees",
"3. The Secretary-General administers the Fund through the Office of the United Nations High Commissioner for Human Rights with the advice of a Board of Trustees composed of five members acting in their personal capacity and appointed by the Secretary-General with due regard to equitable geographical distribution and in consultation with their Governments. In October 2008, the Secretary-General reappointed the following members for a final period of three years: Krassimir Kanev (Bulgaria), Savitri Goonesekere (Sri Lanka), Joseph Oloka-Onyango (Uganda) and Derrick Pounder (United Kingdom of Great Britain and Northern Ireland), and appointed Mercedes Doretti (Argentina) for a three-year term, renewable once.",
"4. The Board held its thirty-third session in Geneva from 18 to 22 October 2010 to examine applications for funding and make recommendations on grants to be allotted to beneficiary organizations for the period from January to December 2011. It held its thirty-fourth session from 31 January to 4 February 2011 to discuss mainly policy issues. At that session, the Board also awarded grants to projects from priority regions which had not been decided upon at its thirty-third session because insufficient information was available at that time, as well as to projects from priority regions which had applied in the period between sessions.",
"D. Admissibility criteria",
"5. Project admissibility criteria are outlined in the Fund’s guidelines. They require a project to be presented by a non-governmental organization. The beneficiaries must be direct victims of torture and/or direct family members. Priority is given to projects providing direct assistance to torture victims, which could consist in medical or psychological assistance, help with social or financial reintegration through vocational training for victims, and various forms of legal assistance for victims or members of their families, including assistance in seeking redress or applying for asylum. Depending on the resources available, the Fund may finance projects to organize training programmes, seminars or conferences to allow health-care professionals or other service providers to exchange best practices. However, grant requests for projects involving investigation, research, studies, publications or similar activities are not admissible.",
"6. The Fund can provide emergency assistance to individuals in countries where no project is receiving support. This type of request is examined according to a specific procedure outlined in the Fund’s guidelines. Detailed information on the various types of assistance provided through the projects financed by the Fund, as well as their impact on beneficiaries, can be found in the report of the Secretary-General to the General Assembly at its fifty-eighth session (A/58/284, paras. 27-34).",
"II. Financial situation of the Fund",
"7. From 2006 to 2010, the Board had progressively increased the amount awarded in grants to projects worldwide. This had been possible because the income used during that period included both the yearly voluntary contributions and unallocated amounts carried over from previous years. Those amounts resulted from more efficient management of the Fund, including the change in cycle, closer monitoring of grantees and stricter reporting requirements. The Board had decided to use the carry-overs to increase the level of funding to projects, particularly in priority regions.",
"8. For 2011, however, the Board faced a shortfall of over US$ 2 million to continue to meet requests from grantees at the 2010 level, and thus decided on strategic cuts for the 2011 grants cycle. If no additional contribution is received in 2011, for 2012, the Board will still face a significant shortfall and might have to maintain or increase the strategic cuts for the 2012 grants cycle and place additional limits on the support it provides to new projects.",
"9. On the basis of the requests received for 2011, it is expected that approximately $22 million will be requested by organizations for 2012.",
"Contributions and pledges received",
"10. The table shows the contributions and pledges received since the last report of the Secretary-General to the General Assembly on the activities of the Fund (A/65/265). These contributions will enable the Board to make recommendations for grants at its thirty-fifth session, to be held from 17 to 21 October 2011. Grants recommended at the next session of the Board will be disbursed in January 2012 for the period from 1 January to 31 December 2012.",
"Contributions and pledges received from 5 August 2010 to 22 July 2011",
"Donor States\tAmount(United Statesdollars)\tDate of receipt \n Andorra 28 550 21 December 2010 \n Argentina 3 405 31 January 2011 \n Canada 61 170 24 March 2011 \n Czech Republic 10 272 27 December 2010 \n Finland 180 025 3 September 2010 \n Germany 498 218 19 August 2010 \n Germany 407 407 11 May 2011 \n Greece 39 422 3 January 2011 \n Ireland 111 402 25 August 2010 \n Ireland 119 718 20 April 2011 \n Kuwait 10 000 7 April 2011 \n Liechtenstein 27 115 20 April 2011 \n Luxembourg 34 722 19 November 2010 \n Morocco 3 000 23 March 2011 \n Norway 164 826 24 August 2010 \n Norway 183 688 27 June 2011 \n Qatar 10 000 18 February 2011 \n Republic of Korea 95 000 21 November 2010 \n Republic of Korea 95 000 25 April 2011 \n South Africa 15 015 24 January 2011 \n Spain 334 672 29 December 2010 \n Turkey 10 000 23 August 2010 \n United Arab Emirates 9 982 9 May 2011 \nUnited States ofAmerica\t7 100 000\t13 September 2010\n Total contributions 9 552 609 \n Pledges 2011 \n Afghanistan 500 \n Belgium 284 900 \n Denmark 383 656 \n Total pledges 669 056",
"III. Thirty-third and thirty-fourth sessions of the Board of Trustees of the Fund",
"11. The thirty-third session of the Board of Trustees was held in Geneva from 18 to 22 October 2010. During that session, the Board examined information prepared by its secretariat concerning 327 projects, including new applications for 2011, and the analysis of narrative, financial and audit reports on the use of grants paid in previous years. It considered requests for new grants amounting to $20,688,284 for more than 300 projects providing direct assistance to victims of torture and their family members in 2011, as well as requests for 25 projects amounting to $858,754 for training and seminars for professionals assisting victims to exchange information on experiences and best practices.",
"12. As foreseen at its thirty-second session in February 2010, because of the decrease in the level of contributions received and the absence of pledges made in 2010, the Board was not in a position to maintain the level of funding of 2010 and had to decide on strategic cuts for the 2011 grants cycle. A decrease of 20 per cent was applied to all grants for projects located in countries in the group of Western European and other States, while all grants for projects located in other regions were reduced by 10 per cent. As a rule, support to new grantees was capped at a maximum of $20,000 instead of the usual $50,000. In addition, consideration of funding for training and seminars for professionals assisting victims was postponed to the thirty-fourth session in February 2011, subject to the availability of resources.",
"13. The Board of Trustees made recommendations for grants for the period from January to December 2011 for over 280 ongoing and 23 new projects of direct assistance in more than 70 countries, for a total amount of $9,525,050, to be paid in January 2011. The High Commissioner approved the recommendations on 22 November 2010 on behalf of the Secretary-General.",
"14. The Board recommended that $1,116,950 be set aside for projects that the Board could not consider at its thirty-third session because information to be submitted by the applicants was pending or visits had not yet been undertaken by a United Nations staff member, and which would be considered by the Board at its thirty-fourth session.",
"15. The thirty-fourth session of the Board of Trustees, held from 31 January to 4 February 2011, was devoted mainly to the discussion of policy issues, as well as a lessons-learned exercise to be used as a handover tool for the new members of the Board to be designated in August 2011 by the Secretary-General. The Board also considered additional grant requests for 2011 from projects in priority regions, and awarded $906,300 for 27 direct assistance projects, including 15 ongoing projects, 7 new projects, 5 new projects for which applications were received in the intersessional period, and 9 projects for training and seminars. In addition, the Board held meetings with Member States, institutional donors in the field of assistance to victims of torture, and representatives of non-governmental organizations.",
"16. From February 2010 to August 2011, evaluation and monitoring visits of organizations already funded by the Fund or of potential grantees were undertaken by the members of the Fund secretariat, Board members and United Nations field presences in the following countries: Albania, Angola, Argentina, Australia, Azerbaijan, Bangladesh, Belgium, Burundi, Canada, Chile, Colombia, Democratic Republic of the Congo, Ecuador, Egypt, France, Germany, Guinea, Hungary, India, Ireland, Italy, Kazakhstan, Mozambique, Nepal, Pakistan, Paraguay, Peru, Rwanda, Republic of Korea, Senegal, South Africa, Spain, Thailand, Turkey, Uganda, United Kingdom, United Republic of Tanzania, United States of America and Zimbabwe.",
"A. Recommendations adopted by the Board",
"17. At its thirty-third and thirty-fourth sessions, the Board of Trustees of the Fund made recommendations for grants for the period from January to December 2011 for more than 330 projects in over 70 countries, for a total amount of $10,431,350. The Board also recommended that $270,000 be set aside for intersessional and/or emergency grants for the year 2011. The figure shows the allocation of grants by region.",
"Grants awarded in 2011 by region",
"(United States dollars)",
"[]",
"B. Policy decisions",
"Thirty-fourth session of the Board of Trustees",
"18. At its thirty-fourth session, the Board discussed issues related to information-sharing with other institutional donors, monitoring and evaluation missions and outreach.",
"19. The Board decided to establish a mechanism to make available to other institutional donors, formally and informally, and on a regular basis, information and findings regarding projects experiencing serious managerial and/or financial problems, including mismanagement and possible fraud.",
"20. The Board agreed to have the secretariat of the Fund participate in joint monitoring and evaluation missions with staff of the European Commission.",
"21. The Board discussed and made recommendations to the secretariat on a programme of events to commemorate the thirtieth anniversary of the Fund around the date of 26 June 2011. The Board wanted to seize this occasion as a memorable opportunity to promote the work of the Fund. In that context a special website on the 30 years of the Fund was created.",
"C. Meetings with relevant actors in the field of assistance to victims of torture",
"Thirty-fourth session of the Board of Trustees",
"22. During the thirty-fourth session, the Board continued its practice of meeting with other institutional donors in the field of assistance to victims of torture, in particular with the representative of the European Instrument for Democracy and Human Rights of the European Commission, with a view to sharing information on their funding policies, evaluation and monitoring mechanisms and results and initiatives to build the capacity of grantees.",
"23. In addition, the Board held a meeting with Member States which was attended by some 12 delegations. In the context of that meeting, the Board invited two grantees to brief the Board and Member States on the assistance provided to victims with the support of the Fund. The Board provided extensive information on the Fund’s recent developments, including the challenge of the current financial situation of the Fund and its concern about the significant decrease in contributions in the face of an ever-increasing demand for funding.",
"IV. Outstanding recommendations of the Office of Internal Oversight Services",
"24. As a result of the work undertaken during the reporting period, the Office of Internal Oversight Services considers that only one recommendation, No. 9, on a strengthened management system, is still being implemented.",
"Recommendation 9: strengthened management system",
"25. Applications for grants for 2012, as well as revisions of grants under the budget for 2011, continued to be submitted through the online grants system of the Fund. Moreover, the new external reporting module for grantees has been completed and put into service, enabling grantees to submit reports on the use of 2010 grants online. The secretariat continued to offer a direct technical assistance service via e‑mail to all organizations using the system and replied to multiple queries from new and ongoing projects as well as potential grantees.",
"26. During the reporting period, the secretariat continued working on the further development of the internal administration module of the online grant system of the Fund. As a result, the internal administration module is currently being refined and tested with multiple query functions enabling the search of data and the generation of internal reports. The finalization of the internal administration module will bring to completion the introduction of an electronic management system for the Fund, resulting in the full implementation of the last remaining recommendation made by the Office of Internal Oversight Services in its report (E/CN.4/2005/55).",
"V. International Day in Support of Victims of Torture",
"27. On 26 June 2011, the Committee against Torture, the Subcommittee on Prevention of Torture, the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment and the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture made the following statement to commemorate the International Day in Support of Victims of Torture and the thirtieth anniversary of the Voluntary Fund for Victims of Torture:",
"States must ensure that all victims of torture obtain reparation, including humanitarian support through the United Nations Voluntary Fund",
"We have seen torture and ill-treatment continue to be widely practised in recent public demonstrations that have been held in numerous countries around the world. It is essential to reiterate that it is the obligation of States to prevent, prohibit, investigate and punish all acts of torture and other forms of cruel, inhuman or degrading treatment. It is the obligation of States to respect the physical and mental integrity of all persons, ensure justice and accountability for victims and for the community as a whole, and bring those responsible for violations to justice.",
"Moreover, States must ensure that victims of torture or other cruel, inhuman or degrading treatment or punishment obtain reparation, including redress, and are awarded fair and adequate compensation and receive appropriate and comprehensive rehabilitation services. In this context, while international law and practice requires certain minimum standards and principles in relation to redress and reparations for victims of torture, we are concerned that some States only award formal rights which are often modest and peripheral to the justice systems.",
"We are equally dissatisfied by the lack of progress in institutionalizing basic principles and guidelines which seek to provide minimum standards for redress and reparations to victims. It is our conviction that victims must have a central role in holding torturers accountable for their actions. We would like to underline the preventive function of redress and reparation for victims of torture as part of the legal obligation to prevent torture and other cruel, inhuman or degrading treatment or punishment. We therefore continue to support those States, organizations and other organs of civil society that are committed to eradicating torture and securing redress for all torture victims.",
"This year, the United Nations International Day in Support of Victims of Torture coincides with the thirtieth anniversary of the United Nations Voluntary Fund for Victims of Torture. During the past 30 years, the Fund has distributed over US$ 120 million to projects providing medical, psychological, legal, social and financial assistance to victims of torture and their family members, enabling victims to obtain redress and exercise their enforceable right to fair and adequate compensation, including as full a rehabilitation as possible. With the Fund’s support, physicians, psychologists, forensics experts, social workers, lawyers and other concerned individuals or groups have employed a victim-centred approach to assist their clients for years on their long journey rebuilding their lives, while at the same time documenting the use and effects of torture.",
"We express our gratitude to all donors to the United Nations Voluntary Fund for Victims of Torture, which currently supports the work of over 300 organizations in more than 70 countries, and hope that contributions to the Fund will continue to increase to make it possible for victims of torture and members of their families to receive the assistance they need. We call on all States to contribute generously to the Voluntary Fund as part of a universal commitment for the rehabilitation of torture victims and their families so as to enable it to continue providing organizations with funds for psychological, medical, social, legal and economic assistance. We also call upon States to support the work of the domestic organizations through financial and other means, as well as create an enabling environment for the organizations to provide redress and rehabilitation for torture victims.",
"We further urge all States to become parties to the Convention against Torture and make the declarations provided under articles 21 and 22 of the Convention, on inter-State and individual complaints, as well as become parties to the Optional Protocol to the Convention against Torture, in order to maximize transparency and accountability in their fight against torture.",
"28. With the view to celebrating the thirtieth anniversary of the Fund on 26 June 2011, the Board of Trustees decided to organize an exhibition of artwork and artefacts made by victims of torture. The exhibition was held at the Palais des Nations in Geneva from 21 to 30 June 2011 and presented paintings, sculptures and other types of artistic expression created by the victims as part of their rehabilitation process. The exhibition was opened on 27 June 2011 by the Director-General of the United Nations Office at Geneva, Kassym-Jomart Tokayev; the United Nations High Commissioner for Human Rights, Navanethem Pillay; and the Chair of the Board of Trustees, Mercedes Doretti.",
"VI. How to make a contribution to the Fund",
"29. Contributions to the Fund should always be marked as follows: “payee: United Nations Voluntary Fund for Victims of Torture, account CH”. Payments may be made either by bank transfer (a) in United States dollars to “United Nations Geneva General Fund”, account No. 485001802, J.P. Morgan Chase Bank, International Agencies Banking, 1166 Ave. of the Americas, 17th floor, New York, NY 10036-2708, United States of America (Swift code: CHAS US 33; ABA code: 021000021); (b) in euros to “United Nations Office at Geneva”, account No. 23961901, J.P. Morgan Chase Bank, 125 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, sort code: 60-92-42, IBAN: GB25 CHAS 6092 4223 9619 01); (c) in pounds sterling to “United Nations Office at Geneva”, account No. 23961903, J.P. Morgan Chase Bank, 125 London Wall, London EC2Y 5AJ, United Kingdom (Swift code: CHAS GB 2L, sort code: 60-92-42, IBAN: GB25 CHAS 6092 4223 9619 03); (d) in Swiss francs to “United Nations Geneva General Fund”, account No. 240-C0590160.0, UBS, rue du Rhône 8, Geneva 2, Switzerland (Swift code: UBSW CH ZH 12A; IBAN: CH65 0024 0240 CO59 0160 0); (e) in any other currency to “United Nations Geneva General Fund”, account No. 240-C0590160.1, UBS, rue du Rhône 8, Geneva 2, Switzerland (Swift code: UBSW CH ZH 12A; IBAN: CH65 0024 0240 CO59 0160 1); or by cheque payable to “United Nations” addressed to: Trésorerie, Nations Unies, Palais des Nations, CH 1211 Geneva 10, Switzerland. Donors are requested to inform the secretariat of the Fund and the Resource Mobilization Unit of the Office of the United Nations High Commissioner for Human Rights when a payment has been made (a copy of the bank transfer order or of the cheque would be appreciated) to facilitate effective follow-up on the official recording procedure and preparation of the reports of the Secretary-General.",
"VII. Conclusions and recommendations",
"30. Pursuant to the appeals made by the General Assembly in its resolution 65/205 and by the Board of Trustees of the Fund as included in the previous report of the Secretary-General (A/65/265), donors are invited to pay their contributions to the Fund before the opening of the thirty-fifth session of the Board (to be held from 17 to 21 October 2011), in order that the contributions may be taken into account at that session.",
"31. In the light of the difficult financial situation faced in 2011, the General Assembly and the Board have also reiterated their call to regular donors to increase, as much as possible, their contributions to the Fund in order to provide the Board with the necessary resources to meet the growing needs of victims of torture and members of their families worldwide.",
"32. The Board strongly encourages Governments that have not yet contributed to the Fund to do so for the first time, preferably before September 2011."
] | A_66_276 | [
"Sixty-sixth session",
"Item 69 (a) of the provisional agenda",
"Promotion and protection of human rights: implementation of human rights instruments",
"United Nations Voluntary Fund for Victims of Torture",
"Report of the Secretary-General",
"Summary",
"The present report is submitted pursuant to General Assembly resolutions 36/151 and 3905, describing the recommendations for grants to beneficiary organizations adopted by the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture at its thirty-third and thirty-fourth sessions. The report also describes the policy decisions adopted by the Board to implement the recommendations of the Office of Internal Oversight Services to further enhance the activities of the Fund.",
"∗ A/63/250.",
"Introduction",
"Reports",
"The present report is prepared in accordance with the arrangements approved by the General Assembly in its resolution 36/151 on the establishment of the United Nations Voluntary Fund for Victims of Torture. The report describes the recommendations adopted by the Board of Trustees of the Fund at its thirty-third and thirty-fourth sessions, held in Geneva from 18 to 22 October 2010 and from 31 January to 4 February 2011. The United Nations High Commissioner for Human Rights approved those recommendations on behalf of the Secretary-General. The present report complements the report on the activities of the Fund submitted to the sixteenth session of the Human Rights Council in March 2011 (A/HRC/16/31).",
"Mandate of the Fund",
"The Fund receives voluntary contributions from Governments, non-governmental organizations and individuals. In accordance with the practice established by the Board in 1982, the Fund provides grants to non-governmental organizations that have submitted projects involving medical, psychological, social, financial, legal and humanitarian or other forms of assistance to victims of torture and their families.",
"C. Board",
"The Secretary-General manages the Fund through the Office of the United Nations High Commissioner for Human Rights and receives the Board's observations. The Board is composed of five members who serve in their personal capacity and appointed by the Secretary-General in full respect for equitable geographical distribution and in consultation with their Governments. In October 2008, the Secretary-General again appointed the following members for a three-year term: Clarmir Karinov (Bulgaria), Saveter cereals Sectionre (Sri Lanka), Joseph Oloka-Onnyango (Uganda) and Delhi Pu Del (United Kingdom of Great Britain and Northern Ireland) and appointed Medez Dominti (Argentina) for a three-year term, renewable once.",
"At its thirty-third session, held in Geneva from 18 to 22 October 2010, the Board reviewed requests for funding and made recommendations for the allocation of grants to beneficiary organizations between January and December 2011. At its thirty-fourth session, held from 31 January to 4 February 2011, the Board focused on policy issues. At that meeting, the Board also granted grants to priority regional projects that had not been decided at its thirty-third session owing to lack of sufficient information and priority regional projects for intersessional requests.",
"Acceptance criteria",
"The criteria for the processing of projects outlined in the Fund guidelines stipulate that the project must be submitted by non-governmental organizations. The beneficiaries must be victims of torture and/or their immediate family members. Priority is given to projects that provide direct assistance to victims of torture. These projects may include medical or psychological assistance; assistance for the reintegration of victims through vocational training or income; various forms of legal assistance to victims or families, including assistance in seeking redress or asylum. In accordance with existing funding, the Fund may fund projects to organize training programmes, seminars or conferences that enable professional medical personnel or other service providers to share best practices. However, the Fund does not receive requests for grants for projects involving investigation, research, publications or similar activities.",
"In countries where projects are not supported by the Fund, the Fund may provide emergency assistance to individuals. Such requests shall be reviewed in accordance with a specific procedure set out in the guidelines of the Fund. Details on the types of assistance provided through projects financed by the Fund and their impact on beneficiaries can be found in the report of the Secretary-General to the General Assembly at its fifty-eighth session (A/58/284, paras.",
"Financial situation of the Fund",
"Between 2006 and 2010, the Board increased its grant to projects around the world by year. This could be done because the income used during that period included annual voluntary contributions and unexpended amounts from previous years. These amounts were the result of the Fund's efficiency initiatives, which included changes in the cycle, closer monitoring of grant and stricter reporting requirements. The Board decided to increase funding for projects, in particular for priority regional projects, using closed funds.",
"However, for 2011, the Board will face a funding gap of more than $2 million for the continuation of the 2010 level to meet the grantee's requests. The Board therefore decided to introduce a strategic reduction in the 2011 grant cycle. If no additional contributions were received in 2011, the Board will still face a major shortfall in funding in 2012 and may have to maintain or increase strategic cuts in the 2012 grant cycle and to impose additional restrictions on funding for new projects.",
"In accordance with the request received for 2011, it is expected that the amount of requests for grants from organizations in 2012 will amount to approximately $22 million.",
"Contributions received and pledges",
"The table below shows contributions and pledges received since the Secretary-General's previous report on the activities of the Fund (A/65/265). These contributions will enable the Board to make grants recommendations at its thirty-fifth session, held from 17 to 21 October 2011. The grant recommended by the Board at its next session will be allocated in January 2012 for the period from 1 January to 31 December 2012.",
"Contributions and pledges received from 5 August 2010 to 22 July 2011",
"Total contributions of donors (United States dollars)",
"Thirty-third and thirty-fourth sessions of the Fund Board",
"The Board held its thirty-third session in Geneva from 18 to 22 October 2010. During the session, the Board considered information prepared by its secretariat on 327 projects, including new applications for 2011, and the analysis of statements, financial and audit reports on the use of grants allocated in previous years. The Board considered a new grant request of $20,688,284 for more than 300 projects, which was a project for direct assistance to victims of torture and their families in 2011, and considered a request for training and seminars for professionals assisting victims to share information on experiences and best practices.",
"As projected at the thirty-second session in February 2010, as a result of a decrease in the amount of contributions received in 2010 and no pledges, the Board was unable to maintain the level of funding in 2010 and had to decide on strategic cuts to the 2011 grant cycle. Grants for projects within the countries of the Western European and Other States Group are reduced by 20 per cent and grants for other intraregional projects have been reduced by 10 per cent. As a rule, the funding ceiling for new grantees amounted to $200,000 rather than $50,000 normally. In addition, funding for training and seminars for professionals assisting victims was deferred to the consideration of the thirty-fourth session in February 2011 and subject to the availability of resources.",
"The Board recommends that grants be made for more than 280 ongoing projects and 23 new projects that directly assist victims in over 70 countries between January and December 2011 totalling $9,525,050, to be paid in January 2011. The High Commissioner approved these recommendations on behalf of the Secretary-General on 22 November 2010.",
"The Board recommended that $1,116,950 be retained for projects that were not considered at the thirty-third session because they were not considered because of the information to be provided by the applicant or the need for United Nations staff on the ground. The Board will consider these projects at its thirty-fourth session.",
"At the thirty-fourth session of the Board, held from 31 January to 4 February 2011, the main discussion on policy issues and the exchange of experiences were held to the Secretary-General's new members of the Board to be appointed in August 2011. The Board also considered additional requests for grants for priority regional projects in 2011 and provided $96,300 for 27 direct assistance projects, including 15 ongoing projects, 7 new projects, 5 new projects received during the intersessional period and 9 training and seminars projects. In addition, the Board held meetings with Member States, institutional donors in the area of victim assistance and representatives of non-governmental organizations.",
"Between February 2010 and August 2011, members of the Fund secretariat, Board members and United Nations field presences conducted evaluation and monitoring missions to organizations or potential grantees that have been funded by the Fund: Albania, Angola, Argentina, Australia, Azerbaijan, Bangladesh, Belgium, Burundi, Canada, Chile, Colombia, Democratic Republic of the Congo, Ecuador, Egypt, France, Germany, Guinea, Hungary, India, Ireland, Italy, Kazakhstan, Mozambique, Nepal, Pakistan, Paraguay, Peru, Rwanda, Republic of Korea, Senegal, South Africa, Spain, Thailand, Turkey, Uganda, United Kingdom, United Republic of Tanzania, United States of America and Zimbabwe.",
"Recommendations adopted by the Board",
"At its thirty-third and thirty-fourth sessions, the Board of Trustees of the Fund recommended that grants totalling $10,431,350 be provided for over 330 projects in over 70 countries between January and December 2011. The Board also recommended that the amount of $270,000 be retained for grants for the intersessional and/or emergencies of 2011. The figure below shows the distribution of grants by region.",
"Grants by region, 2011",
"(United States dollars)",
"[]",
"Policy decisions",
"Thirty-fourth session of the Board",
"At its thirty-fourth session, the Board discussed information-sharing, monitoring and evaluation missions and outreach issues with other donors.",
"The Board decided to establish a mechanism to provide regular and informal information and findings to other donors on the serious management and/or financial problems faced by the project, including mismanagement and possible fraud.",
"The Board agreed with the Fund secretariat to participate in joint monitoring and evaluation missions with European Commission staff.",
"The Board discussed the schedule of activities to mark the thirtieth anniversary of the Fund by 26 June 2011 and made recommendations to the Secretariat. The Board wishes to seize this difficult opportunity to advocate for the work of the Fund. In this regard, a special website on the work of the Fund for 30 years was created.",
"C. Meeting with relevant actors in the field of victim assistance",
"Thirty-fourth session of the Board",
"During its thirty-fourth session, the Board continued to meet with other donors in the field of assistance to victims of torture, in particular with representatives of European Commission instruments for democracy and human rights, in order to share information on funding policies, evaluation and monitoring mechanisms and results, as well as on building grant capacity initiatives.",
"In addition, the Board met with Member States, with about 12 delegations present. At that meeting, the Board invited two grant boards and Member States to briefly report on assistance provided to victims with the support of the Fund. The Board provided detailed information on recent developments in the Fund, including challenges in the current financial situation of the Fund and concerns about a significant decrease in the level of contributions in the context of rising funding requirements.",
"Recommendations of the Office of Internal Oversight Services that have not been implemented",
"In the opinion of the Office of Internal Oversight Services, as a result of the work carried out during the reporting period, only one recommendation (recommendation 9 on strengthening the management system) is still being implemented.",
"Recommendation 9: Strengthening the management system",
"The grant application for 2012 and amendments to the 2011 grant budget continued to be submitted through the Fund's online grant system. In addition, the new grant external reporting module has been completed and used to enable grantees to submit on-line reports on the use of grants for 2010. The secretariat continued to provide direct technical assistance services to all organizations using the system through e-mail and responded to several queries from new and implementation projects and potential grantees.",
"During the reporting period, the Secretariat remained committed to further developing the internal administrative module of the Fund's online grant system. As a result, the module is being refined and tested using a number of searching functions so that data can be accessed and generated internal reports. Following the finalization of the internal administrative module, the introduction of the Fund's e-management system was completed, thereby enabling the last remaining recommendation of the Office of Internal Oversight Services (E/CN.4/2005/55) to be fully implemented.",
"International Day in Support of Victims of Torture",
"On 26 June 2011, the Committee against Torture, the Subcommittee on Prevention of Torture, the Special Rapporteur on torture and other cruel, inhuman or degrading treatment or punishment and the Board of Trustees of the United Nations Voluntary Fund for Victims of Torture made the following statement in commemoration of the thirtieth anniversary of the International Day in Support of Victims of Torture and the Voluntary Fund for Victims of Torture.",
"States must ensure that all victims of torture receive reparation, including through the United Nations Voluntary Fund",
"In the recent public demonstrations held in many countries of the world, we see the prevalence of torture and ill-treatment. It must be reiterated that States have the responsibility to prevent, prohibit, investigate and punish all acts of torture and other forms of cruel, inhuman or degrading treatment. States have a responsibility to respect the physical and mental integrity of all, to ensure justice and accountability for victims and society at large and to bring perpetrators to justice.",
"Furthermore, States must ensure that victims of torture or other cruel, inhuman or degrading treatment or punishment receive compensation, including redress, and receive fair and adequate compensation and adequate and comprehensive rehabilitation services. In this regard, we are concerned that, despite international legal and practical requirements for certain minimum standards and principles related to redress and reparation for victims of torture, some States have only granted formal rights that are often less significant and secondary in the justice system.",
"We also feel dismayed by the lack of progress in institutionalizing the basic principles and guidelines aimed at providing the minimum standards for redress and reparation for victims. We believe that victims must play a central role in the accountability of perpetrators of torture. We wish to emphasize that the preventive function of providing redress and reparation for victims of torture is part of the legal obligation to prevent torture and other cruel, inhuman or degrading treatment or punishment. We therefore continue to support those States, organizations and other civil society institutions committed to eliminating torture and ensuring that all victims of torture receive redress.",
"This year, the United Nations International Day in Support of Victims of Torture coincided with the thirtieth anniversary of the United Nations Voluntary Fund for Victims of Torture. Over the past 30 years, the Fund has distributed over $120 million to projects that provide medical, psychological, legal, social and financial assistance to victims and their families, enabling victims to obtain redress and exercise their enforceable rights to receive fair and adequate compensation, including as full rehabilitation as possible. With the support of the Fund, doctors, psychologists, forensic experts, social workers, lawyers and other relevant individuals and groups have taken a victim-based approach to assisting their clients in the long way to re-establish their lives and to record the use and impact of torture.",
"We express our appreciation to all donors to the United Nations Voluntary Fund for Victims of Torture, which currently supports the work of more than 300 organizations in more than 70 countries, and we hope that the Fund's contributions will continue to increase so that victims of torture and their families can receive the assistance they need. We call upon all States to contribute generously to the voluntary fund as part of the universal commitment to the rehabilitation of victims of torture and their families so that it can continue to fund organizations for psychological, medical, social, legal and economic assistance. We also call upon States to support the work of domestic organizations through financial and other means and to create an enabling environment for these organizations to provide redress and rehabilitation assistance to victims of torture.",
"We also urge States parties to the Convention against Torture to make statements on inter-State and individual complaints, in accordance with articles 21 and 22 of the Convention, and to become parties to the Optional Protocol to the Convention against Torture, in order to maximize transparency and accountability in the fight against torture.",
"In order to mark the thirtieth anniversary of the establishment of the Fund on 26 June 2011, the Board decided to organize an exhibition on art and handicraft products produced by torture victims. The exhibition was held at the Palais des Nations, Geneva, from 21 to 30 June 2011, in which victims were created as part of their recovery process, in painting, sing and other artistic expressions. On 27 June 2011, the Director-General of the United Nations Office at Geneva, Cassim-Amarte Tokayev, the United Nations High Commissioner for Human Rights, Navanethem Plei and the President of the Board, Meles Doreti, opened the exhibition.",
"Modalities for contributions to the Fund",
"Contributions to the Fund should be made as follows: “The recipients: the United Nations Voluntary Fund for Victims of Torture,account CH”. (a) UBSYS OR, United Nations Geneva General Fund, account No. 485001802, J.P. Morgan Chase Bank, International Agencies Banking, 1166, Avenue. of the Americas, IB 17th floor, New York, N.Y. 10036-2708, United States of America (United States of America) (Swift codes: CHASUS 33; ABrit:02000); and (b) €1, Geneva Office No. 231; All donors are requested to inform the Fund secretariat and the Resource Mobilization Unit of the Office of the United Nations High Commissioner for Human Rights (see best attached a copy of bank transfers or cheques) in order to effectively track the official records process and prepare the report of the Secretary-General.",
"Conclusions and recommendations",
"In accordance with the appeal made by the General Assembly in its resolution 9005 and the appeal by the Board of Trustees of the Fund contained in the previous report of the Secretary-General (A/65/265), donors are invited to make contributions to the Fund before the opening of the thirty-fifth session of the Board (to be held from 17 to 21 October 2011) in order to take these contributions into account at that session.",
"In view of the difficult financial situation faced in 2011, the General Assembly and the Board reiterated their call to the regular donors to increase their contributions to the Fund to the extent possible in order to provide the Board with the necessary resources to meet the growing needs of victims of torture and their relatives worldwide.",
"The Board strongly encouraged Governments that had not yet contributed to the Fund to make their first contribution, preferably by September 2011.",
"Equatorial Guinea Equatorial Guinea Equatorial Guinea RUVERTIVEMENTS"
] |